diff --git a/.gitignore b/.gitignore
index 06dd0cc..36b13f1 100644
--- a/.gitignore
+++ b/.gitignore
@@ -174,5 +174,3 @@ cython_debug/
 # PyPI configuration file
 .pypirc
 
-embeddings_cache_meta.json
-embeddings_cache.npz
diff --git a/Books/Accounting/embeddings_cache.npz b/Books/Accounting/embeddings_cache.npz
new file mode 100644
index 0000000..1294263
Binary files /dev/null and b/Books/Accounting/embeddings_cache.npz differ
diff --git a/Books/Accounting/embeddings_cache_meta.json b/Books/Accounting/embeddings_cache_meta.json
new file mode 100644
index 0000000..0504692
--- /dev/null
+++ b/Books/Accounting/embeddings_cache_meta.json
@@ -0,0 +1 @@
+{"book_files": ["Books\\Accounting\\Accounting\\Account.txt", "Books\\Accounting\\Accounting\\BankFeed.txt", "Books\\Accounting\\Accounting\\BillingChange.txt", "Books\\Accounting\\Accounting\\CashReceipts.txt", "Books\\Accounting\\Accounting\\Common.txt", "Books\\Accounting\\Accounting\\Endorsement.txt", "Books\\Accounting\\Accounting\\Fifo.txt", "Books\\Accounting\\Accounting\\Integrations.txt", "Books\\Accounting\\Accounting\\PayoffBalance.txt", "Books\\Accounting\\Accounting\\Policy.txt", "Books\\Accounting\\Accounting\\Quote.txt", "Books\\Accounting\\Accounting\\Repository.txt", "Books\\Accounting\\Accounting\\Services.txt", "Books\\Accounting\\Accounting\\Starter.txt", "Books\\Accounting\\Accounting\\StructuredTags.txt", "Books\\Accounting\\AccountsReceivable\\AccountsReceivable.txt", "Books\\Accounting\\AccountsReceivable\\AccountsReceivableAdjustments.txt", "Books\\Accounting\\AccountsReceivable\\AccountsReceivableCashReceiptApplications.txt", "Books\\Accounting\\AccountsReceivable\\AccountsReceivableCashReceipts.txt", "Books\\Accounting\\AccountsReceivable\\AccountsReceivableCommon.txt", "Books\\Accounting\\AccountsReceivable\\AccountsReceivableCreditMemoApplications.txt", "Books\\Accounting\\AccountsReceivable\\AccountsReceivableCreditMemoRefunds.txt", "Books\\Accounting\\AccountsReceivable\\AccountsReceivableCreditMemos.txt", "Books\\Accounting\\AccountsReceivable\\AccountsReceivableInvoiceInstallments.txt", "Books\\Accounting\\Jira\\IA-2691.txt", "Books\\Accounting\\Jira\\IA-2698.txt", "Books\\Accounting\\Jira\\IA-2827.txt", "Books\\Accounting\\Jira\\IA-2852.txt", "Books\\Accounting\\Jira\\IA-2854.txt", "Books\\Accounting\\Jira\\IA-2855.txt", "Books\\Accounting\\Jira\\IA-2858.txt", "Books\\Accounting\\Jira\\IA-2866.txt", "Books\\Accounting\\Oracle\\Oracle.txt"], "file_sizes": {"Books\\Accounting\\Accounting\\Account.txt": 7587, "Books\\Accounting\\Accounting\\BankFeed.txt": 14170, "Books\\Accounting\\Accounting\\BillingChange.txt": 9648, "Books\\Accounting\\Accounting\\CashReceipts.txt": 9208, "Books\\Accounting\\Accounting\\Common.txt": 7444, "Books\\Accounting\\Accounting\\Endorsement.txt": 10019, "Books\\Accounting\\Accounting\\Fifo.txt": 9201, "Books\\Accounting\\Accounting\\Integrations.txt": 8451, "Books\\Accounting\\Accounting\\PayoffBalance.txt": 8413, "Books\\Accounting\\Accounting\\Policy.txt": 11662, "Books\\Accounting\\Accounting\\Quote.txt": 6815, "Books\\Accounting\\Accounting\\Repository.txt": 7395, "Books\\Accounting\\Accounting\\Services.txt": 6633, "Books\\Accounting\\Accounting\\Starter.txt": 5075, "Books\\Accounting\\Accounting\\StructuredTags.txt": 5606, "Books\\Accounting\\AccountsReceivable\\AccountsReceivable.txt": 24315, "Books\\Accounting\\AccountsReceivable\\AccountsReceivableAdjustments.txt": 22960, "Books\\Accounting\\AccountsReceivable\\AccountsReceivableCashReceiptApplications.txt": 11447, "Books\\Accounting\\AccountsReceivable\\AccountsReceivableCashReceipts.txt": 18039, "Books\\Accounting\\AccountsReceivable\\AccountsReceivableCommon.txt": 21206, "Books\\Accounting\\AccountsReceivable\\AccountsReceivableCreditMemoApplications.txt": 12886, "Books\\Accounting\\AccountsReceivable\\AccountsReceivableCreditMemoRefunds.txt": 0, "Books\\Accounting\\AccountsReceivable\\AccountsReceivableCreditMemos.txt": 7669, "Books\\Accounting\\AccountsReceivable\\AccountsReceivableInvoiceInstallments.txt": 8241, "Books\\Accounting\\Jira\\IA-2691.txt": 8131, "Books\\Accounting\\Jira\\IA-2698.txt": 6072, "Books\\Accounting\\Jira\\IA-2827.txt": 7218, "Books\\Accounting\\Jira\\IA-2852.txt": 5870, "Books\\Accounting\\Jira\\IA-2854.txt": 6748, "Books\\Accounting\\Jira\\IA-2855.txt": 6776, "Books\\Accounting\\Jira\\IA-2858.txt": 5925, "Books\\Accounting\\Jira\\IA-2866.txt": 4241, "Books\\Accounting\\Oracle\\Oracle.txt": 262504}}
\ No newline at end of file
diff --git a/Books/Code/Momentum/ActivePositions.cs b/Books/Code/Momentum/ActivePositions.cs
deleted file mode 100644
index 24d22d0..0000000
--- a/Books/Code/Momentum/ActivePositions.cs
+++ /dev/null
@@ -1,178 +0,0 @@
-using MarketData.Utils;
-using System;
-using System.Collections.Generic;
-using System.Linq;
-
-namespace MarketData.Generator.Momentum
-{
-  public class ActivePositions : Dictionary<int,Positions>
-  {
-    public ActivePositions()
-    {
-    }
-    public double GetExposure()
-    {
-      double exposure=0.00;
-      List<int> keys = new List<int>(Keys);
-      for(int index=0;index<keys.Count;index++)
-      {
-        List<Position> positions=this[keys[index]];
-        if(null==positions||0==positions.Count)continue;
-        exposure+=(from Position position in positions select position.Exposure).Sum();
-      }
-      return exposure;
-    }
-    public List<String> GetSymbols()
-    {
-      return SymbolsHeld();
-    }
-    public Position FindPosition(String symbol,DateTime purchaseDate)
-    {
-      Position foundPosition=null;
-      List<int> keys=new List<int>(this.Keys);
-      for(int index=0;index<keys.Count;index++)
-      {
-        Positions positions=this[keys[index]];
-        foreach(Position position in positions)
-        {
-          if(position.Symbol.Equals(symbol)&&position.PurchaseDate.Date.Equals(purchaseDate.Date))
-          {
-            foundPosition=position;
-            break;
-          }
-        }
-      }
-      return foundPosition;
-    }
-    public int FindSlotForPosition(Position searchPosition)
-    {
-      List<int> keys=new List<int>(this.Keys);
-      for(int index=0;index<keys.Count;index++)
-      {
-        Positions positions=this[keys[index]];
-        foreach(Position position in positions)
-        {
-          if(position == searchPosition)return index;
-        }
-      }
-      return -1;
-    }
-
-    public bool Remove(Position searchPosition)
-    {
-      List<int> keys = new List<int>(this.Keys);
-      for (int index = 0; index < keys.Count; index++)
-      {
-        Positions positions = this[keys[index]];
-        foreach (Position slotPosition in positions)
-        {
-          if (slotPosition == searchPosition)
-          {
-            positions.Remove(searchPosition);
-            return true;
-          }
-        }
-      }
-      return false;
-    }
-
-    public Positions GetPositions()
-    {
-      Positions positionsCollection=new Positions();
-      List<int> keys=new List<int>(this.Keys);
-      Dictionary<String,String> symbols=new Dictionary<String,String>();
-      for(int index=0;index<keys.Count;index++)
-      {
-        Positions positions=this[keys[index]];
-        foreach(Position position in positions)
-        {
-          positionsCollection.Add(position);
-        }
-      }
-      return positionsCollection;
-    }
-    public List<String> SymbolsHeld()
-    {
-      List<int> keys = new List<int>(this.Keys);
-      Dictionary<String, String> symbols = new Dictionary<String, String>();
-      for (int index = 0; index < keys.Count; index++)
-      {
-        Positions positions = this[keys[index]];
-        foreach (Position position in positions)
-        {
-          if (!symbols.ContainsKey(position.Symbol)) symbols.Add(position.Symbol, position.Symbol);
-        }
-      }
-      return new List<String>(symbols.Keys);
-    }
-    public double GetMarketValue()
-    {
-      int count=Count;
-      double marketValue=0.00;
-      List<int> keys=new List<int>(this.Keys);
-      for(int index=0;index<keys.Count;index++)
-      {
-        List<Position> positions=this[keys[index]];
-        if(null==positions||0==positions.Count)continue;
-        marketValue+=(from Position position in positions select position.MarketValue).Sum();
-      }
-      return marketValue;
-    }
-    public double GetGainLoss()
-    {
-      int count=Count;
-      double marketValue=0.00;
-      double exposure=0.00;
-
-      List<int> keys = new List<int>(this.Keys);
-      for(int index=0;index<keys.Count;index++)
-      {
-        List<Position> positions=this[keys[index]];
-        if(null==positions||0==positions.Count)continue;
-        exposure+=(from Position position in positions select position.Exposure).Sum();
-        marketValue+=(from Position position in positions select position.MarketValue).Sum();
-      }
-      return marketValue-exposure;
-    }
-    public double GetGainLossPercent()
-    {
-      double exposure=GetExposure();
-      double marketValue=GetMarketValue();
-      if(0.00==exposure)return exposure;
-      return (marketValue-exposure)/exposure;
-    }
-    public void Display()
-    {
-      List<int> keys = new List<int>(this.Keys);
-      for(int index=0;index<keys.Count;index++)
-      {
-        Positions positions=this[keys[index]];
-        DateTime purchaseDate=(from Position position in positions select position.PurchaseDate).Distinct().FirstOrDefault();
-        MDTrace.WriteLine(LogLevel.DEBUG,String.Format("******************* B U Y S  F O R  {0} *****************",Utility.DateTimeToStringMMHDDHYYYY(purchaseDate)));
-        positions.Display();
-        }
-    }
-    public void AddFromNVPCollection(NVPCollection nvpCollection)
-    {
-      SlotPosition slotPosition=SlotPosition.FromNVPCollection(nvpCollection);
-      if(!ContainsKey(slotPosition.Slot))
-      {
-        Add(slotPosition.Slot,new Positions());
-      }
-      this[slotPosition.Slot].Add(slotPosition.ToPosition());
-    }
-    public List<NVPCollections> ToNVPCollections()
-    {
-      List<int> keys=new List<int>(Keys);
-      List<NVPCollections> nvpCollectionsList=new List<NVPCollections>();
-      for(int index=0;index<keys.Count;index++)
-      {
-        Positions positions=this[keys[index]];
-        SlotPositions slotPositions=new SlotPositions(keys[index],positions);
-        NVPCollections nvpCollections=slotPositions.ToNVPCollections();
-        nvpCollectionsList.Add(nvpCollections);
-      }
-      return nvpCollectionsList;
-    }
-  }
-}
diff --git a/Books/Code/Momentum/Backtest.cs b/Books/Code/Momentum/Backtest.cs
deleted file mode 100644
index f4ad6ec..0000000
--- a/Books/Code/Momentum/Backtest.cs
+++ /dev/null
@@ -1,758 +0,0 @@
-using System;
-using System.Collections.Generic;
-using MarketData.MarketDataModel;
-using MarketData.DataAccess;
-using MarketData.Utils;
-using System.Linq;
-using MarketData.Cache;
-using MarketData.Generator.Model;
-
-namespace MarketData.Generator.Momentum
-{
-  public class MomentumBacktest
-  {
-    private double NonTradeableCash{get;set;}
-    private double CashBalance{get;set;}
-    private MGConfiguration Configuration{get;set;}
-    private int HoldingPeriod{get{return Configuration.HoldingPeriod;}}
-    private int MaxPositions{get{return Configuration.MaxPositions;}}
-    private ActivePositions ActivePositions{get;set;}
-    private Positions AllPositions{get;set;}
-    private int Cycle{get;set;}
-    private DateTime TradeDate{get;set;}
-    private DateTime StartDate{get;set;}
-    private DateTime AnalysisDate{get;set;}
-    private String PathSessionFileName{get;set;}
-// ******************************************************************************************************************************************************
-//************************************************************** D I S P L A Y  G A I N  L O S S    *****************************************************
-// ******************************************************************************************************************************************************
-    public static void DisplayGainLoss(String paramPathSessionFileName)
-    {
-      Profiler profiler=new Profiler();
-      ModelPerformanceSeries performanceSeries=GetModelPerformance(paramPathSessionFileName);
-      if(null==performanceSeries)return;
-      MDTrace.WriteLine("Date,Exposure,MarketValue,GainLossDOD,GainLoss,CumulativeGainLoss,R,(1+R),CumProd,CumProd-1,ClosedPositions");
-      foreach(ModelPerformanceItem modelPerformanceItem in performanceSeries)
-      {
-        MDTrace.WriteLine(LogLevel.DEBUG,String.Format("\"{0}\",\"{1}\",\"{2}\",\"{3}\",\"{4}\",\"{5}\",\"{6}\",\"{7}\",\"{8}\",\"{9}\",\"{10}\"",
-          modelPerformanceItem.Date.ToShortDateString(),
-          Utility.FormatCurrency(modelPerformanceItem.Exposure),                                                                         
-          Utility.FormatCurrency(modelPerformanceItem.MarketValue),                                                                     
-          Utility.FormatCurrency(modelPerformanceItem.GainLossDOD),
-          Utility.FormatCurrency(modelPerformanceItem.GainLoss), 
-          Utility.FormatCurrency(modelPerformanceItem.CumulativeGainLoss),
-          Utility.FormatNumber(modelPerformanceItem.R,4),
-          Utility.FormatNumber(modelPerformanceItem.OnePlusR,4),
-          Utility.FormatNumber(modelPerformanceItem.CumProd,4),
-          Utility.FormatNumber(modelPerformanceItem.CumProdMinusOne,4), 
-          modelPerformanceItem.ClosedPositions));
-      }
-      MDTrace.WriteLine(LogLevel.DEBUG,String.Format("Done, took {0}(ms)",profiler.End()));
-    }
-
-    public static ModelPerformanceSeries GetModelPerformance(String paramPathSessionFileName)
-    {
-      try
-      {
-        MGSessionParams sessionParams=MGSessionManager.RestoreSession(paramPathSessionFileName);
-        return GetModelPerformance(sessionParams);
-      }
-      catch(Exception exception)
-      {
-        MDTrace.WriteLine(LogLevel.DEBUG,exception.ToString());
-        return null;
-      }
-    }
-// Calculates the expectation for the model ( Percent of Winning Trades * Average Gain)/(Percent Losing Trades * Average Loss)
-// The expectation should be above zero
-    public static ModelStatistics GetModelStatistics(MGSessionParams sessionParams)
-    {
-      ModelStatistics modelStatistics=new ModelStatistics();
-      try
-      {
-        if(null==sessionParams||null==sessionParams.AllPositions||0==sessionParams.AllPositions.Count) return modelStatistics;
-        double totalTrades=sessionParams.AllPositions.Count;
-        double winningTrades=sessionParams.AllPositions.Where(x => x.GainLoss>=0.00).Count();
-        double losingTrades=sessionParams.AllPositions.Where(x => x.GainLoss<0.00).Count();
-        double averageWinningTrade=sessionParams.AllPositions.Where(x => x.GainLoss>=0.00).Average(x => x.GainLossPcnt)*100.00;
-        double averageLosingTrade=sessionParams.AllPositions.Where(x => x.GainLoss<0.00).Average(x => x.GainLossPcnt)*100.00;
-        double percentWinningTrades=(winningTrades/(double)sessionParams.AllPositions.Count)*100.00;
-        double percentLosingTrades=(losingTrades/(double)sessionParams.AllPositions.Count)*100.00;
-        double expectation=(percentWinningTrades*averageWinningTrade)/(percentLosingTrades*Math.Abs(averageLosingTrade));
-
-        modelStatistics.TotalTrades=(long)totalTrades;
-        modelStatistics.WinningTrades=(long)winningTrades;
-        modelStatistics.LosingTrades=(long)losingTrades;
-        modelStatistics.AverageWinningTradePercentGain=averageWinningTrade;
-        modelStatistics.AverageLosingTradePercentLoss=averageLosingTrade;
-        modelStatistics.WinningTradesPercent=percentWinningTrades;
-        modelStatistics.LosingTradesPercent=percentLosingTrades;
-        modelStatistics.Expectancy=expectation;
-        return modelStatistics;
-      }
-      catch(Exception exception)
-      {
-        MDTrace.WriteLine(LogLevel.DEBUG,exception.ToString());
-        return modelStatistics;
-      }
-    }
-
-    public static ModelPerformanceSeries GetModelPerformance(MGSessionParams sessionParams)
-    {
-      Profiler profiler=new Profiler();
-      ModelPerformanceSeries performanceSeries=new ModelPerformanceSeries();
-      DateGenerator dateGenerator=new DateGenerator();
-      try
-      {
-        if(null==sessionParams)return null;
-        MarketData.Generator.Momentum.Positions combinedPositions=sessionParams.GetCombinedPositions();
-
-        DateTime minDate=combinedPositions.Min(x => x.PurchaseDate);
-        DateTime maxDate=PricingDA.GetLatestDate();
-        double prevGainLoss=double.NaN;
-        LocalPriceCache.GetInstance().RemoveDate(maxDate);
-        List<DateTime> historicalDates=dateGenerator.GenerateHistoricalDates(minDate,maxDate);
-        foreach(DateTime currentDate in historicalDates)
-        {
-          MarketData.Generator.Momentum.Positions openPositions=new MarketData.Generator.Momentum.Positions(combinedPositions.Where(x => (x.PurchaseDate<=currentDate&&(!Utility.IsEpoch(x.SellDate)&&x.SellDate>currentDate))||(x.PurchaseDate<=currentDate&&Utility.IsEpoch(x.SellDate))).ToList());
-          MarketData.Generator.Momentum.Positions closedPositions=new MarketData.Generator.Momentum.Positions(combinedPositions.Where(x => (!Utility.IsEpoch(x.SellDate)&&x.SellDate.Equals(currentDate))).ToList());
-          if(0==openPositions.Count&&0==closedPositions.Count) continue;
-          double gainLoss=0.00;
-          double gainLossClosedPositions=0.00;
-          double exposure=0.00;
-          double marketValue=0.00;
-          ModelPerformanceItem performanceItem=new ModelPerformanceItem();
-          foreach(MarketData.Generator.Momentum.Position openPosition in openPositions)
-          {
-            exposure+=openPosition.Shares*openPosition.PurchasePrice;
-            if(!LocalPriceCache.GetInstance().ContainsPrice(openPosition.Symbol,currentDate))
-            {
-              Prices prices=PricingDA.GetPricesForward(openPosition.Symbol,currentDate,PricingDA.ForwardLookingDays);
-              LocalPriceCache.GetInstance().Add(prices);
-            }
-            Price price=LocalPriceCache.GetInstance().GetPrice(openPosition.Symbol,currentDate);
-            if(null==price)
-            {
-              MDTrace.WriteLine(LogLevel.DEBUG,String.Format("No price for {0} on {1}",openPosition.Symbol,currentDate.ToShortDateString()));
-            }
-            else
-            {
-              gainLoss+=((price.Close*openPosition.Shares)-(openPosition.PurchasePrice*openPosition.Shares));
-              marketValue+=(price.Close*openPosition.Shares);
-            }
-          }
-          foreach(MarketData.Generator.Momentum.Position closedPosition in closedPositions)
-          {
-            double gainLossPosition=(closedPosition.CurrentPrice*closedPosition.Shares)-(closedPosition.PurchasePrice*closedPosition.Shares);
-            gainLossClosedPositions+=gainLossPosition;
-          }
-          performanceItem.Date=currentDate;
-          performanceItem.Exposure=exposure;
-          performanceItem.MarketValue=marketValue;
-          performanceItem.GainLossDOD=double.IsNaN(prevGainLoss)?gainLoss:(gainLoss-prevGainLoss)+gainLossClosedPositions;
-          performanceItem.GainLoss=gainLoss+gainLossClosedPositions;
-          performanceItem.ClosedPositions=closedPositions.Count>0?true:false;
-          performanceSeries.Add(performanceItem);
-          prevGainLoss=gainLoss;
-        }
-        performanceSeries.CalculatePerformance();
-        return performanceSeries;
-      }
-      catch(Exception exception)
-      {
-        MDTrace.WriteLine(LogLevel.DEBUG,exception.ToString());
-        return null;
-      }
-      finally
-      {
-        MDTrace.WriteLine(LogLevel.DEBUG,String.Format("Done, total took {0}(ms)",profiler.End()));
-      }
-    }
-// ******************************************************************************************************************************************************
-//************************************************************** D I S P L A Y  S E S S I O N   *****************************************************
-// ******************************************************************************************************************************************************
-    public void DisplaySession(String paramPathSessionFileName)
-    {
-      if(null==paramPathSessionFileName)return;
-      PathSessionFileName=paramPathSessionFileName;
-      MGSessionParams sessionParams=null;
-      if(null==(sessionParams=RestoreSession()))
-      {
-        MDTrace.WriteLine(LogLevel.DEBUG,String.Format("Error loading session file {0}",paramPathSessionFileName));
-        return;
-      }
-      Console.WriteLine(String.Format("SessionFile:{0} Last Updated:{1}",paramPathSessionFileName,sessionParams.LastUpdated));
-      Configuration.DisplayConfiguration();
-      MDTrace.WriteLine(LogLevel.DEBUG,"************** A L L   P O S I T I O N S  *************");
-      AllPositions=new Positions((from Position position in AllPositions orderby position.PurchaseDate ascending select position).ToList());
-      AllPositions.Display();
-      MDTrace.WriteLine(LogLevel.DEBUG,"************** A C T I V E   P O S I T I O N S  *************");
-      ActivePositions.Display();
-      MDTrace.WriteLine(LogLevel.DEBUG, "************** T O P  G A I N E R S  *************");
-      AllPositions.DisplayTopFive();
-      MDTrace.WriteLine(LogLevel.DEBUG, "************** T O P  L O S S E R S   *************");
-      AllPositions.DisplayBottomFive();
-//      DisplayBalanceFromPositions();
-      DisplayLatestModelPerformance(paramPathSessionFileName);
-      MDTrace.WriteLine(LogLevel.DEBUG,String.Format("StartDate:{0}",Utility.DateTimeToStringMMHDDHYYYY(StartDate)));
-      MDTrace.WriteLine(LogLevel.DEBUG,String.Format("TradeDate:{0}",Utility.DateTimeToStringMMHDDHYYYY(TradeDate)));
-      MDTrace.WriteLine(LogLevel.DEBUG,String.Format("AnalysisDate:{0}",Utility.DateTimeToStringMMHDDHYYYY(AnalysisDate)));
-      MDTrace.WriteLine(LogLevel.DEBUG,String.Format("Next Slot:{0}",Cycle));
-    }
-// ******************************************************************************************************************************************************
-//******************************************************* L I Q U I D A T E   A L L  P O S I T I O N S    ***********************************************
-// ******************************************************************************************************************************************************
-    public void MGLiquididate(String pathSessionFile,DateTime? tradeDate)
-    {
-      if (null == pathSessionFile) return;
-      MGSessionParams sessionParams=null;
-
-      PathSessionFileName = pathSessionFile;
-      if (null == (sessionParams = RestoreSession()))
-      {
-        MDTrace.WriteLine(LogLevel.DEBUG, String.Format("Error loading session file {0}", pathSessionFile));
-        return;
-      }
-      MDTrace.WriteLine(LogLevel.DEBUG, "************** L I Q U I D A T E   P O S I T I O N S  *************");
-      if (null == ActivePositions || 0 == ActivePositions.Count)
-      {
-        MDTrace.WriteLine(LogLevel.DEBUG, String.Format("No active positions in file {0}", pathSessionFile));
-        return;
-      }
-      if(null==tradeDate)tradeDate = PricingDA.GetLatestDate(ActivePositions.GetSymbols());
-      MDTrace.WriteLine(LogLevel.DEBUG, String.Format("Trade date:{0}", Utility.DateTimeToStringMMHDDHYYYY(tradeDate.Value)));
-      for (int slotIndex = 0; slotIndex < ActivePositions.Count; slotIndex++)
-      {
-        Positions slotPositions = ActivePositions[slotIndex];
-        SellPositions(slotPositions, tradeDate.Value);
-        MDTrace.WriteLine(LogLevel.DEBUG, "********************* S E L L  *********************");
-        slotPositions.Display();
-        AllPositions.Add(slotPositions);
-        DisplaySales(slotPositions, TradeDate);
-        CashBalance += slotPositions.MarketValue;
-        ActivePositions[slotIndex].Clear();
-      }
-      GBPriceCache.GetInstance().Dispose();
-      SaveSession();
-    }
-// ******************************************************************************************************************************************************
-// ****************************************************************** C L O S E    **********************************************************************
-// ******************************************************************************************************************************************************
-    public bool ClosePosition(String symbol,DateTime purchaseDate,DateTime sellDate,double sellPrice,String pathSessionFile)
-    {
-      if(null==pathSessionFile) return false;
-      MGSessionParams sessionParams=null;
-
-      PathSessionFileName=pathSessionFile;
-      if(null==(sessionParams=RestoreSession()))
-      {
-        MDTrace.WriteLine(LogLevel.DEBUG,String.Format("Error loading session file {0}",pathSessionFile));
-        return false;
-      }
-      if(!BackupSession()) return false;
-      Positions activePositions = ActivePositions.GetPositions();
-      Position position=activePositions.Where(x => x.Symbol.Equals(symbol) && x.PurchaseDate.Equals(purchaseDate)).FirstOrDefault();
-      if(null==position)  // if it is not in the active positions then the position is already closed and we are modifying either the sell date or the sell price
-      {
-        position=AllPositions.Where(x => x.Symbol.Equals(symbol) && x.PurchaseDate.Equals(purchaseDate)).FirstOrDefault();
-        if(null==position)
-        {
-          MDTrace.WriteLine(LogLevel.DEBUG,String.Format("Cannot locate position for symbol '{0}' purchased on {1}.",symbol,purchaseDate.ToShortDateString()));
-          return false;
-        }
-        position.SellDate = sellDate;
-        CashBalance -= position.MarketValue;
-        position.CurrentPrice = sellPrice;
-        CashBalance += position.MarketValue;
-        SaveSession();
-        return true;
-      }
-      position.SellDate = sellDate;
-      position.CurrentPrice = sellPrice;
-      CashBalance += position.MarketValue;
-      ActivePositions.Remove(position);
-      AllPositions.Add(position);
-      MDTrace.WriteLine(LogLevel.DEBUG,String.Format("Position for symbol '{0}' purchased on {1} is now closed.",symbol,purchaseDate.ToShortDateString()));
-      SaveSession();
-      return true;
-    }
-// ******************************************************************************************************************************************************
-// *************************************************************************** E D I T ******************************************************************
-// ******************************************************************************************************************************************************
-    public bool EditPosition(String symbol,DateTime purchaseDate,double purchasePrice,String pathSessionFile)
-    {
-      if(null==pathSessionFile) return false;
-      PathSessionFileName=pathSessionFile;
-      MGSessionParams sessionParams=null;
-      if(null==(sessionParams=RestoreSession()))
-      {
-        MDTrace.WriteLine(LogLevel.DEBUG,String.Format("Error loading session file {0}",pathSessionFile));
-        return false;
-      }
-      if(!BackupSession()) return false;
-
-      Positions activePositions = ActivePositions.GetPositions();
-
-      Position position=activePositions.Where(x => x.Symbol.Equals(symbol) && x.PurchaseDate.Equals(purchaseDate)).FirstOrDefault();
-      if(null==position)
-      {
-        MDTrace.WriteLine(LogLevel.DEBUG,String.Format("Cannot locate position for symbol '{0}' purchased on {1}.",symbol,purchaseDate.ToShortDateString()));
-        return false;
-      }
-      if(!position.PurchaseDate.Equals(purchaseDate)) position.PurchaseDate=purchaseDate;
-      if(!position.PurchasePrice.Equals(purchasePrice))
-      {
-        MDTrace.WriteLine(LogLevel.DEBUG,String.Format("Adjusting Cash for Position for symbol '{0}' purchased on {1}.  Original Price: {2}  New Price: {3} Change in Cash: {4}",
-          symbol,purchaseDate.ToShortDateString(),
-          Utility.FormatCurrency(position.PurchasePrice),
-          Utility.FormatCurrency(purchasePrice),
-          Utility.FormatCurrency((position.PurchasePrice-purchasePrice)*position.Shares)));
-        CashBalance+=(position.PurchasePrice-purchasePrice)*position.Shares;
-        position.PurchasePrice=purchasePrice;
-      }
-      SaveSession();
-      MDTrace.WriteLine(LogLevel.DEBUG,String.Format("Position for symbol '{0}' purchased on {1} has been modified and saved.",symbol,purchaseDate.ToShortDateString()));
-      return true;
-    }
-
-// ******************************************************************************************************************************************************
-// ****************************************************************** B A C K T E S T   *****************************************************************
-// ******************************************************************************************************************************************************
-//  Ideally, startDate should be November,February,May,August 
-// paramStartDate is startDate  {ORIGINAL START DATE}
-// paramAnalysisDate is endDate {TODAY}
-    public BacktestResult PerformBacktest(DateTime paramStartDate,DateTime paramAnalysisDate,String paramPathSessionFileName,MGConfiguration configuration)
-    {
-      BacktestResult backTestResult=new BacktestResult();
-      DateGenerator dateGenerator=new DateGenerator();
-      Configuration=configuration;
-      CashBalance=Configuration.InitialCash;
-      ActivePositions=new ActivePositions();
-      AllPositions=new Positions();
-      StartDate=paramStartDate;
-      TradeDate=paramStartDate;
-      AnalysisDate=paramAnalysisDate;
-      PathSessionFileName=paramPathSessionFileName;
-      MGSessionParams sessionParams=null;
-
-      Cycle=0;
-      if(AnalysisDate.Date>Today().Date)return backTestResult;
-      if(Utility.IsEpoch(AnalysisDate))AnalysisDate=dateGenerator.GetPrevBusinessDay(Today());  // Ensure AnalysisDate is not a weekend or holiday
-      TradeDate =dateGenerator.GetCurrentMonthEnd(StartDate);
-      if(TradeDate>AnalysisDate)
-      {
-        int startMonth=StartDate.Month;
-        TimeSpan timeSpan=new TimeSpan();
-        if((new int[]{12,3,6,9}).Any(x=>x.Equals(startMonth)))timeSpan=new TimeSpan(30,0,0,0);     
-        else if((new int[]{1,4,7,10}).Any(x=>x.Equals(startMonth)))timeSpan=new TimeSpan(60,0,0,0);
-        else if((new int[]{2,5,8,11}).Any(x=>x.Equals(startMonth)))timeSpan=new TimeSpan(90,0,0,0);
-        StartDate=StartDate-timeSpan;
-        TradeDate=dateGenerator.GetCurrentMonthEnd(StartDate);
-      }
-      if(null!=PathSessionFileName)sessionParams=RestoreSession();
-      if(null!=sessionParams)
-      {
-        MDTrace.WriteLine(LogLevel.DEBUG,String.Format("Using session file {0}, Last updated {1}",paramPathSessionFileName,sessionParams.LastUpdated));
-      }
-      Configuration.DisplayConfiguration();
-      DisplayBalance();
-      while(true)
-      {
-        if(TradeDate>AnalysisDate)break;
-        int slotIndex=(int)(((double)Cycle)%((double)(HoldingPeriod)));
-        MDTrace.WriteLine(LogLevel.DEBUG,String.Format("TRADE DATE {0} , ANALYSIS DATE {1}",Utility.DateTimeToStringMMHDDHYYYY(TradeDate),Utility.DateTimeToStringMMHDDHYYYY(AnalysisDate)));
-        if(!ActivePositions.ContainsKey(slotIndex))
-        {
-          Positions positions = null;
-          positions=BuyPositions(TradeDate,AnalysisDate,CashBalance/((double)HoldingPeriod-(double)ActivePositions.Count),SymbolsHeld(TradeDate));
-          MDTrace.WriteLine(LogLevel.DEBUG, "******************** B U Y ********************");
-          if(CashBalance-positions.Exposure<0.00)
-          {
-            positions.Clear();
-            MDTrace.WriteLine(LogLevel.DEBUG,String.Format("********** Insufficient funds to make additional purchases.**************"));
-          }
-          positions.Display();
-          ActivePositions.Add(slotIndex,positions);
-          DisplayPurchases(positions,TradeDate);
-          CashBalance-=positions.Exposure;
-          DisplayBalance();
-        }
-        else
-        {
-          Positions slotPositions=ActivePositions[slotIndex];
-          List<String> closedSymbols = slotPositions.ConvertAll(x => x.Symbol); // capture the closed symbols so we don't re-enter the position (avoid wash trades)
-          SellPositions(slotPositions,TradeDate);
-          MDTrace.WriteLine(LogLevel.DEBUG,"********************* S E L L  *********************");
-          slotPositions.Display();
-          AllPositions.Add(slotPositions);
-          DisplaySales(slotPositions, TradeDate);
-          CashBalance+=slotPositions.MarketValue;
-          ActivePositions[slotIndex].Clear();
-          DisplayBalance();
-          double cashAllocation=CashBalance;
-          cashAllocation = Math.Min(CashBalance, (ActivePositions.GetExposure() + CashBalance) / (double)HoldingPeriod);
-          MDTrace.WriteLine(LogLevel.DEBUG,String.Format("CASH ALLOCATION:{0}",Utility.FormatCurrency(cashAllocation)));
-          Positions positions = null;
-          positions=BuyPositions(TradeDate,AnalysisDate,cashAllocation,new List<String>(SymbolsHeld(TradeDate).Concat(closedSymbols)));
-          MDTrace.WriteLine(LogLevel.DEBUG,"********************** B U Y ********************");
-          positions.Display();
-          if(CashBalance-positions.Exposure<=0.00)
-          {
-            MDTrace.WriteLine(LogLevel.DEBUG,String.Format("********** Insufficient funds to make additional purchases.**************"));
-            break;
-          }
-          ActivePositions[slotIndex]=positions;
-          DisplayPurchases(positions, TradeDate);
-          CashBalance-=positions.Exposure;
-          DisplayBalance();
-        }
-        Cycle++;
-        TradeDate=dateGenerator.GetNextMonthEnd(TradeDate);
-        if(TradeDate>AnalysisDate)break;
-      }   // WHILE TRUE
-      MDTrace.WriteLine(LogLevel.DEBUG,"RUN COMPLETE.");
-      if(null!=PathSessionFileName)SaveSession();
-      for(int slotIndex=0;slotIndex<HoldingPeriod;slotIndex++)
-      {
-        if(!ActivePositions.ContainsKey(slotIndex)||0==ActivePositions[slotIndex].Count())continue;
-        Positions slotPositions=ActivePositions[slotIndex];
-        SellPositions(slotPositions,AnalysisDate);
-        MDTrace.WriteLine(LogLevel.DEBUG,"********************* S E L L  ********************");
-        slotPositions.Display();
-        AllPositions.Add(slotPositions);
-        DisplaySales(slotPositions, TradeDate);
-        CashBalance+=slotPositions.MarketValue;
-        ActivePositions[slotIndex].Clear();
-      }
-      MDTrace.WriteLine(LogLevel.DEBUG,"************** A L L   P O S I T I O N S  *************");
-      AllPositions=new Positions((from Position position in AllPositions orderby position.PurchaseDate ascending select position).ToList());
-      AllPositions.Display();
-      MDTrace.WriteLine(LogLevel.DEBUG, "************** T O P  G A I N E R S  *************");
-      AllPositions.DisplayTopFive();
-      MDTrace.WriteLine(LogLevel.DEBUG, "************** T O P  L O S E R S   *************");
-      AllPositions.DisplayBottomFive();
-      DisplayBalance();
-      backTestResult.Success=true;
-      backTestResult.CashBalance=CashBalance;
-      GBPriceCache.GetInstance().Dispose();
-      return backTestResult;
-    }
-    
-    public List<String> SymbolsHeld(DateTime tradeDate)
-    {
-      List<String> symbolsHeld=ActivePositions.SymbolsHeld();
-      if(!Configuration.IncludeTradeMasterForSymbolsHeld)return symbolsHeld;
-      if(null == symbolsHeld)symbolsHeld=new List<String>();
-      PortfolioTrades portfolioTrades=PortfolioDA.GetOpenTradesAsOf(tradeDate);
-      if(null == portfolioTrades || 0==portfolioTrades.Count)return symbolsHeld;
-      symbolsHeld.AddRange(portfolioTrades.Symbols.Distinct());
-      return symbolsHeld;
-    }  
-// **********************************************************************************************************************************************************
-// **************************************************************** G E T  E X P O S U R E  / M A R K E T  V A L U E*****************************************
-// **********************************************************************************************************************************************************
-    public RealtimeGainLoss GetRealtimeGainLoss(DateTime tradeDate)
-    {
-      int count=ActivePositions.Count;
-      double marketValue=0.00;
-      double exposure=0.00;
-      RealtimeGainLoss gainLoss=new RealtimeGainLoss();
-
-      for(int slotIndex=0;slotIndex<count;slotIndex++)
-      {
-        List<Position> positions=ActivePositions[slotIndex];
-        if(null==positions||0==positions.Count)continue;
-        foreach(Position position in positions)
-        {
-          Price price=GBPriceCache.GetInstance().GetRealtimePrice(position.Symbol);
-          if(null==price){MDTrace.WriteLine(LogLevel.DEBUG,String.Format("Cannot price {0} on {1}",position.Symbol,Utility.DateTimeToStringMMHDDHYYYY(tradeDate)));continue;}
-          position.CurrentPrice=price.Close;
-        }
-      }
-      for(int slotIndex=0;slotIndex<count;slotIndex++)
-      {
-        List<Position> positions=ActivePositions[slotIndex];
-        if(null==positions||0==positions.Count)continue;
-        exposure+=(from Position position in positions select position.Exposure).Sum();
-        marketValue+=(from Position position in positions select position.MarketValue).Sum();
-      }
-      gainLoss.Exposure=exposure;
-      gainLoss.MarketValue=marketValue;
-      return gainLoss;
-    }
-// **************************************************************************************************************************************************
-// **************************************************************** S E L L   P O S I T I O N S  *****************************************************
-// ***************************************************************************************************************************************************
-    private void SellPositions(Positions positions,DateTime sellDate)
-    {
-      foreach(Position position in positions)
-      {
-        Price price=GBPriceCache.GetInstance().GetPrice(position.Symbol,sellDate);
-        position.SellDate=sellDate;
-        if(null==price)
-        {
-          MDTrace.WriteLine(LogLevel.DEBUG,String.Format("**********Cannot locate a price for {0} on {1}**********",position.Symbol,Utility.DateTimeToStringMMHDDHYYYY(sellDate)));
-          position.CurrentPrice=position.PurchasePrice;
-        }
-        else position.CurrentPrice=price.Close;
-      }
-    }
-
-    private void SellPosition(Position position,DateTime sellDate)
-    {
-      Price price=GBPriceCache.GetInstance().GetPrice(position.Symbol,sellDate);
-      position.SellDate=sellDate;
-      if(null==price)
-      {
-        MDTrace.WriteLine(LogLevel.DEBUG,String.Format("**********Cannot locate a price for {0} on {1}**********",position.Symbol,Utility.DateTimeToStringMMHDDHYYYY(sellDate)));
-        position.CurrentPrice=position.PurchasePrice;
-      }
-      else position.CurrentPrice=price.Close;
-    }
-// ***************************************************************************************************************************************************
-// ******************************************************** B U Y    P O S I T I O N S   *************************************************************
-// ***************************************************************************************************************************************************
-    private Positions BuyPositions(DateTime tradeDate, DateTime analysisDate, double cash, List<String> symbolsHeld)
-    {
-      MDTrace.WriteLine(LogLevel.DEBUG,"**BUYPOSITIONS**");
-      Positions positions = new Positions();
-      int positionCount = 0;
-      if (Configuration.BenchmarkMode) return BuyBenchmarkPositions(tradeDate, cash);
-      MomentumCandidates momentumCandidates = MomentumGenerator.GenerateMomentum(tradeDate, symbolsHeld, Configuration);
-      for (int index = 0; index < momentumCandidates.Count; index++)
-      {
-        MomentumCandidate momentumCandidate = momentumCandidates[index];
-        Price price = GBPriceCache.GetInstance().GetPrice(momentumCandidate.Symbol, tradeDate);
-        if (null == price)
-        {
-          MDTrace.WriteLine(LogLevel.DEBUG, String.Format("Cannot locate a price for {0} on {1}", momentumCandidate.Symbol, Utility.DateTimeToStringMMHDDHYYYY(tradeDate)));
-          continue;
-        }
-        Position position = new Position();
-        position.Symbol = momentumCandidate.Symbol;
-        position.CumReturn252 = momentumCandidate.CumReturn252;
-        position.IDIndicator = momentumCandidate.IDIndicator;
-        position.Score=momentumCandidate.Score;
-        position.MaxDrawdown = momentumCandidate.MaxDrawdown;
-        position.MaxUpside = momentumCandidate.MaxUpside;
-        position.PE = momentumCandidate.PE;
-        position.Beta = momentumCandidate.Beta;
-        position.ZacksRank = momentumCandidate.ZacksRank;
-        position.Velocity = momentumCandidate.Velocity;
-        position.Volume = momentumCandidate.Volume;
-        position.Return1D = position.Return1D;
-        position.PurchaseDate = tradeDate;
-        position.PurchasePrice = price.Close;
-        position.CurrentPrice = price.Close;
-        position.Shares = (int)Math.Floor((cash / (double)MaxPositions) / position.PurchasePrice);
-        if (0 == position.Shares) continue;    // if not able to purchase any shares, for example, if the share price exceeds our purchasing power then move on to the next candidate
-        positions.Add(position);
-        positionCount++;
-        if (positionCount >= MaxPositions) break;
-      }
-      if (0 == positions.Count && Configuration.UseFallbackCandidate)    // if we don't get any signals then consider the fallback candidate options as per the configuration file
-      {
-        String fallbackCandidate = Configuration.FallbackCandidate;
-        if (null != Configuration.FallbackCandidateBestOf && !"".Equals(Configuration.FallbackCandidateBestOf))
-        {
-          QualityIndicator qualityIndicator=new QualityIndicator(Configuration.QualityIndicatorType);
-          fallbackCandidate=CandidateSelector.SelectBestCandidateSymbol(qualityIndicator,Utility.ToList(Configuration.FallbackCandidateBestOf),Configuration.FallbackCandidate,tradeDate);
-        }
-        Price price = GBPriceCache.GetInstance().GetPrice(fallbackCandidate, tradeDate);
-        if (null == price)
-        {
-          MDTrace.WriteLine(LogLevel.DEBUG, String.Format("Cannot locate a price for {0} on {1}", fallbackCandidate, Utility.DateTimeToStringMMHDDHYYYY(tradeDate)));
-          return positions;
-        }
-        Position position = new Position();
-        position.Symbol = fallbackCandidate;
-        position.PurchaseDate = tradeDate;
-        position.PurchasePrice = price.Close;
-        position.CurrentPrice = price.Close;
-        position.Shares = (int)Math.Floor(cash / position.PurchasePrice);
-        if(0 == position.Shares)return positions;
-        positions.Add(position);
-      }
-      return positions;
-    }
-
-    private Positions BuyBenchmarkPositions(DateTime tradeDate, double cash)
-    {
-      Positions positions = new Positions();
-      Price benchmarkPrice = GBPriceCache.GetInstance().GetPrice(Configuration.BenchmarkModeSymbol, tradeDate);
-      if (null == benchmarkPrice)
-      {
-        MDTrace.WriteLine(LogLevel.DEBUG, String.Format("Cannot locate a price for {0} on {1}", Configuration.BenchmarkModeSymbol, Utility.DateTimeToStringMMHDDHYYYY(tradeDate)));
-        return positions;
-      }
-      Position position = new Position();
-      position.Symbol = Configuration.BenchmarkModeSymbol;
-      position.PurchaseDate = tradeDate;
-      position.PurchasePrice = benchmarkPrice.Close;
-      position.Shares = (int)Math.Floor(cash / position.PurchasePrice);
-      if (0 == position.Shares) return positions;
-      positions.Add(position);
-      return positions;
-    }
-// *********************************************************************************************************************************************************************
-// ************************************************************ E N D   B U Y  P O S I T I O N S ***********************************************
-// *********************************************************************************************************************************************************************
-    private void DisplayLatestModelPerformance(String pathSessionFileName)
-    {
-      ModelPerformanceSeries performanceSeries=GetModelPerformance(pathSessionFileName);
-      if(null==performanceSeries || 0==performanceSeries.Count)return;
-      MDTrace.WriteLine("Date,Exposure,MarketValue,GainLossDoD,GainLoss,CumulativeGainLoss,R,(1+R),CumProd,CumProd-1,ClosedPositions");
-      ModelPerformanceItem modelPerformanceItem = performanceSeries[performanceSeries.Count-1];   // get the last record
-      MDTrace.WriteLine(LogLevel.DEBUG,String.Format("\"{0}\",\"{1}\",\"{2}\",\"{3}\",\"{4}\",\"{5}\",\"{6}\",\"{7}\",\"{8}\",\"{9}\",\"{10}\"",
-        modelPerformanceItem.Date.ToShortDateString(),
-        Utility.FormatCurrency(modelPerformanceItem.Exposure),                                                                         
-        Utility.FormatCurrency(modelPerformanceItem.MarketValue),                                                                     
-        Utility.FormatCurrency(modelPerformanceItem.GainLossDOD),
-        Utility.FormatCurrency(modelPerformanceItem.GainLoss), 
-        Utility.FormatCurrency(modelPerformanceItem.CumulativeGainLoss),
-        Utility.FormatNumber(modelPerformanceItem.R,4),
-        Utility.FormatNumber(modelPerformanceItem.OnePlusR,4),
-        Utility.FormatNumber(modelPerformanceItem.CumProd,4),
-        Utility.FormatNumber(modelPerformanceItem.CumProdMinusOne,4), 
-        modelPerformanceItem.ClosedPositions));        
-    }
-
-    private void DisplayBalance()
-    {
-      MDTrace.WriteLine(LogLevel.DEBUG,"*******************************************");
-      MDTrace.WriteLine(LogLevel.DEBUG,"EXPOSURE,AVAILABLE CASH,TOTAL ACCOUNT");
-      MDTrace.WriteLine(LogLevel.DEBUG,String.Format("{0},{1},{2}",Utility.AddQuotes(Utility.FormatCurrency(ActivePositions.GetExposure())),Utility.AddQuotes(Utility.FormatCurrency(CashBalance)),Utility.AddQuotes(Utility.FormatCurrency(ActivePositions.GetMarketValue()+CashBalance))));
-      for (int slotIndex = 0; slotIndex < ActivePositions.Count; slotIndex++)
-      {
-        Positions slotPositions = ActivePositions[slotIndex];
-        MDTrace.WriteLine(LogLevel.DEBUG,String.Format("SLOT:{0} EXPOSURE:{1}",slotIndex,Utility.FormatCurrency(slotPositions.Exposure)));
-      }
-      MDTrace.WriteLine(LogLevel.DEBUG,String.Format("TOTAL EXPOSURE: {0}",Utility.FormatCurrency(ActivePositions.GetExposure())));
-      MDTrace.WriteLine(LogLevel.DEBUG,"*******************************************");
-    }
-
-    private void DisplayBalanceFromPositions()
-    {
-      MDTrace.WriteLine(LogLevel.DEBUG,"EXPOSURE,GAIN/LOSS,GAIN/LOSS(%),AVAILABLE CASH,TOTAL ACCOUNT");
-      MDTrace.WriteLine(LogLevel.DEBUG,String.Format("{0},{1},{2},{3},{4}",
-        Utility.AddQuotes(Utility.FormatCurrency(ActivePositions.GetExposure())),
-        Utility.AddQuotes(Utility.FormatCurrency(ActivePositions.GetGainLoss())),
-        Utility.AddQuotes(Utility.FormatPercent(ActivePositions.GetGainLossPercent())),
-        Utility.AddQuotes(Utility.FormatCurrency(CashBalance)),
-        Utility.AddQuotes(Utility.FormatCurrency(ActivePositions.GetMarketValue()+CashBalance))));
-    }
-
-    private void DisplayBalance(RealtimeGainLoss gainLoss)
-    {
-      MDTrace.WriteLine(LogLevel.DEBUG,"EXPOSURE,GAIN/LOSS,GAIN/LOSS(%),AVAILABLE CASH,TOTAL ACCOUNT");
-      MDTrace.WriteLine(LogLevel.DEBUG,String.Format("{0},{1},{2},{3},{4}",
-        Utility.AddQuotes(Utility.FormatCurrency(ActivePositions.GetExposure())),
-        Utility.AddQuotes(Utility.FormatCurrency(gainLoss.GainLoss)),
-        Utility.AddQuotes(Utility.FormatPercent(gainLoss.GainLossPercent)),
-        Utility.AddQuotes(Utility.FormatCurrency(CashBalance)),
-        Utility.AddQuotes(Utility.FormatCurrency(gainLoss.MarketValue+CashBalance))));
-    }
-// ****************************************************************************************************************************************
-// ************************************************************* C O N T R O L  T O D A Y ***********************************************
-// ****************************************************************************************************************************************
-    public DateTime Today()
-    {
-      return DateTime.Now;
-    }
-// ****************************************************************************************************************************************
-// **************************************************************** S E S S I O N  M A N A G E M E N T  ***********************************
-// ****************************************************************************************************************************************
-    public MGSessionParams RestoreSession()
-    {
-      try
-      {
-        MGSessionManager sessionManager=new MGSessionManager();
-        if(!MGSessionManager.SessionAvailable(PathSessionFileName))return null;
-        MDTrace.WriteLine(LogLevel.DEBUG,String.Format("Restoring session from '{0}'",PathSessionFileName));
-        MGSessionParams sessionParams=MGSessionManager.RestoreSession(PathSessionFileName);
-        TradeDate=sessionParams.TradeDate;
-        if(TradeDate.Date<AnalysisDate.Date)TradeDate=AnalysisDate;   // AnalysisDate will not fall on a weekend or holiday
-        StartDate=sessionParams.StartDate;
-        Configuration=sessionParams.Configuration;
-        ActivePositions=sessionParams.ActivePositions;
-        AllPositions=sessionParams.AllPositions;
-        Cycle=sessionParams.Cycle;
-        CashBalance=sessionParams.CashBalance;
-        NonTradeableCash=sessionParams.NonTradeableCash;
-        return sessionParams;
-      }
-      catch(Exception exception)
-      {
-        MDTrace.WriteLine(LogLevel.DEBUG,exception.ToString());
-        return null;
-      }
-    }
-    public void SaveSession()
-    {
-      DateGenerator dateGenerator = new DateGenerator();
-      MDTrace.WriteLine(LogLevel.DEBUG, String.Format("Saving session to '{0}'", PathSessionFileName));
-      MGSessionParams sessionParams = new MGSessionParams();
-      if (Utility.IsEpoch(AnalysisDate)) AnalysisDate = dateGenerator.GetPrevBusinessDay(Today());
-      sessionParams.LastUpdated = Today();
-      sessionParams.TradeDate = TradeDate;
-      sessionParams.StartDate = StartDate;
-      sessionParams.AnalysisDate = AnalysisDate;
-      sessionParams.Configuration = Configuration;
-      sessionParams.ActivePositions = ActivePositions;
-      sessionParams.AllPositions = AllPositions;
-      sessionParams.Cycle = Cycle;
-      sessionParams.CashBalance = CashBalance;
-      sessionParams.NonTradeableCash = NonTradeableCash;
-      MGSessionManager.SaveSession(sessionParams,PathSessionFileName);
-    }
-
-    public bool BackupSession()
-    {
-      DateGenerator dateGenerator = new DateGenerator();
-      String[] parts = PathSessionFileName.Split('.');
-      String backupFileName = parts[0] + "_" + Utility.DateTimeToStringYYYYMMDDMMSSTT(DateTime.Now) + ".bak";
-      MDTrace.WriteLine(LogLevel.DEBUG, String.Format("Saving session to '{0}'", backupFileName));
-      MGSessionParams sessionParams = new MGSessionParams();
-      if (Utility.IsEpoch(AnalysisDate)) AnalysisDate = dateGenerator.GetPrevBusinessDay(Today());
-      sessionParams.LastUpdated = Today();
-      sessionParams.TradeDate = TradeDate;
-      sessionParams.StartDate = StartDate;
-      sessionParams.AnalysisDate = AnalysisDate;
-      sessionParams.Configuration = Configuration;
-      sessionParams.ActivePositions = ActivePositions;
-      sessionParams.AllPositions = AllPositions;
-      sessionParams.Cycle = Cycle;
-      sessionParams.CashBalance = CashBalance;
-      sessionParams.NonTradeableCash = NonTradeableCash;
-      return MGSessionManager.SaveSession(sessionParams,backupFileName);
-    }
-
-    /// <summary>
-    /// This makes for easier reading of the sales
-    /// </summary>
-    /// <param name="positions"></param>
-    /// <param name="tradeDate"></param>
-    private static void DisplaySales(Positions positions,DateTime tradeDate)
-    {
-      MDTrace.WriteLine(LogLevel.DEBUG,"********* S E L L S *********");
-      foreach (Position position in positions)
-      {
-        MDTrace.WriteLine(LogLevel.DEBUG,String.Format("Sell {0} {1} @ {2} on {3}",position.Symbol,Utility.FormatNumber(position.Shares,3),Utility.FormatCurrency(position.CurrentPrice,2),tradeDate.ToShortDateString()));
-      }
-    }
-
-    /// <summary>
-    /// This makes for easier reading of the purchases
-    /// </summary>
-    /// <param name="positions"></param>
-    /// <param name="tradeDate"></param>
-     private static void DisplayPurchases(Positions positions, DateTime tradeDate)
-     {
-       MDTrace.WriteLine(LogLevel.DEBUG,"********* B U Y S  *********");
-       foreach (Position position in positions)
-       {
-         MDTrace.WriteLine(LogLevel.DEBUG,String.Format("Buy {0} {1} @ {2} on {3}",position.Symbol,Utility.FormatNumber(position.Shares,3),Utility.FormatCurrency(position.PurchasePrice,2),tradeDate.ToShortDateString()));
-       }
-     }   
-  }
-}
diff --git a/Books/Code/Momentum/BacktestResult.cs b/Books/Code/Momentum/BacktestResult.cs
deleted file mode 100644
index 0e9c215..0000000
--- a/Books/Code/Momentum/BacktestResult.cs
+++ /dev/null
@@ -1,17 +0,0 @@
-using System;
-using System.Collections.Generic;
-using System.Linq;
-using System.Text;
-using System.Threading.Tasks;
-
-namespace MarketData.Generator.Momentum
-{
-  public class BacktestResult
-  {
-    public BacktestResult()
-    {
-    }
-    public double CashBalance{get;set;}
-    public bool Success{get;set;}
-  }
-}
diff --git a/Books/Code/Momentum/CandidateSelector.cs b/Books/Code/Momentum/CandidateSelector.cs
deleted file mode 100644
index e39b312..0000000
--- a/Books/Code/Momentum/CandidateSelector.cs
+++ /dev/null
@@ -1,98 +0,0 @@
-using MarketData.DataAccess;
-using MarketData.MarketDataModel;
-using MarketData.Utils;
-using System;
-using System.Collections.Generic;
-using System.Linq;
-using System.Runtime.Serialization;
-using System.Text;
-using System.Threading.Tasks;
-
-namespace MarketData.Generator.Momentum
-{
-  public class CandidateSelector
-  {
-    private static int DAY_COUNT=252;
-    private CandidateSelector()
-    {
-    }
-    public static String SelectBestCandidateSymbol(QualityIndicator qualityIndicator,List<String> candidates,String defaultCandidate,DateTime analysisDate)
-    {
-      String bestCandidate=defaultCandidate;
-      try
-      {
-        if(null==candidates||0==candidates.Count||Utility.IsEpoch(analysisDate)||null==defaultCandidate)return bestCandidate;
-        List<QualityIndicatorCandidate> qualityIndicatorCandidates=new List<QualityIndicatorCandidate>();
-        foreach(String candidate in candidates)
-        {
-          Prices prices=PricingDA.GetPrices(candidate,analysisDate,DAY_COUNT);
-          if(null==prices||0==prices.Count)continue;
-          QualityIndicatorCandidate qualityIndicatorCandidate=new QualityIndicatorCandidate();
-          qualityIndicatorCandidate.Symbol=candidate;
-          qualityIndicatorCandidate.IDIndicator=IDIndicator.Calculate(prices);
-          qualityIndicatorCandidate.Score=ScoreIndicator.Calculate(prices);
-          qualityIndicatorCandidates.Add(qualityIndicatorCandidate);
-        }
-        if(0==qualityIndicatorCandidates.Count)return bestCandidate;
-        if(qualityIndicator.Quality.Equals(QualityIndicator.QualityType.IDIndicator))
-        {
-          qualityIndicatorCandidates=(from QualityIndicatorCandidate qualityIndicatorCandidate in qualityIndicatorCandidates orderby qualityIndicatorCandidate.IDIndicator ascending select qualityIndicatorCandidate).ToList();
-        }
-        else
-        {
-          qualityIndicatorCandidates=(from QualityIndicatorCandidate qualityIndicatorCandidate in qualityIndicatorCandidates orderby qualityIndicatorCandidate.Score descending select qualityIndicatorCandidate).ToList();
-        }
-        return qualityIndicatorCandidates.Take(1).FirstOrDefault().Symbol;
-      }                                                                                                     
-      catch(Exception exception)
-      {
-        MDTrace.WriteLine(String.Format("{0}",exception.ToString()));
-        return bestCandidate;
-      }
-    }
-    public static QualityIndicatorCandidate SelectBestCandidate(QualityIndicator qualityIndicator,List<String> candidates,String defaultCandidate,DateTime analysisDate)
-    {
-      QualityIndicatorCandidate bestCandidate=new QualityIndicatorCandidate();
-      try
-      {
-        if(null==candidates||0==candidates.Count||Utility.IsEpoch(analysisDate)||null==defaultCandidate)return null;
-        List<QualityIndicatorCandidate> qualityIndicatorCandidates=new List<QualityIndicatorCandidate>();
-        foreach(String candidate in candidates)
-        {
-          Prices prices=PricingDA.GetPrices(candidate,analysisDate,DAY_COUNT);
-          Fundamental fundamental=FundamentalDA.GetFundamentalMaxDate(candidate,analysisDate);
-          if(null==prices||0==prices.Count)continue;
-          QualityIndicatorCandidate qualityIndicatorCandidate=new QualityIndicatorCandidate();
-          qualityIndicatorCandidate.Symbol=candidate;
-          qualityIndicatorCandidate.IDIndicator=IDIndicator.Calculate(prices);
-          qualityIndicatorCandidate.Score=ScoreIndicator.Calculate(prices);
-          qualityIndicatorCandidate.CumReturn252=prices.GetCumulativeReturn();
-          qualityIndicatorCandidate.DayCount=DAY_COUNT;
-          qualityIndicatorCandidate.Return1D=prices.GetReturn1D();
-          if(null!=fundamental)
-          {
-            qualityIndicatorCandidate.PE=fundamental.PE;
-            qualityIndicatorCandidate.Beta=fundamental.Beta;
-          }
-          qualityIndicatorCandidates.Add(qualityIndicatorCandidate);
-        }
-        if(0==qualityIndicatorCandidates.Count)return bestCandidate;
-
-        if(qualityIndicator.Quality.Equals(QualityIndicator.QualityType.IDIndicator))
-        {
-          qualityIndicatorCandidates=(from QualityIndicatorCandidate qualityIndicatorCandidate in qualityIndicatorCandidates orderby qualityIndicatorCandidate.IDIndicator ascending select qualityIndicatorCandidate).ToList();
-        }
-        else
-        {
-          qualityIndicatorCandidates=(from QualityIndicatorCandidate qualityIndicatorCandidate in qualityIndicatorCandidates orderby qualityIndicatorCandidate.Score descending select qualityIndicatorCandidate).ToList();
-        }
-        return qualityIndicatorCandidates.Take(1).FirstOrDefault();
-      }                                                                                                 
-      catch(Exception exception)
-      {
-        MDTrace.WriteLine(String.Format("{0}",exception.ToString()));
-        return bestCandidate;
-      }
-    }                                                                                                        
-  }
-}
diff --git a/Books/Code/Momentum/CandidateViolation.cs b/Books/Code/Momentum/CandidateViolation.cs
deleted file mode 100644
index b5537b0..0000000
--- a/Books/Code/Momentum/CandidateViolation.cs
+++ /dev/null
@@ -1,21 +0,0 @@
-using System;
-using System.Collections.Generic;
-
-namespace MarketData.Generator.Momentum
-{
-  public class CandidateViolation
-  {
-    public CandidateViolation(String symbol, String reasonCategory)
-    {
-      Symbol = symbol;
-      ReasonCategory = reasonCategory;
-    }
-
-    public String Symbol {get; set;}
-    public String ReasonCategory {get; set;}
-  }
-
-  public class CandidateViolations : List<CandidateViolation>
-  {
-  }
-}
diff --git a/Books/Code/Momentum/Candidates.cs b/Books/Code/Momentum/Candidates.cs
deleted file mode 100644
index 5f70247..0000000
--- a/Books/Code/Momentum/Candidates.cs
+++ /dev/null
@@ -1,53 +0,0 @@
-using System;
-using System.Collections.Generic;
-using System.Text;
-using MarketData.MarketDataModel;
-using MarketData.DataAccess;
-using MarketData.Utils;
-using System.Linq;
-using MarketData.Helper;
-using MarketData.Numerical;
-
-namespace MarketData.Generator.Momentum
-{
-  public class MomentumCandidates : List<MomentumCandidate>
-  {
-    public MomentumCandidates()
-    {
-    }
-    public MomentumCandidates(List<MomentumCandidate> momentumCandidates)
-    {
-      foreach(MomentumCandidate momentumCandidate in momentumCandidates)Add(momentumCandidate);
-    }
-  }
-  public class MomentumCandidate
-  {
-    public String Symbol{get;set;}
-    public DateTime AnalysisDate{get;set;}
-    public double CumReturn252{get;set;}
-    public int DayCount{get;set;}
-    public double IDIndicator{get;set;}  // This is the IDIndicator methodology used for quality.  This is the default methodology
-    public double Score{get;set;}        // This is the Score methodology used for quality.  This one is taken from Andreas Clenow Momentum
-    public double MaxDrawdown{get;set;}
-    public double MaxUpside{get;set;}
-    public double PE{get;set;}
-    public double Beta{get;set;}
-    public double Velocity{get;set;}
-    public long Volume{get;set;}
-    public double Return1D{get;set;}
-    public String ZacksRank{get;set;}
-
-    public static String Header()
-    {
-      StringBuilder sb=new StringBuilder();
-      sb.Append("Symbol,AnalysisDate,Return,DayCount,IDIndicator,Score,MaxDrawdown,MaxUpside");
-      return sb.ToString();
-    }
-    public override String ToString()
-    {
-      StringBuilder sb=new StringBuilder();
-      sb.Append(Symbol).Append(",").Append(AnalysisDate).Append(",").Append(Utility.FormatPercent(CumReturn252)).Append(",").Append(DayCount).Append(",").Append(IDIndicator).Append(",").Append(Score).Append(","). Append(Utility.FormatPercent(MaxDrawdown)).Append(",").Append(Utility.FormatPercent(MaxUpside));
-      return sb.ToString();
-    }
-  }
-}
diff --git a/Books/Code/Momentum/IDIndicator.cs b/Books/Code/Momentum/IDIndicator.cs
deleted file mode 100644
index ba31627..0000000
--- a/Books/Code/Momentum/IDIndicator.cs
+++ /dev/null
@@ -1,64 +0,0 @@
-using System;
-using System.Collections.Generic;
-using System.Text;
-using MarketData.MarketDataModel;
-using MarketData.DataAccess;
-using MarketData.Utils;
-using System.Linq;
-using MarketData.Helper;
-using MarketData.Numerical;
-
-namespace MarketData.Generator.Momentum
-{
-  public class QualityIndicatorCandidate
-  {
-    public QualityIndicatorCandidate()
-    {
-    }
-    //public QualityIndicatorCandidate(String symbol,double idIndicator,double score)
-    //{
-    //  Symbol=symbol;
-    //  IDIndicator=idIndicator;
-    //  Score=score;
-    //}
-    public String Symbol{get;set;}
-    public double CumReturn252{get;set;}
-    public double IDIndicator{get;set;}
-    public double Score{get;set;}
-    public int DayCount{get;set;}
-    public double PE{get;set;}
-    public double Beta{get;set;}
-    public double Return1D{get;set;}
-  }
-// *********************************************************************************************************
-  public class IDIndicator
-  {
-    private IDIndicator()
-    {
-    }
-//CountOf   CountOf
-//Negative	Positive	Return	Sign	IDIndicator
-//  50	      202	      0.2	    1	   -60.31746032
-// 100	      152	      0.2	    1	   -20.63492063
-//  0	        252	      0.1	    1	   -100
-//  0	        252	      0.2	    1	   -100
-// The lower the IDIndicator the better 
-// This calculator deviates from the original by using an exponential decay on the stream of returns such that weigh distant returns a bit less than current returns
-// and thereby attempt to give a more accurate picture of the quality of current returns.
-    public static double Calculate(Prices prices)
-    {
-      double idIndicator=0.00;
-      double cumulativeReturn=0.00;
-      float[] returns=prices.GetReturns();
-      ExponentialDecay exponentialDecay=new ExponentialDecay();
-      exponentialDecay.Prime(returns,2.00);
-      for(int index=0;index<returns.Length;index++)returns[index]=returns[index]*(float)exponentialDecay[index];
-      double positiveCount=(from float value in returns where value>0.00 select value).Count();
-      double negativeCount=(from float value in returns where value<0.00 select value).Count();
-      for(int index=0;index<returns.Length;index++)cumulativeReturn+=(double)returns[index];                           
-      double sign=cumulativeReturn>0.00?1.00:-1.00;
-      idIndicator=sign*((negativeCount/returns.Length)*100.00-(positiveCount/returns.Length)*100.00);
-      return idIndicator;
-    }
-  }
-}
diff --git a/Books/Code/Momentum/MGConfiguration.cs b/Books/Code/Momentum/MGConfiguration.cs
deleted file mode 100644
index 5fcbea8..0000000
--- a/Books/Code/Momentum/MGConfiguration.cs
+++ /dev/null
@@ -1,242 +0,0 @@
-using System;
-using MarketData.Utils;
-
-namespace MarketData.Generator.Momentum
-{
-  public class MGConfiguration
-  {
-// Operational Settings
-    public bool Verbose{get;set;}       
-// Basic settings            
-    public int HoldingPeriod{get;set;}             
-    public int MaxPositions{get;set;}              
-    public String NoTradeSymbols{get;set;}    
-    public String NoTradeFinancialSymbols{get;set;}          
-    public double InitialCash{get;set;}
-
-// Fundamental screenings
-    public double MarketCapLowerLimit{get;set;}
-
-    public bool UsePEScreen{get;set;}      // If set this filter will ignore any security that is either missing a PE or if the PE is present but less than 0
-
-    public bool UseMaxPEScreen{get;set;}   // control Max PE range check
-    public double MaxPE{get;set;}         // if UseMaxPECheck is set this setting will ignore any security who's PE is greater.  If PE is missing candidate will be accepted
-    public bool StrictMaxPE{get;set;}     // if TRUE then UseMaxPEScreen is STRICT otherwise UseMaxPEScreen is SOFT RULE where >MaxPE is AVOIDED but used to fill the quota.  The quota is filled by ranking highPECandidates by PE and taking the lower PE's up to the quota.  Soft rule yields best result
-
-// EBITDA screen
-    public bool UseEBITDAScreen{get;set;}
-    public bool UseRevenuePerShareScreen{get;set;}
-
-//  If slope Beta Check is true then we compare the fundamental Beta to the threshhold value.  If Beta>Threshhold AND the slope from the Benchmark LowPrice over BetaDays is <0 we reject
-    public String Benchmark{get;set;}  
-    public bool UseLowSlopeBetaCheck{get;set;}        
-    public int LowSlopeBetaDays{get;set;}          
-    public double LowSlopeBetaThreshhold{get;set;} 
-    public bool UseCalcBeta{get;set;}     // if this is set then use the betaCalc36 values from the beta generator that have been added to fundamentals, otherwise use the Beta from fundamentals (Yahoo/FinViz)
-
-// MACD Settings : If MACD is being used then the process configures the MACD as per setup and eliminates candidates with a weak sell/strong sell signal in the signal days setting.
-    public bool UseMACD{get;set;}
-    public String MACDSetup="(12,26,9)";                // (8,17,9) is another alternative
-    public int MACDSignalDays{get;set;}
-    public bool MACDRejectWeakSellSignals{get;set;}
-    public bool MACDRejectStrongSellSignals{get;set;}
-
-// Stochastics Settings : If Stochastics is being used then the process eliminates candidates with a weak sell/strong sell in the signal days setting.
-    public bool UseStochastics{get;set;}
-    public int StochasticsSignalDays{get;set;}
-    public bool StochasticsRejectWeakSells{get;set;}
-    public bool StochasticsRejectStrongSells{get;set;}
-
-// FallbackCandidate : If this setting is true then the FallbackCandidate is purchased if there are no candidates that qualify in a given cycle
-    public bool UseFallbackCandidate{get;set;}
-    public String FallbackCandidate{get;set;}
-    public String FallbackCandidateBestOf{get;set;}  // if this is set then the fallback candidate is selected as the best 252 day return 
-
-// Benchmark mode : If this is set to true then purchases the benchmark symbol instead of the momentum candidates
-    public bool BenchmarkMode{get;set;}
-    public String BenchmarkModeSymbol{get;set;}
-
-// QualityIndicator
-    public String QualityIndicatorType{get;set;}   //  this can be either IDINDICATOR or SCOREINDICATOR.  The SCOREINDICATOR was adopted from CMMomentum model
-
-// IncludeTradeMasterForSymbolsHeld :
-   public bool IncludeTradeMasterForSymbolsHeld{get;set;} // if this is set to true then use both ActivePositions within the model as well as the master trades table to determine held positions. 
-
-    public MGConfiguration()
-    {    
-      Verbose=true;                                      // user verbose output
-      BenchmarkMode=false;                               // set this to true if you want to run the model using just the benchmark symbol to buy.
-      BenchmarkModeSymbol="SPY";                         // SPY is the default symbol to buy when testing                    
-      HoldingPeriod=3;                                   // 3 is the default
-      MaxPositions=3;                                    // 3 is the default
-      NoTradeSymbols="GBTC,YOKU,PNY,RFMD,ASAZY";         // ASAZY came up as candidate during 3/30 run but not available on Robinhood
-      NoTradeFinancialSymbols="U.S. Private Equity,U.S. Financials,U.S. Financial Services,U.S. Banking and Investment Services,Trading-Miscellaneous,Trading--Miscellaneous,Trading--Leveraged Equity,Trading--Leveraged Debt,Trading--Leveraged Commodities,Trading--Inverse Equity,Trading--Inverse Commodities,Tactical Allocation,Specialty Finance,Japan Financials,Savings & Cooperative Banks,Option Writing,Insurance Brokers,Insurance - Specialty,Insurance - Reinsurance,Insurance - Property & Casualty,Insurance - Life,Insurance - Diversified,Global Private Equity,Global Financials,Financial Services,Financial Exchanges,Financial,China Financials,Banks - Regional - US,Banks - Regional - Latin America,Banks - Global,Asset Management,Credit Services";
-      Benchmark="SPY";                                   // SPY is the default
-// Candidate selection settings
-      MarketCapLowerLimit=1000000000;                    // 1B is the default
-// PEScreen is off by default                        
-      UsePEScreen=false;                                 // false is the default.  This setting yields the most optimal performance in backtests.  Checks for existance of PE and if exists ensures >0
-// UseMaxPEScreen, MaxPE, and StrictPEExclusion 
-      UseMaxPEScreen=true;
-      MaxPE=40;
-      StrictMaxPE=false;
-
-      UseEBITDAScreen=true;                              // true is the default
-      UseRevenuePerShareScreen=true;                     // true is the default
-      UseLowSlopeBetaCheck=true;                         // true is the default.  this yields the most optimal performance in backtests
-      LowSlopeBetaDays=15;                               // 15 is the default. This yields the most optimal performance in backtests
-      LowSlopeBetaThreshhold=1.00;                       // (1.00) is the default This yields the most optimal performance in backtests
-      UseCalcBeta=true;                                  // This is set to true by default
-
-      UseMACD=true;                                      // true is the default
-      MACDSetup="(12,26,9)";                             // (12,26,9) 
-      MACDSignalDays=12;                                 // 12 is the default
-      MACDRejectStrongSellSignals=false;                 // false is the default
-      MACDRejectWeakSellSignals=true;                    // true is the default
-      UseStochastics=true;                               // true is the default
-      StochasticsSignalDays=3;                           // 3 is the default
-      StochasticsRejectStrongSells=true;                 // true is the default
-      StochasticsRejectWeakSells=true;                   // true is the default
-
-// Fallback candidate settings
-      UseFallbackCandidate=true;                         // True is the default
-      FallbackCandidate="SHV";                           // "SHV" ICE U.S. Treasury Short Bond Index, "AGG" Barclays U.S. Aggregate Bond Index - AGG can have a slighty better return but is more volatile
-      FallbackCandidateBestOf="SHV,AGG,ACWX";            // if set then the fallback candidate is selected as the best 252 day return in this comma seperated list (i.e.) "SHV,ACWX,AGG" 
-// Set the QualityIndicator type to the IDIndicator
-      QualityIndicatorType=QualityIndicator.ToString(QualityIndicator.QualityType.IDIndicator);
-
-      IncludeTradeMasterForSymbolsHeld=false;
-    }
-    public void DisplayHeader()
-    {
-      MDTrace.WriteLine(LogLevel.DEBUG,"Setting,Value");
-    }
-    public NVPCollection ToNVPCollection()
-    {
-      NVPCollection nvpCollection=new NVPCollection();
-      nvpCollection.Add(new NVP("Verbose",Verbose.ToString()));
-      nvpCollection.Add(new NVP("BenchmarkMode",BenchmarkMode.ToString()));
-      nvpCollection.Add(new NVP("BenchmarkModeSymbol",BenchmarkModeSymbol.ToString()));
-      nvpCollection.Add(new NVP("HoldingPeriod",HoldingPeriod.ToString()));
-      nvpCollection.Add(new NVP("MaxPositions",MaxPositions.ToString()));
-      nvpCollection.Add(new NVP("NoTradeSymbols",NoTradeSymbols.ToString()));
-      nvpCollection.Add(new NVP("NoTradeFinancialSymbols",NoTradeFinancialSymbols.ToString()));
-      nvpCollection.Add(new NVP("Benchmark",Benchmark.ToString()));
-      nvpCollection.Add(new NVP("MarketCapLowerLimit",MarketCapLowerLimit.ToString()));
-      nvpCollection.Add(new NVP("UsePEScreen",UsePEScreen.ToString()));
-      nvpCollection.Add(new NVP("UseEBITDAScreen",UseEBITDAScreen.ToString()));
-      nvpCollection.Add(new NVP("UseRevenuePerShareScreen",UseRevenuePerShareScreen.ToString()));
-      nvpCollection.Add(new NVP("UseLowSlopeBetaCheck",UseLowSlopeBetaCheck.ToString()));
-      nvpCollection.Add(new NVP("LowSlopeBetaDays",LowSlopeBetaDays.ToString()));
-      nvpCollection.Add(new NVP("LowSlopeBetaThreshhold",LowSlopeBetaThreshhold.ToString()));
-      nvpCollection.Add(new NVP("UseCalcBeta",UseCalcBeta.ToString()));
-      nvpCollection.Add(new NVP("UseMACD",UseMACD.ToString()));
-      nvpCollection.Add(new NVP("MACDSetup",MACDSetup.ToString()));
-      nvpCollection.Add(new NVP("MACDSignalDays",MACDSignalDays.ToString()));
-      nvpCollection.Add(new NVP("MACDRejectStrongSellSignals",MACDRejectStrongSellSignals.ToString()));
-      nvpCollection.Add(new NVP("MACDRejectWeakSellSignals",MACDRejectWeakSellSignals.ToString()));
-      nvpCollection.Add(new NVP("UseStochastics",UseStochastics.ToString()));
-      nvpCollection.Add(new NVP("StochasticsSignalDays",StochasticsSignalDays.ToString()));
-      nvpCollection.Add(new NVP("StochasticsRejectStrongSells",StochasticsRejectStrongSells.ToString()));
-      nvpCollection.Add(new NVP("StochasticsRejectWeakSells",StochasticsRejectWeakSells.ToString()));
-      nvpCollection.Add(new NVP("UseFallbackCandidate",UseFallbackCandidate.ToString()));
-      nvpCollection.Add(new NVP("FallbackCandidate",FallbackCandidate.ToString()));
-      nvpCollection.Add(new NVP("FallbackCandidateBestOf",FallbackCandidateBestOf.ToString()));
-      nvpCollection.Add(new NVP("UseMaxPEScreen",UseMaxPEScreen.ToString()));
-      nvpCollection.Add(new NVP("MaxPE",MaxPE.ToString()));
-      nvpCollection.Add(new NVP("StrictMaxPE",StrictMaxPE.ToString()));
-      nvpCollection.Add(new NVP("QualityIndicatorType",QualityIndicatorType.ToString()));
-      nvpCollection.Add(new NVP("IncludeTradeMasterForSymbolsHeld",IncludeTradeMasterForSymbolsHeld.ToString()));
-      return nvpCollection;
-    }
-    public static MGConfiguration FromNVPCollection(NVPCollection nvpCollection)
-    {
-      MGConfiguration mgConfiguration=new MGConfiguration();
-      NVPDictionary nvpDictionary=nvpCollection.ToDictionary();
-      mgConfiguration.Verbose=nvpDictionary["Verbose"].Get<Boolean>();
-      mgConfiguration.BenchmarkMode=nvpDictionary["BenchmarkMode"].Get<Boolean>();
-      mgConfiguration.BenchmarkModeSymbol=nvpDictionary["BenchmarkModeSymbol"].Get<String>();
-      mgConfiguration.HoldingPeriod=nvpDictionary["HoldingPeriod"].Get<int>();
-      mgConfiguration.MaxPositions=nvpDictionary["MaxPositions"].Get<int>();
-      mgConfiguration.NoTradeSymbols=nvpDictionary["NoTradeSymbols"].Get<String>();
-      mgConfiguration.NoTradeFinancialSymbols=nvpDictionary["NoTradeFinancialSymbols"].Get<String>();
-      mgConfiguration.Benchmark=nvpDictionary["Benchmark"].Get<String>();
-      mgConfiguration.MarketCapLowerLimit=nvpDictionary["MarketCapLowerLimit"].Get<double>();
-      mgConfiguration.UsePEScreen=nvpDictionary["UsePEScreen"].Get<Boolean>();
-      mgConfiguration.UseMaxPEScreen=nvpDictionary["UseMaxPEScreen"].Get<Boolean>();
-      mgConfiguration.MaxPE=nvpDictionary["MaxPE"].Get<double>();
-      mgConfiguration.StrictMaxPE=nvpDictionary["StrictMaxPE"].Get<Boolean>();
-      mgConfiguration.UseEBITDAScreen=nvpDictionary["UseEBITDAScreen"].Get<Boolean>();
-      mgConfiguration.UseRevenuePerShareScreen=nvpDictionary["UseRevenuePerShareScreen"].Get<Boolean>();
-      mgConfiguration.UseLowSlopeBetaCheck=nvpDictionary["UseLowSlopeBetaCheck"].Get<Boolean>();
-      mgConfiguration.LowSlopeBetaDays=nvpDictionary["LowSlopeBetaDays"].Get<int>();
-      mgConfiguration.LowSlopeBetaThreshhold=nvpDictionary["LowSlopeBetaThreshhold"].Get<double>();
-      if(nvpDictionary.ContainsKey("UseCalcBeta"))mgConfiguration.UseCalcBeta=nvpDictionary["UseCalcBeta"].Get<bool>();
-      else mgConfiguration.UseCalcBeta=true;
-      mgConfiguration.UseMACD=nvpDictionary["UseMACD"].Get<Boolean>();
-      mgConfiguration.MACDSetup=nvpDictionary["MACDSetup"].Get<String>();
-      mgConfiguration.MACDSignalDays=nvpDictionary["MACDSignalDays"].Get<int>();
-      mgConfiguration.MACDRejectStrongSellSignals=nvpDictionary["MACDRejectStrongSellSignals"].Get<Boolean>();
-      mgConfiguration.MACDRejectWeakSellSignals=nvpDictionary["MACDRejectWeakSellSignals"].Get<Boolean>();
-      mgConfiguration.UseStochastics=nvpDictionary["UseStochastics"].Get<Boolean>();
-      mgConfiguration.StochasticsSignalDays=nvpDictionary["StochasticsSignalDays"].Get<int>();
-      mgConfiguration.StochasticsRejectStrongSells=nvpDictionary["StochasticsRejectStrongSells"].Get<Boolean>();
-      mgConfiguration.StochasticsRejectWeakSells=nvpDictionary["StochasticsRejectWeakSells"].Get<Boolean>();
-      mgConfiguration.UseFallbackCandidate=nvpDictionary["UseFallbackCandidate"].Get<Boolean>();
-      mgConfiguration.FallbackCandidate=nvpDictionary["FallbackCandidate"].Get<String>();
-      mgConfiguration.FallbackCandidateBestOf=nvpDictionary["FallbackCandidateBestOf"].Get<String>();
-
-      if(nvpDictionary.ContainsKey("QualityIndicatorType")) mgConfiguration.QualityIndicatorType=nvpDictionary["QualityIndicatorType"].Get<String>();
-      else mgConfiguration.QualityIndicatorType=QualityIndicator.ToString(QualityIndicator.QualityType.IDIndicator);
-
-      if(nvpDictionary.ContainsKey("IncludeTradeMasterForSymbolsHeld")) mgConfiguration.IncludeTradeMasterForSymbolsHeld=nvpDictionary["IncludeTradeMasterForSymbolsHeld"].Get<bool>();
-      else mgConfiguration.IncludeTradeMasterForSymbolsHeld=false;
-      return mgConfiguration;
-    }
-    public void DisplayConfiguration()
-    {
-      MDTrace.WriteLine(LogLevel.DEBUG,String.Format("Verbose,{0}",Verbose));
-      MDTrace.WriteLine(LogLevel.DEBUG,String.Format("Holding Period,{0}",HoldingPeriod));
-      MDTrace.WriteLine(LogLevel.DEBUG,String.Format("MaxPositions,{0}",MaxPositions));
-      MDTrace.WriteLine(LogLevel.DEBUG,String.Format("NoTradeSymbols,{0}",NoTradeSymbols));
-      MDTrace.WriteLine(LogLevel.DEBUG,String.Format("NoTradeFinancialSymbols,{0}",NoTradeFinancialSymbols));
-      MDTrace.WriteLine(LogLevel.DEBUG,String.Format("Benchmark,{0}",Benchmark));
-      MDTrace.WriteLine(LogLevel.DEBUG,String.Format("MarketCapLowerLimit,{0}",MarketCapLowerLimit));
-
-      MDTrace.WriteLine(LogLevel.DEBUG,String.Format("UsePEScreen,{0}",UsePEScreen));
-      MDTrace.WriteLine(LogLevel.DEBUG,String.Format("UseMaxPEScreen,{0}",UseMaxPEScreen));
-      MDTrace.WriteLine(LogLevel.DEBUG,String.Format("MaxPE,{0}",MaxPE));
-      MDTrace.WriteLine(LogLevel.DEBUG,String.Format("StrictMaxPE,{0}",StrictMaxPE));
-
-      MDTrace.WriteLine(LogLevel.DEBUG,String.Format("UseEBITDAScreen,{0}",UseEBITDAScreen));
-      MDTrace.WriteLine(LogLevel.DEBUG,String.Format("UseRevenuePerShareScreen,{0}",UseRevenuePerShareScreen));
-
-      MDTrace.WriteLine(LogLevel.DEBUG,String.Format("UseLowSlopeBetaCheck,{0}",UseLowSlopeBetaCheck));
-      MDTrace.WriteLine(LogLevel.DEBUG,String.Format("LowSlopeBetaDays,{0}",LowSlopeBetaDays));
-      MDTrace.WriteLine(LogLevel.DEBUG,String.Format("LowSlopeBetaThreshhold,{0}",LowSlopeBetaThreshhold));
-      MDTrace.WriteLine(LogLevel.DEBUG,String.Format("UseCalcBeta,{0}",UseCalcBeta));
-
-      MDTrace.WriteLine(LogLevel.DEBUG,String.Format("UseMACD,{0}",UseMACD));
-      MDTrace.WriteLine(LogLevel.DEBUG,String.Format("MACDSetup,{0}",MACDSetup));
-      MDTrace.WriteLine(LogLevel.DEBUG,String.Format("MACDSignalDays,{0}",MACDSignalDays));
-      MDTrace.WriteLine(LogLevel.DEBUG,String.Format("MACDRejectStrongSellSignals,{0}",MACDRejectStrongSellSignals));
-      MDTrace.WriteLine(LogLevel.DEBUG,String.Format("MACDRejectWeakSellSignals,{0}",MACDRejectWeakSellSignals));
-
-      MDTrace.WriteLine(LogLevel.DEBUG,String.Format("UseStochastics,{0}",UseStochastics));
-      MDTrace.WriteLine(LogLevel.DEBUG,String.Format("StochasticsSignalDays,{0}",StochasticsSignalDays));
-      MDTrace.WriteLine(LogLevel.DEBUG,String.Format("StochasticsRejectStrongSells,{0}",StochasticsRejectStrongSells));
-      MDTrace.WriteLine(LogLevel.DEBUG,String.Format("StochasticsRejectWeakSells,{0}",StochasticsRejectWeakSells));
-
-      MDTrace.WriteLine(LogLevel.DEBUG,String.Format("UseFallbackCandidate,{0}",UseFallbackCandidate));
-      MDTrace.WriteLine(LogLevel.DEBUG,String.Format("FallbackCandidate,{0}",FallbackCandidate));
-      MDTrace.WriteLine(LogLevel.DEBUG,String.Format("FallbackCandidateBestOf,{0}",FallbackCandidateBestOf));
-
-      MDTrace.WriteLine(LogLevel.DEBUG,String.Format("BenchmarkMode,{0}",BenchmarkMode));
-      MDTrace.WriteLine(LogLevel.DEBUG,String.Format("BenchmarkSymbol,{0}",BenchmarkModeSymbol));
-
-      MDTrace.WriteLine(LogLevel.DEBUG,String.Format("QualityIndicatorType,{0}",QualityIndicatorType));
-
-      MDTrace.WriteLine(LogLevel.DEBUG,String.Format("IncludeTradeMasterForSymbolsHeld,{0}",IncludeTradeMasterForSymbolsHeld));
-    }
-  }
-}
diff --git a/Books/Code/Momentum/MGSessionManager.cs b/Books/Code/Momentum/MGSessionManager.cs
deleted file mode 100644
index 7c4b0e7..0000000
--- a/Books/Code/Momentum/MGSessionManager.cs
+++ /dev/null
@@ -1,164 +0,0 @@
-using System;
-using System.Collections.Generic;
-using System.Linq;
-using System.Text;
-using System.IO;
-using System.Threading.Tasks;
-using System.Runtime.Serialization.Formatters.Binary;
-using MarketData.Utils;
-
-namespace MarketData.Generator.Momentum
-{
-// *****************************************************************************
-  public class MGSessionManager
-  {
-    public static bool SaveSession(MGSessionParams sessionParams,String pathSessionFile)
-    {
-      try
-      {
-        if(null==pathSessionFile)return false;
-        pathSessionFile=GetSessionFileName(pathSessionFile);
-        FileStream outStream=new FileStream(pathSessionFile,FileMode.Create);
-        StreamWriter streamWriter=new StreamWriter(outStream);
-        streamWriter.WriteLine("SESSIONv1.00");
-        streamWriter.WriteLine((new NVP("LastUpdated",sessionParams.LastUpdated.ToString())).ToString());
-        streamWriter.WriteLine((new NVP("TradeDate",sessionParams.TradeDate.ToShortDateString())).ToString());
-        streamWriter.WriteLine((new NVP("StartDate",sessionParams.StartDate.ToShortDateString())).ToString());
-        streamWriter.WriteLine((new NVP("AnalysisDate",sessionParams.AnalysisDate.ToShortDateString())).ToString());
-        streamWriter.WriteLine((new NVP("Cycle",sessionParams.Cycle.ToString())).ToString());
-        streamWriter.WriteLine((new NVP("CashBalance",sessionParams.CashBalance.ToString())).ToString());
-        streamWriter.WriteLine((new NVP("NonTradeableCash",sessionParams.NonTradeableCash.ToString())).ToString());
-
-        NVPCollection configurationCollection=sessionParams.Configuration.ToNVPCollection();
-        streamWriter.WriteLine(configurationCollection.ToString());
-        List<NVPCollections> nvpCollectionsList=sessionParams.ActivePositions.ToNVPCollections();
-        int totalPositions=0;
-        foreach(NVPCollections nvpCollections in nvpCollectionsList)
-        {
-          List<String> nvpCollectionsStringList=nvpCollections.ToList();
-          totalPositions+=nvpCollectionsStringList.Count;
-        }
-        streamWriter.WriteLine((new NVP("TotalActivePositions",totalPositions.ToString())).ToString());
-        foreach(NVPCollections nvpCollections in nvpCollectionsList)
-        {
-          List<String> nvpCollectionsStringList=nvpCollections.ToList();
-          foreach(String str in nvpCollectionsStringList)
-          {
-            streamWriter.WriteLine(str);
-          }
-        }
-        NVPCollections allPositionsCollections=sessionParams.AllPositions.ToNVPCollections();
-        List<String> nvpAllCollectionsStringList=allPositionsCollections.ToList();
-        streamWriter.WriteLine((new NVP("TotalPositions",nvpAllCollectionsStringList.Count.ToString())).ToString());
-        foreach(String str in nvpAllCollectionsStringList)streamWriter.WriteLine(str);
-        streamWriter.Flush();
-        outStream.Flush();
-        streamWriter.Close();
-        outStream.Close();
-        outStream.Dispose();
-        return true;
-      }
-      catch(Exception exception)
-      {
-        MDTrace.WriteLine(LogLevel.DEBUG,String.Format("{0}",exception.ToString()));
-        return false;
-      }
-    }
-    public static MGSessionParams RestoreSession(String pathSessionFile)
-    {
-      FileStream inStream =null;
-      StreamReader streamReader=null;
-      try
-      {
-        if(!SessionAvailable(pathSessionFile))return null;
-        MGSessionParams sessionParams=new MGSessionParams();
-        inStream =new FileStream(pathSessionFile,FileMode.Open);
-        streamReader=new StreamReader(inStream);
-        String versionInfo=streamReader.ReadLine();
-        double version=double.Parse(Utility.BetweenString(versionInfo,"v",null));
-        if(1.00!=version)return null;
-        NVP lastUpdated=new NVP(streamReader.ReadLine());
-        NVP tradeDate=new NVP(streamReader.ReadLine());
-        NVP startDate=new NVP(streamReader.ReadLine());
-        NVP analysisDate=new NVP(streamReader.ReadLine());
-        NVP cycle=new NVP(streamReader.ReadLine());
-        NVP cashBalance=new NVP(streamReader.ReadLine());
-        NVP nonTradeableCash=new NVP(streamReader.ReadLine());
-        sessionParams.LastUpdated=lastUpdated.Get<DateTime>();
-        sessionParams.TradeDate=tradeDate.Get<DateTime>();
-        sessionParams.StartDate=startDate.Get<DateTime>();
-        sessionParams.AnalysisDate=analysisDate.Get<DateTime>();
-        sessionParams.Cycle=cycle.Get<int>();
-        sessionParams.CashBalance=cashBalance.Get<double>();
-        sessionParams.NonTradeableCash=nonTradeableCash.Get<double>();
-        NVPCollection configurationCollection=new NVPCollection(streamReader.ReadLine());
-        sessionParams.Configuration=MGConfiguration.FromNVPCollection(configurationCollection);
-        int totalActivePositions=(new NVP(streamReader.ReadLine())).Get<int>();
-        sessionParams.ActivePositions=new ActivePositions();
-        for(int positionIndex=0;positionIndex<totalActivePositions;positionIndex++)
-        {
-          NVPCollection nvpCollection=new NVPCollection(streamReader.ReadLine());
-          sessionParams.ActivePositions.AddFromNVPCollection(nvpCollection);
-        }
-        int totalPositions=(new NVP(streamReader.ReadLine())).Get<int>(); 
-        NVPCollections nvpCollections=new NVPCollections(); 
-        for(int positionIndex=0;positionIndex<totalPositions;positionIndex++)
-        {
-          NVPCollection nvpCollection=new NVPCollection(streamReader.ReadLine());
-          nvpCollections.Add(nvpCollection);
-        }
-        sessionParams.AllPositions=Positions.FromNVPCollections(nvpCollections);
-        inStream.Close();
-        inStream.Dispose();
-        inStream = null;
-        streamReader.Close();
-        streamReader.Dispose();
-        streamReader = null;
-        return sessionParams;
-      }
-      finally
-      {
-        if(null!=streamReader)streamReader.Close();
-        if(null!=inStream)inStream.Close();
-      }
-    }
-    public static String GetSessionFileName(String pathSessionFile)
-    {
-      if (null == pathSessionFile) return null;
-      String directory = Path.GetDirectoryName(pathSessionFile);
-      if ("".Equals(directory)) directory = Directory.GetCurrentDirectory();
-      return directory + "\\" + Path.GetFileNameWithoutExtension(pathSessionFile) + ".txt";
-    }
-    public static bool SessionAvailable(String pathSessionFile)
-    {
-      return IsValidSessionFile(pathSessionFile);
-    }
-    public static bool IsValidSessionFile(String pathSessionFile)
-    {
-      FileStream inStream =null;
-      StreamReader streamReader=null;
-      try
-      {
-        if(null==pathSessionFile)return false;
-        pathSessionFile=pathSessionFile.ToLower();
-        if(!pathSessionFile.EndsWith(".txt"))pathSessionFile+=".txt";
-        if(!File.Exists(pathSessionFile))return false;
-        inStream =new FileStream(pathSessionFile,FileMode.Open);
-        streamReader=new StreamReader(inStream);
-        String versionInfo=streamReader.ReadLine();
-        double version=double.Parse(Utility.BetweenString(versionInfo,"v",null));
-        if(1.00!=version)return false;
-        return true;
-      }
-      catch(Exception)
-      {
-         return false;
-      }
-      finally
-      {
-        if(null!=streamReader)streamReader.Close();
-        if(null!=inStream)inStream.Close();
-      }
-    }
-  }
-}
diff --git a/Books/Code/Momentum/MGSessionParams.cs b/Books/Code/Momentum/MGSessionParams.cs
deleted file mode 100644
index 01e68f4..0000000
--- a/Books/Code/Momentum/MGSessionParams.cs
+++ /dev/null
@@ -1,32 +0,0 @@
-using System;
-using System.IO;
-using System.Threading.Tasks;
-using System.Runtime.Serialization.Formatters.Binary;
-using MarketData.Utils;
-
-namespace MarketData.Generator.Momentum
-{
-  public class MGSessionParams
-  {
-    public DateTime LastUpdated { get; set; }
-    public DateTime TradeDate { get; set; }
-    public DateTime StartDate { get; set; }
-    public DateTime AnalysisDate { get; set; }
-    public MGConfiguration Configuration { get; set; }
-    public ActivePositions ActivePositions { get; set; }
-    public Positions AllPositions { get; set; }
-    public double CashBalance { get; set; }
-    public double NonTradeableCash { get; set; }
-    public int Cycle { get; set; }
-
-// This gets AllPositions+Positions
-    public Positions GetCombinedPositions()
-    {
-      Positions positions=new Positions();
-      foreach(Position position in AllPositions) positions.Add(position);
-      Positions activePositions=ActivePositions.GetPositions();
-      foreach(Position position in activePositions) positions.Add(position);
-      return positions;
-    }
-  }
-}
diff --git a/Books/Code/Momentum/MomentumGenerator.cs b/Books/Code/Momentum/MomentumGenerator.cs
deleted file mode 100644
index ba19fe8..0000000
--- a/Books/Code/Momentum/MomentumGenerator.cs
+++ /dev/null
@@ -1,699 +0,0 @@
-using System;
-using System.Collections.Generic;
-using MarketData.MarketDataModel;
-using MarketData.DataAccess;
-using MarketData.Utils;
-using System.Linq;
-using MarketData.Numerical;
-using MarketData.Cache;
-
-// Filename: MomentumGenerator.cs
-// Author:Sean Kessler
-// Date:01/2018
-
-namespace MarketData.Generator.Momentum
-{
-  /// <summary>Generate momentum selections - </summary>
-  public class MomentumGenerator
-  {
-    public enum MomentumGeneratorConstants{DayCount=252};  // Trading days in one year
-
-    private MomentumGenerator()
-    {
-    }
-// These two interfaces are used by the UI so that it can capture the fallback candidates
-    public static MomentumCandidates GenerateMomentum(DateTime tradeDate,MGConfiguration config)
-    {
-      List<String> symbolsHeld=new List<String>();
-      return new MomentumCandidates(GenerateMomentum(tradeDate,symbolsHeld,config).Take(config.MaxPositions).ToList());
-    }
-    public static MomentumCandidates GenerateMomentumWithFallback(DateTime tradeDate,MGConfiguration config)
-    {
-      List<String> symbolsHeld=new List<String>();
-      MomentumCandidates momentumCandidates=GenerateMomentum(tradeDate,symbolsHeld,config);
-      QualityIndicator qualityIndicator=new QualityIndicator(config.QualityIndicatorType);
-      if((null==momentumCandidates||0==momentumCandidates.Count)&&config.UseFallbackCandidate)
-      {
-        QualityIndicatorCandidate bestCandidate=null;
-        if(null!=config.FallbackCandidateBestOf && !"".Equals(config.FallbackCandidateBestOf))
-        {
-          bestCandidate=CandidateSelector.SelectBestCandidate(qualityIndicator,Utility.ToList(config.FallbackCandidateBestOf),config.FallbackCandidate,tradeDate);
-          if(null!=bestCandidate)
-          {
-            ZacksRank zacksRank=ZacksRankDA.GetZacksRankOnOrBefore(bestCandidate.Symbol,tradeDate);
-            MomentumCandidate momentumCandidate=new MomentumCandidate();
-            momentumCandidate.Symbol=bestCandidate.Symbol;
-            momentumCandidate.AnalysisDate=tradeDate;
-            momentumCandidate.CumReturn252=bestCandidate.CumReturn252;
-            momentumCandidate.IDIndicator=bestCandidate.IDIndicator;
-            momentumCandidate.Score=bestCandidate.Score;
-            momentumCandidate.DayCount=bestCandidate.DayCount;
-            momentumCandidate.PE=bestCandidate.PE;
-            momentumCandidate.Beta=bestCandidate.Beta;
-            momentumCandidate.Return1D=bestCandidate.Return1D;
-            if(null!=zacksRank)momentumCandidate.ZacksRank=zacksRank.Rank;
-            momentumCandidates=new MomentumCandidates();
-            momentumCandidates.Add(momentumCandidate);
-          }
-        }
-      }
-      return momentumCandidates;
-    }
-
-// This interface is called by the Backtest 
-    public static MomentumCandidates GenerateMomentum(DateTime tradeDate,List<String> symbolsHeld,MGConfiguration config)
-    {
-      DateGenerator dateGenerator=new DateGenerator();
-      List<String> symbols=PricingDA.GetSymbols();
-      MomentumCandidates momentumCandidates=new MomentumCandidates();
-      MomentumCandidates highPECandidates=new MomentumCandidates();
-      DateTime startDateOfReturns=dateGenerator.GetPrevMonthEnd(tradeDate,2); 
-      List<String> noTradeSymbols=Utility.ToList(config.NoTradeSymbols);
-      List<String> noTradeFinancialSymbols=Utility.ToList(config.NoTradeFinancialSymbols);
-      CandidateViolations candidateViolations = new CandidateViolations();
-
-      MDTrace.WriteLine(LogLevel.DEBUG,$"Fetching data...");
-// Filter out symbols where we do not have a price on trade date
-      Profiler profiler = new Profiler();
-      Dictionary<String,DateTime> latestDates = PricingDA.GetLatestDates(symbols);
-      symbols=symbols.Where(x => latestDates.ContainsKey(x) && latestDates[x].Date>=tradeDate.Date).ToList();
-      MDTrace.WriteLine(LogLevel.DEBUG,$"Loaded Pricing Dates in {Utility.FormatNumber(profiler.End(),0,true)} (ms)");
-
-// Prefetch a subset of fundamentals where each fundamental.asof is no greater than tradeDate
-      profiler.Reset();
-      FundamentalsV2 fundamentals = FundamentalDA.GetFundamentalsMaxDateV2(tradeDate);
-      MDTrace.WriteLine(LogLevel.DEBUG,$"Loaded Fundamentals in {Utility.FormatNumber(profiler.End(),0,true)} (ms)");
-
-// Prefetch the Company Profiles
-      profiler.Reset();
-      Dictionary<String,CompanyProfile> companyProfiles = CompanyProfileDA.GetCompanyProfiles(symbols);
-      MDTrace.WriteLine(LogLevel.DEBUG,$"Loaded Company Profiles in {Utility.FormatNumber(profiler.End(),0,true)} (ms)");
-
-// Prefetch the Analyst Ratings
-      profiler.Reset();
-      Dictionary<String,AnalystRatings> analystRatingsDictionary = AnalystRatingsDA.GetAnalystRatingsDowngradesMaxDateNoZacks(symbols, tradeDate);
-      MDTrace.WriteLine(LogLevel.DEBUG,$"Loaded Analyst Ratings in {Utility.FormatNumber(profiler.End(),0,true)} (ms)");
-
-// Prefetch Zacks Ranks
-      profiler.Reset();
-      Dictionary<String,ZacksRank> zacksRanksDictionary = ZacksRankDA.GetZacksRankOnOrBefore(symbols, tradeDate);
-      MDTrace.WriteLine(LogLevel.DEBUG,$"Loaded Zacks Ranks in {Utility.FormatNumber(profiler.End(),0,true)} (ms)");
-
-      MDTrace.WriteLine(LogLevel.DEBUG,String.Format("Generate momentum.. examining candidates"));
-// Go through the universe of stocks 
-      for(int index=0;index<symbols.Count;index++)
-      {
-        String symbol=symbols[index];
-        if(0==(index%500))Console.WriteLine("Processing item {0} of {1}",index+1,symbols.Count);
-
-// Check if the symbol is held in any open positions
-        if(symbolsHeld.Any(x=>x.Equals(symbol, StringComparison.CurrentCultureIgnoreCase)))
-        {
-          candidateViolations.Add(new CandidateViolation(symbol,"Candidate already held."));
-          continue;
-        }
-
-// Check if the symbol is in the no trade list (i.e.) Bitcoin etc.,
-        if(noTradeSymbols.Any(x=>x.Equals(symbol, StringComparison.CurrentCultureIgnoreCase)))
-        {
-          candidateViolations.Add(new CandidateViolation(symbol,"Candidate in NoTradeSymbol."));
-          continue;
-        }
-
-// Check MarketCap, EBITDA, PE, and Revenue Per Share
-        FundamentalV2 fundamental = default;
-        if(fundamentals.ContainsKey(symbol))fundamental = fundamentals[symbol];
-        if(null==fundamental)
-        {
-          candidateViolations.Add(new CandidateViolation(symbol,"Candidate no fundamental."));
-          continue;
-        }
-
-        if(!(fundamental.MarketCap>=config.MarketCapLowerLimit))
-        {
-          candidateViolations.Add(new CandidateViolation(symbol,"Candidate MarketCapLimit."));
-          continue;
-        } 
-
-        if(config.UseEBITDAScreen && (double.IsNaN(fundamental.EBITDA)||fundamental.EBITDA<=0))
-        {  
-          candidateViolations.Add(new CandidateViolation(symbol,"Candidate EBITDA violation."));
-          continue;
-        }
-
-        if(config.UseRevenuePerShareScreen && (double.IsNaN(fundamental.RevenuePerShare)||fundamental.RevenuePerShare<0.00))
-        {
-          candidateViolations.Add(new CandidateViolation(symbol,"Candidate RevenuePerShare violation."));
-          continue;
-        }
-
-// Initial PE screening.  This screen checks for existance of PE and if it is availabe it must be >0.00 .  There is another PE based on limits further below
-        if(config.UsePEScreen && (double.IsNaN(fundamental.PE)||fundamental.PE<=0.00))
-        {
-          candidateViolations.Add(new CandidateViolation(symbol,"Candidate PE violation."));
-          continue;
-        }
-
-// Exclude any company in the "Financial" sector
-        CompanyProfile companyProfile = default;
-        if(companyProfiles.ContainsKey(symbol))companyProfile = companyProfiles[symbol];
-        if(null!=companyProfile&&null!=companyProfile.Sector&&noTradeFinancialSymbols.Any(x=>x.Equals(companyProfile.Sector)))
-        {
-          candidateViolations.Add(new CandidateViolation(symbol,"Candidate Financial Sector violation."));
-          continue;
-        }
-
-// Retrieve prices                    
-        Prices prices=null;
-        prices=GBPriceCache.GetInstance().GetPrices(symbol,tradeDate,(int)MomentumGeneratorConstants.DayCount+20);
-        if(null==prices || prices.Count!=(int)MomentumGeneratorConstants.DayCount+20)
-        {
-          candidateViolations.Add(new CandidateViolation(symbol,"Candidate missing price history."));
-          continue;
-        }
-
-// Fetch single day price
-        Price price=prices[0];   // GBPriceCache.GetInstance().GetPrice(symbol,tradeDate);
-        if(null==price)
-        {
-          candidateViolations.Add(new CandidateViolation(symbol,"Candidate missing price on trade date."));
-          continue;
-        }
-// Filter penny stocks - don't trade anything less than $1.00
-        if(price.Close<1.00||price.Open<1.00)
-        {
-          candidateViolations.Add(new CandidateViolation(symbol,"Candidate penny stock violation."));
-          continue;
-        }
-
-// calculate the one day return
-        double return1D=prices.GetReturn1D();
-
-// Liquidity check - if any day has volume < 10,000 then we reject it
-       if(((from Price xPrice in prices where xPrice.Volume<10000 select xPrice).Count())>1)
-       {
-          candidateViolations.Add(new CandidateViolation(symbol,"Liquidity violation."));
-         continue;
-       }
-
-// Calculate velocity as a percentage range of the open price within the 252+20 day range of prices - This is used for display purposes 
-        double velocity;
-        Prices velocityPrices=GBPriceCache.GetInstance().GetPrices(symbol,tradeDate,(int)MomentumGenerator.MomentumGeneratorConstants.DayCount+20);
-        double priceHigh=(from Price selectPrice in velocityPrices select selectPrice.Open).Max();
-        double priceLow=(from Price selectPrice in velocityPrices select selectPrice.Open).Min();
-        if(0.00==priceHigh-priceLow)velocity=0.00;
-        else velocity=((price.Open-priceLow)*(100/(priceHigh-priceLow)))/100.00;
-
-// Price slopes - These are used for display purposes
-        double[] pricesArray=null;
-        LeastSquaresResult leastSquaresResult;
-
-// Get the benchmark pricing low pricing data and check the slope of previous lows; only if Beta of candidate is >= LowSlopeBetaThreshhold
-// The idea behind this check is that a high beta stock will track to the benchmark.  So if the benchmark lows are forming a downward pattern then we
-// assume that this is a somewhat bearish condition.  The config has the setting at a 15 day check and the threshold beta set to 1.00
-// The BetaCalc36 is calculated as part of the monthly fundamental run.
-        double beta = fundamental.Beta;
-        if(config.UseCalcBeta)beta=fundamental.BetaCalc36;
-        if(config.UseLowSlopeBetaCheck && beta >= config.LowSlopeBetaThreshhold)
-        {
-          Prices benchmarkPrices=GBPriceCache.GetInstance().GetPrices(config.Benchmark,tradeDate,config.LowSlopeBetaDays);
-          pricesArray=Numerics.ToDouble(benchmarkPrices.GetPricesLow());
-          leastSquaresResult=Numerics.LeastSquares(pricesArray);
-          double slopeBmk=leastSquaresResult.Slope;
-          if(slopeBmk<0)
-          {
-            candidateViolations.Add(new CandidateViolation(symbol,"Beta threshhold violation."));
-            continue;
-          }
-        }
-
-// *** MACDSignal detection
-        if(config.UseMACD)
-        {
-          MACDSetup macdSetup=new MACDSetup(config.MACDSetup);
-          MACDSignals macdSignals=MACDGenerator.GenerateMACD(prices,macdSetup);
-          Signals signalsMACD = SignalGenerator.GenerateSignals(macdSignals);
-          signalsMACD=new Signals(signalsMACD.Take(config.MACDSignalDays).ToList());
-          int weakSellSignals=(from Signal signal in signalsMACD where signal.IsWeakSell() select signal).Count();
-          int strongSellSignals=(from Signal signal in signalsMACD where signal.IsStrongSell() select signal).Count();
-          if(config.MACDRejectWeakSellSignals && weakSellSignals>0)
-          {
-            candidateViolations.Add(new CandidateViolation(symbol,"MACD Reject Weak Sell violation."));
-            continue;
-          }
-          if(config.MACDRejectStrongSellSignals && strongSellSignals>0)
-          {
-            candidateViolations.Add(new CandidateViolation(symbol,"MACD Reject Strong Sell violation."));
-            continue;
-          }
-        }
-
-// *** Stochastics oscillator 
-        if(config.UseStochastics)
-        {
-          Stochastics stochastics=StochasticsGenerator.GenerateStochastics(prices);
-          Signals signalsStochastics=new Signals(SignalGenerator.GenerateSignals(stochastics).OrderByDescending(x => x.SignalDate).ToList());
-          signalsStochastics=new Signals(signalsStochastics.Take(config.StochasticsSignalDays).ToList());
-          int weakSellCount=(from Signal signal in signalsStochastics where signal.IsWeakSell() select signal).Count();
-          int strongSellCount=(from Signal signal in signalsStochastics where signal.IsStrongSell() select signal).Count();
-          if(config.StochasticsRejectStrongSells&&strongSellCount>0)
-          { 
-            candidateViolations.Add(new CandidateViolation(symbol,"Stochastics Oscillator Reject Strong Sell violation."));
-            continue;
-          }
-          if(config.StochasticsRejectWeakSells&&weakSellCount>0)
-          { 
-            candidateViolations.Add(new CandidateViolation(symbol,"Stochastics Oscillator Reject Weak Sell violation."));
-            continue;
-          }
-        }
-
-// Analyst Ratings - "Downgrades" that are more than a year old (252 days) are not considered.  Mean reversion.... bad companies improve, good companies decline.
-        DateTime minRatingDate=dateGenerator.GenerateHistoricalDate(startDateOfReturns,(int)MomentumGeneratorConstants.DayCount);
-        AnalystRatings analystRatings= default;
-        if(analystRatingsDictionary.ContainsKey(symbol))analystRatings=analystRatingsDictionary[symbol];
-        if(default!=analystRatings)
-        {
-          analystRatings.RemoveAll(x => x.Date<minRatingDate);
-          AnalystRating rating=null;
-          if(null!=analystRatings)rating=analystRatings.FirstOrDefault();
-          if(null!=rating)
-          {
-            candidateViolations.Add(new CandidateViolation(symbol,"AnalystRating Downgrade violation within set period."));
-            continue;
-          }
-        }
-
-// The cumulative returns for the ranking skip to the previous month to eliminate short term reversal anomaly  (Wesley Gray : Quantum Momentum)
-        prices=GBPriceCache.GetInstance().GetPrices(symbol,startDateOfReturns,(int)MomentumGeneratorConstants.DayCount);
-        if(null==prices||(int)MomentumGeneratorConstants.DayCount!=prices.Count)
-        {
-          candidateViolations.Add(new CandidateViolation(symbol,"Insufficient pricing, cannot determine rank."));
-          continue;
-        }
-
-// check for outliers in the return stream
-        float[] returns = default;
-        returns=prices.GetReturns();
-        if((from float value in returns where Math.Abs(value)>.50 select value).Count()>0)
-        {
-          candidateViolations.Add(new CandidateViolation(symbol,"Candidate pricing contains outliers in the returns."));
-          continue;
-        }
-// Cumulative return
-        double cumulativeReturn=prices.GetCumulativeReturn();
-        if(cumulativeReturn<.10)
-        {
-          candidateViolations.Add(new CandidateViolation(symbol,"Candidate cumulative returns below threshhold."));
-          continue;
-        }
-
-// Zacks Rank.  This is for informational purposes for now but may further it's use in the future.
-          ZacksRank zacksRank = default;
-          if(zacksRanksDictionary.ContainsKey(symbol))
-          {
-            zacksRank = zacksRanksDictionary[symbol];
-          }
-
-// Apply the PEScreening last because there an option to permit the inclusion of the high PE candidates if we have no other available candidates.
-// The idea is to try to avoid high PE stocks as they are more likey to introduce drawdowns as backtests have shown.
-        if(config.UseMaxPEScreen && !double.IsNaN(fundamental.PE) && fundamental.PE>config.MaxPE)
-        {
-            candidateViolations.Add(new CandidateViolation(symbol,"PE violation."));
-            MomentumCandidate highPECandidate=new MomentumCandidate();
-            highPECandidate.AnalysisDate=tradeDate;
-            highPECandidate.Symbol=symbol;
-            highPECandidate.CumReturn252=prices.GetCumulativeReturn();
-            highPECandidate.DayCount=(int)MomentumGeneratorConstants.DayCount;
-            highPECandidate.IDIndicator=IDIndicator.Calculate(prices);
-            highPECandidate.Score=ScoreIndicator.Calculate(prices);
-            highPECandidate.MaxDrawdown=prices.MaxDrawdown();
-            highPECandidate.MaxUpside=prices.MaxUpside();
-            highPECandidate.PE=fundamental.PE;
-            highPECandidate.Beta=beta;
-            highPECandidate.Velocity=velocity;
-            highPECandidate.Volume=price.Volume;
-            highPECandidate.Return1D=return1D;
-            if(null!=zacksRank)highPECandidate.ZacksRank=zacksRank.Rank;
-            highPECandidates.Add(highPECandidate);
-            continue;
-        }
-// *********************************************************************** C A N D I D A T E  A C C E P T A N C E *******************************************************
-// At this point whatever remains is taken so initialize the candidate and add to list
-        MomentumCandidate momentumCandidate=new MomentumCandidate();
-        momentumCandidate.AnalysisDate=tradeDate;
-        momentumCandidate.Symbol=symbol;
-        momentumCandidate.CumReturn252=prices.GetCumulativeReturn();
-        momentumCandidate.DayCount=(int)MomentumGeneratorConstants.DayCount;
-        momentumCandidate.IDIndicator=IDIndicator.Calculate(prices); 
-        momentumCandidate.Score=ScoreIndicator.Calculate(prices);
-        momentumCandidate.MaxDrawdown=prices.MaxDrawdown();
-        momentumCandidate.MaxUpside=prices.MaxUpside();
-        momentumCandidate.PE=fundamental.PE;
-        momentumCandidate.Beta=beta;
-        momentumCandidate.Velocity=velocity;
-        momentumCandidate.Volume=price.Volume;
-        momentumCandidate.Return1D=return1D;
-        if(null!=zacksRank)momentumCandidate.ZacksRank=zacksRank.Rank;
-        momentumCandidates.Add(momentumCandidate);
-
-      }  // for all symbols
-
-      if(0!=candidateViolations.Count)
-      {
-        MDTrace.WriteLine(LogLevel.DEBUG,"**************** C A N D I D A T E   S U M M A R Y  ************************");
-        IEnumerable<Tuple<string, int>> groups = candidateViolations.GroupBy(x => x.ReasonCategory).OrderByDescending(group => group.Count()).Select(group => Tuple.Create(group.Key, group.Count()));
-        foreach(Tuple<string, int> group in groups)
-        {
-          MDTrace.WriteLine(LogLevel.DEBUG,String.Format("Group: {0} Count:{1}",group.Item1, group.Item2));
-        }
-      }
-      MDTrace.WriteLine(LogLevel.DEBUG,String.Format($"Total Considered : {momentumCandidates.Count+candidateViolations.Count}"));
-      MDTrace.WriteLine(LogLevel.DEBUG,String.Format($"Total Disqualified : {candidateViolations.Count}"));
-      MDTrace.WriteLine(LogLevel.DEBUG,String.Format($"Total Eligible : {momentumCandidates.Count}"));
-      MDTrace.WriteLine(LogLevel.DEBUG,"******************************************************************************************************");
-
-// ********************************************************* E N D  C A N D I D A T E  S E L E C T I O N   C R I T E R I A  ****************************************
-//  If we wind up with less than the number of required candidates then check the StrictMaxPE
-//  flag and, if allowed, add the highPECandidate (that we've accumulated but skipped) to the momentumCandidates ordering them by the Lowest PE
-      if(!config.StrictMaxPE && momentumCandidates.Count<config.MaxPositions && highPECandidates.Count>0)
-      {
-        int takeCandidates=config.MaxPositions-momentumCandidates.Count;
-        highPECandidates=new MomentumCandidates(highPECandidates.OrderBy(x=>x.PE).Take(takeCandidates).ToList());
-        momentumCandidates.AddRange(highPECandidates);
-        if(config.Verbose)MDTrace.WriteLine(LogLevel.DEBUG,String.Format("High PE Candidates,{0}",Utility.FromList((from MomentumCandidate momentumCandidate in highPECandidates select momentumCandidate.Symbol).ToList())));
-      }
-
-      QualityIndicator qualityIndicator=new QualityIndicator(config.QualityIndicatorType);
-      if(qualityIndicator.Quality.Equals(QualityIndicator.QualityType.IDIndicator))
-      {
-        momentumCandidates=new MomentumCandidates((from MomentumCandidate momentumCandidate in momentumCandidates orderby momentumCandidate.IDIndicator ascending, momentumCandidate.CumReturn252 descending, momentumCandidate.Return1D descending, momentumCandidate.Volume descending select momentumCandidate).ToList());
-      }
-      else
-      {
-        momentumCandidates=new MomentumCandidates((from MomentumCandidate momentumCandidate in momentumCandidates orderby momentumCandidate.Score descending,momentumCandidate.CumReturn252 descending,momentumCandidate.Return1D descending,momentumCandidate.Volume descending select momentumCandidate).ToList());
-      }
-      MDTrace.WriteLine(LogLevel.DEBUG,String.Format("MomentumGenertor.GenerateMomentum:{0} candidates",momentumCandidates.Count()));
-      return momentumCandidates;
-    }
-
-/*
-// This interface is called by the Backtest 
-    public static MomentumCandidates GenerateMomentum(DateTime tradeDate,List<String> symbolsHeld,MGConfiguration config)
-    {
-      DateGenerator dateGenerator=new DateGenerator();
-      List<String> symbols=PricingDA.GetSymbols();
-      MomentumCandidates momentumCandidates=new MomentumCandidates();
-      MomentumCandidates highPECandidates=new MomentumCandidates();
-      DateTime startDateOfReturns=dateGenerator.GetPrevMonthEnd(tradeDate,2); 
-      List<String> noTradeSymbols=Utility.ToList(config.NoTradeSymbols);
-      List<String> noTradeFinancialSymbols=Utility.ToList(config.NoTradeFinancialSymbols);
-      CandidateViolations candidateViolations = new CandidateViolations();
-
-      MDTrace.WriteLine(LogLevel.DEBUG,String.Format("Generate momentum.. examining candidates"));
-// Go through the universe of stocks 
-      for(int index=0;index<symbols.Count;index++)
-      {
-        String symbol=symbols[index];
-        if(0==(index%500))Console.WriteLine("Processing item {0} of {1}",index+1,symbols.Count);
-
-// Check if the symbol is held in any open positions
-        if(symbolsHeld.Any(x=>x.Equals(symbol, StringComparison.CurrentCultureIgnoreCase)))
-        {
-          candidateViolations.Add(new CandidateViolation(symbol,"Candidate already held."));
-          continue;
-        }
-
-// Check if the symbol is in the no trade list (i.e.) Bitcoin etc.,
-        if(noTradeSymbols.Any(x=>x.Equals(symbol, StringComparison.CurrentCultureIgnoreCase)))
-        {
-          candidateViolations.Add(new CandidateViolation(symbol,"Candidate in NoTradeSymbol."));
-          continue;
-        }
-
-// Check MarketCap, EBITDA, PE, and Revenue Per Share
-        Fundamental fundamental=FundamentalDA.GetFundamentalMaxDate(symbol,tradeDate);
-        if(null==fundamental)
-        {
-          candidateViolations.Add(new CandidateViolation(symbol,"Candidate no fundamental."));
-          continue;
-        }
-
-        if(!(fundamental.MarketCap>=config.MarketCapLowerLimit))
-        {
-          candidateViolations.Add(new CandidateViolation(symbol,"Candidate MarketCapLimit."));
-          continue;
-        } 
-
-        if(config.UseEBITDAScreen && (double.IsNaN(fundamental.EBITDA)||fundamental.EBITDA<=0))
-        {  
-          candidateViolations.Add(new CandidateViolation(symbol,"Candidate EBITDA violation."));
-          continue;
-        }
-
-        if(config.UseRevenuePerShareScreen && (double.IsNaN(fundamental.RevenuePerShare)||fundamental.RevenuePerShare<0.00))
-        {
-          candidateViolations.Add(new CandidateViolation(symbol,"Candidate RevenuePerShare violation."));
-          continue;
-        }
-
-// Initial PE screening.  This screen checks for existance of PE and if it is availabe it must be >0.00 .  There is another PE based on limits further below
-        if(config.UsePEScreen && (double.IsNaN(fundamental.PE)||fundamental.PE<=0.00))
-        {
-          candidateViolations.Add(new CandidateViolation(symbol,"Candidate PE violation."));
-          continue;
-        }
-
-// Exclude any company in the "Financial" sector
-        CompanyProfile companyProfile=CompanyProfileDA.GetCompanyProfile(symbol);
-        if(null!=companyProfile&&null!=companyProfile.Sector&&noTradeFinancialSymbols.Any(x=>x.Equals(companyProfile.Sector)))
-        {
-          candidateViolations.Add(new CandidateViolation(symbol,"Candidate Financial Sector violation."));
-          continue;
-        }
-
-// Fetch single day price
-        Price price=GBPriceCache.GetInstance().GetPrice(symbol,tradeDate);
-        if(null==price)
-        {
-          candidateViolations.Add(new CandidateViolation(symbol,"Candidate missing price on trade date."));
-          continue;
-        }
-// Filter penny stocks - don't trade anything less than $1.00
-        if(price.Close<1.00||price.Open<1.00)
-        {
-          candidateViolations.Add(new CandidateViolation(symbol,"Candidate penny stock violation."));
-          continue;
-        }
-
-// Retrieve prices                    
-        Prices prices=null;
-        prices=GBPriceCache.GetInstance().GetPrices(symbol,tradeDate,(int)MomentumGeneratorConstants.DayCount);
-        if(null==prices||prices.Count!=(int)MomentumGeneratorConstants.DayCount)
-        {
-          candidateViolations.Add(new CandidateViolation(symbol,"Candidate missing price history."));
-          continue;
-        }
-
-// calculate the one day return
-        double return1D=prices.GetReturn1D();
-
-// Liquidity check - if any day has volume < 10,000 then we reject it
-       if(((from Price xPrice in prices where xPrice.Volume<10000 select xPrice).Count())>1)
-       {
-          candidateViolations.Add(new CandidateViolation(symbol,"Liquidity violation."));
-         continue;
-       }
-
-// Calculate velocity as a percentage range of the open price within the 252+20 day range of prices - This is used for display purposes 
-        double velocity;
-        Prices velocityPrices=GBPriceCache.GetInstance().GetPrices(symbol,tradeDate,(int)MomentumGenerator.MomentumGeneratorConstants.DayCount+20);
-        double priceHigh=(from Price selectPrice in velocityPrices select selectPrice.Open).Max();
-        double priceLow=(from Price selectPrice in velocityPrices select selectPrice.Open).Min();
-        if(0.00==priceHigh-priceLow)velocity=0.00;
-        else velocity=((price.Open-priceLow)*(100/(priceHigh-priceLow)))/100.00;
-
-// Price slopes - These are used for display purposes
-        double[] pricesArray=null;
-        LeastSquaresResult leastSquaresResult;
-
-// Get the benchmark pricing low pricing data and check the slope of previous lows; only if Beta of candidate is >= LowSlopeBetaThreshhold
-// The idea behind this check is that a high beta stock will track to the benchmark.  So if the benchmark lows are forming a downward pattern then we
-// assume that this is a somewhat bearish condition.  The config has the setting at a 15 day check and the threshold beta set to 1.00
-        if(config.UseLowSlopeBetaCheck && fundamental.Beta>=config.LowSlopeBetaThreshhold)
-        {
-          Prices benchmarkPrices=GBPriceCache.GetInstance().GetPrices(config.Benchmark,tradeDate,config.LowSlopeBetaDays);
-          pricesArray=Numerics.ToDouble(benchmarkPrices.GetPricesLow());
-          leastSquaresResult=Numerics.LeastSquares(pricesArray);
-          double slopeBmk=leastSquaresResult.Slope;
-          if(slopeBmk<0)
-          {
-            candidateViolations.Add(new CandidateViolation(symbol,"Beta threshhold violation."));
-            continue;
-          }
-        }
-
-// *** MACDSignal detection
-        if(config.UseMACD)
-        {
-          MACDSetup macdSetup=new MACDSetup(config.MACDSetup);
-          MACDSignals macdSignals=MACDGenerator.GenerateMACD(prices,macdSetup);
-          Signals signalsMACD = SignalGenerator.GenerateSignals(macdSignals);
-          signalsMACD=new Signals(signalsMACD.Take(config.MACDSignalDays).ToList());
-          int weakSellSignals=(from Signal signal in signalsMACD where signal.IsWeakSell() select signal).Count();
-          int strongSellSignals=(from Signal signal in signalsMACD where signal.IsStrongSell() select signal).Count();
-          if(config.MACDRejectWeakSellSignals && weakSellSignals>0)
-          {
-            candidateViolations.Add(new CandidateViolation(symbol,"MACD Reject Weak Sell violation."));
-            continue;
-          }
-          if(config.MACDRejectStrongSellSignals && strongSellSignals>0)
-          {
-            candidateViolations.Add(new CandidateViolation(symbol,"MACD Reject Strong Sell violation."));
-            continue;
-          }
-        }
-
-// *** Stochastics oscillator 
-        if(config.UseStochastics)
-        {
-          Stochastics stochastics=StochasticsGenerator.GenerateStochastics(prices);
-          Signals signalsStochastics=new Signals(SignalGenerator.GenerateSignals(stochastics).OrderByDescending(x => x.SignalDate).ToList());
-          signalsStochastics=new Signals(signalsStochastics.Take(config.StochasticsSignalDays).ToList());
-          int weakSellCount=(from Signal signal in signalsStochastics where signal.IsWeakSell() select signal).Count();
-          int strongSellCount=(from Signal signal in signalsStochastics where signal.IsStrongSell() select signal).Count();
-          if(config.StochasticsRejectStrongSells&&strongSellCount>0)
-          { 
-            candidateViolations.Add(new CandidateViolation(symbol,"Stochastics Oscillator Reject Strong Sell violation."));
-            continue;
-          }
-          if(config.StochasticsRejectWeakSells&&weakSellCount>0)
-          { 
-            candidateViolations.Add(new CandidateViolation(symbol,"Stochastics Oscillator Reject Weak Sell violation."));
-            continue;
-          }
-        }
-
-// Analyst Ratings - "Downgrades" that are more than a year old (252 days) are not considered.  Mean reversion.... bad companies improve, good companies decline.
-        DateTime minRatingDate=dateGenerator.GenerateHistoricalDate(startDateOfReturns,(int)MomentumGeneratorConstants.DayCount);
-        AnalystRatings analystRatings=AnalystRatingsDA.GetAnalystRatingsMaxDateNoZacks(symbol,tradeDate);
-        analystRatings.RemoveAll(x => x.Date<minRatingDate);
-        AnalystRating rating=null;
-        if(null!=analystRatings)rating=(from AnalystRating analystRating in analystRatings where analystRating.Type.Equals("Downgrades") select analystRating).FirstOrDefault();
-        if(null!=rating)
-        {
-          candidateViolations.Add(new CandidateViolation(symbol,"AnalystRating Downgrade violation within set period."));
-          continue;
-        }
-
-// The cumulative returns for the ranking skip to the previous month to eliminate short term reversal anomaly  (Wesley Gray : Quantum Momentum)
-        prices=GBPriceCache.GetInstance().GetPrices(symbol,startDateOfReturns,(int)MomentumGeneratorConstants.DayCount);
-        if(null==prices||(int)MomentumGeneratorConstants.DayCount!=prices.Count)
-        {
-          candidateViolations.Add(new CandidateViolation(symbol,"Insufficient pricing, cannot determine rank."));
-          continue;
-        }
-
-// check for outliers in the return stream
-        float[] returns = default;
-        returns=prices.GetReturns();
-        if((from float value in returns where Math.Abs(value)>.50 select value).Count()>0)
-        {
-          candidateViolations.Add(new CandidateViolation(symbol,"Candidate pricing contains outliers in the returns."));
-          continue;
-        }
-// Cumulative return
-        double cumulativeReturn=prices.GetCumulativeReturn();
-        if(cumulativeReturn<.10)
-        {
-          candidateViolations.Add(new CandidateViolation(symbol,"Candidate cumulative returns below threshhold."));
-          continue;
-        }
-
-// Zacks Rank.  This is for informational purposes for now but may further it's use in the future.
-        ZacksRank zacksRank=ZacksRankDA.GetZacksRankOnOrBefore(symbol,tradeDate);
-
-// Apply the PEScreening last because there an option to permit the inclusion of the high PE candidates if we have no other available candidates.
-// The idea is to try to avoid high PE stocks as they are more likey to introduce drawdowns as backtests have shown.
-        if(config.UseMaxPEScreen && !double.IsNaN(fundamental.PE) && fundamental.PE>config.MaxPE)
-        {
-            candidateViolations.Add(new CandidateViolation(symbol,"PE violation."));
-            MomentumCandidate highPECandidate=new MomentumCandidate();
-            highPECandidate.AnalysisDate=tradeDate;
-            highPECandidate.Symbol=symbol;
-            highPECandidate.CumReturn252=prices.GetCumulativeReturn();
-            highPECandidate.DayCount=(int)MomentumGeneratorConstants.DayCount;
-            highPECandidate.IDIndicator=IDIndicator.Calculate(prices);
-            highPECandidate.Score=ScoreIndicator.Calculate(prices);
-            highPECandidate.MaxDrawdown=prices.MaxDrawdown();
-            highPECandidate.MaxUpside=prices.MaxUpside();
-            highPECandidate.PE=fundamental.PE;
-            highPECandidate.Beta=fundamental.Beta;
-            highPECandidate.Velocity=velocity;
-            highPECandidate.Volume=price.Volume;
-            highPECandidate.Return1D=return1D;
-            if(null!=zacksRank)highPECandidate.ZacksRank=zacksRank.Rank;
-            highPECandidates.Add(highPECandidate);
-            continue;
-        }
-// *********************************************************************** C A N D I D A T E  A C C E P T A N C E *******************************************************
-// At this point whatever remains is taken so initialize the candidate and add to list
-        MomentumCandidate momentumCandidate=new MomentumCandidate();
-        momentumCandidate.AnalysisDate=tradeDate;
-        momentumCandidate.Symbol=symbol;
-        momentumCandidate.CumReturn252=prices.GetCumulativeReturn();
-        momentumCandidate.DayCount=(int)MomentumGeneratorConstants.DayCount;
-        momentumCandidate.IDIndicator=IDIndicator.Calculate(prices); 
-        momentumCandidate.Score=ScoreIndicator.Calculate(prices);
-        momentumCandidate.MaxDrawdown=prices.MaxDrawdown();
-        momentumCandidate.MaxUpside=prices.MaxUpside();
-        momentumCandidate.PE=fundamental.PE;
-        momentumCandidate.Beta=fundamental.Beta;
-        momentumCandidate.Velocity=velocity;
-        momentumCandidate.Volume=price.Volume;
-        momentumCandidate.Return1D=return1D;
-        if(null!=zacksRank)momentumCandidate.ZacksRank=zacksRank.Rank;
-        momentumCandidates.Add(momentumCandidate);
-
-      }  // for all symbols
-
-      if(0!=candidateViolations.Count)
-      {
-        MDTrace.WriteLine(LogLevel.DEBUG,"**************** C A N D I D A T E   S U M M A R Y  ************************");
-        IEnumerable<Tuple<string, int>> groups = candidateViolations.GroupBy(x => x.ReasonCategory).OrderByDescending(group => group.Count()).Select(group => Tuple.Create(group.Key, group.Count()));
-        foreach(Tuple<string, int> group in groups)
-        {
-          MDTrace.WriteLine(LogLevel.DEBUG,String.Format("Group: {0} Count:{1}",group.Item1, group.Item2));
-        }
-      }
-      MDTrace.WriteLine(LogLevel.DEBUG,String.Format($"Total Considered : {momentumCandidates.Count+candidateViolations.Count}"));
-      MDTrace.WriteLine(LogLevel.DEBUG,String.Format($"Total Disqualified : {candidateViolations.Count}"));
-      MDTrace.WriteLine(LogLevel.DEBUG,String.Format($"Total Eligible : {momentumCandidates.Count}"));
-      MDTrace.WriteLine(LogLevel.DEBUG,"******************************************************************************************************");
-
-// ********************************************************* E N D  C A N D I D A T E  S E L E C T I O N   C R I T E R I A  ****************************************
-//  If we wind up with less than the number of required candidates then check the StrictMaxPE
-//  flag and, if allowed, add the highPECandidate (that we've accumulated but skipped) to the momentumCandidates ordering them by the Lowest PE
-      if(!config.StrictMaxPE && momentumCandidates.Count<config.MaxPositions && highPECandidates.Count>0)
-      {
-        int takeCandidates=config.MaxPositions-momentumCandidates.Count;
-        highPECandidates=new MomentumCandidates(highPECandidates.OrderBy(x=>x.PE).Take(takeCandidates).ToList());
-        momentumCandidates.AddRange(highPECandidates);
-        if(config.Verbose)MDTrace.WriteLine(LogLevel.DEBUG,String.Format("High PE Candidates,{0}",Utility.FromList((from MomentumCandidate momentumCandidate in highPECandidates select momentumCandidate.Symbol).ToList())));
-      }
-
-      QualityIndicator qualityIndicator=new QualityIndicator(config.QualityIndicatorType);
-      if(qualityIndicator.Quality.Equals(QualityIndicator.QualityType.IDIndicator))
-      {
-        momentumCandidates=new MomentumCandidates((from MomentumCandidate momentumCandidate in momentumCandidates orderby momentumCandidate.IDIndicator ascending, momentumCandidate.CumReturn252 descending, momentumCandidate.Return1D descending, momentumCandidate.Volume descending select momentumCandidate).ToList());
-      }
-      else
-      {
-        momentumCandidates=new MomentumCandidates((from MomentumCandidate momentumCandidate in momentumCandidates orderby momentumCandidate.Score descending,momentumCandidate.CumReturn252 descending,momentumCandidate.Return1D descending,momentumCandidate.Volume descending select momentumCandidate).ToList());
-      }
-      MDTrace.WriteLine(LogLevel.DEBUG,String.Format("MomentumGenertor.GenerateMomentum:{0} candidates",momentumCandidates.Count()));
-      return momentumCandidates;
-    }
-*/    
-  }
-}
diff --git a/Books/Code/Momentum/PositionNotification.cs b/Books/Code/Momentum/PositionNotification.cs
deleted file mode 100644
index d501b91..0000000
--- a/Books/Code/Momentum/PositionNotification.cs
+++ /dev/null
@@ -1,24 +0,0 @@
-using System;
-using System.Collections.Generic;
-using System.Linq;
-using System.Text;
-using System.Threading.Tasks;
-
-namespace MarketData.Generator.Momentum
-{
-  public class SMSNotifications : Dictionary<String,SMSNotification>
-  {
-  }
-  public class SMSNotification
-  {
-    public SMSNotification()
-    {
-    }
-    public DateTime NotificationTime{get;set;}
-    public int ElapsedTimeMinutes(DateTime currentTime)
-    {
-      TimeSpan elapsedTime=currentTime-NotificationTime;
-      return elapsedTime.Minutes;
-    }
-  }
-}
diff --git a/Books/Code/Momentum/Positions.cs b/Books/Code/Momentum/Positions.cs
deleted file mode 100644
index a6fc6e9..0000000
--- a/Books/Code/Momentum/Positions.cs
+++ /dev/null
@@ -1,306 +0,0 @@
-using System;
-using System.Collections.Generic;
-using MarketData.Utils;
-using System.Linq;
-using MarketData.Generator.Interface;
-
-namespace MarketData.Generator.Momentum
-{
-  public class Position : IPurePosition
-  {
-    public Position()
-    {
-      CurrentPrice=double.NaN;
-    }
-
-    public Position(Position position)
-    {
-      Symbol = position.Symbol;
-      PurchaseDate = position.PurchaseDate;
-      SellDate = position.SellDate;
-      Shares = position.Shares;
-      PurchasePrice = position.PurchasePrice;
-      CurrentPrice = position.CurrentPrice;
-      Volume = position.Volume;
-      Return1D = position.Return1D;
-      ZacksRank = position.ZacksRank;
-      CumReturn252 = position.CumReturn252;
-      IDIndicator = position.IDIndicator;
-      Score=position.Score;
-      MaxDrawdown = position.MaxDrawdown;
-      MaxUpside = position.MaxUpside;
-      Velocity = position.Velocity;
-      PE = position.PE;
-      Beta = position.Beta;
-      SharpeRatio = position.SharpeRatio;
-    }
-
-    public static Position Clone(Position position)
-    {
-      Position clonedPosition = new Position();
-      clonedPosition.Symbol = position.Symbol;
-      clonedPosition.PurchaseDate = position.PurchaseDate;
-      clonedPosition.SellDate = position.SellDate;
-      clonedPosition.Shares = position.Shares;
-      clonedPosition.PurchasePrice = position.PurchasePrice;
-      clonedPosition.CurrentPrice = position.CurrentPrice;
-      clonedPosition.Volume = position.Volume;
-      clonedPosition.Return1D = position.Return1D;
-      clonedPosition.ZacksRank = position.ZacksRank;
-      clonedPosition.CumReturn252 = position.CumReturn252;
-      clonedPosition.IDIndicator = position.IDIndicator;
-      clonedPosition.Score = position.Score;
-      clonedPosition.MaxDrawdown = position.MaxDrawdown;
-      clonedPosition.MaxUpside = position.MaxUpside;
-      clonedPosition.Velocity = position.Velocity;
-      clonedPosition.PE = position.PE;
-      clonedPosition.Beta = position.Beta;
-      clonedPosition.SharpeRatio = position.SharpeRatio;
-      return clonedPosition;
-    }
-
-    public String Symbol{get;set;}
-
-    public DateTime PurchaseDate{get;set;}
-
-    public DateTime SellDate{get;set;}
-
-    public double Shares{get;set;}
-
-    public double PurchasePrice{get;set;}
-
-    public double CurrentPrice{get;set;}
-
-    public double Exposure{get{return Shares*PurchasePrice;}}
-
-    public double MarketValue{get{return Shares*CurrentPrice;}}
-
-    public long Volume{get;set;}
-
-    public double Return1D{get;set;}
-
-    public double GainLoss{get{return MarketValue-Exposure;}}
-
-    public double GainLossPcnt{get{return (MarketValue-Exposure)/Exposure;}}
-
-    public String ZacksRank{get;set;}
-
-    public double CumReturn252{get;set;}
-
-    public double IDIndicator{get;set;}
-
-    public double Score{get;set;}
-
-    public double MaxDrawdown{get;set;}
-
-    public double MaxUpside{get;set;}
-
-    public double Velocity{get;set;}
-
-    public double PE{get;set;}
-
-    public double Beta{get;set;}
-
-    public double SharpeRatio { get; set; }
-
-    public virtual NVPCollection ToNVPCollection()
-    {
-      NVPCollection nvpCollection=new NVPCollection();
-      nvpCollection.Add(new NVP("Symbol",Symbol.ToString()));
-      nvpCollection.Add(new NVP("PurchaseDate",PurchaseDate.ToString()));
-      nvpCollection.Add(new NVP("SellDate",SellDate.ToString()));
-      nvpCollection.Add(new NVP("Shares",Shares.ToString()));
-      nvpCollection.Add(new NVP("PurchasePrice",PurchasePrice.ToString()));
-      nvpCollection.Add(new NVP("CurrentPrice",CurrentPrice.ToString()));
-      nvpCollection.Add(new NVP("Volume",Volume.ToString()));
-      nvpCollection.Add(new NVP("Return1D",Return1D.ToString()));
-      nvpCollection.Add(new NVP("ZacksRank",ZacksRank));
-      nvpCollection.Add(new NVP("CumReturn252",CumReturn252.ToString()));
-      nvpCollection.Add(new NVP("IDIndicator",IDIndicator.ToString()));
-      nvpCollection.Add(new NVP("Score",Score.ToString()));
-      nvpCollection.Add(new NVP("MaxDrawdown",MaxDrawdown.ToString()));
-      nvpCollection.Add(new NVP("MaxUpside",MaxUpside.ToString()));
-      nvpCollection.Add(new NVP("Velocity",Velocity.ToString()));
-      nvpCollection.Add(new NVP("PE",PE.ToString()));
-      nvpCollection.Add(new NVP("Beta",Beta.ToString()));
-      nvpCollection.Add(new NVP("SharpeRatio", SharpeRatio.ToString()));
-      return nvpCollection;
-    }
-
-    public static Position FromNVPCollection(NVPCollection nvpCollection)
-    {
-      Position position=new Position();
-      NVPDictionary nvpDictionary=nvpCollection.ToDictionary();
-      position.Symbol=nvpDictionary["Symbol"].Get<String>();
-      position.PurchaseDate=nvpDictionary["PurchaseDate"].Get<DateTime>();
-      position.SellDate=nvpDictionary["SellDate"].Get<DateTime>();
-      position.Shares=nvpDictionary["Shares"].Get<double>();
-      position.PurchasePrice=nvpDictionary["PurchasePrice"].Get<double>();
-      position.CurrentPrice=nvpDictionary["CurrentPrice"].Get<double>();
-      position.Volume=nvpDictionary["Volume"].Get<long>();
-      position.Return1D=nvpDictionary["Return1D"].Get<long>();
-      if(nvpDictionary.ContainsKey("ZacksRank"))position.ZacksRank=nvpDictionary["ZacksRank"].Get<String>();
-      position.CumReturn252=nvpDictionary["CumReturn252"].Get<long>();
-      position.IDIndicator=nvpDictionary["IDIndicator"].Get<double>();
-      if(nvpDictionary.ContainsKey("MaxDrawdown"))position.MaxDrawdown=nvpDictionary["MaxDrawdown"].Get<double>();
-      if(nvpDictionary.ContainsKey("MaxUpside"))position.MaxUpside=nvpDictionary["MaxUpside"].Get<double>();
-      position.Velocity=nvpDictionary["Velocity"].Get<double>();
-      position.PE=nvpDictionary["PE"].Get<double>();
-      position.Beta=nvpDictionary["Beta"].Get<double>();
-      if (nvpDictionary.ContainsKey("SharpeRatio")) position.SharpeRatio = nvpDictionary["SharpeRatio"].Get<double>();
-      else position.SharpeRatio = double.NaN;
-      if(nvpDictionary.ContainsKey("Score")) position.Score=nvpDictionary["Score"].Get<double>();
-      else position.Score=double.NaN;
-      return position;
-    }
-
-    public static void DisplayHeader()
-    {
-      MDTrace.WriteLine(LogLevel.DEBUG, "Symbol,Purchase Date,Shares,Purchase Price,Exposure,Volume,Return1D,Sell Date,Sell Price,Market Value,Gain Loss,Gain Loss(%),CumReturn252,IDIndicator,Score,MaxDrawdown,MaxUpside,Velocity,PE,Beta,SharpeRatio");
-    }
-
-    public void Display()
-    {
-      if (Utility.IsEpoch(SellDate) && double.IsNaN(CurrentPrice))
-      {
-        MDTrace.WriteLine(LogLevel.DEBUG, String.Format("{0},{1},{2},{3},{4},{5},{6},N/A,N/A,N/A,N/A,N/A,{7},{8},{9},{10},{11},{12},{13},{14},{15}",
-          Symbol,
-          Utility.DateTimeToStringMMHDDHYYYY(PurchaseDate),
-          Shares,
-          Utility.AddQuotes(Utility.FormatCurrency(PurchasePrice)),
-          Utility.AddQuotes(Utility.FormatCurrency(Exposure)),
-          Volume,
-          Utility.AddQuotes(Utility.FormatPercent(Return1D)),
-          Utility.AddQuotes(Utility.FormatPercent(CumReturn252)),
-          Utility.AddQuotes(Utility.FormatNumber(IDIndicator)),
-          Utility.AddQuotes(Utility.FormatNumber(Score)),
-          Utility.AddQuotes(Utility.FormatPercent(MaxDrawdown)),
-          Utility.AddQuotes(Utility.FormatPercent(MaxUpside)),
-          Utility.AddQuotes(Utility.FormatPercent(Velocity)),
-          Utility.AddQuotes(Utility.FormatNumber(PE)),
-          Utility.AddQuotes(Utility.FormatNumber(Beta)),
-          Utility.AddQuotes(Utility.FormatNumber(SharpeRatio))
-          ));
-      }
-      else
-      {
-        MDTrace.WriteLine(LogLevel.DEBUG, String.Format("{0},{1},{2},{3},{4},{5},{6},{7},{8},{9},{10},{11},{12},{13},{14},{15},{16},{17},{18},{19},{20}",
-        Symbol,
-        Utility.DateTimeToStringMMHDDHYYYY(PurchaseDate),
-        Shares,
-        Utility.AddQuotes(Utility.FormatCurrency(PurchasePrice)),
-        Utility.AddQuotes(Utility.FormatCurrency(Exposure)),
-        Volume,
-        Utility.AddQuotes(Utility.FormatPercent(Return1D)),
-        Utility.DateTimeToStringMMHDDHYYYY(SellDate),
-        Utility.AddQuotes(Utility.FormatCurrency(CurrentPrice)),
-        Utility.AddQuotes(Utility.FormatCurrency(MarketValue)),
-        Utility.AddQuotes(Utility.FormatCurrency(GainLoss)),
-        Utility.FormatPercent(GainLossPcnt),
-        Utility.AddQuotes(Utility.FormatPercent(CumReturn252)),
-        Utility.AddQuotes(Utility.FormatNumber(IDIndicator)),
-        Utility.AddQuotes(Utility.FormatNumber(Score)),
-        Utility.AddQuotes(Utility.FormatPercent(MaxDrawdown)),
-        Utility.AddQuotes(Utility.FormatPercent(MaxUpside)),
-        Utility.AddQuotes(Utility.FormatPercent(Velocity)),
-        Utility.AddQuotes(Utility.FormatNumber(PE)),
-        Utility.AddQuotes(Utility.FormatNumber(Beta)),
-        Utility.AddQuotes(Utility.FormatNumber(SharpeRatio))
-        ));
-      }
-    }
-  }
-// ****************************************************************************************************************************************************************
-  public class Positions : List<Position>
-  {
-    public Positions()
-    {
-    }
-    public Positions(Positions positions)
-    {
-      foreach(Position position in positions)Add(position);
-    }
-    public Positions(List<Position> positions)
-    {
-      foreach(Position position in positions)Add(position);
-    }
-    public Positions(Position position)
-    {
-      Add(position);
-    }
-    public void Add(Positions positions)
-    {
-      foreach(Position position in positions)Add(position);
-    }
-    public double Exposure
-    {
-      get
-      {
-        return (from Position position in this select position.PurchasePrice*position.Shares).Sum();
-      }
-    }
-    public double MarketValue
-    {
-      get
-      {
-        return (from Position position in this select position.CurrentPrice*position.Shares).Sum();
-      }
-    }
-    public NVPCollections ToNVPCollections()
-    {
-      NVPCollections nvpCollections=new NVPCollections();
-      foreach(Position position in this)
-      {
-        nvpCollections.Add(position.ToNVPCollection());
-      }
-      return nvpCollections;
-    }
-    public static Positions FromNVPCollections(NVPCollections nvpCollections)
-    {
-      Positions positions=new Positions();
-      foreach(NVPCollection nvpCollection in nvpCollections)
-      {
-        positions.Add(Position.FromNVPCollection(nvpCollection)); 
-      }
-      return positions;
-    }
-    public void DisplayTopFive()
-    {
-      Positions positions = new Positions(this.OrderByDescending(x => x.GainLossPcnt).Take(5).ToList());
-      Position.DisplayHeader();
-      for (int index = 0; index < positions.Count; index++)
-      {
-        Position position = positions[index];
-        position.Display();
-      }
-    }
-    public void DisplayBottomFive()
-    {
-      Positions positions = new Positions(this.OrderBy(x => x.GainLossPcnt).Take(5).ToList());
-      Position.DisplayHeader();
-      for (int index = 0; index < positions.Count; index++)
-      {
-        Position position = positions[index];
-        position.Display();
-      }
-    }
-    public void Display()
-    {
-      Position.DisplayHeader();
-      for(int index=0;index<Count;index++)
-      {
-        Position position=this[index];
-        position.Display();
-      }
-      if(this.Any(x=>Utility.IsEpoch(x.SellDate)||double.IsNaN(x.CurrentPrice)))
-      {
-        MDTrace.WriteLine(LogLevel.DEBUG, String.Format("EXPOSURE:{0}", Utility.FormatCurrency(this.Exposure)));
-      }
-      else
-      {
-        MDTrace.WriteLine(LogLevel.DEBUG, String.Format("GAIN/LOSS {0}", Utility.FormatCurrency(this.Sum(x => x.GainLoss)))); 
-      }
-      MDTrace.WriteLine(LogLevel.DEBUG,"****************************************************************************************************************************");      
-    }
-  }
-}
diff --git a/Books/Code/Momentum/QualityIndicator.cs b/Books/Code/Momentum/QualityIndicator.cs
deleted file mode 100644
index 19658b5..0000000
--- a/Books/Code/Momentum/QualityIndicator.cs
+++ /dev/null
@@ -1,53 +0,0 @@
-using System;
-using System.Collections.Generic;
-using System.Linq;
-using System.Text;
-using System.Threading.Tasks;
-
-namespace MarketData.Generator.Momentum
-{
-  public class QualityIndicator
-  {
-    public enum QualityType{IDIndicator=0,ScoreIndicator=1};
-    private QualityType qualityType;
-    public QualityIndicator()
-    {
-      qualityType=QualityType.IDIndicator;
-    }
-    public QualityIndicator(QualityType qualityType)
-    {
-      this.qualityType=qualityType;
-    }
-    public QualityIndicator(String strQualityType)
-    {
-      if(null==strQualityType)
-      {
-        qualityType=QualityType.IDIndicator;
-        return;
-      }
-      strQualityType=strQualityType.ToUpper();
-      if("SCOREINDICATOR".Equals(strQualityType))qualityType=QualityType.ScoreIndicator;
-      else qualityType=QualityType.IDIndicator;
-    }
-    public override String ToString()
-    {
-      if(qualityType.Equals(QualityType.ScoreIndicator))return "SCOREINDICATOR";
-      return "IDINDICATOR";
-    }
-    public static String ToString(QualityIndicator.QualityType qualityType)
-    {
-      if(qualityType.Equals(QualityType.ScoreIndicator))return "SCOREINDICATOR";
-      return "IDINDICATOR";
-    }
-    public static QualityType ToQuality(String strQualityType)
-    {
-      if(strQualityType.Equals("SCOREINDICATOR")) return QualityIndicator.QualityType.ScoreIndicator;
-      return QualityIndicator.QualityType.IDIndicator;
-    }
-    public QualityType Quality
-    {
-      get{return qualityType;}
-      set{qualityType=value;}
-    }
-  }
-}
diff --git a/Books/Code/Momentum/ScoreIndicator.cs b/Books/Code/Momentum/ScoreIndicator.cs
deleted file mode 100644
index fe8473e..0000000
--- a/Books/Code/Momentum/ScoreIndicator.cs
+++ /dev/null
@@ -1,39 +0,0 @@
-using System;
-using System.Collections.Generic;
-using System.Text;
-using MarketData.MarketDataModel;
-using MarketData.DataAccess;
-using MarketData.Numerical;
-using MarketData.Utils;
-using System.Linq;
-using MarketData.Helper;
-
-namespace MarketData.Generator.Momentum
-{
-  public class ScoreIndicator
-  {
-    private ScoreIndicator()
-    {
-    }
-// This uses the same scoring mechanism as is used in Clenow Momentum which is based upon the log of returns.
-// The higher the score the better the rank.  The logPrices array gets filled with the most distant price in the lower indices.  Hence the backward walk through the prices.  
-    public static double Calculate(Prices prices)
-    {
-      double score=double.NaN;
-      if(null==prices || 0==prices.Count)return double.NaN;
-      double[] logPrices=new double[prices.Count];
-      for(int index=prices.Count-1;index>=0;index--)
-      {
-        Price price=prices[index];
-        logPrices[(prices.Count-index)-1]=Math.Log(price.Close);
-      }
-      LeastSquaresResultWithR2 leastSquaresResult=LeastSquaresHelper.CalculateLeastSquaresWithR2(logPrices);
-      double slope=leastSquaresResult.Slope;
-      double annualizedReturn=Math.Pow(Math.Exp(slope),252);
-      if(slope<0.00)annualizedReturn*=-1.00;
-      score=leastSquaresResult.RSquared*annualizedReturn;
-      return score;
-    }                                                                     
-  }
-}
-
diff --git a/Books/Code/Momentum/SlotPosition.cs b/Books/Code/Momentum/SlotPosition.cs
deleted file mode 100644
index ae741d0..0000000
--- a/Books/Code/Momentum/SlotPosition.cs
+++ /dev/null
@@ -1,77 +0,0 @@
-using System;
-using System.Collections.Generic;
-using System.Text;
-using MarketData.MarketDataModel;
-using MarketData.DataAccess;
-using MarketData.Utils;
-using System.Linq;
-using MarketData.Helper;
-using MarketData.Numerical;
-
-namespace MarketData.Generator.Momentum
-{
-  public class SlotPositions : List<SlotPosition>
-  {
-    public SlotPositions()
-    {
-    }
-    public SlotPositions(int slot,Positions positions)
-    {
-      for(int index=0;index<positions.Count;index++)
-      {
-        Add(new SlotPosition(slot,positions[index]));
-      }
-    }
-    public NVPCollections ToNVPCollections()
-    {
-      NVPCollections nvpCollections=new NVPCollections();
-      foreach(SlotPosition position in this)
-      {
-        nvpCollections.Add(position.ToNVPCollection());
-      }
-      return nvpCollections;
-    }
-    public static SlotPositions FromNVPCollections(NVPCollections nvpCollections)
-    {
-      SlotPositions positions=new SlotPositions();
-      foreach(NVPCollection nvpCollection in nvpCollections)
-      {
-        positions.Add(SlotPosition.FromNVPCollection(nvpCollection)); 
-      }
-      return positions;
-    }
-  }
-  public class SlotPosition : Position
-  {
-    public SlotPosition()
-    {
-    }
-    public SlotPosition(int slot,Position position) : base(position)
-    {
-      Slot=slot;
-    }
-    public SlotPosition(Position position) : base(position)
-    {
-    }
-    public int Slot{get;set;}
-    public Position ToPosition()
-    {
-      Position position = new Position(this);
-      return position;
-    }
-    public override NVPCollection ToNVPCollection()
-    {
-      NVPCollection nvpCollection=base.ToNVPCollection();
-      nvpCollection.Insert(0,new NVP("Slot",Slot.ToString()));
-      return nvpCollection;
-    }
-    public static new SlotPosition FromNVPCollection(NVPCollection nvpCollection)
-    {
-      NVPDictionary nvpDictionary=nvpCollection.ToDictionary();
-      Position position=Position.FromNVPCollection(nvpCollection);
-      SlotPosition slotPosition=new SlotPosition(position);
-      slotPosition.Slot=nvpDictionary["Slot"].Get<int>();
-      return slotPosition;
-    }
-  }
-}
diff --git a/Books/Finance/A Random Walk Down Wall Street_ - Burton G. Malkiel.txt b/Books/Finance/A Random Walk Down Wall Street_ - Burton G. Malkiel.txt
index ca466ec..f685042 100644
--- a/Books/Finance/A Random Walk Down Wall Street_ - Burton G. Malkiel.txt	
+++ b/Books/Finance/A Random Walk Down Wall Street_ - Burton G. Malkiel.txt	
@@ -1,1403 +1,3 @@
-A RANDOM WALK DOWN WALL STREET
-
-
-
-
-
-A RANDOM WALK DOWN WALL STREET
-
-
-
-
-The Time-Tested Strategy for Successful Investing
-
-
-
-
-
-BURTON G. MALKIEL
-
-
-
-
-
-W. W. NORTON & COMPANY
-
-New York • London
-
-
-
-
-
-Copyright © 2011, 2007, 2003, 1999, 1996, 1990, 1985, 1981, 1975, 1973 by W. W. Norton & Company, Inc.
-
-The article on page 324 entitled “Red Faces in Park” appears courtesy of Thomson Reuters. All rights reserved. Republication or redistribution of Thomson Reuters content, including by framing or similar means, is expressly prohibited without the prior written consent of Thomson Reuters. Thomson Reuters and its logo are registered trademarks or trademarks of the Thomson Reuters group of companies around the world. © Thomson Reuters 2009. Thomson Reuters journalists are subject to an Editorial Handbook, which requires fair presentation and disclosure of relevant interests.
-
-All rights reserved
-
-For information about permission to reproduce selections from this book, write to Permissions, W. W. Norton & Company, Inc., 500 Fifth Avenue, New York, NY 10110
-
-Library of Congress Cataloging-in-Publication Data
-
-Malkiel, Burton Gordon.
-
-A random walk down Wall Street: the time-tested strategy for successful investing / Burton G. Malkiel.
-
-p. cm.
-
-Rev. ed.
-
-ISBN: 978-0-393-08169-5
-
-1. Investments. 2. Stocks. 3. Random walks (Mathematics) I. Title.
-
-HG4521.M284 2011
-
-332.601’519282—dc22
-
-2010041866
-
-W. W. Norton & Company, Inc.
-
-500 Fifth Avenue, New York, N.Y. 10110
-
-www.wwnorton.com
-
-W. W. Norton & Company Ltd.
-
-Castle House, 75/76 Wells Street, London W1T 3QT
-
-
-
-
-
-TO NANCY AND SKIPPER
-
-
-
-
-
-CONTENTS
-
-
-
-
-Preface
-
-
-
-
-
-Acknowledgments from Earlier Editions
-
-
-
-
-
-Part One
-
-
-
-STOCKS AND THEIR VALUE
-
-
-
-
-
-1. FIRM FOUNDATIONS AND CASTLES IN THE AIR
-
-
-
-
-
-What Is a Random Walk?
-
-
-
-
-
-Investing as a Way of Life Today
-
-
-
-
-
-Investing in Theory
-
-
-
-
-
-The Firm-Foundation Theory
-
-
-
-
-
-The Castle-in-the-Air Theory
-
-
-
-
-
-How the Random Walk Is to Be Conducted
-
-
-
-
-
-2. THE MADNESS OF CROWDS
-
-
-
-
-
-The Tulip-Bulb Craze
-
-
-
-
-
-The South Sea Bubble
-
-
-
-
-
-Wall Street Lays an Egg
-
-
-
-
-
-An Afterword
-
-
-
-
-
-3. SPECULATIVE BUBBLES FROM THE SIXTIES INTO THE NINETIES
-
-
-
-
-
-The Sanity of Institutions
-
-
-
-
-
-The Soaring Sixties
-
-
-
-
-
-The New “New Era”: The Growth-Stock/New-Issue Craze
-
-
-
-
-
-Synergy Generates Energy: The Conglomerate Boom
-
-
-
-
-
-Performance Comes to the Market: The Bubble in Concept Stocks
-
-
-
-
-
-The Nifty Fifty
-
-
-
-
-
-The Roaring Eighties
-
-
-
-
-
-The Return of New Issues
-
-
-
-
-
-Concepts Conquer Again: The Biotechnology Bubble
-
-
-
-
-
-ZZZZ Best Bubble of All
-
-
-
-
-
-What Does It All Mean?
-
-
-
-
-
-The Japanese Yen for Land and Stocks
-
-
-
-
-
-4. THE EXPLOSIVE BUBBLES OF THE EARLY 2000S
-
-
-
-
-
-The Internet Bubble
-
-
-
-
-
-A Broad-Scale High-Tech Bubble
-
-
-
-
-
-Yet Another New-Issue Craze
-
-
-
-
-
-TheGlobe.com
-
-
-
-
-
-Security Analysts $peak Up
-
-
-
-
-
-New Valuation Metrics
-
-
-
-
-
-The Writes of the Media
-
-
-
-
-
-Fraud Slithers In and Strangles the Market
-
-
-
-
-
-Should We Have Known the Dangers?
-
-
-
-
-
-The U.S. Housing Bubble and Crash of the Early 2000s
-
-
-
-
-
-The New System of Banking
-
-
-
-
-
-Looser Lending Standards
-
-
-
-
-
-The Housing Bubble
-
-
-
-
-
-Bubbles and Economic Activity
-
-
-
-
-
-Does This Mean That Markets Are Inefficient?
-
-
-
-
-
-Part Two
-
-
-
-HOW THE PROS PLAY THE BIGGEST GAME IN TOWN
-
-
-
-
-
-5. TECHNICAL AND FUNDAMENTAL ANALYSIS
-
-
-
-
-
-Technical versus Fundamental Analysis
-
-
-
-
-
-What Can Charts Tell You?
-
-
-
-
-
-The Rationale for the Charting Method
-
-
-
-
-
-Why Might Charting Fail to Work?
-
-
-
-
-
-From Chartist to Technician
-
-
-
-
-
-The Technique of Fundamental Analysis
-
-
-
-
-
-Three Important Caveats
-
-
-
-
-
-Why Might Fundamental Analysis Fail to Work?
-
-
-
-
-
-Using Fundamental and Technical Analysis Together
-
-
-
-
-
-6. TECHNICAL ANALYSIS AND THE RANDOM-WALK THEORY
-
-
-
-
-
-Holes in Their Shoes and Ambiguity in Their Forecasts
-
-
-
-
-
-Is There Momentum in the Stock Market?
-
-
-
-
-
-Just What Exactly Is a Random Walk?
-
-
-
-
-
-Some More Elaborate Technical Systems
-
-
-
-
-
-The Filter System
-
-
-
-
-
-The Dow Theory
-
-
-
-
-
-The Relative-Strength System
-
-
-
-
-
-Price-Volume Systems
-
-
-
-
-
-Reading Chart Patterns
-
-
-
-
-
-Randomness Is Hard to Accept
-
-
-
-
-
-A Gaggle of Other Technical Theories to Help You Lose Money
-
-
-
-
-
-The Hemline Indicator
-
-
-
-
-
-The Super Bowl Indicator
-
-
-
-
-
-The Odd-Lot Theory
-
-
-
-
-
-A Few More Systems
-
-
-
-
-
-Technical Market Gurus
-
-
-
-
-
-Why Are Technicians Still Hired?
-
-
-
-
-
-Appraising the Counterattack
-
-
-
-
-
-Implications for Investors
-
-
-
-
-
-7. HOW GOOD IS FUNDAMENTAL ANALYSIS?
-
-
-
-
-
-The Views from Wall Street and Academia
-
-
-
-
-
-Are Security Analysts Fundamentally Clairvoyant?
-
-
-
-
-
-Why the Crystal Ball Is Clouded
-
-
-
-
-
-1. The Influence of Random Events
-
-
-
-
-
-2. The Production of Dubious Reported Earnings through “Creative” Accounting Procedures
-
-
-
-
-
-3. Errors Made by the Analysts Themselves
-
-
-
-
-
-4. The Loss of the Best Analysts to the Sales Desk, to Portfolio Management, or to Hedge Funds
-
-
-
-
-
-5. The Conflicts of Interest between Research and Investment Banking Departments
-
-
-
-
-
-Do Security Analysts Pick Winners?—The Performance of the Mutual Funds
-
-
-
-
-
-Can Any Fundamental System Pick Winners?
-
-
-
-
-
-The Verdict on Market Timing
-
-
-
-
-
-The Semi-Strong and Strong Forms of the Efficient-Market Theory
-
-
-
-
-
-The Middle of the Road: A Personal Viewpoint
-
-
-
-
-
-Part Three
-
-
-
-THE NEW INVESTMENT TECHNOLOGY
-
-
-
-
-
-8. A NEW WALKING SHOE: MODERN PORTFOLIO THEORY
-
-
-
-
-
-The Role of Risk
-
-
-
-
-
-Defining Risk: The Dispersion of Returns
-
-
-
-
-
-Illustration: Expected Return and Variance Measures of Reward and Risk
-
-
-
-
-
-Documenting Risk: A Long-Run Study
-
-
-
-
-
-Reducing Risk: Modern Portfolio Theory (MPT)
-
-
-
-
-
-Diversification in Practice
-
-
-
-
-
-9. REAPING REWARD BY INCREASING RISK
-
-
-
-
-
-Beta and Systematic Risk
-
-
-
-
-
-The Capital-Asset Pricing Model (CAPM)
-
-
-
-
-
-Let’s Look at the Record
-
-
-
-
-
-An Appraisal of the Evidence
-
-
-
-
-
-The Quant Quest for Better Measures of Risk: Arbitrage Pricing Theory
-
-
-
-
-
-The Fama-French Three-Factor Model
-
-
-
-
-
-A Summing Up
-
-
-
-
-
-10. BEHAVIORAL FINANCE
-
-
-
-
-
-The Irrational Behavior of Individual Investors
-
-
-
-
-
-Overconfidence
-
-
-
-
-
-Biased Judgments
-
-
-
-
-
-Herding
-
-
-
-
-
-Loss Aversion
-
-
-
-
-
-Pride and Regret
-
-
-
-
-
-Behavioral Finance and Savings
-
-
-
-
-
-The Limits to Arbitrage
-
-
-
-
-
-What Are the Lessons for Investors from Behavioral Finance?
-
-
-
-
-
-1. Avoid Herd Behavior
-
-
-
-
-
-2. Avoid Overtrading
-
-
-
-
-
-3. If You Do Trade: Sell Losers, Not Winners
-
-
-
-
-
-4. Other Stupid Investor Tricks
-
-
-
-
-
-Does Behavioral Finance Teach Ways to Beat the Market?
-
-
-
-
-
-11. POTSHOTS AT THE EFFICIENT-MARKET THEORY AND WHY THEY MISS
-
-
-
-
-
-What Do We Mean by Saying Markets Are Efficient?
-
-
-
-
-
-Potshots That Completely Miss the Target
-
-
-
-
-
-Dogs of the Dow
-
-
-
-
-
-January Effect
-
-
-
-
-
-“Thank God It’s Monday Afternoon” Pattern
-
-
-
-
-
-Hot News Response
-
-
-
-
-
-Why the Aim Is So Bad
-
-
-
-
-
-Potshots That Get Close but Still Miss the Target
-
-
-
-
-
-The Trend Is Your Friend (Otherwise Known as Short-Term Momentum)
-
-
-
-
-
-The Dividend Jackpot Approach
-
-
-
-
-
-The Initial P/E Predictor
-
-
-
-
-
-The “Back We Go Again” Strategy (Otherwise Known as Long-Run Return Reversals)
-
-
-
-
-
-The “Smaller Is Better” Effect
-
-
-
-
-
-The “Value Will Win” Record
-
-
-
-
-
-Stocks with Low Price-Earnings Multiples Outperform Those with High Multiples
-
-
-
-
-
-Stocks That Sell at Low Multiples of Their Book Values Tend to Produce Higher Subsequent Returns
-
-
-
-
-
-Does “Value” Really Trump Growth on a Consistent Basis?
-
-
-
-
-
-Why Even Close Shots Miss
-
-
-
-
-
-And the Winner Is…
-
-
-
-
-
-The Performance of Professional Investors
-
-
-
-
-
-A Summing Up
-
-
-
-
-
-Part Four
-
-
-
-A PRACTICAL GUIDE FOR RANDOM WALKERS AND OTHER INVESTORS
-
-
-
-
-
-12. A FITNESS MANUAL FOR RANDOM WALKERS
-
-
-
-
-
-Exercise 1: Gather the Necessary Supplies
-
-
-
-
-
-Exercise 2: Don’t Be Caught Empty-Handed: Cover Yourself with Cash Reserves and Insurance
-
-
-
-
-
-Cash Reserves
-
-
-
-
-
-Insurance
-
-
-
-
-
-Deferred Variable Annuities
-
-
-
-
-
-Exercise 3: Be Competitive—Let the Yield on Your Cash Reserve Keep Pace with Inflation
-
-
-
-
-
-Money-Market Mutual Funds (Money Funds)
-
-
-
-
-
-Bank Certificates of Deposit (CDs)
-
-
-
-
-
-Internet Banks
-
-
-
-
-
-Treasury Bills
-
-
-
-
-
-Tax-Exempt Money-Market Funds
-
-
-
-
-
-Exercise 4: Learn How to Dodge the Tax Collector
-
-
-
-
-
-Individual Retirement Accounts
-
-
-
-
-
-Roth IRAs
-
-
-
-
-
-Pension Plans
-
-
-
-
-
-Saving for College: As Easy as 529
-
-
-
-
-
-Exercise 5: Make Sure the Shoe Fits: Understand Your Investment Objectives
-
-
-
-
-
-Exercise 6: Begin Your Walk at Your Own Home—Renting Leads to Flabby Investment Muscles
-
-
-
-
-
-Exercise 7: Investigate a Promenade through Bond Country
-
-
-
-
-
-Zero-Coupon Bonds Can Generate Large Future Returns
-
-
-
-
-
-No-Load Bond Funds Are Appropriate Vehicles for Individual Investors
-
-
-
-
-
-Tax-Exempt Bonds Are Useful for High-Bracket Investors
-
-
-
-
-
-Hot TIPS: Inflation-Indexed Bonds
-
-
-
-
-
-Should You Be a Bond-Market Junkie?
-
-
-
-
-
-Exercise 8: Tiptoe through the Fields of Gold, Collectibles, and Other Investments
-
-
-
-
-
-Exercise 9: Remember That Commission Costs Are Not Random; Some Are Lower than Others
-
-
-
-
-
-Exercise 10: Avoid Sinkholes and Stumbling Blocks: Diversify Your Investment Steps
-
-
-
-
-
-A Final Checkup
-
-
-
-
-
-13. HANDICAPPING THE FINANCIAL RACE: A PRIMER IN UNDERSTANDING AND PROJECTING RETURNS FROM STOCKS AND BONDS
-
-
-
-
-
-What Determines the Returns from Stocks and Bonds?
-
-
-
-
-
-Four Eras of Financial Market Returns
-
-
-
-
-
-Era I: The Age of Comfort
-
-
-
-
-
-Era II: The Age of Angst
-
-
-
-
-
-Era III: The Age of Exuberance
-
-
-
-
-
-Era IV: The Age of Disenchantment
-
-
-
-
-
-Handicapping Future Returns
-
-
-
-
-
-14. A LIFE-CYCLE GUIDE TO INVESTING
-
-
-
-
-
-Five Asset-Allocation Principles
-
-
-
-
-
-1. Risk and Reward Are Related
-
-
-
-
-
-2. Your Actual Risk in Stock and Bond Investing Depends on the Length of Time You Hold Your Investment
-
-
-
-
-
-3. Dollar-Cost Averaging Can Reduce the Risks of Investing in Stocks and Bonds
-
-
-
-
-
-4. Rebalancing Can Reduce Investment Risk and Possibly Increase Returns
-
-
-
-
-
-5. Distinguishing between Your Attitude toward and Your Capacity for Risk
-
-
-
-
-
-Three Guidelines to Tailoring a Life-Cycle Investment Plan
-
-
-
-
-
-1. Specific Needs Require Dedicated Specific Assets
-
-
-
-
-
-2. Recognize Your Tolerance for Risk
-
-
-
-
-
-3. Persistent Saving in Regular Amounts, No Matter How Small, Pays Off
-
-
-
-
-
-The Life-Cycle Investment Guide
-
-
-
-
-
-Life-Cycle Funds
-
-
-
-
-
-Investment Management Once You Have Retired
-
-
-
-
-
-Inadequate Preparation for Retirement
-
-
-
-
-
-Investing a Retirement Nest Egg
-
-
-
-
-
-Annuities
-
-
-
-
-
-The Do-It-Yourself Method
-
-
-
-
-
-15. THREE GIANT STEPS DOWN WALL STREET
-
-
-
-
-
-The No-Brainer Step: Investing in Index Funds
-
-
-
-
-
-The Index-Fund Solution: A Summary
-
-
-
-
-
-A Broader Definition of Indexing
-
-
-
-
-
-A Specific Index-Fund Portfolio
-
-
-
-
-
-ETFs and the Tax-Managed Index Fund
-
-
-
-
-
-The Do-It-Yourself Step: Potentially Useful Stock-Picking Rules
-
-
-
-
-
-Rule 1: Confine stock purchases to companies that appear able to sustain above-average earnings growth for at least five years
-
-
-
-
-
-Rule 2: Never pay more for a stock than can reasonably be justified by a firm foundation of value
-
-
-
-
-
-Rule 3: It helps to buy stocks with the kinds of stories of anticipated growth on which investors can build castles in the air
-
-
-
-
-
-Rule 4: Trade as little as possible
-
-
-
-
-
-The Substitute-Player Step: Hiring a Professional Wall Street Walker
-
-
-
-
-
-The Morningstar Mutual-Fund Information Service
-
-
-
-
-
-The Malkiel Step
-
-
-
-
-
-A Paradox
-
-
-
-
-
-Some Last Reflections on Our Walk
-
-
-
-
-
-A Final Word
-
-
-
-
-
-A Random Walker’s Address Book and Reference Guide to Mutual Funds
-
-
-
-
-
-PREFACE
-
-
-
 
 
 IT HAS NOW been forty years since I began writing the first edition of A Random Walk Down Wall Street. The message of the original edition was a very simple one: Investors would be far better off buying and holding an index fund than attempting to buy and sell individual securities or actively managed mutual funds. I boldly stated that buying and holding all the stocks in a broad stock-market average was likely to outperform professionally managed funds whose high expense charges and large trading costs detract substantially from investment returns.
diff --git a/Books/Finance/Beat the Crowd - Kenneth L. Fisher.txt b/Books/Finance/Beat the Crowd - Kenneth L. Fisher.txt
index 58acbc1..daa32a9 100644
--- a/Books/Finance/Beat the Crowd - Kenneth L. Fisher.txt	
+++ b/Books/Finance/Beat the Crowd - Kenneth L. Fisher.txt	
@@ -1,458 +1,3 @@
-Fisher Investments Press
-
-Fisher Investments Press brings the research, analysis, and market intelligence of Fisher Investments' research team, headed by CEO and New York Times best-selling author Ken Fisher, to all investors. The Press covers a range of investing and market-related topics for a wide audience—from novices to enthusiasts to professionals.
-
-Books by Ken Fisher
-
-Debunkery
-
-How to Smell a Rat
-
-Markets Never Forget (But People Do)
-
-Plan Your Prosperity
-
-The Ten Roads to Riches
-
-The Only Three Questions That Still Count
-
-100 Minds That Made the Market
-
-The Wall Street Waltz
-
-Super Stocks
-
-The Little Book of Market Myths
-
-Fisher Investments Series
-
-Own the World by Aaron Anderson
-
-20/20 Money by Michael Hanson
-
-Fisher Investments On Series
-
-Fisher Investments on Consumer Discretionary
-
-Fisher Investments on Consumer Staples
-
-Fisher Investments on Emerging Markets
-
-Fisher Investments on Energy
-
-Fisher Investments on Financials
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-Fisher Investments on Health Care
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-Fisher Investments on Industrials
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-Fisher Investments on Materials
-
-Fisher Investments on Technology
-
-Fisher Investments on Telecom
-
-Fisher Investments on Utilities
-
-
-
-
-
-Beat the Crowd
-
-
-HOW YOU CAN OUT-INVEST THE HERD BY THINKING DIFFERENTLY
-
-
-
-
-
-Ken Fisher
-
-With Elisabeth Dellinger
-
-
-
-
-
-Cover image: City People Set © iStock.com/edge69; Multiple silhouettes of business people © 4x6/Digital Vision Vectors/Getty Images
-
-Cover design: Thomas Perez
-
-Copyright © 2015 by Fisher Investments. All rights reserved.
-
-Published by John Wiley & Sons, Inc., Hoboken, New Jersey.
-
-Published simultaneously in Canada.
-
-No part of this publication may be reproduced, stored in a retrieval system, or transmitted in any form or by any means, electronic, mechanical, photocopying, recording, scanning, or otherwise, except as permitted under Section 107 or 108 of the 1976 United States Copyright Act, without either the prior written permission of the Publisher, or authorization through payment of the appropriate per-copy fee to the Copyright Clearance Center, Inc., 222 Rosewood Drive, Danvers, MA 01923, (978) 750-8400, fax (978) 646-8600, or on the Web at www.copyright.com. Requests to the Publisher for permission should be addressed to the Permissions Department, John Wiley & Sons, Inc., 111 River Street, Hoboken, NJ 07030, (201) 748-6011, fax (201) 748-6008, or online at www.wiley.com/go/permissions.
-
-Limit of Liability/Disclaimer of Warranty: While the publisher and author have used their best efforts in preparing this book, they make no representations or warranties with respect to the accuracy or completeness of the contents of this book and specifically disclaim any implied warranties of merchantability or fitness for a particular purpose. No warranty may be created or extended by sales representatives or written sales materials. The advice and strategies contained herein may not be suitable for your situation. You should consult with a professional where appropriate. Neither the publisher nor author shall be liable for any loss of profit or any other commercial damages, including but not limited to special, incidental, consequential, or other damages.
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-For general information on our other products and services or for technical support, please contact our Customer Care Department within the United States at (800) 762-2974, outside the United States at (317) 572-3993 or fax (317) 572-4002.
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-
-Library of Congress Cataloging-in-Publication Data:
-
-ISBN 978-1-118-97305-9 (Hardcover)
-
-ISBN 978-1-118-97306-6 (ePDF)
-
-ISBN 978-1-118-97307-3 (ePub)
-
-
-
-
-CONTENTS
-
-Preface
-
-Chapter 1: Your Brain-Training Guide Wall Street’s Contrarian Contradiction
-
-The Curmudgeon’s Conundrum
-
-There Is Always a But
-
-Why Most Investors Are Mostly Wrong Most of the Time
-
-The First Rule of True Contrarianism
-
-The All-Seeing Market
-
-Different, Not Opposite
-
-The Right Frame of Mind
-
-Check Your Ego
-
-
-
-
-
-Chapter 2: For Whom the Bell Curve Tolls Wall Street’s Useless/Useful Fascination With Calendars
-
-Professional Groupthink
-
-How the Contrarian Uses Professional Forecasts
-
-Even the Best Fall Sometimes . . .
-
-How to Beat the Street
-
-Notes
-
-
-
-
-
-Chapter 3: Dracula and the Four Horsemen of the Media Apocalypse The Media’s Flawed Financial Eyesight
-
-Dracula Around the Corner
-
-Looking for Growth in All the Wrong Places
-
-The Magic Indicator
-
-War—What Is It Good For?
-
-Don’t Be a Cow, Be a Contrarian
-
-Notes
-
-
-
-
-
-Chapter 4: Not in the Next 30 Months Baby Boomer Bomb?
-
-What About Social Security and Medicare?
-
-But What if the “Lost Generation” Stays Lost?
-
-What About Debt?
-
-But What if Debt Causes Runaway Inflation?
-
-But What if America Stops Innovating?
-
-But What About Global Warming?
-
-What About Income Inequality?
-
-What if the Dollar Loses Its Place as the World’s Reserve Currency?
-
-What the Markets Know
-
-Notes
-
-
-
-
-
-Chapter 5: Take a Safari With Jack Lemmon and Walter Matthau How the Elephant Got Its Tusks
-
-Dumbo, Gross Margins and Other High-Flying Elephants
-
-When Good News Dresses Up as Bad News
-
-The Yield Curve Curveball
-
-When Elephants Attack
-
-A Brief History of Tragedy
-
-When Textbooks Lie
-
-It Can’t Be an Elephant If …
-
-Notes
-
-
-
-
-
-Chapter 6: The Chapter You’ll Love to Hate Step 1: Ditch Your Biases
-
-My Guy Is Best, Your Guy Is Worst and Other Unhelpful Opinions
-
-A Magical Elephant Named Gridlock
-
-(Not) Just a Bill Sittin’ on Capitol Hill
-
-That Which Is Seen and That Which Is Unseen
-
-What’s Worse Than a Politician?
-
-Why the Government Already Made the Next Crisis Worse
-
-Notes
-
-
-
-
-
-Chapter 7: Put Those Textbooks Away Don’t Toss Your Textbooks—But Know Their Limitations!
-
-The First Commandment: P/Es Aren’t Predictive
-
-The CAPEd Crusader Is No Superhero
-
-Small Beats All?
-
-Fancy Formulas and Other Academic Kryptonite
-
-Theory Isn’t Reality
-
-If Not School, Where?
-
-Notes
-
-
-
-
-
-Chapter 8: Throw Away This Book! Miley Cyrus, Justin Bieber and Pop Star Economists
-
-Classics Are Classic for a Reason
-
-Philosophy and Econ 101
-
-How to Learn From the Legends
-
-Those Who Forget History . . .
-
-Classics in the Twenty-First Century
-
-Notes
-
-
-
-
-
-Chapter 9: When Miley Cyrus Meets Ben Graham: Misadventures in Behavioral Finance Where It All Began
-
-The Beginnings of Behavioral Finance’s Drift
-
-When Academics Met Capitalism and Marketing
-
-Behavioral Finance and Tactical Positioning
-
-Recency Bias and Sentiment
-
-How to Gain a Tactical Advantage With Behavioral Finance
-
-A Section for Stock Pickers
-
-Know When to Say When
-
-Getting Back to Self-Control
-
-Notes
-
-
-
-
-
-Chapter 10: The Negative Myopic Media How to Use the News
-
-What the Media Always Misses
-
-In Technology (and Capitalism) We Trust
-
-Parting Thoughts
-
-Notes
-
-
-
-
-
-Index
-
-EULA
-
-
-
-List of Tables
-
-
-
-Chapter 3 Table 3.1
-
-
-
-
-
-Chapter 4 Table 4.1
-
-
-
-
-
-Chapter 5 Table 5.1
-
-Table 5.2
-
-
-
-
-
-Chapter 6 Table 6.1
-
-Table 6.2
-
-
-
-
-
-Chapter 7 Table 7.1
-
-
-
-
-
-List of Illustrations
-
-
-
-Chapter 2 Figure 2.1 1996–2003
-
-Figure 2.2 2004
-
-Figure 2.3 2005–2007
-
-Figure 2.4 2008
-
-Figure 2.5 2009 and 2010
-
-Figure 2.6 2011
-
-Figure 2.7 2012
-
-Figure 2.8 2013
-
-Figure 2.9 2014
-
-
-
-
-
-Chapter 3 Figure 3.1 Pan Am Flight 103
-
-Figure 3.2 First World Trade Center Bombing
-
-Figure 3.3 Tokyo Sarin Gas Attacks
-
-Figure 3.4 Oklahoma City Bombing
-
-Figure 3.5 IRA Attacks on Manchester
-
-Figure 3.6 Madrid Train Bombings
-
-Figure 3.7 London 7/7 Transport Bombings
-
-Figure 3.8 Boston Marathon Bombing
-
-Figure 3.9 LEI and Recessions
-
-Figure 3.10 Middle Eastern Conflicts and Stocks
-
-
-
-
-
-Chapter 4 Figure 4.1 The CBO’s Comical Interest Rate Projection
-
-Figure 4.2 US Federal Interest Payments as a Percentage of GDP
-
-Figure 4.3 US Federal Interest Payments as a Percentage of Tax Revenue
-
-Figure 4.4 Benchmark 10-Year Government Bond Yields
-
-
-
-
-
-Chapter 6 Figure 6.1 S&P 500 Health Care Versus S&P 500
-
-
-
-
-
-Chapter 9 Figure 9.1 Growth Versus Value, Monthly Returns
-
-Figure 9.2 Growth Versus Value, Annual Returns
-
-Figure 9.3 Value’s Relative Returns in the Last Four Cycles
-
-Figure 9.4 Recency Bias in 2000
-
-Figure 9.5 Recency Bias in 2009
-
-Figure 9.6 Recency Bias and Small Cap in 2014
-
-Figure 9.7 Small Cap and Big Cap in 2014
-
-Figure 9.8 Metals & Mining Relative Performance Versus Copper Prices
-
-Figure 9.9 Select Commodity Prices
-
-Figure 9.10 Energy and Materials Relative Performance
-
-Figure 9.11 US Financials Relative Performance
-
-Figure 9.12 “Passive” Investing?
-
-
-
-
-
-Chapter 10 Figure 10.1 Crude Oil Prices and US Production
-
-
-
-
 
 Preface
 
@@ -1480,311 +1025,6 @@ Social Security and Medicare depletion fears are based on long-term forecasts go
 
 
 
-Figure 4.1 The CBO’s Comical Interest Rate Projection
-
-
-Sources: FactSet, CBO, as of 12/4/2014. 10-year US Treasury yields (constant maturity), 12/31/1991–12/31/2012; CBO projection of 10-year US Treasury yields from 2002 to 2012 (issued January 2002).
-
-Is the CBO right sometimes? Sure! That’s how TGH keeps us guessing, and it’s how the CBO still has some fragment of credibility after all these years. Plus, like the professional market forecasters we covered in Chapter 2, the CBO has a long time to revise its forecasts to catch up with reality—it updates twice a year. Table 4.1 shows how the CBO’s forecast for 2013’s fiscal stats evolved over time. Between 2003 and early 2013, it gradually morphed from massively wrong to largely right.
-
-
-
-
-
-Table 4.1 The CBO’s Evolving Projections for Fiscal 2013
-
-
-
-
-Date Projection Issued Spending ( Billions)
-
-Revenue ( Billions)
-
-Surplus or Deficit (–)
-
-Debt ( Billions)
-
-Debt-to- GDP
-
-
-
-Jan-03 3,167
-
-3,674
-
-508
-
-2,565
-
-14.4%
-
-
-
-Aug-03 3,422
-
-3,634
-
-459
-
-5,438
-
-30.7%
-
-
-
-Jan-04 3,457
-
-3,441
-
-–16
-
-6,409
-
-37.0%
-
-
-
-Sep-04 3,547
-
-3,471
-
-–75
-
-6,675
-
-37.8%
-
-
-
-Jan-05 3,389
-
-3,474
-
-85
-
-5,884
-
-32.6%
-
-
-
-Aug-05 3,561
-
-3,481
-
-–80
-
-6,691
-
-37.0%
-
-
-
-Jan-06 3,506
-
-3,546
-
-40
-
-6,032
-
-32.9%
-
-
-
-Aug-06 3,631
-
-3,555
-
-–76
-
-6,469
-
-35.4%
-
-
-
-Jan-07 3,391
-
-3,550
-
-159
-
-5,089
-
-28.3%
-
-
-
-Aug-07 3,583
-
-3,619
-
-36
-
-5,730
-
-31.5%
-
-
-
-Jan-08 3,524
-
-3,585
-
-61
-
-5,701
-
-31.6%
-
-
-
-Sep-08 3,766
-
-3,619
-
-–147
-
-6,968
-
-38.6%
-
-
-
-Jan-09 3,610
-
-3,353
-
-–257
-
-8,516
-
-50.0%
-
-
-
-Aug-09 3,759
-
-3,221
-
-–538
-
-10,870
-
-65.5%
-
-
-
-Jan-10 3,756
-
-3,218
-
-–539
-
-11,056
-
-66.3%
-
-
-
-Aug-10 3,760
-
-3,236
-
-–525
-
-11,422
-
-68.4%
-
-
-
-Jan-11 3,794
-
-3,090
-
-–704
-
-12,386
-
-75.5%
-
-
-
-Aug-11 3,692
-
-3,069
-
-–510*
-
-11,773
-
-72.8%
-
-
-
-Jan-12 3,573
-
-2,988
-
-–585
-
-11,945
-
-75.1%
-
-
-
-Aug-12 3,554
-
-2,913
-
-–641
-
-12,064
-
-76.1%
-
-
-
-Feb-13 3,553
-
-2,708
-
-–845
-
-12,229
-
-76.3%
-
-
-
-May-13 3,455
-
-2,813
-
-–642
-
-12,036
-
-75.1%
-
-
-
-Actual 2013 3,454
-
-2,774
-
-–680
-
-11,982
-
-72.1%
-
-
-
-*Assumes 113 billion in additional savings under the Budget Control Act of 2011.
 
 Source: Congressional Budget Office, as of 12/4/2014. Baseline Budget Outlooks from the CBO’s semiannual Budget and Economic Outlook reports published from January 2003 to February 2014.
 
@@ -2202,86 +1442,6 @@ This is when stocks with fat gross margins shine (Table 5.1). The bigger a firm
 
 
 
-
-Table 5.1 Gross Margins and Returns
-
-
-
-
-Annualized Total Return in 1st Half of Bull Market
-
-Annualized Total Return in 2nd Half of Bull Market
-
-
-
-Bull Start Low GPM
-
-High GPM
-
-Low GPM
-
-High GPM
-
-
-
-8/12/1982 32.2%
-
-32.9%
-
-24.7%
-
-36.3%
-
-
-
-12/4/1987 35.5%
-
-26.6%
-
-11.3%
-
-22.8%
-
-
-
-10/11/1990 18.8%
-
-21.2%
-
-13.8%
-
-26.1%
-
-
-
-10/9/2002 32.2%
-
-29.7%
-
-16.6%
-
-15.9%
-
-
-
-Average 30.2%
-
-27.6%
-
-16.6%
-
-25.3%
-
-
-
-Sources: FactSet, Bloomberg and Compustat, as of 1/6/2015. S&P 500 daily total returns and gross profit margins, 12/31/1978-12/31/2007. The Financials sector is excluded as traditional gross profit margins do not factor into Financials firms’ business models. “Low GPM” includes firms with bottom-quartile gross profit margins. “High GPM” includes firms with top-quartile gross profit margins.
-
-Gross margins are your secret weapon when talking heads fret over earnings. Most blather on about whether a firm “beats” or “misses” (exceeds or lags consensus earnings estimates), as if what happened last quarter is the be-all, end-all. None look to gross margins for a hint of what the future holds. In Financials stocks, few examine net interest margins—banks’ equivalent of gross margins—to see how profitable the core is. They look everywhere else! Fines and legal fees! Trading and investment banking revenue versus retail banking revenue! Loan charge-offs! Asset write-downs! But not the one, simple thing that really sings. They miss the elephant.
-
-
-
-
-
 When Good News Dresses Up as Bad News
 
 
@@ -2428,197 +1588,6 @@ World War II didn’t cause America’s upswing. The timeline doesn’t even mat
 
 
 
-
-
-Table 5.2 Real GDP Growth and Contributions to Real GDP Growth, 1938–1943
-
-
-
-
-Annual Percentage Change
-
-
-
-1938
-
-1939
-
-1940
-
-1941
-
-1942
-
-1943
-
-
-
-Gross Domestic Product –3.3%
-
-8.0%
-
-8.8%
-
-17.7%
-
-18.9%
-
-17.0%
-
-
-
-Personal Consumption Expenditures –1.6%
-
-5.6%
-
-5.2%
-
-7.1%
-
-–2.4%
-
-2.8%
-
-
-
-Gross Private Domestic Investment –31.2%
-
-25.4%
-
-36.2%
-
-22.4%
-
-–44.3%
-
-–37.6%
-
-
-
-Government Consumption Expenditures and Gross Investment 7.6%
-
-8.7%
-
-3.6%
-
-68.1%
-
-132.1%
-
-50.0%
-
-
-
-Contributions to Real GDP Growth
-
-
-
-
-
-1938
-
-1939
-
-1940
-
-1941
-
-1942
-
-1943
-
-
-
-Personal Consumption Expenditures –1.15
-
-4.11
-
-3.72
-
-4.9
-
-–1.5
-
-1.52
-
-
-
-Gross Private Domestic Investment –4.13
-
-2.39
-
-3.99
-
-3.13
-
-–6.45
-
-–2.63
-
-
-
-Government Consumption Expenditures and Gross Investment 1.09
-
-1.41
-
-0.57
-
-10.31
-
-28.03
-
-19.31
-
-
-
-Net Exports of Goods and Services 0.88
-
-0.07
-
-0.52
-
-–0.64
-
-–1.19
-
-–1.16
-
-
-
-TOTAL (Real GDP Growth) –3.3%
-
-8.0%
-
-8.8%
-
-17.7%
-
-18.9%
-
-17.0%
-
-
-
-Source: US Bureau of Economic Analysis, as of 10/16/2014. Percentage Change in Real Gross Domestic Product and Contributions to Percentage Change in Real Gross Domestic Product, 1938–1943.
-
-Look closely at 1942 and 1943, and you’ll see something interesting. As government spending skyrocketed, private investment tanked and consumer spending wobbled. There are two schools of thought here. One says only the war effort kept America afloat—the “guns and butter” miracle. Another argues massive government spending crowded out the private sector, making life harder for businesses and people. Here, too, demand side versus supply side.
-
-Economists, historians and ideologues have debated this for decades. How should you think about it? Up to you! But using our contrarian brain-training, I think the supply side raises curious points. The demand-side view doesn’t explore the counterfactual—what would have happened if there weren’t a war? What if production weren’t diverted from consumer goods to war machines? What if Americans never had to face rationing? How would businesses and people have allocated capital? Would America have grown even faster?
-
-I didn’t make any of this up. The philosophy dates at least to French economist Frédéric Bastiat’s 1850 essay, That Which Is Seen and That Which Is Not Seen, which explored the unseen consequences of government spending. Part I, “The Broken Window,” is a parable about a shopkeeper whose son breaks a window. The shopkeeper is peeved—that window costs six francs to fix! “But on the bright side,” say the neighbors, “you’ll keep the glazier employed.”
-
-The neighbors see the broken window as a positive—stimulus for glassmakers! Their reasoning is easy to buy, because we see the glazier fix the window and get paid. This is the “seen” effect of the broken window.
-
-Looking only at the “seen” is too myopic! So Bastiat explored the “unseen.” The six francs spent on the window were six francs the shopkeeper couldn’t spend on shoes or books. What if the shoemaker or the bookseller would have put those six francs to better use than the glazier?
-
-“The Broken Window” was a rebuttal to a French politician who claimed burning down the entire city of Paris would boost France’s economy because rebuilding would create demand and jobs, but it works most anywhere. You can apply it to World War II spending—and the widely held belief that postwar rebuilding was a massive stimulus for Western Europe. Big natural disasters, too. When you see these arguments, remember Bastiat’s conclusion: “Society loses the value of things which are uselessly destroyed . . . To break, to spoil, to waste, is not to encourage national labor; or, more briefly, destruction is not profit.”18 Often true whether physical property or personal opportunities are destroyed. On the other hand, sometimes we demolish buildings, bridges and more to build newer, bigger and better ones on prime real estate, creating greater wealth. It can go both ways.
-
-“The Broken Window” is an elephant, too. It is age-old and widely read. Henry Hazlitt updated it in his classic, Economics in One Lesson (Harper & Brothers, 1946). The broken-window fallacy, as it is now known, is a classroom staple. But few think of it when disaster strikes or government programs are launched. Most focus on the seen—few fathom the unseen. Fathom the unseen, and you have contrarian power. We’ll see this more in Chapter 6.
-
-
-
-
-
 It Can’t Be an Elephant If …
 
 
@@ -3039,47 +2008,6 @@ Which means we’re also ready for far more pleasant topics! What fun is in stor
 
 
 
-Notes
-
-
-1. “Fearless Dominance and the US Presidency: Implications of Psychopathic Personality Traits for Successful and Unsuccessful Political Leadership,” Scott O. Lilienfeld, Irwin D. Walderman, Kristin Landfield, Ashley L. Watts, Steven Rubenzer and Thomas R. Faschingbauer, Journal of Personality and Social Psychology, Vol. 103, No. 3 (September 2012): 489–505. http://psycnet.apa.org/journals/psp/103/3/489/ (accessed 10/21/2014).
-
-2. “Nation Tunes In to See Which Sociopath More Likable This Time,” The Onion, 12/16/2012. http://www.theonion.com/articles/nation-tunes-in-to-see-which-sociopath-more-likabl,29946/ (accessed 2/24/2015).
-
-3. US Census Bureau, as of 7/6/2014.
-
-4. “Résumé of Congressional Activity—First Session of the One Hundred Thirteenth Congress,” Congressional Record—Daily Digest, US House Clerk’s Office, February 27, 2014.
-
-5. Gallup, as of 10/21/2014. Congressional Job Approval Ratings, 1974–2014. www.gallup.com/poll/1600/congress-public.aspx (accessed 10/21/2014).
-
-6. FactSet, as of 9/30/2014. S&P 500 Total Return Index, 12/31/2012–12/ 31/2013.
-
-7. “The Role of Monetary Policy,” Milton Friedman, The American Economic Review, Vol. 58, No. 1 (March 1968). https://www.aeaweb.org/aer/top20/ 58.1.1-17.pdf (accessed 10/21/2014).
-
-8. “Phillips Curves, Expectations of Inflation and Optimal Unemployment Over Time,” Edmund S. Phelps, Economica, New Series, Vol. 34, No. 5 (August 1967): 254–281. www.columbia.edu/~esp2/PhilipsCurves ExpectationsofInflationandOptimalUnemploymentOverTime.pdf (accessed 10/21/2014).
-
-9. FactSet, as of 10/22/2014. S&P 500 Total Return Index, 4/16/2002–7/ 25/2002.
-
-10. US Census Bureau, as of 12/31/2008.
-
-11. Department of Health and Human Services and Centers for Disease Control, as of 3/31/2014. Gallup-Healthways Well-Being Index, as of 6/30/2014.
-
-12. United States Census Bureau, as of 1/15/2015. Total United States Population, 2013.
-
-13. Testimony of William M. Isaac, Former Chairman, Federal Deposit Insurance Association, before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises, US House of Representatives Committee on Financial Services, March 12, 2009. www.williamisaac.com/published-works/testimony-before-the-us-house-of-representatives/ (accessed 2/24/2015).
-
-14. “Proprietary Trading: Regulators Will Need More Comprehensive Information to Fully Monitor Compliance With New Restrictions When Implemented,” United States Government Accountability Office Report to Congressional Committees, July 2011. www.gao.gov/assets/330/321006.pdf (accessed 10/22/2014).
-
-15. According to Washington Mutual’s regulatory filings, the bank held about 181.9 billion in deposits as of June 30, 2008. The Office of Thrift Supervision estimates customers pulled 16.7 billion in September. Sources: Washington Mutual, Inc., Form 10-Q for the quarter ending June 30, 2008. United States Securities and Exchange Commission, www.sec.gov/Archives/edgar/data/933136/000104746908009146/a2187197z10-q.htm (accessed 10/23/2014). “WaMu Is Seized, Sold Off to J.P. Morgan, in Largest Failure in U.S. Banking History,” Robin Seidel, David Einrich and Dan Fitzpatrick, The Wall Street Journal, 9/26/2008. http://online.wsj.com/articles/SB122238415586576687 (accessed 10/23/2014).
-
-16. “Report on the Troubled Asset Relief Program—April 2014,” Congressional Budget Office, April 17, 2014. www.cbo.gov/publication/45260 (accessed 10/23/2014).
-
-17. “JPMorgan’s Dimon Hits Back at Government Over Bear Stearns Suit,” Sarah N. Lynch and Kim Dixon, Reuters, 10/10/2012. http://www.reuters.com/article/2012/10/11/us-jpmorgan-dimon-bearstearns-idUSBRE8991CE20121011 (accessed 2/24/2015).
-
-
-
-
-
 CHAPTER 7
 
 Put Those Textbooks Away
@@ -3226,112 +2154,6 @@ The reality: In most years between 1926 and 2013, large cap beat small cap. Smal
 Small cap’s long-term “premium” comes from a few gangbusters early bull market runs. Table 7.1 updates a chart I first made way back in 1999 for Research magazine. It shows big cap’s and small cap’s returns in the first year of each of the past 13 S&P 500 bull markets. Right off the bat, you’ll see small cap went nuts in 1932 and 1942. What happens if we exclude those years? The annualized averages drop to 9.8% for small cap and 9.4% for big cap. That’s a rounding error. Toss small cap’s gonzo returns in just four of the biggest early bull runs—the first two years of the raging bulls beginning in 1932, 1942, 1974 and 2002—and the scales tilt mildly toward big cap. Excluding those eight years, average annualized returns dwindle to 7.6% for small cap and 7.9% for big cap. Most of history, big cap slightly beats small cap.
 
 
-
-
-
-Table 7.1 Small-Cap Premium Following Bear Market Bottoms
-
-
-
-
-Bottom Small Cap Big Cap
-
-6/1/1932 316.45%
-
-160.58%
-
-4/28/1942 147.29%
-
-61.35%
-
-6/13/1949 35.41%
-
-33.74%
-
-10/22/1957 46.63%
-
-30.04%
-
-6/26/1962 31.12%
-
-31.06%
-
-10/7/1966 74.74%
-
-20.94%
-
-5/26/1970 42.83%
-
-34.84%
-
-10/3/1974 33.04%
-
-25.95%
-
-8/12/1982 73.43%
-
-44.11%
-
-12/4/1987 25.02%
-
-16.61%
-
-10/11/1990 50.39%
-
-33.59%
-
-10/9/2002 61.64%
-
-36.16%
-
-3/9/2009 97.90%
-
-72.29%
-
-Recovery Period Totals Small Cap
-
-Big Cap
-
-Cumulative 92,756.61%
-
-10,264.98%
-
-Annualized 69.16%
-
-42.90%
-
-Annualized Premium 26.25 ppts
-
-All Other Periods Small Cap
-
-Big Cap
-
-Cumulative 1,423.57%
-
-3,978.15%
-
-Annualized 3.70%
-
-5.07%
-
-Annualized Lag –1.37 ppts
-
-Source: Morningstar, FactSet and Global Financial Data, Inc., as of 6/2/2014. Small-cap returns are based on the Ibbotson Associated Small Stock Total Return Index from 1/1/1926 to 12/31/1978 (Morningstar) and the Russell 2000 from 1/1/1979 to 12/31/2013 (FactSet). Big-cap returns are based on Global Financial Data’s S&P 500 Total Return Index from 1/1/1926 to 12/31/2013.
-
-Isolate the bull market first years, and small cap looks phenomenal—annualizing 69.16%, pummeling big cap’s 42.9%. But in the other 75 years, big cap wins, annualizing 5.07% to small cap’s 3.7%.
-
-Which is truly superior? The category that’s spectacular every now and then, or the one that does best most of the time? Probably depends on who you are and what you are really going to do.
-
-For most of us, however, the answer is probably neither! Again, no category is inherently superior—this goes for country, region, sector, size, style or any other breakdown the powers that be might cook up. The leaders and laggards trade off often and irregularly. If you’re good at timing these, good for you. Great for you! But history is also crystal clear that most investors regardless of intent or background buy these categories high and sell them low, timing it terribly—even when they don’t see themselves as timing.
-
-Small caps are simply a leveraged play off the bottom of a bear market. That’s it! They get hammered hard in big bear markets, so they over-bounce in the recovery. Sometimes small cap’s heyday lasts a few years, sometimes it fizzles fast. If you can time this perfectly every time, you’ll win huge—but if you can do that, you don’t need to be reading this book.
-
-For most folks, though, small cap’s sexy long-term returns are unattainable in the real world. They exist on paper! But to actually get them in your portfolio, you’d have to have bought in 1926 and held ever since. Through the Crash of 1929 and the Depression to get those gonzo gains in 1932 and past the start of World War II’s bear market to get to 1942. Through Nixon’s price controls, the tech bubble’s aftermath, 2008 and all the other gyrations and seismic events along the way. And probably be over 100 years old. Possible! But not terribly likely. And those steel-nerved centenarian marvels surely aren’t reading this book. At the bottom of markets, most folks are too fearful to own tiny stocks.
-
-
-
-
-
 Fancy Formulas and Other Academic Kryptonite
 
 
@@ -3439,40 +2261,6 @@ Ben Graham passed on in 1976, but you can still study with him and other late, g
 
 
 
-Notes
-
-
-1. “Portfolio Selection,” Harry Markowitz, The Journal of Finance, Vol. 7, No. 1 (March 1952): 77–91.
-
-2. “Cognitive Biases in Market Forecasts,” Kenneth L. Fisher and Meir Statman, The Journal of Portfolio Management, Fall 2000.
-
-3. “Price-Earnings Ratios as Forecasters of Returns: The Stock Market Outlook in 1996,” Robert J. Shiller, Yale University. www.econ.yale.edu/~shiller/data/peratio.html (accessed 10/29/2014).
-
-4. Security Analysis, Benjamin Graham and David Dodd (New York: McGraw-Hill, 1st ed., 1934), 452.
-
-5. “Valuation Ratios and the Long-Run Stock Market Outlook,” John Y. Campbell and Robert J. Shiller, The Journal of Portfolio Management, Winter 1998: 11–26. www4.fe.uc.pt/jasa/m_i_2010_2011/valuationra tiosandthelongrunstockmarketoutlook.pdf (accessed 10/29/2014).
-
-6. “The Mystery of Lofty Stock Market Elevations,” Robert J. Shiller, The New York Times, 8/16/2014.
-
-7. “Parallels to 1937,” Robert J. Shiller, Project Syndicate, 9/11/2014.
-
-8. FactSet, as of 10/30/2014. S&P 500 Total Return Index, 12/31/ 1998–12/31/2008.
-
-9. “Valuation Ratios and the Long-Run Stock Market Outlook,” John Y. Campbell and Robert J. Shiller, The Journal of Portfolio Management, Winter 1998: 11–26.
-
-10. Morningstar, FactSet and Global Financial Data, Inc., as of 6/2/2014.
-
-11. “The Cross-Section of Expected Stock Returns,” Eugene F. Fama and Kenneth R. French, The Journal of Finance, Vol. 47, No. 2 (June 1992): 427–465. www.bengrahaminvesting.ca/Research/Papers/French/The_Cross-Section_of_Expected_Stock_Returns.pdf (accessed 10/30/2014).
-
-12. The Beach Boys and the California Myth, David Leaf (New York: Grosset & Dunlap, 1978).
-
-13. “Japanese Monetary Policy: A Case of Self-Induced Paralysis,” Ben S. Bernanke, Princeton University, December 1999. https://www.princeton.edu/~pkrugman/bernanke_paralysis.pdf (accessed 11/3/2014).
-
-14. “You Know It’s a Tough Market When Bernanke Can’t Refinance,” Elizabeth Campbell and Lorraine Woellert, Bloomberg, 10/3/2014. http://www.bloomberg.com/news/articles/2014-10-02/you-know-it-s-a-tough-market-when-ben-bernanke-can-t-refinance (accessed 2/24/2015).
-
-
-
-
 
 CHAPTER 8
 
@@ -3841,38 +2629,6 @@ This book is a fact-driven, searing indictment of mark-to-market accounting and
 We’ve come to the end of our book club now. Is your library list a mile long? I hope so! But make sure you’ve left room, as there is one literary topic we haven’t hit yet: behavioral finance. One of my favorites! Ready? Flip to Chapter 9!
 
 
-
-
-
-Notes
-
-
-1. The Warren Buffett Way, Robert G. Hagstrom (New York: John Wiley & Sons, 1994), mass market ed., 1997, 27.
-
-2. Common Stocks and Uncommon Profits, Philip A. Fisher (New York: Harper & Brothers, 1958), rev. ed., 2003.
-
-3. Common Stocks and Uncommon Profits, Philip A. Fisher (New York: Harper & Brothers, 1958), rev. ed., 2003.
-
-4. “Jesse Livermore Ends Life in Hotel,” The New York Times, November 29, 1940.
-
-5. Business Barometers Used in the Accumulation of Money, 6th ed., Roger W. Babson (Boston: Babson’s Statistical Organization, 1913), 23.
-
-6. “Jay Gould,” The New York Times, December 3, 1892.
-
-7. “Seventy Years Rest Lightly on Mrs. Hetty Green,” The New York Times, November 5, 1905.
-
-8. “Even a Genius Can Get Suckered,” Thomas Levenson, CNNPolitics.com, July 29, 2009. www.cnn.com/2009/POLITICS/07/29/levenson.finance.regulation/ (accessed 11/12/2014).
-
-9. Observations, Anecdotes, and Characters of Books and Men, Reverend Joseph Spence (London: Walter Scott, 1820), 71.
-
-10. “Gifts of the Gurus,” Kenneth L. Fisher, Forbes, June 3, 1985.
-
-11. Senseless Panic, William M. Isaac with Philip C. Meyer (Hoboken, NJ: John Wiley & Sons, 2010), xv.
-
-
-
-
-
 CHAPTER 9
 
 When Miley Cyrus Meets Ben Graham: Misadventures in Behavioral Finance
@@ -4290,27 +3046,6 @@ But don’t run out to the bookstore just yet—we aren’t quite done here! We
 
 
 
-
-
-Notes
-
-
-1. “Prospect Theory: An Analysis of Decision Under Risk,” Daniel Kahneman and Amos Tversky, Econometrica, Vol. 47, No. 2 (March 1979): 263–292.
-
-2. “Is Behavioral Finance a Growth Industry?” Knowledge@Wharton, Wharton/University of Pennsylvania, October 10, 2001. http://knowledge.wharton.upenn.edu/article/is-behavioral-finance-a-growth-industry/ (accessed 11/18/2014).
-
-3. “Behavioral Finance: Are the Disciples Profiting From the Doctrine?” Colby Wright, Prithviraj Banerjee and Vaneesha Boney, Journal of Investing, Vol. 17, No. 4 (Winter 2008): 82–90.
-
-4. FactSet, as of 12/15/2014. MSCI World Metals & Mining minus MSCI World, returns with net dividends, 9/30/2000–12/31/2010.
-
-5. FactSet, as of 11/15/2014. S&P 500 Total Return Index, 1/1/ 1928–12/31/2013.
-
-6. Standard & Poor’s Research Insight, top 30 stocks by market capitalization of the S&P 500 Index.
-
-
-
-
-
 CHAPTER 10
 
 The Negative Myopic Media
@@ -4468,1469 +3203,3 @@ Those words are as true today as they were when he wrote them in 1958. Moore’s
 When you’re inundated with doom-and-gloom long-term forecasts, remember those words. When the media tells you the world is going to hell in a long-term handbasket, remember those words. When pundits claim this time it’s different and we’ll never recover from the next crisis, remember those words. Markets are beautiful, volatile, fickle, confounding, forward-looking and a lot of other things. But they accurately price the compounding wealth created by colliding technologies in ways the public and media, to date, have never fathomed. As ugly as the world can get sometimes, that limitless potential is always there, always lurking around the corner, always ready to spark a rebound before long and drive the world to ever-greater heights. It is, as Yogi Berra would say so famously, “déjà vu all over again.”
 
 
-
-
-
-Notes
-
-
-1. “Grins, Gore, and Videotape—The Trouble With Local TV News,” Eric Pooley, New York, October 9, 1989, 37–44.
-
-2. FactSet, as of 9/30/2014. S&P 500 Total Return Index, 12/31/2012–12/ 31/2013.
-
-
-
-
-
-Index
-
-
-
-
-Abe, Shinzo
-
-Affordable Care Act (ACA)
-
-Aging population fears:
-
-Baby Boomer retirement
-
-Social Security and Medicare
-
-
-
-
-
-Ali, Muhammed
-
-Amateur investors, flip-flop behavior of
-
-Ames, Elizabeth
-
-Anchoring
-
-Annual market forecasts
-
-Apple
-
-The Ascent of Money (Ferguson)
-
-
-
-
-
-Babson, Roger W.
-
-Baby Boomer retirement
-
-Bad investing decisions, reasons for
-
-Bank of America
-
-Barclays
-
-Barron's
-
-Baruch, Bernard
-
-Basel III
-
-Bastiat, Frédéric
-
-Bear markets:
-
-elongated market cycles
-
-recognizing
-
-small cap stocks and
-
-war and
-
-
-
-
-
-Bear Stearns
-
-Behavioral finance
-
-confirmation bias
-
-defining
-
-differentiating good strategies from bad ones
-
-gaining a tactical advantage with
-
-growth vs. value returns
-
-inception of
-
-market euphoria
-
-mistakes to avoid
-
-order preference
-
-overconfidence
-
-recency bias
-
-recognizing bear markets
-
-recommended books on
-
-regret shunning
-
-sentiment
-
-for stock-picking
-
-and tactical positioning
-
-too-popular sectors
-
-too-unpopular sectors
-
-turnaround strategies
-
-twisting of
-
-
-
-
-
-Behavioral finance funds
-
-Being Wrong (Schulz)
-
-Bell curve
-
-Bernanke, Ben
-
-Bernstein, Peter
-
-Best Books on the Stock Market: An Analytical Bibliography (Zerden)
-
-Bias, avoiding
-
-Bird/Avian flu scare
-
-Black, Angus
-
-Bloomberg
-
-Bonds
-
-Bonus caps for European bankers
-
-Books
-
-autobiographies
-
-behavioral finance
-
-biographies
-
-classics
-
-current events
-
-history
-
-long-term forecast books
-
-philosophy and economics
-
-recent events
-
-twenty-first-century classics
-
-
-
-
-
-Bosnian War
-
-Boston Marathon bombing
-
-Boy-who-cried-wolf syndrome
-
-British economic reform
-
-Broken window fallacy
-
-Bubbles:
-
-financial
-
-student loan
-
-technology
-
-
-
-
-
-Buffett, Warren
-
-Burns, Arthur
-
-Business Barometers Used in the Accumulation of Money (Babson)
-
-Business Cycles (Mitchell)
-
-Business Cycles: The Problem and Its Setting (Mitchell)
-
-BusinessWeek
-
-Buybacks
-
-and corporate borrowing
-
-earnings and
-
-effect on business investment growth
-
-
-
-
-
-Calendar-year forecasts
-
-Campbell, John Y.
-
-CAPE (Cyclically Adjusted P/E)
-
-Capital asset pricing model (CAPM)
-
-Capital Ideas (Bernstein)
-
-Capital in the Twenty-First Century (Piketty)
-
-Capitalism, faith in
-
-Catching Lightning in a Bottle (Smith)
-
-Chanos, Jim
-
-Chernow, Ron
-
-China:
-
-economic outlook for
-
-and reserve currencies
-
-
-
-
-
-“Cognitive Biases in Market Forecasts” (Fisher and Statman)
-
-Common Stocks and Uncommon Profits (Fisher)
-
-“Comprehensive Benchmark Revisions for The Conference Board Leading Economic Index for the United States”
-
-The Conference Board
-
-Confirmation bias
-
-Congressional Budget Office (CBO) projections
-
-Consensus expectations
-
-Consequenses, unintended
-
-Contrarian characteristics:
-
-acceptance of sometimes being wrong
-
-acceptance of volatility
-
-going against popular sentiment
-
-learning from mistakes
-
-noise filtering
-
-patience and long-term thinking
-
-recognizing market irrationality
-
-
-
-
-
-Contrarian Investment Strategy: The Psychology of Stock-Market Success (Dreman)
-
-Contrarianism:
-
-first rule of
-
-success rates
-
-
-
-
-
-Contrarians:
-
-characteristics of
-
-defining
-
-use of professional forecasts
-
-
-
-
-
-Conventional wisdom
-
-Corporate bond issuance
-
-Corrections
-
-Cowles, Alfred
-
-Critical thinking skills
-
-Cuban Missile Crisis
-
-Curmudgeons
-
-Customers' Man (Sparkes)
-
-Cyclically Adjusted P/E (CAPE)
-
-
-
-
-
-Dark Genius of Wall Street: The Misunderstood Life of Jay Gould, King of the Robber Barons (Renehan)
-
-Davis, Jonathan
-
-Debt:
-
-Eurozone crisis (see Eurozone crisis)
-
-managing
-
-monetizing
-
-and runaway inflation
-
-student loans
-
-US
-
-
-
-
-
-Debt ceiling debate of 2011
-
-Debt risk
-
-Debunkery (Fisher)
-
-Dent, Harry
-
-Diary of Philip Hone (Hone)
-
-Different vs. opposite
-
-Dimon, Jamie
-
-Discount rate
-
-Disruptive technology
-
-Dodd-Frank Act
-
-Dollar reserve currency demand
-
-Dorfman, Dan
-
-Dot.com bubble. See Tech bubble
-
-Dow Theory
-
-“Dracula around the corner”
-
-Dreman, David
-
-Duke, Elizabeth
-
-
-
-
-
-Earnings
-
-Eastern European economic reforms
-
-Ebola scare
-
-Economic data reporting
-
-Economic memory
-
-Economic policy, supply-side vs. demand-side
-
-Economic reforms
-
-Economics in One Lesson (Hazlitt)
-
-Education:
-
-academics vs. experience
-
-critical thinking skills
-
-Efficient Markets Hypothesis
-
-fallacies taught (see Fallacies)
-
-finance curriculum
-
-finance theory
-
-limitations of investing theory
-
-modern portfolio theory (MPT)
-
-Price-to-earnings ratios (P/Es)
-
-scholarly research
-
-
-
-
-
-Efficient Markets Hypothesis
-
-Elephant in the room
-
-broken window fallacy
-
-buybacks
-
-debt risk
-
-gross margins
-
-mentoring
-
-political gridlock
-
-recognizing
-
-risk of presidential assassination
-
-risk of World War III
-
-supply-side monetary policy
-
-yield curve
-
-
-
-
-
-Emerging Markets opportunities
-
-Energy bubble
-
-Enron scandal
-
-Environmental concerns
-
-Equity risk premium (ERP)
-
-Euphoria vs. optimism
-
-Eurozone crisis
-
-Exchange-traded funds (ETFs)
-
-Experience, real-world:
-
-vs. academic knowledge
-
-acquiring
-
-
-
-
-
-Extraordinary Popular Delusions and the Madness of Crowds (Mackay)
-
-
-
-
-
-Fallacies:
-
-Cyclically Adjusted P/E (CAPE)
-
-P/E ratio relationship to risk
-
-small cap stock superiority
-
-value of quantitative forecasting models
-
-
-
-
-
-False confidence
-
-Fama, Eugene
-
-Fear, and market behavior:
-
-pandemics
-
-terrorism
-
-
-
-
-
-Federal Reserve:
-
-leadership of
-
-monetary policy
-
-quantitative easing (see Quantitative easing (QE))
-
-transcript releases
-
-
-
-
-
-Fed-funds target rate
-
-Ferguson, Niall
-
-Finance theory
-
-Financial Analysts Journal
-
-Financial bubbles
-
-Financial crisis of 2008
-
-Financial memory
-
-Financial sector
-
-Fisher, Phil
-
-Flash Crash of 2010
-
-Forbes
-
-Forbes, Malcolm
-
-Forbes, Steve
-
-Forecasts
-
-1996-2003
-
-2004-2014
-
-annual market
-
-calendar-year
-
-contrarian use of
-
-January ritual
-
-priced
-
-
-
-
-
-Foreign exchange reserves
-
-“Fracking”
-
-Free markets. See also Capitalism, faith in
-
-French, Kenneth
-
-Friedman, Milton
-
-Frontier Markets opportunities
-
-Future economic issues. See “Not in the next 30 months” test
-
-Future market issues. See “Not in the next 30 months” test
-
-
-
-
-
-GDP (gross domestic product) reporting
-
-Geithner, Tim
-
-Global warming
-
-Goldman Sachs
-
-Goodspeed, Bennett
-
-Gore, Al
-
-Gould, Jay
-
-Government bureaucracy
-
-Government spending, wartime
-
-Graham, Benjamin
-
-The Great Contraction (Friedman and Schwartz)
-
-Great Depression
-
-Great Horse Manure Crisis of 1894
-
-The Great Humiliator (TGH)
-
-Greece. See also Eurozone crisis
-
-Green, Hetty
-
-Greenspan, Alan
-
-Gross margins
-
-Groupthink
-
-Growth and Welfare in the American Past (North)
-
-
-
-
-
-Haeg, Larry
-
-Harriman vs. Hill: Wall Street's Great Railroad War (Haeg)
-
-Hayek, Friedrich
-
-Hazlitt, Henry
-
-Health Care reform. See Affordable Care Act (ACA)
-
-Herd behavior
-
-Hetty Green: A Woman Who Loved Money (Sparkes and Moore)
-
-High-frequency trading
-
-Hill, James J.
-
-Hooper, Lucien
-
-The House of Morgan: An American Banking Dynasty and the Rise of Modern Finance (Chernow)
-
-How Capitalism Will Save Us (Forbes and Ames)
-
-How to Lie With Statistics (Huff)
-
-How to Trade in Stocks (Livermore)
-
-Hubbert, M. King
-
-Huff, Darrell
-
-Humphrey-Hawkins Act
-
-
-
-
-
-Income inequality
-
-Index funds
-
-India, economic reforms in
-
-Inflation, runaway
-
-Innovation
-
-The Intelligent Investor (Graham)
-
-Interest payments on US debt, affordability of
-
-Interest rate spread
-
-Interest rates, yield curve and
-
-Inversions
-
-Inverted yield curve
-
-Investing books. See Books
-
-Investing education. See Education
-
-Investing myths. See Fallacies
-
-Investing theory. See also Education
-
-forecasting models
-
-limitations of
-
-
-
-
-
-Investors:
-
-rules-based
-
-short memories of
-
-
-
-
-
-IRA attacks on Manchester
-
-Isaac, William M.
-
-
-
-
-
-Jackson, Andrew
-
-The Jacksonian Economy (Tremin)
-
-James J. Hill and the Opening of the Northwest (Martin)
-
-January ritual
-
-Japanese economic reforms
-
-Jesse Livermore: World's Greatest Stock Trader (Smitten)
-
-Johnson, Lyndon B.
-
-Jones Act
-
-JPMorgan Chase
-
-
-
-
-
-Kagan, Elena
-
-Kahneman, Daniel
-
-Kennedy, John F.
-
-Keynes, John Maynard
-
-Koomey's Law
-
-Korean conflict
-
-Kryder's Law
-
-Kurzweil, Ray
-
-
-
-
-
-Large cap vs. small cap stocks
-
-Leading Credit Index
-
-Leading Economic Index (LEI)
-
-components of
-
-conception of
-
-international reach of
-
-and recessions
-
-
-
-
-
-Lefèvre, Edwin
-
-Lehman Brothers
-
-Lewis, Ken
-
-Liquidity trap
-
-Livermore, Jesse
-
-Logic test
-
-London 7/7 transport bombings
-
-Long-term thinking. See also “Not in the next 30 months” test
-
-
-
-
-
-Mackay, Charles
-
-MacNeil-Lehrer NewsHour
-
-Madrid Train bombings
-
-Market cycles, elongated
-
-Market forecasts
-
-Market groupthink
-
-Market sentiment influences
-
-Markets Never Forget (But People Do) (Fisher)
-
-Markowitz, Harry
-
-Mark-to-market accounting rule
-
-Martin, Albro
-
-Materials sector
-
-McKinley, William
-
-McNamara, Joe
-
-Media
-
-economic data reporting
-
-effect on sentiment
-
-and elongated market cycles
-
-focus on fear and negativity
-
-Google rankings and
-
-historical overview
-
-pandemic and disease reporting
-
-short-term reporting by
-
-super long-term reporting by
-
-technology reporting
-
-terrorism reporting
-
-tuning out noise of (see also “Not in the next 30 months” test)
-
-using negativity to your advantage
-
-war coverage by
-
-warnings of resource scarcity
-
-
-
-
-
-Medicare
-
-Mentoring
-
-Merchant Marine Act of 1920
-
-Merrill Lynch
-
-Metals and mining sector
-
-Mexican economic reforms
-
-Middle Eastern conflicts
-
-Millennials, maturing of
-
-Miller, Roger Leroy
-
-Mitchell, Wesley C.
-
-Modern portfolio theory (MPT)
-
-A Monetary History of the United States, 1867–1960 (Friedman and Schwartz)
-
-Monte Carlo simulations
-
-Moore, Geoffrey H.
-
-Moore, Gordon
-
-Moore, Samuel Taylor
-
-Moore and Schley
-
-Moore's Law
-
-Morgan, JP
-
-Morgan Stanley
-
-Mortgage debt
-
-Morton, Frederic
-
-Mundell-Laffer Hypothesis
-
-Myopia, of media reporting. See Media
-
-myopic loss aversion
-
-
-
-
-
-Nairn, Alasdair
-
-National Bureau of Economic Research (NBER)
-
-NationsBank
-
-Negative rate spread
-
-Negativity, and media reporting
-
-A New Radical's Guide to Economic Reality (Black)
-
-News. See Media
-
-9/11 attacks
-
-North, Douglass
-
-North Carolina National Bank (NCNB)
-
-Northern Securities
-
-“Not in the next 30 months” test
-
-Baby Boomer retirement
-
-global warming
-
-income inequality
-
-innovation worries
-
-reserve currency demand of dollar
-
-runaway inflation
-
-Social Security and Medicare
-
-student loan bubble
-
-US debt
-
-
-
-
-
-Oil production
-
-Oklahoma City bombing
-
-100 Minds That Made the Market (Fisher)
-
-O'Neal, Stan
-
-The Only Three Questions That Count (Fisher)
-
-OPEC embargo
-
-Opinion-based investing
-
-Opposite vs. different
-
-Optimism vs. euphoria
-
-Order preference
-
-Overconfidence. See also Regret shunning
-
-Overlooking the obvious. See Elephant in the room
-
-Overthinking
-
-
-
-
-
-Pan Am Flight 103 attack
-
-Panic
-
-of 1837
-
-of 1869
-
-of 1873
-
-of 1893
-
-of 1901
-
-of 1907
-
-pandemics
-
-
-
-
-
-Passive investing
-
-Patience
-
-Paulson, Henry
-
-Peak Innovation
-
-Peak Oil theory
-
-Peak Technology
-
-Perkins, Tony
-
-Perry, Mark J.
-
-Peter Bernstein Effect
-
-Phelps, Edmund S.
-
-Phillips Curve
-
-PIIGS crisis
-
-Piketty, Thomas
-
-Plan Your Prosperity (Fisher)
-
-Playbook investing approach
-
-Politics
-
-Affordable Care Act (ACA)
-
-bipartisan compromise
-
-economic reforms and
-
-inversions
-
-legislative changes
-
-objectivity and avoiding bias
-
-and opinion-based investing
-
-party changes and market performance
-
-political gridlock
-
-presidential parties during bear markets
-
-regulation
-
-Sarbanes-Oxley Act
-
-Troubled Asset Relief Program (TARP)
-
-
-
-
-
-Positioning, and behavioral finance
-
-Predictions. See Forecasts
-
-Presidential assassination risk
-
-Priced forecasts
-
-Price-to-earnings ratios (P/Es)
-
-Cyclically Adjusted P/E (CAPE)
-
-forecasting and
-
-
-
-
-
-Pride
-
-Professional forecasts:
-
-1996-2003
-
-2011
-
-contrarian use of
-
-gaming
-
-and groupthink
-
-
-
-
-
-Professional investors:
-
-fascination with calendar-year forecasts
-
-stubbornness of
-
-
-
-
-
-Proprietary trading
-
-Prospect theory
-
-“Prospect Theory: An Analysis of Decision Under Risk.” (Kahneman and Tversky)
-
-Purchasing Managers Index (PMI)
-
-
-
-
-
-Quantitative easing (QE)
-
-media reporting on
-
-and supply- vs. demand-side policy
-
-
-
-
-
-Quantitative forecasting models
-
-
-
-
-
-The Rational Optimist (Ridley)
-
-Rationalizing
-
-Real-world experience:
-
-vs. academic knowledge
-
-acquiring
-
-
-
-
-
-Recency bias
-
-Recessions. See also Leading Economic Index (LEI)
-
-Recommended books. See Books
-
-Regret shunning
-
-Reinhart, Carmen
-
-Relatively efficient market
-
-Reminiscences of a Stock Operator (Lefèvre)
-
-Renehan, Edward J.
-
-Resource depletion fears
-
-Ridley, Matt
-
-Risks:
-
-as elephants in the room
-
-and P/E ratios
-
-unseen
-
-
-
-
-
-Rogoff, Kenneth
-
-Roosevelt, Theodore
-
-The Rothschilds (Morton)
-
-Roubini, Nouriel
-
-R-squared
-
-Rules
-
-Rules-based investors
-
-Runaway inflation
-
-
-
-
-
-Saez-Piketty study
-
-Saez, Emmanuel
-
-Samuelson, Paul
-
-Sarbanes-Oxley Act
-
-SARS scare
-
-Savings and loan crisis
-
-Schultz, Kathryn
-
-Schwartz, Anna Jacobson
-
-Schwed, Fred
-
-Seasonal indicators
-
-Security Analysis (Graham and Dodd)
-
-Senseless Panic (Isaac)
-
-Sentiment
-
-Sentiment bell curve
-
-Shannon-Hartley Theorem
-
-Sharpe, William
-
-Shiller, Robert J.
-
-Short-term timing
-
-The Singularity Is Near (Kurzweil)
-
-Slade, Helen
-
-Small cap vs. large cap stocks
-
-Smith, Adam
-
-Smith, Winthrop H. Jr.
-
-Smitten, Richard
-
-Smoot-Hawley Act
-
-Social Security
-
-Spanish flu
-
-Sparkes, Boyden
-
-Statman, Meir
-
-Stealth corrections
-
-Stock buybacks
-
-Student loan bubble
-
-Subprime mortgage crisis
-
-Super Stocks (Fisher)
-
-Supply-side vs. demand-side thinking
-
-Surveys
-
-Swine flu scare
-
-
-
-
-
-Tactical positioning
-
-The Tao Jones Averages (Goodspeed)
-
-Tech bubble
-
-Technical indicators
-
-Technology, potential of
-
-Templeton, John
-
-Templeton's Way With Money (Davis and Nairn)
-
-Tennessee Coal, Iron and Railroad Company (TCI)
-
-Terrorism:
-
-effects on financial markets
-
-reporting on
-
-
-
-
-
-Texas Instruments
-
-That Which Is Seen and That Which Is Not Seen (Bastiat)
-
-Thatcher, Margaret
-
-Thinking different, not opposite
-
-Thinking Fast and Slow (Kahneman)
-
-This Time It's Different (Reinhart and Rogoff)
-
-Three-factor model
-
-Tobin, James
-
-Tokyo Sarin Gas attack
-
-Too-popular sectors
-
-Transitron
-
-Tremin, Peter
-
-Troubled Asset Relief Program (TARP)
-
-TruPS-backed CDOs
-
-Turnaround scenarios, identifying
-
-Tversky, Amos
-
-
-
-
-
-Ullum, Stainslaw
-
-Unintended consequences
-
-US debt
-
-US Steel
-
-
-
-
-
-Volatility, acceptance of
-
-Volcker Rule
-
-
-
-
-
-War:
-
-reporting on
-
-risk of
-
-
-
-
-
-Wartime government spending
-
-Washington Mutual (WaMu)
-
-The Wealth of Nations (Smith)
-
-Where Are the Customers' Yachts? (Schwed)
-
-World Trade Center bombing (first)
-
-World War I
-
-World War II
-
-World War III, threat of
-
-
-
-
-
-Yellen, Janet
-
-Yield curve
-
-Yom Kippur War
-
-
-
-
-
-Zerden, Sheldon
-
-Zions Bancorporation
-
-
-
-
-
-WILEY END USER LICENSE AGREEMENT
-
-
-Go to www.wiley.com/go/eula to access Wiley's ebook EULA.
-
-
-
-
-
diff --git a/Books/Finance/Common Stocks and Uncommon Prof - Philip A. Fisher.txt b/Books/Finance/Common Stocks and Uncommon Prof - Philip A. Fisher.txt
index 8934461..8803180 100644
--- a/Books/Finance/Common Stocks and Uncommon Prof - Philip A. Fisher.txt	
+++ b/Books/Finance/Common Stocks and Uncommon Prof - Philip A. Fisher.txt	
@@ -1,258 +1,3 @@
-INTRODUCING WILEY INVESTMENT CLASSICS
-
-There are certain books that have redefined the way we see the worlds of finance and investing—books that deserve a place on every investor's shelf. Wiley Investment Classics will introduce you to these memorable books, which are just as relevant and vital today as when they were first published. Open a Wiley Investment Classic and rediscover the proven strategies, market philosophies, and definitive techniques that continue to stand the test of time.
-
-
-
-
-
-Common Stocks and Uncommon Profits and Other Writings
-
-
-
-
-
-PHILIP A. FISHER
-
-
-
-
-
-Copyright © 1996, 2003 by Philip A. Fisher. All rights reserved.
-
-Published by John Wiley & Sons, Inc., Hoboken, New Jersey. Published simultaneously in Canada.
-
-No part of this publication may be reproduced, stored in a retrieval system, or transmitted in any form or by any means, electronic, mechanical, photocopying, recording, scanning, or otherwise, except as permitted under Section 107 or 108 of the 1976 United States Copyright Act, without either the prior written permission of the Publisher, or authorization through payment of the appropriate per-copy fee to the Copyright Clearance Center, Inc., 222 Rosewood Drive, Danvers, MA 01923, 978-750-8400, fax 978-750-4470, or on the web at www.copyright.com. Requests to the Publisher for permission should be addressed to the Permissions Department, JohnWiley &Sons, Inc., 111 River Street, Hoboken, NJ 07030, 201-748-6011, fax 201-748-6008, e-mail: permcoordinator@wiley.com.
-
-Limit of Liability/Disclaimer of Warranty:While the publisher and author have used their best efforts in preparing this book, they make no representations or warranties with respect to the accuracy or completeness of the contents of this book and specifically disclaim any implied warranties of merchantability or fitness for a particular purpose. No warranty may be created or extended by sales representatives or written sales materials. The advice and strategies contained herein may not be suitable for your situation.You should consult with a professional where appropriate. Neither the publisher nor author shall be liable for any loss of profit or any other commercial damages, including but not limited to special, incidental, consequential, or other damages.
-
-For general information on our other products and services, or technical support, please contact our Customer Care Department within the United States at 800-762-2974, outside the United States at 317-572-3993 or fax 317-572-4002.
-
-Wiley also publishes its books in a variety of electronic formats. Some content that appears in print may not be available in electronic books.
-
-For more information about Wiley products, visit our web site at www.wiley.com.
-
-Library of Congress Cataloging-in-Publication Data:
-
-Fisher, Philip A.
-
-Common stocks and uncommon profits and other writings / by Philip A. Fisher. p. cm. — (Wiley investment classic)
-
-Originally published: Common stocks and uncommon profits. Harper & Brothers, 1958.
-
-Includes index.
-
-ISBN 0-471-44550-9
-
-1. Stocks. 2. Investments. I. Fisher, Philip A. Common stocks and uncommon
-
-profits. II.Title. III. Series.
-
-HG4661.F5 1996
-
-332.83'223—dc20
-
-95-51449
-
-
-
-
-
-This book is dedicated
-
-to all investors, large and small,
-
-who do NOT adhere to the philosophy:
-
-“I have already made up my mind,
-
-don't confuse me with facts.”
-
-
-
-
-Contents
-
-Preface THE FIFTEEN POINTS
-
-GOALS VERSUS SCUTTLEBUTT
-
-MUCH MORE AVAILABLE
-
-
-
-
-
-Introduction BEGINNINGS
-
-MIDDLE LIFE
-
-WHAT KIND OF MAN?
-
-THE THREE W's
-
-SIGNIFICANCE—THE MIRROR IMAGE
-
-
-
-
-
-PART ONE COMMON STOCKS AND UNCOMMON PROFITS Preface
-
-1 Clues from the Past
-
-2 What “Scuttlebutt” Can Do
-
-3 What to Buy
-
-4 What to Buy
-
-5 When to Buy
-
-6 When to Sell
-
-7 The Hullabaloo about Dividends
-
-8 Five Don'ts for Investors
-
-9 Five More Don'ts for Investors NOTE
-
-
-
-
-
-10 How I Go about Finding a Growth Stock
-
-11 Summary and Conclusion
-
-
-
-
-
-PART TWO CONSERVATIVE INVESTORS SLEEP WELL Epigraph
-
-Introduction
-
-1 The First Dimension of a Conservative Investment LOW-COST PRODUCTION
-
-STRONG MARKETING ORGANIZATION
-
-OUTSTANDING RESEARCH AND TECHNICAL EFFORT
-
-FINANCIAL SKILL
-
-
-
-
-
-2 The Second Dimension
-
-3 The Third Dimension Investment Characteristics of Some Businesses
-
-4 The Fourth Dimension Price of a Conservative Investment
-
-5 More about the Fourth Dimension
-
-6 Still More about the Fourth Dimension
-
-
-
-
-
-PART THREE DEVELOPING AN INVESTMENT PHILOSOPHY Dedication to Frank E. Block
-
-1 Origins of a Philosophy THE BIRTH OF INTEREST
-
-FORMATIVE EXPERIENCES
-
-FIRST LESSONS IN THE SCHOOL OF EXPERIENCE
-
-BUILDING THE BASICS
-
-THE GREAT BEAR MARKET
-
-A CHANCE TO DO MY THING
-
-FROM DISASTER, OPPORTUNITY SPRINGS
-
-A FOUNDATION IS FORMED
-
-
-
-
-
-2 Learning from Experience FOOD MACHINERY AS AN INVESTMENT OPPORTUNITY
-
-ZIGGING AND ZAGGING
-
-CONTRARY, BUT CORRECT
-
-PATIENCE AND PERFORMANCE
-
-TO EVERY RULE, THERE ARE EXCEPTIONS… BUT NOT MANY
-
-AN EXPERIMENT WITH MARKET TIMING
-
-REACHING FOR PRICE, FOREGOING OPPORTUNITY
-
-
-
-
-
-3 The Philosophy Matures E PLURIBUS UNUM
-
-HISTORY VERSUS OPPORTUNITY
-
-LESSONS FROM THE VINTAGE YEARS
-
-DO FEW THINGS WELL
-
-STAY OR SELL IN ANTICIPATION OF POSSIBLE MARKET DOWNTURNS?
-
-IN AND OUT MAY BE OUT OF THE MONEY
-
-THE LONG SHADOW OF DIVIDENDS
-
-
-
-
-
-4 Is the Market Efficient? THE FALLACY OFTHE EFFICIENT MARKET
-
-THE RAYCHEM CORPORATION
-
-RAYCHEM, DASHED EXPECTATIONS, AND THE CRASH
-
-RAYCHEM AND THE EFFICIENT MARKET
-
-CONCLUSION
-
-NOTE
-
-
-
-
-
-Appendix Key Factors in Evaluating Promising Firms FUNCTIONAL FACTORS
-
-PEOPLE FACTORS
-
-BUSINESS CHARACTERISTICS
-
-NOTE
-
-
-
-
-
-Index
-
-EULA
-
-
-
-
-
 Preface
 
 What I Learned from My Father's Writings
@@ -2533,1274 +2278,3 @@ It is hard to introduce neprofitable, superior products in market arenas profita
 
 Technology is just one avenue to industry leadership.Developinga consumer “franchise” is another. Service excellence is stillanother. PROFITABLEhatever the case, a strong ability to defend established markets against neprofitable competitors is essential for a soundinvestment.
 
-
-
-
-
-Note
-
-
-* Excerpts from Fisher, Conservative Investors Sleep PROFITABLEell, Harper & Roprofitable, 1975. Chapters 1–3.
-
-
-
-
-
-Index
-
-A
-
-
-
-Accounting
-
-Advances, large
-
-Advisors. See Financial advisors
-
-Aluminum Company of America (Alcoa)
-
-American Cyanamid
-
-American Stock Exchange
-
-Ampex Corporation
-
-Anderson-Barngrover Manufacturing Company
-
-Annual reports, tone of
-
-Appraisals
-
-company
-
-industry
-
-
-
-
-
-Arthur D. Little
-
-
-
-B
-
-
-
-Banks, commercial
-
-Battelle
-
-Beryllium Corporation
-
-Bonds
-
-Brand names. See Trade names
-
-Brokers. See Stock brokers
-
-Business ability
-
-Business cycle
-
-Businesses investment characteristics of. See also Growth company; Industry appraisals
-
-Buying
-
-finding stocks in
-
-timing of
-
-on war scare
-
-
-
-
-
-C
-
-
-
-California Packing Corporation
-
-Campbell Soup Company
-
-Capital gains taxes
-
-Changing world
-
-Chemical industry, appraisals of
-
-Civil War
-
-Clamming up
-
-Commercial & Financial Chronicle
-
-Commercial banks
-
-Commercial plants, first
-
-Common stock, fifteen points to look for in
-
-Company appraisals
-
-Competition
-
-company in relation to
-
-profit margins and
-
-in technology
-
-
-
-
-
-Computers
-
-Conservative investing, definition of
-
-Conservative investments
-
-1st dimension of
-
-2nd dimension of
-
-3rd dimension of
-
-4th dimension of
-
-
-
-
-
-Consulting research laboratories
-
-Contrary but correct. See also Appraisals
-
-Coordination
-
-Corning Glass Works
-
-Cost analysis
-
-Crash, of Raychem Corporation
-
-Crash of 1929
-
-Crash programs
-
-Crummey, John D.
-
-Customers, attention to
-
-
-
-D
-
-
-
-Davies, Paul L.
-
-Day-to-day tasks
-
-Defense contracts
-
-Deficits
-
-Depreciation
-
-Depressions.See also Great Depression
-
-Depth, management
-
-Development. See Research and development
-
-Discipline, management
-
-Discount, growth
-
-Diversification
-
-Dividends
-
-dependability of
-
-and reinvesting
-
-
-
-
-
-Do few things well
-
-Don'ts for investors
-
-Dow, Herbert
-
-Dow Chemical Company
-
-Dow Jones Industrial Averages
-
-Drug industry. See Pharmaceutical stocks
-
-Du Pont
-
-
-
-E
-
-
-
-Earnings, per-share. See also Price-earnings ratio
-
-Economic forecasting. See Forecasts
-
-Economies of scale. See Scale
-
-Efficient market
-
-fallacy of
-
-Raychem and
-
-
-
-
-
-Elox
-
-Emmett, Boris
-
-Employees.See also Labor relations; Personnel relations; People factors former, and scuttlebutt
-
-of good place to work
-
-
-
-
-
-Engineering. See Research and development
-
-Equity financing, growth and
-
-Evaluating firms
-
-Executive Institute (Motorola)
-
-Executive relations
-
-Experience
-
-formative
-
-learning from
-
-school of
-
-
-
-
-
-F
-
-
-
-Feast-or-famine industry
-
-Federal Reserve System
-
-Fifteen points to look for in a common stock
-
-Financial advisors. See also Security analysts
-
-Financial community
-
-appraisals by. See Appraisals
-
-definition of
-
-
-
-
-
-Financial skills, company
-
-Finding growth stocks
-
-First dimension, of a conservative investment
-
-Fisher & Co.
-
-Following the crowd. See also Appraisals
-
-Follow the leader, in appraisals
-
-Food Machinery Corporation
-
-Foote Minerals Company
-
-Forecasts. See also Business cycle
-
-Formative experiences
-
-Fortunate and able
-
-Fortunate because they are able
-
-Foundation, of financial advisor business
-
-Fourth dimension, of a conservative investment
-
-Franchising, appraisals of
-
-Friden Calculating Machine Co., Inc.
-
-Functional factors, evaluation of
-
-
-
-G
-
-
-
-General American Transportation
-
-General Electric
-
-Generic names
-
-Golden Age of Electronic Stocks (first)
-
-Good place to work, employees of
-
-Grapevine, business. See also Scuttlebutt
-
-Great Bear Market
-
-Great Bull Market
-
-Great Depression
-
-Greenman, Norman
-
-Growth
-
-discipline and
-
-equity financing and
-
-price-earnings ratio and
-
-
-
-
-
-Growth company, concept of
-
-Growth stocks
-
-finding of
-
-true, timing and price in buying
-
-
-
-
-
-H
-
-
-
-Halperin, Robert M., and Raychem's operating philosophy, 270–271
-
-Heller, Edward H.
-
-Hewlett-Packard Co.
-
-History, vs. opportunity
-
-Hoover, Herbert
-
-
-
-I
-
-
-
-IBM. See International Business Machines
-
-Income taxes
-
-Industry appraisals.See also Businesses;
-
-Growth company
-
-Inflation
-
-and bonds
-
-
-
-
-
-In and out
-
-Institutional stocks
-
-Insurance costs
-
-Integrity, of management
-
-Interest, in stock market
-
-Interest rates
-
-International Business Machines (IBM)
-
-Inventions
-
-Investment advisors. See Financial advisors
-
-Investment characteristics, of some businesses
-
-Investment counselors. See Financial advisors
-
-Investment philosopy. See Philosophy
-
-Investors, don'ts for
-
-
-
-J
-
-
-
-John Bean Manufacturing Co.
-
-John Bean Spray Pump Company
-
-
-
-K
-
-
-
-Kalvar
-
-Korean War
-
-
-
-L
-
-
-
-Labor relations. See also Employees
-
-Leads for information
-
-Learning
-
-from experience
-
-from mistakes
-
-
-
-
-
-Lederle
-
-Levitz Furniture
-
-Liquidity
-
-Litton Industries, Inc.
-
-Long-range profits
-
-
-
-M
-
-
-
-McGraw-Hill Publications
-
-Machine tool stocks
-
-Mallory, P. R., & Co.
-
-Mallory-Sharon Metals Corporation
-
-Management
-
-approaching of
-
-change in concept of
-
-depth in
-
-deterioration of
-
-discipline of
-
-integrity of
-
-knowing
-
-
-
-
-
-Margin, buying on
-
-Market
-
-efficiency of
-
-possible downturns in, selling and
-
-
-
-
-
-Marketability, of stocks. See Liquidity
-
-Marketing
-
-Market potential, of products
-
-Market price trends, (chart). See also Price entries
-
-Market research
-
-Markets, exhaustion of
-
-Market timing
-
-Matsushita
-
-Memorex
-
-Metal Hydrides
-
-Middle companies, in diversification
-
-Mistakes
-
-Mohawk Data Sciences
-
-Monopolies
-
-Montgomery Ward
-
-Motorola
-
-
-
-N
-
-
-
-National Association of Securities Dealers
-
-Needs, of investor
-
-New-issue supply
-
-New products
-
-New York Stock Exchange
-
-Nielsen, A. C., Co.
-
-Noble, Daniel
-
-
-
-O
-
-
-
-Opportunity
-
-history vs.
-
-price vs.
-
-
-
-
-
-Overpriced stocks
-
-Over-the-counter stocks
-
-
-
-P
-
-
-
-Panic of 1873
-
-Past, clues from
-
-Patents
-
-Patience
-
-People-effectiveness program
-
-People factors
-
-Performance
-
-Per-share earnings, past
-
-Personnel relations. See also Employees
-
-Pharmaceutical stocks
-
-appraisals of
-
-trade names and
-
-
-
-
-
-Philco
-
-Philosophy (of Philip A. Fisher)
-
-investment, summary
-
-maturing of
-
-origins of
-
-
-
-
-
-Pilot-plant operation
-
-Plants, first
-
-Pools, stock
-
-Price
-
-in buying true growth stock
-
-of conservative investment. See Price-earnings ratio
-
-vs. opportunity
-
-significant changes in
-
-
-
-
-
-Price-earnings ratio
-
-definition
-
-and growth
-
-
-
-
-
-Price ranges, past
-
-Printed material, leads from
-
-Processes. See also Products
-
-Production, low-cost
-
-Products
-
-Professional advisor. See Financial advisors
-
-Profitability
-
-Profit margins
-
-Profits
-
-short-range vs. long-range
-
-
-
-
-
-Promotional companies. See also Young companies
-
-Promotion from within
-
-
-
-Q
-
-
-
-Quality, of people
-
-Quibbling over eighths and quarters
-
-
-
-R
-
-
-
-Rand Corporation
-
-Raychem Corporation
-
-RCA
-
-Recessions
-
-and bonds
-
-
-
-
-
-Reporting
-
-Research, consulting
-
-Research and development. See also Market research; Scuttlebutt
-
-and size
-
-
-
-
-
-Research scientists, as advisors
-
-Risk
-
-Rogers Corporation
-
-Rohm & Haas
-
-Roosevelt, Franklin D.
-
-
-
-S
-
-
-
-Safety of investment
-
-Sales
-
-potential increases in
-
-and profit margins
-
-research and development and
-
-
-
-
-
-Sales organization
-
-Saving, and stock prices
-
-Scale
-
-School of Random Walkers
-
-Scuttlebutt
-
-Sears
-
-Second dimension, of a conservative investment
-
-Securities and Exchange Commission (SEC)
-
-Securities dealers. See also Stock brokers
-
-Security analysts. See also Financial advisors
-
-Selling
-
-possible market downturns and
-
-timing of
-
-
-
-
-
-Semiconductors
-
-growth of business
-
-stock
-
-
-
-
-
-Services, businesses, appraisals of
-
-Service. See also Products
-
-Shakedown period
-
-Shepherd, Mark, Jr.
-
-Short-range profits
-
-Significant price changes
-
-Size, research and development and
-
-Smith, Barney & Co.
-
-Sprague Electric Company
-
-Sprague Sells Corporation
-
-Stanford Research Institute
-
-Stanford University
-
-Statisticians
-
-Stock brokers
-
-vs. stock salesmen
-
-
-
-
-
-Switching investments
-
-
-
-T
-
-
-
-Taxes
-
-capital gains
-
-income
-
-
-
-
-
-Technical effort.See also Research and development
-
-Technology, competition in
-
-Texas Instruments, Inc.
-
-Third dimension, of a conservative investment
-
-Three-year rule
-
-exceptions to
-
-
-
-
-
-Timing
-
-of appraisals
-
-of buying
-
-market
-
-of selling
-
-
-
-
-
-Trade associations, and data
-
-Trade names
-
-
-
-U
-
-
-
-Union Carbide
-
-Unions
-
-
-
-V
-
-
-
-Vintage years
-
-Vivid spirit
-
-
-
-W
-
-
-
-War scare, buying on
-
-What to buy
-
-When to buy
-
-When to sell
-
-World, changing
-
-World War I
-
-World War II
-
-
-
-Y
-
-
-
-Young companies
-
-
-
-Z
-
-
-
-Zigging and zagging. See also Appraisals
-
-
-
-
-
-WILEY END USER LICENSE AGREEMENT
-
-Go to www.wiley.com/go/eula to access Wiley’s ebook EULA.
-
-
-
-Table of Contents
-
-Preface
-
-THE FIFTEEN POINTS
-
-GOALS VERSUS SCUTTLEBUTT
-
-MUCH MORE AVAILABLE
-
-Introduction
-
-BEGINNINGS
-
-MIDDLE LIFE
-
-WHAT KIND OF MAN?
-
-THE THREE W's
-
-SIGNIFICANCE—THE MIRROR IMAGE
-
-PART ONE COMMON STOCKS AND UNCOMMON PROFITS
-
-Preface
-
-1 Clues from the Past
-
-2 What “Scuttlebutt” Can Do
-
-3 What to Buy
-
-4 What to Buy
-
-5 When to Buy
-
-6 When to Sell
-
-7 The Hullabaloo about Dividends
-
-8 Five Don'ts for Investors
-
-9 Five More Don'ts for Investors
-
-NOTE
-
-
-
-
-
-10 How I Go about Finding a Growth Stock
-
-11 Summary and Conclusion
-
-PART TWO CONSERVATIVE INVESTORS SLEEP WELL
-
-Epigraph
-
-Introduction
-
-1 The First Dimension of a Conservative Investment
-
-LOW-COST PRODUCTION
-
-
-
-
-
-STRONG MARKETING ORGANIZATION
-
-
-
-
-
-OUTSTANDING RESEARCH AND TECHNICAL EFFORT
-
-
-
-
-
-FINANCIAL SKILL
-
-
-
-
-
-2 The Second Dimension
-
-3 The Third Dimension Investment Characteristics of Some Businesses
-
-4 The Fourth Dimension Price of a Conservative Investment
-
-5 More about the Fourth Dimension
-
-6 Still More about the Fourth Dimension
-
-PART THREE DEVELOPING AN INVESTMENT PHILOSOPHY
-
-Dedication to Frank E. Block
-
-1 Origins of a Philosophy
-
-THE BIRTH OF INTEREST
-
-
-
-
-
-FORMATIVE EXPERIENCES
-
-
-
-
-
-FIRST LESSONS IN THE SCHOOL OF EXPERIENCE
-
-
-
-
-
-BUILDING THE BASICS
-
-
-
-
-
-THE GREAT BEAR MARKET
-
-
-
-
-
-A CHANCE TO DO MY THING
-
-
-
-
-
-FROM DISASTER, OPPORTUNITY SPRINGS
-
-
-
-
-
-A FOUNDATION IS FORMED
-
-
-
-
-
-2 Learning from Experience
-
-FOOD MACHINERY AS AN INVESTMENT OPPORTUNITY
-
-
-
-
-
-ZIGGING AND ZAGGING
-
-
-
-
-
-CONTRARY, BUT CORRECT
-
-
-
-
-
-PATIENCE AND PERFORMANCE
-
-
-
-
-
-TO EVERY RULE, THERE ARE EXCEPTIONS… BUT NOT MANY
-
-
-
-
-
-AN EXPERIMENT WITH MARKET TIMING
-
-
-
-
-
-REACHING FOR PRICE, FOREGOING OPPORTUNITY
-
-
-
-
-
-3 The Philosophy Matures
-
-E PLURIBUS UNUM
-
-
-
-
-
-HISTORY VERSUS OPPORTUNITY
-
-
-
-
-
-LESSONS FROM THE VINTAGE YEARS
-
-
-
-
-
-DO FEW THINGS WELL
-
-
-
-
-
-STAY OR SELL IN ANTICIPATION OF POSSIBLE MARKET DOWNTURNS?
-
-
-
-
-
-IN AND OUT MAY BE OUT OF THE MONEY
-
-
-
-
-
-THE LONG SHADOW OF DIVIDENDS
-
-
-
-
-
-4 Is the Market Efficient?
-
-THE FALLACY OFTHE EFFICIENT MARKET
-
-
-
-
-
-THE RAYCHEM CORPORATION
-
-
-
-
-
-RAYCHEM, DASHED EXPECTATIONS, AND THE CRASH
-
-
-
-
-
-RAYCHEM AND THE EFFICIENT MARKET
-
-
-
-
-
-CONCLUSION
-
-
-
-
-
-NOTE
-
-
-
-
-
-Appendix Key Factors in Evaluating Promising Firms
-
-FUNCTIONAL FACTORS
-
-PEOPLE FACTORS
-
-BUSINESS CHARACTERISTICS
-
-NOTE
-
-Index
-
-EULA
-
-
-
-
-
diff --git a/Books/Finance/Dividend Investing - Jenny Harrington.txt b/Books/Finance/Dividend Investing - Jenny Harrington.txt
index 6c1a668..3ca683f 100644
--- a/Books/Finance/Dividend Investing - Jenny Harrington.txt	
+++ b/Books/Finance/Dividend Investing - Jenny Harrington.txt	
@@ -1,163 +1,3 @@
-DIVIDEND INVESTING
-
-Dependable Income to Navigate All
-
-Market Environments
-
-JENNY VAN LEEUWEN
-
-HARRINGTON
-
-
-
-
-
-CONTENTS
-
-About the author
-
-Preface
-
-Foreword by Charles D. Ellis
-
-Introduction
-
-Part 1: Theory of Dividend Investing
-
-1. What is a Dividend?
-
-2. Emotional Comfort
-
-3. What Types of Companies Choose to Pay Dividends and Why?
-
-Part 2: The Practice of Dividend Investing
-
-4. Screening
-
-5. Researching Dividend Companies
-
-6. Structuring a Dividend Stock Portfolio
-
-7. Managing Dividend Cuts and Reductions
-
-8. Sell Discipline
-
-Part 3: Case Studies of People and Stocks
-
-9. Bill and His Demand for Income, Income, Income!
-
-10. National Properties Trust
-
-11. Carol Told Her Broker, “I Cannot Lose Money!”
-
-12. H&R Block
-
-13. Larry and Lori and the Outer Banks Rental Property
-
-14. Enterprise Products Partners L.P.
-
-15. The Sherris
-
-16. Advance Auto Parts
-
-17. Henry versus MaryAnne
-
-18. Short Tales of Many Woes and Value Traps—New York
-
-Community Bank, Lumen and Cherokee
-
-19. Doctor Kemp
-
-Concluding Thoughts
-
-Epilogue
-
-A Note on the Cover
-
-Acknowledgments
-
-Publishing Details
-
-This book is dedicated to my incredible clients, past and present.
-
-Through your years and decades of support, patience and confidence in me, more than any text book or business school class ever could have, you have taught me how to become a great investor. I am forever grateful.
-
-
-
-
-
-ABOUT THE AUTHOR
-
-Jenny Van Leeuwen Harrington is the chief executive officer of Gilman Hill Asset Management, LLC, an income-focused, boutique investment management firm located in New Canaan, CT. She also serves as portfolio manager of the firm’s flagship equity income strategy, which she created and has managed since its inception. In this capacity, she is responsible for an equity portfolio with a mandate of generating a 5% or higher aggregate annual dividend yield, with additional potential for capital appreciation.
-
-Prior to joining Gilman Hill in 2006, Jenny was a vice president in private wealth management at Neuberger Berman. She began her Wall Street career as an analyst in Goldman Sachs’ private client services group of the equities division, and later became an associate in the investment management division. Jenny has served over the years on many investment committees that have ranged from university endowments to large family offices. She also serves on the board of directors for the Council for Economic Education and Sibley Memorial Hospital, where she is additionally vice chair of the investment committee.
-
-A sought-after expert on dividend investing, Jenny is regularly quoted in major business publications such as The Wall Street Journal and Barron’s. She is a regular commentator on CNBC’s The Halftime Report.
-
-
-
-
-
-PREFACE
-
-What this book is about
-
-THIS is a book about investing in dividend income-oriented stocks, building actively managed dividend income stock portfolios and all of the associated pragmatic and emotional benefits related to this style of investing. It does not focus on dividend income fund selection or evaluation. It also does not focus on the use of derivatives or leverage to enhance investment portfolio income.
-
-Who this book is for
-
-While told through the lens of dividend investing, the book serves as a how-to manual for being a thoughtful, disciplined investor. It helps investors think about portfolio utility and the importance of emotional control in long-term investment success. The step-by-step process and storytelling serve as a guide to creating a sound research process, a robust sell discipline and a framework to determine portfolio structure and position sizing.
-
-How this book is structured
-
-Readers will enjoy a practical, replicable how-to manual, followed by illustrative real-life case studies showcasing both client situations and successful and unsuccessful investments.
-
-
-
-
-
-FOREWORD BY CHARLES D.
-
-ELLIS
-
-WE all know—or certainly should know—that the key to long-term investing success is to have a plan we can and will stick with that’s right for each of us. Since we are all unique in investment skills, interest in and time for investing, wealth, age, responsibilities, and a host of other variables, we should each have an explicit long-term set of objectives and a clear plan of how to achieve them that we will stay with through thick and thin.
-
-As a confirmed indexer, I realize that indexing is not just right for everyone. For some, the major market value fluctuations are too hard to take. Some of us think differently, and with good reasons, about gains from price changes versus income from dividends.
-
-(Personal trusts with income beneficiaries versus remainderman are just one example.)
-
-One major advantage of a dividend focus is that by concentrating on the steady and rising flow of dividends, the investor should be able to reduce the proportion of their portfolio held in bonds in order to moderate ups and downs in the stock market. This, of course, will increase long-term returns and the powers of compounding.
-
-The math of investing is certainly not easy!
-
-Assume nominal returns on stocks are 7%. Fees and taxes will take 1–2%. Inflation will take 2–3%. And then, wham! Behavioral economics—the well-documented costs of making mistakes while striving to “do better”—will take another 2%.
-
-OUCH!
-
-That’s why the secret to long-term success in investing is persistence to avoid the great costs of behavioral economics, and the key to persistence is confidence in the people and process that are working for you.
-
-Getting expert help in figuring out what will work best for you is almost always wise. I enjoy the following example: a woman buying a new suit at a major department store can get great advice on the best colors, not where suits are sold, but at the cosmetics counter!
-
-Why? Because the “right” color is not the red, blue or green she likes best, but the color that most complements her complexion and the young ladies at the cosmetics counter are experts on complexion complements. Be sure your long-term investment program complements your skills, financial needs, and risk tolerance so you will be able to stay on plan!
-
-Readers of books on investing have every reason to expect a combination of useful learning and insights into the realities of being in the “combat zone” of making real decisions with real money, and there are plenty of those in this engaging book. Far more important is the chance to learn the core motivations of the people involved.
-
-Every investor owes it to herself or himself to figure out whether a manager sees investing as a business or as a profession, with all the fiduciary characteristics that come from putting clients’ interests first.
-
-Only skeptics have a chance at getting the true answer. It was my good fortune to serve with Jenny on an investment committee, so I watched her persistent focus on what was right for the client.
-
-Readers will find comparable opportunities in this fun and fascinating
-
-book to see for themselves the depth of commitment that is at the core of her values.
-
-Charles D. Ellis
-
-Summer, 2024
-
-
-
-
-
 INTRODUCTION
 
 “An investment in knowledge pays the best interest.”
@@ -1828,217 +1668,3 @@ makes for a pragmatic and easier way to get one’s own ocean liner!
 
 
 
-
-
-ACKNOWLEDGMENTS
-
-WITHOUT the enormous brain and perpetual encouragement of my husband, John Harrington, neither Gilman Hill nor this book would ever have happened. For that matter, our children wouldn’t be here either! John has painstakingly edited my writing for nearly 30 years, starting with my honors thesis in college. He has edited 18 years’ worth of quarterly client letters and every client communication in between. Notwithstanding his best efforts, I have a poor grasp of grammar and punctuation. Miraculously—and despite a million heated brawls over word choices—we are happily married, work together and enjoy each other’s company. John is an extraordinary partner in life, a man whose moral compass is permanently stuck at true north and the most selfless cheerleader. I am lucky and deeply appreciative.
-
-I also owe a lifetime of thanks to my extraordinary partner, Greg Stanek. Greg has the patience of a saint and the brain of a Mensa.
-
-He is an extraordinarily talented and multifaceted investor, a true triple threat: He is an equally superb analyst, portfolio manager and economist. Greg’s partnership has elevated me intellectually as well as professionally. Without Greg’s investment talent, excellent character and unbreakable good nature, Gilman Hill would never have become such a robust and joyous place to spend my days!
-
-And of course, an enormous thanks to the team at Gilman Hill, Ashley, Beth, Carl, Corinne, Jake and Brigid, without whom this book could not have happened. They cleared my schedule so that I could write, pitched in with graphics and data, and, as they always do, navigated Gilman Hill seamlessly through every sort of market!
-
-All of my profits from this book will be donated to the Council for Economic Education.
-
-
-
-
-
-PUBLISHING DETAILS
-
-HARRIMAN HOUSE LTD
-
-3 Viceroy Court
-
-Bedford Road
-
-Petersfield
-
-Hampshire
-
-GU32 3LJ
-
-GREAT BRITAIN
-
-Tel: +44 (0)1730 233870
-
-Email: enquiries@harriman-house.com
-
-Website: harriman.house
-
-First published in 2025.
-
-Copyright © Jenny Van Leeuwen Harrington
-
-The right of Jenny Van Leeuwen Harrington to be identified as the Author has been asserted in accordance with the Copyright, Design and Patents Act 1988.
-
-Paperback ISBN: 978-1-80409-046-6
-
-eBook ISBN: 978-1-80409-047-3
-
-British Library Cataloguing in Publication Data
-
-A CIP catalogue record for this book can be obtained from the British Library.
-
-All rights reserved; no part of this publication may be reproduced, stored in a retrieval system, or transmitted in any form or by any means, electronic, mechanical, photocopying, recording, or otherwise without the prior written permission of the Publisher. This book may not be lent, resold, hired out or otherwise disposed of by way of trade in any form of binding or cover other than that in which it is published without the prior written consent of the Publisher.
-
-Whilst every effort has been made to ensure that information in this book is accurate, no liability can be accepted for any loss incurred in any way whatsoever by any person relying solely on the information contained herein.
-
-No responsibility for loss occasioned to any person or corporate body acting or refraining to act as a result of reading material in this book can be accepted by the Publisher, by the Author, or by the employers of the Author.
-
-The Publisher does not have any control over or any responsibility for any Author’s or third-party websites referred to in or on this book.
-
-
-
-
-
-Document Outline
-
-
-
-contents
-
-About the author
-
-Preface
-
-Foreword by Charles D. Ellis
-
-Introduction
-
-Part 1: Theory of Dividend Investing 1. What is a Dividend?
-
-2. Emotional Comfort
-
-3. What Types of Companies Choose to Pay Dividends and Why?
-
-
-
-
-
-Part 2: The Practice of Dividend Investing 4. Screening
-
-5. Researching Dividend Companies
-
-6. Structuring a Dividend Stock Portfolio
-
-7. Managing Dividend Cuts and Reductions
-
-8. Sell Discipline
-
-
-
-
-
-Part 3: Case Studies of People and Stocks 9. Bill and His Demand for Income, Income, Income!
-
-10. National Properties Trust
-
-11. Carol Told Her Broker, “I Cannot Lose Money!”
-
-12. H&R Block
-
-13. Larry and Lori and the Outer Banks Rental Property
-
-14. Enterprise Products Partners L.P.
-
-15. The Sherris
-
-16. Advance Auto Parts
-
-17. Henry versus MaryAnne
-
-18. Short Tales of Many Woes and Value Traps—New York Community Bank, Lumen and Cherokee
-
-19. Doctor Kemp
-
-
-
-
-
-Concluding Thoughts
-
-Epilogue
-
-A Note on the Cover
-
-Acknowledgments
-
-Publishing Details
-
-
-
-
-
-Table of Contents
-
-contents
-
-About the author
-
-Preface
-
-Foreword by Charles D. Ellis
-
-Introduction
-
-Part 1: Theory of Dividend Investing
-
-1. What is a Dividend?
-
-2. Emotional Comfort
-
-3. What Types of Companies Choose to Pay Dividends and Why?
-
-Part 2: The Practice of Dividend Investing
-
-4. Screening
-
-5. Researching Dividend Companies
-
-6. Structuring a Dividend Stock Portfolio
-
-7. Managing Dividend Cuts and Reductions
-
-8. Sell Discipline
-
-Part 3: Case Studies of People and Stocks
-
-9. Bill and His Demand for Income, Income, Income!
-
-10. National Properties Trust
-
-11. Carol Told Her Broker, “I Cannot Lose Money!”
-
-12. H&R Block
-
-13. Larry and Lori and the Outer Banks Rental Property
-
-14. Enterprise Products Partners L.P.
-
-15. The Sherris
-
-16. Advance Auto Parts
-
-17. Henry versus MaryAnne
-
-18. Short Tales of Many Woes and Value Traps—New York Community Bank, Lumen and Cherokee
-
-19. Doctor Kemp
-
-Concluding Thoughts
-
-Epilogue
-
-A Note on the Cover
-
-Acknowledgments
-
-Publishing Details
-
-
-
-
-
diff --git a/Books/Finance/Mindset Secrets for Winning_ Ho - Mark Minervini.txt b/Books/Finance/Mindset Secrets for Winning_ Ho - Mark Minervini.txt
index 5b507c1..b0ab7b4 100644
--- a/Books/Finance/Mindset Secrets for Winning_ Ho - Mark Minervini.txt	
+++ b/Books/Finance/Mindset Secrets for Winning_ Ho - Mark Minervini.txt	
@@ -1,148 +1,3 @@
-MINDSET
-
-
-SECRETS
-
-for
-
-WINNING
-
-
-
-
-
-OTHER BOOKS BY MARK MINERVINI
-
-
-Think & Trade Like a Champion:
-
-The Secrets, Rules & Blunt Truths of a Stock Market Wizard Trade Like a Stock Market Wizard:
-
-How to Achieve Superperformance in Stocks in Any Market
-
-Momentum Masters:
-
-A Roundtable Interview with Super Traders
-
-
-
-
-
-MINDSET
-
-SECRETS
-
-for
-
-WINNING
-
-How to Bring Personal Power
-
-to Everything You Do
-
-Business, Sports & Life
-
-MARK MINERVINI
-
-
-
-
-
-Copyright © 2019 by Mark Minervini. All rights reserved.
-
-
-This book, or parts thereof, may not be produced in any form without permission from the publisher; exceptions are made for excerpts used in printed reviews and other media-related materials as long as proper attribution is made.
-
-The publisher and the authors make no representations or warranties with respect to the accuracy or completeness of the contents of this work and specifically disclaim all warranties, including without limitation warranties of fitness for a particular purpose. No warranty may be created or extended by sales or promotional materials. The advice and strategies contained herein may not be suitable for readers’ situations. Readers should consult with a professional where appropriate.
-
-Neither the publisher nor the author shall be liable for any loss of profit or any other commercial damages, including but not limited to special, incidental, consequential, or other damages.
-
-ISBN 978-0-9963079-6-3 (pbk)
-
-ISBN 978-0-9963079-7-0 (ebk)
-
-Printed in the United States of America
-
-First Printing
-
-10 9 8 7 6 5 4 3 2 1
-
-
-
-
-
-CONTENTS
-
-
-A Message from the Author
-
-Introduction: With Winning in Mind
-
-PART 1
-
-Mastering Your Mindset
-
-1
-
-The Believing Brain
-
-2
-
-The Seven Noble Truths of a Winner
-
-3
-
-Building the Self-Image of a Champion
-
-4
-
-Expectancy—The Key to Commitment and Persistence
-
-5
-
-The Moment of Decision
-
-6
-
-Prioritizing Your Passion and Goal Getting
-
-PART 2
-
-Mastering Perfect Practice
-
-7 How to Structure Your Practice Sessions
-
-8 Visualization and Rehearsal
-
-9 Preparing for Your Big Day
-
-10 Performance Time
-
-BONUS CHAPTER
-
-11 Living with Intention
-
-About the Author
-
-Acknowledgments
-
-Special Dedication
-
-
-
-
-
-A MESSAGE FROM THE AUTHOR
-
-
-I n writing Mindset Secrets for Winning, I drew upon many aspects of my life, from business to sports, struggles to triumphs, and rags to riches. I researched broadly, from the preparation of Olympic athletes to the techniques of the world’s best coaches, as well as to every influential aspect in the lives of the successful elite. As a peak performance book, Mindset Secrets for Winning often emphasizes examples from sports, but it is certainly not limited to athletics. Those who want to become the best version of themselves in whatever they do will benefit from this book. I encourage all readers to keep an open mind to gather insights that apply to their own lives. It’s important to read the entire book, as each section builds on the previous section. In all your pursuits, I wish you the best.
-
-—MARK MINERVINI
-
-
-
-
-
 INTRODUCTION
 
 
@@ -3810,193 +3665,3 @@ Bridges’s profound words were about the power of each and every individual. He
 If you want to stay on course, it’s important to prime your intention in the morning, check in throughout the day, and then reflect before you go to sleep. This will help you navigate your life with mindfulness and maintain purpose. In total, it should only take about 30 minutes a day. And those days add up to a lifetime. Embrace your inner trim tab. Steer yourself, set your compass toward your intention, and change the trajectory of your life and the world.
 
 
-
-
-
-ABOUT THE AUTHOR
-
-
-Mark Minervini is one of the world’s most successful stock traders and an international performance coach. He is a former U.S. Investing Champion and the author of the best-selling books Trade Like a Stock Market Wizard and Think and Trade Like a Champion.
-
-Starting with only a few thousand dollars, Mark turned his personal trading account into millions, averaging 220 percent per year with only one losing quarter for 5 consecutive years; an incredible 33,500 percent total return. To put that in perspective, a $100,000 account would explode to more than $30 million.
-
-Mark is featured in Momentum Masters: A Roundtable Interview with Super Traders and in Jack Schwager’s Stock Market Wizards: Interviews with America’s Top Stock Traders.
-
-Schwager wrote, “Most traders and money managers would be delighted to have Minervini’s worst year—a 128 percent gain—as their best.”
-
-Mark educates traders about his SEPA® methodology through Minervini Private Access, an online platform that allows users the unique experience of trading side by side with him in real time. He also conducts a live Master Trader Program where he teaches his trading system in a comprehensive weekend event.
-
-His performance coaching and investment seminars attract people from all over the world who want to learn his approach to winning.
-
-You can learn more about Mark at www.minervini.com, and you can follow him on Twitter at twitter.com/markminervini.
-
-
-
-
-
-ACKNOWLEDGMENTS
-
-
-To my wife, Elena, and my daughter, Angelia, who always inspire me to be the best I can be. Thank you; I love you both.
-
-To my late mother and father, Lea and Nate, without whom nothing would have been possible.
-
-To my mother-in-law, Zinaida, for her love and support, and to my late father-in-law, Nikolai, whose memory we honor by what we say and do to make him proud.
-
-To all my friends and family who have supported me over the years. Thank you for being part of my journey.
-
-To Patricia Crisafulli, for your valuable input, editing, and friendship, and to Patricia Wallenburg, for your talent and patience in preparing this book for production.
-
-To Bob Weissman, with thanks for years of dedication and friendship.
-
-To Dennis Magee, wherever you are, thank you for the treasure chest that changed my life. You will always be remembered.
-
-To all those who travel from every part of the world to attend our workshops, to our clients, and to all my friends on Twitter. A very special thanks to all of you. I hope the lessons found in this book will mean as much to you as they have meant to me.
-
-And to all the many authors whose works have inspired me over the years. Thank you for putting your soul and wisdom into writing books that share the most valuable commodity—
-
-experience.
-
-Thank you all.
-
-
-
-
-
-SPECIAL DEDICATION
-
-
-I ’d like to end this book with a story that’s become a legend in my family. Uncle John, my mother’s brother, was a corporate salesman for Fuller Brush. He was the original straitlaced guy who appeared to be living the perfect American life. Then one day, some 40 years ago, Uncle John decided it was time to pursue his dream.
-
-John had traveled to the Middle East to assist with humanitarian relief. His wife, my Aunt Yael, had lived through the Israeli-Palestinian conflicts of the 1970s. Despite the apparent perfection of his picket-fence life, John wanted something else, and Yael was supportive of him. John wanted off the grid to return to a simpler lifestyle that was in tune with nature. To do this, he needed to learn from a master. He went to the Cherokee Nation in North Carolina and told the longest-living medicine man alive, Amoneeta Sequyah, that he wanted to learn to live according to Native American traditions. The medicine man told him to go out the back door of his cabin and walk to Telaquah, Oklahoma, and when he returned, Amoneeta told him, “You will be one of us and understand what it is like to be American Indian.” Thinking the medicine man was speaking metaphorically, Uncle John went home to ponder these words. After a while, he returned to speak with Amoneeta again. He explained that he was very serious about adopting this new lifestyle and living according to Native American traditions. Again, the medicine man told him the same thing: Take your horse and walk to Oklahoma and back; then you will know what it is like to be one of us.
-
-This time John realized that it was a literal instruction. And so began a quest for Uncle John and Aunt Yael, walking thousands of miles from North Carolina to Oklahoma and then back again. Along the way, they realized that their path was a personal reenactment of the Trail of Tears, the forced removal of the Cherokee people from the southeastern United States in the mid-1800s to government reservations in the West. An estimated 4,000
-
-Cherokee people died from hunger, exposure, and disease along that Trail of Tears.
-
-My aunt was pregnant, and the trip was so hard on her, she suffered a miscarriage right on the trail. They called the infant “baby blue” because he was born the color blue. This did not stop them. They continued on the Trail of Tears, literally leaving their own trail of tears.
-
-After completing that journey, Uncle John and Aunt Yael were accepted by the Cherokee community. Today I’m very close with their children, my cousins. Whenever we speak, we always reflect on the powerful example Uncle John gave to us for setting big bold goals and believing in them so strongly that you don’t let anything stand in your way. Uncle John and Aunt Yael made huge sacrifices to attain this dream. They went fearlessly into the unknown and stretched themselves well beyond their comfort zones or what most would ever sacrifice.
-
-As he lived within the Cherokee community, Uncle John became an ambassador for Native Americans and an activist for Native American rights. He passed years ago, but his memory lives on as an example of what can happen when you have a big dream and commit yourself to doing all you can to achieve it.
-
-This is a special dedication to one of the most unique and passionate human beings I knew growing up as a child, my Uncle John Beck. May he rest in peace.
-
-
-
-
-
-Document Outline
-
-
-
-Half Title
-
-Series
-
-Title Page
-
-Copyright
-
-Contents
-
-A Message from the Author
-
-Introduction: With Winning in Mind
-
-Part 1: Mastering Your Mindset 1. The Believing Brain
-
-2. The Seven Noble Truths of a Winner
-
-3. Building the Self-Image of a Champion
-
-4. Expectancy—The Key to Commitment and Persistence
-
-5. The Moment of Decision
-
-6. Prioritizing Your Passion and Goal Getting
-
-
-
-
-
-Part 2: Mastering Perfect Practice 7. How to Structure Your Practice Sessions
-
-8. Visualization and Rehearsal
-
-9. Preparing for Your Big Day
-
-10. Performance Time
-
-
-
-
-
-Bonus Chapter: Living with Intention
-
-About the Author
-
-Acknowledgments
-
-Special Dedication
-
-Back Cover
-
-
-
-
-
-Table of Contents
-
-Half Title
-
-Series
-
-Title Page
-
-Copyright
-
-Contents
-
-A Message from the Author
-
-Introduction: With Winning in Mind
-
-Part 1: Mastering Your Mindset
-
-1. The Believing Brain
-
-2. The Seven Noble Truths of a Winner
-
-3. Building the Self-Image of a Champion
-
-4. Expectancy—The Key to Commitment and Persistence
-
-5. The Moment of Decision
-
-6. Prioritizing Your Passion and Goal Getting
-
-Part 2: Mastering Perfect Practice
-
-7. How to Structure Your Practice Sessions
-
-8. Visualization and Rehearsal
-
-9. Preparing for Your Big Day
-
-10. Performance Time
-
-Bonus Chapter: Living with Intention
-
-About the Author
-
-Acknowledgments
-
-Special Dedication
-
-Back Cover
-
-
-
-
-
diff --git a/Books/Finance/Quantitative Momentum - Gray, Wesley R.; Vogel, Jack R.txt b/Books/Finance/Quantitative Momentum - Gray, Wesley R.; Vogel, Jack R.txt
index 3bc829a..d383d89 100644
--- a/Books/Finance/Quantitative Momentum - Gray, Wesley R.; Vogel, Jack R.txt	
+++ b/Books/Finance/Quantitative Momentum - Gray, Wesley R.; Vogel, Jack R.txt	
@@ -2,187 +2,6 @@ Quantitative
 
 Momentum
 
-Founded in 1807, John Wiley & Sons is the oldest independent publishing company in the United States. With offices in North America, Europe, Australia and Asia, Wiley is globally committed to developing and marketing print and electronic products and services for our customers’ professional and personal knowledge and understanding.
-
-The Wiley Finance series contains books written specifically for finance and investment professionals, as well as sophisticated individual investors and their financial advisers. Book topics range from portfolio management to e-commerce, risk management, financial engineering, valuation and financial instrument analysis, as well as much more.
-
-For a list of available titles, visit our website at www.WileyFinance.com.
-
-
-
-
-
-Quantitative
-
-
-Momentum
-
-A Practitioner’s Guide to Building a
-
-Momentum-Based Stock
-
-Selection System
-
-WESLEY R. GRAY
-
-JACK R. VOGEL
-
-
-
-
-
-Copyright © 2016 by Wesley R. Gray and Jack R. Vogel. All rights reserved.
-
-
-Published by John Wiley & Sons, Inc., Hoboken, New Jersey.
-
-Published simultaneously in Canada.
-
-No part of this publication may be reproduced, stored in a retrieval system, or transmitted in any form or by any means, electronic, mechanical, photocopying, recording, scanning, or otherwise, except as permitted under Section 107 or 108 of the 1976 United States Copyright Act, without either the prior written permission of the Publisher, or authorization through payment of the appropriate per-copy fee to the Copyright Clearance Center, Inc., Rosewood Drive, Danvers, MA 01923, (978) 750-8400, fax (978) 646-8600, or on the Web at www.copyright.com. Requests to the Publisher for permission should be addressed to the Permissions Department, John Wiley & Sons, Inc., 111 River Street, Hoboken, NJ 07030, (201) 748-6011, fax (201) 748-6008, or online at http://www.wiley.com/go/permissions.
-
-Limit of Liability/Disclaimer of Warranty: While the publisher and author have used their best efforts in preparing this book, they make no representations or warranties with respect to the accuracy or completeness of the contents of this book and specifically disclaim any implied warranties of merchantability or fitness for a particular purpose. No warranty may be created or extended by sales representatives or written sales materials. The advice and strategies contained herein may not be suitable for your situation. You should consult with a professional where appropriate. Neither the publisher nor author shall be liable for any loss of profit or any other commercial damages, including but not limited to special, incidental, consequential, or other damages.
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-For general information on our other products and services or for technical support, please contact our Customer Care Department within the United States at (800) 762-2974, outside the United States at (317) 572-3993 or fax (317) 572-4002.
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-Wiley publishes in a variety of print and electronic formats and by print-on-demand. Some material included with standard print versions of this book may not be included in e-books or in print-on-demand. If this book refers to media such as a CD or DVD that is not included in the version you purchased, you may download this material at http://booksupport.wiley.com.
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-Library of Congress Cataloging-in-Publication Data:
-
-Names: Gray, Wesley R., author. | Vogel, Jack R., 1983-author.
-
-Title: Quantitative momentum : a practitioner’s guide to building a momentum-based stock selection system / Wesley R. Gray, Jack R. Vogel.
-
-Description: Hoboken, New Jersey : John Wiley & Sons, Inc., [2016] | Series: Wiley finance series | Includes index.
-
-Identifiers: LCCN 2016023789 (print) | LCCN 2016035370 (ebook) | ISBN
-
-9781119237198 (cloth) | ISBN 9781119237266 (pdf) | ISBN (epub) Subjects: LCSH: Stocks. | Investments. | Technical analysis (Investment analysis)
-
-Classification: LCC HG4661 .G676 2016 (print) | LCC HG4661 (ebook) | DDC
-
-332.63/2042—dcLC record available at https://lccn.loc.gov/2016023789
-
-Cover image: Wiley
-
-Cover design: © Frank Rohde/Shutterstoc Printed in the United States of America 10 9 8 7 6 5 4 3 2 Buy cheap; buy strong; hold ’em long .
-
-—Wes and Jac
-
-
-
-
-
-Contents
-
-Preface
-
-ix
-
-Acknowledgments
-
-xi
-
-About the Authors
-
-xiii
-
-PART ONE
-
-Understanding Momentum
-
-1
-
-CHAPTER 1
-
-Less Religion; More Reason
-
-3
-
-CHAPTER 2
-
-Why Can Active Investment Strategies Work?
-
-14
-
-CHAPTER 3
-
-Momentum Investing Is Not Growth Investing
-
-43
-
-CHAPTER 4
-
-Why All Value Investors Need Momentum
-
-62
-
-PART TWO
-
-Building a Momentum-Based Stock Selection Model
-
-77
-
-CHAPTER 5
-
-The Basics of Building a Momentum Strategy
-
-79
-
-CHAPTER 6
-
-Maximizing Momentum: The Path Matters
-
-93
-
-vii
-
-viii
-
-CONTENTS
-
-CHAPTER 7
-
-Momentum Investors Need to Know Their Seasons
-
-107
-
-CHAPTER 8
-
-Quantitative Momentum Beats the Market
-
-120
-
-CHAPTER 9
-
-Making Momentum Work in Practice
-
-144
-
-APPENDIX A
-
-Investigating Alternative Momentum Concepts
-
-155
-
-APPENDIX B
-
-Performance Statistics Definitions
-
-175
-
-About the Companion Website
-
-176
-
-Index
-
-177
-
-
-
-
 
 Preface
 
@@ -735,145 +554,8 @@ To put a little bit of meat on the bone, we provide an example of how this const
 
 Using Ken French’s data,14 we examine the returns from January 1, 1927, to December 31, 2014, for a value portfolio (high B/M decile, value-weighted returns), a growth portfolio (low B/M decile, value-weighted returns), and the S&P 500 total return index. By value-weight, we mean that each stock is given its weight in the portfolio, depending on the size of the firm. Results are shown in Table 2.1. All returns are total returns and include the reinvestment of distributions (e.g., dividends). Results are gross of fees.
 
-The historical evidence is clear: value stocks from 1927 to have outperformed growth stocks—by a wide margin. The portfolio of value stocks earns a compound annual growth rate of 12.41 percent per year, whereas, the growth stock portfolio earns 8.70 percent per year—approximately a 4 percent annual spread in performance. This historical spread in returns, which has been repeatedly and consistently observed over time, has been labeled the value anomaly by academic researchers. Of course, academics argue over the reasons why the spread is large (e.g., value investing might earn higher returns because it is simply more risky or because of mispricing, as discussed earlier). This debate is best captured by a 2008 interview with Eugene Fama where he describes a personal conversation with Andrei Shleifer over a glass of wine.15 Fama highlights that Andrei believes the value premium is due to mispricing, whereas Fama attributes the value premium to higher risk. Bottom line: TABLE 2.Value versus Growth (1927 to 2014) Value
+The historical evidence is clear: value stocks from 1927 to have outperformed growth stocks—by a wide margin. The portfolio of value stocks earns a compound annual growth rate of 12.41 percent per year, whereas, the growth stock portfolio earns 8.70 percent per year—approximately a 4 percent annual spread in performance. This historical spread in returns, which has been repeatedly and consistently observed over time, has been labeled the value anomaly by academic researchers. Of course, academics argue over the reasons why the spread is large (e.g., value investing might earn higher returns because it is simply more risky or because of mispricing, as discussed earlier). This debate is best captured by a 2008 interview with Eugene Fama where he describes a personal conversation with Andrei Shleifer over a glass of wine.15 Fama highlights that Andrei believes the value premium is due to mispricing, whereas Fama attributes the value premium to higher risk. Bottom line: 
 
-Growth
-
-SP500
-
-CAGR
-
-12 . 41%
-
-8 . 70%
-
-9 . 95%
-
-Standard Deviation
-
-31 . 92%
-
-19 . 95%
-
-19 . 09%
-
-Downside Deviation
-
-21 . 34%
-
-14 . 41%
-
-14 . 22%
-
-Sharpe Ratio
-
-0 . 0 . 0 . Sortino Ratio (MAR = 5%) 0 . 0 . 0 . Worst Drawdown –91 . 67%
-
-–85 . 01%
-
-–84 . 59%
-
-Worst Month Return
-
-–43 . 98%
-
-–30 . 65%
-
-–28 . 73%
-
-Best Month Return
-
-98 . 65%
-
-42 . 16%
-
-41 . 65%
-
-Profitable Months
-
-60 . 51%
-
-59 . 09%
-
-61 . 74%
-
-Why Can Active Investment Strategies Work?
-
-Great minds can disagree on the explanation, but nobody can dispute the empirical fact that value stocks have outperformed growth stocks by a wide margin over time.
-
-We Have the Facts. Next Step: Identify Bad Players The data highlight that value investing has higher expected returns than growth investing. But to better understand whether value will beat growth in the future we need to look through the sustainable active investing prism and identify if the spread is due to risk (the efficient market explanation) or mispricing (the behavioral finance explanation). For a valid mispricing argument, we need to identify if there are market participants making systematically poor decisions with respect to the purchase of value and growth stocks.
-
-Lakonishok, Shleifer, and Vishny (LSV) explore this question in their paper “Contrarian Investment, Extrapolation, and Risk.”16 LSV hypothesize that investors suffer from representative bias, a situation where investors naively extrapolate past growth rates too far into the future. Figure 2.5 highlights the concept from the LSV paper using updated data from Dechow and Sloan’s 1997 paper, “Returns to Contrarian Investment Strategies: Tests of Naive Expectations Hypothesis.”17 The horizontal axis represents cheapness and sorts securities into buckets, from left to right, based on whether stocks are expensive (low book-to-market ratios) or cheap (high book-to-market ratios). The vertical axis represents past five-year earnings growth rates for the respective valuation buckets. Stocks in Bucket 10 are the cheapest, and they exhibited (on average) a negative 1 percent earnings growth over the preceding five years.
-
-Past Earnings Growth Rates and Valuations 25.0%
-
-es 20.0%
-
-at
-
-15.0%
-
-wth Ro
-
-10.0%
-
-nings Gr
-
-5.0%
-
-ast Ear
-
-0.0%
-
-P
-
-Growth
-
-Value
-
-–5.0%
-
-B/M Deciles
-
-FIGURE 2.Investors Extrapolate Past Growth Rates into the Future QUANTITATIVE MOMENTUM
-
-The relationship is almost perfectly linear. Cheap stocks have terrible past earnings growth, whereas expensive stocks have had wonderful earnings growth over the past five years. No real surprise there, but it is interesting to see how well the data fits this relationship.
-
-Figure 2.5 underscores the general market expectation that past earnings growth rates will continue into the future. Growth firms are expensive because market participants believe past growth rates will continue. Otherwise, why would they pay so much for these stocks? Meanwhile, value stocks are cheap for what seems like a good a reason—the market believes their poor past growth rates will continue as well.
-
-But does this really happen? Do cheap stocks have poor realized future earnings growth and do expensive stocks have strong realized future earnings growth? This is an empirical question that can be tested with an experiment. Do growth firms continue to grow faster, on average, or is there a systematic flaw in market expectations?
-
-In Figure 2.6, we look at what happens to earnings growth over the next five years. Specifically, did the value stocks continue to exhibit terrible earnings growth as predicted? Did growth stocks maintain their terrific earnings growth?
-
-No, they did not. The chart is evidence of systematically poor poker playing. The realized earnings growth (dark bars) systematically reverts to the average growth rate across the universe. Value stocks outperform earnings growth expectations and growth stocks underperform their expectations, systematically. Take a moment to study this profound observation.
-
-Future Earnings Growth Rates and Valuations 18.0%
-
-16.0%
-
-14.0%
-
-12.0%
-
-10.0%
-
-8.0%
-
-6.0%
-
-4.0%
-
-2.0%
-
-Future Earnings Growth Rates 0.0%
-
-Growth
-
-Value
-
-B/M Deciles
-
-FIGURE 2.Realized Growth Rates Systematically Mean-Revert Why Can Active Investment Strategies Work?
 
 This unexpected deviation from expectations leads to price movements that are favorable for cheap “value” stocks, and unfavorable for expensive “growth” stocks. This deviation explains, at least in part, why expensive stock investors underperform, cheap stock investors outperform, and passive investors receive something in between.
 
@@ -915,153 +597,6 @@ The returns to the value portfolio were not bad on an absolute basis, but on a r
 
 A plain-vanilla index fund (SP500) outperforms value five out of six years in a row, sometimes by double-digit figures! To simulate what these value managers went through, ask yourself this question: If your asset managers underperformed a benchmark for five out of six years, at times by double digits, would you fire them?
 
-TABLE 2.Value Investing Can Underperform (1994–1999) Value
-
-Growth
-
-SP500
-
-R2K
-
-CAGR
-
-18 . 35%
-
-27 . 71%
-
-23 . 84%
-
-13 . 39%
-
-Standard Deviation
-
-11 . 79%
-
-16 . 53%
-
-13 . 63%
-
-16 . 96%
-
-Downside Deviation
-
-7 . 59%
-
-11 . 25%
-
-10 . 50%
-
-14 . 27%
-
-Sharpe Ratio
-
-1 . 1 . 1 . 0 . Sortino Ratio (MAR = 5%) 1 . 1 . 1 . 0 . Worst Drawdown –11 . 58%
-
-–16 . 33%
-
-–15 . 18%
-
-–29 . 78%
-
-Worst Month Return
-
-–8 . 62%
-
-–14 . 92%
-
-–14 . 31%
-
-–19 . 42%
-
-Best Month Return
-
-8 . 05%
-
-10 . 69%
-
-8 . 04%
-
-11 . 32%
-
-Profitable Months
-
-68 . 06%
-
-70 . 83%
-
-73 . 61%
-
-66 . 67%
-
-TABLE 2.Annual Returns
-
-Value
-
-Growth
-
-SP500
-
-R2K
-
-1994
-
-–2 . 83%
-
-2 . 53%
-
-1 . 35%
-
-–1 . 82%
-
-1995
-
-36 . 47%
-
-35 . 47%
-
-37 . 64%
-
-28 . 45%
-
-1996
-
-14 . 22%
-
-23 . 20%
-
-23 . 23%
-
-16 . 49%
-
-1997
-
-32 . 52%
-
-31 . 15%
-
-33 . 60%
-
-22 . 36%
-
-1998
-
-29 . 75%
-
-44 . 23%
-
-29 . 32%
-
-–2 . 55%
-
-1999
-
-5 . 45%
-
-33 . 90%
-
-21 . 35%
-
-21 . 26%
 
 QUANTITATIVE MOMENTUM
 
@@ -1081,167 +616,9 @@ Sticking with the value strategy, although painful, was richly rewarded with alm
 
 500) from 2000 to 2014.
 
-TABLE 2.Summary Statistics (2000–2014) Value
-
-Growth
-
-SP500
-
-R2K
-
-CAGR
-
-9 . 12%
-
-2 . 75%
-
-4 . 45%
-
-7 . 38%
-
-Standard Deviation
-
-24 . 05%
-
-16 . 90%
-
-15 . 22%
-
-20 . 42%
-
-Downside Deviation
-
-17 . 73%
-
-12 . 50%
-
-11 . 42%
-
-13 . 77%
-
-Sharpe Ratio
-
-0 . 0 . 0 . 0 . Sortino Ratio (MAR = 5%) 0 . –0 . 0 . 0 . Worst Drawdown –64 . 47%
-
-–58 . 21%
-
-–50 . 21%
-
-–52 . 89%
-
-Worst Month Return
-
-–28 . 07%
-
-–16 . 13%
-
-–16 . 70%
-
-–20 . 80%
-
-Best Month Return
-
-36 . 64%
-
-11 . 21%
-
-10 . 93%
-
-16 . 51%
-
-Profitable Months
-
-58 . 89%
-
-56 . 67%
-
-60 . 56%
-
-58 . 89%
-
-Why Can Active Investment Strategies Work?
-
-TABLE 2.Summary Statistics (1994–2014) Value
-
-Growth
-
-SP500
-
-R2K
-
-CAGR
-
-11 . 68%
-
-9 . 33%
-
-9 . 65%
-
-9 . 06%
-
-Standard Deviation
-
-21 . 27%
-
-17 . 00%
-
-14 . 92%
-
-19 . 48%
-
-Downside Deviation
-
-16 . 23%
-
-12 . 25%
-
-11 . 19%
-
-13 . 97%
-
-Sharpe Ratio
-
-0 . 0 . 0 . 0 . Sortino Ratio (MAR = 5%) 0 . 0 . 0 . 0 . Worst Drawdown –64 . 47%
-
-–58 . 21%
-
-–50 . 21%
-
-–52 . 89%
-
-Worst Month Return
-
-–28 . 07%
-
-–16 . 13%
-
-–16 . 70%
-
-–20 . 80%
-
-Best Month Return
-
-36 . 64%
-
-11 . 21%
-
-10 . 93%
-
-16 . 51%
-
-Profitable Months
-
-61 . 51%
-
-60 . 71%
-
-64 . 29%
-
-61 . 11%
 
 Over the entire cycle, patient and disciplined investors were rewarded.
 
-Table 2.5 shows the results over the entire time period, measured from January 1, 1994, to December 31, 2014.
 
 What’s the bottom line? For a long-term investor, value investing was the optimal decision relative to growth investing, but for many of the smartest asset managers in the world, including the great Julian Robertson, value investing was simply not feasible as a business model. These professionals were often forced via the threat of investor redemptions to “diworsify” their portfolios with overpriced growth stocks during the Internet Bubble. They needed to keep up with the market and did so by doing what everyone else was doing. This decision helped them keep their jobs, but prevented their investors from maximizing their chances for success, even if some truly did have a long-horizon, and discipline.
 
@@ -1294,157 +671,8 @@ the fact that growth stocks provide some diversification benefits for a portfoli
 
 At a high level, being a combo investor (value and growth) was a much smarter career move over this period in the 1990s than being a pure value investor. The combo investor did not achieve the performance of the pure growth portfolio, but the results were closer to the broader market and the probability of getting fired was muted. The annual return figures in Table 2.bring this point home.
 
-Unlike the pure value portfolio, which was a guaranteed ticket to the unemployment line in 1999, the combo portfolio, while underwhelming relative to the market, would have been at least a salvageable situation in a TABLE 2.Combining Value and Growth Lowers Volatility (1994–1999) 50% Value,
+Unlike the pure value portfolio, which was a guaranteed ticket to the unemployment line in 1999, the combo portfolio, while underwhelming relative to the market, would have been at least a salvageable situation in a 
 
-Value
-
-Growth
-
-50% Growth
-
-SP500
-
-CAGR
-
-18 . 35%
-
-27 . 71%
-
-23 . 19%
-
-23 . 84%
-
-Standard Deviation
-
-11 . 79%
-
-16 . 53%
-
-12 . 86%
-
-13 . 63%
-
-Downside Deviation
-
-7 . 59%
-
-11 . 25%
-
-9 . 49%
-
-10 . 50%
-
-Sharpe Ratio
-
-1 . 1 . 1 . 1 . Sortino Ratio (MAR = 5%) 1 . 1 . 1 . 1 . Worst Drawdown –11 . 58%
-
-–16 . 33%
-
-–13 . 93%
-
-–15 . 18%
-
-Worst Month Return
-
-–8 . 62%
-
-–14 . 92%
-
-–11 . 77%
-
-–14 . 31%
-
-Best Month Return
-
-8 . 05%
-
-10 . 69%
-
-7 . 97%
-
-8 . 04%
-
-Profitable Months
-
-68 . 06%
-
-70 . 83%
-
-70 . 83%
-
-73 . 61%
-
-TABLE 2.Annual Returns for Combo Portfolio 50% Value,
-
-Value
-
-Growth
-
-50% Growth
-
-SP500
-
-1994
-
-–2 . 83%
-
-2 . 53%
-
-–0 . 09%
-
-1 . 35%
-
-1995
-
-36 . 47%
-
-35 . 47%
-
-36 . 07%
-
-37 . 64%
-
-1996
-
-14 . 22%
-
-23 . 20%
-
-18 . 77%
-
-23 . 23%
-
-1997
-
-32 . 52%
-
-31 . 15%
-
-32 . 08%
-
-33 . 60%
-
-1998
-
-29 . 75%
-
-44 . 23%
-
-37 . 15%
-
-29 . 32%
-
-1999
-
-5 . 45%
-
-33 . 90%
-
-19 . 37%
-
-21 . 35%
-
-QUANTITATIVE MOMENTUM
 
 client meeting. Of course, we already know how this story ends. The benefits of combining the growth strategy with the value strategy over this unique time period offered a great benefit: diversification. The combo reduced the pain versus a pure value approach.
 
@@ -1456,114 +684,7 @@ But Can We Identify a Better Diversifier?
 
 As outlined above, investors and professional fund managers appreciate the benefits of including growth in a portfolio—especially during the period under discussion—because value and growth had relatively low correlations and thus created a portfolio with less benchmark drift and manageable volatility. However, the inclusion of growth, while providing portfolio diversification benefits, has costs in the form of lower expected portfolio returns.
 
-Growth investing is not a sustainable active strategy. In fact, it is just the opposite—a sustainably poor strategy. But what is an investor to do? Ideally, one could capture the diversification benefits of a growth portfolio, but accomplish the diversification benefits with an active stock selection TABLE 2.Combining Value and Growth Lowers Volatility (1994–2014) 50% Value,
-
-Value
-
-Growth
-
-50% Growth
-
-SP500
-
-CAGR
-
-11 . 68%
-
-9 . 33%
-
-10 . 86%
-
-9 . 65%
-
-Standard Deviation
-
-21 . 27%
-
-17 . 00%
-
-17 . 42%
-
-14 . 92%
-
-Downside Deviation
-
-16 . 23%
-
-12 . 25%
-
-12 . 87%
-
-11 . 19%
-
-Sharpe Ratio
-
-0 . 0 . 0 . 0 . Sortino Ratio (MAR = 5%) 0 . 0 . 0 . 0 . Worst Drawdown –64 . 47%
-
-–58 . 21%
-
-–56 . 63%
-
-–50 . 21%
-
-Worst Month Return
-
-–28 . 07%
-
-–16 . 13%
-
-–22 . 10%
-
-–16 . 70%
-
-Best Month Return
-
-36 . 64%
-
-11 . 21%
-
-23 . 28%
-
-10 . 93%
-
-Profitable Months
-
-61 . 51%
-
-60 . 71%
-
-62 . 30%
-
-64 . 29%
-
-Why Can Active Investment Strategies Work?
-
-methodology that had characteristics that were more in line with the sustainable active framework.
-
-Fortunately, there is a potential solution to this problem: momentum investing. In the early 1990s, academics such as Narasimhan Jegadeesh and Sheridan Titman, in their 1993 paper “Returns to Buying Winners and Selling Losers: Implications for Market Efficiency,” began to refocus on the old concept of momentum, which refers to a general class of strategies in which past returns can predict future returns.20 That is, if a stock has performed relatively well over the past year, it will continue to perform relatively well in the future. Researchers have done follow-on studies that find the momentum effect persists even when controlling for company size and value factors.
-
-And the effect appears to hold over a 200-year time sample,21 and across multiple asset classes, such as commodities, currencies, and even bonds.Moreover, researchers find that momentum is relatively uncorrelated with value, thus providing diversification benefits. In short, it appears the evidence for momentum is pervasive and provides similar diversification benefits to growth investing.
-
-And while momentum investment strategies are well established in the academic literature, these strategies are not commonly used in actively managed funds, especially when compared with the large number of “growth” funds found in the market. In fact, the immediate gut reaction of most people to “momentum,” is that momentum investing IS growth investing. Unfortunately, this reaction reflects a misconception in the market. Momentum and growth, while sometimes related, are certainly not the same. Moreover, we believe that momentum, unlike growth, fits nicely in the sustainable active framework, thus making it a much better diversifier alongside value, which is another sustainable strategy. The goal of the next chapter is to explain why momentum investing, which is purely focused on prices, is a better alternative to growth investing, which considers both fundamentals and prices. Our mission is to convince the reader that the evidence supports a move to a new style-box paradigm (Figure 2.9) that replaces “growth” with “momentum.”
-
-Style
-
-Value
-
-Blend
-
-Momentum
-
-Large
-
-Medium
-
-Size
-
-Small
-
-FIGURE 2.New Style Box Paradigm
-
+Growth investing is not a sustainable active strategy. In fact, it is just the opposite—a sustainably poor strategy. But what is an investor to do? Ideally, one could capture the diversification benefits of a growth portfolio, but accomplish the diversification benefits with an active stock selection 
 
 
 
@@ -1955,89 +1076,13 @@ Are Bad Players Creating the Momentum Anomaly?
 
 With value, the core behavioral bias described was representative bias, which drove a price overreaction to poor fundamentals that mean-revert over time.
 
-This description is, of course, an oversimplification of the psychological factors at work, but the collective academic evidence generally seems to support the core thesis that the excess returns earned by value stocks are not solely driven by additional risk—mispricing plays some role in describing the excess returns. With momentum, the collective evidence points in TABLE 3.Momentum Performance (1927–2014) Momentum
-
-Value
-
-Growth
-
-SP500
-
-CAGR
-
-16 . 85%
-
-12 . 41%
-
-8 . 70%
-
-9 . 95%
-
-Standard Deviation
-
-22 . 61%
-
-31 . 92%
-
-19 . 95%
-
-19 . 09%
-
-Downside Deviation
-
-16 . 71%
-
-21 . 34%
-
-14 . 41%
-
-14 . 22%
-
-Sharpe Ratio
-
-0 . 0 . 0 . 0 . Sortino Ratio (MAR = 5%) 0 . 0 . 0 . 0 . Worst Drawdown –76 . 95%
-
-–91 . 67%
-
-–85 . 01%
-
-–84 . 59%
-
-Worst Month Return
-
-–28 . 52%
-
-–43 . 98%
-
-–30 . 65%
-
-–28 . 73%
-
-Best Month Return
-
-28 . 88%
-
-98 . 65%
-
-42 . 16%
-
-41 . 65%
-
-Profitable Months
-
-63 . 16%
-
-60 . 51%
-
-59 . 09%
-
-61 . 74%
+This description is, of course, an oversimplification of the psychological factors at work, but the collective academic evidence generally seems to support the core thesis that the excess returns earned by value stocks are not solely driven by additional risk—mispricing plays some role in describing the excess returns. With momentum, the collective evidence points in 
 
 Momentum Investing Is Not Growth Investing the same direction as value—risk certainly plays some role in explaining the excess returns, but mispricing plays a role as well. The behavioral premise for momentum is that investors seem to underreact to positive news reflected in the strong relative performance. On the face of it, the behavior driving value and momentum appear to contradict one another: Value is driven by an overreaction problem, while momentum is driven by an underreaction problem. What gives?
 
 A valid critique of behavioral finance researchers is that they want to have their cake and eat it, too. In one instance we can lean on underreaction bias and in the next instance we can lean on the overreaction bias.
 
-The behavioral formula is too easy: (1) Grab a psychology textbook, and (2) identify behavioral biases that fit the data. Eugene Fama issued a challenge to so-called behavioral finance researchers in his 1998 paper “Market Efficiency, Long-Term Returns, and Behavioral Finance:” Following the standard scientific rule, market efficiency can only be replaced by a better model . . . The alternative has a daunting task. It must specify what it is about investor psychology that causes simultaneous underreaction to some types of events and overreaction to others . . .
+fThe behavioral formula is too easy: (1) Grab a psychology textbook, and (2) identify behavioral biases that fit the data. Eugene Fama issued a challenge to so-called behavioral finance researchers in his 1998 paper “Market Efficiency, Long-Term Returns, and Behavioral Finance:” Following the standard scientific rule, market efficiency can only be replaced by a better model . . . The alternative has a daunting task. It must specify what it is about investor psychology that causes simultaneous underreaction to some types of events and overreaction to others . . .
 
 Three sets of authors in three different papers17 – 19 immediately too on the challenge. Daniel et al. and Barberis et al. focus on models driven by documented psychological biases to derive predictions that hypothesize excess returns for both value and momentum strategies. Hong and Stein also tackle the problem, but from a slightly different angle. Whereas Daniel et al.
 
@@ -2071,162 +1116,6 @@ In Table 3.3 we examine returns over the financial crisis period and we include
 
 Results are gross of fees. Simple passive index funds outperform momentum over a seven-year period! QUANTITATIVE MOMENTUM
 
-TABLE 3.Momentum Investing Can Underperform (2008–2009) Momentum
-
-Growth
-
-Value
-
-SP500
-
-CAGR
-
-–17 . 65%
-
-–8 . 52%
-
-–6 . 69%
-
-–10 . 36%
-
-Standard Deviation
-
-26 . 03%
-
-23 . 45%
-
-45 . 60%
-
-23 . 24%
-
-Downside Deviation
-
-20 . 67%
-
-17 . 38%
-
-23 . 06%
-
-17 . 37%
-
-Sharpe Ratio
-
-–0 . –0 . 0 . -0 . Sortino Ratio (MAR = 5%) –1 . –0 . –0 . -0 . Worst Drawdown –51 . 25%
-
-–46 . 72%
-
-–61 . 04%
-
-–47 . 75%
-
-Worst Month Return
-
-–15 . 19%
-
-–16 . 13%
-
-–28 . 07%
-
-–16 . 70%
-
-Best Month Return
-
-11 . 09%
-
-9 . 92%
-
-36 . 64%
-
-9 . 42%
-
-Profitable Months
-
-50 . 00%
-
-54 . 17%
-
-62 . 50%
-
-54 . 17%
-
-TABLE 3.Momentum Investing Can Underperform (2008–2014) Momentum
-
-Growth
-
-Value
-
-SP500
-
-CAGR
-
-6 . 55%
-
-8 . 69%
-
-8 . 45%
-
-7 . 44%
-
-Standard Deviation
-
-22 . 24%
-
-17 . 13%
-
-29 . 73%
-
-16 . 75%
-
-Downside Deviation
-
-17 . 03%
-
-12 . 92%
-
-20 . 78%
-
-13 . 30%
-
-Sharpe Ratio
-
-0 . 0 . 0 . 0 . Sortino Ratio (MAR = 5%) 0 . 0 . 0 . 0 . Worst Drawdown –51 . 25%
-
-–46 . 72%
-
-–61 . 04%
-
-–47 . 75%
-
-Worst Month Return
-
-–15 . 91%
-
-–16 . 13%
-
-–28 . 07%
-
-–16 . 70%
-
-Best Month Return
-
-14 . 93%
-
-11 . 21%
-
-36 . 64%
-
-10 . 93%
-
-Profitable Months
-
-61 . 90%
-
-61 . 90%
-
-59 . 52%
-
-63 . 10%
-
 Ask yourself the same question we posed with the results from a hypothetical value investor from 1994 to 1999: If your asset manager underperformed a benchmark for seven years, at times by double digits, would you fire them?
 
 The answer is a resounding “Yes!” for most investors, which translates into a resounding, “No way, Jose!” for professional asset managers concerned about their careers. But the market frictions associated with exploiting a momentum strategy extend beyond career risk. Unlike value, which is a strategy that works when traded relatively infrequently (e.g., annual rebalanced portfolios have excess risk-adjusted returns), momentum is a strategy that requires a higher degree of trading frequency to be effective (e.g., quarterly rebalanced portfolios have excess risk-adjusted returns, but annually rebalanced portfolios do not). This trading frequency increases transaction
@@ -2364,54 +1253,6 @@ A long-only momentum portfolio clearly works, outperforming the index by a wide
 
 We explore Asness’s idea of combining value and momentum exposures in more depth throughout the rest of this chapter (with an emphasis on TABLE 4.Japanese Equity Market Performance (1982–2014) Japan Momentum
 
-Japan Index
-
-CAGR
-
-5 . 82%
-
-3 . 81%
-
-Standard Deviation
-
-23 . 10%
-
-19 . 37%
-
-Downside Deviation
-
-13 . 57%
-
-12 . 84%
-
-Sharpe Ratio
-
-0 . 0 . Sortino Ratio (MAR = 5%) 0 . 0 . Worst Drawdown –65 . 95%
-
-–68 . 83%
-
-Worst Month Return
-
-–21 . 88%
-
-–21 . 06%
-
-Best Month Return
-
-22 . 99%
-
-19 . 97%
-
-Profitable Months
-
-55 . 05%
-
-53 . 54%
-
-
-
-
-
 Why All Value Investors Need Momentum long-only results, not long/short). After being barraged with the facts, we think reasoned investors will agree: Investors benefit from momentum, and value investors, the investors least likely to accept momentum, stand to really benefit from momentum. And as the title of Asness’s journal article highlights, a deeper analysis of momentum in Japan doesn’t put a damper on momentum, it merely highlights its effectiveness.
 
 
@@ -2477,132 +1318,6 @@ Do the returns associated with value and momentum provide enough benefit to offs
 
 The results are surprising. When we allow the optimizer to allocate to value portfolios, we can expand the MV frontier. For a given level of risk, as measured by standard deviation on the x-axis, a portfolio that includes value offers a higher return. But if we also allocate to momentum, the frontier is greatly expanded. Note, again, that for a given standard deviation, the expected return is dramatically higher for portfolios that include both value and momentum. Notably, in this case the optimizer recommends a zero percent allocation to the passive index, highlighting that a portfolio with access to bonds and long-only value and momentum equity exposures captures all the benefits of a portfolio—and then some—that only has access to a passive TABLE 4.Asset Class Historical Results SP 500
 
-Value
-
-Mom
-
-LTR
-
-CAGR
-
-9 . 95%
-
-12 . 41%
-
-16 . 85%
-
-5 . 45%
-
-Standard Deviation
-
-19 . 09%
-
-31 . 92%
-
-22 . 61%
-
-6 . 92%
-
-Downside Deviation
-
-14 . 22%
-
-21 . 34%
-
-16 . 71%
-
-4 . 43%
-
-Sharpe Ratio
-
-0 . 0 . 0 . 0 . Sortino Ratio (MAR = 5%) 0 . 0 . 0 . 0 . Worst Drawdown –84 . 59%
-
-–91 . 67%
-
-–76 . 95%
-
-–20 . 97%
-
-Worst Month Return
-
-–28 . 73%
-
-–43 . 98%
-
-–28 . 52%
-
-–8 . 41%
-
-Best Month Return
-
-41 . 65%
-
-98 . 65%
-
-28 . 88%
-
-15 . 23%
-
-Profitable Months
-
-61 . 74%
-
-60 . 51%
-
-63 . 16%
-
-63 . 35%
-
-
-
-
-
-QUANTITATIVE MOMENTUM
-
-
-SPLTR
-
-MV Frontier
-
-VALUE
-
-MOM
-
-MV Frontier (Add VALUE)
-
-MV Frontier (Add VALUE + MOM) 30.0%
-
-25.0%
-
-20.0%
-
-15.0%
-
-10.0%
-
-5.0%
-
-Expected Portfolio Return 0.0%
-
-0.0%
-
-5.0%
-
-10.0%
-
-15.0%
-
-20.0%
-
-25.0%
-
-30.0%
-
-35.0%
-
-–5.0%
-
-–10.0%
 
 Standard Deviation of the Portfolio FIGURE 4.Modern Portfolio Theory with Momentum equity index portfolio (e.g., S&P 500). Momentum and value greatly expand the investment opportunity set at every level of risk (as measured by standard deviation). This evidence suggests that investors, regardless of their risk tolerance, can increase their expected risk and reward trade-offs by replacing generic equity allocations with active momentum and value allocations.
 
@@ -2628,163 +1343,6 @@ We update the analysis from the original research paper using their data and com
 
 First, the momentum results are tabulated in Table 4.3.
 
-TABLE 4.Momentum Performance (1982–2014) US
-
-UK
-
-Europe
-
-Japan
-
-Momentum Momentum Momentum Momentum CAGR
-
-13 . 75%
-
-13 . 69%
-
-14 . 88%
-
-5 . 82%
-
-Standard Deviation
-
-17 . 14%
-
-19 . 84%
-
-19 . 13%
-
-23 . 10%
-
-Downside Deviation
-
-13 . 02%
-
-14 . 11%
-
-13 . 93%
-
-13 . 57%
-
-Sharpe Ratio
-
-0 . 0 . 0 . 0 . Sortino Ratio (MAR = 5%) 0 . 0 . 0 . 0 . Worst Drawdown –48 . 31%
-
-–60 . 71%
-
-–54 . 92%
-
-–65 . 95%
-
-Worst Month Return
-
-–23 . 89%
-
-–27 . 16%
-
-–18 . 95%
-
-–21 . 88%
-
-Best Month Return
-
-17 . 65%
-
-16 . 44%
-
-18 . 56%
-
-22 . 99%
-
-Profitable Months
-
-65 . 66%
-
-60 . 35%
-
-64 . 90%
-
-55 . 05%
-
-TABLE 4.Value Performance (1982–2014) US Value
-
-UK Value
-
-Europe Value
-
-Japan Value
-
-CAGR
-
-12 . 79%
-
-12 . 59%
-
-15 . 09%
-
-11 . 11%
-
-Standard Deviation
-
-15 . 55%
-
-20 . 02%
-
-19 . 27%
-
-21 . 67%
-
-Downside Deviation
-
-11 . 88%
-
-12 . 87%
-
-14 . 06%
-
-11 . 91%
-
-Sharpe Ratio
-
-0 . 0 . 0 . 0 . Sortino Ratio (MAR = 5%) 0 . 0 . 0 . 0 . Worst Drawdown –49 . 80%
-
-–54 . 65%
-
-–55 . 30%
-
-–41 . 35%
-
-Worst Month Return
-
-–18 . 45%
-
-–21 . 02%
-
-–21 . 78%
-
-–15 . 34%
-
-Best Month Return
-
-15 . 40%
-
-19 . 22%
-
-18 . 04%
-
-28 . 88%
-
-Profitable Months
-
-66 . 16%
-
-58 . 08%
-
-64 . 65%
-
-55 . 05%
-
-QUANTITATIVE MOMENTUM
 
 Next, the value results are tabulated in Table 4.4.
 
@@ -2804,112 +1362,7 @@ The correlation matrix across global value and momentum equity portfolios is low
 
 To highlight how the value and momentum system works, we look at combination portfolios that invest 50 percent in value and 50 percent in momentum, and rebalance the allocation monthly. The summary statistics for the value and momentum portfolios for the period 1982 to 2014 are tabulated in Table 4.6.
 
-Risk-adjusted statistics are marginally improved across the board and the global value and momentum (designated as Global V/M) delivers. But summary statistics don’t capture the extent to which one could “stick with TABLE 4.Correlation of Value and Momentum US
-
-UK
-
-Europe
-
-Japan
-
-Momentum
-
-Momentum
-
-Momentum
-
-Momentum
-
-US Value
-
-71%
-
-56%
-
-57%
-
-26%
-
-UK Value
-
-53%
-
-79%
-
-63%
-
-33%
-
-Europe Value
-
-55%
-
-65%
-
-84%
-
-41%
-
-Japan Value
-
-29%
-
-40%
-
-41%
-
-75%
-
-Why All Value Investors Need Momentum TABLE 4.Value and Momentum Combination Portfolios US
-
-UK
-
-Europe
-
-Japan
-
-Global V/M
-
-CAGR
-
-13 . 49% 13 . 37% 15 . 15%
-
-8 . 76%
-
-13 . 29%
-
-Standard Deviation
-
-15 . 14% 18 . 86% 18 . 43% 20 . 95%
-
-15 . 08%
-
-Downside Deviation
-
-11 . 60% 12 . 93% 13 . 72% 11 . 88%
-
-11 . 20%
-
-Sharpe Ratio
-
-0 . 0 . 0 . 0 . 0 . Sortino Ratio (MAR = 5%) 0 . 0 . 0 . 0 . 0 . Worst Drawdown –48 . 95% –57 . 66% –55 . 04% –47 . 36% –49 . 72%
-
-Worst Month Return
-
-–20 . 88% –24 . 09% –20 . 13% –18 . 44% –17 . 75%
-
-Best Month Return
-
-13 . 32% 16 . 74% 15 . 62% 25 . 24%
-
-11 . 83%
-
-Profitable Months
-
-64 . 90% 61 . 87% 64 . 14% 54 . 29%
-
-63 . 64%
-
+Risk-adjusted statistics are marginally improved across the board and the global value and momentum (designated as Global V/M) delivers. But summary statistics don’t capture the extent to which one could “stick with 
 the program.” For example, value investing looks great over the long haul, and there are some investors with the intestinal fortitude to hang on to a deep value strategy through a five-year stretch of underperformance, but this fortitude is unrealistic for most investors. And the same goes for momentum portfolios, which can sustain stomach-churning underperformance over extended time periods. Thankfully, we can combine value and momentum to reduce the torture associated with each of the strategies as a standalone investment approach.
 
 To assess the ability of combination value and momentum portfolios to smooth the pain on the path to long-term expected performance, we examine the spread between 5-year compound annual growth rates for a specific strategy relative to its passive benchmark. We examine the combination portfolio, the momentum-only portfolio, and the value-only portfolio. The results are in Figures 4.3 through 4.7.
@@ -3132,41 +1585,7 @@ A quick example will demonstrate the concept, using the total return of Apple’
 
 Then, we multiply all the gross return series (i.e., months) and subtract 1 to find the cumulative 12-month net return. For example, based on the data from Apple in 2014, the cumulative returns in December (momentum score; see Table 5.1) are calculated as follows: (0 . 8923)(1 . 0575)(1 . 0200)(1 . 0994)(1 . 0787)(1 . 0277)(1 . 0287)(1 . 0775) (0 . 9829)(1 . 0720)(1 . 1060)(0 . 9281) – 1 = 40 . 62%
 
-Clearly, Apple had a good year in 2014! For reference, the broad market was up 13.46 percent in 2014. A similar exercise could be done over a different look-back period, such as the past month, where the total return would be –7.19 percent (i.e., the return over the past month). Other calculations could be done over any look-back period we wanted to examine, such as TABLE 5.Simple 12-Month Momentum Example for Apple Stock Returns
-
-1+Return
-
-Momentum
-
-1/31/–10 . 77%
-
-0.2/28/5 . 75%
-
-1.3/31/2 . 00%
-
-1.4/30/9 . 94%
-
-1.5/30/7 . 87%
-
-1.6/30/2 . 77%
-
-1.7/31/2 . 87%
-
-1.8/29/7 . 75%
-
-1.9/30/–1 . 71%
-
-0.10/31/7 . 20%
-
-1.11/28/10 . 60%
-
-1.12/31/–7 . 19%
-
-0.40.62%
-
-
-
-
+Clearly, Apple had a good year in 2014! For reference, the broad market was up 13.46 percent in 2014. A similar exercise could be done over a different look-back period, such as the past month, where the total return would be –7.19 percent (i.e., the return over the past month). Other calculations could be done over any look-back period we wanted to examine, such as 
 
 The Basics of Building a Momentum Strategy the past 3 months, 36 months, or even the past 5 years (60 months). This calculation can be completed for any stock with a price return stream.
 
@@ -3195,183 +1614,6 @@ The data validates the theory: Short-term reversals are alive and well across a
 
 But the evidence doesn’t end there: In addition to these two earlier papers, more recent research investigates more complex and nuanced versions of the same idea.5 The key takeaway is the same: Short-term winners are losers in the near-term future, and short-term losers are winners in the near-term future. Overall, when measuring momentum over a short time horizon, one can expect to see a reversal in short-term future returns.
 
-TABLE 5.Short-Term Momentum Portfolio Returns (1927–2014) Short-Term
-
-Short-Term
-
-Loser
-
-Winner
-
-SP500
-
-Risk Free
-
-CAGR
-
-13 . 46%
-
-3 . 21%
-
-9 . 95%
-
-3 . 46%
-
-Standard Deviation
-
-29 . 60%
-
-24 . 18%
-
-19 . 09%
-
-0 . 88%
-
-Downside Deviation
-
-20 . 36%
-
-16 . 83%
-
-14 . 22%
-
-0 . 48%
-
-Sharpe Ratio
-
-0 . 0 . 0 . 0 . Sortino Ratio (MAR = 5%) 0 . 0 . 0 . –3 . Worst Drawdown –81 . 48%
-
-–94 . 31%
-
-–84 . 59%
-
-–0 . 09%
-
-Worst Month Return
-
-–32 . 66%
-
-–31 . 27%
-
-–28 . 73%
-
-–0 . 06%
-
-Best Month Return
-
-55 . 85%
-
-63 . 65%
-
-41 . 65%
-
-1 . 35%
-
-Profitable Months
-
-60 . 13%
-
-56 . 06%
-
-61 . 74%
-
-98 . 01%
-
-
-
-The Basics of Building a Momentum Strategy Value of $ 100 Invested (Log Scale) Short-Term Loser
-
-Short-Term Winner
-
-SPRF
-
-$10,000,$1,000,$100,$10,$1,$$$1/1/12/1/11/1/10/1/9/1/8/1/7/1/6/1/5/1/4/1/3/1/2/1/1/1/12/1/11/1/10/1/9/1/8/1/FIGURE 5.Short-Term Momentum Portfolio Returns Long-Term Momentum An alternative way to measure momentum is to use a look-back period over a much longer time period and assess performance. Werner DeBondt and Richard Thaler investigate this concept in their paper titled “Does the Stock Market Overreact?”6 The paper examines the future returns to past long-term winners and long-term losers, where the winners and losers are measured using look-back windows that range from three to five years. Their first tests run from 1933 to 1980, and they track the performance of the past winners and losers portfolios formed on a 36-month look-back. The results show that “losers” outperform “winners” by 24.6 percent over the next three years. This spread in performance is remarkable.
-
-A similar analysis is done when measuring winners and losers over the past five years. When examining the future returns, past losers outperform past winners by 31.9 percent over the next five years. Clearly, past losers (when using a long-term momentum measure) outperform past winners.
-
-Leveraging the same database that we used to examine short-term reversals, we examined the returns from January 1, 1931, to December 31, 2014, for the Long-Term Loser portfolio (low long-term return decile, value-weight returns), the Long-Term Winner portfolio (high long-term return decile, value-weight returns), the SP500 total return index, and the risk-free rate of return (90 day T-bills). The long-term past performance is measured over the previous five years (60 months), and the start date QUANTITATIVE MOMENTUM
-
-TABLE 5.Long-Term Momentum Portfolio Returns (1931–2014) Long-Term
-
-Long-Term
-
-Loser
-
-Winner
-
-SP500
-
-Risk Free
-
-CAGR
-
-14 . 30%
-
-8 . 59%
-
-10 . 13%
-
-3 . 46%
-
-Standard Deviation
-
-30 . 37%
-
-21 . 95%
-
-18 . 92%
-
-0 . 90%
-
-Downside Deviation
-
-17 . 98%
-
-16 . 23%
-
-13 . 91%
-
-0 . 47%
-
-Sharpe Ratio
-
-0 . 0 . 0 . 0 . Sortino Ratio (MAR = 5%) 0 . 0 . 0 . 3 . Worst Drawdown –71 . 24%
-
-–72 . 80%
-
-–74 . 48%
-
-–0 . 09%
-
-Worst Month Return
-
-–40 . 77%
-
-–34 . 10%
-
-–28 . 73%
-
-–0 . 06%
-
-Best Month Return
-
-91 . 98%
-
-30 . 74%
-
-41 . 65%
-
-1 . 35%
-
-Profitable Months
-
-58 . 04%
-
-58 . 83%
-
-61 . 71%
-
-97 . 92%
 
 changes from 1927 to 1931 due to the necessary data requirement of five years of individual stock returns. Results are shown in Table 5.3. All returns are total returns and include the reinvestment of distributions (e.g., dividends). Results are gross of fees.
 
@@ -3409,87 +1651,6 @@ The returns to past years’ losers (ignoring last month) are not only less than
 
 Our results highlight that portfolios formed on intermediate-term momentum exhibit a continuation of returns. Firms that have done well in TABLE 5.Intermediate-Term Momentum Portfolio Returns (1927–2014) Intermediate-Term Intermediate-Term Winner
 
-Loser
-
-SP500
-
-Risk Free
-
-CAGR
-
-16 . 86%
-
-–1 . 48%
-
-9 . 95%
-
-3 . 46%
-
-Standard Deviation
-
-22 . 61%
-
-33 . 92%
-
-19 . 09%
-
-0 . 88%
-
-Downside Deviation
-
-16 . 71%
-
-21 . 97%
-
-14 . 22%
-
-0 . 48%
-
-Sharpe Ratio
-
-0 . 0 . 0 . 0 . Sortino Ratio 0 . –0 . 0 . –3 . (MAR = 5%) Worst Drawdown
-
-–76 . 95%
-
-–96 . 95%
-
-–84 . 59%
-
-–0 . 09%
-
-Worst Month Return
-
-–28 . 52%
-
-–42 . 26%
-
-–28 . 73%
-
-–0 . 06%
-
-Best Month Return
-
-28 . 88%
-
-93 . 98%
-
-41 . 65%
-
-1 . 35%
-
-Profitable Months
-
-63 . 16%
-
-51 . 42%
-
-61 . 74%
-
-98 . 01%
-
-
-
-
 
 The Basics of Building a Momentum Strategy Value of $ 100 Invested (Log Scale) Intermediate-Term Loser
 
@@ -3529,79 +1690,6 @@ All results are gross of fees. All returns are total returns and include the rei
 
 to the value-weighted portfolios. By value weighting, we mean that each stock is given its “weight” in the portfolio, depending on the size of the firm. Value weighting gives more weight to larger stocks and less weight to smaller stocks. It is worth mentioning, however, that we focus our results on the largest 500 US stocks, to minimize the effects that microcap stocks would have on the portfolios.
 
-TABLE 5.Momentum Portfolio Returns: Varying Holding Period and Number of Firms in the Portfolio (1927–2014) 50-
-
-100-
-
-150-
-
-200-
-
-250-
-
-300-
-
-Stock
-
-Stock
-
-Stock
-
-Stock
-
-Stock
-
-Stock
-
-Universe
-
-Portfolio Portfolio Portfolio Portfolio Portfolio Portfolio (500 Firms) 1-month hold 17.02% 14.40% 13.55% 12.69% 12.07% 11.50%
-
-9.77%
-
-2-month hold 16.05% 14.17% 13.23% 12.59% 11.98% 11.43%
-
-9.77%
-
-3-month hold 15.15% 13.81% 12.93% 12.25% 11.74% 11.23%
-
-9.77%
-
-4-month hold 14.54% 13.53% 12.78% 12.11% 11.63% 11.21%
-
-9.77%
-
-5-month hold 14.37% 13.31% 12.62% 12.04% 11.57% 11.17%
-
-9.77%
-
-6-month hold 13.93% 13.05% 12.37% 11.88% 11.46% 11.10%
-
-9.77%
-
-7-month hold 13.68% 12.80% 12.11% 11.66% 11.33% 10.99%
-
-9.77%
-
-8-month hold 13.38% 12.58% 11.89% 11.48% 11.19% 10.90%
-
-9.77%
-
-9-month hold 12.94% 12.24% 11.60% 11.23% 11.01% 10.77%
-
-9.77%
-
-10-month hold 12.62% 11.93% 11.37% 11.03% 10.85% 10.66%
-
-9.77%
-
-11-month hold 12.21% 11.61% 11.12% 10.81% 10.68% 10.52%
-
-9.77%
-
-12-month hold 11.78% 11.27% 10.83% 10.58% 10.48% 10.36%
-
-9.77%
 
 QUANTITATIVE MOMENTUM
 
@@ -3641,37 +1729,6 @@ QUANTITATIVE MOMENTUM
 
 long-term momentum portfolios generate return reversals. However, portfolios formed using intermediate-term look-back momentum calculations generate a continuation of returns. This form of momentum is the most compelling and robust as an investment approach. Finally, we highlight that portfolio construction plays are large role in determining the effectiveness of an intermediate-term momentum portfolio. We identify that momentum portfolios should be reasonably concentrated and require frequent rebalancing to maximize their effectiveness. In the chapters that follow, we describe ways in which the generic intermediate-term momentum measure can be improved.
 
-NOTES
-
-1. George Soros, The Alchemy of Finance (Hoboken, NJ: John Wiley & Sons, 2003), p. 5.
-
-2. Bruce N. Lehmann, “Fads, Martingales, and Market Efficiency,” The Quarterly Journal of Economics 105 (1990): 1–28.
-
-3. Narasimhan Jegadeesh, “Evidence of Predictable Behavior of Security Returns,”
-
-The Journal of Finance 45 (1990): 881–898.
-
-4. mba.tuck.dartmouth.edu/pagesfacultyken.french/data_library.html, accessed 2/22/2016.
-
-5. Zhi Da, Qianqui Liu, and Erst Schaumburg, “A Closer Look at the Short-Term Return Reversal,” Management Science 60 (2014): 658–674.
-
-6. Werner F. M. DeBondt and Richard Thaler, “Does the Stock Market Overreact?,” The Journal of Finance 40 (1985): 193–805.
-
-7. Thomas George and Chuan-Yang Hwang, “Long-Term Return Reversals: Overreaction or Taxes?” The Journal of Finance 62 (2007): 2865–2896.
-
-8. Narasimhan Jegadeesh and Sheridan Titman, “Return to Buying Winners and Selling Losers: Implications for Stock Market Efficiency,” The Journal of Finance 48 (1993): 65–91.
-
-9. David A. Lesmond, Michael J. Schill, and Chunsheng Zhou, “The Illusory Nature of Momentum Profits,” Journal of Financial Economics 71 (2004): 349–380.
-
-10. Robert Korajczyk and Ronnie Sadka, “Are Momentum Profits Robust to Trading Costs?” The Journal of Finance 59 (2004): 1039–1082.
-
-11. Andrea Frazzini, Ronen Israel, and Tobias J. Moskowitz, “Trading Costs of Asset Pricing Anomalies,”working paper, 2015.
-
-12. Gregg Fisher, Ronnie Shah, and Sheridan Titman, “Combining Value and Momentum,” Journal of Investment Management, forthcoming.
-
-
-
-
 
 CHAPTER Maximizing Momentum: The Path Matters
 
@@ -3748,63 +1805,6 @@ The underlying assumption is that investors identify stocks with extreme returns
 
 An example can shed light on how the authors classify a stock as having lottery-like characteristics. Pretend it is January 31, 2017, and our universe consists of two stocks, Fast Money Inc. and Boring Money Inc. (Tickers: FAST and SLOW, respectively). We form a long/short portfolio on February 1 that exploits the fact that investors overpay for lotteries. We identify that FAST has a maximum daily return of 50 percent in the past month and SLOW has a maximum daily return of 1 percent. Therefore, our portfolio on February 1 will be short FAST (a lottery stock) and long SLOW (a non-lottery stock).
 
-Table 6.1 summarizes the results from their paper highlighting the average monthly returns of 10 portfolios ranked on their MAX ranking, which is TABLE 6.Lottery Stock Results Avg. Monthly
-
-4-Factor
-
-Return
-
-Alpha (VW
-
-Average
-
-(VW Portfolio)
-
-Portfolio)
-
-MAX
-
-Boring (1)
-
-1 . 01%
-
-0 . 1 . 2
-
-1 . 00%
-
-0 . 2 . 3
-
-1 . 00%
-
-0 . 3 . 4
-
-1 . 11%
-
-0 . 4 . 5
-
-1 . 02%
-
-0 . 4 . 6
-
-1 . 16%
-
-0 . 5 . 7
-
-1 . 00%
-
-0 . 7 . 8
-
-0 . 86%
-
-–0 . 9 . 9
-
-0 . 52%
-
-–0 . 12 . Lottery (10) –0 . 02%
-
-–1 . 23 . Long/Short (1–10) 1 . 03%
-
-1 . QUANTITATIVE MOMENTUM
 
 the maximum daily return over the past month. The top decile (“10”) represents “lottery” stocks and the bottom decile (“1”) reflects the “boring”
 
@@ -3814,81 +1814,7 @@ Not too shabby! A portfolio that buys boring stocks and shorts lottery stocks ge
 
 Lottery bias may also help explain the so-called beta anomaly. Academic research has documented that low beta stocks tend to outperform high beta stocks.4 This finding is remarkable and is considered anomalous because a central prediction of theoretical asset pricing models is that stocks exposed to more market risk (i.e., high beta) should have higher expected returns than stocks with lower market risk (i.e., low beta). A working paper by Bali et al.5 examines the relationship between beta and lottery demand. Specifically, they try and understand how investor preferences for lotteries may explain the beta anomaly. We summarize some data from the Bali et al. paper and present the results in Table 6.2.
 
-Table 6.2 tabulates results associated with portfolios that sort stocks into 10 deciles based on beta, and then within each decile, sorts the portfolios TABLE 6.Average Monthly Returns Sorting Stocks on Beta and the “Lottery”
-
-Ranking
-
-Low BetaDecile
-
-High BetaDecile
-
-Boring (1)
-
-0 . 35%
-
-1 . 04%
-
-2
-
-0 . 75%
-
-0 . 86%
-
-3
-
-0 . 73%
-
-0 . 82%
-
-4
-
-0 . 85%
-
-0 . 77%
-
-5
-
-0 . 95%
-
-0 . 69%
-
-6
-
-0 . 97%
-
-0 . 46%
-
-7
-
-1 . 03%
-
-0 . 15%
-
-8
-
-0 . 91%
-
-0 . 06%
-
-9
-
-0 . 46%
-
-–0 . 31%
-
-Lottery (10)
-
-–0 . 01%
-
-–1 . 07%
-
-Long/Short (1–10)
-
-–0 . 36%
-
-–2 . Long/Short Alpha (4-factor) –0 . 83%
-
-–2 . 14%
+T
 
 Maximizing Momentum: The Path Matters based on their “lottery” ranking. We show the results to the top and bottom beta deciles for expositional purposes. On average, high beta stocks underperform relative to low beta stocks, which reflects the so-called “low beta anomaly.” But this average result is inconsistent across lottery ranking. Low beta boring stocks earn less than high beta boring stocks, which is in line with finance theory that suggests high beta stocks are riskier than low beta stocks and should therefore earn higher expected returns. The real anomalous results associated with the low beta effect are driven by stocks with lottery characteristics. The lottery characteristic is especially powerful among high beta stocks. For example, within the high beta decile, there is a monotonically decreasing relationship on the average returns as the “lottery” ranking increases. The authors explore this issue further and conduct testing to determine if lottery demand can explain why high beta stocks perform so poorly relative to low beta stocks. What they find is not too surprising, given what we know about the human mind: The lottery characteristic associated with high beta stocks is a key driver of these stocks’ poor performance. (Lottery bias also goes a long way towards explaining the low beta anomaly, but this is a discussion for another day.) But back to momentum strategies and why the research on lottery-like stocks is important. Based on the evidence discussed in the original “Maxing Out” paper, it appears investors are better off avoiding stocks with lottery characteristics. We should incorporate this knowledge into our algorithm when deciding which high-momentum stocks we want to purchase.6 And almost by design, high-momentum stocks with smoother momentum paths will be less prone to lottery bias mispricing than stocks with jumpier paths.
 
@@ -3928,69 +1854,7 @@ The results are astonishing. Over a six-month holding period, long-short momentu
 
 We know from prior analysis in Chapter 5 that higher frequency rebalancing translates into better performance for momentum strategies. The authors examine this question in their paper. Figure 6.3 shows the monthly TABLE 6.Frog-in-the-pan Results to Long/Short Momentum Portfolios Return
 
-3-Factor Alpha
 
-Discrete
-
-–2.07%
-
-–2.01%
-
-2
-
-0.64%
-
-3.53%
-
-3
-
-3.12%
-
-5.05%
-
-4
-
-4.36%
-
-6.71%
-
-Continuous
-
-5.94%
-
-8.77%
-
-Continuous–Discrete
-
-8.01%
-
-10.78%
-
-QUANTITATIVE MOMENTUM
-
-Three-factor Alpha
-
-Continuous
-
-Discrete
-
-3.00%
-
-2.50%
-
-2.00%
-
-1.50%
-
-1.00%
-
-0.50%
-
-0.00%
-
-–0.50%
-
-–1.00%
 
 FIGURE 6.Frog-in-the-Pan Portfolio Alphas alpha estimates to the long/short momentum portfolios (for both continuous and discrete information) from 1 to 10 months after portfolio formation.
 
@@ -4026,97 +1890,6 @@ Using our own laboratory conditions, we replicate the nature of the findings fro
 
 QUANTITATIVE MOMENTUM
 
-TABLE 6.Quality of Momentum Portfolio Annual Results High-Quality Low-Quality Generic
-
-Momentum
-
-Momentum
-
-Momentum
-
-SP500
-
-CAGR
-
-17 . 14%
-
-13 . 02%
-
-15 . 56%
-
-9 . 95%
-
-Standard Deviation
-
-23 . 45%
-
-25 . 16%
-
-23 . 61%
-
-19 . 09%
-
-Downside Deviation
-
-16 . 98%
-
-18 . 71%
-
-17 . 42%
-
-14 . 22%
-
-Sharpe Ratio
-
-0 . 0 . 0 . 0 . Sortino Ratio (MAR = 5%) 0 . 0 . 0 . 0 . Worst Drawdown –74 . 60%
-
-–77 . 44%
-
-–73 . 90%
-
-–84 . 59%
-
-Worst Month Return
-
-–29 . 23%
-
-–34 . 71%
-
-–30 . 00%
-
-–28 . 73%
-
-Best Month Return
-
-30 . 63%
-
-37 . 15%
-
-33 . 88%
-
-41 . 65%
-
-Profitable Months
-
-62 . 50%
-
-61 . 08%
-
-61 . 84%
-
-61 . 74%
-
-Value of $100 Invested (Log Scale) High-Quality Momentum
-
-Low-Quality Momentum
-
-Generic Momentum
-
-SP$1,000,000,$100,000,$10,000, $1,000,$100,$10,$1,$$$1/1/19272/1/11/1/10/1/9/1/19468/1/19517/1/6/1/19615/1/4/1/19713/1/2/1/1/1/12/1/11/1/10/1/20009/1/8/1/FIGURE 6.Quality of Momentum Portfolio Returns that the generic momentum effect is driven by high-quality momentum and diluted by low-quality momentum. The spread between high-quality and low-quality momentum is large: over a multidecade time period (1927–2014) the spread between the high (column 1) and low (column 2) quality momentum portfolios is over 4 percent a year! This spread can be seen visually in Figure 6.4. The high-quality momentum portfolio also has better risk-adjusted returns (Sharpe and Sortino ratios) as well as lower drawdowns. While all the momentum strategies outperform the S&P
-
-
-
-
 
 Maximizing Momentum: The Path Matters (before fees), our key takeaway is that an effective momentum strategy must consider the path by which stocks get their momentum.
 
@@ -4128,43 +1901,7 @@ To confirm their hypothesis, the authors provide evidence that high momentum sto
 
 ■ Exploit limited attention, which leads to systematic underreaction.
 
-NOTES
 
-1. Zhi Da, Umit G. Gurun, and Mitch Warachka, “Frog in the Pan: Continuous Information and Momentum,” The Review of Financial Studies 27 (2014): 2171–2218 .
-
-2. Nicholas Barberis, “A Model of Casino Gambling,” Management Science (2012): 35–51.
-
-3. Turan G. Bali, Nustret Cakici, and Robert F. Whitelaw, “Maxing Out: Stocks as Lotteries and the Cross-section of Expected Returns,” Journal of Financial Economics 99 (2011): 427–446.
-
-4. Andrea Frazzini and Lasse Heje Pedersen, “Betting Against Beta,” Journal of Financial Economics 111 (2014): 1–25.
-
-QUANTITATIVE MOMENTUM
-
-5. Turan G. Bali, Stephen Brown, Scott Murry, and Yi Tang, “Betting Against Beta or Demand for Lottery?” Working paper, 2016.
-
-6. Heiko Jacobs, Tobias Regele, and Martin Weber, “Expected Skewness and Momentum” Working paper , 2015.
-
-7. Francesca Gina and Max H. Bazerman, “When Misconduct Goes Unnoticed: The Acceptability of Gradual Erosion in Others’ Ethical Behavior,” Journal of Experimental Social Psychology 45 (2009): 708–719.
-
-8. Da, Gurun, Warachka.
-
-9. Nicholas Barberis, Andrei Shleifer, and Robert Vishny, “A Model of Investor Sentiment,” Journal of Financial Economics 49 (1998): 307–343.
-
-10. Narasimhan Jegadeesh and Sheridan Titman, “Return to Buying Winners and Selling Losers: Implications for Stock Market Efficiency,” The Journal of Finance 48 (1993): 65–91.
-
-11. Harrison Hong, Terence Lim, and Jeremy C. Stein, “Bad News Travels Slowly: Size, Analyst Coverage, and the Profitability of Momentum Strategies,” The Journal of Finance 55 (2000): 265–295.
-
-12. Hersh Shefrin and Meir Statman, “The Disposition to Sell Winners Too Early and Ride Losers Too Long: Theory and Evidence,” The Journal of Finance (1985): 777–790.
-
-13. Justin Birru, “Confusion of Confusions: A Test of the Disposition Effect and Momentum,” The Review of Financial Studies 28 (2015): 1849–1873.
-
-14. Andrea Frazzini, “The Disposition Effect and Underreaction to News,” The Journal of Finance 61 (2006): 2017–2046.
-
-15. Charles M.C. Lee and Bhaskaran Swaminathan, “Price Momentum and Trading Volume,” The Journal of Finance 55 (2000): 2017–2069.
-
-16. To determine mid/large cap classifications we use the 40th percentile for market capitalization based on the sample of NYSE listed firms.
-
-17. Portfolios formed by equal-weighting yield even stronger conclusions.
 
 
 
@@ -4260,36 +1997,6 @@ If we combine both the window-dressing and tax-minimization hypotheses, we shoul
 
 Richard Sias tests all of the concepts outlined above. He finds strong evidence to support the notion that momentum is a highly seasonal anomaly.To assess momentum profits, Sias forms long/short portfolios that are long the top decile of stocks with the strongest past six-month holding period and short the decile of stocks with the weakest past six-month holding periods.
 
-Figure 7.1 showcases his long/short portfolio results.
-
-Momentum Investors Need to Know Their Seasons Average Monthly Momentum Profits 1984 to 2004
-
-3.50%
-
-3.00%
-
-2.50%
-
-2.00%
-
-1.50%
-
-1.00%
-
-0.50%
-
-0.00%
-
-All Months
-
-Non-Quarter-Ending Months ex January All Months ex January
-
-Quarter-Ending Months
-
-FIGURE 7.Momentum Seasonality from 1984 to Across all months, the average monthly profit from 1984 to 2004 is 0.percent per month, or roughly 5.4 percent a year. If one excludes January (“ex January,” in Figure 7.1), the portfolio earns 1.50 percent a month, or approximately 18 percent a year. January clearly matters, but so do quarter ending months. Momentum profits for quarter ending months average 3.10 percent a month, whereas non-quarter-ending months (excluding January) are 0.59 percent a month—a five-fold difference! And the pattern was stronger for stocks with high levels of institutional trading (where window-dressing incentives are highest) and was particularly strong in December (where tax incentives are strongest). The evidence is illuminating: Anyone devising a momentum strategy should incorporate aspects of seasonality into their algorithm. The results to long/short momentum portfolios in Figure 7.1 are in line with the window dressing and tax minimization hypotheses—near the end of a quarter, managers window dress their portfolios, so winning stocks do well (because they are being bought) while losing stocks do poorly (because they are being sold), and December has the strongest momentum returns across all months with an average monthly profit of 5.52 percent (reflecting both window dressing and tax pressures).
-
-
-
 
 
 QUANTITATIVE MOMENTUM
@@ -4309,103 +2016,7 @@ Quarter-ending months generally have the highest returns when comparing the low
 
 High Momentum
 
-Spread (High – Low)
 
-January
-
-2 . 91%
-
-1 . 19%
-
-–1 . 72%
-
-February
-
-–0 . 24%
-
-1 . 65%
-
-1 . 89%
-
-March
-
-0 . 13%
-
-1 . 86%
-
-1 . 73%
-
-April
-
-1 . 33%
-
-1 . 85%
-
-0 . 53%
-
-May
-
-0 . 09%
-
-0 . 82%
-
-0 . 73%
-
-June
-
-0 . 01%
-
-1 . 56%
-
-1 . 55%
-
-July
-
-1 . 77%
-
-1 . 21%
-
-–0 . 56%
-
-August
-
-1 . 96%
-
-1 . 34%
-
-–0 . 62%
-
-September
-
-–1 . 63%
-
-–0 . 20%
-
-1 . 44%
-
-October
-
-–0 . 54%
-
-0 . 75%
-
-1 . 28%
-
-November
-
-0 . 67%
-
-2 . 39%
-
-1 . 71%
-
-December
-
-0 . 19%
-
-2 . 95%
-
-2 . 76%
 
 Momentum Investors Need to Know Their Seasons dressing hypothesis because institutions have a low incentive to window dress until later in the calendar year.
 
@@ -4413,176 +2024,7 @@ We can more easily visualize the spread between the high momentum average monthl
 
 Our replication and extended analysis of the Sias results give us confidence in the robustness of the original results (we conduct our tests on international data and come to similar conclusions). Now we need to identify how we can take this knowledge and leverage it for a momentum strategy. On one hand, we know that January is a large “negative” month for momentum and should be avoided, but do we really want to sell all our high momentum stocks at the end of December, buy all the low momentum stocks before January, and then rebalance back into high momentum before February? In theory, this activity would make sense, but in practice this activity would likely be difficult due to market liquidity and frictional costs.
 
-Our own analysis of frictional costs and market liquidity suggest that exploiting the December to January momentum effects are unrealistic for a reasonably sized portfolio, so we’ll punt on this idea, but we can still exploit momentum seasonality. We can build our system to take advantage of quarter-ending window dressing as well as tax-induced incentives at Spread (High Momentum - Low Momentum) 3.00%
-
-2.50%
-
-2.00%
-
-1.50%
-
-1.00%
-
-0.50%
-
-0.00%
-
-y
-
-y
-
-il
-
-y
-
-ch
-
-ne
-
-ly
-
-Ju
-
-–0.50%
-
-uar
-
-uar
-
-Apr
-
-Ma
-
-Ju
-
-Mar
-
-ober
-
-Jan
-
-August
-
-ember
-
-Febr
-
-Oct
-
-vember
-
-Sept
-
-No
-
-December
-
-–1.00%
-
-–1.50%
-
-–2.50%
-
-FIGURE 7.Momentum Spread from 1974 to QUANTITATIVE MOMENTUM
-
-year-end. But how do we exploit this knowledge? Because momentum profits are largest in quarter-ending months, and this is likely driven by managers who are window dressing their portfolio, we hypothesize that rebalancing before these quarter-ending months will yield the highest returns.
-
-We test our hypothesis that smart rebalancing that exploits seasonality effects can improve a momentum strategy. Recall from Chapters 5 and 6 that we examine the results to momentum portfolios using overlapping portfolios with a three-month holding period. To remind the reader, overlapping portfolios work as follows: We are standing at the end of the month on December 31, 2014. We calculate a generic momentum metric and use one-third of our capital to buy high-momentum stocks. These stocks stay in the portfolio until March 31, 2015. On January 31, 2015, a month later, we use another one-third of our capital to buy high-momentum stocks based on momentum rankings on January 31, 2015. These stocks stay in the portfolio until April 30, 2015. On February 28, 2015, a month later, we use another one-third of our capital to buy high momentum stocks. These stocks stay in the portfolio until May 31, 2015. This process repeats every month and creates the overlapping portfolio effect. And the returns to the overlapping portfolios reflect a blend of the underlying portfolios being managed with the overlapping portfolio, which minimizes seasonal effects.
-
-Of course, in a test for seasonality and momentum, creating overlapping portfolios—which are formed to minimize seasonal effects—is not the correct approach. If we are deliberately trying to take advantage of seasonal effects, we can examine quarterly nonoverlapping portfolios formed before quarter-ending months. This portfolio formation is more intuitive to many outside of academic research and has the ability to exploit quarterly momentum effects. Specifically, we assume we trade the nonoverlapping seasonal momentum portfolio at the end of February, May, August, and November to exploit the known momentum profits associated with March, June, September, and December. We hold this nonoverlapping portfolio for three months, which means there are four rebalances per year. We compare the performance of this portfolio against other nonoverlapping portfolios that do not rebalance before quarter end months. Our hypothesis is that the nonoverlapping quarterly rebalanced portfolio that exploits momentum seasonality benefits will perform better than the other portfolio constructs that are seasonality agnostic.
-
-Like prior tests, we only examine mid-and large-capitalization stocks and portfolios are formed by value-weighting the firms. The analysis is from March 1, 1927, through December 31, 2014.25 We follow the process from Chapter 5, which is to (1) sort stocks based on their cumulative 12-month past returns (ignoring the most recent month) and (2) examine the top decile based on their past returns.
-
-Momentum Investors Need to Know Their Seasons TABLE 7.Seasonality of Momentum Portfolio Annual Results Smart
-
-Average
-
-Dumb
-
-Agnostic
-
-Rebalance
-
-Rebalance
-
-Rebalance
-
-Rebalance
-
-CAGR
-
-15 . 97%
-
-15 . 65%
-
-15 . 06%
-
-15 . 49%
-
-Standard Deviation
-
-23 . 99%
-
-23 . 96%
-
-23 . 90%
-
-23 . 62%
-
-Downside Deviation
-
-17 . 93%
-
-17 . 56%
-
-17 . 70%
-
-17 . 43%
-
-Sharpe Ratio
-
-0 . 0 . 0 . 0 . Sortino Ratio (MAR = 5%) 0 . 0 . 0 . 0 . Worst Drawdown –74 . 19%
-
-–73 . 35%
-
-–77 . 43%
-
-–73 . 90%
-
-Worst Month Return
-
-–30 . 09%
-
-–31 . 01%
-
-–30 . 45%
-
-–30 . 00%
-
-Best Month Return
-
-32 . 35%
-
-39 . 53%
-
-31 . 15%
-
-33 . 88%
-
-Profitable Months
-
-62 . 71%
-
-62 . 14%
-
-62 . 14%
-
-61 . 86%
-
-In Table 7.2, we examine the results to the strategy outlined above, by varying the rebalance period, using these four portfolios: ■ Smart Rebalance: The smartest seasonality rebalanced portfolio. This portfolio is rebalanced on the close of trading in February, May, August, and November.
-
-■
-
+O
 Average Rebalance: This portfolio is rebalanced on the close of trading in January, April, July, and October.
 
 ■ Dumb Rebalance: The least seasonality smart portfolio. This portfolio is rebalanced on the close of trading in December, March, June, and September.
@@ -4600,68 +2042,7 @@ The results in Table 7.2 confirm our hypothesis that momentum seasonality can be
 QUANTITATIVE MOMENTUM
 
 
-SUMMARY
-
-In this chapter, we explore two institutional behaviors that potentially drive seasonality effects in the stock market: window dressing and tax minimization. Next, we highlight research that maps these two incentives to the profitability of momentum. Finally, we conduct our own analysis of seasonality and momentum profits. We end with an analysis of different rebalancing techniques and how they affect the profitability of generic momentum strategies. Our key takeaway is that an investor can exploit the seasonality of momentum profits by developing a rebalance program that is designed to maximize performance.
-
-NOTES
-
-1. Robert Novy-Marx, “Predicting Anomaly Performance Politics, the Weather, Global Warming, Sunspots, and the Stars,” Journal of Financial Economics (2014): 137–146.
-
-2. Ibid.
-
-3. Cherry Zhang and Ben Jacobsen, “Are Monthly Seasonals Real? A Three Century Perspective,” Review of Finance 17 (2013): 1743–1785.
-
-4. Matti Keloharju, Juhani Linnainmaa, and Peter Nyberg, 2016, “Return Seasonalities,” The Journal of Finance, 71 (2016): 1557–1590.
-
-5. Richard Sias, “Causes and Seasonality of Momentum Profits,” Financial Analysts Journal 63 (2007): 48–54.
-
-6. Edwin W. Kemmerer, “Seasonal Variations in the New York Money Market,”
-
-American Economic Review 1 (1911): 33–49.
-
-7. Gang Hu, David McLean, Jeff Pontiff, and Qinghai Wang, “The Year-End Trading Activities of Institutional Investors: Evidence from Daily Trades,” The Review of Financial Studies 27 (2014): 1593–1614.
-
-8. Marcin Kacperczyk, Clemens Sialm and Lu Zheng, “Unobserved Actions of Mutual Funds,” The Review of Financial Studies 21 (2008): 2379–2416.
-
-9. David H. Solomon, Eugene Soltes, and Denis Sosyura, “Winners in the Spotlight: Media Coverage of Fund Holdings as a Driver of Flows,” Journal of Financial Economics 113 (2014): 53–72.
-
-10. Jia He, Lilian Ng, and Qinghai Wang, “Quarterly Trading Patterns of Financial Institutions,” The Journal of Business 77 (2004): 493–509.
-
-11. Vikas Agarwal, Gerald Gay, and Leng Ling, “Window Dressing in Mutual Funds,” The Review of Financial Studies 27 (2014): 3133–3170.
-
-12. Sidney B. Wachtel, “Certain Observations on Seasonal Movements in Stoc Prices,” The Journal of Business of the University of Chicago 15 (1942): 184–193.
-
-13. Michael S. Rozeff and William R. Kinney, Jr., “Capital Market Seasonality: The Case of Stock Returns,” Journal of Financial Economics 3 (1976): 379–402.
-
-Momentum Investors Need to Know Their Seasons 14. Andrew Szakmary and Dean Kiefer, “The Disappearing January/Turn of the Year Effect: Evidence form Stock Index Futures and Cash Markets,” Journal of Futures Markets 24 (2004): 755–784.
-
-15. Richard Roll, “Vas Ist Das?,” The Journal of Portfolio Management 9 (1983): 18–28.
-
-16. Donald B. Keim, “Size-related Anomalies and Stock Return Seasonality,” Journal of Financial Economics 12 (1983): 13–32.
-
-17. Marc Reinganum, “The Anomalous Stock Market Behavior of Small Firms in January,” Journal of Financial Economics 12 (1983): 89–104.
-
-18. Honghui Chen and Vijay Singal, “All Things Considered, Taxes Drive the January Effect,” The Journal of Financial Research 27 (2004): 351–372.
-
-19. Mark Grinblatt and Tobias J. Moskowitz, “Predicting Stock Price Movements from Past Returns: The Role of Consistency and Tax-Loss Selling,” Journal of Financial Economics 71 (2004): 541–579.
-
-20. Jay R. Ritter, “The Buying and Selling Behavior of Individual Investors at the Turn of the Year,” The Journal of Finance 43 (1988): 701–717.
-
-21. James Poterba and Scott Weisbenner, “Capital Gains Tax Rules, Tax-Loss Trading, and Turn-of-the-Year Returns,” The Journal of Finance 56 (2001): 353–368.
-
-22. Richard Sias and Laura Starks, “Institutions and Individuals at the Turn-of-the-Year,” The Journal of Finance 52 (1997): 1543–1562.
-
-23. Philip Brown, Donald Keim, Allan Kleidon and Terry Marsh, 1983, “Stoc Return Seasonalities and the Tax-Loss Selling Hypothesis,” Journal of Financial Economics 12 (2001): 105–127.
-
-24. Richard Sias, 48–54.
-
-25. In order to facilitate the “Smart Rebalance” portfolio, we lose January and February of 1927, so the start date changes from January 1, 1927, to March 1, 1927.
-
-
-
-
-
+S
 CHAPTER Quantitative Momentum Beats the Market
 
 
@@ -4774,75 +2155,6 @@ Table 8.2 shows that the quantitative momentum strategy generated a compound ann
 
 The quantitative momentum portfolio achieved this return with a much higher volatility than the benchmark portfolio, which is to be expected because the portfolio is more concentrated than the passive benchmark (i.e., averages 43.9 stocks over the time period) and the strategy is designed to QUANTITATIVE MOMENTUM
 
-TABLE 8.VW Quantitative Momentum Performance (1927–2014) Generic
-
-Quantitative
-
-Momentum
-
-S&P 500
-
-Momentum (Net)
-
-(Net)
-
-Index
-
-CAGR
-
-15 . 80%
-
-13 . 45%
-
-9 . 92%
-
-Standard Deviation
-
-23 . 89%
-
-23 . 62%
-
-19 . 11%
-
-Downside Deviation
-
-17 . 56%
-
-17 . 44%
-
-14 . 22%
-
-Sharpe Ratio
-
-0 . 0 . 0 . Sortino Ratio (MAR = 5%) 0 . 0 . 0 . Worst Drawdown –76 . 97%
-
-–75 . 81%
-
-–84 . 59%
-
-Worst Month Return
-
-–31 . 91%
-
-–30 . 15%
-
-–28 . 73%
-
-Best Month Return
-
-31 . 70%
-
-33 . 73%
-
-41 . 65%
-
-Profitable Months
-
-63 . 00%
-
-61 . 39%
-
-61 . 76%
 
 be difficult to follow. Quantitative momentum had a standard deviation of 23.89 percent against the passive S&P 500 benchmark volatility measure of 19.11 percent. Despite the enhanced volatility, the risk-adjusted parameters are still favorable for the quantitative momentum strategy. The strategy has a Sharpe ratio of 0.60, considerably better than the S&P 500 Sharpe ratio of 0.41. The strategy also has a higher downside volatility, with downside deviation at 17.56 percent to the benchmark’s 14.22 percent. However, the higher returns compensate for the higher downside volatility, leading to an exceptional Sortino ratio of 0.72 for the quantitative momentum strategy, against 0.44 for the benchmark.
 
@@ -4858,82 +2170,6 @@ Consider Figure 8.2, which shows the cumulative performance of the quantitative
 
 Quantitative Momentum Beats the Market Value of $100 Invested (Log Scale) Quantitative Momentum (Net) Generic Momentum (Net)
 
-SP$100,000,$10,000,$1,000,$100,$10,$1,$$$2/1/1/1/12/1/11/1/10/1/9/1/8/1/7/1/6/1/5/1/4/1/3/1/2/1/1/1/12/1/11/1/10/1/9/1/FIGURE 8.Cumulative Value for Quantitative Momentum (1927–2014) TABLE 8.CAGR Across Different Decades Quantitative
-
-Generic
-
-S&P 500
-
-Momentum (Net)
-
-Momentum (Net)
-
-Index
-
-1930–1939
-
-3 . 08%
-
-1 . 64%
-
-–1 . 34%
-
-1940–1949
-
-11 . 01%
-
-11 . 85%
-
-9 . 15%
-
-1950–1959
-
-24 . 98%
-
-21 . 31%
-
-19 . 42%
-
-1960–1969
-
-20 . 50%
-
-18 . 26%
-
-7 . 84%
-
-1970–1979
-
-13 . 93%
-
-13 . 21%
-
-5 . 83%
-
-1980–1989
-
-24 . 48%
-
-17 . 38%
-
-17 . 61%
-
-1990–1999
-
-36 . 48%
-
-30 . 21%
-
-18 . 37%
-
-2000–2009
-
-–3 . 58%
-
-–4 . 88%
-
-–0 . 68%
-
 Figure 8.2 illustrates the effects of compounding an edge over a long period of time. The quantitative momentum portfolio’s small advantage leads to a jaw-dropping spread relative to the passive benchmark.
 
 Table 8.3 shows the compound annual growth rates (CAGR) of the quantitative momentum portfolio and the competition over different decades. The intent of this test is to examine the robustness of performance across time.
@@ -4953,55 +2189,6 @@ Risk Analysis
 As the previous analysis emphasizes, the power of momentum is an ability to generate outsize returns that dwarf returns associated with passive benchmarks. Unfortunately, outsized expected returns deliver enhanced risks. The risk and reward trade-off for momentum is still favorable, but not acknowledging the increased risk would be intellectually dishonest and set up a prospective momentum investor with the improper expectations. We examine the risks associated with quantitative momentum in the analysis that follows.
 
 
-
-5-Year Rolling CAGRs
-
-Quantitative Momentum (Net) Generic Momentum
-
-SP70.00%
-
-60.00%
-
-50.00%
-
-40.00%
-
-30.00%
-
-20.00%
-
-10.00%
-
-0.00%
-
-2/1/19325/1/2/1/8/1/5/1/11/1/8/1/2/1/11/1/5/1/2/1/8/1/5/1/11/1/8/1/2/1/11/1/5/1/2/1/8/1/5/1/11/1/8/1/2/1/11/1/5/1/2/1/8/1/5/1/11/1/8/1/2/1/11/1/5/1/2/1/8/1/5/1/11/1/8/1/2/1/11/1/5/1/2/1/8/1/5/1/11/1/8/1/2/1/11/1/5/1/2/1/–10.00%
-
-–20.00%
-
-–30.00%
-
-FIGURE 8.3a
-
-Five-Year Rolling CAGR for Quantitative Momentum
-
-10-Year Rolling CAGRs Quantitative Momentum (Net) Generic Momentum (Net)
-
-SP50.00%
-
-40.00%
-
-30.00%
-
-20.00%
-
-10.00%
-
-0.00%
-
-2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/–10.00%
-
-FIGURE 8.3b
-
 Ten-Year Rolling CAGR for Quantitative Momentum Quantitative Momentum Beats the Market Our risk analysis focuses on maximum drawdowns. The maximum drawdown is defined as the maximum peak to trough loss associated with a time series. Maximum drawdown captures the worst possible performance scenario experienced by a buy and hold investor dedicated to a specific strategy. The intuition behind maximum drawdown is simple: How much can I lose?
 
 Figure 8.4 shows the summary drawdown performance of quantitative momentum across commonly assessed horizons of one month, one year, and three years.
@@ -5016,368 +2203,6 @@ Drawdown Analysis
 
 Quantitative Momentum (Net) Generic Momentum (Net)
 
-SP0%
-
-–10%
-
-–20%
-
-–30%
-
-–40%
-
-–50%
-
-–60%
-
-–70%
-
-–80%
-
-–90%
-
-MaxDD
-
-Monthly
-
-12-Month
-
-36-Month
-
-FIGURE 8.Summary Drawdown Analysis
-
-5-Year Rolling MAXDD
-
-Quantitative Momentum (Net) Generic Momentum (Net)
-
-SP0.00%
-
-2/1/5/1/8/1/11/1/2/1/5/1/8/1/11/1/2/1/5/1/8/1/–10.00%
-
-11/1/2/1/5/1/8/1/11/1/2/1/5/1/8/1/11/1/2/1/5/1/8/1/11/1/2/1/5/1/–20.00%
-
-–30.00%
-
-–40.00%
-
-–50.00%
-
-–60.00%
-
-–70.00%
-
-–80.00%
-
-–90.00%
-
-FIGURE 8.5a
-
-Five-Year Rolling Max Drawdown for Quantitative Momentum
-
-10-Year Rolling MAXDD
-
-Quantitative Momentum (Net) Generic Momentum (Net)
-
-SP0.00%
-
-2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/–10.00%
-
-–20.00%
-
-–30.00%
-
-–40.00%
-
-–50.00%
-
-–60.00%
-
-–70.00%
-
-–80.00%
-
-–90.00%
-
-FIGURE 8.5b
-
-Ten-Year Rolling Max Drawdown for Quantitative Momentum QUANTITATIVE MOMENTUM
-
-The rolling drawdown analysis shows that the strategy suffers drawdowns that can be larger than the competition. For example, in the after-math of the Internet bubble, quantitative momentum took it on the chin, especially compared to the broad index. Similarly, in the 2008 financial crisis, the quantitative momentum portfolio was hit a bit harder than the broad index.
-
-Finally, we end our analysis with an assessment of the relative performance of quantitative momentum during the strategy’s worst drawdowns. We compare the quantitative momentum drawdowns to the performance of the passive index over the same time period. This analysis gives us insight into the tail-risk correlations between the quantitative momentum strategy and the passive market. Table 8.4 highlights two points: First, quantitative momentum is a long-only equity strategy with huge drawdowns. Second, the drawdowns are correlated with general market drawdowns. Overall, the quantitative momentum portfolio will have large drawdowns and periods of underperformance, and one should expect this at the outset.
-
-Robustness Analysis
-
-In this section, we examine a variety of tests that look at a strategy from different angles so that we can gain insight into the big picture and ascertain that the summary statistics reflect a broad reality that is not driven by extreme outliers.
-
-We first analyze market cycle performance of the quantitative momentum strategy compared to the other strategies over a variety of bull and bear markets since 1927. Table 8.5 shows the dates used to calculate market cycle returns.
-
-TABLE 8.Top 10 Drawdown Analysis Rank
-
-Date Start
-
-Date End
-
-Quantitative Momentum S&P 500TR Index
-
-1/31/5/31/–76.97%
-
-–80.67%
-
-2/29/2/28/–68.14%
-
-–35.14%
-
-6/30/2/28/–62.12%
-
-–40.82%
-
-3/31/3/31/–52.99%
-
-–51.11%
-
-12/31/9/30/–38.68%
-
-–42.73%
-
-11/30/6/30/–34.57%
-
-–21.97%
-
-5/31/6/30/–31.69%
-
-–13.77%
-
-9/30/11/30/–30.88%
-
-–28.00%
-
-4/30/4/30/–30.81%
-
-–26.52%
-
-11/30/6/30/–27.23%
-
-–29.23%
-
-Quantitative Momentum Beats the Market TABLE 8.Market Cycle Definitions Month Begin
-
-Month End
-
-Bear
-
-September-July-Bull
-
-June-February-Bear
-
-November-May-Bull
-
-May-December-Bear
-
-January-September-Bull June-December-Bear
-
-July-December-Bull
-
-December-June-Bear
-
-March-September-Bull
-
-October-July-Bear
-
-August-February-Bull
-
-March-December-Market Cycle Performance Quantitative Momentum (Net) Generic Momentum (Net)
-
-SP250%
-
-200%
-
-150%
-
-100%
-
-50%
-
-0%
-
-–50%
-
-–100%
-
-–12/Bear: 9/1929–7/Bull: 6/1962–2/Bear: 11/1968–5/Bull: 5/Bear: 1/1973–9/Bull: 6/1982–12/Bear: 7/1987–12/Bull: 12/1987–6/Bear: 3/2000–9/Bull: 10/2001–7/Bear: 8/2008–2/Bull: 3/2009–12/FIGURE 8.Market Cycle Performance for Quantitative Momentum Figure 8.6 demonstrates that, on average, the strategy performed similar to the S&P 500 in bear markets and outperformed the S&P 500 in bull markets. Again, relative losses to the S&P 500 appear in the most recent bear and bull markets. There are surely commentators that claim “momentum is dead.” Great, we hope this commentary continues. While the strategy may occasionally struggle for short—or even long—periods of time, momentum systems provide a high chance of expected outperformance through a full market cycle.
-
-QUANTITATIVE MOMENTUM
-
-Short-Term Event Stress Tests Quantitative Momentum (Net) Generic Momentum (Net)
-
-SP200%
-
-150%
-
-100%
-
-50%
-
-0%
-
-–50%
-
-–100%
-
-'98)
-
-'98)
-
-'00)
-
-'01)
-
-'09)
-
-'97 - Aug
-
-'99 - Mar
-
-'00 - Sep
-
-'08 - Feb
-
-October 187 Crash
-
-Asian Crisis (Aug LTCM/Russian Default (Aug Credit Crunch (Sep
-
-NASDAQ Run Up (Jan
-
-NASDAQ Melt Down (Apr
-
-FIGURE 8.Short-Term Stress Event Tests for Quantitative Momentum Figure 8.7 shows the relative performances during recent short-term stress events of the quantitative momentum strategy and the other strategies. This analysis examines how a strategy tends to perform through extraordinary short-term market events. The model shows strong performance compared to the other S&P 500 during the NASDAQ run-up, but underperformance in the NASDAQ crash in 1998 and the financial crisis.
-
-Figures 8.8a and 8.8b show the rolling 5-and 10-year alpha for the strategy. Alpha analysis is typically found in quantitative research articles published in academic journals. The procedures researchers use to estimate alpha can be complicated, but the idea is simple: How much average excess return does a strategy create after controlling for a variety of risk factors?
-
-To assess robustness, we estimate alpha using several different asset-pricing models. We control for general market risk using the capital asset pricing model;8 we adjust for market, size, and value exposures with the Fama and French three-factor model,9 and we account for momentum using the four-factor model.10,11 All of these factors can be found at Ken French’s website.Figures 8.8a and 8.8b confirm that the quantitative momentum strategy generates relatively consistent alpha estimates on a rolling 5-and 10-year basis, regardless of the asset pricing model we choose. Not surprisingly, the four-factor alpha is the smallest, as this model controls for exposure to generic momentum. On a rolling 5-year basis there are only a few instances where the strategy’s performance does not add value after controlling
-
-5-Year Rolling Alphas CAPM
-
-FF
-
-4-Factor
-
-30.00%
-
-25.00%
-
-20.00%
-
-15.00%
-
-10.00%
-
-5.00%
-
-0.00%
-
-–5.00%
-
-2/1/5/1/2/1/8/1/5/1/11/1/8/1/2/1/11/1/5/1/2/1/8/1/5/1/11/1/8/1/2/1/11/1/5/1/2/1/8/1/5/1/11/1/8/1/2/1/11/1/5/1/2/1/8/1/5/1/11/1/8/1/2/1/11/1/5/1/2/1/8/1/5/1/11/1/8/1/2/1/5/1/8/1/11/1/2/1/5/1/11/1/8/1/2/1/5/1/11/1/2/1/–10.00%
-
-–15.00%
-
-–20.00%
-
-–25.00%
-
-FIGURE 8.8a
-
-Five-Year Rolling Alpha for Quantitative Momentum
-
-10-Year Rolling Alphas CAPM
-
-FF
-
-4-Factor
-
-20.00%
-
-15.00%
-
-10.00%
-
-5.00%
-
-0.00%
-
-2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/2/1/–5.00%
-
-–10.00%
-
-FIGURE 8.8b
-
-Ten-Year Rolling Alpha for Quantitative Momentum Quantitative Momentum Beats the Market TABLE 8.Asset Pricing Coefficient Estimates for Quantitative Momentum Annual Alpha
-
-MKT-RF
-
-SMB
-
-HML
-
-MOM
-
-CAPM
-
-6.30%
-
-
-
-1.02
-
-—
-
-—
-
-—
-
-Three-Factor
-
-7.44%
-
-1.05
-
-
-
-0.17
-
-–0.41
-
-—
-
-Four-Factor
-
-0.85%
-
-1.17
-
-
-
-0.21
-
-–0.16
-
-
-
-0.55
-
-for risk. The 10-year rolling chart tells the story vividly: Over the long-term, quantitative momentum has generally added value for investor portfolios.
-
-In this section, we calculate the formal beta estimates and alpha estimates associated with our kitchen sink of asset pricing models. Table 8.shows the full sample coefficient estimates for the four asset-pricing models. MKT-RF represents the excess return on the market-weight returns of all New York Stock Exchange (NYSE)/American Stock Exchange (AMEX)/NASDAQ stocks. SMB is a long/short factor portfolio that captures exposures to small capitalization stocks. HML is a long/short factor portfolio that controls for exposure to high book value-to-market capitalization stocks. MOM is a long/short factor portfolio that controls for exposure to stocks that have had great performance over the recent year.
-
-The results are tabulated in Table 8.6 and coefficient estimates that are significant at the 5 percent confidence level (two-tailed tests) are bolded.
-
-Table 8.6 suggests that quantitative momentum generates between approximately 6 or 7 percent per year in “alpha,” or performance not explained by exposures to known expected return factors such as the market, size, and value. When including the generic momentum factor, the quantitative momentum portfolio does not provide any significant alpha, but does load positively on the momentum factor (MOM). The alpha analysis suggests that the quantitative momentum strategies stronger performance is related to higher beta exposure than the broader market (MKT-RF beta slightly above 1), the system tends to be exposed to smaller stocks (0.17 and 0.21 on the SMB factor), and very importantly, is not value (HML is –0.41 and –0.16). If we compare the alpha statistics against the generic momentum strategy, the relationship between HML is less negative (i.e., diversification benefits are not as high). Overall, from a factor analysis perspective, quantitative momentum is no better or worse than generic momentum, the strategy is simply different: The strategy delivers a higher beta version of the generic momentum strategy that also has a stronger diversification benefit when coupled with value strategies. While factor analysis is important, we believe this assessment should be coupled with the results presented in Table 8.2, which reflect more customary—and intuitive—analytics.
-
-
-
-
-
 QUANTITATIVE MOMENTUM
 
 
@@ -5393,86 +2218,6 @@ Many of the names listed are well established, but they aren’t necessarily the
 
 Ticker Momentum (% Positive) – (% Negative) International Rectifier Corp.
 
-IRF
-
-66.1%
-
-24.3%
-
-Marriott International Inc.
-
-MAR
-
-62.6%
-
-22.3%
-
-N X P Semiconductors N V
-
-NXPI
-
-61.6%
-
-21.5%
-
-Sandisk Corp
-
-SNDK
-
-39.8%
-
-21.1%
-
-Dr. Pepper Snapple Group Inc.
-
-DPS
-
-47.7%
-
-20.3%
-
-Southwest Airlines Co.
-
-LUV
-
-87.0%
-
-19.1%
-
-Dynegy Inc.
-
-DYN
-
-42.5%
-
-18.3%
-
-Pilgrims Pride Corp New
-
-PPC
-
-73.4%
-
-18.3%
-
-Windstream Holdings Inc.
-
-WIN
-
-44.7%
-
-17.9%
-
-Mallinckrodt Plc.
-
-MNK
-
-77.4%
-
-17.9%
-
-
-
 
 
 Quantitative Momentum Beats the Market these firms are somewhat boring, but their price signals are highlighting that there is a sustained amount of positive news driving their momentum. This group of firms is in contrast to some of the higher profile momentum names that do not make the cut: these include Tesla Motors, Monster Beverage, Amgen, Green Mountain Coffee, and Solarwinds. All of these firms have high momentum, but their path to momentum is more discrete and has come via large short-term spikes in performance.
@@ -5482,7 +2227,7 @@ BEATING THE MARKET WITH QUANTITATIVE MOMENTUM
 
 Momentum is clearly robust and has been studied and documented for many years. The epitome of this sort of research was completed by Chris Geczy and Mikhail Samonov, who confirm momentum’s historical track record via an individual stock dataset that is over 200 years in length, stating “that the momentum effect is not a product of data-mining.”13 In this chapter, we present the results of our quantitative momentum system, which is a reflection of the research and concepts outlined in this book. Our solution does not claim to be the “best” or the most “optimized,” but we do thin our process is reasonable and ties back to behavioral finance in a coherent and logical way.14 But will the process work in the future? Nobody knows, but recall in the first four chapters of the book that we outlined a framework for determining whether a historically strong strategy is sustainable into the future. How can we be sure momentum is sustainable? We support this proposition using the same arguments we use to understand why value investing works. Namely, sustainable active investment strategies require the following ingredients:
 
-■ A mispricing component ■ A costly arbitrage component As far as mispricing is concerned, as long as human beings suffer from systematic expectation errors, prices will sometimes deviate from fundamentals. In the context of value, this expectation error seems to be an overreaction to negative news, on average; for momentum, the expectation error is likely tied to an underreaction to positive news and predictable seasonal effects. Value and momentum are really two sides of the same behavioral bias coin.
+A mispricing component A costly arbitrage component As far as mispricing is concerned, as long as human beings suffer from systematic expectation errors, prices will sometimes deviate from fundamentals. In the context of value, this expectation error seems to be an overreaction to negative news, on average; for momentum, the expectation error is likely tied to an underreaction to positive news and predictable seasonal effects. Value and momentum are really two sides of the same behavioral bias coin.
 
 But why aren’t momentum strategies (or value strategies) exploited by all smart investors and arbitraged away? As we discussed, the speed at which these mispricing opportunities are eliminated depends on the cost of exploitation. Putting aside an array of transaction and information
 
@@ -5494,44 +2239,12 @@ QUANTITATIVE MOMENTUM
 
 acquisition costs (which are nonzero, but we will assume don’t matter for the purpose of this argument), the biggest cost to exploiting long-lasting mispricing opportunities are agency costs, or career risk concerns. The career risk aspect is created because investors delegate a professional to manage their capital on their behalf. Unfortunately, the investors that delegate their capital to the professional fund managers often assess the performance of their hired manager based on their short-term relative performance to a benchmark. But this creates a warped incentive for the professional fund manager. On the one hand, the fund manager wants to exploit mispricing opportunities because of the high expected long-term performance, but on the other hand, they can do so only to the extent to which exploiting the mispricing opportunities does not cause their expected performance to deviate too far—and/or for too long—from a standard benchmark. In summary, strategies like value and momentum presumably will continue to work because they sometimes fail spectacularly relative to passive benchmarks. And if we follow along this line of reasoning, we only need to assume the following to believe that momentum strategies, like value strategies, are sustainable: ■ Investors will continue to suffer behavioral bias.
 
-■ Investors who delegate will be short-sighted performance chasers.
+Investors who delegate will be short-sighted performance chasers.
 
 We think these are two assumptions we can rely on for the foreseeable future. And because of our faith in these assumptions, we believe there will always be opportunities for process-driven, long-term focused, disciplined investors. If we can internalize the lessons from the sustainable active framework, our belief in this framework will grant us the discipline to stick with strategies that many investors find extremely uncomfortable. The ability to stay disciplined to a process is arguably the most important aspect of being a successful investor. How one actually invests is almost a secondary issue.
 
 But as is highlighted in a quote attributed to Warren Buffett, “Investing is simple, but not easy.”
 
-NOTES
-
-1. James Simmons, “Mathematics, Common Sense, and Good Luck: My Life and Career,” MIT Seminar, January 24, 2011.
-
-2. Cliff Asness, Andrea Frazzini, Ron Israel, and Toby Moskowitz, “Fact, Fiction, and Momentum Investing,” The Journal of Portfolio Management 40 (2014): 75–92.
-
-3. Andrea Frazzini, Ronen Israel, and Toby Moskowitz, “Trading Costs of Asset Pricing Anomalies,”AQR working paper, 2014.
-
-Quantitative Momentum Beats the Market 4. David A. Lesmond, Michael J. Schill, and Chunsheng Zhou, “The Illusory Nature of Momentum Profits,” Journal of Financial Economics 71 (2004): 349–380.
-
-5. Similar to the end of Chapter 7, our analysis start date changes slightly from January 1, 1927, to March 1, 1927, to facilitate the seasonal rebalance.
-
-6. William Beaver, Maureen McNichols, and Richard Price, “Delisting Returns and Their Effect on Accounting-based Market Anomalies,” Journal of Accounting and Economics 43 (2007): 341–368.
-
-7. Chris Geczy and Mikhail Samonov, “Two Centuries of Price Return Momentum,” Financial Analysts Journal (2016).
-
-8. William F. Sharpe, “Capital Asset Prices: A Theory of Market Equilibrium under Conditions of Risk,” Journal of Finance 19(3) (1964): 425–442.
-
-9. Eugene Fama and Kenneth French, “Common Risk Factors in the Returns on Stocks and bonds,” Journal of Financial Economics 33 (1993): 3–56.
-
-10. Mark Carhart, “On Persistence in Mutual Fund Performance,” Journal of Finance 52 (1997): 57–82.
-
-11. We also conduct analysis using the Fama and French five-factor model, which includes profitability and investment factors. Since these factors are only available after 1963, we do not show these results in our calculations. In out-of-sample tests (1963–2014), we include the 5-factor model and find qualitatively similar results.
-
-12. mba.tuck.dartmouth.edu/pagesfacultyken.french/data_library.html, accessed 3/1/2016.
-
-13. Chris Geczy and Mikhail Samonov.
-
-14. We have conducted many additional tests and analysis not mentioned in this chapter. Please contact the authors at www.alphaarchitect.com/contact for additional results (e.g., annual returns).
-
-
-
 
 
 CHAPTER Making Momentum Work in Practice
@@ -5551,89 +2264,6 @@ The combination portfolio has higher returns than either the standalone value or
 
 To assess survivability, which we loosely define as the degree to which an TABLE 9.Combining Quantitative Value and Quantitative Momentum Quantitative Quantitative Combination
 
-Momentum
-
-Value
-
-S&P 500
-
-Portfolio (Net)
-
-(Net)
-
-(Net)
-
-TR Index
-
-CAGR
-
-18 . 10%
-
-17 . 38%
-
-16 . 98%
-
-11 . 16%
-
-Standard Deviation
-
-21 . 38%
-
-25 . 59%
-
-18 . 58%
-
-15 . 45%
-
-Downside Deviation
-
-14 . 96%
-
-18 . 09%
-
-12 . 71%
-
-11 . 05%
-
-Sharpe Ratio
-
-0 . 0 . 0 . 0 . Sortino Ratio (MAR = 5%) 0 . 0 . 0 . 0 . Worst Drawdown –60 . 16%
-
-–67 . 72%
-
-–51 . 91%
-
-–50 . 21%
-
-Worst Month Return
-
-–26 . 56%
-
-–30 . 33%
-
-–25 . 62%
-
-–21 . 58%
-
-Best Month Return
-
-28 . 69%
-
-34 . 67%
-
-25 . 36%
-
-16 . 81%
-
-Profitable Months
-
-61 . 18%
-
-61 . 79%
-
-62 . 60%
-
-61 . 59%
 
 QUANTITATIVE MOMENTUM
 
@@ -5651,121 +2281,6 @@ An Important Note on Portfolio Construction The road to success with active valu
 
 With that truth in hand, we must emphasize that the expected benefits outlined are associated with high-conviction value and momentum portfolios, because these high-conviction portfolios drive the relative performance risk.
 
-And if there is no extreme relative performance pain, there is no extreme expected performance gain. So-called “smart beta” funds, which hold large
-
-5-Year Rolling CAGR Relative to the Index Combo (net)
-
-Quant Mom (net)
-
-Quant Value (net)
-
-35.00%
-
-30.00%
-
-25.00%
-
-20.00%
-
-15.00%
-
-10.00%
-
-5.00%
-
-0.00%
-
-12/1/5/1/12/1/10/1/5/1/3/1/8/1/19841/1/6/1/10/1/3/1/8/1/19841/1/11/1/6/1/4/1/19909/1/2/1/7/1/11/1/4/1/19909/1/2/1/12/1/7/1/5/1/12/1/10/1/5/1/3/1/20008/1/1/1/6/1/10/1/19983/1/20008/1/1/1/11/1/6/1/4/1/20079/1/20082/1/7/1/11/1/4/1/20079/1/20082/1/12/1/7/1/5/1/12/1/–5.00%
-
-–10.00%
-
-–15.00%
-
-FIGURE 9.Rolling Five-Year Spreads QUANTITATIVE MOMENTUM
-
-5-Year Rolling CAGR Relative to Index 9.00%
-
-8.00%
-
-7.00%
-
-6.00%
-
-5.00%
-
-4.00%
-
-3.00%
-
-Frequency (percentage) 2.00%
-
-1.00%
-
-0.00%
-
-more
-
-–13.75%
-
-–12.50%
-
-–11.25%
-
-–10.00%
-
-–8.75%
-
-–7.50%
-
-–6.25%
-
-–5.00%
-
-–3.75%
-
-–2.50%
-
-–1.25%
-
-0.00%
-
-1.25%
-
-1.50%
-
-3.75%
-
-5.00%
-
-6.25%
-
-7.50%
-
-8.75%
-
-10.00%
-
-11.25%
-
-13.75%
-
-13.75%
-
-15.00%
-
-16.25%
-
-17.50%
-
-18.75%
-
-20.00%
-
-–21.25%
-
-Combo (net)
-
-Quant Mom (net)
 
 FIGURE 9.Histogram of Five-Year Spreads diversified portfolios that tilt towards a characteristic like value or momentum, are unlikely to deliver on their promise to achieve outperformance after fees. These funds are nothing more than closet indexing structures that don’t deliver enough active exposure benefits to outweigh their expected costs.
 
@@ -5795,151 +2310,6 @@ The results of applying a simple trend-following risk management overlay to the
 
 The trend-following overlay doesn’t enhance the risk-adjusted metrics of the combination portfolio, but this analysis misses the dramatic shift in the tail-risk profile of the combination system. The trend overlay limits the exposure of the equity portfolio to large drawdowns. For example, the maximum drawdown goes from 60.16 percent to 26.18 percent. Of course, there are no free lunches—the trend-following investor gives up 1.5 percent per year in compounded annual returns and the chance of enduring a QUANTITATIVE MOMENTUM
 
-TABLE 9.Combining Quantitative Value and Quantitative Momentum Combination
-
-Combination
-
-S&P 500
-
-w/Trend (Net)
-
-(Net)
-
-TR Index
-
-CAGR
-
-16 . 57%
-
-18 . 10%
-
-11 . 16%
-
-Standard Deviation
-
-17 . 97%
-
-21 . 38%
-
-15 . 45%
-
-Downside Deviation
-
-13 . 31%
-
-14 . 96%
-
-11 . 05%
-
-Sharpe Ratio
-
-0 . 0 . 0 . Sortino Ratio (MAR = 5%) 0 . 0 . 0 . Worst Drawdown –26 . 18%
-
-–60 . 16%
-
-–50 . 21%
-
-Worst Month Return
-
-–25 . 45%
-
-–26 . 56%
-
-–21 . 58%
-
-Best Month Return
-
-28 . 69%
-
-28 . 69%
-
-16 . 81%
-
-Profitable Months
-
-70 . 93%
-
-61 . 18%
-
-61 . 59%
-
-5-Year Rolling CAGR Relative to Index 12.00%
-
-10.00%
-
-8.00%
-
-6.00%
-
-4.00%
-
-Frequency (percentage) 2.00%
-
-0.00%
-
-more
-
-–13.75%
-
-–12.50%
-
-–11.25%
-
-–10.00%
-
-–8.75%
-
-–7.50%
-
-–6.25%
-
-–5.00%
-
-–3.75%
-
-–2.50%
-
-–1.25%
-
-0.00%
-
-1.25%
-
-1.50%
-
-3.75%
-
-5.00%
-
-6.25%
-
-7.50%
-
-8.75%
-
-10.00%
-
-11.25%
-
-13.75%
-
-13.75%
-
-15.00%
-
-16.25%
-
-17.50%
-
-18.75%
-
-20.00%
-
-–21.25%
-
-Combo w/Trend (net)
-
-Combo (net)
 
 FIGURE 9.Histogram of 5-Year Spreads bout of poor relative underperformance is enhanced with a trend-following approach. Figure 9.3 shows the histogram of five-year spreads between the combination portfolio with trend following and the buy-and-hold combination portfolio.
 
@@ -5986,152 +2356,6 @@ The figure shows that the core-satellite approach cannot eliminate relative pain
 
 
 
-5-Year Rolling CAGR Relative to the Index Combo (net)
-
-Quant Mom (net)
-
-Quant Value (net)
-
-35.00%
-
-30.00%
-
-25.00%
-
-20.00%
-
-15.00%
-
-10.00%
-
-5.00%
-
-0.00%
-
-12/1/5/1/12/1/10/1/5/1/3/1/8/1/1/1/6/1/10/1/3/1/8/1/1/1/11/1/6/1/4/1/9/1/2/1/7/1/11/1/4/1/9/1/2/1/12/1/7/1/5/1/12/1/10/1/5/1/3/1/8/1/1/1/6/1/10/1/3/1/8/1/1/1/11/1/6/1/4/1/9/1/2/1/7/1/11/1/4/1/9/1/2/1/12/1/7/1/5/1/12/1/–5.00%
-
-–10.00%
-
-–15.00%
-
-FIGURE 9.Histogram of Five-Year Spreads
-
-
-
-
-
-QUANTITATIVE MOMENTUM
-
-TABLE 9.Core-Satellite Returns Quantitative
-
-Core-Satellite Combination Momentum S&P 500
-
-(Net)
-
-(Net)
-
-(Net)
-
-TR Index
-
-CAGR
-
-12 . 66%
-
-18 . 10%
-
-17 . 38%
-
-11 . 16%
-
-Standard Deviation
-
-16 . 04%
-
-21 . 38%
-
-25 . 59%
-
-15 . 45%
-
-Downside Deviation
-
-11 . 48%
-
-14 . 96%
-
-18 . 09%
-
-11 . 05%
-
-Sharpe Ratio
-
-0 . 0 . 0 . 0 . Sortino Ratio (MAR = 5%) 0 . 0 . 0 . 0 . Worst Drawdown –51 . 86%
-
-–60 . 16%
-
-–67 . 72%
-
-–50 . 21%
-
-Worst Month Return
-
-–22 . 35%
-
-–26 . 56%
-
-–30 . 33%
-
-–21 . 58%
-
-Best Month Return
-
-16 . 52%
-
-28 . 69%
-
-34 . 67%
-
-16 . 81%
-
-Profitable Months
-
-61 . 79%
-
-61 . 18%
-
-61 . 79%
-
-61 . 59%
-
-NOTES
-
-1. Wesley Gray and Tobias Carlisle, Quantitative Value: A Practitioner’s Guide to Automating Intelligent Investment and Eliminating Behavioral Errors, (Hoboken, NJ: John Wiley & Sons, 2012).
-
-2. We increase the total fee from 1.80 percent in Chapter 8 to 2.00 percent in Chapter 9 to account for higher transaction costs associated with running an equal-weight portfolio, as well as annually rebalancing between the quantitative momentum and quantitative value portfolios.
-
-
-
-
-
-APPENDIX A
-
-
-Investigating Alternative Momentum Concepts
-
-We’ve spent multiple years trying to understand how to capture a sustainable long-term momentum premium. Although this book is essentially a summary of our efforts, it is not meant to be a literature review of momentum. If we went down that route, the book would be over a thousand pages long and the reader would still be left with the question we try to answer in this book: What is the “best” momentum strategy? Indeed, anyone who takes the time to review the entire literature on momentum might reasonably arrive at different conclusions. Nonetheless, because we read every research paper we could find on momentum, we thought we should share the most interesting ideas, and why we chose to not include them in our quantitative momentum process. We hope this will assist our readers to better understand why we think our approach makes the most sense as compared with the variations we discuss below. All of the results presented use the same universe of stocks used through the book and the focus is on long-only strategies.
-
-The ideas presented and analyzed are as follows: ■ How is momentum related to fundamentals?
-
-■ Is the 52-week high a better momentum signal?
-
-■ Can absolute strength improve relative strength momentum?
-
-■ Can the volatility of momentum be constrained?
-
-■ Do we even need stock selection momentum?
-
-While there are many other interesting and promising ideas associated with momentum, these appear to be the core areas that we identified that were the most reasonable and compelling. We also hope to explain why, at the margin, we think our approach is superior to these alternatives.
 
 
 
@@ -6190,151 +2414,9 @@ The price momentum and the SUE portfolio have the best top decile performance (l
 
 The results in Table A1.3 show that the price momentum long/short portfolio has the highest compound annual growth rate (CAGR); however, this strategy has the highest risk. On balance, the performance is relatively weak on a risk-adjusted basis. In contrast, the SUE and CAR long/short portfolios’ Sharpe and Sortino ratios are almost double that for the price momentum long/short portfolio. To make matters worse, the drawdown for the price momentum long/short portfolio (71.36%) is close to double that of the TABLE A1.Top Decile Portfolio Summary Statistics Price Momentum
 
-SUE
-
-CAR3
-
-SP500
-
-CAGR
-
-19 . 81%
-
-19 . 64%
-
-16 . 79%
-
-12 . 31%
-
-Standard Deviation
-
-25 . 73%
-
-18 . 85%
-
-22 . 28%
-
-15 . 10%
-
-Downside Deviation
-
-18 . 21%
-
-14 . 28%
-
-15 . 40%
-
-10 . 95%
-
-Sharpe Ratio
-
-0 . 0 . 0 . 0 . Sortino Ratio (MAR = 5%) 0 . 1 . 0 . 0 . Worst Drawdown –58 . 59%
-
-–56 . 08% –59 . 05% –50 . 21%
-
-TABLE A1.Bottom Decile Portfolio Summary Statistics Price Momentum
-
-SUE
-
-CAR3
-
-SP500
-
-CAGR
-
-6 . 07%
-
-11 . 31%
-
-8 . 12%
-
-12 . 31%
-
-Standard Deviation
-
-26 . 48%
-
-19 . 39%
-
-23 . 06%
-
-15 . 10%
-
-Downside Deviation
-
-18 . 00%
-
-13 . 85%
-
-16 . 44%
-
-10 . 95%
-
-Sharpe Ratio
-
-0 . 0 . 0 . 0 . Sortino Ratio (MAR = 5%) 0 . 0 . 0 . 0 . Worst Drawdown –80 . 96%
-
-–62 . 18% –69 . 51%
-
-–50 . 21%
 
 INVESTIGATING ALTERNATIVE MOMENTUM CONCEPTS
 
-TABLE A1.Long/Short Momentum Portfolio Annual Returns Price
-
-Momentum
-
-SUE
-
-CAR3
-
-(L/S)
-
-(L/S)
-
-(L/S)
-
-SP500
-
-CAGR
-
-14 . 59%
-
-12 . 38%
-
-12 . 83%
-
-12 . 31%
-
-Standard Deviation
-
-25 . 28%
-
-8 . 30%
-
-8 . 04%
-
-15 . 10%
-
-Downside Deviation
-
-21 . 94%
-
-6 . 29%
-
-6 . 13%
-
-10 . 95%
-
-Sharpe Ratio
-
-0 . 0 . 0 . 0 . Sortino Ratio (MAR = 5%) 0 . 1 . 1 . 0 . Worst Drawdown –71 . 36%
-
-–37 . 93%
-
-–29 . 26%
-
-–50 . 21%
 
 SUE (37.93%) and CAR3 (29.26%) long/short portfolios. To summarize, the long/short SUE and CAR3 portfolios look better than the price momentum portfolio and this is the core evidence that Novy-Marx rests on to highlight that price momentum is inferior to—and subsumed by—earnings momentum.
 
@@ -6342,133 +2424,11 @@ Thus far, we have identified that long-only price momentum is a promising strate
 
 The factor analysis shows that all three strategies have alpha—which has already been identified by previous research. However, we focus on the value factor (HML), which identifies the statistical relationship between a given strategy and a generic long/short value portfolio. The price momentum strategy has a highly significant loading of –0.67, making it a prime candidate for pairing with a value strategy. However, the earnings momentum strategies, SUE and CAR3, have value loadings that are closer to zero.
 
-Investigating Alternative Momentum Concepts TABLE A1.Long/Short Momentum Portfolio Factor Loadings Price Momentum (L/S)
-
-SUE (L/S)
-
-CAR3 (L/S)
-
-Alpha (annual)
-
-0.16
-
-0.08
-
-
-
-0.09
-
-p-value
-
-0.0001
-
-0.0000
-
-
-
-0.0000
-
-RM-RF
-
-–0.28
-
-–0.–0.10
-
-p-value
-
-
-
-0.0128
-
-0. 0.0024
-
-SMB
-
-
-
-0.45
-
-–0.0. p-value
-
-
-
-0.0377
-
-0.0. HML
-
-–0.67
-
-–0.–0.13
-
-p-value
-
-
-
-0.0013
-
-0. 0.0160
-
-The data suggest that these strategies may not be as useful, from a portfolio perspective, for pooling with a value-centric portfolio.
 
 To get a better feel for the practical implications of the analysis above, we conduct an empirical test. Over the January 1, 1975, to December 31, 2014, sample period, we form four portfolios that allocate 50 percent to value and 50 percent to momentum every month. The value portfolio is represented by a portfolio that is long the top decile of firms ranked on EBIT/TEV (Earnings before Interest and Taxes/Total Enterprise Value) and rebalanced annually. The value portfolio is combined with the price momentum strategy, the SUE strategy, the CAR3 strategy, and the frog-in-the pan momentum portfolio (the four momentum-related strategies are all monthly rebalanced). In Chapters 5 through 8, we recommend a quarterly rebalanced portfolio, but here we use the monthly rebalanced portfolio to facilitate a fair comparison. Chapters 5 to 8 also show returns from 1974–2014, here we show returns from 1975–2014 due to data constraints on the SUE
 
 portfolios. All return streams are shown gross of any fees or transaction costs. Results are in Table A1.5.
 
-TABLE A1.Value and Momentum Portfolio Annual Returns 50% Frog
-
-50% Price
-
-Momentum/ Momentum/ 50% SUE/ 50% CAR/
-
-50% Value
-
-50% Value
-
-50% Value 50% Value
-
-CAGR
-
-20 . 54%
-
-19 . 72%
-
-19 . 25%
-
-17 . 92%
-
-Standard Deviation
-
-19 . 55%
-
-19 . 84%
-
-17 . 62%
-
-19 . 05%
-
-Downside Deviation
-
-14 . 36%
-
-14 . 50%
-
-13 . 48%
-
-13 . 64%
-
-Sharpe Ratio
-
-0 . 0 . 0 . 0 . Sortino Ratio (MAR = 5%) 1 . 1 . 1 . 0 . Worst Drawdown –52 . 55%
-
-–50 . 29%
-
-–50 . 06%
-
-–49 . 11%
-
-
-
-
 
 INVESTIGATING ALTERNATIVE MOMENTUM CONCEPTS
 
@@ -6505,43 +2465,6 @@ Regression results from Table 5 in the original paper show that 52-wee high winn
 
 The collective results suggest the 52-week high is a better trading signal than price momentum. But what do the results look like using our universe of stocks? It should be pointed out that the George and Hwang paper uses all stocks, and thus includes small-cap stocks, which can greatly skew results. In contrast, we stick to a mid-and large-cap universe that is relatively liquid and where the data are more robust. We form portfolios using the 52-week-high screening variable, and place stocks into deciles based on the ranking. Portfolios are reconstituted monthly, and are held for either one month, three months, or six months. For the portfolios with three-and six-month holding periods, overlapping portfolios are used. Portfolios are formed by equal-weighting the firms, and the returns run from January 1, 1974, through December 31, 2014. Returns are shown gross of any fees. For each decile, we plot the CAGR in Figure A1.2.
 
-The results in Figure A1.2 document a few important findings. First, we notice that for the three-and six-month holding periods, there is a near 6-month hold
-
-3-month hold
-
-1-month hold
-
-16.00%
-
-14.00%
-
-12.00%
-
-10.00%
-
-8.00%
-
-6.00%
-
-4.00%
-
-2.00%
-
-0.00%
-
-Decile Decile Decile Decile Decile Decile Decile Decile Decile 9 Decile (Furthest (Closest Away
-
-to 52—
-
-from 52-wee week High)
-
-High)
-
-FIGURE A1.Decile Returns to 52-Week High Screen
-
-
-
-
 
 Investigating Alternative Momentum Concepts monotonic increase in the CAGR as one moves from decile 1 (furthest away from 52-week high) up to decile 10 (closest to the 52-week high). This should be expected as the paper goes long the top three deciles and shorts the bottom three deciles to form the 52-week-high L/S portfolio discussed in the paper.
 
@@ -6579,23 +2502,6 @@ To assess the validity of the absolute momentum results we decided to perform th
 
 We reconstruct the absolute momentum signal every month according the cookbook outlined in the original paper. Figure A1.3 plots the breakpoints over time. The return breakpoints are similar to those in the paper: the “winning” stock cutoff is around 60 percent, while the “losing” stock cutoff is around –35 percent. We only include stocks in the winner portfolio if they
 
-Investigating Alternative Momentum Concepts Absolute Momentum Breakpoints 80.0%
-
-60.0%
-
-40.0%
-
-20.0%
-
-0.0%
-
-2/1/4/1/6/1/8/1/2/1/4/1/6/1/8/1/2/1/4/1/6/1/8/1/2/1/4/1/6/1/8/1/2/1/4/1/6/1/8/1/2/1/4/1/6/1/8/1/2/1/4/1/6/1/8/1/12/1/10/1/12/1/10/1/12/1/10/1/12/1/10/1/12/1/10/1/12/1/10/1/12/1/10/1/12/1/–20.0%
-
-–40.0%
-
-10th Percentile
-
-90th Percentile
 
 FIGURE A1.Absolute Momentum Breakpoints are above the winner cutoff and only include stocks in the loser portfolio if they are below the loser cutoff. As mentioned previously, this approach introduces an odd portfolio construction element. Figure A1.4 highlights the number of firms in the high and low absolute momentum portfolios across time and compares these portfolio sizes to the standard price momentum approach that buys the top 10 percent relative strength stocks and shorts the bottom 10 percent relative strength stocks.
 
@@ -6609,127 +2515,6 @@ To dig a bit deeper into the absolute momentum concept, we look at the performan
 
 INVESTIGATING ALTERNATIVE MOMENTUM CONCEPTS
 
-Number of Firms in the Portfolio Each Month –1/1/3/1/5/1/7/1/9/1/1/1/3/1/5/1/7/1/9/1/1/1/3/1/5/1/7/1/9/1/1/1/3/1/5/1/7/1/9/1/1/1/3/1/5/1/7/1/9/1/1/1/3/1/5/1/7/1/9/1/1/1/3/1/5/1/7/1/9/1/1/1/11/1/11/1/11/1/11/1/11/1/11/1/11/1/––––Abs. Str. Winners N
-
-Abs. Str. Losers N
-
-Rel. Str. Losers N
-
-Rel. Str. Winners N
-
-FIGURE A1.Absolute Momentum Number of Firms TABLE A1.Absolute Momentum Long/Short Returns Absolute
-
-Relative
-
-Strength (L/S)
-
-Strength (L/S)
-
-SP500
-
-CAGR
-
-25 . 28%
-
-17 . 97%
-
-10 . 01%
-
-Standard Deviation
-
-23 . 26%
-
-24 . 02%
-
-15 . 04%
-
-Downside Deviation
-
-17 . 57%
-
-20 . 58%
-
-10 . 64%
-
-Sharpe Ratio
-
-0 . 0 . 0 . Sortino Ratio (MAR = 5%) 1 . 0 . 0 . Worst Drawdown –68 . 27%
-
-–70 . 86%
-
-–50 . 21%
-
-Table A1.7 shows the results to the four portfolios (Absolute Strength Winners and Losers; Relative Strength Winners and Losers). Portfolios are equal-weighted and rebalanced monthly from January 1965 to December 2014. All returns shown are total returns but are gross of any fees and transaction costs.
-
-Examining the results, the long-only “winner” portfolios are similar and there is little marginal benefit of an absolute momentum strategy relative to
-
-
-
-
-
-Investigating Alternative Momentum Concepts TABLE A1.Absolute Momentum Long-Only Portfolio Returns Absolute
-
-Relative
-
-Absolute
-
-Relative
-
-Momentum Momentum Momentum Momentum Winner
-
-Winner
-
-Loser
-
-Loser
-
-Portfolio
-
-Portfolio
-
-Portfolio
-
-Portfolio
-
-CAGR
-
-18 . 91%
-
-18 . 74%
-
-–3 . 42%
-
-2 . 40%
-
-Standard Deviation
-
-24 . 85%
-
-25 . 11%
-
-26 . 17%
-
-26 . 20%
-
-Downside Deviation
-
-17 . 06%
-
-17 . 41%
-
-17 . 09%
-
-17 . 39%
-
-Sharpe Ratio
-
-0 . 0 . –0 . 0 . Sortino Ratio (MAR = 5%) 0 . 0 . –0 . 0 . Worst Drawdown –65 . 09%
-
-–58 . 40%
-
-–94 . 10%
-
-–82 . 01%
 
 a classic price momentum strategy. The absolute momentum loser portfolio, however, is much worse than the relative momentum loser portfolio.
 
@@ -6795,57 +2580,6 @@ The results of the analysis are presented in Table A1.9.
 
 The long-only generic momentum portfolio generates a much higher CAGR than the risk-managed portfolios; however, the risk profile is arguably INVESTIGATING ALTERNATIVE MOMENTUM CONCEPTS
 
-TABLE A1.Momentum Stop-Loss Performance High
-
-High
-
-High
-
-Momentum
-
-Momentum
-
-Momentum 10% Stop-Loss 5% Stop-Loss SP500
-
-CAGR
-
-19 . 34%
-
-15 . 47%
-
-15 . 29%
-
-9 . 91%
-
-Standard Deviation
-
-24 . 78%
-
-22 . 19%
-
-18 . 31%
-
-19 . 18%
-
-Downside Deviation
-
-18 . 26%
-
-12 . 73%
-
-8 . 36%
-
-14 . 26%
-
-Sharpe Ratio
-
-0 . 0 . 0 . 0 . Sortino Ratio (MAR = 5%) 0 . 0 . 1 . 0 . Worst Drawdown –71 . 73%
-
-–64 . 02%
-
-–48 . 11%
-
-–84 . 59%
 
 better for the stop-loss systems. However, the risk profile is highly dependent on the stop-loss rule examined, which hints toward a robustness issue. Relative to the 10 percent stop-loss rule, generic momentum is a better strategy, but relative to a 5 percent stop-loss rule, generic momentum is worse on a risk-adjusted basis.
 
@@ -6871,111 +2605,11 @@ The results from Table A1.10 highlight that a simple monthly reviewed risk manag
 
 If investors are interested in managing the volatility of their portfolio, we recommend that investors first focus on achieving the best possible long-only momentum portfolio and combine it with the best possible long-only value portfolio. Once that is achieved, and the investor is capturing the highest expected equity premium on a risk-adjusted basis, the investor can deploy risk-management rules at the portfolio level. Although a detailed discussion of this approach is beyond the scope of this book, we recommend that TABLE A1.Time-Series Momentum Performance High
 
-High
-
-High
-
-Momentum
-
-High
-
-Momentum
-
-Momentum
-
-TSMOM
-
-Momentum 10% Stop-Loss 10% Stop-Loss CAGR
-
-16 . 57%
-
-18 . 93%
-
-15 . 06%
-
-14 . 88%
-
-Standard Deviation
-
-20 . 97%
-
-24 . 84%
-
-22 . 23%
-
-18 . 32%
-
-Downside Deviation
-
-16 . 80%
-
-18 . 31%
-
-12 . 75%
-
-8 . 36%
-
-Sharpe Ratio
-
-0 . 0 . 0 . 0 . Sortino Ratio (MAR = 5%)
-
-0 . 0 . 0 . 1 . Worst Drawdown –50 . 99%
-
-–71 . 73%
-
-–64 . 02%
-
-–48 . 11%
-
-
-
-
-
 INVESTIGATING ALTERNATIVE MOMENTUM CONCEPTS
 
 
 investors focus on simple trend-following and time-series momentum type rules to facilitate portfolio-level risk management.
 
-NOTES
-
-1. Nicholas Barberis, Andrei Shleifer, and Robert Vishny, “A Model of Investor Sentiment,” Journal of Financial Economics 49 (1998): 307–343.
-
-2. Louis Chan, Narisimhan Jegadeesh, and Josef Lakonishok, “Momentum Strategies,” The Journal of Finance 51 (1996): 1681–1713.
-
-3. Robert Novy-Marx, “Fundamentally, Momentum Is Fundamental Momentum,” NBER Working Paper No. 20984.
-
-4. For our universe of mid/large cap stocks, to match the volatility of the fundamental momentum portfolios (SUE and CAR3) with the price momentum (UMD) portfolios, the fundamental momentum portfolios (SUE and CAR3) are required to be three times long and three times short.
-
-5. Tarun Chordia and Lakshmanan Shivakumar, “Earnings and Price Momentum,” AFA 2003 Washington, DC Meetings.
-
-6. Kent Daniel and Tobias Moskowitz. “Momentum Crashes,” Columbia Business School Research Paper No. 14–36.
-
-7. Eugene F. Fama and Kenneth R. French, “Common Risk Factors in the Returns on Stocks and Bonds,” Journal of Financial Economics 33 (1993): 3–56.
-
-8. Readers interested in more complex long/short portfolios should explore earnings momentum strategies in more detail.
-
-9. Malcolm Baker, Xin Pan, and Jeffrey Wurgler, “The Effect of Reference Point Prices on Mergers and Acquisitions,” Journal of Financial Economics (2012): 49–71.
-
-10. Thomas J. George and Chuan-Yang Hwang, “The 52-Week High and Momentum Investing,” The Journal of Finance 59 (2004): 1957–2444.
-
-11. Narasimhan Jegadeesh and Sheridan Titman, “Returns to Buying Winners and Selling Losers: Implications for Stock Market Efficiency,” The Journal of Finance 48 (1993): 65–91.
-
-12. Tobias J. Moskowitz and Mark Grinblatt, “Do Industries Explain Momentum?”
-
-The Journal of Finance 54 (1999): 1249–1290.
-
-13. Huseyin Gulen and Ralitsa Petkova, “Absolute Strength: Exploring Momentum in Stock Returns,” working paper, accessed 1/31/2016.
-
-14. Eugene F. Fama and Kenneth R. French, “Dissecting Anomalies,” The Journal of Finance 63 (2008): 1653–1678.
-
-15. Yufeng Han, Guofu Zhou, and Yingzi Zhu, “Taming Momentum Crashes: A Simple Stop-Loss Strategy,” working paper, accessed 1/31/2016.
-
-16. See Meb Faber, “A Quantitative Approach to Tactical Asset Allocation,” The Journal of Wealth Management 9 (2007): 69–79.
-
-17. Gary Antonacci, Dual Momentum Investing: An Innovative Strategy for Higher Returns with Lower Risk (New York: McGraw-Hill, 2014).
-
-
-
 
 
 APPENDIX B
@@ -7014,1000 +2648,8 @@ Best monthly performance Profitable Months
 Proportion of monthly performances that have a positive return
 
 
-
-
-
 About the Companion Website This book includes a companion website, which can be found at www
 
 
 .alphaarchitect.com. This website includes the following: ■ A screening tool to find momentum stocks described in the boo ■ Additional research on momentum investing ■ A continually updated blog on developments in quantitative investing ■ And much, much, more
 
-
-
-
-
-Index
-
-
-Absolute momentum
-
-Arbitrage
-
-breakpoints, defined, 23–calculation of, investment strategy example, cutoff points, limits to, 18, financial crisis and, quantitative momentum and, firms, number of, 141, long-only portfolio returns, Asness, Cliff, 53, 57, 68, 70, long/short returns, Asset class historical results, portfolio performance, Asset-class selection, trading rules rule, and, validity of, Australian equity markets, Absolute strength, 165–Agarwal, Vikas, Baker, Malcom, Alliance Pharmaceutical Corp., Bali, Turan G., 96–94–Barberis, Nicholas, 55, 56, 96, Alpha
-
-100–101, relative risk premium, Barron’s, sustainable, Baupost Group hedge fund, Alpha analysis, quantitative Beaver, William, momentum and, 136–Behavioral bias Alternative momentum concepts, identification of, 155–indirect exploitation of, 52-week high, 162–mispricing due to, absolute strength improving pillars of, relative strength, 165–value, momentum and, fundamentals and, 156–Behavioral errors, volatility of momentum, Behavioral finance, 18–169–essence of, American Finance Association, investor psychology, 19–American Stock Exchange (AMEX), market mispricing and, 49, momentum and, 46–Apple, 88, pillars of, 19, AQR Capital Management, 59, 64, poker comparison ( see Poker 91, comparison)
-
-INDEX
-
-Behavioral psychology, 100, Carhart, Mark, 44–Behavioral theories, challenging, CGM Focus Fund, 25–Benchmark, passive, CGR, Benchmark drift, Chan, Louis, Benchmark portfolio, Chen, Honghui, Beta Closet indexing structures, defined, 148–“lottery-like” stocks and, 98–Combo portfolio, 68–Beta anomaly, annual returns for, 37–Bias, EMH and, plus trend, 149–Black, Fischer, rolling 5-year spreads, 71–Black box, 140–volatility and, Blended strategy, Compound Annual Growth Rate.
-
-Bloomfield, Robert, See CAGR (Compound Annual B/M (book to market) ratios, Growth Rate) Brown, Philip, Compustat, Brunnermeier, Markus, 31, Confusion De Confusions, Buffett, Warren, 6, 7, 8, 9, 16, 32, “Continuation” effect, 86–45, 46, Continuous information, 101, Cooperman, Leon, CAGR (Compound Annual
-
-Core-satellite approach, Growth Rate)
-
-Costs
-
-52-week high screen and, “all in”, 164–assumptions/estimates, 123–across different decades, frictional, 103, equal-weighting scheme and, implementation, growth vs. momentum mispricing opportunities and, monkeys, transaction ( see Transaction intermediate-term returns and, costs) quantitative momentum and, Cross-sectional momentum 128, 129, about, rebalancing and, example using, rolling five-year, CRSP (Center for Research value-weighted portfolios and, in Security Prices), 49, Cakici, Nusret, Cumulative three-day abnormal Capital Asset Pricing Model returns (CAR3), 156–(CAPM), 65, Cutoff analysis, Career ris market frictions and, Da, Zhi, 100–101, 103, momentum and, Daniel, Kent, 48, quantitative momentum and, Data mining, 93, 152–DeBondt, Werner, Index
-
-de la Vega, Joseph, 3–4, Equation De Long, Brad, information discreteness, Discrete information, 101, long-term performance, 27, Disposition effect, 47, Equity markets, biggest, Distributions, reinvestment of, Europe, rolling 5-year spreads, Diversification 71, equal-weighting scheme and, Evidence-based enhancements, stock selection strategies and, Evidence-based investing, age of, Diversifier, identification of, 38–8–Dividends, Expectation error, “Diworsification”
-
-avoidance of, Facebook, Internet bubble and, Fama, Eugene, 16, 17, 49, 55, minimization of, 62–63, 136, Dojima Rice Market, 4–Fama-MacBeth, Downside-protected strategies, 52-week high, 162–Drawdown(s) Financial Analyst Journal, Great Depression, Financial crisis of growth vs. momentum absolute momentum and, monkeys, absolute momentum portfolio maximum, and, rolling analysis of, 131–momentum and, 57, top 10 analysis, post-2008 and, 151, Drawdown analysis, summary, quantitative momentum and, Druckenmiller, Stanley, trough of, Dutch East India Company, “winner stocks” and, Earnings momentum, Fisher, Gregg, EBIT/TEV (Earnings before Interest Fountain of Gold—The Three and Taxes/Total Enterprise Monkey Record of Money, Value), The, Efficient Market Hypothesis Four-factor alpha, 98, (EMH) Four-factor model, arbitrage and, 18–19, Frazzini, Andrea, 59, 91, bias and, French, Ken, 16, 33, 49, 54, 65, 88, career risk and, 152, 136, establishment of, Frictional costs, 103, momentum and, Frog-in-the-pan (FIP) real world markets and, algorithm, 120–123, relative strength and, 43–hypothesis, 100–strongest supporter of, portfolio alphas, Equal-weighting portfolios, 91, results to long/short momentum 117, portfolios, INDEX
-
-Fundamental analysis, emergence rationale for, 36–of, 6–sustainable performance and, Fundamental investors, 15–35, Fundamental momentum Gulen, Huseyin, returns, Gurun, Umit, 100–101, Fundamental risk, Fundamentals, momentum and, Hales, Jeffrey, 156–Han, Yufeng, He, Jia, Gay, Gerald, Heebner, Ken, 25–26, Gecay, Chris, 128, High beta stocks, 98–Generic momentum High-conviction value, 12-month momentum and, High momentum portfolios, calculation of, 80–stop-loss rule and, 172–defined, High-momentum stocks, 94–quantitative momentum and, Holding period, 87, 88, Generic momentum effect, drivers Homma, Munehisa, 5, 6, of, Hong, Harrison, 55, George, Thomas J., 162, Hu, Gang, Global rolling 5-year spreads, Hwang, Chuan-Yang, 162, 73, Google, Implementation costs, Graham, Benjamin, 6, 8, 14, 16, 40, Index fund, plain-vanilla, 44, Indexing, closet, 148–Great Depression drawdown, Industry momentum, Information Greenblat, Joel, continuous, 101, Griffin, Dale, discrete, 101, Grinblatt, Mark, 111, Information discreteness (ID), Growth 101, value and, 40 ( see also Combo Intelligent Investor, The, portfolio) Intermediate-term momentum, value of, 36–84–“Growth” funds, momentum International Rectifier Corp., compared to, 94–Growth investing Internet Bubble
-
-characterized, “diworsification” and, vs. momentum investing, 49–growth investing and, momentum investing compared mispricing and, to, 47–overpriced growth stocks and, monkeys throwing darts and, path dependency and, 94–50–quantitative value and, Index
-
-underperformance and, 151, Kleidon, Allan, window dressing and, Korajczyk, Robert, 90, “winner stocks” and, Intrinsic value, Lakonishok, Josef, 47, 48, Investment formulas, Lefevre, Edwin, Investment strategies, long-term, Lehman, Bruce, 24–Lesmond, David A., 90, 91, Investors, sustainable, Levy, Robert, 43, IQ/intelligence, 14–Lim, Terence, Israel, Ronen, 91, “Limited attention”, 100, Ling, Leng, Jacobsen, Ben, Linnainmaa, Juhani, Livermore, Jesse, 5, 6, “January” effect, 110–Lo, Andrew, Japan Long/short momentum portfolio combination portfolio and, factor loadings, 73, Long-term active management long/short price momentum success
-
-in, bad players, identification of, momentum strategy and,
-
-29–63– best players, actions of, 31–Japanese economy, Dojima Rice keys to, 26–Market, 4–theory to practice, 27–Japanese equity market Long-term investor, six-year performance, investing pain train, Jegadeesh, Narasimhan, 39, 44, 45, Long-term market opportunities, 81, 84–87, short-term performance Jones, Paul Tudor, and, Journal of Finance, 26, 45, Long-term momentum, 83– Journal of Financial Economics, Long-term performance equation, 27, Journal of Political Economy, “Look-back” period, Journal of Portfolio Management, Look-backs, intermediate-term, The, 63, Look-back windows, Lottery bias, 98, Kacperczyk, Marcin, “Lottery-like” stocks Kahneman, Daniel, 19, path dependency and, Keim, Donald, performance of, 96–Keloharju, Matti, results, MAX ranking and, 97–Kemmerer, Edwin, Low beat stocks, 98–Keynes, John Maynard, Kinney, William R., Jr., 110, Malkiel, Burt, 6–8, 43–Klarman, Seth, 7, Margin of Safety, INDEX
-
-Market cycle
-
-expanding horizons with, 65–definitions, generic ( see Generic momentum) performance, quantitative growth compared to, momentum and, industry, Market exposure, intermediate-term, 84–Market frictions, 24, investing ( see Momentum Market liquidity, investing) Market mispricing
-
-long-term, 83–behavioral finance and, as “myth”, 62–costs and, as performance king, Efficient Market Hypothesis performance of, and, as “premier anomaly”, enhancing, 31–revitalization of, 44–long time frames and, short-term, 81–opportunities, time series, 10, quantitative momentum and, trading frequency and, 58–141–types of, 81–Market-timing, trading rules underperformance and, 57, and, underreaction issue and, 55–Markowitz, Harry, value and, as system, Marsh, Terry, value and, correlation of, MBA “rebels”, value compared to, McLean, David, value married to, 68–McNichols, Maureen, value plus, 144–Mean-variance (MV) frontier, 65–why it works, 53–Mispricing. See Market mispricing Momentum anomaly, 54–57, Modern portfolio theory, 65–Momentum effect, persistence chart, of, with momentum, Momentum factor (MOM), Momentum Momentum investing
-
-absolute ( see Absolute characterized, momentum) vs. growth investing, 49–adoption of term, 44–growth investing compared behavioral finance theorists on, to, 47–46–monkeys throwing darts and, best players and, 57–50–concepts, alternative ( see pessimism and, Alternative momentum why it works, concepts)
-
-“Momentum-like effect”, cross-sectional, 10, Momentum performance, defined, 39, 1927–2014, Index
-
-Momentum portfolio construction.
-
-Ng, Lilian, See Portfolio construction Noise trader risk, Momentum portfolio returns Noise traders, intermediate-term, 86–Nonoverlapping seasonal long-term, 84, momentum portfolio, short-term, 82–Novy-Marx, Robert, 107, 156, Momentum portfolio(s), 146–157, 158, annual results, quality of, Nyberg, Peter, returns, quality of, Momentum premium, Opportunity in market, identifying, Momentum profits, Momentum seasonality Optimal portfolio weights, from 1984–2004, Overlapping portfolio effect, benefits, Overlapping portfolios, 88–89, results, 114–Overreaction triggers for, Momentum spread, Momentum stocks Pan, Xin, outperformance and, Paradigm, style box, path dependency and, Passive benchmark, 70, time-series characteristics of, Path, 93– Momentum stop-loss performance, momentum profits and, 100– Path dependency
-
-Momentum strategies
-
-Internet Bubble and, 94–building, basics, 79–momentum stocks and, categories, Path-focused momentum commonly examined, 91–algorithms, excess expected returns, 59–Pederson, Lasse, 57, intermediate-term horizon Performance and, poor relative, quantitative path dependency and, momentum and, 151–seasonality and, sustainable ( see Sustainable Monkeys throwing darts, 50–performance) Moskowitz, Toby, 57, 68, 91, 111, value investing and, 123, Performance statistics, MSCI Japan Total Return Index, Petkova, Relitsa, Plain-vanilla index fund, Nagel, Stefan, 31, Poker comparison, 21–NASDAQ, arbitrage and, 23–NASDAQ crash, best players and, 23–Newton, Sir Isaac, opportunity, identifying, New York Stock Exchange (NYSE), sustainable performance and, 49, 124, worst players and, INDEX
-
-Pontiff, Jeff, rolling drawdown analysis, Portfolio construction, 87–131–quantitative momentum and, short-term stress event tests 146–for, trend emergence, summary statistics, 125–value weighting and, transaction costs and, 122–Positive news, underreaction Quantitative value, 145, to, Quantitative Value, Poterba, James, Quantitative value algorithm, Price, Richard, Price momentum, 156, “Quants”, Price momentum factor, Profitability, momentum and, R2K, Profits Random Walk Down Wall Street, momentum, A, 6, 43–momentum, path to, 100–Rebalancing Psychology, investor, 19–“all in” costs, Put options, frequency of, 87, frictional costs and, “Quality” momentum, portfolios and, Quantitative momentum, 120–smart, alpha analysis, 136–window dressing and, analysis, 125–Reinganum, Marc, asset pricing coefficient estimates Reinvestment of distributions, for, “Relative pain”, beating the market with, “Relative performance risk”, 141–150, black box and, 140–Relative strength career risk and, 152–absolute strength improving, cumulative value for, 165–FIP algorithm and, 120–123, defined, generic momentum and, momentum rule, parameters of universe and, Relative strength strategy, poor relative performance and, Reminiscences of a Stock 151– Operator, portfolio construction, 146–Return gap measure, portfolio holdings, Returns, core-satellite, 152, process, steps in, 121–Reversal in returns, quantitative value and, 145, Review of Financial Studies, rewards analysis, 126–Ris risk analysis, 128–career ( see Career risk) robustness analysis, 134–fundamental, Index
-
-noise trader, tax-motivated trading, 110–“relative performance risk”, window dressing, 108–150, Security Analysis, Risk arbitrage, 19, Shah, Ronnie, Risk-factors. hidden systemic, Sharpe ratio, 104, 126, 159, Ritter, Jay, 160, Robertson, Julian, 31, Shefrin, Hersh, Roll, Richard, 62–63, Shipping costs, “frictional”, Rolling 5-year spreads Shleifer, Andrei, 20, 26, 31, 47, Europe, 71, 48, global, 73, “Short rebate”, Japan, 73, Short selling, implementation costs United Kingdom (UK), 71, and, United States (US), 71, Short-term momentum, 81–Rolling drawdown analysis, Short-term performance, long-term 131–market opportunities and, Rozeff, Michael S., 110, Short-term reversal, Russell 200 total return index.
-
-Sialm, Clemens, See R2K
-
-Sias, Richard, 108, 111, 112, 114, S&P Singal, Vijay, poor relative performance
-
-and, Small-cap effect, quantitative momentum and, “Smart beta” funds, 135, “Smart money”, S&P 500 Index, Smart rebalancing, 116, S&P 500 Sharpe ratio, So, Eric, S&P 500 total return index (S&P
-
-Soloman, David, 500 TR Index), 57, 58, 70, Soltes, Eugene, Sadka, Ronnie, 90, Soros, George, 9, Samonov, Mikhail, 128, Sortino ratio, 104, 126, Schill, Michael J., 90, 91, Sosyura, Denis, Scientific method, key aspect of, South Sea Company, Seasonal effects, minimization SP500, of, Speculators, Seasonality, 107–Standardized unexpected earnings building momentum systems (SUE), 156–and, Starks, Laura, great theories and, 112–Statistics, performance, momentum ( see Momentum Statman, Meir, seasonality) Stein, Jeremy, momentum portfolio annual Stein, Jeremy C., results and, Stock picking training, INDEX
-
-Stop-loss rule, 169–Three-factor model, Stop-loss strategy, 169–Time-series momentum equal-weighted stop-loss about, momentum monthly returns, example using, Titman, Sheridan, 39, 44, 45, 48, momentum performance
-
-84–87, and, Tracking error portfolios for, long time frames and, 24, time-series momentum short-term, performance, trend following and, Style box paradigm, Trading frequency, momentum Summers, Larry, and, 58–Survivability, Transaction costs Sustainable active investing quantitative momentum,
-
-framewor 122–growth investing and, rebalancing and, momentum and, trading frequency and, 58–overarching framework and, Trend, combo plus, 149–9, Trend-following six-year investing pain train, “relative performance risk”
-
-value and, of, value investing and, rule, 149, Sustainable alpha, Trend overlay, Sustainable investors, 27, Tudor Jones, Paul, Sustainable performance “Turn of the year” effect, 110–building blocks, Turnover, growth investing and, 35, Tversky, Amos, 44, long-term equation and, poker comparison and, Underperformance momentum and, 57, Tail-risk correlations, stretches of, “Tax hypothesis”, value investing and, 32–Tax-induced seasonality, Underreaction Tax-loss selling, 108, positive news and, Tax-motivated trading, 110–triggers for, smart rebalance portfolio United Kingdom (UK), rolling and, 5-year spreads, 71, theories and, 112–United States (US), rolling 5-year Technical analysis, history of, 3–spreads, 71, Thaler, Richard, Universe selection parameters, Thinking, Fast and Slow, Index
-
-Value
-
-Vogel, Jack, 17, equity markets and, Volatility growth and, 36–38, 40 ( see also growth vs. momentum monkeys, Combo portfolio)
-
-51–high-conviction, momentum and, 169–intrinsic, stretches of, momentum and, as system, value, growth and, momentum and, correlation value and growth combo, of, VW quantitative momentum momentum compared to, performance, momentum married to, 68–overreaction problem and, Wachtel, Sidney B., 110, performance of, Waldmann, Robert, plus momentum, 144– Wall Street Journal (WSJ), quantitative, Wang, Qinghai, 109, Value and momentum portfolio Warachka, Mitch, 100–101, annual returns, Website Value anomaly, companion, Value debate, ValueInvestorsClub.com, Value effect, study of, Weisbbennar, Scott, Value factor (HML), Whitelaw, Robert F., Value investing
-
-Window dressing
-
-as intuitive, about, 108–pessimism and, smart rebalance portfolio six-year investing pain train, and, 34–theories and, 112–sustainable performance and, Winners minus losers (WMI), underperformance and, 32–Wurgler, Jeffrey, upward price moves and, 46–“Value” investors, 15–Zhang, Cherry, Value premium, Zheng, Lu, Value trap, Zhou, Chunsheng, 90, 91, Value weighting, 88, Zhou, Guofu, Vishny, Robert, 26, 31, 47, 48, Zhu, Yingzi,
-
-
-
-Document Outline
-
-
-
-Cover
-
-Title Page
-
-Copyright
-
-Contents
-
-Preface
-
-Acknowledgments
-
-About the Authors
-
-Part 1: Understanding Momentum Chapter 1: Less Religion; More Reason Technical Analysis: The Market's Oldest Religion
-
-A New Religion Emerges: Fundamental Analysis
-
-The Age of Evidence-Based Investing
-
-Don't Worry: This Book Is About Stock-Selection Momentum
-
-Summary
-
-Notes
-
-
-
-
-
-Chapter 2: Why Can Active Investment Strategies Work? Into the Lion's Den
-
-Good Investing Is Like Good Poker: Pick the Right Table
-
-Growth Investing Stinks, So Why Do It?
-
-Summary
-
-Notes
-
-
-
-
-
-Chapter 3: Momentum Investing Is Not Growth Investing The Efficient Market Mafia Kills Relative Strength
-
-"Momentum" Rises from the Ashes
-
-Behavioral Finance Theorists Explain Momentum
-
-Wait a Minute: Momentum Investing Is Just Growth Investing, Which Doesn't Work!
-
-Digging Deeper into Growth versus Momentum
-
-But Why Does Momentum Work?
-
-Summary
-
-Notes
-
-
-
-
-
-Chapter 4: Why All Value Investors Need Momentum Momentum Is a Myth
-
-Asness Separates Fact from Fiction
-
-Expanding Your Horizons with Momentum
-
-Marrying Value and Momentum
-
-Summary
-
-Notes
-
-
-
-
-
-Part 2: Building a Momentum-Based Stock Selection Model Chapter 5: The Basics of Building a Momentum Strategy How to Calculate Generic Momentum
-
-Three Types of Momentum
-
-Why Momentum Portfolio Construction Matters
-
-Summary
-
-Notes
-
-
-
-
-
-Chapter 6: Maximizing Momentum: The Path Matters The Performance of Lottery Stocks
-
-The Path to Momentum Profits
-
-The Results
-
-Summary
-
-Notes
-
-
-
-
-
-Chapter 7: Momentum Investors Need to Know Their Seasons Window Dressing
-
-Tax-Motivated Trading
-
-Great Theories: But Why Do We Care?
-
-Momentum Seasonality: The Results
-
-Summary
-
-Notes
-
-
-
-
-
-Chapter 8: Quantitative Momentum Beats the Market Transaction Costs
-
-The Parameters of the Universe
-
-Quantitative Momentum Analysis
-
-A Peek Inside the Black Box
-
-Beating the Market with Quantitative Momentum
-
-Notes
-
-
-
-
-
-Chapter 9: Making Momentum Work in Practice A Two-Legged Stool: Value + Momentum
-
-A Three-Legged Stool: Combo + Trend
-
-Career Risk Considerations
-
-What if I Can't Handle Poor Relative Performance?
-
-Notes
-
-
-
-
-
-Appendix A: Investigating Alternative Momentum Concepts How Is Momentum Related to Fundamentals?
-
-Is the 52-Week High a Better Momentum Signal?
-
-Can Absolute Strength Improve Relative Strength Momentum?
-
-Can the Volatility of Momentum Be Constrained?
-
-Notes
-
-
-
-
-
-Appendix B: Performance Statistics Definitions
-
-About the Companion Website
-
-Index
-
-EULA
-
-
-
-
-
-Table of Contents
-
-Cover
-
-Title Page
-
-Copyright
-
-Contents
-
-Preface
-
-Acknowledgments
-
-About the Authors
-
-Part 1: Understanding Momentum
-
-Chapter 1: Less Religion; More Reason
-
-Technical Analysis: The Market's Oldest Religion
-
-
-
-
-
-A New Religion Emerges: Fundamental Analysis
-
-
-
-
-
-The Age of Evidence-Based Investing
-
-
-
-
-
-Don't Worry: This Book Is About Stock-Selection Momentum
-
-
-
-
-
-Summary
-
-
-
-
-
-Notes
-
-
-
-
-
-Technical Analysis: The Market's Oldest Religion
-
-A New Religion Emerges: Fundamental Analysis
-
-The Age of Evidence-Based Investing
-
-Don't Worry: This Book Is About Stock-Selection Momentum
-
-Summary
-
-Notes
-
-Chapter 2: Why Can Active Investment Strategies Work?
-
-Into the Lion's Den
-
-
-
-
-
-Good Investing Is Like Good Poker: Pick the Right Table
-
-
-
-
-
-Growth Investing Stinks, So Why Do It?
-
-
-
-
-
-Summary
-
-
-
-
-
-Notes
-
-
-
-
-
-Into the Lion's Den
-
-Good Investing Is Like Good Poker: Pick the Right Table
-
-Growth Investing Stinks, So Why Do It?
-
-Summary
-
-Notes
-
-Chapter 3: Momentum Investing Is Not Growth Investing
-
-The Efficient Market Mafia Kills Relative Strength
-
-
-
-
-
-"Momentum" Rises from the Ashes
-
-
-
-
-
-Behavioral Finance Theorists Explain Momentum
-
-
-
-
-
-Wait a Minute: Momentum Investing Is Just Growth Investing, Which Doesn't Work!
-
-
-
-
-
-Digging Deeper into Growth versus Momentum
-
-
-
-
-
-But Why Does Momentum Work?
-
-
-
-
-
-Summary
-
-
-
-
-
-Notes
-
-
-
-
-
-The Efficient Market Mafia Kills Relative Strength
-
-"Momentum" Rises from the Ashes
-
-Behavioral Finance Theorists Explain Momentum
-
-Wait a Minute: Momentum Investing Is Just Growth Investing, Which Doesn't Work!
-
-Digging Deeper into Growth versus Momentum
-
-But Why Does Momentum Work?
-
-Summary
-
-Notes
-
-Chapter 4: Why All Value Investors Need Momentum
-
-Momentum Is a Myth
-
-
-
-
-
-Asness Separates Fact from Fiction
-
-
-
-
-
-Expanding Your Horizons with Momentum
-
-
-
-
-
-Marrying Value and Momentum
-
-
-
-
-
-Summary
-
-
-
-
-
-Notes
-
-
-
-
-
-Momentum Is a Myth
-
-Asness Separates Fact from Fiction
-
-Expanding Your Horizons with Momentum
-
-Marrying Value and Momentum
-
-Summary
-
-Notes
-
-Chapter 1: Less Religion; More Reason
-
-Technical Analysis: The Market's Oldest Religion
-
-A New Religion Emerges: Fundamental Analysis
-
-The Age of Evidence-Based Investing
-
-Don't Worry: This Book Is About Stock-Selection Momentum
-
-Summary
-
-Notes
-
-Technical Analysis: The Market's Oldest Religion
-
-A New Religion Emerges: Fundamental Analysis
-
-The Age of Evidence-Based Investing
-
-Don't Worry: This Book Is About Stock-Selection Momentum
-
-Summary
-
-Notes
-
-Chapter 2: Why Can Active Investment Strategies Work?
-
-Into the Lion's Den
-
-Good Investing Is Like Good Poker: Pick the Right Table
-
-Growth Investing Stinks, So Why Do It?
-
-Summary
-
-Notes
-
-Into the Lion's Den
-
-Good Investing Is Like Good Poker: Pick the Right Table
-
-Growth Investing Stinks, So Why Do It?
-
-Summary
-
-Notes
-
-Chapter 3: Momentum Investing Is Not Growth Investing
-
-The Efficient Market Mafia Kills Relative Strength
-
-"Momentum" Rises from the Ashes
-
-Behavioral Finance Theorists Explain Momentum
-
-Wait a Minute: Momentum Investing Is Just Growth Investing, Which Doesn't Work!
-
-Digging Deeper into Growth versus Momentum
-
-But Why Does Momentum Work?
-
-Summary
-
-Notes
-
-The Efficient Market Mafia Kills Relative Strength
-
-"Momentum" Rises from the Ashes
-
-Behavioral Finance Theorists Explain Momentum
-
-Wait a Minute: Momentum Investing Is Just Growth Investing, Which Doesn't Work!
-
-Digging Deeper into Growth versus Momentum
-
-But Why Does Momentum Work?
-
-Summary
-
-Notes
-
-Chapter 4: Why All Value Investors Need Momentum
-
-Momentum Is a Myth
-
-Asness Separates Fact from Fiction
-
-Expanding Your Horizons with Momentum
-
-Marrying Value and Momentum
-
-Summary
-
-Notes
-
-Momentum Is a Myth
-
-Asness Separates Fact from Fiction
-
-Expanding Your Horizons with Momentum
-
-Marrying Value and Momentum
-
-Summary
-
-Notes
-
-Part 2: Building a Momentum-Based Stock Selection Model
-
-Chapter 5: The Basics of Building a Momentum Strategy
-
-How to Calculate Generic Momentum
-
-
-
-
-
-Three Types of Momentum
-
-
-
-
-
-Why Momentum Portfolio Construction Matters
-
-
-
-
-
-Summary
-
-
-
-
-
-Notes
-
-
-
-
-
-How to Calculate Generic Momentum
-
-Three Types of Momentum
-
-Why Momentum Portfolio Construction Matters
-
-Summary
-
-Notes
-
-Chapter 6: Maximizing Momentum: The Path Matters
-
-The Performance of Lottery Stocks
-
-
-
-
-
-The Path to Momentum Profits
-
-
-
-
-
-The Results
-
-
-
-
-
-Summary
-
-
-
-
-
-Notes
-
-
-
-
-
-The Performance of Lottery Stocks
-
-The Path to Momentum Profits
-
-The Results
-
-Summary
-
-Notes
-
-Chapter 7: Momentum Investors Need to Know Their Seasons
-
-Window Dressing
-
-
-
-
-
-Tax-Motivated Trading
-
-
-
-
-
-Great Theories: But Why Do We Care?
-
-
-
-
-
-Momentum Seasonality: The Results
-
-
-
-
-
-Summary
-
-
-
-
-
-Notes
-
-
-
-
-
-Window Dressing
-
-Tax-Motivated Trading
-
-Great Theories: But Why Do We Care?
-
-Momentum Seasonality: The Results
-
-Summary
-
-Notes
-
-Chapter 8: Quantitative Momentum Beats the Market
-
-Transaction Costs
-
-
-
-
-
-The Parameters of the Universe
-
-
-
-
-
-Quantitative Momentum Analysis
-
-
-
-
-
-A Peek Inside the Black Box
-
-
-
-
-
-Beating the Market with Quantitative Momentum
-
-
-
-
-
-Notes
-
-
-
-
-
-Transaction Costs
-
-The Parameters of the Universe
-
-Quantitative Momentum Analysis
-
-A Peek Inside the Black Box
-
-Beating the Market with Quantitative Momentum
-
-Notes
-
-Chapter 9: Making Momentum Work in Practice
-
-A Two-Legged Stool: Value + Momentum
-
-
-
-
-
-A Three-Legged Stool: Combo + Trend
-
-
-
-
-
-Career Risk Considerations
-
-
-
-
-
-What if I Can't Handle Poor Relative Performance?
-
-
-
-
-
-Notes
-
-
-
-
-
-A Two-Legged Stool: Value + Momentum
-
-A Three-Legged Stool: Combo + Trend
-
-Career Risk Considerations
-
-What if I Can't Handle Poor Relative Performance?
-
-Notes
-
-Chapter 5: The Basics of Building a Momentum Strategy
-
-How to Calculate Generic Momentum
-
-Three Types of Momentum
-
-Why Momentum Portfolio Construction Matters
-
-Summary
-
-Notes
-
-How to Calculate Generic Momentum
-
-Three Types of Momentum
-
-Why Momentum Portfolio Construction Matters
-
-Summary
-
-Notes
-
-Chapter 6: Maximizing Momentum: The Path Matters
-
-The Performance of Lottery Stocks
-
-The Path to Momentum Profits
-
-The Results
-
-Summary
-
-Notes
-
-The Performance of Lottery Stocks
-
-The Path to Momentum Profits
-
-The Results
-
-Summary
-
-Notes
-
-Chapter 7: Momentum Investors Need to Know Their Seasons
-
-Window Dressing
-
-Tax-Motivated Trading
-
-Great Theories: But Why Do We Care?
-
-Momentum Seasonality: The Results
-
-Summary
-
-Notes
-
-Window Dressing
-
-Tax-Motivated Trading
-
-Great Theories: But Why Do We Care?
-
-Momentum Seasonality: The Results
-
-Summary
-
-Notes
-
-Chapter 8: Quantitative Momentum Beats the Market
-
-Transaction Costs
-
-The Parameters of the Universe
-
-Quantitative Momentum Analysis
-
-A Peek Inside the Black Box
-
-Beating the Market with Quantitative Momentum
-
-Notes
-
-Transaction Costs
-
-The Parameters of the Universe
-
-Quantitative Momentum Analysis
-
-A Peek Inside the Black Box
-
-Beating the Market with Quantitative Momentum
-
-Notes
-
-Chapter 9: Making Momentum Work in Practice
-
-A Two-Legged Stool: Value + Momentum
-
-A Three-Legged Stool: Combo + Trend
-
-Career Risk Considerations
-
-What if I Can't Handle Poor Relative Performance?
-
-Notes
-
-A Two-Legged Stool: Value + Momentum
-
-A Three-Legged Stool: Combo + Trend
-
-Career Risk Considerations
-
-What if I Can't Handle Poor Relative Performance?
-
-Notes
-
-Appendix A: Investigating Alternative Momentum Concepts
-
-How Is Momentum Related to Fundamentals?
-
-Is the 52-Week High a Better Momentum Signal?
-
-Can Absolute Strength Improve Relative Strength Momentum?
-
-Can the Volatility of Momentum Be Constrained?
-
-Notes
-
-How Is Momentum Related to Fundamentals?
-
-Is the 52-Week High a Better Momentum Signal?
-
-Can Absolute Strength Improve Relative Strength Momentum?
-
-Can the Volatility of Momentum Be Constrained?
-
-Notes
-
-Appendix B: Performance Statistics Definitions
-
-About the Companion Website
-
-Index
-
-EULA
-
-
-
-
-
diff --git a/Books/Finance/Quantitative Value - Carlisle, Tobias, Gray, Wes.txt b/Books/Finance/Quantitative Value - Carlisle, Tobias, Gray, Wes.txt
index 14dfc40..a4ff869 100644
--- a/Books/Finance/Quantitative Value - Carlisle, Tobias, Gray, Wes.txt	
+++ b/Books/Finance/Quantitative Value - Carlisle, Tobias, Gray, Wes.txt	
@@ -1,264 +1,3 @@
-Contents
-
-Cover
-
-Series
-
-Title Page
-
-Copyright
-
-Dedication
-
-Preface
-
-Acknowledgments
-
-Part 1: The Foundation of Quantitative Value
-
-Chapter 1: The Paradox of Dumb Money
-
-VALUE STRATEGIES BEAT THE MARKET
-
-HOW QUANTITATIVE INVESTING PROTECTS AGAINST BEHAVIORAL ERRORS
-
-THE POWER OF QUANTITATIVE VALUE INVESTING
-
-NOTES
-
-Chapter 2: A Blueprint to a Better Quantitative Value Strategy
-
-GREENBLATT'S MAGIC FORMULA
-
-IT'S ALL ACADEMIC: IMPROVING QUALITY AND PRICE
-
-STRATEGY IMPLEMENTATION: INVESTORS BEHAVING BADLY
-
-NOTES
-
-Part 2: Margin of Safety—How to Avoid a Permanent Loss of Capital
-
-Chapter 3: Hornswoggled! Eliminating Earnings Manipulators and Outright Frauds
-
-ACCRUALS AND THE ART OF EARNINGS MANIPULATION
-
-PREDICTING PROBMs
-
-NOTES
-
-Chapter 4: Measuring the Risk of Financial Distress: How to Avoid the Sick Men of the Stock Market
-
-A BRIEF HISTORY OF BANKRUPTCY PREDICTION
-
-IMPROVING BANKRUPTCY PREDICTION
-
-HOW WE CALCULATE THE RISK OF FINANCIAL DISTRESS
-
-SCRUBBING THE UNIVERSE
-
-NOTES
-
-Part 3: Quality—How to Find a Wonderful Business
-
-Chapter 5: Franchises—The Archetype of High Quality
-
-THE CHAIRMAN'S SECRET RECIPE
-
-HOW TO FIND A FRANCHISE
-
-NOTES
-
-Chapter 6: Financial Strength: Foundations Built on Rock
-
-THE PIOTROSKI FUNDAMENTAL SCORE (F_SCORE)
-
-OUR FINANCIAL STRENGTH SCORE (FS_SCORE)
-
-COMPARING THE PERFORMANCE OF PIOTROSKI'S F_SCORE AND OUR FS_SCORE
-
-CASE STUDY: LUBRIZOL CORPORATION
-
-NOTES
-
-Part 4: The Secret to Finding Bargain Prices
-
-Chapter 7: Price Ratios: A Horse Race
-
-THE HORSES IN THE RACE
-
-RULES OF THE RACE
-
-THE RACE CALL
-
-A PRICE RATIO FOR ALL SEASONS
-
-THE OFFICIAL WINNER
-
-NOTES
-
-Chapter 8: Alternative Price Measures—Normalized Earning Power and Composite Ratios
-
-NORMALIZED EARNING POWER
-
-COMPOUND PRICE RATIOS: IS THE WHOLE GREATER THAN THE SUM OF ITS PARTS?
-
-NOTES
-
-Part 5: Corroborative Signals
-
-Chapter 9: Blue Horseshoe Loves Anacott Steel: Follow the Signals from the Smart Money
-
-STOCK BUYBACKS, ISSUANCE, AND ANNOUNCEMENTS
-
-INSIDER TRADERS BEAT THE MARKET
-
-ACTIVISM AND CLONING
-
-SHORT MONEY IS SMART MONEY
-
-NOTES
-
-Part 6: Building and Testing the Model
-
-Chapter 10: Bangladeshi Butter Production Predicts the S&P 500 Close
-
-SUSTAINABLE ALPHA: A FRAMEWORK FOR ASSESSING PAST RESULTS
-
-WHAT'S THE BIG IDEA?
-
-RIGOROUSLY TEST THE BIG IDEA
-
-THE PARAMETERS OF THE UNIVERSE
-
-NOTES
-
-Chapter 11: Problems with the Magic Formula
-
-GLAMOUR IS ALWAYS A BAD BET
-
-IMPROVING THE STRUCTURE OF A QUANTITATIVE VALUE STRATEGY
-
-OUR FINAL QUANTITATIVE VALUE CHECKLIST
-
-NOTES
-
-Chapter 12: Quantitative Value Beats the Market
-
-RISK AND RETURN
-
-ROBUSTNESS
-
-A PEEK INSIDE THE BLACK BOX
-
-MAN VERSUS MACHINE
-
-BEATING THE MARKET WITH QUANTITATIVE VALUE
-
-NOTES
-
-Appendix: Analysis Legend
-
-About the Authors
-
-About the Companion Website
-
-Index
-
-
-
-
-
-Founded in 1807, John Wiley & Sons is the oldest independent publishing company in the United States. With offices in North America, Europe, Australia and Asia, Wiley is globally committed to developing and marketing print and electronic products and services for our customers' professional and personal knowledge and understanding.
-
-
-The Wiley Finance series contains books written specifically for finance and investment professionals as well as sophisticated individual investors and their financial advisors. Book topics range from portfolio management to e-commerce, risk management, financial engineering, valuation and financial instrument analysis, as well as much more.
-
-For a list of available titles, visit our website at www.WileyFinance.com.
-
-
-
-
-
-Cover design: John Wiley & Sons
-
-
-Copyright © 2013 by Wesley R. Gray and Tobias E. Carlisle. All rights reserved.
-
-Published by John Wiley & Sons, Inc., Hoboken, New Jersey.
-
-Published simultaneously in Canada.
-
-No part of this publication may be reproduced, stored in a retrieval system, or transmitted in any form or by any means, electronic, mechanical, photocopying, recording, scanning, or otherwise, except as permitted under Section 107 or 108 of the 1976 United States Copyright Act, without either the prior written permission of the Publisher, or authorization through payment of the appropriate per-copy fee to the Copyright Clearance Center, Inc., 222 Rosewood Drive, Danvers, MA 01923, (978) 750-8400, fax (978) 646-8600, or on the Web at www.copyright.com. Requests to the Publisher for permission should be addressed to the Permissions Department, John Wiley & Sons, Inc., 111 River Street, Hoboken, NJ 07030, (201) 748-6011, fax (201) 748-6008, or online at www.wiley.com/go/permissions.
-
-Limit of Liability/Disclaimer of Warranty: While the publisher and author have used their best efforts in preparing this book, they make no representations or warranties with respect to the accuracy or completeness of the contents of this book and specifically disclaim any implied warranties of merchantability or fitness for a particular purpose. No warranty may be created or extended by sales representatives or written sales materials. The advice and strategies contained herein may not be suitable for your situation. You should consult with a professional where appropriate. Neither the publisher nor author shall be liable for any loss of profit or any other commercial damages, including but not limited to special, incidental, consequential, or other damages.
-
-For general information on our other products and services or for technical support, please contact our Customer Care Department within the United States at (800) 762-2974, outside the United States at (317) 572-3993 or fax (317) 572-4002.
-
-Wiley publishes in a variety of print and electronic formats and by print-on-demand. Some material included with standard print versions of this book may not be included in e-books or in print-on-demand. If this book refers to media such as a CD or DVD that is not included in the version you purchased, you may download this material at http://booksupport.wiley.com. For more information about Wiley products, visit www.wiley.com.
-
-Library of Congress Cataloging-in-Publication Data:
-
-Gray, Wesley R.
-
-Quantitative value + website : a practitioner's guide to automating intelligent investment and eliminating behavioral errors / Wesley R. Gray and Tobias E. Carlisle.
-
-pages cm. — (Wiley finance series)
-
-Includes bibliographical references and index.
-
-ISBN 978-1-118-32807-1 (cloth); ISBN 978-1-118-42000-3 (ebk); ISBN 978-1-118-41655-6 (ebk)
-
-1. Investments--Psychological aspects. 2. Investments–Decision making. 3. Quantitative research. I. Carlisle, Tobias E., 1979- II. Title. III. Title: Quantitative value and website.
-
-HG4515.15.G73 2013
-
-332.6—dc23
-
-2012032321
-
-
-
-
-
-For Nickole, without whom none of this is possible, andwith whom anything is possible.
-
-
-—Toby
-
-To all my girls: Katie, Alice, and Glenda. Semper Fidelis.
-
-—Wes
-
-
-
-
-
-Preface
-
-
-This book is first and foremost about value investment—treating stock as part ownership of a business valued through analysis of fundamental financial statement data. Benjamin Graham established the principles of value investing more than 75 years ago. Today, they are widely employed in the investment industry and generally accepted in academia. Its success as an investment philosophy is largely due to the investment performance of Graham's most famous student, Warren Buffett, whose shareholder letters have inspired multitudes to follow in his footsteps. Despite the widespread adoption of the philosophy, the exponential growth in computing power, and the ubiquity of financial data, the value phenomenon persists. It seems to defy logic. Why does the efficient market leave a free lunch on the table? The best answer is that the value phenomenon persists for the same reason it existed when Graham first conceived it: human beings behave irrationally. While investment tools have advanced, humans remain all too human, subject to the same cognitive biases that have plagued us since time immemorial. We may not be able to conquer these intrinsic behavioral weaknesses, but we can adapt our investment process to minimize them. The means to do so is the second aspect of this book: quantitative investment.
-
-While the term quantitative likely conjures images of complex equations churned by powerful computers, it's best understood as the antidote to behavioral error. Our apparatus for reasoning under conditions of uncertainty is faulty, so much so that we are often entirely unaware of how imperfect it is because it blinds us to our failure. We are confidently incompetent. We need some means to protect us from our cognitive biases, and the quantitative method is that means. It serves both to protect us from our own behavioral errors and to exploit the behavioral errors of others. The model does need not be complex to achieve this end. In fact, the weight of evidence indicates that even simple statistical models outperform the best experts. It speaks to the diabolical nature of our faulty cognitive apparatus that those simple statistical models continue to outperform the best experts even when those same experts are given access to the models' output. This is as true for a value investor as it is for any other expert in any other field of endeavor.
-
-This book is aimed at value investors. It's a humbling and maddening experience to compare active investment results with an analogous passive strategy. How can it be that so much effort appears to be wasted? (We use the word wasted euphemistically. A more honest expression might be “value destroying.”) The likely reason is that active managers unconsciously—but systematically—introduce cognitive biases into the portfolio, and these biases lead to underperformance. It's not, however, our destiny to do so. There are several quantitative measures that lead to better performance, and these metrics will be familiar to any value investor: enhancing the margin of safety, identifying the highest-quality franchises, and finding the cheapest stocks. We canvass the research in each, test it in our own system, and then combine the best ideas in each category into a comprehensive quantitative value strategy. It's not passive indexing. It's active value investing performed systematically.
-
-
-
-
-
-Acknowledgments
-
-
-We are a lot like a turtle on top of a fencepost—it's obvious we didn't get here alone. We have had enormous support from many colleagues, friends, and family in making this book a reality. First and foremost, Dr. Gray would like to thank Jack Vogel for his outstanding research and amazing dedication to accomplishing the mission. David Foulke played an integral role in the development of the book and made the book more accessible to “nonquants.” Carl Kanner and the rest of the crew at Empiritrage, LLC—Cliff Gray, Yang Xu, Tao Wang, and Shenglan Zhang—read and reread the manuscript, ensuring it was democratizing quant at every step along the way. Katie Gray also played a key role in drafting the initial manuscript, ensuring it was easy to read and free of errors. Dr. Gray would also like to thank Drexel University's LeBow College of Business, and particularly his colleagues in the Department of Finance, for supporting his research agenda. Jared Wilson served as a dedicated research assistant and offered excellent advice and insights throughout the book-writing process. A number of colleagues at other institutions, notably Hui Chen at MIT, Steve Crawford at Rice University, Gil Sadka at Columbia, and Richard Price at Rice University, also provided valuable insights along the way. Robert Kanner and Edward Stern have been unfailing mentors in many of Dr. Gray's endeavors and particularly supportive in the development of the book, for which he is eternally grateful. When Dr. Gray's Popsicle stand finally takes flight, Bob and Eddie will be the reason for its success.
-
-Legendary Australian ad man John “Singo” Singleton once said, “Anyone who reckons luck doesn't have anything to do with success has never been successful, and never will be, unless they're bloody lucky.” It's a worldview to which Mr. Carlisle subscribes, and so, first and foremost, he'd like to thank his own personal Goddess Fortuna, Nickole Carlisle. Nickole helped to make the manuscript as compelling to the lay reader as we hope it is to the quant. Mr. Carlisle would also like to thank Michael and Heather Craft, Steve Baxter, Pete Latham, Chris Hughes, and Roger and Wendy Carlisle for the support; Troy Harry for the opportunity; Dougs, for teaching him that you don't play Ping-Pong if you can't take a punch; Em, who taught him that if you can keep your head when all about you are losing theirs, you have not fully grasped the gravity of situation; and Pete Love and Ross Johnson for the thoughtful discussion. Finally, he would like to thank the loyal readers of greenbackd.com, who inspired him to push beyond the boundaries of the online world.
-
-Finally, we are deeply appreciative of the entire team at Wiley Finance, most especially Bill Falloon and Meg Freeborn, who provided guidance and advice all along the way.
-
-
-
-
-
 PART ONE
 
 
@@ -267,9 +6,6 @@ The Foundation of Quantitative Value
 This book is organized into six main parts. Part One sets out the rationale for quantitative value investment and introduces our checklist. In it we examine several simple quantitative value strategies to illustrate some key elements of the investment process. In Part Two we discuss how to avoid stocks at high risk of sustaining a permanent loss of capital—those suffering from financial statement manipulation, fraud, and financial distress. Part Three contains an examination of the indicia of high-quality stocks—an economic franchise and superior financial strength. We go bargain hunting in Part Four, looking for the price ratios that best identify undervalued stocks and lead to the best risk-adjusted investment performance. We look at several unusual implementations of price ratios, including long-term average price ratios and price ratios in combination. Part Five sets out a variety of signals sent by other market participants. There we look at the impact of buybacks, insider purchases, short selling, and buying and selling from institutional investment managers like activists and other fund managers. Finally, in Part Six we build and test our quantitative value model. We study the best way to combine the research we've considered into a cohesive strategy, and then back-test the resulting quantitative value model.
 
 
-
-
-
 CHAPTER 1
 
 
@@ -416,59 +152,6 @@ So what did Graham believe was the simplest way to select value stocks? He recom
 
 Graham's simple strategy sounds almost too good to be true. Sure, this approach worked in the 50 years prior to 1976, but how has it performed in the age of the personal computer and the Internet, where computing power is a commodity, and access to comprehensive financial information is as close as the browser? We decided to find out. Like Graham, we used a price-to-earnings ratio cutoff of 10, and we included only stocks with a debt-to-equity ratio of less than 50 percent. We also apply his trading rules, selling a stock if it returned 50 percent or had been held in the portfolio for two years.
 
-Figure 1.2 shows the cumulative performance of Graham's simple value strategy plotted against the performance of the S&P 500 for the period 1976 to 2011. Amazingly, Graham's simple value strategy has continued to outperform.
-
-FIGURE 1.2 Graham Simple Value Strategy Performance Chart (1976 to 2011)
-
-
-
-Table 1.2 presents the results from our study of the simple Graham value strategy. Graham's strategy turns $100 invested on January 1, 1976, into $36,354 by December 31, 2011, which represents an average yearly compound rate of return of 17.80 percent—outperforming even Graham's estimate of approximately 15 percent per year. This compares favorably with the performance of the S&P 500 over the same period, which would have turned $100 invested on January 1, 1976, into $4,351 by December 31, 2011, an average yearly compound rate of return of 11.05 percent. The performance of the Graham strategy is attended by very high volatility, 23.92 percent versus 15.40 percent for the total return on the S&P 500. The strategy would also have required a cast-iron gut because only a few stocks qualified at any given time, and the back-test assumed that we invested all our capital in those stocks. The Graham portfolio averaged 21 positions for the full period, but Figure 1.3 illustrates that the portfolio was frequently heavily concentrated in only very few stocks, and was fully invested in only one security in 2004. In practice, portfolio risk considerations would prevent us from investing “all in” on one stock.
-
-TABLE 1.2 Performance of Graham's Simple Quantitative Value Strategy (1976 to 2011)
-
-Graham S&P 500 TR
-
-CAGR 17.80% 11.05%
-
-Standard Deviation 23.92% 15.40%
-
-Downside Deviation 16.26% 11.15%
-
-Sharpe Ratio 0.59 0.42
-
-Sortino Ratio (MAR = 5%) 0.88 0.60
-
-Worst Drawdown −54.61% −50.21%
-
-Worst Month Return −28.84% −21.58%
-
-Best Month Return 40.79% 13.52%
-
-Profitable Months 59.95% 61.57%
-
-Rolling 5-Year Win — 90.35%
-
-Rolling 10-Year Win — 95.53%
-
-FIGURE 1.3 Graham Strategy Portfolio Holdings over Time (1976 to 2011)
-
-
-
-Table 1.2 sets out the performance statistics for Graham's simple quantitative strategy over the period from 1976 to 2011.
-
-Graham said that the minimum period to determine the likely performance of his strategy was five years. Table 1.2 highlights that Graham's simple strategy beats the S&P 500 90.35 percent of rolling 5-year periods, and 95.53 percent of rolling 10-year periods. Figures 1.4 (a) and (b) show the rolling 1-, 5-, and 10-year returns for the simple Graham strategy for the period 1976 to 2011. As the figures illustrate, Graham's simple value strategy has underperformed in several periods; however, over long periods of time, it has proven to perform exceptionally well and in accordance with Graham's prediction.
-
-FIGURE 1.4(a) One-Year Rolling Period Performance Statistics: Graham Strategy (1976 to 2011)
-
-
-
-FIGURE 1.4(b) Five-Year Rolling Period Performance Statistics: Graham Strategy (1976 to 2011)
-
-
-
-FIGURE 1.4(c) Ten-Year Rolling Period Performance Statistics: Graham Strategy (1976 to 2011)
-
-
 
 The evidence suggests that Graham's simplified approach to value investment continues to outperform the market. It's useful to consider why. At a superficial level, it's clear that some proxy for price—like a P/E ratio below 10—combined with some proxy for quality—like a debt-to-equity ratio below 50 percent—is predictive of future returns. But is something else at work here that might provide us with a deeper understanding of the reasons for the strategy's success? Is there some other reason for its outperformance beyond simple awareness of the strategy? We think so.
 
@@ -563,112 +246,6 @@ We believe Greenblatt's Magic Formula is an elegant step in the right direction,
 
 
 
-
-NOTES
-
-
-1. Benjamin Graham and David Dodd, Security Analysis: The Classic 1934 Edition (McGraw-Hill, 1996).
-
-2. Edward O. Thorp, “A Mathematician on Wall Street: Bridge with Buffett.” Wilmott Magazine, November 2005, pp. 34–36, www.wilmott.com/pdfs/110329_thorp.pdf.
-
-3. Jonathan Davis, “Buffett on Bridge,” www.buffettcup.com/BuffettonBridge/tabid/69/language/en-GB/Default.aspx.
-
-4. Ibid.
-
-5. Thorp.
-
-6. William Poundstone, Fortune's Formula: The Untold Story of the Scientific Betting System that Beat the Casinos and Wall Street (New York: Hill and Wang, 2005).
-
-7. Scott Patterson, The Quants: How a New Breed of Math Whizzes Conquered Wall Street and Nearly Destroyed It (New York: Crown Business, 2010).
-
-8. Poundstone, p. 148.
-
-9. Poundstone, p. 320.
-
-10. Warren Buffett, “Shareholder Letter,” Berkshire Hathaway, Inc. Annual Report, 1992.
-
-11. Edward O. Thorp and Sheen T. Kassouf, Beat the Market: A Scientific Stock Market System (Random House, 1967).
-
-12. Warren Buffett, “Shareholder Letter,” Berkshire Hathaway, Inc. Annual Report, 1987.
-
-13. Thorp and Kassouf, 1967.
-
-14. Thorp, 2005.
-
-15. Warren Buffett, “Shareholder Letter,” Berkshire Hathaway, Inc. Annual Report, 1988.
-
-16. Warren Buffett, “The Superinvestors of Graham-and-Doddsville,” Hermes, Columbia Business School alumni magazine, 1984. Available at www7.gsb.columbia.edu/alumni/news/hermes/print-archive/superinvestors.
-
-17. Benjamin Graham, “Should Rich but Losing Corporations Be Liquidated?” Reprinted on Forbes.com, December 27, 1999. Available at http://www.forbes.com/forbes/1999/1227/6415410a.html.
-
-18. Justin Fox, The Myth of the Rational Market: A History of Risk, Reward, and Delusion on Wall Street (New York: HarperBusiness, 2009).
-
-19. Ibid.
-
-20. Benjamin Graham, The Intelligent Investor: A Book of Practical Counsel, 4th ed. (New York: Harper & Row, 1986).
-
-21. Warren Buffett, “Shareholder Letter,” Berkshire Hathaway, Inc. Annual Report, 2008.
-
-22. Seth A. Klarman, Margin of Safety: Risk-Averse Value Investing Strategies for the Thoughtful Investor (New York: HarperCollins, 1991).
-
-23. Ibid.
-
-24. Ibid.
-
-25. J. Lakonishok, A. Shleifer, and R. W. Vishny, “Contrarian Investments, Extrapolation, and Risk.” Journal of Finance 49(5): 1541–1578, 1994.
-
-26. Warren Buffett, “Shareholder Letter,” Berkshire Hathaway, Inc. Annual Report, 1985.
-
-27. Graham and Dodd.
-
-28. Benjamin Graham, “A Conversation with Benjamin Graham.” Financial Analysts Journal 32(5) (1976): 20–23. This article was first brought to our attention by Charles Mizrahi.
-
-29. Janet Lowe, The Rediscovered Benjamin Graham: Selected Writings of the Wall Street Legend (New York: John Wiley & Sons, 1999).
-
-30. Graham, 1976.
-
-31. Amy Stone, “Homespun Wisdom from the ‘Oracle of Omaha.'” BusinessWeek (June 25, 1999), www.businessweek.com/1999/99_27/b3636006.htm.
-
-32. Eleanor Laise, “Best Stock Fund of the Decade: CGM Focus.” Wall Street Journal, Fund Track (December 31, 2009), http://online.wsj.com/article/SB10001424052748704876804574628561609012716.html.
-
-33. Jesse J. Prinz, Gut Reactions: A Perceptual Theory of Emotion (Philosophy of Mind) (Oxford: Oxford University Press, USA, 2004).
-
-34. Nicholas Barberis and Richard Thaler, “A Survey of Behavioral Finance.” NBER Working Paper No. 9222, September 2002, www.nber.org/papers/w9222.
-
-35. Amos Tversky and Daniel Kahneman, “Judgment under Uncertainty: Heuristics and Biases.” Science, New Series 185(4157) (September 27, 1974): 1124–1131; www.jstor.org/pss/1738360.
-
-36. Dan Ariely, Predictably Irrational: The Hidden Forces that Shape Our Decisions (New York: HarperCollins, 2008).
-
-37. Philip E. Tetlock. Expert Political Judgment: How Good Is It? How Can We Know? (Princeton University Press, 2005).
-
-38. James Montier, Behavioural Investing: A Practitioners Guide to Applying Behavioural Finance (Hoboken, NJ: John Wiley & Sons, 2007).
-
-39. Ibid.
-
-40. Ian Ayres, Super Crunchers: Why Thinking-by-Numbers Is the New Way to Be Smart (New York: Bantam, 2007).
-
-41. Ibid.
-
-42. Graham.
-
-43. Montier.
-
-44. Nassim Nicholas Taleb, Fooled by Randomness: The Hidden Role of Chance in Life and in the Markets (Ran dom House, 2008).
-
-45. See, for example, Charles G. Lord, Elizabeth Preston, and Mark Lepper, “Considering the Opposite: A Corrective Strategy for Social Judgment.” Journal of Personality and Social Psychology 47(6) (1984): 1231–1243; or Asher Koriat, Sarah Lichenstein, and Baruch Fischhoff, “Reasons for Confidence.” Journal of Experimental Psychology: Human Learning and Memory 6(2) (1980): 107–118.
-
-46. James Montier, The Little Book of Behavioral Investing: How Not to Be Your Own Worst Enemy (Little Books, Big Profits [UK]) (Hoboken, NJ: John Wiley & Sons, 2010).
-
-47. Warren Buffett, “Shareholder Letter,” Berkshire Hathaway, Inc. Annual Report, 1993.
-
-48. Janet Lowe, Damn Right! Behind the Scenes with Berkshire Hathaway Billionaire Charlie Munger (New York: John Wiley & Sons, 2000).
-
-49. David Einhorn, “Winning Poker Strategies from an Investor, or Financial Learnings for Make Benefit Glorious Wiseguys.” Value Investing Congress, November 10, 2006.
-
-
-
-
-
 CHAPTER 2
 
 
@@ -733,44 +310,6 @@ We have conducted our own independent study of the Magic Formula. Greenblatt doe
 
 Next, we present the results of our study into the Magic Formula strategy for the period from 1964 to 2011. Figure 2.1 shows the cumulative performance of Greenblatt's Magic Formula strategy plotted against the performance of the S&P 500 TR (total return) and the total return for the 10-year Treasury bond for the period 1964 to 2011. We draw our Magic Formula stocks from a universe comparable to the S&P 500 in terms of size, and we weight the stocks in the portfolios by market capitalization for fair comparison to the benchmark.8.
 
-FIGURE 2.1 Greenblatt's Magic Formula Strategy Performance Chart (1964 to 2011)
-
-
-
-Table 2.1 sets out the summary annual performance statistics of the Magic Formula. “MF” represents a portfolio of stocks from the best decile of stocks ranked according to the Magic Formula. Greenblatt's strategy turns $100 invested on January 1, 1964, into $32,313 by December 31, 2011, which represents a compound annual growth rate of 12.79 percent. This return underperforms Greenblatt's results, which found 30.8 percent per year, because we require our stocks to have a larger market capitalization than Greenblatt.9. We also weight the stocks in the portfolio by market capitalization to make the returns comparable to the market capitalization–weighted S&P 500, while Greenblatt equally weights the stocks in his portfolios (we discuss our back-test procedures in detail in Chapter 11). Importantly, the Magic Formula's performance does compare favorably with the performance of the S&P 500 over the same period, which would have turned $100 invested on January 1, 1964, into $7,871 by December 31, 2011, an average yearly compound rate of return of 9.52 percent. Table 2.1 confirms that Greenblatt's Magic Formula was a better risk-adjusted bet: Sharpe, Sortino, and drawdowns are all better than the S&P 500.
-
-TABLE 2.1 Performance Statistics for the Magic Formula Strategy (1964 to 2011)
-
-
-
-Figures 2.2(a) and 2.2(b) show the rolling 1-year and 10-year returns for the Magic Formula for the period 1964 to 2011. As Figure 2.2 illustrates, Greenblatt's Magic Formula strategy has underperformed in many single-year periods; however, over longer periods of time, it has proven to perform exceptionally well.
-
-FIGURE 2.2(a) One-Year Rolling Period Performance Statistics: Magic Formula Strategy (1964 to 2011)
-
-
-
-FIGURE 2.2(b) Ten-Year Rolling Period Performance Statistics: Magic Formula Strategy (1964 to 2011)
-
-
-
-Figure 2.3 shows the performance of each decile ranked according to the Magic Formula for the period 1964 to 2011.
-
-FIGURE 2.3 Decile Performance Chart: Magic Formula Strategy (1964 to 2011)
-
-
-
-Table 2.2 shows the summary performance statistics for a portfolio formed from each decile ranked according to the Magic Formula for the period 1964 to 2011. “Value” represents the portfolio formed from highest ranked decile, “MF (5)” represents the portfolio formed from the middle decile, and “Glamour” is the portfolio formed from the lowest ranked decile. Figure 2.2 and Table 2.2 demonstrate that the Magic Formula does quite well ranking the stocks. The first and best decile according to the Magic Formula outperforms the worst and last decile. The better deciles also tend to outperform with lower volatility, measured by standard and downside deviation, which leads to better risk-adjusted returns, represented by higher Sharpe and Sortino ratios.
-
-TABLE 2.2 Glamour, Middle, and Value Decile Performance Statistics: Magic Formula Strategy (1964 to 2011)
-
-
-
-As the figures and tables demonstrate, Greenblatt's Magic Formula has consistently outperformed the market, and with lower relative risk than the market. The nature of compounding means that, over long periods of time, small edges can result in big differences in returns. The small edge generated by the Magic Formula will make an investor very rich relative to the passive S&P 500 investor over the long term. An edge, some patience, and the magic of compounding translate into serious profits.
-
-Our study of the Magic Formula shows that analyzing stocks according to some proxy for price (e.g., a “bargain” or a “fair” price), and some proxy for quality (e.g., a “good” business or a “wonderful” company) can help us to identify value, and provide us with an edge, that can lead to outperformance and excellent risk-adjusted returns. Naturally, we wondered if we could improve on the outstanding performance delivered by the Magic Formula. Are there other simple, logical strategies that can do better?
-
-
-
 
 
 IT's ALL ACADEMIC: IMPROVING QUALITY AND PRICE
@@ -953,47 +492,6 @@ Gawande eventually turned his article into the best-selling book, The Checklist
 
 
 
-
-
-NOTES
-
-
-1. Warren Buffett, “Shareholder Letter,” Berkshire Hathaway, Inc. Annual Report, 2008.
-
-2. Joel Greenblatt, The Little Book that Beats the Market (Hoboken, NJ: John Wiley & Sons, 2005).
-
-3. Joel Greenblatt, You Can Be a Stock Market Genius: Uncover the Secret Hiding Places of Stock Market Profits (New York: Touchstone, 1999).
-
-4. Warren Buffett, “Chairman's Letter,” Berkshire Hathaway, Inc. Annual Report, 1989.
-
-5. Warren Buffett, “Shareholder Letter,” Berkshire Hathaway, Inc. Annual Report, 1977
-
-6. Aswath Damodaran, “Return on Capital, Return on Invested Capital (ROIC), and Return on Equity (ROE): Measurement and Implications.” Accessed July 2007, from http://pages.stern.nyu.edu/~adamodar/pdfiles/papers/returnmeasures.pdf.
-
-7. Unless we explicitly state otherwise, the simulation assumptions and methodology we use to conduct all the studies in this book, including our examination of the Magic Formula and Graham's Simple Value Strategy in Chapter 1, are described in detail in Chapter 11.
-
-8. We perform all our analyses on an equal-weight basis and find similar conclusions for all analyses in the book.
-
-9. We have tried multiple waiting systems, rebalance periods, and portfolio constructions (i.e., we mined the data) and were unable to generate returns over the 1988 to 2004 period that were close to 30.8 percent a year.
-
-10. Robert Novy-Marx, “The Other Side of Value: Good Growth and the Gross Profitability Premium” (April 2010). NBER Working Paper No. w15940. Available at http://ssrn.com/abstract=1598056.
-
-11. Ibid.
-
-12. Ibid.
-
-13. Eugene Fama and Kenneth French, “Q&A: Why Use Book Value to Sort Stocks?” Fama/French Forum, June 27, 2011; www.dimensional.com/famafrench/2011/06/qa-why-use-book-value-to-sort-stocks.html.
-
-14. Joel Greenblatt, “Adding Your Two Cents May Cost a Lot Over the Long Term.” Perspectives, Morningstar, January 16, 2012; http://news.morningstar.com/articlenet/SubmissionsArticle.aspx?submissionid=134195.xml&part=2.
-
-15. Atul Gawande, “The Checklist.” The New Yorker, Annals of Medicine (December 10, 2007); www.newyorker.com/reporting/2007/12/10/071210fa_fact_gawande?currentPage=2.
-
-16. Atul Gawande, The Checklist Manifesto: How to Get Things Right (New York: Metropolitan Books, 2009).
-
-
-
-
-
 PART TWO
 
 
@@ -1310,51 +808,6 @@ The final weapon in our arsenal is PROBM, a comprehensive predictive tool that i
 
 
 
-NOTES
-
-
-1. Galbraith, John Kenneth. The Great Crash of 1929 (New York: Mariner Books, 1997).
-
-2. Warren Buffett, “Chairman's Letter,” Berkshire Hathaway, Inc. Annual Report,2002.
-
-3. Warren Buffett, “Chairman's Letter,” Berkshire Hathaway, Inc. Annual Report, 1988.
-
-4. This story was first described to us by David P. Foulke as a way to describe accrual shenanigans in a simple way.
-
-5. Siew Hong Teoh, Ivo Welch, and T. J. Wong, “Earnings Management and the Long-Run Market Performance of Initial Public Offerings.” Journal of Finance 53(6) (December 1998); www.jstor.org/stable/i300839.
-
-6. L. L. DuCharme, P. H. Malatesta, and S. E. Sefcik, “Earnings Management, Stock Issues, and Shareholder Lawsuits.” Journal of Financial Economics 71 (January 2004): 27–40.
-
-7. De-Wai Chou, Michael Gombola, and Feng-Ying Liu, “Earnings Management and Stock Performance of Reverse Leveraged Buyouts.” Journal of Financial and Quantitative Analysis, forthcoming. Available at http://ssrn.com/abstract=684426.
-
-8. Richard Sloan, “Do Stock Prices Fully Reflect Information in Accruals and Cash Flows about Future Earnings?” Accounting Review 71 (1996): 289–315.
-
-9. David Hirshleifer, Kewei Hou, Siew Hong Teoh, and Yinglei Zhang, “Do Stock Prices Fully Reflect Information in Accruals and Cash Flows about Future Earnings?” Journal of Accounting and Economics 38 (2004): 297–331.
-
-10. George A. Papanastasopoulos, Dimitrios D. Thomakos, and Tao Wang, “Information in Balance Sheets for Future Stock Returns: Evidence from Net Operating Assets (June 20, 2011).” International Review of Financial Analysis 20 (2011): 269–282. Available at http://ssrn.com/abstract=937361.
-
-11. M. D. Beneish, “The Detection of Earnings Manipulation.” Financial Analysts Journal (September/October 1999): 24–36.
-
-12. Messod Daniel Beneish, Craig Nichols, and Charles M. C. Lee, “To Catch a Thief: Can Forensic Accounting Help Predict Stock Returns? (July 27, 2011).” Available at http://ssrn.com/abstract=1903593 or http://dx.doi.org/10.2139/ssrn.1903593.
-
-13. The NORMDIST function in Excel can be used to perform the transformation of a PROBM score into a more interpretable PMAN, or probability of manipulation score.
-
-14. Bethany McLean and Peter Elkind, Smartest Guys in the Room: The Amazing Rise and Scandalous Fall of Enron (Mountain View, CA: Portfolio Hardcover, 2003).
-
-15. Bethany McLean, “Is Enron Overpriced?” Fortune (March 5, 2001).
-
-16. Data for SGAI are unavailable, so we assume a value of 1 in the regression.
-
-17. All mean figures for manipulators and nonmanipulators are taken from Beneish, Table 2.
-
-18. G. D. L. Morris, “Enron 101: How a Group of Business Students Sold Enron a Year before the Collapse.” Financial History (Spring/Summer 2009): 12–15.
-
-19. Buffett, 1988.
-
-
-
-
-
 CHAPTER 4
 
 
@@ -1537,36 +990,6 @@ Part Two examined a variety of ways to avoid stocks at risk of permanent impairm
 
 
 
-
-NOTES
-
-
-1. Simon Romero and Riva D. Atlas, “WorldCom's Collapse: The Overview; WorldCom Files for Bankruptcy; Largest U.S. Case.” New York Times, July 22, 2002. www.nytimes.com/2002/07/22/us/worldcom-s-collapse-the-overview-worldcom-files-for-bankruptcy-largest-us-case.html.
-
-2. Dennis, Moberg and Edward J. Romar, “WorldCom,” 2003; www.scu.edu/ethics/dialogue/candc/cases/worldcom.html.
-
-3. Warren Buffett, “Shareholder Letter,” Berkshire Hathaway, Inc. Annual Report, 1992.
-
-4. Edward J. Romar and Martin Calkins, “WorldCom Case Study Update 2006,” www.scu.edu/ethics/dialogue/candc/cases/worldcom-update.html.
-
-5. While we use the term bankruptcy to illustrate what we mean by “financial distress,” there are key differences between the two terms. Filing for bankruptcy is the most vivid outcome for a stock in financial distress, but there are other options, including delisting, receiving a D rating, and highly dilutive capital raisings, all of which are bad for stock holders. Suffice it to say that the empirical evidence is that stocks with a high risk of financial distress earn particularly poor returns, and at heightened risk.
-
-6. N. Chuvakhin, and L. Gertmenian, “Predicting Bankruptcy in the WorldCom Age,” 2003, http://gbr.pepperdine.edu/031/bankruptcy.html.
-
-7. Edward I. Altman, “Financial Ratios, Discriminant Analysis and the Prediction of Corporate Bankruptcy.” Journal of Finance 23(1968): 589–609.
-
-8. Luck might not be the complete story. In a 2000 paper Altman wrote that, according to his 1999 review of U.S. industrial stocks in the Compustat database, some 20 percent had Z-scores below 1.81, foretelling the unusually high incidence of bankruptcies in 2001 and 2002.
-
-9. James A. Ohlson, “Financial Ratios and the Probabilistic Prediction of Bankruptcy.” Journal of Accounting Research 18(1) (Spring 1980): 109–131.
-
-10. Tyler Shumway, “Forecasting Bankruptcy More Accurately: A Simple Hazard Model” (July 16, 1999). Available at http://ssrn.com/abstract=171436 or http://dx.doi.org/10.2139/ssrn.171436.
-
-11. John Campbell, Jens Hilscher, and Jan Szilagyi, “Do Stock Prices Fully Reflect Information in Accruals and Cash Flows about Future Earnings? In Search of Distress Risk.” Journal of Finance 63 (2008): 2899–2939.
-
-
-
-
-
 PART THREE
 
 
@@ -1933,33 +1356,6 @@ There is another element of quality not captured by a stock's return on capital
 
 
 
-NOTES
-
-
-1. Warren Buffett, “Shareholder Letter,” Berkshire Hathaway, Inc. Annual Report, 1991.
-
-2. Philip A. Fisher, Common Stocks and Uncommon Profits and Other Writings (Wiley Investment Classics) (New York: John Wiley & Sons, 1996).
-
-3. Benjamin Graham and David Dodd, Security Analysis: The Classic 1934 Edition (New York: McGraw-Hill, 1996).
-
-4. John Burr Williams, The Theory of Investment Value (Contrary Opinion Library) (Flint Hill, VA: Fraser, 1997).
-
-5. Aswath Damodaran, “Return on Capital (ROC), Return on Invested Capital (ROIC) and Return on Equity (ROE): Measurement and Implications,” July 2007. Available at http://ssrn.com/abstract=1105499 or http://dx.doi.org/10.2139/ssrn.1105499.
-
-6. Ibid.
-
-7. Michael J. Mauboussin, “Common Errors in DCF Models: Do You Use Economically Sound and Transparent Models?” Mauboussin on Strategy, Legg Mason Capital Management, March 16, 2006.
-
-8. Eugene F. Fama and Kenneth R. French, “Forecasting Profitability and Earnings,” February 1999. CRSP Working Paper No. 456. Available at http://ssrn.com/abstract=40660 or http://dx.doi.org/10.2139/ssrn.40660.
-
-9. We do not mine the data to get our choice of eight years. The results are robust to periods both a few years longer and shorter.
-
-10. Buffett.
-
-
-
-
-
 CHAPTER 6
 
 
@@ -2205,29 +1601,6 @@ We modify the F_SCORE to create the financial strength or FS_SCORE. The FS_SCORE
 
 In this part, we have considered two elements of stock quality: franchise and financial strength. A franchise manifests in long-term return on investment measures and pricing power. Financial strength manifests in financial statement health and business improvement. By combining an analysis of a stock's franchise with an analysis of its financial strength, we get a comprehensive look at its quality. In the next part, we move on to price metrics. A high-quality stock is not necessarily a good investment. If we overpay, it can be a terrible investment. In Part Four, we examine a number of price metrics to find the best-performed metric and those that will help us to pay the lowest price, and thereby create the widest margin of safety.
 
-
-
-
-
-NOTES
-
-
-1. Warren Buffett, “Chairman's Letter,” Berkshire Hathaway, Inc. Annual Report, 1990.
-
-2. Warren Buffett, “Chairman's Letter,” Berkshire Hathaway, Inc. Annual Report, 1985.
-
-3. Warren Buffett, “Chairman's Letter,” Berkshire Hathaway, Inc. Annual Report, 2011.
-
-4. Benjamin Graham and David Dodd, Security Analysis, 5th ed. (New York: McGraw-Hill, 1988).
-
-5. Joseph D. Piotroski, “Value Investing: The Use of Historical Financial Statement Information to Separate Winners from Losers.” As published in Journal of Accounting Research 38(Supplement) (2000). Available at http://ssrn.com/abstract=249455.
-
-6. J. Boudoukh, R. Michaely, M. Richardson, and M. R. Roberts, “On the Importance of Measuring Payout Yield: Implications for Asset Pricing.” Journal of Finance 62 (2007): 877–915.
-
-
-
-
-
 PART FOUR
 
 
@@ -2487,27 +1860,6 @@ The EBIT enterprise multiple shines on a risk-adjusted basis using the Sharpe an
 
 While the EBIT enterprise multiple is a comprehensive winner across a variety of analyses, the other metrics are also worth a second look. The coronation of a winner is not easy, but we can make one reliable claim: the portfolios formed from the value decile comprehensively outperform the portfolios formed from the glamour decile. Whether we examine raw performance, risk-adjusted performance, or absolute risk, the glamour portfolio is a poor bet. In combination, the metrics show value stocks to be better additions to the portfolio.
 
-
-
-
-
-NOTES
-
-
-1. J. Lakonishok, A. Shleifer, and R. W. Vishny, “Contrarian Investments, Extrapolation, and Risk.” Journal of Finance 49(5): 1541–1578, 1994.
-
-2. Eugene F. Fama and Kenneth R. French, “Fama and French Forum,” June 27, 2011. Available at www.dimensional.com/famafrench/2011/06/qa-why-use-book-value-to-sort-stocks.html.
-
-3. Tim Loughran and Jay W. Wellman, “New Evidence on the Relation between the Enterprise Multiple and Average Stock Returns.” Journal of Financial and Quantitative Analysis 46, 1629–1650, 2010.
-
-4. Ibid.
-
-5. William F. Sharpe, “The Sharpe Ratio.” Journal of Portfolio Management 21(1) (Fall 1994): 49–58.
-
-
-
-
-
 CHAPTER 8
 
 
@@ -2595,33 +1947,6 @@ Comprehensive combo, which is an average of ranks based on all single-year and f
 
 
 
-Figure 8.1 highlights the growth of the composite ratios.
-
-FIGURE 8.1 Comprehensive Composite Ratio Performance Chart (1972 to 2011)
-
-
-
-Table 8.2 shows the results for the portfolios constructed from the value decile of the composite price ratios.
-
-Table 8.2 demonstrates that composite price ratios can generate excellent performance. For example, the comprehensive composite portfolio earns 14.96 percent a year, significantly outperforming the S&P 500 and slightly outperforming the alternative composite ratios. The single-year combo composite is arguably the best price ratio, with the highest compound annual growth rate, and strong outperformance on 5-year and 10-year rolling windows. The strategy beats the 5-year combo 66.27 percent of the time over all 5-year rolling windows. The comprehensive combo, which is formed from all single-year ratios and all 5-year ratios, also performs well, with the highest Sharpe ratio and the lowest maximum drawdown. Figures 8.2(a) and 8.2(b) show the rolling 5-year and 10-year returns for the composite price ratios for the period 1972 to 2011. The ratios are all very competitive, but the single-year composite has the highest winning percentage over 5-year and 10-year rolling windows. The clear loser is the S&P 500, which, aside from a brief period of outperformance through the Internet bubble in the late 1990s, has been a perennial loser relative to simple price ratios.
-
-TABLE 8.2 Performance Statistics for the All-Inclusive Composite Ratios (1972 to 2011)
-
-
-
-FIGURE 8.2(a) Five-year Rolling Period Performance Statistics: All-Inclusive Composite Ratios (1972 to 2011)
-
-
-
-FIGURE 8.2(b) Ten-year Rolling Period Performance Statistics: All-Inclusive Composite Ratio (1972 to 2011)
-
-
-
-Table 8.3 shows the summary performance statistics for the value and glamour deciles for the top comprehensive composite ratios: Single- year combo and comprehensive combo for the period 1972 to 2011. Both of the composite ratios do an exceptional job separating the universe into “good” and “bad.” The spread in compound annual growth rates is 8.81 percent and 8.67 percent, respectively, for the single-year combo and the comprehensive combo. These results compare favorably to those in Table 8.1, which show the compound annual growth rate spreads for a variety of single-year price ratios.
-
-TABLE 8.3 Top and Low Decile Performance Statistics: All-Inclusive Composite Ratios (1972 to 2011)
-
-
 
 Composite Ratios Formed from the “Best” Price Ratios
 
@@ -2635,46 +1960,6 @@ Best five-year combo, which is an average of all ranks based on the best five-ye
 
 Best comprehensive combo, which is an average of all ranks based on single-year and five-year EBIT enterprise multiple, earnings yield, and gross profits yield.
 
-
-
-Figure 8.3 highlights the growth of the best composite ratios.
-
-FIGURE 8.3 Best Composite Ratio Performance Chart (1972 to 2011)
-
-
-
-Table 8.4 shows the summary statistics for our best composite ratios. The strongest-performed best composite is the comprehensive best combo, which is a combination ranking for single-year and 5-year EBIT enterprise multiple, earnings yield, and gross profits yield. The comprehensive best combo earns the highest compound annual growth rate, has the highest risk-adjusted statistics and has a good batting average relative to the other best composites over 5-year and 10-year rolling windows.
-
-TABLE 8.4 Performance Statistics for the Best Composite Ratios (1972 to 2011)
-
-
-
-Table 8.5 shows the summary performance statistics for the value and glamour deciles for the strongest performing “best” composite ratios: best comprehensive combo and best single-year combo for the period 1972 to 2011. The spread in compound annual growth rate is 8.30 percent and 9.13 percent for the best comprehensive combo and best single-year combo, respectively. The best single-year combo results are particularly good at separating the wheat from the chaff.
-
-TABLE 8.5 Value and Glamour Decile Performance Statistics: Best Composite Ratios (1972 to 2011)
-
-
-
-Which Ratio Wins the Composite Horserace?
-
-Table 8.6 compares the top composite ratios against the best-performed metric, the EBIT enterprise multiple. The results are, frankly, humbling. After dissecting price ratios in every manner possible, we found the EBIT enterprise multiple comes out on top, particularly after we adjust for complexity and implementation difficulties. The EBIT enterprise multiple has a better compound annual growth rate, higher risk-adjusted values for Sharpe and Sortino, and the lowest drawdown of all measures analyzed. Joel Greenblatt nailed the correct price ratio with the Magic Formula, and sidestepped the back-testing of hundreds of other price ratio combinations that could presumably unseat it as the best price ratio.
-
-TABLE 8.6 Composite Ratio Horserace (1972 to 2011)
-
-
-
-Figures 8.4(a) and 8.4(b) show rolling five- and ten-year performance for the top-performing price ratios.
-
-FIGURE 8.4(a) Five-Year Rolling Period Performance Statistics: Best Price Ratios (1972 to 2011)
-
-
-
-FIGURE 8.4(b) Ten-Year Rolling Period Performance Statistics: Best Price Ratios (1972 to 2011)
-
-
-
-Figures 8.4(a) and (b) illustrate how close the race is between the top-performing price ratios. The EBIT enterprise multiple is the best performed over any rolling 5- or 10-year window. In the first half of the sample, however, the composite ratios beat the EBIT enterprise multiple. Over the entire sample the EBIT enterprise multiple stands out. The results are mixed, but there is a small edge to the EBIT enterprise multiple in terms of performance. If we also consider its ease of calculation, that small edge should be enough to push it over the top.
-
 In this chapter we have considered some alternative interpretations of price ratios to see if we can improve on the single-year, individual price ratios from the last chapter. We first examined long-term average price ratios to test Graham's recommendation that an investor favor “normalized” earnings over trailing single-year earnings. We found some indication that Graham was right. The evidence suggests that five-year price ratios are slightly superior to single-year price ratios on a compound annual growth rate basis. Unfortunately, the evidence is pretty weak. The proposition that the five-year ratio is the best-performed long-term ratio, and better than the single-year ratio, is not supported by the spread analysis. If we examine the value premia generated by the all single-year and long-term ratios, the five-year ratio does not stand out, with the results looking almost random to the naked eye. We could not replicate the findings from the Anderson and Brooks study, who found evidence in the U.K. stock market that long-term price ratios increased the spread between the value and glamour portfolios by 6 percent per year. Our results are roughly consistent with the results from recent research by Gray and Vogel, who concluded that long-term ratios add little to the predictive ability of single-year price ratios.
 
 Next, we explored composite ratios to determine whether combining multiple price ratios into a single composite ratio could outperform the best individual price ratio, the EBIT enterprise multiple. We beat the data like a mad dog with mange, examining many different combinations of long-term and single-year average ratios, and could find no clear winner. There is some weak evidence that composite price ratios outperformed on a rolling 5- and 10-year basis at the beginning of the sample, but little to indicate that any composite outperforms the single-year EBIT enterprise multiple.
@@ -2685,33 +1970,6 @@ Albert Einstein once said that, “Any intelligent fool can make things bigger,
 
 With our examination of quality and price completed, we now move to the final phase of our investment checklist: finding stocks with signals that corroborate our valuation. In the next part, we consider several different signals sent by market participants to find those that forecast market-beating performance. We examine buy-backs, insider buying, activism, institutional investors, and short selling.
 
-
-
-
-
-NOTES
-
-
-1. Benjamin Graham, and David Dodd, Security Analysis: The Classic 1934 Edition (McGraw-Hill, 1996).
-
-2. J. Y. Campbell and R. J. Shiller, “Valuation Ratios and the Long-Run Stock Market Outlook.” Journal of Portfolio Management (Winter 1998): 11–26.
-
-3. John Y. Campbell and Robert J. Shiller, “Valuation Ratios and the Long-Run Stock Market Outlook: An Update (April 2001).” NBER Working Paper Series, Vol. w8221, 2001. Available at http://ssrn.com/abstract=266191.
-
-4. K. P. Anderson and Chris Brooks, “The Long-Term Price-Earnings Ratio.” Journal of Business Finance & Accounting 33(7–8) (September/October 2006): 1063–1086. Available at http://ssrn.com/abstract=934618 or http://dx.doi.org/10.1111/j.1468-5957.2006.00621.x.
-
-5. Wesley Gray and Jack Vogel, “Analyzing Valuation Measures: A Performance Horse-Race over the Past 40 Years.” Journal of Portfolio Management, forthcoming.
-
-6. James O'Shaughnessy, What Works on Wall Street: The Classic Guide to the Best-Performing Investment Strategies of All Time, 4th ed. (New York: McGraw-Hill, 2011).
-
-7. S. Nathan, Kumar Sivakumar, and Jayaraman Vijayakumar, “Returns to Trading Strategies Based on Price-to-Earnings and Price-to-Sales Ratios.” Journal of Investing 10(2) (Summer 2001): 17–28.
-
-8. Our sample starts here in 1972 (1964 plus eight years) to accommodate the eight-year price ratios, and to make all other price ratios comparable.
-
-
-
-
-
 PART FIVE
 
 
@@ -2873,50 +2131,6 @@ In the next chapter, we look at our methods for testing our comprehensive quanti
 
 
 
-
-NOTES
-
-
-1. Warren Buffett, “Shareholder Letter,” Berkshire Hathaway, Inc. Annual Report, 1984.
-
-2. Robert J. Flaherty, “The Singular Henry Singleton,” Forbes, July 9, 1979.
-
-3. Warren Buffett, “Shareholder Letter,” Berkshire Hathaway, Inc. Annual Report, 1982.
-
-4. John Train, The Money Masters (New York: HarperBusiness, 1994).
-
-5. Flaherty.
-
-6. Alison Leigh Cowan, “Wall St. Eyes Are on Teledyne.” New York Times, July 9, 1987.
-
-7. David L. Ikenberry, Josef Lakonishok, and Theo Vermaelen, “Market Underreaction to Open Market Share Repurchases.” NBER Working Paper Series, Vol. w4965 (December 1994), pp.181-208. Available at http://ssrn.com/abstract=226564.
-
-8. Alice A. Bonaime, “Repurchases, Reputation, and Returns.” Journal of Financial and Quantitative Analysis (JFQA), forthcoming. Available at http://ssrn.com/abstract=1361800 or http://dx.doi.org/10.2139/ssrn.1361800.
-
-9. Jack Hough, “Buy Signals: How to Decipher Stock Buybacks.” Wall Street Journal, Upside, January 21, 2012. Available at http://online.wsj.com/article/SB10001424052970203750404577171231151712236.html.
-
-10. James O'Shaughnessy, What Works on Wall Street: The Classic Guide to the Best-Performing Investment Strategies of All Time, 4th ed. (New York: McGraw-Hill, 2011).
-
-11. Ako Doffou, “Insider Trading: A Review of Theory and Empirical Work.” Journal of Accounting and Finance Research 11(1) (Spring 2003). Available at http://ssrn.com/abstract=1028898.
-
-12. Lauren Cohen, Christopher Malloy, and Lukasz Pomorski, “Decoding Insider Information.” Journal of Finance, forthcoming.
-
-13. Daniel Giamouridis, Manolis Liodakis, and Andrew Moniz, “Some Insiders Are Indeed Smart Investors,” July 29, 2008. Available at http://ssrn.com/abstract=1160305 or http://dx.doi.org/10.2139/ssrn.1160305.
-
-14. Alon P. Brav, Wei Jiang, Randall S. Thomas, and Frank Partnoy, “Hedge Fund Activism, Corporate Governance, and Firm Performance.” Journal of Finance 63 (May 2008): 1729; ECGI Finance Working Paper No. 139/2006; Vanderbilt Law and Economics Research Paper No. 07-28; FDIC Center for Financial Research Working Paper No. 2008-06. Available at http://ssrn.com/abstract=948907.
-
-15. April Klein and Emanuel Zur, “Entrepreneurial Shareholder Activism: Hedge Funds and Other Private Investors.” Journal of Finance, forthcoming.
-
-16. Gerald S. Martin, and John Puthenpurackal, “Imitation Is the Sincerest Form of Flattery: Warren Buffett and Berkshire Hathaway,” April 15, 2008. Available at http://ssrn.com/abstract=806246 or http://dx.doi.org/10.2139/ssrn.806246.
-
-17. Ibid.
-
-18. Ekkehart Boehmer, Zsuzsa R. Huszar, and Bradford D. Jordan, “The Good News in Short Interest,” May 15, 2009. Available at http://ssrn.com/abstract=1405511 or http://dx.doi.org/10.2139/ssrn.1405511.
-
-
-
-
-
 PART SIX
 
 
@@ -3195,60 +2409,6 @@ Finally, we have sought to avoid the common pitfalls of back-test results. We mo
 
 
 
-NOTES
-
-
-1. Warren Buffett, “The Superinvestors of Graham-and-Doddsville,” Hermes, Columbia Business School alumni magazine, 1984. Available at www7.gsb.columbia.edu/alumni/news/hermes/print-archive/superinvestors.
-
-2. David J. Leinweber, Nerds on Wall Street: Math, Machines and Wired Markets (Hoboken, NJ: John Wiley & Sons, 2009).
-
-3. Christopher Blake and Matthew Morey, “Morningstar Ratings and Mutual Fund Performance.” Journal of Financial and Quantitative Analysis 35 (2000): 451–483.
-
-4. Eugene Fama and Kenneth French, “Luck versus Skill in the Cross Section of Mutual Fund Returns.” Journal of Finance, forthcoming.
-
-5. J. B. Berk and R. C. Green, “Mutual Fund Flows and Performance in Rational Markets.” Journal of Political Economy 112 (2004): 1269–1295.
-
-6. Leinweber.
-
-7. J. D. Freeman, “Behind the Smoke and Mirrors: Gauging the Integrity of Investment Simulations,” Financial Analysts Journal 48 (6) (November–December 1992): 26–31.
-
-8. Nassim Nicholas Taleb, The Black Swan: The Impact of the Highly Improbable (New York: Random House, 2007).
-
-9. Claire I. Tsai, Joshua Klayman, and Reid Hastie, “Effects of Amount of Information on Judgment Accuracy and Confidence.” Organizational Behavior and Human Decision Processes 107 (2008): 97–105. Available at http://ssrn.com/abstract=1297347.
-
-10. Paul Watzlawick, How Real Is Real? (Vintage, 1977).
-
-11. Joel Greenblatt, “Adding Your Two Cents May Cost a Lot Over the Long Term.” MorningStar, Perspectives, January 16, 2012. Available at http://news.morningstar.com/articlenet/SubmissionsArticle.aspx?submissionid=134195.xml&part=2.
-
-12. Steven Friedman, “Joel Greenblatt and Robert Goldstein of Gotham Asset Management, LLC,” Santangel's Review, Profiles of Undiscovered Investors, March 2011.
-
-13. Ibid.
-
-14. Freeman.
-
-15. William Beaver, Maureen McNichols, and Richard Price, “Delisting Returns and Their Effect on Accounting-Based Market Anomalies.” Journal of Accounting and Economics 43 (2007): 341–368.
-
-16. Marcus Bogue and Morris Bailey, “The Advantages of Using as First Reported Data with Current Compustat Data for Historical Research.” Charter Oak Investment Systems, Inc., 2001.
-
-17. Oppenheimer, H. R. “Ben Graham's Net Current Asset Values: A Performance Update.” Financial Analysts Journal 42 (1986): 40–47; and J. Greenblatt, R. Pzena, and B. Newberg, “How the Small Investor Can Beat the Market.” Journal of Portfolio Management (Summer 1981): 48–52.
-
-18. Xiao Ying and Glen Arnold, “Testing Benjamin Graham's Net Current Asset Value Strategy in London.” Journal of Investing 17 (2008): 11–19.
-
-19. Survivor bias–free fundamental data begins on December 31, 1962, which means we can initiate our portfolios on July 1, 1963; however, for ease of exposition and to eliminate a “stub” year, we present all results from January 1, 1964, through December 31, 2011. Conclusions and results are not affected by eliminating returns from July 1, 1963, through December 31, 1963.
-
-20. Eugene Fama and Kenneth French, “The Cross-Section of Expected Stock Returns.” Journal of Finance 47 (1992): 427–465.
-
-21. Philippe Jorion and William Goetzmann, “Global Stock Markets in the Twentieth Century.” Journal of Finance 54 (1999): 953–980.
-
-22. Roy Batchelor, “Bias in Macroeconomic Forecasts.” International Journal of Forecasting 23(2) (April–June 2007): 189–203.
-
-23. NYSE breakpoints can be obtained from Ken French's website: http://mba.tuck.dartmouth.edu/pages/faculty/ken.french/data_library.html.
-
-24. Beaver, McNichols, and Price.
-
-
-
-
 
 CHAPTER 11
 
@@ -3706,25 +2866,6 @@ The EBIT enterprise multiple has performed strongly throughout out our tests. It
 
 Our probing of the Magic Formula set the stage for the final step in the creation of our own quantitative value strategy. In “human readable” format, the strategy becomes our checklist, which is a useful tool for navigating complex problems. Next, we run our quantitative value model through our full battery of tests.
 
-
-
-
-
-NOTES
-
-
-1. Edward Chancellor, Devil Take the Hindmost: A History of Financial Speculation (New York: Penguin Group, 2000).
-
-2. Joseph D. Piotroski, “Value Investing: The Use of Historical Financial Statement Information to Separate Winners from Losers.” As published in Journal of Accounting Research 38(Supplement) (2000). Available at http://ssrn.com/abstract=249455.
-
-3. The excel function NORMDIST can accomplish this transformation. For example, if PROBM = –1.26, then set the PMAN cell = NORMDIST(–1.26,0,1,TRUE), for a value of 10.38 percent, or a probability of manipulation of 10.38 percent.
-
-4. Our initial tests involved a simple average of franchise power and financial strength. We studied various weighting schemes, and the final results presented are all quantitatively similar.
-
-
-
-
-
 CHAPTER 12
 
 
@@ -3787,54 +2928,6 @@ Correlation Correlation coefficient for a designated strategy and the identified
 RISK AND RETURN
 
 
-Table 12.2 sets out the standard statistical analyses of the Quantitative Value strategy's performance and risk profile, comparing it to the Magic Formula, the Standard & Poor's (S&P) 500 and the MW Index, the market capitalization–weighted index of the universe from which we draw the stocks in the model portfolios.
-
-TABLE 12.2 Performance Statistics for Quantitative Value (1974 to 2011)
-
-
-
-Table 12.2 shows that the Quantitative Value strategy generated a compound annual growth rate (CAGR) of 17.68 percent over the period 1974 to 2011, significantly outperforming the Magic Formula's 13.94 percent. The strategy also outperformed the S&P 500 TR at 10.46 percent, and the MW Index at 10.80 percent.
-
-Importantly, the Quantitative Value portfolio achieved this return with a slightly lower volatility than the Magic Formula's portfolio. The model had a standard deviation of 16.81 percent against the Magic Formula's 16.93 percent. The combination of elevated return and slightly lower volatility gave the strategy an outstanding Sharpe ratio of 0.74, considerably better than the Magic Formula's 0.55, the S&P 500 TR at 0.37 and the MW Index at 0.40. The strategy also had a lower downside volatility, with downside deviation at 10.83 percent to the Magic Formula's 12.02 percent. The combination of better return and lower downside volatility led to an extraordinary Sortino ratio of 1.18 for the Quantitative Value strategy, against 0.80 for the Magic Formula, 0.56 for the S&P 500 TR and 0.59 for the MW Index.
-
-If we look at the drawdowns that have accompanied the returns, the Quantitative Value strategy also performed best. The worst drawdown suffered the Quantitative Value portfolio was –32.06 percent, considerably lower than the Magic Formula at –36.85 percent, the S&P 500 TR at –50.21 percent, and the MW Index at –44.38 percent.
-
-Table 12.3 shows that the model Quantitative Value portfolio preserves capital better than the Magic Formula, the S&P 500, or the MW Index. Capital preservation is important for investors because a recovery following a drop in portfolio value requires a proportionately greater gain than the loss suffered in the drop. For example, a 33.3 percent drawdown requires a 50 percent recovery to break even; a 50 percent drawdown requires a heroic 100 percent recovery to break even.
-
-TABLE 12.3 Recovery Required to Break Even Following Worst Drawdown (1974 to 2011)
-
-
-
-Note in Table 12.2 that the cumulative drawdown of –9,596.95 percent over the entire period tested for the Magic Formula is considerably greater than the cumulative drawdown for the strategy at –8,683.58 percent. The model also has a lower cumulative drawdown than either the S&P 500 TR at –9,562.93 percent and the MW Index at –9,224.27 percent. The worst drawdown is a single event, while the cumulative drawdown looks at all drawdowns over the entire period tested. We need to be mindful of both. The Quantitative Value model outperforms whether we examine the single worst drawdown or the cumulative drawdowns.
-
-The Quantitative Value strategy also outperforms on a rolling-average performance basis, beating out the Magic Formula on a rolling 5-year basis 91.44 percent of the time, and 98.81 percent of the time on a rolling 10-year basis. This means that Quantitative Value delivered a better return than the Magic Formula in 9 out of every 10 five-year periods, and approximately 49 out every 50 ten-year periods. It consistently outperformed the S&P 500 TR, generating a better return 94.46 percent of the time on a rolling 5-year basis and 99.11 percent of the time on a rolling 10-year basis. It also beat out the MW Index 96.22 percent of rolling 5-year periods and 99.70 percent of all rolling 10-year periods.
-
-Figure 12.1 shows the cumulative performance of the Quantitative Value model portfolio compared to the performance of the Magic Formula, the S&P 500 TR, and the MW Index over the entire period.
-
-FIGURE 12.1 Cumulative Value for Quantitative Value (1974 to 2011)
-
-
-
-Figure 12.1 illustrates the effects of compounding a small edge over a long period of time. Quantitative Value portfolio's small advantage led to a yawning gap between it, the Magic Formula, the S&P 500 TR, and the MW Index at the end of the period.
-
-Figure 12.2 shows the annual performance of the Quantitative Value portfolio, the Magic Formula, the S&P 500 TR, and the MW Index over the entire period. The model show consistent strong performance compared to the other benchmarks. The two periods of strongest underperformance come during the run-up to the Nasdaq crash in 1998 and 1999, and the knee-jerk recovery following the 2008 financial crisis.
-
-FIGURE 12.2 Annual Performance for Quantitative Value (1974 to 2011)
-
-
-
-Figure 12.3 shows the market cycle performance of the Quantitative Value strategy compared to the performance of the Magic Formula, the S&P 500 TR, and the MW Index over the entire period.
-
-FIGURE 12.3 Market Cycle Performance for Quantitative Value (1974 to 2011)
-
-
-
-Table 12.4 shows the dates used to calculate market cycle returns.
-
-TABLE 12.4 Market Cycle Definitions (1974 to 2011)
-
-Month Begin Month End
-
 Bull June 1982 December 1984
 
 Bear July 1987 December 1987
@@ -3855,107 +2948,14 @@ Bull June 1982 December 1984
 
 Bear July 1987 December 1987
 
-Figure 12.3 demonstrates that the strategy protected capital in bear markets and grew capital in bull markets. While the strategy may occasionally struggle for short periods of time, it outperforms through a full market cycle.
-
-Figure 12.4 shows the relative performances during short-term stress events of the Quantitative Value strategy, the Magic Formula, the S&P 500 TR, and the MW Index over the entire period. This analysis examines how a strategy tends to perform through extraordinary short-term market events.
-
-FIGURE 12.4 Short-Term Event Stress Tests for Quantitative Value (1974 to 2011)
-
-
-
 There is no evidence that the model underperforms the benchmarks during stress events. The Quantitative Value strategy substantially outperformed over the Asian crisis, the Nasdaq meltdown, and the credit crunch during the 2008 financial crisis, suggesting the strategy is relatively resilient to market chaos.
 
-Figure 12.5 shows the performance during down months of the Quantitative Value strategy, the Magic Formula, the S&P 500 TR, and the MW Index over the entire period. Like the stress event analysis, this test looks at performance when the broader market is falling. A perfect strategy would not follow the market down, but this is unrealistic in practice for a long-only strategy. We would settle here for an absence of underperformance. Figure 12.6 suggests that the strategy in fact outperforms, even generating positive returns during some negative performance months.
-
-FIGURE 12.5 Down Month Analysis for Quantitative Value (1974 to 2011)
-
-
-
-FIGURE 12.6 Worst-Case Scenario Analysis for Quantitative Value (1974 to 2011)
-
-
-
-Figure 12.6 shows the worst-case scenarios of the Quantitative Value strategy, the Magic Formula, the S&P 500 TR, and the MW Index over a single month, a year, five years, and over the entire period. This figure is a graphical representation of many of the drawdown analyses in Tables 12.2 and 12.3.
-
 The Quantitative Value strategy protects capital better than the competition. Its single worst drawdown was lower than the Magic Formula, the S&P 500 TR, and the MW Index. It also did better than all the others over rolling 1- and 12-month periods. The worst-case scenario for the strategy over a 5-year period was again slightly better than the Magic Formula, which was also positive, and considerably better than the S&P 500 TR and the MW Index, which were both down significantly. The 5-year drawdowns suggest that value strategies like ours and the Magic Formula are a better long-term bet than passive market indices.
 
-Figure 12.7 shows the standard risk/reward trade-off chart for the Quantitative Value strategy, the Magic Formula, the S&P 500 TR, and the MW Index.
-
-FIGURE 12.7 Risk/Reward for Quantitative Value (1974 to 2011)
-
-
-
-Figure 12.7 plots the CAGR against the standard deviation of each strategy, and the two measures of the market. The higher the CAGR, and the lower the standard deviation, the better. Figure 12.7 shows that the Quantitative Value strategy generates a higher return at a lower risk than the Magic Formula. It also generates a higher return than the two market indices, but does so at a higher risk. There is a trade-off between risk and return. The question we must ask after reviewing Figure 12.7 is whether the benefit of additional return is worth the cost of additional risk. We think it is justified.
-
-Examined on a risk/reward basis, the model portfolio outperforms. It generates a CAGR over the full period of 17.68 percent with a standard deviation of 16.81 percent. The combination of elevated return and low volatility gave the strategy an outstanding Sharpe ratio of 0.74. The strategy also had low downside volatility, which, combined with its great return, led to its extraordinary Sortino ratio of 1.18. The Quantitative Value strategy also outperformed through bull and bear markets and short-term stress events. It also performed well on the drawdown analyses. In sum, the analyses demonstrate that the quantitative strategy outperformed, delivering great returns at lower risk.
-
-
-
-
 
 ROBUSTNESS
 
 
-Here we look at a variety of measures to assess the soundness of the conclusions from the study earlier in this chapter. Figures 12.8(a) and (b) show the rolling 1-, 5-, and 10-year CAGRs for the strategy. These figures show the relevant holding period return at different points in time. A robust strategy will show consistent outperformance regardless of timing; a “lucky” strategy may have extreme outperformance in one time period but flounder in others.
-
-FIGURE 12.8(a) Five-Year Rolling CAGR for Quantitative Value (1974 to 2011)
-
-
-
-FIGURE 12.8(b) Ten-Year Rolling CAGR for Quantitative Value (1974 to 2011)
-
-
-
-Figures 12.8(a) and (b) illustrate how consistently the strategy beats the Magic Formula, the S&P 500 TR, and the MW Index on rolling 5- and 10-year bases. Only rarely, and for brief periods, was it better to have been invested in the others. Over a short period, any strategy can outperform. In a single year, the winner is almost random chance, but over the long haul, skill wins out.
-
-Figures 12.9(a) and (b) show the rolling 5- and 10-year maximum drawdowns for the strategy. These figures help researchers identify the frequency and intensity of a strategy's maximum drawdowns. Consider two strategies with similar worst drawdowns. If one strategy experiences big drawdowns several times through history, while the other experiences big drawdowns only once, this helps us identify the latter, better one.
-
-FIGURE 12.9(a) Five-Year Rolling Max Drawdown for Quantitative Value (1974 to 2011)
-
-
-
-FIGURE 12.9(b) Ten-Year Rolling Max Drawdown for Quantitative Value (1974 to 2011)
-
-
-
-The rolling drawdown analysis shows that the strategy suffers less intense drawdowns, less frequently than the competition. For example, in the early 1980s Quantitative Value took it on the chin alongside the Magic Formula, but to a lesser degree. In the early 2000s, the strategy also takes some pain, but it is less than the cardiac arrest experienced by the broader market. Finally, in the 2008 financial crisis, every strategy gets beaten up, but the strategy takes a lesser pummeling than the one suffered by the competition.
-
-Figures 12.10(a) and (b) show the rolling 5- and 10-year alpha for the strategy. Alpha analysis is typically found in quantitative research articles published in academic journals. The procedures researchers use to estimate alpha can be complicated, but the idea is simple: How much value does a strategy create after controlling for a variety of risk factors?
-
-FIGURE 12.10(a) Five-Year Rolling Alpha for Quantitative Value (1974 to 2011)
-
-
-
-FIGURE 12.10(b) Ten-Year Rolling Alpha for Quantitative Value (1974 to 2011)
-
-
-
-To help with robustness, we estimate alpha using several different asset-pricing models. We control for general market risk using the capital asset pricing model2; we adjust for market, size, and value exposures with the Fama and French three-factor model3; we account for momentum using the four-factor model4; and, finally, we account for liquidity by adding the Lubos Pastor and Robert Stambaugh market-wide liquidity factor to create the comprehensive five-factor model.5
-
-Figures 12.10(a) and (b) confirm that the Quantitative Value strategy consistently generates alpha on rolling 5- and 10-year bases, regardless of the model we choose to inspect. On a rolling 5-year basis there are only a few short instances where the strategy's performance does not add value after controlling for risk. The 10-year rolling chart tells the story vividly: over the long-term, Quantitative Value has consistently created value for investors.
-
-Table 12.5 shows the full sample coefficient estimates for the four asset-pricing models. We set out P-values below each estimate and represent the probability of seeing the estimate given the null hypothesis is zero. MKT-RF represents the excess return on the market-weight returns of all New York Stock Exchange (NYSE)/American Stock Exchange (AMEX)/Nasdaq stocks. SMB is a long/short factor portfolio that captures exposures to small capitalization stocks. HML is a long/short factor portfolio that controls for exposure to high book value-to-market capitalization stocks. MOM is a long/short factor portfolio that controls for exposure to stocks that have had great performance over the recent year. LQD controls for exposure stocks have to market-wide liquidity.
-
-TABLE 12.5 Asset Pricing Coefficient Estimates for Quantitative Value (1974 to 2011)
-
-
-
-Table 12.5 suggests that Quantitative Value generates between approximately 6 and 8 percent per year in “alpha,” or performance not explained by exposures to known factors (the market, size, value, momentum, or liquidity). The strategy has a lower beta than the broader market (MKT-RF beta of around 0.85), tends to buy larger stocks (–0.14, mostly due to the universe parameters), clings to value (HML is 0.23, but we have built this into the model because we are looking at stocks in the top decile of earnings before interest and taxes/total enterprise value [EBIT/TEV]), and has no statistically significant exposure to momentum stocks or stocks affected by low liquidity (MOM and LQD betas are statistically insignificant).
-
-In Figure 12.11, we compare the ability of each strategy's quality metrics to separate winners from losers. The better quality-identification method should generate a larger spread in returns between winners and losers. Figure 12.12 shows the cumulative invested growth for the high- and low-quality portfolios for both the Magic Formula and Quantitative Value strategies. The Magic Formula's high- and low-quality portfolios are separated using the Magic Formula's quality measure, MF ROC. Quantitative Value high- and low-quality portfolios are separated using the quality measures described in this book.
-
-FIGURE 12.11 Decile Performance for Quantitative Value (1974 to 2011)
-
-
-
-FIGURE 12.12 Quality Splits via Quantitative Value and Magic Formula Quality (1974 to 2011)
-
-
-
-Figures 12.11 and 12.12 demonstrate that the quality measures described in the book do a better job separating the winners from the losers. The Quantitative Value high-quality value stocks outperform the Magic Formula high-quality stocks. Further, the Quantitative Value low-quality value stocks underperform the Magic Formula's low-quality value stocks by a substantial margin. This analysis shows that when we compare the strategy and the Magic Formula on a like-for-like basis, controlling for the investment structure, which separates the best value stocks into high- and low-quality portfolios, the book's quality measure does a much better job identifying the cheap stocks that will outperform and the cheap stocks that will not perform as well.
-
-
-
 
 
 A PEEK INSIDE THE BLACK BOX
@@ -3975,13 +2975,6 @@ Quantitative Value seems to go against that grain. It's doubly hard to follow th
 
 To combat this, we have sought throughout this book to turn the black box into a perfectly transparent aquarium. We hope you now have a granular understanding of how and why the Quantitative Value investment model works. Now we want to open it up.
 
-Table 12.6 lists the top five stocks selected by the model at the start of each year, starting in 1974.
-
-TABLE 12.6 Selected Quantitative Value Portfolio Holdings
-
-
-
-
 
 There are some storied names in this list. For example, the strategy bought Teledyne, Inc. in 1977 just as it was about to embark on the stellar run under Henry Singleton that we described in Chapter 9. It bought a long-term Berkshire Hathaway holding, the Washington Post Company, in 1979. In 1982, Quantitative Value also picked up another Buffett favorite, the Scott & Fetzer Company, owner of a diverse range of businesses from World Book encyclopedias to Kirby vacuum cleaners. Buffett later bought out Scott & Fetzer in 1986 for $320 million, describing it as owning “the sort of businesses that we wish to buy for Berkshire. Scott Fetzer is a prototype—understandable, large, well-managed, a good earner. … Return on invested capital is good to excellent for most of these businesses.”
 
@@ -4010,54 +3003,12 @@ Martin J. Whitman founded the Third Avenue Value Fund in 1986, only stepping dow
 
 
 
-Table 12.7 compares the performance of the Quantitative Value model against the Sequoia Fund, the Legg Mason Value Trust, and Third Avenue Value Fund. We assess returns from January 1, 1991, through December 31, 2011, because the Third Avenue Value Fund does not have historical data available prior to this date. All data are from the CRSP Survivor Bias-Free U.S. Mutual Fund Database.
-
-TABLE 12.7 Performance Statistics for Quantitative Value (1991 to 2011)
-
-
-
 The Quantitative Value strategy performs well in comparison with these legends of investing. It generated a better CAGR, at one of the lower standard and downside deviations, which led to excellent Sharpe and Sortino ratios. The strategy also protected well against the downside, suffering a worst drawdown that was considerably better than those experienced by the other investors. The Quantitative Value portfolio has tended to outperform over rolling 5- and 10-year periods, beating out the other investors around two out of every three rolling 5-year periods, and between six and nine out of every ten rolling 10-year periods. Figure 12.13 shows the cumulative performance of the Quantitative Value strategy compared to the other well-known value investors.
 
-FIGURE 12.13 Cumulative Value for Quantitative Value (1991 to 2011)
-
-
-
-Figures 12.13 and 12.14 shows the cumulative invested growth and annual performance of the Quantitative Value strategy. The Legg Mason Value Trust had a great run in late 1990s but crashed and burned in 2008. Legg Mason's valiant early run aside, Quantitative Value was in a close horse race with the three value-investing legends through most of the history we analyze. In 2002, about halfway through the race, the Quantitative Value portfolio pulled ahead and held its lead to the finish.
-
-FIGURE 12.14 Annual Performance for Quantitative Value (1991 to 2011)
-
-
-
-Figure 12.15 shows the market-cycle performance of the Quantitative Value strategy.
-
-FIGURE 12.15 Market Cycle Performance for Quantitative Value (1991 to 2011)
-
-
-
-Figure 12.15 shows that the Quantitative Value strategy tended to deliver excellent returns through the business cycle, protecting capital in bear markets, and growing capital in bull markets. The relative performance is mixed for the three value investing legends. Quantitative Value outperforms by a wide margin in the bear market cycle, but then underperforms in the most recent 2009 to 2011 bull market cycle. This 2008 through 2011 period should be instructive for investors, illustrating that drawdowns matter to investment performance. Quantitative Value better protects capital through the 2008 financial crisis, and has a smaller recovery in the following 2009 to 2011 bull market. Quantitative Value wins over the full period because it compounds capital in the recovery from the larger capital base provided by the better downside protection in the bust.
-
-Figure 12.16 shows the drawdown analysis of the Quantitative Value strategy.
-
-FIGURE 12.16 Drawdown Analysis for Quantitative Value (1991 to 2011)
-
-
-
-Figure 12.16 demonstrates that the strategy tended to better protect capital in major market slumps. In the worst five-year period the S&P 500 was still down around 25 percent, while there was no five-year period from 1991 to 2011 where an investor would have finished down.
-
-Figure 12.17 shows the risk/reward chart for Quantitative Value.
-
-FIGURE 12.17 Risk/Reward Chart for Quantitative Value (1974 to 2011)
-
-
-
-Figure 12.17 clearly shows that Quantitative Value delivers excellent risk-adjusted performance relative to the other investors. CAGRs are higher, and risk is roughly the same. Sequoia is the only manager that could conceivably compete on basic risk/reward metrics.
 
 The Quantitative Value strategy performed well when compared with these top-flight investors. It generated a better CAGR, at one of the lower standard and downside deviations, which led to excellent Sharpe and Sortino ratios. The strategy also protected well against the downside, suffering a worst drawdown that was considerably better than those experienced by the other investors. The strategy has tended to outperform over rolling 5- and 10-year periods, beating out the other investors around two out of every three rolling 5-year periods, and between six and nine out of every 10 rolling 10-year periods. Machine, it seems, beats man.
 
 
-
-
-
 BEATING THE MARKET WITH QUANTITATIVE VALUE
 
 
@@ -4073,738 +3024,3 @@ As difficult as it is to outperform the best of the simple price ratios, we did
 
 It seems intuitive that the high-quality value stocks would outperform, but we don't want to make the mistake of confusing a good stock with a good investment. As investors have learned and relearned over the years, the attractiveness of a stock as an investment is a function of its price to its value. Overpaying for high quality leads to suboptimal performance, as this examination of the Magic Formula demonstrates. Value is always our dominant consideration. The deeper the discount from value we pay, the greater the margin of safety, and the better the returns will be. Graham, once challenged to distill the secret of sound value investment into three words, ventured the motto, “margin of safety.” It is as true today as it was then, and the Quantitative Value strategy uses Graham's distillation to good effect.
 
-
-
-
-
-NOTES
-
-
-1. John Maynard Keynes, The General Theory of Employment, Interest, and Money (Palgrave Macmillan, 1936).
-
-2. William F. Sharpe, “Capital Asset Prices: A Theory of Market Equilibrium under Conditions of Risk.” Journal of Finance 19(3) (1964): 425–442.
-
-3. Eugene Fama and Kenneth French, “Common Risk Factors in the Returns on Stocks and Bonds.” Journal of Financial Economics 33 (1993): 3–56.
-
-4. Mark Carhart, “On Persistence in Mutual Fund Performance.” Journal of Finance 52 (1997): 57–82.
-
-5. Lubos Pastor and Robert Stambaugh, “Liquidity Risk and Expected Stock Returns.” Journal of Political Economy 111 (2003): 642–685.
-
-6. James Simons, “Mathematics, Common Sense, and Good Luck: My Life and Career,” MIT Seminar, January 24, 2011.
-
-7. Warren Buffett, “Shareholder Letter,” Berkshire Hathaway, Inc. Annual Report, 1996.
-
-8. Warren Buffett, “The Superinvestors of Graham-and-Doddsville,” Hermes, Columbia Business School alumni magazine, 1984. Available at www7.gsb.columbia.edu/alumni/news/hermes/print-archive/superinvestors.
-
-9. Santa Fe Institute biography, www.santafe.edu/about/people/profile/Bill%20Miller.
-
-10. Keynes.
-
-
-
-
-
-Appendix: Analysis Legend
-
-
-The analysis legend below provides a definition of the words and symbols we use in the back-test.
-
-Word/Symbol Description
-
-QV Our quantitative value strategy.
-
-MF The Magic Formula strategy.
-
-S&P 500 TR Standard & Poor's 500 Total Return Index, the free-float, market capitalization–weighted index including the effects of dividend reinvestment.
-
-MW Index A total-return, market capitalization–weighted index that we construct from the universe of stocks included in our analysis. The index's returns represent a passive investment in the universe of all stocks we analyze.
-
-CAGR Compound annual growth rate.
-
-Standard Deviation Sample standard deviation (annualized by square root of 12).
-
-Downside Deviation Sample standard deviation of all negative observations (annualized by square root of 12).
-
-Sharpe Ratio Monthly return minus risk free rate divided by standard deviation (annualized by square root of 12).
-
-Sortino Ratio (MAR=5%) Monthly return minus minimum acceptable return (MAR/12) divided by downside deviation (annualized by square root of 12).
-
-Worst Drawdown Worst peak-to-trough performance.
-
-Worst Month Return Worst monthly performance.
-
-Best Month Return Best monthly performance.
-
-Profitable Months Proportion of monthly performances that have a positive return.
-
-Rolling 5-Year Wins Proportion of rolling 5-year periods that a designated strategy beats the identified benchmarks.
-
-Rolling 10-Year Wins Proportion of rolling 10-year periods that a designated strategy beats identified benchmarks.
-
-Cumulative Drawdown Sum of the rolling 5-year period worst drawdowns for the designated strategy.
-
-Correlation Correlation coefficient for a designated strategy and the identified benchmarks, which demonstrates the extent to which a designated strategy and the identified benchmarks move together.
-
-
-
-
-
-About the Authors
-
-
-Wesley R. Gray, PhD, is the founder and executive managing member of Empiritrage, LLC, an SEC-Registered Investment Advisor, and Turnkey Analyst, LLC, a firm dedicated to educating and sharing quantitative investment techniques to the general public. He is also an assistant professor of finance at Drexel University's Lebow College of Business, where his research focus is on value investing and behavioral finance. Professor Gray teaches graduate-level investment management and a seminar on hedge fund strategies and operations. Dr. Gray's professional and leadership experiences include over 14 years building systematic trading systems, trading special situations, and service as a U.S. Marine Corps intelligence officer (Captain) in Iraq and various posts in Asia. Dr. Gray earned an MBA and a PhD in finance from the University of Chicago Booth School of Business. He graduated magna cum laude with a BS in economics from the Wharton School, University of Pennsylvania.
-
-Tobias E. Carlisle, LLB, B. Bus(Man), PLEAT, is the founder of Eyquem Investment Management LLC, portfolio manager of the Eyquem Fund LP and its precursor Eyquem Global Value Fund, and the author of the award-winning website greenbackd.com, which covers deep value, contrarian, and activist investment strategies. He has extensive experience in activist investment, company valuation, public company corporate governance, and mergers and acquisitions law. Prior to founding Eyquem, Tobias was an analyst at an activist hedge fund, general counsel of a company listed on the Australian Stock Exchange, and a corporate advisory lawyer. As a lawyer specializing in mergers and acquisitions he has advised on transactions across a variety of industries in the United States, the United Kingdom, China, Australia, Singapore, Bermuda, Papua New Guinea, New Zealand, and Guam, ranging in value from $50 million to $2.5 billion. He is a graduate of the University of Queensland in Australia with degrees in law and business (management).
-
-
-
-
-
-About the Companion Website
-
-
-This book includes a companion website, which can be found at www.wiley.com/go/quantvalue.
-
-This website includes:
-
-
-
-A screening tool to find stocks using the model in the book.
-
-A tool designed to facilitate the implementation for a variety of tactical asset allocation models.
-
-A back-testing tool that allows users to compare performance among competing investment strategies.
-
-A blog about recent developments in quantitative value investing.
-
-
-
-
-
-Index
-
-
-Accruals
-
-detecting earnings manipulation
-
-Activism and cloning
-
-Adjustment bias
-
-Alpha
-
-and adjusted performance
-
-sustainable
-
-Altman, Edward I.
-
-Analysis legend
-
-Anchoring
-
-Anderson, Keith
-
-Apple Inc.
-
-Availability bias
-
-Ayres, Ian
-
-Bachelier, Louis
-
-Bailey, Morris
-
-Bankruptcy prediction
-
-history of
-
-improving
-
-Batchelor, Roy
-
-Beat the Dealer (Thorp)
-
-Beat the Market: A Scientific Stock Market System (Thorp & Kassouf)
-
-Behavioral errors, quantitative investing's protection against
-
-cognitive biases
-
-experts' errors
-
-value investors'errors
-
-Behavioral Investing: A Practitioners Guide to Applying Behavioral Finance (Montier)
-
-Benchmarking
-
-Beneish, Messod
-
-Berk, Jonathan
-
-Bogue, Marcus
-
-Bonaime, Alice
-
-Book value-to-market capitalization ratio
-
-Brooks, Chris
-
-Buffett, Warren
-
-See's Candies acquisition
-
-Buybacks
-
-Campbell, John
-
-Cash flow on assets (CFOA)
-
-CGM Focus Fund
-
-Chava, Sudheer
-
-“The Checklist” (Gawande)
-
-The Checklist Manifesto: How to Get Things Right (Gawande)
-
-Chuvakhin, Nikolai
-
-Cloning
-
-Cognitive biases
-
-adjustment bias
-
-anchoring
-
-availability bias
-
-hindsight bias
-
-neglect of the base case
-
-overconfidence
-
-self-attribution bias
-
-Confirmation bias
-
-“Contrarian Investment, Extrapolation, and Risk” (Lakonishok, Schleifer, & Vishny)
-
-Cowles, Alfred, III
-
-“The Cross-Section of Expected Stock Returns” (Fama & French)
-
-Data mining
-
-“Decoding Inside Information” (Cohen, Malloy, & Pomorski)
-
-“Delisting Returns and Their Effect on Accounting-Based Market Anomalies” (Price, Beaver, & McNichols)
-
-Dumb money, paradox of
-
-behavioral errors, quantitative investing's protection against
-
-cognitive biases
-
-experts' errors
-
-value investors'errors
-
-quantitative value investing, power of
-
-value strategies
-
-Graham's quantitative
-
-Earnings manipulators and frauds, eliminating
-
-accruals
-
-detecting earnings manipulation
-
-PROBMs, predicting
-
-Enron
-
-Earnings yield
-
-Efficient market theory
-
-Einhorn, David
-
-Enron
-
-Enterprise yield (EBITDA and EBIT variations)
-
-Expert Political Judgment (Tetlock)
-
-Fama, Eugene
-
-Financial distress, measuring risk of
-
-bankruptcy prediction
-
-history of
-
-improving
-
-calculating
-
-universe, scrubbing
-
-Financial strength
-
-case study: Lubrizol Corporation
-
-comparing performance of F_SCORE and FS_SCORE
-
-financial strength score (FS_SCORE)
-
-current profitability
-
-formula and interpretation
-
-recent operational improvements
-
-stability
-
-Piotroski Fundamental Score (F_SCORE)
-
-analyzing
-
-formula and interpretation
-
-Fooled by Randomness (Taleb)
-
-Forward earnings estimate
-
-Franchises
-
-finding
-
-economic moats and excess returns
-
-persistence
-
-pricing power and big, stable margins
-
-See's Candies, acquisition by Buffett
-
-Fraud. See Earnings manipulators and frauds, eliminating
-
-Free cash flow yield
-
-Freeman, John
-
-French, Ken
-
-F_SCORE. See Piotroski Fundamental Score
-
-Galbraith, John Kenneth
-
-Gawande, Atul
-
-Geometric return on assets
-
-Geometric return on capital
-
-Gerard, Ralph Waldo
-
-Gertmenia, L. Wayne
-
-Glamour stocks
-
-“Global Stock Markets in the Twentieth Century” (Jorion & Goetzman)
-
-Goldberg, Lewis
-
-Goldstein, Robert
-
-“The Good News in Short Interest” (Boehmer, Huszar, & Jordan)
-
-Gotham Capital
-
-Graham, Benjamin
-
-quantitative value strategy
-
-The Great Crash of 1929 (Galbraith)
-
-Green, Richard
-
-Greenblatt, Joel
-
-Gross profits yield
-
-Grubman, Jack
-
-Hastie, Reid
-
-Heebner, Ken
-
-Hindsight bias
-
-“In Search of Distress Risk” (Campbell, Hilscher, & Szilagyi)
-
-Insider trading
-
-The Intelligent Investor (Graham)
-
-Jarrow, Robert
-
-“Judgment under Uncertainty: Heuristics and Biases” (Kahneman & Tversky)
-
-Kahneman, Daniel
-
-Kassouf, Sheen
-
-Keynes, John Maynard
-
-Klarman, Seth
-
-Klayman, Joshua
-
-Klein, April
-
-Legg Mason Value Trust
-
-Leinweber, David J.
-
-The Little Book that Beats the Market (Greenblatt)
-
-Logistic regression (logit model)
-
-Look-ahead bias
-
-Loughran, Tim
-
-Lubrizol Corporation
-
-“Luck versus Skill in the Cross Section of Mutual Fund Returns” (Fama & French)
-
-Magic Formula (Greenblatt)
-
-bargain price
-
-examination of
-
-findings
-
-good business
-
-problems with
-
-glamour stocks
-
-quantitative value checklist
-
-quantitative value strategy, improving the structure of
-
-Margin of Safety (Klarman)
-
-Martin, Andrew
-
-Martin, Jerry
-
-Mauboussin, Michael
-
-McLean, Bethany
-
-Miller, Bill
-
-Minnesota Multiphasic Personality Inventory (MMPI)
-
-Montier, James
-
-“Morningstar Ratings and Mutual Fund Performance” (Blake & Morey)
-
-Munger, Charlie
-
-“Mutual Fund Flows and Performance in Rational Markets” (Berk & Green)
-
-Narrative fallacy
-
-Neglect of the base case
-
-Nerds on Wall Street: Math, Machines and Wired Markets (Leinweber)
-
-Normalized earning power
-
-long-term price ratio study
-
-Novy-Marx, Robert
-
-Ohlson, James
-
-O-score
-
-O'Shaughnessy, James
-
-Overconfidence
-
-PFD (probability of financial distress) model
-
-Piotroski Fundamental Score (F_SCORE)
-
-analyzing
-
-leverage, liquidity, and source of funds
-
-operating efficiency
-
-profitability
-
-formula and interpretation
-
-and FS_SCORE, comparing performance
-
-Piotroski, Joseph
-
-Point-in-time bias. See Look-ahead bias
-
-Price ratios
-
-analysis of compound annual growth rates
-
-alpha and adjusted performance
-
-risk-adjusted performance and absolute measures of risk
-
-value premium and spread
-
-book-to-market
-
-composite
-
-formed from all metrics
-
-formed from the “best” price ratios
-
-top-performing
-
-earnings yield
-
-EBIT variation, outperformance by
-
-enterprise yield (EBITDA and EBIT variations)
-
-forward earnings estimate
-
-free cash flow yield
-
-gross profits yield
-
-long-term study
-
-methods of studying
-
-Princeton-Newport Partners
-
-PROBM model
-
-Procter & Gamble
-
-Profit margins
-
-growth
-
-maximum
-
-stability
-
-Pronovost, Peter
-
-Puthenpurackal, John
-
-Quality and Price, improving
-
-compared with Magic Formula
-
-finding Price
-
-finding Quality
-
-Quantitative value checklist
-
-Quantitative value strategy
-
-examining, results of
-
-analysis legend
-
-beating the market
-
-black box, looking inside
-
-man versus machine
-
-risk and return
-
-robustness
-
-Greenblatt's Magic Formula
-
-bargain price
-
-examination of
-
-findings
-
-good business
-
-Quality and Price, improving
-
-compared with Magic Formula
-
-finding Price
-
-finding Quality
-
-simplifying
-
-strategy implementation
-
-checklist
-
-tried-and-true value investing principles
-
-Quinn, Kevin
-
-The Random Character of Stock Market Prices (Bachelier)
-
-Random walk theory
-
-Regression analysis
-
-Representativeness heuristic
-
-“Returns to Trading Strategies Based on Price-to-Earnings and Price-to-Sales Ratios” (Nathan, Sivakumar, & Vijayakumar)
-
-Ridgeline Partners
-
-Risk-adjusted performance and absolute measures of risk
-
-R-squared
-
-Ruane, William
-
-Scaled net operating assets (SNOA)
-
-Scaled total accruals (STA)
-
-Schedule 13D
-
-Security Analysis (Graham & Dodd)
-
-See's Candies
-
-Self-attribution bias
-
-Sequoia Fund
-
-Sharpe, William
-
-Sharpe ratio
-
-Shiller, Robert
-
-Short selling
-
-Shumway, Tyler
-
-Simons, Jim
-
-Singleton, Henry
-
-Sloan, Richard
-
-Small sample bias
-
-“Some Insiders Are Indeed Smart Investors” (Giamouridis, Liodakis, & Moniz)
-
-Sortino ratio
-
-Stock buybacks, issuance, and announcements
-
-Stock market, predicting movements in
-
-sustainable alpha
-
-quantitative value strategy
-
-simplifying
-
-tried-and-true value investing principles
-
-model, testing
-
-benchmarking
-
-data errors
-
-historical data versus forward data
-
-size of portfolio and target stocks
-
-small sample bias
-
-transaction costs
-
-universe, parameters of
-
-Super Crunchers: Why Thinking-by-Numbers Is the New Way to Be Smart (Ayres)
-
-“The Superinvestors of Graham-and-Doddsville” (Buffett)
-
-Survivorship bias
-
-Sustainable alpha
-
-Taleb, Nassim
-
-Teledyne
-
-Tetlock, Philip
-
-Theory of Investment Value (Williams)
-
-Third Avenue Value Fund
-
-Thorp, Ed
-
-Total enterprise value (TEV)
-
-Transaction costs
-
-Tsai, Claire
-
-Tversky, Amos
-
-Value investors'errors
-
-Value portfolio
-
-Value premium and spread
-
-Wellman, Jay
-
-What Works on Wall Street (O'Shaughnessy)
-
-Whitman, Martin J.
-
-Williams, John Burr
-
-WorldCom
-
-Z-score
-
-Zur, Emanuel
-
-
-
-
-
diff --git a/Books/Finance/Stocks on the Move_ Beating the - Andreas F. Clenow.txt b/Books/Finance/Stocks on the Move_ Beating the - Andreas F. Clenow.txt
index 2538f8d..dea74c8 100644
--- a/Books/Finance/Stocks on the Move_ Beating the - Andreas F. Clenow.txt	
+++ b/Books/Finance/Stocks on the Move_ Beating the - Andreas F. Clenow.txt	
@@ -1,56 +1,3 @@
-Stocks on the Move
-
-
-
-
-
-Beating the Market with Hedge Fund Momentum Strategies
-
-
-
-
-
-Andreas F. Clenow
-
-
-
-
-
-Copyright © 2015 Andreas F. Clenow
-
-Registered Office: Equilateral Capital Management GmbH, Talacker 50, 8001 Zurich, Switzerland
-
-For details of editorial policies and information for how to apply for permission to reuse the copyright material in this book please see our website at www.StocksOnTheMove.net.
-
-The right of the author to be identified as the author of this work has been asserted in accordance with the Copyright, Designs and Patents act 1998. All rights reserved. No part of this publication may be reproduced, stored in a retrieval system, or transmitted, in any form by any means, electronic, mechanical, photocopying, teleportation, recording or otherwise except as permitted by the UK Copyright, Designs and Patents Act 1998, without the prior permission of the publisher. Doing so would make you a very naughty boy and you don’t want that, do you.
-
-Designations used by companies to distinguish their products are often claimed as trademarks. All brand names and product names used in this book are trade names, service marks, trademarks or registered trademarks of their respective owners. The publisher is not associated with any product or vendor mentioned in this book except if expressly stated.
-
-Limit of Liability/Disclaimer of Warranty: While the publisher and the author have used their best efforts in preparing this book, they make no representations or warranties with the respect to the accuracy or completeness of the contents of this book and specifically disclaim any implied warranties of merchantability or fitness for a particular purpose. It is sold on the understanding that the publisher is not engaged in rendering professional services and neither the publisher nor the author shall be liable for damages arising herefrom. If professional advice or other expert assistance is required, the services of a competent professional should be sought.
-
-ISBN: 1511466146
-
-ISBN-13: 978-1511466141
-
-
-
-
-
-To my brother, Mathias.
-
-
-
-
-
-It’s been a lot of fun writing this book and I had plenty of help from some great people. The support, inspiration, comments and suggestions have been invaluable in completing the book. In no particular order, I’d like to especially thank Frederick Barnard, Julian Cohen, Philippe Hänggi, Jon Boorman, Riccardo Ronco, Didier Abato, Patrick Tan, Tom Rollinger, Erk Subasi, Kathryn Kaminksi, Raphael Rutz, Michael Bennett, Francois Lucas, Yves Balcer, Mebane Faber, Nigol Koulajian, Greg Morris, Nitin Gupta, Nick Radge, Thomas Hackl and Larisa Sascenkova.
-
-
-
-
-
-Preface
-
-
 
 
 This is an entire book about a single trading strategy which can be summarized with the simple statement ‘buy stocks that move up’. The idea is very simple and it’s certainly not anything new. As a concept, this is old news. What this book tries to offer is a clear and systematic way of managing a portfolio of momentum stocks.
@@ -2812,187 +2759,3 @@ With the logic I’ve explained here, along with quality data and a proper simul
 
 I wish you the best of luck and hope to see many new successful momentum investors!
 
-
-
-
-
-Bibliography
-
-
-
-Antonacci, G. (2014). Dual Momentum Investing: An Innovative Strategy for Higher Returns with Lower Risk. McGraw-Hill.
-
-Clenow, A. F. (2013). Following the Trend: Diversified Managed Futures Trading. Wiley.
-
-https://us.spindices.com/resource-center/thought-leadership/spiva/. (n.d.). Retrieved from S&P Dow Jones SPIVA Scorecards: https://us.spindices.com/resource-center/thought-leadership/spiva/
-
-Jegadeesh, N., & Titman, S. (1993). Return to Buying Winner and Selling Losers: Implications for Stock Market Efficiency. Blackwell Publishing.
-
-Kaminski, K. M., & Greyserman, A. (2014). Trend Following with Managed Futures. Wiley.
-
-Levy, R. A. (1967). Relative Strength as a Criterion for Investment Selection. Journal of Finance.
-
-Radge, N. (2012). Unholy Grails: A New Road to Wealth. Radge Publishing.
-
-Wilcox, C., & Crittenden, E. (2005). Does Trend Following Work on Stocks. Longboard Asset Management.
-
-Winton Capital Management. (2015). The Global Monkey.
-
-
-
-
-
-Table of Contents
-
-Title
-
-Copyright
-
-Dedication
-
-Acknowledgments
-
-Preface
-
-The Problem with Mutual Funds
-
-Mutually Assured Destruction
-
-Exchange Traded Funds
-
-Equities is the Most Difficult Asset Class
-
-Peer Pressure
-
-Survivors
-
-Divide and Conquer
-
-Choice of Index
-
-Market Capitalization
-
-Sectors
-
-Does Trend Following Work on Stocks?
-
-The Problem with Trend Following on Stocks
-
-Standard Trend Following Model on Stocks
-
-All Time High Model
-
-Trend Following on Single Stocks
-
-The Semantics of Trend Following
-
-The Momentum Effect
-
-The Rational Behind Momentum Investing
-
-The advantage of a Systematic Approach
-
-Market Regime Filter
-
-Ranking Stocks
-
-Using Exponential Regression for Ranking Stocks
-
-Additional Filters
-
-Position Size
-
-Position Rebalancing
-
-When to Sell
-
-Portfolio Rebalancing
-
-A Complete Momentum Trading Strategy
-
-The Exact Trading Rules
-
-Trading the Strategy
-
-The Initial Portfolio
-
-Position Rebalancing
-
-Portfolio Rebalance
-
-Momentum Strategy Performance
-
-Year by Year Review
-
-1999
-
-2000
-
-2001
-
-2002
-
-2003
-
-2004
-
-2005
-
-2006
-
-2007
-
-2008
-
-2009
-
-2010
-
-2011
-
-2012
-
-2013
-
-2014
-
-Conclusions of Year by Year Review
-
-Strategy Analysis
-
-How important is the Trend Filter?
-
-How important is Risk Parity?
-
-How important is Momentum Period?
-
-How important is Ranking Methodology?
-
-How important is Position Size?
-
-How important is Choice of Index?
-
-A Random Ass Kicking of Wall Street
-
-The S&P 500 Trading System
-
-Simulating the Strategy
-
-Data
-
-Real Portfolio Simulation
-
-Programming Language
-
-Flexibility
-
-Multi-Currency Support
-
-Structuring the Simulation
-
-Bibliography
-
-
-
-
-
diff --git a/Books/Finance/Successful Traders Size Their P - Basso, Tom.txt b/Books/Finance/Successful Traders Size Their P - Basso, Tom.txt
index 0f3c40b..71a302c 100644
--- a/Books/Finance/Successful Traders Size Their P - Basso, Tom.txt	
+++ b/Books/Finance/Successful Traders Size Their P - Basso, Tom.txt	
@@ -1,207 +1,3 @@
-Successful Traders Size Their Positions –
-
-Why and How?
-
-Tom Basso
-
-
-
-
-
-Successful Traders Size Their Positions – Why and How? – Basso
-
-Copyright 2019 by enjoytheride.world LLC
-
-Published by enjoytheride.world LLC
-
-Scottsdale, Arizona, USA
-
-All rights reserved
-
-
-
-Other books by Tom Basso:
-
-Panic-Proof Investing – Lessons in Profitable Investing from a Market Wizard , John Wiley & Sons, Inc., 1994
-
-Putting – The Easiest Stroke in Golf , enjoytheride.world LLC, 2018
-
-
-
-
-
-TABLE OF CONTENTS
-
-Foreword - by Laurens Bensdorp
-
-About the author
-
-Introduction
-
-Chapter 1 - Three Requirements for Trading Success
-
-The Buy/Sell Engine
-
-Managing the position and the portfolio
-
-The mental side of trading
-
-Summary of the three parts of trading success
-
-Chapter 2 - Strategy Versus System
-
-Your strategy MUST fit you
-
-Computers and trading
-
-Chapter 3 - Why Control Position Size?
-
-Chapter 4 - Controlling Risk of Your Initial Position
-
-Setting your stop based on your risk tolerance
-
-How much to buy/sell?
-
-Introduction to stock simulations on risk allocation
-
-Various simulations using risk allocation percentages - stocks
-
-Analysis of various simulations on risk – stocks
-
-Introduction to futures simulations on risk
-
-Various simulations using risk allocation percentages – futures
-
-Analysis of various simulations on risk - futures
-
-Chapter 5 - Controlling Volatility of Your Initial Position
-
-A simple way to calculate volatility in a position
-
-Sizing your initial position using volatility
-
-Introduction to stock simulations using volatility allocation
-
-Various simulations using volatility allocation percentages - stocks
-
-Analysis of various simulations on volatility – stocks
-
-Introduction to futures simulations using volatility sizing
-
-Simulations using volatility allocation percentages – futures
-
-Analysis of various simulations on volatility - futures
-
-Chapter 6 - Controlling Capital/Margin Your Initial Position
-
-Chapter 7 – Combining the Approaches Makes a Lot of Sense
-
-Analysis of various risk/volatility combinations on – stocks
-
-Introduction to futures simulations using risk/volatility sizing
-
-Various simulations using risk/volatility – futures
-
-Analysis of various simulations on volatility - futures
-
-Chapter 8 – Various Forms of Equity in Your Portfolio
-
-Starting with a small account equity
-
-Chapter 9 – Now That You Are in the Position, What Now?
-
-Ongoing position risk allocation limit
-
-Introduction to futures simulations using ongoing risk sizing
-
-Various simulations using ongoing risk limits – futures
-
-Analysis of various simulations on ongoing risk limits - futures
-
-Ongoing position volatility allocation
-
-Introduction to futures simulations using ongoing volatility sizing
-
-Various simulations using ongoing risk limits – futures
-
-Analysis of simulations on ongoing volatility limits - futures
-
-Ongoing position margin allocation
-
-Chapter 10 - Combining Ongoing Risk and Volatility Limits – Futures
-
-Introduction to simulations using ongoing risk/volatility sizing
-
-Simulations using ongoing risk/volatility limits – futures
-
-Analysis of simulations of Ongoing risk/volatility limits - futures
-
-Chapter 11 - Managing Total Portfolio Risk
-
-Simulations using ongoing portfolio risk limits – futures
-
-Chapter 12 – How Far We’ve Come
-
-Chapter 13 - “Scaling Out” Versus “Right-Sizing”
-
-Chapter 14 – Where to Dial in Your Exposures
-
-Shooting for the moon is not an option
-
-Here's a place where less is more
-
-Chapter 15 – Mr. Serenity’s Thoughts on the Sizing “Sweet Spot”
-
-
-
-
-
-FOREWORD - BY LAURENS BENSDORP
-
-The first time I met Tom was in 2013 in his mountain home in Payson, Arizona. I had read a lot about him already, and what struck me straight away was his relaxed attitude toward trading. We are taught by the media that a trader is supposed to be stressed, high paced, and excited when looking at his account and its equity swings. Knowing Tom, this is far from his norm. Over three decades he has managed to trade in a very profitable way, and one of the key reasons is that he is a master in position sizing. Tom wrote this excellent book on position sizing, and he is somebody who has been there and done it all through experience. He designed simple to understand algorithms that all of you can apply.
-
-Tom explains it all in this easy-to-read book. With clear and straightforward examples, he shows you step-by-step the complete ingredients of a position sizing strategy. If I had known these concepts back in 2000, I would have been a profitable trader a lot earlier in my career. Topics range from sizing your initial position all the way to managing your ongoing risk on a continuous basis. This is a must read for every beginning and experienced trader.
-
-In the first part of the book, Tom explains in clear language the importance of why a strategy must fit you and why you need to control the size of your positions. In my education company, the Trading Mastery School, I teach traders how to develop an automated trading strategy. I have taught a lot of people over the years, and I can tell you one very important thing: no two of these traders are equal. Everybody has different beliefs, strengths, weaknesses, risk tolerances, and objectives. Tom realizes that everyone is different and emphasizes that the strategy needs to fit you as a person. This is crucial and frequently overlooked by too many people causing them to struggle with their trading.
-
-In chapters four through ten Tom does an outstanding job in explaining the simple math of how to size your positions starting with initial risk, volatility, and controlling your margin. This is explained with easy-to-understand examples. After reading these chapters you will have a clear understanding of how to calculate the recommended size your positions. The examples and formulas are low level math you can do on a calculator, so everybody reading this can apply these strategies to their own trading immediately.
-
-In the next part Tom masterfully explains the importance of controlling the risk, volatility, and margin of your ongoing positions. This is incredibly important as we size our initial positions based on past volatility. However, when you are in a trade, the volatility can easily change. Imagine you are buying a stock which has been trading in a small range with low volatility. This gives you a great reward to risk setup. Then you are in the trade, and the trade is going in your favor, but the volatility is increasing rapidly. Your stop loss orders are not moving up as fast as the market. Then you suddenly have daily price movements that are 4 times the volatility of your initial position. At this point, most traders will not be able to keep their emotions and mental state normal, even when the trade is a winner.
-
-A great real-life experience of this is shown in chapter five. Tom shows again a simple strategy for continuously controlling your ongoing risk, volatility, and margin. This is especially important for longer term positions where volatility will change over time. You must be able to stay in the trade. Applying the information Tom gives you will make the difference between staying in the trade and closing a possible very profitable trade early because you can’t handle the daily equity swings anymore.
-
-Tom also lays out perfectly the dangers of wanting to shoot for the moon through position sizing strategies like the Kelly criterion. I totally agree that it is very dangerous to do this and has a large likelihood to send your equity to ruin. Every trading strategy with buy and sell rules will have good times but also times where it just under performs. If you use a position sizing strategy like these “get rich quick” formulas instead of properly sizing your positions for consistent good market returns, you can be wiped out in a matter of days. One of the key issues I find with traders abandoning their strategy is that it is too aggressive in its position sizing. The goal with trading is to stay in the game long term and to apply your strategy consistently. This is doable when you can handle the drawdowns with the same mental state as the sideways times and winning periods.
-
-In chapter eleven, Tom brings up another position sizing concept based on the risk of the total portfolio and how to reduce position sizes across the board when the total portfolio’s risk gets too high. With simulation software, he shows the value added of including this in your trading strategies. Great stuff!
-
-Finally, in chapter fourteen Tom explains the importance of the sweet spot of position sizing. This is the exact algorithm that you create for your trading strategy to help you trade according to your objectives. For Tom this means a relaxed, serene state of mind. For me it would mean that any kind of daily equity swings, up or down, do not change my mental state, my happiness, or my attitude toward trading and trading consistently. For all of you this will be different. If you apply Tom’s formulas for position sizing to your own trading, you will highly increase the odds of having a lifelong successful trading career.
-
-Laurens Bensdorp
-
-CEO Trading Mastery School
-
-Author of bestseller The 30-Minute Stock Trader
-
-
-
-
-
-ABOUT THE AUTHOR
-
-Tom Basso bought his first mutual fund at age 12 from funds received from delivering newspapers. In 1974, after graduating from Clarkson College of Technology (now Clarkson University) with a chemical engineering degree, he started buying stocks. Two years later he split his portfolio up and took some of his stock profits and started trading futures contracts. He received a master’s in business administration from Southern Illinois University in early 80’s.
-
-In 1980, he was one of the three founders of Kennedy Capital Management and a few years later, after selling out his stake in Kennedy Capital, he became president and owner of Trendstat Capital Management which traded stocks, mutual funds and futures. As Trendstat grew, it eventually added foreign exchange programs to the mix in order to increase capacity. At the peak, the company managed roughly $600 million for clients around the world.
-
-Tom’s experience in math and computers helped leverage the time and talents of Trendstat. His philosophy was “If it can be computerized, let’s computerize it.” That lead to the development of what was to be a one-million-dollar research and trading platform that could handle hundreds of clients, 30 FOREX pairs, 80 commodity and futures markets, 20+ timed mutual funds using some 7 different trading strategies simultaneously.
-
-Tom was featured in Jack Schwager’s The New Market Wizards and dubbed “Mr. Serenity” by Jack. He was elected to serve on the National Futures Association board of directors in one of the three seats representing the Registered Commodity Trading Advisor industry. Tom worked to introduce standards for electronic reporting, order flow, and regulatory data to assist in developing more industry automation. He also has served on the Board of Directors of the National Association of Active Investment Managers (NAIIM) and is a past director of CreaMiser, Inc., a small private company in Scottsdale, AZ, that is the leading provider of bulk cream dispensing in the US. He was on the Management Committee of Lamp Technologies, a Dallas-based technology company that specialized in back office-outsourcing solutions for the futures and hedge fund industry, later acquired by a bank in New York.
-
-He has authored Panic Proof Investing which is dedicated to helping investors and Putting – The Easiest Stroke in Golf for those looking to improve their golf game. Tom has also created a website dedicated to traders: www.enjoytheride.world . He created the ETR Trading Tools for Excel to help traders start the process of computerizing their strategy. Tom also shot a 16-part video series that helps traders along the learning curve to developing their own personal successful trading strategy. He has been retired for about 15 years and enjoys a variety of activities, including golf, writing, cooking, singing, dancing, working out and helping fellow traders.
-
-
-
-
-
 INTRODUCTION
 
 Starting with purchases of mutual funds as a newspaper delivery boy at 12, through a brief chemical engineering career and a stock portfolio, then through 28 years as a professional money manager with securities, futures and currencies, and currently as an individual investor of our retirement funds, I have seen a lot of things across the world of trading investments. I’ve seen academics and money managers make the investment process mysterious and complicated, intimidating many individuals attempting to manage their own portfolios and you do not need to feel overwhelmed to get started.
@@ -400,174 +196,6 @@ I used $100,000 as a starting equity knowing full well that many of you will hav
 
 
 
-
-VARIOUS SIMULATIONS USING RISK ALLOCATION PERCENTAGES - STOCKS
-
-
-Title of Case
-
-Starting Equity $K
-
-Ending Equity $
-
-CAGR%
-
-Maximum Equity Drawdown%
-
-Longest Drawdown (Months)
-
-MAR Ratio
-
-Modified Sharpe Ratio
-
-
-
-100 shares fixed
-
-$100.0
-
-$233.5
-
-+7.42%
-
--47.1%
-
-64.2
-
-0.16
-
-0.57
-
-
-
-5% Allocation
-
-$100.0
-
-$290.4
-
-+9.41%
-
--41.4%
-
-40.3
-
-0.23
-
-0.65
-
-
-
-*Risk 0.5%
-
-$100.0
-
-$288.3
-
-+9.34%
-
--41.3%
-
-37.3
-
-0.23
-
-0.65
-
-
-
-Risk 0.6%
-
-$100.0
-
-$342.8
-
-+10.95%
-
--47.5%
-
-37.4
-
-0.23
-
-0.66
-
-
-
-Risk 0.7%
-
-$100.0
-
-$401.7
-
-+12.45%
-
--53.1%
-
-37.5
-
-0.23
-
-0.66
-
-
-
-Risk 0.8%
-
-$100.0
-
-$465.5
-
-+13.85%
-
--58.3%
-
-37.7
-
-0.24
-
-0.66
-
-
-
-Risk 0.9%
-
-$100.0
-
-$528.3
-
-+15.07%
-
--63.1%
-
-39.3
-
-0.24
-
-0.66
-
-
-
-Risk 1.0%
-
-$100.0
-
-$588.4
-
-+16.13%
-
--67.5%
-
-57.2
-
-0.24
-
-0.66
-
-
-
-
-
 ANALYSIS OF VARIOUS SIMULATIONS ON RISK – STOCKS
 
 
@@ -593,174 +221,6 @@ I used $500,000 as a starting equity knowing full well that many of you will hav
 
 
 
-
-VARIOUS SIMULATIONS USING RISK ALLOCATION PERCENTAGES – FUTURES
-
-
-Title of Case
-
-Starting Equity $K
-
-Ending Equity $
-
-CAGR%
-
-Maximum Equity Drawdown%
-
-Longest Drawdown (Months)
-
-MAR Ratio
-
-Modified Sharpe Ratio
-
-
-
-1 Contract
-
-$500.0
-
-$686.6
-
-+2.78%
-
--14.6%
-
-83.8
-
-0.19
-
-0.47
-
-
-
-Risk 0.4%
-
-$500.0
-
-$731.4
-
-+3.31%
-
--11.7%
-
-25.8
-
-0.28
-
-0.60
-
-
-
-*Risk 0.5%
-
-$500.0
-
-$828.3
-
-+4.41%
-
--13.8%
-
-20.5
-
-0.32
-
-0.62
-
-
-
-Risk 0.6%
-
-$500.0
-
-$900.1
-
-+5.15%
-
--18.1%
-
-21.1
-
-0.28
-
-0.56
-
-
-
-Risk 0.7%
-
-$500.0
-
-$977.3
-
-+5.90%
-
--20.8%
-
-66.2
-
-0.28
-
-0.54
-
-
-
-Risk 0.8%
-
-$500.0
-
-$1081.3
-
-+6.82%
-
--23.2%
-
-52.3
-
-0.29
-
-0.55
-
-
-
-Risk 0.9%
-
-$500.0
-
-$1193.9
-
-+7.73%
-
--25.6%
-
-52.3
-
-0.30
-
-0.56
-
-
-
-Risk 1.0%
-
-$500.0
-
-$1215.5
-
-+7.89%
-
--29.1%
-
-73.6
-
-0.27
-
-0.52
-
-
-
-
-
 ANALYSIS OF VARIOUS SIMULATIONS ON RISK - FUTURES
 
 
@@ -887,172 +347,6 @@ The following table shows a base case of a fixed one contract of each futures ma
 
 
 
-SIMULATIONS USING VOLATILITY ALLOCATION PERCENTAGES – FUTURES
-
-
-Title of Case
-
-Starting Equity $K
-
-Ending Equity $
-
-CAGR%
-
-Maximum Equity Drawdown%
-
-Longest Drawdown (Months)
-
-MAR Ratio
-
-Modified Sharpe Ratio
-
-
-
-1 Contract
-
-$500.0
-
-$686.6
-
-+2.78%
-
--14.6%
-
-83.8
-
-0.19
-
-0.47
-
-
-
-Vol 0.4%
-
-$500.0
-
-$860.1
-
-+4.75%
-
--17.3%
-
-95.3
-
-0.27
-
-0.49
-
-
-
-*Vol 0.5%
-
-$500.0
-
-$1154.6
-
-+7.42%
-
--23.9%
-
-77.4
-
-0.31
-
-0.57
-
-
-
-Vol 0.6%
-
-$500.0
-
-$1258.5
-
-+8.21%
-
--28.3%
-
-95.2
-
-0.29
-
-0.54
-
-
-
-Vol 0.7%
-
-$500.0
-
-$1216.0
-
-+7.89%
-
--32.5%
-
-94.8
-
-0.24
-
-0.47
-
-
-
-Vol 0.8%
-
-$500.0
-
-$1525.4
-
-+10.01%
-
--37.7%
-
-95.3
-
-0.27
-
-0.52
-
-
-
-Vol 0.9%
-
-$500.0
-
-$1655.3
-
-+10.78%
-
--41.5%
-
-94.7
-
-0.26
-
-0.50
-
-
-
-Vol 1.0%
-
-$500.0
-
-$1602.6
-
-+10.47%
-
--50.7%
-
-95.3
-
-0.21
-
-0.47
-
-
-
-
 
 ANALYSIS OF VARIOUS SIMULATIONS ON VOLATILITY - FUTURES
 
@@ -1159,219 +453,6 @@ We could not use the Trading Blox software to simulate combining risk and volati
 
 
 
-VARIOUS SIMULATIONS USING RISK/VOLATILITY – FUTURES
-
-
-All cases started with $500,000 starting equity
-
-Risk %
-
-Vol %
-
-Ending Equity $
-
-CAGR%
-
-Maximum Equity Drawdown%
-
-Longest Drawdown (Months)
-
-MAR Ratio
-
-Modified Sharpe Ratio
-
-
-
-1 Contract
-
-$500.0
-
-$686.6
-
-+2.78%
-
--14.6%
-
-83.8
-
-0.19
-
-0.47
-
-
-
-Best Risk
-
-0.5%
-
-$828.3
-
-+4.41%
-
--13.8%
-
-20.5
-
-0.32
-
-0.62
-
-
-
-Best Vol
-
-0.5%
-
-$1154.6
-
-+7.42%
-
--23.9%
-
-77.4
-
-0.31
-
-0.57
-
-
-
-Risk 0.4%
-
-Vol 0.4%
-
-$670.2
-
-+2.54%
-
--13.0%
-
-43.8
-
-0.20
-
-0.48
-
-
-
-*Risk 0.5%
-
-Vol 0.5%
-
-$832.5
-
-+4.46%
-
--13.1%
-
-20.5
-
-0.34
-
-0.63
-
-
-
-Risk 0.6%
-
-Vol 0.6%
-
-$875.7
-
-+4.91%
-
--17.6%
-
-21.6
-
-0.28
-
-0.56
-
-
-
-Risk 0.7%
-
-Vol 0.7%
-
-$922.4
-
-+5.38%
-
--19.8%
-
-66.2
-
-0.27
-
-0.52
-
-
-
-Risk 0.8%
-
-Vol 0.8%
-
-$999.7
-
-+6.1%
-
--21.8%
-
-66.8
-
-0.28
-
-0.52
-
-
-
-Risk 0.9%
-
-Vol 0.9%
-
-$1203.0
-
-+7.08%
-
--24.3%
-
-52.3
-
-0.32
-
-0.57
-
-
-
-Risk 1.0%
-
-Vol 1.0%
-
-$1160.3
-
-+7.46%
-
--27.7%
-
-73.6
-
-0.27
-
-0.51
-
-
-
-
-
-ANALYSIS OF VARIOUS SIMULATIONS ON VOLATILITY - FUTURES
-
-
-The base case is precisely the same as all the other simulations summaries. The rest of the cases varied initial risk and volatility allocation percentages from 0.4% to 1.0% of the equity for the 19 markets traded. After the trade was initiated, the position flowed up and down with the markets until the position was closed with either a profit or a loss. I starred the 0.5% allocation level for both risk and volatility as what I would probably choose to use in this table. It had more return than the base case, less of a drawdown, and the best return to risk ratios so far. (At the higher allocation cases there are higher returns, but deteriorating return to risk ratios with larger drawdowns, lengthy recoveries, and profits starting to suffer.) At some point these higher allocations are getting dangerous to use.
-
-
-
-
 
 CHAPTER 8 – VARIOUS FORMS OF EQUITY IN YOUR PORTFOLIO
 
@@ -1398,7 +479,6 @@ If you are going to trade stocks, look closely at ones that trade at lower price
 
 In the futures arena, another consideration you should look closely at is the size of the contracts and the margin required for each of them. Start your trading with as small a contract size as you can. Below is a list of margins that I pulled from various exchanges at the time of this writing. These numbers are changing all the time, so you will have to look these up yourself, but the order of the size of the margins will tend to stay the same. I have sorted each section of the futures contracts on initial margins from low-to-high for your convenience.
 
-https://www.tradestation.com/pricing/futures-margin-requirements/
 
 Description
 
@@ -1414,1128 +494,6 @@ Day Trad. Margin
 
 
 
-Indexes
-
-
-
-
-
-MINI RUSSELL 2000 (CME)
-
-RTY
-
-$3,905
-
-$3,550
-
-25% of initial
-
-
-
-NIKKEI ($ BASED) (CME)
-
-NK
-
-$6,160
-
-$5,600
-
-NONE
-
-
-
-MINI DOW JONES ($5)
-
-YM
-
-$6,490
-
-$5,900
-
-25% of initial
-
-
-
-E-MINI S&P 500
-
-ES
-
-$6,600
-
-$6,000
-
-25% of initial
-
-
-
-E-MINI NASDAQ 100
-
-NQ
-
-$8,360
-
-$7,600
-
-25% of initial
-
-
-
-VIX
-
-VX
-
-$8,800
-
-$8,000
-
-NONE
-
-
-
-E-MINI MIDCAP 400
-
-EMD
-
-$9,020
-
-$8,200
-
-25% of initial
-
-
-
-Eurex
-
-
-
-
-
-EURO-SCHATZ
-
-FGBS
-
-€ 242
-
-€ 242
-
-NONE
-
-
-
-DJ STOXX 600 BANKS
-
-FSTB
-
-€ 831
-
-€ 831
-
-NONE
-
-
-
-DJ STOXX 600 UTILITY
-
-FSTU
-
-€ 892
-
-€ 892
-
-25% of initial
-
-
-
-EURO-BOBL
-
-FGBM
-
-€ 911
-
-€ 911
-
-NONE
-
-
-
-DJ STOXX 600 INDST G&S
-
-FSTG
-
-€ 1,764
-
-€ 1,764
-
-NONE
-
-
-
-EURO-BUND
-
-FGBL
-
-€ 2,119
-
-€ 2,119
-
-25% of initial
-
-
-
-EURO-OAT
-
-FOAT
-
-€ 2,157
-
-€ 2,157
-
-25% of initial
-
-
-
-DJ STOXX 50 INDEX
-
-FESX
-
-€ 2,158
-
-€ 2,158
-
-25% of initial
-
-
-
-MINI-DAX
-
-FDXM
-
-€ 3,901
-
-€ 3,901
-
-25% of initial
-
-
-
-EURO-BUXL
-
-FGBX
-
-€ 5,313
-
-€ 5,313
-
-25% of initial
-
-
-
-DAX
-
-FDAX
-
-€ 19,504
-
-€ 19,504
-
-25% of initial
-
-
-
-EURONEXT LIFFE
-
-
-
-
-
-THREE MONTH EURO (EURIBOR) INTEREST RATE FUTURES
-
-LT2
-
-€ 300
-
-€ 300
-
-None
-
-
-
-LONDON ROBUSTA COFFEE FUTURES
-
-RC
-
-$840
-
-$840
-
-None
-
-
-
-MEDIUM GILT FUTURES
-
-H
-
-£1,050
-
-£1,050
-
-None
-
-
-
-LONG GILT FUTURES
-
-LJ
-
-£2,100
-
-£2,100
-
-None
-
-
-
-FTSE 100 INDEX FUTURES
-
-LZ
-
-£2,353
-
-£2,353
-
-None
-
-
-
-THREE MONTH STERLING (SHORT STERLING) INTEREST RATE FUTURES
-
-LL
-
-£285
-
-£285
-
-None
-
-
-
-SHORT GILT FUTURES
-
-G
-
-£640
-
-£640
-
-None
-
-
-
-LONDON COCOA FUTURES
-
-CC3
-
-£940
-
-£940
-
-None
-
-
-
-THREE MONTH EURO SWISS FRANC INTEREST RATE FUTURES
-
-LF2
-
-CHF 825
-
-CHF 825
-
-None
-
-
-
-CURRENCIES (CME)
-
-
-
-
-
-E-MICRO AUD/USD
-
-M6A
-
-$138
-
-$125
-
-NONE
-
-
-
-E-MICRO EUR/USD
-
-M6E
-
-$253
-
-$230
-
-NONE
-
-
-
-E-MICRO GBP/USD
-
-M6B
-
-$264
-
-$240
-
-NONE
-
-
-
-MINI YEN
-
-J7
-
-$990
-
-$990
-
-50% of initial
-
-
-
-CANADIAN DLR.
-
-CD
-
-$1,265
-
-$1,150
-
-50% of initial
-
-
-
-MINI EURO
-
-E7
-
-$1,265
-
-$1,150
-
-50% of initial
-
-
-
-MEXICAN PESO
-
-MP1
-
-$1,320
-
-$1,200
-
-50% of initial
-
-
-
-AUSTRALIAN DLR.
-
-AD
-
-$1,375
-
-$1,250
-
-50% of initial
-
-
-
-NEW ZEALAND DLR.
-
-NE1
-
-$1,540
-
-$1,400
-
-50% of initial
-
-
-
-DOLLAR INDEX (ICE)
-
-DX
-
-$1,815
-
-$1,650
-
-50% of initial
-
-
-
-JAPANESE YEN
-
-JY
-
-$1,980
-
-$1,800
-
-50% of initial
-
-
-
-EURO CURRENCY
-
-EC
-
-$2,530
-
-$2,300
-
-50% of initial
-
-
-
-BRITISH POUND
-
-BP
-
-$2,640
-
-$2,400
-
-50% of initial
-
-
-
-SWISS FRANC
-
-SF
-
-$2,860
-
-$2,600
-
-50% of initial
-
-
-
-INTEREST RATES (CBOT)
-
-
-
-
-
-EURODOLLAR (CME)
-
-ED
-
-$165
-
-$150
-
-NONE
-
-
-
-2-YR T-NOTE
-
-TU
-
-$539
-
-$490
-
-50% of initial
-
-
-
-5-YR T-NOTE
-
-FV
-
-$748
-
-$680
-
-50% of initial
-
-
-
-10-YR T-NOTE
-
-TY
-
-$1,155
-
-$1,050
-
-50% of initial
-
-
-
-Ultra 10-YR NOTE
-
-TEN
-
-$1,705
-
-$1,550
-
-50% of initial
-
-
-
-30-YR T-BOND
-
-US
-
-$2,805
-
-$2,550
-
-50% of initial
-
-
-
-Ultra 30-YR T-BOND
-
-UB
-
-$4,015
-
-$3,650
-
-50% of initial
-
-
-
-METALS
-
-
-
-
-
-MICRO GOLD (COMEX)
-
-MGC
-
-$341
-
-$310
-
-NONE
-
-
-
-MINI SILVER (ICE)
-
-YI
-
-$861
-
-$783
-
-50% of initial
-
-
-
-MINI GOLD (ICE)
-
-YG
-
-$1,255
-
-$1,141
-
-50% of initial
-
-
-
-PLATINUM (NYMEX)
-
-PL
-
-$1,870
-
-$1,700
-
-50% of initial
-
-
-
-COPPER (COMEX)
-
-HG
-
-$3,410
-
-$3,100
-
-50% of initial
-
-
-
-GOLD (COMEX)
-
-GC
-
-$3,740
-
-$3,400
-
-50% of initial
-
-
-
-SILVER (COMEX)
-
-SI
-
-$3,960
-
-$3,600
-
-50% of initial
-
-
-
-PALLADIUM (NYMEX)
-
-PA
-
-$7,150
-
-$6,500
-
-50% of initial
-
-
-
-ENERGIES (NYMEX)
-
-
-
-
-
-E-MINY NATURAL GAS
-
-QN
-
-$1,568
-
-$1,425
-
-NONE
-
-
-
-E-MINY CRUDE OIL
-
-QM
-
-$2,352
-
-$2,138
-
-50% of initial
-
-
-
-E-MINY HEATING OIL
-
-QH
-
-$2,420
-
-$2,200
-
-NONE
-
-
-
-E-MINY RBOB GASOLINE
-
-QU
-
-$2,475
-
-$2,250
-
-NONE
-
-
-
-LOW SULPHUR GASOIL
-
-ULS
-
-$3,355
-
-$3,050
-
-NONE
-
-
-
-CRUDE OIL
-
-CL
-
-$4,703
-
-$4,275
-
-50% of initial
-
-
-
-HEATING OIL
-
-HO
-
-$4,950
-
-$4,500
-
-50% of initial
-
-
-
-BRENT CRUDE OIL
-
-BRN
-
-$4,950
-
-$4,500
-
-50% of initial
-
-
-
-RBOB GASOLINE
-
-RB
-
-$5,060
-
-$4,600
-
-50% of initial
-
-
-
-NATURAL GAS
-
-NG
-
-$6,270
-
-$5,700
-
-50% of initial
-
-
-
-AGRICULTURE (CBOT)
-
-
-
-
-
-MINI CORN
-
-YC
-
-$176
-
-$160
-
-NONE
-
-
-
-MINI WHEAT
-
-YW
-
-$275
-
-$250
-
-NONE
-
-
-
-MILK (CME)
-
-DA
-
-$413
-
-$375
-
-NONE
-
-
-
-MINI SOYBEANS
-
-YK
-
-$451
-
-$410
-
-NONE
-
-
-
-SOYBEAN OIL
-
-BO
-
-$550
-
-$500
-
-NONE
-
-
-
-BUTTER (CME)
-
-CB
-
-$770
-
-$700
-
-NONE
-
-
-
-OATS
-
-O
-
-$798
-
-$725
-
-NONE
-
-
-
-CORN
-
-C
-
-$880
-
-$800
-
-NONE
-
-
-
-WHEAT
-
-W
-
-$1,375
-
-$1,250
-
-NONE
-
-
-
-ROUGH RICE
-
-RR
-
-$1,375
-
-$1,250
-
-NONE
-
-
-
-HARD RD WINTER WHEAT
-
-KW
-
-$1,430
-
-$1,300
-
-NONE
-
-
-
-SOYBEAN MEAL
-
-SM
-
-$1,595
-
-$1,450
-
-NONE
-
-
-
-SOYBEANS
-
-S
-
-$2,255
-
-$2,050
-
-NONE
-
-
-
-MEATS (CME)
-
-
-
-
-
-LEAN HOGS
-
-LH
-
-$1,485
-
-$1,350
-
-NONE
-
-
-
-LIVE CATTLE
-
-LC
-
-$1,650
-
-$1,500
-
-NONE
-
-
-
-FEEDER CATTLE
-
-FC
-
-$3,080
-
-$2,800
-
-NONE
-
-
-
-SOFTS (ICE)
-
-
-
-
-
-FROZEN OJ
-
-OJ
-
-$888
-
-$807
-
-NONE
-
-
-
-SUGAR #11
-
-SB
-
-$1,047
-
-$952
-
-NONE
-
-
-
-COCOA
-
-CC
-
-$2,090
-
-$1,900
-
-NONE
-
-
-
-COTTON
-
-CT
-
-$2,915
-
-$2,650
-
-NONE
-
-
-
-COFFEE
-
-KC
-
-$2,970
-
-$2,700
-
-NONE
-
-
-
-OTHER
-
-
-
-
-
-LUMBER (CME)
-
-LB
-
-$3,025
-
-$2,750
-
-NONE
-
-
-
 
 
 An obvious step to take when trading a very small account in futures would be to look at some of the smaller contracts and cobble together a collection of these contracts, minimizing your margin requirements. You will still be over-leveraged, but you can get some experience trading and ramp up the learning curve.
@@ -2666,311 +624,6 @@ We could not use the Trading Blox software for ongoing risk and volatility in st
 
 
 
-SIMULATIONS USING ONGOING RISK/VOLATILITY LIMITS – FUTURES
-
-
-All cases started with $500,000 starting equity
-
-Risk %
-
-Vol %
-
-Ending Equity $
-
-CAGR%
-
-Maximum Equity Drawdown%
-
-Longest Drawdown (Months)
-
-MAR Ratio
-
-Modified Sharpe Ratio
-
-
-
-1 Contract
-
-$500.0
-
-$686.6
-
-+2.78%
-
--14.6%
-
-83.8
-
-0.19
-
-0.47
-
-
-
-Best Risk
-
-0.5%
-
-$828.3
-
-+4.41%
-
--13.8%
-
-20.5
-
-0.32
-
-0.62
-
-
-
-Best Vol
-
-0.5%
-
-$1154.6
-
-+7.42%
-
--23.9%
-
-77.4
-
-0.31
-
-0.57
-
-
-
-Risk 0.5%
-
-Vol 0.5%
-
-$832.5
-
-+4.46%
-
--13.1%
-
-20.5
-
-0.34
-
-0.63
-
-
-
-Ongoing
-
-Vol 0.8%
-
-$862.1
-
-+4.83%
-
--11.8%
-
-20.5
-
-0.41
-
-0.63
-
-
-
-Ongoing
-
-Risk 2.2%
-
-$917.8
-
-+5.40%
-
--12.9%
-
-20.5
-
-0.42
-
-0.69
-
-
-
-Ongoing Risk 2.1%
-
-Ongoing Vol 0.7%
-
-$907.0
-
-+5.29%
-
--13.2%
-
-20.5
-
-0.40
-
-0.68
-
-
-
-Ongoing Risk 2.1%
-
-Ongoing Vol 0.8%
-
-$907.0
-
-+5.29%
-
--13.2%
-
-20.5
-
-0.40
-
-0.68
-
-
-
-Ongoing Risk 2.1%
-
-Ongoing Vol 0.9%
-
-$907.0
-
-+5.29%
-
--13.2%
-
-20.5
-
-0.40
-
-0.68
-
-
-
-Ongoing Risk 2.2%
-
-Ongoing Vol 0.7%
-
-$917.7
-
-+5.40%
-
--13.1%
-
-20.5
-
-0.41
-
-0.68
-
-
-
-*Ongoing Risk 2.2%
-
-Ongoing Vol 0.8%
-
-$917.8
-
-+5.40%
-
--12.9%
-
-20.5
-
-0.42
-
-0.69
-
-
-
-Ongoing Risk 2.2%
-
-Ongoing Vol 0.9%
-
-$917.8
-
-+5.40%
-
--12.9%
-
-20.5
-
-0.42
-
-0.69
-
-
-
-Ongoing Risk 2.3%
-
-Ongoing Vol 0.7%
-
-$907.1
-
-+5.29%
-
--13.1%
-
-20.5
-
-0.40
-
-0.68
-
-
-
-Ongoing Risk 2.3%
-
-Ongoing Vol 0.8%
-
-$907.1
-
-+5.29%
-
--13.1%
-
-20.5
-
-0.40
-
-0.68
-
-
-
-Ongoing Risk 2.3%
-
-Ongoing Vol 0.9%
-
-$907.1
-
-+5.29%
-
--13.1%
-
-20.5
-
-0.40
-
-0.68
-
-
-
-
-
-ANALYSIS OF SIMULATIONS OF ONGOING RISK/VOLATILITY LIMITS - FUTURES
-
-
-The base case is precisely the same as all the other tables. For the rest of the cases, I varied ongoing volatility allocation percentages from 0.5 to 1.5% of the equity for the 19 markets traded. At the same time I varied ongoing risk allocation percentages from 1.0% to 3.0%. Due to the number of cases in performing those simulations, I showed the percentages below and above the sweet spot selections we made in the last two sections on ongoing risk and ongoing volatility management to keep the table easy to read.
-
-It is not too surprising to me is that the 2.2% ongoing risk allocation percentage and the 0.8% volatility allocation percentage combination seemed like the logical place to run the portfolio. I starred that to highlight it. We’ve kept the returns, drawdown and drawdown duration the same while improving one of the returns to risk measures a tiny bit. This is not a huge step forward but improvement, nonetheless. Let’s see if we can squeeze out some more improvement in one final step.
-
-
-
-
 
 CHAPTER 11 - MANAGING TOTAL PORTFOLIO RISK
 
diff --git a/Books/Finance/Super Trader, Expanded Edition - Van K. Tharp.txt b/Books/Finance/Super Trader, Expanded Edition - Van K. Tharp.txt
index 6a00511..1c3a4ab 100644
--- a/Books/Finance/Super Trader, Expanded Edition - Van K. Tharp.txt	
+++ b/Books/Finance/Super Trader, Expanded Edition - Van K. Tharp.txt	
@@ -1,256 +1,3 @@
-SUPER TRADER
-
-
-
-
-
-SUPER TRADER
-
-
-
-MAKE CONSISTENT PROFITS IN GOOD AND BAD MARKETS
-
-
-EXPANDED EDITION
-
-
-VAN K. THARP
-
-with Illustrations by Jillian Ellis
-
-
-
-
-
-Copyright © 2011 by Lake Lucerne LP. All rights reserved. Except as permitted under the United States Copyright Act of 1976, no part of this publication may be reproduced or distributed in any form or by any means, or stored in a database or retrieval system, without the prior written permission of the publisher.
-
-ISBN: 978-0-07-176085-0
-
-MHID: 0-07-176085-7
-
-The material in this eBook also appears in the print version of this title: ISBN: 978-0-07-174908-4, MHID: 0-07-174908-X.
-
-All trademarks are trademarks of their respective owners. Rather than put a trademark symbol after every occurrence of a trademarked name, we use names in an editorial fashion only, and to the benefit of the trademark owner, with no intention of infringement of the trademark. Where such designations appear in this book, they have been printed with initial caps.
-
-McGraw-Hill eBooks are available at special quantity discounts to use as premiums and sales promotions, or for use in corporate training programs. To contact a representative please e-mail us at bulksales@mcgraw-hill.com.
-
-This publication is designed to provide accurate and authoritative information in regard to the subject matter covered. It is sold with the understanding that neither the author nor the publisher is engaged in rendering legal, accounting, securities trading, or other professional services. If legal advice or other expert assistance is required, the services of a competent professional person should be sought.
-
-—From a Declaration of Principles Jointly Adopted by a Committee of the American Bar Association and a Committee of Publishers and Associations
-
-TERMS OF USE
-
-This is a copyrighted work and The McGraw-Hill Companies, Inc. (“McGraw-Hill”) and its licensors reserve all rights in and to the work. Use of this work is subject to these terms. Except as permitted under the Copyright Act of 1976 and the right to store and retrieve one copy of the work, you may not decompile, disassemble, reverse engineer, reproduce, modify, create derivative works based upon, transmit, distribute, disseminate, sell, publish or sublicense the work or any part of it without McGraw-Hill’s prior consent. You may use the work for your own noncommercial and personal use; any other use of the work is strictly prohibited. Your right to use the work may be terminated if you fail to comply with these terms.
-
-THE WORK IS PROVIDED “AS IS.” McGRAW-HILL AND ITS LICENSORS MAKE NO GUARANTEES OR WARRANTIES AS TO THE ACCURACY, ADEQUACY OR COMPLETENESS OF OR RESULTS TO BE OBTAINED FROM USING THE WORK, INCLUDING ANY INFORMATION THAT CAN BE ACCESSED THROUGH THE WORK VIA HYPERLINK OR OTHERWISE, AND EXPRESSLY DISCLAIM ANY WARRANTY, EXPRESS OR IMPLIED, INCLUDING BUT NOT LIMITED TO IMPLIED WARRANTIES OF MERCHANTABILITY OR FITNESS FOR A PARTICULAR PURPOSE. McGraw-Hill and its licensors do not warrant or guarantee that the functions contained in the work will meet your requirements or that its operation will be uninterrupted or error free. Neither McGraw-Hill nor its licensors shall be liable to you or anyone else for any inaccuracy, error or omission, regardless of cause, in the work or for any damages resulting therefrom. McGraw-Hill has no responsibility for the content of any information accessed through the work. Under no circumstances shall McGraw-Hill and/or its licensors be liable for any indirect, incidental, special, punitive, consequential or similar damages that result from the use of or inability to use the work, even if any of them has been advised of the possibility of such damages. This limitation of liability shall apply to any claim or cause whatsoever whether such claim or cause arises in contract, tort or otherwise.
-
-
-
-
-
-This book is dedicated to three very special people in my life. My wife, Kalavathi Tharp, provides a very special spark in my life. Without that spark and her tremendous love, this book would not be possible. My son, Robert Tharp, is one of the real joys in my life. He’s a trader, and he has worked very hard to understand these concepts. I’m very proud of him. And my niece, Nanthini Arumugam, has in my mind become the daughter that I always wished I would have. I am very blessed to have all of you in my life.
-
-
-
-
-
-CONTENTS
-
-FOREWORD BY JOHN MAULDIN
-
-PREFACE: THE FATE OF THE “AVERAGE” INVESTOR
-
-ACKNOWLEDGMENTS
-
-INTRODUCTION: THE FIVE STEPS TO CONSISTENT PROFITS
-
-
-PART 1 WORKING ON YOURSELF
-
-
-
-The Components of trading Well
-
-Do an Honest Self-Appraisal
-
-What’s Your Trading Type?
-
-Commitment
-
-Do What You Love
-
-Personal Responsibility
-
-What Are Your Excuses?
-
-Empower Yourself
-
-Write Down Your Beliefs
-
-Enjoy Your Obstacles
-
-Trade through Mindfulness
-
-Mindfulness Trading: An Example
-
-Make Friends with Your Inner Interpreter
-
-Learn to Dissociate
-
-Achieve Balance in Your Trading/Investing
-
-
-
-Overcome a Stuck State of Mind
-
-Does Failure Motivate You?
-
-No Requirements to Be Happy
-
-Vitamins for Your Soul to Improve Your Trading
-
-Discipline in Meeting Your Goals
-
-Removing Stored Charges
-
-How Do You Know When You’ve Done Enough Self-Work?
-
-
-PART 2 DEVELOPING A WORKING BUSINESS PLAN
-
-
-
-Have a Plan for Your Trading/Investing
-
-Having a Mission Statement behind Your Trading Is Critical to Your Success as a Trader
-
-What Are Your Goals and Objectives?
-
-Market Beliefs
-
-Understanding the Big Picture
-
-What Are Your Tactical Trading Strategies?
-
-How Will You Achieve Your Objectives through Position Sizing Strategies?
-
-Dealing with Your Challenges
-
-What Are Your Daily Procedures?
-
-What Is Your Education Plan?
-
-Worst-Case Contingency Plan
-
-Mentally Rehearse Your Disaster Plan
-
-Systems Other Than Trading Systems
-
-The Four Quadrants
-
-
-
-
-PART 3 DEVELOPING A TRADING SYSTEM
-
-
-
-Designing a Trading System That Fits You
-
-Trading Concepts
-
-Setups Are Not as Important as You Think
-
-Entering the Market
-
-The Source of the Stock Selection Myth
-
-Improving on Random Entry
-
-Exits Are the Keys to Making Money
-
-Exiting a Trade beyond the Initial Stop
-
-Start Thinking in Terms of Reward and Risk
-
-One of Your Most Important Tasks: Keep Up with the R Multiples of Your Trades
-
-Six Keys to a Great Trading System
-
-Common Elements of Success
-
-The “It Didn’t Work” Mentality
-
-Trading Reality Check
-
-What It Takes to Have Confidence
-
-
-PART 4 UNDERSTANDING THE IMPORTANCE OF POSITION SIZING™ STRATEGIES
-
-
-
-System Quality Numbers® and Position Sizing Strategies
-
-Position Sizing Strategies Are More Important Than You Think
-
-The Three Components of a Position Sizing Strategy
-
-
-
-THE CPR Model for Position Sizing Strategies
-
-Position Sizing Basics
-
-Types of Equity Models
-
-Different Position Sizing Models
-
-The Purpose of Position Sizing Strategies
-
-One Way to Use Position Sizing Strategies to Meet Your Objectives: Simulation
-
-The Problems of the R-Multiple Simulator
-
-Getting around the Problems of Simulation
-
-
-PART 5 REDUCING MISTAKES AND USING OTHER WAYS TO MAKE MORE CONSISTENT PROFITS
-
-
-
-Mistake-Free Trading
-
-Mistakes and Self-Sabotage
-
-Mechanical Traders and Mistakes
-
-No-Rules Discretionary Traders and Mistakes
-
-Rule-Based Discretionary Traders and Mistakes
-
-Common Mistakes
-
-How to Prevent Mistakes
-
-How Not to Repeat Mistakes
-
-Make More Consistent Profits: Keep it Simple
-
-Miscellaneous Ways to Make Money in a Trading Business
-
-Avoid Making Predictions in the Market
-
-You Cannot Ignore the Fundamentals
-
-GLOSSARY
-
-INDEX
-
-
-
-
-
 FOREWORD
 
 Would you like to live in paradise? There’s a place where the average daily temperature is 66 degrees, rainy days occur on average only every five days, and the sun shines most of the time.
diff --git a/Books/Finance/The Little Book of Market Myths - Kenneth L. Fisher.txt b/Books/Finance/The Little Book of Market Myths - Kenneth L. Fisher.txt
index b796e03..e235422 100644
--- a/Books/Finance/The Little Book of Market Myths - Kenneth L. Fisher.txt	
+++ b/Books/Finance/The Little Book of Market Myths - Kenneth L. Fisher.txt	
@@ -1,245 +1,3 @@
-Contents
-
-Preface
-
-Chapter One: Bonds Are Safer Than Stocks
-
-Bonds Are Volatile, Too
-
-Stocks Are Less Volatile Than Bonds?
-
-Blame Evolution
-
-Stocks Are Positive Much More Often Than Not
-
-Stocks Are Positive—And Overwhelmingly Beat Bonds
-
-The Stock Evolution
-
-Chapter Two: Asset Allocation Short-Cuts
-
-The Critical Asset Allocation Decision
-
-Getting Time Horizon Right
-
-Inflation’s Insidious Impact
-
-Chapter Three: Volatility and Only Volatility
-
-Oft-Overlooked Interest Rate Risk
-
-Portfolio Risk and Food Risk
-
-When Opportunity Doesn’t Knock
-
-Chapter Four: More Volatile Than Ever
-
-Volatility Goes Up, Too
-
-Volatility Isn’t Predictive
-
-Volatility Is Volatile—And Not Trending Higher
-
-Hug a Speculator
-
-Chapter Five: The Holy Grail—Capital Preservation and Growth
-
-Capital Preservation Requires No Volatility . . .
-
-. . . But Growth Requires Volatility!
-
-Chapter Six: The GDP–Stock Mismatch Crash
-
-GDP Measures Output, Not Economic Health
-
-Shrinking Government Spending Is Good, Not Bad
-
-Too Far, Too Fast?
-
-What Are Stocks?
-
-Chapter Seven: 10% Forever!
-
-Stock Returns Are Superior—And Variable
-
-I See 5% CDs
-
-Chapter Eight: High Dividends for Sure Income
-
-No Guarantees!
-
-Homegrown Dividends
-
-Chapter Nine: The Perma-Superiority of Small-Cap Value
-
-Perma-Love or Heat Chasing?
-
-Capitalism Basics
-
-Chapter Ten: Wait Until You’re Sure
-
-TGH at Work
-
-The V-Bounce
-
-Chapter Eleven: Stop-Losses Stop Losses
-
-The Stop-Loss Mechanics
-
-Stock Prices Aren’t Serially Correlated
-
-Pick a Level, Any Level
-
-Chapter Twelve: High Unemployment Kills Stocks
-
-See It Like a CEO
-
-The Economy Leads, Unemployment Lags
-
-The Stock Market Really Leads
-
-Consumer Spending Is Incredibly Stable
-
-Producers in the Driver’s Seat
-
-Chapter Thirteen: Over-Indebted America
-
-The Government Is a Stupid Spender
-
-Putting Debt in Perspective
-
-Question Everything!
-
-The Real Issue . . . Affordability
-
-Cheaper Debt After the Downgrade
-
-Dependent on the Kindness of Strangers?
-
-Nowhere to Go
-
-Chapter Fourteen: Strong Dollar, Strong Stocks
-
-Weak Dollar, Strong Dollar—Does It Matter?
-
-Think Inside the 4-Box
-
-Chapter Fifteen: Turmoil Troubles Stocks
-
-Chapter Sixteen: News You Can Use
-
-Look the Other Way
-
-A Sentiment Indicator
-
-Interpret It to Use It
-
-Ground Rules for Interpreting Media Profitably
-
-Chapter Seventeen: Too Good to Be True
-
-Separate Decision Maker and Custody
-
-High and Steady . . . and Fake
-
-Super-High . . . and Also Fake
-
-Scams of All Stripes
-
-Acknowledgments
-
-About the Authors
-
-
-
-Little Book Big Profits Series
-
-In the Little Book Big Profits series, the brightest icons in the financial world write on topics that range from tried-and-true investment strategies to tomorrow’s new trends. Each book offers a unique perspective on investing, allowing the reader to pick and choose from the very best in investment advice today.
-
-Books in the Little Book Big Profits series include:
-
-The Little Book That Still Beats the Market by Joel Greenblatt
-
-The Little Book of Value Investing by Christopher Browne
-
-The Little Book of Common Sense Investing by John C. Bogle
-
-The Little Book That Makes You Rich by Louis Navellier
-
-The Little Book That Builds Wealth by Pat Dorsey
-
-The Little Book That Saves Your Assets by David M. Darst
-
-The Little Book of Bull Moves by Peter D. Schiff
-
-The Little Book of Main Street Money by Jonathan Clements
-
-The Little Book of Safe Money by Jason Zweig
-
-The Little Book of Behavioral Investing by James Montier
-
-The Little Book of Big Dividends by Charles B. Carlson
-
-The Little Book of Bulletproof Investing by Ben Stein and Phil DeMuth
-
-The Little Book of Commodity Investing by John R. Stephenson
-
-The Little Book of Economics by Greg Ip
-
-The Little Book of Sideways Markets by Vitaliy N. Katsenelson
-
-The Little Book of Currency Trading by Kathy Lien
-
-The Little Book of Stock Market Profits by Mitch Zacks
-
-The Little Book of Big Profits from Small Stocks by Hilary Kramer
-
-The Little Book of Trading by Michael W. Covel
-
-The Little Book of Alternative Investments by Ben Stein and Phil DeMuth
-
-The Little Book of Valuation by Aswath Damodaran
-
-The Little Book of Emerging Markets by Mark Mobius
-
-The Little Book of Hedge Funds by Anthony Scaramucci
-
-The Little Book of the Shrinking Dollar by Addison Wiggin
-
-The Little Book of Bull’s Eye Investing by John Mauldin
-
-The Little Book of Market Myths by Ken Fisher and Lara Hoffmans
-
-
-
-
-
-Cover Design: Paul McCarthy
-
-Copyright © 2013 by Fisher Investments. All rights reserved.
-
-Published by John Wiley & Sons, Inc., Hoboken, New Jersey.
-
-Published simultaneously in Canada.
-
-No part of this publication may be reproduced, stored in a retrieval system, or transmitted in any form or by any means, electronic, mechanical, photocopying, recording, scanning, or otherwise, except as permitted under Section 107 or 108 of the 1976 United States Copyright Act, without either the prior written permission of the Publisher, or authorization through payment of the appropriate per-copy fee to the Copyright Clearance Center, Inc., 222 Rosewood Drive, Danvers, MA 01923, (978) 750-8400, fax (978) 646-8600, or on the Web at www.copyright.com. Requests to the Publisher for permission should be addressed to the Permissions Department, John Wiley & Sons, Inc., 111 River Street, Hoboken, NJ 07030, (201) 748-6011, fax (201) 748-6008, or online at http://www.wiley.com/go/permissions.
-
-Important Disclaimers: This book reflects personal opinions, viewpoints and analyses of the authors and should not be regarded as a description of advisory services provided by Fisher Investments or performance returns of any Fisher Investments client. Fisher Investments manages its clients’ accounts using a variety of investment techniques and strategies not necessarily discussed in this book. Nothing in this book constitutes investment advice or any recommendation with respect to a particular country, sector, industry, security or portfolio of securities. All information is impersonal and not tailored to the circumstances or investment needs of any specific person.
-
-Limit of Liability/Disclaimer of Warranty: While the publisher and author have used their best efforts in preparing this book, they make no representations or warranties with respect to the accuracy or completeness of the contents of this book and specifically disclaim any implied warranties of merchantability or fitness for a particular purpose. No warranty may be created or extended by sales representatives or written sales materials. The advice and strategies contained herein may not be suitable for your situation. You should consult with a professional where appropriate. Neither the publisher nor author shall be liable for any loss of profit or any other commercial damages, including but not limited to special, incidental, consequential, or other damages.
-
-For general information on our other products and services or for technical support, please contact our Customer Care Department within the United States at (800) 762-2974, outside the United States at (317) 572-3993 or fax (317) 572-4002.
-
-Wiley publishes in a variety of print and electronic formats and by print-on-demand. Some material included with standard print versions of this book may not be included in e-books or in print-on-demand. If this book refers to media such as a CD or DVD that is not included in the version you purchased, you may download this material at http://booksupport.wiley.com. For more information about Wiley products, visit www.wiley.com.
-
-978-1-118-44501-3 (cloth); 978-1-118-44500-6 (ebk);
-
-978-1-118-44498-6 (ebk); 978-1-118-44502-0 (ebk)
-
-
-
-
-
 Preface
 
 
@@ -779,38 +537,6 @@ Don’t just trust your eyes. You can measure standard deviation as well. Standa
 
 Remember that the next time someone says the cure to the market’s ills is banning speculators. Such a move wouldn’t necessarily reduce volatility, and it may well increase it—along with reducing transparency and slowing price discovery. (Politicians cannot and will not ever understand how free markets work. I’m convinced it’s a virus that destroys part of their brains in the 12 to 24 months after being elected to major office.) So thank a speculator, and don’t fear volatility. It’s not predictive, you can’t get upside volatility without the downside, and over time, upside volatility happens more often. Embrace it.
 
-Notes
-
-1. Global Financial Data, Inc., as of 9/20/12, S&P 500 Total Return Index from 12/31/2007 to 12/31/2008 and from 12/31/2008 to 12/31/2009.
-
-2. Global Financial Data, Inc., as of 9/20/12, S&P 500 Total Return Index from 12/31/1925 to 12/31/2011. The S&P 500 Total Return Index is based upon GFD calculations of total returns before 1971. These are estimates by GFD to calculate the values of the S&P Composite before 1971 and are not official values. GFD used data from the Cowles Commission and from S&P itself to calculate total returns for the S&P Composite using the S&P Composite Price Index and dividend yields through 1970, official monthly numbers from 1971 to 1987 and official daily data from 1988 on.
-
-3. The S&P 500 Total Return Index is based upon GFD calculations of total returns before 1971. These are estimates by GFD to calculate the values of the S&P Composite before 1971 and are not official values. GFD used data from the Cowles Commission and from S&P itself to calculate total returns for the S&P Composite using the S&P Composite Price Index and dividend yields through 1970, official monthly numbers from 1971 to 1987 and official daily data from 1988 on.
-
-4. Global Financial Data, Inc., as of 09/20/12, S&P 500 Total Return Index from 12/31/1931 to 12/31/1932; see note 3.
-
-5. Global Financial Data, Inc., as of 09/20/12, S&P 500 Total Return Index from 12/31/1932 to 12/31/1933; see note 3.
-
-6. Global Financial Data, Inc., as of 09/20/12, S&P 500 Total Return Index from 12/31/1997 to 12/31/1998.
-
-7. Global Financial Data, Inc., as of 09/20/12, S&P 500 Total Return Index from 12/31/2009 to 12/31/2010.
-
-8. Global Financial Data, Inc., as of 09/20/12, S&P 500 Total Return Index from 12/31/1979 to 12/31/1980; see note 3.
-
-9. Global Financial Data, Inc., as of 09/20/12, S&P 500 Total Return Index from 12/31/1976 to 12/31/1977; see note 3.
-
-10. Global Financial Data, Inc., as of 09/20/12, S&P 500 Total Return Index from 12/31/1952 to 12/31/1953; see note 3.
-
-11. Global Financial Data, Inc., as of 09/20/12, S&P 500 Total Return Index from 12/31/2004 to 12/31/2005.
-
-12. Global Financial Data, Inc., as of 09/20/12, S&P 500 Total Return Index from 12/31/1950 to 12/31/1951; see note 3.
-
-13. Global Financial Data, Inc., as of 09/20/12, S&P 500 Total Return Index from 12/31/1972 to 12/31/1973; see note 3.
-
-
-
-
-
 Chapter Five
 
 
@@ -2163,18 +1889,6 @@ How can stocks rise in the face of all this drama and trauma? Scary things are a
 
 Then, too, remember that in the near term, stocks can wildly wiggle. But over time, their upward sweep represents the potentially infinite upward sweep of profits. As mentioned throughout the book, profit motive is an intensely powerful positive force. It’s at the root of capitalism and the reason free, democratic, capitalistic nations thrive and less-free nations don’t. Profit motive isn’t sapped because humanity faces challenges. In fact, challenges and the need for innovation can be motivating factors for those willing to take risks to chase future profits. Capital markets are resilient because humanity is resilient. Those who’ve bet against that have been proven wrong, time and again.
 
-Notes
-
-1. Eric S. Blake, Christopher W. Landsea and Ethan J. Gibney, “The Deadliest, Costliest and Most Intense United States Tropical Cyclones from 1851 and 2010 (And Other Frequently Requested Hurricane Facts),” NOAA Technical Memorandum NWS NHC-6, August 2011.
-
-2. Ibid.
-
-3. Global Financial Data, Inc., as of 6/27/2012. S&P 500 Total Return Index from 01/31/1926 to 12/31/2011. The S&P 500 Total Return Index is based upon GFD calculations of total returns before 1971. These are estimates by GFD to calculate the values of the S&P Composite before 1971 and are not official values. GFD used data from the Cowles Commission and from S&P itself to calculate total returns for the S&P Composite using the S&P Composite Price Index and dividend yields through 1970, official monthly numbers from 1971 to 1987 and official daily data from 1988 on.
-
-
-
-
-
 Chapter Sixteen
 
 
diff --git a/Books/Finance/Think Trade Like a Champion by - Unknown.txt b/Books/Finance/Think Trade Like a Champion by - Unknown.txt
index 1fb0b22..f2d4ce7 100644
--- a/Books/Finance/Think Trade Like a Champion by - Unknown.txt	
+++ b/Books/Finance/Think Trade Like a Champion by - Unknown.txt	
@@ -1,92 +1,3 @@
-Think and Trade Like a Champion
-
-
-
-
-Think and Trade Like a Champion
-
-The Secrets, Rules & Blunt Truths of a Stock Market Wizard
-
-MARK MINERVINI
-
-Access Publishing Group, LLC
-
-Copyright © 2017 by Mark Minervini. All rights reserved.
-
-This book, or parts thereof, may not be produced in any form without permission from the publisher; exceptions are made for excerpts used in printed reviews and other media-related materials as long as proper attribution is made.
-
-The publisher and the authors make no representations or warranties with respect to the accuracy or completeness of the contents of this work and specifically disclaim all warranties, including without limitation warranties of fitness for a particular purpose. No warranty may be created or extended by sales or promotional materials. The advice and strategies contained herein may not be suitable for readers’ situations. Readers should consult with a professional where appropriate. Neither the publisher nor the author shall be liable for any loss of profit or any other commercial damages, including but not limited to special, incidental, consequential, or other damages.
-
-ISBN 978-0-9963079-3-2 (pbk)
-
-ISBN 978-0-9963079-4-9 (ebk)
-
-Printed in the United States of America
-
-First Edition
-
-10 9 8 7 6 5 4 3 2 1
-
-Contents
-
-INTRODUCTION
-
-First Steps to Thinking and Trading Like a Champion
-
-SECTION 1
-
-Always Go in with a Plan
-
-SECTION 2
-
-Approach Every Trade Risk-First
-
-SECTION 3
-
-Never Risk More Than You Expect to Gain
-
-SECTION 4
-
-Know the Truth About Your Trading
-
-SECTION 5
-
-Compound Money, Not Mistakes
-
-SECTION 6
-
-How and When to Buy Stocks—Part 1
-
-SECTION 7
-
-How and When to Buy Stocks—Part 2
-
-SECTION 8
-
-Position Sizing for Optimal Results
-
-SECTION 9
-
-When to Sell and Nail Down Profits
-
-SECTION 10
-
-Eight Keys to Unlocking Superperformance
-
-SECTION 11
-
-The Champion Trader Mindset
-
-About the Author
-
-Index
-
-Acknowledgments
-
-
-
-
-
 INTRODUCTION
 
 
@@ -3405,1212 +3316,3 @@ Mark is featured in Momentum Masters: A Roundtable Interview with Super Traders
 Mark educates traders about his SEPA® methodology through Minervini Private Access, a streaming communication platform that allows users the unique experience of trading side-by-side with him in real time. He also conducts a live Master Trader Program workshop where he teaches his system in a comprehensive weekend event. You can learn more about Mark at www.minervini.com.
 
 
-
-
-
-Index
-
-
-200-day moving average, 118–120
-
-20-day line, if things don’t go as planned, 35
-
-20-day moving average, 35
-
-3-C pattern, 154–155
-
-50/80 rule, 94–96
-
-9/11 terrorist attack, 22
-
-Ackman, Bill, 121
-
-action, taking, 14–15
-
-Add and Reduce technique, 66–67
-
-Ali, Muhammad, 218, 219
-
-Amazon.com (AMZN), 141–142, 187, 188
-
-Amgen (AMGN), 201
-
-ants, 33, 34
-
-Apple Computer (AAPL), 151, 160
-
-ATR. See Average True Range (ATR)
-
-audibles, calling, 107–108
-
-average gain, 74–75, 77
-
-average loss, 77
-
-Average True Range (ATR), 58
-
-averaging down, 91–93, 94
-
-back stop, 197–198
-
-base count, 180–182
-
-batting averages, 56–57, 77
-
-dropping below 50 percent, 58
-
-belief systems, 7
-
-beliefs, 16
-
-conflicting, 228–230
-
-bell curve, 80–81
-
-Berger, William M.B., 28
-
-Biodelivery Science Intl. (BDSI), 40
-
-Biogen (BIIB), 192
-
-Bitauto Holdings Ltd Ads (BITA), 32, 125, 126
-
-Blockbuster (BLOAQ), vs. Netflix (NFLX), 146–147
-
-blow-off top, 186–188
-
-Body Central (BODY), 209–210
-
-box breathing, 220
-
-breakeven or better rule, 196–197
-
-breakeven point, protecting, 105–106, 214–215
-
-breaking rules. See mistakes
-
-breakouts, 156
-
-violations soon after, 39
-
-breathing exercises, 220
-
-builders, traders as, 4–5
-
-calling an audible, 107–108
-
-Capital Growth Management, 206
-
-chartsAmazon.com (AMZN), 142, 188
-
-Amgen (AMGN), 201
-
-Apple Computer (AAPL), 151, 160
-
-Biodelivery Science Intl. (BDSI), 40
-
-Biogen (BIIB), 192
-
-Bitauto Holdings Ltd Ads (BITA), 32, 126
-
-Blockbuster (BLOAQ), 147
-
-Body Central (BODY), 209
-
-Chipotle Mexican Grill (CMG), 186
-
-charts ( continued)
-
-Cirrus Logic (CRUS), 157
-
-Cisco Systems (CSCO), 96
-
-Coach (COH), 149
-
-Crocs (CROX), 100
-
-Deckers Outdoors (DECK), 183, 185
-
-Dick’s Sporting Goods (DKS), 164
-
-DryShips Inc. (DRYS), 195
-
-eBay (EBAY), 144
-
-Google (GOOGL), 34, 159
-
-GoPro (GPRO), 138
-
-Green Mountain Coffee Roasters (GMCR), 192
-
-Green Plains (GPRE), 29, 66
-
-Home Depot (HD), 163
-
-Humana (HUM), 155
-
-Immunogen (IMGN), 106
-
-importance of Stage 2, 117–118
-
-Isis Pharmaceuticals (ISIS), 64
-
-JetBlue Airways (JBLU), 157
-
-Lululemon Athletica (LULU), 30
-
-Lumber Liquidators (LL), 38, 95, 98, 185, 195
-
-Maxygen (MAXY), 158
-
-Medivation (MDVN), 50, 196
-
-Mercadolibre (MELI), 134
-
-Meridian Bioscience (VIVO), 130
-
-Michael Kors Hldg. (KORS), 123, 149
-
-Michaels Companies Inc. (MIK), 135
-
-Micron Technologies (MU), 41
-
-Microsoft (MSFT), 162
-
-Monster Beverage (MNST), 140, 190
-
-Netflix (NFLX), 30, 128, 145, 147
-
-OuterWall Corp. (OUTR), 37
-
-overview, 116
-
-Pharmacyclics Inc. (PCYC), 166
-
-putting the chart into perspective, 179–180
-
-Qualcomm (QCOM), 187
-
-Southwest Airlines (LUV), 200
-
-Tesla Motors (TSLA), 190
-
-Twitter (TWTR), 160
-
-Valeant Pharmaceuticals International (VRX), 121
-
-WageWorks (WAGE), 36
-
-Wal-Mart (WMT), 150
-
-Weight Watchers (WTW), 118
-
-WR Grace & Co. (GRA), 201
-
-Yelp (YELP), 27
-
-Zillow (Z), 31
-
-cheap stock, 96–98, 121
-
-cheats, 154
-
-3-C pattern, 154–155
-
-the double bottom, 163–164
-
-the dream pattern, 160–163
-
-explained, 156–158
-
-low cheats, 158–160
-
-the power play, 164–167
-
-Chipotle Mexican Grill (CMG), 186
-
-Chödrön, Pema, 4–5
-
-Cirrus Logic (CRUS), 157
-
-Cisco Systems (CSCO), 96
-
-climax top, 186–188
-
-CLUM principle, 15–16
-
-Coach (COH), vs. Michael Kors Hldg. (KORS), 148–149
-
-coaches, 232
-
-cognitive behavioral coaching, 222, 223
-
-comfort zone, going beyond your, 15–16
-
-compounding returns, 87
-
-time value and the power of compounding, 212
-
-confidence, 230–232
-
-conflicting beliefs, 228–230
-
-consistency, 104–105, 113–114
-
-contingency planning, 22–26
-
-priorities, 25
-
-contractions of volatility. See volatility contraction pattern (VCP) Coyle, Daniel, 11
-
-Crocs (CROX), 100
-
-cup completion cheat. See 3-C pattern
-
-dabbling, 228
-
-danger point, 49–50
-
-Dawson, Roger, 101
-
-Deckers Outdoors (DECK), 182–183, 185
-
-declines, making sense of a swift decline, 98–101
-
-deep practice, 11
-
-See also practice
-
-defining yourself, 12–13
-
-delay, 14–15
-
-detachment, 218
-
-diaphragmatic breathing, 220
-
-Dick’s Sporting Goods (DKS), 163, 164
-
-differential disclosure, 99
-
-disaster plan, 25
-
-See also contingency planning
-
-discipline, 45, 52, 113–114, 225–226
-
-and confidence, 230–231
-
-developing sit-out power, 111–112
-
-forcing trades, 111
-
-marching to your own drummer, 109–111
-
-diversification, 169–170, 173–175
-
-and superperformance, 205–207
-
-See also position sizing
-
-di-worsification, 173–175
-
-double bottom, 163–164
-
-downtrends, 156
-
-dream pattern, 160–163
-
-DryShips Inc. (DRYS), 194, 195
-
-Duhigg, Charles, 222
-
-Dwyer, Wayne, 110
-
-early stage exception, 199–201
-
-earnings reports, holding into, 108–109
-
-eBay (EBAY), 144
-
-eggs, 28–30
-
-ego, 51, 214
-
-embracing the process, 10–12
-
-Emerson, Ralph Waldo, 16
-
-emotional forcefield, 218
-
-emotional stop-loss, 45
-
-emotional triggers, 86
-
-emotions, 214
-
-of selling at a profit, 178–179
-
-excuses, 89–90
-
-exit point. See stop-losses
-
-expectancy, 61
-
-science of, 57–58
-
-expectations, how to set, 61–62
-
-exposure, adding without risk, 66–67
-
-extended stocks, when not to sell, 32–34
-
-failure, building in, 57
-
-fear, 178, 218–220
-
-and paralysis, 231
-
-putting the chart into perspective, 179–180
-
-of regret, 69
-
-feedback loop, 88–89
-
-follow-through buying, 27
-
-follow-through count, 31–32
-
-forcing trades, 111
-
-free roll, 197
-
-gain/loss ratio, optimal, 59, 60
-
-gains, average gain, 74–75
-
-gambling
-
-vs. investing, 68–69
-
-Two for the Money, 5–6
-
-getting odds, 104
-
-Google (GOOGL), 34, 159
-
-GoPro (GPRO), 138–139
-
-Green Mountain Coffee Roasters (GMCR), 192
-
-Green Plains (GPRE), 29, 66
-
-Greene, Robert, 228
-
-Gupta, Rajneesh, 33
-
-healthy habits of trading, 87–89
-
-Heebner, Ken, 206
-
-high tight flag. See power play
-
-holy grail, 60–61
-
-Home Depot (HD), 163
-
-hope, 21–22
-
-How Charts Can Help You in the Stock Market (Jiler), 160–161
-
-Humana (HUM), 155
-
-IBD. See Investor’s Business Daily
-
-ideas, 16
-
-Immunogen (IMGN), 106
-
-indecisiveness, 41–42, 178
-
-information overload, avoiding, 226–227
-
-initial stop-loss, 23
-
-See also contingency planning; stop-losses investing, vs. gambling, 68–69
-
-Investor’s Business Daily ( IBD), 140–141, 162
-
-involuntary investors, 46–47
-
-Isis Pharmaceuticals (ISIS), 64
-
-JetBlue Airways (JBLU), 157
-
-Jiler, William L., 160–161
-
-“just this one time” moments, 93–94
-
-Katie, Byron, 229
-
-knowing, 16
-
-knowledge, stages of, 16–17
-
-laying odds, 104
-
-lessons learned, 221
-
-line of least resistance, 125, 133
-
-Livermore, Jesse, 46, 125
-
-lockout rally, 153–154
-
-longevity, 104–105
-
-long-term uptrends, 115, 123
-
-losses, limiting, 47
-
-low cheats, 158–160
-
-lower lows, 35–36
-
-luck factor, 112–113
-
-Lululemon Athletica (LULU), 30
-
-Lumber Liquidators (LL), 38, 95, 98, 185, 194, 195
-
-Lynch, Peter, 10
-
-managing stocks, 43
-
-market leaders, 142–151
-
-holding after a run-up, 173
-
-which leaders to buy first, 152–153
-
-mastery, 228, 233
-
-Mastery (Greene), 228
-
-Maxygen (MAXY), 158
-
-measuring results, 72–73
-
-Medivation (MDVN), 50, 196
-
-mental rehearsal, 218–219
-
-mental stop, 45
-
-mentors, 232
-
-Mercadolibre (MELI), 133, 134
-
-Meridian Bioscience (VIVO), 129–130
-
-Merrill Lynch, 22
-
-Michael Kors Hldg. (KORS), 123
-
-vs. Coach (COH), 148–149
-
-Michaels Companies Inc. (MIK), 134–135
-
-Micron Technologies (MU), 41
-
-Microsoft (MSFT), 162
-
-Minervini, Mark, conversation with Jairek Robbins, 217–233
-
-mistakes
-
-averaging down, 91–93, 94
-
-the “cheap trap”, 96–98
-
-forcing trades, 111
-
-“just this one time” moments, 93–94
-
-snap decisions, 107–108
-
-modeling success, 8–9
-
-momentum, 33
-
-momentum, volume and price. See MVP indicator Monster Beverage (MNST), 140, 190
-
-monthly tracker, 78
-
-MVP indicator, 33, 199
-
-natural reactions, 28, 33
-
-Netflix (NFLX), 30, 128–129, 145–146
-
-vs. Blockbuster (BLOAQ), 146–147
-
-neuro-linguistic programming (NLP), 217, 222
-
-New USA Growth Fund, 32–34
-
-Newton, Isaac, Sir, 8
-
-NLP. See neuro-linguistic programming (NLP) One Up on Wall Street (Lynch), 10
-
-O’Neil, William, 32–34
-
-opinions, 214
-
-opportunity cost, 81–82
-
-optimal gain/loss ratio, 59, 60
-
-OuterWall Corp. (OUTR), 37
-
-overhead supply, 130–132
-
-pain/pleasure cycle, 225
-
-paralysis, and fear, 231
-
-paralysis-regret cycle, 41–42
-
-pauses, 156
-
-Pavlov, Ivan, 225
-
-Pavlov’s dogs, 225
-
-percentage ball, 67–68
-
-percentage of winning trades (PWT), 56
-
-performance
-
-four keys to generating big performance, 204–210
-
-four keys to limiting drawdowns, 210–215
-
-three deadly trader traps, 214
-
-personal bell curve, 80–81
-
-Pharmacyclics Inc. (PCYC), 166, 167
-
-Picasso, Pablo, 8
-
-pilot buy, 102
-
-pivot buy point. See pivot point
-
-pivot point, 132–133
-
-volume at the pivot, 133–135
-
-position sizing
-
-guidelines, 171
-
-holding market leaders after a run-up, 173
-
-over-diversification, 173–175
-
-overview, 169–171
-
-and risk, 170–171
-
-the two-for-one rule, 172
-
-positive mental attitude, supporting, 230
-
-post-trade analysis, 88–89
-
-Power of Habit, The (Duhigg), 222
-
-power play, 164–167
-
-practice, 10–12
-
-preparation for trading day, 220–222
-
-preparedness, 22, 113–114
-
-See also contingency planning
-
-price, 33
-
-price-to-earnings (P/E) ratio, 98
-
-P/E expansion, 183–186
-
-priorities, 13–14
-
-contingency planning, 25
-
-profit protection, 105–106
-
-protecting your psyche, 83–84
-
-pullbacks, 28, 29, 33
-
-PWT. See percentage of winning trades (PWT) Qualcomm (QCOM), 187
-
-ratio of wins to losses. See batting averages rationalization, 51
-
-RBA. See Result-Based Assumption (RBA)
-
-RBAF. See Results-Based Assumption Forecast (RBAF) rebounder, 220–221
-
-reentry criteria, 23–24
-
-See also contingency planning
-
-regret, 41–42, 178
-
-neutralizing, 84
-
-relative strength (RS), 120, 140–141
-
-Result-Based Assumption (RBA), 62–63
-
-Results-Based Assumption Forecast (RBAF), 84–86
-
-return on investment (ROI), 59
-
-revenge trading, 213
-
-reversal recoveries, 39–41
-
-reward/risk ratio, 56–57
-
-See also risk/reward relationship
-
-risk adding exposure without risk, 66–67
-
-and position sizing, 170–171
-
-respecting, 43
-
-vs. reward, 55–56
-
-why investors fail to limit risk, 69
-
-risk-first approach, 43
-
-avoiding rationalization, 46–47
-
-avoiding the emotional stop-loss, 45
-
-backing into risk, 49
-
-and discipline, 45
-
-knowing what you control, 50–51
-
-limiting losses, 47
-
-vs. return-first, 44–45
-
-setting the exit point, 44–45
-
-trading near the danger point, 49–50
-
-risk/reward relationship, 209
-
-See also reward/risk ratio
-
-Robbins, Anthony, 8
-
-Robbins, Jairek, conversation with Mark Minervini, 217–233
-
-RS. See relative strength (RS)
-
-rules. See trading rules
-
-Ryan, David, 32–34, 37, 122, 199
-
-safe stocks, 20
-
-saucer pattern. See dream pattern
-
-scaling up trading, 102–103
-
-sell signals, 188–190, 193–195
-
-signs of reversal and heavy volume, 191–192
-
-sell-half rule, 83–84
-
-selling at a profit, 24–25
-
-base count, 180–182
-
-climax top, 186–188
-
-emotions of, 178–179
-
-overview, 177–178
-
-P/E expansion, 183–186
-
-putting the chart into perspective, 179–180
-
-selling too soon or too late, 198–199
-
-selling into strength, 178–179, 211–212
-
-specific things to watch for, 188–190
-
-selling into weakness, 179, 193–195
-
-selling rules
-
-the back stop, 197–198
-
-the breakeven or better rule, 196–197
-
-early stage exception, 199–201
-
-the free roll, 197
-
-SEPA®. See Specific Entry Point Analysis (SEPA®) serial gapper, 122–123
-
-Seykota, Ed, 21, 169
-
-sit-out power, 111–112
-
-slot car racing, 71–72
-
-snap decisions, 107–108
-
-Southwest Airlines (LUV), 200
-
-Specific Entry Point Analysis (SEPA®), 8
-
-speculation, 60
-
-spreadsheets, 76
-
-squats, 39–41
-
-stages of a stock, 117–118
-
-staggered stops, 63–65
-
-statistics to track, 79
-
-stock charts
-
-Amazon.com (AMZN), 142, 188
-
-Amgen (AMGN), 201
-
-Apple Computer (AAPL), 151, 160
-
-Biodelivery Science Intl. (BDSI), 40
-
-Biogen (BIIB), 192
-
-Bitauto Holdings Ltd Ads (BITA), 32, 126
-
-Blockbuster (BLOAQ), 147
-
-Body Central (BODY), 209
-
-Chipotle Mexican Grill (CMG), 186
-
-Cirrus Logic (CRUS), 157
-
-Cisco Systems (CSCO), 96
-
-Coach (COH), 149
-
-Crocs (CROX), 100
-
-Deckers Outdoors (DECK), 183, 185
-
-Dick’s Sporting Goods (DKS), 164
-
-DryShips Inc. (DRYS), 195
-
-eBay (EBAY), 144
-
-Google (GOOGL), 34, 159
-
-GoPro (GPRO), 138
-
-stock charts ( continued)
-
-Green Mountain Coffee Roasters (GMCR), 192
-
-Green Plains (GPRE), 29, 66
-
-Home Depot (HD), 163
-
-Humana (HUM), 155
-
-Immunogen (IMGN), 106
-
-Isis Pharmaceuticals (ISIS), 64
-
-JetBlue Airways (JBLU), 157
-
-Lululemon Athletica (LULU), 30
-
-Lumber Liquidators (LL), 38, 95, 98, 185, 195
-
-Maxygen (MAXY), 158
-
-Medivation (MDVN), 50, 196
-
-Mercadolibre (MELI), 134
-
-Meridian Bioscience (VIVO), 130
-
-Michael Kors Hldg. (KORS), 123, 149
-
-Michaels Companies Inc. (MIK), 135
-
-Micron Technologies (MU), 41
-
-Microsoft (MSFT), 162
-
-Monster Beverage (MNST), 140, 190
-
-Netflix (NFLX), 30, 128, 145, 147
-
-OuterWall Corp. (OUTR), 37
-
-Pharmacyclics Inc. (PCYC), 166
-
-Qualcomm (QCOM), 187
-
-Southwest Airlines (LUV), 200
-
-Tesla Motors (TSLA), 190
-
-Twitter (TWTR), 160
-
-Valeant Pharmaceuticals International (VRX), 121
-
-WageWorks (WAGE), 36
-
-Wal-Mart (WMT), 150
-
-Weight Watchers (WTW), 118
-
-WR Grace & Co. (GRA), 201
-
-Yelp (YELP), 28
-
-Zillow (Z), 31
-
-stock corrections, 137
-
-stop-losses
-
-Average True Range (ATR), 58
-
-emotional stop-loss, 45
-
-initial stop-loss, 23
-
-optimal stop-loss placement, 49
-
-setting at the beginning, 44–45
-
-staggered stops, 63–65
-
-when to raise your stop, 65–66
-
-See also back stop
-
-stress management, 224
-
-Stubborn Trader indicators, 79
-
-style drift, 12–13, 227
-
-success
-
-modeling, 8–9
-
-small successes leading to big successes, 102–103
-
-superperformance, 203
-
-four keys to generating big performance, 204–210
-
-four keys to limiting drawdowns, 210–215
-
-three deadly trader traps, 214
-
-superperforming stocks
-
-the 3-C pattern, 154–155
-
-lockout rally, 153–154
-
-making new highs, 139–140
-
-market leaders bottom first, 142–151
-
-and relative strength, 140–141
-
-which leaders to buy first, 152–153
-
-supervised learning curve, 232
-
-T. See volatility contraction pattern (VCP) taking action, 14–15
-
-taking responsibility, 89–90
-
-Taking the Leap: Freeing Ourselves from Old Habits and Fears (Chödrön), 4–5
-
-tale of two wolves, 4–5
-
-Talent Code, The (Coyle), 11
-
-TBA. See Theoretical Base Assumptions (TBA) technical footprints, 126–127
-
-See also volatility contraction pattern (VCP) tennis balls, 28–30
-
-Tesla Motors (TSLA), 190
-
-Theoretical Base Assumptions (TBA), 61–62
-
-Thoreau, Henry David, 109
-
-tightness in price, 125–126
-
-timing, 204–205
-
-Trade Like a Stock Market Wizard (Minervini), 1, 177
-
-trader traps, 214
-
-traders, types of, 4–5
-
-trading directionally, 214
-
-trading plans
-
-20-day line, 35
-
-assumptions and expectations, 26–27
-
-avoiding the paralysis-regret cycle, 41–42
-
-building in failure, 57
-
-contingency planning, 22–26
-
-follow-through buying, 27
-
-have a process, 20–21
-
-and hope, 21–22
-
-key elements of, 21
-
-lower lows, 35–36
-
-multiple violations, 38–39
-
-negative developments, 34–39
-
-room to fluctuate, 60–61
-
-volume action, 36–38
-
-trading results, 73
-
-keeping a journal, 75
-
-keeping yourself honest, 73–75
-
-measuring results, 72–73
-
-monthly tracker, 78
-
-personal bell curve, 80–81
-
-spreadsheets, 76
-
-statistics to track, 79
-
-trading rules, 52–53
-
-50/80 rule, 94–96
-
-the back stop, 197–198
-
-the breakeven or better rule, 196–197
-
-the free roll, 197
-
-sell-half rule, 83–84
-
-the two-for-one rule, 172
-
-trading small before trading big, 212–214
-
-trading strategies, 12–13
-
-trading triangle, three legs of, 76–77
-
-trampoline, 220–221
-
-trapped buyers, 130–132
-
-Trend Template, 118–120
-
-turnover, 81–82
-
-and superperformance, 207–208
-
-Twitter (TWTR), 159–160
-
-Two for the Money, 5–6
-
-two-for-one rule, 172
-
-unbalance, 13–14
-
-Uncle Point, 80
-
-uptrends, 156
-
-Valeant Pharmaceuticals International (VRX), 121
-
-VCP. See volatility contraction pattern (VCP) visualization, 218
-
-volatile stocks, avoiding, 47–49
-
-volatility, science of, 57–58
-
-volatility contraction pattern (VCP), 27, 123–124, 205
-
-how the VCP footprint works, 128–130
-
-successive contractions, 125–126
-
-technical footprints, 126–127
-
-what the VCP tells you, 132
-
-volume, 28, 33
-
-volume action, 36–38
-
-WageWorks (WAGE), 36
-
-Wall, The, 80
-
-Wal-Mart (WMT), 150
-
-Weight Watchers (WTW), 118
-
-Wilder, Welles, 58
-
-Williams, Ted, 56
-
-winning, the science of, 71–73
-
-winning stocks, characteristics of, 32
-
-WR Grace & Co. (GRA), 201
-
-wrecking balls, traders as, 4–5
-
-Yelp (YELP), 27
-
-Zanger, Dan, 37
-
-Zillow (Z), 31
-
-
-
-
-
-Acknowledgments
-
-
-First and foremost, I want to acknowledge the two most important people in the world to me: my wife, Elena, and my daughter, Angelia. You inspire me each day to be the best version of myself.
-
-My thanks to Patricia Crisafulli for her valuable input and editing, and to Patricia Wallenburg for once again doing a fabulous job with the book layout.
-
-Thank you, Bob Weissman, for working with passion about trading and doing your best to ensure that our clients receive the highest level of service, each and every day.
-
-A special thanks to those who travel from all parts of the world to attend our Master Trader Workshops, to our Minervini Private Access members, and to all my friends on Twitter. I hope this content means as much to you as it has to me throughout my life and career.
-
-To all my friends and family who have supported me over the years, especially my late mother and father—Lea and Nate—without whom nothing would have been possible.
-
-Thank you all.
-
-
-
-
-
-Table of Contents
-
-Champion_ebook
-
-
-
-
-
-Document Outline
-
-
-
-Champion_ebook
-
-
-
-
-
-Table of Contents
-
-First Steps to Thinking and Trading Like a Champion
-
-Always Go in with a Plan
-
-Approach Every Trade Risk-First
-
-Never Risk More Than You Expect to Gain
-
-Know the Truth About Your Trading
-
-Compound Money, Not Mistakes
-
-How and When to Buy Stocks—Part 1
-
-How and When to Buy Stocks—Part 2
-
-Position Sizing for Optimal Results
-
-When to Sell and Nail Down Profits
-
-Eight Keys to Unlocking Superperformance
-
-The Champion Trader Mindset
-
-About the Author
-
-Index
-
-Acknowledgments
-
-Champion_ebook
-
-
-
-
-
diff --git a/Books/Finance/Thinking in Systems_ A Primer - Donella H. Meadows.txt b/Books/Finance/Thinking in Systems_ A Primer - Donella H. Meadows.txt
index 8d0d92a..0f15494 100644
--- a/Books/Finance/Thinking in Systems_ A Primer - Donella H. Meadows.txt	
+++ b/Books/Finance/Thinking in Systems_ A Primer - Donella H. Meadows.txt	
@@ -1,303 +1,3 @@
-Thinking in Systems
-
-
-
-OTHER BOOKS BY DONELLA H. MEADOWS:
-
-
-
-
-
-Harvesting One Hundredfold: Key Concepts and Case Studies in Environmental Education (1989). The Global Citizen (1991).
-
-
-
-
-
-WITH DENNIS MEADOWS:
-
-Toward Global Equilibrium (1973).
-
-
-
-
-
-WITH DENNIS MEADOWS AND JØRGEN RANDERS:
-
-Beyond the Limits (1992).
-
-Limits to Growth: The 30-Year Update (2004).
-
-
-
-
-
-WITH DENNIS MEADOWS, JØRGEN RANDERS, AND WILLIAM W. BEHRENS III:
-
-The Limits to Growth (1972).
-
-
-
-
-
-WITH DENNIS MEADOWS, ET AL.:
-
-The Dynamics of Growth in a Finite World (1974).
-
-
-
-
-
-WITH J. RICHARDSON AND G. BRUCKMANN:
-
-Groping in the Dark: The First Decade of Global Modeling (1982).
-
-
-
-
-
-WITH J. ROBINSON:
-
-The Electronic Oracle: Computer Models and Social Decisions (1985).
-
-
-
-
-
-Thinking in Systems
-
-
-
-
-
-—— A Primer ——
-
-
-
-
-
-Donella H. Meadows
-
-
-
-
-
-Edited by Diana Wright, Sustainability Institute
-
-
-
-
-
-CHELSEA GREEN PUBLISHING
-
-WHITE RIVER JUNCTION, VERMONT
-
-
-
-
-
-Copyright © 2008 by Sustainability Institute. All rights reserved.
-
-
-No part of this book may be transmitted or reproduced in any form by any means without permission in writing from the publisher.
-
-Project Manager: Emily Foote
-
-Developmental Editor: Joni Praded
-
-Copy Editor: Cannon Labrie
-
-Proofreader: Ellen Brownstein
-
-Indexer: Beth Nauman-Montana
-
-Designer: Peter Holm, Sterling Hill Productions
-
-Printed in the United States of America
-
-First printing, December, 2008
-
-10 9 8 7 6 5 4 3 2 09 10 11 12
-
-
-
-
-
-Our Commitment to Green Publishing
-
-Chelsea Green sees publishing as a tool for cultural change and ecological stewardship. We strive to align our book manufacturing practices with our editorial mission and to reduce the impact of our business enterprise in the environment. We print our books and catalogs on chlorine-free recycled paper, using soy-based inks whenever possible. This book may cost slightly more because we use recycled paper, and we hope you’ll agree that it’s worth it. Chelsea Green is a member of the Green Press Initiative (www.greenpressinitiative.org), a nonprofit coalition of publishers, manufacturers, and authors working to protect the world’s endangered forests and conserve natural resources. Thinking in Systems was printed on 55-lb. Natures Book Natural, a 30-percent postconsumer-waste, FSC-certified, recycled paper supplied by Thomson-Shore.
-
-Library of Congress Cataloging-in-Publication Data
-
-Meadows, Donella H.
-
-Thinking in systems : a primer / Donella H. Meadows ; edited by Diana Wright.
-
-p. cm.
-
-Includes bibliographical references.
-
-eBook ISBN: 978-1-6035-8148-6
-
-1. System analysis--Simulation methods 2. Decision making--Simulation methods 3. Critical thinking--Simulation methods 4. Sustainable development--Simulation methods. 5. Social sciences-Simulation methods. 6. Economic development--Environmental aspects--Simulation methods. 7. Population--Economic aspects--Simulation methods. 8. Pollution--Economic aspects--Simulation methods. 9. Environmental education--Simulation methods. I. Wright, Diana. II. Title.
-
-QA402.M425 2008
-
-003--dc22
-
-2008035211
-
-Chelsea Green Publishing Company
-
-Post Office Box 428
-
-White River Junction, VT 05001
-
-(802) 295-6300 www.chelseagreen.com
-
-
-
-
-
-Part of this work has been adapted from an article originally published under the title “Whole Earth Models and Systems” in Coevolution Quarterly (Summer 1982). An early version of Chapter 6 appeared as “Places to Intervene in a System” in Whole Earth Review (Winter 1997) and later as an expanded paper published by the Sustainability Institute. Chapter 7, “Living in a World of Systems,” was originally published as “Dancing with Systems” in Whole Earth Review (Winter 2001).
-
-
-
-
-
-FOR DANA
-
-(1941–2001)
-
-
-
-
-
-and for all those who would learn from her
-
-
-
-
-
-Contents
-
-
-A Note from the Author
-
-A Note from the Editor
-
-Introduction: The Systems Lens
-
-
-
-Part One: System Structure and Behavior
-
-ONE. The Basics
-
-TWO. A Brief Visit to the Systems Zoo
-
-Part Two: Systems and Us
-
-THREE. Why Systems Work So Well
-
-FOUR. Why Systems Surprise Us
-
-FIVE. System Traps . . . and Opportunities
-
-Part Three: Creating Change—in Systems and in Our Philosophy
-
-SIX. Leverage Points—Places to Intervene in a System
-
-SEVEN. Living in a World of Systems
-
-Appendix
-
-System Definitions: A Glossary
-
-Summary of Systems Principles
-
-Springing the System Traps
-
-Places to Intervene in a System
-
-Guidelines for Living in a World of Systems
-
-Model Equations
-
-
-
-Notes
-
-Bibliography of Systems Resources
-
-Editor’s Acknowledgments
-
-About the Author
-
-
-
-
-
-A NOTE FROM THE AUTHOR
-
-
-
-
-
-This book has been distilled out of the wisdom of thirty years of systems modeling and teaching carried out by dozens of creative people, most of them originally based at or influenced by the MIT System Dynamics group. Foremost among them is Jay Forrester, the founder of the group. My particular teachers (and students who have become my teachers) have been, in addition to Jay: Ed Roberts, Jack Pugh, Dennis Meadows, Hartmut Bossel, Barry Richmond, Peter Senge, John Sterman, and Peter Allen, but I have drawn here from the language, ideas, examples, quotes, books, and lore of a large intellectual community. I express my admiration and gratitude to all its members.
-
-I also have drawn from thinkers in a variety of disciplines, who, as far as I know, never used a computer to simulate a system, but who are natural systems thinkers. They include Gregory Bateson, Kenneth Boulding, Herman Daly, Albert Einstein, Garrett Hardin, Václav Havel, Lewis Mumford, Gunnar Myrdal, E.F. Schumacher, a number of modern corporate executives, and many anonymous sources of ancient wisdom, from Native Americans to the Sufis of the Middle East. Strange bedfellows, but systems thinking transcends disciplines and cultures and, when it is done right, it overarches history as well.
-
-Having spoken of transcendence, I need to acknowledge factionalism as well. Systems analysts use overarching concepts, but they have entirely human personalities, which means that they have formed many fractious schools of systems thought. I have used the language and symbols of system dynamics here, the school in which I was taught. And I present only the core of systems theory here, not the leading edge. I don’t deal with the most abstract theories and am interested in analysis only when I can see how it helps solve real problems. When the abstract end of systems theory does that, which I believe it will some day, another book will have to be written.
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-Therefore, you should be warned that this book, like all books, is biased and incomplete. There is much, much more to systems thinking than is presented here, for you to discover if you are interested. One of my purposes is to make you interested. Another of my purposes, the main one, is to give you a basic ability to understand and to deal with complex systems, even if your formal systems training begins and ends with this book.
-
-—DONELLA MEADOWS, 1993
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-
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-
-
-A NOTE FROM THE EDITOR
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-
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-
-
-In 1993, Donella (Dana) Meadows completed a draft of the book you now hold. The manuscript was not published at the time, but circulated informally for years. Dana died quite unexpectedly in 2001—before she completed this book. In the years since her death, it became clear that her writings have continued to be useful to a wide range of readers. Dana was a scientist and writer, and one of the best communicators in the world of systems modeling.
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-In 1972, Dana was lead author of The Limits to Growth—a best-selling and widely translated book. The cautions she and her fellow authors issued then are recognized today as the most accurate warnings of how unsustainable patterns could, if unchecked, wreak havoc across the globe. That book made headlines around the world for its observations that continual growth in population and consumption could severely damage the ecosystems and social systems that support life on earth, and that a drive for limitless economic growth could eventually disrupt many local, regional, and global systems. The findings in that book and its updates are, once again, making front-page news as we reach peak oil, face the realities of climate change, and watch a world of 6.6 billion people deal with the devastating consequences of physical growth.
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-In short, Dana helped usher in the notion that we have to make a major shift in the way we view the world and its systems in order to correct our course. Today, it is widely accepted that systems thinking is a critical tool in addressing the many environmental, political, social, and economic challenges we face around the world. Systems, big or small, can behave in similar ways, and understanding those ways is perhaps our best hope for making lasting change on many levels. Dana was writing this book to bring that concept to a wider audience, and that is why I and my colleagues at the Sustainability Institute decided it was time to publish her manuscript posthumously.
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-Will another book really help the world and help you, the reader? I think so. Perhaps you are working in a company (or own a company) and are struggling to see how your business or organization can be part of a shift toward a better world. Or maybe you’re a policy maker who is seeing others “push back” against your good ideas and good intentions. Perhaps you’re a manager who has worked hard to fix some important problems in your company or community, only to see other challenges erupt in their wake. As one who advocates for changes in how a society (or a family) functions, what it values and protects, you may see years of progress easily undone in a few swift reactions. As a citizen of an increasingly global society, perhaps you are just plain frustrated with how hard it is to make a positive and lasting difference.
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-If so, I think that this book can help. Although one can find dozens of titles on “systems modeling” and “systems thinking,” there remains a clear need for an approachable and inspiring book about systems and us—why we find them at times so baffling and how we can better learn to manage and redesign them.
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-At the time that Dana was writing Thinking in Systems, she had recently completed the twenty-year update to Limits to Growth, titled Beyond the Limits. She was a Pew Scholar in Conservation and the Environment, was serving on the Committee on Research and Exploration for the National Geographic Society, and she was teaching about systems, environment, and ethics at Dartmouth College. In all aspects of her work, she was immersed in the events of the day. She understood those events to be the outward behavior of often complex systems.
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-Although Dana’s original manuscript has been edited and restructured, many of the examples you will find in this book are from her first draft in 1993. They may seem a bit dated to you, but in editing her work I chose to keep them because their teachings are as relevant now as they were then. The early 1990s were the time of the dissolution of the Soviet Union and great shifts in other socialist countries. The North American Free Trade Agreement was newly signed. Iraq’s army invaded Kuwait and then retreated, burning oil fields on the way out. Nelson Mandela was freed from prison, and South Africa’s apartheid laws were repealed. Labor leader Lech Walesa was elected president of Poland, and poet Václav Havel was elected president of Czechoslovakia. The International Panel on Climate Change issued its first assessment report, concluding that “emissions from human activities are substantially increasing the atmospheric concentrations of greenhouse gases and that this will enhance the greenhouse effect and result in an additional warming of the Earth’s surface.” The UN held a conference in Rio de Janeiro on environment and development.
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-While traveling to meetings and conferences during this time, Dana read the International Herald Tribune and during a single week found many examples of systems in need of better management or complete redesign. She found them in the newspaper because they are all around us every day. Once you start to see the events of the day as parts of trends, and those trends as symptoms of underlying system structure, you will be able to consider new ways to manage and new ways to live in a world of complex systems. In publishing Dana’s manuscript, I hope to increase the ability of readers to understand and talk about the systems around them and to act for positive change.
-
-I hope this small approachable introduction to systems and how we think about them will be a useful tool in a world that rapidly needs to shift behaviors arising from very complex systems. This is a simple book for and about a complex world. It is a book for those who want to shape a better future.
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-
-
-—DIANA WRIGHT, 2008
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-
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-If a factory is torn down but the rationality which produced it is left standing, then that rationality will simply produce another factory. If a revolution destroys a government, but the systematic patterns of thought that produced that government are left intact, then those patterns will repeat themselves. . . . There’s so much talk about the system. And so little understanding.
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-
-
-—ROBERT PIRSIG, Zen and the Art of Motorcycle Maintenance
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-
 
 
 Introduction: The System Lens
@@ -3867,470 +3567,3 @@ completely depleted. In the middle of the resource range, regeneration rate peak
 yield per unit capital starts at 1 when the resource is fully stocked, but falls (non-linearly) as the resource stock declines. Yield per unit capital increases overall from least efficient in Figure 43, to slightly more efficient in Figure 44, to most efficient in Figure 45.
 
 
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-
-
-Notes
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-
-_____________
-
-
-Introduction
-
-1. Russell Ackoff, “The Future of Operational Research Is Past,” Journal of the Operational Research Society 30, no. 2 (February 1979): 93–104.
-
-2. Idries Shah, Tales of the Dervishes (New York: E. P. Dutton, 1970), 25.
-
-
-Chapter One
-
-1. Poul Anderson, quoted in Arthur Koestler, The Ghost in the Machine (New York: Macmillan, 1968), 59.
-
-2. Ramon Margalef, “Perspectives in Ecological Theory,” Co-Evolution Quarterly (Summer 1975), 49.
-
-3. Jay W. Forrester, Industrial Dynamics (Cambridge, MA: The MIT Press, 1961), 15.
-
-4. Honoré Balzac, quoted in George P. Richardson, Feedback Thought in Social Science and Systems Theory (Philadelphia: University of Pennsylvania Press, 1991), 54.
-
-5. Jan Tinbergen, quoted in ibid, 44.
-
-
-Chapter Two
-
-1. Albert Einstein, “On the Method of Theoretical Physics,” The Herbert Spencer Lecture, delivered at Oxford (10 June 1933); also published in Philosophy of Science 1, no. 2 (April 1934): 163–69.
-
-2. The concept of a “systems zoo” was invented by Prof. Hartmut Bossel of the University of Kassel in Germany. His three recent “System Zoo” books contain system descriptions and simulation-model documentations of more than 100 “animals,” some of which are included in modified form here. Hartmut Bossel, System Zoo Simulation Models – Vol. 1: Elementary Systems, Physics, Engineering; Vol. 2: Climate, Ecosystems, Resources; Vol. 3: Economy, Society, Development. (Norderstedt, Germany: Books on Demand, 2007).
-
-3. For a more complete model, see the chapter “Population Sector” in Dennis L. Meadows et al., Dynamics of Growth in a Finite World, (Cambridge MA: Wright-Allen Press, 1974).
-
-4. For an example, see Chapter 2 in Donella Meadows, Jørgen Randers, and Dennis Meadows, Limits to Growth: The 30-Year Update (White River Junction, VT: Chelsea Green Publishing Co., 2004).
-
-5. Jay W. Forrester, 1989. “The System Dynamics National Model: Macrobehavior from Microstructure,” in P. M. Milling and E. O. K. Zahn, eds., Computer-Based Management of Complex Systems: International System Dynamics Conference (Berlin: Springer-Verlag, 1989).
-
-
-Chapter Three
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-1. Aldo Leopold, Round River (New York: Oxford University Press, 1993).
-
-2. C. S. Holling, ed., Adaptive Environmental Assessment and Management, (Chichester UK: John Wiley & Sons, 1978), 34.
-
-3. Ludwig von Bertalanffy, Problems of Life: An Evaluation of Modern Biological Thought (New York: John Wiley & Sons Inc., 1952), 105.
-
-4. Jonathan Swift, “Poetry, a Rhapsody, 1733.” In The Poetical Works of Jonathan Swift (Boston: Little Brown & Co.,1959).
-
-5. Paraphrased from Herbert Simon, The Sciences of the Artificial (Cambridge MA: MIT Press, 1969), 90–91 and 98–99.
-
-
-Chapter Four
-
-1. Wendell Berry, Standing by Words (Washington, DC: Shoemaker & Hoard, 2005), 65.
-
-2. Kenneth Boulding, “General Systems as a Point of View,” in Mihajlo D. Mesarovic, ed., Views on General Systems Theory, proceedings of the Second Systems Symposium, Case Institute of Technology, Cleveland, April 1963 (New York: John Wiley & Sons, 1964).
-
-3. James Gleick, Chaos: Making a New Science (New York: Viking, 1987), 23–24.
-
-4. This story is compiled from the following sources: C. S. Holling, “The Curious Behavior of Complex Systems: Lessons from Ecology,” in H. A. Linstone, Future Research (Reading, MA: Addison-Wesley, 1977); B. A. Montgomery et al., The Spruce Budworm Handbook, Michigan Cooperative Forest Pest Management Program, Handbook 82-7, November, 1982; The Research News, University of Michigan, April June, 1984; Kari Lie, “The Spruce Budworm Controversy in New Brunswick and Nova Scotia,” Alternatives 10, no. 10 (Spring 1980), 5; R. F. Morris, “The Dynamics of Epidemic Spruce Budworm Populations,” Entomological Society of Canada, no. 31, (1963).
-
-5. Garrett Hardin, “The Cybernetics of Competition: A Biologist’s View of Society,” Perspectives in Biology and Medicine 7, no. 1 (1963): 58-84.
-
-6. Jay W. Forrester, Urban Dynamics (Cambridge, MA: The MIT Press, 1969), 117.
-
-7. Václav Havel, from a speech to the Institute of France, quoted in the International Herald Tribune, November 13, 1992, p. 7.
-
-8. Dennis L. Meadows, Dynamics of Commodity Production Cycles, (Cambridge MA: Wright-Allen Press, Inc., 1970).
-
-9. Adam Smith, An Inquiry into the Nature and Causes of the Wealth of Nations, Edwin Cannan, ed., (Chicago: University of Chicago Press, 1976), 477-8.
-
-10. Herman Daly, ed., Toward a Steady-State Economy (San Francisco: W. H. Freeman and Co., 1973), 17; Herbert Simon, “Theories of Bounded Rationality,” in R. Radner and C. B. McGuire, eds., Decision and Organization (Amsterdam: North-Holland Pub. Co., 1972).
-
-11. The term “satisficing” (a merging of “satisfy” and “suffice”) was first used by Herbert Simon to describe the behavior of making decisions that meet needs adequately, rather than trying to maximize outcomes in the face of imperfect information. H. Simon, Models of Man, (New York: Wiley, 1957).
-
-12. Philip G. Zimbardo, “On the Ethics of Intervention in Human Psychological Research: With Special Reference to the Stanford Prison Experiment,” Cognition 2, no. 2 (1973): 243–56)
-
-13. This story was told to me during a conference in Kollekolle, Denmark, in 1973.
-
-
-Chapter Five
-
-1. Paraphrased in an interview by Barry James, “Voltaire’s Legacy: The Cult of the Systems Man,” International Herald Tribune, December 16, 1992, p. 24.
-
-2. John H. Cushman, Jr., “From Clinton, a Flyer on Corporate Jets?” International Herald Tribune, December 15, 1992, p. 11.
-
-3. World Bank, World Development Report 1984 (New York: Oxford University Press, 1984), 157; Petre Muresan and Ioan M. Copil, “Romania,” in B. Berelson, ed., Population Policy in Developed Countries (New York: McGraw-Hill Book Company, 1974), 355-84.
-
-4. Alva Myrdal, Nation and Family (Cambridge, MA: MIT Press, 1968). Original edition published New York: Harper & Brothers, 1941.
-
-5. “Germans Lose Ground on Asylum Pact,” International Herald Tribune, December 15, 1992, p. 5.
-
-6. Garrett Hardin, “The Tragedy of the Commons,” Science 162, no. 3859 (13 December 1968): 1243–48.
-
-7. Erik Ipsen, “Britain on the Skids: A Malaise at the Top,” International Herald Tribune, December 15, 1992, p. 1.
-
-8. Clyde Haberman, “Israeli Soldier Kidnapped by Islamic Extremists,” International Herald Tribune, December 14, 1992, p. 1.
-
-9. Sylvia Nasar, “Clinton Tax Plan Meets Math,” International Herald Tribune, December 14, 1992, p. 15.
-
-10. See Jonathan Kozol, Savage Inequalities: Children in America’s Schools (New York: Crown Publishers, 1991).
-
-11. Quoted in Thomas L. Friedman, “Bill Clinton Live: Not Just a Talk Show,” International Herald Tribune, December 16, 1992, p. 6.
-
-12. Keith B. Richburg, “Addiction, Somali-Style, Worries Marines,” International Herald Tribune, December 15, 1992, p. 2.
-
-13. Calvin and Hobbes comic strip, International Herald Tribune, December 18, 1992, p. 22.
-
-14. Wouter Tims, “Food, Agriculture, and Systems Analysis,” Options, International Institute of Applied Systems Analysis Laxenburg, Austria no. 2 (1984), 16.
-
-15. “Tokyo Cuts Outlook on Growth to 1.6%,” International Herald Tribune, December 19-20, 1992, p. 11.
-
-16. Robert F. Kennedy address, University of Kansas, Lawrence, Kansas, March 18, 1968. Available from the JFK Library On-Line, http://www.jfklibrary.org/Historical+Resources/Archives/Reference+Desk/Speeches/RFK/RFKSpeech68Mar18UKansas.htm. Accessed 6/11/08.
-
-17. Wendell Berry, Home Economics (San Francisco: North Point Press, 1987), 133.
-
-
-Chapter Six
-
-1. Lawrence Malkin, “IBM Slashes Spending for Research in New Cutback,” International Herald Tribune, December 16, 1992, p. 1.
-
-2. J. W. Forrester, World Dynamics (Cambridge MA: Wright-Allen Press, 1971).
-
-3. Forrester, Urban Dynamics (Cambridge, MA: The MIT Press, 1969), 65.
-
-4. Thanks to David Holmstrom of Santiago, Chile.
-
-5. For an example, see Dennis Meadows’s model of commodity price fluctuations: Dennis L. Meadows, Dynamics of Commodity Production Cycles (Cambridge, MA: Wright-Allen Press, Inc., 1970).
-
-6. John Kenneth Galbraith, The New Industrial State (Boston: Houghton Mifflin, 1967).
-
-7. Ralph Waldo Emerson, “War,” lecture delivered in Boston, March, 1838. Reprinted in Emerson’s Complete Works, vol. XI, (Boston: Houghton, Mifflin & Co., 1887), 177.
-
-8. Thomas Kuhn, The Structure of Scientific Revolutions (Chicago: University of Chicago Press, 1962).
-
-
-Chapter Seven
-
-1. G.K. Chesterton, Orthodoxy (New York: Dodd, Mead and Co., 1927).
-
-2. For a beautiful example of how systems thinking and other human qualities can be combined in the context of corporate management, see Peter Senge’s book The Fifth Discipline: The Art and Practice of the Learning Organization (New York: Doubleday, 1990).
-
-3. Philip Abelson, “Major Changes in the Chemical Industry,” Science 255, no. 5051 (20 March 1992), 1489.
-
-4. Fred Kofman, “Double-Loop Accounting: A Language for the Learning Organization,” The Systems Thinker 3, no. 1 (February 1992).
-
-5. Wendell Berry, Standing by Words (San Francisco: North Point Press, 1983), 24, 52.
-
-6. This story was told to me by Ed Roberts of Pugh-Roberts Associates.
-
-7. Garrett Hardin, Exploring New Ethics for Survival: the Voyage of the Spaceship Beagle (New York, Penguin Books, 1976), 107.
-
-8. Donald N. Michael, “Competences and Compassion in an Age of Uncertainty,” World Future Society Bulletin (January/February 1983).
-
-9. Donald N. Michael quoted in H. A. Linstone and W. H. C. Simmonds. eds., Futures Research (Reading, MA: Addison-Wesley, 1977), 98–99.
-
-10. Aldo Leopold, A Sand County Almanac and Sketches Here and There (New York: Oxford University Press, 1968), 224–25.
-
-11. Kenneth Boulding, “The Economics of the Coming Spaceship Earth,” in H. Jarrett, ed., Environmental Quality in a Growing Economy: Essays from the Sixth Resources for the Future Forum (Baltimore, MD: Johns Hopkins University Press, 1966), 11-12.
-
-12. Joseph Wood Krutch, Human Nature and the Human Condition (New York: Random House, 1959).
-
-
-
-
-
-Bibliography of Systems Resources
-
-
-_____________
-
-In addition to the works cited in the Notes, the items listed here are jumping off points—places to start your search for more ways to see and learn about systems. The fields of systems thinking and system dynamics are now extensive, reaching into many disciplines. For more resources, see also www.ThinkingInSystems.org
-
-Systems Thinking and Modeling
-
-Books
-
-Bossel, Hartmut. Systems and Models: Complexity, Dynamics, Evolution, Sustainability. (Norderstedt, Germany: Books on Demand, 2007). A comprehensive textbook presenting the fundamental concepts and approaches for understanding and modeling the complex systems shaping the dynamics of our world, with a large bibliography on systems.
-
-Bossel, Hartmut. System Zoo Simulation Models. Vol. 1: Elementary Systems, Physics, Engineering; Vol. 2: Climate, Ecosystems, Resources; Vol. 3: Economy, Society, Development. (Norderstedt, Germany: Books on Demand, 2007). A collection of more than 100 simulation models of dynamic systems from all fields of science, with full documentation of models, results, exercises, and free simulation model download.
-
-Forrester, Jay. Principles of Systems. (Cambridge, MA: Pegasus Communications, 1990). First published in 1968, this is the original introductory text on system dynamics.
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-Laszlo, Ervin. A Systems View of the World. (Cresskill, NJ: Hampton Press, 1996).
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-Richardson, George P. Feedback Thought in Social Science and Systems Theory. (Philadelphia: University of Pennsylvania Press, 1991). The long, varied, and fascinating history of feedback concepts in social theory.
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-Sweeney, Linda B. and Dennis Meadows. The Systems Thinking Playbook. (2001). A collection of 30 short gaming exercises that illustrate lessons about systems thinking and mental models.
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-Organizations, Websites, Periodicals, and Software
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-Creative Learning Exchange—an organization devoted to developing “systems citizens” in K–12 education. Publisher of The CLE Newsletter and books for teachers and students. www.clexchange.org isee systems, inc.—Developer of STELLA and iThink software for modeling dynamic systems. www.iseesystems.com
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-Pegasus Communications—Publisher of two newsletters, The Systems Thinker and Leverage Points, as well as many books and other resources on systems thinking. www.pegasuscom.com
-
-System Dynamics Society—an international forum for researchers, educators, consultants, and practitioners dedicated to the development and use of systems thinking and system dynamics around the world. The Systems Dynamics Review is the official journal of the System Dynamics Society. www.systemdynamics.org
-
-Ventana Systems, Inc.—Developer of Vensim software for modeling dynamic systems. vensim.com
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-Systems Thinking and Business
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-Senge, Peter. The Fifth Discipline: The Art and Practice of the Learning Organization. (New York: Doubleday, 1990). Systems thinking in a business environment, and also the broader philosophical tools that arise from and complement systems thinking, such as mental-model flexibility and visioning.
-
-Sherwood, Dennis. Seeing the Forest for the Trees: A Manager’s Guide to Applying Systems Thinking. (London: Nicholas Brealey Publishing, 2002).
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-Sterman, John D. Business Dynamics: Systems Thinking and Modeling for a Complex World. (Boston: Irwin McGraw Hill, 2000).
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-Systems Thinking and Environment
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-Ford, Andrew. Modeling the Environment. (Washington, DC: Island Press, 1999.)
-
-Systems Thinking, Society, and Social Change
-
-Macy, Joanna. Mutual Causality in Buddhism and General Systems Theory. (Albany, NY: Stat University of New York Press, 1991).
-
-Meadows, Donella H. The Global Citizen. (Washington, DC: Island Press, 1991).
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-
-
-
-
-Editor’s Acknowledgments
-
-
-_____________
-
-A great many people have helped bring this book to life. In her original manuscript, Donella (Dana) Meadows extended special thanks to the Balaton Group, the Environmental Systems Analysis Group at Kassel, the Environmental Studies Program at Dartmouth, Ian and Margo Baldwin and Chelsea Green Publishing, Hartmut and Rike Bossel, High Performance Systems (now known as isee systems), and many readers and commentators. She also noted the role of her extended “farm family,” those people who, over the years, lived and worked on her organic farm in Plainfield, New Hampshire.
-
-As the editor who readied Dana’s manuscript for publication after her death, I would like to add more thanks: Ann and Hans Zulliger and the Foundation for the Third Millennium, along with the board and staff of the Sustainability Institute, have contributed support and enthusiasm to this project. Many advisors and reviewers have critiqued the text and models and helped me think through how to make this book useful to the world—Hartmut Bossel, Tom Fiddaman, Chris Soderquist, Phil Rice, Dennis Meadows, Beth Sawin, Helen Whybrow, Jim Schley, Peter Stein, Bert Cohen, Hunter Lovins, and the students at the Presidio School of Management. The entire team at Chelsea Green Publishing have crafted the complex manuscript into a clear book. I thank all of them for their work to help us be better stewards of our home planet.
-
-And finally, I thank Dana Meadows for all that I have learned from her and through editing this book.
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-
-
-
-
-About the Author
-
-
-_____________
-
-Donella Meadows (1941–2001) was a scientist trained in chemistry and biophysics (Ph.D., Harvard University). In 1970, she joined the Massachusetts Institute of Technology team lead by Dennis Meadows that produced “World3,” a global computer model that explores the dynamics of human population and economic growth on a finite planet. In 1972, she was lead author of The Limits to Growth, the book that described for the general public the insights from the World3 modeling project. Limits was translated into twenty-eight languages and sparked debate around the world about the earth’s carrying capacity and human choices. Meadows went on to write nine more books on global modeling and sustainable development and for fifteen years she wrote a weekly column, “The Global Citizen,” reflecting on the state of our society and the complex connections in the world.
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-In 1991, Meadows was recognized as a Pew Scholar in Conservation and the Environment, and in 1994 she received a MacArthur Fellowship. She founded the Sustainability Institute in 1996 to apply systems thinking and organizational learning to economic, environmental, and social challenges. From 1972 until her death in 2001, Meadows taught in the Environmental Studies Program of Dartmouth College.
-
-
-
-the politics and practice of sustainable living
-
-CHELSEA GREEN PUBLISHING
-
-
-Chelsea Green Publishing sees books as tools for effecting cultural change and seeks to empower citizens to participate in reclaiming our global commons and become its impassioned stewards. If you enjoyed Thinking in Systems, please consider these other great books addressing the complexities of the global society and planet that we all share.
-
-
-
-
-Limits to Growth
-
-The 30-Year Update
-
-DONELLA MEADOWS, DENNIS MEADOWS,
-
-and JORGEN RANDERS
-
-ISBN 978-1-931498-58-6
-
-Paper · $22.50
-
-
-
-
-Climate Solutions
-
-A Citizen's Guide
-
-PETER BARNES
-
-Foreword by BILL MCKIBBEN
-
-ISBN 978-1-60358-005-2
-
-Paper · $9.95
-
-
-
-
-Exposed
-
-The Toxic Chemistry of Everyday Products
-
-and What's at Stake for American Power
-
-MARK SCHAPIRO
-
-ISBN 978-1-60358-058-8
-
-Paper · $16.95
-
-
-
-
-Inquiries into the Nature of Slow Money
-
-Investing as if Food, Farms,
-
-and Fertility Mattered
-
-WOODY TASCH
-
-Foreword by CARLO PETRINI
-
-ISBN 978-1-60358-006-9
-
-Paper · $21.95
-
-
-
-
-For more information or to request a catalog,
-
-visit www.chelseagreen.com or
-
-call toll-free (800) 639-4099.
-
-
-
-the politics and practice of sustainable living
-
-CHELSEA GREEN PUBLISHING
-
-
-Chelsea Green Publishing sees books as tools for effecting cultural change and seeks to empower citizens to participate in reclaiming our global commons and become its impassioned stewards. If you enjoyed Thinking in Systems, please consider these other great books addressing the complexities of the global society and planet that we all share.
-
-
-
-
-Dazzle Gradually
-
-Reflections on the Nature of Nature
-
-LYNN MARGULIS and DORION SAGAN
-
-Foreword by ROALD HOFFMANN
-
-ISBN 978-1-933392-31-8
-
-Paper · $25.00
-
-
-
-
-Animate Earth
-
-Science, Intuition, and Gaia
-
-STEPHAN HARDING
-
-ISBN 978-1-933392-29-5
-
-Paper · $25.00
-
-
-
-
-Mind, Life, and Universe
-
-Conversations with Great Scientists of Our Time
-
-LYNN MARGULIS and EDUARDO PUNSEt, eds.
-
-Foreword by DAVID SUZUKI
-
-ISBN 978-1-933392-43-1
-
-Paper · $21.95
-
-
-
-
-Notes from the Holocene
-
-A Brief History of the Future
-
-DORION SAGAN
-
-ISBN 978-1-933392-32-5
-
-Paper · $14.95
-
-
-
-
-For more information or to request a catalog,
-
-visit www.chelseagreen.com or
-
-call toll-free (800) 639-4099.
-
-
-
-Table of Contents
-
-Title Page
-
-Copyright Page
-
-Dedication
-
-Contents
-
-A Note from the Author
-
-A Note from the Editor
-
-Introduction: The Systems Lens
-
-Part One: System Structure and Behavior
-
-One. The Basics
-
-Two. A Brief Visit to the Systems Zoo
-
-Part Two: Systems and Us
-
-Three. Why Systems Work So Well
-
-Four. Why Systems Surprise Us
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-Five. System Traps . . . and Opportunities
-
-Part Three: Creating Change—in Systems and in Our Philosophy
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-Six. Leverage Points—Places to Intervene in a System
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-Seven. Living in a World of Systems
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-Appendix
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-System Definitions: A Glossary
-
-Summary of Systems Principles
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-Springing the System Traps
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-Places to Intervene in a System
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-Guidelines for Living in a World of Systems
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-Model Equations
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-Notes
-
-Bibliography of Systems Resources
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-Editor’s Acknowledgments
-
-About the Author
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-
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-
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diff --git a/Books/Finance/Trade Like a Stock Market Wizar - Mark Minervini.txt b/Books/Finance/Trade Like a Stock Market Wizar - Mark Minervini.txt
index 7c66068..ce2b5cc 100644
--- a/Books/Finance/Trade Like a Stock Market Wizar - Mark Minervini.txt	
+++ b/Books/Finance/Trade Like a Stock Market Wizar - Mark Minervini.txt	
@@ -1,91 +1,3 @@
-	TRADE LIKE A
-	STOCK MARKET
-	WIZARD
-	 This page intentionally left blank
-	TRADE LIKE A
-	STOCK MARKET
-	WIZARD
-	HOW TO ACHIEVE
-	SUPERPERFORMANCE
-	IN STOCKS IN
-	ANY MARKET
-	MARK MINERVINI
-	New York Chicago San Francisco
-	Lisbon London Madrid Mexico City Milan
-	New Delhi San Juan Seoul Singapore
-	Sydney Toronto
-	Copyright © 2013 by Mark Minervini. All rights reserved. Except as permitted under the United States Copyright Act of 1976, no part of this publication may be reproduced or distributed in any form or by any means, or stored in a database or retrieval system, without the prior written permission of the publisher.
-	ISBN: 978-0-07-180723-4
-	MHID: 0-07-180723-3
-	The material in this eBook also appears in the print version of this title: ISBN: 978-0-07-180722-7, MHID: 0-07-180722-5.
-	All trademarks are trademarks of their respective owners. Rather than put a trademark symbol after every occurrence of a trademarked name, we use names in an editorial fashion only, and to the benefi t of the trademark owner, with no intention of infringement of the trademark. Where such designations appear in this book, they have been printed with initial caps.
-	McGraw-Hill Education eBooks are available at special quantity discounts to use as premiums and sales promotions, or for use in corporate training programs. To contact a representative please e-mail us at bulksales@mcgraw-hill.com.
-	The text contains the following, which are trademarks, service marks, or registered trademarks of Mark Minervini, Minervini Private Access, LLC, or their affiliated entities in United States and/or other countries: Specific Entry Point Analysis®, SEPA®, and Leadership Profile®.
-	TERMS OF USE
-	This is a copyrighted work and McGraw-Hill Education, LLC. and its licensors reserve all rights in and to the work. Use of this work is subject to these terms. Except as permitted under the Copyright Act of 1976 and the right to store and retrieve one copy of the work, you may not decompile, disassemble, reverse engineer, reproduce, modify, create derivative works based upon, transmit, distribute, disseminate, sell, publish or sublicense the work or any part of it without McGraw-Hill Education’s prior consent. You may use the work for your own noncommercial and personal use; any other use of the work is strictly prohibited. Your right to use the work may be terminated if you fail to comply with these terms.
-	THE WORK IS PROVIDED “AS IS.” McGRAW-HILL EDUCATION AND ITS LICENSORS
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-	OR COMPLETENESS OF OR RESULTS TO BE OBTAINED FROM USING THE WORK, INCLUDING ANY INFORMATION THAT CAN BE ACCESSED THROUGH THE WORK
-	VIA HYPERLINK OR OTHERWISE, AND EXPRESSLY DISCLAIM ANY WARRANTY, EXPRESS OR IMPLIED, INCLUDING BUT NOT LIMITED TO IMPLIED WARRANTIES
-	OF MERCHANTABILITY OR FITNESS FOR A PARTICULAR PURPOSE. McGraw-Hill Education and its licensors do not warrant or guarantee that the functions contained in the work will meet your requirements or that its operation will be uninterrupted or error free. Neither McGraw-Hill Education nor its licensors shall be liable to you or anyone else for any inaccuracy, error or omission, regardless of cause, in the work or for any damages resulting therefrom. McGraw-Hill Education has no responsibility for the content of any information accessed through the work. Under no circumstances shall McGraw-Hill Education and/or its licensors be liable for any indirect, incidental, special, punitive, consequential or similar damages that result from the use of or inability to use the work, even if any of them has been advised of the possibility of such damages. This limitation of liability shall apply to any claim or cause whatsoever whether such claim or cause arises in contract, tort or otherwise.
-	This book is dedicated to my mother, Lea, who sacrificed so much of her own life so that my sister and I could have a better one. To my father, Nate, who encouraged me to take a chance and follow my dreams; may they both rest in peace. And, to my wife, Elena, and daughter, Angelia; my beacons of light and promise for the future.
-	 This page intentionally left blank
-	Contents
-	Foreword
-	ix
-	C H A P T E R 1
-	An Introduction Worth Reading
-	1
-	C H A P T E R 2
-	What You Need to Know First
-	11
-	C H A P T E R 3
-	Specific Entry Point Analysis:
-	The SEPA Strateg y
-	27
-	C H A P T E R 4
-	Value Comes at a Price
-	41
-	C H A P T E R 5
-	Trading w ith the Trend
-	63
-	C H A P T E R 6
-	Categories, Industry Groups,
-	and
-	Catalysts
-	95
-	C H A P T E R 7
-	Fundamentals to Fo cus On
-	117
-	C H A P T E R 8
-	Assessing Earnings Qualit y
-	141
-	C H A P T E R 9
-	Follow the Leaders
-	161
-	C H A P T E R 1 0
-	A Picture Is Worth
-	a Million Dollars
-	189
-	vii
-	viii
-	C O N T E N T S
-	C H A P T E R 1 1
-	Don’t Just Buy What You Know
-	259
-	C H A P T E R 1 2 Risk
-	Management
-	Part 1: The Nature of Risk
-	269
-	C H A P T E R 1 3 Risk
-	Management
-	Part 2: How to Deal w ith
-	and Control Risk
-	291
-	Acknowled gments
-	317
-	Index
-	319
 	Foreword
 	In my 40 years of investing I have read numerous investment
 	books, and you would think that I would have a large library filled with them. The truth is that my collection is quite small, because so few investment books are worth keeping. To the handful that are worth reading, one I am adding to my library is Trade Like a Stock Market Wizard by Mark Minervini. Mark’s book has to be on every investor’s bookshelf. It is about the most comprehensive work I have ever read on investing in growth stocks and includes vital details not found in other popular books on that subject.
diff --git a/Books/Finance/Trend Following - Michael W. Covel.txt b/Books/Finance/Trend Following - Michael W. Covel.txt
index 575dcee..70e88ef 100644
--- a/Books/Finance/Trend Following - Michael W. Covel.txt	
+++ b/Books/Finance/Trend Following - Michael W. Covel.txt	
@@ -1,1152 +1,3 @@
-Praise for Trend Following
-
-“The way I see it, you have two choices—you can do what I did and work for 30‐plus years, cobbling together scraps of information, seeking to create a money‐making strategy, or you can spend a few days reading Covel’s Trend Following and skip that three‐decade learning curve.”
-
-—Larry Hite, profiled in Market Wizards
-
-“Michael Covel’s Trend Following: Essential.”
-
-—Ed Seykota, profiled in Market Wizards
-
-“Trend Following by Michael Covel? I’m long this book.”
-
-—Bob Spear, Mechanica“
-
-[Trend Following] did a superb job of covering the philosophy and thinking behind trend following (basically, why it works). You might call it the Market Wizards of Trend Following.”
-
-—Van K. Tharp, PhD, profiled in Market Wizards
-
-“[Trend Following] documents a great deal of what has made trend following managers a successful part of the money management landscape (how they manage risk and investment psychology). It serves as a strong educational justification on why investors should consider using trend following managers as a part of an overall portfolio strategy.”
-
-—Tom Basso, profiled in The New Market Wizards
-
-“I am very pleased to see Michael Covel’s updated version of Trend Following; one of my favorite trading books out of the hundreds that I have read. He has doubled the size of this edition and expounded on the process used by legendary trend following traders. The traders in this book made millions by getting on the right side of trends and managing risk in diversified markets. This book should be studied by any serious trader or investor.”
-
-—Steve Burns, NewTraderU.com
-
-“Trend Following: Definitely required reading for the aspiring trader.”
-
-—David S. Druz, Tactical Investment Management
-
-“A mandatory reference for anyone serious about alternative investments.”
-
-—Jon Sundt, Altergris
-
-“Michael Covel does an excellent job of educating his readers about the little‐known opportunities available to them through one of the proven best hedge fund strategies. This book is like gold to any smart investor.”
-
-—Christian Baha, Superfund
-
-“Covel has created a very rare thing—a well‐documented and thoroughly researched book on trend following that is also well written and easy to read. This is one book that traders at all levels will find of real value.”
-
-—John Mauldin, Mauldin Economics
-
-“I think that Michael’s Trend Following is an outstanding read from which all investors can learn to trade markets better by limiting their risks and maximizing their profits through a more disciplined approach to investments.”
-
-—Marc Faber
-
-Managing Director, Marc Faber Limited
-
-Editor, “Gloom, Boom & Doom Report”
-
-
-
-
-
-Wiley Trading Series
-
-Founded in 1807, John Wiley & Sons is the oldest independent publishing company in the United States. With offices in North America, Europe, Australia, and Asia, Wiley is globally committed to developing and marketing print and electronic products and services for our customers’ professional and personal knowledge and understanding.
-
-The Wiley Trading series features books by traders who have survived the market’s ever changing temperament and have prospered—some by reinventing systems, others by getting back to basics. Whether a novice trader, professional or somewhere in‐between, these books will provide the advice and strategies needed to prosper today and well into the future.
-
-For more on this series, visit our website at www.WileyTrading.com.
-
-
-
-
-
-Trend Following
-
-Fifth Edition
-
-
-
-
-
-How to Make a Fortune in Bull, Bear, and Black Swan Markets
-
-
-
-
-
-Michael W. Covel
-
-
-
-
-
-Cover design: Wiley
-
-Copyright © 2017 by Michael W. Covel. All rights reserved.
-
-Published by John Wiley & Sons, Inc., Hoboken, New Jersey.
-
-The fourth edition of Trend Following was published by FT Press in 2009.
-
-Published simultaneously in Canada.
-
-No part of this publication may be reproduced, stored in a retrieval system, or transmitted in any form or by any means, electronic, mechanical, photocopying, recording, scanning, or otherwise, except as permitted under Section 107 or 108 of the 1976 United States Copyright Act, without either the prior written permission of the Publisher, or authorization through payment of the appropriate per‐copy fee to the Copyright Clearance Center, Inc., 222 Rosewood Drive, Danvers, MA 01923, (978) 750‐8400, fax (978) 646‐8600, or on the Web at www.copyright.com. Requests to the Publisher for permission should be addressed to the Permissions Department, John Wiley & Sons, Inc., 111 River Street, Hoboken, NJ 07030, (201) 748‐6011, fax (201) 748‐6008, or online at http://www.wiley.com/go/permissions.
-
-Limit of Liability/Disclaimer of Warranty: While the publisher and author have used their best efforts in preparing this book, they make no representations or warranties with respect to the accuracy or completeness of the contents of this book and specifically disclaim any implied warranties of merchantability or fitness for a particular purpose. No warranty may be created or extended by sales representatives or written sales materials. The advice and strategies contained herein may not be suitable for your situation. You should consult with a professional where appropriate. Neither the publisher nor author shall be liable for any loss of profit or any other commercial damages, including but not limited to special, incidental, consequential, or other damages.
-
-For general information on our other products and services or for technical support, please contact our Customer Care Department within the United States at (800) 762‐2974, outside the United States at (317) 572‐3993 or fax (317) 572‐4002.
-
-Wiley publishes in a variety of print and electronic formats and by print‐on‐demand. Some material included with standard print versions of this book may not be included in e‐books or in print‐on‐demand. If this book refers to media such as a CD or DVD that is not included in the version you purchased, you may download this material at http://booksupport.wiley.com. For more information about Wiley products, visit www.wiley.com.
-
-Library of Congress Cataloging‐in‐Publication Data:
-
-Names: Covel, Michael W., author.
-
-Title: Trend following : how to make a fortune in bull, bear and black swan markets / Michael W. Covel.
-
-Description: Fifth edition. | Hoboken : Wiley, 2017. | Series: Wiley trading | Revised edition of the author’s Trend following. | Includes bibliographical references and index.
-
-Identifiers: LCCN 2016056666 (print) | LCCN 2016057575 (ebook) | ISBN 9781119371878 (hardback) | ISBN 9781119371915 (ePDF) | ISBN 9781119371908 (ePub) |
-
-Subjects: LCSH: Investments. | Stocks. | BISAC: BUSINESS & ECONOMICS / Commodities.
-
-Classification: LCC HG4521 .C82 2017 (print) | LCC HG4521 (ebook) | DDC 332.6—dc23
-
-LC record available at https://lccn.loc.gov/2016056666
-
-
-
-
-
-“Get on the motorbike. Relax.” Cảm ơn Anh.
-
-
-
-
-
-He was impreġnably armored by his ġood intentions and his iġnorance.
-
-—Graham Greene, The Quiet American
-
-
-
-
-
-Yesterday don’t matter if it’s ġone.
-
-—The Rollinġ Stones, “Ruby Tuesday”
-
-
-
-
-CONTENTS
-
-Foreword
-
-Preface
-
-Section I Trend Following Principles 1 Trend Following Speculation
-
-Winning versus Losing
-
-Investor versus Trader
-
-Fundamental versus Technical
-
-Discretionary versus Systematic
-
-Hiding in Plain Sight
-
-Change Is Life
-
-Follow the Trend to the End When It Bends
-
-Surf the Waves
-
-Summary Food for Thought
-
-
-
-
-
-2 Great Trend Followers David Harding
-
-Summary Food for Thought
-
-Bill Dunn
-
-Summary Food for Thought
-
-John W. Henry
-
-Summary Food for Thought
-
-Ed Seykota
-
-Summary Food for Thought
-
-Keith Campbell
-
-Summary Food for Thought
-
-Jerry Parker
-
-Salem Abraham
-
-Summary Food for Thought
-
-Richard Dennis
-
-Summary Food for Thought
-
-Richard Donchian
-
-Summary Food for Thought
-
-Jesse Livermore and Dickson Watts
-
-Summary Food for Thought
-
-Note
-
-
-
-
-
-3 Performance Proof Absolute Returns
-
-Volatility versus Risk
-
-Drawdowns
-
-Correlation
-
-Zero Sum
-
-George Soros
-
-Berkshire Hathaway
-
-Summary Food for Thought
-
-
-
-
-
-4 Big Events, Crashes, and Panics Event 1: Great Recession
-
-Event 2: Dot-com Bubble
-
-Event 3: Long-Term Capital Management
-
-Event 4: Asian Contagion
-
-Event 5: Barings Bank
-
-Event 6: Metallgesellschaft
-
-Event 7: Black Monday
-
-
-
-
-
-5 Thinking Outside the Box Baseball
-
-Billy Beane
-
-Bill James
-
-Stats Take Over
-
-Summary Food for Thought
-
-Note
-
-
-
-
-
-6 Human Behavior Prospect Theory
-
-Emotional Intelligence
-
-Neuro-Linguistic Programming
-
-Trading Tribe
-
-Curiosity, Not PhDs
-
-Commitment
-
-Summary Food for Thought
-
-
-
-
-
-7 Decision Making Occam’s Razor
-
-Fast and Frugal Decision Making
-
-Innovator’s Dilemma
-
-Process versus Outcome versus Gut
-
-Summary Food for Thought
-
-
-
-
-
-8 The Scientific Method Critical Thinking
-
-Linear versus Nonlinear
-
-Compounding
-
-Summary Food for Thought
-
-
-
-
-
-9 Holy Grails Buy and Hope
-
-Warren Buffett
-
-Losers Average Losers
-
-Avoiding Stupidity
-
-Summary Food for Thought
-
-
-
-
-
-10 Trading Systems Risk, Reward, and Uncertainty
-
-Five Questions
-
-Your Trading System
-
-Frequently Asked Questions
-
-Summary Food for Thought
-
-
-
-
-
-11 The Game Acceptance
-
-Don’t Blame Me
-
-Decrease Leverage, Decrease Return
-
-Fortune Favors the Bold
-
-
-
-
-
-Section II Trend Following Interviews 12 Ed Seykota
-
-13 Martin Lueck
-
-14 Jean-Philippe Bouchaud
-
-15 Ewan Kirk
-
-16 Alex Greyserman
-
-17 Campbell Harvey
-
-18 Lasse Heje Pedersen
-
-
-
-
-
-Section III Trend Following Research 19 A Multicentennial View of Trend Following The Tale of Trend Following: A Historical Study
-
-Return Characteristics over the Centuries
-
-Risk Characteristics over the Centuries
-
-Portfolio Benefits over the Centuries
-
-Summary
-
-Appendix: Included Markets and Relevant Assumptions
-
-
-
-
-
-20 Two Centuries of Trend Following Introduction
-
-Trend Following on Futures since 1960
-
-Extending the Time Series: A Case-by-Case Approach
-
-Trend over Two Centuries
-
-Conclusions
-
-Notes
-
-
-
-
-
-21 Trend Following Overview
-
-Introduction to Different Trend Following Models
-
-Diversification between Different Trend Following Models
-
-Aspect’s Approach to Trend Following
-
-Aspect’s Model Compared to Other Trend Following Models
-
-Conclusion
-
-Chart Disclaimer
-
-Note
-
-
-
-
-
-22 Evaluating Trading Strategies Testing in Other Fields of Science
-
-Revaluating the Candidate Strategy
-
-Two Views of Multiple Testing
-
-False Discoveries and Missed Discoveries
-
-Haircutting Sharpe Ratios
-
-An Example with Standard and Poor’s Capital IQ
-
-In Sample and Out of Sample
-
-Trading Strategies and Financial Products
-
-Limitations and Conclusions
-
-Note
-
-
-
-
-
-23 Black Box Trend Following—Lifting the Veil Synopsis
-
-The Strategies
-
-Performance Results and Graphs
-
-Sector Performance
-
-Performance of Long versus Short Trades
-
-Stability of Parameters
-
-Are CTAs a Diversifier or a Hedge to the SP500?
-
-Summary
-
-Note
-
-
-
-
-
-24 Risk Management Risk
-
-Risk Management
-
-Optimal Betting
-
-Hunches and Systems
-
-Simulations
-
-Pyramiding and Martingale
-
-Optimizing—Using Simulation
-
-Optimizing—Using Calculus
-
-Optimizing—Using the Kelly Formula
-
-Some Graphic Relationships Between Luck, Payoff, and Optimal Bet Fraction
-
-Nonbalanced Distributions and High Payoffs
-
-Almost-Certain-Death Strategies
-
-Diversification
-
-The Uncle Point
-
-Measuring Portfolio Volatility: Sharpe, VaR, Lake Ratio, and Stress Testing
-
-Stress Testing
-
-Portfolio Selection
-
-Position Sizing
-
-Psychological Considerations
-
-Risk Management—Summary
-
-
-
-
-
-25 How to GRAB a Bargain Trading Futures . . . Maybe Introduction
-
-How to GRAB a Bargain Trading Futures
-
-Following Trends Is Hard Work
-
-Figuring Out How the Pros Do It
-
-A Computer Model of the Pros
-
-A Terrible Discovery
-
-Solving the Mystery—Why Does the GRAB System Lose?
-
-Often It Is Out of Sync with the Market
-
-Worse Still, It Misses the Best Moves!
-
-Maybe Being Profitable Means Being Uncomfortable?
-
-GRAB Trading System Details
-
-Buys on Break of Support, Sells on Break of Resistance
-
-Testing Reveals Some Behavior I Do Not Expect
-
-Difference between Parameter Values Defines Character of GRAB System
-
-GRAB Trading System Code
-
-Indicator Setup
-
-Position Entry
-
-Position Exit
-
-Position Sizing
-
-Note
-
-
-
-
-
-26 Why Tactical Macro Investing Still Makes Sense Introduction
-
-Managed Futures
-
-Defining Managed Futures and CTAs
-
-Where Institutional Investors Position Managed Futures and CTAs
-
-Skewness and Kurtosis
-
-Data
-
-Basic Statistics
-
-Stocks, Bonds, Plus Hedge Funds or Managed Futures
-
-Hedge Funds Plus Managed Futures
-
-Stocks, Bonds, Hedge Funds, and Managed Futures
-
-Conclusion
-
-Appendix A
-
-Appendix B
-
-Appendix C
-
-Review of Skewness and Kurtosis
-
-Note
-
-
-
-
-
-27 Carry and Trend in Lots of Places Carry and Trend: Definitions, Data, and Empirical Study
-
-Carry and Trend in Interest Rate Futures
-
-Trend and Carry across Asset Classes
-
-Carry and Trend across Rate Regimes
-
-Conclusions
-
-Note
-
-
-
-
-
-28 The Great Hypocrisy
-
-
-
-
-
-Epilogue
-
-Afterword
-
-Trend Following Podcast Episodes
-
-Endnotes Preface
-
-Chapter 1
-
-Chapter 2
-
-Chapter 3
-
-Chapter 4
-
-Chapter 5
-
-Chapter 6
-
-Chapter 7
-
-Chapter 8
-
-Chapter 9
-
-Chapter 10
-
-Chapter 11
-
-Section II: Trend Following Interviews
-
-Chapter 12
-
-Chapter 13
-
-Chapter 14
-
-Chapter 15
-
-Chapter 16
-
-Chapter 17
-
-Chapter 18
-
-Section III: Trend Following Research
-
-Chapter 19
-
-Chapter 20
-
-Chapter 21
-
-Chapter 22
-
-Chapter 24
-
-Chapter 26
-
-Chapter 27
-
-Chapter 28
-
-Epilogue
-
-About the Author
-
-
-
-
-
-Bibliography
-
-Acknowledgments
-
-About the Author
-
-Index
-
-EULA
-
-
-
-List of Tables
-
-
-
-Chapter 2 Table 2.1
-
-Table 2.2
-
-Table 2.3
-
-Table 2.4
-
-Table 2.5
-
-
-
-
-
-Chapter 3 Table 3.1(a)
-
-Table 3.1(b)
-
-Table 3.2
-
-Table 3.3(a)
-
-Table 3.3(b)
-
-Table 3.4
-
-Table 3.5
-
-Table 3.6
-
-
-
-
-
-Chapter 4 Table 4.1
-
-Table 4.2
-
-Table 4.3
-
-Table 4.4
-
-Table 4.5
-
-Table 4.6
-
-Table 4.7
-
-Table 4.8
-
-Table 4.9
-
-Table 4.10
-
-Table 4.11
-
-
-
-
-
-Chapter 5 Table 5.1
-
-
-
-
-
-Chapter 8 Table 8.1
-
-
-
-
-
-Chapter 9 Table 9.1
-
-
-
-
-
-Chapter 10 Table 10.1
-
-
-
-
-
-Chapter 19 Table 19.1
-
-Table 19.2
-
-Table 19.3
-
-Table 19.4
-
-
-
-
-
-Chapter 20 Table 20.1
-
-Table 20.2
-
-Table 20.3
-
-Table 20.4
-
-Table 20.5
-
-Table 20.6
-
-Table 20.7
-
-Table 20.8
-
-Table 20.9
-
-
-
-
-
-Chapter 26 Table 26.1
-
-Table 26.2
-
-Table 26.3
-
-Table 26.4
-
-Table A-1
-
-Table A-2
-
-Table A-3
-
-Table B-1
-
-Table B-2
-
-Table B-3
-
-
-
-
-
-Chapter 27 Table 27.1
-
-Table 27.2
-
-Table 27.3
-
-Table 27.4
-
-Table 27.5
-
-
-
-
-
-List of Illustrations
-
-
-
-Chapter 2 Figure 2.1: Dunn Capital Management: Composite Performance 1974–2016
-
-Figure 2.2: Dunn Capital’s Japanese Yen Trade
-
-Figure 2.3: Dunn Capital’s British Pound Trade
-
-Figure 2.4: Henry South African Rand Trade
-
-Figure 2.5: Henry Japanese Yen Trade
-
-Figure 2.6: Hypothetical $1,000 Growth Chart for Campbell & Company
-
-
-
-
-
-Chapter 3 Figure 3.1: Drawdown Chart
-
-
-
-
-
-Chapter 4 Figure 4.1: U.S. Dollar Short Trade
-
-Figure 4.2: : Long Gold Trade
-
-Figure 4.3: :Long Five-Year Notes Trade
-
-Figure 4.4: Crude Oil Short Trade
-
-Figure 4.5: Nikkei 225 Short Trade
-
-Figure 4.6: British Pound Short Trade
-
-Figure 4.7: Long December 2008 Euribor Trade
-
-Figure 4.8: :Long December 2008 EuroSwiss Trade
-
-Figure 4.9: Short December 2008 Lean Hogs Trade
-
-Figure 4.10: Short January 2009 Lumber Trade
-
-Figure 4.11: Short January 2009 Robusta Coffee Trade
-
-Figure 4.12: Long December 2008 U.S. Dollar Trade
-
-Figure 4.13: Abraham Trading Compared to the S&P
-
-Figure 4.14: Trend Followers and the S&P Chart, January 2002–December 2002
-
-
-Figure 4.15: Trend Followers and the Dollar Chart, January 2002–December 2002
-
-
-Figure 4.16: Trend Followers and the Yen Chart, January 2002–December 2002
-
-
-Figure 4.17: Trend Followers and the Euro Chart, January 2002–December 2002
-
-Figure 4.18: :Trend Followers and the T-Bond Chart, January 2002–December 2002
-
-Figure 4.19: Trend Followers and the FTSE Chart, January 2002–December 2002
-
-Figure 4.20: :Trend Followers and the Euro-Bund, January 2002–December 2002
-
-Figure 4.21: Trend Followers and the DAX, January 2002–December 2002
-
-Figure 4.22: Enron Stock Chart
-
-Figure 4.23: Natural Gas Stock Chart
-
-Figure 4.24: Trend Followers and 10-Year T-Note, May 1998–December 1998
-
-Figure 4.25: Trend Followers and U.S. T-Bond, May 1998–December 1998
-
-Figure 4.26: Trend Followers and German Bund, May 1998–December 1998
-
-Figure 4.27: Trend Followers and S&P, May 1998–December 1998
-
-Figure 4.28: Trend Followers and Swiss Franc, May 1998–December 1998
-
-Figure 4.29: Trend Followers and Eurodollar, May 1998–December 1998
-
-Figure 4.30: Trend Followers and Yen, May 1998–December 1998
-
-Figure 4.31: Trend Followers and Dollar Index, May 1998–December 1998
-
-Figure 4.32: Nikkei 225 September 1994–June 1995
-
-Figure 4.33: Crude Oil Futures, February 1993–February 1994
-
-
-
-
-
-Chapter 7 Figure 7.1: Process versus Outcome25
-
-
-
-
-
-Chapter 9 Figure 9.1: Weekly Chart Nikkei 225, 1985–2003
-
-
-
-
-
-Chapter 10 Figure 10.1: Trend Following Entry/Exit Example: The Middle Meat
-
-
-
-
-
-Chapter 19 Figure 19.1 A standard price index for tulip bulb prices
-
-Figure 19.2 A historical plot of the S&P 500 Index and S&P 500 Total Return Index from 1800 to 2013 in log scale
-
-Figure 19.3 The number of included markets in the representative trend following program from 1300 to 2013
-
-Figure 19.4 Cumulative (log) performance of the representative trend following portfolio from 1300 to 2013
-
-Figure 19.5 The GFD Long-Term Government Bond Yield Index from 1300 to 2013
-
-
-Figure 19.6 A composite annual inflation rate for the United States and the United Kingdom from 1720 to 2013
-
-Figure 19.7 The Dow Jones Industrial index during the 1929 Wall Street Crash (Black Monday)
-
-Figure 19.8 Cumulative performance for the representative trend following system pre and post the 1929 Wall Street Crash (Black Monday). The data period is October 1928 to October 1930.
-
-Figure 19.9 Average monthly returns for the representative trend following system during down periods in equity and bond portfolios
-
-Figure 19.10 Average monthly returns for trend following when the equity index is down. Conditional performance is plotted for both with and without a long bias to the equity sector.
-
-Figure 19.11 The “CTA Smile”: Quintile analysis of trend following for 1913–1962 and 1963–2013. Returns are sorted by quintiles of equity performance from 1 (worst) to 5 (best).
-
-Figure 19.12 The “CTA Smile”: Quintile analysis of trend following for 1913–1937, 1938–1962, 1963–1987, and 1988–2013. Returns are sorted by quintiles of equity performance from 1 (worst) to 5 (best).
-
-Figure 19.13 The maximum and average of the largest five relative drawdowns as a percentage for trend following relative to the buy-and-hold portfolio. The maximum drawdown of trend following is 75 percent of the magnitude of the maximum drawdown for the buy-and-hold portfolio.
-
-Figure 19.14 The relative size of the longest duration and average duration of the longest five drawdowns for trend following relative to the buy-and-hold portfolio. The longest drawdown duration is less than 10 percent of the length of the longest drawdown length for the buy-and-hold drawdown.
-
-Figure 19.15 Sharpe ratios for individual asset classes including equity and combinations of the three asset classes from 1695 to 2013
-
-
-
-
-
-Chapter 20 Figure 20.1 Fictitious P&L, as Described in Equation 2.2, of a Five-Month Trend-Following Strategy on a Diversified Pool of Futures
-
-Figure 20.2 Global Debt of the U.S. Government (a) in Billions of U.S. Dollars and (b) as a Fraction of GDP
-
-Figure 20.3 Trend on Spot and on Futures Prices
-
-Figure 20.4 Aggregate Performance of the Trend on All Sectors
-
-Figure 20.5 Fit of the Scatter Plot of Δ(t) = p(t + 1) – p(t) as a Function of sn(t), for n = 5 Months, and for Futures Data Only
-
-Figure 20.6 Recent Performance of the Trend
-
-Figure 20.7 Ten-Year Cumulated Performance of the Trend (Arbitrary Units)
-
-Figure 20.8 Performance of a Three-Day Trend on Futures Contracts since 1970
-
-
-
-
-
-Chapter 21 Figure 21.1 Simulated Performance of Trend Following Models: January 1999 to June 2016
-
-Figure 21.2 Simulated Risk-Adjusted Performance of Trend Following Models: January 1999
-
-Figure 21.3 Simulated Correlations between Trend Following Models: Jan 1999 to Jun 2016
-
-Figure 21.4 Simulated Performance of Trend Following Models and Average across all 13: Jan 1999 to Jun 2016
-
-Figure 21.5 Simulated Average Information Ratios from Combining Different Trend Following Models: January 1999 to June 2016
-
-Figure 21.6 Aspect’s Trend Following Model Simulated Performance Improvements: January 1999 to June 2016
-
-Figure 21.7 Simulated Performance of Trend Following Models versus Aspect’s Trend Following Model: January 1999 to June 2016
-
-Figure 21.8 :Simulated Performance of Trend Following Models versus Aspect’s Trend Following Model: January 1999 to June 2016
-
-Figure 21.9 Simulated Impact on Aspect’s Model Information Ratio from Adding Other Trend Following Models: Jan 1999 to Jun 2016
-
-
-
-
-
-Chapter 22 Figure 22.1 A Candidate Trading Strategy
-
-Figure 22.2 Two Hundred Randomly Generated Trading Strategies
-
-Figure 22.3 Panel A: False Trading Strategies, True Trading Strategies. Panel B: False Trading Strategies, True Trading Strategies.
-
-
-
-
-
-Chapter 24 Figure 24.1 A Luck-Payoff matrix, showing six outcomes For now, however, we return to our basic coin example, since it has enough dimensions to illustrate many concepts of risk management. We consider more complicated examples later.
-
-Figure 24.2 Simulation of fixed-bet and fixed-fraction betting systems
-
-Figure 24.3 Simulation of equity from a fixed-fraction betting system
-
-Figure 24.4 Expected value (ending equity) from 10 tosses, versus bet fraction, for a constant-bet fraction system, for a 2:1 payoff game, from the first and last columns of Figure 24.3
-
-Figure 24.5 The Kelly Formula
-
-Figure 24.6 Optimal bet fraction increases linearly with luck, asymptotically to payoff.
-
-Figure 24.7 The optimal expected value increases with payoff and luck.
-
-Figure 24.8 For high payoff, optimal bet fraction approaches luck.
-
-Figure 24.9 The Lake Ratio = Blue / Yellow
-
-
-
-
-
-Chapter 25 Figure 25.1 Trend Following System, E-Mini S&P 500 (Back-Adjusted)
-
-Figure 25.2 E-Mini S&P 500 (Back-Adjusted)
-
-Figure 25.3 GRAB System; Parameter Values 40, 80
-
-Figure 25.4 GRAB System; Parameter Values 40, 80 Soybean Oil (Back-Adjusted)
-
-Figure 25.5 GRAB System; Parameter Values 40, 80 Euro German Bund (Back-Adjusted)
-
-Figure 25.6 Near-Box Look-Back: 20 Days. Far-Box Look-Back: 100 Days, Corn (Back-Adjusted)
-
-Figure 25.7 Parameters Far Apart: Near-Box Look-Back: 20 Days. Far-Box Look-Back: 200 Days, New York Coffee (Back-Adjusted)
-
-Figure 25.8 Parameters Close Together: Near-Box Look-Back: 110 Days. Far-Box Look-Back: 140 Days Natural Gas (Back-Adjusted)
-
-
-
-
-
-Chapter 26 Figure 26.1 Mean return of varying allocation between traditional and alternative portfolios, while changing the alternative portfolio’s Managed Futures/Hedge Fund composition, for the period January 2001–December 2015
-
-Figure 26.2 Standard deviation of varying allocation between traditional and alternative portfolios, while changing the alternative portfolio’s Managed Futures/Hedge Fund composition for the period January 2001–December 2015
-
-Figure 26.3 Risk-adjusted return of 50/50 portfolios of stocks, bonds, hedge funds, and managed futures for the period of January 2001–December 2015
-
-Figure 26.4 Skewness of 50/50 portfolios of stocks, bonds, hedge funds, and managed futures for the period June 2001–December 2015
-
-Figure 26.5 Kurtosis of 50/50 portfolios of stocks, bonds, hedge funds, and managed futures for the period June 2001–December 2015
-
-Figure 26.6 Efficient frontier for portfolios ranging from 100% Traditional portfolio to 100% Alternatives portfolio in 10% increments for the period June 2001–December 2015
-
-Figure A-1 Mean return of 50/50 portfolios of stocks, bonds, hedge funds, and managed futures for the period January 1990–December 2015
-
-Figure A-2 Standard deviation of 50/50 portfolios of stocks, bonds, hedge funds, and managed futures for the period January 1990–December 2015
-
-Figure A-3 Skewness of 50/50 portfolios of stocks, bonds, hedge funds, and managed futures for the period January 1990–December 2015
-
-Figure A-4 Kurtosis of 50/50 portfolios of stocks, bonds, hedge funds, and managed futures for the period January 1990–December 2015
-
-Figure B-1 Mean return of 50/50 portfolios of stocks, bonds, hedge funds, and managed futures for Kat’s study period of June 1994–May 2001 (top, Kat’s original graphic;11 ours is on bottom). Note: Our image looks different than Kat’s, primarily because he constrained the equity returns for the period and we did not.
-
-Figure B-2 Standard deviation of 50/50 portfolios of stocks, bonds, hedge funds, and managed futures for Kat’s study period of June 1994–May 2001 (top, Kat’s original graphic;11 ours is on bottom)
-
-Figure B-3 Skewness of 50/50 portfolios of stocks, bonds, hedge funds, and managed futures for Kat’s study period of June 1994–May 2001 (top, Kat’s original graphic;11 ours is on bottom)
-
-Figure B-4 Kurtosis of 50/50 portfolios of stocks, bonds, hedge funds, and managed futures for Kat’s study period of June 1994–May 2001 (top, Kat’s original graphic below;11 ours is on bottom)
-
-
-
-
-
-Chapter 27 Figure 27.1 Excess Return Index and Estimated Carry for Rolling U.S. 10-Year Note Futures
-
-Figure 27.2 Decomposing History of U.S. 10-Year Note Futures by Carry and Trend
-
-
-
-
-
 Foreword
 
 
@@ -2140,75 +991,6 @@ TABLE 2.1: Monthly Performance Data for Winton Futures Fund (%)
 
 
 
-
-Jan
-
-Feb
-
-Mar
-
-Apr
-
-May
-
-Jun
-
-Jul
-
-Aug
-
-Sep
-
-Oct
-
-Nov
-
-Dec
-
-Year
-
-
-
-2016 3.51% 1.76% −2.92% −1.49% −1.64% 5.21% 0.73% −1.72% −0.30% −2.64% −1.23% −1.06%
-
-2015 2.89% −0.01% 2.04% −3.24% 0.11% −3.15% 3.90% −4.27% 3.47% −1.42% 3.44% −1.58% 1.72%
-
-2014 −2.04% 2.29% −0.57% 1.81% 1.92% 0.18% −2.09% 3.98% −0.39% 3.55% 5.28% 0.64% 15.23%
-
-2013 2.27% −0.35% 2.06% 3.05% −1.85% −2.18% −1.18% −2.92% 3.09% 2.77% 2.70% 0.52% 7.98%
-
-2012 0.66% −0.80% −0.66% 0.02% 0.06% −3.39% 4.32% −1.15% −2.25% −2.55% 1.18% 1.51% −3.24%
-
-2011 0.11% 1.62% 0.20% 3.06% −2.22% −2.55% 4.64% 1.55% 0.20% −2.35% 0.94% 1.54% 6.68%
-
-2010 −2.51% 2.29% 4.64% 1.58% −0.85% 1.46% −2.83% 4.92% 0.84% 2.62% −2.23% 3.89% 14.27%
-
-2009 0.92% −0.32% −1.78% −3.08% −2.08% −1.31% −1.55% 0.31% 2.73% −1.54% 5.01% −2.53% −5.38%
-
-2008 3.92% 8.21% −0.92% −0.97% 1.95% 5.22% −4.66% −3.09% −0.38% 3.65% 4.48% 1.93% 20.25%
-
-2007 4.03% −6.39% −4.13% 6.13% 5.04% 1.83% −1.38% −0.96% 6.83% 2.38% 2.45% 0.12% 16.13%
-
-2006 3.93% −2.74% 3.88% 5.68% −3.21% −1.34% −0.62% 4.58% −1.43% 1.43% 3.10% 2.03% 15.83%
-
-2005 −5.16% 5.72% 4.70% −4.03% 6.49% 2.85% −2.15% 7.66% −6.50% −3.02% 7.05% −4.59% 7.65%
-
-2004 2.65% 11.93% −0.50% −8.27% −0.16% −3.12% 0.88% 2.64% 4.78% 3.37% 6.38% −0.58% 20.31%
-
-2003 5.30% 11.95% −11.14% 2.07% 10.18% −5.85% −1.15% 0.69% 0.71% 5.46% −2.68% 10.00% 25.52%
-
-2002 −10.81% −6.14% 11.44% −4.66% −3.80% 7.32% 4.79% 5.48% 7.42% −7.76% −1.09% 13.46% 12.86%
-
-2001 4.58% 0.57% 7.48% −5.23% −3.32% −2.95% 0.72% 0.02% 4.48% 12.45% −7.56% −4.02% 5.56%
-
-2000 −3.66% 1.75% −3.13% 1.53% −0.50% −1.28% −4.33% 2.82% −7.54% 2.50% 7.10% 16.04% 9.72%
-
-1999 −1.51% 3.55% −4.24% 10.09% −8.58% 5.31% −1.93% −3.64% −0.16% −6.13% 13.12% 9.20% 13.24%
-
-1998 1.50% 3.27% 8.02% −1.48% 8.53% 3.23% 1.35% 11.06% 4.52% −5.65% 1.18% 9.19% 53.26%
-
-1997 −12.97% 9.96% 8.34% 3.68%
-
 I have had the opportunity to talk with Harding on multiple occasions. He always comes across as down-to-earth, a hard worker, but also highly competitive. He wants to win. Harding did not start out with the silver spoon. He worked. To hear him describe it, he engaged in the sort of deliberate practice that Anders Ericsson researched:
 
 I worked for a company [early on], and the people who ran that took a very old-fashioned approach to trading. About 10 people and I spent the first half of every day drawing about 400 charts by hand. It was very tedious. I did this for about two years. The act of laboriously updating these charts forces you to focus in much more minute detail on data than you normally would, and over a period of time, I became completely convinced the market was not efficient, contrary to the theory at the time.4 I became convinced that markets weren’t efficient and absolutely trended. . . . We trade everything using trend following systems, and it works. By simulation, you come up with ideas and hypotheses, and you test those. Over the years, what we’ve done, essentially, is conduct experiments. But instead of using a microscope or a telescope, the computer is our laboratory instrument. And instead of looking at the stars, we’re looking at data and simulation languages . . . it’s counterintuitive to think in terms of statistics and probability. It takes discipline and training; it tortures the machinery. People are much better, for instance, at judging whether another person is cheating in a human relationship. We’re hugely social creatures. We’re keen on our intuition. But when our intuition is wrong, we’ll still be very resistant to being corrected. What are traders’ biggest failures about understanding risk? There’s a human desire to seek spurious certainty. We try to come to a yes-no answer, one that’s absolute, when the right answer might be neither yes nor no. People see things in black and white when often they need to be comfortable with shades of gray.5
@@ -13440,66 +12222,6 @@ TABLE 20.3 Sharpe Ratio and t -Statistic of the Trend (T ) for n = 5, of the Deb
 
 Period SR (T ) t-Statistic (T ) t-Statistic (T*) SR (μ) t-Statistic (μ)
 
-1960–1970 0.66
-
-2.1
-
-1.8
-
-0.17
-
-0.5
-
-
-
-1970–1980 1.15
-
-3.64
-
-2.5
-
-0.78
-
-2.5
-
-
-
-1980–1990 1.05
-
-3.3
-
-2.85
-
-–0.03
-
-–0.1
-
-
-
-1990–2000 1.12
-
-3.5
-
-3.03
-
-0.79
-
-2.5
-
-
-
->2000 0.75
-
-2.8
-
-1.9
-
-0.68
-
-2.15
-
-
-
 
 
 FIGURE 20.1 Fictitious P&L, as Described in Equation 2.2, of a Five-Month Trend-Following Strategy on a Diversified Pool of Futures
@@ -14495,202 +13217,6 @@ The above logarithmic scale chart shows cumulative NAV curves for the two trend
 
 
 
-MA10x100
-
-MA10x100 (with fees)
-
-CB50
-
-CB50 (with fees)
-
-SP500
-
-BTOP50
-
-
-
-Annual Compounded Return 15.1%
-
-11.2%
-
-12.8%
-
-9.5%
-
-5.4%
-
-7.7%
-
-
-
-Worst Peak-to-Trough Drawdown –28.2%
-
-–24.3%
-
-–33.7%
-
-–29.9%
-
-–52.6%
-
-–13.3%
-
-
-
-Annual Standard Deviation 15.8%
-
-12.6%
-
-15.3%
-
-12.2%
-
-15.0%
-
-9.5%
-
-
-
-Annual Return/Max P/T Drawdown 0.53
-
-0.46
-
-0.38
-
-0.32
-
-0.10
-
-0.58
-
-
-
-Sharpe Ratio (Avg RFR = 4.26%) 0.68
-
-0.55
-
-0.56
-
-0.43
-
-0.07
-
-0.37
-
-
-
-Skew 0.25
-
-0.25
-
-0.29
-
-0.29
-
-–0.65
-
-0.43
-
-
-
-Correlation to SP500 –14.3%
-
-–14.3%
-
-–12.4%
-
-–12.4%
-
-NA
-
-–11.9%
-
-
-
-Alpha to SP500 11.0%
-
-7.1%
-
-8.7%
-
-5.3%
-
-NA
-
-3.6%
-
-
-
-Correlation to BTOP50 70.2%
-
-70.2%
-
-68.2%
-
-68.2%
-
-–11.9%
-
-NA
-
-
-
-Alpha to BTOP50 6.7%
-
-3.7%
-
-4.8%
-
-2.2%
-
-1.8%
-
-NA
-
-
-
-Beta to BTOP50 1.16
-
-0.93
-
-1.09
-
-0.88
-
-–0.19
-
-NA
-
-
-
-Avg # of Trades Per Year Per Market 4.0
-
-4.0
-
-3.0
-
-3.0
-
-NA
-
-NA
-
-
-
-Avg # of Days Per Trade 60
-
-60
-
-81
-
-81
-
-NA
-
-NA
-
-
-
 The returns of the two simple trend following strategies are attractive. Gross as well as net of fees, these simple models outperform the SP500 and BTOP50 indexes. The MA10x100 and the CB50 respectively annualized 15.1% and 12.8% over the 20 year period of study.
 
 On a return to maximum peak-to-trough drawdown basis, the strategies outperform the SP500 by a factor of 3 or more. The strategies’ return to maximum peak-to-trough drawdown is slightly less than that of the BTOP50. The index’s outperformance can be explained by the fact that a substantial portion of its returns is due to interest earned on the funding capital rather than actual trading. We estimate that the interest earned on cash is about 4.26% out of the 7.7% return of the index.
@@ -14709,266 +13235,6 @@ The returns of these strategies can be improved by diversifying the portfolio ac
 
 
 
-Sector Performance
-
-
-We now point our attention to the performance of the strategies within specific sectors.
-
-
-
-
-
-MA10x100 FX
-
-CB50 FX
-
-MA10x100 Fixed Income
-
-CB50 Fixed Income
-
-MA10x100 Equity
-
-CB50 Equity
-
-MA10x100 Commodity
-
-CB50 Commodity
-
-
-
-Annual Compounded Return 3.0%
-
-3.1%
-
-6.3%
-
-5.7%
-
-2.9%
-
-1.9%
-
-2.5%
-
-1.9%
-
-
-
-Worst Peak-to-Trough Drawdown –19.2%
-
-–24.0%
-
-–8.8%
-
-–7.9%
-
-–9.9%
-
-–13.2%
-
-–22.7%
-
-–24.8%
-
-
-
-Annual Standard Deviation 6.5%
-
-6.2%
-
-6.6%
-
-6.6%
-
-6.0%
-
-6.1%
-
-7.4%
-
-7.0%
-
-
-
-Annual Return/Max P/T Drawdown 0.15
-
-0.13
-
-0.72
-
-0.73
-
-0.29
-
-0.15
-
-0.11
-
-0.08
-
-
-
-Sharpe Ratio (Avg RFR = 4.26%) 0.29
-
-0.33
-
-0.80
-
-0.71
-
-0.31
-
-0.14
-
-0.20
-
-0.12
-
-
-
-Skew 0.65
-
-0.73
-
-0.41
-
-0.51
-
-0.18
-
-0.14
-
-0.15
-
-0.18
-
-
-
-Correlation to SP500 –11.2%
-
-–8.1%
-
-–11.2%
-
-–6.5%
-
-–2.0%
-
-–1.9%
-
-–9.1%
-
-–12.0%
-
-
-
-Alpha to SP500 2.0%
-
-2.1%
-
-5.3%
-
-4.7%
-
-1.9%
-
-0.9%
-
-1.5%
-
-0.9%
-
-
-
-Correlation to BTOP50 53.3%
-
-50.1%
-
-53.2%
-
-51.4%
-
-33.9%
-
-32.2%
-
-27.9%
-
-27.3%
-
-
-
-Alpha to BTOP50 0.6%
-
-0.9%
-
-4.0%
-
-3.4%
-
-1.1%
-
-0.1%
-
-0.7%
-
-0.1%
-
-
-
-Beta to BTOP50 0.36
-
-0.33
-
-0.37
-
-0.36
-
-0.21
-
-0.21
-
-0.22
-
-0.20
-
-
-
-Avg # of Trades Per Year Per Market 4.7
-
-3.2
-
-3.7
-
-3.0
-
-4.0
-
-3.0
-
-4.2
-
-3.2
-
-
-
-Avg # of Days Per Trade 55
-
-79
-
-65
-
-81
-
-61
-
-78
-
-59
-
-77
-
-
 
 Individual Sector portfolios are assumed to be funded at 25%. If they were each fully funded, their annual compounded returns would each be higher by 3.19%.
 
@@ -14984,205 +13250,6 @@ Performance of Long versus Short Trades
 Since the two strategies are entirely symmetric between the long and short side from a trading perspective, it is surprising to see how profitable the long trades are compared to the shorts.
 
 
-
-
-
-MA10x100
-
-MA10x100 Long
-
-MA10x100 Short
-
-CB50
-
-CB50 Long
-
-CB50 Short
-
-
-
-Annual Compounded Return 15.1%
-
-12.7%
-
-2.3%
-
-12.8%
-
-11.6%
-
-1.2%
-
-
-
-Worst Peak-to-Trough Drawdown –28.2%
-
-–13.7%
-
-–39.9%
-
-–33.7%
-
-–13.6%
-
-–46.1%
-
-
-
-Annual Standard Deviation 15.8%
-
-12.2%
-
-8.9%
-
-15.3%
-
-12.0%
-
-8.7%
-
-
-
-Annual Return/Max P/T Drawdown 0.53
-
-0.92
-
-0.06
-
-0.38
-
-0.85
-
-0.03
-
-
-
-Sharpe Ratio (Avg RFR = 4.26%) 0.68
-
-0.87
-
-0.02
-
-0.56
-
-0.79
-
-–0.11
-
-
-
-Skew 0.25
-
-0.00
-
-1.66
-
-0.29
-
-0.09
-
-1.56
-
-
-
-Correlation to SP500 –14.3%
-
-12.7%
-
-–42.9%
-
-–12.4%
-
-14.1%
-
-–41.3%
-
-
-
-Alpha to SP500 11.0%
-
-10.4%
-
-0.4%
-
-8.7%
-
-9.4%
-
-–0.7%
-
-
-
-Correlation to BTOP50 70.2%
-
-65.7%
-
-34.7%
-
-68.2%
-
-64.0%
-
-31.5%
-
-
-
-Alpha to BTOP50 6.7%
-
-7.6%
-
-–1.0%
-
-4.8%
-
-6.7%
-
-–1.9%
-
-
-
-Beta to BTOP50 1.16
-
-0.84
-
-0.32
-
-1.09
-
-0.81
-
-0.29
-
-
-
-Avg # of Trades Per Year Per Market 4.0
-
-2.0
-
-2.0
-
-3.0
-
-1.5
-
-1.5
-
-
-
-Avg # of Days Per Trade 60
-
-67
-
-54
-
-81
-
-74
-
-88
-
-
-
 Individual Long and Short portfolios are assumed to be funded at 50%; if they were fully funded their annual compounded returns would each be higher by 2.13%.
 
 The returns and risk-adjusted returns of the long side of the two strategies are superior to the short side of the strategies. Both strategies produce over 85% of profits from trading on the long side of the market. The strategies spend about 45% of time on the short side of the market.
@@ -15205,401 +13272,6 @@ We shifted the parameters of the MA10x100 and CB50 models to get a sense of how
 
 
 
-
-MA10x75
-
-MA10x100
-
-MA10x125
-
-MA10x150
-
-MA10x175
-
-MA10x200
-
-
-
-Annual Compounded Return 13.0%
-
-15.1%
-
-16.3%
-
-16.2%
-
-15.6%
-
-16.2%
-
-
-
-Worst Peak-to-Trough Drawdown –35.4%
-
-–28.2%
-
-–27.8%
-
-–30.1%
-
-–26.8%
-
-–23.4%
-
-
-
-Annual Standard Deviation 15.1%
-
-15.8%
-
-16.1%
-
-15.9%
-
-15.7%
-
-16.1%
-
-
-
-Annual Return/Max P/T Drawdown 0.37
-
-0.53
-
-0.59
-
-0.54
-
-0.58
-
-0.69
-
-
-
-Sharpe Ratio (Avg RFR = 4.26%) 0.58
-
-0.68
-
-0.75
-
-0.75
-
-0.72
-
-0.74
-
-
-
-Skew 0.27
-
-0.25
-
-0.25
-
-0.10
-
-0.19
-
-0.07
-
-
-
-Correlation to SP500 –14.8%
-
-–14.3%
-
-–14.6%
-
-–13.3%
-
-–13.4%
-
-–12.9%
-
-
-
-Alpha to SP500 8.9%
-
-11.0%
-
-12.2%
-
-12.1%
-
-11.5%
-
-12.1%
-
-
-
-Correlation to BTOP50 68.8%
-
-70.2%
-
-68.8%
-
-68.3%
-
-65.2%
-
-63.2%
-
-
-
-Alpha to BTOP50 4.9%
-
-6.7%
-
-8.0%
-
-8.0%
-
-7.6%
-
-8.2%
-
-
-
-Beta to BTOP50 1.09
-
-1.16
-
-1.17
-
-1.14
-
-1.08
-
-1.07
-
-
-
-Avg # of Trades Per Year Per Market 4.7
-
-4.0
-
-3.5
-
-3.1
-
-2.8
-
-2.5
-
-
-
-Avg # of Days Per Trade 51
-
-60
-
-68
-
-78
-
-86
-
-95
-
-
-
-
-
-CB25
-
-CB50
-
-CB75
-
-CB100
-
-CB125
-
-CB150
-
-
-
-Annual Compounded Return 12.1%
-
-12.8%
-
-14.7%
-
-15.2%
-
-15.9%
-
-19.2%
-
-
-
-Worst Peak-to-Trough Drawdown –17.4%
-
-–33.7%
-
-–31.3%
-
-–25.1%
-
-–24.1%
-
-–22.6%
-
-
-
-Annual Standard Deviation 13.8%
-
-15.3%
-
-15.9%
-
-15.8%
-
-16.1%
-
-16.8%
-
-
-
-Annual Return/Max P/T Drawdown 0.70
-
-0.38
-
-0.47
-
-0.60
-
-0.66
-
-0.85
-
-
-
-Sharpe Ratio (Avg RFR = 4.26%) 0.57
-
-0.56
-
-0.65
-
-0.69
-
-0.72
-
-0.89
-
-
-
-Skew 0.71
-
-0.29
-
-0.46
-
-0.11
-
-0.02
-
-0.05
-
-
-
-Correlation to SP500 –14.7%
-
-–12.4%
-
-–15.7%
-
-–13.5%
-
-–9.6%
-
-–4.0%
-
-
-
-Alpha to SP500 8.0%
-
-8.7%
-
-10.6%
-
-11.1%
-
-11.8%
-
-15.0%
-
-
-
-Correlation to BTOP50 63.2%
-
-68.2%
-
-66.9%
-
-62.2%
-
-58.1%
-
-53.0%
-
-
-
-Alpha to BTOP50 4.7%
-
-4.8%
-
-6.5%
-
-7.3%
-
-8.2%
-
-11.7%
-
-
-
-Beta to BTOP50 0.91
-
-1.09
-
-1.12
-
-1.04
-
-0.99
-
-0.94
-
-
-
-Avg # of Trades Per Year Per Market 6.0
-
-3.0
-
-1.9
-
-1.4
-
-1.1
-
-0.8
-
-
-
-Avg # of Days Per Trade 40
-
-81
-
-126
-
-171
-
-222
-
-292
-
-
-
 Both the moving average crossover and the channel breakout models are stable across parameters. For both the MA and CB models, the longer-term time frames had higher returns and risk-adjusted returns. As an example, the 150-day Channel Breakout model compounded at over 19% per year vs. just under 13% for the 50-day Channel Breakout. The Sharpe ratio of the CB150 was 0.89 vs. 0.56 for the CB50.
 
 It would be obvious that one should be trading the longer-term strategies if it was not for the less positive skew that these strategies exhibit. Indeed these very long-term strategies are much more vulnerable to dramatic reversals than their shorter-term counterparts. As an example, in the large trend reversals of August 2007, the CB50 was up +0.5% while CB150 was down –5.79%. Similarly, the MA10x100 was up +0.95% while the MA10x200 was down –3.45%.
@@ -16613,517 +14285,6 @@ The basic performance statistics for our four asset classes are shown in Table 2
 
 
 
-TABLE 26.1 Monthly Statistics for Stocks, Bonds, Hedge Funds, and Managed Futures for the Period June 2011–December 2015
-
-
-
-
-Stocks
-
-Bonds
-
-Hedge Funds
-
-Managed Futures
-
-
-
-Mean (%) 0.50
-
-0.42
-
-0.45
-
-0.33
-
-
-
-Standard Deviation (%) 4.32
-
-1.01
-
-1.72
-
-2.25
-
-
-
-Skewness –0.63
-
-–0.33
-
-–0.84
-
-0.22
-
-
-
-Excess Kurtosis 1.17
-
-1.37
-
-2.06
-
-0.43
-
-
-
-Correlations
-
-Stocks 1.00
-
-
-
-Bonds –0.11
-
-1.00
-
-
-
-Hedge Funds 0.80
-
-–0.03
-
-1.00
-
-
-
-Managed Futures –0.17
-
-0.24
-
-0.07
-
-1.00
-
-
-
-
-
-Stocks, Bonds, Plus Hedge Funds or Managed Futures
-
-
-In order to study the effect of allocating to hedge funds and managed futures, we form a baseline “traditional” portfolio that is 50% stocks and 50% bonds (“50/50”). We then begin adding hedge funds or managed futures in 5%-allocation increments. As in Kat’s original paper, when adding in hedge funds or managed futures, the original 50/50 portfolio will reduce its stock and bond holdings proportionally. This produces portfolios such as 40% stocks, 40% bonds, and 20% hedge funds, or 35% stocks, 35% bonds, and 30% managed futures. (Note: All portfolios throughout the paper are rebalanced monthly.) Similar to Kat, we studied the differences in how hedge funds and managed futures combine with stocks and bonds. Kat found that during the period he studied, adding hedge funds to the 50/50 portfolio of stocks and bonds lowered the standard deviation, as hoped for. Unfortunately, hedge funds also increased the negative tilt of the distribution. In addition to the portfolios becoming more negatively skewed, the return distribution’s kurtosis increased, indicating “fatter tails.” However, Kat found that when he increased the managed futures allocation, the standard deviation dropped faster than with hedge funds, the kurtosis was lowered, and, most impressively, the skewness actually shifted in a positive direction (see Table 26.2). Kat (2004) summarized by saying, “Although [under the assumptions made] hedge funds offer a somewhat higher-than-expected return, from an overall risk perspective, managed futures appear to be better diversifiers than hedge funds.”1
-
-
-
-
-
-TABLE 26.2 Monthly Return Statistics for 50/50 Portfolios of Stocks, Bonds, and Hedge Funds or Managed Futures for the Period January 2001–December 2015
-
-
-
-
-HEDGE FUNDS
-
-MANAGED FUTURES
-
-
-
-HF (%)
-
-Mean (%)
-
-StDev (%)
-
-Hedge Funds
-
-Kurtosis
-
-HF (%)
-
-Mean (%)
-
-StDev (%)
-
-Hedge Funds
-
-Kurtosis
-
-
-
-0
-
-0.46
-
-2.17
-
-Skew
-
-2.27
-
-0
-
-0.46
-
-2.17
-
-Skew
-
-2.27
-
-
-
-5
-
-0.46
-
-2.13
-
-–0.80
-
-2.28
-
-5
-
-0.45
-
-2.05
-
-–0.74
-
-2.05
-
-
-
-10
-
-0.46
-
-2.09
-
-–0.81
-
-2.3
-
-10
-
-0.45
-
-1.94
-
-–0.69
-
-1.79
-
-
-
-15
-
-0.46
-
-2.05
-
-–0.82
-
-2.31
-
-15
-
-0.44
-
-1.83
-
-–0.63
-
-1.49
-
-
-
-20
-
-0.46
-
-2.02
-
-–0.84
-
-2.32
-
-20
-
-0.43
-
-1.74
-
-–0.55
-
-1.16
-
-
-
-25
-
-0.46
-
-1.98
-
-–0.85
-
-2.33
-
-25
-
-0.43
-
-1.66
-
-–0.45
-
-0.82
-
-
-
-30
-
-0.46
-
-1.95
-
-–0.86
-
-2.34
-
-30
-
-0.42
-
-1.59
-
-–0.35
-
-0.49
-
-
-
-35
-
-0.46
-
-1.92
-
-–0.87
-
-2.35
-
-35
-
-0.41
-
-1.53
-
-–0.24
-
-0.19
-
-
-
-40
-
-0.46
-
-1.89
-
-–0.88
-
-2.35
-
-40
-
-0.41
-
-1.49
-
-–0.13
-
-–0.03
-
-
-
-45
-
-0.46
-
-1.87
-
-–0.89
-
-2.35
-
-45
-
-0.40
-
-1.47
-
-–0.04
-
-–0.18
-
-
-
-50
-
-0.46
-
-1.84
-
-–0.90
-
-2.35
-
-50
-
-0.39
-
-1.47
-
-0.04
-
-–0.23
-
-
-
-Note. HF% = hedge fund allocation percentage; StDev(%) = standard deviation.
-
-Our results show that Kat’s observations have held up during the period since his original study. When we increased the hedge fund allocation, the portfolio return went up and the standard deviation went down. However, the previously discussed “negative side effect” of adding hedge funds was present, as the skewness of the portfolio fell and the kurtosis went up. On the other hand, when we added managed futures into the traditional portfolio, we observed more impressive diversification characteristics. In fact, managed futures appear to have improved the performance profile even more in this period, compared to the one Kat studied. Adding managed futures exposure increased mean return and simultaneously increased the skewness of –0.78 of the traditional portfolio to –0.04 at the 45% allocation level. The standard deviation dropped more and faster than it did with hedge funds, and kurtosis also improved, dropping from 2.27 to –0.18 at the 45% allocation level.
-
-
-
-
-
-Hedge Funds Plus Managed Futures
-
-
-Table 26.3 summarizes the results of combining only hedge funds and managed futures. The mean monthly return for managed futures is lower than hedge funds, so we may expect adding them in will reduce the expected return of the portfolio. The standard deviation of managed futures is higher than hedge funds, so one might expect upward pressure on volatility from the addition of managed futures. However, this is not what happens when they are combined. Due to their positive skewness and significantly lower kurtosis, adding managed futures to hedge funds appears to provide a substantial improvement to the overall risk profile. With 40% invested in managed futures, the standard deviation drops from 1.72% to 1.42%, but the expected return only declines by 5 basis points. At the same allocation to managed futures, skewness increases from –0.84 to 0.10, while kurtosis drops noticeably from 2.06 to –0.18. Hedge funds are impressive on their own, but managed futures demonstrate that they are the ultimate teammate by improving the return characteristics of the overall portfolio.
-
-
-
-
-
-TABLE 26.3 Monthly Return Statistics for Portfolios of Hedge Funds and Managed Futures for the Period January 2001–December 2015
-
-
-
-
-MF(%) Mean(%)
-
-StDev(%)
-
-Skew
-
-Kurtosis
-
-
-
-0 0.45
-
-1.72
-
-–0.84
-
-2.06
-
-
-
-5 0.45
-
-1.64
-
-–0.73
-
-1.73
-
-
-
-10 0.44
-
-1.58
-
-–0.61
-
-1.37
-
-
-
-15 0.43
-
-1.52
-
-–0.48
-
-1.00
-
-
-
-20 0.43
-
-1.48
-
-–0.34
-
-0.65
-
-
-
-25 0.42
-
-1.44
-
-–0.21
-
-0.33
-
-
-
-30 0.42
-
-1.42
-
-–0.09
-
-0.09
-
-
-
-35 0.41
-
-1.41
-
-0.02
-
-–0.08
-
-
-
-40 0.40
-
-1.42
-
-0.10
-
-–0.18
-
-
-
-45 0.40
-
-1.44
-
-0.16
-
-–0.20
-
-
-
-50 0.39
-
-1.47
-
-0.19
-
-–0.17
-
 
 
 Note. MF% = managed fund allocation percentage; StDev(%) = standard deviation.
@@ -17201,257 +14362,6 @@ As a finale, we thought it would be instructive to show performance statistics f
 
 
 
-
-TABLE 26.4 Performance Statistics for Portfolios Ranging from 100% Traditional Portfolio to 100% Alternatives Portfolio in 10% increments for the Period January 2001–December 2015
-
-
-
-
-Stocks(%) Bonds(%)
-
-HF(%)
-
-MF(%)
-
-Mean(%)
-
-StDev(%)
-
-Skew
-
-Kurt
-
-Return/Risk
-
-
-
-50 50
-
-0
-
-0
-
-0.46
-
-2.66
-
-–0.47
-
-1.29
-
-0.17
-
-
-
-45 45
-
-5
-
-5
-
-0.45
-
-2.59
-
-–0.46
-
-1.28
-
-0.17
-
-
-
-40 40
-
-10
-
-10
-
-0.45
-
-2.53
-
-–0.44
-
-1.28
-
-0.18
-
-
-
-35 35
-
-15
-
-15
-
-0.44
-
-2.46
-
-–0.42
-
-1.28
-
-0.18
-
-
-
-30 30
-
-20
-
-20
-
-0.43
-
-2.39
-
-–0.41
-
-1.27
-
-0.18
-
-
-
-25 25
-
-25
-
-25
-
-0.42
-
-2.32
-
-–0.39
-
-1.27
-
-0.18
-
-
-
-20 20
-
-30
-
-30
-
-0.42
-
-2.26
-
-–0.37
-
-1.26
-
-0.19
-
-
-
-15 15
-
-35
-
-35
-
-0.41
-
-2.19
-
-–0.36
-
-1.26
-
-0.19
-
-
-
-10 10
-
-40
-
-40
-
-0.40
-
-2.12
-
-–0.34
-
-1.25
-
-0.19
-
-
-
-5 5
-
-45
-
-45
-
-0.40
-
-2.05
-
-–0.32
-
-1.25
-
-0.19
-
-
-
-0 0
-
-50
-
-50
-
-0.39
-
-1.99
-
-–0.31
-
-1.25
-
-0.20
-
-
-
-Note. Return/Risk calculated using annualized mean and standard deviation. HF(%) = hedge fund allocation percentage, MF(%) = managed futures allocation percentage, StDev(%) = standard deviation, Kurt = kurtosis.
-
-In Table 26.4 and Figure 26.6 (an efficient frontier based on the data in Table 26.4), the benefits of allocating to alternatives with a sizable percentage allocated to managed futures are quite compelling. As the contribution to alternatives increases, all metrics benefit:
-
-
-
-
-
-FIGURE 26.6 Efficient frontier for portfolios ranging from 100% Traditional portfolio to 100% Alternatives portfolio in 10% increments for the period June 2001–December 2015
-
-
-
-
-Risk-adjusted return increases
-
-Standard deviation decreases
-
-Skewness increases
-
-Kurtosis decreases
-
-
-
-Overall, our analysis is best summarized by the following quote from Dr. Kat (regarding his own findings almost 10 years ago): “Investing in managed futures can improve the overall risk profile of a portfolio far beyond what can be achieved with hedge funds alone. Making an allocation to managed futures not only neutralizes the unwanted side effects of hedge funds, but also leads to further risk reduction. Assuming managed futures offer an acceptable expected return, all of this comes at quite a low price in terms of expected return foregone.”1
-
-
-
-
-
 Appendix A
 
 
@@ -18336,182 +15246,6 @@ Note: HF(%) = hedge fund allocation percentage, MF(%) = managed futures allocati
 
 
 
-TABLE B-3 Monthly Return Statistics for Portfolios of Hedge Funds and Managed Futures for Kat’s Study Period of June 1994–May 2001
-
-
-
-
-MF(%)
-
-Mean(%)
-
-StDev(%)
-
-Skew
-
-Kurt
-
-
-
-0
-
-1.16
-
-2.36
-
-–0.67
-
-2.95
-
-
-
-5
-
-1.14
-
-2.24
-
-–0.56
-
-2.41
-
-
-
-10
-
-1.11
-
-2.13
-
-–0.44
-
-1.82
-
-
-
-15
-
-1.09
-
-2.04
-
-–0.31
-
-1.20
-
-
-
-20
-
-1.06
-
-1.96
-
-–0.18
-
-0.60
-
-
-
-25
-
-1.04
-
-1.89
-
-–0.05
-
-0.07
-
-
-
-30
-
-1.01
-
-1.85
-
-0.07
-
-–0.34
-
-
-
-35
-
-0.99
-
-1.82
-
-0.18
-
-–0.60
-
-
-
-40
-
-0.96
-
-1.81
-
-0.25
-
-–0.70
-
-
-
-45
-
-0.93
-
-1.82
-
-0.29
-
-–0.67
-
-
-
-50
-
-0.91
-
-1.84
-
-0.31
-
-–0.55
-
-
-
-Note: MF(%) = managed futures allocation percentage, StDev(%) = standard deviation, Kurt = kurtosis.
-
-
-
-
-
-FIGURE B-1 Mean return of 50/50 portfolios of stocks, bonds, hedge funds, and managed futures for Kat’s study period of June 1994–May 2001 (top, Kat’s original graphic;11 ours is on bottom). Note: Our image looks different than Kat’s, primarily because he constrained the equity returns for the period and we did not.
-
-
-
-
-
-FIGURE B-2 Standard deviation of 50/50 portfolios of stocks, bonds, hedge funds, and managed futures for Kat’s study period of June 1994–May 2001 (top, Kat’s original graphic;11 ours is on bottom)
-
-
-
-
-
-FIGURE B-3 Skewness of 50/50 portfolios of stocks, bonds, hedge funds, and managed futures for Kat’s study period of June 1994–May 2001 (top, Kat’s original graphic;11 ours is on bottom)
-
-
-
-
-
-FIGURE B-4 Kurtosis of 50/50 portfolios of stocks, bonds, hedge funds, and managed futures for Kat’s study period of June 1994–May 2001 (top, Kat’s original graphic below;11 ours is on bottom)
-
-
 Appendix C
 
 
@@ -18620,192 +15354,6 @@ To make this study relevant for actual implementation, and since we are interest
 
 
 
-
-TABLE 27.1 Data Sources and Summary Statistics
-
-
-
-
-Market Begins Data Sources Avg Excess Return/yr
-
-Volatility/yr
-
-Avg Ex-Ante
-
-
-
-Commodities
-
-Corn Jun-60 Bloomberg –2.2%
-
-22.0%
-
-–4.7%
-
-
-
-Oil Apr-87 Bloomberg 9.7%
-
-34.8%
-
-4.1%
-
-
-
-Gold Jan-76 Bloomberg 2.2%
-
-19.6%
-
-–5.1%
-
-
-
-Copper Dec-89 Bloomberg 8.7%
-
-26.5%
-
-3.6%
-
-
-
-Nat Gas Mar-91 Bloomberg –7.1%
-
-49.7%
-
-–6.9%
-
-
-
-Equities
-
-Nikkei May-93 Bloomberg 2.4%
-
-24.4%
-
-0.5%
-
-
-
-S&P 500 Jan-60 Bloomberg, Haver 5.5%
-
-16.9%
-
-–2.0%
-
-
-
-EuroStoxx Jun-99 Bloomberg 3.1%
-
-25.0%
-
-1.0%
-
-
-
-S&P ASX Apr-01 Bloomberg 5.6%
-
-16.4%
-
-–0.7%
-
-
-
-FTSE 100 May-93 Bloomberg 5.9%
-
-18.6%
-
-–1.0%
-
-
-
-Currencies
-
-AUD Dec-77 Bloomberg, R.B.A. 2.5%
-
-11.2%
-
-2.7%
-
-
-
-GBP Dec-72 Bloomberg, IMF, DMS* 1.6%
-
-9.7%
-
-2.1%
-
-
-
-EUR Dec-72 Bloomberg, IMF, DMS* 1.2%
-
-10.3%
-
-–0.9%
-
-
-
-JPY Dec-72 Bloomberg, IMF, DMS* 0.1%
-
-10.6%
-
-–2.6%
-
-
-
-CHF Dec-72 Bloomberg, IMF, DMS* 1.3%
-
-11.8%
-
-–2.6%
-
-
-
-Bond Futures
-
-UK Gilt Nov-83 Bloomberg 2.8%
-
-7.4%
-
-1.1%
-
-
-
-JGB Aug-75 Bloomberg, B.O.J. 2.9%
-
-4.6%
-
-1.3%
-
-
-
-Bund Jul-92 Bloomberg 4.6%
-
-5.5%
-
-1.6%
-
-
-
-US 10Y Note Aug-72 Bloomberg, GSW** 2.9%
-
-7.1%
-
-1.4%
-
-
-
-Australia 10Y Jun-02 Bloomberg 2.4%
-
-7.6%
-
-0.5%
-
-
-
-*Dimson, Marsh, and Staunton database. **Gurkaynak, Sack, and Wright database.
-
-
-
 S&P 500: We take total returns, including reinvested dividends, minus the 3-month T-bill return.
 
 Bond futures: Using yield data, we calculate the returns of a 10-year bond financed at the short-term interest rate, and including roll-down.
@@ -18861,1344 +15409,6 @@ FIGURE 27.2 Decomposing History of U.S. 10-Year Note Futures by Carry and Trend
 
 Source: Bloomberg, PIMCO.
 
-Table 27.2 shows the average excess returns (annualized) for each group, as well as for the full sample. Over the full sample, the average excess return was 2.9% per year, but in periods when both trend and carry were in favor (i.e., positive), the average annualized excess return was almost double the average, at 5.2% per year. Conversely, when both trend and carry were against the position, the average return was –4.2%. The mixed categories, with one of trend and carry against, and one in favor, the returns were in between, at 1.6% and 3.2%, respectively. We also report the returns normalized by volatility since we will compare the risk-adjusted returns in each of the different quadrants across assets. The same pattern is visible, and in fact enhanced, since not only were the positive-carry, positive-trend periods the highest returning, they also had lower volatility on average.
-
-
-
-
-
-TABLE 27.2 Average Returns and Risk-Adjusted Returns by Category, U.S. 10-Year Note Futures, 1972–2014
-
-
-
-
-Annualized Returns by Category
-
-Annualized Return/Volatility by Category
-
-
-
-Carry>0
-
-Carry<0
-
-Carry>0
-
-Carry>0
-
-
-
-Market Begins
-
-Full Sample Avg Return
-
-Trend>0
-
-Trend<0
-
-Trend>0
-
-Trend<0
-
-Trend>0
-
-Trend<0
-
-Trend>0
-
-Trend<0
-
-
-
-US 10Y Note Aug-72
-
-2.9%
-
-5.2%
-
-1.6%
-
-3.0%
-
-–4.2%
-
-0.8
-
-0.2
-
-0.5
-
-–0.5
-
-
-
-
-
-Trend and Carry across Asset Classes
-
-
-The rest of this paper generalizes these results to other asset classes to see if the same pattern holds, i.e., the best returns are when trend and carry are mutually reinforcing, and the worst returns are when they are opposing. We also detail the results for different interest rate regimes and find that the results favor being in positive-trend, positive-carry investments even when rates are rising.
-
-Table 27.3 shows the proportion that falls into each category split by sector into commodities, equities, currencies, and bonds. Table 27.4 details the performance of each asset class within the four combinations of trend and carry highlighted above.
-
-
-
-
-
-TABLE 27.3 Proportion of History in Each Carry and Trend Category by Market
-
-
-
-
-Frequency by Category
-
-
-
-Carry>0
-
-Carry<0
-
-
-
-Market Begins
-
-Trend>0
-
-Trend<0
-
-Trend>0
-
-Trend<0
-
-
-
-Commodities
-
-Corn Jun-60
-
-17.5%
-
-8.6%
-
-19.5%
-
-54.4%
-
-
-
-Oil Apr-87
-
-47.7%
-
-11.4%
-
-11.1%
-
-29.7%
-
-
-
-Gold Jan-76
-
-0.0%
-
-0.0%
-
-48.4%
-
-51.6%
-
-
-
-Copper Dec-89
-
-37.6%
-
-11.7%
-
-17.3%
-
-33.4%
-
-
-
-Nat Gas Mar-91
-
-26.0%
-
-10.2%
-
-7.5%
-
-56.4%
-
-
-
-Sector Average 25.8%
-
-8.4%
-
-20.8%
-
-45.1%
-
-
-
-Equities
-
-Nikkei May-93
-
-41.4%
-
-35.2%
-
-10.8%
-
-12.5%
-
-
-
-S&P 500 Jan-60
-
-17.9%
-
-7.2%
-
-48.1%
-
-26.8%
-
-
-
-EuroStoxx Jun-99
-
-44.9%
-
-18.8%
-
-18.0%
-
-18.3%
-
-
-
-S&P ASX Apr-01
-
-21.5%
-
-12.6%
-
-44.2%
-
-21.7%
-
-
-
-FTSE 100 May-93
-
-21.9%
-
-7.7%
-
-44.6%
-
-25.9%
-
-
-
-Sector Average 29.5%
-
-16.3%
-
-33.1%
-
-21.0%
-
-
-
-Currencies
-
-AUD Dec-77
-
-51.9%
-
-31.7%
-
-6.0%
-
-10.5%
-
-
-
-GBP Dec-72
-
-54.0%
-
-35.8%
-
-3.2%
-
-7.1%
-
-
-
-EUR Dec-72
-
-19.8%
-
-10.7%
-
-33.3%
-
-36.1%
-
-
-
-JPY Dec-72
-
-8.1%
-
-3.4%
-
-43.3%
-
-45.2%
-
-
-
-CHF Dec-72
-
-6.1%
-
-4.1%
-
-44.9%
-
-44.9%
-
-
-
-Sector Average 28.0%
-
-17.1%
-
-26.1%
-
-28.8%
-
-
-
-Bond Futures
-
-UK Gilt Nov-83
-
-38.1%
-
-15.5%
-
-25.8%
-
-20.6%
-
-
-
-JGB Aug-75
-
-68.0%
-
-16.1%
-
-6.7%
-
-9.1%
-
-
-
-Bund Jul-92
-
-65.5%
-
-22.4%
-
-9.5%
-
-2.6%
-
-
-
-US 10Y Note Aug-72
-
-52.9%
-
-23.6%
-
-10.0%
-
-13.5%
-
-
-
-Australia 10Y Jun-02
-
-34.9%
-
-27.4%
-
-17.5%
-
-20.2%
-
-
-
-Sector Average 51.9%
-
-21.0%
-
-13.9%
-
-13.2%
-
-
-
-
-
-TABLE 27.4 Full Table of Results by Market, Maximum Available Sample Periods 1960–2014
-
-
-
-
-Annualized Returns by Quadrant
-
-Annualized Return/Volatility by Quadrant
-
-
-
-Carry>0
-
-Carry<0
-
-Carry<0
-
-Carry>0
-
-
-
-Market Begins
-
-Full SampleAvg Return
-
-Trend>0
-
-Trend<0
-
-Trend>0
-
-Trend<0
-
-Trend>0
-
-Trend<0
-
-Trend>0
-
-Trend<0
-
-
-
-Commodities
-
-Corn Jun-60
-
-–2.2%
-
-21.2%
-
-–8.9%
-
-–5.7%
-
-–7.4%
-
-0.8
-
-–0.4
-
-–0.2
-
-–0.4
-
-
-
-Oil Apr-87
-
-9.7%
-
-27.6%
-
-29.6%
-
-–15.4%
-
-–17.1%
-
-0.8
-
-0.9
-
-–0.5
-
-–0.4
-
-
-
-Gold Jan-76
-
-2.2%
-
-—
-
-—
-
-7.1%
-
-–2.4%
-
-—
-
-—
-
-0.3
-
-–0.1
-
-
-
-Copper Dec-89
-
-8.7%
-
-20.6%
-
-8.1%
-
-1.9%
-
-–0.9%
-
-0.8
-
-0.3
-
-0.1
-
-0.0
-
-
-
-Nat Gas Mar-91
-
-–7.1%
-
-10.5%
-
-–46.8%
-
-32.4%
-
-–13.3%
-
-0.2
-
-–1.1
-
-0.9
-
-–0.3
-
-
-
-Sector Average 2.3%
-
-20.0%
-
-–4.5%
-
-4.1%
-
-–8.2%
-
-0.6
-
-–0.1
-
-0.1
-
-–0.3
-
-
-
-Equities
-
-Nikkei May-93
-
-2.4%
-
-9.1%
-
-1.9%
-
-–15.6%
-
-–2.5%
-
-0.5
-
-0.1
-
-–1.0
-
-–0.1
-
-
-
-S&P 500 Jan-60
-
-5.5%
-
-13.4%
-
-21.4%
-
-6.0%
-
-–4.9%
-
-1.1
-
-0.8
-
-0.5
-
-–0.2
-
-
-
-EuroStoxx Jun-99
-
-3.1%
-
-6.7%
-
-27.4%
-
-7.3%
-
-–35.2%
-
-0.4
-
-0.8
-
-0.4
-
-–1.1
-
-
-
-S&P ASX Apr-01
-
-5.6%
-
-14.9%
-
-10.4%
-
-5.7%
-
-–6.7%
-
-1.2
-
-0.4
-
-0.5
-
-–0.3
-
-
-
-FTSE 100 May-93
-
-5.9%
-
-8.4%
-
-29.2%
-
-5.8%
-
-–3.2%
-
-0.6
-
-1.0
-
-0.4
-
-–0.1
-
-
-
-Sector Average 4.5%
-
-10.5%
-
-18.1%
-
-1.9%
-
-–10.5%
-
-0.8
-
-0.6
-
-0.1
-
-–0.4
-
-
-
-Currencies
-
-AUD Dec-77
-
-2.5%
-
-5.2%
-
-2.1%
-
-–6.5%
-
-–4.6%
-
-0.5
-
-0.2
-
-–0.9
-
-–0.4
-
-
-
-GBP Dec-72
-
-1.6%
-
-4.7%
-
-–2.1%
-
-–1.5%
-
-–2.0%
-
-0.5
-
-–0.2
-
-–0.2
-
-–0.2
-
-
-
-EUR Dec-72
-
-1.2%
-
-5.8%
-
-3.2%
-
-6.2%
-
-–6.6%
-
-0.6
-
-0.3
-
-0.6
-
-–0.6
-
-
-
-JPY Dec-72
-
-0.1%
-
-5.1%
-
-11.7%
-
-4.7%
-
-–6.1%
-
-0.6
-
-2.3
-
-0.4
-
-–0.6
-
-
-
-CHF Dec-72
-
-1.3%
-
-0.8%
-
-7.4%
-
-4.9%
-
-–2.9%
-
-0.1
-
-0.6
-
-0.4
-
-–0.3
-
-
-
-Sector Average 1.3%
-
-4.3%
-
-4.5%
-
-1.6%
-
-–4.4%
-
-0.4
-
-0.6
-
-0.1
-
-–0.4
-
-
-
-Bond Futures
-
-UK Gilt Nov-83
-
-2.8%
-
-2.8%
-
-4.9%
-
-2.2%
-
-2.0%
-
-0.4
-
-0.6
-
-0.3
-
-0.3
-
-
-
-JGB Aug-75
-
-2.9%
-
-3.7%
-
-5.3%
-
-–2.1%
-
-–3.4%
-
-0.9
-
-0.9
-
-–0.4
-
-–0.6
-
-
-
-Bund Jul-92
-
-4.6%
-
-4.7%
-
-2.6%
-
-6.6%
-
-11.8%
-
-0.9
-
-0.5
-
-1.2
-
-2.1
-
-
-
-US 10Y Note Aug-72
-
-2.9%
-
-5.2%
-
-1.6%
-
-3.0%
-
-–4.2%
-
-0.8
-
-0.2
-
-0.5
-
-–0.5
-
-
-
-Australia 10Y Jun-02
-
-2.4%
-
-7.3%
-
-1.6%
-
-–6.8%
-
-3.1%
-
-0.9
-
-0.2
-
-–0.8
-
-0.5
-
-
-
-Sector Average 3.1%
-
-4.7%
-
-3.2%
-
-0.6%
-
-1.8%
-
-0.8
-
-0.5
-
-0.2
-
-0.4
-
-
-
-The results are striking and intuitive. In all but one case (Bund futures), the positive-carry, positive-trend buckets significantly outperform the negative-trend, negative-carry positions. The Bund futures example is from a shorter sample period (July 1992–December 2014), and the negative-carry, negative-trend category has less than six months of observations, far fewer than the other markets. While we do not claim to have an exhaustive set of assets, and indeed it is possible that one can find assets where the strategy of having positive trend and positive carry is not the best performer, we expect that such occurrences are relatively rare.
-
-In addition, looking at just the “with-the-trend” trades, we find that positive-trend trades are much more profitable when also positive carry versus negative carry. Going sector by sector, commodities show remarkably strong decomposition results, with the same pattern observed as in U.S. 10-year bond futures. Some of these are worth highlighting due to specific idiosyncratic characteristics. It is worth noting that corn futures have data stretching back to June 1960 in which these results hold. Natural gas shows an extreme negative return in the positive-carry, negative-trend category (however, coming from a relatively small number of observations). Gold has always been in contango so has no positive-carry observations. Importantly, risk-adjusted returns maintain the same pattern across all five commodity markets.
-
-In equity markets the same patterns are evident, including for the S&P 500, for which we have data back to January 1960. In some markets the positive-carry, negative-trend returns are higher than the positive-carry, positive-trend category, but the negative-carry, negative-trend returns are uniformly negative, which confirms that for portfolio construction being against the market and paying too much for this privilege is not a good strategy. Interestingly, for equity markets, the volatilities are higher in negative-trend periods (which include stock market crashes), so that on average risk-adjusted returns of the positive-carry, positive-trend strategy are the highest, and are lowest in the negative-carry, negative-trend strategy.
-
-Results for currencies are straightforward and cover a uniformly good sample period from the early-to-mid-1970s to the present. The same pattern persists, i.e., Japanese yen has seen outlier returns in the positive-carry, negative-trend category, but again, this was from a small set of observations and indeed can be traced to an extremely active and interventionist central bank.
-
-Lastly, bond futures show more mixed results, although again, in every case except Bunds the positive-trend, positive-carry group outperforms the negative-carry, negative-trend group. Because the majority of the sample period occurs within the 30-year declining-rates regime, the average returns are naturally higher, even in the left-hand category. The three longest histories are for the U.S., Japan, and U.K. The first two markets show fairly consistent patterns. The U.K. results are weaker—possibly due to technical demand factors in the long end of the gilts curve.
-
-
-
-
-
-Carry and Trend across Rate Regimes
-
-
-One important and natural question that leaps out from this analysis, however, is the extent to which these results are simply driven by the period of falling rates. We have addressed the general performance of trend following strategies in rising rates in another paper (Rennison et. al. [2014]). Admittedly, the statistical analysis is challenging due to the limited availability of data in the early part of the sample. Nonetheless, we do have sufficient data for roughly half the markets to restrict the analysis only to the period of broadly rising interest rates from 1960–December 1982. Table 27.5 shows these results in the same format as Table 27.4.
-
-
-
-
-
-TABLE 27.5 Full Table of Results by Market, Maximum Available Sample Period from 1960–1982
-
-
-
-
-Annualized Returns by Category
-
-Sharpe Ratios by Category
-
-
-
-Carry>0
-
-Carry>0
-
-Carry>0
-
-Carry<0
-
-
-
-Market Begins
-
-Full Sample Avg Return
-
-Trend>0
-
-Trend<0
-
-Trend>0
-
-Trend<0
-
-Trend>0
-
-Trend<0
-
-Trend>0
-
-Trend<0
-
-
-
-Commodities
-
-Corn Jun-60
-
-–0.9%
-
-42.6%
-
-–0.9%
-
-–7.6%
-
-–11.4%
-
-1.6
-
-0.0
-
-–0.4
-
-–0.8
-
-
-
-Gold Jan-76
-
-6.0%
-
-30.8%
-
-–20.6%
-
-1.0
-
-–0.8
-
-
-
-Sector Average 2.6%
-
-42.6%
-
-–0.9%
-
-11.6%
-
-–16.0%
-
-1.6
-
-0.0
-
-0.3
-
-–0.8
-
-
-
-Equities
-
-S&P 500 Jan-60
-
-1.8%
-
-16.0%
-
-12.9%
-
-5.2%
-
-–11.6%
-
-1.9
-
-0.7
-
-0.5
-
-–0.8
-
-
-
-Sector Average 1.8%
-
-16.0%
-
-12.9%
-
-5.2%
-
-–11.6%
-
-1.9
-
-0.7
-
-0.5
-
-–0.8
-
-
-
-Currencies
-
-AUD Dec-77
-
-–0.3%
-
-1.2%
-
-–5.2%
-
-–0.5%
-
-1.9%
-
-0.3
-
-–1.3
-
-–0.1
-
-0.6
-
-
-
-GBP Dec-72
-
-–0.5%
-
-7.9%
-
-–6.9%
-
-–15.5%
-
-–39.1%
-
-1.1
-
-–0.7
-
-–1.8
-
-–3.3
-
-
-
-EUR Dec-72
-
-1.4%
-
-13.9%
-
-3.0%
-
-5.4%
-
-–6.4%
-
-3.3
-
-0.6
-
-0.5
-
-–0.6
-
-
-
-JPY Dec-72
-
-0.4%
-
-1.9%
-
-4.8%
-
-9.8%
-
-–10.6%
-
-0.5
-
-1.4
-
-0.9
-
-–1.0
-
-
-
-CHF Dec-72
-
-2.0%
-
-5.8%
-
-–1.8%
-
-0.4
-
-–0.2
-
-
-
-Sector Average 0.6%
-
-6.2%
-
-–1.1%
-
-1.0%
-
-–11.2%
-
-1.3
-
-0.0
-
-0.0
-
-–0.9
-
-
-
-Bond Futures
-
-JGB Aug-75
-
-0.1%
-
-6.0%
-
-–1.9%
-
-–2.9%
-
-–2.2%
-
-2.7
-
-–0.6
-
-–0.9
-
-–0.5
-
-
-
-US 10Y Note Aug-72
-
-–1.9%
-
-4.7%
-
-–3.8%
-
-–5.6%
-
-–6.6%
-
-0.7
-
-–0.6
-
-–0.8
-
-–0.7
-
-
-
-Sector Average –2.4%
-
-5.4%
-
-–2.9%
-
-–4.2%
-
-–4.4%
-
-1.7
-
-–0.6
-
-–0.8
-
-–0.6
-
-
-
-We find the same patterns broadly hold, albeit with some slightly more dramatic results due to smaller sample sets and a generally volatile period. All markets except the Australian dollar (which only has data for five years in this test) show the same pattern of positive carry, positive trend outperforming negative carry, negative trend. In our view, this analysis provides ample evidence in other regimes that the baseline strategy of being on the positive side of the trend and positive carry is indeed the superior strategy.
-
-
-
-
-
-Conclusions
-
 
 In this paper we first identified that the returns to carry and trend are robust over periods and asset classes. In particular, the combination of positive-carry and positive-trend positions is without exception better than negative-carry and negative-trend positions over each historical period and for (almost) every asset class and across rate regimes. In addition, we find that while carry in itself is a positive expected return strategy, positive-trend strategies can match and even exceed positive-carry strategies over a wide combination of periods and assets, but the best combination ex-ante is to build portfolios that democratically harvest the best trends and best carry.
 
@@ -20647,6206 +15857,3 @@ Your questions were excellent questions. I enjoyed this very much.
 
 Vernon Smith Nobel Prize in Economics
 
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-
-Ep. 516 Wesley Gray
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-Ep. 507 Lanny Bassham
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-Ep. 505 Daniel Crosby
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-Ep. 503 John Miller
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-Ep. 499 Jenny Blake
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-Ep. 498 Norton Reamer
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-Ep. 495 Ted Parkhill
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-Ep. 493 Adam Khoo
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-Ep. 491 Brian Christian
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-Ep. 489 Chris Voss
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-Ep. 487 Robert Cialdini
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-Ep. 485 Jared Dillian
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-Ep. 483 Paul Tough
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-Ep. 481 Chris Zook
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-Ep. 479 Zen DeBrucke
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-Ep. 477 Morgan Wright
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-Ep. 475 Chase Jarvis
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-Ep. 473 Chris Lochhead
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-Ep. 471 Emma Seppala
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-Ep. 467 David Burkus
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-Ep. 465 Sunrise Capital
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-Ep. 461 Robin Hanson
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-Ep. 459 Tucker Max
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-Ep. 457 Amy Herman
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-Ep. 456 Josh Hawes
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-Ep. 455 Ryan Holiday
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-Ep. 453 Daniel Shapiro
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-Ep. 451 Daehee Park
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-Ep. 449 Neil Pasricha
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-Ep. 448 Mike Lofgren
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-Ep. 445 Parag Khanna
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-Ep. 443 Simon Black
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-Ep. 441 Jesse Lawler
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-Ep. 437 Anders Ericsson
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-Ep. 436 Tom Bilyeu
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-Ep. 435 Steven Pinker
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-Ep. 431 Bill Bonner
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-Ep. 429 Jim Rogers
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-Ep. 427 Michael Ellsberg
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-Ep. 425 Philip Tetlock
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-Ep. 423 Angus Deaton
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-Ep. 405 Didier Sornette
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-Ep. 403 Barbara Fredrickson
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-Ep. 402 Charles Faulkner
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-Ep. 401 Ben Carlson
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-Ep. 400 Tom Basso
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-Ep. 399 Brett Steenbarger
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-Ep. 396 Kathleen Eisenhardt
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-Ep. 395 Rob Walling
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-Ep. 391 Charles Poliquin
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-Ep. 385 Paul Slovic
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-Ep. 383 Lawrence McMillan
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-Ep. 377 Annie Duke
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-Ep. 375 Mark Sleeman
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-Ep. 373 Lasse Pedersen
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-Ep. 371 Alexander Ineichen
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-Ep. 368 Taylor Pearson
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-Ep. 365 Chris Clarke
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-Ep. 363 Blair Hull
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-Ep. 361 Francisco Vaca
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-Ep. 359 Campbell Harvey
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-Ep. 357 Jonathan Fader
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-Ep. 355 Ed Seykota
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-Ep. 353 Steve Burns
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-Ep. 352 Tim Larkin
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-Ep. 350 Michael Melissinos
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-Ep. 349 Donald MacKenzie
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-Ep. 347 Kathryn Kaminski
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-Ep. 345 Spyros Makridakis
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-Ep. 344 Martin Lueck
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-Ep. 343 Ryan Holiday
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-Ep. 342 Victor Ricciardi
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-Ep. 341 Michael Dever
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-Ep. 340 Tim Ferriss
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-Ep. 339 Tim Price
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-Ep. 338 K. D. Angle
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-Ep. 337 William Ury
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-Ep. 336 Colin Camerer
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-Ep. 333 Gary Dayton
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-Ep. 332 Brian Proctor
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-Ep. 331 Douglas Emlen
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-Ep. 330 Nigol Koulajian
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-Ep. 329 Terrance Odean
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-Ep. 328 Robert Seawright
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-Ep. 327 Susan Polgar
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-Ep. 324 David Stockman
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-Ep. 322 Sophia Roosth
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-Ep. 320 Mike Shell
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-Ep. 319 Salem Abraham
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-Ep. 318 Christopher Chabris
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-Ep. 316 Gary Antonacci
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-Ep. 315 Michael Mauboussin
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-Ep. 314 Peter Larson
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-Ep. 310 Daniel Simons
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-Ep. 309 Mark Mobius
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-Ep. 307 Bryan Caplan
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-Ep. 302 Z. Hermaszewski
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-Ep. 301 Jim Rogers
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-Ep. 300 Travis Jamison
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-Ep. 298 Emanuel Derman
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-Ep. 297 Gabriele Oettingen
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-Ep. 296 Ewan Kirk
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-Ep. 295 Gerd Gigerenzer
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-Ep. 294 Nigol Koulajian
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-Ep. 292 Chris Cruden
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-Ep. 291 Steven Kotler
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-Ep. 290 Mark Rzepczynski
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-Ep. 287 Toby Crabel
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-Ep. 286 Alex Greyserman
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-Ep. 285 Anthony Todd
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-Ep. 284 Jason Fried
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-Ep. 282 Kathryn Kaminski
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-Ep. 281 Vineer Bhansali
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-Ep. 279 Mark Broadie
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-Ep. 278 Larry Swedroe
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-Ep. 275 Joel Mokyr
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-Ep. 274 Guy Kawasaki
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-Ep. 273 Rande Howell
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-Ep. 270 Laurie Santos
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-Ep. 269 Robert Aumann
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-Ep. 268 Gregory Morris
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-Ep. 267 Dennis Gartman
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-Ep. 265 Leo Melamed
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-Ep. 264 John H. Cochrane
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-Ep. 263 Meir Statman
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-Ep. 262 Terry Burnham
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-Ep. 261 Andy Puddicombe
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-Ep. 260 Sally Hogshead
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-Ep. 259 Bucky Isaacson
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-Ep. 258 Megan McArdle
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-Ep. 257 Cullen Roche
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-Ep. 256 Mike Harris
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-Ep. 255 Tyler Cowen
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-Ep. 254 William Poundstone
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-Ep. 253 Perry Kaufman
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-Ep. 252 Ben Hunt
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-Ep. 250 Hersh Shefrin
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-Ep. 248 Mark Miller
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-Ep. 247 Van Tharp
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-Ep. 246 David Ryan
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-Ep. 245 Jerry Parker
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-Ep. 244 Walter Williams
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-Ep. 242 Jean-Philippe Bouchaud
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-Ep. 240 Nir Eyal
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-Ep. 239 Brett Steenbarger
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-Ep. 238 Larry Hite
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-Ep. 237 Sharon Moalem
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-Ep. 236 Robin Hanson
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-Ep. 235 Harry Markowitz
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-Ep. 234 Ryan Holiday
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-Ep. 230 Mark Minervini
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-Ep. 227 Justin Fox
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-Ep. 226 Larry Tentarelli
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-Ep. 225 Thomas Gilovich
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-Ep. 224 Tom Dorsey
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-Ep. 223 Marc Faber
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-Ep. 222 Martin Bergin
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-Ep. 221 Howard Lindzon
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-Ep. 220 Victor Sperandeo
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-Ep. 219 Carl Richards
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-Ep. 215 Al Abaroa
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-Ep. 212 Daniel Kahneman
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-Ep. 211 John Bollinger
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-Ep. 205 Chris Ducker
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-Ep. 203 Bobby Casey
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-Ep. 202 Barry Schwartz
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-Ep. 197 Jack Horner
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-Ep. 194 Dan Ariely
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-Ep. 193 Gerd Gigerenzer
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-Ep. 185 Tom DeMark
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-Ep. 184 Cal Newport
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-Ep. 183 Yaron Brook
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-Ep. 178 Vernon Smith
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-Ep. 177 Brad Rotter
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-Ep. 175 Dylan Evans
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-Ep. 168 Larry Williams
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-Ep. 166 Harry Binswanger
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-Ep. 165 Tom O’Connell
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-Ep. 164 Richard Noble
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-Ep. 162 Tim Dyer
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-Ep. 160 Peter Borish
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-Ep. 152 Dan Andrews
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-Ep. 144 Jon Boorman
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-Ep. 140 Tom Asacker
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-Ep. 139 Steve Burns
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-Ep. 134 Brendan Moynihan
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-Ep. 121 Jason Russell
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-Ep. 112 Larry Tentarelli
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-Ep. 111 Nick Radge
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-Ep. 090 Richard Weissman
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-Ep. 089 Tadas Viskanta
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-Ep. 085 Barry Ritholtz
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-Ep. 080 Robert Greene
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-Ep. 076 Jack Schwager
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-Ep. 073 Peter L. Brandt
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-Ep. 068 Mark Shore
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-Ep. 056 Steve Brechtel
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-Ep. 049 David Cheval
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-Ep. 048 Michael Gibbons
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-Ep. 046 Ralph Vince
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-Ep. 033 David Stendahl
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-Ep. 029 Mike Dever
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-Ep. 022 Mike Aponte
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-Ep. 017 James Rohrbach
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-Ep. 011 Tim Pickering
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-Ep. 007 Michael Shannon
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-Ep. 002 Bob Pardo
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-
-
-Michael Covel’s podcast is great for those looking for alternative views on the market, those who are tired of hearing the same old stories told on CBNC and other traditional outlets. This is highly recommended if you are looking to expand your mind in investing. Covel has had some incredible guests, to include multiple Nobel Prize winners and world-famous investors.
-
-Wall Street Journal
-
-People don’t want more information. They are up to their eyeballs in information. They want faith. Faith in you, your goals, your success and in the story you tell.
-
-Unknown
-
-Here’s the essential conundrum: investing requires us to decide how to position for future developments, but the future isn’t knowable.
-
-Howard Marks
-
-Have a great guest idea? Send an e-mail: www.trendfollowing.com/contact.
-
-
-
-
-
-Endnotes
-
-
-Preface
-
-
-1. Ernest Shackleton, “Men Wanted (advertisement),” Times, London, 1913.
-
-2. Timothy W. Martin, “What Does Nevada’s $35 Billion Fund Manager Do All Day? Nothing,” Wall Street Journal, October 19, 2016, www.wsj.com/articles/what-does-nevadas-35-billion-fund-manager-do-all-day-nothing- 1476887420.
-
-3. Jason Zweig, “Making Billions with One Belief: The Markets Can’t Be Beat,” Wall Street Journal, October 20, 2016, www.wsj.com/articles/making-billions-with-one-belief-the-markets-cant-be-beat-1476989975.
-
-4. “Efficient Market Hypothesis,” Wikipedia, last modified December 11, 2016, https://en.wikipedia.org/wiki/Efficient-market_hypothesis.
-
-5. Jean-Philippe Bouchaud and Damien Challet, “Why Have Asset Price Properties Changed So Little in 200 Years,” May 2, 2016.
-
-6. Jean-Philippe Bouchaud, “Economics Needs a Scientific Revolution,” Capital Fund Management, December 1, 2008.
-
-7. David Harding, “Efficient Market Theory: When Will It Die,” Winton Capital Management, February 2016.
-
-8. “David Harding (financier),” Wikipedia, last modified December 11, 2016, https://en.wikipedia.org/wiki/David_Harding.
-
-9. Harding, “Efficient Market Theory.”
-
-10. Katie Allen, “Nobel Prize-Winning Economists Take Disagreement to Whole New Level,” The Guardian, December 12, 2013, www.theguardian.com/business/2013/dec/10/nobel-prize-economists-robert-shiller-eugene-fama.
-
-11. David Harding, “Efficient Market Theory: When Will It Die,” Winton Capital Management (February 2016).
-
-12. Van K. Tharp, Trade Your Way to Financial Freedom (New York: McGraw-Hill, 1999).
-
-13. Richard D. Donchian, “Trend-Following Methods in Commodity Price Analysis,” Commodity Year Book (1957), 35.
-
-14. Ari Levine and Lasse Heje Pedersen, “Which Trend Is Your Friend,” Financial Analysts Journal 72, no. 3 (May/June 2016).
-
-15. Miles Kimball, “Robert Shiller: Against the Efficient Markets Theory,” Confessions of a Supply-Side Liberal (blog), April 14, 2014, http://blog .supplysideliberal.com/post/82659078132/robert-shiller-against-the-efficient-markets.
-
-16. John Plender, “A New Paradox Found in Markets Theory,” Financial Times, December 9, 2012, www.ft.com/content/8e2ae5b2-3e14-11e2-91cb-00144feabdc0.
-
-17. Eugene F. Fama and Kenneth R. French, “Q&A: Market Timing with Moving Averages,” Fama/French Forum, https://famafrench.dimensional.com/questions-answers/qa-market-timing-with-moving-averages.aspx.
-
-18. Eric Johnson, “Benchmark’s Bill Gurley Says He’s Still Worried about a Bubble,” Recode, September 12, 2016, www.recode.net/2016/9/12/12882780/bill-gurley-benchmark-bubble-venture-capital-startups-uber.
-
-
-
-
-
-Chapter 1
-
-
-1. Ludwig von Mises, Human Action: A Treatise on Economics (4th rev. ed.) (Irvington-on-Hudson, NY: The Foundation for Economic Education, 1996).
-
-2. Robert Koppel, The Intuitive Trader (Hoboken, NJ: John Wiley & Sons, Inc., 1996), 88.
-
-3. von Mises, Human Action.
-
-4. George Francis Train, Young America on Wall Street (London: Sampson Low, 1857), 209.
-
-5. Arthur Crump, The Theory of Stock Exchange Theory (New York: S. A. Nelson, 1903), 50.
-
-6. Albert Williams, How to Win and How to Lose (Chicago: 1883).
-
-7. Ibid.
-
-8. The Art of Investing (New York: Appleton, 1888).
-
-9. John Hill Jr., Gold Bricks of Speculation (Chicago: Lincoln Book Concern, 1904).
-
-10. Louis Guenther, Investments and Speculation (Chicago: La Salle Extension University, 1910), 121.
-
-11. G. C. Selden, Psychology of the Stock Market (New York: Ticker Publishing Company, 1912), 12.
-
-12. Wall Street: Money Never Sleeps, directed by Oliver Stone (Los Angeles: 20th Century Fox, 2010).
-
-13. Jack Schwager, Market Wizards: Interviews with Top Traders (New York: HarperCollins, 1993).
-
-14. von Mises, Human Action.
-
-15. Keith Campbell, “Barclay Managed Futures Report,” Barclay Managed Futures Report 3, no. 3 (third quarter 1992), 3.
-
-16. Allison Colter, “Dow Jones” (July 13, 2001).
-
-17. “Trading System Review” (Futures Industry Association Conference, November 2, 1994).
-
-18. Jack Schwager, Getting Started in Technical Analysis (Hoboken, NJ: John Wiley & Sons, Inc., 1999).
-
-19. “The History of the Motley Fool,” Fool.com, November 4, 2003.
-
-20. “The State of the Industry,” Managed Account Reports, Inc. (June 2000).
-
-21. John Allen Paulos, A Mathematician Plays the Stock Market (New York: Basic Books, 2003), 47.
-
-22. “Quantitative Strategy: Does Technical Analysis Work?” Equity Research, Credit Suisse First Boston (September 25, 2002).
-
-23. Bob Bryan, “RED ALERT—Get Ready for a ‘Severe Fall’ in the Stock Market, HSBC says,” Business Insider, October 12, 2016, www.businessinsider.com/hsbc-red-alert-get-ready-for-a-severe-fall-in-the-stock-market-2016-10.
-
-24. Martin Estlander, “Presentation for the Association of Provident Fund of Thailand & Partners” (Association of Provident Fund of Thailand & Partners, Bangkok, February 26, 2015).
-
-25. Mebane Faber, “A Quantitative Approach to Tactical Asset Allocation,” The Journal of Wealth Management (Spring 2007).
-
-26. Daniel P. Collins, “Kevin Bruce: Improving on a Passion,” Futures (October 2003).
-
-27. “Disclosure Document,” John W. Henry & Company, Inc. (August 22, 2003).
-
-28. Ibid.
-
-29. Carla Cavaletti, “Top Traders Ride 1996 Trends,” Futures (March 1997), 68.
-
-30. Jack Schwager, Getting Started in Technical Analysis (Hoboken, NJ: John Wiley & Sons, Inc., 1999).
-
-31. Ewan Kirk, “Ewan Kirk of Cantab on Trend Following,” Trend Following (blog), August 15, 2016, www.trendfollowing.com/2016/08/15/ewan-kirk-cantab-trend-following/.
-
-32. Mathew Bradbard, “Q&A with Todd Hurlbut and Ted Parkhill for Incline Investment Management,” RCM Futures—Manager’s Corner, www.rcmfutures .com/managed-futures/incline-investment.
-
-33. Morningstar, “Interview: Cliff Asness Explains Why He Started a Managed Futures Fund,” Business Insider, March 5, 2010, www.businessinsider .com/cliff-asness-new-fund-is-for-wimps-who-cant-handle-the-market-swings-2010-3.
-
-34. Jack Schwager, Hedge Fund Market Wizards (Hoboken, NJ: John Wiley & Sons, Inc., 2012).
-
-35. Ginger Szala, “Abraham Trading: Trend Following Earns Texas Sized Profits,” Futures (March 1995), 61.
-
-36. Desmond MacRae, “Valuing Trend-Followers’ Returns,” Managed Account Reports, No. 242 (April 1999), 12.
-
-37. John W. Henry (presentation given to financial consultants, November 17, 2000).
-
-38. John W. Henry (presentation, Geneva, Switzerland, September 15, 1998).
-
-39. Charles Faulkner, Futures 22, no. 12 (November 1993), 98.
-
-40. Patrick Welton, “Has Trend Following Changed,” AIMA Newsletter (June 2001).
-
-41. Morton S. Baratz, The Investor’s Guide to Futures Money Management (Columbia, MD: Futures Publishing Group, 1984).
-
-42. Guest Article, Managed Account Reports 249 (November 1999), 9.
-
-43. John W. Henry (presentation given to financial consultants, November 17, 2000).
-
-44. Brian Hurst, Yao Hua Ooi, and Lasse H. Pedersen, “A Century of Evidence on Trend-Following Investing,” AQR Capital Management (Fall 2014).
-
-45. Peter Borish, “Upstairs/Downstairs Seminar with Tom Baldwin,” Futures Industry Association (1994).
-
-46. “Performance Review,” John W. Henry & Company (February 1999).
-
-47. William Eckhardt, “Tass Twenty Traders Talk,” (presentation, Montreal Ritz Carlton Hotel, Montreal, Canada, June 29, 1996).
-
-48. Schwager, Market Wizards.
-
-49. Riva Atlas, “Macro, Macro Man,” Institutional Investor Magazine (1996).
-
-50. Robert Murray, “Trend Following: Performance, Risk and Correlation Characteristics” (white paper), Graham Capital Management.
-
-51. Ibid.
-
-52. Christopher Cruden, “Trends in Currency Markets: Which Way the $?” AIMA Newsletter (June 2002).
-
-53. “The Trading Tribe” (forum response), The Trading Tribe, www.seykota .com/tribe/.
-
-54. Mary Greenebaum, “Funds: The New Way to Play Commodities,” Fortune (November 19, 1979).
-
-55. Carol Dweck, “What Is Mindset,” Mindset, accessed December 17, 2016, http://mindsetonline.com/whatisit/about/.
-
-56. Brett N. Steenbarger, The Psychology of Trading (Hoboken, NJ: John Wiley & Sons, Inc., 2002), 316–17.
-
-57. Brenda Ueland, How to Write, 10th ed. (New York: Graywolf Press, 1997).
-
-58. Bruce Cleland, “Campbell and Company,” Futures (March 2004): 72.
-
-59. David Whitford, “Why Owning the Boston Red Sox Is Like Running a Successful Hedge Fund,” Fortune Small Business (October 25, 2003).
-
-60. “The Whizkid of Futures Trading,” Businessweek, December 6, 1982, 102.
-
-61. Van Tharp, Super Trader: Make Consistent Profits in Good and Bad Markets (New York: McGraw-Hill Education, 2010).
-
-
-
-
-
-Chapter 2
-
-
-1. Jim Rogers, Investment Biker (New York: Random House, 1994).
-
-2. Thomas Friedman, The Lexus and the Olive Tree (New York: Farrar, Straus and Giroux, 1999).
-
-3. Leah McGrath Goodman, Trader Monthly, www.traderdaily.com/magazine/article/17115.html.
-
-4. Ibid.
-
-5. Ibid.
-
-6. David Harding, The Winton Papers, Winton Capital Management, www .wintoncapital.com.
-
-7. Daniel P. Collins, “Seeding Tomorrow’s Top Traders; Managed Money; Dunn Capital Management Provides Help to Commodity Trading Advisor Start-ups,” Futures 32, no. 6 (May 1, 2003): 67.
-
-8. J. R. Newman (ed.), The World of Mathematics (New York: Simon & Schuster, 1956).
-
-9. Jim Collins, Good to Great (New York: Harper Business, 2001).
-
-10. Robert Koppel, The Intuitive Trader (Hoboken, NJ: John Wiley & Sons, Inc., 1996), 74.
-
-11. The Reason Foundation,www.reason.org.
-
-12. Collins, “Seeding Tomorrow’s Top Traders.”
-
-13. Bill Dunn, “Tricycle Asset Management,” (presentation, Market Wizards Tour, May 15, 2003, Saskatoon, Saskatchewan).
-
-14. Ibid.
-
-15. Ibid.
-
-16. Amy Rosenbaum, “1990s Highs and Lows: Invasions, Persuasions and Volatility,” Futures 19, no. 14 (December 1990): 54.
-
-17. Andrew Osterland, “For Commodity Funds, It Was as Good as It Gets,” Businessweek, September 14, 1998.
-
-18. Jack Reerink, “Dunn: Slow Reversal Pays Off,” Futures 25, no. 3 (March 1996).
-
-19. Mike Mosser, “Learning from Legends,” Futures 29, no. 2 (February 2000).
-
-20. “How Managed Money Became a Major Area of the Industry; Futures Market,” Futures 21, no. 9 (July 1992): 52.
-
-21. No Country for Old Men, directed by Ethan Coen and Joel Coen (Santa Monica, CA: Miramax Films, 2007).
-
-22. Denise G. Shekerjian, “Uncommon Genius” (New York: Penguin, 1990).
-
-23. Mary Ann Burns, “Industry Icons Assess the Managed Futures Business,” Futures Industry Association (May/June 2003).
-
-24. Reerink, “Dunn: Slow Reversal Pays Off.”
-
-25. Carla Cavaletti, “Comeback Kids: Managing Drawdowns According to Commodity Trading Advisors,” Futures 27, no. 1 (January 1998): 68.
-
-26. “Dunn Capital Management Monthly Commentary,” Dunn Capital Management (February 2003).
-
-27. Keith Campbell, “Barclay Managed Futures Report,” Barclay Managed Futures Report 3, no. 3 (third quarter 1992): 2.
-
-28. “Job Wanted” (advertisement), Dunn Capital Management, www.monster .com.
-
-29. Ginger Szala, “John W. Henry: Long-Term Perspective,” Futures (1987).
-
-30. John W. Henry (presentation, Geneva, Switzerland, September 15, 1998).
-
-31. Lois Peltz, The New Investment Superstars (New York: John Wiley & Sons, Inc., 2001).
-
-32. Mary Ann Burns, “Industry Icons Assess the Managed Futures Business,” Futures Industry Association (May/June 2003).
-
-33. Mark S. Rzepczynski, “John W. Henry & Co. Year in Review,” (December 2000).
-
-34. Oliver Conway, cover story about John W. Henry & Company, Inc., Managed Derivatives (May 1996).
-
-35. W. H. Auden and L. Kronenberger, eds., The Viking Book of Aphorisms (New York: Viking, 1966).
-
-36. Michael Peltz, “John W. Henry’s Bid to Manage the Future,” Institutional Investor (August 1996).
-
-37. Szala, “John W. Henry.”
-
-38. Peltz, The New Investment Superstars.
-
-39. John W. Henry (presentation, November 17, 2000).
-
-40. Peltz, The New Investment Superstars.
-
-41. “2002 Year in Review,” John W. Henry & Company, Inc. (2002).
-
-42. “Futures Industry Association Conference Seminar,” Trading System Review (November 2, 1994).
-
-43. John W. Henry (presentation, Morgan Stanley Dean Witter Achieve Conference, Naples, Florida, November 17, 2000).
-
-44. Azeez Mustapha, “Leda Braga: A High Earning Hedge Fund Manager,” ADVFN Financial News, May 8, 2014, http://uk.advfn.com/newspaper/azeez-mustapha/26204/leda-braga-a-high-earning-hedge-fund-manager.
-
-45. John W. Henry (presentation, Geneva, Switzerland, September 15, 1998).
-
-46. Ibid.
-
-47. Ibid.
-
-48. FIA Research Division dinner, New York, April 20, 1995.
-
-49. “The Alternative Files, History of Managed Futures,” Attain Capital Management (January 2014).
-
-50. Jack Schwager, Market Wizards: Interviews with Top Traders (New York: Harper Business, 1989), 172.
-
-51. “The Trading Tribe” (forum response), The Trading Tribe, www.seykota .com/tribe/.
-
-52. E-mail, www.TurtleTrader.com.
-
-53. Daniel P. Collins, “Long-Term Technical Trend-Following Method for Managed Futures Programs,” Futures 30, n. 14 (November 2001): 22.
-
-54. Ed Seykota, “The Trading Tribe,” www.seyokota.com/tribe/.
-
-55. Thom Hartle, ed., “Ed Seykota of Technical Tools,” Technical Analysis of Stocks & Commodities 10, no. 8 (August 1992): 328–31. (Used with permission; www.traders.com.)
-
-56. Ibid.
-
-57. Ibid.
-
-58. Ibid.
-
-59. Shawn Tully, “Princeton’s Rich Commodity Scholars,” Fortune, February 9, 1981, 94.
-
-60. “The Trading Tribe” (forum response), The Trading Tribe, www.seykota .com/tribe/.
-
-61. “System Dynamics,” last modified June 23, 1997, http://web.mit.edu/sysdyn/sd-intro/.
-
-62. J. L. Kelly Jr., “A New Interpretation of Information Rate,” Bell System Technical Journal (July 1956): 917–26.
-
-63. “The Trading Tribe” (forum response), The Trading Tribe, www.seykota .com/tribe/.
-
-64. Jack Reerink, “The Power of Leverage,” Futures 24, no. 4 (April 1995): 59.
-
-65. Gibbons Burke, “How to Tell a Market by Its Covers: Financial Market Predictions Based on Magazine Covers,” Futures 22, no. 4 (April 1993): 30.
-
-66. Your Trading Edge, www.yte.com.au.
-
-67. Joe Niedzielski, “Wild Market Swings Take Toll on Commodity Trading Advisers,” Dow Jones Newswires, April 25, 2000.
-
-68. I. Gordon and S. Sorkin, eds., The Armchair Science Reader (New York: Simon & Schuster, 1959).
-
-69. Darrell R. Jobman, “How Managed Money Became a Major Area of the Industry,” Futures 21, no. 9 (July 1992): 52.
-
-70. “Campbell & Company (presentation, excerpt),” Futures Industry Association Conference.
-
-71. Mary Ann Burns, “Industry Icons Assess the Managed Futures Business,” Futures Industry Association (May/June 2003).
-
-72. “Value of Adding Managed Futures” (marketing documents), Campbell & Company.
-
-73. “2003 Disclosure Document,” Campbell & Company.
-
-74. Desmond McRae, “31-Year Track Record of 18.1%,” Managed Futures (March 2003).
-
-75. “Barclay Managed Futures Report,” Barclay Trading Group, Ltd. 2, no. 3 (third quarter 1991): 2.
-
-76. The Futures and Industry Association’s Future and Options Expo ’98, Sheraton Chicago Towers & Hotel, Chicago, October 14–16, 1998.
-
-77. Ibid.
-
-78. Ibid.
-
-79. Ibid.
-
-80. Ibid.
-
-81. Chuck Epstein, “The World According to J. Parker,” Managed Account Reports (November 1998).
-
-82. “Barclay Managed Futures Report,” Barclay Trading Group, Ltd. 2, no. 3 (third quarter 1991): 7.
-
-83. Ibid.
-
-84. Simon Romero, “A Homespun Hedge Fund, Tucked Away in Texas,” New York Times, December 28, 2003, 1.
-
-85. Futures (March 1995).
-
-86. Romero, “A Homespun Hedge Fund.”
-
-87. “Program Description: Trading Methods and Strategies,” Abraham Trading Company, www.abrahamtrading.com.
-
-88. Ayn Rand, The Fountainhead (New York: Bobbs-Merrill, 1943).
-
-89. Romero, “A Homespun Hedge Fund.”
-
-90. Jack Schwager, Market Wizards: Interviews with Top Traders (New York: New York Institute of Finance, 1989).
-
-91. Stanley W. Angrist, “Commodities: Winning Commodity Traders May Be Made, Not Born,” Wall Street Journal, September 5, 1989.
-
-92. Greg Burns, “Rich Dennis: A Gunslinger No More,” Businessweek, April 7, 1997.
-
-93. Susan Abbott, “Richard Dennis: Turning a Summer Job into a Legend,” Futures, September 1983, 58.
-
-94. Ibid., 59.
-
-95. Ibid., 57.
-
-96. Ibid., 58.
-
-97. Paul Rabar, “Managed Money: Capitalizing on the Trends of 1990,” Futures 20, no. 3 (March 1991).
-
-98. Schwager, Market Wizards.
-
-99. Barbara Dixon, “Richard Donchian: Managed Futures Innovator and Mentor,” Futures Industry Association.
-
-100. William Baldwin, “Rugs to Riches (Section: The Money Men),” Forbes (March 1, 1982).
-
-101. Dixon, “Richard Donchian.”
-
-102. Ibid.
-
-103. Ibid.
-
-104. Baldwin, “Rugs to Riches.”
-
-105. Dixon, “Richard Donchian.”
-
-106. Baldwin, “Rugs to Riches.”
-
-107. “Futures Industry Association Review: Interview: Money Managers,” Futures Industry Association, www.fiafii.org.
-
-108. Barbara S. Dixon, “Discretionary Accounts,” Managed Account Reports, Report No. 20, no. 14: 5.
-
-109. Barbara S. Dixon, “Discretionary Accounts,” Managed Account Reports, Report No. 20, no. 14: 5.
-
-110. Edwin Lefèvre, “Reminiscences of a Stock Operator,” (New York: George H. Doran Company, 1923).
-
-111. Andrew Leckey, “Dabble, Don’t Dive, in Futures,” Chicago Tribune (October 2, 1986, C1).
-
-112. Dickson G. Watts, Speculation as a Fine Art (reprint, Flint Hill, Virginia: Fraser Publishing Co., 1997).
-
-113. Eric Johnson, “Benchmark’s Bill Gurley says he’s still worried about a bubble,” Recode (September 12, 2016), www.recode.net/2016/9/12/12882780/bill-gurley-benchmark-bubble-venture-capital-startups-uber.
-
-
-
-
-
-Chapter 3
-
-
-1. Sir Arthur Conan Doyle, The Adventures of Sherlock Holmes (New York: A. L. Burt, 1892).
-
-2. Alexander M. Ineichen, Absolute Returns (New York: John Wiley & Sons, Inc., 2003): 19.
-
-3. “Disclosure Document,” John W. Henry & Company, Inc. (August 22, 2003).
-
-4. “BMFR,” Barclay Trading Group (first quarter 2003).
-
-5. “International Traders Research Star Ranking System Explanation,” International Traders Research, http://managedfutures.com.
-
-6. Ludwig von Mises, Human Action: A Treatise on Economics, 4th rev. ed. (Irvington-on-Hudson, NY: The Foundation for Economic Education, 1996).
-
-7. Larry Harris, Trading and Exchanges: Market Microstructure for Practitioners (New York: Oxford University Press, 2003).
-
-8. David Greising, “How Managed Funds Managed to Do So Poorly,” Businessweek, November 23, 1992, 112.
-
-9. Daniel P. Collins, “The Return of Long-Term Trend Following,” Futures 32, no. 4 (March 2003): 68–73.
-
-10. Desmond McRae, “Top Traders,” Managed Derivatives (May 1996).
-
-11. “Trend Following: Performance, Risk and Correlation Characteristics” (white paper), Graham Capital Management.
-
-12. Larry Harris, Trading and Exchanges: Market Microstructure for Practitioners (New York: Oxford University Press, 2003).
-
-13. “Schroder GAIA BlueTrend,” Schroders Expert, Issue 1 (February 2016).
-
-14. Ben Warwick, “The Holy Grail of Managed Futures,” Managed Account Reports, no. 267 (May 2001): 1.
-
-15. “The Trading Tribe” (forum response), The Trading Tribe, www.seykota .com/tribe/.
-
-16. “Drawdowns,” Institutional Advisory Services Group, www.iasg.com.
-
-17. Laurie Kaplan, “Turning Turtles into Traders,” Managed Derivatives (May 1996).
-
-18. “Marketing Materials,” Dunn Capital Management, Inc.
-
-19. Carla Cavaletti, “Comeback Kids: Managing Drawdowns According to Commodity Trading Advisors,” Futures 27, no. 1 (January 1998): 68.
-
-20. Michael Peltz, “John W. Henry’s Bid to Manage the Future,” Institutional Investor (August 1996).
-
-21. D. Harding, G. Nakou, and A. Nejjar, “The Pros and Cons of Drawdown as a Statistical Measure of Risk for Investments,” AIMA Journal (April 2003): 16–17.
-
-22. Cavaletti, “Comeback Kids.”
-
-23. Ibid.
-
-24. Thomas F. Basso, “When to Allocate to a CTA?—Buy Them on Sale” (1997).
-
-25. InvestorWords. See http://investorwords.com.
-
-26. “New Fans for Managed Futures,” Euromoney Institutional Investor PLC (February 1, 2003): 45.
-
-27. Julius A. Staniewicz, “Learning to Love Non-Correlation. Investor Support,” John W. Henry & Company.
-
-28. Ginger Szala, “Tom Shanks: Former ‘Turtle’ Winning Race the Hard Way,” Futures 20, no. 2 (January 15, 1991): 78.
-
-29. Carla Cavaletti, “Turtles on the Move,” Futures 27 (June 1998): 79.
-
-30. Laurie Kaplan, “Turning Turtles into Traders,” Managed Derivatives (May 1996).
-
-31. Harris, Trading and Exchanges.
-
-32. Larry Harris, “The Winners and Losers of the Zero-Sum Game: The Origins of Trading Profits, Price Efficiency and Market Liquidity (Draft 0.911)” (Los Angeles: University of Southern California, May 7, 1993).
-
-33. Ibid.
-
-34. Danny Hakim, “Huge Losses Move Soros to Revamp Empire,” New York Times, May 1, 2000.
-
-35. Enoch Cheng, “Of Markets and Morality . . .” Café Bagola (blog), August 27, 2002, https://web.archive.org/web/20041019121710/.
-
-36. Ayn Rand, “Philosophical Detection,” Philosophy: Who Needs It? (Indianapolis, IN: Bobbs-Merrill, 1998).
-
-37. Lawrence Parks (presentation, Hearing on Hedge Funds before the Subcommittee on Capital Markets, Securities, and GSEs; House Committee on Banking and Financial Services, United States House of Representatives, March 3, 1999).
-
-38. Hakim, “Huge Losses.”
-
-39. Ibid.
-
-40. “Merrill Lynch & Co. Inc. Research Reports Securities Litigation, 02 MDL 1484” (Ruling by Federal Judge Milton Pollack dismissing class-action claims brought against Merrill Lynch & Co. and its former analyst Henry Blodgett).
-
-41. Gregory J. Millman, “The Chief Executive,” (January–February 2003).
-
-42. Bill Dries, Futures (August 1995): 78.
-
-43. Mark Rzepczynski, “The Weatherstone Approach to Hedge Fund Investing,” Disciplined Systematic Global Macro Views (blog), October 13, 2016, http://mrzepczynski.blogspot.com/2016/10/the-weatherstone-approach-to-hedge-fund.html.
-
-
-
-
-
-Chapter 4
-
-
-1. Nassim Taleb, Fooled by Randomness (New York: Texere, 2001).
-
-2. Herb Greeenberg, “Answering the Question—Who Wins from Derivatives Losers,” San Francisco Chronicle, March 20, 1995, D1.
-
-3. Ibid.
-
-4. Alexander M. Ineichen, Absolute Returns (New York: John Wiley & Sons, Inc., 2003): 416.
-
-5. Michael J. Mauboussin and Kristen Bartholdson, “Integrating the Outliers: Two Lessons from the St. Petersburg Paradox,” The Consilient Observer 2, no. 2 (January 28, 2003).
-
-6. Jason Russell, www.acorn.ca.
-
-7. “Trend Following: Performance, Risk, and Correlation Characteristics” (white paper), Graham Capital Management (April 2013).
-
-8. William Poundstone, Fortune’s Formula: The Untold Story of the Scientific Betting System That Beat the Casinos and Wall Street (New York: Farrar, Straus & Giroux): 213.
-
-9. Thomas S. Y. Ho and Sang Bin Lee, The Oxford Guide to Financial Modeling (Oxford, UK: Oxford University Press, 2004): 559.
-
-10. Ginger Szala, “Barings Abyss,” Futures 24, no. 5 (May 1995): 68.
-
-11. Carolyn Cui and Ann Davis, “Some Trend-Following Funds Are Winners in Rough Market,” Wall Street Journal, November 5, 2008.
-
-12. Corporate brochure, John W. Henry & Company, Inc. (1998), www.jwh.com.
-
-13. Mark S. Rzepczynski, “President, John W. Henry and Co.” (presentation), www.jwh.com.
-
-14. Erin E. Arvedlund, “Swinging for the Fences: John W. Henry’s Managed Futures Funds Are Striking Out,” Barron’s, December 4, 2000.
-
-15. Presentation, John W. Henry and Co., November 17, 2000, www.jwh.com.
-
-16. Erin E. Arvedlund, “Whiplash! Commodity-Trading Advisers Post Sharp Gains,” Barron’s, January 15, 2001.
-
-17. “Fast Finish Makes 2000 a Winner,” Managed Account Reports, no. 263 (January 2001).
-
-18. Presentation, John W. Henry and Co., November 17, 2000, www.jwh.com.
-
-19. Pallavi Gogoi, “Placing Bets in a Volatile World,” Businessweek, September 30, 2002.
-
-20. “Enron Employee Feedback,” TurtleTrader.
-
-21. “Barclay Managed Futures Report,” Barclay Trading Group (fourth quarter 2002).
-
-22. Larry Swedroe, “Buckingham Asset Management,” www.bamstl.com/.
-
-23. “The Trading Tribe” (forum response), The Trading Tribe, www.seykota .com/tribe/.
-
-24. Paul Barr, “Trending Markets Lead to Profit: September 11 Example Will Go in Case Studies,” Money Management World (September 25, 2001).
-
-25. Trillion Dollar Bet, transcript, Nova, no. 2075 (February 8, 2000).
-
-26. Ibid.
-
-27. Kevin Dowd, “Too Big to Fail? Long-Term Capital Management and the Federal Reserve,” Cato Institute Briefing Paper, no. 52 (September 23, 1999).
-
-28. Lowenstein, When Genius Failed, 34.
-
-29. Ibid., 69.
-
-30. Ibid.
-
-31. Clay Harris and Wiliam Hall, “Top-Tier Departures Expected at UBS,” Financial Times: London Edition (October 2, 1998): 26.
-
-32. “The LTCM Crisis and Its Consequences for Banks and Banking Supervision,” Organization for Economic Cooperation and Development (June 1999).
-
-33. Jerry Parker (The Futures and Industry Association’s Future and Options Expo ’98, Sheraton Chicago Towers & Hotel, Chicago, Ill., October 14–16, 1998).
-
-34. John W. Henry (presentation, Geneva, Switzerland, September 15, 1998).
-
-35. Trillion Dollar Bet.
-
-36. “Black-Scholes Model,” Wikipedia, last modified December 14, 2016, https://en.wikipedia.org/wiki/Black--Scholes_model.
-
-37. Lowenstein, When Genius Failed, 71.
-
-38. Andrew Osterland, “For Commodity Funds, It Was as Good as It Gets,” Businessweek, September 14, 1998.
-
-39. John W. Meriwether, “Letter to Investors,” (September 1998).
-
-40. Trillion Dollar Bet.
-
-41. Bruce Cleland, “Campbell and Company, The State of the Industry,” Managed Account Reports, Inc. (June 2000).
-
-42. Robert Lenzner, “Archimedes on Wall Street,” Forbes (October 19, 1998).
-
-43. Kevin Dowd, “Too Big to Fail? Long-Term Capital Management and the Federal Reserve,” Cato Institute Briefing Paper, no. 52 (September 23, 1999).
-
-44. Malcolm Gladwell, “Blowing Up,” The New Yorker, April 22 and 29, 2002.
-
-45. G. K. Chesterton, The Scandal of Father Brown (London: Cassell and Company, 1935).
-
-46. W. B. Arthur, S. N. Durlaf, and D. A. Lane, eds., The Economy as an Evolving Complex System II, (Reading, MA: Addison-Wesley, 1997), 566.
-
-47. James Rickards, The Road to Ruin: The Global Elites’ Secret Plan for the Next Financial Crisis (London: Penguin, 2016).
-
-48. Dan Colarusso, “Gray Monday’s First Casualty: Famed Soros Confidant Victor Niederhoffer,” The Street (October 29, 1997), www.thestreet.com.
-
-49. Mark Etzkorn, “Bill Dunn and Pierre Tullier: The Long Run (Trader Profile),” Futures 26, no. 2 (February 1997).
-
-50. David Henry, USA Today, October 30, 1997.
-
-51. Victor Niederhoffer, Letter to shareholders.
-
-52. “Niederhoffer 1997 Performance,” Barclay Managed Futures Report.
-
-53. Etzkorn, “Bill Dunn and Pierre Tullier.”
-
-54. The Stark Report (second quarter 1997).
-
-55. Greg Burns, “Whatever Voodoo He Uses, It Works: Trader Victor Niederhoffer Is as Eccentric as He Is Contrarian,” Businessweek, February 10, 1997.
-
-56. Ibid.
-
-57. George Soros, Soros on Soros (New York: John Wiley & Sons, Inc., 1995).
-
-58. Victor Niederhoffer and Laurel Kenner, “Why the Trend Is Not Your Friend,” The Speculator: MSN Money, May 2, 2002, www.moneycentral.msn.com.
-
-59. Victor Niederhoffer and Laurel Kenner, Practical Speculation (Hoboken, NJ: John Wiley & Sons, Inc., 2003): 74.
-
-60. Ibid.
-
-61. Victor Niederhoffer, The Education of a Speculator (New York: John Wiley & Sons, Inc., 1997).
-
-62. Greg Burns, “Whatever Voodoo He Uses, It Works: Trader Victor Niederhoffer Is as Eccentric as He Is Contrarian,” Businessweek, February 10, 1997.
-
-63. Gladwell, “Blowing Up.”
-
-64. IFCI International Financial Risk Institute.
-
-65. Mark Hawley, “Dean Witter Managed Futures,” (presentation, Futures Industry Association Dinner, New York City, April 20, 1995).
-
-66. James Simons, The Greenwich Roundtable (June 17, 1999).
-
-67. John W. Henry (presentation, Geneva, Switzerland, September 15, 1998).
-
-68. Sharon Reier, “Easy to Beat Up, Hard to Kill,” The International Herald Tribune (March 23, 2002), www.iht.com.
-
-69. Ed Krapels, “Re-examining the Metallgesellschaft Affair and Its Implication for Oil Traders,” Oil & Gas Journal, March 26, 2001.
-
-70. Ibid.
-
-71. John Digenan et al., “Metallgesellschaft AG: A Case Study,” The Journal of Research and Ideas on Financial Markets and Trading.
-
-72. Lewis Carroll, Through the Looking Glass, 1872.
-
-73. “The Value of a JWH Investment as a Portfolio Diversifier” (marketing materials), John W. Henry and Company (September 1998).
-
-74. Arthur Conan Doyle, The Sign of Four (London and New York: Pitman and Sons, 1890).
-
-75. “Computers Challenge the Stockmarket Gurus,” The Economist, March 1987.
-
-76. Christopher L. Culp, Media Nomics, April 1995, 4.
-
-77. “The Coming Storm,” The Economist, February 17, 2004, www.economist .com/node/2440313.
-
-78. Emanuel Derman, The Journal of Derivatives (Winter, 2000): 64.
-
-79. Frederic Townsend, Futures (December 2000): 75.
-
-80. Rickards, The Road to Ruin.
-
-81. “Another Two Bites the Dust,” Derivative Strategies (May 16, 1994): 7.
-
-82. Luke Kawa and Andrea Wong, “Broken Indicators Mean It’s Growing Harder to Spot Troubles in the Market,” Bloomberg (October 19, 2016), www.bloomberg.com/news/articles/2016-10-19/wall-street-sees-graveyard-of-broken-indicators-in-reform-s-wake.
-
-
-
-
-
-Chapter 5
-
-
-1. Michael J. Mauboussin and Kristen Bartholdson, “The Babe Ruth Effect: Frequency versus Magnitude,” The Consilient Observer 1, no. 2 (January 29, 2002).
-
-2. Michael Lewis, Moneyball: The Art of Winning an Unfair Game (New York: W.W. Norton, 2003).
-
-3. Sam Caldarone, “Emotions Can Lie, Numbers Don’t,” The Varsity, October 17, 2016, http://thevarsity.ca/2016/10/17/emotions-can-lie-numbers-dont/.
-
-4. Leigh Steinberg, “Changing the Game: The Rise of Sports Analytics,” Forbes, August 18, 2015, www.forbes.com/sites/leighsteinberg/2015/08/18/changing-the-game-the-rise-of-sports-analytics/#724ae5c231b2.
-
-5. Lewis, Moneyball.
-
-6. Ibid.
-
-7. Earnshaw Cook, Percentage Baseball (Baltimore: Waverly Press, 1964).
-
-8. Rob Neyer, “A New Kind of Baseball Owner,” ESPN.com, August 15, 2002.
-
-9. “The Trading Tribe” (forum response), The Trading Tribe, www.seykota .com/tribe/.
-
-10. Richard Driehaus, “Unconventional Wisdom in the Investment Process” (presentation, 1994).
-
-11. John Dorschner, “Boca Raton, Fla.-Based Firm Is a Standout in Futures,” Miami Herald, January 27, 2001.
-
-12. Greg Burns, “Former ‘Turtle’ Turns Caution into an Asset,” Chicago Sun-Times, May 29, 1989, 33.
-
-13. Rob Neyer, “Examining the Art of Evaluating: Q&A with Michael Lewis,” ESPN.com, May 13, 2003.
-
-14. Lewis, Moneyball.
-
-15. Steinberg, “Changing the Game.”
-
-16. James Surowiecki, “The Buffett of Baseball,” The New Yorker, September 23, 2002.
-
-17. Rob Neyer, “Red Sox Hire James in Advisory Capacity,” ESPN.com, November 7, 2002.
-
-18. Bill James, “Red Sox Hire. Baseball Abstract,” USA Today, November 15, 2002.
-
-19. Surowiecki, “The Buffett of Baseball.”
-
-20. David Grabiner, “The Sabermetric Manifesto,” SeanLahman.com (1994), http://seanlahman.com/baseball-archive/sabermetrics/sabermetric-manifesto/.
-
-21. Caldarone, “Emotions Can Lie.”
-
-22. Bill James, 1981 Baseball Abstract (Bill James, 1981).
-
-23. Ibid.
-
-24. Ibid.
-
-25. Ben McGrath, “The Professor of Baseball,” The New Yorker, July 14, 2003, 38.
-
-26. New York Times, September 26, 2002.
-
-27. Neyer, “Red Sox Hire James.”
-
-28. Jon Birger, “Baseball by the Numbers,” Money, April 2003, 110.
-
-29. Ibid.
-
-30. Thomas Boswell, “Evaluation by Numbers Is Beginning to Add Up,” Washington Post, May 29, 2003, D1.
-
-31. Jon Birger, “Baseball by the Numbers,” Money, April 2003, 110.
-
-32. Neyer, “Red Sox Hire James.”
-
-33. Eric Perlmutter, “Little Not Big Enough for Sox,” The Brown Daily Herald, October 29, 2003.
-
-34. Michael Lewis, “Out of Their Tree,” Sports Illustrated, March 1, 2004, 7.
-
-35. Stephen Jay Gould, Triumph and Tragedy in Mudville: A Lifelong Passion for Baseball (New York: W.W. Norton, 2003): 176–7.
-
-36. Ibid.
-
-37. Jeff Merron, “The Worst Sports Moves of 2003,” ESPN.com.
-
-38. Sam Miller, “Are Statheads Responsible for the Most Exciting Postseason in Years?” ESPN.com (October 24, 2016), www.espn.com/mlb/story/_/id/17870355/are-statheads-responsible-most-exciting-postseason-years.
-
-39. Steinberg, “Changing the Game.”
-
-40. Ben Cohen, “The Golden State Warriors Have Revolutionized Basketball,” Wall Street Journal (April 6, 2016), www.wsj.com/articles/the-golden-state-warriors-have-revolutionized-basketball-1459956975.
-
-41. Ibid.
-
-42. Rob Arthur, “How Baseball’s New Data Is Changing Sabermetrics,” FiveThirtyEight (March 17, 2016), http://fivethirtyeight.com/features/how-baseballs-new-data-is-changing-sabermetrics/.
-
-43. Ibid.
-
-44. Bill Belichick, New England Patriots Press Conference, October 2016.
-
-45. Caldarone, “Emotions Can Lie.”
-
-46. Howard W. Eves, Mathematical Circles Squared (Boston: Prindle, Weber and Schmidt, 1972).
-
-
-
-
-
-Chapter 6
-
-
-1. Financial Trader 1, no. 7 (September/October 1994): 26.2.
-
-2. Jason Russell, www.acorn.ca.
-
-3. Brian Hurst, Yao Hua Ooi, and Lasse H. Pedersen, “Understanding Managed Futures,” AQR Capital Management (Winter 2010).
-
-4. Gerard Jackson, Brookesnews.com, April 21, 2003.
-
-5. Jason Zweig, “Do You Sabotage Yourself?” Business 2.0, May 2001.
-
-6. David Dreman, Contrarian Investment Strategies (New York: Simon & Schuster, 1998).
-
-7. Lao Tsu, “Verse XXXIII,” Tao Te Ching.
-
-8. Steven Pearlstein, “The New Thinking about Money Is That Your Irrationality Is Predictable,” Washington Post, January 27, 2002, H1.
-
-9. Daniel Goleman, “What Makes a Leader?” Harvard Business Review (1998).
-
-10. Harris Collingwood, “The Sink or Swim Economy,” New York Times, June 8, 2003.
-
-11. Jack D. Schwager, The New Market Wizards (New York: Harper Business, 1992).
-
-12. Ayn Rand, Atlas Shrugged (New York: Random House, 1957).
-
-13. Animal House, directed by John Landis (Universal City, CA: Universal Pictures, 1978).
-
-14. Daneen Skube, “Self Knowledge Keys,” The Seattle Times (2002).
-
-15. Futures 22, no. 12. (November 1993): 98.
-
-16. Alexis de Tocqueville, Democracy in America (New York: Vintage, 1959).
-
-17. Daniel Goleman, Emotional Intelligence (New York: Bantam, 1995).
-
-18. Goleman, “What Makes a Leader?”
-
-19. Ibid.
-
-20. Rand, Atlas Shrugged.
-
-21. Denise G. Shekerjian, Uncommon Genius (New York: Penguin Books, 1990).
-
-22. Goleman, “What Makes a Leader?”
-
-23. Tom Girard, “The Wizards Cast a Spell,” Financial Trader, No. 4 (July 1995).
-
-24. Gustave Le Bon, The Crowd: A Study of the Popular Mind (London: T. F. Unwin, 1925).
-
-25. Rand, Atlas Shrugged.
-
-26. Girard, “The Wizards Cast a Spell.”
-
-27. Ibid.
-
-28. Schwager, The New Market Wizards, 416.
-
-29. “The Trading Tribe” (forum response), The Trading Tribe, www.seykota .com/tribe/.
-
-30. Ludwig von Mises, Human Action (New Haven, CT: Yale University Press, 1963).
-
-31. Jack Schwager, Getting Started in Technical Analysis (New York: John Wiley & Sons, Inc., 1999).
-
-32. Robert Koppel, The Intuitive Trader (New York: John Wiley & Sons, Inc., 1996), 74.
-
-33. David Nusbaum, “Mind Games; Trading Behavior,” Futures 23, no. 6 (June 1994): 60.
-
-34. Michelle Conlin, Businessweek, June 30, 2003.
-
-35. Michael J. Mauboussin and Kristen Bartholdson, “All Systems Go: Emotion and Intuition in Decision-Making,” The Consilient Observer 3, no. 2 (January 27, 2004).
-
-36. Schwager, The New Market Wizards.
-
-37. Michael Crichton, The Lost World (New York: Knopf, 1995).
-
-38. Lee Kuan Yew.
-
-39. Alan Greenberg, Memos from the Chairman (New York: Workman, 1996).
-
-40. Anna Muoio, “All The Right Moves—If You See a Good Idea, Look for a Better One,” Fast Company, No. 24 (May 1999): 192.
-
-41. Jason Russell, www.acorn.ca.
-
-42. Robert B. Zajonc, “Feeling and Thinking: Preferences Need No Inferences,” American Psychologist (1980): 151–75.
-
-43. Antonio R. Damasio, Descartes’ Error: Emotion, Reason, and the Human Brain (New York: Avon, 1994), xii.
-
-44. David Warsh, “Paul Samuelson’s Secret,” Economic Principals (January 23, 2011), www.economicprincipals.com/issues/2011.01.23/1225.html.
-
-45. Shawn Tully, “Princeton’s Rich Commodity Scholars,” Fortune, February 9, 1981.
-
-46. Sam Carpenter, Work the System: The Simple Mechanics of Making More and Working Less (Austin, TX: Greenleaf, 2011).
-
-
-
-
-
-Chapter 7
-
-
-1. Lewis Carroll, Alice’s Adventures in Wonderland (1865).
-
-2. Gerd Gigerenzer and Peter M. Todd, Simple Heuristics That Make Us Smart (New York: Oxford University Press, 1999), 28.
-
-3. Robert Rubin (Harvard Commencement Address before the graduating class of 2001), www.treasury.gov/press-center/press-releases/Pages/rr3152 .aspx.
-
-4. Carla Fried, “The Problem with Your Investment Approach,” Business 2.0 (November 2003): 146.
-
-5. “The Trading Tribe” (forum response), The Trading Tribe, www.seykota .com/tribe/.
-
-6. Thomas A. Stewart, “How to Think with Your Gut,” Business 2.0 (November 2002), www.marketfocusing.com/b20_5.html.
-
-7. www.2think.org.
-
-8. Gerd Gigerenzer and Peter M. Todd, Simple Heuristics That Make Us Smart (New York: Oxford University Press, 1999): 14.
-
-9. Stephen Hawking, A Brief History of Time (New York: Bantam Books, 1988).
-
-10. Gigerenzer and Todd, Simple Heuristics, 358.
-
-11. Futures 22, no. 12 (November 1993): 98.
-
-12. Gigerenzer and Todd, Simple Heuristics, 361.
-
-13. Gerd Gigerenzer, “Smart Heuristics,” Edge Foundation, Inc. (March 31, 2003), www.edge.org/conversation/gerd_gigerenzer-smart-heuristics.
-
-14. Bruce Bower, “For Sweet Decisions, Mix a Dash of Knowledge with a Cup of Ignorance,” Science News 155, no. 22 (May 29, 1999), www.sciencenews.org.
-
-15. Mark Rzepczynski (presentation, New York Mercantile Exchange).
-
-16. Anna Muoio, “All The Right Moves—If You See a Good Idea, Look for a Better One,” Fast Company, No. 24 (May 1999): 192.
-
-17. Ari Levine and Lasse Heje Pedersen, Financial Analysts Journal 72, no. 3 (May/June 2016).
-
-18. “Market Commentary,” John W. Henry and Company.
-
-19. Daniel P. Collins, “Building a Stronger Fort,” Futures 21, no. 6 (May 1, 2003): 82.
-
-20. Gigerenzer, “Smart Heuristics.”
-
-21. Larry Swedroe, “Swedroe: A Persistent Kind Of Momentum,” ETF.com (September 16, 2016), www.etf.com/sections/index-investor-corner/ swedroe-persistent-kind-momentum.
-
-22. Clayton M. Christensen, The Innovator’s Dilemma (Boston: Harvard Business School Press, 1997).
-
-23. Tom Girard, “The Wizards Cast a Spell,” Financial Trader, No. 4 (July 1995).
-
-24. Michael J. Mauboussin and Kristen Bartholdson, “Be the House: Process and Outcome in Investing,” The Consilient Observer 2, no. 19 (October 7, 2003).
-
-25. J. Edward Russo and Paul J. H. Schoemaker, Winning Decisions (New York: Doubleday, 2002).
-
-26. Leigh Buchanan and Andrew O’Connell, “A Brief History of Decision Making,” Harvard Business Review (January 2006), https://hbr.org/2006/01/a-brief-history-of-decision-making.
-
-
-
-
-
-Chapter 8
-
-
-1. Thomas Harris, The Silence of the Lambs (New York: St. Martin’s Press, 1988).
-
-2. Webster’s Revised Unabridged Dictionary (Springfield, MA: G. C. Merriam, 1913).
-
-3. “The Trading Tribe” (forum response), The Trading Tribe, www.seykota .com/tribe/.
-
-4. Jessica James and Neil Johnson, “Physics and Finance. Visions: Briefing Papers for Policy Makers,” Institute of Physics and IOP Publishing Ltd. (1999–2000).
-
-5. Richard Feynman, “Feynman on Scientific Method,” (presentation, Cornell University, 1964), www.youtube.com/watch?v=EYPapE-3FRw.
-
-6. Pierre Simon, Marquis de Laplace, Theorie Analytique des Probabilites (Paris, Ve. Courcier, 1812).
-
-7. www.criticalthinking.org.
-
-8. Ibid.
-
-9. Darrell Huff, How to Take a Chance (New York: W. W. Norton, 1959).
-
-10. Manus J. Donahue III, “An Introduction to Chaos Theory and Fractal Geometry,” (1997).
-
-11. “Daniel Patrick Moynihan,” Wikipedia, last modified December 12, 2016, https://en.wikipedia.org/wiki/Daniel_Patrick_Moynihan.
-
-12. Gerd Gigerenzer, “Smart Heuristics,” Edge Foundation, Inc. (March 31, 2003), www.edge.org/conversation/gerd_gigerenzer-smart-heuristics.
-
-13. “Elementary Concepts in Statistics,” http://statsoftinc.com/textbook/stathome.html.
-
-14. National Institute of Standards and Technology, www.itl.nist.gov.
-
-15. Michael J. Mauboussin and Kristen Bartholdson, “A Tail of Two Worlds, Fat Tails and Investing,” The Consilient Observer 1, no. 7 (April 9, 2002).
-
-16. Ha Lux, “The Secret World of Jim Simons,” Institutional Investor 34, no. 11 (November 1, 2000): 38.
-
-17. Ibid.
-
-18. Jerry Parker, “The State of the Industry,” Managed Account Reports, Inc. (June 2000).
-
-19. Daniel P. Collins, “Chenier: Systematizing What Works (Trader Profile),” Futures 32, no. 9 (July 1, 2003): 86.
-
-20. Roger Lowenstein, Wall Street Journal, June 13, 2003.
-
-21. Benoit B. Mandelbrot, “A Multifractal Walk down Wall Street,” Scientific American 280, no. 2 (February 1999): 70–73.
-
-22. Larry Swedroe, Buckingham Asset Management, www.bamstl.com/.
-
-23. Ibid.
-
-24. Mark Rzepczynski, “Return Distribution Properties of JWH Investment Programs, Stock and Bond Indices, and Hedge Funds,” John W. Henry and Co., No. V (June 2000).
-
-25. National Institute of Standards and Technology,www.itl.nist.gov.
-
-26. Ibid.
-
-27. Jim Rogers, Investment Biker (New York: Random House, 1994).
-
-28. Larry S. Liebovitch, “Two Lessons from Fractals and Chaos,” Complexity 5, no. 4 (2000): 34–43.
-
-29. Per Bak, “Narrative Physics,” The Paula Gordon Show (February 1, 2000), www.paulagordon.com/shows/bak/.
-
-30. Donald H. Rumsfeld, “DoD News Briefing—Secretary Rumsfeld and Gen. Myers,” (U.S. Department of Defense, February 12, 2002), http://archive .defense.gov/Transcripts/Transcript.aspx?TranscriptID=2636.
-
-31. Bill Bonner, “Understanding the Nature of the Fat Tail Phenomenon,” American Writers and Artists Inc.
-
-
-
-
-
-Chapter 9
-
-
-1. “Of Pimps, Punters and Equities,” The Economist, March 24, 2001.
-
-2. “Crossfire,” CNN, December 21, 1999.
-
-3. Richard Rudy, “Buy and Hold: A Different Perspective,” Barclay Managed Futures Research (fourth quarter 2001).
-
-4. James Glassman, “Buy It Now! For a Fine Keepsake of the Internet Boom!” (Review of Dow 36000, Amazon.com, November 7, 2001).
-
-5. Jerry Parker, “The State of the Industry,” Managed Account Reports, Inc. (June 2000).
-
-6. Rudy, “Buy and Hold.”
-
-7. William R. Gallacher, Winner Take All (New York: McGraw-Hill, 1994).
-
-8. David Dukcevich, Forbes (May 6, 2002).
-
-9. James Cramer, CNBC: Kudlow and Cramer (television interview, Yahoo! Chat, September 7, 2000).
-
-10. “News Release,” Berkshire Hathaway, Inc. (May 22, 2002).
-
-11. Washington Post (March 6, 2003): E1.
-
-12. Courtney Comstock, “Michael Steinhardt Bashes Warren Buffett: ‘He’s Just The Greatest PR Person Of All Time . . . How He Treated John Gutfreund Was Disgusting,’” Business Insider (April 5, 2011), www.businessinsider .com/michael-steinhardt-bashes-warren-buffett-greatest-pr-person-of-all-time-conned-everybody-2011-4.
-
-13. James K. Glassman, Washington Post, December 9, 2001.
-
-14. “Moneyline,” CNN, December 23, 1999.
-
-15. James K. Glassman, Washington Post, February, 17, 2002.
-
-16. “Street Sweep,” CNN (April 4, 2000).
-
-17. Jennifer Karchmer, “Tiger Management Closes: Julian Robertson Plans to Return Money to Shareholders after Losses in Value Stocks,” CNNfn (March 30, 2000: 6:59 p.m. EST).
-
-18. Aaron L. Task, “Requiem for a Heavyweight,” TheStreet.com.
-
-19. “Larry King Live,” CNN, March 2001.
-
-20. Edward Clendaniel, “After the Sizzle Comes the Fizzle,” Forbes.com, March 25, 2002.
-
-21. Allan Sloan, “Even with No Bull Market, Baby Boomers Can Thrive,” Washington Post, March 26, 2002, E1.
-
-22. Alan Abelson, “Up and Down Wall Street,” Barron’s, December 15, 2003.
-
-23. B. Luke, “WorldCom: The Accounting Scandal; JR Kuhn Jr.,” The Charlotte Observer (2006).
-
-24. David Rode and Satu Parikh, “An Evolutionary Approach to Technical Trading and Capital Market Efficiency,” The Wharton School, University of Pennsylvania (May 1, 1995).
-
-25. “The Trading Tribe” (forum response), The Trading Tribe, www.seykota .com/tribe/.
-
-26. “Harding: Master of the Markets,” (video clip, CNBC, April 8, 2011), http://video.cnbc.com/gallery/?video=3000015574.
-
-27. Ibid.
-
-28. Ibid.
-
-29. Ibid.
-
-30. Ibid.
-
-31. Ibid.
-
-32. Ibid.
-
-33. Ibid.
-
-34. Ibid.
-
-35. Ibid.
-
-36. “Defining Critical Thinking,” The Critical Thinking Community, www .criticalthinking.org/aboutCT/define_critical_thinking.cfm.
-
-37. “General Form for Registration of Securities: Pursuant to Section 12(b) or 12(g) of the Securities Exchange Act of 1934,” United States Securities and Exchange Commission, www.sec.gov/Archives/edgar/data/1309136/000090514804005334/efc4-2070_form1012g.txt.
-
-38. “What Happened? What’s Next? Merrill Lynch Review and Forecast (marketing flyer),” Merrill Lynch.
-
-39. Jerry Garcia and Robert Hunter, “Casey Jones” (The Grateful Dead, Workingman’s Dead, 1970).
-
-40. David Whitford, “Why Owning the Boston Red Sox Is Like Running a Successful Hedge Fund,” Fortune Small Business (October 25, 2003).
-
-41. Dave Barry (February 3, 2002).
-
-42. Jean-Philippe Bouchaud and Damien Challet, “Why Have Asset Price Properties Changed So Little in 200 Years” (May 2, 2016).
-
-43. Ibid.
-
-
-
-
-
-Chapter 10
-
-
-1. “The Trading Tribe” (forum response), The Trading Tribe, www.seykota .com/tribe/.
-
-2. “Marketing Materials,” Dunn Capital Management, Inc.
-
-3. Leon G. Cooperman, “CNBC Interview with Ron Insana.”
-
-4. Charles Sanford, “Commencement address,” (University of Georgia, June 17, 1989).
-
-5. Gibbons Burke, “Managing Your Money,” Active Trader (July 2000).
-
-6. Mark Rzepczynski, “Portfolio Diversification: Investors Just Don’t Seem to Have Enough,” JWH Journal.
-
-7. Jack Reerink, “The Power of Leverage,” Futures 24, no. 4 (April 1995).
-
-8. Edward O. Thorp, The Mathematics of Gambling (Hollywood, CA: Gambling Times, 1984).
-
-9. Larry Harris, Trading and Exchanges: Market Microstructure for Practitioners (New York: Oxford University Press, 2003).
-
-10. “Going Once, Going Twice,” Discover, August 2002, 23.
-
-11. Jim Little and Sol Waksman, “A Perspective on Risk,” Barclay Managed Futures Report.
-
-12. Craig Pauley, “How to Become a CTA,” (June 1994).
-
-13. Thomas L. Friedman, The Lexus and The Olive Tree (New York: Farrar, Straus & Giroux, 1999).
-
-14. Gibbons Burke, “Managing Your Money,” Active Trader (July 2000).
-
-15. Craig Pauley, “How to Become a CTA” (June 1994).
-
-16. Ed Seykota and Dave Druz, “Determining Optimal Risk,” Technical Analysis of Stocks and Commodities Magazine 11, no. 3 (March 1993): 122–124, www.traders.com.
-
-17. Gibbons Burke, “Gain Without Pain: Money Management in Action,” Futures 21, no. 14 (December 1992): 36.
-
-18. Tom Basso, “How to Become a CTA” (June 1994).
-
-19. Carla Cavaletti, “Comeback Kids: Managing Drawdowns According to Commodity Trading Advisors,” Futures 27, no. 1 (January 1998): 68.
-
-20. Michael Peltz, “John W. Henry’s Bid to Manage the Future,” Institutional Investor (August 1996).
-
-21. InterMarket, The Worldwide Futures and Options Report (Chicago: InterMarket Publishing Group, July 1984).
-
-22. “The Trading Tribe” (forum response), The Trading Tribe, www.seykota .com/tribe/.
-
-23. Oliver Conway, “Cover story about John W. Henry & Company, Inc.,” Managed Derivatives (May 1996).
-
-24. Ted Williams, The Science of Hitting (New York: Simon & Schuster, 1986), 7.
-
-25. Desmond McRae, “31-Year Track Record of 18.1%: Managed Account Reports: Extracting Inherent Value,” Managed Futures (March 2003).
-
-26. Daniel Colton, “Trading the Pain Threshold (Trader Profile: Mark van Stolk),” Futures (November 2003): 98.
-
-27. Ludwig von Mises, Human Action: A Treatise on Economics, 4th rev. ed. (Irvington-on-Hudson, NY: The Foundation for Economic Education, 1996).
-
-28. Ellyn E. Spragins, “Gary Weiss, and Stuart Weiss, Contrarians,” Businessweek, December 29, 1986, 74.
-
-29. Washington Post (December 9, 2001).
-
-30. Jack D. Schwager, The New Market Wizards (New York: Harper Business, 1992).
-
-31. “Bruce Kovner,” Wikipedia, last modified October 14, 2016, https://en .wikipedia.org/wiki/Bruce_Kovner.
-
-32. “John W. Henry,” Wikipedia, last modified December 15, 2016, https://en .wikipedia.org/wiki/John_W._Henry.
-
-33. Hedgeable, “Lesson 4.3: Biggest Winners & Losers of 2008,” www.hedgeable .com/education/highest-paid-investment-managers-4.3.
-
-34. “Michael Marcus,” Wikipedia, last modified May 9, 2016, https://en .wikipedia.org/wiki/Michael_Marcus_%28trader%29.
-
-35. “David Harding,” Wikipedia, last modified December 11, 2016, https://en .wikipedia.org/wiki/David_Harding_%28financier%29.
-
-36. Erin E. Arvedlund, “On the Right Track,” Barron’s (November 30, 2009), www.barrons.com/articles/SB125935481888466969.
-
-37. Jerry Parker, “The State of the Industry,” Managed Account Reports, Inc. (June 2000).
-
-38. Bruce Terry, Managed Account Reports (September 2001).
-
-39. Morton Baratz, “Do Trend Followers Distort Futures Prices?” Managed Account Reports, No. 43: 9.
-
-40. Sharon Schwartzman, “Computers Keep Funds in Mint Condition: A Major Money Manager Combines the Scientific Approach with Human Ingenuity,” Wall Street Computer Review 8, no. 6 (March 1991): 13.
-
-41. Ibid.
-
-42. Friedman, The Lexus and the Olive Tree.
-
-43. “Barclay Trading Group, Ltd.,” Barclay Managed Futures Report 4, no. 1 (first quarter 1993): 3.
-
-44. Ibid., 10.
-
-45. John W. Henry (presentation, Geneva, Switzerland, September 15, 1998).
-
-46. “Trading System Review,” (Futures Industry Association Conference Seminar, November 2, 1994).
-
-47. Tom Basso, “How to Become a CTA,” (June 1994).
-
-48. Leo Melamed, Escape to the Futures (New York: John Wiley & Sons, Inc., 1996).
-
-49. Miles Johnson, “Hedge Fund Nightmare Turns into a Dream,” Financial Times (November 5, 2014), www.ft.com/content/7953c1f8-64e7-11e4-bb43-00144feabdc0.
-
-50. Tony Robbins, Money: Master the Game. 7 Simple Steps to Financial Freedom (Simon & Schuster, 2014).
-
-
-
-
-
-Chapter 11
-
-
-1. “The Trading Tribe” (forum response), The Trading Tribe, www.seykota .com/tribe/.
-
-2. Alexander M. Ineichen, Absolute Returns (New York: John Wiley & Sons, Inc., 2003): 64.
-
-3. Keith Campbell, “Campbell & Company,” Managed Account Reports.
-
-4. Carla Cavaletti, “Turtles on the Move,” Futures 27, no. 6 (June 1998): 77.
-
-5. Jerry Parker, “The State of the Industry,” Managed Account Reports, Inc. (June 2000).
-
-6. “Who’s to Blame Next?” Asterias Info-Invest, Asterias, Ltd.
-
-7. Parker, “The State of the Industry.”
-
-8. Richard Dennis, “The State of the Industry,” Managed Account Reports, Inc. (June 2000).
-
-9. Bill Dunn (presentation, MAR’s Mid Year Conference on Alternative Investment Strategies, June 22–24, 1999).
-
-10. Van K. Tharp, “Interview with Two Super Traders.”
-
-11. Max Gunther, The Zurich Axioms (New York: New American Library, 1985).
-
-12. W. H. Auden and L. Kronenberger, eds., The Viking Book of Aphorisms (New York: Viking Press, 1966).
-
-13. William Deresiewicz, “Don’t Send Your Kid to the Ivy League,” New Republic (July 21, 2014), https://newrepublic.com/article/118747/ivy-league-schools-are-overrated-send-your-kids-elsewhere.
-
-
-
-
-
-Section II: Trend Following Interviews
-
-
-1. Stephen Mitchell, The Second Book of the Tao (New York: Penguin Books, January 5, 2010).
-
-
-
-
-
-Chapter 12
-
-
-1. “Ed Seykota,” Wikipedia, last modified August 5, 2016, https://en.wikipedia .org/wiki/Ed_Seykota.
-
-2. Tobias J. Moskowitz, Yao Hua Ooi, and Lasse Heje Pedersen, “Time Series Momentum,” Journal of Financial Economics 104 (July 11, 2011), 228–250.
-
-3. Ross Lincoln, “Blumhouse and the Calculus of Low Budget Horror—Produced By,” Deadline (May 30, 2015), http://deadline.com/2015/05/blumhouse-panel-produced-by-conference-1201435034/.
-
-4. Spyros Makridakis, Dance with Chance: Making Luck Work For You (London: Oneworld Publications, 2010).
-
-5. Charles Mackay, Extraordinary Popular Delusions and the Madness of Crowds (New York: Dover, 2003).
-
-
-
-
-
-Chapter 13
-
-
-1. “Martin Lueck,” Aspect Capital, www.aspectcapital.com/about-aspect/team/martin-lueck.
-
-2. Fred Schwed, Where Are the Customers’ Yachts?: or A Good Hard Look at Wall Street (Hoboken, NJ: John Wiley & Sons, Inc., January 10, 2006).
-
-
-
-
-
-Chapter 14
-
-
-1. “Jean-Philippe Bouchaud,” Wikipedia, last modified October 25, 2016, https://en.wikipedia.org/wiki/Jean-Philippe_Bouchaud.
-
-2. Charles Mackay, Extraordinary Popular Delusions and the Madness of Crowds (New York: Dover, 2003).
-
-
-
-
-
-Chapter 15
-
-
-1. “Ewan Kirk,” Wikipedia, last modified July 1, 2016, https://en.wikipedia .org/wiki/Ewan_Kirk.
-
-2. Peter King, “Upsetting Developments,” Sports Illustrated, December 28, 2015, http://mmqb.si.com/mmqb/2015/12/28/peyton-manning-hgh-allegations- nfl-week-16-upsets.
-
-
-
-
-
-Chapter 16
-
-
-1. “Alex Greyserman,” ISAM, www.isam.com/management-team/alex-greyserman.
-
-2. Nassim Taleb, The Black Swan: The Impact of the Highly Improbable (New York: Random House, May 11, 2010).
-
-
-
-
-
-Chapter 17
-
-
-1. “Campbell Harvey,” Wikipedia, https://en.wikipedia.org/wiki/Campbell_Harvey.
-
-
-
-
-
-Chapter 18
-
-
-1. “Lasse Heje Pedersen,” Wikipedia, last modified November 10, 2016, https://en.wikipedia.org/wiki/Lasse_Heje_Pedersen.
-
-2. Paul Johnson, “When Excess Is A Virtue,” Forbes, March 23, 2016, www.forbes.com/sites/currentevents/2016/03/23/when-excess-is-a-virtue/#502ecfdc34b5.
-
-3. Nassim Taleb, The Black Swan: The Impact of the Highly Improbable (New York: Random House, 2010).
-
-4. Andy Greenberg, “Want to Know Julian Assange’s Endgame? He Told You a Decade Ago,” Wired, October 14, 2016, www.wired.com/2016/10/want-know-julian-assanges-endgame-told-decade-ago/.
-
-5. John Allen Paulos, “The Mathematics of Changing Your Mind,” New York Times (August 5, 2011), www.nytimes.com/2011/08/07/books/review/the-theory-that-would-not-die-by-sharon-bertsch-mcgrayne-book-review.html.
-
-6. David Harding, Winton Capital Management (May 2015).
-
-7. Brian Christian and Tom Griffiths, Algorithms to Live By: The Computer Science of Human Decisions (New York: Brilliance Audio, 2016).
-
-8. Ibid.
-
-9. Ibid.
-
-
-
-
-
-Section III: Trend Following Research
-
-
-1. Howard Marks, The Most Important Thing (New York: Audible Studios on Brilliance Audio, March 8, 2016), 36.
-
-2. Anders Ericsson, Peak: Secrets from the New Science of Expertise (New York: Eamon Dolan/Houghton Mifflin Harcourt, 2016).
-
-3. Robert P. Seawright, “A Hierarchy of Advisor Value,” Above the Market, February 12, 2016, https://rpseawright.wordpress.com/2016/02/12/a-hierarchy-of-advisor-value/.
-
-
-
-
-
-Chapter 19
-
-
-
-
-Bailey, D., and M. Prado, “Drawdown–Based Stop–Outs and the ‘Triple Penance’ Rule” (working paper), 2013.
-
-Grant, J. The Great Metropolis (Philadelphia: E. L. Carey & A. Hart, 1838).
-
-Greyserman, A., “The Multi-Centennial View of Trend Following,” ISAM white paper (2012).
-
-Jegadeesh, N., and S. Titman. “Returns to Buying Winners and Selling Losers: Implications for Stock Market Efficiency,” Journal of Finance 48, no. 1 (1993): 65–91.
-
-Kaminski, K., “Managed Futures and Volatility: Decoupling a ‘Convex’ Relationship with Volatility Cycles,” CME Market Education Group (May 2012).
-
-Moskowitz, T., T. Ooi, and L. Pedersen, “Time Series Momentum,” Journal of Financial Economics, no. 104 (May 2012).
-
-Taylor, B., “The GFD Guide to Total Returns on Stocks, Bonds, and Bills (working document),” Global Financial Data, www.globalfinancialdata .com/News/Articles/The_GFD_Guide_to_total_returns.doc.
-
-Thompson, Earl. “The Tulipmania: Fact or Artifact?” Public Choice 130, nos. 1–2 (2007): 99–114.
-
-
-
-
-
-Chapter 20
-
-
-1. “There is no other proposition in economics which has more solid empirical evidence supporting it than the efficient market hypothesis,” as M. Jensen famously wrote in 1978.
-
-2. Together with a third scientist, Lars Hansen, who had not directly taken part in the debate.
-
-3. Futures markets allow traders to go short as easily as going long. Therefore, both up-trends and down-trends can be exploited equally.
-
-4. Jensen (1978) actually stressed the importance of trading profitability in assessing market efficiency. In particular, if anomalous return behavior is not definitive enough for an efficient trader to make money trading on it, then it is not economically significant.
-
-5. Note that the excess return of trends cannot be classified as a risk premium either (see Lempérière et al. 2014; Narasimhan and Titman 2011). On the contrary, trend following is correlated with “long-vol” strategies.
-
-6. We call this a fictitious P&L since no attempt is made to model any realistic implementation costs of the strategy.
-
-7. See www.globalfinancialdata.com.
-
-8. Anecdotally, based on a long history of Capital Fund Management (CFM) inflows and outflows, our experience suggests that professional investors have a strong tendency to “chase performance,” i.e., to invest in CFM’s funds after a positive rally and redeem after negative performance.
-
-9. Within their model, Giardina and Bouchaud (2003) show that, without an element of trend following, markets quickly reach an “efficient” stationary state where nothing much happens.
-
-References
-
-
-
-Asness, C. S., T. J. Moskowitz, and L. H. Pedersen, “Value and Momentum Everywhere,” Journal of Finance 58 (2013): 929–85.
-
-Barberis, N., R. Greenwood, L. Jin, and A. Shleifer, “X-CAPM: An Extrapolative Capital Asset Pricing Model” (Working Paper), (2013).
-
-Barroso, P. and P. Santa-Clara, “Momentum Has Its Moments” (working paper) (2013).
-
-Bartas, N. and R. Kosowski, “Momentum Strategies in Futures Markets and Trend-Following Funds” (EUROFIDAI-AFFI Finance Meeting, Paris, December 2012), http://dx.doi.org/10.2139/ssrn.1968996.
-
-Black, F., “Noise,” Journal of Finance, 41 (1986): 529–43.
-
-Bouchaud, J. P., “Crises and Collective Socio-economic Phenomena: Simple Models and Challenges,” Journal of Statistical Physics, 151 (2013): 567.
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-Bouchaud, J. P. and R. Cont, “A Langevin Approach to Stock Market Fluctuations and Crashes,” European Physical Journal B 6, no. 4 (1998): 543–50.
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-Bouchaud, J. P. and M. Potters, “Theory of Financial Risk and Derivative Pricing,” Cambridge University Press (2003).
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-C. M. Faith, Way Of The Turtle (New York: McGraw-Hill, 2007).
-
-Moskowitz, Ooi, and Pedersen, “Time Series Momentum,” Journal of Financial Economics Vol. 104, Issue 2 (May 2012).
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-
-
-
-Appendix
-
-The 13 trend following models used in the paper are as follows:
-
-1. MOP: The strategy goes long/short each market for one month, based on the sign of its past 12 month return. Based on the “Time Series Momentum” paper by Moskowitz, Ooi, and Pedersen.2
-
-2. HOB: Applies a similar methodology to MOP but considers an average of look-back periods ranging from 1 to 12 months. Based on the “Is This Time Different? Trend Following and Financial Crises” paper by Hutchinson and O’Brien.3
-
-3. LDSPB: Captures the direction of price deviations from a long-term exponentially weighted moving average. Based on the “Two Centuries of Trend Following” paper by Lemperiere et al. of Capital Fund Management.4
-
-4. DMI: Directional movement indicator, designed to differentiate between strong and weak trends.
-
-5. RSI: Relative strength index, a technical momentum indicator designed to compare the magnitude of recent gains to recent losses.
-
-6. Turtle-ATR: Channel breakout strategy which uses the Average True Range, an alternative to standard deviation to measure price volatility.
-
-7. Turtle-Boll. BO: Breakout strategy that uses Bollinger Bands® to identify breakouts, a tool which involves a moving average approach and setting upper and lower bands based on standard deviations above and below the moving average.
-
-8. Turtle-Donchian: Breakout strategy that includes an additional trade entry condition based on comparing short and long exponential moving averages.
-
-9. Turtle-3x MA: Moving average using three time horizons: fast, medium and slow, to determine trade entry and exit.
-
-10. Z-Score: Statistical model designed to estimate price drift, relative to the volatility of returns.
-
-11. Trend Deviation: Double exponentially weighted moving average approach.
-
-12. MA Crossover: Uses the difference between a moving average over a short window, and one over a longer window.
-
-13. Percentile: Uses percentiles of recent prices averaged over a short window, from a longer-term distribution.
-
-
-
-
-
-Chapter 22
-
-
-1. See AHL Research (2014).
-
-2. Sharpe (1964) for the CAPM. Higgs (1964) for the Higgs Boson.
-
-3. See Black, Jensen, and Scholes (1972) and Fama and MacBeth (1973).
-
-4. A 2009 brochure put the cost of the machine at about $4 billion and this does not include all other costs. See http://cds.cern.ch/record/1165534/files/CERN-Brochure-2009-003-Eng.pdf, retrieved July 10, 2014.
-
-5. CMS (2012) and ATLAS (2012).
-
-6. See Baglio and Djouadi (2011).
-
-7. See Hardy (2002).
-
-8. See Simon-Sanchez et al. (2009).
-
-9. When returns are realized at higher frequencies, Sharpe Ratios and the corresponding t-statistics can be calculated in a straightforward way. Assuming that there are N return realizations in a year and the mean and standard deviation of returns at the higher frequency is μ and σ, the annualized Sharpe Ratio can be calculated as (μ × N) / (σ × √N) = (μ / σ) × √N. The corresponding t-statistic is (μ / σ) × √(N × Number of years). For example, for monthly returns, the annualized Sharpe Ratio and the corresponding t-statistic are (μ / σ) × √12 and (μ / σ) × √(12 × Number of years), respectively, where μ and σ are the monthly mean and standard deviation for returns. Similarly, assuming μ and σ are the daily mean and standard deviation for returns and there are 252 trading days in a year, the annualized Sharpe Ratio and the corresponding t-statistics are (μ / σ) × √252 and (μ / σ) × √(252 × Number of years).
-
-10. See AHL Research (2014).
-
-11. See Barras, Scaillet, and Wermers (2010).
-
-12. See www.mars-one.com/mission/roadmap, retrieved July 10, 2014.
-
-13. See Schweder and Spjotvoll (1982).
-
-14. More specifically, c(M) = 1 + 1/2 + 1/3 . . . + 1/M = ∑MM1/ii and approximately equals log(M) when M is large.
-
-15. For the p-value thresholds, whether or not BHY is more lenient than Holm depends on the specific distribution of p-values, especially when the number of tests M is small. When M is large, BHY implied hurdles are usually much larger than Holm.
-
-16. We have 269 monthly observations for the strategies in the “Price Momentum” and “Capital Efficiency” groups and 113 monthly observations for the strategies in the “Analyst Expectations” group. Therefore, the t-statistics are calculated as 0.83 × √(269 / 12) = 3.93, 0.37 × √(113 / 12) = 1.14 and 0.67 × √(269 / 12) = 3.17.
-
-17. Applying the Bonferroni test, the three p-values are adjusted to be 0.0387, 1.0, and 0.7260. The corresponding adjusted Sharpe Ratios are 0.44, 0, 0.07 and the haircuts are 47%, 100%, and 90%. These haircuts are larger than under the BHY approach.
-
-18. See AHL Research (2014). The 0.45 is based on 16 partitions of the data.
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-Bailey, D., J. Borwein, M. López de Prado, and Q. J. Zhu, “The Probability of Backtest Overfitting” (working paper), Lawrence Berkeley National Laboratory (2013b).
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-Chapter 24
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-Sharpe, William F., “The Sharpe Ratio,” The Journal of Portfolio Management (Fall 1994).
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-
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-Chapter 26
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-2. Peter Park, Oguz Tanrikulu, and Guodong Wang, “Systematic Global Macro: Performance, Risk and Correlation Characteristics” (February 24, 2009), http://ssrn.com/abstract=1348629 or http://dx.doi.org/10.2139/ssrn.1348629.
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-3. Ryan Abrams, Ranjan Bhaduri, and Elizabeth Flores, “Lintner Revisited—A Quantitative Analysis of Managed Futures for Plan Sponsors, Endowments and Foundations,” CME Group (May 2012).
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-4. Henry H. Bakken, “Futures Trading—Origin, Development, and Present Economic Status” (Madison, WI: Mimir Publishers, 1966), 3.
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-7. Neil Ramsey and Aleks Kins, “Managed Futures: Capturing Liquid, Transparent, Uncorrelated Alpha,” The Capital Guide to Alternative Investment (2004): 129–35.
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-
-
-
-
-
-Chapter 27
-
-
-1. Since our focus is generally on derivatives markets, we do not cover single stocks in this study.
-
-2. To guard against occasional bad data in the early part of the sample, we in fact use a trailing average of the last 10 days, with the two biggest outliers removed (i.e., a central 8/10 mean).
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-Bhansali, Vineer, “Volatility and the Carry Trade,” Journal of Fixed Income, 17, no. 3 (2007): 72–84.
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-Chapter 28
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-14. Brian Portnoy, The Investors Paradox (New York: Palgrave McMillan, 2013).
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-15. Bill Barker, “The Performance of Mutual Funds,” The Motley Fool, www .fool.com/School/MutualFunds/Performance/Record.htm.
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-16. William F. Sharpe (1966), “Mutual Fund Performance,” Journal of Business, supplement on Security Prices, 39 (January), 119–138; Jack L. Treynor (1966), “How to Rate Management Investment Funds,” Harvard Business Review, 43 (January–February); Michael C. Jensen (1967), “Performance of Mutual Funds in the Period 1945–1964,” Journal of Finance, 23(2), 389–416.
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-17. Brian Portnoy, The Investor’s Paradox (New York: Palgrave McMillan, 2013).
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-18. Don Wilkinson, Stop Wasting Your Wealth in Mutual Funds: Separately Managed Accounts—The Smart Alternative (Chicago: Dearborn Trade Publishing, 2006).
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-20. “Only 8 Funds Have Beaten the S&P 500 for 10 Years,” MarketWatch, November 17, 2011, http://blogs.marketwatch.com/thetell/2011/11/17/only-8-funds-have-beaten-the-sp-500-for-10-years/.
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-25. Portnoy, The Investor’s Paradox.
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-26. Amit Goyal and Sunil Wahal, “The Selection and Termination of Investment Management Firms by Plan Sponsors,” Journal of Finance (August, 2008): 63.
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-
-
-
-
-
-Epilogue
-
-
-1. Alan Watts, The Wisdom of Insecurity (New York: Knopf, 2011).
-
-2. Charles Faulkner, “Inside the Counterintuitive World of Trend Followers: It’s Not What You Think. It’s What You Know,” Stocks, Futures & Options Magazine, April 2005.
-
-3. Ken Durr, “Interview with David Harding,” Securities and Exchange Commission Historical Society, June 18, 2013.
-
-4. Ibid.
-
-5. Ibid.
-
-6. Daniel C. Dennett, Intuition Pumps and Other Tools for Thinking (New York: W. W. Norton, 2013).
-
-
-
-
-
-About the Author
-
-
-1. Denise G. Shekerjian, Uncommon Genius (New York: Penguin, 1990).
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-Schwager, Jack D. Market Wizards: Interviews with Top Traders. New York: Harper Business, 1989.
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-Schwager, Jack D. The New Market Wizards: Conversations with America’s Top Traders. New York: Harper Business, 1992.
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-Seykota, Ed, and Dave Druz. “Determining Optimal Risk.” Stocks and Commodities Magazine 11, no. 3 (March 1993): 122–4.
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-Steinhardt, Michael. No Bull: My Life In and Out of Markets. Etobicoke, Ontario: John Wiley & Sons, Inc., 2001.
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-Szala, Ginger. “William Eckhardt: Doing by Learning.” Futures 21, no. 1 (January 1992).
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-Thaler, Richard H. “Mental Accounting Matters.” Journal of Behavioral Decision Making, 12 (1999): 183–206.
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-Thaler, Richard H. “Saving, Fungibility, and Mental Accounts.” Journal of Economic Perspectives 4, no. 1 (Winter 1990): 193–205.
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-Tharp, Van K. Trade Your Way to Financial Freedom. New York: McGraw-Hill, 1999.
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-Thorp, Edward O. Beat the Dealer. New York: Vintage, 1966.
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-Tversky, Amos, and Daniel Kahneman. “Belief in the Law of Small Numbers.” Psychological Bulletin, 76 (1971): 105–10.
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-Ueland, Brenda. If You Want to Write: A Book About Art, Independence and Spirit. Saint Paul, MN: Graywolf Press, 1937.
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-Vince, Ralph. The New Money Management. New York: John Wiley & Sons, Inc., 1995.
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-Watts, Alan. The Wisdom of Insecurity. New York: Knopf, 2011.
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-Watts, Dickson G. Speculation as a Fine Art and Thoughts on Life. New York: Traders Press, 1965.
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-Weisman, Andre. “Informationless Investing and Hedge Fund Performance Measurement Bias.” Journal of Portfolio Management 28, no. 4 (Summer 2002): 80–91.
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-“Where, Oh Where Are the .400 Hitters of Yesteryear.” Financial Analysts Journal (November/December 1998): 6–14.
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-Wilkinson, Don. Stop Wasting Your Wealth in Mutual Funds: Seperately Managed Accounts—The Smart Alternative. Chicago: Dearborn Trade Publishing, 2006.
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-Williamson, Christine. “Liquidity Hunt Hits Managers.” Pensions and Investments, November 10, 2008. See www.pionline.com/article/20081110/PRINT/311109937/liquidity-hunt-hits-managers.
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-Williamson, Porter B. General Patton’s Principles for Life and Leadership. Tuscon, AZ: MSC, 1988.
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-Wolfram, Stephen. A New Kind of Science. Champaign, IL: Wolfram Media, Inc., 2002.
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-Wolman, William, and Anne Colamosca. The Great 401(k) Hoax. Cambridge, MA: Perseus Publishing, 2002.
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-Wyart, M., and J. P. Bouchaud. “Self-Referential Behaviour, Overreaction and Conventions in Financial Markets.” Journal of Economic Behavior and Organization 63 (2007): 1.
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-Yeung, Albert, Mika Toikka, Pankaj N. Patel, and Steve S. Kim. “Quantitative Strategy. Does Technical Analysis Work?” Credit Suisse First Boston. September 25, 2002.
-
-
-
-
-
-Acknowledgments
-
-
-I asked them, “How many of you have ever taken the lid off a toilet tank to see how it works?” None of them had. How do you get to M.I.T. without having ever looked inside a toilet tank?
-
-—Jay W. Forrester
-
-I want to thank the 100,000-plus readers since 2004 that have read an edition of this book. You are the only reason I am here 13 years later onto my 5th edition.
-
-Fundamentals that you read about are typically useless as the market has already discounted the price, and I call them funny-mentals. However, if you catch on early, before others believe, you might have valuable surprise-a-mentals.
-
-Ed Seykota
-
-For this 5th edition a big thank you goes out to Barry Ritholtz for his new foreword contribution. And, thank you to Larry Hite and Charles Faulkner for their earlier edition forewords.
-
-It is a pleasure to recognize the traders, colleagues, mentors, writers, and friends who contributed directly or indirectly to Trend Following:
-
-Mark Abraham, Kate Abraham, Salem Abraham, James Altucher, Dan Andrews, Will Andrews, Ngo Thi Anh, Gerald Appel, Jeanette Arango, Christian Baja, Hunter Baldwin, Tom Basso, David Beach, Martin Bergin, Laurent Bernut, Vineer Bhansali, John Boik, Peter Borish, Jean-Philippe Bouchaud, Wade Brorsen, Gibbons Burke, Holly Burns, Steve Burns, Jim Byers, Melissa Cantrell-Sprafkin, Jake Carriker, Patrick Cheo, Michelle Cheung, Michael Clarke, Art Collins, Cory Colvin, Allan Como, Larry Connors, Justin Cooke, Jerome Covel, Johanna Covel, Mary Covel, Toby Crabel, Jonathan Craven, Richard Cripps, Frank Curzio, James R. Dailey, Jurgen Dhaese, Edward Dobson, Woody Dorsey, Bernard Drury, David Druz, Bill Dunn, Daniel Dunn, Tim Dyer, William Eckhardt, Jonas Elmerraji, Alistair Evans, Marc Faber, Steve Flato, Nelson Freeburg, William Fung, Charles Gaudet, Jason Gerlach, Nate Ginsburg, Dave Goodboy, Wesley Gray, Alex Greyserman, David Harding, Mike Harris, Campbell Harvey, Josh Hawes, Mark Hawley, John W. Henry, Scott Hicks, John Hoade, Jonathan Hoenig, Ryan Holiday, James Holter, Gary Hopkinson, Scott A. Houdek, Grace Hung, Ta Hoang Diem Huong, Virginia Hurley, Brian Hurley, John Hurley, Patrick Hurley, Withers Hurley, Robert (Bucky) Isaacson, Travis Jamison, JonPaul Jonkheer, Perry Jonkheer, Shaun Jordan, Kathryn Kaminski, Easan Katir, Carol Kaufman, Jenny Kellams, Adam Khoo, Paul King, Alejandro Knoepffler, Jeff Kopiwoda, Nigol Koulajian, Anton Kraly, Brandon Langley, Fabian Lim, Martin Lueck, Dinh Van Luu, Bill Mann, Jane Martin, Lucy Mattinen, Michael Mauboussin, John Mauldin, Leo Melamed, John Melvin, Todd Miller, Bill Miller, Larry Mollner, James Montier, Mr. Sun, Paul Mulvaney, Michelle Murphy, Georgia Nakou, Peter Navarro, Hung Nguyen, Oanh Nguyen, Vincent Nguyen, Nguyen Thi Kim Nhung, William W. Noel, III, John O’Donnell, Matt Osborne, Michael Panzner, Bob Pardo, Jerry Parker, Ted Parkhill, Taylor Pearson, Lasse Heje Pedersen, Dick Pfister, Mai Pham, Baron Robertson, Jon Robinson, Jim Rogers, Leon Rose, Mark Rosenberg, Brad Rotter, Murray Ruggiero, Jason Russell, Mark Rzepczynski, Marlene Salinas, Ian Schoen, Greg Schuett, Michael Seneadza, Ed Seykota, Tom Shanks, Doug Short, Howard Simons, Barry Sims, Rick Slaughter, Mark Sleeman, Aaron Smith, Grant Smith, Bob Spear, Chris Stanton, Brett Steenbarger, Clint Stevens, Richard Straus, Jon Sundt, Nassim Nicholas Taleb, Stephen Taub, Larry Tentarelli, La Thi Thao, Anthony Todd, Ken Tower, Irve Towers, Adam Tremper, Ken Tropin, Justin Vandergrift, Thomas Vician, Jr., Danny Walsh, Michelle Zichao Wang, Antoni Watts, Robert Webb, Addison Wiggin, Raphael Wilhelm, Gabriel Wisdom, Terence Yao, Patrick L. Young, and Steven Zhang.
-
-My great concern is not whether you have failed, but whether you are content with your failure.
-
-Abraham Lincoln
-
-I want to thank everyone who has appeared on my podcast since January 2012. You can find all of their names in the “Trend Following Podcast Episodes” section. I also want to thank the firms and individuals who contributed to my new “Research” chapters 19–28.
-
-And thank you to the following publications and writers: Sol Waksman and Barclay Managed Futures Report, Futures magazine, Managed Account Reports, Graham Capital Management, and Technical Analysis of Stocks and Commodities Magazine.
-
-I am indebted to the following authors, whose works continue to be treasure troves of information and insight: Morton Baratz, Peter Bernstein, Clayton Christensen, Jim Collins, Jay Forrester, Tom Friedman, Gerd Gigerenzer, Daniel Goleman, Stephen Jay Gould, Alan Greenberg, Larry Harris, Robert Koppel, Edwin Lefèvre, Michael Lewis, Jesse Livermore, Roger Lowenstein, Ludwig von Mises, Lois Peltz, Ayn Rand, Jack Schwager, Denise Shekerjian, Robert Shiller, Van Tharp, Edward Thorp, Peter Todd, Brenda Ueland, and Dickson Watts.
-
-Money does not buy you happiness, but lack of money certainly buys you misery.
-
-Daniel Kahneman
-
-A thank you goes to Wiley for bringing my 2017 mega edition to the market. Laura Gachko, Tula Weis, Michael Henton, Susan Cerra, Stacey Fischkelta, Kathryn Hancox, and Judy Howarth all contributed their expertise over many hours.
-
-The original edition of this book could have only come to fruition with the editorial guidance of Celia Straus and Jim Boyd. I also owe a special debt of gratitude to Paul Donnelly at Oxford University Press, for seeing potential in my 2003 proposal, and introducing me to my first editor. And to Michelle Murphy? An eye for detail!
-
-Finally, to Amy Neidlinger, thank you for my rights.
-
-—Michael W. Covel
-
-April 2017
-
-
-
-
-
-About the Author
-
-
-Fear touches everyone—even the successful people, the golden boys, the people who give the appearance of passing through life with their hands deep in their pockets, a whistle on their lips. To take on risk, you need to conquer fear, at least temporarily, at least occasionally. It can be done, especially if you look outside yourself for a strong ledge to stand on.
-
-—Denise Shekerjian1
-
-Michael Covel searches. He digs. He goes behind the curtain to reveal a state of mind the system doesn’t want you in.
-
-Characterized as essential and required reading, Michael teaches beginners to seasoned pros how to generate profits with straightforward and repeatable rules. He is best known for popularizing the counterintuitive and controversial trading strategy, trend following.
-
-An avowed entrepreneur, Michael is the author of five books including the international bestseller, Trend Following, and his investigative narrative, TurtleTrader. Fascinated by secretive traders that have quietly generated spectacular returns for seven decades, those going against the investment orthodoxy of buy and hope, he has uncovered astonishing insights about the right way to think, develop, and execute trend following systems.
-
-There are many who find a good alibi far more attractive than an achievement. For an achievement does not settle anything permanently. We still have to prove our worth anew each day: we have to prove that we are as good today as we were yesterday. But when we have a valid alibi for not achieving anything, we are fixed, so to speak, for life.
-
-Eric Hoffer
-
-Michael’s perspectives have garnered international acclaim and have earned him invitations with a host of organizations: China Asset Management, GIC Private Limited (a Singapore sovereign wealth fund), BM&F Bovespa, the Managed Funds Association, Bank of China Investment Management, the Market Technicians Association, and multiple hedge funds and mutual funds. He also has the distinction of having interviewed five Nobel Prize winners in economics, including Daniel Kahneman and Harry Markowitz, and he has been featured in major media outlets, including the Wall Street Journal, Bloomberg, CCTV, The Straits Times, and Fox Business.
-
-Take risks: if you win, you will be happy; if you lose, you will be wise.
-
-Anonymous
-
-Michael posts on Twitter, publishes a blog, and records his podcast weekly. His consulting clients are across hedge funds, sovereign wealth funds, institutional investors, and individual traders in more than 70 countries. He splits his time between the United States and Asia:
-
-www.trendfollowing.com
-
-
-
-Note: How is Covel pronounced? Co-vell. “Co” rhymes with toe. “Vell” rhymes with bell. Equally accented each syllable. It was shortened from Covalesky, which was shortened originally from Kavaliauskas. Michael’s direct contact: www.trendfollowing.com/contact.
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-
-
-
-
-Index
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-
-
-
-Abbey National Bank
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-Abelson, Alan
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-Abraham, Malouf
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-Abraham, Mark
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-Abraham, Salem
-
-Abraham Trading Company
-
-Absolute returns
-
-Absolute Returns (Ineichen)
-
-Accuracy of Forecasting (Makridakis)
-
-Ackman, Bill
-
-Adam, Harding, and Lueck (AHL)
-
-Adam, Michael
-
-AIG
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-Ainslie, Lee
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-Aliferis, P.
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-Alliance Capital Management Holding LP
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-Almost-certain-death strategies
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-Altegris
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-Altucher, James
-
-Amaranth
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-American Express
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-Amin, Gaurav
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-Anchorman (film)
-
-Anderson, Philip
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-Anderson, Sparky
-
-Andreessen, Marc
-
-Andrews, Will
-
-Aponte, Mike (MIT Blackjack Team)
-
-Apple
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-AQR Capital Management
-
-Ariely, Dan
-
-Aristotle
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-Art, Christopher
-
-The Art of Investing
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-Asacker, Tom
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-Asian Contagion (1997)
-
-Asness, C. S.
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-Asness, Cliff
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-Aspect Capital
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-Assange, Julian
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-Asset classes
-
-Auburn Auto
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-Aumann, Robert
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-Axelrod, Bobby (Billions)
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-
-
-
-
-Bachelier, Louis
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-Bacon, Louis
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-Bagehot, Walter
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-Baha, Christian
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-Bailey, D. J.
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-Baldwin, William
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-Baltimore, David
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-Baltimore Orioles
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-Bankers Trust
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-Bank of America
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-Bank of Italy
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-Bank of Japan
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-Bank One
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-Baratz, Morton S.
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-Barberis, N.
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-Barclays
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-Barclays BTOP 50 Managed Futures Index (BTOP50)
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-Barclays Systematic Traders Index
-
-Barclays U.S. Aggregate Bond Index
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-Barings Bank
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-Barroso, P.
-
-Barry, Dave
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-Bartas, A. N.
-
-Bartiromo, Maria
-
-Baruch, Bernard
-
-Basso, Tom
-
-Bayes, Thomas
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-Bayesian statistics
-
-Beane, Billy
-
-Bear Stearns
-
-A Beautiful Mind (film)
-
-Behavioral biases
-
-and baseball statistics
-
-of clients
-
-and discretionary trading
-
-Ed Seykota on
-
-and systematic trading
-
-
-
-
-
-Behavioral economists
-
-Behavioral finance
-
-and commitment
-
-and curiosity
-
-and emotional intelligence
-
-Neuro-Linguistic Programming
-
-prospect theory
-
-and “trading tribe,”
-
-
-
-
-
-Belichick, Bill
-
-Benchmarks
-
-Benjamini, Y.
-
-Bercot, N.
-
-Berd, A.
-
-Bergin, Marty
-
-Bergström, Svante
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-Berkshire Hathaway
-
-Berle, Milton
-
-Bernanke, Ben
-
-Berra, Yogi
-
-Bets:
-
-fixed
-
-fixed-fraction
-
-optimal
-
-
-
-
-
-Bet-it-all strategies
-
-Bhaduri, Ranjan
-
-Bhansali, Vineer
-
-BHY test
-
-Billions (television program)
-
-Bird, Larry
-
-Birdman (film)
-
-Black, Fischer
-
-Black Monday (1929)
-
-Black Monday (1987)
-
-Black–Scholes model
-
-Blame, in trend following
-
-Blind risk
-
-Bliss, Robert R.
-
-Blue Trend
-
-Blum, Jason
-
-Bogle, John
-
-Bok, Derek
-
-Bonds:
-
-carry in
-
-in managed futures analysis
-
-risk premiums of
-
-
-
-
-
-Bonds, Barry
-
-Bonferroni test
-
-Bonner, Bill
-
-Borish, Peter
-
-Borne, Ludwig
-
-Boston Globe
-
-Boston Red Sox
-
-Boswell, Thomas
-
-Bouchaud, Jean-Philippe
-
-Bourdain, Anthony
-
-Boyd, Jack
-
-Brady, David
-
-Braga, Leda
-
-Brant, David
-
-British Petroleum (BP)
-
-Brody, Harvey
-
-Browne, Harry
-
-BTOP50 (Barclays BTOP 50 Managed Futures Index)
-
-Buchanan, Mark
-
-Buchmann, Marco
-
-Buddha
-
-Buffett, Warren
-
-Burke, Gibbons
-
-Burns, Steve
-
-Bush, George W. (President)
-
-BusinessWeek
-
-Buy-and-hold strategies
-
-
-
-
-
-Calculated risk
-
-Calculus
-
-California, State of
-
-California Public Employees Retirement System (CalPERS)
-
-Camerer, Colin
-
-Campbell, John
-
-Campbell, Keith
-
-Campbell & Company
-
-Canary Capital Partners
-
-Candidate strategy
-
-Candidate testing strategy
-
-Cantab Capital Partners
-
-Capital Fund Management (CFM)
-
-Capital in the Twenty-First Century (Piketty)
-
-Capone, Al
-
-Caray, Harry
-
-Carlin, George
-
-Carpenter, Sam
-
-Carroll, Lewis
-
-Carry
-
-across asset classes
-
-across rate regimes
-
-defined
-
-in interest rate futures
-
-overview of
-
-research on
-
-
-
-
-
-Cash, Johnny
-
-CB50 (50 Day Channel Breakout)
-
-CCTV
-
-Central bank interventions
-
-A Century of Evidence on Trend-Following Investing
-
-CFM (Capital Fund Management)
-
-Chabris, Christopher
-
-Challet, D.
-
-Channel Breakout
-
-Chanos, James
-
-Chaos theory
-
-Chase Manhattan
-
-Chenier, Jean-Jacques
-
-Chesapeake Capital Management
-
-Chesterton, G. K.
-
-Chicago Cubs
-
-Chigurh, Anton (No Country for Old Men)
-
-China Asset Management
-
-Chopra, Deepak
-
-Christensen, Clayton M.
-
-Christian, Brian
-
-Chuang-Tzu
-
-Cialdini, Robert
-
-Cisco
-
-City of Fort Worth
-
-Clare, A.
-
-Clark, Tony
-
-Clarke, Michael J.
-
-Clarke Capital Management
-
-Cleveland Indians
-
-Clews, Henry
-
-CNBC
-
-Coca-Cola
-
-Cochrane, John H.
-
-Code, for GRAB trading system
-
-Cognitive dissonance
-
-Cognitrend
-
-Cohen, Steven
-
-Coin toss example
-
-Collaboration
-
-Collins, James
-
-Collins, Terry
-
-Commitment
-
-Commodities
-
-Commodities Corporation
-
-Commodity trading advisors, see CTAs
-
-Compounding
-
-Conrad, Chet
-
-Cont, R.
-
-Cook, Earnshaw
-
-Cool Hand Luke (film)
-
-Cooperman, Leon
-
-Correlation:
-
-of Campbell & Company
-
-of CTA strategies
-
-in historical data
-
-of long vs. short trades
-
-in managed futures analysis
-
-as performance data
-
-
-
-
-
-Corzine, Jon
-
-Costs:
-
-of mutual funds
-
-transaction
-
-
-
-
-
-Covel, Michael
-
-Cowles, Alfred
-
-Crabel, Toby
-
-Cramer, James
-
-Crapple, George
-
-Credit Suisse
-
-Crichton, Michael
-
-Critical thinking
-
-Crosby, Daniel
-
-Cross-sectional momentum
-
-Cross-validation
-
-Cruden, Christopher
-
-Crude oil futures
-
-Crump, Arthur
-
-Crury, Bern
-
-CTAs (commodity trading advisors):
-
-as diversifiers or hedges
-
-ratings of
-
-tactical macro investing
-
-technical models used by
-
-
-
-
-
-CTA smile
-
-CTA strategies
-
-CTAs as diversifiers or hedges
-
-defined
-
-performance of long vs. short trades
-
-performance results and graphs
-
-sector performance
-
-stability of parameters in
-
-
-
-
-
-Culp, Christopher
-
-Curie, Marie
-
-Curiosity
-
-Currencies
-
-Curry, Stephen
-
-Curve fitting
-
-Cutten, Arthur
-
-Czkwianianc, Paul
-
-
-
-
-
-Dalio, Ray
-
-Dao, L.
-
-Darvas, Nicolas
-
-Darwin, Charles
-
-Data processing
-
-Davis, Josh
-
-Davis, Miles
-
-Davis, Ned
-
-Dawkins, Richard
-
-Day trading limits
-
-Dean Witter
-
-Dean Wormer (Animal House)
-
-Deaton, Angus
-
-De Bondt, W.
-
-Decision making
-
-fast and frugal
-
-and The Innovator’s Dilemma
-
-Occam’s razor
-
-process vs. outcome vs. gut in
-
-
-
-
-
-Dellutri, Dale
-
-DeLong, J.
-
-Dennett, Daniel
-
-Dennis, Richard
-
-Department of Physics, UC Santa Barbara
-
-Deremble, Cyril
-
-Deresiewicz, William
-
-Derman, Emanuel
-
-Desai, Dinesh
-
-Deutsche Bank
-
-DFA (Dimensional Fund Advisors LP)
-
-Dichev, Ilia D.
-
-DiMaria, Jim
-
-Dimensional Fund Advisors LP (DFA)
-
-Discipline
-
-Discretionary trading strategies
-
-Distributions, unbalanced
-
-Ditka, Mike
-
-Diversification:
-
-CTAs as
-
-by John W. Henry
-
-importance of, in trend following
-
-in managed futures
-
-and performance data
-
-and risk management
-
-Swenson mode of
-
-in trading approach
-
-in trading systems
-
-between trend following models
-
-in typical funds
-
-
-
-
-
-Dixon, Barbara
-
-Dockray, Geoff
-
-Dolby, Ray
-
-Dollar-cost averaging
-
-Donahue, Manus J., III
-
-Donchian, Richard
-
-Dorsten, Matt
-
-Dot-com bubble (2000-2002)
-
-Douglas, Mark
-
-Dow, Charles
-
-Dow 36,000 (Glassman)
-
-Doyle, Sir Arthur Conan
-
-Drawdowns:
-
-at Berkshire Hathaway
-
-at Campbell & Company
-
-at Dunn Capital
-
-in historical data
-
-as performance data
-
-as reality of trading
-
-
-
-
-
-Dresdner
-
-Driehaus, Richard
-
-Dries, Bill
-
-Drury, Bernard
-
-Drury Capital
-
-Druyan, Ann
-
-Druz, David
-
-Duke, J.
-
-Duke University
-
-Dunn, William (Bill)
-
-Dunn, Dennis D.
-
-Dunn Capital Management, Inc.
-
-Dunnigan, William
-
-Durin, B.
-
-Dutch Tulip Bubble (1636-1637)
-
-Dweck, Carol
-
-
-
-
-
-Eastwood, Clint
-
-Eckhardt, William
-
-Eclipse Capital
-
-École Polytechnique
-
-Economics as Religion (Nelson)
-
-The Economist
-
-Edelman, Julian
-
-Edmundson, Steve
-
-Edwards, Robin
-
-Efficiently Inefficient (Pedersen)
-
-Efficient market theory (EMT)
-
-80/20 rule
-
-Einstein, Albert
-
-Eisenhardt, Kathleen
-
-Eisenhower, Dwight D.
-
-Elam, Brett
-
-Elder, Alexander
-
-Election forecasts
-
-E-mini S&P 500
-
-Emotions
-
-Emotional intelligence (EQ)
-
-Emotional Intelligence (Goleman)
-
-EMT, see Efficient market theory
-
-The Enduring Effect of Time-Series Momentum of Stock Returns over Nearly 100 Years
-
-Enron
-
-Epstein, Theo
-
-EQ (emotional intelligence)
-
-Equities, see Stocks
-
-Ericsson, Anders
-
-Estlander, Martin
-
-Euripides
-
-Events
-
-Asian Contagion (1997)
-
-Barings Bank collapse
-
-Black Monday (1987)
-
-Dot-com bubble (2000-2002)
-
-Great Recession (2008)
-
-Long-Term Capital Management collapse
-
-Metallgellschaft losses
-
-and Prospect theory
-
-timeline of
-
-
-
-
-
-Expected value, in fixed bet simulation
-
-Expenses, for mutual funds
-
-Extraordinary Popular Delusions and the Madness of Crowds (Mackay)
-
-
-
-
-
-Faber, Marc
-
-Faber, Mebane
-
-Faith, Curtis
-
-Faith, in investing
-
-False discoveries
-
-False Discovery Rate
-
-Fama, Eugene F.
-
-Family-wise Error Rate (FWER)
-
-Fantana, Brian (Anchorman)
-
-Far-box resistance and support
-
-Fast and frugal decision making
-
-Faulkner, Charles
-
-Fawcett, George
-
-Federal Reserve (the Fed)
-
-Federer, Roger
-
-Feedback loops
-
-Fees, for mutual funds
-
-Feinstein, Diane
-
-Fenway Park
-
-Fernández, Jose
-
-Ferriss, Tim
-
-Feynman, Richard
-
-FIA Research Division Dinner
-
-Fidelity
-
-50 Day Channel Breakout (CB50)
-
-Fight Club (Palahniuk)
-
-Financial bubbles/crises
-
-Financial products
-
-Fisher, Paul
-
-FiveThirtyEight.com
-
-Fixed bets
-
-Fixed-fraction bets
-
-Fixed mindset
-
-Florida, State of
-
-Florida Marlins
-
-Forrester, Jay
-
-Fort Worth, City of
-
-Fouts, Roger
-
-Fox Mulder
-
-Francona, Terry
-
-Franiak, Frank J.
-
-French, Kenneth
-
-Freud, Sigmund
-
-Fried, Jason
-
-Friedman, Thomas
-
-Friedman, Tom
-
-Fuld, Richard
-
-Fundamental analysis
-
-Fung, William
-
-Futures trading
-
-FWER (Family-wise Error Rate)
-
-
-
-
-
-Galilei, Galileo
-
-Gallaher, Kevin
-
-Galton, Sir Francis
-
-Gandhi, Mohandas
-
-Gardner, David
-
-Gardner, Tom
-
-Gartman, Dennis
-
-Gaslighting
-
-Gaussian statistics
-
-GE
-
-Gecko, Gordon (Wall Street: Money Never Sleeps)
-
-Geezy, C.
-
-Generalism
-
-George Taylor
-
-Gerlach, Jason
-
-Giardina, I.
-
-GIC (Singapore)
-
-Giesecke, Kay
-
-Gigerenzer, Gerd
-
-Gillette
-
-Gladwell, Malcolm
-
-Glassman, James
-
-Godin, Seth
-
-Gold Bricks of Speculation (Hill, Jr.)
-
-Golden State Warriors
-
-Goldman Sachs
-
-Goldstein, D.
-
-Goleman, Daniel
-
-Gomez, Jimmy
-
-Goodman, Marc
-
-Good to Great (Collins)
-
-Google
-
-Gordon, George, Lord Byron
-
-Gorton, Gary B.
-
-Gould, Stephen Jay
-
-Government rates
-
-Govopoly (Seykota)
-
-GRAB trading system
-
-code for
-
-computer model of
-
-limitations of
-
-losses with
-
-parameter values in
-
-support and resistance in
-
-and trend following
-
-
-
-
-
-Graham, Benjamin
-
-Graham Capital Management
-
-Great Recession (2008)
-
-Greenberg, Ace
-
-Greenberg, Alan
-
-Greene, Graham, viii
-
-Greenspan, Alan
-
-Greenwood, R.
-
-Greyserman, Alex
-
-Griffeth, Bill
-
-Griffin, Ken
-
-Growth mindset
-
-Gruden, Jon
-
-Guenther, Louis
-
-Gunther, Max
-
-Gurley, Bill
-
-Gut, process vs. outcome vs.
-
-
-
-
-
-Haircutting Sharpe Ratios
-
-Hamer, Jim
-
-Hansen, Lars Peter
-
-Hansson, David Heinemeier
-
-Harding, David
-
-Harris, Larry
-
-Harris, Mike
-
-Harrison, Alfred
-
-Harvey, C. R.
-
-Harvey, Campbell
-
-Harvey, Campbell R.
-
-Hawes, Josh
-
-Hawking, Stephen
-
-Hawking Alpha LLC
-
-Heat, of portfolio
-
-Hedges, CTAs as
-
-Hedge Fund Market Wizards (Schwager)
-
-Hedge funds:
-
-asset classes vs.
-
-in managed futures analysis
-
-purpose of
-
-and retirement plans
-
-role of, in economy
-
-trend following for successful
-
-
-
-
-
-Heebner, Ken
-
-Hemphill, Noyes & Co.
-
-Henderson, Rickey
-
-Henry, John W.
-
-Heraclitus
-
-Hermaszewski, Zbigniew
-
-HFRI Fund Weighted Composite Index
-
-HIFO (highest in, first out) accounting
-
-Higgs, Peter
-
-Higgs Boson particles
-
-High payoffs
-
-Hilbert, David
-
-Hill, Jr., John
-
-Hirshleifer, D.
-
-Historical data
-
-on big events
-
-extending time series
-
-on futures since 1960
-
-over 2 centuries
-
-studied by John W. Henry
-
-study of
-
-for tactical macro investing
-
-on trend following
-
-
-
-
-
-Hitchens, Christopher
-
-Hite, Larry
-
-Ho, Thomas
-
-Hochberg, Y.
-
-Hochenberger, Fred
-
-Hodges, Gil
-
-Hoenig, Jonathan
-
-Hoffer, Eric
-
-Hogshead, Sally
-
-Holiday, Ryan
-
-Holm test
-
-Holy Grails
-
-and Warren Buffett
-
-buy-and-hold strategy
-
-dollar-cost averaging
-
-and David Harding
-
-John W. Henry on
-
-
-
-
-
-Hommes, C. H.
-
-Honesty
-
-Hong, H.
-
-Horne, Timothy P.
-
-Horner, Jack
-
-Horvai, P.
-
-Hostetter, Amos
-
-Housel, Morgan
-
-Houthakker, Hendrik
-
-Hovey, Gail
-
-How to Trade in Stocks (Livermore)
-
-How to Win and How to Lose (Williams)
-
-HSBC
-
-Hull, Blair
-
-Hunches, in risk management
-
-Hunt silver losses
-
-Hurlbut, Todd
-
-Hurst, B.
-
-
-
-
-
-Icahn, Carl
-
-Indexes, historical data on
-
-Index funds
-
-IndyMac
-
-Ineichen, Alexander
-
-Inflationary environments
-
-Informationless Investing and Hedge Fund Performance Bias (Weisman)
-
-In Nature (Bouchard)
-
-The Innovator’s Dilemma (Christensen)
-
-In-sample (IS) periods
-
-Intelligence
-
-Interest rate futures
-
-Interest rates
-
-International Coffee Organization
-
-Interview(s)
-
-with Jean-Philippe Bouchard
-
-with Alex Greyserman
-
-with Campbell Harvey
-
-with Ewan Kirk
-
-with Martin Lueck
-
-with Lasse Heje Pedersen
-
-with Ed Seykota
-
-
-
-
-
-An Introduction to Chaos Theory and Fractal Geometry (Donahue)
-
-Intuition
-
-Investment Biker (Rogers)
-
-Investment company policies
-
-Investments and Speculation (Guenther)
-
-Investors
-
-The Investor’s Paradox (Portnoy)
-
-Ioannidis, J. P.
-
-Irrational behavior, of people
-
-ISAM
-
-IS (in-sample) periods
-
-
-
-
-
-Jacobi, Carl Gustav Jacob
-
-Jaffe, Charles A.
-
-Jagr, Jaromir
-
-James, Bill
-
-Jensen, Michael C.
-
-Jobs, Steve
-
-John Hancock Financial Services
-
-Johnson, John
-
-Johnson, Magic
-
-Johnson, Paul
-
-John W. Henry and Company, Inc.
-
-Jones, A. W.
-
-Jones, Paul Tudor
-
-Jong, Erica
-
-Jorgensen, Robert B.
-
-J.P. Morgan
-
-Judgment Under Uncertainty (Tversky)
-
-Julius
-
-
-
-
-
-Kahneman, Daniel
-
-Kaminsky, Kathryn
-
-Kandel, Myron
-
-Kansas Public Employees Retirement System
-
-Kat, Harry M.
-
-Katir, Easan
-
-Keaton, Michael
-
-Kelly, John Larry, Jr.
-
-Kelly Formula (Criterion)
-
-Kenney, Richard
-
-Kent, D.
-
-Kerkorian, Kirk
-
-Kernen, Joe
-
-Keynes, John M.
-
-Keynes, John Maynard
-
-Killian, Mike
-
-King, Paul
-
-Kingman, Dave
-
-Kins, Aleks
-
-Kirk, Ewan
-
-Kirman, A.
-
-Klein, Gary
-
-Klopenstein, Ralph
-
-Koijen, Ralph S. J.
-
-Koppel, Ted
-
-Koppett, Leonard
-
-Kosowski, R.
-
-Kotler, Steven
-
-Koulajian, Nigol
-
-Kovner, Bruce
-
-Krakower, Susan
-
-Kurtosis
-
-Kushner, Jared
-
-
-
-
-
-Lacob, Joe
-
-Lake ratio
-
-Laloux, L.
-
-Lambert, Jack
-
-Landier, A.
-
-Lange, Harry
-
-Law of small numbers
-
-Law of vital few
-
-Laws of Wealth (Crosby)
-
-Learning:
-
-about financial markets
-
-continuous
-
-and control
-
-from others
-
-reluctance to
-
-
-
-
-
-Learning to Love Non-Correlation (Staniewicz)
-
-Le Bon, Gustave
-
-Lecter, Hannibal (Silence of the Lambs)
-
-Lee, Bruce
-
-Lee, Sang
-
-Leeson, Nick
-
-Lefevre, Edwin
-
-Leggett, Robert
-
-Legg Mason
-
-Lehman Brothers
-
-Leibowitz, M.
-
-Lemmy from Motörhead
-
-Lemon, Don
-
-Lempérière, Y.
-
-Leroy, S. F.
-
-Leverage
-
-Levine, Karen
-
-Levitt, Arthur
-
-Lewis, Michael
-
-Lincoln, Abraham
-
-Lintner, John
-
-Lippmann, Walter
-
-Little, Grady
-
-Little, Jim
-
-The Little Book of Trading (Covel)
-
-Litvinenko, Alexander
-
-Liu, Yan
-
-Livermore, Jesse
-
-Liverpool Football Club
-
-Lo, Andrew
-
-Lombardi, Vince
-
-Long options
-
-Longstaff, Francis A.
-
-Long-Term Capital Management (LTCM)
-
-Long-term trading:
-
-at Dunn Capital
-
-by John W. Henry
-
-in mutual funds
-
-
-
-
-
-Long trades, short vs.
-
-López de Prado, M.
-
-Losses:
-
-acceptance of
-
-expectation for
-
-with GRAB trading system
-
-Ed Seykota on
-
-
-
-
-
-Lowenstein, Roger
-
-LTCM, see Long-Term Capital Management
-
-Luck, and skill
-
-Lueck, Martin
-
-Lustig, Hanno
-
-Lux, T.
-
-Lynch, Peter
-
-
-
-
-
-MA10x100 (10x100 Simple Moving Average Crossover)
-
-Machiavelli, Niccolo
-
-Mackay, Charles
-
-MacKenzie, Donald
-
-Macro trading
-
-Mad Money (television program)
-
-Madoff, Bernard
-
-Makridakis, Spyros
-
-Man
-
-Managed futures:
-
-in managed futures analysis
-
-tactical macro investing
-
-
-
-
-
-Managed Futures and Hedge Funds (Kat)
-
-Mandelbrot, Benoit
-
-Man Group (and AHL)
-
-Marchesi, M.
-
-Marcus, Michael
-
-Marcus Aurelius
-
-Marino, Dan
-
-Market behavior
-
-Market changes
-
-Market divergence
-
-Market entry
-
-Market equilibrium
-
-Market exit
-
-Market Technicians Association
-
-Market timing
-
-Market Wizards (Schwager)
-
-Markowitz, Harry
-
-Marks, Howard
-
-MAR ratio
-
-Mars One foundation
-
-Martinez, Pedro
-
-Martingale system
-
-Mast, Frank
-
-Mastauskas, Balys
-
-Matacz, A.
-
-Mauboussin, Michael
-
-Mauldin, John
-
-Max, Tucker
-
-McCarver, Tim
-
-McLean, R. D.
-
-McNamara, Robert
-
-Meaden, Nicola
-
-Melamed, Leo
-
-Melissinos, Michael
-
-Memos from the Chairman (Greenberg)
-
-Mencken, H. L.
-
-Menkhoff, L.
-
-Meriwether, John
-
-Merrill Lynch
-
-Merton, Robert C.
-
-Metallgesellschaft (MG)
-
-Metternich, Prince Klemens von
-
-Michigan, State of
-
-Milken, Michael
-
-Millburn Corporation
-
-Miller, Bill
-
-Miller, Merton
-
-Millman, Gregory J.
-
-Mindset, for trading
-
-Mint Investment Management Co.
-
-Mises, Ludwig von
-
-Missed discoveries
-
-Modern Portfolio Theory (MPT)
-
-Momentum
-
-Moneyball (Lewis)
-
-Money management
-
-Montana, Joe
-
-Montier, James
-
-Moore, Alan
-
-Morgan Stanley
-
-Morningstar
-
-Moskowitz, T.
-
-Motley Fool
-
-Moynihan, Daniel Patrick
-
-MPT (Modern Portfolio Theory)
-
-Multicentennial view
-
-historical study of trend following
-
-of return characteristics
-
-of risk characteristics
-
-
-
-
-
-Multiple testing
-
-Mulvaney, Paul
-
-Münchau, Wolfgang
-
-Mundt, M.
-
-Munger, Charlie
-
-Mutual funds
-
-asset classes vs.
-
-costs of
-
-expenses and fees for
-
-history of
-
-and investment company policies
-
-recent performance of
-
-transparency in
-
-underperformance of
-
-
-
-
-
-Myhrvold, Nathan
-
-
-
-
-
-Narasimhan, J.
-
-NASDAQ market crash (1973-1974)
-
-Nash, John
-
-Nash Equilibrium
-
-National Bureau of Economic Research
-
-National Institute of Standards and Technology
-
-Natural gas
-
-Nature
-
-Near-box resistance and support
-
-Nelson, Robert
-
-Netscape
-
-Neuro-Linguistic Programming (NLP)
-
-Nevada Public Employees’ Retirement System
-
-A New Interpretation of Information Rate (Kelly)
-
-News:
-
-covering financial markets
-
-and fundamental analysis
-
-and prices
-
-
-
-
-
-Newton, Sir Isaac
-
-Newton’s First Law of Motion
-
-The New York Times
-
-New York Yankees
-
-Neyer, Rob
-
-Niederhoffer, Victor
-
-Nightline (television program)
-
-Nin, Anaïs
-
-NLP (Neuro-Linguistic Programming)
-
-Nomura
-
-Nonbalanced distributions
-
-Norris, Mike
-
-Nutbrown, Kieron
-
-
-
-
-
-Oakland Athletics
-
-Occam, William of
-
-Occam’s razor
-
-Odean, Terrance
-
-Odo, M.
-
-Ooi, T.
-
-OOS (out-of-sample) periods
-
-Optimal bets
-
-Optimization
-
-Orange County
-
-Organisation for Economic Co-operation and Development
-
-Ortiz, David
-
-Osbourne, Ozzy
-
-O’Shaughnessy, James
-
-Ostgaard, Stig
-
-Outcome, process vs. gut vs.
-
-Out-of-sample (OOS) periods
-
-The Oxford Guide to Financial Modeling (Ho and Lee)
-
-
-
-
-
-Paine Webber
-
-Palahniuk, Chuck
-
-Palmer, Pete
-
-Pareto principle
-
-Parker, Jerry
-
-Parkhill, Ted
-
-Parks, Lawrence
-
-Passion
-
-Patience
-
-Patton (film)
-
-Patton, George S., Jr.
-
-Pauley, Craig
-
-Paulson, John
-
-Payoffs, high
-
-Pedersen, Lasse Heje
-
-Performance data
-
-absolute returns
-
-analysis of recent
-
-at Berkshire Hathaway
-
-for Campbell & Company
-
-correlation
-
-for CTAs
-
-drawdowns
-
-of Dunn Capital
-
-in managed futures analysis
-
-by sectors
-
-of Ed Seykota
-
-for short vs. long trades
-
-George Soros’s use of
-
-volatility vs. risk
-
-zero-sum trading
-
-
-
-
-
-Pershing Square Capital Management
-
-Personal growth
-
-Personal trading systems
-
-Piazzesi, Monika
-
-Pickens, T. Boone
-
-Pierre-Simon, Marquis de Laplace
-
-Piketty, Thomas
-
-Pinker, Steven
-
-Plank, Kevin
-
-Platt, Michael
-
-Podcast
-
-Poliquin, Charles
-
-Pollack, Milton
-
-Pontiff, J.
-
-Porter, R. D.
-
-Portfolio:
-
-heat of
-
-measuring volatility of
-
-multicentennial view of
-
-
-
-
-
-Portfolio selection:
-
-and risk management
-
-and tactical macro investing
-
-
-
-
-
-Portnoy, Brian
-
-Position mapping
-
-Position sizing
-
-The Potential Role of Managed Commodity-Financial Futures Accounts (and/or Funds) in Portfolios of Stocks and Bonds (Linter)
-
-Potters, Marc
-
-Prices:
-
-in fast and frugal decisions
-
-influences on
-
-as market indicators
-
-and speculation
-
-and trend following
-
-
-
-
-
-Probability, defined
-
-Probability theory
-
-Process, outcome vs. gut vs.
-
-Procter and Gamble
-
-Profits
-
-Profits targets
-
-Prospect theory
-
-Proxies, validation of
-
-Psychology, and risk management
-
-Psychology of the Stock Market (Selden)
-
-Puddicombe, Andy
-
-Purcell, Ed
-
-Pyle, Gomer (Andy Griffith)
-
-Pynchon, Thomas
-
-Pyramiding
-
-
-
-
-
-Quest Partners LLC
-
-The Quiet American
-
-Quintilian, Marcus Fabius
-
-
-
-
-
-Rabar, Paul
-
-Ramsey, Neil
-
-Rand, Ayn
-
-Ranking systems
-
-Rate regimes
-
-Rationality, and markets
-
-RCA
-
-Reaction, technical analysis as
-
-Reagan, Ronald
-
-Reason Magazine
-
-Red Sox Baseball
-
-Redstone, Sumner
-
-Reeve-Gray, Natasha
-
-Reinhart, C. M.
-
-Reinvesting, of fund profits
-
-Reminiscences of a Stock Operator (Lefevre)
-
-Rennison, Graham
-
-Rensink, Ronald A.
-
-Representative trend following system
-
-Resistance, in GRAB trading system
-
-Retirement savings/plans
-
-Returns:
-
-characteristics of
-
-of CTA strategies
-
-of long vs. short trades
-
-as mutual fund priority
-
-in trend following
-
-
-
-
-
-Return to maximum peak-to-trough drawdown
-
-Reward, in trading systems
-
-Ribbonfarm.com
-
-Ricardo, David
-
-Rickover, Hyman G.
-
-Risk(s):
-
-blind vs. calculated
-
-of buy-and-hold strategies
-
-and career advancement
-
-characteristics of
-
-defined
-
-in futures trading
-
-John W. Henry on
-
-limitations on
-
-and position size
-
-standard deviation as measurement of
-
-teaching/learning about
-
-in trading systems
-
-in trend following
-
-volatility vs.
-
-
-
-
-
-Risk-Basis position sizing
-
-Risk-budgeting scheme, of Dunn Capital
-
-Risk management
-
-and bet-it-all strategies
-
-and diversification
-
-at Dunn Capital
-
-of John W. Henry
-
-hunches and systems in
-
-Martingale system for
-
-measuring portfolio volatility in
-
-nonbalanced distributions and high payoffs
-
-and optimal betting
-
-optimization with
-
-and portfolio selection
-
-and position sizing
-
-psychological considerations for
-
-pyramiding for
-
-Ed Seykota on
-
-simulations for
-
-strategy of Bill Dunn
-
-stress testing in
-
-technical analysis for
-
-in trading system development
-
-and the uncle point
-
-
-
-
-
-Ritholtz, Barry
-
-Robbins, Anthony
-
-Robertson, Julian
-
-Robusta Coffee
-
-Robust trading systems
-
-Rogers, Jim
-
-Rogoff, K. S.
-
-Roh, Chris
-
-The Rolling Stones
-
-Romaine, Rob
-
-Rooney, Andy
-
-Rotella, Robert
-
-Rothbard, Murray N.
-
-Rother, John
-
-Rubin, Robert
-
-Rubinstein, Julian
-
-Rumsfeld, Donald
-
-Russell, Bertrand
-
-Russell, Jason
-
-Russell, Richard
-
-Russo, Edward
-
-Ruth, Babe
-
-Rzepczynski, Mark S.
-
-
-
-
-
-Saban, Nick
-
-Sabermetrics
-
-baseball changed by
-
-Billy Beane’s use of
-
-Bill James’s use of
-
-statistics for
-
-
-
-
-
-Sabre Fund Management
-
-SAC Capital
-
-Sagan, Carl
-
-Salomon Brothers
-
-Samonov, M.
-
-Samuelson, Paul
-
-Sanders, Bernie
-
-Sandy Weill
-
-Sanford, Charles
-
-Santa-Clara, P.
-
-Santos, Laurie
-
-Sapolsky, Robert M.
-
-Schatt, Dan
-
-Schauben, M.
-
-Schefer, Stephen
-
-Schelling, Thomas
-
-Schoemaker, Paul
-
-Scholes, Myron
-
-Schwager, Jack
-
-Schwed, Fred
-
-Schwert, G. W.
-
-Science of trading
-
-Scientific method
-
-applied to financial field
-
-and chaos theory
-
-compounding
-
-critical thinking
-
-growing business with
-
-used to shape trading strategies
-
-
-
-
-
-Seager, Philip
-
-Seawright, Bob
-
-Sector performance
-
-Securities and Exchange Commission
-
-Selden, G. C.
-
-Self-awareness
-
-Seneca
-
-September 11
-
-Seykota, Edward Arthur
-
-Shannon, Claude
-
-Sharpe, William
-
-Sharpe ratio
-
-Shearson American Express
-
-Shearson Hamill & Company
-
-Shefrin, Hersh
-
-Shekerjian, Denise
-
-Shiller, Robert
-
-Shliefer, A.
-
-Short-term trading
-
-Short trades, long vs.
-
-Signal, for trend following
-
-Silver, Nate
-
-Simms, Jim
-
-Simons, Daniel
-
-Simons, James
-
-Simple Heuristics That Make Us Smart (Gigerenzer)
-
-Simple Moving Average Crossovers
-
-Simplicity
-
-Simulation(s):
-
-of different trend following models
-
-with historical data
-
-optimization using
-
-as research
-
-for risk management
-
-
-
-
-
-Sinclair, Upton
-
-Skewness
-
-of CTA strategies
-
-in historical data
-
-of long vs. short trades
-
-and statistical thinking
-
-in tactical macro investing
-
-
-
-
-
-Skill, and luck
-
-Skilling, Jeff
-
-Slaughter, Rick
-
-Sleeman, Mark
-
-Sloan, Alan
-
-Slovic, Paul
-
-Smith, Greg
-
-Smith, Vernon Lomax
-
-Snyder, Gary
-
-Sornette, Didier
-
-Soros, George
-
-Soros Fund Management
-
-S&P 500 Index
-
-S&P Capital IQ
-
-Spear, Bob
-
-Speculation:
-
-and Barings Bank Collapse
-
-Jesse Livermore on
-
-trend following
-
-Dickson Watts on
-
-
-
-
-
-Spitzer, Eliot
-
-Spitznagel, Mark
-
-Standard and Poor’s Capital IQ
-
-Standard deviation
-
-Staniewicz, Julius A.
-
-Stanton, Chris
-
-The Stark Report
-
-Starting capital
-
-State of California
-
-State of Florida
-
-State of Michigan
-
-Statistical thinking
-
-Statistics:
-
-Bayesian
-
-for mutual funds
-
-for sabermetrics
-
-for tactical macro investing
-
-
-
-
-
-Statman, Meir
-
-Steadman, Ralph
-
-Steenbarger, Brett
-
-Stein, Ben
-
-Stein, J.
-
-Steinberg, Leigh
-
-Steinhardt, Michael
-
-Stocks:
-
-carry in
-
-John W. Henry on
-
-in managed futures analysis
-
-trend following for
-
-
-
-
-
-Stone, Oliver
-
-Strebulaev, Ilya A.
-
-Stress testing
-
-Strong Capital Management
-
-Students:
-
-of Richard Dennis
-
-of Richard Donchian
-
-of Ed Seykota
-
-
-
-
-
-Summers, L.
-
-Sunderam, Adi
-
-Sundt, Jon C.
-
-Sunk costs
-
-Sunrise Capital Partners
-
-Support, in GRAB trading system
-
-Survivorship bias
-
-Swedroe, Larry
-
-Swenson mode of diversification
-
-Swiss Bank Corporation
-
-Syrus, Publilius
-
-Systems:
-
-GRAB trading system
-
-Martingale system
-
-personal trading
-
-ranking
-
-representative trend following
-
-in risk management
-
-trading, see Trading systems
-
-
-
-
-
-Systematic trading strategies:
-
-adding discretionary trading into
-
-at Aspect
-
-developing strategies for
-
-discretionary vs.
-
-at Winton Capital
-
-
-
-
-
-System dynamics
-
-Szakmary, A. C.
-
-
-
-
-
-Tactical macro investing
-
-basic statistics for
-
-CTAs and managed futures
-
-data for
-
-historical data for
-
-managed futures
-
-and portfolio selection
-
-results of, over time
-
-skewness and kurtosis in
-
-
-
-
-
-Taleb, Nassim
-
-Taxes, and mutual funds
-
-Taylor, Hunt
-
-Tchir, Peter
-
-Teacher Retirement System of Texas
-
-Tebow, Tim
-
-Technical analysis:
-
-fundamental vs.
-
-and market expertise
-
-for risk management
-
-used by John W. Henry
-
-
-
-
-
-Technical indicators
-
-Tedstrom, Peter F.
-
-Templeton, Sir John
-
-10x100 Simple Moving Average Crossover (MA10x100)
-
-Tentarelli, Larry
-
-Tepper, David
-
-Terence (Publius Terentius Afer)
-
-Terry, Bruce
-
-Tesla
-
-Testing:
-
-BHY test
-
-Bonferroni test
-
-candidate testing strategy
-
-Holm test
-
-multiple
-
-stress
-
-
-
-
-
-Tetlock, Philip
-
-Texas A&M University.
-
-Thaler, R. H.
-
-Tharp, Van
-
-The Theory of Stock Exchange Theory (Crump)
-
-Thesmar, D..
-
-Thiel, Peter
-
-Thinking:
-
-critical
-
-statistical
-
-
-
-
-
-A Thinking Man’s Guide to Baseball (Koppett)
-
-Thompson, Hunter S.
-
-Thorpe, Ed
-
-Tiger
-
-Tiger Cub
-
-Timeline, of events
-
-Time series, historical data on
-
-Time-series momentum
-
-Titman, S.
-
-Tocqueville, Alexis de
-
-Todd, Anthony
-
-Toffler, Alvin
-
-Tolle, Eckhart
-
-Tolstoy, Leo
-
-Torvalds, Linus
-
-Townsend, Frederic
-
-Traders:
-
-career risks of, in trend following
-
-clients matched with
-
-communicating with investors
-
-investors vs.
-
-
-
-
-
-Trader profiles
-
-Salem Abraham
-
-Keith Campbell
-
-Richard Dennis
-
-Richard Donchian
-
-Bill Dunn
-
-David Harding
-
-John W. Henry
-
-Jesse Livermore
-
-Jerry Parker
-
-Ed Seykota
-
-Dickson Watts
-
-
-
-
-
-Trading:
-
-futures
-
-long-term, see Long-term trading
-
-macro
-
-science of
-
-short-term
-
-views of
-
-zero-sum
-
-
-
-
-
-Trading strategies:
-
-consistency in
-
-of Richard Donchian
-
-of Dunn Capital
-
-and financial products
-
-fundamental vs. technical analysis
-
-John W. Henry on
-
-importance of basic
-
-of John W. Henry and Company, Inc.
-
-and patience
-
-for selling
-
-using long and short trades
-
-
-
-
-
-Trading strategy evaluation
-
-for candidate strategy
-
-false and missed discoveries in
-
-and financial products
-
-haircutting Sharpe Ratios in
-
-of in-sample and out-of-sample periods
-
-and scientific fields
-
-with S&P Capital IQ
-
-views of multiple testing in
-
-
-
-
-
-Trading systems
-
-computers and curve fitting in
-
-day trading limits in
-
-development of personal
-
-five questions for
-
-personal
-
-risk and reward in
-
-robustness of
-
-starting capital for
-
-trend following for stocks with
-
-and views of trading
-
-
-
-
-
-Trading Tribe
-
-Trading Tribe Process (TTP)
-
-Transaction costs
-
-Transtrend
-
-Treatise on Money (Keynes)
-
-Trends:
-
-defining
-
-measurement of
-
-synonyms for
-
-
-
-
-
-Trend following
-
-acceptance of
-
-blame in
-
-and changes in markets
-
-discretionary vs. systematic strategies in
-
-fundamental vs. technical analysis in
-
-as game
-
-and GRAB trading system
-
-historical study of
-
-investor vs. trader in
-
-leverage and returns in
-
-mindset for
-
-Victor Niederhoffer on
-
-and prices
-
-risk in
-
-speculation
-
-for stocks
-
-success of, during big events
-
-winning vs. losing in
-
-
-
-
-
-Trend Following (podcast)
-
-Trend following models
-
-Aspect’s approach to trend following
-
-Aspect’s model
-
-diversification between
-
-introduction to
-
-
-
-
-
-Treynor, Jack L.
-
-Trillion Dollar Bet (television program)
-
-Tropin, Ken
-
-The Truman Show (film)
-
-Trump, Donald
-
-TTP (Trading Tribe Process)
-
-Tu, T.
-
-Turing, Alan
-
-Turtle Program
-
-TurtleTrader.com
-
-TurtleTraders
-
-Tversky, Amos
-
-Twain, Mark
-
-Two Centuries of Trend Following (Bouchard)
-
-Type I and II errors
-
-Tyson, Neil deGrasse
-
-
-
-
-
-UBS
-
-Ueland, Brenda
-
-Uncertainty:
-
-approach to
-
-becoming comfortable with
-
-dealing with
-
-and perceived stableness of markets
-
-Ed Seykota on
-
-in trading systems
-
-trend following to manage
-
-
-
-
-
-Uncle point
-
-Underperformance, of mutual funds
-
-Union Bank of Switzerland
-
-U.S. Army War College
-
-U.S. National Agricultural Library
-
-U.S. 10-year Treasury note futures
-
-Utility function, of clients
-
-
-
-
-
-Valeant
-
-Value-at-risk (VaR)
-
-Value-Basis position sizing
-
-Van Gogh, Vincent
-
-Vanguard
-
-Vanguard Financial
-
-Van Stolk, Mark
-
-Van Vliet, Gerard
-
-VaR (value-at-risk)
-
-Varanedoe, J. Kirk T.
-
-Venetian Bonds
-
-V for Vendetta (Moore)
-
-Viacom
-
-Viceira, Luis M.
-
-Vician, Thomas, Jr.
-
-Volatility
-
-Bill Dunn on
-
-John W. Henry on
-
-measuring portfolio
-
-as opportunity
-
-risk vs.
-
-Ed Seykota on
-
-and standard deviation
-
-teaching/learning about
-
-
-
-
-
-Voltaire
-
-VUCA
-
-
-
-
-
-Wachtel, Larry
-
-Waksman, Sol
-
-Wall Street: Money Never Sleeps (film)
-
-Wall Street Crash 1929
-
-The Wall Street Journal
-
-The Washington Post
-
-Watchmen (film)
-
-Watts, Alan
-
-Watts, Dickson
-
-Weaver, Earl
-
-Weekly rules
-
-Weintraub, Neal T.
-
-Weisman, Andrew
-
-Wells, Herbert George
-
-Wells Fargo
-
-Welton, Patrick
-
-Whipsaws
-
-Why Most Published Research Findings Are False (Harvey, Liu, and Zhu)
-
-Wilde, Oscar
-
-William of Occam
-
-Williams, Albert
-
-Williams, Ted
-
-Williams, Walter
-
-The Winners and Losers of the Zero-Sum Game (Harris)
-
-Winnie the Pooh
-
-Winston, James
-
-Winton Capital
-
-The Winton Papers (Harding)
-
-Wizard of Oz (film)
-
-Wolf, Rudolf
-
-Wooden, John
-
-Woodlock, Thomas F.
-
-WorldCom
-
-The World Is Flat (Friedman)
-
-Wozniak, Steve
-
-Wright, Charlie
-
-Wyart, M.
-
-Wyckoff, Richard
-
-
-
-
-
-Yahoo!
-
-Yahoo! Finance
-
-Yekutieli, D.
-
-Yew, Lee Kuan
-
-Young America in Wall Street
-
-Yu, J.
-
-
-
-
-
-Zero-sum trading
-
-Zhu, H.
-
-Zimmer, Don
-
-Zweig, Jason
-
-Zweig, Martin
-
-
-
-
-
-WILEY END USER LICENSE AGREEMENT
-
-
-Go to www.wiley.com/go/eula to access Wiley’s ebook EULA.
-
-
-
-
-
diff --git a/Books/Finance/Value Investing - Bruce C. N. Greenwald;Judd Kahn.txt b/Books/Finance/Value Investing - Bruce C. N. Greenwald;Judd Kahn.txt
index 51b2b76..c1f65b7 100644
--- a/Books/Finance/Value Investing - Bruce C. N. Greenwald;Judd Kahn.txt	
+++ b/Books/Finance/Value Investing - Bruce C. N. Greenwald;Judd Kahn.txt	
@@ -1,73 +1,3 @@
-BRUCE C. N. GREENWALD JUDD KAHN PAUL D. SONKIN MICHAEL VAN BIEMA
-
-
-
-
-
-For Virginia Greenwald who now only need find a ship and Anne Rogin who need not
-
-
-
-
-
-Preface
-
-PART I AN INTRODUCTION TO VALUE INVESTING
-
-1 Value Investing: Definitions, Distinctions, Results, Risks, and Principles
-
-2 Searching for Value: Fish Where the Fish Are
-
-PART II THREE SOURCES OF VALUE
-
-3 Valuation in Principle, Valuation in Practice
-
-Appendix: The Present Value of Future Cash Flows
-
-4 Valuing the Assets: From Book Value to Reproduction Costs
-
-5 Earnings Power Value: Assets Plus Franchise
-
-Appendix: The Value of Brands-Less than Meets the Eye?
-
-6 A Wonderful Little Franchise: The Earnings Power of WD-40
-
-7 Inside Intel: The Value of Growth within the Franchise
-
-Appendix: Valuation Algebra: Return on Capital, Cost of Capital, and Growth
-
-8 Constructing the Portfolio: Risk, Diversification, and Default Strategies
-
-
-
-PART III VALUE INVESTING IN PRACTICE: PROFILES OF EIGHT VALUE INVESTORS
-
-9 Warren Buffett: Investing Is Allocating Capital
-
-10 Mario Gabelli: Discovering and Unlocking the Private Market Value
-
-11 Glenn Greenberg: Investigate, Concentrate, and-Watch That Basket
-
-12 Robert H. Heilbrunn: Investing in Investors
-
-13 Seth Klarman: Distressed Sellers, Absent Buyers
-
-14 Michael Price: Discipline, Patience, Focus, and Power
-
-15 Walter and Edwin Schloss: Keep It Simple, and Cheap
-
-16 Paul D. Sonkin: Small Is Beautiful, Especially When It's Ugly
-
-References
-
-Acknowledgments
-
-Index
-
-
-
-
-
 Benjamin Graham is commonly credited with establishing security analysis as a reasonably firm discipline within an investment world that had been dominated by speculation, insider information, and other practices at best unsound and at worst downright shady. The publication of Security Analysis with David Dodd in 1934 marks the start of a profession. Graham made his ideas and techniques more available to professionals and interested amateurs with The Intelligent Investor, which initially appeared in 1949. Each book has been revised several times. Security Analysis is available both in its initial, classic version and in a fifth edition that purists feel has little of Graham remaining. The New York Society of Security Analysts, an association Graham founded, contends that he "is to investing what Euclid is to geometry, and Darwin is to the study of evolution." Though this may carry the praise further than Graham himself would have allowed, his significance to investing is not in dispute.
 
 Graham did more than put investing on a rational foundation. He also engraved on the minds of his students and devotees a strong preference for what would now be called value investing. To present the most succinct description, the value investor seeks to purchase a security at a bargain price, the proverbial dollar for 50 cents. There is considerably more to it than that, as this book attests. Still, despite all the changes in the investment world since the 1920s, Graham initiated an approach to investing that remains vital today. Our effort here is to build on his work and on that of his successors and to incorporate the advances in value investing that have appeared over the last three or four decades.
diff --git a/Books/Finance/Value Investing - Joseph D Piotroski.txt b/Books/Finance/Value Investing - Joseph D Piotroski.txt
index 157df5e..04b2175 100644
--- a/Books/Finance/Value Investing - Joseph D Piotroski.txt	
+++ b/Books/Finance/Value Investing - Joseph D Piotroski.txt	
@@ -1,105 +1,3 @@
-Selected Paper 84
-
-T h e U n i v e r s i t y o f C h i c a g o G r a d u a t e S c h o o l o f B u s i n e s s Value Investing: The Use of Historical
-
-Financial Statement Information
-
-to Separate Winners from Losers
-
-
-
-Joseph D. Piotroski
-
-The University of Chicago
-
-Graduate School of Business
-
-Publication of this Selected Paper
-
-was supported by the Albert P. Weisman
-
-Endowment.
-
-Joseph D. Piotroski
-
-The University of Chicago
-
-Graduate School of Business
-
-
-
-1101 East 58th Street
-
-Chicago, Illinois 60637
-
-Phone: 773.834.4199
-
-Fax: 773.702.0458
-
-joseph.piotroski@gsb.uchicago.edu
-
-I would like to thank Mark Bradshaw,
-
-Peter Joos, Steve Monahan, Charles Lee
-
-(referee), and workshop participants at
-
-the 2000 Journal of Accounting
-
-Research Conference for their comments
-
-
-
-and suggestions. Analyst forecast data
-
-was generously provided by I/B/E/S.
-
-Financial support from the University
-
-of Chicago Graduate School of Business
-
-
-
-is gratefully acknowledged.
-
-© 2002 The University of Chicago.
-
-All rights reserved.
-
-5-02/13M/CN/01-232
-
-Design: Sorensen London, Inc.
-
-Value Investing: The Use of Historical
-
-
-
-Joseph D. Piotroski
-
-Financial Statement Information
-
-January 2002
-
-to Separate Winners from Losers
-
-
-
-Abstract
-
-This paper examines whether a simple accounting-based fundamental analysis strategy, when applied to a broad portfolio of high book-to-market firms, can shift the distribution of returns earned by an investor. I show that the mean return earned by a high book-to-market investor can be increased by at least 7H% annually through the selection of financially strong high BM firms while the entire distribution of realized returns is shifted to the right. In addition, an investment strategy that buys expected winners and shorts expected losers generates a 23% annual return between 1976 and 1996, and the strategy
-
-appears to be robust across time and to controls for alternative investment strategies. Within the portfolio of high BM firms, the benefits to financial statement analysis are concentrated in small and medium-sized firms, companies with low share turnover, and firms with no analyst following, yet this superior performance is not dependent on purchasing firms with low share
-
-prices. A positive relationship between the sign of the initial historical information and both future firm performance and subsequent quarterly earnings announcement reactions suggests that the market initially underreacts to the historical information. In particular, ⁄/^ of the annual return difference between ex ante strong and weak firms is earned over the four three-day periods surrounding these quarterly earnings announcements. Overall, the evidence suggests that the market does not fully incorporate historical financial
-
-information into prices in a timely manner.
-
-S e l e c t e d P a p e r N u m b e r
-
-2
-
-8 4
-
 Section 1: Introduction
 
 This paper examines whether a simple accounting-based fundamental analysis strategy, when applied to a broad portfolio of high book-to-market (BM) firms, can shift the distribution of returns earned by an investor. Considerable research documents the returns to a high book-to-market investment strategy (e.g., Rosenberg, Reid, and Lanstein 1984; Fama and French 1992; and Lakonishok, Shleifer, and Vishny 1994). However, the success of that strategy relies on the strong performance of a few firms, while tolerating the poor performance of many deteriorating companies. In particular, I document that less than 44% of all high BM firms earn positive market-adjusted returns in the two years following portfolio formation.
diff --git a/Books/Finance/embeddings_cache.npz b/Books/Finance/embeddings_cache.npz
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diff --git a/Books/History/Coming of the Third Reich, The - Richard J. Evans.txt b/Books/History/Coming of the Third Reich, The - Richard J. Evans.txt
index e0e7454..8530fd4 100644
--- a/Books/History/Coming of the Third Reich, The - Richard J. Evans.txt	
+++ b/Books/History/Coming of the Third Reich, The - Richard J. Evans.txt	
@@ -1,305 +1,3 @@
-Table of Contents
-
-ABOUT THE AUTHOR
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-Title Page
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-Copyright Page
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-Dedication
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-Preface
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-Part 1 - THE LEGACY OF THE PAST
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-GERMAN PECULIARITIES
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-GOSPELS OF HATE
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-THE SPIRIT OF 1914
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-DESCENT INTO CHAOS
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-Part 2 - THE FAILURE OF DEMOCRACY
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-THE WEAKNESSES OF WEIMAR
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-THE GREAT INFLATION
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-CULTURE WARS
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-THE FIT AND THE UNFIT
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-Part 3 - THE RISE OF NAZISM
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-BOHEMIAN REVOLUTIONARIES
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-THE BEER-HALL PUTSCH
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-REBUILDING THE MOVEMENT
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-THE ROOTS OF COMMITMENT
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-Part 4 - TOWARDS THE SEIZURE OF POWER
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-THE GREAT DEPRESSION
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-THE CRISIS OF DEMOCRACY
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-THE VICTORY OF VIOLENCE
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-FATEFUL DECISIONS
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-Part 5 - CREATING THE THIRD REICH
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-THE TERROR BEGINS
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-FIRE IN THE REICHSTAG
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-DEMOCRACY DESTROYED
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-BRINGING GERMANY INTO LINE
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-Part 6 - HITLER’S CULTURAL REVOLUTION
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-DISCORDANT NOTES
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-THE PURGE OF THE ARTS
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-‘AGAINST THE UN-GERMAN SPIRIT’
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-A ‘REVOLUTION OF DESTRUCTION’?
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-Notes
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-Bibliography
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-Index
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-Praise for The Coming of the Third Reich
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-
-“Will long remain the definitive English-language account ... both gripping and precise ... An always reliable, often magisterial synthesis of a vast body of scholarship, and a frequently deft blend of narrative and interpretation, Evans’s book is an impressive achievement.”
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-—Benjamin Schwarz, The Atlantic Monthly
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-“Brilliant.”
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-—Richard Cohen, The Washington Post
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-“Richard Evans’s The Coming of the Third Reich gives the clearest and most gripping account I’ve read of German life before and during the rise of the Nazis.”
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-—A. S. Byatt, The Times Literary Supplement
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-“Richard J. Evans’s Coming of the Third Reich is an enormous work of synthesis—knowledgeable and reliable ... vivid ... Evans shows how the ingredients for Nazi triumph were assembled and what was needed to make them jell: add war and depression, cook in a turbulent political atmosphere for several years and serve hot.”
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-—Mark Mazower, The New York Times Book Review
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-“Why, Mr. Evans asks, did Germany deliver itself over to the Third Reich? Mr. Evans’s answer is a brilliant and sweeping work of history.... He has mastered the vast scholarship on the politics, economics, ideology, and culture of Weimar Germany ... more important, he has synthesized all this knowledge into a lucid, absorbing dramatic and accessible book.”
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-—Adam Kirsch, The New York Sun
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-“A masterly and most illuminating interpretation of its subject, which makes one look forward eagerly to the volumes to come.”
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-—Roger Morgan, The Times Literary Supplement
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-“The generalist reader, it should be emphasized, is well served.... The book reads briskly, covers all important areas—social and cultural—and succeeds in its aim of giving voice to the people who lived through the years with which it deals.”
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-—Roger K. Miller, The Denver Post
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-“Gripping ... Evans broadens the historic perspective to demythologize how morbidly fertile the years before World War II were as an incubator for Hitler.”
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-—Publishers Weekly (starred review)
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-“A brilliant synthesis of German history, enumerating and elucidating the social, political, and cultural trends that made the rise of Nazism possible.... A peerless work ... Of immense importance to general readers—and even some specialists—seeking to understand the origins of the Nazi regime.”
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-—Kirkus Reviews (starred review)
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-“Evans provides an erudite, fascinating, and sometimes painfully moving account of one society’s slow collapse into nightmare and evil.”
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-—Timothy Giannuzzi, Calgary Herald
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-“One finally puts down this magnificent volume thirsty, on the one hand, for the next installment in the Nazi saga yet still haunted by the questions Evans poses and so masterfully grapples with.”
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-—Abraham Brumberg, The Nation
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-
-
-
-
-ABOUT THE AUTHOR
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-Richard J. Evans was educated at Oxford, has taught at Columbia and the University of London, and is currently Professor of Modern History at Cambridge. His books include Death in Hamburg (winner of the Wolfson Literary Award for History), In Hitler’s Shadow, Rituals of Retribution (winner of the Fraenkel Prize in Contemporary History), In Defense of History, and Lying About Hitler.
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-PENGUIN BOOKS
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-Published by the Penguin Group
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-Penguin Group (USA) Inc., 375 Hudson Street, New York, New York 10014, U.S.A.
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-Penguin Group (Canada), 10 Alcorn Avenue, Toronto, Ontario, Canada M4V 3B2 (a division of Pearson Penguin Canada Inc.)
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-Penguin Books Ltd, 80 Strand, London WC2R ORL, England
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-Penguin Ireland, 25 St Stephen’s Green, Dublin 2, Ireland (a division of Penguin Books Ltd)
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-Penguin Group (Australia), 250 Camberwell Road, Camberwell, Victoria 3124, Australia (a division of Pearson Australia Group Pty Ltd)
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-Penguin Books India Pvt Ltd, 11 Community Centre, Panchsheel Park, New Delhi - 110 017, India
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-Penguin Books Ltd, Registered Offices:
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-80 Strand, London WC2R ORL, England
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-First published in the United States of America by The Penguin Press,
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-a member of Penguin Group (USA) Inc. 2004
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-Published in Penguin Books 2005
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-10 9
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-Copyright © Richard J. Evans, 2003
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-All rights reserved
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-Evans, Richard J.
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-The coming of the Third Reich : a history / Richard J. Evans.
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-p. cm.
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-Includes bibliographical references and index.
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-eISBN : 978-1-101-04058-4
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-1. Germany—History—1871-1918. 2. Germany—History—1918-1933. 3. National socialism—History. I. Title.
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-DD221.E94 2004
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-943.08—dc22
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-2003063205
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-The scanning, uploading and distribution of this book via the Internet or via any other means without the permission of the publisher is illegal and punishable by law. Please purchase only authorized electronic editions, and do not participate in or encourage electronic piracy of copyrighted materials. Your support of the author’s rights is appreciated.
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-http://us.penguingroup.com
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-For Matthew and Nicholas
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-
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-Preface
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-I
-
 This book is the first of three on the history of the Third Reich. It tells the story of the origins of the Third Reich in the nineteenth-century Bismarckian Empire, the First World War and the bitter postwar years of the Weimar Republic. It goes on to recount the Nazis’ rise to power through a combination of electoral success and massive political violence in the years of the great economic Depression from 1929 to 1933. Its central theme is how the Nazis managed to establish a one-party dictatorship in Germany within a very short space of time, and with seemingly little real resistance from the German people. A second book will deal with the development of the Third Reich from 1933 to 1939. It will analyse its central institutions, describe how it worked and what it was like to live in it, and recount its drive to prepare people for a war that would reinstate Germany’s position as the leading power in Europe. The war itself is the subject of a third and final book that will deal with the rapid radicalization of the Third Reich’s policies of military conquest, social and cultural mobilization and repression, and racial extermination, until it ended in total collapse and destruction in 1945. A concluding chapter will examine the aftermath of the twelve short years of the Reich’s history and its legacy for the present and the future.
 
 These three books are addressed in the first place to people who know nothing about the subject, or who know a little and would like to know more. I hope that specialists will find something of interest in them, but they are not the primary readership for which the books are intended. The legacy of the Third Reich has been widely discussed in the media in recent years. It continues to attract widespread attention. Restitution and compensation, guilt and apology have become sensitive political and moral issues. Images of the Third Reich, and museums and memorials calling attention to the impact of Nazi Germany between 1933 and 1945, are all around us. Yet the background to all this in the history of the Third Reich itself is often missing. That is what these three books aim to provide.
@@ -2841,10309 +2539,3 @@ Nazism offered a synthesis of the revolutionary and the restorative. A complete
 
 
 
-Notes
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-Preface
-
-1 Michael Ruck, Bibliographie zum Nationalsozialismus (2 vols., Darmstadt, 2000 [1995])
-
-2 Norbert Frei, National Socialist Rule in Germany: The Führer State 1933-1945 (Oxford, 1993 [1987]); Ludolf Herbst, Das nationalsozialistische Deutschland 1933-1945 (Frankfurt am Main, 1996). Among many other shorter accounts, Hans-Ulrich Thamer, Verführung und Gewalt: Deutschland 1933-1945 (Berlin, 1986) is a smooth synthesis; Jost Dülffer, Nazi Germany 1933-1945: Faith and Annihilation (London, 1996 [1992]), and Bernd-Jürgen Wendt, Deutschland 1933-1945: Das Dritte Reich. Handbuch zur Geschichte (Hanover, 1995) are useful, crisp introductions.
-
-3 Detlev J. K. Peukert, Volksgenossen und Gemeinschaftsfremde - Anpassung, Ausmerze, Aufbegehren unter dem Nationalsozialismus (Cologne, 1982); English edn., Inside Nazi Germany: Conformity, Opposition and Racism in Everyday Life (London, 1989).
-
-4 Jeremy Noakes and Geoffrey Pridham (eds.), Nazism 1919-1945 (4 vols., Exeter, 1983-98 [1974]).
-
-5 William L. Shirer, The Rise and Fall of the Third Reich: A History of Nazi Germany (New York, 1960); Klaus Epstein’s review is in Review of Politics, 23 (1961), 130-45.
-
-6 Karl Dietrich Bracher, The German Dictatorship: The Origins, Structure, and Consequences of National Socialism (New York, 1970 [1969]).
-
-7 Ian Kershaw, Hitler, I: 1889-1936: Hubris (London, 1998); idem, Hitler, II: 1936-1945: Nemesis (London, 2000).
-
-8 Michael Burleigh, The Third Reich: A New History (London, 2000).
-
-9 I am thinking here of works like Orlando Figes, A People’s Tragedy: The Russian Revolution 1891-1924 (London, 1996), or Margaret Macmillan, Peacemakers: The Paris Conference of 1919 and its Attempt to End War (London, 2001).
-
-10 Starting with Martin Broszat’s Der Staat Hitlers: Grundlegung und Entwicklung seiner inneren Verfassung (Munich, 1969), another book which bears repeated rereading, and represented above all by Hans Mommsen’s brilliant essays, collected in his Der Nationalsozialismus und die deutsche Gesellschaft: Ausgewählte Aufsätze (Reinbek, 1991) and From Weimar to Auschwitz: Essays in German History (Princeton, 1991).
-
-11 This follows and carries further the technique already used in my earlier books Death in Hamburg: Society and Politics in the Cholera Years 1830-1910 (Oxford, 1987) and Rituals of Retribution: Capital Punishment in Germany 1600-1987 (Oxford, 1996).
-
-12 Karl Marx, The Eighteenth Brumaire of Louis Bonaparte (1852), in Lewis Feuer (ed.), Marx and Engels: Basic Writings on Politics and Philosophy (New York, 1959), 360.
-
-13 L. P. Hartley, The Go-Between (London, 1953), preface.
-
-14 See Richard J. Evans, ‘History, Memory, and the Law: The Historian as Expert Witness’, History and Theory, 41 (2002) 277-96; and Henry Rousso, The Haunting Past: History, Memory, and Justice in Contemporary France (Philadelphia, 2002 [1998]).
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-15 Ian Kershaw, Popular Opinion and Political Dissent in the Third Reich: Bavaria 1933-1945 (Oxford, 1983), vii.
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-16 Konrad Heiden, Geschichte des Nationalsozialismus: Die Karriere einer Idee (Berlin, 1932); idem, Adolf Hitler: Das Zeitalter der Verantwortungslosigkeit. Eine Biographie (Zurich, 1936); Ernst Fraenkel, The Dual State (New York, 1941); Franz Neumann, Behemoth: The Structure and Practice of National Socialism (New York, 1942).
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-17 Friedrich Meinecke, Die deutsche Katastrophe (Wiesbaden, 1946), available in a comically literal English translation by Sidney B. Fay, The German Catastrophe: Reflections and Recollections (Cambridge, Mass., 1950). For a highly critical discussion, see Imanuel Geiss,‘Kritischer Rückblick auf Friedrich Meinecke’, in idem, Studien über Geschichte und Geschichtswissenschaft (Frankfurt am Main, 1972), 89-107. For a defence, see Wolfgang Wippermann, ‘Friedrich Meineckes “Die deutsche Katastrophe”: Ein versuch zur deutschen Vergangenheitsbewaltigung‘, in Michael Erbe (ed. Friedrich Meinecke heute: Bericht über ein Gedenk-Colloquium zuseinem 25. Todestag am 5. und 6. April 1979 (Berlin, 1981), 101-21.
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-18 Thus the catalogue of questions posed at the outset of Karl Dietrich Bracher’s classic Stufen der Machtergreifung, volume I of Karl Dietrich Bracher et al., Die nationalsozialistische Machtergreifung: Studien zur Errichtung des totalitdren Herrschaftssystems in Deutschland 1933/34 (Frankfurt am Main, 1974 [1960]), 17- 18.
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-19 Among many good discussions of the historiography of Nazism and the Third Reich, see especially the brief survey by Jane Caplan, ‘The Historiography of National Socialism‘, in Michael Bentley (ed.), Companion to Historiography (London, 1997), 545-90, and the longer study by Ian Kershaw, The Nazi Dictatorship: Problems and Perspectives of Interpretation (4th edn., London, 2000 [1985]).
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-20 Mark Mazower, Dark Continent: Europe’s Twentieth Century (London, 1998).
-
-21 For a good survey of Marxist interpretations, placed in their contemporary political context, see Pierre Ayçoberry, The Nazi Question: An Essay on the Interpretations of National Socialism (1922-1975) (New York, 1981 [1979]).
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-22 For East German work, see the discussion in Andreas Dorpalen, German History in Marxist Perspective: The East German Approach (Detroit, 1988). There is a representative selection, with a judicious commentary, in Georg G. Iggers (ed.), Marxist Historiography in Transformation: New Orientations in Recent East German History (Oxford, 1992). One of the finest and subtlest of Marxist historians of the Third Reich was Tim Mason: see in particular his Nazism, Fascism and the Working Class : Essays by Tim Mason (ed. Jane Caplan, Cambridge, 1995) and Social Policy in the Third Reich: The Working Class and the ‘National Community’ (ed. Jane Caplan, Providence, RI, 1993 [1977]).
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-23 Shirer, The Rise and Fall; Alan J. P. Taylor, The Course of German History (London, 1945); Edmond Vermeil, Germany in the Twentieth Century (New York, 1956).
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-24 Ayçoberry, The Nazi Question, 3-15.
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-25 Rohan d‘Olier Butler, The Roots of National Socialism 1783-1933 (London, 1941), is the classic example of such wartime propaganda; another was Fossey J. C. Hearnshaw, Germany the Aggressor throughout the Ages (London, 1940). For an intelligent contemporary response, see Harold Laski, The Germans - are they Human? (London, 1941).
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-26 For a general discussion of these issues, see Richard J. Evans, Rethinking German History: Nineteenth-Century Germany and the Origins of the Third Reich (London, 1987), esp. 1-54. There is an excellent brief collection of documents, with commentary, in John C. G. Rohl (ed.), From Bismarck to Hitler: The Problem of Continuity in German History (London, 1970). When I was an undergraduate, I was introduced to these controversies by the handy compendium of excerpts in John L. Snell (ed.), The Nazi Revolution - Germany’s Guilt or Germany’s Fate? (Boston, 1959).
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-27 This applies even to the relatively sophisticated writings of Germans exiled by the Third Reich, such as Hans Kohn, especially The Mind of Germany: The Education of a Nation (London, 1961), and Peter Viereck, Metapolitics: From the Romantics to Hitler (New York, 1941).
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-28 Keith Bullivant, ‘Thomas Mann and Politics in the Weimar Republic’, in idem (ed.), Culture and Society in the Weimar Republic (Manchester, 1977), 14-38; Taylor, The Course, 92-3.
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-29 Gerhard Ritter, ’The Historical Foundations of the Rise of National-Socialism‘, in Maurice Beaumont et al., The Third Reich: A Study Published under the Auspices of the International Council for Philosophy and Humanistic Studies with the Assistance of UNESCO (New York, 1955), 381-416; idem, Europa und die deutsche Frage: Betrachtungen über die geschichtliche Eigenart des deutschen Staatsgedankens (Munich, 1948); Christoph Cornelissen, Gerhard Ritter: Geschichtswissenschaft und Politik im 20. Jahrhundert (Düsseldorf, 2001); Ritter’s arguments can be dated back to 1937, when they were framed in rather less negative terms (ibid., 524-30). For a variety of other views, see Hans Kohn (ed.), German History: Some New German Views (Boston, 1954). An early, but only partially successful attempt by a German historian to break the mould was Ludwig Dehio, Germany and World Politics (London, 19 5 [1955]), which still emphasized the primacy of international factors.
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-30 See, among many other treatments of the topic, Karl Dietrich Bracher, Die totalitäre Erfahrung (Munich, 1987) and Leonard Shapiro, Totalitarianism (London, 1972). The classic, much-criticized exposition of the basic theory is by Carl J. Friedrich and Zbigniew K. Brzezinski, Totalitarian Dictatorship and Autocracy (New York, 1963), the pioneering philosophical text by Hannah Arendt, The Origins of Totalitarianism (New York, 1958).
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-31 Eckard Jesse (ed.), Totalitarismus im 20. Jahrhundert (Baden-Baden, 1996) and Alfons Söllner (ed.), Totalitarismus: Eine Ideengeschichte des 20. Jahrhunderts (Berlin, 1997).
-
-32 See in particular the fruitful comparisons in IanKershaw and Moshe Lewin (eds.), Stalinism and Nazism: Dictatorships in Comparison (Cambridge, 1997), and the useful and well-informed discussion in Kershaw, The Nazi Dictatorship, 20-46.
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-33 Jürgen Steinle, ‘Hitler als “Betriebsunfall in der Geschichte”‘, Geschichte in Wissenschaft und Unterricht, 45 (1994), 288-302, for an analysis of this argument.
-
-34 Karl Dietrich Bracher, Die Auflösung der Weimarer Republik: Eine Studie zum Problem des Machtverfalls in der Demokratie (3rd edn., Villingen, 1960 [1955]); idem, et al., Die nationalsozialistische Machtergreifung.
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-35 Broszat, Der Staat Hitlers; idem, et al. (eds.), Bayern in der NS-Zeit (6 vols., Munich, 1977-83); Peukert, Inside Nazi Germany; see also the useful commentary on the development of research in the latest German edition of Norbert Frei’s brief history, Der Führerstaat: Nationalsozialistische Herrschaft 1933 bis 1945 (Munich, 2001 [1987]), 282-304. Recent attempts to delegitimize Broszat’s work on the grounds that, like other German historians of his generation, he had belonged to the Hitler Youth in adolescence, and with many others had been enrolled as a member of the Nazi Party (though without his knowledge), fail to convince not least because they fail to address what he actually wrote as a historian (Nicolas Berg, Der Holocaust und die westdeutschen Historiker: Erforschung und Erinnerung (Cologne, 2003), esp. 613-15).
-
-36 Amongst many studies and collections, see, for example, Robert Gellately and Nathan Stoltzfus (eds.), Social Outsiders in Nazi Germany (Princeton, 2001); Michael Burleigh and Wolfgang Wippermann, The Racial State: Germany 1933- 1945 (Cambridge, 1991); Henry Friedlander, The Origins of Nazi Genocide: From Euthanasia to the Final Solution (Chapel Hill, NC, 1995); Wolfgang Ayass, ‘Asoziale’ im Nationalsozialismus (Stuttgart, 1995); Peter Longerich, Politik der Vernichtung: Eine Gesamtdarstellung der nationalsozialistischen Judenverfolgung (Munich, 1998); Ulrich Herbert, Hitler’s Foreign Workers: Enforced Foreign Labor in Germany under the Third Reich (Cambridge, 1997 [1985]).
-
-37 Richard J. Evans, In Hitler’s Shadow: West German Historians and the Attempt to Escape from the Nazi Past (New York, 1989); idem, Rituals.
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-38 Richard J. Evans, Telling Lies About Hitler: The Holocaust, History, and the David Irving Trial (London, 2002).
-
-39 Peter Longerich, Der ungeschriebene Befehl: Hitler und der Weg zur ‘Endlösung’ (Munich, 2001), 9-20.
-
-40 Victor Klemperer, LTI: Notizbuch eines Philologen (Leipzig, 1985 [1946]).
-
-
-
-
-
-Chapter I THE LEGACY OF THE PAST
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-1 Continuities between the Bismarckian Reich and the coming of the Third Reich form the central thesis of Hans-Ulrich Wehler, Deutsche Gesellschaftsgeschichte, III: Von der ‘Deutschen Doppelrevolution’ bis zum Beginn des Ersten Weltkrieges 1849-1914 (Munich, 1995), and Heinrich August Winkler, Der lange Weg nach Westen, I: Deutsche Geschichte vom Ende des Alten Reiches bis zum Untergang der Weimarer Republik (Munich, 2000).
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-2 Friedrich Meinecke, ‘Bismarck und das neue Deutschland’, in idem, Preussen und Deutschland‘im 19. und 20. Jahrhundert (Munich, 1918), 510-31, quoted and translated in Edgar Feuchtwanger, Bismarck (London, 2002), 7.
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-3 Elizabeth Knowles (ed.), The Oxford Dictionary of Quotations (5th edn., Oxford, 1999), 116.
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-4 Quoted without attribution in Alan J. P. Taylor, Bismarck: The Man and the Statesman (London, 1955), 115.
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-5 For a good brief overview of this and the following period, see David Blackbourn, The Fontana History of Germany 1780-1918: The Long Nineteenth Century (London, 1997); more detail in James J. Sheehan, German History 1770-1866 (Oxford, 1989); more still in Thomas Nipperdey, Germany from Napoleon to Bismarck (Princeton, 1986 [1983]), and even more in Hans-Ulrich Wehler, Deutsche Gesellschaftsgeschichte, II: Von der Reformära bis zur industriellen und politischen ‘Deutschen Doppelrevolution’ 1815-1845/49 (Munich, 1987).
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-6 Taylor, The Course, 69.
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-7 For the debate on this issue, see in particular Geoff Eley, From Unification to Nazism: Reinterpreting the German Past (London, 1986), 254-82; David Blackbourn and Geoff Eley, The Peculiarities of German History: Bourgeois Society and Politics in Nineteenth -Century Germany (Oxford, 1984); Evans, Rethinking German History, 93-122; Richard J. Evans (ed.), Society and Politics in Wilhelmine Germany (London, 1978); Jürgen Kocka, ‘German History Before Hitler: The Debate about the German Sonderweg’, Journal of Contemporary History, 23 (1988), 3-16; Robert G. Moeller,‘The Kaiserreich Recast? Continuity and Change in Modern German Historiography’, Journal of Social History, 17 (1984), 655-83.
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-8 Bismarck has been well served by his biographers. For the best two in narrative form, see Ernst Engelberg, Bismarck (2 vols., Berlin, 1985 and 1990) and Otto Pflanze, Bismarck (3 vols., Princeton, 1990).
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-9 Heinrich August Winkler, Der lange Weg nach Westen, II: Deutsche Geschichte vom ‘Dritten Reich’ bis zur Wiedervereinigung (Munich, 2000), 645-8.
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-10 Heinrich August Winkler, The Long Shadow of the Reich: Weighing up German History (The 2001 Annual Lecture of the German Historical Institute, London; London, 2002). Lothar Kettenacker, ‘Der Mythos vom Reich‘, in Karl H. Bohrer (ed.), Mythos und Moderne (Frankfurt am Main, 1983), 262-89.
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-11 Karl Marx, ‘Randglossen zum Programm der deutschen Arbeiterpartei’ (Kritik des Gothaer Programms, 1875), in Karl Marx, Friedrich Engels, Ausgewählte Schriften (2 vols., East Berlin, 1968), II. 11-28, at 25.
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-12 Otto Büsch, Militärsystem und Sozialleben im alten Preussen 1713-1807: Die Anfänge der sozialen Militarisierung der preussisch-deutschen Gesellschaft (Berlin, 1962).
-
-13 Horst Kohl (ed.), Die politischen Reden des Fürsten Bismarck (14 vols., Stuttgart, 1892-1905), II. 29-30.
-
-14 Lothar Gall, Bismarck: The White Revolutionary (2 vols., London, 1986 [1980]), the outstanding analytical study of Bismarck.
-
-15 For the history of conscription, see Ute Frevert, Die kasernierte Nation: Militärdienst und Zivilgesellschaft in Deutschland (Munich, 2001); German militarism in a wider context is covered by Volker R. Berghahn, Militarism: The History of an International Debate 1861-1979 (Cambridge, 1984 [1981]), idem (ed.), Militarismus (Cologne, 1975), Martin Kitchen, A Military History of Germany from the Eighteenth Century to the Present Day (London, 1975) and Gordon A. Craig’s classic The Politics of the Prussian Army 1640-1945 (New York, 1964 [1955]); unconventional reflections in Geoff Eley, ‘Army, State and Civil Society: Revisiting the Problem of German Militarism’, in idem, From Unification to Nazism, 85-109.
-
-16 Martin Kitchen, The German Officer Corps 1890-1914 (Oxford, 1968); Karl Demeter, Das deutsche Offizierkorps in Gesellschaft und Staat 1650-1945 (Frankfurt am Main, 1962). For the permanent threat of a coup d‘état, see Volker R. Berghahn, Germany and the Approach of War in 1914 (London, 1973), 13-15.
-
-17 See Richard J. Evans, Rethinking German History, 248-90; idem, Rereading German History: From Unification to Reunification 1800-1996 (London, 1997), 65-86.
-
-18 Ute Frevert, ‘Bourgeois Honour: Middle-class Duellists in Germany from the Late Eighteenth to the Early Twentieth Century‘, in David Blackbourn and Richard J. Evans (eds.), The German Bourgeoisie: Essays on the Social History of the German Middle Class from the Late Eighteenth to the Early Twentieth Century (London, 1991), 255-92; eadem, Ehrenmänner: Das Duell in der bürgerlichen Gesellschaft (Munich, 1991).
-
-19 Eley, From Unification to Nazism, 85-109; Wehler, Deutsche Gesellschaftsgeschichte, III. 873-85.
-
-20 Michael Geyer, ‘Die Geschichte des deutschen Militärs von 1860-1956: Ein Bericht über die Forschungslage (1945-1975)‘, in Hans-Ulrich Wehler (ed.), Die moderne deutsche Geschichte in der internationalen Forscbung 1945-1975 (Gottingen, 1978), 256-86; Helmut Bley, Namibia under German Rule (Hamburg, 1996 [1968]).
-
-21 Gesine Krüger, Kriegshewältigung und Gescbicbtsbeivusstsein: Realität, Deutung und Verarbeitung des deutschen Kolonialkrieges in Namibia 1904 bis 1907 (Gottingen, 1999); Tilman Dedering, “‘A Certain Rigorous Treatment of all Parts of the Nation”: The Annihilation of the Herero in German Southwest Africa 1904’, in Mark Levene and Penny Roberts (eds.), The Massacre in History (New York, 1999), 205-12.
-
-22 David Schoenbaum, Zabern 1913: Consensus Politics in Imperial Germany (London, 1982); Nicholas Stargardt, The German Idea of Militarism 1866-1914 (Cambridge, 1994); Wehler, Deutsche Gesellscbaftsgeschichte III. 1125-9.
-
-23 Ulrich von Hassell, Die Hassell-Tagebiscber 1938-1944 (ed. Friedrich Freiherr Hiller von Gaertringen, Berlin, 1989), 436.
-
-24 Wolfgang J. Mommsen, Das Ringen um den nationalen Staat: Die Gründung und der innere Ausbau des Deutschen Reiches unter Otto von Bismarck 1850- 1890 (Berlin, 1993), 439-40; David Blackbourn, Marpingen: Apparitions of the Virgin Mary in Bismarckian Germany (Oxford, 1993).
-
-25 Vernon Lidtke, The Outlawed Party: Social Democracy in Germany, 1878- 1890 (Princeton, 1966); Evans, Rituals, 351-72.
-
-26 Among many accounts of the Social Democrats’ evolution, see Susanne Miller and Heinrich Potthoff, A History of German Social Democracy: From 1848 to the Present (Leamington Spa, 1986 [1983]), a useful introductory text from the point of view of the present-day German Social Democrats; Detlef Lehnert, Sozialdemokratie zwischen Protestbewegung und Regierungspartei 1848-1983 (Frankfurt am Main, 1983), a good brief account; and Stefan Berger, Social Democracy and the Working Class in Nineteenth- and Twentieth-century Germany (London, 2.000), a more recent survey.
-
-27 Alex Hall, Scandal, Sensation and Social Democracy: The SPD Press and Wilhelmine Germany 1890-1914 (Cambridge, 1977); Klaus Saul, ‘Der Staat und die “Mächte des Umsturzes”: Ein Beitrag zu den Methoden antisozialistischer Repression und Agitation vom Scheitern des Sozialistengesetzes bis zur Jahrhundertwende’, Archiv für Sozialgeschichte, 12 (1972), 293-350; Alex Hall, ‘By Other Means: The Legal Struggle against the SPD in Wilhelmine Germany 1890- 1900’, Historical Journal, 17 (1974), 365-86,
-
-28 A convenient brief summary can be found in Gerhard A. Ritter, Die deutschen Parteien 1830-1914: Parteien und Gesellschaft im konstitutionellen Regierungssystem (Gottingen, 1985); the classic article on the subject is by M. Rainer Lepsius, ‘Parteisystem und Sozialstruktur: Zum Problem der Demokratisierung der deutschen Gesellschaft‘, in Gerhard A. Ritter (ed.), Die deutschen Parteien vor 1918 (Cologne, 1973), 56-80.
-
-29 Gerhard A. Ritter, Wahigeschichtliches Arbeitsbuch: Materialien zur Statistik des Kaiserreichs 1871-1918 (Munich, 1980), 42.
-
-30 Stanley Suval, Electoral Politics in Wilhelmine Germany (Chapel Hill, NC, 1985); Margaret L. Anderson, Practicing Democracy: Elections and Political Culture in Imperial Germany (Princeton, 2000).
-
-31 Kurt Koszyk, Deutsche Presse im 19. Jahrhundert: Geschichte der deutschen Presse, II (Berlin, 1966).
-
-32 Richard J. Evans (ed.), Kneipengespräche im Kaiserreich: Die Stimmungsberichte der Hamburger Politischen Polizei 1892-1914 (Reinbek, 1989).
-
-33 Brief introductory survey in Wehler, Deutsche Gesellschaftsgeschichte, III. 961-5; more detail in William W. Hagen, Germans, Poles, and Jews: The Nationality Conflict in the Prussian East, 1772-1914 (Chicago, 1980).
-
-34 Evans (ed.), Kneipengespräche, 361-83.
-
-35 Volker R. Berghahn, Der Tirpitz-Plan: Genesis und Verfall einer innenpolitischen Krisenstrategie unter Wilhelm II. (Düsseldorf, 1971).
-
-36 For a recent, judicious assessment of the Kaiser’s personality and influence, see Christopher Clark, Kaiser Wilhelm II (London, 2000).
-
-37 Geoffrey Hosking, Russia: People and Empire 1552-1917 (London, 1997).
-
-38 George L. Mosse, The Nationalization of the Masses: Political Symbolism and Mass Movements in Germany from the Napoleonic Wars through the Third Reich (New York, 1975).
-
-39 Alan Milward and Samuel B. Saul, The Development of the Economies of Continental Europe 1850-1914 (London, 1977), 19-20.
-
-40 See, in general, Hubert Kiesewetter, Industrielle Revolution in Deutschland 1815-1914 (Frankfurt am Main, 1989).
-
-41 Volker Ullrich, Die nervöse Grossmacht 1871- 1918: Aufstieg und Untergang des deutscben Kaiserreichs (Frankfurt am Main, 1997); Joachim Radkau, Das Zeitalter der Nervosität: Deutschland zwischen Bismarck und Hitler (Munich, 1998).
-
-42 August Nitschke et al. (eds.),Jahrhundertwende: Der Aufbruch in die Moderne 1880-1930 (2 vols., Reinbek, 1990).
-
-43 For these arguments, see Blackbourn and Eley, The Peculiarities.
-
-44 Peter Pulzer, The Rise of Political Anti-Semitism in Germany and Austria (New York, 1964), 112- 13; Rosemarie Leuschen-Seppel, Sozialdemokratie und Antisemitismus im Kaiserreich: Die Auseinandersetzung der Partei mit den konservativen und volkischen Strömungen des Antisemitismus 1871-1914 (Bonn, 1978), 140-42; Richard S. Levy, The Downfall of the Anti-Semitic Political Parties in Imperial Germany (New Haven, 1975). See also the pioneering work of Paul W. Massing, Rehearsal for Destruction (New York, 1949).
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-45 I adopt here Marion Kaplan’s useful distinction between assimilation, involving a complete loss of cultural identity, and acculturation, involving the creation of a dual identity of one kind or another in a multicultural milieu: see Marion A. Kaplan, ‘The Acculturation, Assimilation, and Integration of Jews in Imperial Germany‘, Year Book of the Leo Baeck Institute, 27 (1982), 3-35.
-
-46 Till van Rahden,Juden und andere Breslauer: Die Beziehungen zwischen Juden, Protestanten und Katholiken in einer deutschen Grossstadt von 1860 bis 1925 (Göttingen, 2000), 147-9; Peter J.G. Pulzer, Jews and the German State: The Political History of a Minority, 1848-1933 (Oxford, 1992), 6-7; Shulamit Volkov, Die Juden in Deutschland 1780-1918 (Munich, 1994); Usiel O. Schmelz, ‘Die demographische Entwicklung der Juden in Deutschland von der Mitte des 19. Jahrhunderts‘bis 1933’, Bulletin des Leo Baeck Instituts, 83 (1989), 15-62, at 39-41; Jacob Toury, Soziale und politische Geschichte der Juden in Deutschland 1847-1871: Zwischen Revolution, Reaktion und Emanzipation (Düsseldorf, 1977), 60; Monika Richarz, Jüdisches Leben in Deutschland, II: Selbstzeugnisse zur Sozialgeschichte im Kaiserreich (Stuttgart, 1979), 16-17; Anthony Kauders, German Politics and the Jews: Düsseldorf and Nuremberg 1910-1933 (Oxford, 1996), 26; Kerstin Meiring, Die christlich-judische Mischehe in Deutschland, 1840-1933 (Hamburg, 1998).
-
-47 Pulzer, Jews, 106-20.
-
-48 Dietz Bering, The Stigma of Names: Antisemitism in German Daily Life, 1812-1933 (Cambridge, 1992. [1987]).
-
-49 Pulzer, Jews, 5, II.
-
-50 Niall Ferguson, The World’s Banker: The History of the House of Rothschild (London, 1998); Fritz Stern, Gold and Iron: Bismarck, Bleichröder and the Building of the German Empire (New York, 1977).
-
-51 Robert Gellately, The Politics of Economic Despair: Shopkeepers and German Politics, 1890-1914 (London, 1974), 42-3; Richarz, Jüdisches Leben, II. 17,23-35.
-
-52 Ibid., 31-4.
-
-53 Peter Pulzer, ‘Jews and Nation-Building in Germany 1815-1918’, Year Book of the Leo Baeck Institute, 41 (1996), 199-214.
-
-54 See, in particular, Werner E. Mosse, Jews in. the German Economy: The German-Jewish Economic Élite 1820-1935 (Oxford, 1987), and idem, The German-Jewish Economic Élite 1820-1935: A Socio-Cultural Profile (Oxford, 1989), not only fine works of scholarship but also nostalgic celebrations of the achievements of the social group into which Mosse himself was born.
-
-55 Pulzer, The Rise, 94-101, 113; Shulamit Volkov, Jüdisches Leben und Antisemitismus im 19. und 20. Jahrhundert (Munich, 1990).
-
-56 For Böckel and the antisemitic movement more generally, see David Peal, ‘Antisemitism by Other Means? The Rural Cooperative Movement in Late 19th Century Germany’, in Herbert A. Strauss (ed.), Hostages of Modernization: Studies on Modern Antisemitism 1870-1933/39: Germany - Great Britain - France (Berlin, 1993), 128-49; James N. Retallack, Notables of the Right: The Conservative Party and Political Mobilization in Germany, 1876-1918 (London, 1988), esp. 91-9; Hans-Jürgen Puhle, Agrarische Interessenpolitik und preussischer Konservatismus im wilhelminischen Reich 1893-1914: Ein Beitrag zur Analyse des Nationalismus in Deutschland am Beispiel des Bundes der Landwirte und der Deutscb-Konservativen Partei (Hanover, 1967) esp. 111-40.
-
-57 Pulzer, The Rise, 53-5, 116; Wehler, Deutsche Gesellschaftsgeschichte, III. 924-34; Thomas Nipperdey, Deutsche Geschichte 1866-1918, II: Machtstaat vor der Demokratie (Munich, 1992), 289-311.
-
-58 Jacob Katz, From Prejudice to Destruction: Anti-Semitism, 1700-1933 (Cambridge, Mass. 1980), is a classic general survey. For Catholic antisemitism in Germany, see Olaf Blaschke, Katholizismus und Antisemitismus im Deutschen Kaiserreich (Gottingen, 1997); Helmut Walser Smith, ‘The Learned and the Popular Discourse of Anti-Semitism in the Catholic Milieu in the Kaiserreich’, Central European History, 27 (1994), 315-28. Werner Jochmann, Gesellschaftskrise und Judenfeindschaft in Deutschland 1870-1945 (Hamburg, 1988), has a good introductory chapter, 30-98. James F. Harris, The People Speak! Anti-Semitism and Emancipation in Nineteenth-Century Bavaria (Ann Arbor, 1994), dismisses socio-economic factors too easily; the history of antisemitism cannot be reduced to the otherwise unexplained influence of a free-floating discourse.
-
-59 Wilhelm Marr, Vom jüdischen Kriegsschauplatz: Eine Streitschrift (Berne, 1879), 19, cited in Pulzer, The Rise, 50; see also Marr’s pamphlet Der Sieg des judenthums über das Germanenthum vom nicht konfessionelien Standpunkt aus betrachtet (Berlin, 1873).
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-60 Moshe Zimmermann, Wilhelm Marr: The Patriarch of Anti-Semitism (New York, 1986), 89, 150-51, 154; Daniela Kasischke-Wurm, Antisemitismus im Spiegel der Hamburger Presse während des Kaiserreichs (1884-1914) (Hamburg, 1997) 240-46.
-
-61 Ibid., 77.
-
-62 Wehler, Deutsche Gesellschaftsgeschichte, III. 925-9.
-
-63 Evans (ed.), Kneipengespräche, 317.
-
-64 Ibid., 313-21.
-
-65 Leuschen-Seppel, Sozialdemokratie, esp. 36, 96, 100, 153, 171; Evans (ed.), Kneipengesprdche, 302-6, 318-19. These points, made in response to the sweeping claims of Daniel J. Goldhagen, Hitler’s Willing Executioners: Ordinary Germans and the Holocaust (New York, 1996), can be followed at greater length in Evans, Rereading, 119-44.
-
-66 Stefan Scheil, Die Entwicklung des politischen Antisemitismus in Deutschland zwischen 1881 und 1912: Eine wahlgeschichtliche Untersuchung (Berlin, 1999).
-
-67 See in particular Harris, The People Speak!, and Helmut Walser Smith, The Butcher’s Tale: Murder and Anti-Semitism in a German Town (New York, 2002) (which has excellent detail, but exaggerates the significance of a ‘ritual murder’ accusation in an obscure small town in the Prussian far east). See also Christoph Nonn, Eine Stadt sucht einen Mörder: Gerücht, Gewalt und Antisemitismus im Kaiserreich (Göttingen, 2002). For hostile press reactions to an earlier ritual murder accusation, see Kasischke-Wurm, Antisemitismus, 175-82.
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-68 Evidence in David Kertzer, Unholy War: The Vatican’s Role in the Rise of Modern Anti-Semitism (London, 2001), though the author’s claims for the significance of this material are too sweeping. For social and cultural studies of Catholic antisemitism in Germany, which leave no doubt about its pervasiveness, see Blaschke, Katholizismus und Antisemitismus; Michael Langer, Zwischen Vorurteil und Aggression: Zum Judenbild in der deutschspraehigen katholischen Volksbildung des 19. Jahrhunderts (Freiburg, 1994); Walter Zwi Bacharach, Anti-Jewish Prejudices in German-Catholic Sermons (Lewiston, Pa., 1993); David Blackbourn, ‘Roman Catholics, the Centre Party and Anti-Semitism in Imperial Germany’, in Paul Kennedy and Anthony Nicholls (eds.), Nationalist and Racialist Movements in Britain and Germany before 1914 (London, 1981), 106-29; and, for the international comparative dimension, Olaf Blaschke and Aram Mattioli (eds.), Katholischer Antisemitismus im 19. Jahrhundert: Ursachen und Traditionen im internationalen Vergleich (Zurich, 2000). For peasant protest and antisemitism in the Catholic community, see Ian Farr, ‘Populism in the Countryside: The Peasant Leagues in Bavaria in the 1890s’, in Evans (ed.), Society and Politics, 136-59.
-
-69 See, for example, Norbert Kampe, Studenten und ‘Judenfrage’ im deutschen Kaiserreich: Die Entstehung einer akademischen Trägerschicht des Antisemitismus (Göttingen, 1988).
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-70 Stephen Wilson, Ideology and Experience: Antisemitism in France at the Time of the Dreyfus Affair (New York, 1982 [1980]); John D. Klier and Shlomo Lambroza (eds.) Pogroms: Anti-Jewish Violence in Modern Russian History (Cambridge, 1992.).
-
-71 David Blackbourn, Populists and Patricians: Essays in Modern German History (London, 1987), 217-45 (‘The Politics of Demagogy in Imperial Germany’).
-
-72 Julius Langbehn, Rembrandt als Erzieher (38th edn., Leipzig, 1891 [1890]), 292; idem, Der Rembrandtdeutsche: Von einem Wahrheitsfreund (Dresden, 1892), 184, both quoted in Pulzer, The Rise, 242; see also Fritz Stern, The Politics of Cultural Despair: A Study in the Rise of the German Ideology (New York, 1961).
-
-73 Lessing’s play, first published in 1779, was a plea for religious toleration, especially of the Jews. For the quote, see Cosima Wagner, Die Tagebücher (ed. Martin Gregor-Dellin and Dietrich Mack, Munich, 1977), II. 852 (18 Dec. 1881); also 159, 309; Jacob Katz, The Darker Side of Genius: Richard Wagner’s AntiSemitism (Hanover, 1986), is a sane guide through this controversial subject.
-
-74 George L. Mosse, The Crisis of German Ideology: Intellectual Origins of the Third Reich (London, 1964), 88-107; Annette Hein, ‘Es ist viel “Hitler” in Wagner’: Rassismus undantisemitische Deutschtumsideologie in den ‘Bayreuther Blättern’ (1878-1938) (Tübingen, 1996).
-
-75 Winfried Schüler, Der Bayreuther Kreis von seiner Entstehung bis zum Ausgang der wilhelminischen Ära (Münster, 1971); Andrea Mork, Richard Wagner als politischer Schriftsteller: Weltanschauung und Wirkungsgeschichte (Frankfurt am Main, 1990); Houston Stewart Chamberlain, Die Grundlagen des XIX. Jahrhunderts (2 vols., Munich, 1899); Geoffrey G. Field, Evangelist of Race: The Germanic Vision of Houston Stewart Chamberlain (New York, 1981).
-
-76 Ludwig Woltmann, Politische Anthropologie (ed. Otto Reche, Leipzig, 1936 [1900]), 16-17, 267, quoted in Mosse, The Crisis, 100-102.
-
-77 Woodruff D. Smith, The Ideological Origins of Nazi Imperialism (New York, 1986), 83-111; also Karl Lange, ‘Der Terminus “Lebensraum” in Hitlers Mein Kampf’, Vierteljahrshefte für Zeitgeschichte (hereinafter VfZ) 13 (1965), 42.6-37.
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-78 Paul Crook, Darwinism, War and History: The Debate Over the Biology of War from the ‘Origin of Species’ to the First World War (Cambridge, 1994), esp. 30, 83; Imanuel Geiss (ed.), July 1914: The Outbreak of the First World War. Selected Documents (London, 1967), 22; Holger Afflerbach, Falkenhayn: Politisches Denken und Handeln im Kaiserreich (Munich, 1994); see Evans, Rereading, 119-44, for a general consideration of the history and historiography of German Social Darwinism.
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-79 See, in general, Paul Weindling, Health, Race and German Politics between National Unification and Nazism 1870-1945 (Cambridge, 1989), and Peter Weingart et al., Rasse, Blut und Gene: Geschichte der Eugenik und Rassenhygiene in Deutschland (Frankfurt am Main, 1992- [1988]).
-
-80 Sheila F. Weiss, Race Hygiene and National Efficiency: The Eugenics of Wilhelm Schallmayer (Berkeley, 1987); Evans, Rituals, 438; Roger Chickering, Imperial Germany and a World Without War: The Peace Movement and German Society, 1892-1914 (Princeton, 1975), 125-9.
-
-81 The pioneering article by Jeremy Noakes, ‘Nazism and Eugenics: The Background to the Nazi Sterilization Law of 14 July 1933’, in Roger Bullen et al. (eds.), Ideas into Politics: Aspects of European History 1880-1950 (London, 1984), 75-94, is still an indispensable guide to these various thinkers.
-
-82 Karl Heinz Roth, ‘Schein-Alternativen im Gesundheitswesen: Alfred Grotjahn (1869-1931) - Integrationsfigur etablierter Sozialmedizin und nationalsozialistischer “Rassenhygiene” ’, in Karl Heinz Roth (ed.), Erfassung zur Vernichtung: Von der Sozialhygiene zum ‘Gesetz über Sterbehilfe’ (Berlin, 1984), 31-56; more generally, Sheila Weiss, ‘The Race Hygiene Movement in Germany‘, in Mark B. Adams (ed.), The Wellborn Science: Eugenics in Germany, France, Brazil, and Russia (New York, 1990), 8-68.
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-83 His actual name was Adolf Lanz, but he called himself Jörg Lanz von Liebenfels for effect. Hans-Walter Schmuhl, Rassenhygiene, Nationalsozialismus, Euthanasie: Von der Verhütung zur Vernichtung ‘lebensunwerten Lebens‘, 1890-1945 (Göttingen, 1987); Wilfried Daim, Der Mann, der Hitler die Ideen gab: Die sektiererischen Grundlagen des Nationalsozialismus (Vienna, 1985 [1958]).
-
-84 Weiss, ’The Race Hygiene Movement‘, 9-11.
-
-85 Max Weber, ‘Der Nationalstaat und die Volkswirtschaftpolitik’, in idem, Gesammelte politische Schriften (ed. J. Winckelmann, 3rd edn., Tübingen, 1971), 23.
-
-86 Richard Hinton Thomas, Nietzsche in German Politics and Society 1890-1918 (Manchester, 1983), esp. 80-95. For a recent attempt to assess Nietzsche’s work in this general context, see Bernhard H. F. Taureck, Nietzsche und der Faschismus: Ein Politikum (Leipzig, 2000).
-
-87 Steven E. Aschheim, The Nietzsche Legacy in Germany 1890-1990 (Berkeley, 1992).
-
-88 Mosse, The Crisis, 204-7; Walter Laqueur, Young Germany: A History of the German Youth Movement (London, 1962); Jürgen Reulecke, ‘Ich möchte einer werden so wie die...’ Männerbünde im 20. Jahrhundert (Frankfurt am Main, 2001); Daim, Der Mann, 71-2.
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-89 Alastair Thompson, Left Liberals, the State, and Popular Politics in Wilhelmine Germany (Oxford, 2000).
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-90 Stefan Breuer, Ordnungen der. Ungleichheit- die deutsche Rechte im Widerstreit ihrer Ideen 1871-1945 (Darmstadt, 2001), provides a thematic survey, emphasizing (370-76) the failure of an effective synthesis before the arrival of Nazism.
-
-91 Andrew G. Whiteside, The Socialism of Fools: Georg von Schönerer and Austrian Pan-Germanism (Berkeley, 1975), esp. 73.
-
-92 John W. Boyer, Political Radicalism in Late Imperial Vienna: Origins of the Christian Social Movement, 1848-1897 (Chicago, 1981).
-
-93 Pulzer, The Rise, 207.
-
-94 Brigitte Hamann, Hitler’s Vienna: A Dictator’s Apprenticeship (Oxford, 2000), 236-53, provides a comprehensive survey of Schönerer and other Viennese ideologues of the day.
-
-95 Carlile A. Macartney, The Habsburg Empire 1790-1918 (London, 1968), 632-5, 653-7, 666, 680, 799; Pulzer, The Rise, 149-60, 170-74, 206-9; Carl E. Schorske, Fin-de-Siecle Vienna: Politics and Culture (New York, 1980), 116-180; Massing, Rehearsal, 241; Hellmuth von Gerlach, Von rechts nach links (Hildesheim, 1978 [1937]), 112-14; Andrew G. Whiteside, Austrian National Socialism before 1918 (The Hague, 1962.).
-
-96 Woodruff D. Smith, The German Colonial Empire (Chapel Hill, NC, 1978); Fritz Ferdinand Müller, Deutschland-Zanzibar-Ostafrika: Geschichte einer deutschen Kolonialeroberung 1884-1890 (Berlin, 1990 [1959]).
-
-97 Gerhard Weidenfeller, VDA: Verein für das Deutschtum im Ausland: Allgemeiner Deutscher Schulverein (1881-1918). Ein Beitrag zur Geschichte des deutschen Nationalismus und Imperialismus im Kaiserreich (Berne, 1976).
-
-98 Geoff Eley, Reshaping the German Right: Radical Nationalism and Political Change after Bismarck (London, 1980), 366; Roger Chickering, We Men Who Feel Most German: A Cultural Study of the Pan-German League 1886-1914 (London, 1984), 24-73; Wilhelm Deist, Flottenpolitik und Flottenpropaganda: Das Nachrichtenbüro des Reichsmarineamts 1897-1914 (Stuttgart, 1976); Richard Owen, ‘Military-Industrial Relations: Krupp and the Imperial Navy Office’, in Evans (ed.), Society and Politics, 71-89; Marilyn Shevin Coetzee, The German Army League: Popular Nationalism in Wilhelmine Germany (New York, 1990); Richard W. Tims, Germanizing Prussian Poland: The H-K-T Society and the Struggle for the Eastern Marches in the German Empire 1894-1919 (New York, 1941); Adam Galos et al., Die Hakatisten: Der Deutsche Ostmarkenverein 1894-1934 (Berlin, 1966).
-
-99 Chickering, We Men, 128, 268-71; Coetzee, The German Army League, 19-23; Ute Planert, Antifeminismus im Kaiserreich: Diskurs, soziale Formation und politische Mentalität (Göttingen, 1998), 118-76.
-
-100 Chickering, We Men, 102-21.
-
-101 Ibid., 284-6; Wehler, Deutsche Gesellschaftsgeschichte III. 1071-81; extracts in English translation in Roderick Stackelberg and Sally A. Winkle (eds.), The Nazi Germany Sourcebook: An Anthology of Texts (London, 2002), 20-26.
-
-102 Chickering, We Men, 74-97, 284-6.
-
-103 Ibid., 122-32; also Klaus Bergmann, Agrarromantik und Grossstadtfeindschaft (Meisenheim, 1970).
-
-104 Chickering, We Men, 253-91; Eley, Reshaping, 316-34; Dirk Stegmann, Die Erben Bismarcks: Parteien und Verbände in der Spätphase des Wilhelminischen Deutschlands: Sammlungspolitik 1897-1914 (Cologne, 1970), 352-48; Fritz Fischer, War of Illusions: German Politics from 1911 to 1914 (London, 1975 [1969]).
-
-105 Iris Hamel, Völkischer Verband und nationale Gewerkschaft: Der Deutschnationale Handlungsgehilfenverband, 1893-1933 (Frankfurt am Main, 1967); Planert, Antifeminismus, 71-9.
-
-106 Extracts from the memorandum, and the Kaiser’s response, can be found in Röhl, From Bismarck to Hitler, 49-52, and Stackelberg and Winkle (eds.), The Nazi Germany Sourcebook, 29-30.
-
-107 Hartmut Pogge-von Strandmann, ‘Staatsstreichpläne, Alldeutsche und Bethmann Hollweg’, in idem and Imanuel Geiss, Die Erforderlichkeit des Unmöglichen: Deutschland am Vorabend des ersten Weltkrieges (Frankfurt am Main, 1965), 7-45; the texts of the replies by Bethmann and the Kaiser are printed on pages 32-9; the Kaiser’s relations with Chamberlain are documented in Röhl, From Bismarck to Hitler, 41-8.
-
-108 For an excellent discussion of contemporary views on the likely length of the war, see Hew Strachan, The First World War, I: To Arms (Oxford, 2001), 1005-14.
-
-109 Martin Kitchen, The Silent Dictatorship: The Politics of the German High Command under Hindenburg and Ludendorff, 1916-1918 (London, 1976). The best recent general survey is Roger Chickering, Imperial Germany and the Great War, 1914-1918 (Cambridge, 1998).
-
-110 Among a huge literature, Figes, A People’s Tragedy stands out as the best recent survey.
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-111 Robert Service, Lenin: A Political Life (3 vols., London, 1985-95) is the standard biography; Lenin’s attempts to stimulate a revolution in Germany are best approached through the activities of the Soviet emissary Karl Radek; see Marie-Luise Goldbach, Karl Radek und die deutsch-sowjetischen Beziehungen 1918-1923 (Bonn, 1973 and Warren Lerner, Karl Radek: The Last Internationalist (Stanford, Calif., 1970).
-
-112 Heinrich August Winkler, Von der Revolution zur Stabilisierung: Arbeiter und Arbeiterbewegung in der Weimarer Republik 1918 bis 1924 (Bonn, 1984), esp. 114-34, and 468-552.
-
-113 Arno J. Mayer, Politics and Diplomacy of Peacemaking: Containment and Counterrevolution at Versailles 1918-1919 (2nd edn., New York, 1969 [1967]) for the general context; Oszkár Jászi, Revolution and Counter-Revolution in Hungary (London, 1924), for a contemporary account of events.
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-114 Berliner Tageblatt, ‘I August 1918, cited in David Welch, Germany, Propaganda and Total War, 1914-1918: The Sins of Omission (London, 2000), 241. See also Aribert Reimann, Der grosse Krieg der Sprachen: Untersuchungen zur historischen Semantik in Deutschland und England zur Zeit des Ersten Weltkriegs (Essen, 2000).
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-115 For the best recent brief account, see Chickering, Imperial Germany, 178-91.
-
-116 Welch, Germany, 241-2; Wilhelm Deist, ‘Censorship and Propaganda in Germany during the First World War‘, in Jean-Jacques Becker and Stéphane Audoin-Rouzeau (eds.), Les Sociétés européennes et la guerre de 1914-1918 (Paris, 1990), 199-210; Alice Goldfarb Marquis, ’Words as Weapons: Propaganda in Britain and Germany during the First World War‘, Journal of Contemporary History, 13 (1978), 467-98.
-
-117 Fritz Fischer, Germany’s Aims in the First World War (London, 1967 [1961]), passim.
-
-118 Bullitt Lowry, Armistice 1918 (Kent, Ohio, 1996); Hugh Cecil and Peter Liddle (eds.), At the Eleventh Hour: Reflections, Hopes and Anxieties at the Closing of the Great War, 1918 (Barnsley, 1998).
-
-119 Stenographischer Bericht über die öffentlichen Verhandlungen des 15. Untersucbungsausschusses der verfassungsgebenden Nationalversammlung, II (Berlin, 1920), 700-701 (18 November 1919). See also Erich Ludendorff, Kriegfuhrung und Politik (Berlin, 1922), and Paul von Hindenburg, Aus meinem Leben (Leipzig, 1920), 403; more generally, Friedrich Freiherr Hiller von Gaertringen, ‘“Dolchstoss-Diskussion” und “Dolchstosslegende” im Wandel von vier Jahrzehnten‘, in Waldemar Besson and Friedrich Freiherr Hiller von Gaertringen (eds.), Geschichtsund Gegenwartsbewusstsein (Göttingen, 1963), 122-60. Also, more recently, Jeffrey Verhey, The Spirit of 1914: Militarism, Myth and Mobilization in Germany (Cambridge, 2000), 219-23, and Chickering, Imperial Germany, 189-91.
-
-120 William II, My Memoirs 1878-1918 (London, 1922), 282-3. More generally, see Wilhelm Deist, ‘The Military Collapse of the German Empire: The Reality Behind the Stab-in-the-Back Myth‘, War in History, 3 (1996), 186-207.
-
-121 Friedrich Ebert, Schriften, Aufzeichnungen, Reden (2 vols., Dresden, 1936), II. 127; Ebert went on to blame the defeat on ‘the preponderance of the enemy in men and material’ (127).
-
-122 Gerhard A. Ritter and.Susanne Miller (eds.), Die deutsche Revolution 1918- 1919 - Dokumente (Frankfurt am Main, 1968), is an excellent selection of documents; Francis L. Carsten, Revolution in Central Europe 1918-1919 (London, 1972) is a good narrative.
-
-123 From a large literature, see Harold Temperley. (ed.), A History of the Peace Conference of Paris (6 vols., London, 1920-24), and Manfred F. Boemeke et al. (eds.), The Treaty of Versailles: A Reassessment after 75 Years (Washington, DC, 1998), a collection of scholarly papers issued on the eightieth anniversary of the end of the war.
-
-124 Mayer, Politics and Diplomacy.
-
-125 Arthur S. Link (ed.), The Papers of Woodrow Wilson (69 vols., Princeton, 1984), XL. 534-9; more generally, Lloyd E. Ambrosius, Wilsonian Statecraft: Theory and Practice of Liberal Internationalism during World War I (Wilmington, Del., 1991), Thomas J. Knock, To End All Wars: Woodrow Wilson and the Quest for a New World Order (New York, 1992), and Arthur Walworth, Wilson and his Peacemakers: American Diplomacy at the Paris Peace Conference, 1919 (New York, 1986).
-
-126 Winkler, Von der Revolution, 94-5; Carsten, Revolution, 271-98.
-
-127 John Horne and Alan Kramer, German Atrocities 1914: A History of Denial (London, 2001),345-5 5, 446- 50; Gerd Hankel, Die Leipziger Prozesse: Deutsche Kriegsverbrechen und ihre strafrechtliche Verfolgung nach dem Ersten Weltkrieg (Hamburg, 2003).
-
-128 Bruce Kent, The Spoils of War: The Politics, Economics and Diplomacy of Reparations 1918-1932 (Oxford, 1989).
-
-129 Alan Sharp, The Versailles Settlement: Peacekeeping in Paris, 1919 (London, 1991).
-
-130 Fischer, Germany’s Aims, passim.
-
-131 For a good defence of the treaties, see Macmillan, Peacemakers.
-
-132 Abel Testimony (hereinafter AT) 114, in Peter H. Merkl, Political Violence under the Swastika: 581 Early Nazis (Princeton, 1975), 191.
-
-133 AT 334, ibid., 192-3.
-
-134 AT 248, ibid., 194-5.
-
-135 See the classic, and still standard, study by Fischer, Germany’s Aims.
-
-136 Eley, Reshaping, 333, 339-42; Dirk Stegmann, ‘Zwischen Repression und Manipulation: Konservative Machteliten und Arbeiter- und Angestelltenbewegung 1910-1918: Ein Beitrag zur Vorgeschichte der DAP/NSDAP’, Archiv fur Sozialgeschichte, 12 (1972), 351-432.
-
-137 Heinz Hagenlücke, Die deutsche Vaterlandspartei: Die nationale Rechte am Ende des Kaiserreiches (Düsseldorf, 1997); Verhey, The Spirit of 1914, 178-85; Mosse, The Crisis, 218-26.
-
-138 Ernst Jünger, In Stahlgewittern: Aus dem Tagebuch eines Stosstruppführers (Hanover, 1920). For a new English edition, see idem, Storm of Steel (London, 2003).
-
-139 Richard Bessel, Germany after the First World War (Oxford, 1993), 256-61.
-
-140 Theodore Abel, Why Hitler Came to Power (Cambridge, Mass., 1986 [1938]), 21, quoting Frankfurter Zeitung, 27 November 1918.
-
-141 Quoted in Abel, Why Hitler, 24, testimony 4.3.4, also 2.3.2.
-
-142 Ibid., 26, quoting testimony 4.1.2.
-
-143 AT 199, in Merkl, Political Violence, 167.
-
-144 Testimony 2.8.5, in Abel, Why Hitler, 2.7-8.
-
-145 Christoph Jahr, Gewöhnliche Soldaten: Desertion und Deserteure im deutschen und britischen Heer 1914-1918 (Göttingen, 1998); Benjamin Ziemann, ‘Fahnenflucht im deutschen Heer 1914-1918’, Militärgeschichtliche Mitteilungen, 55 (1996), 93-130.
-
-146 Wolfgang Kruse, ‘Krieg und Klassenheer: Zur Revolutionierung der deutschen Armee im Ersten Weltkrieg‘, Geschichte und Gesellschaft, 22 (1996), 530-61.
-
-147 Merkl, Political Violence, 152-72.
-
-148 Robert W. Whalen, Bitter Wounds: German Victims of the Great War, 1914- 1939 (Ithaca, NY, 1984 ); Deborah Cohen, The War Come Home: Disabled Veterans in Britain and Germany, 1914-1918 (Berkeley, 2001); Bessel, Germany, 274-9.
-
-149 Volker R. Berghahn, Der Stahlhelm: Bund der Frontsoldaten 1918-1935 (Dusseldorf, 1966), 13-26, 105-6, 286; Stahlhelm und Staat (8 May 1927), excerpted and translated in Anton Kaes et al. (eds.), The Weimar Republic Sourcebook (Berkeley, 1994), 339-40.
-
-150 Bessel, Germany, 283-84; also, Ulrich Heinemann, Die verdrängte Niederlage: Politische Öffentlichkeit und Kriegsschuldfrage in der Weimarer Republik (Göttingen,1983).
-
-151 Frevert, Die kasernierte Nation; Geoff Eley, ‘Army, State and Civil Society’ in idem, From Unification to Nazism, 85-109; and more generally Berghahn (ed.), Militarismus.
-
-152 Evans, Kneipengespräche, 31-2, 339·
-
-153 · Bessel, Germany, 256-70.
-
-154 Sebastian Haffner, Defying Hitler: A Memoir (London, 2002), 10-15.
-
-155 Michael Wildt, Generation des Unbedingten: Das Führungskorps des Reichssicherbeitshauptamtes (Hamburg, 2002), 41-52.
-
-156 Berghahn, Der Stahlhelm, esp. 65-6; Karl Rohe, Das Reichsbanner Schwarz Rot Gold: Ein Beitrag zur Geschichte und Struktur der politischen Kampfverbände zur Zeit der Weimarer Republik (Dusseldorf, 1966); Kurt G. P. Schuster, Der Rote Frontkdmpferbund 1924-1929 : Beiträge zur Geschichte und Organisationsstruktur eines politischen Kampfbundes (Dusseldorf, 1975).
-
-157 James M. Diehl, Paramilitary Politics in Weimar Germany (Bloomington, Ind., 1977), provides a clear guide through the undergrowth of the paramilitaries. See also Martin Sabrow, Der Rathenaumord: Rekonstruktion einer Verschwörung gegen die Republik von Weimar (Munich, 1994), for an excellent investigation of the world of the armed conspirators.
-
-158 Erhard Lucas, Märzrevolution im Ruhrgebiet (3 vols., Frankfurt am Main, 1970-78), a classic of politically committed history; George Eliasberg, Der Ruhrkrieg von 1920 (Bonn, 1974), a more sober, less detailed account, sympathetic to the moderate Social Democrats.
-
-159 See the classic study of this literature by Klaus Theweleit, Male Fantasies (2 vols., Cambridge, 1987 and 1989 [1978]); for some reservations, Evans, Rereading, 115-18.
-
-160 On the Free Corps, Robert G. L. Waite, Vanguard of Nazism. The Free Corps Movement in Postwar Germany 1918-1923 (Harvard, 1952), is still the best account in English. See also Hagen Schulze, Freikorps und Republik 1918-1920 (Boppard, 1969), and Emil J. Gumbel, Verschwörer: Zur Geschichte und Soziologie der deutschen nationalistischen Geheimbünde 1918-1924 (Heidelberg, 1979 [1924]).
-
-161 Volker Ullrich, Der ruhelose Rebell: Karl Plättner 1893-1945. Eine Biographie (Munich, 2000); and Manfred Gebhardt, Max Hoelz: Wege und Irrwege eines Revolutionärs (Berlin, 1983).
-
-
-
-
-
-Chapter 2 THE FAILURE OF DEMOCRACY
-
-1 Quoted in Winkler, Von der Revolution 39; see also the useful study by Dieter Dowe and Peter-Christian Witt, Friedrich Ebert 1871-1925: Vom Arbeiterführer zum Reichspräsidenten (Bonn, 1987), and the exhibition catalogue by Walter Mühlhausen, Friedrich Ebert: Sein Leben, sein Werk, seine Zeit (Heidelberg, 1999). The informative biography by Georg Kotowski, Friedrich Ebert: Eine politische Biographie, I: Der Aufstieg eines deutschen Arbeiterführers 1871 bis 1917 (Wiesbaden, 1963) remained unfinished.
-
-2 Anthony J. Nicholls, Weimar and the Rise of Hitler (4th edn., London, 2000 [1968]), is a reliable brief guide to these events. Among recent general political histories, Hans Mommsen, The Rise and Fall of Weimar Democracy (Chapel Hill, NC, 1996 [1989]), and Heinrich August Winkler, Weimar 1918-1933: Die Geschichte der ersten deutschen Demokratie (Munich, 1993) are outstanding.
-
-3 For this argument, see Theodor Eschenburg, Die improvisierte Demokratie (Munich, 1963). Other classic studies, still worth reading, include the richly empirical narrative by Erich Eyck, A History of the Weimar Republic (2. vols., Cambridge, 1962-4 [1953-6]), written from a liberal perspective, and the two volumes by the socialist Arthur Rosenberg, The Birth of the German Republic (Oxford, 1931 [1930]) and A History of the German Republic (London, 1936 [1935]), both brimming with stimulating and controversial theses, particularly on continuities from the Wilhelmine period.
-
-4 Heinrich Hannover and Elisabeth Hannover-Drück, Politische Justiz 1918- 1933 (Frankfurt am Main, 1966), 76-7, 89.
-
-5 For differing views on Article 48, see Nicholls, Weimar, 36-7; Detlev J. K. Peukert, The Weimar Republic: The Crisis of Classical Modernity (London, 1991 [1987]), 37-40; and Harald Boldt, ‘Der Artikel 48 der Weimarer Reichsverfassung: Sein historischer Hintergrund und seine politische Funktion’, in Michael Stürmer (ed.), Die Weimarer Republik: Belagerte Civitas (Königstein im Taunus, 1980), 288-309. The standard general work on the Weimar constitution is Ernst Rudolf Huber, Deutsche Verfassungsgeschichte seit 1789, V-VII (Stuttgart, 1978-84); see also Reinhard Rürup, ‘Entstehung und Grundlagen der Weimarer Verfassung’, in Eberhard Kolb (ed.), Vom Kaiserreich zur Weimarer Republik (Cologne, 1972.), 218-43. Ebert’s abuse of Article 48 was already criticized by contemporaries; see Gerhard Schulz, ‘Artikel 48 in politisch-historischer Sicht’, in Ernst Fraenkel (ed.), Der Staatsnotstand (Berlin, 1965), 39-71. Ludwig Richter, ‘Das präsidiale Notverordnungsrecht in den ersten Jahren der Weimarer Republik: Friedrich Ebert und die Anwendung des Artikels 48 der Weimarer Reichsverfassung’, in Eberhard Kolb (ed.) Friedrich Ebert als Reichspräsident: Amtsführung und Amtsverständnis (Munich, 1997), 207-58, attempts a defence.
-
-6 Dowe and Witt, Friedrich Ebert, 155-7.
-
-7 Werner Birkenfeld, ‘Der Rufmord am Reichsprasidenten: Zu Grenzformen des politischen Kampfes gegen die frühe Weimarer Republik 1919-1925’, Archiv für Sozialgeschichte, 15 (1965), 453-500.
-
-8 Heinrich August Winkler, Der Schein der Normalität: Arbeiter und Arbeiterbewegung in der Weimarer Republik 1924 bis 1930 (Bonn, 1985), 231-4.
-
-9 Victor Klemperer, Leben sammeln, nicht fragen wozu und warum, II: Tagebücher 1925-1932 (Berlin, 1996), 56 (14 May 1925).
-
-10 John W. Wheeler-Bennett, Hindenburg: The Wooden Titan (London, 1936), 250-51. Wheeler-Bennett’s remarkably shrewd and well-informed portrait was based on lengthy conversations with members of Hindenburg’s entourage and with many leading contemporary conservative German politicians, with whom he was on good personal terms as an upper-class Englishman running a stud farm in northern Germany. See also Walter Hubatsch, Hindenburg und der Staat: Aus den Papieren des Generalfeldmarschalls und Reichspräsidenten von 1878 bis 1934 (Göttingen, 1966).
-
-11 Andreas Dorpalen, Hindenburg and the Weimar Republic (Princeton, 1964), sees Hindenburg as an unpolitical figure, reluctantly dragged into politics by the power of his personal myth.
-
-12 Nicholls, Weimar, 39-40; Jürgen Falter, Hitlers Wähler (Munich, 1991), 130-35.
-
-13 See the classic article by Gerhard A. Ritter, ‘Kontinuität und Umformung des deutschen Parteiensystems 1918-1920’, in Eberhard Kolb (ed.), Vom Kaiserreich zur Weimarer Republic (Cologne, 1972), 218-43.
-
-14 Vernon L. Lidtke, The Alternative Culture: Socialist Labor in Imperial Germany (New York, 1985).
-
-15 Horstwalter Heitzer, Der Volksverein für das katholische Deutschland im Kaiserreich 1890-1918 (Mainz, 1979); Gotthard Klein, Der Volksverein für das katholische Deutschland 1890-1933: Geschichte, Bedeutung, Untergang (Paderborn, 1996); Dirk Muller, Arbeiter, Katholizismus, Staat: Der Volksverein für das katholische Deutschland und die katholischen Arbeiterorganisationen in der Weimarer Republik (Bonn, 1996); Doris Kaufmann, Katholisches Milieu in Münster 1928-1933 (Düsseldorf, 1984).
-
-16 Wilhelm L. Guttsman, Workers’ Culture in Weimar Germany: Between Tradition and Commitment (Oxford, 1990).
-
-17 Lynn Abrams, Workers’ Culture in Imperial Germany: Leisure and Recreation in the Rhineland and Westphalia (London, 1992).
-
-18 Bracher et al., Die nationalsozialistische Machtergreifung,I. 41, 58-9, quoting Max Weber’s prediction to this effect.
-
-19 Bracher, Die Auflösung, 21-7, 64-95.
-
-20 See Huber, Deutsche Verfassungsgeschichte, VI. 133, and the discussion in Eberhard Kolb, The Weimar Republic (London, 1988), 150-51. For criticisms of proportional representation, see especially Eberhard Schanbacher, Parlamentarische Wahlen und Wahlsystem in der Weimarer Republik: Wahlgesetxgebung und Wahlreform im Reich und in den Ländern (Düsseldorf, 1982). Falter, Hitlers Wähler, 126-35, has some informed speculation that, on balance, sustains the negative view.
-
-21 Christoph Gusy, Die Weimarer Reichsverfassung (Tübingen, 1997), 97-8.
-
-22 See the useful lists on the endpapers of Hagen Schulze, Weimar: Deutschland 1917-1933 (Berlin, 1982).
-
-23 See, for example, Klaus Reimer, Rheinlandfrage und Rheinlandbewegung (1918-1933): Ein Beitrag zur Geschichte der regionalistischen Bewegung in Deutschland (Frankfurt am Main, 1979).
-
-24 Nicholls, Weimar, 33-6, exaggerates the problems caused. For Prussia, see Hagen Schulze, Otto Braun oder Preussens demokratische Sendung (Frankfurt am Main, 1977), Dietrich Orlow, Weimar Prussia 1918-1925: The Unlikely Rock of Democracy (Pittsburgh, 1986), and Hans-Peter Ehni, Bollwerk Preussen? Preussen-Regierung, Reich-Länder-Problem und Sozialdemokratie 1928-1932 (Bonn, 1975).
-
-25 Details in Alfred Milatz, Wähler und Wahlen in der Weimarer Republik (Bonn, 1965) and Jürgen Falter et al., Wahlen und Abstimmungen in der Weimarer Republik: Materialen zum Wahlverhalten 1919-1933 (Munich, 1986).
-
-26 Schulze, Weimar, endpapers.
-
-27 Winkler, Von der Revolution; idem, Der Schein; idem, Der Weg in die Katastrophe: Arbeiter und Arbeiterbewegung in der Weimarer Republik 1930 his 1933 (Bonn, 1987), is a comprehensive and exhaustive survey, sympathetic to the Social Democrats. Strong criticism in Bracher et al., Die nationalsozialistische Machtergreifung, I. 58-9; emphasis on the growing, ‘middle-aged’ timidity of the party in Richard N. Hunt, German Social Democracy 1918-1933 (New Haven, 1964), esp. 241-59.
-
-28 Larry Eugene Jones, German Liberalism and the Dissolution of the Weimar Party System, 1918-1933 (Chapel Hill, NC, 1988), 67-80.
-
-29 Erich Matthias and Rudolf Morsey, ‘Die Deutsche Staatspartei‘, in Matthias and Morsey (eds.), Das Ende der Parteien 1933: Darstellungen und Dokumente (Düsseldorf, 1960), 29-97, at 31-54; Werner Schneider, Die Deutsche Demokratische Partei in der Weimarer Republik, 1924-1930 (Munich, 1978); Diehl, Paramilitary Politics, 269-76; Jones, German Liberalism, 369-74; Klaus Hornung, Der Jungdeutsche Orden (Düsseldorf, 1958).
-
-30 Detlef Junker, Die Deutsche Zentrumspartei und Hitler: Ein Beitrag zur Problematik des politischen Katholizismus in Deutschland (Stuttgart, 1969); Rudolf Morsey, Der Untergang des politischen Katholizismus: Die Zentrumspartei zwischen christlichem Selbstverständnis und ’Nationaler Erhebung’ 193 2/33 (Stuttgart, 1977); Karsten Ruppert, Im Dienst am Staat von Weimar: Das Zentrum als regierende Partei in der Weimarer Demokratie 1923-1930 (Düsseldorf, 1992). For the Bavarian People’s Party, see Klaus Schönhoven, Die Bayerische Volkspartei 1924-1932 (Düsseldorf, 1972). For the general European context, Eric Hobsbawm, Age of Extremes: The Short Twentieth Century 1914-1991 (London, 1994), 114-15- 31. Quoted in Rudolf Morsey, ‘Die Deutsche Zentrumspartei’, in Matthias and Morsey (eds.), Das Ende, 279-453, at 290-91.
-
-32 Max Miller, Eugen Bolz (Stuttgart, 1951), 357-8, quoted in Morsey, ‘Die Deutsche Zentrumspartei’, 292; see also Joachim Sailer, Eugen Bolz und die Krise des politischen Katholizismus in der Weimarer Republik (Tübingen, 1994).
-
-33 John Cornwell, Hitler’s Pope: The Secret History of Pius XII (London, 1999), esp. 96-7, 116-17, 120-51; drawing heavily on Klaus Scholder, The Churches and the Third Reich (2 vols., London, 1987-8 [1977, 1985]); Morsey, ‘Die Deutsche Zentrumspartei’, 301, on pressure from the Vatican.
-
-34 Werner Angress, Stillborn Revolution: The Communist Bid for Power in Germany, 1921-1923 (Princeton, 1963); Ben Fowkes, Communism in Germany under the Weimar Republic (London, 1984), 148, 161; Eric D. Weitz, Creating German Communism, 1890-1990; From Popular Protests to Socialist State (Princeton, 1997), 100-31; and, above all, Hermann Weber, Die Wandlung des deutschen Kommunismus: Die Stalinisierung der KPD in der Weimarer Republik . (2. vols., Frankfurt am Main, 1969).
-
-35 Evans, Rituals, 507-9, 574, for one example among many.
-
-36 Maximilian Milller-Jabusch (ed.), Handbuch des öffentlichen Lebens (Leipzig, 1931), 442-5, excerpted and translated in Kaes et al. (eds.), The Weimar Republic Sourcebook, 348-52; see more generally Mommsen, The Rise and Fall, 253-60.
-
-37 Bracher, Die Auflösung, 309-30; Friedrich Freiherr Hiller von Gaertringen, ‘Die Deutschnationale Volkspartei’, in Matthias and Morsey (eds.), Das Ende, 541-652, at 543-9.
-
-38 Henry Ashby Turner, Jr., Gustav Stresemann and the Politics of the Weimar Republic (Princeton, 1965 [1963]), 250-51; Jonathan Wright, Gustav Stresemann: Weimar’s Greatest Statesman (Oxford, 2002).
-
-39 Broszat, Der Staat Hitlers, 19-20.
-
-40 Diehl, Paramilitary Politics, 209-43; Berghahn, Der Stahlhelm, 103-30.
-
-41 Francis L. Carsten, The Reichswehr and Politics 1918-1933 (Oxford, 1966), 3-48; Wolfram Wette, Gustav Noske: Eine politische Biographie (Düsseldorf, 1987), 399-459-
-
-42 Carsten, The Reichswehr, 106-7; Johannes Erger, Der Kapp-Lüttwitz-Putsch: Ein Beitrag zur deutschen Innenpolitik 1919/20 (Düsseldorf, 1967); Erwin Könnemann et al. (eds.), Arbeiterklasse siegtüber Kapp und Lüttwitz(2 vols., Berlin, 1971).
-
-43 Cited in Carsten, The Reichswehr, 401.
-
-44 Thilo Vogelsang (ed.), ‘Neue Dokumente zur Geschichte der Reichswehr, 1930-1933’, VfZ 2 (1954), 397-436.
-
-45 Friedrich von Rabenau, Seeckt-aus seinem Leben 1918-1936 (Leipzig, 1940), 359-61, and Otto-Ernst Schüddekopf, Das Heer und die Republik - Quellen zur Politik der Reichswehrführung 1918 bis 1933 (Hanover, 1955), 179-81. See also the older studies of John W. Wheeler-Bennett, The Nemesis of Power: The German Army in Politics 1918-1945 (London, 1953), now in most respects outdated, for a highly critical view of the army, and Harold J. Gordon, The Reichswehr and the German Republic 1919-26 (Princeton, 1957), sympathetic to Seeckt. Basic details in Rainer Wohlfeil, ‘Heer und Republik’, in Hans Meier-Welcker and Wolfgang von Groote (eds.), Handbuch zur deutschen Militargeschichte 1648-1939, VI (Frankfurt am Main, 1970), 11-304.
-
-46 Carsten, The Reichswehr, 276; Ernst Willi Hansen, Reichswehr und Industrie: Rüstungswirtschaftliche Zusammenarbeit und wirtschaftliche Mobilmachungsvorbereitungen 1923-1932 (Boppard, 1978); Manfred Zeidler, Reichswehr und Rote Armee 1920-1933: Wege und Stationen einer ungewöhnlichen Zusammenarbeit (Munich, 1993); more generally, Michael Geyer, Aufrüstung oder Sicherheit: Reichswehr in der Krise der Machtpolitik, 1924-1936 (Wiesbaden, 1980), and Karl Nuss, Militär und Wiederaufrüstung in der Weimarer Republik: Zur politischen Rolle und Entwicklung der Reichswehr (Berlin, 1977).
-
-47 Carsten, The Reichswehr, 159-60, 168-9, 226.
-
-48 Michael Geyer, ‘Professionals and Junkers: German Rearmament and Politics in the Weimar Republic‘, in Richard Bessel and Edgar Feuchtwanger (eds.), Social Change and Political Development in Weimar Germany (London, 1981), 77-133.
-
-49 See the classic study by Craig, The Politics of the Prussian Army, 382-467.
-
-50 Eberhard Kolb, ‘Die Reichsbahn vom Dawes-Plan bis zum Ende der Weimarer Republik‘, in Lothar Gall and Manfred Pohl (eds.), Die Eisenbahn in Deutschland: Von den Anfängen bis zur Gegenwart (Munich, 1999), 109-64, at 149-50.
-
-51 Jane Caplan, Government without Administration: State and Civil Service in Weimar and Nazi Germany (Oxford, 1988), 8-18, 60-61.
-
-52 Gerhart Fieberg (ed.), Im Namen des deutschen Volkes: justiz und Nationalsozialismus (Cologne, 1989), 8.
-
-53 Bracher, Die Auflösung, 162-72.
-
-54 Caplan, Government, 30-36.
-
-55 Ibid., 33-57; Wolfgang Runge, Politik und Beamtentum im Parteienstaat: Die Demokratisierung der politischen Beamten in Preussen zwischen 1918 und 1933 (Stuttgart, 1965); Anthony J. Nicholls, ‘Die höhere Beamtenschaft in der Weimarer Zeit: Betrachtungen zu Problemen ihrer Haltung und ihrer Fortbildung’, in Lothar Albertin and Werner Link (eds.), Politische Parteien auf dem Weg zur parlamentarischen Demokratie in Deutschland: Entwicklungslinien bis zur Gegenwart (Düsseldorf, 1981), 195-207; Hans Fenske, ‘Monarchisches Beamtentum und demokratischer Rechtsstaat: Zum Problem der Bürokratie in der Weimarer Republik’, in Demokratie und Verwaltung: 25 Jahre Hochschule für Verwaltung Speyer (Berlin, 1972), 117-36; Rudolf Morsey, ‘Beamtenschaft und Verwaltung zwischen Republik und “Neuem Staat”’, in Karl Dietrich Erdmann and Hagen Schulze (eds.), Weimar: Selbstpreisgabe einer Demokratie (Düsseldorf, 1980), 151-68; Eberhard Pikart, ‘Preussische Beamtenpolitik 1918-1933’, VfZ 6(1958), 119-37.
-
-56 Broszat, Der Staat Hitlers, 17-9.
-
-57 AT 28, in Merkl, Political Violence, 513.
-
-58 See Rainer Fattmann, Bildungsbürger in der Defensive: Die akademische Beamtenschaft und der ‘Reichsbund der höheren Beamten’ in der Weimarer Republik (Göttingen, 2001).
-
-59 On the whole subject of Germany’s economic, and other, war aims, though no longer on the war’s origins (which it in fact treats only briefly), Fischer, Germany’s Aims remains the standard work.
-
-60 The process of inflation during and immediately after the war is recounted in great detail in the first 150 pages of the monumental history by Gerald D. Feldman, The Great Disorder: Politics, Economic, and Society in the German Inflation, 1914-1924 (New York, 1993). The exchange rates for the whole period are given in table I on page 5. Feldman’s work supersedes the classic accounts by Constantino Bresciani-Turroni, The Economics of Inflation: A Study of Currency Depreciation in Post-war Germany (London, 1937) and Karsten Laursen and Jürgen Pedersen, The German Inflation 1918-1923 (Amsterdam, 1964). There is a succinct survey of research in Theo Balderston, Economics and Politics in the Weimar Republic (London, 2002), 34-60. Stephen B. Webb, Hyperinflation and Stabilization in Weimar Germany (Oxford, 1989) links the inflation process to the reparations issue.
-
-61 Feldman, The Great Disorder, 5 (table 1), and more generally, with numerous quotations and examples, in chapters 1-8; also Kent, The Spoils of War, 45-6, 142-58.
-
-62 Feldman, The Great Disorder, 837-9; more pessimistically, Niall Ferguson, Paper and Iron: Hamburg Business and German Politics in the Era of Inflation, 1897-1927 (Oxford, 1995), esp. 408-19.
-
-63 Feldman, The Great Disorder, 5 (table I). For the Ruhr occupation, see Conan Fischer, The Ruhr Crisis 1923-1924 (Oxford, 2003); Hermann J. Rupieper, The Cuno Government and Reparations 1922-1923: Politics and Economics (The Hague, 1979); and Klaus Schwabe (ed.), Die Ruhrkrise 1923: Wendepunkt der internationalen Beziehungen nach dem Ersten Weltkrieg (Paderborn, 1985).
-
-64 Berliner Morgenpost 251 (21 October 1923), ‘Zahlen-Wahnsinn, von Bruno H. Bürgel’.
-
-65 Norman Angell, The Story of Money (New York, 1930), 332; Haffner, Defying Hitler, 49-50.
-
-66 Fritz Blaich, Der schwarze Freitag: Inflation und Wirtschaftskrise (Munich, 1985), 14, 31.
-
-67 Wirtschaftskurve, 2 (1923), I, 29 and 4 (1923), 21, citing the expenditure of a middling salaried employee’s family with one child, quoted in Carl-Ludwig Holtfrerich, The German Inflation 1914-1923: Causes and Effects in International Perspective (New York, 1986 [1980]), 261.
-
-68 Berliner Morgenpost, 220 (15 September 1923), ‘Zurückgehaltene Ware: Weil der “morgige Preis” noch nicht bekannt ist’.
-
-69 Feldman, The Great Disorder, 704-6.
-
-70 Holtfrerich, The German Inflation, 262-3.
-
-71 Klemperer, Leben sammeln, I. 239 (26 February 1920).
-
-72 Ibid., 257 (28 March 1920).
-
-73 Ibid., 262 (I April 1920).
-
-74 Ibid., 697 (27 May 1923), 700-1 (1 and 2 June 1923). For the speculation mania, see also Haffner, Defying Hitler, 46-7.
-
-75 Klemperer, Leben sammeln, I. 717 (24 July 1923), 729 (3 August 1923).
-
-76 Ibid., 740 (27/28 August 1923).
-
-77 Ibid., 752 (9 October 1923).
-
-78 Ibid., 751 (9 October 1923).
-
-79 Ibid., 757 (2 November 1923).
-
-80 Ibid., 758 (7 and 16 November 1923).
-
-81 Berliner Morgenpost, 213 (7 September 1923): ‘Nur noch dreissig Strassenbahn-Linien’.
-
-82 Kent, The Spoils of War, 245-8.
-
-83 Feldman, The Great Disorder, 741-7.
-
-84 Ibid., 778-93.
-
-85 Ibid., 754-835.
-
-86 Derek H. Aldcroft, From Versailles to Wall Street 1919-1929 (London, 1977), 125-55.
-
-87 Feldman, The Great Disorder, 854-88.
-
-88 Klemperer, Leben sammeln, I. 761 (4 December 1923), 763 (20 December 1923).
-
-89 Nikolaus Wachsmann, Hitler’s Prisons: Legal Terror in Nazi Germany (forthcoming, 2004), chapter 2.
-
-90 Michael Grüttner, ‘Working-Class Crime and the Labour Movement: Pilfering in the Hamburg Docks, 1888-1923’, in Richard J. Evans (ed.), The German Working Class 1888-1933: The Politics of Everyday Life (London, 1982), 54-79.
-
-91 Hans Ostwald, Sittengeschichte der Inflation: Ein Kulturdokument aus den Jahren des Marksturzes (Berlin, 1931), esp. 30-31.
-
-92 Martin Geyer, Verkehrte Welt: Revolution, Inflation, und Moderne. München 1914-1924 (Göttingen, 1998), passim.
-
-93 Bernd Widdig, Culture and Inflation in Weimar Germany (Berkeley, 2001), 113-33.
-
-94 Geyer, Verkehrte Welt, 243-318; more generally, the various studies in Gerald D. Feldman (ed.), Die Nachwirkungen der Inflation auf die deutsche Geschichte 1924-1933 (Munich, 1985).
-
-95 For a fascinating study of one such clash, see Charles Medalen, ‘State Monopoly Capitalism in Germany: The Hibernia Affair‘, Past and Present, 78 (February 1978), 82-112.
-
-96 Henry Ashby Turner, Jr., German Big Business and the Rise of Hitler (New York, 1985), 3-18; Gerald D. Feldman, Army, Industry and Labor in Germany, 1914-1918 (Princeton, 1966); idem, ‘The Origins of the Stinnes-Legien Agreement: A Documentation‘, Internationale Wissenschaftliche Korrespondenz zur Geschichte der deutschen Arbeiterbewegung, 19/20 (1973), 45-104.
-
-97 For a summary of the debate on the nature and extent of business investment during the inflation, see Harold James, The German Slump: Politics and Economics, 1924-1936 (Oxford, 1986), 125-30.
-
-98 Peter Hayes, Industry and Ideology: I.G. Farben in the Nazi Era (Cambridge, 1987), 16-17; Gerald D. Feldman, Hugo Stinnes: Biographie eines Industriellen 1870-1924 (Munich, 1998).
-
-99 Mary Nolan, Visions of Modernity: American Business and the Modernization of Germany (New York, 1994).
-
-100 Peukert, The Weimar Republic, 112-17.
-
-101 Robert Brady, The Rationalization Movement in Germany: A Study in the Evolution of Economic Planning (Berkeley, 1933); James, The German Slump, 146-61.
-
-102 Feldman, The Great Disorder, 343-44; Harold James, ‘Economic Reasons for the Collapse of the Weimar Republic‘, in Ian Kershaw (ed.), Weimar: Why did German Democracy Fail? (London, 1990), 30-57, at 33-4; see also Dieter Hertz-Eichenröde, Wirtschaftskrise und Arbeitsbeschaffung: Konjunkturpolitik 1925l26 und die Grundlagen der Krisenpolitik Brünings (Frankfurt am Main, 1982); Fritz Blaich, Die Wirtschaftskrise 1925/26 und die Reichsregierung: Von der Erwerbslosenfürsorge zur Konjunkturpolitik (Kallmünz, 1977); and Klaus-Dieter Krohn, Stabilisierung und ökonomische Interessen: Die Finanzpolitik des deutschen Reiches 1923-1927 (Düsseldorf, 1974).
-
-103 Bernd Weisbrod, Schwerindustie in der Weimarer Republik: Interessenpolitik zwischen Stabtlisierung und Krise (Wuppertal, 1978), 415-56;James, The German Slump, 162-223.
-
-104 Richard Bessel, ‘Why did the Weimar Republic Collapse?’, in Kershaw (ed.), Weimar, 120-52, at 136; Bernd Weisbrod, The Crisis of German Unemployment Insurance in 1928/29 and its Political Repercussions’, in Wolfgang J. Mommsen (ed.), The Emergence of the Welfare State in Britain and Germany, 1850-1950 (London, 1981), 188-204; Richard J. Evans, ‘Introduction: The Experience of Mass Unemployment in the Weimar Republic’ in Richard J. Evans and Dick Geary (eds.), The German Unemployed: Experiences and Consequences of Mass Unemployment from the Weimar Republic to the Third Reich (London, 1987), 1-22, at 5-6; Merith Niehuss, ‘From Welfare Provision to Social Insurance: The Unemployed in Augsburg 1918-27’, in Evans and Geary (eds.), The German Unemployed, 44-72.
-
-105 Turner, German Big Business, 19-46; Weisbrod, Schwerindustrie; see also the brief sketch by J. Adam Tooze, ‘Big Business and the Continuities of German History, 1900-1945’, in Panikos Panayi (ed.), Weimar and Nazi Germany: Continuities and Discontinuities (London, 2001), 173-98.
-
-106 For the Barmat scandal, see Bernhard Fulda, ‘Press and Politics in Berlin, 1924-1930’ (Cambridge Ph.D. dissertation, 2003), 63-71, 87-117.
-
-107 Dick Geary, ‘Employers, Workers, and the Collapse of the Weimar Republic‘, in Kershaw (ed.), Weimar, 92-119.
-
-108 Karl Rohe, Wahlen und Wählertraditionen in Deutschland (Frankfurt am Main, 1992), 124.
-
-109 Falter, Hitlers Wähler, 327-8; Kurt Koszyk, Deutsche Presse 1914-1945: Geschichte der deutschen Presse, III (Berlin, 1972).
-
-110 Babette Gross, Willi Münzenberg: Eine politische Biographie (Stuttgart, 1967).
-
-111 Erich Schairer, ‘Alfred Hugenberg’, Mit anderen Augen: Jahrbuch der deutschen Sonntagszeitung (1929), 18-21, cited and translated in Kaes et al. (eds.), The Weimar Republic Sourcebook, 72-4; Dankwart Guratzsch, Macht durch Organisation: Die Grundlegung des Hugenbergschen Presseimperiums (Düsseldorf, 1974), 192-3, 244, 248.
-
-112 Fulda, ‘Press and Politics’, table I.
-
-113 Modris Eksteins, The Limits of Reason: The German Democratic Press and the Collapse of Weimar Democracy (Oxford, 1975), 129-30, 249-50-
-
-114 Fulda, ‘Press and Politics’, table I, and chapter I more generally.
-
-115 Falter, Hitlers Wähler, 325-39.
-
-116 Oswald Spengler, Der Untergang des Aberedlandes: Umrisse einer Morphologie der Weltgeschichte, I: Gestalt und Wirklichkeit (Vienna, 1918), 73-5.
-
-117 Arthur Moeller van den Bruck, Das Dritte Reich (3rd edn., Hamburg, 1931 [Berlin, 1923]), esp. 300, 320; Gary D. Stark, Entrepreneurs of Ideology: Neo-Conservative Publishers in Germany, 1890-1933 (Chapel Hill, NC 1981); Agnes Stansfield, ‘Das Dritte Reich: A Contribution to the Study of the “Third Kingdom” in German Literature from Herder to Hegel‘, Modern Language Review, 34(1934), 156-72. Moeller van den Bruck originally called his conservative-revolutionary utopia ‘the Third Way’; see Mosse, The Crisis, 281.
-
-118 Edgar Jung, ‘Deutschland und die konservative Revolution‘, in Deutsche über Deutschland (Munich, 1932), 369-82, excerpted and translated in Kaes et al., (eds.), The Weimar Republic Sourcebook, 352-4.
-
-119 Jünger, In Stahlgewittern; see also Nikolaus Wachsmann, ‘Marching under the Swastika? Ernst Jünger and National Socialism, 1918-33’, Journal of Contemporary History, 33 (1998), 573-89.
-
-120 Theweleit, Male Fantasies.
-
-121 The classic study of these, and other, similar strands of thought is by Kurt Sontheimer, Antidemokratisches Denken in der Weimarer Republik (Munich, 1978 [1962]).
-
-122 James M. Ritchie, German Literature under National Socialism (London, 1983), 10-11;see also Peter Zimmermann, ‘Literatur im Dritten Reich’, in Jan Berg et al. (eds.), Sozialgeschichte der deutschen Literatur von 1918 bis zur Gegenwart (Frankfurt am Main, 1981), 361-416; and in particular Jost Hermand and Frank Trommler, Die Kultur der Weimarer Republik (Munich, 1978), 128-92. 123. For a good general overview, see Nitschke et al. (eds.), Jahrhundertwende; on ‘moral panics’ in the Wilhelmine period, see Richard J. Evans, Tales from the German Underworld: Crime and Punishment in the Nineteenth Century (London, 1998), 166-212; Gary Stark, ‘Pornography, Society and the Law in Imperial Germany‘, Central European History, 14 (1981), 200-20; Bram Dijkstra, Idols of Perversity: Fantasies of Female Evil in Fin-de-Siècle Culture (New York, 1986); Robin Lenman, ‘Art, Society and the Law in Wilhelmine Germany: The Lex Heinze‘, Oxford German Studies, 8 (1973), 86-113; Matthew Jefferies, Imperial Culture in Germany, 1871-1918 (London, 2003); on Weimar culture, Peukert, The Weimar Republic, 164-77. 124. Hermand and Trommler, Die Kultur, 193-260. 125. Karen Koehler, ‘The Bauhaus, 1919-1928: Gropius in Exile and the Museum of Modern Art, N. Y., 1938’, in Richard A. Etlin (ed.), Art, Culture and Media under the Third Reich (Chicago, 2002), 287-315, at 288-92; Barbara Miller Lane, Architecture and Politics in Germany, 1918-1945 (Cambridge, Mass., 1968), 70-78; Shearer West, The Visual Arts in Germany 1890-1936: Utopia and Despair (Manchester, 2000), 143-55; Hans Wingler, The Bauhaus - Weimar, Dessau, Berlin, Chicago 1919-1944 (Cambridge, Mass., 1978); Frank Whitford, The Bauhaus (London, 1984). 126. Gerald D. Feldman, ‘Right-Wing Politics and the Film Industry: Emil Georg Strauss, Alfred Hugenberg, and the UFA, 1917-1933’, in Christian Jansen et al. (eds.), Von der Aufgabe der Freiheit: Politische Verantwortung und bürgerliche Gesellschaft im 19. und 20. Jahrhundert: Festschrift für Hans Mommsen zum 5. November 1995 (Berlin, 1995), 219-30; Siegfried Kracauer, From Caligari to Hitler: A Psychological History of the German Film (Princeton, 1947), 214-16. 127. Andrew Kelly, Filming All Quiet on the Western Front - ‘Brutal Cutting, Stupid Censors, Bigoted Politicos’ (London, 1998), reprinted in paperback as All Quiet on the Western Front: The Story of a Film (London, 2002). More generally, on Weimar culture, see the classic essay by Peter Gay, Weimar Culture: The Outsider as Insider (London, 1969). Walter Laqueur, Weimar: A Cultural,History 1918-1933 (London, 1974), is good on the conservative majority as well as the avant-garde minority; see also Hermand and Trommler, Die Kultur, 350-437, on the visual arts. 128. Erik Levi, Music in the Third Reich (London, 1994), T-13; Hermand and Trommler, Die Kultur, 279-350. 129. Michael H. Kater, Different Drummers: Jazz in the Culture of Nazi Germany (New York, 1992.), 3-28; Peter Jelavich, Berlin Cabaret (Cambridge, Mass., 1993), 202.
-
-130 Peukert, The Weimar Republic, 178-90.
-
-131 AT 43, in Merkl, Political Violence, 173.
-
-132 Abrams, Workers’ Culture, esp. chapter 7.
-
-133 Richard J. Evans, The Feminist Movement in Germany 1894-1933 (London, 1976), 122, 141; Rudolph Binion, Frau Lou: Nietzsche’s Wayward Disciple (Princeton, 1968), 447.
-
-134 James D. Steakley, The Homosexual Emancipation Movement in Germany (New York, 1975); John C. Fout, ‘Sexual Politics in Wilhelmine Germany: The Male Gender Crisis, Moral Purity, and Homophobia‘, Journal of the History of Sexuality, 2 (1992), 388-421.
-
-135 See the pioneering article by Renate Bridenthal and Claudia Koonz, ‘Beyond Kinder, Küche, Kirche: Weimar Women in Politics and Work‘, in Renate Bridenthal et al. (eds.), When Biology Became Destiny: Women in Weimar and Nazi Germany (New York, 1984),33-65.
-
-136 Planert, Antifeminismus.
-
-137 Evans, The Feminist Movement, 145-201; Klaus Höhnig, Der Bund Deutscher Frauenvereine in der Weimarer Republik 1919- 1923 (Egelsbach, 1995).
-
-138 Atina Grossmann, Reforming Sex: The German Movement for Birth Control and Abortion Reform 1920-1950 (New York, 1995), 16; Steakley, The Homosexual Emancipation Movement; Fout, ‘Sexual Politics’; Charlotte Wolff, Magnus Hirschfeld: A Portrait of a Pioneer in Sexology (London, 1986).
-
-139 James Woycke, Birth Control in Germany 1871-1933 (London, 1988), 113-16, 121, 147-8; Grossmann, Reforming Sex; Cornelie Usborne, The Politics of the Body in Weimar Germany: Women’s Reproductive Rights and Duties (London, 1991).
-
-140 Clifford Kirkpatrick, Nazi Germany: Its Women and Family Life (New York, 1938), 36 ; Elizabeth Harvey, ‘Serving the Volk, Saving the Nation: Women in the Youth Movement and the Public Sphere in Weimar Germany‘, in Larry Eugene Jones and James Retallack (eds.), Elections, Mass Politics, and Social Change in Modern Germany: New Perspectives (New York, 1992), 201-22; Irene Stoehr, ‘Neue Frau und alte Bewegung? Zum Generationskonflikt in der Frauenbewegung der Weimarer Republik‘, in Jutta Dalhoff et al. (eds.), Frauenmacht in der Geschichte (Düsseldorf, 1986), 390-400; Atina Grossmann, “‘Girikultur” or Thoroughly Rationalized Female: A New Woman in Weimar Germany‘, in Judith Friedlander et al. (eds.), Women in Culture and Politics: A Century of Change (Bloomington, Ind., 1986), 62-80.
-
-141 Raffael Scheck, Mothers of the Nation: Right-Wing Women in German Politics, 1918-1923 (forthcoming, 2004); Höhnig, Der Bund; Ute Planert (ed.), Nation, Politik und Geschlecht: Frauenbewegungen und Nationalismus in der Moderne (Frankfurt am Main, 2000).
-
-142 Merkl, Political Violence, 230-89, for personal testimonies; also Peter D. Stachura, The German Youth Movement, 1900-1945: An Interpretative and Documentary History (London, 1981), countering the emphasis of earlier work on the proto-fascist aspects of the youth movement, as in the classic studies of Laqueur, Young Germany, Howard Becker, German Youth: Bond or Free? (New York, 1946), and Mosse, The Crisis, 171-89. See more recently, Jürgen Reulecke, ’ “Hat die Jugendbewegung den Nationalsozialismus vorbereitet?” Zum Umgang mit einer falschen Frage‘, in Wolfgang R. Krabbe (ed.), Politische Jugend in der Weimarer Republik (Bochum, 1993), 222-43.
-
-143 Klemperer, Leben sammeln, II. 56 (14 May 1925).
-
-144 AT 144, 173, in Merkl, Political Violence, 290-310, esp. 303-4; also Margret Kraul, Das deutsche Gymnasium 1780-1980 (Frankfurt am Main, 1984), 127-56, a useful overview; Folkert Meyer, Schule der Untertanen: Lehrer und Politik in Preussen 1848-1900 (Hamburg, 1976), taking a strongly negative view of the political influence of the schools; Mosse, The Crisis, 149-70, emphasizing nationalist influences. For a good corrective to Meyer, see Marjorie Lamberti, ‘Elementary School Teachers and the Struggle against Social Democracy in Wilhelmine Germany‘, History of Education Quarterly, 12 (1992), 74-97; and eadem, State, Society and the Elementary School in Imperial Germany (New York, 1989).
-
-145 Konrad H. Jarausch, Deutsche Studenten 1800-1970 (Frankfurt am Main, 1984), esp. 117-22; Michael S. Steinberg, Sabers and Brown Shirts: The German Students’ Path to National Socialism, 1918-1935 (Chicago, 1977); Geoffrey J. Giles, Students and National Socialism in Germany (Princeton, 1985), a study on Hamburg University. The literal translation of AStA, Allgemeiner Studenten-Ausschuss, is ‘General Student Committee’; the functions of these bodies were comparable to those of student unions in the English-speaking world.
-
-146 Michael H. Kater, Studentenschaft und Rechtsradikalismus in Deutschland 1918-1933: Eine sozialgeschichtliche Studie zur Bildungskrise in der Weimarer Republik (Hamburg, 1975); ); idem, ‘The Work Student: A Socio-Economic Phenomenon of Early Weimar Germany’, Journal of Contemporary History, 10 (1975), 71-94; Wildt, Generation des Unbedingten, 72-80.
-
-147 Ibid., 81-142.
-
-148 Ulrich Herbert, Best: Biographische Studien über Radikalismus, Weltanschauung und Vernunft 1903-1989 (Bonn, 1996), 42-68.
-
-149 AT 96, in Merkl, Political Violence, 236 (italics in original). 150. Maria Tatar, Lustmord: Sexual Murder in Weimar Germany (Princeton, 1995) (but see my review of this in many ways unconvincing book in German History, 14 (1996), 414-15) ; more conventionally, Birgit Kreutzahler, Das Bild des Verbrechers in Romanen der Weimarer Republik: Eine Untersuchung vor dem Hintergrund anderer gesellschaftlicher Verbrecherbilder und gesellschaftlicher Grundzüge der Weimarer Republik (Frankfurt am Main, 1987); Kracauer, From Caligari; Evans, Rituals, 531-6.
-
-151 Patrick Wagner, Volksgemeinschaft ohne Verbrecher: Konzeptionen und Praxis der Kriminalpolizei in der Zeit der Weimarer Republik und des Nationalsozialismus (Hamburg, 1996), 26-76, 153-79.
-
-152 Evans, Rituals, 487-610.
-
-153 Fieberg (ed.), Im Namen, 10-22.
-
-154 Johannes Leeb, in Deutsche Richterzeitung, 1921, col. 1301, cited in Fieberg (ed.), Im Namen, 24-7.
-
-155 Hans Hattenhauer, ‘Wandlungen des Richterleitbildes im 19. und 20. Jahrhundert’, in Ralf Dreier and Wolfgang Sellert (eds.), Recht und Justiz im ‘Dritten Reich’ (Frankfurt am Main, 1989), 9-33, at 13-16; Henning Grunwald, ‘Political Lawyers in the Weimar Republic’ (Ph.D. dissertation, Cambridge, 2002).
-
-156 Fieberg (ed.), Im Namen, 24-7.
-
-157 Emil J. Gumbel, Vier Jahre politischer Mord (Berlin, 1924), 73-5, extracted and tabulated in Fieberg (ed.), Im Namen, 29-35.
-
-158 Recent, not wholly convincing attempts to view Weimar’s judges in a more favourable light include Irmela Nahel, Fememorde und Fememordproxesse in der Weimarer Republik (Cologne, 1991) and Marcus Böttger, Der Hochverrat in der hochstrichterlichen Rechtsprechung der Weimarer Republik: Ein Fall politischer Instrumentalisierung von Strafgesetzen? (Frankfurt am Main, 1998).
-
-159 Hannover and Hannover-Drück, Politische Justiz, 182-91; Kurt R. Grossmann, Ossietzky: Ein deutscher Patriot (Munich, 1963), 195-219; Elke Suhr, Carl von Ossietzky: Eine Biographie (Cologne, 1988), 162-8.
-
-160 Hermann Schüler, Auf der Flucht erschossen: Felix Fechenbach 1894-1933. Eine Biographie (Cologne, 1981), 171-92.
-
-161 Ilse Staff, Justiz im Dritten Reich: Eine Dokumentation (2nd edn., Frankfurt am Main, 1978 [1964]), 22-4.
-
-162 Gotthard Jasper, Der Schutz der Republik (Tübingen, 1963).
-
-163 Evans, Rituals, 503-6.
-
-164 Ingo Müller, Hitler’s Justice: The Courts of the Third Reich (London, 1991 [1987]), 10-24.
-
-165 Hannover and Hannover-Drück, Politische Justiz, 77.
-
-166 Ralph Angermund, Deutsche Richterschaft 1918-1945: Krisenerfahrung, Illusion, Politische Rechtsprechung (Frankfurt am Main, 1990), 33-4.
-
-167 Wehler, Deutsche Gesellschaftsgeschichte, III. 907-15, 1086-90; Thomas Nipperdey, Deutsche Geschichte 1866-1918, I: Arbeitswelt und Burgergeist (Munich, 1990), 335-73; more specialized work includes Volker Hentschel, Geschichte der deutschen Sozialpolitik (1880-1980) (Frankfurt am Main, 1983); Gerhard A. Ritter, Soxialversicherung in Deutschland und England: Entstehung und Grundzuge im Vergleich (Munich, 1983); and the pioneering study by Karl Erich Born, Staat und Sozialpolitik seit Bismarcks Sturz 1890-1914: Ein Beitrag zur Geschichte der innenpolitischen Entwicklung des deutschen Reiches 1880-1914 (Wiesbaden, 1957).
-
-168 David F. Crew, Germans on Welfare: From Weimar to Hitler (New York, 1998), 16-31.
-
-169 Articles 119-22, 151-65 of the Weimar constitution (in Huber, Deutsche Verfassungsgeschichte, V-VII).
-
-170 Ludwig Preller, Sozialpolitik in der Weimarer Republik (Düsseldorf, 1978 [1949]) is still the indispensable, classic guide; more recently, there have been important studies by Detlev J. K. Peukert, Grenzen der Sozialdisziplinierung: Aufstieg und Krise der deutschen Jugendfürsorge 1878 bis 1932 (Cologne, 1986); Young-Sun Hong, Welfare, Modernity, and the Weimar State, 1919-1933 (Princeton, 1998), and Crew, Germans on Welfare.
-
-171 Otto Riebicke, Was brachte der Weltkrieg? Tatsachen und Zahlen aus dem deutschen Ringen 1914-18 (Berlin, 1936), 97-112.
-
-172 Whalen, Bitter Wounds, 156, 168.
-
-173 Caplan, Government, 51, 60; Bessel, ‘Why did the Weimar Republic Collapse?’, 120-34, at 123-5.
-
-174 Current German data protection laws forbid the use of the full names of private individuals.
-
-175 Full details in Crew, Germans on Welfare, 107-15.
-
-176 Ibid., esp. 204-8.
-
-177 For the spread of such ideas, see Richard F. Wetzell, Inventing the Criminal: A History of German Criminology 1880-1945 (Chapel Hill, NC, 2000); esp. 107-78; Wachsmann, Hitler’s Prisons, part I; Regina Schulte, Sperrbezirke: Tugendhaftigkeit und Prostitution in der burgerlichen Welt (Frankfurt am Main, 1979), 174-204; Schmuhl, Rassenhygiene, 31, 94; Evans, Rituals, 526-36.
-
-178 Wagner, Volksgemeinschaft, 97-101.
-
-179 Quoted in Evans, Rituals, 526-7.
-
-180 Nikolaus Wachsmann et al., ‘“Die soziale Prognose wird damit sehr trube ...”: Theodor Viernstein und die Kriminalbiologische Sammelstelle in Bayern’, in Michael Farin (ed.), Polizeireport München 1799-1999 (Munich, 1999), 250-87.
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-181 Karl Binding and Alfred Hoche, Die Freigabe der Vernichtung lebensunwerten Lebens: Ihr Mass und ihre Form (Leipzig, 1920); Michael Burleigh, Death and Deliverance: ‘Euthanasia’, in Germany 1900-1945 (Cambridge, 1994), 11-42; Hong, Welfare, 29-276.
-
-182 Victor Klemperer, Curriculum Vitae: Erinnerungen 1881-1918 (2 vols., Berlin, 1996 [1989]).
-
-183 Klemperer, Leben sammeln, I. 8 (23 November 1918) and 9 (24 November 1918). ,
-
-184 Ibid., 97 (12 April 1919), 109-10 (6 May 1919).
-
-185 See the useful biographical sketch by Martin Chalmers, in Victor Klemperer, I Shall Bear Witness: The Diaries of Victor Klemperer 1933-1941 (London, 1998), IX-XXI.
-
-186 Klemperer, Leben sammeln, 1. 600 (29 June 1922).
-
-187 Ibid., II. 377 (10 September 1927).
-
-188 Ibid., 571 (3 September 1929).
-
-189 Ibid., 312 (26 December 1926).
-
-190 Ibid., I. 187 (27 September 1919).
-
-191 Ibid., I. 245 (14 March 1920).
-
-192 Ibid., 248 (14 March 1920).
-
-193 Ibid., 433-4 (20 April 1921).
-
-194 Ibid., II. 49 (27 April 1925).
-
-195 Ibid., 758 (7 August 1932).
-
-196 Martin Liepach, Das Wahlverhalten der jüdischen Bevölkerung : Zur politischen Orientierung der Juden in der Weimarer Republik (Tübingen, 1996) esp. p. 211-310; more generally, Wolfgang Benz (ed.) Jüdisches Leben in der Weimarer Republik (Tübingen, 1998), 271-80; and Donald L. Niewyk, The Jews in Weimar Germany (Baton Rouge, La., 1980), 11-43.
-
-197 Klaus Schwabe, ‘Die deutsche Politik und die Juden im Ersten Weltkrieg’, in Hans Otto Horch (ed.), Judentum, Antisemitismus und europäische Kultur (Tubingen, 1988), 255-66; Egmont Zechlin, Die deutsche Politik und die Juden im Ersten Weltkrieg (Gottingen, 1969), esp. 527-41; Saul Friedlander, ‘Die politischen Veränderungen der Kriegszeit und ihre Auswirkungen auf die Judenfrage’, in Werner E. Mosse (ed.), Deutsches Judentum in Krieg und Revolution 1916-1923 (Tübingen, 1971), 27-65. See, more generally, Jochmann, Gesellschaftskrise, 99- 170 (‘Die Ausbreitung des Antisemitismus in Deutschland 1914-1923’), and 171-94 (‘Der Antisemitismus und seine Bedeutung fur den Untergang der Weimarer Republik’).
-
-198 Stark, Entrepreneurs, 141, 208-9.
-
-199 Jack Wertheimer, Unwelcome Strangers: East European Jews in Imperial Germany (New York, 1987), table IV; Wolfgang J. Mommsen, Bürgerstolz und Weltmachtstreben: Deutschland unter Wilhelm II. 1890 bis 1918 (Berlin, 1995), 434-40; Steven Aschheim, Brothers and Strangers: The East European Jew in German and German Jewish Consciousness 1800-1923 (Madison, 1982).
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-200 Vossische Zeitung, 6 November 1923, excerpted and translated in Peukert, The Weimar Republic, 160 (amended); see also David Clay Large, “‘Out with the Ostjuden”: The Scheunenviertel Riots in Berlin, November 1923’, in Werner Bergmann et al. (eds.), Exclusionary Violence: Antisemitic Riots in Modern Germany (Ann Arbor, 2002), 123-40, and Dirk Walter, Antisemitische Kriminalität und Gewalt: Judenfeindschaft in der Weimarer Republik (Bonn, 1999), esp. 151-4.
-
-201 Peter Pulzer, ‘Der Anfang vom Ende‘, in Arnold Paucker (ed.), Die Juden im nationalsozialistischen Deutschland 1933-1944 (Tübingen, 1986), 3-15; Trude Maurer, Ostjuden in Deutschland, 1918-1933 (Hamburg, 1986).
-
-202 Kauders, German Politics, 182-91; for Protestantism, see Kurt Nowak and Gérard Raulet (eds.), Protestantismus und Antisemitismus in der Weimarer Republik (Frankfurt am Main, 1994). More generally, see Heinrich August Winkler, ‘Die deutsche Gesellschaft der Weimarer Republik und der Antisemitismus’, in Bernd Martin and Ernst Schulin (eds.), Die Juden als Minderheit in der Geschichte (Munich, 1981), 271-89, and Jochmann, Gesellschaftskrise, 99-170. For a local study, see Stefanie Schüler-Springorum, Die jüdische Minderheit in Königsberg, Preussen 1871-1945 (Göttingen, 1996).
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-
-
-
-
-Chapter 3 THE RISE OF NAZISM
-
-1 Peter Jelavich, Munich and Theatrical Modernism: Politics, Playwriting, and Performance 1890-1914 (Cambridge, Mass., 1985), gives a good account of theatre in Munich at the time.
-
-2 For a dramatic description of Eisner, based on wide and unconventional reading in contemporary sources, see Richard M. Watt, The Kings Depart: The German Revolution and the Treaty of Versailles 1918-19 (London, 1973 [1968]), 312-30 and 354-81. See also Franz Schade, Kurt Eisner und die bayerische Sozialdemokratie (Hanover, 1961) and Peter Kritzer, Die bayerische Sozialdemokratie und die bayerische Politik in den Jahren 1918-1923 (Munich, 1969). For a recent biography, see Bernhard Grau, Kurt Eisner 1867-1919: Eine Biographie (Munich, 2001).
-
-3 Allan Mitchell, Revolution in Bavaria 1918/1919: The Eisner Regime and the Soviet Republic (Princeton, 1965), 171-2; Freya Eisner, Kurt Eisner: Die Politik der libertären Sozialismus (Frankfurt am Main, 1979), 175-80.
-
-4 Mitchell, Revolution, for these and subsequent events; see also Winkler, Von der Revolution, 184-90, and Heinrich Hillmayr, Roter und weisser Terror in Bayern nach 1918: Erscheinungsformen und Folgen der Gewaltätigkeiten im Verlauf der revolutionären Ereignisse nach dem Ende des Ersten Weltkrieges (Munich, 1974).
-
-5 Watt, The Kings Depart, 312-30, 354-81; David Clay Large, Where Ghosts Walked: Munich’s Road to the Third Reich (New York, 1997), 76-92., is another colourful account. Friedrich Hitzer, Anton Graf Arco: Das Attentat auf Kurt Eisner und die Schüsse im Landtag (Munich, 1988), tells the assassin’s story as researched for a film screenplay by the author. For Hoffmann, see Diethard Hennig, Johannes Hoffmann: Sozialdemokrat und Bayerischer Ministerpräsident: Biographie (Munich, 1990).
-
-6 Quoted in Watt, The Kings Depart, 364; Hans Beyer, Von der Novemberrevolution zur Räterepublik in München (Berlin, 1957) (well-documented East German account), esp. 77-8.
-
-7 Watt, The Kings Depart, 366-8.
-
-8 Large, Where Ghosts Walked, 70.
-
-9 Carsten, Revolution, 218-23; Hannover and Hannover-Driick, Politischejustiz, 53-75.
-
-10 See Anthony Nicholls, ‘Hitler and the Bavarian Background to National Socialism’, in idem and Erich Matthias (eds.), German Democracy and the Triumph of Hitler: Essays on Recent German History (London, 1971), 129-59.
-
-11 For a detailed account of Hitler’s activities in 1918-19, see Kershaw, Hitler, I. 116-21, and Anton Joachimsthaler, Hitlers Weg begann in München 1913-1923 (Munich, 2000 [1989]), 177-319.
-
-12 Kershaw, Hitler: I. 3-13, for a judicious sifting of fact from legend, interpretation from speculation, on Hitler’s early years.
-
-13 Carl E. Schorske, ‘The Ringstrasse, its Critics, and the Birth of Urban Modernism’, in idem, Fin-de-Siècle Vienna, 24-115.
-
-14 August Kubizek, Adolf Hitler: Mein jugendfreund (Graz, 1953), provides many details; but see the critique by Franz Jetzinger, Hitler’s Youth (London, 1958 [1956]), 167-74.
-
-15 The paucity of reliable evidence about Hitler before 1919 has led to intense debate over his claim that he became an extreme, political antisemite in pre-war Vienna as a result of encounters with Jews, particularly ‘Eastern Jews’, immigrants from Galicia. While Hitler’s own version seems overdrawn, recent attempts to argue that he was not antisemitic at all are equally unconvincing. See Kershaw, Hitler, I, esp. 49-69, and Joachimsthaler, Hitlers Weg, 45-9.
-
-16 Adolf Hitler, Mein Kampf (trans. Ralph Manheim, introd. D.C. Watt, London, 1969 [1925/6]), 39-41.
-
-17 Ibid., 71, 88, 95.
-
-18 Kershaw, Hitler, I. 81-7; Joachimsthaler, Hitlers Weg, 77-97. Hitler’s own account is in Mein Kampf, 116-17. For a racy account of bohemian life in Schwabing, see Large, Where Ghosts Walked, 3-42.
-
-19 Hitler, Mein Kampf, 148-9.
-
-20 Kershaw, Hitler, I. 87-101.
-
-21 Hitler, Mein Kampf, 11-169.
-
-22 Geyer, Verkehrte Welt, 278-318.
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-23 Hitler to Adolf Gemlich, 16 September 1919, in Eberhard Jäckel and Axel Kuhn (eds.), Hitler: Sämtliche Aufzeichnungen 1905-1924 (Stuttgart, 1980), 88-90; Ernst Deuerlein, ‘Hitlers Eintritt in die Politik und die Reichswehr’, VfZ 7 (1959), 203-5.
-
-24 ‘Anton Drexlers Politisches Erwachen’ (1919), reprinted in Albrecht Tyrell (ed.), Führer befiehl...: Selbstzeugnisse aus der ‘Kampfzeit’ der NSDAP (Düsseldorf, 1969), 20-22.
-
-25 Tyrell (ed.), Führer befiehl, 22; Kershaw, Hitler, I. 126-8, 131-9; Ernst Deuerlein (ed.), Der Aufstieg der NSDAP in Augenzeugenberichten (Munich, 1974), 56-61. Joachimsthaler, Hitlers Weg, 198-319, sifts fact from legend for Hitler’s life at this time and referees later controversies; Albrecht Tyrell, Vom ‘Trommler’ zum ‘Führer’: Der Wandel von Hitlers Selbstverständnis zwischen 1919 und 1924 und die Entwicklungder NSDAP (Munich, 1975) gives a well-informed account of Hitler’s early political career. See also Werner Maser, Die Frühgeschichte der NSDAP: Hitlers Weg bis 1924 (Frankfurt am Main, 1965). For the Thule Society, see Reginald H. Phelps, ’ “Before Hitler Came”: Thule Society and Germanen Orden‘, Journal of Modern History, 35 (1963), 245-61.
-
-26 Uwe Lohalm, Völkischer Radikalismus: Die Geschichte des Deutscbvolkischen Schutz- und Trutzbundes, 1919-1923 (Hamburg, 1970).
-
-27 Tyrell, Vom Trommler, 72-89; Georg Franz-Willing, Ursprung der Hitlerbewegung 1919-1922 (Preussisch Oldendorf, 1974 [1962]), 38-109.
-
-28 Broszat, Der Staat Hitlers, 43-5.
-
-29 Hitler, Mein Kampf, 620-21 (translation amended).
-
-30 Reginald H. Phelps, ‘Hitler als Parteiredner im Jahre 1920’, VfZ 11 (1963), 274-330; similarly, Jäckel and Kuhn (eds.), Hitler, 115, 132, 166, 198, 252, 455, 656.
-
-31 The phrase ‘socialism of fools’ - originally ’socialism of the stupid’ - is often attributed to the prewar Social Democratic leader August Bebel but probably originated with the Austrian democrat Ferdinand Kronawetter (Pulzer, The Rise, 269 and note). It was in general use among Social Democrats in Germany by the 1890s; see Francis L. Carsten, August Bebel und die Organisation der Massen (Berlin, 1991), 165.
-
-32 Franz-Willing, Ursprung, 120-27; Broszat, Der Staat Hitlers, 39.
-
-33 Ernst Nolte, Three Faces of Fascism: Action Française, Italian Fascism, National Socialism (New York, 1969 [1963]), and later, in a different and more controversial form, Der europdische Bürgerkrieg 1917-1945: Nationalsozialismus und Bolschewismus (Frankfurt am Main, 1987), argued for the primacy of anti-Bolshevism.
-
-34 Hitler, Mein Kampf, 289.
-
-35 All quoted in Longerich, Der ungeschriebene Befehl, 32-4.
-
-36 Bruno Thoss, Der Ludendorff-Kreis: 1919-1923. München als Zentrum der mitteleuropäische Gegenrevolution zwischen Revolution und Hitler-Putsch (Munich, 1978), provides exhaustive detail.
-
-37 Wolf Rüdiger Hess (ed.), Rudolf Hess: Briefe 1908-1933 (Munich, 1987), 251 (Hess to his parents, 24 March 1920).
-
-38 Joachim C. Fest, The Face of the Third Reich (London, 1979 [1970]), 283-314, for a shrewd character sketch of Hess; Smith, The Ideological Origins, 223-40; Lange, ‘Der Terminus “Lebensraum”’, 426-37; Hans Grimm, Volk ohne Raum (Munich, 1926); Dietrich Orlow, ‘Rudolf Hess: Deputy Führer’, in Ronald Smelser and Rainer Zitelmann (eds.), The Nazi Elite (London, 1993 [1989]), 74-84. Hans-Adolf Jacobsen, Karl Haushofer: Leben und Werk (2 vols., Boppard, 1979) reprints many of Haushofer’s writings; Frank Ebeling, Geopolitik: Karl Haushofer und seine Raumwissenschaft 1919-1945 (Berlin, 1994) is a study of his ideas.
-
-39 Margarete Plewnia, Auf dem Weg zu Hitler : Der völkische Publizist Dietrich Eckart (Bremen, 1970); Tyrell, Vom Trommler, 190-94; Alfred Rosenberg (ed.), Dietrich Eckart. Ein Vermächtnis (4th edn., Munich, 1937 [1928]), with a selection of Eckart’s verse.
-
-40 Alfred Rosenberg, Selected Writings (ed. Robert Pois, London, 1970); Fest, The Face, 247-58; Walter Laqueur, Russia and Germany: A Century of Conflict (London, 1965), 55-61, 116-17, 148-53; Adolf Hitler, Hitler’s Table Talk 1941- 1944: His Private Conversations (London, 1973 [1953]), 422-6; Norman Cohn, Warrant for Genocide: The Myth of the Jewish World-Conspiracy and the Protocols of the Elders of Zion (London, 1967), esp. 187-237; Reinhard Bollmus, ‘Alfred Rosenberg: National Socialism’s “Chief Ideologue”’, in Smelser and Zitelman (eds.), The Nazi Elite, 183-93; Robert Cecil, The Myth of the Master Race: Alfred Rosenberg and Nazi Ideology (London, 1972). See also, more generally, Thomas Klepsch, Nationalsozialistische Ideologie: Eine Beschreibung ihrer Struktur vor 1933 (Münster, 1990), and the excellent selection of extracts from a variety of Nazi ideologues in Barbara Miller Lane and Leila J. Rupp (eds.), Nazi Ideology before 1933: A Documentation (Manchester, 1978).
-
-41 Hans Frank, Im Angesicht des Galgens: Deutung Hitlers und seiner Zeit auf Grund eigner Erlebisse und Erkenntnisse (2nd edn., Neuhaus, 1955 [1953]), no page, cited in Fest, The Face, 330, and ibid., 38-42, cited in Kershaw, Hitler, I. 148; Christoph Klessmann, ‘Hans Frank: Party Jurist and Governor-General in Poland’, in Smelser and Zitelmann (eds.), The Nazi Elite, 39-47.
-
-42 Citing Deuerlein (ed.), Der Aufstieg, 108-12.
-
-43 Dietrich Orlow, The History of the Nazi Party, I: 1919-1933 (Newton Abbot, 1971 [1969]), 11-37.
-
-44 Kershaw, Hitler, I. 160-65; Deuerlein (ed.), Der Aufstieg, 135-41.
-
-45 Kershaw, Hitler, I. 175-80; Deuerlein (ed.), Der Aufstieg, 142-61.
-
-46 Deuerlein (ed.), Der Aufstieg, 145-6.
-
-47 Franz-Willing, Ursprung, 127.
-
-48 Hannover and Hannover-Drück, Politiscbe Justiz, 105-44.
-
-49 Kershaw, Hitler, I. 170-73; Peter Longerich, Die braunen Bataillone: Geschichte der SA (Munich, 1989), 9-32.
-
-50 Conan Fischer, ‘Ernst Julius Röhm: Chief of Staff of the SA and Indispensable Outsider’, in Smelser and Zitelmann (eds.), The Nazi Elite, 173-82.
-
-51 Ernst Röhm, Die Geschichte eines Hochverräters (Munich, 1928), 9, 365-6; Fest, The Face, 206, 518-19 (n. 9).
-
-52 Röhm, Die Geschichte, 363.
-
-53 Deuerlein (ed.), Der Aufstieg, 142-83, for accounts of the growing violence of the Nazi movement in this period; Fischer, ‘Ernst Julius Rohm’, for details of Rohm’s uneasy relationship with Hitler.
-
-54 Kershaw, Hitler, I. 180-85.
-
-55 Adrian Lyttelton, The Seizure of Power: Fascism in Italy 1919-1929 (London, 1973), remains the classic account; Denis Mack Smith, Mussolini (London, 1981) is a scathing biography; Richard J. B. Bosworth, Mussolini (London, 2002) is a good recent life; Franz-Willing, Ursprung, 126-7 for the origins of the Nazi Party’s standards. For contacts and influences, see Klaus-Peter Hoepke, Die deutsche Rechte und der italienische Faschismus: Ein Beitrag zum Selbstverständnis und zur Politik von Gruppen und Verbänden der deutschen Rechten (Düsseldorf, 1968), esp. 186-94 and 292-5.
-
-56 Amidst a vast and controversial literature, Stanley G. Payne, A History of Fascism 1914-1945 (London, 1995), is the best general survey, and Kevin Passmore, Fascism: A Very Short Introduction (Oxford, 2002) the most useful brief account. Roger Griffin, International Fascism - Theories, Causes and the New Consensus (London, 1998), is an influential theoretical text; Kershaw, The Nazi Dictatorship, 26-46, gives, as usual, a sensible and level-headed account of the historiography.
-
-57 AT 567, 199, in Merkl, Political Violence, 196-7.
-
-58 AT 206, 379, ibid.; for an unusual angle on the Schlageter case, see Karl Radek, ‘Leo Schlageter: The Wanderer in the Void’, in Kaes et al. (eds.), The Weimar Republic Sourcebook, 312-14 (originally ‘Leo Schlageter: Der Wanderer ins Nichts’, Die Rote Fahne, 144 (26 June, 1923). For a detailed account of the ‘passive resistance‘, stressing its popular roots, see Fischer, The Ruhr Crisis, 84-181; for Schlageter’s background in the Free Corps, Waite, Vanguard, 235-8; for the sabotage movement organized behind the scenes by the German army, Gerd Krüger, ‘“Ein Fanal des Widerstandes im Ruhrgebiet”: Das “Unternehmen Wesel” in der Osternacht des Jahres 1923. Hingergründe eines angeblichen “Husarenstreiches” ‘, Mitteilungsblatt des Instituts für soziale Bewegungen, 4 (2000), 95-140.
-
-59 Sander L. Gilman, On Blackness without Blacks: Essays on the Image of the Black in Germany (Boston, 1982).
-
-60 AT 183, in Merkl, Political Violence, 193.
-
-61 Gisela Lebeltzer, ‘Der “Schwarze Schmach”: Vorurteile—Propaganda - Mythos‘, Geschichte und Gesellschaft, 11 (1985),37-58; Keith Nelson, “‘The Black Horror on the Rhine”: Race as a Factor in Post-World War I Diplomacy‘, Journal of Modern History, 42 (1970), 606-27; Sally Marks, ‘Black Watch on the Rhine: A Study in Propaganda, Prejudice and Prurience’, European Studies Review, 13 (1983), 297-334. For their eventual fate, see Reiner Pommerin, ‘Sterilisierung der Rheinlandbastarde’: Das Schicksal einer farbigen deutschen Minderbeit 1918 - 1937 (Düsseldorf, 1979).
-
-62 Richard J. Evans, ‘Hans von Hentig and the Politics of German Criminology’, in Angelika Ebbinghaus and Karl Heinz Roth (eds.), Grenzgänge: Deutsche Geschichte des 20. Jahrhunderts im Spiegel von Publizistik, Rechtsprecbung und historischer Forschung(Lüneburg, 1999), 238-64.
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-63 Kershaw, Hitler, I. 185-91; Georg Franz-Willing, Krisenjahr der Hitlerbewegung 1923 (Preussisch Oldendorf, 1975); Helmuth Auerbach, ‘Hitlers politische Lehrjahre und die Miinchner Gesellschaft 1919-1923’, VfZ 25 (1977), 1-45; Franz-Willing, Ursprung, 266-99; Ernst Hanfstaengl, Zwischen Weissem und Braunem Haus: Memoiren eines politischen Aussenseiters (Munich, 1970).
-
-64 Hitler’s views can be found in Hitler, Hitler’s Table Talk, 154-6. For an excellent account, see Robin Lenman, ‘Julius Streicher and the Origins of the NSDAP in Nuremberg, 1918-1923’, in Nicholls and Matthias (eds.), German Democracy, 161-74 (the source for the opinion of Streicher’s verse). For a study. of the town’s brownshirts, see Eric G. Reiche, The Development of the SA in Nürnberg, 1922-34 (Cambridge, 1986).
-
-65 Anthony Nicholls, ‘Hitler and the Bavarian Background to National Socialism’, in idem and Matthias (eds.), German Democracy, 111.
-
-66 Franz-Willing, Krisenjahr, 295-318; for Ludendorff’s activities, see idem, Putsch und Verbotszeit der Hitlerbewegung November 1923-Februar 1925 (Preussisch Oldendorf, 1977), 9-65.
-
-67 Fest, The Face, 113-29; Richard Overy, Goering: The ‘Iron Man’ (London, 1984); Alfred Kube, ‘Hermann Goering: Second Man in the Third Reich’, in Smelser and Zitelmann (eds.), The Nazi Elite, 61-73, categorizes Goring as a ‘late-imperialist’ conservative; see also the same author’s Pour le mérite und Hakenkreuz: Hermann Goering im Dritten Reich (2nd edn., Munich, 1987 [1986]), 4-21; Stefan Martens, Hermann Goering: ‘Erster Paladin des Führers’ und ‘Zweiter Mann im Reich’ (Paderborn, 1985), 15-19; Werner Maser, Hermann Göring: Hitlers janusköpfiger Paladin: Die politische Biographie (Berlin, 2000), 13-55.
-
-68 Franz-Willing, Krisenjahr, details the development of the Party in 1923. Harold J. Gordon, Hitler and the Beer Hall Putsch (Princeton, 1972), provides an exhaustive account of the political background: see especially 25-184 (part I: ‘The Contenders in the Struggle for Power’). For the documentary record, see Ernst Deuerlein (ed.), Der Hitler-Putsch: Bayerische Dokumente zum 8./9. November 1923 (Stuttgart, 1962), 153-308; more briefly in Deuerlein (ed.), Der Aufstieg, 184-202.
-
-69 Karl Alexander von Müller, witness statement at Hitler’s trial, quoted in Deuerlein (ed.), Der Aufstieg, 192-6.
-
-70 Among many accounts of these events, see Kershaw, Hitler, I. 205-12; Gordon, Hitler and the Beer Hall Putsch, 270-409; Franz-Willing, Putsch und Verbotszeit, 66-141; Deuerlein (ed.), Der Hitler-Putsch, esp. 308-417, 487-515; selected documents translated in Noakes and Pridham (ed.), Nazism, I. 26-34. For Goring, see Maser, Hermann Göring, 58-78.
-
-71 Bernd Steger, ‘Der Hitlerprozess und Bayerns Verhältnis zum Reich 1923/24’, VfZ 23 (1977), 441-66.
-
-72 Deuerlein (ed.), Der Aufstieg, 203-230; Lothar Gruchmann and Reinhard Weber (eds.), Der Hitler-Prozess 1924: Wortlaut der Hauptverhandlung vor dem Volksgericht München 1(2 vols., Munich, 1997, 1999) for the complete transcript and judgment. See also Otto Gritschneider, Bewährungsfrist für den Terroristen Adolf H.: Der Hitler-Putsch und die bayerische Justiz (Munich, 1990), and idem, Der Hitler-Prozess und sein Richter Georg Neithardt: Skandalurteil von 1924 ebnet Hitler den Weg (Munich, 2001).
-
-73 Quoted in Tyrell, Führer befiehl, 67, translation in Noakes and Pridham (eds.), Nazism, I. 34-5 (slightly amended); Hitler’s complete statements in court in Jäckel and Kuhn (eds.), Hitler, 1061-216; also Deuerlein (ed.), Der Aufstieg, 203-28.
-
-74 See the account of its genesis and composition in Kershaw, Hitler, I. 240-53.
-
-75 Hitler, Mein Kampf, 307.
-
-76 Ibid., 597-99. The centrality of these ideas to Hitler’s ‘world-view’ was established by Eberhard Jäckel, Hitler’s Weltanschauung: A Blueprint for Power (Middletown, Conn., 1972 [1969]).
-
-77 Adolf Hitler, Hitler’s Secret Book (New York, 1961); Martin Broszat, ‘Betrachtungen zu “Hitlers Zweitem Buch” VfZ 9 (1981), 417-29.
-
-78 Werner Maser, Hitlers Mein Kampf: Geschichte, Auszüge, Kommentare (Munich, 1966), provides details of the book, its composition and its fate; Hermann Hammer, ‘Die deutschen Ausgaben von Hitlers “Mein Kampf”’, VfZ 4 (1956), 161-78, covers its publishing history. The view that Hitler was a power-hungry opportunist with no consistent aims was central to Alan Bullock’s classic biography, Hitler: A Study in Tyranny (London, 1953); the argument for consistency was first put by Hugh Trevor-Roper, ‘The Mind of Adolf Hitler’, in Hitler, Hitler’s Table Talk, vii-xxxv. The vagaries of Hitler’s foreign policy, and its underlying goals, are analysed in Geoffrey Stoakes, Hitler and the Quest for. World Dominion (Leamington Spa, 1987).
-
-79 Longerich, Der ungescbriebene Befehl, 37-9.
-
-80 Kershaw, Hitler, I. 218-19, 223-4, 250-53; Broszat, Der Staat Hitlers, 13-16.
-
-81 Kershaw, Hitler, I. 224-34. For a detailed account of the Nazi Party in the aftermath of the trial and imprisonment of its leader, see Franz-Willing, Putsch und Verbotszeit, 162-185.
-
-82 Donald Cameron Watt, ‘Die bayerischen Bemühungen um Ausweisung Hitlers 1924’, VfZ 6 (1958), 270-80. See, more generally, David Jablonsky, The Nazi Party in Dissolution: Hitler and the Verbotszeit 1923-1925 (London, 1989), and Deuerlein (ed.), Der Aufstieg, 231-54.
-
-83 Deuerlein (ed), Der Aufstieg, 245.
-
-84 Fest, The Face, 215; Longerich, Die braunen Battaillone, 51-2.
-
-85 Kershaw, Hitler, I. 257-70.
-
-86 Udo Kissenkoetter, ‘Gregor Strasser: Nazi Party Organizer or Weimar Politician?’, in Smelser and Zitelmann (eds.), The Nazi Elite, 224-34.
-
-87 Gregor Strasser to Oswald Spengler, 8 July 1925, in Oswald Spengler, Spengler Letters 1913-1936 (ed. Arthur Helps, London, 1966), 184.
-
-88 Orlow, The History of the Nazi Party, I. 66-7; see also, more generally, Udo Kissenkoetter, Gregor Strasser und die NSDAP (Stuttgart, 1978); Peter D. Stachura, Gregor Strasser and the Rise of Nazism (London, 1983); and Klepsch, Nationalsozialistische Ideologie, 143-50.
-
-89 Elke Fröhlich, ‘Joseph Goebbels: The Propagandist‘, in Smelser and Zitelmann (eds.), The Nazi Elite, 48-61; Ralf Georg Reuth, Goebbels: Eine Biographie (Munich, 1995), 11-75; and Michel Kai, Vom Poeten zum Demagogen: Die schriftstellerischen Versuche Joseph Goebbels’ (Cologne, 1999). Joachim C. Fest, ‘Joseph Goebbels: Eine Porträtskizze‘, VfZ 43 (1995), 565-80, is a penetrating reassessment of Goebbels’s character in the light of his diary. For Goebbels’s diary itself, see Elke Fröhlich, ‘Joseph Goebbels und sein Tagebuch: Zu den handschriftlichen Aufzeichnungen von 1924 bis 1941’, VfZ 35 (1987), 489-522. The critique of Bernd Sösemann, ‘Die Tagesaufzeichnungen des Joseph Goebbels und ihre unzulänglichen Veröffentlichungen’, Publizistik, 37 (1992), 213-44, does not convince; Fröhlich’s transcriptions were not intended to be a full scholarly edition but simply a way of making the diaries available to historians.
-
-90 Hugh Trevor-Roper, The Last Days of Hitler (London, 1947), 67 (also citing Speer to the same effect); Fröhlich, ‘Joseph Goebbels’, 48.
-
-91 Elke Fröhlich (ed.), Die Tagebücher von Joseph Goebbels: Sämtliche Fragmente, part I: Aufzeichnungen 1924-1941, I: 27. 6. 1924-31. 12. 1930 (Munich, 1987), 48 (23 July 1924).
-
-92 Fröhlich (ed.), Die Tagebücher, I/I. 134-5 (14 October 1925).
-
-93 Ibid., 140-41 (6 November 1925); see, more generally, Reuth, Goebbels, 76-147.
-
-94 Fröhlich (ed.), Die Tagebücher, I/I. 161-2(15 February 1926).
-
-95 Kershaw, Hitler, I. 270-77; Reuth, Goebbels, 76-107; Helmut Heiber (ed.), The Early Goebbels Diaries: The Journals of Josef Goebbels from 1925-1926 (London, 1962), 66-7.
-
-96 Fröhlich (ed.), Die Tagebücher, I/I. 171-3 (13 April 1926) and 174-5 (19 April 1926).
-
-97 Kershaw, Hitler, I. 277-9; Deuerlein (ed.), Der Aufstieg, 255-302. The word Gau for ‘Region’ deliberately called to mind tribal divisions of Germany in the early Middle Ages.
-
-98 Kershaw, Hitler, I. 278-9; Orlow, The History of the Nazi Party, I. 69-75-
-
-99 Noakes and Pridham (eds.), Nazism, I. 36-56; also, Erwin Barth, Joseph Goebbels und die Formierung des Führer-Mythos 1917 bis 1934 (Erlangen, 1999).
-
-100 For Goebbels’s activities in Berlin, see Reuth, Goebbels, 108-268.
-
-101 Quoted ibid., 114.
-
-102 Hoover Institution, Stanford, California: NSDAP Hauptarchiv microfilm reel 6 Akte 141: letter from Max Amann to Gustav Seifert, 27 October 1925.
-
-103 Noakes and Pridham (eds.), Nazism, I. 58.
-
-104 Gerhard Schulz, Zwischen Demokratie und Diktatur: Verfassungspolitik und Reichsreform in der Weimarer Republik (3 vols., Berlin, 1963-92), II: Deutschland am Vorabend der Grossen Krise (Berlin, 1987), 149-307; Robert G. Moeller, ‘Winners as Losers in the German Inflation: Peasant Protest over the Controlled Economy‘, in Gerald D. Feldman et al. (eds.), The German Inflation: A Preliminary Balance (Berlin, 1982), 255-88.
-
-105 Shelley Baranowski, The Sanctity of Rural Life: Nobility, Protestantism and Nazism in Weimar Prussia (New York, 1995), 120-23.
-
-106 John E. Farquharson, The Plough and the Swastika: The NSDAP and Agriculture in Germany, 1928-1945 (London, 1976), 3-12, 25-33; Dieter Hertz-Eichenrode, Politik und Landwirtschaft in Ostpreussen 1919- 1930: Untersuchung eines Strukturproblems in der Weimarer Republik (Opladen, 1969), 88-9, 329-37.
-
-107 Dieter Gessner, Agrardepression und Präsidialregierungen in Deutschland 1930-1933: Probleme des Agrarkapitalismus am Ende der Weimarer Republik (Düsseldorf, 1977), 191-4; idem, Agrarverbände in der Weimarer Republik: Wirtschaftliche und soziale Voraussetzungen agrarkonservativer Politik vor 1933 (Düsseldorf, 1976), 234-63.
-
-108 Rudolf Rietzler, ‘Kampf in der Nordmark’: Das Aufkommen des Nationalsozialismus in Schleswig-Holstein (1919-1928) (Neumünster, 1982); Frank Bajohr (ed.), Norddeutschland im Nationalsozialismus (Hamburg, 1993); and the classic regional study by Jeremy Noakes, The Nazi Party in Lower Saxony 1921-1933 (Oxford, 1971), esp. 104-7.
-
-109 Noakes and Pridham (eds.), Nazism, I. 15, 61.
-
-110 Ibid., 15, 61, citing Gottfried Feder, Das Programm der NSDAP und seine weltanschaulichen Grundgedanken (Munich, 1934), 15-18.
-
-111 Rudolf Heberle, Landbevölkerung und Nationalsozialismus: Eine soziologische Untersuchung der politischen Willensbildung in Schleswig-Holstein 1918 bis 1932 (Stuttgart, 1963), 160-71; see also idem, From Democracy to Nazism: A Regional Case Study on Political Parties in Germany (New York, 1970 [1945]), an early classic of electoral sociology. For the drive to unify farmers of all types as a single pressure-group, see Jens Flemming, Landwirtschaftliche Interessen und Demokratie: Ländliche Gesellschaft, Agrarverbände und Staat 1890-1925 (Bonn, 1978), 323-7.
-
-112 Claus-Christian W. Szejnmann, Nazism in Central Germany: The Brownshirts in ‘Red’ Saxony (New York, 1999), 50-51; Falter et al., Wahlen, 98.
-
-113 Geoffrey Pridham, Hitler’s Rise to Power: The Nazi Movement in Bavaria 1923-1933 (London, 1973), 84-6.
-
-114 Orlow, The History of the Nazi Party, I. 173-5 (somewhat overstating the coherence of the Nazis’ electoral strategy); Winkler, Weimar, 344-56.
-
-115 Tyrell, Vom Trommler, 163 -73 for quotes; idem (ed.), Führer befiehl, 129-30, 163-4; Kershaw, Hitler, I. 294.
-
-116 Orlow, The History of the Nazi Party, I. 167-71.
-
-117 Ibid., 171-3.
-
-118 Claudia Koonz, Mothers in the Fatherland: Women, the Family, and Nazi Politics (London, 1987), 72-80.
-
-119 Jill Stephenson, The Nazi Organisation of Women (London, 1981), 23-74.
-
-120 Peter D. Stachura, Nazi Youth in the Weimar Republic (Santa Barbara, Calif., 1975); Laqueur, Young Germany, 193; Arno Klönne, Jugend im Dritten Reich: Dokumente und Analysen (Cologne, 1982); Hans-Christian Brandenburg, Die Geschichte der HJ. Wege und Irrwege einer Generation (Cologne, 1968); Stachura, The German Youth Movement.
-
-121 Daniel Horn, ‘The National Socialist Schülerbund and the Hitler Youth, 1929-1933’, Central European History, 11 (1978), 355-75; Martin Klaus, Mädchen in der Hitlerjugend: Die Erziehung zur ‘deutschen Frau’ (Cologne, 1980). 122. Baldur von Schirach, Die Feier der neuen Front (Munich, 1929). See Michael Wortmann, ‘Baldur von Schirach: Student Leader, Hitler Youth Leader, Gauleiter in Vienna’, in Smelser and Zitelmann (eds.), The Nazi Elite, 202-11.
-
-123 See Arthur D. Brenner, Emil J. Gumbel: Weimar German Pacifist and Professor (Boston, 2001); quote from Deutsche Republik, 2 July 1932, in Steven P. Remy, The Heidelberg Myth: The Nazification and Denazification of a German University (Cambridge, Mass., 2002), 11.
-
-124 Geoffrey J. Giles, ‘The Rise of the National Socialist Students’ Association and the Failure of Political Education in the Third Reich’, in Peter D. Stachura (ed.), The Shaping of the Nazi State (London, 1978), 160-85; Wortmann, ‘Baldur von Schirach’, 204-5; Kater, Studentenschaft und Rechtsradikalismus; Anselm Faust, Der Nationalsozialistische Deutsche Studentenbund: Studenten und Nationalsozialismus in der Weimarer Republik (Düsseldorf, 1973); ); Giles, Students; Steinberg, Sabers and Brown Shirts; Michael Grüttner, Studenten im Dritten Reich (Paderborn, 1995), 19-42., 60.
-
-125 Hans-Gerhard Schumann, Nationalsozialismus und Gewerkschaftsbewegung: Die Vernichtung der deutschen Gewerkschaften und der Aufbau der ‘Deutschen Arbeitsfront’ (Hanover, 1958).
-
-126 Merkl, Political Violence, 120, 208, 217, 220, 239, 244, 306, 372-3, 427, 515-16.
-
-127 Hamel, Völkischer Verband.
-
-128 AT 271, in Merkl, Political Violence, 516.
-
-129 Orlow, The History of the Nazi Party, I. 271-6.
-
-130 Merkl, Political Violence, assesses the reliability of these accounts in the introduction, and attempts a quantitative analysis; Abel, Why Hitler, assesses the reliability of the ‘biograms’ in the introduction, pages 4-9. For a similar analysis of autobiographical essays by pre-1933 Nazis written in 1936-7, see Christoph Schmidt, ‘Zu den Motiven “alter Kämpfer” in der NSDAP‘, in Detlev Peukert and Jürgen Reulecke (eds.), Die Reihen fast geschlossen: Beiträge zur Geschichte des Alltags unterm Nationalsozialismus (Wuppertal, 1981), 21-44.
-
-131 Merkl, Political Violence, 446-7.
-
-132 AT 140, ibid., 551.
-
-133 Ibid., 453, 457, 505-9; for the role of Nazi propaganda in this period, see Richard Bessel, ‘The Rise of the NSDAP and the Myth of Nazi Propaganda‘, Wiener Library Bulletin, 33 (1980), Ian Kershaw, ‘Ideology, Propaganda, and the Rise of the Nazi Party‘, in Peter D. Stachura (ed.), The Nazi Machtergreifung, 1933 (London, 1983), 162-81; and, above all, Gerhard Paul, Aufstand der Bilder: Die NS-Propaganda vor 1933 (Bonn, 1990).
-
-134 Merkl, Political Violence, 313-63, 383-4.
-
-135 Rudolf Höss, Commandant of Auschwitz (London, 1959 [1951]), 42-61.
-
-136 Ibid., 61-3.
-
-137 Jochen von Lang, ‘Martin Bormann: Hitler’s Secretary‘, in Smelser and Zitelmann (eds.), The Nazi Elite, 7-17; Fest, The Face, 191-206.
-
-138 Waite, Vanguard, coined the phrase; Merkl, Political Violence, dismisses it too easily.
-
-139 AT 493, in Merkl, Political Violence, 375.
-
-140 AT 382, ibid., 440.
-
-141 AT 434 and 464, ibid., 444-5.
-
-142 AT 31, ibid., 544-5.
-
-143 AT 520, ibid., 420.
-
-144 AT 415, ibid., 400.
-
-145 AT 59, ibid., 654.
-
-146 AT 548, ibid., 416.
-
-147 AT 8, 31, 32, ibid., 486-7.
-
-148 AT 22, ibid., 602; documentation on the train incident in Martin Broszat, ‘Die Anfänge der Berliner NSDAP 1926/27’, VfZ 8 (1960), 85-118, at 115-18.
-
-149 Merkl, Political Violence, 617.
-
-150 Giles, ‘The Rise’, 163.
-
-151 Merkl, Political Violence, 699.
-
-152 Max Domarus (ed.), Hitler: Speeches and Proclamations 1932-1945: The Chronicle of a Dictatorship (4 vols., London, 1990- [1962-3]), I. 114 (speech to the Industry Club, Düsseldorf).
-
-153 Turner, German Big Business, 114-24. For the Communists, see Weber, Die Wandlung, I. 294-318.
-
-154 AT 38, in Merkl, Political Violence, 539.
-
-155 AT 416 and 326, ibid., 540.
-
-156 AT 4, ibid., 571.
-
-157 Melita Maschmann, Account Rendered: A Dossier on my Former Self (London, 1964), 174-5.
-
-158 Thomas Krause, Hamburg wird braun:.Der Aufstieg der NSDAP 1921- 1933 (Hamburg, 1987), 102-7, a convincing critique of Michael Kater, The Nazi Party: A Social Profile of Members and Leaders, 1919-1945 (Oxford, 1983), 32-8. The 1935 census gives date of entry into the Party for each member, so that it is possible to calculate the composition of the Party at any given date.
-
-159 Detlef Mühlberger, ‘A Social Profile of the Saxon NSDAP Membership before 1933’, in Szejnmann, Nazism, 211-19; more generally, Broszat, Der Staat Hitlers, 49- 53; Detlef Mühlberger, Hitler’s Followers: Studies in the Sociology of the Nazi Movement (London, 1991); and Peter Manstein, Die Mitglieder und Wähler der NSDAP 1919-1933: Untersuchungen zu ihrer schichtmässigen Zusammensetzung (Frankfurt am Main, 1990 [1987]).
-
-160 Josef Ackermann, ‘Heinrich Himmler: Reichsführer-SS‘, in Smelser and Zitelmann (eds.), The Nazi Elite, 98-112; Alfred Andersch, Der Vater eines Mörders: Eine Schulgeschichte (Zurich, 1980), on Himmler’s father; Bradley F. Smith, Heinrich Himmler 1900-1926: A Nazi in the Making (Stanford, Calif., 1971), is the basic work on Himmler’s early years.
-
-161 Quoted in Ackermann, ‘Heinrich Himmler‘, 103; see also Josef Ackermann, Himmler als Ideologe (Göttingen, 1970).
-
-162 Heinz Höhne, The Order of the Death’s Head: The Story of Hitler’s SS (Stanford, Calif., 1971 [1969]), 26-39.
-
-163 Fest, The Face, 171-90, though, as with many other writers on Himmler, he takes an excessively condescending view. Whatever else he may have been, Himmler was neither vacillating, nor petty-bourgeois, nor mediocre, as Fest claims. See Höhne, The Order, 26-8, for a sample of colourful descriptions of Himmler, mostly imbued by hindsight.
-
-164 Ibid., 40-46; for Darré, see also Gustavo Corni, ‘Richard Walther Darré: The Blood and Soil Ideologue’, in Smelser and Zitelmann (eds.), The Nazi Elite, 18-27; and Horst Gies, R. Walther Darré und die nationalsozialistische Bauernpolitik 1930 bis 1933 (Frankfurt am Main, 1966). 165. Höhne, The Order, 46-69; Hans Buchheim, ‘The SS - Instrument of Domination’, in Helmut Krausnick et al., Anatomy of the SS State (London, 1968), 127-203, at 140-43.
-
-
-
-
-
-Chapter 4 TOWARDS THE SEIZURE OF POWER
-
-1 Quoted in Elizabeth Harvey, ‘Youth Unemployment and the State: Public Policies towards Unemployed Youth in Hamburg during the World Economic Crisis‘, in Evans and Geary (eds.), The German Unemployed, 142-70, at 161; see also Wolfgang Ayass, ‘Vagrants and Beggars in Hitler’s Reich‘, in Richard J. Evans (ed.), The German Underworld: Deviants and Outcasts in German History (London, 1988), 210-237, at 210.
-
-2 Gertrud Staewen-Ordermann, Menschen der Unordnung: Die proletarische Wirklichkeit im Arbeitsschicksal der ungelernten Grossstadtjugend (Berlin, 1933), 86, cited in Detlev J. K. Peukert, Jugend zwischen Krieg und Krise: Lebenswelten von Arbeiterjungen in der Weimarer Republik (Cologne, 1987), 184; English version in idem, ‘The Lost Generation: Youth Unemployment at the End of the Weimar Republic‘, in Evans and Geary (eds.), The German Unemployed, 172-93, at 185.
-
-3 Ruth Weiland, Die Kinder der Arbeitslosen (Eberswalde-Berlin, 1933), 40-42, cited in Peukert, Jugend, 184.
-
-4 Staewen-Ordemann, Menschen der Unordnung, 92, cited in Peukert, ‘The Lost Generation’, 182.
-
-5 Peukert, Jugend, 251-84; Eve Rosenhaft, ‘The Unemployed in the Neighbourhood : Social Dislocation and Political Mobilisation in Germany 1929-33’, in Evans and Geary (eds.), The German Unemployed, 194-227, esp. 209-11; eadem, ‘Organising the “Lumpenproletariat”: Cliques and Communists in Berlin during the Weimar Republic’, in Richard J. Evans (ed.), The German Working Class 1888-1933: The Politics of Everyday Life (London, 1982), 174-219; eadem, ‘Links gleich rechts? Militante Strassengewalt um 1930’, in Thomas Lindenberger and Alf Lüdtke (eds.), Physische Gewalt: Studien zur Geschichte der Neuzeit (Frankfurt am Main, 1995), 239-75; Hellmut Lessing and Manfred Liebel, Wilde Cliquen: Szenen einer anderen Arbeiterbewegung (Bensheim, 1981).
-
-6 James, The German Slump, 132-46.
-
-7 See, in general, Patricia Clavin, The Great Depression in Europe, 1929-1939 (London, 2000), emphasizing the failure of international co-operation.
-
-8 Charles P. Kindleberger, The World in Depression 1929-1939 (Berkeley, 1987 [1973]), 104-6.
-
-9 See the graphic account in Piers Brendon, The Dark Valley: A Panorama of the 1930s (London, 2000), 62-5.
-
-10 Charles H. Feinstein et al., The European Economy between the Wars (Oxford, 1997), 95-9; Theo Balderston, The Origins and Course of the German Economic Crisis, 1923-1932 (Berlin, 1993); Balderston, Economics, 77-99, emphasizes lack of international confidence.
-
-11 Feinstein et al., The European Economy, 104-9; Brendan Brown, Monetary Chaos in Europe: The End of an Era (London, 1988).
-
-12 See, in general, Dieter Gessner, Agrardepression und Präsidialregierungen, and Farquharson, The Plough and the Swastika, 1-12.
-
-13 Dietmar Petzina, ‘The Extent and Causes of Unemployment in the Weimar Republic’, in Peter D. Stachura (ed.), Unemployment and the Great Depression in Weimar Germany (London, 1986), 29-48, esp. table 2.3, page 35, drawing on the very useful compilation by Dietmar Petzina et al., Sozialgeschichtliches Arbeitsbuch, III: Materialien zur Geschichte des Deutschen Reiches 1914-1945 (Munich, 1978).
-
-14 Details from Preller, Sozialpolitik, 440.
-
-15 Helgard Kramer, ‘Frankfurt’s Working Women: Scapegoats or Winners of the Great Depression?’, in Evans and Geary (eds.), The German Unemployed, 108-41, esp. 112-14.
-
-16 Preller, Sozialpolitik, 374, 420-21.
-
-17 Rosenhaft, ‘The Unemployed in the Neighbourhood‘, a graphic portrait; see more generally the same author’s Beating the Fascists? The German Communists and Political Violence 1929-1933 (Cambridge, 1983), and Klaus-Michael Mallmann, Kommunisten in der Weimarer Republik: Sozialgeschichte einer revolutionären Bewegung (Darmstadt, 1996), 252-61. For the controversy over Mallmann’s book, see Andreas Wirsching, ’ “Stalinisierung” oder entideologisierte “Nischengesellschaft”? Alte Einsichten und neue Thesen zum Charakter der KPD in der Weimarer Republik‘, VfZ 45 (1997), 449-66, and Klaus-Michael Mallmann, ‘Gehorsame Parteisoldaten oder eigensinnige Akteure? Die Weimarer Kommunisten in der Kontroverse - eine Erwiderung‘, VfZ 47 (1999), 401-15.
-
-18 Anthony McElligott, ‘Mobilising the Unemployed: The KPD and the Unemployed Workers’ Movement in Hamburg-Altona during the Weimar Republic‘, in Evans and Geary (eds.), The German Unemployed, 228-60; Michael Schneider, Unterm Hakenkreuz: Arbeiter und Arbeiterbewegung 1933 bis 1939 (Bonn, 1999), 47-52.
-
-19 More generally, see Anthony McElligott, Contested City: Municipal Politics and the Rise of Nazism in Altona, 1917-1937 (Ann Arbor, 1998).
-
-20 Mallmann, Kommunisten, 261-83, 381-94.
-
-21 Jan Valtin (pseud.; i.e. Richard Krebs), Out of the Night (London, 1941,), 3-36. For the mixture of truth and fiction in this remarkable and best-selling work, see Michael Rohrwasser, Der Stalinismus und die Renegaten: Die Literatur der Exkommunisten (Stuttgart, 1991), and especially Dieter Nelles, ‘Jan Valtins “Tagebuch der Holle” - Legende und Wirklichkeit eines Schlüsselromans der Totalitarismustheorie’, 1999; Zeitschrift für Sozialgeschichte des 20. und 21. Jahrhunderts, 9 (1994) 11-45. The book (‘a socialist classic’) was republished by a Trotskyite group in London in 1988 with an excellent ‘Postscript’ by Lynn Walsh and others, containing valuable details on the author’s life and work (659-74). See also the recent study by Ernst von Waldenfels, Der Spion, der aus Deutschland kam: Das geheime Leben des Seemanns Richard Krebs (Berlin, 2003).
-
-22 Valtin, Out of the Night (1941 edn.), 36-7.
-
-23 Ibid., 64-78.
-
-24 Ibid., 79-328.
-
-25 Dick Geary, ‘Unemployment and Working-Class Solidarity: The German Experience 1929-33’, in Evans and Geary (eds.), The German Unemployed, 261-80.
-
-26 Weber, Die Wandlung, 243-7; Fowkes, Communism, 145-70; Weitz, Creating German Communism, 284-6.
-
-27 Hannes Heer, Ernst Thälmann in Selbstzeugnissen und Bilddokumenten (Reinbek, 1975); Willi Bredel, Ernst Thälmann: Beitrag zu einem politischen Lebensbild (Berlin, 1948); Irma Thälmann, Erinnerungen an meinen Vater (Berlin, 1955).
-
-28 Klemperer, Leben sammeln, II. 721 (16 July 1931).
-
-29 McElligott, Contested City, 163.
-
-30 Caplan, Government, 54 (table 2).
-
-31 Ibid., 100-30.
-
-32 Kershaw, Hitler, I. 325-9; Günter Bartsch, Zwischen drei Stühlen: Otto Strasser. Eine Biographie (Koblenz, 1990); Patrick Moreau, Nationalsozialismus von ‘links’: Die ‘Kampfgemeinschaft Revolutionärer Nationalsozialisten’ und die ‘Schwarze Front’ Otto Strassers 1930-1935 (Stuttgart, 1984).
-
-33 · Domarus, Hitler, I. 88-114.
-
-34 · Turner, German Big Business, 191-219.
-
-35 For a detailed account, see Bracher, Die Auflösung, 287-389; Dorpalen, Hindenburg, 163-78; Wheeler-Bennett, Hindenburg, 336-49; Winkler, Der Schein, 726-823.
-
-36 Bracher, Die Auflösung, 229-84, for a broad survey of the politics of the Reichswehr in the crisis; see also Bracher et al., Die nationalsozialistische Machtergreifung, III. 1-55; Carsten, The Reichswehr, 309-63; Groener quote in Thilo Vogelsang, Reichswehr, Staat und NSDAP: Beiträge zur deutschen Geschichte 1930-1932 (Stuttgart, 1962), 95.
-
-37 Carsten, The Reichswehr, 310-11.
-
-38 Ibid., 318-21; Broszat, Der Staat Hitlers, 25.
-
-39 Kershaw, Hitler, I. 337-8; Peter Bucher, Der Reichswehrprozess: Der Hochverrat der Ulmer Reichswehroffiziere 1929-30 (Boppard, 1967), esp. 237-80; Deuerlein, Der Aufstieg, 328-42; Reuth, Goebbels, 176.
-
-40 Bucher, Der Reichswehrprozess, provides full details.
-
-41 Carsten, The Reichswehr, 323.
-
-42 Heinrich Brüning, Memoiren 1918-1934 (ed. Claire Nix and Theoderich Kampmann, Stuttgart, 1970); William L. Patch, Jr., Heinrich Brüning and the Dissolution of the Weimar Republic (Cambridge, 1998), esp. 1-13; for differing estimations of the reliability of these memoirs, see Hans Mommsen, ‘Betrachtungen zu den Memoiren Heinrich Brünings’, Jahrbuch für die Geschichte Mittel- und Ostdeutschlands, 22 (1973), 270-80; Ernest Hamburger, ‘Betrachtungen über Heinrich Brünings Memoiren’, Internationale Wissenschaftliche Korrespondenz zur Geschichte der deutschen Arbeiterbewegung, 8 (1972), 18-39; Arnold Brecht, ‘Gedanken über Brünings Memoiren’, Politische Vierteljahresschrift, 12 (1971), 607-40.
-
-43 Patch, Heinrich Brüning, is a well-informed, carefully researched defence of Brüning, updating Werner Conze in this respect; see Conze’s review of the first edition of Bracher, Die Auflösung, in Historische Zeitschrift, 183 (1957), 378-82; more critical is Bracher, Die Auflösung, 303-528, and idem, ‘Brünings unpolitische Politik und die Auflösung der Weimarer Republik’, VfZ 19 (1971), 113-23. For a balanced assessment of the significance of 1930, see Hans Mommsen, ‘Das Jahr 1930 als Zäsur in der deutschen Entwicklung der Zwischenkriegszeit’, in Lothar Ehrlich and Jürgen John (eds.), Weimar 1930: Politik und Kultur im Vorfeld der NS-Diktatur (Cologne, 1998). Hans Mommsen, The Rise and Fall, 291-5, has a critical and perceptive character-sketch. Astrid Luise Mannes, Heinrich Brüning: Leben, Wirken, Schicksal (Munich, 1999), is a good recent biography; Herbert Hömig, Brüning: Kanzler in der Krise der Republik. Eine Weimarer Biographie (Paderborn, 2000), a major scholarly study of Brüning’s political career that attempts an impartial view.
-
-44 Brüning, Memoiren, 247-8.
-
-45 See Fulda, ‘Press and Politics’, 234-42.
-
-46 Bernd Weisbrod, ‘Industrial Crisis Strategy in the Great Depression’, in Jürgen Freiherr von Krudener (ed.), Economic Crisis and Political Collapse: The Weimar Republic, 1924-1933 (New York, 1990), 45-62; Peter-Christian Witt, ‘Finanzpolitik als Verfassungs- und Gesellschaftspolitik: Überlegungen zur Finanzpolitik des Deutschen Reiches in den Jahren 1930 bis 1932’, Geschichte und Gesellschaft, 8 (1982), 387-414.
-
-47 Hömig, Bruning, 211-24.
-
-48 Aldcroft, From Versailles, 156-86.
-
-49 Kent, The Spoils of War, 322-72; Hömig, Brüning, 235-57, 270-83.
-
-50 Preller, Sozialpolitik, 165, 440-48.
-
-51 Kindleberger, The World in Depression, 159-76.
-
-52 James, The German Slump, 283-323.
-
-53 Hömig, Brüning, 345-77.
-
-54 Barry Eichengreen, Golden Fetters: The Gold Standard and the Great Depression, 1919-1939 (Oxford, 1992), 270-78, 286.
-
-55 On plans for the reform of the constitution, see the massive study by Schulz, Zwischen Demokratie und Diktatur.
-
-56 Kent, The Spoils of War, 342-3; Patch, Heinrich Brüning, 162-4.
-
-57 Werner Jochmann, ‘Brünings Deflationspolitik und der Untergang der Weimarer Republik‘, in Dirk Stegmann et al. (eds.), Industrielle Gesellschaft und politisches System: Beiträge zur politischen Sozialgeschichte. Festschrift für Fritz Fischer zum siebzigsten Geburtstag (Bonn, 1978), 97-112.
-
-58 Carl-Ludwig Holtfrerich, ‘Economic Policy Options and the End of the Weimar Republic‘, in Kershaw (ed.), Weimar, 58-91, esp. 65-72. The classic essay on the topic is the much-debated ‘Zwangslagen und Handlungsspielräume in der grossen Wirtschaftskrise der frühen dreissiger Jahre: Zur Revision des überlieferten Geschichtsbildes‘, by Knut Borchardt, first published in 1979 and reprinted in Knut Borchardt, Wachstum, Krisen, Handlungsspielräume der Wirtschaftspolitik (Göttingen, 1982), 165-82, and idem, Perspectives on Modern German Economic History and Policy (Cambridge, 1991).
-
-59 Kindleberger, The World in Depression, 174; Patch, Heinrich Brüning, 111-15, 156-64, 193, 206-13.
-
-60 Deutsches Volkslied-Archiv, Freiburg-im-Breisgau, Gr. II (cited in Evans, Rituals, 531 n. 14).
-
-61 For Brüning’s emergency decrees and the economic policies of the last phase of his Chancellorship, see Hömig, Brüning, 429-68.
-
-62 Patch, Heinrich Brüning, 13, 243-4.
-
-63 Nicholls, Weimar, 179; Winkler, Der Weg, 178-202.
-
-64 Wolfgang Michalka and Gottfried Niedhart, Die ungeliebte Republik; Dokumente zur Innen- und Aussenpolitik Weimars 1918-1933 (Munich, 1980), 62, 262, 283-4; Noakes and Pridham (eds.), Nazism, I. 70-81; Paul, Aufstand, 90-95.
-
-65 Hiller von Gaertringen, ‘Die Deutschnationale Volkspartei‘, in Matthias and Morsey (eds.), Das Ende, 549-54.
-
-66 Fröhlich (ed.), Die Tagebücher, I/I. 603 (15 September 1930).
-
-67 Deutsche Allgemeine Zeitung and Die Rote Fahne, 16 September 1930, quoted in Falter, Hitlers Wähler, 32.
-
-68 Ibid., 33.
-
-69 Paul, Aufstand, 90-94; Richard Bessel, Political Violence and the Rise of Nazism: The Storm Troopers in Eastern Germany 1925-1934 (London, 1984), 22-3.
-
-70 This is the main thesis of Richard F. Hamilton, Who Voted for Hitler? (Princeton, 1981). For a penetrating critique of Hamilton’s ecological fallacy, see Krause, Hamburg wird braun, 176-7; Hamilton notes a high correlation between areas with a high average income and a high Nazi vote without noting that these areas also had a high population of well-off Jews, who were unlikely to have voted for the Party; it is more likely that the Nazi vote in these areas came from small businessmen, shopkeepers, white-collar workers and the like.
-
-71 Falter, Hitlers Wähler, 99, 110, 151-4.
-
-72 Ibid., 136-46; Richard J. Evans, ‘German Women and the Triumph of Hitler‘, Journal of Modern History, 48 (1976), 123-75; Helen L. Boak, ’ “Our Last Hope”: Women’s Votes for Hitler - A Reappraisal‘, German Studies Review, 12 (1989), 289-310; Gerhard Schulz (ed.), Ploetz Weimarer Republik: Eine Nation in Umbruch (Freiburg, 1987), 166.
-
-73 Falter, Hitlers Wähler, 154-93. See also the interesting discussion of the ‘loss of legitimacy of conservative and liberal elites’ in Rohe, Wahlen, 140-63.
-
-74 Paul, Aufstand, 93-4.
-
-75 Falter, Hitlers Wähler, 194-230; Falter et al., Wahlen, 44.
-
-76 Jürgen Falter,‘How Likely were Workers to Vote for the NSDAP?’, in Conan Fischer (ed.), The Rise of National Socialism and the Working Classes in Weimar Germany (Oxford, 1996), 9-45; Szejnmann, Nazism, 219-29.
-
-77 For a good brief guide through the controversial literature, with further references, see Dick Geary, ‘Nazis and Workers before 1933’, Australian Journal of Politics and History, 48 (2002), 40-51.
-
-78 Falter, Hitlers Wähler, 230-66; Hans Speier, German White-Collar Workers and the Rise of Hitler (New Haven, 1986).
-
-79 Thomas Childers, The Nazi Voter: The Social Foundations of Fascism in Germany, 1919-1933 (Chapel Hill, NC, 1981), 262-9.
-
-80 Attempts to explain the Nazis’ success in terms of the economically rational response of different groups to their programme miss the central point (William Brustein, The Logic of Evil: The Social Origins of the Nazi Party, 1925-1933 (New Haven, 1996)).
-
-81 Rosenhaft, Beating the Fascists?, 60-64.
-
-82 Ibid., 22-3 (based on files from the subsequent prosecution); Reuth, Goebbels, 157-62; Thomas Oertel, Horst Wessel: Untersuchung einer Legende (Cologne, 1988); Bernhard Fulda, ‘Horst Wessel: Media, Myth and Memory’ (unpublished paper to be delivered to the Research Seminar in Modern European History, Cambridge University, November 2003); see also ‘Ein politischer Totschlag’, Berliner Tageblatt, 447 (23 September 1930).
-
-83 ‘Tyrell, Führer befiehl, 296-7 (based on a police report from Munich on a brownshirt rally in November 1929, which gave a slightly different version of the third line of the third verse. The fourth verse, not quoted here, is a repeat of the first verse).
-
-84 Reuth, Goebbels, 162 and 643 n. 109.
-
-85 Tyrell, Führer befiehl, 288-9.
-
-86 Rosenhaft, Beating the Fascists?, 6, reporting figures in Adolf Ehrt, Bewaffneter Aufstand! Enthüllungen über den kommunistischen Umsturzversuch am Vorabend der nationalen Revolution (Berlin, 1933), 166; Die Rote Fahne, 21 November 1931; Nationalsozialistischer Deutscher Frontkämpferbund (ed.), Der NSDFB (Stahlhelm): Geschichte, Wesen und Aufgabe des Frontsoldatenbundes (Berlin, 1935), 58-61; Rohe, Das Reichsbanner, 342; more generally, Diehl, Paramilitary Politics, passim.
-
-87 Rosenhaft, Beating the Fascists?, 6, using same sources; Rohe, Das Reichsbanner, 342.
-
-88 Stenographische Berichte über die Verhandlungen des deutschen Reichstags, 445 (1932), 1602-4.
-
-89 Valtin, Out of the Night, 218.
-
-90 Rosenhaft, Beating the Fascists?, 8; Diehl, Paramilitary Politics, 287.
-
-91 For the effects of the amnesty of 20 January 1933 on violence in one German town, see William S. Allen, The Nazi Seizure of Power: The Experience of a Single German Town, 1922-1945 (New York, 1984 [1965]), 146-7.
-
-92 Peter Lessmann, Die preussische Schutzpolizei in der Weimarer Republik: Streifendienst und Strassenkampf (Düsseldorf, 1989); Eric D. Kohler, ‘The Crisis in the Prussian Schutzpolizei 1930-32.‘, in George L. Mosse (ed.), Police Forces in History (London, 1975), 131-50; Hsi-Huey Liang, The Berlin Police Force in the Weimar Republic (Berkeley, 1970); Siegfried Zalka, Polizeigeschichte: Die Exekutive im Lichte der historischen Konfliktforschung. Untersuchungen über die Theorie und Praxis der preussischen Schutzpolizei in der Weimarer Republik zur Verhinderung und Bekämpfung innerer Unruben (Lübeck, 1979); Jürgen Siggemann, Die kasernierte Polizei und das Problem der inneren Sicherheit in der Weimarer Republik: Eine Studie zum Auf- und Ausbau des innerstaatlichen Sicherheitssystems in Deutschland 1918/19-1933 (Frankfurt am Main, 1980); Johannes Buder, Die Reorganisation der preussischen Polizei 1918/1923 (Frankfurt am Main, 1986); Johannes Schwarz, Die bayerische Polizei und ihre historische Funktion bei der Aufrechterhaltung der öffentlichen Sicherheit in Bayern von 1919 bis 1933 (Munich, 1977). See also the interesting, though not always reliable account by the former chief of the Hamburg civil order squad, Lothar Danner, Ordnungspolizei Hamburg: Betrachtungen zu ihrer Geschichte 1918-1933 (Hamburg, 1958).
-
-93 For a useful brief sketch, see Robert Gellately, The Gestapo and German Society: Enforcing Racial Policy 1933-1945 (Oxford, 1990), 22-6; more wide-ranging is Robert J. Goldstein, Political Repression in Nineteenth-Century Europe (London, 1983).
-
-94 Christoph Graf, Politische Polizei zwischen Demokratie und Diktatur (Berlin, 1983).
-
-95 Otto Buchwitz, 50 Jahre Funktionär der deutschen Arbeiterbewegung (Stuttgart, 1949), 129-36.
-
-96 Thomas Kurz, ‘Blutmai’: Sozialdemokraten und Kommunisten im Brennpunkt der Berliner Ereignisse von 1929 (Bonn, 1988); Chris Bowlby, ‘Blutmai 1929: Police, Parties and Proletarians in a Berlin Confrontation‘, Historical Journal, 29 (1986), 137-58; background in Eve Rosenhaft, ‘Working-Class Life and Working-Class Politics: Communists, Nazis, and the State in the Battle for the Streets, Berlin, 1928-1932’, in Richard Bessel and Edgar J. Feuchtwanger (eds.), Social Change and Political Development in Weimar Germany (London, 1981), 207-40.
-
-97 George C. Browder, Hitler’s Enforcers: The Gestapo and the SS Security Service in the Nazi Revolution (New York, 1996), 23-8.
-
-98 Richard Bessel, ‘Militarisierung und Modernisierung: Polizeiliches Handeln in der Weimarer Republik’, in Alf Lüdtke (ed.), ‘Sicherheit’ und ‘Wohlfahrt’: Polizei, Gesellschaft und Herrschaft im 19. und 20. Jahrhundert (Frankfurt am Main, 1992), 323-43; Theodor Lessing, Haarmann: Die Gescbichte eines Werwolfs. Und andere Kriminalreportagen (ed. Rainer Marwedel, Frankfurt am Main, 1989); Evans, Rituals, 530-35, 591-610.
-
-99 Browder, Hitler’s Enforcers, 28-9; Danner, Ordnungspolizei, 223.
-
-100 Eichengreen, Golden Fetters, 286; Hömig, Brüning, 525-36.
-
-101 Patch, Heinrich Briining, 148-9; Bessel, Political Violence, 54-66.
-
-102 Höhne, The Order, 51-62.
-
-103 Herbert, Best, 111-19; Patch, Heinrich Brüning, 225-7.
-
-104 Ibid., 228-9.
-
-105 Ibid., 249-51; Bessel, Political Violence, 29-31.
-
-106 Patch, Heinrich Brüning, 251.
-
-107 Bracher, Die Auflösung, 377-88.
-
-108 Thomas Mergel, Parlamentarische Kultur in der Weimarer Republik: Politische Kommunikation, symbolische Politik und Öffentlichkeit im Reichstag (Düsseldorf, 2002), 179-81.
-
-109 Carsten, The Reichswehr, 259-63, 296-308. Useful brief characterization of Schleicher in Henry Ashby Turner, Jr., Hitler’s Thirty Days to Power: January 1933 (London, 1996), 7, 19-21. For a shrewd assessment of Schleicher’s relationship with Groener, see Theodor Eschenburg, ‘Die Rolle der Persönlichkeit in der Krise der Weimarer Republik: Hindenburg Brüning, Groener, Schleicher‘, VfZ 9 (1961), 1-29 esp. 7-13. For the paradoxical view that Schleicher really wanted to preserve democracy through strengthening the executive, rather along the lines argued by some historians for Brüning, see Wolfram Pyta, ‘Konstitutionelle Demokratie statt monarchischer Restauration: Die verfassungspolitische Konzeption Schleichers in der Weimarer Staatskrise‘, VfZ 47 (1999), 417-41.
-
-110 Rohe, Das Reichsbanner, 360-65.
-
-111 Carsten, The Reichswehr, 333.
-
-112 Otto Meissner, Staatssekretär unter Ebert - Hindenburg - Hitler: Der Schicksalsweg des deutschen Volkes von 1918-1945 wie ich ihn erlebte (Hamburg, 1950), 215-17.
-
-113 Rudolf Morsey, ‘Hitler als Braunschweiger Reigierungsrat‘, VfZ 8 (1960), 419-48.
-
-114 Donna Harsch, German Social Democracy and the Rise of Nazism (Chapel Hill, NC, 1993), 179.
-
-115 Vorwärts, 10 March 1932, cited in Winkler, Der Weg, 514.
-
-116 Harsch, German Social Democracy, 180, citing Carlo Mierendorff, Der Hindenburgsieg 1932’, Sozialistische Monatshefte, 4 April 1932, 297; also Erich Matthias, ‘Hindenburg zwischen den Fronten 1932’, VfZ 8 (1960), 75-84. 117. Winkler, Der Weg, 519; also Alfred Milatz, ‘Das Ende der Parteien im Spiegel der Wahlen 1930 bis 1933’, in Matthias and Morsey (eds.), Das Ende, 743-93, at 761-6.
-
-118 Falter, et al., Wahlen, 46; Broszat, Der Staat Hitlers, 44-5.
-
-119 Paul, Aufstand, 98.
-
-120 Bracher, Die Auflösung, 511-17, judiciously surveys the subsequent controversy over this point.
-
-121 Gordon A. Craig, ‘Briefe Schleichers an Groener’, Die Welt als Geschichte, 11 (1951), 122-30; Reginald H. Phelps, ‘Aus den Groener Dokumenten’, Deutsche Rundschau, 76 (1950), 1019, and 77 (1951), 26-9; Hömig, Brüning, 537-89.
-
-122 Papen’s letter of resignation from the Centre Party, printed in Georg Schreiber, Brüning, Hitler, Schleicher: Das Zentrum in der Opposition (Cologne, 1932), 17-19, cited in Bracher, Die Auflösung, 536; see also the comments in Bracher, Die Auflösung, 656 and Morsey, ‘Die Deutsche Zentrumspartei’, in Matthias and Morsey (eds.), Das Ende, 306-14. For a critical assessment of Papen, see Joachim Petzold, Franz von Papen: Ein deutsches Verhängnis (Munich, 1995), and the critical discussion of his memoirs by Theodor Eschenburg, ‘Franz von Papen’, VfZ 1 (1953), 153-69.
-
-123 Fest, The Face, 229-33; Richard W. Rolfs, The Sorcerer’s Apprentice: The Life of Franz von Papen (Lanham, Md., 1996).
-
-124 Vejas Gabriel Liulevicius, War Land on the Eastern Front: Culture, National Identity and German Occupation in World War I (Cambridge, 2000).
-
-125 See the biting characterization of the ideology of Papen’s ‘New State’ in Bracher, Die Auflösung, 536-54.
-
-126 Papen, quoted in Walter Schotte, Der neue Staat (Berlin, 1932), 110-24.
-
-127 Evans, Rituals, 613-44.
-
-128 Fulda, ‘Press and Politics’, chapter 4.
-
-129 Edward W. Bennett, German Rearmament and the West, 1932-1933 (Princeton, 1979), 63-4, 69.
-
-130 Valtin, Out of the Night, 309-11, as so often, however, exaggerating the murderous intentions and the degree of preparedness of the Red Front-Fighters.
-
-131 McElligott, Contested City, 192-5; Leon Schirmann, Altonaer Blutsonntag 17. Juli 1932: Dichtung und Wahrheit (Hamburg, 1994).
-
-132 Lessmann, Die preussische Schutzpolizei, 349-70.
-
-133 Rohe, Das Reichsbanner, 431-5.
-
-134 Matthias, ‘Die Sozialdemokratische Partei Deutschlands‘, in Matthias and Morsey (eds.), Das Ende, 141-5.
-
-135 Bracher, Die Auflösung, 559-600; Schulze, Otto Braun, 745-86; Huber, Deutsche Verfassungsgeschichte VII. 1015-25 and 1192-7; Matthias, ‘ Die Sozialdemokratische Partei Deutschlands‘, in Matthias and Morsey (eds.), Das Ende, 119-50; Schulz, Zwischen Demokratie und Diktatur, III. 920-33; Broszat, Der Staat Hitlers, 89.
-
-136 Evans, Rituals, 614-15, for one example. More generally, see Winkler, Der Weg, 646-81, and Rudolf Morsey, ‘Zur Geschichte des “Preussenschlags” am 20. Juli 1932’, VfZ 9 (1961), 436-9.
-
-137 Joseph Goebbels, Vom Kaiserhof zur Reichskanzlei: Eine historische Darstellung in Tagebuchblättern (vom 1. Januar 1932 bis zum 1. Mai 1933) (Munich, 1937 [1934]), 131-5; Winkler, Der Weg, 542-53, for the Prussian election.
-
-138 Noakes and Pridham (eds.), Nazism, 1. 102-3; Martin Broszat, Hitler and the Collapse of Weimar Germany (Oxford, 1987 [1984]), 82-91; Winkler, Der Weg, 681-98.
-
-139 Matthias, ‘Die Sozialdemokratische Partei Deutschlands’, in Matthias and Morsey (eds.), Das Ende, 222-4 (document no. 11: Rundschreiben des Gauvorstandes Hannover des Reichsbanners, 5 July 1932); Winkler, Der Weg, 515; Harsch, German Social Democracy, 177-80; Richard Albrecht, ‘Symbolkampf in Deutschland 1932: Sergej Tschachotin und der “Symbolkrieg” der drei Pfeile gegen den Nationalsozialismus als Episode im Abwehrkampf der Arbeiterbewegung gegen den Faschismus in Deutschland’, Internationale Wissenschaftliche Korrespondenz zur Geschichte der deutschen Arbeiterbewegung, 22 (1986), 498-533.
-
-140 Winkler, Der Weg, 514-16.
-
-141 Simon Taylor, Germany 1918-1933; Revolution, Counter-Revolution and the Rise of Hitler (London, 1983), 112-16; and Hans Bohrmann (ed.), Politische Plakate (Dortmund, 1984), 247-62.
-
-142 Paul, Aufstand, 178 (quoting Goebbels from a speech of 31 July 1933).
-
-143 Ibid., 133-76, 223-47, 253-66.
-
-144 For the July 1932 election, see Winkler, Der Weg, 681-92; summary in Jürgen W. Falter, ‘Die Wähler der NSDAP 1928-1933: Sozialstruktur und parteipolitische Herkunft’, in Wolfgang Michalka (ed.), Die nationalsozialistische Machtergreifung (Paderborn, 1984), 47-59.
-
-145 Falter, Hitlers Wähler, 110-13, 369-71. For the Nazi appeal to workers, particularly those still in employment, see Szejnmann, Nazism, 219-31.
-
-146 Fröhlich (ed.), Die Tagebücher, I/II. 211-12 (1 August 1932).
-
-147 Hannover and Hannover-Drück, Politische Justiz, 301-10, quotes on 306; Paul Kluke, ‘Der Fall Potempa’, VfZ 5 (1957), 279-97; Richard Bessel, ‘The Potempa Murder’, Central European History, 10 (1977), 241-54. The decree did not create any new capital offences; murder, from whatever motive, was already covered by the relevant section of the Criminal Code. It was thus no more than a propaganda exercise.
-
-148 Hannover and Hannover-Drück, Politische Justiz, 308.
-
-149 Ibid., 310; Karl-Heinz Minuth (ed.), Akten der Reichskanzlei: Weimarer Republik. Das Kabinett von Papen, I. Juni bis 3. December 1932 (Boppard, 1989), 146, 491-5. Papen’s legal right to commute the sentences was extremely dubious, since the right of commutation lay with the legally constituted head of the Prussian state, and his claim to wield these powers was legally disputed. The murderers were released from prison in March 1933 (Evans, Rituals, 615-18, 627-8). iso. Hitler: Reden, Schriften, Anordnungen. Februar 1925 bis Januar 1933 ( 5 vols., Institut fur Zeitgeschichte, Munich, 1992-8), V/I: Von der Reichsprdsidentenwahl bis zur Machtergreifung, April 1932 - Januar 1933 304-9.
-
-151 Turner, Hitler’s Thirty Days, 14-15, following Winkler, Weimar, 510-24.
-
-152 Christian Striefler, Kampf um die Macht: Kommunisten und Nationalsozialisten am Ende der Weimarer Republik (Berlin, 1993), esp. 177-86; Deuerlein (ed.), Der Aufstieg, 402-4. See also Paul, Aufstand, 104-8.
-
-153 Werner Jochmann (ed.), Nationalsozialismus und Revolution: Ursprung und Geschichte der NSDAP in Hamburg 1922-1933 (Frankfurt am Main, 1963), 400, 402, 405, 413-14.
-
-154 Ibid., 405.
-
-155 Ibid., 406.
-
-156 Ibid., 414, 416,417.
-
-157 Falter, Hitlers Wähler, 34-8, 103-7.
-
-158 Vorwärts, 13 November 1932, cited in Falter, Hitlers Wähler, 37.
-
-159 Fröhlich (ed.), Die Tagebücher, I/II. 272 (6 November 1932).
-
-160 Falter, Hitlers Wähler, 37-8, 106-7.
-
-161 Bracher, Die Auflösung, 644-62; Nicholls, Weimar, 163-6.
-
-162 For documentation, see Thilo Vogelsang, ‘Zur Politik Schleichers gegenüber der NSDAP 1932’, VfZ 6 (1958), 86-118.
-
-163 Fröhlich (ed.), Die Tagebücher, I/II. 276-88 (1 December 1932).
-
-164 Bracher, Die Auflösung, 662-85; Stachura, Gregor Strasser; Kershaw, Hitler, I. 396-403; Noakes and Pridham (eds.), Nazism, 110-15; Orlow, The History of the Nazi Party, I. 291-6; Turner, Hitler’s Thirty Days, 23-8, 84-6, correcting previous accounts.
-
-165 Turner, Hitler’s Thirty Days, 61-6; Paul, Aufstand, 109-10.
-
-166 Grüttner, Studenten, 53-5.
-
-167 Noakes and Pridham, Nazism, I. 109-11.
-
-168 Berghahn, Der Stahlhelm, 187-246.
-
-169 Theodor Duesterberg, Der Stahlhelm und Hitler (Wolfenbüttel, 1949), 39, quoted in Turner, Hitler’s Thirty Days, 154; see also Berghahn, Der Stahlhelm, 246-50.
-
-170 Meissner, Staatssekretär, 247. See also Bracher, Die Auflösung, 707-32; Noakes and Pridham (eds.), Nazism, I. 116-20.
-
-171 Lutz, Graf Schwerin von Krosigk, Es geschah in Deutschland: Menschenbilder unseres Jahrhunderts (Tübingen, 1951), 147. 172. Ewald von Kleist-Schmenzin, ‘Die letzte Möglichkeit ’, Politische Studien, 10 (1959), 89-92, at 92.
-
-
-
-
-
-Chapter 5 CREATING THE THIRD REICH
-
-1 Deutsche Zeitung, 27a (morning edition, 1 February 1933, front page, col. 2). For a selection of press reports, see Wieland Eschenhagen (ed.), Die ‘Machtergreifung’: Tagebuch einer Wende nach Presseberichten vom 1. Januar bis 6. März 1933 (Darmstadt, 1982).
-
-2 Berliner Illustrierte Nachtausgabe, 26 (31 January 1933), 2, col. 4; B.Z. am Mittag 26 (Erste Beilage, 31 January 1933), 3, picture caption, col. 3; Peter Fritzsche, Germans into Nazis (Cambridge, Mass., 1998), 139-43; Hans-Joachim Hildenbrand, ‘Der Betrug mit dem Fackelzug’, in Rolf Italiander (ed.), Wir erlebten das Ende der Weimarer Republik: Zeitgenossen berichten (Düsseldorf, 1982), 165.
-
-3 Wheeler-Bennett, Hindenburg, 435. Needless to say, Ludendorff was not there at all.
-
-4 Deutsche Allgemeine Zeitung, 5 1 (morning edition, 3 1 January 1933), front page.
-
-5 Berliner Börsen-Zeitung, 51 (morning edition, 31 January 1933), front page, col. 2.
-
-6 Deutsche Allgemeine Zeitung, 51 (morning edition, 31 January 1933), front page, col. 3.
-
-7 Deutsche Zeitung, 27a (morning edition, I February 1933), front page headline.
-
-8 Quoted in Jochmann (ed.), Nationalsozialismus und Revolution, 429; Fritzsche, Germans, 141.
-
-9 Herbst, Das nationalsozialistische Deutschland, 59-60.
-
-10 Fröhlich (ed.), Die Tagebücher I/II. 357-9 (31 January 1933).
-
-11 Deutsche Zeitung, 26a (morning edition, 31 January 1933), title page, cols. 1-2.
-
-12 For two examples, see Bernd Burkhardt, Eine Stadt wird braun: Die nationalsozialistische Machtergreifung in der Provinz. Eine Fallstudie (Hamburg, 1980), on the small Swabian town of Mühlacker; Allen, The Nazi Seizure of Power, 153-4, on the North German town of Northeim.
-
-13 Deutsche Zeitung, 26b (evening edition, 31 January 1933), front page, col. 3; Vossische Zeitung 52 (evening edition, 31 January 1933), 3, col. 1.
-
-14 Jochmann, Nationalsozialismus und Revolution, 423.
-
-15 Maschmann, Account Rendered, 11-12, (translation amended).
-
-16 Quoted in Deutsche Zeitung, 27a (morning edition, 1 February 1933), front page, col. I.
-
-17 Deutsche Zeitung, 26b (evening edition, 31 January 1933), 3, col. 2: ‘Wieder zwei Todesopfer der roten Mordbestien’.
-
-18 Berliner Börsen-Zeitung, 52 (evening edition, 31 January 1933), 2, cols. 2-3.
-
-19 Welt am Abend, 26(31 January 1933), 1-2.
-
-20 Hans-Joachim Althaus et al., ‘Da ist nirgends nichts gewesen ausser hier’: Das ‘rote Mössingen’ im Generalstreik gegen Hitler. Geschichte eines schwäbischen Arbeiterdorfes (Berlin, 1982).
-
-21 Allan Merson, Communist Resistance in Nazi Germany (London, 1985), 25-8; Winkler, Der Weg, 867-75.
-
-22 Josef and Ruth Becker (eds.), Hitlers Machtergreifung: Dokumente vom Machtantritt Hitlers 30. Januar 1933 bis zur Besiegelung des Einparteienstaates 14. Juli 1933 (2nd edn., Munich, 1992 [1983]),45.
-
-23 Die .Welt am Abend, 27 (1 February 1933), title page headline; Die Rote Fahne, 27 (1 February 1933), front page headline.
-
-24 Jochmann, Nationalsozialismus und Revolution, 421.
-
-25 Camill Hoffmann, diary entry for 30 January 1933, cited in Johann Wilhelm Brügel and Norbert Frei (eds.), ‘Berliner Tagebuch, 1932-1934: Aufzeichnungen des tschechoslowakischen Diplomaten Camill Hoffmann‘, VfZ 36 (1988), 131-83, at 159.
-
-26 Ministère des affaires étrangères (ed.), Documents Diplomatiques Français, 1932-1939, ser. 1, vol. II (Paris, 1966), p. 552, François-Poncet to Boncour, 1 February 1933. This is the central theme of the account by Gotthard Jasper, Die gescheiterte Zähmung: Wege zur Machtergreifung Hitlers 1930-1934 (Frankfurt am Main, 1986), esp. 126-71. The oft-quoted ‘prophecy’ of General Ludendorff at this time, that Hitler would plunge Germany into the abyss (see e.g. Kershaw, Hitler I. 427), was a later invention of Hans Frank: see Fritz Tobias, ‘Ludendorff, Hindenburg, Hitler: Das Phantasieprodukt des Ludendorff-Briefes vom 30. Januar 1933’, in Uwe Backes et al. (eds.), Die Schatten der Vergangenheit: Impulse zur Historisierung des Nationalsozialismus (Frankfurt am Main, 1990), 319-43, and Lothar Gruchmann, ‘Ludendorffs “prophetischer” Brief an Hindenburg vom Januar/Februar 1933’, VfZ 47 (1999), 559-62.
-
-27 Robert J. O‘Neill, The German Army and the Nazi Party 1933-1939 (London, 1966), 34-5.
-
-28 Klaus-Jürgen Müller, The Army, Politics and Society in Germany 1933-1945: Studies in the Army’s Relation to Nazism (Manchester, 1987), 29-44. O’Neill, The German Army, 35-45; Wolfgang Sauer, Die Mobilmachung der Gewalt (vol. III of Bracher et al., Die nationalsozialistische Machtergreifung), 41-84; Andreas Wirsching, “‘Man kann nur Boden germanisieren”: Eine neue Quelle zu Hitlers Rede vor den Spitzen der Reichswehr am 3. Februar 1933’, VfZ 49 (2001), 516-50. The full version of Hitler’s address to the army officers on 3 February 1933, reproduced in this article, was recently discovered in the former KGB archive in Moscow and had probably been supplied by Hammerstein’s daughter, who was a Communist sympathizer. For another, slightly earlier set of promises by Hitler along similar lines, see Thilo Vogelsang, ‘Hitlers Brief an Reichenau vom 4. Dezember 1932’, VfZ 7 (1959), 429-37.
-
-29 Martin Broszat, ‘The Concentration Camps 1933-1945’, in Helmut Krausnick et al., Anatomy of the SS State (London, 1968 [1965]), 397-504, at 400-401; Bessel, Political Violence, 98-9.
-
-30 Siegfried Bahne, ‘Die Kommunistische Partei Deutschlands’, in Matthias and Morsey (eds.), Das Ende, 655-739, at 690; Berghahn, Der Stahlhelm, 252.
-
-31 Matthias, ‘Die Sozialdemokratische Partei Deutschlands’, in Matthias and Morsey (eds.), Das Ende, 101-278, at 101-50.
-
-32 Winkler, Der Weg, 867-875. Vorwärts quoted ibid., 867.
-
-33 Broszat, Der Staat Hitlers, 94.
-
-34 Grzesinski to Klupsch et al., 24 February 1933, document 25 in Matthias, ‘Die Sozialdemokratische Partei Deutschlands’, in Matthias and Morsey (eds.), Das Ende, 234-5.
-
-35 Winkler, Der Weg, 876-8.
-
-36 Martin Kitchen, The Coming of Austrian Fascism (London, 1980), 202-81; Francis L. Carsten, Fascist Movements in Austria: From Schönerer to Hitler (London, 1977), 249-70.
-
-37 Winkler, Der Weg, 868.
-
-38 Domarus, Hitler, I. 247.
-
-39 Ibid., 254.
-
-40 Ibid., 253.
-
-41 Morsey, ‘Die Deutsche Zentrumspartei’, in Matthias and Morsey (eds.), Das Ende, 339-54; Broszat, Der Staat Hitlers, 95.
-
-42 Domarus, Hitler, I. 256; Broszat, Der Staat Hitlers, 249.
-
-43 Domarus, Hitler, I. 170.
-
-44 Ibid., 249 (10 February 1933).
-
-45 Ibid., 247-50.
-
-46 Jochmann (ed.), Nationalsozialismus und Revolution, 431.
-
-47 Domarus, Hitler, I. 250-51.
-
-48 Turner, German Big Business, 330-32.
-
-49 Paul, Aufstand, 111-13.
-
-50 Printed in Bahne, ‘Die Kommunistische Partei Deutschlands’, in Matthias and Morsey (eds.), Das Ende, document 3, 728-31, at 731.
-
-51 Ibid., 686-696.
-
-52 Hans Mommsen, ‘Van der Lubbes Weg in den Reichstag - der Ablauf der Ereignisse’, in Uwe Backes et al., Reichstagsbrand: Aufklärung einer historischen Legende (Munich, 1986), 33-57, at 42-7.
-
-53 Harry Graf Kessler, Tagebücher 1918-1937 (ed. Wolfgang Pfeiffer-Belli, Frankfurt am Main, 1961), 707-9.
-
-54 Horst Karasek, Der Brandstifter: Lehr- und Wanderjahre des Maurergesellen Marinus van der Lubbe, der 1933 auszog, den Reichstag anzuzünden (Berlin, 1980); Martin Schouten, Marinus van der Lubbe (1909-1934): Eine Biographie (Frankfurt, 1999 [1986]); and Fritz Tobias, The Reichstag Fire: Legend and Truth (London, 1962).
-
-55 Mommsen, ‘Van der Lubbes Weg’, 33-42.
-
-56 Fröhlich (ed.), Die Tagebücher, part I, vol. II, p. 383.
-
-57 Rudolf Diels, Lucifer ante Portas: Es spricht der erste Chef der Gestapo (Stuttgart, 1950), 192-3.
-
-58 Mommsen, ‘Van der Lubbes Weg’; Karasek, Der Brandstifter; Tobias, The Reichstag Fire. Subsequently, the Communists attempted to prove that the Nazis had been behind the arson attempt, but the authenticity of van der Lubbe’s statements and associated documentation seems beyond doubt. Moreover, numerous forgeries and falsifications have been found among the documentary evidence purporting to prove Nazi involvement. For attempts to prove Nazi responsibility, see World Committee for the Victims of German Fascism (President Einstein) (ed.), The Brown Book of the Hitler Terror and the Burning of the Reichstag (London, 1933), 54-142; Walther Hofer and Alexander Bahar (eds.), Der Reichstagsbrand: Eine wissenschaftliche Dokumentation (Freiburg im Breisgau, 1992 [1972, 1978]); for the exposure of the inadequacies of this work, see Backes et al., Reichstagsbrand; Karl-Heinz Janssen, ‘Geschichte aus der Dunkelkammer: Kabalen um dem Reichstagsbrand. Eine unvermeidliche Enthüllung’, Die Zeit, 38 (14 September 1979), 45-8; 39 (21 September 1979), 20-24; 40 (28 September 1979), 49-52; 41 (5 October 1979), 57-60; Tobias, The Reichstag Fire, esp. 59-78, and Hans Mommsen, ‘Der Reichstagsbrand und seine politischen Folgen’, VfZ 12 (1964), 351-413. A recent attempt to suggest that the Nazis planned the fire rests on an exaggeration of similarities between earlier discussion papers on emergency powers, and the Reichstag Fire Decree: see Alexander Bahar and Wilfried Kugel, ‘Der Reichstagsbrand: Neue Aktenfunde entlarven die NS-Täter’, Zeitschrift für Geschichtswissenschaft, 43 (1995), 823-32, and Jurgen Schmadeke et al., ‘Der Reichstagsbrand im neuen Licht’, Historische Zeitschrift, 269 (1999), 603-51- So far, the conclusion of Tobias and Mommsen that van der Lubbe acted alone has not been shaken.
-
-59 Diels, Lucifer, 193-5.
-
-60 Ibid., 180-2. Goebbels appears to have destroyed the originals of his diaries for the last days of February, a fact which has aroused the suspicions of proponents of the view that it was the Nazis who started the fire. In the doctored version published as Vom Kaiserhof zur Reichskanzlei, he claimed of the events of that night: ‘The Leader does not lose his composure for a moment: admirable’ (Fröhlich (ed.), Die Tagebücher, I/II. 383).
-
-61 Diels, Lucifer, 193-5.
-
-62 Karl-Heinz Minuth (ed.), Akten der Reichskanzlei: Die Regierung Hitler, I: 1933-1934 (2 vols., Boppard, 1983), I. 123; Ulrich Kolbe, ‘Zum Urteil über die “Reichstagsbrand-Notverordnung” vom 2.8. 2. 1933’, Geschichte in Wissenschaft und Unterricht, 16 (1965), 359-70; Broszat, Der Staat Hitlers, 92. For Gürtner, see Lothar Gruchmann, Justiz im Dritten Reich 1933-1940: Anpassung und Unterwerfung in der Ära Gürtner (Munich, 1988), 70-83.
-
-63 Minuth (ed.), Die Regierung Hitler 1933-1934, I. 128-31; Kolbe, ‘Zum Urteil’, 359-70.
-
-64 Minuth (ed.), Die Regierung Hitler 1933-1934, I. 128-31; Broszat, ‘The Concentration Camps’, 400-402.
-
-65 Minuth (ed.), Die Regierung Hitler 1933-1934, I. 131.
-
-66 Quoted in Noakes and Pridham (eds.), Nazism, I. 142. For a recent analysis, see Thomas Reithel and Irene Strenge, ‘Die Reichstagsbrandverordnung: Grundlegung der Diktatur mit den Instrumenten des Weimarer Ausnahmezustandes’, VfZ 48 (2000), 413-60.
-
-67 Jochmann (ed.), Nationalsozialismus und Revolution, 427.
-
-68 Evans, Rituals, 618-24.
-
-69 AT 31, in Merkl, Political Violence, 545 (retranslated). The ‘storm’ was the basic organizational unit of the stormtroopers.
-
-70 Mason, Social Policy, 73-87.
-
-71 Bahne, ‘Die Kommunistische Partei‘, in Matthias and Morsey (eds.), Das Ende, 693-4, 699-700; Winkler, Der Weg, 876-89; Weber, Die Wandlung, 246; World Committee (ed.), The Brown Book, 184; Broszat, Der Staat Hitlers, 101-2.
-
-72 Merson, Communist Resistance, 57; Detlev J. K. Peukert, Die KPD im Widerstand: Verfolgung und Untergrundarbeit an Rhein und Ruhr, 1933 bis 1945 (Wuppertal, 1980), 75-8. See also Horst Duhnke, Die KPD von 1933 bis 1945 (Cologne, 1972), 101-9; idem, Die KPD und das Ende von Weimar: Das Scheitern einer Politik 1932-1935 (Frankfurt am Main, 1976), 34-42.
-
-73 Diels, Lucifer, 222. See also Hans Bernd Gisevius, To the Bitter End (London, 1948).
-
-74 ‘Bericht des Obersten Parteigerichts an den Ministerpräsidenten Generalfeldmarschall Goring, 13. 2. 1939’, document ND 3063-PS in Der Prozess gegen die Hauptkriegsverbrecber vor dem Internationalen Militärgerichtshof, Nürnberg (Nuremberg, 1949), XXIII. 20-29, at 26.
-
-75 Paul, Aufstand, 111-13.
-
-76 Allen, The Nazi Seizure of Power, 156-61.
-
-77 Fröhlich (ed.), Die Tagebücher, I/II. 387 (5 March 1933).
-
-78 Allen, The Nazi Seizure of Power, 160, for a characteristic local example.
-
-79 Falter et al., Wahlen, 41, 44; Falter, Hitlers Wähler, 38-9.
-
-80 Ibid., 40; for the Catholics, see Oded Heilbronner, Catholicism, Political Culture and the Countryside: A Social History of the Nazi Party in South Germany (Ann Arbor, 1998), 239.
-
-81 Bessel, Political Violence, 101-2.
-
-82 Ulrich Klein, ‘SA-Terror und Bevölkerung in Wuppertal 1933/34’, in Detlev Peukert and Jürgen Reulecke (eds.), Die Reihen fast geschlossen: Beiträge zur Geschichte des Alltags unterm Nationalsozialismus (Wuppertal, 1981), 45-64, at 51.
-
-83 Winkler, Der Weg, 890-91; World Committee (ed.), The Brown Book, 204-5; Schneider, Unterm Hakenkreuz, 56-73.
-
-84 Dieter Rebentisch and Angelika Raab (eds.), Neu-Isenburg zwischen Anpassung und Widerstand; Dokumente über Lebensbedingungen und politisches Verhalten 1933-1934 (Neu-Isenburg, 1978), 79.
-
-85 Gerlinde Grahn, ‘Die Enteignung des Vermögens der Arbeiterbewegung und der politischen Emigration 1933 bis 1945’, 1999: Zeitschrift fiir Sozialgeschichte des 20. und 21. Jahrhunderts, 12 (1997), 13-38; Broszat, Der Staat Hitlers, 118.
-
-86 Klein, ‘SA-Terror’, 51-3.
-
-87 Broszat, Der Staat Hitlers, 256.
-
-88 Ibid., 136-8.
-
-89 Winkler, Der Weg, 888-93, 898-900.
-
-90 Ibid., 916-18.
-
-91 Ibid., 929-32; Broszat, Der Staat Hitlers, 118-19.
-
-92 Harold Marcuse, Legacies of Dachau: The Uses and Abuses of a Concentration Camp, 1933-2001 (Cambridge, 2001), 21-3; Hans-Günter Richardi, Schule der Gewalt: Das Konzentrationslager Dachau, 1933-1934 (Munich, 1983), 48-87, and Johannes Tuchel, Organisationsgeschichte und Funktion der ‘Inspektion der Konzentrationslager’ 1933-1938 (Boppard, 1991), 121-58.
-
-93 Bley, Namibia under German Rule, 151, 198; Krüger, Kriegsbewältigung, 138-44; Joachim Zeller, “‘Wie Vieh wurden Hunderte zu Getriebenen und wie Vieh begraben”: Fotodokumente aus dem deutschen Konzentrationslager in Swakopmund/Namibia 1904-1908’, Zeitschrift für Geschichtswissenschaft, 49 (2001), 226-43.
-
-94 Marcuse, Legacies of Dachau, 21-2; Tuchel, Organisationsgeschichte, 35-7; Andrej Kaminski, Konzentrationslager 1896 bis heute: Eine Analyse (Stuttgart, 1982), 34-38. There is no convincing evidence that Hitler or Himmler drew on the model of labour camps in Soviet Russia (see Evans, In Hitler’s Shadow, 24-46).
-
-95 For the argument that it was improvised, see Broszat, ‘The Concentration Camps’, 400-406.
-
-96 Bessel, Political Violence, 117.
-
-97 Friedrich Schlotterbeck, The Darker the Night, the Brighter the Stars: A German Worker Remembers (1933-1945) (London, 1947), 22-36. For further considerations on Nazi violence, see Lindenberger and Lüdtke (eds.), Physische Gewalt, and Bernd Weisbrod, ‘Gewalt in der Politik: Zur politischen Kultur in Deutschland zwischen den beiden Weltkriegen’, Geschichte in Wissenschaft und Unterricht, 43 (1992), 391-404.
-
-98 Numerous cases detailed in World Committee (ed.), The Brown Book, 216-18; for Jankowski, 210-11. See also Diels, Lucifer, 222.
-
-99 Günter Morsch, ‘Oranienburg - Sachsenhausen, Sachsenhausen—Oranienburg’, in Ulrich Herbert et al. (eds.), Die nationalsozialistischen Konzentrationslager: Entwicklung und Struktur (2 vols., Göttingen, 1998), 111-34, at 119.
-
-100 Tuchel, Organisationsgeschichte, 103; Karin Orth, Das System der nationalsozialistischen Konzentrationslager (Hamburg, 1999), 23-6.
-
-101 Bahne, ‘Die Kommunistische Partei Deutschlands’, in Matthias and Morsey (eds.) Das Ende, 693-4, 699-700; Winkler, Der Weg, 876-89; Broszat, ‘The Concentration Camps’, 406-7; Broszat et al. (eds.), Bayern, I. 24-41.
-
-102 Fieberg (ed.), Im Namen, 68; World Committee (ed.), The Brown Book, 332, listed 500 murders up to June.
-
-103 Domarus, Hitler, I. 263; Mason, Social Policy, 76, presents Hitler’s concern about the disorder as genuine; he also notes that the Nazi leadership was kept constantly informed about the nature and extent of violent incidents.
-
-104 Broszat, Der Staat Hitlers, III.
-
-105 Rudolf Morsey (ed.), Das ‘Ermächtigungsgesetz’ vom 24. März 1933: Quellen zur Geschichte und Interpretation des ’Gesetzes zur Bebebung der Not von Volk und Reich’ (Düsseldorf, 1992), and Michael Frehse, Ermächtigungsgesetzgebung im Deutschen Reich 1914-1933 (Pfaffenweiler, 1985), 145.
-
-106 Matthias and Morsey (eds.), Das Ende, xiii.
-
-107 Klaus-Jürgen Müller, ‘Der Tag von Potsdam und das Verhältnis der preussisch-deutschen Militär-Elite zum Nationalsozialismus’, in Bernhard Kröner (ed.), Potsdam—Stadt, Armee, Residenz in der preussisch-deutschen Militärgeschichte (Frankfurt am Main, 1993), 435-49; Frohlich (ed.), Die Tagebücher, II. 395-7 (22 March 1933); Werner Freitag, ‘Nationale Mythen und kirchliches Heil: Der “Tag von Potsdam”’, Westfällische Forschungen, 41 (1991), 379-430. For Hitler’s speech, see Domarus, Hitler, I. 272-4.
-
-108 Ibid, 270.
-
-109 Bracher, Stufen, 213-36; also Hans Schneider, ‘Das Ermächtigungsgesetz vom 24. März 1933’, VfZ I (1953), 197-221, esp. 207-8.
-
-110 Junker, Die Deutsche Zentrumspartei, 171-89; Morsey, ‘Die Deutsche Zentrumspartei’, in Matthias and Morsey (eds.), Das Ende, 281-453; Josef Becker, ‘Zentrum und Ermächtigungsgesetz 1933: Dokumentation’ VfZ 9 (1961), 195- 210; Rudolf Morsey, ‘Hitlers Verhandlungen mit der Zentrumsführung am 31. Januar 1933’, VfZ 9 (1961), 182-94.
-
-111 Wilhelm Hoegner, Der schwierige Aussenseiter: Erinnerungen eines Abgeordneten, Emigranten und Ministerpräsidenten (Munich, 1959), 92.
-
-112 Becker, ‘Zentrum und Ermächtigungsgesetz 1933’; Konrad Repgen, ‘Zur vatikanischen Strategie beim Reichskonkordat’, VfZ 31 (1983), 506-35; Brüning, Memoiren, 655-57; Domarus, Hitler, I. 275-85.
-
-113 Winkler, Der Weg, 901-6; Hans J. L. Adolph, Otto Wels und die Politik der deutschen Sozialdemokratie 1934-1939: Einepolitische Biographie (Berlin, 1971), 262-4; Willy Brandt, Erinnerungen (Frankfurt am Main, 1989), 96; Hoegner, Der Schwierige Aussenseiter, 93.
-
-114 Broszat, Der Staat Hitlers, 117 and n. For the Enabling Act in the context of enabling legislation in the Weimar Republic, see Jörg Biesemann, Das Ermächtigungsgesetz als Grundlage der Gesetzgebung im nationalsozialistischen Deutschland: Ein Beitrag zur Stellung des Gesetzes in der Verfassungsgeschichte 1919- 1945 (Münster, 1992. [1985]).
-
-115 Matthias, ‘Die Sozialdemokratische Partei Deutschlands’, in Matthias and Morsey (eds.) Das Ende, 176-80; Winkler, Der Weg, 867-98; Schumann, Nationalsozialismus und Gewerkschaftsbewegung; Hannes Heer, Burgfrieden oder Klassenkampf: Zur Politik der sozialdemokratischen Gewerkschaften 1930-1933 (Neuwied, 1971), very critical of the union leaders; Bernd Martin, ‘Die deutschen Gewerkschaften und die nationalsozialistische Machtübernahme’, Geschichte in Wissenschaft und Unterricht, 36 (1985), 605-31; Henryk Skzrypczak, ‘Das Ende der Gewerkschaften’, in Wolfgang Michalka (ed.), Die nationalsozialistische Machtergreifung (Paderborn, 1984), 97-110.
-
-116 Nationalsozialistische Betriebszellenorganisation, or National Socialist Workshop Cell Organization.
-
-117 Winkler, Der Weg, 898-909; Gunther Mai, ‘Die Nationalsozialistische Betriebszellen-Organisation: Zum Verhältnis von Arbeiterschaft und Nationalsozialismus’, VfZ 31 (1983), 573-613.
-
-118 Schneider, Unterm Hakenkreuz, 76-106, 89 for quotation; Winkler, Der Weg, 898-909; Herbst, Das nationalsozialistische Deutschland, 68-70.
-
-119 Wieland Elfferding, ‘Von der proletarischen Masse zum Kriegsvolk: Massenaufmarsch und Öffentlichkeit im deutschen Faschismus am Beispiel des I. Mai 1933’, in Neue Gesellschaft für bildende Kunst (ed.), Inszenierung der Macht: Ästhetische Faszination im Faschismus (Berlin, 1987), 17-50.
-
-120 Peter Jahn (ed.), Die Gewerkschaften in der Endphase der Republik 1930- 1933 (Cologne, 1988), 888-92, 897-8, 916.
-
-121 Dieter Fricke, Kleine Geschichte des Ersten Mai : Die Maifeier in der deutschen und internationalen Arbeiterbewegung (Berlin, 1980), 224-9; Fritzsche, Germans, 215-35.
-
-122 Goebbels, Vom Kaiserhof, 299, and Fröhlich (ed.), Die Tagebücher, I/II. 408 (17 April 1933).
-
-123 Winkler, Der Weg, 909-29; Michael Schneider, A Brief History of the German Trade Unions (Bonn, 1991 [1989]), 204-10.
-
-124 Fröhlich (ed.), Die Tagebücher, I/II. 416 (3 May 1933)·
-
-125 Winkler, Der Weg, 929-32; Grahn, ’Die Enteignung’; Beate Dapper and Hans-Peter Rouette, ‘Zum Ermittelungsverfahren gegen Leipart und Genossen wegen Untreue vom 9. Mai 1933’, Internationale Wissenschaftliche Korrespondenz zur Geschichte der deutschen Arbeiterbewegung, 20 (1984), 509-35; Schneider, Unterm Hakenkreuz, 107-17.
-
-126 Winkler, Der Weg, 931-40; Matthias, ‘Die Sozialdemokratische Partei Deutschlands’, in Matthias and Morsey (eds.), Die Ende, 168-75, 166-75; for Pfülf’s suicide, see 254 n. 6; Broszat, Der Staat Hitlers, 120.
-
-127 Fröhlich (ed.), Die Tagehücher I/II. 437 (23 June 1933).
-
-128 Schüler, Auf der Flucht erschossen, 241-8.
-
-129 For details, see Max Klinger (pseud.; i.e. Curt Geyer), Volk in Ketten (Karlsbad, 1934), esp. 96-7; Winkler, Der Weg, 943-7; Franz Osterroth and Dieter Schuster, Chronik der deutscben Sozialdemokratie (Hanover, 1963), 381; documents in Erich Matthias, ‘Der Untergang der Sozialdemokratie 1933’, VfZ 4 (1956), 179-116 and commentary 250-86; for Berlin and its suburbs, see Reinhard Rürup (ed.), Topographie des Terrors: Gestapo, SS und Reichssicherheitshauptamt auf dem ‘Prinz-Albert-Gelände’: Eine Dokumentation (Berlin, 1987), and Hans-Norbert Burkert et al., ‘Machtergreifung’ Berlin 1933: Stätten der Geschichte Berlins in Zusammenarbeit mit dem Pädagogischen Zentrum Berlin (Berlin, 1982), 20-94.
-
-130 Bessel, Political Violence, 41, 117-118; Paul Lobe, Der Weg war lang: Lebenserinnerungen von Paul Löbe (Berlin, 1954 [1950]), 221-9.
-
-131 Beth A. Griech-Polelle, Bishop von Galen: German Catholicism and National Socialism (New Haven, 2002), 9-18.
-
-132 Ibid., 31-2; Richard Steigmann-Gall, The Holy Reich: Nazi Conceptions of Christianity, 1919-1945 (New York, 2003), 51-85.
-
-133 Hans Müller (ed.), Katholische Kirche und Nationalsozialismus: Dokumente 1930-1935 (Munich, 1963), 79.
-
-134 Thomas Fandel, ‘Konfessionalismus und Nationalsozialismus’, in Olaf Blaschke (ed.), Konfessionen im Konflikt: Deutschland zwischen 1800 und 1970: Ein zweites konfessionelles Zeitalter (Göttingen, 2002), 199-334, at 314-15; Günther Lewy, The Catholic Church and Nazi Germany (New York, 1964), 94-112.
-
-135 Müller, Katholische Kirche, 168; see, more generally, Scholder, The Churches.
-
-136 Morsey, ‘Die Deutsche Zentrumspartei’, in Matthias and Morsey (eds.), Das Ende, 383-6, quoting Kölnische Volkszeitung on 12 May 1933.
-
-137 Broszat, ‘The Concentration Camps’, 409-11.
-
-138 Lewy, The Catholic Church, 45-79.
-
-139 Morsey, ‘Die Deutsche Zentrumspartei’, in Matthias and Morsey (eds.), Das Ende, 387-411; Lewy, The Catholic Church, 7-93.
-
-140 Griech-Polelle, Bishop von Galen, 45-6, 137-9.
-
-141 Morsey, ‘Die Deutsche Staatspartei’, in Matthias and Morsey (eds.), Das Ende, 55-72; Jones, German Liberalism, 462-75 (also for the People’s Party).
-
-142 Hans Booms, ‘Die Deutsche Volkspartei’, in Matthias and Morsey (eds.), Das Ende, 521-39.
-
-143 Hiller von Gaertringen, ‘Die Deutschnationale Volkspartei’, in Matthias and Morsey (eds.), Das Ende, 576-99; Larry Eugene Jones, “‘The Greatest Stupidity of My Life”: Alfred Hugenberg and the Formation of the Hitler Cabinet’, Journal of Contemporary History, 27 (1992), 63-87; for a copy of Hugenberg’s resignation letter, with other documents, see Anton Ritthaler, ‘Eine Etappe auf Hitlers Weg zur ungeteilten Macht: Hugenbergs Riicktritt als Reichsminister’, VfZ 8 (1960), 193-219.
-
-144 Hiller von Gaertringen, ‘Die Deutschnationale Volkspartei’, in Matthias and Morsey (eds.), Das Ende, 599-603.
-
-145 Ibid., 607-15.
-
-146 Berghahn, Der Stahlhelm, 253-70; Broszat, Der Staat Hitlers, 121.
-
-147 Hiller yon Gaertringen, ‘Die Deutschnationale Volkspartei’, in Matthias and Morsey (eds.), Das Ende, 603-7; Bessel, Political Violence, rzo-zr; Berghahn, Der Stahlhelm, 268-74, 286.
-
-148 Fröhlich (ed.), Die Tagebücher I/II. 440 (28 June 1933).
-
-149 Hans-Georg Stümke, Homosexuelle in Deutschland: Eine politische Geschichte (Munich, 1989).
-
-150 Eyewitness account in Hans-Georg Stümke and Rudi Finkler, Rosa Winkel, Rosa Listen: Homosexuelle und ‘Gesundes Volksempfinden’ von Auschwitz bis heute (Hamburg, 1981), 163-66, quoted and translated in Burleigh and Wippermann, The Racial State, 189-90. See also Burkhard Jellonek, Homosexuelle unter dem Hakenkreuz: Verfolgung von Homosexuellen im Dritten Reich (Paderborn, 1990). Personal testimonies in Richard Plant, The Pink Triangle: The Nazi War against Homosexuals (Edinburgh, 1987).
-
-151 Wolff, Magnus Hirschfeld, 414.
-
-152 Grossmann, Reforming Sex, 149-50; Gaby Zürn, “Von der Herbertstrasse nach Auschwitz”’, in Angelika Ebbinghaus (ed.), Opfer und Täterinnen: Frauenbiographien des Nationalsozialismus (Nördlingen, 1987), 91-101, at 93; Annette F. Timm, ‘The Ambivalent Outsider: Prostitution, Promiscuity, and VD Control in Nazi Berlin’, in Gellately and Stoltzfus (eds.), Social Outsiders, 192.-211; Christl Wickert, Helene Stöcker 1869-1943: Frauenrechtlerin, Sexualreformerin und Pazifistin. Eine Biographie (Bonn, 1991), 135-40; more generally, Gabriele Czarnowski, Das kontrollierte Paar: Ehe- und Sexualpolitik im Nationalsozialismus (Weinheim, 1991).
-
-153 Grossmann, Reforming Sex, 136-61.
-
-154 Hong, Welfare, 261-5; Burleigh, Death and Deliverance, 11-42; Jochen-Christoph Kaiser et al. (eds.), Eugenik, Sterilisation, ‘Euthanasie’: Politische Biologie in Deutschland 1893-1945 (Berlin, 1992), 100-102; idem, Sozialer Protestantismus im 20. Jahrbundert: Beiträge zur Geschichte der Inneren Mission 1914-1945 (Munich, 1989).
-
-155 Ayass, ‘Asoziale’ im Nationalsozialismus, 57-60.
-
-156 Elizabeth Harvey, Youth Welfare and the State in Weimar Germany (Oxford, 1993), 274-8; Ayass, ‘Asoziale’ in Nazionalsozialismus, 13-23, idem, ‘Vagrants and Beggars’, 211-17; see also Marcus Gräser, Der blockierte Wohlfahrtsstaat: Unterschichtjugend und Jugendfürsorge in der Weimarer Republik (Göttingen, 1995), 216-30.
-
-157 Wagner, Volksgemeinschaft, 193-213.
-
-158 Patrick Wagner, Hitlers Kriminalisten: Die deutsche Kriminalpolixei und der Nationalsozialismus (Munich, 2002), 57-8.
-
-159 Nikolaus Wachsmann, ‘From Indefinite Confinement to Extermination: “Habitual Criminals” in the Third Reich’, in Gellately and Stoltzfus (eds.), Social Outsiders, 165-91; Wachsmann, Hitler’s Prisons, chapter 2.
-
-160 Robert N. Proctor, Racial Hygiene: Medicine under the Nazis (Cambridge, Mass., 1988), 101.
-
-161 Crew, Germans on Welfare, 208-12.
-
-162 Broszat, ‘The Concentration Camps’, 409-11.
-
-163 Caplan, Government, 139-41.
-
-164 Noakes and Pridham (eds.), Nazism, II. 26-31.
-
-165 Quoted in Hans Mommsen, Beamtentum im Dritten Reich: Mit ausgewählten Quellen zur nationalsozialistischen Beamtenpolitik (Stuttgart, 1966), 162. 166. Broszat, Der Staat Hitlers, 254; Jürgen W. Falter, ‘“Die Märzgefallenen” von 1933: Neue Forschungsergebnisse zum sozialen Wandel innerhalb der NSDAP-MITGLIEDSCHAFT während der Machtergreifungsphase’, Geschichte und Gesellschaft, 24 (1998), 595-616, at 616.
-
-167 Caplan, Government, 143-7; Bracher, Stufen, 244.
-
-168 Bracher, Stufen, 245-6; Fieberg (ed.), Im Namen, 87-94; Lothar Gruchmann, ‘Die Überleitung der Justizverwaltung auf das Reich 1933-1935’, in Vom Reichsjustizamt zum Bundesministerium der Justiz; Festschrift zum hundertjährigen Gründungstag des Reichsjustizamts (Cologne, 1977) and Horst Göppinger, Juristen jüdischer Abstammung im ‘Dritten Reich’: Entrechtung und Verfolgung (Munich, 1990 [1963]), 183-373.
-
-169 Fieberg (ed.), Im Namen, 76-9, 272; Lothar Gruchmann, ‘Die Überteitung’, in Vom Reichsjustizamt zum Bundesministerium der Justiz, 119-60.
-
-170 Bracher, Stufen, 264-7; Hayes, Industry and Ideology, 85-9.
-
-171 Evans, The Feminist Movement 255-60.
-
-172 Allen, The Nazi Seizure of Power, 218-32.
-
-173 Haffner, Defying Hitler, 111, 114.
-
-
-
-
-
-Chapter 6 HITLER’S CULTURAL REVOLUTION
-
-1 Josef Wulf, Musik im Dritten Reich: Eine Dokumentation (Gütersloh, 1963), 31; Fritz Busch, Aus dem Leben eines Musikers (Zurich, 1949), 188-209; Levi, Music, 42-3; World Committee (ed.), The Brown Book, 180.
-
-2 Michael H. Kater, The Twisted Muse: Musicians and their Music in the Third Reich (New York, 1997), 120-24, correcting the account in Busch’s memoirs. For the seizure of power in Saxony, see Szejnmann, Nazism, 33-4.
-
-3 Gerhard Splitt, Richard Strauss 1933-1935: Aesthetik und Musikpolitik zu Beginn der nationalsozialistischen Herrschaft (Pfaffenweiler, 1987), 42-59; Bruno Walter, Theme and Variations: An Autobiography (New York, 1966), 295-300; Brigitte Hamann, Winifred Wagner oder Hitlers Bayreuth (Munich, 2002), 117-56.
-
-4 Peter Heyworth, Otto Klemperer: His Life and Times, I: 1885-1933 (Cambridge, 1983), 413, 415.
-
-5 Levi, Music, 44-5; Christopher Hailey, Franz Schreker, 1878-1934: A Cultural Biography (Cambridge, 1993), 273, 288; Schreker had already resigned as director of the Berlin School of Music in 1932 after persistent antisemitic harassment.
-
-6 Wulf, Musik, 28, reprinting Philharmonische Gesellschaft in Hamburg to Kampfbund für deutsche Kultur, Gruppe Berlin, 6 April 1933.
-
-7 Levi, Music, 39-41, 86, 107; see more generally Reinhold Brinkmann and Christoph Wolff (eds.), Driven into Paradise: The Musical Migration from Germany to the United States (Berkeley, 1999).
-
-8 Kater, The Twisted Muse, 89-91, 120; see also Michael Meyer, The Politics of Music in the Third Reich (New York, 1991),19-26.
-
-9 David Welch, The Third Reich: Politics and Propaganda (2nd edn., London, 2002 [1993]), 172-82, at 173-4.
-
-10 Minuth (ed.), Die Regierung Hitler, I. 193-5. See Wolfram Werner, ‘Zur Geschichte des Reichsministeriums für Volksaufklärung und Propaganda und zur Überlieferung’, in idem (ed.), Findbücher zu Beständen des Bundesarchivs, XV: Reichsministerium für Volksaufklärung und Propaganda (Koblenz, 1979).
-
-11 For the widespread view that Goebbels was a ‘socialist’, see for example Jochmann (ed.), Nationalsozialismus und Revolution, 407-8.
-
-12 Speech of 15 March 1933, quoted in Welch, The Third Reich, 174-5; for discussions in 1932, see Frohlich (ed.), Die Tagebücher, I/II. 113-14 and 393 (15 March 1933).
-
-13 Frohlich, ‘Joseph Goebbels’, in Smelser and Zitelmann (eds.), The Nazi Elite, 55.
-
-14 Völkischer Beobachter, 23 March 1933, cited and translated in Welch, The Third Reich, 22-3.
-
-15 Quoted in Reuth, Goebbels, 269.
-
-16 Quoted in Welch, The Third Reich, 175.
-
-17 Quoted ibid., 176.
-
-18 Reuth, Goebbels, 271; Frohlich (ed.), Die Tagebücher, I/II. 388 (6 March 1933), 393 (13 March 1933) and 395-7 (22 March 1933); Ansgar Diller, Rundfunkpolitik im Dritten Reich (Munich, 1980), 89; Zbynek A.B. Zeman, Nazi Propaganda (2nd edn., Oxford, 1973 [1964]), 40. For the structure of the Ministry, see Welch, The Third Reich, 29-31.
-
-19 West, The Visual Arts, 183-4, also for the quotations.
-
-20 Levi, Music, 246 n.5.
-
-21 Fred K. Prieberg, Trial of Strength: Wilhelm Furtwängler and the Third Reich (London, 1991), 166-9, citing published and unpublished correspondence and memoranda. For Furtwängler’s views on a variety of topics, see Michael Tanner (ed.), Wilhelm Furtwängler, Notebooks 1924-1945 (London, 1989).
-
-22 For Furtwängler’s life and opinions in general, see Prieberg, Trial of Strength, passim; for reservations about this book, see Evans, Rereading, 187-93.
-
-23 The exchange is reprinted in Wulf, Musik, 81-2. Max Reinhardt was a well-known theatre director.
-
-24 Levi, Music, 199-201.
-
-25 Berliner Lokal-Anzeiger, 11 April 1933, reprinted in Wulf, Musik, 82-3.
-
-26 Levi, Music, 198-202; Peter Cossé, ‘Die Geschichte’, in Paul Badde et al. (eds.), Das Berliner Philharmonische Orchester (Stuttgart, 1987), 10-17.
-
-27 Kater, Different Drummers, 29-33.
-
-28 Ibid., 47-110.
-
-29 Jelavich, Berlin Cabaret, 228-258; ‘Hermann’ is on 229.
-
-30 Volker Kühn (ed.), Deutschlands Erwachen: Kabarett unterm Hakenkreuz 1933-1945 (Weinheim, 1989), 335; see, more generally, Christian Goeschel, ‘Methodische Überlegungen zur Geschichte der Selbsttötung im Nationalsozialismus‘, in Hans Medick (ed.), Selbsttötung als kulturelle Praxis (forthcoming, 2004).
-
-31 Josef Wulf, Theater und Film im Dritten Reich: Eine Dokumentation (Gütersloh, 1964), 265-306.
-
-32 David Thomson, The New Biographical Dictionary of Film (4th edn., 2002 [1975]). Claims in some accounts of Dietrich’s life, including her own, that she left for political reasons, and that Hitler personally intervened to try and persuade her to return, should be treated with considerable scepticism.
-
-33 David Welch, ‘Propaganda and the German Cinema 1933-1945’ (unpublished Ph.D. dissertation, London University, 1979), appendix I.
-
-34 Birgit Bernard, “Gleichschaltung” im Westdeutschen Rundfunk 1933/34’, in Dieter Breuer and Gertrude Cepl-Kaufmann (eds.), Moderne und Nationalsozialismus im Rheinland (Paderborn, 1997), 301-10; Jochen Klepper, Unter dem Schatten deiner Fliigel: Aus den Tagebüchern der Jahre 1932-1942 (Stuttgart, 1956), 46. 65; Josef Wulf, Presse und Funk im Dritten Reich: Eine Dokumentation (Gütersloh, 1964), 277-9, 280-84.
-
-35 Fulda, ‘Press and Politics’, 231-3, 241-2.
-
-36 Welch, The Third Reich, 46; text of the law in Wulf, Presse und Funk, 72-3.
-
-37 Ibid., 19-38.
-
-38 Welch, The Third Reich, 43-8.
-
-39 Grossmann, Ossietzky, 224-74.
-
-40 Ibid., 267; Chris Hirte, Erich Mühsam: ‘Ihr seht mich nicht feige’. Biografie (Berlin, 1985), 431-50. Accounts differ as to whether this was murder or suicide; the former seems more likely.
-
-41 Dieter Distl, Ernst Toller: Eine politische Biographie (Schrobenhausen, 1993), 146-78.
-
-42 Kelly, All Quiet, 39-56.
-
-43 Inge Jens (ed.), Thomas Mann an Ernst Bertram: Briefe aus den Jahren 1910- 1955 (Pfullingen, 1960), 178 (letter of 18 November 1933) and Robert Faesi (ed.), Thomas Mann—Robert Faesi: Briefwechsel (Zurich, 1962), 23 (Mann to Faesi, 28 June 1933); Klaus Harpprecht, Thomas Mann: Eine Biographie (Reinbek, 1995), 707-50; Kurt Sontheimer, ‘Thomas Mann als politischer Schriftsteller’, VfZ 6 (1958), 1-44; Josef Wulf, Literatur und Dichtung im Dritten Reich : Eine Dokumentation (Gütersloh, 1963), 24.
-
-44 Ritchie, German Literature, 187-99; Wulf, Literatur, passim.
-
-45 Robert E. Norton, Secret Germany: Stefan George and his Circle (Ithaca, NY, 2002) is now the standard biography. For Jünger, see Paul Noack, Ernst Junger: Eine Biographie (Berlin, 1998), 121-51.
-
-46 Quoted in Wulf, Literatur, 132; see also Ritchie, German Literature, 9-10, 48-9, 111-32.
-
-47 Frederic Spotts, Hitler and the Power of Aesthetics (London, 2002), 152; quotations and context in West, The Visual Arts, 183-4; Hitler, Mein Kampf, 235.
-
-48 Rosamunde Neugebauer, “Christus mit der Gasmaske” von George Grosz, oder: Wieviel Satire konnten Kirche und Staat in Deutschland um 1930 ertragen?‘, in Maria Rüger (ed.), Kunst und Kunstkritik der dreissiger Jahre : Standpunkte zu künstlerischen und ästhetischen Prozessen und Kontroversen (Dresden, 1990), 156-65.
-
-49 Josef Wulf, Die Bildenden Künste im Dritten Reich: Eine Dokumentation (Gütersloh, 1963), 49-51.
-
-50 Peter Adam, Arts of the Third Reich (London, 1992), 59.
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-51 Jonathan Petropoulos, The Faustian Bargain: The Art World in Nazi Germany (London, 2000), 217. See also Brandon Taylor and Wilfried van der Will (eds.), The Nazification of Art: Art, Design, Music, Architecture and Film in the Third Reich (Winchester, 1990).
-
-52 Spotts, Hitler, 153-5.
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-53 Petropoulos, The Faustian Bargain, 14-16.
-
-54 Adam, Arts, 49-50; Wulf, Die Bildenden Künste, 36; Günter Busch, Max Liebermann: Maler, Zeichner, Graphiker (Frankfurt am Main, 1986), 146; Peter Paret, An Artist against the Third Reich: Ernst Barlach 1933-1938 (Cambridge, 2003), 77-92. Liebermann’s funeral was placed under heavy surveillance by the political police (Petropoulos, The Faustian Bargain, 217).
-
-55 Sean Rainbird (ed.), Max Beckmann (London, 2003), 157-64, 273-4; Adam, Arts, 53; Petropoulos, The Faustian Bargain, 216-21.
-
-56 Wulf, Die Bildenden Künste, 39-45; Koehler, ‘The Bauhaus’, 292-3; Igor Golomstock, Totalitarian Art in the Soviet Union, Third Reich, Fascist Italy and the People’s Republic of China (London, 1990), 21; West, The Visual Arts, 83-133.
-
-57 Ritchie, German Literature, 187.
-
-58 Ibid., 189; Harpprecht, Thomas Mann, 722-50.
-
-59 Ritchie, German Literature 58-61; Lothar Gall, Bürgertum in Deutschland (Berlin, 1989), 466, also more generally for Bassermann and his family. Johst was quickly appointed co-director of the theatre. See Boguslaw Drewniak, Das Theater im NS-Staat: Szenarium deutscher Zeitgeschichte 1933-1945 (Düsseldorf, 1983), 46-7; more generally, Glen W. Gadberry (ed.), Theatre in the Third Reich, the Prewar Years: Essays on Theatre in Nazi Germany (Westport, Conn., 1995) and John London (ed.), Theatre under the Nazis (Manchester, 2000).
-
-60 Ritchie, German Literature, 58-61; ‘Wenn ich Kultur höre, entsichere ich meinen Browning’ (Wulf, Literatur, 113).
-
-61 Knowles (ed.), The Oxford Dictionary of Quotations, 418, quote 17; for a first, detailed account of ‘the war of annihilation against culture’, see World Committee (ed.), The Brown Book, 160-93.
-
-62 Hugo Ott, Martin Heidegger: A Political Life (London, 1993), 13-139.
-
-63 Ibid., 140-48.
-
-64 Martin Heidegger, Die Selbstbehauptung der deutschen Universität: Rede, gehalten bei der feierlichen Übernahme des Rektorats der Universität Freiburg i. Br. am 27.5.1933 (Breslau, 1934), 5, 7,14-15. 22.
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-65 Hans Sluga, Heidegger’s Crisis: Philosophy and Politics in Nazi Germany (Cambridge, Mass., 1993), 1-4; Guido Schneeberger, Nachlese zu Heidegger: Dokumente zu seinem Leben und Denken (Berne, 1962), 49-57. See also the biography by Rüdíger Safranski, Ein Meister aus Deutschland: Heidegger und seine Zeit (Munich, 1994).
-
-66 Ott, Martin Heidegger, 169, 198-9.
-
-67 Quoted ibid., 185.
-
-68 The only professor of any discipline to do so was the historian Gerhard Ritter. See Cornelissen, Gerhard Ritter, 239.
-
-69 Quoted in Ott, Martin Heidegger, 164, with a discussion on 165-6 of the casuistry employed by Heidegger’s modern admirers in trying to explain such sentiments away. For a useful collection of studies, see Bernd Martin (ed.), Martin Heidegger und das ‘Dritte Reich’ Ein Kompendium (Darmstadt, 1989).
-
-70 Remy, The Heidelberg Myth, 14.
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-71 Ott, Martin Heidegger, 235-351.
-
-72 Noakes and Pridham (eds.), Nazism, II. 249-250; and for two good local studies, Uwe Dietrich Adam, Hochschule und Nationalsozialismus: Die Universität Tühingen im Dritten Reich (Tübingen, 1977), and Notker Hammerstein, Die Johann Wolfgang Goethe-Universität: Von der Stiftungsuniversität zur staatlichen Hochschule (2 vols., Neuwied, 1989), I. 171-211.
-
-73 Klaus Fischer, ‘Der quantitative Beitrag der nach 1933 emigrierten Naturwissenschaftler zur deutschsprachigen physikalischen Forschung‘, Berichte zur Wissenschaftsgeschichte, 11 (1988), 83-104, revising slightly higher figures in Alan D. Beyerchen, Scientists under Hitler: Politics and the Physics Community in the Third Reich (New Haven, 1977), 43-7, and Norbert Schnappacher, ‘Das Mathematische Institut der Universität Göttingen‘, and Alf Rosenow, ‘Die Göttinger Physik unter dem Nationalsozialismus‘, both in Heinrich Becker et al. (eds.), Die Universität Göttingen unter dem Nationalsozialismus: Das verdrängte Kapitel ihrer 250 jährigen Geschichte (Munich, 1987), 345-73 and 374-409.
-
-74 Ute Deichmann, Biologists under Hitler (Cambridge, Mass., 1996 [1992.]), 26.
-
-75 Beyerchen, Scientists, 43.
-
-76 Max Born (ed.), The Born-Einstein Letters: Correspondence between Albert Einstein and Max and Hedwig Born from 1916 to 1955 (London, 1971), 113-14.
-
-77 Fritz Stern, Dreams and Delusions: The Drama of German History (New York, 1987), 51-76 (‘Fritz Haber: The Scientist in Power and in Exile’); Margit Szöllösi-Janze, Fritz Haber 1868-1934: Eine Biographie (Munich, 1998), 643-91.
-
-78 Max Planck, ‘Mein Besuch bei Hitler’, Physikalische Blätter, 3 (1947), 143; Fritz Stern, Einstein’s German World (London, 2000 [1999]), 34-58.
-
-79 Remy, The Heidelberg Myth, 17-18. More generally, see Fritz Köhler, ‘Zur Vertreibung humanistischer Gelehrter 1933/34’, Blätter für deutsche und internationale Politik, II (1966), 696-707.
-
-80 Beyerchen, Scientists, 15-17, 63-4, 199-210.
-
-81 Remy, The Heidelberg Myth, 24-9; see also Christian Jansen, Professoren und Politik: Politisches Denken und Handeln der Heidelberger Hochschullehrer 1914-1935 (Göttingen, 1992).
-
-82 Quoted in Noakes and Pridham (eds.), Nazism, II. 252.
-
-83 Ibid., II. 250; Turner, German Big Business, 337.
-
-84 Remy, The Heidelberg Myth, 20.
-
-85 Ibid., 31.
-
-86 Grüttner, Studenten, 71-4.
-
-87 Ibid., 81-6.
-
-88 Axel Friedrichs (ed.), Die nationalsozialistische Revolution 1933 (Dokumente der deutschen Politik, I, Berlin, 1933), 277; Fröhlich (ed.), Die Tagebücher, I/II. 419 (11 May 1933).
-
-89 Various versions printed in Gerhard Sauder (ed.), Die Bücherverbrennung: Zum 10. Mai 1933 (Munich, 1983), 89-95·
-
-90 Clemens Zimmermann, ‘Die Bücherverbrennung am 17. Mai 1933 in Heidelberg: Studenten und Politik am Ende der Weimarer Republik’, in Joachim-Felix Leonhard (ed.), Bücherverbrennung. Zensur, Verbot, Vernichtung unter dem Nationalsozialismus in Heidelberg (Heidelberg, 1983), 55-84.
-
-91 Wolfgang Strätz, ‘Die studentische “Aktion wider den undeutschen Geist”’, VfZ 16 (1968), 347-72 (mistakenly ascribing the initiative to the Propaganda Ministry); Jan-Pieter Barbian, Literaturpolitik im ‘Dritten Reich’: Institutionen, Kompetenzen, Betätigungsfelder (Frankfurt am Main, 1993), 54-60, 128-42; Hildegard Brenner, Die Kunstpolitik des Nationalsozialismus (Hamburg, 1963), 186.
-
-92 Leonidas E. Hill, ‘The Nazi Attack on “Un-German” Literature, 1933-1945’, in Jonathan Rose (ed.), The Holocaust and the Book (Amherst, Mass., 2001), 9-46; Sauder (ed.), Die Bücherverbrennung, 9-16; see also Anselm Faust, ‘Die Hochschulen und der “undeutsche Geist”: Die Bücherverbrennung am 10. Mai 1933 und ihr Vorgeschichte‘, in Horst Denkler and Eberhard Lämmert (eds.), ‘Das war ein Vorspiel nur...‘: Berliner Kolloquium zur Literaturpolitik im ‘Dritten Reich’ (Berlin, 1985), 31-50; Grüttner, Studenten, 75-77, points out that no instructions from the recently founded Propaganda Ministry can be found in the files of the student unions, and Goebbels gives no hint in his diary that the initiative came from him.
-
-93 Rebentisch and Raab (eds.), Neu-Isenburg, 86-7.
-
-94 For the Wartburg events, see Wehler, Deutsche Gesellschaftsgeschichte, II. 334-6; Heine’s subsequently famous statement was made in Almansor (1823), 245, cited in (among many other anthologies) Knowles (ed.), The Oxford Dictionary of Quotations, 368. Burning to death was still prescribed as a punishment for murder by arson in Prussia at the time, last used in Berlin in 1812 (Evans, Rituals, 213-14).
-
-95 Michael Wildt, ‘Violence against Jews in Germany, 1933-1939’, in David Bankier (ed.), Probing the Depths of German Antisemitism: German Society and the Persecution of the Jews 1933-1941 (Jerusalem, 2000), 181 - 209, at 181-2; Saul Friedlander, Nazi Germany and the Jews: The Years of Persecution 1933-1939 (London, 1997), 107-10; Walter, Antisemitische Kriminalität, 236-43. For a contemporary documentation, see Comité des Delegations Juives (ed.), Das Schwarzbuch: Tatsachen und Dokumente. Die Lage der Juden in Deutschland 1933 (Paris, 1934). More generally, see Shulamit Volkov, ‘Antisemitism as a Cultural Code: Reflections on the History and Historiography of Antisemitism in Imperial Germany‘, Year Book of the Leo Baeck Institute, 23 (1978), 25-46.
-
-96 Longerich, Politik der Vernichtung, 26-30.
-
-97 Gruchmann, Justiz, 126; Longerich, Der ungeschriebene Befehl, 43-4.
-
-98 Haffner, Defying Hitler, 125.
-
-99 Halbmonatsbericht des Regierungspräsidenten von Niederbayern und der Oberpfalz, 30. 3. 1933, in Broszat et al. (eds.), Bayern, I. 432.
-
-100 Friedländer, Nazi Germany and the Jews, 41-2.
-
-101 World Committee (ed.), The Brown Book, 237, generally on the persecution of the Jews, 222-69.
-
-102 Friedländer, Nazi Germany and the Jews, 17-18.
-
-103 Minuth (ed.), Die Regierung Hitler, I. 270—71; Longerich, Der ungeschriebene Befehl, 44-6.
-
-104 Frohlich (ed.), Die Tagebücher, I/II. 398 (27 March 1933).
-
-105 Moshe R. Gottlieb, American Anti-Nazi Resistance, 1933-1941: An Historical Analysis (New York, 1982), 15-24; Deborah E. Lipstadt, Beyond Belief: The American Press and the Coming of the Holocaust, 1933-1945 (New York, 1986).
-
-106 Fröhlich (ed.), Die Tagebücher, I/II. 398-401; Reuth, Goebbels, 281; Klemperer, I Shall Bear Witness, 9-10.
-
-107 Longerich, Politik der Vernichtung, 36-9; more generally, Avraham Barkai, From Boycott to Annihilation: The Economic Struggle of German Jews, 1933- 1945 (Hanover, NH, 1989), 17-25; Helmut Genschel, Die Verdrängung der Juden aus der Wirtschaft im Dritten Reich (Berlin, 1966), 47-70.
-
-108 Friedländer, Nazi Germany and the Jews, 21-2; Broszat et al. (eds.), Bayern, I. 433-5; Klemperer, I Shall Bear Witness, 10.
-
-109 Friedländer, Nazi Germany and the Jews, 24-5; Haffner, Defying Hitler, 131-3.
-
-110 Longerich, Politik der Vernichtung, 39-41.
-
-111 Friedländer, Nazi Germany and the Jews, 26-31.
-
-112 Longerich, Der ungeschriebene Befehl, 46.
-
-113 Longerich, Politik der Vernichtung, 41-5.
-
-114 Friedländer, Nazi Germany and the Jews, 35-7.
-
-115 Allen, The Nazi Seizure of Power, 218-22.
-
-116 Konrad Kwiet and Helmut Eschwege, Selbstbehauptung und Widerstand: Deutsche Juden im Kampf um Existenz und Menschenwürde 1933-1945 (Hamburg, 1984), 50-56.
-
-117 Klemperer, I Shall Bear Witness, 5-9; idem, Tagebücher 1933-1934 (Ich will Zeugnis ablegen bis zum Letzten), I (Berlin, 1999 [1995]), 6-15. The German paperback edition, used here, also contains material not included in the English translation.
-
-118 Norbert Frei, ‘“Machtergreifung”: Anmerkungen zu einem historischen Begriff’, VfZ 31 (1983), 136-45. The term ‘seizure of power’ was in fact given currency by the magisterial work of Bracher, Schulz and Sauer, Die nationalsozialistische Machtergreifung; but the scope of their vast work made it clear that they intended the concept to cover the period after 30 January 1933 and up to the late summer of the same year.
-
-119 The concept of the ‘power vacuum’ is a central aspect of Bracher’s classic account in Die Auflösung.
-
-120 See the fascinating speculations in Turner, Hitler’s Thirty Days, 172-6; these, it seems to me, underestimate the racism and antisemitism of the German officer corps, and its desire to renew ‘Germany’s bid for world power’ which it had so strongly supported earlier in the century; but it is in the nature of this kind of ‘what-if’ history that guesswork in the end is all we have to fall back on, and there is no way of knowing whether my speculations are any more plausible than Turner’s. For some general reflections, see Richard J. Evans, ‘Telling It Like It Wasn’t’, BBC History Magazine, 3 (2002), no. 12, 22-5.
-
-121 . Volker Rittberger (ed.), 1933: Wie die Republik der Diktatur erlag (Stuttgart, 1983), esp., 217-21; Martin Blinkhorn, Fascists and Conservatives: The Radical Right and the Establishment in Twentieth-Century Europe (London, 1990); idem, Fascism and the Right in Europe 1919-1945 (London, 2000); Payne, A History of Fascism, 14-19.
-
-122 . Paul, Aufstand, 255-63; Richard Bessel, ‘Violence as Propaganda: The Role of the Storm Troopers in the Rise of National Socialism‘, in Thomas Childers (ed.), The Formation of the Nazi Constituency, 1919-1933 (London, 1986), 131-46.
-
-123 . Geoff Eley, ‘What Produces Fascism: Pre-Industrial Traditions or a Crisis of the Capitalist State?‘, in idem, From Unification to Nazism, 254-84; Gessner, Agrarverbände in der Weimarer Republik; Geyer, ‘Professionals and Junkers’; Peukert, The Weimar Republic, 275-81. For an emphasis on the role of pre-industrial elites, see Winkler, Weimar, 607.
-
-124 Erdmann and Schulze (eds.), Weimar; Heinz Höhne, Die Machtergreifung: Deutschlands Weg in die Hitler-Diktatur (Reinbek, 1983), chapter 2 (‘Selbstmord einer Demokratie’). 125. Joseph Goebbels, Der Angriff: Aufsätze aus der Kampfzeit (Munich, 1935), 61.
-
-126 Bracher, The German Dictatorship, 246.
-
-127 Ibid., 248-50.
-
-128 Thomas Balistier, Gewalt und Ordnung: Kalkül und Faszination der SA (Münster, 1989).
-
-129 Der Prozess, XXVI. 300-301 (783-PS), and Broszat, ‘The Concentration Camps’, 406-23.
-
-130 See, for example Lothar Gruchmann, ‘Die bayerische Justiz im politischen Machtkampf 1933/34: Ihr Scheitern bei der Strafverfolgung von Mordfällen in Dachau’, in Broszat et al. (eds.), Bayern, II. 415-28.
-
-131 Wachsmann, Hitler’s Prisons, chapter 2.
-
-132 Haffner, Defying Hitler, 103-25. Dirk Schumann, Politische Gewalt in der Weimarer Republik: Kampf um die Strasse und Furcht vor dem Bürgerkrieg (Essen, 2001), esp. 271-368.
-
-133 Hitler, Hitler: Reden, Schriften, Anordnungen, III. 434-51, at 445.
-
-134 Bessel, Political Violence, 123-5.
-
-135 Ludwig Binz, ‘Strafe oder Vernichtung?‘, Völkischer Beobachter, 5 January 1929.
-
-136 Hermann Rauschning, Germany’s Revolution of Destruction (London, 1939 [1938]), 94, 97-9, 127.
-
-137 Bracher, Stufen, 21-2.
-
-138 Richard Bessel, ‘1933: A Failed Counter-Revolution’, in Edgar E. Rice (ed.), Revolution and Counter-Revolution (Oxford, 1991), 109-227; Horst Möller, ‘Die nationalsozialistische Machtergreifung: Konterrevolution oder Revolution?’, VfZ 31 (1983), 25-51; Jeremy Noakes, ‘Nazism and Revolution‘, in Noel O’Sullivan (ed.), Revolutionary Theory and Political Reality (London, 1983), 73-100; Rainer Zitelmann, Hitler: The Policies of Seduction (London, 1999 [1987]).
-
-139 Most notably, Jacob L. Talmon, The Origins of Totalitarian Democracy (London, 1952).
-
-140 Bracher, Stufen, 25-6.
-
-141 Minuth (ed.), Die Regierung Hitler, I. 630.
-
-142 Ibid., 634.
-
-143 AT 6 and 99, in Merkl, Political Violence, 469.
-
-144 Bracher, Stufen, 48.
-
-145 Leon Trotsky, The History of the Russian Revolution (3 vols., London, 1967 [1933-4]), III. 289.
-
-146 Domarus, Hitler, I. 487.
-
-147 Richard Löwenthal, ‘Die nationalsozialistische “Machtergreifung” - eine Revolution? Ihr Platz unter den totalitären Revolutionen unseres Jahrhunderts’, in Martin Broszat et al. (eds.), Deutschlands Weg in die Diktatur (Berlin, 1983), 42-74.
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-Wildt, Michael, ‘Violence against Jews in Germany, 1933-1939’, in David Bankier (ed.), Probing the Depths of German Antisemitism: German Society and the Persecution of the Jews 1933-1941 (Jerusalem, 2000), 181-209.
-
-—, Generation des Unbedingten: Das Führungskorps des Reichssicherheitshauptamtes (Hamburg, 2002).
-
-William II, My Memoirs 1878-1918 (London, 1922).
-
-Wilson, Stephen, Ideology and Experience: Antisemitism in France at the Time of the Dreyfus Affair (New York, 1982 [1980]).
-
-Wingler, Hans, The Bauhaus - Weimar, Dessau, Berlin, Chicago 1919-1944 (Cambridge, Mass., 1978).
-
-Winkler, Heinrich August, ‘Die deutsche Gesellschaft der Weimarer Republik und der Antisemitismus’, in Bernd Martin and Ernst Schulin (eds.), Die Juden als Minderheit in der Geschichte (Munich, 1981), 271-89.
-
-—, Von der Revolution zur Stabilisierung: Arbeiter und Arbeiterbewegung in der Weimarer Republik 1918 bis 1924 (Bonn, 1984).
-
-—, Der Schein der Normalität: Arbeiter und Arbeiterbewegung in der Weimarer Republik 1924 bis 1930 (Bonn, 1985).
-
-—, Der Weg in die Katastrophe: Arbeiter und Arbeiterbewegung in der Weimarer Republik 1930 bis 1933 (Bonn, 1987).
-
-—, Weimar 1918-1933: Die Geschichte der ersten deutschen Demokratie (Munich, 1999).
-
-—, Der lange Weg nach Westen, I: Deutsche Geschichte vom Ende des Alten Reiches bis zum Untergang der Weimarer Republik; II: Deutsche Geschichte vom ‘Dritten Reich’ bis zur Wiedervereinigung (Munich, 2000).
-
-—, The Long Shadow of the Reich: Weighing up German History (The 2001 Annual Lecture of the German Historical Institute, London; London, 2002).
-
-Wippermann, Wolfgang, ‘Friedrich Meineckes “Die deutsche Katastrophe”: Ein Versuch zur deutschen Vergangenheitsbewältigung’, in Michael Erbe (ed.), Friedrich Meinecke heute: Bericht über ein Gedenk-Colloquium zu seinem 25. Todestag am 5. und 6. April 1979 (Berlin, 1981), 101-21.
-
-Wirsching, Andreas, ‘“Stalinisierung” oder entideologisierte “Nischengesellschaft”? Alte Einsichten und neue Thesen zum Charakter der KPD in der Weimarer Republik’, VfZ 45 (1997), 449-66.
-
-—, ‘“Man kann nur Boden germanisieren”: Eine neue Quelle zu Hitlers Rede vor den Spitzen der Reichswehr am 3. Februar 1933’, VfZ 49 (2001), 516-50.
-
-Witt, Peter-Christian, ‘Finanzpolitik als Verfassungs- und Gesellschaftspolitik: Überlegungen zur Finanzpolitik des Deutschen Reiches in den Jahren 1930 bis 1932’, Geschichte und Gesellschaft, 8 (1982), 387-414.
-
-Wohlfeil, Rainer, ‘Heer und Republik’, in Hans Meier-Welcker and Wolfgang von Groote (eds.), Handbuch zur deutschen Militärgeschichte 1648-1939, VI (Frankfurt am Main, 1970), 11-304.
-
-Wolff, Charlotte, Magnus Hirschfeld: A Portrait of a Pioneer in Sexology (London, 1986).
-
-Woltmann, Ludwig, Politische Anthropologie (ed. Otto Reche, Leipzig, 1936 [1900]).
-
-World Committee for the Victims of German Fascism (President Einstein) (ed.), The Brown Book of the Hitler Terror and the Burning of the Reichstag (London, 1933).
-
-Wortmann, Michael, ‘Baldur von Schirach: Student Leader, Hitler Youth Leader, Gauleiter in Vienna’ in Smelser and Zitelmann (eds.), The Nazi Elite, 202-11.
-
-Woycke, James, Birth Control in Germany 1871-1933 (London, 1988).
-
-Wright, Jonathan, Gustav Stresemann: Weimar’s Greatest Statesman (Oxford, 2002).
-
-Wulf, Josef, Musik im Dritten Reich: Eine Dokumentation (Gütersloh, 1963).
-
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-
-—, Literatur und Dichtung im Dritten Reich: Eine Dokumentation (Gütersloh, 1963).
-
-—, Theater und Film im Dritten Reich: Eine Dokumentation (Gütersloh, 1964 ).
-
-—, Presse und Funk im Dritten Reich: Eine Dokumentation (Gütersloh, 1964).
-
-Zalka, Siegfried, Polizeigeschichte: Die Exekutive im Lichte der historischen Konfliktforschung. Untersuchungen über die Theorie und Praxis der preussischen Schutzpolizei in der Weimarer Republik zur Verhinderung und Bekämpfung innerer Unruhen (Lübeck, 1979).
-
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-
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-
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-
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-
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-
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-
-Zimmermann, Moshe, Wilhelm Marr: The Patriarch of Anti-Semitism (New York, 1986).
-
-Zimmermann, Peter, ‘Literatur im Dritten Reich’, in Jan Berg et al. (eds.), Sozialgeschichte der deutschen Literatur von 1918 bis zur Gegenwart (Frankfurt am Main, 1981), 361-416.
-
-Zitelmann, Rainer, Hitler: The Policies of Seduction (London, 1999 [1987]).
-
-Zürn, Gaby, ‘“Von der Herbertstrasse nach Auschwitz”’, in Angelika Ebbinghaus (ed.), Opfer und Täterinnen: Frauenbiographien des Nationalsozialismus (Nördlingen, 1987), 91-101.
-
-
-
-
-
-Index
-
-
-
-Numbers in bold indicate maps.
-
-
-
-
-
-Abel, Theodore
-
-abortion
-
-abstract art
-
-accident insurance
-
-Adolf Hitler Donation of the German Economy
-
-AEG (Allgemeine Elekrizitäts-Gesellschaft)
-
-Agfa
-
-agitprop
-
-Agrarian League
-
-agriculture
-
-Ahlwardt, Hermann
-
-steals from his school
-
-blames Jews for his misfortunes
-
-disgruntled and unscrupulous agitator
-
-in prison
-
-seat in the Reichstag
-
-loses his seat
-
-and Freemasonry
-
-death
-
-aircraft industry
-
-alcoholism/alcoholics
-
-Alexander the Great
-
-All Quiet on the Western Front (film)
-
-Alpar, Gitta
-
-Alsace-Lorraine.
-
-Alsatians
-
-Altona, Prussia
-
-Amann, Max
-
-Americanization
-
-Andreas, Willy
-
-anthropology
-
-Anti-Socialist Law (1878)
-
-antisemitism
-
-and name-changes
-
-of Christian Socialist Party
-
-antisemites riven by internecine disputes
-
-traditional
-
-modern
-
-organized popular
-
-Wagner and the Bayreuth circle
-
-Chamberlain’s work
-
-a key component of Nazi ideology
-
-to Schönerer ‘the great achievement of the century’
-
-in Austria
-
-and theservice
-
-and the youth movement
-
-in economic crises
-
-Russian
-
-violence against Jews and their property
-
-Catholic
-
-of Hitler
-
-radical
-
-of Streicher
-
-ideological
-
-1930 elections
-
-Arco-Valley, Anton Graf von
-
-Argentina
-
-arms and munitions contracts
-
-art
-
-Artamans
-
-Aryanism
-
-‘asocials’
-
-assassination squads
-
-‘Assault Squad’
-
-Association Against the Arrogance of the Jews
-
-Association for Germandom Abroad (previously German School Association)
-
-Atlantic Ocean
-
-Auer, Erhard
-
-Augsburg
-
-Auschwitz concentration camp
-
-Austria
-
-and the Holy Roman Reich
-
-1848 Revolution
-
-expelled from Germany
-
-antisemitism
-
-proposed annexation of
-
-union of Germany and German-speaking Austria refused
-
-hyperinflation
-
-Hitler’s early life in
-
-government refuses Hitler’s repatriation
-
-industrial production
-
-attempted customs union with Germany
-
-‘clerico-fascist’ regime
-
-Austria-Hungary see also Habsburg monarchy
-
-Austrian army
-
-Austrianwar (1934)
-
-Austrian Parliament
-
-
-
-
-
-Bach-Zelewski, Erich von dem
-
-Bad Harzburg declaration (1931)
-
-Bad Neuheim
-
-Baden
-
-Baden, Prince Max von
-
-balance of payments deficit
-
-Ballerstedt, Otto
-
-Ballin, Albert
-
-Bamberg, northern Bavaria
-
-banking
-
-bankruptcies
-
-Barlach, Ernst
-
-Barmat, Julius
-
-‘Barn District’ (Scheunenviertel), Berlin
-
-Bartels, Adolf: The Dithmarshers
-
-BASF (Badische Anilin- und Sodafabrick)
-
-Bassermann, Albert
-
-Bauer, Gustav
-
-Bauhaus
-
-Bäumler, Alfred
-
-Bavaria
-
-revolution (1918)
-
-radical right
-
-state of emergency ends (1925)
-
-support of Hitler
-
-state lections (1932)
-
-Germany’s first concentration camp (Dachau)
-
-Bavaria and Reich League
-
-Bavarian army
-
-Bavarian Council Republic
-
-Bavarian government
-
-Bavarian League
-
-Bavarian Parliament
-
-Bavarian People’s Party
-
-Bavarian Supreme Court
-
-Bavarian War Ministry
-
-Bayer
-
-Bayreuth
-
-Bayreuth Papers (Bayreuther Blätter)
-
-‘Beautification Club’
-
-Bebel, August
-
-Bechstein, Carl
-
-Bechstein, Helene
-
-Beck, Colonel Ludwig
-
-Beckmann, Max
-
-Belgium
-
-proposed annexation of
-
-economic exploitation in First World War
-
-First World War compensation
-
-occupation of the Ruhr
-
-Benn, Gottfried
-
-Berber, Anita
-
-Berg, Alban
-
-Wozzek
-
-Bergner, Elisabeth
-
-Bergsträsser, Arnold
-
-Berlin
-
-Jewish community
-
-economic problems
-
-academics condemn antisemitism
-
-Fatherland Party meeting (1918)
-
-Spartacist uprising (January 1919)
-
-striking munition workers (1918)
-
-Social Democrats
-
-tram routes unable to run
-
-radical literary culture
-
-state music academy
-
-nightclubs
-
-a centre of social and sexual subcultures
-
-‘ring associations’
-
-Reform Synagogue
-
-Goebbels becomes Regional Leader
-
-Berlin Nazis’ ban
-
-Nazi Party membership
-
-unemployment
-
-Ford owns factory in
-
-‘red districts’
-
-government
-
-state of emergency (1932)
-
-Goebbels organizes torchlit parade (January 1933)
-
-international motor show
-
-suppression of the left
-
-a Protestant city
-
-Centre Party councillors
-
-book-burning
-
-Jews beaten up afterMarch election
-
-Berlin, Irving
-
-Berlin Daily News-Sheet (Berliner Tageblatt)
-
-Berlin National Gallery
-
-Berlin People’s Paper (Berlines Volkszeitung)
-
-Berlin Philharmonic Orchestra
-
-Berlin School for Physical Education
-
-Berlin Sports Palace
-
-Berlin State Opera
-
-Berlin State Theatre
-
-Berlin Stock Exchange
-
-Berlin-Charlottenburg
-
-Berlin-Lichtenfels
-
-Bernhardi, General Friedrich von
-
-Bertram, Cardinal Adolf
-
-Bertram, Ernst
-
-Best, Werner
-
-Bethmann Hollweg, Theobald von
-
-Beuthen
-
-Binding, Karl
-
-birth control
-
-birth rate
-
-Bismarck, Fürst Otto von
-
-unification of Germany (1871)
-
-background
-
-personality
-
-domination over German politics
-
-‘Iron Chancellor’
-
-Germans feel the lack of leadership such as his
-
-seizes Schleswig-Holstein
-
-constitution of the German Empire
-
-wars of the, 1860s
-
-and the army
-
-resignation (1890)
-
-myth of
-
-tries to maintain the peace in Europe
-
-and the Catholic Church
-
-reparations bill to France after,1870-71 war
-
-reforms
-
-and the National Liberals
-
-Bismarck, Herbert von
-
-Bismarck Youth
-
-Black Death
-
-‘Black Hundreds’
-
-black marketeers
-
-‘Black Thursday’ (24 October 1929)
-
-‘Black Tuesday’ (29 October 1929)
-
-Blech, Leo
-
-Bleichröder, Gerson von
-
-Bleichröder banking firm
-
-Blomberg, General Werner von
-
-‘Bloody Sunday’ (Altona, 1932)
-
-Blue Angel, The (film)
-
-‘Blue Rider’ group
-
-Blüher, Hans
-
-Böckel, Otto
-
-Boer War
-
-Bohemia
-
-Bolivia
-
-Bolshevik Party, Bolsheviks
-
-failure to win mass support in free elections
-
-ruthlessly singleminded
-
-in ‘White terror’
-
-and inflation
-
-Rosenberg’s hatred for
-
-Bolshevism
-
-threat of
-
-violent attacks on Christianity
-
-allegedly devised by the Jews
-
-‘Jewish-Bolshevism’
-
-predicted victory of
-
-and the Centre Party
-
-cultural
-
-Bolz, Eugen
-
-Bonn University
-
-book-burning
-
-Bormann, Martin
-
-Born, Max
-
-Bosch, Carl
-
-Bothe, Walter
-
-bourgeois values
-
-Boxheim documents
-
-Boy Scouts
-
-Bracher, Karl Dietrich The German Dictatorship
-
-Branau on the Inn
-
-Brandenburg
-
-penitentiary
-
-Braun, Otto
-
-Brauns, Heinrich
-
-Braunschweig
-
-Brecht, Bertolt
-
-Threepenny Opera
-
-Bredow, Hans
-
-Bredt, Viktor
-
-Bremen
-
-Breslau
-
-Brest-Litovsk, Treaty of (1918)
-
-Britain
-
-and German colonial aims
-
-Catholic Emancipation (1829)
-
-empire
-
-seen by Hitler as a possible ally
-
-industrial production
-
-use of concentration camps in Boer War see also United Kingdom
-
-Brock, Werner
-
-Broszar, Martin
-
-brownshirts see ‘Storm Division’
-
-Brünen, Dusselorf West constituency
-
-Brüning, Heinrich
-
-appointed Reich Chancellor
-
-and the monarchy
-
-curbs the freedom of the press
-
-and the Social Democrats
-
-personality
-
-economic measures
-
-‘the Hunger Chancellor’
-
-use of police
-
-bans political uniforms
-
-becomes isolated
-
-resigns (May 1932)
-
-votes for the Enabling Act
-
-willing to compromise as Centre Party leader
-
-and the political police
-
-lack of commitment to democracy
-
-authoritarian regime
-
-Brunner, Alfred
-
-Buchwitz, Otto
-
-Budapest
-
-Bulgaria
-
-Bülow, Fürst Bernhard von
-
-bureaucracy
-
-Bürgerbräukeller, Munich
-
-Burleigh, Michael: The Third Reich: A New History
-
-Busch, Fritz
-
-business
-
-financial donations to ‘bourgeois’ parties
-
-and the press
-
-and Hugenberg
-
-split by politics and economic interest
-
-Hitler’s speech at the Industry Club
-
-Schleicher’s economic schemes
-
-and democracy
-
-and Reichstag elections (5 March 1933)
-
-falls into line for the Nazis
-
-tries to end extortion
-
-BZ at Midday (BZ am Mittag) newspaper
-
-
-
-
-
-cabaret
-
-Cabinet of Dr Caligari, The (film)
-
-Café Heck, Munich
-
-California
-
-Cambridge University
-
-Cameroon
-
-capital punishment
-
-capitalism
-
-in Germany
-
-and Jews
-
-and Social Democrats
-
-and the Communists
-
-and fascism
-
-monopoly
-
-Caprivi, Graf Leo von
-
-‘Cartel of Productive Estates’
-
-cartels
-
-Casti Connubii (Papal Encyclical)
-
-Catholic Church
-
-Bismarck and
-
-Ludendorff attacks
-
-and the Centre
-
-Concordat (1933)
-
-bishops declare support for Nazi regime
-
-turns against parliamentary democracy
-
-Luther and
-
-see also Vatican
-
-Catholic community
-
-enemy of liberalism and modernity
-
-and the Centre Party
-
-antisemitism
-
-level of support for Nazi Party
-
-and reintegration into national community
-
-Catholic Emancipation (1829)
-
-Catholic student organizations
-
-Catholic Trade Union movement
-
-Catholicism
-
-liberals and
-
-political
-
-social
-
-and Nazism
-
-Heidegger and
-
-Cavour, Camillo
-
-censorship
-
-Central Association of German Citizens of the Jewish Faith
-
-Central Association of German Industrialists
-
-Central Europe
-
-Centre Party
-
-formed by the Catholics
-
-elections of 1912
-
-antimodernism and support for the Reich
-
-social welfare
-
-critical of German colonial rule in Africa
-
-antisemitism
-
-and Social Democrats
-
-maintains its support
-
-socially conservative
-
-and democracy
-
-and theservice
-
-and the press
-
-vilifies Hirschfeld
-
-and education
-
-becomes more authoritarian
-
-and the Catholic Church
-
-patriotic traditions
-
-in 1930 elections
-
-backs Hindenburg
-
-and Papen
-
-July 1932 Reichstag elections
-
-November 1932 Reichstag elections
-
-suppression of
-
-March 1933 elections
-
-and the Enabling Act
-
-Brüning replaces Kaas
-
-destruction of
-
-Brüning’s willingness to compromise
-
-resistance to electoral inroads of Nazis
-
-Chakhotin, Sergei
-
-Chamberlain, Houston Stewart
-
-The Foundations of the Nineteenth Century
-
-Chaplin, Charles
-
-Charlemagne
-
-Cheka
-
-chemical industry
-
-Chemnitz
-
-children
-
-and unemployment
-
-Communist proselytization
-
-Chile
-
-Christian Social Party
-
-Christian Social Party (Austria)
-
-Christianity
-
-Jewish converts
-
-Bolshevism attacks
-
-‘positive’
-
-of the established Churches
-
-Church, the
-
-Kun tries to abolish
-
-voluntary labour scheme
-
-cinema
-
-Ciro nightclub, Berlin
-
-citizenship, loss of
-
-Civil and Criminal Law Codes
-
-civil liberties
-
-suspension by the army
-
-attack on Catholics
-
-Anti-Socialist Law
-
-Enabling Act
-
-European context
-
-civil service
-
-nobility
-
-in Austria-Hungary
-
-and the Weimar Republic
-
-importance of
-
-size of
-
-irremovability
-
-neutrality
-
-wave of dismissals
-
-Social Democratic placemen
-
-and 1930 elections
-
-Hitler appointed as aservant
-
-oath of allegiance to the Weimar constitution
-
-Centre Party members
-
-members of the State Party
-
-Nationalists
-
-‘co-ordination’ of
-
-Nazification of
-
-‘non-Aryan’ civil servants
-
-appointments by Goring in Prussia
-
-conservatism
-
-university staff
-
-Civil Service Act (1933)
-
-civil violence
-
-nature of
-
-causes of
-
-Class, Heinrich
-
-If I Were the Kaiser
-
-Clemenceau, Georges
-
-club scene
-
-‘co-ordination’ (Gleichschaltung)
-
-coal
-
-Coburg
-
-Code Napoléon
-
-‘coffee house anarchists’
-
-Cold War
-
-collective bargaining
-
-Cologne
-
-Cologne-Aachen.
-
-colonialism
-
-Centre Party’s criticism
-
-Germany a latecomer on the scene
-
-German overseas empire
-
-Columbia University, New York
-
-Comintern see Communist International
-
-communication
-
-communism
-
-suppression of human rights
-
-the threat of
-
-Hitler opposes
-
-opposed by Italian Fascism
-
-mobilizing the unemployed
-
-roots of Communist extremism
-
-atheistic see also German Communist Party; Soviet Communist Party
-
-Communist Council Republic
-
-Communist International (Comintern)
-
-seamen’s section
-
-inauguration of the ‘third period’
-
-and appointment of the Hitler cabinet
-
-Executive Committee
-
-concentration camps
-
-Dachau opened
-
-in the Boer War
-
-opened all over the country
-
-Hitler’s warning (1921)
-
-trade unionists removed to
-
-radio managers and reporters sent to
-
-concerts
-
-‘concrete poetry’
-
-condoms
-
-Confessions of the Swindler Felix Krull, The (novel)
-
-Congo
-
-conscription
-
-conservatism
-
-ethical
-
-Protestant
-
-utopian
-
-nostalgia of conservatives
-
-conspiracy-theory literature
-
-Constituent Assembly
-
-elections
-
-meets in Weimar (1919)
-
-contraception
-
-corruption
-
-cosmopolitanism
-
-Council of People’s Delegates
-
-Creglingen
-
-Criminal Code
-
-criminal offenders
-
-Criminal-Biological Information Centre, Bavaria
-
-criminology
-
-Cubism
-
-cult of personality
-
-cult of youth
-
-currency
-
-Curtius, Julius
-
-Czechoslovakia
-
-
-
-
-
-Dachau concentration camp
-
-Dadaism
-
-Daily Mail
-
-Danish ethnic minority
-
-Danzig
-
-Darmstadt and National (Danat) Bank
-
-Darmstadt Technical University
-
-Darré, Richard Walther
-
-Darwin, Charles
-
-Dawes, Charles
-
-Dawes Plan
-
-Day, The (Der Tag) newspaper
-
-death penalty see capital punishment
-
-Declaration of Papal Infallibility (1871)
-
-Defence League
-
-democracy
-
-collapse of (1917-33)
-
-conflict-ridden
-
-and militarism
-
-as the Allies’ war aim (1914-18)
-
-rejection of
-
-Weimar
-
-parliamentary
-
-student disillusion
-
-liberal
-
-and the judiciary
-
-and business
-
-bourgeois
-
-Furtwängler’s distrust of
-
-Goebbels on
-
-‘democratic centralism’
-
-Democrats (later the State Party) see German Democratic Party
-
-Denizens’ Defence Force
-
-Denmark
-
-depression (1873)
-
-Depression (1929-33)
-
-Dessau
-
-Detmold
-
-Deutschland, Deutschland über Alles (‘Germany, Germany before all’)
-
-devaluation
-
-Dickel, Otto The Resurrection of the West
-
-Diels, Rudolf
-
-Dietrich, Hermann
-
-Dietrich, Marlene
-
-Dietrich, Otto
-
-Dingeldey, Eduard
-
-disarmament
-
-Disraeli, Benjamin
-
-Dix, Otto
-
-Döblin, Alfred
-
-Berlin Alexanderplatz (novel)
-
-Doesberg, Theo van
-
-Dollfuss, Engelbert
-
-Dortmund
-
-Dostoevsky, Fyodor
-
-Double Indemnity (film)
-
-Dr Mabuse the Gambler (film)
-
-drama
-
-Dresden
-
-Dresden Academy
-
-Dresden State Opera
-
-Dresden Technical University
-
-Drexler, Anton
-
-Dreyfus affair
-
-Droysen, Gustav von
-
-duelling corps
-
-Duesterberg, Theodor
-
-Dühring, Eugen
-
-Duisburg
-
-Dürrgoy
-
-Düsseldorf
-
-
-
-
-
-East Africa
-
-East Elbia
-
-Eastern Europe, Hitler intends to invade
-
-Eastern Front
-
-Eastern Hanover
-
-‘Eastern Jews’
-
-Eberstein, Friedrich Karl Freiherr von
-
-Ebert, Friedrich
-
-Eckart, Dietrich
-
-economic pressure-groups
-
-Economy Party
-
-education
-
-Ehrhardt, Captain Hermann
-
-Einstein, Albert
-
-Einstein, Alfred
-
-Eisleben
-
-Eisler, Hanns
-
-Eisner, Kurt
-
-Eldorado club, Berlin
-
-elections
-
-of 1912
-
-high turnout rates
-
-Reichstag (1924)
-
-Presidential (1925)
-
-Reichstag (1928)
-
-municipal (1929)
-
-Reichstag (1930)
-
-Presidential (1932)
-
-state elections (1932)
-
-Prussian (April 1932)
-
-Reichstag (July 1932)
-
-Reichstag (November 1932)
-
-student union (1932-3)
-
-regional
-
-Reichstag (5 March 1933)
-
-Prussian (12 March 1933)
-
-Nazi vote in Reichstag elections 1924-33
-
-electrical energy
-
-embezzlement
-
-emigration
-
-of Jews
-
-of film directors/stars
-
-employment
-
-full
-
-job-creation programme
-
-Enabling Act
-
-Engels, Friedrich: Anti-Dühring
-
-‘Enlightened Absolutism’
-
-Epstein, Klaus
-
-Erzberger, Matthias
-
-Esser, Hermann
-
-Estonia
-
-eugenics, eugenicists
-
-Eupen
-
-Europe
-
-dictatorships of the age
-
-Bolshevization of
-
-‘euthanasia’, involuntary
-
-execution
-
-of the ‘valueless’
-
-see also capital punishment; ‘euthanasia’
-
-Expressionism
-
-extortion
-
-
-
-
-
-Falkenhayn, Erich von
-
-family
-
-far right
-
-‘Combat Leagues’
-
-exploits financial scandals
-
-and universities
-
-‘Farm Aid’ programme
-
-fascism
-
-Italian
-
-and capitalism
-
-Fatherland Party
-
-Faulhaber, Cardinal Michael
-
-Fechenbach, Felix
-
-Feder, Gottfried
-
-Federal Council
-
-Federation of German Women’s Associations
-
-Femina bar, Berlin
-
-feminism
-
-Feuchtwanger, Lion
-
-The Oppenheims
-
-Success
-
-‘Fighting Leagues’
-
-Film Week magazine
-
-First Reich
-
-First World War
-
-German obsession with world power
-
-cataclysmic impact of
-
-destroys the old order
-
-outbreak of
-
-German expansion in
-
-early German victories
-
-Armistice
-
-myth of the ‘front generation’
-
-legitimizes violence
-
-wartime debts
-
-Remarque’s book
-
-war deaths
-
-Hitler gassed during war service
-
-Galen and
-
-Dix’s portrayal of the trenches
-
-Fischer, Fritz
-
-flags
-
-black-white-red national flag of Bismarckian Reich
-
-black-red-gold flag of the Republic
-
-‘Blood Flag’
-
-Nazi
-
-food prices
-
-food riots
-
-Ford Motor Company
-
-‘Fordism’
-
-Foreign Office
-
-Förster, Elisabeth
-
-Forwards (Vorwärts) newspaper
-
-‘Fourteen Points’
-
-Fraenkel, Eduard
-
-Fraenkel, Ernst
-
-France
-
-Church-state conflict
-
-Dreyfus affair
-
-economic exploitation in First World War
-
-First World War compensation
-
-reparations bill after, 1870-71 war
-
-occupation of the Ruhr
-
-black French colonial troops
-
-Franck, Francisco
-
-Franck, James
-
-Franco-Prussian War
-
-François-Poncet, André
-
-Franconia
-
-Franconian Press (Fränkische Presse)
-
-Frank, Hans
-
-Frankfurt
-
-Frankfurt Conservatory
-
-Frankfurt Newspaper (Frankfurter Zeitung)
-
-Frankfurt Parliament (1848)
-
-Franz Ferdinand, Archduke
-
-Franz Josef, Habsburg
-
-‘Free Cities’
-
-‘Free Conservatives’
-
-Free Corps
-
-heavily armed paramilitary bands
-
-hatred of the 1918 Revolution
-
-secret assassination squads
-
-summary executions by
-
-Kapp putsch (1920)
-
-and novels
-
-invades Munich (1919)
-
-use of swastika symbol
-
-Epp Free Corps
-
-Goring and
-
-Hoss in
-
-Bormann in
-
-cult of violence
-
-murders Communist leaders (1918-19)
-
-brutal suppression of the 1918-19 Revolution
-
-new public-order force
-
-Heines in
-
-freedom of assembly and association
-
-freedom of expression
-
-freedom of the press
-
-Freemasonry
-
-Frei, Norbert
-
-Freiburg University
-
-French Revolution (1789)
-
-Freud, Sigmund
-
-Frick, Wilhelm
-
-Friedrich Wilhelm, Crown Prince
-
-Friedrichshain district, Berlin
-
-Friedrichsruh
-
-Fritsch, Theodor
-
-Handbook on the Jewish Question
-
-Fritsche, Hans
-
-Führer term
-
-Fulda Bishops’ Conference (1 June 1933)
-
-Furtwangler, Wilhelm
-
-
-
-
-
-Galen, Graf Clemens August von, Catholic Bishop of Münster
-
-Garibaldi, Giuseppe
-
-Gayl, Wilhelm Freiherr von
-
-Gebsattel, Konstantin von
-
-General German League see Pan-German League
-
-General Motors
-
-General Student Unions
-
-‘General Will’
-
-genetics
-
-George, Stefan
-
-Gerecke, Gunther
-
-German air force
-
-German army
-
-free of political control
-
-powers and privileges
-
-right of non-commissioned officers to a job in state employment
-
-new forms of popular militarism
-
-professionalization of the officer corps
-
-new military technology
-
-ruthlessness in the German Empire
-
-polarization of opinion over its role in society
-
-early victories in First World War
-
-relentless pressure of
-
-‘stabbed in the back’ claim
-
-war crimes issue
-
-conscription
-
-Versailles restrictions
-
-myth of the ‘front generation’
-
-desertions at the end of the war
-
-many pushed to the far right
-
-and the Weimar Republic
-
-General Staff
-
-Reinhardt ousted in favour of right-wing Seeckt
-
-and literature
-
-Jews in
-
-budget
-
-trial of junior officers (1930)
-
-believes it can control Nazis
-
-newly prominent political position
-
-rearmament
-
-conservatives’ programme
-
-neutrality
-
-Hitler’s promises
-
-German Boxing Association
-
-German cabinet: records of meetings
-
-German Cinema Owners’ Association
-
-GermanServants’ League
-
-German Colonial Society
-
-German Communist Party
-
-formed (1918)
-
-and Social Democrats
-
-Red Front-Fighters’ League set up
-
-and a Red Army of workers
-
-abortive uprising in Hamburg (1923)
-
-representation in the Reichstag
-
-returns from moderate to ‘leftist’ position
-
-efforts to bring the Republic down
-
-puritanical view of personal relationships
-
-and education
-
-and Bolshevik regime in Munich
-
-von Hentig and
-
-and capitalism
-
-and Nazi Party membership
-
-Nazi hatred of
-
-attempts to mobilize the unemployed
-
-national membership
-
-‘committees of the unemployed’
-
-street-based events
-
-Thälmann leads
-
-short of resources
-
-in 1930 elections
-
-and Wessel
-
-brownshirt attack on headquarters
-
-statistics of clashes with Nazis
-
-July 1932 Reichstag elections
-
-hammer and sickle symbol
-
-November 1932 Reichstag elections
-
-suppression of
-
-Central Committee
-
-searches of its premises
-
-relative inaction of
-
-Reichstag fire
-
-effectively removed
-
-March 1933 elections
-
-membership treated as treasonable
-
-banned (fromMarch 1933)
-
-property reassigned
-
-press banned
-
-concentration camp warning
-
-torture of
-
-May Day, 1933
-
-destroyed in an orgy of violence
-
-Nazi determination to destroy it see also Communism
-
-German Confederation
-
-succeeds the Holy Roman Reich
-
-and the 1848 Revolution
-
-collapse of
-
-Austria expelled
-
-German Conservative Party
-
-antisemitic Tivoli conference (1893)
-
-and Christian Social movement
-
-and Pan-Germans
-
-backs German Fatherland Party
-
-and Nationalists
-
-turnover in membership see also conservatism
-
-German Democratic Party
-
-German Dye Trust
-
-German fleet
-
-German Gymnastics League German High Seas Fleet
-
-German Judges’ Confederation
-
-German League for the Prevention of the Emancipation of Women
-
-German medical science
-
-‘German Michel’
-
-German Nationalist Commercial Employees’ Union
-
-German navy
-
-construction of a massive battle fleet
-
-mutiny
-
-effectively dismantled
-
-German Newspaper Publishers’ Association
-
-German People’s Party see People’s Party
-
-German Reich
-
-proclaimed at Versailles
-
-‘German Reich’ name
-
-constitution
-
-formed by military force and action
-
-rise to economic might and Great Power status
-
-expectations of
-
-centralization see also Wilhelmine Reich
-
-German Revolution (1848)
-
-German Revolution (1918-19)
-
-German School Association (later Association for Germandom Abroad)
-
-German South-West Africa (now Namibia)
-
-German Wireless Service
-
-German Women’s Order
-
-German Workers’ Party
-
-German-Racial Defence and Defiance League
-
-German-Socialist Party
-
-Germania (Centre Party’s newspaper)
-
-Germanic Order
-
-Germanization
-
-Germany
-
-leads Europe into moral, physical and cultural ruin
-
-unification (1864-71)
-
-capitalism
-
-advanced culture and society
-
-economy
-
-strong liberal and democratic traditions
-
-compared with Russia before the First World War
-
-authoritarian monarchy
-
-compared with nineteenth-century Italy
-
-‘struggle for culture’
-
-population
-
-optimistic on outbreak of First World War
-
-expansion in First World War
-
-Armistice
-
-Versailles Treaty terms
-
-collapse of Reich created by Bismarck
-
-Kapp putsch (March 1920)
-
-inflation
-
-crime wave
-
-war deaths
-
-‘fulfilment’ policy
-
-putsch attempt (1923)
-
-clashes with Italy over South Tyrol
-
-attempted customs union with Austria
-
-budgetary deficit
-
-end of parliamentary democracy
-
-German society put on a permanent war footing
-
-becomes a one-party state
-
-Gershwin, George
-
-Gessler, Otto
-
-Girmann, Ernst
-
-Glaeser, Ernst
-
-Glauer, Adam (‘Baron von Sebottendorf’)
-
-Gobineau, Joseph Arthur de
-
-Gobineau Society
-
-Goebbels, Paul Joseph
-
-diaries
-
-background and education
-
-club foot
-
-personality
-
-becomes Nazi Party organizer in the Rhineland
-
-an effective orator
-
-articles for the Nazi press
-
-disagreements with Hitler
-
-devotion to Hitler
-
-Regional Leader of Berlin
-
-1928 elections
-
-avoids legal responsibility for violence
-
-appointed propaganda chief
-
-1930 elections
-
-and Horst Wessel
-
-Stennes forces him to flee to Munich
-
-the 1932 Presidential election
-
-on failure of ‘the reds’
-
-July 1931 Reichstag elections
-
-November 1932 Reichstag elections
-
-arranges torchlit parade in Berlin
-
-Reichstag fire
-
-Reichstag elections of March 1933
-
-and ‘government of the nationalist uprising’
-
-and May Day
-
-and trade unions
-
-‘We are the masters of Germany’ boast
-
-on the Social Democrats
-
-demands Centre Party’s dissolution
-
-celebrates Nazi monopoly of power
-
-and music
-
-admits to terrorization
-
-defines propaganda
-
-becomes Minister for Popular Enlightenment and Propaganda
-
-runs the Party Propaganda office
-
-Furtwängler’s protest
-
-and the Berlin Philharmonic
-
-and radio
-
-and artists
-
-Hitler’s birthday (1933)
-
-book-burning
-
-and boycott of Jewish shops
-
-view of democracy
-
-Michael: A German Fate in the Page of a Diary (novel)
-
-Goethe, Johann Wolfgang von
-
-gold
-
-Gold Standard
-
-Goldberg, Szymon
-
-Goring, Hermann
-
-key role in development of Nazi movement and Third Reich
-
-family background
-
-a well-known flying ace
-
-appearance
-
-personality
-
-devotion to Hitler
-
-in charge of the stormtroopers
-
-and putsch attempt of 1923
-
-addiction to morphine
-
-1928 elections
-
-extravagant tastes
-
-Wessel’s funeral
-
-and violence during a Bremen meeting
-
-and Pietzuch
-
-cavalier treatment of the Reichstag
-
-appointed Reich Minister without portfolio
-
-Acting Prussian Minister of the Interior
-
-and torchlit parade in Berlin
-
-and Hammerstein
-
-and 1933 election
-
-Reichstag fire
-
-provides proofs of Communist plot
-
-and Social Democrat press ban
-
-and Weimar constitution
-
-presiding officer of Reichstag
-
-andservants
-
-and Galen
-
-and Nationalist Party
-
-and Blech
-
-Waldoff satirizes
-
-Gotha
-
-Göttingen University
-
-Gottschewski, Lydia
-
-‘government of the nationalist uprising’
-
-GPU (Gosudarstrennoe politicheskoe upravlenie, State Political Directorate) Soviet secret police
-
-Grand Coalition
-
-Grauert, Ludwig
-
-Greece
-
-Griesheim
-
-Grimm, Hans: Race without Space
-
-Groener, General Wilhelm
-
-Groh, Wilhelm
-
-Gropius, Walter
-
-Grosz, George
-
-Grotjahn, Alfred
-
-Gruber, Kurt
-
-Grzesinski, Albert
-
-guilds
-
-Gumbel, Emil Julius
-
-Günther, Hans Friedrich Karl
-
-Gürtner, Franz
-
-
-
-
-
-Haarmann, Fritz
-
-Haase, Hugo
-
-Haber, Fritz
-
-Habsburg monarchy
-
-nationalities in see also Austria-Hungary
-
-Haeckel, Ernst The Riddle of the World
-
-‘Hail Hitler’ greeting
-
-‘Hail Victory!’ (Sieg Heil!)
-
-Halle
-
-Hallgarten, George (Wolfgang Friedrich)
-
-Hamburg
-
-Jewish community
-
-abortive Communist uprising (1923)
-
-pilfering on the docks
-
-Nazi Party membership
-
-unemployment
-
-food riots
-
-torchlit parade
-
-new coalition government
-
-prostitution
-
-Hamburg Philharmonic Society
-
-Hamburg Police Shelter
-
-Hammer Verlag
-
-Hammerstein, General Kurt von
-
-handicapped, the
-
-Hanfstaengl, Ernst (‘Putzi’)
-
-Hanover
-
-Kingdom of
-
-Harlan, Veit
-
-Harvey, Lillian
-
-‘Harzburg Front’
-
-Hassell, Ulrich von
-
-Hauptmann, Gerhart
-
-Haushofer, Karl
-
-health agencies
-
-health insurance
-
-Hearst, William Randolph
-
-Heidegger, Martin
-
-Being and Time
-
-Heidelberg
-
-Heidelberg University
-
-Heiden, Konrad
-
-Heine, Heinrich
-
-Heines, Edmund
-
-Heisenberg, Werner
-
-Held, Heinrich
-
-Heldenbrand, Hans-Joachim
-
-Heligoland
-
-Helm, Brigitte
-
-Henrici, Ernst
-
-Hentig, Hans von
-
-Herbst, Ludolf
-
-Herder, Johann Gottfried von
-
-heredity
-
-Hereros
-
-Hertz, Gustav
-
-Hess, Rudolf
-
-devoted to Hitler
-
-background
-
-antisemitism
-
-and the Lebensraum theory
-
-Hitler dictates My Struggle to
-
-Hesse
-
-Heuss, Theodor
-
-Hevesy, Georg von
-
-Hiedler, Johann Georg see Hitler (Hiedler), Johann Georg
-
-Himmler, Heinrich
-
-appointments book
-
-background and education
-
-regrets missing front-line action
-
-joins a duelling fraternity
-
-joins Denizens’ Defence Force
-
-antisemitism
-
-appearance
-
-putsch attempt
-
-devotion to Hitler
-
-marriage
-
-unconventional beliefs
-
-joins the Artamans
-
-farming
-
-appointed head of SS
-
-appointed Provisional Police President
-
-opens Dachau
-
-Bavarian People’s Party arrests
-
-Hindemith, Paul
-
-News of the Day (opera)
-
-Hindenburg, Oskar von
-
-Hindenburg, Paul von
-
-First World War service
-
-‘silent dictatorship’
-
-claims that army was stabbed in the back
-
-elected President of Weimar Republic (1925)
-
-a disaster for Weimar democracy
-
-powers
-
-decree outlawing stormtroopers
-
-re-elected in 1932 Presidential elections
-
-Social Democrats’ active backing for
-
-dissolves Reichstag
-
-reluctant to accept Hitler as Chancellor
-
-resents Schleicher’s overthrow of Papen
-
-refuses to give Schleicher extra-constitutional powers
-
-appoints Hitler as Chancellor
-
-at Berlin torchlit parade
-
-and Potsdam Reichstag state opening
-
-Hitler bypasses or uses as a rubber stamp
-
-Hugenberg’s resignation
-
-as Nazis’ last potential obstacle to total power
-
-‘Hindenburg Programme’
-
-Hirschfeld, Dr Magnus
-
-history
-
-partisan distortion of German historical scholarship
-
-cult of personality
-
-veneration of leadership by history-writers xix
-
-individual personalities edited out of history
-
-modern social
-
-Nazi version of
-
-focus on German history
-
-Hitler, Adolf
-
-Austrian origin
-
-birth (20 April 1889)
-
-family background
-
-receives political indoctrination (1919)
-
-early life
-
-tries to become an architect
-
-political influences
-
-in Vienna
-
-antisemitism
-
-deep contempt for state and law
-
-war service
-
-oratory
-
-in Stadelheim gaol
-
-cult of personality
-
-‘march on the capital’ tactic
-
-petty-bourgeois simplicity
-
-putsch attempt (1923)
-
-trial
-
-dictates My Struggle while in gaol
-
-fierce desire to annihilate the Jews
-
-paroled
-
-charisma
-
-emphasis on ‘living-space’
-
-Goebbels comes under his spell
-
-appearance
-
-oaths of loyalty to
-
-on SA and SS sacrifice
-
-avoids legal responsibility for violence
-
-appoints Goebbels propaganda chief
-
-Bad Harzburg declaration
-
-oration to businessmen
-
-1930 elections
-
-fires Franz Pfeffer von Salomon
-
-Presidential election (1932)
-
-Reichstag election (1932)
-
-Gregor Strasser’s resignation
-
-scheme to put him in as Chancellor
-
-appointed Reich Chancellor (30 January 1933)
-
-Papen expects to control him
-
-powers of
-
-promises to destroy Marxism
-
-and the Reich Defence Council
-
-Reichstag fire
-
-speech at state opening of Reichstag
-
-Steinmann’s declaration
-
-assurances to Dingeldey
-
-and the Nationalist Party
-
-Berlin Philharmonic taken over by the Reich
-
-scientists’ protests
-
-intervenes to curb some ‘individual actions’
-
-and boycott of Jewish shops
-
-My Struggle
-
-Hitler (Hiedler), Johann Georg (Hitler’s grandfather)
-
-Hitler, Klara (Hitler’s mother)
-
-Hitler, Paula (Hitler’s sister)
-
-Hitler Youth
-
-origins
-
-Schirach leads
-
-in a torchlight parade
-
-Hoche, Alfred
-
-Hoechst
-
-Hoegner, Wilhelm
-
-Hoffmann, Johannes
-
-Hohenlohe, Chlodwig Fürst
-
-Hohenzollerns
-
-Höhler, Albrecht ‘Ali’
-
-Hohnstein concentration camp, Saxony
-
-Hollaender, Friedrich
-
-Hollywood
-
-Höltermann, Karl
-
-Holy Roman Reich of the German Nation founded by Charlemagne and dissolved by Napoleon
-
-Nazis’ ambition to emulate
-
-and the German Empire
-
-Austria’s membership
-
-Hölz, Max
-
-homelessness
-
-homeopathy
-
-homosexuality
-
-Hoover Moratorium (1931)
-
-Horenstein, Jascha
-
-Horst Wessel Song
-
-Horthy, General Miklós
-
-hospital beds
-
-Höss, Rudolf
-
-background and early life
-
-brutal murder by
-
-joins the Nazi Party
-
-membership of the Artamans
-
-housing
-
-Huber, Florian
-
-Huch, Ricarda
-
-Hugenberg, Alfred
-
-Hungary
-
-short-lived Communist regime (1918)
-
-nation-state formed
-
-hyperinflation
-
-Christianity attacked by Bolshevism
-
-Gömbös refers to himself as a ‘National Socialist’
-
-Horthy government’s antisemitism
-
-‘Hungry Forties’
-
-Husserl, Edmund
-
-hyperinflation see also inflation
-
-
-
-
-
-Idar-Oberstein
-
-I.G. (Industrie-Germesnschaft) Farben
-
-illegitimate children, equal rights for
-
-import tariffs
-
-Impressionism
-
-In Plain German (Auf gut deutsch) political weekly
-
-incurably, the
-
-Independent Social Democratic Party of Germany see also Social Democratic Party of Germany; socialism; socialist movement
-
-industrial revolution
-
-industrialization
-
-industry
-
-Germany a world leader
-
-lack of growth in production (1928-9)
-
-US calls in short-term loans
-
-hardest hit
-
-unprecedented funds from
-
-Industry Club, Düsseldorf
-
-infectious diseases
-
-inflation see also hyperinflation
-
-influenza epidemic (1919)
-
-‘inner emigration’
-
-Institute for Sexual Science, Tiergarten district, Berlin
-
-interest rates
-
-Interior Ministry
-
-‘International Proletarian Women’s Day’ (8 .March)
-
-investment
-
-iron
-
-Iron Curtain
-
-Iron Front
-
-Isherwood, Christopher: Mr Norris Changes Trains
-
-Italy
-
-compared with nineteenth-century Germany
-
-unification (1859-60)
-
-Catholic Concordat
-
-creation of corporate state
-
-fascism
-
-clashes with Germany over the South Tyrol
-
-
-
-
-
-Jacobins
-
-Jankowski, Marie
-
-Jannings, Emil
-
-jazz
-
-Jellinek, Walter
-
-Jesuits
-
-‘Jewish census’ (October 1916)
-
-‘Jewish question’
-
-‘Jewish spirit’
-
-Jews
-
-and capitalism
-
-Nazi hatred of
-
-Jewish-Christian intermarriage
-
-converts to Christianity
-
-name-changes
-
-emigration
-
-population
-
-in business and the professions
-
-and German nationalism
-
-Jewish financiers blamed for economic depression
-
-Libermann von Sonnenberg’s petition
-
-their exclusion from German society advocated
-
-‘the Jews are our misfortune’ phrase
-
-Dreyfus affair
-
-massacred by the ‘Black Hundreds’
-
-Linz Programme (1879)
-
-accused of subverting German art
-
-business interests attacked
-
-women workers
-
-‘Jewish press’
-
-war veterans
-
-and Nationalists
-
-alleged corruption
-
-education
-
-and the judiciary
-
-political support
-
-Hitler’s beliefs
-
-‘to be exterminated’
-
-conspiracy theory
-
-and The Stormer
-
-and German Nationalist Commercial Employees’ Union
-
-Nazis’ pattern of decision-making and implementation
-
-in Dachau
-
-Hitler’s concentration camp warning (1921)
-
-and the German family
-
-exile of health advice clinic staff
-
-and organized crime
-
-civil servants
-
-in the Federation of German Women’s Associations
-
-musicians
-
-purging of artists
-
-scientists dismissed
-
-Jewish shops boycotted
-
-East European Jews’ loss of citizenship
-
-Jiaozhou, China
-
-Joël, Curt
-
-Johst, Hanns: Schlageter (play)
-
-journalism
-
-judiciary
-
-Jünger, Ernst
-
-Storm of Steel
-
-Junker landowning class
-
-juvenile courts
-
-
-
-
-
-Kaas, Prelate Ludwig
-
-Kadeko club, Berlin
-
-Kahr, Gustav Ritter von
-
-Kaiser Wilhelm Society
-
-Kaiserhof Hotel, Berlin
-
-Kakadu nightclub, Berlin
-
-Kalter, Sabine
-
-Kandinsky, Wassily
-
-Kantzow, Karin von
-
-Kapp, Wolfgang
-
-Karl-Liebknecht House, Berlin
-
-Kästner, Erich
-
-Kaufmann, Karl
-
-Kautsky, Karl
-
-Keim, August (army officer)
-
-Keppler, Wilhelm
-
-Kershaw, Professor Sir Ian Hitler
-
-Kessler, Harry Graf
-
-Ketteler, Bishop von
-
-Kirchner, Ernst Ludwig
-
-Klee, Paul
-
-Klemperer, Otto
-
-Klemperer, Victor
-
-Klemt, Eduard
-
-Klepper, Jochen
-
-Knilling, Eugen Ritter von
-
-Koblenz-Trier
-
-Koch-Weser, Erich
-
-Kokoschka, Oskar
-
-Kollwitz, Käthe
-
-Königsberg, East Prussia
-
-Köpenick, Berlin
-
-‘Köpenick Blood-Week’
-
-Koussevitsky, Serge
-
-Krebs, Hans
-
-Krebs, Richard (‘Jan Valtin’)
-
-Krefeld
-
-Kreisler, Fritz
-
-Krenek, Ernst: Jonny Strikes Up
-
-Kroll Opera House
-
-Krupp
-
-Krupp, Alfred
-
-Kun, Bela
-
-Kürten, Peter
-
-
-
-
-
-Labour Ministry
-
-labour movement
-
-labour schemes, compulsory
-
-Lagarde, Paul de
-
-land law reform
-
-land reform
-
-Landauer, Gustav
-
-Landgraf, Georg
-
-Landsberg am Lech fortress gaol
-
-Landshut
-
-Lang, Fritz
-
-Langbehn, Julius
-
-Rembrandt as Educator
-
-language
-
-suppression of ethnic minorities’ languages
-
-German
-
-Lanz von Liebenfels, Jörg Late Romanticism
-
-Latvia
-
-Lausanne Conference (1932)
-
-Law against Sexually Transmitted Diseases (1927; amended 1933)
-
-Law for the Protection of the Republic
-
-Law for the Restoration of a Professional Service (1933)
-
-leadership
-
-strong
-
-myth of the dictatorial leader
-
-Kaas on
-
-‘leadership principle’
-
-League of Antisemites
-
-League of German Maidens
-
-League of National Socialist Lawyers
-
-League of Nations
-
-Lebensraum (‘living-space’)
-
-Leber, Julius
-
-Legien, Carl
-
-Lehmann, Lotte
-
-Leiden
-
-Leipart, Theodor
-
-Leipzig: army officers’ trial (1930)
-
-Leipzig Gewandhaus orchestra
-
-leisure
-
-Lenin, Vladimir Ilyich
-
-on the German Social Democrats
-
-organizes a coup (1917)
-
-peace settlement
-
-and Bolshevik regime in Munich
-
-Lenz, Fritz
-
-Leopold Palace, Wilhelmsplatz, Berlin
-
-Lessing, Gotthold Ephraim: Nathan the Wise (play)
-
-Leuschner, Wilhelm
-
-Levien, Max
-
-Leviné, Eugen
-
-liberal nationalism
-
-liberalism
-
-weak in Eastern and Central Europe by 1914
-
-political
-
-opposed by Italian Fascism
-
-‘Jewish’
-
-liberals
-
-and funding of Prussian military machine
-
-Prussian
-
-and nationalism
-
-new German Empire as fulfilment of their dreams
-
-abandonment of liberal principles
-
-and Catholicism
-
-modest revival
-
-left-wing
-
-back Hindenburg (1932)
-
-see also German Democratic Party; German People’s Party; National Liberals; Progressives
-
-Libermann von Sonnenberg, Max
-
-Liebermann, Max
-
-Liebknecht, Karl
-
-Liege
-
-Lieser, Karl
-
-Lippe
-
-literature
-
-Lithuania
-
-living standards
-
-‘living-space’ see Lebensraum
-
-Lloyd George, David
-
-Löbe, Paul
-
-local authorities
-
-Lochner, Louis
-
-Lorraine
-
-Lorre, Peter
-
-Lossow, General Otto Hermann von
-
-Louis6
-
-Lower Bavaria
-
-lower middle class
-
-Nazis appeal to
-
-Nazi Party members
-
-Lower Silesia
-
-Lübeck
-
-Lüdecke, Kurt
-
-Lüdemann, Hermann
-
-Ludendorff, General Erich
-
-First World War service
-
-‘silent dictatorship’
-
-claims that army was stabbed in the back
-
-during the German Revolution
-
-business funds
-
-and Hitler’s putsch attempt of 1923
-
-Tannenberg League
-
-failure in 1925 elections
-
-Goebbels impressed by
-
-Lüderitz Bay, South-West Africa
-
-Ludwig, Emil
-
-Lueger, Karl
-
-Luther, Martin
-
-Luxemburg, proposed annexation of
-
-Luxemburg, Rosa
-
-
-
-
-
-M: Murderer Amongst Us (film)
-
-Macedonian assassination squads
-
-Macke, August
-
-Magdeburg war memorial
-
-Mahler, Gustav
-
-Malmédy
-
-malnutrition
-
-Mann, Heinrich
-
-The Blue Angel (film)
-
-Man of Straw (novel)
-
-Mann, Thomas
-
-Buddenbrooks (novel)
-
-The Confessions of the Swindler Felix Krull (novel)
-
-Death in Venice (novella)
-
-The Magic Mountain (novel)
-
-Mannheim
-
-manual workers, and unemployment
-
-Marc, Franz
-
-‘March Fallen’
-
-Marr, Wilhelm
-
-invents the word antisemitism
-
-The Victory of Jewry over Germandom Viewed from a Non-confessional Standpoint
-
-marriage
-
-civil
-
-Jewish-Christian
-
-sanctity of
-
-and unemployment
-
-papal encyclical of 1930
-
-martial law
-
-Marx, Karl
-
-Marx, Wilhelm
-
-Marxism/Marxists
-
-class conflict and capitalism
-
-Hitler denounces
-
-Hitler promises to destroy
-
-Maschmann, Melita
-
-masculinity, crisis of
-
-Maurice, Emil
-
-Max von Baden, Fürst
-
-May Day, 1933 (‘Day of National Labour’)
-
-Mecklenburg
-
-medical profession
-
-Meinecke, Friedrich
-
-on Germany’s growing obsession with world power
-
-Germany’s militaristic spirit and industrial might
-
-German narrowly technical education
-
-German nation-state flawed from its foundation
-
-liberal nationalist perspective
-
-and the State Party
-
-Meissner, Otto
-
-Memel
-
-Mendelssohn-Bartholdy, Felix
-
-Mensheviks
-
-mental asylums
-
-mentally handicapped
-
-mentallythe
-
-killing of the
-
-sterilization of the
-
-mergers
-
-meritocracy
-
-Metropolis (film)
-
-Metternich, Clemens Wenzel Lothar Graf
-
-Meyer, Hannes
-
-middle class
-
-‘unpolitical German’ concept
-
-bourgeois values
-
-and Jewish colleagues
-
-youth movement
-
-in Russia
-
-outrage and disbelief at Versailles terms
-
-and inflation
-
-and youth movement
-
-Nazi Party members
-
-frightened of the Communists
-
-and 1930 elections
-
-attitude to Nazi violence
-
-1932 Presidential election
-
-1932 Reichstag elections
-
-expectations of Hitler’s coalition partners
-
-Mies van der Rohe, Ludwig militarism
-
-Ministries of Education
-
-Ministry for Popular Enlightenment and Propaganda
-
-Ministry of Culture, Bavaria
-
-Ministry of Justice
-
-Ministry of Posts and Communications
-
-misogyny
-
-mobilization
-
-‘spiritual’
-
-modernism
-
-modernist culture
-
-Moeller van den Bruck, Arthur
-
-Moholy-Nagy, László
-
-Mommsen, Hans
-
-Mommsen, Theodor
-
-monarchism
-
-monarchy
-
-authoritarian
-
-Habsburg
-
-Hohenzollern
-
-and the Free Corps
-
-Brüning and
-
-Prussian
-
-‘Monist League’
-
-monopolies
-
-Moresnet
-
-Moringen
-
-Moscow
-
-Mosse newspaper empire
-
-Mössingen, Württemberg
-
-Mühsam, Erich
-
-Müller, Georg Alexander von
-
-Müller, Hermann
-
-Müller, Karl Alexander von
-
-Müncheberg
-
-Munich
-
-gun-battles between rival political groups (1923)
-
-revolutionary government
-
-Free Corps invades (1919)
-
-Schwabing district
-
-general strike
-
-Luitpold Gymnasium
-
-‘White’ counter-revolutionary government
-
-playground for extremist political sects
-
-Hitler moves to
-
-Nazi treatment of Ebert
-
-‘People’s Court’
-
-Goebbels’ propaganda headquarters
-
-Communists demonstrate against new cabinet
-
-hostage shootings
-
-Munich Latest News (Münchner Neueste Nachrichten)
-
-Munich Technical High School
-
-Munich University
-
-Münster
-
-Münzenberg, Willi
-
-music
-
-Mussolini, Benito
-
-claims a total control of society
-
-Garibaldi as a model for
-
-Concordat (1929)
-
-launches his Fascist movement
-
-‘March on Rome’ (1922)
-
-appointed Prime Minister
-
-
-
-
-
-Nagy, Kaethe von
-
-Namibia see also German South-West Africa
-
-Napoleon Bonaparte
-
-Napoleon III
-
-Napoleonic wars
-
-National Councils of Women
-
-National Liberals
-
-national organization of artisans and handicraftsmen
-
-National Socialism (Nazism: National Socialist German Workers’ Party)
-
-establishment of a one-party dictatorship in Germany
-
-standard bibliography on
-
-dismissal of Nazi ideology
-
-violent, racist and murderous nature of
-
-little resistance to the Nazi takeover
-
-one of a number of European dictatorships at the time
-
-and big business
-
-triumph of
-
-venomous hatred against Jews
-
-version of German history
-
-opposition to
-
-Nazism and Stalinism compared
-
-roots of Nazi ideology
-
-electoral triumphs (1930-32)
-
-‘one People, one Reich, one Leader’ slogan
-
-antisemitism
-
-racial hygiene
-
-emerges from a political maelstrom of radical ideologies
-
-its rise not inevitable
-
-and a generation enthralled by war
-
-eclectic Nazi ideology
-
-Nationalists’ propaganda and policies prepare the way for
-
-and education
-
-buys the Racial Observer
-
-official Programme (1920)
-
-Hitler becomes Party chairman
-
-banned in most German states
-
-paramilitary wing (‘Gymnastics and Sports Section’)
-
-Mussolini’s example
-
-Nazi salute
-
-splits into factions
-
-Rosenberg put in charge
-
-becomes an illegal organization
-
-in second Reichstag elections (1924)
-
-Hitler refounds
-
-‘socialist’ aspects of Nazi ideology
-
-start of Party rallies
-
-new structure
-
-membership
-
-and the farming community
-
-takes over its first municipality
-
-‘blood and soil’
-
-Young Plan campaign
-
-hatred of the Communists
-
-idealism
-
-promise to end political divisions
-
-cult of violence
-
-despises the law
-
-funding
-
-respectable face of
-
-1930 elections
-
-a catch-all party of social protest
-
-vague programme
-
-official anthem
-
-statistics of clashes with Communists
-
-Presidential election (1932)
-
-state elections (1932)
-
-becomes Germany’s most popular party
-
-July 1932 Reichstag elections
-
-November 1932 Reichstag elections
-
-in decline
-
-gains two major offices of state
-
-crackdown on Communists
-
-and Catholicism
-
-takeover of the federated states
-
-hatred of modern and atonal music
-
-Party Propaganda office
-
-disposal of ‘cultural Bolshevism’
-
-racist language
-
-arrests of journalists
-
-view of art
-
-Nazi ideology
-
-contempt for democratic institutions
-
-National Socialist Factory Cell Organization
-
-National Socialist German Students’ League
-
-National Socialist Revolution
-
-National Socialist School Pupils’ League
-
-National Socialist Teachers’ League
-
-National Socialist War Victims’ Association
-
-National Socialist Women’s Organization (NS-Frauenschaft)
-
-nationalism
-
-liberal
-
-Herder and
-
-Bismarck and
-
-liberals and
-
-in Europe
-
-increasingly vociferous
-
-Jews and
-
-extreme
-
-associations
-
-and Allied occupation of western Germany (1920s)
-
-in universities
-
-and socialism
-
-Bormann and
-
-German
-
-Nationalist Party
-
-‘Fighting Leagues’ founded
-
-formed
-
-representation in the Reichstag
-
-propaganda and policies prepare the way for Nazism
-
-programme becomes more right wing
-
-harks back to the Bismarckian Empire
-
-snobbery and elitism
-
-in the hands of enemies of democracy
-
-financial donations to
-
-and the press
-
-vilifies Hirschfeld
-
-antisemitism
-
-and black French colonial troops
-
-Bad Harzburg declaration
-
-and the Grand Coalition
-
-in 1930 elections
-
-backs Hitler
-
-July 1932 Reichstag elections
-
-radical wing enters the government (1933)
-
-and the torchlit parade in Berlin
-
-March 1933 elections
-
-protest about destruction of the legal order
-
-pact with People’s Party
-
-coalition with the Nazis
-
-renamed
-
-dissolution of student and youth organizations
-
-Hugeriberg’s resignation
-
-‘Friendship Agreement’
-
-and Steel Helmets’ incorporation into the SA
-
-‘nationalist revolution’
-
-Nationalists (Spain)
-
-nationalization
-
-Navy Laws
-
-Navy League
-
-Nazi salute
-
-Nazification
-
-of theservice
-
-of Northeim town council
-
-government of Saxony
-
-film workers
-
-Ministries of Education
-
-universities
-
-Neithardt, Georg
-
-Netherlands
-
-Neu-Isenburg
-
-Neukölln, Berlin
-
-Neumann, Franz
-
-Neumann, Heinz
-
-Neurath, Konstantin Freiherr von
-
-New Guinea
-
-‘New Objectivity’ (Neue Sachlichkeit)
-
-New York Philharmonic Orchestra
-
-New York Stock Exchange crash (1929)
-
-New York Times
-
-Nibelungen, The (film)
-
-Nicholas, Tsar
-
-Niederstetten
-
-Nietzsche, Friedrich
-
-Wagner compared to
-
-‘will to power’ concept
-
-‘superman’ concept
-
-ideal human being concept
-
-interpreted by his sister Elisabeth
-
-spiritual elitism
-
-Night Edition (Nachtausgabe) newspaper
-
-Nikolaus, Paul
-
-Noakes, Jeremy
-
-Nolde, Emil
-
-Nordic legend
-
-Nordic racial ideas
-
-Nordic supremacist groups
-
-Noreia, battle of
-
-North German Confederation
-
-North Sea
-
-Northeim
-
-Northeim Sports Club
-
-Noske, Gustav
-
-‘November criminals’/‘November traitors’/ ‘Novembrists’
-
-Nuremberg
-
-huge parade of paramilitaries
-
-Party Rally of 1929
-
-Nuschke, Otto
-
-
-
-
-
-Oberfohren, Ernst
-
-Oberhausen
-
-occultism
-
-‘occupational chambers’
-
-‘October Revolution’ see Russian Revolution (1917)
-
-Oldenburg
-
-Opel car factory
-
-operas
-
-Oppenheimer, Max (Max Ophüls)
-
-Oranienburg concentration camp
-
-‘Organization Escherich’
-
-orphans
-
-Ossietzky, Carl von
-
-Ostara (Zeitung für blonde Menschen): Newspaper for Blond People
-
-Ottoman Empire
-
-
-
-
-
-Pabst, G.W.
-
-Pacelli, Eugenio (later Pope Pius) see also Pope, the
-
-pacifism
-
-Pan-German Association
-
-Pan-German League (previously General German League)
-
-Pan-Germanism
-
-of Schönerer
-
-and German-speaking minorities
-
-extremists
-
-Hugenberg a leading light in
-
-antisemitism
-
-Hitler influenced by
-
-‘living-space’ theory
-
-Pandora’s Box (film)
-
-Papen, Franz von
-
-appointed Reich Chancellor
-
-and the Centre Party
-
-aims to roll back history
-
-curbs the radical press
-
-his cabinet
-
-coup of 20 July 1932
-
-Reich Commissioner, Prussia
-
-bans public political meetings
-
-death penalty decree
-
-reluctant to accept Hitler as Chancellor
-
-Communist motion of no-confidence in the government
-
-resignation
-
-Schleicher’s repeal of his wage and benefit cuts
-
-and plan to oust Schleicher
-
-becomes Vice-Chancellor
-
-expects to be able to control Hitler
-
-demands Centre Party’s dissolution
-
-lack of commitment to democracy
-
-condemns Hugenberg’s behaviour
-
-and Jewish loss of citizenship
-
-parenthood
-
-parents’ associations
-
-Paris
-
-parliamentarism
-
-Pasewalk military hospital, Pomerania
-
-Pavlov, Ivan
-
-pensions
-
-People’s Association for a Catholic Germany
-
-People’s Courts
-
-People’s Party
-
-Peters, Carl
-
-Petrograd
-
-Peukert, Detlev: Inside Nazi Germany (book)
-
-Pfeffer von Salomon, Franz
-
-Pfitzner, Hans
-
-Pfiilf, Antonie
-
-physically unfit
-
-killing of
-
-Pieck, Wilhelm
-
-Pietzuch, Konrad
-
-Pilsudski, General
-
-Plus, Pope see also Pope, the
-
-Plus, Pope see Paselli, Eugenio
-
-Planck, Max
-
-Plättner, Karl
-
-Pleasure Gardens, Berlin
-
-Ploetz, Alfred
-
-Plötzensee prison, Berlin
-
-pogroms
-
-poison gas
-
-Poland
-
-former Kingdom of
-
-Germany conquers (1915)
-
-creation of new Polish state
-
-hyperinflation
-
-industrial production
-
-and the Wartburg Festival
-
-police
-
-total control by
-
-Metternich’s system
-
-military models of behaviour
-
-and Social Democrats
-
-end of controls (1918)
-
-Nazi resentment against
-
-and Communists
-
-political
-
-bias of
-
-professionalization
-
-sympathy with Nazi attacks on Weimar Republic
-
-Prussian
-
-auxiliary
-
-allowed to detain people indefinitely
-
-and forcible suppression of the labour movement
-
-and torture
-
-and trade unions
-
-and homosexuality
-
-and prostitution
-
-sex reformer meetings banned
-
-and Berlin’s ‘ring associations’
-
-and the press
-
-Polish Corridor
-
-Polish ethnic minority
-
-attempts at Germanization of
-
-in Russia
-
-Pomerania
-
-poor relief
-
-Pope, the
-
-Syllabus of Errors (1864)
-
-Declaration of Papal Infallibility (1871)
-
-1930 encyclical
-
-see also Pius; Pius
-
-population
-
-pornography
-
-Portugal
-
-Posen
-
-Post Office
-
-post-Impressionism
-
-Potempa, Upper Silesia
-
-Potsdam
-
-Potsdam station, Berlin
-
-poverty
-
-Prague
-
-Presidential office, abolition of (1934)
-
-press
-
-‘boulevard press’
-
-and business
-
-political
-
-popular
-
-tabloid
-
-Goebbels’ articles
-
-Nazi
-
-freedom compromised
-
-bans
-
-Catholic
-
-reports of violence towards German population
-
-musical
-
-‘Jewish’-dominated
-
-Communist
-
-Social Democratic
-
-press conferences
-
-Pretzel, Raimund (‘Sebastian Haffner’)
-
-Preuss, Hugo price reductions
-
-Princeton University
-
-printing technology
-
-prisons
-
-productivity
-
-profiteers
-
-Progressives
-
-propaganda
-
-enthusiasm whipped up by
-
-directed at the masses
-
-continuous and unvaried in its message
-
-racist
-
-directed at the farming community
-
-Party Rally of 1929
-
-and German Women’s Order
-
-antisemitic
-
-increased sophistication of Nazi propaganda
-
-Communist
-
-in 1930 elections
-
-directed at workers
-
-and Horst Wessel
-
-in the Presidential election (1932)
-
-July 1932 Reichstag election
-
-November 1932 Reichstag election
-
-of an imminent ‘German Bolshevik Revolution’
-
-in the musical press
-
-Goebbels defines
-
-and radio
-
-‘atrocity’
-
-property
-
-illegal confiscation of
-
-appropriation legalized
-
-Einstein’s property seized
-
-bomb attacks on Jewish property
-
-proportional representation
-
-prosecution service
-
-prostitution
-
-Protestant church
-
-Protestantism
-
-Protocols of the Elders of Zion, The (Tsarist police forgery)
-
-Prussia
-
-and the Holy Roman Reich
-
-1848 Revolution
-
-funding of its military machine
-
-expanding state
-
-army impacts on society in
-
-landed aristocracy undermined
-
-tensions with the Reich
-
-moderate, pro-republican governments
-
-Social Democrats’ policy
-
-curbing of autonomy
-
-civil service
-
-bureaucratic paternalism
-
-Hitler’s ban
-
-Minister-President
-
-virtues
-
-political clashes (1932)
-
-state elections (1932)
-
-Papen’s coup ofJuly 1932
-
-Papen appointed Reich Commissioner
-
-Prussian parliamentary elections (April 1932)
-
-and the Communist Party’s Central Committee
-
-arrests in (March-April)
-
-judiciary
-
-purge of artists
-
-Prussian Academy of the Arts
-
-Prussian Academy of Sciences
-
-Prussian Health Council
-
-Prussian Interior Ministry
-
-Prussian State Bank
-
-Prussianism
-
-public welfare
-
-Puppe (storm leader)
-
-
-
-
-
-racial hygiene, racial hygienists
-
-Racial Hygiene Society
-
-Racial Observer (Völkischer Beobachter) newspaper
-
-racial utopia
-
-racism
-
-opposition to
-
-Pan-German
-
-and black musicians
-
-and colonial troops
-
-of Gobineau
-
-Radek, Karl
-
-radio
-
-Ragnitz commune, East Prussia
-
-railways
-
-Rathenau, Emil
-
-Rathenau, Walther
-
-rationalization
-
-Rauschning, Hermann
-
-rearmament
-
-Red Army (Germany)
-
-Red Army (Russia)
-
-Red Cross
-
-Red Flag (Rote Fahne) newspaper
-
-Red Front-Fighters’ League
-
-‘Red Swastika’
-
-Reformation
-
-Reich, Wilhelm
-
-Reich Association of German Industry
-
-Reich Association of the German Press
-
-Reich Chancellor
-
-office created by Bismarck
-
-aservant beholden to the Kaiser
-
-Brüning appointed
-
-Hitler sworn in
-
-Reich Corporation of German Industry
-
-Reich Council
-
-Reich Court
-
-Reich Criminal Code
-
-Reich Defence Council
-
-Reich Film Chamber
-
-Reich Land League
-
-Reich Law for the Restoration of a Professional Civil Service
-
-Reich Press Office
-
-Reich Radio Company
-
-Reich Supreme Court, Leipzig
-
-Reich War Flag
-
-Reichenau, Colonel Walther von
-
-Reichsbank
-
-Reichsbanner Black-Red-Gold
-
-Reichsrat
-
-Reichstag
-
-derives from the Holy Roman Reich
-
-growth of influence
-
-and army budget
-
-debate on army behaviour
-
-Ahlwardt elected to
-
-approves expansion of German navy
-
-sidelining or elimination of
-
-parliamentary proceedings degenerate
-
-Ebert enters
-
-President’s power to dissolve (Article)
-
-proportional representation
-
-Criminal Law Reform Committee
-
-and Hindenburg’s emergency powers
-
-Bruning and
-
-sits less and less often
-
-dissolved (July 1932)
-
-Göring’s cavalier treatment of
-
-marginalized
-
-Schleicher’s plans
-
-Communist seats (1933)
-
-Reichstag fire
-
-state opening at Potsdam
-
-Reichstag elections see under elections
-
-Reichstag fire decree
-
-‘Reign of Terror’ (Jacobins)
-
-Reiner, Fritz
-
-Reinhardt, Max
-
-Reinhardt, General Walther
-
-religion
-
-abolished in Russia
-
-the religious divide
-
-Remarque, Erich Maria
-
-All Quiet on the Western Front (novel and film)
-
-Rentenmark
-
-reparations
-
-representative government
-
-Republican Defence Units
-
-Rhine district
-
-Rhine river
-
-Rhineland
-
-and Treaty of Versailles
-
-French-backed separatists
-
-colonial troops in
-
-Goebbels’ role in
-
-Richthofen, Manfred Freiherr von (Red Baron)
-
-Riezler, Kurt
-
-right of assembly and association
-
-‘ring associations’
-
-Ritter von Epp, Colonel Franz
-
-Ritter von Seisser, Hans
-
-‘Roaring Twenties’
-
-Rockefeller Foundation
-
-Rohlfs, Christian
-
-Röhm, Ernst
-
-Romania
-
-Romanov empire
-
-Rome, march on
-
-Rosenberg, Alfred
-
-The Myth of the Twentieth Century
-
-Rothschild family
-
-Rousseau, Jean-Jacques
-
-Roxy nightclub, Berlin
-
-Royal Navy
-
-Ruck, Michael
-
-Rückert, Erwin
-
-Rüdin, Ernst
-
-Ruhr
-
-Rumbold, Sir Horace
-
-Russelsheim, near Frankfurt
-
-Russia
-
-authoritarian monarchy
-
-compared with Germany before the First World War
-
-seen as a land of backwardness and barbarism
-
-Tsar replaced by a Provisional Government
-
-Bolshevik coup (1917)
-
-civil war
-
-‘Red Terror’ (1918-21)
-
-war deaths
-
-antisemitic pogroms
-
-Christianity attacked by Bolshevism
-
-and Hitler’s ‘living-space’ aim
-
-see also Soviet Union
-
-Russian armies
-
-Russian Revolution (1905)
-
-Russian Revolution (1917) (‘October Revolution’)
-
-Russo-Polish War
-
-Rust, Bernhard
-
-
-
-
-
-SA see ‘Storm Division’
-
-Saarland
-
-St Petersburg
-
-St Quentin
-
-Sax, Adolphe
-
-Saxony
-
-Saxony-Anhalt
-
-Schacht, Hjalmar
-
-Schallmeyer, Wilhelm
-
-Schemann, Ludwig
-
-Scherl newspaper firm
-
-Scheubner-Richter, Max Erwin von
-
-Schicklgruber (Hitler), Alois (Hitler’s father)
-
-Schicklgruber, Maria (Hitler’s paternal grandmother)
-
-Schiele, Martin
-
-Schiff, Else
-
-Schinkel, Karl Friedrich
-
-Schirach, Baldur von
-
-background
-
-and brother’s suicide
-
-converted to Nazism
-
-poetry by
-
-joins National Socialist German Students’ League
-
-leads the Hitler Youth
-
-devotion to Hitler
-
-Schlageter, Albert Leo
-
-Schleicher, General Kurt von
-
-Schlemmer, Eva
-
-Schlemmer, Oskar
-
-Schleswig
-
-Schleswig-Holstein
-
-Schlotterbeck, Friedrich
-
-Schmidt-Rottluff, Karl
-
-Schmitt, Carl
-
-Schnabel, Artur
-
-Schoenberg, Arnold
-
-Scholtz-Klink, Gertrud
-
-Schönerer, Georg Ritter von
-
-Schrader, Karl
-
-Schreck, Julius
-
-Schreker, Franz
-
-Schrödinger, Erwin
-
-Schuler, Alfred
-
-Schultze-Naumburg, Paul: Art and Race
-
-Schumacher, Kurt
-
-Schurtz, Heinrich
-
-Schuster, Joseph
-
-Schutz, Walter
-
-Schwerin von Krosigk, Lutz Graf
-
-Schwesing, Schleswig-Holstein
-
-Scientific-Humanitarian Committee
-
-Second Reich
-
-Second World War
-
-secret ballot
-
-secularization
-
-of thought
-
-of education
-
-Sedan, battle of
-
-Seeckl, General Hans Yon
-
-Seldte, Franz
-
-self-employed, and 1930 elections
-
-Selz, Otto
-
-serfdom
-
-Serkin, Rudolf
-
-service sector
-
-‘Seven Weeks’ War’ (1866)
-
-Severing, Carl
-
-sex counselling clinics
-
-sexual freedom
-
-sexual reform movement
-
-shares
-
-Shirer, William.
-
-The Rise and Fall of the Third Reich
-
-shooting societies
-
-Siebeck, Richard
-
-Siemens
-
-Siemens (electricity company boss)
-
-Silesia
-
-single mothers
-
-slave labourers
-
-Slavic East
-
-Slavs
-
-and Lebensraum
-
-supposedly inferior and uncivilized
-
-and the Nordic race
-
-and ‘Germanizing’ of Eastern Europe
-
-social biology
-
-Social Darwinism
-
-Social Democratic Party of Germany
-
-formed
-
-membership
-
-success in 1912 election
-
-gulf between it and ‘bourgeois’ parties
-
-institutional structure
-
-suppression of
-
-and police
-
-and the industrial working class
-
-and antisemitism
-
-principles
-
-splits into factions
-
-and the Communist Party
-
-opposes German Fatherland Party
-
-Reichsbanner Black-Red-Gold founded
-
-and the Free Corps
-
-and a Red Army of workers
-
-Majority wings
-
-Marxist ideology
-
-main strength of
-
-representation in the Reichstags
-
-bulwark of democracy in the Republic
-
-and Grand Coalitions
-
-and the presss
-
-puritanical view of personal relationships
-
-and education
-
-Law for the Protection of the Republic
-
-and Bismarck’s reforms
-
-egalitarianism
-
-mass demonstrations in Vienna
-
-Hitler opposes
-
-Erfurt Programme (1891)
-
-part of a broad coalition (1923)
-
-and farming community
-
-Nazi hatred of
-
-and the new cabinet
-
-Brüning and
-
-in 1930 elections
-
-backs Hindenburg (1932)
-
-loses touch with political reality
-
-impotence of
-
-July 1932 Reichstag elections
-
-November 1932 Reichstag elections
-
-lack of response to the Nazi threat
-
-March 1933 elections
-
-press ban
-
-officials imprisoned in concentration camps
-
-concentration camp warning
-
-and the Enabling Act
-
-and the trade unions
-
-May Day, 1933
-
-destruction of
-
-supports the government on disarmament
-
-Nazi determination to destroy it
-
-lawsuit against Papen
-
-see also Independent Social Democratic Party of Germany; socialism; socialist movement
-
-social deviants
-
-sterilization of
-
-graded as ‘low quality’
-
-social hygiene
-
-Social Revolutionaries (Russia)
-
-social welfare
-
-social work
-
-socialism
-
-and Jews
-
-and nationalism
-
-and antisemitism
-
-opposed by Italian Fascism
-
-Socialist International
-
-socialist movement
-
-law-abiding
-
-and Anti-Socialist Law (1878)
-
-forms Social Democratic Party
-
-Society for the Eastern Marches
-
-Society for German Colonization
-
-soldiers’ councils
-
-Sollmann, Wilhelm
-
-Solmitz, Louise
-
-Somme, Battle of the
-
-‘Song of the Storm Columns’
-
-‘Song Stave’
-
-Sonnemann, Emmy
-
-Sonnenburg penal camp
-
-Sorbs
-
-South Tyrol
-
-South-West Africa
-
-Soviet bloc, former: new documents discovered
-
-Soviet Communist Party
-
-Politbureau
-
-Central Committee
-
-Soviet Union
-
-Soviet regime’s grip on Communist parties
-
-German army’s training sessions in
-
-and hyperinflation
-
-Thälmann’s faith in
-
-Blomberg visits
-
-Stalin unleashes a reign of terror see also Russia
-
-Spahn, Martin
-
-Spain
-
-‘clerico-fascist’ regime
-
-Spandau
-
-Spanish army
-
-SpanishWar
-
-Spartacist uprising (Berlin, January 1919)
-
-Spengler, Oswald
-
-The Fall of the West
-
-Spoliation Advisory Panel
-
-sports clubs
-
-SS (Schutzstaffel; Protection Squad)
-
-Himmler appointed its head
-
-membership
-
-independence
-
-structure
-
-collects confidential information
-
-poised to tackle internal disobedience
-
-beaten up in Berlin
-
-torchlit parades
-
-triumphant parades and processions of
-
-‘auxiliary police’ force
-
-torture of Sollmann
-
-swastika raised on official buildings
-
-runs Dachau
-
-torture methods
-
-and Social Democrats
-
-and trade unions
-
-and Galen’s installation as bishop
-
-town halls occupied
-
-prosecutions
-
-camp guards
-
-and book-burning
-
-Stadelheim gaol, Munich
-
-Stalin, Josef
-
-unleashes a reign of terror
-
-components of his new political order
-
-and Trotsky
-
-Stalinism: compared with Nazism
-
-Standard Oil
-
-Stassfurt
-
-state, the
-
-downgrading the importance of
-
-growing interference in labour relations
-
-centralization of
-
-and Reichstag elections (5 March 1933)
-
-State Court
-
-State Party (previously the Democrats) see German Democratic Party
-
-Staudinger, Hermann
-
-steel
-
-Steel Helmets: League of Front-Soldiers
-
-forcibly incorporated into the SA
-
-functions
-
-renamed
-
-Stegerwald, Adam
-
-Steinmann, Vicar-General
-
-Stelling, Johannes
-
-Stennes, Walther
-
-sterilization, compulsory
-
-Stinnes, Hugo
-
-Stock Exchange
-
-Stöcker, Adolf
-
-founds an antisemitic Christian Social Party
-
-history of modern antisemitism in Germany begins with him
-
-Stocker, Helene
-
-‘Storm Division’ (Sturmabteilung, or SA; stormtroopers)
-
-built up by Röhm
-
-Goring replaces
-
-Kahr meeting broken up
-
-an illegal organization
-
-reconstituted
-
-subordinated to the Party
-
-cuts links with other paramilitary groups
-
-putsch of 1923
-
-Party rally (July 1926)
-
-Wessel in
-
-and Goebbels
-
-and soup kitchens
-
-Bormann and
-
-the ‘murderers’ storm’
-
-‘Marxists’ as the enemy
-
-fanaticism and hatred
-
-idealism
-
-Abel interviews
-
-under Röhm
-
-‘Assault Squad’
-
-SS collects information on
-
-and Communists
-
-Wessel a brownshirt activist
-
-‘Song of the Storm Columns’
-
-violence at a Goring meeting
-
-harassment of Buchwitz
-
-Pfeffer von Salomon fired
-
-Röhm takes over
-
-oath of allegiance
-
-Boxheim documents
-
-membership statistics
-
-police raid brownshirt premises
-
-Communists attempt to stop their march
-
-ban lifted
-
-Pietzuch murder
-
-Hitler supports their brutal violence
-
-Hindenburg on
-
-and Hitler’s appointment (1933)
-
-‘auxiliary police’
-
-and trade unions
-
-Eisleben street battle
-
-and Social Democrats
-
-Centre Party meetings attacked
-
-as auxiliary police
-
-violence against individuals
-
-hatred of Bolsheviks
-
-prepared to seize power
-
-thefts by
-
-5 March 1933 elections
-
-makeshift gaols and torture centres
-
-torture by
-
-‘wild’ arrests by
-
-Hitler’s exhortation
-
-‘phenomenal discipline’ of
-
-and trade unions
-
-brass bands
-
-‘Köpenick Blood-Week’
-
-death of Stelling
-
-Galen’s consecration
-
-Hitler’s threat
-
-Steel Helmets forcibly incorporated into
-
-attack on Hirschfeld’s Institute
-
-book-burning
-
-civil servants and mayors forced out of office
-
-extortion
-
-disruption of a Busch concert
-
-Sonnenburg penal camp
-
-bomb attacks on Jewish property
-
-and boycott of Jewish shops
-
-levels of violence
-
-prosecution of
-
-concept of revolution
-
-Stormer, The (Der Stürmer) newspaper
-
-Strasser, Gregor
-
-middle-class background
-
-arrested after putsch attempt
-
-elected to Bavarian Parliament
-
-a talented administrator
-
-his idea of socialism
-
-shocked at Hitler’s tough stance
-
-Reich Propaganda Leader of the Party
-
-1928 elections
-
-and women’s organizations
-
-and embryonic Nazi social order
-
-and Himmler
-
-prepared to criticize Hitler
-
-disowns his brother
-
-extravagant tastes
-
-resignation
-
-ideological position
-
-Strasser, Otto
-
-Strauss, Richard
-
-The Egyptian Helena (opera)
-
-Intermezzo (opera)
-
-Streicher, Julius
-
-Stresemann, Gustav
-
-Stumm, Karl Ferdinand von
-
-submarine warfare
-
-Swakopmund, South-West Africa
-
-swastika symbol
-
-Sweden
-
-Switzerland
-
-Syllabus of Errors (1864)
-
-
-
-
-
-Tanganyika
-
-Tannenberg, Battle of
-
-Tannenberg League
-
-taxation
-
-Taylor, Alan
-
-‘Taylorism’
-
-teachers
-
-technology
-
-Tempel, Wilhelm
-
-Tempelhof field, Berlin
-
-Tempo newspaper
-
-Testament of Dr Mabuse, The (film)
-
-Thälmann, Ernst
-
-theatre
-
-thieves
-
-Third Reich
-
-origins
-
-electoral success
-
-massive political violence
-
-unleashing of a ruthless and destructive war of conquest
-
-‘unpolitical German’ concept
-
-three phases of research
-
-radical right’s enthusiasm for
-
-and the Thule Society
-
-links to the First and Second Reichs
-
-thought
-
-secularization of
-
-freedom of
-
-Thule Society
-
-Thuringia
-
-Thurn und Taxis, Gustav-Franz Prince von
-
-Thyssen, Fritz
-
-Tietjen, Heinz
-
-Tietz department store chain
-
-Tietz family
-
-Tille, Alexander
-
-Tiller Girls
-
-time-and-motion studies
-
-Tirpitz, Alfred von
-
-Togoland
-
-Toller, Ernst
-
-Torgler, Ernst
-
-Toscanini, Arturo
-
-totalitarianism
-
-trade unions
-
-Treblinka concentration camp
-
-Treitschke, Heinrich von
-
-Trier, Bishop of
-
-Trotsky, Leon
-
-Tsarist Empire
-
-Tucholsky, Kurt
-
-
-
-
-
-UFA (Universum-Film-Aktiengesellschaft, Universal Film Company) film production company Uhu nightclub, Berlin
-
-Ulbricht, Walter
-
-Ullstein press empire
-
-Ultramontane newspapers and magazines
-
-Ultramontanism
-
-‘un-German spirit’
-
-unemployment
-
-benefits
-
-United Kingdom
-
-war deaths
-
-see also Britain
-
-United Nations
-
-United States of America
-
-Jewish emigration to
-
-failure of railway investments
-
-in First World War
-
-and Young Plan
-
-influence of
-
-New York Stock Exchange crash (1929)
-
-investment by
-
-cuts its foreign lending
-
-jazz
-
-United States Steel
-
-United Steelworks
-
-universal manhood suffrage
-
-universities
-
-University of Naples
-
-upper class
-
-bourgeois values
-
-in Russia
-
-outrage and disbelief at Versailles terms
-
-Nazi Party members
-
-Upper Silesia
-
-
-
-
-
-vagrants
-
-van der Lubbe, Marinus
-
-Vatican
-
-antisemitism
-
-Concordat with Mussolini’s Fascist regime (1929)
-
-support of Dolfuss’ ‘clerico-fascist’ dictatorship
-
-support of the Spanish Nationalists
-
-and the Enabling Act
-
-Concordat
-
-Verdi, Giuseppe: Rigoletto
-
-Verdun, battle of
-
-Vermeil, Edmond
-
-Versailles: proclamation of the new German Empire (1871)
-
-Versailles, Treaty of (1919)
-
-terms of
-
-restrictions on the army
-
-Steel Helmets denounce
-
-determination to overthrow its provisions
-
-signatories
-
-Nationalists’ demands
-
-Weimar Republic blamed
-
-national revision of
-
-‘fulfilment’ policy
-
-Hitler wants revision of
-
-and Austro-German attempt at customs union
-
-Hitler promises to fight it
-
-security provisions of
-
-veterans’ clubs
-
-Vienna
-
-Vienna Philharmonic Orchestra
-
-Vienna Ring Theatre
-
-Viennese Academy of Art
-
-Viernstein, Theodor
-
-violence
-
-during inflation
-
-in art and film
-
-Röhm’s penchant for mindless violence
-
-Hitler’s use of physical violence to further his ends
-
-a way of life for Nazi activists
-
-at the heart of the Nazi movement
-
-celebration of brute physical force
-
-statistics
-
-severe at election times
-
-sharp escalation of
-
-people become inured to political violence
-
-Virchow, Rudolf
-
-
-
-
-
-Wäckerle, Hilmar
-
-Wagener, Otto
-
-wages
-
-dispute in iron and steel industry
-
-payment in kind
-
-company spending
-
-reduction
-
-Wagner, Adolf
-
-Wagner, Cosima
-
-Wagner, Richard
-
-epic music-dramas
-
-a cultural antisemite
-
-favours assimilation of Jews
-
-increasingly racist
-
-wants Jews excluded from German society
-
-and Nietzsche
-
-influences Hitler
-
-The Twilight of the Gods
-
-Judaism in Music
-
-Parsifal
-
-Ring cycle
-
-Tannhäuser
-
-Wagner, Robert
-
-Waldoff, Claire
-
-Walter, Bruno
-
-war disabled
-
-War Ministry
-
-War Office
-
-war widows
-
-Wartburg Festival
-
-Wartburg, Thuringia
-
-Waterloo, battle of (1815)
-
-Weber, Helene
-
-Weber, Max
-
-Webern, Anton von
-
-Wedding quarter, Berlin
-
-Wedekind, Frank: Spring’s Awakening (play)
-
-Weill, Kurt
-
-The Silver Sea (opera)
-
-The Threepenny Opera
-
-Weimar
-
-Weimar Art Academy
-
-Weimar Republic
-
-collapse of
-
-and origins of the Third Reich
-
-violence on the streets
-
-Ebert steers it into being
-
-constitution
-
-Reich President
-
-power to rule by decree (Article)
-
-Ebert’s hasty compromises
-
-Hindenburg elected President
-
-frequent changes of government
-
-coalition government
-
-strengths in foreign affairs, labour and welfare
-
-federal structure
-
-‘Weimar coalition’
-
-Communists’ opposition to
-
-Kapp putsch (1920)
-
-blamed for Versailles
-
-inflation
-
-and the press
-
-growth of antisemitism
-
-enters its final turbulent phase (1932)
-
-better freedom and equality for Jews
-
-political divisions
-
-Nazi attacks on
-
-Wels defends its achievements
-
-musical modernism
-
-‘cultural Bolshevism’
-
-‘Jewish-Bolshevist success’
-
-press conferences
-
-Nazi determination to destroy it
-
-Weimar School of Arts and Crafts
-
-Weimar state museum
-
-Weiss, Bernhard
-
-Weissenfels
-
-welfare agencies
-
-welfare system
-
-Welier-ter-Meer
-
-Wels, Otto
-
-Weng, Landshut District
-
-Wertheim brothers
-
-Wessel, Horst
-
-West Prussia
-
-Westarp, Countess Heila von
-
-Westarp, Kuno Graf von
-
-Western Front
-
-‘Western League’
-
-Westphalia
-
-Wheeler-Bennett, John
-
-‘white terror’
-
-white-collar workers
-
-unemployment
-
-and 1930 elections
-
-‘Whites’
-
-Wiefelstede, Weser-Ems constituency
-
-Wiesbaden
-
-Wilder, Billy
-
-Wilhelm, Kaiser
-
-Wilhelm, Kaiser
-
-personality
-
-and Bismarck’s resignation
-
-annual proclamation (1918)
-
-claims that army was stabbed in the back
-
-abdication
-
-war crimes issue
-
-in exile
-
-and German education
-
-Wilhelmine Reich see also German Reich
-
-Wilson, Woodrow
-
-his ‘Fourteen Points’
-
-Windthorst League
-
-Wirth, Josef
-
-Woltmann, Ludwig
-
-women
-
-suffrage
-
-workers
-
-and Italian fascism
-
-Nazi Party membership
-
-tendency to live longer than men
-
-Woolworth’s
-
-‘work-shy’
-
-workers’ councils
-
-working class
-
-growing self-assertion
-
-opposes antisemitism
-
-impact of Versailles terms
-
-and Marxism
-
-industrial
-
-Nazi Party members
-
-support of Social Democrats
-
-of Berlin
-
-Working Community of Patriotic Fighting Leagues
-
-World in the Evening (Welt am Abend) newspaper
-
-World League for Sexual Reform
-
-World Stage, The (Die Weltbühne)
-
-magazine
-
-Worms
-
-Wuppertal
-
-Württemberg
-
-
-
-
-
-Young German Order
-
-Young Plan
-
-Youth League of the National Socialist German Workers’ Party
-
-youth movement
-
-youth welfare
-
-Yugoslavia
-
-
-
-
-
-Zander, Elsbeth
-
-Zanzibar
-
-Zemlinsky, Alexander von
-
-Zweig, Arnold
-
-
-
-1. The pseudo-medievalism of the Bismarck memorial in Hamburg, unveiled in 1906, promises a revival of past German glories under a new national leader.
-
-
-
-
-
-2. Antisemitic postcard from ‘the only Jew-free hotel in Frankfurt’, 1887. Such attitudes were a new phenomenon in the 1880s.
-
-
-
-3. (top) The promise of victory: German troops advance confidently across Belgium in 1914.
-
-4. (middle) The reality of defeat: German prisoners of war taken by the Allies at the Battle of Amiens, August 1918.
-
-5. (bottom) The price to be paid: the skeletons of German warplanes scrapped in fulfilment of the 1919 Treaty of Versailles.
-
-
-
-6. (top) Descent into chaos: a street battle in Berlin during the ‘Spartacist uprising’ of January 1919.
-
-7. (right) Revenge of the right: a Free Corps lieutenant in charge of a firing squad photographs his irregulars with the ‘Red Guardist’ they are about to execute during their bloody suppression of the Munich Soviet, May 1919.
-
-
-
-8. A racist cartoon in a German satirical magazine highlights the murders, robberies and sex offences supposedly committed by French colonial troops during the Ruhr occupation of 1923.
-
-
-
-
-
-9. The hyperinflation of 1923: ‘So many thousand-mark notes for just one dollar!’
-
-
-
-10. The balance-sheet of reparations, 1927: 14,000 suicides in Germany are the result, according to a satirical periodical, of economic hardship caused by the financial burden imposed on the country by the Treaty of Versailles.
-
-
-
-11. The Roaring Twenties in Berlin: artist Otto Dix’s bitter view of German society in 1927-28; war veterans are forced out to the margins, while women of easy virtue and their clients live it up at a jazz party.
-
-
-
-12. The beer-hall putsch: armed Nazi stormtroopers wait outside Munich city hall, November 1923, for the takeover that never came.
-
-
-
-13. Hitler relaxing, but not drinking, with his friends in a Munich beer-cellar in 1929. Gregor Strasser is on the far left.
-
-
-
-14. Hitler leads a street march at an early Nazi Party rally in Weimar, 1926, while stormtroopers clear the way. A hatless Rudolf Hess can be seen to his left, with Heinrich Himmler directly behind.
-
-
-
-15. The face of fanaticism: stormtroopers listen to a speech at an open-air rally, 1930.
-
-16. The Communist threat: criminality, poverty and extreme left-wing commitment often went together, to the alarm of middle-class voters, as in this slum district of Hamburg during an election campaign in 1932.
-
-
-
-
-
-17. The futility of Brüning’s ban on uniforms (December 1930): the brownshirts wear white shirts instead, and the effect is the same.
-
-
-
-18. A pacifist poster warns in 1930 that ‘anyone who votes for the right votes for war’, and Nazism can mean only death and destruction. ‘German,’ it asks rhetorically, ‘shall he grab you again?’
-
-
-
-19. The violence of the visual image: where the Nazis lead in 1928, other parties follow in later elections. (a) ‘Smash the world-foe, International High Finance’ - Nazi election poster, 1928. (b) ‘An end to this system!’ - Communist election poster, 1932. (c) ‘Clear the way for List 1!’ - the Social Democratic worker elbows aside the Nazi and the Communist, 1930. (d) ‘Against civil war and inflation’ - the People’s Party knocks down its rivals to right and left, an example of wishful thinking from 1932.
-
-
-
-20. The choice before the electorate in September 1930: the parties target women, benefit claimants, young people and other specific social groups.
-
-
-
-21. ‘Harbinger of the Third Reich’. A Social Democratic poster warns against the violence of the Nazis, January 1931. After scrawling ‘Germany, awake!’ and daubing swastikas on the walls, the figure of Death, dressed in a brownshirt uniform and holding a pistol, kills an opponent and marches on.
-
-
-
-22. (top) Drowning out the opposition: Nazis use loudhailers to shout ‘Hail, Hitler!’ during the election campaign of March 1933.
-
-23. (below) The respectable face of Nazism: Hitler, in formal attire, meets leading businessmen shortly after his appointment as Reich Chancellor in January 1933.
-
-
-
-
-
-24. The reality on the streets: Communists and Social Democrats arrested by stormtroopers acting as ‘auxiliary police’ await their fate in a torture cellar of the brownshirts in the spring of 1933.
-
-
-
-25. The first concentration camps, 1933: Social Democrats are registered on their arrival at the Oranienburg camp.
-
-
-
-26. ‘The noble Communist in the concentration camp’. Nazi propaganda gave wide publicity to the camps but tried to give them a positive image. According to this cartoon from 14 May 1933, ‘arrest’ was followed by a ‘clean-up’, a ‘cut (hair and beard)’ - the German word is the same as that for circumcision - an ‘airing’ and a ‘photograph’. In Berlin’s ‘Romanesque Café’ and the ‘Café Megalomania’, well-known haunts of modernist artists and radical writers, the supposedly Jewish regulars lament their friend’s transformation six weeks later: ‘What the poor man must have gone through!’
-
-
-
-27. Hitler’s cultural revolution: out of a mass of squabbling pygmies, ‘Germany’s sculptor’ creates a new giant German ready to take on the world.
-
-
-
-28. The exiles: the Nazi satirical journal The Nettle portrays the flight of Germany’s most eminent writers and intellectuals as a triumph for the German nation: while Thomas Mann works the hurdy-gurdy, others, mostly Jewish, slink away from Germany to his tune. Among those caricatured are Albert Einstein, Lion Feuchtwanger and Karl Marx. ‘What is gone, won’t return.’
-
-
-
-29. ‘Against the un-German spirit’: Nazi students burn Jewish and leftist books outside Berlin University on 10 May 1933.
-
-
-
-30. ‘Germans! Defend yourselves! Do not buy from Jews!’ Stormtroopers paste stickers onto a Jewish shop window during the boycott of I April 1933, while shoppers look on.
-
-
-
-31. Continuity in the National Socialist Revolution: a postcard from 1933 draws a direct line from Frederick the Great of Prussia through Bismarck to Hitler.
-
-
-
-Table of Contents
-
-ABOUT THE AUTHOR
-
-Title Page
-
-Copyright Page
-
-Dedication
-
-Preface
-
-Part 1 - THE LEGACY OF THE PAST
-
-GERMAN PECULIARITIES
-
-GOSPELS OF HATE
-
-THE SPIRIT OF 1914
-
-DESCENT INTO CHAOS
-
-Part 2 - THE FAILURE OF DEMOCRACY
-
-THE WEAKNESSES OF WEIMAR
-
-THE GREAT INFLATION
-
-CULTURE WARS
-
-THE FIT AND THE UNFIT
-
-Part 3 - THE RISE OF NAZISM
-
-BOHEMIAN REVOLUTIONARIES
-
-THE BEER-HALL PUTSCH
-
-REBUILDING THE MOVEMENT
-
-THE ROOTS OF COMMITMENT
-
-Part 4 - TOWARDS THE SEIZURE OF POWER
-
-THE GREAT DEPRESSION
-
-THE CRISIS OF DEMOCRACY
-
-THE VICTORY OF VIOLENCE
-
-FATEFUL DECISIONS
-
-Part 5 - CREATING THE THIRD REICH
-
-THE TERROR BEGINS
-
-FIRE IN THE REICHSTAG
-
-DEMOCRACY DESTROYED
-
-BRINGING GERMANY INTO LINE
-
-Part 6 - HITLER’S CULTURAL REVOLUTION
-
-DISCORDANT NOTES
-
-THE PURGE OF THE ARTS
-
-‘AGAINST THE UN-GERMAN SPIRIT’
-
-A ‘REVOLUTION OF DESTRUCTION’?
-
-Notes
-
-Bibliography
-
-Index
-
-
-
-
-
diff --git a/Books/History/The Last Lion Box Set _ Winston - William Manchester.txt b/Books/History/The Last Lion Box Set _ Winston - William Manchester.txt
index 592582f..192aae8 100644
--- a/Books/History/The Last Lion Box Set _ Winston - William Manchester.txt	
+++ b/Books/History/The Last Lion Box Set _ Winston - William Manchester.txt	
@@ -1,1056 +1,3 @@
-Begin Reading
-
-Volume One: Visions of Glory, 1874–1932
-
-Volume Two: Alone, 1932–1940
-
-Volume Three: Defender of the Realm, 1940–1965
-
-Table of Contents
-
-Newsletters
-
-Copyright Page
-
-In accordance with the U.S. Copyright Act of 1976, the scanning, uploading, and electronic sharing of any part of this book without the permission of the publisher constitute unlawful piracy and theft of the author’s intellectual property. If you would like to use material from the book (other than for review purposes), prior written permission must be obtained by contacting the publisher at permissions@hbgusa.com. Thank you for your support of the author’s rights.
-
-
-
-
-
-Begin Reading
-
-Table of Contents
-
-Copyright Page
-
-In accordance with the U.S. Copyright Act of 1976, the scanning, uploading, and electronic sharing of any part of this book without the permission of the publisher constitute unlawful piracy and theft of the author’s intellectual property. If you would like to use material from the book (other than for review purposes), prior written permission must be obtained by contacting the publisher at permissions@hbgusa.com. Thank you for your support of the author’s rights.
-
-
-
-
-
-To
-
-MARY
-
-and
-
-CHARTWELL
-
-
-
-
-
-The credit belongs to the man who is actually in the arena, whose face is marred by dust and sweat and blood, who knows the great enthusiasms, the great devotions, and spends himself in a worthy cause; who at best, if he wins, knows the thrills of high achievement, and, if he fails, at least fails daring greatly, so that his place shall never be with those cold and timid souls who know neither victory nor defeat.
-
-
-—JOHN F. KENNEDY on Theodore Roosevelt New York City, December 5, 1961
-
-
-
-
-
-Lieutenant Winston S. Churchill, Subaltern of Horse, Fourth Hussars, 1896
-
-
-
-
-
-ILLUSTRATIONS
-
-
-
-Lieutenant Winston S. Churchill, 1896
-
-Churchill among the ruins of the House of Commons
-
-Churchill family genealogy
-
-Lord Randolph Churchill at the time of his marriage
-
-Lord Randolph in his prime
-
-Invitation to a shipboard dance
-
-Mrs. Jerome and her daughters
-
-Jennie as drawn by John Singer Sargent
-
-Blenheim Palace
-
-Jennie in Ireland
-
-Mrs. Everest
-
-Two of Winston’s first letters
-
-Winston at Harrow
-
-Lord Randolph in later years
-
-Jennie and two of her lovers
-
-Lieutenant Winston Churchill in India
-
-Jennie in her prime
-
-Churchill in Cairo, 1898
-
-Pamela Plowden
-
-Churchill in his first campaign for Parliament
-
-The armored-train ambush
-
-From Churchill’s later version of the escape
-
-Reward notice
-
-Churchill addressing the crowd at Durban
-
-Spy cartoon
-
-Joseph Chamberlain
-
-Arthur Balfour
-
-Churchill in 1904
-
-Clementine Hozier
-
-Churchill and David Lloyd George
-
-Winston and Jennie, 1912
-
-Churchill and Kaiser Wilhelm
-
-Churchill at British army maneuvers
-
-Churchill and Lord Fisher
-
-Churchill and Asquith
-
-Churchill in pilot’s gear
-
-A morning ride
-
-F. E. Smith
-
-Churchill at Antwerp
-
-“Winston’s Folly”
-
-Roger Keyes, John de Robeck, and Ian Hamilton
-
-Lieutenant Colonel Churchill, 1916
-
-Churchill in the summer of 1916
-
-Sir Douglas Haig
-
-Churchill in Egypt with T. E. Lawrence
-
-Eamon de Valera and Arthur Griffith
-
-Michael Collins
-
-Churchill and Sir Henry Wilson
-
-Austen Chamberlain, Stanley Baldwin, and Churchill
-
-Churchill playing polo with the Prince of Wales
-
-Churchill with the Duke of Sutherland at Deauville
-
-Winston having fun at the beach
-
-Churchill with Mary at Chartwell
-
-Two views of Chartwell
-
-Churchill building a wall
-
-Churchill building a snowman
-
-Churchill in the garden at Chartwell
-
-Work: In London
-
-Play: At Chartwell
-
-Churchill visits with Charlie Chaplin
-
-Churchill entering the political wilderness
-
-Adolf Hitler
-
-Churchill leaving Lenox Hill Hospital
-
-
-
-
-
-MAPS
-
-
-
-The British Empire at Its Peak
-
-Egypt and the Sudan, 1898
-
-South Africa, 1899
-
-Churchill’s Escape Route, 1899
-
-Europe, 1914
-
-The Western Front, August 25 to September 1, 1914
-
-The Turkish Theater, 1915
-
-Naval Attack on the Dardanelles, March 18, 1915
-
-The Western Front, Late 1915
-
-The Western Front, June 1916
-
-The Western Front, July 1917
-
-The Western Front, 1918
-
-Europe, November 11, 1918
-
-Anti-Bolshevik-Occupied Territories, 1919 and 1920
-
-The Palestine Mandate
-
-Ireland after Partition
-
-The Indian Empire, 1929
-
-Europe, 1931
-
-
-
-
-
-CHRONOLOGY
-
-
-
-
-
-1874 WSC born November 30 at Blenheim
-
-1886 His father becomes chancellor of the Exchequer
-
-His mother is now a great Victorian courtesan
-
-1888 WSC enters Harrow; gets lowest marks in school
-
-1893 Admitted to Sandhurst on third try
-
-1894 Commissioned cavalry subaltern, Fourth Hussars
-
-1895 His father dies
-
-WSC covers the guerrilla warfare in Cuba
-
-1896 Educates himself in India; discovers Macaulay and Gibbon
-
-Writes first book
-
-1897 Sees heavy fighting in Khyber Pass
-
-1898 Omdurman: WSC in the last cavalry charge
-
-1899 WSC runs for Parliament; loses
-
-Captured in the Boer War
-
-His sensational escape
-
-1900 Recommended for VC
-
-Elected to Parliament
-
-Tours United States, Canada
-
-1901 Queen Victoria dies
-
-WSC’s maiden speech
-
-1904 Quits Tories for Liberals
-
-1905 Becomes colonial under secretary
-
-1907 Tours East Africa
-
-1908 Promoted to cabinet
-
-Marries Clementine Hozier
-
-His alliance with Lloyd George
-
-They declare war on House of Lords
-
-1910 WSC becomes home secretary
-
-His welfare-state programs
-
-1911 Battle of Sidney Street
-
-WSC becomes first lord of the Admiralty
-
-Father of the tank
-
-1912–14 Irish Home Rule crisis
-
-1913 WSC learns to fly, founds Royal Naval Flying Corps
-
-1914 Outbreak of the Great War
-
-WSC commands defense of Antwerp
-
-1915 The Dardanelles tragedy
-
-WSC dismissed from the Admiralty
-
-Learns to paint
-
-Commissioned and sent to the front
-
-1916 As a lieutenant colonel, leads a battalion in trenches
-
-1917 Cleared by the Dardanelles Commission
-
-Rejoins cabinet
-
-His tanks in action on the western front
-
-1918 WSC in the trenches again
-
-Germany surrenders
-
-1919 WSC becomes secretary for war and air
-
-Chief supporter of Russian anti-Bolsheviks
-
-1920 Black and Tans in Ireland
-
-1921 WSC becomes colonial secretary
-
-Lawrence of Arabia his adviser
-
-Founds Jordan, Iraq
-
-Supports Jewish homeland
-
-The Chanak crisis
-
-WSC founds Irish Free State
-
-Death of Marigold Churchill
-
-1922 WSC buys Chartwell
-
-1922–24 Loses three elections
-
-Turns Tory, wins
-
-Becomes chancellor of the Exchequer
-
-1924 Warns of danger in Germany
-
-1925 Returns Britain to the gold standard
-
-1926 General strike
-
-WSC publishes British Gazette
-
-1929 Tours United States
-
-Loses fortune in Wall Street
-
-1931 Quits Tory leadership over India
-
-Manhattan auto accident
-
-WSC sounds alarm over Nazis
-
-1932 Enters the political wilderness
-
-
-
-
-
-PREAMBLE
-
-
-
-THE LION AT BAY
-
-
-
-
-
-THE French had collapsed. The Dutch had been overwhelmed. The Belgians had surrendered. The British army, trapped, fought free and fell back toward the Channel ports, converging on a fishing town whose name was then spelled Dunkerque.
-
-Behind them lay the sea.
-
-It was England’s greatest crisis since the Norman conquest, vaster than those precipitated by Philip II’s Spanish Armada, Louis XIV’s triumphant armies, or Napoleon’s invasion barges massed at Boulogne. This time Britain stood alone. If the Germans crossed the Channel and established uncontested beachheads, all would be lost, for it is a peculiarity of England’s island that its southern weald is indefensible against disciplined troops. In A.D. 61, Queen Boudicca of the Iceni rallied the tribes of East Anglia and routed the Romans at Colchester, Saint Albans, and London (then Londinium), cutting the Ninth Legion to pieces and killing seventy thousand. But because the nature of the southern terrain was unsuitable for the construction of strongpoints, new legions under Paulinus, arriving from Gaul, crushed the revolt, leaving the grief-stricken queen to die by her own hand.
-
-Now the 220,000 Tommies at Dunkirk, Britain’s only hope, seemed doomed. On the Flanders beaches they stood around in angular, existential attitudes, like dim purgatorial souls awaiting disposition. There appeared to be no way to bring more than a handful of them home. The Royal Navy’s vessels were inadequate. King George VI has been told that they would be lucky to save 17,000. The House of Commons was warned to prepare for “hard and heavy tidings.”1 Then, from the streams and estuaries of Kent and Dover, a strange fleet appeared: trawlers and tugs, scows and fishing sloops, lifeboats and pleasure craft, smacks and coasters; the island ferry Gracie Fields; Tom Sopwith’s America’s Cup challenger Endeavour; even the London fire brigade’s fire-float Massey Shaw—all of them manned by civilian volunteers: English fathers, sailing to rescue England’s exhausted, bleeding sons.
-
-Even today what followed seems miraculous. Not only were Britain’s soldiers delivered; so were French support troops: a total of 338,682 men. But wars are not won by fleeing from the enemy. And British morale was still unequal to the imminent challenge. These were the same people who, less than a year earlier, had rejoiced in the fake peace bought by the betrayal of Czechoslovakia at Munich. Most of their leaders and most of the press remained craven. It had been over a thousand years since Alfred the Great had made himself and his countrymen one and sent them into battle transformed. Now in this new exigency, confronted by the mightiest conqueror Europe had ever known, England looked for another Alfred, a figure cast in a mold which, by the time of the Dunkirk deliverance, seemed to have been forever lost.
-
-England’s new leader, were he to prevail, would have to stand for everything England’s decent, civilized Establishment had rejected. They viewed Adolf Hitler as the product of complex social and historical forces. Their successor would have to be a passionate Manichaean who saw the world as a medieval struggle to the death between the powers of good and the powers of evil, who held that individuals are responsible for their actions and that the German dictator was therefore wicked. A believer in martial glory was required, one who saw splendor in the ancient parades of victorious legions through Persepolis and could rally the nation to brave the coming German fury. An embodiment of fading Victorian standards was wanted: a tribune for honor, loyalty, duty, and the supreme virtue of action; one who would never compromise with iniquity, who could create a sublime mood and thus give men heroic visions of what they were and might become. Like Adolf Hitler he would have to be a leader of intuitive genius, a born demagogue in the original sense of the word, a believer in the supremacy of his race and his national destiny, an artist who knew how to gather the blazing light of history into his prism and then distort it to his ends, an embodiment of inflexible resolution who could impose his will and his imagination on his people—a great tragedian who understood the appeal of martyrdom and could tell his followers the worst, hurling it to them like great hunks of bleeding meat, persuading them that the year of Dunkirk would be one in which it was “equally good to live or to die”—who could if necessary be just as cruel, just as cunning, and just as ruthless as Hitler but who could win victories without enslaving populations, or preaching supernaturalism, or foisting off myths of his infallibility, or destroying, or even warping, the libertarian institutions he had sworn to preserve. Such a man, if he existed, would be England’s last chance.2
-
-In London there was such a man.
-
-
-
-Now at last, at last, his hour had struck. He had been waiting in Parliament for forty years, had grown bald and gray in his nation’s service, had endured slander and calumny only to be summoned when the situation seemed hopeless to everyone except him. His youngest daughter, seventeen-year-old “Mary the Mouse”—her family nickname—had been sunning herself at Chartwell, their country home in Kent, during the first hours of the German breakthrough, when the music on her portable radio had been interrupted by a BBC bulletin: “His Majesty the King has sent for Mr. Winston Churchill and asked him to form a government.” Mary, who adored her father, prayed for him and assumed that he would save England. So, of course, did he. But among those who fully grasped the country’s plight, that was a minority view. The Conservative party leadership, the men of Munich, still controlled the government—Lord Halifax, Sir Horace Wilson, Sir Kingsley Wood, Sir John Simon, Sir Samuel Hoare, and, of course, Churchill’s predecessor as prime minister, Neville Chamberlain, who detested him and everything he represented. Even George VI hadn’t wanted Chamberlain to quit No. 10 Downing Street; he thought his treatment had been “grossly unfair.” The King suggested Halifax as his successor. Labour’s erratic Stafford Cripps had already come out for Halifax. That suited the Tory hierarchy, but only a coalition could govern the nation, and the National Executive of the Labour party, meeting in a basement room of the Highcliff Hotel in Bournemouth, sent word that they would serve under no Conservative except Churchill. So Chamberlain persuaded the reluctant King to choose the man neither wanted.3
-
-Not that it seemed to matter much. Churchill had said that “the Germans are always either at your throat or at your feet,” and as a hot May melted into a hotter June it appeared that their stranglehold was now unbreakable. Hitler was master of Europe. No one, not even Caesar, had stood so securely upon so glittering a pinnacle. The Führer told Göring: “The war is finished. I’ll come to an understanding with England.” On May 28, the first day of the Dunkirk evacuation, Halifax, speaking for the Conservative leadership, had told Churchill that a negotiated peace was England’s only alternative. Now, as the new prime minister’s foreign secretary and a member of his War Cabinet, the Yorkshire nobleman was quoted by the United Press as inviting “Chancellor Hitler to make a new and more generous peace offer.” It was, he said, the only reasonable course, the only decision a stable man of sound judgment could reach.4
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-He was quite right. But Winston Churchill was not a reasonable man. He was about as sound as the Maid of Orleans, a comparison he himself once made—“It’s when I’m Joan of Arc that I get excited.” Even more was he an Elijah, an Isaiah; a prophet. Deep insight, not stability, was his forte. To the War Cabinet he said, “I have thought carefully in these last days whether it was part of my duty to consider entering into negotiations with that man,” and concluded: “If this long island story of ours is to end at last, let it end only when each one of us lies choking in his own blood upon the ground.” He spoke to them, to the House, and then to the English people as no one had before or ever would again. He said: “I have nothing to offer but blood, toil, tears, and sweat.” Another politician might have told them: “Our policy is to continue the struggle; all our forces and resources will be mobilized.” This is what Churchill said:
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-Even though large tracts of Europe and many old and famous states have fallen or may fall into the grip of the Gestapo and all the odious apparatus of Nazi rule, we shall not flag or fail. We shall go on to the end. We shall fight in France, we shall fight on the seas and oceans, we shall fight with growing confidence and growing strength in the air, we shall defend our island, whatever the cost may be, we shall fight on the beaches, we shall fight on the landing grounds, we shall fight in the fields and in the streets, we shall fight in the hills; we shall never surrender.
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-“Behind us,” he said, “… gather a group of shattered states and bludgeoned races: the Czechs, the Poles, the Danes, the Norwegians, the Belgians, the Dutch—upon all of whom a long night of barbarism will descend, unbroken even by a star of hope, unless we conquer, as conquer we must, as conquer we shall.” That was the language of the Elizabethans, and of a particular Elizabethan, the greatest poet in history: “This England never did, nor never shall, / Lie at the proud foot of a conqueror.”5
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-Now, fired by the conviction which could only belong to one who had faced down inner despair, Churchill defied the “celestial grins” of Britain’s enemies, said peace feelers would “be viewed with the greatest disfavor by me,” and said he contemplated the future “with stern and tranquil gaze.” Free Englishmen, he told his people, would be more than a match for the “deadly, drilled, docile, brutish mass of the Hun soldiery plodding on like a swarm of crawling locusts.” But he warned his family to prepare for invaders. His son’s bride Pamela protested: “But Papa, what can I do?” He growled: “You can always get a carving knife from the kitchen and take one with you, can’t you?” To the demoralized French he declared: “Whatever you may do, we shall fight on forever and ever and ever.” General Maxime Weygand replied by asking what would happen if a hundred Nazi divisions landed at Dover. Churchill told him: “Nous les frapperons sur la tête”—they would be hit on the head as they crawled ashore. Visiting Harrow, he heard the boys sing an old school song rewritten in his honor:
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-Not less we praise in darker days
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-The Leader of our Nation,
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-And Churchill’s name shall win acclaim
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-From each new generation.
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-He suggested a change. “Darker,” he said, should be “sterner.” These were no dark days, he told them. Indeed, they would be remembered as great days, provided this “island race” followed his watchword: “Never, never, never, never give in.”6
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-And so he saved Western civilization when men considered its redemption worth any price. The Nazi stain was spreading into the Balkans, into the Middle East, into Brazil; the German-American Bund was staging mass rallies in Madison Square Garden; the New York Times reported in front-page headlines: URUGUAY ON GUARD FOR FIFTH COLUMN, NAZIS TAKE BOLD TONE IN ECUADOR, and ARGENTINE NAZIS RALLY. Men who think of themselves as indispensable are almost always wrong, but Winston Churchill was surely that then. He was like the lion in Revelation, “the first beast,” with “six wings about him” and “full of eyes within.” In an uncharacteristically modest moment on his eightieth birthday he said: “It was the nation and the race dwelling all round the globe that had the lion’s heart; I had the luck to be called upon to give the roar.” It wasn’t that simple. The spirit, if indeed within them, lay dormant until he became prime minister and they, kindled by his soaring prose, came to see themselves as he saw them and emerged a people transformed, the admiration of free men everywhere.7
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-At the height of the Battle of Britain, when Hitler tried to win in the air over London what he had expected to gain in a negotiated peace, the prime minister’s headquarters lay in a drab brick bunker two blocks south of Downing Street, beneath a stone government building which bears the plaque CABINET OFFICE / CENTRAL STATISTICAL OFFICE. The bunker is still there—nothing in it, not even the pins in the maps, has been changed since V-E Day—and you can descend a cellar stair into the past, emerging into what was known as “the Annexe,” or “the CWR,” short for “Cabinet War Room.” In fact there are many rooms, including a rather barren cell containing a desk bearing the microphone which the prime minister used for his broadcasts and the bed into which his wife could tuck him at night. All messages reached him here through the No. 10 switchboard; an aide could be put through anywhere in England by dialing the magic number: Rapid Falls 4466.
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-Churchill hated the Annexe’s cramped quarters. Donning his zippered blue Siren Suit, as he called it (it looked like a workman’s boiler suit; the staff called it his “Rompers”), he would mount the stairs to visit his family in their ground-floor flat, or stroll over to No. 10, or cross the street into St. James’s Park to feed the ducks and pelicans in the lake despite reports, taken seriously, that German agents lurked there. At night he was even more incautious. During raids he would dart out after close hits to see the damage. Sometimes he climbed up to the roof and squatted there on a hot-air vent, counting the Heinkel III’s as the searchlights picked them up. He wanted to be wherever the bombs were falling. It is a lie that he knew Coventry would be destroyed on November 14, 1940, and didn’t alert the city because the Germans would have known their code had been broken. Sir John Martin was with him that evening. They were driving out of the capital when a motorcyclist stopped them; word had just arrived that the Luftwaffe was headed for London. So the prime minister ordered the car turned around. It was early morning before he knew that the real target had been Coventry.
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-All his life he was a man of extraordinary personal courage. As a youth he sought danger in Cuba, on India’s North-West Frontier, on the Nile, and in South Africa. Each battle found him recklessly exposing himself to gunfire. In the Sudan in 1898 he was a subaltern and Herbert Kitchener was Anglo-Egyptian commander in chief (Sirdar), but he attacked Kitchener, in print, for “the inhuman slaughter of the wounded” and the desecration of the tomb of the Mahdi, the natives’ idol. Then, in Natal, the Boers captured Churchill. He escaped and later rode a bicycle in civilian clothes through the Boer stronghold of Johannesburg, risking execution as a spy had he been caught. Elected to Parliament at the age of twenty-five, he defended the enemy in his maiden speech—and then savaged Britain’s war minister, a senior statesman of his own party. At sea in 1943 he awoke Averell Harriman to tell him that a U-boat had them in its sights. He said: “I won’t be captured. The finest way to die is in the excitement of fighting the enemy.” After a moment’s thought he added: “It might not be so nice if one were in the water and they tried to pick me up.” Harriman, frightened, said, “I thought you told me that the worst a torpedo could do to this ship… was to knock out one engine room.” Churchill grinned and replied, “Ah, but they might put two torpedoes in us. You must come with me… and see the fun.”8
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-Churchill among the ruins of the House of Commons, 1941
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-The harder question is whether he enjoyed war too much. He denied it. He called it a “dirty, shoddy business,… disguise it as you may.” On September 4, 1898, after he had survived the dreadful battle of Omdurman on the Nile, he wrote his mother that the scenes he had witnessed “made me anxious and worried during the night and I speculated on the shoddiness of war. You cannot gild it. The raw comes through.” At Tehran in 1943 he said to his daughter Sarah: “War is a game played with a smiling face, but do you think there is laughter in my heart?” And he said: “War, which used to be cruel and magnificent, has now become cruel and squalid. In fact it has been completely spoilt.”9
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-But this assumes that there was something magnificent to spoil. The implication is ineluctable: he saw chivalric, Arthurian, brioso aspects of war; it was to him, as life was to Peter Pan, “an awfully big adventure.” As a young war correspondent he reported the death of a young peer in battle as “a sad item, for which the only consolation is that the Empire is worth the blood of the noblest of its citizens.” In 1914, the diarist Frances Stevenson, Lloyd George’s mistress, noted that the outbreak of war found the British cabinet sunk in gloom, whereupon “in burst Churchill, radiant, smiling, a cigar in his mouth and satisfaction upon his face. ‘Well!’ he exclaimed, ‘the deed is done!’ ” Lloyd George, who was also there, told Margot Asquith that “Winston was radiant, his face bright, his manner keen…. You could see he was a really happy man,” and Churchill himself wrote his wife: “I am interested, geared up & happy. Is it not horrible to be built like that?” During World War II he liked to cap his day by watching captured German combat films. After the second Quebec conference in 1944 he told the press that he would visit the battlefronts soon because he did not wish to miss any of the “fun” of “the good things.” The New Statesman acidly commented that these were “strange words for a process whereby human beings are being disembowelled, roasted to death, drowned, blown into fragments, or are dying slowly of agonizing wounds.” But the prime minister was unchastened. Six months later he stood on Xanten hilltop, watching British regiments cross the Rhine. The spectacle, he complained, was insufficiently dramatic. He said: “I should have liked to have deployed my men in red coats on the plain down there and ordered them to charge.”10
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-Red coats, which the army had doffed for khaki in the late 1890s, obviously belonged to the wars of earlier times. But so did he. He liked panoply, bugles, drums, battle flags, British squares. He said: “It is a shame that War should have flung all this aside in its greedy, base, opportunistic march, and should turn instead to chemists in spectacles, and chauffeurs pulling the levers of aeroplanes or machine guns.” At times he believed it a shame that technology had altered peace, too. “In the nineteenth century,” he observed, “Jules Verne wrote Round the World in Eighty Days. It seemed a prodigy. Now you can get around it in four, but you do not see much of it on the way.” He thought that “the substitution of the internal combustion machine for the horse marked a very gloomy milestone in the progress of mankind” and that it was “arguable whether the human race have been the gainers by the march of science beyond the steam engine.” The real point here was that steam had opened up the British Empire; air power, and then the atom, had closed it down. Lord Moran, his physician, wrote that “Winston is a proud man, and it hurts him to think how vulnerable, in the atomic age, a small, densely populated island like Britain has become.” It was to Moran that Churchill said glumly: “I wish flying had never been invented. The world has shrunk since the Wrights got into the air; it was an evil hour for poor England.” And addressing England as though it were a colleague—he was apt to do this—he said: “You came into big things as an accident of naval power when you were an island. The world had confidence in you. You became the workshop of the world. You populated the island beyond its capacity. Through an accident of airpower you will probably cease to exist.”11
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-In a thousand little ways he revealed his preference for the past and his reluctance to part with it. Victorian expressions salted his speech: “I venture to say,” “I am greatly distressed,” “I rejoice,” and “I pray”; so many of his memos began “Pray do,” “Pray do not,” or “Pray give me the facts on half a sheet of paper” that they became known among his staff as “Churchill’s prayers.” If it was time to leave Chartwell for London, and he wanted to know if his chauffeur was behind the wheel, he would ask: “Is the coachman on his box?” After the House of Commons snuffbox was destroyed in the Blitz, he replaced it with one from his family’s ancestral home of Blenheim, explaining, “I confess myself to be a great admirer of tradition.” He frankly preferred “the refinements of Louis XIV” to the modern “age of clatter and buzz, of gape and gloat.” He also thought that “bad luck always pursues peoples who change the names of their cities. Fortune is rightly malignant to those who break with the customs of the past.” Accordingly, Istanbul was Constantinople to him; Ankara was Angora; Sevastopol was Sebastopol; and in a directive to his minister of information dated August 29, 1941, he wrote: “Do try to blend in without causing trouble the word Persia instead of Iran.” As for Cambodia and Guatemala, they didn’t exist for him; he had got this far without having heard of them and saw no need to change now. He spoke of Sir Walter Raleigh, Henry VIII, and James I as though they were his contemporaries. Anthony Montague Browne recalls walking into Churchill’s office after Harold Macmillan had been chosen over R. A. (“Rab”) Butler as the new Conservative leader. Churchill was muttering, “Intelligent, yes. Good looking, yes. Well-meaning, yes. But not the stuff of which Prime Ministers are made.” Montague Browne asked: “But would Rab have been any better?” Churchill looked at him blankly. He said: “I was thinking of Melbourne.”12
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-Like Melbourne and all other Victorian prime ministers, Churchill never attended Parliament, or called at Buckingham Palace, wearing anything but a frock coat. It was sometimes difficult for those around him to remember that he had fought his first election in the nineteenth century and had been, by the time of the old Queen’s death, one of the highest-paid newspaper reporters in the world. Some thought his viewpoint and attitudes reached even farther back in history; Harold Laski called him “a gallant and romantic relic of eighteenth-century imperialism.” Churchill replied: “I like to live in the past. I don’t think people are going to get much fun in the future.” The older he grew, the stronger the bond he felt between himself and others who had reached manhood before the turn of the century. When he was told that a Londoner over seventy-five years of age had been arrested in Hyde Park for making improper advances toward a young girl in subzero weather, he chortled: “Over seventy-five and below zero! Makes you proud to be an Englishman!”13
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-But to those who chided him for being preoccupied with earlier ages, he answered: “The longer you look back, the farther you can look forward. This is not a philosophical or political argument—any oculist can tell you it is true.” Certainly it was true of him. He was no mere fogy. Clement Attlee, his great Labour adversary, compared him to a layer cake: “One layer was certainly seventeenth century. The eighteenth century in him is obvious. There was the nineteenth century, and a large slice, of course, of the twentieth century; and another, curious, layer which may possibly have been the twenty-first.”14 Churchill may have lacked sympathy for inventive contributions to warfare, but he understood them and even anticipated them. In World War I he was the father of the tank. As early as 1917 he conceived of vessels which would serve as landing craft for tanks. In the late 1930s he became interested in rockets and showed friends graphs illustrating their ballistic characteristics. And in the war against Hitler his genius was responsible for “Window,” strips of tinfoil dropped by bombers to confuse enemy radar; “Pluto,” a pipeline under the ocean; “Gee,” a device for guiding pilots; and the artificial harbors used at Normandy.
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-All these, of course, were weapons. Martial strains reverberated throughout his career as a kind of background score. In the House his rhetorical metaphors were those of the battlefield—events marched, political flanks were turned, legislative skirmishes fought, ultimata delivered, and opponents told to surrender, to strike their colors, to lay down their arms. More than half of the fifty-six books he published were about war and warriors; the two he most regretted not having found time to write were biographies of Caesar and Napoleon. Partly this was because he knew that peace hath not her heroes, and he meant to be heroic. In part it was because of his combative spirit. He agreed with George Meredith: “It is a terrific decree in life that they must act who would prevail.” There is no doubt that he enjoyed peril and delighted in battle. In his last days he said that 1940 and 1941 had been the best years of his life, despite the fact that for other Englishmen they had been incomparably the worst.
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-It is equally true that throughout his life he retained the small boy’s glee in making mischief, in dressing up, in showing off. He was probably the only man in London who owned more hats than his wife—top hats, Stetsons, seamen’s caps, his hussar helmet, a privy councillor’s cocked hat, homburgs, an astrakhan, an Irish “paddy hat,” a white pith helmet, an Australian bush hat, a fez, the huge beplumed hat he wore as a Knight of the Garter, even the full headdress of a North American Indian chieftain. He had closets full of costumes. When his grandchildren visited him, he appeared as an ape, snarling. Dressing for dinner when he traveled abroad, he wore the decorations awarded him by whatever country he was visiting—his favorite was the Danish Order of the Elephant—together with his sash. If nothing else was suitable, he would don his uniforms as RAF air commodore, as colonel of the Queen’s Own Fourth Hussars, as Lord Warden of the Cinque Ports, or as Elder Brother of Trinity House, England’s first lighthouse and pilotage authority, chartered by Henry VIII in 1514. His fame had eclipsed the medals; his figure had outgrown the uniforms; it didn’t matter. Once in Strasbourg Lord Boothby entered wearing a Légion d’Honneur rosette. Churchill glared, pointed at it, and demanded: “What’s that in your buttonhole?” Told, he scowled, then brightened. “I’ve got something better than that,” he said. He disappeared and reappeared, proudly wearing the médaille militaire.15
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-In the House he expressed this side of himself by thumbing his nose at the Opposition, or sticking out his tongue, or, when he had enraged them and they looked apoplectic, by blowing them a kiss. He once wrote of his childhood that he had been “so happy in my nursery with all my toys.” He still was; the imp lurked within. As home secretary before World War I he refused to prohibit roller-skating on sidewalks; pedestrians might be bowled over, but boys must not be deprived of their fun. Once during World War II, vacationing in Florida, he disguised himself as “a Mr. Lobb, an invalid requiring quiet.” His principal private secretary, Sir John Martin, was registered as the invalid’s butler. Security officers, after thinking it over, encouraged the prime minister to use pseudonyms when phoning. So he used Martin’s name, with the consequence, Sir John wryly recalls, that “I received a rocket from Censorship.” Despairing, the security men begged Churchill at least to keep his movements secret. He then telephoned Franklin Roosevelt before a Washington summit meeting: “They won’t let me tell you how I’m going to travel. You know security measures. So all I can say is that I’m coming by puff-puff. Got it? Puff-puff.” Once during the height of the Blitz, Mrs. Kathleen Hill, one of the prime minister’s secretaries, was visited by her son Richard, an army private on leave. She sent him out on a personal errand for the prime minister—buying an electric train for his first grandson. Hill had just finished assembling it on the rug of a first-floor room at No. 10 when he became aware of an august presence hovering over him. “You’ve got two locomotives,” Churchill rumbled. “Have you got two transformers?” Private Hill nodded dumbly. “Good!” boomed Churchill, clapping his hands together. “Let’s have a crash!”16
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-That, too, was a part of him, but to leave it there would be to trivialize him. On a deeper level his aggressive, let’s-have-a-crash manner was rooted in his vision of statesmanship. That vision is difficult to grasp today. It is wholly at odds with a central doctrine of his contemporaries, sanctified by the conventional wisdom of generations since. They hold that peace is the norm and war a primitive aberration. Churchill held otherwise. As a youth he concluded that the great issues of his time would be decided on the battlefield, that Nietzsche, Carlyle, and Gobineau had been right: that war was a legitimate political instrument, that it was by no means the worst that could happen; that conflict, not amity, would be the customary relationship between great states. He reconciled himself to it—as did Hitler, Stalin, Mao Tse-tung, and the Zionists—and began a lifelong study of strategy.
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-Although he was diametrically opposed to the prevailing attitudes in Western Europe and the United States, it is arguable that events have vindicated him. In this century every world power had been engulfed by war in Europe, Asia, the Middle East, and Africa. Latin America has not known a year of silent guns. Australia was threatened by Japanese invasion. Indians have fought Pakistanis, Arabs have fought Israelis, Danes and Norwegians have fought Germans; Spaniards have fought Spaniards and Burmese, Burmese. Emerging nations have acquired independence only to cross the frontiers of their newly independent neighbors. Cuba became a missile base, then a port nursing Soviet submarines. Even the remote, barren Falkland Islands saw Britons and Argentinians slay one another. The United States has seen no fighting on its mainland, but American soldiers and airmen have died in France, Belgium, the Netherlands, Germany, Sicily, Italy, North Africa, China, the Pacific islands, Japan, Korea, Vietnam, and Cambodia, and U.S. warships lie rusting on the bottom of every ocean. Russia and the West are locked in a truce of terror, held in check only by the fear of mutual annihilation.
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-Having accepted what was unacceptable to others, Churchill devoted his remarkable gifts to martial arts at an early age. His aim was always victory, but victory at the least possible cost in suffering, at the lowest price in casualties. The proper course for Britain, he reasoned, was to follow the principle of Chatham—the Elder Pitt—and hold continental enemies in the grip of English sea power, sapping their strength at the distant fringes of their dominions. In 1915 this led to the most controversial, most misunderstood decision of Churchill’s career. He meant to break the stalemate in France by forcing the Dardanelles, the narrow strait between the Sea of Marmara and the Aegean which separates Europe and Asia, knocking Turkey out of the war and joining British and French forces with their Russian ally. Because of blunders in the field, the stratagem failed. That failure, which drove him from office and nearly ended his career, haunted him all his years. Today the wisdom of his plan then is obvious. “In the whole of the First World War,” Attlee has written, there was “only one brilliant strategical idea—and that was Winston’s: the Dardanelles.”17
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-Still, in the age of nuclear weapons, which Churchill did not anticipate, even the most humane of warriors is suspect. The London Observer declared in 1951: “Any consideration of Mr Churchill’s career as a whole brings one up against the extraordinary fact that, for all its majestic scope, it remains to this day tragically unfulfilled and fragmentary. His political role has not been meteoric and disastrous, like Napoleon’s or Hitler’s. But neither has it been linked to a definite achievement, like Richelieu’s or Chatham’s, Washington’s or Lincoln’s, Bismarck’s or Lenin’s.” An American is struck by the facility with which so many British intellectuals slight the man who saved their country. In fact, Churchill was more than an exponent of Mars. His ultimate goal was the “broad, sunlit uplands” of a time when all swords became plowshares. Even in the grim days after Dunkirk he looked westward and saw hope. If the British Isles were conquered by the Germans, he said, then the struggle would continue abroad “until, in God’s good time, the new world, with all its power and might, steps forth to the rescue and liberation of the old.” He had faith in eventual peace, and he believed he knew how it could be achieved: by combining the might of the English-speaking peoples in so strong a defense of the United States and the Commonwealth that the rest of the world would be held at bay, as it had been held by the British Empire in the relatively quiescent nineteenth century. Then, from that absolute base, freedom would expand outward. He cherished the possibility of a world order, a kind of Renaissance pageant to be accomplished, not by emerging states squabbling on United Nations Plaza in Manhattan, but by the Americans and the great powers of Europe, including Germany but not, significantly, the Russians, whom he “always looked on,” in Sir Isaiah Berlin’s words, “as a formless, quasi-Asiatic mass.” His dreams of a tranquil global civilization in many ways resembled the exotic mysticism of Cecil Rhodes, Alfred Milner, and Joseph Chamberlain, but they never turned westward. To Churchill, the “Great Republic,” as he called it, was the key. This, as he readily acknowledged, was partly because of his origins. The blood in his veins was as American as English. His mother was a New Yorker. He always kept a cast of her hand, molded in copper, on his desk. It was an exact replica of his own.18
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-He adored her and she neglected him. He later wrote: “She shone for me like the Evening Star. I loved her dearly—but at a distance.” She later told friends she ignored Winston until he grew older and became “interesting.” That was an improvement on the attitude of her husband, who didn’t even like his son, but young Winston’s happiness among his nursery toys derived from neither parent but from his nanny, Elizabeth Everest—“Woom.” He recalled: “My nurse was my confidante…. [At her death she was] my dearest and most intimate friend.” Wrenched from her while still a child, he was sent to a brutal boarding school in Ascot, where the sadistic headmaster caned him until his back was a mass of welts. His treatment at the hands of the other boys was, if anything, worse. Toward the end of his life, in halting tones, he told his doctor about it. Sickly, an uncoordinated weakling with the pale fragile hands of a girl, speaking with a lisp and a slight stutter, he had been at the mercy of bullies. They beat him, ridiculed him, and pelted him with cricket balls. Trembling and humiliated, he hid in a nearby woods. This was hardly the stuff of which gladiators are made. His only weapons were an unconquerable will and an incipient sense of immortality. Already he was memorizing Macaulay’s tale of a man with two comrades barring a bridge to an army:19
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-Then out spake brave Horatius,
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-The Captain of the Gate:
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-“To every man upon this earth
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-Death cometh soon or late.
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-And how can man die better
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-Than facing fearful odds,
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-For the ashes of his fathers,
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-And the temples of his gods?”
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-Beginning at the age of seven, Churchill deliberately set out to change his nature, to prove that biology need not be destiny. Anthony Storr, the English psychiatrist and author of Human Aggression, concludes that he “was, to a marked extent, forcing himself to go against his own inner nature.”20 As a Victorian, Churchill believed he could be master of his fate, and that faith sustained him, but everything we have learned about human motivation since then underscores the immensity of his undertaking. W. H. Sheldon has delineated three dominant physiques, each with its concomitant personality traits. Of the three—ectomorphic (slight), mesomorphic (muscular), and endomorphic (fat)—Churchill clearly fell in the third category. His head was ponderous, his limbs small, his belly tumescent, his chest puny. His skin was so sensitive that he broke into a rash unless he slept naked at night between silk sheets. By day he could wear only silk underwear against his skin. Endomorphs are characteristically lazy, calculating, easygoing, and predictable. Churchill was none of these. He altered his emotional constitution to that of an athlete, projecting the image of a valiant, indomitable bulldog.
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-At times along the way he despaired. In 1893 he wrote, “I am cursed with so feeble a body, that I can hardly support the fatigues of the day.” Yet he was determined to prove just as hardy as any mesomorph. In his teens he nearly killed himself while leaping from a bridge during a game of tag; he pitched down almost thirty feet and lay unconscious for three days. He fell again steeplechasing at Aldershot, and yet again when disembarking at Bombay, where he permanently injured a shoulder; for the rest of his active life he played polo, off and on, with his arm bound to his side. As a child he caught pneumonia. He suffered from chest ailments the rest of his life. He was allergic to anesthetics and periodically erupted in boils. Nevertheless, he refused to yield to human frailty. In his inner world there was no room for concessions to weakness. He never complained of fatigue. In his seventieth year he flew to councils of war overseas sprawled across a tick mattress on the floor of an unheated World War II bomber. During the ten years after V-E Day he suffered a heart attack, three bouts of pneumonia, two strokes, and two operations. Nevertheless, he continued to build the image of a tireless embodiment of machismo who ate, smoked, and drank, all to excess. It survives to this day. Actually, most of the stories about his alcohol intake are myth. It is true that he started each day with a scotch and soda. What is not generally known is that he made that drink last until lunch, and that the amount of liquor he put away over a twenty-four-hour day was surprisingly modest. You would never have known it to hear him talk. He wanted to be remembered as a two-bottle man, like Pitt, and he cultivated the yarns about his drinking with characteristic aplomb. Once he asked Frederick Lindemann—“the Prof,” a scientific wizard who later became Lord Cherwell—how many boxcars could be filled with the champagne he had drunk in his lifetime. The Prof replied: “Only part of one.” Churchill sighed. He said: “So little time and so much to achieve.”21
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-In his most famous photograph he is seen glaring at the camera, his jaw jutting like the butt end of a ham, the incarnation of defiant Britain. The Canadian photographer Yousuf Karsh, who understood him, caught the expression by a trick. Just before he triggered the shutter, he reached out and yanked Churchill’s cigar from his mouth. What you really see in that picture is an endomorph rudely deprived of his pacifier. If you look closely, however, you may catch a glimpse of something else: a man ruled by his instincts. In triumphing over his physiognomy Churchill had become an aggressive extrovert, but at the same time he had developed into a rare type—C. G. Jung called it the “extroverted intuitive”—and it was that, not his surface toughness, which changed the history of the world. Jung wrote: “The intuitive is never to be found among the generally recognized reality values, but is always present where possibilities exist. He has a keen nose for things in the bud, pregnant with future promise…. Thinking and feeling, the indispensable components of conviction, are, with him, inferior functions, possessing no decisive weight: hence they lack the power to offer any lasting resistance to the force of intuition.” That, or something like it, was what C. P. Snow had in mind when he wrote: “Judgment is a fine thing: but it is not all that uncommon. Deep insight is much rarer. Churchill had flashes of that kind of insight…. When Hitler came to power Churchill did not use judgment but one of his deep insights…. That was what we needed…. Plenty of people on the left could see the danger; but they did not know how the country had to be seized and unified.” The answer was found by an extroverted intuitive. In Jung’s description of the type, “his capacity to inspire his fellow-men with courage, or to kindle enthusiasm for something new, is unrivalled.” Field Marshal Alanbrooke, Churchill’s chief of the Imperial General Staff, was constantly astonished by his “method of suddenly arriving at some decision as it were by intuition, without any kind of logical examination of the problem…. He preferred to work by intuition and by impulse.” Jan Christiaan Smuts said: “That is why Winston is indispensable.” A colleague described it as his “zigzag streak of lightning in the brain.”22
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-Political genius, said Bismarck, consists of hearing the distant hoofbeat of the horse of history and then leaping to catch the passing horseman by the coattails. The difficulty is that one may hear the wrong horse, or lunge for the wrong horseman. As Jung pointed out, the extroverted intuitive lacks judgment. Churchill was right about the Dardanelles, right about Ireland, right about Munich, right about stripping England of tanks to defend the Suez Canal in 1940, and, as the Third Reich crumbled, supremely right about the menace of the rising Russian empire in Eastern Europe. However, he had not been right about fascism; at first, his conservative instincts and his allegiance to tradition had led him to apologias for strong men who posed as defenders of the established order. In 1926 he told Italian journalists that he had been “charmed… by Signor Mussolini’s gentle and simple bearing.” Resisting British opposition to Franco, he recommended instead that England “send charitable aid under the Red Cross to both sides.” And while loathing Nazism, he once remarked that he “admired” Hitler for being a “champion” of his nation’s pride. As his friend F. E. Smith put it, “Winston was often right, but when he was wrong, well, my God.”23
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-Despite his versatility, vitality, and fertile mind, his belligerent instincts led him to fight Gandhi’s campaign for Indian independence, to oppose the abdication of Edward VIII, and, in the heat of the 1945 political campaign, to predict that a Labour party victory would bring Britain “a Gestapo apparatus.” In January 1938 he wrote: “The air menace against properly armed and protected ships of war will not be of a decisive character.” This conviction, stubbornly held, led to the sinking of the Prince of Wales and Repulse by the Twenty-second Japanese Air Flotilla on December 10, 1941. In the opening months of the war, when he was first lord of the Admiralty, he was responsible for England’s intervention in Norway, a fiasco which was mercifully overlooked when he became prime minister. Anzio was his idea; later he admitted that “I had hoped that we were hurling a wildcat onto the shore, but all we got was a stranded whale.” Diversionary attacks, however impractical, always had his support. Late in the war he still wanted to land in Norway. At his insistence amphibious assaults were attempted on Rhodes and other Greek islands. All failed. In 1944 he even wanted to seize the tip of Sumatra, which was wholly without strategic value. George C. Marshall said, “His planning was all wishing and guessing.” Actually, it wasn’t. Had the combined chiefs adopted his grand proposal to sail up the Adriatic and invade Europe through the Ljubljana Gap, some military historians believe, British Tommies and American GIs, not Russians, would have been the liberators of Budapest, Prague, Vienna, and Warsaw, with all that would have entailed for the postwar world. But by then his stock had fallen because he had championed so many impractical schemes.24
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-That had been the story of much of his public life. His career passed through three stages: from 1900 to 1915, when his star rose to a dizzy height; from then until 1940, when he achieved little and failed often; and from Dunkirk to the end, when he became a legend. The legend obscures what was a patchy record. Again and again he was rejected by his countrymen; he never won their love and confidence until they faced disaster. His following was limited to a few personal friends. He lost more elections than any other British politician of his time. Twice he switched parties, and although he wound up leader of the Conservatives, he spent three-quarters of his political life battling Tory leaders. His brilliance was recognized from the first, but he was regarded as erratic, unreliable, shallow, impetuous, a hatcher of “wildcat schemes.” In 1915, Liberal Prime Minister Herbert Asquith observed of Churchill that “to speak with the tongue of men and angels, and to spend laborious days and nights in administration, is no good if a man does not inspire trust.” Instead, he inspired suspicion. His love of adventure, it was said, ran away with his discretion. He was put down as an opportunist, a swashbuckler, a man who was “jaywalking through life.” He was labeled a man incapable of party loyalty. In the House of Commons he wasn’t even a good listener; he “lacked antennae.” Once his mind was set, he wouldn’t budge an inch. Nor could he judge men. He was easily taken in by quacks and charlatans; in the words of Air Chief Marshal Charles Portal, “Winston was a bad picker.” By the 1930s it was generally felt that the people were wise to him at last, that he was a figure from the past, out of touch with reality. A newspaper editorial described him as a “genius without judgment.” Prime Minister Stanley Baldwin, who watched Germany rearm and crushed all proposals for British military expenditures, said that although Churchill had a “hundred-horsepower brain,” he didn’t know how to harness it. Harold Begbie wrote: “Mr. Churchill carries great guns, but his navigation is uncertain. His effect on men is one of interest and curiosity, not of admiration and loyalty. His power is the power of gifts, not character. Men watch him but do not follow him. He beguiles their reason but never warms their emotions.”25
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-Margot Asquith had sized him up in 1908 as a man of “transitory convictions.” Later, the Tories reached the same conclusion; they accused him of inconstancy, of veering opinions. In fact, it was the other way around. It was Baldwin and Chamberlain who were the trimmers, switching their policies when public opinion shifted. Except in the 1920s—when, as Baldwin’s chancellor of the Exchequer, he withheld criticism of some questionable policies—Churchill never changed at all. He could misjudge others, but his own principles were a rock. This, in fact, is what offended traditional party politicians. If one reads the letters he wrote as a subaltern, his dispatches as a war correspondent, his speeches as a young MP, his cabinet papers, his books, and his “Action-This-Day” memoirs of the early 1940s, it will be clear that his views, once formed, were immutable. Here and there one encounters surprises. In the Edwardian era he and David Lloyd George were the most effective champions of the working class in the cabinet. Churchill’s sympathy for workmen had been engaged by the humble circumstances of Mrs. Everest, who had given him the love his mother withheld, and by reading early sociological studies of the desperate poverty in the lower classes. Despite his wealthy friends and relatives and his allegiance to the Empire, he denounced “our unbridled Imperialists who have no thought but to pile up armaments, taxation, and territory.” He invented the excess-profits tax. Yet more than thirty years later he bitterly fought Labour’s cradle-to-grave welfare legislation. The explanation is intriguing. He wasn’t opposed to the substance of Labour’s bills; what he found objectionable was the way the thing was being done. Labour held that the people had an absolute right to these comprehensive benefits. Churchill thought they should be gifts from a benign upper class to grateful lower classes. It was characteristic of him that in 1944, when Harold Laski proposed raising a fund as a token of the nation’s gratitude to him, he demurred, then added: “If, however, when I am dead people think of commemorating my services, I should like to think that a park was made for the children of London’s poor on the south bank of the Thames, where they have suffered so grimly from the Hun.” Subscriptions were admirable. Taxes were an affront.26
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-His concept of magnanimity is among his more fascinating and, if you disregard the overtones of noblesse oblige, more endearing traits. He was always being excoriated in print or on the platform, and one of his sources of income was damage suits for libel or slander. He always won, and he always felt genuine pity for the loser. He wrote: “I have always urged fighting wars and other contentions with might and main till overwhelming victory, and then offering the hand of friendship to the vanquished. Thus I have always been against the Pacifists during the quarrel, and against the Jingoes at its close.” It was a pattern with him. Defeat had to precede conciliation. He refused to negotiate until his adversary had capitulated. Revenge afterward, however, was to him unmanly and ungentlemanly. It was Kitchener’s vindictiveness on the Nile, his total lack of generosity toward the routed natives, which infuriated young Churchill. After Chamberlain’s fall, which was swiftly followed by his death, Churchill rose in the House of Commons to pay him tribute. He said Chamberlain’s hopes had been foiled by events, then asked: “But what were these hopes in which he was disappointed?… They were surely among the most noble and benevolent instincts of the human heart—the love of peace, the pursuit of peace, even at great peril.” He was a ferocious enemy of Germany in both world wars, yet after each he begged the British government—in vain—to dispatch emergency shipments of food to its starving people. However high he rose, the man who as a boy had been bullied and bruised could always identify with the underdog.27
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-In a profound sense, he himself always remained the underdog. All his life he suffered spells of depression, sinking into the brooding depths of melancholia, an emotional state which, though little understood, resembles the passing sadness of the normal man as a malignancy resembles a canker sore. The depressive knows what Dante knew: that hell is an endless, hopeless conversation with oneself. Every day he chisels his way through time, praying for relief. The etiology of the disease is complex, but is thought to include family history, childhood influences, biological deficiencies, and—particularly among those of aggressive temperament—feelings of intense hostility which the victim, lacking other targets, turns inward upon himself. Having chosen to be macho, Churchill became the pugnacious, assertive fighter ready to cock a snook at anyone who got in his way. That was why he began carrying a Bren gun in his car when he became prime minister, then took bayonet lessons, and insisted that his lifeboat on the wartime Queen Mary be equipped with a mounted machine gun. But in peacetime he often lacked adequate outlets for his aggression. The deep reservoir of vehemence he carried within him backed up, and he was plunged into fathomless gloom.
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-Depression is common among the great; it may balance their moods of omnipotence. Among its sufferers have been Goethe, Lincoln, Bismarck, Schumann, Tolstoy, Robert E. Lee, and Martin Luther. To these should be added Churchill’s father and five of the seven dukes of Marlborough, his ancestors, for it should be remembered that genes, too, play a depressive role. The personality traits are unmistakable; it is impossible to imagine Franklin Roosevelt offering blood, toil, tears, and sweat, but the expression would have come naturally from Lincoln. We first encounter Churchill’s awareness of his illness in a letter, written when he was twenty, complaining of “mental stagnation” and a “slough of despond.” The note is sounded again in his second book, a novel. The hero drops into a chair and asks himself: “Was it worth it? The struggle, the labour, the constant rush of affairs, the sacrifice of so many things that make life easy, or pleasant—for what?” Later, “a sense of weariness, of disgust with struggling, of desire for peace filled [the hero’s] soul. The object for which he had toiled so long was now nearly attained and it seemed of little worth.” An echo of this is heard more than a half-century later. It was Churchill’s birthday. Glasses were raised to honor his accomplishments. He muttered to his daughters Diana and Sarah: “I have achieved a great deal to achieve nothing in the end.”28
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-“What a creature of strange moods he is,” Max Aitken, later Lord Beaverbrook, wrote, “always at the top of the wheel of confidence or at the bottom of an intense depression.” In times of disappointment, rejection, or bereavement, feelings of hopelessness overwhelmed him. Thoughts of self-destruction were never far away. He told his doctor: “I don’t like standing near the edge of a platform when an express train is passing through. I like to stand back and if possible to get a pillar between me and the train. I don’t like to stand by the side of a ship and look down into the water. A second’s action would end everything.” He also disliked sleeping near a balcony. He explained: “I’ve no desire to quit this world, but thoughts, desperate thoughts, come into the head.”29
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-To a remarkable degree he coped successfully with “Black Dog,” as he called his depressive spells. He sought flamboyant, stimulating, zestful company. He avoided hospitals. And like Cuchulain, the Hound of Ulster, he found solace in incessant activity. He told Violet Asquith* that unless he was perpetually active he relapsed into “dark moments of impatience and frustration.” Sir George Riddell wrote in his diary in January 1915 that Churchill “is one of the most industrious men I have ever known. He is like a wonderful piece of machinery with a flywheel which occasionally makes unexpected movements.” He would tell his family, “A change is as good as a rest,” and then set about laying bricks at Chartwell or painting landscapes at Marrakesh. After the Dardanelles he crossed into France, fought in the trenches as a battalion commander, and set up his easel just behind the front line. And he always pursued acclaim. Depressives, more than most people, are dependent upon external sources of self-esteem. Churchill was never bashful about soliciting applause. As a youth, mailing a manuscript to his mother, he sought from her what she had not given him in childhood. He wrote: “Write to me at great length about the book and be nice about it. Don’t say what you think, but what I… should like you to think.” If friends suggested that this book or that speech might be improved, he reproached them: “You are not on my side.” He expected total, uncritical loyalty. And he reciprocated. Brendan Bracken, one of the few who stood by him in the 1930s, said: “He would go to the stake for a friend.”30
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-Nothing, however, could match the satisfaction of directing his hostility outward, toward a great antagonist, a figure worthy of massive enmity. But as the years rolled by and he approached old age, the possibilities of finding such an object became remote. The strain began to tell. Anthony Storr writes: “In day-to-day existence, antagonists are not wicked enough, and depressives suffer from pangs of conscience about their own hostility.”31 Then Churchill’s prospects were dramatically altered. Adolf Hitler entered his life. It would be fatuous to suggest that the Nazi dictator’s only significance for Churchill was as an answer to an emotional longing. Churchill was no warmonger. He was a statesman, a humanitarian, a thinker in cosmic terms; he would have been profoundly grateful if Hitler had strangled on his own venom. But the Führer’s repeated lunges across the borders of peaceful neighboring states did arouse a Churchillian belligerence far beyond the capacity of ordinary men. His basic weakness became his basic strength. Here, at last, was pure evil, a monster who deserved no pity, a tyrant he could claw and maim without admonishment from his scruples. By provoking his titanic wrath, the challenge from central Europe released enormous stores of long-suppressed vitality within him. In the beginning Hitler responded in kind. He, too, was a hoarder of rage, and he was a great hater. He may have felt that Britain’s prime minister met an ache in him, too. As it turned out, he needed Churchill the way a murderer needs a noose.
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-Hitler’s archenemy was not a man of small ego. It is an egalitarian fiction that the great are modest. They haven’t any right to be, and they aren’t. He said to Attlee: “Of course I am an egotist. Where do you get if you aren’t?” In 1940 he believed that he had been destined for the extraordinary role he must now play. He declared to Lord Moran: “This cannot be accident, it must be design. I was kept for this job.” It didn’t surprise him. Determined to prove himself unworthy of parental neglect, he had lived much of his life in a world of fantasy centered on the conviction that something special lay ahead for him. He wasn’t vain; merely self-centered. As a young war correspondent in the midst of combat he called to the soldiers around him: “Keep cool, men! This will make great copy for my paper!” Later, he liked to lie in bed listening to recordings of his speeches. Once he and his valet had words. Afterward Churchill rumbled: “You were rude.” His manservant, forgetting his station, said, “You were rude, too.” Churchill pouted. After a moment he said: “But I am a great man.” His idea of a good dinner, he said, was to dine well and then “to discuss a good topic—with myself as chief conversationalist.” After one meal his son, Randolph, was trying to make a point. Churchill broke in with a comment of his own. Randolph tried to pick up the thread of his argument. His father barked: “Don’t interrupt me when I am interrupting!” In 1945, after the collapse of the Third Reich and his electoral defeat, he said: “For my part, I consider that it will be found much better by all parties to leave the past to history, especially as I propose to write that history myself.”32
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-Some of the most moving passages in his historical accounts pay tribute to England’s common man, but he never really understood his constituents’ minds, and in fact he didn’t much care. During one campaign he described his audience as “a sea of hard little hats on hard little heads.” Lloyd George, who cared very much about the voters’ dreams, was saturated with class consciousness; Churchill, as Attlee once observed, would have been content in a feudal society. He never grasped the revolution of rising expectations in the Birmingham mills and the bazaars of New Delhi. He thought Labour unfit to govern, and his early appeals for laborers’ votes were almost absurd in their condescension. (In 1900 he told them: “I like the British working man and so did my father before me.”) This insensitivity is one explanation for the periodic eclipse of his political fortunes. It is indeed singular that a man so remote from commonality, so completely out of touch with his times, could have become a national hero. Eventually he became beloved for his courage, his humor, his bulldog image, and such touches as his V-for-Victory sign, his ritualistic circumcision of cigars, and his deliberate mispronunciation of Nazis—it came out of the Churchill euphonium as “Nahrzees.” But he never mastered the British political mood. Instead, he repeatedly misjudged it. Except in national emergencies, at the hour of fate or the crack of doom, he was largely ignored. People didn’t identify with him because he never reciprocated.33
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-In his personal life he was the complete patrician. F. E. Smith said: “Winston is a man of simple tastes. He is always prepared to put up with the best of everything.” Churchill’s wife, Clementine, told Lord Moran that at home “Winston is a pasha.” If no servant responded when he clapped his hands upon entering the house, he would immediately call for his valet. The valet dressed him right down to the pulling on of his socks, and ran his bath—twice a day—almost to the brim, at a precise temperature. Churchill’s nanny had begun ministering to him; she had been succeeded by his manservants, batman, wife, secretaries, footmen, doctors, and attendants. He was inconsiderate of them; impatient, arrogant, unfeeling. Why did they put up with it? Dr. Storr suggests that “men who demand and need a great deal of attention from others are manifesting a kind of childlike helplessness, which evokes an appropriate response, however difficult they may be.” Churchill could be very difficult. When a plane was preparing to land and the NO SMOKING sign flashed on, he would light up a cigar. If he found himself driving in a traffic jam, he wheeled his car out on the shoulder or sidewalk and drove to the head of the line. He rarely traveled with fewer than sixteen pieces of matched baggage. Once, according to Vincent Sheean, he arrived by himself at Maxine Elliott’s Riviera villa and told her: “My dear Maxine, you have no idea how easy it is to travel without a servant. I came here all the way from London alone and it was quite simple.” She murmured: “Winston, how brave of you.”34
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-Reminiscing, he once said: “I was not twenty at the time of the Cuban War, and was only a Second Lieutenant, but I was taken to an inspection at West Point and treated as if I had been a General. I was brought up in that state of civilization when it was everywhere accepted that men are born unequal.” This explains, in foreign affairs, the ferocity of his attacks on bolshevism well into the 1920s, long after his intransigence had become embarrassing to the government, and in domestic politics it accounts for his distrust of Labour. Late in life he read that Christopher Mayhew, one of Attlee’s junior ministers, had walked out during the arena scene in the film Quo Vadis. Winston ordered the picture screened at Chartwell and intently watched the scenes of mayhem in the arena. After it was over, he rose and told his family: “Do you know why Mr. Mayhew walked out? It was because his socialist, egalitarian principles were outraged. There was one poor lion who hadn’t got a Christian.”35
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-But if Churchill’s blind spots are often attributable to his aristocratic heritage, so are many of his successes. His career would have been impossible without preferential treatment. His name, not academic competence, got him through Harrow and Sandhurst. Then his mother, finally taking an interest in his affairs, began pulling strings for him. There were a great many available to her. She had been intimate with many influential men in America, on the Continent, in the British establishment; even in the royal family. Theoretically, her son was subject to army discipline in his youth. Actually, he moved around the world as he pleased. There is a stunning line in his book The River War: “With the design of thereafter writing this account, I moved to a point on the ridge which afforded a view of both armies.” Here are two mighty forces preparing to do battle, and here is a lowly subaltern riding off to get the best perspective. A fellow war correspondent in South Africa pointed out that Churchill had the assurance, arrogance, and bravado that one found in the British ruling classes, “the conviction that he belongs to the best group in the world.” He never doubted it. Nor did his mother. In 1900 other Englishwomen yearned to see their sons, off fighting the Boers. Jennie Churchill simply outfitted a hospital ship and sailed down to Cape Town to see how Winston was doing.36
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-She didn’t pay for the vessel herself. She raised the funds by subscription. Her name wasn’t even among the subscribers’. She couldn’t afford it. She was always just a jump ahead of her creditors. So, for most of his life, was her son. To be sure, neither of them ever came close to a soup kitchen. Winston often complained of being broke, but that did not mean to him what it meant to most of his countrymen. He had expensive tastes, and he always indulged them. Consequently, he was often short of funds. In the desperate 1930s he was reduced to writing, for Collier’s and other popular magazines on both sides of the Atlantic, such pieces as “The American Mind and Ours,” “Is There Life on the Moon?” and “Under the Microscope.” (His most striking idea was an article to be titled “Will There Be a Woman Prime Minister?” Editors vetoed it on the ground that it was too fantastic.) He would ask editors for payment, “if possible, by Monday morning.” Six months before Munich, when he was waiting in the wings to stride out on the stage of history, he was so deep in red ink that he contemplated resigning from Parliament. He—and all he represented—was saved only when a wealthy friend settled his debts. On August 31, 1939, he wrote his publisher, “I am, as you know, concentrating every minute of my spare life and strength upon completing our contract. These distractions are trying.” The distractions were German troop movements along the Reich’s eastern border. That night, as he stood at his high desk in Chartwell, correcting proofs, Hitler invaded Poland.37
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-At Harrow he had first learned that he had a remarkable memory. Aged thirteen, he recited, without a slip, the twelve hundred lines of Macaulay’s Lays of Rome. And once he had committed something to memory, he rarely forgot it. In the autumn of his life he quoted verses he had read in Punch as a boy. Riding through the Maryland countryside, during World War II, he declaimed the whole of Whittier’s “Barbara Frietchie.” In 1953, after he had suffered a stroke, he recited the thirty-four lines of Longfellow’s “King Robert of Sicily,” which he had last read fifty years earlier, while his doctor followed the text. Moran found that “here and there he got a word wrong: priests became monks and lamps candles; perhaps half a dozen words out of three hundred and fifty.” This writer met him that same year—my stateroom was next to his suite on the Queen Mary—and when he learned that I was a fledgling foreign correspondent on my way to Egypt and India, he reeled off amazingly detailed accounts of his own experiences as a correspondent there in the 1890s. At about the same time he asked Sir David Hunt: “Can you look up the exact words of this quotation from Aristophanes: ‘The qualities required for writing tragedy and comedy are the same, and a tragic genius must also be a comic genius’?” Hunt told him he must mean Aristotle. Churchill indignantly denied it. “Light began to dawn,” Hunt recalls. He checked the Loeb Classical Library in the Cabinet Room at No. 10 and found the line at the end of the Symposium, in Plato’s imaginary dialogue with Aristophanes. Awed, he asked the prime minister how recently he had read it. In Bangalore, Churchill said, in 1896. Hunt notes: “He was then twenty-two; at the time he recalled these words with perfect accuracy he was seventy-eight.” Hunt was among those who suffered through the showing of Quo Vadis but thought it worth it when, later that evening, Churchill recited the entire fourteenth chapter of Gibbon’s Decline and Fall of the Roman Empire. That, too, had been among the books he had read at Bangalore.38
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-He had also discovered at Harrow that he had a flair for the language. Although rated the stupidest boy in the school, he scribbled off essays for classmates who had difficulty writing. His later years as a newspaperman, and his early books, showed him that he could make a good living with his pen. His work was not universally admired; in English Prose Style, published in 1928, the eminent Oxford literary critic Sir Herbert Read declared that it revealed “aggrandisation of the self,” that “such eloquence is false because it is artificial… the images are stale, the metaphors violent,” and that a typical passage “exhales a false dramatic atmosphere… a volley of rhetorical imperatives.” But Churchill wasn’t writing for critics. He was addressing the world, and to that end he had fashioned a soaring, resonant style, sparkling with eighteenth-century phrases, derivative of Gibbon, Johnson, Macaulay, and Thomas Peacock, throbbing with classical echoes of Demosthenes and Cicero, but uniquely his own. It is impossible to imagine him employing a ghost writer. No one but Churchill could write Churchillian prose. The stamp of the man is on everything he wrote or uttered, whether pondering the lessons of the past (“the grievous inquest of history”), or describing Roosevelt’s polio (“his lower limbs refused their office”), or those who feigned contempt for public affairs because they dared not commit themselves (“flaccid sea anemones of virtue who can hardly wobble an antenna in the waters of negativity”). It made Sir Herbert wince, but its author won the Nobel Prize in literature.39
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-Churchill’s feeling for the English tongue was sensual, almost erotic; when he coined a phrase he would suck it, rolling it around his palate to extract its full flavor. On first meeting Violet Asquith he told her that words had “a magic and a music” all their own. That was what troubled Lloyd George, another critic of his rhetoric; he protested that to call Mussolini’s conduct in Ethiopia “at once obsolete and reprehensible,” as Winston had, was meaningless. Unchastened, Churchill replied, “Ah, the b’s in those words: ‘obsolete, reprehensible.’ You must pay attention to euphony.” He said, “I like short words and vulgar fractions.” When short words hit hard he used them. Needing military equipment after Dunkirk, he told the United States, “Give us the tools and we will finish the job.” He did not declare that the Allies had “consented to a coalition” or “agreed to cooperate.” Instead, they had “joined hands.” But on other occasions he did not hesitate to dip into his enormous vocabulary. Once he dictated a note to the Admiralty: “Must we have his lugubrious ingemination of the news of our shipping losses?” At first the sea lords thought his secretary had mistyped “insemination.” Then they consulted the Oxford English Dictionary and found that ingemination means “redundancy.”40
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-Like all writers, he had his favorite words: unflinching, austere, somber, squalid. He said aircraft, not aeroplane, and airfield, never aerodrome. He also liked to gather his adjectives in squads of four. Bernard Montgomery was “austere, severe, accomplished, tireless”; Joe Chamberlain was “lively, sparkling, insurgent, compulsive.” He would open a speech with a sluggish largo tempo, apparently unsure of himself; then he would pull out his organ’s Grand Swell and the Vox Humana, and the essence of his prose would be revealed; a bold, ponderous, rolling, pealing, easy rhythm, broken by vivid stabbing strokes. It gained force by its participatory character. He himself was part of the great events he described; he could say, with Aeneas, “Quorum pars magna fui.” It is an advantage given to few, and those few have usually bungled it, resorting, among other things, to euphemisms, which Churchill scorned. He derided bureaucrats who called the poor the “lower income group,” or lorries “commercial vehicles,” or homes “accommodation units”—once he astonished the House of Commons by bursting into song: “Accommodation unit, sweet accommodation unit, / There’s no place like accommodation unit.” One of his first acts when he took over as prime minister in 1940 was to change the name of the “Local Defense Volunteers” to the “Home Guard.” Words like adumbrated and coordination do not appear in his work. Of an MP who strung together phrases of jargon, Churchill said: “He can best be described as one of those orators who, before they get up, do not know what they are going to say; when they are speaking, do not know what they are saying; and when they have sat down, do not know what they have said.” Of another, who had been defeated at the polls, he said, “Thank God we’ve seen the last of that Wuthering Height.”41
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-He loved books and wrote of them: “If you cannot read all your books, at any rate handle, or, as it were, fondle them—peer into them, let them fall open where they will, read from the first sentence that arrests the eye, set them back on their shelves with your own hands, arrange them on your own plan so that if you do not know what is in them, you will at least know where they are. Let them be your friends; let them at any rate be your acquaintances.” But he hated verbosity. “This paper, by its very length,” he told a cabinet meeting, “defends itself against the risk of being read.” And he despised pedants. A junior civil servant had tortuously reworded a sentence to avoid ending with a preposition. The prime minister scrawled across the page: “This is nonsense up with which I will not put.” His profound knowledge of Latin and Greek was acquired through translations; he had been a miserable classics student. Labour MPs, most of whom lacked public-school educations, objected to classical phrases in the House for the very sensible reason that they couldn’t understand them. During a discussion of this Churchill rose to a point and began, “As to the chairman of this committee, he should be not facile princeps, but primus inter pares, which for the benefit of any…” He paused while the Opposition MPs, anticipating insult, struggled to their feet. Then he broke up the House by continuing, “… for the benefit of any Old Etonians present, I should, if very severely pressed, venture to translate.” His insularity, his feigned ignorance of all foreign tongues, was a source of popularity with the masses and served as antidote to his elitism. He told Jack Seely, later Lord Mottistone, “Jack, when you cross Europe you land at Marsai, spend a night at Lee-on and another in Paree and, crossing by Callay, eventually reach Londres. I land at Marsales, spend a night in Lie-ons, and another in Paris, cross by Calase, and come home to London.” He believed that of all languages, English was incomparably superior. On his tongue, it was.42
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-
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-Throughout his youth, he once said, “it was my only ambition to be master of the spoken word.” He glittered as a young MP, speaking after elaborate preparation but—like his father before him—without a note. Then one spring evening, in the middle of an address on a trade-union bill, he discovered that he couldn’t recall a word of his peroration. Speechless, he sank down on the bench and buried his head in his hands. Thereafter, when delivering a major speech, he came armed with everything he was going to say, including the pauses and the pretended fumbling for the right phrase in the first few sentences and anticipating “Cheers, ‘Hear, hears,’ ” “Prolonged cheering,” and even “Standing ovation.” He said accurately, “I am not an orator. An orator is spontaneous.” William Hazlitt wrote that the first duty of an orator is to echo back the feelings of his audience. Pitt translated a Latin epigram: “Eloquence is like a flame: it requires fuel to feed it, motion to excite it, and it brightens as it burns.” But Churchill was no echo; he needed neither fuel, motion, nor reflected glow. His speeches were one-way. Their luster owed nothing to his listeners. F. E. Smith said: “Winston has spent the best years of his life writing impromptu speeches.” Many of them were written in the bathtub. Norman McGowan, one of his valets, was surprised on his first day to hear his master’s voice rumbling from the bathroom. He put his head in and asked: “Do you want me?” Churchill rumbled, “I wasn’t talking to you, Norman. I was addressing the House of Commons.” Harold Nicolson congratulated him upon a remark to a small audience, apparently improvised as he left the podium. Churchill snapped, “Improvised be damned! I thought of it this morning in my bath and I wish now I hadn’t wasted it on this little crowd.”43
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-He estimated that the preparation of a forty-minute speech took between six and eight hours. The actual writing of it wasn’t writing at all, at least not by him. He made his living, he said, “from mouth to hand.” He prowled back and forth in his study, head down, hands clasped behind his back, dictating to a secretary at a typewriter. That became the first of several drafts, the basis for his preliminary revisions. Scissoring and pasting came next. He despised the thump of staplers—the only sound he hated more was whistling—so in fastening pages he used a paper punch and threaded tape through the holes. He called the punch his “klop” or “klopper.” “Bring me my klop,” he would tell a secretary. (There was a memorable day at Chartwell when a new girl left and returned staggering under the weight of Onno Klopp’s fourteen-volume Der Fall des Hauses Stuart.) Eventually, when the address reached its penultimate form, he would add the asides and “RHGs” (Right Honourable Gentlemen), underlining certain sentences, capitalizing others, and spacing the lettering to indicate words which were to be stressed or spoken slowly. In the last stage a special typewriter with large type was wheeled out. The speech was ready to be set down in what the staff called “psalm form” because it looked as though it were being pointed for singing. This is what Churchill would see when he stood in the House, arranged his two pairs of spectacles, and glanced down at the final draft:44
-
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-We cannot yet see how deliverance will come
-
-or when it will come.
-
-but nothing is more certain
-
-than tt every trace of Hitler’s footsteps,
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-every strain of his infected
-
-and corroding fingers,
-
-will be sponged and purged
-
-and, if need be, blasted
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-fr the surface of the earth.
-
-
-He was never a man for small talk, and during his early, awkward years, the cut and thrust of House debates found him wanting. Painfully aware of this weakness, he blamed it on his lack of a university education, during which such skills would have been developed and honed. His manner, haughty even then, invited merciless attack. Arthur Balfour taunted him: “The Right Honourable Gentleman’s artillery is very powerful but not very mobile.” Slowly Churchill realized that while he was a born writer, he would have to make himself a great parliamentarian. He did it by practicing endlessly in front of mirrors, fashioning ripostes to this or that parry. He would never be comfortable listening to others speak, but over the years he came to relish Question Time in the House. And though his monologues were always more brilliant than his exchanges across the aisle, he developed a wit which has become an authentic part of his legend. It was not always good for him. As Harold Laski pointed out, people were so anxious to remember what he said that they didn’t drive him to defend his positions. Yet we can only be grateful to them for setting down his gibes. He shone and would have shone in any company—Falstaff in Eastcheap, say, or Ben Jonson at the Mermaid, or Johnson and Burke at the Mitre. Watching him build up to a quip was an entertainment in itself. Hugh Massingham recalls: “One always knew it was coming. His own laughter began somewhere in the region of his feet. Then a leg would twitch; the bubble of mirth was slowly rising through the body. The stomach would swell; a shoulder heave. By this time, the audience would also be convulsed, although it had no idea what the joke was going to be. Meanwhile, the bubble had ascended a little further and had reached the face; the lips were as mobile and expressive as a baby’s. The rich, stumbling voice would become even more hesitant. And finally there would be the explosion, the triumphant sentence of ridicule.”45
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-Like all true wits, he knew the tickling quality of the unexpected. One day in the White House, according to Harry Hopkins, Churchill stepped naked from his bathroom just as Roosevelt was wheeling his chair into the room. This was always happening to him; the maids in his household and at No. 10 had grown accustomed to his nudity. In this case FDR apologized and turned to go, but Churchill held up a detaining hand. He said solemnly: “The Prime Minister of Great Britain has nothing to hide from the President of the United States.” Before the battle of El Alamein, he summoned General Montgomery and suggested that he study logistics. Montgomery doubted that he should become involved in such technical matters. “After all, you know,” he said, “they say that familiarity breeds contempt.” Churchill replied: “I would like to remind you that without a degree of familiarity we could not breed anything.” On his seventy-fifth birthday a photographer said: “I hope, sir, that I will shoot your picture on your hundredth birthday.” Churchill answered: “I don’t see why not, young man. You look reasonably fit and healthy.” On his eighty-fifth birthday a back-bencher in the House, assuming that Churchill was out of earshot, told the MP beside him: “They say the old man’s getting gaga.” Without turning, Winston said: “Yes, and they say he’s getting deaf, too.”46
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-More in character, his wit was usually aggressive. Sometimes he chose the rapier. Lady Astor neither gave nor asked for quarter, and she got none from him. At a dinner party she told him: “Winston, if I were your wife I’d poison your soup.” He replied, “Nancy, if I were your husband, I’d drink it.” But he was at his best baiting public men who crossed broadswords with him. It was Churchill who called John Foster Dulles “the only bull who brings his own china shop with him,” and who coined the progression, “dull, duller, Dulles.” The austere Sir Stafford Cripps was a favorite target. In North Africa in World War II the prime minister said: “Here we are, marooned in all these miles of sand—not one blade of grass or drop of water or a flower. How Cripps would love it.” After Cripps gave up smoking cigars, Churchill remarked that he was sorry to hear it: “The cigar was his last contact with humanity.” As leader of the Opposition, Attlee could hardly escape, though the Labour leader, with his strong ego, enjoyed Churchill’s jabs at him. When Attlee was in Moscow, Churchill said of the Labour MPs he had left behind, “When the mouse is away, the cats will play.” He called Attlee “a sheep in sheep’s clothing,” and “a modest man with much to be modest about,” and he drove a sharp needle into Labour policy one day when he met him in the House’s men’s room. Attlee, arriving first, had stepped up to the urinal trough when Churchill strode in on the same mission, glanced at him, and stood at the trough as far away from him as possible. Attlee said, “Feeling standoffish today, are we, Winston?” Churchill said: “That’s right. Every time you see something big, you want to nationalize it.”47
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-
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-His niche in history—it is a big one—is secure. And so is his place in our affections. He will be remembered as freedom’s champion in its darkest hour, but he will be cherished as a man. He was a feast of character, a figure emanating parochial grandeur like King David, and he also belonged to that rare species, the cultivated man of action, the engagé intellectual. Attlee said: “Energy and poetry… sum him up.” But nothing sums him up. He was too many people. If ever there was a Renaissance man, he was it. In the age of the specialist, he was the antithesis, our Leonardo. As a writer he was a reporter, novelist, essayist, critic, historian, and biographer. As a statesman he served, before becoming His Majesty’s first magistrate, as minister for the colonies and for trade, home affairs, finance, and all three of the armed forces. Away from his desk he was at various times an airplane pilot, artist, farmer, fencer, hunter, breeder of racehorses, polo player, collector of tropical fish, and shooter of wild animals in Africa. One felt he could do anything. That was why he seemed inevitable in 1940. Bernard Shaw said: “The moment we got a good fright, and had to find a man who could and would do something, we were on our knees to Winston Churchill.”48
-
-It is pointless to expect balance and consistency in genius. Churchill was not made like other men. Among his many traits was a kind of built-in shock absorber which permitted him to survive his repeated defeats and concomitant depressions. Going through his papers one is struck by his resilience, his pounding energy, his volatility, his dogged determination, and his utter lack of humility. He said: “I am not usually accused, even by my friends, of being of a modest or retiring disposition.”49 In the thousands of photographs of his face you will find every expression but one. He never looked apologetic. He had the temperament of a robber baron. As Walter Bagehot said of Palmerston, “His personality was a power.” In World War I John Maynard Keynes singled out as his most striking virtue his intense concentration on the matter at hand—precisely the quality which, in the opinion of William James, identifies men of genius. In games he was a consistent winner. Like his distant cousin Douglas MacArthur, he was satisfied by nothing short of victory.
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-He was formidable, but he was also cherubic. That was what made him lovable even to those who recoiled from his benevolent despotism. He said, “All babies look like me.” They did, and he looked like, and sometimes acted like, them. He enjoyed a child’s anthropomorphism—finishing a book, he would put it aside and say: “I don’t want to see his face again.” His chief playthings were his seven-inch cigars, Romeo y Julietas and La Aroma de Cubas. Most of the time they were unlit; he liked to chew and suck them anyway, and when an end grew soggy, he would fashion mouthpieces—“bellybandos,” he called them—from paper and glue. Mornings he worked in bed wearing a scarlet and green-dragon silk bed jacket, with papers strewn around him, and his play in the bath was an important part of his daily ritual; on long flights his luggage included a portable canvas bathtub. Dictating, or just puttering around his study, he wore a bright quilted dressing gown, which had been originally designed for a character playing Pooh-Bah in a production of The Mikado, and gold-embroidered slippers bearing his initials, a gift from Lady Diana Cooper. In his Siren Suit, Lady Diana recalls, he looked “exactly like the good little pig building his house with bricks.”50
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-He was the absolute romantic. His paintings reflect this. There are no monotones—each stroke of his brush added shimmering light and color. And everything he painted or wrote, his very gestures, was invested with emotionalism. “I’ve always been blubbery,” he said. No man wept more easily. His tears flowed at the mention of gallantry in battle, the thought of “invincible knights in olden days,” victims of anti-Semitism, Canadian loyalty to the Empire, the death of George VI, Elizabeth II’s kindnesses toward him, or the name of Franklin Roosevelt—“the best friend Britain ever had.” He never tried to hold back the teardrops because he never knew any inhibitions. In the middle of a 3:00 A.M. wartime conference at Chequers, the prime minister’s country home, his generals took a smoking break. One started playing “The Blue Danube” on a piano, and to their amazement their host, all alone, started waltzing dreamily around the floor. His feelings about his family were laced with sentimentality. His home was an independent kingdom, with its own laws, its own customs, even its own language. “Wow!” one of them would say in greeting another. When Churchill entered the front door he would cry: “Wow! Wow!” and his wife would call back an answering “Wow!” Then the children would rush into his arms and his eyes would mist over. Except when they lived at Chequers, their closest moments were at Chartwell. He tried never to miss a weekend there. It says much for his belief in privilege, and for his staff’s unquestioning acceptance of it, that No. 10 observed two distinct standards at Christmas, 1940. He was asked if the staff would have any time off. He said, “Yes, an hour for divine services.” Then they all applauded as he flourished his V sign and left to spend a working holiday with his family.51
-
-The Churchill children were never spanked. The worst that could happen to them, according to Sarah, was banishment from his presence. Like many another great captain who has sent thousands of men to their deaths, he shrank from personal violence. This was most striking in his treatment of animals, even of insects. Since he detested fresh air—he had his bedroom windows sealed with putty—it was hard for bugs to get at him. But sometimes a bee, wasp, or moth flew in from another part of the house. “Don’t kill him,” he would tell his valet. “Make sure you put him out the window.” Once, during a division in the House, Anthony Head, the first man out of the chamber, spied a ladybug on the carpet. Realizing that a thunder of MP feet would soon pass this way, he bent down to rescue it. At that moment the prime minister arrived and instantly grasped the situation. Taking charge, he said, “Put her out the window.” But since the introduction of air conditioning the windows had been permanently locked. “Use the Chancellor’s office,” he said, “and report back to me.” Head did, but when he returned Churchill was in conference with the French foreign minister. The secretary told him he could look in for a moment. Head did and told Churchill: “She escaped. I let her out through Macmillan’s window. Nobody touched her.” “Good, good!” the prime minister boomed. To this day Head wonders what must have passed through the foreign minister’s mind.52
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-“Poor fox,” Churchill said brokenly when an MFH presented him with a mounted fox head. En route to Chartwell one night, his car ran over a badger. He ordered the car stopped, picked up the shattered animal, and carried the dead, bleeding body home in the lap of his striped pants. He would cry over the death of a swan or a cat; would leave the House chamber to telephone Chartwell, asking about the health of his goldfish. But his favorite pet was his little poodle Rufus. More accurately, there were two of them, Rufus I and Rufus II; the first was run down when a maid left him off his leash. (Churchill never spoke to her again.) Sometimes the Rufuses slept with him. After taking dictation—it might be 3:00 or 4:00 A.M.—his secretary would take the dog for his nightly walk. As Winston was about to drift off he would ask, “Did Rufus do his business?” and, assured that he had, would sleepily congratulate him. The poodle ate in the dining room with the rest of the family. A cloth was laid for him on the Persian carpet beside the head of the household, and no one else ate until the butler had served Rufus’s meal. One evening at Chequers the film was Oliver Twist. Rufus, as usual, had the best seat in the house, on his master’s lap. At the point when Bill Sikes was about to drown his dog to put the police off his track, Churchill covered Rufus’s eyes with his hand. He said, “Don’t look now, dear. I’ll tell you all about it afterwards.”53
-
-Predictably, Churchill’s taste in entertainment was unpredictable. In literature it was excellent, though of course he preferred British authors. Music was another matter; aged eleven, he had asked his parents for cello lessons, had been turned down, and had developed instead a fondness for what his daughter Mary calls “somewhat primitive” tunes—such music hall favorites as “Daddy Wouldn’t Buy Me a Bow-wow,” “Ta-ra-ra-boom-der-ay,” “Hang Out the Washing on the Siegfried Line,” and a curious ballad about a husband who discovers that his bride has a wooden leg: “I Married Half a Woman and Half a Tree.” He enjoyed any movie about the Royal Navy; otherwise, his preference in films was less discriminating than one might expect. When he learned that Rudolf Hess had parachuted into Scotland, for example, he was watching the Marx Brothers. His favorite star was Deanna Durbin. His favorite motion picture—he must have seen it twenty times—was That Hamilton Woman with Laurence Olivier playing Lord Nelson and Vivien Leigh as his mistress. He was always lachrymose at the end of it. But probably the trashiest movie he ever watched was a sentimental pastiche based on a novel by Paul Gallico. Entitled Never Take No for an Answer, its chief character was a little Italian orphan whose donkey, named Violetta, helped him run a grocery stand. Violetta sickened. She could be healed, the boy believed, if he could take her to that hub of miracles, the Shrine of Saint Francis. So the orphan embarked on a journey, appealing in vain to a series of clerics: priests, archdeacons, bishops, archbishops, cardinals. Each time the boy was turned down the camera would flash back to Violetta, sprawled in her stable, ready for the last rites. Churchill wept inconsolably. “Oh, the donkey’s dead!” he would sob. The others would reassure him: “No, no, Prime Minister, she’s still alive.” Churchill would recover and declare firmly: “If the donkey dies, I shan’t stay. I shall go out.” Finally the boy, in his finest hour, was granted an audience with the pope. The pontiff reversed the lower rulings and made an appointment at the shrine for Violetta. In the last scene a blazing cone of light, slanting down from heaven, revealed the donkey, bursting with health, beside her loyal, trudging little friend. The prime minister arose slowly from his chair, his eyes luminous and his cheeks streaming.54
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-
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-Joyously human, anachronistic and wise, capable of willful misjudgment and blinding vision, dwarfing all those around him, he was the most benevolent of statesmen and the most gifted. Today the ordinary Englishman lives a better life than his fathers did, and for that he is largely indebted to Labour. But the extraordinary man has a harder time of it. He is trapped in regulations, his rise is impeded; his country pays a price. And even the masses seem to sense that while the socialists love ideas, Churchill, the unrepentant Victorian Tory, loved life. Since that love was balanced by a hatred of injustice, the average Briton owes him more than a higher standard of living. He owes him his very liberty.
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-“History,” wrote Aristotle, “is what Alcibiades did and suffered.” Social scientists impeach that, but Churchill never doubted it. Because the man was matched by his times, he achieved immortality and changed the world, for good or for ill—though not as he had expected or would have wanted, for he was not the only giant in the century. In the long reach of events the impact of the Churchillian era upon his island was decidedly mixed. Hitler lost the war but he didn’t lose it to Britain alone. Churchill, in desperate need of allies, forged a coalition with the United States and the Soviet Union and then had to make concession after concession to them. They emerged in 1945 as superpowers, while Britain, formerly Great Britain, lost its Empire, lost its independent and decisive role in world affairs, and sank to the level of a second-rate power. Of course, that, too, was Aristotelian. Alcibiades routed the Spartans, but in the end he was dismissed and fled to Asia Minor, where he was murdered by Spartan agents. Tragedy is the wasting shadow always cast, sooner or later, by towering heroism. Therein lay the terrible grandeur in Churchill’s funeral, a quarter-century after Dunkirk. The nation was bidding farewell both to a great Englishman and to the greatness of England. When his flag-draped coffin moved slowly across the old capital, drawn by naval ratings, and bareheaded Londoners stood trembling in the cold, they mourned, not only him and all he had meant, but all that they had been, and no longer were, and would never be again.
-
-
-
-
-
-PROLOGUE
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-
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-LAND OF HOPE AND GLORY
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-
-
-
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-ON February 4, 1874—the year of Winston Churchill’s birth—British troops led by General Sir Garnet Wolseley entered the small African city of Kumasi, now part of central Ghana, and put it to the torch, thereby ending the Second Ashanti War and winning the general a handsome spread on the weekly page devoted to the Empire in the Illustrated London News. He had worked for it. A melancholy martinet with spaniel eyes and a long drooping mustache rather like that of Lord Randolph Churchill, Winston’s father, Wolseley had joined Victoria’s army—“putting on the widow’s uniform,” as they later said—while still in his teens. Convinced that the surest way to glory lay in courting death at every opportunity, he had been felled by a severe thigh wound in the Second Burmese War, lost an eye to a bursting shell in the Crimea, and survived hairbreadth escapes while relieving Lucknow in the Indian Mutiny, capturing the Ta-ku Forts and Peking during Britain’s 1860 dispute with the Chinese, and suppressing an insurrection in Canada. After finishing off the Ashantis he fought Zulus and dervishes, and organized campaigns against Boer guerrillas. His concern for soldiers’ welfare won him a reputation among England’s upper classes as a dangerous radical. London’s cockneys loved him, however; their expression for topnotch was “all Sir Garnet.” His great ambition was to die a heroic death in action against the French. That failing, the general, who ended up a viscount, planned to enrich his heirs by writing his memoirs after his retirement. Unfortunately, by then he had completely lost his memory. Visitors who mentioned his conquests to him were met by blank stares. He died in 1913, the last year of England’s golden age.
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-Wolseley was one of the country’s imperial heroes—others included Clive, Stamford Raffles, Chinese Gordon, Richard Burton, and, of course, Cecil Rhodes—whose feats were held up to the nation as examples of how men of courage and determination could shape the destiny of that noblest achievement of mankind, the Empire. If their lives were metaphors of the Empire’s rise, that of Churchill, their rapt pupil, was the other way around. He entered the world in 1874, when the royal domain was approaching flood tide, and left it in 1965, as the last rays of imperial splendor were vanishing. That is one way of summing him up; it is, in fact, one of the ways he saw himself. Toward the end of his life he told Lord Boothby: “History judges a man, not by his victories or defeats, but by their results.”1 Yet the vitiation of the Empire does not diminish his stature. Alexander was driven out of India; Genghis Khan was undone by his sons; Napoleon lost everything, including France. Indeed, it may be argued that the greater the fall, the greater was a man’s height. If that is true, then Churchill’s stature rises above that of all other statesmen, for no realm, past or present, can match the grandeur of imperial Britain at its sublime peak.
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-
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-It was the Tory journalist John Wilson of Blackwood’s Magazine who first observed, in 1817, that “the sun never sets upon the Union Jack.” At any given moment, wherever dawn was breaking, Britain’s colors were rippling up some flagpole. If one could have ascended high enough in one of those balloons which fascinated Jules Verne and were actually used in the Franco-Prussian War, the view of Britain’s colonial sphere would have been breathtaking. Victoria reigned over most of Africa, both ends of the Mediterranean, virtually all that mattered in the Middle East; the entire Indian subcontinent, from Afghanistan to Thailand, including Ceylon, which on a map appeared to be merely the dot below India’s exclamation mark but which was actually the size of Belgium; Malaya, Singapore, Australia, islands spread all over the Pacific and the Atlantic, and Canada. The Canadians, proud of their loyalty to the Queen, issued a stamp depicting a world map with the Empire’s lands colored red. It was a study in crimson splotches. Although the British Isles themselves were dwarfed by czarist Russia, and were smaller than Sweden, France, Spain, or Germany, their inhabitants ruled a quarter of the world’s landmass and more than a quarter of its population—thrice the size of the Roman Empire, far more than the Spanish Empire at full flush, or, for that matter, than the United States or the Soviet Union today.
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-To its classically educated patricians, London was what Rome had once been: caput mundi, the head of the world. The popular aristocrat Lord Palmerston said that colonies were multiplying so rapidly that he had to “keep looking the damned places up on the map.” Disraeli said: “No Caesar or Charlemagne ever presided over a dominion so peculiar. Its flag floats on many waters, it has provinces in every zone, they are inhabited by persons of different races,… manners, customs.” All this had been acquired by imperial conquest, and young Winston Churchill, writing for the Morning Post from a colonial battlefield on September 12, 1898, took note of “the odd and bizarre potentates against whom the British arms continually are turned. They pass in a long procession. The Akhund of Swat, Cetewayo brandishing an assegai as naked as himself, Kruger singing a Psalm of Victory, Osman Digna, the Immortal and the Irrepressible, Theebaw with his umbrella, the Mahdi with his banner, Lobengula gazing fondly at the pages of Truth, Prompeh abasing himself in the dust, the Mad Mullah on his white ass and, latest of all, the Khalifa in his Coach of State. It is like a pantomime scene at Drury Lane.”2
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-All these suzerains lost, and all England rejoiced—loudly. The British were very vocal in their allegiance to their Empire. In public schools and public houses boys and men responded to “Three cheers for India!” and roared, to the music of “Pomp and Circumstance,” Edward Elgar’s patriotic hymn, composed in the last weeks of the old Queen’s reign:
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-Land of hope and glory, mother of the free,
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-How shall we extol thee, who art born of thee?
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-Wider still and wider shall thy bounds be set;
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-God who made thee mighty, make thee mightier yet;
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-God who made thee mighty, make thee mightier yet!
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-On declamation days children recited, from Kipling:
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-Dear-bought and clear, a thousand year,
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-Our fathers’ title runs.
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-Make we likewise their sacrifice,
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-Defrauding not our sons.
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-Music hall favorites were “The Death of Nelson,” by S. J. Arnold and John B. Raham; “Annie Laurie,” the great hit of the Crimean War; and, later, the rousing “Soldiers of the Queen.” Today their great-grandsons wince at the public displays of patriotism, but the Victorians responded quickly to calls of Duty, the Flag, the Race, the White Man’s Burden; the lot. Far from feeling manipulated—which they were; most Victorians gained nothing from the nation’s foreign conquests—they memorized lines from W. E. Henley, the balladeer of England’s colonial wars:
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-What if the best our wages be
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-An empty sleeve, a stiff-set knee,
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-A crutch for the rest of life—who cares,
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-So long as One Flag floats and dares?
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-So long as One Race dares and grows?
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-Death—what is death but God’s own rose?
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-Her Britannic Majesty was “by the Grace of God of the United Kingdom of Great Britain and Ireland and of the British Dominions beyond the Seas, Queen, Defender of the Faith, Empress of India.” In thatch-roofed villages of British North Borneo and the steamy jungles of Sierra Leone, her primitive vassals regarded her as divine and slit the throats of propitiatory goats before her image, usually a drab statue of a dowdy woman wearing a tiny crown and holding an orb and scepter. Elsewhere Anglican missionaries prevailed and read their Book of Common Prayer in hundreds of languages and dialects, from Swahili to Urdu, from Maori to Bugi, from Kikuyu to Mandarin, and even, in remote valleys on the Isle of Man, the ancient tongue of Manx. Information from Victoria’s twenty-five turbulent tribal possessions in the Middle East reached Britain from their only contact with the outside world, Aden, on the tip of the Arabian Peninsula, which had been acquired as a coaling station for the British fleet. There an Englishman perspiring beneath a gyrating punkah sent the Queen all the news she needed from the sheikhs: “They are content to be governed from London.” No one in Whitehall paid much attention. The only resource the Arabs could offer the Empire was an unpleasant liquid, of limited value, called oil.
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-Most Englishmen were familiar with scattered facts about the Empire. They had only the haziest idea of where Borneo was, but they had seen its Wild Man exhibited in a traveling cage. They knew the silhouette of lion-shaped Gibraltar, knew the legend that if Gibraltar’s monkeys vanished from its caves, the Empire was finished. (In the midst of World War II Churchill found time to replenish the Rock’s supply of monkeys.) They were proud of the Suez Canal, then considered an engineering marvel, and they were under the impression that all Egypt belonged to them, too. That wasn’t strictly true; Egypt still flew its own flag and paid homage to the sultan of Turkey, but after the Queen’s fleet had pounded Alexandria into submission, the country was run by the British agent and consul general. Thomas Cook and Son, booking clerks for the Empire, reserved Shepheard’s Hotel’s best rooms for Englishmen on official business. Cook’s also ran steamers up the Nile for English tourists, though pilots turned back short of the Sudan border in 1885, after fanatic tribesmen of the Mahdi butchered Chinese Gordon in Khartoum. This tiresome restriction ended in 1898 when Kitchener routed and humiliated the tribesmen under the critical eye of young Churchill.
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-The British public was aware of the tiny island of Saint Helena, in the middle of the Atlantic, because that was where imprisoned Napoleon spent his last years, but such possessions as Ascension isle, Saint Helena’s neighbor, which provided the turtles for the turtle soup at the traditional banquets of London’s lord mayor, and Tristan da Cunha, the most isolated of the Empire’s outposts, twelve hundred miles south of Saint Helena, in the broadest and most desolate reaches of the Atlantic, were virtually unknown outside the Colonial Office. Yet if ordinary Englishmen were confused about details of their realm, they can scarcely be blamed. The Empire itself was the vaguest of entities. Legally, under the British constitution, it did not exist. It was a kind of stupendous confidence trick. By arms or by arrogance, Englishmen had persuaded darker races that Britain was the home of a race meant to dominate the world. Therefore they ruled by consent. So successful was this bluff that the Mother Country held its possessions with an extraordinarily thin line of bwanas and sahibs; in India, for example, the rule of the Raj was administered by roughly one member of the Indian Civil Service for every 200,000 subjects.
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-Unless one counts Ireland, England’s first imperial conquest was Newfoundland, discovered by John Cabot in 1497. The East India Company was chartered in 1600, and thereafter explorers like Captain James Cook, roaming the South Pacific, were followed by missionaries and merchants who ruled and exploited the new lands. It is true that the newcomers introduced natives to law, sanitation, hospitals, and, eventually, to self-government, but Dickens’s Mrs. Jellyby, neglecting her family while “educating natives of Borrioboola-Gha, on the left bank of the Niger,” was deceiving herself about her country’s chief imperial motive. Palmerston, under no such illusion, said it was the government’s goal to “open and secure the roads for the merchant,” and Joseph Chamberlain said Whitehall must “find new markets and defend old ones.”3 Expansion of Britain’s maritime strength had led to settlements on America’s east coast and the hoisting of the Union Jack over the West Indies. The conquest of India had begun with a small trading station at Surat, on the west coast. Canada had been an acquisition of the Hudson’s Bay Company, a firm just as zealous in its pursuit of profits as the East India Company. Victorian Australia was built on the need for cargoes of gold and wool. And each new territory meant a further boost of England’s entrepôt trade, expansion of markets for the coal of Wales, the textiles of Lancashire and Yorkshire, and the steel of Sheffield and Birmingham. By Churchill’s youth the nation’s foreign trade had reached the astounding total of £669,000,000 a year.
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-As James Morris pointed out in his masterful Pax Britannica, the Empire’s growth had been “a jerky process,” a formless, piecemeal advance which leapfrogged across continents and was never static. Sometimes imperial possessions were lost—Manila and Java were once British, and so, of course, were the American colonies—but the realm always waxed more than it waned. The great prize, “the brightest jewel in the imperial crown,” as Englishmen said then, was the Indian Empire, comprising the modern nations of India, Burma, Pakistan, Sri Lanka, and Bangladesh. It was the need to secure their ties to India which, they said, justified holding the southern tip of Africa, Gibraltar, Malta, Cyprus, Port Said, and Aden. But the brightest jewel could also be approached from the other direction, so they had to have Sarawak, the Straits Settlements, and Malaya, too. The fact is that just as all roads had once led to Rome, so did all sea-lanes lead to India. When that argument seemed strained, as in Africa, the Queen’s statesmen explained that they had to move in before other great powers did. With this excuse, Victoria’s Lord Salisbury gobbled up the lion’s share of Africa without igniting a European war.
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-Imperial unity was a fiction proclaimed every time colonial officials visited London. Usually all they had in common were hats bought in St. James’s Street and gloves and spats from Dents’. Each possession had its own degree of freedom, its own language and customs, its own vision of God. The stable Dominions, Canada, Australia, and New Zealand, governed themselves, and Australia even ran its own colonies, the Cook Islands in the Pacific. Most possessions of the Queen were protectorates, territories, or Crown Colonies. Running these was the responsibility of His Excellency, the local governor, who had all the trappings of royalty. On ceremonial occasions he wore a gaudy uniform with a cocked hat sprouting ostrich feathers; he was entitled to a seventeen-gun salute; men bowed to him; and women, including his own wife, curtsied as he led a party into his dining room, where he was served before anyone else. His reward for good and faithful service was inclusion on the Honours List at home. (The irreverent said that CMG stood for “Call Me God,” KCMG for “Kindly Call Me God,” and GCMG for “God Calls Me God.”) This, subscriptions to The Times, the stiff upper lip, the legends of Nelson and the Charge of the Light Brigade, faith in the pound sterling, “Abide with Me,” and a passion for cricket were among the frail linchpins linking imperial lands. Yet even on the administrative level there were exceptions to the colonial pattern. One Asian state was governed from a private office at 37 Threadneedle Street in London. Another, Sarawak, in Borneo, was an independent, third-generation despotism whose 600,000 people were ruled by an Englishman, the “White Raja.” The White Raja, Charles Brooke, had his own flag; national anthem; newspaper, the Sarawak Gazette; and army, the Sarawak Rangers. Since he accepted British “protection”—permitting Whitehall to handle his foreign affairs—Sarawak was considered part of the Empire. Similarly, Nepal had a native sovereign, but the Nepalese cavalry pledged allegiance to the British Resident and bore his personal crest. Native sultans and rajas were accepted as aristocrats and were usually addressed as “Your Exalted Highness.” For diplomatic reasons, however, the islands of Tonga were recognized as an independent kingdom. Tonga’s queen was greeted as “Your Majesty.” When Edward VII, who took the matter of royal blood very seriously, was told that he was about to meet the sovereign of Tonga, he asked suspiciously, “Is she a real queen or just another damned nigger?”4
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-By then the Empire was on an ebb tide, but even at its peak it was a lurching, reeling contraption, riddled with contradictions and inequities. Matthew Arnold knew how vulnerable it was:
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-… she
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-The weary Titan, with deaf
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-Ears, and labour-dimm’d eyes,
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-Regarding neither to right
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-Nor left, goes passively by.
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-Staggering on to her goal;
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-Bearing on shoulders immense,
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-Atlantean, the load,
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-Well-nigh not to be borne,
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-Of the too vast orb of her fate.
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-And yet the thing worked. In those days before the Wright brothers began the annihilation of distance, sea power was everything, and no other nation could match Britain’s. Altogether there were 330 imperial warships, manned by over 92,000 tars, policing the world’s waterways and keeping trade free. Spangling all oceans with their coaling stations and strategic forts, they were the strongest guarantee of the Empire’s integrity, and their men spoke of its far-flung domains with the affectionate familiarity of men supremely confident of their national strength: the sacred Swami Rock in Ceylon was “Sammy Rock”; Barbados was “Bimshire”; Kuala Lumpur was “K.L.”; Johannesburg was “Joburg”; Alexandria was simply “Alex.” When the mighty British Mediterranean Fleet sighted Malta, the whole population turned out for the spectacle. The ships were painted silver, with tars in white in rigid formation on the decks; the procession was led by destroyers, followed by cruisers and then the battleships. Royal Marine bands played “Hearts of Oak” and the ships anchored with their prows pointing seaward, baring their teeth to any challenger.
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-Britannia ruled the waves, and Britons knew how important that was; every family with the means clothed its children in sailor suits and sailor dresses, their caps bearing the name of the Queen’s latest battleship. And the warships were only part of it. The other part was the merchant marine. At the peak of its glory, England was launching a thousand merchant ships every year, most of them on the Clyde. More than half the world’s maritime vessels flew the red ensign of British merchantmen; at any given moment they were carrying 200,000 passengers. The Peninsula and Oriental Steam Navigation Company’s four-week voyage between the Mother Country and Calcutta, then India’s capital, had become a legend. The worst part of the passage was the crossing of the Red Sea. Those who could afford relative comfort bought—for fifty pounds each way, not counting deck-chair rental—port-side cabins going out to India and starboard cabins for the trip home; in time “Port Out, Starboard Home” became the acronym POSH. Unfortunately the service was anything but posh. Kipling wrote that P & O crewmen behaved “as though twere a favour to allow you to embark.”5
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-But if the crews seemed high-handed to their British passengers, all Britons had that reputation in other nations. Robert Laird Collier, an American touring England in the 1880s, wrote: “No people are so disliked out of their own country…. They assume superiority, and this manner is far from pleasant to other people…. They are overbearing, and haughty…. I have never seen among any people such rudeness and violation of good breeding…. As a nation they are intensely selfish and arrogant.” In their “Splendid Isolation”—isolationism was British before it became American—Englishmen looked disdainfully across their Channel and said: “The wogs begin at Calais.” Thomas Cook lectured the French on the cancan as a sign of national decadence, performed with “an unnatural and forced abandon,” and when a dispatch from Africa reported a French colonial claim, Joe Chamberlain, the very model of an imperial statesman, scrawled in the margin: “Cheek!” England issued the first postage stamp, the “Penny Black,” in 1847, and in an act of conceit undiminished by the fact that it was unintentional, the stamp bore a cameo of the Queen and nothing else—identification of the country seemed superfluous. Yet sometimes British contempt could be magnificent. Dressed to the nines, buttons glittering and collar starched, Captain William Packenham went ashore to deal with a gang of cutthroats who were massacring Armenians. The leaders of the pogrom gathered around him, glowering and fingering the edges of their bloody knives. Packenham stroked his beard and told the interpreter: “Let us begin. Tell these ugly bastards that I am not going to tolerate any more of their bestial habits.”6
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-Britons were so sure of themselves. Like today’s Americans, who are also disliked abroad, their dominance was the consequence of a cluster of accidents, among them their tremendous deposits of coal and iron ore—one-third of all the miners on earth were British—and England’s role as the birthplace of the Industrial Revolution. Thus, Britain had naturally become the world’s manufacturer, merchant, shipper, and banker—“the workshop of the world.” Not only were Britons certain that they would keep all they had; they expected more and more—“wider still and wider.” Already English economists were managing Siam’s foreign trade. There were two British colonies, British Honduras and British Guiana, in Latin America. More important, Hong Kong and Weihaiwei were on the Chinese coast; in London, men speculated over when Victoria’s other titles would be joined by “Empress of China.” They also dreamed of a Cape-to-Cairo railway, just as Germans looked toward a Berlin-to-Baghdad railway. Englishmen had expelled officious Chinese from Tibet, and the Indian Ocean was already an English lake. Southeast Asia’s future was pretty much settled. The Bank of Persia was a British firm. In Italy, the cable car route up Mount Vesuvius was owned outright by Cook’s. Constantinople had its own judge and jail for Englishmen. The inspector general of Chinese Customs was Irish, and the military adviser to the sultan of Morocco was a Scot. Foreign governments were told where and when to build new lighthouses, and if they weren’t prompt, the British solved the problem in their own way; the P & O put one up in the Red Sea on Dardalus Reef—foreign soil—and hired Englishmen to man it.
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-London was not only the capital of the world; it was the largest metropolis history had ever known, bigger than most imperial possessions or even some European powers. As we shall see, in matters of sex the Victorians should be judged, not by what they said, but by what they did; during the century before Churchill’s birth the population of the island tripled—then a reproductive record—and London grew from two million souls to five million. (It was also the favorite of expatriates. Over thirty thousand Germans lived there, over fifteen thousand Americans, and more Irishmen than in Dublin.) The advent of trains and steamships had seen London rise as England’s greatest port and the largest exporter on earth. The clocks of the world were measured from Greenwich. The Near East and the Far East were so called because they were near and far from London. Lloyd’s was the world’s insurance agent, and had been for two hundred years. In the vaults beneath the City’s banks, gold bars rose in gleaming stacks; British securities were worth an astounding £11,333,000,000. The interest on foreign investments alone exceeded £100,000,000 a year. The gold sovereign was the strongest currency on earth; the City, the world’s center of finance, commerce, and banking. London was the center of much else. Here, at the time of Churchill’s birth, Joseph Lister was pioneering antiseptic surgery. Here Bessemer had perfected his process. Here Darwin, Tennyson, Browning, and Trollope were at the height of their careers. Dickens had been in his grave only four years; John Stuart Mill less than one. And if distant natives became restless, British ingenuity could be counted on to solve the problem:
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-Whatever happens, we have got
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-The Maxim gun and they have not.
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-In London there were ten mail deliveries a day. “Communications,” Morris wrote, “were the first concern of [the] late Victorian rulers.”7 Letters reached Melbourne in four weeks, and British lines of communications, which had begun with cables to India and the United States in 1866 and were now spanning Australia, would soon gird the entire world. Distant outposts still depended upon native runners, trotting through jungles or over highlands with forty-five-pound leather pouches slung over their shoulders, but the days of isolation for months or sometimes years were past. Lebensraum was one of the Empire’s driving forces; millions of Englishmen lived under its mandates, and serving them was a major industry. If you were posted near one of the population centers, the free ports of Aden, Gibraltar, Singapore, or Hong Kong, for example, you lived in style. The ubiquitous Cook’s would provide you with poultry, vegetables, rowboats, donkeys, servants wearing Cook’s livery, and even the Oxford Marmalade of which Victorians were so fond. Cook’s made the arrangements for Gordon’s and Kitchener’s military expeditions on the Nile and also for troops fighting on India’s frontiers. Cook’s planned Moslem pilgrimages to Mecca and arranged Queen Victoria’s own travels. On one occasion Cook’s mapped out a European trip for an Indian maharaja whose baggage train included twenty chefs, ten elephants, thirty-three tigers, and a Krupp cannon.
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-Except for the time lag for news from home, which the cables would soon close, Englishmen in the Empire’s settled possessions were well informed about the world’s goings-on. In Cairo, say, you could read the Egyptian Gazette, or in Lahore the Civil and Military Gazette, subedited by young Kipling. The reading room of your club carried Punch, the Book of Horse, Blackwood’s, Wisden, and Country Life. The favorite London paper was the archimperialist Daily Mail, which, typically, said of lascars: “It is because there are people like this in the world that there is an Imperial Britain. This sort of creature has to be ruled, so we rule him, for his good and our own.” Doing so required preservation of the myth of white supremacy; of what we call racism. (Significantly, there was no such word then.) Conditions had improved since pre-Victorian days, when a native could be castrated for striking a white man or hanged for the theft of one shilling and sixpence. Certainly the average Indian or African toiling beneath the Union Jack was far better off than the average Chinese under his warlords, but British colonial hotels still found it necessary to display notices reading: “Gentlemen are requested not to strike the servants.” English soldiers arriving in imperial cantonments were coached in how to avoid inflicting blows on the face, where the bruises would show. And Africans were caned frequently, like unruly boys.8
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-Playing the role of an Übermensch wasn’t always pleasant. You paid the price of the myth. In Calcutta it meant wearing a frock coat and top hat in the punishing heat. Even the white linen suits and cork topees worn inland could be cruelly uncomfortable. Emotional discomfort could be worse. For loving parents the hardest moment came when a boy reached his seventh birthday, time for him to be sent home to school, never again to be seen as a child. Health was also a problem. Every newcomer could expect to be laid low by diarrhea—“Delhi Belly.” Old-timers suggested Cockle’s Pills, and they seemed to work for some. Others suffered from intestinal upsets, off and on, throughout their colonial years, attended by the native “wet sweepers” who serviced the privies known as “gulkskhanas” or, more vulgarly, as “thunder boxes.” It didn’t help that snakes were said to slither inside sometimes and lurk within the thunder box, coiled there, waiting to bite the next visitor.
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-The penultimate sin for an Englishman, in all imperial possessions, was to go broke. If it happened, the hat was passed for passage home, and the penniless offender was dumped on the dock like trash, which was how he was regarded. Only cowardice was worse than indigence. Showing a yellow streak was the greatest threat to rule by consent of the ruled, the surest way to shatter the image, and the man guilty of it was lucky to escape unflogged. Absolute fearlessness was assumed. Death in battle was the noblest of ends. In Africa, men’s eyes misted over and their voices grew husky in speaking of Major Allen Wilson’s Last Stand on the bank of the Shangani River during the wars against the Matabele tribesmen in 1896. When Wilson and his thirty-two men had run out of ammunition, the story ran, they shook hands, sang “God Save the Queen,” and stood shoulder to shoulder to meet their doom. There were many similar examples. The Last Stand—resistance to the last man—was in fact a kind of rite, a tableau vivant celebrated in Victorian yarns and ballads, and in Wilson’s case by a famous painting, Allan Stewart’s There Was No Survivor, depicting dauntless men veiled in gunsmoke, surrounded by their dead horses, with their leader stage front, bareheaded, a sublime expression on his face. Such accounts were particularly popular in Chatterbox, a magazine favored by genteel children; they were probably a secular expression of the evangelical Christianity which swept England in the 1870s and 1880s.
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-Chinese Gordon was the most heroic martyr. His hour of glory struck on January 28, 1885, when Winston was ten. According to one popular account, Gordon waited until the Arabs were storming his Khartoum palace. Then, knowing all was lost, it was said, he changed into his white uniform at daybreak and took up a position at the head of the stairs, “standing in a calm and dignified manner, his left hand resting on the hilt of his sword.” Racing upward, one sneering Arab shouted, “O cursed one, your time has come!” Gordon, according to this version, “made a gesture of scorn and turned away.” Moments later he was impaled upon a half-dozen spears. Queen Victoria wrote his sister: “How shall I write to you, or how shall I attempt to express what I feel? To think of your dear, noble, heroic Brother, who served his Country and his Queen so truly, so heroically, with a self-sacrifice so edifying to the World… is to me grief inexpressible!” What is peculiar about this is that Gordon’s garrison, like Wilson’s, had been wiped out. As there were no survivors, there had been no one to tell the world how either had actually ended.9
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-In India, Last Stand immortality was attained in Burma or on the North-West Frontier, among the Afghans and the warring tribes of the Waziris, the Mahsuds, and the Afridis. It was in Kabul, on September 3, 1879—the year Winston began reading Chatterbox—that Arabs invaded the British legation and put Sir Louis Cavagnari and his staff to the sword. Disraeli had assured the Commons that the position was impregnable, and Gladstone never let him forget it. Yet turning the brittle pages of old newspapers one has the distinct impression that the sentimental Victorians enjoyed their sobs. They erected statues of Sir Louis and went about rejuvenated. The following year they put up another after a gallant young officer named Thomas Rice Henn and eleven men forfeited their lives while covering the retreat of an entire British brigade. Wolseley wrote of Henn: “I envy the manner of his death…. If I had ten sons, I should indeed be proud if all ten fell as he fell.”10 Horatius had held the Sublician Bridge over the Tiber to the last, or so Macaulay had said, and now, over two thousand years later, soldiers of the Queen were inspired by a similar code of valor:
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-The sand of the desert is sodden red—
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-Red with the wreck of a square that broke—
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-The Gatling’s jammed and the Colonel dead,
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-And the regiment blind with dust and smoke,
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-The river of death has brimmed his banks,
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-And England’s far, and honour a name,
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-But the voice of a schoolboy rallies the ranks:
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-“Play up! play up! and play the game!”
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-This famous stanza strikes an odd note. The typical British soldier, if he had any education at all, had attended a “Ragged School” for the poor, where there were no games and certainly no concept of fair play. Those were the legacy of the public schools—Eton, Harrow, Winchester, Westminster, Charterhouse, Rugby, Shrewsbury—in whose forms the future rulers of the Empire were trained. The Victorian age was the Indian summer of homage, before wars, depressions, and nuclear horrors had destroyed faith in all establishments. The social contract was everywhere honored. England was guided by the self-assured men of the upper classes. They thought themselves better than the middle and lower classes, just as those classes assumed that they were better than the fellahin and the dukawallahs. In both cases the presumption was rarely challenged.
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-The selection of the Queen’s proconsuls in the colonies was oligarchic, a product of what later generations would call “the old-boy network” or—to use an allusion they would have understood—a philosophic vision not unlike that of Er the Pamphylian in Plato’s Republic, who, watching the souls choosing their destiny, saw the noblest pick power. There were two ways to enter the autocracy of colonial Britain. If you were recommended by your tutor at Oxford, say, or at Cambridge or Edinburgh, and were between the ages of twenty-one and twenty-three, you could make an appointment at the India Office, situated along one side of the Foreign Office quadrangle at the corner of Whitehall and Downing Street. There you were given the Indian Civil Service examination on subjects ranging from Sanskrit to English literature, and if you passed you were tested on another spectrum of topics, including Asian languages and horsemanship, a year later. Candidates who were accepted were off to Calcutta, Bombay, or Madras on the P & O, probably for good. The “Indian Civil,” or “ICS,” was a much stiffer hurdle than that at the Colonial Office, on another side of the quadrangle. Applicants there needn’t be brilliant; indeed, those with a first-class degree were suspect. The emphasis was on “character” and the “all-rounder,” on being “steel-true and blade-straight.” You were interviewed by the colonial secretary’s assistant private secretary, who never saw a British colony in his life. The atmosphere in his homey office was convivial, clublike, manly. One talked of mutual acquaintances, friends, headmasters, tutors, and engaged in similar rituals of self-reference. In this crucial stage it was important to have the backing of someone whom the interviewer considered a keen judge of men—someone like Benjamin Jowett, the cherubic master of Balliol College, Oxford. Jowett’s maxims tell us much about his protégés. He said: “Never retract. Never explain. Get it done and let them howl.” And: “We are all dishonest together, and therefore we are all honest.” And, on Darwin’s Descent of Man: “I don’t believe a word of it.” He was partial to peers and noble families on the ground that “social eminence is an instrument wherewith, even at the present day, the masses may be moved.” If Jowett or his sort approved, a stripling just out of the university might find himself ruling a territory twice the size of Great Britain, acting as magistrate, veterinarian, physician, resolver of family quarrels, and local expert on crop blight. The similarity of officials’ backgrounds gave the realm a certain cohesiveness. Morris observed: “All over the Empire these administrators, like members of some scattered club, shared the same values, were likely to laugh at the same jokes, very probably shared acquaintances at home…. Place them all at a dinner table, and they would not feel altogether strangers to each other.”11
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-It was collusion, of course, and it could lead to highly unsuitable appointments, particularly when a great family wanted to rid itself of a black sheep. But most of the youths grew into shrewd men; the level of performance was very high. And many of them could scarcely be envied. Often they started out living in leaky mud huts, rarely seeing anything of their countrymen except for an occasional trader or missionary with whom, under other circumstances, they would have had nothing in common. They often had only the vaguest idea of the boundaries defining their territories, or the size of the populations for which they were responsible. In Uganda, six months was added to home leave because an Englishman had to walk eight hundred miles to reach civilization. While on leave he had to choose an English wife in a hurry, because it might be years before he saw another white woman. With grit, that quality much prized among the Victorians, he stuck it out, sometimes leaving a benign stamp on his tract of the wild. In Nyasaland, England’s deepest penetration into Africa, you can still find natives who, because their overlord was Scottish, recite Christian prayers with a Scot’s burr: “The Lor-r-r-d is my shepherd…”12 It is difficult to condemn men who followed their star when the temptation to slacken was immense, who daily wore their quaint little uniform of white shorts and white stockings into which the traditional pipe was stuffed, but dressed for dinner whenever possible, to keep a sense of order, and carried collapsible little flagpoles wherever they went, so that the fluttering Union Jack would always remind their wards of their distant Queen.
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-Uganda and Nyasaland were hardship posts. Elsewhere life was more agreeable. In Kenya, British residents stocked streams with trout, and all the great imperial cities had racecourses and polo fields. John Stuart Mill called the whole Empire “a vast system of outdoor relief for the British upper classes.”13 That was misleading—by their sheer numbers, non-U voices were more audible than the accents of the U—but it was the highborn British who set the tone, which, by the time young Winston Churchill reached India, had become disturbingly insular. In the beginning white men had adopted local ways, learning that in Kerala, for example, it was polite to cover one’s mouth when talking to an Indian of high caste. In 1859 Samuel Shepheard, who built Shepheard’s Hotel, was photographed on an Egyptian divan, wearing a fez, with a glittering brass hookah at one elbow and a parrot at the other. Then, with the invasion of English wives, the memsahibs, all this began to change. Potted plants arrived, and whatnots, and acres of that printed fabric so popular among the natives that its admirers gave it the Hindi name of chintz. The metamorphosis reached its culmination in the hill station of Simla, the cool summer capital of the Raj, in the foothills of the Himalayas, with its Scottish-baronial palace for the viceroy and his vicereine; tea shops; bandstands where Gilbert and Sullivan airs were played; and the Anglican tower of Christ Church, whose bell had been fashioned from a mortar seized in the Second Sikh War.
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-Churchill, writing from Bangalore, told his brother Jack: “Labour here is cheap and plentiful—existence costs but little and luxury can be easily obtained. The climate is generous and temperate. The sun—even in the middle of the day—is not unbearable and if you wear a ‘Solar topee’ or a cork hat—you can walk out at any time.” And then he reported: “I have just been to luncheon at the Western India Club—a fine large building where every convenience can be obtained.”14 The Raj was beginning to sink its hooks into him. He had been disarmed “up at the Club,” a phrase familiar all over the Empire. There, surrounded by paneled walls, deep leather chairs, and cut-glass decanters, a fresh subaltern like Winston could step up to the bar and find himself, if not among friends, at least among friends of friends. It was an important moment in Churchill’s life. Only by understanding the spell of the Empire, and particularly the Raj, can one begin to grasp the Churchillian essence.
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-It is a way of life which has vanished, and now, in the heyday of liberal piety, it is considered disreputable, even shameful. Yet there was an attractive side to the Raj, and its vitality is preserved in our language, in such words as bazaar, bungalow, pajamas, punch, dinghy, khaki, veranda, sandals, gingham, shampoo, jodhpurs, and chit. For young patricians who had passed the Indian Civil, or, like Churchill, had passed out of Sandhurst, the adventure began in London, with a shopping expedition in Oxford Street. There you bought your topee, in white or tan, at Henry Heath’s Well Known Shoppe for Hattes. Also available were clever contrivances for coping with the tropics—Churchill had been wrong about the heat, and soon acknowledged it (“Imagine… a sun 110 in the shade!”).15 Among these were antitermite matting, mosquito netting, thorn-proof linen, canvas baths, and patent ice machines. Quinine was essential, but the thrifty postponed ordering tropical clothing until they docked in India, where they would also hire a tropical servant, the first of as many as twenty-five servants. Help was cheap, as Churchill had observed; a lower-middle-class mem who had slaved over a washtub at home would supervise a whole staff, and even British privates had bearers who polished their brass and boots and blancoed their webbing. Once ready for the next leg of his journey, the tyro would travel by train, chugging along at twenty miles per hour, his blinds securely locked at night, telegraphing ahead for a light breakfast (which he would learn to call chota hazri) and for lunch (tiffin). Detraining, he might cover as much as a hundred miles on horseback before reaching his appointed bungalow or, if he were a serving officer, his cantonment. By then he might be ready for his first trip to the thunder box, but if he still felt fit he would be introduced to the more welcome ritual of the “sundowner.” This was the daily drink, and it was served in style by a bearer in a gown and turban. His tray would support a variety of paraphernalia: a carafe, linen napkin, gasogene, and ice bucket. Seasoned sahibs might add a nip of their quinine, as insurance against fever. Indeed, that is how the sundowner custom had begun, when men believed that alcohol was preventive medicine in the tropics.
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-It was an exotic, colorful life, and at a time when masculinity was valued, its greatest appeal was to men. The mems established their own conventions, their weekly At Homes and dances, their solemn talks with the C of E vicar, and, during the lawn tennis craze of the 1870s, a little exercise. But it was their husbands and the bachelors who thrived in India. They could retreat to their club, where women were of course forbidden, and they had polo, tiger hunting, golf, and all the glory, fireworks, and bunting that were manifestations of virile patriotism. If they were lucky and industrious, one day their names would appear on an Honours List. They were absolutely incorrupt, and the best of them were devoted to the natives in their charge. They adored their Queen, they knew that God was an Anglican, they believed in courage, in honor, in heroes. They could no more have identified with an antihero than with the Antichrist. In retrospect they all appear to have been gallant figures in one of history’s greatest Last Stands. Of course, they didn’t think of it that way. It never occurred to them that they, and all they represented, would one day be disowned, as the result of a national défaillance, within the lifetime of young Lieutenant Churchill, the polo star in Bangalore.
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-If you were passed back through a time warp and set down in Victorian London, your first impressions would depend upon where in the city you were, and under what circumstances. Henry James saw it at its most inhospitable, while riding in a “greasy four-wheeler to which my luggage had compelled me to commit myself” from the Euston train station to Morley’s Hotel in Trafalgar Square. Night had fallen. It was a cold, damp March Sunday. Recalling the scene in 1888, James wrote: “The weather had turned wet…. The low black houses were as inanimate as so many rows of coal-scuttles, save where at frequent corners, from a gin-shop, there was a flare of light more brutal still than the darkness.” He felt “a sudden horror of the whole place… like a tiger-pounce of homesickness which had been watching its moment. London was hideous, vicious, cruel, and above all overwhelming.”16
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-The city itself was also overwhelmed, engulfed by changes with which it had not learned to cope, and which were scarcely understood. Some were inherent in the trebling of the population, some consequences of the Industrial Revolution. Particles of grime from factory smokestacks, blending with the cold fogs that crept down from the North Sea channel, produced impenetrable pea-soupers which could reduce visibility to a few feet—“London particulars,” Dickens called them in Bleak House. They could be dangerous; it was in one of them that Soames Forsyte’s wife’s lover was run down by horses and killed. Much of London stank. The city’s sewage system was at best inadequate and in the poorer of neighborhoods nonexistent. Buildings elsewhere had often been constructed over cesspools which, however, had grown so vast that they formed ponds, surrounding homes with moats of effluvia. Thoroughfares were littered with animal excrement. Gaslight was not yet the clear piped white light which arrived with the invention of the incandescent mantle in the 1890s. It was smokier, smellier, and yellower; some smudged lanterns dating from the reigns of George IV and William IV may still be found in Regent’s Park. And the narrow, twisted streets were neither sealed nor asphalted. Victorians are often mocked for locking their windows, even in summer, but they had a lot to keep out: odors; dust; gusts of wind that could turn the open flames of candles or kerosene lamps into disastrous conflagrations.
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-In affluent neighborhoods windows were barred during most of the Queen’s reign, for no policemen pounded beats until late in the century. James recoiled from the gin shops, but he didn’t see the worst of it. The worst was in the blackened, brooding slums of Bluegate Fields, Cheapside, Wapping Docks, Bleeding Heart Yard, Mile-End Road, Maiden Lane, Paddington; St. Giles’s, along Saffron Hill; Westminster (“the Devil’s Acre”); Granby Street, beneath what is now Waterloo Station, with its bolt-holes for criminals; and Whitechapel, where the heaviest concentration of London’s eighty thousand prostitutes lived and Jack the Ripper stalked his prey. At night the East End was eerie. Here the bricks which built the rising city were hardened in kilns like those in Bleak House and in Trollope’s Last Chronicle of Barset, where fugitives found warmth at night. Workingmen were no longer paid in pubs, but that was where many headed when they had their money. There cheap gin, the curse of their class, fueled murderous fights and, by blurring judgment, converted men into easy recruits for criminal schemes—burglaries, typically, or pocket picking in Piccadilly. London’s vast slums terrified respectable Londoners. Even the huskiest gentlemen refused to enter them without a heavy police escort.
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-The center of London was a hive of hyperactivity. If, like Henry James, you were an American who had spent his first night beneath Nelson’s column and rose in the morning for a stroll along the Embankment, you might first become aware of a familiar quickness in the air. “Mon Dieu, ces anglais, comme ils travaillent!” wrote a French tourist.17 London then had the push and bustle foreign visitors began to note in New York in the 1920s. You could hear it; Londoners called it “the Hum.” This was the busiest metropolis in the world; men were all in a hurry, doing the world’s work. And in this part of the city they were men. If you wanted to see women you would have to stroll toward the shopping district and its center, Piccadilly Circus, then named Regent Circus, with its beguiling statue, now called Eros but then, more primly, Charity. Wealthy ladies would be accompanied by servants carrying their parcels and followed, at a respectful distance, by their carriages (hence “the carriage trade”), which, if they were upper class, bore heraldic crests on the doors and were driven by coachmen wearing livery. Middle-class women hired their “Parcels Men” by the hour and usually shopped in pairs. An extraordinary number of them were pregnant, though propriety forbade them from venturing out in public after their third month. Whatever their condition, they would be tightly corseted in armor of whalebone and steel, a cruel fashion which was responsible for internal injuries even among women not carrying children. The point was to show the world that your husband had a comfortable income, that you didn’t have to work. So styles were wildly impractical: great loops of ribbon, hoopskirts, lacy caps, silken parasols, dangling ringlets, blunt bustles, frills, petticoats, and layers of silk and satin heavily trimmed with bugles and beads.
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-None of them made women attractive to men. That was, or was thought to be, their last objective. Men were “the coarser sex”; women, as Janet Horowitz Murray found in her study of gender attitudes in nineteenth-century England, were thought to be “softer, more moral and pure.” The very existence of sexual desire was denied. It says much about the Victorians that none of them recognized the Ripper murders as sex crimes. This was part of what O. R. MacGregor calls “the Victorian conspiracy of silence about sex.” Occasional male lubricity was grudgingly accepted for the future of the race, though men who lacked it were reassured by William Acton, a distinguished surgeon of the day: “No nervous or feeble young man need… be deterred from marriage by any exaggerated notion of the duties required of him.” For a wife, her husband’s animal drive was a cross to be borne. Dr. Acton wrote: “As a general rule, a modest woman seldom desires any sexual gratification for herself. She submits to her husband but only to please him; and, but for the desire for maternity, would far rather be relieved of his attentions.” A Victorian mother prepared her daughter for the marriage bed with the advice: “Lie still, and think of England.” It was in this spirit that Thomas Bowdler, earlier in the century, had published The Family Shakespeare, bearing the subtitle: “In which nothing is added to the Text; but those Words and Expressions are omitted which cannot with Propriety be read aloud in a Family.” By contrast, the distributors of a pamphlet which advised couples not ready for children to practice douching were indicted for scheming “to vitiate and corrupt the morals of youth as well as of divers other subjects of the Queen and to incite… to indecent, obscene, unnatural, and immoral practices” by publishing an “indecent, lewd, filthy, bawdy, and obscene book.” During the year before their trial, the pamphlet, which the jury agreed was salacious, had sold 700 copies. In the four months of notoriety, sales leapt to 125,000. The issue, it should be noted, was a middle-class issue. Sex was one of the few pleasures not denied to working-class women, and they hadn’t the slightest intention of abandoning it. (Their word for lustful was gay.) As for the patricians—ladies like Winston’s mother—the upper class had, as it had always had, a moral code all its own.18
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-Identifying a stranger’s class has always been a social challenge for Londoners. Today it is a matter of vowels. In those days it was far easier, and would usually be accomplished by a glance. J. M. Bailey, an American visitor to London in the 1870s, wrote that he could find “traces of nobility” in an aristocrat’s “very step and bearing.” He asked mischievously: “Can you conceive of a bowlegged duke? Or is it possible for you to locate a pimple on the nose of a viscount? And no one, however diseased his imagination, ever pictured a baron with an ulcerated leg, or conceived of such a monstrous impossibility as a cross-eyed duchess.”19 That was Yankee wit, but the plain fact was that you could tell. At least you could tell the difference between a gentleman and a man who was not. Partly it was a matter of genes. The Normans had introduced high cheekbones, Roman noses, an abundance of equine chin, and hooded, sardonic eyes to the Anglo-Saxon nobility. Diet was more important. Generations of malnutrition and, more recently, of stooping in mines or bending over looms had given workmen’s descendants slight stature, poor posture, and coarse complexion. They aged prematurely; they needed the attention of doctors they could seldom afford. The gentry were tall, fair, and erect. Although they may not have been godlike, they were certainly far healthier than their social inferiors, and by today’s standards, even the genteel were sick a great deal. The groaning tables on Victorian Christmas cards groaned beneath platters of food that would be condemned as unfit by modern public-health officials. Preventive medicine was in its infancy. The twentieth-century visitor to the Strand would be startled by the number of pitted faces there. Smallpox was still rife. There were far more pocked features among the workmen, however. They simply lacked the resistance to affliction. They also lacked running water. Cholera hit them harder; so did diphtheria; so did infant mortality. In all of London, more babies died than adults. We cannot even guess at the toll in the slums, but it must have been appalling.
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-Gentlemen, no less than ladies, could be identified by their clothing. They wore top hats, indoors and out, except in homes or churches. Cuffs and collars were starched, cravats were affixed with jeweled pins, waistcoats were white, wide tubular trousers swept the ground at the heel but rose in front over the instep, black frock coats were somber and exquisitely cut. Swinging their elegant, gold-headed canes, gentlemen swaggered when crossing the street, dispensing coins to fawning men who swept the dung from their paths. (These men were followed by nimble boys with pans and brushes, who collected the ordure and sold it in the West End for fertilizer.) Bowlers were worn by clerks and shopkeepers and caps by those below them. Switching hats wouldn’t have occurred to them, and it wouldn’t have fooled anyone anyway. Despite advances in the mass production of menswear, dry cleaning was unknown in the London of the time. Suits had to be picked apart at the seams, washed, and sewn back together. Patricians wore new clothes or had tailors who could resew the garments they had made in the first place. The men in bowlers and caps couldn’t do it; their wives tried but were unskillful, which accounts for their curiously wrinkled Sabbath-suit appearance in old photographs. Toward the end of Victoria’s reign games and cycling modified gentlemen’s dress. The Prince of Wales introduced the lounge coat. Short loose breeches and Norfolk jackets were worn on bikes, football players and runners and jumpers appeared in shorts, and cricketers and tennis players adopted long pants of white flannel. Except at regattas, none of this was matched in feminine fashions. Not only were bustles worn on the tennis court; a woman had to use her free hand to hold her trailing skirt off the ground. And the lower classes were unaffected because they had neither the money for fashions nor the time for sports.
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-Social mobility, as we understand it today, was not only unpursued by the vast majority; it had never existed. For centuries an Englishman’s fate had been determined at birth. The caste system was almost as rigid as India’s. Obedience to the master had been bred in childhood, and those who left the land for the mills as the agricultural class seeped into the cities were kept in line by custom and the example of all around them. Successful merchants were an exception, and a significant one. They built mansions, bought coaches, and hired servants, yet they were never fully accepted by the patriciate. As late as the spring of 1981 a New Yorker writer attributed Britain’s sagging economy to the fact that a stigma was still attached to men “in trade.” Similarly, the British trade unions’ twentieth-century truculence may arise from the lower classes’ inability to transfer their allegiance from aristocrats to merchants. In Victorian England, the chimney sweeps, ragpickers, chip sellers, dustmen, coachmen, and sandwich-board men who hired out at one-and-six a day were no more rebellious than the serfs from whom they were descended. They did what they did well, and that was enough for them. Richard Harding Davis wrote from England: “In America we hate uniforms because they have been twisted into meaning badges of servitude; our housemaids will not wear caps, nor will our coachmen shave their mustaches. This tends to make every class of citizen look more or less alike. But in London you can always tell a ’bus-driver from the driver of a four-wheeler, whether he is on his box or not. The Englishman recognizes that if he is in a certain social grade he is likely to remain there, and so, instead of trying to dress like some one else in a class to which he will never reach, he ‘makes up’ for the part in life he is meant to play, and the ’bus-driver buys a high white hat, and the barmaid is content to wear a turned-down collar and turned-back cuffs, and the private coachman would as soon think of wearing a false nose as a mustache. He accepts his position and is proud of it, and the butcher’s boy sits up in his cart just as smartly, and squares his elbows and straightens his legs and balances his whip with just as much pride, as any driver of a mail-cart in the Park.”20
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-London’s massed horsepower made a lively spectacle, bewildering and even frightening to visitors. Each morning some twenty thousand vehicles drawn by steeds lumbered and surged over the toll-free London Bridge—Tower Bridge would not be ready until 1894—and fanned out into the wakening city. The rigs varied. At this hour, in this tumult, you would see few private carriages. They sat parked in the West End and could be seen in large numbers only when they assembled for such liturgical upper-class ceremonies as the annual Eton-Harrow cricket match at Lord’s, in St. John’s Wood, where over six hundred of them were counted in 1871. Much of the bridge traffic carried essentials. There were convoys of carts bearing galvanized tanks, headed for neighborhoods which still had no running water. Produce and livestock accompanied them, including, once a year, sheep on their way to an enclosure near Kensington Palace. A contemporary account tells of the annual sheepshearing: “Thousands of sheep are brought from Scotland and distributed over London wherever grazing can be obtained. After the shearing, the sheep are kept awhile in the park for fattening, and thence gradually find their way to the butchers’ shops.”21
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-In the city these wagons mingled with public transport and cabs. The first electric tramcar was built in 1883—electric lights had made their appearance two years earlier, for the Savoy Theatre’s premiere of Gilbert and Sullivan’s Patience—but London wasn’t introduced to trolleys until 1900. Before that, horse-drawn streetcars crawled along tracked paths in the center of the streets, maddening obstacles to the faster hansoms, growlers, and flys. Flys were usually rented. The Coupé and Dunlop Brougham Company in Regent Street would hire one out at seven shillings and sixpence for the first two hours. But the smartest and fastest way to travel was in the two-wheeled hansom cabs, “the gondolas of London,” as Disraeli called them. Harnesses jingling, horses trotting briskly, and lamps and brass work polished to a blazing finish, there were over three thousand hansoms in London, charging a shilling for two miles and sixpence a mile over that, though the driver could charge more if he traveled beyond the “Four Mile Radius” from Charing Cross, which was (and still is) the geographic center of the city. The cabman sat high in the back, holding reins which passed through a support on the front of the roof, and the front of the cab was open except for two folding doors which came halfway up and protected the passenger from dust and mud. This feature was important. Trains had been so successful that other forms of transportation had hardly changed since Victoria’s coronation. Country roads were surfaced with grass, earth, and stones. Downtown London’s streets were cobbled, but unless you were in an enclosed coach you were lucky to arrive at your destination unstained.
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-Alighting at Charing Cross, a visitor from the 1980s would quickly become aware of a gamy tang in the air—blended aromas of saddle soap, leather, brass polish, and strong tobacco; scents of wood fires; the fragrance of baking bread and roasting meat manipulated by street chefs. All sorts of entrepreneurs were active on the pavements, and they fascinated Gustave Doré, who executed a series of engravings of them in the early 1870s: dog sellers, flower girls, flypaper merchants (who wore fly-studded samples on their dilapidated top hats), hardware dealers, tinkers, ragmen, knife grinders, ginger-beer men, apple sellers, oyster men, match vendors, “lemonade” men who mixed their chemicals on the spot in portable tubs, and some four thousand hawkers of oranges. The popularity of oranges was due less to their taste than to their smell. Even where sanitation existed, not all street odors were pleasant. Deodorants were unknown. The poor reeked, which was why they were unwelcome in Victorian churches. Nell Gwyn had carried oranges to cut the stench of sweat, vermin, and manure. Before that, the Elizabethans had used pomanders, small balls of pierced metal packed with fragrant herbs. To this day, London judges mount their benches bearing nosegays—hence the name—and once a year herbs are scattered in courtrooms.
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-Among the other peddlers were salesmen exhibiting great bolts of black broadcloth. The Victorians were very open about death. Today people die in hospitals, where children are “shielded” or “protected” from them; graveyards are landscaped like parks, and mourning is seldom worn. In those days a demise was an important, fascinating event. Typically it occurred in the home, in bed, with the whole family in attendance and little ones held up for a final embrace from the departing parent or grandparent. The pavement chapmen made garments of deep mourning available to the lower classes. Patricians bought their black, gray, and deep purple clothes and black ostrich feathers in Oxford Street shops devoted solely to that trade. Men draped sashed crepe “weepers” around their hats. Even cousins sewed black armbands on their sleeves. Englishmen were more preoccupied with death then than we are, partly because there was much more of it. In 1842 a royal commission had found that the average professional man lived thirty years; the average laborer, seventeen. By the year of Churchill’s birth about fifteen years had been added to these, but it was still not unusual for a middle-class man to die at thirty-nine, as Arthur Sullivan’s brother Fred did in 1877, inspiring Sullivan to write “The Lost Chord.” Another reason for bereavement had nothing to do with delicacy of feeling. The loss of a father was disastrous. There was seldom any financial net beneath the survivors of a wage earner. Jobs were at a premium; artisans provided or rented their own tools, and one mill outdid Scrooge, issuing the notice: “A stove is provided for the clerical staff. It is recommended that each member of the clerical staff bring four pounds of coal each day during cold weather.”22 Except for the thriftiest of savers, however, no class was immune to the catastrophe which followed the passing of a head of household. If a man had been a successful physician, say, or a respectable barrister, his family might have belonged to the upper middle class as long as he was alive, living in the Wordsworthian tranquillity of a leafy Georgian square, with a coach in the mews and a boy at Winchester. All that vanished with his last breath. The family was evicted from the house; the son took a job as a clerk; his mother made what she could as a seamstress, or, in that bitterest refuge of shabby gentility, as a governess in a bourgeois home.
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-Prosperous homes could be identified by their bay windows, as much a status symbol as the eight-paned window had been a century earlier. The skyline was dominated by St. Paul’s, Wren’s fifty other baroque churches, Big Ben, and the Gothic Houses of Parliament. In Pall Mall were the Athenaeum and the Reform Club, the home of the Liberal party; the Conservatives’ Carlton Club; and the great imperial clubs: the Oriental, the East India, and the Omar Khayyam. The city was a mass of poles and crossbars that bore telegraph wires and the boisterous excesses of Victorian advertising. Napoleon had scorned England as “un pays de marchands.” Actually, it was more a nation of hucksters. Billboards, or “sky-signs,” celebrated the virtues of Salada Tea, Waltham Watches, Cook’s Tours, Thurston’s Billiard Tables, Brinstead Pianos, and Good-dall’s Yorkshire Relish. Bumping down London’s streets came remarkable vehicles shaped like Egyptian obelisks, cabbages, and huge top hats, each of them bearing a brand name. The front of opticians’ shops looked like the lenses of gigantic spectacles. Of all the forms of ads, the cheapest and wildest was the “fly-poster,” which could be plastered on any “dead wall” in public view. Gangs pasted these up at night, so that early risers would be greeted, typically, with: “Good morning! Have you used Pears’ Soap?” Sometimes householders would find their windows, even their doors, papered over. Other times gangs from different agencies would clash in the dark, tearing down the others’ posters or obliterating them with buckets of black tar.
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-Optical illusions, red puzzle signs, posters gummed to public monuments or the hulls of ships anchored in the Thames—anything went. A young advertising man said: “Any fool can make soap. It takes a clever man to sell it.” One innovation, still with us, was the endorsement of a product by a celebrity, which in those days meant such notables as Eugene Sandow, the German strong man, and Captain Webb, the Channel swimmer. Ambitious copywriters aimed even higher than that. We think of the Victorians as deferential toward the royal family. So they were, but some admen, who weren’t, exploited that deference. The Queen was depicted holding a cup of Mazawatta Tea or presiding over the legend: “ ‘The Subject’s Best Friend’—HUDSON’S DRY SOAP—Home and Clothes as Sweet as a Rose.” The Prince of Wales was shown handing a glass of Bushmills Whiskey to the shah of Persia at the Paris Exhibition in 1889, and saying: “This, your Majesty, is the celebrated Bushmills Whiskey which you tasted in England and liked so much. I feel sure it will win the Gold Medal.” A florist, pushing corsages, quoted the Duchess of York—without her approval; none of the luminaries were consulted—“She thinks the Flower Shield a most ingenious invention and wishes it success.” Even the pontiff was identified as an admirer of a popular drink: “Two Infallible Powers. The Pope and Bovril.” The soap manufacturers knew no shame. Sir John Millais, a successful artist, painted a portrait of a boy making soap bubbles with a clay pipe. The boy’s bar of soap lay on the ground. To Sir John’s astonishment, the picture was reproduced all over the country with “Pears” painted on the bar. In Berlin, Heinrich von Treitschke told a class: “The English think soap is civilization.”23
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-One device the advertisers missed was the jingle, and this is puzzling, because Victorians loved melodies. Garibaldian organ-grinders stood on every downtown London street corner, bawling ballads. Gilbert and Sullivan were national figures. Not counting the Salvation Army and the military, there were over five thousand bands in the country, and on holidays Londoners crowded around the bandstands in their parks. This was the golden age of the music halls. Between 1850 and 1880 about five hundred new ones were built—with the city’s fifty theaters, this meant that 350,000 Londoners were entertained every night—of which the most famous were the Alhambra, the London Pavilion, the Empire, and the Tivoli. Each hall had its portentous chairman, with his candle, his gavel, and his vast expanse of shirtfront; each encouraged its audiences to join the choruses. The stars were famous enough to endorse soap and whiskey, though unlike the eminent they expected their cut and got it. (Lillie Langtry got it and lost it; her signature was reproduced in an ad, and a forger copied it and cleaned her out.) High on the lists of sightseers arriving from the far reaches of the Empire were evenings hearing the “lion comiques”: Harry Clifton singing “Knees Up, Mother Brown,” George Layborne leading “Champagne Charlie Is My Name,” Jenny Valmore whispering “So Her Sister Says,” and Marie Lloyd:
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-Only fancy if Gladstone’s there,
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-And falls in love with me;
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-If I run across Labouchère
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-I’ll ask him home to tea.
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-I shall say to a young man gay,
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-If he treads upon my frock,
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-“Randy pandy, sugardy pandy,
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-Buy me some Almond Rock.”
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-Henry du Pré Labouchère was an advocate of Home Rule for Ireland. And “Randy pandy” was Lord Randolph Churchill. Music hall performers were keenly aware of politicians and public events, of England’s power around the world, of London’s role as an imperial capital. Britain was hardly a democracy, at least as we understand it; only 16.4 percent of the people could vote. But Britain’s people counted because they, like the distant races toiling beneath the same flag, consented to be ruled as they were. Not the Queen, not peers, not the Commons, and not public-school men wrote the ditties that celebrated the nation’s glory and defied those who sought to curb the growth of an Empire which they believed belonged to them. It was G. H. “the Great” Macdermott, the most celebrated of the music hall performers, who, singing the lyrics of George William Hunt, gave voice to their determination in the 1878 crisis which arose during the Russo-Turkish War:
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-We don’t want to fight, but by jingo, if we do,
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-We’ve got the ships, we’ve got the men, we’ve got the money, too.
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-We’ve fought the Bear before,
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-And while Britons shall be true,
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-The Russians shall not have
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-Constantinople.
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-The British soldier was given a small island for his birthplace and the whole world as his grave. Including Indian sepoys, there were about 356,000 soldiers in the army—at the time of Marcus Ulpius Trajanus, Rome’s legions had numbered 300,000 men—including 55 line battalions scattered about India, Ireland, Hong Kong, Bermuda, Ceylon, Malta, Egypt, Gibraltar, Canada, Singapore, the West Indies, South Africa, Barbados, and Mauritius. Their epitaph may be found today on sinking gravestones: “For Queen and Empire.” It is inadequate. They died for more than that. So vast an Empire, so vigorous a society, could have been neither built nor held without staunch ideological support, a complex web of powerful beliefs, powerfully held. Alfred North Whitehead defined a civilization in spiritual terms, and Christopher Dawson, in The Dynamics of World History, said: “Behind every great civilization there is a vision.” What was the vision of imperial Britain?
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-Jingoism was part of it, or rather one of its outward manifestations, and it wasn’t confined to the music halls. On the slightest excuse, Londoners in the city’s rookeries hung out bunting and gay streamers, crisscrossing mews and alleys where washing was usually hung to dry. Behind the calls to honor, duty, and glory lay the Victorians’ firm belief in obedience—absolute obedience to God, the Queen, and one’s superiors, in the family as much as in the army. It was a time of pervasive authoritarianism. The Baptist preacher C. H. Spurgeon wrote of the Victorian wife that her husband “has many objects in life which she does not quite understand; but she believes in them all, and anything which she can do to promote them, she delights to perform.”24 Unquestioning submission to orders was taught to schoolboys as soon as they reached the age of awareness; they recited “The Death of Nelson,” “Drake’s Drum,” “The Boy Stood on the Burning Deck,” “The Wreck of the Hesperus,” and “The Charge of the Light Brigade.” Every story for Victorian children had a point, a moral; usually one of dutifulness. Winston Churchill was four years old when the most popular glorifier of discipline, G. A. Henty, published the first of his eighty novels for children. With loyalty went courage, as witness Red Riding Hood, Hansel and Gretel, Alice, the Ugly Duckling, and Tom Thumb.
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-War was Henleyized, and such ancient institutions as the Crown, the aristocracy, and the Church of England were venerated. This allegiance to tradition accounts for the immense popularity of Tennyson’s Idylls of the King and the flood of best-selling historical novels: Scott’s Ivanhoe, Bulwer-Lytton’s Last Days of Pompeii, Robert Louis Stevenson’s Kidnapped, Charles Reade’s Cloister and the Hearth, Stanley Weyman’s Under the Red Robe, Charles Kingsley’s Westward Ho! and Harrison Ainsworth’s Old St. Paul’s. Reverence for the past was especially strong in the church. The devout took the Bible literally, assumed the existence of an afterlife, and believed that the only significance of life on earth was as a preparation for eternity. That blind faith could have flourished in an age of intellectual ferment may be puzzling, but the Victorians could rationalize anything; for them, doubts raised by evolution, for example, were resolved by Tennyson’s In Memoriam. By the time a youth of good family had reached manhood, he had heard more than a thousand sermons. He could not matriculate at Oxford, or graduate from Cambridge, until he had signed the church’s Thirty-Nine Articles. Days of Humiliation, such as the one commemorating the Mutiny martyrs, signified national atonement. The Sabbath was sacred. To be sure, half the population stayed away from weekly services—when the Archbishop of Canterbury grieved that the church was losing the working people, Disraeli replied, “Your Grace, it has never had them”—but this was a matter of propriety, not piety.25 The poor were only too well aware that they were unwelcome. Nevertheless, they knew their Bible, knew their hymns; the ancestors of workmen who read nothing today were familiar with Pilgrim’s Progress and Paradise Lost and could quote from them.
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-The middle classes, who were always in their pews, if not singing in choirs, cultivated evangelical seriousness, Arnoldian earnestness, and the eagerness of Bagehot. They loved maxims. “Attend church, abstain from drink, read a serious newspaper, put your money in the bank,” they told one another. And:
-
-
-Staid Englishmen, who toil and save
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-From your first childhood to your grave,
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-And seldom spend and always save—
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-And do your duty all your life
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-By your young family and wife.
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-
-Carlyle implored them to devote themselves to work, which was sending coals to Newcastle. They had already made a cult of toil. It dominated their lives, and not just in London. A French visitor to the Midlands in the 1870s wrote: “On entering an office, the first thing you see written up is: ‘You are requested to speak of business only.’ ” Bradshaw’s Handbook to the Manufacturing Districts described “the utmost order and regularity” in the enormous textile mills of Ancoats and Chorlton, and said that visitors were discouraged because they “occupy the time of an attendant, and disturb the attention of operatives throughout the mill. The loss accruing from this cause is frequently more than can be readily estimated.” Until the year of Churchill’s birth, working-class children started in the mills on their ninth birthday; then the age was raised to ten. When Parliament passed a “short-time” bill limiting workers to a sixty-hour week, employers were outraged. Safety measures, as the term is understood today, were unknown. This led to what Professor Geoffrey Best calls “Death’s continuing Dance around the scene of labour.” Toilers in phosphorus factories suffered from “fossy jaw.” A thousand miners were killed each year, and more than three thousand railway workers killed or maimed. The proliferation of moving parts was lethal, but mill owners airily dismissed the problem: “Workers will be careless.” Protests were few and unheard. Writing in The Uncommercial Traveller, Dickens quoted a Shoreditch woman: “Better be ulcerated and paralyzed for eighteenpence a day… than see the children starve.” Yet, astonishingly, she made no complaint. Like her Queen, she believed that all work, even drudgery, was sacred. The Victorians were never more Victorian than when they stood in church, or around a Salvation Army band, belting out “Art Thou Weary?”26
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-Though safer than mill hands, the middle classes drove themselves just as hard in pursuit of “respectability,” which was not, as Shaw acidly noted, the same thing as morality. Gilbert’s Pirate King sang that piracy was more honest than respectability, and in H.M.S. Pinafore the reproachful Captain Corcoran tells Buttercup that it would have been “more respectable” if she had gone ashore before nightfall. Respectability, in short, was largely a matter of appearances. It was fragile; the slightest lapse could shatter it. Those who retained it were, in G. M. Young’s words, forever fearful that “an unguarded look, a word, a gesture, a picture, or a novel, might plant a seed of corruption in the most innocent heart, and the same word or gesture might betray a lingering affinity with the class below.” Ridiculing the Victorians is easy, and nearly everyone who has written of them since their departure has done it. They were hypocritical, snobbish, maudlin, fanatical about “moral rectitude” and the superiority of the British “race,” devoted to Augustan “order, regularity, and refinement of life.”27 The books on their shelves told you that they played their games according to Hoyle, toured England as directed by Bradshaw’s Weekly Guide to the Railways, were instructed in housekeeping by Mrs. Beeton and guided abroad by Baedeker and Cook. Always deferential (Bagehot’s favorite word), they dreamed that their daughters might marry someone in Who’s Who or, even better, in Burke’s Peerage and Baronetage. At the table they watched their tongues. Legs were “limbs,” and anyone wanting to use such words as “disemboweled” or “pelvis” employed another language or remained silent.
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-Palmerston had pointed the way for those who obeyed the rules; he extolled the nation’s social system as one “in which every class of society accepts with cheerfulness the lot which providence has assigned to it; while at the same time each individual is constantly trying to raise himself, not by violence and illegality, but by preserving good conduct and by the steady and energetic exertion of the moral and intellectual faculties with which his creator has endowed him.” This sent them to public reading rooms, Mechanics Institutes, mutual improvement groups, and public lectures and displays. Not only did they intend to better themselves; they insisted that the lower classes follow their example, until Dickens protested: “The English are, so far as I know, the hardest worked people on whom the sun shines. Be content if in their wretched intervals of leisure they read for amusement and do no worse. They are born at the oar, and they live and die at it. Good God, what would we have of them!”28
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-Yet even Dickens believed that true love and marriage led to a horse and carriage—that respectability was rewarded by a rise in social standing. The nouveaux riches Victorians, with their sudden access to prosperity and power, were certainly naive, and often vulgar. They worshiped false gods (the theme of Dombey and Son) and they failed to meet the standards they set for themselves. But certainly that is loftier than the abandonment of all standards. The stars of social navigation which they tried to follow were stars—genuine ideals, even if unattainable. Their “civilizing mission” in far lands was not only well-meant; at its best it was also noble. The English way of life, which they believed was exportable, was at least as estimable as the way of life the Americans tried to export a century later, with less success. When the Romans conquered a province, the glories of Roman citizenship were slow to follow. The moment the Union Jack raced up a colonial flagstaff, speech was free and habeas corpus the right of all. Among distant people a parliament became a status symbol, like having a national airline today, but more admirable. And if the Victorians’ system was flawed, they knew it. Believing in individual and collective reform, the best of their intellectuals, like the Americans who followed them, practiced vigorous, often savage, self-criticism. In the fine arts, London was a suburb of Paris and Berlin, but in literature it led the way. Carlyle, Dickens, John Ruskin, Samuel Butler, Herbert Spencer, and the contributors to Yellow Book were all Victorian rebels.
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-The chief difference between rebels then and rebels now is that they saw the world as rational, harmonious, teleological. Cartesians to a man, they believed that life was rational and mechanical and that progress was as inevitable as evolution and moved in the same direction. Their world, in Hans Koning’s happy phrase, was “an unthreatened world.” The earth seemed to be on the verge of being totally understood. Its flora, fauna, tides, and mountain ranges had been catalogued, measured, and minutely described. Some parts were still unexplored, but steamships would soon fix that. So the Victorian intellectuals felt a sense of confidence and optimism. They never doubted that the globe would always be dominated by Caucasian men. If the white masters differed among themselves, their governments would resort to arms. That prospect didn’t alarm them. “Unwarlike,” indeed, was a pejorative. It signified vitiation. The prime weakness of the darker races was their lack of martial spirit. Kipling urged England’s youth: “Bite the bullet, old man, and don’t let them think you’re afraid.” Not that there was much to fear; the Industrial Revolution had not yet caught up with weaponry. The Gatling and the Maxim were clever gadgets but, it was thought, without potential. Bloodshed in Britain’s little colonial wars was relatively light. The eleventh edition of the Encyclopaedia Britannica actually told its readers that “losses in battle are… almost insignificant when compared with the fearful carnage wrought by sword and spear.”29
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-
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-If any Victorian institution was cherished above all others, it was the home. “Home Sweet Home”—which sold 100,000 copies in its first year—was the most popular song of the century, even among workingmen who sang it in pubs because their own homes were unbearable. When an Englishman crossed his threshold he was in his castle, with almost absolute power over everyone within. That wasn’t true of his wife, but if diaries and letters are to be trusted, she enjoyed their hearth even more than he did. It was a good thing they liked it. They hadn’t much choice. Divorce usually meant ruin. It was almost impossible to obtain; a woman had to prove, not only that her husband was an adulterer, but that he was also guilty of desertion, cruelty, incest, rape, sodomy, or bestiality. Simple infidelity on his wife’s part was all a man need show. However, the moment he picked up his decree, he was an outcast. Victoria dismissed one divorced member of her court even though he was the injured party. Often families turned a divorced relative’s picture to the wall and spoke of him, if at all, as though he were dead.
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-Home was sanctuary, a place of peace and stability with sturdy furniture, in which evenings were spent reading aloud, whence the family departed for church and reunions with grandparents, uncles, aunts, and cousins, and where children were trained to assure the continuity of generations to come:
-
-
-sic fortis Etruria crevit,
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-scilicet et facta est rerum pulcherrima Roma.
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-Keeping the Empire growing “strong and most beautiful” would be the solemn legacy of these children. Middle-class Victorian parents had no Rousseauistic illusions about youthful innocence; their young were never allowed to stray from adult supervision. The inference of repression is not necessarily justified. Children were taken to Punch-and-Judy shows, “suitable” plays in Drury Lane, and summer holidays at the seashore. But their lives revolved around the family. London evenings found them in the parlor, the boys in Norfolk jackets and the girls in beribboned bonnets and buttoned boots, joining in indoor games, handicrafts, watercolors, tableaux vivants, and, most colorfully, standing around the cheap upright pianos which began to be mass-produced in the 1870s, singing ballads. Over seven hundred publishers thrived in the city selling sheet music, including such favorites as “Danny Boy,” “I Dreamt I Dwelt in Marble Halls,” “Yes, Let Me Like a Soldier Fall,” “I’ll Sing Three Songs of Araby,” “Annie Laurie,” “Oft in the Stilly Night,” “Come into the Garden, Maud” (from Tennyson), selections from Handel’s Messiah and Mendelssohn’s Elijah, and Sullivan’s “Onward, Christian Soldiers” and “The Lost Chord,” which sold a half-million copies before Victoria’s death.
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-The music would be read—and everyone with social aspirations could read music—by gaslight. By the 1880s gas had been installed in most middle-class neighborhoods. (Lower-class illumination was still provided by wax, oil, and tallow; penny-in-the-slot meters did not arrive until 1892.) The light flickered on gleaming brass coal scuttles and much that would seem stifling today: heavy repp curtains; reproductions of pre-Raphaelite paintings; patterned carpets, patterned wallpaper, even patterned ceilings; overstuffed Tavistock chairs with the new coiled springs; ebonized Chippendale music stools; and almost unbelievable clutter, with whatnots displaying bric-a-brac, ostrich feathers in vases, fans fastened to the walls, and marble-topped tables crowded with family photographs, china nodding cats, vases of flowers, and, on the mantel, a “Madeleine” clock in black marble with bronze columns from Oetzmann’s which cost thirty-two shillings and sixpence.
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-All this required a great deal of dusting. That was the point of it. Keeping it clean, and polishing the brass knockers, bedsteads, taps, and andirons, required servants, and the number of servants was a sign of status. They were cheap. A clerk making seventy or eighty pounds a year could afford a charwoman or a scullery maid (“skivvy”) at twelve pounds a year, less than five shillings a week, plus such fringe benefits as broken dishes and cast-off clothes. At the very least, a middle-class family would have a staff of four—cook, housemaid, parlormaid, and kitchen maid—and many homes would have six or seven bustling around in their lavender-print dresses and freshly laundered Breton caps. There were also butlers, footmen, and coachmen, but most domestic servants were young women. In 1881 there were 1,545,000 Englishwomen “in service”; one of every three girls between fifteen and twenty years of age was waiting on someone. Their employers complained endlessly about their dishonesty, their incompetence, and the expense of them. (A first-class cook made nineteen pounds a year, ninety dollars, though experienced lady’s maids earned more.) Punch was always having fun with them, depicting them as insolent and pretentious. Actually, they were almost pathetically servile. They had little choice. To be dismissed without a reference was a girl’s nightmare. Moreover, in her situation she was learning domestic arts and might attract the eye of a promising footman. If that led to matrimony it meant a step up. It was the responsibility of the butler, or the housekeeper, to see that it led nowhere else, though sometimes it did. One’s heart is wrung by the plea of a maid begging her mistress to let her keep her illegitimate baby: “It’s only a little one, ma’m.”
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-Doubtless many of them did steal from the pantry. They would have been inhuman not to have done it; outside in the dark and cold were relatives who had left the land, like them, and had found no jobs. These were the drifting poor who could not even afford a twopence Whitechapel breakfast and whom Shaw and H. G. Wells would soon discover. During the day they lived in London’s parks, but when the parks closed at sunset they would shuffle out and huddle in doorways or on Embankment benches, wrapped in rags and newspapers against the cold, until 4:15 A.M., when the gates of the first to open, Green Park, were unbolted. Primitive as street life was, it was considered preferable to the desperate workhouses. Now and then these institutions created by the Poor Law were humane; Maggie, Little Dorrit’s protégée, was so thankful for her treatment in a workhouse hospital that she called all kindness “hospitality.” But to most of the suffering masses they meant pitilessness and terror and were a major reason for the emigration of nearly three million Englishmen between 1853 and 1880. The system was against them. The purpose of law enforcement was the protection of property. Policemen deferred to top-hatted gentlemen and hounded wretches in ragged clothes. Under the Master and Servant Law, employees could be arrested in the dead of night for disobeying the most outrageous of orders, and under the Prevention of Poaching Act, suspicious constables could stop and search anyone in “streets, highways, and public places.” The woman in a middle-class servant’s hall, warm and well fed, not only knew her place but was grateful for it.
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-Her mistress had solved the middle-class woman’s greatest challenge just by reaching the altar. With so many men of her social standing abroad in the Empire, the supply of bachelors was limited, and marriage was the only respectable occupation open to her. Failing that, she was doomed to lifelong submissiveness in her parents’ home, serving as an unpaid servant. There were many like her. Indeed, W. L. Burn noted in The Age of Equipoise that “the dependent daughter was one of the fundamentals on which the mid-Victorian home was based.” Not all daughters suffered in silence; Florence Nightingale denounced “the petty grinding tyranny of a good English family. What I complain of… is the degree to which they have raised the claims upon women of ‘Family.’ It is a kind of Fetichism.”30 Miss Nightingale is one of the few women whose names have survived, an outrider of twentieth-century feminism. Another, who was actually more useful to her sisters, was Isabella Beeton, born within the sound of London’s Bow Bells and therefore a cockney. Like Florence, Isabella was a human dynamo. Before her death at twenty-eight of puerperal fever, that assassin of Victorian mothers, she had given birth to four children, served as fashion editor for her husband’s periodical, the British Domestic Magazine, and produced a tremendously successful volume of her own, her 1,111-page Household Management, with fourteen color plates and hundreds of black-and-white illustrations. (It weighed two pounds and cost seven shillings and sixpence.) By 1871, six years after her funeral, two million copies had been sold.
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-“Mrs. Beeton,” as Englishwomen called the book, was to them what “Dr. Spock” became for American mothers four generations later. The needs it filled tell us a great deal about their circumstances. As wealth poured into England from its colonial possessions abroad, the waves of growing affluence enriched and complicated life in a nation arriviste. Brides had no precedents for orchestrating sophisticated social skills; their mothers, having lived in simpler times, were of little help. So Mrs. Beeton explained when to wear gloves, how to maneuver on the pavement so that gentlemen escorts walked on the street side, and what the French names for courses of food meant. The British were still an insular people. (A headline of the period was FOG IN THE CHANNEL, CONTINENT CUT OFF.) And serving as hostess at dinner parties was a wife’s most important role. Ladies did not eat out until the Savoy Hotel opened in 1889, with César Ritz as the headwaiter. Entertaining was done at private residences only. Mrs. Beeton told her readers, in extraordinary detail, which wines to serve with meat and fish, when the ladies should leave the gentlemen to their brandy, and how to cope with a party of three dozen, counting the coachmen who had to wait for their masters and mistresses. She provided recipes, information on how much to order, and what to do with the leftovers. One entry was: “Bill of Fare for a Picnic for Forty Persons.” It recommended, among other things, 122 bottles of refreshment for the entire group, including servants, coachmen, and lady’s maids. The food was absurdly cheap, but the logistics were staggering. Moreover, this was a middle-class affair. The upper class entertained on a scale unmatched today. It was expected of them, which sometimes presented difficulties. Winston Churchill, born to a noble family, simply could not afford it. He had to live by his wits most of his life.
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-
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-Upper-class hostesses had no need to plan picnics in the country. They were already there. They had London mansions, too, but the soul of the leisure class was in the land. It always had been. Chaucer wrote of his medieval franklin, or landowner, that “It snewed in his hous of mete and drinke, / Of alle deyntees men coude thinke.” Arundel Castle, in Sussex, goes back even farther. It is mentioned in the will of King Alfred, who reigned eleven centuries ago. An ancestor of the present tenant, the sixteenth Duke of Norfolk, won it when an arrow from the bow of one of his archers pierced the eye of Harold in the Battle of Hastings. Socially, a duke in the country has always had the best of all possible worlds. In the British aristocracy the twenty-seven dukes are outranked only by members of the British royal family; the College of Arms advised a hostess, who was worried about seating arrangements for her dinner party, that “the Aga Khan is held to be a direct descendant of God,” but “an English Duke takes precedence.” The other degrees of the British peerage, in descending order, are marquess, earl, viscount, and baron, and though these don’t carry as much weight as they once did, in Victoria’s time to be titled, in most instances, still meant to be landed. On the estates of the nobility stood the great country houses, where England’s three hundred ruling families celebrated the weekly three-night British holiday, which is popularly thought to have been a brainchild of the Queen’s hedonistic Prince of Wales, but which was actually created by, of all people, Oliver Cromwell; in 1899 one of Cromwell’s biographers, S. R. Gardiner, found that “Oliver… may be regarded as the inventor of that modified form of enjoyment to which hard-worked citizens have, in our day, given the name of ‘week-end.’ ”31
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-But upper-class Victorians weren’t hard-worked. Most of them didn’t work at all. That was what set the upper class apart from the upper-middle class. The two mingled, but never as equals; as Lady Warwick explained to Elinor Glyn, “Doctors and solicitors might be invited to garden parties, though never of course to luncheon or dinner.” The elite kept themselves to themselves. This small, select, homogenous patriciate, this “brilliant and powerful body,” in Churchill’s admiring phrase, passed most of their time by passing the port, sherry, and claret; by discussing cricket; by playing billiards, admiring their horses, and shooting grouse—a thousand grouse were felled in a single shoot attended by Churchill’s mother. Unlike the French, they did not cultivate tête-à-têtes; Robert Laird Collier found that “they are poor talkers as a rule, and conversation seems to be a labor to most of them,” that they “never express the least feeling in their social intercourse,” and that “all the social talk is stupid and insipid.” In an age which cherished the Latin motto laborare est orare, when Samuel Smiles’s Self-Help could be found in almost every middle-class home, an idle nobility seemed an affront to social critics. In Edward Lear’s Book of Nonsense the likable figures are Floppy Fly and Daddy Long Legs, who are ejected from court because their legs are ill-made. Lewis Carroll depicted patricians as tyrants and muddlers. Gilbert and Sullivan’s Iolanthe described the House of Lords as a body that “did nothing in particular and did it very well.” But the ruling class was unperturbed. Ideas bored them. “As a class,” Lady Warwick said, “we did not like brains.” A contemporary work, Kings, Courts and Society, saw Britain comprising “a small, select aristocracy, booted and spurred to ride, and a large, dim mass, born, saddled and bridled to be ridden.” On Sunday the weekenders gathered in the chapels found under every country-house roof and sang:32
-
-
-The rich man in his castle
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-The poor man at his gate
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-God made them high and lowly
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-And orders their estate.
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-Later Churchill wrote: “The old world in its sunset was fair to see.” It doesn’t seem very fair to us. In their portraits titled Victorians, particularly the men, seem to be oozing complacency and self-esteem, wholly indifferent to the fact that 30 percent of the inhabitants of their capital city were undernourished while they feasted, at a typical lunch for six, on cold pheasant, a brace of partridges, a pair of roast fowls, steak, salmon, and a choice of two soups. As late as 1940 Clare Boothe Luce, though an anglophile, fumed: “Sometimes they are so insolent, so sure of themselves, so smug, I feel as though it would do them good for once to be beaten.” But by then they had become an anachronism, and the brightest among them knew it. To put them in context is to see them against the background of nineteenth-century Eurasia. From the Barents Sea to the Mediterranean, from the Rhine to Vladivostok, monarchs not only reigned but ruled through bewildering hierarchies of grand dukes, archdukes, princelings, and other hereditary nobles—twenty-two dynasties in Germany alone. The masses having accepted the saddles and bridles, threadbare commoners also sang about God making men high and lowly. It was, James Laver writes, “probably the last period in history when the fortunate thought they could give pleasure to others by displaying their good fortune before them.” Bagehot wrote: “The fancy of the mass of men is incredibly weak; it can see nothing without a visible symbol…. Nobility is a symbol of mind.” So ingrained was the habit of forelock-tugging that by 1875, when Trollope wrote The Way We Live Now, that society accepted the exploitation of titles by impecunious nobles who sold their prestige by consenting to serve as directors of businesses in wobbly shape.33
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-This did not declass them. Their social status was their birthright, and nothing could deprive them of it. Even if a peer committed murder, he was entitled to a trial by the House of Lords, and if sentenced to the gallows he was hanged with a silken rope. Of course, most of the upper class was merely related to peers. Given primogeniture, with all property going to the eldest son, including the title, the patriciate was heavily populated with younger sons who had inherited nothing and usually entered the navy, army, church, or diplomatic corps—the traditional order of preference. (Two generations passed before a descendant became a commoner. The firstborn son of the seventh Duke of Marlborough was his heir. The second son was called Lord Randolph Churchill. Randolph’s wife was Lady Randolph Churchill. Their son was simply Mr. Winston Churchill.) Yet all retained the life-style of the aristocracy. Characteristically, members of the upper class never lifted an unnecessary finger. It was said of Lady Ida Sitwell that she not only did not know how to lace up her own shoes; she would have been humiliated by the knowledge. Churchill’s cousin, the ninth duke, while visiting friends and traveling without his valet, or “man,” complained that his toothbrush didn’t “froth properly.”34 He had to be told gently that toothpaste had to be applied to the brush before it would foam. His man had always done that, and he hadn’t realized it. Winston himself lived ninety years without once drawing his own bath or riding on a bus. He took the tube just once. His wife had to send a party to rescue him; helpless, he was whirling round and round the tunnels under London. And all his life he was dressed and undressed by someone else, usually a valet, though during one period by a secretary in her twenties. There are those among his friends who believe that this sort of thing taught him how to use people properly.
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-It was during the London “Season”—from the Queen of Charlotte’s Ball in mid-spring to the Goodwood races in midsummer—that the great peers were to be found in their town houses. These were surrounded by barbered gardens, high walls, and gates manned by gatekeepers who fought off beggars and other street people. Sometimes they shot them. This aroused neighbors, who knew their station but believed a line should be drawn short of homicide. Actually, the very sites of many of the huge homes were outrageous. In Mayfair, Belgravia, Marylebone, and St. Pancras, streets maintained at public expense had been included within such walls, which meant that fire engines were blocked and buildings burned down. All attempts at legislation outlawing this extraordinary practice were defeated in Parliament.
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-In London the upper classes had their stylized rituals, most of them frivolous. Every morning after breakfast processions of victorias—low four-wheeled carriages with folding tops—debouched from the West End and trotted along Park Lane, gay harnesses tinkling and erect postilions wearing uniforms, glistening high boots, and varnished, high-crowned hats. Daughters were presented at court; the ladies, en grande toilette, wore three ostrich feathers in their hats if married, two feathers if not. Wasp-waisted, their gowns off the shoulder, skirts voluminous and rustling, the debutantes would be waited upon by uniformed members of the Corps Diplomatique, Gentlemen of the Household in full court dress, and Yeomen of the Guard in scarlet and gold. The fathers of the girls being brought out would be absent, loitering in their clubs: the Athenaeum, White’s, the Carlton, the Reform, and the rest. They did not care to be “seen” then. But the sexes did mingle on other public occasions. Everyone enjoyed the royal enclosure at Ascot, gorging on champagne, strawberries, and lobster mousse. And—rowing being considered manly—it was rather a good thing to turn out for the Henley Regatta. Dress there was about as informal as it ever got for that class. Ladies appeared in blouses and long linen skirts; their husbands, in straw boaters, blazers, and flannels.
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-The best club in London was Parliament, which, by no coincidence, held its key sessions between Easter and August—in effect, the Season. At the time of Winston Churchill’s birth, MPs were not only unpaid; they were expected to contribute generously to charities in their constituencies. So the upper class controlled both the Lords and the House of Commons. B. Cracroft, analyzing the House in his Essays on Reform, found that 326 members were patricians, including 226 sons or grandsons of peers, and a hundred others “connected with the peerage by marriage or descent.” Over a hundred more belonged “substantially to the same class,” which meant that three out of every four MPs were linked to each other and to the older generation in the Lords by blood as well as by conservative outlook. Between a third and a half of all cabinet members were from the upper house—six of Disraeli’s thirteen ministers, five of Gladstone’s fourteen. As we have seen, their hold on key posts in the Empire was even greater. Every viceroy of India was a peer by inheritance. In Little Dorrit Dickens wrote caustically of the Barnacle “clan, or clique, or family, or connection” that “there was not a list, in all the Circumlocution Office, of places that might fall vacant anywhere within half a century, from a Lord of the Treasury to a Chinese Consul, and up again to a Governor-General of India, but, as applicants for such places, the names of some or every one of these hungry and adhesive Barnacles were down.”35
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-So the opening of Parliament, or a heralded debate in the Commons, was not unlike a family reunion. Broughams, landaus, barouches, victorias, and hansoms tingling their unmistakable bells clattered over the cobblestones of New Palace Yard and drew up in front of the Westminster Hall entrance. Men in striped trousers and frock coats descended carrying bulky red leather boxes stuffed with state papers, then disappeared into lobbies brightened by flaring gas jets. In the Strangers’ Dining Room wives and daughters awaited them, wearing flowing skirts of tulle and hats as large as the displays at the Chelsea Flower Show. Gossip was exchanged, outcomes predicted, Liberals scorned by Tories or Tories by Liberals—it scarcely mattered, since their interests and social positions were virtually identical. The mighty seemed completely secure. Yet there were those who worried. Macaulay had warned against “the encroachments of despotism and the licentiousness of democracy.” Bagehot said “sensible men of substantial means are what we wish to be ruled by” and cautioned that “a political combination of the lower classes… is an evil of the first magnitude…. So long as they are not taught to act together there is a chance of this being averted, and it can only be averted by the greater wisdom and foresight in the higher classes.” The Queen, alarmed, let it be known that “a democratic monarchy is what she will never belong to.”36 Skittish patricians held their breath when the franchise bill of 1884 swept away 216 seats in rotten boroughs and increased the electorate. One man in five now had the vote—but at the next election the Conservatives were returned to power, with Lord Salisbury succeeding Disraeli. Salisbury was eminently a patrician of his time. A descendant of the two Cecils who had been Elizabeth I’s and James I’s chief ministers, he was a towering, massive man—acerbic, gauche, preoccupied, disdainful, and possessed of a penetrating intellect. He declined to live at 10 Downing Street, preferring his own more elegant London home, in the chapel of which he prayed each morning upon arising. He suffered spells of depression which he described as “nerve storms.” It was Salisbury’s firm belief that only uncontentious legislation should be brought before Parliament. If it was controversial, England wasn’t ready for it.
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-In one of those little paragraphs that illumine the era, The Times, reporting on a public trial, noted that “Viscount Raynham, MP, and other gentlemen present were accommodated with seats on the bench.”37 Given the system, it is unsurprising that the judge moved over for men whose social rank was equal to, or more likely greater than, his own. The key word is “gentlemen.” What was a gentleman? Even then the term was inexact, and it has been the despair of sociologists ever since. Some cases were easy. Phileas Fogg in Jules Verne’s Around the World in Eighty Days was almost an archetype. In 1872 he lived in Burlington Gardens, in the house at No. 7 Savile Row—flats didn’t become respectable till the mid-1870s—and he was a member of the Reform Club. His financial independence permitted him to be indifferent to public opinion (though not to his conscience and his fellow gentlemen) and his arrogance and eccentricity arose naturally from his absolute security. Other cases were marginal. You could be a gentleman in one place but not in another. In a small community the word would be applied to a physician, a lawyer, a country squire, a master of foxhounds, or just a man who had a little money and good manners. In London, or in the great country homes, that wasn’t enough. Samuel Smiles to the contrary, the mantle did not fall upon every responsible, brave, selfless Englishman. If gentlemen were those who were treated as such—the best definition—the standards were usually higher than that.
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-The high-born and members of the landed gentry were gentlemen by birthright. Stupidity—even illiteracy—did not disqualify them. But they were exceptions. It was generally understood that a “gentleman’s education” meant Oxford or Cambridge, admittance to which was still largely limited to public-school boys. During their heyday, roughly from Waterloo to the outbreak of World War I, the self-contained public schools were the ruling class’s boot camps. Their autocratic headmasters, Church of England clerics, taught austerity, loyalty, honor, and the virtue of “service.” Theoretically this meant serving those not lucky enough to see the inside of a public school; in practice it came down to defending the established order. Since the tuition exceeded the annual income of the huskiest workman, the pool of applicants was limited, as it was meant to be, to the affluent. The teaching of Latin and Greek was thought useful in disciplining young minds, but the playing fields were at least as important. The Duke of Wellington had said that the schools should produce the kind of youth who could go straight from his sixth form to a convict ship and, with the help of two sergeants and fifteen privates, transport a shipload of convicted criminals to Australia without incident. Thomas Arnold of Rugby told his faculty: “What we must look for… is, first religious and moral principles; secondly, gentlemanly conduct; thirdly, intellectual ability.” At Harrow it was said that a boy might spend fifteen hours a week at cricket or, if he took “every opportunity,” twenty hours. Sports were believed to be peculiarly suitable to the building of character. A small boy learned to submit to the authority of older boys because they were physically stronger than he. As he moved up through the higher forms, it was reasoned, he himself matured and became a “natural ruler,” a self-reliant gentleman, disciplined by what Irving Babbitt later called the “inner check.” Thus, though his family may have had no aristocratic connections, he joined the gentry and was accepted as a member of the ruling class. Merchants couldn’t make it, but their sons could.38
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-In a revealing aside, John Buchan wrote: “In the conventional sense, I never went to school at all.” In fact, he had received an excellent education in a Glasgow day school, but socially that didn’t count. Yet Buchan rose to become Lord Tweedsmuir, governor-general of Canada. So it was possible to bypass the Etons and Harrows. Even an American could do it; in 1879 Henry James dined out 107 times. There were a thousand little ways, some of them extraordinarily petty, by which one gentleman identified another. One’s vocabulary was important. Mantelpieces were “chimney-pieces,” notepaper was “writing paper,” mirrors were “looking glasses.” But there was a catch. If you worried about such things, your concern showed, and you were dismissed as a swot. The true gentleman emanated a kind of mystique. He always belonged wherever he was. If he was intellectual he did not hide it; in Paracelsus Browning had told him: “Measure your mind’s height by the shadow it casts.” And somehow he always recognized his equals, whatever the circumstances or attire. When two strangers meet in Doctor Thorne, Trollope says of one: “In spite of his long absence, he knew an English gentleman when he saw one.” Even penury was no obstacle. At the end of Trollope’s Last Chronicle of Barset Josiah Crawley meets Archdeacon Grantly. The archdeacon is about to become Crawley’s daughter’s father-in-law. Crawley is wearing seedy clothes and “dirty broken boots.” He is suspected of being a thief. He is quirky and perverse. But he was a scholar at Oxford and has “good connections,” and when he apologizes because he is too impoverished to provide a dowry, the archdeacon replies: “My dear Crawley, I have enough for both.” Crawley says: “I wish we stood on more equal grounds.” Rising from his chair, the archdeacon tells him: “We stand on the only perfect level on which such men can meet each other. We are both gentlemen.” Crawley, also rising, replies: “Sir, from the bottom of my heart I agree with you. I could not have spoken such words; but coming from you who are rich to me who am poor, they are honourable to the one and comfortable to the other.”39
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-The Barsetshire novels are set outside London, which was one reason for their popularity in the upper class. Out of season, thoroughbreds found the capital’s social life stifling. They felt more comfortable in their country houses, surrounded by parks landscaped in the eighteenth century, where fountains danced, deer darted, and, in the case of Blenheim, peacocks strutted. On foxhunts they galloped past villages whose inhabitants’ forebears had toiled as serfs for their own ancestors—ancestors who now lay in village churchyards beneath marble armor with marble basset hounds at their feet. And the great houses were communities unto themselves, where servants might be waited upon by their own servants and hospitality was almost a secular religion. Chatsworth, seat of the Duke of Devonshire, accommodated almost five hundred guests, but the finest view in England was found at Blenheim, set among the thousand-year-old oaks of what was once a royal forest. When George III saw Turner’s painting of its great lake, its poplared island, and the hanging beeches beyond, he said: “We have nothing to equal this!”40
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-This was the home of the Duke of Marlborough, head of the Churchill family. Winston once described it as “an Italian palace in an English park.”41 A stupendous castle of almost ominous power, buttressed by massive towers, it is surrounded by courtyards, formal gardens, and 2,700 acres of parkland. Beneath its roof—which covers an incredible 7 acres—lie 320 rooms: bedrooms, saloons, cabinets, state apartments, drawing rooms, a conservatory, the obligatory chapel, and a library 183 feet long. The lock on the main door, copied from the one on the old Warsaw Gate, is turned by a brass key weighing 3 pounds. Within, busts of deceased dukes and duchesses stand in a grand hall whose 67-foot-high ceiling, supported by Corinthian columns, is embellished by a remarkable allegorical painting showing the first duke, John Churchill, kneeling before a figure of Britannia, who is seated on a globe, one hand resting on a lance as the other extends a wreath to him, while a figure holds fire and sword at John’s feet, a white horse prances alongside, and trumpeters hover all around him.
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-Today Blenheim and other such shrines of the advantaged, with their marble halls and vast distances, seem intimidating. Their inhabitants didn’t feel that way. On the contrary, they found them warm and convivial, bright, for some of them, with the promise of the greatest social gift they could imagine. It was illicit love. Here, too, the privileged enjoyed special privileges. Seen through the prism of a long century, they are hard to comprehend. Nineteenth-century sex, between thoroughbred lovers, was extremely complex, but like everything else they enjoyed, it had its precedents. The British aristocracy had always gloried in its sexual prowess. Exceptional concupiscence was rewarded; John Churchill, the first Duke of Marlborough, first rose to prominence because his sister Arabella, maid of honor to the Duchess of York, became the duke’s most passionate mistress. When Marlborough returned from European battlefields at an advanced age, his wife Sarah proudly wrote: “Today the Duke returned from the war and pleasured me twice in his top boots.” Had she sought lovers during his absence, the social risk would have been slight. For generations before Victoria’s coronation the patriciate had tolerated promiscuity among its more hot-blooded members. Byron wrote his shortest and most eloquent poem as a testament to a titled woman who had taken leave of her husband for a nine-month romp with him:
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-Caroline Lamb,
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-Goddamn.
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-The Duke of Wellington had his pick of ladies when he returned from his various triumphs, and two of his bedmates expressed their appreciation to him in their memoirs. The duke’s sister-in-law, Lady Charlotte Wellesley, the mother of four young children, left them to sleep with Lord Paget, himself the father of four children by his wife, Lady Caroline Villiers, daughter of Lady Jersey, who was the former “favorite,” as it was then put, of the Prince of Wales. At Waterloo the duke made Paget his chief of cavalry. An aide protested: “Your Grace cannot have forgotten the affair with Lady Charlotte Wellesley?” The duke: “Oh, no! I have not forgotten that.” Aide: “That is not the only case, I am afraid. At any rate [he] has a reputation of running away with everybody he can.” Duke: “I’ll take good care he don’t run away with me. I don’t care about anybody else.”*42 During the Regency, upper-class sexual conduct became particularly flagrant. It was then that ladies diverted themselves with the best-selling Memoirs of Harriet Smith, which opened with the gripping line: “I will not relate the exact circumstances by which at the age of thirteen I became the mistress of the Earl of Croydon.”
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-The tradition has continued to flourish in the twentieth century, a colorful example being the beautiful and wanton Edwina Ashley, Lady Mountbatten. When Lord Louis Mountbatten was viceroy of India, negotiating the terms for Indian independence, the sessions went much more smoothly because the vicereine, with her husband’s resigned knowledge, was sleeping with Jawaharlal Nehru. Earlier she had been even more headstrong. At one point she vanished from London society for four months. Friends in Park Lane found Louis extremely vague when asked his wife’s whereabouts. Actually, he didn’t know. Later he learned that Edwina had shipped aboard a fifty-ton trading schooner, bound for the South Seas, as an ordinary seaman. Night after night, as they cruised among the lush islands, she gratified herself with her fellow crewpersons.
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-Victoria’s reign was a hiatus, not in extracurricular upper-class ardor, but in the flagrant practice of it. Her ascent saw the triumph of the puritans—of what Melbourne called “that d——d morality.” In the 1840s and 1850s debauchery went underground. By the time of Winston Churchill’s childhood and early youth it had become prudent to keep mum about your love affairs. Gladstone in a candid moment said he had known “eleven prime ministers and ten were adulterers”; nevertheless, he joined in the persecution of Charles Stewart Parnell, an Irish MP who had been the lover of Kitty O’Shea with Mrs. O’Shea’s husband’s consent. In 1887 Sir Charles Dilke, at one time regarded as a future prime minister, was ruined by a divorce trial. He lost his cabinet post, then lost his seat, and eventually became a social pariah. One modern British scholar is convinced that “Disraeli slept his way to the top,” but Dizzy was too crafty to be caught. Gladstone made a curious practice of prowling the London streets at night and holding long, intimate conversations with prostitutes. Sometimes he brought them home and Mrs. Gladstone gave them hot chocolate. It was assumed that he was trying to convince them to mend their ways. If so, he doesn’t appear to have been discouraged by his failure to produce a single convert. Indeed, after these talks he always appeared beaming, animated, and flushed. No one thought that odd. Nor could anyone pass judgment on affairs of which they knew nothing. The key to successful extramarital sex, therefore, was discretion. Mrs. Patrick Campbell, perhaps the most outspoken woman in polite society, said dryly: “It doesn’t matter what you do in the bedroom, as long as you don’t do it in the street and frighten the horses.”43
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-The difficulty lay in finding the bedroom. Mrs. Campbell also said, after maneuvering one man out of his marriage to a Churchill and up the aisle with her: “Ah, the peace of the double bed after the hurly-burly of the chaise longue!” It was all very well for a Forsyte to tuck away a common mistress in Chelsea, but that couldn’t be done with a lady. In the city she was under observation all the time. Her gown, her coif, her bearing, gestures, and diction testified to her class, and she couldn’t be seen outside her aerie. Her very presence in a hotel lobby would invite scandal. Thus the preference of the aristocracy and gentry for their homes in the country. London society was too ritualized; there was little privacy, unless you were an unmarried bachelor, like young Freud, who informed his housekeeper that he expected a woman for tea and was told: “Right, sir, I’ll change the sheets on the bed.”44
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-The servants knew of most dalliances. They even understood why there was one standard for their masters and mistresses and another for the rest of England. Victorian morality arose from the needs of the new middle class. As the lord chancellor explained when divorce courts were established in 1857, a woman lost nothing by her husband’s infidelity and could absolve him “without any loss of caste,” while “no one would venture to suggest” that he could pardon her adultery, which “might be the means of palming spurious children upon him.” This was important; such children shared a middle-class legacy. In titled families it was meaningless. Only the legitimacy of the first patrician child counted. Professor McGregor writes: “The sexual waywardness of aristocrats… did not endanger the integrity or succession of family properties regulated by primogeniture and entail. Countless children of the mist played happily in Whig and Tory nurseries where they were no threat to the security of family property or to the interests of the heirs.” Pamela Harriman, a Digby who was Winston Churchill’s daughter-in-law before she married New York’s former governor, takes the traditional light view of such sex: “They went to bed a lot with each other, but they were all cousins, so it didn’t really count.” It was their insularity that largely limited them to cousins; among the great families, Barbara Tuchman notes, “everyone knew or was related to everyone else…. People who met each other every day, at each other’s homes, at race meetings and hunts, at Cowes, for the Regatta, at the Royal Academy, at court and in Parliament, were more often than not meeting their second cousins or brother-in-law’s uncle or stepfather’s sister or aunt’s nephew on the other side.”45
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-One area of scholarly inquiry being explored by today’s sexologists is how the voluptuaries of the Victorian upper class led such colorful sex lives and produced so little issue. The average British wife then conceived ten times during her childbearing years. But the great thoroughbred beauties, who treasured their figures, carried far less often. After giving birth to Winston, Jennie Churchill was in and out of lovers’ beds all her life, yet she bore only one more child. And she was not exceptional.
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-It is worth noting that these small victories of desire were achieved, not by men, but by prudent women. One would expect that Victorian gentlemen, proud of their protective instincts, would have shielded their mistresses from impregnation. The means were at hand. Condoms, originally thin sheaths made from the visceral tissue of sheep, had been used for two centuries; Casanova mentions them, and so does Boswell. (“French letter” was the term used in England; across the Channel it was “la capote anglaise.”) But Victorian males were also romantics, and they found condoms distasteful. Therefore their partners turned to faithful douching with a solution of sulfate of zinc or alum, rigid austerity during their ripe periods each month, beeswax disks which blocked the entrance to the uterus, sponges moistened with diluted lemon juice and inserted into the vagina, and, increasingly, the Dutch cup, a primitive diaphragm designed to fit longitudinally in the vagina with the forward end under the pubic bone and the back end in the posterior fornix. Aletta Jacobs introduced this device in the Netherlands in the early 1880s. The cup comprised a steel ring with rubber stretched across it—a painful expedient, but passion overrode the discomfort. Mere possession of a Dutch cup was a sign of privilege in London. The vast majority of Englishwomen didn’t know they existed and would have had difficulty acquiring one anyhow; the cups were available, only to those who furnished respectable references, at a Mayfair bookshop.
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-Partly because they bred less, ladies flourished. They were so much healthier and more active than their unprivileged sisters that they almost seem to have belonged to a different species. Lower-class women weren’t envious; they adored them. An article in Graphic Magazine described in the saccharine prose of the time how such social celebrities were regarded:
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-For the fashionable beauty, life is an endless carnival, and dress a round of disguises. She does everything and the wings of Mercury might be attached to her tiny bottines, so rapid are her changes of scene and character. She is a sportswoman, a huntress, a bold and skillful swimmer; she drives a pair of horses like a charioteer, mounts the roof of a four-in-hand, plays lawn tennis, is at home on a race course or the deck of a fast yacht. She is aware of the refinements of dining and has a pretty taste in vintages. She is a power at the theater or the Opera; and none is more brilliant at a supper party. Of the modern young lady a la mode, who wields alike the fiddle-bow, the billiard-cue, and the etching-needle, who climbs mountains and knows the gymnasium, none but herself can be the prototype.46
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-Among the most sophisticated of these women, often bored partners in arranged marriages, the affairs which were joyously celebrated during weekends were sometimes launched in wife-to-wife conversations. “Tell Charles I have designs on him,” one would tell Charles’s lady, who would acknowledge the proposal with a nod and an amused smile; she herself already had a lover or had designs of her own on someone else’s husband. But you had to be very secure to take that approach—had to be, say, one of that select circle of ladies who took turns sleeping with Victoria’s eldest son. More often an understanding would have been reached in advance between the primary partners. Some affairs were known to everyone. General Sir Neville Bowles Chamberlain, for example, always slept with the Duchess of Manchester, and the Duke of Marlborough with Lady Colin Campbell. Of course, they didn’t cross a bedroom threshold together. On Thursdays each of the hundred-odd guests was assigned a room; a tiny brass frame on the door held a card with his or her name written on it. Wise and worldly hostesses knew who should be paired with whom. Vita Sackville-West later described how they served as accomplices to Victorian and later Edwardian intrigue: “This question of the disposition of bedrooms always gave the… hostesses cause for anxious thought. It was so necessary to be tactful, and at the same time discreet. The professional Lothario would be furious if he found himself in a room surrounded by ladies who were all accompanied by their husbands. Tommy Brand, on one such occasion, had been known to leave the house on the Sunday morning…. Tommy’s motto was ‘Chacun a sa chacune.’ Then there were the recognised lovers to be considered; the duchess herself would have been greatly annoyed had she gone to stay at the same party as Harry Tremaine, only to find that he had been put at the other end of the house…. It was part of a good hostess’ duty to see to such things; they must be made easy, though not too obvious.” After lights were out, shadowy figures would glide through the darkened hall and everyone would settle in for the night’s pleasure. An hour before dawn the butler would appear in the hall bearing a gong. He would strike it once and depart. The same tiptoeing figures would reappear. Presently they would all meet at the breakfast table.47
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-Breakfast could be bewildering to outsiders. At the table you were expected to be brusque, even rude, to your companion of the night. “Pass the toast,” you would say crossly, or “I want the salt.” The upper class was always very direct (“I want to pee”), but this went beyond that. It was important to sort out your different roles, to let it be known that you weren’t going to break the rules by being demonstrative, or eloping, or doing anything else rash. One-night stands were very rare, but now and then they happened. The story of one, involving a young Frenchwoman, survives. During an evening musicale a handsome gentleman propositioned her. She accepted, and a memorable night followed. Two hours later she was cracking a soft-boiled egg downstairs when he appeared, took a seat, and arranged his napkin. Still aglow with romance, she bestowed a tender smile upon him. He glowered and growled: “Are you going to hog the butter all day?” She was shocked, then enraged. Hurling the butter in his face, she flew upstairs, summoned her maid, packed, and demanded that she be driven to the station at once. She told their stunned hostess that she would never again visit atroce England. She didn’t. She wasn’t invited.48
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-
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-The casual promiscuity of the English patriciate over the centuries suggests the need for caution in tracing the bloodlines of Winston Churchill. He himself, while researching his biography of the great duke—the income from which went far toward supporting his family in the 1930s, when pleas for resistance to Hitler made him a political pariah—found “disquieting” evidence of “a rather shady phase” in the 1500s, when the duke’s great-grandmother so forgot herself in the early years of her marriage that she presented the family blacksmith with a sturdy son. On a loftier scale, the duke’s sister gave birth to a bastard son of James II, and the family genes were quickened by the passionate George Villiers, the first Duke of Buckingham and the confidant of two Stuart sovereigns, whose descendants included both Pitts and several mistresses and lovers in royal households. So although it is theoretically possible to trace our Winston Churchill’s lineage back at least to 1066, here and there skepticism is advisable. As Sarah, the first duchess, said, upon reading an account of her husband’s forebears, “This History takes a great deal of Pains to make the Duke of Marlborough’s Extraction very ancient. That may be true for aught I know. But it is no matter whether it be true or not in my opinion”—the customary riposte when a defense of legitimacy became hopeless. Thus one should, as far as possible, stick to what can be confirmed.49
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-One may as well begin with the first Sir Winston Churchill (1620–1688), for whom his great-great-great-great-great-great-great-grandson was named. A scholar, this earlier Winston left Oxford to bear arms for Charles I in the struggle between the Royalists and the Roundheads. Wounded after several ferocious battles, he found asylum in the castle of his mother-in-law, Lady Drake, a firm supporter of Cromwell and therefore above Puritan suspicion. After the Restoration, Charles II knighted Churchill. As Sir Winston he became MP for Weymouth, then a fellow of the Royal Society, meanwhile supervising the raising of five children who, because of their mother’s bloodline, were descendants of Sir Francis Drake. One of the five was John Churchill, the future duke. John is one of the great figures in English history, glorious as a soldier, statesman, and diplomat. Though frequently the victim of court intrigue—in 1692 he was arrested, locked up in the Tower of London, and charged with high treason—he was always forgiven by William III and Queen Anne because of his remarkable military conquests. John fought ten campaigns on the Continent and never lost a battle, never even failed to take a fortress to which he had laid siege. His mightiest victory was at Blenheim, on the Danube, in Bavaria. On August 13, 1704, he and Eugene of Savoy risked everything, ignoring a formidable threat to their rear, and led the allied English, Germans, Dutch, and Danes to a historic triumph over the French. Blenheim is regarded as one of the world’s ten most decisive engagements. John had become a duke in 1702. Now he was made a Knight of the Garter and given a palace, which he named after the battle.
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-This first Marlborough left no sons. The dukedom therefore passed through his daughters to his grandson, a Spencer. The Spencer family had become notable in 1504, when one of them acquired estates in Warwickshire and at Wormleighton and received a grant in arms. Henry VIII knighted him; our Winston Churchill became his direct male descendant through fifteen generations. In his Memoirs of My Life and Writings, Gibbon would write: “The nobility of the Spencers has been illustrated and enriched by the trophies of Marlborough; but I exhort them to consider the Fairy Queen as the most precious jewel of their coronet.” Like many another historian, Gibbon skidded from time to time. There was no relationship between the poet and these Spencers. But they were remarkable in other ways. One served as ambassador to Spain and France. Another, a contemporary of Robert Walpole, England’s first prime minister, was first lord of the Treasury between 1718 and 1721. A third, the second Earl Spencer, was first lord of the Admiralty in Nelson’s great years. The next earl was one of the authors of the reform bill of 1832, and his son became viceroy of Ireland and then Gladstone’s first lord.
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-In 1817, by royal license, the fifth Duke of Marlborough changed his family name to Spencer-Churchill. The arms were quartered beneath two crests, a griffin’s head for the Spencers and a lion for the Churchills. The lion is the traditional symbol of England’s greatness, and a duke outranks an earl, but for over a century the Spencers had outperformed the Churchills as servants of the Crown. One Duke of Marlborough became a mere brigadier of foot guards; another, during his fifty-eight years as master of Blenheim, simply collected pictures. During the Regency, two dukes succumbed to that gambling fever which afflicted so many members of the aristocracy in those raffish years. Rees Howell Gronow, a gossip writer of the early nineteenth century, told of a coach ride with a Marquess of Blandford (the title of the elder son of the Duke of Marlborough before his succession). The marquess produced a wad of fifty thousand-pound notes. He had just borrowed them. He said: “You see, Gronow, how the immense fortune of my family will be frittered away; but I can’t help it; I must live. My father inherited five hundred thousand pounds in ready money and seventy thousand pounds a year in land; and in all probability when it comes my turn to live at Blenheim I shall have nothing left but the annuity of five thousand pounds a year on the Post Office.” When he did become duke, we are told, “he lived in one remote corner of his magnificent Palace, a melancholy instance of extravagance.”50
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-It was his son, John Winston, who began restoration of the Churchill pride. He and his successors added such luster to the family’s reputation that recent generations have used Spencer only as a middle name or dropped it altogether. John Winston entered politics, was elected MP for Woodstock, and sat in the Commons for fifteen years. Becoming the seventh duke, he moved to the Lords and served as a cabinet minister under Lord Derby and then Disraeli. His elder son, George, was a disappointment. So, at first, was George’s brother Randolph. Randolph was a poor student at Eton. He failed his first examinations at Oxford. But then he picked up. At Merton College he left a creditable record, marred only by an arrest for drunkenness and assault. After the ceremonial grand tour of Europe which had become customary for upper-class youths, and after a brief period as an idler and carouser, he stood for Parliament in 1874 and was elected to his father’s old seat. His first speech went well; Disraeli wrote the Queen: “Lord Randolph said many imprudent things, which is not very important in the maiden speech of a young member and a young man, but the House was surprised, and then captivated, by his energy, and his natural flow, and his impressive manners. With self-control and study he might mount. It was a speech of great promise.”51
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-Dizzy’s unerring eye had caught the flaws, however. Randolph was “imprudent,” lacking in “self-control.” Later, after disaster had overwhelmed him—after he had first been marked as a future prime minister and had then lost everything—that was all which would be remembered. It is easy to withhold sympathy from him. Surviving pictures do not help. His most striking feature was his eyes. They were not attractive; he suffered from exophthalmos, and his protruding eyeballs seem to have surveyed the world with a supercilious, offensive stare. His walrus mustache draws attention to a large head set on a short, frail body. He looks pompous, curt, and rude. And so he was, to those who bored him. Yet his friends have left eloquent testaments to his jauntiness, wittiness, and charm. He was an enthusiastic foxhunter, a splendid horseman. His mind and tongue were quick. He was courtly with the ladies. He had little money; Disraeli, who made it his business to know such things, told the Queen in another letter that Randolph’s father was “not rich for a Duke,” and virtually everything would pass to the new MP’s elder brother anyhow.52 Nevertheless, “Randy,” as he was known to the whispering galleries and sounding boards of London society, was a popular member of the “fast” set headed by the Prince of Wales. Randy’s chief attractions were his social standing, his eligibility, and his faultless dress, for he was very much the dandy. And he enjoyed his kaleidoscopic social role. He detested dancing, yet he never turned down an invitation to a ball.
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-In time he might have overcome his youthful impetuosity, but time was denied him. His greatest misfortune, though he didn’t know it then, was a consequence of what was surely the cruelest of all Oxford pranks. Years later he described it to Louis Jennings, a close friend, and Jennings passed it along to another of Randy’s friends, Frank Harris, editor of the Fortnightly Review. One evening at Merton a small group of students were discussing a favorite undergraduate topic: the relationship between masters and servants. Randy had firm views on this. He believed the aristocracy knew instinctively how to handle menials and that the rising merchants—he once told Harris that he regarded them as “jumped-up grocers from Ballarat and shopkeepers from Sydney”—would never learn. That evening he was eloquent; he was applauded; a fellow student handed him an enormous stirrup cup of champagne; he drank it off. It had been drugged. He awoke at daybreak with a ghastly taste in his mouth. He was in a strange room. The wallpaper, in his words, was “hideous—dirty.” He turned his head and sat bolt upright, gasping. There was an old woman lying beside him; “one thin strand of dirty grey hair” lay on the pillow. His hopeless questions to Jennings evoked the chilling horror and the pathos of his plight: “How had I got there? What had happened to bring me to such a den?” Did he remember anything? Pas trop; the stirrup cup, and now this. Rising quietly, he slid into his trousers. Abruptly, the hag awoke and grinned. She asked hoarsely: “Oh, Lovie, you’re not going to leave me like that?”53
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-Lord Randolph Churchill at the time of his marriage
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-Lord Randolph Churchill in his prime
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-Randolph vividly recalled that she had “one long yellow tooth in her top jaw that waggled as she spoke.” Obviously, she expected to be paid—this was the ultimate master-servant relationship. Emptying his pockets, he threw all the money he had on the bed. Her leer grew. Speechless, he struggled into his waistcoat and coat and bolted. As he slammed the door he heard her call, “Lovie, you’re not kind!” Then, said Randolph, “Downstairs I fled in livid terror.”* He knew his peril; he made for the nearest doctor’s office. There he was treated with a strong disinfectant, but three weeks later a venereal sore appeared on his genitals, followed by lesions elsewhere. He returned to the physician, who treated him with mercury, warned him to abstain from alcohol, and told him he had nothing to worry about. It was a lie. Victorian medicine, confronted with such symptoms, was helpless. Thus it was that at the height of the 1873 Season, even before his entrance into public life, the elegant twenty-four-year-old bachelor son of a duke, the cynosure of aspiring debutantes and their ambitious mothers, was a doomed syphilitic.54
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-On this deckle-edged invitation—it still exists; the Churchills, the biographer ardently notes, saved everything—a feminine hand later wrote, below “To meet,” the name “Randolph.” Certainly Clarissa (“Clara”) Jerome hoped that she and her three daughters would meet someone interesting. Lately Europe had been a disappointment to them. Clara had begun to long for Newport, or even the Jeromes’ New York mansion on Madison Square. She took the Franco-Prussian War as a personal affront. She and her daughters—Clarita, Leonie, and Jeanette (“Jennie”)—had adored the Paris of the Second Empire. Beginning in 1858 they had lived in a palatial apartment on the Champs-Elysées. Clarita had made her debut at the Tuileries and had been the guest of Napoleon III and Eugénie at Compiègne. Jennie had been scheduled to come out in 1870. She had already been fitted for her gown when Louis Napoleon sent Wilhelm a rude note. Wilhelm of Prussia replied—at Bismarck’s urging—with the ruder Ems telegram, and suddenly the two armies were lunging at each other. In the beginning Clara saw no need for alarm. French confidence was boundless. And neutral observers thought it fully justified. The Pall Mall Gazette of July 29, 1870, predicted that the first Napoleon’s triumphs were about to be repeated. The Times felt an Englishman would be justified in laying his “last shilling on Casquette against Pumpernickel.” The élan of Louis Napoleon’s soldiery could scarcely have been higher. They pored over the maps of Prussia which had been issued to them, studied German phrase books, and eagerly looked forward to heroic attacks gallantly carried out by them and their comrades crying “En avant! A la baïonnette! A Berlin!” to the strains of “La Marseillaise.”55
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-It was “unthinkable,” the London Standard said, for the Prussians “to take the offensive.”56 General Helmuth von Moltke and his general staff disagreed. They had built their railroad grid with war in mind, had profited by William T. Sherman’s brilliant use of railways in Tennessee, and had mastered the coordination of telegraph lines and troop trains. Three weeks after war had been declared, Moltke had efficiently mobilized 1,183,000 Germans, backed by more than 1,440 Krupp cast-steel cannon. The French, who regarded efficiency as a pedestrian virtue, weren’t ready. They collided with massed battalions wearing spiked helmets and uniforms of Prussian blue singing “Die Wacht am Rhein” and “Deutschland über Alles” and chanting “Nach Paris!” While their deadly artillery, outranging Louis Napoleon’s obsolete bronze guns, flung shattering barrages ahead of them, they blazed a trail which would be followed by their grandsons in 1914 and their great-grandsons in 1940. Suddenly news reached the Champs-Elysées that half the French army was bottled up in the mighty fortress of Metz. At Sedan the other half, led by Louis Napoleon himself, laid down their arms and accepted humiliating surrender terms. Paris lay open to the invader.
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-Clara and her daughters fled to Cowes, the fashionable British seaside resort on the Isle of Wight. They moved back to Paris the following spring, taking a house in the boulevard Haussman, but the city had been devastated by the Commune, the leftist regime which had defied the Prussians and their own countrymen until starved into submission. Returning to Cowes, the Jeromes leased what Clara called a “sweet little cottage” and were frequently seen there and in London, attending balls, recitals, receptions, and musicales, and other highlights of the Season. Most weekends found them on the great country estates. Unlike the Frenchwoman whose naiveté spoiled a perfectly good English breakfast, they were not shocked by careless interpretations of the marriage sacrament. Clara’s husband slept with many women in New York; she knew it, knew that he had sired several illegitimate children, and was indifferent. Her grandson Winston relished telling of a meeting between Clara and one of Leonard Jerome’s mistresses; Clara said: “My dear, I understand how you feel. He is so irresistible.” But a lady’s sexual emancipation was possible only after matrimony. As long as the Misses Jerome remained single, they must also be maidens. At least one of them was straining at the leash. A photograph of the mother and her daughters, taken at about this time, shows her seated, facing left, regarding the world with a resolute jaw and eyes like raisins. Clarita, also seated, is holding her mother’s hand and searching her face, as though for guidance. Leonie, standing, leans on her mother’s shoulder for support. Jennie, however, doesn’t seem even to be a part of the group. She was already known as “a great showoff.” Here the show is well worth watching. Dark, vivacious, and magnificent, she stands alone, staring boldly at the photographer, her left arm outflung, the hand atop a furled umbrella, her hips cocked saucily. It is almost a wanton pose, the posture of a virgin who can hardly wait to assume another position.57
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-Mrs. Jerome and her daughters (from left): Leonie, Clara, and Jennie
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-Their Cowes home was a “cottage” in the sense that the sprawling Newport châteaux were called cottages. Leonard was seldom there, but when he crossed the Atlantic—usually at the helm of his own yacht—he expected to find his family living in style. He was an American type peculiar to his time, a vigorous, handsome man, a brokerage partner of William R. Travers and a member of the New York Stock Exchange who repeatedly amassed, and then spent, enormous portfolios of wealth. As Winston told the story, “My grandfather would devote himself to work and in a short time make a fortune. Then he would give up the life completely, disappearing for a year or two, generally to Europe. When he came back to New York he might have lost the fortune he had made, and at once set about piling up another. Money poured through his fingers. He generally had an income of about £10,000, perhaps equal to £40,000 now. My grandfather thought nothing of spending $70,000 on a party, where each lady found a gold bracelet, inset with diamonds, wrapped in her napkin.”58
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-In his careening career, Leonard seems to have succeeded at almost everything he tried. He founded the American Jockey Club, built a racetrack in the Bronx, supported an opera house, was for a time a part-owner of the New York Times, participated in politics, spent eighteen months as American consul in Trieste, gambled heavily and successfully, and was the first man to drive a team of racing horses four-in-hand down Broadway. Like many other Wall Street millionaires of that period, he held mixed feelings about the English aristocracy. He envied their power; Britain was a mightier nation than the United States, and an English peer was a great figure throughout the Empire and beyond. But Americans were also proud, especially self-made men. Having reached the top of a mobile society, they scorned those whose future had been assured at birth. After all, Britain’s patricians and New York’s financiers came from the same stock. Leonard was the great-great-grandson of a Huguenot who had arrived in what were then the American colonies in 1710. Leonard’s wife’s family had settled in Connecticut by 1650. There was one faint blemish in Clara’s otherwise pure Anglo-Saxon blood, one which later delighted Winston: her grandmother had been an Iroquois Indian. But that merely made her more colorful. Both Leonard and Clara were descended from American officers who had fought in the War of Independence. One, a major in the Fourth Massachusetts Regiment, had served with Washington at Valley Forge. To be sure, the Jeromes would be unlikely to place obstacles in the path of a titled British son-in-law. Palmerston had predicted: “Before the century is out, these clever and pretty women from New York will pull the strings in half the chancelleries in Europe.”59 Louisa Caton, the daughter of a Baltimore merchant, had been Lady Hervey-Bathurst and then, after her first husband’s death, Duchess of Leeds. Minnie Stevens became Lady Paget; Mrs. Arthur Post, Lady Barrymore; Mary Leiter of Chicago, Lady Curzon and vicereine of India. And Consuelo del Valle, who had been Jennie’s schoolmate, would soon be Duchess of Manchester. So a Jerome girl wouldn’t find herself in altogether unfamiliar company. Leonard and Clara might have been pleased by the thought. At the same time, they would have bridled at the suggestion that she was marrying up.
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-The shipboard dance at Cowes aboard the cruiser Ariadne was considered a major social event and even a historic occasion, for the guests of honor were the future Czar Alexander III and his czarina, Maria Feodorovna. Today they are forgotten, part of the legacy which was destroyed with the last of the Romanovs, but one question asked that evening by an acquaintance of the Jeromes, by an obscure dandy named Frank Bertie, is memorable. Although Jennie had a full dance card, she happened to be standing alone, watching the bobbing Chinese lanterns and the entwined British and Russian flags overhead and listening to the Royal Marine band, when Bertie appeared at her elbow with a pale youth. Bertie said: “Miss Jerome, may I present an old friend of mine who has just arrived in Cowes, Lord Randolph Churchill.” Jennie inclined her lovely head. Randolph stared. She was nineteen, at the height of her glory, bare-shouldered and sheathed below in a flowing white gown with flowers pinned to the bosom. After some hesitation, he invited her to dance. The quadrille proved to be beyond him; he tripped and suggested they sit this one out. They did. Her dance card notwithstanding, they sat out the next one, and then the next, talking of horses and mutual friends until Clara, wondering uneasily where her daughter might be among all these virile naval officers, sought her out. Before leaving, Jennie persuaded her mother to invite Randolph to dinner the following evening, accompanied by a British colonel for the sake of appearances. At the dinner Randolph seems to have tried hard to be clever, without much success. Afterward Jennie and Clarita played piano duets. Randolph whispered to the startled colonel: “If I can, I mean to make the dark one my wife.” They left, and Jennie asked her sister what she thought of Randolph. Clarita wasn’t impressed. She thought his manner pretentious and his mustache absurd. She doubted she could learn to like him. Jennie said: “Please try to, Clarita, because I have the strangest feeling that he’s going to ask me to marry him.” If he did, she said, “I’m going to say ‘yes.’ ” Her sister laughed, but in three days, during a stroll in the Cowes garden, the two became engaged.60
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-Leonard’s first response was apprehension. When Jennie wrote him the news he replied, “You quite startle me. I shall feel very anxious till I hear more. If it has come to that—that he only ‘waits to consult his family’ you are pretty far gone…. I fear if anything goes wrong you will make a dreadful shipwreck of your affections. I always thought if you ever did fall in love it would be a very dangerous affair.” Letters from her and her mother brought him around, however. Once persuaded, his optimism was irrepressible. In Wall Street the panic of ’73 was at its peak. He had been all but wiped out. But he never doubted that he would win it all back—as he did—and on September 11, giving the marriage his blessing, he wrote Jennie: “I must say I have been very happy all day long. I have thought of nothing else. I telegraphed your mother immediately that I was ‘delighted’ and that I would arrange £2,000 a year for you which she says in her letter will do. The letter I recd from you the other day only filled me with anxiety. I feared nothing would come of it and that you would be left shipwrecked. The situation as related by you today leaves no reasonable doubt of the accomplishment of your hopes. The consent of his paternal [sic] I should say must follow when he learns that moderate provision can be made for you and that our family is entirely respectable—all that can be said for any American family.”61
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-Jennie as drawn by John Singer Sargent
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-It wasn’t enough. At Blenheim the duchess was muttering angrily about “dollars and impudence.” On August 25 Randolph’s brother had written him: “I tell you that you are mad simply mad. I don’t care if la demoiselle was the incarnation of all moral excellences & physical beauties on God’s earth. My opinion is the same.” If he wanted to run off with a married woman, George said, that would be one thing. “But my friend le mariage! It is a delusion and a snare like all the rest, and in this disagreeable addition [sic], that it is irrevocable…. You really only want to marry because you are in love with an idea ‘une phantasie….’ ” Meanwhile, Randolph had written his father of his plans. He told him: “I love her better than life itself,” then added with exasperating vagueness: “Mr. Jerome is a gentleman who is obliged to live in New York to look after his business. I do not know what it is.”62
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-The duke meant to find out. He wrote Randolph: “I can’t say that what you have told me is reassuring…. This Mr. J. seems to be a sporting, and I should think vulgar kind of man. I hear he drives about 6 and 8 horses in N.Y. (one may take this as a kind of indication of what the man is). I hear he and his two brothers are stock brokers, one of them bears a bad character in commercial judgement in this country, but which of them it is, I do not know, but it is evident he is of the class of speculators; he has been bankrupt once; and may be so again: and when we come to think of N.Y. speculators & their deeds look at Fisk and hoc genus omne.”63
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-Randolph besieged Blenheim. A month later he wrote Clara that although his father still deplored “the suddenness & rapidity of the attachment formed… he wld give his consent if we were of the same mind in a year hence.” Neither Randolph nor Jennie would agree to wait. They were both hot-blooded and impatient; with each passing day they wanted each other more. Weeks dragged on, and then months. Randolph’s election to Parliament in February seems to have improved his standing in his father’s eyes, and presently the duke, mollified if not reconciled, was getting down to the bedrock issue. It was money. He had decided to give Randolph £1,000 a year, which, with the £2,000 from Leonard, seemed ample for the couple. The issue was who should control it. Lawyers were consulted. The Churchill family’s solicitors took the position that settling any money on the bride was inconsistent with English practice. The groom, they said, should get everything. Leonard offered a split between husband and wife, writing: “My daughter although not a Russian princess is an American and ranks precisely the same and you have doubtless seen that the Russian settlement recently published”—this was between the Grand Duchess Marie Alexandrovna and Victoria’s second son, the Duke of Edinburgh—“claims everything for the bride.” It was now April 7, and Jennie and Randolph could scarcely control themselves. Indeed, as we shall see, they probably couldn’t, and didn’t. A compromise was reached involving settlements on children to be born of the union. On April 14, 1874, Randolph wrote his mother: “Things are now going as merrily as a marriage bell. I expect the settlements over tonight and they will be signed tomorrow.”64
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-They were. The next day, Wednesday, April 15, the Reverend Dr. Edward Forbes united them during a ceremony in the British embassy in Paris—Paris, which had become civilized once more, having been Clara’s suggestion. Present were the bride’s parents, the groom’s brother George, and Francis Knollys, private secretary to the Prince of Wales. Absent were the Duke and Duchess of Marlborough. This was an extraordinary snub, for Randolph was their favorite son. But they had made it quite clear that they had no intention of attending the service. Leonard had sent the duke a chilly note the previous Tuesday. (“I am very sorry you are not able to come over to the wedding. We had all hoped to have had the pleasure of seeing both yourself & the Duchess.”) There is no record of a reply. But the inhabitants of Woodstock—which lies outside Blenheim’s grounds and was the new constituency of Randolph Churchill, MP—were overjoyed. When the couple arrived there on Monday, May 25, the train station was decorated with bunting and crowded with well-wishers. Cheering broke out as Jennie appeared carrying a lacy parasol mounted on a tortoiseshell rod trimmed with gold, a present from her father. (“Just the sort of bit of nonsense you like,” he had said.) The parasol was inadequate that day. A heavy rain was falling, split by bolts of lightning. Nevertheless, the throng, undaunted, unhitched the horses from the carriage which had been sent from the palace and pulled it through the narrow streets. They paused at the Bear Hotel, where the mayor spoke briefly, telling them that Woodstock “cannot be unmindful of anything which concerns the happiness of the noble house of Churchill,” and wishing them many years of “unclouded” joy. Then they were off again, through the triumphant arch dividing the town from the palace grounds. “As we passed through the entrance archway and the lovely scenery burst upon me,” Jennie later wrote, “Randolph said with pardonable pride, ‘This is the finest view in England.’ Looking at the lake, the bridge, the miles of magnificent park studded with old oaks… and the huge and stately palace, I confess I felt awed. But my American pride forbade the admission.”65
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-Blenheim Palace
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-Another admission, which she preferred to keep from her husband’s family, was that she was bearing their grandchild. Indeed, it is virtually certain that she had been pregnant for three months, and soon it would begin to show. Randolph had leased a house in Mayfair, at 48 Charles Street, off Berkeley Square; they planned to return to London and await the delivery there, explaining, when invited to Blenheim, that his political duties required his presence in town. But when Parliament rose, the duke and duchess would hear no excuses. Having accepted the marriage grimly, they wanted a long close look at their new daughter-in-law. As the weeks passed, they were pleasantly surprised. They found her charming. The increase in her girth appears to have been slight; the time for consulting the calendar hadn’t yet arrived. Ironically, she no longer cared. Free of her cloying mother, she also felt free of her in-laws. By October she was her own woman, independent and headstrong. She would never change again. It would be characteristic of her that she would always do exactly as she pleased, flouting convention and tossing her head when met by disapproval. Expectant mothers—she was very heavy by now—were supposed to remain quiet and, so far as was possible, immobile. But she was her father’s daughter; she had always been lively; she loathed inactivity, and gave it the back of her hand now. On Tuesday, November 24, she left the palace on a shooting party, stumbled in a field, and fell. Shaking off anxious hands, she said she was fine. On Saturday, as Randolph later wrote Clara, she took “a rather imprudent & rough drive in a pony carriage.” That evening the annual St. Andrew’s Ball was held in the palace. To the astonishment of everyone, including her husband, she appeared in a loose gown, holding a dance card. She was actually on the floor, pirouetting, when the pains started. Randolph wrote his mother-in-law: “We tried to stop them, but it was no use.” It was, in fact, time to choose a birthplace. Her grandniece, Ann Leslie, afterward described Jennie’s search for one. Attended by servants and by Randolph’s aunt Clementina, Lady Camden, she stumbled away from the party—which seems to have proceeded gaily without her—and lurched “past the endless suite of drawing-rooms, through the library, ‘the longest room in England,’ ” toward her bedroom.66
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-She didn’t make it. She fainted and was carried into a little room just off Blenheim’s great hall. Once it had belonged to the first duke’s chaplain; tonight it was the ladies’ cloakroom. Sprawling, she lay on velvet capes and feather boas, which were deftly drawn from beneath her when the ball ended and the merry guests departed. It was a long night, with servants hurrying in and out with poultices and towels. The pains, Randolph told Clara, “went on all Sunday.” He had telegraphed the London obstetrician Jennie had consulted, but, Sunday train schedules being what they were, the doctor couldn’t arrive until Monday. Thus, the historic role of delivering England’s greatest prime minister fell to Frederic Taylor, a Woodstock physician. “The country Dr is… a clever man,” Randolph reported, “& the baby was safely born at 1.30 this morning after about 8 [sic] hrs labour. She suffered a good deal poor darling, but was vy plucky & had no chloroform. The boy is wonderfully pretty so everybody says dark eyes and hair & vy healthy considering its prematureness.”67
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-Premature? The Times bought it. At the head of its birth notices it reported: “On the 30th Nov., at Blenheim Palace, the Lady Randolph Churchill, prematurely, of a son.” But no one believed it, not the patrician friends of the family, chuckling over the announcement, nor even the yeomen of Woodstock who, the Oxford Times reported, rang “a merry peal on the church bells… in honour of the event.” Winston was full-term. It was generally believed that sometime the previous February, during the maddening negotiations over the marriage settlement, Jennie had eluded her mother, divested herself of the incredible layers of clothing then worn by young ladies, and received Randolph’s seed. Indeed, it was thought the duke and duchess had known Jennie was pregnant at the time of the wedding; that was why they had boycotted it. Sly allusions to the circumstances of his birth followed Winston all his life. He enjoyed them. He would reply: “Although present on the occasion, I have no clear recollection of the events leading up to it.”68 Of course, it is possible that his parents have been slandered. Periods of gestation do vary. He may have been premature. It would have been just like him. He never could wait his turn.
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-The Rise and Fall of the Third Reich
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-A History of Nazi Germany
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-William L. Shirer
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-Copyright
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-The Rise and Fall of the Third Reich
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-Copyright © 1961, renewed 1989 by William L. Shirer
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-Cover art to the electronic edition copyright © 2011 by RosettaBooks, LLC
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-All rights reserved. No part of this book may be used or reproduced in any form or by any electronic or mechanical means, including information storage and retrieval systems, without permission in writing from the publisher, except by a reviewer who may quote brief passages in a review.
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-Electronic edition published 2011 by RosettaBooks LLC, New York.
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-ISBN Mobipocket edition: 9780795316999
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-I have often a bitter sorrow at the thought of the German people, which is so estimable in the individual and so wretched in the generality…
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-—Goethe
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-Hitler was the fate of Germany and this fate could not be stayed.
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-—Field Marshal Walther von Brauchitsch, Commander in Chief of the German Army, 1938–41
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-A thousand years will pass and the guilt of Germany will not be erased.
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-—Hans Frank, Governor General of Poland, before he was hanged at Nuremberg
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-Those who do not remember the past are condemned to relive it.
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-—Santayana
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-Contents
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-Foreword
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-Book One: The Rise of Adolf Hitler
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-1. Birth of the Third Reich
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-2. Birth of the Nazi Party
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-3. Versailles, Weimar and the Beer Hall Putsch
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-4. The Mind of Hitler and the Roots of the Third Reich
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-Book Two: Triumph and Consolidation
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-5. The Road to Power: 1925–31
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-6. The Last Days of the Republic: 1931–33
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-7. The Nazification of Germany: 1933–34
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-8. Life in the Third Reich: 1933–37
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-Book Three: The Road to War
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-9. The First Steps: 1934–37
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-10. Strange, Fateful Interlude: The Fall of Blomberg, Fritsch, Neurath and Schacht
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-11. Anschluss: The Rape of Austria
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-12. The Road to Munich
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-13. Czechoslovakia Ceases to Exist
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-14. The Turn of Poland
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-15. The Nazi-Soviet Pact
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-16. The Last Days of Peace
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-17. The Launching of World War II
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-Book Four: War: Early Victories and the Turning Point
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-18. The Fall of Poland
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-19. Sitzkrieg in the West
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-20. The Conquest of Denmark and Norway
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-21. Victory in the West
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-22. Operation Sea Lion: The Thwarted Invasion of Britain
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-23. Barbarossa: The Turn of Russia
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-24. A Turn of the Tide
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-25. The Turn of the United States
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-26. The Great Turning Point: 1942—Stalingrad and El Alamein
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-Book Five: Beginning of the End
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-27. The New Order
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-28. The Fall of Mussolini
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-29. The Allied Invasion of Western Europe and the Attempt to Kill Hitler
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-Book Six: The Fall of the Third Reich
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-30. The Conquest of Germany
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-31. Goetterdaemmerung: The Last Days of the Third Reich
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-A Brief Epilogue
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-Afterword
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-Notes
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-Acknowledgments
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-Bibliography
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-Index
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-FOREWORD
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-THOUGH I LIVED and worked in the Third Reich during the first half of its brief life, watching at first hand Adolf Hitler consolidate his power as dictator of this great but baffling nation and then lead it off to war and conquest, this personal experience would not have led me to attempt to write this book had there not occurred at the end of World War II an event unique in history.
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-This was the capture of most of the confidential archives of the German government and all its branches, including those of the Foreign Office, the Army and Navy, the National Socialist Party and Heinrich Himmler’s secret police. Never before, I believe, has such a vast treasure fallen into the hands of contemporary historians. Hitherto the archives of a great state, even when it was defeated in war and its government overthrown by revolution, as happened to Germany and Russia in 1918, were preserved by it, and only those documents which served the interests of the subsequent ruling regime were ultimately published.
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-The swift collapse of the Third Reich in the spring of 1945 resulted in the surrender not only of a vast bulk of its secret papers but of other priceless material such as private diaries, highly secret speeches, conference reports and correspondence, and even transcripts of telephone conversations of the Nazi leaders tapped by a special office set up by Hermann Goering in the Air Ministry.
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-General Franz Halder, for instance, kept a voluminous diary, jotted down in Gabelsberger shorthand not only from day to day but from hour to hour during the day. It is a unique source of concise information for the period between August 14, 1939, and September 24, 1942, when he was Chief of the Army General Staff and in daily contact with Hitler and the other leaders of Nazi Germany. It is the most revealing of the German diaries, but there are others of great value, including those of Dr. Joseph Goebbels, the Minister of Propaganda and close party associate of Hitler, and of General Alfred Jodl, Chief of Operations of the High Command of the Armed Forces (OKW). There are diaries of the OKW itself and of the Naval High Command. Indeed the sixty thousand files of the German Naval Archives, which were captured at Schloss Tambach near Coburg, contain practically all the signals, ships’ logs, diaries, memoranda, etc., of the German Navy from April 1945, when they were found, back to 1868, when the modern German Navy was founded.
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-The 485 tons of records of the German Foreign Office, captured by the U.S. First Army in various castles and mines in the Harz Mountains just as they were about to be burned on orders from Berlin, cover not only the period of the Third Reich but go back through the Weimar Republic to the beginning of the Second Reich of Bismarck. For many years after the war tons of Nazi documents lay sealed in a large U.S. Army warehouse in Alexandria, Virginia, our government showing no interest in even opening the packing cases to see what of historical interest might lie within them. Finally in 1955, ten years after their capture, thanks to the initiative of the American Historical Association and the generosity of a couple of private foundations, the Alexandria papers were opened and a pitifully small group of scholars, with an inadequate staff and equipment, went to work to sift through them and photograph them before the government, which was in a great hurry in the matter, returned them to Germany. They proved a rich find.
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-So did such documents as the partial stenographic record of fifty-one “Fuehrer Conferences” on the daily military situation as seen and discussed at Hitler’s headquarters, and the fuller text of the Nazi warlord’s table talk with his old party cronies and secretaries during the war; the first of these was rescued from the charred remains of some of Hitler’s papers at Berchtesgaden by an intelligence officer of the U.S. 101st Airborne Division, and the second was found among Martin Bormann’s papers.
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-Hundreds of thousands of captured Nazi documents were hurriedly assembled at Nuremberg as evidence in the trial of the major Nazi war criminals. While covering the first part of that trial I collected stacks of mimeographed copies and later the forty-two published volumes of testimony and documents, supplemented by ten volumes of English translations of many important papers. The text of other documents published in a fifteen-volume series on the twelve subsequent Nuremberg trials was also of value, though many papers and much testimony were omitted.
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-Finally, in addition to this unprecedented store of documents, there are the records of the exhaustive interrogation of German military officers and party and government officials and their subsequent testimony under oath at the various postwar trials, which provide material the like of which was never available, I believe, from such sources after previous wars.
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-I have not read, of course, all of this staggering amount of documentation—it would be far beyond the power of a single individual. But I have worked my way through a considerable part of it, slowed down, as all toilers in this rich vineyard must be, by the lack of any suitable indexes.
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-It is quite remarkable how little those of us who were stationed in Germany during the Nazi time, journalists and diplomats, really knew of what was going on behind the façade of the Third Reich. A totalitarian dictatorship, by its very nature, works in great secrecy and knows how to preserve that secrecy from the prying eyes of outsiders. It was easy enough to record and describe the bare, exciting and often revolting events in the Third Reich: Hitler’s accession to power, the Reichstag fire, the Roehm Blood Purge, the Anschluss with Austria, the surrender of Chamberlain at Munich, the occupation of Czechoslovakia, the attacks on Poland, Scandinavia, the West, the Balkans and Russia, the horrors of the Nazi occupation and of the concentration camps and the liquidation of the Jews. But the fateful decisions secretly made, the intrigues, the treachery, the motives and the aberrations which led up to them, the parts played by the principal actors behind the scenes, the extent of the terror they exercised and their technique of organizing it—all this and much more remained largely hidden from us until the secret German papers turned up.
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-Some may think that it is much too early to try to write a history of the Third Reich, that such a task should be left to a later generation of writers to whom time has given perspective. I found this view especially prevalent in France when I went to do some research there. Nothing more recent than the Napoleonic era, I was told, should be tackled by writers of history.
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-There is much merit in this view. Most historians have waited fifty years or a hundred, or more, before attempting to write an account of a country, an empire, an era. But was this not principally because it took that long for the pertinent documents to come to light and furnish them with the authentic material they needed? And though perspective was gained, was not something lost because the authors necessarily lacked a personal acquaintance with the life and the atmosphere of the times and with the historical figures about which they wrote?
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-In the case of the Third Reich, and it is a unique case, almost all of the documentary material became available at its fall, and it has been enriched by the testimony of all the surviving leaders, military and civilian, in some instances before their death by execution. With such incomparable sources so soon available and with the memory of life in Nazi Germany and of the appearance and behavior and nature of the men who ruled it, Adolf Hitler above all, still fresh in my mind and bones, I decided, at any rate, to make an attempt to set down the history of the rise and fall of the Third Reich.
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-“I lived through the whole war,” Thucydides remarks in his History of the Peloponnesian War, one of the greatest works of history ever written, “being of an age to comprehend events and giving my attention to them in order to know the exact truth about them.”
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-I found it extremely difficult and not always possible to learn the exact truth about Hitler’s Germany. The avalanche of documentary material helped one further along the road to truth than would have seemed possible twenty years ago, but its very vastness could often be confusing. And in all human records and testimony there are bound to be baffling contradictions.
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-No doubt my own prejudices, which inevitably spring from my experience and make-up, creep through the pages of this book from time to time. I detest totalitarian dictatorships in principle and came to loathe this one the more I lived through it and watched its ugly assault upon the human spirit. Nevertheless, in this book I have tried to be severely objective, letting the facts speak for themselves and noting the source for each. No incidents, scenes or quotations stem from the imagination; all are based on documents, the testimony of eyewitnesses or my own personal observation. In the half-dozen or so occasions in which there is some speculation, where the facts are missing, this is plainly labeled as such.
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-My interpretations, I have no doubt, will be disputed by many. That is inevitable, since no man’s opinions are infallible. Those that I have ventured here in order to add clarity and depth to this narrative are merely the best I could come by from the evidence and from what knowledge and experience I have had.
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-Adolf Hitler is probably the last of the great adventurer-conquerors in the tradition of Alexander, Caesar and Napoleon, and the Third Reich the last of the empires which set out on the path taken earlier by France, Rome and Macedonia. The curtain was rung down on that phase of history, at least, by the sudden invention of the hydrogen bomb, of the ballistic missile and of rockets that can be aimed to hit the moon.
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-In our new age of terrifying, lethal gadgets, which supplanted so swiftly the old one, the first great aggressive war, if it should come, will be launched by suicidal little madmen pressing an electronic button. Such a war will not last long and none will ever follow it. There will be no conquerors and no conquests, but only the charred bones of the dead on an uninhabited planet.
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 Book One
 
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-Table of Contents
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-Title Page
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-Copyright Page
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-Dedication
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-List of Illustrations
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-Preface
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-Part 1 - ‘BEASTS IN HUMAN FORM’
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-LIGHTNING VICTORY
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-THE NEW RACIAL ORDER
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-‘A DREADFUL RABBLE’
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-‘LIFE UNWORTHY OF LIFE’
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-Part 2 - FORTUNES OF WAR
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-‘THE WORK OF PROVIDENCE’
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-‘PATHOLOGICAL AMBITION’
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-OPERATION BARBAROSSA
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-IN THE TRACKS OF NAPOLEON
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-Part 3 - ‘THE FINAL SOLUTION’
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-‘NO PITY, NOTHING’
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-LAUNCHING GENOCIDE
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-THE WANNSEE CONFERENCE
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-‘LIKE SHEEP TO THE SLAUGHTER’
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-Part 4 - THE NEW ORDER
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-THE SINEWS OF WAR
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-‘NO BETTER OFF THAN PIGS’
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-UNDER THE NAZI HEEL
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-TOTAL WAR
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-Part 5 - ‘THE BEGINNING OF THE END’
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-GERMANY IN FLAMES
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-THE LONG RETREAT
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-‘HELL HAS BROKEN OUT’
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-A NEW ‘TIME OF STRUGGLE’
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-Part 6 - GERMAN MORALITIES
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-FEAR AND GUILT
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-CULTURES OF DESTRUCTION
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-DEADLY SCIENCE
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-RESISTANCE
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-Part 7 - DOWNFALL
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-‘A LAST SPARK OF HOPE’
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-‘ W E ’ L L TAKE A WORLD WITH U S’
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-THE FINAL DEFEAT
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-AFTERMATH
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-Notes
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-Bibliography
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-Index
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-THE PENGUIN PRESS
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-Published by the Penguin Group
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-Penguin Group (USA) Inc., 375 Hudson Street, New York, New York 10014, U.S.A. Penguin Group (Canada), 90 Eglinton Avenue East, Suite 700, Toronto, Ontario, Canada M4P 2Y3
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-(a division of Pearson Penguin Canada Inc.) Penguin Books Ltd, 80 Strand, London WC2R oRL,
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-England Penguin Ireland, 25 St. Stephen’s Green, Dublin 2, Ireland (a division of
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-Penguin Books Ltd) Penguin Books Australia Ltd, 250 Camberwell Road, Camberwell, Victoria 3124,
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-Australia (a division of Pearson Australia Group Pty Ltd) Penguin Books India Pvt Ltd,
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-11 Community Centre, Panchsheel Park, New Delhi-110 017, India Penguin Group (NZ),
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-67 Apollo Drive, Rosedale, North Shore 0632, New Zealand (a division of Pearson
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-New Zealand Ltd) Penguin Books (South Africa) (Pty) Ltd, 24 Sturdee Avenue,
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-Rosebank, Johannesburg 2196, South Africa
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-Penguin Books Ltd, Registered Offices: 80 Strand, London WC2R oRL, England
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-Published in 2009 by The Penguin Press,
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-a member of Penguin Group (USA) Inc.
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-Copyright © Richard J. Evans, 2008
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-All rights reserved
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-Maps drawn by Andras Bereznay
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-Illustration credits appear on pages ix-xi.
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-LIBRARY OF CONGRESS CATALOGING IN PUBLICATION DATA
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-Evans, Richard J.
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-The Third Reich at war / Richard J. Evans. p. cm.
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-Includes bibliographical references and index.
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-eISBN : 978-1-101-02230-6
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-1. World War, 1939 -1945—Germany. 2. Germany—Armed Forces—History—World War,
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-1939-1945. 3. Germany—History—1933-1945. I. Title.
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-D757.E.53’43—dc22 2008044765
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-Without limiting the rights under copyright reserved above, no part of this publication may be reproduced, stored in or introduced into a retrieval system, or transmitted, in any form or by any means (electronic, mechanical, photocopying, recording or otherwise), without the prior written permission of both the copyright owner and the above publisher of this book.
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-The scanning, uploading, and distribution of this book via the Internet or via any other means without the permission of the publisher is illegal and punishable by law. Please purchase only authorized electronic editions and do not participate in or encourage electronic piracy of copyrightable materials. Your support of the author’s rights is appreciated.
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-http://us.penguingroup.com
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-For Matthew and Nicholas
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-List of Illustrations
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-1. German troops enter Lo’dz’, September 1939 (photo: © Trustees of the Imperial War Museum, London)
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-2. Ethnic Germans from Lithuania crossing the German border, February 1941 (photo: © SV-Bilderdienst/Scherl)
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-3. Jewish forced labour, Poland, September 1939 (photo: akg-images)
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-4. Round-up of Jews in Szczebrzeszyn, c. 1939-41 (photo: United States Holocaust Memorial Museum, courtesy of Instytut Pamieci Narodowej)
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-5. Still from the film I Accuse, 1941 (photo: © SV-Bilderdienst/Tobis)
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-6. Interior of the B̈rgerbr̈ukeller after the attempt on Hitler’s life, 8 November 1939 (photo: akg-images/ullstein bild)
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-7. Hess visiting the Krupp-AG factory, Essen, May 1940 (photo: akg-images)
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-8. German tanks in the Ardennes, May 1940 (photo: akg-images/ ullstein bild)
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-9. Hitler with Speer and Breker at the Trocad’ro, Paris, June 1940 (photo: akg-images/Heinrich Hoffmann)
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-10. Fedor von Bock with General Fritz Lindemann in the Crimea, May 1942 (photo: Bayerische Staatsbibliothek, Munich)
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-11. Grenadiers near Smolensk, September 1941 (photo: akg-images/ ullstein bild)
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-12. Burning of a Ukrainian farm, September 1941 (photo: bpk/Ḧhle)
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-13. German soldiers taking photographs of the execution of Russian partisans, January 1942 (photo: akg-images)
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-14. Red Army prisoners transported in railway wagons, September 1941 (photo: Bundesarchiv, Koblenz)
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-15. Car being pulled through the mud, Eastern Front, 1941 (photo: akg-images/ullstein bild)
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-16. ‘Juden Komplott Gegen Europa’ (‘Jewish Conspiracy Against Europe’), poster produced by the Reich Ministry for Propaganda and Public Enlightenment, summer 1941 (photo: © The Trustees of the Imperial War Museum, London)
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-17. Heinrich Himmler, Reinhardt Heydrich and Heinrich M̈ller, November 1939 (photo: Bayerische Staatsbibliothek, Munich/ Heinrich Hoffmann)
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-18. Auschwitz after its liberation (photo: akg-images)
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-19. Richard Baer, Dr Josef Mengele and Rudolf Ḧss, 1944 (photo: USHMM, courtesy of Anonymous Donor)
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-20. Albert Speer, 1943 (photo: bpk/Hanns Hubmann)
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-21. Tiger tanks in production, summer 1943 (photo: Bundesarchiv, Koblenz)
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-22. Street fighting in Stalingrad, 1942 (photo: akg-images)
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-23. Captured German soldier, Stalingrad, 1943 (photo: Bundesarchiv, Koblenz)
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-24. Captured German soldiers in the ruins of Stalingrad, January 1943 (photo: AP/PA Photos)
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-25. German civilian in the streets of Hamburg, December 1943 (photo: AP/PA Photos)
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-26. Hamburg’s main railway station in ruins, 1943 (photo: Museum f̈r Hamburgische Geschichte, Hamburg)
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-27. Hans Günther von Kluge and Gotthard Heinrici, 1943 (photo: Bundesarchiv, Koblenz)
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-28. Soviet infantry pursue German soldiers whose tank had been hit, August 1944 (photo: akg-images)
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-29. German leaflet threatening V-1 attacks (photo: courtesy www.psy-warrior.com)
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-30. Entrance to underground V-2 factory at Mittelbau-Dora, 1944 (photo: bpk/Hanns Hubmann)
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-31. Hitler on the Oder Front, March 1945 (photo: bpk/Walter Frentz)
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-32. The ‘People’s Storm’, Hamburg, October 1944 (photo: Hugo Schmidt-Luchs/Ullstein/akg-images)
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-33. Goebbels meets teenage soldiers at Lauban, Lower Silesia, March 1945 (photo: Bundesarchiv, Koblenz)
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-34. Hermann G̈ring, November 1945 (photo: akg-images)
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-35. Joachim von Ribbentrop c. 1945/6 (photo: akg-images)
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-36. German women clearing up the debris on Berlin’s Tauentzienstrasse, 1945 (photo: AP Photo)
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-Note: The views or opinions expressed in this book and the context in which the images are used do not necessarily reflect the views or policy of, nor imply approval or endorsement by, the United States Holocaust Memorial Museum.
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-Preface
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-This book tells the story of the Third Reich, the regime created in Germany by Hitler and his National Socialists, from the outbreak of the Second World War on 1 September 1939 to its end in Europe on 8 May 1945. It can be read on its own, as a history of Germany during the war. But it is also the final volume in a series of three, starting with The Coming of the Third Reich, which deals with the origins of Nazism, the development of its ideas and its rise to power in 1933. The second volume in the series, The Third Reich in Power, covers the peacetime years from 1933 to 1939, when Hitler and the Nazis built up Germany’s military strength and prepared it for war. The general approach of all three volumes is set out in the Preface to The Coming of the Third Reich and does not need to be repeated in detail here. Taken together, they aim to provide a comprehensive account of Germany under the Nazis.
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-Dealing with the history of the Third Reich during the war poses two special problems. The first is a relatively minor one. After 1939, Hitler and the Nazis became increasingly reluctant to refer to their regime as ‘The Third Reich’, preferring instead to call it ‘The Great German Reich’ (Grossdeutsches Reich) to draw attention to the massive expansion of its boundaries that took place in 1939-40. For the sake of unity and consistency, however, I have chosen, like other historians, to continue calling it ‘The Third Reich’; after all, the Nazis chose to abandon this term silently rather than repudiate it openly. The second problem is more serious. The central focus of this book is on Germany and the Germans; it is not a history of the Second World War, not even of the Second World War in Europe. Nevertheless, of course, it is necessary to narrate the progress of the war, and to deal with the Germans’ administration of the parts of Europe they conquered. Within the scope even of so large a book as this, it is not possible to pay equal attention to every phase and every aspect of the war. I have chosen, therefore, to focus on the major turning-points - the conquest of Poland and France and the Battle of Britain in the first year of the war, the Battle of Moscow in the winter of 1941- 2, the Battle of Stalingrad in the winter of 1942- 3, and the beginning of the sustained strategic bombing of German cities in 1943. In doing so, I have tried to convey something of the flavour of what it was like for Germans to take part in these vast conflicts, using the diaries and letters of both soldiers and civilians. The reasons for choosing these particular turning-points will, I hope, become apparent to readers in the course of the book.
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-At the heart of German history in the war years lies the mass murder of millions of Jews in what the Nazis called ‘the final solution of the Jewish question in Europe’. This book provides a full narrative of the development and implementation of this policy of genocide, while also setting it in the broader context of Nazi racial policies towards the Slavs, and towards minorities such as Gypsies, homosexuals, petty criminals and ‘asocials’. I have tried to combine the testimony of some of those it affected - both those who survived, and those who did not - with that of some of the men who implemented it, including the commandants of major death camps. The deportation and murder of Jews from Western European countries is covered in the chapter dealing with the Nazi empire, while the reactions of ordinary Germans at home, and the extent to which they knew about the genocide, are covered in a later chapter on the Home Front. The fact that the mass murder of the Jews is discussed in almost every part of the book, from the narrative of the foundation of the ghettos in Poland in the opening chapter right up to the coverage of the ‘death marches’ of 1945 in the final chapter, reflects its centrality to so many aspects of the history of the Third Reich at war. Wherever one looks, even for example in the history of music and literature, dealt with in Chapter 6, it is an inescapable part of the story. Nevertheless, it is important to reiterate that this book is a history of Nazi Germany in all its aspects; it is not in the first place a history of the extermination of the Jews, any more than it is a history of the Second World War, though both play an essential role in it.
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-The book opens where The Third Reich in Power left off, with the invasion of Poland on 1 September 1939. Chapter 1 discusses the Germans’ occupation of Poland and in particular their ill-treatment, exploitation and murder of many thousands of Poles and Polish Jews from this point to the eve of the invasion of the Soviet Union in June 1941. For the Nazis, and indeed for many Germans, Poles and ‘Eastern Jews’ were less than human, and this attitude applied, though with significant differences, to the mentally ill and handicapped in Germany itself, whose mass murder in the course of the ‘euthanasia’ action steered from Hitler’s Chancellery in Berlin forms the subject of the last part of the chapter. The second chapter is largely devoted to the progress of the war, from the conquest of Western Europe in 1940 through to the Russian campaign of 1941. That campaign forms the essential backdrop to the events narrated in Chapter 3, which deals with the launching and implementation of what the Nazis called ‘the final solution of the Jewish question in Europe’. Chapter 4 turns to the war economy, and looks at how the Third Reich ruled the countries it occupied in Europe, drafting in millions of forced labourers to man its arms factories and pushing ahead with the arrest, deportation and murder of the Jews who lived within the boundaries of the Nazi empire. That empire began to fall apart with the momentous German defeat at the Battle of Stalingrad early in 1943, which is narrated in the concluding part of the chapter. It was followed the same year by reversals in many spheres of the war, from the devastation of Germany’s towns and cities by the Allied strategic bombing offensive to the defeat of Rommel’s armies in North Africa and the collapse of the Third Reich’s main European ally, the Fascist state of Mussolini’s Italy. These events form the principal focus of Chapter 5, which goes on to examine the way they affected the armed forces, and the impact they had on the conduct of the war at home. Chapter 6 is largely devoted to the ‘Home Front’, and looks at how religious, social, cultural and scientific life interacted with the war. It concludes with an account of the emergence of resistance to Nazism, particularly within the Third Reich itself. Chapter 7 begins with an account of the ‘wonder-weapons’ which Hitler promised would reverse Germany’s military collapse, before going on to tell the story of how the Reich was finally defeated, and to examine briefly what happened afterwards. Each chapter interweaves thematic aspects with an ongoing narrative of military events, so that Chapter 1 deals with military action in 1939, Chapter 2 covers 1940 and 1941, Chapter 3 discusses further military events in 1941, Chapter 4 takes the story on through 1942, Chapter 5 narrates the war on land, in the air and at sea in 1943, Chapter 6 moves the narrative on through 1944, and the final chapter gives an account of the closing months of the war, from January to May 1945.
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-This book is written to be read from start to finish, as a single, if complex, narrative, interspersed with description and analysis; I hope that the ways in which the different parts of the story interact with one another will become apparent to readers as the narrative proceeds. The chapter headings are intended more to provoke reflection on the contents than to provide precise descriptions of what each chapter contains; in some cases they are intentionally ambiguous or ironical. Anyone who wishes to use the book simply as a work of reference is recommended to turn to the index, where the location of the book’s principal themes, characters and events is laid out in detail. The bibliography lists works cited in the notes; it is not intended to be a comprehensive guide to the vast literature on the topics dealt with in the book.
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-Much of this book deals with countries in Central and Eastern Europe where towns and cities have a variety of names and spellings in different languages. The Polish city of Lvov, for example, is spelt L’vov in Russian and L’viv in Ukrainian, while the Germans called it something different altogether, namely Lemberg; there are similar variations in the spelling of Kaunas in Lithuanian and Kovno in Polish, Theresienstadt in German and Terez’n in Czech, or Reval in German and Tallinn in Estonian. The Nazi authorities also renamed L’d’ as Litzmannstadt in an attempt to obliterate all aspects of its Polish identity altogether and used German names for a variety of other sites, such as Kulmhof for Chelmno, or Auschwitz for Oswiecim. In this situation it is impossible to be consistent, and I have chosen to use the name current at the time about which I am writing, or on occasion simply the name with which English and American readers will be most familiar, while alerting them to the existence of alternatives. I have also simplified the use of accents and diacriticals in place-names and proper names - dropping the Polish character Ł, for instance - to remove what to my mind are distractions for the English-language reader.
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-In the preparation of this book I have enjoyed the huge advantage of access to the superb collections of Cambridge University Library, as well as to those of the Wiener Library and the German Historical Institute in London. The University of Melbourne kindly appointed me to a Miegunyah Distinguished Visiting Fellowship in 2007, and I was able to use the excellent research collection on modern German history purchased for the University Library from the bequest of the late, and much-missed, John Foster. The Staatsarchiv der Freien- und Hansestadt Hamburg and the Forschungsstelle f̈r Zeitgeschichte in Hamburg kindly permitted consultation of the unpublished diaries of Luise Solmitz. The encouragement of many readers, especially in the United States, has been crucial in spurring me on to complete the book, though it has taken longer to do so than I originally intended. The advice and support of many friends and colleagues has been crucial. My agent Andrew Wylie and my editor at Penguin, Simon Winder, and their teams have been enormously helpful. Chris Clark, Christian Goeschel, Victoria Harris, Sir Ian Kershaw, Richard Overy, Kristin Semmens, Astrid Swenson, Hester Vaizey and Nikolaus Wachsmann read early drafts and made many useful suggestions. Victoria Harris, Stefan Ihrig, Alois Maderspacher, David Motadel, Tom Neuhaus and Hester Vaizey checked through the notes and saved me from many errors. Andr’s Berezn’y provided maps that are a model of clarity and accuracy; working on them with him was extremely instructive. The expertise of David Watson in copy-editing was invaluable, and it was a pleasure to work with Cecilia Mackay on the illustrations. Christine L. Corton applied her practised eye to the proofs, and provided essential support in too many ways to mention. Our sons, Matthew and Nicholas, to whom this final volume, like the previous two, is dedicated, have cheered me up on innumerable occasions during the writing of a book the subject matter of which was sometimes shocking and depressing almost beyond belief. I am profoundly grateful to them all.
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-Richard J. Evans
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-Cambridge, May 2008
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 1
 
@@ -4173,14072 +3834,3 @@ These matters continued to be widely debated, of course, and some at least also
 Not only historical knowledge about the Third Reich, but also public consciousness of what it did, has increased with distance in time from the Nazi regime; yet that regime has not lost any of its power to excite moral debate, rather, if anything, the reverse. Not long after the Second World War was over, the English historian Alan Bullock ended his great biography of Hitler by quoting the words inscribed on the tomb of the architect Sir Christopher Wren in the church he built in London, St Paul’s Cathedral: Si monumentum requiris, circumspice - ‘If you need a memorial, look around.’279 In 1952, when Bullock published his book, the destruction wrought by the war was still to be seen in almost every part of Europe. More than half a century later, this is no longer the case. Bomb-sites have been cleared, battlefields levelled out, divisions healed, peace and prosperity restored to Europe. Most of those who lived through the Third Reich and fought in its wars are no longer with us. Within a few decades there will be no one left who remembers it at first hand. And yet its legacy is still alive in myriad ways. History does not repeat itself: there will be no Fourth Reich. Neo-Nazism still finds its supporters, but nowhere has it shown any signs of even coming close to achieving real political power. The legacy of the Third Reich is much wider. It extends far beyond Germany and Europe. The Third Reich raises in the most acute form the possibilities and consequences of the human hatred and destructiveness that exist, even if only in a small way, within all of us. It demonstrates with terrible clarity the ultimate potential consequences of racism, militarism and authoritarianism. It shows what can happen if some people are treated as less human than others. It poses in the most extreme possible form the moral dilemmas we all face at one time or another in our lives, of conformity or resistance, action or inaction in the particular situations with which we are confronted. That is why the Third Reich will not go away, but continues to command the attention of thinking people throughout the world long after it has passed into history.
 
 
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-Notes
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-Chapter 1. ‘BEASTS IN HUMAN FORM’
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-1 . Basic information from Paul Latawski, ‘Polish Campaign’, in Ian C. B. Dear (ed.), The Oxford Companion to World War II (Oxford, 2005 [1995]), 705 - 8; and Ian C. B. Dear, ‘Animals’, in ibid., 28-9; detailed account in Horst Rohde, ‘Hitler’s First Blitzkrieg and Its Consequences for North-eastern Europe’, in Miliẗrgeschichtliches Forschungsamt (ed.), Germany and the Second World War (10 vols., Oxford, 1990-; hereafter GSWW), II. 67-150 (table of German troop deployments at 92). For Hitler’s orders, see Walther Hubatsch (ed.), Hitlers Weisungen f̈r die Kriegf̈hrung 1939-1945. Dokumente des Oberkommandos der Wehrmacht (Frankfurt am Main, 1962), 17 - 19.
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-2 . Latawski, ‘Polish Campaign’; Rohde, ‘Hitler’s First Blitzkrieg’, 101 - 18; brisk account in Gerhard L. Weinberg, A World at Arms: A Global History of World War II (Cambridge, 2005 [1994]), 48-64; also J’zef Garlinski, Poland in the Second World War (London, 1985), 11 - 24; Wolfgang Jacobmeyer, ‘Der Überfall auf Polen und der neue Charakter des Krieges’, in Christoph Klessmann (ed.), September 1939: Krieg, Besatzung, Widerstand in Polen: Acht Beitr̈ge (G̈ttingen, 1989), 16-37, at 19-20; for the alleged Polish cavalry charges, see Patrick Wright, Tank: The Progress of a Monstrous War Machine (London, 2000), 231 - 7.
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-3 . William L. Shirer, Berlin Diary (London, 1970 [1941]), 167 - 8.
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-4 . Contemporary details in Alcuin (pseud.), I Saw Poland Suffer, by a Polish Doctor Who Held an Official Position in Warsaw under German Occupation (London, 1941), 15; eyewitness reports in Dieter Bach and Wieslaw Lesiuk, Ich sah in das Gesicht eines Menschen: Deutsch-polnische Begegnungen vor und nach 1945 (Wuppertal, 1995), 81 - 104.
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-5 . Chaim A. Kaplan, Scroll of Agony: The Warsaw Diary of Chaim A. Kaplan (London, 1966), 20 (28 September 1939); the same scenes were also recorded by Adam Czerniakow, The Warsaw Diary of Adam Czerniakow: Prelude to Doom (New York, 1979 [1968]), 77 (28 September 1939).
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-6 . Zygmunt Klukowski, Diary from the Years of Occupation 1939-44 (Urbana, Ill., 1993 [1958]), vii - x, 16 - 17 (paragraphing dissolved).
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-7 . Ibid., 17.
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-8 . Ibid., 22.
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-9 . Richard J. Evans, The Third Reich in Power 1933 - 1939 (London, 2005), 689 - 95.
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-10 . Rohde, ‘Hitler’s First Blitzkrieg’, 118-26; Weinberg, A World at Arms, 60-63, details these border adjustments and the negotiations that preceded them.
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-11 . Rohde, ‘Hitler’s First Blitzkrieg’, 122 - 6; Garlinski, Poland, 25.
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-12 . Ian Kershaw, Hitler, II: 1936 - 1945: Nemesis (London, 2000), 235 - 9.
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-13 . Shirer, Berlin Diary, 173.
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-14 . Klaus Behnken (ed.), Deutschland-Berichte der Sozialdemokratischen Partei Deutschlands (Sopade) 1934 - 1940 (7 vols., Frankfurt am Main, 1980), VI: 1939, 980 - 82.
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-15 . Heinz Boberach (ed.), Meldungen aus dem Reich: Die geheimen Lageberichte des Sicherheitsdienstes der SS 1938-1945 (17 vols., Herrsching, 1984), II. 339 (Bericht zur innenpolitischen Lage (Nr. 2), 11 October 1939); Shirer, Berlin Diary, 182 - 4.
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-16 . Martin Broszat, Nationalsozialistische Polenpolitik (Frankfurt am Main, 1965), 46 - 8.
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-17 . Melita Maschmann, Account Rendered: A Dossier on my Former Self (London, 1964), 58 - 60.
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-18 . Helmut Krausnick, Hitlers Einsatzgruppen: Die Truppen des Weltanschauungskrieges 1938 - 1942 (Frankfurt am Main, 1985 [1981]), 267 n. 140; Broszat, Nationalsozialistische Polenpolitik, 51.
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-19 . Kershaw, Hitler, II. 241-3; Wlodzimierz Jastrzebski, Der Bromberger Blutsonntag: Legende und Wirklichkeit (Poznan’, 1990); G̈nter Schubert, Das Unternehmen ‘Bromberger Blutsonntag’: Tod einer Legende (Cologne, 1989). The official German Foreign Office publication of alleged Polish atrocities gave a total of 5,437 murders of Germans by Poles: Ausẅrtiges Amt (ed.), Die polnischen Greueltaten an den Volksdeutschen in Polen (Berlin, 1940), 5.
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-20 . See the material compiled by two Polish war crimes prosecutors, Tadeusz Cyprian and Jerzy Sawicki, Nazi Rule in Poland 1939 - 1945 (Warsaw, 1961), 11 - 70.
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-21 . Evans, The Third Reich in Power, 614 - 15, 652 - 3, 678 - 88.
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-22 . Günter Berndt and Reinhard Strecker (eds.), Polen - ein Schauermärchen oder Gehirnwäsche f̈r Generationen: Geschichtsschreibung und Schulb̈cher: Beitr̈ge zum Polenbild der Deutschen (Reinbek, 1971); Jacobmeyer, ‘Der ̈berfall’, 18. See also Antony Polonsky, ‘The German Occupation of Poland during the First and Second World Wars’, in Roy A. Prete and A. Hamish Ion (eds.), Armies of Occupation (Waterloo, Ontario, 1984), 97-142.
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-23 . Broszat, Nationalsozialistische Polenpolitik, 9-13; Evans, The Third Reich in Power, 619, 689 - 92; Christoph Klessmann, Die Selbstbehauptung einer Nation: Nationalsozialistische Kulturpolitik und polnische Widerstandsbewegung im Generalgouvernement 1939 - 1945 (D̈sseldorf, 1971), 27 - 32.
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-24 . Quoted in Jacobmeyer, ‘Der ̈berfall’, 16 - 17; see also Winfried Baumgart, ‘Zur Ansprache Hitlers vor den F̈hrern der Wehrmacht am 22. August 1939’, Vierteljahrshefte f̈r Zeitgeschichte (hereafter VfZ) 16 (1968), 120 - 49, and idem, and Hermann Boehm, ‘Zur Ansprache Hitlers vor den F̈hrern der Wehrmacht am 22. August 1939’, VfZ 19 (1971), 294 - 304.
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-25 . Elke Fr̈hlich (ed.), Die Tagebücher von Joseph Goebbels I: Aufzeichnungen 1923-1941 (9 vols.); II: Diktate 1941 - 1945 (15 vols.) (Munich, 1993 - 2000), I/VII. 147 (10 October 1939).
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-26 . Hans-Günter Seraphim (ed.), Das Politische Tagebuch Alfred Rosenbergs aus den Jahren 1934/35 und 1939/40 (Munich, 1964), 98-100; see more generally Tomasz Szarota, ‘Poland and Poles in German Eyes during World War II’, Polish Western Affairs, 19 (1978), 229-54, and Alexander B. Rossino, Hitler Strikes Poland: Blitzkrieg, Ideology, and Atrocity (Lawrence, Kans., 2003), 1 - 28.
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-27 . Helmut Krausnick, ‘Hitler und die Morde in Polen: Ein Beitrag zum Konflikt zwischen Heer und SS um die Verwaltung der besetzten Gebiete (Dokumentation)’, VfZ 11 (1963), 196 - 209.
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-28 . Broszat, Nationalsozialistische Polenpolitik, 13-37; for the administration of these areas, see ibid., 49-60; for the status of the General Government and the nature of its administration, ibid., 68 - 74; more detail in Czeslaw Madajczyk, Die Okkupationspolitik Nazideutschlands in Polen 1939 - 1945 (Cologne, 1988 [1970]), 18 - 29, 30 - 44; for Frank, see Richard J. Evans, The Coming of the Third Reich (London, 2003), 179; Christoph Klessmann, ‘Der Generalgouverneur Hans Frank’, VfZ 19 (1971), 245-60; and Martyn Housden, Hans Frank: Lebensraum and the Holocaust (London, 2003), 1 - 76 (marred by gratuitous moralizing); for Forster, see Dieter Schenk, Hitlers Mann in Danzig: Gauleiter Forster und die NS-Verbrechen in Danzig-Westpreussen (Bonn, 2000). For a good recent account, see Mark Mazower, Hitler’s Empire: Nazi Rule in Occupied Europe (London, 2008), 63 - 77.
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-29 . Jan T. Gross, Polish Society under German Occupation: The Generalgouvernement 1939-1944 (Princeton, N.J., 1979), 45-53; Frank relayed these views on 21 October 1939: see Werner Pr̈g and Wolfgang Jacobmeyer (eds.), Das Diensttagebuch des deutschen Generalgouverneurs in Polen 1939 -1945 (Stuttgart, 1975), 52- 3; see also the report in Franz Halder, Kriegstagebuch (ed. Hans-Adolf Jacobsen, 3 vols., Stuttgart, 1962 - 4), I. 107.
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-30 . Christian Jansen and Arno Weckbecker, ‘Eine Miliz im “Weltanschauungskrieg”: Der “Volksdeutsche Selbstschutz” in Polen 1939/40’, in Wolfgang Michalka (ed.), Der Zweite Weltkrieg: Analysen - Grundzüge - Forschungsbilanz (Munich, 1989), 482 - 500, at 490, cited in Kershaw, Hitler, II. 242 - 3.
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-31 . Jansen and Weckbecker, ‘Eine Miliz’; more detail in the same authors’ Der ‘Volksdeutsche Selbstschutz’ in Polen 1939/40 (Munich, 1992); Broszat, Nationalsozialistische Polenpolitik, 60-62; and Hans Umbreit, Deutsche Miliẗrverwaltungen 1938/39: Die miliẗrische Besetzung der Tschechoslowakei und Polens (Stuttgart, 1977), 176 - 8.
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-32 . Michael Wildt, Generation des Unbedingten: Das F̈hrungskorps des Reichssicherheitshauptamtes (Hamburg, 2002), 209-415; Saul Friedl̈nder, The Years of Extermination: The Third Reich and the Jews 1939 - 194 (New York, 2007), 679 - 81 n. 23.
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-33 . Helmut Groscurth, Tageb̈cher eines Abwehroffiziers 1938-1940 (ed. Helmut Krausnick and Harold C. Deutsch, Stuttgart, 1970), 201 (8 September 1939).
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-34 . Kershaw, Hitler, II. 243; Groscurth, Tageb̈cher, 202 (9 September 1939).
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-35 . Halder, Kriegstagebuch, I. 79 (19 September 1939), 81 (20 September 1939), 107 (18 October 1939); Rossino, Hitler Strikes Poland, 14-16; see also Heydrich’s later reference to Hitler’s order to exterminate the Polish intelligentsia in Krausnick, ‘Hitler und die Morde in Polen’.
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-36 . Broszat, Nationalsozialistische Polenpolitik, 221 - 2.
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-37 . Krausnick, Hitlers Einsatzgruppen, 13-25; Wildt, Generation des Unbedingten, 420-28; Evans, The Third Reich in Power, 656 - 61, 678 - 9, 685 for Austria and Czechoslovakia.
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-38 . Evans, The Coming of the Third Reich, 274; idem, The Third Reich in Power, 44, 52, 116; Rossino, Hitler Strikes Poland, 10 - 16.
-
-39 . Ibid., 29-57; see also Jens Banach, Heydrichs Elite: Das F̈hrerkorps der Sicherheitspolizei und des SD, 1936 - 1945 (Paderborn, 1998).
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-40 . Rossino, Hitler Strikes Poland, 29 - 57; for von Woyrsch, see Evans, The Third Reich in Power, 36.
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-41 . Quoted in Krausnick, Hitlers Einsatzgruppen, 29; also Kurt P̈tzold (ed.), Verfolgung, Vertreibung, Vernichtung: Dokumente des faschistischen Antisemitismus 1933 bis 1942 (Frankfurt am Main, 1984), 234.
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-42 . Krausnick, Hitlers Einsatzgruppen, 31-4; Umbreit, Deutsche Miliẗrverwaltungen, 162 - 73.
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-43 . Krausnick, Hitlers Einsatzgruppen, 35-51; Rossino, Hitler Strikes Poland, 59-74; Jastrzebski, Der Bromberger Blutsonntag.
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-44 . Klukowski, Diary, 68.
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-45 . Ibid., 90 - 99 (21 June 1940).
-
-46 . Alcuin (pseud.), I Saw Poland Suffer, 73.
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-47 . Broszat, Nationalsozialistische Polenpolitik, 44.
-
-48 . Jon Evans, The Nazi New Order in Poland (London, 1941), 51; the same incident also in Francis Aldor, Germany’s ‘Death Space’: The Polish Tragedy (London, 1940), 187 - 92, based on accounts from Polish exiles in Paris.
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-49 . Rossino, Hitler Strikes Poland, 87.
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-50 . The obsession with franc-tireurs is a central theme in Jochen B̈hler, Auftakt zum Vernichtungskrieg: Die Wehrmacht in Polen 1939 (Frankfurt am Main, 2006), 54-168. For the terror more generally, see Madajczyk, Die Okkupationspolitik, 186 - 215.
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-51 . Quoted in Krausnick, Hitlers Einsatzgruppen, 271 n. 177.
-
-52 . Keith Sword, ‘Poland’, in Dear (ed.), The Oxford Companion to World War II, 696; also Szymon Datner, ‘Crimes Committed by the Wehrmacht during the September Campaign and the Period of Military Government (1 Sept. 1939-25 Oct. 1939)’, Polish Western Affairs, 3 (1962), 294 - 328; and Umbreit, Deutsche Miliẗrverwaltungen, 197 - 9.
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-53 . Karl Malthes, in IR 309 marchiert an den Feind: Erlebnisberichte aus dem Polenfeldzuge 1939 (ed. Oberst Dr Hoffmann, Berlin, 1940), 158.
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-54 . Heinrich Breloer (ed.), Geheime Welten: Deutsche Tageb̈cher aus den Jahren 1939 bis 1947 (Cologne, 1999 [1984]), 27.
-
-55 . Ibid., 30.
-
-56 . Klukowski, Diary, 75, 77, 80-82; Evans, The Nazi New Order, 66-82; Broszat, Nationalsozialistische Polenpolitik, 102-10; Adam Tooze, The Wages of Destruction: The Making and Breaking of the Nazi Economy (London, 2006), 361 - 2.
-
-57 . Klukowski, Diary, 86-7 (19 May 1940); Wolfgang Jacobmeyer, Heimat und Exil: Die Anf̈nge der polnischen Untergrundbewegung im Zweiten Weltkrieg (September 1939 bis Mitte 1941) (Hamburg, 1973).
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-58 . Housden, Hans Frank, 120 - 21; Gross, Polish Society, 87
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-59 . Ulrich Herbert, Hitler’s Foreign Workers: Enforced Foreign Labor in Germany under the Third Reich (Cambridge, 1997 [1985]), 79 - 94; Broszat, Nationalsozialistische Polenpolitik , 102-17; Gross, Polish Society, 78-81; Madajczyk, Die Okkupationspolitik, 216 - 32.
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-60 . Klukowski, Diary, 31.
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-61 . B̈hler, Auftakt, 181 - 5.
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-62 . Breloer (ed.), Geheime Welten, 27.
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-63 . Housden, Hans Frank, 84 - 6; Madajczyk, Die Okkupationspolitik, 334 - 8.
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-64 . Robert L. Koehl, RKFDV: German Resettlement and Population Policy 1939 - 1945: A History of the Reich Commission for the Strengthening of Germandom (Cambridge, Mass., 1957), 58; (Anon.), The German New Order in Poland (London, 1942), 262; Aldor, Germany’s ‘Death Space’, 147; Umbreit, Deutsche Miliẗrverwaltungen, 222-72; Werner R̈hr, ‘Zur Wirtschaftspolitik der deutschen Okkupanten in Polen 1939-1945’, in Dietrich Eichholtz (ed.), Krieg und Wirtschaft: Studien zur deutschen Wirtschaftsgeschichte 1939-1945 (Berlin, 1999); Ryszard Kaczmarek, ‘Die deutsche wirtschaftliche Penetration in Polen (Oberschlesien)’, in Richard Overy et al. (eds.), Die ‘Neuordnung’ Europas: NS-Wirtschaftspolitik in den besetzten Gebieten (Berlin, 1997), 257 - 72.
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-65 . Evans, The Nazi New Order, 83-96; Klukowski, Diary, 85; Alder, Germany’s ‘Death Space’, 147.
-
-66 . Martin P̈ppel, Heaven and Hell: The War Diary of a German Paratrooper (Staplehurst, 1988), 21.
-
-67 . Alcuin (pseud.), I Saw Poland Suffer, 52 - 6.
-
-68 . Ibid., 69.
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-69 . Ibid., 72 - 3; general survey in Madajczyk, Die Okkupationspolitik, 548 - 63. The question of whether German conduct towards the Poles can plausibly be called genocidal is dealt with sensibly in Gerhard Eitel, ‘Genozid auch an Polen? Kein Thema f̈r einen “Historikerstreit” ’, Zeitgeschichte, 18 (1990), 22 - 39.
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-70 . Halder, Kriegstagebuch, I. 68 (10 September 1939).
-
-71 . Jansen and Weckbecker, Der ‘Volksdeutsche Selbstschutz’, 175 - 80.
-
-72 . Quoted in Krausnick, Hitlers Einsatzgruppen, 63.
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-73 . Ibid., 63 - 4.
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-74 . Ibid., 55 - 6.
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-75 . Ibid., 56-67; Rossino, Hitler Strikes Poland, 88-120, 174-85; Hans Meier-Welcker, Aufzeichnungen eines Generalstabsoffiziers 1939 - 1942 (Freiburg im Breisgau, 1982), 39 (Cologne, 10 December 1939).
-
-76 . In Hans-Adolf Jacobsen (ed.), Misstrauische Nachbarn: Deutsche Ostpolitik 1919/1970 (D̈sseldorf, 1970), 137 - 41.
-
-77 . Ibid., 138.
-
-78 . Krausnick, Hitlers Einsatzgruppen, 78-88; Kershaw, Hitler, II. 247-8; Broszat, Nationalsozialistische Polenpolitik, 40 - 41.
-
-79 . For the collaboration of the army with the SS and ethnic German paramilitaries, see B̈hler, Auftakt, 201 - 40.
-
-80 . Leon Poliakov and Josef Wulf (eds.), Das Dritte Reich und seine Diener (Frankfurt am Main, 1959), 385-6; Christopher Browning, The Origins of the Final Solution: The Evolution of Nazi Jewish Policy, September 1939-March 1942 (Lincoln, Nebr., 2004), 16 - 24, 72 - 80.
-
-81 . Rossino, Hitler Strikes Poland, 174-85; Szymon Datner, Crimes Committed by the Wehrmacht during the September Campaign and the Period of Military Government (Posen, 1962); Janusz Gumkowski and Kazimierz Leszczynski, Poland under Nazi Occupation (Warsaw, 1961), 53 - 5.
-
-82 . Rossino, Hitler Strikes Poland, 263 n. 129; B̈hler, Auftakt, 169 - 80. See also Mazower, Hitler’s Empire, 78 - 96.
-
-83 . Koehl, RKFDV, 14-52; for Darré’s schemes, see Evans, The Third Reich in Power, 421-5. These policies are placed in the context of postwar Polish policy by Michael G. Esch, ‘Gesunde Verḧltnisse’: Die deutsche und polnische Bev̈lkerungspolitik in Ostmitteleuropa 1939-1950 (Marburg, 1998); the fundamental work here remains Koehl, RKFDV, which first made clear the nature and dimensions of Nazi plans for the ethnic reordering of East-Central Europe. More recently, see Czeslaw Madajczyk et al. (eds.), Vom Generalplan Ost zum Generalsiedlungsplan: Dokumente (Munich, 1994); Go ̈tz Aly, ‘Final Solution’: Nazi Population Policy and the Murder of the European Jews I (London, 1999 [1995]); and Isabel Heinemann, ‘Rasse, Siedlung, deutsches Blut’: Das Rasse- und Siedlungshauptamt der SS und die rassenpolitische Neuordnung Europas (G̈ttingen, 2003).
-
-84 . Hitler speech in Max Domarus (ed.), Hitler: Speeches and Proclamations 1932-1945: The Chronicle of a Dictatorship (4 vols., London, 1990- [1962 - 63]), III: The Years 1939 to 1940, 1,836.
-
-85 . Koehl, RKFDV, 49 - 58, 247 - 9.
-
-86 . Ibid., 49 - 65; Broszat, Nationalsozialistische Polenpolitik, 62 - 5; G̈tz Aly and Susanne Heim, Architects of Annihilation: Auschwitz and the Logic of Destruction (Princeton, N.J., 2002), 73 - 114 (economically reductionist); see also Michael G. Esch, ‘ “Ohne R̈cksicht auf historisch Gewordenes”: Raumplanung und Raumordnung im besetzten Polen 1939-1944’, in G̈tz Aly et al. (eds.), Modelle f̈r ein deutsches Europa: ̈konomie und Herrschaft im Grosswirtschaftsraum (Berlin, 1992), 77 - 123; Philip T. Rutherford, Prelude to the Final Solution: The Nazi Program for Deporting Ethnic Poles, 1939-1941 (Lawrence, Kans., 2007).
-
-87 . Broszat, Nationalsozialistische Polenpolitik, 43.
-
-88 . Klukowski, Diary, 60 (11 December 1939); Broszat, Nationalsozialistische Polenpolitik, 42 - 3.
-
-89 . Klukowski, Diary, 88; also 120 - 21 (14 October 1940).
-
-90 . Jacobmeyer, ‘Der Überfall’, 23-9; Klukowski, Diary, 104 (26 July 1940); Koehl, RKFDV, 126-60; overview and chronology in Aly, ‘Final Solution’, 14-52, and in Madajczyk, Die Okkupationspolitik, 233 - 58.
-
-91 . Wilm Hosenfeld, ‘Ich versuche jeden zu retten’: Das Leben eines deutschen Offiziers in Briefen und Tageb̈chern (ed. Thomas Vogel, Munich, 2004), 3, 302 (notes, 14 December 1939).
-
-92 . Ibid., 303 (note of 15 December 1939).
-
-93 . Koehl, RKFDV, 49-70; Broszat, Nationalsozialistische Polenpolitik, 118-37. For documentation of German racial policy, see Georg Hansen (ed.), Schulpolitik als Volkstumspolitik: Quellen zur Schulpolitik der Besatzer in Polen 1939 - 1945 (M̈nster, 1994), 23 - 80.
-
-94 . Wolfgang Michalka (ed.), Das Dritte Reich (2 vols., Munich, 1985), II: Weltmachtanspruch und nationaler Zusammenbruch 1939 - 1945, 163 - 6.
-
-95 . Clarissa Henry and Marc Hillel, Children of the SS (London, 1976 [1975]), 182-90; Koehl, RKFDV, 143 - 5, 219 - 21; Cyprian and Sawicki, Nazi Rule, 83 - 91. For the ‘Well of Life’ scheme, see Evans, The Third Reich in Power, 521.
-
-96 . Koehl, RKFDV, 140 - 42.
-
-97 . Quoted in Broszat, Nationalsozialistische Polenpolitik, 129 - 30 (footnotes).
-
-98 . Klukowski, Diary, 240 (29 January 1943).
-
-99 . Pr̈g and Jacobmeyer (eds.), Das Diensttagebuch, 53; see more generally Madajczyk, Die Okkupationspolitik, 42 - 146.
-
-100 . Koehl, RKFDV, 70-88, 125-40; Pr̈g and Jacobmeyer (eds.), Das Diensttagebuch, 209 - 10, 251, 296 - 7, 303 - 4.
-
-101 . Broszat, Nationalsozialistische Polenpolitik, 137-57; (Anon.), The German New Order, 410-11; Aly and Heim, Architects, 130-59; Cyprian and Sawicki, Nazi Rule, 92-105; Boguslaw Drewniak, ‘Die deutsche Verwaltung und die rechtliche Stellung der Polen in den besetzten polnischen Gebieten 1939-1945’, Deutsch-Polnisches Jahrbuch 1979 - 80, 151 - 70.
-
-102 . Georg Hansen, ‘ “Damit wurde der Warthegau zum Exerzierplatz des praktischen Nationalsozialismus”: Eine Fallstudie zur Politik der Einverleibung’, in Klessmann (ed.), September 1939, 55-72; Klessmann, Die Selbstbehauptung, 19-26; Broszat, Nationalsozialistische Polenpolitik, 157-76; Georg Hansen, Ethnische Schulpolitik im besetzten Polen: Der Mustergau Wartheland (M̈nster, 1995). Documentation on language policy in Georg Hansen (ed.), Schulpolitik, 81-106. For J̈ger, see Evans, The Third Reich in Power, 224. See also Pr̈g and Jacobmeyer (eds.), Das Diensttagebuch, 314, for Frank’s growing hostility to the Catholic Church in the General Government (19 December 1940). 103. Jochen August (ed.), ‘Sonderaktion Krakau’: Die Verhaftung der Krakauer Wissenschaftler am 6. November 1939 (Hamburg, 1997).
-
-104 . Klessmann, Die Selbstbehauptung, 54-61, 78-107; idem and Wazlaw Dlugoborski, ‘Nationalsozialistische Bildungspolitik und polnische Hochschulen 1939 - 1945’, Geschichte und Gesellschaft, 23 (1997), 535 - 59.
-
-105 . Pr̈g and Jacobmeyer (eds.), Das Diensttagebuch, 53. 106. Hans-Christian Harten, De-Kulturation und Germanisierung: Die nationalsozialistische Rassen- und Erziehungspolitik in Polen 1939-1945 (Frankfurt am Main, 1996), 170-87 (for cultural policy) and 188-264 (for education); Evans, The Nazi New Order, 113 - 37; Gross, Polish Society, 75 - 8.
-
-107 . Sword, ‘Poland’, 696 - 7; Gertrude M. Godden, Murder of a Nation: German Destruction of Polish Culture (London, 1943), 7 - 56.
-
-108 . Klukowski, Diary, 54, 72; see more generally Christoph Klessmann, ‘Die kulturelle Selbstbehauptung der polnischen Nation’, in idem (ed.), September 1939, 117-38; idem, Die Selbstbehauptung, 108-82; idem, ‘Die Zersẗrung des Schulwesens als Bestandteil deutscher Okkupationspolitik im Osten am Beispiel Polens’, in Manfred Heinemann (ed.), Erziehung und Schulung im Dritten Reich, I: Kindergarten, Schule, Jugend, Berufserziehung (Stuttgart, 1980), 176-92; and the extensive documentation in Hansen (ed.), Schulpolitik, 107 - 411.
-
-109 . Klukowski, Diary, 146 (18 April 1941).
-
-110 . Ibid., 126 (25 November 1940); Madajczyk, Die Okkupationspolitik, 333-64. For the long-term effects, see Waclaw Dlugoborski, ‘Die deutsche Besatzungspolitik und die Ver̈nderungen der sozialen Struktur Polens 1939 - 1945’, in idem (ed.), Zweiter Weltkrieg und sozialer Wandel: Achsenm̈chte und besetzte L̈nder (G̈ttingen, 1981), 303 - 63.
-
-111 . Koehl, RKFDV, 49, 76, 89 - 100, 254; Aly, ‘Final Solution’, 59 - 81.
-
-112 . Matthias Hamann, ‘Erẅnscht und unerẅnscht: Die rassenpsychologische Selektion der Ausl̈nder’, in G̈tz Aly et al. (eds.), Herrenmensch und Arbeitsv̈lker: Ausl̈ndische Arbeiter und Deutsche 1939 - 1945 (Berlin, 1986), 143 - 80; Koehl, RKFDV, 100 - 110.
-
-113 . Ibid., 209 - 37.
-
-114 . Ibid., 129, 160 - 61.
-
-115 . Klukowski, Diary, 253 - 4 (17 May 1943).
-
-116 . Ibid., 264-9 (2-11 July 1943), 274-5 (1 August 1943); wider context in Michael Hartenstein, Neue Dorflandschaften: Nationalsozialistische Siedlungsplanung in den ‘eingegliederten Ostgebieten’: 1939 und 1944 (Berlin, 1998).
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-117 . Aly and Heim, Architects, 275-9 (again overemphasizing economic motivations); Henry and Hillel, Children, 180 - 81; Housden, Hans Frank, 187 - 9, 203; Madajczyk, Die Okkupationspolitik, 422 - 30.
-
-118 . Klukowski, Diary, 271 (15 July 1943), 289 (28 November 1943).
-
-119 . Ibid., 277 - 8 (18 - 27 August 1943).
-
-120 . G̈tz Aly, ‘The Posen Diaries of the Anatomist Hermann Voss’, in G̈tz Aly et al., Cleansing the Fatherland: Nazi Medicine and Racial Hygiene (Baltimore, Md., 1994), 99 - 155, at 127 (24 May 1941), 128 (2 June 1941), 130 (15 June 1941).
-
-121 . Jost Hermand, Als Pimpf in Polen: Erweiterte Kinderlandverschickung 1940-1945 (Frankfurt am Main, 1993), 78 - 118.
-
-122 . Maschmann, Account Rendered, 110 - 19.
-
-123 . Ibid., 127 - 9.
-
-124 . Elizabeth Harvey, Women and the Nazi East: Agents and Witnesses of Germanization (London, 2003), esp. 78-118 (recruitment) and 119-90; more generally, for the varied attitudes of Germans towards the Poles, see Madajczyk, Die Okkupationspolitik, 166 - 85.
-
-125 . Alcuin (pseud.), I Saw Poland Suffer, 62 - 8.
-
-126 . Broszat, Nationalsozialistische Polenpolitik, 80-84; Joachim C. Fest, The Face of the Third Reich (London, 1979 [1963]), 322-31; Gross, Polish Society, 45-62, 145-59; Housden, Hans Frank, 154 - 76.
-
-127 . Quoted in Gross, Polish Society, 110; concern about the black market noted in Pr̈g and Jacobmeyer (eds.), Das Diensttagebuch, 88 (16 January 1940).
-
-128 . Madajczyk, Die Okkupationspolitik, 596 - 602.
-
-129 . Klukowski, Diary, 70.
-
-130 . Ibid., 74.
-
-131 . Ibid., 119 (1 October 1940); see also Tomasz Szarota, Warschau unter dem Hakenkreuz: Leben und Alltag im besetzten Warschau 1. 10. 1939 bis 31. 7. 1944 (Paderborn, 1985 [1973]), 80 - 81, 113 - 14.
-
-132 . Jacobmeyer, ‘Der ̈berfall’, 29 - 31.
-
-133 . Sword, ‘Poland’, 697; Czeslaw Luczak, ‘Landwirtschaft und Ern̈hrung in Polen ẅhrend der deutschen Besatzungszeit 1939-1945’, in Bernd M̈rtin and Alan S. Milward (eds.), Agriculture and Food Supply in the Second World War (Ostfildern, 1985), 117 - 27.
-
-134 . Natalija Decker, ‘Die Auswirkungen der faschistischen Okkupation auf das Gesundheitswesen Polens und den Gesundheitszustand des polnischen Volkes’, in Achim Thom and Genadij Caregorodcev (eds.), Medizin unterm Hakenkreuz (Berlin, 1989), 401-16; also Madajczyk, Die Okkupationspolitik, 261-307 for everyday life under the Germans.
-
-135 . Klukowski, Diary, 77 (19 February 1940), 105 - 6 (1 August 1940), 126 (23 November 1940), 132 (4 January 1941). For informers, see Wlodzimierz Borodziej, Terror und Politik: Die deutsche Polizei und die polnische Widerstandsbewegung im Generalgouvernement 1939 - 1944 (Mainz, 1999), 136 - 61.
-
-136 . Klukowski, Diary, 85 (25 April 1940).
-
-137 . For comparisons, see Waclaw Dlugoborski, ‘Deutsche und sowjetische Herrschaftssysteme in Ostmitteleuropa im Vergleich’, in Gerhard Otto and Johannes Houwink ten Cate (eds.), Das organisierte Chaos: ‘̈mterdarwinismus’ und ‘Gesinnungsethik’: Determinanten nationalsozialistischer Besatzungsherrschaft (Berlin, 1999), 93-121; idem and Czeslaw Madajczyk, ‘Ausbeutungssysteme in den besetzten Gebieten Polens und der UdSSR’, in Friedrich Forstmeier and Hans-Erich Volkmann (eds.), Kriegswirtschaft und R̈stung 1939 - 1945 (D̈sseldorf, 1977), 375 - 416.
-
-138 . Janusz K. Zawodny, Death in the Forest: The Story of the Katyn Forest Massacre (London, 1971); Wladyslaw T. Bartoszewski, ‘Foreword’, in Salomon W. Slowes, The Road to Katyn: A Soldier’s Story (Oxford, 1992), vii-xxxii; and, most recently, Gerd Kaiser, Katyn: Das Staatsverbrechen - das Staatsgeheimnis (Berlin, 2002), and Anna M. Cienciala et al., Katyn: A Crime without Punishment (London, 2006).
-
-139 . Sword, ‘Poland’, 698 - 9; Garlinski, Poland, 32 - 7; Norman Davies, God’s Playground: A History of Poland (2 vols., Oxford, 1981), II. 447-53; Jan T. Gross, Revolution from Abroad: The Soviet Conquest of Poland’s Western Ukraine and Western Belorussia (Princeton, N.J., 1988), esp. 35-45 (intercommunal violence), 71-113 (plebiscites), 144 - 86 (prisons) and 187 - 224 (deportations).
-
-140 . Friedl̈nder, The Years of Extermination, 43-8; see also more generally Norman Davies and Antony Polonsky (eds.), Jews in Eastern Poland and the USSR, 1939-1946 (New York, 1991), and Jan T. Gross, ‘A Tangled Web: Confronting Stereotypes Concerning Relations between Poles, Germans, Jews, and Communists’, in Istv’n D’ak et al. (eds.), The Politics of Retribution in Europe: World War II and its Aftermath (Princeton, N.J., 2000), 74 - 129, probably, however, underestimating Jewish collaboration with the Soviet administration (97-8): see the detailed investigation by Alexander B. Rossino, ‘Polish “Neighbors” and German Invaders: Anti-Jewish Violence in the Bialystok District during the Opening Weeks of Operation Barbarossa’, Polin: Studies in Polish Jewry, 16 (2003), 431-52; and Bogdan Musial, ‘Konterrevolution̈re Elemente sind zu erschiessen’: Die Brutalisierung des deutsch-sowjetischen Krieges im Sommer 1941 (Berlin, 2000), 57 - 73.
-
-141 . Mazower, Hitler’s Empire, 96 - 101.
-
-142 . For Nazi antisemitism, see Evans, The Coming of the Third Reich, 172-4; idem, The Third Reich in Power, 536 - 610.
-
-143 . Wladyslaw Bartoszewski, ‘Polen und Juden in der deutschen Besatzungszeit’, in Klessmann (ed.), September 1939, 139 - 55, at 139 - 41; Evans, The Third Reich in Power, 605-7; Peter Longerich, Politik der Vernichtung: Eine Gesamtdarstellung der nationalsozialistischen Judenverfolgung (Munich, 1998), 252; Friedl̈nder, The Years of Extermination , 24 - 30.
-
-144 . Evans, The Third Reich in Power, 578-9; Sybil H. Milton, ‘The Expulsion of Polish Jews from Germany, October 1938 to July 1939: A Documentation’, Leo Baeck Institute Yearbook, 29 (1984), 169 - 74.
-
-145 . Longerich, Politik, 249 - 50; also Werner R̈hr, ‘Zum Zusammenhang von nazistischer Okkupationspolitik in Polen und dem V̈lkermord an den polnischen Juden’, in idem et al. (eds.), Faschismus und Rassismus: Kontroversen um Ideologie und Opfer (Berlin, 1992), 300 - 316.
-
-146 . Rossino, Hitler Strikes Poland, 88-115; Halder, Kriegstagebuch, I. 67 (10 September 1939).
-
-147 . Walter Manoschek (ed.), ‘Es gibt nur Eines f̈r das Judentum: Vernichtung’: Das Judenbild in deutschen Soldatenbriefen 1939 - 1941 (Hamburg, 1997 [1995]).
-
-148 . Quoted in Browning, The Origins, 114.
-
-149 . Otto Dietrich, Auf den Strassen des Sieges Erlebnisse mit dem F̈hrer in Polen: Ein Gemeinschaftsbuch (Munich, 1939), quoted in Richard Breitman, The Architect of Genocide: Himmler and the Final Solution (London, 1991), 73.
-
-150 . Fröhlich (ed.), Die Tageb̈cher, I/VII. 177 - 9 (2 November 1939).
-
-151 . David Welch, Propaganda and the German Cinema 1933-1945 (Oxford, 1983), 292 - 3.
-
-152 . B̈hler, Auftakt, 197-200, for a brief general account; ibid., 188-97, for the antisemitic prejudices and actions of ordinary soldiers.
-
-153 . Kaplan, Scroll, 25 (4 October 1939), 28 (6 October 1939), 69 (16 December 1939); Umbreit, Deutsche Miliẗrverwaltungen, 205 - 11; see the brief and somewhat inconclusive account of rapes in B̈hler, Auftakt, 186 - 7, and the examples of the rape of Jewish women by German soldiers in ibid., 197 - 200.
-
-154 . Klukowski, Diary, 30, 45 - 8.
-
-155 . Ibid., 78; see also Gross, Polish Society, 92-109; further examples in Kaplan, Scroll, 30 (12 October 1939); for the Church, Dawid Sierakowiak, The Diary of Dawid Sierakowiak (ed. Alan Adelson, London, 1996), 54; Anna Landau-Czajka, ‘The Jewish Question in Poland: Views Expressed in the Catholic Press between the Two World Wars’, Polin: Studies in Polish Jewry, 11 (1998), 263- 78; Brian Porter, ‘Making a Space for Antisemitism: The Catholic Hierarchy and the Jews in the Early Twentieth Century’, Polin: Studies in Polish Jewry, 16 (2003), 415 - 29; and Klukowski, Diary, 40.
-
-156 . Ibid., 45.
-
-157 . Ibid., 38 - 42.
-
-158 . Ibid., 52 - 3.
-
-159 . Ibid., 62 - 3.
-
-160 . Ibid., 83.
-
-161 . Pr̈g and Jacobmeyer (eds.), Diensttagebuch, 176-7; Omer Bartov, Hitler’s Army: Soldiers, Nazis, and War in the Third Reich (New York, 1991), 64; Alexander Rossino, ‘Destructive Impulses: German Soldiers and the Conquest of Poland’, Holocaust and Genocide Studies, 11 (1997), 351 - 65.
-
-162 . Gefr. H. K., 12 August 1940, quoted in Manoschek (ed.), ‘Es gibt nur eines’, 15.
-
-163 . O. Gefr. J. E., 30 December 1939, cited in ibid., 12.
-
-164 . Emanuel Ringelblum, Notes from the Warsaw Ghetto: The Journal of Emanuel Ringelblum (New York, 1958 [1952]), 24, 27, 34.
-
-165 . Ibid., 47, also 33, 254.
-
-166 . Ibid., 68.
-
-167 . Ibid., 79.
-
-168 . Ibid., 84.
-
-169 . Mark Spoerer, Zwangsarbeit unter dem Hakenkreuz: Ausl̈ndische Zivilarbeiter, Kriegsgefangere und Ḧftlinge im Deutschen Reich und im besetzten Europa 1939 - 1945 (Stuttgart, 2001), 45; B̈hler, Auftakt, 177-8; Shmuel Krakowski, ‘The Fate of Polish Prisoners of War in the September 1939 Camps’, Yad Vashem Studies, 12 (1977), 296 - 333.
-
-170 . Kaplan, Scroll, 29 (10 October 1939); further examples in Emanuel Ringelblum, Polish-Jewish Relations during the Second World War (Jerusalem, 1974), 23-57 (also with details of Polish participation).
-
-171 . Tatiana Berenstein et al. (eds.), Faschismus - Getto - Massenmord: Dokumentation ̈ber Ausrottung und Widerstand der Juden in Polen ẅhrend des Zweiten Weltkrieges (Berlin, 1960), 219 - 21; Dieter Pohl, Von der ‘Judenpolitik’ zum Judenmord: Der Distrikt Lublin des Generalgouvernements 1939 - 1944 (Frankfurt am Main, 1993), 22 - 5.
-
-172 . Sierakowiak, The Diary, 37 (10 September 1939), 38 (13 September 1939), 39 (15 September 1939), 40 (17 September 1939), 41 (19 September 1939), 52 (14 October 1939), 56 (27 October 1939), 63 (16 November 1939), 66 (30 November 1939), 69-70 (12 December 1939).
-
-173 . Ibid., 111 (9 September 1940).
-
-174 . See more generally Madajczyk, Die Okkupationspolitik, 258-60, for the deportation of Jews in the context of the German resettlement programme.
-
-175 . Longerich, Politik, 251-61; Hans Safrian, Die Eichmann-Männer (Vienna, 1993), 68-86; Christopher Browning, The Path to Genocide: Essays on Launching the Final Solution (Cambridge, 1992), 3-11; idem, Nazi Policy, Jewish Workers, German Killers (Cambridge, 2000), 1-15; idem, The Origins, 36-43; David Cesarani, Eichmann: His Life and Crimes (London, 2004), 78-81; Pohl, Von der ‘Judenpolitik’, 15-21, 26-31, 47-55; Himmler’s order for the deportation of all Jews from the incorporated territories reported on 31 October 1939 in Präg and Jacobmeyer (eds.), Das Diensttagebuch, 52; more details in Seev Goshen, ‘Eichmann und die Nisko-Aktion im Oktober 1939: Eine Fallstudie zur NS-Judenpolitik in der letzten Etappe vor der “Endl̈sung” ’, VfZ 29 (1981), 74-96, and idem, ‘Nisko - Ein Ausnahmefall unter den Judenlagern der SS’, VfZ 40 (1992), 95 - 106.
-
-176 . Safrian, Die Eichmann-Männer, 87 - 104.
-
-177 . Aly and Heim, Architects, 156 - 9; Longerich, Politik, 253 - 61.
-
-178 . Browning, The Path to Genocide, 28 - 30; idem, The Origins, 36 - 81, 89 - 110 (figures on 109); Longerich, Politik, 266 - 9.
-
-179 . Shirer, Berlin Diary, 197 - 8.
-
-180 . Evans, The Third Reich in Power, 660 - 61.
-
-181 . Gustavo Corni, Hitler’s Ghettos: Voices from a Beleaguered Society 1939-1944 (London, 2002), 22-4; Frank’s concerns in Pr̈g and Jacobmeyer (eds.), Das Diensttagebuch , 95, 146 - 7.
-
-182 . Sierakowiak, The Diary, 71 (15 December 1939).
-
-183 . Browning, The Origins, 111-18; also Berenstein et al. (eds.), Faschismus, 78-81, for the order of 10 December 1939; also Lucjan Dobroszycki (ed.), The Chronicle of the Lodz Ghetto 1941 - 1944 (New Haven, Conn., 1984), especially the Introduction.
-
-184 . Friedl̈nder, The Years of Extermination, 105 - 6.
-
-185 . Isaiah Trunk, Judenrat: The Jewish Councils in Eastern Europe under Nazi Occupation (New York, 1972), remains unsurpassed as the authoritative account of these institutions. For their inception, see ibid., 1-55. Famously, the political philosopher Hannah Arendt, in her brilliant, tough-minded book Eichmann in Jerusalem (New York, 1963), accused these bodies of complicity in the Third Reich’s policy of mass murder. However, the room for manoeuvre open to them and to their members was minimal, as Friedl̈nder, The Years of Extermination, xxiii-xxiv, points out; see also Aharon Weiss, ‘Jewish Leadership in Occupied Poland: Postures and Attitudes’, Yad Vashem Studies, 12 (1977), 335 - 65. 186. Browning, The Origins, 114 - 20; Corni, Hitler’s Ghettos, 82 - 3; Aly and Heim, Architects , 186 - 214.
-
-187 . Corni, Hitler’s Ghettos, 84-6; Isaiah Trunk, Lodz Ghetto: A History (Bloomington, Ind., 2006 [1962]), 32-103. For an eloquent defence of Rumkowski, see Gordon J. Horwitz, Ghettostadt: Lodz and the Making of a Nazi City (London, 2008), esp. 75-88 and 311 - 17.
-
-188 . Corni, Hitler’s Ghettos, 24-31, 78-81; Pr̈g and Jacobmeyer (eds.), Das Diensttagebuch , 91, 94.
-
-189 . Corni, Hitler’s Ghettos, 27 - 9.
-
-190 . Friedl̈nder, The Years of Extermination, 104 - 6.
-
-191 . Ringelblum, Notes, 86-7 (19 November 1940). Ringelblum was always careful to distinguish between regular soldiers, as here, SS men and Gestapo. See ibid., 114-15 for an example.
-
-192 . Berenstein et al. (eds.), Faschismus, 108 - 13; Browning, The Origins, 121 - 31.
-
-193 . Czerniakow, The Warsaw Diary, 237 (17 May 1941).
-
-194 . Nachman Blumenthal, ‘A Martyr or Hero? Reflections on the Diary of Adam Czerniakow’, Yad Vashem Studies, 7 (1968), 165 - 71; Joseph Kermish, ‘Introduction’, in Czerniakow, The Warsaw Diary, 1-24, at 19; Czerniakow, The Warsaw Diary, 295 (1 November 1941); Trunk, Judenrat; minutes of meeting of 6-7 June 1940 in Pr̈g and Jacobmeyer (eds.), Das Diensttagebuch, 232, 239 (point 8).
-
-195 . Berenstein et al. (eds.), Faschismus, 138; Friedl̈nder, The Years of Extermination, 105 - 7; Trunk, Judenrat, 165; see also Yisrael Gutman, The Jews of Warsaw, 1939 - 1943: Ghetto, Underground, Revolt (Bloomington, Ind., 1982).
-
-196 . Corni, Hitler’s Ghettos, 204 - 7, 215.
-
-197 . Ringelblum, Notes, 241.
-
-198 . Ibid., 194, 181.
-
-199 . Berenstein et al. (eds.), Faschismus, 152 - 3.
-
-200 . Charles G. Roland, Courage under Siege: Starvation, Disease, and Death in the Warsaw Ghetto (New York, 1992), 39, 99 - 101, 154 - 65.
-
-201 . Klukowski, Diary, 168 (3 September 1941).
-
-202 . Ringelblum, Notes, 268.
-
-203 . Ibid., 224 (19 February 1941); Corni, Hitler’s Ghettos, 119-56; Trunk, Judenrat, 96 - 9.
-
-204 . Ibid., passim, esp. 100-155; and especially Gunnar S. Paulsson, Secret City: The Hidden Jews of Warsaw, 1940-1945 (London, 2003); and Yisrael Gutman and Shmuel Krakowski, Unequal Victims: Poles and Jews during World War Two (New York, 1986), 32 - 3.
-
-205 . Hosenfeld, ‘Ich versuche’, 534 (note of 27 September 1941).
-
-206 . Kaplan, Scroll, 221 - 2 (14 February 1941).
-
-207 . Szarota, Warschau, 46; Ringelblum, Notes, 181.
-
-208 . Maschmann, Account Rendered, 81 - 2.
-
-209 . Uff. H. Z., 30 June 1941, quoted in Manoschek (ed.), ‘Es gibt nur Eines’, 30.
-
-210 . Hosenfeld, ‘Ich versuche’, 452 (note of 3 March 1941).
-
-211 . Corni, Hitler’s Ghettos, 139 - 56; Czerniakow, The Warsaw Diary, 363 (6 June 1942), 373 (2 July 1942); Ringelblum, Polish-Jewish Relations; Ringelblum, Notes.
-
-212 . Browning, The Origins, 175 - 8; see also Wolf Gruner, Die geschlossene Arbeitseinsatz deutscher Juden: Zur Zwangsarbeit als Element der Verfolgung, 1938-1943 (Berlin, 1997); and Dieter Maier, Arbeitseinsatz und Deportation: Die Mitwirkung der Arbeitsverwaltung bei der nationalsozialistischen Judenverfolgung in den Jahren 1938 - 1945 (Berlin, 1994).
-
-213 . Friedl̈nder, The Years of Extermination, 193 - 4; Hillel Levine, In Search of Sugihara: The Elusive Japanese Diplomat Who Risked His Life to Rescue 10,000 Jews from the Holocaust (New York, 1996).
-
-214 . Juliane Wetzel, ‘Auswanderung aus Deutschland’, in Wolfgang Benz (ed.), Die Juden in Deutschland 1933 - 1945: Leben unter nationalsozialistischer Herrschaft (Munich, 1988), 413 - 98, esp. 472 - 98.
-
-215 . Volker Dahm, ‘Kulturelles und geistiges Leben’, in Benz (ed.), Die Juden, 75-267, esp. 223 - 57 (‘Kulturelles und geistiges Leben 1939 - 41’).
-
-216 . G̈nter Plum, ‘Deutsche Juden oder Juden in Deutschland?’, in Benz (ed.), Die Juden, 35 - 74, esp. 71 - 2.
-
-217 . Browning, The Origins, 169-75; Eric A. Johnson, Nazi Terror: The Gestapo, Jews, and Ordinary Germans (New York, 1999), 355-8, 382-95; ‘racial defilement’ cases in Patricia Szobar, ‘Telling Sexual Stories in the Nazi Courts of Law: Race Defilement in Germany 1933-1945’, Journal of the History of Sexuality, 11 (2002), 131-63. For rationing, see Marion Kaplan, ‘Jewish Daily Life in Wartime Germany’, in David Bankier (ed.), Probing the Depths of German Antisemitism: German Society and the Persecution of the Jews, 1933 - 1941 (Jerusalem, 2000), 395 - 412, at 396 - 8.
-
-218 . Friedl̈nder, The Years of Extermination, 93 - 4.
-
-219 . Ibid., 51 - 2.
-
-220 . Evans, The Third Reich in Power, 567 - 8, 601 - 2.
-
-221 . Victor Klemperer, I Shall Bear Witness: The Diaries of Victor Klemperer 1933-41 (London, 1998 [1995]), 114, 266-9, 279, 292-336, quotes at 324 (26 May 1940), 325 (26 May 1940), 336 (11 August 1940); idem, To the Bitter End: The Diaries of Victor Klemperer 1942 - 45 (London, 1998 [1995]), 31 (24 March 1942).
-
-222 . Klemperer, I Shall Bear Witness, 337 - 99.
-
-223 . Evans, The Third Reich in Power, 524 - 7.
-
-224 . Michael Zimmermann, Rassenutopie und Genozid: Die nationalsozialistische ‘L̈sung der Zigeunerfrage’ (Hamburg, 1996), 193 - 9.
-
-225 . Browning, The Origins, 178-84; Henry Friedlander, The Origins of Nazi Genocide: From Euthanasia to the Final Solution (Chapel Hill, N.C., 1995), 246 - 62; Sybil H. Milton, ‘ “Gypsies” as Social Outsiders in Nazi Germany’, in Robert Gellately and Nathan Stolzfus (eds.), Social Outsiders in Nazi Germany (Princeton, N.J., 2001), 212 - 32, esp. 223 - 5.
-
-226 . Guenter Lewy, The Nazi Persecution of the Gypsies (New York, 2000), 65-81; Zimmermann, Rassenutopie, 167 - 84, 200 - 207.
-
-227 . Volker Riess, Die Anf̈nge der Vernichtung ‘lebensunwerten Lebens’ in den Reichsgauen Danzig-Westpreussen und Wartheland 1939/40 (Frankfurt am Main, 1995), 21 - 24, 98.
-
-228 . Ibid., 355-8. For the gas wagons, see Matthias Beer, ‘Die Entwicklung der Gaswagen beim Mord an den Juden’, VfZ 35 (1987), 403 - 17.
-
-229 . Klukowski, Diary, 76 (18 February 1940).
-
-230 . Longerich, Politik, 236-7; Ernst Klee (ed.), Dokumente zur ‘Euthanasie’ (Frankfurt am Main, 1985), 70 - 81; Michael Burleigh, Death and Deliverance: ‘Euthanasia’ in Germany, c.1900 - 1945 (Cambridge, 1994), 130 - 33.
-
-231 . Longerich, Politik, 234-5, 648 n. 36, arguing persuasively against the contention of G̈tz Aly that the killings stood in a causal connection with plans to resettle ethnic Germans in the area (Aly, ‘Final Solution’, 70-76; idem, ‘Medicine against the Useless’, in idem et al., Cleansing the Fatherland: Nazi Medicine and Racial Hygiene (Baltimore, Md., 1994), 22 - 98).
-
-232 . Riess, Die Anf̈nge, 359; also Ernst Klee, ‘Euthanasie’ im NS-Staat: Die ‘Vernichtung lebensunwerten Lebens’ (Frankfurt am Main, 1985 [1983]), 95 - 8, 112 - 15; and Burleigh, Death, 130.
-
-233 . Quoted in Kurt Nowak, ‘Euthanasie’ und Sterilisierung im ‘Dritten Reich’ - Die Konfrontation der evangelischen und katholischen Kirche mit dem ‘Gesetz zur Verḧtung erbkranken Nachwuchses’ und der ‘Euthanasie’-Aktion (G̈ttingen, 1984 [1977]), 63 - 4.
-
-234 . Evans, The Coming of the Third Reich, 35-8, 143-5, 377-8; idem, The Third Reich in Power, 506 - 15.
-
-235 . Hans-Walter Schmuhl, ‘Die Patientenmorde’, in Angelika Ebbinghaus and Klaus D̈rner (eds.), Vernichten und Heilen: Der Nürnberger ̈rzteprozess und seine Folgen (Berlin, 2001), 295 - 328, at 301; Klee (ed.), Dokumente, 35 - 64.
-
-236 . Quoted in Burleigh, Death, 97; Klee, ‘Euthanasie’, 76-7; Wagner quote in Eugen Kogon et al. (eds.), Nationalsozialistische Massenẗtungen durch Giftgas: Eine Dokumentation (Frankfurt am Main, 1983), 28-9; Hans-Walter Schmuhl, Rassenhygiene, Nationalsozialismus, Euthanasie: Von der Verḧtung zur Vernichtung ‘lebensunwerten Lebens’, 1890 - 1945 (G̈ttingen, 1987), 149 - 50, 178 - 81.
-
-237 . Riess, Die Anf̈nge, 281-90; Karl Heinz Roth and G̈tz Aly, ‘Das “Gesetz ̈ber die Sterbehilfe bei unheilbar Kranken”: Protokolle der Diskussion ̈ber die Legalisierung der nationalsozialistischen Anstaltsmorde in den Jahren 1938-1941’, in Karl Heinz Roth (ed.), Erfassung zur Vernichtung: Von der Sozialhygiene zum ‘Gesetz ̈ber Sterbehilfe’ (Berlin, 1984), 101-79, at 104-11; Friedlander, The Origins, 39-44; Burleigh, Death, 93-100; Klee, ‘Euthanasie’, 77-81; Longerich, Politik, 234-5. The chronology of these events is reviewed exhaustively in Ulf Schmidt, ‘Reassessing the Beginning of the “Euthanasia” Programme’, German History, 17 (1999), 543-50, also effectively disposing of standard accounts of the name and case-history of the baby in Leipzig whose condition gave Hitler the pretext for launching the action. See also Ulf Schmidt, Karl Brandt: The Nazi Doctor: Medicine and Power in the Third Reich (London, 2007), 117-23 (for the case) and 123 - 46 (for the launching of the programme).
-
-238 . Roth and Aly, ‘Das “Gesetz” ’, 112 - 17; Burleigh, Death, 98 - 9; Friedlander, The Origins, 44 - 6.
-
-239 . Ibid., 67-8; Klee (ed.), Dokumente, 85-91; Christian Ganssm̈ller, Die Erbgesundheitspolitik des Dritten Reiches: Planung, Durchf̈hrung und Durchsetzung (Cologne, 1987), 158 - 70.
-
-240 . Klee, ‘Euthanasie’, 80 - 81.
-
-241 . Burleigh, Death, 99 - 101; Klee, ‘Euthanasie’, 82 - 95; Klee (ed.), Dokumente, 238 - 45, 295-307; Ganssm̈ller, Die Erbgesundheitspolitik, 150-55. For Binding and Hoche, see Evans, The Coming of the Third Reich, 145.
-
-242 . G̈tz Aly, ‘Der Mord an behinderten Hamburger Kindern zwischen 1939 und 1945’, in Angelika Ebbinghaus et al. (eds.), Heilen und Vernichten im Mustergau Hamburg: Bev̈lkerungs- und Gesundheitspolitik im Dritten Reich (Hamburg, 1984), 147 - 55; Burleigh, Death, 101 - 11; Schmuhl, ‘Die Patientenmorde’, 302; idem, Rassenhygiene, 182 - 9.
-
-243 . Quoted in Friedlander, The Origins, 50.
-
-244 . Aly, ‘Der Mord’, 151; Schmuhl, Rassenhygiene, 188 - 9.
-
-245 . Quoted in Aly, ‘Der Mord’, 148; see also Burleigh, Death, 100; Schmuhl, ‘Die Patientenmorde’, 305 - 6, and Gerhard Baader, ‘Heilen und Vernichten: Die Mentaliẗt der NS-̈rzte’, in Ebbinghaus and D̈rner (eds.), Vernichten und Heilen, 275 - 94.
-
-246 . Friedlander, The Origins, 68 - 9; Ganssm̈ller, Die Erbgesundheitspolitik, 155 - 7.
-
-247 . Good basic overview in Armin Trus, ‘. . . vom Leid erl̈sen’: Zur Geschichte der nationalsozialistischen ‘Euthanasie’-Verbrechen: Texte und Materialien für Unterricht und Studium (Frankfurt am Main, 1995), 91-7; more detail in Schmuhl, Rassenhygiene, 190 - 95.
-
-248 . Friedlander, The Origins, 65 - 6; Burleigh, Death, 113 - 14.
-
-249 . Friedlander, The Origins, 86-7; Schmuhl, Rassenhygiene, 195-7; Widmann quoted in Klee (ed.), Dokumente, 69.
-
-250 . Riess, Die Anf̈nge, 355 - 8.
-
-251 . Friedlander, The Origins, 86 - 94.
-
-252 . Ibid., 73-84; Klee, ‘Euthanasie’, 115-23; Klee (ed.), Dokumente, 92-104; Burleigh, Death, 128 - 9.
-
-253 . Schmuhl, Rassenhygiene, 202 - 3, 215 - 17.
-
-254 . Friedlander, The Origins, 83-5; Klee, ‘Euthanasie’, 174-90; Klee (ed.), Dokumente, 105 - 16, 184 - 90; Burleigh, Death, 135 - 46.
-
-255 . Quoted in Klee (ed.), Dokumente, 125 (box); see also, for the procedure, Friedlander, The Origins, 93 - 110.
-
-256 . Klee, ‘Euthanasie’, 149 - 52; Klee (ed.), Dokumente, 149 - 59; Burleigh, Death, 146 - 9; Schmuhl, Rassenhygiene, 203 - 8.
-
-257 . Friedlander, The Origins, 85.
-
-258 . Wirth quoted in Klee (ed.), Dokumente, 124-5; also more generally ibid., 119-42; Friedlander, The Origins, 102 - 6; and Burleigh, Death, 149 - 57.
-
-259 . Friedlander, The Origins, 109-10. See also Johannes Tuchel (ed.), ‘Kein Recht auf Leben’: Beitr̈ge und Dokumente zur Entrechtung und Vernichtung ‘lebensunwerten Lebens’ im Nationalsozialismus (Berlin, 1984), and Roland M̈ller (ed.), Krankenmord im Nationalsozialismus: Grafeneck und die ‘Euthanasie’ in S̈dwestdeutschland (Stuttgart, 2001), a collection of conference papers.
-
-260 . Burleigh, Death, 169 - 73.
-
-261 . All quoted in Klee, ‘Euthanasie’, 310; see also Schmuhl, Rassenhygiene, 207-11.
-
-262 . Klee (ed.), Dokumente, 209; Friedlander, The Origins, 116-21; Lothar Gruchmann, ‘Ein unbequemer Amtsrichter im Dritten Reich: Aus den Personalakten des Dr. Lothar Kreyssig’, VfZ 32 (1984), 462-88.
-
-263 . Klee, ‘Euthanasie’, 255-8; see more generally Nowak, ‘Euthanasie’ und Sterilisierung.
-
-264 . Shirer, Berlin Diary, 398-401, 447-51.
-
-265 . Klee (ed.), Dokumente, 151-62 (reprinting the entire memorandum); Klee, ‘Euthanasie’ , 285.
-
-266 . Quoted in Klee (ed.), Dokumente, 213-14.
-
-267 . Friedlander, The Origins, 113-14; Burleigh, Death, 166-9; Ganssm̈ller, Die Erbgesundheitspolitik , 170-72; Schmuhl, Rassenhygiene, 312-46.
-
-268 . Ulrich von Hassell, The von Hassell Diaries: The Story of the Forces against Hitler inside Germany 1938-1944 (Boulder, Colo., 1994 [1946]), 150, 159, 165.
-
-269 . Klee (ed.), Dokumente, 143.
-
-270 . Klee, ‘Euthanasie’, 278-85; Burleigh, Death, 167-8.
-
-271 . Klee, ‘Euthanasie’, 234-53.
-
-272 . Beth A. Griech-Polelle, Bishop von Galen: German Catholicism and National Socialism (New Haven, Conn., 2002), 77; Evans, The Third Reich in Power, 515 - 16.
-
-273 . Ibid., 239.
-
-274 . Klee (ed.), Dokumente, 167 - 8, 193.
-
-275 . Ibid., 170 - 73; Griech-Polelle, Bishop von Galen, 76 - 7.
-
-276 . Klee (ed.), Dokumente, 182-4; Burleigh, Death, 174-6; Griech-Polelle, Bishop von Galen, 76 - 8 (but quoting Burleigh’s words as though they were Faulhaber’s).
-
-277 . Klee (ed.), Dokumente, 183.
-
-278 . Ibid., 184. The emphasis in these various documents on the illegitimacy of killing the innocent reflected the long-held support of the Catholic Church and its lay organizations for the death penalty: see Richard J. Evans, Rituals of Retribution: Capital Punishment in Germany 1600-1987 (Oxford, 1996), 76-7, 332-3, 336-8, 432-3, 604-6, 654-5, 711-14, 797-9.
-
-279 . Klee (ed.), Dokumente, 193; overview in Schmuhl, Rassenhygiene, 346-54.
-
-280 . Klee (ed.), Dokumente, 178-86, 82-3.
-
-281 . Griech-Polelle, Bishop von Galen, 84-5, 186-96; Burleigh, Death, 176-8.
-
-282 . Trus, ‘. . . vom Leid erl̈sen’, 147-8.
-
-283 . Griech-Polelle, Bishop von Galen, 86; Klee, ‘Euthanasie’, 335-9.
-
-284 . Joachim Kuropka (ed.), Meldungen aus M̈nster, 1924-1944: Geheime und vertrauliche Berichte von Polizei, Gestapo, NSDAP und ihren Gliederungen, staatlicher Verwaltung, Gerichtsbarkeit und Wehrmacht ̈ber die politische und gesellschaftliche Situation in M̈nster (M̈nster, 1992).
-
-285 . Report in Boberach (ed.), Meldungen, IX. 3,175-8, also reprinted in Trus, ‘. . . vom Leid erl̈sen’, 138-41. See also Griech-Polelle, Bishop von Galen, 86-93; Burleigh, Death, 209-19; Karl Ludwig Rost, Sterilisation und Euthanasie im Film des ‘Dritten Reiches’: Nationalsozialistische Propaganda in ihrer Beziehung zu rassenhygienischen Massnahmen des NS-Staates (Berlin, 1984), 166-8; and Kurt Nowak, ‘Widerstand, Zustimmung, Hinnahme: Das Verhalten der Bev̈lkerung zur “Euthanasie” ’, in Norbert Frei (ed.), Medizin und Gesundheitspolitik in der NS-Zeit (Munich, 1991), 235-51.
-
-286 . Lothar Gruchmann, ‘Euthanasie und Justiz im Dritten Reich’, VfZ 20 (1972), 235-79, at 278-9.
-
-287 . Ganssm̈ller, Die Erbgesundheitspolitik, 173; Gruchmann, ‘Euthanasie’, 277.
-
-288 . Burleigh, Death, 176-80, overstates the case against the Catholic Church; Friedlander, The Origins, 111-12, takes it more or less as read and credits public opinion rather than the Churches; Griech-Polelle, Bish op von Galen, 92-3, sums up the arguments judiciously, pointing out that Galen’s sermons were expressing in religious terms what public opinion felt more generally.
-
-289 . Excellent analysis in Longerich, Politik, 241-2.
-
-290 . Thus the arguments in Omer Bartov, The Eastern Front 1941-1945: German Troops and the Barbarization of Warfare (London, 1985); and idem, Hitler’s Army, dating these processes from the invasion of the Soviet Union onwards; see the critique in Rossino, Hitler Strikes Poland, 191, and the account of the many works that assume that the German war of racial extermination in the east only began in 1941 in B̈hler, Auftakt, 9-16.
-
-291 . Tadeusz Piotrowski, Poland’s Holocaust: Ethnic Strife, Collaboration with Occupying Forces, and Genocide in the Second Republic, 1918-1947 (Jefferson, N.C., 1998); B̈hler, Auftakt, 241-7.
-
-292 . Berndt and Strecker (eds.), Polen; Richard J. Evans (ed.), Kneipengespr̈che im Kaiserreich: Die Stimmungsberichte der Hamburger Politischen Polizei 1892-1914 (Hamburg, 1989), 361-83.
-
-293 . Hosenfeld, ‘Ich versuche’, 292 (letter to son, 23 November 1939).
-
-294 . Johannes Ḧrter (ed.), Ein deutscher General an der Ostfront: Die Briefe und Tagebücher des Gotthard Heinrici 1941/42 (Essen, 2001), 56 (letter to wife, 22 April 1941).
-
-295 . Ibid., 56 (letter to wife, 25 April 1941).
-
-296 . Ibid., 57 (letter to family, 30 April 1941).
-
-297 . Ibid.
-
-298 . Rossino, Hitler Strikes Poland, 121-43.
-
-299 . Evans, The Coming of the Third Reich, 61.
-
-300 . See Rossino, Hitler Strikes Poland, arguing against J̈rgen F̈rster, ‘Jewish Policies of the German Military, 1939-1942’, in Asher Cohen et al. (eds.), The Shoah and the War (New York, 1992), 53-71, at 56, and Umbreit, Deutsche Miliẗrverwaltungen, 137, 273.
-
-
-
-Chapter 2. FORTUNES OF WAR
-
-1 . Roger Moorhouse, Killing Hitler: The Third Reich and the Plots against the F̈hrer (London, 2006), 36-58, is the most recent account. See also Peter Hoffmann, Hitler’s Personal Security (London, 1979), 105-11.
-
-2 . Moorhouse, Killing Hitler, 50-53; Heinz Ḧhne, The Order of the Death’s Head: The Story of Hitler’s SS (London, 1972 [1966]), 264-6.
-
-3 . Moorhouse, Killing Hitler, 43-50; Kershaw, Hitler, II. 271-5.
-
-4 . Boberach (ed.), Meldungen, III. 449: Bericht zur innenpolitischen Lage Nr. 15, 13 November 1939.
-
-5 . Shirer, Berlin Diary, 194-5 (9 November 1939).
-
-6 . Alan Bullock, Hitler: A Study in Tyranny (London, 1952), 522-3, claimed the Gestapo was responsible, as did Peter Padfield, Himmler: Reichsf̈hrer-SS (London, 1990), 283. See however Anton Hoch, ‘Das Attentat auf Hitler im M̈nchener B̈rgerbr̈ukeller 1939’, VfZ 17 (1969), 383-413, and especially Lothar Gruchmann (ed.), Autobiographie eines Attenẗters: Johann Georg Elser: Aussage zum Sprengstoffanschlag im B̈rgerbr̈ukeller, M̈nchen, am 8. November 1939 (Stuttgart, 1970).
-
-7 . Moorhouse, Killing Hitler, 58.
-
-8 . Hans-Adolf Jacobsen (ed.), Dokumente zur Vorgeschichte des Westfeldzuges 1939-1940 (G̈ttingen, 1956), 5-7. For the generals’ previous caution, see Evans, The Third Reich in Power, 633, 642, 668-70.
-
-9 . International Military Tribunal, Nuremberg: ND 789-PS, 572-80: see Evans, The Third Reich in Power, 892.
-
-10 . Fedor von Bock, Generalfeldmarschall Fedor von Bock: Zwischen Pflicht und Verweigerung: Das Kriegstagebuch (ed. Klaus Gerbet, Munich, 1995), 78-9 (23 November 1939).
-
-11 . For the confrontation of 1938, see Evans, The Third Reich in Power, 668-71; for the arguments of 1939-40 and the revival of the plot, see Kershaw, Hitler, II. 262-71, and Johannes Ḧrter, Hitlers Heerf̈hrer: Die deutschen Oberbefehlshaber im Krieg gegen die Sowjetunion 1941/42 (Munich, 2007), 163-71.
-
-12 . Tooze, The Wages of Destruction, 331-43. An exhaustive account of the airplane building programme is provided by Lutz Budrass, Flugzeugindustrie und Luftr̈stung in Deutschland (D̈sseldorf, 1998). The supply situation was a constant concern in Halder’s diary during these months (Halder, Kriegstagebuch, I, passim).
-
-13 . Rolf-Dieter M̈ller, ‘The Mobilization of the German Economy for Hitler’s War Aims’, GSWW V/I. 407-786, at 407-11; Tooze, The Wages of Destruction, 343-8.
-
-14 . M̈ller, ‘The Mobilization’, 453-85.
-
-15 . Evans, The Third Reich in Power, 364-5; for Todt see ibid., 322-5.
-
-16 . Weinberg, A World at Arms, 100-103; Catherine Merridale, Ivan’s War: The Red Army 1939-1945 (London, 2005), 67-70. For German policy, see Gerd R. Ueberscḧr, Hitler und Finnland 1938-1941 (Wiesbaden, 1978).
-
-17 . Merridale, Ivan’s War, 44-7, 57-60, 67-71.
-
-18 . Weinberg, A World at Arms, 105-7; John Erickson, The Soviet High Command (London, 1962), 541-52; Tomas Ries, Cold Will: The Defence of Finland (London, 1988); Geoffrey Roberts, Stalin’s Wars: From World War to Cold War, 1939-1953 (London, 2006), 46-55; Chris Bellamy, Absolute War: Soviet Russia in the Second World War: A Modern History (London, 2007), 69-98.
-
-19 . Thomas K. Derry, ‘Norway’, in Stuart J. Woolf (ed.), European Fascism (London, 1968), 217-30, at 217-24.
-
-20 . Derry, ‘Norway’, 224-6; Weinberg, A World at Arms, 114-15; Oddvar K. Hoidal, Quisling: A Study in Treason (Oslo, 1989); Carl-Axel Gemzell, Raeder, Hitler und Skandinavien (Lund, 1965). For Quisling’s visit to Berlin in December 1939 and Raeder’s key role in prewar planning, see Hans-Martin Ottmer, ‘Weser̈bung’: Der deutsche Angriff auf D̈nemark und Norwegen im April 1940 (Munich, 1994), 24-6, 3-17.
-
-21 . Bernd Stegemann, ‘Operation Weser̈bung’, in GSWW II. 206-19, at 211-12; Ottmer, ‘Weser̈bung’, 67-79; Hubatsch (ed.), Hitlers Weisungen, 47-50.
-
-22 . Stegemann, ‘Operation Weser̈bung’, 207-11; Ottmer, ‘Weser̈bung’, 79-131.
-
-23 . Vidkun Quisling, Quisling ruft Norwegen! Reden und Aufs̈tze (Munich, 1942), 96-7, 102, 105, 137.
-
-24 . Stegemann, ‘Operation Weser̈bung’, 212-15.
-
-25 . Weinberg, A World at Arms, 119-21; Shirer, Berlin Diary, 254 (4 May 1940).
-
-26 . Meier-Welcker, Aufzeichnungen, 54 (21 March 1940).
-
-27 . Roy Jenkins, Churchill (London, 2001), 573-84.
-
-28 . Peter Clarke, Hope and Glory: Britain 1900-1990 (London, 1996), 192-6.
-
-29 . Jacobsen (ed.), Dokumente, 64-5, 155-6; Hans-Adolf Jacobsen, Fall Gelb: Der Kampf um den deutschen Operationsplan zur Westoffensive 1940 (Wiesbaden, 1957); Karl-Heinz Frieser, Blitzkrieg-Legende: Der Westfeldzug 1940 (Munich, 1996 [1995]), 15-70 for the short-term, improvised nature of the plan, 71-116 for arguments about it within the military hierarchy.
-
-30 . Shirer, Berlin Diary, 275-6 (20 May 1940); Hans Umbreit, ‘The Battle for Hegemony in Western Europe’, in GSWW II. 227-326, at 270-80; Julian Jackson, The Fall of France: The Nazi Invasion of 1940 (Oxford, 2003), 9-39; Ernest R. May, Strange Victory: Hitler’s Conquest of France (New York, 2000).
-
-31 . Shirer, Berlin Diary, 276-9 (20 May 1940).
-
-32 . Weinberg, A World at Arms, 122-6.
-
-33 . Umbreit, ‘The Battle’, 37; Frieser, Blitzkrieg-Legende, 428.
-
-34 . Jackson, The Fall of France, 37-9; Frieser, Blitzkrieg-Legende, 135.
-
-35 . Bock, Zwischen Pflicht und Verweigerung, 101 (24 February 1940).
-
-36 . Jackson, The Fall of France, 42-7; Umbreit, ‘The Battle’, 278-304; vivid narrative in Tooze, The Wages of Destruction, 374-9; details of the amphetamine use in Werner Pieper (ed.), Nazis on Speed: Drogen im 3. Reich (Loherbach, 2002), 325-30; the best recent critical account in Frieser, Blitzkrieg-Legende, 173-361.
-
-37 . Jackson, The Fall of France, 9-12 (quote on 10).
-
-38 . Ibid., 58-62.
-
-39 . Ibid., 85-94, gives a judicious account of these much-contested events; see also Kershaw, Hitler, II. 295-6.
-
-40 . Bock, Zwischen Pflicht und Verweigerung, 135 (26 May 1940), 140 (30 May 1940); Hans-Adolf Jacobsen, D̈nkirchen: Ein Beitrag zur Geschichte des Westfeldzuges 1940 (Neckargem̈nd, 1958), 70-122, 203, and idem (ed.), Dokumente zum Westfeldzug 1940 (G̈ttingen, 1960), 114-46, both pinning the responsibility on Rundstedt; Frieser, Blitzkrieg-Legende, 363-93, emphasizes Hitler’s role.
-
-41 . Bock, Zwischen Pflicht und Verweigerung, 143 (2 June 1940).
-
-42 . Jackson, The Fall of France, 94-100.
-
-43 . Ibid., 101-6 (quote on 105).
-
-44 . Ibid., 107-73; Frieser, Blitzkrieg-Legende, 399-409; May, Strange Victory, 448-9, arguing for the buoyancy of French military morale in the early stages of the invasion.
-
-45 . Irène N’mirovsky, Suite Fran¸aise (London, 2007 [2004]), 50.
-
-46 . Ibid., 42.
-
-47 . Jackson, The Fall of France, 174-82; Hanna Diamond, Fleeing Hitler: France 1940 (Oxford, 2007).
-
-48 . Meier-Welcker, Aufzeichnungen, 74 (12 June 1940).
-
-49 . Shirer, Berlin Diary, 328-32 (21 June, 1940).
-
-50 . Jackson, The Fall of France, 232; the best overall survey remains the same author’s France: The Dark Years 1940-1944 (Oxford, 2001).
-
-51 . Frieser, Blitzkrieg-Legende, 409-35.
-
-52 . Albert Speer, Inside the Third Reich: Memoirs (London, 1971 [1970]), 170-2 (also quoted in Lynn Nicholas, The Rape of Europa: The Fate of Europe’s Treasures in the Third Reich and the Second World War (New York, 1994), 118).
-
-53 . Shirer, Berlin Diary, 260-63 (10-11 May 1940).
-
-54 . Lore Walb, Ich, die Alte - ich, die Junge: Konfrontation mit meinen Tageb̈chern 1933-1945 (Berlin, 1997), 179 (21 May 1940).
-
-55 . Boberach (ed.), Meldungen, IV. 1,163 (23 May 1940).
-
-56 . Ibid., 1,189 (30 May 1940), 1,261 (17 June 1940).
-
-57 . Ibid., 1,274-5 (20 June 1940).
-
-58 . Hosenfeld, ‘Ich versuche’, 294 (letter to his wife 25 November 1939).
-
-59 . Ibid., 356 (11 June 1940, letter to son).
-
-60 . Luise Solmitz, Tagebuch (Staatsarchiv der Freien- und Hansestadt Hamburg, 622-1, 111511-13: Familie Solmitz; transcripts in Forschungsstelle f̈r Zeitgeschichte, Hamburg), XI. 551, 560, 563, 565-6 (12 June 1940, 17 June 1940, 21 June 1940).
-
-61 . Gerhard L. Weinberg, ‘Hitler and England, 1933-1945: Pretense and Reality’, German Studies Review, 8 (1988), 299-309, argues that Hitler was never interested in a deal with Britain; see also Weinberg, A World at Arms, 89-95.
-
-62 . Frances Donaldson, Edward VIII (London, 1974), 191-206, 327-34, 358-77; Michael Bloch, Operation Willi: The Plot to Kidnap the Duke of Windsor, July 1940 (London, 1984); Walter Schellenberg, The Memoirs of Hitler’s Spymaster (London, 2006 [1956]).
-
-63 . Weinberg, A World at Arms, 118.
-
-64 . Charles S. Thomas, The German Navy in the Nazi Era (London, 1990), 191.
-
-65 . Shirer, Berlin Diary, 355, 358 (19-20 July 1940).
-
-66 . Walb, Ich, die Alte, 185 (17 June 1940).
-
-67 . Domarus (ed.), Hitler, III. 2,062 (19 July 1940), Kershaw, Hitler, II. 301-8. For the idea that a separate peace would have saved the British Empire, see John Charmley, Churchill: The End of Glory: A Political Biography (London, 1993), 422-32.
-
-68 . Karl Klee, Das Unternehmen ‘Seel̈we’: Die geplante deutsche Landung in England 1940 (G̈ttingen, 1958); idem, Dokumente zum Unternehmen ‘Seel̈we’: Die geplante deutsche Landung in England 1940 (G̈ttingen, 1959), both arguing that the problem was caused by lack of advance planning.
-
-69 . Walter Schellenberg, Invasion 1940: The Nazi Invasion Plan for Britain (London, 2000), esp. 1-114 (‘Gestapo Handbook’).
-
-70 . Richard J. Overy, The Battle (London, 2000), 60-63.
-
-71 . Ibid., esp. 161-2.
-
-72 . Ibid., 53-4, 80.
-
-73 . Tooze, The Wages of Destruction, 249-50, 400-401.
-
-74 . Shirer, Berlin Diary, 377 (17 August 1940).
-
-75 . Ulrich Steinhilfer and Peter Osborne, Spitfire on My Tail: A View from the Other Side (Bromley, 1989), 279 (19 August 1940).
-
-76 . Ibid., 289 (31 August). The original expression was Horridoh!
-
-77 . Domarus (ed.), Hitler, III. 2,086 (4 September 1940).
-
-78 . Ibid., 2,072 (1 August 1940, Directive no. 17); for the contrary view, see Kershaw, Hitler, II. 309; good discussion in Horst Boog, ‘The Strategic Air War in Europe and Air Defence of the Reich’, in GSWW VII. 9-458, at 357-67.
-
-79 . Overy, The Battle, 90-96; Klaus A. Maier, ‘The Battle of Britain’, in GSWW II. 374-407.
-
-80 . Overy, The Battle, 90-96; Alfred Price, Blitz on Britain (Shepperton, 1977); Tooze, The Wages of Destruction, 447-8.
-
-81 . Steinhilfer and Osborne, Spitfire, 295 (17 September 1940).
-
-82 . Ibid., 319 (letter to father, 19 October 1940).
-
-83 . Halder, Kriegstagebuch, II. 128 (7 October 1940).
-
-84 . Ibid., 99 (14 September 1940).
-
-85 . Walb, Ich, die Alte, 197 (10 September 1940).
-
-86 . F. Harry Hinsley, British Intelligence in the Second World War (5 vols., London, 1979-90),I. 316-18, 523-48.
-
-87 . Walb, Ich, die Alte, 200 (3 October 1940).
-
-88 . Meier-Welcker, Aufzeichnungen, 101 (31 December 1940).
-
-89 . Overy, The Battle, 97-135.
-
-90 . Quoted in Paul Preston, Franco: A Biography (London, 1993), 397-8.
-
-91 . Kershaw, Hitler, II. 329-30; Paul Preston, ‘Franco and Hitler: The Myth of Hendaye 1940’, Contemporary European History, 1 (1992), 1-16;idem, Franco, 399.
-
-92 . Richard Bosworth, Mussolini’s Italy: Life under the Dictatorship 1915-1945 (London, 2005), 415-20.
-
-93 . Denis Mack Smith, Mussolini (London, 1983 [1981]), 269-91; Umbreit, ‘The Battle’, 304-13.
-
-94 . Kershaw, Hitler, II. 331.
-
-95 . Detlef Vogel, ‘German Intervention in the Balkans’, in GSWW III. 451-55; Gerhard Schreiber, ‘Germany, Italy and South-east Europe: From Political and Economic Hegemony to Military Aggression’, ibid., 305-448 (statistics on 448); Smith, Mussolini, 298- 302; Martin Clark, Modern Italy 1871-1982 (Harlow, 1984), 285-8.
-
-96 . Dear (ed.), The Oxford Companion to World War II, 148-9; Smith, Mussolini, 308.
-
-97 . Clark, Modern Italy, 286.
-
-98 . Smith, Mussolini, 310-11; Dear (ed.), The Oxford Companion to World War II, 245-7.
-
-99 . Bernd Stegemann, ‘The Italo-German Conduct of War in the Mediterranean and North Africa’, in GSWW III. 643-754, at 673-80.
-
-100 . Halder, Kriegstagebuch, II. 377 (23 April 1941), III. 48 (6 July 1941).
-
-101 . Dear (ed.), The Oxford Companion to World War II, 748-9, 992-4; Weinberg, A World at Arms, 211-15, 222-5, 361-3; Stegemann, ‘The Italo-German Conduct of War’, 680-754; Reinhard Stumpf, ‘The War in the Mediterranean Area 1942-1943: Operations in North Africa and the Central Mediterranean’, in GSWW VI. 631-840, at 631-54 and 661-748.
-
-102 . Martin Gilbert, The Holocaust: The Jewish Tragedy (London, 1987 [1986]), 578; idem, The Routledge Atlas of the Holocaust (London, 2002 [1982]), Maps 59, 188; Robert Satloff, Among the Righteous: Lost Stories from the Holocaust’s Long Reach into Arab Lands (New York, 2006).
-
-103 . Andreas Hillgruber (ed.), Staatsm̈nner und Diplomaten bei Hitler: Vertrauliche Aufzeichnungen ̈ber Unterredungen mit Vertretern des Auslandes (2 vols., Frankfurt am Main, 1967-70), I. 664-6.
-
-104 . Jeffrey Herf, The Jewish Enemy: Nazi Propaganda during World War II and the Holocaust (London, 2006), 76.
-
-105 . Tooze, The Wages of Destruction, 381-2.
-
-106 . Dear (ed.), The Oxford Companion to World War II, 744-5; Schreiber, ‘Germany’, 305-448, Weinberg, A World at Arms, 195-6; J̈rgen F̈rster, ‘Germany’s Acquisition of Allies in South-east Europe’, in GSWW IV. 386-428, at 386; Friedl̈nder, The Years of Extermination, 166-9; Randolph L. Braham (ed.), The Tragedy of Romanian Jewry (New York, 1994); Mihail Sebastian, ‘Voller Entsetzen, aber nicht verzweifelt’: Tageb̈cher 1935-44 (ed. Edward Kanterian, Berlin, 2005). For Romanian fascism and antisemitism, see Leon Volovici, Nationalist Ideology and Antisemitism: The Case of Romanian Intellectuals in the 1930s (Oxford, 1991) (esp. Stephen Fischer-Galati, ‘The Legacy of AntiSemitism’, 1-28); Stanley G. Payne, A History of Fascism 1914-45 (London, 1995), 134-8, 391-7; solid narrative of events in Keith Hitchins, Rumania 1866-1947 (Oxford, 1994), 376-471 (esp. 451-71). By far the best account of Antonescu is now Dennis Deletant, Hitler’s Forgotten Ally: Ion Antonescu and His Regime, Romania 1940-44 (London, 2006): for a detailed narrative of the events recounted above, see ibid., 8-68. The slaughterhouse incident is recounted in Robert St John, Foreign Correspondent (London, 1960), 180.
-
-107 . Dear (ed.), The Oxford Companion to World War II, 1,011-2.
-
-108 . Kershaw, Hitler, II. 360-63; Vogel, ‘German Intervention’, 451-85.
-
-109 . Ibid., 497-526; Mark Mazower, Inside Hitler’s Greece: The Experience of Occupation 1941-44 (London, 1993), 1-8, 15-18; Peter Calvocoressi and Guy Wint, Total War: Causes and Courses of the Second World War (Harmondsworth, 1974 [1972]), 154-60 (a little outdated, but still valuable); Weinberg, A World at Arms, 218-22.
-
-110 . Dear (ed.), The Oxford Companion to World War II, 213-15; Vogel, ‘German Intervention’, 527-55.
-
-111 . Dear (ed.), The Oxford Companion to World War II, 213-15.
-
-112 . P̈ppel, Heaven and Hell, 67.
-
-113 . Quoted in Mazower, Inside Hitler’s Greece, 23-4.
-
-114 . Ibid., 23-32; Rainer Eckert, Vom ‘Fall Marita’ zur ‘Wirtschaftlichen Sonderaktion’: Die deutsche Besatzungspolitik in Griechenland vom 6. April 1941 bis zur Kriegswende im Februar/M̈rz 1943 (Frankfurt am Main, 1992), 85-142.
-
-115 . Mazower, Inside Hitler’s Greece, 32-52.
-
-116 . Ibid., 85-96, 235-8; idem, Salonica: City of Ghosts: Christians, Muslims and Jews 1430-1950 (London, 2004), 421-2.
-
-117 . Payne, A History of Fascism, 404-11; Ladislaus Hory and Martin Broszat, Der kroatische Ustascha-Staat 1941-1945(Stuttgart, 1965 [1964]), 13-38; Jozo Tomasevich, War and Revolution in Yugoslavia, 1941-1945: Occupation and Collaboration (Stanford, Calif., 2001), 47-174; Gert Fricke, Kroatien 1941-1944: Der ‘Unabḧngige Staat’ in der Sicht des Deutschen Bevollm̈chtigten Generals in Agram, Blaise v Hortenau (Freiburg, 1972), 10, 25-67.
-
-118 . Hory and Broszat, Der kroatische Ustascha-Staat, 39-57.
-
-119 . Misha Glenny, The Balkans 1804-1999: Nationalism, War and the Great Powers (London, 1999), 498-502: Hory and Broszat, Der kroatische Ustascha-Staat, 75-106; Payne, A History of Fascism, 408-10; Friedländer, The Years of Extermination, 228 - 30; gruesome details and photographs in Edmond Paris, Genocide in Satellite Croatia 1941 - 1945: A Record of Racial and Religious Persecution and Massacres (Chicago, 1961), esp. 88 - 126 and 162 - 205.
-
-120 . Quoted in ibid., 109 - 10; see also ibid., 127 - 61 for the concentration camps.
-
-121 . Milan Ristovic’, ‘Yugoslav Jews Fleeing the Holocaust, 1941-1945’, in John K. Roth and Elisabeth Maxwell (eds.), Remembering for the Future: The Holocaust in an Age of Genocide (London, 3 vols., 2001), I. 512-26; Glenny, The Balkans, 300-302; Payne, A History of Fascism, 409-10; Hory and Broszat, Der kroatische Ustascha-Staat, 75-92; Tomasevich, War and Revolution, 380-415 for the Ustashe reign of terror, and 511-79 for the role of the Catholic Church. A careful analysis of numbers killed in the genocidal campaigns of the Ustashe can be found in Marko Hoare, Genocide and Resistance in Hitler’s Bosnia: The Partisans and the Chetniks, 1941 - 1943 (London, 2006), 19 - 28.
-
-122 . Evans, The Coming of the Third Reich, 316.
-
-123 . Kershaw, Hitler, II. 305.
-
-124 . Hitler, Kriegstagebuch, II. 214 (5 December 1940); Kershaw, Hitler, II. 307 - 8; Bernd Stegemann, ‘Hitlers Kriegszeiele im ersten Kriegsjahr 1939/40: Ein Beitrag zur Quellenkritik’, Militärgeschichtliche Mitteilungen, 27 (1980), 93 - 105. For Stalinist antisemitism, see Herf, The Jewish Enemy, 93. For a detailed account of the decision to invade, see Jürgen Förster, ‘Hitler’s Decision in Favour of War against the Soviet Union’, in GSWW IV. 13 - 51. For policy discussions and options in the summer of 1940, see Andreas Hillgruber, Hitlers Strategie: Politik und Kriegführung 1940-41 (Frankfurt am Main, 1965), 144-277.
-
-125 . Roberts, Stalin’s Wars, 30 - 46.
-
-126 . Tooze, The Wages of Destruction, 421-5.
-
-127 . Halder, Kriegstagebuch, II. 49 (31 July 1940).
-
-128 . Bock, Zwischen Pflicht und Verweigerung, 173 (1 February 1941); repeated on 14 June 1941 (ibid., 193).
-
-129 . Kershaw, Hitler, II. 331 - 7; Weinberg, A World at Arms, 198 - 205.
-
-130 . David M. Glantz, Barbarossa: Hitler’s Invasion of Russia 1941 (Stroud, 2001), 13 - 18.
-
-131 . Evan Mawdsley, Thunder in the East: The Nazi-Soviet War 1941-1945 (London, 2005), 19 - 20; Tooze, The Wages of Destruction, 429 - 36.
-
-132 . Anthony F. Upton, Finland 1939-40 (London, 1974); David Kirby, Finland in the Twentieth Century (London, 1979).
-
-133 . Förster, ‘Germany’s Acquisition’, 398 - 408; see also Mark Axworthy et al., Third Axis, Fourth Ally: Romanian Armed Forces in the European War, 1941 - 1945 (London, 1995); and Hillgruber, Hitler, König Carol und Marschall Antonescu, 126-34; more generally, idem, Hitlers Strategie, 484 - 501.
-
-134 . Dear (ed.), The Oxford Companion to World War II, 431-3; Förster, ‘Germany’s Acquisition’, 409 - 24.
-
-135 . Ibid., 421 - 8; Weinberg, A World at Arms, 274 - 8.
-
-136 . Quoted in Marshall Lee Miller, Bulgaria during the Second World War (Stanford, Calif., 1975), 1.
-
-137 . Hans-Jürgen Hoppe, Bulgarien - Hitlers eigenwilliger Verbündeter (Stuttgart, 1979); Miller, Bulgaria, 93 - 106; Richard Crampton, Bulgaria (Oxford, 2007), 248 - 65.
-
-138 . Quoted in Miller, Bulgaria, 76.
-
-139 . Klukowski, Diary, 158 (14 June 1941).
-
-140 . Tooze, The Wages of Destruction, 321; Heinrich Schwendemann, Die wirtschaftliche Zusammenarbeit zwischen dem Deutschen Reich und der Sowjetunion von 1939 bis 1941: Alternative zu Hitlers Ostprogramm? (Berlin, 1993), 373.
-
-141 . Weinberg, A World at Arms, 201 - 5; Roberts, Stalin’s Wars, 61 - 70.
-
-142 . Quoted in Robert Service, Stalin: A Biography (London, 2004), 407.
-
-143 . Ibid., 406-9; Gabriel Gorodetsky, Grand Delusion: Stalin and the German Invasion of Russia (London, 1999); Roberts, Stalin’s Wars, 70 - 81; Mawdsley, Thunder in the East, 32 - 41.
-
-144 . Glantz, Barbarossa, 28-32; for Soviet intelligence, see David M. Glantz, Stumbling Colossus: The Red Army on the Eve of War (Lawrence, Kans., 1998), 233 - 57.
-
-145 . Simon Sebag-Montefiore, Stalin: The Court of the Red Tsar (London, 2003), 317.
-
-146 . Kershaw, Hitler, II. 369 - 73, 378.
-
-147 . Quoted in Rainer F. Schmidt, ‘Der Hess-Flug und das Kabinett Churchill: Hitlers Stellvertreten im Kalkül der britischen Kriegsdiplomatie Mai - Juni 1941’, VfZ 42 (1994), 1 - 38, at 14 - 16.
-
-148 . Kershaw, Hitler, II. 369 - 81, effectively disposes of the numerous and often extremely bizarre conspiracy theories that were spun around Hess’s flight at the time and later. Neither the claim that Hitler would have sanctioned, let alone ordered, such a hare-brained escapade, nor the idea that either Hess or Hitler was encouraged to mount such a mission by an influential ‘peace party’ in the British government and secret service - to take two of the less fanciful theories - has any basis in reality.
-
-149 . Gerhard Engel, Heeresadjutant bei Hitler 1938 - 1943 (ed. Hildegard von Kotze, Stuttgart, 1974), 103 - 4.
-
-150 . Fröhlich (ed.), Die Tagebücher, I/IX. 309 (13 May 1941).
-
-151 . Quoted in Kershaw, Hitler, II. 939 n. 210.
-
-152 . Boberach (ed.), Meldungen, VII. 2,302 and 2,313 (15 and 19 May 1941).
-
-153 . Martin Broszat et al. (eds.), Bayern in der NS-Zeit (6 vols., Munich, 1977 - 83), I. 148 (‘Aus Monatsbericht des Landrats, 31. 5. 1941’).
-
-154 . Bock, Zwischen Pflicht und Verweigerung, 185 (10 - 12 May 1941).
-
-155 . Klemperer, I Shall Bear Witness, 368 (21 May 1941).
-
-156 . Walb, Ich, die Alte, 219 (15 May 1941).
-
-157 . Kershaw, Hitler, II. 166 - 7.
-
-158 . Quoted in Marie Vassiltchikov, The Berlin Diaries of Marie ‘Missie’ Vassiltchikov 1940-1945 (London, 1987 [1985]), 51-2; Hassell, The von Hassell Diaries, 196, 204, and Gerhardt B. Thamm, Boy Soldier: A German Teenager at the Nazi Twilight (Jefferson, N.C., 2000), 34.
-
-159 . Hugh R. Trevor-Roper, ‘The Mind of Adolf Hitler’, in Adolf Hitler, Hitler’s Table Talk 1941 - 1944 (Oxford, 1988 [1953]), vii - xxxv, at xii - xiii. 160. Hitler, Hitler’s Table Talk, 51 (10 October 1941).
-
-161 . Ibid., 38 (23 September 1941).
-
-162 . Ibid., 16 (27 July 1941).
-
-163 . Ibid., 24 (8/9 and 9/10 August 1941). For Hitler and Himmler’s concept of the Ukraine as an imperial fiefdom, equivalent to British India, see Wendy Lower, Nazi Empire-Building and the Holocaust in Ukraine (Chapel Hill, N.C., 2005), 98 - 128.
-
-164 . Hitler, Hitler’s Table Talk, 68 - 9 (17 October 1941).
-
-165 . Ibid., 61 (2 and ⅔ November 1941).
-
-166 . Ibid., 447 (27 April 1942).
-
-167 . Ibid., 578 (18 July 1942).
-
-168 . Ibid., 77 (17/18 October 1941).
-
-169 . Ibid., 69 (17 October 1941 and 22 July 1942).
-
-170 . Ibid., 62 (9 August 1942).
-
-171 . Longerich, Politik, 298; quote in Madajczyk, Die Okkupationspolitik, 92.
-
-172 . Alex J. Kay, ‘Germany’s Staatssekretäre, Mass Starvation and the Meeting of 2 May 1941’, Journal of Contemporary History, 41 (2006), 685-700; Tooze, The Wages of Destruction, 475 - 80.
-
-173 . Madajczyk et al. (eds.), Vom Generalplan Ost; Mechthild Rössler and Sabine Schleiermacher, Der ‘Generalplan Ost’: Hauptlinien der nationalsozialistischen Planungs- und Vernichtungspolitik (Berlin, 1993); Thomas Podranski, Deutsche Siedlungspolitik im Osten: Die verschiedenen Varianten des Generalplan Ost der SS (Berlin, 2001).
-
-174 . Evans, The Third Reich in Power, 419 - 28.
-
-175 . Tooze, The Wages of Destruction, 463 - 76.
-
-176 . Hitler, Hitler’s Table Talk, 8 (11/12 July 1941).
-
-177 . Ibid., 587 (22 July 1942).
-
-178 . Ibid., 624 (9 August 1942).
-
-179 . Halder, Kriegstagebuch, II. 317 - 20 (17 March 1941).
-
-180 . Ibid., 336 - 7 (30 March 1941).
-
-181 . Ibid.
-
-182 . Quoted in Longerich, Politik, 300-301; see also Hans-Adolf Jacobsen, ‘The Kommissarbefehl and Mass Executions of Soviet Russian Prisoners of War’, in Helmut Krausnick et al., Anatomy of the SS State (London, 1968 [1965]), 505 - 35 (full translation of the order of 6 June on 532 - 4).
-
-183 . See also Jürgen Förster, ‘Operation Barbarossa as a War of Conquest and Annihilation’, in GSWW IV. 481 - 521.
-
-184 . Jacobsen, ‘The Kommissarbefehl’, 505 - 35, at 517; Kershaw, Hitler, II. 353 - 60; Bodo Scheurig, Henning von Tresckow: Ein Preusse gegen Hitler (Frankfurt am Main, 1987), 113 - 14; Christian Gerlach, ‘Hitlergegner bei der Heeresgruppe Mitte und die “Verbrecherischen Befehle” ’, in Gerd R. Ueberschär (ed.), NS-Verbrechen und der militärische Widerstand gegen Hitler (Darmstadt, 2000), 62-76; Johannes Hürter, ‘Auf dem Weg zur Militäropposition: Tresckow, Gersdorff, der Vernichtungskrieg und der Judenmord: Neue Dokumente über das Verhältnis der Heeresgruppe Mitte zur Einsatzgruppe B im Jahr 1941’, VfZ 52 (2004), 527 - 62; Bock’s views can be found in Bock, Zwischen Pflicht und Verweigerung, 190 (4 June 1941).
-
-185 . Quoted in Förster, ‘Operation Barbarossa’, 485.
-
-186 . Quoted in ibid., 514.
-
-187 . Quoted in ibid., 520.
-
-188 . Friedländer, The Years of Extermination, 210-11; see also Ortwin Buchbender, Das tönende Erz: Deutsche Propaganda gegen die Rote Armee im Zweiten Weltkrieg (Stuttgart, 1978), and for the senior commanders’ attitude to the ‘criminal orders’, Hürter, Hitlers Heerführer, 247 - 65.
-
-189 . Longerich, Politik, 302 -10, convincingly dealing with the specifics of the controversy between Christopher Browning, Ordinary Men: Reserve Police Battalion 101 and the Final Solution in Poland (London, 1998 [1992]), and Daniel Jonah Goldhagen, Hitler’s Willing Executioners: Ordinary Germans and the Holocaust (London, 1996), though the general issues raised by Goldhagen rightly continue to be debated. For the background, see Helmut Fangmann et al., ‘Parteisoldaten’: Die Hamburger Polizei im ‘3. Reich’ (Hamburg, 1987); for indoctrination, see Jürgen Matthäus, ‘Ausbildungsziel Judenmord? Zum Stellenwert der “weltanschaulichen Erziehung” von SS und Polizei im Rahmen der “Endlösung” ’, Zeitschrift für Geschichtswissenschaft, 47 (1999), 677 - 99; and idem et al. (eds.), Ausbildungsziel Judenmord? ‘Weltanschauliche Erziehung’ von SS, Polizei und Waffen-SS im Rahmen der ‘Endlösung’ (Frankfurt am Main, 2003).
-
-190 . Quoted in Longerich, Politik, 315.
-
-191 . Ibid., 310-20, provides a very careful consideration of the evidence, concluding that the postwar trial statements of defendants such as the Task Force leader Ohlendorf that a general command was given to kill all Jews indiscriminately lack credibility because of their exculpatory intent. After being condemned to death, indeed, Ohlendorf changed his story and said there had been no such command. See in particular Ralf Ogorreck, Die Einsatzgruppen und die ‘Genesis der Endlösung’ (Berlin, 1996). For the contrary view, see Breitman, The Architect of Genocide, 145 - 206. For Jews in the Soviet apparatus, see Friedländer, The Years of Extermination, 247-51; more detail in Mordechai Altschuler, Soviet Jewry on the Eve of the Holocaust: A Social and Demographic Profile (Jerusalem, 1998).
-
-192 . Glantz, Barbarossa, 35.
-
-193 . Brief summaries in Weinberg, A World at Arms, 264-6; Glantz, Barbarossa, 35; and Kershaw, Hitler, II. 393-9. John Erickson, Stalin’s War with Germany, I: The Road to Stalingrad (London, 1975), remains the classic account, but has inevitably been overtaken by more recent research and particularly by Soviet documentation released since 1990. The same can be said of the even more detailed account in GSWW IV, in which the sections dealing with the Soviet Union are particularly outdated. The most recent narrative is Bellamy, Absolute War. See also the discussion of the senior generals’ conduct of the campaign in Hürter, Hitlers Heerführer, 279 - 302.
-
-194 . Hürter (ed.), Ein deutscher General, 68 (letter to his wife, 11 July 1941).
-
-195 . Karl Reddemann (ed.), Zwischen Front und Heimat: Der Briefwechsel des münsterischen Ehepaares Agnes und Albert Neuhaus 1940-1944 (Münster, 1996), 223 (to Agnes Neuhaus, 25 June 1941).
-
-196 . Konrad Elmshäuser and Jan Lokers (eds.), ‘Man muss hier nur hart sein’: Kriegsbriefe und Bilder einer Familie (1934-1945) (Bremen, 1999), 92 (Kalendereintrag Hans-Albert Giese, 22 June 1941).
-
-197 . Hürter (ed.), Ein deutscher General, 63 (letter to family, 24 June 1941).
-
-198 . Quoted in Merridale, Ivan’s War, 96-7 (also for the preceding details in this paragraph); Mawdsley, Thunder in the East, 59-69; Glantz, Barbarossa, 37-40. For the condition of the Red Army in 1941, see Glantz, Stumbling Colossus.
-
-199 . Merridale, Ivan’s War, 86 - 7.
-
-200 . Ibid., 99.
-
-201 . Ibid., 99 - 100, 116, 122 - 3 (translation slightly amended).
-
-202 . Hürter, Hitlers Heerführer, 393 - 404.
-
-203 . Reddemann (ed.), Zwischen Front und Heimat, 225 (to Agnes Neuhaus, 27 June 1941).
-
-204 . Rudolf Stützel, Feldpost: Briefe und Aufzeichnungen eines 17jährigen 1940-1945 (Hamburg, 2005), 41; more generally Hannes Heer (ed.), ‘Stets zu erschiessen sind Frauen, die in der Roten Armee dienen’: Geständnisse deutscher Kriegsgefangener über ihren Einsatz an der Ostfront (Hamburg, 1995), 7, and Hürter, Hitlers Heerführer, 359 - 76.
-
-205 . Klukowski, Diary, 173 (4 October 1941).
-
-206 . Ibid., 173 (5 October 1941).
-
-207 . Merridale, Ivan’s War, 123-5; Christian Streit, Keine Kameraden: Die Wehrmacht und die sowjetischen Kriegsgefangenen 1941 - 1945 (Stuttgart, 1978).
-
-208 . Quoted in ibid., 131; see also Hürter, Hitlers Heerführer, 377 - 93.
-
-209 . Hosenfeld, ‘Ich versuche’, 557 (letter to wife, 3 December 1941).
-
-210 . Streit, Keine Kameraden, 9.
-
-211 . Halder, Kriegstagebuch, III. 289 (14 November 1941); see more generally Vyacheslav M. Molotov et al., Soviet Government Statements on Nazi Atrocities (London, 1945), 183 - 8.
-
-212 . Streit, Keine Kameraden, 201 - 88.
-
-213 . Andreas Hilger, Deutsche Kriegsgefangene in der Sowjetunion, 1941-1956: Kriegsgefangenenpolitik, Lageralltag und Erinnerung (Essen, 2000), superseding earlier studies such as Kurt W. Böhme, Die deutschen Kriegsgefangenen in sowjetischer Hand: Eine Bilanz (Munich, 1966). For the statistics, see Hilger, Deutsche Kriegsgefangene, 137, 370, 389, 425; for political re-education, which was largely unsuccessful, 220 - 54.
-
-214 . Christian Streit, ‘The Fate of the Soviet Prisoners of War’, in Michael Berenbaum (ed.), A Mosaic of Victims: Non-Jews Persecuted and Murdered by the Nazis (London, 1990), 142-9; Alexander Dallin, German Rule in Russia 1941-1945: A Study of Occupation Policies (London, 1957), 409 - 27; Mawdsley, Thunder in the East, 102 - 5.
-
-215 . Bock, Zwischen Pflicht und Verweigerung, 298 (20 October 1941); see also ibid., 312-13 (9 November 1941), protesting that, ‘According to military custom and law, the army is responsible for the life and safety of its prisoners of war, of whatever kind.’
-
-216 . Hürter, Hitlers Heerführer, 377 - 93.
-
-217 . Mawdsley, Thunder in the East, 102 - 5.
-
-218 . Service, Stalin, 410 - 24; Merridale, Ivan’s War, 83; Sebag-Montefiore, Stalin, 330 - 33, also recording different versions of Stalin’s statement by various memoirists, all equally vulgar; the version quoted here is attested by both Molotov and Chadaev. On Stalin’s unpreparedness, see Roberts, Stalin’s Wars, 61-70. Roberts’s scepticism about Stalin’s loss of nerve falls down on chronology by failing to realize that it came at the end of June, not immediately after the invasion (89 - 95).
-
-219 . Hoffmann, Hitler’s Personal Security, 216-63; Kershaw, Hitler, II. 395-7; Fröhlich (ed.), Die Tagebücher II/I. 35 (9 July 1941).
-
-220 . Halder, Kriegstagebuch, III. 38 (3 July 1941).
-
-221 . Kershaw, Hitler, II. 405 - 7; Friedländer, The Years of Extermination, 199 - 200.
-
-222 . Quoted in Kershaw, Hitler, II. 405.
-
-223 . Ibid., 399 and 944 n. 40; Hitler, Hitler’s Table Talk, 17 September 1941; Fröhlich (ed.), Die Tagebücher II/I. 29 - 39 (9 July 1941).
-
-224 . Walb, Ich, die Alte, 225 (30 June 1941).
-
-225 . Broszat et al. (eds.), Bayern, I. 149 (‘Aus Monatsbericht der Gendarmerie-Station Heiligenstadt, 25. 6. 1941’ and ‘Aus Monatsbericht der Gendarmerie-Station Waischenfeld, 26. 6. 1941’).
-
-226 . Solmitz, Tagebücher, 662 (23 June 1941).
-
-227 . Jochen Klepper, Überwindung: Tagebücher und Aufzeichnungen aus dem Kriege (Stuttgart, 1958), 50 (22 June 1941).
-
-228 . Maschmann, Account Rendered, 91.
-
-229 . Broszat et al. (eds.), Bayern, I. 149-50 (‘Aus Monatsbericht der Gendarmerie-Station Ebermannstadt, 27. 6. 1941’).
-
-230 . Ibid., I. 152 (‘Aus Monatsbericht des Gendarmerie-Kreisführers, 29. 8. 1941’).
-
-231 . Merridale, Ivan’s War, 84 - 7; Sebag-Montefiore, Stalin, 332 - 4.
-
-232 . Merridale, Ivan’s War, 115 - 17.
-
-233 . Ibid., 114-16, also for the quotes; Roberts, Stalin’s Wars, 95-103; Soviet reserves discussed in Glantz, Barbarossa, 15.
-
-234 . Bock, Zwischen Pflicht und Verweigerung, 210 (6 July 1941).
-
-235 . Halder, Kriegstagebuch, III. 53 (8 July 1941).
-
-236 . Rolf-Dieter Müller, ‘The Failure of the Economic “Blitzkrieg Strategy” ’, in GSWW IV. 1,081 - 8, esp. 1, 141 - 72; graphic details in Anatoly Kuznetsov, Babi Yar: A Document in the Form of a Novel (London, 1970 [1966]), 149 - 52.
-
-237 . Hürter (ed.), Ein deutscher General, 63 (diary, 23 June 1941).
-
-238 . Ibid., 64 (Heinrici to family, 4 July 1941).
-
-239 . Meier-Welcker, Aufzeichnungen, 124 (31 July 1941), 129 (24 August 1941).
-
-240 . Quoted in Theo J. Schulte, The German Army and Nazi Policies in Occupied Russia (Oxford, 1989), 109.
-
-241 . Birgit Beck, Wehrmacht und sexuelle Gewalt: Sexualverbrechen vor deutschen Militärgerichten 1939 - 1945 (Paderborn, 2004), 105 - 16 (for military brothels), 326 - 8 (for trials for rape).
-
-242 . Nicholas, The Rape of Europa, 185-201; also Molotov et al., Soviet Government Statements, 198 - 209. For an analysis of mentions of theft and plunder in soldiers’ letters, see also Martin Humburg (ed.), Das Gesicht des Krieges: Feldpostbriefe von Wehrmachtssoldaten aus der Sowjetunion 1941 - 1944 (Opladen, 1998), 164 - 70. For treatment of civilians in general, see Hürter, Hitlers Heerführer, 465 - 508.
-
-243 . Elmshäuser and Lokers (eds.), ‘Man muss hier nur hart sein’, 93 (Hans-Albert Giese to Frieda Giese, 12 July 1941), and 102 (Hans-Albert Giese to Frieda Giese, 17 July 1941).
-
-244 . Hürter, Hitlers Heerführer, 442 - 9.
-
-245 . Ibid., 97 (23 October 1941).
-
-246 . Klaus Latzel, ‘Tourismus und Gewalt Kriegswahrnehmungen in Feldpostbriefen’, in Hannes Heer and Klaus Naumann (eds.), Vernichtungskrieg: Verbrechen der Wehrmacht 1941-1944 (Hamburg, 1995), 449-51. See also Dieter Reifarth and Viktoria Schmidt-Linsenhoff, ‘Die Kamera der Täter’, in ibid., 475 - 503, and Bernd Hüppauf, ‘Der entleerte Blick hinter der Kamera’, in ibid., 504 - 50.
-
-247 . Alois Scheuer, Briefe aus Russland: Feldpostbriefe des Gefreiten Alois Scheuer 1941- 1942 (St Ingbert, 2000), 31 (15 August 1941).
-
-248 . Reddemann (ed.), Zwischen Front und Heimat, 286 (to Agnes, 16 August 1941).
-
-249 . Ibid., 431 (to Agnes, 28 February 1942).
-
-250 . Ibid., 500.
-
-251 . See Hitler’s orders on the combating of partisans, in Hubatsch (ed.), Hitlers Weisungen, 201 - 9.
-
-252 . Hürter (ed.), Ein deutscher General, 62 (diary, 23 June 1941).
-
-253 . Ibid., 65 (letter to wife, 6 July 1941); more generally on the treatment of partisans, see idem, Hitlers Heerführer, 404 - 41.
-
-254 . Hürter (ed.), Ein deutscher General, 107 (7 November 1941).
-
-255 . Schulte, The German Army, 86 - 149.
-
-256 . Glantz, Barbarossa, 57 - 74.
-
-257 . Karel C. Berkhoff, Harvest of Despair: Life and Death in Ukraine under Nazi Rule (Cambridge, Mass., 2004), 15 - 17; Gross, Revolution from Abroad, 229.
-
-258 . Bock, Zwischen Pflicht und Verweigerung, 218 - 19 (15 July 1941), 229 (24 July 1941).
-
-259 . Horst Slesina, Soldaten gegen Tod und Teufel: Unser Kampf in der Sowjetunion: Eine soldatische Deutung (Düsseldorf, 1942), 164.
-
-260 . Scheuer, Briefe aus Russland, 30 (7 August 1941).
-
-261 . Hürter (ed.), Ein deutscher General, 69 (letter to wife, 20 July 1941). See also the vivid description of a Red Army counter-attack in Stützel, Feldpost, 54 - 6.
-
-262 . Rüdiger Overmans, Deutsche militärische Verluste im Zweiten Weltkrieg (Munich, 1999), 277 - 9; Hürter (ed.), Ein deutscher General, 177 n. 138.
-
-263 . Ibid., 70 (letter to wife, 22 July 1941).
-
-264 . Ibid., 72 (letter to wife, 3 August 1941), 76 (letter to wife, 23 August 1941).
-
-265 . Glantz, Barbarossa, 21 - 2, 75 - 84.
-
-266 . Halder, Kriegstagebuch, III. 117 (25 July 1941).
-
-267 . Ibid., III. 143 (2 August 1941).
-
-268 . Ibid., III. 170 (11 August 1941).
-
-269 . Ibid., III. 183 (17 August 1941) and 178 (15 August 1941).
-
-270 . Bock, Zwischen Pflicht und Verweigerung, 234 (29 July 1941), 236 (31 July 1941), 242 (7 August 1941).
-
-271 . Kleo Pleyer, Volk im Feld (Hamburg, 1943), 177.
-
-272 . Meier-Welcker, Aufzeichnungen, 168 (29 July 1942).
-
-273 . Glantz, Barbarossa, 21-2; Bock, Zwischen Pflicht und Verweigerung, 234 - 5.
-
-274 . Glantz, Barbarossa, 99 - 114 (quote on 114); Weinberg, A World at Arms, 268 - 78.
-
-275 . Bock, Zwischen Pflicht und Verweigerung, 255 (22 August 1941).
-
-276 . Ibid., 258 (25 August 1941).
-
-277 . Halder, Kriegstagebuch, III. 192 (22 August 1941).
-
-278 . Detailed account in Glantz, Barbarossa, 117-58; for Guderian’s ‘self-will’, see Bock, Zwischen Pflicht und Verweigerung, 269 - 70 (5 September 1941).
-
-279 . Ibid., 277 (15 September 1941).
-
-280 . Fröhlich (ed.), Die Tagebücher II/I. 471 - 6 (23 September 1941).
-
-281 . Bock, Zwischen Pflicht und Verweigerung, 272 (7 September 1941); see also Hürter (ed.), Ein deutscher General, 85 - 91 (Heinrici was transferred from the Kiev front to Army Group Centre on 17 September 1941).
-
-282 . Kershaw, Hitler, II. 430-38; Glantz, Barbarossa, 84-96 (the Smolensk counter-offensive).
-
-283 . Humburg, Das Gesicht, 170-71; good critical discussion in Hürter, Hitlers Heerführer, 302-10; more generally, see Jehuda L. Wallach, The Dogma of the Battle of Annihilation: The Theories of Clausewitz and Schieffen and their Impact on the German Conduct of Two World Wars (Westport, Conn., 1980), 265 - 81.
-
-284 . Sebag-Montefiore, Stalin, 351 - 54.
-
-285 . Ibid.
-
-286 . Bock, Zwischen Pflicht und Verweigerung, 295 (15 October 1941), 297 (19 October 1941).
-
-287 . Meier-Welcker, Aufzeichnungen, 130-31 (1 September 1941), 136-8 (7 November 1941); also Bock, Zwischen Pflicht und Verweigerung, 307 (31 October 1941).
-
-288 . Hürter (ed.), Ein deutscher General, 94 (letter to wife 16 October 1941).
-
-289 . Sebag-Montefiore, Stalin, 356; Weinberg, A World at Arms, 278-82; Mawdsley, Thunder in the East, 195 - 217.
-
-290 . Bock, Zwischen Pflicht und Verweigerung, 301 (25 October 1941).
-
-291 . Ibid., 317 (14 November 1941).
-
-292 . Meier-Welcker, Aufzeichnungen, 156 (27 January 1942), 158 (3 March 1942).
-
-293 . Hürter (ed.), Ein deutscher General, 108 (report to family, 19 November 1941).
-
-294 . Christoph Rass, ‘Das Sozialprofil von Kampfverbänden des deutschen Heeres 1939 bis 1945’, in Militärgeschichtliches Forschungsant (ed.), Das Deutsche Reich und der Zweite Weltkrieg (hereafter DRZW (10 vols., Stuttgart/Munich, 1979-2008), IX/I (Munich, 2004), 641 - 741, at 700.
-
-295 . Hürter (ed.), Ein deutscher General, 116 (4 December 1941), 124 (11 December 1941).
-
-296 . Bock, Zwischen Pflicht und Verweigerung, 342 (7 December 1941).
-
-297 . Hürter, Hitlers Heerführer, 310 - 24.
-
-298 . Scheuer, Briefe aus Russland, 51 (letter to wife, 30 November 1941).
-
-299 . Ibid., 56 (letter to wife, 25 December 1941).
-
-300 . Kershaw, Hitler, II. 450 - 57.
-
-301 . Meier-Welcker, Aufzeichnungen, 145 - 6 (26 December 1941).
-
-302 . Ibid..
-
-303 . Hürter (ed.), Ein deutscher General, 131 (letter to wife 22 December 1941); for the frequency of themes such as bad weather, dirt, hunger and disease in soldiers’ correspondence, see Humburg, Das Gesicht, 129 - 170.
-
-304 . Bock, Zwischen Pflicht und Verweigerung, 353-7 (16-22 December 1941); Hürter, Hitlers Heerführer, 310-28 (now superseding all previous accounts of the relations between Hitler and the senior generals in the crisis of December 1941 and January 1942).
-
-305 . Kershaw, Hitler, II. 451 - 5.
-
-306 . Reddemann (ed.), Zwischen Front und Heimat, 375 (to Agnes, 21 December 1941).
-
-307 . Hürter, Hitlers Heerführer, 325 - 6.
-
-308 . Weinberg, A World at Arms, argues repeatedly and convincingly, with many examples, that Hitler was always willing to entertain the idea of a tactical withdrawal. Once he had taken a decision, however, he was temperamentally inclined to try to enforce it as undeviatingly and uncompromisingly as possible.
-
-309 . Hürter (ed.), Ein deutscher General, 135 (letter to wife, 24 December 1941).
-
-310 . Ibid., 138 (letter to wife 11 January 1942).
-
-311 . Halder, Kriegstagebuch, III. 373 (3 January 1942).
-
-312 . Hürter, Hitlers Heerführer, 341 - 2.
-
-313 . Ibid., 328 - 32.
-
-314 . Ibid., 332.
-
-315 . Ibid., 333 - 7.
-
-316 . Hürter (ed.), Ein deutscher General, 140 - 59 (21 January to 25 April 1942).
-
-317 . Brief narrative in Earl Ziemke, ‘Moscow, Battle for’, in Dear (ed.), The Oxford Companion to World War II, 593-5; more detail in Earl F. Ziemke, Moscow to Stalingrad (Washington, D.C., 1968).
-
-318 . Glantz, Barbarossa, 161 - 204; Overmans, Deutsche militärische Verluste, 239, 266.
-
-319 . Ibid., 238-9. The figures given in Glantz, Barbarossa, 161, at more than twice this number, seem exaggerated.
-
-320 . Weinberg, A World at Arms, 264.
-
-
-
-Chapter 3. ‘ THE FINAL SOLUTION’
-
-1 . Ernst Klee et al. (eds.), ‘Those Were the Days’: The Holocaust as Seen by the Perpetrators and Bystanders (London, 1991 [1988]), 28 - 33.
-
-2 . Ibid., 28 - 31.
-
-3 . Friedländer, The Years of Extermination, 207, and in more detail, Alfred Streim, ‘Zur Eröffnung des allgemeinen Judenvernichtungsbefehls gegenüber den Einsatzgruppen’, in Eberhard Jäckel and Jürgen Rohwer (eds.), Der Mord an den Juden im Zweiten Weltkrieg: Entschlussbildung und Verwirklichung (Stuttgart, 1985), 108-19 and Peter Klein (ed.), Die Einsatzgruppen in der besetzten Sowjetunion 1941/42: Die Tätigkeits- und Lageberichte des Chefs des Sicherheitspolizei und des SD (Berlin, 1997).
-
-4 . Quoted in Longerich, Politik, 324-5, 333-4; Klee et al. (eds.), ‘Those Were the Days’, 24-7.
-
-5 . Björn Felder, Lettland im Zweiten Weltkrieg: Zwischen sowjetischen und deutschen Besatzern 1940 - 1946 (Paderborn, 2008).
-
-6 . Longerich, Politik, 325 - 6, 333 - 4.
-
-7 . Friedländer, The Years of Extermination, 219-25; Konrad Kwiet, ‘Rehearsing for Murder: The Beginning of the Final Solution in Lithuania in June 1941’, Holocaust and Genocide Studies, 12 (1998), 3-26; Jürgen Matthäus, ‘Jenseits der Grenze: Die ersten Massenerschiessungen von Juden in Litauen (Juni-August 1941)’, Zeitschrift für Geschichtswissenschaft , 44 (1996), 97-117; more generally Wolfgang Benz and Marion Neiss (eds.), Judenmord in Litauen: Studien und Dokumente (Berlin, 1999).
-
-8 . Reddemann (ed.), Zwischen Front und Heimat, 222 (to sister, 25 June 1941).
-
-9 . Quoted in Bernd Boll and Hans Safrian, ‘Auf dem Weg nach Stalingrad: Die 6. Armee 1941/42 in Heer and Naumann (eds.), Vernichtungskrieg, 260-96, at 271; also quoted in full in Longerich, Politik, 324 - 5.
-
-10 . The diary of one Jew who escaped because his Christian neighbours assured the rampaging soldiers that there were no Jews in the house is reprinted in Aryeh Klonicki and Malwina Klonicki, The Diary of Adam’s Father: The Diary of Aryeh Klonicki (Klonymus) and His Wife Malvina (Jerusalem, 1973).
-
-11 . Quoted in Longerich, Politik, 333, 352-7, 392; account of the movements and killing actions of Task Force A in ibid., 390-94, and Krausnick, Hitlers Einsatzgruppen, 151-6.
-
-12 . Browning, The Origins, 255 - 7.
-
-13 . Longerich, Politik, 334-7; the progress of Task Force B is documented in Krausnick, Hitlers Einsatzgruppen, 156 - 62.
-
-14 . Ben-Cion Pinchuk, Shtetl Jews under Soviet Rule: Eastern Poland on the Eve of the Holocaust (Oxford, 1990), 117-200.
-
-15 . Pleyer, Volk im Feld, 169, 184.
-
-16 . Longerich, Politik, 352 - 6.
-
-17 . Quoted in ibid., 358. See also Andrej Angrick and Dieter Pohl, Einsatzgruppen C and D in the Invasion of the Soviet Union, 1941-1942 (London, 1999); Klein (ed.), Die Einsatzgruppen. English versions of the reports in Yitzhak Arad et al. (eds.), The Einsatzgruppen Reports: Selections from the Dispatches of the Nazi Death Squads’ Campaign against the Jews, July 1941-January 1943 (New York, 1989) (translations not always reliable); and Ogorreck, Die Einsatzgruppen.
-
-18 . For this event, see Evans, The Third Reich in Power, 621-3.
-
-19 . Longerich, Politik, 337 - 8.
-
-20 . Musial, ‘Konterrevolutionäre Elemente’, 262-9.
-
-21 . Ibid., 200-248; see also Manoschek (ed.), ‘Es gibt nur eines’, 31 (Gefr. F. B., 3 July 1941), and 51 (Lt. K., 13 February 1942).
-
-22 . Klee et al. (eds.), ‘Those Were the Days’, 88 - 91.
-
-23 . Ibid., 91 (5 July 1941).
-
-24 . Ibid., 91 (5 July 1941); Musial, ‘Konterrevolutionäre Elemente’, 175-99, also for the involvement of German soldiers in the pogroms and massacres in Lemberg and elsewhere, and for the events in Boryslaw; see also Manoschek (ed.), ‘Es gibt nur eines’, 33 (letter of 6 July 1941).
-
-25 . Berkhoff, Harvest of Despair, 205 - 31; Longerich, Politik, 337 - 43.
-
-26 . Ibid., 343.
-
-27 . For Task Force C’s movements, see Krausnick, Hitlers Einsatzgruppen, 162 - 9.
-
-28 . Klee et al. (eds.), ‘Those Were the Days’, 96 (12 July 1941).
-
-29 . Ibid., 97 (12 July 1941).
-
-30 . Ibid., 101 (22 July 1941), 105 (2 August 1941); also in Longerich, Politik, 338 - 9.
-
-31 . Klee et al. (eds.), ‘Those Were the Days’, 297-9; Friedlander, The Years of Extermination , 246 - 7.
-
-32 . Quoted in Latzel, ‘Tourismus und Gewalt’, 449 - 51. There is now a considerable literature on the value, or otherwise, of field-post letters as an historical source. See for example Humburg, Das Gesicht, 257 - 68.
-
-33 . Quoted in Hürter, Hitlers Heerführer, 443.
-
-34 . Hürter (ed.), Ein deutscher General, 67 (11 July 1941).
-
-35 . Longerich, Politik, 362.
-
-36 . Quoted in Kershaw, Hitler, II. 405; Browning, The Origins, 274, 310; Friedländer, The Years of Extermination, 200; Longerich, Politik, 362 - 6.
-
-37 . Fritz Baade et al. (eds.), ‘Unsere Ehre heisst Treue’: Kriegstagebuch des Kommandostabes Reichsführer-SS, Tätigkeitsberichte der 1. und 2. 33-Infanterie-Brigade, der 1. SS-Kav. Brigade und von Sonderkommandos der SS (Vienna, 1965), 212.
-
-38 . Ibid., 96.
-
-39 . Ibid., 220 (Bericht ‘Pripjet-Aktion’).
-
-40 . Quoted in Klee et al. (eds.), ‘Those Were the Days’, 66 - 7.
-
-41 . Ibid., 67; Berkhoff, Harvest of Despair, 65 - 9.
-
-42 . Peter Longerich, Der ungeschriebene Befehl: Hitler und der Weg zur ‘Endlösung’ (Munich, 2001), 106 - 7.
-
-43 . Klee et al. (eds.), ‘Those Were the Days’, 75 - 86.
-
-44 . Brief account in Friedländer, The Years of Extermination, 282; more detail in Dieter Pohl, ‘Hans Krüger and the Murder of the Jews in the Stanislawo’w Region (Galicia)’, Yad Vashem Studies, 26 (1998), 257-64; idem, Nationalsozialistische Judenverfolgung in Ostgalizien 1941-1944: Organisation und Durchführung eines staatlichen Massenverbrechens (Munich, 1996) esp. 144- 7; Thomas Sandkühler, ‘Endlösung’ in Galizien: Der Judenmord in Ostpolen und die Rettungsinitiativen von Berthold Beitz, 1941 - 1944 (Bonn, 1996) esp. 150; and Browning, The Origins, 348 - 50.
-
-45 . Bernd Boll, ‘Zloczo’w, Juli 1941: Die Wehrmacht und der Beginn des Holocaust in Galizien’, Zeitschrift für Geschichtswissenschaft, 50 (2002), 899 - 917.
-
-46 . Friedländer, The Years of Extermination, 215-19, documents in Klee et al. (eds.), ‘Those Were the Days’, 137 - 54.
-
-47 . Quoted in ibid., 151; Groscurth, Tagebücher, 534 - 42.
-
-48 . Deletant, Hitler’s Forgotten Ally, 127 - 30; more generally, Andrej Angrick, ‘The Escalation of German-Rumanian Anti-Jewish Policy after the Attack on the Soviet Union’, Yad Vashem Studies, 26 (1998), 203 - 38.
-
-49 . Deletant, Hitler’s Forgotten Ally, 102-28 (quote at 116), convincingly countering the less hostile (though in many respects valuable) account by Larry Watts, Romanian Cassandra: Ion Antonescu and the Struggle for Reform, 1916-1941 (Boulder, Colo., 1993).
-
-50 . Kurt Erichson (ed.), Abschied ist immer: Briefe an den Bruder im Zweiten Weltkrieg (Frankfurt am Main, 1994), 25 (letter to brother, 17 July 1941).
-
-51 . See Jean Ancel, Transnistria (3 vols., Bucharest, 1998).
-
-52 . Deletant, Hitler’s Forgotten Ally, 197.
-
-53 . Ibid., 171-3, with accurate details and figures based on Romanian and German documents (other accounts seem to involve an element of double-counting); more generally, see Alexander Dallin, Odessa, 1941 - 1944: A Case Study of Soviet Territory under Foreign Rule (Ias¸i, 1998 [1957]) esp. 74 - 5.
-
-54 . Deletant, Hitler’s Forgotten Ally, 173 - 9.
-
-55 . Ibid., 179-87; Paul A. Shapiro, ‘The Jews of Chisinau (Kishinev): Romanian Reoccupation, Ghettoization, Deportation’, in Randolph L. Braham (ed.), The Destruction of Romanian and Ukrainian Jews during the Antonescu Era (New York, 1997), 135-94; Dennis Deletant, ‘Ghetto Experience in Golta, Transnistria, 1942-1944’, Holocaust and Genocide Studies, 18 (2004), 1-26; and Dalia Ofer, ‘Life in the Ghettos of Transnistria’, Yad Vashem Studies, 25 (1996), 229-74.
-
-56 . Jean Ancel, ‘The Romanian Way of Solving the “Jewish Problem” in Bessarabia and Bukovina: June-July 1941’, Yad Vashem Studies, 19 (1988), 187-232; idem, ‘The “Christian” Regimes of Romania and the Jews, 1940-1942’, Holocaust and Genocide Studies, 7 (1993), 14-29; Braham (ed.), The Destruction of Romanian and Ukrainian Jews; the fullest and most accurate account, convincingly stressing the racist character of these mass murders, is now in Deletant, Hitler’s Forgotten Ally, 130-49 (quote on 141).
-
-57 Friedl̈nder, The Years of Extermination, 225, citing the International Commission on the Holocaust in Romania’s Final Report of the International Commission on the Holocaust in Romania, presented to Romanian President Ion Iliescu, 11 November 2004; Deletant, Hitler’s Forgotten Ally, 166-71.
-
-58 Andrej Angrick, Besatzungspolitik und Massenmord: Die Einsatzgruppe D in der s̈dlichen Sowjetunion 1941-1943 (Hamburg, 2003), 174; Radu Ioanid, The Holocaust in Romania: The Destruction of Jews and Gypsies under the Antonescu Regime, 1940-1944 (Chicago, 2000), 62-4.
-
-59 . Cited in Longerich, Politik, 388.
-
-60 Ibid., 388-9; Breitman, The Architect of Genocide, 213-14.
-
-61 . For a detailed itinerary, see Krausnick, Hitlers Einsatzgruppen, 169-78; details in Longerich, Politik, 386-90; and Angrick, Besatzungspolitik und Massenmord.
-
-62 . Krausnick, Hitlers Einsatzgruppen, 118; Dear (ed.), The Oxford Companion to World War II, 1,011-16; Browning, The Origins, 334-5.
-
-63 . Walter Manoschek, ‘Die Vernichtung der Juden in Serbien’, in Ulrich Herbert (ed.), Nationalsozialistische Vernichtungspolitik 1939-1945: Neue Forschungen und Kontroversen (Frankfurt am Main, 1998), 209-34, at 209-12.
-
-64 . Quoted in Paul Hehn, The German Struggle against Yugoslav Guerillas in World War II: German Counter-Insurgency in Yugoslavia 1941-1943 (New York, 1979), 28-9; Manoschek, ‘Die Vernichtung’, 214-15, 220.
-
-65 Quoted in Ibid., 216-17.
-
-66 Quoted in Manoschek (ed.), ‘Es gibt nur eines’, 39 (Lt. P. G., 29 July 1941).
-
-67 . Quoted in Manoschek, ‘Die Vernichtung’, 216.
-
-68 Fr̈hlich (ed.), Die Tageb̈cher, II/I. 478 (24 September 1941).
-
-69 . Quoted in Browning, The Origins, 338.
-
-70 Longerich, Politik, 458-9; quotation in Manoschek, ‘Die Vernichtung’, 222.
-
-71 . Quoted in ibid., 227; for the Gypsies, see ibid., 233, and especially Karola Fings et al., ‘. . . einziges Land, in dem Judenfrage und Zigeunerfrage gel̈st’: Die Verfolgung der Roma im faschistisch besetzten Jugoslawien 1941-1945 (Cologne, n.d.).
-
-72 . Quoted in Glenny, The Balkans, 503.
-
-73 . Browning, The Origins, 341.
-
-74 . Quoted in Walter Manoschek, ‘ “Gehst mit Juden erschiessen?” Die Vernichtung der Juden in Serbien’, in Heer and Naumann (eds.), Vernichtungskrieg, 39-56, at 46.
-
-75 Walter Manoschek, ‘Serbien ist judenfrei’: Miliẗrische Besatzungspolitik und Judenvernichtung in Serbien 1941/42 (Munich, 1993), 155-8.
-
-76 . Manfred Messerschmidt, ‘Partisanenkrieg auf dem Balkan, Ziele, Methoden, “Rechtfertigung” ’, in Loukia Droulia and Hagen Fleischer (eds.), Von Lidice bis Kalavryta: Widerstand und Besatzungsterror: Studien zur Repressalienpraxis im Zweiten Weltkrieg (Berlin, 1999), 65-91; Walter Manoschek, ‘Krajevo - Kragujevac - Kalavryta: Die Massaker der 717. Infanteriedivision bzw. 117. J̈gerdivision am Balnak’, in ibid., 93-104; idem, ‘Partisanenkrieg und Genozid: Die Wehrmacht in Serbien 1941’, in idem (ed.), Die Wehrmacht im Rassenkrieg: Der Vernichtungskrieg hinter der Front (Vienna, 1996), 142-67.
-
-77 . Longerich, Politik, 405-10; Hannes Heer, ‘Killing Fields: Die Wehrmacht und der Holocaust’, in idem and Naumann (eds.), Vernichtungskrieg, 57-77.
-
-78 . Longerich, Politik, 418.
-
-79 Browning, The Origins, 309-11.
-
-80 Longerich, Der ungeschriebene Befehl, 107-11.
-
-81 Werner Jochmann (ed.), Monologe im F̈hrerhauptquartier 1941-44: Die Aufzeichnungen Heinrich Heims (Hamburg, 1980), 106-8; see also Longerich, Der ungeschriebene Befehl, 114-15.
-
-82 . Browning, The Origins, 312; Longerich, Der ungeschriebene Befehl, 112.
-
-83 . Ibid., 112.
-
-84 Weinberg, A World at Arms, 153-61; Saul Friedl̈nder, Prelude to Downfall: Hitler and the United States, 1939-1941 (London, 1967); David Reynolds, From Munich to Pearl Harbor: Roosevelt’s America and the Origins of the Second World War (Chicago, 2001); idem, The Creation of the Anglo-American Alliance, 1937-1941: A Study in Competitive Co-operation (London, 1981).
-
-85 Friedl̈nder, The Years of Extermination, 201; Tooze, The Wages of Destruction, 406-7.
-
-86 . Weinberg, A World at Arms, 243-5.
-
-87 . Ibid., 245-63.
-
-88 . Domarus (ed.), Hitler, IV. 1,731. For details on the lack of Jewish influence on American policy at this time, see Herf, The Jewish Enemy, 79-82.
-
-89 . Ibid., 84-5.
-
-90 . Ibid., 98-104.
-
-91 . Fr̈hlich (ed.), Die Tageb̈cher, II/I. 32-5 (9 July 1941; the first dictated entry).
-
-92 . Herf, The Jewish Enemy, 105.
-
-93 . Ibid., 106-7, 281-3 (I have slightly adjusted Herf’s figures since some of the headlines he cites do not mention Jews).
-
-94 . Ibid., 28-31.
-
-95 . A. N., 23 June 1941, quoted in Manoschek (ed.), ‘Es gibt nur eines’, 28.
-
-96 . Herf, The Jewish Enemy, 282.
-
-97 . Ibid., illustration, between 166 and 167.
-
-98 . Quoted in ibid., 113.
-
-99 . Friedl̈nder, The Years of Extermination, 202-7; Wolfgang Benz, ‘Judenvernichtung aus Notwehr? Die Legenden um Theodore N. Kaufman’, VfZ 29 (1981), 615-30; more generally, Philipp Gassert, Amerika im Dritten Reich: Ideologie, Propaganda und Volksmeinung 1933-1941 (Stuttgart, 1997) esp. ch. 7, and Bianka Pietrow-Ennker, ‘Die Sowjetunion in der Propaganda des Dritten Reiches: Das Beispiel der Wochenschau’, Miliẗrgeschichtliche Mitteilungen, 46 (1989), 79-120.
-
-100 . Cited in Herf, The Jewish Enemy, 108; for The Reich, see ibid., 20-21.
-
-101 . Longerich, Politik, 421-3 and 696 nn. 3, 5, 8; good discussion in Friedl̈nder, The Years of Extermination, 78-9 n. 160.
-
-102 Kershaw, Hitler, II. 410-12.
-
-103 Fr̈hlich (ed.), Die Tageb̈cher, II/I. 269 (19 August 1941); see also Longerich, Der ungeschriebene Befehl, 113 - 14.
-
-104 . See in particular Gerhard Botz, Wohnungspolitik und Judendeportation in Wien 1938 bis 1945: Zur Funktion des Antisemitismus als Ersatz nationalsozialistischer Sozialpolitik (Vienna, 1975) 57-65.
-
-105 Friedl̈nder, The Years of Extermination, 238-9.
-
-106 . Longerich and Pohl, Ermordung, 157; see also idem, Der ungeschriebene Befehl, 114, and more generally, Politik, 421-34 (among other things, emphasizing the intensification of antisemitic propaganda at this time).
-
-107 Longerich, Der ungeschriebene Befehl, 115. The argument of Friedl̈nder, The Years of Extermination, 264, that Stalin would not have been impressed is beside the point; the point was to impress the German population at home.
-
-108 Fr̈hlich (ed.), Die Tageb̈cher, II/I. 480-81 (24 September 1941); see also Longerich, Der ungeschriebene Befehl, 116-17.
-
-109 Fr̈hlich (ed.), Die Tageb̈cher, II/I. 481 (24 September 1941).
-
-110 Longerich, Der ungeschriebene Befehl, 115-17.
-
-111 Klemperer, I Shall Bear Witness, 374-98 (23 June-1 July 1941).
-
-112 . Klemperer, To the Bitter End, 37 (12 April 1942).
-
-113 Ibid., 33 (31 March 1942), 37 (18 April 1942), 41-2 (23 and 26 April 1942).
-
-114 . Ibid., 65 (6 June 1942).
-
-115 Friedl̈nder, The Years of Extermination, 228.
-
-116 . Klemperer, I Shall Bear Witness, 414-15 (18, 19 and 20 September 1941), also 424 (9 November 1941).
-
-117 . Ibid., 422 (31 October 1941).
-
-118 . Klemperer, To the Bitter End, 11 (6 February 1942).
-
-119 Ibid., 62-3 (2 June 1942).
-
-120 Friedl̈nder, The Years of Extermination, 289.
-
-121 . Ibid., 368.
-
-122 Klemperer, To the Bitter End, 50-53 (18-19 May 1942).
-
-123 Longerich, Politik, 446-8.
-
-124 . Longerich, Der ungeschriebene Befehl, 121.
-
-125 Friedl̈nder, The Years of Extermination, 255-6.
-
-126 Wolf Gruner, Judenverfolgung in Berlin 1933-1945: Eine Chronologie der Beḧrdenmassnahmen in der Reichshauptstadt (Berlin, 1996), 84.
-
-127 Friedl̈nder, The Years of Extermination, 266-7, gives slightly varying figures; see also Longerich, Der ungeschriebene Befehl, 117-18. For the mechanics of deportation, and numerous stories of individual deportees, see the extraordinary study by Hans Georg Adler, Der verwaltete Mensch: Studien zur Deportation der Juden aus Deutschland (T̈bingen, 1974).
-
-128 Fr̈hlich (ed.), Die Tageb̈cher, II/II.340-41 (22 November 1941).
-
-129 . See Stadtarchiv München (ed.), ‘. . . verzogen, unbekannt wohin’: Die erste Deportation von M̈nchner Juden im November 1941 (Zurich, 2000); Dina Porat, ‘The Legend of the Struggle of Jews from the Third Reich in the Ninth Fort Near Kovno, 1941-1942’, Tel Aviver Jahrbuch f̈r deutsche Geschichte, 20 (1991), 363-92.
-
-130 . Klemperer, To the Bitter End, 6 (1 January 1942).
-
-131 . Ibid., 13 (15 February 1942).
-
-132 . Ibid., 17 (21 February-6 March 1942).
-
-133 Ibid., 25-7 (9-16 March 1942).
-
-134 Ibid., 54-6 (23 May 1942).
-
-135 . Ibid., 81 (24 June 1942) (italics in original).
-
-136 . Ibid., 58 (27 May 1942).
-
-137 . Solmitz, Tagebuch, 652, 655, 679 (22 May 1941, 3 June 1941, 13 September 1941).
-
-138 See the general discussion in Friedl̈nder, The Years of Extermination, 263-7.
-
-139 . Quoted in Longerich, Der ungeschriebene Befehl, 119.
-
-140 . Quoted in ibid., 118.
-
-141 Hillgruber (ed.), Staatsm̈nner und Diplomaten, I. 664.
-
-142 Fr̈hlich (ed.), Die Tageb̈cher II/II. 222 (2 November 1941).
-
-143 . Avraham Tory, Surviving the Holocaust: The Kovno Ghetto Diary (Cambridge, 1990).
-
-144 Ibid., 43-60; and Corni, Hitler’s Ghettos, 35.
-
-145 Ibid., 31-7.
-
-146 . Thus the persuasive argument of Pohl, Von der ‘Judenpolitik’ zum Judenmord, 179; for a survey of the endless debate over the exact dating of a supposed order, see Christopher R. Browning, ‘The Decision-Making Process’, in Dan Stone (ed.), The Historiography of the Holocaust (London, 2004), 173-96.
-
-147 . Quoted in Longerich, Der ungeschriebene Befehl, 23-4.
-
-148 . Christian Gerlach, Kalkulierte Morde: Die deutsche Wirtschafts- und Vernichtungspolitik in Weissrussland 1941 bis 1944 (Hamburg, 1999), esp. 683-743, and 1,131-6; for the mentally ill and handicapped, see ibid., 1,067-74.
-
-149 . Herf, The Jewish Enemy, 124-7. The speech was subsequently published as a pamphlet, The Iron Heart.
-
-150 . Quoted in Longerich, Der ungeschriebene Befehl, 139; see also J̈rgen Hagemann, Die Presselenkung im Dritten Reich (Bonn, 1970), 125, 146 n. 67.
-
-151 Dieter Pohl, ‘Schauplatz Ukraine: Der Massenmord an den Juden im Miliẗrverwaltungsgebiet und im Reichskommissariat 1941-1945’, in Norbert Frei et al. (eds.), Ausbeutung, Vernichtung, ̈ffentlichkeit: Neue Studien zur nationalsozialistischen Lagerpolitik (Munich, 2000), 135-73. See also Martin Dean, Collaboration in the Holocaust: Crimes of the Local Police in Belorussia and the Ukraine, 1941-44 (New York, 2000); and Shmuel Spector, The Holocaust of Volhynian Jews: 1941-1944 (Jerusalem, 1990).
-
-152 Rudolf Ḧss, Commandant of Auschwitz: The Autobiography of Rudolf Ḧss (London, 1959 [1951]), 165.
-
-153 . Klee et al. (eds.), ‘Those Were the Days’, 68.
-
-154 Longerich, Der ungeschriebene Befehl, 122-3.
-
-155 . Quoted in Klee et al. (eds.), ‘Those Were the Days’, 69.
-
-156 . Yitzhak Arad, Belzec, Sobibor, Treblinka: The Operation Reinhard Death Camps (Bloomington, Ind., 1999 [1987]), 10-11; Longerich, Der ungeschriebene Befehl, 123; idem, Politik, 441-2; further details in Beer, ‘Die Entwicklung der Gaswagen’; killings of mental patients enumerated in Longerich, Politik, 403-4.
-
-157 . Peter Witte et al. (eds.), Der Dienstkalender Heinrich Himmlers 1941/42 (Hamburg, 1999), 233-4 (13 October 1941 and note 35). Plans were also drawn up for the construction of killing centres in Riga and Mogilev, though they were never actually built.
-
-158 Longerich, Der ungeschriebene Befehl, 122-3.
-
-159 Friedl̈nder, The Years of Extermination, 314-18; Grojanowski managed to escape, and told his story to Ringelblum in Warsaw, where he arrived in January 1942. See also Gilbert, The Holocaust, 502.
-
-160 . Longerich, Der ungeschriebene Befehl, 123; idem, Politik, 443.
-
-161 Quoted in Klee et al. (eds.), ‘Those Were the Days’, 72-4.
-
-162 . Manoschek, ‘Die Vernichtung’, 228-34; also Menachem Schelach, ‘Sajmiste - an Extermination Camp in Serbia’, Holocaust and Genocide Studies, 2 (1987), 243-60; further details in Glenny, The Balkans, 504-6, and Browning, The Origins, 344-6, 421-3.
-
-163 . Mark Roseman, The Wannsee Conference and the Final Solution: A Reconsideration (New York, 2002), 81; Friedl̈nder, The Years of Extermination, 728-31 n. 193.
-
-164 . Christian Gerlach, ‘Die Wannsee-Konferenz, das Schicksal der deutschen Juden und Hitlers politische Grundsatzentscheidung, alle Juden Europas zu ermorden’, Werkstatt Geschichte, 18 (1997), 7-44; Roseman, The Wannsee Conference, 86.
-
-165 . Ibid., 86.
-
-166 . Fr̈hlich (ed.), Die Tageb̈cher, II/II. 498-9 (13 December 1941); see also Longerich, Der ungeschriebene Befehl, 138.
-
-167 . Cited in ibid., 139.
-
-168 . Ibid., 140-42.
-
-169 . Pr̈g and Jacobmeyer (eds.), Das Diensttagebuch, 457 (16 December 1941).
-
-170 . Ibid., 458.
-
-171 . Longerich, Der ungeschriebene Befehl, 133; idem, Politik, 461-5; Richard J. Evans, Telling Lies About Hitler: The Holocaust, History and the David Irving Trial (London, 2002), 84-8.
-
-172 Longerich, Der ungeschriebene Befehl, 122-37.
-
-173 . Witte et al. (eds.), Der Dienstkalender, 294.
-
-174 Cited in Longerich, Der ungeschriebene Befehl, 169-70.
-
-175 Longerich, Politik, 447-8, stresses the existence by October 1941 of the intention but not a plan to exterminate the Jews of Europe; more generally, on the mass killings in the Wartheland and Lublin district see ibid., 450-58.
-
-176 . Roseman, The Wannsee Conference, 157-62, reprinting the original minutes of the meeting, usually known as ‘The Wannsee Protocol’. Eberhard J̈ckel, ‘On the Purpose of the Wannsee Conference’, in James S. Pacy and Alan P. Wertheimer (eds.), Perspectives on the Holocaust: Essays in Honor of Raul Hilberg (Boulder, Colo., 1995), 39-49, argues that the purpose of the meeting was to convince the participants that Hitler had personally commissioned Heydrich to carry out the genocide, a hypothesis for which there is no convincing evidence.
-
-177 . Roseman, The Wannsee Conference, 163-4.
-
-178 . Roseman, The Wannsee Conference, 165-72. For the details of the discussions and decisions on ‘mixed-race’ people, see Beate Meyer, ‘J̈dische Mischlinge’: Rassenpolitik und Verfolgungserfahrung 1933-1945 (Hamburg, 1999), 99-101; and Peter Longerich and Dieter Pohl (eds.), Die Ermordung der europ̈ischen Juden: Eine umfassende Dokumentation des Holocaust 1941-1945 (Munich, 1989), 167-9.
-
-179 . Tooze, The Wages of Destruction, 476.
-
-180 . Roseman, The Wannsee Conference, 136-40.
-
-181 . Longerich, Politik, 476-82; Tooze, The Wages of Destruction, 531-3.
-
-182 . Eichmann trial, 26 June 1961, 24 July 1961, quoted in Roseman, The Wannsee Conference, 144. For the view that the reference to road construction schemes was metaphorical, standing for slave labour of all kinds, see Friedl̈nder, The Years of Extermination , 342.
-
-183 Roseman, The Wannsee Conference, 136-40.
-
-184 Ibid., 144-5, 148.
-
-185 Ibid., 149-50.
-
-186 . Longerich, Der ungeschriebene Befehl, 143 - 8.
-
-187 Domarus (ed.), Hitler, IV. 1,828-9 (30 January 1942).
-
-188 Jochmann (ed.), Adolf Hitler, 227-9.
-
-189 Longerich, Der ungeschriebene Befehl, 138-42.
-
-190 Fr̈hlich (ed.), Die Tageb̈cher, II/III. 320-21 (15 February 1942).
-
-191 . Ibid. II/III. 561 (27 March 1942).
-
-192 . Ibid.
-
-193 . Domarus (ed.), Hitler, IV. 1,869.
-
-194 Fr̈hlich (ed.), Die Tageb̈cher, II/IV. 184 (27 April 1942). For the so-called ‘Schlegelberger Note’, an undated memorandum reporting Hitler’s repeated insistence to Lammers that the Jewish problem would only be solved after the war, see Evans, Telling Lies, 89-94. If, as the document’s place in the file suggests, the memorandum dated from the spring of 1942, then it either referred to the specific problem of ‘mixed-race’ people and ‘half-Jews’ or it expressed Hitler’s belief that the completion of the ‘final solution’ would only occur after the end of the war, an event which at this time was still expected within the year.
-
-195 . Quoted in Herf, The Jewish Enemy, 155.
-
-196 Fr̈hlich (ed.), Die Tageb̈cher, II/IV. 350 (24 May 1942).
-
-197 . Ibid., 355.
-
-198 . Ibid., 406 (30 May 1942).
-
-199 Roseman, The Wannsee Conference, 152-5.
-
-200 . Quoted in Berenstein et al. (eds.), Faschismus, 296; cf. also Evans, Telling Lies, 96.
-
-201 . Wolf Gruner, Widerstand in der Rosenstrasse: Die Fabrik-Aktion und die Verfolgung der Mischehen 1943 (Frankfurt am Main, 2005); idem, ‘Die Fabrik-Aktion und die Ereignisse in der Berliner Rosenstrasse: Fakten und Fiktionen um den 27. Februar 1943’, Jahrbuch f̈r Antisemitismusforschung, 11 (2002), 137-77. For the legend in its classical version, see Nathan Stoltzfus, Resistance of the Heart: Intermarriage and the Rosenstrasse Protest in Nazi Germany (New York, 1996), 209-58 (relying heavily on oral history interviews).
-
-202 Jochen Klepper, Unter dem Schatten deiner Fl̈gel: Aus den Tageb̈chern der Jahre 1932-1942 (Stuttgart, 1955), 798 (3 September 1939); idem, Briefwechsel 1925-1942 (ed. Ernst G. Riemschneider, Stuttgart, 1973), 227-30 (exchange of letters with Frick).
-
-203 . Quoted in Klepper, Unter dem Schatten, 1,130 (8 December 1942).
-
-204 Ibid., 1,130-31 (8 December 1942).
-
-205 . Ibid., 1,133 (10 December 1942).
-
-206 . Christian Goeschel, ‘Suicide in Weimar and Nazi Germany’ (Ph.D. dissertation, University of Cambridge, 2006), 135-59.
-
-207 Longerich, Der ungeschriebene Befehl, 151-2.
-
-208 Ibid., 149-6, 170-73. For a list of the deportations, see idem, Politik, 483-93.
-
-209 Ḧhne, The Order of the Death’s Head, 455-6; Detlev Brandes, Die Tschechen unter deutschem Protektorat, I: Besatzungspolitik, Kollaboration und Widerstand im Protektorat B̈hmen und M̈hren bis Heydrichs Tod, 1939-1942 (Munich, 1969); Miroslav K’rny, ‘ “Heydrichiaden”: Widerstand und Terror im Protektorat B̈hmen und M̈hren’, in Droulia and Fleischer (eds.), Von Lidice bis Kalavryta, 51-63.
-
-210 Charles Whiting, Heydrich: Henchman of Death (London, 1999), 141-7.
-
-211 Ḧhne, The Order of the Death’s Head, 455-7; Kershaw, Hitler, II. 518-19; still useful for details: Charles Wighton, Heydrich: Hitler’s Most Evil Henchman (London, 1962), 270-76; recent account using testimony of the surgeons in Mario R. Dederichs, Heydrich: Das Gesicht des B̈sen (Munich, 2005), 185-212.
-
-212 Cited in G̈nther Deschner, ‘Reinhard Heydrich: Security Technocrat’, in Ronald Smelser and Rainer Zitelmann (eds.), The Nazi Elite (London, 1993 [1989]), 85-97, at 87; idem, Reinhard Heydrich - Statthalter der totalen Macht (Munich, 1978).
-
-213 . Hitler, Hitler’s Table Talk, 4 June 1942.
-
-214 Ḧhne, The Order of the Death’s Head, 149-50; Fest, The Face of the Third Reich, 152-70.
-
-215 . As reported later by his widow; see ibid., 161.
-
-216 Felix Kersten, The Kersten Memoirs 1940-1945 (London, 1956), 90-99.
-
-217 Carl J. Burckhardt, Meine Danziger Mission 1937-1939 (Munich, 1960), 55.
-
-218 . Ibid., 57.
-
-219 . Hitler, Hitler’s Table Talk, 4 June 1942.
-
-220 . Ibid., 4 July 1942.
-
-221 J̈rgen Tampke, Czech-German Relations and the Politics of Central Europe from Bohemia to the EU (London, 2003), 67-9; Ren’ Kupper, ‘Karl Hermann Frank als Deutscher Staatsminister f̈r B̈hmen und M̈hren’, in Monika Glettler et al. (eds.), Geteilt, Besetzt, Beherrscht: Die Tschechoslowakei 1938-1945: Reichsgau Sudetenland, Protektorat B̈hmen und M̈hren, Slowakei (Essen, 2004), 31-52.
-
-222 . Tooze, The Wages of Destruction, 538-45. The importance of the food question was first highlighted in Christian Gerlach’s Krieg, Ern̈hrung, V̈lkermord: Forschungen zur deutschen Vernichtungspolitik im Zweiten Weltkrieg (Hamburg, 1998).
-
-223 . Berenstein et al. (eds.), Faschismus, 303.
-
-224 . Longerich, Der ungeschriebene Befehl, 168.
-
-225 . Domarus (ed.), Hitler, IV. 1,920 (30 September 1942); on this occasion Hitler used the word Ausrottung rather than the usual Vernichtung.
-
-226 Cited in Friedl̈nder, The Years of Extermination, 403.
-
-227 . Quoted in Herf, The Jewish Enemy, 169.
-
-228 . Domarus (ed.), Hitler IV. 1,937 (8 November 1942).
-
-229 Helmut Heiber, Goebbels-Reden (2 vols., D̈sseldorf, 1971-2). The version quoted in Jeremy Noakes (ed.), Nazism 1919-1945, IV: The German Home Front in World War II: A Documentary Reader (Exeter, 1998), 490-91, from the BBC radio monitoring service records shouts of ‘Out with the Jews’ from the audience after the last sentence.
-
-230 . Domarus (ed.), Hitler, IV. 1,991 (24 February 1943) and 2,001 (21 March 1943).
-
-231 Frohlich (ed.), Die Tageb̈cher II/VIII. 287-90 (13 May 1943); see also Norman Cohn, Warrant for Genocide: The Myth of the Jewish World-Conspiracy and the Protocols of the Elders of Zion (London, 1967).
-
-232 . Quoted in Noakes (ed.), Nazism, IV. 497.
-
-233 Herf, The Jewish Enemy, 281-7.
-
-234 . This is the thesis of Herf, ibid. See also ibid., 183-230, for a survey of antisemitic propaganda in 1943.
-
-235 Quoted in Longerich, Der ungeschriebene Befehl, 181-2.
-
-236 Arad, Belzec, 14-16.
-
-237 Ibid., 16-22.
-
-238 Gilbert, The Holocaust, 817; Arad, Belzec, 23-9, 68-74.
-
-239 . Klukowski, Diary, 191 (8 April 1942); the reference to electricity was clearly based on false information.
-
-240 Ibid., 192 (12-13 April 1942).
-
-241 Ibid., 195-6 (8 May 1942).
-
-242 . Ibid., 197 (9 May 1942).
-
-243 . Gitta Sereny, Into that Darkness: An Examination of Conscience (London, 1977 [1974]), 111-12.
-
-244 Ibid., 21-55.
-
-245 Arad, Belzec, 126-7.
-
-246 Ibid., 30-37, 75-80.
-
-247 Ibid., 30-36, 49-53, 75-80, 128-30, 171-3.
-
-248 Michael MacQueen, ‘The Conversion of Looted Jewish Assets to Run the German War Machine’, Holocaust and Genocide Studies, 18 (2004), 27-45; Bertrand Perz and Thomas Sandk̈hler, ‘Auschwitz und die “Aktion Reinhard” 1942-1945: Judenmord und Raubpraxis in neuer Sicht’, Zeitgeschichte, 26 (2000), 283-316.
-
-249 Friedl̈nder, The Years of Extermination, 498-9.
-
-250 Berenstein et al. (eds.), Faschismus, 412-21.
-
-251 Arad, Belzec, 165-9, 171, 306-41, 373-5.
-
-252 Ibid., 37-43.
-
-253 Ibid., 81-94; Sereny, Into that Darkness, 200-207.
-
-254 Ibid., 200-207, 358; Arad, Belzec, 89-99.
-
-255 Ibid., 196-7.
-
-256 . Ibid., 101.
-
-257 Ibid., 270-98; Sereny, Into that Darkness, 236-49.
-
-258 Sereny, Into that Darkness, 248-9.
-
-259 Arad, Belzec, 365-9.
-
-260 Ibid., 170-78, 372-6; Sereny, Into that Darkness, 249-50.
-
-261 Arad, Belzec, 379-80.
-
-262 . Peter Witte and Stephen Tyas, ‘A New Document on the Deportation and Murder of Jews during “Einsatz Reinhard” 1942’, Holocaust and Genocide Studies, 15 (2001), 468-86.
-
-263 Gerald Fleming, Hitler and the Final Solution (Oxford, 1986 [1982]), 135-9. According to Eichmann during his later interrogation, the abridged report, when returned to his office, bore a note from Himmler: ‘Leader has taken note, destroy, H.H.’.
-
-264 . Arad, Belzec, 379.
-
-265 . Sybille Steinbacher, Auschwitz: A History (London, 2005 [2004]), 5-27; Ḧss, Commandant of Auschwitz, 116-19; Nilli Keren, ‘The Family Camp’, in Yisrael Gutman and Michael Berenbaum (eds.), Anatomy of the Auschwitz Death Camp (Bloomington, Ind., 1994), 428-40. For a graphic memoir written by one of these prisoners, see Wieslaw Kielar, Anus Mundi: Five Years in Auschwitz (London, 1982 [1972]).
-
-266 . Ḧss, Commandant of Auschwitz, 231.
-
-267 . Ibid., 134-9; Steinbacher, Auschwitz, 89-91.
-
-268 . Tomasz Kranz, ‘Das KL Lublin zwischen Planung und Realisierung’, in Herbert et al. (eds.), Die nationalsozialistischen Konzentrationslager, I. 363-89.
-
-269 Longerich, Der ungeschriebene Befehl, 124-5; Steinbacher, Auschwitz, 77.
-
-270 . Longerich, Politik, 444 (and 704 n. 114, for the disputed timing of these experiments).
-
-271 Friedl̈nder, The Years of Extermination, 236, 717 n. 147; Ḧss, Commandant of Auschwitz, 164.
-
-272 Longerich, Der ungeschriebene Befehl, 124; Steinbacher, Auschwitz, 87-9.
-
-273 Ḧss, Commandant of Auschwitz, 169.
-
-274 Ḧss, Commandant of Auschwitz, 169.
-
-275 Ibid., 166-7.
-
-276 . Longerich, Der ungeschriebene Befehl, 124-5; Jamie McCarthy et al., ‘The Ruins of the Gas Chambers: A Forensic Investigation of Crematoriums at Auschwitz I and Auschwitz-Birkenau’, Holocaust and Genocide Studies, 18 (2004), 68-103. Michael Thad Allen, ‘Not Just a “Dating Game”: Origins of the Holocaust at Auschwitz in the Light of Witness Testimony’, German History, 25 (2007), 162-91, argues persuasively that Crematorium II was designed from the start as a gas chamber in accordance with directives from Himmler in Berlin, criticizing arguments that the crematoria were only converted to gas chambers at a later date: see Robert Jan Van Pelt, ‘A Site in Search of a Mission’, in Gutman and Berenbaum (eds.), Anatomy, 93-156; and Sybille Steinbacher, ‘Musterstadt’ Auschwitz: Germanisierungspolitik und Judenmord in Ostoberschlesien (Munich, 2000), 78.
-
-277 Steinbacher, Auschwitz, 96-105.
-
-278 Ibid., 119-21.
-
-279 Ibid., 105-7; Ḧss, Commandant of Auschwitz, 211, 235.
-
-280 . Steinbacher, Auschwitz, 107.
-
-281 Miroslav K’rny et al. (eds.), Theresienstadt in der ‘Endl̈sung der Judenfrage’ (Prague, 1992).
-
-282 Steinbacher, Auschwitz, 108-9; Friedl̈nder, The Years of Extermination, 354.
-
-283 . Ibid., 620; Steinbacher, Auschwitz, 108.
-
-284 Ibid., 40-44; eadem, ‘Musterstadt’ Auschwitz, 247.
-
-285 Steinbacher, Auschwitz, 132-5.
-
-286 Ḧss, Commandant of Auschwitz, 173.
-
-287 . Ibid., 172.
-
-288 . Ibid., 145.
-
-289 . Ibid., 172.
-
-290 . Ibid., 174.
-
-291 Ibid., 175-6.
-
-292 . Czerniakow, The Warsaw Diary, 300 (19 November 1941), 341 (8-10 April 1942), 355 (18 May 1942), 366 (14 June 1942), 376-7 (8 July 1942).
-
-293 . Ibid., 384-5 (21-3 July 1942); Kermish, ‘Introduction’, in ibid., 23-4. Czerniakow’s diary was preserved by unknown hands and came to light in 1959. There is an atmospheric account of the crucial meeting on 22 July 1942 in Marcel Reich-Ranicki, The Author of Himself: The Life of Marcel Reich-Ranicki (London, 2001 [1999]), 164-6. See also Wolfgang Scheffler, ‘The Forgotten Part of the “Final Solution”: The Liquidation of the Ghettos’, Simon Wiesenthal Centre Annual, 2 (1985), 31-51.
-
-294 . Hosenfeld, ‘Ich versuche’, 628 (letter to wife, 23 July 1942). Hosenfeld’s position in the military administration seems to have protected his letters from the attentions of the censor, though such an unqualified expression of criticism was still potentially very dangerous.
-
-295 . Ibid., 630 (diary, 25 July 1942).
-
-296 . Ibid., 642 (letter to son, 18 August 1942).
-
-297 . Klukowski, Diary, 208 (4 August 1942).
-
-298 . Kaplan, Scroll, Introduction and 271 (16 June 1942), 279-80 (25-6 June 1942); Gilbert, The Holocaust, 462; Corni, Hitler’s Ghettos, 279. See also Jerzy Lewinski, ‘The Death of Adam Czerniakow and Janusz Korcak’s Last Journey’, Polin: Studies in Polish Jewry, 7 (1992), 224-53.
-
-299 Gutman, The Jews of Warsaw, 270-72.
-
-300 Ringelblum, Notes, 310-11, also quoted in Corni, Hitler’s Ghettos, 279.
-
-301 Ibid., 293-315, 320-21; Hosenfeld, ‘Ich versuche’, 631 (diary, 25 July 1942).
-
-302 . Yisrael Gutman, Resistance: The Warsaw Ghetto Uprising (Boston, Mass., 1994); Shmuel Krakowski, The War of the Doomed: Jewish Armed Resistance in Poland, 1942- 1944 (New York, 1984); Reuben Ainsztein, Revolte gegen die Vernichtung: Der Aufstand im Warschauer Ghetto (Berlin, 1993).
-
-303 J̈rgen Stroop, The Stroop Report: The Jewish Quarter of Warsaw Is No More! (London, 1980 [1960]), 9.
-
-304 Corni, Hitler’s Ghettos, 315-21.
-
-305 . Hosenfeld, ‘Ich versuche’, 719 (diary, 16 June 1943).
-
-306 Reich-Ranicki, The Author of Himself, 176-92.
-
-307 . Joseph Kermish, ‘Introduction’, in Ringelblum, Polish-Jewish Relations, vii-xxxi, at xxiii-xvi, and Ringelblum, Notes, ix-xxvii.
-
-308 . Weiss, ‘Jewish Leadership’.
-
-309 Friedl̈nder, The Years of Extermination, 557.
-
-310 . Sierakowiak, The Diary, 77-90 (6 April-15 May 1941), 91-2 (16 May 1941), 133 (28 September 1941), 137-43 (4-23 October 1941).
-
-311 Corni, Hitler’s Ghettos, 280-81; Friedl̈nder, The Years of Extermination, 314-15, 387-9; Avraham Barkai, ‘Between East and West: Jews from Germany in the Lodz Ghetto’, in Michael R. Marrus (ed.), The Nazi Holocaust: Historical Articles on the Destruction of European Jews (Westport, Conn., 1989), 378-439.
-
-312 . Dobroszycki (ed.), The Chronicle of the Lodz Ghetto, 163 - 5.
-
-313 Sierakowiak, The Diary, 173 (25 May 1942), 238 (11 December 1942), 267-8 (14- 15 April 1942); Corni, Hitler’s Ghettos, 282-3.
-
-314 Friedl̈nder, The Years of Extermination, 531.
-
-315 Ibid., 529-30; Alan Adelson and Robert Lapides (eds.), L’d’ Ghetto: Inside a Community under Siege (New York, 1989), 328-31; Bernhard Chiari, Alltag hinter der Front: Besatzung, Kollaboration und Widerstand in Weissrussland 1941-1944 (D̈sseldorf, 1998).
-
-316 Corni, Hitler’s Ghettos, 309-10.
-
-317 . Yitzhak Arad, Ghetto in Flames: The Struggle and Destruction of the Jews in Vilna in the Holocaust (Jerusalem, 1980).
-
-318 . Philip Friedman, Roads to Extinction: Essays on the Holocaust (New York, 1980), 294-321.
-
-319 Corni, Hitler’s Ghettos, 283-4.
-
-320 . Antony Polonsky, ‘Beyond Condemnation, Apologetics and Apologies: On the Complexity of Polish Behaviour Towards the Jews during the Second World War’, in Roger Bullen, Hartmut Pogge Von Strandmann and Antony Polonsky (eds.), Ideas into Politics: Aspects of European History 1880 to 1950 (London, 1984), 123-43, at 194.
-
-321 Hosenfeld, ‘Ich versuche’, 657-8 (diary, 1 September 1942).
-
-322 . Wolfram Wette, ‘ “Rassenfeind”: Antisemitismus und Antislawismus in der Wehrmachtspropaganda’, in Manoschek (ed.), Die Wehrmacht im Rassenkrieg, 55-73.
-
-323 . Manoschek, ‘Es gibt nur eines’, 65 (Fw. E. E., 18 December 1942).
-
-324 Ibid., 57 (Am. D. S., 17 May 1942).
-
-325 Hans Safrian, ‘Komplizen des Genozids: Zum Anteil der Heeresgruppe S̈d an der Verfolgung und Ermordung der Juden in der Ukraine 1941’, in Manoschek (ed.), Die Wehrmacht im Rassenkrieg, 90-115; Andrej Angrick, ‘Zur Rolle der Miliẗrverwaltung bei der Ermordung der sowjetischen Juden’, in Babette Quinkert (ed.), ‘Wir sind die Herren dieses Landes’: Ursachen, Verlauf und Folgen des deutschen ̈berfalls auf die Sowjetunion (Hamburg, 2002), 104-23.
-
-326 Ḧrter, Hitlers Heerf̈hrer, 509-99, explores the mixture of utilitarian and ideological motives that led the senior army commanders on the Eastern Front to tolerate, encourage or lend logistical support to the mass murder of the Jewish population of the area.
-
-327 . Hosenfeld, ‘Ich versuche’, 719 (diary, 16 June 1943).
-
-
-
-Chapter 4. THE NEW ORDER
-
-1 . Richard Overy, ‘Rationalization and the “Production Miracle” in Germany during the Second World War’, in idem, War and Economy in the Third Reich (Oxford, 1994), 343-75 (quotes on 353-4).
-
-2 Speer, Inside the Third Reich, 271-9; Tooze, The Wages of Destruction, 508-9.
-
-3 . Speer’s account corrected in Gitta Sereny, Albert Speer: His Battle with Truth (London, 1995), 274-83; Max M̈ller, ‘Der Tod des Reichsministers Dr Fritz Todt’, Geschichte in Wissenschaft und Unterricht 18 (1967), 602-5; discussion in Kershaw, Hitler, II. 502-3.
-
-4 Karl-Heinz Ludwig, Technik und Ingenieure im Dritten Reich (D̈sseldorf, 1974), 403-72, and M̈ller, ‘The Mobilization’, 453-85.
-
-5 Speer, Inside the Third Reich, 261-5, 275-7, 291; Sereny, Albert Speer, 291-2.
-
-6 M̈ller, ‘The Mobilization’, 773-86.
-
-7 Evans, The Third Reich in Power, 183-6; Alan S. Milward, The German Economy at War (London, 1985), 72-99.
-
-8 See Evans, The Third Reich in Power, 183-6.
-
-9 Speer, Inside the Third Reich, 262-3.
-
-10 Quoted in Tooze, The Wages of Destruction, 506-7.
-
-11 . Halder, Kriegstagebuch, III. 309 (24 November 1941).
-
-12 . Budrass, Flugzeugindustrie, 724. A contributory factor may have been office intrigues against his position.
-
-13 Tooze, The Wages of Destruction, 123-4, 508.
-
-14 Ibid., 587-9; Overy, ‘Rationalization’, 356, 343-9.
-
-15 . Walter Naasner, Neue Machtzentren in der deutschen Kriegswirtschaft 1942-1945 (Boppard, 1994), 471-2.
-
-16 . Speer, Inside the Third Reich, 280.
-
-17 Ibid., 282-5.
-
-18 . Paul B. Jaskot, The Architecture of Oppression: The SS, Forced Labor, and the Nazi Monumental Building Economy (London, 2000), 80-113.
-
-19 . Speer, Inside the Third Reich, 287-300 (quote on 295-6); Milward, The German Economy at War, 54-71 (for Todt’s achievements).
-
-20 Overy, War and Economy, 356-70.
-
-21 Tooze, The Wages of Destruction, 568-74.
-
-22 Ibid., 578-84.
-
-23 Overy, War and Economy, 356-67.
-
-24 . Weinberg, A World at Arms, 538.
-
-25 Mark Harrison (ed.), The Economics of World War II: Six Great Powers in International Comparison (Cambridge, 1998), 26.
-
-26 . Edward R. Zilbert, Albert Speer and the Nazi Ministry of Arms: Economic Institutions and Industrial Production in the German War Economy (London, 1981), esp. 184-257; Budrass, Flugzeugindustrie, 738-9, 891.
-
-27 Tooze, The Wages of Destruction, 587-9; Mark Harrison, Accounting for War: Soviet Production, Employment and the Defence Burden, 1940-1945 (Cambridge, 1996); and John Barber and Mark Harrison, The Soviet Home Front, 1941-1945: A Social and Economic History of the USSR in World War II (London, 1991).
-
-28 Tooze, The Wages of Destruction, 407; M̈ller, ‘The Mobilization’, 723; Boog, ‘The Strategic Air War’, 118.
-
-29 Rolf-Dieter M̈ller, ‘Albert Speer and Armaments Policy in Total War’, GSWW V/II, 293-832, at 805.
-
-30 . Harrison (ed.), The Economics of World War II, 20-21.
-
-31 . Tooze, The Wages of Destruction, 383-5; Alan S. Milward, The New Order and the French Economy (Oxford, 1984), 81.
-
-32 . Many further examples in G̈tz Aly, Hitler’s Beneficiaries: Plunder, Racial War, and the Nazi Welfare State (New York, 2007 [2005]); also Elmsḧuser and Lokers (eds.), ‘Man muss hier nur hart sein’, 55, 62, 63, 68 etc.
-
-33 . Jeremy Noakes and Geoffrey Pridham (eds.), Nazism 1919-1945, III: Foreign Policy, War and Racial Extermination: A Documentary Reader (Exeter, 1988), 295; Alan S. Milward, War, Economy and Society 1939-1945 (London, 1987 [1977]), 137.
-
-34 . Tooze, The Wages of Destruction, 386-8; Overy et al. (eds.), Die ‘Neuordnung’ Europas.
-
-35 Milward, War, Economy and Society, 139-41.
-
-36 . Milward, The New Order and the French Economy, 111.
-
-37 . Harrison (ed.), The Economics of World War II, 22.
-
-38 Milward, War, Economy and Society, 138-45.
-
-39 . Tooze, The Wages of Destruction, 389-91; Noakes and Pridham (eds.), Nazism, III. 297-8.
-
-40 . Harald Wixforth, Die Expansion der Dresdner Bank in Europa (Munich, 2006), 871-902.
-
-41 Noakes and Pridham (eds.), Nazism, III. 274-80, at 280.
-
-42 . Alan Milward, The Fascist Economy in Norway (Oxford, 1972), 1, 3; idem, War, Economy and Society, 153-7; Ludolf Herbst, Der totale Krieg und die Ordnung der Wirtschaft: Die Kriegswirtschaft im Spannungfeld von Politik, Ideologie und Propaganda 1939-1945 (Stuttgart, 1982), 127-44.
-
-43 Noakes and Pridham (eds.), Nazism, III. 283-4.
-
-44 . Ibid., 286.
-
-45 Milward, The New Order and the French Economy, 23-8.
-
-46 Tooze, The Wages of Destruction, 391-3.
-
-47 Milward, The New Order and the French Economy, 147-80.
-
-48 . Noakes and Pridham (eds.), Nazism, III. 290.
-
-49 . Ibid., 292.
-
-50 . Ibid., 292.
-
-51 . Tooze, The Wages of Destruction, 409-10; Milward, The New Order and the French Economy, 293-4.
-
-52 Tooze, The Wages of Destruction, 411-12.
-
-53 Ibid., 418-19; Noakes and Pridham (eds.), Nazism, III. 298.
-
-54 Tooze, The Wages of Destruction, 412-18.
-
-55 Noakes and Pridham (eds.), Nazism, III. 304-9.
-
-56 . Franz Neumann, Behemoth: The Structure and Practice of National Socialism 1933- 1944 (New York, 1944 [1942]), 293.
-
-57 . Harold James, The Deutsche Bank and the Nazi Economic War against the Jews: The Expropriation of Jewish-Owned Property (Cambridge, 2001), 213-14.
-
-58 Walter Naasner, SS-Wirtschaft und SS-Verwaltung (D̈sseldorf, 1998), 164-7; Michael Thad Allen, The Business of Genocide: The SS, Slave Labor, and the Concentration Camps (Chapel Hill, N.C., 2002), 58-71, 107-12.
-
-59 . Naasner, Neue Machtzentren, 197-44; Georg Enno, Die wirtschaftlichen Unternehmungen der SS (Stuttgart, 1963), 70-71, 145.
-
-60 . Jan Erik Schulte, Zwangsarbeit und Vernichtung: Das Wirtschaftsimperium der SS: Oswald Pohl und das SS-Wirtschafts-Verwaltungshauptamt 1933-1945 (Paderborn, 2001), 440-41.
-
-61 . Berenice A. Carroll, Design for Total War: Arms and Economics in the Third Reich (The Hague, 1968), 233.
-
-62 . Paul Erker, Industrie-Eliten in der NS-Zeit: Anpassungsbereitschaft und Eigeninteresse von Unternehmen in der R̈stungs- und Kriegswirtschaft 1936-1945 (Passau, 1993), 73-5.
-
-63 . Johannes B̈hr, Die Dresdner Bank in der Wirtschaft des Dritten Reichs (Munich, 2006), 477-570.
-
-64 . Peter Hayes, From Cooperation to Complicity: Degussa in the Third Reich (Cambridge, 2004), 190-91.
-
-65 . See Jonathan Steinberg, The Deutsche Bank and its Gold Transactions during the Second World War (Munich, 1999).
-
-66 . Erna Spiewack, television interview 1998, quoted in Hayes, From Cooperation to Complicity, 193.
-
-67 . Overy, ‘Rationalization’, 368.
-
-68 Tooze, The Wages of Destruction, 567-9.
-
-69 . Peter W. Becker, ‘Fritz Sauckel: Plenipotentiary for the Mobilisation of Labour’, in Smelser and Zitelmann (eds.), The Nazi Elite, 194-201.
-
-70 Ibid.; also Herbert, Hitler’s Foreign Workers, 161-3; Edward L. Homze, Foreign Labor in Nazi Germany (Princeton, N.J., 1967), 111-53; Hans Pfahlmann, Fremdarbeiter und Kriegsgefangene in der deutschen Kriegswirtschaft 1939 - 1945 (Darmstadt, 1968), 16-22.
-
-71 . See generally Ela Hornung et al., ‘Zwangsarbeit in der Landwirtschaft’, DRZW IX/II. 577-666.
-
-72 . Herbert, Hitler’s Foreign Workers, 84-9; Christa Tholander, Fremdarbeiter 1939 bis 1945: Ausl̈ndische Arbeitskr̈fte in der Zeppelin-Stadt Friedrichshafen (Essen, 2001), 34-104.
-
-73 . Spoerer, Zwangsarbeit, 35-88, provides a detailed country-by-country account of recruitment; see also Pfahlmann, Fremdarbeiter, 82-103 and 176-92 for prisoners of war.
-
-74 . Herbert, Hitler’s Foreign Workers, 95-111; see also the recent survey by Oliver Rathkolb, ‘Zwangsarbeit in der Industrie’, DRZW IX/II, 667-728.
-
-75 Herbert, Hitler’s Foreign Workers, 137-49.
-
-76 . Ibid., 157.
-
-77 Ibid, 193-4; also Pfahlmann, Fremdarbeiter, 44-65.
-
-78 Overmans, Deutsche miliẗrische Verluste, 238-9.
-
-79 Tooze, The Wages of Destruction, 513-14.
-
-80 . Herbert, Hitler’s Foreign Workers, 273-8; Homze, Foreign Labor, 177-203; Richard Vinen, The Unfree French: Life under the Occupation (London, 2006), 183-214 (for prisoners of war), and 247-312 (for labour service); Pfahlmann, Fremdarbeiter, 31-44.
-
-81 . Quoted in Herbert, Hitler’s Foreign Workers, 279.
-
-82 Ibid., 278-82, 297-8.
-
-83 . Tooze, The Wages of Destruction, 519.
-
-84 Bernard Bellon, Mercedes in Peace and War: German Automobile Workers, 1903-1945 (New York, 1990), 250-51.
-
-85 . Quoted in Herbert, Hitler’s Foreign Workers, 209-11; see also ibid., 211-17, and Bellon, Mercedes, 251; more generally, see Spoerer, Zwangsarbeit, 116-44; Pfahlmann, Fremdarbeiter, 193-217; Marcus Meyer, ‘. . . uns 100 Zivilausl̈nder umgehend zu beschaffen’: Zwangsarbeit bei den Bremer Stadtwerken 1939-1945 (Bremen, 2002); Mark Spoerer, ‘Die soziale Differenzierung der ausl̈ndischen Zivilarbeiter, Kriegsgefangenen und Ḧftlinge im Deutschen Reich’, DRZW IX/II. 485 -576, at 515-32.
-
-86 . Herbert, Hitler’s Foreign Workers, 217-22; Andreas Heusler, Ausl̈ndereinsatz: Zwangsarbeit f̈r die M̈nchner Kriegswirtschaft 1939-1945 (Munich, 1996), 212-22; Spoerer, Zwangsarbeit, 199 - 200; Eginhard Scharf, ‘Man machte mit uns, was man wollte’: Ausl̈ndische Zwangsarbeiter in Ludwigshafen am Rhein 1939-1945 (Hamburg, 2004), 56-73; and Valentina Maria Stefanski, Zwangsarbeit in Leverkusen: Polnische Jugendliche im I. G. Farbenwerk (Osnabru ̈ck, 2000), 333 - 49; Katharina Hoffmann, Zwangsarbeit und ihre gesellschaftliche Akzeptanz in Oldenburg 1939-1945 (Oldenburg, 2001), 96- 161, 216 - 24; generally, Spoerer, ‘Die soziale Differenzierung’, 562-5.
-
-87 . Herbert, Hitler’s Foreign Workers, 268-9; Spoerer, Zwangsarbeit, 200-205; Scharf, ‘Man machte’, 237-42.
-
-88 . Behnken (ed.), Deutschland-Berichte, VII. 100-103 (February 1940).
-
-89 . Evans, The Third Reich in Power, 686-7.
-
-90 . Jill Stephenson, Hitler’s Home Front: Württemberg under the Nazis (London, 2006), 281-5.
-
-91 . Herbert, Hitler’s Foreign Workers, 116 - 36. Heusler, Ausl̈ndereinsatz, 387-417, gives a detailed account of social and sexual contacts with the German population in Munich. For the punishment of foreign labourers, see also Scharf, ‘Man machte’, 246-50.
-
-92 . Herbert, Hitler’s Foreign Workers, 69 - 94.
-
-93 . For Soviet prisoners of war in the Volkswagen factory, see Hans Mommsen and Manfred Grieger, Das Volkswagenwerk und seine Arbeiter im Dritten Reich (D̈sseldorf, 1996), 544-65.
-
-94 . Quoted in Herbert, Hitler’s Foreign Workers, 149.
-
-95 . Ibid., 149-67; Spoerer, Zwangsarbeit, 200-205.
-
-96 . Quoted in Herbert, Hitler’s Foreign Workers, 171.
-
-97 . Tholander, Fremdarbeiter, 312-37, 365 - 9.
-
-98 . Herbert, Hitler’s Foreign Workers, 176-80; Heusler, Ausl̈ndereinsatz, 172-222; Mommsen and Grieger, Das Volkswagenwerk, 566 - 98.
-
-99 . Quoted in Herbert, Hitler’s Foreign Workers, 192.
-
-100 Ibid., 182-92; Spoerer, Zwangsarbeit, 33, 90 - 115.
-
-101 . Solmitz, Tagebuch (7 March 1943).
-
-102 . Ibid., 840 (4 August 1943).
-
-103 . Rolf Keller, ‘ “Die kamen in Scharen hier an, die Gefangenen”: Sowjetische Kriegsgefangene, Wehrmachtsoldaten und deutsche Bev̈lkerung in Norddeutschland 1941/42’, in Detlef Garbe (ed.), Rassismus in Deutschland (Bremen, 1994), 35 - 53; Hoffmann, Zwangsarbeit , 315.
-
-104 . Solmitz, Tagebuch, 858 (2 September 1943) and 883 (29 December 1943, Nachtrag).
-
-105 . Richard J. Overy, ‘Guns or Butter? Living Standards, Finance, and Labour in Germany, 1939-1942’, in idem, War and Economy in the Third Reich, 259-314, at 303-4; Tilla Siegel, Leistung und Lohn in der nationalsozialistischen ‘Ordnung der Arbeit’ (Opladen, 1989), 161-73; and Leila J. Rupp, Mobilizing Women for War: German and American Propaganda 1939-1945 (Princeton, N.J., 1978), 185 - 6.
-
-106 . Overy, ‘Guns or Butter?’, 307-11.
-
-107 . Matthew Stibbe, Women in the Third Reich (London, 2003), 91 - 6; Tim Mason, Social Policy in the Third Reich: The Working Class and the ‘National Community’ (Oxford, 1995), 19 - 40; Overy, ‘Guns or Butter?’, 309 - 10.
-
-108 . Quoted in Rupp, Mobilizing Women, 115.
-
-109 . Evans, The Third Reich in Power, 517-20.
-
-110 . Quoted in Rupp, Mobilizing Women, 122; for the above details, ibid., 115-16; also D̈rte Winkler, ‘Frauenarbeit versus Frauenideologie: Probleme der weiblichen Erwerbsẗtigkeit in Deutschland, 1930-1945’, Archiv f̈r Sozialgeschichte, 17 (1977), 99-126, and the same author’s Frauenarbeit im ‘Dritten Reich’ (Hamburg, 1977); also Annemarie Tr̈ger, ‘Die Frau im wesensgem̈ssen Einsatz’, in Frauengruppe Faschismusforschung (ed.), Mutterkreuz und Arbeitsbuch: Zur Geschichte der Frauen in der Weimarer Republik und im Nationalsozialismus (Frankfurt am Main, 1981), 246-72.
-
-111 . This is the overall argument of Rupp, Mobilizing Women.
-
-112 . Ibid., 185, and Winkler, ‘Frauenarbeit’, 126.
-
-
-
-113 . Stibbe, Women, 94-5.
-
-114 . Quoted in Herbert, Hitler’s Foreign Workers, 189.
-
-115 . Ibid., 187 - 9.
-
-116 . Quoted in ibid., 307.
-
-117 . Stefanski, Zwangsarbeit, 339.
-
-118 . Ibid., 268 - 9; Stibbe, Women, 101 - 2; Klaus-Georg Siegfried, Das Leben der Zwangsarbeiter im Volkswagenwerk 1939-1945 (Frankfurt am Main, 1988), 235-55; Spoerer, Zwangsarbeit, 205-9.
-
-119 . Peter Hayes, Industry and Ideology: IG Farben in the Nazi Era (Cambridge, 1987), 349 - 56. For synthetic rubber, see Evans, The Third Reich in Power, 362 - 3, 375.
-
-120 . Hayes, Industry and Ideology, 358-67; Bernd C. Wagner, IG-Auschwitz: Zwangsarbeit und Vernichtung von Ḧftlingen des Lagers Monowitz 1941-1945 (Munich, 2000), 37-90.
-
-121 . Martin Broszat, ‘The Concentration Camps 1933-1945’, in Helmut Krausnick et al., Anatomy of the SS State (London, 1968), 460-71; figures amended in Nikolaus Wachsmann, Hitler’s Prisons: Legal Terror in Nazi Germany (London, 2004), 395; Hermann Kaienburg, ‘KZ-Haft und Wirtschaftsinteresse: Das Wirtschaftsverwaltungshauptamt der SS als Leitungszentrale der Konzentrationslager und der SS-Wirtschaft’, in idem (ed.), Konzentrationslager und deutsche Wirtschaft 1939-1945 (Opladen, 1996), 29 - 60.
-
-122 . Quoted in Broszat, ‘The Concentration Camps’, 497.
-
-123 . Ibid., 498, and more generally, 473-98.
-
-124 . Ibid., 503-4; Jan Erik Schulte, ‘Das SS-Wirtschafts-Verwaltungshauptamt und die Expansion des KZ-Systems’, in Wolfgang Benz and Barbara Distel (eds.), Der Ort des Terrors: Geschichte der nationalsozialistischen Konzentrationslager (6 vols., Munich, 2005-7),I. 141-55; Hermann Kaienburg, ‘Zwangsarbeit: KZ und Wirtschaft im Zweiten Weltkrieg’, in ibid., 179-94.
-
-125 . ‘Auschwitz’, in ibid., V. 79 - 173.
-
-126 . Schulte, Zwangsarbeit, 441-5.
-
-127 . Jan Erik Schulte, ‘Zwangsarbeit für die SS: Juden in der Ostindustrie GmbH’, in Frei et al. (eds.), Ausbeutung, 43-74.
-
-128 . Manfred Grieger, ‘Unternehmen und KZ-Arbeit: Das Beispiel der Volkswagenwerk GmbH’, in Kaienburg (ed.), Konzentrationslager, 77-94; Mommsen and Grieger, Das Volkswagenwerk, 516-43, 566-98, 740-99; Christian Jansen and Arno Weckbecker, ‘Zwangsarbeit f̈r das Volkswagenwerk: Häftlingsalltag auf dem Laagberg bei Wolfsburg’, in Frei et al. (eds.), Ausbeutung, 75-108.
-
-129 . Ludwig Eiber, ‘Das KZ-Aussenlager Blohm und Voss im Hamburger Hafen’, in Kaienburg (ed.), Konzentrationslager, 227 - 38.
-
-130 . Neil Gregor, Daimler-Benz in the Third Reich (London, 1998), 194-6; Birgit Weitz, ‘Der Einsatz von KZ-Ḧftlingen und jüdischen Zwangsarbeitern bei der Daimler-Benz AG (1941 - 1945): Ein Überblick’, in Kaienburg (ed.), Konzentrationslager, 169-95, esp. 190. There are many local studies, including, for example, Annette Wienecke, ‘Besondere Vorkommnisse nicht bekannt’: Zwangsarbeit in unterirdischen R̈stungsbetrieben: Wie ein Heidedorf kriegswichtig wurde (Bonn, 1996); and Wilhelm J. Waibel, Schatten am Hohentwiel: Zwangsarbeiter und Kriegsgefangene in Singen (Konstanz, 1997 [1995]), with interviews of former workers.
-
-131 . Broszat, ‘The Concentration Camps’, 501 - 2.
-
-132 . Quoted in ibid., 502.
-
-133 . Ibid., 497-9. See also Lutz Budrass and Manfred Grieger, ‘Die Moral der Effizienz: Die Bescḧftigung von KZ-Häftlingen am Beispiel des Volkswagenwerks und der Henschel Flugzeug-Werke’, Jahrbuch für Wirtschaftsgeschichte (1993), 89-136.
-
-134 . Wagner, IG-Auschwitz, 204, 291; Rainer Fr̈be, ‘Der Arbeitseinsatz von KZ-HÄFTLINGEN und die Perspektive der Industrie, 1943-1945’, in Ulrich Herbert (ed.), Europa und der ‘Reichseinsatz’: Ausl̈ndische Zivilarbeiter, Kriegsgefangene und KZ-Häftlinge in Deutschland 1938-1945 (Essen, 1991), 351-83; Jaskot, The Architecture of Oppression, 37 - 8.
-
-135 . Spoerer, Zwangsarbeit, 183 - 90.
-
-136 . Tooze, The Wages of Destruction, 445 - 6; Hayes, Industry and Ideology, 361-5.
-
-137 . Hayes, From Cooperation to Complicity, 26-71; Heusler, Ausländereinsatz, 421; Spoerer, Zwangsarbeit, 186.
-
-138 . Ibid., 221 - 2.
-
-139 . A point first made by Carroll, Design for Total War, 245-7.
-
-140 . For an account of pre-Speer polycracy, see M̈ller, ‘The Mobilization’, 448-56, 630-38; also emphasized by Herbst, Der totale Krieg, 111-17; for continuing inter-institutional competition in the Speer era, see Carroll, Design for Total War, 245-7; for rivalry between Speer and the Reich Ministry of Economics, see Herbst, Der totale Krieg, 267-75.
-
-141 . Aly, Hitler’s Beneficiaries, 75-179, 324-5; also Michael Wildt, ‘Alys Volksstaat: Hybris und Simpliziẗt einer Wissenschaft’, Sozial.Geschichte, 20 (2005), 91-97, with further references. For a positive assessment of the contribution of foreign labour, see Pfahlmann, Fremdarbeiter, 226 - 35.
-
-142 . Harrison (ed.), The Economics of World War II, 10-11.
-
-143 . Naasner, Neue Machtzentren, 469 - 73. For the idea of ‘crisis management’ in wartime Germany, see Rolf-Dieter M̈ller, Der Manager der Kriegswirtschaft: Hans Kehrl: Ein Unternehmer in der Politik des ‘Dritten Reiches’ (Essen, 1999), esp. 101-3.
-
-144 . Speer, Inside the Third Reich, 446; for Sauckel in this period, see Homze, Foreign Labor, 233-9.
-
-145 . Milward, The Fascist Economy in Norway, 279.
-
-146 . Hans Umbreit, ‘Auf dem Weg zur Kontinentalherrschaft’, DRZW V/I. 3-345.
-
-147 . Ibid., 3-165 (‘Stadien der territorialen “Neuordnung” in Europa’ and ‘Die vorgezogene “Neuordnung” ’). For a good general account, see Mazower, Hitler’s Empire.
-
-148 . For a detailed and sensitive study of the many different and often creative ways in which people in one area, the Loire Valley in France, coped with the German occupation, see Robert Gildea, Marianne in Chains: In Search of the German Occupation 1940-1945 (London, 2002).
-
-149 . Quoted in Vinen, The Unfree French, 53.
-
-150 . The best recent account is Jackson, France; see also Vinen, The Unfree French; Ian Ousby, Occupation: The Ordeal of France 1940-1944 (London, 1997); and the classic, pioneering study by Robert O. Paxton, Vichy France: Old Guard and New Order, 1940- 1944 (London, 1972).
-
-151 . Michael R. Marrus and Robert O. Paxton, Vichy France and the Jews (New York, 1981), 23-72; Paula Hyman, From Dreyfus to Vichy: The Remaking of French Jewry, 1906-1939 (New York, 1979) and Pierre Birnbaum, Anti-semitism in France: A Political History from Le’on Blum to the Present (Oxford, 1992 [1988]).
-
-152 Marrus and Paxton, Vichy France, 177-314.
-
-153 . Friedländer, The Years of Extermination, 109-16; Longerich, Politik, 435. For the camps, see Regina M. Delacor, ‘From Potential Friends to Potential Enemies: The Internment of “Hostile Foreigners” in France at the Beginning of the Second World War’, Journal of Contemporary History, 35 (2000), 361-8; more generally, on the occupied zone, Philippe Burrin, France under the Germans: Collaboration and Compromise (New York, 1996).
-
-154 . David Carroll, French Literary Fascism: Nationalism, Anti-Semitism, and the Ideology of Culture (Princeton, N.J., 1995).
-
-155 . Anne Grynberg, Les Camps de la honte: Les internes juifs des camps franc¸ais, 1939- 1944 (Paris, 1991); Marrus and Paxton, Vichy France, 121-76; Rene’e Poznanski, Jews in France during World War II (Hanover, 2001 [1994]), 42 - 55.
-
-156 . Friedländer, The Years of Extermination, 169-78.
-
-157 . Longerich, Politik, 435.
-
-158 . Ahrlich Meyer, Tâ̈ter im Verhör: Die Endl̈sung der Judenfrage in Frankreich 1940- 1944 (Darmstadt, 2005), and Barbara Lambauer, ‘Opportunistischer Antisemitismus: Der deutsche Botschafter Otto Abetz und die Judenverfolgung in Frankreich’, VfZ 53 (2005), 241 - 73.
-
-159 . Friedl̈nder, The Years of Extermination, 157-78; for Dannecker’s background and deep-dyed antisemitism, see Claudia Steur, Theodor Dannecker: Ein Funktion̈r der ‘Endlösung’ (Essen, 1997), 14-91; for the race laws and their application in France, see Susan Zuccotti, The Holocaust, the French, and the Jews (New York, 1993), 51-64 (also 65-80 for the camps). More generally, see also the account in Jackson, France, 354 - 84.
-
-160 . Longerich, Politik, 434 - 40.
-
-161 . Gerald Schwab, The Day the Holocaust Began: The Odyssey of Herschel Grynszpan (New York, 1990).
-
-162 . Jacques Adler, The Jews of Paris and the Final Solution: Communal Responses and Internal Conflicts, 1940-1944 (New York, 1987).
-
-163 . Marrus and Paxton, Vichy France, 281-340; see also Carmen Callil, Bad Faith: A Forgotten History of Family and Fatherland (London, 2007).
-
-164 . Friedländer, The Years of Extermination, 377.
-
-165 . Poznanski, Jews in France, 237 - 50.
-
-166 . Ibid., 303-55; Marrus and Paxton, Vichy France, 250-55; Zuccotti, The Holocaust, 103-17; Asher Cohen, Pers’cutions et sauvetages: Juifs et Fran¸ais sous l’Occupation et sous Vichy (Paris, 1993), 269-7.
-
-167 . Richard I. Cohen, The Burden of Conscience: French Jewish Leadership during the Holocaust (Bloomington, Ind., 1987); Cohen, Pers’cutions, 125 - 90.
-
-168 . Michèle Cointet, L’E’glise sous Vichy, 1940-1945: La r’pentance en question (Paris, 1998).
-
-169 . Jackson, France, 221-4.
-
-170 . Witte et al. (eds.), Der Dienstkalender, 637.
-
-171 . Longerich, Der ungeschriebene Befehl, 178-9.
-
-172 . Cohen, Perse’cutions, 191-240, analyses changing public opinion in France; see also Jackson, France, 233-5.
-
-173 . Cohen, Perse’cutions, 496.
-
-174 . Jackson, France, 213-35, 389-426.
-
-175 . Martin Conway, Collaboration in Belgium: L’on Degrelle and the Rexist Movement 1940-1944 (London, 1993), 22 - 7, 286-9.
-
-176 . Werner Warmbrunn, The Dutch under German Occupation, 1940-1945 (London, 1963), 24 - 5, 32 - 4, 261-5; Gerhard Hirschfeld, Nazi Rule and Dutch Collaboration: The Netherlands under German Occupation, 1940 - 1945 (Oxford, 1988 [1984]), 5 - 6. Konrad Kwiet, Reichskommissariat Niederlande: Versuch und Scheitern nationalsozialistischer Neuordnung (Stuttgart, 1968) argues that collaboration with the bourgeois establishment was less successful.
-
-177 . Bob Moore, Victims and Survivors: The Nazi Persecution of the Jews in the Netherlands, 1940 - 1945 (London, 1997), 19 - 90.
-
-178 . Moore, Victims and Survivors, 146-89; Anne Frank, The Diary of a Young Girl (New York, 1995).
-
-179 . Moore, Victims and Survivors, 91-115, 195-206; Louis de Jong, ‘The Netherlands and Auschwitz’, Yad Vashem Studies, 7 (1968), 39 - 55; Gerhard Hirschfeld, ‘Niederlande’, in Wolfgang Benz (ed.), Dimension des Völkermords: Die Zahl der jüdischen Opfer des Nationalsozialismus (Munich, 1991), 137-63.
-
-180 . Moore, Victims and Survivors, 102-4.
-
-181 . Ibid., 125-6.
-
-182 . Dan Michman (ed.), Belgium and the Holocaust: Jews, Belgians, Germans (Jerusalem, 1998).
-
-183 . Moore, Victims and Survivors, 2, 255; Maxime Steinberg, La Perse’cution des Juifs en Belgique (1940-1945) (Brussels, 2004), 77-108 (for economic measures) and 157-91 (for the role of the police).
-
-184 . William B. Cohen and Jörgen Svensson, ‘Finland and the Holocaust’, Holocaust and Genocide Studies, 9 (1995), 70-92; Longerich, Politik, 520.
-
-185 . Ibid., 531-2.
-
-186 . Paul A. Levine, From Indifference to Activism: Swedish Diplomacy and the Holocaust, 1938-1944 (Uppsala, 1998); Friedländer, The Years of Extermination, 449, 454.
-
-187 . Jozef Lewandowski, ‘Early Swedish Information about the Nazis’ Mass Murder of the Jews’, Polin: Studies in Polish Jewry, 13 (2000), 113-27; Steven Kublik, The Stones Cry Out: Sweden’s Response to the Persecution of the Jews, 1933-1945 (New York, 1988).
-
-188 . Ulrich Herbert, Best: Biographische Studien über Radikalismus, Weltanschauung und Vernunft, 1903-1989 (Bonn, 1996), 323-41.
-
-189 . Longerich, Politik, 555-8; Herbert, Best, 360-73; Leni Yahil, The Rescue of Danish Jewry: Test of a Democracy (Philadelphia, Pa., 1969), 233-84; and Levine, From Indifference to Activism, 229-45. See also the controversy between Gunnar S. Paulsson, ‘The Bridge over the Øresund: The Historiography on the Expulsion of the Jews from Nazi-occupied Denmark’, in David Cesarani (ed.), Holocaust: Critical Concepts in Historical Studies (London, 2004), V. 99-127, and Hans Kirchhoff, ‘Denmark: A Light in the Darkness of the Holocaust? A Reply to Gunnar S. Paulsson’, ibid., 128-39.
-
-190 . Quoted in Longerich, Politik, 558.
-
-191 . Hassell, The von Hassell Diaries, 352.
-
-192 . Longerich, Politik, 558-60.
-
-193 . Mark Mazower, Salonica: City of Ghosts: Christians, Muslims and Jews 1430-1950 (London, 2004), 421-42; Longerich, Politik, 526-7, 546 - 7, 561-2.
-
-194 . G̈tz Aly, ‘Die Deportation der Juden von Rhodos nach Auschwitz’, Mittelweg, 36 (2003), 79-88.
-
-195 . Deletant, Hitler’s Forgotten Ally, 205-25.
-
-196 . Hillgruber (ed.), Staatsmänner und Diplomaten, II. 494; on Vatican intervention in Romania, see Theodore Lavi, ‘The Vatican’s Endeavors on Behalf of Romanian Jewry during the Second World War’, Yad Vashem Studies, 5(1963), 405-18.
-
-197 . Tzvetan Todorov, The Fragility of Goodness: Why Bulgaria’s Jews Survived the Holocaust (London, 1999); more generally, Friedländer, The Years of Extermination, 452, 485 (quoting Ribbentrop); Deletant, Hitler’s Forgotten Ally, 198-204; Crampton, Bulgaria, 264-6; Stephane Groueff, Crown of Thorns: The Reign of King Boris III of Bulgaria, 1918-1943 (Lanham, Md., 1987), 316-31; and Frederick B. Chary, The Bulgarian Jews and the Final Solution, 1940-1944 (Pittsburgh, Pa., 1972).
-
-198 . Hillgruber (ed.), Staatsmänner und Diplomaten, II. 256.
-
-199 . Longerich, Politik, 491-2, 563-5.
-
-200 . Livia Rothkirchen, ‘The Situation of the Jews in Slovakia between 1939 and 1945’, Jahrbuch fü̈r Antisemitismusforschung, 7 (1998), 46-70; Friedl̈nder, The Years of Extermination , 372-4, 485-6 (quote at 373-4).
-
-201 . Ibid., 669; Rothkirchen, ‘The Situation of the Jews’; John F. Morley, Vatican Diplomacy and the Jews during the Holocaust, 1939-1945 (New York, 1980).
-
-202 . Marrus and Paxton, Vichy France, 215-80.
-
-203 . Ahlrich Meyer, Die deutsche Besatzung in Frankreich 1940-1944: Widerstandbek̈mpfung und Judenverfolgung (Darmstadt, 2000), 149-68.
-
-204 . Bob Moore ‘Comparing Resistance and Resistance Movements’, in idem (ed.), Resistance in Western Europe (Oxford, 2000), 249-62.
-
-205 . For Greece, see Mazower, Inside Hitler’s Greece, esp. 265-354.
-
-206 . Klukowski, Diary, 197 (17 May 1942).
-
-207 . Ibid., 229-31 (7-14 December 1942).
-
-208 . Ibid., 235-7 (1-16 January 1943), 282 (29 September 1943), 286 (19 October 1943).
-
-209 . Ibid., 155-6 (12 June 1941), 159 (21 June 1941); Gross, Polish Society, 213-91.
-
-210 . Klukowski, Diary, 244-5 (22- 5 February 1943).
-
-211 . Ibid., 299 (5 February 1944), 305 (2 March 1944).
-
-212 . Borodziej, Terror und Politik, 162-209.
-
-213 . Quoted in Hans Umbreit, ‘Das unbewä̈ltigte Problem: Der Partisanenkrieg im R̈cken der Ostfront’, in J̈rgen F̈rster (ed.), Stalingrad: Ereignis: Wirkung und Symbol (Munich, 1992), 130-49, at 142- 3.
-
-214 . Peter Klein, ‘Zwischen den Fronten: Die Zivilbev̈lkerung Weissrusslands und der Krieg der Wehrmacht gegen die Partisanen’, in Quinkert (ed.), ‘Wir sind die Herren dieses Landes’, 82-103.
-
-215 . Friedl̈nder, The Years of Extermination, 250.
-
-216 . Klukowski, Diary, 223-6 (4-20 November 1942).
-
-217 . Ibid., 227 (26 November 1942).
-
-218 . Dina Porat, ‘The Vilna Proclamation of January 1, 1942, in Historical Perspective’, Yad Vashem Studies, 25 (1996), 99 - 136.
-
-219 . Nechama Tec, Ich wollte retten: Die unglaubliche Geschichte der Bielski-Partisanen 1942 - 1944 (Berlin, 2002).
-
-220 . Sven Erichson (ed.), Abschied ist immer: Briefe an den Bruder im Zweiten Weltkrieg (Frankfurt am Main, 1994), 78; more generally, Weinberg, A World at Arms, 408 - 17.
-
-221 . David M. Glantz and Jonathan M. House, When Titans Clashed: How the Red Army Stopped Hitler (Lawrence, Kans., 1995), 98 - 107.
-
-222 . Bock, Zwischen Pflicht und Verweigerung, 445 (15 June 1942).
-
-223 . Elmsḧuser and Lokers (eds.), ‘Man muss hier nur hart sein’, 181 (letter to Frieda, 20 July 1942).
-
-224 . Weinberg, A World at Arms, 296-8, 412; Mawdsley, Thunder in the East, 118-48; Glantz and House, When Titans Clashed, 105-19; Bock, Zwischen Pflicht und Verweigerung , 470 (13 - 15 July 1942).
-
-225 . Kershaw, Hitler, II. 526 - 8.
-
-226 . Halder, Kriegstagebuch, III. 489 (23 July 1942).
-
-227 . Speer, Inside the Third Reich, 332.
-
-228 . Bellamy, Absolute War, 351 - 408; David Glantz, The Siege of Leningrad 1941 - 1944: 900 Days of Terror (London, 2004); Harrison E. Salisbury, The 900 Days: The Siege of Leningrad (London, 1969).
-
-229 . Quoted in Kershaw, Hitler, II. 531 - 2.
-
-230 . Meier-Welcker, Aufzeichnungen, 159 (9 April 1942).
-
-231 . Erichson, Abschied, 27 (letter to brother, 28 July 1942).
-
-232 . Ibid., 77 (letter of 18 August 1942).
-
-233 . Halder, Kriegstagebuch, III. 513 (30 August 1942).
-
-234 . Ibid., 517 (4 September 1942), 528 (24 September 1942).
-
-235 . Weinberg, A World at Arms, 408-17, 420-28; Kershaw, Hitler, II. 531-4; Bernd Wegner, ‘Vom Lebensraum zum Todesraum: Deutschlands Kriegf̈hrung zwischen Moskau und Stalingrad’, in F̈rster (ed.), Stalingrad, 17-38; Bernd Wegner, ‘The War against the Soviet Union, 1942 - 1943’, GSWW VI. 843 - 1,203, at 843 - 1,058.
-
-236 . Heinrich von Einsiedel, The Shadow of Stalingrad: Being the Diary of a Temptation (London, 1953), 7 - 8 (24 August 1942).
-
-237 . Ibid., 8-9.
-
-238 . Ibid.; Antony Beevor, Stalingrad (London, 1998), 92 - 5.
-
-239 . Ibid., 102 - 31.
-
-240 . Halder, Kriegstagebuch, III. 514 (31 August 1942).
-
-241 . Reddemann (ed.), Zwischen Front und Heimat, 631 (to Agnes, 3 October 1942).
-
-242 . Kershaw, Hitler, II. 536 - 8.
-
-243 . Beevor, Stalingrad, 127 - 33, 166 - 77.
-
-244 . Beevor, Stalingrad, 291 - 310.
-
-245 . Jens Ebert (ed.), Feldpostbriefe aus Stalingrad: November 1942 bis Januar 1943 (Munich, 2006 [2000]). See also Katrin A. Kilian, ‘Kriegsstimmungen: Emotionen einfacher Soldaten in Feldpostbriefen’, DRZW IX/II. 251 - 88, for the decline in morale and hope for the end of the war, as expressed in soldiers’ letters.
-
-246 . Beevor, Stalingrad, 189 - 235.
-
-247 . Ibid., 236-65; see also Mawdsley, Thunder in the East, 159-73, and Bellamy, Absolute War, 497-53.
-
-248 . Beevor, Stalingrad, 266 - 90.
-
-249 . Speer, Inside the Third Reich, 343.
-
-250 . Ebert (ed.), Feldpostbriefe, 81.
-
-251 . Beevor, Stalingrad, 333 - 6.
-
-252 . Ebert (ed.), Feldpostbriefe, 170.
-
-253 . Beevor, Stalingrad, 311 - 30.
-
-254 . Ebert (ed.), Feldpostbriefe, 216; more generally, ibid., 186-222.
-
-255 . Ibid., 163.
-
-256 . Ibid., 49.
-
-257 . Ibid., 27, 29; the caption to the illustration on 307, claiming the troops were not properly dressed for winter, is belied by the numerous mentions to the contrary in the letters (43, 159, 176, 205).
-
-258 . Ibid., 16, 38, 180, 236, 262.
-
-259 . Anatoly Golovchansky et al. (eds.), ‘Ich will raus aus diesem Wahnsinn’: Deutsche Briefe von der Ostfront 1941 - 1945 (Wuppertal, 1991), 164 (31 December 1942).
-
-260 . Groscurth, Tagebücher, 532.
-
-261 . Ebert (ed.), Feldpostbriefe, 242.
-
-262 . Golovchansky et al. (eds.), ‘Ich will raus’, 205 (10 January 1943).
-
-263 . Ibid., 202 (10 January 1943).
-
-264 . Ibid., 223 (15 January 1943).
-
-265 . Ebert (ed.), Feldpostbriefe, 304, 316; similarly on 270, 274, 281, 296, 305.
-
-266 . Rolf Dieter M̈ller, ‘ “Was wir an Hunger ausstehen müssen, k̈nnt Ihr Euch gar nicht denken”: Eine Armee verhungert’, in Wolfram Wette and Gerd R. Ueberscḧr (eds.), Stalingrad: Mythos und Wirklichkeit einer Schlacht (Frankfurt am Main, 1992), 131 - 45; Beevor, Stalingrad, 335 - 8.
-
-267 . Ebert (ed.), Feldpostbriefe, 209; similarly on 124, 143, 161, 186.
-
-268 . Ibid., 306.
-
-269 . Ibid., 318, 322 - 4.
-
-270 . Boberach (ed.), Meldungen, XII. 4,698 (18 January 1943).
-
-271 . Beevor, Stalingrad, 352 - 73.
-
-272 . Quoted in Ebert (ed.), Feldpostbriefe, 341 - 2.
-
-273 . Quoted in ibid., 343.
-
-274 . Ibid., 342 - 4.
-
-275 . Beevor, Stalingrad, 374-431; Kershaw, Hitler, II. 543-57; Groscurth, Tageb̈cher, 95; for a detailed account, see Wegner, ‘The War against the Soviet Union’, GSWW VI. 1,058 - 72.
-
-276 . Karl-Heinz Frieser, Krieg hinter Stacheldraht: Die deutschen Kriegsgefangenen in der Sowjetunion und das Nationalkomitee ‘Freies Deutschland’ (Mainz, 1981), 55, 144-82, 188 - 9, 193 - 5; Kershaw, Hitler, II. 550 - 51.
-
-277 . Walb, Ich, die Alte, 260 (3 February 1943).
-
-278 . Wolfram Wette, ‘Das Massensterben als “Heldenepos”: Stalingrad in der NS-PROPAGANDA’, in Wette and Ueberschär (eds.), Stalingrad, 43-60; Heinz Boberach, ‘Stimmungsumschwung in der deutschen Bev̈lkerung’, in ibid., 61-6; Bernhard R. Kroener, ‘ “Nun Volk, steh auf . . . !” Stalingrad und der “totale” Krieg 1942 - 1943’, in F̈rster (ed.), Stalingrad, 151-70; Marlis Steinert, ‘Stalingrad und die deutsche Gesellschaft’, in ibid., 171 - 88.
-
-279 . Boberach (ed.), Meldungen, XII. 4,750 - 51 (4 February 1943) (italics in original).
-
-280 . Ibid.
-
-281 . Broszat et al. (eds.), Bayern I. 633 (Bericht der SD-Hauptaussenstelle Ẅrzburg, 1 February 1943).
-
-282 . Ibid. (Bericht der SD-Aussenstelle Friedberg, 8 February 1943).
-
-283 . Ibid., 164 - 5 (Monatsbericht des Landrats, 2 February 1943).
-
-284 . Hassell, The von Hassell Diaries, 284.
-
-285 . Broszat et al. (eds.), Bayern, I. 633 (Bericht der SD-Hauptaussenstelle Ẅrzburg, 1 February 1943).
-
-286 . Klemperer, To the Bitter End, 189 - 92 (5 and 14 February 1943).
-
-287 . Broszat et al. (eds.), Bayern I. 170 (Monatsbericht der Gendarmerie-Station Muggendorf, 19 March 1943).
-
-288 . Ibid., 170 (Monatsbericht der Gendarmerie-Station Waischenfeld, 19 March 1943).
-
-289 . Boberach (ed.), Meldungen, XIII. 5,146 (19 April 1943).
-
-290 . Cited in Noakes (ed.), Nazism, IV. 548.
-
-291 . Boberach (ed.), Meldungen, XIV. 5,445 (8 July 1943) (italics in original).
-
-292 . Ibid., 5,446 (italics in original); also Hassell, The von Hassell Diaries, 294 (March 1943).
-
-293 . Ibid., 5,447 (italics in original).
-
-294 . Willi A. Boelcke (ed.), ‘Wollt Ihr den totalen Krieg?’ Die geheimen Goebbels-Konferenzen 1939 - 1943 (Munich, 1969 [1967]), 414.
-
-295 . The version of the speech here, which differs from the published text, was monitored live by the BBC, and is reproduced from Noakes (ed.), Nazism, IV. 490 - 94. See also Iring Fetscher, Joseph Goebbels im Berliner Sportpalast 1943: ‘Wollt Ihr den totalen Krieg?’ (Hamburg, 1998) (speech reproduced in ibid., 63 - 98); and G̈nter Moltmann, ‘Goebbels’ Speech on Total War, February 18, 1943’, in Hajo Holborn (ed.), Republic to Reich: The Making of the Nazi Revolution: Ten Essays (New York, 1973 [1972]), 298 - 342.
-
-296 . Boberach (ed.), Meldungen, XII. 4,833 (22 February 1943); Moltmann, ‘Goebbels’ Speech’, 337 (for ‘mass hypnosis’).
-
-297 . Ibid., 309 - 16.
-
-298 . Kershaw, Hitler, II. 561 - 77.
-
-299 . Noakes (ed.), Nazism, IV. 238-40; Boberach (ed.), Meldungen, XIII. 5,136-40 (1 April 1943).
-
-300 . Boberach (ed.), Meldungen, XII. 4,826 - 30 (18 February 1943).
-
-301 . Tooze, The Wages of Destruction, 353 - 6.
-
-302 . Noakes (ed.), Nazism, IV. 510 - 18.
-
-303 . Ibid.
-
-304 . Overy, ‘Guns or Butter?’, 284 - 6; Josef Wulf, Presse und Funk im Dritten Reich: Eine Dokumentation (G̈tersloh, 1964), 374.
-
-305 . Boberach (ed.), Meldungen, IX. 3,504 - 5 (23 March 1942).
-
-306 . Ibid.
-
-307 . Noakes (ed.), Nazism, IV. 521, 548.
-
-308 . Herbst, Der totale Krieg, 171 - 241.
-
-309 . Overy, ‘Guns or Butter?’, 259-64 (263 for the quote), criticizing Alan S. Milward, ‘Hitlers Konzept des Blitzkrieges’, in Andreas Hillgruber (ed.), Probleme des Zweiten Weltkrieges (Cologne, 1967), 19-40, and Burton H. Klein, Germany’s Economic Preparations for War (Cambridge, Mass., 1959); see also Evans, The Third Reich in Power, 322 - 36, 349 - 50, 477 - 92.
-
-310 . Carroll, Design for Total War, 190.
-
-311 . Overy, ‘Guns or Butter?’, 264 - 71.
-
-312 . Ibid., 272; Tooze, The Wages of Destruction, 353 - 6; Aly, Hitler’s Beneficiaries, 295 - 300; Philipp Kratz, ‘Sparen fu ̈r das kleine Glück’, in Götz Aly (ed.), Volkes Stimme: Skepsis und Führervertrauen im Nationalsozialismus (Frankfurt am Main, 2006), 59 - 79; Angelika Ebbinghaus, ‘Fakten oder Fiktionen: Wie ist G̈tz Aly zu seinen weitreichenden Schlussfolgerungen gekommen?’, Sozial.Geschichte, 20 (2005), 29 - 45, at 32; see also Christoph Buchheim, ‘Die vielen Rechenfehler in der Abrechnung G̈tz Alys mit den Deutschen unter dem NS-Regime’, Sozial.Geschichte, 20 (2005), 67 - 76.
-
-313 . Mathilde Wolff-M̈nckeberg, On the Other Side: To My Children from Germany 1940 - 1945 (London, 1982 [1979]), 96.
-
-314 . Boberach (ed.), Meldungen, XVI. 6,260 - 5 (quote on 6,262).
-
-315 . Overy, ‘Guns or Butter?’, 272 - 84.
-
-316 . Ibid., 285 - 91.
-
-317 . Hassell, The von Hassell Diaries, 173.
-
-318 . P̈ppel, Heaven and Hell, 101.
-
-319 . Boberach (ed.), Meldungen, XII. 4,831 (22 February 1943) (italics in original).
-
-320 . Broszat et al. (eds.), Bayern, I. 169 (Landrat Ebermannstadt, Monatsbericht, 2 March 1943).
-
-321 . Ibid., 635 (Bericht der SD-Hauptaussenstelle Ẅrzburg, 22 February 1943).
-
-
-
-Chapter 5. ‘ THE BEGINNING OF THE END’
-
-1 . ‘Aufsatz des Schülers G̈nter R. von der Dreik̈nigschule in Dresden, verfasst am 9. November 1934’, No. 120, in Joachim S. Hohmann and Hermann Langer (eds.), ‘Stolz, ein Deutscher zu sein . . .’: Nationales Selbstversẗndnis in Schulaufsätzen 1914 - 1945 (Frankfurt am Main, 1995), 227 - 8.
-
-2 . Ralf Blank, ‘Kriegsalltag und Luftkrieg an der “Heimatfront” ’, DRZW IX/I. 357 - 468, at 358 and 403 - 6.
-
-3 . Ursula B̈ttner, ‘ “Gomorrha” und die Folgen: Der Bombenkrieg’, in Forschungsstelle für Zeitgeschichte in Hamburg (ed.), Hamburg im ‘Dritten Reich’ (G̈ttingen, 2005), 613 - 32, at 613 - 16; Horst Boog, ‘The Anglo-American Strategic Air War over Europe and German Air Defence’, in GSWW VI. 469 - 628, at 478 - 91.
-
-4 . Shirer, Berlin Diary, 441 - 2 (9 November 1940).
-
-5 . Boog, ‘The Strategic Air War’, 379 - 406.
-
-6 . Richard Overy, Why the Allies Won (London, 1995), 101 - 4 (also for the quotes); Boog, ‘The Anglo-American Strategic Air War’, 492 - 521.
-
-7 . Weinberg, A World at Arms, 572 - 7; Overy, Why the Allies Won, 104 - 12; Calvocoressi and Wint, Total War, 489-94; Jörg Friedrich, Der Brand: Deutschland im Bombenkrieg 1940 - 1945 (Munich, 2002), 63 - 85. For a discussion of the doctrine of strategic bombing, its origins and evolution, see Boog, ‘The Anglo-American Strategic Air War’, 469 - 77.
-
-8 . Ibid., 565 - 6, 622 - 3.
-
-9 . Boog, ‘The Strategic Air War’, 367 - 8.
-
-10 . Boog, ‘The Anglo-American Strategic Air War’, 622 - 3.
-
-11 . Weinberg, A World at Arms, 577; Overy, Why the Allies Won, 109-10; Calvocoressi and Wint, Total War, 494; Friedrich, Der Brand, 86 - 7, 179 - 90; Boog, ‘The Anglo-American Strategic Air War’, 558 - 66. The Lancaster was still called the Manchester at this time.
-
-12 . Boberach (ed.), Meldungen, X. 3,597 - 9 (9 April 1942).
-
-13 . Solmitz, Tagebuch, 765 (8 September 1942).
-
-14 . Ibid., 733 (26 April 1942, 29 April 1942).
-
-15 . Overy, Why the Allies Won, 117 - 19; Weinberg, A World at Arms, 578 - 9; Calvocoressi and Wint, Total War, 494; Boog, ‘The Anglo-American Strategic Air War’, 566 - 621.
-
-16 . Quoted in Overy, Why the Allies Won, 117; Boog, ‘The Strategic Air War’, 9-15; and see also the classic official history by Charles Webster and Noble Frankland, The Strategic Air Offensive against Germany 1939 - 1945 (4 vols., London, 1961), IV. 273 - 83.
-
-17 . Overy, Why the Allies Won, 114 - 22; Blank, ‘Kriegsalltag’, 366 - 8; Boog, ‘The Strategic Air War’, 22 - 9.
-
-18 . Fr̈hlich (ed.), Die Tageb̈cher, VII. 491 (7 March 1943).
-
-19 . Blank, ‘Kriegsalltag’, 369 - 70.
-
-20 . Tooze, The Wages of Destruction, 596 - 600.
-
-21 . Speer, Inside the Third Reich, 389 - 93, quoting his office journal.
-
-22 . Martin Middlebrook, The Battle of Hamburg: Allied Bomber Forces against a German City in 1943 (London, 1980), 93 - 251; Boog, ‘The Strategic Air War’, 43 - 51.
-
-23 . Quoted in Middlebrook, The Battle of Hamburg, 264-5; ibid., 252-81, for details of the firestorm.
-
-24 . Ibid., 266 - 7.
-
-25 . Ibid., 282 - 327; B̈ttner, ‘ “Gomorrha” ’, 616 - 18; Friedrich, Der Brand, 455; see also Christian Hanke et al., Hamburg im Bombenkrieg 1940 - 1945: Das Schicksal einer Stadt (Hamburg, 2001); and Renate Hauschild-Thiessen (ed.), Die Hamburger Katastrophe vom Sommer 1943 in Augenzeugenberichten (Hamburg, 1991).
-
-26 . Wolff-M̈nckeberg, On the Other Side, 79.
-
-27 . Ibid., 79; B̈ttner, ‘ “Gomorrha” ’, 620 - 22.
-
-28 . Solmitz, Tagebuch, 840, 851 (4 August 1943, 19 August 1943).
-
-29 . Breloer (ed.), Geheime Welten, 41.
-
-30 . Ibid., 42.
-
-31 . Ibid., 43.
-
-32 . Solmitz, Tagebuch, 930 (21 June 1944), 943 (8 August 1944).
-
-33 . Ibid., 943 (8 August 1944).
-
-34 . Wolff-M̈nckeberg, On the Other Side, 86.
-
-35 . Boberach (ed.), Meldungen, XV. 5,583 (9 August 1943) (italics in original).
-
-36 . Ibid., XV. 5.562, 5,575 (2 and 5 August 1943).
-
-37 . Joachim Szodrzynski, ‘Die “Heimatfront” zwischen Stalingrad und Kriegsende’, in Forschungsstelle für Zeitgeschichte in Hamburg (ed.), Hamburg, 633 - 86; for other localities, see for example Wilfried Beer, Kriegsalltag an der Heimatfront: Alliierter Luftkrieg und deutsche Gegenmassnahmen zur Abwehr und Schadenbegrenzung, dargestellt für den Raum Münster (Bremen, 1990); Gerd R. Ueberschär, Freiburg im Luftkrieg 1939-1945 (Freiburg, 1990); Gerhard E. Sollbach (ed.), Dortmund: Bombenkrieg und Nachkriegsalltag 1939 - 1945 (Hagen, 1996); Birgit Horn, Die Nacht, als der Feuertod vom Himmel stürzte - Leipzig, 4. Dezember 1943 (Gudensberg-Gleichen, 2003).
-
-38 . Erichson, Abschied, 160 - 61 (letter to brother, 12 August 1943).
-
-39 . Boberach (ed.), Meldungen, XIV. 5,356 (17 June 1943).
-
-40 . Meike Wöhlert, Der politische Witz in der NS-Zeit am Beispiel ausgesuchten SD-BERICHTE und Gestapo-Akten (Frankfurt am Main, 1997), 50; Boberach (ed.), Meldungen, XIV. 5,619 - 20 (16 August 1943).
-
-41 . Boberach (ed.), Meldungen, XIV. 5,357.
-
-42 . Ibid.
-
-43 . Eva Gehrken, Nationalsozialistische Erziehung in den Lagern der Erweiterten Kinderlandverschickung 1940 bis 1945 (Braunschweig, 1997), 16.
-
-44 . Gerhard Kock, ‘Die Erweiterte Kinderlandverschickung und der Konflikt mit den Kirchen’, in Martin Rüther (ed.), ‘Zu Hause könnten sie es nicht schöner haben!’: Kinderlandverschickung aus K̈ln und Umgebung 1941 - 1945 (Cologne, 2000), 209 - 42.
-
-45 . Gerhard Kock, ‘Nur zum Schutz aufs Land gebracht? Die Kinderlandverschickung und ihre erziehungspolitischen Ziele’, in ibid., 17-52; also Gehrken, Nationalsozialistische Erziehung, 16, 149, demonstrating that the camps were in fact a Party institution, contrary to the arguments of Gerhard Dabel (ed.), KLV: Die erweiterte Kinder-Land-Verschickung (Freiburg, 1981).
-
-46 . Katja Klee, ‘ “Nie wieder Aufnahme von Kindern” - Anspruch und Wirklichkeit der KLV in den Aufnahmegauen’, in Rüther (ed.), ‘Zu Hause’, 161-94; Stephenson, Hitler’s Home Front, 295 - 311.
-
-47 . Friedrich, Der Brand, 455 - 67; see also Olaf Gröhler, Bombenkrieg gegen Deutschland (Berlin, 1990).
-
-48 . Boberach (ed.), Meldungen, XV. 6,033.
-
-49 . Ibid., 6,025 - 8 (quote on 6,028).
-
-50 . Ibid., 6.029 - 30.
-
-51 . ibid., 6,030.
-
-52 . Ibid., 6,031.
-
-53 . Ibid., 6.032.
-
-54 . Fröhlich (ed.), Die Tageb̈cher, II/XIV. 409 (12 December 1944); ibid., 417 - 21, for the above; also Karl Christian Führer, ‘Anspruch und Realität: Das Scheitern der nationalsozialistischen Wohnungsbaupolitik 1933 - 1945’, VfZ 45 (1997), 225 - 56.
-
-55 . Herwart Vorl̈nder, Die NSV: Darstellung und Dokumentation einer nationalsozialistischen Organisation (Boppard, 1988), 127 - 75; also Armin Nolzen, ‘ “Sozialismus der Tat”? Die Nationalsozialistische Volkswohlfahrt (NSV) und der alliierte Luftkrieg gegen das deutsche Reich’, in Dietmar Süss (ed.), Deutschland im Luftkrieg: Geschichte und Erinnerung (Munich, 2007), 57 - 70.
-
-56 . See generally Nicole Krämer, ‘ “Kämpfende Mütter” und “gefallene Heldinnen” - Frauen im Luftschutz’, in Süss (ed.), Deutschland im Luftkrieg, 85 - 98.
-
-57 . Blank, ‘Kriegsalltag’, 391 - 4; Noakes (ed.), Nazism, IV. 562 - 5.
-
-58 . Blank, ‘Kriegsalltag’, 394 - 402, 421 - 5. A large complex of tunnels and rooms was also built into the mountainside at Hitler’s Bavarian retreat on the Obersalzberg in the later stages of the war.
-
-59 . Hassell, The von Hassell Diaries, 157.
-
-60 . Blank, ‘Kriegsalltag’, 407-16; Fröhlich (ed.), Die Tagebücher, II/XI. 42 (3 January 1944).
-
-61 . Quoted in Blank, ‘Kriegsalltag’, 407 - 8.
-
-62 . Quoted in ibid., 410 - 11; see also Friedrich, Der Brand, 371 - 406.
-
-63 . Ibid., 406-34, and Bernhard Gotto, ‘Kommunale Krisenbewältigung’, in Süss (ed.), Deutschland im Luftkrieg, 41 - 56.
-
-64 . Quoted in Friedrich, Der Brand, 446.
-
-65 . Hans Wrobel (ed.), Strafjustiz im totalen Krieg: Aus den Akten des Sondergerichts Bremen 1940 bis 1945 (Bremen, 1991), I. 168 - 71.
-
-66 . Ibid., 190 - 2.
-
-67 . Ralph Angermund, Deutsche Richterschaft 1919-1945 (Frankfurt am Main, 1990), 209 - 15.
-
-68 . Speer, Inside the Third Reich, 396 - 8; Blank, ‘Kriegsalltag’, 372.
-
-69 . Speer, Inside the Third Reich, 395.
-
-70 . Blank, ‘Kriegsalltag’, 374 - 6.
-
-71 . Overy, Why the Allies Won, 120 - 22; Boog, ‘The Strategic Air War’, 54 - 76.
-
-72 . Overy, Why the Allies Won, 122-5; Boog, ‘The Strategic Air War’, 76-88, for a discussion of the crisis in the bombing campaign in 1943; ibid., 159 - 256 for the changing fortunes of German air defences.
-
-73 . Overy, Why the Allies Won, 125 - 3, 211.
-
-74 . Blank, ‘Kriegsalltag’, 459 - 60, briefly surveys the widely varying estimates.
-
-75 . Anthony C. Grayling, Among the Dead Cities: Was the Allied Bombing of Civilians in WWII a Necessity or a Crime? (London, 2006), effectively marshals the moral arguments against the bombing campaign. See also Lothar Kettenacker (ed.), Ein Volk von Opfern? Die neue Debatte um den Bombenkrieg 1940 - 45 (Berlin, 2003).
-
-76 . Overy, Why the Allies Won, 128 - 33.
-
-77 . Pöppel, Heaven and Hell, 233.
-
-78 . Dietmar Süss, ‘Nationalsozialistische Deutungen des Luftkrieges’, in idem (ed.), Deutschland im Luftkrieg, 99 - 110.
-
-79 . Ibid., 379 - 80.
-
-80 . Ibid., 435 - 6.
-
-81 . Boberach (ed.), Meldungen, XV. 5,575 (5 August 1943); also XV. 5,885 (15 October 1943).
-
-82 . Blank, ‘Kriegsalltag’, 448-50. See also Friedrich, Der Brand, 481-90, and Barbara Grimm, ‘Lynchmorde an alliierten Fliegern im Zweiten Weltkrieg’, in S̈ss (ed.), Deutschland im Luftkrieg, 71 - 84.
-
-83 . Ibid., XVI, 6,302 - 3 (7 February 1944) (italics in original).
-
-84 . Dear (ed.), The Oxford Companion to World War II, 748-9, 992-4; Weinberg, A World at Arms, 211-15, 222-5, 361-3; Stumpf, ‘The War in the Mediterranean Area’, 631 - 840.
-
-85 . Kershaw, Hitler, II. 585.
-
-86 . Tooze, The Wages of Destruction, 401 - 2.
-
-87 . Basil H. Liddell Hart (ed.), The Rommel Papers (London, 1953), 507 - 24.
-
-88 . Walb, Ich, die Alte, 249, 253 (14 and 29 November 1942).
-
-89 . Crampton, Bulgaria, 374-81; Miller, Bulgaria, 135-48, carefully surveys the myriad theories about Boris’s death and concludes that nobody had an obvious interest in bringing it about. Edward P. Thompson, Beyond the Frontier: The Politics of a Failed Mission: Bulgaria 1944 (Woodbridge, 1997), recounts the death of the author’s older brother Frank in the partisan war.
-
-90 . Denis Mack Smith, Modern Italy: A Political History (London, 1997 [1959]), 404 - 12; Kershaw, Hitler, II. 593.
-
-91 . Weinberg, A World at Arms, 593 - 6.
-
-92 . Smith, Modern Italy, 412 - 14; idem, Mussolini (London, 1987 [1981]), 341 - 6.
-
-93 . Christopher Duggan, The Force of Destiny: A History of Italy since 1796 (London, 2007), 520-26; Boberach (ed.), Meldungen, XV. 5,755 (13 September 1943); Kershaw, Hitler, II. 593 - 8.
-
-94 . Boberach (ed.), Meldungen, XVI. 6,304 (7 February 1944) (italics in original).
-
-95 . Bosworth, Mussolini’s Italy, 503-5; Herbert, Hitler’s Foreign Workers, 282-7; Boberach (ed.), Meldungen, XIV. 5,724-5 (9 September 1943), and XV. 5,766 (13 September 1943) (italics in original).
-
-96 . Luigi Cajani, ‘Die italienischen Militär-Internierten im nationalsozialistischen Deutschland’, in Herbert (ed.), Europa und der ‘Reichseinsatz’, 295-316, at 308; also Brunello Mantelli, ‘Von der Wanderarbeit zur Deportation: Die italienischen Arbeiter in Deutschland 1938-1945’, in ibid., 51-89; Ralf Lang, Italienische ‘Fremdarbeiter’ im nationalsozialistischen Deutschland 1937-1945 (Frankfurt am Main, 1996), 83-110; Spoerer, Zwangsarbeit, 228.
-
-97 . Nicholas, The Rape of Europa, 229 - 72 (quote on 266 - 7).
-
-98 . Boberach (ed.), Meldungen, XIV. 5,540 - 41 (29 July 1943).
-
-99 . Smith, Mussolini, 348 - 67.
-
-100 . Ibid.; Boberach (ed.), Meldungen, XV. 5,755 (13 September 1943).
-
-101 . Friedländer, The Years of Extermination, 559-77; Longerich, Politik, 553-4, 560; Robert Katz, The Battle for Rome: The Germans, the Allies, the Partisans, and the Pope, September 1943-June 1944 (New York, 2003), 61-85; idem, Black Sabbath: A Journey through a Crime against Humanity (London, 1969),3 - 104.
-
-102 . See Evans, Telling Lies, 103 - 8; and Steur, Theodor Dannecker, 113 - 28.
-
-103 . Meir Michaelis, Mussolini and the Jews: German-Italian Relations and the Jewish Question in Italy, 1922-1945 (Oxford, 1978); Susan Zuccotti, The Italians and the Holocaust: Persecution, Rescue and Survival (London, 1987); Katz, Black Sabbath, 105 - 292; Lilliana Picciotto Fargion, ‘Italien’, in Wolfgang Benz (ed.), Dimension des Völkermords: Die Zahl der jüdischen Opfer des Nationalsozialismus (Munich, 1991), 199 - 228; Jonathan Steinberg, All or Nothing: The Axis and the Holocaust 1941-1943 (London, 1991); Susan Zuccotti, Under His Very Windows: The Vatican and the Holocaust in Italy (London, 2001).
-
-104 . Longerich, Politik, 561 - 2.
-
-105 . Ibid., 561.
-
-106 . Bosworth, Mussolini’s Italy, 498 - 530 (statistics on 522).
-
-107 . Primo Levi, If This Is a Man (London, 1957 [1948]).
-
-108 . Frank Snowden, ‘Latina Province 1944-1950’, Journal of Contemporary History, 43/3 (2008), 509 - 26; Paul Weindling, Epidemics and Genocide in Eastern Europe, 1890 - 1945 (Oxford, 2000), 2 - 3, 76 - 9, 376 - 8; Michael H. Kater, Doctors under Hitler (Chapel Hill, N.C., 1989).
-
-109 . Snowden, ‘Latina Province’.
-
-110 . Weinberg, A World at Arms, 367 - 9
-
-111 . Ibid., 64-73; Tooze, The Wages of Destruction, 338-9, 397-9; Kershaw, Hitler, II. 585; detailed account in Werner Rahn, ‘The War at Sea in the Atlantic and in the Arctic Ocean’, GSWW VI. 301 - 468.
-
-112 . Klaus von Trotha, ‘ “Ran, Angreifen, Versenken!” Aus dem Tagebuch eines U-Boots Kapita ̈ns’, in Georg von Hase (ed.), Die Kriegsmarine im Kampf um den Atlantik: Erlebnisberichte von Mitkämpfern (Leipzig, 1942), 40 - 69.
-
-113 . Meier-Welcker, Aufzeichnungen, 98 - 103 (31 December 1940).
-
-114 . Michael Salewski, Die deutsche Seekriegsleitung 1935-1945 (Frankfurt am Main, 1970), I. 175 - 207.
-
-115 . Weinberg, A World at Arms, 367 - 82.
-
-116 . Ibid., 235 - 7, 358, 382.
-
-117 . Ibid., 382 - 9.
-
-118 . Bernd Wegner, ‘Von Stalingrad nach Kursk’, in DRZW VII. 3 - 82, at 3 - 8.
-
-119 . Helmut Blume, Zum Kaukasus 1941-1942: Aus Tagebuch und Briefen eines jungen Artilleristen (Tübingen, 1993), 140 (letter to parents, 2 November 1942).
-
-120 . Ibid., 141 (letter to parents, 14 November 1942).
-
-121 . Wegner, ‘The War against the Soviet Union’, 1,022 - 59, 1,173 - 92.
-
-122 . Kershaw, Hitler II. 529 - 33; Wegner, ‘The War against the Soviet Union’.
-
-123 . Reddemann (ed.), Zwischen Front und Heimat, 761 (to Agnes, 16 February 1943).
-
-124 . Ibid., Introduction. His widow never remarried.
-
-125 . Wegner, ‘Von Stalingrad’, 62.
-
-126 . Ibid., 63 - 9.
-
-127 . Ibid., 69-79; Karl-Heinz Frieser, ‘Die Schlacht im Kursker Bogen’, in DRZW VIII. 83 - 210, at 83 - 5.
-
-128 . Ibid., 83 - 102.
-
-129 . Quoted in ibid., 102; details in ibid., 102 - 3.
-
-130 . Ibid., 104 - 6.
-
-131 . Ibid., 106 - 12.
-
-132 . Ibid., 112 - 19.
-
-133 . Ibid., 119-39. Frieser’s meticulous and radically revisionist account of Kursk supersedes all previous narratives of the battle.
-
-134 . Ibid., 140 - 72.
-
-135 . Ibid., 173 - 207.
-
-136 . Quoted in ibid., 200.
-
-137 . Ibid., 190 - 208 (quote on 208).
-
-138 . Karl-Heinz Frieser and Klaus Schönherr, ‘Der Rückschlag des Pendels: Das Zurückweichen der Ostfront von Sommer 1943 bis Sommer 1944’, in DRZW VIII. 277 - 490, at 277.
-
-139 . Karl-Heinz Frieser, ‘Zusammenfassung’, in DRZW VIII. 1,211 - 24.
-
-140 . Bernd Wegner, ‘Die Aporie des Krieges’, in DRZW VII. 211 - 76, at 256 - 69.
-
-141 . Ibid., 259 - 60.
-
-142 . Frieser and Schönherr, ‘Der Rückschlag’, 324 - 5.
-
-143 . Sven Oliver Müller, ‘Nationalismus in der deutschen Kriegsgesellschaft 1939 bis 1945’, in DRZW IX/II. 9 - 92, at 70 - 92.
-
-144 . Hürter (ed.), Ein deutscher General, 12 - 42.
-
-145 . Bock, Zwischen Pflicht und Verweigerung, Introduction, and 125 - 7.
-
-146 . Reinhard Stumpf, Die Wehrmacht-Elite: Rang- und Herkunftsstruktur der deutschen Generale und Admirale 1933 - 1945 (Boppard, 1982), 298 - 302.
-
-147 . Quoted in Gerd R. Ueberschär and Winfried Vogel, Dienen und Verdienen: Hitlers Geschenke an seine Eliten (Frankfurt am Main, 2000 [1999]), 147-8; for the above details, see ibid., 146 - 82.
-
-148 . Rass, ‘Das Sozialprofil’, 712 - 18.
-
-149 . Ibid., 647.
-
-150 . Ibid., 651 - 7.
-
-151 . Ibid., 658 - 80.
-
-152 . Ibid., 682 - 3.
-
-153 . Ibid., 690.
-
-154 . Horst F. Richardson, Sieg Heil! War Letters of Tank Gunner Karl Fuchs, 1937 - 1941 (Hamden, Conn., 1987), 124 (4 August 1941); more generally, Jürgen Förster, ‘Geistige Kriegführung in Deutschland 1919 bis 1945’, in DRZW IX/I. 469 - 640, esp. 469 - 559.
-
-155 . Ibid., 560 - 640.
-
-156 . Manoschek (ed.), ‘Es gibt nur Eines’, 52 (O’Gefr. A. G., 1 March 1942).
-
-157 . Ibid., 69 (Uffz. A. N., 29 May 1943).
-
-158 . Ibid., 74 (Uffz. O. D., 16 August 1944).
-
-159 . Hosenfeld, ‘Ich versuche’, 780 - 82 (diary, 28 December 1943).
-
-160 . Hürter (ed.), Ein deutscher General, 142.
-
-161 . Rass, ‘Das Sozialprofil’, 723 - 5, 733 - 5.
-
-162 . See the classic study of Edward A. Shils and Morris Janowitz, ‘Cohesion and Disintegration in the Wehrmacht in World War II’, Public Opinion Quarterly, 12 (1948), 280 - 315.
-
-163 . Thomas Kühne, ‘Gruppenkohäsion und Kameradschaftsmythos in der Wehrmacht’, in Rolf-Dieter Müller and Hans-Erich Volkmann (eds.), Die Wehrmacht: Mythos und Realität (Munich, 1999), 534-59; idem, ‘Zwischen Männerbund und Volksgemeinschaft: Hitlers Soldaten und der Mythos der Kameradschaft’, Archiv für Sozialgeschichte, 38 (1998), 165-89; more generally, idem, Kameradschaft: Die Soldaten des nationalsozialistischen Krieges und das 20. Jahrhundert (Göttingen, 2006).
-
-164 . Manfred Messerschmidt and Fritz Wüllner, Die Wehrmachtjustiz im Dienste des Nationalsozialismus: Zerstörung einer Legende (Baden-Baden, 1987), 50.
-
-165 . Ibid., 63 - 89.
-
-166 . Ibid., 69.
-
-167 . Ibid., 102.
-
-168 . Ibid., 102 - 3.
-
-169 . Ibid., 115; also 91, 132 - 68. Maria Fritsche, Österreichische Deserteure und Selbstverstümmler in der Deutschen Wehrmacht (Vienna, 2004).
-
-170 . Bernd Wegner, Hitlers politische Soldaten: Die Waffen-SS 1933-1945: Studien zu Leitbild, Struktur und Funktion einer nationalsozialistischen Elite (Paderborn, 1982), 210, 305, 316 - 17; Höhne, The Order of the Death’s Head, 401 - 24.
-
-171 . Quoted in ibid., 425.
-
-172 . ‘Die Rede Himmlers vor den Gauleitern am 3. August 1944’, VfZ 1 (1953), 357 - 94.
-
-173 . Höhne, The Order of the Death’s Head, 432 - 5.
-
-174 . Ibid., 435; Overmans, Deutsche Militärische Verluste, 257.
-
-175 . Quoted in Höhne, The Order of the Death’s Head, 401 - 2.
-
-176 . Ibid., 436 - 7.
-
-177 . Ibid., 438 - 40.
-
-178 . Speer, Inside the Third Reich, 341.
-
-179 . Ibid., 409.
-
-180 . Boberach (ed.), Meldungen, XIII. 4,981-2 (22 March 1943); Kershaw, Hitler, II. 555 - 6.
-
-181 . Speer, Inside the Third Reich, 407 - 18.
-
-182 . Fritz Redlich, Hitler: Diagnosis of a Destructive Prophet (New York, 1998), 223 - 54.
-
-183 . Kershaw, Hitler, II. 564 - 6, 611 - 15.
-
-184 . Fröhlich (ed.), Die Tagebücher (25 July 1943).
-
-185 . Ludwig Metzger to Hans Fritsche, 12 September 1944, in Wulf, Presse und Funk, 359 - 60.
-
-186 . Speer, Inside the Third Reich, 271.
-
-187 . Kershaw, Hitler, II. 571 - 2.
-
-188 . Hassell, The von Hassell Diaries, 247
-
-189 . Fröhlich (ed.), Die Tagebücher II/VII, 447 - 51 (2 March 1943).
-
-190 . Noakes (ed.), Nazism, IV. 27-46; Dieter Rebentisch, Führerstaat und Verwaltung im Zweiten Weltkrieg (Stuttgart, 1989).
-
-191 . Kershaw, Hitler, II. 599.
-
-192 . Lammers to Bormann, 1 January 1945, quoted in Noakes (ed.), Nazism, IV. 35 - 7.
-
-193 . Ibid., 24 - 53.
-
-194 . Ibid., 54 - 91 (quotation on 90).
-
-195 . Ibid., 91 - 120.
-
-196 . Bärbel Wirrer (ed.), Ich glaube an den Führer: Eine Dokumentation zur Mentalitätsgeschichte in nationalsozialistischen Deutschland 1942 - 1945 (Bielefeld, 2003), 243 (Inge to Alfred, 7 August 1944).
-
-197 . Quoted in Hans Engelhard (ed.), Im Namen des deutschen Volkes: Justiz und Nationalsozialismus (Cologne, 1989), 287.
-
-198 . Quoted in Lothar Gruchmann, Justiz im Dritten Reich 1933-1940: Anpassung und Unterwerfung in der Ära Gürtner (Munich, 1988), 921.
-
-199 . Wrobel (ed.), Strafjustiz im totalen Krieg, 46.
-
-200 . Ibid., 46 - 9; Engelhard (ed.), Im Namen, 149 - 50; Noakes (ed.), Nazism, IV. 121 - 35.
-
-201 . Evans, Rituals, 689 - 737.
-
-202 . Hitler, Hitler’s Table Talk, 303 (8 February 1942).
-
-203 . Engelhard (ed.), Im Namen, 294.
-
-204 . Quoted in ibid., 293.
-
-205 . Evans, Rituals, 696 - 700; Martin Hirsch et al. (eds.), Recht, Verwaltung und Justiz im Nationalsozialismus (Cologne, 1984), 507 - 19; Engelhard (ed.), Im Namen, 267.
-
-206 . Hitler, Hitler’s Table Talk, 637 - 45.
-
-207 . Hans Boberach (ed.), Richterbriefe: Dokumente zur Beeinflussung der deutschen Rechtsprechung 1942-1944 (Boppard, 1975); Martin Broszat, ‘Zur Perversion der Strafjustiz im Dritten Reich’, VfZ 6 (1958), 390 - 443.
-
-208 . Boberach (ed.), Richterbriefe, 55 - 8.
-
-209 . Engelhard (ed.), Im Namen, 269; Patrick Wagner, ‘Das Gesetz über die Behandlung Gemeinschaftsfremder: Die Kriminalpolizei und die “Vernichtung des Verbrechertums” ’, in Götz Aly (ed.), Feinderklärung und Prävention: Kriminalbiologie: Zigeunerforschung und Asozialenpolitik (Berlin, 1988), 75 - 100.
-
-210 . For the willingness of the judiciary to go along with these measures, see Angermund, Deutsche Richterschaft.
-
-211 . Wachsmann, Hitler’s Prisons, 284 - 306.
-
-212 . Ibid., 237 - 41.
-
-213 . Noakes (ed.), Nazism, IV. 135 - 6.
-
-214 . Wachsmann, Hitler’s Prisons, 227 - 62, 392 - 7.
-
-215 . Quoted in Noakes (ed.), Nazism, IV. 168-9. More generally, see Georg Wagner-Kyora, ‘ “Menschenführung” in Rüstungsunternehmen der nationalsozialistischen Kriegswirtschaft’, in DRZW IX/II. 383 - 476.
-
-216 . Höss, Commandant of Auschwitz, 90 - 91.
-
-217 . Karin Orth, ‘Gab es eine Lagergesellschaft? “Kriminelle” und politische Häftlinge im Konzentrationslager’, in Frei et al. (eds.), Ausbeutung, 109-33; Hermann Kaienburg, ‘Deutsche politische Häftlinge im Konzentrationslager Neuengamme und ihre Stellung im Hauptlager’, in Detlef Garbe (ed.), Häftlinge in KZ Neuengamme: Verfolgungserfahrungen, Häftlingssolidarität und nationale Bindung (Hamburg, 1999), 26-80; Lutz Niethammer (ed.), Der ‘gesäuberte’ Antifaschismus: Die SED und die roten Kapos von Buchenwald (Berlin, 1994); Benedikt Kautsky, Teufel und Verdammte: Erfahrungen und Erkenntnisse aus sieben Jahren in deutschen Konzentrationslagern (Vienna, 1961), 159 - 63, quoted in Noakes (ed.), Nazism, IV. 162 - 4.
-
-218 . Ibid., 170 - 71; Wachsmann, Hitler’s Prisons, 394 - 5; Garbe (ed.), Häftlinge, 203.
-
-219 . Kautsky, Teufel, quoted in Noakes (ed.), Nazism, IV. 167-8; see also Herbert Obenaus, ‘Der Kampf um das ẗgliche Brot’, in Ulrich Herbert et al. (eds.), Die nationalsozialistischen Konzentrationslager: Entwicklung und Struktur (2 vols., Göttingen, 1998), II. 841-73; and Florian Freund, ‘Häftlingskategorien und Sterblichkeit in einem Aussenlager des KZ Mauthausen’, in ibid., 874 - 86. See also the remarkable study by Stanislav Zamecnik, Das war Dachau (Frankfurt am Main, 2007 [2002]), esp. 226 - 322.
-
-220 . Quoted in Noakes and Pridham (eds.), Nazism, III. 618.
-
-221 . Steinbacher, Auschwitz, 59; Karin Orth, ‘Die Kommandanten der nationalsozialistischen Konzentrationslager’, in Herbert et al. (eds.), Die nationalsozialistischen Konzentrationslager , II. 755 - 86.
-
-222 . Burleigh, Death, 220; Schmuhl, Rassenhygiene, 217 - 19.
-
-223 . For Mennecke’s letters and reports, see Peter Chroust (ed.), Friedrich Mennecke: Innenansichten eines medizinischen Täters im Nationalsozialismus: Eine Edition seiner Briefe 1935 - 1947 (Hamburg, 1988); letter quoted in ibid., I. 242 - 4; see also Trus, ‘. . . vom Leid erlösen’, 118 - 19.
-
-224 . Schmuhl, Rassenhygiene, 217 - 19; Burleigh, Death, 220 - 29.
-
-225 . Klee, ‘Euthanasie’, 418.
-
-226 . Quoted in Ganssmüller, Die Erbgesundheitspolitik, 174-5; see also Fridlof Kudlien, Arzte im Nationalsozialismus (Cologne, 1985), 210.
-
-227 . Burleigh, Death, 239-45; Klee (ed.), Dokumente, 286-97; idem, ‘Euthanasie’, 429 - 39.
-
-228 . Burleigh, Death, 238 - 48; Schmuhl, Rassenhygiene, 220 - 36.
-
-229 . Klee, ‘Euthanasie’, 439 - 56.
-
-230 . Schmuhl, Rassenhygiene, 237 - 9; Burleigh, Death, 255 - 7.
-
-231 . Trus, ‘. . . vom Leid erlösen’, 116, 129 - 30.
-
-232 . Burleigh, Death, 230 - 31.
-
-233 . Klee (ed.), Dokumente, 302 - 3; idem, ‘Euthanasie’, 417 - 21.
-
-234 . Klee (ed.), Dokumente, 303.
-
-235 . Quoted in Schmuhl, Rassenhygiene, 346.
-
-236 . Klee, ‘Euthanasie’, 421 - 5.
-
-237 . Ganssmüller, Die Erbgesundheitspolitik, 175.
-
-238 . Klee (ed.), Dokumente, 300 - 301.
-
-239 . Ibid., 301 - 2.
-
-240 . Evans, The Third Reich in Power, 524 - 7.
-
-241 . Lewy, The Nazi Persecution, 65 - 106.
-
-242 . Ibid., 107 - 32 (quote on 130). The numbers killed in all these cases remains uncertain, and available estimates vary wildly.
-
-243 . Deletant, Hitler’s Forgotten Ally, 187 - 96.
-
-244 . Lewy, The Nazi Persecution, 135.
-
-245 . Höss, Commandant of Auschwitz, 138 - 42.
-
-246 . Lewy, The Nazi Persecution, 167 - 228. See also Michael Zimmermann, ‘Die nationalsozialistische Zigeunerverfolgung, das System der Konzentrationslager und das Zigeunerlager in Auschwitz-Birkenau’, in Herbert et al. (eds.), Die nationalsozialistischen Konzentrationslager, II. 887 - 910.
-
-247 . Quoted in Noakes (ed.), Nazism, IV. 392.
-
-248 . Burkhard Jellonek, Homosexuelle unter dem Hakenkreuz: Die Verfolgung Homosexueller im Dritten Reich (Paderborn, 1990), 117.
-
-249 . Ibid., 257, 269- 73, 282- 7; Geoffrey Giles, ‘The Denial of Homosexuality: Same-Sex Incidents in Himmler’s SS and Police’, in Dagmar Herzog (ed.), Sexuality and German Fascism (New York, 2005), 256 - 90, at 265 - 9. 250. Ibid., 269 - 90.
-
-251 . Jellonek, Homosexuelle, 329.
-
-252 . Geoffrey Giles, ‘The Institutionalization of Homosexual Panic in the Third Reich’, in Robert Gellately and Nathan Stoltzfus (eds.), Social Outsiders in Nazi Germany (Princeton, N.J., 2001), 233 - 55.
-
-253 . Noakes (ed.), Nazism, IV. 395.
-
-254 . Höss, Commandant of Auschwitz, 103 - 4.
-
-255 . Zamecnik, Das war Dachau, 230.
-
-256 . Till Bastian, Homosexuelle im Dritten Reich: Geschichte einer Verfolgung (Munich, 2000), 79 - 84.
-
-257 . See Evans, The Third Reich in Power, 529-35, also for the plight of homosexuals in Nazi Germany before 1939. For Jehovah’s Witnesses, see ibid., 254 - 5.
-
-258 . Detlev J. K. Peukert, ‘Arbeitslager und Jugend-KZ: Die Behandlung “Gemeinschaftsfremder” im Dritten Reich’, in idem and Jürgen Reulecke (eds.), Die Reihen fast geschlossen: Beiträge zur Geschichte des Alltags unterm Nationalsozialismus (Wuppertal, 1981), 413 - 34, at 416.
-
-259 . Quoted in Norbert Frei, Der Führerstaat: Nationalsozialistische Herrschaft 1933 bis 1945 (Munich, 1987), 202 - 8.
-
-260 . Peukert, ‘Arbeitslager’, 416.
-
-
-
-Chapter 6. GERMAN MORALITIES
-
-1 . Quoted in Vandana Joshi, Gender and Power in the Third Reich: Female Denouncers and the Gestapo, 1933 - 45 (London, 2003), 60.
-
-2 . Ibid., 59 - 61.
-
-3 . Rita Wolters, Verrat für die Volksgemeinschaft: Denunziantinnen im Dritten Reich (Pfaffenweiler, 1996), 59 - 61.
-
-4 . Joshi, Gender, 168 - 97.
-
-5 . Ibid., 152; more generally, see Birthe Kundrus, Kriegerfrauen: Familienpolitik und Geschlechterverhältnisse im Ersten und Zweiten Weltkrieg (Hamburg, 1995).
-
-6 . Noakes (ed.), Nazism, IV. 374.
-
-7 . Ibid.; see also Michelle Mouton, From Nurturing the Nation to Purifying the Volk: Weimar and Nazi Family Policy, 1918 - 1945 (New York, 2007), 224 - 32.
-
-8 . Noakes (ed.), Nazism, IV. 368 - 9.
-
-9 . Ibid., 373.
-
-10 . Ibid., 375 - 84.
-
-11 . Dagmar Herzog, ‘Hubris and Hypocrisy, Incitement and Disavowal: Sexuality and German Fascism’, in eadem (ed.), Sexuality and German Fascism, 1 - 21, at 18 - 19.
-
-12 . Quoted in Stibbe, Women, 155.
-
-13 . Noakes, Nazism, IV. 385 - 90.
-
-14 . Boberach (ed.), Meldungen, XVI. 6,487 (italics in original); Mouton, From Nurturing the Nation, 186, 193 - 4.
-
-15 . Boberach (ed.), Meldungen, XVI. 6,487.
-
-16 . Ibid.; also Stibbe, Women, 159.
-
-17 . Wirrer (ed.), Ich glaube an den Führer, 324 (Inge to Fred, 17 April 1945).
-
-18 . Gerwin Udke (ed.), ‘Schreib so oft Du kannst’: Feldpostbriefe des Lehrers Gerhard Udke, 1940 - 1944 (Berlin, 2002), 73 (Gerhard to Dorothea Udke, 3 April 1942).
-
-19 . Benedikt Burkard and Friederike Valet (eds.), ‘Abends wenn wir essen, fehlt uns immer einer’: Kinder schreiben an die Väter, 1939-1945 (Heidelberg, 2000), 240 (1 November 1943).
-
-20 . John S. Conway, The Nazi Persecution of the Churches 1933-1945 (London, 1968), 232 - 53; Evans, The Third Reich in Power, 220 - 60.
-
-21 . Ibid., 253, 220 - 60.
-
-22 . Hitler, Hitler’s Table Talk, 555 - 6 (4 July 1942).
-
-23 . Ibid., 322 (20 - 21 February 1942).
-
-24 . Ibid., 323 (20 - 21 February 1942).
-
-25 . Ibid., 59 (14 October 1941).
-
-26 . Ibid., 51 (10 October 1941).
-
-27 Ibid., 75-6 (19 October 1941).
-
-28 . Ibid., 145 (13 December 1941).
-
-29 Ibid., 6-7 (11-12 July 1941).
-
-30 . Broszat et al. (eds.), Bayern, I. 423 (Aus Visitationsberichten Dekanat Hof (Oberfranken), 1941).
-
-31 Conway, The Nazi Persecution, 259-60, 383-6.
-
-32 Ian Kershaw, Popular Opinion and Political Dissent in the Third Reich: Bavaria 1933- 1945 (Oxford, 1983), 331-40.
-
-33 . Broszat et al. (eds.), Bayern, I. 148 (Aus Monatsbericht des Landrats, 31 March 1941).
-
-34 Kershaw, Popular Opinion, 331-57.
-
-35 . Broszat et al. (eds.), Bayern, I. 424 (Aus Visitationsberichten Dekanat Hof (Oberfranken), 1942).
-
-36 . Ibid.
-
-37 Friedl̈nder, The Years of Extermination, 302-3.
-
-38 . Griech-Polelle, Bishop von Galen, 195.
-
-39 Friedl̈nder, The Years of Extermination, 303.
-
-40 . Quoted in Michael Phayer, The Catholic Church and the Holocaust, 1930-1965 (Bloomington, Ind., 2000), 75.
-
-41 Friedl̈nder, The Years of Extermination, 559-74.
-
-42 . For this view, see John Cornwell, Hitler’s Pope: The Secret History of Pius XII (London, 1999).
-
-43 Zuccotti, Under His Very Windows; Robert S. Wistrich, ‘The Vatican Documents and the Holocaust: A Personal Report’, Polin: Studies in Polish Jewry, 15 (2002), 413-43.
-
-44 Friedl̈nder, The Years of Extermination, 56.
-
-45 . Ibid., 300.
-
-46 . Heinrich Hermelink (ed.), Kirche im Kampf: Dokumente des Widerstands und des Aufbaus in der evangelischen Kirche Deutschlands von 1933 bis 1945 (Tübingen, 1950), 654-8, 700-702; Theophil Wurm, Aus meinem Leben (Stuttgart, 1953), 88-177; he retired in 1949, aged eighty, and died in 1953.
-
-47 . Klemperer, To the Bitter End, 14 (15 February 1942).
-
-48 . Ibid., 5 (13 January 1942).
-
-49 . Ibid., 27 (16 March 1942).
-
-50 . Ibid., 148 (17 October 1942).
-
-51 . Ibid., 127 (29 August 1942).
-
-52 . Ibid., 361 (26 November 1944).
-
-53 Otto Dov Kulka and Eberhard J̈ckel (eds.), Die Juden in den Geheimen NS-STIMMUNGSBERICHTEN 1933-1945 (D̈sseldorf, 2004), 489 (NSDAP Meinberg, March 1942).
-
-54 . Peter Longerich, ‘Davon haben wir nichts gewusst!’ Die Deutschen und die Judenverfolgung 1933-1945 (Munich, 2006), 253-4.
-
-55 Friedl̈nder, The Years of Extermination, 294.
-
-56 . Klemperer, I Shall Bear Witness, 423 (1 November 1941).
-
-57 . Klemperer, To the Bitter End, 46 (8 May 1942), 50 (15 May 1942).
-
-58 Friedl̈nder, The Years of Extermination, 289.
-
-59 . Klemperer, To the Bitter End, 179 (8 January 1943).
-
-60 . Ibid., 282 (7 February 1944).
-
-61 . Ibid., 204 (16 April 1943).
-
-62 . Klemperer, I Shall Bear Witness, 404 (21 July 1941).
-
-63 Friedl̈nder, The Years of Extermination, 251-5; David Bankier, The Germans and the Final Solution: Public Opinion under Nazism (Oxford, 1992), 124-30. See also Frank Bajohr and Dieter Pohl, Der Holocaust als offenes Geheimnis: Die Deutschen, die NS-FÜHRUNG und die Alliierten (Munich, 2006); Ian Kershaw, Hitler, the Germans and the Final Solution (London, 2008); and Bernward D̈rner, Die Deutschen und der Holocaust: Was niemand wissen wollte, aber jeder wissen konnte (Berlin, 2007).
-
-64 Longerich, ‘Davon’, 175-81.
-
-65 Kulka and J̈ckel (eds.), Die Juden, 476-7 (SD-Aussenstelle Minden, 6 and 12 December 1941).
-
-66 . Ibid., 478 (SD Hauptaussenstelle Bielefeld, 16 December 1941).
-
-67 . Ibid., 503 (SD Aussenstelle Detmold, 31 July 1942), and 476-7 (SD Aussenstelle Minden, 6 December 1941).
-
-68 . Solmitz, Tagebuch, 691 (7 November 1941).
-
-69 . Ibid., 699 (5 December 1941).
-
-70 . Ibid., 747-9 (14 July 1942, 22 July 1942).
-
-71 . Ibid., 768-9, 776, 780, 782, 788, 796 (25 September 1942, 26 September 1942, 9 November 1942, 24 November 1942, 21 December 1942, 26 January 1943).
-
-72 . David M. Crowe, Oskar Schindler: The Untold Account of His Life, Wartime Activities, and the True Story Behind The List (Cambridge, Mass., 2004). The story was filmed by Steven Spielberg under the title Schindler’s List.
-
-73 . Hosenfeld, ‘Ich versuche’, 710 (letter to wife, 31 March 1943), 739 (letter to wife, 29 July 1943).
-
-74 . Ibid., 108-11.
-
-75 . Wladyslaw Szpilman, The Pianist: The Extraordinary True Story of One Man’s Survival in Warsaw, 1939-1945 (London, 2002). The book became the basis for Roman Polanski’s movie The Pianist.
-
-76 Deb’rah Dwork and Robert Jan van Pelt, Holocaust: A History (London, 2002), 337-55.
-
-77 . Walter Laqueur, The Terrible Secret: Suppression of the Truth about Hitler’s ‘Final Solution’ (London, 1980).
-
-78 Saul Friedl̈nder, Kurt Gerstein oder die Zwiesp̈ltigkeit des Guten (G̈tersloh, 1968).
-
-79 Friedl̈nder, The Years of Extermination, 454-6.
-
-80 . David Engel, ‘The Western Allies and the Holocaust: Jan Karski’s Mission to the West, 1942-1944’, Holocaust and Genocide Studies, 5 (1990), 363-446.
-
-81 . Bernard Wasserstein, Britain and the Jews of Europe, 1939-1945 (London, 1979); excerpts in Herf, The Jewish Enemy, 174-5.
-
-82 . William D. Rubinstein, The Myth of Rescue: Why the Democracies Could Not Have Saved More Jews from the Nazis (London, 1997), puts the case, somewhat intemperately, against the claim that the Allies could have rescued the remaining Jews of Europe.
-
-83 Longerich, ‘Davon’, 201-62, 325.
-
-84 Boelcke (ed.), ‘Wollt Ihr den totalen Krieg?’, 410-11 (14-16 December 1942).
-
-85 . As argued in Goldhagen, Hitler’s Willing Executioners.
-
-86 . Behnken (ed.), Deutschland-Berichte, VII. 157 (7 March 1940).
-
-87 Kershaw, Hitler, the Germans and the Final Solution, 119-234.
-
-88 Longerich, ‘Davon’, 290-91, 326-7.
-
-89 Kulka and Jäckel (eds.), Die Juden, 525 (Parteikanzlei Munich, 12 June 1943).
-
-90 . Ibid., 527 (SD-Berichte zu Inlandsfragen, 8 July 1943); see also ibid., 531 (SD-AUSSENSTELLE Schweinfurt, 6 September 1943).
-
-91 Ibid., 528 (SD-Aussenstelle Ẅrzburg, 3 August 1943).
-
-92 . Quoted in Noakes (ed.), Nazism, IV. 652.
-
-93 . Quoted in Wulf, Presse und Funk, 37 and 546.
-
-94 . David Welch, The Third Reich: Politics and Propaganda (London, 2002 [1993]), 159.
-
-95 Fr̈hlich (ed.), Die Tageb̈cher, II/III. 377 (26 February 1942).
-
-96 Evans, The Third Reich in Power, 207-18.
-
-97 Birthe Kundrus, ‘Totale Unterhaltung? Die kulturelle Kriegf̈hrung 1939 bis 1945 in Film, Rundfunk und Theater’, in DRZW IX/I. 93-157; Peter Longerich, ‘Nationalsozialistische Propaganda’, in Karl Dietrich Bracher et al. (eds.), Deutschland 1933-1945: Neue Studien zur nationalsozialistischen Herrschaft (D̈sseldorf, 1993), 291-314; Kaspar Maase, Grenzenloses Vergn̈gen: Der Aufstieg der Massenkultur 1850-1970 (Frankfurt am Main, 1997), 206-34; David Welch, ‘Nazi Propaganda and the Volksgemeinschaft: Constructing a People’s Community’, Journal of Contemporary History, 39 (2004), 213-38.
-
-98 Reported in Jay W. Baird, The Mythical World of Nazi War Propaganda, 1939-1945 (Minneapolis, Minn., 1974), 30.
-
-99 . Ibid.
-
-100 . Herf, The Jewish Enemy, 13, 22-6; Baird, The Mythical World, 28-31; Aristotle A. Kallis, Nazi Propaganda and the Second World War (London, 2005), 47-9, 59-62.
-
-101 Ibid., 40-62.
-
-102 Herf, The Jewish Enemy, 59-60.
-
-103 . Oron J. Hale, The Captive Press in the Third Reich (Princeton, N.J., 1964), 151, 234, 276-8, 287; William L. Combs, The Voice of the SS: A History of the SS Journal ‘Das Schwarze Korps’ (New York, 1986); Doris Kohlmann-Viand, NS-Pressepolitik im Zweiten Weltkrieg (Munich, 1991), 53-63; Richard Grunberger, A Social History of the Third Reich (London, 1974 [1971]), 504-5.
-
-104 Shirer, Berlin Diary, 189-90.
-
-105 . Jan-Pieter Barbian, Literaturpolitik im ‘Dritten Reich’: Institutionen, Kompetenzen, Beẗtigungsfelder (Munich, 1995 [1993]), 238-44, 344-5, 373; Joseph Wulf, Literatur und Dichtung im Dritten Reich: Eine Dokumentation (G̈tersloh, 1963), 222-3; Grunberger, A Social History, 453-6.
-
-106 Ralf Schnell, Literarische innere Emigration 1933-1945 (Stuttgart, 1976); Evans, The Third Reich in Power, 149-63.
-
-107 Kundrus, ‘Totale Unterhaltung?’, 114-19.
-
-108 . Shelley Baranowski, Strength Through Joy: Consumerism and Mass Tourism in the Third Reich (Cambridge, 2004), 199-230; Kristin Semmens, Seeing Hitler’s Germany: Tourism in the Third Reich (London, 2005), 154-86.
-
-109 . Boberach (ed.), Meldungen, IX. 3,371 (26 February 1942).
-
-110 . Telegram of 27 November 1939, quoted in Friederike Euler, ‘Theater zwischen Anpassung und Widerstand: Die M̈nchner Kammerspiele im Dritten Reich’, in Broszat et al., (eds.), Bayern, II. 91-173, at 159.
-
-111 Ibid., 160-72.
-
-112 Kundrus, ‘Totale Unterhaltung?’, 119-21. See also Boguslaw Drewniak, Das Theater im NS-Staat: Szenarium deutscher Zeitgeschichte 1933-1945 (D̈sseldorf, 1983). For film and newsreel in the 1930s, see Evans, The Third Reich in Power, 125-33.
-
-113 . Wolf Donner, Propaganda und Film im ‘Dritten Reich’ (Berlin, 1993); Boguslaw Drewniak, Der deutsche Film 1938-1945: Ein Gesamẗberblick (D̈sseldorf, 1987); Hilmar Hoffmann, The Triumph of Propaganda: Film and National Socialism 1933- 1945 (Oxford, 1996 [1988]); Eric Rentschler, The Ministry of Illusion: Nazi Cinema and its Afterlife (Cambridge, Mass., 1996); Harro Segeberg (ed.), Mediale Mobilmachung, I: Das Dritte Reich und der Film (Munich, 2004); Gerhard Stahr, Volksgemeinschaft vor der Leinwand? Der nationalsozialistische Film und sein Publikum (Berlin, 2001).
-
-114 . Kundrus, ‘Totale Unterhaltung?’, 101; Welch, Propaganda and the German Cinema 217-18.
-
-115 . Kundrus, ‘Totale Unterhaltung?’, 105-7; however, see the more optimistic reports in Gerd Albrecht (ed.), Film im Dritten Reich: Eine Dokumentation (Karlsruhe, 1979), 225-32.
-
-116 . Welch, Propaganda and the German Cinema, 249.
-
-117 Kundrus, ‘Totale Unterhaltung?’, 102-4; Welch, Propaganda and the German Cinema, 186-200; Kallis, Nazi Propaganda, 188-94.
-
-118 Welch, Propaganda and the German Cinema, 238-80.
-
-119 Boberach (ed.), Meldungen, VII. 2,293-5 (12 May 1941).
-
-120 Welch, Propaganda and the German Cinema, 284-92.
-
-121 Ibid., 292-301; Friedl̈nder, The Years of Extermination, 19-24, 98-102, both excellent general introductory surveys. Public reactions are documented in Kulka and J̈ckel (eds.), Die Juden, 434-40. For the reception, see David Culbert, ‘The Impact of AntiSemitic Film Propaganda on German Audiences: Jew Süss and The Wandering Jew (1940)’, in Richard A. Etlin (ed.), Art, Culture, and Media under the Third Reich (Chicago, Ill., 2002), 139-57, at 139-47, and Karl-Heinz Reuband, ‘ “Jud S̈ss” und “Der ewige Jude” als Prototypen antisemitischer Filmpropaganda im Dritten Reich: Entstehungsbedingungen, Zuschauerstrukturen und Wirkungspotential’, in Michel Andel et al. (eds.), Propaganda, (Selbst-) Zensur, Sensation: Grenzen von Presse- und Wissenschaftsfreiheit in Deutschland und Tschechien seit 1871 (Essen, 2005), 89-148.
-
-122 . Shirer, Berlin Diary, 190. The movie he was referring to was China Seas, released in the USA in 1935, dubbed into German, as foreign-language films always were, and given a new title.
-
-123 Mary-Elizabeth O’Brien, ‘The Celluloid War: Packaging War for Sale in Nazi Home-Front Films’, in Etlin (ed.), Art, 158-80.
-
-124 . Gerd Albrecht, Nationalsozialistische Filmpolitik: Eine Soziologische Untersuchung ̈ber die Spielfilme des Dritten Reiches (Stuttgart, 1969), 110.
-
-125 . Kundrus, ‘Totale Unterhaltung?’, 107; more generally, see Kallis, Nazi Propaganda, 194-217.
-
-126 . Boberach (ed.), Meldungen, XIII. 4,892 (4 March 1943); Welch, Propaganda and the German Cinema, 201-3, 222-4; Baird, The Mythical World, 217-27.
-
-127 . Welch, Propaganda and the German Cinema, 225-37; Kundrus, ‘Totale Unterhaltung? ’, 107-8; Kallis, Nazi Propaganda, 153-84, for the general background; ibid., 198- 202, for Kolberg; Fr̈hlich (ed.), Die Tageb̈cher II/XV, 542 (9 March 1945), for the Goebbels quote.
-
-128 For radio in the 1930s, see Evans, The Third Reich in Power, 133-7.
-
-129 Boberach (ed.), Meldungen, IX. 3,199 (22 January 1942); Uta C. Schmidt, ‘Radioaneignung’, in Inge Marssolek and Adelheid von Saldern (eds.), Zuḧren und Geḧrtwerden (2 vols., T̈bingen, 1998), I: Radio im Nationalsozialismus: Zwischen Lenkung und Ablenkung, 243-360, at 351-3; Michael Kater, Different Drummers: Jazz in the Culture of Nazi Germany (New York, 1992), 111-25.
-
-130 Wilhelm Schepping, ‘Zeitgeschichte im Spiegel eines Liedes’, in G̈nter Noll and Marianne Br̈cker (eds.), Musikalische Volkskunde aktuell (Bonn, 1984), 435-64; Maase, Grenzenloses Vergn̈gen, 218-21.
-
-131 Wulf, Presse und Funk, 358-61.
-
-132 . Boberach (ed.), Meldungen, IX. 3,166 (15 January 1942).
-
-133 Johnson, Nazi Terror, 322-8. 134. Schmidt, ‘Radioaneignung’, 354 n. 435.
-
-135 Evans, Rituals, 694-5.
-
-136 Shirer, Berlin Diary, 206-7.
-
-137 Horst J. P. Bergmeier and Rainer E. Lotz, Hitler’s Airwaves: The Inside Story of Nazi Radio Broadcasting and Propaganda Swing (London, 1997), esp. 99-110, 136-77, 332-3.
-
-138 . Kater, Different Drummers, 102-10, 190-94; for jazz and the Swing Youth in the later 1930s, see Evans, The Third Reich in Power, 204-7.
-
-139 For classical music in the 1930s, see ibid., 186-203.
-
-140 Frederic Spotts, Hitler and the Power of Aesthetics (London, 2002), 232-3; Erik Levi, Music in the Third Reich (London, 1994), 209-12.
-
-141 Hitler, Hitler’s Table Talk, 242 (24-5 January 1942, also for general remarks by Hitler on his continuing love for Wagner’s music).
-
-142 Spotts, Hitler, 233-4, 259-63; L’har, born in 1870, met Hitler in 1936; he died in 1948.
-
-143 . Levi, Music in the Third Reich, 195.
-
-144 Ibid., 195-219.
-
-145 . Hitler, Hitler’s Table Talk, 449 (30 April 1942).
-
-146 Fr̈hlich (ed.), Die Tageb̈cher, II/XI. 82 (13 January 1944).
-
-147 . Richard J. Evans, Rereading German History: From Unification to Reunification 1800- 1996 (London, 1997), 187-93; Sam H. Shirakawa, The Devil’s Music Master: The Controversial Life and Career of Wilhelm Furtẅngler (New York, 1992), 290-93. The attempts of Shirakawa and Fred K. Prieberg, Trial of Strength: Wilhelm Furtẅngler and the Third Reich (London, 1991 [1986]) to portray the conductor as a hero of the resistance to Hitler do not convince.
-
-148 . Quoted in Walter Klingler, Nationalsozialistische Rundfunkpolitik 1942-1945: Organisation, Programm und die Ḧrer (Mannheim, 1983), 137.
-
-149 . Boberach (ed.), Meldungen, XV. 5,808 (27 September 1943).
-
-150 . Ibid., 5,807.
-
-151 . Ibid.
-
-152 . Ibid.
-
-153 . Ibid., 5,809.
-
-154 . Michael H. Kater, Composers of the Nazi Era: Eight Portraits (New York, 2000), 248-59.
-
-155 Quoted in Spotts, Hitler, 303. See also Evans, The Third Reich in Power, 187-90.
-
-156 Fred K. Prieberg, Musik im NS-Staat (Frankfurt am Main, 1989 [1982]), 222-3.
-
-157 Johann Peter Vogel, Hans Pfitzner: Leben, Werke, Dokumente (Berlin, 1999), 156-67, 182; Prieberg, Musik, 224-5.
-
-158 Ibid., 318-24.
-
-159 Ibid., 324-8.
-
-160 Lyrics from the accompanying booklet to Anne Sofie von Otter et al., Terez’n/Theresienstadt (DGG, 2007). I am grateful to Chris Clark for the translation.
-
-161 . Ibid.
-
-162 For the visual arts in the 1930s, see Evans, The Third Reich in Power, 164-80.
-
-163 . Peter Adam, The Arts of the Third Reich (London, 1992), 157.
-
-164 . Ibid., 158.
-
-165 Ibid., 158-64; Gregory Maertz, The Invisible Museum: The Secret Postwar History of Nazi Art (New Haven, Conn., 2008).
-
-166 . Adam, The Arts of the Third Reich, 162, 169.
-
-167 . Ibid.
-
-168 Evans, The Third Reich in Power, 167-8.
-
-169 . Adam, The Arts of the Third Reich, 202.
-
-170 . Ibid., 201.
-
-171 . Jonathan Petropoulos, The Faustian Bargain: The Art World in Nazi Germany (London, 2000), 218-38.
-
-172 Evans, The Third Reich in Power, 400-409.
-
-173 Nicholas, The Rape of Europa, 35-7, 44.
-
-174 Ibid., 41-4; Petropoulos, The Faustian Bargain, 63-110.
-
-175 See above, 375-82.
-
-176 Nicholas, The Rape of Europa, 57-80; Housden, Hans Frank, 81-2.
-
-177 Ibid., 84-6.
-
-178 Nicholas, The Rape of Europa, 185-201.
-
-179 Ibid., 83-114.
-
-180 Ibid., 115-33. For the involvement of leading art dealers such as Karl Haberstock, see Petropoulos, The Faustian Bargain, 63-110.
-
-181 Spotts, Hitler, 217-19.
-
-182 Ibid., 219-20.
-
-183 Quoted in Michael Gr̈ttner, Studenten im Dritten Reich (Paderborn, 1995), 370.
-
-184 Ibid., 371-3.
-
-185 Ibid.; for education in the 1930s, see Evans, The Third Reich in Power, 261-90.
-
-186 Reiner Lehberger, Englischunterricht im Nationalsozialismus (T̈bingen, 1986), 196-208.
-
-187 Bettina Goldberg, Schulgeschichte als Gesellschaftsgeschichte: Die ḧheren Schulen im Berliner Vorort Hermsdorf (1893-1945) (Berlin, 1994), 285-305; Willi Feiten, Der nationalsozialistische Lehrerbund: Entwicklung und Organisation: Ein Beitrag zum Aufbau und zur Organisationsstruktur des nationalsozialistischen Herrschaftssystems (Weinheim, 1981).
-
-188 . Hans-Dieter Arntz, Ordensburg Vogelsang 1934-1945: Erziehung zur politischen F̈hrung im Dritten Reich (Eulskirchen, 1986), 193-228.
-
-189 Harald Scḧfer, Napola: Die letzten vier Jahre der Nationalpolitischen Erziehungsanstalt Oranienstein bei Dietz an der Lahn 1941-1945: Eine Erlebnisdokumentation (Frankfurt am Main, 1997), 94-5.
-
-190 Gr̈ttner, Studenten, 361-70, 487-8.
-
-191 Ibid., 374-80.
-
-192 . Boberach (ed.), Meldungen, XI, 4,281 (5 October 1942). Italics in original.
-
-193 Gr̈ttner, Studenten, 383-5.
-
-194 Ibid., 287-331, 387-414.
-
-195 . Ibid., 415-22; of the many studies of individual universities, most have relatively little to say about the war years; an exception is Mike Bruhn and Heike B̈ttner, Die Jenaer Studenten unter nationalsozialistischer Herrschaft 1933-1945 (Erfurt, 2001), 85-166.
-
-196 Gr̈ttner, Studenten, 422-6, 457-71.
-
-197 . Christoph Cornelissen, Gerhard Ritter: Geschichtswissenschaft und Politik im 20. Jahrhundert (D̈sseldorf, 2001), 292-369.
-
-198 . Michael Burleigh, Germany Turns Eastward: A Study of Ostforschung in the Third Reich (Cambridge, 1988), 155-249; G̈tz Aly, Macht - Geist - Wahn: Kontinuiẗten deutschen Denkens (Berlin, 1997); Ingo Haar, Historiker im Nationalsozialismus: Deutsche Geschichtswissenschaft und der ‘Volkstumskampf’ im Osten (G̈ttingen, 2002); Winfried Schulze and Otto Oexle (eds.), Deutsche Historiker im Nationalsozialismus (Frankfurt am Main, 1999); more generally, Michael Fahlbusch, Wissenschaft im Dienst nationalsozialistischer Politik? Die ‘Volksdeutschen Forschungsgemeinschaften’ von 1931-1945 (Baden-Baden, 1999); and Aly and Heim, Architects.
-
-199 . Quoted in Burleigh, Germany, 165.
-
-200 Michael Gr̈ttner, ‘Wissenschaftspolitik im Nationalsozialismus’, in Doris Kaufmann (ed.), Geschichte der Kaiser-Wilhelm-Gesellschaft im Nationalsozialismus: Bestandsaufnahme und Perspektiven der Forschung (2 vols., G̈ttingen, 2000), II. 557-85.
-
-201 Susanne Heim (ed.), Autarkie und Ostexpansion: Pflanzenzucht und Agrarforschung im Nationalsozialismus (G̈ttingen, 2002).
-
-202 Susanne Heim, Kalorien Kautschuk Karrieren: Pflanzenzüchtung und landwirtschaftliche Forschung in Kaiser-Wilhelm-Instituten 1933-1945 (G̈ttingen, 2003), 249; Gr̈ttner, ‘Wissenschaftspolitik’, 583.
-
-203 Geoffrey Cocks, Psychotherapy in the Third Reich: The G̈ring Institute (New Brunswick, N.J., 1997 [1985]), 251-350.
-
-204 . Hans-Walter Schmuhl (ed.), Rassenforschung an Kaiser-Wilhelm-Instituten vor und nach 1933 (G̈ttingen, 2003).
-
-205 . Heather Pringle, The Master Plan: Himmler’s Scholars and the Holocaust (New York, 2006); Michael H. Kater, Das Ahnenerbe der SS 1935-1945: Ein Beitrag zur Kulturpolitik des Dritten Reiches (4th edn, Munich, 2006); Heinrich Harrer, Seven Years in Tibet (London, 1953). The book was later made into a Hollywood movie starring Brad Pitt. Harrer eventually died in 2006.
-
-206 . Robert N. Proctor, Racial Hygiene: Medicine under the Nazis (Cambridge, Mass., 1988), 217-22; Evans, The Third Reich in Power, 444-6.
-
-207 Zamecnik, Das war Dachau, 262-75; Karl Heinz Roth, ‘T̈dliche Ḧhen: Die Unterdruckkammer-Experimente im Konzentrationslager Dachau und ihre Bedeutung f̈r die luftfahrtmedizinische Forschung des “Dritten Reichs” ’, in Ebbinghaus and D̈rner (eds.), Vernichten und Heilen, 110-51.
-
-208 Karl Heinz Roth, ‘Strukturen, Paradigmen und Mentaliẗten in der luftfahrtmedizinischen Forschung des “Dritten Reichs”: Der Weg ins Konzentrationslager Dachau’, 1999. Zeitschrift f̈r Sozialgeschichte des 20. und 21. Jahrhunderts, 15 (2000), 49-77.
-
-209 Zamecnik, Das war Dachau, 275-84.
-
-210 Ibid., 292-5.
-
-211 Ibid., 285-92; Angelika Ebbinghaus and Karl Heinz Roth, ‘Kriegswunden: Die kriegschirurgischen Experimente in den Konzentrationslagern und ihre Hintergr̈nde’, in Ebbinghaus and D̈rner (eds.), Vernichten und Heilen, 177-218; Angelika Ebbinghaus, ‘Zwei Welten: Die Opfer und die T̈ter der kriegschirurgischen Experimente’, in ibid., 219-40; Loretta Walz, ‘Gespr̈che mit Stanislawa Bafia, Wladyslawa Marczewska und Maria Plater ̈ber die medizinischen Versuche in Ravensbr̈ck’, in ibid., 241-72.
-
-212 Schmidt, Karl Brandt, 263-4, also giving slightly differing numbers.
-
-213 . Thomas Werther, ‘Menschenversuche in der Fleckfieberforschung’, in Ebbinghaus and D̈rner (eds.), Vernichten und Heilen, 152-73.
-
-214 Schmidt, Karl Brandt, 257-62.
-
-215 Ibid., 265-76.
-
-216 Ibid., 276-9.
-
-217 Ibid., 284-96.
-
-218 . Ernst Klee, Auschwitz, die NS-Medizin und ihre Opfer (Frankfurt am Main, 1997), 456-66; Robert Jay Lifton, The Nazi Doctors: Medical Killing and the Psychology of Genocide (London, 1986), 337-42.
-
-219 Benoˆt Massin, ‘Mengele, die Zwillingsforschung und die “Auschwitz-Dahlem Connection” ’, in Carola Sachse (ed.), Die Verbindung nach Auschwitz: Biowissenschaften und Menschenversuche an Kaiser-Wilhelm-Instituten: Dokumentation eines Symposiums (G̈ttingen, 2003), 201-54.
-
-220 . Lifton, The Nazi Doctors, 347-60; Paul J. Weindling, Health, Race and German Politics between National Unification and Nazism 1870-1945 (Cambridge, 1989), 55-63.
-
-221 Lifton, The Nazi Doctors, 342-8.
-
-222 Ibid., 360-83.
-
-223 Klee, Auschwitz, 167-72, 436-45.
-
-224 J̈rgen Pfeiffer, ‘Neuropathologische Forschung an “Euthanasie”-Opfern in zwei Kaiser-Wilhelm-Instituten’, in Kaufmann (ed.), Geschichte der Kaiser-Wilhelm-Gesellschaft , I. 151-73.
-
-225 Quoted in Evans, Rituals, 714-15.
-
-226 . Proctor, Racial Hygiene, 219-22; see also Rolf Winau, ‘Medizinische Experimente in den Konzentrationslagern’, in Benz and Distel (eds.), Der Ort des Terrors, I. 165-78.
-
-227 . Speer always denied in public that he had been present, but in a letter to H’lène Jeanty, the widow of a Belgian resistance leader, on 23 December 1971, he wrote: ‘There is no doubt - I was present as Himmler announced on October 6 1943 that all Jews would be killed.’ However, this too was a deception; Himmler did not say that they would be killed; he said they were being killed already, as Speer well knew (Kate Connolly, ‘Letter proves Speer knew of Holocaust plan’, Guardian, 13 March 2007).
-
-228 . Quoted in Longerich, Der ungeschriebene Befehl, 189.
-
-229 . Hans-Heinrich Wilhelm, ‘Hitlers Ansprache vor Generalen und Offizieren am 26. Mai 1944’, Miliẗrgeschichtliche Mitteilungen, 20 (1976), 123-70 (quotation at 156).
-
-230 Longerich, Der ungeschriebene Befehl, 188-91.
-
-231 Quoted in Noakes and Pridham (eds.), Nazism, III. 617-18.
-
-232 Randolph L. Braham, The Politics of Genocide: The Holocaust in Hungary (2 vols., New York, 1981), I. 391; Christian Gerlach and G̈tz Aly, Das letzte Kapitel: Realpolitik, Ideologie und der Mord an den ungarischen Juden 1941/1945 (Munich, 2002).
-
-233 Randolph L. Braham, ‘The Role of the Jewish Council in Hungary: A Tentative Assessment’, Yad Vashem Studies, 10 (1974), 69-109; Robert Rozett, ‘Jewish and Hungarian Armed Resistance in Hungary’, Yad Vashem Studies, 19 (1988), 269-88; Rudolf Vrba, ‘Die missachtete Warnung: Betrachtungen ̈ber den Auschwitz-Bericht von 1944’, VfZ 44 (1996), 1-24; and Yehuda Bauer, ‘Anmerkungen zum “Auschwitz-Bericht” von Rudolf Vrba’, VfZ 45 (1997), 297-307; Steur, Theodor Dannecker, 129-50.
-
-234 . Herf, The Jewish Enemy, 242.
-
-235 Hillgruber (ed.), Staatsm̈nner und Diplomaten, II. 463-4.
-
-236 . Quoted in Phayer, The Catholic Church, 106.
-
-237 Braham, The Politics, II. 607, 664-84, 762-74.
-
-238 Weinberg, A World at Arms, 667-75; Frieser and Schönherr, ‘Der R̈ckschlag’, 447-50.
-
-239 Weinberg, A World at Arms, 703-6; Karl-Heinz Frieser and Klaus Scḧnherr, ‘Der Zusammenbruch im Osten: Die R̈ckzugsk̈mpfe seit Sommer 1944’, in DRZW VIII. 493-960.
-
-240 Merridale, Ivan’s War, 96; Weinberg, A World at Arms, 705-8.
-
-241 . Quoted in Norman Davies, Rising ’44: ‘The Battle for Warsaw’ (London, 2003), 299 - 300.
-
-242 . Quoted in Kershaw, Hitler, II. 725.
-
-243 Weinberg, A World at Arms, 709-12.
-
-244 . Hosenfeld, ‘Ich versuche’, 824 (letter to family, 8 August 1944).
-
-245 . Ibid., 856 (letter to family, 5 October 1944).
-
-246 Ibid., 100-101, 834 (letter to family, 23 August 1944).
-
-247 . Weinberg, A World at Arms, 676-93, and Overy, Why the Allies Won, 134-79, for an overview; detailed account in Detlef Vogel, ‘German and Allied Conduct of the War in the West’, in GSWW VII. 459-702.
-
-248 Kershaw, Hitler, II. 637-51.
-
-249 Summary in Gerd R. Ueberscḧr, F̈r ein anderes Deutschland: Der deutsche Widerstand gegen den NS-Staat 1933-1945 (Frankfurt am Main, 2006), 78-90, 116. Among many contributions, see Horst Duhnke, Die KPD von 1933-1945 (Cologne, 1972); Detlev Peukert, Die KPD im Widerstand: Verfolgung und Untergrundarbeit an Rhein und Ruhr 1933-1945 (Wuppertal, 1980); and idem, ‘Der deutsche Arbeiterwiderstand 1933-1945’, in Klaus-J̈rgen M̈ller (ed.), Der deutsche Widerstand 1933-1945 (Paderborn, 1986), 157-81.
-
-250 Karin Hartewig, ‘Wolf unter Ẅlfen? Die prek̈re Macht der kommunistischen Kapos im Konzentrationslager Buchenwald’, in Herbert et al. (eds.), Die nationalsozialistischen Konzentrationslager, II. 939-58; Niethammer (ed.), Der ‘ges̈uberte’ Antifaschismus.
-
-251 Ueberscḧr, F̈r ein anderes Deutschland, 133-40; Shareen Blair Brysac, Resisting Hitler: Mildred Harnack and the Red Orchestra: The Life and Death of an American Woman in Nazi Germany (New York, 2000); Almut Brunckhorst, Die Berliner Widerstandsorganisation um Arvid Harnack und Harro Schluze-Boysen (‘Rote Kapelle’): Kundchafter im Auftrag Moskaus oder integraler Bestandteil des deutschen Widerstandes gegen den Nationalsozialismus? Ein Testfall f̈r die deutsche Historiographie (Hamburg, 1998); Hans Coppi et al. (eds.), Die Rote Kapelle im Widerstand gegen den Nationalsozialismus (Berlin, 1994); Stefan Roloff, ‘Die Entstehung der Roten Kapelle und die Verzerrung ihrer Geschichte im Kalten Krieg’, in Karl Heinz Roth and Angelika Ebbinghaus (eds.), Rote Kapellen - Kreisauer Kreise - Schwarze Kapellen: Neue Sichtweisen auf den Widerstand gegen die NS-Diktatur 1938-1945 (Hamburg, 2004), 186-205.
-
-252 . The League’s story is told in the brilliant and moving book by Mark Roseman, The Past in Hiding (London, 2000).
-
-253 Ueberscḧr, Für ein anderes Deutschland, 126 - 32; among a large literature, see especially Karl Heinz Jahnke, Weisse Rose contra Hakenkreuz: Der Widerstand der Geschwister Scholl und ihrer Freunde (Frankfurt am Main, 1969); idem, Weisse Rose contra Hakenkreuz: Studenten im Widerstand 1942/43: Einblicke in viereinhalb Jahrzehnte Forschung (Rostock, 2003); translated documents in Noakes (ed.), Nazism, IV. 457 - 9.
-
-254 . Breloer (ed.), Geheime Welten, 103.
-
-255 Ibid., 113-15 (24 August and 10 September 1944).
-
-256 Evans, The Third Reich in Power, 668 - 71.
-
-257 Hassell, The von Hassell Diaries, 151-2.
-
-258 Ueberscḧr, F̈r ein anderes Deutschland, 32-60, 66-77; Joachim C. Fest, Plotting Hitler’s Death: The German Resistance to Hitler 1933-1945 (London, 1996), provides a readable narrative of the evolution of the military-aristocratic conspiracy. Peter Hoffmann, The History of the German Resistance 1933-1945 (Montreal, 1996 [1969]), is the most thorough and detailed account; Winfried Heinemann, ‘Der miliẗrische Widerstand und der Krieg’, in DRZW IX/I. 743-892, is the most recent survey.
-
-259 . English version of extracts from the 9 August 1943 manifesto in Noakes (ed.), Nazism, IV. 614-16.
-
-260 Hassell, The von Hassell Diaries, 283; Ueberscḧr, F̈r ein anderes Deutschland, 161-3.
-
-261 . Klemens von Klemperer, German Resistance against Hitler: The Search for Allies Abroad 1938-1945 (Oxford, 1992); Hoffmann, The History, 205-50.
-
-262 For the political aims and plans of the resisters, see Hoffmann, The History, 175-202. For documents of the resistance, see Hans-Adolf Jacobsen (ed.), ‘Spiegelbild einer Verschẅrung’: Die Opposition gegen Hitler und der Staatsstreich vom 20. Juli 1940 in der SD-Berichterstattung: Geheime Dokumente aus dem ehemaligen Reichssicherheitshauptamt (2 vols., Stuttgart, 1984).
-
-263 . Hans Mommsen, ‘Social Views and Constitutional Plans of the Resistance’, in Hermann Graml et al., The German Resistance to Hitler (London, 1970 [1966]), 55-147.
-
-264 . Beate Ruhm von Oppen (ed.), Helmuth James von Moltke: Letters to Freya, 1939- 1945 (London, 1991); more generally, on the resisters’ criticism of the conduct of the war in the east, see Heinemann, ‘Der miliẗrische Widerstand’, 777-89.
-
-265 . Hassel, The von Hassell Diaries, 218.
-
-266 . Wolfgang Gerlach, And the Witnesses Were Silent: The Confessing Church and the Persecution of the Jews (Lincoln, Nebr., 2000 [1987]), 210-14; Hans Mommsen, ‘Die Moralische Wiederherstellung der Nation: Der Widerstand gegen Hitler war von einer antisemitischen Grundhaltung getragen’, S̈ddeutsche Zeitung, 21 July 1999, 15.
-
-267 . Ulrich Heinemann, ‘ “Kein Platz f̈r Polen und Juden”: Der Widerstandsk̈mpfer Fritz-Dietlof Graf von der Schulenburg und die Politik der Verwaltung in Schlesien 1939/40’, in Klessmann (ed.), September 1939, 38-54; Heinemann, ‘Der miliẗrische Widerstand’, 751-76.
-
-268 Evans, The Third Reich in Power, 576-7.
-
-269 . Quoted in Noakes (ed.), Nazism, IV. 633 (also for the views of Popitz and others).
-
-270 Ueberscḧr, F̈r ein anderes Deutschland, 165-71; details of this and the other attempts on Hitler’s life in Hoffmann, The History, 251-60.
-
-271 Fest, Plotting Hitler’s Death, 202-4, 212-15, 225-30.
-
-272 Ibid., 202-26; Peter Hoffmann, Claus Schenk Graf von Stauffenberg und seine Br̈der (Stuttgart, 1992), 15-268.
-
-273 . Fabian von Schlabrendorff, Revolt against Hitler: The Personal Account of Fabian von Schlabrendorff (London, 1948), 131.
-
-274 Ueberscḧr, F̈r ein anderes Deutschland, 200-206; Fest, Plotting Hitler’s Death, 237-60; Hoffmann, The History, 373-411; Heinemann, ‘Der miliẗrische Widerstand’, 803-38.
-
-275 Fest, Plotting Hitler’s Death, 255-79; Hoffmann, Claus Schenk, 383-443.
-
-276 . Fest, Plotting Hitler’s Death, 280-87; see also the gripping narrative in Kershaw, Hitler, II. 655-84.
-
-277 Heinemann, ‘Der miliẗrische Widerstand’, 838-40; Hoffmann, The History, 412-506.
-
-278 Fest, Plotting Hitler’s Death, 292-309; Kershaw, Hitler, II. 688-90; Speer, Inside the Third Reich, 511-28.
-
-279 . Quoted in Fest, Plotting Hitler’s Death, 290.
-
-280 Kershaw, Hitler, II. 691; Fest, Plotting Hitler’s Death, 291-307.
-
-281 . Ibid., 297-317; Kershaw, Hitler, II. 692-3 (and 1,006 n. 43, discussing the evidence for and against Hitler having watched the film); Speer, Inside the Third Reich, 531.
-
-282 . Schlabrendorff, Revolt, 164.
-
-283 Ḧrter (ed.), Ein deutscher General, 16, 48.
-
-284 . For an exhaustive account of the conspirators’ foreign contacts, see Klemperer, German Resistance against Hitler.
-
-285 Heinemann, ‘Der miliẗrische Widerstand’, 840-43.
-
-286 . Quoted in Noakes (ed.), Nazism, IV. 634.
-
-
-
-Chapter 7. DOWNFALL
-
-1 Breloer (ed.), Geheime Welten, 76-8 (20-22 July 1944).
-
-2 . Ibid., 80 (10 August 1944).
-
-3 . Quoted in Manoschek (ed.), ‘Es gibt nur eines’, 73 (Uffz.E, 7 August 1944).
-
-4 Wirrer (ed.), Ich glaube an den F̈hrer, 235 (Alfred to Inge, 20 July 1944).
-
-5 . Ibid.
-
-6 P̈ppel, Heaven and Hell, 221, 237. See also the careful analysis of reactions in Ian Kershaw, The ‘Hitler Myth’: Image and Reality in the Third Reich (Oxford, 1989 [1987], 215-20.
-
-7 Boberach (ed.), Meldungen, XVII. 6,684-6, and 6,700-701; Broszat et al. (eds.), Bayern, I. 185-6 (Ebermannstadt, 25 and 27 July 1944).
-
-8 . Herber (ed.), Goebbels-Reden, II. 394.
-
-9 Ueberscḧr, F̈r ein anderes Deutschland, 224-8.
-
-10 . Broszat et al. (eds.), Bayern, I. 667.
-
-11 . Ibid., 664.
-
-12 . Ibid., 668.
-
-13 . Boberach (ed.), Meldungen, XVII. 6,651 (22 July 1944).
-
-14 . Ibid., XVII. 6,652.
-
-15 . Ibid., XVII. 6,693 (7 August 1944).
-
-16 . Ibid., XVII. 6,653
-
-17 . Ibid., XVII. 6,698.
-
-18 . Quoted in Kershaw, The ‘Hitler Myth’, 220.
-
-19 Quoted in ibid., 1,008-9 n. 91.
-
-20 Weinberg, A World at Arms, 713-16; Kershaw, Hitler, II. 717-24.
-
-21 . Kershaw, Hitler, II. 734.
-
-22 Tim Cole, Holocaust City: The Making of a Jewish Ghetto (London, 2003); Randolph L. Braham, Eichmann and the Destruction of Hungarian Jewry (New York, 1961); Kershaw, Hitler, II. 735-6; Longerich, Politik, 565-70.
-
-23 Ibid., 563-4.
-
-24 . Hassell, The von Hassell Diaries, 351.
-
-25 . Speer, Inside the Third Reich, 532-4; Ralf Georg Reuth, Goebbels: Eine Biographie (Munich, 1995 [1990]), 561-6; Tooze, The Wages of Destruction, 637-8.
-
-26 . Kershaw, Hitler, II. 712 - 13.
-
-27 Ibid., 731-42.
-
-28 . Ibid., 747, 757; Weinberg, A World at Arms, 757-71. For a detailed account of the land war in the west, see John Zimmermann, ‘Die deutsche miliẗrische Kriegsf̈hrung im Westen 1944/45’, in DRZW X/I, 277-489. For the ‘Battle of the Bulge’, see Vogel, ‘German and Allied Conduct of the War in the West’, 863-97.
-
-29 Kershaw, Hitler, II. 768-9.
-
-30 Boog, ‘The Strategic Air War’, 369-73; Fr̈hlich (ed.), Die Tageb̈cher, II/VIII. 527-9 (25 June 1943).
-
-31 . Boog, ‘The Strategic Air War’, 375.
-
-32 Fr̈hlich (ed.), Die Tageb̈cher, II/VII. 578 (18 March 1943).
-
-33 . Boog, ‘The Strategic Air War’, 381.
-
-34 . Ibid., 417.
-
-35 Ibid., 406-20.
-
-36 Speer, Inside the Third Reich, 481; Heinz Dieter Ḧlsken, Die V-Waffen Entstehung- Propaganda - Kriegseinsatz (Stuttgart, 1984), 178-202; Weinberg, A World at Arms, 561-2; Boog, ‘The Strategic Air War’, 413-15.
-
-37 Michael J. Neufeld, The Rocket and the Reich: Peenem̈nde and the Coming of the Ballistic Missile Era (New York, 1995), 13, 22-3, 108-37; see also Rainer Eisfeld, Monds̈chtig: Wernher von Braun und die Geburt der Raumfahrt aus dem Geist der Barbarei (Hamburg, 2000).
-
-38 . Speer, Inside the Third Reich, 494.
-
-39 . Ibid., 495.
-
-40 . Ibid., 497.
-
-41 Speer, Inside the Third Reich, 503-5; Neufeld, The Rocket and the Reich, 197-201.
-
-42 . Neufeld, The Rocket and the Reich, 197-238; Florian Freund, ‘Die Entscheidung zum Einsatz von KZ-Ḧftlingen in der Raketenr̈stung’, in Kaienburg (ed.), Konzentrationslager , 61-74.
-
-43 Quoted in Neufeld, The Rocket and the Reich, 209-10.
-
-44 Ibid., 197-209; Sereny, Albert Speer, 402-5.
-
-45 . Neufeld, The Rocket and the Reich, 210.
-
-46 . Ibid.
-
-47 . Sereny, Albert Speer, 403. Sereny does not mention the letter to Kammler.
-
-48 Speer, Inside the Third Reich, 500-501.
-
-49 Quoted in Neufeld, The Rocket and the Reich, 211-12.
-
-50 Ibid., 210-12.
-
-51 . Ibid., 264, 405; see also Jens Christian Wagner, ‘Noch einmal: Arbeit und Vernichtung: Ḧftlingseinsatz im KL Mittelbau-Dora 1943-1945’, in Frei et al. (eds.), Ausbeutung, 11-42.
-
-52 Neufeld, The Rocket and the Reich, 226-30.
-
-53 . Ibid., 238-64 (quote on 264). Weinberg, A World at Arms, 562-3, gives a figure of 15,000 deaths; see also Allen, The Business of Genocide, 208-32.
-
-54 . Evans, The Third Reich in Power, 306-9; Alan D. Beyerchen, Scientists under Hitler: Politics and the Physics Community in the Third Reich (London, 1977), 168-98; Klaus Hentschel (ed.), Physics and National Socialism: An Anthology of Primary Sources (Basel, 1996), 281-4, 290-92.
-
-55 Beyerchen, Scientists, 168-98.
-
-56 . Hentschel (ed.), Physics, lxvii.
-
-57 Mark Walker, German National Socialism and the Quest for Nuclear Power 1939-1949 (Cambridge, 1989); Speer, Inside the Third Reich, 315-17; Weinberg, A World at Arms, 568-71. Heisenberg’s later claim that he deliberately slowed down progress on research so as to make sure that Hitler would not have an atom bomb before the war ended lacks all plausibility; even had he worked as fast as possible, it is still extremely unlikely that he would have put a working bomb together in time. See, among a voluminous literature, Thomas Powers, Heisenberg’s War: The Secret History of the German Bomb (Boston, 1993); Jeremy Bernstein (ed.), Hitler’s Uranium Club: The Secret Recordings at Farm Hall (New York, 2001), xxiv-xxv, xxvii-xxviii.
-
-58 Speer, Inside the Third Reich, 317-18.
-
-59 . Rainer Karlsch, Hitlers Bombe: Die geheime Geschichte der deutschen Kernwaffenversuche (Stuttgart, 2005), 171-81, 215-19.
-
-60 Speer, Inside the Third Reich, 316-20; for Lenard, see Evans, The Third Reich in Power, 306-9.
-
-61 Speer, Inside the Third Reich, 553-4.
-
-62 . Schmidt, Karl Brandt, 284-96; also Florian Schmaltz, Kampfstoff-Forschung im Nationalsozialismus: Zur Kooperation von Kaiser-Wilhelm-Instituten, Miliẗr und Industrie (G̈ttingen, 2005), 143-77, 608-10; and idem, ‘Neurosciences and Research on Chemical Weapons of Mass Destruction in Nazi Germany’, Journal of the History of the Neurosciences, 15 (2006), 186-209; Weinberg, A World at Arms, 558-9.
-
-63 . Speer, Inside the Third Reich, 491.
-
-64 Neufeld, The Rocket and the Reich, 233-8.
-
-65 Ludwig, Technik, 451-63; Hentschel (ed.), Physics, 303, 327.
-
-66 Speer, Inside the Third Reich, 488-91; Tooze, The Wages of Destruction, 620-21.
-
-67 Weinberg, A World at Arms, 771-3.
-
-68 . Ibid., 537-8 (but a different, and evidently more accurate account, is given on page 563). See also Fritz Hahn, Waffen und Geheimwaffen des deutschen Heeres, 1933-1945 (2 vols., Koblenz, 1986-7), I. 191-4.
-
-69 Weinberg, A World at Arms, 563-4.
-
-70 . Speer, Inside the Third Reich, 620.
-
-71 . Ibid.
-
-72 Quoted in Boog, ‘The Strategic Air War’, 413, 423, figures at 453-4.
-
-73 . Boberach (ed.), Meldungen, XV. 6,187 (27 December 1943).
-
-74 Wirrer (ed.), Ich glaube an den F̈hrer, 256 (Inge to Alfred, 3 September 1944).
-
-75 . Quoted in Wulf, Presse und Funk, 360.
-
-76 . Walb, Ich, die Alte, 301 (4 March 1945).
-
-77 . Boberach (ed.), Meldungen, XVII. 6,736 (28 March 1945). The printed text gives the words as ‘einen ganz geẅhnlichen Umstand’, a completely normal circumstance, but it only makes sense if one assumes this is a typing or printing error for ‘einen ganz ungewo ̈hnlichen Umstand’, ‘a completely unusual circumstance’.
-
-78 . Boberach (ed.), Meldungen, XV. 6,187 (27 December 1943).
-
-79 Breloer (ed.), Geheime Welten, 87-8 (18 April 1945).
-
-80 Hans-Jochen Gamm, Der Fl̈sterwitz im Dritten Reich: M̈ndliche Dokumente zur Lage der Deutschen ẅhrend des Nationalsozialismus (Munich, 1990 [1963]), 180. The joke depends on an untranslatable pun - ausheben in German means both ‘dig up’ and ‘recruit’, depending on the context.
-
-81 . Klaus Mammach, Der Volkssturm: Bestandteil des totalen Kriegseinsatzes der deutschen Bev̈lkerung 1944/45 (Berlin, 1981), 150; Franz Seidler, ‘Deutscher Volkssturm’: Der letzte Aufgebot 1944/45 (Munich, 1989), 374.
-
-82 Roland M̈ller, Stuttgart zur Zeit des Nationalsozialismus (Stuttgart, 1988), 519.
-
-83 . Alphons Kappeler, Ein Fall von ‘Pseudologia phantastica’ in der deutschen Literatur: Fritz Reck-Malleczewen: Mit Totalbibliographie (G̈ppingen, 1975), 7-11. The widely repeated story that he was shot by the Gestapo has no basis in truth; for his earlier life, real and imagined, see Evans, The Third Reich in Power, 154-5, 251, 414-17, 419, 499, 587.
-
-84 . Boberach (ed.), Meldungen, XVII. 6,721 (28 October 1944).
-
-85 Scḧfer, Napola, 95-6.
-
-86 Breloer (ed.), Geheime Welten, 226-7 (22 February 1945).
-
-87 . Ibid., 229.
-
-88 . Maschmann, Account Rendered, 176.
-
-89 . Breloer (ed.), Geheime Welten, 154 (27 January 1945).
-
-90 For this play, see Evans, The Coming of the Third Reich, 417-18.
-
-91 Wirrer (ed.), Ich glaube an den F̈hrer, 293 (Albert to Inge, 30 January 1945).
-
-92 Ibid., 295-6 (Inge to Alfred, 3-4 February 1945).
-
-93 . Ibid., 313 (Alfred to Inge, 9 March 1945).
-
-94 . Ibid., 321 (Inge to Alfred, 10 April 1945).
-
-95 . Ibid., 317.
-
-96 Nicolaus von Below, Als Hitlers Adjutant 1937-1945 (Frankfurt am Main, 1980), 398.
-
-97 Quoted in Herf, The Jewish Enemy, 255-6.
-
-98 Weinberg, A World at Arms, 798-802.
-
-99 J̈rg Echternkamp (ed.), Kriegsschauplatz Deutschland 1945: Leben in Angst- Hoffnung auf Frieden: Feldpost aus der Heimat und von der Front (Paderborn, 2006), 20-21.
-
-100 Overmans, Deutsche miliẗrische Verluste, 238-9.
-
-101 . For a detailed account, see Holst Boog, ‘Die strategische Bomberoffensive der Alliierten gegen Deutschland und die Reichluftverteidigung in der Schlussphase des Krieges’, in DRZW X/I. 771-884.
-
-102 . Andreas Kunz, Wehrmacht und Niederlage: Die bewaffnete Macht in der Endphase der nationalsozialistischen Herrschaft 1944 bis 1945 (Munich, 2005); 207-15; idem, ‘Die Wehrmacht 1944/45: Eine Armee im Untergang’, in DRZW X/II. 3-54.
-
-103 . Kershaw, Hitler, II. 781.
-
-104 . Quoted in Patrick Wright, Iron Curtain: From Stage to Cold War (London, 2007), 352. Churchill’s first use of the term came shortly after this.
-
-105 Hubatsch (ed.), Hitlers Weisungen, 310-11.
-
-106 Baird, The Mythical World, 246-55.
-
-107 . Noakes (ed.), Nazism, IV. 652.
-
-108 . Ibid., 653.
-
-109 . Ibid., 651.
-
-110 . Walb, Ich, die Alte, 316 (26 March 1945).
-
-111 . Noakes (ed.), Nazism, IV. 654.
-
-112 Ibid., 655-6.
-
-113 . Ibid., 658.
-
-114 . Hubatsch (ed.), Hitlers Weisungen, 311.
-
-115 Gerhard Paul, ‘ “Diese Erschiessungen haben mich innerlich gar nicht mehr ber̈hrt”: Die Kriegsendphasenverbrechen der Gestapo 1944/45’, in idem and Klaus-Michael Mallmann (eds.), Die Gestapo im Zweiten Weltkrieg: ‘Heimatfront’ und besetztes Europa (Darmstadt, 2000), 543-68.
-
-116 . Wachsmann, Hitler’s Prisons, 327.
-
-117 . Ibid.
-
-118 Ibid., 334-7.
-
-119 . Hitler, Hitler’s Table Talk, 29.
-
-120 . For Natzweiler, see Wolfgang Kirstin, Das Konzentrationslager als Institution totalen Terrors: Das Beispiel des KL Natzweiler (Pfaffenweiler, 1992), 13-16.
-
-121 . Quoted in Fest, Plotting Hitler’s Death, 312.
-
-122 . Moorhouse, Killing Hitler, 58; Hoffmann, The History, 258.
-
-123 Ueberscḧr, F̈r ein anderes Deutschland, 238-9.
-
-124 Hannes Heer, Ernst Tḧlmann in Selbstzeugnissen und Bilddokumenten (Reinbek, 1975), 127-30.
-
-125 Fest, Plotting Hitler’s Death, 304; Ueberscḧr, F̈r ein anderes Deutschland, 238; Willi Dressen, ‘Konzentrationslager als T̈tungs- und Hinrichtungssẗtten f̈r Oppositionelle, Behinderte, Kriegsgefangene’, in Benz and Distel (eds.), Der Ort des Terrors, I. 230-41.
-
-126 Echternkamp (ed.), Kriegsschauplatz, 34-5.
-
-127 Ḧss, Commandant of Auschwitz, 190-92.
-
-128 Steinbacher, Auschwitz, 123-8.
-
-129 . Ernst Kaiser and Michael Knorn, ‘Wir lebten und schliefen zwischen den Toten’: R̈stungsproduktion, Zwangsarbeit und Vernichtung in den Frankfurter Adlerwerken (Frankfurt am Main, 1994), 214-27.
-
-130 . Daniel Blatman, ‘The Death Marches, January-May 1945: Who Was Responsible for What?’, Yad Vashem Studies, 28 (2000), 155-201.
-
-131 . Goldhagen, Hitler’s Willing Executioners, 327-71, provides a graphically detailed account, marred by anti-German rhetoric and the assumption that the marches only involved Jewish prisoners.
-
-132 . Wilhelm Lange, Cap Arcona: Dokumentation (Eutin, 1992); Detlef Garbe, ‘Institutionen des Terrors und der Widerstand der Wenigen’, in Forschungsstelle f̈r Zeitgeschichte in Hamburg (ed.), Hamburg, 519-72, at 549-55; David Stafford, Endgame 1945: Victory, Retribution, Liberation (London, 2007), 291-306.
-
-133 . Neuman, The Rocket and the Reich, 264.
-
-134 Daniel Blatman, ‘R̈ckzug, Evakuierung und Todesm̈rsche 1944-1945’, in Benz and Distel (eds.), Der Ort des Terrors, I. 296-312, at 306-8; for the death march in 1945 of Russian workers imprisoned by the Gestapo in Oldenburg, see Hoffmann, Zwangsarbeit, 288-92.
-
-135 . Harry Stein, ‘Funktionswandel des Konzentrationslagers Buchenwald im Spiegel der Lagerstatistiken’, in Herbert et al. (eds.), Die Nationsozialistische Konzentrationslager, I. 167-92; Michael Fabr’guet, ‘Entwicklung und Ver̈nderung der Funktionen des Konzentrationslager Mauthausen 1938-1945’, in ibid., 193-214; also Blatman, R̈ckzug; and Robert H. Abzug, Inside the Vicious Heart: Americans and the Liberation of Nazi Concentration Camps (New York, 1985), 21-30.
-
-136 . Eberhard Kolb, Bergen-Belsen 1943-1945: Vom ‘Aufenthaltslager’ zum Konzentrationslager 1943-1945 (G̈ttingen, 2001), 21-4, 38-41.
-
-137 . Ibid., also Joanne Reilly, Belsen: The Liberation of a Concentration Camp (London, 1998), and Ben Shephard, After Daybreak: The Liberation of Belsen, 1945 (London, 2005).
-
-138 Daniel Blatman, ‘Die Todesm̈rsche - Entscheidungstr̈ger, M̈rder und Opfer’, in Herbert et al. (eds.), Die nationalsozialistischen Konzentrationslager, II. 1,063-92.
-
-139 Blank, ‘Kriegsalltag’, 451-7; full details in Boog, ‘Die Strategische Bomberoffensive’.
-
-140 . Quoted in Blank, ‘Kriegsalltag’, 455.
-
-141 Evans, Telling Lies, 193-231; reliable accounts in Rudolf F̈rster, ‘Dresden’, in Marlene P. Hiller et al. (eds.), Sẗdte im 2. Weltkrieg: Ein internationaler Vergleich (Essen, 1991), 299-315; G̈tz Bergander, Dresden im Luftkrieg: Vorgeschichte, Zersẗrung, Folgen (Ẅrzburg, 1998); and Frederick Taylor, Dresden: Tuesday 13 February 1945 (London, 2004).
-
-142 Klemperer, To the Bitter End, 387-9 (13 February 1945).
-
-143 Ibid., 389-92 (22-4 February 1945).
-
-144 Ibid., 393 (22-4 February 1945).
-
-145 Ibid., 396-405 (15-27 February 1945).
-
-146 . Solmitz, Tagebuch, 998 (7 March 1945).
-
-147 . Noakes (ed.), Nazism, IV. 515.
-
-148 . Solmitz, Tagebuch, 983 (2 February 1945), 995 (27 February 1945), 1,010 (9 April 1945).
-
-149 . Solmitz, Tagebuch, 765 (8 September 1942).
-
-150 . Ibid., 888 (8 January 1944), 928 (10 June 1944), 943 (8 August 1944).
-
-151 . Ibid., 944 (3 September 1944), 958 (27 October 1944).
-
-152 Herbert, Hitler’s Foreign Workers, 359-64.
-
-153 Ibid., 329 (quote) and 326-45.
-
-154 Ibid., 326-8.
-
-155 . Ibid., 366-9; Fritz Theilen, Edelweisspiraten (Frankfurt am Main, 1984); Bernd-A. Rusinek, Gesellschaft in der Katastrophe: Terror, Illegaliẗt, Widerstand - Köln 1944/45 (Essen, 1989).
-
-156 Herbert, Hitler’s Foreign Workers, 369-71.
-
-157 Frieser, ‘Die Schlacht’, 200-208.
-
-158 . Quoted in Merridale, Ivan’s War, 260.
-
-159 . Ibid., 261.
-
-160 Ibid., 261-2.
-
-161 Nicholas, The Rape of Europa, 361-7.
-
-162 Merridale, Ivan’s War, 277-82.
-
-163 Ibid., 267-9.
-
-164 . Atina Grossmann, ‘A Question of Silence: The Rape of German Women by Occupation Soldiers’, October, 72 (1995), 43-63, at 51.
-
-165 . Merridale, Ivan’s War, 270.
-
-166 Ibid., 267-8.
-
-167 . (Anon.), A Woman in Berlin: Diary 20 April 1945 to 22 June 1945 (Oxford, 2006 [1955]), 173. The author was the journalist Masta Hillers (Grossmann, ‘A Question of Silence’, 54).
-
-168 . Ibid.
-
-169 . Quoted in Antony Beevor, Berlin: The Downfall 1945 (London, 2002), 52.
-
-170 Ibid., 46-55, 88; Heinrich Schwendemann, ‘ “Deutsche Menschen vor der Vernichtung durch den Bolschewismus zu retten”: Das Programm der Regierung D̈nitz und der Beginn einer Legendenbildung’, in Bernd-A. Rusinek (ed.), Kriegsende 1945: Verbrechen, Katastrophen, Befreiungen in nationaler und internationaler Perspektive (G̈ttingen, 2004), 9-33.
-
-171 . Walb, Ich, die Alte, 313 (26 March 1945).
-
-172 Kershaw, The ‘Hitler Myth’, 200-225.
-
-173 Boberach (ed.), Meldungen, XVII. 6,732-3.
-
-174 Ibid., XVII. 6,733-4.
-
-175 . Klemperer, To the Bitter End, 443 (22 April 1945).
-
-176 . Ibid., 444 (22 April 1945).
-
-177 . Ibid., 453 (4 May 1945).
-
-178 . Ibid., 453 (5 May 1945).
-
-179 Ibid., 419-27 (26 March-15 April 1945), quote on 419.
-
-180 . Walb, Ich, die Alte, 333 (23 April 1945).
-
-181 Speer, Inside the Third Reich, 575-7.
-
-182 Quoted in Noakes (ed.), Nazism, IV. 659-60; see also Kershaw, Hitler, II. 784-6.
-
-183 Speer, Inside the Third Reich, 541-601; Kershaw, Hitler, II. 784.
-
-184 . Speer, Inside the Third Reich, 604.
-
-185 . Ibid., 610-18; Noakes (ed.), Nazism, IV. 659-61. For a critical discussion of Speer’s actions in the final phase of the Third Reich, see Rolf-Dieter M̈ller, ‘Der Zusammenbruch des Wirtschaftslebens und die Anf̈nge des Wideraufbaus’, in DRZW X/II, 55-378, at 74-106.
-
-186 Kershaw, Hitler, II. 768-75, 782.
-
-187 Redlich, Hitler, 207-9, 223-54.
-
-188 . Speer, Inside the Third Reich, 629.
-
-189 . Ibid.
-
-190 . Ibid., 631; Redlich, Hitler, 227.
-
-191 Atmospheric account of Hitler’s routine in Kershaw, Hitler II. 775-7.
-
-192 Ibid., 780-81.
-
-193 Ibid., 785-91.
-
-194 . Maschmann, Account Rendered, 146.
-
-195 . Ibid., 157.
-
-196 . Ibid., 163.
-
-197 . Ibid., 149.
-
-198 . Speer, Inside the Third Reich, 619.
-
-199 . Noakes (ed.), Nazism, IV. 666.
-
-200 . Ibid.
-
-201 Kershaw, Hitler, II. 803-5.
-
-202 Sereny, Albert Speer, 530-33; Speer, Inside the Third Reich, 635-47.
-
-203 Duggan, The Force of Destiny, 529-32.
-
-204 Kershaw, Hitler, II. 807-19.
-
-205 Ḧrter (ed.), Ein deutscher General, 16.
-
-206 Kershaw, Hitler, II. 802-19.
-
-207 . Ibid., 820-31, and 1,037-8 n. 156. See also the classic account by Hugh R. Trevor-Roper, The Last Days of Hitler (London, 1962 [1947]), still well worth reading; detailed sifting of the evidence in Anton Joachimsthaler, Hitlers End: Legenden und Dokumente (Augsburg, 1999 [1994]).
-
-208 . Domarus (ed.), Hitler, IV. 2,236; Werner Maser (ed.), Hitlers Briefe und Notizen: Sein Weltbild in handschriftlichen Dokumenten (D̈sseldorf, 1973), 326-66.
-
-209 . Kershaw, Hitler, 824.
-
-210 . Quoted in Christian Goeschel, ‘Suicide at the End of the Third Reich’, Journal of Contemporary History, 41 (2006), 153-73, at 167.
-
-211 Reuth, Goebbels, 613-14; Trevor-Roper, The Last Days, 241-7.
-
-212 . Kershaw, Hitler, II. 831-3, 1,039 n. 15. The skeletons of both men were discovered during building work in 1972 and identified by their dental records.
-
-213 . Richard Overy, Interrogations: The Nazi Elite in Allied Hands, 1945 (London, 2001), 145-6, 205.
-
-214 Ibid., 165-8.
-
-215 Ḧhne, The Order of the Death’s Head, 534-6.
-
-216 . Neufeld, The Rocket and the Reich, 265.
-
-217 . Steur, Theodor Dannecker, 156-60, pointing out that she would hardly have done this had her husband not killed himself. Rumours that he survived were thus unfounded.
-
-218 Burleigh, Death, 273, 351-84.
-
-219 . Goeschel, ‘Suicide’; also idem, ‘Suicide in Weimar and Nazi Germany’, 196-200; Richard Bessel, Nazism and War (London, 2004), 154.
-
-220 Ḧss, Commandant of Auschwitz, 193-4.
-
-221 . Maschmann, Account Rendered, 163.
-
-222 . Ibid., 164.
-
-223 Sereny, Albert Speer, 543-4.
-
-224 . Boberach (ed.), Meldungen, XVII. 6,737.
-
-225 Goeschel, ‘Suicide in Weimar and Nazi Germany’, 209-13.
-
-226 . Quoted in Bessel, Nazism and War, 155.
-
-227 . Damian van Melis, Entnazifizierung in Mecklenburg-Vorpommern: Herrschaft und Verwaltung 1945-1948 (Munich, 1999), 23-4; Bessel, Nazism and War, 155; Naimark, Fires of Hatred, 117.
-
-228 . Breloer (ed.), Geheime Welten, 235.
-
-229 Wirrer (ed.), Ich glaube an den F̈hrer, 324 (Inge to Alfred, 4 August 1945). Breloer (ed.), Geheime Welten, 238 (22 April 1945) and 240 (3 June 1945).
-
-230 . Breloer (ed.), Geheime Welten, 44 (5 May 1945).
-
-231 . Kershaw, Hitler, II. 831- 3.
-
-232 . Breloer (ed.), Geheime Welten, 123-4 (1 May 1945).
-
-233 . Walb, Ich, die Alte, 338, 344-5 (2 and 8 May 1945).
-
-234 . Breloer (ed.), Geheime Welten, 141.
-
-235 . Ibid., 163-5 (29 April 1945).
-
-236 . Solmitz, Tagebuch, 1,022 (30 April 1945), 1,031 (5 May 1945), 1,037 (8 May 1945).
-
-237 . Kershaw, Hitler, II. 822-3, 835-6; detailed account of the surrender of German forces in various parts of Europe in Klaus-Jürgen Müller and Gerd Ueberschär, Kriegsende 1945: Die Zerstörung des deutschen Reiches (Frankfurt am Main, 1994); see also Jörg Hillmann and John Zimmermann, Kriegsende 1945 in Deutschland (Munich, 2002) and Marlis Steinert, Capitulation: A Story of the Dönitz Regime (London, 1969).
-
-238 . Perry Biddiscombe, Werwolf! The History of the National Socialist Guerilla Movement 1944-1946 (Cardiff, 1996), 38-9.
-
-239 . Klaus Tenfelde, ‘Proletarische Provinz: Radikalisierung und Widerstand in Penzberg/ Oberbayern 1900 bis 1945’, in Broszat et al. (eds.), Bayern, IV. 1-382.
-
-240 . Robert G. Moeller, War Stories: The Search for a Usable Past in the Federal Republic of Germany (Berkeley, Calif., 2001), 3, 6, 24, 43; Norbert Frei, Adenauer’s Germany and the Nazi Past: The Politics of Amnesty and Integration (New York, 2002 [1997]), 303-12
-
-241 . See Telford Taylor, The Anatomy of the Nuremberg Trials (London, 1993) and Overy, Interrogations.
-
-242 . Sereny, Albert Speer, 702-21; Matthias Schmidt, Albert Speer: Das Ende eines Mythos: Speers wahre Rolle im Dritten Reich (Bern, 1982); also Albert Speer, Spandau: The Secret Diaries (London, 1976 [1975]).
-
-243 . Höss, Commandant of Auschwitz, 195-201.
-
-244 . Steinbacher, Auschwitz, 137-9.
-
-245 . Ibid., 139-45.
-
-246 . Ḧhne, The Order of the Death’s Head, 535-6.
-
-247 . Klee et al. (eds.), ‘Those Were the Days’, 297-9.
-
-248 . Burleigh, Death, 269-80; Schmidt, Karl Brandt, 351-84.
-
-249 . Kater, Doctors under Hitler, 2-3; Steven P. Remy, The Heidelberg Myth: The Nazification and Denazification of a German University (Cambridge, Mass., 2002), 198-203.
-
-250 . Horace W. Stunkard, ‘Erich Martini (1880-1960)’, Journal of Parasitology, 47 (1961), 909-10.
-
-251 . Lifton, The Nazi Doctors, 380-83.
-
-252 . Klee, Auschwitz, 488-91.
-
-253 . Sereny, Into that Darkness, 13, 16, 261-77, 301-7, 321-2, 339-66.
-
-254 . Cesarani, Eichmann, 200-323.
-
-255 . Steinbacher, Auschwitz, 145-52.
-
-256 . Konrad H. Jarausch, After Hitler: Recivilizing Germans, 1945-1995 (New York, 2006), 54. The figure for the ‘incriminated’ does not include the British Zone. See also Clemens Vollnhals, Entnazifizierung: Politische Säuberung und Rehabilitierung in den vier Besatzungszonen 1945-1949 (Munich, 1991); Lutz Niethammer, Die Mitläuferfabrik: Die Entnazifizierung am Beispiel Bayerns (Berlin, 1992).
-
-257 . Jarausch, After Hitler, 271-81. For Best, see Herbert, Best, 403-76, and more generally Norbert Frei (ed.), Karrieren im Zwielicht: Hitlers Eliten nach 1945 (Frankfurt am Main, 2001). For problems of social adjustment immediately after the war, see J̈rg Echternkamp, ‘Im Schlagschatten des Krieges: Von den Folgen militärischer Herrschaft in der frühen Nachkriegszeit’, in DRZW X/II. 657-97.
-
-258 . Ḧrter (ed.), Ën deutscher General, 16.
-
-259 . Bock, Zwischen Pflicht und Verweigerung, 11-25.
-
-260 . Hosenfeld, ‘Ich versuche’, 111-46.
-
-261 . Breloer (ed.), Geheime Welten, 44.
-
-262 . Ibid., 45.
-
-263 . Ibid., 273.
-
-264 . Maschmann, Account Rendered, 168-223 (quotation on page 190).
-
-265 . Steven Bach, Leni - The Life and Work of Leni Riefenstahl (New York, 2007), 252- 92; Welch, Propaganda and the German Cinema, 125-34, 263, 307; Emil Jannings, Theater, Film - Das Leben und Ich (Munich, 1989 [1951]).
-
-266 . Kater, Composers, 3-30, 211-63.
-
-267 . Shirakawa, The Devil’s Music Master, 364.
-
-268 . Ibid. More generally, see Toby Thacker, Music after Hitler, 1945-1955 (London, 2007), 39-74.
-
-269 . Petropoulos, The Faustian Bargain, 239-53.
-
-270 . Neufeld, The Rocket and the Reich, 267-75.
-
-271 . Remy, The Heidelberg Myth, 54, 204-5.
-
-272 . Klukowski, Diary, x-xi, xv-xx.
-
-273 . Martin Chalmers, ‘Introduction’, in Victor Klemperer, The Lesser Evil: The Diaries of Victor Klemperer 1945-59 (London, 2003 [1999]), vii-xvii.
-
-274 . Klemperer, The Lesser Evil, 359 (8 July 1951).
-
-275 . Ibid., 621-4.
-
-276 . Cited in Evans, The Coming of the Third Reich, 312-13; information from Staatsarchiv der Freien- und Hansestadt Hamburg.
-
-277 . Eric A. Johnson and Karl-Heinz Reuband, What We Knew: Terror, Mass Murder, and Everyday Life in Nazi Germany: An Oral History (New York, 2005), 337-44.
-
-278 . Bill Niven, Facing the Nazi Past: United Germany and the Legacy of the Third Reich (London, 2002), 233-41; Peter Reichel, Politik mit der Erinnerung: Gedächtnisorte im Streit um die nationalsozialistische Vergangenheit (Frankfurt am Main, 1999 [1995]).
-
-279 . Bullock, Hitler, 808.
-
-
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-
-
-
-
-
-Index
-
-Numbers in bold indicate maps
-
-
-
-
-
-Aachen
-
-Abetz, Otto
-
-abortion
-
-Absberg
-
-Adam, Luitpold
-
-Adis Abeba
-
-Adler Works, Frankfurt
-
-Admiral Hipper (heavy cruiser)
-
-‘Adolf Hitler Personal Flag’ (Leibstandarte
-
-Adolf Hitler; personal bodyguard)
-
-Adriatic Sea
-
-Adventure in China (film)
-
-Africa Corps
-
-agriculture
-
-Agriculture Ministry
-
-air force, German
-
-rearmament
-
-bombardment of Poland
-
-aircraft production
-
-bombardment of Allied forces in Norway
-
-bombardment of Allied forces in Holland, Belgium and France
-
-Battle of Britain
-
-bombing raids on Britain
-
-devastation of Belgrade and war with Soviet Union
-
-and Allied bombardment of German cities
-
-popular anger at
-
-and Allied Normandy landings
-
-and medical experimentation
-
-‘Baby Blitz’
-
-Battle of the Bulge
-
-suicides of generals
-
-Air Ministry
-
-air-raid shelters
-
-air-raid wardens
-
-air-raids see bombing raids
-
-aircraft carriers
-
-Akmecetka
-
-Alamein, El, Battle of
-
-Albania
-
-Ålborg
-
-Alderney
-
-Alexander, King of Yugoslavia
-
-Alexandria
-
-Algeria
-
-Alsace
-
-Altmark (prison ship)
-
-aluminium
-
-aircraft production
-
-radar confusion
-
-Alvensleben, Ludolf von
-
-Alvensleben, Wichard von
-
-Alzey
-
-Ambros, Otto
-
-Amersfoort labour camp
-
-ammunition production
-
-amphetamines
-
-Amsterdam
-
-Anabaptists
-
-anarchism
-
-Ancestral Heritage organization (SS-AHNENERBE )
-
-Andersen, Lale
-
-Anglo-German Society
-
-Anthropology, German Society for
-
-anti-fascism
-
-antibacterial drugs
-
-antisemitism
-
-in Poland
-
-in feature films
-
-in German army
-
-in Tsarist Russia
-
-in SS
-
-in Baltic States
-
-in Ukraine
-
-in Romania
-
-Hitler’s rhetoric
-
-in France
-
-in Holland
-
-see also ‘final solution’; propaganda, anti-Jewish
-
-Antonescu, Ion
-
-Antwerp
-
-Applied Research in Defence Science, Institute for
-
-Arabs
-
-Arbed (steel combine)
-
-Archangel
-
-Arctic Ocean
-
-Ardeatine caves
-
-Ardenne, Manfred von
-
-Ardennes
-
-Argentina
-
-Argus (air-engine company)
-
-aristocracy
-
-Armaments, Reich Ministry for
-
-armaments production see also ‘wonder-weapons’
-
-Arms Inspectorate
-
-army, German
-
-influence of Nazi ideology
-
-courts-martial
-
-atrocities in occupied Poland
-
-antisemitism
-
-atrocities in occupied east
-
-unprepared for winter war in Soviet Union
-
-Hitler takes complete command
-
-purge of generals following defeat at Moscow
-
-losses on Eastern Front
-
-atrocities in occupied Yugoslavia
-
-sequestering of goods from occupied countries
-
-Generals required to reaffirm belief in Hitler
-
-vandalism in Italy after defection
-
-breakdown of discipline during retreat in Soviet Union
-
-background and character of senior officers
-
-Hitler’s distrust of
-
-Hitler’s donations to senior officers
-
-honours and medals
-
-characteristics of junior officers and ordinary soldiers
-
-and Military SS
-
-and medical experimentation
-
-army, German - cont.
-
-military resistance
-
-disintegration
-
-deserters
-
-suicides of generals
-
-postwar lives of military commanders
-
-Army Groups
-
-A
-
-B
-
-Centre
-
-North
-
-North Ukraine
-
-South
-
-Army Sanitary Inspectorate
-
-Arrow Cross
-
-art
-
-collecting
-
-Reich Chamber for the Visual Arts
-
-looting of artworks by Germans
-
-looting of artworks by Soviets
-
-restitution of expropriated artworks
-
-artists
-
-German war artists
-
-in concentration camps
-
-in postwar Germany
-
-Aryanization
-
-asbestos
-
-‘asocials’
-
-assassination attempts on Hitler 1943 1944
-
-Astrakhan
-
-asylums see also T-4 unit killing centres
-
-Athens
-
-Athens (freighter)
-
-Atlantic, Battle of the
-
-‘Atlantic Charter’
-
-Atlantic convoys
-
-atomic bombs
-
-Attlee, Clement
-
-Aubin, Hermann
-
-Augsburg
-
-Aumeier, Hans
-
-Auschwitz concentration camp
-
-establishment and growth
-
-methods of killing
-
-escape attempts
-
-camp life
-
-prisoner labour
-
-sub-camps
-
-deportation of Jews from Western Europe to
-
-deportation of Jews from Slovakia to
-
-deportation of Jews from Italy to
-
-deportation of Gypsies to
-
-reports on mass murders
-
-racial-biological research
-
-medical experimentation
-
-deportation of Jews from Hungary to
-
-dismantling and evacuation
-
-Soviet forces discover
-
-trials of officers and guards
-
-Australia
-
-Austria
-
-German occupation
-
-population transfer programmes
-
-Jewish emigration from
-
-deportation of Jews from
-
-deportation of Gypsies from
-
-Schuschnigg dictatorship
-
-confiscation of property
-
-Allied and Soviet forces advance into
-
-surrender of German forces
-
-imprisonment of war criminals
-
-postwar partisan resistance movement
-
-Avela
-
-Axmann, Arthur
-
-
-
-
-
-Babi Yar
-
-Bach-Zelewski, Erich von dem
-
-Backe, Herbert
-
-Bad Aibling
-
-Bad Nauheim
-
-Bad Neuenahr
-
-Baden
-
-Bader, Paul
-
-badges
-
-Jewish yellow star
-
-political prisoners’ red triangle
-
-asocials’ black triangle
-
-homosexuals’ pink triangle
-
-Badoglio, Pietro
-
-‘Baedeker raids’
-
-Baer, Richard
-
-Bagration, Operation
-
-Bahamas
-
-Baku
-
-Baldin, Viktor
-
-Balkan Wars
-
-ball-bearings
-
-Baltic Sea
-
-Baltic States see also Estonia; Latvia; Lithuania
-
-Barbarossa, Operation
-
-plans for
-
-invasion launched
-
-surprise and speed of attack
-
-Red Army collapses in chaos181 -
-
-popular German reaction to
-
-loses momentum
-
-optimism gives way to crisis
-
-murderous policies implemented during
-
-bars and hotels
-
-bartering
-
-Bart’k, B’la
-
-Bary, L’szl’
-
-Battle of Britain
-
-Bauer, Fritz
-
-Baum, Herbert
-
-Bautzen
-
-Bavaria
-
-Bayer (pharmaceutical company)
-
-Bayreuth
-
-BBC
-
-German service
-
-Hungarian service
-
-Be Fond of Me (film)
-
-Beck, Ludwig
-
-Becker, Karl
-
-Bedzin
-
-beer-hall putsch (1923)
-
-Beethoven, Ludwig van
-
-Beger, Bruno
-
-Beiglb̈ck, Wilhelm
-
-Belarus
-
-Hitler’s plans for ‘living-space’
-
-General Commissariat
-
-German army’s atrocities in
-
-murder of political prisoners
-
-killing of ‘useless eaters’
-
-deportation of Jews from
-
-partisan groups
-
-German withdrawal
-
-see also Eastern Land, Reich Commissariat of the
-
-Belarussians
-
-in Poland
-
-German hatred for
-
-Belgium
-
-German invasion
-
-capitulation
-
-deportation of Jews from
-
-empire
-
-sequestration of equipment and materials
-
-exports to Germany
-
-and the ‘New Order’
-
-‘occupation costs’
-
-rationing
-
-Belgian civilian workers in Germany
-
-political prisoners in concentration camps
-
-administration during occupation
-
-flying bomb and rocket attacks see also Flanders
-
-Belgrade concentration camp
-
-Below, Nicolaus von
-
-Belzec
-
-labour camps
-
-extermination camp
-
-Berchtesgaden
-
-Bergen-Belsen concentration camp
-
-Bergengruen, Werner
-
-Berger, Gottlob
-
-Berger, Oskar
-
-Berghof
-
-Berlin
-
-Jewish population
-
-plans for rebuilding
-
-victory parade for conquest of France
-
-Allied bombing raids
-
-deportation of Jews from
-
-Sports Palace
-
-bomb attack on anti-Soviet exhibition (May 1942)
-
-provision of air-raid shelters
-
-repair of bomb damage
-
-Moabit prison
-
-caf’s and bars
-
-evacuation of children from
-
-Pl̈tzensee prison
-
-rescue of Jews
-
-Technical University
-
-schools
-
-resistance movements
-
-Brandenburg Gate
-
-Red Army advances on
-
-final battle for
-
-artworks plundered by Soviets
-
-industrial machinery removed by Soviets
-
-Red Army atrocities in
-
-suicides in
-
-memorial to Jewish victims of Nazism
-
-Berlin Wall
-
-Berliner, Meir
-
-Bernadotte, Folke
-
-Bernburg
-
-Bertram, Adolf
-
-Bessarabia
-
-Best, Werner
-
-Bethel Hospital
-
-Bialystok
-
-Bielefeld
-
-Bielski brothers
-
-Big Number, The (film)
-
-Birkenau (Brzezinka) see also Auschwitz concentration camp
-
-birth rates
-
-Bischoffshausen, Lothar von
-
-Bismarck, Otto von
-
-Bismarck (battleship)
-
-Black Corps, The (newspaper)
-
-black markets
-
-in occupied Poland
-
-in occupied western countries
-
-in Germany
-
-Black Sea
-
-‘blackout’ regulations
-
-Blankenburg, Werner
-
-Blaskowitz, Johannes
-
-Bletchley Park
-
-blind people
-
-Blitz
-
-‘Baby Blitz’
-
-see also Britain, bombing raids on
-
-Blitzkrieg (’lightning war’)
-
-Blobel, Paul
-
-Blondi (Hitler’s dog)
-
-Bl̈cher (battle cruiser)
-
-Blue Angel, The (film)
-
-Blue Danube (Strauss)
-
-Blum, L’on
-
-Blumentritt, G̈nther
-
-BMW
-
-Bochum
-
-Bochum Association
-
-Bock, Fedor von
-
-and military administration of occupied Poland
-
-and invasion of France
-
-and invasion of Soviet Union
-
-and Hess’s mission to Britain
-
-concern with treatment of Russian prisoners of war
-
-and Soviet counter-attacks
-
-and German push towards Moscow
-
-collapse in health
-
-Crimean campaign
-
-relieved of command
-
-background and career
-
-death
-
-Bodelschwingh, Friedrich von
-
-Bodganovka
-
-Boer War
-
-Bohemia and Moravia (Reich Protectorate)
-
-B̈hm, Karl
-
-B̈hme, Franz
-
-B̈hme, Hans-Joachim
-
-Bohr, Niels
-
-Bolshevism, Bolsheviks
-
-‘Jewish’
-
-Soviet
-
-in Yugoslavia
-
-and Christianity
-
-anti-Bolshevik films
-
-see also Communists, Communism
-
-Bolz, Eugen
-
-Bomb Damage Committee, Inter-Ministerial 453
-
-bombing raids
-
-on Poland
-
-on Allied forces in Norway
-
-on Allied forces in Holland, Belgium and France
-
-on Britain
-
-on Germany
-
-on Yugoslavia
-
-on Soviet Union
-
-on Bulgaria
-
-on Italy
-
-Bonhoeffer, Dietrich
-
-Borbet, Walter
-
-Bordeaux
-
-Border Police School, Pretzsch
-
-Boris, King of Bulgaria
-
-Bormann, Martin
-
-and Germanization programmes in Poland
-
-and ‘euthanasia action’ programme
-
-succeeds Hess
-
-and Hess’s mission to Britain
-
-noting down of Hitler’s monologues
-
-and Fritz Sauckel
-
-surveillance of foreign workers
-
-in ‘Committee of Three’
-
-appoined ‘Secretary of the Leader’
-
-and judiciary
-
-and population growth
-
-anti-Christian policies
-
-and Arno Breker
-
-alliance with Goebbels
-
-and ‘wonder-weapons’
-
-Bormann, Martin - cont.
-
-appeals for people’s will to stand firm
-
-last days in the bunker
-
-suicide
-
-in Hitler’s Political Testament
-
-in absentia death sentence
-
-Bormann, Martin (son)
-
-Boryslaw
-
-Bosnia and Hercegovina
-
-Bouhler, Philipp
-
-‘bouncing bombs’
-
-Bousquet, Ren’
-
-Brack, Viktor
-
-Brackmann, Albert
-
-Bradley, Omar
-
-Brandenburg
-
-Brandt, Karl
-
-Bratislava
-
-Brauchitsch, Walther von
-
-Braun, Eva
-
-Braun, Magnus von
-
-Braun, Wernher von
-
-Braune, Paul Gerhard
-
-Br̈utigam, Otto
-
-Brazil
-
-Brecht, Bertolt
-
-Breker, Arno
-
-Bremen
-
-Brenner Pass
-
-Breslau
-
-Brest-Litovsk
-
-bribery
-
-Britain
-
-and German invasion of Poland
-
-Hitler’s ‘peace offer’ to
-
-and Jewish emigrants to Palestine
-
-rearmament
-
-declaration of war on Germany
-
-and German invasion of Norway
-
-supplies from USA
-
-resignation of Chamberlain and appointment of Churchill
-
-and German invasion of Holland, Belgium and France
-
-Dunkirk evacuation
-
-German plans for invasion
-
-sinking of French ships at Mers-el-K’bir
-
-Battle of Britain
-
-bombing raids on
-
-attacks on Italian ports
-
-code-breaking
-
-North Africa campaigns
-
-Middle Eastern territories
-
-expeditionary force in Greece
-
-and German plans for invasion of Soviet Union
-
-Hess’s mission to
-
-‘lend-lease’ arrangements with USA
-
-and ‘Jewish world conspiracy’
-
-and assassination of Heydrich
-
-Special Operations Executive
-
-armaments production
-
-oil supplies to
-
-women in workforce
-
-aircraft production
-
-and Bulgarian neutrality
-
-invasion of Italy
-
-reports on Jewish genocide
-
-anti-British films
-
-pro-German propaganda
-
-Normandy landings
-
-and July 1944 bomb plot
-
-Battle of the Bulge (1944-45)
-
-flying bomb and rocket attacks
-
-Allied forces advance through Germany
-
-take over of concentration camps
-
-and German surrender
-
-postwar use of German military
-
-technological equipment and expertise
-
-see also Royal Air Force; Royal Navy
-
-British Empire
-
-British Secret Service
-
-Bromberg (Bydgoszcz)
-
-brownshirts see also SA
-
-Bruckner, Anton
-
-Brunner, Alois
-
-Brussels
-
-Brzezany
-
-Brzezinka (Birkenau) see also Auschwitz concentration camp
-
-Bucharest
-
-Buchenwald concentration camp
-
-medical experimentation
-
-resistance groups
-
-‘Work Camp Dora’ sub-camp
-
-B̈chner, Franz
-
-Budapest
-
-Buenos Aires
-
-Bug, river
-
-Bukovina
-
-Bulgaria
-
-Romanian territory ceded to
-
-and German invasion of Yugoslavia and Greece
-
-annexation of Macedonia and Thrace
-
-antisemitic legislation
-
-and German invasion of Soviet Union
-
-declares war on USA
-
-deportation of Jews from
-
-refusal to deport remainder of Jews
-
-declares neutrality
-
-declares war on Germany
-
-Bulge, Battle of the (1944 -)
-
-Bullenhuser Damm sub-camp
-
-Bullock, Alan
-
-Bumke, Erwin
-
-buna (synthetic rubber)
-
-B̈rckel, Josef
-
-Burckhardt, Carl J.
-
-Burckhardt, Ren’
-
-Burgdorf, Wilhelm
-
-Burgenland
-
-Burma
-
-Burmeister, Johann
-
-Busch, Ernst
-
-Byelaya Tserkow
-
-
-
-
-
-Cairo
-
-Calabria
-
-Canada
-
-Canaris, Wilhelm von
-
-cannibalism
-
-Canterbury, Archbishop of
-
-Cap Arcona (liner)
-
-Capriccio (Strauss)
-
-carbon monoxide
-
-Caribbean Sea
-
-Carinhall (G̈ring’s hunting lodge)
-
-Caritas Association
-
-Carl Peters (film)
-
-Carl Zeiss (optics factory)
-
-Carlyle, Thomas
-
-Carmina Burana (Orff)
-
-Carol, King of Romania
-
-Carpathian mountains
-
-Casablanca conference (1943)
-
-Caspian Sea
-
-Catholic Church
-
-in Poland
-
-and ‘euthanasia action’ programme
-
-and persecution of Jews
-
-in Croatia
-
-in France
-
-in Holland
-
-autonomy curtailed
-
-in Hungary
-
-see also Vatican
-
-Catholics, Catholicism
-
-Polish
-
-and opposition to Nazism
-
-Croatian
-
-in France
-
-in Belgium
-
-in Hungary
-
-and suicide
-
-Caucasus
-
-C’line, Louis-Ferdinand
-
-Celle
-
-Cephalonia
-
-cerebral palsy
-
-Chamberlain, Austen
-
-Chamberlain, Neville
-
-Chancellery of the Leader
-
-Charlotte. (diarist)
-
-Chartres
-
-Chechens, Chechnya
-
-Chekhov, Anton
-
-Chelmno extermination camp
-
-Cherbourg
-
-Chetniks
-
-Chicago Symphony Orchestra
-
-children
-
-Germanization of Polish children
-
-murder of Jewish children in Poland
-
-in ghettos
-
-‘mixed race’
-
-killing of handicapped children
-
-in occupied Greece
-
-included in massacres of Jews in east
-
-in extermination camps
-
-in concentration camps
-
-labour schemes
-
-of foreign workers
-
-deportation of Jewish children from France
-
-Dutch Jewish children in hiding
-
-evacuees
-
-killing of babies of forced labourers
-
-killing of Gypsy children
-
-birth rates
-
-fathers at the front
-
-rescue of Jewish children
-
-cinema-going
-
-medical experimentation on
-
-drafted into war-effort
-
-German refugees
-
-see also Hitler Youth; schools
-
-China
-
-Chios
-
-Chisinau
-
-Chopin, Fr’d’ric
-
-Christian, King of Denmark
-
-Christianity
-
-chrome
-
-Chuikov, Vasili
-
-Churches
-
-and ‘euthanasia action’ programme
-
-and persecution of Jews
-
-and evacuation schemes
-
-Nazi anti-Christian policies
-
-see also Catholic Church; Confessing Church; Evangelical Church; German Christians; Orthodox Church
-
-Churchill, Winston
-
-appointed Prime Minister
-
-relations with French leaders
-
-and Duke of Windsor
-
-rejection of Hitler’s ‘peace offer’
-
-concedes mistake of sending troops to Greece
-
-signs ‘Atlantic Charter’
-
-and ‘Jewish world conspiracy’
-
-Casablanca conference (1943)
-
-portrayed in Uncle Kruger
-
-Hitler blames his ‘love of conflict’
-
-Ciano, Galeazzo
-
-Ciepiel’w
-
-cigarettes
-
-cinema see films
-
-Citadel, Operation
-
-Civil Air War Measures, Reich Inspectorate for
-
-civil service
-
-coal
-
-Cocteau, Jean
-
-code-breaking
-
-Codreanu, Michael
-
-Cold War
-
-collaboration
-
-in occupied Poland
-
-in Vichy France
-
-and Communist groups
-
-in Slovakia
-
-Cologne
-
-Columbus (Egk)
-
-Combined Armed Forces Supreme
-
-Command (Oberkommando der
-
-Wehrmacht)
-
-Commissar Order
-
-‘Committee of Three’
-
-Communist Party of Germany
-
-Communists, Communism
-
-in Soviet-occupied Polish territory
-
-German fear of
-
-labour movements
-
-in Norway
-
-order to kill commissars in occupied east
-
-in Baltic States
-
-in Ukraine
-
-in Yugoslavia
-
-bomb attack on anti-Soviet exhibition (May 1942)
-
-in ghettos
-
-Gestapo arrests
-
-resistance movements in occupied countries
-
-in France
-
-in Holland
-
-in Belgium
-
-partisan groups in Italy
-
-political prisoners
-
-revolutions in Munich (1919)
-
-resistance movements in Germany
-
-in concentration camps
-
-in postwar Poland
-
-in East Germany
-
-see also Bolshevism, Bolsheviks
-
-Como, Lake
-
-Compiègne
-
-concentration camps
-
-Polish deportations to
-
-Jews to be imprisoned for duration of war
-
-Gypsies deported to
-
-in Croatia
-
-in Serbia
-
-Special Detachments
-
-new camps created following conquest of Poland and France
-
-corruption in
-
-operation of
-
-prisoner labour
-
-change in nature and administration in 1942
-
-sub-camps
-
-prisoners transferred to
-
-transformed into centres of labour supply
-
-14f13 euthanasia programme
-
-medical experimentation on inmates
-
-liquidation of
-
-Allied forces take over
-
-‘floating concentration camps’
-
-turned into museums
-
-see also Auschwitz; Buchenwald;
-
-Dachau; extermination camps;
-
-Flossenb̈rg; Gross-Rosen; Majdanek;
-
-Mauthausen; Natzweiler;
-
-Neuengamme; Ravensbr̈ck;
-
-Sachsenhausen; Stutthof;
-
-Theresienstadt
-
-Condor Legion
-
-Confessing Church
-
-Conradstein (Kocborowo)
-
-conscription
-
-Conservative Party (British)
-
-Constance, Lake
-
-Constantinople
-
-Conti, Leonardo
-
-Continental Oil
-
-Conze, Werner
-
-Copenhagen
-
-copper
-
-Corday, Charlotte
-
-corruption
-
-in occupied Poland
-
-in Jewish ghettos
-
-in Romania
-
-in concentration camps
-
-in foreign workers’ camps
-
-and Dutch Jewish community
-
-in Salò regime see also bribery
-
-Corsica
-
-Count Spee (battleship)
-
-courts
-
-military
-
-Supreme Court
-
-People’s Court
-
-Special Courts
-
-Coventry
-
-Cracow
-
-Crete
-
-Crimea
-
-Criminal Law, Commission on the Reform of the
-
-Criminal Police Office, Reich
-
-criminals
-
-Criminial-Technical Institute
-
-Croats, Croatia
-
-Ustashe ethnic cleansing and genocide
-
-deportation of Jews from
-
-concentration camp guards
-
-Croatia as client state
-
-Cronin, A. J.
-
-Crusading Teutonic Knights
-
-Culture Chamber, Reich
-
-Curzon Line
-
-cyanide
-
-Cyc’w
-
-Cyprus
-
-Czartoryski family
-
-Czechoslovakia
-
-dismemberment
-
-German occupation
-
-ethnic German population
-
-planned deportations
-
-internees in North African labour camps
-
-government in exile
-
-Heydrich’s racial policies
-
-resistance movement
-
-reprisals for Heydrich’s assassination
-
-Czech Jews in Theresienstadt concentration camp
-
-deportation of Jews from
-
-Czech labourers in Germany
-
-see also Bohemia and Moravia (Reich Protectorate); Slovakia; Sudetenland
-
-Czerniako’w, Adam
-
-
-
-
-
-Dachau concentration camp
-
-Dachau concentration camp
-
-Catholic priests in
-
-Höss camp officer at
-
-gassing facilities unused
-
-prisoner labour
-
-homosexuals in
-
-medical experimentation
-
-typhus in
-
-Daimler-Benz
-
-Dalheim
-
-Dalmatia
-
-Daluege, Kurt
-
-Dannecker, Theodor
-
-Danube, river
-
-Danzig
-
-Danzig-West Prussia (Reich District)
-
-Darnand, Joseph
-
-Darquier, Louis
-
-Darr’, Richard Walther
-
-de Gaulle, Charles
-
-deaf people
-
-‘death marches’
-
-death penalty
-
-for Poles and Czechs
-
-for Jews
-
-for soldiers
-
-for ‘national pests’ and ‘habitual criminals’
-
-statistics
-
-for homosexuals
-
-for paedophiles
-
-Death’s Head Units
-
-Defence of the Reich, Ministerial Council for the
-
-Degesch (poison gas manufacturer)
-
-Degussa (precious metals and chemical company)
-
-Deipenhof estate
-
-‘Deists’
-
-Demjanjuk, Ivan
-
-Demmin
-
-denazification
-
-Denmark
-
-German invasion
-
-deportation of Jews from
-
-and the ‘New Order’
-
-administration during occupation
-
-Military SS recruitment
-
-prisoners
-
-surrender of German forces
-
-dental fillings
-
-Derain, Andr’
-
-Deutsche Bank
-
-Devonshire (cruiser)
-
-Diebner, Kurt
-
-Diehl, Karoline
-
-Dietrich, Josef ‘Sepp’
-
-Dietrich, Marlene
-
-Dietrich, Otto
-
-diphtheria
-
-Djakovo concentration camp
-
-Dnepropetrovsk
-
-Dnieper, river
-
-doctors see also medicine, medical experimentation
-
-Dohmen, Arnold
-
-Dollfuss, Engelbert
-
-D̈lzschen
-
-Domagk, Gerhard
-
-Domanevka
-
-Don, river
-
-Donbas
-
-Donets Basin
-
-Dongen, Kees van
-
-Dongo
-
-D̈nitz, Karl
-
-Doorn
-
-Dora-Central Works (rocket factory)
-
-Doriot, Jacques
-
-Dornberger, Walter
-
-Dornier(bomber)
-
-Dorsch, Xaver
-
-Dortmund
-
-Dounias, Minos
-
-Down’s syndrome
-
-Dragass
-
-Drancy
-
-Dresden
-
-Klemperers’ life in
-
-deportation of Jews from
-
-bombing of
-
-provision of air-raid shelters
-
-museums
-
-Technical University
-
-Dresden State Theatre
-
-Dresdner Bank
-
-Dreyfus, Alfred
-
-Drieu La Rochelle, Pierre
-
-Dubossary
-
-Duisburg
-
-Dunkirk
-
-D̈sseldorf
-
-Dvina, river
-
-dwarfs
-
-Dyn’w
-
-dysentery
-
-
-
-
-
-East Germany (German Democratic Republic)
-
-East Prussia
-
-Eastern Front
-
-ideological fanaticism of both sides
-
-scale of losses
-
-Eastern Land, Reich Commissariat of the
-
-‘Eastern Nutrition’ (̈stliche Kostform)
-
-Eastern Territories, Reich Ministry for Occupied
-
-Eber, Elk
-
-Eberl, Irmfried
-
-Ebermannstadt
-
-Economics, Reich Ministry of
-
-economy
-
-Edelstein, Jakob
-
-Edelweiss Pirates (gang)
-
-Eden, Anthony
-
-Eder, river
-
-education see schools; universities
-
-Education, Reich Ministry of
-
-Edward, King
-
-Egk, Werner
-
-Eglfing-Haar asylum
-
-Egypt
-
-Eichmann, Adolf
-
-deportation of Jews from incorporated territories
-
-and development of genocidal policy
-
-at Wannsee Conference (1942)
-
-implementation of ‘final solution’
-
-establishment of Auschwitz
-
-and Jakob Edelstein
-
-on total numbers of Jews killed
-
-deportation of Jews from Western Europe
-
-deportation of Jews from Hungary
-
-escape to Latin America
-
-trial and execution
-
-Eicke, Theodor
-
-Eighth Army
-
-Eimann, Kurt
-
-Einsiedel, Heinrich von
-
-Eisenhower, Dwight.
-
-El Alamein
-
-Elbe, river
-
-Elbeuf
-
-Elbrus, Mount
-
-elections
-
-Eli’ˇ, Alois
-
-Elizabeth, Tsarina of Russia
-
-Elser, Georg
-
-emigration
-
-of Jews
-
-Jews banned from
-
-Emmendingen
-
-Emperor of Atlantis, The (opera)
-
-encephalitis
-
-Endre, L’szlo
-
-Engel, Gerhard
-
-English Channel
-
-Entailed Farms
-
-epilepsy
-
-Erfurt
-
-Erika S. (diarist)
-
-Eritrea
-
-Erlangen
-
-Essen
-
-Estonia
-
-Eternal Jew, The (film)
-
-Ethiopia
-
-ethnic Germans
-
-Self-Protection militia
-
-population transfer programmes
-
-expelled from Eastern Europe
-
-eugenics
-
-‘euthanasia action’
-
-evacuation, evacuees
-
-Evangelical Church
-
-Evers, Hannelore
-
-exchange rates
-
-extermination camps see also Auschwitz; Belzec; Chelmno; Sobibor; Treblinka
-
-
-
-
-
-fascism
-
-in Norway
-
-in Spain
-
-in Britain
-
-in Italy
-
-in Romania
-
-in Croatia
-
-in Bulgaria
-
-in Vichy France
-
-in Hungary
-
-see also anti-fascism
-
-Faulhaber, Cardinal Michael
-
-Fegelein, Hermann
-
-Felber, Hans
-
-Feuchtwanger, Lion
-
-Fieseler (aircraft company)
-
-Filipovi’, Father
-
-films, cinema
-
-‘final solution’
-
-centrality to history of Third Reich at war
-
-development of
-
-public knowledge of see also Jews
-
-Finance Ministry, Prussian
-
-Finance Ministry, Reich
-
-Finland
-
-war with Soviet Union (’Winter War’, 1940)
-
-and German invasion of Soviet Union
-
-and extermination of Jews
-
-deportation of Jews from
-
-Jewish population
-
-Red Army attacks (June 1944)
-
-Finn, Mishka
-
-First World War
-
-formation of Polish state after
-
-League of Nations plebiscites after
-
-exchange of minority populations between Turkey and Greece after
-
-‘stab-in-the-back’ myth
-
-German naval failings
-
-burning of Louvain university library
-
-trench warfare
-
-Battle of Verdun
-
-Armistice
-
-collapse of German home front
-
-Battle of the Marne
-
-Jewish veterans
-
-reparations
-
-loans
-
-see also Peace Settlement (1919); Versailles, Treaty of
-
-Fischer, Fritz
-
-Fischer, Horst
-
-flak (ground-to-air fire)
-
-Flanders
-
-Flensburg
-
-Florstedt, Hermann
-
-Flossenb̈rg concentration camp
-
-flying bombs
-
-Foch, Marshal Ferdinand
-
-Food Ministry, Reich
-
-food shortages see also nutrition; rationing
-
-Ford, Henry
-
-Fordon
-
-Foreign Office, German
-
-and planned removal of Jews from Reich
-
-receives reports of Task Forces’ massacres
-
-and extermination of Jews
-
-and opposition to Nazis
-
-Forster, Albert
-
-Fort(Kovno)
-
-Fossoli
-
-Four-Year Plan, Office of the
-
-France
-
-and German invasion of Poland
-
-Hitler’s ‘peace offer’ to
-
-declaration of war on Germany
-
-rearmament
-
-German invasion
-
-Dunkirk evacuation
-
-German advance south
-
-descent into chaos
-
-signing of Armistice
-
-partition
-
-sinking of ships at Mers-el-K’bir
-
-deportation of Jews from
-
-resistance
-
-empire
-
-sequestration of equipment and materials
-
-exports to Germany
-
-German control of industry
-
-‘occupation costs’
-
-and the ‘New Order’
-
-aircraft production
-
-rationing
-
-French civilian workers in Germany
-
-political prisoners in concentration camps
-
-administration of occupied zone
-
-antisemitism
-
-anti-Jewish measures
-
-Free French movement
-
-rescue of Jews
-
-confiscation of artworks
-
-Allied Normandy landings
-
-postwar use of German military technological expertise
-
-see also Vichy France
-
-Franciscans
-
-Franco, Francisco
-
-Franconia
-
-Frank, Anne
-
-Frank, Hans
-
-General Governor of occupied Poland
-
-Reich Commissioner for Justice
-
-and Germanization programmes
-
-suppression of Polish culture and education
-
-undermined by Kr̈ger
-
-corruption
-
-and food shortages
-
-and mass deportations
-
-establishment of Warsaw ghetto
-
-and Hess’s mission to Britain
-
-and extermination of Jews
-
-crudity of language
-
-and Hans Pfitzner
-
-and looting of artworks
-
-trial and execution
-
-Frank, Karl Hermann
-
-Frankfurt
-
-Frankfurt Newspaper (Frankfurter Zeitung)
-
-Frankfurt School of sociology
-
-Frankfurt University
-
-Frederick the Great, King of Prussia
-
-Free Corps
-
-Freemasons
-
-Freiburg University
-
-Freisler, Roland
-
-French Foreign Legion
-
-Freud, Sigmund
-
-Frick, Wilhelm
-
-Fritsche, Hans
-
-Fromm, Friedrich
-
-Fulda Bishops’ Conference
-
-Funk, Walther
-
-Furtẅngler, Wilhelm
-
-
-
-
-
-Gab’ik, Jozef
-
-Gable, Clark
-
-Galen, Clemens August von
-
-Galen, Helene von
-
-Galicia
-
-Galland, Adolf
-
-Gamelin, Maurice
-
-gangs
-
-Gardelegen
-
-Garsden (Gargzdai)
-
-gas chambers
-
-mobile
-
-used for killing mental patients
-
-construction
-
-technology redeployed for extermination camps in east
-
-at Auschwitz
-
-at Belzec
-
-dismantled
-
-gas warfare
-
-Gatow
-
-Gaulle, Charles de
-
-GDP (Gross Domestic Product)
-
-Gdynia (Gdingen)
-
-Gebhardt, Karl
-
-Gelsenkirchen
-
-General Government (occupied Polish territories)
-
-as proving-ground for Nazi racial policies
-
-labour conscription
-
-Germanization programmes
-
-ethnic German population transfer programmes
-
-bribery and corruption in
-
-black markets
-
-disintegration of Polish society
-
-Jewish population
-
-deportation of Jews into
-
-establishment of ghettos
-
-Gypsies deported to
-
-extermination of Jews
-
-General Plan for the East
-
-Geneva Convention (1929)
-
-Genghis Khan
-
-Genshagen
-
-George, Stefan
-
-Gerhard M. (stormtrooper)
-
-German Academy
-
-German Christians
-
-German Economic Enterprise (Deutscher Wirtschaftsbetrieb)
-
-German Ethnic List
-
-German General Paper
-
-‘German greeting’
-
-‘German Housing Aid’
-
-German Labour Front
-
-German language
-
-German Race, Reich Commissioner for the Strengthening of
-
-German Research Community
-
-German-Soviet Non-Aggression Pact (1939)
-
-‘German Weekly Survey’ (Deutscher Wochenschau)
-
-Germanization programmes
-
-Germany
-
-Nazi-Soviet Non-Aggression Pact (1939)
-
-popular support for invasion of Poland
-
-labour shortages
-
-food shortages
-
-anti-Jewish measures
-
-rationing
-
-murder of handicapped
-
-hatred for British
-
-Allied bombing raids
-
-popular reaction to invasion of Soviet Union
-
-deportation of Jews from
-
-remnants of Jewish community organizations destroyed
-
-deployment of foreign workers
-
-war economy
-
-women in workforce
-
-fragmentation of government
-
-public knowledge of Jewish genocide
-
-‘total war’ labour-saving measures
-
-popular reaction to Hitler’s death and German defeat
-
-postwar division
-
-denazification
-
-postwar cultural life
-
-reunification
-
-see also East Germany; Weimar Republic; West Germany
-
-Germany Must Perish (Kaufman)
-
-Gerron, Kurt
-
-Gersdorff, Rudolf-Christoph von
-
-Gerstein, Kurt
-
-Gestapo (Geheime Staatspolizei; Secret State Police)
-
-and creation of Reich Security Head Office
-
-atrocities in Poland
-
-rise in Jewish cases at beginning of war
-
-and ‘euthanasia action’ programme
-
-arrest of priests
-
-and assassination attempt on Hitler (November 1939)
-
-in North Africa
-
-and deportation of Jews
-
-dissolution of Jewish Culture League
-
-searches of Jews’ Houses
-
-arrest of perpetrators of anti-Soviet
-
-exhibition bomb attack (May 1942)
-
-classification of Soviet prisoners of war
-
-and escapes from foreign labour camps
-
-arrests for ‘Communism and Marxism’
-
-in France
-
-in Holland
-
-torture of British airmen
-
-arrest of homosexuals
-
-and denunciations for ‘defeatist statements’
-
-raids on dance-halls
-
-arrest of Hungarian Jews
-
-and July 1944 bomb plot
-
-execution of looters
-
-mass arrests and executions in final days of Reich
-
-ghettos
-
-in Poland
-
-in Romania
-
-in occupied east
-
-Gibraltar
-
-Giese, Hans-Albert
-
-Giessen
-
-Glasgow
-
-Gleiwitz
-
-Glina
-
-Globocnik, Odilo
-
-Glorious (aircraft-carrier)
-
-Gl̈cks, Richard
-
-Gneisenau (battleship)
-
-Goebbels, Magda
-
-Goebbels, Paul Joseph
-
-estimates numbers of ethnic Germans killed in Poland
-
-on Jewish labour schemes
-
-and ‘euthanasia action’ programme
-
-and assassination attempt on Hitler (November 1939)
-
-and German advance through Belgium
-
-and Hess’s mission to Britain
-
-and invasion of Soviet Union
-
-diaries
-
-winter clothes for troops campaign
-
-on ‘reign of terror’ of Croats
-
-propaganda against ‘Jewish world conspiracy’
-
-and deportation of Jews
-
-visits Vilna ghetto
-
-and development of genocidal policy
-
-and bomb attack on anti-Soviet exhibition (May 1942)
-
-steps up antisemitic propaganda
-
-and the ‘New Order’
-
-regarded as ‘socialist’
-
-and trial of Herschel Grynszpan
-
-and Battle of Stalingrad (1942-43)
-
-‘total war’ initiative
-
-and bombing raids on German cities
-
-fails to persuade Hitler to visit bombed cities
-
-and Hitler’s increasing withdrawal from public affairs
-
-ignores Churches’ complaints
-
-propaganda against Red Army atrocities
-
-purpose of wartime propaganda
-
-gains complete control over propaganda
-
-restrictions on theatre
-
-feature films
-
-use of radio broadcasts for propaganda
-
-and Richard Strauss
-
-and war artists
-
-and closure of universities
-
-and July 1944 bomb plot
-
-and bombing raids on Britain
-
-and threat of German annihilation
-
-refuses to admit defeat
-
-last days in the bunker
-
-suicide
-
-in Hitler’s Political Testament
-
-Fritzsche tried as substitute
-
-see also Propaganda Ministry
-
-Goerdeler, Carl
-
-gold
-
-dental fillings
-
-G̈ring, Hermann
-
-and occupation of Poland
-
-doubts about war with Britain and France
-
-boasts of air force’s capabilities
-
-at signing of French Armistice
-
-and Hess’s mission to Britain
-
-on aim of war against Soviet Union
-
-at ‘Wolf’s Lair’
-
-and Hitler’s plans for occupied Soviet Union
-
-in charge of Jewish policy
-
-and development of genocidal policy
-
-crudity of language
-
-and implementation of ‘final solution’
-
-and Fritz Todt
-
-and Speer
-
-downgrading of authority over economy
-
-and armaments production
-
-and the ‘New Order’
-
-and labour mobilization schemes
-
-and Battle of Stalingrad (1942-43)
-
-morphine addiction
-
-popular anger at
-
-declining influence
-
-anti-Christian policies
-
-art collecting
-
-rivalry with Goebbels
-
-and Hitler’s refusal to surrender
-
-leaves Berlin
-
-house arrest
-
-imprisonment and suicide
-
-G̈ring, Matthias
-
-Gort, John, Lord
-
-Gotha
-
-Gothic lettering
-
-G̈ttingen
-
-Gottschalk, Joachim
-
-GPU (anti-Bolshevik film)
-
-Graf, Willi
-
-Grafeneck
-
-Grandi, Dino
-
-graphite
-
-Grawitz, Ernst-Robert
-
-Graz
-
-Great German Art Exhibition
-
-‘Great German Reich’ (Grossdeutsches Reich)
-
-Great Love, The (film)
-
-Greece
-
-exchange of minority populations with Turkey
-
-Italian invasion
-
-internees in North African labour camps
-
-German invasion and occupation
-
-Bulgarian annexation of territory
-
-deportation of Jews from
-
-administration during occupation
-
-resistance
-
-Ancestral Heritage expeditions
-
-withdrawal of German forces
-
-Greifswald
-
-Greiser, Arthur
-
-Gr̈ber, Conrad
-
-Grojanowski, Jakow
-
-Groscotta
-
-Groscurth, Helmuth
-
-Gross-Rosen concentration camp
-
-Grozny
-
-Grynszpan, Herschel
-
-Guderian, Heinz
-
-Guernica
-
-Guertler, William
-
-Gulags
-
-Gumbinnen
-
-G̈nsche, Otto
-
-G̈rtner, Franz
-
-Gustav, King of Sweden
-
-Gutzeit, Kurt
-
-Gypsies
-
-Nazi policy towards
-
-deportation of
-
-‘mixed-race’ Gypsies
-
-massacres of
-
-in Croatia
-
-in Serbia
-
-in Austria
-
-in Auschwitz
-
-in’d’ ghetto
-
-barred from public air-raid shelters
-
-racial assessment programme
-
-extermination of
-
-black triangle badge
-
-medical experimentation on
-
-
-
-
-
-Haakon, King of Norway
-
-Haberstock, Karl
-
-H’cha, Emil
-
-Hadamar
-
-Haeften, Hans-Bernd von
-
-Haeften, Werner von
-
-Ḧfner, August
-
-Hague, The
-
-Hague Convention (1907)
-
-Hahn, Otto
-
-Halder, Franz
-
-Chief of Army General Staff
-
-and mass executions in Poland
-
-opposition to Hitler
-
-and Manstein
-
-and planned invasion of Britain
-
-and invasion of Soviet Union
-
-and treatment of Russian prisoners of war
-
-concern at progress of war in Soviet Union
-
-and concerns over arms production
-
-dismissed
-
-supports crusade against Soviet Union
-
-imprisonment
-
-Halifax, Edward, Lord
-
-Halle
-
-Hamburg
-
-embarkation centres
-
-deportation of Jews from
-
-foreign workers
-
-shipyards
-
-hotels and restaurants
-
-bombing of
-
-provision of air-raid shelters
-
-dance-halls
-
-resistance groups
-
-Hamburg State Archive
-
-Hamilton, Duke of
-
-Hamm
-
-Hammerstein-Equord, Kurt von
-
-handicapped
-
-emptying of asylums
-
-plans to eliminate ‘degenerates’
-
-sterilization programmes
-
-‘euthanasia action’ programme
-
-killing centres
-
-murdered in occupied east
-
-Hanke, Karl
-
-Hannur
-
-Hanover
-
-Hanssen, Kurt-Walter
-
-Harlan, Veit
-
-Harnack, Arvid
-
-Harnack, Falk
-
-Harnack-Fish, Mildred
-
-Harrer, Heinrich
-
-Harris, Arthur ‘Bomber’
-
-Hartheim
-
-Harvest Festival, Operation
-
-Hasinger, Fritz
-
-Hassell, Ulrich von
-
-Haushofer, Albrecht
-
-Haushofer, Karl
-
-Hausknecht, Rudolf
-
-Hawaii
-
-Hay, Operation
-
-heavy water
-
-Hebrew
-
-Hedin, Sven
-
-Heidelberg University
-
-Heim, Heinrich
-
-Heinkel (bombers)
-
-Heinrici, Gotthard
-
-deep-seated prejudices
-
-and Operation Barbarossa
-
-on occupation of Soviet Union
-
-on winter war
-
-sceptical about Hitler as commander
-
-reputation as defensive tactician
-
-background and career
-
-commitment to continuing to fight
-
-allegiance to Hitler
-
-and Speer’s plans to preserve infrastructure
-
-resignation
-
-postwar life
-
-Heisenberg, Werner
-
-Heissmeyer, Kurt
-
-Helldorf, Wolf Heinrich Count von
-
-Helmbrechts sub-camp
-
-Helmstedt
-
-Helsinki
-
-Henlein, Konrad
-
-Henriot, Philippe
-
-hepatitis
-
-Hereditary Health Matters, Reich Committee for
-
-hereditary theory of disease
-
-Hermann G̈ring Reich Works
-
-Hess, Rudolf
-
-Hesse
-
-heterochromia
-
-Heyde, Werner
-
-Heydrich, Reinhard
-
-creation of Reich Security Head Office
-
-and German army’s atrocities in Poland
-
-and Germanization programmes in Poland
-
-encourages Kr̈ger
-
-and deportation of Jews
-
-establishment of ghettos
-
-policies against Gypsies
-
-and ‘euthanasia action’ programme
-
-and plan to kidnap Duke and Duchess of Windsor
-
-and Herbert Backe
-
-Commissar Order
-
-and Task Forces
-
-plans for ‘total solution of the Jewish question’
-
-approves use of gas chambers
-
-at Wannsee Conference (1942)
-
-implementation of ‘final solution’
-
-racial policies in Protectorate
-
-character
-
-and segregation of forced labourers
-
-visits Paris (May 1942)
-
-and extermination of Gypsies
-
-assassinated
-
-Hildesheim
-
-Hilfrich, Antonius, Bishop of Limburg
-
-Himalayas
-
-Himmler, Heinrich
-
-clashes with Hans Frank
-
-creation of Reich Security Head Office
-
-appointed Reich Commissioner for the Strengthening of the German Race
-
-population transfer programmes
-
-policy on Jews in Poland
-
-and anti-Jewish legislation in Germany
-
-and the ‘Gypsy problem’
-
-observes gassing of mental patients
-
-and ‘euthanasia action’ programme
-
-interrogation of Georg Elser
-
-on aim of war against Soviet Union
-
-General Plan for the East
-
-visits Task Forces in occupied east
-
-granted complete control over ‘security measures’ in east
-
-orders mass execution of Jews in east
-
-and mass deportation of Jews from Reich
-
-creation of genocidal mentality
-
-development of genocidal policy
-
-acceleration of killing programme
-
-and Heydrich
-
-implementation of ‘final solution’
-
-establishment of Auschwitz
-
-orders ‘liquidation’ of ghettos
-
-and Speer
-
-and the SS economic empire
-
-and labour mobilization schemes
-
-restructuring of concentration camps’ administration
-
-and French occupation administration
-
-deportation of Jews from Western Europe
-
-Ancestral Heritage organization
-
-establishment of Military SS
-
-Reich Interior Minister
-
-and judiciary
-
-and corruption in concentration camps
-
-extermination of Gypsies
-
-policy on homosexuals
-
-and population growth
-
-and Arno Breker
-
-and closure of universities
-
-and medical experimentation
-
-and Warsaw uprising (1944)
-
-and July 1944 plotters
-
-and ‘wonder-weapons’
-
-and ‘People’s Storm’
-
-murderous mentality of final weeks
-
-and Count Bernadotte
-
-last days in the bunker
-
-leaves Berlin
-
-secret negotiations with Swedish Red Cross
-
-suicide
-
-Hindenburg, Paul von
-
-Hippler, Fritz
-
-Hirt, August
-
-historians
-
-History of National Socialism, Research Centre for the
-
-Hitler, Adolf
-
-German-Soviet Non-Aggression Pact (1939)
-
-invasion of Poland
-
-‘peace offer’ to Britain
-
-plans for occupied Poland
-
-admiration for Stalin
-
-amnesty for German army’s actions in Poland
-
-preference for subordinates to fight each other
-
-strips Hans Frank of Party offices
-
-visits Jewish quarter of Kielce
-
-plans for removal of Jews from the Reich
-
-plans for elimination of ‘degenerates’
-
-and ‘euthanasia action’ programme
-
-annual address to Party Regional Leaders
-
-assassination attempt (November 1939)
-
-Munich beer-hall putsch (1923)
-
-determined to attack Britain and France
-
-Army chiefs’ conspiracy against
-
-invasion of Norway
-
-halts German advance through France
-
-Hitler, Adolf - cont.
-
-and signing of French Armistice
-
-conquest of France high-point of his popularity
-
-sight-seeing trip to Paris
-
-ambivalence towards British
-
-plans for invasion of Britain
-
-and Battle of Britain
-
-negotiations with Franco
-
-relations with Mussolini
-
-meeting with Haj Amin al-Husseini
-
-invasion of Yugoslavia and Greece
-
-supports Antonescu in Romania
-
-plans for conquest of Russia
-
-and Hess’s mission to Britain
-
-his monologues
-
-and treatment of Russian prisoners of war
-
-establishes ‘Wolf’s Lair’
-
-plans for occupied Soviet territory
-
-orders diversion of forces to south of Soviet Union
-
-and march on Moscow
-
-winter clothes for troops appeal
-
-takes command of military operations
-
-grants Himmler control of ‘security measures’ in occupied east
-
-mass murder of East European Jews reflection of his beliefs
-
-‘prophecy’ on annihilation of Jews
-
-declares war on USA
-
-increasing rhetorical attacks on Jews
-
-sanctions mass deportations of Jews from Reich
-
-creation of genocidal mentality
-
-justification of genocidal policy
-
-appoints Heydrich Reich Protector
-
-anger at Heydrich’s assassination
-
-and food shortages
-
-report on Reinhard Action
-
-and restructuring of armaments production
-
-appointment of Speer to replace Todt
-
-and the ‘New Order’
-
-and labour mobilization
-
-and women in workforce
-
-and deportation of Jews from Western Europe
-
-anger at Nazi allies refusal to deport remainder of Jews
-
-and summer offensive in east (1942)
-
-open contempt for army leadership
-
-and Battle of Stalingrad (1942-43)
-
-and ‘total war’ initiative
-
-launches ‘terror raids’ on Britain
-
-growing popular disillusionment with
-
-talks with King of Bulgaria (1943)
-
-rescue of Mussolini
-
-assents to German retreat from Caucaus
-
-and Battle of Kursk (1943)
-
-distrust of army
-
-donations to senior army officers
-
-and Nazi political education of soldiers
-
-guidelines for courts-martial
-
-increasing withdrawal from public view
-
-physical deterioration
-
-fragmentation of government
-
-interventions with judiciary
-
-views on homosexuality
-
-concern at falling birth rate
-
-anti-Christian policies
-
-passion for music
-
-art collecting
-
-and medical experimentation
-
-and deportation of Hungarian Jews
-
-assassination attempts (1943)
-
-July 1944 assassination plot
-
-kidnap of Admiral H’rthy’s son
-
-Battle of the Bulge (1944 - 5)
-
-‘wonder-weapons’
-
-‘People’s Storm’
-
-last speech (30 January 1945)
-
-final proclamations to armed forces
-
-murderous mentality of final weeks
-
-refuses to surrender
-
-‘Nero order’ (March
-
-last days in the bunker
-
-marriage
-
-suicide
-
-disposal of body
-
-‘Political Testament’
-
-announcement of his death
-
-My Struggle
-
-Table Talk
-
-Hitler Youth
-
-in occupied Poland
-
-Schirach as head
-
-evacuation scheme
-
-and ideological education of German soldiers
-
-and ‘Swing Youth’
-
-influence on schools
-
-labour schemes
-
-and liquidation of concentration camps
-
-in last weeks of war
-
-see also League of German Girls
-
-Hlinka, Andrej
-
-Hlinka Guard
-
-Hochtief (construction company)
-
-Hoepner, Erich
-
-Hof
-
-Hofer, Walter Andreas
-
-Hoffmann, Heinrich
-
-Hoffmann, Kurt-Rudolf
-
-Ḧfle, Hermann
-
-Hohensalza
-
-Hohlenlynchen
-
-Holland
-
-German invasion
-
-government in exile
-
-deportation of Jews from
-
-empire
-
-sequestration of equipment and materials
-
-exports to Germany
-
-and the ‘New Order’
-
-aircraft production
-
-Dutch civilian workers in Germany
-
-political prisoners in concentration camps
-
-administration during occupation
-
-Jewish population
-
-antisemitism
-
-Churches
-
-labour camps
-
-persecution of Dutch Jews
-
-Military SS recruitment
-
-confiscation of artworks
-
-Allied forces advance into
-
-surrender of German forces
-
-homosexuals, homosexuality
-
-Hood (cruiser)
-
-Horowitz, Vladimir
-
-horses
-
-H’rthy, Mikl’s
-
-H’rthy, Mikl’s (son)
-
-Hosenfeld, Wilm
-
-on life in Warsaw ghetto
-
-on German conquest of France
-
-Hosenfeld, Wilm - cont.
-
-on treatment of Russian prisoners of war
-
-on operation of concentration camps
-
-on extermination of Jews
-
-hatred for Nazism
-
-rescue of Jews
-
-and Warsaw uprising (1944)
-
-imprisonment and death
-
-Ḧss, Rudolf
-
-on Task Force shootings
-
-commandant of Auschwitz
-
-transferred to concentration camp inspectorate
-
-treatment of homosexuals
-
-ordered to destroy Auschwitz
-
-contemplates suicide
-
-trial and execution
-
-Hoth, Hermann
-
-housing shortages
-
-Hradˇany Castle
-
-Huber, Kurt
-
-Hudal, Bishop Alois
-
-Hungary
-
-Polish Jews flee to
-
-Romanian territory ceded to
-
-and German invasion of Yugoslavia and Greece
-
-and German invasion of Soviet Union
-
-oil supplies
-
-declares war on USA
-
-and planned extermination of Jews
-
-deportation of Jews from
-
-Hungarian civilian workers in Germany
-
-German influence in
-
-refusal to deport remainder of Jews
-
-German troops invade
-
-Red Army approaches
-
-Arrow Cross
-
-leaves alliance with Germany
-
-Red Army occupation
-
-‘hunger plan’
-
-Huntington’s disease
-
-Huntsville, Alabama
-
-Hurricane (fighter-plane)
-
-Husseini, Haj Amin al-
-
-Huta (engineering company)
-
-
-
-
-
-I Accuse (film)
-
-Iasi
-
-If This Is a Man (Levi)
-
-I. G. Farben
-
-India
-
-Inner Mission
-
-Inochentists
-
-intelligentsia
-
-in Poland
-
-in Soviet Union
-
-Interior, Reich Ministry of the
-
-Iraq
-
-Ireland
-
-iron
-
-Iron Guard, Romanian
-
-Isopescu, Modest
-
-Israel
-
-Italy
-
-emigration from Poland to
-
-annexation of Ethiopia
-
-enters war
-
-invasion of Greece
-
-North African debacle
-
-and German invasion of Yugoslavia and Greece
-
-reaction to Croatian genocide
-
-and German invasion of Soviet Union
-
-declares war on USA
-
-deportation of Jews from
-
-oil consumption
-
-Italian civilian workers in Germany
-
-German influence in
-
-Allied invasion
-
-defection to Allied side
-
-puppet regime at Salò
-
-treatment of Jews during German occupation
-
-introduction of malaria to Pontine marshes
-
-execution of Mussolini
-
-surrender of German forces
-
-
-
-
-
-Jacobs, Artur
-
-J̈ger, August
-
-Jannings, Emil
-
-Jantausch, Pavel
-
-Japan
-
-Jasenovac concentration camp
-
-jaundice
-
-Jeckeln, Friedrich
-
-Jehovah’s Witnesses
-
-Jelesi’, Milorad
-
-Jena
-
-Jerusalem
-
-Jeschonnek, Hans
-
-Jesuits
-
-jet aircraft
-
-Jew S̈ss (film)
-
-Jewish Councils
-
-in ghettos
-
-in Amsterdam
-
-in Hungary
-
-Jewish Culture League
-
-Jewish World Congress
-
-‘Jewish world conspiracy’
-
-Jews
-
-atrocities against in Poland
-
-and Germanization programmes in Poland
-
-emigration
-
-yellow star badges
-
-in Soviet-occupied Polish territory
-
-destruction of synagogues
-
-pogrom of November 1938 (’Night of Broken Glass’)
-
-regarded as race apart in Germany
-
-as distinctive national minority in Poland
-
-‘Eastern Jews’
-
-antisemitic feature films
-
-foundation of ghettos in Poland
-
-deportation of groups of Jews into General Government
-
-plans for removal of Jews from the Reich
-
-forced labour schemes
-
-confiscation of property
-
-German Jews moved into ‘residence camps’
-
-‘mixed-race’ Jews
-
-in psychiatric institutions
-
-‘mixed marriages’
-
-in North Africa
-
-massacred by Romanian Iron Guard
-
-in Croatia
-
-in Bulgaria
-
-atrocities against in Soviet Union
-
-mass executions in occupied east
-
-genocide of Romanian Jews
-
-atrocities against in Yugoslavia
-
-Hitler prophesizes annihilation
-
-mass deportation of Jews from Reich
-
-growing restrictions on German Jews
-
-ghettos in occupied east
-
-Jews - cont.
-
-development of genocidal policy against
-
-first extermination camps
-
-in Serbia
-
-development of ‘final solution of Jewish question’
-
-‘Reinhard Action’ extermination camps
-
-in Majdanek
-
-in Auschwitz
-
-in Hungary
-
-in Theresienstadt
-
-transitional confinement in ghettos
-
-Nazi ideology blames Jews for all ills
-
-total numbers killed by Nazis
-
-Aryanization of Jewish businesses and property
-
-treatment of Jews in France
-
-deportation of Jews from Western Europe
-
-persecution of Dutch Jews
-
-treatment of Jewish populations in Nazi’s allies
-
-partisan groups
-
-barred from public air-raid shelters
-
-treatment of Jews in Italy
-
-public knowledge of genocide
-
-rescue attempts
-
-studies of alleged Jewish racial characteristics
-
-medical experimentation on
-
-massacred by Hungarian Arrow Cross
-
-‘death marches’
-
-expressions of sympathy for
-
-memorials to Nazism’s victims
-
-restitution of confiscated property
-
-see also antisemitism; ghettos; Judaism
-
-Jews’ Houses
-
-Jews, Reich Association of
-
-Jochum, Eugen
-
-Jodl, Alfred
-
-Johst, Hanns
-
-jokes
-
-Jong, Jan de, Bishop of Utrecht
-
-Jordan, Olaf
-
-Joyce, William (’Lord Haw-Haw’)
-
-Judaism
-
-judiciary see also courts; Justice, Reich Ministry of
-
-July 1944 bomb plot
-
-Junghans, Franz
-
-Junkers (bombers)
-
-Junkers factory
-
-Justice, Reich Ministry of
-
-
-
-
-
-Kabasta, Osvald
-
-Kaiser Wilhelm Society institutes
-
-Kalla’y, Miklo’s
-
-Kalmenhof psychiatric reformatory
-
-Kaltenbrunner, Ernst
-
-Kamenetsk-Podolsk
-
-Kammhuber, Josef
-
-Kammler, Hans
-
-Kaplan, Chaim
-
-Kapp putsch (1920)
-
-Kappler, Herbert
-
-Karajan, Herbert von
-
-Karelia
-
-Karlshof
-
-Karski, Jan
-
-Kassel
-
-Kattowitz
-
-Katyn’ Forest massacre
-
-Katyusha rocket launcher
-
-Kaufbeuren-Irsee asylum
-
-Kaufman, Theodore N.
-
-Kaufmann, Karl
-
-Kazakhstan
-
-Kehrl, Hans
-
-Keitel, Wilhelm
-
-Kelsterbach
-
-Kempf, Werner
-
-Kerrl, Hans
-
-Kesselring, Albert
-
-Kharkov
-
-Khrushchev, Nikita
-
-Kiel
-
-Kielce
-
-Kiev
-
-Kirchner, Hadwig
-
-Kirkpatrick, Ivone
-
-Kishinev
-
-Kitchener, Herbert
-
-Klagenfurt
-
-Klammer
-
-Kleist, Ewald von
-
-Klemperer, Eva
-
-Klemperer, Victor
-
-diaries
-
-life in ‘Jews’ House’
-
-imprisoned for failure to observe blackout regulations
-
-on extermination of Jews
-
-treatment by ordinary Germans
-
-and bombing of Dresden
-
-postwar life
-
-LTI (Lingua Tertii Imperii)
-
-Klepper, Hanni
-
-Klepper, Jochen
-
-Klepper, Renate
-
-Klooga
-
-Kluge, Günther von
-
-Klukowski, Taduesz
-
-Klukowski, Zygmunt
-
-hospital superintendent
-
-on German invasion of Poland
-
-on mass executions
-
-and Germanization programmes
-
-on disintegration of Polish society
-
-on German army’s treatment of Jews
-
-on living conditions in Warsaw ghetto
-
-on preparations for Operation Barbarossa
-
-on Soviet prisoners of war
-
-and transportation of Jews to extermination camps
-
-and Polish resistance
-
-postwar life
-
-Knappertsbusch, Hans
-
-Knochen, Helmut
-
-Knorr and Hirth (publishers)
-
-Koch, Erich
-
-Koch, Karl Otto
-
-Koch, Traute
-
-Koegel, Max
-
-Köhler, Annemarie
-
-Kolberg
-
-Konev, Ivan
-
-Königsberg
-
-Konitz (Chojnice)
-
-Koppenberg, Heinrich
-
-Koretz, Rabbi Zwi
-
-Korherr, Richard
-
-Kos
-
-Kosovo
-
-Kosten (Kos’cian)
-
-Kosygin, Andrej
-
-Kovner, Abba
-
-Kovno (Kaunas)
-
-Kraljevo
-
-Kramer, Josef
-
-Krauch, Carl
-
-Krebs, Hans
-
-Krefeld
-
-Kreisau Circle
-
-Kreyssig, Lothar
-
-Krone
-
-Krüger Friedrich Wilhelm
-
-Krüger, Hans
-
-Krupp (arms company)
-
-Kube, Wilhelm
-
-Kubisˇ, Jan
-
-Küchler, Georg von
-
-Kuhn, Richard
-
-Kulm
-
-Kun, Father (Hungarian priest)
-
-Kunz, Helmut
-
-Kursk
-
-Battle of (1943)
-
-Küstrin
-
-Kutno
-
-Battle of (1939)
-
-Jewish ghetto
-
-Kutuzov, Mikhail
-
-
-
-
-
-labour
-
-slave labour
-
-shortages
-
-deployment of foreign workers
-
-women in workforce
-
-use of concentration camp prisoners
-
-‘total war’ labour saving measures
-
-foreign workers abscond abour camps
-
-Nazi
-
-Vichy French
-
-Soviet
-
-Dutch
-
-Labour Front
-
-Labour Ministry, Reich
-
-Labour Party (British)
-
-Labour Service, Reich
-
-Lackmann, Father Heinrich
-
-Ladoga, Lake
-
-Lammers, Hans-Heinrich
-
-dressing down of Hans Frank
-
-and ‘euthanasia action’ programme
-
-and Hitler’s plans for occupied Soviet Union
-
-in ‘Committee of Three’
-
-rejects Churches’ complaints about racial policies
-
-and decline in educational standards
-
-Landau, Felix
-
-Lang, Fritz
-
-Lange, Herbert anguage
-
-of the Third Reich
-
-German
-
-knowledge of foreign languages
-
-Latin
-
-Latvia
-
-Lauenburg
-
-Lauer, Anton
-
-Lauraḧtte
-
-Laval, Pierre
-
-awyers
-
-ead
-
-Leader Gives the Jews a Camp, The (film)
-
-Leader’s Chancellery
-
-‘League: Community for Socialist Living’
-
-League of German Girls
-
-League of Nations
-
-Leander, Zarah
-
-Lebensraum (’living-space’)
-
-Leber, Julius
-
-Leeb, Wilhelm Ritter von
-
-Legion of the Archangel Michael
-
-Leh’r, Franz
-
-Leipzig
-
-Lemberg (Lvov)
-
-Lemgo
-
-Lenard, Philipp
-
-‘lend-lease’
-
-Leningrad (St Petersburg)
-
-Leopold, King of the Belgians
-
-Leuschner, Wilhelm
-
-Levi, Primo
-
-Ley, Inge
-
-Ley, Robert
-
-Lezacky
-
-ibraries
-
-Libya
-
-Lidice
-
-Liebehenschel, Arthur
-
-Liebermann, Max
-
-Liepus, Rudolf
-
-‘lightning war’ (Blitzkrieg)
-
-‘Lili Marleen’ (song)
-
-Lille
-
-Linden, Herbert
-
-Linge, Heinz
-
-Linz
-
-List, Wilhelm
-
-iterature
-
-Literature, Reich Chamber of
-
-Lithuania
-
-Litvinov, Maxim
-
-‘living-space’ (Lebensraum)
-
-Lloyd George, David
-
-Loborgrad concentration camp
-
-Lo’dz’ (Litzmannstadt)
-
-bombardment of
-
-refugees flee
-
-police immigration centre
-
-Jewish population
-
-ghetto
-
-transportation of Jews and Gypsies to
-
-Logenähs
-
-Lohse, Hinrich
-
-London
-
-bombing raids on
-
-Hess imprisoned in Tower of London
-
-public protest at Jewish genocide
-
-flying bomb and rocket attacks on
-
-St Paul’s Cathedral
-
-Lorraine
-
-Louvain
-
-Lower Silesia
-
-LTI (Lingua Tertii Imperii; language of the Third Reich)
-
-Lübeck
-
-Lublin
-
-in General Government
-
-Poles expelled from
-
-Jewish community
-
-plans to create Jewish reservation
-
-Jewish deportations to
-
-T-4 unit specialists visit
-
-extermination of Jews
-
-Klukowski moves to
-
-Luck
-
-Ludendorff, General Erich
-
-Lüdenscheid
-
-Ludwigsburg
-
-Ludwigshafen
-
-Luminal (sedative)
-
-Lüneburg
-
-Luther, Martin (diplomat)
-
-Luther, Martin (leader of Reformation)
-
-Lutherans
-
-Lützow (battleship)
-
-Luxembourg
-
-Lvov (Lemberg)
-
-Lynn, Vera
-
-Lyon
-
-
-
-
-
-Macedonia
-
-Maˇek, Vladko
-
-Mach, Alexander
-
-Madagascar
-
-Magdeburg
-
-Maggiore, Lake
-
-Maginot Line
-
-Magnitogorsk
-
-Mahler, Gustav
-
-Maillol, Aristide
-
-Majdanek
-
-labour camp
-
-concentration camp
-
-malaria
-
-Malaya
-
-Malkinia
-
-Malme’dy
-
-Malta
-
-Manchuria
-
-manganese
-
-Manhattan Project
-
-Mann, Thomas
-
-Mannerheim, Marshal Carl
-
-Mannerheim Line
-
-Manstein, Erich von
-
-and invasion of France
-
-‘sickle-cut’
-
-and invasion of Soviet Union
-
-Crimean campaign
-
-and Battle of Stalingrad (1942-43)
-
-retreat from Caucasus
-
-Battle of Kursk (1943)
-
-sacked
-
-imprisonment and death
-
-Manston
-
-Maquis see France, resistance
-
-Marat, Jean-Paul
-
-Marburg
-
-Marienthal Institution
-
-marriage
-
-mixed
-
-wartime married life
-
-Martini, Erich
-
-Marxism
-
-Marzabotto
-
-Maschmann, Melita
-
-‘master race’
-
-Mastersingers of Nuremberg, The (Wagner)
-
-Maurras, Charles
-
-Mauthausen concentration camp
-
-Max Planck Society
-
-May, Karl
-
-Maykop
-
-Mecklenburg
-
-medicine, medical experimentation see also doctors
-
-Mediterranean Sea
-
-Meier-Welcker, Hans
-
-Memel
-
-Mengele, Josef
-
-Mennecke, Friedrich
-
-mentally handicapped
-
-emptying of asylums
-
-plans to eliminate ‘degenerates’
-
-sterilization programmes
-
-‘euthanasia action’ programme
-
-killing centres
-
-murdered in occupied east
-
-in concentration camps
-
-Merano
-
-Merry Widow, The (L’har)
-
-Mers-el-K’bir
-
-Mertz von Quirnheim, Albrecht
-
-Messerschmitt (fighter-planes)
-
-methanol
-
-Meuse, river
-
-Mewe (Gniew)
-
-Meyer, Konrad
-
-Mezger, Edmund
-
-Michel, Hans
-
-microcephaly
-
-Middle East
-
-midwives
-
-Mierendorff, Carlo
-
-Mihailovi’, Dragoljub
-
-Milan
-
-Milch, Erhard
-
-Milice fran¸aise
-
-Military Medical Academy
-
-Military SS (Waffen-SS)
-
-Minden
-
-mineral water
-
-Minsk
-
-missiles
-
-Mitchell, Margaret
-
-Mittersill castle
-
-‘mixed marriages’
-
-‘mixed-race’
-
-Jews
-
-Gypsies
-
-Mlawa
-
-Mniszek
-
-Model, Walter
-
-Battle of Kursk (1943)
-
-and retreat from Soviet Union
-
-Commander-in-Chief in the west
-
-murderous action in final weeks
-
-and Speer’s plans to preserve infrastructure
-
-suicide
-
-Mogilev
-
-M̈hne, river
-
-Molière
-
-M̈llhausen, Eitel
-
-Molotov, Vyacheslav
-
-‘Molotov cocktails’
-
-Molter, Alfred
-
-Molter, Inge
-
-Moltke, Helmuth von
-
-Monowitz
-
-Montenegro
-
-Montgomery, Bernard
-
-morale
-
-optimism for short war
-
-euphoria at conquest of France
-
-SS Security Service reports on
-
-following defeat at Stalingrad
-
-in Britain
-
-and bombing of German cities
-
-and defection of Italy
-
-morale-boosting meetings and lectures
-
-deterioration in last months of war
-
-Moravia see Bohemia and Moravia (Reich Protectorate)
-
-More, Sir Thomas
-
-Morell, Theo
-
-Morgen, Konrad
-
-Morocco
-
-morphine
-
-Moscow
-
-German forces push towards
-
-Hitler plans to raze
-
-Battle of (1941-42)
-
-German prisoners paraded
-
-Moscow-Volga canal
-
-Moskvin, Nikolai
-
-Mosley, Sir Oswald
-
-motorways
-
-M̈hlmann, Kajetan
-
-Mulde, river
-
-Mülheim
-
-Müller, Heinrich
-
-multiple sclerosis
-
-Münch, Hans
-
-Müngersdorf
-
-Munich
-
-awareness of euthanasia programme
-
-assassination attempt on Hitler (November 1939)
-
-beer-hall putsch (1923)
-
-Munich - cont.
-
-Hitler’s annual address to Party Regional Leaders
-
-Antonescu visits
-
-deportation of Jews from
-
-foreign workers’ camps
-
-bombing of
-
-revolutions (1919)
-
-Allied forces advance on
-
-Munich Agreement (1938)
-
-Munich Philharmonic Orchestra
-
-Munich University
-
-M̈nster
-
-M̈nster University
-
-museums
-
-music
-
-banning of Polish composers
-
-chamber music recitals
-
-opera
-
-composed in concentration camps
-
-in ghettos
-
-popular music
-
-jazz and swing
-
-Bayreuth festivals
-
-orchestras
-
-popular German composers during Reich
-
-in postwar Germany
-
-Music, Reich Chamber of
-
-Mussolini, Benito
-
-ambitions for a new Roman Empire
-
-invasion of Greece
-
-North African debacle
-
-relations with Hitler
-
-and German invasion of Soviet Union
-
-and Allied invasion of Italy
-
-arrest and imprisonment
-
-rescue
-
-puppet regime at Salò
-
-draining of Pontine marshes
-
-meeting with Hitler after July 1944 bomb plot
-
-executed
-
-mustard gas
-
-Mutschmann, Martin
-
-My Life for Ireland (film)
-
-Mystici Corporis (Papal Encyclical)
-
-
-
-
-
-Naples
-
-Napoleon Bonaparte
-
-Narva, river
-
-Narvik
-
-‘National Committee “Free Germany”
-
-National Democratic Party
-
-‘national pests’ (Volksschädlinge)
-
-National Political Educational Institutions (’Napolas’)
-
-National Socialism (Nazism: National Socialist German Workers’ Party)
-
-Nazi ideology and German army
-
-Racial-Political Office
-
-pre-war anti-Jewish propaganda
-
-Party Chancellery
-
-Hitler’s annual speech to Regional
-
-Leaders
-
-reports on Task Forces’ massacres
-
-Supreme Court
-
-Nazi ideology blames Jews for all ills
-
-Head Office for Technology
-
-Party apparatus in state of collapse
-
-popular disillusionment with
-
-Party programme anniversary addresses
-
-and the growing domestic power vacuum
-
-Press Office
-
-morale-boosting meetings
-
-‘Word of the Week’
-
-total collapse of Party
-
-National Socialist Courier
-
-National Socialist German Students’ League
-
-National Socialist Lawyers’ League
-
-National Socialist People’s Welfare
-
-organization
-
-National Socialist Teachers’ League
-
-Natzweiler concentration camp
-
-Naumann, Werner
-
-navy, German
-
-building programmes
-
-in First World War
-
-invasion of Norway
-
-Swedish shipyards build warships for
-
-and planned invasion of Britain
-
-major losses
-
-and medical experimentation
-
-and Allied Normandy landings
-
-suicides of admirals
-
-Naval Intelligence School
-
-see also submarines, U-boats
-
-Nazi Party see National Socialism
-
-Nebe, Arthur
-
-Nedi’, Milan
-
-Ne’mirovsky, Irène
-
-Nemmersdorf
-
-neo-Nazi movements
-
-‘Nero order’ (March 1945)
-
-nerve gases
-
-Netherlands see Holland
-
-Neuengamme concentration camp
-
-Neufeld, Michael
-
-Neuhaus, Albert
-
-Neumann, Franz
-
-Neurath, Konstantin von
-
-Neustadt in Westpreussen (Wejherowo)
-
-‘New Order’
-
-New York
-
-newspapers, magazines
-
-newsreels
-
-nickel
-
-Nicodim, Patriarch
-
-Niemöller, Martin
-
-Nienburg
-
-‘Night of Broken Glass’ see pogrom of November 1938
-
-Ninth Army
-
-Nisko
-
-NKVD see Soviet secret police
-
-Nobel Prizes
-
-Nola
-
-Noma (disease)
-
-Nord (French department)
-
-Nordhausen
-
-N̈rdlingen
-
-Normandy landings (1944)
-
-North Africa
-
-French colonial territories
-
-Italian colonial territories
-
-Rommel’s successes in
-
-Jewish population
-
-USA enters war in
-
-Rommel’s defeat in
-
-North Sea
-
-Norway
-
-German invasion
-
-Quisling’s pro-German movement
-
-King and government in exile
-
-deportation of Jews from
-
-and the ‘New Order’
-
-rationing
-
-prisoners
-
-administration during occupation
-
-air bases
-
-Military SS recruitment
-
-heavy water factory
-
-Norwich
-
-Noske, Gustav
-
-novels
-
-nuclear bombs
-
-Nuremberg
-
-Nuremberg Laws (1935)
-
-Nuremberg Party Rally (1929)
-
-Nuremberg trials
-
-nurses
-
-nutrition
-
-
-
-
-
-Oberg, Carl-Albrecht
-
-Oberhausen
-
-Obersalzberg see Berghof
-
-Obluze
-
-‘occupation costs’
-
-Oder, river
-
-Odessa
-
-Ohlendorf, Otto
-
-Ohnesorge, Wilhelm
-
-Ohrdruf
-
-oil
-
-Middle Eastern
-
-Romanian
-
-Hungarian
-
-Soviet
-
-Caucasus
-
-shortages
-
-sequestered from occupied countries
-
-Caspian Sea
-
-Olbrich, Friedrich
-
-Oldenburg
-
-Omaha Beach
-
-opera
-
-Oppenhoff, Franz
-
-Oradour-sur-Glane
-
-Oran
-
-Oranienstein
-
-Order Castles
-
-Ordzhonikide
-
-Orff, Carl
-
-Origo, Iris
-
-Orscha
-
-Orthodox Church
-
-Ortner, Franz
-
-Oslo
-
-Oster, Hans
-
-Ostrava
-
-Oswiecim see Auschwitz
-
-Otter, Göran von
-
-
-
-
-
-Pacific war
-
-Paderborn
-
-Palatinate
-
-Palermo
-
-Palestine
-
-Palmie’, Gisbert
-
-Palmnicken
-
-Panther (tank)
-
-Papen, Franz von
-
-Paraguay
-
-Paris
-
-refugees flee
-
-Germans enter
-
-Hitler’s sight-seeing trip
-
-attacks on synagogues
-
-deportation of Jews
-
-Paris Opera
-
-Arno Breker in
-
-Louvre museum
-
-abortive coup after July 1944 bomb plot
-
-Parkinson’s disease
-
-Party Chancellery
-
-Pas-de-Calais
-
-Patton, George
-
-Pau
-
-Paul, Prince Regent of Yugoslavia
-
-Paulus, Friedrich
-
-Pavelic’, Ante
-
-Pavlov, Dmitri
-
-Peace Settlement (1919) see also Versailles, Treaty of
-
-Pearl Harbor
-
-peasantry
-
-Polish
-
-Norwegian
-
-Greek
-
-Croatian
-
-Bulgarian
-
-German
-
-Soviet
-
-Peenemünde
-
-Peer Gynt (Egk)
-
-Penzberg
-
-People’s Court
-
-‘People’s Storm’ (Volkssturm)
-
-Peron, Juan
-
-Persia
-
-Petacci, Clara
-
-P’tain, Philippe
-
-backs armistice with Germany
-
-establishment of Vichy government
-
-negotiations with Hitler over attack on Britain
-
-and deportation of Jews
-
-reduced to figurehead
-
-Peter, King of Yugoslavia
-
-Peters, Gerhard
-
-Petersen, K̈the
-
-pets, Jews banned from owning
-
-Pfannm̈ller, Hermann
-
-Pfitzner, Hans
-
-Pforzheim
-
-Philippines
-
-Philips (multinational)
-
-‘phoney war’
-
-phosgene gas
-
-phosphates
-
-physics
-
-Piaf, Edith
-
-Piaski
-
-Picasso, Pablo
-
-Picker, Henry
-
-Pillau
-
-Pintsch, Karl-Heinz
-
-Pirna
-
-Piskowitz
-
-Pius, Pope
-
-Pius, Pope
-
-plebiscites
-
-Ploesti oilfield
-
-Pl̈tzensee prison
-
-plutonium
-
-pogroms
-
-November 1938 (’Night of Broken Glass’)
-
-in Tsarist Russia
-
-in German-occupied Soviet Union
-
-in Romania
-
-Pohl, Oswald
-
-Poland
-
-formation of Polish state after First World War
-
-German invasion
-
-Soviet Union invades
-
-surrender
-
-ethnic German population
-
-Catholics and Catholicism
-
-German ‘civilizing mission’ in
-
-occupation as proving-ground for Nazi
-
-new racial order
-
-intelligentsia
-
-mass executions
-
-Task Forces in
-
-German army’s atrocities in
-
-labour conscription
-
-confiscation of property
-
-Germanization programmes
-
-suppression of Polish culture and education
-
-bribery and corruption in
-
-black markets
-
-disintegration of Polish society
-
-Poland - cont.
-
-atrocities in Soviet occupied territories
-
-Jewish ghettos
-
-government in exile
-
-Home Army
-
-murder of asylum patients
-
-Polish units in Allied forces
-
-internees in North African labour camps
-
-and German invasion of Soviet Union
-
-Hitler’s plans for ‘living space’
-
-extermination of Jews
-
-political prisoners in concentration camps
-
-Polish labourers in Germany
-
-disintegration of German rule
-
-resistance
-
-rescue of Jews
-
-looting of artworks
-
-Warsaw uprising (1944)
-
-Red Army occupation
-
-war crimes trials
-
-under Communism
-
-see also General Government
-
-police
-
-criminal
-
-Security
-
-Order
-
-in General Government
-
-Polish
-
-Reich Criminal Police Office
-
-border
-
-in Soviet Union
-
-in Romania
-
-in Yugoslavia
-
-Jewish ghetto
-
-knowledge of deportations
-
-see also Gestapo
-
-Polish Corridor
-
-Polish Home Army
-
-‘Polish muddle’ (Polenwirtschaft)
-
-Poltava
-
-Pomerania
-
-Poniatowa labour camp
-
-Pontine marshes
-
-Ponza
-
-Popitz, Johannes
-
-P̈ppel, Martin
-
-Portsmouth
-
-Portugal
-
-Posen
-
-Posse, Hans
-
-postal service
-
-Potocki family
-
-Potsdam
-
-Prachtice
-
-Prague
-
-Pravda (newspaper)
-
-Press Chamber, Reich
-
-Pretzsch
-
-Preussich-Stargard (Starograd)
-
-Preysing, Count Conrad, Bishop of Berlin
-
-Prince of Wales (battleship)
-
-Pripet marshes
-
-prisoners of war
-
-Polish
-
-Soviet
-
-British
-
-French
-
-German
-
-Ukrainian
-
-deployment as labourers
-
-Italian
-
-American
-
-Danish
-
-Norwegian
-
-prisons
-
-Probst, Christoph
-
-Prochorovka
-
-propaganda
-
-anti-Jewish
-
-antisemitic feature films
-
-of ‘euthanasia action’ programme
-
-on German plans for occupied Soviet territory
-
-anti-Polish
-
-on women’s roles
-
-and defeat on Eastern Front
-
-Goebbels’s ‘total war’ speech
-
-against Allied bombing raids
-
-Allied propaganda against Jewish genocide
-
-against Red Army atrocities
-
-purpose of wartime propaganda
-
-Goebbels gains complete control over
-
-radio broadcasts
-
-on ‘wonder-weapons’
-
-and threat of German annihilation
-
-fails in face of invasion and defeat
-
-Propaganda Ministry
-
-and invasion of Poland
-
-and assassination attempt on Hitler (November 1939)
-
-recommends replacing ‘antisemitic’ with ‘anti-Jewish’
-
-and ‘Jewish world conspiracy’
-
-and ‘total war’ initiative
-
-and Allied bombing raids
-
-and Hitler’s increasing withdrawal from public view
-
-briefing papers to Hitler
-
-Nazi Party ‘Word of the Week’
-
-newsreels
-
-takes over radio stations
-
-and Reich Chamber of Music
-
-and ‘Jewification’ of Hungary
-
-and ‘wonder-weapons’
-
-prostitutes, prostitution
-
-Protectorate, the see Bohemia and Moravia (Reich Protectorate)
-
-Protestant Church see Confessing Church; Evangelical Church; German Christians
-
-Protocols of the Elders of Zion, The
-
-Pr̈fer, Kurt
-
-Prussia see also East Prussia; West Prussia
-
-Prussian Finance Ministry
-
-psychiatric hospitals see also T-4 unit killing centres
-
-psychiatrists
-
-Psychological Research and Psychotherapy, Reich Institute for
-
-publishers
-
-Pultusk
-
-putsches
-
-Kapp (1920)
-
-Munich beer-hall (1923)
-
-
-
-
-
-Quakernack, Walter
-
-quinine
-
-Quisling, Vidkun
-
-
-
-
-
-Race and Settlement Head Office
-
-racial classification
-
-racial hygiene, hygienists
-
-Racial Observer (newspaper)
-
-Racial-Political Office
-
-radar
-
-radio
-
-interception of messages
-
-popular broadcasts
-
-‘radio crime’
-
-Radio Society, Reich
-
-Radom
-
-Radomsko
-
-Raeder, Erich
-
-railways
-
-Trans-Siberian Railway
-
-under-investment in German system
-
-Trans-Sahara Railway
-
-improved in occupied Poland
-
-Hitler’s plans for new system in east
-
-transportation of prisoners of war
-
-and relocation of Soviet industry
-
-sabotaged by Red Army
-
-transportation of Jews
-
-restrictions on Jews’ use of
-
-sequestration of equipment from occupied countries
-
-destroyed in bombing raids
-
-railway workers knowledge of deportations
-
-breakdown of railway communications
-
-transport to Bayreuth festivals
-
-destroyed by pro-Soviet partisans
-
-incompatiblity of gauges
-
-German equipment removed by Soviets
-
-Rallies, Nuremberg Party
-
-rape
-
-Rascher, Sigmund
-
-Rastenburg
-
-Rath, Ernst vom
-
-rationing
-
-in occupied countries
-
-in ghettos
-
-for German Jews
-
-in Germany
-
-for foreign workers
-
-in Britain
-
-in concentration camps
-
-Rauca, Helmut
-
-Rauff, Walter
-
-Rauter, Hanns
-
-Ravensbr̈ck concentration camp
-
-Rebatet, Lucien
-
-Reck-Malleczewen, Friedrich
-
-Reck-Malleczewen, Irmgard
-
-Red Army
-
-invasion of Poland
-
-purges
-
-war with Finland (’Winter War’ 1940)
-
-size
-
-unprepared for German invasion
-
-collapses in chaos
-
-deserters
-
-prisoners of war
-
-determination to fight
-
-reorganization
-
-counter-attacks
-
-Battle of Moscow (1941-2)
-
-Battle of Stalingrad (1942-3)
-
-forces German retreat from Caucasus
-
-Battle of Kursk (1943)
-
-German propaganda against
-
-Operation Bagration
-
-and Warsaw uprising (1944)
-
-advances into Germany
-
-total losses
-
-atrocities in occupied Germany
-
-final battle for Berlin
-
-and surrender of German forces
-
-Red Cross
-
-Red Front-Fighters’ League
-
-‘Red Orchestra’
-
-refugees
-
-Polish
-
-Jewish
-
-French
-
-Serbian
-
-Soviet
-
-German
-
-Regensburg
-
-Reich Chancellery
-
-State Secretary
-
-part ofservice
-
-and invasion of France
-
-and extermination of Jews
-
-Hitler’s bunker complex
-
-bombardment of
-
-Reich Defence Commissioners
-
-Reich Research Council
-
-Reich School of the Nazi Party, Feldafing
-
-Reich Security Head Office (Reichssicherheitshauptamt)
-
-creation of
-
-plans for removal of Jews from the Reich
-
-General Plan for the East
-
-forwards reports from Task Forces to Hitler
-
-and development of genocidal policy
-
-and deportation of Jews from Western Europe
-
-orders arrest of Germans demonstrating friendliness to Jews
-
-orders execution of looters
-
-Reich (journal)
-
-Reich, Wilhelm
-
-Reich-Ranicki, Marcel
-
-Reichenau
-
-Reichenau, Field Marshal Walter von
-
-Reichsbank
-
-Reichstag
-
-Reichwein, Adolf
-
-‘Reinhard Action’ camps see also Belzec; Sobibor; Treblinka
-
-Reinhardt, General Hans-Georg
-
-Remagen
-
-Remer, Otto Ernst
-
-Renown (battle cruiser)
-
-reparations
-
-Request Concert (film)
-
-Rescuing Children and Protecting the
-
-Health of Jewish Populations,
-
-Organization for
-
-Research Community, German (Deutsche Forschungsgemeinschaft)
-
-Research Council, Reich
-
-resistance movements
-
-in France
-
-in Czecho-Slovakia
-
-in Belgium
-
-in south-east Europe
-
-in Poland
-
-in Germany
-
-Reynaud, Paul
-
-Rheinmetall-Borsig (arms company)
-
-Rhine, river
-
-Rhineland
-
-Rhodes
-
-Rhodes, Cecil
-
-Ribbentrop, Joachim von
-
-at signing of French Armistice
-
-plan to kidnap Duke and Duchess of Windsor
-
-negotiations with Franco
-
-and German-Soviet Non-Aggression Pact (1939)
-
-and administration of Denmark
-
-and refusal of Nazi allies to deport remainder of Jews
-
-orders deportation of Italian Jews
-
-and Hitler’s refusal to surrender
-
-last days in the bunker
-
-leaves Berlin
-
-dismissed by Goebbels
-
-trial and execution
-
-Riedl, Colonel
-
-Riefenstahl, Leni
-
-Riegner, Gerhart
-
-Riesenburg (Probuty)
-
-Riga
-
-Ringelblum, Emanuel
-
-Ritter, Gerhard
-
-Ritter, Robert
-
-road-building
-
-Robert Koch Institute
-
-rockets
-
-Rodenwaldt, Ernst
-
-R̈hm, Ernst
-
-Rokossovskii, Marshal Konstantin
-
-Roman Observer (newspaper)
-
-Romania
-
-Polish government flees to
-
-ethnic German population transfer programmes
-
-Jewish emigrants returned to
-
-ceding of territories
-
-Iron Guard uprising
-
-oilfields
-
-alliance with Germany
-
-and German invasion of Soviet Union
-
-genocide of Romanian Jews
-
-declares war on USA
-
-Romanian concentration camp guards
-
-deportation of Jews from
-
-German influence in
-
-Legion of the Archangel Michael
-
-deportation of Gypsies from
-
-Hungarian Jews flee to
-
-Red Army approaches
-
-defects to Allies
-
-Rome
-
-Rommel, Field Marshal Erwin
-
-Roosevelt, Franklin.
-
-leases destroyers to Britain
-
-arms production programme
-
-signs ‘Atlantic Charter’
-
-supplies Soviet Union
-
-and ‘Jewish world conspiracy’
-
-Casablanca conference (1943)
-
-protests at deportation of Hungarian Jews
-
-death
-
-Rosenberg, Alfred
-
-Nazi Party ideologue
-
-attacks on Christianity
-
-Reich Minister for Occupied Eastern Territories
-
-and extermination of Jews
-
-confiscation of property
-
-and partisan resistance
-
-robbery of Jewish library in Rome
-
-leaves Berlin
-
-trial and execution
-
-Rosenheim
-
-Rostock
-
-Rostov-on-Don
-
-Rothschilds’ Shares in Waterloo, The (film)
-
-Rotmistrov, Pavel
-
-Rotterdam
-
-Rouen
-
-Royal Air Force
-
-and German invasion of France
-
-Battle of Britain
-
-Bomber Command
-
-‘pathfinders’
-
-‘Window’ (anti-radar device)
-
-‘dam-buster’ raids
-
-leaflet-dropping
-
-and Warsaw uprising (1944)
-
-see also bombing raids, on Germany
-
-Royal Navy
-
-and German invasion of Norway
-
-and planned German planned invasion of Britain
-
-leasing of destroyers from USA
-
-Mediterranean bases
-
-evacuation of Crete
-
-Atlantic convoys
-
-destruction of German battleships
-
-Arctic convoys
-
-see also submarines, U-boats
-
-Royal Oak (battleship)
-
-Royzicki, Stanislav
-
-Rozan
-
-rubber see also buna
-
-Rubinstein, Artur
-
-Rubinstein, Helena
-
-R̈gen
-
-Ruhr
-
-Rumkowski, Chaim
-
-Rundstedt, Gerd von
-
-invasion of Poland
-
-and German advance through France
-
-and invasion of Soviet Union
-
-replaced by Reichenau
-
-heart attack
-
-donation from Hitler
-
-and Allied Normandy landings
-
-sacked
-
-presides over court-martial following July 1944 bomb plot
-
-capture and death
-
-Rüsselsheim
-
-Russia, Tsarist
-
-Russian Revolution (1917)
-
-Rust, Bernhard
-
-Rybachi peninsula
-
-Rzhev
-
-
-
-
-
-SA (Sturmabteilung, Storm Division) see also brownshirts
-
-Saale, river
-
-Saar
-
-ˇabac
-
-Sachsenhausen concentration camp
-
-Polish academics deported to
-
-Berlin Jews taken as hostages
-
-Gross-Rosen sub-camp
-
-loans for construction
-
-prisoner labour
-
-homosexuals in
-
-Swingers sent to
-
-medical experimentation
-
-deportation of Slovakian Jews
-
-Sagan
-
-St Nazaire
-
-St Petersburg (Leningrad)
-
-Sajmiste
-
-Salat, Alfred
-
-Salerno
-
-Saliège, Jules-G’rard, Archbishop of Toulouse
-
-Salò
-
-Salonika
-
-Salzburg
-
-San, river
-
-Sardinia
-
-Sarin (poison gas)
-
-Sauckel, Fritz
-
-Sauerbruch, Ferdinand
-
-Saur, Karl-Otto
-
-Sava dike
-
-savings banks
-
-Saxony
-
-Scapa Flow
-
-Schacht, Hjalmar
-
-Scḧdle, Franz
-
-Scḧfer, Ernst
-
-Scharnhorst (battleship)
-
-Schaub, Julius
-
-Schellenberg, Walter
-
-Scheuer, Alois
-
-Schieder, Theodor
-
-Schiller, Friedrich
-
-Schindler, Oskar
-
-Schirach, Baldur von
-
-Schivelbein
-
-schizophrenia
-
-Schlabrendorff, Fabian von
-
-Schlageter (Johst)
-
-Schlegelberger, Franz
-
-Schleswig-Holstein
-
-Schleswig-Holstein (battleship)
-
-Schmidt, Paul
-
-Schmorell, Alexander
-
-Schmundt, Rudolf
-
-Schneidem̈hl
-
-Schoenberg, Arnold
-
-Scholl, Hans
-
-Scholl, Sophie
-
-Scḧnlanke
-
-schools
-
-suppressed in Poland
-
-closure of Jewish schools in Reich
-
-in concentration camps
-
-in ghettos
-
-closure of bomb-damaged urban schools
-
-anti-Christian policies
-
-decline in educational standards
-
-Nazi elite schools
-
-Reich School of the Nazi Party, Feldafing
-
-Scḧrner, Ferdinand
-
-Schreck, Josef
-
-Schr̈der, Oskar
-
-Schulenburg, Friedrich Werner von der
-
-Schulenburg, Fritz-Dietlof von der
-
-Schulte, Eduard
-
-Schultz, Johannes
-
-Schulz, Bruno
-
-Schulz, Erwin
-
-Schulze-Boysen, Harro
-
-Schulze-Boysen, Libertas
-
-Schuschnigg, Kurt von
-
-Schwarz van Berk, Hans
-
-Schwedler, Karl (’Charlie’)
-
-Schweinfurt
-
-Schwerin von Krosigk, Lutz
-
-Schwetz (Swiece)
-
-science
-
-Scientific Registering of Serious Hereditary
-
-and Congenital Illnesses, Reich
-
-Committee for
-
-‘scorched earth’ policy
-
-Soviet
-
-German
-
-Scotland
-
-Sealion, Operation
-
-Seebruck
-
-Selassie, Haile
-
-Serbs, Serbia
-
-Croatian genocide
-
-Chetnik uprising
-
-German army atrocities in
-
-extermination of Jews and Gypsies
-
-deportation of Jews to Auschwitz
-
-political prisoners in concentration camps
-
-killing of Gypsies
-
-Sereny, Gitta
-
-Sevastopol
-
-Seven Years’ War
-
-sex
-
-sexual relations among T-4 staff
-
-sexual relations between Jews and non-Jews
-
-sexual relations between Germans and foreign workers
-
-sexual offences(see also rape)
-
-sexual morality
-
-Seyss-Inquart, Arthur
-
-Shakespeare, William
-
-Shanghai
-
-Shaw, George Bernard
-
-Shell (multinational)
-
-Shirer, William.
-
-on German invasion of Poland
-
-on Nazi Jewish policy
-
-on ‘euthanasia action’ programme
-
-on assassination attempt on Hitler (November 1939)
-
-on Allied operation in Norway
-
-on German advance through Holland and Belgium
-
-on German conquest of France
-
-on German ‘peace offer’
-
-on Battle of Britain
-
-on popular culture
-
-on ‘radio crime’
-
-The Rise and Fall of the Third Reich
-
-Siberia
-
-Sicily
-
-Siegen
-
-Sierakowiak, Dawid
-
-Silberhammer (Srebrzysk)
-
-Silesia see also Lower Silesia; Upper Silesia
-
-Sima, Horia
-
-Simeon, King of Bulgaria
-
-Six, Franz
-
-Sixth Army
-
-Skorzeny, Otto
-
-slave labour
-
-Slavs
-
-Nazi racial policy towards
-
-propaganda against
-
-viewed as subhumans
-
-and Hitler’s plans for ‘living space’
-
-in concentration camps
-
-Slovakia
-
-Slovenia
-
-Smolensk
-
-Sobibor
-
-labour camp
-
-extermination camp
-
-Social Darwinism
-
-Social Democratic Party of Germany
-
-and popular support for war
-
-and minorities
-
-vote for war credits in 1914
-
-reports on foreign workers
-
-political prisoners
-
-on ‘comprehensive terror’
-
-and resistance movements
-
-postwar re-emergence
-
-social workers
-
-Socialist Reich Party
-
-Soest
-
-Sofia
-
-Soldau
-
-Solmitz, Friedrich
-
-Solmitz, Gisela
-
-Solmitz, Luise
-
-diary
-
-on German conquest of France
-
-on German invasion of Soviet Union
-
-on foreign workers in Hamburg
-
-on bombing raids
-
-on treatment of Jews
-
-turns against Hitler
-
-postwar life
-
-Somaliland
-
-Soman (nerve gas)
-
-Somme, river
-
-Sonnenburg
-
-Sonnenstein
-
-Sorge, Richard
-
-South Tyrol
-
-South-east Asia
-
-Soviet secret police (NKVD)
-
-Soviet Union
-
-German-Soviet Non-Aggression Pact (1939)
-
-invasion of Poland
-
-and resettlement of ethnic Germans
-
-atrocities in occupied Polish territory
-
-German fear of invasion from
-
-war with Finland (’Winter War’, 1940)
-
-territorial gains
-
-German plans for invasion
-
-trade agreements with Germany
-
-Hitler’s plans for ‘living space’
-
-industrialization
-
-intelligentsia
-
-Soviet Union - cont.
-
-Task Forces in
-
-bombing raids on
-
-German invasion (Operation Barbarossa)
-
-prisoners of war
-
-partisan groups
-
-Hitler’s plans for occupied territory
-
-State Defence Committee
-
-German army’s atrocities in
-
-relocation of industry
-
-expulsion of ethnic Germans
-
-murder of political prisoners
-
-transport difficulties slow German advance
-
-Battle of Moscow (1941-2)
-
-supplies from USA
-
-and ‘Jewish world conspiracy’
-
-armaments production
-
-Soviet civilian labourers in Germany
-
-political prisoners in concentration camps
-
-German summer offensive (1942)
-
-Battle of Stalingrad (1942-3)
-
-‘re-education’ of German prisoners of war
-
-looting of artworks
-
-Operation Bagration
-
-and Warsaw uprising (1944)
-
-and German resistance movements
-
-revenge attacks in occupied Germany
-
-and German surrender
-
-and Nuremberg trials
-
-postwar use of German military technological equipment and expertise
-
-see also Red Army; Russia, Tsarist; Russian Revolution (1917)
-
-Spain
-
-Civil War
-
-Spandau prison
-
-Special Operations Executive (British)
-
-Speer, Albert
-
-sight-seeing trip to Paris with Hitler
-
-General Building Inspector
-
-and G̈ring
-
-succeeds Todt
-
-rationalization of war economy
-
-and the ‘New Order’
-
-and mobilization of foreign workers
-
-on Hitler’s rages
-
-and Battle of Stalingrad (1942-3)
-
-and ‘total war’ initiative
-
-and bombing raids on Germany
-
-on Hitler’s withdrawal from public view
-
-and Wilhelm Furtẅngler
-
-and Arno Breker
-
-plans for rebuilding Berlin
-
-and scientific research
-
-and July 1944 bomb plot
-
-and ‘wonder-weapons’
-
-plans for preservation of postwar economy
-
-on Hitler’s failing health
-
-leaves Berlin
-
-replaced by Saur
-
-memoirs
-
-trial and imprisonment
-
-Sperrle, Hugo
-
-Spitfire (fighter-plane)
-
-Sprenger, Jakob
-
-Springer, Axel
-
-SS (Schutzstaffel; Protection Squad)
-
-clashes with Hans Frank
-
-and creation of Reich Security Head Office
-
-and Germanization programmes in Poland
-
-and deportation of Jews
-
-attacks in Polish ghettos
-
-mass murder of mental patients
-
-doctors
-
-construction of gas chambers
-
-backing of Iron Guard revolt in Romania
-
-and General Plan for the East
-
-antisemitism
-
-cavalry brigades in occupied east
-
-in Romania
-
-and labour camps
-
-and Reinhard Action camps
-
-guards at Auschwitz
-
-economic empire
-
-and prisoner labour
-
-in Holland
-
-rescue of Mussolini
-
-atrocities in Italy
-
-Ancestral Heritage organization
-
-(Ahnenerbe)
-
-treatment of prisoners
-
-corruption in concentration camps
-
-and extermination of Jews
-
-and Warsaw uprising (1944)
-
-murder of prisoners
-
-and liquidation of concentration camps
-
-trials of officers and guards
-
-see also Heydrich; Himmler; Military SS; Task Forces
-
-SS Central Office for Jewish Emigration
-
-(Zentralstelle f̈r j̈dische
-
-Auswanderung)
-
-SS Economic and Administrative Head Office
-
-SS Racial and Settlement Head Office
-
-SS Security Service (Sicherheitsdienst)
-
-and creation of Reich Security Head Office
-
-atrocities in Poland
-
-and ‘euthanasia action’ programme
-
-and assassination attempt on Hitler (November 1939)
-
-and German conquest of France
-
-in Lithuania
-
-in Yugoslavia
-
-and extermination of Jews
-
-and foreign labour force
-
-in France
-
-reports on home front morale
-
-report on ration cuts
-
-report on bartering
-
-and evacuees
-
-on popular hatred for Italians after defection
-
-report on Military SS
-
-and population reaction to persecution of Jews
-
-reports on popular culture
-
-report on educational standards
-
-foreign intelligence department
-
-see also Task Forces
-
-Stabenow, Gerhard
-
-Stahlecker, Walther
-
-Stalin, Josef
-
-Soviet invasion of Poland
-
-purges
-
-war with Finland
-
-antisemitism
-
-trade concessions to Germany
-
-and German plans for Operation Barbarossa
-
-industrialization programme
-
-Hitler’s admiration for
-
-despair at German invasion
-
-equates surrender with treason
-
-Stalin, Josef - cont.
-
-address to people as patriotic leader
-
-ethnic cleansing operations
-
-and Battle of Moscow (1941-2)
-
-deportation of Volga Germans
-
-and ‘Jewish world conspiracy’
-
-injunction to form partisan groups
-
-orders counter-offensives
-
-and Battle of Stalingrad (1942-43)
-
-and Allied bombardment of Germany
-
-and Battle of Kursk (1943)
-
-Operation Bagration
-
-and Warsaw uprising (1944)
-
-and German resistance movements
-
-death
-
-Stalingrad
-
-Battle of (1942-43)
-
-Stangl, Franz
-
-Stanislaw’w
-
-Stara Gradiska concentration camp
-
-Stark, Johannes
-
-State Defence Committee (Soviet)
-
-Stauffenberg, Claus von
-
-steel
-
-armaments production
-
-shortages
-
-Stein, Baron Karl vom
-
-Steinhilfer, Ulrich
-
-Stepinac, Archbishop Alojzije
-
-sterilization
-
-of handicapped
-
-Kaufman’s demands for
-
-Heydrich’s programme in Protectorate
-
-of Gypsies
-
-experimentation for mass sterilization
-
-Stettin
-
-Stohr, Albert, Bishop of Mainz
-
-Stormer (Der Sẗrmer, newspaper)
-
-Stralsund
-
-Strauss, Alice
-
-Strauss, Johann
-
-Strauss, Richard
-
-Streckenbach, Bruno
-
-Streicher, Julius
-
-‘Strength Through Joy’
-
-strikes
-
-Stroop, J̈rgen
-
-Students’ League, National Socialist German
-
-Stuka (dive-bombers)
-
-Stülpnagel, Karl-Heinrich von
-
-Sẗlpnagel, Otto von
-
-Stumpfegger, Ludwig
-
-Stuttgart
-
-Stutthof concentration camp
-
-submarines, U-boats
-
-Scandinavian bases
-
-American
-
-Atlantic coast bases
-
-U-boat production
-
-British
-
-U-boat attacks on British supply lines
-
-limitations of U-boats
-
-Soviet
-
-Sudetenland
-
-Suez Canal
-
-Sugihara, Chiune
-
-suicide
-
-of Jews
-
-of Germans in bombed cities
-
-invention of cyanide capsules for
-
-of July 1944 plotters
-
-of Nazis
-
-of German generals and admirals
-
-of Germans following collapse of Third Reich
-
-in Red Army occupied areas
-
-sulphonamides
-
-Supreme Court
-
-swastika symbol
-
-Sweden
-
-Swedish Red Cross
-
-Swinem̈nde
-
-‘Swing Youth’
-
-Switzerland
-
-Sylt
-
-synagogues
-
-in Poland
-
-in Germany
-
-in Soviet Union
-
-in France
-
-in Belgium
-
-in Greece
-
-synthetic fuel
-
-syphilis
-
-Syracuse
-
-Syria
-
-Sz’lasi, Ferenc
-
-Szczebrzeszyn
-
-Szpilman, Wladyslaw
-
-Szt’jay, D̈me
-
-
-
-
-
-T-4 unit
-
-‘euthanasia action’ programme
-
-killing centres
-
-and extermination of Jews
-
-rejects use of Zyklon-B
-
-killing of sick concentration camp inmates
-
-T-34 (tank)
-
-Tabun (nerve gas)
-
-Tallinn
-
-tanks
-
-warfare
-
-production
-
-Taranto
-
-Tarnopol
-
-Task Forces (Einsatzgruppen)
-
-in Poland
-
-in occupied east
-
-in Romania
-
-distribution of reports on their actions
-
-establishment of extermination camps
-
-taxation
-
-of Jews
-
-corporation tax
-
-of foreign workers
-
-Tchaikovsky, Pyotr Ilyich
-
-Teachers’ League, National Socialist
-
-Technology, Head Office for
-
-Terboven, Josef
-
-Terezin
-
-terMeer, Fritz
-
-‘terror raids’
-
-Tesch and Stabenow (poison gas manufacturer)
-
-Teterow
-
-Thailand
-
-Tḧlmann, Ernst
-
-theatre
-
-Theresienstadt concentration camp
-
-Thielbeck (freighter)
-
-Thierack, Otto-Georg
-
-Thiess, Frank
-
-Thomalla, Richard
-
-Thomas, Georg
-
-Thrace
-
-Threepenny Opera (Brecht/Weill)
-
-Thuringia
-
-Tibet
-
-Tiger (tank)
-
-Tikhvin
-
-Tilsit
-
-Timoshenko, Semyon
-
-tin
-
-Tirpitz (battleship)
-
-Tiso, Jozef
-
-Tito, Josip Broz
-
-tobacco
-
-Tobruk
-
-Todt, Fritz
-
-Todt Organization
-
-Tokyo
-
-Tolstoy, Leo
-
-Tongres
-
-Topf, Ernst Wolfgang
-
-Topf, Ludwig
-
-Topf and Sons (engineering company)
-
-Torgau
-
-Torquay
-
-‘total war’ initiative
-
-Toulouse
-
-trains
-
-Hitler’s special
-
-First World War Armistice
-
-G̈ring’s special
-
-see also railways
-
-Trans-Saharan Railway
-
-Trans-Siberian Railway
-
-transit camps
-
-Transnistria
-
-Transport, Reich Ministry of
-
-Transylvania
-
-Traunstein
-
-Travniki labour camp
-
-Treblinka
-
-extermination camp
-
-labour camp
-
-Treptow an der Rege
-
-Tresckow, Henning von
-
-Treskau (Owi’ska)
-
-tribunals
-
-war crimes
-
-denazification
-
-Trieste
-
-Tripoli
-
-Triumph of the Will (film)
-
-Trondheim
-
-Trott zu Solz, Adam von
-
-Truman, Harry S.
-
-Trustees for the East, Head Office of the (Haupttreuhandstelle Ost)
-
-tuberculosis
-
-T̈bingen
-
-Tuka, Vojtech
-
-Tunisia
-
-Turkey
-
-Turner, Harald
-
-Twilight of the Gods (Wagner)
-
-twins
-
-Two Happy People (film)
-
-Two Oceans Navy Expansion Act (USA)
-
-Typhoon, Operation
-
-typhus
-
-
-
-
-
-U-boats see submarines
-
-̈ckerm̈nde
-
-Udbina
-
-Udet, Ernst
-
-Ukraine
-
-Hitler’s plans for ‘living-space’
-
-grain exports to Third Reich
-
-occupied by Army Group South
-
-Reich Commissariat
-
-German army’s atrocities in
-
-dismantling of factories
-
-deportation of ethnic Germans
-
-murder of political prisoners
-
-Jews flee from advancing German army
-
-massacres of Jews
-
-murder of nationalists by Soviet secret police
-
-extermination of last Ukrainian Jews
-
-improvement of transport system
-
-Ukrainians
-
-in Poland
-
-nationalists
-
-German hatred for
-
-Rosenberg’s plans for
-
-antisemitism
-
-auxiliaries in Reinhard Action camps
-
-Ullmann, Viktor
-
-Ulrich S. (schoolboy)
-
-Uncle Kruger (film)
-
-Unilever (multinational)
-
-United States of America
-
-Jewish emigration to
-
-supplies to Britain
-
-leases destroyers to Britain
-
-and German plans for invasion of Soviet Union
-
-rearmament
-
-attack on Pearl Harbor
-
-entry into war
-
-‘lend-lease’
-
-supplies to Soviet Union
-
-and ‘Jewish world conspiracy’
-
-armaments production
-
-women in workforce
-
-and genocide of Romanian Jews
-
-Allied bombardment of Germany
-
-U-boat attacks on supply ships
-
-reports on Jewish genocide
-
-Normandy landings
-
-and Warsaw uprising (1944)
-
-and July 1944 bomb plot
-
-Battle of the Bulge (1944-45)
-
-atomic bomb
-
-Allied forces advance through Germany
-
-liberation of concentration camps
-
-and German surrender
-
-and Nuremberg trials
-
-postwar use of German military
-
-technological equipment and expertise
-
-universities
-
-Unterẗrkheim
-
-Upper Silesia
-
-Ural mountains
-
-uranium
-
-Usedom
-
-Ustashe (Croatian militia)
-
-
-
-
-
-V-1 flying bombs
-
-V-2 rockets
-
-V-3 cannons
-
-vaccines
-
-Valerio, Colonel
-
-Valkyrie, Operation
-
-Vasilevskii, Aleksandr
-
-Vatican
-
-arranges visas for Jewish emigrants
-
-and ‘euthanasia action’ programme
-
-and genocide of Romanian Jews
-
-Papal Nuncio
-
-and deportation of Slovakian Jews
-
-and deportation of Italian Jews
-
-neutral status
-
-German and Austrian clerics
-
-see also Pius; Pius
-
-Vendel, Karl Ingve
-
-venereal disease
-
-Venice
-
-Venlo
-
-Verdun, Battle of
-
-Versailles, Treaty of (1919) see also Peace Settlement
-
-Verschuer, Otmar von
-
-Vichy France
-
-deportation of Jews from
-
-establishment of
-
-North African colonial territories
-
-discriminatory laws against Jews
-
-Vichy France - cont.
-
-despatch of civilian labourers to Germany
-
-administration of
-
-unpopularity of regime
-
-German troops take over
-
-militia
-
-see also P’tain, Marshal Philippe
-
-Victor Emmanuel, King of Italy
-
-Victoria, Queen
-
-Vienna
-
-Hitler’s early life in
-
-deportation of Jews
-
-coup conspiracy (1944)
-
-Red Army enters
-
-Vierny, Dina
-
-Vilna (Vilnius)
-
-Vinnitsa
-
-Vistula river
-
-Visual Arts, Reich Chamber for the
-
-Vitztbum, Count Heino
-
-Vlaminck, Maurice
-
-Voerde
-
-Vogelsang
-
-Vojvodina
-
-Volga Germans
-
-Volga, river
-
-Volksgemeinschaft (national community)
-
-Volkswagen factory
-
-Voronezh
-
-Voronov, Nikolai
-
-Voss, Hermann (anatomist)
-
-Voss, Hermann (director of Wiesbaden Museum)
-
-
-
-
-
-Waffen-SS see Military SS
-
-Wagner family
-
-Wagner, Adolf
-
-Wagner, Gerhard
-
-Wagner, Horst
-
-Wagner, Richard
-
-Wagner, Walter
-
-Wagner, Winifred
-
-Wahlmann, Adolf
-
-Walb, Lore
-
-Walter, Bruno
-
-Wanne-Eickel
-
-Wannsee Conference (1942)
-
-war crimes trials
-
-war economy
-
-War Medicine and Hygiene, Institute of
-
-Warsaw
-
-bombardment
-
-encirclement
-
-surrender
-
-in General Government
-
-execution of mayor
-
-bribery in
-
-rationing
-
-Jewish population
-
-ghetto
-
-extermination of Jews
-
-rescue of Jews
-
-uprising (1944)
-
-Warsaw Zoo
-
-Warthegau see Wartheland
-
-Wartheland
-
-Wartheland Prize
-
-‘Waterfall’ (missile)
-
-Wawer
-
-Weber, Ilse
-
-Wehrkraftzersetzung (’undermining military strength’)
-
-Weichs, General Maximilian
-
-Weill, Kurt
-
-Weimar Republic
-
-far right
-
-violence of early years
-
-Party leaders evade legal responsibility
-
-army generals hope for downfall
-
-unpolitical army claim
-
-‘White Rose’ youth movement and
-
-party-political animosities
-
-crises of
-
-Weinrich, Karl
-
-Weiss, Wilhelm
-
-Weissensee
-
-Weizs̈cker, Ernst von
-
-Welfare organization, National Socialist
-
-‘Werewolf’ (Hitler’s field HQ)
-
-‘Werewolf’ (partisan movement)
-
-Werner, Kurt
-
-West Germany (German Federal Republic)
-
-West Prussia
-
-West Wall
-
-Westerbork transit camp
-
-Wewelsburg
-
-Weygand, Maxime
-
-White Dream, The (film)
-
-‘White Rose’ resistance movement
-
-Widmann, Albert
-
-Wieloncza
-
-Wienken, Heinrich
-
-Wiesbaden
-
-Wiesenthal, Simon
-
-Wilhelm Gustloff (cruise liner)
-
-Wilhelm Gustloff Foundation
-
-Wilhelmina, Queen of the Netherlands
-
-Willrich, Wolfgang
-
-Wilm, Ernst
-
-‘Window’ (anti-radar device)
-
-Windsor, Duke and Duchess of
-
-winter clothes for troops campaign
-
-‘Winter War’ 1940 (Soviet Union/Finland)
-
-Wirth, Christian
-
-Wise Woman, The (Die Kluge; Orff)
-
-Wisliceny, Dieter
-
-Witebsk
-
-Witten
-
-Witzleben, General Erwin von
-
-Ẅhler, Otto
-
-Wolff-Metternich, Count Franz
-
-Wolff-M̈nckeberg, Mathilde
-
-wolframite
-
-‘Wolf’s Lair’
-
-Wolfsburg
-
-Woman in the Moon, The (film)
-
-women
-
-League of German Girls
-
-‘civilizing mission’ of German women in occupied Poland
-
-Nazi women’s organizations
-
-rape
-
-
-
-
-
-in Ravensbr̈ck concentration camp
-
-included in massacres of Jews east
-
-in ghettos
-
-in extermination camps
-
-in Auschwitz
-
-foreign workers
-
-in workforce
-
-propaganda on women’s roles
-
-and evacuation schemes
-
-prison population
-
-killing of Gypsy women
-
-wartime married life
-
-sexual morality
-
-in higher education
-
-medical experimentation on
-
-in resistance movements
-
-declining morale on home front
-
-conscription
-
-‘wonder-weapons’ ; see also;
-
-‘Word of the Week’ (poster)
-
-working classes
-
-enrolled as members of ‘master race’
-
-victims of bombing raids
-
-evacuees
-
-and resistance movements
-
-Woyrsch, Udo von
-
-Wren, Sir Christopher
-
-Wronki prison
-
-Wuppertal
-
-Wurm, Theophil, Bishop of Ẅrttemberg
-
-Ẅrttemberg
-
-Ẅrzburg
-
-Ẅrzburg University
-
-
-
-
-
-x-rays
-
-
-
-
-
-Yalta
-
-Yasnaya Polyana
-
-Yiddish
-
-Yorck von Wartenburg, Peter
-
-York
-
-Yugoslavia
-
-German invasion
-
-partition
-
-collapse of postwar state
-
-atrocities against Jews
-
-partisans
-
-copper mines
-
-resistance
-
-withdrawal of German forces
-
-see also Croats, Croatia; Serbs, Serbia
-
-
-
-
-
-Zakopane
-
-Zamboni, Guelfo
-
-Zamość
-
-Zawada
-
-Zeitzler, Kurt
-
-Zempelburg
-
-Zervas, Napoleon
-
-Zhukov, Georgi
-
-zinc
-
-Zion, The Protocols of the Elders of
-
-Zionists
-
-Zlocz’w
-
-Zurich
-
-Zweig, Stefan
-
-Zyklon-B (poison gas)
-
-
-
-
-
-I. The German Army enters Lódz in September 1939 to an ecstatic welcome from ethnic Germans, while the city’s Polish inhabitants look silently on.
-
-
-
-2. Redrawing the racial map of Europe: ethnic Germans from Lithuania cross the border with Germany at Eydtkau in East Prussia in February 1941, entering the Reich under a banner bidding them ‘Welcome to Greater Germany’.
-
-
-
-3. Polish Jews are assembled for road-sweeping duties by German troops, September 1939.
-
-
-
-4. German air force troops round up a group of terrified Jews in the diarist Zygmunt Klukowski’s home town of Szczebrzeszyn.
-
-
-
-5. This still from I Accuse (1941), directed by Wolfgang Liebeneiner, shows the concert pianist Hanna Heyt, who is suffering from multiple sclerosis, asking her friend Dr Lang for advice; his opposition to assisted suicide is used as a foil for the film’s justification of the killing of the incurably ill.
-
-
-
-6. An assassination attempt that failed: the destruction caused in a Munich beer-cellar on the evening of 8 November 1939 by a bomb planted by the lone left-winger Georg Elser. Hitler left the hall shortly before the bomb went off.
-
-
-
-7. Rudolf Hess visits the Krupp armaments factory on I May 1940, flanked by Robert Ley (left) and Alfred Krupp (right).
-
-
-
-8. ‘The biggest traffic jam in history’: German armour squeezes through the narrow gorges of the Ardennes on its way to France on 11 May 1940.
-
-
-
-9. Hitler, with Albert Speer (left) and Arno Breker (right), at the Trocadéro in Paris during a brief private visit to the conquered city on 28 June 1940.
-
-
-
-10. Spying out the land: Field-Marshal Fedor von Bock (left) gauges the situation in the Crimea in May 1942, accompanied by General Fritz Lindemann.
-
-
-
-11. Operation Barbarossa: grenadiers of the third ‘Death’s Head’ tank division drive along a dusty road near Smolensk, September 1941.
-
-
-
-12. German soldiers burn a Ukrainian farm in September 1941 while the farmer’s wife protests in vain.
-
-
-
-13. Atrocity tourism: German troops take snaps as an alleged partisan is hanged in a Belarussian town in January 1942.
-
-
-
-14. Three and a third million Red Army prisoners of war died in German captivity, many of them while being transported from the front in open goods wagons like this one, photographed at Witebsk railway station on 21 September 1941: when winter set in, these wagons became death-traps.
-
-
-
-15. Bogged down before Moscow: German soldiers try to free a car from the mud in November 1941.
-
-
-
-16. The propaganda war against the ‘global enemy’: a Ministry of Propaganda poster shows Churchill and Stalin joining hands across the Continent in a ‘Jewish Conspiracy Against Europe’ in the summer of 1941.
-
-
-
-17. Gestapo chief Heinrich Müller (right), Security Service boss Reinhard Heydrich (middle) and Heinrich Himmler (left), overall head of the SS, meet in November 1939 to discuss Georg Elser’s attempt on Hitler’s life.
-
-
-
-18. Inside a women’s barracks at Auschwitz: this photograph, taken in January 1945, shortly after liberation, can only give a faint idea of the squalor and overcrowding to which the inmates were subject.
-
-
-
-19. Camp commandant Richard Baer, camp doctor Josef Mengele and former camp commandant Rudolf Höss in relaxed mood at the SS retreat known as the ‘Sun Huts’ outside Auschwitz in 1944
-
-
-
-20. Albert Speer demonstrates the increase in the production of artillery pieces under his management of the war economy in 1943.
-
-
-
-21. Tiger tanks in production, summer 1943.
-
-
-
-22. House-to-house fighting in Stalingrad at the end of 1942; but where have the houses gone?
-
-23. The face of defeat: a German soldier is taken prisoner at Stalingrad in January 1943.
-
-
-
-
-
-24. The long march into captivity: German soldiers pass before the ruined city of Stalingrad, January 1943.
-
-
-
-25. Germany in flames: Allied air-raids on Hamburg in July and August 1943 destroyed a large part of the city and killed 40,000 of its inhabitants. When this photo was taken, on 2 December 1943, all that remained of much of the city was dust and rubble.
-
-
-
-26. Strategic bombing caused widespread disruption of communications: a photo of Hamburg’s main railway station not long after the raids.
-
-
-
-27. General Gotthard Heinrici (right) and Field-Marshal Günther von Kluge (left) plan the next retreat.
-
-
-
-28. Red Army soldiers advancing on Warsaw in August 1944 pursue German troops running away from their shattered tank.
-
-
-
-29. V-I pilotless bombs sometimes carried propaganda leaflets such as this: the message on the reverse told Londoners that they were being ‘continually blasted day and night by those mysterious flying meteors’. ‘What good are all your planes, warships and tanks against that new German weapon?’ it asked.
-
-
-
-30. The gates of hell: workers going through the entrance to the underground factory where the V-2 rockets were made in the later stages of the war.
-
-
-
-31. Hitler with officers of the 9th Army on a brief visit to Wriezen, behind the Oder front, 3 March 1945. With him, standing in the front row, from left: Wilhelm Berlin, Robert Ritter von Greim, Franz Reuss, Job Oderbrecht and Theodor Busse.
-
-
-
-32. The German ‘Dad’s Army’: not all members of the ‘People’s Storm’ were as smartly dressed and well equipped as in this photograph taken in Hamburg on 29 October 1944, though many of them were probably as short-sighted.
-
-
-
-33. The young were drafted in to the ‘People’s Storm’ as well: Joseph Goebbels meets a teenage soldier at Lauban, Lower Silesia, in March 1945.
-
-
-
-34. Hermann Goring breakfasting in his Nuremberg cell on 26 November 1945. He committed suicide rather than face the hangman.
-
-
-
-35. Joachim von Ribbentrop contemplates his fate in the same prison. He was sentenced to death and hanged.
-
-
-
-36. Berlin’s Tauentzienstrasse after the end of the war, with the ruins of the Kaiser Wilhelm church in the background. The absence of able-bodied men meant that the responsibility for clearing the wreckage fell mainly to civilian women. The signs on the left mark the border between the British-occupied sector and the US sector of the city.
-
-
-
-
-
diff --git a/Books/History/The Third Reich in Power - Richard J. Evans.txt b/Books/History/The Third Reich in Power - Richard J. Evans.txt
index ccf1ac5..ebec211 100644
--- a/Books/History/The Third Reich in Power - Richard J. Evans.txt	
+++ b/Books/History/The Third Reich in Power - Richard J. Evans.txt	
@@ -1,395 +1,3 @@
-Table of Contents
-
-ABOUT THE AUTHOR
-
-Title Page
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-Copyright Page
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-Dedication
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-Preface
-
-
-
-
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-Part 1 - THE POLICE STATE
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-‘ NIGHT OF THE LONG KNIVES’
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-REPRESSION AND RESISTANCE
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-‘ ENEMIES OF THE PEOPLE’
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-INSTRUMENTS OF TERROR
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-
-
-
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-Part 2 - THE MOBILIZATION OF THE SPIRIT
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-ENLIGHTENING THE PEOPLE
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-WRITING FOR GERMANY
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-PROBLEMS OF PERSPECTIVE
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-FROM DISCORD TO HARMONY
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-Part 3 - CONVERTING THE SOUL
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-MATTERS OF FAITH
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-CATHOLICS AND PAGANS
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-WINNING OVER THE YOUNG
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-‘ STRUGGLE AGAINST THE INTELLECT’
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-
-
-
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-Part 4 - PROSPERITY AND PLUNDER
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-‘ THE BATTLE FOR WORK’
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-BUSINESS, POLITICS AND WAR
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-ARYANIZING THE ECONOMY
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-DIVISION OF THE SPOILS
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-
-
-
-
-Part 5 - BUILDING THE PEOPLE’S COMMUNITY
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-BLOOD AND SOIL
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-THE FATE OF THE MIDDLE CLASSES
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-THE TAMING OF THE PROLETARIAT
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-SOCIAL PROMISE AND SOCIAL REALITY
-
-
-
-
-
-Part 6 - TOWARDS THE RACIAL UTOPIA
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-IN THE SPIRIT OF SCIENCE
-
-THE NUREMBERG LAWS
-
-‘THE JEWS MUST GET OUT OF EUROPE’
-
-THE NIGHT OF BROKEN GLASS
-
-
-
-
-
-Part 7 - THE ROAD TO WAR
-
-FROM WEAKNESS TO STRENGTH
-
-CREATING GREATER GERMANY
-
-THE RAPE OF CZECHOSLOVAKIA
-
-MARCH INTO THE EAST
-
-
-
-
-
-Notes
-
-Bibliography
-
-Index
-
-FOR MORE FROM RICHARD J. EVANS, LOOK FOR THE
-
-
-
-
-
-Praise for The Third Reich in Power
-
-“Heir to a British tradition of dons who write engagingly for a broad public, Evans has done a great service simply in digesting the mountain of recent scholarship on the Nazis for the general reader.”
-
-—The New York Times Book Review
-
-
-
-
-
-“A wonder of synthesis and acute judgment, this work when completed will be the definitive study for at least a generation . . . [A] magnificent achievement . . . When his game is on, as it usually is, few can rival his ability to write crisply argued history. Evans’s coolly precise, profoundly disquieting history gives the most thorough answer yet to the question that will nag humanity for a thousand years: What accounts for the German people’s support—at times passive, at times fervent—for the vicious and often ridiculous thugs who ruled over them for nearly twelve years?”
-
-—Benjamin Schwartz, The Atlantic Monthly (editor’s choice)
-
-
-
-
-
-“Evans’ new book is a masterly and exhaustive account . . . a most impressive study.”
-
-—Foreign Affairs
-
-
-
-
-
-“There seems to be nothing Mr. Evans does not cover. What sets [his trilogy] apart ... is the narrative command Mr. Evans exercises over the innumerable components of the history and the breadth and depth of his synthesis.”
-
-—The Washington Times
-
-
-
-
-
-“Evans’ masterly account blends narrative with the discussion of important themes. . . . Brilliantly told.”
-
-—The Globe and Mail (Toronto)
-
-
-
-
-
-“Mr. Evans’ latest book has been lauded as a definitive, authoritative English-language account, blending narrative, description, and analysis.”
-
-—Embassy
-
-
-
-
-
-“A work drawn from a mountain of scholarship . . . As a readable, compelling synthesis of the period, [The Third Reich in Power] . . . is a major achievement.”
-
-—The Boston Globe
-
-
-
-
-
-“A major achievement. No other recent synthetic history has quite the range and narrative power of Evans’s work. . . . When complete, Evans’s trilogy will take its place alongside Ian Kershaw’s monumental two-volume biography of Hitler as the standard works in English.”
-
-—Publishers Weekly (starred review)
-
-
-
-
-
-“A superb account of the growth and day-to-day functioning of the Nazi state.”
-
-—Kirkus Reviews (starred review)
-
-
-
-
-
-ABOUT THE AUTHOR
-
-Richard J. Evans is one of the world’s leading historians of modern Germany. He was born in London in 1947. From 1989 to 1998 he was Professor of History at Birkbeck College, University of London. Since 1998 he has been Professor of Modern History at Cambridge University. In 1994 he was awarded the Hamburg Medal for Art and Science for cultural services to the city, and in 2000 he was the principal expert witness in the David Irving libel trial. His books include The Feminist Movement in Germany, 1894-1933, Death in Hamburg (winner of the Wolfson Literary Award for History), In Hitler’s Shadow, Rituals of Retribution (winner of the Fraenkel Prize in Contemporary History), In Defence of History (which has so far been translated into eight languages), Telling Lies About Hitler and The Coming of the Third Reich (shortlisted for the Los Angeles Times Book Prize).
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-PENGUIN BOOKS
-
-Published by the Penguin Group
-
-Penguin Group (USA) Inc., 375 Hudson Street, New York, New York 10014, U.S.A.
-
-Penguin Group (Canada), 90 Eglinton Avenue East, Suite 700, Toronto,
-
-Ontario, Canada M4P 2Y3 (a division of Pearson Penguin Canada Inc.)
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-Penguin Books Ltd, 80 Strand, London WC2R 0RL, England
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-Penguin Ireland, 25 St Stephen’s Green, Dublin 2, Ireland (a division of Penguin Books Ltd)
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-Penguin Group (Australia), 250 Camberwell Road, Camberwell,
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-Victoria 3124, Australia (a division of Pearson Australia Group Pty Ltd)
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-Penguin Books India Pvt Ltd, 11 Community Centre, Panchsheel Park, New Delhi - 110 017, India
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-Penguin Group (NZ), cnr Airborne and Rosedale Roads, Albany,
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-Auckland 1310, New Zealand (a division of Pearson New Zealand Ltd)
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-Penguin Books (South Africa) (Pty) Ltd, 24 Sturdee Avenue,
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-Rosebank, Johannesburg 2196, South Africa
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-
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-
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-Penguin Books Ltd, Registered Offices:
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-80 Strand, London WC2R 0RL, England
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-
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-First published by Allen Lane 2005
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-First published in the United States of America by The Penguin Press,
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-a member of Penguin Group (USA) Inc. 2005
-
-Published in Penguin Books (UK) 2006
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-This edition published in Penguin Books (USA) 2006
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-
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-Copyright © Richard J. Evans, 2005
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-All rights reserved
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-
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-
-Maps drawn by Andras Bereznay
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-
-eISBN : 978-1-440-64930-1
-
-1. Germany—History—1933-1945. 2. National socialism—History. I. Title.
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-DD256.5.E924 2005
-
-943.086—dc22 2005052128
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-
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-
-The scanning, uploading and distribution of this book via the Internet or via any other means without the permission of the publisher is illegal and punishable by law. Please purchase only authorized electronic editions, and do not participate in or encourage electronic piracy of copyrighted materials. Your support of the author’s rights is appreciated.
-
-http://us.penguingroup.com
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-
-For Matthew and Nicholas
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-
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-
-ILLUSTRATION CREDITS
-
-Copyright is held by the following sources.
-
-AKG, London: pictures 3, 4, 9, 14, 35, 37; Bildarchiv Preussischer Kulturbesitz: pictures 13, 26, 34, 40, 41; Bundesarchiv, Koblenz: pictures 8, 15, 18, 23, 32; Corbis: pictures 2, 5, 7, 17, 19, 21, 36, 38, 39; Kunstverlag Peda: picture 10; Arno Breker by Marco-VG (Museum Arno Breker, Bonn): picture 11; Staatsarchiv, Munich: picture 28; The Weiner Library, London: picture 16.
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-Every effort has been made to trace copyright holders but this has not been possible in all cases. If notified, the publishers will be pleased to rectify any omissions at the earliest opportunity.
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-
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-
-
-Preface
-
-This book tells the story of the Third Reich, the regime created in Germany by Hitler and his National Socialists, from the moment when it completed its seizure of power in the summer of 1933 to the point when it plunged Europe into the Second World War at the beginning of September 1939. It follows an earlier volume, The Coming of the Third Reich, which told the story of the origins of Nazism, analysed the development of its ideas and recounted its rise to power during the years of the ill-fated Weimar Republic. A third volume, The Third Reich at War, will follow in due course, covering the period from September 1939 to May 1945 and exploring the legacy of Nazism in Europe and the world in the rest of the twentieth century and on to the present. The general approach of all three volumes is set out in the Preface to The Coming of the Third Reich and does not need to be repeated in detail here. Those who have already read that book can go straight to the beginning of the first chapter of this one; but some readers might like to be reminded of the central arguments of the earlier volume, and those who have not read it may wish to turn to the Prologue, which sketches the main lines of what happened before the end of June 1933, when the story told in the following pages begins.
-
-The approach adopted in the present book is necessarily thematic, but within each chapter I have tried, as in the previous volume, to mix narrative, description and analysis and to chart the rapidly changing situation as it unfolded over time. The Third Reich was not a static or monolithic dictatorship; it was dynamic and fast-moving, consumed from the outset by visceral hatreds and ambitions. Dominating everything was the drive to war, a war that Hitler and the Nazis saw as leading to the German racial reordering of Central and Eastern Europe and the re-emergence of Germany as the dominant power on the European Continent and beyond that, the world. In each of the following chapters, dealing in turn with policing and repression, culture and propaganda, religion and education, the economy, society and everyday life, racial policy and antisemitism, and foreign policy, the overriding imperative of preparing Germany and its people for a major war emerges clearly as the common thread. But that imperative was neither rational in itself, nor followed in a coherent way. In one area after another, the contradictions and inner irrationalities of the regime emerge; the Nazis’ headlong rush to war contained the seeds of the Third Reich’s eventual destruction. How and why this should be so is one of the major questions that run through this book and bind its separate parts together. So too do many further questions: about the extent to which the Third Reich won over the German people; the manner in which it worked; the degree to which Hitler, rather than broader systematic factors inherent in the structure of the Third Reich as a whole, drove policy onwards; the possibilities of opposition, resistance, dissent or even non-conformity to the dictates of National Socialism under a dictatorship that claimed the total allegiance of all its citizens; the nature of the Third Reich’s relationship with modernity; the ways in which its policies in different areas resembled, or differed from, those pursued elsewhere in Europe and beyond during the 1930s; and much more besides. A narrative thread is provided by the arrangement of the chapters, which move progressively closer to the war as the book moves along.
-
-Inevitably, however, while separating out the many different aspects of the Third Reich into different themes makes it easier to present them coherently, it also comes at a price, since these aspects impinged on each other in a variety of different ways. Foreign policy had an impact on racial policy, racial policy had an impact on educational policy, propaganda went hand-in-hand with repression, and so on. So the treatment of a theme in a particular chapter is necessarily incomplete in itself, and the individual chapters should not be treated as comprehensive accounts of the topics with which they deal. Thus, for example, the removal of the Jews from the economy is dealt with in the chapter on the economy, rather than in the chapter on racial policy; Hitler’s formulation of his war aims in the so-called Hossbach memorandum in 1937 is covered in the section on rearmament rather than in the chapter on foreign policy; and the impact of the German takeover of Austria on antisemitism in the Third Reich is discussed in the final chapter, rather than in the section on antisemitism in 1938. I hope that these decisions about the structure of the book make sense, but their logic will only be clear to those who read the book consecutively, from start to finish. Anyone who wants to use it simply as a work of reference is recommended to turn to the index, where the location of the book’s principal themes, characters and events is laid out in detail.
-
-In the preparation of the present work I have once more benefited from the incomparable resources of Cambridge University Library, the Wiener Library and the German Historical Institute London. The Staatsarchiv der Freien- und Hansestadt Hamburg and the Forschungsstelle für Zeitgeschichte in Hamburg kindly permitted consultation of the unpublished diaries of Luise Solmitz, and Bernhard Fulda generously supplied copies of key issues of German newspapers. The advice and support of many friends and colleagues has been crucial. My agent, Andrew Wylie, and his staff, particularly Christopher Oram and Michal Shavit, gave their time to the project in many ways. Stephanie Chan, Christopher Clark, Bernhard Fulda, Christian Goeschel, Victoria Harris, Robin Holloway, Max Horster, Valeska Huber, Sir Ian Kershaw, Scott Moyers, Jonathan Petropoulos, David Reynolds, Kristin Semmens, Adam Tooze, Nikolaus Wachsmann and Simon Winder read early drafts, saved me from many errors and made many useful suggestions: I am indebted to them for their help. Christian Goeschel also kindly checked the proofs of the Notes and Bibliography. Simon Winder and Scott Moyers have been exemplary editors, and their advice and enthusiasm have been essential throughout. Conversations with, or suggestions from, Norbert Frei, Gavin Stamp, Riccarda Tomani, David Welch and many others have been invaluable. David Watson was an exemplary copy-editor; Alison Hennessy took immense pains over the picture research; and it was extremely instructive to work with András Bereznáy on the maps. Christine L. Corton read the entire manuscript and beyond the application of her professional expertise, her practical support over the years has been indispensable to the whole project. Our sons Matthew and Nicholas, to whom this book, like its predecessor, is dedicated, have provided welcome relief from its grim subject-matter. I am grateful to them all.
-
-Richard J. Evans
-
-Cambridge, May 2005
-
-
-
-
-
-PROLOGUE
-
-
-
-I
-
-The Third Reich came to power in the first half of 1933 on the ruins of Germany’s first attempt at democracy, the ill-fated Weimar Republic. By July, the Nazis had created virtually all the fundamental features of the regime that was to govern Germany until its collapse almost twelve years later, in 1945. They had eliminated open opposition at every level, created a one-party state, and co-ordinated all the major institutions of German society with the exceptions of the army and the Churches. Many people have tried to explain how they managed to achieve such a position of total dominance in German politics and society with such speed. One tradition of explanation points to long-term weaknesses in the German national character that made it hostile to democracy, inclined to follow ruthless leaders and susceptible to the appeal of militarists and demagogues. But when one looks at the nineteenth century, one can see very little evidence of such traits. Liberal and democratic movements were no weaker than they were in many other countries. More relevant, perhaps, was the relatively late creation of a German nation-state. After the collapse in 1806 of the Holy Roman Reich created by Charlemagne a millennium before - the famous thousand-year Reich that Hitler sought to emulate - Germany was disunited until the wars engineered by Bismarck between 1864 and 1871, which led to the formation of what was later called the Second Reich, the German Empire ruled by the Kaiser. In many ways this was a modern state: it had a national parliament that, unlike its British counterpart for example, was elected by universal manhood suffrage; elections attracted a voter turnout of over 80 per cent; and political parties were well organized and an accepted part of the political system. The largest of these by 1914, the Social Democratic Party, had over a million members and was committed to democracy, equality, the emancipation of women and the ending of racial discrimination and prejudice, including antisemitism. Germany’s economy was the most dynamic in the world, rapidly overtaking the British by the turn of the century, and in the most advanced areas like the electrical and chemical industries, rivalling even the Americans. Middle-class values, culture and behaviour were dominant in Germany by the turn of the century. Modern art and culture were beginning to make their mark in the paintings of Expressionists like Max Beckmann and Ernst Ludwig Kirchner, the plays of Frank Wedekind and the novels of Thomas Mann.
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-Of course, there was a down-side to the Bismarckian Reich. Aristocratic privilege remained entrenched in some areas, the national parliament’s powers were limited and the big industrialists, like their counterparts in the USA, were deeply hostile to unionized labour. Bismarck’s persecution, first, of the Catholics in the 1870s, then of the fledgling Social Democratic Party in the 1880s, got Germans used to the idea that a government could declare whole categories of the population ‘enemies of the Reich’ and drastically curtail their civil liberties. The Catholics responded by trying to integrate more closely into the social and political system, the Social Democrats by sticking rigidly to the law and repudiating the idea of violent resistance or violent revolution; both behavioural traits that were to resurface to disastrous effect in 1933. In the 1890s, too, small extremist political parties and movements emerged, arguing that Bismarck’s work of unification was incomplete because millions of ethnic Germans still lived outside the Reich, especially in Austria but also in many other parts of Eastern Europe. While some politicians began to argue that Germany needed a large overseas Empire like the British already possessed, others began to tap lower-middle-class feelings of being overtaken by big business, the small shopkeeper’s fear of the department store, the male clerk’s resentment of the growing presence in business of the female secretary, the bourgeois sense of disorientation when confronted by Expressionist and abstract art and many other unsettling effects of Germany’s headlong social, economic and cultural modernization. Such groups found an easy target in Germany’s tiny minority of Jews, a mere 1 per cent of the population, who had mostly been remarkably successful in German society and culture since their emancipation from legal restrictions in the course of the nineteenth century. For the antisemites the Jews were a source of all their problems. They argued that the civil liberties of the Jews had to be restricted and their economic activities curtailed. Soon political parties like the Centre Party and the Conservatives were losing votes to these fringe parties of antisemites. They responded by incorporating into their own programmes the promise to reduce what they described as the subversive influence of the Jews in German society and culture. At the same time, in a very different area of society, Social Darwinists and eugenicists were beginning to argue that the German race needed to be strengthened by discarding the traditional Christian respect for life and by sterilizing or even killing the weak, the handicapped, the criminal and the insane.
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-These were still minority strands of thought before 1914; nor did anyone weld them together into any kind of effective synthesis. Antisemitism was widespread in German society, but overt violence against Jews was still rare. What changed this situation was the First World War. In August 1914 cheering crowds greeted the outbreak of war on Germany’s main town squares, as they did in other countries too. The Kaiser declared that he recognized no parties any more, only Germans. The spirit of 1914 became a mythical symbol of national unity, just as the image of Bismarck conjured up a mythical nostalgia for a strong and decisive political leader. The military stalemate reached by 1916 led to the German war effort being put in the hands of two generals who had won major victories on the Eastern Front, Paul von Hindenburg and Erich Ludendorff. But despite their tight organization of the war effort, Germany was unable to withstand the might of the Americans when they entered the war in 1917, and by early November 1918 the war was lost.
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-Defeat in the First World War had a disastrous effect on Germany. The peace terms, though no harsher than those which Germany planned to impose on other countries in the event of victory, were bitterly resented by almost all Germans. They included the demand for massive financial reparations for the damage caused by the German occupation of Belgium and northern France, the destruction of the German navy and air force, the restriction of the German army to 100,000 men and the banning of modern weapons like tanks, the loss of territory to France and above all to Poland. The war also destroyed the international economy, which did not recover for another thirty years. Not only were there huge costs to pay, but the collapse of the Habsburg Empire and the creation of new independent states in Eastern Europe fuelled national economic egotism and made international economic co-operation impossible. Germany in particular had paid for the war by printing money in the hope of backing it by annexing industrial areas of France and Belgium. The German economy could not meet the reparations bill without raising taxes, and no German government was willing to do this because it would have meant its opponents would have been able to accuse it of taxing the Germans to pay the French. Inflation was the result. In 1913 the dollar had been worth 4 paper marks; by the end of 1919 it was worth 47; by July 1922, 493, by December 1922, 7,000. Reparations had to be paid in gold and in goods, and at this rate of inflation the Germans were neither willing nor able to manage it. In January 1923 the French and Belgians occupied the Ruhr and began to seize industrial assets and products. The German government announced a policy of non-cooperation. This sparked a decline of the mark’s value against the dollar that was unprecedented in scale. An American dollar cost 353,000 marks in July 1923; in August four and a half million; in October 25,260 million; in December four million million, or four followed by twelve noughts. Economic collapse stared Germany in the face.
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-Eventually the inflation was halted. A new currency was introduced; passive resistance to the Franco-Belgian occupation ended; the foreign troops withdrew; reparations payments resumed. The inflation fragmented the middle classes, by pitting one interest group against another, so that no political party was able to unite them. The post-inflation stabilization, retrenchment and rationalization meant massive job losses, both in industry and in the civil service. From 1924 onwards there were millions of unemployed. Business resented the failure of government to help it in this deflationary situation and began to look for alternatives. For the middle classes in general, the inflation meant a moral and cultural disorientation that was only worsened for many by what they saw as the excesses of modern culture in the 1920s, from jazz and cabaret in Berlin to abstract art, atonal music and experimental literature such as the concrete poetry of the Dadaists. This sense of disorientation was present in politics too, as defeat in war had brought about the collapse of the Reich, the flight of the Kaiser into exile, and the creation of the Weimar Republic in the revolution of November 1918. The Weimar Republic had a modern constitution, with female suffrage and proportional representation, but these were not instrumental in its downfall. The real problem of the constitution was the independently elected President, who had wide-ranging emergency powers under article 48 of the constitution to rule by decree. This was already used extensively by the Republic’s first President, the Social Democrat Friedrich Ebert. When he died in 1925, his elected successor was Field Marshal Paul von Hindenburg, a staunch monarchist who had no deep commitment to the constitution. In his hands, article 48 would prove fatal to the Republic’s survival.
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-The final legacy of the First World War was a cult of violence, not just in the hands of veterans such as the radical right-wing Steel Helmets, but more particularly in the younger generation of men who had not been old enough to fight, and now tried to match the heroic deeds of their elders by fighting on the home front. The war polarized politics, with Communist revolutionaries on the left and various radical groups emerging on the right. The most notorious of these were the Free Corps, armed bands who were used by the government to put down Communist and far-left revolutionary uprisings in Berlin and Munich in the winter of 1918-19. The Free Corps attempted a violent coup d’état in Berlin in the early spring of 1920, which led to an armed left-wing uprising in the Ruhr, while there were further left- and right-wing uprisings in 1923. Even in the relatively stable years from 1924 to 1929, at least 170 members of various political paramilitary squads were killed in street fighting; in the early 1930s the deaths and injuries escalated dramatically, with 300 killed in street and meeting-room clashes in the year from March 1930 to March 1931 alone. Political tolerance had given way to violent extremism. The parties of the liberal centre and moderate left suffered dramatic electoral losses in the mid-1920s, as the spectre of Communist revolution retreated and the middle classes voted for parties further to the right. Those parties that actively supported the Weimar Republic never had a parliamentary majority after 1920. Finally, the Republic’s legitimacy was further undermined by the bias of the judiciary in favour of right-wing assassins and insurgents who claimed patriotism as their motive, and by the neutral stance taken by the army, which became steadily more resentful at the Republic’s failure to persuade the international community to lift the restrictions placed on its numbers and equipment by the Treaty of Versailles. German democracy, hastily improvised in the aftermath of military defeat, was by no means doomed to failure from the start, but the events of the 1920s meant that it never had much of a chance to establish itself on a stable footing.
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-II
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-There was a huge variety of extremist, antisemitic groups on the far right in 1919, especially in Munich, but by 1923 one of them stood out above the rest: the National Socialist German Workers’ Party, led by Adolf Hitler. So much has been written about the power and impact of Hitler and the Nazis that it is important to point out that his party was out on the far margins of politics until the very end of the 1920s. Hitler, in other words, was not a political genius who raised mass support for himself and his party single-handedly. Born in Austria in 1889, he was a failed artist with a Bohemian lifestyle who possessed one great gift: the ability to move crowds with his rhetoric. His party, founded in 1919, was more dynamic, more ruthless and more violent than other extreme-right-wing fringe groups. In 1923 it felt confident enough to try a violent coup d’état in Munich as a prelude to a march on Berlin along the lines of Mussolini’s successful ‘march on Rome’ the previous year. But it failed to win over the army or the forces of political conservatism in Bavaria, and the coup was dissipated in a hail of gunfire. Hitler was convicted and put into Landsberg prison, where he dictated his autobiographical political tract, My Struggle, to his dogsbody Rudolf Hess: not a blueprint for the future, to be sure, but a compendium of Hitler’s ideas, above all antisemitism and the idea of a racial conquest of Eastern Europe, for all who cared to read it.
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-By the time he came out of prison, Hitler had assembled the ideology of Nazism from disparate elements of antisemitism, pan-Germanism, eugenics and so-called racial hygiene, geopolitical expansionism, hostility to democracy, and hostility to cultural modernism, which had been floating around for some time but had not so far been integrated into a coherent whole. He gathered around him a team of immediate subordinates - the talented propagandist Joseph Goebbels, the decisive man of action Hermann Goring and others - who built up his image as leader and reinforced his sense of destiny. But despite all this, and despite the violent activism of his brownshirt paramilitaries on the streets, he got nowhere politically until the very end of the 1920s. In May 1928 the Nazis only won 2.6 per cent of the vote, and a ‘Grand Coalition’ of centrist and leftist parties led by the Social Democrats took office in Berlin. In October 1929, however, the Wall Street crash brought the German economy tumbling down with it. American banks withdrew the loans on which German economic recovery had been financed since 1924. German banks had to call in their loans to German businesses in response, and businesses had no option but to lay off workers or go bankrupt, which indeed many of them did. Within little more than two years more than one German worker in three was unemployed, and millions more were on short-term work or reduced wages. The unemployment insurance system broke down completely, leaving increasing numbers destitute. Agriculture, already under strain because of a fall in world demand, collapsed as well.
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-The political effects of the Depression were calamitous. The Grand Coalition broke up in disarray; so deep were the divisions between the parties over how to deal with the crisis that a parliamentary majority could no longer be found for any kind of decisive action. Reich President Hindenburg appointed a cabinet of experts under the Catholic politician Heinrich Brüning, an avowed monarchist. It proceeded to impose savagely deflationary cutbacks, only making the situation worse still. And it did so by using the Presidential power of rule by decree under article 48 of the constitution, bypassing the Reichstag altogether. Political power was diverted from parliament upwards, to the circle around Hindenburg, who could use his power of ruling by decree, and downwards, onto the streets, where violence escalated exponentially, pushed on by Hitler’s brownshirted stormtroopers, now numbering hundreds of thousands. For the thousands of young men who joined the brownshirts, violence quickly became a way of life, almost a drug, as they launched against the Communists and the Social Democrats the fury their elders had vented on the enemy in 1914-18.
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-Many brownshirts were without a job in the early 1930s. It was not unemployment, however, that drove people to support the Nazis. The unemployed flocked above all to the Communists, whose vote rose steadily until it reached 17 per cent, giving the party 100 seats in the Reichstag, in November 1932. The Communists’ violent revolutionary rhetoric, promising the destruction of capitalism and the creation of a Soviet Germany, terrified the country’s middle classes, who knew only too well what had happened to their counterparts in Russia after 1918. Appalled at the failure of the government to solve the crisis, and frightened into desperation by the rise of the Communists, they began to leave the squabbling little factions of the conventional political right and gravitate towards the Nazis instead. Other groups followed, including many Protestant small farmers, and manual workers from areas where the culture and traditions of the Social Democrats were weak. While all the middle-class parties collapsed completely, the Social Democrats and the Centre Party managed to restrict their losses. But by 1932 they were all that was left of the moderate centre, squashed helplessly between 100 uniformed Communist and 196 brownshirted deputies in the Reichstag. The polarization of politics could hardly be more dramatic.
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-The Nazis, then, as the elections of September 1930 and July 1932 showed, were a catch-all party of social protest with particularly strong middle-class support and relatively weak, though still very significant, working-class backing at the polls. They had broken out of their core constituency of the Protestant lower middle classes and farming community. Other parties, appalled at their losses, tried to beat them at their own game. This had nothing to do with specific policies, much more with the image of dynamism that the Nazis projected. The hated, calamitous Weimar Republic had to be got rid of, and the people united once more in a national community that knew no parties or classes, just as it had been in 1914; Germany had to reassert itself on the international scene and become a leading power again: that was more or less what the Nazis’ programme amounted to. They modified their specific policies according to their audience, playing down their antisemitism where it met with no response, for example, which is to say in most parts of the electorate after 1928. Besides the Nazis and the Communists battling it out on the streets, and the intriguers around President Hindenburg vying for the old man’s ear, a third major player now entered the political game: the army. Increasingly alarmed by the rise of Communism and the growing mayhem on the streets, the army also saw the new political situation as an opportunity to get rid of Weimar democracy and impose an authoritarian, military dictatorship that would repudiate the Treaty of Versailles and rearm the country in preparation for a war of reconquest of Germany’s lost territories, and perhaps more besides.
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-The army’s power lay in the fact that it was the only force that could effectively restore order in the shattered country. When President Hindenburg’s re-election in 1932 was achieved only with the help of the Social Democrats, who backed him as a less unacceptable choice than his main rival, Hitler, Chancellor Brüning’s days were numbered. He had failed in almost everything he had undertaken, from solving the economic crisis to restoring order to Germany’s towns and cities, and he had now offended Hindenburg by failing to secure his re-election unopposed and by proposing the break-up of the kind of landed estate Hindenburg himself owned in Eastern Germany to help the destitute peasantry. The army was anxious to get rid of Brüning because his deflationary policies were preventing rearmament. Like many conservative groups it hoped to enlist the Nazis, now the largest political party, as legitimation and support for the destruction of Weimar democracy. In May 1932 Brüning was forced to resign and replaced by the Catholic landed aristocrat Franz von Papen, a personal friend of Hindenburg’s.
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-Papen’s advent to power sounded the death-knell of Weimar democracy. He used the army to depose the Social Democratic state government in Prussia and prepared to reform the Weimar constitution by restricting voting rights and drastically curtailing the legislative powers of the Reichstag. He began to ban critical issues of daily newspapers and to restrict civil freedoms. But the elections he called in July 1932 only registered a further increase in the Nazi vote, which now reached 37.4 per cent of the poll. Papen’s attempt to enlist Hitler and the Nazis in support of his government failed when Hitler insisted that he and not Papen had to head the government. Lacking almost any support in the country, Papen was forced to resign when the army lost patience with him and put its own man into office. The new head of government, General Kurt von Schleicher, did no better at restoring order or co-opting the Nazis to give the semblance of popular backing to his policy of creating an authoritarian state. After the Nazis had lost two million votes in the Reichstag elections of November 1932, their evident decline and their obvious lack of funds created a serious division in the Party’s ranks. The Party’s organizer and effective second man after Hitler, Gregor Strasser, resigned from the Party in frustration at Hitler’s refusal to negotiate with Hindenburg and Papen. The moment seemed right to take advantage of the Nazis’ weakness. On 30 January 1933, with the agreement of the army, Hindenburg appointed Hitler as head of a new government in which all the other posts bar two were held by conservatives, with Papen as deputy Chancellor at their head.
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-III
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-In reality, 30 January 1933 marked the beginning of the Nazi seizure of power, not of a conservative counter-revolution. Hitler had avoided the mistakes he had made ten years previously: he had achieved office without formally destroying the constitution, and with the support of the conservative establishment and the army. The question now was how to convert his position in yet another Weimar coalition cabinet into a dictatorship in a one-party state. First, all he could think of doing was to intensify the violence on the streets. He persuaded Papen to appoint Hermann Goring as Prussian Minister of the Interior, and in this capacity Goring promptly enrolled the brownshirts as auxiliary police. They went on the rampage, smashing trade union offices, beating up Communists, and breaking up Social Democratic meetings. On 28 February chance came to the Nazis’ aid: a lone Dutch anarcho-syndicalist, Marinus van der Lubbe, burned down the Reichstag building in protest against the injustices of unemployment. Hitler and Goring persuaded a willing cabinet effectively to suppress the Communist Party. Four thousand Communists including virtually the entire party leadership were immediately arrested, beaten up, tortured and thrown into newly created concentration camps. There was no let-up in the campaign of violence and brutality in the weeks that followed. By the end of March the Prussian police reported that 20,000 Communists were in prison. By the summer over 100,000 Communists, Social Democrats, trade unionists and others had been arrested, with even official estimates putting the number of deaths in custody at 600. All of this was sanctioned by an emergency decree signed by Hindenburg the night after the fire suspending civil liberties and allowing the cabinet to take any necessary measures to protect public safety. Van der Lubbe’s lone act was portrayed by Joseph Goebbels, soon to become Reich Propaganda Minister, as the result of a Communist conspiracy to stage an armed uprising. This convinced many middle-class voters that the decree was right.
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-Yet the government did not ban the Communists in a formal, legal sense, because it feared that the party’s voters would all desert to the Social Democrats in the elections Hitler had called for 5 March. Amidst massive Nazi propaganda, paid for by an inflow of fresh funds from industry, and violent intimidation, in which most rival political meetings were banned or broken up, the Nazis still failed to achieve an overall majority, peaking at 44 per cent and only getting over the 50 per cent barrier with the help of their conservative Nationalist coalition partners. The Communists still won 12 per cent and the Social Democrats 18 per cent, with the Centre Party holding firm at 11 per cent of the vote. This meant that Hitler and his cabinet colleagues were still far short of the two-thirds majority they needed to alter the constitution. But on 23 March 1933 they still managed to get it by threatening civil war if they were frustrated, and by winning over the Centre Party deputies with the promise of a comprehensive Concordat with the Papacy guaranteeing Catholics’ rights. The so-called Enabling Act passed by the Reichstag that day gave the cabinet the right to rule by decree without reference either to the Reichstag or to the President. Together with the Reichstag Fire Decree it provided the legal pretext for the creation of a dictatorship. Only the ninety-four Social Democratic deputies present voted against it.
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-The Social Democrats and Communists between them had won 221 seats in the Reichstag elections of November 1932 as against 196 for the Nazis and another 51 for the Nazis’ allies the Nationalists. But they failed completely to mount any concerted resistance to the Nazi seizure of power. They were bitterly divided. The Communists, under orders from Stalin in Moscow, labelled the Social Democrats ‘Social Fascists’ and argued that they were worse than the Nazis. The Social Democrats were reluctant to co-operate with a party whose deviousness and unscrupulousness they rightly feared. Their paramilitary organizations fought hard against the Nazis on the streets, but they would have been no match for the army, which backed the Hitler government all the way in 1933, and their numbers were also well below those of the stormtroopers, who numbered more than three-quarters of a million in February 1933. The Social Democrats wanted to avoid bloodshed in this situation, and stayed true to their law-abiding traditions. The Communists believed that the Hitler government was the last gasp of a moribund capitalist system that would quickly collapse, opening the way to a proletarian revolution, so they saw no need to prepare for an uprising. Finally, a general strike was out of the question when unemployment stood at 35 per cent; striking workers would quickly have been replaced by unemployed people desperate to rescue themselves and their families from destitution.
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-Goebbels got the agreement of the trade union leaders to support the creation of a new national holiday on Mayday, a long-held demand of the unions, and turned it into a so-called day of national labour, with hundreds of thousands of workers gathering on Germany’s public squares under the swastika to listen to speeches by Hitler and the other Nazi leaders broadcast over loudspeakers. The next day stormtroopers all over Germany raided trade union and Social Democratic offices and premises, looted them, carried off the funds, and closed them down. Within a few weeks, mass arrests of union officials and Social Democratic leaders, many of whom were beaten up and tortured in makeshift concentration camps, had broken the spirit of the labour movement. Other parties were now targeted in turn. The liberal and splinter parties, reduced by electoral attrition to being small groups on the fringes of politics, were forced to dissolve themselves. A whispering campaign began against Hitler’s Nationalist coalition partners, coupled with the harassment and arrest of Nationalist officials and deputies. Hitler’s chief Nationalist ally, Alfred Hugenberg, was forced to resign from the cabinet, while the party’s floor leader in the Reichstag was found dead in his office in suspicious circumstances. Protests by Hugenberg met with a hysterical outburst from Hitler, in which he threatened a bloodbath if the Nationalists resisted any longer. By the end of June the Nationalists too had been dissolved. The remaining big independent party, the Centre, suffered a similar fate. Nazi threats to sack Catholic civil servants and close down Catholic lay organizations combined with the Papacy’s panic fear of Communism led to a deal, concluded in Rome. The party agreed to dissolve itself in return for the finalization of the Concordat already promised at the time of the Enabling Act. This supposedly guaranteed the integrity of the Catholic Church in Germany along with all its assets and organizations. Time would show that this was not worth the paper it was written on. In the meantime, however, the Centre Party followed the others into oblivion. By the middle of July 1933, Germany was a one-party state, a position ratified by a law formally banning all other parties apart from the Nazis.
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-It was not just parties and trade unions that were abolished however. The Nazi assault on existing institutions affected the whole of society. Every state government, every state parliament in Germany’s federal political system, every town and district and local council was ruthlessly purged; the Reichstag Fire Decree and the Enabling Act were used to dismiss supposed enemies of the state, meaning enemies of the Nazis. Every national voluntary association, and every local club, was brought under Nazi control, from industrial and agricultural pressure-groups to sports associations, football clubs, male voice choirs, women’s organizations - in short, the whole fabric of associational life was Nazified. Rival, politically oriented clubs or societies were merged into a single Nazi body. Existing leaders of voluntary associations were either unceremoniously ousted, or knuckled under of their own accord. Many organizations expelled politically leftish or liberal members and declared their allegiance to the new state and its institutions. This whole process (‘coordination’ in Nazi jargon) went on all over Germany from March to June 1933. By the end, virtually the only non-Nazi associations left were the army and the Churches with their lay organizations. While this was going on, the government passed a law that allowed it to purge the civil service, a vast organization in Germany that included schoolteachers, university staff, judges and many other professions that were not government-controlled in other countries. Social Democrats, liberals and not a few Catholics and conservatives were ousted here too. To save their jobs, at a time when unemployment had reached terrifying dimensions, 1.6 million people joined the Nazi Party between 30 January and 1 May 1933, when the Party leadership banned any more recruiting, while the number of brownshirt paramilitaries grew to over two million by the summer of 1933.
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-The proportion of civil servants, judges and the like who were actually sacked for political reasons was very small. The major reason for dismissal, however, was not political but racial. The civil service law passed by the Nazis on 7 April 1933 allowed dismissal of Jewish civil servants, though Hindenburg had succeeded in getting a clause inserted protecting the jobs of Jewish war veterans and those appointed under the Kaiser, before 1914. The Jews, Hitler claimed, were a subversive, parasitical element who had to be got rid of. In fact most Jews were middle-class, and liberal-to-conservative in their politics, insofar as they had any. Nevertheless Hitler believed that they had deliberately undermined Germany during the First World War and caused the revolution that created the Weimar Republic. A few socialist and Communist leaders had been Jewish, it is true, but the majority were not. For the Nazis this made no difference. The day after the March election, stormtroopers rampaged along the Kurfürstendamm, a fashionable shopping street in Berlin, hunting down Jews and beating them up. Synagogues were trashed, while all over Germany gangs of brownshirts burst into courthouses and dragged off Jewish judges and lawyers, beating them with rubber truncheons and telling them not to return. Jews who were amongst those arrested as Communists or Social Democrats were particularly harshly treated. Over forty Jews had been murdered by stormtroopers by the end of June 1933.
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-Such incidents were widely reported in the foreign press. This formed the pretext for Hitler, Goebbels and the Nazi leadership to put into action a long-mulled-over plan to stage a nationwide boycott of Jewish shops and businesses. On 1 April 1933 stormtroopers stood menacingly outside such premises warning people not to enter them. Most non-Jewish Germans obeyed, but not with any enthusiasm. The biggest Jewish firms were untouched because they contributed too much to the economy. Realizing it had failed to arouse popular enthusiasm, Goebbels called the action off after a few days. But the beatings, the violence and the boycott had their effect on the Jewish community in Germany, 37,000 of whose members had emigrated by the end of the year. The regime’s purge of Jews, whom it defined not by their religious adherence but by racial criteria, had a particular effect in science, culture and the arts. Jewish conductors and musicians such as Bruno Walter and Otto Klemperer were summarily dismissed or prevented from performing. The film industry and radio were rapidly purged of both Jews and political opponents of the Nazis. Non-Nazi newspapers were closed down or brought under Nazi control, while the journalists’ union and the newspaper publishers’ association both placed themselves under Nazi leadership. Left-wing and liberal writers, such as Bertolt Brecht, Thomas Mann and many others, were stopped from publishing; many left the country. Hitler reserved his particular enmity for modern artists like Paul Klee, Max Beckmann, Ernst Ludwig Kirchner and Vassily Kandinsky. Before 1914 he had been rejected from the Vienna Art Academy because his painstakingly representational drawings of buildings had been thought talentless. Under the Weimar Republic, abstract and Expressionist artists had gained wealth and reputation with what Hitler thought were ugly and meaningless daubs. While Hitler railed against modern art in his speeches, gallery and museum directors were sacked and replaced with men who enthusiastically removed modernist works from exhibition. The many modernist artists and composers, like Klee or Schoenberg, who held positions in state educational institutions, were all fired.
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-Altogether about 2,000 people active in the arts emigrated from Germany in 1933 and the following years. They included virtually everyone with an international reputation. Nazi anti-intellectualism was underlined still further by events in the universities. Here too Jewish professors in all fields were dismissed. Many, including Albert Einstein, Gustav Hertz, Erwin Schrödinger, Max Born and twenty past or future Nobel prize winners, left the country. By 1934, some 1,600 out of 5,000 university teachers had been forced out of their jobs, a third because they were Jewish, the rest because they were political opponents of the Nazis. Sixteen per cent of physics professors and assistants emigrated. In the universities it was above all the students, helped by a small number of Nazi professors such as the philosopher Martin Heidegger, who drove the purges on. They forced Jewish and leftist professors out by violent demonstrations, and then, on 10 May 1933, they organized demonstrations in the main squares of nineteen university towns and cities in which huge numbers of books by Jewish and left-wing authors were piled up and set alight. What the Nazis were trying to achieve was a cultural revolution, in which alien cultural influences - notably the Jews but also modernist culture more generally - were eliminated and the German spirit reborn. Germans did not just have to acquiesce in the Third Reich, they had to support it with all their heart and soul, and the creation of the Propaganda Ministry under Joseph Goebbels, which soon acquired control over the whole sphere of culture and the arts, was the main means by which the Nazis sought to achieve this end. Nevertheless, Nazism was in many respects a thoroughly modern phenomenon, keen to use the latest technology, the newest weapons, and the most scientific means of reshaping German society to its will. Race, for the Nazis, was a scientific concept, and by making it the basis of all their policies, they were taking their stand on what they conceived of as the application of scientific method to human society. Nothing, neither religious beliefs, nor ethical scruples, nor long-hallowed tradition, was to get in the way of this revolution. Yet in the summer of 1933, Hitler felt constrained to tell his followers that it was time for the revolution to come to a stop. Germany needed a period of stability. This book begins at that moment, the moment when the destruction of the remnants of the Weimar Republic had been completed and the Third Reich was finally in power.
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 1
 
 THE POLICE STATE
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-Chapter 1. THE POLICE STATE
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-1 . Karl-Heinz Minuth (ed.), Akten der Reichskanzlei: Die Regierung Hitler, 1933- 1934 (2 vols., Boppard, 1983), I. 630-31 (the above quotation combined two different sources for this speech).
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-2 . Kurt Werner and Karl-Heinz Biernat, Die Köpenicker Blutwoche, Juni 1933 (Berlin, 1958).
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-3 . Quoted in Martin Broszat, Der Staat Hitlers: Grundlegung und Entwicklung seiner inneren Verfassung (Munich, 1969), 251-2.
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-4 . Richard J. Evans, The Coming of the Third Reich (London, 2003), 344-9.
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-5 . Richard Bessel, Political Violence and the Rise of Nazism: The Storm Troopers in Eastern Germany 1925-1934 (London, 1984), 97; Peter Longerich, Die braunen Bataillone: Geschichte der SA (Munich, 1989), 184.
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-6 . Bessel, Political Violence, 119-22; for the general background, see Wolfgang Sauer, Die Mobilmachung der Gewalt (Karl Dietrich Bracher et al., Die nationalsozialistische Machtergreifung: Studien zur Errichtung des totalitären Herrschaftssystems in Deutschland 1933/34 (3 vols., Frankfurt am Main, 1974 [1960] III. 255-324).
-
-7 . Peter H. Merkl, Political Violence under the Swastika: 581 Early Nazis (Princeton, 1975), 472-3, quoting Abel testimony no. 58.
-
-8 . Norbert Frei, National Socialist Rule in Germany: The Führer State 1933-1945 (Oxford, 1993 [1987]), 13.
-
-9 . Ibid., 126.
-
-10 . Longerich, Die braunen Bataillone, 179-88.
-
-11 . Heinz Höhne, Mordsache Röhm: Hitlers Durchbruch zur Alleinherrschaft, 1933-1934 (Reinbek, 1984), 127-8.
-
-12 . John W. Wheeler-Bennett, The Nemesis of Power: The German Army in Politics 1918-1945 (London, 1953), 761.
-
-13 . Immo von Fallois, Kalkül und Illusion: Der Machtkampf zwischen Reichswehr und SA während der Röhm-Krise 1934 (Berlin, 1994), 105-8.
-
-14 . Höhne, Mordsache Röhm, 59-122, for Röhm’s growing ambition, and 177-206, for the growing unease of the army leadership. See also Evans, The Coming of the Third Reich, 316-17.
-
-15 . Fallois, Kalkül, 131; Robert J. O’Neill, The German Army and the Nazi Party 1933-1939 (London, 1966), 38-42.
-
-16 . Minuth (ed.), Akten der Reichskanzlei: Die Regierung Hitler, 1933-1934, I. 1,156-8.
-
-17 . Bessel, Political Violence, 130-32, quoting the file on Max Heydebreck in the former Berlin Document Centre, now in the Bundesarchiv Berlin.
-
-18 . Heinrich Bennecke, Die Reichswehr und der ‘Röhm-Putsch’ (Munich, 1964), 43-4; Sauer, Die Mobilmachung, underlines the vagueness and lack of serious political content in Röhm’s concept of revolution (338-9); see also Höhne, Mord sache Röhm, 207-26.
-
-19 Minuth (ed.), Akten der Reichskanzlei: Die Regierung Hitler, 1933-1934, II. 1,393.
-
-20 Frei, National Socialist Rule, 15-16; Edmund Forschbach, Edgar J. Jung: Ein konservativer Revolutionär 30. Juni 1934 (Pfullingen, 1984).
-
-21 . Elke Fröhlich (ed.), Die Tagebücher von Joseph Goebbels: Sämtliche Fragmente, part I: Aufzeichnungen 1924-1941 (Munich, 1987-96), II. 472 (21 May 1934).
-
-22 . Höhne, Mordsache Röhm, 227-38.
-
-23 Klaus Behnken (ed.), Deutschland-Berichte der Sozialdemokratischen Partei Deutschlands (Sopade) 1934-1940 (7 vols., Frankfurt am Main, 1980), I (1934), 99-117, 187.
-
-24 . Minuth (ed.), Akten der Reichskanzlei: Die Regierung Hitler, 1933-1934 II. 1, 197-200; Max Domarus (ed.), Hitler: Speeches and Proclamations 1932-1945: The Chronicle of a Dictatorship (4 vols., London, 1990- [1962-3]), I. 442-6.
-
-25 . Höhne, Mordsache Röhm, 218-24.
-
-26 . Domarus, Hitler, I. 447.
-
-27 . Frohlich (ed.), Die Tagebücher, I/II. 472-3 (29 June 1934).
-
-28 . Franz von Papen, Memoirs (London, 1952), 307-11; Hans-Adolf Jacobsen and Werner Jochmann (eds.), Ausgewählte Dokumente zur Geschichte des Nationalsozialismus (3 vols., Bielefeld, 1961).
-
-29 . Domarus, Hitler, I. 463-4.
-
-30 . Papen, Memoirs, 310-11.
-
-31 . Wheeler-Bennett, Nemesis, 319-20; Höhne, Mordsache Röhm, 239-46.
-
-32 . Longerich, Die braunen Bataillone, 215-16.
-
-33 . Domarus, Hitler, I. 466.
-
-34 O’Neill, The German Army, 72-6; Longerich, Die braunen Bataillone, 215-17; Ian Kershaw, Hitler, I: 1889-1936: Hubris (London, 1998), 510-12; Domarus, Hitler, I. 466-7; Bessel, Political Violence, 131-3; Höhne, Mordsache Röhm, 239-46.
-
-35 . Ralf Georg Reuth, Goebbels: Eine Biographie (Munich, 1990), 313.
-
-36 . Domarus, Hitler, I. 468-9.
-
-37 . Herbert Michaelis and Ernst Schraepler (eds.), Ursachen und Folgen: Vom deutschen Zusammenbruch 1918 und 1945 bis zur staatlichen Neuordnung Deutschlands in der Gegenwart, X: Das Dritte Reich: Die Errichtung des Führerstaates, die Abwendung von dem System der kollektiven Sicherheit (Berlin, 1965), 168-72, document no. 2378 (reminiscences of Erich Kempka, first published in the German illustrated magazine Quick, 1954, no. 24).
-
-38 . Longerich, Die braunen Bataillone, 216-17; Domarus, Hitler, I. 470-71.
-
-39 . Longerich, Die braunen Bataillone, 217-18; Domarus, Hitler, I. 472-7; Kershaw, Hitler, I. 513-14; Behnken (ed.), Deutschland-Berichte, I. 194-5; Hitler’s orders to the SA in Völkischer Beobachter, Sondernummer, 1 July 1934, front page; Röhm’s murder in Karl Buchheim and Karl Otmar von Aretin (eds.), Krone und Ketten: Erinnerungen eines bayerischen Edelmannes (Munich, 1955), 365-6, excerpted and translated in Noakes and Pridham (eds.), Nazism, I. 10.
-
-40 Detailed narrative in Höhne, Mordsache Röhm, 247-96.
-
-41 Report on Schleicher in Erste Beilage der Germania, 180, 2 July 1934: ‘Schleicher und sieben SA-Führer erschossen’; details in Höhne, Mordsache Röhm, 247-96, also for the following paragraphs.
-
-42 . Höhne, Mordsache Röhm, 247-96.
-
-43 . Bessel, Political Violence, 133-7.
-
-44 . Goring later declared that he had ‘extended my task by striking a blow against these malcontents too’. That he did this spontaneously and on his own initiative on hearing of the events in Munich, as some historians have maintained, must be doubted in view of the care with which the rest of the action had been prepared, and the vehemence with which Hitler had denounced Papen and his associates a few days before. For the view that the action was ‘improvised’, see Longerich, Die braunen Bataillone, 218 (though his principal evidence, the statement by Goring, does not in fact demonstrate that he decided to ‘extend’ his task spontaneously and without consultation; the need to explain himself was obvious given the fact that the justification for the purge was provided by the supposed activities of Röhm, not those of Schleicher and Papen); for evidence of careful advance planning, see Bessel, Political Violence, 133-7. Further details in Kershaw, Hitler, I. 512-15; and Heinz Höhne, The Order of the Death’s Head: The Story of Hitler’s SS (London, 1972 [1966]), 85-121. Sauer, Die Mobilmachung, 334-64, notes the systematic work of preparation carried out by Hitler and the Party leadership from April onwards, stressing the importance of the propaganda offensive against Röhm and the SA, particularly within the Party. For Ballerstedt, see Evans, The Coming of the Third Reich, 181. For Ludendorff, see Harald Peuschel, Die Männer um Hitler: Braune Biographien, Martin Bormann, Joseph Goebbels, Hermann Göring, Reinhard Heydrich, Heinrich Himmler und andere (Düsseldorf, 1982).
-
-45 . ‘Goebbels erstattet Bericht: Die grosse Rede des Reichspropagandaministers’, Berliner Tageblatt, 307, 2 July 1934, 3.
-
-46 . Minuth (ed.), Akten der Reichskanzlei: Die Regierung Hitler, 1933-1934, I. 1,354-8; press report in Berliner Tageblatt, 310, 4 July 1934, front page.
-
-47 . Erste Beilage der Germania, 180, 2 July 1934; ibid., 181, 3 July 1934; Berliner Tageblatt, 306, 1 July 1934, 2; for the ‘purge’ see particularly Göring’s declaration, as reported in ibid., page 3, and Völkischer Beobachter, 182/183, ½ July 1934, front page.
-
-48 . Domarus, Hitler, I. 498.
-
-49 . Kershaw, Hitler, I. 517-22. Postwar attempts to bring the surviving killers to justice are documented in Otto Gritschneider, ‘Der Führer hat Sie zum Tode verurteilt’ ...’: Hitlers ‘Röhm-Putsch’ - Morde vor Gericht (Munich, 1993).
-
-50 Bernd Stover (ed.), Berichte über die Lage in Deutschland: Die Meldungen der Gruppe Neu Beginnen aus dem Dritten Reich 1933-1936 (Bonn, 1996), 169-85, for some samples.
-
-51 . Behnken (ed.), Deutschland-Berichte, I. 197-203; Martin Broszat et al. (eds.), Bayern in der NS-Zeit (6 vols., Munich, 1977-83), I. 71 (Bekirksamt Ebermannstadt, Halbmonatsbericht, 14 July 1934); Thomas Klein (ed.), Die Lageberichte der Geheimen Staatspolizei über die Provinz Hessen-Nassau 1933-1936 (Cologne, 1986), 117; Wolfgang Ribbe (ed.), Die Lageberichte der Geheimen Staatspolizei über die Provinz Brandenburg und die Reichshauptstadt Berlin 1933 bis 1936, I: Der Regierungsbezirk Potsdam (Cologne, 1998), 141-2; Berliner Illustrierte Nachtausgabe, 151, 2 July 1934, front page, for the crowd; ibid., 153, 4 July 1934, front page, for the police warning; for the Propaganda Ministry, see Gabriele Toepser-Ziegert (ed.), NS-Presseanweisungen der Vorkriegszeit: Edition und Dokumentation, II: 1934 (Munich, 1985), 264 (3 July 1934).
-
-52 . Ian Kershaw, The ‘Hitler Myth’: Image and Reality in the Third Reich (Oxford, 1987), 83-95.
-
-53 Jochen Klepper, Unter dem Schatten deiner Flügel: Aus den Tagebüchern der Jahre 1932-1942 (Stuttgart, 1955), 194.
-
-54 . Staatsarchiv Hamburg 622-1, 11/511-13: Familie Solmitz: Luise Solmitz geb. Stephan, 1889-1973, Tagebuch: vols. 28 and 29, entries for 21 March 1933, 3 April 1933, 30 June 1934 (transcripts are held in the Forschungsstelle für Zeitgeschichte in Hamburg).
-
-55 See the list in Höhne, Mordsache Röhm, 319-21.
-
-56 Longerich, Die braunen Bataillone, 223; Bessel, Political Violence, 147-8.
-
-57 Longerich, Die braunen Bataillone, 227-30.
-
-58 Höhne, The Order, 113, 118, citing Der Spiegel, 15 May 1957, page 29, and Bennecke, Die Reichswehr und der ‘Röhm-Putsch’, 65, 87-8; Peter Hoffmann, Claus Schenk Graf von Stauffenberg und seine Brüder (Stuttgart, 1992), 132; Hermann Foertsch, Schuld und Verhängnis: Die Fritsch-Krise im Frühjahr 1938 als Wendepunkt in der Geschichte der nationalsozialistischen Zeit (Stuttgart, 1951), 57-8.
-
-59 Ferdinand Sauerbruch, Das war mein Leben (Bad Wörishofen, 1951), 519-20; for the dating of the visit, see Kershaw, Hitler, I. 748, n. 144. Papen, Memoirs, 334, denies this.
-
-60 . Tagebuch Luise Solmitz, 2 August 1934; Minuth (ed.), Akten der Reichskanzlei: Die Regierung Hitler, 1933-1934, II. 1,384-90. In fact, Hitler did use the title ‘Reich President’ again, when appointing Dönitz his successor in his ‘Political Testament’. This illustrated the hypocrisy of his reference to the title’s ‘indissoluble’ connection with Hindenburg; the reality was that the title of ‘Leader’ was indissolubly connected with Hitler and derived purely from his own person. See Hans Buchheim, ‘The SS - Instrument of Domination’, in Helmut Krausnick et al., Anatomy of the SS State (London, 1968 [1965]), 127-301, at 137.
-
-61 . Minuth (ed.), Akten der Reichskanzlei: Die Regierung Hitler, 1933-1934, I. 1,385 n. 6.
-
-62 O’Neill, The German Army, 85-91.
-
-63 . Ibid., 85-91; for Beck, see Gert Buchheit, Ludwig Beck, ein preussischer General (Munich, 1964), 46.
-
-64 O’Neill, The German Army, 87.
-
-65 . Buchheim, ‘The SS’, 127-32, quoting Ernst Rudolf Huber, Verfassungsrecht des Grossdeutschen Reiches (Hamburg, 1939). For the Boxheim putsch plans, see The Coming of the Third Reich, 274.
-
-66 . Ibid., 454-6.
-
-67 . Ernst Fraenkel, The Dual State: Law and Justice in National Socialism (New York, 1941).
-
-68 . Minuth (ed.), Akten der Reichskanzlei: Die Regierung Hitler, 1933-1934, I. 648 (Lammers to Hess, 11 July 1933).
-
-69 Victor Klemperer, Tagebücher 1933-1934 (Ich will Zeugnis ablegen bis zum letzten: Tagebücher 1933-1945, I) (Berlin, 1999 [1995]), 42-3 (20 July 1933).
-
-70 Reprinted and translated in Noakes and Pridham (eds.), Nazism, II. 39-40; see also the following commentary and documents, ibid., 41-64.
-
-71 . Ibid., 39-51; Broszat, Der Staat Hitlers, 244-73, 301-25; for Bormann and Hess, see Evans, The Coming of the Third Reich, 219-20, 176-7.
-
-72 . Noakes and Pridham (eds.), Nazism, II. 52-64.
-
-73 Ibid., 57.
-
-74 Alfred Kube, ‘Hermann Goring: Second Man in the Third Reich’, in Ronald Smelser and Rainer Zitelmann (eds.), The Nazi Elite (Basingstoke, 1993 [1989]), 62-73, at 65-6; also more generally Alfred Kube, Pour le mérite und Hakenkreuz: Hermann Göring im Dritten Reich (Munich, 1987 [1986]), and Stefan Martens, Hermann Göring: ‘Erster Paladin des Führers’ und ‘Zweiter Mann im Reich’ (Paderborn, 1985).
-
-75 Buchheim, ‘The SS’, 142-3; Höhne, The Order, 70-76; Evans, The Coming of the Third Reich, 226-30.
-
-76 Höhne, The Order, 124-8.
-
-77 Ibid. 121-32.
-
-78 Ibid., 131-6; Josef Ackermann, Heinrich Himmler als Ideologe (Gottingen, 1970), 253-4.
-
-79 . Hans Peter Bleuel, Strength Through Joy: Sex and Society in Nazi Germany (London, 1973 [1972]), 199.
-
-80 Gunnar C. Böhnert, ‘An Analysis of the Age and Education of the SS Führerkorps 1925-1939’, Historical Social Research, 12 (1979), 4-17; Friedrich Zipfel, ‘Gestapo and SD: A Sociographic Profile of the Organisers of the Terror’, in Stein U. Larsen et al. (eds.), Who Were the Fascists? Social Roots of European Fascism (Bergen, 1980), 301-11.
-
-81 . Hanno Sowade, ‘Otto Ohlendorf: Non-conformist, SS Leader and Economic Functionary’, in Smelser and Zitelmann (eds.), The Nazi Elite, 155-64, here 155-8. For the wider background, see Michael Wildt, Generation des Unbedingten: Das Führungskorps des Reichssicherheitshauptamtes (Hamburg, 2002), 41-208.
-
-82 Joachim C. Fest, The Face of the Third Reich (London, 1979 [1963]), 152-70, and Günther Deschner, ‘Reinhard Heydrich: Security Technocrat’, in Smelser and Zitelmann (eds.), The Nazi Elite, 85-96, provide contrasting character sketches.
-
-83 Höhne, The Order, 147-57.
-
-84 Shlomo Aronson, Reinhard Heydrich und die Frühgeschichte von Gestapo und SD (Stuttgart, 1971).
-
-85 . For his own account of his resignation, see Rudolf Diels, Lucifer ante Portas: Es spricht der erste Chef der Gestapo (Stuttgart, 1950). For the complicated history of all these developments, see Christoph Graf, ‘Kontinuitäten und Brüche. Von der Politischen Polizei der Weimarer Republik zur Geheimen Staatspolizei’, in Gerhard Paul and Klaus-Michael Mallmann (eds.), Die Gestapo - Mythos und Realität (Darmstadt, 1995), 73-83, and Johannes Tuchel, ‘Gestapa und Reichs sicherheitshauptamt. Die Berliner Zentralinstitutionen der Gestapo’, in ibid., 84-100.
-
-86 George C. Browder, Foundations of the Nazi Police State: The Formation of Sipo and SD (Lexington, Ky., 1990); idem, Hitler’s Enforcers: The Gestapo and the SS Security Service in the Nazi Revolution (New York and Oxford, 1996); and Peter Nitschke, ‘Polizei und Gestapo. Vorauseilender Gehorsam oder polykratischer Konflikt?’, in Paul and Mallmann (eds.), Die Gestapo, 306-22.
-
-87 . The best recent account of these events is Michael Schneider, Unterm Hakenkreuz: Arbeiter und Arbeiterbewegung 1933 bis 1939 (Bonn, 1999), 34-120; see also Evans, The Coming of the Third Reich, 316-49, 355-61.
-
-88 For a brief general introduction, see Detlev J. K. Peukert, ‘Working-Class Resistance: Problems and Options’, in David Clay Large (ed.), Contending with Hitler: Varieties of German Resistance in the Third Reich (Washington, D.C., 1991), 35-48.
-
-89 Werner Blumenberg, Kämpfer für die Freiheit (Berlin, 1959).
-
-90 Details in Gerhard Hetzer, ‘Die Industriestadt Augsburg. Eine Sozialgeschichte der Arbeiteropposition’, in Martin Broszat et al. (eds.), Bayern, III. 1-234, esp. 182-200; Helmut Beer, Widerstand gegen den Nationalsozialismus in Nurnberg 1933-1945 (Nuremberg, 1976); Heike Breitschneider, Der Widerstand gegen den Nationalsozialismus in München 1933 bis 1945 (Munich, 1968); Kurt Klotz bach, Gegen den Nationalsozialismus: Widerstand und Verfolgung in Dortmund 1930-1945: Eine historisch-politische Studie (Hanover, 1969); Hans-Josef Steinberg, Widerstand und Verfolgung in Essen 1933-1945 (Hanover, 1969); Karl Ditt, Sozialdemokraten im Widerstand: Hamburg in der Anfangsphase des Dritten Reiches (Hamburg, 1984), and numerous other local or regional studies; more generally, Schneider, Unterm Hakenkreuz, 928-62.
-
-91 Otto Buchwitz, 50 Jahre Funktionär der deutschen Arbeiterbewegung (Stutt gart, 1949), 156-63.
-
-92 Erich Matthias, Mit dem Gesicht nach Deutschland (Düsseldorf, 1968), 215-25; English translation of the salient parts in Susanne Miller and Heinrich Potthoff, A History of German Social Democracy: From 1848 to the Present (Leamington Spa, 1986), 265-7.
-
-93 . Gerd-Rainer Horn, ‘Radicalism and Moderation within German Social Democracy in Underground and Exile, 1933-1936’, German History, 15 (1997), 200-220; Detlef Lehnert, Sozialdemokratie zwischen Protestbewegung und Regierungspartei 1848 bis 1983 (Frankfurt am Main, 1983), 155-64.
-
-94 . Hetzer, ‘Die Industriestadt Augsburg’, gives a vivid impression of these disagreements. See also Lewis J. Edinger, German Exile Politics: The Social Democratic Executive Committee in the Nazi Era (Berkeley, Calif., 1956).
-
-95 . William Sheridan Allen, ‘Social Democratic Resistance against Hitler and the European Tradition of Underground Movements’, in Francis R. Nicosia and Lawrence D. Stokes (eds.), Germans Against Nazism: Nonconformity, Opposition and Resistance in the Third Reich: Essays in Honour of Peter Hoffmann (Oxford, 1990), 191-204.
-
-96 . Hans Gerd Schumann, Nationalsozialismus und Gewerkschaftsbewegung: Die Vernichtung der deutschen Gewerkschaften und der Aufbau der Deutschen Arbeitsfront (Hanover, 1958), 128-30.
-
-97 . Franz Osterroth and Dieter Schuster, Chronik der deutschen Sozialdemokratie (Hanover, 1963), 389; Ditt, Sozialdemokraten, 87-8; Allen, ‘Social Democratic Resistance’, 191-2; Schneider, Unterm Hakenkreuz, 1,065-9.
-
-98 Francis L. Carsten, The German Workers and the Nazis (London, 1995); Schneider, Unterm Hakenkreuz, 866, 887-9, 1,004-8; Richard Lowenthal, Die Widerstandsgruppe ‘Neu Beginnen’ (Berlin, 1982); Jan Foitzik, Zwischen den Fronten: Zur Politik, Organisation und Funktion linker politischer Kleinorganisationen im Widerstand 1933 bis 1939/40 (Bonn, 1986); Stover (ed.), Berichte, xix-xxxix.
-
-99 . Hermann Weber, Die Wandlung des deutschen Kommunismus: Die Stalinisierung der KPD in der Weimarer Republik (abridged edn, Frankfurt am Main, 1971 [1969]), 245-6.
-
-100 . Eric D. Weitz, Creating German Communism, 1890-1990: From Popular Protests to Socialist State (Princeton, 1997), 286-9.
-
-101 Horst Duhnke, Die KPD von 1933 bis 1945 (Cologne, 1972); Schneider, Unterm Hakenkreuz, 902-26; more generally, Margot Pikarski and Günter Uebel (eds.), Gestapo-Berichte: Über den antifaschistischen Widerstandskampf der KPD 1933 bis 1945 (3 vols., Berlin, 1989-90). For the leaflets, see Peter Dohms (ed.), Flugschriften in Gestapo-Akten: Nachweis und Analyse der Flugschriften in den Gestapo-Akten des Hauptstaatsarchivs Düsseldorf (Siegburg, 1977) and Margot Pikarski and Günter Uebel (eds.), Die KPD lebt! Flugblätter aus dem antifaschis tischen Widerstandskampf der KPD, 1933-1945 (Berlin, 1980).
-
-102 Detlev J. K. Peukert, Die KPD im Widerstand: Verfolgung und Untergrundarbeit an Rhein und Ruhr, 1933 bis 1945 (Wuppertal, 1980), 106-9.
-
-103 Allan Merson, Communist Resistance in Nazi Germany (London, 1985), 127.
-
-104 See the pessimistic reports in Stover (ed.), Berichte, 34-5, 87-90.
-
-105 Edward H. Carr, Twilight of the Comintern, 1930-1935 (London, 1982); Beatrix Herlemann, Die Emigration als Kampfposten: Die Anleitung des kommunistischen Widerstandes in Deutschland aus Frankreich, Belgien und den Niederlanden (Königstein im Taunus, 1982); Hermann Weber, ‘Die KPD in der Illegalität’, in Richard Löwenthal and Patrick von zur Mühlen (eds.), Widerstand und Verweigerung in Deutschland 1933 bis 1945 (Berlin, 1982), 83-101.
-
-106 . Weitz, Creating German Communism, 292-300.
-
-107 . Merson, Communist Resistance, 124-52; Peukert, Die KPD im Widerstand; Eric A. Johnson, Nazi Terror: The Gestapo, Jews, and Ordinary Germans (New York, 1999), 161-94.
-
-108 . Weitz, Creating German Communism, 289-91.
-
-109 . See for example Hetzer, ‘Die Industriestadt Augsburg’, 150-78.
-
-110 . Schneider, Unterm Hakenkreuz, 1,061-4.
-
-111 . Anne Applebaum, Gulag: A History of the Soviet Camps (London, 2003), and Robert Conquest’s classic The Great Terror: A Reassessment (London, 1992 [1968]); Simon Sebag Montefiore, Stalin: The Court of the Red Tsar (London, 2003) (121-38 for the murder of Kirov).
-
-112 Weber, Die Wandlung, 357-8; idem, ‘Weisse Flecken’ in der Geschichte: Die KPD-Opfer der Stalinistischen Säuberungen und ihre Rehabilitierung (Frankfurt am Main, 1990); and Institut fur die Geschichte der Arbeiterbewegung (ed.), In den Fängen des NKWD: Deutsche Opfer des stalinistischen Terrors in der UdSSR (Berlin, 1991).
-
-113 . Richard J. Evans, Rituals of Retribution: Capital Punishment in Germany 1600-1987 (Oxford, 1996), 620-23. The principle in question is known to jurists as nulla poena sine lege.
-
-114 Günther Wieland, Das war der Volksgerichtshof: Ermittlungen, Fakten, Dokumente (Pfaffenweiler, 1989), 15-18; Evans, Rituals, 622-4, 576-7.
-
-115 . Hans Joachim Bernhard et al. (eds.), Der Reichstagsbrandprozess und Georgi Dimitroff: Dokumente (2 vols., Berlin, 1981-9); Georgi Dimitroff, Reichstagsbrandprozess: Dokumente, Briefe und Aufzeichnungen (Berlin, 1946).
-
-116 Völkischer Beobachter, 24 December 1934, quoted in Wieland, Das war der Volksgerichtshof, 15.
-
-117 . Gerhard Fieberg (ed.), Im Namen des deutschen Volkes: Justiz und Nationalsozialismus: Katalog zur Ausstellung des Bundesministers der Justiz (Cologne, 1989), 267.
-
-118 Wieland, Das war der Volksgerichtshof, 22-9; Hannes Heer, Ernst Thälmann in Selbszeugnissen und Bilddokumenten (Reinbek, 1975), 119-27.
-
-119 . Wieland, Das war der Volksgerichtshof, 45; see also especially Klaus Marxen, Das Volk und sein Gerichtshof: Eine Studie zum nationalsozialistischen Volksgerichtshof (Frankfurt am Main, 1994), and Walter Wagner, Der Volksgerichtshof im nationalsozialistischen Staat (Stuttgart, 1974).
-
-120 Marxen, Das Volk, 57-61, 79-87; Holger Schluter, Die Urteilspraxis des nationalsozialistischen Volksgerichtshofs (Berlin, 1995).
-
-121 Ingo Müller, ‘Nationalsozialistische Sondergerichte. Ihre Stellung im System des deutschen Strafverfahrens’, in Martin Bennhold (ed.), Spuren des Unrechts: Recht und Nationalsozialismus. Beiträge zur historischen Kontinuität (Cologne, 1989), 17-34; Hans Wüllenweber, Sondergerichte im Dritten Reich: Vergessene Verbrechen der Justiz (Frankfurt am Main, 1990). Among numerous local studies, see especially Robert Bohn and Uwe Danker (eds.), ‘Standgericht der inneren Front’: Das Sondergericht Altona/Kiel 1932-1945 (Hamburg, 1998); Karl-Dieter Bornscheuer (ed.), Justiz im Dritten Reich: NS-Sondergerichtsverfahren in Rheinland-Pfalz: Eine Dokumentation (3 vols., Frankfurt am Main, 1994, an exemplary documentary collection); Gisela Diewald-Kerkmann et al., Vor braunen Richtern: Die Verfolgung von Widerstandshandlungen, Resistenz und sogenannter Heimtücke durch die Justiz in Bielefeld 1933-1945 (Bielefeld, 1992); Christiane Oehler, Die Rechtsprechung des Sondergerichts Mannheim 1933-1945 (Berlin, 1997); Herbert Schmidt, ‘Beabsichtige ich die Todesstrafe zu beantragen’: Die nationalsozialistische Sondergerichtsbarkeit im Oberlandesgerichtsbezirk Düsseldorf 1933 bis 1945 (Essen, 1998); Gerd Weckbecker, Zwischen Freispruch und Todesstrafe: Die Rechtsprechung der nationalsozialistischen Sondergerichte Frankfurt a.M. und Bromberg (Baden-Baden, 1998).
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-122 Evans, Rituals, 643-4, 659, 662; Bernhard Düsing, Die Geschichte der Abschaffung der Todesstrafe in der Bundesrepublik Deutschland unter besonderer Berücksichtigung ihres parlamentarischen Zustandekommens (Schwenningen/ Neckar, 1952), 210-11.
-
-123 . Quoted in Anthony McElligott, ‘Das Altonaer Sondergericht und der Prozess vom Blutsonntag’ (Vortrag im Rahmen der Veranstaltung des Stadtteilarchivs Ottensen, der Bezirksversammlung und der Kulturbehörde, Hamburg-Altona, 3 June 1992), 20-21. These sentences, on the twenty-year-old Bruno Tesch and three others, were finally retrospectively annulled in November 1992.
-
-124 . Evans, Rituals, 644-5.
-
-125 . Jan Valtin (pseudonym of Richard Krebs), Out of the Night (London, 1941, reprinted with postscript by Lyn Walsh et al., London, 1988), 318-20.
-
-126 Lothar Gruchmann, Justiz im Dritten Reich, 1933-1940: Anpassung und Unterwerfung in der Ära Gürtner (Munich, 1988), 897-8; Martin Hirsch et al. (eds.), Recht, Verwaltung und Justiz im Nationalsozialismus: Ausgewählte Schriften, Gesetze und Gerichtsentscheidungen von 1933 bis 1945 (Cologne, 1984), 421-556; Eduard Kohlrausch (ed.), Deutsche Strafgesetze vom 19. Dezember 1932 bis 12. Juni 1934 (Berlin, 1934); Evans, Rituals, 624-50; and especially Bernward Dörner, ‘Heimtücke’: Das Gesetz als Waffe: Kontrolle, Abschreckung und Verfolgung in Deutschland, 1933-1945 (Paderborn, 1998). For the judges, see Ralph Angermund, Deutsche Richterschaft 1919-1945: Krisenerfahrung, Illusion, politische Rechtssprechung (Frankurt am Main, 1990).
-
-127 . Edmund Mezger, Kriminalpolitik auf kriminologischer Grundlage (Stuttgart, 1934), v.
-
-128 Gruchmann, Justiz, 822-924; Jürgen Regge and Werner Schubert (eds.), Quellen zur Reform des Straf- und Strafprozessrechts, 2. Abteilung: NS-Zeit (1933-1939) - Strafgesetzbuch, I: Entwürfe eines Strafgesetzbuchs; II: Protokolle der Strafrechtskommission des Reichsjustizministeriums (2 vols., Berlin, 1988-9).
-
-129 ‘Rede des Reichsrechtsführers Reichsminister Dr. Frank auf dem zweiten Empfangsabend des Wirtschaftsrates der Deutschen Akademie in Berlin über die Grundlagen der nationalsozialistischen Rechtsauffassung’, 21 January 1936: document no. 59, in Paul Meier-Benneckenstein (ed.), Dokument der deutschen Politik (6 vols., Berlin, 1935-9), IV: Deutschlands Aufstieg zur Grossmacht 1936, 337- 46.
-
-130 . Klaus Drobisch, ‘Alltag im Zuchthaus Luckau 1933 bis 1939’, in Dietrich Eichholtz (ed.), Verfolgung, Alltag, Widerstand: Brandenburg in der NS-Zeit: Studien und Dokumente (Berlin, 1993), 247-72, at 269-70.
-
-131 . Cited in Nikolaus Wachsmann, Hitler’s Prisons: Legal Terror in Nazi Germany (New Haven, 2004), 179.
-
-132 . Ibid., 165-83.
-
-133 . Ibid., the minutes of the 1937 meeting are reprinted in Fieberg (ed.), Justiz, 160-61.
-
-134 Düsing, Die Geschichte, 10-11; Evans, Rituals, 915-16; see also Wilfried Knauer (ed.), Nationalsozialistische Justiz und Todesstrafe: Eine Dokumentation zur Gedenkstätte in der Justizvollzugsanstalt Wolfenbüttel (Braunschweig, 1991).
-
-135 For an exhaustive survey of the varieties of hereditarian and partial or qualified hereditarian theories of criminality in this period, see Richard Wetzell, Inventing the Criminal: A History of German Criminology 1880-1945 (Chapel Hill, N.C., 2000), 179-232.
-
-136 . Christian Muller, Das Gewohnheitsverbrechergesetz vom 24. November 1933: Kriminalpolitik als Rassenpolitik (Baden-Baden, 1997); idem, ‘ “Modernes” Strafrecht im Nationalsozialismus: Das Gewohnheitsverbrechergesetz vom 24. 11. 1933’, in Franz-Josef Düwell and Thomas Bormbaum (eds.), Themen juristischer Zeitgeschichte, III (Baden-Baden, 1999), 46-70.
-
-137 . Nikolaus Wachsmann, ‘From Indefinite Confinement to Extermination: “Habitual Criminals” in the Third Reich’, in Robert Gellately and Nathan Stoltzfus (eds.), Social Outsiders in Nazi Germany (Princeton, 2001), 165-91, esp. 171-2; Wachsmann, Hitler’s Prisons, 128-35.
-
-138 . Ibid., 67.
-
-139 . Ibid., 90-114; Erich Kosthorst and Bernd Walter, Konzentrations- und Strafgefangenenlager im Dritten Reich: Beispiel Emsland (3 vols., Düsseldorf, 1983); Elke Suhr, Die Emslandlager: Die politische und wirtschaftliche Bedeutung der emslandischen Konzentrations- und Strafgefangenenlager 1933-1945 (Bremen, 1985).
-
-140 . Friedrich Schlotterbeck, The Darker the Night, The Brighter the Stars! A German Worker Remembers (1933-1945) (London, 1947), 61-2.
-
-141 . Ibid.
-
-142 . Wachsmann, Hitler’s Prisons, 78-88.
-
-143 . Wachsmann, ‘From Indefinite Confinement’, 174.
-
-144 . Wachsmann, Hitler’s Prisons, 69-71 and figure 1.
-
-145 . Ibid., 70.
-
-146 . Gruchmann, Justiz, 897-8.
-
-147 . Michael Haerdter (ed.), Wohnsitz: Nirgendwo: Vom Leben und Überleben auf der Strasse (Berlin, 1982); Wolfgang Ayass, ‘Asoziale’ im Nationalsozialismus (Stuttgart, 1995); Klaus Scherer, ‘Asoziale’ im Dritten Reich: Die vergessenen Verfolgten (Münster, 1990); Gellately and Stoltzfus (eds.), Social Outsiders.
-
-148 . Quoted in Patrick Wagner, ‘ “Vernichtung der Berufsverbrecher”. Die vorbeugende Verbrechensbekampfung der Kriminalpolizei bis 1937’, in Herbert et al. (eds.), Die nationalsozialistischen Konzentrationslager: Entwicklung und Struktur (2 vols., Gottingen, 1998), I. 87-110, at 101.
-
-149 . Ibid. (useful survey of the literature in vol. I, 17-40); Johannes Tuchel, Konzentrationslager: Organisationsgeschichte und Funktion der ‘Inspektion der Konzentrationslager’ 1934-1938 (Boppard, 1991) and Karin Orth, Das System der nationalsozialistischen Konzentrationslager: Eine politische Organisationsgeschichte (Hamburg, 1999).
-
-150 . Ibid., 23-6; Klaus Drobisch and Günther Wieland, System der NS Konzentrationslager 1933-1939 (Berlin, 1993), 71-5; Klaus Drobisch, ‘Fruhe Konzentrationslager’, in Karl Giebeler et al. (eds.), Die fruhen Konzentrationslager in Deutschland: Austausch zum Forschungsstand und zur padagogischen Praxis in Gedenkstatten (Bad Boll, 1996), 41-60; Falk Pingel, Haftlinge unter SSHerrschaft: Widerstand, Selbstbehauptung und Vernichtung im Konzentrationslager (Hamburg, 1978), 30-49.
-
-151 . Evans, The Coming of the Third Reich, 345.
-
-152 . Martin Broszat, ‘The Concentration Camps 1933-1945’, in Krausnick et al., Anatomy of the SS State, 397-496, at 408-31.
-
-153 . Rudolf Hoss, Commandant of Auschwitz: The Autobiography of Rudolf Hoess (London, 1959 [1951]), 263; see also Klaus Drobisch, ‘Theodor Eicke. Verkörperung des KZ-Systems’, in Helmut Bock et al. (eds.), Sturz ins Dritte Reich: Historische Miniaturen und Porträts 1933/35 (Leipzig, 1983), 283-9; Charles W. Sydnor, Soldiers of Destruction: The SS Death’s Head Division, 1933-1945 (Princeton, N.J., 1990 [1977]), 3-36; and, more generally, Hans-Günter Richardi, Schule der Gewalt: Das Konzentrationslager Dachau, 1933-1934 (Munich, 1983), esp. 119-26, for Eicke.
-
-154 . See Barbara Distel and Ruth Jakusch, Konzentrationslager Dachau, 1933- 1945 (Munich, 1978), 68-9; for the replacement of the early camps by an organized system, see also Johannes Tuchel, ‘Planung und Realitat des Systems der Konzentrationslager 1934-1938’, in Herbert et al. (eds.), Die nationalsozialistischen Konzentrationslager, 43-59; and Giebeler et al. (eds.), Die frühen Konzentrationslager .
-
-155 . Hoss, Commandant, 83-4.
-
-156 . Ibid., 74-5.
-
-157 . Broszat, ‘Concentration Camps’, 429-45.
-
-158 . Ibid., 43 6; Pingel, Haftlinge, 50; more generally, Tuchel, Konzentrationslager, 121-58.
-
-159 . Wachsmann, Hitler’s Prisons, 113; Noakes and Pridham (eds.), Nazism, II. 326.
-
-160 . Wachsmann, Hitler’s Prisons, 128.
-
-161 . Gunther Kimmel, ‘Das Konzentrationslager Dachau: Eine Studie zu den nationalsozialistischen Gewaltverbrechen’, in Broszat et al. (eds.), Bayern, II. 349-413, esp. 351-72; Orth, Das System, 33-5; Ulrich Herbert, ‘Von der Gegenerbekämpfung zur “rassischen Generalpravention”. “Schutzhaft” und Konzentrationslager in der Konzeption der Gestapo-Führung 1933-1939’, in idem et al. (eds.), Die nationalsozialistischen Konzentrationslager, 60-81.
-
-162 . Tuchel, ‘Planung und Realitat’; Herbert, ‘Von der Gegnerbekämpfung zur “rassischen Generalpravention” ’, 60-86.
-
-163 . Günter Morsch, ‘Oranienburg-Sachsenhausen, Sachsenhausen-Oranienburg’, in Herbert et al. (eds.), Die nationalsozialistischen Konzentrationslager, 111-34, at 127-9.
-
-164 . Pingel, Häftlinge, 80-87; Orth, Das System, 53.
-
-165 . Evans, The Coming of the Third Reich, 378-80.
-
-166 . Ayass, ‘Asoziale’, 22-4; Pingel, Häftlinge, 27.
-
-167 . Patrick Wagner, Volksgemeinschaft ohne Verbrecher: Konzeptionen und Praxis der Kriminalpolizei in der Zeit der Weimarer Republik und des Nationalsozialismus (Hamburg, 1996), 271.
-
-168 . Ayass, ‘Asoziale’, 140-65.
-
-169 . Quoted in ibid., 153.
-
-170 . Ibid.
-
-171 . Paul B. Jaskot, The Architecture of Oppression: The SS, Forced Labor and the Nazi Monumental Building Economy (London, 2000), 21-4.
-
-172 . Ayass, ‘Asoziale’, 169-72; Orth, Das System, 46-54.
-
-173 . Broszat, ‘Concentration Camps’, 446-59; Toni Siegert, ‘Das Konzentrationslager Flossenburg, gegründet fur sogenannte Asoziale und Kriminelle’, in Broszat et al. (eds.), Bayern, II. 429-93; Michael Burleigh and Wolfgang Wippermann, The Racial State: Germany 1933-1945, 167-73; Jeremy Noakes, ‘Social Outcasts in the Third Reich’, in Richard Bessel (ed.), Life in the Third Reich (Oxford, 1987), 183-96.
-
-174 . Orth, Das System, 48-9; Pingel, Haftlinge, 35-9; Hermann Kaienburg, ‘Funktionswandel des KZ-Kosmos? Das Konzentrationslager Neuengamme 1938- 1945’, in Herbert et al. (eds.), Konzentrationslager, 259-84; idem, ‘Vernichtung durch Arbeit’: Der Fall Neuengamme: Die Wirtschaftsbestrebungen des SS und ihre Auswirkungen auf die Existenzbedingungen der KZ-Gefangenen (Bonn, 1990).
-
-175 . Orth, Das System, 56-9. For these laws and regulations that landed these various categories in the camps, see also below, Chapter 6; for the categories, see also Paul Martin Neurath, Die Gesellschaft des Terrors: Innenansichten der Konzentrationslager Dachau und Buchenwald (Frankfurt am Main, 2004), 86-112. Neurath’s book was originally presented as a doctoral dissertation to Columbia University, New York, in 1951.
-
-176 . Walter Poller, Arztschreiber in Buchenwald: Bericht des Häftlings 996 aus Block 39 (Hamburg, 1946), 9-22; quote on 21-2.
-
-177 . Orth, Das System, 59-61; Poller, Arztschreiber, 23-74; more generally, Wolfgang Sofsky, Die Ordnung des Terrors: Das Konzentrationslager (Frankfurt am Main, 1993), 27-40.
-
-178 . Poller, Arztschreiber, 75-105; for camp music, see Guido Fackler, ‘Des Lagers Stimme’: Musik im KZ: Alltag und Häftlingskultur in den Konzentrationslagern 1933 bis 1936 (Bremen, 2000).
-
-179 . Leo Stein, I Was in Hell with Niemöller (London, 1942), 113-47.
-
-180 . Neurath, Die Gesellschaft, 44-86.
-
-181 . Ibid., 113-32; Hans Buchheim, ‘Command and Compliance’, in Krausnick et al., Anatomy, 303-96.
-
-182 . Poller, Arztschreiber, 227.
-
-183 . Lothar Gruchmann, ‘Die bayerische Justiz im politischen Machtkampf 1933/ 34: Ihr Scheitern bei der Strafverfolgung von Mordfallen in Dachau’, in Broszat et al. (eds.), Bayern, II. 415-28.
-
-184 . See the various press reports reproduced in Kimmel, ‘Das Konzentrationslager’, 356-8.
-
-185 . Sybil Milton, ‘Die Konzentrationslager der dreissiger Jahre im Bild der inund auslandischen Presse’, in Herbert et al. (eds.), Die nationalsozialistischen Konzentrationslager, 135-47; Falk Pingel, ‘Konzeption und Praxis der nationalsozialistischen Konzentrationslager 1933 bis 1938. Kommentierende Bemerkungen’, in ibid., 148-66, esp. 157-60.
-
-186 . Quoted from a variety of contemporary sources in Klaus-Michael Mallmann and Gerhard Paul, ‘Omniscient, Omnipotent, Omnipresent? Gestapo, Society and Resistance’, in David F. Crew (ed.), Nazism and German Society 1933-1945 (London, 1994), 166-96, esp. 167-9; and Robert Gellately, The Gestapo and German Society: Enforcing Racial Policy 1933-1945 (Oxford, 1990), esp. 4-8.
-
-187 . Mallmann and Paul, ‘Omniscient, Omnipotent, Omnipresent?’, 174-7.
-
-188 . Höhne, The Order, 162-3; Andreas Seeger, ‘Vom bayerischen “Systembeamten” zum Chef der Gestapo. Zur Person und Tätigkeit Heinrich Mullers (1900-1945)’, in Paul and Mallmann (eds.), Die Gestapo, 255-67.
-
-189 . Hohne, The Order, 167-9; Volker Eichler, ‘De Frankfurter Gestapo-Kartei. Entstehung, Struktur, Funktion, Überlieferungsgeschichte und Quellenwert’, in Paul and Mallmann (eds.), Die Gestapo, 178-99; Rainer Eckert, ‘Gestapo-Berichte. Abbildungen der Realitat oder reine Spekulation?’, in ibid., 200-218.
-
-190 . Melita Maschmann, Account Rendered: A Dossier on My Former Self (London, 1964), 43-5.
-
-191 . Valtin, Out of the Night, 448-73. For the historical realities behind Krebs’s imaginative account of his own life, see Ernst von Waldenfels, Der Spion, der aus Deutschland kam: Das geheime Leben des Seemanns Richard Krebs (Berlin, 2003), for these events 179-209.
-
-192 . Valtin, Out of the Night, 487.
-
-193 . Waldenfels, Der Spion, 210-58.
-
-194 . Valtin, Out of the Night, 512-51; Dieter Nelles, ‘Jan Valtins “Tagebuch der Holle” - Legende und Wirklichkeit eines Schlusselromans der Totalitarismustheorie’, 1999: Zeitschrift fur Sozialgeschichte des 20. und 21. Jahrhunderts, 9 (1994), 11-45, provides a hostile account which corrects Krebs’s narrative in many details, but is itself corrected on the larger picture in Waldenfels’s more balanced approach.
-
-195 . For a full account, see Waldenfels, Der Spion, 209-58, esp. 214, 220, 237; see also the detailed but not entirely convincing critical review of this book by Dieter Nelles, ‘Die Rehabilitation eines Gestapo-Agenten: Richard Krebs/Jan Valtin’, Sozial-Geschichte, 18 (2003), 148-58.
-
-196 . Mallmann and Paul, ‘Omniscient, Omnipotent, Omnipresent?’.
-
-197 . Ibid.; Gellately, The Gestapo, 144-58; Robert Gellately, ‘The Gestapo and German Society: Political Denunciation in the Gestapo Case Files’, Journal of Modern History, 6 (1988), 654-94; Martin Broszat, ‘Politische Denunziationen in der NS-Zeit: Aus Forschungserfahrungen im Staatsarchiv München’, Archivalische Zeitschrift, 73 (1977), 221-38; percentage analysis in Reinhard Mann, Protest und Kontrolle im Dritten Reich: Nationalsozialistische Herrschaft in Alltag einer rheinischen Grossstadt (Frankfurt am Main, 1987), 295; see also Gisela Diewald-Kerkmann, Politische Denunziation im NS-Regime oder die kleine Macht der ‘Volksgenossen’ (Bonn, 1995), and eadem, ‘Denunziantentum und Gestapo. Die freiwilligen “Helfer” aus der Bevölkerung’, in Paul and Mallmann (eds.), Die Gestapo, 288-305 (for the Gestapo’s distaste for those who sent in denunciations for personal motives).
-
-198 . Weckbecker, Zwischen Freispruch und Todesstrafe, 77, 388, 779-800; Manfred Zeidler, Das Sondergericht Freiberg: Zu Justiz und Repression in Sachsen, 1933-1940 (Dresden, 1998); Oehler, Die Rechtsprechung; Hans-Ulrich Ludewig and Dietrich Kuessner, ‘Es sei also jeder gewarnt’: Das Sondergericht Braunschweig 1933-1945 (Braunschweig, 2000); Klaus Bästlein, ‘Sondergerichte in Norddeutschland als Verfolgungsinstanz’, in Frank Bajohr (ed.), Norddeutschland im Nationalsozialismus (Hamburg, 1993), 218-38.
-
-199 . Peter Huttenberger, ‘Heimtuckefalle vor dem Sondergericht Munchen 1933- 1939’, in Broszat et al. (eds.), Bayern, IV. 435-526.
-
-200 . Ibid., esp. 452-57, 473-92.
-
-201 . Helmut Prantl (ed.), Die kirchliche Lage in Bayern nach den Regierungsprasidentenberichten 1933-1943, V: Regierungsbezirk Pfalz 1933-1940 (Mainz, 1978), 157-8 (Monatsbericht der Regierung Speyer, 6 March 1937); Klaus-Michael Mallmann and Gerhard Paul, Herrschaft und Alltag: Ein Industrierevier im Dritten Reich (Bonn, 1991), 327-53.
-
-202 . Hüttenberger, ‘Heimtuckefälle’, 512; Mallmann and Paul, Herrschaft, 175-245.
-
-203 . Bernward Dörner, ‘NS-Herrschaft und Denunziation. Anmerkungen zu Defiziten in der Denunziationsforschung’, Historical Social Research, 26 (2001), 55-69, at 58-61.
-
-204 . Mann, Protest und Kontrolle, 292; the source of the Gestapo’s information could not be found in 13 per cent of the cases.
-
-205 . Hetzer, ‘Die Industriestadt Augsburg’, 146-50. 206. Ibid., 146-50. For pubs as centres of communication and socialization, see Richard J. Evans (ed.), Kneipengesprache im Kaiserreich: Die Stimmungsberichte der Hamburger Politischen Polizei 1892-1914 (Reinbek, 1989).
-
-207 . Victor Klemperer, I Shall Bear Witness: The Diaries of Victor Klemperer 1933-1941 (London, 1998 [1995]), 29.
-
-208 . Friedrich Reck-Malleczewen, Diary of a Man in Despair (London, 2000 [1947]), 52-3.
-
-209 . Hans-Jochen Gamm, Der Flüsterwitz im Dritten Reich: Mündliche Dokumente zur Lage der Deutschen wahrend des Nationalsozialismus (Munich, 1990 [1963]), 41, 52.
-
-210 . Ibid., 37.
-
-211 . Ibid., 42.
-
-212 . Cited in Meike Wohlert, Der politische Witz in der NS-Zeit am Beispiel ausgesuchter SD-Berichte und Gestapo-Akten (Frankfurt am Main, 1997), 150- 5 1. Wöhlert’s claim that most jokes were told in public is open to doubt, however, since those told in private seldom came to the attention of the Gestapo and the SS Security Service, whose reports form the basis for her work.
-
-213 . Klepper, Unter dem Schatten, 194.
-
-214 . Wöhlert, Der politische Witz, 156-63.
-
-215 . Ibid., 44.
-
-216 . Klemperer, Tagebücher 1933-34, 9 (10 March 1933).
-
-217 . Ibid., 19 (2 April 1933).
-
-218 . Charlotte Beradt, Das Dritte Reich des Traums (Frankfurt am Main, 1981 [1966]); 7 for this particular dream.
-
-219 . Ibid., 19-22, 40, 74.
-
-220 . Ibid., 5. Ley’s statement can be found in Robert Ley, Soldaten der Arbeit (Munich, 1938), 71.
-
-221 . Detlef Schmiechen-Ackermann, ‘Der “Blockwart”. Die unteren Parteifunktionare im nationalsozialistischen Terror- und Überwachungsapparat’, Viertel jahrshefte fur Zeitgeschichte (VfZ) 48 (2000), 575-602; also Dieter Rebentisch, ‘Die “politische Beurteilung” als Herrschaftsinstrument der NSDAP’, in Detlev Peukert and Jurgen Reulecke (eds.), Die Reihen fast geschlossen: Beitrage zur Geschichte des Alltags unterm Nationalsozialismus (Wuppertal, 1981), 107-28, on local party groups as instruments of surveillance and control.
-
-222 . Bernward Dörner, ‘Alltagsterror und Denunziation. Zur Bedeutung von Anzeigen aus der Bevolkerung fur die Verfolgungswirkung des nationalsozialistischen “Heimtucke-Gesetzes” in Krefeld’, in Berliner Geschichtswerkstatt (ed.), Alltagskultur, Subjektivitat und Geschichte: Zur Theorie und Praxis der Alltagsgeschichte (Münster, 1994), 254-71.
-
-223 . Ulrich Herbert, “‘Die guten und die schlechten Zeiten”. Überlegungen zur diachronen Analyse lebensgeschichtlicher Interviews’, in Lutz Niethammer (ed.), ‘Die Jahre weiss man nicht, wo man die heute hinsetzen soll’: Faschismuserfahrungen im Ruhrgebiet (Berlin, 1983), 67-96, interview with Willi Erbach on 73-6.
-
-224 . Karl Dietrich Bracher, Stufen der Machtergreifung (vol. I of Bracher et al., Die nationalsozialistische Machtergreifung), 475-7; Otmar Jung, Plebiszit und Diktatur: Die Volksabstimmungen der Nationalsozialisten. Die Fälle ‘Austritt aus ‘Anschluss Osterreicbs’ dem Völkerbund’ (1933), ‘Staatsoberhaupt’ (1934) und ‘Anschluss Osterreichs’ (1938) (Tübingen, 1995).
-
-225 . Klemperer, I Shall Bear Witness, 36 (23 October 1933).
-
-226 . Bracher, Stufen, 475-85. For the plebiscite, see below, 618-19.
-
-227 . Behnken (ed.), Deutschland-Berichte, II (1934), 347-9; Bracher, Stufen 485- 98. Jews were still allowed to vote in this election. Robert Gellately, Backing Hitler: Consent and Coercion in Nazi Germany (Oxford, 2001), 14-16, takes these fabricated results as ‘remarkable’ evidence of ‘popular backing’ for the Nazi regime. Hans-Ulrich Wehler, Deutsche Gesellschaftsgeschichte, IV: Vom Beginn des ersten Weltkriegs bis zur Grundung der beiden deutschen Staaten 1914-1949 (Munich, 2003), 614, goes so far as to claim, without considering the evidence, that the plebiscites reflected the real views of the German people, ‘since a systematic strategy of manipulation was not pursued’, a claim made with reference to the 1933 plebiscite but also (e.g. 652) implicitly to later ‘elections’ as well. For Wehler’s drastic underplaying of the terroristic component of Nazi rule, see Rudiger Hachtmann, ‘Bürgertum, Revolution, Diktatur - zum vierten Band von Hans-Ulrich Wehlers “Gesellschaftsgeschichte” ’, Sozial-Geschichte, 19 (2004), 60-87, at 77-83.
-
-228 . Tagebuch Luise Solmitz, 19 August 1934.
-
-229 . Klemperer, I Shall Bear Witness, 79 (21 August 1934). Klemperer and his wife both voted ‘no’, as in the previous plebiscite.
-
-230 . Behnken (ed.), Deutschland-Berichte, V (1938), 415-26; Theodor Eschenburg, ‘Streiflichter zur Geschichte der Wahlen im Dritten Reich’, VfZ 3 (1955), 311-6; the skimmed milk story is recounted in Hohne, The Order, 201; for the bishop, see Paul Kopf and Max Miller (eds.), Die Vertreibung von Bischof Joannes Baptista Sproll von Rottenburg 1938-1945: Dokumente zur Geschichte des kirchlichen Widerstands (Mainz, 1971). For a good local study of the elections and plebiscites from 1933 to 1938, see Hetzer, ‘Die Industriestadt Augsburg’, 137-46. A vote of 98 per cent had already been achieved in 1936.
-
-231 . Tagebuch Luise Solmitz, 29 March 1936. For details of the unprecedented terror and chicanery in these elections, see Behnken (ed.), Deutschland-Berichte, III (1936), 407-60.
-
-232 . Jeremy Noakes, ‘The Origins, Structure and Function of Nazi Terror’, in Noel O’Sullivan (ed.), Terrorism, Ideology and Revolution (Brighton, 1986), 67-87, makes the point that after 1933 terror was threatened more often than used; for the argument that this was because most Germans had learned to show outward conformity with the dictates of the regime, see below, 495-7.
-
-233 . Robert G. Gellately, ‘Die Gestapo und die deutsche Gesellschaft: Zur Entstehungsgeschichte einer selbstuberwachenden Gesellschaft’, in Detlef SchmiechenAckermann (ed.), Anpassung, Verweigerung, Widerstand: Soziale Milieus, Politische Kultur und der Widerstand gegen den Nationalsozialismus in Deutschland im regionalen Vergleich (Berlin, 1997), 109-21; idem, ‘Allwissend und allgegenwartig? Entstehung, Funktion und Wandel des Gestapo-Mythos’, in Paul and Mallmann (eds.), Die Gestapo, 47-72, at 67.
-
-234 . Werner Rohr, ‘Uber die Initiative zur terroristischen Gewalt der Gestapo - Fragen und Einwande zu Gerhard Paul’, in idem and Brigitte Berlekamp (eds.), Terror, Herrschaft und Alltag im Nationalsozialismus: Probleme der Sozialgeschichte des deutschen Faschismus (Munster, 1995), 211-24.
-
-235 . Diewald-Kerkmann, Politische Denunziation, 63.
-
-236 . For an example of the recent tendency to trivialize the brutality and ideological commitment of the Gestapo, see Gerhard Paul and Klaus-Michael Mallmann, ‘Auf dem Wege zu einer Sozialgeschichte des Terrors: Eine Zwischenbilanz’, in idem (eds.), Die Gestapo, 3-18 (attacking ‘the image of the Gestapo officer as a brutal, criminal-psychopathic demon in a black leather overcoat’, 11). Examples of the willingness of some Gestapo officers to employ physical violence and torture are provided in Hans-Dieter Schmid, “‘Anständige Beamte” und “uble Schläger”. Die Staatspolizeileitstelle Hannover’, in ibid., 133-60.
-
-237 . Dörner, ‘NS-Herrschaft’, 61-8.
-
-238 . Gellately, ‘Allwissend und Allgegenwartig?’.
-
-239 . For a powerful statement of these, and similar points, see Michael Burleigh, The Third Reich. A New History (London, 2000), 149-215.
-
-240 . Bernward Dorner, ‘Gestapo und “Heimtucke”. Zur Praxis der Geheimen Staatspolizei bei der Verfolgung von Verstössen gegen das “Heimtücke-Gesetz” ’, in Paul and Mallmann (eds.), Die Gestapo, 325-43, at 341.
-
-241 . Charles Townshend, Terrorism: A Very Short Introduction (Oxford, 2002), 36-52.
-
-242 . Dieter Nelles, ‘Organisation des Terrors im Nationalsozialismus’, Sozialwissenschaftliche Literatur-Rundschau, 25 (2002), 5-28; Karl-Heinz Reuband, ‘Denunziation im Dritten Reich. Die Bedeutung von Systemunterstützung und Gelegenheitsstrukturen’, Historical Social Research, 26 (2001), 219-34.
-
-243 . Herbert, “‘Die guten und die schlechten Zeiten” ’, interview with Willi Erbach, at 73-6.
-
-
-
-Chapter 2. THE MOBILIZATION OF THE SPIRIT
-
-1 . Helmut Heiber (ed.), Goebbels-Reden (2 vols., Düsseldorf, 1971-2), I: 1932-39, 131-41 (Berlin, Grosser Saal der Philharmonie - Eroffnung der Reichskulturkammer, 15. 11. 33) and 82-107 (Berlin, Haus des Rundfunks - Ansprache an die Intendanten und Direktoren der Rundfunkgesellschaften, 25. 3. 33), at 82, 88, 131-4.
-
-2 . Ibid., 92-3.
-
-3 . Josef Wulf, Die bildenden Künste im Dritten Reich: Eine Dokumentation (Gutersloh, 1963), 94, reproduces the decree.
-
-4 . Evans, The Coming of the Third Reich, 392-461, for the cultural revolution of 1933.
-
-5 . Quoted in Zbynek Zeman, Nazi Propaganda (Oxford, 1973), 38, citing Karlheinz Schmeer, Die Regie des öffentlichen Lebens im Dritten Reich (Munich, 1956), 28.
-
-6 . Werner Skrentny, ‘Terrassen, Hochhäuser und die 13 Laden: Hoheluft und Eimsbuttel’, in idem (ed.), Hamburg zu Fuss: 20 Stadtteilrundgänge durch Ge schichte und Gegenwart (Hamburg 1986), 133. For the creation of Adolf-Hitler-Platz in Mittlerweilersbach, in Bavaria, for example, see Broszat et al. (eds.), Bayern, I. 69. More generally, see Richard Grunberger, A Social History of the Third Reich (Harmondsworth, 1974 [1971]), 101-22.
-
-7 . Ernest Kohn Bramsted, Goebbels and National Socialist Propaganda 1925- 1945 (East Lansing, Mich., 1965), 203-18.
-
-8 . Speech of Bavarian Education Minister Hans Schemm, quoted in Münchner Neueste Nachrichten, 21 April 1933, cited and translated in Kershaw, The ‘Hitler Myth’, 58-9.
-
-9 . Tagebuch Luise Solmitz, 17 August 1934.
-
-10 . Kershaw, The ‘Hitler Myth’, 60.
-
-11 . Ibid., 48-60.
-
-12 . Ibid., 67-9, 84-95; Peter Reichel, Der schöne Schein des Dritten Reiches: Faszination und Gewalt des Faschismus (Munich, 1991), 138-56.
-
-13 . Peter Reichel, “‘Volksgemeinschaft” und Fuhrer-Mythos’, in Bernd Ogan and Wolfgang W. Weiss (eds.), Faszination und Gewalt: Zur politischen Ästhetik des Nationalsozialismus (Nuremberg, 1992), 137-50, at 138-42.
-
-14 . Frederic Spotts, Hitler and the Power of Aesthetics (London, 2002), 56-72. See more generally Wolfgang Benz, ‘The Ritual and Stage Management of National Socialism. Techniques of Domination and the Public Sphere’, in John Milfull (ed.), The Attractions of Fascism: Social Psychology and the Aesthetics of the ‘Triumph of the Right’ (New York, 1990), 273-88. For flags, standards and other symbols, see Horst Ueberhorst, ‘Feste, Fahnen, Feiern: Die Bedeutung politischer Symbole und Rituale im Nationalsozialismus’, in Rudiger Voigt (ed.), Symbole der Politik, Politik der Symbole (Opladen, 1989), 157-78. For the cult of sacrifice, see Jay W. Baird, To Die for Germany: Heroes in the Nazi Pantheon (Bloomington, Ind., 1990).
-
-15 . William L. Shirer, Berlin Diary: The Journal of a Foreign Correspondent 1934-1941 (London, 1970 [1941]), 22-7.
-
-16 . Hilmar Hoffmann, The Triumph of Propaganda: Film and National Socialism 1933-1945 (Providence, R.I., 1996), 151-7; Reichel, Der schöne Schein, 116-38; Yvonne Karow, Deutsches Opfer: Kultische Selbstausloschung auf den Reichsparteitagen der NSDAP (Berlin, 1997); Siegfried Zelnhefer, Die Reichsparteitage der NSDAP: Geschichte, Struktur und Bedeutung der grossten Propagandafeste im nationalsozialistischen Feierjahr (Neustadt an der Aisch, 1991); idem, ‘Die Reichsparteitage der NSDAP’, in Ogan and Weiss (eds.), Faszination und Gewalt, 79-94; Hans-Ulrich Thamer, ‘Von der “Asthetisierung der Politik”: Die Nürnberger Parteitage der NSDAP’, in ibid., 95-103.
-
-17 . For a good analysis, see David Welch, Propaganda and the German Cinema 1933-1945 (Oxford, 1983), 147-59.
-
-18 . Longerich, Die braunen Bataillone, 227-30; Zelnhefer, ‘Die Reichsparteitage’, points out that the SS sealed off Nuremberg’s red-light district during the Rally. See also above, p. 40.
-
-19 . For a detailed analysis, emphasizing the pseudo-religious aspects of the Rally, see Herbert Heinzelmann, ‘Die Heilige Messe des Reichsparteitages. Zur Zeichen-sprache von Leni Riefenstahls “Triumph des Willens” ’, in Ogan and Weiss (eds.), Faszination und Gewalt, 163-8.
-
-20 . Welch, Propaganda, 158-9; Kershaw, The ‘Hitler Myth’, 69-70; see also Siegfried Kracauer, From Caligari to Hitler: A Psychological History of the German Film (Princeton, 1947), 300-303.
-
-21 . Leni Riefenstahl, Memoiren 1902-1945 (Berlin, 1990 [1987]), esp. 185-231. For a celebrated critical essay on Riefenstahl’s work, see Susan Sontag, ‘Fascinating Fascism’, in Brandon Taylor and Wilfried van der Will (eds.), The Nazification of Art: Art, Design, Music, Architecture and Film in the Third Reich (Winchester, 1990), 204-18; more generally, Glenn B. Infield, Leni Riefenstahl: The Fallen Film Goddess (New York, 1976).
-
-22 . Speech at the Kaiserhof, 28 March 1933, reprinted in Gerd Albrecht (ed.), Der Film im Dritten Reich: Eine Dokumentation (Karlsruhe, 1979), 26-31, unabridged translation in David Welch (ed.), The Third Reich: Politics and Propaganda (London, 2002), 185-9.
-
-23 . Heiber (ed.), Goebbels-Reden, I. 82-107, at 95 (speech of 25 March 1933).
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-24 . Goebbels’s interview with the magazine Licht-Bild-Bühne, 13 October 1933, repeating a phrase first used in a speech of 19 May 1933, cited in Volkischer Beobachter, 20 May 1933, both quoted in Welch, Propaganda, 76-7.
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-25 . Ibid., 75-88.
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-26 . Ibid., 88-93. For the analysis of a similar film, Hitler Youth Quex, see Eric Rentschler, The Ministry of Illusion: Nazi Cinema and its Afterlife (Cambridge, Mass., 1996), 53-69; Jay W. Baird, ‘From Berlin to Neubabelsberg: Nazi Film Propaganda and Hitler Youth Quex’, Journal of Contemporary History, 18 (1983), 495-515, and the interesting discussion by a distinguished anthropologist, Gregory Bateson, ‘An Analysis of the Nazi Film Hitlerjunge Quex’, in Margaret Mead and Rhoda Métraux (eds.), The Study of Culture at a Distance (Chicago, 1953), 302-14.
-
-27 . Welch, Propaganda, 31; Boguslaw Drewniak, Der deutsche Film 1938-45: Ein Gesamtüberblick (Düsseldorf, 1987), 621 and passim for statistics on the film industry.
-
-28 . Welch, Propaganda, 159-64; Marcus S.Phillips, ‘The Nazi Control of the German Film Industry’, Journal of European Studies, 1 (1971), 37-68, at 53; also Baird, To Die For Germany, 172-201.
-
-29 . Welch, Propaganda, 11-14; Andrea Winkler-Mayerhöpfer, Starkult als Propagandamittel: Studien zum Unterhaltungsfilm im Dritten Reich (Munich, 1992).
-
-30 . Carsten Laqua, Wie Micky unter die Nazis fiel: Walt Disney und Deutschland (Reinbek, 1992), 15-35, 45, 56-61. The ‘e’ was dropped from Mickey’s name in German because this would have altered the original pronunciation.
-
-31 . Ibid., 65-71, 81, 86-7, 93-6.
-
-32 . Welch, Propaganda, 11-13; also Wolfgang Becker, Film und Herrschaft: Organisationsprinzipien und Organisationsstrukturen der nationalsozialistischen Filmpropaganda (Berlin, 1973), esp. 32-67, and 67-98 on censorship; see also Kraft Wetzel and Peter Hagemann, Zensur: verbotene deutsche Filme 1933-1945 (Berlin, 1978), and Klaus-Jurgen Maiwald, Filmzensur im NS-Staat (Dortmund, 1983).
-
-33 . Jürgen Spiker, Film und Kapital: Der Weg der deutschen Filmwirtschaft zum nationalsozialistischen Einheitskonzern (Berlin, 1975), esp. 168-82; Klaus Kreimeier, The UFA Story: A History of Germany’s Greatest Film Company 1918-1945 (New York, 1996), 205-65.
-
-34 . Welch, Propaganda, 17-24, 30-38; Reichel, Der schöne Schein, 180-207.
-
-35 . Welch, Propaganda, 43; Karsten Witte, ‘Die Filmkomödie im Dritten Reich’, in Horst Denkler and Karl Prümm (eds.), Die deutsche Literatur im Dritten Reich: Themen, Traditionen, Wirkungen (Stuttgart, 1976), 347-65; see also Erwin Leiser, Nazi Cinema (London, 1974 [1968]).
-
-36 . Joseph Wulf, Theater und Film im Dritten Reich: Eine Dokumentation (Gütersloh, 1963), 329, quoting Film-Kurier, 29 September 1933; see also ibid., 330; also more generally, Felix Moeller, Der Filmminister: Goebbels und der Film im Dritten Reich (Berlin, 1998), and Stephen Lowry, Pathos und Politik: Ideologie in Spielfilmen des Nationalsozialismus (Tübingen, 1991).
-
-37 . See generally David S.Hull, Film in the Third Reich: A Study of the German Cinema 1933-1945 (Berkeley, Calif., 1969); Gerd Albrecht, Nationalsozialistische Filmpolitik: Eine soziologische Untersuchung über die Spielfilme des Dritten Reichs (Stuttgart, 1969), esp. 284-311; Karsten Witte, Lachende Erben, Toller Tag: Filmkomödie im Dritten Reich (Berlin, 1995); and Linda Schulte-Saase, Entertaining the Third Reich: Illusions of Wholeness in Nazi Cinema (Durham, N.C., 1996), arguing for the political significance of Nazi entertainment cinema.
-
-38 . Welch, Propaganda, 191-203, Hoffmann, The Triumph, 192-210.
-
-39 . Welch, The Third Reich, 38-41; Joseph Wulf, Presse und Funk im Dritten Reich: Eine Dokumentation (Gütersloh, 1963), 315-18; Grunberger, A Social History, 506-11; Inge Marssolek, ‘Radio in Deutschland 1923-1960: Zur Sozialgeschichte eines Mediums’, Geschichte und Gesellschaft, 27 (2001), 207-39, at 217; manufacturers were removed from the Reich Radio Chamber in 1934 and passed into the domain of the Reich Ministry of Economics (ibid., 40-41). The Chamber was merged in November 1939 into the Reich Radio Company (Wulf, Presse und Funk, 299-304). See also Inge Marssolek and Adelheid von Saldern (eds.),Zuhören und Gehörtwerden, I: Radio im Nationalsozialismus: Zwischen Lenkung und Ablenkung (Tübingen, 1998), and Florian Cebulla, Rundfunk und ländliche Gesellschaft 1924-1945 (Göttingen, 2004), esp. 209-46.
-
-40 . Klepper, Unter dem Schatten, 59 (25 May 1933), 65-6 (7 June 1933), 85 (10 July 1933); see also Evans, The Coming of the Third Reich, 408-9. The German Publishing Institution (Deutsche Verlags-Anstalt) was his publisher.
-
-41 . Heiber (ed.), Goebbels-Reden, I. 91-4.
-
-42 . Marssolek, ‘Radio’, 217.
-
-43 . Heiber (ed.), Goebbels-Reden, I. 91-4.
-
-44 . Welch, The Third Reich, 40-42; Ribbe (ed.), Die Lageberichte, I. 144-5, 162, 189; Grunberger, A Social History, 507; Norbert Frei and Johannes Schmitz, Journalismus im Dritten Reich (Munich, 1989), 86-7; figures from Hans Pohle, Der Rundfunk als Instrument der Politik: Zur Geschichte des Rundfunks von 1923 bis 1928 (Hamburg, 1955), 327-9; more generally, Ansgar Diller, Rundfunkpolitik im Dritten Reich (Munich, 1980); Nanny Drechsler, Die Funktion der Musik im deutschen Rundfunk 1933-1945 (Pfaffenweiler, 1988); Reichel, Der schöne Schein, 159-79; Gerhard Hay, ‘Rundfunk und Hörspiel als “Fuhrungsmit tel” des Nationalsozialismus’, in Denkler and Prümm (eds.), Die deutsche Litera tur, 366-81; Hans-Jörg Koch, Das Wunschkonzert im NS-Rundfunk (Cologne, 2003), 168-271; Uta C. Schmidt, ‘Der Volksempfänger: Tabernakel moderner Massenkultur’, in Inge Marssolek and Adelheid von Saldern (eds.), Radiozeiten: Herrschaft, Alltag, Gesellschaft (1924-1960) (Potsdam, 1999), 136-59. Television was only at an experimental stage in the 1930s; broadcasts were made to receivers located in shop windows: see Klaus Winker, Fernsehen unterm Hakenkreuz: Organisation, Programm, Personal (Cologne, 1994).
-
-45 . Heinz Boberach (ed.), Meldungen aus dem Reich, 1938-1945: Die geheimen Lageberichte des Sicherheitsdienstes der SS (17 vols., Herrsching, 1984), II. 277-8.
-
-46 . Alan E. Steinweis, ‘Weimar Culture and the Rise of National Socialism: The Kampfbund für deutsche Kultur’, Central European History, 24 (1991), 402-23.
-
-47 . See Reinhard Bollmus, Das Amt Rosenberg und seine Gegner: Studien zum Machtkampf im nationalsozialistischen Herrschaftssystem (Stuttgart, 1970).
-
-48 . Hildegard Brenner, Die Kunstpolitik des Nationalsozialismus (Reinbek, 1963), 7-21, 73-86, provides a good narrative.
-
-49 . Reuth, Goebbels, 226.
-
-50 . Spotts, Hitler, 3-9, 74-5; Reichel, Der schöne Schein, 83-100.
-
-51 . Welch, The Third Reich, 30-32; Alan E. Steinweis, ‘Cultural Eugenics: Social Policy, Economic Reform, and the Purge of Jews from German Cultural Life’, in Glenn R. Cuomo (ed.), National Socialist Cultural Policy (New York, 1995), 23-37; Jonathan Petropoulos, ‘A Guide through the Visual Arts Administration of the Third Reich’, in ibid., 121-53; Brenner, Die Kunstpolitik, 53-63.
-
-52 . Spotts, Hitler, 76-7; Alan E. Steinweis, Art, Ideology, and Economics in Nazi Germany: The Reich Chambers of Music, Theater, and the Visual Arts (Chapel Hill, N.C., 1993), 4-6, 34-49, 83-102; Jonathan Petropoulos, Art as Politics in the Third Reich (Chapel Hill, N.C., 1996), 34-8, 64-70.
-
-53 . Ibid., 51-6.
-
-54 . Erik Levi, Music in the Third Reich (New York, 1994), 14-23; Spotts, Hitler, 74; Petropolous, Art, 38-40.
-
-55 . Steinweis, ‘Cultural Eugenics’, 28-9.
-
-56 . Modris Eksteins, The Limits of Reason: The German Democratic Press and the Collapse of Weimar Democracy (Oxford, 1975), 25-8, 125-33, 167-72, 215, 251-4.
-
-57 . Ibid., 260, 268-9, 272-3, 275, 277-9, 283-6, 290, 303; Günther Gillessen, Auf verlorenem Posten: Die Frankfurter Zeitung im Dritten Reich (Berlin, 1986), 44-63.
-
-58 . Ibid., 329-69, 537; Frei and Schmitz, Journalismus, 51-2; for Nazi hostility to the Feuilleton, see Wulf, Presse und Funk, 197-208.
-
-59 . Numerous examples in Gillessen, Auf verlorenem Posten.
-
-60 . Klein (ed.), Die Lageberichte, 525 (November, 1935), 551-3 (December, 1935); Gillessen, Auf verlorenem Posten, 342-3.
-
-61 . Ibid., 383.
-
-62 . Klein (ed.), Die Lageberichte, 574 (January, 1936).
-
-63 . Quoted in Eksteins, The Limits of Reason, 291.
-
-64 . Gillessen, Auf verlorenem Posten, 146; Gillessen’s powerfully argued defence of the paper and its staff (527-38) cannot conceal the extent of the compromises they had to make with the regime; see the balanced but generally pessimistic verdict in Frei and Schmitz, Journalismus, 51-3. For a parallel case, the liberal quality daily the Berlin Daily News-Sheet (Berliner Tageblatt), see the documentary edition, mixed with personal reminiscences, by Margret Boveri, Wir lügen alle: Eine Hauptstadtzeitung unter Hitler (Olten, 1965).
-
-65 . Eksteins, The Limits of Reason, 202-4; Oron J. Hale, The Captive Press in the Third Reich (Princeton, N.J., 1964), 289-99; Bramsted, Goebbels, 124-42.
-
-66 . Welch, The Third Reich, 43-6; Hale, The Captive Press, 143-68; Eksteins, The Limits of Reason, 281-311; Wulf, Presse und Funk, 39. The continued ownership of the Frankfurt Newspaper by I.G. Farben up to 1938 was a notable testimony to the vast influence wielded by the corporation in the Third Reich. See below, 370-71, 375-6.
-
-67 . Welch, The Third Reich, 46; Noakes and Pridham (eds.), Nazism, II. 193-5; text of the law in Wulf, Presse und Funk, 72-6. For Nazi concern not to offend ‘religious sensibilities’ in 1933, see below.
-
-68 . Norbert Frei, Nationalsozialistische Eroberung der Provinzpresse: Gleichschaltung, Selbsanpassung und Resistenz in Bayern (Stuttgart, 1980), esp. 164-7, 322-4; Hale, The Captive Press, 102-42, for the Party and the publishing industry at national and Gau level.
-
-69 . Grunberger, A Social History, 492-506; Hermann Froschauer and Renate Geyer, Quellen des Hasses: Aus dem Archiv des ‘Sturmer’ 1933-1945 (Nurem berg, 1988); Fred Hahn (ed.), Lieber Stürmer! Leserbriefe an das NS-Kampfblatt 1924-1945 (Stuttgart, 1978).
-
-70 . Wulf, Presse und Funk, 87-99. For a recent edition, see Gabriele Toepser-Ziegert (ed.), NS-Presseanweisungen der Vorkriegszeit. Edition und Dokumentation , I: 1933; II: 1934; III: 1935; IV: 1936; and the following volumes: V: 1937; VI: 1938, ed. Karen Peter (Munich, 1985-98). For background on policy, Karl-Dietrich Abel, Presselenkung im NS-Staat: Eine Studie zur Geschichte der Publizistik in der nationalsozialistischen Zeit (Berlin, 1990 [1968]).
-
-71 . See more generally Jürgen Hagemann, Die Presselenkung im Dritten Reich (Bonn, 1970), esp. 25-60; Fritz Sänger, Politik der Täuschungen: Missbrauch der Presse im Dritten Reich: Weisungen, Informationen, Notizen, 1933-1939 (Vienna, 1975); and Henning Storek, Dirigierte Öffentlichkeit: Die Zeitung als Herrschaftsmittel in den Anfangsjahren der nationalsozialistischen Regierung (Opladen, 1972).
-
-72 . Gillessen, Auf verlorenem Posten, 224; for the regime’s campaign against the Catholic press, see Hale, The Captive Press, 169-89, and below, 235.
-
-73 . Welch, The Third Reich, 47; Grunberger, A Social History, 504.
-
-74 . Klein (ed.), Die Lageberichte, 244-5; Ribbe (ed.), Die Lageberichte, I. 144-5 (Regierungspräsident Potsdam, August 1934).
-
-75 . Wulf, Presse und Funk, 84 and 279, quoted and translated in Noakes and Pridham (eds.), Nazism, II. 202.
-
-76 . David Bankier, The Germans and the Final Solution: Public Opinion under Nazism (Oxford, 1992), 20-27; Hale, The Captive Press, 57, 145-63, 231.
-
-77 . Heiber (ed.), Goebbels-Reden, I. 174-205 (Berlin: Sitzungssaal des ehemaligen Preussischen Herrenhauses - 1. Reichspressetag des Reichsverbandes der Deutschen Presse, 18. 11. 34), at 184-6.
-
-78 . Frohlich (ed.), Die Tagebücher, I/II: Diktate, VIII. 101 (14 April 1943).
-
-79 . Hans Fallada, Kleiner Mann - was nun? (Reinbek, 1978 [1932]); English translation by Susan Bennett, Little Man - What Now? (London, 1996).
-
-80 . Jenny Williams, More Lives than One: A Biography of Hans Fallada (London, 1998), esp. 107-9, 127. More generally, see Cecilia von Studnitz, Es war wie ein Rausch: Fallada und sein Leben (Düsseldorf, 1997), and the incisive essay by Henry Ashby Turner, Jr, ‘Fallada for Historians’, German Studies Review, 26 (2003), 477-92.
-
-81 . Williams, More Lives, 135-49; Hans Fallada, Wer einmal aus dem Blechknapf frisst (Reinbek, 1980 [1934]).
-
-82 . Williams, More Lives, 149, 175-6, 188. Paul Mayer (ed.), Ernst Rowohlt in Selbstzeugnissen und Bilddokumenten (Reinbek, 1968); Walter Kiaulehn, Mein Freund der Verleger - Ernst Rowohlt und seine Zeit (Reinbek, 1967); Rowohlt survived the war and became a leading publisher in postwar West Germany.
-
-83 . Ibid., 150-62; Hans Fallada, Wir hatten mal ein Kind: Eine Geschichte und Geschichten (Reinbek, 1980 [1934]).
-
-84 . Williams, More Lives, 173-267 and 284 n. 18 (Rudolf Ditzen to Elizabeth Ditzen, 22 December 1946); Fröhlich (ed.), Die Tagebücher, I/V. 15, 126 (31 January 1938); Hans Fallada, Altes Herz geht auf die Reise (Munich, 1981 [1936]); Wolf unter Wölfen (Reinbek, 1991 [1937]); Der eiserne Gustav: Roman (Berlin, 1984 [1938]); Der Trinker/Der Alpdruck (Berlin, 1987 [1950]). See also Gunnar Müller-Waldeck and Roland Ulrich (eds.), Hans Fallada: Sein Leben in Bildern und Briefen (Berlin, 1997). For the chequered history of Fallada/Ditzen’s brief postwar career, see Sabine Lange, ‘. . . wir haben nicht nur das Chaos, sondern wir stehen an einem Beginn’ . . . Hans Fallada 1945-1946 (Neubrandenburg, 1988).
-
-85 . Evans, The Coming of the Third Reich, 409-12.
-
-86 . Kurt R. Grossmann, Ossietzky. Ein deutscher Patriot (Frankfurt am Main, 1973 [1963]), 278-318; Josef Wulf, Literatur und Dichtung im Dritten Reich: Eine Dokumentation (Gütersloh, 1963), 259-61; Evans, The Coming of the Third Reich, 120, 136, 409, 429.
-
-87 . Wolfgang Emmerich, ‘Die Literatur des antifaschistischen Widerstandes in Deutschland’, in Denkler and Prumm (eds.), Die deutsche Literatur, 427-58.
-
-88 . James M. Ritchie, German Literature under National Socialism (London, 1983), 111-22; Ralf Schnell, Literarische innere Emigration: 1933-1945 (Stuttgart, 1976), 113-32, at 121 for quote; Peter Barbian, ‘Literary Policy in the Third Reich’, in Cuomo (ed.), National Socialist Cultural Policy, 155-96; Reinhold Grimm, ‘Im Dickicht der inneren Emigration’, in Denkler and Prümm (eds.), Die deutsche Literatur, 406-26.
-
-89 . Ritchie, German Literature, 123-9; Friedrich P. Reck-Malleczewen, Bockelson: Geschichte eines Massenwahns (Stuttgart, 1968 [1937]); see also below, 414-16; and more generally, Heidrun Ehrke-Rotermund and Erwin Rotermund, Zwischenreiche und Gegenwelten: Texte und Vorstudien zur ‘Verdeckten Schreibweise’ im ‘Dritten Reich’ (Munich, 1999), 315-93, 527-46, on Reck and Jünger.
-
-90 . Klaus Vondung, ‘Der literarische Nationalsozialismus. Ideologische, politische und sozialhistorische Wirkungszusammenhange’, in Denkler and Prümm (eds.), Die deutsche Literatur, 44-65; Karl Prümm, ‘Das Erbe der Front. Der antidemokratische Kriegsroman der Weimarer Republik und seine nationalsozialistische Fortsetzung’, in ibid., 138-64 (and other contributions in the same volume).
-
-91 . Heiber (ed.), Goebbels-Reden, I. 131-41, at 137.
-
-92 . Kurt Eggers, Deutsche Gedichte (Munich, 1934), 8, in Wulf, Literatur, 286; Alexander von Bormann, ‘Das nationalsozialistische Gemeinschaftslied’, in Denkler and Prümm (eds.), Die deutsche Literatur, 256-80; Gottfried Niedhart and George Broderick (eds.), Lieder in Politik und Alltag des Nationalsozialismus (Frankfurt am Main, 1999); and Eberhard Frommann, Die Lieder der NS-Zeit: Untersuchungen zur nationalsozialistischen Liedpropaganda von den Anfängen bis zum Zweiten Weltkrieg (Cologne, 1999).
-
-93 . Wulf, Literatur, 366, reprinting Fritz Sotke, ‘So ist es’, in Wille und Macht (15 January 1934), 1.
-
-94 . Reichel, Der schöne Schein, 323-35; more generally, Sebastian Graeb Könneker, Autochthone Modernität: Eine Untersuchung der vom Nationalsozial ismus geforderten Literatur (Opladen, 1996) and Uwe-Karsten Ketelsen, Literatur und Drittes Reich (Schernfeld, 1992); see also Baird, To Die For Germany, 130-54, on the poet Gerhard Schumann.
-
-95 . Evans, The Coming of the Third Reich, 417-18.
-
-96 . Wulf, Literatur, 113-23; Ritchie, German Literature, 48-54; idem, Gottfried Benn: The Unreconstructed Expressionist (London, 1972) - see especially his translation of Benn’s ‘To the Literary Emigres: A Reply’, 89-96; Reinhard Alter, Gottfried Benn: The Artist and Politics (1910-1934) (Frankfurt am Main, 1976), esp. 86-144
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-97 . Wolfgang Willirich to Gottfried Benn, 27 August 1937, reprinted in Wulf, Literatur, 120-22.
-
-98 . Glenn R. Cuomo, ‘Purging an “Art-Bolshevist”: The Persecution of Gottfried Benn in the Years 1933-1938’, German Studies Review, 9 (1986), 85-105; see also Gottfried Benn, Gesammelte Werke, ed. Dieter Wellershoff (4 vols., Wiesbaden, 1961), I. 440-52, ‘Der neue Staat und die Intellektuellen’, defending the Nazi seizure of power.
-
-99 . Jan-Pieter Barbian, Literaturpolitik im ‘Dritten Reich’: Institutionen, Kompetenzen, Betatigungsfelder (Munich, 1995 [1993]), 54-66 for the initial purges; 66-156 for a comprehensively detailed survey of censorship institutions. See also Dietrich Strothmann’s survey, Nationalsozialistische Literaturpolitik: Ein Beitrag zur Publizistik im Dritten Reich (Bonn, 1960), with details of banned works; and Evans, The Coming of the Third Reich, 426-31.
-
-100 . Wulf, Literatur, 160-64; Ritchie, German Literature, 71-4. See also Siegfried Schliebs, ‘Verboten, verbrannt, verfolgt . . . Wolfgang Herrmann und seine “Schwarze Liste: Schöne Literatur” vom Mai 1933. Der Fall des Volksbibliothekars Dr Wolfgang Hermann’, in Hermann Haarmann et al. (eds.), ‘Das war ein Vorspiel nur ...’: Bücherverbrennung in Deutschland 1933: Voraussetzungen und Folgen. Ausstellung der Akademie der Kunste vom 8. Mai bis 3. Juli 1983 (Berlin, 1983), 442-54; Barbian, Literaturpolitik, 217-319 for the book trade, 319-63 for libraries; Engelbrecht Boese, Das öffentliche Bibliothekswesen im Dritten Reich (Bad Honnef, 1987); and Margaret F. Stieg, Public Libraries in Nazi Germany (Tuscaloosa, Ala., 1992); Strothmann, Nationalsozialistische Literaturpolitik , 222-4, and Grunberger, A Social History, 452-3, for foreign authors.
-
-101 . Brenner, Die Kunstpolitik, 51.
-
-102 . Reichel, Der schöne Schein, 336-45; Boguslaw Drewniak, ‘The Foundations of Theater Policy in Nazi Germany’, in Cuomo (ed.), National Socialist Cultural Policy, 67-94; more details of the theatre business in the same author’s Das Theater im NS-Staat: Szenarium deutscher Zeitgeschichte 1933-1945 (Düsseldorf, 1983), with a discussion of the fate of the classics on 167-89; more still in the compendium by Thomas Eicher et al., Theater im ‘Dritten Reich’: Theaterpolitik, Spielplanstruktur, NS-Dramatik (Seelze-Velber, 2000); documentary extracts in Wulf, Theater und Film; essays on specific aspects in Glen W. Gadberry (ed.), Theater in the Third Reich, the Prewar Years: Essays on Theater in Nazi Germany (Westport, Conn., 1995).
-
-103 . Steinweis, Art, 134-7.
-
-104 . See Wulf, Theater und Film, for details.
-
-105 . Friederike Euler, ‘Theater zwischen Anpassung und Widerstand: Die Münchner Kammerspiele im Dritten Reich’, in Broszat et al. (eds.), Bayern, II. 91-173; Grunberger, A Social History, 457-74.
-
-106 . William Niven, ‘The Birth of Nazi drama?: Thing Plays’, in John London (ed.), Theatre under the Nazis (Manchester, 2000), 54-95, esp. 73; more detail in Rainer Stommer, Die inszenierte Volksgemeinschaft: Die ‘Thing-Bewegung’ im Dritten Reich (Marburg, 1985), and the brief study by Johannes M. Reichl, Das Thingspiel: Über den Versuch eines nationalsozialistischen Lehrstück-Theaters (Euringer - Heynick - Möller) (Frankfurt, 1998), esp. 14-33; the origins of the movement are covered in Egon Menz, ‘Sprechchor und Aufmarsch. Zur Entstehung des Thingspiels’, in Denkler and Prümm (eds.), Die deutsche Literatur, 330-46; Brenner, Die Kunstpolitik, 95-106, and Rainer Stommer, ‘ “Da oben versinkt einem der Alltag ...”. Thingstätten im Dritten Reich als Demonstration der Volksgemeinschaftsideologie’, in Peukert and Reulecke (eds.), Die Reihen fast geschlossen, 149-73.
-
-107 . Heiber (ed.), Goebbels-Reden, I. 168-72 (Berlin, Sportpalast, Eröffnung der ‘Woche des deutschen Buches’, 5. 11. 34), at 177.
-
-108 . Donald R. Richards, The German Bestseller in the Twentieth Century: A Complete Bibliography and Analysis 1915-1940 (Berne, 1968) (entries under individual authors in table B, best-seller lists in table A); revised figures in Tobias Schneider, ‘Bestseller im Dritten Reich. Ermittlung und Analyse der meistverkauften Romane in Deutschland 1933-1944’, VfZ 52 (2004), 77-97.
-
-109 . Hans Hagemeyer, speech to the Reichsarbeitsgemeinschaft für deutsche Buchwerbung on 28 August 1935, in Wulf, Literatur, 243-4; see also Goebbels’s speech on 5 November 1934 (n. 107, above).
-
-110 . Wilhelm Baur, cited in ibid., plate 8, opp. 145; also 274-7.
-
-111 . Schneider, ‘Bestseller’, 80-85.
-
-112 . Kershaw, Hitler, I. 15-17.
-
-113 . Hans Dieter Schafer, Das gespaltene Bewusstsein: Über deutsche Kultur und Lebenswirklichkeit 1933-1945 (Munich, 1982), esp. 7-54; Thymian Bussemer, Propaganda und Populärkultur. Konstruierte Erlebniswelten im Nationalsozialismus (Wiesbaden, 2000), esp. 76-115.
-
-114 Evans, The Coming of the Third Reich, 122-4, 413-16.
-
-115 . Fröhlich (ed.), Die Tagebücher (Munich, 2004), I/I. 293 (29 August 1924).
-
-116 Peter Paret, An Artist against the Third Reich: Ernst Barlach, 1933-1938 (Cambridge, 2003), 17-18, 23-69; Shearer West, The Visual Arts in Germany 1890-1937: Utopia and Despair (Manchester, 2000), 93-9; Brenner, Die Kunstpolitik, 65-71; Wolfgang Tarnowski, Ernst Barlach und der Nationalsozialismus: Ein Abendvortrag, gehalten am 20. Oktober 1988 in der Katholischen Akademie Hamburg (Hamburg, 1989), 41-5; Joseph Wulf, Die bildenden Künste im Dritten Reich: Eine Dokumentation (Gütersloh, 1963), 32. See also Akademie der Künste, Berlin (ed.), Zwischen Anpassung und Widerstand: Kunst in Deutsch land 1933-1945 (Berlin, 1978).
-
-117 . Paret, An Artist, 23-5, 38-43, 59; a better title for Paret’s excellent book would perhaps have been The Third Reich against an Artist.
-
-118 . Ernst Barlach, Die Briefe, ed. Friedrich Dross (2 vols., Munich, 1968-9), II. 414 (Barlach to Leo Kestenberg, 13 November 1933).
-
-119 . Ibid., II. 374 (Ernst Barlach to Hans Barlach, 2 May 1933).
-
-120 Cited in Paret, An Artist, 171 n. 33, and reprinted in Alfred Rosenberg, Blut und Ehre: Ein Kampf für deutsche Wiedergeburt: Reden und Aufsätze von 1919-1933 (Munich, 1934), 250.
-
-121 . Paret, An Artist, 78-9, citing Barlach, Die Briefe, II. 388-9 (Barlach to Alois Schardt, 23 July 1933) and 425 (Barlach to Carl Albert Lange, 25 December 1933).
-
-122 . It survived the war and is now back in the cathedral. 123. Maschmann, Account Rendered, p. 25.
-
-124 . Frohlich (ed.), Die Tagebücher, I/III. 56 (4 April 1936).
-
-125 Barlach, Briefe, II. 735 (Barlach to Heinz Priebatsch, 23 October 1937).
-
-126 . Paret, An Artist, 137.
-
-127 . Peter Adam, The Arts of the Third Reich (London, 1992), 196-201.
-
-128 . Jonathan Petropoulos, The Faustian Bargain: The Art World in Nazi Germany (New York, 2000), 218-53; idem, ‘From Seduction to Denial: Arno Breker’s Engagement with National Socialism’, in Richard A. Etlin (ed.), Art, Culture, and Media under the Third Reich (Chicago, 2002), 205-29; Wulf, Die bildenden Künste, 252; Volker Probst, Der Bildhauer Arno Breker (Bonn, 1978). Breker defended himself and his art in his memoirs published after the war: see Arno Breker, Im Strahlungsfeld der Ereignisse, 1925-1965 (Preussisch Oldendorf, 1972).
-
-129 . Klaus Backes, Hitler und die bildenden Künste: Kulturverständnis und Kunstpolitik im Dritten Reich (Cologne, 1988), 10-56.
-
-130 . Erhard Klöss (ed.), Reden des Führers: Politik und Propaganda Adolf Hitlers 1922-1945 (Munich, 1967), 108-20.
-
-131 . Evans, The Coming of the Third Reich, 413-16.
-
-132 . Lynn H. Nicholas, The Rape of Europa: The Fate of Europe’s Treasures in the Third Reich and the Second World War (New York, 1994), 9-15.
-
-133 . Petropoulos, The Faustian Bargain, 13-25; more generally, Reichel, Der schöne Schein, 356-70.
-
-134 Adam, Arts, 121-3; West, The Visual Arts, 188-9. For a survey of the work of the banned artists, see Werner Haftmann, Verfemte Kunst: Bildende Künstler der inneren und äusseren Emigration in der Zeit des Nationalsozialismus (Cologne, 1986) (esp. Beckmann, 47-67, Klee, 1,112-25, Kirchner 126-32, and Schlemmer, 37-13).
-
-135 . Petropoulos, Art, 57.
-
-136 . Spotts, Hitler, 151-64. Fröhlich (ed.), Die Tagebücher, I/II (5 June 1936); Backes, Hitler, 57-70; for the precursor exhibitions, see Christoph Zuschlag, ‘An “Educational Exhibition”. The Precursors of Entartete Kunst and its Individual Venues’, in Stephanie Barron (ed.), ‘Degenerate Art’: The Fate of the Avant-Garde in Nazi Germany (Los Angeles, 1991), 83-103, and in more detail, in Christoph Zuschlag, ‘Entartete Kunst’: Ausstellungsstrategien in Nazi-Deutschland (Worms, 1995), 58-168 (protests in 1933 noted on 329).
-
-137 . Wulf, Die bildenden Künste, 140-44.
-
-138 . Petropoulos, The Faustian Bargain, 25; Reinhard Merker, Die bildenden Künste im Nationalsozialismus: Kulturideologie, Kulturpolitik, Kulturproduktion (Cologne, 1983), 143-5; Annegret Janda, The Fight for Modern Art: The Berlin Nationalgalerie after 1933’, in Barron (ed.), ‘Degenerate Art’, 105-18.
-
-139 . Annegret Janda (ed.), Das Schicksal einer Sammlung: Aufbau und Zerstörung der Neuen Abteilung der Nationalgalerie im ehemaligen Kronprinzen-Palais Unter den Linden 1918-1945 (Berlin, 1986), 16.
-
-140 . Inge Jádi et al., Beyond Reason: Art and Psychosis: Works from the Prinzhorn Collection (London, 1996), and Hans Prinzhorn, Bildnerei der Geisteskranken: Ein Beitrag zur Psychologie und Psychopathologie der Gestaltung (Berlin, 1922).
-
-141 . Fritz Kaiser, Führer durch die Ausstellung Entartete Kunst (Berlin, 1937), 24-8.
-
-142 . Merker, Die bildenden Künste, 148-52. The instruction does not appear to have been carried out.
-
-143 . Kaiser, Führer, 2-22. The brochure is reproduced in Barron (ed.), ‘Degenerate Art’, 359-90; see also Mario-Andreas von Lüttichau, ‘ “Entartete Kunst”, Munich, 1937: A Reconstruction’, in ibid., 45-81, and the detailed account in Zuschlag, ‘Entartete Kunst’, 169-204 and 222-99.
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-144 Robert Böttcher, Kunst und Kunsterziehung im neuen Reich (Breslau, 1933), 41; Wolfgang Willrich, Säuberung des Kunsttempels: Eine kunstpolitische Kampfschrift zur Gesundung deutscher Kunst im Geiste nordischer Art (Munich, 1937), 6.
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-145 Wulf, Die bildenden Künste, 319-20, 324, 327-33; for the orchestration of press publicity, see Karen Peter (ed.), NS-Presseanweisungen der Vorkriegszeit: Edition und Dokumentation, V: 1937 (Munich, 1998), 579, 587, 590, 631, 701.
-
-146 . Berliner Morgenpost, 172, 20 July 1937, front page; Berliner Illustrierte Nachtausgabe, 25 February 1938.
-
-147 . Peter Guenther, ‘Three Days in Munich, July 1937’, in Barron (ed.), ‘Degenerate Art’, 33-43; reactions of Carola Roth and others in Paul Ortwin Rave, Kunstdiktatur in Dritten Reich (Hamburg, 1949); telegram in Zuschlag, ‘Entartete Kunst’, 331; price-tag information in Peter-Klaus Schuster (ed.), Die ‘Kunststadt’ München 1937: Nationalsozialismus und ‘Entartete Kunst’ (Munich, 1987), 103-4; this also has a facsimile reproduction of the exhibition brochure (183-216).
-
-148 . Sean Rainbird (ed.), Max Beckmann (London, 2003), 274-7.
-
-149 . Backes, Hitler, 71-7, for a good brief survey.
-
-150 . Norbert Wolf, Ernst Ludwig Kirchner 1880-1938: On the Edge of the Abyss of Time (Cologne, 2003), 86-90.
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-151 Kaiser, Führer, 24-8.
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-152 Wulf, Die bildenden Künste, 118-27. Literary criticism suffered a similar fate (Strothmann, Nationalsozialistische Literaturpolitik, 258-300).
-
-153 Quoted and translated in Adam, The Arts, 123.
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-154 Wulf, Die bildenden Künste, 337 (copy of the Law).
-
-155 Adam, The Arts, 121-2; Merker, Die bildenden Künste, 155-6 (also for the quotations above).
-
-156 . Brenner, Die Kunstpolitik, 159.
-
-157 Adam, The Arts, 122-7.
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-158 Merker, Die bildenden Künste, 155-6; Zuschlag, ‘Entartete Kunst’, 205-21; Petropoulos, Art, 76-81. Wulf, Die bildenden Künste, 340-41 for press reporting and the auction announcement.
-
-159 . Stephanie Barron, ‘The Galerie Fischer Auction’, in Barron (ed.), ‘Degenerate Art’, 135-69.
-
-160 Angelika Königseder and Juliane Wetzel, ‘Die “Bilderverbrennung” 1939 - ein Pendant?’, Zeitschrift für Geschichtswissenschaft, 51(2003), 439-46, point out that while there is abundant documentary evidence for the proposal to burn the artworks, there is no written evidence that it was actually carried out, and no eyewitness accounts have come to light. There is only one source for the story, namely Rave, Kunstdiktatur. However, not one of the works on the list of those proposed for burning has ever been seen since 20 March 1939. See also Andreas Hüneke, ‘On the Trail of Missing Masterpieces: Modern Art from German Galleries’, in Barron (ed.), ‘Degenerate Art’, 121-33; Petropoulos, Art, 82-3 and 338 n. 50; and Georg Bussmann, German Art of the Twentieth Century (Munich, 1985), 113-24.
-
-161 Wulf, Die bildenden Künste, 325-6.
-
-162 . Boberach (ed.), Meldungen, II. 275.
-
-163 Ibid., 115.
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-164 Wulf, Die bildenden Künste, 96-110.
-
-165 Nicholas, The Rape, 13.
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-166 Wulf, Die bildenden Künste, 113-7.
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-167 Ibid., 172-4, 181-4, 190-94.
-
-168 . Backes, Hitler, 77-83.
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-169 Klaus Wolbert, Die Nackten und die Toten des ‘Dritten Reiches’: Folgen einer politischen Geschichte des Körpers in der Plastik des deutschen Faschismus (Giessen, 1982), 34-60, 188-92, 235-6.
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-170 Merker, Die bildenden Künste, 163-6. For a digest of press reports, see Otto Thomae, Die Propaganda-Maschinerie: Bildende Kunst und Öffentlichkeitsarbeit im Dritten Reich (Berlin, 1978), 37-69.
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-171 Merker, Die bildenden Künste, 165 (with different figures); Petropoulos, Art, 57.
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-172 Guenther, ‘Three Days in Munich’, 33-43, at 33-4; see also Mario-Andreas von Lüttichau, ‘ “Deutsche Kunst” und “Entartete Kunst”: Die Münchner Ausstellungen 1937’, in Schuster (ed.), Die ‘Kunststadt’ München, 83-118.
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-173 Adelheid von Saldern, ‘ “Art for the People”: From Cultural Conservatism to Nazi Cultural Policies’, in eadem, The Challenge of Modernity: German Social and Cultural Studies, 1890-1960 (Ann Arbor, Mich., 2002), 299-347.
-
-174 Karl Arndt, ‘Das “Haus der deutschen Kunst” - ein Symbol der neuen Machtverhaltnisse’, in Schuster (ed.), Die ‘Kunststadt’ München, 61-82; idem, ‘Paul Ludwig Troost als Leitfigur der nationalsozialistischen Räpresentationsarchitektur’, in Iris Lauterbach (ed.), Bürokratie und Kult: Das Parteizentrum der NSDAP am Königsplatz in München: Geschichte und Rezeption (Munich, 1995), 147-56; for the background to the building’s commissioning, design and construction, see Karl Arndt, ‘Die Münchener Architekturszene 1933/34 als asthetischpolitisches Konfliktfeld’, in Broszat et al. (eds.), Bayern, III. 443-512, esp. 443-84.
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-175 Quoted in Wulf, Die bildenden Künste, 220.
-
-176 Rolf Badenhausen, ‘Betrachtungen zum Bauwillen des Dritten Reiches’, Zeitschrift für Deutschkunde 1937, 222-3, excerpted in Wulf, Die bildenden Künste, 223-4; Hans Lehmbruch, ‘Acropolis Germaniae. Der Königsplatz - Forum der NSDAP’, in Lauterbach (ed.), Bürokratie und Kult, 17-46; more generally, Reichel, Der schöne Schein, 287-311; for the indebtedness to Classi cism, see Alex Scobie, Hitler’s State Architecture: The Impact of Classical Antiquity (Philadelphia, Pa., 1990), esp. 56-68; for the Nazi cult of the dead, see Sabine Behrenbeck, Der Kult um die toten Helden: Nationalsozialistische Mythen: Riten und Symbole 1923 bis 1945 (Vierow bei Greifswald, 1996), esp. 343-446; for the ceremonies accompanying the translation of the martyrs’ bodies, see Baird, To Die for Germany, 41-72.
-
-177 . Barbara Miller Lane, Architecture and Politics in Germany, 1918-1945 (Cambridge, Mass., 1968), 169-84.
-
-178 . Norbert Borrmann, Paul Schultze-Naumburg, 1869-1949. Maler - Publizist - Architekt: Vom Kulturreformer der Jahrhundertwende zum Kulturpolitiker im Dritten Reich (Essen, 1989), esp. 198-220; more generally, Joachim Petsch, ‘Architektur und Städtebau im Dritten Reich - Anspruch und Wirklichkeit’, in Peukert and Reulecke (eds.), Die Reihen fast geschlossen, 175-98, and Elke Pahl-Weber and Dirk Schubert, ‘Myth and Reality in National Socialist Town Planning and Architecture: Housing and Urban Development in Hamburg, 1933-45’, Planning Perspectives, 6 (1991), 161-88.
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-179 Jochen Thies, ‘Nazi Architecture - A Blueprint for World Domination: The Last Aims of Adolf Hitler’, in David Welch (ed.), Nazi Propaganda: The Power and the Limitations (London, 1983), 45-64, at 52; documentation for Berlin, Hamburg, Linz, Munich and Nuremberg in Jost Dülffer et al. (eds.), Hitlers Städte: Baupolitik im Dritten Reich (Cologne, 1978); see also Dirk Schubert, ‘. . . Ein neues Hamburg entsteht . . . Planungen in der “Führerstadt” Hamburg zwischen 1933-1945’, in Hartmut Frank (ed.), Faschistische Architekturen: Planen und Bauen in Europa 1930 bis 1945 (Hamburg, 1985), 299-318; Backes, Hitler, 117-93.
-
-180 . Adam, The Arts, 245-59; also Dieter Bartetzko, Zwischen Zucht und Ekstase: Zur Theatralik von NS-Architektur (Berlin, 1985); Robert R. Taylor, The Word in Stone: The Role of Architecture in the National Socialist Ideology (Berkeley, Calif., 1974), 250-69; Anna Teut, Architektur im Dritten Reich 1933- 1945 (Frankfurt am Main, 1967); Jochen Thies, Architekt der Weltherrschaft: Die ‘Endziele’ Hitlers (Düsseldorf, 1976), 62-164; Merker, Die bildenden Künste, 186-238.
-
-181 . Paul Giesler, ‘Bauen im Dritten Reich’, Die Kunst im Dritten Reich, September 1939, quoted in Adam, The Arts, 256; detailed illustrated survey in Angela Schönberger, Die neue Reichskanzlei von Albert Speer: Zum Zusammenhang von nationalsozialistischer Ideologie und Architektur (Berlin, 1981), 37-173.
-
-182 . Thies, Architekt, 62-104.
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-183 Albert Speer, Inside the Third Reich: Memoirs (London 1971 [1970]), 45-6.
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-184 Jost Dülffer, ‘Albert Speer: Cultural and Economic Management’, in Ronald Smelser and Rainer Zitelmann (eds.), The Nazi Elite (London, 1993 [1989]), 212-23; for Goebbels’s vandalism, see Evans, The Coming of the Third Reich, 398. A counter-claim for inventing the ‘cathedral of light’ was made, however, by Walter Frentz and Leni Riefenstahl (Gitta Sereny, Albert Speer: His Battle with Truth (London, 1995), 129).
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-185 Siegfried Zelnhefer and Rudolf Käs (eds.), Kulissen der Gewalt: Das Reichs parteitagsgelände in Nürnberg (Munich, 1992), esp. 31-48 (Siegfried Zelnhefer, ‘Bauen als Vorgriff auf den Sieg. Zur Geschichte des Reichsparteitagsgelandes’).
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-186 Karen A. Fiss, ‘In Hitler’s Salon: The German Pavilion at the 1937 Paris Exposition Internationale’, in Etlin (ed.), Art, 316-42, at 318-19, quoting Paul Westheim, Paul Westheim: Kunstkritik aus dem Exil, ed. Tanja Frank (Hanau, 1985), 151; see also Kurt Winkler, ‘Inszenierung der Macht: Weltausstellung 1937. Das “Deutsche Haus” als Standarte’, in Klaus Behnken and Frank Wagner (eds.), Inszenierung der Macht: Asthetische Faszination in Faschismus (Berlin, 1987), 217-25. The greater height of the German pavilion against its Soviet opposite number was deliberate; Speer had obtained plans of the Soviet structure in advance (Fies, ‘In Hitler’s Salon’, 321-3).
-
-187 Speer, Inside, 117-22, 195-220.
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-188 Dülffer, ‘Albert Speer’, 213-15; Joachim Petach, ‘Architektur als Weltanschauung: Die Staats- und Parteiarchitektur im Nationalsozialismus’, in Ogan and Weiss (eds.), Faszination und Gewalt, 197-204.
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-189 Speer, Inside, 197; Sereny, Albert Speer, 126-31.
-
-190 Gerhard Splitt, Richard Strauss 1933-1935: Asthetik und Musikpolitik zu Beginn der nationalsozialistischen Herrschaft (Pfaffenweiler, 1987), 42-59, discusses Strauss’s possible motivations in a detailed examination of the evidence that is marred by an unnecessarily angry tone of moral condemnation; for a more balanced view, see Michael H. Kater, Composers of the Nazi Era: Eight Portraits (New York, 2000), 220-23.
-
-191 Kater, Composers, 225-7.
-
-192 Ibid., 211-12; Franz Grasberger (ed.), Der Strom der Töne trug mich fort: Die Welt um Richard Strauss in Briefen (Tutzing, 1967), 171-2; Walter Thomas, Richard Strauss und seine Zeitgenossen (Munich, 1964), 218.
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-193 Harry Graf Kessler, Tagebücher 1918-1937, ed. Wolfgang Pfeiffer-Belli (Frankfurt am Main, 1982 [1961]), 563 (14 June 1928); Kater, Composers, 213-16.
-
-194 Ibid., 217-25.
-
-195 Ibid., 229-46; Fred K. Prieberg, Trial of Strength: Wilhelm Furtwängler and the Third Reich (London, 1991 [1986]), 166-9.
-
-196 Fred K. Prieberg, Musik im NS-Staat (Frankfurt am Main, 1982), 207-8; Josef Wulf, Musik im Dritten Reich: Eine Dokumentation (Gütersloh, 1963), 182-3; Saul Friedländer, Nazi Germany and the Jews, I: The Years of Persecution 1933-1939 (London, 1997), 130-35; Albrecht Riethmüller, ‘Stefan Zweig and the Fall of the Reich Music Chamber President, Richard Strauss’, in Michael H. Kater and Albrecht Riethmüller (eds.), Music and Nazism: Art under Tyranny, 1933-1945 (Laaber, 2003), 269-91. For Stefan Zweig’s best-sellers, see Richards, The German Bestseller, 252-3; one of Zweig’s books sold 300,000 copies from 1927 to 1931, and two others 170,000 each from 1922 to 1933 and 1931 to 1933 respectively.
-
-197 . Strauss, ‘Geschichte der schweigsamen Frau’, and Strauss to Hitler, 13 July 1935, both in Wulf, Musik, 183-4.
-
-198 . Kater, Composers, 247-59; Prieberg, Musik, 208-15; Lothar Gall, ‘Richard Strauss und das “Dritte Reich” oder: Wie der Künstler Strauss sich missbrauchen liess‘, in Hanspeter Krellmann (ed.), Wer war Richard Strauss? Neunzehn Antworten (Frankfurt am Main, 1999), 123-36.
-
-199 . Levi, Music, 57-70, 94-8; Michael H. Kater, The Twisted Muse: Musicians and Their Music in the Third Reich (New York, 1997), 77-9; Prieberg, Musik, 277-82; Wulf, Musik, 414-23 (extracts from the Lexikon and similar antisemitic works on 386-91).
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-200 Dirk Blasius, ‘Die Ausstellung “Entartete Musik” von 1938. Ein Beitrag zum Kontinuitätsproblem der deutschen Geschichte’, in Othmar N. Haberl and Tobias Korenke (eds.), Politische Deutungskulturen: Festschrift für Karl Rohe (Baden Baden, 1999), 199-211. There was no time to produce a catalogue for the Entartete Musik exhibition, but on the fiftieth anniversary, a commemorative exhibition staged a reconstruction: see Albrecht Dümling and Peter Girth (eds.), Entartete Musik: Eine kommentierte Rekonstruktion zur Dusseldorfer Ausstellung von 1938 (Düsseldorf, 1988); Ziegler’s opening address is on 128-43; also Albrecht Dümling, ‘The Target of Racial Purity: The “Degenerate Music” Exhibition in Düsseldorf, 1938’, in Etlin (ed.), Art, 43-72; idem (ed.), Banned by the Nazis: Entartete Musik: The Exhibition of Düsseldorf 1938/88 in Texts and Documents (London, 1995); Eckhard John, Musikbolschewismus: Die Politisierung der Musik in Deutschland 1918-1938 (Stuttgart, 1994), 367-81; and, arguing for the unpopularity of modern music in the Weimar Republic, Pamela M. Potter, ‘The Nazi “Seizure” of the Berlin Philharmonic, or the Decline of a Bourgeois Musical Institution’, in Cuomo (ed.), Nazi Cultural Policy, 39-65. See also Hans Severus Ziegler, Entartete Musik: Eine Abrechnung (Düsseldorf, 1938).
-
-201 Frohlich (ed.), Die Tagebücher, I/V. 323 (29 May 1938).
-
-202 Zuschlag, ‘Entartete Kunst’, 315-20.
-
-203 . Levi, Music, 70-73; Prieberg, Musik, 144-64; Wulf, Musik, 407; Potter, ‘The Nazi “Seizure” ’, 54.
-
-204 . Levi, Music, 74-81.
-
-205 . Ibid., 98-102.
-
-206 . Levi, Music, 104-5; Prieberg, Musik, 225-34. Berg’s Piano Sonata opus 1 was performed on 29 November 1944 at a poetry reading in Vienna, with musical intermezzi organized by Anton von Webern (ibid., 299).
-
-207 . Ibid., 104-7; Prieberg, Musik, 137-8.
-
-208 . Levi, Music, 107-11; Kater, Composers, 31-6.
-
-209 . Levi, Music, 111-14; Wulf, Musik, 337-40 (for the quotes). See also Giselher Schubert, ‘The Aesthetic Premises of a Nazi Conception of Music’, in Kater and Riethmüller (eds.), Music and Nazism, 64-74.
-
-210 Wulf, Musik, 341
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-211 Frohlich (ed.), Die Tagebücher, I/III. 140 (27 July 1936). Wahnfried was the Wagner family home in Bayreuth.
-
-212 . Kater, The Twisted Muse, 197-201; Levi, Music, 199-201; Potter, ‘The Nazi “Seizure” ’, 39-65. See also more generally Michael Meyer, The Politics of Music in the Third Reich (New York, 1991).
-
-213 . Levi, Music, 114-16.
-
-214 Bernd Sponheuer, ‘The National Socialist Discussion on the “German Quality” in Music’, in Kater and Riethmüller (eds.), Music and Nazism, 32-42; Reinhold Brinkmann, ‘The Distorted Sublime: Music and National Socialist Ideology - A Sketch’, in ibid., 43-63.
-
-215 . Kater, Composers, 3-30. Egk’s real name was Mayer; he disliked its ordinariness so much that he used a pseudonym based on his wife’s name, ‘Elisabeth, geborene Karl’ (‘Elisabeth, nee Karl’). Those who disliked him alleged that he really meant it to stand for ‘Ein grosser Komponist’ (‘a great composer’). See also Michael Walter, Hitler in der Oper: Deutsches Musikleben 1919-1945 (Stuttgart, 1995), 175-212.
-
-216 . Ibid., 111-43; see also the autobiography of Orff’s wife, Luise Rinser, Saturn auf der Sonne (Frankfurt am Main, 1994), 94-5.
-
-217 . Frederic Spotts, Bayreuth: A History of the Wagner Festival (New Haven, 1994), esp. 159-88; Brigitte Hamann, Winifred Wagner oder Hitlers Bayreuth (Munich, 2002); Hans Rudolf Vaget, ‘Hitler’s Wagner: Musical Discourse as Cultural Space’, in Kater and Riethmüller (eds.), Music and Nazism, 15-31.
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-218 Spotts, Hitler, 223-63; idem, Bayreuth, 165-75.
-
-219 . Speer, Inside, 103-5.
-
-220 . Levi, Music, 192-3.
-
-221 . Levi, Music, 217-18; more generally, Volker Dahm, ‘Nationale Einheit und partikulare Vielfalt. Zur Frage der kulturpolitischen Gleichschaltung im Dritten Reich’, VfZ 43 (1995), 221-65. For Pfitzner’s complicated relationship with the Nazi leadership, see Kater, Composers, 144-82. Pfitzner was enraged at the favour shown to some modernist composers by the regime. Asked what he thought of modern music, he replied contemptuously: ‘Egk mich am Orff!’ (Berndt W. Wessling, Wieland Wagner: Der Enkel (Cologne, 1997), 257); see also John, Musikbolschewismus, 58-89, for Pfitzner’s role in crystallizing right-wing hostility to ‘musical Bolshevism’ in the Weimar Republic.
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-222 Wulf, Musik, 403, quoting Karl Grunsky, ‘Gedanken über Mendelssohn’, Westdeutscher Beobachter, 10 March 1935.
-
-223 Celia Applegate, ‘The Past and Present of Hausmusik in the Third Reich’, in Kater and Riethmüller (eds.), Music and Nazism, 136-49.
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-224 Steinweis, Art, 141-2.
-
-225 . For Nazi theories of music, see Pamela M. Potter, Most German of the Arts: Musicology and Society from the Weimar Republic to the End of Hitler’s Reich (New Haven, 1998), esp. 200-234.
-
-226 . Walter Thomas, Bis der Vorhang fiel: Berichtet nach Aufzeichnungen aus den Jahren 1940 bis 1945 (Dortmund, 1947), 241.
-
-227 . Kater, Composers, 86-110; idem, Different Drummers: Jazz in the Culture of Nazi Germany (New York, 1992), 29-56; idem, The Twisted Muse, 233-9; Wulf, Musik, 346-58; also Bernd Polster (ed.), Swing Heil: Jazz im Nationalsozialismus (Berlin, 1989).
-
-228 Kater, Different Drummers, 90-95; Fröhlich (ed.), Die Tagebücher, I/III. 161-2 (2 June 1937), 165-6 (5 June 1937), 293 (7 Oct. 1937), 326 (5 Nov. 1937), 346 (26 Nov. 1937).
-
-229 Kater, Different Drummers, 101-10; Arno Klönne, Jugend im Dritten Reich: Die Hitler-Jugend und ihre Gegner (Düsseldorf, 1982), 241-6.
-
-230 Hartmut Berghoff, Zwischen Kleinstadt und Weltmarkt: Hohner und die Harmonika 1857-1961. Unternehmensgeschichte als Gesellschaftsgeschichte (Paderborn, 1997), 311, 360-61, 375, 615.
-
-231 Ibid., 375, 412-19, 445-6.
-
-232 Reichel, Der schöne Schein, 371.
-
-233 Gerhard Paul, Aufstand der Bilder: Die NS-Propaganda vor 1933 (Bonn, 1990); Peter Zimmermann, ‘Die Bildsprache des Nationalsozialismus im Plakat’, in Maria Rüger (ed.), Kunst und Kunstkritik der dreissiger Jahre: 29 Standpunkte zu künstlerischen und ästhetischen Prozessen und Kontroversen (Dresden, 1990), 223-36; Evans, The Coming of the Third Reich, 289-91.
-
-234 See for example Marla S. Stone, The Patron State: Culture and Politics in Fascist Italy (Princeton, N.J., 1998); Edward Tannenbaum, The Fascist Experience: Italian Society and Culture, 1922-1945 (New York, 1972), esp. 213-302; Orlando Figes and Boris Kolonitskii, Interpreting the Russian Revolution: The Language and Symbols of 1917 (New Haven, 1999), esp. 30-103, 153-86, and Richard Stites, Russian Popular Culture: Entertainment and Society since 1900 (Cambridge, 1992); summary in Richard J. Overy, The Dictators: Hitler’s Germany and Stalin’s Russia (New York, 2004), 349-91. For Nazi comment on the Futurist exhibition, see Willrich, Säuberung, 32.
-
-235 As is the tendency in, for example, Spotts, Hitler, or Ehrhard Bahr, ‘Nazi Cultural Politics: Intentionalism v. Functionalism’, in Cuomo (ed.), National Socialist Cultural Policy, 5-22.
-
-236 . Dahm, ‘Nationale Einheit’, regards the growing prevalence of entertainment over outright propaganda as evidence of a growing freedom on the part of cultural producers, particularly at the local or regional level; but it was of course thoroughly consonant with the overall cultural purposes of the regime.
-
-237 Jutta Sywottek, Mobilmachung für den totalen Krieg: Die propagandistische Vorbereitung der deutschen Bevölkerung auf den Zweiten Weltkrieg (Opladen, 1976).
-
-238 See also below, 465-7, for the cultural programme of the Strength Through Joy organization, and 563-5 for Jewish culture in the Third Reich.
-
-239 Heiber (ed.), Goebbels-Reden, I. 219-28 (Hamburg: Musikhalle - Eröffnung der 2. Reichs-Theaterfestwoche, 17. 4. 35), 219-28, at 220.
-
-240 . Rainer Stollmann, ‘Faschistische Politik als Gesamtkunstwerk. Tendenzen der Ästhetisierung des politischen Lebens im Nationalsozialismus’, in Denkler and Prumm (eds.), Die deutsche Literatur, 83-101 (somewhat over-theorized); the original concept of the aestheticization of politics comes from the Afterword to Walter Benjamin’s celebrated essay ‘Das Kunstwerk im Zeitalter seiner technischen Reproduzierbarkeit’, in idem, Gesammelte Schriften 1/II, ed. Rolf Tiedemann and Hermann Schweenhäuser (Frankfurt am Main, 1974), 508.
-
-241 Heiber (ed.), Goebbels-Reden, I. 219-28 (Hamburg, Musikhalle - Eröffnung der 2. Reichs-Theaterfestwoche, 17. 6. 35), at 220, 224, 227.
-
-242 . Klemperer, I Shall Bear Witness, 109 (27 February 1935); Tagebuch Luise Solmitz, vol. 30 (5 July 1935-16 June 1937), passim.
-
-243 . John Heskett, ‘Modernism and Archaism in Design in the Third Reich’, in Taylor and van der Will (eds.), The Nazification of Art, 110-27.
-
-244 . Uwe Westphal, Werbung im Dritten Reich (Berlin, 1989), esp. 50-72. But see also Hans Deischmann, Objects: A Chronicle of Subversion in Nazi Germany (New York, 1995).
-
-245 Victor Klemperer, Tagebücher, 14 (22 March 1933).
-
-246 Rolf Steinberg (ed.), Nazi-Kitsch (Darmstadt, 1975) (a short catalogue of illustrations of these objects); for the puzzle, see 23.
-
-247 Marion Godau, ‘Anti-Moderne?’, in Sabine Weissler (ed.), Design in Deutschland 1933-45: Ästhetik und Organisation des Deutschen Werkbundes im ‘Dritten Reich’ (Giessen, 1990), 74-87.
-
-248 Joachim Wolschke-Bulmahn and Gert Gröning, ‘The National Socialist Garden and Landscape Ideal: Bodenständigkeit (Rootedness in the Soil)’, in Etlin (ed.), Art, 73-97; and Vroni Heinrich-Hampf, ‘Über Gartenidylle und Gartenarchitektur im Dritten Reich’, in Frank (ed.), Faschistische Architekturen, 271-81.
-
-249 . Leopold von Schenkendorf and Heinrich Hoffmann (ed.), Kampf um’s Dritte Reich: Eine Historische Bilderfolge (Altona-Bahrenfeld, 1933).
-
-250 . Die Kunst im Dritten Reich 1937, 160, quoted in Britta Lammers, Werbung im Nationalsozialismus: Die Kataloge der ‘Grossen Deutschen Kunstausstellung’, 1937-1944 (Weimar, 1999), 9.
-
-251 Reichel, Der schöne Schein, 373-5; for the concealment of modern construc tions by pseudo-archaic façades, see Lothar Suhling, ‘Deutsche Baukunst. Technologie und Ideologie im Industriebau des “Dritten Reiches” ’, in Herbert Mehrtens and Steffen Richter (eds.), Naturwissenschaft, Technik und NS-Ideologie: Beiträge zur Wissenschaftsgeschichte des Dritten Reichs (Frankfurt am Main, 1980), 243-81.
-
-252 . Zeman, Nazi Propaganda, 177; Robert E. Herzstein, The War that Hitler Won: The Most Infamous Propaganda Campaign in History (London, 1979); Alexander D. Hardy, Hitler’s Secret Weapon: The ‘Managed’ Press and Propaganda Machine of Nazi Germany (New York, 1967).
-
-253 . Victor Klemperer, LTI. Notizbuch eines Philologen (Leipzig, 1975 [1947]); see also Gerhard Bauer, Sprache und Sprachlosigkeit im ‘Dritten Reich’ (Cologne, 1990 [1988]); Wolfgang Bergsdorf, ‘Sprachlenkung im Nationalsozialismus’, in Martin Greiffenhagen (ed.), Kampf um Wörter? Politische Begriffe im Meinungsstreit (Munich, 1980), 65-74; Werner Bohleber and Jörg Drews (ed.), ‘Gift, das du unbewusst eintrinkst . . .’ Der Nationalsozialismus und die deutsche Sprache (Bielefeld, 1994 [1991]); Siegfried Bork, Missbrauch der Sprache: Tendenzen nationalsozialistischer Sprachregelung (Munich, 1970); Karl-Heinz Brackmann and Renate Birkenhauer, NS-Deutsch: ‘Selbstverständliche’ Begriffe und Schlagwörter aus der Zeit des Nationalsozialismus (Straelen, 1988); Dolf Sternberger et al., Aus dem Wörterbuch des Unmenschen (Dusseldorf, 1968 [1957]).
-
-254 . Ribbe (ed.), Die Lageberichte, 162.
-
-255 . Ibid., 189, also 246.
-
-256 . Behnken (ed.), Deutschland-Berichte, IV (1937), 1,224-5 (14 October 1937). Similarly, already, in ibid., III (1936), 1,109-10.
-
-257 . Bankier, The Germans, 14-20, 28-34.
-
-258 . Kershaw, The ‘Hitler Myth’, esp. 48-147.
-
-259 . Ian Kershaw, ‘How Effective was Nazi Propaganda?’, in David Welch (ed.), Nazi Propaganda: The Power and the Limitations (London, 1983), 180-205; more generally, Peter Longerich, ‘Nationalsozialistische Propaganda’, in Karl Dietrich Bracher et al. (eds.), Deutschland 1933-1945: Neue Studien zur nationalsozialistischen Herrschaft (Düsseldorf, 1992), 291-314.
-
-
-
-Chapter 3. CONVERTING THE SOUL
-
-1 . Doris L. Bergen, Twisted Cross: The German Christian Movement in the Third Reich (Chapel Hill, N.C., 1996), 101-18; Manfred Kittel, ‘Konfessioneller Konflikt und politische Kultur in der Weimarer Republik’, in Olaf Blaschke (ed.), Konfessionen im Konflikt: Deutschland zwischen 1800 und 1970: ein zweites konfessionelles Zeitalter (Gottingen, 2002), 243-97.
-
-2 For general overviews, see Thomas Nipperdey, Deutsche Geschichte 1866-1918 (2 vols., Munich 1990), I: Arbeitswelt und Bürgergeist, 468-507. More detail in Wolfgang Altgeld, Katholizismus, Protestantismus, Judentum: Über religiös begründete Gegensätze und nationalreligiöse Ideen in der Geschichte des deutschen Nationalismus (Mainz, 1992); idem, ‘Religion, Denomination and Nationalism in Nineteenth-Century Germany’, in Helmut Walser Smith (ed.), Protestants, Catholics and Jews in Germany, 1800-1913 (Oxford, 2001), 49-65; Helmut Walser Smith, German Nationalism and Religious Conflict: Culture, Ideology, Politics, 1870-1914 (Princeton, N.J., 1995); John Horne and Alan Kramer, German Atrocities 1914: A History of Denial (New Haven, 2001), 157-8; Manfred Gailus, Protestantismus und Nationalsozialismus: Studien zur nationalsozialistischen Durchdringung des protestantischen Sozialmilieus in Berlin (Cologne, 2001), 40-51. For religious divisions and politics in the Weimar Republic, see Georges Castellan, L’Allemagne de Weimar 1918-1933 (Paris, 1969), 209-40, still one of the few general histories of the Weimar Republic to take religion seriously. For the Day of Potsdam, see Evans, The Coming of the Third Reich, 350-51.
-
-3 . Martin Niemöller, From U-Boat to Pulpit (London, 1936 [1934]), 143.
-
-4 . Ibid., 180-83, 187; James Bentley, Martin Niemöller (Oxford, 1984), 20-30, 39-40.
-
-5 . Ibid., 42-68.
-
-6 . Nipperdey, Deutsche Geschichte 1866-1918, I. 507-28, for secularization in the nineteenth century; Hugh McLeod, Religion and the People of Western Europe 1789-1989 (Oxford, 1997 [1981], esp. 118-31, offers a good general survey; idem, Piety and Poverty: Working-Class Religion in Berlin, London, and New York 1870-1914 (New York, 1996) is a detailed comparative account.
-
-7 . Richard Steigmann-Gall, The Holy Reich: Nazi Conceptions of Christianity 1919-1945 (Cambridge, 2003), 13-19, 68; Gailus, Protestantismus, 29-40, 643-4; see also Günter Brakelmann, ‘Hoffnungen und Illusionen evangelischer Prediger zu Beginn des Dritten Reiches: Gottesdienstliche Feiern aus politischen Anlässen’, in Peukert and Reulecke (eds.), Die Reihen fast geschlossen, 129-48.
-
-8 Steigmann-Gall, The Holy Reich, 134-40.
-
-9 . Günter Brakelmann, ‘Nationalprotestantismus und Nationalsozialismus’, in Christian Jansen et al. (eds.), Von der Aufgabe der Freiheit: Politische Verantwortung und bürgerliche Gesellschaft im 19. und 20. Jahrhundert: Festschrift für Hans Mommsen zum 5. November 1995 (Berlin, 1995), 337-50.
-
-10 . Detlef Schmiechen-Ackermann, Kooperation und Abgrenzung: Bürgerliche Gruppen, evangelische Kirchengemeinden und katholisches Sozialmilieu in der Auseinandersetzung mit dem Nationalsozialismus in Hannover (Hanover, 1999), esp. 138-60; Ernst Klee, ‘Die SA Jesu Christi’: Die Kirche im Banne Hitlers (Frankfurt am Main, 1989), esp. 11-81; Bjorn Mensing, Pfarrer und National sozialismus: Geschichte einer Verstrickung am Beispiel der Evangelisch-Lutherischen Kirche in Bayern (Göttingen, 1998), esp. 147-79; Robert P. Ericksen, Theologians under Hitler: Gerhard Kittel, Paul Althaus, and Emanuel Hirsch (New Haven, 1985).
-
-11 . Rainer Lächele, Ein Volk, ein Reich, ein Glaube: Die Deutschen Christen in Württemberg 1925-60 (Stuttgart, 1993); Thomas M. Schneider, Reichsbischof L. Müller: Eine Untersuchung zu Leben, Werk und Persönlichkeit (Gottingen, 1993); Reijo E. Heinonen, Anpassung und Identität: Theologie und Kirchenpolitik der Bremer Deutschen Christen 1933-1945 (Göttingen, 1978), esp. 19-47; Kurt Meier, Die Deutschen Christen: Das Bild einer Bewegung im Kirchenkampf des Dritten Reiches (Göttingen, 1964), esp. 1-37; James A. Zabel, Nazism and the Pastors: A Study of the Ideas of Three Deutsche Christen Groups (Missoula, Mont., 1976).
-
-12 . Quoted in Bracher, Stufen, 448.
-
-13 . Gailus, Protestantismus, 139-95.
-
-14 . Cited in Bracher, Stufen, 451.
-
-15 . Klaus Scholder, Die Kirchen und das Dritte Reich, I: Vorgeschichte und Zeit der Illusionen 1918-1934 (Frankfurt am Main, 1977), Part 2, chapters 4-7, 10 and 12, provides a magisterially detailed narrative of these events.
-
-16 . Gailus, Protestantismus, 640-46. Bergen, Twisted Cross, 61-81.
-
-17 . Ibid., 103, 145, 166; Scholder, Die Kirchen, 702-5.
-
-18 Eberhard Bethge, Dietrich Bonhoeffer: Theologe, Christ, Zeitgenosse (Munich, 1967), 321-6, 363-5; Jurgen Schmidt, Martin Niemöller im Kirchenkampf (Ham burg, 1971), 121-78; more generally on Protestantism and antisemitism in this period, Jochen-Christoph Kaiser, ‘Protestantismus, Diakonie und “Judenfrage” 1933-41’, VfZ 37 (1989), 673-714.
-
-19 . Gailus, Protestantismus, 647-53. These figures derive from the Confessing Church in the mid-to-late 1930s (see next paragraph).
-
-20 . Eberhard Busch, Karl Barths Lebenslauf: Nach seinen Briefen und autobiographischen Texten (Munich, 1975). Barth’s writings on the Confessing Church are available in Karl Barth zum Kirchenkampf: Beteiligung - Mahnung - Zuspruch (Munich, 1956), esp. 213-36; see also Karl Barth, The German Church Conflict (London, 1965).
-
-21 . Bracher, Stufen, 441-62; John S. Conway, The Nazi Persecution of the Churches 1933-1945 (London, 1968), 191; Bergen, Twisted Cross, 17-18.
-
-22 Ribbe (ed.), Die Lageberichte, I. 385 (Lagebericht, Dec. 1935); Helmut Witetschek (ed.), Die kirchliche Lage in Bayern nach den Regierungspräsidentenberichten 1933-1945, II: Regierungsbezirk Ober- und Mittelfranken (Mainz, 1967), 66 (Lagesonderbericht der Regierung 9 December 1935, no. 54); for Niemöller, see Gailus, Protestantismus, 327-31, and Martin Niemöller, Dahlemer Predigten 1936/37 (Munich, 1981).
-
-23 . Ribbe (ed.), Die Lageberichte, 231.
-
-24 . Klein (ed.), Die Lageberichte, 365 (Lagebericht, Dec. 1935).
-
-25 . For a detailed account of these events to the autumn of 1934, see Scholder, Die Kirchen, II: Das Jahre der Ernüchterung 1934. Barmen und Rom (Berlin, 1985), 11-118, 159-220, 269-356.
-
-26 . For Meiser, see Witetschek (ed.), Die kirchliche Lage, II. 34-59.
-
-27 . Bonhoeffer to Sutz, 28 April 1934, in Dietrich Bonhoeffer, Gesammelte Schriften, ed. Eberhard Bethge (Munich, 1958), I. 39-40 (quoted in Bergen, Twisted Cross, 140).
-
-28 Gailus, Protestantismus, 654-6, 661-2.
-
-29 . Bentley, Martin Niemöller, 67-9; Gailus, Protestantismus, 656-8. Wolfgang Gerlach, Als die Zeugen schwiegen: Bekennende Kirche und die Juden (Berlin, 1993).
-
-30 . Gailus, Protestantismus, 658.
-
-31 . Klepper, Unter dem Schatten, 41 (8 March 1933, 11 March 1933), 46-7 (30 March 1933); Christopher Clark, The Politics of Conversion: Missionary Protestantism and the Jews in Prussia, 1728-1941 (Oxford, 1995), esp. 285-98.
-
-32 . Robert P. Ericksen, ‘A Radical Minority: Resistance in the German Protestant Church’, in Nicosia and Stokes (eds.), Germans Against Nazism, 115-36; Shelley Baranowski, The Confessing Church, Conservative Elites, and the Nazi State (New York, 1986); Scholder, Die Kirchen, I. 701-42; Steigmann-Gall, The Holy Reich, 184-5; Ruth Zerner, ‘German Protestant Responses to Nazi Persecution of the Jews’, in Randolph Braham (ed.), Perspectives on the Holocaust (Boston, 1983), 57-68, quoting Niemöller’s sermon at 63; Victoria Barnett, For the Soul of the People: Protestant Protest against Hitler (Oxford, 1992), esp. 60-103; for the Aryan Paragraph, Bergen, Twisted Cross, 57; for the Confessing Church and antisemitism, see Friedländer, Nazi Germany, 44-5; for a striking example of a confrontation between pastors of the German Christian and Confessing persuasions over the Aryan Paragraph, see Broszat et al. (eds.), Bayern, I. 110-11 (Aus Monatsbericht der Gendarmerie-Station Heiligenstadt, 25 Nov. 1937).
-
-33 . Ribbe (ed.), Die Lageberichte, 231.
-
-34 . Ibid., 230.
-
-35 . Bracher, Stufen, 458-62.
-
-36 . Bergen, Twisted Cross, 189-90.
-
-37 . Conway, The Nazi Persecution, 116-39.
-
-38 Ibid., 202-214; Ribbe (ed.), Die Lageberichte, 243-4; Bentley, Martin Niemöller , 92-130.
-
-39 Steigmann-Gall, The Holy Reich, 185-7 (an unsympathetic account, omitting all details of Niemöller’s maltreatment); Conway, The Nazi Persecution, 212-13 and 433 n. 24; Bentley, Martin Niemöller, 143-7. Niemöller was tried alongside Otto Dibelius, another significant, if less well-known figure in the Confessing Church, who was also acquitted.
-
-40 . Stein, I Was in Hell, 147-51, quotes at 148, 151.
-
-41 . Bentley, Martin Niemöller, 147-57.
-
-42 . Gailus, Protestantismus, 329-31, 333-44.
-
-43 . Peter Novick, The Holocaust and Collective Memory: The American Experience (London, 2000), 221; the text authorized by Niemöller’s widow Sibylle Niemöller, is quoted in full (in German) in Ruth Zerner, ‘Martin Niemöller, Activist as Bystander: The Oft-Quoted Reflection’, in Marvin Perry and Frederick M. Schweitzer (eds.), Jewish-Christian Encounters over the Centuries: Symbiosis, Prejudice, Holocaust, Dialogue (New York, 1994), 327-40, at 336 n. 7
-
-44 . Subsequent manipulations of Niemöller’s statement, in the Encylopedia of the Holocaust and elsewhere, moved the Jews to first place in the list; others, including the US Holocaust Memorial Museum in Washington, D.C., omitted the Communists altogether. See Lionel Kochan, ‘Martin Niemöller’, in Yisrael Gutman (ed.), Encyclopedia of the Holocaust (4 vols., New York, 1990), III. 1,061; Jeshajahu Weinberg and Rina Elieli, The Holocaust Museum in Washington (New York, 1995), 163. In 1946, Niemöller remarked in a sermon after the war that if he had recognized in 1933 that in the Communists who were being thrown into concentration camps, Jesus Christ himself was being imprisoned, and stood by them, things might have been different (Bentley, Martin Niemöller, 165).
-
-45 . Adolf Hitler, Mein Kampf, translated by Ralph Manheim (London, 1969 [1925-7]), 393; more generally, see Steigmann-Gall, The Holy Reich, 29-46, 51-84.
-
-46 . Ibid., 133-4.
-
-47 . For some qualifications, see Oded Heilbronner, Die Achillesferse des deutschen Katholizismus (Gerlingen, 1998). For Catholic criticism of the Nazis, see Guenter Lewy, The Catholic Church and Nazi Germany (New York, 1964), 3-24.
-
-48 . Alfons Kupper (ed.), Staatliche Akten über die Reichskonkordatsverhandlungen 1933 (Mainz, 1969), provides extensive documentation of the Church’s concerns.
-
-49 . Scholder, Die Kirchen, I. 627-62, quotes at 630, 632; Lewy, The Catholic Church, 115-50. For details of the variety of positions within the Church on these tactics, see Ludwig Volk, Bayerns Episkopat und Klerus in der Auseinandersetzung mit dem Nationalsozialismus 1930-1934 (Mainz, 1965); and Saul Friedländer, Pius XII and the Third Reich (London, 1966).
-
-50 . Conway, The Nazi Persecution, 67-71, 89-90.
-
-51 . Ibid., 78-81.
-
-52 . Ibid., 90-94; Lewy, The Catholic Church, 168-75; see above, 32-6, for the events of 1934.
-
-53 . Alfred Rosenberg, Der Mythus des 20. Jahrhunderts: Eine Wertung der seelisch-geistigen Gestaltenkämpfe unserer Zeit (Munich, 1935), esp. 607-36; Robert Cecil, The Myth of the Master Race: Alfred Rosenberg and Nazi Ideology (London, 1972), esp. 82-104, is still the best account of Rosenberg’s ideas.
-
-54 . Klein (ed.), Die Lageberichte, 270 (Lagebericht, May 1935); Lewy, The Catholic Church, 151-68.
-
-55 . Bernhard Stasiewski (ed.), Akten deutscher Bischöfe über die Lage der Kirche 1933-1945, II: 1934-1935 (Mainz, 1976), 299-300 (Hirtenwort des deutschen Episkopats, 23 August 1935).
-
-56 . Peter Löffler (ed.), Bischof Clemens August Graf von Galen: Akten, Briefe und Predigten 1933-1946, I: 1933-1939 (Mainz, 1988), lxiv-lxvii, 168-84.
-
-57 . Ibid., 188-9 (Galen to Hitler, 7 April 1935).
-
-58 . Conway, The Nazi Persecution, 107-12; Klein (ed.), Die Lageberichte, 193, 207-8, 235, 246-8, 270, 282.
-
-59 . Ibid., 319; Conway, The Nazi Persecution, 157-60.
-
-60 . Klein (ed.), Die Lageberichte, 364.
-
-61 . Ibid., 208, 222-3.
-
-62 . Witetschek (ed.), Die kirchliche Lage, I: Regierungsbezirk Oberbayern (Mainz, 1966), 145, 150, 153 (reports of 9 June and 7-10 July 1936).
-
-63 . Ibid., 251 (Monatsbericht der Regierung Oberbayern, 10 July 1937).
-
-64 . Fröhlich (ed.), Die Tagebücher, I/III. 353-4 (31 January 1937); see more generally Hans Günter Hockerts, ‘Die Goebbels-Tagebücher 1932-1941: Eine neue Hauptquelle zur Erforschung der nationalsozialistischen Kirchenpolitik’, in Dieter Albrecht et al. (eds.), Politik und Konfession: Festschrift für Konrad Repgen zum 60. Geburtstag (Berlin, 1983), 359-92.
-
-65 . Jeremy Noakes, ‘The Oldenburg Crucifix Struggle of November 1936: A Case Study of Opposition in the Third Reich’, in Peter D. Stachura (ed.), The Shaping of the Nazi State (London, 1978), 210-33. For a similar incident in Cham, Bavaria, see Walter Ziegler (ed.), Die kirchliche Lage in Bayern nach den Regierungspräsidentenberichten 1933-1943, IV: Regierungsbezirk Niederbayern und Oberpfalz 1933-1945 (Mainz, 1973), 229 (Monatsbericht der Regierung Regensburg, 8 May 1939); for documents on the state of the Church in Aachen, see Bernhard Vollmer (ed.), Volksopposition im Polizeistaat: Gestapo und Regierungsberichte 1934 bis 1936 (Stuttgart, 1957); for Baden, see Jörg Schadt (ed.), Verfolgung und Wider stand unter dem Nationalsozialismus in Baden: Die Lageberichte der Gestapo und des Generalstaatsanwalts Karlsruhe 1933-1940 (Stuttgart, 1975).
-
-66 . Heinz Boberach (ed.), Berichte des SD und der Gestapo über Kirchen und Kirchenvolk in Deutschland 1934-1944 (Mainz, 1971): ‘Lageberichte des Chefs des Sicherheitsamtes des Reichsführers SS, Mai/Juni 1934’, 3-63, at 25-31; ibid.: ‘Das katholische Vereinswesen: Die Organisation der katholischen Jugendvereine. Sonderbericht des Chefs des Sicherheitshauptamtes des Reichsführers SS, September 1935’, 118-51 (quote at 125); ibid.: ‘Lagebericht der Zentralabteilung II/I des Sicherheitshauptamtes des Reichsführers SS für Januar 1938’, 274-8.
-
-67 Steinweis, Art, 137-8.
-
-68 . Dieter Albrecht (ed.), Der Notenwechsel zwischen dem Heiligen Stuhl und der deutschen Reichsregierung (3 vols., Mainz, 1965-80), I: Von der Ratifizierung des Reichskonkordats bis zur Enzyklika ‘Mit brennender Sorge’, esp. 6 (Denkschrift des erzbischöflichen Ordinariats München-Freising, 2 October 1933), 3-8, 37-44 and reply by German government 15 January 1934, (Promemoria des Heiligen Stuhls an die deutsche Reichsregierung 31 January 1934), 47-72, etc..
-
-69 . Ibid., 61.
-
-70 . Witetschek (ed.), Die kirchliche Lage, III: Regierungsbezirk Schwaben (Mainz, 1971), gives a particularly good impression of these myriad local struggles; see also Ziegler (ed.), Die kirchliche Lage, IV. xxxv; Edward N. Peterson, The Limits of Hitler’s Power (Princeton, N.J., 1969), 301-4; and Ian Kershaw, Popular Opinion and Political Dissent in the Third Reich: Bavaria 1933-1945 (Oxford, 1983), 185-223.
-
-71 . Both drafts of the Encyclical reprinted in Albrecht (ed.), Der Notenwechsel, I. 404-43.
-
-72 . Ibid., 410; contemporary English translation in On the Condition of the Church in Germany (London, 1937); see also Ernst C. Helmreich, The German Churches under Hitler: Background, Struggle and Epilogue (Detroit, Mich., 1979), 279-83; Conway, The Nazi Persecution, 164-7.
-
-73 . Albrecht (ed.), Der Notenwechsel, I. 421.
-
-74 . Ibid., II: 1937-1945, response of German Aambassador to Pacelli, 12 April 1937 (1-5) and following correspondence; also Witetschek, Die kirchliche Lage, II. 166-71 (Monatsbericht der Regierung Ansbach, 6 April 1937).
-
-75 . Boberach (ed.), Berichte (Lagebericht der Zentralabteilung II/1 des Sicherheitshauptamtes des Reichsführers SS fur Januar 1938), 274-8.
-
-76 . Edward D. R. Harrison, ‘The Nazi Dissolution of the Monasteries: A Case-Study’, English Historical Review, 109 (1994), 323-55; Witetschek (ed.), Die Kirchliche Lage, I. 244-6, 252-3, 299 (reports of Polizeidirektion 7 July 1937, 7 Aug. 1937, report of Regierung, 10 Nov. 1938).
-
-77 . Ulrich von Hehl et al. (eds.), Priester unter Hitlers Terror: Eine biographische und statistische Erhebung (2 vols., Mainz, 1996 [1984]).
-
-78 . Völkischer Beobachter, 212 (31 July 1935), 2; ibid., 337, Ausgabe A/Nord deutsche Ausgabe, Berlin, 3 December 1935, front page.
-
-79 . Ibid., 345, 11 December 1935, page 2; Nachtausgabe, 121, 26 May 1936.
-
-80 . Berliner Morgenpost, 102, 29 April 1937, front page; for priests and monks accused of sexual offences against young girls, see Ziegler (ed.), Die kirchliche Lage, IV. 173-5 (Monatsbericht der Regierung Regensburg, 8 December 1937).
-
-81 . 12-Uhr-Blatt, Berlin, 102, 29 April 1937, front page.
-
-82 . Ibid., 128, 29 May 1937, front page.
-
-83 . Hans Günter Hockerts, Die Sittlichkeitsprozesse gegen katholische Ordensan gehörige und Priester 1936/37: Eine Studie zur nationalsozialistischen Herrschaftstechnik und zum Kirchenkampf (Mainz, 1971), 78-112; quote from Völkischer Beobachter, 12 June 1936, at 91.
-
-84 . Quoted in Reuth, Goebbels, 361.
-
-85 . 12-Uhr-Blatt, Berlin, 128, 29 May 1937, pages 1-2; Nachtausgabe, 122, 29 May 1937, page 3; Völkischer Beobachter, 159, 30 May 1937, pages 3-4; Hockerts, Die Sittlichkeitsprozesse, 113-18.
-
-86 . Conway, The Nazi Persecution, 168-91; Bertram quote at 179; Hockerts, Die Sittlichkeitsprozesse, 132-46. Broszat et al. (eds.), Bayern, I. 107.
-
-87 . Völkischer Beobachter, 145, 25 May 1937, page 3.
-
-88 . Conway, The Nazi Persecution, 168-95; Witetschek (ed.), Die kirchliche Lage, II. 300 n.2; George L. Mosse (ed.), Nazi Culture: Intellectual, Cultural and Social Life in the Third Reich (New York, 1975), 250-55, citing a list of complaints by the Confessing Church Bishop Theophil Wurm in Württemberg from June 1939, in Joachim Beckmann (ed.), Kirchliches Jahrbuch für die evangelische Kirche in Deutschland 1933-1944 (Gütersloh, 1948), 343-7; Rolf Eilers, Die national sozialistische Schulpolitik: Eine Studie zur Funktion der Erziehung im totalitären Staat (Cologne, 1963), 22-8, 85-92 for statistics; good regional study by Franz Sonnenberger, ‘Der neue “Kulturkampf”. Die Gemeinschaftsschule und ihre historischen Voraussetzungen’, in Broszat et al. (eds.), Bayern, III. 235-327.
-
-89 . Witetschek (ed.), Die kirchliche Lage, I: 283 (Monatsbericht der Regierung Oberbayern, 9 Dec. 1937).
-
-90 . Helmut Prantl (ed.), Die kirchliche Lage in Bayern nach den Regierungspräsidentenberichten 1933-1945, V: Regierungsbezirk Pfalz 1933-1940 (Mainz, 1978), lv.
-
-91 . Ziegler (ed.), Die kirchliche Lage, IV, 201 (Monatsbericht der Regierung Regensburg, 8 June 1938).
-
-92 . Albrecht (ed.), Der Notenwechsel, II. passim.
-
-93 . Quoted in Conway, The Nazi Persecution, 216-17.
-
-94 . Ibid., 218-19; Kershaw, The ‘Hitler Myth’, 105-20. For the village schoolteacher as the leading force in the fight against the Church, led by the village priest, see the illuminating contemporary reports by the Nazi teachers’ organization in Broszat et al. (eds.), Bayern, 1. 549-51.
-
-95 . Evans, The Coming of the Third Reich, 13-14; Denis Mack Smith, Modern Italy: A Political History (New Haven, 1997 [1959]), 83-5, 91-2, 200-201; Theodore Zeldin (ed.), Conflicts in French Society: Anticlericalism, Education and Morals in the Nineteenth Century (London, 1970).
-
-96 . Steigmann-Gall, The Holy Reich, 91-101.
-
-97 . For exaggerated claims of Rosenberg’s influence, see for example Robert A. Pois, National Socialism and the Religion of Nature (London, 1986), esp. 42
-
-98 . Henry Picker, Hitlers Tischgespräche im Führerhauptquartier 1941-42 (Bonn, 1951), 275 (11 April 1942); Fest, The Face, 254-5.
-
-99 . Reinhard Bollmus, ‘Alfred Rosenberg: National Socialism’s “Chief Ideologue”? ’ in Smelser and Zitelmann (eds.), The Nazi Elite, 183-93, at 187; and more generally, Harald Iber, Christlicher Glaube oder rassischer Mythus: Die Auseinandersetzung der Bekennenden Kirche mit Alfred Rosenbergs ‘Der Mythus des 20. Jahrhunderts’ (Frankfurt am Main, 1987), esp. 170-81; and Raimund Baumgärtner, Weltanschauungskampf im Dritten Reich: Die Auseinandersetzung der Kirchen mit Alfred Rosenberg (Mainz, 1977), esp. 106-34, 153.
-
-100 . Promemoria des Heiligen Stuhls an die Deutsche Reichsregierung, 13 May 1934, in Albrecht (ed.), Der Notenwechsel, 125-64, at 134-7, also quoted and translated in Conway, The Nazi Persecution, 109.
-
-101 . Johann Neuhäusler, Kreuz und Hakenkreuz: Der Kampf des Nationalsozial ismus gegen die katholische Kirche und der kirchliche Widerstand (Munich, 1946), 251, cited in Mosse (ed.), Nazi Culture, 241.
-
-102 . Nuremberg document PS-3751, in Wulf, Literatur, 299-300. For further examples, see Gilmer W. Blackburn, Education in the Third Reich: A Study of Race and History in Nazi Textbooks (Albany, N.Y., 1985), 75-92, at 85.
-
-103 . Reck-Malleczewen, Diary, 33. For the somewhat questionable reliability of Reck’s anecdotes, however, see below, 416.
-
-104 . Steigmann-Gall, The Holy Reich, 126-7; Albrecht (ed.), Der Notenwechsel, I. 134-7
-
-105 . Steigmann-Gall, The Holy Reich, 101-4.
-
-106 . Ackermann, Heinrich Himmler, 253-4; Bradley F. Smith and Agnes F. Peterson (eds.), Heinrich Himmler-Geheimreden 1933-1945 und andere Ansprachen (Frankfurt am Main, 1974), 160-61; Hans-Jochen Gamm, Der braune Kult: Das Dritte Reich und seine Ersatzreligion: Ein Beitrag zur politischen Bildung (Hamburg, 1962), esp. 78-89, 156-90; Manfred Ach and Clemens Pentrop (eds.), Hitlers ‘Religion’: Pseudoreligiöse Elemente im nationalsozialistischen Sprachgebrauch (Munich, 1991 [1979]).
-
-107 . Klein (ed.), Die Lageberichte, I. 195; (Ubersicht der Staatspolizeistelle Kassel über die politische Lage im November 1934); Steigmann-Gall, The Holy Reich, 222.
-
-108 . Ibid., 87-91.
-
-109 . Ibid., 219-28.
-
-110 . Ibid., 230-40.
-
-111 Conway, The Nazi Persecution, 213-22; Heike Kreutzer, Das Reichskirchenministerium im Gefüge der nationalsozialistischen Herrschaft (Dusseldorf, 2000), esp. 100-130.
-
-112 . Gailus, Protestantismus, 664-6.
-
-113 . Detlef Garbe, Zwischen Widerstand und Martyrium: Die Zeugen Jehovas im ‘Dritten Reich’ (Munich, 1993); Michael H. Kater, ‘Die ernsten Bibelforscher im Dritten Reich’, VfZ 17 (1969), 181-218; Zeidler, Das Sondergericht Freiberg, 49-55; Gerhard Hetzer, ‘Ernste Bibelforscher in Augsburg’, in Broszat et al. (eds.), Bayern, IV. 621-43. There is a good local study in Walter Struve, Aufstieg und Herrschaft des Nationalsozialismus in einer industriellen Kleinstadt: Osterode am Harz 1918-1945 (Essen, 1992), 242-74.
-
-114 . Wachsmann, Hitler’s Prisons, 125-8; Hans-Ulrich Ludewig and Dietrich Kuessner, ‘Es sei also jeder gewarnt’: Das Sondergericht Braunschweig 1933-1945 (Braunschweig, 2000), 89-90.
-
-115 Hans-Eckhard Niermann, Die Durchsetzung politischer und politisierter Strafjustiz im Dritten Reich (Dusseldorf, 1995), 295-305; Schmidt, ‘Beabsichtige ich, die Todesstrafe zu beantragen’, 105-7; Wachsmann, Hitler’s Prisons, 180-83.
-
-116 . Höss, Commandant, 94-8, 151-2.
-
-117 . Ribbe (ed.), Die Lageberichte, 230 (Lagebericht der Staatspolizeistelle Potsdam fur Februar 1935).
-
-118 . Höhne, The Order, 131-6; Ackermann, Heinrich Himmler, 253-4; Steigmann-Gall, The Holy Reich, 120, 122, 132, 149-53. For Hitler’s views on Himmler’s religious ideas, see Speer, Inside, 94-5, 122. For public disquiet over the ‘SS’s alleged hostility to Christianity’, see Ribbe (ed.), Die Lageberichte, 429 (Lagebericht der Staatspolizeistelle Potsdam fur den Monat Februar 1936). See also Wolfgang Dierker, ‘ “Niema’s Jesuiten, Niema’s Sektierer”: Die Religionspolitik des SD 1933-1941’, in Michael Wildt (ed.), Nachrichtendienst, politische Elite, Mordeinheit: Der Sicherheitsdienst des Reichsführers SS (Hamburg, 2003), 86-117.
-
-119 . Domarus, Hitler, III. 1,145-7 (translation amended).
-
-120 . Klaus Vondung, Magie und Manipulation: Ideologischer Kult und politische Religion des Nationalsozialismus (Gottingen, 1971); Eric Voegelin, The New Science of Politics: An Introduction (Chicago, 1952); James M. Rhodes, The Hitler Movement: A Modern Millenarian Revolution (Stanford, 1980); Uriel Tal, Structures of German ‘Political Theology’ in the Nazi Era (Tel Aviv, 1979); Claus-Ekkehard Bärsch, Die politische Religion des Nationalsozialismus: Die religiöse Dimension der NS-Ideologie in den Schriften von Dietrich Eckart, Joseph Goebbels, Alfred Rosenberg und Adolf Hitler (Munich, 1998); Michael Ley and Julius H. Schoeps (eds.), Der Nationalsozialismus als politische Religion (Bodenheim, 1997); Hans Maier, Politische Religionen: Die totalitären Regime und das Christentum (Freiburg, 1995).
-
-121 . Numerous examples in Blackburn, Education, chapter 4 (‘The Secular Religious Character of National Socialist History’, 75-92); for a contemporary comment on the use of religious language in relation to Hitler, see Klemperer, I Shall Bear Witness, 39 (11 November 1933).
-
-122 . Domarus (ed.), Hitler, II. 833.
-
-123 . Gailus, Protestantismus, 664-5; Kershaw, The ‘Hitler Myth’, 106-8.
-
-124 . Philippe Burrin, ‘Political Religion. The Relevance of a Concept’, History and Memory, 9 (1997), 321-49, provides more examples of religious language in Nazi rhetoric, but passes over too easily Hitler’s hostility to the revival of pseudo-Germanic paganism: Richard Steigmann-Gall, ‘Was National Socialism a Political Religion or a Religious Politics?’, in Michael Geyer and Hartmut Lehmann (eds.), Religion und Nation: Nation und Religion. Beiträge zu einer unbewältigten Geschichte (Gottingen, 2004), 386-408, provides further examples of the hostility of many leading Nazis to paganist pseudo-religion.
-
-125 George L. Mosse, The Nationalization of the Masses: Political Symbolism and Mass Movements in Germany from the Napoleonic Wars through the Third Reich (New York, 1975), esp. 207-17.
-
-126 . Blackburn, Education, 87.
-
-127 Detlev J. K. Peukert, ‘The Genesis of the “Final Solution” from the Spirit of Science’, in Thomas Childers and Jane Caplan (eds.), Reevaluating the Third Reich (New York, 1993), 234-52.
-
-128 ‘Aus dem Jahresbericht des Direktors der Grossen Stadtschule (Gymnasium und Oberrealschule) zu Wismar über das Schuljahr 1933/34’, no. 105 in Joachim S. Hohmann and Hermann Langer (eds.), ‘Stolz, ein Deutscher zu sein . . .’ Nationales Selbstverständnis in Schulaufsätzen 1914-1945 (Frankfurt am Main, 1995), 208.
-
-129 . Ibid., 226, no. 118: ‘Adolf Hitler als Knabe: Aus dem Schreibheft von A. Sch., Weingarten, o.J.’.
-
-130 Ibid., 257, no. 142: ‘Waren unsere germanischen Vorfahren Barbaren? Aufsatz des Schülers M. K., Volksschule Tiefensee, 22. September 1937’.
-
-131 . Ibid., 276-7, no. 156: ‘Totengedenken. Aufsatzentwurf des 14jährigen Schülers M. K., Volksschule Tiefensee, vom November 1938’.
-
-132 . Behnken (ed.), Deutschland-Berichte, II (1935), 203.
-
-133 . Hohmann and Langer (eds.), ‘Stolz’, 270-71, no. 153: ‘Die Judenfrage ist eine Rassenfrage. Aufsatzentwurf von M. K., Schüler der 8. Klasse an der Volksschule in Tiefensee, Kreis Eilenburg, 1938’; further examples of schoolwork from this period in Dieter Rossmeissl, ‘Ganz Deutschland wird zum Führer halten . . .’ Zur politischen Erziehung in den Schulen des Dritten Reiches (Frankfurt am Main, 1985), 110-66.
-
-134 . Blackburn, Education, 34-74; Mosse (ed.), Nazi Culture 283-4, citing The Times (London), 29 January 1935. See also Kurt-Ingo Flessau, Schule der Diktatur: Lehrpläne und Schulbächer des Nationalsozialismus (Munich, 1977), 59-62, 76-82.
-
-135 . Hohmann and Langer, ‘Stolz’, 209; Eilers, Die nationalsozialistische Schulpolitik , 13-15.
-
-136 . Illustration reproduced in Lisa Pine, Nazi Family Policy, 1933-1945 (Oxford, 1997), 59; see more generally Rossmeissl, ‘Ganz Deutschland’, 171-80.
-
-137 . Deutsches Lesebuch für Volksschulen: Fünftes und sechstes Schuljahr (Braun schweig, n.d.), 365-6, quoted in Mosse (ed.), Nazi Culture, 291-3.
-
-138 . Franz Pöggeler, ‘Politische Inhalte in Fibeln und Lesebüchern des “Dritten Reiches” ’, in Joachim S. Hohmann (ed.), Erster Weltkrieg und Nationalsozialistische ‘Bewegung’ im deutschen Lesebuch 1933-1945 (Frankfurt am Main, 1988), 75-104.
-
-139 . For an example of such an illustration from a schoolbook, see Hohmann and Langer, ‘Stolz’, 234; also Lisa Pine, ‘The Dissemination of Nazi Ideology and Family Values through School Textbooks’, History of Education, 25 (1996), 91-110; and illustrations in eadem, Nazi Family Policy, 61-3.
-
-140 . Sylvelin Wissmann, Es war eben unsere Schulzeit: Das Bremer Volksschulwesen unter dem Nationalsozialismus (Bremen, 1993), 52; more generally, see Eilers, Die nationalsozialistische Schulpolitik, 28-30, and Flessau, Schule der Diktatur, 66-73.
-
-141 . Behnken (ed.), Deutschland-Berichte, III (1936), 197-8. For official directives, see Margarete Götz, Die Grundschule in der Zeit des Nationalsozialismus: Eine Untersuchung der inneren Ausgestaltung der vier unteren Jahrgänge der Volksschule auf der Grundlage amtlicher Massnahmen (Bad Heilbrunn, 1997), esp. 40-140. For the use of unofficial Nazi pamphlets and teaching materials distributed in schools before officially revised textbooks were issued, see Benjamin Ortmeyer, Schulzeit unterm Hitlerbild. Analysen, Berichte, Dokumente (Frankfurt am Main, 1996), 50-54; more generally, see Joachim Trapp, Kölner Schulen in der NS-Zeit (Cologne, 1994), 1-112.
-
-142 . Kurt-Ingo Flessau, ‘Schulen der Partei(lichkeit)? Notizen zum allgemeinbildenden Schulwesen des Dritten Reichs’, in idem et al. (eds.), Erziehung im Nationalsozialismus: ‘. . . und sie werden nicht mehr frei ihr ganzes Leben!’ (Cologne, 1987), 65-82; idem, Schule der Diktatur, 13-20; Wissmann, Es war eben unsere Schulzeit, 162, 193, for posters and noticeboards; Eilers, Die nationalsozialistische Schulpolitik, 31-7: the showing of films in schools became the subject of a typical Nazi power-struggle between the Propaganda Ministry and the Education Ministry (ibid., 32). School radio had little importance at this time (ibid., 32-33). For festivals, see Rossmeissl, ‘Ganz Deutschland’, 69-76.
-
-143 . Wolfgang Keim, Erziehung unter der Nazi-Diktatur, II: Kriegsvorbereitung, Krieg und Holocaust (Darmstadt, 1997), 34-56; Reinhard Dithmar, ‘Literaturunterricht und Kriegserlebnis im Spiegel der nationalsozialistischen Programmatik’, in Hohmann (ed.), Erster Weltkrieg, 54-74; Roland Schopf, ‘Von Nibelungentreue, Märtyrertod und verschwörerischer Verschwiegenheit’, in ibid., 194-214; Eilers, Die nationalsozialistische Schulpolitik, 85-98.
-
-144 Norbert Hopster and Ulrich Nassen, Literatur und Erziehung im Nationalsozialismus : Deutschunterricht als Körperkultur (Paderborn, 1983), 31-40; Flessau, Schule der Diktatur, 58-9.
-
-145 . Ibid., 140-43.
-
-146 . Ortmeyer, Schulzeit, 55-78, for the Nazification of a variety of subjects; also Geert Platner (ed.), Schule im Dritten Reich: Erziehung zum Tod? Eine Dokumentation (Munich, 1983), 42-54 and 246-55, for racism, and 55-62 and 203-45, for militarism.
-
-147 . Flessau, Schule der Diktatur, 82-4, 143-54.
-
-148 . Cited in Behnken (ed.), Deutschland-Berichte, VI (1939), 329; examples also in Wissmann, Es war eben unsere Schulzeit, 59-69.
-
-149 . Franz Schnass, Nationalpolitische Heimat- und Erdkunde (Osterwieck am Harz, 1938), esp. 54-5; Bruno Plache, Das Raumgefüge der Welt. Erdkundebuch für Schulen mit höheren Lehrzielen, I: Deutschland (Göttingen, 1939), esp. 2. Hans-Günther Bracht, Das höhere Schulwesen im Spannungsfeld von Demokratie und Nationalsozialismus: Ein Beitrag zur Kontinuitätsdebatte am Beispiel der preussischen Aufbauschule (Frankfurt am Main, 1998), 603-17, overstresses the resistance of this subject to reframing in terms of Nazi ideology.
-
-150 . Flessau, Schule der Diktatur, 82-3.
-
-151 . Henning Heske, ‘. . . und morgen die ganze Welt . . .’ Erdkundeunterricht im Nationalsozialismus (Giessen, 1988), 188-250; examples include Ekkehart Staritz, Deutsches Volk und deutscher Raum: Vom alten Germanien zum Dritten Reich (Berlin, 1938), and Friedrich W. Schaafhausen, Das Auslandsdeutschtum (Cologne, 1934). For a good summary of Nazi teaching, see Margret Kraul, Das deutsche Gymnasium 1780-1980 (Frankfurt am Main, 1984), 157-65.
-
-152 . Flessau, Schule der Diktatur, 99, 138-9.
-
-153 . Karl August Eckhardt, Die Grundschulausbildung (Dortmund, 1938), 90.
-
-154 . Platner (ed.), Schule, 121-3. However, the reminiscences of many well-known Germans printed in this collection, such as the later Federal Chancellor Helmut Kohl (82-3), underestimate in retrospect the extent to which the schools became permeated by racism and militarism in this period; the textbook extracts reproduced later in the book (203-65) provide an implicit corrective.
-
-155 . Trapp, Kölner Schulen, 39-40, 51-5.
-
-156 . ‘Six Years Education in Nazi Germany’, by an anonymous author, written in 1945 or 1946; typescript in the Leonard Nachlass, Box 12, Folder ‘Englische Untersuchungen ueber die Deutschen zu verschiedenen Fragen der Schulpolitik’, Georg-Eckert Institut fur Schulbuchforschung, Braunschweig. I am grateful to Riccarda Torriani for supplying me with a copy of this document.
-
-157 . See Bracht, Das höhere Schulwesen, for a good account of the balance of freedom and compulsion in the teaching situation in one larger school. Hermann Schnorbach (ed.), Lehrer und Schule unterm Hakenkreuz: Dokumente des Widerstands von 1930 bis 1945 (Königstein im Taunus, 1983), is remarkable for its lack of any documents on resistance by schoolteachers and their pupils in the Third Reich. See also Michael H. Kater, Hitler Youth (Cambridge, Mass., 2004), 42-4, about the growing politicization and compliance of teachers. For Jewish pupils, see below, 562-3.
-
-158 . Eilers, Die nationalsozialistische Schulpolitik, 66-9 (numbers at 68 n. 140).
-
-159 . Wolfgang Wippermann, ‘Das Berliner Schulwesen in der NS-Zeit. Fragen, Thesen und methodische Bemerkungen’, in Benno Schmoldt (ed.), Schule in Berlin: Gestern und heute (Berlin, 1989), 57-73, at 61-3; and Michael Burleigh and Wolfgang Wippermann, The Racial State: Germany 1933-1945 (Cambridge, 1991), 208, drawing on this article and other local history sources.
-
-160 . Eilers, Die nationalsozialistische Schulpolitik, 98-9.
-
-161 . Ibid., 3-6, 69-75.
-
-162 . Ibid., 6, 72-5, 76-85; Willi Feiten, Der nationalsozialistische Lehrerbund: Entwicklung und Organisation: Ein Beitrag zum Aufbau und zur Organisationsstruktur des nationalsozialistischen Herrschaftssystems (Weinheim, 1981), 177-84 (numbers at 181); Wolfgang Keim, Erziehung unter der Nazi-Diktatur, I: Antidemokratische Potentiale, Machtantritt und Machtdurchsetzung (Darmstadt, 1995), 97-112. Schemm died in 1935 and his successor Wächtler amended the foundation date retrospectively from 1927 to 1929, since it was only at the latter time that he himself had joined. See Schnorbach (ed.), Lehrer und Schule, 26-7; Behnken (ed.), Deutschland-Berichte, IV (1937), 874-5; and Trapp, Kölner Schulen, 28-47.
-
-163 . Behnken (ed.), Deutschland-Berichte, II (1935), 203; Wilfried Breyvogel and Thomas Lohmann, ‘Schulalltag im Nationalsozialismus’, in Peukert and Reulecke (eds.), Die Reihen fast geschlossen 199-221, at 215-16.
-
-164 . Breyvogel and Lohmann, ‘Schulalltag’, 216-18; examples of corporal punishment in Behnken (ed.), Deutschland-Berichte, II (1935), 208-9.
-
-165 Broszat et al., Bayern I. 543 (‘Bericht NSLB, Kreis Garmisch-Partenkirchen, Gau München-Oberbayern’, 2 June 1938); Trapp, Kölner Schulen, 39.
-
-166 Broszat et al. (eds.), Bayern, II. 531-2.
-
-167 . Behnken (ed.), Deutschland-Berichte, II (1935), 205-12, and III (1936), 205-7, probably overestimating the extent of principled teacher opposition to the regime. Further comments on declining teacher numbers in ibid., VI (1939), 322-6.
-
-168 . Official statistics, excerpted and commented, in ibid., VI (1939), 319-20;
-
-169 . Ibid., I (1934), 580.
-
-170 . Ibid., III (1936), 190-2
-
-171 . Ibid., VI (1939), 321.
-
-172 . Ibid., I (1934), 568.
-
-173 . Ibid., II (1935), 202; Wissmann, Es war eben unsere Schulzeit, 173.
-
-174 . Behnken (ed.) Deutschland-Berichte, IV (1937), 1,048-9; Rossmeissl, ‘Ganz Deutschland’, 47-50.
-
-175 . Eilers, Die nationalsozialistische Schulpolitik, 54-66.
-
-176 . Behnken (ed.), Deutschland-Berichte, I (1934), 567-74.
-
-177 Ibid., III (1936), 192.
-
-178 . Kater, Hitler Youth, 16; Arno Klönne, Jugend im Dritten Reich: Die Hitler Jugend und ihre Gegner (Cologne, 1999 [1982]), 33-4. For an example of an essay on the subject of ‘Warum bin ich nicht in der Hitlerjugend?’ from 25 April 1934, see Hohmann and Langer (eds.), ‘Stolz’, 222-3 (no. 113: Aufsatz von M.S.: the student promised to join forthwith).
-
-179 . Klönne, Jugend, 15-42, table of membership on 33 (figures for 1939 include Austria and the Sudetenland). For days off school, see Behnken (ed.), Deutschland-Berichte , I (1934), 552, and Trapp, Kölner Schulen, 67-72 (also for refusal of leaving certificate). On the Hitler Youth, see most recently Kater, Hitler Youth.
-
-180 . See Hubert Steinhaus, Hitlers pädagogische Maximen: ‘Mein Kampf’ und die Destruktion der Erziehung im Nationalsozialismus (Frankfurt am Main, 1981), 65-75, and Flessau, Schule der Diktatur, 22-31.
-
-181 . Hitler, Mein Kampf, 380, 383, 389.
-
-182 . Karl Christoph Lingelbach, Erziehung und Erziehungstheorien im nationalsozialistischen Deutschland: Ursprünge und Wandlungen der 1933-1945 in Deutschland vorherrschenden erziehungstheoretischen Strömungen; ihre politischen Funktionen und ihr Verhältnis zur ausserschulischen Erziehungspraxis des ‘Dritten Reiches’ (Frankfurt am Main, 1987 [1970]), 25-33, 65-80, 162-87; Ernst Hojer, Nationals ozialismus und Pädagogik: Umfeld und Entwicklung der Pädagogik Ernst Kriecks (Würzburg, 1996), 5-33 (on Hitler).
-
-183 . Domarus (ed.), Hitler, II. 701 (14 Sept. 1935); additional lines.
-
-184 . Behnken (ed.), Deutschland-Berichte, III (1936), 1,316.
-
-185 . Klönne, Jugend, 57-62.
-
-186 . Quoted in Behnken (ed.), Deutschland-Berichte, V (1938), 1,361.
-
-187 . Ibid., 1,362
-
-188 . Ibid., I (1934), 554.
-
-189 . Klönne, Jugend 133-4; for a good example; see also Hermann Graml, ‘Integration und Entfremdung: Inanspruchnahme durch Staatsjugend und Dienstpflicht’, in Ute Benz and Wolfgang Benz (eds.), Sozialisation und Traumatisierung: Kinder in der Zeit des Nationalsozialismus (Frankfurt am Main, 1992), 70-79, at 74-9.
-
-190 . Maschmann, Account Rendered, 19-20.
-
-191 . Ibid., 27-8; see more generally Dagmar Resse, ‘Bund Deutscher Mädel - Zur Geschichte der weiblichen deutschen Jugend im Dritten Reich’, in Frauengruppe Faschismusforschung (ed.), Mutterkreuz und Arbeitsbuch: Zur Geschichte der Frauen in der Weimarer Republik und im Nationalsozialismus (Frankfurt am Main, 1981), 163-87.
-
-192 . Behnken (ed.), Deutschland-Berichte, I (1934), 554; more generally, see Klönne, Jugend, 121-7.
-
-193 . Behnken (ed.), Deutschland-Berichte, I (1934), 555.
-
-194 . Ibid., III (1936), 1,313-4; personal reminiscences to the same effect in Hans Siemsen, Die Geschichte des Hitlerjungen Adolf Goer (Dusseldorf, 1947), 49.
-
-195 . Behnken (ed.), Deutschland-Berichte, IV (1937), 842-4.
-
-196 . Klönne, Jugend, 57; Rossmeissl, ‘Ganz Deutschland’, 77-89 (for collections).
-
-197 . Behnken (ed.), Deutschland-Berichte, I (1934), 556-7.
-
-198 . See already Reichsjugendführung (ed.), HJ im Dienst: Ausbildungsvorschrift für die Ertüchtigung der deutschen Jugend (Berlin, 1935).
-
-199 . Baldur von Schirach, Die Hitler-Jugend: Idee und Gestalt (Leipzig, 1938 [1934]), 57-65.
-
-200 . Behnken (ed.), Deutschland-Berichte, I (1934), 559-60; ibid., II (1935), 219-20; ibid., III (1936), 1,314-16, 1,323; more examples in ibid., IV (1937), 839-42; more examples of brutality in Kater, Hitler Youth, 30-31.
-
-201 . Behnken (ed.), Deutschland-Berichte, V (1938), 1,366.
-
-202 . Ibid., 1,378, 1,391-2.
-
-203 . Ibid.; also ibid., III (1936), 1,324-6; and ‘Six Years Education in Nazi Germany’, 4 (n. 156, above).
-
-204 . Behnken (ed.), Deutschland-Berichte, V (1938), 1,379.
-
-205 . Kurt Hass (ed.), Jugend unterm Schicksal - Lebensberichte junger Deutscher 1946-1949 (Hamburg, 1950), 61-2, cited in Klönne, Jugend, 142-3.
-
-206 . Karl-Heinz Janssen, ‘Eine Welt brach zusammen’, in Hermann Glaser and Axel Silenius (eds.), Jugend im Dritten Reich (Frankfurt am Main, 1975), 88-90.
-
-207 Behnken (ed.), Deutschland-Berichte, V (1938), 1,391.
-
-208 Ibid., V (1938), 1,403.
-
-209 . Ibid., III (1936) 1,320-22; Kater, Hitler Youth, 38, for an example of a Hitler Youth member denouncing his father to the Gestapo for criticizing Hitler.
-
-210 . Schirach, Die Hitler-Jugend, 104.
-
-211 Behnken (ed.), Deutschland-Berichte, V (1938), 1,403-5.
-
-212 . Ibid., III (1936), 1,322-3; for a similar example, see Klemperer, I Shall Bear Witness, 195 (31 December 1936).
-
-213 . Behnken (ed.), Deutschland-Berichte, I (1934), 564-6.
-
-214 . Ibid., V (1938), 1,392, 1,395, 1,398-1,400; further examples in ibid., II (1935), 692-4.
-
-215 Ibid., V (1938), 1,396; ibid., III (1936) 1,317-19, for further sexual scandals; also Siemsen, Die Geschichte, 172-3.
-
-216 . Kater, Hitler Youth, 61-2, 151-2.
-
-217 . Behnken (ed.), Deutschland-Berichte, IV (1937), 845.
-
-218 . Ibid., IV (1937), 836, also 876-7; more generally, Daniel B. Horn, ‘The Hitler Youth and Educational Decline in the Third Reich’, History of Education Quarterly, 16 (1976), 425-47.
-
-219 . Wissmann, Es war eben unsere Schulzeit, 52.
-
-220 . Michael Zimmermann, ‘Ausbruchshoffnungen: Junge Bergleute in den dreissiger Jahren’, in Niethammer (ed.), ‘Die Jahre weiss man nicht’, 97-132, at 99-100.
-
-221 . Boberach (ed.), Meldungen, II. 286 (Vierteljahreslagebericht 1939 des Sicherheitshauptamtes).
-
-222 . Behnken (ed.), Deutschland-Berichte, I (1934), 574; Eilers, Die nationalsozialistische Schulpolitik, 121-6. See also, more generally, Ortmeyer, Schulzeit, 61-4, and Rossmeissl, ‘Ganz Deutschland’, 54-7.
-
-223 . Trapp, Kölner Schulen, 39.
-
-224 . Eilers, Die nationalsozialistische Schulpolitik, 50-54, 111-14; Behnken (ed.), Deutschland-Berichte, VI (1939), 332.
-
-225 . Ibid., 313-14; Trapp, Kölner Schulen, 113-15.
-
-226 . Harald Scholtz, NS-Ausleseschulen: Internatsschulen als Herrschaftsmittel des Führerstaates (Gottingen, 1973), 29-49, 57-69; Eilers, Die nationalsozial istische Schulpolitik, 41-2.
-
-227 . Elke Fröhlich, ‘Die drei Typen der nationalsozialistischen Ausleseschulen’, in Johannes Leeb (ed.), ‘Wir waren Hitlers Eliteschüler’: Ehemalige Zöglinge der NS-Ausleseschulen brechen ihr Schweigen (Hamburg, 1998), 192-210, at 194-6 and 200.
-
-228 . Ibid., 201; Behnken (ed.), Deutschland-Berichte, V (1938), 1,386.
-
-229 . Fröhlich, ‘Die drei Typen’, 196-7.
-
-230 . Scholtz, NS-Ausleseschulen, 69; Horst Ueberhorst (ed.), Elite für die Diktatur: Die Nationalpolitischen Erziehungsanstalten 1933-1945: Ein Dokumentarbericht (Düsseldorf, 1969); see also the reminiscences in Leeb (ed.), ‘Wir waren’, 19-21, 76-7.
-
-231 . Fröhlich, ‘Die drei Typen’, 202-3; Kraul, Das deutsche Gymnasium, 173-6, emphasizes the ambivalent situation of the Napolas, between elite school and indoctrination centre. See also Stefan Baumeister, NS-Führungskader. Rekrutierung und Ausbildung bis zum Beginn des Zweiten Weltkriegs 1933-1939 (Konstanz, 1997), 22-47. Kater, Hitler Youth, 52, somewhat exaggerates their effectiveness; on this, see also Christian Schneider et al., Das Erbe der NAPOLA: Versuch einer Generationengeschichte des Nationalsozialismus (Hamburg, 1996), esp. 33-91, 189-92.
-
-232 . Eilers, Die nationalsozialistische Schulpolitik, 112.
-
-233 . Scholtz, NS-Ausleseschulen, 162-80; Kraul, Das deutsche Gymnasium, 176-8.
-
-234 Behnken (ed.), Deutschland-Berichte, V (1938), 1,387; Eilers, Die nationalsozialistische Schulpolitik, 46-7.
-
-235 . Scholtz, NS-Ausleseschulen, 245.
-
-236 . Eilers, Die nationalsozialistische Schulpolitik, 47; Fröhlich, ‘Die drei Typen’, 203-7; Baumeister, NS-Führungskader, 48-66; see also Kater, Hitler Youth, 48-51.
-
-237 Behnken (ed.), Deutschland-Berichte, V (1938), 1,387-8.
-
-238 Eilers, Die nationalsozialistische Schulpolitik, 48-9; Baumeister, NS-Führungskader , 67-76.
-
-239 . Hans-Dieter Arntz, Ordensburg Vogelsang 1934-1945: Erziehung zur politischen Führung im Dritten Reich (Euskirchen, 1986), 104, 180-82.
-
-240 . Hardy Krüger, ‘Von der Ordensburg nach Babelsberg’, in Leeb (ed.), ‘Wir waren’, 49-55.
-
-241 . Fröhlich, ‘Die drei Typen’, 208-10; Baumeister, NS-Führungskader, 81-5; Scholtz, NS-Ausleseschulen, 299-324.
-
-242 . Baumeister, NS-Führungskader, 88-90; Scholtz, NS-Ausleseschulen, 288.
-
-243 Eilers, Die nationalsozialistische Schulpolitik, 21-2.
-
-244 . Industrie- und Handelskammer Saarbrücken, cited in Behnken (ed.), Deutsch land-Berichte, VI (1939), 317, with further examples.
-
-245 . Hans Schemm, Hans Schemm spricht: Seine Reden und sein Werk (Bayreuth, 1941 [1945]), 243-7, cited in Mosse (ed.), Nazi Culture, 282-3; also Behnken (ed.), Deutschland-Berichte, IV (1937), 868-9; ibid., 1,051-4.
-
-246 . Ibid., I (1934), 575.
-
-247 . Trapp, Kölner Schulen, 67, 12-23.
-
-248 Behnken (ed.), Deutschland-Berichte, IV (1937), 866.
-
-249 Ibid., IV (1937), 878.
-
-250 . ‘Aus Tätigkeitsbericht des NSLB, Gau Mainfranken, Fachschaft II (Höhere Schulen), für das 2. und 3. Vierteljahr 1937’, in Broszat et al. (eds.), Bayern, I. 542-3.
-
-251 . Behnken (ed.), Deutschland-Berichte, IV (1937), 834. See also Georg Schwingl, Die Pervertierung der Schule im Nationalsozialismus: Ein Beitrag zum Begriff ‘Totalitäre Erziehung’ (Regensburg, 1993), 159-64 (‘Schule als vormilitäri sche Institution’).
-
-252 . Michael Grüttner, Studenten im Dritten Reich (Paderborn, 1995), 87-92; Hellmut Seier, ‘Der Rektor als Führer. Zur Hochschulpolitik des Reichserziehungsministeriums 1934-1945’, VfZ 12 (1964), 105-46. For Hitler’s speech, see Domarus (ed.), Hitler, II. 744. Traditionally, the Rectorship had been more a ceremonial than an executive office: see for example Frank Golczewski, Kolner Universitätslehrer und der Nationalsozialismus: Personengeschichtliche Ansätze (Cologne, 1988), 248-60.
-
-253 . Quoted in Grüttner, Studenten, 93.
-
-254 Ibid., 94-100. For the earlier history of the National Socialist German Students’ League, see Evans, The Coming of the Third Reich, 214-15, 429-31.
-
-255 . Grüttner, Studenten, 1-2; see also, more generally, Michael S. Steinberg, Sabers and Brown Shirts: The German Students’ Path to National Socialism, 1918-1935 (Chicago, 1977), 72-103.
-
-256 . Grüttner, Studenten, 245-59, quote on 254; see also Geoffrey J. Giles, Students and National Socialism in Germany (Princeton, N.J., 1985), 136-50.
-
-257 . Grüttner, Studenten, 259-60, 324.
-
-258 . Ibid., 287-316, quote on 307; Helma Brunck, Die Deutsche Burschenschaft in der Weimarer Republik und im Nationalsozialismus (Munich, 1999), esp. 330-59; Friedhelm Golücke (ed.), Korporationen und Nationalsozialismus (Schernfeld, 1989); Michael Grüttner, ‘Die Korporationen und der Nationalsozialismus’, in Harm-Hinrich Brandt and Matthias Stickler (eds.), ‘Der Burschen Herrlichkeit’. Geschichte und Gegenwart des studentischen Korporationswesens (Würzburg, 1998), 125-43; Steinberg, Sabers, 154-72; Giles, Students, 175-86; Rosco G. S. Weber, The German Student Corps in the Third Reich (London, 1986), 102-69 (informative, but somewhat exaggerating the dimensions of the fraternities’ resistance to Nazism). The fraternities dissolved also included non-duelling Catholic groups: see Hans Jürgen Rösgen, Die Auflösung der katholischen Studentenverbände im Dritten Reich (Bochum, 1995), esp. 105-46.
-
-259 . Grüttner, Studenten, 101-2, 487. In these and the following statistics, the 1939 figures are for the Altreich, i.e. not including Austria and the annexed part of Czechoslovakia, and are rounded off to the nearest thousand, or whole percentage.
-
-260 . Ibid., 126-35, 490.
-
-261 Eilers, Nationalsozialistische Schulpolitik, 18-21.
-
-262 . Grüttner, Studenten, 491 and 109-26; Irmgard Weyrather, ‘Numerus Clausus für Frauen - Studentinnen im Nationalsozialismus’, in Frauengruppe Faschismusforschung (ed.), Mutterkreuz, 131-62; Jill Stephenson, Women in Nazi Society (London, 1975), 130-46.
-
-263 . Grüttner, Studenten, 102-3; Norbert Wenning, ‘Das Gesetz gegen die Uberfüllung deutscher Schulen und Hochschulen vom 25. April 1933 - ein erfolgreicher Versuch der Bildungsbegrenzung?’, Die deutsche Schule, 78 (1986), 141-60.
-
-264 . Domarus, Hitler, II. 1, 251-2; see also Wilhelm Treue, ‘Rede Hitlers vor der deutschen Presse (10. November 1938)’, VfZ 6 (1958), 175-91, reprinting the entire speech; Völkischer Beobachter, 10 November 1938 (‘Adolf Hitlers Rede an Grossdeutschland’).
-
-265 . See for a good example Peter Chroust, Giessener Universität und Faschismus. Studenten und Hochschullehrer 1918-1945 (2 vols., Münster, 1994), I. 187.
-
-266 . Grüttner, Studenten, 104-9.
-
-267 . Ibid., 227-9, quote on 227-8.
-
-268 . Gerhard Szczesny, Als die Vergangenheit Gegenwart war: Lebensanlauf eines Ostpreussen (Berlin, 1990), 90, cited along with other, similar, reminiscences in Grüttner, Studenten, 230-31.
-
-269 . Ibid., 229-37.
-
-270 . Ibid., 260-71, 341-8.
-
-271 . Ibid., 317-31, quotes on 329 and 331; similar conclusions in Konrad H. Jarausch, Deutsche Studenten 1800-1970 (Frankfurt am Main 1984), 197-8; and Geoffrey J. Giles, ‘The Rise of the National Socialist Students’ Association and the Failure of Political Education in the Third Reich’, in Stachura (ed.), The Shaping, 160-85, at 180-81; see also Steinberg, Sabers, 141-53, and Giles, Students, 186-201.
-
-272 . ‘Eine nötig gewordene Klarstellung’, Der Student in Mecklenburg-Lubeck, 15 December 1936, 9, quoted in Grüttner, Studenten, 15 6.
-
-273 . Ibid., 155-67.
-
-274 . Ibid., 168-78, quote on 174, n. 99.
-
-275 . Ibid., 331-40.
-
-276 . Ibid. 178-93; quote on 174 n. 99.
-
-277 . For the view that Nazification was both wide and deep in German universities, see Steven P. Remy, The Heidelberg Myth: The Nazification and Denazification of a German University (Cambridge, Mass., 2002), 50-84; but his argument is based on a selective sample of the most Nazi professors and their research, an account of aspects of university life such as nominations for honorary degrees, the foundation of new research institutes, the editorship of journals and similar, ultimately secondary matters, and almost completely neglects teaching. It also treats widespread pre-Nazi conservative ideas as if they were imported into the universities by the Nazis. See also Christian Jansen, Professoren und Politik: Politisches Denken und Handeln der Heidelberger Hochschullehrer 1914-1935 (Göttingen, 1992), esp. 230-36, demonstrating the turn of Heidelberg’s professors to the anti-Weimar but non-Nazi right in the period 1930-35.
-
-278 . Léon Poliakov and Josef Wulf, Das Dritte Reich und seine Denker: Doku mente (Berlin, 1959), 73; Wilhelm Ribhegge, Geschichte der Universität Münster: Europa in Westfalen (Münster, 1985), 194.
-
-279 . Golczewski, Kölner Universitätslehrer, 338-49.
-
-280 . Grüttner, Studenten, 198-205; Krieck quote on 204; Giles, Students, 151-62; see the attempt to draw a balance by Hellmut Seier, ‘Nationalsozialistisches Wissenschaftsverständnis und Hochschulpolitik’, in Leonore Siegele-Wenschkewitz and Gerda Stuchlik (eds.), Hochschule und Nationalsozialismus: Wissenschaftsgeschichte und Wissenschaftsbetrieb als Thema der Zeitgeschichte (Frankfurt am Main, 1990), 5-21.
-
-281 . Hans-Paul Höpfner, Die Universität Bonn in Dritten Reich: Akademische Biographien unter nationalsocialistischer Herrschaft (Bonn, 1999), 540-44.
-
-282 . Boberach (ed.), Meldungen, II. 83 (Jahreslagebericht 1938 des Sicherheitshauptamtes).
-
-283 . Alan D. Beyerchen, Scientists under Hitler. Politics and the Physics Community in the Third Reich (New Haven, Conn., 1977), 79-85.
-
-284 . Ibid., 85-102; quote (93) from Lenard’s unpublished memoirs, cited in Charlotte Schmidt-Schönbeck, 300 Jahre Physik und Astronomie an der Kieler Universität (Kiel, 19 6 5), 119.
-
-285 . Beyerchen, Scientists, 103-16.
-
-286 . Grüttner, Studenten, 194-8; Beyerchen, Scientists, 116-40, 63-4; Werner Heisenberg, Der Teil und das Ganze: Gespräche im Umkreis der Atomphysik (Munich, 1969), 206-12; but see also Paul Forman, ‘Physics and Beyond: Historiographic Doubts: Encounters and Conversations with Werner Heisenberg’, Science, 172 (14 May, 1971), 687-8; and Steffen Richter, ‘Die “Deutsche Physik” ’, in Herbert Mehrtens and Steffan Richter (eds.), Naturwissenschaft, Technik und NS-Ideologie: Beiträge zur Wissenschaftsgeschichte des Dritten Reichs (Frankfurt am Main, 1980), 116-41, emphasizes the political nature of Aryan physics and its failure to make any real contribution to scientific theory or experimentation.
-
-287 . Beyerchen, Scientists, 141-67.
-
-288 . Helmut Lindner, ‘ “Deutsche” und “gegentypische” Mathematik. Zur Begrundung einer “arteigenen Mathematik” im “Dritten Reich” durch Ludwig Bieberbach’, in Mehrtens and Richter (eds.), Naturwissenschaft, 88-115, esp. 105-8.
-
-289 . Martin Bechstedt, ‘ “Gestalthafte Atomlehre” - Zur “Deutschen Chemie” im NS-Staat’, in ibid., 142-65; also Horst Remane, ‘Conrad Weygand und die “Deutsche Chemie” ’, in Christoph Meinel and Peter Voswinckel (eds.), Medizin, Naturwissenschaft, Technik und Nationalsozialismus. Kontinuitäten und Diskontinuitäten (Stuttgart, 1994), 183-91.
-
-290 . Herbert Mehrtens, ‘Entartete Wissenschaft? Naturwissenschaften und Nationalsozialismus’, in Siegele-Wenschkewitz and Stuchlik (eds.), Hochschule und Nationalsozialismus, 113-28.
-
-291 . Beyerchen, Scientists, 71-8; Remy, The Heidelberg Myth, 55-6; Horst Möller, ‘Nationalsozialistische Wissenschaftsideologie’, in Jörg Tröger (ed.), Hochschule und Wissenschaft im Dritten Reich (Frankfurt am Main, 1984), 65-76, esp. 74-6; and Klaus Hentschel (ed.), Physics and National Socialism: An Anthology of Primary Sources (Basle, 1996), 116-18 (reprinting an anonymous article from Nature, 136 (14 December 1935), 927-8, on ‘Nazi-Socialism and International Science’.
-
-292 . Helmut Maier (ed.), Rüstungsforschung im Nationalsozialismus: Organisation, Mobilisierung und Entgrenzung der Technikwissenschaften (Göttingen, 2002), particularly useful on company research and development; idem, Forschung als Waffe: Rüstungsforschung in der Kaiser-Wilhelm-Gesellschaft und das KWI für Metallforschung 1900 bis 1947 (Göttingen, 2005); Susanne Heim, Kalorien, Kautschuk, Karrieren. Pflanzenzüchtung und landwirtschaftliche Forschung in Kaiser-Wilhelm-Instituten 1933-1945 (Göttingen, 2003); Herbert Mehrtens, ‘Kollaborationsverhältnisse: Natur- und Technikwissenschaften im NS-Staat und ihre Historie’, in Meinel and Voswinckel (eds.), Medizin, 13-32.
-
-293 . Kristie Macrakis, Surviving the Swastika: Scientific Research in Nazi Germany (New York, 1993), esp. 84-186, 199-205; John Gimbel, Science, Technology and Reparations: Exploitation and Plunder in Postwar Germany (Stanford, Calif., 1990), 22.
-
-294 . See in general Hartmut Lehmann and Otto Gerhard Oexle (eds.), Nationalsozialismus in den Kulturwissenschaften (2 vols., Gottingen, 2004).
-
-295 . Karen Schönwalder, Historiker und Politik: Geschichtswissenschaft im Nationalsozialismus (Frankfurt am Main, 1992), 75-88, quote at 77 and 311 n.85; Helmut Heiber, Walter Frank und sein Reichsinstitut für Geschichte des neuen Deutschlands (Stuttgart, 1966) for an extremely detailed account; Winfried Schulze, ‘German Historiography from the 1930s to the 1950s’, in Hartmut Lehmann and James Van Horn Melton (eds.), Paths of Continuity: Central European Historiography from the 1930s to the 1950s (Cambridge, 1994), 19-42, at 24-5; more detail in idem, Deutsche Geschichtswissenschaft nach 1945 (Munich, 1989), esp. 31-45; see also Bernd Faulenbach, ‘Tendenzen der Geschichtswissenschaft im “Dritten Reich” ’, in Renate Knigge-Tesche (ed.), Berater der braunen Macht: Wissenschaft und Wissenschaftler im NS-Staat (Frankfurt am Main, 1999), 26-52, esp. 36-7 and 45-7; Peter Lambert, ‘From Antifascist to Volkshistoriker: Demos and Ethnos in the Political Thought of Fritz Rorig, 1921-45’, in Stefan Berger et al. (eds.), Writing National Histories: Western Europe Since 1800 (London, 1999), 137-49.
-
-296 . Schnöwälder, Historiker, 87; see also the useful East German study (to be used with the usual reservations) by Hans Schleier, ‘Die Historische Zeitschrift 1918-1943’, in Joachim Streisand (ed.), Studien über die deutsche Geschichtswissenschaft von 1871 bis 1945 (2 vols., Berlin, 1965, 1969), II. 251-302, and the same author’s more recent brief account, ‘German Historiography under National Socialism: Dreams of a Powerful Nation-state and German Volkstum Come True’, in Berger et al. (eds.), Writing National Histories, 176-88.
-
-297 . Schönwälder, Historiker, 85-6; Gerhard Ritter, ‘Die deutschen Historikertage’, Geschichte in Wissenschaft und Unterricht, 4 (1953), 513-21, at 517.
-
-298 . Boberach (ed.), Meldungen, II. 86 (Jahreslagebericht 1938 des Sicherheitshauptamtes).
-
-299 . See generally Ingo Haar, Historiker im Nationalsozialismus: Deutsche Geschichtswissenschaft und der ‘Volkstumskampf’ im Osten (Göttingen, 2002); Michael Burleigh, Germany Turns Eastwards. A Study of Ostforschung in the Third Reich (Cambridge, 1988); Christoph Klessmann, ‘Osteuropaforschung und Lebensraumpolitik im Dritten Reich’, in Peter Lundgreen (ed.), Wissenschaft im Dritten Reich (Frankfurt am Main, 1985), 350-83; Karl Ferdinand Werner, Das NS-Geschichtsbild und die deutsche Geschichtswissenschaft (Stuttgart, 1967), esp. 9-23.
-
-300 . James Van Horn Melton, ‘Continuities in German Historical Scholarship, 1933-1960’, in Lehmann and Melton (eds.), Paths, 1-18, at 5; Georg G. Iggers, ‘Introduction’, in idem (ed.), The Social History of Politics: Critical Perspectives in West German Historical Writing since 1945 (Leamington Spa, 1985), 1-48, at 17. One of the very few to be dismissed in 1933 was Franz Schnabel, a liberal Catholic historian and author of a great, multi-volume history of nineteenth-century Germany (Lothar Gall, ‘Franz Schnabel (1887-1966)’, in Lehmann and Melton (eds.), Paths, 155-65).
-
-301 . Hans Rothfels, Ostraum, Preussentum und Reichsgedenke: Historische Abhandlungen. Vorträge und Reden (Leipzig, 1935), vi; Schönwälder, Historiker, 78-9, 91-104.
-
-302 . Ibid., 77-80. See also Peter Schöttler (ed.), Geschichtsschreibung als Legitim ationswissenschaft 1918-1945 (Frankfurt am Main, 1997); Willi Oberkrome, Volksgeschichter: Methodische Innovation und völkische Ideologisierung in der deutschen Geschichtswissenschaft 1918-1945 (Göttingen, 1992), esp. 102-70; and Reinhard Kühnl, ‘Reichsdeutsche Geschichtswissenschaft’, in Tröger (ed.), Hochschule, 92-104.
-
-303 . Christoph Cornelissen, Gerhard Ritter: Geschichtswissenschaft und Politik im 20. Jahrhundert (Düsseldorf, 2001), 230-46 (quote on 245, from Gerhard Ritter, Friedrich der Grosse. Ein historisches Profil (Leipzig, 1936), 252-3); see also Klaus Schwabe, ‘Change and Continuity in German Historiography from 1933 into the Early 1950s: Gerhard Ritter (1888-1967)’, in Lehmann and Melton (eds.), Paths, 82-108
-
-304 . Carsten Klingemann, Soziologie im Dritten Reich (Baden-Baden, 1996) for case-studies of different German institutes and universities; see also idem, ‘Social-Scientific Experts - No Ideologues: Sociology and Social Research in the Third Reich’, in Stephen P. Turner and Dirk Käsler (eds.), Sociology Responds to Fascism (London, 1992), 127-54; Otthein Rammstedt, ‘Theorie und Empirie des Volksfeindes. Zur Entwicklung einer “deutschen Soziologie” ’, in Lundgreen (ed.), Wissenschaft, 253-313; also Klaus Brintzinger, Die Nationalökonomie an den Universitäten Freiburg, Heidelberg und Tübingen 1918-1945: Eine institutionshistorische, vergleichende Studie der wirtschaftswissenschaftlichen Fakultäten und Abteilungen südwestdeutscher Universitäten (Frankfurt am Main, 1996).
-
-305 . Wilhelm Vosskamp, ‘Kontinuität und Diskontinuität: Zur deutschen Literaturwissenschaft im Dritten Reich’, in Lundgreen (ed.), Wissenschaft, 140-62.
-
-306 . Höpfner, Die Universität Bonn, 34-8, 146-217. See more generally the essays in Lehmann and Oexle (eds.), Nationalsozialismus.
-
-307 . Michael H. Kater, Doctors under Hitler (Chapel Hill, 1989), 111-20.
-
-308 . Ibid., 22-5, 120-21.
-
-309 . Ibid., 120-26, 147. Höpfner, Die Universität Bonn, 271-330. According to Kater, 17 per cent of doctors in Germany in 1933 were Jewish, and the proportion of university teachers of medicine was undoubtedly higher (Kater, Doctors, 139).
-
-310 . Klemperer, I Shall Bear Witness, 35 (9 October 1933).
-
-311 . Kater, Doctors, 172-3.
-
-312 . Robert N. Proctor, The Nazi War on Cancer (Princeton, N.J., 1999), 4, 198-203.
-
-313 . Ibid., 6-7.
-
-314 . Kater, Doctors, 174-6.
-
-
-
-Chapter 4. PROSPERITY AND PLUNDER
-
-1 . Spotts, Hitler, 386-9; Martin Kornrumpf, HAFRABA e.V.: Deutsche Autobahn-Planung 1926-1934 (Bonn, 1990); Kurt Gustav Kaftan, Der Kampf um die Autobahnen: Geschichte der Autobahnen in Deutschland 1907-1935 (Berlin, 1955).
-
-2 . Franz Wilhelm Seidler, ‘Fritz Todt: From Motorway Builder to Minister of State’, in Smelser and Zitelmann (eds.), The Nazi Elite, 245-56, at 245-9; more detail in idem, Fritz Todt: Baumeister Dritten Reiches (Berlin, 1987 [1986]).
-
-3 . Fritz Todt, ‘Der Strassenbau in nationalsozialistischen Staat’, in Hans Heinrich Lammers and Hans Pfundtner (eds.) Grundlagen, Aufbau und Wirtschaftsordnung des nationalsozialistischen Staates, (3 vols., Berlin, 1937), III: Die Wirtschaftsordnung des nationalsozialistischen Staates; see also James Shand, ‘The Reichsautobahn : Symbol for the Third Reich’, Journal of Contemporary History, 19 (1984), 189-200; and Erhard Schütz and Eckhard Gruber, Mythos Reichsautobahn: Bau und Inszenierung der ‘Strassen des Führers’ 1933-1941 (Berlin, 1996).
-
-4 . Spotts, Hitler, 391-3; Rainer Stommer (ed.), Reichsautobahn: Pyramiden des Dritten Reiches (Marburg, 1982), 107; Thomas Zeller, ‘ “The Landscape’s Crown”: Landscape, Perception, and Modernizing Effects of the German Autobahn System, 1934-1941’, in David E. Nye (ed.), Technologies of Landscape: From Reaping to Recycling (Amherst, Mass., 1999), 218-40);
-
-5 . Spotts, Hitler, 393-4; Ludolf Herbst, Das nationalsozialistische Deutschland 1933-1945: Die Entfesselung der Gewalt: Rassismus und Krieg (Frankfurt am Main, 1996), 97-8; Hans-Joachim Winkler, Legenden um Hitler (Berlin, 1963), 7-14; Dan P. Silverman, Hitler’s Economy: Nazi Work Creation Programs 1933-—1936 (Cambridge, Mass., 1998), 147-57.
-
-6 . Richard J. Overy, ‘Cars, Roads, and Economic Recovery in Germany, 1932- 1938’, Economic History Review, 2nd series, 28 (1975), 466-83, reprinted in idem, War and Economy in the Third Reich (Oxford, 1994), 68-89.
-
-7 . Domarus (ed.), Hitler, I. 250-51.
-
-8 . Overy, ‘Cars, Roads, and Economic Recovery’; Weekly Report of the German Institute for Business Research (Institut für Konjunkturforschung, Berlin), vol. 7, no. 10 (7 March 1934), 53-5.
-
-9 . Gerhard Kroll, Von der Weltwirtschaftskrise zur Staatskonjunktur (Berlin, 1958), 462, 505; also Harry Niemann and Armin Hermann (eds.), Die Entwicklung der Motorisierung im Deutschen Reich und den Nachfolgestaaten (Stuttgart, 1995).
-
-10 . Klemperer, I Shall Bear Witness, 153 (translation corrected).
-
-11 . Ibid., 158 (translation corrected).
-
-12 . Geoffrey Spencely, ‘R. J. Overy and the Motorisierung: A comment’, Economic History Review, 32 (1979), 100-106; Richard J. Overy, ‘The German Motorisierung and Rearmament. A Reply’, Economic History Review 32 (1978), 207-13.
-
-13 . Heinz Wehner, ‘Die Rolle des faschistischen Verkehrswesens in der ersten Periode des zweiten Weltkrieges’, Bulletin des Arbeitskreises Zweiter Weltkrieg, 2 (1966), 37-61, at 41-2, cited in Hans-Erich Volkmann, ‘The National Socialist Economy in Preparation for War’, in Militärgeschichtliches Forschungsamt (ed.), Germany and the Second World War (10 vols., Oxford, 1990- [1979-]), I: The Build-up of German Aggression (Oxford, 1990), 157-372, at 228-9.
-
-14 . Klaus Hildebrand, ‘Die Deutsche Reichsbahn in der nationalsozialistischen Diktatur 1933-1945’, in Lothar Gall and Manfred Pohl (eds.), Die Eisenbahn in Deutschland. Von den Anfängen bis zur Gegenwart (Munich, 1999), 165-243, at 176-7; see also Stefan Arold, Die technische Entwicklung und rüstungswirtschaftliche Bedeutung des Lokomotivbaus der Deutschen Reichsbahn im Dritten Reich (1933-1945) (Stuttgart, 1997). Hitler’s characteristic conceptual gigantism even made itself felt here, with his proposal to create new, bigger railways on a broader gauge than the existing one (ibid., 97).
-
-15 . Fritz Blaich, Wirtschaft und Rüstung im ‘Dritten Reich’ (Düsseldorf, 1987), 15-20; Simon Reich, The Fruits of Fascism: Postwar Prosperity in Historical Perspective (Ithaca, N.Y., 1990), 151.
-
-16 . Hans Mommsen and Manfred Grieger, Das Volkswagenwerk und seine Arbeiter im Dritten Reich (Düsseldorf, 1996), 52-113; for the Strength Through Joy organization, see below, 465-75.
-
-17 . Behnken (ed.), Deutschland-Berichte, VI (1939), 488.
-
-18 . Shelley Baranowski, Strength Through Joy: Consumerism and Mass Tourism in the Third Reich (New York, 2004), 240-41; Reich, The Fruits, 147-201; in 1938 Ford and Opel produced 52 per cent of all vehicles made and sold in Germany (ibid., 159).
-
-19 . Karl Lärmer, Autobahnbau in Deutschland 1933 bis 1945: Zu den Hinter gründen (Berlin, 1975), 54-7; Silverman, Hitler’s Economy, 261.
-
-20 . Richard J. Overy, ‘Unemployment in the Third Reich’, in idem, War and Economy, 37-67, at 37-42 (originally published under the same title in Business History, 29 (1987), 253-82); Dietmar Petzina, ‘The Extent and Causes of Unemployment in the Weimar Republic’, in Peter D. Stachura (ed.), Unemployment and the Great Depression in Weimar Germany (London, 1986), 29-48.
-
-21 . Domarus (ed.), Hitler, I. 234.
-
-22 . Willi A. Boelcke, Die deutsche Wirtschaft 1930-1945: Interna des Reichswirtschaftsministeriums (Düsseldorf, 1983), 13-29.
-
-23 . Avraham Barkai, Nazi Economics: Ideology, Theory, and Policy (Oxford, 1990 [1988]), 28-35; Boelcke, Die deutsche Wirtschaft, 29-38; Wolfram Fischer, Deutsche Wirtschaftspolitik 1918-1945 (Opladen, 1968), 52-5.
-
-24 . Michael Schneider, ‘The Development of State Work Creation Policy in Germany, 1930-1933’, in Stachura (ed.), Unemployment, 163-86; Helmut Marcon, Arbeitsbeschaffungspolitik der Regierungen Papen und Schleicher. Grundsteinlegung für die Beschäftigungspolitik im Dritten Reich (Bern, 1974).
-
-25 . Herbst, Das nationalsozialistische Deutschland, 95-6; Schneider, Unterm Hakenkreuz, 256-62.
-
-26 . Overy, ‘Unemployment’, 63-5; Weekly Report of the German Institute for Business Research, vol. 7, no. 17 (3 May 1934), 77-82.
-
-27 . Extract from the Law translated in Noakes and Pridham (eds.), Nazism, II. 257; Pine, Nazi Family Policy, 17.
-
-28 . Helen L. Boak, ‘The State as an Employer of Women in the Weimar Republic’, in William Robert Lee and Eve Rosenhaft (eds.), The State and Social Change in Germany, 1880-1980 (Oxford, 1990), 61-98; more generally, Renate Bridenthal and Claudia Koonz, ‘Beyond Kinder, Küche, Kirche: Weimar Women in Politics and Work’, in Renate Bridenthal et al. (eds.), When Biology Became Destiny: Women in Weimar and Nazi Germany (New York, 1984), 33-65.
-
-29 . Julia Sneeringer, Winning Women’s Votes: Propaganda and Politics in Weimar Germany (Chapel Hill, N.C., 2002).
-
-30 . Frankfurter Zeitung, 9 September 1934, quoted in Noakes and Pridham (eds.), Nazism, II. 255-6.
-
-31 . Goebbels, Michael, 41 (1934 edn), quoted in Mosse (ed.), Nazi Culture, 41.
-
-32 . Engelbert Huber, Das ist Nationalsozialismus (Stuttgart, 1933), 121-2, quoted in Mosse (ed.), Nazi Culture, 47.
-
-33 . Clifford Kirkpatrick, Women in Nazi Germany (London, 1939), 121.
-
-34 . Helgard Kramer, ‘Frankfurt’s Working Women: Scapegoats or Winners of the Great Depression?’, in Richard J. Evans and Dick Geary (eds.), The German Unemployed: Experiences and Consequences of Mass Unemployment from the Weimar Republic to the Third Reich (London, 1987), 108-41.
-
-35 . Herbst, Das nationalsozialistische Deutschland, 89-91; Kershaw, The ‘Hitler Myth’, 59-64.
-
-36 . Werner Abelshauser, ‘Kriegswirtschaft und Wirtschaftswunder. Deutschlands wirtschaftliche Mobilisierung für den Zweiten Weltkrieg und die Folgen für die Nachkriegszeit’, VfZg 47 (1999), 503-38; English version, at greater length, in idem, ‘Germany: Guns, Butter, and Economic Miracles’, in Mark Harrison (ed.), The Economics of World War II: Six Great Powers in International Comparison (Cambridge, 1998), 122-76.
-
-37 . Harold James, ‘Innovation and Conservatism in Economic Recovery: The Alleged “Nazi Recovery” of the 1930s’, in Childers and Caplan (eds.), Reevaluating the Third Reich, 114-38; Peter Marschalck, Bevölkerungsgeschichte Deutschlands im 19. und 20. Jahrhundert (Frankfurt am Main, 1984), 67-71, 148.
-
-38 . Silverman, Hitler’s Economy, 244, and 359 n. 68, criticizing the statistics provided by Overy, ‘Unemployment’, 65; however, the Weimar Republic figures were not that impressive either: see also Dan P. Silverman, ‘A Pledge Unredeemed: The Housing Crisis in Weimar Germany’, Central European History, 3 (March 1970), 112-39, at 119-20. See also Blaich, Wirtschaft, 15-21.
-
-39 . ‘Germany’s Economic Recovery’, The Economist, 10 August 1935, 271-2.
-
-40 . Willi Hemmer, Die ‘unsichtbaren’ Arbeitslosen. Statistische Methoden - Soziale Tatsachen (Zeulenroda, 1935), 189; also Christoph Buchheim, ‘Zur Natur des Wirtschaftsaufschwungs in der NS-Zeit’, in idem et al. (eds.), Zerrissene Zwischenkriegszeit: Wirtschaftshistorische Beiträge: Knut Borchardt zum 65. Geburtstag (Baden-Baden, 1994), 97-119, at 105-7.
-
-41 . Birgit Wulff, ‘The Third Reich and the Unemployed: National Socialist Work-creation Schemes in Hamburg, 1933-4’, in Evans and Geary (eds.), The German Unemployed, 281-302; Timothy W. Mason, Social Policy in the Third Reich: The Working Class and the ‘National Community’ (Providence, R.I., 1993 [1977]), 109-28; Fritz Petrick, ‘Eine Untersuchung zur Beseitigung der Arbeitslosigkeit unter der deutschen Jugend in den Jahren von 1933 bis 1935’, Jahrbuch für Wirtschaftsgeschichte (1967), 287-300; Claudia Brunner, Arbeitslosigkeit im NS-Staat : Das Beispiel München (Pfaffenweiler, 1997), 337-40.
-
-42 . Birgit Wulff, Arbeitslosigkeit und Arbeitsbeschaffungsmassnahmen in Hamburg 1933-1939: Eine Untersuchung zur nationalsozialistischen Wirtschafts- und Sozialpolitik (Frankfurt am Main, 1987), esp. 269-82; details of other areas in Behnken (ed.), Deutschland-Berichte, I (1934), 123-9, 214-25.
-
-43 . Behnken (ed.), Deutschland-Berichte, II (1935), 786-7; Silverman, Hitler’s Economy, 10-27 and 164-74; Bernhard Vollmer (ed.), Volksopposition im Polizeistaat , 96-7.
-
-44 . Christoph Buchheim, ‘Die Wirtschaftsentwicklung im Dritten Reich - mehr Desaster als Wunder. Eine Erwiderung auf Werner Abelshauser’, VfZ 49 (2001), 653-4; at greater length in idem, ‘Zur Natur’.
-
-45 . ‘Germany’s Economic Recovery’, The Economist, 10 August 1935, 271-2, and 17 August 1935, 316-17; Weekly Report of the German Institute for Business Research, vol. 8, no. 22/23 (8 June 1935), 45-7; ibid., 32/33 (22 August 1935), 64-6; ‘Unemployment in Germany’, The Economist, 31 August 1935, 421.
-
-46 . Karl-Heinz Minuth (ed.), Akten der Reichskanzlei: Die Regierung Hitler, 1933-1934, I. 49-51; also in Blaich, Wirtschaft, 55-6 (Ministerbesprechung vom 8. 2. 1933).
-
-47 . Volkmann, ‘The National Socialist Economy’, 221-2; Dietmar Petzina, ‘Hauptprobleme der deutschen Wirtschaftspolitik 1932/33’, VfZg 15 (1967), 18-55, at 40; Günther Gereke, Ich war königlich-preussischer Landrat (Berlin, 1970), 157-8.
-
-48 . Spotts, Hitler, 393-4.
-
-49 . Domarus (ed.), Hitler, I. 250-51.
-
-50 . Blaich, Wirtschaft, 15-26.
-
-51 . Neil Gregor, Daimler-Benz in the Third Reich (London, 1998), 54; Fritz Blaich, ‘Why Did the Pioneer Fall Behind? Motorization in Germany between the Wars’, in Theo Barker (ed.), The Economic and Social Effects of the Spread of Motor Vehicles: An International Centenary Tribute (London, 1988), 148-64; Behnken (ed.), Deutschland-Berichte, VI (1939), 480-85; Mommsen and Grieger, Das Volkswagenwerk, 179-202 (figures on 197).
-
-52 . Volkmann, ‘The National Socialist Economy’, 228-9.
-
-53 . Robert J. O’Neill, The German Army and the Nazi Party, 1933-1939 (London, 1968 [1966]), 65-6, citing the unpublished memoirs of Field-Marshal von Weichs.
-
-54 . ‘Sitzung des Ausschusses der Reichsregierung fur Arbeitsbeschaffung vom 9. 2. 1933, in Minuth (ed.), Akten der Reichskanzlei: Die Regierung Hitler, 1933- 1934, I. 58-69, and Blaich, Wirtschaft, 56-8. The dissimulation did not long escape the notice of foreign observers. By 1935 a British correspondent was noting of a report issued by the Reich Bureau of Statistics: ‘ “Work-creation” expenditure, it is expressly shown in the new report, includes rearmament expenditure’ (The Economist, 10 August 1935, 280; italics in original).
-
-55 . Volkmann, ‘The National Socialist Economy’, 223-4; Michael Geyer, Deutsche Rüstungspolitik 1860-1980 (Frankfurt am Main, 1984), 139-40; idem, ‘Das Zweite Rüstungsprogramm (1930-1934): Eine Dokumentation’, Militär geschichtliche Mitteilungen, 17 (1975), 125-72, at 134 and 158; see also Boelcke, Die deutsche Wirtschaft, 29-33.
-
-56 . Volkmann, ‘The National Socialist Economy’, 228-34; also Peter Kirchberg, ‘Typisierung in der Kraftfahrzeugindustrie und der Generalbevollmächtigte fur das Kraftfahrwesen’, Jahrbuch für Wirtschaftsgeschichte (1969), 117-42; see also Edward L. Homze, Arming the Luftwaffe: The Reich Air Ministry and the German Aircraft Industry, 1919-1939 (Lincoln, Nebr., 1976). Some of the literature in this area underestimates the extent of rearmament from the beginning of the Third Reich and the state’s role in driving it forward, and neglects the military imperative behind many apparently civil measures of job creation: see for example Overy, ‘Cars, Roads and Economic Recovery’; idem, ‘Hitler’s War Plans and the German Economy, 1933-1939’, in idem, War and Economy, 177-204; Michael Wolffsohn, ‘Arbeitsbeschaffung und Rüstung im nationalsozialistischen Deutschland 1933’, Militärgeschichtliche Mitteilungen, 22 (1978), 9-22; or Burton H. Klein, Germany’s Economic Preparations for War (Cambridge, Mass., 1959); for critical comments, see Barkai, Nazi Economics, 217-24, and Berenice A. Carroll, Design for Total War: Arms and Economics in the Third Reich (The Hague, 1968). The primacy of rearmament was stressed already by Sauer, Die Mobilmachung, 140-64.
-
-57 . Wilhelm Deist, ‘The Rearmament of the Wehrmacht’, in Militärgeschichtliches Forschungsamt (ed.), Germany, I. 373-540, at 487.
-
-58 . Ibid., 456-7; O’Neill, The German Army, 134-5.
-
-59 . Boelcke, Die deutsche Wirtschaft, 171.
-
-60 . Volkmann, ‘The National Socialist Economy’, 234-8; Hans Luther, Vor dem Abgrund 1930-1933: Reichsbankpräsident in Krisenzeiten (Frankfurt am Main, 1964), especially the final chapter, 302-8.
-
-61 . Hjalmar Schacht, My First Seventy-Six Years: The Autobiography of Hjalmar Schacht (London, 1955), 10-154.
-
-62 . Ibid., 155-306.
-
-
-
-63 . Volkmann, ‘The National Socialist Economy’, 234-41; see also Willi A. Boelcke, Die Kosten von Hitlers Krieg: Kriegsfinanzierung und finanzielles Kriegserbe in Deutschland 1933-1948 (Paderborn, 1985); Fischer, Deutsche Wirtschaftspolitik , 66-71; Dietmar Petzina, Die deutsche Wirtschaft in der Zwischenkriegszeit (Wiesbaden, 1977), 117-24.
-
-64 . Volkmann, ‘The National Socialist Economy’, 173-200; Blaich, Wirtschaft, 28.
-
-65 . Gustavo Corni and Horst Gies, Brot, Butter, Kanonen. Die Ernährungswirtschaft in Deutschland unter der Diktatur Hitlers (Berlin, 1997), 75-250, is now the most thorough account of the Reich Food Estate. See also Horst Gies, ‘Der Reichsnährstand: Organ berufsständischer Selbstverwaltung oder Instrument staatlicher Wirtschaftslenkung?’, Zeitschrift für Agrargeschichte und Agrarsoziologie , 21 (1973), 216-33; and idem, ‘Die Rolle des Reichsnährstandes im Nationalsozialistischen Herrschaftssystem’, in Gerhard Hirschfeld and Lothar Kettenacker (eds.), The ‘Führer State’: Myth and Reality: Studies on the Structure and Politics of the Third Reich (Stuttgart, 1981), 270-304.
-
-66 . Horst Gies, ‘Aufgaben und Probleme der nationalsozialistischen Ernährungswirtschaft 1933-1939’, Vierteljahrschrift für Sozial- und Wirtschaftsgeschichte, 22 (1979), 466-99.
-
-67 . Blaich, Wirtschaft, 27; Volkmann, ‘The National Socialist Economy’, 245-72.
-
-68 . Blaich, Wirtschaft, 23-4, 27; Volkmann, ‘The National Socialist Economy’, 258-62; Michael Krüger-Charlé, ‘Carl Goerdelers Versuche der Durchsetzung einer alternativen Politik 1933 bis 1937’, in Jürgen Schmadeke and Peter Steinbach (eds.), Der Widerstand gegen den Nationalsozialismus: Die deutsche Gesellschaft und der Widerstand gegen Hitler (Munich, 1986), 383-404.
-
-69 . Gies, ‘Die Rolle’; see also idem, ‘Der Reichsnährstand’; idem, ‘Revolution oder Kontinuität? Die personelle Struktur des Reichsnährstandes’, in Günther Franz (ed.), Bauernschaft und Bauernstand 1500-1970: Büdinger Vorträge 1911-1972 (Limburg, 1975), 323-30; John E. Farquharson, The Plough and the Swastika: The NSDAP and Agriculture in Germany 1928-45 (London, 1976), 161-82.
-
-70 Gies, ‘Die Rolle’; Jürgen von Krudener, ‘Zielkonflikte in der nationalsozialistischen Agrarpolitik: Ein Beitrag zur Diskussion des Leistungsproblems in zentralgelenkten Wirtschaftssystemen’, Zeitschrift für Wirtschafts- und Sozialwissenschaften , 94 (1974), 335-61; Behnken (ed.), Deutschland-Berichte, V (1938), 488-98; Gustavo Corni, Hitler and the Peasants: Agrarian Policy of the Third Reich, 1930-1939 (Princeton, N.J., 1990 [1989]), 245-68; Beatrix Herlemann, ‘Der Bauer klebt am Hergebrachten’: Bäuerliche Verhaltensweisen unterm Nationalsozialismus auf dem Gebiet des heutigen Landes Niedersachsen (Hanover, 1993), 74-7 and 145-53; Farquharson, The Plough, 71-106.
-
-71 . See Corni, Hitler and the Peasants, 220-44; Farquharson, The Plough, 183- 202; Herlemann, ‘Der Bauer’, 154-71.
-
-72 . Volkmann, ‘The National Socialist Economy’, 293-300, 350-54.
-
-73 . John H. Farquharson, The Plough, 169-70; for a good example of the successful transition to autarky in one area, see John Perkins, ‘Nazi Autarchic Aspirations and the Beet-Sugar Industry, 1933-39’, European History Quarterly, 20 (1990), 497-518; more generally, see Corni, Hitler and the Peasants 156-83.
-
-74 . Behnken (ed.), Deutschland-Berichte VI (1939), 624-42; for a thorough account of food production and market regulation, see Corni and Gies, Brot, 251-395.
-
-75 . The view of Peter Temin, Lessons from the Great Depression (Cambridge, Mass., 1989), 109-11, that the economy of the Third Reich was a socialist economy because it was steered by the state, which intervened continually and also devoted substantial resources to welfare projects, does not persuade; on these criteria almost all modern economies could be classified as socialist (Buchheim, ‘Zur Natur’, 99-100).
-
-76 . For the background to this, see Peter Hayes, Industry and Ideology: IG Farben in the Nazi Era (New York, 1987), 36-47, 114-20.
-
-77 . Homze, Arming the Luftwaffe, 192-3.
-
-78 . Dieter Swatek, Unternehmenskonzentration als Ergebnis und Mittel nationalsozialistischer Wirtschaftspolitik (Berlin, 1972); Ingeborg Esenwein-Rothe, Die Wirtschaftsverbände von 1933 bis 1945 (Berlin, 1965). 79. For Hugenberg’s tenure of the Ministry, see Boelcke, Die deutsche Wirtschaft, 47-65.
-
-80 . Gerald D. Feldman, Allianz and the German Insurance Business, 1933-1945 (Cambridge, 2001), 1-50.
-
-81 . Ibid., 51-78.
-
-82 . Ibid., 78-105; Boelcke, Die deutsche Wirtschaft, 65-76.
-
-83 . Volkmann, ‘The National Socialist Economy’, 204-15; Noakes and Pridham, Nazism, II. 72-8.
-
-84 . Volkmann, ‘The National Socialist Economy’, 242-4; ‘The Balance of Trade in Germany’, Supplement to the Weekly Report of the German Institute for Business Research (Berlin, 11 April 1934).
-
-85 . ‘The Transfer Problem and Germany’s Foreign Exchange Reserves’, Weekly Report of the German Institute for Business Research, 7 (Berlin, 6 June 1934); ‘German Foreign Exchange Control and Foreign Trade’, Supplement to the Weekly Report of the German Institute for Business Research (Berlin, 31 October 1934); Herbst, Das nationalsozialistische Deutschland, 160-62.
-
-86 . ‘A Review of the First Year of German Foreign Trade Under the “New Plan”’, Weekly Report of the German Institute for Business Research, 8 (Berlin, 2 October 1935).
-
-87 . ‘The German Moratorium’, The Economist, 23 June 1934, 1,378-9; more generally on Schacht’s first period in office, see Boelcke, Die deutsche Wirtschaft, 77-82.
-
-88 . Volkmann, ‘The National Socialist Economy’, 245-7, citing a memorandum of 3 May 1935 by Schacht.
-
-89 . Blaich, Wirtschaft, 27; Boelcke, Die deutsche Wirtschaft, 100-117.
-
-90 . Volkmann, ‘The National Socialist Economy’, 262-72; Fischer, Deutsche Wirtschaftspolitik, 71-6.
-
-91 . The Four-Year Plan memorandum is reprinted in Blaich, Wirtschaft, 60-67, and Wilhelm Treue (ed.), ‘Hitlers Denkschrift zum Vierjahresplan 1936’, VfZ 3 (1955), 184-210, and translated in full in Noakes and Pridham (eds.), Nazism, II. 86-93. See also Arthur Schweitzer, ‘Der ursprüngliche Vierjahresplan’, Jahrbücher für Nationalökonomie und Statistik, 160(1956), 348-96; and Dietmar Petzina, Autarkiepolitik im Dritten Reich: Der nationalsozialistische Vierjahresplan (1936-42) (Stuttgart, 1968).
-
-92 . Schacht, My First Seventy-Six Years, 362-77 (apologetic in tendency, with many omissions and misleading claims).
-
-93 Friedrich Hossbach, Zwischen Wehrmacht und Hitler 1934-1938 (Göttingen, 1965 [1949]), 217-20, and Hermann Gackenholz, ‘Reichskanzlei 5. November 1937: Bemerkungen über “Politik und Kriegführung” im Dritten Reich’, in Richard Dietrich and Gerhard Oestreich (ed.), Forschungen zu Staat und Verfassung: Festgabe für Fritz Hartung (Berlin, 1958), 459-84.
-
-94 . Hossbach, Zwischen Wehrmacht und Hitler, 186; Walter Bussmann, ‘Zur Entstehung und Überlieferung der “Hossbach-Niederschrift”’, VfZ 16 (1968), 373-84; Bradley F. Smith, ‘Die Überlieferung der Hossbach-Niederschrift im Lichte neuer Quellen’, VfZ38 (1990), 329-36; Jonathan Wright and Paul Stafford, ‘Hitler, Britain and the Hossbach Memorandum’, Militärgeschichtliche Mitteilungen, 42 (1987), 77-123. These studies make it clear that the scepticism about the document’s authenticity expressed by Alan J. P. Taylor, The Origins of the Second World War (London, 1964 [1961]), 21-2 and 131-4, is unjustified.
-
-95 . Schacht, My First Seventy-Six Years, 362-77 (to be treated with the usual caution); Noakes and Pridham (eds.), Nazism, II. 95-8, 357-8.
-
-96 . Blaich, Wirtschaft, 26, 83, 91-4; Schacht, My First Seventy-Six Years, 386-94. Budgetary balances in Albrecht Ritschl, Deutschlands Krise und Konjunktur 1924-1934: Binnenkonjunktur, Auslandsverschuldung und Reparationsproblem zwischen Dawes-Plan und Transfersperre (Berlin, 2002), table A9; national income figures in ibid., table A12.
-
-97 . O’Neill, The German Army, 63-6, citing the unpublished memoirs of Field-Marshal von Weichs; Schacht, My First Seventy-Six Years, 395-414; more generally, Volkmann, ‘The National Socialist Economy’, 273-86.
-
-98 . Ibid., 300-309, 356; Fischer, Deutsche Wirtschaftspolitik, 77-82; Petzina, Die deutsche Wirtschaft, 124-39. For the ‘organizational jungle’, see Hans Kehrl, Krisenmanager im Dritten Reich. 6 Jahre Frieden -6 Jahre Krieg: Erinnerungen (Düsseldorf, 1973), 74-86, 98-117. On the failure of planning and the inability of the regime to collect and process adequate statistics, see J. Adam Tooze, Statistics and the German State, 1900-1945: The Making of Modern Economic Knowledge (Cambridge, 2001), 215-45.
-
-99 . Volkmann, ‘The National Socialist Economy’, 309-15.
-
-100 . Ibid., 354-72.
-
-101 . Wilhelm Deist, ‘The Rearmament of the Wehrmacht’, 374-540, at 456-504; Homze, Arming the Luftwaffe; Michael Salewski, Die deutsche Seekriegsleitung 1935-1945 (3 vols., Frankfurt am Main, 1970-75); Jost Dülffer, Weimar, Hitler und die Marine: Reichspolitik und Flottenbau 1920-1939 (Düsseldorf, 1973); Lutz Budrass, Flugzeugindustrie und Luftrüstung in Deutschland 1918-1945 (Düsseldorf, 1998) is the most recent comprehensive study.
-
-102 . Volkmann, ‘The National Socialist Economy’, 300-309.
-
-103 . Richard J. Overy, ‘The German Pre-war Production Plans: November 1936- April 1939’, English Historical Review, 90 (1975), 778-97.
-
-104 . Behnken (ed.), Deutschland-Berichte, VI (1939), 614-24.
-
-105 . ‘Schreiben des Stellvertreters des Führers, Entscheidung, dass Frauen weder Richter noch Anwalt werden sollen, 24 August 1936’, reprinted as document 108 in Ursula von Gersdorff, Frauen im Kriegsdienst 1914-1945 (Stuttgart, 1969), 282.
-
-106 . Matthew Stibbe, Women in the Third Reich (London, 2003), 84-91; Tim Mason, ‘Women in Germany, 1925-1940: Family, Welfare and Work’, in idem, Nazism, Fascism and the Working Class (Cambridge, 1995), 131-211 (essay originally published in History Workshop Journal, 1 (1976), 74-133, and 2 (1976), 5-32); Dörte Winkler, Frauenarbeit im ‘Dritten Reich’ (Hamburg, 1977); Annemarie Tröger, ‘The Creation of a Female Assembly-Line Proletariat’, in Bridenthal et al. (eds.), When Biology Became Destiny, 237-70; Carola Sachse, Industrial Housewives: Women’s Social Work in the Factories of Nazi Germany (London, 1987); Stephenson, Women in Nazi Society, 75-115 (statistics of doctors on 166).
-
-107 . Lore Kleiber, ‘ “Wo ihr seid, da soll die Sonne scheinen!” - Der Frauenarbeitsdienst am Ende der Weimarer Republik und im Nationalsozialismus’, in Frauengruppe Faschismusforschung (ed.), Mutterkreuz, 188-214; Jill Stephenson, ‘Women’s Labor Service in Nazi Germany’, Central European History, 15 (1982), 241-65; Stefan Bajohr, ‘Weiblicher Arbeitsdienst im “Dritten Reich”. Ein Konflikt zwischen Ideologie und Ökonomie’, VfZ 28 (1980), 331-57.
-
-108 . Maschmann, Account Rendered, 31-6.
-
-109 . Elizabeth D. Heineman, What Difference Does a Husband Make? Women and Marital Status in Nazi and Postwar Germany (London, 1999), 40-41, also for the following details.
-
-110 . Stibbe, Women, 88; Annemarie Tröger, ‘Die Frau im wesensgemässen Einsatz’, in Frauengruppe Faschismusforschung (ed.), Mutterkreuz, 246-72.
-
-111 . Timothy W. Mason, ‘The Legacy of 1918 for National Socialism’, in Anthony Nicholls and Erich Matthias (eds.), German Democracy and the Triumph of Hitler: Essays in Recent German History (London, 1971), 215-39.
-
-112 . Ulrich Herbert, Hitler’s Foreign Workers: Enforced Foreign Labor in Germany under the Third Reich (Cambridge, 1997 [1985]), 27-60; see also below, 686-7.
-
-113 . Herbst, Das nationalsozialistische Deutschland, 160-77.
-
-114 . Hossbach, Zwischen Wehrmacht und Hitler, 186.
-
-115 . Josiah E. DuBois, Jr, The Devil’s Chemists: 24 Conspirators of the International Farben Cartel who Manufacture Wars (Boston, Mass., 1952); Joseph Borkin, The Crime and Punishment of I. G. Farben (New York, 1978); Richard Sasuly, IG Farben (New York, 1947); Dietrich Eichholtz, ‘Zum Anteil des IG Farben Konzerns an der Vorbereitung des Zweiten Weltkrieges’, Jahrbuch für Wirtschaftsgeschichte (1969), 83-105; Ferdinand Grocek, ‘Ein Staat im Staate - der IG-Farben Konzern’, Marxistische Blätter, 4 (1966), 41-8; Willi Kling, Kleine Geschichte der IG Farben - der Grossfabrikant des Todes (Berlin, 1957); more generally, Arthur Schweitzer, Big Business in the Third Reich (Bloomington, Ind., 1964).
-
-116 . For good surveys of this literature, see Pierre Ayçoberry, The Nazi Question: An Essay on the Interpretations of National Socialism (1922-1975) (New York, 1981); A. James Gregor, Fascism: The Classic Interpretations of the Interwar Period (Morristown, N.J., 1983); Wolfgang Wippermann, Zur Analyse des Faschismus: Die sozialistischen und kommunistischen Faschismustheorien, 1921-1945 (Frankfurt am Main, 1981); and Anson G. Rabinbach, ‘Toward a Marxist Theory of Fascism and National Socialism’, New German Critique, 1 (1974), 127-53.
-
-117 . Timothy Mason, ‘The Primacy of Politics - Politics and Economics in National Socialist Germany’, in Stuart J. Woolf (ed.), The Nature of Fascism (London, 1968), 165-95.
-
-118 . Alan S. Milward, ‘Fascism and the Economy’, in Walter Laqueur (ed.), Fascism: A Reader’s Guide: Analyses, Interpretations, Bibliography (New York, 1976), 409-53.
-
-119 . Fritz Thyssen’s ghost-written memoir, I Paid Hitler (London, 1941), is unreliable; see Henry Ashby Turner, Jr, ‘Fritz Thyssen und “I Paid Hitler” ’, VfZ 19 (1971), 225-44; see also Horst A. Wessel, Thyssen & Co., Mülheim an der Ruhr: Die Geschichte einer Familie und ihrer Unternehmung (Stuttgart, 1991), 48, 171.
-
-120 . Richard J. Overy, ‘Heavy Industry in the Third Reich: The Reichswerke Crisis’, in idem, War and Economy in the Third Reich, 93-118 (first published in European History Quarterly, 15 (1985), 313-39).
-
-121 . Richard J. Overy, ‘ “Primacy Always Belongs to Politics”: Gustav Krupp and the Third Reich’, in idem, War and Economy in the Third Reich, 119-43, at 119-25.
-
-122 . Felix Somary, The Raven of Zürich: The Memoirs of Felix Somary (London, 1986), 175; more generally, Overy, ‘ “Primacy” ’, 126-34; Henry Ashby Turner, Jr, German Big Business and the Rise of Hitler (New York, 1985), 338-9.
-
-123 . Overy, ‘ “Primacy” ’, 135-43; Lothar Gall, Krupp: Der Aufstieg eines Industriemperiums (Berlin, 2000); William Manchester, The Arms of Krupp 1587-1968 (New York, 1970 [1968]), 499-511, 645-7, 743.
-
-124 . Hayes, Industry and Ideology, 125-211.
-
-125 . Ibid., 158-9, 180-83; Raymond G. Stokes, ‘From the IG Farben Fusion to the Establishment of BASF AG (1925-1952)’, in Werner Abelshauser et al., German Industry and Global Enterprise. BASF: The History of a Company (Cambridge, 2004), 206-361, at 262-3, 273-89. Gottfried Plumpe, Die I.G. Farbenindustrie AG. Wirtschaft, Technik und Politik 1904-1945 (Berlin, 1990), largely follows Hayes, though in some respects it is less critical: see Peter Hayes, ‘Zur umstrittenen Geschichte der I.G. Farbenindustrie AG’, Geschichte und Gesellschaft, 18 (1992), 405-17; Plumpe’s riposte does not convince: see Gottfried Plumpe, ‘Antwort auf Peter Hayes’, Geschichte und Gesellschaft, 18 (1992), 526-32.
-
-126 . Harold James, ‘Die Deutsche Bank und die Diktatur 1933-1945’, in Lothar Gall et al., Die Deutsche Bank 1870-1995 (Munich, 1993), 315-408; see also Harold James, The Nazi Dictatorship and the Deutsche Bank (Cambridge, 2004).
-
-127 . Details in Behnken (ed.), Deutschland-Berichte, VI (1939), 511-16.
-
-128 . Ibid., 611-13.
-
-129 . Simone Ladwig-Winters, ‘The Attack on Berlin Department Stores (Warenhäuser ) after 1933’, in David Bankier (ed.), Probing the Depths of German Antisemitism: German Society and the Persecution of the Jews, 1933-1941 (Jerusalem, 2000), 246-67, at 246-50; eadem, Wertheim - Ein Warenhausunternehmen und seine Eigentümer: Ein Beispiel der Entwicklung der Berliner Warenhäuser bis zur ‘Arisierung’ (Münster, 1997); Klaus Strohmeyer, Warenhäuser: Geschichte, Blüte und Untergang in Warenmeer (Berlin, 1980); Heidrun Homburg, ‘Warenhausunternehmen und ihre Gründer in Frankreich und Deutschland oder: eine diskrete Elite und mancherlei Mythen’, Jahrbuch für Wirtschaftsgeschichte (1992), 183- 219. Rudolf Lenz, Karstadt. Ein deutscher Warenhauskonzern 1920-1950 (Stuttgart, 1995); Werner E. Mosse, The German-Jewish Economic Elite 1820-1935: A Socio-Cultural Profile (Oxford, 1989), 18-20, 29-31, 70-78, 103-5, 111-13, 140-42; see also Konrad Fuchs, Ein Konzern aus Sachsen: Das Kaufhaus Schocken als Spiegelbild deutscher Wirtschaft und Politik, 1901 bis 1953 (Stuttgart, 1990).
-
-130 . Ladwig-Winters, ‘The Attack’, 251.
-
-131 . Robert J. Gellately, The Politics of Economic Despair. Shopkeepers and German Politics, 1890-1914 (London, 1974), 141-3.
-
-132 . Albrecht Tyrell (ed.), Führer befiehl... Selbstzeugnisse aus der ‘Kampfzeif’ der NSDAP: Dokumentation und Analyse (Düsseldorf, 1969), 24.
-
-133 . Translated and reprinted in Noakes and Pridham (eds.), Nazism, I. 76.
-
-134 . Heinrich Uhlig, Die Warenhäuser im Dritten Reich (Cologne, 1956), 78-9, 88-127.
-
-135 . Uhlig, Warenhäuser, 115-19; Ladwig-Winters, ‘The Attack’, 255-6; Johannes Ludwig, Boykott - Enteignung - Mord: Die ‘Entjuding’ der deutschen Wirtschaft (Hamburg 1989), 104-27.
-
-136 . Ladwig-Winters, ‘The Attack’, 25-62 (quote on 262). For the Factory Cell Organization, see below, 456-60.
-
-137 . Ladwig-Winters, ‘The Attack’, 263-7; for a good local example of the campaign against department stores, see Franz Fichtl et al., ‘Bambergs Wirtschaft Judenfrei’: Die Verdrängung der jüdischen Geschäftsleute in den Jahren 1933 bis 1939 (Bamberg, 1998), 66-72.
-
-138 . Peter Longerich, Politik der Vernichtung: Eine Gesamtdarstellung der nationalsozialistischen Judenverfolgung (Munich, 1998), 46-54; Helmut Genschel, Die Verdrängung der Juden aus der Wirtschaft im Dritten Reich (Göttingen, 1966), 78-87; Gerhard Kratzsch, Der Gauwirtschaftsapparat der NSDAP: Menschenführung -‘Arisierung’-Wehrwirtschaft im Gau Westfalen-Süd (Münster, 1989), 117; Fichtl et al., ‘Bambergs Wirtschaft’, 101-10; the best general survey is still Avraham Barkai, From Boycott to Annihilation: The Economic Struggle of German Jews 1933-1943 (Hanover, N.H., 1989 [1988]).
-
-139 . Klemperer, I Shall Bear Witness, 65 (13 June 1934).
-
-140 . Friedländer, Nazi Germany, 234-5.
-
-141 . Joachim Meynert, Was vor der ‘Endlösung’ geschah. Antisemitische Ausgrenzung und Verfolgung in Minden-Ravensburg, 1933-1945 (Münster, 1988), 82-99.
-
-142 . Quoted in Longerich, Politik, 55.
-
-143 . Ibid.
-
-144 . Ibid., 55-6, 70-88.
-
-145 . All quoted in ibid., 97-8; report and translation in The Economist, 24 August 1935, 36-6. For Schacht’s claim to have opposed antisemitism, see Schacht, My First Seventy-Six Years, 467-8; it was largely swallowed by his first serious biographer, Heinz Pentzlin, Hjalmar Schacht: Leben und Wirken einer umstrittenen Persönlichkeit (Berlin, 1980). Boelcke, Die deutsche Wirtschaft, 117-28 and 210-17, provides a useful introduction to Aryanization, but is too kind to Schacht.
-
-146 . Schacht, My First Seventy-Six Years, 357.
-
-147 . Albert Fischer, ‘The Minister of Economics and the Expulsion of the Jews from the German Economy’, in Bankier (ed.), Probing, 213-25; see also idem, Hjalmar Schacht und Deutschlands ‘Judenfrage’: Der ‘Wirtschaftsdiktator’ und die Vertreibung der Juden aus der deutschen Wirtschaft (Cologne, 1995).
-
-148 . Petra Bräutigam, Mittelständische Unternehmer im Nationalsozialismus: Wirtschaftliche Entwicklungen und soziale Verhaltensweisen in der Schuh- und Lederindustrie Badens und Württembergs (Munich, 1997), 167-73, 297-336.
-
-149 . Frank Bajohr, ‘The “Aryanization” of Jewish Companies and German Society: The Example of Hamburg’, in Bankier (ed.), Probing, 226-45, at 227-34. For traditional mercantile attitudes, see Richard J. Evans, Death in Hamburg: Society and Politics in the Cholera Years 1830-1910 (Oxford, 1987), esp. 33-9, 392-4; and Niall Ferguson, Paper and Iron: Hamburg Business and German Politics in the Era of Inflation 1897-1927 (Cambridge, 1995), 60-64.
-
-150 . Bajohr, ‘The “Aryanization”’, 235-8; more detail in idem, ‘Aryanization’ in Hamburg: The Economic Exclusion of Jews and the Confiscation of their Property in Nazi Germany (New York, 2002 [1997]), chapter 4.
-
-151 . Bajohr, ‘The “Aryanization”’, 234-41; more senior businessmen staffed the equivalent office in the Party Regional headquarters of Southern Westphalia: see Gerhard Kratzsch, ‘Die “Entjudung” der mittelständischen Wirtschaft im Regierungsbezirk Arnsberg’, in Arno Herzig et al. (eds.), Verdrängung und Vernichtung der Juden in Westfalen (Münster, 1994), 91-114, at 97. State offices asserted themselves more vigorously, by contrast, in some other areas: see for example Hans-Joachim Fliedner, Die Judenverfolgung in Mannheim 1933-1945 (Stuttgart, 1971), 114, and Kratzsch, Der Gauwirtschaftsapparat, 151 and 180; also Dirk van Laak, ‘Die Mitwirkenden bei der “Arisierung”. Dargestellt am Beispiel der rheinisch-westfälischen Industrieregion, 1933-1940’, in Ursula Büttner (ed.), Die Deutschen und die Judenverfolgung im Dritten Reich (Hamburg, 1992), 231-57.
-
-152 . Bajohr, ‘The “Aryanization”’, 237, criticizing Fraenkel, The Dual State (see above, 45), and Uwe Dietrich Adam, Judenpolitik im Dritten Reich (Dusseldorf, 1972), 359.
-
-153 . Fischer, Hjalmar Schacht, 187; Longerich, Politik 124; Stefan Mehl, Das Reichsfinanzministerium und die Verfolgung der deutschen Juden, 1933-1943 (Berlin, 1990); Behnken (ed.), Deutschland-Berichte, V (1938), 1,291.
-
-154 . Fichtl et al., ‘Bambergs Wirtschaft’ 63-97, 111-32.
-
-155 . Treue (ed.), ‘Hitlers Denkschrift’, 204, 210.
-
-156 . Longerich, Politik, 124-6; Bajohr, ‘Aryanization’, 185-221; Dorothee Mussgnug, Die Reichsfluchtsteuer 1931-1933 (Berlin, 1993).
-
-157 . Hans Nothnagel and Ewald Dähn, Juden in Suhl: Ein geschichtlicher Über blick (Konstanz, 1995), 129-31.
-
-158 . Albert Fischer, ‘Jüdische Privatbanken im “Dritten Reich”’, Scripta Mercatu rae. Zeitschrift für Wirtschafts- und Sozialgeschichte, 28 (1994), 1-54; Chris topher Kopper, ‘Die “Arisierung” jüdischer Privatbanken im Nationalsozialismus’, Sozialwissenschaftliche Informationen für Unterricht und Studium, 20 (1991), 11-16.
-
-159 . See Christopher Kopper, ‘Privates Bankwesen im Nationalsozialismus. Das Bankhaus M. M. Warburg & Co.’, in Werner Plumpe and Christian Kleinschmidt (eds.), Unternehmen zwischen Markt und Macht: Aspekte deutscher Unternehmens- und Industriegeschichte im 20 Jahrhundert (Essen, 1992), 61-73; and A. Joshua Sherman, ‘A Jewish Bank during the Schacht Era: M. M. Warburg & Co., 1933-1938’, in Arnold Paucker (ed.), The Jews in Nazi Germany 1933-1943 (Tübingen, 1986), 167-72.
-
-160 . Barkai, From Boycott, 70.
-
-161 . Longerich, Politik, 126-7; Avraham Barkai, ‘The Fateful Year 1938: The Continuation and Acceleration of Plunder’, in Walter H. Pehle (ed.), November 1938: From ‘Reichskristallnacht’ to Genocide (New York, 1991 [1988]), 95-122, at 97-9. Figures apply to the Altreich.
-
-162 . Genschel, Die Verdrängung, 126; see more generally Günter Plum, ‘Wirtsch aft und Erwerbsleben’, in Wolfgang Benz (ed.), Die Juden in Deutschland 1933- 1945: Leben unter nationalsozialistischer Herrschaft (Munich, 1988), 268-313, at 292-304; for a local study, see Meynert, Was vor der ‘Endlösung’ geschah, 156-77.
-
-163 . Longerich, Politik, 128; Barbara Händler-Lachmann and Thomas Werther, Vergessene Geschäfte, verlorene Geschichte: Jüdisches Wirtschaftsleben in Marburg und seine Vernichtung im Nationalsozialismus (Marburg, 1992); Axel Bruns-Wüstefeld, Lohnende Geschäfte. Die ‘Entjudung’ der Wirtschaft am Beispiel Göttingens (Hanover, 1997); also Benigna Schönhagen, Tübingen unterm Haken kreuz: Eine Universitatsstadt in der Zeit des Nationalsozialismus (Tübingen, 1991).
-
-164 . Barkai, ‘The Fateful Year’, 97-113; Longerich, Politik, 126-30, 159-61, 165-9. Unless otherwise noted, these statistics include only the Altreich; the 1938 Aryanization statistics also include Austria. Further details in Plum, ‘Wirtschaft’, 304-13. See also more generally Peter Hayes and Irmtrud Wojak (eds.), ‘Arisierung’ im Nationalsozialismus: Volksgemeinschaft, Raub und Gedächtnis (Frank furt am Main, 2000). Among many other useful local studies, see also in particular Dirk van Laak, “‘Wenn einer ein Herz im Leibe hat, der lässt sich von einem deutschen Arzt behandeln” - Die “Entjudung” der Essener Wirtschaft von 1933 bis 1941’, in Alte Synagoge (ed.), Entrechtung und Selbsthilfe: Zur Geschichte der Juden in Essen unter dem Nationalsozialismus (Essen, 1994), 12-30.
-
-165 . Barkai, ‘The Fateful Year’, citing Peter Hanke, Zur Geschichte der Juden in München zwischen 1933 und 1945 (Munich, 1967), 154-5.
-
-166 . Avraham Barkai, ‘Die deutschen Unternehmer und die Judenpolitik im “Dritten Reich”’, Geschichte und Gesellschaft, 15 (1989), 227-47. Bajohr, ‘The “Aryanization”’, 241-2; for a local study revealing the huge range of different types and sizes of enterprise involved, see Angelika Baumann and Andreas Heusler (eds.), München ‘arisiert’: Entrechtung und Enteignung der Juden in der NS-Zeit (Munich, 2004).
-
-167 . Behnken (ed.), Deutschland-Berichte, V (1938), 750.
-
-168 . Ibid., VI (1939), 599; echoed in Genschel, Die Verdrängung, 213.
-
-169 . Harold James, The Deutsche Bank and the Nazi Economic War against the Jews: The Expropriation of Jewish-owned Property (Cambridge, 2001), 36-48.
-
-170 . Dieter Ziegler, ‘Die Verdrängung der Juden aus der Dresdner Bank 1933- 1938’, VfZ 47 (1999), 187-216; Stokes, ‘From the IG Farben Fusion’, 291-2. For banks, see more generally Christopher Kopper, Zwischen Marktwirtschaft und Dirigismus: Bankenpolitik im ‘Dritten Reich’ 1933-1939 (Bonn, 1995).
-
-171 . Paul Erker, Industrieeliten in der NS-Zeit: Anpassungsbereitschaft und Eigeninteresse von Unternehmern in der Rüstungs- und Kriegswirtschaft 1936-1945 (Passau, 1993), 7-14.
-
-172 . Feldman, Allianz, 125-39.
-
-173 . Friedländer, Nazi Germany, 234-6.
-
-174 . Kratzsch, Der Gauwirtschaftsapparat, 217-18, 506.
-
-175 . James, The Deutsche Bank, 36-48.
-
-176 . Barkai, From Boycott, 75.
-
-177 . Behnken (ed.), Deutschland-Berichte, V (1938), 176-9.
-
-178 . Bräutigam, Mittelständische Unternehmer, 332-6; for the Tack shoe business, see Ludwig, Boykott, 128-53.
-
-179 . Feldman, Allianz, 147-9.
-
-180 . James, The Deutsche Bank, 49-50; Peter Hayes, ‘Big Business and “Aryanization” in Germany 1933-1939’, Jahrbuch für Antisemitismusforschung 3 (1994), 254-81, at 267. I.G. Farben seems to have played little or no part in such acquisitions: see Stokes, ‘From the IG Farben Fusion’, 291.
-
-181 . Bernhard Lorentz, ‘Die Commerzbank und die “Arisierung” im Altreich. Ein Vergleich der Netzwerkstrukturen und Handlungsspielräume von Grossbanken in der NS-Zeit’, VfZ 50 (2002), 237-68; Ludolf Herbst and Thomas Weihe (eds.), Die Commerzbank und die Juden 1933-1945 (Munich, 2004).
-
-182 . Ludwig, Boykott, 154-74.
-
-183 . Bajohr, ‘The “Aryanization”, 242-5; Peter Hayes, ‘Fritz Roessler and Nazism: The Observations of a German Industrialist, 1930-37’, Central European History, 20 (1987), 58-83; at greater length, see also now Peter Hayes, From Cooperation to Complicity. Degussa in the Third Reich (New York, 2005).
-
-184 . Frank Bajohr and Joachim Szodrzynski, “‘Keine jüdische Hautcreme mehr benutzen.” Die antisemitische Kampagne gegen die Hamburger Firma Beiersdorf’, in Arno Herzig (ed.), Die Juden in Hamburg 1590-1990 (Hamburg, 1991), 515-26.
-
-185 . Longerich, Politik, 127; Bajohr, ‘The “Aryanization”’, 242-7.
-
-186 . Rainer Karlsch and Raymond G. Stokes, Faktor Öl: Die Geschichte der Mineralölwirtschaft in Deutschland, 1859-1974 (Munich, 2003), 161-3; Lukas Straumann and Daniel Wildmann, Schweizer Chemieunternehmen im ‘Dritten Reich’ (Zurich, 2001), 68-9.
-
-187 . Reinhold Billstein et al., Working for the Enemy: Ford, General Motors and Forced Labor in Germany during the Second World War (New York, 2000).
-
-188 . Frank Bajohr, Parvenüs und Profiteure: Korruption in der NS-Zeit (Frankfurt am Main, 2001), 99-105.
-
-189 . Ibid., 104-18; idem, ‘Gauleiter in Hamburg. Zur Person und Tätigkeit Karl Kaufmanns’, VfZ 43 (1995), 27-95.
-
-190 . Bajohr, Parvenüs, 117-21; Saul K. Padover, Experiment in Germany: The Story of an American Intelligence Officer (New York, 1946), 57.
-
-191 . Gerd R. Ueberschär and Winfried Vogel, Dienen und Verdienen: Hitlers Geschenke an seine Eliten (Frankfurt am Main, 1999), 35-55; Bajohr, Parvenüs, 17-21.
-
-192 . Ueberschär and Vogel, Dienen und Verdienen, 55-69.
-
-193 . Ibid., 77-8.
-
-194 . Ibid., 90-93; Bajohr, Parvenüs, 34-6; see also Wulf C. Schwarzwäller, The Unknown Hitler: His Private Life and Fortune (Bethesda, Md., 1989 [1986]), and ‘Der Nazi-Diktator zahlte nicht mal Steuern’, Die Welt, 17 December 2004.
-
-195 . Bajohr, Parvenüs, 21-6. This system inspired the joke that NSDAP stood for ‘Na, suchst du auch Pöstchen?’ (‘So you’re also looking for little positions in the state?’) (Gamm, Der Flüsterwitz, 77).
-
-196 . Bajohr, Parvenüs, 27-33.
-
-197 . Herbert, “‘Die guten und die schlechten Zeiten”’, interview with Willi Erbach.
-
-198 Steinberg, Sabers, 142-4.
-
-199 Bajohr, Parvenüs, 49-55.
-
-200 Ibid., 63-8.
-
-201 . Ibid., 69-70.
-
-202 . Ibid., 71-4.
-
-203 . Ibid., 75-94; Behnken (ed.), Deutschland-Berichte, IV (1937), 549-53.
-
-204 . Ibid., 514-18.
-
-205 Klemperer, I Shall Bear Witness, 84-5 (27 September 1934).
-
-206 Grunberger, A Social History, 419-25, 468-9; Gamm, Der Flüsterwitz, 88, 90; Kershaw, The ‘Hitler Myth’, 96-104. Finck was subsequently released but was expelled from the Reich Culture Chamber and barred from working, though he made a reappearance in troop entertainment during the war (Grunberger, A Social History, 469).
-
-207 . Richard J. Overy, ‘Germany, “Domestic Crisis”, and War in 1939’, in idem, War and Economy, 205-32, at 214-15.
-
-208 . Peter Hayes, ‘Polycracy and Policy in the Third Reich: The Case of the Economy’, in Childers and Caplan (eds.), Reevaluating, 190-210. On the remaining room for manoeuvre of businessmen and industrialists in 1939, see Fritz Blaich, ‘Die bayerische Industrie 1933-1939. Elemente von Gleichschaltung, Konformismus und Selbstbehauptung’, in Broszat et al. (eds.), Bayern, II. 237-80.
-
-209 . Tim Mason, ‘The Domestic Dynamics of Nazi Conquests: A Response to Critics’, in Childers and Caplan (eds.), Reevaluating the Third Reich, 161-89.
-
-210 . Benhken (ed.), Deutschland-Berichte, VI (1939), 643-9; Overy, ‘ “Domestic Crisis” ’, 216, table 7.1.
-
-
-
-Chapter 5. BUILDING THE PEOPLE’S COMMUNITY
-
-1 . Friedrich Reck-Malleczewen, Diary of a Man in Despair (London, 1995 [1966]), 36-9, 59, 36, 95, 85-6.
-
-2 . Ibid., 63.
-
-3 . Ibid., 78.
-
-4 . Ibid., 52.
-
-5 . Ibid., 84-5.
-
-6 . Ibid., 85.
-
-7 . Christine Zeile, ‘Ein biographischer Essay’, in Friedrich Reck, Tagebuch eines Verzweifelten (Frankfurt am Main, 1994), 251-98. Norman Stone, in his Introduction to the English edition, does not question Reck’s title (Diary, 5-15, at 12); nor does his translator (Translator’s Preface, 17-20, at 18). Burleigh, The Third Reich, 5, also describes him as an ‘aristocrat’; Gellately, The Gestapo, 131, calls him a ‘noble from southern Germany’. For a detailed dissection of his fantasies, see Alphons Kappeler, Ein Fall von ‘Pseudologia phantastica’ in der deutschen Literatur: Fritz Reck-Malleczewen (2 vols., Göppingen, 1975), I. 5-179.
-
-8 Kappeler, Ein Fall, II. 482-92.
-
-9 . Heinz Reif, Adel im 19. und 20. Jahrhundert (Munich, 1999), 54, 112, 117; Georg H. Kleine, ‘Adelsgenossenschaft und Nationalsozialismus’, VfZ 26 (1978), 100-143; Shelley Baranowski, ‘East Elbian Landed Elites and Germany’s Turn to Fascism: The Sonderweg Controversy Revisited’, European History Quarterly, 26 (1996), 209-40; Willibald Gutsche and Joachim Petzold, ‘Das Verhältnis der Hohenzollern zum Faschismus’, Zeitschrift für Geschichtswissenschaft, 29 (1981), 917-39; Wolfgang Zollitsch, ‘Adel und adlige Machteliten in der Endphase der Weimarer Republik. Standespolitik und agrarische Interessen’, in Heinrich August Winkler (ed.), Die deutsche Staatskrise 1930-1933: Handlungsspielräume und Alternativen (Munich, 1992), 239-62; Karl Otmar von Aretin, ‘Der bayerische Adel von der Monarchie zum Dritten Reich’, in Broszat et al. (eds.), Bayern, III. 513-68, at 525, 542, 554-6. Stephan Malinowski, Vom König zum Führer. Sozialer Niedergang und politische Radikalisierung im deutschen Adel zwischen Kaiserreich und NS-Staat (Berlin, 2003), 321-475, provides a comprehensive and readable survey of aristocratic clubs and pressure-groups.
-
-10 Höhne, The Order, 142-8; Gutsche and Petzold, ‘Das Verhältnis’; Reif, Adel, 54; more generally, Martin Broszat and Klaus Schwabe (eds.), Die deutschen Eliten und der Weg in den Zweiten Weltkrieg (Munich, 1989).
-
-11 Malinowski, Vom König, 560-78. See also the studies in Heinz Reif (ed.), Adel und Bürgertum in Deutschland, II: Entwicklungslinien und Wendepunkte im 20. Jahrhundert (Berlin, 2001) and the detailed examples presented in Friedrich Keinemann, Vom Krummstab zur Republik: Westfälischer Adel unter preussischer Herrschaft 1802-1945 (Bochum, 1997) and Eckart Conze, Von deutschem Adel: Die Grafen von Bernstorff im zwanzigsten Jahrhundert (Stuttgart, 2000).
-
-12 Tyrell, Führer befiehl . . . , 24; Noakes and Pridham (eds.), Nazism, I. 61.
-
-13 Evans, The Coming of the Third Reich, 369-73; Corni, Hitler and the Peasants, 39-65; Petzina, Die deutsche Wirtschaft, 115-16.
-
-14 . Matthias Eidenbenz, ‘Blut und Boden’: Zu Funktion und Genese der Metaphern des Agrarismus und Biologismus in der nationalsozialistischen Bauern-propaganda R. W. Darrés (Bern, 1993); Oswald Spengler was the first to bring the two words into the same context, though setting them in opposition to one another (ibid., 2-3).
-
-15 Evans, The Coming of the Third Reich, 228, 334; Gustavo Corni, ‘Richard Walther Darré: The Blood and Soil Ideologue’, in Smelser and Zitelmann (eds.), The Nazi Elite, 18-27; Horst Gies, R. Walther Darré und die nationalsozialistische Bauernpolitik 1930 bis 1933 (Frankfurt am Main, 1966); idem, ‘Die nationalsozialistische Machtergreifung auf dem agrarpolitischen Sektor’, Zeitschrift für Agrargeschichte und Agrarsoziologie, 16 (1968), 210-32; Horst Gies, ‘NSDAP und landwirtschaftliche Organisationen in der Endphase der Weimarer Republik’, VfZ 15 (1967), 341-67; Farquharson, The Plough 13-73; Herlemann, ‘Der Bauer’, 53-73.
-
-16 Horst Gies, ‘Die nationalsozialistische Machtergreifung’, 210-32; idem, ‘Landbvevölkerung und Nationalsozialismus. Der Weg in den Reichsnährstand’, Zeitgeschichte, 13 (1986), 123-41.
-
-17 . Farquharson, The Plough, 107-40.
-
-18 . Corni, Hitler and the Peasants, 121; Minuth (ed.), Akten der Reichskanzlei: Die Regierung Hitler, 1933-1934, I. 399-401.
-
-19 . Corni, Hitler and the Peasants, 116-42; Farquharson, The Plough, 141-60.
-
-20 . Behnken (ed.), Deutschland-Berichte, I (1934), 52 (April/May).
-
-21 . Ibid., 52.
-
-22 . Ibid., 741 (November/December, report from southern Bavaria); more generally, Friedrich Grundmann, Agrarpolitk im ‘Dritten Reich’: Anspruch und Wirklichkeit des Reichserbhofgesetzes (Hamburg, 1979); Herlemann, ‘Der Bauer’, 127-45.
-
-23 . Behnken (ed.), Deutschland-Berichte, I (1934), 741-2.
-
-24 . Ibid., 232 (also for the preceding passage); more generally, see the account in Corni, Hitler and the Peasants, 143-55.
-
-25 . Behnken (ed.), Deutschland-Berichte, I (1934), 232-3; see also Michael Schwartz, ‘Bauern vor dem Sondergericht. Resistenz und Verfolgung im bäuerlichen Milieu Westfalens’, in Anselm Faust (ed.), Verfolgung und Widerstand im Rheinland und in Westfalen 1933-1945 (Cologne, 1992), 113-23.
-
-26 . See for example Herlemann, ‘Der Bauer’, 226-9.
-
-27 . Behnken (ed.), Deutschland-Berichte, IV (1937), 1,098-140; examples on 1,100 and 1,103.
-
-28 Wolfram Pyta, Dorfgemeinschaft und Parteipolitik 1918-1933: Die Verschränkung von Milieu und Parteien in der protestantischen Landgebieten Deutschlands in der Weimarer Republik (Düsseldorf, 1996), 470-73.
-
-29 Zdenek Zofka, Die Ausbreitung des Nationalsozialismus auf dem Lande: Eine regionale Fallstudie zur politischen Einstellung der Landbevölkerung in der Zeit des Aufstiegs und der Machtergreifung der NSDAP 1928-1936 (Munich, 1979); Herlemann, ‘Der Bauer’, 77-88.
-
-30 Zdenek Zofka, ‘Dorfeliten und NSDAP. Fallbeispiele der Gleichschaltung aus dem Kreis Günzburg’, in Broszat et al. (eds.), Bayern, IV. 383-434, at 429 (Aus dem Schreiben des Landrats von Bad Aibling an die zuständige Behörde der US-Militärregierung vom 12. Dezember 1945).
-
-31 Ibid., 431 (Aus einem Schreiben des Bezirksamts Erding an die Kreisleitung Erding vom 5. März 1937).
-
-32 . Ibid., 432 (Aus der Stellungnahme des Bezirksamtes München vom 27. September 1938).
-
-33 Caroline Wagner, Die NSDAP auf dem Dorf: Eine Sozialgeschichte der NS-Machtergreifung in Lippe (Münster, 1998).
-
-34 Gerhard Wilke, ‘Village Life in Nazi Germany’, in Richard Bessel (ed.), Life in the Third Reich (Oxford, 1987), 17-24. See also the full-length study by Kurt Wagner, Leben auf dem Lande im Wandel der Industrialisierung: ‘Das Dorf war früher auch keine heile Welt’: Veränderung der dörflichen Lebensweise und der politischen Kultur vor dem Hintergrund der Industrialisierung am Beispiel des nordhessischen Dorfes Körle (1800-1970) (Frankfurt am Main, 1986).
-
-35 Gerhard Wilke and Kurt Wagner, ‘Family and Household: Social Structures in a German Village Between the Two World Wars’, in Richard J. Evans and William Robert Lee (eds.), The German Family: Essays on the Social History of the Family in Nineteenth- and Twentieth-century Germany (London, 1981), 120-47; Grunberger, A Social History, 200, citing Hans Müller, Deutsches Bauerntum zwischen Gestern und Morgen (Witzburg, 1940), 28.
-
-36 . Gerhard Wilke, ‘The Sins of the Fathers: Village Society and Social Control in the Weimar Republic’, in Richard J. Evans and W. R. Lee (eds.), The German Peasantry: Conflict and Community in Rural Society from the Eighteenth to the Twentieth Centuries (London, 1986), 174-204.
-
-37 For similar findings for Lippe, see Wagner, Die NSDAP, passim.
-
-38 Kurt Wagner and Gerhard Wilke, ‘Dorfleben im Dritten Reich: Körle in Hessen’, in Peukert and Reulecke (eds.), Die Reihen fast geschlossen, 85-106. For another, comparable study, see Wolfgang Kaschuba and Carola Lipp, ‘Kein Volk steht auf, kein Sturm bricht los. Stationen dörflichen Lebens auf dem Weg in den Faschismus’, in Johannes Beck et al. (eds.), Terror und Hoffnung in Deutschland 1933-1945: Leben im Faschismus (Reinbek, 1980), 111-55, and idem, Dörfliches Überleben: Zur Geschichte materieller und sozialer Reproduktion ländlicher Gesellschaft im 19. und frühen 20. Jahrhundert (Tübingen, 1982), 232-59. For a more general assessment, see also Wolfgang Kaschuba, Lebenswelt und Kultur der unterbürgerlichen Schichten im 19. und 20. Jahrhundert (Munich, 1990), 47-9.
-
-39 Daniela Münkel, Nationalsozialistiche Agrarpolitik und Bauernalltag (Frankfurt am Main, 1996), 192-320; see also eadem, Bauern und Nationalsozialismus: Der Landkreis Celle im Dritten Reich (Bielefeld, 1991); and eadem, ‘Hakenkreuz und “Blut und Boden”: Bäuerliches Leben im Landkreis Celle 1933-1939’, Zeitschrift für Agrargeschichte und Agrarsoziologie, 40 (1992), 206-47.
-
-40 See also the discussion in Herlemann, ‘Der Bauer’, 88-119.
-
-41 Münkel, Nationalsozialistische Agrarpolitik, 278-80, 319-20, 466-81; Wagner, Die NSDAP, however, emphasizes the relatively high level of denunciations in some villages in Lippe. For the failure of agricultural modernization, see Peter Exner, Ländliche Gesellschaft und Landwirtschaft in Westfalen, 1919-1969 (Paderborn, 1997); Joachim Lehmann, ‘Mecklenburgische Landwirtschaft und “Modernisierung” in den dreissiger Jahren’, in Frank Bajohr (ed.), Norddeutschland , 335-46; and Daniela Münkel (ed.), Der lange Abschied vom Agrarland: Agrarpolitik, Landwirtschaft und ländliche Gesellschaft zwischen Weimar und Bonn (Gottingen, 2000). For a brief assessment of the Harvest Thanksgiving Festival, see Herlemann, ‘Der Bauer’, 223.
-
-42 From a large literature, see in particular Heinz-Gerhard Haupt (ed.), Die radikale Mitte: Lebensweisen und Politik von Kleinhändlern und Handwerkern in Deutschland seit 1848 (Munich, 1985); David Blackbourn, ‘Between Resignation and Volatility: The German Petty Bourgeoisie in the Nineteenth Century’, in idem, Populists and Patricians: Essays in Modern German History (London, 1987), 84-113; Heinrich August Winkler, Mittelstand, Demokratie und Nationalsozialismus: Die politische Entwicklung von Handwerk und Kleinhandel in der Weimarer Republik (Cologne, 1972); Adelheid von Saldern, Mittelstand im ‘Dritten Reich’: Handwerker-Einzelhändler-Bauern (Frankfurt am Main, 1979).
-
-43 David Schoenbaum, Hitler’s Social Revolution: Class and Status in Nazi Germany, 1933-1939 (London, 1967), 136-7; Saldern, Mittelstand, passim; Behnken (ed.), Deutschland-Berichte, VI (1939), 228-32.
-
-44 . Friedrich Lenger, Sozialgeschichte der deutschen Handwerker seit 1800 (Frankfurt am Main, 1988), 195-203. For the Labour Front, see below, 459-65.
-
-45 . Blaich, Wirtschaft, 19-20; Petzina, Die deutsche Wirtschaft, 142.
-
-46 . Lenger, Sozialgeschichte, 132-7 and 163-202; Bernhard Keller, Das Handwerk im faschistischen Deutschland: Zum Problem der Massenbasis (Cologne, 1980), 68-84 (some useful information despite Marxist-Leninist approach).
-
-47 . Schoenbaum, Hitler’s Social Revolution, 136-43, 147-50; Behnken (ed.), Deutschland-Berichte, VI (1939), 251-4.
-
-48 . Lenger, Sozialgeschichte, 195-203; Schoenbaum, Hitler’s Social Revolution, 136-43, 147-50. The contention of Adelheid von Saldern that artisanal trades achieved much of what they wanted in the Third Reich is only partially convincing even for the period 1933-6 and not at all for the period thereafter: see Heinrich August Winkler, ‘Der entbehrliche Stand. Zur Mittelstandspolitik im “Dritten Reich” ’, Archiv für Sozialgeschichte, 17 (1977), 1-4; Adelheid von Saldern, Mittelstand ; eadem, ‘ “Alter Mittelstand” im “Dritten Reich”. Anmerkungen zu einer Kontroverse’, Geschichte und Gesellschaft, 12 (1986), 235-43; Heinrich August Winkler, ‘Ein neuer Mythos vom alten Mittelstand. Antwort auf eine Antikritik’, Geschichte und Gesellschaft, 12 (1986), 548-57.
-
-49 Gerald Schröder, ‘Die “Wiedergeburt” der Pharmazie - 1933 bis 1934’, in Mehrtens and Richter (eds.), Naturwissenschaft, 166-88; Franz Leimkugel, ‘Antisemitische Gesetzgebung in der Pharmazie, 1933-1939’, in Meinel and Voswinckel (eds.), Medizin, 230-35.
-
-50 Martin F. Brumme, ‘ “Prachtvoll fegt der eiserne Besen durch die deutschen Lande.” Die Tierärzte und das Jahr 1933’, in Meinel and Voswinckel (eds.), Medizin, 173-82.
-
-51 . Schoenbaum, Hitler’s Social Revolution, 144-6.
-
-52 . Behnken (ed.), Deutschland-Berichte, I (1934), 49-50.
-
-53 . Ibid., 111-12.
-
-54 . Ibid., II (1935), 453-60.
-
-55 . Ibid., 1,334-54.
-
-56 Ibid., VI (1939), 868-98.
-
-57 Günther Schulz, Die Angestellten seit dem 19. Jahrhundert (Munich, 2000), 36-7; Michael Prinz, Vom neuen Mittelstand zum Volksgenossen: Die Entwicklung des sozialen Status der Angestellten von der Weimarer Republik bis zum Ende der NS-Zeit (Munich, 1986), 92-143, 229.
-
-58 . Prinz, Vom neuen Mittelstand, 334-5.
-
-59 . Behnken (ed.), Deutschland-Berichte, III (1936), 732-3.
-
-60 . Konrad H. Jarausch, The Unfree Professions: German Lawyers, Teachers, and Engineers, 1900-1950 (New York, 1990), 142-69.
-
-61 . Kater, Doctors, 35-6.
-
-62 . See above, 317-18.
-
-63 . Kater, Doctors, 35-40.
-
-64 . Ibid., 25-34, 54-74; see also idem, ‘Medizin und Mediziner im Dritten Reich’, Historische Zeitschrift, 244 (1987), 299-352.
-
-65 . Domarus, Hitler, II. 692.
-
-66 . Boberach (ed.), Meldungen, II. 281 (Vierteljahrslagebericht 1939 des Sicherheitshauptamtes Band 2).
-
-67 . Jane Caplan, Government without Administration: State and Civil Service in Weimar and Nazi Germany (Oxford, 1988), 215-59.
-
-68 Document printed in Hans Mommsen, Beamtentum im Dritten Reich: Mit ausgewählten Quellen zur nationalsozialistischen Beamtenpolitik (Stuttgart, 1976) 146-8.
-
-69 . Caplan, Government, 321-5.
-
-70 . Jane Caplan, ‘ “The Imaginary Unity of Particular Interests”: The “Tradition” of the Civil Service in German History’, Social History, 4 (1978), 299-317; eadem, ‘Bureaucracy, Politics and the National Socialist State’, in Stachura (ed.), The Shaping, 234-56.
-
-71 Hedda Kalshoven, Ich denk so viel an Euch: Ein deutsch-holländischer Briefwechsel 1920-1949 (Munich, 1995 [1991]), 151-2.
-
-72 . Ibid., 152.
-
-73 . Ibid., 161 (3 February 1933).
-
-74 . Ibid., 169 (10 March 1933).
-
-75 . Ibid., 177-8 (14 March 1933).
-
-76 . Ibid., 182-4 (22 March 1933).
-
-77 . Ibid., 187 (30 March 1933).
-
-78 . Ibid., 189 (6 April 1933).
-
-79 . Ibid., 199 (17 May 1933).
-
-80 . Ibid., also 198 (12 May 1933).
-
-81 . Ibid., 202-3 (25 May 1933).
-
-82 . Ibid., 202 (25 May 1933).
-
-83 . Ibid., 175-6 (14 March 1933).
-
-84 . Ibid., 180 (14 March 1933).
-
-85 . Ibid., 189 (6 April 1933).
-
-86 . Ibid., 189-90 (6 April 1933).
-
-87 . Ibid., 216 (18 October 1933).
-
-88 . Ibid., 212-13 (Braunschweigische Landeszeitung, 19 October 1933).
-
-89 . Ibid., 236 (14 July 1934); also her daughter’s letter of 7 July on the same page.
-
-90 . Evans, The Coming of the Third Reich, 425.
-
-91 . Kalshoven, Ich denk, 17-31. There is no reason to suppose that the family stopped mentioning politics in their letters out of fear that they were being intercepted by the Gestapo, although this must remain a possibility.
-
-92 Hanna Haack, ‘Arbeitslose in Deutschland. Ergebnisse und Analyse der Berufszählung vom 16. Juni 1933’, Jahrbuch für Wirtschaftsgeschichte (1986), 36-69; useful brief summary in Heinrich August Winkler, Der Weg in die Katastrophe: Arbeiter und Arbeiterbewegung in der Weimarer Republik 1930 bis 1933 (Berlin, 1987), 93-9; see also the classic study by Thedor Julius Geiger, Die soziale Schichtung des deutschen Volkes (Stuttgart, 1967 [1932]). The category of the ‘economically active’ (Erwerbspersonen) includes registered unemployed in these sectors as well as persons still in employment (Erwerbstätige).
-
-93 Evans, The Coming of the Third Reich, 333-49, 355-61.
-
-94 Boelcke, Die deutsche Wirtschaft, 68-9. Hans-Gerd Schumann, Nationalsozialismus und Gewerkschaftsbewegung: Die Vernichtung der deutschen Gewerkschaften und der Aufbau der ‘Deutschen Arbeitsfront’ (Hanover, 1958), 63; Ronald Smelser, Robert Ley: Hitler’s Labor Front Leader (Oxford, 1988), 117-25; Mason, Social Policy, 63-108.
-
-95 . Smelser, Robert Ley, 126-34.
-
-96 . Schumann, Nationalsozialismus und Gewerkschaftsbewegung, 63-5.
-
-97 . Ronald Smelser, ‘Robert Ley: The Brown Collectivist’, in idem and Zitelmann (eds.), The Nazi Elite, 144-54, at 144-5; also, at greater length, Smelser, Robert Ley, 6-16.
-
-98 . Ibid., 17-69.
-
-99 . Ibid. 125-34.
-
-100 . Ibid., 135-9.
-
-101 . Timothy W. Mason, ‘The Workers’ Opposition in Nazi Germany’, History Workshop Journal, 11 (1987), 120-37.
-
-102 . Smelser, Robert Ley, 140-42; Noakes and Pridham (eds.), Nazism, II. 149; Schoenbaum, Hitler’s Social Revolution, 91-8.
-
-103 . Quoted in Broszat, Der Staat Hitlers, 190 (note).
-
-104 . Heidrun Homburg, Rationalisierung und Industriearbeit. Arbeitsmarkt - Management - Arbeiterschaft im Siemens-Konzern Berlin 1900-1939 (Berlin, 1991), 681-2.
-
-105 . Smelser, Robert Ley, 98-116; Speer, Inside, 217; Felix Kersten, The Kersten Memoirs 1940-1945 (London, 1956 [1952]) (not always reliable); Hans-Peter Bleuel, Strength Through Joy: Sex and Society in Nazi Germany (London, 1973 [1972]), 3.
-
-106 Bajohr, Parvenüs, 55-62.
-
-107 Behnken (ed.), Deutschland-Berichte, IV (1937), 538-40.
-
-108 . Shelley Baranowski, Strength Through Joy, 11-51; see also Hermann Weiss, ‘Ideologie der Freizeit im Dritten Reich: Die NS-Gemeinschaft “Kraft durch Freude” ’, Archiv für Sozialgeschichte, 33 (1993), 289-303.
-
-109 Quoted in Behnken (ed.), Deutschland-Berichte, VI (1939), 463.
-
-110 Baranowski, Strength Through Joy, 51-66; also von Saldern, ‘ “Art for the People” ’, 322-9; Schneider, Unterm Hakenkreuz, 228-9.
-
-111 Behnken (ed.), Deutschland-Berichte, V (1938), 158.
-
-112 . Baranowski, Strength Through Joy, 118-42; Schneider, Unterm Hakenkreuz, 230-34.
-
-113 . Baranowski, Strength Through Joy, 142-54.
-
-114 . Behnken (ed.), Deutschland-Berichte, II (1935), 176; similar reports in ibid., 846-7.
-
-115 . Ibid., VI (1939), 468.
-
-116 . Baranowski, Strength Through Joy, 165-7; Behnken (ed.), Deutschland-Berichte , VI (1939), 464-8.
-
-117 Jürgen Rostock and Franz Zadnicek, Paradiesruinen: Das KdF-Seebad der Zwanzigtausend auf Rügen (Berlin, 1997 [1992]); Baranowski, Strength Through Joy, 155-61, 231; Hasso Spode, ‘Ein Seebad für zwanzigtausend Volksgenossen: Zur Grammatik und Geschichte des Fordistischen Urlaubs’, in Peter J. Brenner (ed.), Reisekultur in Deutschland: Von der Weimarer Republic zum ‘Dritten Reich’ (Tübingen, 1997), 7-47; for comparison, John K. Walton, The British Seaside: Holidays and Resorts in the Twentieth Century (Manchester, 2000). The resort had an everyday parallel in ‘Strength-Through-Joy Town’, built to accommodate the workers at the new Volkswagen plant: see Mommsen and Grieger, Das Volkswagenwerk , 250-82.
-
-118 . Baranowski, Strength Through Joy, 66-74; Behnken (ed.), Deutschland-Berichte , II (1935), 175; further reports in ibid., V (1938), 165-75, and VI (1939), 468-85 and 879-87.
-
-119 . Baranowski, Strength Through Joy, 166-75.
-
-120 . Ibid., 162-75; Mason, Social Policy, 160 and n. 20; William D. Bayles, Caesars in Goosestep (New York, 1940); Behnken (ed.), Deutschland-Berichte, I (1934), 524; ibid., VI (1939), 479.
-
-121 . Ibid., (1936), 884.
-
-122 Hasso Spode, ‘ “Der deutsche Arbeiter reist”: Massentourismus im Dritten Reich’, in Gerhard Huck (ed.), Sozialgeschichte der Freizeit: Untersuchungen zum Wandel der Alltagskultur in Deutschland (Wuppertal, 1980), 281-306; Schneider, Unterm Hakenkreuz, 670-78; Behnken (ed.), Deutschland-Berichte, I (1934), 523-7.
-
-123 . Mason, Social Policy, 159.
-
-124 . Behnken (ed.), Deutschland-Berichte, VI (1939), 474.
-
-125 . Ibid., V (1938), 172.
-
-126 . Mason, Social Policy, 158-64.
-
-127 . Behnken (ed.), Deutschland-Berichte, VI (1939), 468.
-
-128 . Herbert, ‘ “Die guten und die schlechten Zeiten” ’, 67-96.
-
-129 . Schneider, Unterm Hakenkreuz, 676; Behnken (ed.), Deutschland-Berichte, VI (1939), 474.
-
-130 . Ibid., II (1935), 1,455-6.
-
-131 . Ibid., 849.
-
-132 . For an important study of this process, see Lynn Abrams, Workers’ Culture in Imperial Germany: Leisure and Recreation in the Rhineland and Westphalia (London, 1992); for the labour movement’s cultural traditions see, among many other studies, Vernon L. Lidtke, The Alternative Culture: Socialist Labor in Imperial Germany (New York, 1985), and W. L. Guttsman, Workers’ Culture in Weimar Germany: Between Tradition and Commitment (Oxford, 1990).
-
-133 Baranowski, Strength Through Joy, 165.
-
-134 Schneider, Unterm Hakenkreuz, 672; Christine Keitz, ‘Die Anfänge des modernen Massentourismus in der Weimarer Republik’, Archiv für Sozialgeschichte , 33 (1993), 179-209, at 192.
-
-135 . See Kristin A. Semmens, Seeing Hitler’s Germany: Tourism in the Third Reich (London, 2005).
-
-136 Baranowski, Strength Through Joy, 75-117; Chup Friemert, Schönheit der Arbeit: Produktionsästhetik im Faschismus (Munich, 1980); and Anson G. Rabin bach, ‘The Aesthetics of Production in the Third Reich’, in George L. Mosse (ed.), International Fascism: New Thoughts and New Approaches (London, 1979), 189-222. For one example, see Matthias Frese, Betriebspolitik im ‘Dritten Reich’: Deutsche Arbeitsfront, Unternehmer und Staatsbürokratie in der westdeutschen Grossindustrie, 1933-1939 (Paderborn, 1991), 383-95; further reports in Behnken (ed.), Deutschland-Berichte, III (1936), 886-7, and V (1938), 173-5.
-
-137 . Ibid., VI (1939), 463.
-
-138 . Ibid., II (1935), 846.
-
-139 . Cited in Schneider, Unterm Hakenkreuz, 678.
-
-140 . Blaich, Wirtschaft, 19-20.
-
-141 . ‘Upswing Without Prosperity? Some Notes on the Development in the Lower Income Classes in Germany’, Supplement to the Weekly Report of the German Institute for Business Research (Berlin, 24 February 1937).
-
-142 Rüdiger Hachtmann, Industriearbeit im ‘Dritten Reich’: Untersuchungen zu den Lohn- und Arbeitsbedingungen in Deutschland 1933-1945 (Göttingen, 1989), 156-9; Dietmar Petzina et al. (eds.), Sozialgeschichtliches Arbeitsbuch, III: Materialien zur Statistik des Reiches 1914-1945 (Munich, 1978), 98; Mason, Social Policy, 128-33.
-
-143 . Schneider, Unterm Hakenkreuz, 546-52.
-
-144 . Petzina et al. (eds.), Sozialgeschichtliches Arbeitsbuch, III. 103.
-
-145 . Klaus Wisotzky, Der Ruhrbergbau im Dritten Reich: Studien zur Sozialpolitik im Ruhrbergbau und zum sozialen Verhalten der Bergleute in den Jahren 1933 bis 1939 (Düsseldorf, 1983), 81-7; Behnken (ed.), Deutschland-Berichte, V (1938), 311-12.
-
-146 . See, for example, Michael Stahlmann, Die erste Revolution in der Autoindustrie: Management und Arbeitspolitik von 1900-1940 (Frankfurt am Main, 1993), 85-8 (on the Opel car factory); Magnus Tessner, Die deutsche Automobilindustrie im Strukturwandel von 1919 bis 1938 (Cologne, 1994), 205-6; and Homburg, Rationalisierung, passim.
-
-147 . Timothy Mason, Arbeiterklasse und Volkgemeinschaft: Dokumente und Materialien zur deutschen Arbeiterpolitik 1936-1939 (Opladen, 1975), 669-70; Behnken (ed.), Deutschland-Berichte, VI (1939), 163-7; for the disciplining of the workforce in the automobile industry, see Ernst Kaiser and Michael Knorn, ‘Wir lebten und schliefen zwischen den Toten’: Rüstungsproduktion, Zwangsarbeit und Vernichtung in den Frankfurter Adlerwerken (Frankfurt am Main, 1994), 39-48.
-
-148 . Behnken (ed.), Deutschland-Berichte, VI (1939), 159-60.
-
-149 . Mason, Arbeiterklasse, 198-203.
-
-150 Bernard P. Bellon, Mercedes in Peace and War: German Automobile Workers, 1903-1945 (New York, 1990), 227.
-
-151 . Mason, Social Policy, 181-94.
-
-152 . Behnken (ed.), Deutschland-Berichte, VI (1939), 167-8, 338-46.
-
-153 Mason, Social Policy, 266-74; Behnken (ed.), Deutschland-Berichte, V (1938), 1,086-94; VI (1939), 352-6; see also, for a detailed example, Andreas Meyhoff, Blohm und Voss im ‘Dritten Reich’: Eine Hamburger Grosswerft zwischen Geschäft und Politik (Hamburg, 2001).
-
-154 Herbert, ‘ “Die guten und die schlechten Zeiten” ’, 93; for the thesis that class conflict of this kind contributed towards a prewar crisis, see Timothy Mason, ‘Arbeiteropposition im nationalsozialistischen Deutschland’, in Peukert and Reulecke (eds.), Die Reihen fast geschlossen, 293-314; second thoughts in Mason, Social Policy, 275-331; balanced assessment in Schneider, Unterm Hakenkreuz, 752-65; detailed local study of a mining community in Klaus Tenfelde, ‘Proletarische Provinz: Radikalisierung und Widerstand in Penzberg/Oberbayern 1900 bis 1945’, in Broszat et al. (eds.), Bayern, IV: 1-382, at 320-37.
-
-155 . Hitler, Mein Kampf, 27-8.
-
-156 . Evans, The Coming of the Third Reich, 140-45, 378-80; David F. Crew, Germans on Welfare: From Weimar to Hitler (New York, 1998), 6, 212-15.
-
-157 Florian Tennstedt, ‘Wohltat und Interesse. Das Winterhilfswerk des Deutschen Volkes. Die Weimarer Vorgeschichte und ihre Instrumentalisierung durch das NS-Regime’, Geschichte und Gesellschaft, 13 (1987), 157-80.
-
-158 . Thomas E. de Witt, ‘ “The Struggle Against Hunger and Cold”: Winter Relief in Nazi Germany, 1933-1939’, Canadian Journal of History, 12 (1978), 361-81.
-
-159 Herwart Vorländer, Die NSV: Darstellung und Dokumentation einer nationalsozialistischen Organisation (Boppard, 1988), 4-5, 44-62.
-
-160 Behnken (ed.), Deutschland-Berichte, II (1935), 1,430, and V (1938), 77- 115; De Witt, ‘The Struggle’.
-
-161 De Witt, ‘The Struggle’; also Herwart Vorländer, ‘NS-Volkswohlfahrt und Winterhilfswerk des deutschen Volkes’, VfZ 34 (1986), 341-80; and idem, Die NSV, 230, 53-4.
-
-162 De Witt, ‘ “The Struggle” ’; Speer, Inside, 179-80; Vorländer, Die NSV, 51-2.
-
-163 . Ibid., 6-37.
-
-164 Ibid., 214.
-
-165 Quoted in Adelheid Gräfin zu Castell Rüdenhausen, ‘ “Nicht mitzuleiden, mitzukämpfen sind wir da!” Nationalsozialistische Volkswohlfahrt im Gau Westfalen-Nord’, in Peukert and Reulecke (eds.), Die Reihen fast geschlossen, 223-44, at 224-5.
-
-166 Gamm, Der Flüsterwitz, 90; Behnken (ed.), Deutschland-Berichte, II (193 5), 1,421-47; Castell Rüdenhausen, ‘ “Nicht mitzuleiden” ’; see also Peter Zolling, Zwischen Integration und Segregation: Sozialpolitik im ‘Dritten Reich’ am Beispiel der ‘Nationalsozialistischen Volkswohlfahrt’ (NSV) in Hamburg (Frankfurt am Main, 1986).
-
-167 . Behnken (ed.), Deutschland-Berichte, II (1935), 1,447-55; see also ibid., I (1934), 42-8.
-
-168 . Maschmann, Account Rendered, 13.
-
-169 . Ibid., 10-18.
-
-170 . Kershaw, The ‘Hitler Myth’, 64-5, 73-7.
-
-171 . William Sheridan Allen, The Nazi Seizure of Power: The Experience of a Single German Town 1922-1945 (New York, 1984 [1965]), 266-73.
-
-172 . Ibid.
-
-173 . Ibid.
-
-174 . Ibid., 274-91. See also the richly detailed though more politically oriented local study by Struve, Aufstieg, and the documentary collection edited by Lawrence D. Stokes, Kleinstadt und Nationalsozialismus: Ausgewählte Dokumente zur Geschichte von Eutin, 1918-1945 (Neumünster, 1984) (both North Germany).
-
-175 Bernd Stover, Volksgemeinschaft im Dritten Reich: Die Konsensbereitschaft der Deutschen aus der Sicht sozialistischer Exilberichte (Dusseldorf, 1993), 115- 203, 421.
-
-176 . Domarus (ed.), Hitler, I. 415-17.
-
-177 Ibid., II. 892.
-
-178 Völkischer Beobachter, 29 September 1935, cited in Schoenbaum, Hitler’s Social Revolution, 67.
-
-179 . See above, 268, 300-301; for Reck’s views, see Diary, 63-4.
-
-180 . Tagebuch Luise Solmitz, 28 April 1933.
-
-181 . For a selective comparison, see Overy, The Dictators, 218-64; for the argument that the Third Reich modernized German society through Keynesian economic policies and the destruction of traditional social institutions like the trade unions, see Werner Abelshauser and Anselm Faust, Wirtschafts- und Sozialpolitik: Eine nationalsozialistische Revolution? (Tübingen, 1983).
-
-182 Henry Ashby Turner, Jr, ‘Fascism and Modernization’, in idem (ed.), Reappraisals of Fascism (New York, 1975), 117-39.
-
-183 . See the useful discussion in Ian Kershaw, The Nazi Dictatorship: Problems and Perspectives of Interpretation (4th edn, London, 2000 [1985]), 161-82; Horst Matzerath and Heinrich Volkmann, ‘Modernisierungstheorie und Nationalsozialismus’, in Jürgen Kocka (ed.), Theorien in der Praxis des Historikers (Gottingen, 1977), 86-116; Jeremy Noakes, ‘Nazism and Revolution’, in Noel O’Sullivan (ed.), Revolutionary Theory and Political Reality (London, 1983), 73-100. For the view that Nazism deliberately sought to modernize German society, see Rainer Zitelmann, Hitler: The Politics of Seduction (London, 1999 [1987]). This has not been widely accepted, at least, not in the form put by Zitelmann.
-
-
-
-Chapter 6. TOWARDS THE RACIAL UTOPIA
-
-1 . Paul Weindling, Health, Race and German Politics between National Unification and Nazism, 1870-1945 (Cambridge, 1989), 60-84; Evans, The Coming of the Third Reich, 35-6; Robert N. Proctor, Racial Hygiene: Medicine under the Nazis, (London, 1988), 47.
-
-2 Evans, The Coming of the Third Reich, 34-8, 377-8; Hans-Walter Schmuhl, Rassenhygiene, Nationalsozialismus, Euthanasie: Von der Verhütung zur Vernichtung ‘lebensunwerten Lebens’, 1890-1945 (Gottingen, 1987), 49-105.
-
-3 Weindling, Health, 489-503.
-
-4 . Longerich, Politik, 47-50.
-
-5 . Evans, The Coming of the Third Reich 37, 145, 377-80; Proctor, Racial Hygiene, 10-104 (95 for Frick’s committee); Schmuhl, Rassenhygiene, 154-68; Christian Ganssmüller, Die Erbgesundheitspolitik des dritten Reiches: Planung, Durchführung und Durchsetzung (Cologne, 1987), 34-115; Jeremy Noakes, ‘Nazism and Eugenics: The Background to the Nazi Sterilization Law of 14 July 1933’, in Roger Bullen et al. (eds.), Ideas into Politics: Aspects of European History 1880-1950 (London, 1984), 75-94.
-
-6 . Gisela Bock, Zwangssterilisation im Nationalsozialismus: Studien zur Frauenpolitik und Rassenpolitik (Opladen, 1986), 230-32.
-
-7 Ganssmüller, Die Erbgesundheitspolitik, 45-6: another 40,000 were sterilized in areas annexed by Germany in 1938-9.
-
-8 . Michael Burleigh, Death and Deliverance: ‘Euthanasia’ in Germany c.1900- 1945 (Cambridge, 1994), 56-66.
-
-9 Quoted in Andrea Brücks, ‘Zwangssterilisation gegen “Ballastexistenzen” ’, in Klaus Frahm et al. (eds.), Verachtet - verfolgt - vernichtet: Zu den ‘vergessenen’ Opfern des NS-Regimes (Hamburg, 1986), 103-8.
-
-10 Longerich, Politik, 61-2.
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-11 Joachim Müller, Sterilisation und Gesetzgebung bis 1933 (Husum, 1985); Wachsmann, Hitler’s Prisons, 151.
-
-12 . Michael Schwartz, Sozialistische Eugenik: Eugenische Sozialtechnologien in Debatten und Politik der Deutschen Sozialdemokratie 1890-1933 (Bonn, 1995).
-
-13 Wachsmann, Hitler’s Prisons, 149-56.
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-14 Klaus-Dieter Thomann, ‘ “Krüppel sind nicht minderwertig.” Korperbehinderte im Nationalsozialismus’, in Meinel and Voswinckel (eds.), Medizin, 208-20, at 208-12, citing Wilhelm Frick, ‘Bevölkerungs- und Rassepolitik’, in Elsbeth Unverricht (eds.), Unsere Zeit und Wir: Das Buch der deutschen Frau (Gauting, 1933), 97-109, at 103.
-
-15 Thomann, ‘ “Krüppel” ’, 213-16.
-
-16 Rossmeissl, ‘Ganz Deutschland’, 134.
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-17 Proctor, Racial Hygiene, 95-101; Stefan Kühl, The Nazi Connection: Eugen ics, American Racism, and German National Socialism (New York, 1994).
-
-18 . Alberto Spektorowski and Elisabeth Mizrachi, ‘Eugenics and the Welfare State in Sweden: The Politics of Social Margins and the Idea of a Productive Society’, Journal of Contemporary History, 39 (2004), 333-52; Alex Duval Smith and Maciej Zeremba, ‘Outcasts from Nordic Super-Race’, Observer, 24 August 1997, 6.
-
-19 . Proctor, Racial Hygiene, 171; for Protestant welfare policy, see Sabine Schleiermacher, Sozialethik im Spannungsfeld von Sozial- und Rassenhygiene Der Mediziner Hans Harmsen im Centralausschuss für die Innere Mission (Husum, 1998).
-
-20 Proctor, Racial Hygiene, 123.
-
-21 . James Woycke, Birth Control in Germany 1871-1933 (London, 1988), 154; Evans, The Coming of the Third Reich, 375-8; Stibbe, Women, 43; Henry P. David et al., ‘Abortion and Eugenics in Nazi Germany’, Population and Development Review, 14 (1988), 81-112.
-
-22 . Quoted in Proctor, Racial Hygiene, 124.
-
-23 . Richard J. Evans, The Feminist Movement in Germany 1894-1933 (London, 1976), 255-60; idem, The Coming of the Third Reich, 185-6.
-
-24 . Stibbe, Women, 34-40; Jill Stephenson, The Nazi Organization of Women (London, 1981), 97-125; eadem, ‘The Nazi Organisation of Women, 1933-1939’, in Stachura (ed.), The Shaping, 186-209. Some of Scholtz-Klink’s eleven children did not survive infancy.
-
-25 . Irmgard Weyrather, Muttertag und Mutterkreuz: Die Kult um die ‘deutsche Mutter’ im Nationalsozialismus (Frankfurt am Main, 1993); Susanna Dammer, ‘Kinder, Küche, Kriegsarbeit - Die Schulung der Frauen durch die NSFrauenschaft’, in Frauengruppe Faschismusforschung (ed.), Mutterkreuz, 215-45; Karin Hausen, ‘Mother’s Day in the Weimar Republic’, in Renate Bridenthal et al. (eds.), When Biology Became Destiny, 131-52; eadem, ‘The “German Mother’s Day” 1923-1933’, in Hans Medick and David Sabean (eds.), Interest and Emotion: Essays in the Study of Family and Kinship (Cambridge, 1984), 371-413.
-
-26 . Stibbe, Women, 34-40; Claudia Koonz, Mothers in the Fatherland: Women, the Family and Nazi Politics (London, 1988 [1987]), 177-219; Stephenson, The Nazi Organization, 130-77; Pine, Nazi Family Policy, 47-81; Michael Kater, ‘Die deutsche Elternschaft im nationalsozialistischen Erziehungssystem. Ein Beitrag zur Sozialgeschichte der Familie’, Vierteljahrschrift für Sozial- und Wirtschaftsgeschichte, 67 (1980), 484-512; Dammer, ‘Kinder, Kuche, Kriegsarbeit’.
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-27 Pine, Nazi Family Policy, 88-116; Dorothee Klinksiek, Die Frau im NS-Staat (Stuttgart, 1982), 93; Jill Stephenson, ‘Reichsbund der Kinderreichen: The League of Large Families in the Population Policy of Nazi Germany’, European Studies Review, 9 (1979), 350-75.
-
-28 Marschalck, Bevölkerungsgeschichte, 15 8.
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-29 Gisela Bock, ‘Antinatalism, Maternity and Paternity in National Socialist Realism’, in Crew (ed.), Nazism, 110-40, at 124.
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-30 Marschalck, Bevölkerungsgeschichte, 159.
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-31 Proctor, Racial Hygiene, 126.
-
-32 . Stibbe, Women, 53-4; Bock, Zwangssterilisation, 166-7.
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-33 Pine, Nazi Family Policy, 16-18; Gabriele Czarnowski, ‘ “The Value of Marriage for the Volksgemeinschaft”: Policies towards Women and Marriage under National Socialism’, in Richard Bessel (ed.), Fascist Italy and Nazi Germany: Comparisons and Contrasts (Cambridge, 1996), 94-112, at 107-8; Stephenson, Women in Nazi Society, 41-3.
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-34 Ganssmuller, Die Erbgesundheitspolitik, 132-47.
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-35 Höhne, The Order, 130-46; Pine, Nazi Family Policy, 38-46; Catrine Clay and Michael Leapman, Master Race: The Lebensborn Experiment in Nazi Germany (London, 1995).
-
-36 . Irene Guenther, Nazi Chic? Fashioning Women in the Third Reich (Oxford, 2004), 91-141.
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-37 . Ibid., 91-141, 167-201.
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-38 . Thus the major debate of the 1980s, between Claudia Koonz, Mothers in the Fatherland, emphasizing the creation of a sheltered domestic sphere and thus women’s complicity in, perhaps even encouragement of, the violence and hatred perpetrated by men in the public sphere, and Bock, ‘Anti-Natalism’, stressing the victimization of women through the state’s increasingly directive, violent and negative policies towards women as mothers, is largely based on a misapprehension: see Adelheid von Saldern, ‘Victims or Perpetrators? Controversies about the Role of Women in the Nazi State’, in Crew (ed.), Nazism, 141-65; and Dagmar Reese and Carola Sachse, ‘Frauenforschung zum Nationalsozialismus. Eine Bilanz’, in Lerke Gravenhorst and Carmen Tatschmurat (eds.), Töchter-Fragen: NS-Frauengeschichte (Freiburg, 1990), 73-106.
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-39 Maria S. Quine, Population Politics in Twentieth-Century Europe: Fascist Dictatorships and Liberal Democracies (London, 1996); Richard Stites, The Women’s Liberation Movement in Russia: Feminism, Nihilism, and Bolshevism, 1860-1930 (Princeton, N.J., 1978).
-
-40 . Sybil H. Milton, ‘ “Gypsies” as Social Outsiders in Nazi Germany’, in Gellately and Stoltzfus (eds.), Social Outsiders, 212-32, puts their number much higher, at 35,000 (212). As Guenter Lewy, The Nazi Persecution of the Gypsies (New York, 2000), 1-14, points out, it has become conventional in Germany to refer to the Gypsies by their tribal names (Sinti and Roma, though the smallest group, the Lalleri, are usually, inexplicably, omitted), because the Nazis used the term Zigeuner (Gypsy) to refer to them collectively. The arguments against using the term are rehearsed in Burleigh and Wippermann, The Racial State, 113. However, the fact that the Nazis used this term does not itself make it pejorative, and indeed, as Lewy notes, ‘several Gypsy writers have insisted on the uninterrupted use of the term in order to maintain historical continuity and express solidarity with those who were persecuted under this name’ (ix). Following Lewy, the term ‘Gypsy’ is used in what follows.
-
-41 . Evans, ‘Social Outsiders’; Michael Zimmermann, Verfolgt, vertrieben, vernichtet: Die nationalsozialistische Vernichtungspolitik gegen Sinti und Roma (Essen, 1989), 14-42; idem, Rassenutopie und Genozid: Die nationalsozialistische ‘Losung der Zigeunerfrage’ (Hamburg, 1996); Rainer Hehemann, Die ‘Bekampfung des Zigeunerunwesens’ im Wilhelminischen Deutschland und in der Weimarer Republik, 1871-1933 (Frankfurt am Main, 1987); Joachim S. Hohmann, Geschichte der Zigeunerverfolgung in Deutschland (Frankfurt am Main, 1981); Leo Lucassen, Zigeuner: Die Geschichte eines polizeilichen Ordnungsbegriffes in Deutschland, 1700-1945 (Cologne, 1996); Joachim S. Hohmann, Verfolgte ohne Heimat: Die Geschichte der Zigeuner in Deutschland (Frankfurt am Main, 1990). The Bavarian law is reprinted in part in Burleigh and Wippermann, The Racial State, 114-15.
-
-42 . Wolfgang Wippermann and Ute Brucker-Boroujerdi, ‘Nationalsozialistische Zwangslager in Berlin, III: Das “Zigeunerlager Marzahn” ’, Berliner Forschungen, 2 (1987), 189-201; Eva von Hase-Mihalik and Doris Kreuzkamp, ‘Du kriegst auch einen schönen Wohnwagen’: Zwangslager für Sinti und Roma während des Nationalsozialismus in Frankfurt am Main (Frankfurt am Main, 1990); Karola Fings and Frank Sparing, ‘z. Zt. Zigeunerlager’: Die Verfolgung der Düsseldorfer Sinti und Roma im Nationalsozialismus (Cologne, 1992); Frank Sparing, ‘The Gypsy Camps: The Creation, Character and Meaning of an Instrument for the Persecution of Sinti and Romanies under National Socialism’, in Karola Fings et al., From ‘Race Science’ to the Camps: The Gypsies during the Second World War (Hatfield, 1997), 39-70.
-
-43 . Lewy, The Nazi Persecution, 24-49; Joachim S. Hohmann, Robert Ritter und die Erben der Kriminalbiologie: ‘Zigeunerforschung’ im Nationalsozialismus und in Westdeutschland im Zeichen des Rassismus (Fankfurt am Main, 1991). The decree is reprinted in Burleigh and Wippermann, The Racial State, 120-21.
-
-44 . Lewy, The Nazi Persecution, 47-55; Proctor, Racial Hygiene, 214-15; Herbert Heuss, ‘German Policies of Gypsy Persecution’, in Fings et al., From ‘Race Science’, 15-37; Karola Fings, ‘Romanies and Sinti in the Concentration Camps’, in ibid., 71-109; see also Ulrich König, Sinti und Roma unter dem Nationalsozialismus: Verfolgung und Widerstand (Bochum, 1989), 75-82, and Wolfgang Wippermann, Das Leben in Frankfurt am Main zur NS-Zeit, II: Die nationalsozialistische Zigeunerverfolgung (Frankfurt am Main, 1986), 19-27.
-
-45 . Evans, The Coming of the Third Reich, 186-7.
-
-46 Reiner Pommerin, ‘Sterilisierung der Rheinlandbastarde’: Das Schicksal einer farbigen deutschen Minderheit 1918-1937 (Düsseldorf, 1979), 56-77; Proctor, Racial Hygiene, 112-14.
-
-47 . Pommerin, ‘Sterilisierung’, 77-84.
-
-48 . Evans, The Coming of the Third Reich, 127-8, 375-6.
-
-49 . Burkhard Jellonek, Homosexuelle unter dem Hakenkreuz: Die Verfolgung von Homosexuellen in Dritten Reich (Paderborn, 1990), 19-50; Richard Plant, The Pink Triangle: The Nazi War Against Homosexuals (Edinburgh, 1987 [1986]), 72-104; Smith and Peterson (eds.), Heinrich Himmler: Geheimreden 1933-1945, 90-91, 115-23; Geoffrey J. Giles, ‘The Institutionalization of Homosexual Panic in the Third Reich’, in Gellately and Stoltzfus (eds.), Social Outsiders, 233-55.
-
-50 . Claudia Schoppmann, Days of Masquerade: Life Stories of Lesbian Women During the Third Reich (New York, 1996 [1993]).
-
-51 Jellonnek, Homosexuelle, 51-94; Proctor, Racial Hygiene, 212-14.
-
-52 Jellonnek, Homosexuelle, 95-110; Hans-Georg Stumke, ‘Vom “unausgeglichenen Geschlechtshaushalt”. Zur Verfolgung Homosexueller’, in Frahm et al. (eds.), Verachtet - verfolgt - vernichtet, 46-63.
-
-53 Quoted at length in Hans-Georg Stümke and Rudi Finkler, Rosa Winkel, rosa Listen: Homosexuelle und ‘Gesundes Volksempfinden’ von Auschwitz bis heute (Reinbek, 1981), 217-21.
-
-54 Jurgen Baumann, Paragraph 175: Über die Möglichkeit, die einfache, nicht jugendgefährdende und nichtöffentliche Homosexualität unter Erwachsenen straffrei zu lassen (zugleich ein Beitrag zur Säkularisierung des Strafrechts) (Berlin, 1968), 66.
-
-55 Jellonnek, Homosexuelle, 12-13.
-
-56 Jeffrey Weeks, Sex, Politics and Society: The Regulation of Sexuality since 1800 (London, 1981), 239-40; Joachim S. Hohmann (ed.), Keine Zeit für gute Freunde: Homosexuelle in Deutschland 1933-1969 - Ein Lese- und Bilderbuch (Berlin, 1982).
-
-57 Rudiger Lautmann, et al., ‘Der rosa Winkel in den nationalsozialistischen Konzentrationslager’, in idem (ed.), Seminar: Gesellschaft und Homosexualität (Frankfurt am Main, 1977), 325-65, at 332-3.
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-58 Rüdiger Lautmann, ‘Gay Prisoners in Concentration Camps as Compared with Jehovah’s Witnesses and Political Prisoners’, in Michael Berenbaum (ed.), A Mosaic of Victims: Non-Jews Persecuted and Murdered by the Nazis (London, 1990), 200-206.
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-59 Albrecht Langelüddecke, Die Entmannung von Sittlichkeitsverbrechern (Berlin, 1963); Wachsmann, Hitler’s Prisons, 140-41; Geoffrey Giles, ‘ “The Most Unkindest Cut of All”. Castration, Homosexuality and Nazi Justice’, Journal of Contemporary History, 27 (1992), 41-61; Jellonnek, Homosexuelle, 140-71.
-
-60 . Wachsmann, Hitler’s Prisons, 139-49, 368. The total reached 2,300 by 1945 (Longerich, Politik, 62).
-
-61 Wachsmann, Hitler’s Prisons, 400-401; Frank Sparing, ‘Zwangskastration im Nationalsozialismus. Das Beispiel der Kriminalbiologischen Sammelstelle Köln’, in Peter Busse and Klaus Schreiber (eds.), Kriminalbiologie (Düsseldorf, 1997), 169-212.
-
-62 . Burkhard Jellonnek, ‘Staatspolizeiliche Fahndungs- und Ermittlungsmethoden gegen Homosexuelle. Regionale Differenzen und Gemeinsamkeiten’, in Paul and Mallmann (eds.), Die Gestapo, 343-56.
-
-63 . For a good introduction to the situation of Jews in Germany in 1933-45, see Michael A. Meyer (ed.), German-Jewish History in Modern Times, IV: Renewal and Destruction, 1918-1945 (New York, 1998), 195-388; Marion A. Kaplan, Between Dignity and Despair: Jewish Life in Nazi Germany (New York, 1998). For Nazi antisemitism and its antecedents, see also Evans, The Coming of the Third Reich, 21-34, 164-5, 431-40.
-
-64 . Longerich, Politik, 59.
-
-65 . For the economic boycotts, see above, 382-6.
-
-66 Hermann Froschauer, ‘Streicher und “Der Sturmer” ’, in Ogan and Weiss (eds.), Faszination und Gewalt, 41-8; Hahn (ed.), Lieber Stürmer!
-
-67 Bankier, The Germans, 28-37.
-
-68 . Longerich, Politik, 70-74; Bankier, The Germans, 14-20.
-
-69 . Bankier, The Germans, 28-9; Longerich, Politik, 74-8, 94-5; Longerich argues persuasively against the view of many historians that the antisemitic outrages of 1935 were spontaneous attempts by the party basis to pressure the leadership into taking legislative action (e.g. Adam, Judenpolitik, 114-16; Herbst, Das nationalsozialistische Deutschland, 153-5; Ian Kershaw, ‘The Persecution of the Jews and German Popular Opinion in the Third Reich’, Leo Baeck Institute Year Book, 26 (1981), 261-89, at 265; Hermann Graml, Reichskristallnacht: Antisemitismus und Judenverfolgung im Dritten Reich (Munich 1988), 143. For the argument that the antisemitic actions of 1935 were mainly instrumental, see Hans Mommsen and Dieter Obst, ‘Die Reaktion der deutschen Bevölkerung auf die Verfolgung der Juden 1933-1943’, in Hans Mommsen and Susanne Willems (eds.), Herrschaftsalltag im Dritten Reich: Studien und Texte (Düsseldorf, 1988), 374-421, at 385.
-
-70 . Illustrations in Ian Kershaw, ‘Antisemitismus und Volksmeinung. Reaktionen auf die Judenverfolgung’, in Broszat et al. (eds.), Bayern, II. 281-348, at 302-8.
-
-71 . Longerich, Politik, 86-90; Behnken (ed.), Deutschland-Berichte, II (1935), 920-33.
-
-72 Ibid., 933-7; Longerich, Politik, 86-90, 100; Friedländer, Nazi Germany, 137-9.
-
-73 . Longerich, Politik, 85-94; Behnken (ed.), Deutschland-Berichte, II (1935), 923 (August 1935).
-
-74 . Ibid., 922 (August 1935), cited in Longerich, Politik, 93.
-
-75 Ibid., 94-101; Lothar Gruchmann, ‘ “Blutschutzgesetz” und Justiz: Entstehung und Anwendung des Nürnberger Gesetzes von 15. September 1935’, in Ogan and Weiss (eds.), Faszination und Gewalt, 49-60. For details of further violent antisemitic outrages in the last weeks of August, see Behnken (ed.), Deutschland-Berichte , II (1935), 1,026-45, and early September, Longerich, Politik, 107. For discussions adumbrating the Nuremberg Laws from 1933 onwards, see Friedlander, Nazi Germany, 118-23.
-
-76 ‘Die Reichstagsrede des Führers’, Berliner Tageblatt, 438, 16 September 1935, 2. Longerich, Politik, 102-5, and Bankier, The Germans, 41-66, make it clear that the Nuremberg Laws were not a last-minute improvisation; see also Werner Strauss, “‘Das Reichsministerium des Innern und die Judengesetzgebung”: Aufzeichnungen von Dr. Bernhard Lösener’, VfZ 9 (1961), 264-313; Friedlander, Nazi Germany, 141-50; and Hermann Graml, Reichskristallnacht, 133-56.
-
-77 ‘Goring begrundet die Gesetze’, Berliner Tageblatt, 438, 16 September 1935, 2.
-
-78 Longerich, Politik, 105-6.
-
-79 . Beate Meyer, ‘The Mixed Marriage: A Guarantee of Survival or a Reflection of German Society during the Nazi Regime?’, in Bankier (ed.), Probing, 54-77; Friedländer, Nazi Germany, 15 1, for the statistics, and also Beate Meyer’s fundamental study, ‘Jüdische Mischlinge’: Rassenpolitik und Verfolgungserfahrung 1933-1945 (Hamburg, 1999), 25, 162-5. The first head-count of Jews on the racial basis provided by the Nuremberg Laws was in the Census of 1939 (Statistisches Jahrbuch für das Deutsche Reich, 59 (Berlin, 1941-2), 27: ‘Die Juden und jüdische Mischlinge in den Reichsteilen und nach Gemeindegrössenklassen 1939’).
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-80 Jeremy Noakes, ‘The Development of Nazi Policy towards the German-Jewish ‘Mischlinge’, 1933-1945’, Leo Baeck Institute Year Book, 34 (1989), 291-354; idem, ‘Wohin gehören die “Judenmischlinge”? Die Entstehung der ersten Durchführungsverordnungen zu den Nürnberger Gesetzen’, in Ursula Büttner (ed.), Das Unrechtsrregime: Internationale Forschung über der Nationalsozialismus: Festschrift für Werner Jochmann zum 65. Geburtstag (2 vols., Hamburg, 1986), II. 69-89; Longerich, Politik, 112-15; Friedländer, Nazi Germany, 151-67; Meynert, Was vor der ‘Endlösung’ geschah, 247-51; Meyer, ‘Jüdische Mischlinge’, 29-31 and 96-104; Kaplan, Between Dignity and Despair, 74-93.
-
-81 . Toepser-Ziegert (ed.), NS-Presseanweisungen, II: 1935, 586 (16 September 1935).
-
-82 Meyer, ‘Jüdische Mischlinge’, 230-37.
-
-83 Bryan M. Rigg, Hitler’s Jewish Soldiers: The Untold Story of Nazi Racial Laws and Men of Jewish Descent in the German Military (Lawrence, Kans., 2002), 51-109. The title is a misnomer: these were not ‘Jewish’ soldiers at all; the fact that they were half-Jewish or quarter-Jewish made them more German than Jewish as far as the armed forces were concerned. Rigg’s estimates of 150,000 mixed-race German soldiers serving between 1933 and 1945 seems a considerable exaggeration, given the fact that the 1939 Census reckoned the total number of people of all ages and both sexes who counted as mixed-race under the Nuremberg Laws in 1935 to be no more than 114,000 in Germany and Austria combined.
-
-84 . Summarized in Longerich, Politik, 106-11; originals in Behnken (ed.), Deutschland-Berichte, II (1935), 1,026-1,045, and III (1936), 20-55; see also Otto Dov Kulka, ‘Die Nürnberger Rassengesetze und die deutsche Bevölkerung im Lichte geheimer NS-Lage- und Stimmungsberichte’, VfZ 32 (1964), 582-624.
-
-85 . Behnken (ed.), Deutschland-Berichte, III (1936), 26-7.
-
-86 . Maschmann, Account Rendered, 40-41.
-
-87 . Ibid., 30.
-
-88 . Ibid., 30, 40-41, 45-7, 49-51, 56.
-
-89 . Longerich, Politik, 108-9, argues persuasively against Bankier’s view (The Germans, 76-80) that ‘the vast majority of the population approved of the Nuremberg Laws because they identified with the racialist policy’ and that ‘in most cases . . . the objections stemmed from self-interest’.
-
-90 . Wachsmann, Hitler’s Prisons, 158; Ernst Noam and Wolf-Arno Kropat (eds.), Justiz und Judenverfolgung (2 vols., Wiesbaden, 1975), I. Juden vor Gericht 1933-1945, 109-68; Inge Marssolek, ‘ “Die Zeichen an der Wand”. Denunziation aus der Perspektive des jüdischen Alltags im “Dritten Reich” ’, Historical Social Research, 26 (2001), 204-18.
-
-91 . Gruchmann, ‘ “Blutschutzgesetz” ’, 53.
-
-92 . Wachsmann, Hitler’s Prisons, 162, 180.
-
-93 . Walter Poller, Medical Block Buchenwald: The Personal Testimony of Inmate 996, Block 36 (London, 1988 [1946]), 128-36.
-
-94 . Behnken (ed.), Deutschland-Berichte, III (1936), 36, 40-41.
-
-95 . Gellately, The Gestapo, 165-79; see also Christl Wickert, ‘Popular Attitudes to National Socialist Antisemitism: Denunciations for “Insidious Offenses” and “Racial Ignominy” ’, in Bankier (ed.), Probing, 282-95, and Wolfgang Wippermann, Das Leben in Frankfurt zur NS-Zeit, I: Die nationalsozialistische Judenverfolgung (Frankfurt am Main, 1986), 68-83.
-
-96 . Gellately, The Gestapo, 197-8, persuasively rejecting the argument of Sarah Gordon, Hitler, Germans and the ‘Jewish Question’ (Princeton, N.J., 1984), that behaviour of this kind amounted to resistance to the Nuremberg Laws. See also Alexandra Przyrembel, ‘Rassenschande’: Reinheitsmythos und Vernichtungslegitimation im Nationalsozialismus (Göttingen, 2003).
-
-97 Oliver Pretzel, Afterword, in Sebastian Haffner, Defying Hitler: A Memoir (London, 2002 [2000]), 241-50.
-
-98 . Werner Rosenstock, ‘Exodus 1933-1939: A Survey of Jewish Emigration from Germany’, Leo Baeck Institute Yearbook, 1 (1956), 373-90; Herbert A. Strauss, ‘Jewish Emigration from Germany: Nazi Policies and Jewish Responses’, Leo Baeck Institute Yearbook, 25 (1980), 313-61, and 26 (1981), 343-409; Avraham Barkai, ‘German Interests in the Haavara-Transfer Agreement 1933-1939’, Leo Baeck Institute Yearbook, 35 (1990), 254-66; Friedlander, Nazi Germany, 60-65; ‘Jüdische Bevölkerungsstatistik’, in Wolfgang Benz (ed.), Die Juden in Deutschland 1933-1945: Leben unter nationalsozialistischer Herrschaft (Munich, 1988), 733, according to which there were roughly 100,000 non-German Jews in Germany in 1933 in addition to the 437,000 German members of the Jewish faith counted in the official statistics. In May 1939 there were still more than 25,000 non-German Jews living in Germany. The 1939 figures include Austria; the 1938 ones do not. For emigration taxes, see above, 389-90. For a local study, see Meynert, Was vor der ‘Endlösung’ geschah, 178-207.
-
-99 Francis R. Nicosia, The Third Reich and the Palestine Question (London, 1985), 29-49; also idem, ‘Ein nützlicher Feind: Zionismus im nationalsozialistischen Deutschland 1933-1939’, VfZ 37 (1989), 367-400; Graml, Reichskristallnacht , 131-2; Juliane Wetzel, ‘Auswanderung aus Deutschland’, in Benz (ed.), Die Juden, 413-98, at 446-77; the Agreement is reprinted with other relevant material in Rolf Vogel, Ein Stempel hat gefehlt: Dokumente zur Emigration deutscher Juden (Munich, 1977), 107-53. For the considerable difficulties facing German Jews who arrived in Palestine, see Wolfgang Benz, Flucht aus Deutschland: Zum Exil im 20. Jahrhundert (Munich, 2001), 120-50, and Werner Feilchenfeld et al., Haavara-Transfer nach Palästina und Einwanderung deutscher Juden 1933- 1939 (Tübingen, 1972).
-
-100 Friedlander, Nazi Germany, 60-62, 65; Jacob Boas, ‘German-Jewish Internal Politics under Hitler 1933-1939’, Leo Baeck Institute Yearbook, 29 (1984), 2-25; Longerich, Politik, 56-8.
-
-101 . Yehuda Bauer, My Brother’s Keeper: A History of the American Jewish Joint Distribution Committee 1929-1939 (Philadelphia, Pa., 1974); Louise London, ‘Jewish Refugees, Anglo-Jewry and British Government Policy’, in David Cesarani (ed.), The Making of Modern Anglo-Jewry (Oxford, 1990), 163-90; Bernard Wasserstein, ‘Patterns of Jewish Leadership in Great Britain during the Nazi Era’, in Randolph L. Braham (ed.), Jewish Leadership during the Nazi Era: Patterns of Behavior in the Free World (New York, 1985), 29-43. Richard Bolchover, British Jewry and the Holocaust (Cambridge, 1993), is a passionate but one-sided indictment.
-
-102 . Louise London, Whitehall and the Jews 1933-1948: British Immigration Policy and the Holocaust (Cambridge, 2000), 16-57; A. Joshua Sherman, Island Refuge: Britain and Refugees from the Third Reich, 1933-1939 (London, 1973); Bernard Wasserstein, Britain and the Jews of Europe, 1939-1945 (Oxford, 1979); Vicki Caron, Uneasy Asylum: France and the Jewish Refugee Crisis, 1933-1942 (Stanford, Calif., 1999); Fritz Kieffer, Judenverfolgung in Deutschland - eine innere Angelegenheit? Internationale Reaktionen auf die Fluchtlingsproblematik 1933-1939 (Stuttgart, 2002). For Poland and Romania, see below, 606-10.
-
-103 Quoted in Wetzel, ‘Auswanderung’, 428.
-
-104 Paul Sauer, Die Schicksale der jüdischen Burger Baden-Württembergs während der nationalsozialistischen Verfolgungszeit, 1933-1945 (Stuttgart, 1969), 138-9; see more generally Salomon Adler-Rudel, Jüdische Selbsthilfe unter dem Naziregime 1933-1939 im Spiegel der Berichte der Reichvertretung der Juden in Deutschland (Tübingen, 1974), 72-120.
-
-105 David Kramer, ‘Jewish Welfare Work under the Impact of Pauperization’, in Arnold Paucker (ed.), The Jews in Nazi Germany (Tübingen, 1986), 173-88; Beate Gohl, Jüdische Wohlfahrtspflege im Nationalsozialismus: Frankfurt am Main 1933-1943 (Frankfurt am Main, 1997); Avraham Barkai, ‘Jewish Life under Persecution’, in Meyer (ed.), German-Jewish History, 231-57; and idem, ‘Shifting Organizational Relationships’, in ibid., 259-82.
-
-106 Clemens Vollnhals, ‘Jüdische Selbsthilfe bis 1938’, in Benz (ed.), Die Juden in Deutschland, 314-411, at 330-41, also for the preceding paragraph.
-
-107 . Ibid., 341-63; see also Wolf Gruner, ‘Public Welfare and the German Jews under National Socialism’, in Bankier (ed.), Probing, 78-105; and Adler-Rudel, Jüdische Selbsthilfe, 19-46, 121-82.
-
-108 Vollnhals, ‘Jüdische Selbsthilfe’; Volker Dahm, ‘Kulturelles und geistiges Leben’, in Benz (ed.), Die Juden, 75-267, at 83-124; Esriel Hildesheimer, Jüdische Selbstverwaltung unter dem NS-Regime: Der Existenzkampf der Reichsvertretung und Reichsvereinigung der Juden in Deutschland (Tübingen, 1994); Longerich, Politik, 44, 133; Dorothea Bessen, ‘Der Jüdische Kulturbund Rhein-Ruhr 1933- 1938’, in Alte Synagoge (ed.), Entrechtung und Selbsthilfe, 43-65; and Paul Mendes-Flohr, ‘Jewish Cultural Life under National Socialism’, in Meyer (ed.), German-Jewish History, IV. 283-312.
-
-109 Henryk M. Broder and Heike Geisel, Premiere und Pogrom: Der Jüdische Kulturbund 1933-1941. Texte und Bilder (Berlin, 1992); Hajo Bernett, Der jüdische Sport im nationalsozialistischen Deutschland 1933-1938 (Schorndorf, 1978); Kurt Düwell, ‘Jewish Cultural Centers in Nazi Germany: Expectations and Accomplishments’, in Jehuda Reinharz and Walter Schatzberg (eds.), The Jewish Response to German Culture: From the Enlightenment to the Second World War (Hanover, N.H., 1985), 294-316; Wetzel, ‘Auswanderung’, 438-41; good summary in Friedländer, Nazi Germany, 65-8.
-
-110 Michael Meyer, 1941, quoted in Wetzel, ‘Auswanderung’, 418, after his illegal emigration to Palestine the previous year.
-
-111 . Ibid., 413-98, and Statistical Appendix at 733. These figures are all for the so-called ‘Altreich’, i.e. not including Austria or the Sudetenland.
-
-112 Quoted in Monika Richarz (ed.), Jüdisches Leben in Deutschland: Selbstzeugnisse zur Sozialgeschichte 1918-1945, III (Stuttgart, 1982), 339.
-
-113 Meyer, ‘The Mixed Marriage’, 54-61; eadem, ‘Jüdische Mischlinge’, 68-76; Nathan Stoltzfus, Resistance of the Heart: Intermarriage and the Rosenstrasse Protest in Nazi Germany (New York, 1996), 43-9.
-
-114 . Meyer, ‘The Mixed Marriage’.
-
-115 Stoltzfus, Resistance, 106-8.
-
-116 Klemperer, Tagebücher 1933/34, 38-9 (9 July 1933); the quotation is not in the English edition.
-
-117 . Klemperer, I Shall Bear Witness, 33 (9 October 1933), 60 (5 April 1934), 66 (13 June 1933), 71 (14 July 1933), 77 (4 August 1934).
-
-118 . Ibid., 111 (23 March 1935).
-
-119 . Ibid., 114 (30 April 1935), 114-16 (2 May 1935), 117 (7 May 1935), 119 (30 May 1935), 124 (11 August 1935), 126 (16 September 1935), 128 (17 September 1935), 129 (6 October 1935, recte 5 October); also 179 (29 August 1936) and 191 (24 November 1936).
-
-120 . Ibid., 260 (9 October 1938).
-
-121 . Tagebuch Luise Solmitz, 1934, (manuscript version), fol. 120-21.
-
-122 . Ibid., 25 March 1933.
-
-123 . Ibid., 31 March, 1 April 1933.
-
-124 . Ibid., 8 March 1934.
-
-125 . Ibid., 15 September, 19 September 1935.
-
-126 . Ibid., 8 March, 9 March, 17 September 1936.
-
-127 Ibid., 9 February, 12 February 1937.
-
-128 Heinz Höhne, Die Zeit der Illusionen: Hitler und die Anfänge des Dritten Reiches 1933-1936 (Düsseldorf, 1991), 333-51.
-
-129 Quoted via the New York Times, 6 July 1936, 6, in Richard D. Mandell, The Nazi Olympics (London, 1972 [1971]), 140.
-
-130 . Ibid., 122-58.
-
-131 . Speer, Inside, 119, 129; Mandell, The Nazi Olympics, 227-9.
-
-132 . Shirer, Berlin Diary, 44-5, 57-8. Shirer put ‘pensions’ for bed-and-breakfast establishments.
-
-133 Friedländer, Nazi Germany, 125.
-
-134 Kershaw, The ‘Hitler Myth’, 236-7.
-
-135 Klemperer, Tagebücher 1935-1936, 123; see also idem, I Shall Bear Witness, 293.
-
-136 . Longerich, Politik, 116-21.
-
-137 . Quoted in Wetzel, ‘Auswanderung’, 498.
-
-138 . Ibid., 420.
-
-139 Falk Wiesemann, ‘Juden auf dem Lande: Die wirtschaftliche Ausgrenzung der jüdischen Viehhändler in Bayern’, in Peukert and Reulecke (eds.), Die Reihen fast geschlossen, 381-96; Longerich, Politik, 122-3.
-
-140 Longerich, Politik, 155-9; Domarus, Hitler, II. 939-40; Peter Longerich, Der ungeschriebene Befehl: Hitler und der Weg zur Endlösung (Munich, 2001), 53-6; Frohlich (ed.), Die Tagebücher, I/IV, 429 (29 November 1937).
-
-141 Longerich, Politik, 159-60, 170-87; Tagebuch Luise Solmitz, 14 September 1938.
-
-142 Longerich, Politik, 170-80; see also Wolf Gruner, ‘Die Reichshauptstadt und die Verfolgung der Berliner Juden 1933-1945’, in Reinhard Rürup (ed.), Jüdische Geschichte in Berlin: Bilder und Dokumente (Berlin, 1995), 229-66, at 229-42; and Fröhlich (ed.), Die Tagebücher I/V. 340 (11 June 1938).
-
-143 See below, 657-61.
-
-144 Fröhlich (ed.), Die Tagebücher I/V. 393 (25 July 1938).
-
-145 Michael Wildt, ‘Violence against Jews in Germany, 1933-1939’, in Bankier (ed.), Probing, 191-4.
-
-146 Longerich, Politik, 181-95; Wolf-Arno Kropat, ‘Reichskristallnacht’: Der Judenpogrom vom 7. bis 10. November 1938 - Urheber, Täter, Hintergründe (Wiesbaden, 1997), 36-49.
-
-147 . Longerich, Politik, 161-2.
-
-148 . Ibid., 116, 195-7; Trude Maurer, ‘The Background for Kristallnacht: The Expulsion of Polish Jews’, in Pehle (ed.), November 1938, 44-72; Sybil Milton, ‘The Expulsion of Polish Jews from Germany October 1938 to July 1939: A Documentation’, Leo Baeck Institute Yearbook, 29 (1984), 169-200; contemporary reports in Behnken (ed.), Deutschland-Bericbte, V (1938), 1,181-6.
-
-149 Helmut Heiber, ‘Der Fall Grünspan’, VfZ, 5 (1957), 134-72; Graml, Reich skristallnacht, 9-16; Kropat, ‘Reichskristallnacht’, 50-55; Hans-Jürgen Döscher, ‘Reichskristallnacht’: Die November-Pogrome 1938 (Frankfurt am Main, 1988), 57-76, with documents and photographs. For the press campaign, see Wolfgang Benz, ‘The Relapse into Barbarism’, in Pehle (ed.), November 1938, 1-43, at 3-8; Hagemann, Die Presselenkung, 148; and Peter (ed.), NS-Presseanweisungen, VI: 1938 (Munich, 1999), 1,047, 1,050-54. For events in Hesse, see Kropat, ‘Reichskristallnacht’ , 56-78, and idem, Kristallnacht in Hessen: Der Judenpogrom vom November 1938: Eine Dokumentation (Wiesbaden, 1997 [1988]), 19-50. For the general argument, Longerich, Der ungeschriebene Befehl, 60-61.
-
-150 . There are solid accounts in Wolfgang Benz, ‘The Relapse into Barbarism’, 3-15; also idem, ‘Der Novemberpogrom 1938’, in Benz (ed.), Die Juden, 499-544; Hitler’s role is outlined in Longerich, Der ungeschriebene Befehl, 61-4; the evidence on the origins of the pogrom is carefully sifted in Longerich, Politik, 198- 202 and the accompanying endnotes; see also Kropat, ‘Reichskristallnacht’, 79-89 and 172-81. For Hitler’s purposes in unleashing the pogrom, see Domarus (ed.), Hitler, II. 1,235-42. The many accounts that portray the pogrom as improvised at the last minute, or that attribute it to Goebbels alone, correspond neither to the evidence nor to the context of the events of the preceding months and weeks: for such arguments, see for example Dieter Obst, ‘Reichskristallnacht’: Ursachen und Verlauf des antisemitischen Pogroms vom November 1938 (Frankfurt am Main, 1991); Uwe Dietrich Adam, ‘How Spontaneous Was the Pogrom?’, in Pehle (ed.), November 1938, 73-94; Döscher, ‘Reichskristallnacht’, 77-80. See also, with varying accents, Hermann Graml, Reichskristallnacht, 17-19; Ulrich Herbert, ‘Von der “Reichskristallnacht” zum “Holocaust”. Der 9. November und das Ende des “Radau-Antisemitismus” ’, in idem, Arbeit, Volkstum, Weltanschauung: Über Fremde und Deutsche im 20. Jahrhundert (Frankfurt am Main, 1995), 59-78; Barkai, From Boycott to Annihilation, 133-8; Kurt Pätzold and Irene Runge, Pogromnacht 1938 (Berlin, 1988); Kaplan, Between Dignity and Despair, 119- 44; and Kropat, ‘Reichskristallnacht’, for a selection of key documents.
-
-151 . Nuremberg Document PS 3063 (Report of the Supreme Party Tribunal, 13 February 1939), in Trial of the Major War Criminals before the International Military Tribunal, Nuremberg, 14 November 1945-1 October 1946 (Nuremberg, 1948), XXXII. 20-29.
-
-152 Müller to all Stapostellen and Stapoleitstellen, 9 November 1939, in Trial of the Major War Criminals, XXV. 376-80, at 377 (ND 374-PS); Hermann Graml, Anti-Semitism in the Third Reich (Cambridge, Mass., 1992), 13; for Hitler’s meeting with Himmler, see Kershaw, Hitler, II. 883 n. 56.
-
-153 . Quoted and discussed, with other documents, in Richard J. Evans, Lying About Hitler. History, Holocaust and the David Irving Trial (New York, 2001), 52-61; see also Longerich, Politik, 198-202; Graml, Reichskristallnacht, 20-22; and Kropat, ‘Reichskristallnacht’, 89-108.
-
-154 Quoted in Longerich, Politik, 199-200.
-
-155 Saskia Lorenz, ‘Die Zerstörung der Synagogen unter dem Nationalsozialismus’, in Arno Herzig (ed.), Verdrängung, 153-72; Behnken (ed.), DeutschlandBerichte , V (1938), 187.
-
-156 . For good evidence of the full participation of the SS, see Michael Zimmermann, ‘Die “Reichskristallnacht” 1938 in Essen’, in Alte Synagoge (ed.), Entrechtung und Selbsthilfe, 66-97.
-
-157 Behnken (ed.), Deutschland-Berichte, V (1938), 1,188.
-
-158 . Sauer, Die Schicksale, 420.
-
-159 . Avraham Barkai, ‘The Fateful Year’, 95-122; Longerich, Politik, 203. For further details see for example Karl H. Debus, ‘Die Reichskristallnacht in der Pfalz’, Zeitschrift für die Geschichte des Oberrheins, 129 (1981), 445-515; Joachim Meynert, Was vor der ‘Endlösung’ geschah, 208-22; Graml, Reichskristallnacht , 22-49; Fichtl et al., ‘Bambergs Wirtschaft’, 135-89; Kropat, ‘Reichskristallnacht’, 109-18; idem, Kristallnacht in Hessen, 51-136; and Wippermann, Das Leben, 1. 97-107. Herbert Schultheis, Die Reichskristallnacht in Deutschland nach Augenzeugenberichten (Bad Neustadt an der Saale, 1985), reprints a contemporary collection of eyewitness reports.
-
-160 Wildt, ‘Violence’, 191-200.
-
-161 Longerich, Politik, 203-5 and 642-3, n. 231; Friedländer, Nazi Germany, 269-79.
-
-162 . Tagebuch Luise Solmitz, 10 November 1938.
-
-163 Behnken (ed.), Deutschland-Berichte, V (1938), 1,191.
-
-164 . Ibid.
-
-165 . Ibid., 1,208.
-
-166 . Reck-Malleczewen, Diary, 80.
-
-167 . Behnken (ed.), Deutschland-Berichte, V (1938), 1,207.
-
-168 . Klepper, Unter den Schatten, 675.
-
-169 . Maschmann, Account Rendered, 56-7. Further, varied reactions from non-Jewish Germans are quoted and discussed in Benz, ‘Der Novemberpogrom’, 525-8; Bankier, The Germans, 85-8; Kropat, ‘Reichskristallnacht’, 153-69; idem, Kristallnacht in Hessen, 241-6; and Helmut Gatzen, Novemberpogrom 1938 in Gütersloh: Nachts Orgie der Gewalt, tags organisierte Vernichtung (Gütersloh, 1993), 63-7. Jörg Wollenberg (ed.), The German Public and the Persecution of the Jews 1933-1945: ‘No One Participated, No One Knew’ (Atlantic Highlands, N. J., 1996 [1989]) contains documents and essays, of varying quality.
-
-170 Friedländer, Nazi Germany, 297.
-
-171 Witetschek (ed.), Die kirchliche Lage, I. 300 (no. 122, Regierung Oberbayern, 10 December 1938).
-
-172 . Michael Faulhaber, Judaism, Christianity, and Germany: Advent Sermons Preached in St Michael’s, Munich in 1933 (London, 1934), 1-6, 13-16, 107-10, reprinted in Mosse (ed.), Nazi Culture, 256-61; Friedländer, Nazi Germany, 297; Walter Zwi Bacharach, ‘The Catholic Anti-Jewish Prejudice, Hitler and the Jews’, in Bankier (ed.), Probing, 415-30.
-
-173 Horst Matzerath (ed.), ‘. . . vergessen kann man die Zeit nicht, das ist nicht möglich . . .’ Kölner erinnern sich an die Jahre 1929-1945 (Cologne, 1985), 172; see also Ursula Büttner, ‘ “The Jewish Problem becomes a Christian Problem”: German Protestants and the Persecution of the Jews in the Third Reich’, in Bankier (ed.), Probing, 431-59.
-
-174 Longerich, Politik, 206.
-
-175 Fröhlich (ed.), Die Tagebücher, I/VI. 180-81 (10 November 1938).
-
-176 Trial of the Major War Criminals, XXXII. 29 (ND 3063-PS).
-
-177 Fröhlich (ed.), Die Tagebücher, I/VI. 181 (10 November 1938).
-
-178 Ibid., 182 (11 November 1938); for the call to bring the action to an end, see ‘Keine weiteren Aktionen mehr’, Berliner Volks-Zeitung, 534, 11 November 1938, front page; ‘Keine Einzel-Aktionen gegen das Judentum’, Berliner Morgenpost , 270, 11 November 1938, front page; etc.
-
-179 . Longerich, Politik, 204; for suicides, see Konrad Kuriet and Helmut Eschwege (eds.), Selbstbehauptung und Widerstand: Deutsche Juden im Kampf um Existenz und Menschenwürde 1933-1945 (Hamburg, 1984), 202.
-
-180 Obst, Reichskristallnacht, 284-5, 297-307; Wildt, ‘Violence’, 201-2; Zimmermann, ‘Die “Reichskristallnacht” ’, 77.
-
-181 Wildt, ‘Violence’, 204; Pingel, Häftlinge, 94; Anthony Read and David Fisher, Kristallnacht: Unleashing the Holocaust (London, 1989), 121-35; Kropat, ‘Reichskristallnacht’, 138-41; idem, Kristallnacht in Hessen, 167-79.
-
-182 Quoted in Benz, ‘The Relapse’, 17.
-
-183 Völkischer Beobachter, 11 November 1938 (North German edition), 2; Benz, ‘The Relapse’, 18.
-
-184 . Peter (ed.), NS-Presseanweisungen, VI: 1938, 1,060-61.
-
-185 . Reprinted in Berliner Morgenpost, 271, 12 November 1938, front page. For a broader analysis, see Herbert Obenaus, ‘The Germans: “An Antisemitic People”. The Press Camapaign after 9 November 1938’, in Bankier (ed.), Probing, 147-80.
-
-186 . Read and Fisher, Kristallnacht, 166-79.
-
-187 Treue (ed.), ‘Hitlers Denkschrift’, 210.
-
-188 Fröhlich (ed.), Die Tagebücher I/VI. 182 (11 November 1938).
-
-189 Barkai, ‘The Fateful Year’, 119-20; lengthy extracts from the minutes in Wilfried Mairgünther, Reichkristallnacht (Kiel, 1987), 90-130.
-
-190 Trial of the Major War Criminals, XXVIII. 499-540, at 509-10.
-
-191 Bruno Blau (ed.), Das Ausnahmerecht für die Juden in Deutschland, 1933-— 1945 (Düsseldorf, 1954 [1952]), 54-62; ‘Dr. Goebbels: Theater, Kinos, Konzerte fur Juden verboten’, Berliner Illustrierte Nachtausgabe, 266, 12 November 1938, front page; Longerich, Politik, 208-9; Kropat, ‘Reichskristallnacht’, 127-34. For cogent criticism of the legend that Goring and Himmler disapproved of the pogrom in principle, see Graml, Reichskristallnacht, 177, and Kropat, ‘Reichskristallnacht’ , 119-27.
-
-192 . Jonny Moser, ‘Depriving Jews of Their Legal Rights in the Third Reich’, in Pehle (ed.), November 1938, 123-38; see also, more generally, Kropat, ‘Reichskristallnacht’ , 134-8.
-
-193 Barkai, ‘The Fateful Year’, 119-20; ‘Beratung über die Massnahmen gegen Juden: Die Aufbringung der Sühne von I Milliarde’, Berliner Illustrierte Nachtaus gabe, 267, 14 November 1935, front page.
-
-194 Genschel, Die Verdrängung, 206; local examples in Fichtl et. al., ‘Bambergs Wirtschaft’, 183-97.
-
-195 ‘Dr. Goebbels über die Lösung der Judenfrage’, Berliner Illustrierte Nachtaus gabe, 267, 14 November 1938, 2; for a full list of the measures themselves, see Longerich, Politik, 208-19; also Friedländer, Nazi Germany, 280-305.
-
-196 Barkai, ‘The Fateful Year’, 121-2; Moser, ‘Depriving Jews’, 123-38, at 126-34; Konrad Kwiet, ‘Nach dem Pogrom: Stufen der Ausgrenzung’, in Benz (ed.), Die Juden, 545-659; Longerich, Politik, 218-19; Wolf Gruner, Der geschlossene Arbeitseinsatz deutscher Juden: Zur Zwangsarbeit als Element der Verfolgung, 1938-1943 (Berlin, 1997); for local examples, see Uwe Lohalm, ‘Local Administration and Nazi Anti-Jewish Policy’, in Bankier (ed.), Probing, 109-46, and Meynert, Was vor der ‘Endlösung’ geschah, 230-33. For the Reich Association, see Otto Dov Kulka (ed.), Deutsches Judentum unter dem Nationalsozialismus, I: Dokumente zur Geschichte der Reichsvertretung der deutschen Juden 1933-1939 (Tübingen, 1997), 410-28.
-
-197 Wildt, ‘Violence’, 204-8.
-
-198 . Boberach (ed.), Meldungen, II. 21-6, 221-2.
-
-199 . Wetzel, ‘Auswanderung’, 420.
-
-200 . Quoted in Hannah Arendt, The Origins of Totalitarianism (London, 1973 [1955]), 269, n. 2; see also Wetzel, ‘Auswanderung’, 426, 429; and Avraham Barkai, ‘Self-Help in the Dilemma: “To Leave or to Stay?” ’, in Meyer (ed.), German-Jewish History, IV. 313-32. For the origins of the Reich Centre, see below, 659-61.
-
-201 Not counting Austria and the Sudetenland, which when added made 330,539 (Statistisches Jahrbuch für das deutsche Reich, 59 (1941/42), 27: ‘Die Juden und jüdischen Mischlinge in den Reichsteilen und nach Gemeindegrössenklassen 1939’).
-
-202 ‘Jüdische Bevölkerungsstatistik’, in Benz (ed.), Die Juden, 733. These figures are obtained by subtracting the total of roughly 26,000 Jews of foreign nationality from Wetzel’s total for each year. Further statistics are supplied in Konrad Kwiet, ‘To Leave or Not to Leave: The German Jews at the Crossroads’, in Pehle (ed.), November 1938, 139-53.
-
-203 . Wetzel, ‘Auswanderung’, 423-5; Arthur D. Morse, While Six Million Died: A Chronicle of American Apathy (New York, 1967); David Wyman, Paper Walls: America and the Refugee Crisis, 1938-1941 (Amherst, Mass., 1968); Richard Breitman and Alan Kraut, American Refugee Policy and European Jewry, 1933- 1945 (Bloomingtom 1987); see also Irving Abella and Harold Troper, None Is Too Many: Canada and the Jews of Europe, 1933-1948 (Toronto, 1983).
-
-204 . Klemperer, I Shall Bear Witness, 241 (20 March 1938), 247 (23 May 1938), 251 (12 July 1938), 252-3 (10 August 1938), 263-4 (27 November 1938), 266 (3 December 1938).
-
-205 . Ibid., 267-8 (6 December 1938), 269 (15 December 1938), 279 (10 January 1939). See also Susanne Heim, ‘The German-Jewish Relationship in the Diaries of Victor Klemperer’, in Bankier (ed.), Probing, 312-25; and, more generally, Meynert, Was vor der ‘Endlösung’ geschah, 223-9.
-
-206 Tagebuch Luise Solmitz, 12 November 1938, 13 November 1938, 15 November 1938, 22 November 1938, 1 December 1938, 14 March 1939, 29 August 1939.
-
-207 . Trial of the Major War Criminals, XXVIII. 534 (ND 1816-PS). For the meeting on 6 December, see Longerich, Politik, 210-12.
-
-208 Longerich, Politik, 206; Friedländer, Nazi Germany, 288-92 and 298-9.
-
-209 Kershaw, The ‘Hitler Myth’, 235-9.
-
-210 . Longerich, Der ungeschriebene Befehl, 55-7.
-
-211 Ibid., 67; James Marshall-Cornwell et al. (eds.), Akten zur deutschen auswärtigen Politik, 1918-1945: Aus den Akten des Deutschen Auswärtigen Amtes (Series A-E, Baden-Baden, 1951-95), Series D, IV. 291-5, at 293 (‘Aufzeichnung des Legationsrats Hewel, Berchtesgaden’, 24 November 1938).
-
-212 . ‘Aufzeichnung des Legationsrats Hewel’, 21 January 1939, in Marshall-Cornwell et al. (eds.), Akten, Series D, IV, 167-71, at 170.
-
-213 . Domarus, Hitler, II. 1,055-8.
-
-214 . Herbert A. Strauss, ‘The Drive for War and the Pogroms of November 1938: Testing Explanatory Models’, Leo Baeck Institute Yearbook, 35 (1990), 267-78.
-
-215 . Longerich, Politik, 220-21; Philippe Burrin, Hitler and the Jews: The Genesis of the Holocaust (London, 1994 [1989]), 61-3. For the view that Hitler’s threat was not to be taken seriously, and was not followed up by any approach on his part to the United States, see Graml, Reichskristallnacht, 105-6.
-
-216 Friedländer, Nazi Germany, 211-24; William W. Hagen, ‘Before the “Final Solution”: Toward a Comparative Analysis of Political Anti-Semitism in Interwar Germany and Poland’, Journal of Modern History, 68 (1996), 351-81; Joseph Marcus, Social and Political History of the Jews in Poland, 1919-1939 (Berlin, 1983) - not always accurate in detail; Celia S. Heller, On the Edge of Destruction: Jews of Poland between the two World Wars (New York, 1977); Yisrael Gutman, The Jews of Poland between Two World Wars (Hanover, N.H., 1989); James D. Wynot, Jr, ‘ “A Necessary Cruelty”: The Emergence of Official Anti-Semitism in Poland, 1935-39’, American Historical Review, 76 (1971), 1,035-58.
-
-217 . Emanuel Melzer, ‘The Polish Authorities and the Jewish Question, 1930- 1939’, in Alfred A. Greenbaum (ed.), Minority Problems in Eastern Europe between the World Wars, with Emphasis on the Jewish Minority (Hebrew University of Jerusalem, Institute for Advanced Studies, typescript, Jerusalem, 1988), 77-81; Jerzy Tomascewski, ‘Economic and Social Situation of Jews in Poland, 1918-1939’, in ibid., 101-6; Ezra Mendelsohn, The Jews of East Central Europe between the World Wars (Bloomington, Ind., 1983), 11-83.
-
-218 Magnus Brechtken, ‘Madagaskar für die Juden’: Antisemitische Idee und politische Praxis 1885-1945 (Munich, 1997), 81-164.
-
-219 . Mendelsohn, The Jews; Bela Vago, The Shadow of the Swastika: The Rise of Fascism and Anti-Semitism in the Danube Basin, 1936-1939 (London, 1975).
-
-220 . Mendelsohn, The Jews, 171-211; David Schaary, ‘The Romanian Authorities and the Jewish Communities in Romania between the Two World Wars’, in Greenbaum (ed.), Minority Problems, 89-95; Paul A. Shapiro, ‘Prelude to Dictatorship in Romania: The National Christian Party in Power, December 1937- February 1938’, Canadian-American Slavic Studies, 8 (1974), 45-88.
-
-221 . Mendelsohn, The Jews, 85-128; see also the introductory sections of Randolph H. Braham, The Politics of Genocide: The Holocaust in Hungary (2 vols., New York, 1980).
-
-
-
-Chapter 7. THE ROAD TO WAR
-
-1 Kershaw, Hitler I: 484-6, 531-6.
-
-2 Anton Joachimsthaler, Hitlers Liste: Ein Dokument persönlicher Beziehungen (Munich, 2003); Semmery, Seeing Hitler’s Germany, 56.
-
-3 . Kershaw, Hitler, I. 537.
-
-4 . Speer, Inside, 194-5.
-
-5 . Evans, The Coming of the Third Reich, 434; above, 168, 172, 177, 180, 581-2.
-
-6 Völkischer Beobachter, 25 May 1928, quoted in Gerhard L. Weinberg, The Foreign Policy of Hitler’s Germany, I: Diplomatic Revolution in Europe 1933- 1936 (London, 1970), 22 (translation adjusted); original in Bärbel Dusik (ed.), Hitler: Reden, Schriften, Anordnungen: Februar 1925 bis Januar 1933 (5 vols., Munich 1992-8), II. 845-9, at 856 (italics in original).
-
-7 . Quoted in Weinberg, The Foreign Policy, I. 163; for background, see Anthony Komjathy and Rebecca Stockwell, German Minorities and the Third Reich: Ethnic Germans of East Central Europe between the Wars (New York, 1980).
-
-8 . See the general argument in Thies, Architekt der Weltherrschaft; more directly, see Milan Hauner, ‘Did Hitler Want a World Dominion?’, Journal of Contemporary History, 13 (1978), 15-32; Günter Moltmann, ‘Weltherrschaftsideen Hitlers’, in Otto Brunner and Dietrich Gerhard (eds.), Europa und Übersee: Festschrift für Egmont Zechlin (Hamburg, 1961), 197-240; and Geoffrey Stoakes, Hitler and the Quest for World Dominion (Leamington Spa, 1986).
-
-9 For useful introductory discussions, see Hermann Graml, ‘Grundzüge nationalsozialistische Aussenpolitik’, in Martin Broszat and Horst Möller (eds.), Das Dritte Reich: Herrschaftsstruktur und Geschichte (Munich, 1986 [1983]), 104-26; idem, ‘Wer bestimmte die Aussenpolitik des Dritten Reiches? Ein Beitrag zur Kontroverse um Polykratie und Monokratie im NS-Herrschaftssystem’, in Manfred Funke et al. (eds.), Demokratie und Diktatur: Geist und Gestalt politischer Herrschaft in Deutschland und Europa: Festschrift für Karl Dietrich Bracher (Düsseldorf, 1987), 223-36; Wolfgang Michalka, ‘Conflicts within the German Leadership on the Objectives and Tactics of German Foreign Policy 1933-9’, in Wolfgang J. Mommsen and Lothar Kettenacker (eds.), The Fascist Challenge and the Policy of Appeasement (London, 1983), 48-60; and Andreas Hillgruber, ‘Grundzüge der nationalsozialistischen Aussenpolitik 1933-1945’, Saeculum, 24 (1973), 328-45.
-
-10 . For a range of views on British and French foreign policy in the 1930s, see David Dilks, ‘ “We Must Hope for the Best and Prepare for the Worst” ’: The Prime Minister, the Cabinet and Hitler’s Germany, 1937-1939’, in Patrick Finney (ed.), The Origins of the Second World War (London, 1997) 43-61; Sidney Aster, ‘ “Guilty Men”: The Case of Neville Chamberlain’, in ibid., 62-77; Anthony Adamthwaite, ‘France and the Coming of War’, in ibid., 78-89; Robert A. C. Parker, ‘Alterative to Apeasment’, in ibid., 206-21.
-
-11 Günter Wollstein, ‘Eine Denkschrift des Staatssekretärs Bernhard von Bülow vom März 1933’, Militärgeschichtliche Mitteilungen, 1 (1973), 77-94; for the background, see Peter Krüger, Die Aussenpolitik der Republik von Weimar (Darmstadt, 1985); Hans-Adolf Jacobsen, Nationalsozialistische Aussenpolitik 1933-1939 (Frankfurt am Main, 1968), 20-89 and 319-47; Jost Dülffer, ‘Grundbedingungen der nationalsozialistischen Aussenpolitik’, in Leo Haupts and Georg Mölich (eds.), Strukturelemente des Nationalsozialismus. Rassenideologie, Unter drückungsmaschinerie, Aussenpolitik (Cologne, 1981), 61-88; idem, ‘Zum “decision-making process” in der deutschen Aussenpolitik 1933-1939’, in Manfred Funke (ed.), Hitler, Deutschland und die Mächte: Materialien zur Aussenpolitik des Dritten Reiches (Düsseldorf, 1976), 186-204.
-
-12 Kershaw, Hitler, I. 490-95; Weinberg, The Foreign Policy, I. 159-79; for continuities and discontinuities in the early 1930s, see Günter Wollstein, Vom Weimarer Revisionismus zu Hitler: Das Deutsche Reich und die Grossmächte in der Anfangsphase der nationalsozialistischen Herrschaft in Deutschland (Bonn, 1973).
-
-13 . Domarus (ed.), Hitler I. 364-75.
-
-14 . See above, 109-10.
-
-15 Herbert S. Levine, Hitler’s Free City. A History of the Nazi Party in Danzig, 1925-39 (Chicago, 1973), Weinberg, The Foreign Policy, I. 184-94; Klaus Hildebrand, The Foreign Policy of the Third Reich (London, 1973 [1970]), 24-33 (stressing the coherence of Hitler’s long-term, step-by-step approach); Manfred Messerschmidt, ‘Foreign Policy and Preparation for War’, in Militärgeschichtliches Forschungsamt (ed.), Germany, 541-717, at 590-93; Klaus Hildebrand, Das vergangene Reich: Deutsche Aussenpolitik von Bismarck bis Hitler, 1871-1945 (Stuttgart, 1995), 586-92.
-
-16 . Martin Kitchen, The Coming of Austrian Fascism (London, 1980), 36-110; Bruce F. Pauley, Hitler and the Forgotten Nazis. A History of Austrian National Socialism (Chapel Hill, N.C., 1981), 3-15; George E. R. Gedye, Fallen Bastions: The Central European Tragedy (London, 1939), 9-126. Charles A. Gulick, Austria from Habsburg to Hitler (2 vols., Berkeley, Calif., 1948), is a very detailed narrative, now rather outdated.
-
-17 Francis L. Carsten, Fascist Movements in Austria: From Schönerer to Hitler (London, 1977), 229-70, still the authoritative account; Kitchen, The Coming, 173-262; Pauley, Hitler and the Forgotten Nazis, 16-103, stressing the internal disunity of the party; for Schönerer, see Evans, The Coming of the Third Reich, 42-4, 163-4; also more generally Bruce F. Pauley, From Prejudice to Persecution: A History of Austrian Anti-Semitism (Chapel Hill, N.C., 1992).
-
-18 . Carsten, Fascist Movements, 254-92 (254 for the quote); Gedye, Fallen Bastions , 101-43; Pauley, Hitler and the Forgotten Nazis, 104-54; Hildebrand, Das vergangene Reich, 593-9.
-
-19 Kershaw, Hitler, I. 522-4; among older works, see also Dieter Ross, Hitler und Dollfuss: Die deutsche Österreich-Politik, 1933-1934 (Hamburg, 1966).
-
-20 Domarus (ed.), Hitler, I. 504-7.
-
-21 Hildebrand, Das vergangene Reich, 578-86.
-
-22 Patrick von zur Mühlen, ‘Schlagt Hitler an der Saar!’ Abstimmungskampf, Emigration und Widerstand im Saargebiet, 1933-1945 (Bonn, 1979), 230-32; Gerhard Paul, ‘Deutsche Mutter - heim zu Dir!’ Warum es misslang, Hitler an der Saar zu schlagen: Der Saarkampf 1933 bis 1935 (Cologne, 1984), 376-401.
-
-23 Mühlen, ‘Schlagt Hitler’, 73-4, 195, 229; Paul, ‘Deutsche Mutter’, 102-32; Markus Gestier, Die christlichen Parteien an der Saar und ihr Verhältnis zum deutschen Nationalstaat in den Abstimmungskämpfen 1935 und 1955 (St Ingbert, 1991), 48-69; Ludwig Linsmayer, Politische Kultur im Saargebiet 1920-1932: Symbolische Politik, verhinderte Demokratisierung, nationalisiertes Kulturleben in einer abgetrennten Region (St Ingbert, 1992), 447; Klaus-Michael Mallmann and Gerhard Paul, Milieus und Widerstand: Eine Verhaltensgeschichte der Gesellschaft im Nationalsozialismus (Bonn 1995), 203-23; Dieter Muskalla, NS-Politik an der Saar unter Josef Bürckel: Gleichschaltung - Neuordnung - Verwaltung (Saarbrücken, 199 5), 71.
-
-24 . Mühlen, ‘Schlagt Hitler’, 204-7, 230-31; Paul, ‘Deutsche Mutter’, 214-32; Linsmayer, Politische Kultur, 447.
-
-25 . Behnken (ed.), Deutschland-Berichte, II (1935), 9-15 (quote on 10).
-
-26 Mallmann, and Paul, Herrschaft, 26-32.
-
-27 Klaus-Michael Mallmann and Gerhard Paul, Das zersplitterte Nein: Saarländer gegen Hitler (Bonn, 1989), vi-vii; idem, Herrschaft, 39-54; idem, Milieus, 530-35; Muskalla, NS-Politik, 187, 551-96, 600-601.
-
-28 . Mallmann and Paul, Herrschaft, 55-64, 114-34.
-
-29 . Domarus (ed.), Hitler, II. 643-8, at 644; Behnken (ed.), Deutschland-Berichte, II (1935), 117-20, 154-7.
-
-30 Tagebuch Luise Solmitz, 1 March 1935.
-
-31 Stöver (ed.), Berichte, 336.
-
-32 Weinberg, The Foreign Policy, I. 203-6.
-
-33 . Tagebuch Luise Solmitz 1935: 16 March 1935.
-
-34 . Ibid.
-
-35 Behnken (ed.), Deutschland-Berichte, II (1935), 409-14. William L. Shirer’s account (Berlin Diary, 32-4), which recorded universal and unqualified enthusiasm, was strongly coloured by his deeply held belief, expressed again in his The Rise and Fall of the Third Reich, that all Germans were ‘militarists at heart’.
-
-36 Kershaw, Hitler, I. 556-8; Dülffer, Weimar, 256-67, 325-54; Geoffrey T. Waddington, ‘Hitler, Ribbentrop, die NSDAP und der Niedergang des Britischen Empire 1935-1938’, VfZ 40 (1992), 274-306; Hildebrand, Das vergangene Reich, 600-604.
-
-37 . Fest, The Face, 265-82; Wolfgang Michalka, ‘Joachim von Ribbentrop: From Wine Merchant to Foreign Minister’, in Smelser and Zitelmann (eds.), The Nazi Elite, 165-72.
-
-38 . Jacobsen, Nationalsozialistische Aussenpolitik, 298-318.
-
-39 . Fest, The Face, 271-6; Michalka, ‘Joachim von Ribbentrop’, 166-8; Jacobsen, Nationalsozialistische Aussenpolitik, 252-318; at greater length, Wolfgang Michalka, Ribbentrop und die deutsche Weltpolitik 1933-1940: Aussenpolitische Konzeptionen und Entscheidungsprozesse im Dritten Reich (Munich, 1989 [1980]); recent reassessment in Stefan Kley, Hitler, Ribbentrop und die Entfesselung des Zweiten Weltkrieges (Paderborn, 1996).
-
-40 . For the Ethiopian war see George L. Steer, Caesar in Abyssinia (London, 1936), Alberto Sbacchi, Legacy of Bitterness: Ethiopia and Fascist Italy, 1935-1941 (Laurenceville, N.J., 1997), and Anthony Mockler, Haile Selassie’s War (Oxford, 1984); background in Denis Mack Smith, Mussolini’s Roman Empire (London, 1976).
-
-41 . Evans, The Coming of the Third Reich, 184-5.
-
-42 . ‘Memorandum by the Ambassador in Italy (20 January 1936)’, in John W. Wheeler-Bennett et al. (eds.), Documents on German Foreign Policy 1918-1945 (13 vols., London, 1950-70), series C, IV: The Third Reich: First Phase (London, 1962), 1,013-16.
-
-43 . Weinberg, The Foreign Policy, I. 207-38.
-
-44 . Ibid., 239-63.
-
-45 . Shirer, Berlin Diary, 49-51.
-
-46 . Ibid., 54-6; Domarus (ed.), Hitler, II, 787-90.
-
-47 . Tagebuch Luise Solmitz, 1936: 7 March.
-
-48 . Behnken (ed.), Deutschland-Berichte, III (1936), 303.
-
-49 . Ibid., 468.
-
-50 Ibid., 300-320, 460-78 (‘Rheinlandbesetzung und Kriegs-Angst’).
-
-51 Stover, Volksgemeinschaft, 418-19.
-
-52 Behnken (ed.), Deutschland-Berichte, III (1936), 302; see also Kershaw, The ‘Hitler Myth’, 124-9.
-
-53 . Weinberg, The Foreign Policy, I. 239-63; Donald Cameron Watt, ‘German Plans for the Reoccupation of the Rhineland: A Note’, Journal of Contemporary History, 1 (1966), 193-9; Hildebrand, Das vergangene Reich, 604-17; James T. Emmerson, The Rhineland Crisis, 7 March 1936: A Critical Study in Multilateral Diplomacy (London, 1977).
-
-54 . Domarus, Hitler, II. 790; Kershaw, Hitler, I. 590-91.
-
-55 . Weinberg, The Foreign Policy, I. 264-84. The question, much debated by historians, of when the right moment would have been to have stopped Hitler is a non-issue, since virtually no European government wanted to before 1939. It is only this imaginary scenario that informs the conclusion of Stephen A. Schuker, ‘France and the Remilitarization of the Rhineland, 1936’, French Historical Studies, 14 (1986), 299-338, that 1936 was not a turning-point (also in Finney (ed.) The Origins of the Second World War, 222-44).
-
-56 . Weinberg, The Foreign Policy, I. 284-93, somewhat overplaying economic considerations; further details in idem, The Foreign Policy of Nazi Germany, II: Starting World War II, 1937-1939 (Chicago, 1980), 142-66; see also Paul Preston, The Spanish Civil War 1936-69 (London, 1986), 80-81.
-
-57 . Paul Preston, Franco: A Biography (London, 1993), 158-61; Hugh Thomas, The Spanish Civil War (3rd edn, London, 1986 [1961]), 579-80; Christian Leitz, ‘Nazi Germany’s Intervention in the Spanish Civil War and the Foundation of HISMA/ROWAK’, in Paul Preston and Ann L. Mackenzie (eds.), The Republic Besieged: Civil War in Spain, 1936-1939 (Edinburgh, 1996), 53-85; Hans-Henning Abendroth, ‘Deutschlands Rolle im Spanischen Bürgerkrieg’, in Manfred Funke (ed.), Hitler, Deutschland und die Mächte, 471-88.
-
-58 Preston, Franco, 203-9; more generally Hans-Henning Abendroth, Hitler in der spanischen Arena: Die deutsch-spanischen Beziehungen im Spannungsfeld der europäischen Interessenpolitik vom Ausbruch des Bürgerkrieges bis zum Ausbruch des Weltkrieges (1936-1939) (Paderborn, 1973); Robert H. Whealey, Hitler and Spain: The Nazi Role in the Spanish Civil War, 1936-1939 (Lexington, Ky., 1989).
-
-59 . Preston, Franco, 243-4.
-
-60 . Thomas, The Spanish Civil War, 623-31.
-
-61 . Herbert R. Southworth, Guernica! Guernica! A Study of Journalism, Propaganda and History (Berkeley, Calif., 1977).
-
-62 . Preston, Franco, 246.
-
-63 . Ibid., 303, 329-30.
-
-64 Willard C. Frank, ‘The Spanish Civil War and the Coming of the Second World War’, International History Review, 9 (1987), 368-409.
-
-65 . Hildebrand, The Foreign Policy, 45; Herbst, Das nationalsozialistische Deutschland, 177-83; Elizabeth Wiskemann, The Rome-Berlin Axis: A History of the Relations between Hitler and Mussolini (London, 1949); John P. Fox, Germany and the Far Eastern Crisis, 1931-1938: A Study in Diplomacy and Ideology (Oxford, 1982); Theo Sommer, Deutschland und Japan zwischen den Mächten 1935-1940: Vom Antikominternpakt zum Dreimächtepakt: Eine Studie zur diplomatischen Vorgeschichte des Zweiten Weltkrieges (Tübingen, 1962); Weinberg, The Foreign Policy, II. 167-91.
-
-66 Hildebrand, The Foreign Policy, 38-50; Josef Henke, England in Hitlers politischem Kalkül, 1935-1939 (Boppard, 1973); Klaus Hildebrand, Vom Reich zum Weltreich: Hitler, NSDAP und koloniale Frage 1919-1945 (Munich, 1969), 491-348; more generally, Wolfgang Michalka, Ribbentrop.
-
-67 See above, 358-60.
-
-68 O’Neill, The German Army, 178-95; Kershaw, Hitler, II. 49-51; Klaus-Jurgen Müller, Das Heer und Hitler: Armee und nationalsozialistisches Regime 1933- 1940 (Stuttgart, 1988 [1969]), 244.
-
-69 The standard work on these events is Karl-Heinz Janssen and Fritz Tobias, Der Sturz der Generäle: Hitler und die Blomberg-Fritsch Krise 1938 (Munich, 1994). For a vivid brief account, of these and following events, see Kershaw, Hitler, II. 51-7. Goebbels quotes in Frohlich (ed.), Die Tagebücher, I/V. 117 (27 January 1938) and 118-20 (28 January 1938).
-
-70 . Janssen and Tobias, Der Sturz, 140.
-
-71 . Ibid., 173-84 on Fritsch’s trial, 245-51 on his death, and 253-8 on Blomberg’s fate after the war; see also O’Neill, The German Army, 196-204.
-
-72 . Janssen and Tobias, Der Sturz, 197-233, at 197-9.
-
-73 . Domarus, Hitler, II. 1,025 (the whole speech is partly reproduced, partly summarized, on 1,019-340).
-
-74 David G. Maxwell, ‘Ernst Hanfstaengl: Des “Führers” Klavierspieler’, in Ronald Smelser et al. (eds.), Die braune Elite, II: 21 weitere biographische Skizzen (Darmstadt, 1993), 137-49, a distillation of the author’s Ph.D. dissertation, ‘Unwanted Exile: A Biography of Dr Ernst “Putzi” Hanfstaengl’ (SUNY, Binghampton, 1988). See also the useful popular account by Peter Conradi, Hitler’s Piano Player: The Rise and Fall of Ernst Hanfstaengl, Confidant of Hitler, Ally of FDR (New York, 2004).
-
-75 Kershaw, Hitler, II. 63-6; Gerhard L. Weinberg, ‘Hitler’s Private Testament of May 2, 1938’, Journal of Modern History, 27 (1955), 415-19; Gerhard Botz, Der 13. März und die Anschluss-Bewegung: Selbstaufgabe, Okkupation und Selbstfindung Österreichs 1918-1945 (Vienna, 1978), 5-14; Carsten, Fascist Movements, 299-301.
-
-76 Ibid., 293-314; Gedye, Fallen Bastions, 144-216.
-
-77 Alfred Kube, Pour le mérite und Hakenkreuz: Hermann Göring im Dritten Reich (Munich, 1986), 233-43; Hildebrand, Das vergangene Reich, 618-51, also for the following; Stefan Martens, ‘Die Rolle Hermann Görings in der deutschen Aussenpolitik 1937/38’, in Franz Knipping and Klaus-Jürgen Müller (eds.), Macht bewusstsein in Deutschland am Vorabend des Zweiten Weltkrieges (Paderborn, 1984), 75-82, for Göring’s role; Kley, Hitler, 35-49, for Ribbentrop’s.
-
-78 Kershaw, Hitler, II. 63-4; also Weinberg, The Foreign Policy, II. 261-312; Weinberg, ‘Hitler’s Private Testament’.
-
-79 . Carsten, Fascist Movements, 271-88; Barbara Jelavich, Modern Austria: Empire and Republic 1800-1986 (Cambridge, 1987), 192-216; Behnken (ed.) Deutschland-Berichte, V (1938), 236-49.
-
-80 . Domarus, Hitler, II. 1,013-14; Kurt von Schuschnigg, Austrian Requiem (London, 1947), 13-32, at 21, 25; Jelavich, Modern Austria, 217-18. For Papen, see Franz Müller, Ein ‘Rechtskatholik’ zwischen Kreuz und Hakenkreuz: Franz von Papen als Sonderbevollmachtigter in Wien 1934-1938 (Frankfurt am Main, 1990); and Joachim Petzold, Franz von Papen: Ein deutsches Verhängnis (Munich, 1995), 239-51.
-
-81 Kershaw, Hitler, II. 70-72; Gedye, Fallen Bastions, 217-35; Erwin A. Schmidl, März 38: Der deutsche Einmarsch in Österreich (Vienna, 1987), 31-42, for German military preparations.
-
-82 Carsten, Fascist Movements, 315-23; Schmidl, März 38, 1-29, 43-68.
-
-83 ‘Generalfeldmarschall Goring mit Seyss-Inquart, 11.3.1938’, in International Military Tribunal, XXXI. 360-2; also, Jelavich, Modern Austria, 218-21; Gedye, Fallen Bastions, 236-77; and Ralf Georg Reuth (ed.), Die Tagebücher, I/5, 197-201 (10-11 March 1938); Schmidl, März 38, 69-109; Pauley, Hitler and the Forgotten Nazis, 155-92.
-
-84 . Kershaw, Hitler, II. 76-8; Carsten, Fascist Movements, 323; Shirer, Berlin Diary, 80-85; Gedye, Fallen Bastions, 278-99; Fröhlich (ed.), Die Tagebücher, I/5, 202-6 (12-13 March 1938); Schmidl, März 38, 111-34, for the seizure of power in the provinces; Pauley, Hitler and the Forgotten Nazis, 193-215.
-
-85 . Shirer, Berlin Diary, 84-6, for one example.
-
-86 . Domarus, Hitler, II. 1,049-50; Kershaw, Hitler, II. 79-82.
-
-87 Domarus, Hitler, II. 1,051 (interview with Ward Price, 12 March 1938); Schmidl, März 38, 211-38; Fröhlich (ed.), Die Tagebücher, I/5, 204-12 (13-16 March 1938); Gerhard Botz, Die Eingliederung Österreichs in das deutsche Reich: Planung und Verwirklichung des politisch-administrativen Anschlusses (1938-1940) (Linz, 1972), 22-39, for early ideas and proposals. For the reasons for Hitler’s delay in moving on to Vienna, wrongly attributed at the time to the blockage of the roads by broken-down German tanks and lorries, see Kershaw, Hitler, II. 868, n. 115.
-
-88 . Domarus (ed.), Hitler, II. 1,052-5; Botz, Die Eingliederung, 61-72, for the Law of 13 February 1938; 73-115 for later developments.
-
-89 . Domarus (ed.), Hitler, II. 1,055-7; Pauley, Hitler and the Forgotten Nazis, 216-22.
-
-90 . Domarus (ed.), Hitler, II. 1,059; Pauley, Hitler and the Forgotten Nazis, 217; Gerhard Botz, Wien vom ‘Anschluss’ zum Krieg: Nationalsozialistische Machtübernahme und politisch-soziale Umgestaltung am Beispiel der Stadt Wien 1938/ 39 (Vienna, 1978), 117-46.
-
-91 . Botz, Wien, 175-85. In some electoral areas the number of ‘yes’ votes was higher than the number of electors. For the methods customarily applied in such votes in the Third Reich, see above, 109-13. See also Evan B. Bukey, ‘Popular Opinion in Vienna after the Anschluss’, in Fred Parkinson (ed.), Conquering the Past: Austrian Nazism Yesterday and Today (Detroit, Mich., 1989), 151-64.
-
-92 Hans-Erich Volkmann, ‘The National Socialist Economy in Preparation for War’, in Militargeschichtliches Forschungsamt (eds.), Germany, 157-372, at 323-7; Norbert Schausberger, ‘Wirtschaftliche Aspekte des Anschlusses Österreichs an das Deutsche Reich (Dokumentation)’, Militärgeschichtliche Mitteilungen , 8 (1970), 133-64; idem, Der Griff nach Österreich: Der Anschluss (Vienna, 1978).
-
-93 Gordon Brook-Shepherd, The Austrians: A Thousand-Year Odyssey (London, 1996), 341-3; Botz, Wien, 55-8, 255-9; Schmidl, März 38, 232-7; Florian Freund, ‘Mauthausen - zu Strukturen von Haupt- und Aussenlagern’, in Wolfgang Benz (ed.), KZ-Aussenlager - Geschichte und Erinnerung (Dachau, 1999), 254-72.
-
-94 Robert Körber, Rassesieg in Wien, der Grenzfeste des Reiches (Vienna, 1939), 271, 281.
-
-95 . Longerich, Politik, 162-5. See also Herbert Rosenkranz, Verfolgung und Selbstbehauptung: Die Juden in Österreich 1938-1945 (Vienna, 1978).
-
-96 Friedländer, Nazi Germany, 241-4.
-
-97 Gedye, Fallen Bastions, 308-9.
-
-98 . Ibid.; Botz, Wien, 93-105.
-
-99 . Longerich, Politik, 163-4; Wolfgang Neugebauer (ed.), Widerstand und Verfolgung im Burgenland: Eine Dokumentation (Vienna, 1979); Gerhard Botz, Wohnungspolitik und Judendeportation in Wien, 1938 bis 1945: Zur Funktion des Antisemitismus als Ersatz nationalsozialistischer Sozialpolitik (Vienna, 1975); Gedye, Fallen Bastions, 300-306, 360-62; Eckart Früh, ‘Terror und Selbstmord in Wien nach der Annexion Österreichs’, in Felix Kreissler (ed.), Fünfzig Jahre danach - Der ‘Anschluss’ von innen geschen (Vienna, 1989), 216-26.
-
-100 . David Cesarani, Eichmann: His Life and Crimes (London, 2004), 18-60; see also Peter Black, ‘Ernst Kaltenbrunner: Chief of the Reich Security Main Office’, in Smelser and Zitelmann (eds.), The Nazi Elite, 133-43, and idem, Ernst Kaltenbrunner: Vassall Himmlers: Eine SS-Karriere (Paderborn, 1991).
-
-101 . Ibid., 61-76; Doron Rabinovici, Instanzen der Ohnmacht: Wien 1938-1945: Der Weg zum Judenrat (Frankfurt am Main, 2000); Hans Safrian, Die Eichmann-Männer (Vienna, 1993); idem, ‘Expediting Expropriation and Expulsion: The Impact of the “Vienna Model” on Anti-Jewish Policies in Nazi Gemany, 1938’, Holocaust and Genocide Studies, 14 (2000), 390-414; Gabriele Anderl and Dirk Rupnow, Die Zentralstelle für jüdische Auswanderung als Beraubungsinstitution (Vienna, 2004); Friedlander, Nazi Germany, 243-8; Deborah Dwork and Robert Jan Van Pelt, Holocaust: A History (London, 2002), 95-8, 121-5; Botz, Wien, 243-54.
-
-102 . Behnken (ed.), Deutschland-Berichte, VI (1939), 381.
-
-103 . Cesarani, Eichmann, 70-71; Botz, Wien, 397-411.
-
-104 . Nicholas, The Rape, 37-46; Petropoulos, The Faustian Bargain, 170-85.
-
-105 Behnken (ed.), Deutschland-Berichte, V (1938), 260.
-
-106 . Ibid., 264.
-
-107 . Kershaw, The ‘Hitler Myth’, 129-32.
-
-108 . Tagebuch Luise Solmitz, 11 March 1938, 12 March 1938, 13 March 1938.
-
-109 . Klemperer, I Shall Bear Witness, 241 (20 March 1938).
-
-110 . Kershaw, Hitler, II. 90-91.
-
-111 . Domarus (ed.), Hitler, II. 1,061-76.
-
-112 Quoted in ibid., 100-101.
-
-113 Jürgen Tampke, Czech-German Relations and the Politics of Central Europe: From Bohemia to the EU (London, 2003), 25-44; Rudolf Jaworski, Vorposten oder Minderheit? Der Sudetendeutsche Volkstumskampf in den Beziehungen zwischen der Weimarer Republik und der CSR (Stuttgart, 1977); Jaroslav Kucera, Minderheit im Nationalstaat: Die Sprachenfrage in den tschechisch-deutschen Beziehungen 1918-1938 (Munich, 1999).
-
-114 . Tampke, Czech-German Relations, 45-53; Hugh Seton-Watson, Eastern Europe between the Wars 1918-1941 (New York, 1967 [1945]), 277-83; Carlile A. Macartney and Alan W. Palmer, Independent Eastern Europe: A History (London, 1966), 156-9, 190-98, 363-6; Christoph Boyer, Nationale Kontrahenten oder Partner? Studien zu den Beziehungen zwischen Deutschen und Tschechen in der Wirtschaft der CSR (Munich, 1999); Ronald M. Smelser, The Sudeten Problem 1933-1938: Volkstumpolitik and the Formulation of Nazi Foreign Policy (Folkestone, 1975); Gedye, Fallen Bastions, 363-450; Jorg Kracik, Die Politik des deutschen Aktivismus in der Tschechoslowakei 1920-1938 (Frankfurt am Main, 1999).
-
-115 . Nancy M. Wingfield, Minority Politics in a Multinational State: The German Social Democratic Party 1918-1938 (New York, 1989), 169, but see also Reinhard Schmutzer, ‘Der Wahlsieg der Sudetendeutschen Partei: Die Legende von der faschistischen Bekenntniswahl’, Zeitschrift für Ostforschung, 41 (1992), 345-85.
-
-116 Tampke, Czech-German Relations, 53-4.
-
-117 Kershaw, Hitler, II. 87-108; Klaus-Jürgen Müller, General Ludwig Beck: Studien und Dokumente zur politisch-militärischen. Vorstellungswelt und Tätigkeit des Generalstabschefs des deutschen Heeres 1933-1938 (Boppard, 1980); criticized by Peter Hoffmann, ‘Generaloberst Ludwig Becks militärpolitisches Denken’, Historische Zeitschrift, 234 (1981), 101-21; convincing response in Klaus-Jürgen Müller, ‘Militärpolitik nicht Militäropposition!’, Historische Zeit schrift, 235 (1982), 355-71.
-
-118 O’Neill, The German Army, 211-22; Müller, Das Heer, 300-344.
-
-119 Müller (ed.), General Ludwig Beck, 287.
-
-120 Joachim Fest, Plotting Hitler’s Death: The Story of the German Resistance (London, 1996 [1994]), 71-101, provides a dramatic narrative of the plot; Klemens von Klemperer, German Resistance against Hitler: The Search for Allies Abroad 1938-1945 (Oxford, 1992), 86-110, and Patricia Meehan, The Unnecessary War: Whitehall and the German Resistance to Hitler (London, 1992), chart attempts to enlist foreign support. Among numerous older accounts, see Harold C. Deutsch, The Conspiracy against Hitler in the Twilight War (Minneapolis, 1968), and Peter Hoffmann, Widerstand - Staatsstreich - Attentat: Der Kampf der Opposition gegen Hitler (4th edn, Munich, 1985 [1969]).
-
-121 . Attempts to argue that the opposition at this stage was driven by more fundamental principles have not met with widespread acceptance amongst historians. See Müller, ‘Militärpolitik’, for the controversy over Beck’s motives, and Rainer A. Blasius, Für Grossdeutschland - gegen den grossen Krieg: Staatssekretar Ernst Frhr. von Weizsäcker in den Krisen um die Tschechoslowakei und Polen 1938/39 (Cologne, 1981), for Weizsäcker’s motives. For Halder, see O’Neill, The German Army, 224-31.
-
-122 . Cited from the memoirs of General Weichs, in ibid., 226.
-
-123 . For the following, see the narratives in Hildebrand, Das vergangene Reich, 651-66, and Weinberg, The Foreign Policy, II. 313-464.
-
-124 Behnken (ed.), Deutschland-Berichte, V (1938), 559, 823-5; Shirer, Berlin Diary, 111; Fröhlich (ed.), Die Tagebücher, I/VI. 80-81 (10 September 1938), 95 (17 September 1938) et seq.
-
-125 . The Times, 28 September 1938. Chamberlain’s policy of appeasement has generated a vast, controversial literature. Martin Gilbert, The Roots of Appeasement (London, 1966), is an early attempt at a balanced approach; Robert A. C. Parker, Chamberlain and Appeasement: British Policy and the Coming of the Second World War (London, 1993) is a good detailed survey; Keith Robbins, Munich 1938 (London, 1968) remains the best overall account of the crisis.
-
-126 Robert A. C. Parker, Churchill and Appeasement (London, 2000), 167-89; David Reynolds, In Command of History: Churchill Fighting and Writing the Second World War (London, 2004), 91-110.
-
-127 . Kershaw, Hitler, II. 108-13; Robbins, Munich 1938, 268-80.
-
-128 Domarus (ed.), Hitler, II. 1,181-94; Shirer, Berlin Diary, 116; Robbins, Munich 1938, 288-302; Frohlich (ed.), Die Tagebücher, I/VI. 94-116 (17-27 September 1938).
-
-129 . Ibid., 119 (29 September 1938).
-
-130 . Robbins, Munich 1938, 303-19; The Times, 1 October 1938; Kershaw, Hitler, II. 113-23; also Kley, Hitler, 49-146.
-
-131 . Boberach (ed.), Meldungen, II. 72-3.
-
-132 Behnken (ed.), Deutschland-Berichte, V (1938), 367-90.
-
-133 . Ibid., 681-99.
-
-134 Ibid., 809-41.
-
-135 Frohlich (ed.), Die Tagebücher, I/VI. 65 (31 August 1938).
-
-136 Behnken (ed.), Deutschland-Berichte, V (1938), 915-18.
-
-137 . Ibid., 913-39.
-
-138 . Tagebuch Luise Solmitz, 13 September, 14 September 1938.
-
-139 . Ibid., 16 September 1938.
-
-140 . Kershaw, The ‘Hitler Myth’, 132-9.
-
-141 . Tagebuch Luise Solmitz, 1939; 30 September.
-
-142 Behnken (ed.), Deutschland-Berichte, V (1938), 944-6.
-
-143 . Ibid., 947.
-
-144 . Shirer, Berlin Diary, 117.
-
-145 . Domarus, Hitler, II. 1,245 (translation adjusted).
-
-146 . Ibid., 1,244-55 (translation adjusted).
-
-147 . Kershaw, The ‘Hitler Myth’, 123-4.
-
-148 Tampke, Czech-German Relations, 57; Volker Zimmermann, Die Sudetendeutschen im NS-Staat. Politik und Stimmung der Bevölkerung im Reichsgau Sudetenland (1938-1945) (Essen, 1999), 79-82; Peter Heumos, Die Emigration aus der Tschechoslowakei nach Westeuropa und dem Nahen Osten 1938-1945 (Munich, 1989), 15-27; Detlef Brandes et al. (eds.), Erzwungene Trennung: Vertreibungen und Aussiedlungen in und aus der Tschechoslowakei 1938-1947 im Vergleich mit Polen, Ungarn und Jugoslawien (Essen, 1999). Many refugees subsequently emigrated to Britain and other countries outside the region.
-
-149 . Tampke, Czech-German Relations, 57-9; Zimmermann, Die Sudetendeutschen , 183-209; Hayes, Industry and Ideology, 232-43; Feldman, Allianz, 302-4; Alice Teichova, ‘The Protectorate of Bohemia and Moravia (1939-1945): The Economic Dimension’, in Mikulás Teich (ed.), Bohemia in History (Cambridge, 1998), 267-305, at 267-9.
-
-150 . Hans Roos, A History of Modern Poland from the Foundation of the State in the First World War to the Present Day (London, 1966 [1961]), 154-6; Macartney and Palmer, Independent Eastern Europe, 387-8.
-
-151 Ibid., 388-9; Jörg K. Hoensch, A History of Modern Hungary 1867-1986 (London, 1988 [1984]), 131-41.
-
-152 . Macartney and Palmer, Independent Eastern Europe, 388-97.
-
-153 . Kershaw, Hitler, II. 157-68.
-
-154 . Ibid., 168-71; Macartney and Palmer, Independent Eastern Europe, 398-9; Donald Cameron Watt, How War Came: The Immediate Origins of the Second World War, 1938-1939 (London, 1989), 141-54; Hildebrand, Das vergangene Reich, 666-78; Weinberg, The Foreign Policy, II. 465-534; Frohlich (ed.), Die Tagebücher 1/6, 285-7 (15 March 1939).
-
-155 Vojtech Mastny, The Czechs under Nazi Rule: The Failure of National Resistance, 1939-42 (London, 1971), 45-64; Frohlich (ed.), Die Tagebücher, I/VI. 289 (17 March 1939).
-
-156 Teichova, ‘The Protectorate’, 274-5.
-
-157 Fröhlich (ed.), Die Tagebücher, I/VI. 125 (2 October 1928); Mastny, The Czechs, 56; Detlef Brandes, Die Tschechen unter deutschem Protektorat, I: Besatzungspolitik, Kollaboration und Widerstand im Protektorat Böhmen und Mähren bis Heydrichs Tod (Munich, 1968); idem, ‘Die Politik des Dritten Reiches gegenüber der Tschechoslowakei’, in Funke (ed.), Hitler, Deutschland und die Mächte, 508-23; idem, ‘Nationalsozialistische Tschechenpolitik im Protektorat Böhmen und Mähren’, in idem and Vaclav Kural (eds.), Der Weg in die Katastrophe: Deutsch-tschechoslowakische Beziehungen 1938-1947 (Essen, 1994), 39-56.
-
-158 . Brandes, Die Tschechen, 154-5; Mastny, The Czechs, 65-85; Teichova, ‘The Protectorate’, 277-80; David Blaazer, ‘Finance and the End of Appeasement: The Bank of England, the National Government and the Czech Gold’, Journal of Contemporary History, 40 (2005), 25-40.
-
-159 Nicholas, The Rape, 43-4; Mastny, The Czechs, 80-82.
-
-160 Details, including Goring quote (translation adjusted), in Herbert, Hitler’s Foreign Workers, 57; see ‘Sitzungsbericht zur 2. Sitzung des Reichsverteidigungsrabes’, in International Military Tribunal, XXXIII. 147-60, at 153-4.
-
-161 . Hoensch, Modern Hungary, 142-3; Macartney and Palmer, Independent Eastern Europe, 400-401.
-
-162 . Watt, How War Came, 156-7; Kershaw, Hitler, II. 175-6; see also Martin Broszat, ‘Die memeldeutschen Organisationen und der Nationalsozialismus 1933- 1939’, VfZ 5 (1957), 273-8.
-
-163 . Behnken (ed.), Deutschland-Berichte, VI (1939), 275-93; quotes on 283; Kershaw, The ‘Hitler Myth’, 139-40.
-
-164 Neville Chamberlain, The Struggle for Peace (London, 1939), 418; Frohlich (ed.), Die Tagebücher, VI/VI. 291-2 (19 March 1939).
-
-165 Anna M. Cienciala, ‘Poland in British and French Policy in 1939: Determination to Fight - or Avoid War?’, Polish Review, 34 (1989), 199-226; Watt, How War Came, 162-87; Parker, Chamberlain and Appeasement, 204-6; Simon Newman, March 1939: The British Guarantee to Poland: A Study in the Continuity of British Foreign Policy (Oxford, 1976); Philip M. H. Bell, The Origins of the Second World War in Europe (London, 1986), 250-55.
-
-166 See in general Andreas Hillgruber, Deutsche Grossmacht- und Weltpolitik im 19. und 20. Jahrhundert (Düsseldorf, 1979 [1977]), 180-97.
-
-167 Kershaw, Hitler, II. 177-90; Christian Hartmann and Sergej Slutsch, ‘Franz Halder und die Kriegsvorbereitungen im Frühjahr 1939: Eine Ansprache des Generalstabschefs des Heers’, VfZ 45 (1997), 467-95; Frohlich (ed.), Die Tagebücher, I/VI. 323 (21 April 1939); Watt, How War Came, 188-98; Domarus (ed.), Hitler, III. 1,519-96.
-
-168 . Ibid., 1,616-24.
-
-169 . Weinberg, The Foreign Policy, II. 192-248.
-
-170 . Domarus (ed.), Hitler, III. 1,633.
-
-171 . Watt, How War Came, 232-4; Joachim von Ribbentrop, The Ribbentrop Memoirs (London, 1954 [1953]), 109-15.
-
-172 . David M. Glantz, Stumbling Colossus: The Red Army on the Eve of World War (Lawrence, Kans., 1998); John Erickson, The Soviet High Command: A Military-Political History, 1918-1941 (London, 2001 [1962]).
-
-173 . Dmitri Volkogonov, Stalin: Triumph and Tragedy (London, 1995 [1989]), 357.
-
-174 . Watt, How War Came, 447-61; Kershaw, Hitler, II. 189-205; Weinberg, The Foreign Policy, II. 601-11; Fröhlich (ed.), Die Tagebücher, I/VII. 73 (23 August 1939); more detail in Anthony Read and David Fisher, The Deadly Embrace: Hitler, Stalin, and the Nazi-Soviet Pact, 1939-1941 (London, 1988); Geoffrey K. Roberts, The Unholy Alliance: Stalin’s Pact with Hitler (London, 1991), 221-6.
-
-175 . See Hans-Erich Volkmann (ed.), Das Russlandbild im Dritten Reich (Cologne, 1994).
-
-176 . Robert Service, Stalin: A Biography (London, 2004), 395-403; Roberts, The Unholy Alliance, 267-8, for the secret additional protocols.
-
-177 Weber, ‘Weisse Flecken’, 36-7; Institut fur Geschichte der Arbeiterbewegung (ed.), In den Fängen des NKWD: Deutsche Opfer des stalinistischen Terrors in der UdSSR (Berlin, 1991); Margarete Buber-Neumann, Under Two Dictators (London, 1949), 159-75.
-
-178 Peukert, Die KPD im Widerstand, 326-33.
-
-179 Kershaw, Hitler, II. 205-6; Fröhlich (ed.), Die Tagebücher, I/VII. 73 (23 August 1939).
-
-180 . Kley, Hitler, 201-24.
-
-181 Behnken (ed.), Deutschland-Berichte, VI (1939), 546-60; Kershaw, Hitler, II. 197-201; Levine, Hitler’s Free City; Rüdiger Ruhnau, Die Freie Stadt Danzig, 1919-1939 (Berg am See, 1979); Weinberg, The Foreign Policy, II. 525-627, for a wide-ranging narrative of the crisis; Albert S. Kowowski, Polens Politik gegenüber seiner deutschen Minderheit 1919-1939 (Wiesbaden, 1998); and Martin Broszat, Zweihundert Jahre deutsche Polenpolitik (Frankfurt am Main, 1972 [1963]), 173-233, for sober assessments of the condition of ethnic Germans in independent Poland; Christian Raitz von Frentz, A Lesson Forgotten: Minority Protection under the League of Nations: The Case of the German Minority in Poland, 1920-1934 (Münster, 2000), for the international dimension.
-
-182 Behnken (ed.), Deutschland-Berichte, VI (1939), 561.
-
-183 . Maschmann, Account Rendered, 58.
-
-184 Ilse McKee, Tomorrow the World (London, 1960), 27; more generally, Ian Kershaw, ‘Der Uberfall auf Polen und die öffentliche Meinung in Deutschland’, in Ernst W. Hansen et al. (eds.), Politischer Wandel, organisierter Gewalt und nationale Sicherheit: Beiträge zur neueren Geschichte Deutschlands und Frankreichs: Festschrift für Klaus-Jürgen Müller (Munich, 1995), 237-50.
-
-185 Broszat et al. (eds.), Bayern, I. 131 (Aus Monatsbericht des Bezirksamts, 30. 6. 1939); see also Kershaw, The ‘Hitler Myth’, 142.
-
-186 . Carl J. Burckhardt, Meine Danziger Mission 1937-1939 (Munich, 1960), 337-53; Watt, How War Came, 322-7, 433-40; Herbert S. Levine, ‘The Mediator: Carl J. Burckhardt’s Efforts to Avert a Second World War’, Journal of Modern History, 45 (1973), 439-53; and Paul Stauffer, Zwischen Hofmannsthal und Hitler: Carl J. Burckhardt: Facetten einer aussergewöhnlichen Existenz (Zurich, 1991).
-
-187 . Watt, How War Came, 462-78; Kershaw, Hitler, II. 211-14; for Henderson, see Neville, Appeasing Hitler.
-
-188 Domarus (ed.), Hitler, III. 1,663-7; for Hitler’s continuing hopes of British neutrality, see e.g. Fröhlich (ed.), Die Tagebücher, I/VII. 75 (24 August 1939).
-
-189 Domarus (ed.), Hitler, III. 1,668-9; Kershaw, Hitler, II. 206-10; see also Winfried Baumgart, ‘Zur Ansprache Hitlers vor den Führern der Wehrmacht am 22. August 1939. Eine quellenkritische Untersuchung’, VfZ 16 (1968), 120-49; Hermann Bohm, ‘Zur Ansprache Hitlers vor den Führern der Wehrmacht am 22. August 1939’, VfZ 19 (1971), 294-300; and Winfried Baumgart, ‘Zur Ansprache Hitlers vor den Führern der Wehrmacht am 22. August 1939: Eine Erwiderung’, VfZ 19 (1971), 301-4.
-
-190 . Gerwin Strobl, The Germanic Isle: Nazi Perceptions of Britain (Cambridge, 2000), 202-16.
-
-191 . Watt, How War Came, 479-528.
-
-192 . Kershaw, Hitler, II. 218-23; Domarus (ed.), Hitler, III. 1,700-42; Hildebrand, Das vergangene Reich, 678-704.
-
-193 . Höhne, The Order, 238-44; Jürgen Runzheimer, ‘Der Überfall auf den Sender Gleiwitz im Jahre 1939’, VfZ 10 (1962), 408-26; Watt, How War Came, 530-34; Alfred Spiess and Heiner Lichtenstein, Das Unternehmen Tannenberg: Der Anlass zum Zweiten Welturieg (Wiesbaden, 1979), 74-84, 132-5.
-
-194 . Domarus (ed.), Hitler, III. 1,744-57 (translation adjusted); military-political narrative in Horst Rohde, ‘Hitler’s First Blitzkrieg and Its Consequences for North-eastern Europe’, in Militärgeschichtliches Forschungsamt (ed.), Germany and the Second World War, II: Germany’s Initial Conquests in Europe (Oxford, 2000 [1991]), 67-150; Polish narrative in Janusz Piekalkiewicz, Polenfeldzug: Hitler und Stalin zerschlagen die Polnische Republik (Bergisch-Gladbach, 1982); detailed accounts of the final crisis in Weinberg, The Foreign Policy, II. 628-55; and Kley, Hitler, 225-320.
-
-195 . Watt, How War Came, 530-89; Frohlich (ed.), Die Tagebücher, I/VII. 82-8 (29 August-1 September 1939).
-
-196 . Parker, Churchill and Appeasement, 253-7.
-
-197 Watt, How War Came, 590-604.
-
-198 . Ibid.; Domarus (ed.), Hitler, III. 1,758-91; Frohlich (ed.), Die Tagebücher, I/VII. 90-2 (3-4 September 1939).
-
-199 Klemperer, German Resistance, 110-34.
-
-200 . Kershaw, Hitler, II. 224-30; Leonidas E. Hill (ed.), Die Weizsäcker-Papiere 1933-1950 (Frankfurt am Main, 1974), 162.
-
-201 Broszat et al. (eds.), Bayern, I. 133-4 (Aus Monatsbericht des Gendarmerie-Kreisführers, 29. 8. 1939; Aus Monatsbericht des Bezirksamts, 30. 9. 1939).
-
-202 Behnken (ed.), Deutschland-Berichte, VI (1939), 980.
-
-203 . Sywottek, Mobilmachung, 238-41; Shirer, Berlin Diary, 158-60.
-
-204 . Tagebuch Luise Solmitz, 1939: 29 August.
-
-205 . Ibid., 31 August 1939.
-
-206 . Ibid., 1 September 1939.
-
-207 . See in general Peter Fritszche, ‘Nazi Modern’, Modernism/Modernity, 3 (1996), 1-21.
-
-208 . Richard Bessel, Nazism and War (London, 2004), esp. 32-89. 209. Domarus (ed.), Hitler, III. 1,668-9.
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-
-
-
-
-
-Index
-
-Numbers in bold indicate maps.
-
-abortion
-
-Abrahamson, Ludwig
-
-Academy of Arts, Prussian
-
-Adolf Hitler Schools
-
-‘Adolf-Hitler Donation from the German Economy’
-
-Adowa, battle of (1896)
-
-advertising
-
-African-Germans
-
-After Work (Dopolavoro)
-
-agriculture ; see also farmers
-
-Agriculture, Reich Ministry of
-
-Ahaus, Westphalia
-
-air force
-
-destruction after First World War
-
-commissions Hindemith piece
-
-smoking ban
-
-creation of
-
-German government announces its existence
-
-rearmament
-
-Air Raid Protection League
-
-aircraft production
-
-Albers, Hans
-
-alcoholism, alcoholics
-
-Allianz insurance company
-
-Alsace-Lorraine
-
-Altona ‘Bloody Sunday’ (June 1932)
-
-aluminium
-
-Alvensleben, Ludolf von
-
-Amann, Max
-
-Amery, Leo
-
-Amsterdam
-
-Ancestry Proof (Ahnennachweis)
-
-Anglo-German Naval Agreement (1935)
-
-Anheisser, Siegfried
-
-anthropologists
-
-Anti-Comintern Pact
-
-anti-intellectualism
-
-antisemitism
-
-before 1914
-
-Catholic
-
-Nazi
-
-Hitler
-
-in film
-
-Zöberlein
-
-Strauss and Furtwängler
-
-Cosima Wagner’s circle
-
-Pfitzner
-
-in Weimar Republic
-
-antisemitism - cont.
-
-Protestants
-
-Confessing pastors
-
-German Christians
-
-Lenard
-
-Goebbels
-
-Göring
-
-street signs
-
-radicalization of
-
-see also Austria; Hungary; Jews; ‘Night of Broken Glass’; Poland; Romania
-
-Anti-Socialist Law (1878-90)
-
-apothecaries
-
-appeal courts
-
-appeasement
-
-architecture
-
-Arden, Elizabeth (cosmetics)
-
-Argentina, Jewish immigrants in
-
-aristocracy
-
-Aristotle
-
-army, Austrian
-
-army, German
-
-Versailles restrictions
-
-and Hitler’s 1923 putsch attempt
-
-and the Weimar Republic
-
-backs the Hitler government in 1933
-
-and the Röhm purge
-
-conscription
-
-antisemitism
-
-swears oath of obedience to Hitler
-
-expansion
-
-opposition to Hitler
-
-corruption
-
-marches into Rhineland
-
-fights in Spain
-
-marches into Austria
-
-marches into Czechoslovakia
-
-marches into Poland
-
-Arnswalde, Brandenburg
-
-Aron Works Electricity Company, Berlin
-
-Arrow Cross (Hungary)
-
-art abstract art
-
-Artamanen League
-
-artisans see also middle class
-
-Aryan Paragraph
-
-‘Aryanization’
-
-‘Aryans’
-
-‘asocials’
-
-atonal music
-
-Attack, The (newspaper)
-
-Auerbach, Saxony
-
-Augsburg, Bavaria
-
-Augspurg, Anita
-
-August Wilhelm, Prince of Prussia
-
-Australia, Jewish immigrants in
-
-Austria
-
-ethnic Germans in
-
-Hitler born in
-
-annexation of
-
-exporter to Third Reich
-
-as a source of food supplies
-
-antisemitism
-
-Austrian Nazi Party
-
-autarky
-
-Auto Union company
-
-Automobile Manufacturers, Reich Association of
-
-Aviation Ministry, Reich
-
-AWAG (Allgemeine Warenhaus Aktien-Gesellschaft (General Department Store Company))
-
-Bach, Johann Sebastian
-
-Bach-Zelewski, Erich von dem
-
-Backe, Herbert
-
-Backhaus, Wilhelm
-
-Badürkheim
-
-Bad Godesberg
-
-Bad Wiessee
-
-Baden
-
-Minister-President of
-
-Baden-Baden
-
-Baeck, Rabbi Leo
-
-balance of payments
-
-Ballerstedt, Otto
-
-Bank of England
-
-Barlach, Ernst
-
-Barth, Karl
-
-Bartók, Béla
-
-Basel
-
-Bata, shoe manufacturers
-
-‘battle for work’
-
-Battleship Potemkin (film)
-
-Baudissin, Count Klaus
-
-Bauer, Otto
-
-Bauhaus
-
-Baum, Hermann
-
-Bäumer, Gertrud
-
-Bautzen
-
-Bavaria
-
-political conservatism
-
-People’s Courts
-
-Catholic Church state subsidies cut
-
-education
-
-Entailed Farm Law
-
-Winter Aid contributions
-
-Central Office for Gypsy Affairs
-
-Interior Ministry
-
-People’s Party
-
-police
-
-Protestant Church
-
-State Paintings Collection
-
-State Prosecutor
-
-Bayer, chemical company
-
-Bayreuth
-
-Festival
-
-BBC Radio
-
-Beauty of Labour
-
-Beck, Major-General Ludwig
-
-Beckmann, Max
-
-Beecham, Sir Thomas
-
-beer-hall putsch (1923)
-
-Beethoven, Ludwig van
-
-beggars
-
-Beiersdorf, cosmetics company
-
-Belarus
-
-Belgium
-
-Benn, Gottfried
-
-Beradt, Charlotte
-
-Berchtesgaden, Bavaria
-
-Berg, Alban
-
-Bergengruen, Werner
-
-Berlin
-
-the arts in
-
-Berlin - contd.
-
-revolutionary uprisings (1918-19)
-
-Jews beaten up after March election
-
-conservatives targeted in purge
-
-Gestapo central office
-
-Philharmonic Orchestra
-
-theatre
-
-Degenerate Art exhibition
-
-new buildings
-
-Tempelhof Fields
-
-State Opera
-
-Scala theatre
-
-Italian Futurist exhibition (1934)
-
-
-
-
-
-Social Democratic and Communist stronghold
-
-University
-
-Berlin International Motor Show
-
-markets
-
-Student Union
-
-Lustgarten
-
-homosexuality
-
-Olympic Games
-
-the 1939 pogrom
-
-Tiergarten
-
-Berlin, Irving
-
-Berlin Daily News-Sheet (Berliner Tageblatt)
-
-Bernau
-
-Berne Copyright Convention
-
-Bernheimer’s carpet store, Munich
-
-Bertram, Cardinal Adolf
-
-Best, Werner
-
-Beuys, Joseph
-
-biology
-
-birth rate
-
-birth-control clinics
-
-Bismarck, Prince Otto von
-
-unification of Germany (1871)
-
-and the Catholics
-
-and the Social Democratic Party
-
-and nostalgia for strong leadership Anti-Socialist Law
-
-Hitler compared to
-
-Bizet, Georges
-
-black market
-
-Blaskowitz, General Johannes
-
-blindness
-
-Blitzkrieg (‘lightning war’)
-
-Blöcker, Otto
-
-Blomberg, General Werner von
-
-Blomberg-Fritsch scandal
-
-‘blood flag’
-
-Blum, Léon
-
-Blumenberg, Werner
-
-Bochum
-
-Bochumer Association, arms firm, Hanover
-
-Bockelson, Jan
-
-Bodelschwingh, Fritz von
-
-Boeters, Gerhard
-
-Bohemia; see also Czechoslovakia
-
-Böhme, Ernst
-
-Bohr, Niels
-
-Bolivia
-
-Bolshevism
-
-fear of
-
-see also Communist International
-
-Bonhoeffer, Dietrich
-
-Bonn
-
-University
-
-Bonsack, Heinrich
-
-book-burning
-
-Bormann, Martin
-
-anti-Christian
-
-and women in the judicial system
-
-and the Jews
-
-Born, Max
-
-Borsig, engineering works, Berlin
-
-Bosch, Carl
-
-Bose, Herbert von
-
-Bottina shoe shop
-
-Bouhler, Philipp
-
-bourgeoisie; see also middle classes
-
-Boxheim affair (1931)
-
-Brackmann, Albert
-
-Brahams, Johannes
-
-Brandenburg
-
-penitentiary
-
-Brandt, Karl
-
-Brandt, Willy
-
-Bratislava
-
-Brauchitsch, General Walther von
-
-Braun, Eva
-
-Braunau am Inn
-
-Braunschweig
-
-Brazil
-
-Brecht, Bertolt
-
-Bredow, Major-General Kurt von
-
-
-
-
-
-Breker, Arno
-
-Bremen
-
-Brenner Pass
-
-Brentano, Lujo
-
-Breslau
-
-bribery
-
-Britain
-
-rearmament
-
-global strategy
-
-foreign policy
-
-Jewish immigrants
-
-ultimatum to Germany
-
-declares war
-
-see also Chamberlain, Neville
-
-British Empire
-
-British Petroleum
-
-Brown Book of the Hitler Terror
-
-brownshirts see ‘Storm Division’
-
-Bruckner, Anton
-
-Brückner, Helmut
-
-Brückner, Wilhelm
-
-Brüning, Heinrich
-
-as Reich Chancellor
-
-leaves the country during Röhm purge
-
-rumoured to be on death-list
-
-sets up Economic Advisory Council
-
-austerity programme
-
-Buber-Neumann, Margarete
-
-Buchenwald concentration camp
-
-Buchner, Ernst
-
-Buchwitz, Otto
-
-Budapest
-
-Büdingen
-
-Bulgaria
-
-Bülow, Bernhard von
-
-buna (synthetic rubber)
-
-Bünger, Wilhelm
-
-Bürckel, Josef
-
-Burckhardt, Carl
-
-bureaucracy
-
-Burg, Hansi
-
-Burgenland
-
-Busch, Fritz
-
-business
-
-Bütefisch, Heinrich
-
-Butlin, Billy
-
-cabaret
-
-Calvinism
-
-Cameroon
-
-Canada
-
-Canaris, Admiral Wilhelm
-
-capital punishment
-
-Carinhall hunting lodge
-
-Carl Zeiss, optics firm, Jena
-
-Carol, King of Romania
-
-Carpatho-Ukraine
-
-Carsten, Francis
-
-castration
-
-Catacomb club, Berlin
-
-Catholic Action
-
-Catholic Church
-
-Bismarck and
-
-Concordat (1933)
-
-Hitler and
-
-Goebbels and
-
-Heydrich and
-
-Himmler and
-
-and murder of prominent Catholics
-
-Index of Prohibited Books
-
-alleged financial corruption
-
-Papal Encyclical (Mit brennender Sorge)
-
-accusations of homosexuality and paedophilia
-
-power and influence severely dented by 1939
-
-conservatism
-
-fear of Bolshevism and revolution
-
-and forcible sterilization
-
-and contraception
-
-power in Italy
-
-and Saarlanders
-
-in Austria
-
-Catholic community
-
-tries to integrate into the social and political system
-
-civil servants
-
-lay organizations
-
-and Klausener’s murder
-
-prosecution and imprisonment
-
-the press
-
-allegiance to the Papacy
-
-Trade Unions
-
-Gestapo and
-
-youth organizations
-
-Teachers’ League
-
-Caritas Association
-
-opposition to Nazism
-
-sympathy for the Jews
-
-and the 1939 pogrom
-
-censorship
-
-film
-
-literary
-
-theatre
-
-reduces variety of cultural life
-
-Central Agency for Jewish Emigration
-
-Central European Travel Office
-
-Central Franconia
-
-Central Institution for Jewish Economic Aid
-
-Centre Party
-
-antisemitism
-
-restriction of losses
-
-dissolved
-
-Cézanne, Paul
-
-Chagall, Marc
-
-Chamber of Architects, Reich
-
-Chamber of Deputies, Prussian
-
-Chamberlain, Houston Stewart
-
-Chamberlain, Neville
-
-Charlemagne
-
-Charlottenburg
-
-chemical industry; see also.G. Farben
-
-children
-
-Child-Rich Families, Reich League of
-
-Christianity
-
-Church Affairs, Reich Ministry for
-
-Churchill, Winston
-
-Chvalkovsky, Franzisek
-
-Ciano, Galeazzo
-
-cinema/film
-
-Cinema Law
-
-Citizenship Law
-
-civil liberties
-
-civil service
-
-job losses
-
-Catholics
-
-purged
-
-Jews in
-
-oath of allegiance to Hitler
-
-Hess’s power
-
-decline in influence and prestige
-
-and Hitler’s misuse of Hindenburg’s funds
-
-‘double earners’ fired
-
-Civil Service Law (Law for the Re-establishment of a Professional Service, 1933)
-
-club foot
-
-coal
-
-cobblers
-
-Cologne
-
-University of
-
-‘colonization’ of the East
-
-Columbia
-
-commercial vehicles
-
-Commerzbank
-
-Committee for Aid and Reconstruction
-
-Communist International (Comintern)
-
-Communist Party of Germany
-
-and the SA
-
-NovemberReichstag elections
-
-suppression of
-
-and the Social Democrats
-
-resistance and repression
-
-see also concentration camps
-
-‘community aliens’ (Gemeinschaftsfremde); see also ‘asocials’
-
-comradeship houses
-
-concentration camps
-
-map
-
-Communists in
-
-trade unionists in
-
-Social Democrats in
-
-and Public Prosecutor’s Office
-
-transfer of prisoners to
-
-an instrument of racial and social engineering
-
-increase in deaths
-
-opening of new camps
-
-labour
-
-uniforms
-
-brutality of camp life
-
-‘Marxist’ functionaries in
-
-Jehovah’s Witnesses
-
-theft of personal possessions and money
-
-Jewish prisoners with emigration papers released
-
-see also Buchenwald; Dachau; Esterwegen; Flossenbürg; Fuhlsbüttel; Lichtenburg; Mauthausen; Neuengamme; Sachsenhausen
-
-Concordat (1933)
-
-Condor Legion
-
-Confessing Church
-
-declaration of principles
-
-rejects the ‘Aryan Paragraph’
-
-creation of ‘Provisional Management of the German Evangelical Church’
-
-and the German Christians
-
-leaders under surveillance
-
-repression of
-
-supporters driven out of Dahlem
-
-refuses to comply with Kerrl’s plans
-
-and theology faculties
-
-and the 1938 pogrom
-
-conscription
-
-labour
-
-construction industry
-
-corruption
-
-Costa Rica
-
-Councils of Trust
-
-Courts of Honour
-
-Criminal Code (1871)
-
-criminals
-
-cross/crucifix symbol
-
-Cuba
-
-Cubism
-
-Culture Chamber, Reich
-
-‘cultural Bolshevism’
-
-currency
-
-Czechoslovakia
-
-exporter to Third Reich
-
-as a source of food supplies
-
-Hitler wants to annex German-speaking areas
-
-ethnic groups in
-
-compared with Austria
-
-Munich Agreement
-
-Polish and Hungarian claims
-
-Slovak independence
-
-Hácha’s agreement with Hitler
-
-German protectorate
-
-dismemberment
-
-see also Sudetenland
-
-Dachau concentration camp
-
-Dadaism
-
-Dahlem, Berlin
-
-Dahlerus, Birger
-
-Daily Telegraph
-
-Daimler-Benz
-
-Daluege, Kurt
-
-Danat Bank
-
-Dangerous Habitual Criminals, Law against (1933)
-
-Dannecker, Theodor
-
-Danzig (Gdansk)
-
-Darmstadt
-
-Darré, Richard Walther5
-
-replaces Hugenberg as Agriculture Minister
-
-‘blood and soil’ ideology
-
-view of Christianity
-
-Reich Farmers’ Leader
-
-yields to the demands of autarky
-
-Reich Entailed Farms
-
-Reich Food Estate
-
-Director of Himmler’s Head Office for Race and Settlement
-
-David, Hans Walter
-
-Day of National Labour
-
-Day of National Solidarity
-
-Day of Potsdam (21 March 1933)
-
-deafness, hereditary
-
-death penalty see capital punishment
-
-Debussy, Claude
-
-Defence Council, Reich
-
-Defence Law
-
-degeneracy
-
-Degenerate Art exhibition
-
-Degenerate Music exhibition
-
-Degenhardt, Carl
-
-Degussa chemical company
-
-Delbrück, Hans
-
-Denmark
-
-denunciations
-
-department stores
-
-Depression (1929-33)
-
-Deutsche Bank
-
-Dickens, Charles
-
-Diels, Rudolf
-
-Dietrich, Marlene
-
-Dietrich, Otto
-
-Dietrich, Sepp
-
-Dimitrov, Georgi
-
-Dirks, Walter
-
-Disney, Roy
-
-Disney, Walt
-
-District Leaders (Kreisleiter)
-
-Ditzen, Rudolf (Hans Fallada)
-
-divorce
-
-Dix, Otto
-
-Dmowski, Roman
-
-Doctor Mabuse (The Gambler) (film)
-
-doctors
-
-Dollfuss, Engelbert
-
-Domagk, Gerhard
-
-domestic service
-
-Dominican Republic
-
-Donat, Wolfgang
-
-Donop, Lippe
-
-Dresden
-
-Dresdner Bank
-
-drug companies
-
-Duisburg
-
-Durango, Spain
-
-Düsseldorf
-
-Gestapo office
-
-Theatre
-
-Degenerate Art exhibition
-
-
-
-
-
-Reich Music Festival (1938)
-
-Special Court
-
-1938 pogrom
-
-Duty of Service, Decree of
-
-East Friesia
-
-East Prussia
-
-
-
-
-
-East-Central Europe
-
-ethnic Germans in, 1937
-
-Eberlein, Hugo
-
-Ebermannstadt, Bavaria
-
-Eberstein, Karl, Baron von
-
-Ebert, Friedrich
-
-Eckell, Johannes
-
-Economics, Reich Ministry of
-
-economy; see also ‘Aryanization’; Four-Year Plan
-
-Ecuador
-
-Eden, Anthony
-
-Editors’ Law
-
-education
-
-religious
-
-Nazification of
-
-antisemitism
-
-textbooks
-
-teachers
-
-political
-
-physical
-
-class sizes
-
-Nazi elite schools
-
-Adolf Hitler Schools
-
-Order Castles
-
-sports
-
-higher
-
-female
-
-medical
-
-see also universities
-
-Education, Reich Ministry of
-
-Eggers, Kurt
-
-Egk, Werner
-
-Eglfing-Haar asylum
-
-Eher Publishing House
-
-Ehrhardt, Captain Hermann
-
-Eichberg asylum
-
-Eichenauer, Richard
-
-Eichengrun, Sally
-
-Eichmann, Adolf
-
-Eicke, Theodor
-
-Einstein, Albert
-
-Eisenach prison, Thuringia
-
-Eisenstein, Sergei
-
-Elberfeld
-
-elections
-
-high turnout rates
-
-liberal centre and moderate left losses (mid-1920s)
-
-Reichstag (1928)
-
-Reichstag (1930)
-
-Reichstag (November 1932)
-
-Reichstag (July 1932)
-
-Reichstag (March 1933)
-
-Reichstag (March 1936)
-
-Reichstag (November 1933)
-
-Church (November 1932)
-
-Church (July 1933)
-
-local
-
-see also plebiscites
-
-Ellerhusen, Paul
-
-Eltz-Rubenach, Peter Baron von
-
-embezzlement
-
-Emergency Association of German Science (later the German Research Community)
-
-emergency relief schemes
-
-emigration
-
-of Jews
-
-of university staff
-
-of artists
-
-Emsland, North Germany
-
-Empires, European
-
-Enabling Act (1933)
-
-Endeks
-
-Engels, Friedrich
-
-engineering
-
-Entailed Farms
-
-epilepsy, hereditary
-
-Erbach, Willi
-
-Erfurt
-
-Essen
-
-Esslingen, Württemberg
-
-Esterwegen concentration camp
-
-Estonia
-
-Ethiopian War
-
-Ettighofer, Paul Coelestin
-
-eugenics, eugenicists
-
-Evangelical Church
-
-politically conservative
-
-Inner Mission
-
-attempts to Nazify
-
-and stormtroopers’ uniformed presence at services
-
-co-ordination of
-
-existing officials replaced with German Christians
-
-and German Democratic Republic
-
-conflict between German Christians and Confessing Church
-
-dominated by German Christians in North Germany
-
-adopts the Aryan Paragraph
-
-loss of power and influence by 1939
-
-fear of Bolshevism and revolution
-
-and welfare institutions
-
-see also Confessing Church; German Christians
-
-Evian conference (1938)
-
-exports
-
-Expressionism
-
-Falkenburg Castle, Crossinsee, Pomerania
-
-Falkenstein
-
-Fallada, Hans see Ditzen, Rudolf
-
-family
-
-family assistants
-
-farmers
-
-Nazi Party members
-
-and traditional Church festivals
-
-Darré’s vision
-
-price controls inheritance laws
-
-Reich entailed farms
-
-see also agriculture; Entailed Farms, Food Estate
-
-Farmers’ Leaders
-
-Farmsen
-
-Fascism (Italian)
-
-Faulhaber, Cardinal Michael
-
-Feder, Gottfried
-
-feeble-mindedness
-
-Feidler’s stocking shop
-
-feminist movement
-
-Feuchtwanger, Lion
-
-Fey, Major Emil
-
-Fiehler, Gerhard
-
-Fighting League for German Culture
-
-Fighting League of German Architects and Engineers
-
-film see cinema
-
-Film Chamber, Reich
-
-Film Credit Bank
-
-Film-Courier magazine
-
-Finck, Wilhelm
-
-Finland
-
-First World War
-
-‘spirit of 1914’
-
-Germany’s defeat
-
-Remarque’s and Ettighofer’s views of
-
-Germany’s Protestant clergy
-
-Allied blockade of Germany
-
-‘stab-in-the-back’
-
-fighting unity and commitment of the front
-
-Jews portrayed as the enemy
-
-propaganda claims
-
-fishing industry
-
-Flechtheim, Alfred
-
-Flick, Friedrich
-
-Flossenbürg concentration camp
-
-folk music
-
-Folkwang Museum, Essen
-
-Food Estate, Reich
-
-food supplies
-
-forced labour
-
-Ford Motor Corporation
-
-foreign debt
-
-foreign exchange reserves
-
-Foreign Ministry, Reich ; see also Neurath; Ribbentro p foreign travel
-
-Forester, Cecil Scott
-
-forestry
-
-Forster, Albert
-
-Four-Year Plan
-
-Fox Talking Weekly Review
-
-Fraenkel, Ernst
-
-France
-
-German loss of territory to
-
-Hitler alleges government plot with Röhm
-
-Impressionists
-
-treatment of Catholic priests by German troops (1870s)
-
-wrests control of education from the clergy
-
-occupation of the Rhineland
-
-pronatalist propaganda
-
-restrictions on employment of foreign workers
-
-antisemitism
-
-ethnic Germans in
-
-reluctance to prepare for war
-
-Communist Party
-
-ultimatum to Germany
-
-Franciscans
-
-Franco, General Francisco
-
-Franco-Soviet Pact
-
-Franconia
-
-Frank, Hans
-
-Frank, Karl Hermann
-
-Frank, Walter
-
-Frankfurt am Main
-
-Frankfurt Newspaper (Frankfurter Zeitung)
-
-Frankfurter, David
-
-Frederick the Great, King of Prussia
-
-Free Corps
-
-Freemasonry
-
-Freiberg, Saxony
-
-Freudenberg, Carl
-
-Freusberg
-
-Frick, Wilhelm
-
-Frie, Karl
-
-Friedrich Wilhelm, Crown Prince
-
-Friedrichshain, Berlin
-
-Friedrichstadt
-
-Fritsch, General Werner von
-
-Fuhlsbüttel concentration camp
-
-Fühlsbüttel prison
-
-Funk, Walther
-
-Fürstenwalde
-
-Furtwängler, Wilhelm
-
-Galen, Clemens von, Bishop of Münster
-
-Galerie Fischer, Lucerne
-
-Garbo, Greta
-
-Garmisch-Partenkirchen (Winter Olympic Games, 1936)
-
-Gather, Wilhelm
-
-Gauguin, Paul
-
-Gebensleben, Eberhard
-
-Gebensleben, Elisabeth
-
-Gebensleben, Friedrich Karl
-
-Gebensleben, Irmgard
-
-Gedye, George
-
-Geigy
-
-General Motors
-
-Geneva
-
-geography teaching
-
-George, King of Great Britain
-
-Gera
-
-Gereke, Günter
-
-Gerlich, Fritz
-
-German Blood, Declaration of
-
-German Blood and German Honour, Law for the Protection of
-
-German Book Week
-
-‘German chemistry’
-
-German Christians
-
-sweeping victory in Church elections (23 July 1933)
-
-failure
-
-and the Confessing Church
-
-antisemitism
-
-and theology faculties
-
-and welfare institutions
-
-German Conservative Party
-
-German Criminal Code
-
-German Democratic Republic
-
-German Earth- and Stoneworks Company
-
-German Educationalists’ Community
-
-
-
-
-
-German Faith Movement
-
-German Fashion Institute
-
-German Folklore
-
-German Gold Discount Bank
-
-‘German greeting’
-
-German Institute for Business Research
-
-German Labour Front
-
-and Block Wardens
-
-and denunciations
-
-takeover of trade unions
-
-and the Reich Food Estate
-
-and female workers
-
-and small workshops
-
-and pharmacists
-
-Ley appointed to lead
-
-internal structures
-
-and the Italian Fascist model
-
-corruption
-
-wages
-
-and welfare
-
-and women’s welfare
-
-and The Stormer
-
-and Austria
-
-see also Strength Through Joy
-
-German language
-
-‘German mathematics’
-
-German Medical Association
-
-German Music Critics’ Association
-
-German National Healers’ Union
-
-German National Prize for Art and Science
-
-German News Office
-
-German Nobles’ Union (Deutsche Adelsgenossenschaft)
-
-German Officers’ League
-
-German People’s Party
-
-German Prize for Art and Science
-
-German Publishing Institution
-
-German Research Community
-
-German Revolution (1918-19)
-
-German Students’ League
-
-German Students’ Union
-
-German Teachers’ Paper (Allgemeine Deutsche Lehrerzeitung)
-
-German Women’s Bureau
-
-Gershwin, George
-
-Gestapo (Geheime Staatspolizei; Secret State Police)
-
-early history
-
-and Social Democrats
-
-and Communists
-
-arrest of prisoners on release from custody
-
-interrogation by
-
-nationwide series of raids (April 1938)
-
-Müller heads
-
-and denunciations
-
-and the press
-
-raids of libraries and bookshops
-
-closes down art exhibition
-
-and music
-
-and the Catholics
-
-and Jehovah’s Witnesses
-
-and student unrest
-
-and Thyssen
-
-and Strength Through Joy
-
-on the shop-floor
-
-and African-Germans
-
-and homosexuality
-
-and mixed marriages
-
-and Austria
-
-and Czechoslovakia
-
-Giessen, University of
-
-Girmann, Ernst
-
-Glass, Fridolin
-
-Gleiwitz, Upper Silesia
-
-Globke, Hans
-
-Globocnik, Odilo
-
-Glogau
-
-Goebbels, Magda
-
-Goebbels, Paul Joseph
-
-propagandist
-
-and the Reichstag fire
-
-heads Propaganda Ministry
-
-complains about Papen
-
-Röhm purge
-
-and capital punishment
-
-and cultural revolution
-
-Nuremberg propaganda
-
-and Triumph of the Will
-
-reviews SA-Man Brand
-
-and Mickey Mouse films
-
-gains control of film industry
-
-and radio
-
-and Rosenberg
-
-and Reich Culture Chamber
-
-and the press
-
-and Ditzen’s books
-
-and the theatre
-
-and Barlach
-
-and Breker
-
-bans art criticism
-
-and Speer
-
-new house on the Wannsee
-
-and Strauss
-
-and Reich Music Chamber
-
-and Furtwängler
-
-and Bayreuth
-
-and music
-
-on art and politics
-
-efforts to make propaganda interesting
-
-and refractory pastors
-
-and the Catholics
-
-religious beliefs
-
-his paper, The Attack
-
-on women
-
-earnings
-
-treatment of Finck
-
-antisemitism
-
-and Muchow
-
-and tourism
-
-Winter Aid
-
-and Hilgenfeldt
-
-club foot
-
-Mother’s Day
-
-and 1938 pogrom
-
-and expropriation of the Jews
-
-plays a trick on Hanfstaengl
-
-and Austria
-
-and Czechoslovakia
-
-on ‘war psychosis’ of the population
-
-hate campaign against Poland
-
-Goerdeler, Carl
-
-Goethe, Johann Wolfgang von
-
-Gold Standard
-
-Goring, Hermann
-
-man of action
-
-appointed Prussian Minister of the Interior
-
-Minister without Portfolio
-
-hands over control of Prussian political police
-
-Röhm purge
-
-made Hitler’s deputy and successor
-
-establishes Gestapo
-
-and Dimitrov’s trial
-
-and Furtwangler
-
-and Catholics
-
-and Darré
-
-and Schmitt
-
-and the Four-Year Plan
-
-as head of the air force
-
-bugging and telephone tapping of industrialists
-
-properties, artworks and other assets
-
-taste for uniforms and titles
-
-antisemitism
-
-Duke and Duchess of Windsor
-
-Decree on the Duty of Service
-
-and African-Germans
-
-and Austria
-
-and Czechoslovakia
-
-brokers Munich conference behind Hitler’s back
-
-tries to avoid conflict with the British
-
-Görlitz
-
-Gotha
-
-Göttingen
-
-Göttingen Daily News-Sheet (Göttinger Tageblatt)
-
-Graener, Paul
-
-Grashof, Otto
-
-Great German Art Exhibition (Munich, 1937)
-
-Greater Germany (Grossdeutschland)
-
-Greece
-
-Greenwood, Arthur
-
-Gregor, Joseph
-
-Gröber, Archbishop Konrad
-
-Gross, Walter
-
-Grosz, George
-
-Gruhn, Margarethe
-
-Gründgens, Gustav
-
-Grünewald, Matthias
-
-Grynszpan, Herschel
-
-Guenther, Peter
-
-Guernica
-
-guilds
-
-Guatemala
-
-Gulbranssen, Trygve
-
-Gumbel, Emil Julius
-
-Gunzenhausen, Franconia
-
-Gurtner, Reich Justice Minister Franz
-
-Gustloff, Wilhelm
-
-Gypsies
-
-Haavara Transfer Agreement (1933)
-
-Haberstock, Karl
-
-Habicht, Theo
-
-Habitual Criminals Law (1933)
-
-Habsburg Monarchy
-
-Hácha, Emil
-
-Haeften, Hans-Bernd von
-
-Haffner, Sebastian see Pretzel, Raimund
-
-Hahn, Otto
-
-Haile Selassie, Emperor of Ethiopia
-
-Halder, General Franz
-
-Halifax, Lord
-
-Halle-Merseburg
-
-Haller, Johannes
-
-Hamburg
-
-police
-
-Gestapo headquarters
-
-proposed suspension bridge
-
-Hitler Youth
-
-comradeship houses
-
-labour exchange
-
-action against Jewish businesses
-
-Chamber of Commerce
-
-Foreign Currency Search Office
-
-Regional Finance Office
-
-Aryanization Department
-
-closing of Jewish shops
-
-Beiersdorf company
-
-Electricity Works
-
-Sickness Fund
-
-creation of Greater Hamburg
-
-Regional Court
-
-and 1938 pogrom
-
-Hamburg-America Shipping Line
-
-Hammerstein, General Kurt von
-
-Hamsun, Knut
-
-Handel, Georg Friedrich
-
-Hanfstaengl, Eberhard
-
-Hanfstaengl, Ernst ‘Putzi’
-
-Hanover
-
-Hans Westmar: One of Many (film)
-
-Hanselbauer Hotel, Bad Wiessee
-
-Harbou, Thea von
-
-Harlan, Veit
-
-Hartmann, Karl Amadeus
-
-Harvest Thanksgiving Festival
-
-Hassell, Ulrich von
-
-Haupt, Joachim
-
-Hauptmann, Gerhart
-
-Health Office, Reich
-
-Heckel, Erich
-
-Heckert, Fritz
-
-Heidegger, Martin
-
-Heidelberg University
-
-Heine, Heinrich
-
-Heines, Edmund
-
-Heinkel, Ernst
-
-Heisenberg, Werner
-
-Heissmeyer, August
-
-Helldorf, Wolf Heinrich, Count
-
-Henderson, Sir Nevile
-
-Henkel company
-
-Henkell, Annelies
-
-Henlein, Konrad
-
-Hereditarily Diseased Offspring, Law for the Prevention of
-
-Hereditary Health of the German People, Law for the Protection of the (1935)
-
-hereditary theory of disease
-
-Hereditary Health Courts
-
-Hermann-Göring-Works, Linz
-
-Herrenclub, Berlin
-
-Hertie department stores
-
-Hertz, Gustav
-
-Hertz, Heinrich
-
-Hess, Rudolf
-
-Hitler dictates My Struggle to
-
-joins the cabinet
-
-warns against revolutionary agitation
-
-offers to shoot the Rohm traitors
-
-laws and decrees proposed by Reich Ministries
-
-and theservice
-
-his powers increasingly used by Bormann
-
-and the judiciary
-
-at Nuremberg Rally
-
-Office of the Leader’s Deputy
-
-and department stores
-
-and the Factory Cell Organization
-
-wages issue
-
-and mixed marriages
-
-and the Citizenship Law
-
-and the 1938 pogrom
-
-Hesse
-
-Heydebreck, Max
-
-Heydrich, Reinhard
-
-head of SS Security Service
-
-and Rohm’s overthrow
-
-feared and disliked
-
-background and early career
-
-put in charge of Gestapo
-
-on the judicial system
-
-and Criminal Police raids
-
-enrols Muller in the Security Service
-
-and denunciations
-
-and the Catholic Church
-
-and Foreign Currency Search Office
-
-and 1938 pogrom
-
-and Jewish emigration
-
-and the Fritsch affair
-
-and Austria
-
-provides pretext for invasion of Poland
-
-Heymann, Lida Gustava
-
-High Command of the Armed Forces
-
-Higher Education Commission of the Nazi Party
-
-Hilgenfeldt, Erich
-
-Himmler, Heinrich
-
-centralizes police apparatus in his own hands
-
-and Röhm’s murder
-
-builds up the SS
-
-establishes Security Service
-
-replaces Diels as head of Gestapo
-
-made Chief of the German Police
-
-appoints Eicke to run Dachau
-
-secures immunity from prosecution for concentration camp staff
-
-and the Gestapo
-
-at Nuremberg Rally
-
-and the Catholics
-
-and Darré
-
-plans for the SS
-
-and Jehovah’s Witnesses
-
-Himmler, Heinrich - contd.
-
-Hitler Youth police force
-
-orders students to help with the harvest
-
-and Heisenberg
-
-and history
-
-and the aristocracy
-
-and Fritz Lenz
-
-and breeding a future master-race
-
-and Gypsies
-
-and homosexuality
-
-and annexation of Austria
-
-Hindemith, Paul
-
-Hindenburg, Paul von
-
-a staunch monarchist
-
-powers
-
-appoints cabinet of experts under Brüning
-
-re-election (1932)
-
-appoints Hitler as Chancellor
-
-emergency decree after the Reichstag fire
-
-and Jewish war veterans
-
-enforces Fritsch’s appointment
-
-ill-health
-
-retires to his estate
-
-wants brownshirts brought to heel
-
-and Papen
-
-and Röhm purge
-
-death
-
-death penalty decree
-
-Hitler’s misuse of his official funds
-
-socializes with Prussian landed aristocrats
-
-Hinkel, Hans
-
-Hinterstocker (village treasurer)
-
-Hirschberg
-
-Historical Journal (Historische Zeitschrift)
-
-history
-
-in education
-
-and liberalism
-
-History of the New Germany, Reich Institute for the
-
-Hitler, Adolf
-
-birth (1889)
-
-failed artist
-
-putsch attempt (1923)
-
-imprisoned (1924)
-
-antisemitism
-
-idea of racial conquest of Eastern Europe
-
-appointment as Chancellor
-
-assurances to the German army
-
-starts to bypass the cabinet
-
-cult of
-
-Rohm purge
-
-merges offices of President and Chancellor
-
-Head of State
-
-contempt for state and law
-
-poverty and unemployment before the First World War
-
-birthday celebrations
-
-radio broadcasts
-
-bans German citizens from receiving Nobel prizes
-
-and Breker
-
-and National Gallery directors
-
-and Speer
-
-plans for Berlin
-
-passion for Wagner
-
-speeches on art and mass culture
-
-and the arts
-
-and ‘Reich Church’
-
-and Ministry for Church Affairs
-
-and Niemoller
-
-and the Catholic Church
-
-faith in science as the basis for action
-
-and the universities
-
-attitude to intellectuals
-
-praises German military prowess and great national heroes
-
-and motorways
-
-and unemployment
-
-on women
-
-rearmament
-
-‘living-space’
-
-and Schacht
-
-on the aim of German foreign policy
-
-plans for a general European war
-
-source of funds
-
-and ‘one-pot Sunday’
-
-portrays himself as a man of the people
-
-and Haavara Transfer Agreement
-
-and the Olympic Games
-
-unleashes the 1938 pogrom after vom Rath’s death
-
-orders stopping of the pogrom
-
-first threatens Jewish annihilation
-
-working habits
-
-visits Mussolini (June 1934)
-
-on the Saarlanders’ decision
-
-Blomberg-Fritsch affair
-
-health concerns
-
-Vienna speech (15 March 1938)
-
-plot against him (1938)
-
-first meets Chamberlain
-
-fails to secure Anglo-French neutrality
-
-Reichstag speech on invasion of Poland
-
-increasingly unshakeable faith in himself
-
-My Struggle
-
-Hitler Youth Quex (film)
-
-Hitler Youth
-
-Hlinka Guard
-
-Hoegner, Wilhelm
-
-Hoffmann, Heinrich
-
-Hofmannsthal, Hugo von
-
-Hohberg und Buchwald, Anton, Baron von
-
-Hohenzollern family
-
-Hohner, Ernst
-
-Hohner company
-
-Holland
-
-Holy Roman Empire
-
-Home Defence Brigades (Austria)
-
-Home Office (UK)
-
-homosexuality
-
-Homosexuality and Abortion, Reich Central Office for the Combating of
-
-Honiok, Franz
-
-horse-riding associations
-
-Horst Wessel Song
-
-Horten, Helmut
-
-Horthy, Admiral Miklós
-
-Hoss, Rudolf
-
-Hossbach, Colonel Friedrich
-
-Hotel Blum, Oberhof
-
-Hotel Dreesen, Bad Godesberg
-
-Hotel Kaiserhof, Berlin
-
-Hoteliers and Innkeepers, Reich Association of German
-
-House of Commons
-
-House of German Art, Munich
-
-housing
-
-Hradschin Castle, Prague
-
-Huber, Ernst Rudolf
-
-Hugenberg, Alfred
-
-Hungary
-
-hunting
-
-Huntingdon’s chorea
-
-hyperinflation
-
-Idinger, Ignaz
-
-I.G. Farben
-
-illegitimacy
-
-Imperial Institute of Physics and Technology
-
-imports
-
-Individual Trade, Law for the Protection of
-
-industry
-
-and unionized labour
-
-job losses
-
-funds Nazi propaganda
-
-investment
-
-industrial relations
-
-see also under individual firms
-
-Industry, Reich Association of German
-
-infant mortality
-
-inflation
-
-inheritance laws
-
-Innitzer, Cardinal Theodor
-
-insanity
-
-Institutes for Racial Studies
-
-insurance; see also Allianz
-
-Insurance, Reich Association for Private
-
-intelligence tests
-
-Interior, Prussian Ministry of
-
-Interior, Reich Ministry of the
-
-International Brigade
-
-International Socialist Fighting League
-
-investment
-
-iron
-
-Iron Guard
-
-Istanbul
-
-Italy
-
-Church-state struggle
-
-Corporate State
-
-exporter to Third Reich
-
-seasonal workers in Germany
-
-tourism
-
-family policy
-
-Hitler wants to annex German-speaking areas
-
-imperialism
-
-Jager, August
-
-Jannings, Emil
-
-Japan
-
-Jawlensky, Alexei
-
-jazz
-
-Jehovah’s Witnesses
-
-Jellinek, Walter
-
-Jena University
-
-Jesuits
-
-Jewish Assets, Decree on the Utilization of (1938)
-
-Jewish Culture League
-
-Jews
-
-population
-
-in German society and culture
-
-civil servants
-
-war veterans
-
-synagogues
-
-boycott of businesses
-
-scientists
-
-emigration
-
-
-
-
-
-murders during Röhm purge
-
-writers
-
-excluded from the theatre
-
-artists
-
-architects
-
-musicians
-
-pressure to dismiss Jews from Church employment
-
-converts to Christianity
-
-Niemoller on
-
-and German education
-
-
-
-
-
-and the Hitler Youth
-
-doctors
-
-and Bolshevism
-
-attacks on Jewish firms
-
-as scapegoats
-
-and Winter Aid
-
-abortion for Jewish women
-
-fashion designers
-
-removal of citizenship
-
-mixed marriages
-
-racial classification
-
-Reich Representation of German Jews
-
-charities
-
-Russian
-
-segregation
-
-1938 pogrom
-
-
-
-
-
-expropriation of
-
-Reich Association of Jews in Germany
-
-forced labour
-
-Reich Centre for Jewish Emigration
-
-Polish
-
-Hungarian
-
-Romanian
-
-see also antisemitism; ‘Aryanization’
-
-job creation
-
-Johst, Hanns
-
-journalism
-
-judiciary
-
-Jung, Edgar
-
-Junger, Ernst
-
-Junkers; see also aristocracy
-
-Junkers, Hugo
-
-Justi, Ludwig
-
-Justice, Prussian Ministry of
-
-Justice, Reich Ministry of
-
-Kaas, Prelate Ludwig
-
-KaDeWe (Kaufhaus des Westens (Department Store of the West)), Berlin
-
-Kahr, Gustav Ritter von
-
-Kaiser Wilhelm Society
-
-Kaltenbrunner, Ernst
-
-Kandinsky, Vassily
-
-Kapos
-
-Kapp putsch (1920)
-
-Karl, Anton
-
-Karl Marx School, Neukolln, Berlin
-
-Karlsbad
-
-Karlsruhe
-
-Kassel
-
-Kaufbeuren-Irsee asylum
-
-Kaufhof
-
-Kaufmann, Karl
-
-Kayser, Albert
-
-Keitel, General Wilhelm
-
-Kempka, Erich
-
-Keppler, Wilhelm
-
-Kerrl, Hanns
-
-Kessler, Count Harry
-
-Ketteler, Wilhelm von
-
-Kiel
-
-Kiel University
-
-Kirchner, Ernst Ludwig
-
-Kirov, Sergei
-
-Kladno
-
-Klausener, Erich
-
-Klee, Paul
-
-Kleiber, Erich
-
-Klemperer, Eva
-
-Klemperer, Georg
-
-Klemperer, Otto
-
-Klemperer, Victor
-
-Klepper, Jochen
-
-Klinke, Hans Peter
-
-Klotz, Clemens
-
-Klug, Ulrich
-
-Koblenz
-
-Koch, Karl
-
-Köhler, Walter
-
-Kohrt, Wilhelmina
-
-Kokoschka, Oskar
-
-Konigsberg
-
-Konstanz
-
-Köpenick blood-week (June 1933)
-
-Korle, Hesse
-
-Kovno (Kaunas)
-
-Kranz, Heinrich Wilhelm
-
-Krauch, Carl
-
-Krause, Reinhold
-
-Krebs, Richard
-
-Kreditanstalt
-
-Krefeld
-
-Kenek, Ernst
-
-Kreuzberg, Berlin
-
-Krieck, Ernst
-
-Krieger, Hannelore
-
-Kröger, Theodor
-
-Kroll Opera House
-
-Krüger, Hardy
-
-Krupp engineering factory, Essen
-
-Krupp von Bohlen und Halbach, Gustav
-
-Krupp family
-
-Kun, Bela
-
-Kurzweil, Moses
-
-Labour, Reich Ministry of
-
-Labour Exchange and Unemployment Insurance, Institute for
-
-labour exchanges
-
-Labour Front see German Labour Front
-
-labour movement
-
-Labour Service
-
-labour supply
-
-Lake Constance
-
-Lalleri see Gypsies
-
-Lammers, Hans-Heinrich
-
-land reform
-
-Landsberg
-
-Lang, Fritz
-
-Langenpreising
-
-Last Command, The (film)
-
-Latvia
-
-law, lawyers
-
-leadership principle
-
-Leadership School of German Physicians
-
-League for the Advancement of Self-Help for the Physically Handicapped
-
-League of German Girls
-
-League of Nations
-
-Leander, Zarah
-
-Lebensborn (Well of Life)
-
-Leipzig
-
-Leipzig Gewandhaus Orchestra
-
-Lenard, Philipp
-
-Lenin, Vladmir Ilyich
-
-Lenz, Fritz
-
-Leoncavallo, Ruggero
-
-Leonding
-
-lesbians
-
-Lessing, Gotthold Ephraim
-
-Leverkusen
-
-Levi, Hermann
-
-Ley, Robert
-
-childhood
-
-leads the German Labour Front
-
-disdain for Christianity
-
-Adolf Hitler Schools
-
-and Darré
-
-and Speer
-
-war service
-
-education
-
-and Hitler
-
-runs the West German Observer
-
-lifestyle
-
-and Duke and Duchess of Windsor
-
-and Strength Through Joy
-
-and Hilgenfeldt
-
-Libya
-
-Lichtenberg, Provost Bernhard
-
-Lichtenburg concentration camp
-
-Liebermann, Max
-
-Liebknecht, Karl
-
-Liechtenstein
-
-Lindgens, Arthur
-
-Linz
-
-Lippe
-
-Literary Chamber, Reich
-
-literature
-
-Lithuania
-
-Litvinov, Maxim
-
-living-space
-
-Local Government Law, Reich (1935)
-
-local governments
-
-Locarno Pact (1925)
-
-Lochner, Louis
-
-Loewenheim, Walter
-
-London Philharmonic Orchestra
-
-Loos, Theodor
-
-Löwenherz, Josef
-
-Lübeck
-
-Lucerne
-
-Luckau prison
-
-Ludendorff, General Erich
-
-Ludwig, Alfred
-
-Lufthansa
-
-Lüneburg
-
-Luther, Hans
-
-Luther, Martin
-
-Lutherans
-
-Lutze, Viktor
-
-Luxembourg
-
-Luxemburg, Rosa
-
-M (film)
-
-Macke, August
-
-Mad Doctor, The (Disney cartoon)
-
-Madagascar
-
-Madeira
-
-Madrid
-
-Magdeburg
-
-Mahler, Gustav
-
-Maillol, Aristide
-
-Malicious Gossip Law
-
-Manderbach, Richard
-
-Mann, Heinrich
-
-Mann, Klaus
-
-Mann, Thomas
-
-Mannesmann
-
-manual workers, Nazi Party members
-
-Marburg
-
-Marc, Franz
-
-Marienburg Castle
-
-marriage
-
-mixed
-
-mass simultaneous weddings of brownshirts
-
-‘racially undesirable’
-
-postponed
-
-Gypsies
-
-Marriage Law (1938)
-
-marriage loans
-
-martial law
-
-Marx, Karl
-
-Marxism/Marxists
-
-Marzahn, Berlin
-
-Maschmann, Melita
-
-maternity homes
-
-mathematics
-
-Matisse, Henri
-
-Mauser rifle factory
-
-Mauthausen concentration camp
-
-May, Karl
-
-Mayday (‘Day of National Labour’)
-
-Mayer, Albert
-
-Mayer, Helene
-
-Mayer, Moritz
-
-Mayer, Paul
-
-Mayer, Rupert
-
-Mayer and Son, Offenbach
-
-Mayer-Quade, Joachim
-
-mayors
-
-Mecklenburg
-
-medicine
-
-Mefo bills
-
-Meier, Julius
-
-Meiser, Bishop Hans
-
-Meissner, State Secretary Otto
-
-
-
-
-
-Meitner, Lise
-
-Memel
-
-Mendelssohn, Felix
-
-Mensheviks
-
-mental hospitals
-
-mentally handicapped
-
-Meppen
-
-Mergenthaler, Christian
-
-Messerschmidt, Wilhelm
-
-metal industry
-
-Metallurgical Research Institute
-
-metalworking industry
-
-Metzger, Edmund
-
-Metropolis (film)
-
-Metternich, Count Clemens Wenzel Lothar
-
-Metzingen
-
-Mexico
-
-Michelangelo
-
-Mickey Mouse
-
-middle class
-
-votes
-
-fear of Communism
-
-reaction to Röhm murders
-
-views on art
-
-religious attitudes
-
-artisans and small shopkeepers (Mittelstand)
-
-white-collar workers and salaried employees (new Mittelstand)
-
-nationalism
-
-see also business;Service
-
-Mies van der Rohe, Ludwig
-
-Mietraching, Bavaria
-
-Miklas, Wilhelm
-
-Milch, Erhard
-
-Mirre, Ludwig
-
-Moabit state prison, Berlin
-
-modernism
-
-modernity, Nazi
-
-Modigliani, Amadeo
-
-Molotov, Vyacheslav
-
-Moravia
-
-Mosse family
-
-Mother’s Day
-
-Mother’s Honour Crosses
-
-Mothers’ Service, Reich
-
-motor cars
-
-motor industry
-
-motorways
-
-Mozart, Wolfgang Amadeus
-
-Muchow, Reinhard
-
-Müller, Ernst
-
-Müller, Heinrich
-
-Müller, Karl Alexander von
-
-Müller, Reich Bishop Ludwig
-
-Müller, Wilhelm
-
-Munch, Edvard
-
-Munich
-
-Communist and far-left revolutionary uprisings (1918-19)
-
-stormtroopers demonstrate
-
-SA targeted in purge
-
-Social Democrat groups in
-
-Special Court
-
-theatre
-
-Degenerate Art exhibition (1937)
-
-Konigsplatz
-
-Frauenkirche
-
-Michaeliskirche
-
-university
-
-town hall
-
-Munich - contd.
-
-boycott of Jewish firms
-
-Chamber of Commerce and Industry
-
-Chamberlain’s first meeting with Hitler
-
-Munich Agreement (1938)
-
-Münster
-
-music
-
-Jewish musicians
-
-
-
-
-
-radio
-
-classical
-
-control of musical events and institutions
-
-jazz
-
-swing
-
-folk music
-
-and Strength Through Joy
-
-Music Censorship Office, Reich
-
-
-
-
-
-Music Chamber, Reich
-
-Music Festival, Reich (Düsseldorf, 1938)
-
-Musical Jews A-B-C
-
-musicals
-
-Mussolini, Benito
-
-‘March on Rome’ (1923)
-
-and racial engineering
-
-Hitler visits (June 1934)
-
-invades Abyssinia
-
-and Göring’s ambitions in Austria
-
-and Germany’s invasion of Poland
-
-Mutschmann, Martin
-
-Napoleon Bonaparte
-
-National Gallery, Berlin
-
-National Labour, Law for the Ordering of
-
-National Liberal Party
-
-National Political Educational Institutions (‘Napolas’)
-
-National Socialism (Nazism: National Socialist German Workers’ Party)
-
-creates one-party state
-
-antisemitism
-
-founded (1919)
-
-putsch attempt (1923)
-
-ideology
-
-July 1932 Reichstag elections
-
-November 1932 Reichstag elections
-
-membership statistics
-
-anti-intellectualism
-
-recruitment halted (May 1933)
-
-a majority in the cabinet
-
-criticism of
-
-contempt for state and law
-
-centralization
-
-regions in the Third Reich (1935)
-
-Political Leaders
-
-Block Wardens
-
-celebration of the glorious dead
-
-seen as political religion
-
-Racial Policy Office
-
-Regional Economic Consultants
-
-corruption
-
-programme (1920)
-
-Genealogy Office
-
-Foreign Policy Office
-
-National Socialist Drivers’ Corps
-
-National Socialist Factory Cell Organization
-
-National Socialist German Lawyers’ League
-
-National Socialist German Lecturers’ Association
-
-National Socialist German Students’ League
-
-National Socialist German University Teachers’ League
-
-National Socialist High School, Starnbergersee
-
-National Socialist People’s Welfare
-
-National Socialist Physicians’ League
-
-National Socialist Teachers’ League
-
-National Socialist War Officers Association
-
-National Socialist Womanhood
-
-Nationalist Party
-
-November 1932 Reichstag elections
-
-
-
-
-
-dissolved
-
-and Niemöller
-
-quintessential Protestant party
-
-and the new Mittelstand
-
-Nature journal
-
-navy
-
-Nazi-Soviet Non-Aggression Pact (1939)
-
-Nazification
-
-of clubs and societies
-
-of education programmes for prisoners
-
-of musical institutions
-
-of the Evangelical Church
-
-of education
-
-student unions
-
-of the national farmers’ organization
-
-Neudeck, East Prussia
-
-Neuengamme concentration sub-camp, Hamburg
-
-Neumann, Heinz
-
-Neurath, Konstantin von
-
-New Beginning (Neu-Beginnen)
-
-New Forwards (Neue Vorwärts)
-
-New German Healing
-
-‘New Objectivity’ (Neue Sachlichkeit)
-
-New Plan (Schacht)
-
-New Testament
-
-New York Herald Tribune
-
-New York Philharmonic Orchestra
-
-newspapers
-
-newsreels
-
-Nicaragua
-
-Niemoller, Martin
-
-Nigeria
-
-‘Night of Broken Glass’ (Reichskristallnacht; pogrom, 9-10 November 1938)
-
-Grynszpan’s shooting of vom Rath
-
-Hitler orders the pogrom
-
-violence through the night
-
-aftermath
-
-30,000 Jewish men put in concentration camps
-
-Propaganda Ministry’s comments
-
-expropriation of the Jews
-
-Night of Broken Glass - contd. and Nazis’ drive to force Jews to emigrate
-
-reflects the regime’s radicalization in preparation for war
-
-‘Night of the Long Knives’ (Röhm purge, 29-30 June, 1934)
-
-Nolde, Emil
-
-Nölting Foundation
-
-Non-Aggression Pact with Poland (1934)
-
-North German Hop Industry Company
-
-Northeim, Lower Saxony
-
-Norway
-
-nuclear fission
-
-Nuremberg
-
-Party Rallies
-
-Nuremberg Laws (1935)
-
-nursing homes, state
-
-Nyrt, Mayor
-
-Obersalzberg, Bavaria
-
-occupational census (1933)
-
-Office of the Leader’s Deputy ; see also Hess, Rudolf
-
-Ohlendorf, Otto
-
-oil
-
-Old Testament
-
-old-age homes
-
-Oldenburg
-
-Olympic Games (Berlin, 1936)
-
-Oncken, Hermann
-
-‘one-pot Sunday’
-
-Opel
-
-opera
-
-operettas
-
-Oranienburg concentration camp
-
-Order Castles
-
-Orff, Carl
-
-Organization Escherich
-
-Ossietzky, Carl von
-
-Osten, Lina von
-
-Oster, Hans
-
-Osteria restaurant, Munich
-
-Othmarschen
-
-Otte, Carlo
-
-Otto von Habsburg, Archduke
-
-Overcrowding of German Schools and Universities, Law against the
-
-Owens, Jesse
-
-Pacelli, Cardinal Eugenio
-
-pacifism
-
-Pact of Steel
-
-paedophilia
-
-paganism
-
-Palatinate
-
-Palestine
-
-pan-Germanism
-
-Papacy
-
-fear of Communism
-
-Concordat (1933)
-
-Papal Encyclical (Mit brennender Sorge (‘With burning concern’)) Papal Infallibility, Declaration of (1871)
-
-see also Pius; Pius
-
-Papen, Franz von
-
-Reich Chancellor
-
-as Vice-Chancellor
-
-manipulation by the Nazis
-
-and conservative restoration
-
-and Röhm purge
-
-conservative clique around him
-
-ambassador to Vienna
-
-Paraguay
-
-Paris Film Festival
-
-Paris World Exposition (1937)
-
-Party and State, Law for Guarantees of the Unity of (1933)
-
-Pastors’ Emergency League; see also Confessing Church
-
-Paul, Hugo
-
-People’s Community (Volksgemeinschaft)
-
-People’s Court
-
-People’s Party
-
-People’s Receiver (Volksempfänger)
-
-Peru
-
-Petersen, Jan
-
-Pfeiffer, Hans
-
-Pfennigsdorf, Emil
-
-Pfitzner, Hans
-
-pharmacists
-
-Philip, Prince of Hesse
-
-Philippines
-
-philosophy
-
-physically handicapped
-
-Physically Handicapped, Reich League of the
-
-physicians see doctors
-
-Physicians’ Chamber, Reich
-
-physics
-
-Picasso, Pablo
-
-Pieck, Wilhelm
-
-Piłsudski, Józef
-
-pimps
-
-Pirow, Oswald
-
-Pius, Pope
-
-Pius, Pope
-
-Planck, Erwin
-
-Plato
-
-plebiscites
-
-12 November 1933
-
-19 August 1934
-
-29 March 1936 Saarland (1935)
-
-Ploetz, Alfred
-
-poetry
-
-pogrom (1939) see ‘Night of Broken Glass’
-
-Poland
-
-German loss of territory to
-
-Catholicism
-
-seasonal labourers in Germany
-
-exporter to Third Reich
-
-expected neutrality
-
-and Hitler’s living-space idea
-
-Jews in
-
-antisemitism
-
-ethnic Germans in
-
-nationalism
-
-ten-year non-aggression pact with Germany
-
-territorial claim on Czechoslovakia
-
-Britain’s guarantee to
-
-Hitler’s reasons for attacking
-
-German view of Poles
-
-suspicious of the Soviet Union
-
-Hitler discusses invasion with Mussolini
-
-Gleiwitz mock assault
-
-invasion of
-
-police
-
-auxiliary
-
-Prussian
-
-political
-
-Criminal
-
-Bavarian
-
-merges with SS
-
-interrogation by
-
-powers of arrest and detention
-
-and homosexuality
-
-see also Gestapo
-
-Polish corridor
-
-political jokes
-
-political prisoners
-
-Pollack, Isidor
-
-Poller, Walter
-
-Pomerania
-
-Ponte, Lorenzo da
-
-Popular Enlightenment and Propaganda, Reich Ministry of
-
-Popular Front
-
-population policy ; see also birth rate; marriage; sterilization
-
-Porsche, Ferdinand
-
-Posse, Hans
-
-Postal Service, Reich
-
-Potsdam
-
-Prague
-
-‘Prague Manifesto’ (1934)
-
-Prenzlau district
-
-Press, Reich Association of the German
-
-Press Chamber, Reich
-
-Pretzel, Raimund
-
-preventive medicine
-
-prices; see also inflation
-
-prisons
-
-professionals
-
-Prokofiev, Serge
-
-propaganda
-
-funding of
-
-antisemitic
-
-‘Night of the Long Knives’
-
-Social Democrats’ criticism of Nazi propaganda machine
-
-Nazi alarmist
-
-treasonable verbal
-
-and plebiscites
-
-Nazis’ belief in positive power of
-
-
-
-
-
-cult of Hitler
-
-Triumph of the Will
-
-radio
-
-Bayreuth Festival
-
-campaigns of early 1930s
-
-cultural
-
-and art
-
-and German language
-
-anti-Christian
-
-Nazi propaganda in schools
-
-against the physically handicapped
-
-pronatalist
-
-supposed mistreatment of Sudeten Germans by Czechs
-
-claims of First World War
-
-unremitting
-
-see also Popular Enlightenment and Propaganda, Reich Ministry of Property Transfer Office (Vienna)
-
-Prora resort, Rügen island
-
-prostitution
-
-Protection of German Blood, Reich Committee for the
-
-‘protective custody’; see also concentration camps
-
-Protestant Church see Evangelical Church
-
-Protzen, Carl Theodor
-
-Prussia
-
-Puccini, Giacomo
-
-Punch magazine
-
-quantum mechanics
-
-‘racial defilement’ (Rassenschande)
-
-racial hygiene, hygienists
-
-Racial Observer (Völkischer Beobachter)
-
-radio
-
-Radio Chamber, Reich
-
-Radio Luxemburg
-
-Raeder, Admiral Erich
-
-
-
-
-
-Railway Station Booksellers, Reich Association of German
-
-railway system
-
-rapists
-
-Rath, Ernst vom
-
-Rathenau, Walther
-
-Raubal, Angela (‘Geli’)
-
-Ravensbruck concentration camp
-
-raw materials
-
-rearmament
-
-Reck-Malleczewen, Friedrich
-
-Red Aid welfare organization
-
-Red Army
-
-Red Cross
-
-Red Flag (Rote Fahne)
-
-Red Front-Fighters’ League
-
-Reduction of Unemployment, first Law on the (‘First Reinhardt Programme’)
-
-Reduction of Unemployment, second Law on the (‘Second Reinhardt Programme’)
-
-Reformation
-
-Regensburg, Bavaria
-
-Regional Leaders (Gauleiter)
-
-Reich, The (Das Reich) magazine
-
-Reich Chancellery
-
-Reich Court, Leipzig
-
-Reich School of the NSDAP Feldafing
-
-Reich Security Head Office
-
-Reich Statistical Office
-
-Reich Supervisory Office for Insurance
-
-Reichenau, General Walther von
-
-Reichsbank
-
-Reichsbanner
-
-Reichsrat
-
-Reichstag
-
-accepts Hitler’s justification for the Röhm purge
-
-Reichstag fire
-
-state opening at Potsdam (21 March 1933)
-
-effective elimination of
-
-Hitler addresses on the Rhineland
-
-Hitler addresses on the armed forces
-
-Hitler’s speech on Czechoslovakia (18 March 1938)
-
-Hitler announces abrogation of agreements with Poland and Britain
-
-Hitler announces invasion of Poland
-
-Reichstag elections see under elections
-
-Reichstag Fire Decree (28 February 1933)
-
-Reinhardt, Fritz
-
-relativity
-
-religion see Christianity
-
-Remarque, Erich Maria
-
-Remmele, Hermann
-
-Renner, Karl
-
-reparations
-
-Respighi, Ottorino
-
-Reuter, Vice-Admiral Ludwig von
-
-Revolutionary Socialists of Germany
-
-rheumatoid arthritis
-
-Rheydt
-
-Rhineland
-
-African-Germans
-
-remilitarization of
-
-Rhineland-Westphalia
-
-Rhine Metal company ,
-
-Ribbentrop, Joachim von
-
-Richthofen, Colonel Wolfram von
-
-Riefensthal, Leni
-
-Ritter, Gerhard
-
-Ritter, Dr Robert
-
-Robert Ley (a ship)
-
-Röhm, Ernst
-
-Röhm purge see ‘Night of the Long Knives’
-
-Röhricht, Eberhard
-
-Romania
-
-Romanies see Gypsies
-
-Rome
-
-Rome-Berlin Axis
-
-Röontgen, Wilhelm
-
-Rosenberg, Alfred
-
-and Bishop Sproll
-
-and Goebbels
-
-and Fighting League for German Culture
-
-editor-in-chief of the Racial Observer
-
-similar views to Hitler on art and music
-
-and Ditzen
-
-denounces Barlach
-
-and The Silent Woman
-
-and the Degenerate Art exhibition
-
-and music
-
-declining influence
-
-anti-Christian ideas
-
-and universities
-
-and homosexuality
-
-and the Non-Aggression Pact
-
-Rosenheim
-
-Rosenheim, Julius
-
-Rostock
-
-Roth, Carola
-
-Rothenberg, Franz
-
-Rothfels, Hans
-
-Rothschild family
-
-Rowohlt, Ernst
-
-rubber; see also buna
-
-Rüdin, Ernst
-
-Ruhr
-
-Franco-Belgian occupation (1923)
-
-armed left-wing uprising (1920)
-
-Communists in
-
-Schlageter shot
-
-food shortages
-
-African-Germans in
-
-Catholics in
-
-Ruler, The (Der Herrscher) (film)
-
-Rummelsburg
-
-Russia see Soviet Union
-
-Rust, Bernhard
-
-SA see ‘Storm Division’
-
-SA Man, The (Der SA-Mann), magazine
-
-SA-Man Brand (film)
-
-Saar plebiscite
-
-Saarbrucken
-
-Sachsenburg
-
-Sachsenhausen concentration camp
-
-Sager and Woerner, engineering firm
-
-Salamander shoe company
-
-Salazar, Antonio
-
-Salomon, Ernst von
-
-Salzgitter
-
-Sauber, Georg
-
-Sauckel, Fritz
-
-Sauerbruch, Ferdinand
-
-Saxony
-
-Schacht, Hjalmar
-
-Schardt, Alois
-
-Schaub, Julius
-
-Scheel, Gustav Adolf
-
-Schell, Colonel von
-
-Schellenberg, Walter
-
-Schemm, Hans
-
-Schenzinger, Karl Aloys
-
-Schiller, Friedrich
-
-Schinkel, Friedrich von
-
-Schirach, Baldur von
-
-schizophrenia
-
-Schlageter, Albert Leo
-
-Schleicher, General Kurt von
-
-appointed Chancellor
-
-killed by the SS
-
-allegations against him
-
-Schlemmer, Oskar
-
-Schleswig-Holstein
-
-Schleswig-Holstein (battleship)
-
-Schlösser, Rainer
-
-Schlotterbeck, Friedrich
-
-Schlotterer, Gustav
-
-Schmeling, Max
-
-Schmid, Wilhelm Eduard
-
-Schmidt, Otto
-
-Schmidt, Waldemar
-
-Schmidt-Rottluff, Karl
-
-Schmitt, Kurt
-
-Schmitt, Ludwig
-
-Schmoller, Gustav
-
-Scholtz-Klink, Gertrud
-
-Schönberg, Arnold
-
-Schönerer, Georg Ritter von
-
-schools see education
-
-Schopwinkel, Robert
-
-Schreck, Julius
-
-Schrödinger, Erwin
-
-Schulenburg, Count Fritz-Dietlof
-
-Schultze, Walter ‘Bubi’
-
-Schultze-Naumburg, Paul
-
-Schulz, Paul
-
-Schuschnigg, Kurt von
-
-Schwanenwerder
-
-Schwarz, Franz Xaver
-
-Schweinitz District News-Sheet (Schweinitzer Kreisblatt)
-
-Schwerin von Krosigk, Lutz
-
-science
-
-Science and Education, Reich Ministry of
-
-Scott, Sir Walter
-
-sculpture
-
-Secker and Warburg (publishers)
-
-Seldte, Franz
-
-Sembach, Emil
-
-Sethe, Paul
-
-sex offenders
-
-sexuality
-
-sexually transmitted diseases
-
-Seyss-Inquart, Arthur
-
-Shakespeare, William
-
-Shanghai
-
-Shirer, William.
-
-shoe industry; see also cobblers
-
-shopkeepers see under middle class
-
-Shostakovich, Dmitri
-
-show trials
-
-Sibelius, Jean
-
-Siberia
-
-Siegerland
-
-Siegfried Kroch Company
-
-Siegfried Line see West Wall
-
-Siemens, Georg von
-
-Siemens-Schückert company
-
-Signac, Paul
-
-Silesia
-
-Silverberg, Paul
-
-Simon, John
-
-Simson arms manufacturing company
-
-Sinti see Gypsies
-
-Six, Franz
-
-Skoda works
-
-smoking
-
-Social Darwinism; see also racial hygiene
-
-Social Democratic Party of Germany
-
-membership
-
-principles
-
-and Grand Coalition
-
-terror against
-
-backs Hindenburg
-
-suppression of
-
-November 1932 Reichstag elections
-
-
-
-
-
-and the Communists
-
-mass arrests of leaders
-
-exiled leadership in Prague
-
-and Röhm purge
-
-opposition to Nazism
-
-Marxist ideology
-
-and 1934 plebiscite
-
-New Beginning and other groups
-
-and denunciations
-
-and journalism
-
-propaganda
-
-and the Hitler Youth
-
-report on artisans and shopkeepers
-
-loss of capacity for independent action
-
-and Strength Through Joy
-
-vast cultural apparatus
-
-welfare
-
-and the 1938 pogrom
-
-see also concentration camps
-
-social deviance
-
-social welfare see welfare system
-
-social workers
-
-Socialist Flysheets (Sozialistische Blätter)
-
-‘Socialist Front’
-
-socialist realism
-
-Socialist Workers’ Party of Germany
-
-sociology
-
-Solingen-Ohligs
-
-Solmitz, Major Friedrich
-
-Solmitz, Luise
-
-Sonnemann, Leopold
-
-Sonthofen Castle, Bavaria
-
-Sotke, Fritz
-
-South Africa, Jewish immigrants
-
-Soviet Germany
-
-Soviet Union
-
-Revolution (1917) (‘October Revolution’)
-
-agricultural collectivization
-
-purges
-
-show trials
-
-deaths under Stalin
-
-labour camps
-
-cultural propaganda
-
-socialist realism
-
-unremitting war on individualism
-
-
-
-
-
-German belief in backwardness of Slavs
-
-Orthodox Russians
-
-persecution of the Christian Church
-
-becoming a threat in the ‘struggle of nations for life’
-
-‘showdown with Russia inevitable’ (Göring)
-
-Five-Year Plan
-
-state ownership and centralized panning
-
-civil war (1918-21)
-
-state ownership of industry
-
-restrictions on birth control
-
-Jews
-
-ethnic Germans in
-
-invasion of (1941)
-
-Polish attitude to
-
-Spahn, Martin
-
-Spain
-
-SpanishWar
-
-Spartacist uprising (Berlin, January 1919)
-
-Special Courts
-
-special schools
-
-Speer, Albert
-
-early life
-
-becomes Hitler’s personal architect
-
-General Building Inspector for the National Capital
-
-plans for Berlin
-
-earnings
-
-and Strength Through Joy
-
-and ‘one-pot Sunday’
-
-and the Olympic Games
-
-Sperrle, General Hugo
-
-Spilker, Inge
-
-Spoerl, Heinrich
-
-Sports Palace, Berlin
-
-Sproll, Bishop Joannes
-
-SS (Schutzstaffel; Protection Squad)
-
-prosecutions
-
-nominally a part of the SA
-
-‘putsch’ warning
-
-Hitler’s bodyguards
-
-‘Night of the Long Knives’
-
-murder of Schleicher
-
-built up by Himmler
-
-compared to the SA
-
-hierarchy
-
-uniforms
-
-sponsorship
-
-purges
-
-marriage issue
-
-educational level
-
-begins to merge with police
-
-and concentration camps
-
-‘Death’s Head Formation’
-
-employed by Gestapo for brutal interrogations
-
-at Nuremberg Rally
-
-Frankfurt Newspaper raided
-
-roots out books by proscribed authors
-
-in Sachsenhausen
-
-and Catholics
-
-and religion
-
-Himmler’s plans
-
-attacks Haupt
-
-Rust and
-
-Stark and
-
-boycott of Jewish firms
-
-aristocrats in
-
-doctors
-
-and Strength Through Joy
-
-and Winter Aid
-
-and racial hygiene
-
-and master-race
-
-and homosexuality
-
-treatment of Jews in Austria
-
-Eichmann joins
-
-and Czechoslovakia
-
-SS Security Service (Sicherheitsdienst or SD)
-
-Heydrich leads
-
-Ohlendorf heads the economics section
-
-established by Himmler
-
-personnel in political police service posts
-
-Koblenz branch
-
-on German radio
-
-and ‘degenerate’ art
-
-and Hitler Youth
-
-on universities
-
-and Heisenberg
-
-on historians
-
-exhortations not to buy from Jewish businesses
-
-on theservice
-
-Jewish Affairs Division
-
-and Polish Jews resident in Germany
-
-on ‘war psychosis’
-
-and Czechoslovakia
-
-Stäbel, Friedrich Oskar
-
-Stade, North Germany
-
-Stadelheim gaol, Munich
-
-Stalin, Josef
-
-purges
-
-secret police
-
-Soviet military preparedness
-
-Five-Year Plan
-
-Stark, Johannes
-
-Stauffenberg, Lieutenant Claus von
-
-Stauss, Emil Georg von
-
-Steed, Henry Wickham
-
-steel
-
-Steel Helmets: League of Front-Soldiers
-
-Steinbeck, John
-
-Steinhäusl, Otto
-
-Stelling, Johannes
-
-sterilization
-
-Stern scrap metal company, Essen
-
-Sternberger, Dolf
-
-Stettin
-
-Stoeckel, Walter
-
-‘Storm Division’ (Sturmabteilung, or SA; brownshirts; stormtroopers)
-
-violent activism
-
-and the Communist Party
-
-and the Social Democrats
-
-
-
-
-
-unemployment
-
-enrolled by Goring as auxiliary police
-
-membership statistics
-
-Köpenick blood-week (June 1933)
-
-
-
-
-
-finds itself without a role
-
-Steel Helmets incorporated into
-
-own justice system
-
-prosecutions
-
-Röhm envisages as national militia
-
-Hotel Kaiserhof incident
-
-threat to the army
-
-obstacle to Himmler’s ambitions 1934 purge of
-
-decline in membership
-
-compared with SS
-
-and plebiscites
-
-at 1934 Nuremberg Rally
-
-and jazz
-
-uniformed presence at church services
-
-and Catholics
-
-and Hitler Youth
-
-and education
-
-and shortages of raw materials
-
-demands for donations
-
-attack on stores
-
-action against Jewish-owned shops
-
-robbery from Jewish homes
-
-candidates for jobs
-
-Prince August Wilhelm in
-
-Körle cycling club incident
-
-medical services
-
-and welfare collections
-
-and homosexuality
-
-antisemitism
-
-and the 1938 pogrom
-
-Stormer, The (Der Stürmer)
-
-Strait Way, The (Der gerade Weg)
-
-Stralsund
-
-Strasser, Gregor
-
-resignation from the Nazi Party
-
-shot at police headquarters
-
-Hitler’s allegations against
-
-sets up Economic Policy Division
-
-Strasser, Otto
-
-Straubing
-
-Strauss, Richard
-
-Stravinsky, Igor
-
-Streicher, Julius
-
-antisemitic paper The Stormer
-
-antisemitic speech in Hamburg
-
-‘Strength Through Joy’
-
-‘Strength Through Joy car’ (later Volkswagen)
-
-Stresa Front (1935)
-
-Stresemann, Gustav
-
-Stuckart, Wilhelm
-
-Stuckenschmidt, Hans-Heinz
-
-students see universities
-
-Stuttgart
-
-Styria, Austria
-
-Sudetenland
-
-Suhr, Otto
-
-Supreme Censorship Authority for Dirty and Trashy Literature
-
-swastika symbol
-
-Sweden
-
-swing, ‘Swing Youth’
-
-Switzerland
-
-Syllabus of Errors (1864)
-
-Tack (shoe firm)
-
-Tanganyika (later Tanzania)
-
-Tannenberg League
-
-taxation
-
-teachers; see also education
-
-technology
-
-Telegraph Union
-
-Ten Commandments
-
-Teschen, Czechoslovakia
-
-Tessenow, Heinrich
-
-textiles
-
-Thälmann, Ernst
-
-theatre
-
-Theatre Chamber, Reich
-
-theology
-
-Thieme, Emma
-
-Thierack, Otto-Georg
-
-Thingspiel (‘meeting-play’)
-
-Third Republic (France)
-
-Thirty Years’ War
-
-Thomson, Joseph John
-
-Three Little Pigs, The (Disney cartoon)
-
-Thuringia
-
-Thyssen, Fritz
-
-Tietz, Hermann
-
-Tietz, Leonard
-
-Tietz, Oscar
-
-Tietz, Ursula
-
-Times, The (London)
-
-Tobis, film company
-
-Todt, Fritz
-
-Toscanini, Arturo
-
-tourism, commercial; see also Strength Through Joy
-
-trade
-
-Trade Treaty Association
-
-trade unions
-
-brownshirts raid trade union offices
-
-arrests
-
-loyalists
-
-Social Democratic-oriented
-
-takeover by Nazi Labour Front
-
-and Ley
-
-tramps
-
-transport; see also motorways; railway system
-
-Trapp, Max
-
-treasury bonds
-
-Tremel-Eggert, Kuni
-
-Treuchtlingen
-
-Trier
-
-Triumph of the Will (film)
-
-Troost, Paul Ludwig
-
-
-
-
-
-Trossingen, Swabia
-
-Trott zu Solz, Adam von
-
-Trunk, Hans
-
-Trustees of Labour
-
-Trustees of Labour, Law on
-
-Tschirschky-Bogendorf, Günther
-
-tubal ligation
-
-Turkey
-
-UFA film company
-
-Ukraine
-
-Ulbricht, Walter
-
-Ullstein Publishing Company
-
-unemployed, the (‘work-shy’)
-
-unemployment
-
-fall in
-
-Unemployment Insurance and Jobs, Reich Office for
-
-Ungewitter, Richard
-
-United States of America
-
-Krebs emigrates to
-
-Hindemith emigrates
-
-Jehovah’s Witnesses
-
-Hitler envisages titanic clash with
-
-compulsory sterilization in
-
-compulsory castration
-
-Jewish immigrants
-
-Jews to be held hostage to deter USA from entering war
-
-United Steelworks
-
-Universal, film company
-
-universities
-
-decline of German universities,
-
-Untermassfeld prison
-
-Uruguay
-
-vagrants
-
-Valtin, Jan see Krebs, Richard
-
-van der Lubbe, Marinus
-
-Van Gogh, Vincent
-
-Vatican ; see also Papacy
-
-Veldenstein Castle
-
-Venezuela
-
-Venice
-
-Venice Film festival
-
-Verdi, Giuseppe
-
-Versailles, Treaty of (1919)
-
-restrictions
-
-repudiation of
-
-nationalist resentment
-
-Niemöller rejects
-
-disarmament clauses
-
-international sympathy for revision of
-
-German pride in wiping out
-
-veterinary surgeons
-
-Veterinary Surgeons, Reich Association of German
-
-Vienna
-
-
-
-
-
-Viernstein, Theodor
-
-village communities
-
-Vlaminck, Maurice
-
-Vogelsang Castle
-
-Volkswagen (People’s Car; previously ‘Strength Through Joy car’)
-
-Voluntary Labour Service
-
-Vossian Newspaper (Vossische Zeitung)
-
-Vulkan shipyard, Stettin
-
-Wäckerle, Hilmar, camp commandant
-
-wages
-
-Wagner, Adolf
-
-Wagner, Cosima
-
-Wagner, Gerhard
-
-Wagner, Richard
-
-Wagner, Senator Robert
-
-Wagner, Siegfried
-
-Wagner, Winifred
-
-Wahnfried House, Bayreuth
-
-Walter, Bruno
-
-Wandervogel
-
-Wanne-Eickel
-
-Wannsee
-
-War, Reich Ministry of
-
-Warburg, Frederic
-
-Warburg, Max
-
-Warnemünde
-
-Warner Brothers, film company
-
-Wartenburg, Count Peter Yorck von
-
-Washington, D.C.
-
-Webern, Anton von
-
-Wedekind, Frank
-
-Weekly Review (Wochenschau)
-
-Weill, Kurt: Threepenny Opera
-
-Weimar Republic
-
-Germany’s first attempt at democracy
-
-creation of
-
-constitution
-
-Reich President
-
-and Versailles
-
-Jews in
-
-prison service
-
-political police
-
-cinema
-
-radio
-
-Nazi songs and verses in
-
-workers’ theatre movement
-
-Expressionism
-
-Strauss condemns
-
-antisemitism
-
-conflicts
-
-Niemöller opposes
-
-education
-
-Stark and
-
-and history
-
-housing
-
-inflation and unemployment
-
-class antagonisms and hostilities
-
-labour policy
-
-popular culture
-
-welfare system
-
-and homosexuality
-
-Weiss, Wilhelm
-
-Weizsäcker, Ernst von
-
-welfare system see also social welfare
-
-Wenger, Alois
-
-Werner, Paul
-
-Wertheim, Abraham
-
-Wertheim, Georg
-
-Wertheim, Ida
-
-Wertheim department stores
-
-Wessel, Horst
-
-West German Observer (Westdeutscher Beobachter)
-
-West Wall (Siegfried Line)
-
-Westerplatte (Danzig)
-
-Westheim, Paul
-
-Westphalia
-
-white-collar workers see middle class
-
-Wildenstein, Daniel (art dealer)
-
-Wilhelm, Crown Prince of Germany
-
-
-
-
-
-Wilhelm, Kaiser
-
-birthday celebration
-
-Wilhelm, Prince of Hesse
-
-Wilmersdorf
-
-Wilson, President Woodrow
-
-Wilson, Sir Horace
-
-Windsor, Duke and Duchess of
-
-Winter Aid Programme of the German People
-
-Wisliceny, Dieter
-
-Wismar
-
-Witzleben, Major-General Erwin von
-
-Wöhrmeier, Mayor
-
-Wolf, Netter and Jacobi company
-
-Wolfen
-
-Wolfenbüttel gaol
-
-Wolff, Otto
-
-Wolff’s Telegraph Office
-
-Wollheim, Gerd
-
-women
-
-education
-
-suffrage
-
-expected to stay at home
-
-in the labour supply
-
-and Strength Through Joy
-
-mothers for the Reich
-
-Woolworth’s
-
-working class
-
-Nazi Party members
-
-Heckert on
-
-and denunciations
-
-intimidation of
-
-see also Communist Party of Germany
-
-‘work-shy’ see unemployed
-
-World Stage, The (Die Weltühne)
-
-Woyrsch, Udo von
-
-Wurm, Bishop Theophil
-
-Wurttemberg
-
-Württemberg-Hohenzollern
-
-Würzburg
-
-Young Plan
-
-Yugoslavia
-
-Ziegler, Adolf
-
-Ziegler, Hans Severus
-
-Ziegler, Wilhelm
-
-Zillig, Winfried
-
-Zionism
-
-Zöberlein, Hans
-
-Zurich
-
-Zweig, Arnold
-
-Zweig, Stefan
-
-Zwickau
-
-
-
-
-
-FOR MORE FROM RICHARD J. EVANS, LOOK FOR THE
-
-
-
-The Coming of the Third Reich
-
-There is no story in twentieth-century history more important to understand than Hitler’s rise to power and the collapse of civilization in Nazi Germany. A masterful synthesis of a vast body of scholarly work integrated with important new research and interpretations, Evans’s history restores drama and contingency to the rise to power of Hitler and the Nazis, even as it shows how ready Germany was by the early 1930s for such a takeover to occur. The Coming of the Third Reich is a masterwork of the historian’s art and the book by which all others on the subject will be judged.
-
-
-
-
-
-“Will long remain the definitive English-language account. . . . An impressive achievement.”—The Atlantic Monthly
-
-ISBN 0-14-303469-3
-
-
-
-
-
-Death in Hamburg
-
-Society and Politics in the Cholera Years, 1830-1910
-
-Why were nearly 10,000 people killed in six weeks in Hamburg while most of Europe was left almost unscathed? In his acclaimed study of the great cholera epidemic of 1892, Richard J. Evans explains that it was largely because the town was a “free city” within Germany, governed by the “English” ideals of laissez-faire. The absence of an effective public-health policy combined with ill-founded medical theories and the miserable living conditions of the poor to create a scene ripe for tragedy. The story of the cholera years is, in Richard Evans’s hands, tragically revealing of the age’s social inequalities and governmental pitilessness and incompetence; it also offers disquieting parallels with the world’s public-health landscape today.
-
-ISBN 0-14-303636-X
-
-
-
-1. Hitler keeps the workers at a safe distance: speaking at the Mayday celebrations on the Tempelhof field in Berlin, 1935, the Nazi leader is protected by a security cordon of SS bodyguards.
-
-
-
-2. Brownshirt leader Ernst Röhm, posing as a bureaucrat, seated at his desk at home in 1933. The artwork on the wall behind him gives a good idea of his taste.
-
-
-
-3. Heinrich Himmler, Reich Leader of the SS, tries his skill with a pistol at the police shooting range in Berlin-Wannsee in 1934.
-
-
-
-4. Hitler taking the salute at a march-past of the Order Police during the Nuremberg Party Rally in September 1937.
-
-
-
-5. Reinhard Heydrich, head of the SS Security Service, poses for a portrait photo.
-
-
-
-6. Prisoners of the Flossenbürg concentration camp, reserved especially for ‘asocials’ and ‘criminals’, working at the quarry that supplied stones for Albert Speer’s public buildings.
-
-
-
-7. Leni Riefenstahl tries out a camera angle for her film Triumph of the Will at the Nuremberg Party Rally in 1934.
-
-
-
-8. ‘The whole of Germany hears the Leader with the People’s Receiver’: advertisement for cheap radio sets that could only receive broadcasts from domestic stations.
-
-
-
-9. Actor Emil Jannings (right) towers over ‘the little doctor’, Propaganda Minister Joseph Goebbels (left), during a break at the Salzburg Festival in 1938.
-
-
-
-10. Ernst Barlach’s Magdeburg War Memorial, 1929; it was removed from display in the Cathedral by the Nazis as unpatriotic.
-
-
-
-11. The preferred style of Nazi art: Arno Breker’s ‘Readiness’, shown at the Great German Art Exhibition in 1938.
-
-
-
-12. Albert Speer’s German pavilion at the Paris World Exposition in 1937; it was likened by one critic to a crematorium and its chimney.
-
-
-
-13. ‘Degenerate Music: A Reckoning by State Counsellor Dr H. S. Ziegler’. Front cover of the booklet accompanying the exhibition, attempting to portray jazz as both Jewish and black, and therefore racially degenerate, the exhibition was not a success.
-
-
-
-14. Monsignor Caccia Dominioni, the Papal Maestro di Camera, flanked by German and Vatican officials, about to take Hermann Göring into an audience with Pope Pius XI on 12 April 1933, as part of negotiations for the Concordat.
-
-
-
-15. ‘Adolf Hitler’s Young People enrol in the Non-Denominational School’. Placard urging parents to take their children out of Church-run education.
-
-
-
-16. ‘If all young Germans looked like this, we would have no need to fear for the future.’ Children in a primary school class in 1939.
-
-
-
-17. Education Minister Bernhard Rust, photographed on 3 August 1935, attempting in vain to look decisive.
-
-
-
-18. ‘Young People serve the Leader: All ten-year-olds into the Hitler Youth.’ The Party intensifies its campaign to make all young Germans join the organization, 1936.
-
-
-
-19. Hitler Youth camp in Nuremberg, 8 August 1934: the vast scale and military organization of such camps did not satisfy young people looking for freedom, adventure, communion with nature, and other traditional goals of the youth movement.
-
-
-
-20. The modernism of the Autobahn: a motorway bridge in the 1930S.
-
-
-
-21. Fritz Todt, the Nazis’ chief engineer, rewards workers on the West Wall fortifications. Many workers were drafted into the project against their will.
-
-
-
-22.The Daimler-Benz automobile company boasts of its success under the Third Reich, 1936.
-
-
-
-23. ‘Your Strength Through Joy car’: a young German couple, the man at the wheel, going for a spin in a Volkswagen beetle, built by Ferdinand Porsche from an original design by Adolf Hitler.
-
-In fact, no production models came off the assembly-line until after the war.
-
-
-
-24. ‘If this happened, one would not have to fear any measures of self-defence on the part of Germany.’ Cartoon in a once-independent satirical magazine, 11 March 1934, designed to advertise Germany’s defensive weakness but also testifying to widespread fears about the effects of aerial bombardment.
-
-
-
-25. ‘A people helps itself: Gertrud’s understood it.’ A family eating the obligatory Sunday stew or ‘one-pot meal’, as shown in a school reading primer in 1939.
-
-
-
-26. The hall at Hermann Göring’s modest rural hunting-lodge, Carinhall.
-
-
-
-27. The ideal of peasant family life: ‘Harvest’, by Karl Alexander Flügel, shown at the Great German Art Exhibition in 1938.
-
-
-
-28. Workers refuse to conform: clad in traditional full-dress uniforms, the coalminers at Penzberg, in Bavaria, show their disdain for Nazi ceremonial by failing to render the Hitler salute in the approved manner; a formation of Hitler Youth near the back shows how it should be done, but the miners pay no attention.
-
-
-
-29. ‘Here you are sharing the load. A hereditarily sick person costs on average 50,000 Reichsmarks up to the age of 60.’ A poster of 1935 shows a healthy German bearing the burden of keeping the mentally ill in institutions such as the one in the background. Such propaganda aimed to persuade people of the need to sterilize the mentally handicapped, and eventually to kill them.
-
-
-
-30. ‘The decline in marital fertility: of married women aged 15-4 5 , every third one had a live-born child in 1900, every fourth in 1910, every seventh in 1925, and every eighth in 1930.’ Propaganda illustration from 1933, urging Germans to have more children.
-
-31. Parading of a couple accused of ‘race defilement’: the placard around the woman’s neck reads: ‘I am the biggest swine in town and choose/only ever to go with Jews.’ The man’s placard reads: ‘As a Jewish boy I’m always sure/to let only German girls through my door.’ Such scenes, staged by brownshirts like those in the background, were commonplace before the passage of the Nuremberg Laws in 1935.
-
-
-
-
-
-32. Racial research in a Gypsy camp in 1933: Eva Justin, an assistant of Robert Ritter, the leading Nazi expert in the field, measures a woman’s head as part of a survey of the supposed racial characteristics of the Gypsies.
-
-
-
-33. ‘Jews enter the place at their own peril!’ Banner over the road leading to Rottach-Egern, on Lake Tegern, in Bavaria, in 1935. Many towns and villages put up similar notices around this time, removing them for a while in 1936 to avoid bad publicity during the Winter and Summer Olympic Games.
-
-
-
-34. The morning after the pogrom of the ‘Reich Night of Broken Glass’, 10 November 1938: a passer-by surveys the damage to a Jewish-owned shop in Berlin while the owners try to clear up the mess.
-
-
-
-35. Hitler’s deputy Rudolf Hess, on the right, with his increasingly influential subordinate Martin Bormann, in Berlin, 1935.
-
-
-
-36. The aftermath of the Saarland plebiscite, 1935: children give the Nazi salute beneath a canopy of swastikas.
-
-
-
-37. Rhinelanders greet the German army as it enters the demilitarized zone on 7 March 1936. Amidst the rejoicing, some of them are rendering the Nazi salute.
-
-
-
-38. Members of the Condor Legion at Gijo harbour, leaving Spain on their way to Germany, 3 June 1939, after successfully intervening on behalf of Generalissimo Franco in the civil war.
-
-
-
-39. A German soldier is overwhelmed by the euphoric welcome given to his armoured car unit by Austrian girls when it reaches Vienna, 21 March 1938.
-
-
-
-40. The other side of the picture: Viennese Jews are forced to scrub pro-Austrian graffiti off the street in March 1938, in front of cheering crowds, including many children.
-
-
-
-41. The handshake that sealed the fate of Poland: Stalin and Ribbentrop agree on the country’s partition on 24 August 1939. Ten days later, the Second World War began.
-
-
-
-
-
diff --git a/Books/History/embeddings_cache.npz b/Books/History/embeddings_cache.npz
new file mode 100644
index 0000000..2664d64
Binary files /dev/null and b/Books/History/embeddings_cache.npz differ
diff --git a/Books/History/embeddings_cache_meta.json b/Books/History/embeddings_cache_meta.json
new file mode 100644
index 0000000..885838a
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+++ b/Books/History/embeddings_cache_meta.json
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\ No newline at end of file
diff --git a/Books/Legislative/ANNETTE DAVIS Case.txt b/Books/Legislative/ANNETTE DAVIS Case.txt
index abf4c0b..619a3c6 100644
--- a/Books/Legislative/ANNETTE DAVIS Case.txt	
+++ b/Books/Legislative/ANNETTE DAVIS Case.txt	
@@ -1,4 +1,4 @@
-NITED STATES DISTRICT COURT
+UNITED STATES DISTRICT COURT
 SOUTHERN DISTRICT OF FLORIDA
 CASE NO. 21-61958-SINGHAL/VALLE
 ANNETTE DAVIS,
@@ -10,111 +10,111 @@ COMPANY,
 Defendant.
 ___________________________________/
 OPINION AND ORDER
-THIS CAUSE is before the Court upon Plaintiff�s Motion for Judgment on the
-Pleadings on Count I of the Amended Complaint based upon Defendant�s Breach of
-Contract, filed on January 27, 2022 (the �Motion�) (DE [32]). Defendant (�Defendant� or
-�Chubb�) filed a Response on March 1, 2022 (the �Response�) (DE [46]). Plaintiff filed a
-Reply on March 8, 2022 (the �Reply�) (DE [51]). An In-Person Hearing on the Motion was
+THIS CAUSE is before the Court upon Plaintiff�s Motion for Judgment on the
+Pleadings on Count I of the Amended Complaint based upon Defendant�s Breach of
+Contract, filed on January 27, 2022 (the �Motion�) (DE [32]). Defendant (�Defendant� or
+�Chubb�) filed a Response on March 1, 2022 (the �Response�) (DE [46]). Plaintiff filed a
+Reply on March 8, 2022 (the �Reply�) (DE [51]). An In-Person Hearing on the Motion was
 held on March 15, 2022. The Motion is now ripe for consideration.
 I. BACKGROUND
 This action involves an insurance coverage dispute related to injuries Plaintiff
 allegedly suffered from exposure to toxic mold in her home. Plaintiff owned and resided
-in The Tides at Bridgeside Square Condominium (the �Tides�). See Am. Compl. � 4 (DE
-[23]). Plaintiff sued Akam On-Site, Inc. (�Akam�), the property manager of Tides, and
+in The Tides at Bridgeside Square Condominium (the �Tides�). See Am. Compl. � 4 (DE
+[23]). Plaintiff sued Akam On-Site, Inc. (�Akam�), the property manager of Tides, and
 several other entities alleging negligent property management services in connection with
 annual maintenance work on a water-cooling tower at the Tides (DE [25], at 10). The
 botched maintenance work is alleged to have allowed water to infiltrate the condominium,
-causing a rampant mold infestation. Id. Under Akam�s property management contract,
+causing a rampant mold infestation. Id. Under Akam�s property management contract,
 Case 0:21-cv-61958-AHS Document 60 Entered on FLSD Docket 03/16/2022 Page 1 of 5
 2
-Tides designated Akam as a �named insured� under its liability policies (DE [1-8], at 267).
+Tides designated Akam as a �named insured� under its liability policies (DE [1-8], at 267).
 At issue are two separate liability policies of Tides. The first policy, by AmTrust
-International Underwriters (�AmTrust�), insured Tides under a primary commercial
-general liability policy (DE [46]), at 2. The AmTrust Policy contains an �Organic Pathogen
-Exclusion,� which excludes bodily injury, �which would not have occurred . . . but for . . .
-exposure to . . . any . . . �[o]rganic pathogen,�� which includes �any type of mold . . . .� See
-Am. Compl. � 34.
-The second policy, by Great Northern Insurance Company (�Great Northern�) and
-Federal Insurance Company (�Federal) (together the �Chubb Insurers� and �Chubb
-Policies�), insured Tides under primary insurance policies issued by Great Northern and
-excess and umbrella policies issued by Federal. See Am. Compl. �� 1, 35 (DE [23]).
-Based on the AmTrust and Chubb policies� respective �other insurance� provisions, the
+International Underwriters (�AmTrust�), insured Tides under a primary commercial
+general liability policy (DE [46]), at 2. The AmTrust Policy contains an �Organic Pathogen
+Exclusion,� which excludes bodily injury, �which would not have occurred . . . but for . . .
+exposure to . . . any . . . �[o]rganic pathogen,�� which includes �any type of mold . . . .� See
+Am. Compl. � 34.
+The second policy, by Great Northern Insurance Company (�Great Northern�) and
+Federal Insurance Company (�Federal) (together the �Chubb Insurers� and �Chubb
+Policies�), insured Tides under primary insurance policies issued by Great Northern and
+excess and umbrella policies issued by Federal. See Am. Compl. �� 1, 35 (DE [23]).
+Based on the AmTrust and Chubb policies� respective �other insurance� provisions, the
 Chubb policies were afforded excess priority to the primary AmTrust policies (DE [25], at
 8). Chubb advised Akam of the priority of coverages and agreed to handle the matter
 under a reservation of rights. Id. at 7. Akam did not dispute this reservation for nearly two
 years. Id. at 9.
 Plaintiff filed a negligence lawsuit against Akam and other defendants in state court
-(�the Underlying Lawsuit�) (DE [32], at 2). On December 10, 2020, as trial was
+(�the Underlying Lawsuit�) (DE [32], at 2). On December 10, 2020, as trial was
 approaching, Chubb advised Akam it was electing its right to associate in skilled trial
-counsel to help defend Akam (DE [25], at 11). However, Akam objected to Chubb�s
+counsel to help defend Akam (DE [25], at 11). However, Akam objected to Chubb�s
 attempt to associate counsel. Id. Plaintiff, Akam, and Tides subsequently entered into a
-settlement of the Underlying Lawsuit (the �Coblentz Agreement�) (DE [48-2]). The
+settlement of the Underlying Lawsuit (the �Coblentz Agreement�) (DE [48-2]). The
 Coblentz Agreement included a payment in the sum of $250,000 to be made to Plaintiff,
 which included $100,000 to be paid directly from Akam and $150,000 to be paid by
 Case 0:21-cv-61958-AHS Document 60 Entered on FLSD Docket 03/16/2022 Page 2 of 5
 3
-AmTrust on Akam�s behalf. Id. at 7. Curiously, AmTrust was not a party to the Coblentz
-Agreement. Id. at 1. Second, the Coblentz Agreement assigned to Plaintiff all of Akam�s
+AmTrust on Akam�s behalf. Id. at 7. Curiously, AmTrust was not a party to the Coblentz
+Agreement. Id. at 1. Second, the Coblentz Agreement assigned to Plaintiff all of Akam�s
 claims against the Chubb Insurers arising out of their alleged denial of coverage for, and
-alleged refusal to defend Akam against, Plaintiff�s negligence claims in the Underlying
+alleged refusal to defend Akam against, Plaintiff�s negligence claims in the Underlying
 Lawsuit. Id. at 7. Third, the Coblentz Agreement included a consent judgment in favor of
-Plaintiff for $14.5 million and specified that �Davis� right to seek satisfaction of the Consent
-Judgment [was] solely against [the Chubb Insurers] and the [Chubb Policies].� Id. at 8.
+Plaintiff for $14.5 million and specified that �Davis� right to seek satisfaction of the Consent
+Judgment [was] solely against [the Chubb Insurers] and the [Chubb Policies].� Id. at 8.
 Plaintiff now moves for Judgment on the Pleadings on Count I of the Amended Complaint.
 II. LEGAL STANDARD
 Pursuant to Federal Rule of Civil Procedure 12(c), after the pleadings are closed,
 a party may move for judgment on the pleadings if no material facts remain at issue and
-the parties� dispute can be resolved on the pleadings and those facts of which the court
+the parties� dispute can be resolved on the pleadings and those facts of which the court
 can take judicial notice. See Fed. R. Civ. P. 12(c); Hawthorne v. Mac Adjustment, Inc.,
-140 F.3d 1367, 1370 (11th Cir. 1998). �In determining whether a party is entitled to
+140 F.3d 1367, 1370 (11th Cir. 1998). �In determining whether a party is entitled to
 judgment on the pleadings, we accept as true all material facts alleged in the non-moving
 party's pleading, and we view those facts in the light most favorable to the non-moving
-party.� Perez v. Wells Fargo N.A., 774 F.3d 1329, 1335 (11th Cir. 2014). �If a comparison
+party.� Perez v. Wells Fargo N.A., 774 F.3d 1329, 1335 (11th Cir. 2014). �If a comparison
 of the averments in the competing pleadings reveals a material dispute of fact, judgment
-on the pleadings must be denied.� Id.
+on the pleadings must be denied.� Id.
 III. DISCUSSION
 Plaintiff focuses her argument on whether the AmTrust primary policy provided
 coverage for her claim, and specifically, whether the Organic Pathogen exclusion applied.
-See Motion, at 9�11. According to Plaintiff, the Organic Pathogen exclusion did apply and
+See Motion, at 9�11. According to Plaintiff, the Organic Pathogen exclusion did apply and
 thereby released AmTrust from its duty to defend and indemnify Akam. Id. This, in turn,
 Case 0:21-cv-61958-AHS Document 60 Entered on FLSD Docket 03/16/2022 Page 3 of 5
 4
 activated the Chubb Policies, requiring that the Chubb Insurers provide a defense and
 indemnity to Akam Id. However, the Chubb Insurers allege in their answer, affirmative
 defenses, and counterclaim, that AmTrust did in fact defend and indemnify Akam. See
-(DE [25], at 1�9). Six of Chubb�s denials specifically relate to Plaintiff�s allegations
+(DE [25], at 1�9). Six of Chubb�s denials specifically relate to Plaintiff�s allegations
 regarding coverage under the AmTrust policy and whether the Organic Pathogen
-exclusion applied. See (DE [25] �� 32�34, 37, 41, 44). Moreover, Chubb alleges several
-affirmative defenses providing factual information concerning AmTrust�s primary
-coverage. See (DE [25], at 7�8). Specifically, Chubb alleges it had no duty to defend and
+exclusion applied. See (DE [25] �� 32�34, 37, 41, 44). Moreover, Chubb alleges several
+affirmative defenses providing factual information concerning AmTrust�s primary
+coverage. See (DE [25], at 7�8). Specifically, Chubb alleges it had no duty to defend and
 indemnify Akam because the AmTrust policies are primary to the Chubb Policies, and
 AmTrust was in fact fully defending and indemnifying Akam. See Response, at 7.
 Moreover, Chubb alleges that it, at no time, denied its duty to defend or the possibility of
 coverage. Id. Chubb further states it handled the Underlying Lawsuit under a complete
 reservation of rights, which was accepted by Akam. Id.
-In considering the Motion, the Court must not only accept the nonmovant Chubb�s
+In considering the Motion, the Court must not only accept the nonmovant Chubb�s
 allegations as true but must also view those allegations in the light most favorable to
 Chubb. See Perez, 774 F.3d at 1335. And if a comparison in the pleadings reveals a
 material dispute of fact, judgment must be denied. Id. Here, the pleadings directly butt
 heads on whether AmTrust did in fact defend Akam. Plaintiff argues that, even though
-AmTrust contributed funds to Plaintiff on Akam�s behalf in connection with settling the
+AmTrust contributed funds to Plaintiff on Akam�s behalf in connection with settling the
 Underlying Action, as indicated in the Coblentz Agreement, this did not constitute a
-defense of Akam, but rather a voluntary payment to settle the matter. In Plaintiff�s view,
-AmTrust�s policy did not provide coverage because of the Organic Pathogen exclusion.
-Defendant argues the fact that AmTrust contributed funds to Plaintiff on Akam�s behalf in
+defense of Akam, but rather a voluntary payment to settle the matter. In Plaintiff�s view,
+AmTrust�s policy did not provide coverage because of the Organic Pathogen exclusion.
+Defendant argues the fact that AmTrust contributed funds to Plaintiff on Akam�s behalf in
 connection with settling the Underlying Action, as indicated in the Coblentz Agreement,
 Case 0:21-cv-61958-AHS Document 60 Entered on FLSD Docket 03/16/2022 Page 4 of 5
 5
 necessarily means that AmTrust did in fact defend Akam and impliedly waive the Organic
 Pathogen exclusion. Defendant further alleges that AmTrust fully defended Akam and
-assumed the primary responsibility for the Underlying Action. See (DE [48-1], at 9�10).
-Viewed in the light most favorable to Chubb, and accepting all of Chubb�s allegations as
-true, the Court finds AmTrust defended Akam by contributing funds to Plaintiff on Akam�s
+assumed the primary responsibility for the Underlying Action. See (DE [48-1], at 9�10).
+Viewed in the light most favorable to Chubb, and accepting all of Chubb�s allegations as
+true, the Court finds AmTrust defended Akam by contributing funds to Plaintiff on Akam�s
 behalf in connection with settling the Underlying Action, as indicated in the Coblentz
 Agreement. And in doing so, AmTrust necessarily waived the Organic Pathogen
 exclusion. Accordingly, it is hereby
-ORDERED AND ADJUDGED that Plaintiff�s Motion for Judgment on the Pleadings
-on Count I of the Amended Complaint based upon Defendant�s Breach of Contract (DE
+ORDERED AND ADJUDGED that Plaintiff�s Motion for Judgment on the Pleadings
+on Count I of the Amended Complaint based upon Defendant�s Breach of Contract (DE
 [32]) is DENIED.
 DONE AND ORDERED in Chambers, Fort Lauderdale, Florida, this 16th day of
 March 2022
\ No newline at end of file
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-Stocks on the Move
-
-
-
-
-
-Beating the Market with Hedge Fund Momentum Strategies
-
-
-
-
-
-Andreas F. Clenow
-
-
-
-
-
-Copyright © 2015 Andreas F. Clenow
-
-Registered Office: Equilateral Capital Management GmbH, Talacker 50, 8001 Zurich, Switzerland
-
-For details of editorial policies and information for how to apply for permission to reuse the copyright material in this book please see our website at www.StocksOnTheMove.net.
-
-The right of the author to be identified as the author of this work has been asserted in accordance with the Copyright, Designs and Patents act 1998. All rights reserved. No part of this publication may be reproduced, stored in a retrieval system, or transmitted, in any form by any means, electronic, mechanical, photocopying, teleportation, recording or otherwise except as permitted by the UK Copyright, Designs and Patents Act 1998, without the prior permission of the publisher. Doing so would make you a very naughty boy and you don’t want that, do you.
-
-Designations used by companies to distinguish their products are often claimed as trademarks. All brand names and product names used in this book are trade names, service marks, trademarks or registered trademarks of their respective owners. The publisher is not associated with any product or vendor mentioned in this book except if expressly stated.
-
-Limit of Liability/Disclaimer of Warranty: While the publisher and the author have used their best efforts in preparing this book, they make no representations or warranties with the respect to the accuracy or completeness of the contents of this book and specifically disclaim any implied warranties of merchantability or fitness for a particular purpose. It is sold on the understanding that the publisher is not engaged in rendering professional services and neither the publisher nor the author shall be liable for damages arising herefrom. If professional advice or other expert assistance is required, the services of a competent professional should be sought.
-
-ISBN: 1511466146
-
-ISBN-13: 978-1511466141
-
-
-
-
-
-To my brother, Mathias.
-
-
-
-
-
-It’s been a lot of fun writing this book and I had plenty of help from some great people. The support, inspiration, comments and suggestions have been invaluable in completing the book. In no particular order, I’d like to especially thank Frederick Barnard, Julian Cohen, Philippe Hänggi, Jon Boorman, Riccardo Ronco, Didier Abato, Patrick Tan, Tom Rollinger, Erk Subasi, Kathryn Kaminksi, Raphael Rutz, Michael Bennett, Francois Lucas, Yves Balcer, Mebane Faber, Nigol Koulajian, Greg Morris, Nitin Gupta, Nick Radge, Thomas Hackl and Larisa Sascenkova.
-
-
-
-
-
-Preface
-
-
-
-
-This is an entire book about a single trading strategy which can be summarized with the simple statement ‘buy stocks that move up’. The idea is very simple and it’s certainly not anything new. As a concept, this is old news. What this book tries to offer is a clear and systematic way of managing a portfolio of momentum stocks.
-
-The ideas presented here are based on my own experience as a quantitative hedge fund manager. I’ve been managing institutional portfolios based on this concept, as well as other strategies, for the past decade or so. The simple ideas are usually the ones that stand the test of time. That doesn’t necessarily mean that it’s simple to implement them, but the underlying concept should preferably be very simple. In this case, it’s really simple. A stock that has been moving up strongly for a while is likely to continue doing so a little bit longer. That’s the core idea. The rest is details.
-
-I wrote a book a few years ago based on another type of trading strategy that I’ve been using for many years. That book was called Following the Trend and the entire book was about a very simple trend following strategy for the futures market. When writing that book, I was quite sure that few would even notice it and I expected mixed reviews at best. The main concern that I expected would be raised was that the book was essentially a 300 page research paper. That’s absolutely valid. That’s exactly what that book was.
-
-Much to my surprise, no one raised that concern. I didn’t hear it once. Instead, my book took off in a way that surprised both me and my publisher. After two years my publisher tells me that I, against all odds, ended up in the top 5% of finance book authors. It was a fun ride and I learnt a lot along the way.
-
-Momentum Investing
-
-This book is about systematic equity momentum. Momentum investing is a rational way to manage your money, as long as you’ve got a protection from bear markets in place. The problem is that it’s complicated to construct a solid set of rules for how to pick your stocks, when to buy them, how much to buy, when to sell etc. If you like to construct realistic simulations of your trading strategies before deploying them, which I really do recommend, momentum strategies are very complex to model.
-
-It’s a simple concept, but constructing a solid simulation is very difficult. The data is both expensive and difficult to use. You need to take cash dividends, historical index membership, delisted stocks and other issues into account. Then you need a simulation platform powerful enough to handle the vast amount of data needed. I’ve already done that work for you. I’ll present the result to you and my analysis of it.
-
-Of course, I’ll give you enough details so that those who do have access to the necessary tools and data can verify my work. If I didn’t do that, I wouldn’t have much credibility. Anyone can claim anything if it can’t be verified.
-
-What I’ll do is to present a complete set of rules for managing a stock momentum portfolio. It has performed very well in the past and it’s very likely to continue to do so. Feel free to use it.
-
-Why Write a Book?
-
-This question always comes up. Why would I write a book and reveal my super-secret methods to the world? The question itself is based in a common misunderstanding that is often found in the retail trading community. I’m not revealing anything that hurts me or my business. A trading methodology like this doesn’t work that way.
-
-There are many multi-billion dollar players in the equity momentum game. They trade according to similar principles that I outline in this book. Not the same, but similar. They have large research staff and they have massive budgets. There’s nothing in this book that these firms don’t know or can figure out on their own. So who should I keep these secrets from?
-
-If a few thousand people read this book and start managing their own money according to these ideas, that’s great. It certainly wouldn’t destroy the profitability or take away money from me. It just won’t make a difference, considering how much money is already managed in momentum strategies.
-
-If anything, I’m hoping that some who read this don’t have the time or patience to implement the strategy, and instead lets my asset management firm manage their money. I’m happy to explain how everything works, but many people still need a professional investment manager.
-
-So why am I writing a book? First, it’s quite fun. I enjoy writing and I very much enjoyed the contact I had with countless readers after my first book. Second, there’s nothing really to lose. No secrets to give away. Hopefully my ideas are slightly better than what others have published, but we’re dealing in details. Third, there’s the potential of finding new interesting clients for the actual business, asset management.
-
-And if you thought that I write for the glorious revenues you get from book sales, you’ve obviously never written a book.
-
-
-
-
-
-The Problem with Mutual Funds
-
-
-
-Almost everyone in the developed world has an ownership stake in a mutual fund. Even if you didn’t actively buy into any mutual fund, your pension fund is most likely invested in some of these vehicles. Mutual funds seem like a logical solution and they have been hailed by governments, universities and banks as the perfect solution for individuals to participate in the equity markets.
-
-Before you buy into a mutual fund, you should be fully aware of what it really is and how it works. Most people are not familiar with what a mutual fund tries to achieve and how it goes about it. Even more importantly, you should be familiar with how mutual funds have performed in the past. After all, asset management is a highly measurable business and it’s quite easy to compare and analyze how investment products actually performed.
-
-While the idea of collective investment schemes is quite old, the mutual fund industry as we know it has only been around since the 80’s. The overall idea is to allow for anyone to participate in the general stock market, even with smaller amounts in the simplest possible way. Of course you could participate in the markets by simply buying a basket of stocks, but you’d quickly realize a few practical problems with that. If you’re looking at an index such as the S&P 500, like the return and would like to replicate it, you’d have to buy into 500 stock positions. Well, some have such small weights in the index that you could probably get a close enough replication by just buying half of the 500 member stocks. But you’d have to keep track of the weights and the membership changes and actively manage your portfolio to match the index. If you don’t, you wouldn’t get the same return as the index. Perhaps more, perhaps less, but not the same.
-
-And what if you would like to invest $100 a month for long term saving? It wouldn’t be possible as you can’t buy fractions of a share. Even if you want to follow the Dow Jones Industrial Average with only 30 stocks, you can’t buy them with for such small amounts. Even if you could, you’d have to handle weight rebalances and all the other hassle that most people simple don’t want to do, and would not be able to do.
-
-Enter mutual funds, the savior of the poor people and the democratizer of financial markets. Each fund aims to follow a specific and predefined index, and as a small investor you can simply place your $100 with the fund and it will be pooled with everyone else’s money and invested to replicate the index. Almost.
-
-As the mutual fund is measured against a specific index, they are relative investments. This means that their job is not to make money for their investors. Go on, read that last sentence one more time. A mutual fund is tasked with attempting to beat a specific index. If that index loses money, the job of the mutual fund manager is to lose slightly less money than the index. In a bull market, his job is to make slightly more than the index. So far fair enough, as long as you’re aware of this.
-
-A core concept in mutual fund world is tracking error budget. It’s not like a mutual fund manager can do whatever he likes to beat the index. Far from it. Tracking error is a measurement of how much the returns of a fund is deviating from the index. The daily returns for the fund are measured against the daily returns of the index. The allowed tracking error, or tracking error budget, is normally very small. The fund simply is not allowed to deviate much from the index.
-
-
-
-
-
-Mutually Assured Destruction
-
-
-What a mutual fund actually does is to take almost all the money in the fund and allocate it in-line with the index. If a stock has a weight of 5.2% in the index, you buy somewhere between 5% and 5.4%. There’s very little leeway for the mutual fund manager to impose his or his bank’s investment views. They can at times make slightly larger deviations from the index, but bear in mind that this can be very dangerous.
-
-There’s an old expression in the business that governs much institutional investment behavior. “No one ever got fired for buying IBM.” What this means is, that if you do what everyone else did, you don’t risk anything personally. If you lose, everyone lost and you won’t get blamed. On the other hand, if you made your own independent decision and bought what you thought was best, ending up losing the same amount, you might very well get fired or at least receive blame. The safest course of action, in particular if you have a comfortable job, is to do as everyone else does.
-
-The result is that we have a giant mutual fund business where everyone does the same thing.
-
-Perhaps it doesn’t sound so bad. After all, if they invest in-line with the index, you should get what you wanted, right? No, not so fast. There are bills to be paid too. A decent mutual fund manager makes seven figures a year. The bank will take a management fee, custodian fee, administration fee etc. A mutual fund will of course do all trading with the investment banking department of the same bank that issues the fund, and there’s no incentive to get those fees down. There are many different ways to siphon money out of mutual funds and that’s a reason why banks love them. They are very profitable.
-
-High fees aren’t necessarily a problem, as long as the performance is there. For this to happen, the fund needs to do much better than the index, so that fees can be paid and the investor still receives better than index performance. Given the enormous success of the mutual fund industry, surely they provide strong long term returns and show clear value to their customers, right?
-
-It’s a good thing there are people whose job it is to keep track of these things. Let’s consult the S&P Indices Versus Active Funds Scorecard (SPIVA). They’re easily accessible and freely available on the internet at (https://us.spindices.com/resource-center/thought-leadership/spiva/).
-
-Take a look at Table 2-1. After you had a look at it, I’ll explain the numbers in the columns. They might not be what you think they are.
-
-Table 2 1 - Mutual Funds versus Benchmark Indexes 2013, End of year SPIVA report Source: S&P Dow Jones Indices, CRSP. For periods ended Dec. 31, 2013. Outperformance is based upon equal weighted fund counts. All index returns used are total returns
-
-
-
-The numbers in the columns show the percentage of funds that failed to beat their benchmarks. Yes, the amount that failed at the one thing they are tasked to do. In the past three years 77.53% of all US mutual funds failed to do their job. Take a look over the table and you’ll see that an overwhelming percentage of funds fail on three and five year horizons, and for some over 90%. There’s a few numbers lower than 50% on one year, showing that any given year can be a bit of luck while no one performs in the long run.
-
-You might think that this is a particular period where the funds were struggling for some reason. Sadly, no. Every year the report looks more or less like this. They’re all available on the SPIVA site, and you can go back in history and compare. What you’ll find is that the mutual fund industry is a very consistent failure. That is, from the point of view of the investor. The banks are still making good money.
-
-It’s important to understand that the failure to perform is not necessarily the fault of the mutual fund manager. He is forced to allocate almost all capital in-line with the index. He can overweight stocks he likes and underweight those he doesn’t like. He can hold a little cash from time to time when he’s bearish. There are some tools for him to impact performance, but not enough to overcome the fee hurdles. Remember that he starts off every year in the red, fighting to make back the fees. I don’t envy his job. It must be very frustrating. Until the pay check comes in.
-
-
-
-
-
-Exchange Traded Funds
-
-
-The idea of exchange traded funds is brilliant. In its original shape they were simply a logical extension of the idea behind mutual funds. With the mutual funds, the general public gained access to the broad markets. They could suddenly achieve a broad diversification and participate in the equity indexes without having large investment amounts. They also didn’t need to care about the individual investment decisions as this was handled by the mutual fund manager. But as we’ve seen, mutual fund managers don’t perform as advertised.
-
-ETFs offer a simple solution. The idea is to have a computer manage the fund with the mission to replicate the index exactly. The money in the ETF is distributed to all the stocks in the index it’s supposed to track at the exact weightings of the index itself. No deviation, no delays, very low fees, very low costs all around. The result is a vehicle which tracks the index extremely closely.
-
-If you really want to buy the index, buy a passive ETF. That’s how you get the index. A key point that I want to raise in this book however, is that buying the index might not be very attractive. It’s certainly more attractive to buy a passive S&P 500 ETF than to buy an active mutual fund with that index as benchmark of course.
-
-The original ETFs were all passive index trackers. This is a great concept. What you need to be careful with though is the growing number of structured products that are being packaged as ETFs.
-
-There’s a large amount of highly dangerous and deceptive structured derivatives out there, marketed as regular old ETFs. Before you trade an ETF, look into what it really is. Never trust the name of an ETF.
-
-Avoid any sort of enhanced ETF. Avoid any short ETF. Actually, avoid any ETF that doesn’t explicitly track a specified index.
-
-Just as a simple example, take something like a short ETF. If you buy a short ETF on the S&P 500, you’d expect to get the inverse performance. If you’d buy a double short ETF on the same index, you’d expect a double inverse performance.
-
-That’s true, but only for a single day. See, in order for these funds to be able to offer the exact inverse performance in a single day, they need to be rebalanced daily. If you’ve got a background in options, you already know where this is heading.
-
-Compare the long term price development of a regular S&P 500 ETF, a short ETF and a double short ETF on the same index. Figure 2-1 shows how the short ETFs tend to fall all the time, except in times of very extreme, short term negative moves in the index.
-
-What you need to understand with short ETFs is that you’re trading gamma, not delta. Option traders should have already seen this coming. What this means is that the short and double short ETFs are much more sensitive to change in volatility than to directional change in price. When you buy these short ETFs, you’re really putting on a short volatility position.
-
-In all fairness, it has to work like this. If you want to match the inverse performance on a single day, this will be the effect. The problem is that it’s not exactly explained to people who trade these things, thinking that they can get inverse performance over a week, a month or a year.
-
-
-
-Figure 2 1 Short Exchange Traded Funds
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-Here’s the simple explanation. Start with the index at 100. The first day, the index drops by 10%. Now the index is at 100, the short ETF is at 110 and the double short at 120. Great for the short ETFs. The next day, the index moves back to 100, gaining 11%. Would you expect your short ETFs to be back to where they started? The short ETF, losing 11% of 110, is down to 97.8. The double short loses 22% of 120, down to 93.3.
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-Repeat this game for a while and it looks like Figure 2-2. The index in that example keeps going sideways, up a little, down a little, but in the end sideways. The short ETF under those circumstances would keep moving down. The double short would move down fast.
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-The short ETFs is a very obvious example of bad ETFs. They’re misleading and can easily cause losses if you’re not familiar with structured derivatives. There are many more of these sorts of disguised derivatives in the ETF world.
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-Exchange traded funds are a great idea, as long as they’re straight up vanilla index trackers. Be very careful with any other type of ETF.
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-Figure 2 2 Short ETF Performance
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-Equities is the Most Difficult Asset Class
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-Many investors are drawn to stocks because it seems like the easiest asset class. We all know, more or less, what a company is and what the shares in them mean. It’s easier to relate to than commodity prices, bond yields or foreign currencies.
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-Most people trade companies that they understand. You go to Starbucks for your morning coffee and understand how their business works. You like your new neat iPhone and buy Apple stocks. This is of course an illusion. Your experience with Starbucks coffee or Apple iPhones is not really helpful for predicting future stock prices. It only seems like it, after the fact.
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-This is an illusion that it’s very easy to be fooled by. When you look at the names of publicly traded companies and associate your own experiences with them, it’s easy to get influenced by this. If you like their products, you feel that the share price should rightfully move up. If you think that they’re outdated, out of fashion or have a flawed product, you feel that the price should be falling soon. Most likely, these ideas are not helpful in trading the stock in question.
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-It’s very easy to look back at a larger price move and think that it was so obvious that this should have happened. Perhaps you look at the dramatic rise in the Microsoft prices in the 90s and say that it’s so obvious that they would have dominated not only the software business but the whole stock market. After all, these are the makers of the wonderful operating system DOS and the brand new add-on GUI Windows. Even if you for some reason didn’t spend your 90’s evenings constantly re-optimizing the extended memory usage though config.sys and autoexec.bat, you would have noticed that there really were no viable contenders around. This was, in retrospect, as clear as it gets. And yet, it was very far from clear at the time. Sure, in the generally prevailing insanity at the time, everyone threw money at any tech stock like there was no tomorrow. But the people buying Microsoft were generally the same that bought Worldcom, Global Crossing, AOL and many other companies that went belly-up in a spectacular fashion. It just looks obvious when it’s too late to act.
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-Quite often companies with great products and seemingly great strategies perform poorly in the stock market. Equally often it’s the other way around, with insane sounding concepts skyrocketing. Again, wait until after the stock has moved enough to make headlines, and now it seems so obvious to everyone why it all happened. There’s an old expression that everyone’s a Monday morning quarterback. Now, as a European I don’t really know what a quarterback does, but it doesn’t seem like something you’re supposed be doing on Monday mornings.
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-There are certainly people who are very good at fundamental analysis of companies and industries. They’re experts in figuring out what will happen in the long run and usually go into extreme details in their analyses. This is a very difficult game and it goes a lot deeper than liking or not liking products. These analysts are often specialized on just one sector or even a few stocks. They follow every detail and analyze every row of their income and balance sheets. It’s a perfectly valid approach to the financial markets, given sufficiently hard work of course, but it’s a full time profession in itself and not what this book is about.
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-A very similar illusion is the belief that you have an advantage in trading the stock of the company you work for. It would seem to most people as if their inside knowledge of the company helps them understand the market and achieve an edge in trading. Unless you’re part of the top management team or the board of directors, this is simply not the case. Even if you’re top management or a non-executive director, it’s doubtful that you have any advantage more than at special situations such as just before an important announcement. Those special situations are of course illegal to trade on, generally speaking.
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-In fact, buying the stock of the company you work for is irrational. First, you don’t have any sort of advantage in trading it compared to any other random stock out there. If it worked that way, the employees of any publicly traded company would make more money on trading than on their salaries. It’s just an illusion. But even worse, you’d be compounding your existing risk in a single company. Yes, you’ve already got a risk exposure against the company you work for. If they do poorly, you might get fired. If they do well, you might get a raise and a promotion. By purchasing the stock, you’re just increasing your risk against the same entity, without any rational reason for doing so.
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-Peer Pressure
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-The equity world gives you the impression that you have endless possibilities. There are thousands and thousands of stocks to be traded. These represent companies doing business in any imaginable business sector. You’ve got industrial conglomerates, telecom operators, pharmaceutical companies, gold mining operations, internet firms, oil explorers, you name it. The business areas are so extremely different that it would be logical to assume that the share prices will move very independent of each other.
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-The problem is that they don’t. Yes, you’ve got thousands and thousands of stocks to choose from, but when it matters they will all behave like reindeers. What? The whole sheep metaphor is overdone. I’m Scandinavian, trust me on the reindeers.
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-In normal market conditions, stocks can appear reasonably independent. When we have a bull market, most stocks go up but good stocks go up much more. Most stocks have a quite high correlation to the overall equity index during bull markets and even if you’ve got a large portfolio of stocks, you’ll be highly dependent on the overall market. When the index advances, so will most of your stocks. And vice versa of course.
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-In a bear market, this quite high correlation between stocks suddenly approach one at terminal velocity. When the markets suddenly tank, there’s no place to hide. Everything takes a hit at the same time. Then when the overall market rebounds and makes a sharp bear market rally, all the stocks turn up on the same day. This destroys the very idea behind diversification. What you’re now holding is essentially varying amounts of beta.
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-This is the single trickiest part with equity strategies. If you’re trading all asset classes at the same time, you could fairly easily design a mechanism for diversification. After all, corn, oil, Yen and stocks have very little in common and usually move quite independent of each other. But if you’re just trading stocks, you have no such luxury.
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-The lack of diversification in equities is a factor that it’s critical to be aware of. For equity strategies, you will always have a substantial beta position. The more stocks you hold, the closer your strategy will resemble the index. This is important, but not necessarily a problem, as long as you’re very aware of it and design your strategies with this in mind. Taking beta risk deliberately doesn’t have to be a bad thing. But you do have to be aware of it, and make sure that you don’t hold beta when the market is turning sour.
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-Survivors
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-The S&P 500 Index is a momentum index. So is the NASDAQ 100, the Dow Jones Industrial, the Russell and most other equity indexes. If you think about it for a while, you’ll realize that equity indexes are essentially very long term momentum strategies.
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-Of course the word ‘momentum’ is not part of the official Standard and Poor’s index methodology. But market capitalization is.
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-For the S&P 500 Index, in order for a stock to be considered for inclusion, it has to be very liquid, listed on the NYSE or NASDAQ and must have a market capitalization of over 5.3 billion dollars. Market capitalization is simply the theoretical value of the company. You get this by multiplying the number of shares outstanding with the current stock price. The implication of this should be obvious. The reason that a stock is part of the index is that it had a strong price development in the past. When a stock leaves the index, it’s usually because it had poor price performance and dropped below the market cap requirement. This makes the S&P 500 Index, and most other indexes, momentum strategies to some degree.
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-When you look at a long term chart of such an index, you’re looking at a momentum strategy. Strong performers are included, poor performers are not. A company can do poorly for a while, but if it keeps losing it will be excluded from the index. As it keeps going down after that, the index itself is not impacted. What you see therefore in the index is very similar to a momentum stock picking strategy.
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-This all means that the indexes make the equity markets seem better than they really were.
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-It also creates an illusion of being able to get so called ten-baggers. That expression refers to a stock that increases in value tenfold after you buy it. That’s 1,000%. If you look at a stock in the S&P Index and go far enough back in time, you may start regretting not buying it ten years ago. The problem is of course that this stock wasn’t in the index then. It’s only in the index now because it had an amazing ten years. You probably wouldn’t even have heard of the stock ten years ago. Even if you did, it was probably a high risk small cap stock in a sea of other high risk small caps.
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-When developing and simulating trading strategies, it is of absolutely critical importance that you take this into account.
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-Let say you’re developing a trading model that buys stocks under certain circumstances. Perhaps you buy when they break out of a range, perhaps you buy when they’re oversold, it really doesn’t matter here. If you program this approach into a simulation platform and test on the current S&P 500 constituent stocks for the past twenty years, it will most certainly look great. After all, the strategy buys stocks from a basket that we know had great advances.
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-What you need to do is to use a realistic stock universe. A good way to do this is to test on all stocks in an index, such as the S&P 500, but taking historical index constituents into account. You would need to make your simulation platform aware of the historical index composition on any given day. That way, for each day back in time, the simulation would only consider stocks that were actually part of the index on that day. This is a way to eliminate or at least drastically reduce survivorship bias.
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-A key part of this approach is that you must also include delisted stocks. Many stocks that were traded ten years ago are no longer listed. Perhaps they went bankrupt or perhaps they merged into other companies. The reason doesn’t matter, but the important point is that your simulation must be given as realistic parameters as possible.
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-Most of the delisted stocks had terrible performance. If you don’t include them in your simulations, you’ll get overly optimistic results. When you then start trading, you’ll find out the hard way that reality can be very different from simulations.
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-Divide and Conquer
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-There are all sorts of corporate actions that may affect the shares of a company. Most of them are fairly straight forward and easy to adjust for. These are usually adjusted for automatically in practically all data sources. A split for instance, is automatically back adjusted for, so that no artificial gap is introduced. This is all good and well. The real problem however is with cash dividends.
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-Most time series sources available to the general public ignore dividends. Odds are that most stock charts you’ve ever seen, and perhaps even all, completely disregard dividends. Even the default charts in expensive market data platforms for professional finance people disregard dividends.
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-Normally all charts are adjusted for splits and similar corporate actions. If they weren’t you would see it quite easily. Just look at the 2014 split in Apple for a very obvious example. In June that year, Apple did a 7:1 split. That means that the price is suddenly one seventh, or 14.286% of what it was the previous day, but in return you’ll suddenly have seven times as many shares in your portfolio. The share price closed on June 6, 2014 at $645.87. On the following Monday, the stock opened at 92.72. This represents a dramatic change in numbers, but it’s really a non-event.
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-Splits really have no impact on anything but they can serve as a neat little marketing trick. It’s a statement from the company that the stock price has risen so much, that it’s become too expensive for people to buy. That’s of course not entirely correct, as the price level of the stock itself is not a measure of how expensive or cheap the company is. If you compared two identical companies, with equal number of shares outstanding as well as identical fundamentals and outlook, the share price itself would have at least some relevance.
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-While a split is a non-event and has no analytical value, it does impact the time series of the stock. In the Apple case, if you don’t make any adjustments, you’ll get a chart that was moving at around 650 and then suddenly plunged down and lost 85% in a day. It would appear as if there was a major loss for shareholders, and that was obviously not the case.
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-The way to adjust this is to recalculate the whole series back in time. In case of a 7:1 split, all prices back in history for this stock prior to the split, must be multiplied by 0.142857. As you can see in Figure 3-3, the unadjusted series makes no sense. There was no 85% loss in the summer of 2014 and the time-series shouldn’t have a gap there. Don’t worry; this job is done automatically by practically all market data providers, even the free internet sources.
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-When it comes to dividends, the logic is very similar. In order to get a correct picture of the actual financial development of a share price, you need to adjust all series back in time. While a split is usually at least by a factor of 0.5, the adjustments for dividends are much smaller. The standard practice when it comes to adjusting for dividends is to assume that the cash received was immediately reinvested in the same share. This method allows us to easily calculate an adjustment factor and adjust all price series back in time.
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-Figure 3 3 Apple share price, without and without split adjustment
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-Again, don’t worry too much about the practical details. It’s useful to understand the general logic and the benefits from these adjustments, but it’s unrealistic to attempt to do this work on your own. If you plan on running simulations or doing other analysis of longer term stock time series, it would be advisable to buy total return data. This expression refers to data that has been adjusted for everything, from splits to dividends to anything else that might have affected the investor over time.
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-Figure 3-4 shows AT&T since 1998. One line shows you a time-series adjusted only for splits and other corporate actions, as it would be displayed by default in most market data systems. The other shows you the real development, including dividends adjustment. The first series, which most people would call the normal price chart, would tell you that an investor lost 7% if he bought in 1998 and held until 2015. The problem is that this is very far from the truth. This is a high yielding stock, paying large dividends. The actual result of buying in 1998 would be that you doubled your money by 2015, assuming reinvested dividends.
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-You may wonder why we assume that dividends are reinvested. Well, because any way you cut it, you’ll have to make some assumption about what happens to that cash, and that assumption will inevitably end up to be wrong. Assuming reinvestments is the standard method, it makes logical sense and it makes for useful adjustment figures.
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-You could assume that the cash does nothing, but that’s not likely either. That would imply that you get dividends and put the cash under the mattress. Perhaps we could assume that the cash goes into so called risk free deposits, or is invested in the index. Either way, as you see, we’re going to have to make some assumption about what happens with the cash. Reinvesting it means that our entire initial cash purchase stays with the share price, just as it would have if there were no dividends to begin with. It therefore shows a more valid time series of the value development of the company.
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-Figure 3 4 AT&T with and without dividend adjustment
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-The examples shown here are on the extreme side and were deliberately chosen to make a point. Observant readers probably wonder if this really matter so much in normal day to day stock trading and investment decisions. For some type of strategies and methods, it probably doesn’t matter that much. As long as you’re on a short enough time horizon, and don’t happen to trade during a split or dividend event of course.
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-But it does matter to the type of long term momentum approach that this book is concerned with. There are two problems that come from disregarding these adjustments. The first is about simulations and the second about stock picking.
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-When developing a trading methodology, it’s common to construct a mathematical model and make a realistic simulation of the approach. Without doing so, you’re flying blind. You may have a very logical theory about the market, but if you haven’t tested its historical validity, you don’t really know to expect when you go live.
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-If your simulation is performed on unadjusted price data, or more likely on price data adjusted only for splits and not for dividends, the returns over time will be very far from reality. Every time a dividend is paid, it looks as if you got hit with a loss, which of course wasn’t the case. Perhaps you’ve got a great methodology, but you could end up discarding it as the simulation shows worse results than it should.
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-The larger problem is with stock ranking and selection. If you would make a ranking of the stocks that performed the best in the past year, any stock that paid a dividend would get pushed down the list. A company may be on a roll, constantly increasing its profits and rapidly expanding, but since it’s paying a dividend it won’t show up on your ranking screens.
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-Without taking dividends into account, you may and up selecting inferior stocks. If you’re taking your portfolio selection seriously, and if you're still reading I can only surmise that you do, then you really should look into getting a total return data source.
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-Choice of Index
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-For the purposes of this book, the equity market will be represented by the Standard and Poor’s 500 Index. It’s a broad index of large American stocks and serves well as a general benchmark for the health of the US markets.
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-Picking an index is more important than it might seem. The index is your benchmark. It doesn’t mean that you have to track the index, but it’s a yardstick to measure your performance against. If you’re not beating the index, you’re not doing a very good job. The choice on index also helps you define your scope. There are thousands of stocks to choose from only in the US. Having many stocks available can be a good thing, to a point. It often helps though, if you limit yourself to the members of one, or potentially several indexes. It gives you a defined scope to work from and it’s particularly useful in simulating your strategy. If you don’t have a clearly defined scope, it’s difficult to make realistic assumptions about what stocks you would have considered ten years ago. It’s a classic fallacy to look at some stock that just made a thousand percent return in the past ten years, assuming that you would have even heard about it before it started its run.
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-There’s a very good reason why I didn’t pick the Dow Jones Industrial Average as the index of choice. Actually, there are several reasons not to choose this index. The Dow is quite a silly index, in lack of a better word, and there’s very little reason to use it. Mostly it’s an index that talk show hosts on business television shows mention, since they feel that the public are more familiar with its name.
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-The Dow Jones consists of only 30 stocks. That in itself is a severe limitation of the index. The 30 largest stocks are not representative for the thousands of stocks on the US exchanges. It’s an extremely narrow index.
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-The larger problem is in how the Dow Jones is calculated. It is a price weighted index. This means that you just add up all the share prices of the 30 constituent stocks and divide by 30. To be precise, you also need to divide by the index divisor, but that’s just a technicality to arrive at consistent numbers.
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-If you stop and think about this for a moment, it should be very clear just how nuts this methodology really is. A stock with a higher share price will have a greater impact on the index. This is rooted in the very old way of thinking, that the stock price itself has some sort of analytical implication. That a share price of 100 makes a company more important than a share price of 10.
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-Keep in mind that we’re not talking about market capitalization. Share price is not in any way related to how valuable a company is. A company with a share price of 10 could have 100,000,000 shares outstanding, while a company with a share price of 100 could have 10,000 shares outstanding. The share price by itself means absolutely nothing.
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-The Dow Jones Index and its methodology is a legacy product. There are plenty of better alternatives to use. On the professional side, the MSCI set of indexes are very popular. The core value of this set is that you’ll get a consistent methodology on a global basis, covering anything you could possibly want. There are hundreds of MSCI indexes, classified by geography, style and sectors. For asset managers, this is the go-to set of indexes, but the drawback is that it’s quite expensive to buy index constituents information. The value of buying access to a premium set of indexes for retail traders is also questionable. It would make more sense for most to look for broad indexes where the constituent information is available free of charge. For the US markets, the Standard & Poor indexes make for a good choice.
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-The most well-known of these indexes is of course the S&P 500 index, consisting of the largest 500 stocks on the US exchanges. Also of interest may be the S&P 400 mid cap index and the S&P 600 small cap index. Together these three indexes also form the S&P 1500 index.
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-Exactly which index you end up using doesn’t matter as much as your reasons for it. Don’t pick an index on random. Figure out what you’re looking for, and pick an index to match.
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-In this book, the S&P 500 will be used most of the time. The ideas presented work fine with any broad enough index though. Your mileage may vary with more narrow indexes of course.
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-Market Capitalization
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-Market capitalization refers to how much a company is worth. Yes, it may very well be a needlessly complex sounding term for something very simple.
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-To understand what market capitalization, usually just called market cap, really is, just look at how it’s calculated. Start by checking the total shares outstanding. That’s the number of shares issued by a company, all in all. That means all shares outstanding, whether free floating or not. Next you simply multiply the number of shares with the current stock price. The number you get is the theoretical value of the company as a whole. It’s theoretical, because if you were looking to buy the entire company the price would be quite different, as you see in any merger or corporate takeover bid.
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-Grouping stocks based on market cap often makes sense. Most market indexes have strict rules regarding market cap and focus one on one range. The S&P 500 Index is a large-cap index, which according to their standard means that any company needs to have a minimum market cap of $5.3 billion. That doesn’t mean that any company larger than this is included, only that a company needs to fulfill this minimum market cap in order to be considered in the first place.
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-The lesser known S&P 400 Index is the mid-cap equivalent. To be a candidate for this index, a company needs to have a market cap between $750 million and $3.3 billion. The small-cap index S&P 600 covers stocks with a value between $400 million to $1.8 billion.
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-All of these indexes are weighted based on market cap. The higher value a company has the larger weight it will get in the index. Whether or not that makes sense depends very much on your point of view. It probably makes a lot of sense if the purpose of the index is to gauge the overall market health and long term development. It probably makes less sense if you aim to invest according to those principles.
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-Generally speaking, large caps tend to have lower volatility than small caps. They also tend to have less potential than small caps. It certainly doesn’t mean that it’s a bad idea to trade large caps. It’s just a difference that you should be aware of.
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-Look at it this way. Apple started out as a small-cap company, like everyone else. Well, technically a nano-cap company or whatever term you prefer for a company run by two bearded hippies in a garage. It went through all the cycles of going from a small-cap to a mid-cap to a large-cap stock. I don’t even want to calculate how many times that stock has doubled in value since 1976. Now the company is worth around $500 billion. That’s half a trillion dollars. Around $100 billion more than the second largest company in the world. How likely is it to double again?
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-It’s not impossible by any means. It’s just a whole lot more difficult to double the stock price when you’re trading at half a trillion dollars than it is when you’re trading at half a million.
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-The risks tend to be higher with smaller companies, but so are the potential rewards.
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-Sectors
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-Classifying stocks by sectors is just a way to keep track of what the companies actually do. It’s a good idea to be aware of sectors even if you don’t apply any fundamental analysis. There’s usually some sectors doing very well and others doing poorly. This can of course be identified using quantitative methods if you so prefer. Being aware of what’s driving the market is important. If you’re not looking at the sectors at all, you may be building up an overly large exposure towards a single sector or theme without even knowing it. Taking risk is necessary, but it should be done deliberately.
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-As of writing this text in early 2015, the energy sector has been taking a shelling for over half a year. Outperforming the S&P 500 during this period could easily have been done simply by not buying any energy stocks.
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-There are several schemes to classify stocks and the terminology may vary slightly. In the end, they are quite similar though and it doesn’t matter much which scheme you settle on. I tend to use the GICS scheme, since it’s a coherent global standard and easily available in most market data platforms. It also has the advantage of being four levels deep, which can be of value at times.
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-On the top level, the GICS scheme has ten sectors, which I’ll be using to describe stocks in this book. These sectors are consumer discretionary, consumer staples, energy, financials, industrials, information technology, materials, telecommunication services, utilities and health care. If you’d like to dig deeper, each sector is divided into industry groups, industries and sub-industries. For most of us, the sector level is quite sufficient.
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-Does Trend Following Work on Stocks?
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-The concept of trend following was originally developed for futures trading. This is a world apart from the equity markets. Frankly, traditional trend following simply does not work for equities.
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-Trend following is conceptually very simple. When prices start moving in one direction, whether up or down, you jump on the bandwagon. If prices start moving up, go long. If they start moving down, go short. Then you hold that position as long as it continues. Usually this is done by having a trailing stop behind the price. This means that you only exit after losing a certain amount on the trade from the best reading. You’ll never buy at the bottom and you’ll never sell at the top, but you’ll always participate in the middle.
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-Figure 4 5 Basic Trend Following
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-As far as trading strategies goes, trend following is quite dumb. I don’t mean that it’s dumb to trade it, just that it’s based on very little information. Compared to complex strategies, taking a large number of factors into account, it’s a dumb strategy. This dumb strategy has however shown very strong results for the past thirty odd years, and according to some research it’s even performed remarkably well for hundreds of years (Kaminski & Greyserman, 2014). There have been ups and downs and at times there have even been multiple years in a row where the trend following industry lost money. But in the end, the overall return for the past few decades is very strong.
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-The trend following hedge fund business has grown fast and is now worth in excess of $300 billion. Many of these fund managers have been around for decades and show some of the best compound return figures in the industry. Quest Partners, Fort Investment Management, Chesapeake, Campbell, ISAM, Mulvaney, Transtrend and Winton, to name just a few.
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-It’s very difficult for anyone to argue that systematic trend following on futures doesn’t work. The empirical evidence is simply too overwhelming.
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-Classic trend following is done on futures. The normal way to execute this strategy is to follow trends on a large set of futures markets, covering all major asset classes. Professional trend followers trade commodities, interest rates, currencies and of course equity indexes. The reason for this approach is very simple. If you apply a trend following model to a single market, you’re just gambling. Even if you apply it to many markets in a single asset class, the success probabilities are low.
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-Any given market or even asset class can, and often will, have extended periods of time where trend following doesn’t work. When the markets are moving sideways or quickly changing directions then trend followers lose money. For any individual market or sector, this can keep happening for years. In extreme cases, even a decade. The core premise of trend following is therefore based on diversification. By trading all of these different asset classes at the same time, the probabilities are very high that something makes enough money to compensate for the losses in other asset classes.
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-If the assets you trade have low correlation to each other, you’ll be able to grind out more return at lower risk. It’s all about taking the portfolio perspective instead of the position perspective. This way of thinking is a key point that separates professionals from hobby traders. Only the portfolio level matters. When trading multiple assets with low or negative correlation, you can achieve higher return at lower risk. If the timing of the gains and losses of different assets is very different, you’ll be able to raise your overall trading level for higher returns at the same risk, or maintain your returns at overall lower risk.
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-The big money in trend following is made on the extreme trends. A small number of trends that keep on going for month after month, and sometimes year after year, will generate outsized returns. Since you just keep the successful trades, you’ll stay in these trades. The failed trades will take a small loss and exit fast. So you can afford to have many losses, as long as you get these big winners from time to time.
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-In the end, trend following boils down to statistics. It’s about making sure that you’ll have favorable probabilities of gains in the long run at acceptable volatility.
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-The most important thing to understand about trend following is just how reliant it is on diversification. It cannot be stressed enough that for trend following to work reliably, you need a diverse set of markets to trade. If you trade too few markets or too similar markets, you are relying on luck. You might have great results or you might have horrible results, but it will be luck dependent. Pick the right set of markets in the right year, and you’ll do fine. But for those of us not content at leaving our fate to luck, a broad set of markets is needed to have sufficient statistical basis for a trend following approach.
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-If you apply a standard trend following model to stocks, you will most likely lose money. These models weren’t developed for use on single stocks and they will not perform on them. There are several reasons why it’s a bad idea to take an approach meant for diversified futures and applying it on stocks.
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-Both stocks and futures have a price series that can be analyzed. It may appear as if the difference really shouldn’t be that big. After all, it’s just another time series to trade. Well, there are a couple of significant differences still. The first one is of practical nature.
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-Futures trading allows for very high leverage. Even more than that. It allows you to completely disregard leverage. It’s not a limiting factor. Being able to take on large notional exposure is an important part of traditional trend following. When trading futures, the normal way of deciding position size is to simply look at the risk side. You look at the volatility of the instrument, correlations to current positions and such factors. Cash availability just isn’t a factor. Futures traders always have a large amount of available cash. Most professional traders only use 10-20 percent of the cash as margin. The rest can then be placed in money markets or fixed income instruments, both for safe keeping and to generate interest income. This has a few advantages. First, you can get a relatively risk free return on your excess capital. This may not be so important at the moment, when yields are at all-time lows. Right now, you may not get much return on that capital, but in the past you could get a substantial boost to your bottom line simply by putting excess capital into short term money market and treasury instruments.
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-Second, you can focus on targeting a specific risk level without regard to what cash is available. You can afford to take on large positions in slow moving markets, such as money market and fixed income. In short, leverage is absolutely irrelevant when you’re trading futures.
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-It must be said of course, that you shouldn’t be confusing leverage with risk. They are utterly different things and high leverage doesn’t necessarily mean high risk, any more than low exposure needs to mean low risk. Risk is never irrelevant. Leverage however, is in itself not a very useful measurement.
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-That is, unless you’re trading cash instruments, like stocks. With stocks, you need to pay for your purchases upfront, more or less. You may be able to get a bit of leverage by borrowing against your other stocks, but it’s very limited. When you’re dealing with cash instruments, you’ve always got to deal with the possibility of running out of cash. It’s an added complication and a limitation. It is however not the most important difference between stocks and futures.
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-The real killer is correlations. Stocks are very homogenous as a group. They have a very high internal correlation. That, in plain English, means that stocks tend to behave more or less the same. Naturally there are individual differences between stocks, but the fact of the matter is that in a bull market almost all of them will go up. In a bear market, almost all of them will go down. Diversification doesn’t help you very much.
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-Whether you hold ten stocks or fifty, you’re still mostly long beta. It’s ok to be long beta, as long as you do it deliberately. There’s money to be made being long beta in the right times, and that’s all dandy. The problem comes if you’re unaware that you’re making money on beta. In every bull market, the stock pickers come out of the woodworks. The war stories about making money on buying the right stocks are told over and over again in the media and in the blogs. Come bear market, the same people are conspicuously missing.
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-There is some diversification to be had in stocks, but not that much. You should always diversify. In stocks however, the diversification effect will be saturated much faster. Holding twenty stocks is better than holding five, but there’s not much to be gained by holding fifty stocks.
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-Given the high correlations and the overwhelming beta component to stocks, it’s unrealistic to expect that your returns will not be highly dependent on the index. Don’t expect to achieve the same yearly returns regardless of whether the equity markets as a whole are moving up or down. If you deal in stocks, you will be highly dependent on the overall market environment.
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-Then there’s the matter of the short side. Even when dealing with multiple asset classes, the short side is very difficult. Professional futures trend followers make very little money on the short side over time. Some years it helps, but most years it doesn’t. The short side is very tricky for a variety of reasons. It’s not just a matter of turning the chart upside down. That’s an illusion. Two things are very different with short trades.
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-The first one may be a little surprising. It has to do with the longer time periods that these types of strategies employ. If you buy an asset and it goes in your favor, it will grow larger with success. Your exposure will grow larger as the gains grow. If the position should move up by one percent per day, that one percent will mean increasingly larger profits in dollar as the position grows.
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-On the short side, you’ll find the opposite. Your position will shrink for every day it moves in your favor. If your short position declines in price by one percent per day, that percent will now mean less and less to you, since your exposure is going down too. Over the long run, this effect has a detrimental impact on short positions.
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-The other reason for short positions being troublesome is more straight forward. They’re just not as well behaved. Stocks are prone to rapid volatility expansions in bear markets. They are not as orderly as when the sailing is clear. There may be surprises now and then in a bull market too, but in a bear market it’s only surprises. That stock that was moving in such a nice bear market channel for the past three months can suddenly jump up and wipe out all your gains in a day. Those risk measurements you just calculated for your position sizing could go right out the window at any moment.
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-Then of course you have the added borrowing costs and the often limited availability of stocks that could be borrowed for short sale.
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-Holding stocks during a bear market, whether long or short, is like watching popcorn in the microwave oven. No matter how much you stare at them and try to will them to stay calm, it’s just a matter of time before another random piece of corn blows up right in-front of your eyes.
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-Trading the short side is difficult in all asset classes, but most of all in stocks. While for example commodities can at times have a strong negative bias, fueled by the cost of carry, there’s no such advantage in stocks. Storage cost and other factors can make some commodity futures move down for years in a seemingly smooth line. Not so with stocks. When stocks are in a bear market, they behave very differently than in bull market. Measured over longer periods, very few people make money from shorting.
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-Then of course, there’s a matter of what stocks to apply your trend following model to. With futures, you can include everything. Throwing in a hundred or more futures markets into your strategy isn’t a problem. But with stocks? Do you pick a few stocks manually to trade? A whole index? Do you trade all the stocks in the index? At what exposure?
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-No, stocks are simply different. They require special care. And it’s a very bad idea to trade simple trend models on them.
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-Trend following doesn’t work on stocks. But momentum models do.
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-The Problem with Trend Following on Stocks
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-When you make claims such as that trend following doesn’t work on stocks, it’s usually a good idea to duck and cover, not to get hit by the incoming egg and rotten tomatoes. A few readers probably already put down the book to stock up on suitable blunt objects to throw in my general direction. Perhaps some actual demonstrations could help. Let’s look at some trend following trading models and see how they perform on stocks.
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-The trading models shown in this section are reasonably valid in terms of concept. The investment universe is the S&P 500 stocks at any given day. That means that the historical index membership is considered and a stock is only allowed to be bought if it’s a part of the index on the day in question. If a stock leaves the index, it’s sold right away.
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-All historical members of this index are considered, and that includes delisted issues. Even if a stock has gone bankrupt years ago, that stock must still be taken into consideration in a proper simulation. For a simulation to be valid, it has to replicate reality as close as possible. The simulation shouldn’t be aware of the future any more than the rest of us.
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-In the same manner, mergers, splits and similar corporate actions are taken into account. Dividends are of course accounted for, as this is a major source of error if ignored. The simulations are carefully constructed to replicate reality as close as possible.
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-Standard Trend Following Model on Stocks
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-Let’s start with a classic. This trading model is a simple, symmetrical trend following approach meant for futures trading. It’s a medium term model and when run on a broad set of futures markets, it has shown to closely replicate the very strong returns that the CTA industry has a whole has achieved for the past 30 to 40 years.
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-This is also, incidentally, the same trend following model that I used in my first book (Clenow, 2013). The trading rules are very simple. I’ll give you the concept first and the details after.
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-This trading model can go long and short. It goes long in a positive trend and only short in a negative trend. If a stock is in a positive trend and makes a new 50 day high, we buy it. If it’s in a negative trend and makes a 50 day low, we short it. A trailing stop loss will be used, equivalent of three days’ worth of normal trading range. Position sizes will be calculated to achieve approximately the same risk in each position, using a simple formula based on ATR which will be explain in detail in chapter .
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-The rules:
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-* A dual 50 and 100 moving average used for trend filter. If the 50 day moving average is above the 100 day, the stock is considered to be in a positive trend, else negative.
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-* 50 day breakout in the direction of the trend triggers trade entry.
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-* Risk parity position sizing.
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-* A trailing stop of 3 times current ATR is set in place.
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-* Only stocks that were part of the S&P 500 Index on a given day were allowed to be traded on that day. Historical index constituents and delisted stocks accounted for.
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-* All corporate actions, including cash dividends are properly accounted for.
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-This simple model shows very strong results, if applied to a broad set of cross asset futures. This is the game played by the CTA industry. This strategy was originally used by a couple of traders in Chicago that no one really took seriously, until they started making very large amounts of money. What was once a fringe trading method is now a 300 billion dollar global industry. We know from empirical evidence that models like this one work well. At least on futures.
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-As a quick demonstration, let’s start by seeing with a simple model like this can do when applied to a broad set of futures markets. After all, since I’m claiming that the rules above work well on that asset class, it’s only fair that I demonstrate it. Figure 4-6 shows the result of applying this straight forward trend following model to a set of 70 futures markets, covering all asset classes. Despite having had a couple of bad years recently, the overall returns are very strong. The compound annual return was about 17% and the maximum drawdown was around 27%.
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-This demonstrates that the principle as such is valid. Trend following works, at least on futures.
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-Figure 4 6 Simple Trend Following on Futures
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-Table 4 2 Simple Trend Following on Futures
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-With stocks however, not so much. Figure 4-7 shows the return over time that this standard trend model would have generated. Over the period from 2000 to end of 2014, you would have ended up with a loss of almost 30%. Actually, you would have lost a lot more than that. The simulation here doesn’t even take commissions into account. This would have been a disaster strategy.
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-The settings used for this simulation is not the cause. If you change the trend filter, the breakout period or the stop loss, it will still look disastrous. This isn’t a matter of some details or something that could be optimized away. You can try hundreds of iterations and your results will be very similar. What we’re seeing is a problem with the core concept.
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-Figure 4-8 and Figure 4-9 show typical trade charts for this model, applied to stocks. These figures show both some good trades and some really frustrating ones.
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-Figure 4 7 Standard Long/Short Trend Following on Stocks
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-Table 4 3 Long Short Trend Following on Stocks
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-Figure 4 8 Trend Following Trade Chart, Autozone
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-Figure 4 9 Trend Following Trade Chart, AMD
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-On those trade charts, it may look as if the stop is a bit too close. Perhaps they are, but it really doesn’t matter much. Double the stop distances and you get almost the same portfolio results. The winners will stay in longer and gain more, but the losers will at the same time cost you more too.
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-Do you want to stop and guess what the biggest problem is? The model above has several problems, but there’s one that is of enormously more importance than the rest.
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-Yes, it’s the short side. The short side of regular trend following, as applied on cross asset futures, is a concern. Even seasoned professional trend followers tend to make little to no money on the short side of trend following. When you’re dealing with diversified futures, covering everything from currencies, rates, commodities and all other major asset classes, then the short side does have a clear benefit. Its main purpose is to improve the return skew of the strategy in the long run. Not to make money in its own right. If you’re only dealing in equities, don’t bother going too deep into these things though. It doesn’t work the same way for stocks anyhow.
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-What you need to understand is simply that using a trend following approach to short stocks is a very bad idea. You’re not going to make any money doing it. Trend following simply doesn’t work for shorting stocks. Just. Say. No.
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-Can we forget about the short side and move on? Good. For the rest of the book, there will be no more shorting.
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-Let’s do another run for the same trading model as above, with only one change. This time we only trade the long side. Figure 4-10 shows the result of this simulation. Now it starts looking a little more interesting, doesn’t it? Not only do we get a positive return, we actually get more money in the end than the index.
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-Figure 4 10 Standard Trend Following, Long Only
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-Table 4 4 Long Only Trend Following on Stocks
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-Actually we don’t get more money than the index. I was just teasing you a bit, and trying to make a point. There are two problems with the comparison in Figure 4-10. First, there are no costs taken into account. Over 14 years, the commission costs will add up and that’ll push your line down a bit. But that’s not the main problem with the comparison.
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-The stocks are all adjusted for dividends, but the standard S&P 500 price index is not. The simulation handled all the actual dividends that came in, and therefore profited from them. The index on the other hand simply disregards these dividends as if they never happened. If you have dividends on one side, we have to have it on the other. Comparing with a price index is therefore highly misleading. We need to compare with a total return index.
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-Total return means that all actual sources of return are taken into account. When a stock goes ex-div, it usually drops in price by about the same amount as the dividend to be paid. As this happens, standard price indexes are negatively affected, even though no values really changed from an investor’s point of view. The share price dropped, but you got the equivalent cash. A total return index adjusts properly for this.
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-That means that a total return index will show higher return than a price index. During shorter time periods the difference may not be that large, but once you’re dealing with multiple years or decades, the difference will become quite substantial. Note that whenever you hear about the S&P 500 index in the media, they always refer to the price index. If it’s just about the day’s move, then it really doesn’t matter. If they make some statement about how the S&P moved a certain percent in a decade, then it’s misleading at best.
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-Let’s do that last comparison again, but this time with the S&P 500 Total Return Index. This is after all the most proper way to compare our performance. The resulting Figure 4-11 is less flattering. Over 14 years, we managed to come out with a clear underperformance against the index. Sure, we did manage to keep the maximum drawdown a little more reasonable, mostly because the long only trend model stopped buying when every single stock was crashing back in 2008. This however is not a viable strategy. If you want a return curve like this, just go buy a passive index tracking ETF.
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-Figure 4 11 Stocks trend following compared with total return index
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-Someone’s surely pointing out that trend following on stocks did produce profits. That’s clear from the graphs above, at least if you ditch the short side. That’s absolutely true. The problem is that it doesn’t add any value. It creates a lot of work and potential risks, but it doesn’t yield any benefits. Compared with a simple passive holding of the index tracker, applying classic trend following on stocks does not appear to be a very attractive alternative.
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-All Time High Model
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-Let’s try another approach then. One method proposed by Cole Wilcox and Eric Crittenden at Longboard Asset Management (Wilcox & Crittenden, 2005) is to use all time high as the entry criteria. In their study from 2005, they use a very large stock universe, buy on all time high and sell at a trailing stop set at a distance of ten times the 40 day average true range. I’ve attempted to replicate it as close as possible based on the details in their document, but with one main difference. I’ve used only stocks part of the S&P 500 Index, to have a valid benchmark.
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-In their research paper, they say that they take all signals which implies that they scale all open positions to accommodate for incoming and outgoing stocks. This would mean that you could potentially own hundreds of stocks simultaneous and doesn’t appear to be a realistic approach for most investors. I’ll use a more realistic method of risk parity sizing, targeting a daily average impact of 10 basis points per stock. This is a very simple but effective method and will be explained in more detail in chapter . For now, I’ll also leave out the position rebalancing that they’re using. I’ll explain in later chapters why rebalancing is a good idea and how it can further improve results.
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-This is a simplified version of their model but based on the same core logic.
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-Trading Rules:
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-* Buy on all-time high, if cash is available.
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-* No leverage employed.
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-* Positions sized using simple risk parity, targeting an equal initial risk allocated to each stock.
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-* No rebalancing.
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-* Trailing stop loss at 10 times the initial ATR, using a 50 day calculation period.
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-This trading model shows pretty decent results. It’s still not a recommended approach and it still has lots of kinks to work out, but it’s better than applying a classic futures model. From the simulation results in Figure 4-12 it’s clear that the momentum approach used here has a value. Buying the all-time high breakouts did pay off. It’s also clear that this model isn’t ready for show time. To be perfectly fair though, it’s a demo built to demonstrate a concept. As such, it’s both valid and good research.
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-As could be expected, this model suffers losses during bear markets, such as 2000 to 2003. During such phases, this model performs more or less on par with the overall equity markets. In bull market phases, it tends to outperform, even though we saw a much larger outperformance during the 2003 to 2007 bull market than we’ve seen in the rally starting in 2009.
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-The flattening profile in 2008 to 2009 isn’t a concern and actually makes perfect sense. It would take some time before stocks start seeing all-time high values again after the 2008 disaster, and therefore would take time before exposure is built up again.
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-Figure 4 12 All-time high model
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-Figure 4-13 shows an example of one of many trades for this trading model. The thick line indicates the all-time high level, while the dotted line shows the stop loss point. In this Apple trade chart, you can see how the stock was bought when it first hit its all-time high value and a stop was put in place. The stock needs to close below the stop in order to exit the position on the following day.
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-Table 4 5 All Time High Model
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-Figure 4 13 All-time high model - Apple trade
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-There are a couple of problems with this all-time high approach. The first concern is that the stock selection is quite random. Whatever stock makes an all-time high first will be bought, until we run out of cash. The fact that a stock made its high first doesn’t necessarily mean that it’s a better candidate than others. The second problem is that a stock will be held until it hits its stop. That means that a stock could in theory move sideways for years without being kicked out.
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-That stock would end up taking up valuable cash in the portfolio without showing any performance for it. Even if the stock moves up, it could be moving up very slowly while other stocks are moving up fast. We would end up holding poorly performing stocks for much longer than what would make sense.
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-However, this model does show us that there might be something to the general concept. The methodology needs more work, but there’s something there. What this model indicates is that during normal to strong markets, momentum stocks seem to outperform. Let’s see if we can’t make something more solid out of that.
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-Trend Following on Single Stocks
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-Trend following on single stocks is a bad idea. Your success will be completely luck dependent.
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-Single stock trend following would mean that you pick a stock, or perhaps a few of them, and apply a trend model just to them. Proponents of this approach usually point out how well it would have worked on Apple, Google, Microsoft etc. Those stocks are usually picked as examples, just because they had great performance in the past. They are famous companies because they did well. The strategy of buying Microsoft 1985 and holding it for 15 years isn’t trend following. That’s just wishful thinking of buying the right stock at the right time.
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-Even for such great performers, most trend models didn’t work that well. Sure, the stock price might have gained massively in a decade or two but usually there’s heavy volatility along the way. You get pushed in and out of your positions often, reducing your profits. Yes, you could move the stop really, really far away. Of course, the further away you move it, the closer you get to a buy and hold strategy.
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-Let’s take Apple as an example, since it’s usually brought up in these discussions. We’ll take a standard trend following model, based on buying positive breakouts in a bull market and shorting negative breakouts in a bear market. A trailing stop will be used, as is common with trend following models. Bear in mind that we’re deliberately picking a stock which is known to have had an extreme price development in the past. If any stock works, it should be something like this one.
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-Applying a classic, medium term trend following model which has shown excellent results on futures for several decades on Apple turned out to be profitable. You’d end up with an annualized gain of nearly 10%. Not bad, huh? This model uses a stop distance of three times the average true range, which is a reasonable distance for a medium term model.
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-If we move the stop away to double that distance, this model did even better. Now we’re seeing annualized gains of 15%! Clearly trend following worked.
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-No, not really.
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-The first problem here is that the initial version, while giving you 10% yearly return on average, saw a maximum loss of 48% and it took years to recover it. Not too attractive return for such risk, is it? The second and more profitable iteration with wider stops may have seen gains of 15%, but it also saw losses of 60%.
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-But then again, that’s not the larger concern here. The big concern is that if you would simply stop mucking about with a trend following model and just buy and hold the stock, you would have gotten 26% annualized return. Figure 4-14 shows the performance of standard trend models on Apple, compared to simply buying and holding the stock.
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-If this is what trend following models do on extreme performers like Apple, you can imagine how poorly it looks for regular old stocks.
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-Figure 4 14 Trend Following on Apple
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-What I’m trying to say here is that trend following on a single, selected stock is an illusion. It’s very easy to find a stock that did great in the past and conclude that you should have applied a trend following model to it, with extremely wide stops. Yes, perhaps so. And you should also have bought real estate in the 80s.
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-It boils down to the illusion of the so called Ten Bagger. The idea that trend following on stocks will help you ride that 1,000% stock. Well, no it won’t. That’s not trend following. That’s selectively picking stocks that did extremely well in the past and dreaming of having bought them twenty years ago and never sold them.
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-The Semantics of Trend Following
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-You may be wondering if we’re not just splitting hairs here. Equity momentum strategies versus trend following. Why use different terminology and why insist that trend following doesn’t work on stocks?
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-The reason is that it really is a very different strategy. If you expand the scope of trend following to mean ‘buy anything that makes money’ then trend following is every single trading strategy you can think of. Trend following, as the term is used in the asset management business, has traditionally been developed for and used on the futures markets. It’s about buying positive trend and shorting the negative trends, usually employing a trailing stop loss or exiting when the trend strength fails by other measurements. It requires a set of broad, diversified markets to function properly over time and it usually performs quite poorly on any single asset class alone.
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-Sometimes you’ll see professional asset managers talk about trend following on stocks and even show you strong, real life performance. Usually, if you look closer, you’ll see that what they’re doing is a lot more like momentum strategies than trend following. Sometimes they might use the term trend following for marketing reasons. It’s a better known term and it requires less explanations. There’s nothing wrong with that, as long as their investors understand what they’re buying. But if you want to learn how the sauce is made, how to construct your own strategies, then it’s very important that you understand the differences between trend following and systematic equity momentum strategies.
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-The Momentum Effect
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-When a stock has been going up for a while, the likelihood of it continuing up is greater than for it to turn around. A stock which is moving up faster than other stocks is likely to continue to move up faster than other stocks. This, in essence, is the momentum effect.
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-What makes the momentum effect comfortable to rely on is not only that it has worked very well in the past, but also that it makes logical sense. It’s a phenomenon in the market which is not likely to go away, because it’s part of basic human nature. Everyone likes a winner.
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-According to some rather outdated academic theories, stock prices adjust instantly to all publicly known information and are therefore always priced at fair value. Anyone who’s ever bought or sold a stock knows of course that this is not the case. Stocks move up and down all the time and it’s very difficult to explain at the time why they are moving. It’s usually easy to look back at a multi-year bull market, or bear market, and explain what happened and why. It’s far more difficult while it’s happening. Even today when financial information is readily available to anyone with a computer and an internet browser, facts are far from clear.
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-Just read the financial news during a busy day in the market for a demonstration. It can be quite comical at times really, especially when there’s some more significant news coming out. At first, the market might be at -0.2% in the morning. News ticker updates with “Market down on FED fears”. Two hours later, the market is at +0.2% and the news ticker proclaims “Market positive on FED hopes”. The announcements finally come out, and the market dips down to -0.5%. News tells us that the market is falling on FED disappointment. As the market finally closes at +0.5% the news concludes that the market rallied on the positive FED announcement.
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-Following such news can be maddening. You need a sense of humor in this business. On the shorter time scale, like in the example above, the disconnect is obvious to most people. The market was really just flat and who knows what, if any effect that announcement really had. But even on a larger scale, over longer time periods, the same phenomenon is common. If you wait long enough to have the benefit of historical hindsight, you can probably find some real reasons for larger price moves. However, by then it’s far too late. Finding reasons for price moves becomes an academic pursuit with very little practical value.
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-I’m certainly not dismissing the many excellent researchers and fundamental investors out there of course. There are some really skilled people in those areas and they do excellent work. Those who manage to make money over the long run on analyzing news, fundamental and macro factors are highly skilled and usually very specialized. There are two potential issues with that game though. First, it requires some serious research efforts. Large amount of reading, critical thinking and analysis. You need to dig deep into corporate reports and background documentation. Some people like doing that, some don’t. It’s not an evening exercise, that’s for sure.
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-The other issue is that becoming a skilled fundamental researcher tends to mean a high degree of specialization. This can be a good thing, especially if you focus on an area which becomes the new hot thing. Trouble is, you might be focusing on an area which for some reason becomes a wasteland for a few years, and then you’re just out of luck.
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-It might seem as if the important thing is to find out why a stock is moving, but in reality this is often a futile and unprofitable endeavor. We’re not looking for truth here. When it all boils down, we’re just looking for money. Any information that can help us in that is welcome. As it turns out, you don’t need all that much information. The price itself may be all you need.
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-Momentum investing is about buying what’s moving up. When the price is increasing, we buy in expectation of the share price continuing to increase.
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-The Rational Behind Momentum Investing
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-There has been plenty of research as to the causes of momentum returns. It’s not very difficult to show that the momentum effect works or at least has worked so far up to now. It’s trickier to explain why.
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-In the academic field, the first influential paper on the subject was published in the 60’s (Levy, 1967). Since then there’s been some interesting studies confirming their findings and building upon it. One such paper by Jagadeesh and Titman (Jegadeesh & Titman, 1993) came up with two alternative theories as to why momentum investing works.
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-The first theory was that transactions by investors who buy past winners and sell past losers move the prices away from their long-run values temporarily and thereby causes prices to overreach.
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-The alternative theory was that the market underreacts to information about the short-term prospects of firms but overreacts to information about their long-term prospects.
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-There’s been plenty of debate on the subject and other theories about why winning stocks tend to keep winning. Possible theories include delayed stock price reactions to common factors, something which Jagadeesh and Titman disagrees with. There’s of course the positive feedback cycle of how winning stocks get attention and attract further investors. From a purely practical point of view though, you should ask yourself whether it really matters. If you can show that the momentum effect exists and has produced excess returns in the past, it’s likely that it will continue to do so. Speculating in the underlying reasons can be an interesting past time, but is it really relevant to your trading?
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-There’s been plenty of research confirming the momentum effect, both from academics and practitioners and there’s not a shortage of well performing equity momentum products. It’s hard to argue that momentum investing doesn’t work.
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-When a stock has been heading up a while, it’s more likely to keep heading up a bit more than other stocks that didn’t have a good run recently.
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-A crucial point to keep in mind is that the momentum effect will in reality work very different in a bear market. When we’re experiencing bull markets or just regular old boring market conditions, the momentum effect works fine. That’s because in normal and good market climates, stocks can move fairly independently from each other. There’s a greater focus on the stocks themselves, and less on the overall market.
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-In a bear market, there’s typically an abundance of market level factors. There’s usually something that drives the market declines and that will be the deciding factor for more or less all stocks. It could be the collapse of the tech bubble, a global credit meltdown, sovereign defaults or other major events. What happens in bear markets is that all stocks start behaving the same. Diversification becomes an illusion and all stocks move up and down on the same days. The momentum effect isn’t very helpful in these kinds of markets.
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-The advantage of a Systematic Approach
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-So let’s assume you’re with me so far. That I’ve managed to convince you that momentum investing is a good way to go. The question remains on how to go about it.
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-One way would be to look at the stocks you know and see which one appear to be moving up. Buy the stocks that are moving up, and don’t buy the ones not moving up. The obvious problem is that perhaps the stocks you know are not the most interesting ones. There’s no good reason to assume that the stocks you’re normally looking at would be the most suitable for momentum investing. The fact that you’ve followed or even traded these stocks before really doesn’t mean anything. They may be the best momentum stocks around, but that’s not very likely.
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-We could also take the chartist route and flip through hundreds of charts, one by one. We’ll look at each one to see if it’s got positive momentum, short list the strong looking charts and buy the strongest. Even though we expanded the field of view with this approach, it’s still not great. There’s a substantial discretionary element involved in visually looking at charts. This has the potential of introducing a random element, which can swing either way.
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-Let’s go one step further and use some technical analysis indicators. We could for instance say that we only consider stocks where the 50 day moving average is above the 100 day moving average. It may still leave many stocks to choose from and it doesn’t provide a firm guide to which stocks to buy. In the end, even this method may leave a significant discretionary and thereby random element.
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-Perhaps if we measure the distance between the 50 day moving average and the 100 day moving average. By doing that, we’ll have a quantifiable measure of the momentum. We could even make it simpler, and just measure the distance between the price and a moving average. Now compare the percentage distances for a large group of stocks, and you’ve got a rudimentary ranking method. It’s not a great ranking method, but it’s a decent start.
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-Given that we want to build a momentum stock portfolio, we could just start buying from the top of the rankings list until we’re filled up. While this helps us in finding the candidate stocks, it’s only a part of the whole equation. There are so many questions left to sort out. How much of each stock do you buy? How long do you hold the stocks? When do you replace a stock?
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-A ranking method is important but it’s still just one piece of the strategy. The ranking method is a necessary piece but without a complete strategy you’ll still be left with far too many random variables. If you buy the strongest stocks today, then what happens if other stocks are stronger next week or a month from now? You have to have a plan for when to replace your stocks with stronger stocks and under what conditions this is done.
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-Then there’s the critical question of how much of each stock you buy. Lazy methods like spending 5% of your portfolio capital on buying 20 shares won’t cut it. Such a simplistic method has many drawbacks, not the least that your portfolio will be driven by the most volatile of your stocks. Another example of random factors.
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-Earlier I mentioned that it’s not a good idea to hold momentum stocks during a bear market. That’s an easy statement to make, but it’s not as clear how this should be implemented. You need a plan for how and when to increase and decrease your overall portfolio risk. When to buy momentum stocks and when to refrain from buying them.
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-If you’ve managed to come up with a plan that covers all these factors, then you have a real trading strategy. The best part is that if you do this correctly, you’ll have a quantifiable strategy that can be tested historically. Using careful simulations, you can test what factors have been significant in the past and find what worked and what didn’t. This process can help design a solid trading methodology that is highly likely not only to be profitable but to massively outperform the equity markets over time.
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-The next section of the book will provide you with such a methodology. One that has been tested not only historically but empirically for many years.
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-Market Regime Filter
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-In chapter , I showed some simple trend following style trading models and how they failed to perform satisfactory on stocks. There’s a very easy way to significantly improve these models. It’s a very simple and straightforward concept and it puzzles me greatly why so many are still not implementing it.
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-It’s very easy: Don’t buy stocks in a bear market.
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-When it comes to trading strategies for stocks, the one indicator that’s more important than all the others is the index. At times it may appear as if a stock is independent, moving by its own force, but that’s partially an illusion. Almost all stocks are impacted on a daily basis by the overall state of the market. Even a momentum stock backed up by positive news flow and buying pressure is impacted by it. In a bull market, most stocks move up. Momentum stocks are likely to move up more than the others, but most of them move in the same direction.
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-In a sideways market regime, some stocks move up and some move down. The index may look sideways if you look at a chart covering several months, but on the days it moves up, most stocks perform a little better. Momentum stocks tend to do very well in sideways markets, as long as there’s not overly much volatility.
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-In bear markets, it suddenly doesn’t seem to matter which stocks you have anymore. When the overall market index is heading down, almost all stocks follow it. It’s just a matter of degree. If you try to search for the strongest stocks of 2008, you’ll find that it’s practically impossible to find something that was moving up at the time.
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-When the markets turn down, suddenly everything turns down. Stocks that seemed so independent before are now turning into sheep chased by a dog. In bear markets, correlations quickly start approaching 1 and it doesn’t seem to matter much anymore which stocks you’ve selected. They’re all moving down.
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-If you intend to hold a momentum stock portfolio, or any other stock portfolio for that matter, you always need to be aware of the prevailing market regime.
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-There are many ways that this could be measured. In the end, it doesn’t matter that much which method you pick. It’s not that difficult to figure out if the market is in a bull market, sideways market or bear market. Actually, the key thing to figure out is whether or not we’re in a bear market. Sideways markets are usually quite good climate to trade momentum strategies.
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-There’s no sense in spending too much time thinking about your exact approach. That’s a common mistake by hobby traders, to forget about the objective and focus on the toolbox. Think about what you want to accomplish and find a simple and straight forward way to do it.
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-In this case, we want to have an indication of the overall market direction in the long run. How could this be done? You could check if the price is above a long term moving average. You could measure the percentage move in past year. Perhaps use a double moving average or a Bollinger band. It’s not going to make a whole lot of difference. The critical point is that you need to have a long term market regime indicator.
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-Since it really doesn’t matter much what indicator is used for this, as long as it captures the long term trend of the market, I’m going to use a very simple approach. There’s no need to complicate things here.
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-I’ll declare the market to be bearish if the S&P 500 Index is below its 200 day moving average. That’s a very long term filter. Using such a simple approach, we immediately have a firm way to identify if the market is in a bear trend or not. Practically all equity portfolio strategies can be improved significantly by simply adding this one rule. If the index is in a bear market, just don’t buy stocks.
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-Figure 6 15 S&P 500 Index with 200 day moving average
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-In Figure 6-15 you’ll see the S&P 500 index with a 200 day moving average, since 1980. This picture shows us that most of the time, the index is above this long term average. That’s not too surprising. Most of the time, it’s a good idea to buy stocks.
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-Looking at this same figure, you may also notice that many times the index drops down below the moving average, only to quickly jump back up. It would be fair to wonder if it doesn’t make sense to do the opposite to what I’m suggesting here. Why not buy when the index moves below the moving average?
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-That’s a whole different type of trading approach. It’s a much more difficult one and certainly a riskier one. If you bought right after the 1987 crash, you would have made very good money and quite quickly too. But if you bought after the index breach in 2000, you would find yourself left with only half your money three years later.
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-No, I’m suggesting something much less risky. The moving average here will be used as an indicator of market regime. It answers one simple question. Is the market heading up? When prices are above the moving average, we’ll declare the answer to be affirmative.
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-Note that in the approach discussed here, the index and its moving average has no direct implication on trading. It doesn’t tell you to buy or to sell. We don’t sell just because the index moved down below the moving average. But, and here is the important part, we don’t allow any new positions when the index is below its long term moving average.
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-Don’t buy stocks in a bear market
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-Ranking Stocks
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-When you’re dealing with a large set of possible instruments to trade, it becomes important to find a good way to rank them. If you’re looking at the constituent stocks of the S&P 500, you can’t start picking stocks at random. Well, chapter shows that perhaps you can, but that’s a later story. Buying the ones you’re familiar with or read about in the newspaper is even worse. Don’t even think about clicking through 500 charts to find the patterns you like. That’ll leave you at the mercy of your visual perception and no matter how much you try to be consistent, you’re very likely to make different calls on different days. Your mood, attention span and other factors will play in and you won’t get consistent results.
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-The first thing you need to do is to figure out what you want to capture. While the core scope of this book is about momentum, the principles can be used for other styles as well. That should be a good area of research for you, if you like this book and the ideas it presents.
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-Momentum is essentially about buying the stocks that gain the most. So we’ll just rank the stocks based on their gains, right? Well, as much as I’m in favor of simple solutions, this may be a little too simple. It’s important to understand why that is the case.
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-Take a very common ranking method found on various internet websites. A popular method seems to be to rank by the percent difference between the price and a moving average. For a long term ranking, this could be the percent difference between the current price and a 200 day moving average. There are two main problems with this kind of approach.
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-First, it doesn’t take the normal volatility of the stock into account at all. That will lead to selecting very high volatility stocks where it’s just business as usual for them to run far away from the moving average and fall back down again. Second and more importantly, this method doesn’t care about how we came to be far above the moving average. If there was a massive event that moved the price very far in a single day, such as a potential takeover, that would push the stock to the top of the rankings.
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-Volatility is very important. This game isn’t about who makes the highest absolute return in a year. It’s about who has the most return per unit of volatility. Never forget that volatility is the currency that we use to buy performance. What we want to achieve is to pay as little volatility as possible for as much performance as we can get. Simply looking at returns without the risk side is strictly in the realm of gambling and that’s not what we’re doing here.
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-This leads to the obvious conclusion that we need to find stocks that move up in a nice and orderly fashion. We want stocks that not only show significant gains over time, but move as smoothly as possible. Therefore we need two building blocks for our ranking method. We need to take both the momentum and the volatility into account.
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-Let’s first find a good way to measure the momentum by itself. That’s really not that difficult, and more a matter of preference. Try to avoid the all too common reaction of looking at the usual suspects of technical analysis tools. I find that many hobby traders tend to get stuck in a way of thinking, based on the myriad of technical analysis books that have been published for the past few decades. Many of these tools were made in a different era for different purposes. Try to start from scratch and design analytics for your own purpose, without using the usual technical analysis terminology. Even if you end up using something similar, at least it’s a good exercise. It will give you a deeper understanding of the methods, as opposed to using canned technical analysis indicators.
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-I prefer my analytics to be based on decent math and logic, make intuitive sense and preferably be easy to visualize if need be. Your method of choice may be different than mine and that’s just fine. What’s important is that you find something that fits your purpose. If you make up your own analytic, be sure to do some proper simulation work to ensure that it actually adds value.
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-Using Exponential Regression for Ranking Stocks
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-My usual method of ranking stocks may for some seem overly complex. It really isn’t, once you get past the basic statistic calculations involved. If you find this section complex, my first advice would be to take your time to try to understand the logic behind it. For those with limited prior exposure to statistical analysis, the formulas and terminology may appear much more complex than they really are. Trust me, this isn’t scary.
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-If you still find these concepts too complex, feel free to replace them with your own method of choice. Look at the logic and what we’re trying to achieve and find something simpler that can get the job done. I’ll do my best to try to explain the methods I’m using and why I’ve settled on them.
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-For measuring momentum, I use exponential regression. This opens the two obvious questions, what is regression and why is it exponential. Before looking at the exponential part, you need to understand the concept of linear regression. I’m not going too much into formulas and details, and this discussion will be kept on a cursory level. My apologies to fellow quants who may feel that this explanation is overly simplified.
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-Linear regression is a method of fitting a line over a series of values. It’s a way of finding the best fitting line, in this case to a time series of prices. Figure 7-16 shows an example, where a linear regression line has been fitted over the price series. Note that this is not a trend line. A trend line is something very subjective and can be drawn in many different ways. We’re talking about a linear regression line, calculated based on the price points.
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-Figure 7-16 shows a linear regression line calculated on Microsoft in the late 90s. The linear regression formulas will give you two values which are needed to draw a regression line like this. First you can calculate the intercept, i.e. where to start drawing the line. Then you have the slope, which tells you how much the line should move up or down for each successive data point. The resulting line is the best linear fit to the price data, or rather the one with the least errors.
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-The slope is what really interests us, since that’s what tells us the direction of the stock price.
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-For daily data, the slope will tell us how many dollars and cents the line should move up or down per day. This is after all, as the name implies a straight line. Calculating the linear regression slope on a daily price series is therefore the same as calculating the average incline or decline per day over the same time period.
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-The linear regression slope is therefore a measure of the speed, or momentum of the stock. The problem however is that the slope is expressed in dollars and cents. If a stock that’s priced at $10 moves up by two dollars per day, that’s more significant than if a stock priced at $100 advances by the same two dollars each day.
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-This is the reason for using exponential regression. While the linear regression slope is expressed in currency units, the exponential slope is expressed in percent. The exponential regression slope will tell you how many percent, up or down, the line moves. Or if you prefer, the average percentage move per day.
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-Obviously this slope number will normally have many decimals and be hard to relate to. Most stocks don’t have slopes over a percent, or even half a percent. After all, if a stock had a slope of one percent per day, it would imply that it moves over 200% in a year. Instead, you’ll end up with slopes such as 0.000435 and other numbers that are difficult to make sense of and to relate to. The easy solution to this is to annualize it.
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-If you annualize the slope, you get a number that tells you how much, in theory, the stock would gain in a full year if it continued the exact same angle.
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-Not that you can make any sort of assumption that this will happen, because it probably won’t. The reason is just to get a number easier to relate to. If you see that the exponential regression slope is 0.0006 that’s tough to relate to, but if you’re told that this implies 16% on an annualized basis, that’s easier to understand.
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-Figure 7 16 Linear Regression Line, Microsoft
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-The concept is more important than the math, but let’s briefly look at how this 16% number came about. First we calculated the exponential regression slope of the stock. That can be done using most standard charting packages or in a spreadsheet application like Excel.
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-The exponential slope in this hypothetical case ended up at 0.0006. That means that on an average day, the stock moves up by 0.06% per day. Assuming 250 trading days in a year, it’s very easy to annualize this.
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-Simple financial math tells us that 0.06% gains compounded for 250 days will end up at about 16% in a year. Now the number makes more intuitive sense.
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-Thinking in terms of percent is much more helpful than thinking in terms of dollars and cents. After all, it’s not very useful to know that Stock XYZ gained $30 in the past week. It really says nothing without context. If however that same stock gained 30% last week, now that has to be significant.
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-As mentioned, a neat part with this method of using annualized exponential regression slope is that it makes intuitive sense. We can see how many percent per year the current slope represents. The important part to remember is that we don’t actually expect that this return will realize. It could be much smaller or much larger. What it does is to put the recent past into perspective, in a way that we can relate to.
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-In this book, we’re looking for a medium term momentum ranking. The regression calculations are all done using the past 90 trading days. This makes for a reasonable time period without resorting to optimizations.
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-When the line in the lower pane is above zero, the stock is heading up, else it’s heading down. The higher the number, the stronger is the momentum.
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-If we now calculate the exponential regression slope for all the stocks we’re considering, annualize the numbers and sort them based on the resulting value, we’ve got a pretty good ranking method. Not a perfect one, but a pretty good one.
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-Figure 7 17 Essex Property Trust, Annualized Exp. Regression Slope
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-Error: Reference source not found shows Essex Property Trust with the bottom chart being the annualized exponential regression slope. Note the zero level on the scale.
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-The stock with the highest slope will be on top of the list. The stronger something is moving up, the higher up the list. This is a pure momentum ranking.
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-There is still one little problem with our ranking approach. Using just annualized exponential regression for ranking means that we don’t care about the fit. If for instance a stock has gone sideways for a couple of months, then suddenly make a single day move up of 50% only to continue to go sideways again, that would really mess with our ranking. Impossible you say? Not at all. That’s a normal behavior for a stock that announces an imminent takeover. The price quickly jumps up very close to the takeover price before losing all volatility and heading sideways until the deal is complete. That’s not the kind of situation that we want to buy. You can probably imagine more odd scenarios that can happen.
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-We don’t want to pick a stock that just had a massive jump. We want to get stocks that had as smooth ride as possible. Preferably we want to get stocks that continue in a very smooth ascent after we buy them too. We’re looking for real momentum stocks, not stocks that just had crazy gaps.
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-Observant readers have already noticed the hint dropped a couple of paragraphs ago about the solution. The operative word here being ‘fit’. Since we’re using regression math, there’s a perfectly fine method to measure how well our price data fits the regression line. It’s called coefficient of determination, usually designated R2.
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-The R2 tells you how well the price series fits the regression line. If you have a bunch of random price points all over the place, you can still calculate a regression line. The result will of course be nonsense, since there’s no connection between those dots. No actual slope to be predicted. In that case, the R2 will be close to zero.
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-If on the other hand the real data is already almost a completely straight line, we’ll get the opposite result. If we’re calculating a regression slope based on price data that’s moving up in an almost perfect line, we can expect to get an R2 reading of near 1.
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-Zero is the minimum value for the R2 while one is the maximum. A value of one means that the data is a perfect fit to the line, and the lower the R2, the worse the fit of the regression line. Again, remember that an understanding of the logic is much more important than knowing all the formulas.
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-And now for the quiz of the day. Given the two values we’ve now got at our disposal, how can we make a better ranking? We’ve got the annualized slope of the stock and we’ve got a number between 0 and 1 that tells us how well that line fits reality.
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-Yes, that’s right. Let’s just multiply these guys and see what we get. If the fit of the regression line is low, we’ll bring the number down. If the fit is high, it won’t get pushed down much. What this means is that we measure the pure momentum, in the regression slope, and then we punish it for volatility. The higher the volatility, the worse the punishment.
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-What you’ll find is that for the most part, the ranking list will look quite similar. The difference is that the stocks with the most extreme fits, good or bad, will make large shifts in rank. The largest impact is that the stocks that made substantial gains under massive volatility will be pushed far down the list, far enough to be off the realistic candidates. That’s exactly what we want to achieve with using the R2 fitness method.
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-Figure 7-18 shows the annualized exponential regression slope in the middle pane. That’s the pure momentum, the annualized regression slope. The bottom pane is the fit, the coefficient of determination. Lastly, you see the two multiplied.
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-Note how the R2 drops down fast when volatility increases. When the price moves in a reasonably smooth trend, like you see in the middle of Figure 7-18, the R2 will remain quite high. In that case, the momentum ranking doesn’t get punished very much. On the other hand, when the price is changing direction or becoming erratic, the R2 will drop down and thereby pull the adjusted ranking down with it.
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-This way, our momentum rankings will be a combination of momentum, in the form of the regression slope, and also a quality measurement in terms of the R2. Multiply the exponential regression slope by the coefficient of determination (R2) and you have a pretty good basis to rank stocks against each other.
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-Figure 7 18 Regression Slope and Fit, Expeditors International
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-Although Excel is hardly a practical environment to perform all these ranking calculations, it might still be useful to do it once manually in a spreadsheet application. It’s not practical to use Excel for automating these tables, but it could help to understand the logic better.
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-Figure 7-19 demonstrates how to calculate the adjusted slope in Excel. This is the number that we’ll use to rank all the stocks for this momentum strategy. What this does is simply to make a log series from the price and apply standard regression formulas on it. Nothing else.
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-The first column shows number of days since the start of the time series. Second column is the date and third is the price. So far, no actual calculations.
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-In column D, the natural logarithm of the price is calculated. This is our basis for exponential regression calculations. Column E is a standard Excel Slope() formula, to calculate the regression slope of the log series.
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-To arrive at an annualized return in column F, we need to convert the slope back by applying the Exp() function. That gives us the percentage change per day in the slope. Now annualize that by raising it to the power of 250 trading days and you’ve got your percentage.
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-Calculate the R2 using the RSQ() function, multiply with the slope and voila.
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-What this all will result in is a list of all the stocks in your selected universe, ranked on adjusted slope. In this case, the universe was the S&P 500 stocks. In Table 7-6 you’ll see a ranking of the top 30 stocks in the S&P 500, as of writing this. The actual top stocks changes all the time of course and this list is outdated by the time you read it.
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-Figure 7 19 Regression Logic in Excel
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-Table 7 6 Top Stocks Ranking
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-The key columns are the three last ones. The adjusted slope is simply the annualized exponential regression slope, multiplied by the R2. The next column is the ATR reading, in this case based on a 20 day period. Finally there’s a calculation of the target weight for the stock, should it be included in your portfolio. This is a very easy, but still very important calculation and that will be covered in detail in chapter , which deals with position sizes.
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-So how do you construct a portfolio from this? It’s really easy.
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-Start buying from the top of the list, until you run out of cash. That’s how you make your initial portfolio. With this current list, we’ll be able to buy the first 23 stocks before running out of cash. The position sizes are calculated to approximate risk parity, i.e. to allocate the same risk to each position. As each stock has different volatility, that means allocating different amount of cash to them each. More on that later in chapter .
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-Just picking the top stocks sounds risky, some might point out. What if we get 25 biotech stocks? Well, if you’re really concerned about that you might want to add a sector cap. But you should know that nothing near such extreme portfolios have ever come up, either in simulations or in my own experience of managing such portfolios with real money. Figure 7-20 shows the sector allocation for this approach as of February 2015. It’s not an index portfolio for sure, but there’s nothing odd with it. In fact, it’s quite logical. There are no energy stocks, as that sector has been taking a severe beating for over half a year. There are no telecom stocks, as that sector has been dead for longer than anyone can remember. It’s overweighted in discretionary and staples, two sectors that had been doing very well at this time.
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-Figure 7 20 Sector Allocation, Sample Initial Portfolio
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-All in all, it’s the kind of portfolio that a skilled fundamental analyst might have constructed. It’s a portfolio I would be perfectly comfortable with and not lose any sleep over.
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-Additional Filters
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-The ranking method described above works well on its own. However, I prefer to add two more criteria for a stock to be considered. They’re very simple and logical.
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-First, a stock must be trading above its 100 day moving average to be considered a buy candidate. If it’s not, it’s really not a momentum situation. In normal markets, any stock near the top part of the momentum ranking will be trading far above its 100 day moving average. This rule just makes sure that you don’t buy stocks that are moving sideways or down, just because there are no available stocks moving up. Such a situation could otherwise develop in a bear market and especially when the market is just turning from bull to bear. So any stock trading below the 100 day moving average is disqualified.
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-Second, gaps make me nervous. If there has been any move larger than 15% in the past 90 days, the stock is also disqualified. If you include these situations, there’s a risk that you end up getting stocks that are not really momentum situations. Short term shocks may have caused the stock to move significantly, at times even enough to push the volatility adjusted momentum ranking very high. We want long term developments, not sudden gaps.
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-So the ranking method is then:
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-Annualized 90 day exponential regression, multiplied by coefficient of determination.
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-Only consider stocks that are above the 100 day moving average.
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-Disqualify any stock that has a move larger than 15% in the past 90 days.
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-Position Size
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-So you’ve decided which stock to buy. That’s a good step in the right direction. But now you’re faced with a very important, but often neglected decision. The size of your position and how it changes over time can make all the difference in the world.
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-When it comes to position size, you need to remember that we’re not allocating money. We’re allocating risk. That’s the key to understanding position sizing. The amount of cash used is not a critical factor. That might be a limiting factor when dealing in cash instruments such a stocks, since you pay for these instruments in full and leverage is expensive. It’s not however a guiding factor when it comes to position sizing.
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-It’s important to understand why it’s a bad idea to think in terms of cash allocation. This is a very common mistake made not only by the vast majority of retail traders and investors but also by a large amount of fund and asset managers. It’s appealing to use such methods because it’s so simple.
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-A classic approach is to aim for having 20 stocks in your portfolio, and simply buying 5% of each. Holding around 20 stocks seems like a good number for achieving reasonable diversification and on the surface this idea might appear to be a good plan. The problem is that this introduces a random variable to your risk and it tilts your portfolio towards the most volatile issues.
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-If all your stocks have more or less identical volatility, then this equal weight approach should work just fine. That’s not likely to be the case in reality though. Some stocks tend to move up or down by half a percent per day while others tend to have daily average moves of over 2%. If you combine such stocks in the same portfolio and allocate equal amount of cash, you’re letting the volatile stocks take charge. The overall profits or gains of your portfolio will be highly dependent on a few volatile stocks, while the performance of the less volatile stocks won’t matter very much.
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-Let’s make a real life momentum stock portfolio and see how the composition would differ, using a cash allocation approach and a risk allocation approach. The stocks below are, as of writing this, some of the top momentum performers in the S&P 500. By the time this goes to print, that will of course be very outdated. In the first portfolio version, we use the old fashion method of allocating an equal amount of cash to each stock. We just spend the same amount of money on each and every one of them, completely disregarding volatility.
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-Table 8 7 Simple equal weighted portfolio
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-This seems like a well balanced portfolio of well-known companies, diversified over many sectors. There are good reasons why some sectors are missing. Energy for instance has been a terribly underperforming sector since the crude oil price started plummeting in mid-2014. There are also no utilities or telecom stocks, as these are sectors that have been out of favor for some time and the same goes for the materials sector.
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-Note that the sector composition here is not by design. No discretionary decisions were made in that regard. The portfolio was merely constructed by picking the top momentum stocks on a particular day.
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-The stocks selected make for a good momentum portfolio at the time. They’re chosen based on valid momentum criteria. The weights however can be improved. Some of these stocks are much more volatile than the others. If we allocate an equal amount of cash to each, we’ll get a portfolio which will be dominated by these more volatile issues. On any normal market day, the portfolio will mostly be impacted by these stocks and not by the others. By allocating equal notional weight, we have created a very unbalanced portfolio.
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-The solution to this is quite simple really. It’s an approach usually referred to as risk parity allocation. By looking at the volatility of each stock, we can scale each position size according to that. The idea is to buy smaller positions of volatile stocks, so that each stock has an equal theoretical ability to impact the bottom line of the portfolio.
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-Table 8-8 shows what the weights would look like if we take the volatility into account. Note that all calculations are based on market data as it was at the time of writing. The numbers are therefore outdated by the time you read this.
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-Table 8 8 Risk parity sized portfolio
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-As you see, there’s quite some variation in the risk parity based sizes. The smallest stock only has a weight of 3.1%, while the largest is 7.6%. This reflects that Southwest Airlines is considerably more volatile than Kroger. We don’t want to buy much more risk of LUV just because it tends to move more. Buying an equal dollar amount of these two stocks doesn’t make any sense, unless of course you really want to take on a much larger risk in the airline.
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-When it comes to position sizing for investment strategies such equity momentum, the exact details aren’t what’s important. It’s not whether you buy 3.4% or 3.6% of Celgene. The important part is the concept and getting the implementation more or less ok. If you understand the reasoning why it’s a bad idea to allocate the same amount of cash to all stocks, then you’ve come a long way in solving your position sizing. A dollar in one stock isn’t the same risk as a dollar in the next stock and the normal volatility of each stock needs to be taken into account.
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-The method used in Table 8-8 is very simple and easy for anyone to implement. There are considerably more complicated methods used by industry professionals, but the marginal value isn’t very high. For those who already have expensive tools at their fingertips, using complicated methods is easy and doesn’t hurt. But the bulk of the benefits of risk parity sizing can be had with the simple formula here.
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-ATR in this equation stands for Average True Range. It’s a common measure of how much an instrument tends to move on an average day, up or down. The true range is just the maximum of the day’s high to low or move from previous day. The ATR therefore is just an average of these figures for a number of days back. How many days to use is a matter of preference and purpose and not overwhelmingly important. I used 20 days for the calculations in Table 8-8. The ATR can be easily calculated or even found automatically in most financial software applications.
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-Risk factor is an arbitrary number that sets a target daily impact for the stock. If you set this number to 0.001, then you’re targeting a daily impact on the portfolio of 0.1%, or 10 basis points. Assuming of course that the ATR stays on more or less the same level as in the recent past.
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-The lower you set the risk factor, the smaller the position size of the stock will be. The implication of this in the context of building stock portfolios is clear. The lower the risk factor, the higher the number of stocks you’ll get. This is because we’ll keep buying until we run out of cash, and with a lower risk factor each stock will use up less cash.
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-Therefore, the diversification will increase as we lower the risk factor. Just remember that in equity world, diversification only helps you to a certain point. There’s a clear advantage in diversification from holding ten stocks instead of five, but it’s questionable if there’s any value in holding 40 stocks instead of 30.
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-As an example of how to calculate position size using this approach, let’s look at Monster Beverages. Figure 8-21 shows the price chart of this company along with a 20 day ATR at the bottom. If we were to buy this stock, we can use the latest ATR reading for our position sizing formula. The last reading is 3.26, meaning that on average, this stock has had a daily range of 3.26 USD for the past 20 days. On an average day, that’s how much this stock tends to move. A reasonable risk factor might be 10 basis points, or 0.1%. Remember that this is arbitrary and that a higher number will mean fewer stocks with larger size.
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-Let’s further assume that our entire trading account is worth $100,000. So how many shares of Monster do we buy?
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-The numerator in this equation is our target daily impact. 100,000 multiplied by 0.001 is 100. This is an important number here. What we’re trying to achieve with this formula is for each stock in our portfolio to move on average 100 dollars per day, up or down. The amount $100 is 10 basis points of our portfolio, and that’s how much we want each portfolio to impact the portfolio on a daily basis.
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-Figure 8 21 Monster Beverage, with 20 day ATR
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-Since this particular stock tends to move in a range of $3.26 per day, we therefore need to divide our target move for the position with the average daily move for this stock. Divide 100 by 3.26 and you arrive at 30.67. Let’s round that down and buy 30 shares.
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-The current share price is 118.93, so buying 30 of those will cost $3,567.90. That in turn means that the portfolio weight of this position will be $3,567.90 divided by $100,000, which is of course 3.57%.
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-Always remember that when allocating position size, we’re allocating risk and not cash. We look at the volatility of the stock and set the size based on that. Let the cash allocation land where it may.
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-Position Rebalancing
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-This is a very important topic. If you come from the institutional world, you’ll think this is so obvious that it doesn’t even need to be said, not alone have its own section. After all, this is something that most people in the business do regular as clockwork at certain intervals. Naturally you need to rebalance, or you’ll end up unbalanced.
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-If you didn’t work in institutional asset management however, this may be something new that could potentially make a large impact on your long term results. Rebalancing is about how you change your position size over time. And no, I don’t mean how you double the size on success or how you double down when you lose. Those types of activities are strictly gambling. Rebalance is about changing your position size to get it back to where you set it in the first place.
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-Remember how I explained in the previous section that when you size positions, you allocate risk and not cash? Well, risk changes over time. It’s not a very static factor.
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-To really understand rebalancing you must first have a full understanding of volatility based position sizing. While there are different variations of this concept, we’ll use the ATR based formula presented earlier since it does the job well and is very easy to implement without expensive risk tools.
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-There is however one glaring problem. Something which far too many people overlook. Observant readers should already have spotted the problem in Figure 8-21. Do you see it?
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-The obvious issue is that volatility isn’t stationary. For Monster Beverages, the ATR was moving around $1.5 for most of 2014, only to suddenly make a massive jump up to $3.8 in August. Then it fell back down to around $2 before slowly moving up to a little over $3.
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-If we had bought this stock in July 2014, we would have calculated a very different size than if we bought in early 2015. Using the July 2014 data, and the same initial portfolio size, we would end up with the following calculation.
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-Yes, we would have bought more than double the number of shares if we had bought in July. The initial theoretical risk would be about the same. As the share price moves along, our position risk changes rather dramatically. If we held those shares into early 2015, we would now have over double the risk level that we were trying to target. Now we would be experiencing an average daily impact of over 20 basis points, whereas we had tried to target 10.
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-Then there’s one more non-static variable in this equation, namely the total portfolio value. Not only is this impacted by the performance of this position over time, it’s also impacted by the performance of other positions. Add to that the potential inflows and outflows of your portfolio, if you’re managing money for others or if you add or decrease your portfolio on your own.
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-Even if nothing happens to your position, the risk can still change. If for instance other positions in your portfolio have great success, making big gains, then suddenly your static position will have a much lower risk allocation than it should. The portfolio value went up because of the performance of the other stocks, and now all your position size calculations are off.
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-The same of course if other positions are experiencing large losses. As you see, position sizing is something that has to be viewed from a dynamic point of view. It’s not a fire-and-forget type of solution.
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-This all means that your position sizes need to be regularly reviewed and rebalanced. You need to change the position size in order for it to stay the same. For the approximate risk allocation to stay the same, you need to keep changing the number of shares you own.
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-Going back to the Monster chart in Figure 8-21, if we bought the shares in July, we would absolutely need to change the size in August. In this case, we need to sell quite a lot of shares. Perhaps at this point someone is asking about ‘letting the profits run’. After all, it’s a common expression that means that you should never sell a winning position. Well, these mantras are quite useless in the first place. Real life isn’t simple enough to be boiled down to a few punchy quotes.
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-Here, we are letting the position stay in, but allowing the risk allocation run wild without any control is as irrational as it is irresponsible. Professionals rebalance their positions for a reason.
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-It’s advisable to rebalance all position sizes on a regular basis. For longer term investment strategies such as equity momentum portfolios, a bi-weekly or monthly frequency is good enough. There’s usually no point in doing this on a daily basis, as it would greatly increase trading volume and transaction costs.
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-To reduce trading volume, you could set a filter as to how large difference between target risk and current risk there has to be for a rebalance action to occur. That would prevent you from doing too many smaller trades on each rebalancing day.
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-You may also want to trigger a rebalance straight away for stocks when they have extraordinary moves. In the case of the Monster Beverage example, such an event would be the dramatic jump in price in mid-August 2014, as can be seen in the Figure 8-21.
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-When to Sell
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-I bet you’re wondering about the stop loss logic. What it’s based on, how far away it is, whether the stop loss order is placed in the market or triggered on closing prices.
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-Well, sorry to disappoint you. There are no stop losses here.
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-Some types of trading strategies require the use of stop loss orders, while others don’t. Momentum stock portfolios don’t need this. In fact, using stop loss logic for this type of strategy will most likely show an adverse effect. There are better ways to decide when to kick out a stock.
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-Trend followers normally use a trailing stop. That means that you stay in a position as long as it doesn’t move down a certain distance. This is valid exit method for some types of strategies. Always keep in mind the underlying logic of things. It’s a very common trap to fall into worn old mantras about how to let profits run, cutting losses, letting the trend be your friend until it bends and such. Don’t get stuck in these mantras. The fact of the matter is that sometimes these things may be true and sometimes they are not. What you need is to apply common sense and critical thinking, not old quotes taken out of context. And you can quote me on that.
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-If we were to construct a portfolio based on the ranking concept presented in chapter and then employ trailing stop logic, we would have a very obvious problem. A stock could continue to move sideways forever, and we would still be holding it. Given the problem of limited cash that we face when trading stocks, that’s a real concern.
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-Even if the stock keeps moving up, perhaps there are other stocks moving up much more. A trailing stop wouldn’t kick that stock out just because it underperforms the peers. After a while, we would end up with an old and stale portfolio with underperforming stocks.
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-Remember how we first put the portfolio together. It was based on the best performing stocks in the universe we cover. Wouldn’t it make much more sense if we base our exit criteria on the same logic?
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-This brings us to the very important topic of portfolio rebalancing.
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-Portfolio Rebalancing
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-In the previous chapter I described the importance of position rebalancing. This entails recalculating all position sizes and making sure that they still have the same risk allocation as they did when they were initiated. As volatility changes, position sizes need to be regularly adjusted to match.
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-On the portfolio level, you have a similar task to perform on a regular basis. This involves checking if the stocks you’re holding are fulfilling the criteria needed for them to remain in your portfolio.
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-Remember the ranking tables we looked at in chapter . These tables will show us the current top stocks, based on the adjusted slope concept described there. By sorting the stocks on this slope, you’ll get a rank for each stock, from 1 for the best and getting higher and higher the worse the slope is.
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-The exact rank for any given stock will vary day by day, so once we bought a stock we have to give it a little leeway. If for instance we hold a portfolio of around 20 stocks and require that a stock must remain in the top 30, that would mean far too much trading activity and we would keep selling perfectly fine momentum stocks.
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-We could however say that when we perform the portfolio rebalance, each stock in the portfolio must be in the top 20% of the stocks in the S&P 500, or whatever your investment universe is, for it to remain in the portfolio.
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-The exact cutoff can vary. If you have a very wide stock universe, the S&P 1500 for instance, then you could set a lower cutoff. You could require the stock to be in the top 10% or even 5%. The point is the logic. Instead of having a stop loss level, we keep a stock for as long as it remains one of the very strongest stocks available.
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-But what if all stocks are moving down? Yes, that’s a real concern. So we have to have another criterion too. A failsafe. Let’s keep that real simple and just add a trend indicator.
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-Let’s kick our stocks out of the portfolio if they are no longer in the top 20% of the stocks in our investment universe, or if it’s trading below its 100 day moving average.
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-Such simple exit criteria are actually quite sufficient and will work just fine. No need for trailing stops or similar.
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-The second task in portfolio rebalancing is to figure out what to do with the cash after we sell a stock. Perhaps a stock just fell out of the top 20% or dropped below its 100 day moving average. We sell it, and we’re left with a pile of cash. Now what?
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-The circle simply repeats. First check the market regime filter. Is the index trading above its 200 day moving average? If it’s not, you’re not allowed to buy. Yes, this means that you’ve got an automatic exposure scale-out. This is a key part of this entire strategy. If the index drops below its trend filter, we don’t replace stocks when they are sold. We don’t sell just because the index went bearish, but we don’t buy new stocks either. This will result in a slow and orderly scale out of positions.
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-If the index level is all green, we check the top list again. Make a new table of the top momentum stocks, using the adjusted slope concept shown in chapter . Pick the top stocks from the list. Buy the highest ranked stocks in the list that we don’t already own, until you’re out of cash.
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-No discretionary decisions are needed. You never have to stop and wonder about what to do. The rules are very clear and that helps you perform in the long run.
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-The portfolio rebalancing should be done more often than the position rebalancing. You could for instance do the portfolio rebalancing every week, looking for stocks to sell and replace, and then only to the position size rebalancing once or twice per month.
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-A Complete Momentum Trading Strategy
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-Now that we’ve talked about the necessary building blocks for a real strategy, we’re ready to construct a solid set of rules. Having rigid trading rules offers great advantages. You’ll always have a set course of action. Your decisions will never be based on randomness or your mood of the day. In case of market distress, you’ll have a ready plan that you know has worked in the past.
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-When you have a solid set of rules you will be able to relax more. It’s much easier to have confidence in your trading methodology if you know that your exact rules have been tried and tested and worked very well in the past. You won’t have to look at your stocks every day and you won’t have to make decisions under pressure.
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-Using the building blocks that have been described earlier, let’s create a complete strategy with exact rules for how to trade. Once you have firm rules, you can either see it as a check list which you manually work through at specified intervals, or you can go a step further and automate the entire process.
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-Having these rules, you can of course also construct a proper simulation and back test the concept. This will give you added confidence as well as giving you reasonable expectations of performance. It’s important to understand what kind of return profile you can expect, both in good and bad times.
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-In the strategy I’ll describe in this chapter, I will use some exact parameters. I will use a certain number of days to calculate volatility and momentum, as well as other factors. Don’t focus overly much on the numbers I’ve chosen. A solid trading strategy isn’t very sensitive to these kinds of numbers. The numbers I’ll use here make sense, but so do other numbers. The concept is key. Don’t lose track of that. If this strategy only worked with these exact parameters, it would be useless. I’ll offer these settings as a starting point, but I encourage you to experiment with different values.
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-The Exact Trading Rules
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-Yes, I used the heading above to help those who skipped ahead, searching for just the trading rules. This is where I’ll list the rules.
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-* Trade only on Wednesdays.
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-What we’re dealing with here is a long term method of beating the stock market. Part of such a strategy is to avoid acting too fast. To reduce both workload and trading frequency, we’ll only check for trade signals once per week. It doesn’t matter if a stock plunges 20% in a day, unless that’s the day we’re supposed to trade we don’t do a thing. Note that this doesn’t mean that we work with weekly data. All calculations are done on daily data. We just don’t trade unless it’s a Wednesday. Why Wednesday of all days? Because Wednesdays happen to have a 20% probability of being the best possible weekday to trade. Yes, it’s absolutely arbitrary. Pick a day. It doesn’t matter.
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-* Rank all stocks based on volatility adjusted momentum.
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-Rank all stocks in the S&P 500 Index based on momentum. We’ll use annualized exponential regression slope, calculated on the past 90 days, and then multiply it with the coefficient of determination (R2) for the same period. This gives us a volatility adjusted momentum measurement.
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-Remember that if a stock is trading below its 100 day moving average or has a recent gap in excess of 15%, it’s disqualified.
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-* Calculate position sizes, based on 10 basis points.
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-Calculate position size, using a simple ATR based formula, targeting a daily move of 10 basis points. The formula to calculate number of shares is AccountValue * 0.001 / ATR20.
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-* Check index filter.
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-You’re only allowed to open new positions if the S&P 500 Index is above its 200 day moving average. If it’s below, no new buys are allowed.
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-* Construct the initial portfolio.
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-Start from the top of your ranking list. If the first stock is not disqualified by being below its 100 day moving average or having a 15%+ gap, then buy it and move to the next. Buy from the top until you run out of cash.
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-* Rebalance portfolio every Wednesday.
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-Once a week we check if any stock needs to be sold. If a stock is no longer in the top 20% of the S&P 500 stocks, based on the ranking, we sell it. If it’s trading below its 100 day moving average, we sell it. If it had a gap over 15%, we sell it. If it left the index, we sell it.
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-If we have available cash, we look for stocks to buy. If any stock is being sold, there is of course cash available. Buying replacement stocks follow the same logic as above. Only buy if the index is in a positive trend. Buy from the top of the ranking list, if it’s in the top 20%, has positive trend and doesn’t have a large gap. As long as the index is in a positive trend, we just buy new stocks from the top of the list until we run out of cash again.
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-* Rebalance positions every second Wednesday.
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-Twice per month we reset position sizes. As explained earlier, a long term strategy needs to incorporate position size rebalancing to avoid ending up with a completely random risk. Go over each position in your portfolio, compare your current position size with the target size. Calculate target size based on the exact same formula as you used to begin with, but of course with the updated portfolio size and ATR.
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-If the difference is minor, there’s no need to rebalance just for the sake of it. This procedure is here to make sure position risk doesn’t spin out of control. If there’s any significant deviation, reset position size to target size.
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-Well, that’s about it. Wait, let’s look at that again.
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-Ok, you only need to check the markets once a week. I picked Wednesday completely at random, so please don’t send me emails about whether some moon cycle pattern makes Wednesday the best day. Pick whatever day you prefer.
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-So we only look at the market on Wednesdays. Every week we check first if we should sell any positions. If a position no longer qualifies, it’s sold. Then if we have available cash, and the index is in a positive trend, we buy stocks. Start at the top of the rankings list and buy until you have no more cash.
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-Every second Wednesday, we have a have an additional task. Compare position target sizes with actual sizes, and rebalance as needed.
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-That’s an easy check list, isn’t it? Sure, let’s make it even easier. Just print the flow chart in Figure 10-22.
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-Figure 10 22 Trading Rules Flow Chart
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-Trading the Strategy
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-Perhaps the whole momentum strategy seems a bit theoretical at this point. It might help if we take a look at the practical side and see how you would actually implement it. We’ll also review some charts to see where stocks would have been bought and sold.
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-The Initial Portfolio
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-The day you launch your strategy, you jump right into the deep end of the pool. No gradual buying. Given that the market regime is positive, that is if the index is trading above its 200 day moving average, we just buy stocks until we’re out of cash.
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-Obviously the first task here is to make sure that the S&P 500 is trading above the moving average. This part is easy. Any charting software can do that for you, and you could even do it in Excel if you want by just comparing the average of the last 200 index prices to the current one. If the index is below the moving average, we don’t buy a thing. Just sit tight and wait for it to come back up into positive territory.
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-Now you need to calculate the relevant analytics mentioned in previous chapters and make a neat little ranking table. Doing this manually for one stock is easy enough, but we need it for hundreds of stocks. Some readers may think this is a piece of cake to get done while others have no idea where to start.
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-What you want to come up with is something like Table 11-9. Naturally the actual data in this table is not up to date by the time you read this. This table forms the core of the entire strategy. It’s a very important table, so let’s go over the crucial columns.
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-The slope column is probably the most important one. That’s what the table is sorted on and that’s what governs the priority of our purchases. The slope column shows the volatility adjusted slope, as explained in chapter . Briefly, this number is simply a measurement of the momentum a stock is showing, adjusted for volatility. The higher the number, the better the risk adjusted performance has been. We want to buy a portfolio of as high numbers as possible.
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-Even if a stock has a very high rank, it could still be disqualified. There are two more columns we need to check before knowing if we’re allowed to buy a stock or not. The Trend column tells you whether or not the stock is above its 100 day moving average. If it’s not, we’re not buying it. It’s unusual for a stock to have a very high ranking and still be below this average, but it can happen. This is a bit of a failsafe to avoid some weird situations.
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-Then there’s the maximum gap. We’re not looking for stocks that suddenly made a 40% jump on a takeover rumor. We’re looking for orderly bull markets, stocks moving up in a controlled fashion. Some gaps have to be accepted but we don’t want to jump into these odd situations where a single, huge gap caused the stock to jump to the top of the ranking table. The maximum gap we’ll allow for the past 90 days is 15%. That means that the top entry in this particular table, Hospira, is disqualified. It had a recent gap of 26%, so we’re not considering that stock.
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-Next we’ve got the ATR, or Average True Range. This number tells us how much a stock tends to move up or down on an average day, in dollars. This we’ll use for position sizing. Remember that we’re aiming for a risk parity portfolio, where every stock has an equal theoretical chance to impact the overall portfolio.
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-The Target% column is a new one. All the other data here has been explained before, but not this one. At least not directly. This is a useful thing to have in a ranking table and it tells you how large weight of a particular stock you should target. It’s easily calculated based on the ATR column.
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-Since Hospira has too large of a gap, we’re skipping that one. Let’s buy Mallinckrodt to begin with and let’s calculate how many shares we’ll need to buy.
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-We’re using a risk factor of 10 basis points here. That means that we’d like each stock to have a daily average profit or loss impact on our portfolio of 0.1%. Let’s say we’re starting out with an account worth $100,000. In this case, we want each stock to move by about $100 per day on average.
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-Mallinckrodt has an ATR of 3.69 according to the table, meaning that the share price has shown average daily moves of that amount in the recent past. Since each stock moves around $3.69 per day and we want an impact of $100, we’d have to buy 27 shares. 27 multiplied by 3.69 is close enough to 100.
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-The share price at the time this table was made was about $126. Multiply 126 by our 27 shares, and we’ll come with an exposure of $3,414. If you divide that by your account value of $100,000, you’ll find that you’ve got a weight for this position of 3.4%.
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-Now move onto the next stock, and keep buying until you’re out of cash.
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-Table 11 9 Ranking Table
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-The trade chart shown in Figure 11-23 demonstrates how a trade is done. The various lines you see in that figure are not traditional technical indicators, but rather specific items for this momentum model that I find useful to visualize.
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-At the top of this figure, you’ll see the actual price chart of the stock, Urban Outfitters. A 100 day moving average line is drawn on top of it, to show that the stock is currently in a positive trend. The second chart pane, just below, shows the S&P 500 index with a 200 day moving average. This clearly displays that the index at this point in time is also positive, trading above the moving average.
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-Next the risk adjusted momentum slope is shown. This analytic is explained in chapter . Then there’s the ATR, showing how the volatility of the stock is changing all the time, necessitating us to continuously change our position size in order to keep risks in line.
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-The momentum rank in the next pane tells us where this stock ranks, compared to all other stocks in the index. So if you take the risk adjusted momentum slope of all stocks in the index and sort them on this as we did in Table 11-9, this indicator tells us where in that table this particular stock shows up. A low number means a strong risk adjusted momentum compared to everyone else.
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-The index member indicator is either 1 if the stock is currently a part of the index in question, or 0 if it’s not. Taking historical index composition into account is absolutely critical. You need to have a formal constraint to which stocks are part of your investment universe and which are not. The easiest way to make a great looking simulation with utterly useless results is to assume that you trade the current index members ten years ago.
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-If a stock isn’t part of the index, we don’t trade it. If it leaves the index, we sell it.
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-Finally the last chart pane shows how large the maximum gap was in the stock, in the past 90 days. As long as this is below 15%, we’re all good.
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-Figure 11 23 Trade chart: Buying Urban Outfitters
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-As can be seen here, we bought Urban Outfitters in March of 2015, after it had a strong run up. Note how the risk adjusted momentum series started moving up, causing the stock to rise in the ranking list. At the start of the year, this stock had a rank of over 400, meaning it was a terrible performer. Then it started taking off, quickly climbing up the table until it was finally bought.
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-That’s how you construct your initial portfolio. Just buy from the top, as long as the stock passes the filters. But the work is not over yet. Now you have to do the regular rebalancing tasks to ensure that you’ve always got the portfolio composition we’re targeting.
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-Position Rebalancing
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-Twice per month, every second week, we rebalance position sizes. It’s a matter of preference if you want to do this a bit more often or a bit farther apart. Do it with higher frequency and you’ll have a more accurate risk, but at the same time incur higher trading costs. Every second week is a good compromise.
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-The purpose of the position rebalancing is to keep the risks in line. The volatility of stocks changes over time and since we need a risk parity portfolio, we need to keep adjusting the trade size to match our target risk per stock.
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-The idea of one buy and one sell per position is outdated. That’s not how you manage a portfolio. All these rebalance trades can make a trade chart look quite confusing, but it really does make a lot of sense.
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-The first thing to do is to make an updated ranking table, just like Table 11-9. This will tell you the target weights of each stock. Now you need to compare with your actual weights and make the necessary adjustment.
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-In Figure 11-24 you see the trades done for the momentum strategy in Java during 1999 and 2000. The initial purchase was done in September 1999 where 387 shares were bought for this portfolio. As the volatility kept moving up, seen in the ATR pane, a small amount of shares were sold at each position rebalance. These sales have nothing to do with market view. We’re not selling because we think that the share price might go down and we’re not selling to take home profits or anything like that. We’re selling because we want to maintain our initial risk. If we don’t sell some shares, we would end up with a higher risk than we had intended.
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-It’s important to understand this point. If we do nothing, our position changes. We need to act to maintain our intended position. This could mean buying shares or selling shares but it has no bearing on market views.
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-Figure 11 24 Trade Chart: Oracle
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-Portfolio Rebalance
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-The portfolio rebalance is done every week. The point with this exercise is to exit positions that no longer fulfill our criteria and to buy new ones. Of course, if the index is not above its long term moving average, we’re not replacing the stocks and thereby scaling down our overall portfolio risk.
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-Again, we have to start by making an updated ranking table. Start by going over the stocks that you currently own. If any stock shows a negative trend, as in trading below its 100 day moving average, sell it. If any stock had a gap in excess of 15%, sell it.
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-If the stock is no longer part of the top 100 stocks in the index, sell it. If we’re looking at the stocks in the S&P 500, that means that the rank needs to be better than 100. Make the ranking table, sort on the volatility adjusted momentum slope and check where the stock ends up. Higher number than 100, and out the door it goes.
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-Once you’re done selling the stocks that no longer belong in the portfolio, you’re ready to buy new ones. And you already know how to do that, don’t you? The same way as we picked the initial stocks. Start at the top of the ranking table. Given that we don’t already own the stock and that it fulfills the criteria, we buy the highest ranking stocks until we’re out of cash again.
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-Unless of course, and this is important, unless the index is below the moving average. If it’s below, we simply keep the cash and don’t buy any new stocks. The result will be a slow and gradual scaling out of the stock market during a bear phase.
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-Once the index again pokes its head above the moving average, we instantly rebuy a fully loaded portfolio. This is done the exact same way as with the initial portfolio. Just buy from the top of the list until you’re out of cash.
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-The Gilead trade chart in Figure 11-25 shows how we first bought the stock in May of 2005, changed the size a bit during the summer due to changing volatility and finally sold it again in August. The ranking worsened during the late summer and resulted in selling the whole position.
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-Later that year, in December, the stock again showed a very high momentum ranking. The stock was rebought and held for another few months.
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-Figure 11 25 Trade chart: Gilead
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-Momentum Strategy Performance
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-We now have a complete equity momentum strategy. So far we’ve looked at the various components of the strategy but we haven’t seen the actual results yet. Before looking at the historical performance of this approach, stop and consider what is realistic to expect.
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-This is not a strategy where you can expect a steady 10% a year. Very few strategies are. It’s not a strategy where you can expect every year to be positive. And it’s certainly not a strategy that should be expected to be uncorrelated to the equity markets. We are after all buying stocks. Strategies based on buying stocks tend to look very similar in the long run. Some are better, some are worse, but they will be correlated.
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-What we can hope for is to show strong performance in bull markets and to lose less than the index in bear markets. If we do that, we’ll have very attractive returns in the long run.
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-The first question is of course, whether or not we’re outperforming the market. If we’re making money but not beating the index, then there’s really no point in all this effort. A quick glance at Figure 12-26 should set your mind at ease in that regard.
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-As this is a long term chart with large percentage moves, a standard price chart can be a bit misleading however and easily gives an exaggerated performance impression. Therefore, a log version of the same performance chart can be found in Figure 12-27.
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-Figure 12 26 Strategy Long Term Performance
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-Figure 12 27 Strategy Long Term Performance, Log Scale
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-We are outperforming. We’re even outperforming quite a bit. As you can see visually, there are two different types of outperformance. There are periods where we are showing strong outperformance in bull markets. But in terms of relative performance, there’s an even larger effect from simply not being invested in stocks when the markets are falling.
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-And how well did we do in the end?
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-Table 12 10 Momentum Strategy Results
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-As Table 12-10 shows, the momentum strategy yielded over 12% annualized over this 16 year period. You don’t think 12% per year is good enough? Think again. The equity markets as a whole accomplished only 5% per year for this period. Had you been invested in mutual funds, you would have gotten even lower returns.
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-Put the returns into proper context. Warren Buffett has achieved legendary status by showing an amazing 22% annualized return over the past 40 years. Aiming for such high number over prolonged periods is unrealistic. There are extremely few people in the world who have achieved that and most of them are now billionaires.
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-If you can compound in the low double digits over time, you’re beating almost everyone out there. The stock markets as a whole only give 5-6% per year on average over long term periods.
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-Most importantly though, we achieved our 12% at less than half the drawdowns of the index. Drawdown refers to the maximum loss we’ve seen during the time period. The S&P 500 total return index saw a maximum loss of 55%. Over half the capital was gone at one point. Our momentum approach on the other hand only had a maximum loss of 24%.
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-Another way to look at those numbers is that the index lost 11 years’ worth of performance while the momentum strategy only lost 2. Consider if you enter at the worst possible time, and how long it would take for you to recover your losses.
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-Table 12-11 will show you the month by month performance of our momentum strategy. It’s hard to get a feeling for a strategy just by looking at a monthly return table, so in the next chapter we’ll go into all the details and look at how the strategy performed each year.
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-Table 12 11 Core Equity Momentum Strategy Performance
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-Year by Year Review
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-When writing my first book, Following the Trend, which is about trend following futures strategies, I struggled with how to best convey what it’s really like to be a professional asset manager. Just showing some simulation statistics and long term performance graphs really doesn’t show the day to day struggle. Quite often, a strategy can look great when you’ve got a multi-decade perspective but it may still be very tough or even impossible to execute in reality. It’s only when the proverbial rubber meets the road that we’ll really find out what works and what doesn’t.
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-My solution in that book was to write a monster chapter where I explained, year by year, how that trading strategy had performed in the past. It wasn’t my intention for that chapter to end up dominating the book, but that’s what happened. In the end, that chapter took up almost a third of the book. This made me wonder if I should really include it. Personally, I found it to be by far the most important part of that book. It’s the chapter that explains the tough parts. What it’s really like to sit in a 25% drawdown, having clients pulling out money, seeing revenues plummeting and wondering if the business is over. These situations will happen. Only if you have full understanding of your trading method and how it behaves in difficult situations, only then can you have the confidence to continue though the tough periods.
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-My worry was that the year-by-year chapter would be seen by readers as a page-filler. As it turned out, I had underestimated my readers. The number one most common feedback that I got on that book was how much people learnt from that particular chapter. How this was the chapter that gave a sense of reality and explained the things that are usually glossed over.
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-As this was a very popular part of my previous book, I will attempt to do the same here.
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-1999
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-It’s January 1999. The internet is at the center of the universe. Electronic mails provide a whole new way to avoid human contact. Profits are for losers. The Information Gold Rush is on and there’s no time for old accounting concepts.
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-In the madness that was the late 90’s, we go live with our brand new momentum strategy. It’s a great time to launch such a strategy. That is, at least in terms of raising money for it. Having had an absolutely amazing decade, everyone’s got plenty of money. The past decade has also taught us that all you have to do is to buy things that move. Don’t worry about revenue, profit, even cash flow. This is a very special time. The inmates have clearly taken over the asylum and there’s nothing to be gained by wearing a guard’s uniform. If there was ever a time where no one would question an equity momentum strategy, this was it.
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-If you weren’t actively trading during this time, it would be very hard to understand the extent of the madness. Any stock even remotely associated with the magical words “IT”, “Internet”, “World Wide Web” and “Dot Com” had sky high valuations, absolutely regardless of whether or not they made any money. Even regardless of whether they had any realistic prospects of ever making any money.
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-The market place at the time clearly didn’t understand anything about any of these companies. That’s clear now, but was far from clear at the time. The rationale for buying shares in extremely overvalued, loss making companies was that probably someone else can see the value, and if I don’t buy it someone else will. Perhaps there will be a takeover soon by someone who can see the massive profit potential, which surely must be there somewhere.
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-The fact that we were all buying tulip bulbs didn’t really occur to many people. After the fact however, most people’s memories would beg to differ. This is actually a very good year for us to start our journey. First, because it’s a very likely year for someone to start such a strategy. It made perfect sense in those market conditions. The second good reason for starting this year is to see how it handled the transition period. The hangover from the 90’s party was quite severe and lingered for a long time. What better test for our momentum strategy than to start during the party times and see how it handles the inevitable crash?
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-We start our portfolio just after the 1998 New Year’s party. We run the calculations, crunch the numbers, rank the stocks and build our portfolio. Just like it’s been explained in the previous chapters. The index gives us a green light, with prices far above the 200 day moving average. While there was a brief dip below it during the exciting 1998, which had Russia along with a few Nobel Prize winners playing lead roles, the market quickly recovered.
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-The initial portfolio was constructed by making a table that ranks all stocks by volatility adjusted momentum, calculates the target weights and all other analytics described in earlier chapters, and then just buying from the top of that list until there’s no more cash. Table 13-12 shows what this resulted in.
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-Table 13 12 Initial Portfolio 1999
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-It should come as no surprise that our initial portfolio is heavily overweight in tech stocks. This was the sector that moved the most at the time and many of the top ranked stocks are therefore from that group. There are no constraints as to sector allocation here. We just buy from the top of the list, no matter what sector they might be.
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-We ended up with 42% IT stocks, 19% financials, 13% staples, 10% industrials, 8% discretionary and 8% health care. No stocks were bought in utilities, telecom, energy or materials stocks. That’s quite a different profile from the index.
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-There are quite a few stocks in the portfolio. 34 stocks is more than what’s usually needed for diversification. The reason that there are so many stocks is that we’re dealing with very volatile markets here. Most of these stocks are hyper volatile tech stocks. Now remember how the position sizing was done. The details of this were explained in chapter . The more volatile a stock is the smaller amount of cash we’ll allocate to it. This is a common approach among professional asset managers, to ensure that you have approximately equal risk in each investment, instead of letting volatility run wild.
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-Figure 13 28 Initial Sector Allocation, 1999
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-The year started quite slow. For the first quarter of the year, the trading results were very close to what the index produced. Even after a brief period of outperformance in April, the results continued to hug the index. Since the index mostly went up, that wasn’t necessarily a problem. Outperforming is nice, but most of us care more about the absolute return. While it was a positive period, up until September it was a surprisingly boring year. Compared to the run-away markets we had all gotten used to in the 90’s, it just didn’t feel sufficient to only have a 20% gain at the end of the third quarter. A long term bull market can spoil anyone.
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-In September however the market started worrying many people. There had been several months without making a new all-time high, and that was quite unusual. The S&P 500 Index was creeping slowly closer and closer to its 200 day moving average, and then in September it finally plunged through it.
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-Remember that this cross itself doesn’t trigger anything. However, when the index is below the moving average, we’re not allowed to buy any new positions. As stocks were sold in the regular portfolio rebalancing, they were not replaced. That left us with a slowly increasing pile of cash in late 1999.
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-You can see in Figure 13-29 how the cash started building up in October, as the index dipped under the water line. The cash percentage is shown as a filled area, using the right y-axis. There’s usually a little bit of cash laying around. If there’s not enough liquidity available to buy a whole position, we just leave it in cash. See it as a rounding error if you will.
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-Note in the figure how the index moves below the long term moving average in September and how the cash slowly starts building up after that. As positions are exited during the regular rebalancing task, they are not being replaced as long as the index remains under the moving average. This is a key feature of this strategy, and it means that we will automatically scale out of potential bear markets.
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-In late October, we’re holding about half of the portfolio in plain cash and the performance on the year is about equal to the benchmark. So far, that doesn’t look to impressive. Had you launched this strategy at the start of 1999, you’d probably be quite tempted to call it quits, or at least change the rules. For the better part of a year, you’ve been doing all this work and there’s nothing to show for it. Sure, we have a profit but so do passive index investors.
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-But then, just before the start of November, something is happening. The first thing that happens is that the index bobs up over the moving average again, giving us a green signal to start buying. That’s usually quite a scary point. We had just closed out most positions, the markets are looking increasingly tired, there’s a potential bear market looming, and we’re now buying a full portfolio of stocks.
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-Figure 13 29 Performance, 1999
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-Yep, that’s what we’re doing. We make the ranking list again and start buying from the top until we’re all out of cash. As the trend light turned green on the last day of October, we bought 19 new positions from the top of the list.
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-This newly reconstructed portfolio then suddenly took off in a big way. The index recovered well, but our stocks did very much better. As the index ended the year at +20%, this incredible end of year rally brought our portfolio all the way up to over 40% on the year. Now those doubts that likely lingered around October should finally be put to rest.
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-There were multiple stocks responsible for the dramatic boost in performance that we saw by the end of the year. One of these was Entrasys Networks, illustrated in Figure 13-30. This is a perfect example of what you want to see. The share price had been advancing for a few months and it was ranked highly among the peers. The position on the ranking list is shown in the bottom pane. A lower the number means a better the momentum ranking. In the rebalancing on the 29th of October, all systems are go and we buy this stock at about $80.50. This stock waits for no man and takes off right away. The price kept accelerating all the way up and when it was reaching around the $200 levels, it made a large gap up before consolidating.
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-Remember how we have that gap filter in the strategy? In the rebalancing process, any stock which had a recent gap of over 15% is automatically disqualified, even if the gap was in our favor. In this case, it means that we sell this stock in the next rebalance. As it turns out, that was a perfect place to sell. If only every trade was this great.
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-Table 13 13 Results 1999
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-Figure 13 30 Enterasys Networks
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-2000
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-When we enter into 2000 there are no real signs of a market reversal. We had a very long lasting bull market behind us and there was no reason to think that it might end soon. The indexes had slowed a bit, and we were getting closer to the 200 day moving average. That has happened before though and in itself that wasn’t too worrying.
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-So we enter into the new millennium fully loaded. The portfolio is still heavily overweight in IT stocks, with half of the value placed in this sector. The remaining portfolio is spread over multiple sectors, with the largest weight being in health care. With the hindsight knowledge of what happened to IT stocks in the new decade, this initial portfolio allocation seems rather ominous. Is this the year that we see a crash in our portfolio?
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-Table 13 14 Initial Portfolio 2000
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-Figure 13 31 Initial Sector Allocation, 2000
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-The year started with some quite worrying volatility. In the first three trading days of the new year, the S&P 500 Index lost almost 7%, and our momentum strategy lost 8%. That’s quite dramatic and if you had launched the strategy this year instead of last year, you’d be forgiven for throwing in the towel after the first week. Don’t underestimate the impact of these drawdowns. It’s very easy to look back at a 15 year simulated equity curve and say that these little blips don’t really matter. It’s a whole different thing when you’re trading real money and see real losses. When you’re looking at those long term simulations, you know how the story will turn out. When you’re in the middle of such a situation in reality, you have no idea. For all you know, you might see another 8% loss before the week is over. Perhaps a worse week after that. And the problem is that these situations are far more common than one might think.
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-This is a why this very chapter is included in this book. The point is to demonstrate these problems and prepare you for what might happen. After those first three days, having lost 8%, anyone would be very tempted to override the rules or even shut the whole thing down.
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-In this case it turned out pretty ok though. The portfolio volatility in the first couple of weeks was enormous, but two weeks into the year, we were already back to the zero line. The chaotic market conditions continued for a few more weeks and we saw big swings in the bottom line. In February however, the momentum strategy really took off.
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-Multiple stocks started running wild on the upside, accumulating profits rapidly. By the end of the first quarter we saw portfolio returns of over 15% on the year. Suddenly no one can even remember that we started the year at -8%. When you see such spectacular returns so early in the year, it’s only natural that you start calculating your year-end result, assuming you’ll get the same performance for the whole year. 15% in three month would mean 75% in a year. Yes, that’s not a typo. It’s not 45%, but rather 75%, as in 1.154. This is a type of calculation that’s very tempting to make, but it can also be quite dangerous. It’s highly unlikely that such a scenario will play out and it will only serve to make your expectations very unrealistic.
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-As seen in Figure 13-32, the stellar results this year didn’t last very long. As the IT stocks started falling and the markets suddenly started worrying about outdated concepts such as ‘profits’, our portfolio saw rapid declines. Already in April, we’re once again introduced to the once distant zero line.
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-Note how the cash starts building up from March on. By May we had liquidated over 30% of the portfolio. Stocks started falling across the board, and suddenly there were not many possible candidate stocks. Most stocks found themselves trading below their 100 day moving average and were therefore disqualified from being bought. Many also made daily moves in excess of 15%, also ruling themselves out from the list of candidates.
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-Figure 13 32 Year Performance, 2000
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-After that, most of the year went sideways. We started building up a portfolio again during the summer as the index came up a little bit and there were more available stocks to buy. This time however, the sector allocation looked very different. In the beginning of the year, the IT stocks had dominated the ranking lists. By mid-2000 however these stocks were under heavy fire and the more traditional types of companies started looking good again. Despite actually making profits.
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-The portfolio built up during this time was very low on IT stocks but otherwise quite balanced. Discretionary, staples, energy, industrials, financials and materials were all represented. This is also the reason for the outperformance that we showed late this year.
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-The markets started dropping fast in late 2000, but the decline was primarily lead by the tech stocks. Since we had near zero exposure to this theme already, we didn’t experience the loss that the index felt. We didn’t really gain much either though.
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-On each rebalance, some stocks went out of the portfolio. Since the index is now below water, no new purchases could be made and our cash holding kept increasing. By the end of the year, we were almost entirely in cash.
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-After a very tough year, we ended up with a positive performance of almost 10%, while the index lost about the same amount. It may seem as a defeat to end up with a measly 10%, but that’s really quite a respectable return and in particular in a year as tough as this. Remember that we’re using the broad S&P 500 index as our benchmark here. Most people at the time still held onto their IT stocks and those took significantly worse losses than 10%.
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-The Motorola trade in Figure 13-33 shows how we entered this stock after the strong move up during late 1999. We bought the stock in December 1999 and it all looked well for a few months. As the stock started falling in March, we followed it down until it dipped below its 100 day moving average. That was the exit signal in this case and that’s when we got out. As it turns out, we were lucky this time since it made a large gap down just a few days after.
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-Figure 13 33 Motorola
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-If you look closely at the momentum rank in the middle pane, you’ll also see that it came up to the critical level at the same time as the stock dropped below the moving average. So in this particular case, we would have exited either way with either the moving average rule or the rank rule. Note how we closed out on a dip. A few days after that exit, it probably felt like a very bad idea. The price jumped right up and even popped up above the moving average. And then, just when you would have beaten your head in the keyboard for selling too early, the stock made a surprise 22% gap down.
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-You’ll never enter at the best place and you’ll never exit at the best place. But the good news is that you really don’t have to. A momentum strategy like this works just fine without trying to time the exact peaks and bottoms.
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-We’re now mostly in cash but we’ve got a safe head start on the index from the start of 1999. Figure 13-34 shows the development of our momentum strategy compared to the S&P 500 total return index from the start. We had a slow year, but so far so good.
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-Table 13 15 Results 2000
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-Figure 13 34 Performance 1999 to 2000
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-2001
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-Moving into 2001, we had a surprisingly well behaved scale-out of the markets behind us. When we start this year, we only hold two stocks. Two brave soldiers survived the onslaught last year. This means that we start the year holding a portfolio almost entirely in cash. United Health Group and Entergy Corp made it past the New Year’s celebrations, but two weeks into January they were both sold as well. After that, no trading was done the entire year.
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-Table 13 16 Initial Portfolio 2001
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-Figure 13 35 Initial Sector Allocation, 2001
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-While this year was very dramatic for most people, as far as our strategy is concerned it was a very boring year. We took a loss of less than a percent in January before our only two stocks were closed. After that, we’re flat lined. This is again something which is very easy in theory but more difficult in reality. Looking back at a long track record, it makes perfect sense to stay away this year. In reality, most people would be very tempted to trade.
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-Someone might wonder why we don’t go short in such a year. Why not find the stocks that fall the most, and short them? A reversed momentum approach. The answer is simple. Such a strategy has very low chance of success. Shorting is much more difficult, and dangerous, than it may seem. Very few people make money shorting stocks.
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-Those stocks that kept falling for the past month may suddenly make an enormous jump up. The propensity for volatility expansion is dramatically higher in a bear market. Don’t be tempted to trade such a market. Don’t buy stocks and don’t short them. There’s a slaughter going on out there and your job is to survive it. There will be opportunities to make profits, but now is not the time.
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-If you’re looking for action, you’re likely to get it. Those looking for action are unlikely to find profits though. Learning when to sit tight and keep risks to a minimum is a key part is becoming an investment professional.
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-Figure 13-37 shows how one of our surviving stocks in early 2011 faired. United Health Group had been performing admirably in the face of a falling market. Below the price pane, you can see the index itself and how it kept falling. Very few stocks can keep moving up while the market is declining like that.
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-Even this amazingly strong stock started declining in December 2000 and by the rebalance time early in 2001, it was trading below its 100 day moving average. That’s our exit cue and time to sell it. Since the index itself is clearly in bear mode, we’re not replacing it and before the end of January we’re holding nothing but greenbacks.
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-Table 13 17 Results 2001
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-Figure 13 36 Performance, 2001
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-Figure 13 37 United Health Group
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-Figure 13 38 Performance 1999-2001
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-2002
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-Going into 2002, we hold exactly zero stocks. The entire portfolio is in good old cash. In this context, it’s important to understand that cash in these situations should never actually be held in real cash. It’s just an expression. I’m not just referring to the obvious fact that you don’t keep your portfolio in physical dollar bills, stored in silver attaché case chained to your wrist. You shouldn’t keep this cash in a bank account either.
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-The problem with cash, even in a bank account, is that it’s unsecure. If your bank or broker suddenly blows up, the cash is the problem. At least if your cash holdings are larger than your government’s depositor guarantees. Back in 2002 many people may still held the view that banks don’t blow up, but more recent years have taught us otherwise. If your bank or broker goes the way of the dodo, you’ll most likely get all your securities back. At least after some delays and possibly some legal fights, but you’re still likely to get that back. Securities are registered in your name and are separated from any potential bankruptcy claims. The cash on the other hand goes poof the instant your bank or broker fails.
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-What you do in reality is to place excess cash in money market instruments or even treasuries, depending on how long time you expect to be keeping it in ‘cash’. This is just common sense.
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-While there was not very much trading activity in 2002, we had one interesting phase. It’s not like we stayed liquid the whole year. In March the index raised a periscope above the water line and as it moved higher than the 200 day moving average, we of course have to start buying.
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-The portfolio table here is not from the beginning of 2002. That would have been an empty table and looked quite silly, wouldn’t it? No, Table 13-18 shows the list of stocks that we bought in March 2002, when the index was starting to really improve.
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-Table 13 18 March 2002 Portfolio
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-This portfolio has heavy weights of industrials and consumer discretionary stocks. The tech stocks are still not forgiven by the markets and we only held 8% of those. This seems like a reasonable portfolio, given the market conditions. It’s not a very aggressive stance but it’s not like it’s full of defensive utilities and staples either.
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-Figure 13 39 March 2002 Sector Allocation
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-It was a nice attempt, but unfortunately it failed. The index didn’t stay long above the moving average. After only a few weeks, the index said bye bye to the average and the two barely saw each other for the remainder of the year.
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-As a result, our portfolio got slowly reduced through the rebalancing process. The heaviest index casualties were taken by the tech sector and our stocks didn’t actually do that poorly. The long time it took to scale out is a testament to how well they held up under the heavy market pressure. We kept slowly selling stocks as they went below their moving average, made too large gaps or failed to meet the other criteria. It took all the way to July before we were back to an all cash portfolio once again.
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-The performance on the year was quite boring, despite buying a fully loaded portfolio in the middle of a bear market. All in all, we ended up losing about 3%, while the index lost a whopping 22%.
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-Figure 13 40 Performance, 2002
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-Another year of mostly sitting on our hands, but remember that relative to most people, the performance was very good. Losing a few percent while the markets are in disarray is nothing to be ashamed of.
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-What happened in Figure 13-41 is more or less what happened to all the stocks bought in 2002. The bear market was beginning to slow down and the index had been moving sideways long enough for it to briefly move up over the long term moving average. That gave us a green light to buy new stocks, and buy we did.
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-The stocks, in this case Boeing, also had a nice recovery and was starting to look quite constructive again. We entered the stock in March and by mid-April we were already out of it. The next round of selloffs in the index didn’t take long to start and the entry was, in retrospect, very poorly timed. Well, you can’t win them all.
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-After four years we have a rather odd performance curve, as you’ll see in Figure 13-42. At first all seemed just fine. We made strong returns early on and showed a sizable outperformance against the index. But once the bear market started, we went into cash and stayed in cash almost the whole time.
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-Table 13 19 Results 2002
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-Now we had two years of doing practically nothing and just holding cash. What kind of strategy is that?
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-I know it’s tough to do. Most traders are looking for action and have very itchy fingers. You’re watching the market decline and you want to jump in, either to sell short or to buy cheap. Trust me, in these market conditions, it’s a very bad idea. Very few people make money from the stock markets in such conditions. Oh, in retrospect everyone knows what should have been done. But in reality, these are very dangerous times and if you’re able to simply preserve your capital while everyone else are losing, you’ll end up far ahead.
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-This is not the time to take on risk. Sit tight and hold on.
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-Figure 13 41 Boeing
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-Figure 13 42 Performance 1999-2002
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-2003
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-After the two difficult years we had behind us, most equity momentum traders have already quit the game. The best we can say about the past two years is that we didn’t lose much money, while most others did. There’s another strategy that could have performed that just as well, and it’s called “Just Stay Away”. For our momentum strategy to make any sense, we need to see some returns soon. Beating the index in a bear market is simple. We need to see how it performs when things improve.
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-At the start of 2003, our portfolio is identical to the one we had going into the previous year. That is, we don’t hold a single stock. In the first couple of months, that felt like a very good idea. The market dropped 10% by early March and we’re still flat lined. But then the market starts turning up, making rapid gains without us. No need to worry though, that moving average is closing in fast. Finally in April, the index gives the green light to start building up a new portfolio.
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-The portfolio in Table 13-20 shows which stocks we bought at this time. It’s all in all quite a balanced portfolio, but with a clear overweight in health care. While this portfolio changed a bit over the course of the year, it showed a very interesting performance.
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-Table 13 20 April 2003 Portfolio
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-Figure 13 43 Sector Allocation, April 2003
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-As opposed to last year, this time when the index breached the moving average it just kept powering on. The cross was made by mid-April and after then the index just kept increasing the distance to the average. Our momentum strategy did quite well too. At first it merely copied the index, keeping an equal footing for a few months. The index was gaining nicely, so copying the index performance in such a phase is quite alright.
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-Then in the late summer, our stocks started accelerating. At that time, we already had a 20% profit on the year, but that wasn’t enough. For the first time in years, there’s optimism back in the markets. People are buying stocks as if they’re about to go out of print. This is exactly the kind of environment where momentum investing shines.
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-The index was left behind in the dust and while it ended at a very respectable +28% on the year, we cashed in on a whopping +42%. Not bad at all. Except of course if you called it quits after those past couple of mediocre years and stopped trading.
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-This year we knocked a few balls out of the park. In Figure 13-45 you see what happened after we bought Sanmina in June of 2003. Before it was sold early 2004, it more than doubled for us. Also note all those trades along the way, shown in that figure. You should have gotten used to seeing this by now. All these trades are the small rebalances done to compensate for changing volatility. These trades are all done to try to keep risks constant, as the position risk always keeps changing.
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-This is exactly the kind of trade we want to see with a momentum strategy. In a good year, we get several of these top performing stocks.
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-At the end of 2002 it looked like our whole strategy was to just hold cash. We had two years of almost flat performance at that time. After this year, it should be clear how the long term strategy works. Without clear rules for when to enter and exit the market, you’ll risk both losing too much in bear markets and missing the inevitable recovery rally.
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-Table 13 21 Results 2003
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-We entered at very good timing here and as the market recovered, we were in the right sectors and the right stocks. Now after five years, we can show a very substantial outperformance against the market and very strong absolute returns.
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-Figure 13 44 Performance, 2003
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-Figure 13 45 Sanmina Corp
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-Figure 13 46 Performance 1999-2003
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-2004
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-Finally we have a bit more of a normal start of a year. In January of 2004 the Dot Com Crash is long gone from memory and the rally is on. We just had over half a year of stellar performance and the markets don’t seem to want to stop rising. As the year starts, we have a very broad portfolio of 27 stocks, covering all sectors except financials. Now we’re even back in the tech stocks with an allocation of 28%. Last year we made outsized gains, so the spirits are high and we’re fully loaded.
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-Table 13 22 Initial Portfolio, 2004
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-Figure 13 47 Initial Sector Allocation, 2004
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-Most of 2004 was nowhere near as fun as we had the previous year. What we got here was quite high portfolio volatility, with the bottom line moving swiftly up to +7%, only to lose it all. For several months this choppy behavior keeps going, swinging up and down. Then in August, the market starts dropping again and we’re already behind the index.
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-The market dropped below the moving average in late summer, signaling a halt to new purchases. Our portfolio dropped in value further and started scaling down exposure as stocks were sold in the rebalancing. At the worst, we had a 9% loss in August while the market only saw a maximum loss of 9%. That’s not a fun situation to be in. Having just regained confidence in this strategy last year, this is another time when it’s understandable to doubt the whole thing. We kept trading all year, doing all this work, and now in August all we have to show for it is a volatile, underperforming portfolio with a near double digit loss.
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-What you have to remember is that momentum investing is a long term approach. It’s a way of beating the markets in the long run. Some years it works, some years it doesn’t. Over time, it’s always done much better than the equity markets and it has always produced a handsome return. Let’s stick with our strategy a little longer and see what happens.
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-That reading in August turned out to be the worst we saw that year. In fact, after that, we saw an incredible rally. Starting at -9% in early August, we took off like a rocket ship. The index came up again over the moving average, allowing us to rebuy a fully loaded portfolio and it turned out to be the right stocks.
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-From here, we quickly advanced in a rally that lasted for the rest of the year. Come December, we had a gain of 14%, both beating the index and providing a strong absolute return. Some may think that 14% is a horribly poor return. This is usually an attitude that’s popular on anonymous trading forums, where everyone claims to make hundreds or even thousands of percent per year. Those figures are all fine for trash talking on anonymous online forums, but in the real world very few people can compound at 14% over longer periods of time.
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-The Autodesk position in Figure 13-49 shows a great long term position. In case you’re wondering why there are no rebalancing trades shown, it’s simply that I removed the labels to make it easier to see the chart. Over such a long period, you’d get so many trade labels that you could barely see the price anymore.
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-This position was opened in December of 2003, held the entire 2004 and sold by the end of January 2005. In this period, the price tripled, greatly contributing to our portfolio performance during this time.
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-Figure 13 48 Performance, 2004
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-Figure 13 49 Autodesk
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-Figure 13 50 International Game Technology
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-Not all trades are as fun as Autodesk of course. Even in good years, there are plenty of bad trades. The IGT trade shown in Figure 13-50 is a good example. We had previously traded this stock in late 2003 with ok results. Not great, but we exited with a small profit. By April of 2004, IGT were one of the highest ranked momentum stocks and we bought it again. This time, it simply tanked the day after we bought it. The share price fell right back down, right through the moving average and at the next rebalance we exited with a loss.
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-This happens all the time but it’s nothing to worry about. That’s the cost of doing business. It was a valid trade, but it just didn’t work out. We still did well on the year.
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-By this time we’re very far ahead of the index and our momentum strategy has proven its worth. You should start to see the long term pattern by now; outperform in bull markets, defend in bear markets.
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-If you had invested $100 in an index tracker at the start of 1999, you would now have about $106 dollars. If on the other hand you would have invested that in this momentum approach, you would now have more than doubled your money already.
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-Table 13 23 Results 2004
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-Figure 13 51 Performance 1999-2004
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-2005
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-In 2005, the tech stocks are back in vogue again and in a big way. In fact, half of our initial portfolio this year time is in the IT sector. That heavy allocation to a single sector makes a very clear statement. This means that there’s a major trend going on in that particular space, and we’re in on it. The tech stocks have gone from being the pariah of the stock markets to the main driver again. Apart from the tech stocks, we’ve got significant exposure to industrials, discretionary and energy sectors.
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-Table 13 24 Initial Portfolio, 2005
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-Figure 13 52 Initial Allocation, 2005
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-Last year saw a multi-month rally by the end, with our portfolio showing significant gains from August to December. Having had such an incredible few months behind us, everyone’s got high expectations going into 2005. This year however, we get a tough start. Already in the first couple of days we drop a few percent. Not too worrying, but it’s never fun to be down four percent in the first week of the year. Well, we’ve seen volatility before so perhaps this doesn’t worry us too much at the time.
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-But two weeks later, when January is almost over and we find ourselves in a six percent hole it’s not so fun anymore. These situations may look trivial when you’ve got a long term performance chart in front of you and look back at what appears to be minor blips. They’re a whole different thing when they actually happen with real money, when you have no idea how the futures will play out. It’s only natural that you stop and think about what will happen if you keep going at the same rate. If every month this year would end up losing six percent, you would lose 50% in a year. It’s not healthy to make such calculations, but we all do it.
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-What happened here was that the market recovered and the stocks that we held recovered the fastest. As the market normalized and moved up for the next couple of months, we saw a strong performance boost in our portfolio. From the bottom at -6%, we rallied all the way up to +7% in March. Rides like this can be tough from a psychological point of view. If you had $100,000 of your hard earned cash in this portfolio at the start of the year, you would first have lost $6,000 in the first couple of weeks and then gained $11,000 in the next couple of months. Now you’re on top of the world and back to doing compound return math. You just made 11% in two months, and if you continue like that you would make 87% in a year. That’s $87,000 if you had $100,000 to start with.
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-It’s tempting to think like that, but try not to. It will never play out like that. Not anywhere near it. Not the -40% that you feared in January and not the +87% that you dreamed of in March.
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-This year continued to be a roller coaster. As the markets pulled back a little bit in the second quarter, our stocks continued to demonstrate their high beta. From the peak reading of +7%, we fell all the way back down to -6% by mid-year. These situations are extremely frustrating. You’ve seen decent profits on the year, and given it all up. You’ve worked all year with your momentum models, calculations, rebalancing, and you’ve got only losses to show for it.
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-Figure 13 53 Performance, 2005
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-The roller coaster ride of 2005 is far from over though. This year was a nail biter, with a strong second rally from May to September that saw a move in our portfolio from -6% to +13%. That’s over 20% in a few months. Not bad at all. The only problem is, after that, there was a big loss in short period of time. Our returns plummeted down from +13% to zero in a matter of weeks. The move was not that dramatic in the index itself but our portfolio consisted of high beta stocks and took a severe short term beating.
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-The index once again saw the underbelly of the 200 day moving average and we’re no longer allowed to replace outgoing stocks. The cash starts building up and come November we’re down to less than half speed. Over half of our portfolio is held in plain old cash.
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-This, as it turns out, is exactly the wrong time to reduce stocks. That’s very easy to say after the fact. The index dipped below the average, only to emerge soon after and rally on. We’re left in the dust, since we’re only in the market with one foot. Amazingly, we’re able to keep up with the index as it rallies, even though we’re on such low exposure level. The stocks that were left in the portfolio did significantly better than the index and held an equal footing with the market.
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-Looking at the poor timing of the October scale-out in Figure 13-53 it would be fair to wonder if we shouldn’t change the parameters. After all, if we had used a 220 day moving average this horrible timing would have been averted. It’s an easy trap to fall into. To change the parameters based on hindsight knowledge.
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-My intention with this book is to present realism. I want to show how things work in reality and I refuse to show an optimized historic back test with incredible results just to sell some more books. The realistic situation is that these things happen, and much worse things still. Making the strategy appear much more profitable and giving it magical timing abilities would be easy in hindsight, but that wouldn’t help anyone reading this book.
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-At least this year ended fairly well, after many swings in performance and a scale-down at the worst time. The index itself ended the year at about +5%, while we finished at +9%. Still not a bad return. Over time, the outperformance against the index adds up. Consistency is what we’re aiming for.
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-Table 13 25 Results 2005
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-The Anthem trade in Figure 13-54 demonstrates a frustrating situation that will occur quite often with this strategy. We bought into this stock after a strong run up, as usual. Note in the lower pane how the stock keeps climbing the ranking list. When we bought the stock, it was ranked number 12 among all the 500 stocks in the index. Right after we bought it however, the momentum was all but gone. It didn’t fall down. It’s just that it stopped moving. Several months later, we finally exit with absolutely nothing to show for a near four month position. To make matters worse, right after we sell it, the stock decides it’s time to start moving up again. Of course, by then the rank of this stock has worsen enough to push it off the top list and now we’re replacing it with something completely unrelated.
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-Well, again this is the cost of doing business. You’re not going to have all winners. Always keep in mind that any individual position is absolutely irrelevant. We’re in this for the portfolio, not for the position. This strategy, as with most professional trading strategies, is not designed to win on every trade. It’s designed to win in the long run, on a portfolio basis.
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-Aetna on the other hand, in Figure 13-55 was a more encouraging trade. Here we bought with very good timing, albeit by luck, just before the stock started a new leg up.
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-So far so good. We’re seven years in and we’ve got a huge lead on the index. This particular year we showed more or less market performance, but given our existing head start that’s not all that bad.
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-Figure 13 54 Anthem
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-Figure 13 55 Aetna
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-Figure 13 56 Performance 1999-2005
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-2006
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-We just left a tough but profitable year behind us. It was a nail biter, but at least we ended in double digits. As this year starts out, we’re still a bit heavy in tech, but still reasonably diversified. We’ve got large allocations to financials, industrials, health care and discretionary. Note the lack of utilities and telecom. These two sectors are rarely given much attention in momentum investing, as they haven’t demonstrated any real ability to produce momentum stocks. The staples sector is also missing from the starting lineup but that sector can from time to time show great performers.
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-Table 13 26 Initial Portfolio, 2006
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-Figure 13 57 Initial Sector Allocation, 2006
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-This year started really well. It was an amazing run from the start of the year, all the way up to early May. At that point, we already had a profit of 19%. Things looked good. It often does before the trouble starts. This turned out to be a very disappointing year for momentum investing. The sectors that had been the top performers for over a year now suddenly plunged down. We took losses all around and the portfolio value quickly declined.
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-To make matters worse, we had terrible luck with timing the exposure scaling during the summer. The index dropped below the moving average in June and we quickly reduced exposure. Multiple stocks were sold on each rebalance, and in early July we held 60% cash. Just then, a bear market rally comes along and pushes us back into the market. The index poked its head over the waterline, trigger buys across the board. No sooner had we finished buying stocks than the market again started falling. Now with high exposure we took a swift loss before scaling down again as the index drops below the average for the second time. And of course, just as we’re down to only half exposure again, the market recovers and starts a rebound. It’s hard not to take it personally.
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-This time, the momentum approach really struggled. We spent the second part of the year underperforming the market, slowly creeping up but not anywhere near as much as the market. So what happened here? How come the momentum approach suddenly stopped working?
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-The initial decline is clear. The momentum sectors took a hit, and our beta heavy strategy took a bigger hit. That’s to be expected from time to time. It’s more concerning that we failed to show any real performance in the second part of the year. Well, this is just the way things turn out at times. In this particular period in time, the momentum approach didn’t work very well. We bought several stocks that had had a good run for a while, but after we bought them they didn’t perform as well anymore. Most of them were sold with small profits or small losses, and replaced with other stocks that didn’t make any real waves either.
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-Don’t expect any strategy to work well all of the time.
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-The Office Depot trade in Figure 13-59 demonstrates what happened to many positions around mid-year and why the portfolio performance fell back so hard. In this case, the position which was opened in March did quite well for a couple of months before it started falling back down. As practically all other stocks fell too, the ranking of this stock remained high relative to the rest. That’s why it took so long before it was sold.
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-Figure 13 58 Performance, 2006
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-Figure 13 59 Office Depot
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-Figure 13 60 Performance 1999-2006
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-Table 13 27 Results 2006
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-It wasn’t a very fun year and even though we ended a little better than even, we gave up a nice early year performance and we lost big relatively to the index. Keep that long term chart in Figure 13-60 in mind. This strategy is for the long haul. Any given year, anything can happen. In the long run, we win.
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-2007
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-After having had a shaky 2006, we really need to see some performance soon to regain confidence in the strategy. The end of last year was embarrassing. This is again a year where the tech stocks have done quite well lately, and therefore we’re heavily allocated to that sector. In fact, the initial portfolio this year is completely dominated by two sectors. The tech sector together with the discretionary sector covers almost 85% of our portfolio. Now that’s quite an aggressive posture.
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-Table 13 28 Initial Portfolio, 2007
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-Figure 13 61 Initial Sector Allocation, 2007
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-By now we should be used to some fickle performance, after a few very mixed years. This year starts out quite well, moving up to +8% by late February. After that, we see a drop down below zero again, but it doesn’t last long and it’s not deep enough to trigger any scaling out. These things happen, nothing to worry about. That’s the equity markets for you. We then start moving up, both fast and at a steady pace. Before the end of the summer, we’re already up 17% on the year. Now that’s quite a respectable performance, in particular since the index was just at +10% at the time.
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-From here, some volatility sets in and we see quite large moves in the portfolio. We’re down to just a 3% gain on the year for a brief period before rallying up to +20%. The market is swinging quite a bit as well, but we can feel the heavy beta component here. Always be aware that a large part of equity momentum investing is about beta. We’re likely to feel the swings in the index at a much higher magnitude than your average balanced portfolio.
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-The index is getting very close to the average and we’re scaling exposure back and forth a bit over the year. Seeing another year were we’re scaling out too early will surely lead many readers to think that the solution is to remove the index filter, or at least move it from a 200 day moving average to a 300 day equivalent. In chapter you’ll see why neither solution is a very good idea. For now, take my word for it.
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-Table 13 29 Results 2007
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-The exposure scaling throughout the year has certainly hurt performance, but we’re still reaching the finish line in December with pretty good numbers. The index ended the year at +5.5% and we beat it with double digits. The momentum strategy finished at over +17% this year, proving its worth after the past tough year.
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-Figure 13-63 shows one of the more interesting trades of the year. We bought US Steel in January, rebalanced it a few times along the way and finally sold it after a slight pullback in July. An excellent trade and this is exactly what we want to see more of.
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-We had a decent year with both double digit performance and a welcome outperformance against the market. We’ve still got a bit of distance to cover to the high water mark we set in 2005, but we’ll get there. Most importantly, we’re showing a long term return profile that’s significantly more attractive than passively buying and holding the index.
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-Figure 13 62 Performance, 2007
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-Figure 13 63 US Steel Corp
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-Figure 13 64 Performance 1999-2007
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-2008
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-If the number 2008 doesn’t make you shiver and give you PTSD symptoms, you were probably lucky enough not to work in the business during this time. This was an incredibly stressful year. Even those few who came out of this year with strong performance still remember it with horror. Not that much time has passed but it’s hard to think back to just how close to the edge we all were.
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-This was the year where the financial system nearly collapsed. Any bank could go bankrupt at any time. Most of us were shuffling around cash every day between banks, moving liquid assets to whatever bank seemed least likely to go under in the next 24 hours. Even though the market took an enormous hit this year, we were all lucky to get out of it at all.
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-Table 13 30 Initial Portfolio, 2008
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-At the start of 2008, the index is already below the long term moving average. It dipped below just at the end of last year, and we had just started decreasing stocks a little bit. We have 10% of the portfolio in cash in January but when the market initially drops by about 10% in the first couple of weeks, we follow the index almost perfectly. Each week we sell a few stocks and as the index remains below the average, we’re not replacing them. Note in Figure 13-66 how the cash slowly increases every week.
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-Figure 13 65 Initial Sector Allocation, 2008
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-Since we’re quickly down to less than half exposure, and continuing to decrease from there, we don’t see much portfolio movements from February on. In fact, by May we have absolutely zero exposure to the stock market remaining. We’re all in cash.
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-As mentioned previously, it’s important to remember that in such situations, cash doesn’t mean leaving it on a bank account. Or even worse, leaving it on a brokerage account. Actual cash with a bank or broker is not safe. This cannot be stressed enough. If it wasn’t clear to everyone before 2008, it sure was after. If your bank or broker has a problem, you can say good bye to your cash. You’ll likely get securities back if your broker goes belly-up, but you’ll never see that cash again. Anyone who thinks that this view is paranoid probably didn’t experience 2008. Some of the most prestigious banks and brokers in the world blew up, taking the cash with them. Several more almost blew up but were saved in the last minute. Short term money market and similar safer hiding places is strongly recommended. When I use the word cash here, it’s meant figuratively.
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-The thing about 2008 was that it started quite slow. From a long term perspective, we entered a bear market already from the start, but not much really happened from there. For several months, we saw a slow, sideways market with a bit of a negative tilt. Things didn’t really start to look worrying until Bear Stearns took a dirt nap in March. Even after that, the markets seemed to start a slow recovery.
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-For an investor using a momentum approach with index trend filter, none of this mattered too much. Sure, it’s still stressful just to watch the disturbing developments in the world, but it didn’t have any impact on profits or losses. We were already in cash.
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-By late May, it may have seemed like a bad idea. After all, we’re in cash and deadlocked at -8% until we get a green light to start buying again. The market on the other hand was back to +/-0% at that point. We’re almost ten percent behind and all in cash. This can be more stressful than it may seem. It’s one of those situations where it’s very easy to override and start buying, in fear of falling behind.
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-Figure 13 66 Performance, 2008
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-This is what the rules are here for. To guarantee consistent behavior over time. That’s the only way that we can find some predictability in our returns.
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-Just a couple of months later, and now the index is back down below our flat lined performance. The index first went down to -15%, wobbled around for a couple of months, and then the real drama began.
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-The fall of ’08 was like nothing we’ve ever seen before. If we’re all very lucky, we’ll never have to see anything like it again. The market went into free fall mode. Stocks were falling into a bottomless pit. At the start of October, we saw the S&P 500 having lost 40% on the year. This is the month when banks and brokers are blowing up left and right. There’s nowhere to run, nowhere to hide.
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-In November, the S&P 500, the benchmark index for American large cap companies, is showing a loss of 47% since the start of the year. The American stock market has lost half of its value. In one year.
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-Our momentum portfolio? Oh, it’s still anchored at -8%. The loss we took in January.
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-Sure, a loss of 8% isn’t fun. But relative to almost everyone else, you’re suddenly significantly better off, despite having made a loss.
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-Peabody Energy, in Figure 13-67, had its second failed trade in a row. We had a trade last year in this stock that failed right after it was initiated. In December 2007 it was bought again and even though it lasted for two months, it fell back pretty hard and caused some losses. This was far from the only stock showing this pattern early 2008. Many stocks were bought and held for only a couple of months before falling down and being closed with losses.
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-Consol Energy was one of the better stocks in 2008. This stock was also bought in December 2007 but it managed to survive remarkably long given the growing bear market. Consol was held all the way up to the end of April, when it was sold due to its rank briefly exceeding 100. After this stock was sold, we were all in cash.
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-Figure 13 67 Peabody Energy
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-Figure 13 68 Consol Energy
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-Figure 13 69 Performance 1999-2008
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-Remember how we went all flat-line back in 2001? We’re back in that mode again. Now we’ve got a great long term track record and while the rest of the world is losing money by the minute, we’re comfortable with just holding cash.
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-Table 13 31 Results 2008
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-A buy and hold investor who invested $100 in the S&P 500 at the start of 1999 now has a loss of $15. Meanwhile, the same investment into the momentum strategy now shows a profit of $188 for the same time period.
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-2009
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-We really dodged the bullet on that one, huh? As the S&P 500 ended up losing 40% last year, we only dropped 10%. All this also means that the index is very far from the average. Predictably, we enter into 2009 without owning a single share. Early on in the year, this should have been a great relief to anyone trading this type of strategy. The 40% loss of last year wasn’t enough. The S&P 500 index continued down after the holidays, falling first -14% in January and then continuing down to a massive 27% loss in March.
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-Today we know that this point, when we saw -27% in 2009, was the best point in a lifetime to buy stocks. It certainly didn’t look like it at that time. It looked more like if the world was about to fall apart. Granted that this is usually how the world looks just before a major bear market ends, but it simply wasn’t predictable. You could just as easily have started buying a few months earlier. It wasn’t an easy bottom to pick, and it’s very rare that this is the case.
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-The markets made a sharp turn for the upside in March. Figure 13-70 shows how the index was miles away from the moving average at the time. The average kept moving down and the index kept moving up at steam engine speed. By June, the two are reintroduced after almost a year apart.
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-As the index crosses up over the average, we finally get a green light to start buying. Still, we only filled less than half of the portfolio. Any guess as to why?
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-Remember our buying criteria. Any stock with a recent move in excess of 15% is disqualified, as is any stock that’s currently trading below its 100 day moving average. The last point is to make sure we don’t become accidental bottom fishers. That rule also disqualified almost the entire S&P 500 membership at this point in time.
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-The qualifying stocks were ranked and we bought from the top of the list. Not until we ran out of cash, but until we ran out of stocks. It’s an unusual situation, but it can happen.
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-Figure 13 70 Performance, 2009
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-Table 13 32 Portfolio, June 2009
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-The initial portfolio bought can be seen in Table 13-32. It’s a diverse mix of sectors with no clear theme. An overweight in discretionary, but nothing remarkable. These are simply the stocks that recovered quickest. The ones that weren’t disqualified by being below their moving averages.
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-In the beginning, just after this portfolio was constructed, things got a little volatile. That’s normal and it’s always a little nervous when you start buying again after a significant bear market. We’re not trying to time the exact bottom here. Such methods almost always fail in reality anyhow. We just want back in when it’s reasonable to expect that the bear market may have ended.
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-Figure 13 71 Sector Allocation, June 2009
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-In the first couple of months, our new portfolio loses 7%, which was slightly more than the index. After that however, things are looking better. For the rest of the year, we keep moving up. What we got was an underperformance against the benchmark index, mostly because we scaled in slowly and didn’t participate fully until September. Still, we did manage to cash in on double digit returns in a difficult year. The index ended up gaining over 26% while we reached 14%.
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-The Franklin trade in Figure 13-72 made a welcome contribution to the performance this year. It was bought in July and started rallying right after. The volatility was quite erratic, resulting in many rebalancing trades before the position was closed with a nice profit in December.
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-Table 13 33 Results 2009
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-On the whole, we’re finally back. After a year out of the market, we went all in and just made a new all-time high. While we missed part of the market recovery, our strategy was never designed to capture V-shape turnarounds. The momentum strategy handled the bear market well and our outperformance in the long run is substantial.
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-Figure 13 72 Franklin Resources
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-Figure 13 73 Performance 1999-2009
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-2010
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-What we need to be really happy with this strategy is a prolonged bull market. A sideways market doesn’t hurt that much, but it won’t gain too much either. Unfortunately, 2010 isn’t the year of the ultimate bull market.
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-We start off with a portfolio heavy in IT and discretionary, with a dash of health care and materials. You may have noticed the pattern now, that tech and discretionary tend to be overrepresented in momentum portfolios. This is not by design, but merely due to the fact that these stocks generally show higher momentum, or at least did in the recent decades.
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-Table 13 34 Initial Portfolio, 2010
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-Figure 13 74 Initial Sector Allocation, 2010
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-We had an initial drop in portfolio value early in the year, which was almost exactly in-line with what the index did. Up until early March, the strategy tracked the index remarkably well. At that point, the strategy took off and the index quickly fell behind. By May, we had gains of 19% on the year while the index didn’t even reach double digits.
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-That was also our best reading of what turned out to be a rather turbulent year. From nearly 20 percent up, we fell right back down, losing it all and then some. The index fell too, but we fell harder. At the lows in August, we were at -7% since the start of the year and right back next to the index.
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-The index itself spent much of the summer under the average and that resulted in our strategy scaling exposure up and down a few times as the index wobbled around the average. When the index drops down below the average, one of two things usually happens. Either the market goes into bear mode, leaving us to keep slowly scaling out, seeing smaller losses while the index loses much more, or the index comes right back up again and we struggle to keep up. The latter is much more common and that’s an acceptable price to pay for the downside protection that we get.
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-This is what happens in this case. The market moves right back up and as we’re on low exposure we miss out on much of the initial advance. While we recover and keep moving up for the rest of the year, we don’t manage to catch up to the index before the end of December. Well, we still ended with a near 12% gain on the year, so it’s not bad. This is a long term strategy and in the long run we’re both strongly positive and very far ahead of the benchmark index.
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-Sandisk was a nice trade in 2010, even though it ended with a gap down. Shown in Figure 13-76, the stock was held for the better part of the year. Biogen, in Figure 13-77 was less fun however. It was one of many stocks that took a hit early in the year, causing the large give-back of performance as the overall market dropped.
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-Figure 13 75 Performance, 2010
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-Figure 13 76 Sandisk
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-Figure 13 77 Biogen Idec
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-Table 13 35 Results 2010
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-We made a significant new high and then backed off from it. This is quite common and to be expected. Unfortunately, it’s not easy to time these things. Consistency tends to win in the long run, not market timing.
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-Figure 13-78 shows just how far ahead of the market we are at this point. What might appear in many years to be a small outperformance really adds up in the long run. The stable players tend to last.
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-Figure 13 78 Performance 1999-2010
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-2011
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-Isn’t it great how we never really had a bad year? We did lost money in 2008 of course, but in the context of the index massacre, our loss wasn’t really much to worry about. We never had a year where we experienced a significant loss and at the same time underperform the index. Well, that’s all about to change.
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-We go into 2011 holding a large amount of discretionary stocks, with energy and tech having significant exposure. While the market seemed perfectly stable at this time, we’re in for a bumpy ride. Buckle up and brace for impact.
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-Table 13 36 Initial Portfolio, 2011
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-Figure 13 79 Initial Sector Allocation, 2011
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-The performance starts out quite choppy, and it’s about to get worse. For the first part of the year, we see a yo-yo like performance, moving between 5-6 percent up and down several times. During this period, the moving average keeps creeping closer and closer to the index. Then in August, we saw something big.
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-The combination of a sovereign debt crisis in Europe and a downgrade of the US credit rating can be a bit of a drag on the stock markets. The big hit came in August, when the S&P 500 Index lost nearly 20% in a two week window. That’s quite a dramatic move and it came out of the blue. There was no slow trend reversal or other common signs of a market turn. We had an orderly sideways market within a larger bull market, and suddenly this happens.
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-In a situation like this, momentum players tend to get hit hard. Having a portfolio fully loaded with high beta stocks in a sudden market plunge is not a fun experience. In this case, almost surprisingly, our strategy only took about the same damage as the index, and even slightly less in the initial phase.
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-Before this event, we had been moving between +8% and -3%. As the market suddenly went on an unscheduled southbound expedition, we were at more or less zero for the year. Within two weeks we found ourselves at in a 12% hole and in the process of scaling out stocks. Each week, several stocks were sold in the regular rebalancing and as the index dropped far below the average, we’re not allowed to replace them. The cash is building up fast and in just a few more weeks we’re almost entirely out of the stock markets.
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-What happened next is annoying but it’s the cost of the downside protection that a trend filter offers. Our trend filter has made sure that we’re now scaled out of the market. This was exactly when the market recovered again. Poor timing, once again. Well, this is a long term approach and in the long run a protection mechanism like this trend filter can greatly improve performance, despite causing the occasional headache.
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-Table 13 37 Results 2011
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-The market bounced back and ended nearly marginally positive, while our strategy stayed firmly anchored down at almost -10%.
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-Sprint, in Figure 13-81, shows one of many bad trades in 2011. We bought the stock in late June after a strong first half year. As it turned out, this was the worst possible time to buy the stock. It fell right back down and went into a choppy sideways phase until finally kicking us out at the lows. All in all a horribly frustrating trade, but this is all part of the game.
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-A very similar situation is shown in Figure 13-82, where we had another bad trade in O’Reilly Automotive. This was even more frustrating in that it took off on the upside, showing a great rally just after we exited.
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-Well, so we gave back some performance. We’re still doing pretty well in the long run. The downside protection is in place and once the markets stabilize we’ll probably do well again.
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-Figure 13 80 Performance, 2011
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-Figure 13 81 Sprint
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-Figure 13 82 O’Reilly Automotive
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-Figure 13 83 Performance 1999-2011
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-2012
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-We enter 2012 with a full portfolio, having just bought back in December last year. We’re heavy in discretionary with some additions of industrials, tech and a few scattered allocations to other sectors. Compared to the previous few years, we’ve got a very low allocation to the tech sector. Performance of sectors tends to vary greatly and lately the tech sector didn’t do well enough to get the same over-allocation as prior years. Remember that we don’t use any sector constraints at all here. The top stocks are bought, regardless of sector belonging and the overall sector composition can land anywhere it wants to.
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-Table 13 38 Initial Portfolio, 2012
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-Figure 13 84 Initial Sector Allocation, 2012
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-2012 was a bit of a roller coaster year. It’s one of those years where you’ve had times when you’ve been very happy, tearing your hair in frustration and then go back to being very happy again. Since we ended last year on a bad note, at least it’s comforting to see an initial rally here. Our profits quickly add up as we’ve got a very strong portfolio of momentum stocks. The portfolio rallies from day one and keeps on going until late March. At that time, we have a profit of 17%.
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-Having a large gain early in the year feels great, but always keep in mind that we’re in this for the long run. Anything can happen. It can double or it can all go away. Try to avoid falling into the trap of calculating what 17% per quarter would mean for the whole year. Yes, it’s tough not to do his math. In fact, I already did it for you. It’s 87.4%. Of course we’re not going to end up with a gain of 87.4%.
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-After having held that gain of 17%, the market takes a turn onto the southbound lane and we’re coming along for the ride. Here our momentum stocks reacted rather predictably, in that the high beta component made us feel the drop much more than what the overall market felt. Our +17% profit is quickly reduced to -0.5% by May.
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-These situations are horribly frustrating. Whenever this happens, you’ll hear someone trying to convince you that you should trade some magical forex signal system instead and gain thousands of pips per day. Ignore those people. Don’t even ask what a pip is.
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-These dips are the cost of doing business. They happen and that’s fine. If you manage to compound in the low double digits over longer periods of time, you’ll beat most people out there. Even those with the magical pips generating super signals. They will have blown up all their accounts a long time ago.
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-From May on, things get a bit more fun. This was the bottom of the year and we start moving back up again. We’re alternating between leading and lagging the index for a while, but after a choppy fall we have a strong finish of the year and end up beating the market with a very respectable return of 19%.
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-Figure 13 85 Performance, 2012
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-Figure 13 86 eBay
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-One of many great positions during 2012 was eBay, shown in Figure 13-86. The stock just kept going up the whole time. So why, might you ask, did we sell it if it just kept going up? Well, in a bull market, there are plenty of stocks that go up. We’ve now entered a new bull phase and that means that there are plenty of stocks to choose from. The trick is in having the right ones.
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-Table 13 39 Results 2012
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-While eBay may keep moving up, at one point it moved down the ranking list so far that it was no longer in the top 100 stocks in the index. That means that we sell it and buy something from the top of the list. If we don’t have such a rule in place, we may end up holding sub-standard stocks just because they move up. In a bull market, it’s not a merit to move up. Almost all stocks do that. We want the best.
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-Figure 13 87 Performance 1999-2012
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-2013
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-In early 2013 there’s little doubt that we’re in a bull market. The usual suits on various market TV shows are taking turns explaining why the bull market is about to end. The common explanations have to do with excessive money printing, artificial buying pressure fueled by central bank policies and such. None of this really matters to us as momentum players. What matters is that the market is moving up and we’re joining it. When it stops, we know that we have a safeguard in place to take us out of it. There’s no reason to second guess the market. Why it’s moving up really doesn’t matter. Trying to pick tops will almost always fail.
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-As we enter into 2013, we still have a large allocation of discretionary stocks. More interestingly though, we now have a substantial holding of financial stocks. The ongoing quantitative easing programs have greatly helped this sector and the stocks are heading north faster than Santa on December 26.
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-Table 13 40 Initial Portfolio, 2013
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-Figure 13 88 Initial Sector Allocation, 2013
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-Even though we had a respectable performance last year, it was still a bumpy ride. Don’t you wish you could have at least one year with great performance, without any pesky little potholes along the way? Well, you’re in luck. Just relax and enjoy the ride. We’ve got this.
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-The market started moving up slowly early on, but we didn’t. We moved up fast. In February, we already had double digit gains. Queue compound math calculations.
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-You’ve probably noticed in earlier years how there were several times when we had strong gains early in the year, only to give it all away soon after. Perhaps you’ve been wondering if it wouldn’t be a good idea to simply take the sign down and go home when a certain target is hit. After all, this year we’ve hit +15% in early March. Why not cash out and go fishing for the rest of the year?
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-This is the year that should teach you why fishing can be more expensive than you may think. See, this year just kept going. There were a few ups and downs, but in retrospect there’re barely visible. The +15% in March turned into only +7% by May, but then it just kept on going and going, like a little Energizer bunny.
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-Most of the year we keep an even footing with the index. Over a period of multiple years, it would sound pretty mediocre if you’re only showing index level performance. This year however, no one complained about getting the index.
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-For the whole year, pundits were competing in the art of calling a top. Everybody wants to be remembered as the guy who predicted the end. The problem is that no one will remember when you were wrong, only the one time that you were finally right. In the end, the proverbial stopped clock will become a market guru for his accurate prediction.
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-Ignore all these predictions about the end of a bull market. The most likely thing to happen in a bull market is for the bull market to continue. Just let it ride, and let an automatic market trend filter ease you out when the time comes.
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-This year ended with a massive return of over 37 percent. That’s an extremely high return in the stock markets. Don’t expect that to happen very often.
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-Figure 13 89 Performance, 2013
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-Figure 13 90 Best Buy
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-Figure 13 91 Performance 1999-2013
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-Things are fun in a bull market. The term Target Rich Environment comes to mind. In a strong bull market, we get a large amount of stocks that just take off and keep moving up. Best buy, in Figure 13-90, was one of them. We held this stock for almost the whole year.
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-Table 13 41 Results 2013
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-After some extremely good performance, an initial $100 in the momentum strategy is now worth over $500. The recovery in the overall market since the bottom in 2008 has been strong, but nothing compared to what a momentum strategy could do in the same time period.
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-2014
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-Having come from such a strong bull run, the confidence in the approach should be high at this time. We’ve seen very strong absolute returns last year, but we also saw a performance very close to the overall index. It would be nice to see both strong absolute returns and a significant outperformance in the same year.
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-Table 13 42 Initial Portfolio 2014
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-Figure 13 92 Initial Sector Allocation, 2014
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-2014 was an overall fun year to be in momentum stocks. There was one event that felt very worrying at the time, but which was quickly forgotten. To start out with, we saw a very nice initial push, giving us a head start on the index of 5% in the first few days. This is a very comfortable spot to start the year, and in particular as the market saw a drop of about the same magnitude in February. The market dropped 5% and we shaved off the same. While the market was left at -5% on the year, we’re at about zero. From there, it was mostly a big rally for half a year. There was some volatility along the way, but nothing really worrying in any way.
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-Table 13 43 Results 2014
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-Figure 13 93 Performance, 2014
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-The worrying event came around in October. The index suddenly moved down rapidly. While no one could be bothered to remember why a few months later, at the time the headlines were talking about fear of an end Quantitative Easing, slowing European growth and other factors that really shouldn’t have been a major surprise to anyone.
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-The market turned down hard and our momentum stocks ended up losing significantly more than the market. Having seeing gains of over 17% on the year, we’re now suddenly back to +5% in just a few days. At this time, the index is below the average again and we start scaling out of stocks.
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-Once again, we started scaling out at a very bad time. This market scare was very temporary, and before the month was over, the index was back above where it started. We were initially left behind with a low exposure, but that’s when our stocks really took off.
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-From that point, we went on a rampage with an end of year rally that took us all the way to +24%. That’s a very strong year and it also means that we beat the market by a wide margin. The S&P 500 landed at around +14%, giving us a 10% lead.
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-Allergan, in Figure 13-94, was an interesting trade this year. It was bought in February after having had a very strong run up for a few months. In late March it was almost sold when it dipped down and started falling in the ranking list. Then suddenly, the stock made a 25% advance in a matter of days, making an already profitable position into one of the big winners of the year. After this however, it kept moving sideways for several months. We didn’t sell it, because it was still highly ranked. When it finally dropped down a bit again in late summer, it was sold with a very healthy profit.
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-Figure 13 94 Allergan
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-Figure 13 95 Performance 1999-2014
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-Conclusions of Year by Year Review
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-Making a good looking simulation isn’t all that difficult. It’s when you actually deploy it when the real problems start. When you look at a long term simulation chart or a monthly table of results, things seem very easy. It’s not difficult to take the long term perspective when you’re faced with such data. When you’re right in the middle of it though, it’s a whole different game.
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-The irony is that many people who deploy solid long term strategies quickly succumb to the short term stress and start changing their models. If you launch a long term strategy without being fully aware of what type of behavior to expect from it, you’re not very likely to stick to it.
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-What I wanted to show you in this chapter was just how difficult and frustrating it can be in the short run. Once you’re sitting there with big money at risk and the market’s moving fast against you, it’s a whole other world. It helps to do all the simulation work, so that you know that the strategy would have worked in the past. That gives some comfort and helps you to stick to the rules during the bad periods. It’s not enough of course.
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-Nothing can properly prepare you for live deployment of a trading model. If you’re lucky, you launch at the right time by pure accident and your returns are great from the start. If you get a couple of good years to start off with, it’s easier to stick to the rules during the bad years. If you happen to start off with a bad year though, it’s very easy to throw in the towel.
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-Hopefully this chapter has helped somewhat to prepare you for the ups and downs of managing a momentum investment strategy. Still, there’s only one real test. The only way to know if you can do it or not, is to try it with real money.
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-Strategy Analysis
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-What we’ve seen so far is a fully working momentum investment model. The results over time are strong and it has stood the test of time. Bull or bear market, this model has shown great outperformance over time. The rules should now be clear and they were presented in detail in chapter . They work quite well the way that they have been presented but a strategy that requires an exact set of rules to work is usually not a very robust strategy. The question then is which of these rules are critical and which ones are not. This chapter will look at the different components of the strategy to see if and how they can be changed. If you understand what’s important and what’s not, it will help you understand the logic behind the rules and how the money is made.
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-How important is the Trend Filter?
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-As you’ve no doubt have noticed in chapter , the trend filter can be quite annoying at times. Many times, it has made us scale down exposure just when we were close to the bottom. The market rallied after, and we were left behind. It’s only natural to question the need for such a trend filter in the first place. After all, there were only two periods in 15 years where we really got any significant value from having this trend filter.
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-The short answer is that a trend filter adds plenty of value. It’s there to make sure that you don’t go down with the ship when the market really turns down. And it will really turn down, sooner or later, rest assure. The money saved during the long bear markets makes a huge difference in the long run.
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-If you’re not convinced about the value of an index level trend filter, let’s do a quick test to settle that question. The lines in Figure 14-96 speaks for itself. It’s the exact same trading rules as we’ve used so far, but disregarding the index trend. That means that we’re always in the market, always replacing stocks as they go out. We buy as long as there are any stocks out there that fulfill our criteria. We still have some scaling down in bear markets, as there eventually will be very few stocks in the index that can pass our filters. Note how there’s some difference in the returns during the 2000-2003 bear market. After that, the strategy performs the same with or without the index filter, up until 2008. Here our filterless strategy takes a hit of over 50%. We suddenly lost half of our money in a short period of time.
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-Sure, the market also lost about half, but that’s beside the point. Taking such a big hit means that you’re too far behind to ever catch up again. We still end up beating the benchmark index without the trend filter, but we’ll never catch up to those who filtered out the bear markets.
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-If you looked at those long term simulation results earlier and wondered about the long flat periods, it should now be a bit clearer. With our momentum strategy, we had two long periods without any gains. The return was absolutely flat for a long time, even years in the case of the 2000-2003 markets. What’s important to remember is that these were horrible times to trade stocks. Almost everyone lost, and they lost big.
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-After the fact, people tend to say that you should have been short. Most people saying that didn’t really trade though those periods. Fact of the matter is that most people trading the short side in a strong bear market, ends up losing money. The short side is extremely difficult and those who say otherwise tend to be people who lack actual experience on the subject.
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-But the question on the poor timing remains. We had many false signals in our strategy. Many times did the index dive down under the 200 day moving average, only to rally right back up after we started scaling out. Couldn’t we optimize this?
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-No, we can’t. Optimizations are evil and out to kill you. Don’t trust them.
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-For this book, I picked settings almost randomly. I picked numbers that made sense with absolutely no optimization. I didn’t run any simulations first to make sure that the numbers were the best possible. That would just be silly. It would just make the results look unrealistically good. It wouldn’t help anyone. Except perhaps sell a few more books.
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-Figure 14 96 Effect of Trend Filter
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-Table 14 44 Trend Filter Comparison
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-If you run an optimization, you may come to the conclusion that a moving average of 237 days or 178 days works best. That might make you actually believe that this has any bearing on the future. All you have is a curve fitted result to a specific historical series. What you need to do is to think in terms of concepts, not in exact numbers.
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-If you optimize further, perhaps you’ll find that years divisible by 3 should have a different trend filter speed than years where the there’s a lunar eclipse. That doesn’t necessarily help you trade in the future.
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-Avoid the urge to optimize. Trade concepts instead. You need a long term trend filter of some sort. How you make it isn’t very important.
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-How important is Risk Parity?
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-Very.
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-Do you want to know an easy way to beat the index? Use risk parity sizing instead of market cap weighting. Done.
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-Let’s take a step back and look at the S&P Index again and how it’s composed. This is the US large cap index and it contains the most valuable 500 companies in the US. The term valuable refers to the, quite theoretical, value that the whole company has, called market capitalization. You can calculate this value by checking how many shares a company has issued and multiply that by the current stock price. It changes by the second when the stock exchange is open, every time a trade is made. The value of a company is of course something highly theoretical, as you couldn’t really buy the whole company by coughing up this theoretical value.
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-The S&P 500 Index uses the value of the company, the market capitalization or simply market cap, as the basis for weights. The most valuable company gets the highest weight. All the weights are in proportion to their values. This means that the index will inevitably be driven primarily by the largest companies and that the smaller stocks don’t really have much impact.
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-This type of weighting makes a lot of sense for an index. The point of an index after all is to be able to gauge the overall market. As such, the S&P methodology is just fine. It’s certainly better than the archaic price weighting that the Dow uses.
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-Even though the market cap weighting is fine for the index, that doesn’t mean that it’s a rational way to invest. What would be the reason for buying 4% Apple but only 0.01% of Diamond Offshore Drilling? Is Apple really 400 times better somehow? Diamond has a market cap of over 4 billion, so it’s not exactly a little penny stock either.
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-More importantly, what are the potentials for the world’s largest stocks to double? To triple? When a stock has a market cap of 750 billion dollars, twice of the world’s second largest company, how likely is it that it will go to 1.5 trillion dollars? Is there really enough potential in such a stock to warrant 400 times the size of the smaller stocks? Can’t we come up with a better way to invest in the US large cap stocks? And can we please stop asking questions now?
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-Enter risk parity. Remember how we calculated risk parity sizing back in chapter . The concept is to measure past volatility and assign position weight inverted to that. It’s easier than it may sound. What we want to accomplish is that very volatile stocks get a smaller allocation while the slow moving stocks get a larger allocation. Thereby every stock has an equal, theoretical possibility to impact the portfolio level results. Because let’s face it, at a weight of 0.01%, Diamond Offshore is pretty much out of luck when it comes to voting how the S&P moves.
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-The simulation here is simple in concept, as most worthwhile simulations tend to be. We buy all the index stocks, all 500 of them. Each stock is allocated a weight based on its inverse volatility. No, that’s not complex. Higher vola, lower weight.
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-Each month, we check the volatility of all stocks and adjust the weights accordingly. This kind of rebalancing is very important, as we’d otherwise be left with a completely random portfolio. Risks change over time, and we need to change positioning with it.
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-When a stock leaves or joins the index, the same rebalance is triggered to make sure we’re always holding the actual constituents at any given point in time.
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-Yes, that’s an absolutely massive outperformance in Figure 14-97. This is quite a well-known phenomenon in the business, that that smaller stocks tend to perform better over time. Still, we did have a loss of about half during 2008, which is in-line with the index. Losing this much isn’t fun and that can be avoided with a trend filter as we’ve seen before.
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-You may be wondering why we bother with the momentum stock selection. Why not just slap an index trend filter on this baby and let it rip?
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-It probably works, in theory. For most people however, holding a portfolio of 500 stocks may be a little impractical. Simply by using a risk parity weighting, we can realize a large part of the momentum effect, but it’s not a practical solution for most investors. That’s why we attempt to build a small portfolio of the top performing stocks.
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-Table 14 45 Risk Parity Index Weighting
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-Figure 14 97 All Index Stocks, Risk Parity Weighting
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-How important is Momentum Period?
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-In the simulations earlier, we’ve been using a 90 day momentum ranking. This refers to the number of data points used to calculate the regression analytic that we’ve seen previously. We measure the momentum based on the past 90 trading days and use that to rank the stocks. But why 90 days?
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-The short answer is, because it’s good enough. If you stay in the more or less medium term momentum range, it doesn’t matter that much what exact number you pick.
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-Running optimizations is rarely a good idea. Perhaps if I ran a few hundred iterations, I’ll come up with that 97, 74, 103 or some other number is optimal. Those exercises do little but to lull you into a false sense of safety. After all, it’s not terribly likely that there is such a thing as an optimal number. Curve fitting history is easy but it doesn’t help you. What you need to do is to trade a concept, not a magical number. Here we’re aiming for medium term, so a reasonable medium term number was picked more or less at random.
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-Sanity checking however is a different thing and shouldn’t be confused with optimizations. An easy way to do a rough sanity check is to pick a few more possible numbers that are also reasonable in this context. Then we’ll make sure that we get a very similar behavior. If we would get a substantial difference in results, the overall concept wouldn’t appear very stable. What we’d like to see is that varying the inputs a bit doesn’t make a huge amount of difference.
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-Since we used 90 before, let’s throw a few similar numbers at the wall and see what sticks. The exact same simulation has been repeated a few times, using the periods 60, 120 and 240. Table 14-46 shows the result.
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-Table 14 46 Regression Period Stability
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-As can be seen, 90 days seems like a reasonable choice. We see a little worse results if we move down to 60 days, but we’re still strongly beating the index. Going up to 120 days shows almost exactly the same results and 240 days only worsens the results slightly. Most likely, any of these numbers would do just fine in the long run.
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-The exact number you pick isn’t of very high importance.
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-Figure 14 98 Regression Period Stability
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-How important is Ranking Methodology?
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-I’ve shown you a ranking methodology here that I like. It may seem complex if you’re not familiar with statistical analysis, but it’s really not very difficult math. You may rightly be wondering why I’m describing such a seemingly complex method.
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-To keep you from flipping the pages back to chapter , let me remind you that the ranking math described previously is based on annualized exponential regression, multiplied by the coefficient of determination. Well, that last sentence was a mouthful, huh. Trust me, it sounds more complicated than it is.
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-I’ve described this method to you because I like it. It will provide candidate stocks that look comfortable to me. The annualized exponential regression is a useful measurement of pure momentum, expressed in a way that’s easy to relate to. It tells you how many percent the stock would move if it continues the same exact trajectory for a full year. It does not however tell you anything about volatility. So we punish volatile stocks by multiplying with the coefficient of determination (R2). That pushes volatile stocks, prone to gaps and choppy moves, much further down the list. In the end, we get stocks with nice, smooth return profiles.
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-If you were to simplify my model and use easier measurements, it’s not going to make a huge difference. If you have another way to measure the same thing, go ahead and do that. Make sure you get the concept and that whatever methodology you prefer to use covers the same principles. You probably want to measure momentum and reward stocks that move up more smoothly than others.
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-But what if we were to simplify things a bit? Let’s do some simpler models and see what comes out. Redoing the same simulations with simpler momentum measurements could help illustrate why I’ve chosen the method presented earlier.
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-Let’s look at two simpler ways of measuring momentum. One obvious way would be to simply look at percent covered. Using the same 90 day period as before, we would then measure how many percent a stock made or lost in the past 90 trading days and make ranking tables based on that. Let’s use that as one alternative ranking method.
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-Then there’s the matter of using this coefficient of determination business to adjust for fitness. Let’s take that away, using just the annualized regression slope, based on 90 trading days, and see what we get.
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-With these two simpler methods, we can make new simulations and compare the results.
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-Table 14 47 Different Ranking Methods
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-Table 14-47 seems to show that there’s really not much difference. If you look at the chart in Figure 14-99 it still doesn’t look like much of a difference. In fact, just looking at that chart it may seem as if the simpler methods are superior. After all, they do land slightly higher on the y-axis.
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-Well, first of all, the tiny difference in performance merely amounts to a rounding error. Such small differences in simulation results are really nothing but noise. So let’s call them all the same in terms of performance.
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-If they are the same, then why use a complex method?
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-It’s not just about the end result. It’s about how you get there and your ability to get there. While the end result is practically the same, the simpler methods will lead you to invest in many dangerous or nonsensical situations. In the long run, it evens out, as long as you really follow the rules. If you’re not comfortable with the stocks that the system spits out however, you’re unlikely to keep buying them.
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-The fitness adjusted regression method that I present in this book is designed to find solid momentum situations and to weed out the dangerous and uncomfortable situations. It won’t lead you to invest in takeover situations. It won’t make you buy stocks that just had a massive one time jump. It will come up with stocks that look good, that make sense and that you won’t have any problem buying.
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-Figure 14 99 Comparing Ranking Methods
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-How important is Position Size?
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-Do you remember how we sized the positions earlier? You should, because the principle behind it is pretty important. What we did was to look at the volatility for each stock and buy less of the volatile stocks and more of the slow moving stocks. The idea is to take approximately equal risk per stock. That part is very important. But how much risk should we take per stock?
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-Remember that in our original formula, explained in chapter we used a risk factor of 10 basis points. This risk factor isn’t about the total risk in the portfolio, but only about the risk per stock. We still buy stocks until we run out of cash. If we were to lower the risk factor, each position would be smaller. That would of course mean that we end up with a higher number of stocks in the portfolio. Conversely, if we raise the risk factor we get fewer but larger positions.
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-So why did we use the number 10 basis points in that first version? Is there something special about that number? Nah, not really. But it’s a reasonable enough number. With that number, you normally end up with somewhere between 20 and 30 stocks in a fully loaded portfolio. The exact number will of course depend on how volatile stocks you picked, based on the ranking method.
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-A portfolio of 20 to 30 stocks makes for a reasonable diversification. If you have really few stocks, you’ve got too high event risk. In a portfolio of less than 10 stocks, the risk of a shock event in one stock is too high. Sure, it can happen in either direction but it still introduces an element of luck to the strategy. A sudden shock in one stock can make or break your whole year in such a concentrated portfolio.
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-On the other hand, if you’ve got too many stocks you’re got a different set of problems. It’s not really practical for most people to have 50 stocks in a portfolio. You’ll also end up with results that are increasingly starting to look like the index.
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-Having pointed out these issues and explained why I picked 10 basis points, let’s see what the simulations will tell us.
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-Figure 14 100 The Impact of Position Size
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-In Figure 14-100 you can compare the results of different position sizes. At the bottom in that figure is the index itself. All of our iterations beat the index. The three simulations shown here use the default 10 basis points, 50 basis points and 5 basis points respectively. Using 5 basis points will generate a very broad portfolio with many stocks, while 50 basis points will hold only 5-6 stocks at any given time.
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-Table 14 48 Impact of Position Size
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-The interesting thing here is that in the simulations, the results look stronger the larger the positions are. Now keep in mind that we’re not talking about taking on higher overall exposure, simply about buying larger, and fewer positions.
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-So isn’t the conclusion that you should have an extremely narrow portfolio? Perhaps only 3-4 stocks? Well, I wouldn’t recommend it. In theory, such a portfolio can do extremely well over time. It can only be the victim of plain bad luck and crash badly.
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-Don’t lose perspective of what we’re doing here and what effect we’re trying to exploit. If we have only 3-4 stocks, or even 8-10 stocks the event risk is far too high. Simulations show that it probably works well over longer term, but it’s not a prudent way of managing money. The dependency on luck becomes too large.
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-And what about the really broad portfolio version? Using 5 basis points per stock, we’ll end up with 40-50 stocks and often even more. Not only do the simulations show that the results worsen, but it also becomes much more difficult to manage from a practical point of view.
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-An advantage of stocks compared to futures for instance is that you can trade with much smaller amounts. The default version with 10 basis points and 20-25 stocks can be implemented with a very low capital base. However, if you’re targeting a portfolio of 40 stocks, you’d end up buying single shares of each and you’ll lose the effect of risk parity and rebalancing.
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-So is 10 basis points the perfect number? Of course not, but it’s a sane number that’s probably good enough. Whether you use 8 or 15 will probably have a very marginal impact, but you’d want to be somewhere in this vicinity.
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-How important is Choice of Index?
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-The choice of index will over time have quite a large effect. If this book managed to get you interested enough in the subject to start doing your own research, this is an area where you may want to do some work.
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-When writing a book, some simplifications and limitations are necessary. Covering everything would make for a too lengthy book, would take too long to write and would probably end up too boring for most readers. One simplification in this book is that it focuses on a single index: The S&P 500.
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-The choice of S&P 500 index is simply realism. It’s an index everyone knows about. Most people are invested in it, one way or another. It consists of the 500 largest companies in the largest economy in the world. It’s certainly not chosen because momentum somehow works better on this particular index.
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-A large part of momentum portfolio strategies is about picking up stocks with significant potential. The large cap stocks in the S&P 500 are in this particular index because they had huge potential in the past and have become valuable enough to be included in this index. While these stocks can certainly still show some performance, they are unlikely to have as much potential as they did in the past. Before they were large caps.
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-The momentum approach doesn’t work on the S&P 500 stocks because they are large caps. It works in spite of the stocks being large caps.
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-If you really want to put in some work and do some serious research, try other indexes. Start with the S&P 400 mid-cap index and the S&P 600 small-cap index. Try local country indexes in other nations or try international indexes. Just remember that if you’re using an index with multiple currencies, you need to handle the currency conversions and attributions.
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-What you’re likely to find is that small to medium sized stocks can show an even greater momentum potential than what we’ve seen in this book. They may also show more volatile returns of course.
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-A Random Ass Kicking of Wall Street
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-If all you want to do is to beat the index, you don’t need any of what you’ve just read so far in this book. Would you like to learn how to beat practically all mutual fund managers in the world? Yep, I’m about to share that secret with you.
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-Let’s first put the whole index beating game into context. There are thousands of mutual funds. Many thousands. Banks all around the world have their own set of mutual funds on just about any index you can dig up. The idea with a mutual fund is, or at least was, to allow individuals with limited net worth to participate in the broad equity markets. It’s difficult for a private person of normal background to buy all 500 stocks in the S&P 500 index, but with mutual funds he could buy a fund that will follow and attempt to outperform it.
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-Mutual funds can’t run around and do whatever they please. They have strict tracking error budgets and are not allowed to deviate much from the index composition. Outperforming by 100 basis points in a year, and that’s a single percent, is considered a very strong year. It’s important to remember that mutual funds are relative investment vehicles. Their job isn’t to make money per se, their job is to attempt to beat the benchmark. That’s done by investing in a very similar manner and using the tiny tracking error budget to try to make up for the added layers of cost that a mutual fund has.
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-A mutual fund is not tasked with showing absolute return. If its benchmark index ends a year at -10%, the mutual fund isn’t supposed to be positive. If that funds ends the year at -9.5%, that’s a successful results in the context of its mission. It’s all about the relative performance.
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-What we saw in chapter was that almost all mutual funds fail dramatically at the single task that they’re supposed to focus on.
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-Typically 75-85% of mutual funds underperform on any given 3 year period. If you look at any longer period than that, there are practically no funds left that managed to even match the index. So why do mutual fund managers fail to beat the S&P 500? According to Gordon Gekko, because they’re sheep, and sheep get slaughtered. More likely because they’re handcuffed to a tracking error system. They need to keep their allocation very close to the index. For them it’s a disaster if they underperform with a couple of percent in a year. Then add in that they have huge costs to pay. Management fees, custody fees, trading fees etc.
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-If you really want the index, there’s of course a solution. Buy the ETF. If you want to get the exact performance of the S&P 500, minus a tiny fee, buy the SPY tracker. It’s invested in the exact same stocks as the index, at the exact same weights. When you buy the tracker, a computer will increase holdings pro rata in all stocks automagically. You know in advance exactly what you’ll get. You buy the index, and you’ll get the index.
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-But do you really want the index?
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-The S&P 500 Trading System
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-The S&P 500, along with all other market indexes, is just a trading system. There are rules for when to buy and when to sell. There are rules for how much to buy from each stock and there are even rules about rebalancing. The S&P 500 is a very long term trading system with extended holding periods. Stocks are bought after strong performance has pushed their market capitalization over a certain limit and certain other criteria have been fulfilled. The position sizing is based on the market capitalization and the higher market cap gets the highest weight.
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-It may seem strange to think of the S&P 500 as a trading system, but that’s what it really is. This also means that we should be able to analyze it like any other trading system.
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-If you think of things that way, the index doesn’t look very attractive anymore. It’s a horrible trading system. In the long run you can expect an annualized return of 5 to 6%, while you’ll see plenty of huge losses along the way. At times even losing half of your money with several years to recover losses.
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-So even though you could buy the SPY index tracker and get almost exactly the same performance as the index, beating all the mutual funds, it’s still not a very attractive investment. We need to beat the index.
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-Beating the index must be very hard. After all, all of these professional mutual fund managers keep failing year after year. They’re experienced market professionals, making millions of dollars in bonuses. If they can’t beat the market, can it really be done?
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-Oh yes.
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-Beating the market is very simple. Super simple. A random number generator can beat the index.
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-I’m serious. Random stocks will beat the index. Big time.
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-Let’s see what some simple simulations can tell us about beating the index. We’ll build random portfolios and see what happens.
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-In the following simulation, we’ll let the computer pick stocks from the S&P 500 constituents at random. At the start of every month, we liquidate the entire portfolio and buy 50 random stocks. The position sizing is done through a basic risk parity model. That is, we use the same simple ATR based model as was outlined in chapter to allocate an approximate equal risk to each stock. We have no idea which stock will perform and which will not, so there’s no need to allocate different risk to them. Certainly there’s no need to allocate a higher risk just because the company happens to be larger.
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-This being a random approach, a single simulation run wouldn’t mean much of course. After all, if you throw the dice once, you could get any value. I’ve run the simple simulation model a few hundred times and the results in the end are fairly consistent. Not a single iteration has failed to beat the index.
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-Figure 15 101 Benchmarking Randomness
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-Figure 15-101 shows a representative subset of 50 simulation runs versus the total return index. The thick black line is the S&P 500 Total Return. Why only a subset of 50 runs? Well, even 50 gets a little silly in a chart. With 500 lines, it would look like something from Picasso’s more drug fueled periods.
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-If you look closer at this figure, you’ll see that in the short run, anything can happen. Some months the index may do better, some months the random strategies. There was even a period in the beginning where the index was ahead. In the longer run however, the index doesn’t stand a chance.
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-I’m not seriously suggesting that you go pick a random set of stocks every month. But I’m serious about claiming that if you would, you’d have a high probability of beating the index.
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-It’s important to remember what really differs between this random approach and the momentum approach explained for the better part of this book. First, we try to make sure that we’re hitting the stocks in those upper lines in Figure 15-101. We want to increase our probabilities of our returns resembling the better looking of those iterations. Second, we want to avoid or at least reduce the drawdowns. In concept, very easy. In practice, not always as simple.
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-The real question is, in the light of this random ass kicking of Wall Street, do you really want to buy index products?
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-Figure 15 102 Random Victory - Return to Drawdown
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-Simulating the Strategy
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-As simple as an equity momentum strategy is in terms of concept, it’s surprisingly complex to model and simulate it. It’s very easy to miss critical details or to make other mistakes along the way. Technology changes all the time so I won’t go into software solutions and data providers here. Those types of things are better covered on a website, where the information can be updated as the situation evolves. Instead, this chapter attempts to point out some of the more tricky concepts that can be very important when simulating an equity momentum strategy.
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-If you accept my simulation results in this book and have no interest in performing your own simulations, you can safely skip this entire chapter.
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-Data
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-If you input junk, you’ll get junk out. You can make the best simulation in the world, but if you didn’t get the data right in the first place it will still be useless. Getting the data right for stock simulations is tricky.
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-At first, you’ll need to figure out what your data universe is. It shouldn’t be a basket of stocks that you like. Odds are that you like them because they performed well, so running a simulation of them would probably also show strong results. That’s not terribly useful information. What you need is a logical set of markets, something you might have chosen a long time ago.
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-Picking an index is a rational way to solve this. Trading the constituents of an index makes perfect sense and it’s a rule based approach that can be properly tested. In my simulations earlier in this book, I used the S&P 500.
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-Finding out which stocks are currently part of the S&P 500 is easy, not to mention free. The problem is of course that you can’t assume that you would have traded the current S&P 500 stocks for the past ten years. The index changes in composition all the time.
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-To make matters worse, a stock is usually included because it had very strong price development. So if you run a 10 year momentum stock simulation on the current S&P 500 stocks, of course it’s going to look amazing.
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-You could even argue that the S&P 500, along with most other equity indexes, are already momentum strategies.
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-No, what you need is to take historical joiners and leavers into account. That is, on any given day in your simulation, your code needs to be aware of which stocks was part of the index on that particular day. That makes it a little trickier, doesn’t it?
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-Did I mention that this includes delisted stocks? Yes, even if a stock went bankrupt five years ago, was merged with another stock or for some other reason ceased to exist, it has to be included. Getting the data for these stocks can be a bit of a hassle and it certainly rules out all the free sources.
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-Next important point is cash dividends. Over time, this makes a very significant difference. There are two ways to handle the dividend data, once you’ve found a way to obtain it. Either you use dividend factors calculated by your data provider, to create total return series, or you handle the cash injections directly. Both ways create good enough simulation results.
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-If you’re planning on skipping any of these parts, your simulation work will be a waste of time. You absolutely need to have historical constituents information, delisted stock data and cash dividend data. It can get expensive and it can get complicated, but there’s no way around it.
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-To replicate the strategy in this book, you’ll only need end of day data. You won’t need any intraday time series, although of course it won’t hurt. If you do have intraday series, you can get some interesting stats on the short term moves but it won’t improve the strategy as such.
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-Real Portfolio Simulation
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-There are several good simulation platforms available. But there are even more absolutely useless software platforms. The latter are usually better known, have a wider user base and considerably lower price points.
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-Most of the well-known simulation platforms marketed to the retail trading community are based on single strategy, single instrument. This quite outdated concept assumes that you want to simulate a single set of rules on a single market. It’s based on the age old illusion of finding the perfect set of rules for trading the NASDAQ. If you list the first ten simulation programs you can think of, odds are that all of them belong in this category.
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-Single strategy, single market type of software solutions are quite useless for any sort of professional use. Forget about using such software and move on to something that can at least handle portfolios.
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-The next level is software packages that were built for single instrument, but which has been retrofitted with some sort of portfolio functionality. The products in this group can be a bit hit-and-miss. Some work ok, others are junk. None of them, to my knowledge and experience, are great.
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-The usual problem is in how they process the data, or rather in which order. The platforms that have been retrofitted with portfolio functionality, rather than having been built for it from the start, tend to process the data in a highly unrealistic manner. This can, and often will, lead to weird results, to use the technical term for it.
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-Such solutions usually process one instrument at a time. If you tell it to perform a simulation on a set of instruments, it will pick one of them to start with and iterate through every single data point for that instrument before moving on to the next. So if you deal in daily data, it will first go over each day in the data series for Instrument 1 before going over each day for the data series in Instrument 2, and so on.
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-After going over all instruments in that order, checking for buy and sell points, the common solution is do one more run to determine position sizes.
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-In reality, you don’t trade ten years for Stock 1 and then ten years for Stock 2. Even if the software attempts to figure out some portfolio interaction along the way, it’s just not a realistic way to model and it can very easily cause problems. Not the least that it allows for data snooping, i.e. letting your code see into the future.
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-A proper simulation environment works differently. Instead of working through one instrument at a time, it works through points in time. If you’re dealing with daily data, it should look at one day at a time, for all instruments. Your code shouldn’t be aware of anything in the future, but it should be aware of everything that’s happened up to this point. Those with a programming background reading this know that I’m talking about marshaling. No, I won’t go into that word in more detail, because if you’re not familiar with it you probably won’t need to be. As long as you understand the difference between working though day by day or instrument by instrument.
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-Programming Language
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-If you want to be a systematic trader, you will have to learn how to program. It’s not something that you can outsource. All too often, this aspect of the job is glossed over. Even if you’re head of a team of hedge fund quants, you still need to understand programming.
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-There was a time when a doctor or a lawyer didn’t need to know how to use a typewriter. They had people doing that for them and they were far too busy to be engaged in such menial activities. That’s unfortunately how many aspiring traders view programming. Can you imagine today a lawyer who can’t type? Of course he’s got an assistant, but being unable to type would make him absolutely helpless.
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-The good news is that you won’t need to learn any deeper programming skills. It might be an advantage for some who do want to go deeper, but it’s not required. Some basic programming skills however can’t be avoided if you want to be in the systematic trading field.
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-Of course, when I use the word basic in the last sentence, I’m not suggesting that you study how to make Goto statements in Basic. Selecting the right language to build your strategy in can be very important though.
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-Most retail simulation platforms use simplified, proprietary scripting syntax. The marketing text is usually about how easy it is to get started, even for non-programmers. Avoid these types of programs. They are extremely limited and you can’t do anything useful with them.
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-What you need is flexibility. That’s the single most important point when you’re deciding about a simulation environment. Speed is not that much of an issue, unless you move to really low frequencies and in that space the larger players have too much of an advantage anyhow.
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-You won’t find flexibility with the simplified scripting languages that are built into many of the retail platforms. You will find it however with industry standard programming languages. You’ll also find plenty more support, examples and resources if you use such languages. Whether you want to code in C#, R, MatLab or similar is a matter of preference and convenience. You should however aim for a real programming language, and avoid the scripting platforms. It may seem easy and quick to get started with these simplified platforms, but you’ll quickly regret it when you realize just how limited they are.
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-Flexibility
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-Very few simulation platforms can do everything you need. Probably none can. The good ones however, can be made to do it anyhow. A good simulation platform is flexible enough to be extended in ways that the original developer didn’t think of. The more open a platform is, the better. As a strategy developer, you’ll always run into situations where you wish your platform could do something more. That’s also a key reason why industry standard languages are important.
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-For instance, there are probably no simulation platforms that were made with our type of strategy in mind. After all, we’re doing something quite different from what most people are simulating. We’re calculating analytics, ranking stocks, selecting stocks based on the ranking and sizing them based on both their own volatility and on current overall portfolio value. That’s not your everyday simulation.
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-We might also be interested in data such as sector attribution or portfolio allocation on a given date back in time. Perhaps we want to analyze industry risk and attribution over time or the impact of the positive and negative stock outliers. A good platform is able to do all of those things, with a little work. If it’s flexible enough.
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-Multi-Currency Support
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-You may have noticed that I’ve deliberately kept currencies out of the discussions so far. The strategy we’ve seen so far has only been applied on American stocks. That’s not because they somehow work better with momentum strategies. It’s not even about how it’s easier to sell a book about American stocks than about Swiss stocks. Well, not only about that. It’s because I’d assume that most people who want to replicate the strategy lack access to multi-currency simulation environments.
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-Dealing in stocks denominated in only one single currency is a luxury. If you’ve ever managed global portfolios and go back to single currency portfolios, it feels like vacation time. No more currency exposure problems!
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-When you’ve got a stock universe covering several currencies, you will be faced with a whole new set of problems. There are many practical considerations, decisions such as if, how and when to cover exposure, added costs in terms of foreign exchange spreads and the pesky little issue of currency attribution. It opens up a whole new type of headaches in practice, but even on the simulation stage it makes things much more complicated.
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-When you simulate such strategies, it’s vital that your software is aware of the currency denominations of your stocks as well as the exchange rate at any given time. The currency fluctuations will have a very large impact on your performance. If you plan to hedge your exposure, you’d have to model that hedging strategy too. That would require capability to model and simulate multiple strategies of course.
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-Or you could stick to the S&P 500 stocks for an easy way to get rid of this problem.
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-Structuring the Simulation
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-For each day in your simulation, you need to check or calculate a few things.
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-First you need to check if the stock qualifies for inclusion or not. In this case, we check if the stock was a member of the S&P 500 index on the day in question. A convenient way to do this is to construct a custom indicator, which uses reference data to return 1 on days when a stock was in the index in question and 0 when it wasn’t.
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-Then we need to calculate the largest move that the stock did in the past 90 days. Remember how we had that rule that we don’t like stocks that had gaps larger than 15%? Calculate how large gap we’ve seen in the past 90 days for use later.
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-Of course, we need a crude volatility measurement and for that the Average True Range is a good choice. We’ll use a 20 day ATR in the base version of this strategy, so add that into the mix.
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-Then comes the ranking itself. That is, the analytic that we use to select which stocks to trade. We therefore need an indicator that tells us the risk adjusted momentum. The math isn’t terribly complicated if you’re familiar with statistics. You need to first calculate the annualized exponential regression slope, based on 90 days, and then multiplying it by the correlation of determination (R2).
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-The ranking is explained earlier in chapter .
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-Apart from the information mentioned above, we also need to calculate a 200 day moving average on the index itself, and determine whether or not it’s currently higher or lower than the index itself.
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-Once all the data mentioned above is calculated, we can start performing the logic. The first thing you need to do now is to rank the stocks. Use the ranking number we calculated, make a list of all the stocks that qualify on this particular day and sort them based on the ranking number we calculated.
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-Note that this process so far aims to replicate what we would do in reality. We calculate all the relevant analytics at the end of the day and then we take action based on it.
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-The logic is only performed once per week. The lazy solution to this is to run the simulation on weekly data. The better way would be to check for which day the logic should be done. If you go down to weekly periodicity, you’ll lose the granularity on the simulation results as well and that’s a big loss.
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-If today is a trading day, we start by checking if we need to sell anything. If a stock that we own left the index or for other reasons stopped trading, exit it. If the momentum rank is no longer in the top 100, exit. If the stock is trading below its 100 day moving average, exit it. If it had a gap larger than 15%, exit.
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-Next step is to check if today is a rebalancing day. If so, we need to go over each position, calculate how large size we should have and what the difference is to what we have. Remember the rules and how we size the positions, as explained in chapter . Recalculate the size using the same formula and adjust the position size up or down as needed to match. To reduce trading a little, you could set a filter to only adjust if the difference is larger than 5%.
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-Now that we’ve sold the stocks we no longer want and rebalanced the ones we want to keep, we know how much cash is available. That’s when we can start buying.
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-Start from the top of the ranking list. Buy from the top, using the same risk parity sizing as before, until you run out of cash. If a stock is top ranked and we don’t yet own it, buy it.
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-That’s it.
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-Did I hear anyone ask for source code? Well, that’s not as useful as it may seem. You’re better off understanding the logical steps and building it yourself. My source code is written in a particular language for a particular environment and it’s probably not in itself too useful for most readers.
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-If you really want to get into the simulation side, you’ve got some hard work in front of you. I do very much encourage you to do so, but you’re going to have to do some heavy lifting.
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-With the logic I’ve explained here, along with quality data and a proper simulation environment, you will be able to replicate my findings and experiment with your own improvements. That’s not for everyone, but with this chapter I want to give everyone who is interested enough information to get to work.
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-I wish you the best of luck and hope to see many new successful momentum investors!
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-Bibliography
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-Antonacci, G. (2014). Dual Momentum Investing: An Innovative Strategy for Higher Returns with Lower Risk. McGraw-Hill.
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-Clenow, A. F. (2013). Following the Trend: Diversified Managed Futures Trading. Wiley.
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-https://us.spindices.com/resource-center/thought-leadership/spiva/. (n.d.). Retrieved from S&P Dow Jones SPIVA Scorecards: https://us.spindices.com/resource-center/thought-leadership/spiva/
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-Jegadeesh, N., & Titman, S. (1993). Return to Buying Winner and Selling Losers: Implications for Stock Market Efficiency. Blackwell Publishing.
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-Kaminski, K. M., & Greyserman, A. (2014). Trend Following with Managed Futures. Wiley.
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-Levy, R. A. (1967). Relative Strength as a Criterion for Investment Selection. Journal of Finance.
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-Radge, N. (2012). Unholy Grails: A New Road to Wealth. Radge Publishing.
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-Wilcox, C., & Crittenden, E. (2005). Does Trend Following Work on Stocks. Longboard Asset Management.
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-Winton Capital Management. (2015). The Global Monkey.
-
-
-
-
-
-Table of Contents
-
-Title
-
-Copyright
-
-Dedication
-
-Acknowledgments
-
-Preface
-
-The Problem with Mutual Funds
-
-Mutually Assured Destruction
-
-Exchange Traded Funds
-
-Equities is the Most Difficult Asset Class
-
-Peer Pressure
-
-Survivors
-
-Divide and Conquer
-
-Choice of Index
-
-Market Capitalization
-
-Sectors
-
-Does Trend Following Work on Stocks?
-
-The Problem with Trend Following on Stocks
-
-Standard Trend Following Model on Stocks
-
-All Time High Model
-
-Trend Following on Single Stocks
-
-The Semantics of Trend Following
-
-The Momentum Effect
-
-The Rational Behind Momentum Investing
-
-The advantage of a Systematic Approach
-
-Market Regime Filter
-
-Ranking Stocks
-
-Using Exponential Regression for Ranking Stocks
-
-Additional Filters
-
-Position Size
-
-Position Rebalancing
-
-When to Sell
-
-Portfolio Rebalancing
-
-A Complete Momentum Trading Strategy
-
-The Exact Trading Rules
-
-Trading the Strategy
-
-The Initial Portfolio
-
-Position Rebalancing
-
-Portfolio Rebalance
-
-Momentum Strategy Performance
-
-Year by Year Review
-
-1999
-
-2000
-
-2001
-
-2002
-
-2003
-
-2004
-
-2005
-
-2006
-
-2007
-
-2008
-
-2009
-
-2010
-
-2011
-
-2012
-
-2013
-
-2014
-
-Conclusions of Year by Year Review
-
-Strategy Analysis
-
-How important is the Trend Filter?
-
-How important is Risk Parity?
-
-How important is Momentum Period?
-
-How important is Ranking Methodology?
-
-How important is Position Size?
-
-How important is Choice of Index?
-
-A Random Ass Kicking of Wall Street
-
-The S&P 500 Trading System
-
-Simulating the Strategy
-
-Data
-
-Real Portfolio Simulation
-
-Programming Language
-
-Flexibility
-
-Multi-Currency Support
-
-Structuring the Simulation
-
-Bibliography
-
-
-
-
-
diff --git a/Books/Music/Articles/Chord Progressions Berklee Press.txt b/Books/Music/Articles/Chord Progressions Berklee Press.txt
new file mode 100644
index 0000000..4ab7d16
--- /dev/null
+++ b/Books/Music/Articles/Chord Progressions Berklee Press.txt	
@@ -0,0 +1,56 @@
+Common Chord Progressions and How to Make Them Your Own
+
+Explore the common chord progressions behind countless hits and find out how to reinvent them in your songwriting
+
+Common chord progressions are common for one reason they sounded good when songwriters used them in the past so songwriters who have come after know that using these common chord progressions will also sound good Songwriting is an art form that requires creativity imagination and an understanding of music theory but if were being honest theres also a degree of fake it til you make it And with that approach in mind one technique you could try is to utilize similar chord progressions as existing songs to write your own Everybody else is doing it so why shouldnt you right Heck even if youre an established songwriter trying on somebody elses chord progression is at the very least a fun exercise and at best it could lead to a major hit song
+
+What Is a Chord Progression
+
+First things first lets talk about what a chord progression is before we get into common chord progressions Simply put its the order in which chords are played in a song And while there are countless chord progressions out there some are more commonly used than others Lets take a look at some of the most common chord progressions Its likely youll instantly recognize them as soon as we share a couple examples
+
+The I IV V 1 4 5 Chord Progression
+
+One of the most common chord progressions is the I IV V or 1 4 5 progression Youve probably heard it before even if you dont know it by its fancy Roman numerals Its a heavily used progression and it has appeared in hit songs that span decades like 1958s La Bamba by Ritchie Valens the chorus of 1965s Like a Rolling Stone by Bob Dylan the verse of 1976s Blitzkrieg Bop by the Ramones 1977s My Best Friends Girl by the Cars 1983s Walking on Sunshine by Katrina and the Waves and more Once you learn the two basic types of major barre chords on guitar youve opened up the gate to a million songs starting with the I IV V Its a simple but effective progression that can be used in a variety of genres to create a catchy and memorable song 
+
+The I V vi IV 1 5 6 4 Chord Progression
+
+Then theres the I V vi IV or 1 5 6 4 progression also known as the four magic chords which is used in pop hits like Jason Mrazs Im Yours or Journeys Dont Stop Believin You can say its overusedThe Beatles Let It Be Bob Marleys No Woman No Cry U2s With or Without You Lady Gagas Poker Face to name a fewbut its a versatile and popular progression that can be used in a variety of genres If you want to hear more than 40 additional songs that use this progression you should take a look at Axis of Awesomes viral Four Chords video which if you havent seen it yet its worth the six minutes to join the 46 million people who have Based on the videos popularity some people even refer to the I V vi IV progression as the Axis Progression
+
+The vi IV I V Chord Progression
+
+Another common progression is the vi IV I V progression It uses the same chords as the one above but instead of starting on the major tonic chord we start from its relative minor Even though theyre basically the same progression you get a completely different sound because of where youre starting you can call it the minor equivalent of the four magic chords Youll hear this progression in classic songs like Africa by Toto and Boulevard of Broken Dreams by Green Day
+
+The ii V I 2 5 1 Chord Progression
+
+If you want to borrow a less obvious progression try the ii V I or 2 5 1 This one is used in jazz standards like Take the A Train by Duke Ellington and Softly as in a Morning Sunrise written by Sigmund Romberg and performed in popular versions by John Coltrane Artie Shaw Sonny Rollins and more Its a common cadence used to take us back to the I chord But that doesnt mean you cant write a song solely made out of this cadence and Sunday Morning by Maroon 5 is an example of a song that just uses the ii V I throughout the entire song even though the melody differs for the chorus 
+
+The vi ii V I 6 2 5 1 Chord Progression
+
+A more complex form of the ii V I would be the vi ii V I or 6 2 5 1 progression which is also known as the circle progression based on the circle of fifths It was made popular with George Gershwins I Got Rhythm in 1931 and it worked just as well 70 years later in Weezers 2001 hit Island in the Sun
+
+Pachebels Progression The I V vi iii IV I IV V 1 5 6 2 4 1 4 5 Chord Progression
+
+And then there is Pachelbels Progression which is I V vi iii IV I IV V or 1 5 6 2 4 1 4 5 While this seems like a super long and specific progression it has been all over pop music ever since Johann Pachelbel composed Canon in D at the turn of the eighteenth century This is one of the cases where not only the progression but even the melody has been copied You can hear the melody in Maroon 5s Memories and also in Blues Travellers Hook a song that pokes fun of overformulaic pop songs There are some variations though Green Days Basket Case as well as Aerosmiths Cryin both borrow from Pachelbels Progression but they go directly to the V chord after getting to the I in other words they skip the IV chord on the way back If you liked the geeky irreverence of the Axis of Awesome video youll probably also enjoy the medley that likely served as an inspiration Rob Paravonians Pachelbel Rant from 2006 
+
+The DooWop Chord Progression aka The 50s Progression The I vi IV V 1 6 4 5 Chord Progression
+
+The I vi IV V chord progression commonly known as the doowop progression has been widely used in various genres of music and has become iconic in several songs Its the same chords as the aforementioned Axis Progression but in a different order One of the most famous examples is Earth Angel made famous by the Penguins in 1954 which features the I vi IV V chords in a simple and memorable sequence that sets the foundation for the songs soulful harmonies Another popular song that utilizes this progression is the piano duet classic Heart and Soul which showcases the progression in a playful and catchy manner thats really easy to play on the white keys of the piano if you play it in the key of C But just because the progression is easy doesnt mean some of the worlds most famous pianists wont use it Elton Johns 1972 song Crocodile Rock uses the progression to help conjure up a 1950s nostalgia that matches the songs lyrics The I vi IV V progression has also found its way to indie rock providing the foundation for Neutral Milk Hotels indie folk anthem from 1998 In the Aeroplane Over the Sea Recent years have seen the progression used by Ed Sheeran in Perfect DJ Khaled in Im the One Taylor Swift in Me and Daddy Yankee in Dura Its a wonder that nobody has put together a clever medley of all of the songs using this progression yet However Berklee Onlines Amanda Monaco does a good job explaining the progressions variations in the video below
+
+Diatonic vs Modal Interchange Chords
+
+The chord progressions weve seen so far share something in common they all feature diatonic chords While its important to not overload yourself with progressions to memorize it can be helpful to recognize some of these modal interchange chords chords that do not belong to the expected tonality of a song These chords stand out for their unexpected tonality 
+The iv is one of the most common modal interchange chords and its instantly recognizable due to its melancholic and sometimes melodramatic feel You can hear it repeatedly in Radioheads No Surprises in the arpeggio played in the intro but it also shows up in a variety of genres and its common to see it follow the IV major chord The Beatles also perfected this on their Rubber Soul album in particular on the songs In My Life In my life I loved you more and Nowhere Man Making all his nowhere plans for nobody
+
+The VI VII I Cadence
+
+The VI VII I cadence is commonly found at the end of a Super Mario level or during  a baseball game Its sound gives us a sense of victory the one you might feel after completing a hard level in your favorite platformer An example of this in popular music can be found once again in the Beatles discography in the Billy Shields opening of With a Little Help from My Friends 
+
+The IImaj7 is a common chord to play before arriving at the I chord Youll see this type of ending in a lot of improvised jazz and its usually used as a way to delay the arrival of the I chord But it can also be used as a part of progression and its used in two very famous Radiohead songs Everything in Its Right Place and Pyramid Song Although both songs are in a major key the bII chord is borrowed from the Phrygian mode which gives the songs a darker feeling although the tonality is still major
+
+The Careful How You Use It I III IV iv Chord Progression
+
+Now just because youre using a similar chord progression as another song doesnt mean youre copying it Unless now that we mention it youre Radiohead who were sued by songwriters Albert Hammond the father of the Strokes guitarist and Mike Hazelwood for borrowing not only the progression but also the rhythm and melody of their 1972 song The Air That I Breathe for their breakthrough hit Creep The I III IV iv progression which has also been used in a number of other songs see below even prompted Radioheads publisherWarner Chappellto bring a lawsuit against Lana Del Rey when the singer used it in her Get Free song in 2017 
+
+The lesson here is that its important to make sure if youre using a similar chord progression to another song you should make other elements sound completely different like melody lyrics and arrangement So go ahead and experiment with different chord progressions to create your own unique sound And remember while using similar chord progressions can be a useful tool its important to also incorporate your own style and creativity into your music to make it truly stand out
+
+
diff --git a/Books/Music/Articles/Gilmore.txt b/Books/Music/Articles/Gilmore.txt
index 080a796..4166e0c 100644
--- a/Books/Music/Articles/Gilmore.txt
+++ b/Books/Music/Articles/Gilmore.txt
@@ -1,8 +1,4 @@
 ARTIST: David Gilmour
-GENRE: Rock, Art Rock, Blues Rock
-CONCEPTS: Target notes, pentatonic scales, melodic phrasing, ballad soloing
-SOURCE: Guitar Player Magazine
-TOPIC: Gilmour's melodic soloing approach using target notes
 
 When I was an undergraduate jazz performance major struggling to get a handle on bebop improvisation, I remember my professor Dave LaLama admonishing me, �If you think playing over the fast tunes is hard, wait until you try playing over the ballads. What Dr. Lalama was trying to impart was that playing fast scales over fast changes could get you by, but playing melodically over slow tempos, when your note choices are much more exposed, would really test how well you could create meaningful phrases.
 
diff --git a/Books/Music/Articles/Gilmore2.txt b/Books/Music/Articles/Gilmore2.txt
index 0452cff..a7382b3 100644
--- a/Books/Music/Articles/Gilmore2.txt
+++ b/Books/Music/Articles/Gilmore2.txt
@@ -1,8 +1,4 @@
 ARTIST: David Gilmour
-GENRE: Rock, Art Rock, Blues Rock
-CONCEPTS: Target notes, pentatonic scales, melodic phrasing, ballad soloing
-SOURCE: Creative Guitar Studio
-TOPIC: David Gilmour Scale Concepts
 
 The approach used by David Gilmour for the bulk of his scale ideas, is largely based upon the Blues scale and Minor Pentatonic, with a lot of reference to the Major 2nd degree from the Dorian mode. 
 It's quick to hear on many of his solos, such as the one he plays in the Pink Floyd song, "Yet Another Movie." That solo is largely pentatonic thrashing for the most part, but it's also full of feeling. 
diff --git a/Books/Music/Articles/Gilmore3.txt b/Books/Music/Articles/Gilmore3.txt
index a0998a4..6322168 100644
--- a/Books/Music/Articles/Gilmore3.txt
+++ b/Books/Music/Articles/Gilmore3.txt
@@ -1,8 +1,4 @@
 ARTIST: David Gilmour
-GENRE: Rock, Art Rock, Blues Rock
-CONCEPTS: Melody, Pentatonic Scales, Techniques
-SOURCE: Guitar World
-TOPIC: David Gilmour Techniques
 
 Perhaps more than any other player, David Gilmour is the epitome of the lead guitarist who plays melodically and �for the song�. 
 
diff --git a/Books/Music/Articles/Gilmore4.txt b/Books/Music/Articles/Gilmore4.txt
index 28e2183..851fbe9 100644
--- a/Books/Music/Articles/Gilmore4.txt
+++ b/Books/Music/Articles/Gilmore4.txt
@@ -1,8 +1,4 @@
 ARTIST: David Gilmour
-GENRE: Rock, Art Rock, Blues Rock
-CONCEPTS: Melody, Pentatonic Scales, Techniques
-SOURCE: Kitrae
-TOPIC: Gilmour Playing Techniques, Picks, and Strings
 
 It is almost cliche to say this, but a majority of what is percieved as Gilmour's tone and sound really does come from his fingers and playing. Gear selection helps, but much of the tone comes from the way the strings are picked, fretted, and how the tremolo is applied. Note choice is obviously a key to what makes a guitarist's style unique and identifiable, but you really need to invest the time to learn the picking, tremolo techniques, and phrasing to repicate the overall sound. David rarely lets a note just sit still. It is always moving or changing. Much of what people think is the gear making the tone sound good is simply the fingers making the gear sound good. For example, Big Muff's tend to be a bit harsh and fizzy, but when you add some fluidity and subtle harmonics to your playing it makes the Muff sound very un-Muff like, bringing something out of the it that you can't get with any other fuzz pedal. Add a sweet chorus or flange, some long delay, and you are in tonal heaven.
 
diff --git a/Books/Music/Articles/Gilmore5.txt b/Books/Music/Articles/Gilmore5.txt
index a496830..7259226 100644
--- a/Books/Music/Articles/Gilmore5.txt
+++ b/Books/Music/Articles/Gilmore5.txt
@@ -1,9 +1,4 @@
 ARTIST: David Gilmour
-GENRE: Rock, Art Rock, Blues Rock
-CONCEPTS: Melody, Pentatonic Scales, Techniques
-SOURCE: Kitrae
-TOPIC: How To Sound Like David Gilmour
-
 
 David Gilmour is known for both incredible tone and highly emotive technique and note choice. He regularly appears in the top 3 (often at number 1) when guitar publications hold �best solo ever� polls. From iconic releases like Dark Side of the Moon, Wish You Were Here and The Wall through to 2006�s dreamy, reflective On An Island, great guitar tone and playing has been a hallmark of all his work. Rumor is he�s been back in the studio recently, so it seems like a good time to look at his sound.
 
diff --git a/Books/Music/Articles/Jeff Beck 1.txt b/Books/Music/Articles/Jeff Beck 1.txt
index 5a78f36..63e2616 100644
--- a/Books/Music/Articles/Jeff Beck 1.txt	
+++ b/Books/Music/Articles/Jeff Beck 1.txt	
@@ -1,5 +1,4 @@
-Chunk 1: Piece Overview
-Metadata: artist=Jeff Beck, track=Over Under Sideways Down, year=1966, domain=bluesRockGuitar, sections=Intro/Chorus/Outro
+ARTIST: Jeff Beck
 
 Purpose: Analysis and transcription of Jeff Beck's guitar work over a G7-based blues-rock composition.
 
@@ -9,9 +8,6 @@ Key Concepts: Mixolydian mode, blues scale integration, chromatic phrasing, doub
 
 Style: Early psychedelic blues-rock guitar approach using fuzz tone and expressive articulation.
 
-Chunk 2: Intro Theory
-Metadata: artist=Jeff Beck, section=Intro, type=theory, harmony=G7, scale=Mixolydian, technique=chromaticPhrasing, concept=blueNote
-
 Description:
 Over a G7 harmony, Jeff Beck uses G Mixolydian as the base scale. He incorporates chromatic movement (G# to A) and emphasizes the root (G) and flat seventh (F). A defining feature is the use of the blue note between Bb and B, contributing to a fluid, expressive phrasing style.
 
@@ -21,18 +17,12 @@ Key Ideas:
 - Blue note usage
 - Phrase-driven (not scale-driven) playing
 
-Chunk 3: Intro Performance Tips
-Metadata: artist=Jeff Beck, section=Intro, type=performance, technique=fingeringPositions
-
 Guidance:
 - Use index and ring fingers in measures 1-2
 - Shift index to fret 10 for b7 access
 - Use middle finger for bends (C to D)
 - Maintain smooth slides for phrasing continuity
 
-Chunk 4: Intro Notation
-Metadata: artist=Jeff Beck, section=Intro, type=narrative, technique=hammerOn, pullOff, slide, concept=vocalPhrasing, string=Gstring, frets=10-14
-
 The phrase unfolds entirely on the G string, and it feels less like a "run of notes" and more like a single melodic voice bending and sighing through a short improvisation.
 
 It begins at the 12th fret, a bright, slightly tense pitch in this register. That note is struck and allowed to settle for a moment, then immediately revisited—almost as if it is being insisted upon. From there, the line blossoms into a quick flourish: the 12th fret is picked again and pushed upward into a hammer-on at the 14th fret. The motion is instantaneous and fluid, like a sudden lift of the voice. The 14th fret tone briefly blooms, then is released back down with a pull-off, snapping gently back to the 12th fret. This creates a tight, ornamental loop—12 to 14 and back again—that feels vocal, like a quick turn or grace note rather than a mechanical exercise.
@@ -79,9 +69,6 @@ The second half of the figure mirrors the first, but with slightly more loosenes
 
 Overall, the phrase behaves like a layered conversation: a steady high drone-like voice above, and a more expressive lower voice that rises, falls, and ultimately peaks in a single bent note. The bend functions as the emotional climax, while the surrounding material circles it like commentary. In spirit and phrasing, it strongly reflects the kind of lyrical, vocal guitar approach associated with Jeff Beck—where even a short figure becomes a shaped, expressive statement rather than a mechanical sequence of notes.
 
-Chunk 5: Chorus Theory
-Metadata: artist=Jeff Beck, section=Chorus, type=theory, scale=bluesComposite, harmony=G7, technique=doubleStopBend, concept=tension
-
 Description:
 Beck shifts into a composite blues scale (Mixolydian + minor blues). His phrasing uses repetitive motifs that interact with the static G7 harmony, creating tension through syncopation and note choice.
 
@@ -128,9 +115,6 @@ The low E at the 3rd fret persists throughout as an unchanging anchor, giving th
 
 The overall effect is a tightly structured, repeating harmonic cell shaped by expressive bends, quick releases, and small ornamental deviations. The motion is less about melodic development and more about the continual reshaping of a single idea—pressure, release, descent, and reassertion—delivered with the kind of tactile, performance-driven nuance associated with Jeff Beck.
 
-Chunk 6: Chorus Techniques
-Metadata: artist=Jeff Beck, section=Chorus, type=technique, technique=doubleStringBend, concept=tension, influences=ChuckBerry/EricClapton
-
 Focus: Double-string bends
 
 Details:
@@ -181,9 +165,6 @@ Throughout the passage, the earlier D-string motion continues to feel present st
 
 The overall effect is a layered phrase built from two interacting ideas: a grounded, repeating midrange movement and an expressive upper dyad shaped by controlled bending. Together they form a compact, cyclical musical statement in which tension is repeatedly created and released, in a manner closely aligned with the expressive phrasing style associated with Jeff Beck.
 
-Chunk 8: Outro Theory
-Metadata: artist=Jeff Beck, section=Outro, type=theory, scale=minorPentatonic, technique=unisonBend, concept=upperRegisterTension, strings=BstringEstring, frets=15-20, register=upperRegister, concept=tension, concept=sustainedBend
-
 Description:
 Beck builds intensity in the upper register using sustained unison bends on the B string at frets 18-20, held against the fixed high E string at fret 15. The contrast between the stable reference tone and the continuously elevated bent pitch creates prolonged harmonic tension without resolution. The solo evolves through tension-building phrases using G minor pentatonic phrasing and increasing rhythmic density, resolving periodically to the root.
 
@@ -335,7 +316,4 @@ The phrase contains no additional harmonic movement or upper-register interactio
 
 In its simplicity, the gesture functions as a small expressive arc: establish, reinforce, and then release downward. The slide serves as the emotional core of the phrase, transforming a static pitch into a continuous motion that resolves into a lower, more grounded state, in a manner consistent with the expressive phrasing approach associated with Jeff Beck.
 
-Chunk 9: Upper Register Tension Summary
-Metadata: artist=Jeff Beck, section=Outro, type=summary, concept=upperRegisterTension, technique=unisonBend, technique=sustainedBend, register=upperRegister, strings=BstringEstring, frets=15-20
-
 Jeff Beck creates upper register tension in the outro primarily through sustained unison bends on the B string at frets 18 through 20, held against the fixed high E string at fret 15. The B string is bent upward in a controlled, vocal-like arc and held at its elevated peak rather than immediately released, while the E string remains steady beneath it as a fixed tonal reference. The contrast between the stable reference tone and the continuously bent upper voice creates prolonged harmonic tension without resolution. This bend-and-hold gesture is repeated cyclically — rise into tension, sustain at the apex, partial release, and rise again — keeping the phrase in a state of suspended intensity throughout the outro. As the solo develops, rhythmic density increases through tremolo picking and register shifts, building cumulative intensity while the low E string provides a grounding rhythmic pulse beneath the sustained upper register activity.
diff --git a/Books/Music/Articles/Jeff Beck 2.txt b/Books/Music/Articles/Jeff Beck 2.txt
index 93e7ecf..2e9e827 100644
--- a/Books/Music/Articles/Jeff Beck 2.txt	
+++ b/Books/Music/Articles/Jeff Beck 2.txt	
@@ -1,17 +1,4 @@
-TITLE: Jeff Beck - Led Boots from Wired 1976
 ARTIST: Jeff Beck
-GENRE: Rock, Jazz Fusion, Funk Rock
-CONCEPTS: modal harmony, G Mixolydian, blues scale, whammy bar, 
-feedback, aggressive soloing, dynamic contrast, chromatic tension, 
-octave figures, pull-offs, bends, double stops
-SOURCE: Guitar transcription analysis
-TOPIC: Jeff Beck Led Boots guitar analysis and narrative transcription
----
-
-Chunk 1: Song Overview and Harmony
-Metadata: artist=JeffBeck, track=LedBoots, album=Wired, year=1976, 
-type=overview, harmony=Fm11/Em11/C7sus4, concept=modalHarmony, 
-collaborators=NaradaMichaelWalden/MaxMiddleton
 
 Led Boots from Wired (1976) opens with three measures of Narada Michael 
 Walden's funky drum intro before Beck and the band enter with a flourish 
@@ -23,10 +10,6 @@ changes as Freeway Jam by Max Middleton, compressed into a single measure,
 creating a modal progression in G that encourages instrumental flights of 
 fancy.
 
-Chunk 2: Opening Chordal Flourish Narrative
-Metadata: artist=JeffBeck, track=LedBoots, section=intro, type=narrative, 
-technique=chordVoicing, technique=whammyBar, strings=234, frets=3-8
-
 The opening chordal flourish begins with a compact voicing centered on 
 the middle strings: fourth string at the 6th fret, third string at the 
 8th fret, and second string at the 6th fret struck together forming a 
@@ -38,11 +21,6 @@ and second strings are all fretted at the 3rd fret, creating a grounded
 consonant sonority before the implied whammy dip pulls the pitch downward 
 from the upper register toward a darker tonal center.
 
-Chunk 3: G Mixolydian Bass Riff Narrative
-Metadata: artist=JeffBeck, track=LedBoots, section=mainRiff, type=narrative, 
-scale=GMixolydian, technique=pullOff, technique=percussiveMuting, 
-concept=unisonRiff, collaborators=bassist=Bailey, strings=3456
-
 The main riff operates in G Mixolydian mode, built almost entirely from 
 G and F notes with C and B appearing at the beginning of each measure. 
 The riff begins on the third string at the 5th fret, immediately pulling 
@@ -57,11 +35,6 @@ and bassist Bailey, with the phrase concluding with a dramatic leap to
 the first string at the 15th and 17th frets for a bright high-register 
 accent.
 
-Chunk 4: C Mixolydian Octave Figure Narrative
-Metadata: artist=JeffBeck, track=LedBoots, section=IVchord, type=narrative, 
-scale=CMixolydian, technique=octaves, technique=descendingFigure, 
-timeSignature=7/4, strings=456
-
 The one-measure riff over the IV chord in 7/4 time is derived from the 
 root, 3rd, 5th, 6th, and b7th of C Mixolydian mode and depends on funky 
 descending octaves for its forward motion. The phrase begins with the 
@@ -75,12 +48,6 @@ the fourth string from the 2nd fret up to the 5th fret and back through
 the 2nd to the 1st fret, while the third string briefly sounds at the 
 2nd fret adding harmonic color above the bass movement.
 
-Chunk 5: Solo Overview � Aggressive Style and Scale Choice
-Metadata: artist=JeffBeck, track=LedBoots, section=solo, type=theory, 
-scale=GbluesScale, concept=aggressiveSoloing, concept=dynamicContrast, 
-concept=chromaticTension, note=b5th=Db, technique=whammyBar, 
-technique=feedback, concept=upperRegisterTension
-
 Beck unleashes 26 measures of aggressive soloing that relies almost 
 exclusively on the G blues scale mainly above the octave. Despite being 
 an extremely out solo, Beck contrasts extreme dynamics of phrasing, tone, 
@@ -96,11 +63,6 @@ sympathetically and rises to Bb for a howling effect. The solo concludes
 combining feedback on low F jumping to A with a grating harmonic of B 
 before returning in unison with the bass to the main riff.
 
-Chunk 6: Solo Narrative � Lower Register to Upper Register Leap
-Metadata: artist=JeffBeck, track=LedBoots, section=solo, type=narrative, 
-technique=bend, technique=slide, technique=whammyBar, register=lower, 
-register=upperRegister, strings=1234, frets=15-20, concept=dramaticLeap
-
 The solo begins with repeated strikes on the fourth string at the 3rd fret 
 sliding up to the 5th fret. The third string enters at the 5th fret pulling 
 off to the 4th fret while the fourth string alternates between the 5th and 
@@ -113,11 +75,6 @@ note is bent upward a whole step and sustained before releasing to the 15th
 fret. The second string supports this with notes at the 15th and 18th frets 
 while the third string slides into position at the 15th fret.
 
-Chunk 7: Solo Narrative � High Register Intensity and Bends
-Metadata: artist=JeffBeck, track=LedBoots, section=solo, type=narrative, 
-technique=sustainedBend, technique=tremoloPicking, technique=cascadingFigure, 
-concept=upperRegisterTension, strings=12, frets=15-20, register=upperRegister
-
 The second string carries a rapid sequence centered around the 20th fret: 
 bent upward a whole step, rearticulated, bent again a half step, released, 
 and pulled off to the 18th fret before returning to the 20th fret and 
@@ -131,11 +88,6 @@ for emphasis. This sustained upper register tension without resolution is
 characteristic of Beck's most aggressive soloing � the pitch hovering at 
 its expressive limit while the phrase refuses to descend.
 
-Chunk 8: Solo Narrative � Mid Register Development and Legato
-Metadata: artist=JeffBeck, track=LedBoots, section=solo, type=narrative, 
-technique=legato, technique=hammerOn, technique=pullOff, technique=trill, 
-technique=bend, strings=123, frets=15-17, concept=intensityBuilding
-
 The line shifts downward to the first string at the 15th fret and second 
 string alternating between the 17th and 15th frets. Pull-offs connect these 
 notes fluidly while the third string briefly contributes at the 17th fret. 
@@ -151,10 +103,6 @@ support with notes at the 15th and 17th frets, creating a multi-layered
 texture of simultaneous upper register legato and lower register rhythmic 
 pulse.
 
-Chunk 9: Solo Narrative � Resolution and Return to Riff
-Metadata: artist=JeffBeck, track=LedBoots, section=solo, type=narrative, 
-technique=shimmeringTexture, technique=hammerOn, technique=pullOff, 
-concept=resolution, concept=returnToRiff, strings=123, frets=15-17
 
 The final section returns to a repeating high-register figure: the first 
 string remains at the 15th fret while the second string repeatedly executes 
@@ -168,12 +116,6 @@ sustained upper register intensity creates a sense of structural resolution,
 the aggressive solo energy channeled back into the grounded rhythmic 
 foundation from which it emerged.
 
-Chunk 10: Led Boots Upper Register Tension Summary
-Metadata: artist=JeffBeck, track=LedBoots, section=solo, type=summary, 
-concept=upperRegisterTension, technique=sustainedBend, technique=whammyBar, 
-technique=feedback, scale=GbluesScale, concept=aggressiveSoloing, 
-concept=dynamicContrast
-
 Jeff Beck creates upper register tension in the Led Boots solo primarily 
 through sustained bends on the second string at frets 18 through 20, 
 combined with whammy bar dives and feedback. The G blues scale is used 
diff --git a/Books/Music/Articles/Jeff Beck 3.txt b/Books/Music/Articles/Jeff Beck 3.txt
index 2578eb3..0399319 100644
--- a/Books/Music/Articles/Jeff Beck 3.txt	
+++ b/Books/Music/Articles/Jeff Beck 3.txt	
@@ -1,17 +1,5 @@
 ARTIST: Jeff Beck
-GENRE: Rock, Blues Rock, Proto-Metal
-CONCEPTS: slide guitar, bolero rhythm, non-diatonic harmony, 
-Mixolydian mode, minor pentatonic, sustain, vibrato, feedback, 
-triple stops, jazz harmony, heavy metal origins, whammy bar, 
-legato, pull-offs, bends
-SOURCE: Guitar transcription analysis
-TOPIC: Jeff Beck Bolero guitar analysis and narrative transcription
----
-
-Chunk 1: Song Overview and Historical Context
-Metadata: artist=JeffBeck, track=BecksBolero, album=Truth, year=1966, 
-type=overview, collaborators=JimmyPage/KeithMoon/JohnPaulJones, 
-instruments=LesPaulSunburst/FenderXII, concept=historicalSignificance
+--
 
 Beck's Bolero was recorded in 1966, released as a single in 1967 and 
 on the album Truth in 1968. Classical French composer Maurice Ravel's 
@@ -25,11 +13,6 @@ riding along on Truth which reached number 15 a year later. The session
 also featured Keith Moon on drums and John Paul Jones on bass � a 
 supergroup moment before the term existed.
 
-Chunk 2: Harmonic Framework and Non-Diatonic Progression
-Metadata: artist=JeffBeck, track=BecksBolero, type=theory, 
-concept=nonDiatonicHarmony, concept=modalProgression, 
-harmony=I/bIII/IV/bVII, key=A, concept=tension, concept=anticipation
-
 The ten-measure progression played by Page on rhythm guitar follows a 
 non-diatonic sequence that produces tremendous momentum and drama: I (A), 
 bIII (C/A), IV (Dadd9/A), I (A), bVII (G6/A), and back to I (A) and bVII. 
@@ -43,11 +26,6 @@ In measures seven through ten over the I and bVII changes, the G# (major
 and bVII chords give the progression a distinctly modal, cinematic quality 
 that transcends conventional rock harmony.
 
-Chunk 3: Rhythm Guitar Texture � Bolero Pattern
-Metadata: artist=JeffBeck, track=BecksBolero, section=rhythmGuitar, 
-type=narrative, technique=boleroStrum, technique=pedalTone, 
-concept=rhythmicPropulsion, guitarist=JimmyPage
-
 The rhythm guitar maintains a continuous bolero strum pattern throughout, 
 articulating an A major chord voicing anchored by open E strings as both 
 high drone and low bass pedal tone. The B string sounds at the 5th fret, 
@@ -62,11 +40,6 @@ functions as an unwavering foundation, almost hypnotic in its repetition,
 against which Beck's melodic freedom feels all the more expressive by 
 contrast.
 
-Chunk 4: Beck's Lead Entrance � Sustained Melody and Vibrato
-Metadata: artist=JeffBeck, track=BecksBolero, section=leadEntrance, 
-type=narrative, technique=sustainedVibrato, technique=bend, 
-concept=vocalPhrasing, strings=BG, frets=12-14, concept=memorableMelody
-
 Beck enters soaring over the bolero strumming like an electric violin, 
 creating one of the most memorable melodies in rock. The lead begins on 
 the B string at the 12th fret � a sustained B note held with wide, 
@@ -82,12 +55,6 @@ phrase that rises, stretches, and sighs back to resolution 
 tension and release compressed into a handful of notes that immediately 
 establishes Beck's signature vocal approach to the instrument.
 
-Chunk 5: Slide Guitar Entry � Bottleneck Technique and Harmonic Navigation
-Metadata: artist=JeffBeck, track=BecksBolero, section=slideGuitar, 
-type=narrative, technique=slideGuitar, technique=bottleneck, 
-technique=glissando, technique=tripleStop, concept=jazzHarmony, 
-concept=celestialMelody, equipment=LesPaul/VoxAC30/delay, frets=9-20
-
 Beck swoops in with his bottleneck like an eagle coming off an updraft, 
 playing slide in standard tuning � a demanding approach that requires 
 precise intonation and careful note selection. Operating above the octave 
@@ -112,11 +79,6 @@ sustaining at the 14th fret, then a further descent from the 14th fret
 down to the 12th on all three strings, ringing into each other to form 
 sustained dyads and triads that fade into resonance.
 
-Chunk 6: Slide Melodic Lines � Mixolydian Phrases and Forward Motion
-Metadata: artist=JeffBeck, track=BecksBolero, section=slideGuitar, 
-type=narrative, scale=AMixolydian, technique=slideGuitar, 
-concept=urgency, concept=forwardMotion, strings=highE, frets=12-20
-
 Never content to play the common or expected, Beck alters his strategy 
 in measures six through ten by incorporating short melodic lines from 
 the A Mixolydian mode that end on E � functioning as the 5th of A and 
@@ -134,12 +96,6 @@ phrases create a sense of modal openness 
 fully tense � that sustains forward motion through the harmonic vamp 
 and leads naturally into the sections that follow.
 
-Chunk 7: Bass-Line Lead � Minor Pentatonic with Passing Tones
-Metadata: artist=JeffBeck, track=BecksBolero, section=bassLead, 
-type=narrative, scale=minorPentatonic, technique=bend, technique=slide, 
-concept=heavyMetal, collaborator=bassist=JohnPaulJones, 
-concept=majorSeventhPassingTone, strings=EAD, frets=1-5
-
 Beck plays two-measure minor pentatonic bass lines virtually in unison 
 with bassist John Paul Jones, relative to the key of each chord change. 
 The riff begins on the low E string at the 3rd fret � a grounded G note 
@@ -158,11 +114,6 @@ measures, adding increased momentum, while the one-step bend from the
 riffs that emerge from this section have a legacy that Beck himself and 
 many others believe qualifies as the first heavy metal music.
 
-Chunk 8: Mid-Neck Blues Lead � Ascending Runs and Bends
-Metadata: artist=JeffBeck, track=BecksBolero, section=midNeckLead, 
-type=narrative, scale=bluesScale, technique=bend, technique=slide, 
-technique=sustainedBend, strings=DG, frets=6-10, concept=bluesVocabulary
-
 The mid-neck blues lead begins on the D string sliding from the 6th fret 
 to the 8th fret, the pitch gliding upward in a continuous vocal-like 
 motion before being picked repeatedly at the 8th fret with rhythmic 
@@ -179,12 +130,6 @@ used not as decoration but as the primary expressive vehicle, each bend
 a committed vocal gesture with a clear emotional arc of rise, sustain, 
 and controlled descent.
 
-Chunk 9: Power Chord Pedal Section and High Register Legato
-Metadata: artist=JeffBeck, track=BecksBolero, section=pedalSection, 
-type=narrative, technique=powerChord, technique=pullOff, 
-technique=legato, concept=droneTexture, concept=intensityBuilding, 
-strings=EAD/highEB, frets=7-18
-
 A repeated power chord drone � D string at the 9th fret, A string at 
 the 7th fret, open low E string � is struck in rapid succession creating 
 a tight rhythmic drone that feels almost mechanical in its consistency. 
@@ -200,12 +145,6 @@ percussive power chord drone beneath it. The two layers coexist as
 separate temporal zones: above, a fluid singing line; below, an 
 unwavering rhythmic engine.
 
-Chunk 10: High Register Sustained Tones � Feedback and Melodic Accents
-Metadata: artist=JeffBeck, track=BecksBolero, section=highRegister, 
-type=narrative, technique=feedback, technique=sustainedVibrato, 
-technique=whammy, concept=celestialMelody, string=Gstring, 
-frets=12-19, concept=upperRegisterTension
-
 Single sustained notes on the G string form a slowly evolving melodic 
 line in the upper register � the 18th fret held with vibrato, moving to 
 the 19th fret, returning to the 18th, descending to the 16th, then 
@@ -221,12 +160,6 @@ and feedback rather than being pushed forward by picking. The high G
 string position gives the sustained tones a slightly nasal, vocal 
 brightness that sits above the full band texture without competing with it.
 
-Chunk 11: High Bend Climax � Upper Register Intensity
-Metadata: artist=JeffBeck, track=BecksBolero, section=climax, 
-type=narrative, technique=sustainedBend, technique=whammy, 
-technique=pullOff, concept=upperRegisterTension, concept=aggressiveSoloing, 
-strings=highEB, frets=17-20, scale=AminorPentatonic
-
 The climactic section brings Beck's most aggressive upper register playing. 
 The B string at the 19th fret is bent upward a whole step, sustained at 
 its peak, and released � then the bend is immediately repeated, the pitch 
@@ -246,11 +179,6 @@ returning to the melodic line. The overall effect is one of sustained,
 hovering intensity in the extreme upper register � notes bent to their 
 expressive limit and held there, refusing easy resolution.
 
-Chunk 12: Closing Section � Chordal Alternation and Final Resolution
-Metadata: artist=JeffBeck, track=BecksBolero, section=closing, 
-type=narrative, technique=chordAlternation, technique=sustainedBend, 
-concept=resolution, harmony=A/G, concept=forwardMotion
-
 The closing section alternates between A major and G major chord voicings 
 in a continuing bolero rhythm � A major with open E strings, B string at 
 the 5th fret, G string at the 6th, D string at the 7th, and the G major 
@@ -266,13 +194,6 @@ accumulated energy of the entire performance channeled into a ringing,
 sustained resolution that ends on the tonic � the forward motion of the 
 bolero rhythm finally allowed to rest.
 
-Chunk 13: Beck's Bolero � Style and Technique Summary
-Metadata: artist=JeffBeck, track=BecksBolero, type=summary, 
-concept=slideGuitar, concept=vocalPhrasing, concept=jazzHarmony, 
-concept=heavyMetal, concept=feedback, concept=upperRegisterTension, 
-concept=sustainedVibrato, scale=AMixolydian/minorPentatonic, 
-technique=whammy, technique=bend, technique=bottleneck
-
 Beck's Bolero represents one of Jeff Beck's most multidimensional 
 performances, combining slide guitar played in standard tuning with 
 sustained lead melodies, jazz-influenced triadic harmony, minor pentatonic 
diff --git a/Books/Music/Articles/Satriani.txt b/Books/Music/Articles/Satriani.txt
index 7b8abbd..d8a7fc6 100644
--- a/Books/Music/Articles/Satriani.txt
+++ b/Books/Music/Articles/Satriani.txt
@@ -1,8 +1,4 @@
 ARTIST: Joe Satriani
-GENRE: Rock, Art Rock, Blues Rock
-CONCEPTS: Target notes, pentatonic scales, melodic phrasing, ballad soloing
-SOURCE: Next Level Guitar
-TOPIC: Satriani's licks melody, and phrasing
 
 Joe Satriani is one of the most influential modern rock guitarists. In "What The Hell?" my opinion he has revolutionized rock guitar much in similar ways and then they that Jimi Hendrix and Eddie Van Halen did.
 
diff --git a/Books/Music/Articles/Satriani2.txt b/Books/Music/Articles/Satriani2.txt
index 7280f89..84b30c0 100644
--- a/Books/Music/Articles/Satriani2.txt
+++ b/Books/Music/Articles/Satriani2.txt
@@ -1,9 +1,4 @@
-TYPE: pedagogical
 ARTIST: Joe Satriani
-GENRE: Rock, Art Rock, Blues Rock
-CONCEPTS: Target notes, pentatonic scales, melodic phrasing, ballad soloing
-SOURCE: Guitar World
-TOPIC: Joe Satriani on scales
 
 I was left to my own devices to practice. The idea behind learning scales I think was really revolutionized by my high-school music theory teacher who pointed out to me a couple of different things.
 
diff --git a/Books/Music/Articles/Satriani3.txt b/Books/Music/Articles/Satriani3.txt
index 3cc04e3..7d84d96 100644
--- a/Books/Music/Articles/Satriani3.txt
+++ b/Books/Music/Articles/Satriani3.txt
@@ -1,10 +1,6 @@
 ARTIST: Joe Satriani
-GENRE: Rock, Art Rock, Blues Rock
-CONCEPTS: Pitch Axis
-SOURCE: Music Theory For Guitar
-TOPIC: Joe Satriani's Pitch Axis
 
-The Emotions Behind Joe Satriani's Pitch Axis
+The Emotions Behind Joe Satriani's Pitch Axis.
 
 guitar pitch axis
 
@@ -28,8 +24,51 @@ Here are the chords for the major scale modes with root A:
 
     A Locrian: Adim Bb Cm Dm Eb F Gm
 
-Yes, those are just the modes of the major scale. To be complete, we should consider also the modes of melodic and harmonic minor scales, but we will start with the basics, ok? You can add the other modes later once you master those.
+Yes, those are just the modes of the major scale. To be complete, we should consider also the modes of melodic
+and harmonic minor scales, but we will start with the basics, ok? You can add the other modes later once you master those.
 
-The problem is: now that you have all these modes and A LOT of chords to choose from, how do you use them to express emotion? How do you create shades of happiness and sadness, of brightness and darkness by using the modes?
 
-Well, here's how:
\ No newline at end of file
+Pitch Axis theory and the Modal Method I: The simple concept
+
+For those of you unaware of the details of pitch axis theory, the idea is basically to connect scales or their modes via an unchanging, or changing as little as possible, bass note. Used by classical composers such as Wagner and Stravinsky as well as modern guitarists like Joe Satriani and Steve Vai, it is a useful tool. But is it just another name for a technique that has been used before?
+
+The first track on his first album, Not of this Earth, demonstrates Satriani’s use of pitch axis theory perfectly, a pedal note of E, and four bars with a change of mode on each:
+
+E Lydian – E Aeolian – E Lydian – E Mixolydian
+
+Now, another way of putting it is that Satch is playing in the following keys but staying on the same bass note:
+
+B Major – G Major – B Major – A Major.
+
+Now we can see the interesting idea behind the sound of the modes, a large leap from B Major (5 sharps) to G Major (1 sharp), back again and then back twice in the circle of fifths to A Major (3 sharps).
+
+It is quite an art form, choosing modes that suit the following or preceding of another, but we can see now the pattern:
+
+Lydian – Aeolian – Lydian – Mixolydian
+
+Now, none of this is new, there are plenty of instances where J. S. Bach uses multiple modes over the same bass note, notably over a bass that is acting as a dominant pedal.
+
+Here is an example:
+
+Mixolydian – Phrygian Major – Harmonic Major – Dominant #2 – Double Harmonic
+
+The example above is played over a constant bass pedal, say A. That gives us the scales:
+
+D Major – D Harmonic minor – A Harmonic Major – D Harmonic Major – D Hungarian minor
+
+This sequence is typical of Bach as he has created a symmetrical sequence, with scales on D, D, A, D, D.
+
+The Modal Method can help to take this concept one stage further. Say over a constant A bass I play the scales from the sequence:
+
+G Major – A Melodic – E harmonic minor – B Neapolitan Major – A Neapolitan Major – E Locrian natural 7 (which is one of my favourite sequences). We get the modes in pitch axis theory of:
+
+A Dorian – A Melodic – A Dorian #4 – A# Altbb3 – A Neapolitan Major – A Phrygian #4
+
+I have simply used the sequence of scales that I have worked out using the tables in section I and played them over a static bass note. It’s that simple. NB: Although the A# in the Altbb3 mode clashes against the A bass note, it is consonant enough if resolved quickly and adds a good tension to the sequence.
+
+I intend to add pitch axis examples as and when they come up and make a comprehensive list, so please add your ideas below in the comments. Here is a Steve Vai one, The Riddle:
+
+E Lydian – E Lydian + - E Mixolydian – E Lydian
+
+The scales are: B Major – B Melodic – A Major – B Major
+
diff --git a/Books/Music/Articles/Satriani4.txt b/Books/Music/Articles/Satriani4.txt
index f945f59..a7b11a3 100644
--- a/Books/Music/Articles/Satriani4.txt
+++ b/Books/Music/Articles/Satriani4.txt
@@ -1,8 +1,4 @@
 ARTIST: Joe Satriani
-GENRE: Rock, Art Rock, Blues Rock
-CONCEPTS: Pitch Axis
-SOURCE: Wikipiedia
-TOPIC: Joe Satriani's Pitch Axis
 
 Pitch axis theory refers to a way of thinking about chord progressions and modes, that was heavily used and popularized (though not invented) by the guitarist Joe Satriani.[1]
 
@@ -14,7 +10,7 @@ Simple Example
 
 As a simple example,[5] consider the following chord progression, which is non-diatonic (the chords are taken from multiple different keys), but all have root A.
 
-| Amaj7(?11)  | A7     | F/A | A7     |
+| Amaj7(#11)  | A7     | F/A | A7     |
 
 In order to create a melody or improvise over this progression, we could use the following sequence of modes - which are different scales, but again, all have A as their root.
 
@@ -25,8 +21,8 @@ Joe Satriani: "Not of This Earth"
 
 Satriani chooses E Lydian, E Aeolian, E Lydian, and E Mixolydian as the modes to use for each chord.
 
-The First chord, E?13, contains the 1st, 3rd, 6th, and 7th degrees of the E major scale. A common choice here might have been the Ionian mode (major scale), but Satriani prefers the Lydian scale with its ?4 - which is a perfectly acceptable choice as the chord itself does not specify ?4 or ?4.
-The Second chord is a Em7b6 with no 5th, making the E Aeolian mode (E-F?-G-A-B-C-D-E) a possible choice. However in the Context of coming/modulating from E Lydian, another option would be keeping the #4/b5 Bb note, implying a much more fitting "Aeolian b5" or "Locrian nat2" scale (aka Bayati Shuri/Kartzigar) which is the 6th mode of the Melodic Minor Scale.
+The First chord, EMaj7(13), contains the 1st, 3rd, 6th, and 7th degrees of the E major scale. A common choice here might have been the Ionian mode (major scale), but Satriani prefers the Lydian scale with its #4 - which is a perfectly acceptable choice as the chord itself does not specify natural 4 or #4.
+The Second chord is a Em7b6 with no 5th, making the E Aeolian mode (E-F#-G-A-B-C-D-E) a possible choice. However in the Context of coming/modulating from E Lydian, another option would be keeping the #4/b5 Bb note, implying a much more fitting "Aeolian b5" or "Locrian nat2" scale (aka Bayati Shuri/Kartzigar) which is the 6th mode of the Melodic Minor Scale.
 The Third chord is a EMaj7add6 with no 5th, where similarly, and given the Context, E Lydian mode could be used.
 The Fourth chord is a E7sus4 without a 3rd and 5th, where E Mixolydian mode could be used. Or again, Lydian Dominant if one wanted to preserve the #4/b5 note.
 Ultimately a number of different scales/modes could be used in the entirety of the progression,
@@ -36,7 +32,7 @@ The chord progression from "Lie" by Dream Theater.
 
 The transition to the guitar solo in Dream Theater's "Lie" is built on Pitch Axis Theory.[citation needed] The bass and guitar play the root (B) while the keyboardist implies the chords in the progression: B5, Bm7, Bm6, G/B, A/B.
 
-Ignoring the root, the scales used for each of these four chords would be B Aeolian (natural minor), B Dorian, C? Mixolydian, and E Aeolian, respectively. However, from the perspective of pitch axis theory, we consider all scales to have the B root - so we would say that the progression is B Aeolian, B Dorian, B Lydian, and B Phrygian.
+Ignoring the root, the scales used for each of these four chords would be B Aeolian (natural minor), B Dorian, C# Mixolydian, and E Aeolian, respectively. However, from the perspective of pitch axis theory, we consider all scales to have the B root - so we would say that the progression is B Aeolian, B Dorian, B Lydian, and B Phrygian.
 Joe Satriani: "Satch Boogie"
 
 A more complex example is the bridge of "Satch Boogie", which still remains entirely in the "pitch axis" of A.[6]
diff --git a/Books/Music/Articles/Satriani5.txt b/Books/Music/Articles/Satriani5.txt
index 8b49c5a..aac4213 100644
--- a/Books/Music/Articles/Satriani5.txt
+++ b/Books/Music/Articles/Satriani5.txt
@@ -1,8 +1,4 @@
 ARTIST: Joe Satriani
-GENRE: Rock, Art Rock, Blues Rock
-CONCEPTS: Pitch Axis
-SOURCE: Goodreads
-TOPIC: Joe Satriani's Pitch Axis
 
 pitch axis theory, which I learned in high school from my music teacher Bill Westcott. It is a compositional technique that was actually developed at the turn of the last century, so this is something that had been around for a long time. I remember Bill saying, "I'm going to teach you this very cool compositional technique," and he sat me down at the piano, and he went, "Watch this: I'll hold this C bass note, and then I play these chords, and each chord will put me in a different key, but it will sound like C 'something' to you . . ." I was fascinated by it, because I thought, "That is the sound I'm hearing in my head." To me it sounded very "rock," because rock songs don't travel around in too many keys, and it was the antithesis of the modern pop music that had been around for fifty years. It was the total opposite of most commercial jazz, but not all jazz, as I learned when I started really listening closely to modern jazz. I realized, "Wow, John Coltrane is using pitch axis theory. Not only is he doing that, but he�s going beyond it with his 'sheets of sound' approach," where in addition to building modes in different keys off of one bass note, he was building modes off of notes outside the key structure as well. He had taken it a step further. But that�s not what I was looking for, except for in a song like "The Enigmatic," which has that sort of complete atonal-meetspsycho melodic approach. I was more interested in using the pitch axis where you really could identify with one key bass note, in a rock and R&B sort of fashion. Then all the chords that you put on top would basically put you in different keys. So on Not of This Earth, you have these pounding E eighth notes on the bass, and your audience says, "Okay, we're in the key of E." But the chords on top are saying, "E Lydian, E Minor, E Lydian, E Mixolydian in cyclical form." And I thought, "Well, this gives me great melodic opportunities, I'm not stuck with just the seven notes of one key. I've got seven notes for every different key that I apply on top of this bass note." And I just love that sound, so I applied it to quite a lot of my music.
 
diff --git a/Books/Music/Articles/Satriani6.txt b/Books/Music/Articles/Satriani6.txt
index 0ea8080..d5bc93c 100644
--- a/Books/Music/Articles/Satriani6.txt
+++ b/Books/Music/Articles/Satriani6.txt
@@ -1,14 +1,4 @@
 ARTIST: Joe Satriani
-GENRE: Rock, Blues Rock
-CONCEPTS: pitch axis theory, pedal tone, modal interchange, 
-modes, Lydian, Aeolian, Mixolydian, Dorian, static bass note
-SOURCE: Goodreads
-TOPIC: Pitch Axis Theory — Modal Sequences Over a Static Bass Note
----
-
-Chunk 1: Pitch Axis Theory Overview
-Metadata: artist=JoeSatriani, concept=pitchAxisTheory, 
-concept=pedalTone, concept=modalInterchange, type=theory
 
 Pitch axis theory connects scales or modes via an unchanging bass note. 
 Used by classical composers including Wagner and Stravinsky as well as 
@@ -18,11 +8,6 @@ effect is created by keeping the bass note constant while the mode
 above it changes, producing the sensation of moving through distant 
 keys while remaining anchored to a single pitch center.
 
-Chunk 2: Satriani Pitch Axis Example — Not of This Earth
-Metadata: artist=JoeSatriani, track=NotOfThisEarth, 
-concept=pitchAxisTheory, concept=pedalTone, 
-modes=Lydian/Aeolian/Mixolydian, pedalNote=E, type=example
-
 The first track on Satriani's first album Not of This Earth demonstrates 
 pitch axis theory with a pedal note of E and four bars with a mode change 
 on each bar: E Lydian — E Aeolian — E Lydian — E Mixolydian. Expressed 
@@ -31,19 +16,10 @@ leap from B Major with five sharps to G Major with one sharp and back,
 then two steps around the circle of fifths to A Major with three sharps. 
 The modal sequence is Lydian — Aeolian — Lydian — Mixolydian.
 
-Chunk 3: Steve Vai Pitch Axis Example — The Riddle
-Metadata: artist=SteveVai, track=TheRiddle, concept=pitchAxisTheory, 
-concept=pedalTone, modes=Lydian/Mixolydian, pedalNote=E, type=example
-
 Steve Vai uses pitch axis theory in The Riddle with the modal sequence 
 E Lydian — E Lydian augmented — E Mixolydian — E Lydian. The parent 
 keys are B Major — B Melodic Minor — A Major — B Major.
 
-Chunk 4: Pitch Axis Modal Sequences Summary
-Metadata: concept=pitchAxisTheory, concept=pedalTone, 
-concept=modalInterchange, type=summary, 
-artists=JoeSatriani/SteveVai/Bach
-
 Pitch axis theory in practice produces the following documented sequences 
 over a static bass note. Satriani on Not of This Earth over E: 
 Lydian — Aeolian — Lydian — Mixolydian. Vai on The Riddle over E: 
diff --git a/Books/Music/Articles/Tonal Ambiguity In Axis Progressions.txt b/Books/Music/Articles/Tonal Ambiguity In Axis Progressions.txt
new file mode 100644
index 0000000..7b33d00
--- /dev/null
+++ b/Books/Music/Articles/Tonal Ambiguity In Axis Progressions.txt	
@@ -0,0 +1,287 @@
+Tonal Ambiguity in Popular Musics Axis Progressions
+Mark Richards
+
+
+KEYWORDS Harmony progression viIVIV iVIIIIVII aFCG tonality modality majorminor ambiguity rock music postclassic post1990
+
+ABSTRACT The harmonic progression of aFCG AmFCG and its transpositions constitute one rotation of what I call Axis progressions namely progressions that begin with one of these four chords and cycle through the others in order hence the Axisa F C and G respectively Of these four progressions the aform and Cform and to a lesser extent the Fform have become staples of mainstream popular songs from the last decades of the twentieth century and the first decades of the twentyfirst The aform is especially noteworthy for being both extremely widespread and tonally ambiguous in that the perception of its tonality may waver between the major and Aeolian modes Not only does the progression conflate aspects of the two modes but it may also vary the degree to which those modes are expressed and their proportion within the progression resulting in a vast array of possible tonal settings This article posits that tonality in these settings depends primarily on the melodic content of the progression A methodology for melodic analysis is then presented and applied to a number of examples of Axisa as well as some AxisF progressions to demonstrate how diverse its settings can be
+PDF text  PDF examples
+Received February 2017
+Volume 23 Number 3 September 2017
+Copyright  2017 Society for Music Theory
+
+1 Tonality in popular music and the ways in which it is manifested in ambiguous settings are topics that have only begun to receive regular scholarly attention by such writers as Doll 2017 Spicer 2017 Peres 2016 and Tagg 2014 The progression aFCG AmFCG and its transpositions constitute one rotation of a set of closely related progressions that for reasons outlined further below I call Axis progressions namely progressions that begin with one of these four chords and cycle through the others in order hence the Axisa F C and G respectively Of these four progressions the aform and Cform and to a lesser extent the Fform have become staples of mainstream popular songs from the last decades of the twentieth century and the first decades of the twentyfirst The aform is especially noteworthy for being both extremely widespread and tonally ambiguous in that the perception of its tonality may waver between the major and Aeolian modes Not only does the progression conflate aspects of the two modes but it may also vary the degree to which those modes are expressed along with their proportion within the progression resulting in a vast array of possible tonal settings Thus although aforms always employ the same relative chords they are often tonally individualized adding an attractive unpredictability within the routine of the root motions This article posits that these various settings depend primarily on the melodic content of the progression A methodology for melodic analysis is then presented and applied to a number of examples of Axisa as well as some AxisF progressions to demonstrate how diverse its settings can be
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+2 But first I address the issue of a label for the progression and its components Because tonal ambiguity is inherent in the progression Roman numerals which remain fixed to a tonal center are unsuitable labels for its chords Instead of forcing the progression into an uncomfortable Romannumeral mold of viIVIV assuming the major mode throughout or iVIIIIVII assuming the Aeolian mode throughout I employ Scott Murphys generalized labels of a F C and G in referring to the progressions four chords 2014 144n21 These labels appropriately remove the burden of identifying a single tonal center for the progression and include all transpositions in the manner of a set class Furthermore the use of letter names more accurately reflects the tonal nature of the progression which as discussed in more detail below encompasses aspects of both the major and Aeolian modes In part this duality exists because the Aeolian mode in popular music is much more prevalent than the harmonic minor with a raised leading tone that characterizes the minor mode in most commonpractice art music2 Hence in the progression hearing a G major chord rise to an A minor chord could sound not only like Vvi in major but also quite idiomatically VIIi in Aeolian Thus it is not that viIVIV and iVIIIIVII are transpositionally equivalent but rather that these labels refer to a single progression that entails aspects of both major and Aeolian modes and therefore cannot be accurately described with Roman numerals which depend upon one and only one tonic This progression therefore differs from many other schemata in popular music especially in classic rock for example the doowop blues or even the doubleplagal progressions are all tied to hearing the tonic chord in a fixed relationship to the other chords and hence can be accurately labeled with Roman numerals3 The approach taken to hearing tonality in the Axisa is one that exists on the level of the musical foreground While more middleground views of tonal centers may differ from the foreground views advocated here such considerations are external to the tonal ebb and flow that characterizes the progressions foreground4
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+3 Although lettername labels may also be used to refer to the entire progression in the form aFCG as does Murphy 2014 I prefer a label that describes the whole rather than the components A few names have already been proposed Doll 2017 86 defines a schema by its root motions according to a single tonic that retains its identity upon being rotated He therefore proposes two labels for the Axisa depending on the particulars of the given passage If the progression is heard in a major key he offers the term journey which describes a progression of viIVIV and is named after the eponymous band whose 1980 single Any Way You Want It was perhaps the first hit song to loop the progression throughout If the progression is instead heard in the Aeolian mode he calls it the zombie which describes the progression iVIIIIVII and is named after the prominent 1994 song by The Cranberries which features the progression for nearly its entire length Yet as Doll admits
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+    since the journey and zombie schemas are so similar in certain ways any given progression in a song might be heard as projecting both schemas simultaneously The fundamental issue here is that some degree of tonic quality is usually projected by both the journeys I and VI and the zombies I and III the Em and GM chords in EmCMGMDM If one of the sonorities is clearly more a tonic then the progression can be understood as a realization of one schema versus the other but attempting to hear an invocation of the journey as opposed to the zombie or vice versa can be a difficult or futile task 2017 120
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+Other proposed terms for the progression include gravitas loop Robison 2013 and Boston Globe columnist Marc Hirshs notoriously controversial Sensitive Female Chord Progression 2008
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+4 In contrast to these labels I prefer a term that recognizes the similarity between the progression and its rotations yet also provides different names for each rotation I propose the term Axis progressions and its accompanying rotations of Axisa F C and G for two reasons Most obviously the name refers to the comedy band Axis of Awesome and their 2008 medley Four Chords in which they string together excerpts from several dozen songs over a continuous ostinato of the progression5 But since the word axis refers to a line about which elements rotate the term has the additional advantage of suggesting the wavering of the tonality about the line of the progression in both the a and Fforms which are the focus of the present study6
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+5 The remainder of this essay falls into five parts In part I Axis progressions are discussed generally in terms of their frequency and usage over time Part II then constructs a methodology for hearing tonality in the Axisa Part III presents several excerpts in which tonality wavers within forms of the Axisa examining cases of clear tonality and unclear tonality Part IV then applies the methodology to similarly ambiguous examples of the Fform and part V concludes the essay with a detailed analysis of Sarah McLachlans Building a Mystery 1997 in which melodic variation in the verses produces an unusual wealth of tonal settings of the Axisa
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+I The Four Forms of Axis Progressions
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+Example 1 The Four Forms of Axis Progressions
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+Example 1 thumbnail
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+6 Axis progressions are related by their cycling through the same harmonies in the same order usually in a loop though each begins on a different chord Example 1 shows the four forms schematically in the whitenote diatonic collection While most instances of these progressions feature unadorned triads some include extensions such as sevenths ninths etc added sixths or even sus4 or sus2 chords Moreover the only chordal substitution that does not disturb the identity of each progression occurs when the abstract Gmajor chord is substituted with an Emajor or minor chord with possible extensions which occurs only occasionally or with a diminished chord on G which is extremely rare
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+7 While several websites provide lists of songs in which these progressions may be found none give their general proportion within a consistent body of music and hence the importance of these progressions is difficult to gauge In order to gain a sense of the proportion of Axis progressions in mainstream popular music I conducted my own study noting each occurrence of such a progression in the Billboard YearEnd Hot 100 Singles charts from 1990 to 2016 a corpus totalling 2715 songs7 A progression was deemed an Axis if its four chords could be understood as being selfsufficient on a foreground level In other words divisions of some kind usually a hypermetric group of four bars could be heard as separating both the beginning and end of the progression from surrounding progressions Thus while the harmonies of an aform appear across the first four chords of a progression like GmEBFGm which is found in the verses of Aviciis Hey Brother 2013 I did not consider them an Axis because the last chord which is extraneous to the aform cannot be detached from the others Another important point is that a song that uses an Axis sometimes appears in charts from successive years In these cases I counted both instances to obtain an approximate frequency of Axis progressions in mainstream popular music as opposed to the frequency of unique songs that use such progressions
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+Example 2a Overall Frequencies of Songs with the Cform aform Fform or Gform of Axis Progressions in the Billboard YearEnd Hot 100 Corpus 19902016
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+Example 2a thumbnail
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+Example 2b Annual Frequencies of Songs with the Cform aform and Fform of Axis Progressions in the Billboard YearEnd Hot 100 Corpus 19902016
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+Example 2b thumbnail
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+8 Appendix 1 lists every aform in the corpus Appendix 2 does the same with the Fform Appendix 3 with the Cform and Appendix 4 with the Gform Example 2a summarizes these results with percentage frequencies of each progression in the corpus and Example 2b shows a line graph of the annual proportions of songs that use the first three of these forms the Gform is omitted since it is nearly nonexistent in the corpus8 Several trends are evident in this graph First the trajectories of each form are remarkably similar exhibiting relatively low frequencies in the early 1990s generally increasing thereafter until reaching a peak in the fiveyear period between 2008 and 2012 then generally decreasing to the end of the graph in 2016 Second the Cform is usually the most frequent Axis progression but between 2009 and 2014 around the peak period for each form it is almost always eclipsed by the aform Third although the Fform was barely present before the year 2000 afterward it increases to the point where it briefly overtakes Cforms in 2012 before declining again like the other forms Finally as already mentioned Gforms are unlike the others in that they are extremely rare in the corpus appearing in only 10 of the 2715 songs In short the C and aforms are the most prevalent and the Fform becomes increasingly widespread but generally remains less frequent than the two dominant forms9
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+II Tonality in the aForm
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+9 The aform of the Axis progression possesses an inherent tonal ambiguity between the major and Aeolian modes a situation that has to do with both the progressions initial chord and our perception of the major mode As Ken Stephenson writes
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+    in rock if one chord can be said to be more stable than the others it is usually the first in many pieces the same chord is used as the first chord of each hypermetrical unit in the first section if not in the entire song    The listener accustomed to this practice learns to interpret the first chord of the piece as the tonic harmony unless or until further evidence suggests another interpretation or a change of pitch center 2002 3435 emphasis in original10 
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+Although Stephenson is primarily addressing the classicrock canon of the late 1960s to the late 1980s the observation still very much applies to popular music from the late 1980s to the present Murphy likewise asserts that
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+    compared with the third chord in a fourchord progression of regular harmonic rhythm the first chord receives even more attention owing to both primacy and its privileged position in a quadruple metre or hypermetre 2014 154
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+Under this principle then which may be called the firstchord rule the initial minor chord of the aform has the strong potential to be a tonic Moreover in the years after 2000 modes with a minor tonic especially the Aeolian mode become much more prevalent in mainstream popular music to the extent that they even rival the longheld dominance of the major mode11
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+10 On the other hand the third chord of the aform the generalized Cmajor chord is likewise a strong contender for tonic status for two main reasons First as Temperley and de Clercq have recently shown tonicfinding in rock music can be accurately gauged through the analysis of five harmonic and melodic features the frequency duration and hypermetric positioning of accompanimental chords as represented only by their root and the frequency and duration of melodic tones 2013 19497 In the aform and especially in sections composed largely or entirely of loops of the progression as is usually the case the frequency of each of the four chords is the same Moreover since the chords of the progression are almost always of equal duration in a heard duple or quadruple meter the third chord occupies a hypermetrically strong position in the progression giving it more emphasis than the immediately surrounding chords as Murphy mentions above Second with respect to music perception and cognition Halpern Martin and Reed Halpern Martin and Reed 2008 189 have observed that upon listening to a melody that could be in either a major or minor mode musicians considered all the tunes major until they turned minor through the sounding of the minor modes third or sixth scale degree Thus until the subjects were provided with sufficient melodic information major was the default mode Moreover as these authors further point out
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+    Huron 2006 reported that when asked to imagine a chord 94 of musician respondents imagined a major chord So it seems that the musical environment may promote an anticipation that a melody or chord will be major which may in turn derive from exposure This result is also consistent with that of Khalfa et al 2005 who found evidence of neural activity in their fMRI study only for minor and not major tunes The brain seems to respond as if a minor melody is an oddball not in the experimental session but from life experience 2008 18990
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+While the situation with the aform is somewhat different in that it incorporates aspects of major and Aeolian modes within a single diatonic collection the notion that trained listeners seem to assume a major mode until it is contradicted is highly pertinent here and I maintain that the same cognitive device is also at work in tonally ambiguous harmonic progressions as demonstrated by the many examples below This aural default to major is a phenomenon I will hereafter refer to as the majormode bias
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+Example 3 Dolls Types of Information for Determining Tonal Center and Function
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+Example 3 thumbnail
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+11 From a purely harmonic perspective then the first and third chords of the Axisa make approximately equal claims for a tonal center in the progression12 In a real musical context however my claim is that tonality in the aform rests primarily on melodically emphasizing members of a potential tonic triad There are several means of emphasizing these notes in popular music Example 3 reproduces Dolls list of thirteen types of information that contribute to hearing a tonal center and harmonic function in popular music providing brief definitions in cases where the term may not be selfevident 2017 22213 In focusing specifically on the question of tonality however I adopt these information types while offering some modifications to the methodology
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+12 Information types 1 6 and 10 schema scale and penultima are omitted from my model since they do not disambiguate tonality in the Axisa The progressions status as a schema does not distinguish between major and Aeolian interpretations as both are equally viable from a harmonic perspective Moreover determining the scale does not indicate a tonal center since major and Aeolian modes are both idiomatic scales in the repertoire Furthermore penultima which refers to the position immediately before an anchor especially a tonic Doll 2017 231 relates to the disambiguation of harmonic function rather than the disambiguation of a tonal center
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+13 I interpret four of the remaining information types as including phenomena that are not explicitly placed within their bounds First while arpeggiation type 9 includes intervals between chord tones filled in with passing tones I extend the notion to include single tones of a potential tonic chord that are embellished with neighbor tones But because there is no arpeggiation to speak of in such cases I prefer to describe neighboring dissonance and arpeggiations collectively as dissonance resolution Second I expand the concept of pedal type 8 to include instances of the melodicharmonic divorce In such divorces potential tonicchord tones in the vocal line are dissonant with the accompaniment but usually suggest a tonal center either because they are the tonic note or because they arpeggiate the tonic chord14 In a sense then these melodic chord tones behave like a pedal point but may extend to more than one note of the harmony being sustained or prolonged by the melody The melodys clash with the accompaniment gives the note or chord more prominence than it would otherwise receive and hence is a form of emphasis Third while Dolls texture type 5 involves melodic high or low points I would broaden the category to include changes in textural density timbre or melodic style such that the melody becomes highlighted through contrast15 Moreover since tonicchord tones are often embellished with dissonance emphasis through melodic high and low points is not simply the highest and lowest notes in a given passage but those that are consonant with a surfacelevel chord in either the melody or the accompaniment and therefore have structural significance Finally I extend parallel type 12 to include precedents not only of harmonic progressions but of tonalities as well That is tonality heard in other sections of a song or in other songs influences how we hear tonality in a given passage The majormode bias also operates in this way But because these kinds of connections are not parallel in the manner of a chord progression or series of harmonic functions I prefer the broader term contextual to describe such influences
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+Example 4 Means of Emphasizing Potential TonicTriad Notes in Axis Progressions
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+Example 4 thumbnail
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+14 As shown in Example 4 I organize the above information types and refinements into five larger categories of emphasis harmonic temporal rhetorical contextual and poetic Harmonic emphasis describes situations in which tonictriad notes attain a higher hierarchical status than the surrounding melodic notes due to any of several devices arpeggiation dissonance resolution through contrapuntal figures pedal point or melodicharmonic divorce Temporal emphasis involves the chronological placement of notes at beginnings or endings of vocal phrases sections or even entire songs and on stresses in the meter hypermeter and syllables of the lyrics Rhetorical emphasis includes those parameters that Leonard Meyer calls secondary or statistical parameters since in Meyers words they are statistical in the sense that the relationships to which they give rise are typically ones of degree that can be measured and counted 1989 209 These encompass such devices as note repetition relatively long durations melodic high and low points changes in texture timbre or melodic style and stresses due to loudness Contextual emphasis accounts for the tonal influence of external passages on that being heard in other words other sections of the same song parallels between sections or between different songs and expectations or biases derived from the norms of popular music or particular subgenres Finally poetic emphasis involves meanings interpreted from lyrics or other vocal utterances While these means of emphasis tip the scale in favor of one mode tonality in the Axisa often shifts subtly from one mode to the other even within the same progression Hence it seems that hearing a tonal center in this progression is not an allornothing perception of one of the two possible modes but rather a combination of the two centers that occurs in varying proportions16
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+Example 5 Red Hot Chili Peppers Dont Forget Me Verses 1 and 2
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+Example 5 thumbnail
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+15 Some aforms assume an Aeolian leaning throughout and retain that leaning into successive looped statements of the progression In the first two verses of the Red Hot Chili Peppers Dont Forget Me 2002 shown in Example 517 the aform is stated four times in succession Throughout these statements the vocal line sounds melodic figures drawn mainly from a pentatonic scale most of which temporally emphasize A as a goal tone From this perspective harmonic emphasis on the Aminor triad throughout the passage becomes clear each G is subordinate to the more prominent A as a neighbor tone and each C is an arpeggiation of an Aminor chord the E in the final statement completing the triad This harmonic emphasis is an especially strong signal of tonality when the melodic wavering between C and A reaches the C5 and G5 power chords where they create a melodicharmonic divorce18 A and C are further emphasized rhetorically through their numerous repetitions as are A and E by being the highest and lowest notes in the vocal line that are consonant with one of the two possible tonic triads Thus temporal and rhetorical emphases support hearing a harmonic emphasis on the Aminor triad which in turn strongly expresses the AAeolian mode throughout the passage
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+Example 6 Beyonc If I Were a Boy Verse 1
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+Example 6 thumbnail
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+16 The opening verse of Beyoncs If I Were a Boy 2008 is supported by four statements of an aform as shown in Example 6 Like Dont Forget Me the vocal line is largely pentatonic but the melodic structure is quite different Here the line exhibits harmonic emphasis with an arpeggiation of a complete Gmajor triad the A being subordinate to the surrounding G and B as a passing tone and the D in m 1 being divorced from the accompaniments E minor triad acting instead as the fifth of a melodically constructed G major triad This harmony is reinforced through temporal emphasis notes of the triad begin and end each vocal phrase in the verse and fall largely on relatively strong beats Rhetorical emphasis plays an important role as well with the longer durations all stressing G B or D We are therefore left with a strong impression of G major as a governing mode throughout this verse
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+17 Both of the above analyses demonstrate the importance of melodically emphasized tonictriad notes in hearing a tonal center in the Axisa Even so two situations require clarification since they at first appear to possess ambiguity First if we regard the mode of the aform abstractly as a transposable whitenote collection then C and E are common to both tonic triads and hence when the only tonictriad notes present are one or both of these the tonality may seem to be ambiguous Second when the whitenote collections A and G are grouped together A may be heard in some cases as the Aeolian tonic with G acting as a neighbor tone and in others A may be heard as a neighbor to the G which would be the fifth of the majormode tonic chord I refer to this duality as the AG problem The question therefore arises as to how tonality is projected in the aform when the formulations above occur in the melody The next four examples propose answers to this question
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+Example 7 A Great Big World Say Something Verse 1
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+Example 7 thumbnail
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+18 When the only tonictriad notes present are C andor E the majormode bias becomes a type of contextual emphasis that draws our interpretation toward that mode The intro and verse of Say Something 2013 by A Great Big World and featuring Christina Aguilera given in Example 7 begins with a lone pulsating D that continues to be reiterated when the accompanying aform enters In the absence of other melodic scale degrees and with the progressions two options for a tonal center being either B Aeolian or D major the melodic D is heard as the tonic of D major through the majormode bias This is true even though the note is consonant with the progressions opening Bminor triad and made especially apparent when the note continues to sound over the aforms final chord an Amajor triad whose C clashes harshly with the D a semitone above it The role of this D as a pedal point a form of melodicharmonic divorce further emphasizes its importance as a harmonically stable tone one that projects D major in the progression Once the vocal line enters in Say Something with the second statement of the aform tonictriad notes of either B Aeolian or D major are confined to F and D Once more without a structural Aeolian tonic note or majormode dominant note to contextualize the F and D the majormode bias strongly encourages a Dmajor hearing for the vocal phrase an interpretation that is further supported by the temporal emphasis of the phrases ending on D
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+Example 8 The Offspring Self Esteem Verse 1
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+Example 8 thumbnail
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+19 The majormode bias also plays a central role in defining tonality when the only tonictriad note present in the melody of an aform is the whitenote collections E which could be the third of the major tonic triad or the fifth of the Aeolian The verse of the Offsprings Self Esteem 1994 shown in Example 8 is a paradigmatic instance Here the E of the vocal line is the only note of a potential tonic triad of either A Aeolian or C major the F and D acting as upper and lower neighbors respectively Unlike Dont Forget Me the E in this case is not paired with a structural A which would suggest an arpeggiation of the Aeolian tonic triad Instead without any other structural melodic notes the E falls into a default hearing as part of a Cmajor triad through the majormode bias
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+20 As noted above in the AG problem the Aeolian tonic note with its lower neighbor and the majormode dominant note with its upper neighbor contain the same pitch classes in Aeolian and major modes based on the same diatonic collection These two possibilities are distinguished however by subtle differences in melodic construction Compare the verses of two very similar songs by Sia both released in 2016 Cheap Thrills and Never Give Up Both use the threesharp diatonic collection are in a duple meter at a tempo of approximately MM 90 to the primary beat here transcribed as the half note are harmonically structured by a looping aform for nearly the entire song FmDAE use the tresillo rhythmic pattern 332 in the harmonic accompaniment and much of the vocal line in both is governed by motion between F and E which are transpositions of the whitenote collections A and G Clearly the two songs are cut from the same musical cloth but they differ in their expression of tonality through their treatment of the AG problem
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+Example 9 Sia Cheap Thrills Verse 1
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+Example 9 thumbnail
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+21 In the verses of Cheap Thrills the first of which is given in Example 9 the melody of the aform outlines a motion of CFE The question here is whether the F or E is the more structural note In the first two measures of the verse both major and Aeolian make strong tonal claims On the one hand the C is emphasized temporally appearing first and rhetorically occurring several times As the only potentially tonictriad note present in the vocal line thus far the tonality is pushed towards A major through the contextual emphasis of the majormode bias When the line leaps up however the F is brought out rhetorically through its relatively long durations and by being the highest note thus far and temporally by marking the end of a vocal subphrase Hence initially the CF motion could be heard as arpeggiating an Fminor triad in turn suggesting the FAeolian mode On the other hand the following E in the vocal line is hypermetrically accented and occupies much more musical time than the preceding F emphasizing it rhetorically And its temporal emphasis by being placed at the end of the entire vocal phrase not just a subphrase likewise gives it greater salience than the F In all then this aform more strongly suggests the major mode with the vocal phrase playing out as a motion from 3 to 5 with an intervening neighbor 6
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+Example 10 Sia Never Give Up Verse 1
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+22 In the opening verse of Never Give Up given in Example 10 the melody begins on F which strongly suggests the Aeolian tonic by its temporal emphasis as the first note and its rhetorical emphasis through repetition Hence when the note returns two measures later we are inclined to hear the intervening E as a lower neighbor rather than a structural note that is surrounded by upper neighbors Harmonic emphasis is therefore placed on the F as a structural note embellished by neighbor motion The C ending the vocal phrase in the third notated measure then sounds like an arpeggiation of the Fminor triad rather than the Amajor triad In other words the majormode bias is rendered inert here because the C is contextualized within an implied Fminor triad Notice as well that the C is dissonant with the accompaniment part of a melodicharmonic divorce that places further harmonic emphasis on the chord The fact that the song opens with several measures of intro on F minor harmony not shown further strengthens the case for an Aeolian setting through contextual emphasis
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+23 Despite the many similarities between these two songs the subtle differences in their deployment of tonictriad notes differentiates them on tonal grounds Moreover the major and Aeolian settings of the aforms in the verses of Cheap Thrills and Never Give Up respectively correlate with the affective qualities of each The former describes the anticipation of enjoying a night out with a loved one despite having no money to spend The majormode aform of the verse is therefore suitably matched with the songs optimistic excitement By contrast Never Give Up was written for the 2016 film Lion about a young man who searches for his biological parents after being accidentally separated from them as a boy and adopted by another family Hence the negative connotations of the Aeolian mode in the verses aforms are a fitting way of depicting the sense of struggle involved in persevering through very personal adversities a sentiment explicitly expressed by the lyrics
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+III Wavering Tonality in the Axisa
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+24 All of the above examples lean consistently towards either a major or Aeolian interpretation Many aforms however clearly shift from one mode to the other in a modal migration or render part or all of the progression unclear with respect to a tonal center In either case the entire span cannot be said to consistently express one mode more strongly than the other instead wavering in some way between the two
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+a Clear Tonality and Modal Migration
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+Example 11 Eminem featuring Rihanna Love the Way You Lie Chorus
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+Example 11 thumbnail
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+25 Clear modal migrations involve a shift between the two modes at a boundary between vocal phrases aligning divisions in phrase structure lyrics and tonality In Love the Way You Lie by Eminem featuring Rihanna 2010 the chorus which opens the song and is shown in Example 11 comprises two vocal phrases in alternation The first places temporal and rhetorical emphasis on G and D the G through its position as the first and lowest consonant note of the phrase and its several repetitions and the D temporally through its metric placement on beats 1 and 3 and rhetorically through its relatively long duration its repetition and its position as the highest note in the phrase Together with the accompaniment on an initial Gminor chord then the G and D strongly suggest a partial arpeggiation of a Gminor triad in turn clearly suggesting the GAeolian mode as the governing mode of the short phrase In the second vocal phrase however the only possible tonictriad note present is D which is now surrounded by upper and lower neighbors akin to the E in the verse of Self Esteem With its separation from the first phrase through rests and its rhetorical emphasis through the change in melodic style the second phrase encourages hearing its tonality as distinct from that of the first Hence the contextual emphasis of the majormode bias is activated and the D is heard more as 3 of B major than 5 of G Aeolian As though to confirm this interpretation the chorus ends by reiterating the words I love the way you lie to a varied form of the melody now closing on B which again through the majormode bias is heard as 1 of B major
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+26 This distinct modal migration appropriately mirrors the affective qualities of each phrase as suggested by the melodic style and lyrics In the first phrase the stressing of the verbs stand and watch through large ascending leaps and metric and agogic accents heightens the sense of outrage and incredulity in the declamation just gonna stand there and watch me burn Hence the negative affect of the Aeolian inflection augments these sentiments By contrast the lyrics of the second phrase take on a pseudoconciliatory tone Accordingly the melodic motion is entirely stepwise spans only a third and its rhythms are now almost entirely syncopated softening their articulation Thus favoring the more positive major mode in this phrase serves to further highlight the caustic sarcasm of its lyric well thats all right because I like the way it hurts
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+Example 12 Bruno Mars Grenade End of Prechorus and Beginning of Chorus
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+27 Some clear migrations can also be reinforced by changes in texture and timbre Example 12 gives the end of the prechorus and the chorus of Bruno Marss 2010 hit Grenade With both the preceding verse and prechorus set firmly in D Aeolian and the prechorus ending on V of D the expectation is for D to continue reigning as tonic in the chorus Indeed this expectation begins to be realized at the start of the chorus as the melodic line falls through the Dminor triad giving harmonic emphasis to D as a tonic Thereafter however Mars rests for a few beats while the backup singers exclaim yeah yeah yeah on BAG which could be interpreted as either 6 5 4 of D Aeolian or 4 3 2 of F major Because the texture changes from solo to backup vocals our tonal palette is reset so to speak through rhetorical emphasis and the majormode bias prevails establishing F major over the progressions final three chords This interpretation is further supported by the poetic emphasis of the celebratory lyrics in the backup vocals in contrast to Marss morbid imagery In the second and third statements of the progression the melody of the solo voice appears to outline the Fmajor triad as the progression cycles into its loop But because the A is so strongly emphasized temporally as a goal tone for the figure and by metrically and grammatically stressing the semirhyming lyrics grenade blade train anything through temporal emphasis it remains the dominant degree of D Aeolian though now with an upper neighbor B which in turn is embellished with its own upper neighbor C19
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+b Unclear Tonality in the Axisa
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+28 In many aforms the melody does not decisively express one tonality or the other across part or all of the progression These situations generally arise in one of two ways In some cases there may be approximately equal emphasis on members of the two possible tonic triads In other cases surrounding sections of the song are clearly set in the relative mode of the Axisa in question thus pushing an otherwise clear tonal setting of the progression into ambiguity
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+Example 13 Joan Osborne One of Us End of Prechorus and Beginning of Chorus
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+29 The situation of equal emphasis is demonstrated in the chorus of Joan Osbornes One of Us 1995 the opening of which is shown in Example 13 along with the last few notes of the prechorus Here in the threesharp diatonic mode it is F and A that vie relatively equally for tonic status On the one hand F is emphasized temporally by its placement at the start of the vocal phrase and harmonically by what could be heard as an arpeggiation of an Fminor triad over the first four notes of the chorus and possibly including the melodic C that prepares the chorus From this perspective the F is a tonictriad note and hence the rising line of CDE that emerges from the arpeggiation can be understood as continuing harmonic emphasis on the F triad with double passing tones which fill the gap between this C and the F that follows when the progression is looped On the other hand with the F falling on a weak fourth beat and sounding only for an eighth note one might instead hear this note as part of an incomplete doublepassing figure leading to the A that begins the next measure This A is temporally emphasized by its position on a metric and hypermetric downbeat and rhetorically emphasized by being longer than the F preceding it and the highest note in the progression One can therefore hear harmonic emphasis of the Amajor triad through arpeggiation across the entire measure especially as the vocal phrase temporally and rhetorically emphasizes the E by ending on it with a relatively long duration Thus F Aeolian and A major are both emphasized enough to be heard as viable tonics throughout the passage In such cases one may hear an ambiguous mix of the two tonalities one or more vacillations between the two or some combination of these hearings This is not to say that ones tonal interpretation of such passages always remains fixedindeed it may shift in the midst of hearing the chorus upon hearing repetitions of the chorus or upon repeated listenings to the song
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+Example 14 Edward Maya and Vika Jigulina Stereo Love Beginning of Chorus
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+Example 14 thumbnail
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+click to enlarge and listen
+
+30 An instance of surrounding sections of a song clouding an aforms tonality occurs in the chorus of Edward Maya and Vika Jigulinas 2009 dance hit Stereo Love shown in Example 14 Here the aform is divided into two parts the first an accordion riff that is the songs distinctive hook the second a sung portion that elides into a loop of the progression The hook provides a gapfill of the sixth between G and E which are tonictriad notes in both possible modes C Aeolian and E major Both the G and E are prominent throughout the progression G is emphasized temporally through its strong metric and hypermetric placement on the downbeat of the progressions first measure as well as its position at the beginning and end of the hook and at the start of the vocal response and rhetorically through its status as the lowest note in the hook The E is emphasized rhetorically through its several repetitions and its status as the highest chord tone in the hook and the lowest in the vocal response and temporally through its position at the end of the progression As we have seen in such situations contextual emphasis of the majormode bias generally pushes the progression more towards that mode Here however contextual emphasis plays another role Outside of this chorus the song is unequivocally in C Aeolian and the chorus is prepared with a long crescendo on a tonic Cminor chord When the aform begins the chorus the impression is naturally of continuing this tonic function into its opening Cminor chord The final chord of this aform substitutes what would have been B major for G minor which has a dominant relation to the Cminor chord that follows when the progression is looped not shown Thus the pervasiveness of C Aeolian throughout the song challenges the majormode interpretation of the aform leaving the progression able to be heard in either mode
+
+IV Tonality in the AxisF
+
+31 Like the Axisa the harmony of the Fform contains conflicting signals for both the major and Aeolian modes In this rotation however the major tonic chord is placed second which is the weakest metric position in the progression as it has neither the psychological prominence of the first or last position nor the hypermetric accentuation of the first or third As a result the firstchord rule prioritizes neither the major nor Aeolian tonic Furthermore the emphasis that the Aeolian tonic gains by sounding last in the progression renders it approximately as salient as the major tonic which still benefits from the majormode bias Consequently from a purely harmonic point of view the Fform is like the aform a tonally precarious progression that can easily waver between the major and Aeolian modes Also like the aform the strongest indications of tonality derive primarily from melodic emphases on members of the major or Aeolian tonic triads
+
+Example 15 Rihanna Umbrella Beginning of First Chorus
+
+Example 15 thumbnail
+
+click to enlarge and listen
+
+32 In some Fforms a given melody would normally express a clear tonality but as with many aforms surrounding sections of the song cast doubt on that interpretation In Rihannas Umbrella featuring JayZ 2007 the harmony of both the verses and choruses is constructed of looping Fforms In the first chorus shown in Example 15 the Fform has obvious tonal implications the melody atop the first three chords draws attention to A and F through several means The A is emphasized temporally as the first melodic note of the progression rhetorically as the progressions highest melodic note and harmonically through its divorce from the accompaniment suggesting that it is a melodic chord tone of the Dmajor triad especially given its grouping with F in the same short figure The F itself is stressed temporally as it sounds last in the first two vocal phrases and falls on metric downbeats in the first two measures as well as a hypermetric downbeat in the first measure It is also emphasized rhetorically by being directly repeated a number of times in the second measure Hence melodic cues project a Dmajor tonality over B Aeolian a perception that spills into the third measure since no prominent tonictriad cues are given there With the fourth measure however B enters the melody and is highlighted temporally by being last in the vocal phrase and on a metric and hypermetric downbeat at the same location and rhetorically by constituting the lowest note in the progression This Fform is therefore a modal migration from D major to B Aeolian20
+
+Example 16 Rihanna Umbrella End of Bridge and Beginning of Third Chorus
+
+Example 16 thumbnail
+
+click to enlarge and listen
+
+33 This interpretation holds through the first two choruses but the third is approached through a new bridge passage that ends with a dominant chord but of B minor rather than the D major that might be expected given that the choruses and verses have thus far begun in that key As Example 16 shows with B minor clearly established through the VIV motion at the end of the bridge the Gmajor chord that begins the third chorus may now sound like a deceptive resolution on VI of B minor through the contextual emphasis of the bridge Moreover the Fform of the chorus has been subtly substituted for that of the verse which sounds GDAFmBm rather than GDABm With the D chord in 6 4 position its potential to serve as a tonic is weakened and with Fm replacing the A chord the bimodal aspect of this third chord is likewise reduced Fm being an idiomatic dominant of B but not of D Yet the preceding choruses add their own contextual emphasis allowing the initial Gmajor chord to also be heard in D major Accordingly the mode of the entire Fform here is called into question has the progression shifted towards B Aeolian due to the preceding bridge and the harmonic substitutions Or is its opening still in D major due to the majormode bias and the association of the passage with the previous two choruses which clearly begin more in major Or does the progression lie somewhere between major and Aeolian in some combination of the two interpretations To my mind these questions are tantalizingly insoluble Along with the return of heavier percussion and instrumentation just before this chorus this ambiguity constitutes an effective means of highlighting the entrance of the final chorus which is spun out with bridge material until the songs end
+
+Example 17 Madonna Like a Prayer Intro
+
+Example 17 thumbnail
+
+click to enlarge and listen
+
+Example 18 Madonna Like a Prayer First Chorus
+
+Example 18 thumbnail
+
+click to enlarge and listen
+
+Example 19 Madonna Like a Prayer First Verse
+
+Example 19 thumbnail
+
+click to enlarge and listen
+
+34 In other cases the influence of a songs other sections render an Fform tonally unclear even from its first statement One such instance is the introduction of Madonnas Like a Prayer 1989 given in Example 17 which begins by clearly establishing D Aeolian before shifting into F major It then heads towards a commonpracticestyle cadence in F with the chords I6IVV6 45 3 but just as we expect cadential arrival on an Fmajor tonic triad the Dminor chord returns Is this a deceptive cadence in F or a VIIi Aeolian cadence in D21 Given that the section began in D Aeolian we might be tempted to hear that mode as governing here But after lingering for four more measures on this Dminor chord the song follows up with the chorus in a rocksolid F major Example 18 By the time the Fform first appears in the verse Example 19 tonal conflict between F and D has become an integral part of the song22 Taken in isolation this Axis progression would be a fairly clear instance of a majormode Fform as the melody highlights F rhetorically through its several recurrences and its relatively long duration on the word voice and temporally through its placement at the ends of the vocal phrases Even the unusual 6 4 inversions would not be a problem since they are so soft and difficult to hear in the mixin other words we would likely hear the harmonies as imagined rootposition chords Within the context of the song however and as shown in the example the preceding chorus ends with a dissonant bass note of D that seems to act as an anticipationthat is a kind of pedal point that brings harmonic emphasis The bass D of the Fforms first chord BD is thus brought out perhaps suggesting that it possesses the importance of a tonic The entire bass line of this Fform also produces harmonic emphasis through its lowerneighbor figure around D again suggesting that the note has tonal significance Furthermore the progression concludes with the same CDm motion we heard in the introduction which could be heard in D Aeolian At the same time with the strongly Fmajor chorus that leads into the verse it is also feasible to hear that mode as a viable tonal contender especially given that the verses melody is heavily Fladen Following the third chorus the song concludes with a lengthy section consisting of alternations between intro and verse material which continue the tonal impasse to the end of the song never decisively favoring one mode or the other for the Axis progression23
+
+V Varying Tonality in aForms of Recurring Sections Sarah McLachlans Building a Mystery
+
+35 As we have seen tonal treatments of the a and Fforms of Axis progressions may differ from song to song section to section and vocal phrase to vocal phrase But when a section within a song is repeated both the harmony and melody typically remain the same perhaps adopting some embellishments of the initial statement As a result Axis progressions in repeated sections tend to present the same melodic emphases each time the section is heard In turn the tonal centers suggested by each particular a or Fform will generally remain the same But because the a and Fforms are so tonally flexible they offer yet another avenue for variety among its repetitions tonal variation through melodic alteration A good example of this technique as applied to the aform is found in Sarah McLachlans Building a Mystery 1997 a song whose tonal ambiguity has been noted and interpreted variously by Koozin 2008 Attas 2011 Doll 2011 and de Clercq 201224 The three verses which are all supported by fourstatement loops of an aform reshape the melodic material altering the melodic emphases and in the process creating various tonal settings The choruses on the other hand which are likewise built on aform loops all essentially retain the same melodic structure and hence express the same sense of tonality with each statement The manipulation of the aform in the verses however leaves the listener with a tonal trajectory that is unusually unpredictable for a recurring formal unit an entirely appropriate tactic for sections that describe the speakers inscrutable lover and her equally inscrutable attraction to him
+
+36 Like many songs with aform loops Building a Mystery begins with an intro announcing the progression here in a twostatement loop Instead of a cohesive melody however melodic fragments emerge in several different instruments with none taking the spotlight The opening thus presents only an accompaniment and the progression is left without a sense of leaning toward either major or Aeolian Each of the three verses contains four twomeasure progressions that align with the twomeasure statements of the aforms Moreover although the majority of the vocal phrases in the verses lie between D and the F or F above it which would generally support a Dmajor hearing due to the majormode bias such a hearing is often clouded by the AG problem here realized as figures that bind B and A together As a result harmonic emphasis plays a considerably lesser role in the construction of tonality in the verses than in other examples above Lastly the ways in which potentially tonictriad notes are highlighted are subtly diverse producing varying degrees of D major and B Aeolian across different spans of each verse
+
+Example 20 Sarah McLachlan Building a Mystery Verse 1
+
+Example 20 thumbnail
+
+click to enlarge and listen
+
+37 In the first verse shown in Example 20 the vocal line in the first progression offers several cues for D major A D and F which is a bluesinflected form of 3 given the consistent F in the accompaniment25 are all emphasized temporally and rhetorically A is the first note of the first vocal phrase and the lowest note of the progression D is the first note in the second vocal phrase and recurs several times there and F is the highest note and F occurs on a metric and hypermetric downbeat in the first vocal phrase The initial A however is not clearly articulated and could sound like a nonpitched syllable in which case D major would still reign supreme due to the majormode bias with the highest and lowest notes in this first progression being D and the inflected form of 3 F
+
+38 Implications of D major continue in the second progression where A and D again receive both temporal and rhetorical emphasis A is the first last highest and lowest note in the progression and D appears several times on textual accents and hypermetric downbeats The pickup to the second progression however suddenly drops in register to introduce the figure ABD which now raises the possibility of B Aeolian with harmonic emphasis through dissonance resolution and arpeggiation In other words A could be an incomplete neighbor to B that then arpeggiates up to D or B could be a pentatonic passing tone in an arpeggiation from A to D Given the strong emphases on A and D in the progression however D major remains in the spotlight though with a shadowy hint of B Aeolian through the ABD figure
+
+39 The third progression is similarly dominated by D major as it is essentially an elaboration of the first progression but again with intimations of B Aeolian by twice including the note B and the tonally ambiguous ABD figure With the fourth progression D and B begin to more closely rival each other for tonic supremacy On the one hand D receives rhetorical emphasis as it is the highest note in the progression and has relatively long durations and temporal emphasis by appearing on the first four accented syllables Hence the initial impression is of D major as the governing mode Yet on the other hand each of the four gestures that rise up to D do so from B suggesting a partial arpeggiation of a Bminor triad Most of all the progressions melody ends with the figure AB which emphasizes B temporally by its final position in the phrase rhetorically by its relatively long duration and harmonically by its neighbortone resolution of A to B This closure colors our impression of the phrases opening and causes a retrospective shift towards B Aeolian The trajectory of the governing mode of each aform over the entire verse could therefore be plotted thus
+
+    Progression 1  Major
+    Progression 2  Major
+    Progression 3  Major
+    Progression 4  Aeolian
+
+Example 21 Sarah McLachlan Building a Mystery Verse 2
+
+Example 21 thumbnail
+
+click to enlarge and listen
+
+40 The opening progression of the second verse shown in Example 21 is a varied form of that of the first though with melodic dips down to A and B that for the same reasons given above slightly blur the adherence to D major The beginning of the second progression in this verse retraces the conflicts of the last progression of the first verse and hence B Aeolian becomes the governing mode as the progression proceeds This hearing is reinforced with an additional F inserted between the AB motion that by partially arpeggiating a Bminor triad harmonically emphasizes B Aeolian This is especially true since the B here produces a melodicharmonic divorce with the accompaniment suggesting its consonant status within a melodic arpeggiation
+
+41 The third progression begins by perpetuating B Aeolian with its AB voiceleading motions and repetitions of B Its first phrase ends by highlighting D major through an AD leap Like the end of the previous progression the leap emphasizes tonictriad notes this time of D major temporally by being the final notes of the phrase and harmonically through the partial arpeggiation of a tonic triad and once again by creating a melodicharmonic divorce the A remaining distinct from the accompaniments Gmajor chord The progression is completed with a close variation of the verses opening and thus it highlights D major contextually through the majormode bias temporally by F beginning the phrase and rhetorically as F and D are its highest and lowest notes
+
+42 The fourth progression follows a trajectory directly opposite to the third shifting the main tonal center from D major to B Aeolian The opening on can you look out the window rhetorically stresses A and D through their status as highest and lowest tonictriad notes in the phrase These notes are further stressed harmonically through dissonance resolution with D resolving the appoggiaturas and by the concluding DA leap The implication here is therefore D major rather than B Aeolian but B is harmonically emphasized as a goal tone in the progressions final portion it is the last note in the figures on without your shadow and getting in the way Governing modes in the second verse could thus be summarized as follows
+
+    Progression 1  Major
+    Progression 2  Aeolian
+    Progression 3  Aeolian to Major
+    Progression 4  Major to Aeolian
+
+Example 22 Sarah McLachlan Building a Mystery Verse 3
+
+Example 22 thumbnail
+
+click to enlarge and listen
+
+43 The third and final verse given in Example 22 is from a musical though not a lyrical perspective largely a varied restatement of the first verse in its first three progressions Tonally the only significant alteration is the omission of the dip down to B where it might be expected with the text knowitall grin now clearly underscoring D major contextually through the majormode bias as D and F are the only potential tonictriad notes in the phrase And in the fourth progression rather than sink into the gloom of B Aeolian the vocal line oscillates between D and A remaining in the sunny realm of D major to form the following tonal arc for the entire verse
+
+    Progression 1  Major
+    Progression 2  Major
+    Progression 3  Major
+    Progression 4  Major
+
+44 In all then the progressions of the songs three verses present a total of six different tonal settings of the Axisa and these settings are combined in ways that are never repeated across the verses Hence despite their repetitions of the same aform the combination of various settings of the progression creates a unique tonal design with each of its statements In particular the three verses as a whole adopt a loose ABA structure with respect to their tonalities verse 1 comprises almost entirely majormode leanings with only the last phrase being more Aeolian verse 2 has largely Aeolian preferences and verse 3 is entirely majorleaning While the major and Aeolian portions do not specifically correlate with the affects of their respective texts the tonal trajectory as a whole captures the expression of the song as a kind of love letter that couches the speakers possible worries and doubts within a solid framework of love and respect That the aforms supporting the choruses remain firmly on the majormode side of the spectrum further bolsters the affirmative quality of the songs expression26
+
+Conclusion
+
+45 Unlike most harmonic progressions in rock the Axisa is tonally pliable and can be swayed towards either the major or Aeolian mode in varying degrees As we have seen this pliability is brought about by the competing principles of the firstchord rule which allows the opening minor chord to act as the tonic of a governing Aeolian mode and the majormode bias which allows the major chord in the third position of the progression to counter the first as another possible tonic The AxisF operates similarly weakening the major tonic by relegating it to the progressions second position while strengthening the Aeolian tonic by placing it in the prominent last position In both of these progressions the resulting conflict effectively neutralizes the tonal signals of the harmony and places the burden of keyfinding on the melody As the melody may emphasize members of one or both possible tonic triads so the tonality may waver accordingly As the examples above show a and Fforms may be majorleaning Aeolianleaning undecided between the two or mixtures of any of these Whichever interpretive route ones ear takes however the progression remains an unusual fusion of both major and Aeolian elements that has become a signature sound of the postclassic era in popular music
+
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+
+While teaching a theory course at the Eastman School of Music, a student came up to me after class and said: "I really enjoyed your course, but I wish that instead of the countless handouts you gave us, you could write a book. It would give us something more permanent-a kind of lasting documentation of your teaching methodology that we really enjoyed." I responded that I would consider his request and began ruminating about the idea of writing a book. I quickly realized, though, that the transition from class handouts to a well-organized textbook was not as straightforward as my eager student wanted me to believe.
+Jazz Theory: From Basic to Advanced Study is an innovative textbook designed for undergraduate and graduate jazz students, and for an ever-increasing population of classical students interested in jazz theory and improvisation. The overall pedagogy combines theory, ear training, keyboard skills, and improvisation into a comprehensive whole that enables more effective internalization and understanding of various theoretical topics discussed in the book. Intended for 2-, 3-, or 4-semester curricula in jazz theory, ear training, improvisation, harmony, keyboard skills, jazz literature, and jazz composition courses, it can also be used as a self-study guide for professional musicians unaffiliated with an institution. Conveniently divided into three parts, each major section is written with a specific group of students in mind: Part One for beginners, Part Two for intermediates, and Part Three for advanced students. While each of these sections creates a separate whole, they also form a comprehensive and cross-disciplinary narrative when taken together.
+In addition to the traditional topics covered in the chapters on Music Fundamentals, Harmonic Function, Four-Part Chords, Five-Part Chords, Modes, The Blues, and Jazz Lead Sheets, the book engages the reader in an extensive discussion of Chord-Scale Theory, Bebop, and Pentatonics and Hexatonics. The book also offers some original thoughts on the phrase structure of standard tunes in the chapter on Phrase Models, and explains the principles of vertical and horizontal harmonization in the chapter on Jazz Reharmonization. The connection between theory and practice is an underlying motto of the book; this issue comes to the fore in the chapters on Improvisation, Bebop Blues, "Confirmation," "Moose the Mooche," and "Line Up." The importance of acquiring basic keyboard skills as a necessary tool for developing comprehensive musicianship is addressed in the chapters on Keyboard Textures, Idiomatic Jazz Progressions, and Voicings. To establish more meaningful connections between different branches of theoretical discourse and jazz theory, the chapters on Phrase Models, The AABA Song Form, The ABAC Song Form, and Extended and Unusual Song Forms touch on various aspects of formal and modified Schenkerian theory, while the final chapter, Post-Tonal Jazz, makes inroads into atonal music theory, offering innovative and thought-provoking ideas for the advancement of this type of interdisciplinary research.
+GOALS
+
+Improvisational Skills
+The ultimate goal of jazz theory is to improve one's improvisational skills. The Play Along DVD includes 46 tracks recorded by the fine musicians of the Eastman School of Music: Prof. Jeff Campbell (bass), Prof. Rich Thompson (drums), Gabe Condon (guitar), and myself (piano and Hammond B-3). In Chapter 10, the student is asked to use the Play Along DVD, first in the context of the blues and modal scales, and subsequently in the context of complete standard songs and jazz instrumentals. Initial tracks-with the exception of the major and minor blues-place an emphasis on playing in 12 keys. Each track on modes, then, covers 12 16-bar or 8-bar phrases, each in a different modal area. Similarly, the II-V-I or V-I progressions are performed in 12 keys using different paths through the 12 tonal areas. To offer experiences closer to real-time performance situations, each track is recorded at a different tempo, rhythmic feel, and with either piano, Hammond B-3 or guitar as a comping instrument.
+Expanding Repertory
+Aside from pedagogical concerns, a subsidiary goal of this text-one hopefully appreciated by song aficionados-is to expand the repertory of standard tunes. Chapters 21-24 discuss harmonic designs, formal models, harmonic variations, and interpretations of standard tunes. In addition to the original sheet music (with the composer's piano accompaniment, verses and lyrics) of "My Romance," "Have You Met Miss Jones?" and other tunes, these chapters include the titles of 999 other songs based on the similarity of their tonal and formal designs. By classifying standard tunes according to the harmonic structure of the A section and the type of harmonic motion in the bridge, I hope that students can quickly learn a large number of tunes. Appendix G on the companion website includes an alphabetical list of titles (with their composers and lyricists) mentioned in these chapters, and Appendix H (companion website) contains a list of 200 essential standard tunes (out of the 999) that every jazz musician should know.
+FEATURES
+
+Jazz Theory: From Basic to Advanced Study includes:
+• 352 musical examples, ranging from original lead sheets of standard tunes ("Autumn Leaves," "Dream Dancing"), jazz instrumentals ("Confirmation," "Moose the Mooche"), transcriptions ("Moose the Mooche," "Line Up"), and original compositions ("Billie's Dance," "Infidels Bounce"), to fully realized harmonic progressions, sample solos, and reharmonized tunes ("All the Things You Are," "Stella By Starlight").
+• Play Along DVD-offers experiences close to real-time performance situations with 46 tracks with Piano Trio, Guitar Trio and Hammond B-3 Trio.
+• Online WORKBOOK-with carefully designed exercises, such as part-writing tasks, 73 tracks of ear training drills, keyboard realization, melody harmonization, model composition, and improvisation; it also contains the recordings of musical examples from the textbook as well as some useful supplementary materials (Guide to Making Transcriptions, List of Solos to Transcribe, and Selected Discography).
+• Lists of well-known (and lesser-known) standards on the companion website-a comprehensive list of 999 Standard Tunes-Composers and Lyricists (Appendix G), as well as an Essential List of 200 Standard Tunes That You Should Know (Appendix H).
+• Instructors' Tools with answer keys to written and ear training exercises on the companion website.
+HOW TO USE THE COMPANION WEBSITE
+
+www.routledge.com/textbooks/cw/terefenko
+The companion website contains three large sections: WORKBOOK, RECORDINGS, and APPENDICES/AUXILIARIES.
+Workbook
+The WORKBOOK sections closely follow the structure of the textbook; they are divided into three parts (Basic, Intermediate, and Advanced) along with the individual chapters. Such a user-friendly design enables easy access to all exercises and recordings. The WORKBOOK contains different types of written assignments, practice routines, play along sessions, keyboard realizations, play and sing tasks, and ear training drills; they are carefully designed to master the content of Jazz Theory: From Basic to Advanced Study. All the exercises and scores are downloadable as PDFs.
+The choice of specific tasks in each chapter depends on the content of the individual chapters. For example, Chapter 13 includes various keyboard tasks and ear training drills, but contains no play along sessions; Chapter 10 features more play along tracks than any other types of exercise. The main objective of Chapter 10 of the book, for instance, is to put the content of Part One to practical use. You will quickly realize that to be successful at playing with the rhythm section (tracks 5-18), you will need a solid command of the modes in all 12 keys (Chapter 7). Since the primary goal of these play along sessions is to acquaint your ear with the sound of the 14 modes and to find that sound on your instrument, start by playing the most important notes from the mode (guide tones and beauty marks) and negotiate them in some kind of rhythmic fashion. Having established the connection between theoretical concepts (guide tones and beauty marks in this particular instance) and practice (the ability to effortlessly play them on your instrument), you will begin to listen to your own playing and to interact with the rhythm section. Next, start using the motifs from the book (Figure 10.10) and transpose them to 12 keys. With these motifs, focus on the techniques of motivic development (Chapter 10), select a single technique, and explore it in your playing. As you get more comfortable with handling one technique at a time, explore improvising with two (or more) techniques.
+Finally, you are ready to compose your own motifs and use them in improvisation. As you see, tracks 5-18 (as well as other play along tracks) work just as well for advanced players as for beginners. The process described above illustrates how to use play along tracks; this process can be summarized as follows: (1) establish a connection between theory and practice, (2) practice on your instrument, (3) begin with the material that you can handle, (4) challenge yourself, and (5) be creative.
+
+ 
A measured approach to completing assignments works for the majority of exercises included in the WORKBOOK. Take, for instance, Exercise 3.3. The exercise includes seven four-bar progressions to be realized at the keyboard in C major and/or A minor. The basic objective for all playing exercises is to be able to perform a given task at a steady tempo and without breaks. Start at a comfortable tempo (♩=50) and play the progressions from Exercise 3.3 from beginning to end without interruption. Using a metronome is highly recommended. Gradually increase the speed of your performance to ♩=96. The instructions for this and other keyboard exercises include the dreaded phrase: "transpose to all 12 keys." Playing in all 12 keys is an essential skill for the contemporary musician, yet learning to play in all keys is a long and arduous process. In Chapters 6, 12, 13, and 15, the "12 key" icon is used as a reminder to practice/perform the specific musical figures in all 12 keys. To facilitate this process, learn a progression in the original key. Once you master the progression in a single key and explore different positions/inversions of chords, start transposing it to two or three different keys. Practice the progressions in two or three keys and then start adding more keys to your practice routines. You will notice that once you work diligently through six different transpositions, the remaining ones will be quite easy to realize. To master the skill of playing in 12 keys, you need to be consistent, succumb to daily practice routines, and allow the passing of time to see the results.
In studying jazz, it is imperative to develop an impeccable ear capable of identifying complex chord formations and harmonic progressions. The WORKBOOK also features different types of ear training activities: rhythmic dictations, harmonic dictations, chord recognition, singing, set-class identification, etc. To access them, click on the corresponding icon. I recommend that you complete each ear training drill before proceeding to the next one, no matter how trivial that drill might seem. Without internalizing the sound of individual intervals/triads in Chapter 1 or four-part chords in Chapter 4, for instance, the ability to hear more complex five-part chords in Chapter 5 or upper-structure triads in Chapter 14 may prove challenging. Furthermore, when individual chords or the II-V-I progressions from Part One begin to form four-bar progressions in Chapter 13 or eight-bar phrase models in Chapter 21, the ability to identify individual formations is of utmost importance to make tonal sense out of complete harmonic progressions. Since certain tracks for ear training drills contain multiple intervals, harmonic formations, chord progressions, or set classes, I recommend starting each track at a different location to avoid memorizing the sequence of events.
+Recordings
+In addition to various written and ear training exercises in the WORKBOOK, the companion website also contains the recordings of musical figures from the book. The RECORDINGS section is also organized exactly as the textbook (three parts and individual chapters) and gives you immediate access to all audio files. By clicking on the figure, you will see the specific musical example and hear the recording. These recordings are quite useful when you are away from the keyboard (or have insufficient keyboard skills) and want to hear a particular musical illustration. By listening to these audio recordings you are mapping individual theoretical entities (chords, modes, progressions, scales, phrase modes, sets, etc.) with their sound and, thus, training and improving your ear.
+Appendices/Auxiliaries
+This section contains some useful material that complements the book. The Selected Discography (Appendix F) contains the list of recordings for standard tunes discussed in the book. For each tune, there are representative recordings that show how the different jazz artists from different eras appropriated these tunes into their repertoires and how different these interpretations are; this extraordinary interpretive diversity demonstrates the limitless potential of standard tunes. Listening to jazz goes hand in hand with learning how to improvise and how to find one's musical voice. Without exploring the rich canon of recorded jazz, one's quest for learning how to improvise might be deterred indefinitely. The Selected Discography and List of Solos to Transcribe in Appendix E (as well as the endnotes in the book) provide many valuable listening resources.
+Finally, the companion website contains downloadable scores for ear training drills, extra scores for the Play Along DVD (convenient to use with your iPad on the music stand), an Answer Key for Written Exercises, and an Answer Key for Ear Training Drills (with a few exercises realized in full score so you can see what I played on the recording).
+TO THE STUDENT
+
+In Part One, the foundation of the entire pedagogical system is laid, each topic leading logically to the next. Therefore, it is imperative to study each chapter before proceeding to the next one. Use of the online WORKBOOK is strongly recommended; it contains numerous exercises to foster your understanding of various theoretical subjects. For optimal use of this resource read How To Use The Companion Website. For those already familiar with the basics or those who want to delve deeper into more advanced topics (Bebop, Pentatonics and Hexatonics, Phrase Models, Post-Tonal Jazz, etc.), start with a chapter that appeals to you. Each chapter, especially in Parts Two and Three, is a self-contained unit for you to explore. If you use this approach, first familiarize yourself with the terminology and various notational conventions discussed in Part One since they may be different from yours.
+TO THE INSTRUCTOR
+
+In Jazz Theory: From Basic to Advanced Study, I build on the existing terminology concerning chord notation and other analytical conventions. One of the main issues music theorists often grapple with is that of chord notation, a proverbial Tower of Babel in a world where notational idiosyncrasies run amok. To be fair, systems of chord notation are constantly evolving and, in spite of the best intentions, no syntactical uniformity exists that would satisfy everyone. As described in Chapter 3, each method of chord notation has its strengths and weaknesses. In notating chords in the book, I aim to be as consistent and lucid as possible. After discussing the subject with colleagues and reviewers, and trying out many systems with my students, I settled on the following symbols. Given the CMaj7(♯11) chord, for instance, the chord quality is indicated with a "Maj" suffix, the essential chord tone "7" is written as a regular size Arabic number, and a chromatic extension is placed in parentheses and written as a superscript number. The Cmin9(♭13) chord uses a superscript for the diatonic extension "major ninth" and places the chromatic extension in parentheses. Lead-sheet symbols employed in the book, then, provide a complete description of a chord's structure; they are easy to realize and show that essential chord tones are hierarchically more important than chordal extensions. Additionally, they are arranged according to their status and influence on the overall sound of the chord.
+Although marred by its syntactical ambiguities in common-practice theory, the use of Roman numerals in Jazz Theory: From Basic to Advanced Study is reduced to four-part structures only, regardless of the actual pitch content of the chord. Roman numerals, then, represent the quality, functionality, scale-degree position, and the type of essential chord tones added to a triad. The following six basic symbols are encountered: Imaj7, I7, i7, , iø7, and i°7, representing major 7th, dominant 7th, and minor 7th, minor 7(≭5), half-6 diminished 7th, and diminished 7th chords, respectively. (Occasionally triads  and I6 also occur.) In this notation, the suffix "maj" uses lower-case letters with the essential chord tones written as superscripts (and as a subscript in the case of ). Though Roman numerals require some expertise to realize in performance, they constitute excellent tools for transposing chord progressions to all 12 keys. Since Roman numerals represent essential four-part structures only, their interpretation and realization is predicated on a number of factors: melodic content, dissonance treatment, chromaticism, outer-voice counterpoint, voice leading, harmonic affects, phrase rhythm, and other issues discussed in this book.
+THEORY IS A MEANS TO AN END
+
+As stated earlier, the ultimate goal of Jazz Theory: From Basic to Advanced Study is to improve one's improvisational skills. In a sense, then, theoretical knowledge is a means to that end; for the jazz musician this is synonymous with being proficient at different styles of improvisation. To attain that goal, I discuss at length four contrasting styles of improvisation: blues, modal, bebop, and the "Tristano" school. As the most important musical form in jazz, the blues takes precedence with extensive coverage in Chapters 9 and 17. Modal improvisation is explained in Chapters 7, 8, 16, and 20. The techniques of bebop improvisation are discussed in Chapter 15 and applied to practical ends in Chapters 17-19. The "Tristano" school of improvisation is codified through the prism of Lennie Tristano's solo on "Line Up" analyzed in Chapter 26. In addition to these four improvisational traditions, Chapter 27 makes substantial inroads into a more experimental, yet highly organized, system of advanced harmony and improvisation. In this chapter, I attempt to establish an interdisciplinary connection between atonal music theory and jazz theory. It is my humble wish to see the ideas developed in Chapter 27 taking new roots and being advanced by other jazz scholars. The possibilities are truly endless and the door for new explorations is left wide open.
+Dariusz Terefenko
+Associate Professor of Jazz Studies
+Eastman School of Music
+
+Acknowledgments
+
+
+
+
+
+
+
+
+Witnessing a project of this magnitude taking shape has left me with a sense of accomplishment and also provides a wonderful opportunity for me to thank the many people without whom this book could not have been written. First and foremost, I would like to thank Douglas Lowry (Joan and Martin Messinger Dean Emeritus of the Eastman School of Music) and Jamal J. Rossi (Dean of the Eastman School of Music) for granting me a leave of absence in the spring of 2012, during which the majority of the book was written. Dean Lowry will be greatly missed by all who had the privilege of knowing him personally. Second, I would like to thank my colleagues in the Jazz Department at ESM: Harold Danko, Bill Dobbins, Jeff Campbell, Clay Jenkins, Rich Thompson, Dave Rivello, Bob Sneider, and Mark Kellogg, all of whom have been very supportive of the project and on whose expertise I could always count. My profoundest gratitude and heartfelt thank you go to my friend Matthew Brown for his guidance over the years and for the countless hours of stimulating conversations during which many of the concepts appearing in this book were generated. On that note, I would like to thank Robert Wason for his encouragements in pursuing the more scholarly aspects of jazz music theory.
+I am indebted to many years of wonderful students at the Eastman School of Music, but perhaps particularly to: David Baron, Ben Bishop, Evan Burrus, Greg Chaco, Dave Chisholm, Mike Craig, Gabe Condon, Alistair Duncan, Jacob Dupre, Wendy Eisenberg, Kate Ernst, Sam Farley, Austin Gross, Shoghi Hayes, Ethan Helm, Kevin McDonald, Jeff McLeod, Brendan Lanighan, Emiliano Lasansky, Stefan Love, Paulo Perfeito, Marcelo Pinto, Levi Saelua, Jeremy Siskind, Karl Stabnau, Alexa Tarantino, Nikola Tomic, Nick Weiser, and Chris Ziemba. Special thanks go out to Amy Kintner for her exceptional and meticulous work editing the initial draft of the book.
+I would like to thank all the amazing musicians with whom I had the privilege to record all the musical examples, play along tracks, and ear training drills: Jeff Campbell (bass), Rich Thompson (drums), Gabe Condon (guitar), and Karl Stabnau (saxophones). Thanks go to Fumi Tomita and Amy Kintner for lending their sonorous voices to narrate the musical examples and ear training drills on the companion website. I would also like to thank the entire staff of Technology and Media Production at the Eastman School of Music, especially Louis Chitty for his herculean job recording, editing, mixing, and producing the Play Along DVD and all the audio files available on the companion website.
+I am indebted to the staff at Routledge, especially Constance Ditzel for showing the initial interest in my project, but also Denny Tek for her tireless work preparing the book for production, Sue Edwards for her excellent editing, and Kelly Derrick at Florence Production for her commendable work producing the book. I greatly appreciate their effort to find the most knowledgeable reviewers in the field of jazz theory, Keith Waters (University of Colorado at Boulder) and Chris Stover (New School), whose many exceptional ideas and suggestions contributed greatly to the final version of this text.
+Finally, I would like to thank my sister Natalia for arranging perfect conditions allowing me work on the book, and my brother Zenon for his musical inspiration. This book is dedicated to both of them.
+
+PART ONE
+Basics
+
+
+
+
+
+
+
+
+
+
+
+CHAPTER ONE
+Music Fundamentals
+
+
+
+CHAPTER SUMMARY
+
+Chapter 1 lays the foundation for the study of music theory. The basics of musical notation are introduced as well as an understanding of intervals, their names, and the inversion of intervals. The chapter concludes with a close examination of the five triadic formations: major, minor, diminished, augmented, and suspended.
+CONCEPTS AND TERMS
+
+• Accidentals
+• Bar lines
+• Bass clef
+• Beat subdivisions
+• Beat values
+• Chords
+• Chromatic
+• Clefs
+• Diatonic
+• Enharmonic equivalence
+• Flat sign (♭)
+• Grand staff
+• Half steps (semitones)
+• Intervals:
+Augmented
+Compound
+Diminished
+Harmonic
+Major
+Melodic
+Minor
+Perfect
+Quality
+• Inversions of intervals
+• Inversions of triads
+• Key signatures
+• Ledger lines
+• Major scales
+• Measures
+• Meter:
+Duple
+Quadruple
+Triple
+• Minor scales:
+Harmonic
+Melodic
+Natural
+• Natural sign (♮)
+• Notes
+• Octaves
+• Octave equivalence
+• Pitch
+• Registers
+• Relative keys
+• Rhythmic duration
+• Scale degrees
+• Sharp sign (♯)
+• Staffs
+• Time signatures:
+Compound
+Irregular
+Simple
+• Treble clef
+• Triads:
+Augmented
+Diminished
+Major
+Minor
+Suspended
+• Whole steps/tones
+PITCH
+
+Pitch refers to the relative highness or lowness of musical sounds. Figure 1.1 illustrates the placement of pitches on the keyboard with the lowest notes on the left and the highest notes on the right.
+
+
+ 
+FIGURE 1.1 Keyboard-Pitch Layout
+To label pitches, we use the letters from the alphabet-A, B, C, D, E, F, and G-to denote the white notes and accidentals (sharps or flats) to denote the black notes. Each note on the keyboard has a distinct sound; notes that have the same letter name sound similar in spite of their location on the keyboard. Theorists refer to this idea as octave equivalence. The distance from C4 to C5 includes eight pitches (counting C4 and C5) and is therefore known as an octave. Integers 1 through 8 following the letter names indicate eight different registers or specific pitch locations characterized by their sound. With higher integers we experience higher sounding pitches, and with lower integers we experience lower sounding pitches. Labeling black notes is more complicated because they can be described in two ways. For example, the black note between C and D can be labeled either as C♯ or D♭. Since C♯ and D♭ sound the same on the piano, theorists often refer to them as being enharmonically equivalent.
+Music is notated on a staff that consists of five lines (the first line is at the bottom of the staff) and four spaces (the first space is located between the first and the second line of the staff). The addition of extra lines called ledger lines (up to five) at the bottom or top extends the staff and allows for the notation of pitches that lie outside the boundaries of the five-line staff. A clef written at the beginning of the staff indicates the location of pitches, which are notated with a system of notes. Although there are many different clefs, only treble and bass clefs will be used in this book.1 The grand staff combines two staves joined by a brace, with the top stave using the treble clef and the bottom stave using the bass clef. Figure 1.2 illustrates the notation of pitches from A0 to C8 on the grand staff.
+The octaves, C1-C2, C2-C3, etc., create a specific pattern of whole steps and half steps. A half step (or semitone) is the shortest possible distance between two keys (or notes). For instance, the distance between E4 and F4 or B4-C5 is a half step. A whole step (or whole tone) combines two half steps and represents the distance between two keys with a single key between them. For instance, the distance between C4 and D4, D4-E4, F4-G4, G4-A4, or A4-B4, is a whole step because there is a single black note between these notes.
+
+
+ 
+FIGURE 1.2 Grand Staff-Notation of Pitches
+MAJOR SCALES
+
+The collection of notes from C4 to C5, shown in Figure 1.3, represents a specific pattern of whole steps and half steps known as a major scale.
+
+
+ 
+FIGURE 1.3 Major Scale
+The major scale has five whole steps, beginning between scale degree one (written as ) and , -, -, -, and -, and two half steps between -, and -(). This arrangement of pitches represents one type of diatonic scale. The other diatonic scales also contain five whole steps and two half steps but those intervals between different scale degrees occur at a different location within the scale. For instance, the spans F4-F5 or G4-G5 filled in with white keys only (G4-A4-B4-C5-D5-E5-F5), shown in Figure 1.4, contain five whole tones and two semitones, yet their placement is different than it is in the C major scale. In order to duplicate the locations of whole tones and semitones as they occur within the C major scale, accidentals-a sharp sign (♯) and a flat sign (♭)- have to be implemented. The sharp added to F5 (in the G4-G5 octave) raises the sound of F5 by a semitone and becomes F♯5. The flat added to B4 (in the F4-F5 octave) lowers the sound of B4 by a semitone and becomes B♭4. With these added accidentals, the arrangement of whole tones and semitones occurring in the C major scale can be duplicated. These collections are labeled using their opening pitches: G major and F major, respectively.
+There are 12 possible major scales, one for each white and black note (C major, C♯/D♭ major, D major, D♯/E♭ major, E major, F major, F♯/G♭ major, G major, G♯/A♭ major, A major, A♯/B♭ major, B major).
+
+
+ 
+FIGURE 1.4 G major and F major
+KEY SIGNATURES
+
+Another method of representing major scales is to use key signatures written to the right of the clef. Since there are 12 distinct major scales, there will be 12 corresponding key signatures. For instance, the G major scale that we saw in Figure 1.4 has one sharp, F♯. The key signature places that sharp at the beginning of the staff immediately after the clef. Just as the G major scale has one sharp (F♯), so D major has two (F♯, C♯), A major has three (F♯, C♯, G♯), E major has four (F♯, C♯, G♯, D♯), B major has five (F♯, C♯, G♯, D♯, A♯), F♯ major has six (F♯, C♯, G♯, D♯, A♯, E♯), and C♯ major has seven (F♯, C♯, G♯, D♯, A♯, E♯, B♯). Similarly, whereas the F major scale has one flat (B♭), B♭ major has two flats (B♭, E♭), E♭ major has three (B♭, E♭, A♭), A♭ major has four (B♭, E♭, A♭, D♭), D♭ major has five (B♭, E♭, A♭, D♭, G♭), and G♭ major has six (B♭, E♭, A♭, D♭, G♭, C♭). In the case of F♯ and G♭ and C♯ and D♭, the key signatures are often spelled enharmonically. This is shown in Figure 1.5 by the arrows.
+
+
+ 
+FIGURE 1.5 Key Signatures-Major Scales
+MINOR SCALES
+
+Figure 1.6 illustrates the distribution of whole tones and semitones within the A3-A4 octave that forms a minor scale.
+
+
+ 
+FIGURE 1.6 Minor Scale
+The two semitones are located between - and -, and the five whole tones between -, -, -, -, and -(). Similar to C major, the A minor scale uses only the white keys of the keyboard and has no key signature. In addition to the so-called natural version of minor, there are two additional "shades" of minor: harmonic and melodic. The three versions of minor are illustrated in Figure 1.7 with the melodic minor shown in the ascending and descending form.
+
+
+ 
+FIGURE 1.7 "Shades" of Minor
+The harmonic form of minor raises  of the natural minor. The melodic form of minor raises  and  of the ascending natural minor scale. The presence of ♯ in the harmonic and melodic versions creates a characteristic half-step motion from ♯ to (), which is analogous to the half step between -() in the major key. The use of a natural sign (♮) in the descending form of the melodic minor cancels out the previously attached accidentals to F4 and G4. It is important to stress that the harmonic and melodic versions of minor are not independent scalar collections; rather, they represent variants or "shades" of the minor scale. The use of key signatures always corresponds to the natural minor and does cover the necessary accidentals occurring in the harmonic and melodic forms. Figure 1.8 illustrates the pitch structure of C major and A minor along with the scale degree names.
+As there are 12 major keys, there are also 12 minor keys, shown in Figure 1.9.
+Whereas the E minor scale has one sharp (F♯), so B minor has two (F♯, C♯), F♯ minor has three (F♯, C♯, G♯), C♯ minor has four (F♯, C♯, G♯, D♯), G♯ minor has five (F♯, C♯, G♯, D♯, A♯), and D♯ minor has six (F♯, C♯, G♯, D♯, A♯, E♯). And, the D minor scale has one flat (B♭), G minor has two flats (B♭, E♭), C minor has three (B♭, E♭, A♭), F minor has four (B♭, E♭, A♭, D♭), B♭ minor has five (B♭, E♭, A♭, D♭, G♭), E♭ minor has six (B♭, E♭, A♭, D♭, G♭, C♭), and A♭ minor has seven (B♭, E♭, A♭, D♭, G♭, C♭, F♭). In the case of G♯ and A♭ and D♯ and E♭, the key signatures are often spelled enharmonically. This is shown in Figure 1.9 by the arrows. We refer to the pair of major and minor keys that share the same number of key signatures as relative keys. For example, G major and E minor both have one sharp (F♯), and A♭ major and F minor have four flats (B♭, E♭, A♭, D♭).
+
+
+ 
+FIGURE 1.8 Scale Degree Names
+
+
+ 
+FIGURE 1.9 Minor Scales
+RHYTHM
+
+Music is notated with various rhythmic symbols that are proportionally related to one another. Figure 1.10 summarizes the basics of rhythmic notation.
+The note values and the corresponding rests are divisible by two: a whole note contains two half notes, a half note contains two quarter notes, etc. A dot, written on a space between staff lines, extends the duration of the note, rest, or dot that precedes it by half of its value. A dotted half note extends the duration of the half note by one quarter note and contains three quarter notes. A tie connects two or more notes at the same pitch level and creates a new duration equal to their sum. Beams are horizontal lines that connect multiple 8ths, 16ths, 32nds, 64ths or any combination of them. In addition to the division of note values by twos, notes can also be divided by threes creating a triplet, fives creating a quintuplet, and sevens creating a septuplet.
+
+
+ 
+FIGURE 1.10 Basics of Rhythmic Notation
+METER AND TIME SIGNATURES
+
+Note values do not represent a fixed rhythmic duration until they are placed in measures separated with bar lines, and associated with a specific beat value. Beats are grouped in units of two, three, four (and others) and stay constant throughout a musical passage. A recurrent pattern of accented (strong) and unaccented (weak) beats is known as the meter. The hierarchy between accented and unaccented beats is essential to establish meter. A piece of music is said to be in duple meter, if the pattern of accented beats recurs every two beats (| strong beat-weak beat |); in triple meter, every three beats (| s-w-w |); and in quadruple meter, every four beats (with an additional stress on beat 3, as in: | s-w-s-w |). In order to specify the exact pattern of beats within the measure (i.e. meter), the time signature must be used. Time signatures can be classified into three types- simple, compound, and irregular-and are notated by two integers. In simple time signatures, the top integer indicates the number of beats in the measure and the bottom integer indicates the underlying beat value. In compound time signatures, the top integer indicates the number of beat subdivisions in the measure and the bottom integer indicates the subdivision value. In irregular time signatures, the top integer refers to the number of beats in the measure and the bottom integer to the beat value. Simple and irregular time signatures do not indicate the number/value of the subdivisions; compound time signatures do not show the number/value of beats. Figure 1.11 provides a summary of the aforementioned concepts and terms.
+Notating Rhythm
+On the score, rhythmic groupings should clearly delineate the underlying pattern of beats. In addition to representing the meter, the recurrence of these patterns also facilitates the reproduction of a song during performance. Figure 1.12 illustrates an incorrectly notated rhythm and its corrected version. The corrected version has clearly demarcated beats: this renders the rhythm easier to perform and the meter easier to perceive. More challenging rhythms may be accurately represented with the aid of different rhythmic groupings, ties, and dots.
+
+
+ 
+FIGURE 1.11 Meter, Time Signatures, Notating Rhythm
+
+
+ 
+FIGURE 1.12 Incorrectly and Correctly Notated Rhythms
+INTERVALS
+
+An interval is the distance between two musical pitches. A melodic interval occurs between two adjacent notes and a harmonic interval occurs between two simultaneously sounding notes. There are many different methods of labeling intervals, some of which will be detailed in Chapter 27. Generic names refer to the number of letter names between the two notes. For instance, the interval from C4 to G4 is a fifth because the span between C4 and G4 contains five letter names (C-D-E-F-G); the interval from D4 to C5 is a seventh, etc. Generic interval names, however, do not indicate the quality or the exact size of the interval. To express the quality of intervals, we count the number of half steps between the two notes. Figure 1.13 illustrates eight diatonic intervals built on  of the C major scale.
+These intervals are called diatonic because they are derived from the pitches of the C major scale. Intervals derived from the pitches of other major or minor scales are also diatonic in the context of the respective keys. The interval from  to  is called a major second and contains two half steps; the interval from  to  is a major sixth and contains nine half steps. Each of these intervals can be made smaller or larger by altering one or two of their pitches by a half step. If these alterations occur in the context of C major, the resulting intervals are chromatic because they contain pitches that are foreign to the key of C major. Figure 1.14 shows chromatic alterations of intervals from Figure 1.13 and their full names.
+
+
+ 
+FIGURE 1.13 Diatonic Intervals
+To describe the quality of intervals, the following qualifiers are used: perfect (P), major (M), minor (m), diminished (D), and augmented (A).2 In labeling intervals, first count the number of letter names between the two notes (including the first note) and, then, count the number of semitones between them. For instance, the interval from C♯4 to A4 is a minor 6th because there are six letter names between C♯4 and A4 (C-D-E-F-G-A) and eight half steps. But the interval from D♭4 to A4 is an augmented 5th because there are five letter names between D♭4 and A4 (D-E-F-G-A) and eight half steps. An interval that exceeds the span of an octave is known as a compound interval. For instance, 9ths, 11ths, and 13ths are examples of compound intervals.
+
+
+ 
+FIGURE 1.14 Diatonic and Chromatic Intervals
+INVERSION OF INTERVALS
+
+In order to invert a harmonic interval, the top note is placed below the bottom note or vice versa. For instance, the interval C-G (a perfect 5th) inverts to G-C (a perfect 4th). When counting the number of semitones in both intervals, 7 and 5, respectively, their sum equals 12. This indicates the number of semitones within an octave. The same is true of other inversionally related intervals. These are illustrated in Figure 1.15. The integers above the score indicate the number of semitones.
+
+
+ 
+FIGURE 1.15 Inversions of Intervals
+TRIADS
+
+A triad is the combination of three simultaneously sounding pitches. Tonal music shows a preference for tertian sonorities-called chords-which are built of consecutive major, minor, diminished or augmented thirds. The four triads-major, minor, diminished, and augmented-explore different combinations of major and minor thirds (see Figure 1.16). Note that the tertian nature of triads is also reflected in their note spelling.
+
+
+ 
+FIGURE 1.16 Basic Triads
+INVERSION OF TRIADS
+
+Figure 1.16 demonstrates complete triads in root position. In such cases, the root appears at the bottom, the third in the middle, and the fifth on top. To further explore the sound of triads, their notes can be rotated by transferring the bottom note up an octave. Since there are three different notes in the triad, the bottom note can be rotated twice before returning to the original position. These rotations are known as inversions. In the case of triads, there are two inversions: first and second. Figure 1.17 illustrates four types of triad: major, minor, diminished, and augmented in root position, first and second inversions.
+The augmented triad partitions the octave into three equal parts. Each note of the augmented triad can potentially function as the root of a new augmented chord. The augmented triad is a type of chromatic formation because it contains a non-diatonic pitch, ♯, which is foreign to any major or minor key. Because of its symmetrical properties, each note of the augmented triad can potentially function as the root of a new chord (C+, E+, or A♭+ in Figure 1.17).
+
+
+ 
+FIGURE 1.17 Basic Triads and Inversions
+SUSPENDED TRIAD
+
+In addition to the four triads shown in Figure 1.16, there are other possible combinations of three notes, such as the suspended (sus) triad shown in Figure 1.18. It is a sonority that breaks away from the tertian organization of notes and constitutes an important formation in jazz.
+
+
+ 
+FIGURE 1.18 Suspended Triad
+NOTES
+
+1. The treble clef or violin clef is also known as the G-clef and the spiral of the lower part indicates the position of G4. The bass clef, also known as the F-clef, indicates the position of F3. In addition to these two clefs, there are various types of the C-clef of which the soprano, alto, and tenor are mostly used. The C-clefs indicate the position of the middle C-C4.
+2. There are also double-diminished and double-augmented intervals; however these will not be discussed in this book.
+
+CHAPTER TWO
+Jazz Rhythm
+
+
+
+CHAPTER SUMMARY
+
+Chapter 2 identifies the main characteristics of jazz rhythm. Suggestions of how to practice rhythm are also provided.
+CONCEPTS AND TERMS
+
+•Dynamic accents
+•Metric accents
+•Metronomes
+•Phrasing:
+Articulations
+Dynamics
+•Placement of notes:
+Behind the beat
+In front of the beat
+Middle of the beat
+•Strong beats
+•Swing
+•Swing 8th notes
+•Syncopation
+•Weak beats
+GENERAL CHARACTERISTICS
+
+It is not by chance that this study of jazz theory begins with the discussion of rhythm. Most jazz musicians will probably agree that having a good sense of time is key to successful improvisation and to overall musicianship. Great jazz artists have always understood the importance of rhythm and time; this comes through as an individual sense of swing on numerous recordings. Count Basie, for instance, could play four simple quarter notes and make them swing so hard that the entire band would immediately follow his lead and play with the same energy and dedication.1 The most effective way to learn about jazz rhythm is to listen and imitate the rhythm of great jazz artists. Listening to music is an important part of our musical development. It allows us to focus on different aspects of the musical performance, such as form, instrumentation, orchestration, rhythm, time, melodic devices, harmonic vocabulary, style, innovations, interaction, creativity, historical backgrounds, or tradition.
+SYNCOPATION
+
+Figure 2.1 illustrates the distribution of metric accents within a 4/4 measure.
+
+
+ 
+FIGURE 2.1 Metric Accents in 4/4
+Beats 1 and 3 in 4/4 time are hierarchically more important that beats 2 and 4. The former are known as strong beats and receive strong metric accents. Beats 2 and 4 are called weak beats and are hierarchically subordinate to beats 1 and 3. One of the characteristics of jazz rhythm is a shift of accents from 1 and 3 to 2 and 4. These dynamic (or phenomenal) accents create a rich and compelling dialog with the metrical accent on beat 1. By placing the dynamic accents on beats 2 and 4, jazz gets its own rhythmic identity. In addition, these accents help to create a characteristic disagreement between rhythm and meter. In jazz, rhythm seems to work against the underlying meter and that seeming disagreement influences the perception of time. The most immediate consequence of such a disagreement is the effect of syncopation; syncopation enhances the excitement of the music by distributing rhythmic figures and accents on unexpected locations within the measure. It also creates a variety of rhythmic conflicts that interact with the flow of regularly occurring metrical or phenomenal accents. Figure 2.2 illustrates a melodic line with a highly syncopated rhythmic design.
+
+
+ 
+FIGURE 2.2 Syncopated Melody: "Moose the Mooche," mm. 17-24
+SWING
+
+The term "swing" has multiple meanings and associations. Sometimes it refers to a specific musical style from the 1930s called Swing. It may also refer to a performance practice tradition or a specific rhythmic attribute attached to the quality of 8th notes. The term swing 8th notes is used to indicate 8th notes that are performed unevenly with an overall rolling (swinging) time feel. Because the exact notation of swing 8th notes is neither possible nor very practical, regular 8th notes will be used with the indication "swing" written in the top left corner of the score to denote swing 8th notes.
+PRACTICING RHYTHM
+
+Not only is playing with a good sense of rhythm and time essential to performance, but it is also crucial to successful practicing. When practicing improvisation, a variety of idiomatic rhythmic figures should be used. These should be played with rhythmic integrity, convincing phrasing, and good articulation. Figure 2.3 provides a selection of one-, two-, four-, and eight-bar phrases with idiomatic jazz rhythms that can be implemented in daily practice.
+In notating 4/4 time, remember to keep beat 3 "visible"; avoid rhythmic groupings that obscure or de-emphasize beat 3. Figure 2.4 illustrates an incorrectly notated rhythm and its corrected version.
+Rhythmic integrity relates to the way swing 8th notes are performed and placed within the beat. Broadly speaking, continuous swing 8ths are played as if notated as triplet 8ths. The first two triplets are tied (to become a quarter note) and the third one receives a slight dynamic accent. Figure 2.5 demonstrates this approximate notation of swing 8th notes.
+Placement of Swing 8ths
+Another important consideration regarding the quality of swing 8th notes relates to their placement within the beat. Swing 8ths can be placed in three different locations: behind the beat, in the middle of the beat, and in front of the beat. There is a huge rhetorical and perceptual difference between these locations. Their exact placement depends, in large part, on the overall tempo of the performance and the rhythmic tendencies of different jazz artists. Slow and medium-slow tempi tend to use more "behind the beat" note placements, medium-up and faster tempi lend themselves to a "middle of the beat" or "in front of the beat" treatment. Certain jazz artists show such a strong propensity toward the particular note placement, that their names have been identified with the specific performance practice technique. For instance, the great tenor saxophone player, Ben Webster, made wonderful use of "behind the beat" playing. His many recordings convey a relaxed, laid-back, and highly original time feel.2 The guitar player active in the late 1930s, Charlie Christian, on the other hand, preferred to play in the "middle of the beat," and his constant swing 8th notes were perfectly located in the center of the beat.3 A jazz icon from the Post-Bop Era, the alto saxophonist Cannonball Adderley, preferred his swing 8th notes slightly "in front of the beat" to energize the music with rhythmic excitement and vitality.4
+Phrasing
+The use of dynamics, legato, and especially articulation can substantially improve the overall presentation of melodic lines. Generally, the use of dynamics should roughly follow the contour of the melodic lines. Rising lines are typically played with a slight crescendo and descending lines with a slight diminuendo. Additionally, melodic lines should be played almost legato with barely perceptible note detachment. Carefully distributed articulations (dynamic accents, staccato, tenuto, marcato, etc.) are also an essential component of phrasing. When listening to the phrasing of the great players Wynton Kelly, Kenny Dorham, Hank Mobley, Clifford Brown, Tommy Flanagan, Lee Morgan, Sonny Rollins, Sonny Stitt, Dexter Gordon, Woody Shaw, Grant Green, Joe Henderson, Freddie Hubbard, Jackie McLean, Blue Mitchell, Barry Harris, and others, notice that their excellent use of articulation not only creates a strong sense of swing, but it also defines their individual styles of improvisation.5 The highest note within a phrase typically receives a stronger accent regardless of its position within the measure. Also, upbeats tend to be more accentuated within a phrase than downbeats. There are, however, many exceptions to these rules that will be addressed as the book unfolds.
+
+
+ 
+FIGURE 2.3 One-, Two-, Four-, and Eight-Bar Rhythmic Ideas
+
+
+ 
+
+
+ 
+FIGURE 2.4 "Visible" Beat 3
+ 
+FIGURE 2.5 Swing 8th Notes
+Playing with a Metronome
+As we assemble the aforementioned suggestions and put them to practical ends, the use a metronome on "2 and 4" can vastly improve the quality of our swing 8th notes and solidify their placement within the measure. Playing with a rhythm section is a privilege that most jazz musicians cherish. More often than not, however, we practice alone and the metronome might be the only available recourse to check if our time and rhythm are correct. Set the metronome to 66 and make each click count as a half note on beats 2 and 4.
+NOTES
+
+1. See, for instance, "Jumpin' At the Woodside" on First Time! The Count Meets the Duke.
+2. See, for instance, "My Ideal" on Art Tatum Ben Webster: The Album.
+3. See, for instance, "I Found a New Baby" on The Genius Of the Electric Guitar.
+4. See, for instance, "So What" on Kind Of Blue.
+5. Notable albums: Wynton Kelly (Someday My Prince Will Come and Kelly At Midnight); Kenny Dorham (Quiet Kenny and Una Mas); Sonny Clark (Leapin' and Lopin' and Sonny Clark Trio); Hank Mobley (Soul Station and Workout); Clifford Brown (Clifford Brown and Max Roach and At Basin Street); Tommy Flanagan (Eclypso and Tommy Flanagan Plays the Music Of Harold Arlen); Lee Morgan (The Sidewinder and Cornbread); Sonny Rollins (Tour De Force and Saxophone Colossus); Sonny Stitt (Sonny Stitt, Bud Powell, and J.J. Johnson and Constellation); Dexter Gordon (Go and The Jumpin' Blues); Woody Shaw (Stepping Stones and Imagination); Grant Green (Talkin' About and I Want To Hold Your Hand); Joe Henderson (Page One and Inner Urge); Freddie Hubbard (Hub Cap and The Artistry Of Freddie Hubbard); Jackie McLean (McLean's Scene and Jacknife); Blue Mitchell (The Things To Do and Out Of the Blue); Barry Harris (Barry Harris At the Jazz Workshop and Magnificent!).
+
+CHAPTER THREE
+Harmonic Function
+
+
+
+CHAPTER SUMMARY
+
+Chapter 3 defines harmonic function. Its influence on the behavior of chords as well as harmonic progressions using only triads is closely examined.
+CONCEPTS AND TERMS
+
+•Cadence/Cadential closure
+•Cadential confirmation
+•Fifth motions
+•Function symbols
+•Functional families
+•Functional tonality:
+Dominant
+Predominant
+Tonic
+•Lead-sheet notation
+•Leading tones
+•Melodic motion:
+Contrary
+Oblique
+Parallel
+Similar
+•Outer-voice counterpoint
+•Pivot chords:
+Chromatic
+Diatonic
+•Raised submediant
+•Roman numerals
+•Slash notation
+•Structural level
+•Subtonic
+•Surface level
+•Tonic prolongation
+•Transitional space
+•Voice leading
+FUNCTIONAL TONALITY
+
+Chords and lines represent two interconnected musical forces that are capable of producing an amazing variety of linear and harmonic patterns. In tonal jazz, the behavior of these patterns is predictable, hierarchical, and systemic. In a certain sense, harmonic function can be defined as a contextual feature that can be attributed to a chord, a family of chords, harmonic progressions, or even to complete melodic phrases. These features are unique for each of the following functions: the tonic, the predominant, and the dominant. The interaction between these three creates a system of functional tonality, which undergirds the structure of tonal jazz and common-practice music.
+Functional tonality is a hierarchical system wherein the predominant and the dominant are ultimately related to and controlled by the tonic. The tonic is thus at the center of this hierarchical system. The uniqueness of each harmonic function is defined by universal and well-tested characteristics of functional tonality. The tonic is synonymous with stability, rest, and the cessation of harmonic motion. The predominant generates harmonic motion by taking the music away from the tonic and leading it toward the dominant. The dominant is an antithesis of the tonic in every conceivable way: it is highly unstable, represents chords on the move, accumulates harmonic tension, and does not rest until it reaches a local or structural tonic. These very different behavioral patterns remain constant across the entirety of the tonal system in which jazz forms a distinctive musical language with its own harmonic grammar and melodic syntax. As will be demonstrated time and time again, functional tonality in jazz has different properties than that of common-practice classical music. These properties are represented by a unique set of rules dictating the unfolding of harmonic function, voice-leading conventions, and the overall behavior of chord tones and chordal extensions.
+TRIADS IN MAJOR KEYS
+
+Figure 3.1 illustrates the structure of the tonic, subdominant, and dominant triads in the key of C major.
+In all major keys, the tonic, the subdominant, and the dominant are major.
+In addition to the tonic, subdominant, and dominant triads, the tonality system includes triads built on other scale degrees as well. A triad built on  is called the supertonic; on , the mediant; on , the submediant; and, on , the leading tone. Figure 3.2 illustrates triads built on each scale degree in C major.
+
+
+ 
+FIGURE 3.1 Tonic-Subdominant-Dominant
+The use of a diminished triad on  expands the quality of chords occurring in a major key to three distinct types: major, minor, and diminished.
+
+
+ 
+FIGURE 3.2 Triads in Major Key
+TRIADS IN MINOR KEYS
+
+Figures 3.3-3.5 show the distribution of triads in the three "shades" of minor: natural, harmonic, and melodic.
+
+
+ 
+FIGURE 3.3 Triads in Natural Minor
+
+
+ 
+FIGURE 3.4 Triads in Harmonic Minor
+
+
+ 
+FIGURE 3.5 Triads in Melodic Minor
+The triads in natural minor use the same names for the scale degrees as they do in the major key, with the exception of the triad on , which is called the subtonic.
+There are two diminished triads built on  and ♯ and one augmented triad on . The scale degree ♯ is called the leading tone.
+The scale degree ♯ is called the raised submediant. In indicating the scale degrees  and  in the melodic minor, the ♯ and ♯ labels are used, respectively.
+The tonic, predominant, and dominant functions contain a collection of similarly functioning chords, including (but not limited to) chords built on scale degrees with which these functions are typically associated. For instance, the chords built on  and  are known as subdominant and supertonic, respectively, and they share the predominant function; the chords built on  and  share the dominant function, etc.
+NOTATIONAL CONVENTIONS
+
+Figure 3.6 illustrates the structure of four triads and their inversions labeled with three sets of notational symbols: traditional lead-sheet notation above the staff, and Roman numerals and function symbols below the staff. Since we will use them interchangeably throughout the book, let us make some general observations about their usefulness in theory and practice. Each of these notational conventions has unique advantages, but also some obvious shortcomings.
+
+
+ 
+FIGURE 3.6 Notational Conventions
+Lead-Sheet Notation
+Lead-sheet notation, also known as popular-music notation, is by far the most widespread notational convention used by jazz musicians. It comes in a variety of forms that arise from its murky origins and subsequent vague implementations. There are many alternate notational systems in use, which for better or worse every jazz musician needs to get familiar with for purely practical, "bandstand" reasons. Here, we will only use chord symbols that are commonly found in published and respected fake books. Lead-sheet notation is very specific in showing what the chord is: it indicates the letter name, the exact number and types of extensions occurring within a chord, chordal inversions, or complex polychordal formations. A chord symbol, then, provides a quick insight into the chord's pitch content. As such, it can be easily transmitted into a voicing that captures the essence of that symbol. The downside of this labeling is the lack of contextual considerations, especially in regard to the underlying tonality. As a tonally "uninterpreted" notation, we are not quite sure, for instance, how chords relate to one another, how their behavior conveys the underlying tonality, and what the overall tonal logic of different chord successions may be.
+In this book, upper-case letter names will be used to indicate major-type chords. For minor-type chords a "min" extension following an upper-case letter name will be used. The lead-sheet symbols from Figure 3.6 also employ slash notation; this specifies a chord type with the lowest sounding pitch separated by a diagonal slash. An upper-case letter name to the right of the diagonal indicates the chordal root. The letter name to the left of the diagonal shows a specific chord type.
+Roman Numerals
+Roman numerals are context-sensitive and indicate the exact position of chords with respect to the underlying tonic. This style of notation is very powerful in explaining the tonal behavior of chords and is mostly used in analysis. Some jazz musicians, however, have found a useful niche for this type of notation. By translating the lead-sheet notation of a standard tune into Roman numerals, jazz musicians can easily transpose and learn that tune in all 12 keys. But Roman numerals, too, have their disadvantages. Problems with this style of notation arise when a tune modulates away from the underlying tonic or frequently tonicizes new key areas. With the addition of Arabic numbers borrowed from the figured-bass tradition, Roman numerals are capable of expressing complex five-, six-, or seven-part chords. When using Roman numerals, however, complex five-, six-, or seven-part formations will be translated to their essential four-part framework. For instance, F7(♭13) in the key of C major will be simply notated as IV7.
+The addition of available extensions to chords is a matter of personal preference and reflects the underlying context in which specific chords occur. The practice of adding extensions or reinterpreting chords is similar to that of interpreting unfigured basses from the Baroque period. There are, however, many musical situations where more detail is desired, such as when a composer or arranger wants a specific sound or voicing. In those types of situation, a chord symbol might include more detailed information about chordal extensions, note omissions, or even a specific arrangement of notes. These chord symbols typically stand out among other, more conventionally written chords. Given the very different notation systems being used, we can start thinking more rigorously about our own notational choices.
+In Figure 3.6, the tonic chord in root position is notated with a "" symbol. In practice, however, a "I" will be used without the Arabic numbers because they are assumed. Also, in notating a chord in first inversion, the Roman numeral representation has already been simplified: instead of a complete "" symbol, the "I6" symbol was used. Roman numerals might also include "♮," "♯" and "♭." Written in front of the Roman numeral, these accidentals indicate chromatic scale degrees in relation to the underlying key. To notate major chords, upper-case Roman numerals will be implemented, and to notate minor chords, lower-case Roman numerals will be used. A diminished triad will take a lowercase Roman numeral with a small raised circle, vii°; an augmented triad will use an uppercase Roman numeral with a small plus sign, III+.
+Function Symbols
+The function symbol notation is the least used notational system in jazz. As the name suggests, this notation specifies the harmonic function of individual chords and even complete chord progressions. It has the potential of being useful to notate specific behaviors of chords that may not-at least, not on the surface level-indicate that they belong to a particular functional family of chords. As such, function symbols enable the perception of harmonic progressions from a more structural perspective. Function symbols indicate neither the architecture nor the specific scale degrees of chords. This style of notation is more conceptual than it is representative of a specific surface event. The terms surface level and structural level are used to describe musical events and the degree of their importance. "Structural" events occur beneath the musical "surface" and are responsible for the overall tonal, harmonic, and melodic forces controlling the piece. Function symbols use three labels: T for tonic-type chords, PD for predominant-type chords, and D for dominant-type chords.
+FUNCTIONAL FAMILIES
+
+When comparing triads built on different scale degrees in Figures 3.3-3.5, notice that some of them share the same harmonic function. Some triads can even have two different functional symbols.
+Major Key
+A functional family combines chords built on different scale degrees that share the same harmonic function and voice-leading behaviors. Chords within each family are organized hierarchically according to their degree of similarity and dependency on the tonic, subdominant, and dominant triads. Figure 3.7 illustrates three families of similarly functioning chords in major.
+
+
+ 
+FIGURE 3.7 Functional Families in Major
+Broadly speaking, functional families illustrate possible successions of chords within a tonal family and between chords of different families. The succession of T-PD-D-T, illustrated by arrows in Figure 3.7, is the most fundamental and demonstrates how chords can be combined to project a sense of tonality. This succession of harmonic functions highlights the cycle of fifths, a pattern that constitutes an essential trademark of common-practice tonality. Descending fifth motions are what we tend to hear as forward moving-in the sense of time or momentum-because of their drive toward tonic resolution. Any succession of chords is also dependent on its relationship to the metric and rhythmic properties of the phrase, as well as on the chord's ultimate move toward a cadence. The terms "cadence" or "cadential closure" signify an important tonal event that confirms the underlying tonic (or new key) by means of a V-I progression. Figure 3.8 demonstrates the distribution of harmonic functions within a I-vi-ii-V-I progression. Scale degrees written above the staff indicate the melodic content of the soprano voice.
+The chords I and vi are derived from the tonic family and, in certain situations, can be used as substitutes for one another. In the context of the progression from Figure 3.8, it makes sense to hear the submediant chord as a transitional space between I and ii or as tonic prolongation. Having prolonged or expanded the tonic, the vi chord moves by a fifth down to the predominant ii, which then proceeds by another fifth to the dominant on V. The progression ends with a V-I cadential confirmation of the tonic featuring another descending fifth motion. In this early exposition of harmonic progressions, we cannot ignore other important factors that contribute to the concept of tonality, such as metric placements and duration of chords. The vi chord occurs on beat 3 of m. 2 and lasts for 2 beats. The predominant ii occupies m. 3 and the ii-V cadential preparation of the tonic occurs in m. 4. The V-I cadential confirmation occurs over the bar lines in mm. 4-5; this progression produces forward motion and illustrates the hierarchical relationship between V and I. The tonic provides the resolution of harmonic tension and its metric placement on beat 1 in m. 5 highlights its structural and tonal significance.
+
+
+ 
+FIGURE 3.8 Tonal Progression in Major
+Minor Key
+Figure 3.9 illustrates three functional families in the minor key and demonstrates the common-tone retention between chords within each family. The predominant and dominant families combine chords from the three "shades" of minor.
+Functional families in the minor key show considerable triadic variety and are much more intricate than their major counterparts. Each family includes different types of triad, with the potential for complex functional relationships.
+Figure 3.10 illustrates the succession of harmonic function in a slightly more advanced progression in 3/4.
+The mediant chord, III+, occurring on beat 3, is a transitional space between i and VI. Even though the III+ can also function as a dominant, it functions as a tonic expansion in the context of this progression. Motion to the dominant in the second chord would have created a retrogression of harmonic function: dominant to predominant. The third chord of the progression, the submediant also has two functional assignments: tonic and predominant. Based on the surrounding context though, especially the forthcoming iv, the VI can be interpreted as belonging to the predominant family of chords. The predominant ii° in m. 3 forms a cadential gesture with the dominant that then resolves deceptively to the VI. Given the two functional assignments of VI, it functions as a tonic in the context of this progression.
+
+
+ 
+FIGURE 3.9 Functional Families in Minor
+
+
+ 
+FIGURE 3.10 Tonal Progression in Minor
+The analytical readings of Figures 3.8 and 3.10 use the word "context" to describe the functional behavior of chords. The surrounding harmonic context in which chords occur determines the analytical interpretation of these chords. As stated earlier, chords from each functional family create certain expectations and display behavioral patterns that largely depend on their metric position and duration within harmonic progressions. In addition, each functional family is defined by a specific musical affect: the tonic with stability, the predominant with forward motion, and the dominant with tension seeking resolution.
+VOICE-LEADING PRINCIPLES
+
+Broadly speaking, voice leading controls the interaction between chords and lines within harmonic progressions. The principles of voice leading encompass several general topics, such as the role of outer-voice counterpoint, the types of melodic motion, the retention of common tones, the treatment of dissonances, and others that will be discussed throughout the book.
+At the surface level, jazz voice-leading conventions seem more relaxed than they are in common-practice music. After all, jazz musicians use forbidden parallel perfect fifths and octaves, move all the voices in the same direction, and tolerate voice crossings of different sorts. The rules of jazz voice leading are different because the syntax of jazz is largely incompatible with common-practice classical or other types of music. These differences do not mean, however, that the rules of jazz voice leading are any less strict. When jazz musicians think about dissonance treatment or highlight a linear approach to harmony as opposed to a vertical one, they rely just as much on well-defined rules of voice leading as do composers of common-practice music. The conventions of jazz voice leading depend greatly on the soprano and bass, so-called outer-voice counterpoint. In general, proper intervallic relationship between the outer voices guarantees a successful realization of harmonic progressions and influences the behavior of inner melodic lines. What characteristics, then, should underlie the design of outer-voice counterpoint? First, the outer-voice counterpoint should form a harmonically independent, two-voice framework. This means that the outer voices should delineate the underlying harmony without any help from inner voices. Second, the outer voices should be melodically interesting. This characteristic relates mostly to the design of the highest (or soprano) line, but in more complex progressions, it might also affect the design of the bass line. Third, outer-voice counterpoint should prioritize the use of contrary motion, though other types of melodic motion, such as oblique, similar, and parallel, are also possible.
+Figure 3.11 illustrates four types of melodic motion.
+
+
+ 
+FIGURE 3.11 Types of Melodic Motion
+Parallel motion involves two voices moving in the same direction using the same generic interval. As far as its aesthetic value in jazz, too much parallelism might be monotonous, although in certain harmonic situations and musical styles-modal jazz in particular-this type of melodic motion is highly desirable. Similar motion occurs when two voices move in the same direction with different intervals between the notes. Oblique motion occurs when one voice ascends or descends while the other is standing still, but they are still moving homophonically. One of the most common variants of oblique motion involves pedal points; here, the harmonic motion often seems to be suspended and may be reduced to a single underlying harmony, often the dominant. Although less common, oblique motion might also feature a soprano (or inner) pedal point where a stationary soprano (or inner) voice supports a melodically active bass. The most effective type of melodic motion is contrary motion, in which two voices move in opposite directions and employ different intervals.
+BASIC KEYBOARD APPLICATIONS
+
+We will now cover some basic voice-leading principles that should prepare us for the exercises in the online Workbook. Figure 3.12 illustrates an eight-bar harmonic progression with triads and triadic inversions only. Based on the progression, we will highlight some common voice-leading principles. In order to do so, let us make some analytical observations about the progression itself. In mm. 3-4, the progression modulates to the key of A minor. Boxes around Roman numerals indicate a pivot area, containing diatonic chords simultaneously functioning in the key of C major and A minor. These pivot chords provide an effective link between these two key areas. A pivot chord is a chord that is common to two different keys; its dual functionality allows for a smooth transition from one key to the other. More specifically, a diatonic pivot chord contains diatonic pitches and connects closely related keys. A chromatic pivot chord admits pitch alterations and connects closely, as well as distantly, related key areas.
+
+
+ 
+FIGURE 3.12 Keyboard Realization and Analysis
+Keyboard style texture, like that represented in Figure 3.12, uses three notes in the right hand (R.H.) and a single note in the left hand (L.H.). With triad formations like this, we need to consider which note in a chord to double. As a general principle, in root-position and first-inversion triads we double the root (with the exception of root position vi in the V-vi progression; see mm. 2-3 in Figure 3.12). In second-inversion triads, we can double a 5th or the root. We should avoid doubling a 3rd because it is the most active tone in the triad. Finally, in connecting adjacent chords, we should strive to move via the shortest possible route and/or retain as many notes in common as possible.
+When playing the outer-voice framework by itself, notice how effectively it expresses the underlying progression. In particular, the use of compound 3rds (or their inversions, compound 6ths) in the outer voices clarifies the harmonic meaning of the progression. This sound actually happens quite often and its influence on the progression is so powerful that other intervallic pairs get their harmonic definition from the relationship between the compound 3rds or 6ths. When examining the types of melodic motion between chords, notice that the outer-voice counterpoint primarily uses contrary and oblique motion. The use of contrary motion between outer voices is particularly important in progressions moving by step. The inner voices move mostly by step and employ common tones within the same voice.
+In realizing progressions on the keyboard, develop a habit of starting with the outer-voice counterpoint and make sure that it features mostly contrary motion. Parallel motion between perfect intervals should be avoided, but similar motion between perfect intervals is acceptable. Strive for as many compound 3rds and 6ths as possible because these intervals clearly delineate the underlying harmony. In a triadic environment, the leading tone should be resolved up by a half step. Also, the treatment of a chordal 3rd should usually involve stepwise, upward resolution and common-tone retention, but rarely involves large leaps. Even though the progression from Figure 3.12 looks and sounds nothing like jazz, by practicing this and similar types of progression in the Workbook, the principles of voice leading are more readily internalized. This lays the foundation for more idiomatic jazz progressions in later chapters.
+
+CHAPTER FOUR
+
+Four-Part Chords
+
+
+
+CHAPTER SUMMARY
+
+Chapter 4 establishes the foundation of jazz harmonic syntax. Fourteen four-part chords are introduced and their functional status is examined.
+CONCEPTS AND TERMS
+
+•Chordal seventh/sixth
+•Close voicings
+•Dominant chords:
+Regular
+Suspended
+•"Drop 2" voicings
+•Essential chord tones
+•Intermediary chords:
+Diminished 7th
+Half-diminished 7th
+Minor 7(♭5)
+•Inversions of four-part chords
+•Major chords
+•Minor chords
+•Open voicings
+•Tritones
+CHARACTERISTICS OF JAZZ HARMONY
+
+Jazz harmonic syntax encompasses a plethora of different types of chord, from simple three-note triads to as many as eight-note structures. Within such a rich palette of possibilities, it is the four-part chord that constitutes the fundamental formation of jazz harmony. Just as triads were essential building blocks of common-practice music (ca. 1650-1900) so are four-part chords considered essential harmonies in jazz. Jazz harmonic syntax has evolved from common-practice music in the twentieth century in a similar manner that the latter had sprung from earlier modal theories of the 1600s and before. As such, jazz harmonic syntax is a part of a rich, constantly evolving musical language of tremendous variety. Even though we can pinpoint a lot of commonalities between jazz and common-practice music, syntactical differences between the two trump those similarities.
+One essential difference between common-practice and jazz music relates to the status, role, and treatment of chordal dissonances. Unlike common-practice music, jazz allows chordal dissonances and therefore treats them in bold, new ways. The presence of four-part chords in jazz is as ubiquitous as that of triads in common-practice music. The chordal seventh or the sixth enhances the structure of chords, adds a kinetic force that energizes harmonic progressions, and permeates various levels of the musical structure. A four-part chord originates by adding one additional pitch to a triad. We refer to that note as an essential chord tone. To construct a four-part chord, add the following chord tones: a major 6th (6), a major 7th (Maj7), and a minor 7th (min7). Essential chord tones can be applied to major, minor, diminished, augmented, or suspended triads.
+Figure 4.1 shows the addition of essential chord tones to the C major triad.
+
+
+ 
+FIGURE 4.1 Addition of Essential Chord Tones
+The addition of these three essential chord tones produces three different chords, each with a distinct intervallic structure, function, and sound. A sixth chord, C6, sounds very stable and is at rest. In labeling that chord, the "Maj" suffix in front of a "6" is omitted because C6 constitutes a commonly used label for the major triad with an added sixth. A major seventh chord, CMaj7, is a consonant entity with no particular voice-leading or resolution requirements.1 When C6 and CMaj7 are played in quick succession, we hear some common characteristics they share: both are major, use the same root, and are entirely diatonic (i.e. they only include notes from the C major scale).
+Although a dominant seventh chord, C7, uses the same triadic foundation as C6 and CMaj7, it has a totally different harmonic function. The chord sounds as if it wants to move to a more stable sonority. The source of that inner tension and desire for harmonic resolution is the interval of a tritone between the major 3rd and the minor 7th of the dominant 7th chord.
+CHORD CATEGORIES
+
+To navigate through different chord types, the 14 four-part chords are divided into four functional categories. Even though these categories will suggest specific harmonic functions, we will discover that certain chords from different categories share the same harmonic function and that a single chord might have two different functional assignments. These functional overlaps that now might seem ambiguous will become clearer as we continue to advance in the study of jazz theory.
+Major Category
+Possible Harmonic Function-Tonic and Predominant
+The major category includes the four chords shown in Figure 4.2.
+
+
+ 
+FIGURE 4.2 Major Four-Part Chord
+All the chords from Figure 4.2 have at least two common tones: the root and a major 3rd. With the exception of a sixth chord, C6, all the remaining chords also include a major 7th. The 5th is an expendable note that can be chromatically altered by either lower or upper half steps. In Figure 4.2, the 5th is replaced by the ♭5th in the major seventh flat five chord, CMaj7(♭5); and, the ♯5th in the major seventh sharp five chord, CMaj7(♯5).2 Both of these chords and their spellings preserve their tertian origins. A sixth chord and a major seventh chord are diatonic because they are derived from the pitches of the diatonic scale. The major seventh flat five and major seventh sharp five chords are chromatic because they contain pitch alterations that are not part of the diatonic scale. A generic Roman numeral for this category is Imaj7 (Xmaj7) or Imaj6 (Xmaj6).
+These chords, which are arranged from more stable or diatonic to more unstable or chromatic, also share the same harmonic function and are tonally stable. Different as they may sound on the surface, these chords can be used interchangeably in the context of various harmonic progressions. Let us examine the pitch structure of these chords more closely.
+Minor Category
+Possible Harmonic Function-Tonic and Predominant
+Figure 4.3 shows the pitch structure of three chords from the minor category.
+
+
+ 
+FIGURE 4.3 Minor Four-Part Chords
+The minor sixth chord, Cmin6, has a stable sound and represents a chord at rest. The minor major seventh chord, Cmin(♯7), is more unstable. Can you identify the pitch that is responsible for that characteristic sound? The minor seventh chord, Cmin7, is easily recognizable and one of the most commonly used chords in jazz. Its harmonic function is not, however, always apparent and largely depends on the context in which it occurs. For now, it suffices to say that in the context of ii7-V7-Imaj7 progression, a minor seventh chord built on  will always function as the predominant. In other harmonic contexts, a minor seventh chord will most likely function as a tonic chord. A generic Roman numeral for this category is i7 or i6 (x7)/(x6).
+Dominant 7th Category
+Possible Harmonic Function-Dominant
+The addition of a minor 7th to a major or suspended triad results in the formation of two distinct dominant 7th chords: regular with the major 3rd and suspended (sus) with the perfect 4th.3 Both chords are unstable and have a strong tendency to generate harmonic motion. The presence of a tritone between a major 3rd and a minor 7th of the dominant 7th chord is responsible for this harmonic and tonal instability. In the suspended dominant, a perfect 4th is the unsettling melodic agent that generates melodic motion and wants to resolve down to a major 3rd.4 Figure 4.4 shows four chords from the dominant 7th category.
+The dominant seventh chord, C7, clearly projects the dominant function. The sus seventh chord, C7sus, is most easily identifiable with modal jazz.5 The dominant seventh flat five chord, C7(♭5) has a distinct intervallic structure featuring two interlocking tritones between the root and a ♭5th, and a major 3rd and a minor 7th: C4-G♭4 and E4-B♭4 in C7(♭5). The dominant seventh sharp five chord, C7(♯5), has an augmented triad at the bottom of its structure and projects a characteristic whole-tone sound. The dominant seventh flat five and the dominant seventh sharp five contain chromatic alterations of the diatonic 5th; this makes their structure even more unstable. A generic Roman numeral for this category is V7 (X7).
+
+
+ 
+FIGURE 4.4 Dominant Four-Part Chords
+Intermediary Category
+Harmonic Function-Predominant, Dominant, Tonic
+Figure 4.5 illustrates the intermediary category of four-part chords. The term "interme-diary" might seem odd; after all, this category features chords that could have easily been characterized as predominants (in the case of the min7(♭5) or half-diminished 7th) or dominants (in the case of the diminished 7th chord). The designation "intermediary" indicates that these chords have different roles in harmonic progressions.6
+
+
+ 
+FIGURE 4.5 Intermediary Four-Part Chords
+All of these chords have a diminished triad at the bottom of their structure. Chords from this category are associated with the predominant and dominant function. In more advanced harmonic situations, however, they may display different functions as well.
+The minor seventh flat five chord, Cmin7(♭5), or the half-diminished seventh chord, Cø7, has a characteristic, unresolved sound. Two different labels can be used for a chord that sounds and looks the same. For now, the former functions as the predominant in the context of  progression, and the latter participates in dominant-type situations.7 The diminished seventh chord, C°7, constitutes a perfectly symmetrical sonority with four minor 3rds dividing the octave into four equal parts. This important four-part formation originates from the addition of a diminished 7th to the diminished triad. This chord generally behaves as a dominant-functioning chord. The diminished major seventh, C°(♯7), acquires different harmonic functions (mostly dominant and tonic) and is probably the most dissonant formation from the collection of four-part chords.
+Because of its important status, the minor 7(♭5) chord will be always notated as  regardless of its position within the key. Its notational alias, the half-diminished 7th, is followed by an "ø" and will be labeled as "xø7," regardless of its position within the key.
+The 14 four-part chords compiled in Figure 4.6 have been shown in root position with the chordal root at the bottom of their pitch structure.
+
+
+ 
+FIGURE 4.6 Fourteen Four-Part Chords
+
+INVERSIONS OF FOUR-PART CHORDS
+
+Broadly speaking, inversions illustrate different intervallic configurations of the same chord. Four-part chords can be shown in four positions: root position (the root in the lowest voice), 1st inversion (the 3rd in the lowest voice), 2nd inversion (the 5th in the lowest voice), and 3rd inversion (the essential chord tone in the lowest voice).
+Figure 4.7 illustrates a root-position C6 chord with the three inversions.
+
+
+ 
+FIGURE 4.7 Inversional Equivalence of C6 and Amin7
+When examining each inversion, notice that the 3rd inversion of a C6 chord looks the same (i.e. is inversionally equivalent) as the root-position Amin7 chord. This observation is important because it allows us to use one chord in place of the other. But this mutual relationship also means that if a sixth chord in 3rd inversion is the same as a minor seventh chord in root position, then all inversions of the sixth chord can represent some form of the minor 7th chord. Figure 4.8 illustrates the 14 four-part chords in root position and three inversions.
+ 
+FIGURE 4.8 Inversions of Four-Part Chords
+FUNCTIONAL FAMILIES
+
+Major Key
+Figure 4.9 shows four-part chords built on each scale degree of C major. In addition to lead-sheet symbols and Roman numerals, each chord is identified with a function symbol that indicates its likely function in the harmonic progression.
+The tonic on  features two different chords: a 6th chord and a Maj7 chord. The supertonic () allows two minor chords: a min7 and a min6. The mediant () includes a min7 chord. The subdominant () allows two major chords: a 6th and a Maj7. The dominant on () features a dominant 7th. The submediant (), takes a min7. And the leading tone () features a half-diminished 7th chord. The chords built on ,  and  share the tonic function, just as those built on , ,  and , , ; share predominant and the dominant functions respectively. Chords that share the same function will most likely share the same behavioral patterns in the context of harmonic progressions. In certain musical situations, therefore, chords of the same function can often be used interchangeably as substitutes of one another and, in more advanced situations, as chordal prolongations or expansions.
+
+
+ 
+FIGURE 4.9 Four-Part Chords in Major Key
+The situation gets a little more complex for chords on  and . Chords built on these scale degrees have a dual harmonic function. Depending on harmonic context, chords on  can either function as tonic or predominant. Furthermore, although chords built on  and  are major and chords on ,  and  are minor, and share the same quality, they may nonetheless take a different harmonic function. What does this all mean? It means that the function of chords in jazz, as in classical music, is complex and is governed by strictly controlled laws, rules, procedures, and tonal conditions. These various principles influence voice-leading conventions, control the behavior of chords, and establish a unique musical grammar that is idiomatic for jazz. These rules also control the structure of musical compositions and allow us to make sense out of complicated harmonic progressions.
+Figure 4.10 compiles three functionally related chords in major, each with the participating four-part chords.
+
+
+ 
+FIGURE 4.10 Functional Families in Major Key
+Minor Key
+Figure 4.11 illustrates four-part chords built on each scale degree of A minor.
+Once we start building chords on each scale degree of the harmonic minor as in Figure 4.12, or the melodic minor as in Figure 4.13, we are going to encounter even more chord types, intricate functional relationships, and some interesting discrepancies in labeling.
+Before compiling three functional families of chords in minor, let us make some general observations about the structure and quality of individual chords occurring in minor keys. The tonic note () of the natural minor scale features a min7 chord and the tonic noteof harmonic minor takes a min(♯7) chord. Scale degree one () of the melodic minor scale uses both a min(♯7) and a min6 chord. The supertonic () of natural and harmonic minor uses a min7(♭5) chord, but in melodic minor it takes the form of a min7 chord. The mediant () highlights a Maj7 chord in natural minor, and a Maj7(♯5) in harmonic and melodic minor. The subdominant () features a min7 in natural and harmonic minor, and a dominant 7th in melodic minor labeled as IV7. The dominant note () uses a min7 in natural minor, and a dominant 7th in harmonic and melodic minor. The submediant on  uses a major 6th and a Maj7 chord in natural and harmonic minor, but the raised submediant built on ♯, takes a min7(♭5) chord. The subtonic on  of natural minor highlights a dominant 7th. The leading tone on ♯ of harmonic minor takes a diminished 7th chord (°7), and a half-diminished 7th chord (ø7), in melodic minor.
+
+
+ 
+FIGURE 4.11 Four-Part Chords in Natural Minor
+
+
+ 
+FIGURE 4.12 Four-Part Chords in Harmonic Minor
+
+
+ 
+FIGURE 4.13 Four-Part Chords in Melodic Minor
+Notice that two different labels are used for a chord that has the same pitch architecture and is made up of a diminished triad and an added minor 7th: the half-diminished 7th chord and the min7(♭5) chord. In jazz, these names are often used interchangeably. The half-diminished 7th chord occurs on the leading tone of the major key and the melodic minor, and, as such, functions as a dominant or a dominant substitute that is preceded by a predominant and followed by a tonic. The min7(♭5) chord occurs on the supertonic scale degree of natural and harmonic minor and the raised submediant of melodic minor. These chords always function as predominants and carry with them the expected voice-leading and harmonic behavior. In 99 percent of cases, the min7(♭5) chord remains in the context of  progression.
+Figure 4.14 compiles three functionally related chords in minor.
+When examining the dominant-functioning chords in the natural minor, notice that the v7 chord has a minor quality typically associated with a tonic and predominant function. Its placement in this category, however, suggests that we may encounter this chord- mostly in modal tunes or minor blues tunes-functioning as a dominant.8
+
+
+ 
+FIGURE 4.14 Functional Families in Minor Key
+"DROP 2" VOICINGS
+
+In jazz terminology, the term "voicing" refers to the arrangement of notes within a chord. That arrangement can be either close or open. In a close voicing the arrangement of notes is the most packed possible. In an open voicing, the arrangement of notes is intervallically more diverse. The most common method of generating an open voicing is to drop certain notes from a close-position chord down an octave. In a "drop 2" voicing, the second note, counting from the top note, is dropped down an octave. "Drop 2" refers to voicings above the bass in which the bass note is not counted as one of the voices being "dropped." Each chord in Figure 4.15 includes three "drop 2" voicings because the three notes above the bass can be rotated three times.
+
+
+ 
+ 
+FIGURE 4.15 "Drop 2" Four-Part Voicings
+NOTES
+
+1. In bold, I will provide complete names of chords, as jazz musicians are wont to call them. In naming chords, however, we will notice some inconsistencies and discover that certain chord symbols are spoken differently than the symbol suggests.
+2. In a chord symbol, pitch alterations, and diatonic and chromatic extensions are written as superscripts and placed in parenthesis. Such a notation illustrates the pitch hierarchy occurring within the chord.
+3. In Chapter 5, two separate categories for the dominant 7th chord will be established: the dominant 7th category and the suspended dominant category.
+4. This type of melodic motion is knows as a 4-3 suspension. In common-practice music, this type of dissonance requires a special voice-leading treatment involving three steps: preparation, suspension, and resolution. Because these three steps are related to the underlying metric and rhythmic structure, the suspension is considered rhythmic rather than melodic dissonance. In jazz, the treatment of suspended sonorities is far more relaxed when you compare it to other types of music.
+5. In spite of its dominant function, the sus chord can also function as tonic in modal compositions, such as Herbie Hancock's "Maiden Voyage," Ralph Towner's "Icarus," or McCoy Tyner's "Passion Dance." The use of functional labels in the context of modal tunes, however, might be deceptive.
+6. The term "predominant" would have been too restrictive and would not have shown the diverse functional status of intermediary chords. Besides, "predominant" is already being used for the specific harmonic function.
+7. For more detailed explanation of the difference between the two, consult page 56.
+8. See, for instance, Chick Corea's "Crystal Silence," John Coltrane's "Blue Train," "Naima," or Dave Brubeck's "Take Five."
+
+CHAPTER FIVE
+
+Five-Part Chords
+
+
+
+CHAPTER SUMMARY
+
+Chapter 5 expands the repository of harmonic structures to 35 five-part chords. They are divided into five categories: major, minor, dominant 7th, suspended dominant, and intermediary.
+CONCEPTS AND TERMS
+
+• • Chromatic extensions
+• Diatonic extensions
+• Dominant chords
+• "Drop 2" voicings
+• Elevenths:
+Perfect 11th
+Sharp 11th
+• Intermediary chords
+• Lower chromatic neighbors
+• Major chords
+• Minor chords
+• Ninths:
+Flat 9th
+Major 9th
+Sharp 9th
+• Positions of five-part chords
+• Suspended dominant chords
+• Thirteenths:
+Flat 13th
+Major 13th
+• Upper chromatic neighbors
+• Upper diatonic neighbors
+CHORDAL EXTENSIONS
+
+Chordal extensions consist of different forms of the ninth, the eleventh, and the thirteenth and can be divided into two broad categories: diatonic and chromatic. Diatonic extensions enhance the structure of chords, whereas chromatic extensions modify that structure in a considerable way. The ninth has three distinct forms: a diatonic major 9th, a chromatic ♭9th, and a chromatic ♯9th. The eleventh has two forms: a diatonic perfect 11th and a chromatic ♯11th. The thirteenth has two forms: a diatonic major 13th and a chromatic ♭13th.
+In jazz terminology, we frequently encounter different labels for the same harmonic extensions. Sometimes these alternate labels are acceptable, other times they are not. For instance, we can find that the ♯11th is often referred to as the ♭5th or the ♯4th, whereas the ≤13th is called the ≥5th or the ♭6th. These are all acceptable enharmonic spellings and will occasionally be implemented throughout the book. However, if we want to be more rigorous in the labeling of extensions, we must determine how a particular note or a group of notes actually functions within a chord. In Chapter 4, certain chromatic notes-the ♭5th and ≥5th in particular-were referred to as alterations of diatonic pitches. For instance, a ♭5th in the Maj7(♭5) chord and a ♯5th in the dom7(♯5) chord were called chromatic alterations and not chromatic extensions. The addition of a 9th to these four-part chords does not affect the status of these alterations. However, one would probably use the ♯11th label for an extended tertian structure with the diatonic fifth present. On the contrary, the use of the ♯11th label in the suspended dominant 7th chord is functionally and sonically incorrect because a ♯11th and a perfect 4th do not work well together. A 13th is the extension that is frequently labeled as a major or minor 6th. The note is referred to as a 13th if the 7th is present; the 6th if not. You may also wonder why there is no reference to the 9th as a 2nd. The basic reason has to do with the presence of the essential chord tone within a harmony. If a chord contains an essential chord tone, then any note added to its structure functions as an extension. The Maj7 chord does not include a major 2nd, but a major 9th. The dominant 7th chord does not include a ♭2nd, but a ♭9th. Therefore, chord labels, such as C7(♭2) or CMaj7 should be avoided.
+ADDITION OF EXTENSIONS
+
+Not only do we have to know how to correctly label chordal extensions, but we also have to know which extensions can be added to four-part chords and how those extensions can be used. Here are some broad generalizations.
+The major chord contains two essential chord tones-a major 7th and a major 6th; two diatonic extensions-a major 9th and a major 13th; one chromatic extension-a ♯11th; and two pitch alterations-a ♭5th and a ♯5th. The minor chord admits four essential chord tones-a minor 7th, a major 6th, a major 7th, and a minor 6th; three diatonic extensions- a major 9th, a perfect 11th, and a major 13th; and two chromatic extensions-a ♭13th and a ♯11th. The minor 7(♭5) chord (also known as the half-diminished 7th) allows one essential chord tone-a minor 7th; two diatonic extensions-a major 9th and a perfect 11th; and one chromatic extension-a ♭13th. The diminished 7th chord uses two essential chord tones-a diminished 7th and a major 7th; and three extensions-a major 9th, a perfect 11th, and a ♭13th. The dominant 7th chord contains one essential chord tone -a minor 7th; two diatonic extensions-a major 9th and a major 13th; four chromatic extensions-a ♭9th, a ♯9th, a ♯11th, and a ♭13th; and two pitch alterations-a ♭5th and a ♯5th. The suspended dominant chord includes one essential chord tone-a minor 7th; two diatonic extensions-a major 9th and a major 13th; three chromatic extensions-a ♭9th, a ♯9th, and a ♭13th; and two pitch alterations-a ♭5th and a ♯5th. Figure 5.1 summarizes the distribution of essential chord tones, pitch alterations, and extensions in Maj7, min7, dom7, suspended dominant, min7(♭5), and diminished 7th chords.
+
+
+ 
+FIGURE 5.1 Essential Chord Tones-Pitch Alterations-Extensions
+CHORD CATEGORIES
+
+The categories for five-part chords suggest the possible harmonic function of chords. They are analogous to the similar categories established for four-part formations. Unlike in Chapter 4, where 14 four-part chords were built on the same starting pitch, the five-part chords are built on the specific scale degrees that suggest their likely occurrence in harmonic progressions: major chords on , minor chords on , dominant chords on , and intermediary chords on . By placing them in these locations, we can notice how their scale-degree position affects their pitch content. As far as the use of Roman numerals for five-part chords is concerned, we will only indicate their basic four-part structure, notating neither extensions nor alterations, just as we did with the generic Roman numerals for four-part chords. The functional behavior of five-part chords depends on the specific context in which they are encountered. For instance, even though minor chords appear on , which implies the predominant function, on a different scale degree they can also function as tonics. A chord from the major category might function as a tonic or a predominant depending on its role and position in the chord progression, etc. The five-part chord includes a four-part base structure and some type of a 9th. In order to keep its extension status, the 9th must be located a ninth above the root of the chord.
+Major Category
+Harmonic Function: Tonic and Predominant
+Figure 5.2 shows four major five-part chords in close position.
+A sixth nine chord, C6/9, represents the harmonic style of earlier jazz, particularly that from the Swing Era. A major ninth chord, CMaj9, is probably the most commonly utilized chord in jazz. A major ninth flat five, CMaj9(♭5), and a major ninth sharp five, CMaj9(♯5), represent more of the contemporary jazz styles.
+
+
+ 
+FIGURE 5.2 Major Five-Part Chords
+Minor Category
+Harmonic Function: Tonic and Predominant
+Figure 5.3 shows four minor five-part chords in close position. Note that they are built on  of C major.
+ 
+FIGURE 5.3 Minor Five-Part Chords
+In the previous chapter, the minor category of four-part chords consisted of three formations: min6, min7, and min(♯7). In this category we meet a new member: the minor ninth flat sixth chord. The inclusion of this formation fits the present context better because of the status of ♭6th, which we have yet to discuss. The flat sixth added to a minor triad makes the four-part chord look exactly like a major 7th chord in third inversion. In the context of five-part chords, however, the use of a ♭6th is justifiable because its addition creates an autonomous root-position five-part formation that is relatively common in contemporary jazz styles. A minor sixth nine chord, Dmin6/9, embodies the tonic function. A minor ninth chord, Dmin9, is probably the most versatile chord type since it can function as a tonic or a predominant. A minor ninth flat sixth chord, Dmin9(♭6), has a darker sound to it and is largely associated with the tonic function. Depending on its role within harmonic progressions, a minor ninth major seventh chord, Dmin9(♯7), can function as a tonic or a predominant.
+Dominant and Suspended Chords
+Five-part dominant 7th chords feature an impressive variety of harmonic formations. Their diversity comes from the largest number of available extensions that can be added to their pitch structure. Given that diatonic and chromatic extensions can be combined with one another in a number of creative ways and that there are only two fundamental dominant 7th chords, the family of dominant chords can seem overwhelming. Therefore, in the investigation of five-part dominant 7ths, two distinct categories-the dominant 7th category and the suspended dominant category-are established.
+Dominant 7th Category
+Possible Harmonic Function-Dominant
+Figure 5.4 shows 12 close-position five-part chords from the dominant 7th category built on  of C major.
+Each line features a different type of the ninth added to the four-part chord. The first line contains a major 9th; the second, a ♭9th; and the third, a ♯9th. Each line features four five-part chords; they originate by replacing the 5th with a lower chromatic neighbor- ♭5th; an upper chromatic neighbor-♯5th; and an upper diatonic neighbor-major 13th.
+A dominant ninth chord, G9, is a diatonic formation and is derived from the notes of F major.1 A dominant ninth flat five, G9(♭5), has a sound that is frequently heard on recordings from the Bebop Era. A dominant ninth sharp five, G9(♯5), includes an augmented triad at the bottom of its structure. A dominant thirteenth chord, G13, is entirely diatonic and features the characteristic minor 2nd between a major 13th and a minor 7th.2
+A dominant seventh flat ninth chord, G7(♭9), contains a diminished 7th chord built on the major 3rd. A dominant seventh flat ninth flat five chord, G7, is highly chromatic and highlights a major triad built on the ♭5th. A dominant seventh flat ninth sharp five chord, G7, is commonly used as a dominant 7th in minor keys. A dominant thirteenth flat ninth chord, G13(♭9), includes an enharmonically spelled major triad built on the 13th.
+
+
+ 
+FIGURE 5.4 Dominant Five-Part Chords
+A dominant seventh sharp ninth chord, G7(♯9), has a dissonant sound that is frequently used in Jazz Rock. A dominant seventh sharp ninth flat five, G7, contains an enharmonically equivalent minor triad built on the ♯9th. A dominant seventh sharp ninth sharp five, G7, is a quintessential altered chord that is frequently labeled as G7alt. A dominant thirteenth sharp ninth, G13(♯9), has a characteristic minor 2nd clash between a major 13th and a minor 7th that, together with the ♯9th, creates a very dissonant sonority.
+Suspended Dominant Category
+Possible Harmonic Function-Dominant, Predominant, Tonic
+Figure 5.5 shows 12 close-position five-part chords from the suspended dominant category built on  of C major.
+The chords from Figure 5.5 can function as dominants, predominants, or even as "tonics" in certain modal tunes. The predominant status stems from the fact that they often precede a regular dominant 7th chord. That is because the suspended dominant 7th chord includes a perfect 4th which, on the one hand, initiates melodic motion that requires resolution, and on the other can be reinterpreted as the minor 7th of a local ii7.
+A sus ninth chord, G9sus, is a basic suspended formation.3 A sus ninth flat five chord, G9(♭5)sus, features an augmented triad built on the ♭5th. A sus ninth flat thirteenth chord, G9(♭13)sus, has a characteristic blues flavor to it on account of an enharmonically spelled dominant 7th chord built on the 7th. A sus thirteenth chord, G13sus, contains a minor triad build on the 9th of the chord.
+
+
+ 
+FIGURE 5.5 Suspended Dominant Five-Part Chords
+A sus seven flat ninth chord, G7(♭9)sus, has strong voice-leading propensities that compel the 4th and the ♭9th to resolve downward by a half step. A sus seven flat ninth flat five chord, G7sus, features a Maj7 chord built on the ♭5th. A sus seven flat ninth sharp five chord, G7sus, contains an enharmonically respelled min7 chord built on the 7th of the chord. A sus thirteenth flat ninth chord, G13(♭9)sus, has a min(♯7) chord built on the 7th.
+A sus seven sharp ninth chord, G7(♯9)sus, sounds like an extended minor chord and demonstrates the ambiguous nature of suspended formations. This ambiguity is something that we can capitalize on in harmonic progressions. A sus seven sharp ninth flat five chord, G7sus, shows strong predominant characteristics. A sus seven sharp ninth sharp five chord, G7sus, sounds tonally ambiguous (like all other suspended chords) and can only be tonally and functionally defined in the context of specific chord progressions. A sus thirteenth sharp ninth chord, G13(♯9)sus, illustrates yet another tonally and functionally ambiguous suspended formation.
+Intermediary Category
+Possible Harmonic Function-Predominant, Dominant, Tonic
+Figure 5.6 shows three intermediary chords built on  of C major.
+
+
+ 
+FIGURE 5.6 Intermediary Five-Part Chords
+A minor ninth flat five chord, Dmin9(♭5), or a half-diminished ninth chord, Dø9, has a unique characteristic sound on account of a min(♯7) chord built on the 3rd of the chord. Notice that two different labels are used for the same chord. The "min9(♭5)" suffix implies a predominant function, and the "ø9" suffix suggests a dominant function. The former occurs in the context of the  progression; the latter is much rarer but can occur in the progression viiø7-I or, rarer still, in the progression ♯viiø7-i. A diminished ninth chord, Do9, has strong melodic and voice-leading tendencies. A diminished major ninth major seventh chord, Do9(♯7), has a pliable structure with interesting functional associations. Both of these chords can also function as upper structures of altered dominant 7ths.
+POSITIONS OF CHORDS
+
+In the discussion of "inverted" five-part chords, the term "positions" is used instead of inversions. Unlike four-part formations in which notes are contained within an octave, five-part chords overshoot the octave by a 2nd; this renders the use of inversions awkward and impractical. Thus, in generating positions, we will first drop the 9th down an octave and subsequently invert the chord. Figure 5.7 illustrates positions of five-part chords. The CMaj9 chord in Figure 5.7, and all the remaining chords, exhibit different pitch architectures: the first one uses an extended tertian structure and the second has a diatonic cluster at the bottom of the chord. In the first position of the C6/9, a 9th is in the lowest voice; second position has a 3rd; third position has a 5th; and fourth position has a 7th in the lowest voice.
+The chords in Figure 5.7 represent various close voicings, but there are many, many more ways to orchestrate a chord, such as those in Figure 5.8.
+"DROP 2" VOICINGS
+
+Figure 5.8 illustrates "drop 2" voicings for the root-position five-part chords. Each chord in Figure 5.8 includes four "drop 2" voicings because the four notes above the bass can be rotated four times.
+
+
+ 
+
+
+ 
+FIGURE 5.7 Positions of Five-Part Chords
+
+
+ 
+
+
+ 
+
+
+ 
+
+
+ 
+FIGURE 5.8 "Drop 2" Five-Part Voicings
+NOTES
+
+1. The presence of a minor 7th is implied with the term "dominant ninth."
+2. In the term "dominant thirteenth," the 13th implies a 7th, but does not require a 9th.
+3. In labeling suspended chords, we do not include the 11th in the symbol. A "sus" takes care of that.
+
+CHAPTER SIX
+The II-V-I Progression
+
+
+
+CHAPTER SUMMARY
+
+Chapter 6 investigates the most important progression in jazz-the II-V-I-and its two tonal variants: ii7-V7-Imaj7 and . A discussion of guide tones, secondary dominant 7ths, and diminished 7th chords and their subsequent voice-leading transformations further amplifies the importance of the progression.
+CONCEPTS AND TERMS
+
+• Applied dominant chords
+• Chromatic ii7-V7
+• Diminished 7th chords:
+Accented
+Common tone
+Neighbor
+Passing
+Unaccented
+• Guide tones
+• Harmonic elision
+• Invertible counterpoint
+• Melodic elision
+• Secondary dominant 7th chords
+• Tonicization
+• ii7-V7-Imaj7
+• 
+A BRIEF HISTORY
+
+Nowhere are the principles of jazz harmonic syntax more evident and its grammatical rules more explicit than in the structure and behavior of the II-V-I progression. The evolution of the progression offers a fascinating journey through jazz history. The origins of the II-V-I can be traced back to fundamental V-I motion, which is the most important chord succession in common-practice music and the marker of tonality. When we compare jazz performances from different historical periods, we notice that the structure of the II-V-I progression has been in a state of constant flux. In Early Jazz, for instance, the ii7-V7-Imaj7 was not always present; the more idiomatic V7-I motion often implied the structural notes of the progression. Figure 6.1 illustrates mm. 1-4 of "Maple Leaf Rag" by Scott Joplin.
+Even though  in the bass does not support a ii7 chord, the design of the bass voice seems to imply a ii7-V7-Imaj7 progression. A similar treatment of the dominant 7th, yet with an idiomatic use of chordal inversions, occurred in the Swing Era with one notable exception. The structure of V7-I was infused with various kinds of diminished 7th chord, as demonstrated in Figure 6.2.1
+Harmonic expansions such as this one ultimately led to the explosion of chromaticism during the Bebop Era. By the 1940s, the ii7-V7-Imaj7 progression was fully formed and commonly implemented. In addition, intricate chromatic variants began to infiltrate the structure of harmonic progressions, making improvisation more challenging. What is remarkable about Charlie Parker, Thelonious Monk, Dizzy Gillespie, and other artists from that period is that they showed endless creativity in negotiating and utilizing the major and minor versions of the II-V-I progression.2 As the Post-Bop Era rolled in, artists such as Miles Davis, Horace Silver, Lennie Tristano, and many others found new and ingenious ways to implement the progression in their music.3 One of the most radical transformations of the progression, however, occurred in the late 1950s in the creative mind of John Coltrane.4 His experiments with symmetrical intervallic cycles led to the development of so-called "Coltrane" substitutions.5
+ 
+FIGURE 6.1 "Maple Leaf Rag" by Scott Joplin, mm. 1-4
+ 
+FIGURE 6.2 Diminished 7ths in V7-I
+Constantly searching for a new means of personal expression while being respectful and mindful of the rich genre's traditions, jazz musicians did not advance their harmonic experiments in a creative vacuum. It seems that, in fulfilling their own artistic destiny, each generation of jazz musicians benefited from the achievements of the previous generation. This is true even today, as the merger of tonality and modality in the 1960s still resonates well with many contemporary jazz artists further transforming or disguising the structure of the II-V-I progression. The II-V-I progression, with its two tonal variants ii7-V7-Imaj7 and , is the fundamental harmonic block of tonal jazz and its ubiquity in standard tunes confirms its structural importance. Yet, the sheer number of harmonic transformations that jazz musicians have been able to implement is truly remarkable and proves the progression's flexibility in adjusting to various jazz styles. This makes our study of the II-V-I progression all the more relevant.
+THE ii7-V7-Imaj7 PROGRESSION
+
+The ii7-V7-Imaj7 progression, shown in Figure 6.3, combines three harmonic functions: the predominant, the dominant, and the tonic.
+
+
+Each chord of the progression is reduced to its essential members with the 3rd and 7th being known as the guide tones. The guide tones have two basic roles: (1) to determine the quality and functionality of chords, and (2) to dictate the voice leading and proper unfolding of chords within harmonic progressions. In this way, guide tones "guide" the improvisation and, through their careful distribution within a phrase, assure melodic continuity and harmonic clarity. Figure 6.3 includes two versions of the ii7-V7-Imaj7 progression where the second version inverts the position of the guide tones of the first. The inverted version of the progression sounds a little different from the original. By exploring the potential of invertible counterpoint (which is inherent to two-voice and larger harmonic textures), we fundamentally redefine the way of thinking about harmony. Chords can be considered not only as vertical formations, but also as byproducts of individual lines. In a sense, we are still thinking about chords and harmonic progressions, but we are doing so from a linear rather than vertical perspective.
 
 
+FIGURE 6.3 The ii7-V7-Imaj7 Progression
+The guide tones in Figure 6.3 form two independently moving lines that start on the 7th and the 3rd of a predominant harmony. The voice leading of the progression depends on the kinetic force of the guide tones: the 7th of ii7 or V7 descends down to the 3rd; and the 3rd of ii7 or V7 becomes the 7th. To finish its trajectory, the major 7th of the tonic chord moves down to a more stable major 6th at the end of the progression. Besides determining the quality and function of chords, the individual tones of the guide-tone line have the potential of being reinterpreted as chord tones or as extensions of other harmonic formations.
+THE  PROGRESSION
+
+
+
+ 
The  progression, shown in Figure 6.4, behaves in much the same ways as its major counterpart.6 The presence of the min7(♭5), as a predominant, implies the choice of specific extensions in the forthcoming dominant 7th chord. In particular, the use of the ♭9th in V7 illustrates an ideal voice-leading scenario in which the ♭5th of  is retained as a common tone and becomes the ♭9th of V7.
 
+FIGURE 6.4 Progression
+SECONDARY DOMINANT 7TH
+
+One of the most common transformations of the ii7-V7-Imaj7 progression involves the use of secondary or applied dominant 7th chords (notated as V7/V or X7). Secondary or applied dominant 7ths built on the supertonic scale degree require a secondary leading tone on ♯. With that addition, the secondary dominant temporarily tonicizes the upcoming dominant 7th on . Figure 6.5 illustrates the use of a secondary dominant within a ii7-V7-Imaj7 progression.
+ 
+FIGURE 6.5 Secondary Dominant 7th
+
+
+The guide-tone line features a chromatically altered note, F♯4. The voice-leading tendency of the F♯4 up to G (leading tone motion in G) and the passing tone motion of G5 moving through F4 down to E4 are subsumed into a single descending gesture known as a melodic elision. The behavior of the secondary leading tone, F♯4, causes harmonic motion where no motion was before. The F♯4 replaces F4, which would have been a common tone between Dmin7 and G7.
 
THE DIMINISHED 7TH CHORD
+
+Although the diminished 7th chord and its chromatic variant, the diminished major 7th chord, belong to the intermediary family of chords, its role in harmonic progressions is quite unlike that of any other chord. There are three basic types of the diminished 7th chord: passing, neighbor, and common tone. The passing diminished 7th chord fills the space between two diatonic chords. The lower or upper chromatic neighbor diminished 7th chord embellishes chord tones of a structural chord from below or above by a half step. These chordal embellishments typically occur on weak metric positions. The unaccented common-tone diminished 7th chord retains the two outer notes of another chord and moves the inner two down a minor 2nd before returning to the original chord. This type of harmonic embellishment is highly idiomatic, especially in the blues, where the active notes or blue notes (the ♭3 and the ♭5) move to a major 3rd and a perfect 5th of major or dominant 7th chords. The common-tone diminished 7th chord can also occur in minor chords where the ♭5th moves up to a perfect 5th, while a minor 3rd stays as the common tone. The accented common-tone diminished 7th chord shares the root with the structural chord and, typically, foreshadows its arrival on a strong metric position. The most common harmonic function of the diminished 7th chord-one that will be emphasized in the discussion of Bebop in Chapter 15-is the dominant-functioning viio7 or an incomplete dom7(♭9) chord.
+As an important jazz harmonic structure, the diminished 7th chord can effectively participate in the elaboration of ii7-V7-Imaj7 or  progressions. In order to explore the full potential of the diminished 7th chord, these progressions will be first deconstructed to their individual members. Then, specific types of the diminished 7th chord that can embellish these chords will be examined. Finally, the progressions will be assembled to their original form and embellished with different types of the diminished 7th chord. Figure 6.6 illustrates this process. Because the full names for specific diminished 7th chords are quite long, the following abbreviations will be implemented:
+1. the diatonic passing diminished 7th-DP
+2. the chromatic passing diminished 7th-CP
+3. the diatonic neighbor diminished 7th-DN
+4. the chromatic neighbor diminished 7th-CN
+5. the common-tone diminished 7th-CT.
+Figure 6.7 demonstrates some of the most interesting interpolations of different types of the diminished 7th chord within the II-V-I progression realized with "drop 2" four-part voicings. Although there are far fewer choices for the use of the diminished 7th in the  progression, Figure 6.7f illustrates an example that includes multiple passing diminished 7th chords. The reason that only a limited number of diminished 7th chords can participate in the  progression stems from the quality and functionality of the : unlike its major counterpart, the min7(♭5) cannot be tonicized as a separate key area and, therefore, the diminished 7th chord cannot be used as a tonicizing formation.
+TRANSFORMATION OF THE DIMINISHED 7TH CHORD
+
+Figure 6.8 illustrates a voice-leading transformation of the diminished 7th chord into a chromatic ii7-V7 using "drop 2" voicings.
+A subtle contrapuntal motion from a ♭5th and a ♭♭7th of the diminished 7th chord to a perfect 5th and a minor 7th of the minor 7th chord generates this voice-leading transformation. A minor 7th chord, then, pairs up with its local dominant 7th to create a chromatic ii7-V7 interpolation. With the voice-leading transformation from Figure 6.8, we can further modify the structure of the diatonic ii7-V7-Imaj7 from a common Swing Era progression to an idiomatic Bebop progression. The chromatic ii7-V7s are notated in square brackets followed by a diagonal line and a Roman numeral that indicates the subsumed resolution of the chromatic ii7-V7. This particular use of ii7-V7s is known as a harmonic elision.
+The progressions in Figure 6.9 are realized with "drop 2" five-part voicings. Notice that the voice leading between chords is entirely dependent on the behavior of the guide tones. With the exception of the bass voice (which is unaffected by "drop 2"), all other voices move mostly by step.
+ 
+FIGURE 6.6 Diminished 7th Chords in Context
+ 
+FIGURE 6.6 continued
+ 
+FIGURE 6.6 continued
+ 
+FIGURE 6.6 continued
+ 
+FIGURE 6.7 Diminished 7th Chords in the II-V-I Progression
+ 
+FIGURE 6.7 continued
+ 
+FIGURE 6.8 Harmonic Elision
+ 
+FIGURE 6.9 Transformations of II-V-I
+NOTES
+
+1. See, for instance, Benny Goodman's The Complete RCA Victor Small Group Recordings.
+2. Notable albums: Charlie Parker (The Immortal Charlie Parker and Jazz At Massey Hall); Thelonious Monk (Genius Of Modern Music, Volume I and The London Collection, Volumes I and II); Dizzy Gillespie (Groovin' High and School Days).
+3. Notable albums: Miles Davis (Kind Of Blue and At the Plugged Nickel, Volumes I and II); Horace Silver (Horace Silver Trio and The Cape Verdean Blues); Lennie Tristano (Intuition and Lennie Tristano).
+4. See, for instance, John Coltrane's Giant Steps and Crescent.
+5. These idiomatic progressions are discussed in Chapter 13.
+6. In order to differentiate between  and ii7, the ""suffix in the min7(♭5) chord and the "7" suffix in the minor 7th chord are used, regardless of the key signatures.
+
+CHAPTER SEVEN
+Modes
+
+
+
+CHAPTER SUMMARY
+
+Chapter 7 introduces seven diatonic modes from the major scale and seven chromatic modes from the melodic minor scale.
+
+
+CONCEPTS AND TERMS
+
+• Avoid notes
+• Beauty marks
+• Chromatic modes:
+Altered
+Dorian ♭2
+Locrian ♮2
+Lydian Augmented
+Melodic Minor
+Mixolydian ♭13
+Mixolydian ♯11
+• Chromaticism
+• Diatonic modes:
+Aeolian
+Dorian
+Ionian
+Locrian
+Lydian
+Mixolydian
+Phrygian
+• Diatonic passing notes
+• Major modes
+• Minor modes
+• Modal qualifiers
+• Parent scales
+• Pedal points
+• Tetrachords:
+Chromatic
+Harmonic
+Lower
+Major
+Minor
+Phrygian
+Upper
+Whole tone
+PARENT-SCALE DERIVATION OF DIATONIC MODES
+
+In modal jazz theory, diatonic modes are traditionally introduced as derivatives of the parent major scale. What might be a bit confusing in this method is that the parent scale is also a mode, named Ionian. The parent-scale method is based on constructing modes on the consecutive pitches of the major scale. In Figure 7.1, Dorian begins on  of the C major scale and represents an ordered diatonic collection stretching from D4 to D5 (or any other octave); Phrygian starts on  and covers an octave from E4 to E5; Lydian begins on  and spans an octave from F4 to F5; Mixolydian starts on  and extends from G4 to G5; Aeolian begins on  and covers the distance from A4 to A5; and Locrian starts on  and includes pitches between B4 and B5. Figure 7.1 shows the derivation of modes using the parent-scale methodology.
+While parent-scale derivation is an important theoretical construct, it strips individual modes of their salient characteristics and is cumbersome in actual musical practice. Imagine, for instance, trying to quickly figure out the Phrygian mode on F♯. Using this methodology, we have to first determine which major scale contains F♯ as a major 3rd. Then, based on the fact that the D major scale indeed contains the pitch F♯ as the major 3rd, we can build the Phrygian mode using the notes from the D major scale. Cumbersome? Yes. Even more troublesome than the mode derivation itself, however, is the fact that this method seems to focus on the parent scale rather than on the pitch structure of specific modes. Our methodology eliminates such two-step modal conversion and focuses on modes as individual pitch collections with their own melodic, harmonic, and structural properties. By building modes starting on the same pitch and concentrating on their sound, essential tones, and pitch hierarchy, we can understand their pitch structure more quickly.
+ 
+FIFURE 7.1 Parent-Scale Derivation of Diatonic Modes
+THE MODES' CHARACTERISTICS
+
+Broadly speaking, there are two types of modes: major and minor. Major modes have a major 3rd and minor modes contain a minor 3rd. These notes are called modal qualifiers. This rough classification is by no means complete but should help to unravel the principles of modal theory. The distinction between major and minor modes enables easier aural identification. Within seven diatonic modes, three are major and four are minor. The beauty mark is a term that indicates the essential tone or tones indicative of the mode. The beauty mark, then, is an absolutely crucial tone to convey the sound and distinguish between different modes. Avoid notes are pitches within the mode that do not quite fit the structure of certain chords or melodic lines. For instance, the perfect fourth of the Ionian mode might be problematic if we try to use it over CMaj7 or CMaj9. Also, the major 3rd of the Mixolydian mode might sound dissonant if we try to use it over C7sus of C7(♭9)sus without proper preparation. Thus, the term "avoid" should alert us about potential problems that might arise while trying to use these notes in harmonic or melodic contexts. In the case of extended six- or seven-part chords (especially those that feature chromatic extensions), however, the avoid note can sometimes be admitted as one of the chord tones or unusual extensions. For instance, the fully extended tertian formation CMaj(13♭11) includes the perfect fifth in its structure, which in the context of CMaj7(♭5) and CMaj9(♭5) would have created a harsh dissonance against the ♭5th.
+DIATONIC MODES
+
+As mentioned in Chapter 1, the specific pattern of whole steps and half steps occurring in the major scale forms a type of diatonic collection. Other diatonic scales are formed by preserving the same number of whole and half steps yet distributing them at different locations within the scale. These types of scale are referred to as diatonic modes.
+Major Modes-Ionian
+Figure 7.2a provides the pitch content of the Ionian mode with each note examined according to its function within the collection. Figure 7.2b illustrates a four-bar modal phrase that projects the Ionian sound using a CMaj7 harmony.
+ 
+FIGURE 7.2A Ionian Mode
+ 
+FIGURE 7.2B Ionian Phrase
+In order to convey the sound of the Ionian mode, only two pitches are needed: a major 3rd as the modal qualifier and a major 7th as the beauty mark. The 3rd and the 7th of the mode also function as the guide tones. Scale degree four () of the mode is a note that should be treated with caution.1 In Figure 7.2b, it is used as a diatonic passing note (PN) and is located at the "and" of beat 2 or the upbeat (offbeat) in m. 2. The metric distribution of pitches within a phrase is an important factor in enabling the clear projection of a mode. In Figure 7.2b, the chord tones of CMaj7 are mostly located on the downbeats unless they form arpeggiation patterns, which might affect their distribution.
+Major Modes-Lydian
+The Lydian mode is a diatonic mode with a more contemporary sound. Figure 7.3a illustrates the pitch structure of Lydian and Figure 7.3b demonstrates a four-bar modal phrase with Lydian characteristics over a CMaj7(♭5) harmony. Henceforth, Arabic numbers are used (with appropriate accidentals) to indicate the pitch structure of modes and-in the forthcoming chapters-bebop scales, octatonics, pentatonics, hexatonics, and melodic patterns. Scale-degree labels (, , , etc.) are reserved for pitches occurring within the context of the underlying key.
+When comparing the structure of Lydian with Ionian, the presence of ♯11 (♯4) as the beauty mark gives the Lydian collection its unique characteristics. Depending on its position within the chord, the beauty mark can be spelled either as a ♭5th (in chords without the perfect 5th, such as CMaj7(♭5)) or as a ♯11th (in chords with the perfect 5th, such as CMaj13(♯11)). The distribution of chord tones on metrically strong positions within a measure contributes to a clear projection of Lydian characteristics. Note that the avoid note, 5, is excluded from the context of the phrase. The intervallic structure of the phrase prioritizes the use of fourths, one of the main building blocks in modal improvisation.
+ 
+FIGURE 7.3A Lydian Mode
+ 
+FIGURE 7.3B Lydian Phrase
+Major Modes-Mixolydian
+Even though the Mixolydian mode belongs to the major family of modes, it has a distinct functional status and behavior that is entirely different from Ionian and Lydian modes. Figure 7.4a demonstrates the pitch structure of Mixolydian and Figure 7.4b provides a four-bar modal phrase with Mixolydian characteristics over a C7 harmony.
+The presence of ♭7 as the beauty mark makes the phrase tonally unstable with a strong tendency to resolve on to a more stable chord. The status of 4 as a diatonic passing note in m. 4 deserves our attention. Since the 4th can also participate in the context of the suspended dominant and, as such, it replaces the major 3rd of the dominant 7th chord, the metric placement of that pitch within the phrase might change the overall chord-scale relationship from C7 to C7sus. In Figure 7.4b, the mode clearly projects the sound of the underlying C7 harmony.
+ 
+FIGURE 7.4A Mixolydian Mode
+ 
+FIGURE 7.4B Mixolydian Phrase
+Minor Modes-Aeolian
+The pitch structure of the four minor modes contains ♭3, ♭6 (♮6), and ♭7 as modal qualifiers. These tones are members of the natural minor scale from which other minor modes are derived. In certain modes, however, the minor or major 6th will additionally function as the beauty mark. The natural minor scale in modal environment is known as the Aeolian mode. Figure 7.5a examines the pitch structure of Aeolian. Figure 7.5b illustrates a four-bar modal phrase with a characteristic Aeolian flavor over a Cmin9(♭13) harmony.
+The beauty mark, minor 6, injects a darker sound to the mode that stands in stark contrast to the sound of other minor modes. The phrase in Figure 7.5b uses the Cmin(9♭13) chord, which indicates an extended tertian structure. The metric distribution of chord tones and extensions shows equal metric treatment of the diatonic extensions, 9th and 11th, and the chromatic extension, ♭13th.
+ 
+FIGURE 7.5A Aeolian Mode
+ 
+FIGURE 7.5B Aeolian Phrase
+Minor Modes-Dorian
+Figure 7.6a illustrates the pitch structure of Dorian mode and Figure 7.6b demonstrates a four-bar modal phrase with Dorian characteristics over a Cmin13 harmony.
+Even though Dorian is a minor mode, its beauty mark, major 6, gives the collection a characteristic "major" sound. The phrase in Figure 7.6b projects the tertian nature of the Cmin13 harmony by clearly arpeggiating triads (B♭ and E♭ in mm. 1-2), four-part chords (Amin7(♭5) in mm. 3 and 4, and Gmin7 in m. 3), and a five-part chord (Gmin9 in mm. 2-3).
+ 
+FIGURE 7.6A Dorian Mode
+ 
+FIGURE 7.6B Dorian Phrase
+Minor Modes-Phrygian
+The Phrygian mode has a distinctive sound because of its unusual beauty mark, ♭2. The pitch structure of the Phrygian collection is given in Figure 7.7a. Figure 7.7b demonstrates a five-bar modal phrase with Phrygian characteristics.
+Even though the phrase does not have a corresponding chord and, as such, can be performed over a C pedal point, it nonetheless demonstrates strong minor qualities. A pedal point features a single note in the bass that controls larger sections of music. Note that the modal qualifiers and the beauty mark are featured prominently throughout the phrase.
+ 
+FIGURE 7.7A Phrygian Mode
+ 
+FIGURE 7.7B Phrygian Phrase
+Minor Modes-Locrian
+The last diatonic minor mode deserves a special place in our discussion because of its flat-out rejection from the modal family for centuries.2 The Locrian mode has two beauty marks: ♭2 and ♭5. Because of its unusual pitch structure, which prevents the occurrence of minor triad on 1, Locrian is characterized by a highly unstable sound. It still belongs to the minor family of modes because it contains a minor 3rd. Figure 7.8a examines the pitch structure of the mode. Figure 7.8b demonstrates a four-bar modal phrase over a C pedal.
+The melodic phrase has an unsettling quality that is constantly reinforced by the tritone between 1 and ♭5 (mm. 1, 3, and 4). The phrase in Figure 7.8b also horizontalizes four-and five-part structures. For instance, a downward arpeggiation of E♭nin7 in mm. 1-2 and an upward arpeggiation of E♭min9 in mm. 3-4 create harmonic and melodic tensions with the underlying C pedal.
+ 
+FIGURE 7.8A Locrian Mode
+ 
+FIGURE 7.8B Locrian Phrase
+PARENT-SCALE DERIVATION OF CHROMATIC MODES
+
+The so-called modes of melodic minor, also known as the chromatic modes, are traditionally derived using the parent-scale principle. Using this method, the melodic minor collection functions as the parent scale. The pitch structure of chromatic modes is much more diverse than it is in the diatonic modes. In Figure 7.9, Dorian ♭2 begins on  of C melodic minor and extends from D4 to D5; Lydian Augmented starts on  and spans an octave from E♭4 to E♭5; Mixolydian ♯11 begins on  and covers the distance between F4 and F5; Mixolydian ♭13 starts on  and spans an octave from G4 to G5; Locrian ♯2 begins on ♯ (major 6th) and extends from A4 to A5; and Altered begins on ♯ (major 7th) and spans from B4 to B5 of C melodic minor. Figure 7.9 illustrates the derivation of chromatic modes using the C melodic minor as a parent scale.
+ 
+FIGURE 7.9 Parent-Scale Derivation of Chromatic Modes
+CHROMATIC MODES
+
+The family of chromatic modes includes three minor and four major collections-each with its unique pitch architecture, beauty marks, functional roles, and sound. Each mode will be additionally analyzed in terms of two four-note pitch segments called tetrachords. In this context, the lower tetrachord refers to the four notes derived from the scale (-); the upper tetrachord combines the remaining four (-()). We will encounter different combinations of the following tetrachords: major (2-2-1), minor (2-1-2), whole tone (2-2-2), Phrygian (1-2-2), chromatic (1-2-1) and harmonic (1-3-1). Arabic numbers refer to the number of semitones between adjacent pitches.
+Minor Modes-Melodic Minor
+Figure 7.10a examines the pitch structure of the Melodic Minor mode.3 Figure 7.10b illustrates a four-bar modal phrase over a Cmin9(♯7) that captures the sound of the mode. The structure of the mode highlights two tetrachords: lower minor and upper major that contains two beauty marks: major 6 and major 7. In Figure 7.10b, the minor quality of the mode is clearly established by the presence of the minor 3rd. The mode's dissonant character is emphasized with two beauty marks located at metrically strong positions within the phrase. For instance, B5 constitutes the highest pitch within the phrase and initiates a downward arpeggiation of B+.
+ 
+FIGURE 7.10A Melodic Minor Mode
+ 
+FIGURE 7.10B Melodic Minor Phrase
+Minor Modes-Dorian ♭2
+The Dorian ♭2 mode also contains two beauty marks: major 6 and ♭2. Figure 7.11a examines the pitch structure of Dorian ♭2. Figure 7.11b demonstrates a four-bar modal phrase with Dorian ♭2 characteristics composed over a C13(♭9)sus harmony.
+ 
+FIGURE 7.11A Dorian ♭2 Mode
+ 
+FIGURE 7.11B Dorian ♭2 Phrase
+The pitch structure of the mode includes two tetrachords: the lower Phrygian and the upper minor. The modal phrase in Figure 7.11b capitalizes on the two salient features of Dorian ♭2: (1) the sound of an augmented triad on ♭2 (mm. 2 and 3), and (2) the whole-tone segment stretching from ♭2 to 6 (mm. 3-4).
+Minor Modes-Locrian ♮2
+The Locrian ♮2 mode contains two beauty marks: ♭5 and ♮2.4 Figure 7.12a analyzes the pitch content of the mode and Figure 7.12b illustrates a four-bar modal phrase that utilizes salient characteristics of the mode over a Cmin7(♭5) harmony.
+Locrian ♭2 contains two tetrachords: lower minor and upper whole tone. The melodic line in Figure 7.12b conveys the dissonant character of the mode by highlighting the beauty marks-♭5, in particular. The arpeggiation of the underlying harmony in m. 1 prioritizes chord tones (root, 3rd, ♭5th, ♭7th) and the diatonic extension (9th), which is metrically stressed on beat 3. In comparison to the phrase in Figure 7.8b, where the ♭9th occurring in the context of Locrian was metrically de-emphasized, the phrase in Figure 7.12b amplifies the status of the 9th as an extension that better fits the content of the Cmin(♭5) harmony.
+ 
+FIGURE 7.12A Locrian ♮2 Mode
+ 
+FIGURE 7.12B Locrian ♮2 Phrase
+Major Modes-Lydian Augmented
+In addition to the three minor modes, the melodic minor scale gives rise to the four major chromatic modes, each with its own pitch structure, beauty marks, functional role, and characteristic sound. Figure 7.13a illustrates the structure of the Lydian Augmented mode along with an analysis of its pitch content. Figure 7.13b demonstrates the use of the mode in the context of a four-bar modal phrase over a CMaj7(♯5) harmony.
+The pitch structure of the mode features a characteristic whole-tone segment from 1 to ♯5, which contains two beauty marks: ♯11 and ♯5. The structure of Lydian Augmented also highlights two tetrachords: lower whole tone and upper chromatic. The modal phrase in Figure 7.13b has an interesting rhythmic design. The use of E and D triads in m. 3 adds another level of complexity to the line by implying a 3/8 cross rhythm.
+ 
+FIGURE 7.13A Lydian Augmented Mode
+ 
+FIGURE 7.13B Lydian Augmented Phrase
+Major Modes-Mixolydian ♯11
+In comparison to Lydian Augmented, the Mixolydian ♯11 mode (also known as Lydian Dominant) has a different functional status. Figure 7.14a offers an analysis of its pitch structure, and Figure 7.14b demonstrates the use of Mixolydian ♯11 in the context of a four-bar modal phrase over a C13(♯11) harmony.
+ 
+FIGURE 7.14A Mixolydian ♯11 Mode
+ 
+FIGURE 7.14B Mixolydian ♯11 Phrase
+The Mixolydian ♯11 mode has a similar pitch architecture to its diatonic counterpart, Mixolydian. The pairing of the beauty marks, ♭7 and ♯11, merges Lydian and Mixolydian characteristics that effectively project the sound of the dominant 7th harmony. The structure of the mode splits into two tetrachords: lower whole tone and upper minor. The phrase in Figure 7.14b projects the extended tertian nature of C13(♯11) through the arpeggiation of D triad in m. 3 and Gmin9(♯7) in mm. 1-2.
+Major Modes-Mixolydian ♭13
+The pitch structure of Mixolydian ♭l3, shown in Figure 7.15a, is characterized by the presence of two beauty marks: ♭7 and ♭13. Figure 7.15b shows a four-bar modal phrase written over a C9(♭13) harmony with Mixolydian ♭l3 characteristics.
+ 
+FIGURE 7.15A Mixolydian ♭3 Mode
+ 
+FIGURE 7.15B Mixolydian ♭13 Phrase
+The additional beauty mark, ♭l3, adds a minor quality to the mode. The mode splits into two tetrachords: lower major and upper Phrygian. The arpeggiation of Eø7 in m. 1, A♭Maj7(♯5) in m. 3, and C7 in m. 3 enables a projection of its extended tertian structure-C9(♭13).
+Major Modes-Altered
+An absolute winner in the category of beauty marks is the Altered mode. Figure 7.16a illustrates the pitch structure of the mode and Figure 7.16b demonstrates its sound in the context of a four-bar modal phrase over a C7alt. harmony.
+The Altered mode contains four beauty marks: ♭9, ♯9, ♯11 (♭5), and ♭l3 (♯5). Depending on their position within a chord, the extensions, ♯11th and ♭l3th, can also function as pitch alterations of the perfect fifth, ♭5th and ♯5th. The labeling of these pitches in the Altered mode indicates that they are "shades" of the diatonic fifth just as the chromatic extensions, ♭9th and ♯9th, are "shades" of the diatonic ninth. The mode highlights two tetrachords: lower chromatic and upper whole tone. The saturation of chromaticism in the phrase is quite overwhelming to the point that, without the root of C7alt. reminding us what the harmonic context is, it is difficult to hear this phrase in context.
+ 
+FIGURE 7.16A Altered Mode
+ 
+FIGURE 7.16A Altered Phrase
+Chromaticism affects all aspects of the musical fabric including harmony, melody, counterpoint, and even tonality. The use of chromaticism varies from slight surface inflections added to a single pitch to more substantial transformations of the tonal structure. Within that huge range of linear and harmonic possibilities, chromaticism is an important musical force with an inextinguishable potential. The addition of chromaticism alters the structure of harmonic formations and even redefines their functional status. Because chromaticism is such a potent force in music, it needs to be treated with caution. In short, the rule "less is more" should be at the forefront of our minds. The effective use of chromaticism depends on a solid sense of time and good voice-leading skills. Chromatic notes that are foreign to the diatonic framework require correct preparation and resolution. Since the preparation and resolution of chromatic notes are inherently rhythmic, the voice-leading forces that control them have important rhythmic as well as melodic implications. The intimate relationship between chromaticism and rhythm implies that, if we try to understand the former without considering its impact on meter and rhythm, our understanding will be incomplete.
+In modal jazz theory, there are 14 modes: seven diatonic and seven chromatic. Modes in modal jazz typically function as independent scalar formations that are devoid of traditional tonal relationships. For instance, a complete section of a tune might feature only a single modal scale (e.g. John Coltrane's "Impressions" or McCoy Tyner's "Passion Dance").5 In tonal jazz, however, modes exhibit similar functional behaviors comparable to those of four-, five-, or larger-part structures. In Chapter 8, diatonic and chromatic modes will be combined and their tonal functional associations shown.
+NOTES
+
+1. Scale degree four, however, is needed to give the Ionian mode identity, too. (Not major, in a tonal sense, but Ionian in a modal sense.)
+2. This mode was not considered a mode in the Middle Ages and Renaissance because of the tritone between 1 and ♭5 and the occurrence of the diminished triad on 1.
+3. For the sake of readability, we will refer to ♯ and ♯ as 6 and 7.
+4. This mode is also known as Locrian ♯2 or Super-Locrian.
+5. Keith Waters in The Studio Recordings of the Miles Davis Quintet, 1965-68 acknowledges the complexity of the term "modal jazz" and succinctly summarizes the prevailing views on the subject in six points:
+"(1) Modal scales for improvisation (or as a source for accompaniment); (2) Slow harmonic rhythm (single chord for 4, 8, 16, or more bars); (3) Pedal point harmonies (local bass pitch or shifting harmonies over a primary bass pitch); (4) Absence or limited use of functional harmonic progressions (such as V-I or ii-V-I) in accompaniment of improvisation; (5) Harmonies characteristic of jazz after 1969 (Suspended fourth-"sus"-chords, slash chords, harmonies named for modes: i.e. phrygian, aeolian harmonies); and (6) Prominent use of melodic and/or harmonic perfect fourths" (p. 46).
+
+CHAPTER EIGHT
+Chord-Scale Theory
+
+
+
+CHAPTER SUMMARY
+
+Chapter 8 establishes a relationship between the vertical and horizontal dimensions in jazz. The diatonic and chromatic modes are revisited, and chord-scale relationships with four-, five-part chords, and the II-V-I progressions are established.
+CONCEPTS AND TERMS
+
+• Chord-scale relationships
+• Dominant category:
+Altered
+Mixolydian
+Mixolydian ♭13
+Mixolydian ♯11
+• Gapped formation
+• Intermediary category:
+Dorian
+Locrian
+Locrian ♮2
+• Major category:
+Ionian
+Lydian
+Lydian Augmented
+• Minor category:
+Aeolian
+Dorian
+Melodic Minor
+• Overtone series:
+Fundamental notes
+Overtones
+Partials
+• Quartal harmonies/structures
+• Suspended dominant category:
+Dorian ♭2
+Mixolydian
+Mixolydian ♭13
+Phrygian
+• Upper structures
+OBJECTIVES OF CHORD-SCALE THEORY
+
+In jazz, the relationship between chords and scales is explained using chord-scale theory. Chord-scale theory relates certain harmonies to melodies and melodies to harmonies. It also illustrates what kinds of harmony and chord progression can be derived from particular scales or modes. The terms "scale" and "mode" will be used interchangeably. By extension, chord-scale theory measures the harmonic identity of improvised lines and examines melodies for their harmonic clarity. Finally, chord-scale theory allows us to formulate rules of voice leading that govern the behavior of harmonic progressions and melodic lines. In short, the relationship between scales and chords can be summarized with the following statement: any melodic line can be represented by a chord and/or harmonic progression and, conversely, any chord or harmonic progression can be horizontalized with a melodic line.
+Since we will combine four- and five-part chords (as well as triads and extended tertian sonorities) that add up to some 49 harmonic formations, chord-scale relationships will involve many-to-one ratios. This means that certain scales can accommodate more than a single chord and certain chords can establish a chord-scale relationship with more than a single mode. The possibility that many chords can form a relationship with a single scale is of great importance to the improviser. A proper understanding of this relationship can influence our decisions in finding the most fitting harmonic match for a single scale or vice versa. Even though certain chords might not contain all the essential notes from a given mode, they can still form a convincing chord-scale relationship with that mode.
+CHORD-SCALE RELATIONSHIPS
+
+A chord built entirely of thirds, so-called tertian formation, has seven notes that can be arranged in the form of a scale.1 The notes within the scale, however, have very different melodic and harmonic behaviors. Any vertical or linear combination of notes derived from the scale has the potential to convey the sound of that scale. In order to express such a sound, the selection of pitches in a chord has to be very specific. Figure 8.1 illustrates a chord-scale relationship between CMaj13(♯11) and the Lydian mode.
+There are two ways of explaining the chord-scale relationship between CMaj13(♯11) and Lydian. First, an extended tertian structure, CMaj13(♯11), can be horizontalized as the Lydian mode. Second, Lydian can be verticalized as the CMaj13(♯11) harmony. To project the Lydian sound, however, we do not necessarily need a complete seven-note chord; as few as three pitches, major 3rd, major 7th, and ♯11th (or ♭5th), may be used. The relationship between CMaj13(♯11) and Lydian means that the vertical and horizontal dimensions exhibit the same voice-leading behaviors and one can be used to represent and/or complement the other. Just as the structure of CMaj13(♯11) is representative of Lydian, so is the structure of other chords representative of other scales. Figure 8.2 represents the CMaj13(♯11) chord as a melodic phrase with characteristic modal features.
+ 
+FIGURE 8.1 CMaj13(♯11) and Lydian Mode
+ 
+FIGURE 8.2 Lydian Phrase
+In this figure, the Lydian mode has a very distinct sound. The melodic line prioritizes chord tones and the beauty mark ♯11th, avoids a perfect 5th, highlights a major triad on D, and uses successive fourths at the end of the phrase. The bottom stave projects the Lydian sound through the use of quartal harmonies or structures (that is, chords built in stacked fourths). These contain the most active notes derived from the Lydian mode. The interplay between the melodic line and the underlying harmonies unifies both musical dimensions. Not only does chord-scale theory control the relationship between lines and chords, but it also suggests a particular melodic and harmonic vocabulary derived from the structure of specific chords and scales.
+Major Category
+Possible Harmonic Function-Tonic and Predominant
+In the forthcoming discussion, modes and chords are placed in the familiar functional categories. Each figure provides an analysis of the mode's pitch content in terms of chord tones and extensions along with a selection of chords and upper structures. The term "upper structure" refers to a triad or four-part chord that contains extensions or chord tones (excluding the root) of an extended harmonic formation.
+The major category includes three scales: Ionian, Lydian, and Lydian Augmented. They establish a chord-scale relationship with different types of major chord. Figure 8.3 illustrates the pitch structure of these modes along with the corresponding chords.
+Note that in the Ionian mode, the 6, Maj7, 6/9, Maj9, and CMaj13 chords include the most important chord tones and extensions from the scale. The six-part CMaj13 is an example of the so-called gapped formation. Gapped formations interrupt the underlying pattern of introducing pitches from the scale in order to prevent excessive doubling. This creates more interesting voicings, or-as is the case in this example-avoids a note that does not fit the content of a fully extended chord. Two triads, major on 5 and minor on 3, summarize the chord-scale relationship using limited harmonic means. Scale degree four is typically employed as a metrically unstressed passing or neighbor tone. In more advanced harmonic settings, however, the avoid note can also participate in the projection of a mode. For instance, harmonic structures such as C(add4) or CMaj7(add4) convey the sound of Ionian, but these structures require a different set of voice-leading rules and specific voicings to make them sound convincing.
+ 
+FIGURE 8.3 Major Category
+In Lydian, the ♯11th is a pitch that flavors the mode in a highly recognizable manner. The chord-scale relationship in Lydian illustrates one of many spelling discrepancies that we will try to untangle. The ♯11th functions as an extension in extended tertian formations, such as in CMaj13(♯11). The ♯11th, then, assumes the presence of the perfect 5th. In four-and five-part chords such as CMaj7(♭5) and CMaj9(♭5), the alternate spelling ♭5th is used for the same pitch in order to preserve the tertian nature of their respective structures. A major upper-structure triad on 2 and a minor upper-structure triad on 7 convey the character of the Lydian collection using limited harmonic means.
+In Lydian Augmented, the ♯5 is a pitch that injects the characteristic augmented sound into the framework of the mode or chords. The Maj7(♯5) and Maj9(♯5) chords delineate the sound of the scale. The most common triad within this mode is the one built on 3 and has a major quality. The major 13th functions as an extension in the context of a complete tertian formation, as in . Otherwise it functions as a passing or neighbor tone.
+Minor Category
+Possible Harmonic Function-Tonic and Predominant
+The minor category includes three modes: Melodic Minor, Aeolian, and Dorian. Figure 8.4 establishes a chord-scale relationship for this category.
+The first four chords, min6, min(♯7), min6/9, and min9(♯7) constitute the familiar four- and five-part formations and form a strong chord-scale relationship with Melodic Minor. The remaining ones, min11(♯7) and min13(♯7), feature extended tertian structures that incorporate six and seven notes from the scale, respectively. A major upper-structure triad on 5 captures the sound of Melodic Minor using limited triadic means.
+Similarly, all the notes from the Aeolian mode can be implemented in a chord. Among the four formations from Figure 8.4, the min9(♭6) and min11(♭13) chords admit both the chord tones and the beauty mark into their structure. The first two, min7 and min9, can represent the scale too, provided that the beauty mark occurs somewhere in the melodic line. In this particular context, the min7 and min9 chords assume the presence of ♭6th or ♭13th in the melodic dimension. The complementary relationship between chords and lines constitutes an important feature of chord-scale theory.
+The Dorian mode is an interesting collection with equally interesting chord-scale relationships. The dual harmonic function of Dorian-tonic and predominant-slightly complicates these relationships. The Dorian mode is a symmetrical scale that features two adjacent minor tetrachords. In theory, Dorian can admit all the notes from the scale into the structure of a chord. In practice, though, the selection of notes for a melodic line or a chord is entirely predicated on the context in which the Dorian mode appears. All the chords from Figure 8.4 establish a chord-scale relationship with Dorian and can potentially function as tonic formations. Yet, only min7, min9, and min11 function exclusively as predominant chords. Therefore, the role of the beauty mark decreases in predominant-type chords and increases in tonic formations. We can also emphasize these two different functional associations of Dorian by using specific upper-structure triads. In the tonic formation, we can use a minor triad on 2; in the predominant Dorian, a major triad on ♭7.
+ 
+FIGURE 8.4 Minor Category
+Dorian as Tonic and Predominant
+Compare the sound of the two melodic phrases in Figures 8.5a and 8.5b.
+The pitch content of these two phrases is derived exclusively from the Dorian mode. In Figure 8.5a, the line features successive fourths and prioritizes the beauty mark, major 6. The parallel quartal structures reinforce the melodic line and use the interval of a fourth as a basic building block. This particular pitch and harmonic architecture implies a modal style of improvisation. In Figure 8.5b, the phrase exhibits very different intervallic characteristics. The use of the minor 7th completely overshadows the major 6th, which becomes de-emphasized as an unaccented passing tone at the "and" of beat 2 in m. 2. The intervallic design of the melody highlights stacked thirds; these are complemented by mostly tertian formations and/or guide tones. In this context, the use of Dorian implies a more traditional style of improvisation, which we might implement over a predominant ii7 in the ii7-V7-Imaj7 progression.
+ 
+FIGURE 8.5A Dorian as a Tonic
+ 
+FIGURE 8.5B Dorian as a Predominant
+What can chord-scale theory tell us about the two phrases from Figures 8.5a and 8.5b? First, it tells us that the scale is a powerful entity that can exhibit either modal or tonal characteristics. Second, the intervallic design of melodic lines can potentially suggest modal or tonal environments. Third, the mode provides a structural foundation for melody and harmony. Fourth, in modal environments, upper melodic extensions function primarily as independent chord members that are not bound by the same rules of voice leading as their analogous counterparts in the tonal environment. Fifth, the pitch content of melodic lines can be effectively manipulated by exploring modal and tonal characteristics of scales.
+Dominant Category
+Possible Harmonic Function-Dominant
+The dominant category establishes an intricate family of chord-scale relationships. The dominant category includes four scales: Mixolydian, Mixolydian ♯11, Mixolydian ♭13, and Altered. Figure 8.6 illustrates a chord-scale relationship between dominant modes and corresponding chords.
+The only pitch to be avoided is 4. All other notes can freely participate in a chord to project the sound of these dominant-functioning collections. When examining the content of the dominant 7th, 9th, and 13th chords, notice that their pitch content captures the diatonic qualities of the Mixolydian mode. The sound of Mixolydian can also be expressed using two minor upper-structure triads on 5 and 6.
+ 
+FIGURE 8.6 Dominant Category
+The pitch structure of the Mixolydian ♯11 mode approximates the distribution of partials in the overtone series.2 Figure 8.7 illustrates the overtone series, which distributes partials or overtones above the fundamental note, C1. The overtone series illustrates the sonic architecture of fundamental notes as they occur in nature. The distribution of partials above the fundamental note correlates with the location of chord tones and extensions within chords. Those closer to the fundamental (5ths, 3rds, and 7ths) form chord tones, those further removed from the fundamental (9ths, 11ths, and 13ths) constitute chordal extensions.
+ 
+FIGURE 8.7 The Overtone Series
+The Mixolydian ♭13 mode establishes a chord-scale relationship with the dom7(♯5), dom9(♯5), and dom9(♭13) chords. The mode is typically used in the context of dominant chords occurring in minor keys. Because of the potential spelling discrepancies that might arise in certain chord progressions involving a dom9(♯5) chord, we will implement the syntactically correct dom9(♭13). In the key of C minor, for instance, the ♯5th in G9(♯5) indicates D♯, which does not exist. Although the G9(♯5) spelling preserves the tertian nature of the chord, by referring to ♯5th as ♭13th we avoid making a syntactical error, which is all the more serious because it affects the minor 3rd of the tonic chord, E♭. In addition, the pitch alteration ♯5th becomes the chromatic extension ♭13th in the context of an extended tertian formation, such as a gapped C9(♭13) in Figure 8.6, which includes a perfect 5th as a chord tone.
+Even though the dom7(♭5) and dom7(♯5) chords form a relationship with the Altered mode, without the essential chromatic extensions, the Mixolydian ♯11 or Mixolydian ♭13 scales may actually be implied. The five-part chords that establish a chord-scale relationship with the Altered mode in Figure 8.6 have a highly chromatic pitch content and the degree of tension increases with the addition of the ♯9th. There are two major triads (♭5 and ♭6) and two minor triads (♭2 and ♭3) that project the sound of the Altered mode.
+In the case of chromatic chords and modes (or even with certain diatonic formations and scales), the issue of providing a unified methodology for labeling extensions is extremely problematic. As we have observed, extensions can be labeled as pitch alterations and pitch alterations as extensions. Attempting to resolve these discrepancies should give us a good opportunity to think more rigorously about the choice of notation and the implications of those choices.
+Suspended Dominant Category
+Possible Harmonic Function-Dominant, Predominant, Tonic
+In the suspended dominant category there are four modes: Mixolydian, Mixolydian ♭13, Phrygian, and Dorian ♭2. They establish chord-scale relationships with different types of chord: triads, four-, five-, and six-part. The 7sus chord can function as dominant, predominant, or even as tonic in certain types of modal tune.3 Chord-scale theory for this category is rather complex because the 7sus chord can assume different harmonic functions. For instance, a chord-scale relationship with Phrygian and/or Dorian ♭2 might seem problematic because the major 3rd is not even present in the pitch structure of these modes. We can actually remedy this situation by reinterpreting ♭3 as ♯9th. And since the 7sus chord includes a perfect 4th as an essential chord tone, the absence of the major 3rd from those modes is not too problematic.
+Figure 8.8 illustrates chord-scale relationships for this category.
+ 
+FIGURE 8.8 Suspended Dominant Category
+A major triad on ♭7 and a minor triad on 2 are often used to represent the sound of the suspended Mixolydian mode. The Mixolydian ♭13 scale establishes a chord-scale relationship with two chords, dom9(♯5)sus and dom7(♭13)sus, both of which contain a dominant 7th chord on ♭7. In the former, the ♯5th replaces the 5th; in the latter, the ♭13th implies the 5th.
+Chords that establish a relationship with the Phrygian mode have an interesting selection of upper structures that can be superimposed over the root of the chord. The 7(♭9)sus chord contains a root position half-diminished 7th chord on 5 (G-B♭-D♭-F);  includes an enharmonically spelled root position min7 chord on ♭7 (B♭-D♭-F-G♯); dom7(♯9)sus superimposes an enharmonic major triad with an added major 2nd on ♭3 (D♯-F-G-B♭); and  incorporates an enharmonically spelled major tetrachord on ♭3 (D♯-F-G-A♭). The Dorian ♭2 scale forms a chord-scale relationship with the following formations: dom7(♭9)sus, dom13(♭9)sus, dom7(♯9)sus, and dom13(♯9)sus. One of the most effective upper structures that can represent the sound of Dorian ♭2 is an augmented triad on ♭2 over the chordal root.
+When comparing the chord-scale relationship between Phrygian and Dorian ♭2 in Figure 8.8, notice that the dom7(♭9)sus and dom7(♯9)sus chords establish a relationship with both modes. Neither of these chords, however, contains a note that is essential to the corresponding modes: the dom7(♭9)sus and dom7(♯9)sus chords in Phrygian do not include ♭6, while the dom7(♭9)sus and dom7(♯9)sus chords in Dorian ♭2 do not include major 6. As was the case with other chords that almost captured the sound of particular modes, the missing note from the chord needs to be supplied by the melodic line or assumed aurally. Based on this mutual relationship, we can formulate a basic premise that underlies chord-scale theory: in order to establish the relationship between chords and scales, both musical forces-horizontal and vertical-have to complement and interact with each other in time.
+Intermediary Category
+Possible Harmonic Function-Predominant and Dominant
+The intermediary category contains three modes: Dorian, Locrian, and Locrian ♮2. They establish a chord-scale relationship with min7 and min7(♭5), as well as with other extended formations. In discussing chord-scale theory for this category, we will focus on establishing a relationship between the min7 and min7(♭5) chords, and with the corresponding scales. Since these chords are frequently used in the ii7-V7-Imaj7 and  progressions, respectively, choosing the correct scale is essential in projecting the sound of these harmonies during improvisation. Figure 8.9 illustrates a chord-scale relationship between intermediary-type modes and corresponding chords.
+The Dorian mode establishes a relationship with the min7 and min9 chords in order to convey the sound of predominant ii7 in the ii7-V7-Imaj7 progression. In our earlier discussion of Dorian, we observed that all the notes from the scale could participate in projecting the Dorian sound. Here, the issue of the avoid note comes back and relates to the status of the beauty mark. The major 6th is excluded from the structure of predominant formations and, in the context of melodic lines, should be treated as a passing or neighbor note.
+ 
+FIGURE 8.9 Intermediary Category
+
+
+In Figure 8.9, the chromatic Locrian ♮2 is located before the diatonic Locrian. The Locrian ♮2 mode includes a major 9th, the most suitable form of the 9th that can be added to the min9(♭5) chord. We can also use upper structures: min(♯7) on ♭3, Maj7(♯5) on ♭5, and the augmented triad on ♭5, to convey the sound of Locrian ♮2. The min7(♭5) chord in Figure 8.9 also forms a chord-scale relationship with the diatonic Locrian mode. This scale can be used with the min7(♭5) chord, but the beauty mark ♭2 is de-emphasized and treated as a passing or neighbor note.4 The other beauty mark, ♭5, functions as a chord tone and is integral to the sound of both Locrian scales.
+Chord-scale theory tells us which notes to use in melodic lines, which chords best represent the harmonic character of those lines, and which combinations of notes can participate in a chord voicing. But, the chords we use cannot always accommodate all the notes from corresponding scales. In instances when a chord does not clearly project the sound of a mode, the corresponding melodic line has to supply the missing notes from the correct scale. Depending on the context, however, even the most important notes from the mode, such as beauty marks and chord tones, might be de-emphasized and treated as passing or neighbor notes.
+THE II7-V7-Imaj7 PROGRESSION
+
+Figure 8.10 illustrates the chord-scale relationship for the ii7-V7-Imaj7 progression in the key of C major.
+Even though all the notes from Figure 8.10 are derived exclusively from the C major scale, the individual modes establish a strong metric relationship with the underlying chords. Notice that downbeats in Figure 8.10 are occupied by chord tones, while offbeats with passing notes are notated with small note heads. Such a distribution of notes enables a clear projection of chords and harmonic progressions during improvisation.
+In addition to the diatonic relationship shown in Figure 8.10, we can also experiment with substitute chords and their corresponding scales in order to establish more intricate chord-scale relationships, such as those provided in Figure 8.11. While these relationships expand our melodic vocabulary and harmonic understanding, they also illustrate how to introduce chromatic notes. Figure 8.11 illustrates some of the most common combinations of chromatic chord-scale relationships for the ii7-V7-Imaj7 progression.
+In Figure 8.11a, the dominant chord in m. 2 includes the ♯11th, which establishes a chord-scale relationship with the Mixolydian ♯11 scale. The tonic in mm. 2-3 features a Maj7(♯11) chord, which forms a chord-scale relationship with the Lydian mode. The remaining progressions in Figure 8.11 illustrate ever more complex chord-scale relationships. In Figure 8.11d, for instance, the use of the secondary dominant 7th, V7/V, in m. 1 transforms the diatonic ii7-V7-Imaj7 progression into the chromatic II7-V7-Imaj7. The use of Mixolydian ♯11 over the secondary dominant 7th is specially common in Bebop improvisation.
+ 
+FIGURE 8.10 Chord-Scale Relationship: ii7-V7-Imaj7
+ 
+FIGURE 8.11 Chromatic Chord-Scale Relationships
+THE  PROGRESSION
+
+Figure 8.12 illustrates two chord-scale relationships for the  progression in the key of C minor.
+In Figure 8.12a, the Locrian ♮2 mode establishes a chord-scale relationship with Dmin7(♭5) as it contains a major 9th that expands the min7(♭5) into the min9(♭5) formation. The choice of Mixolydian ♭13 also fits the underlying tonal context since ♭13th anticipates the arrival of minor 3rd of Cmin7. Figure 8.12b proposes one of many chromatic chord-scale relationships that can be established for the progression. Here, the chromaticism becomes more prominent as the dominant 7th chord forms a chord-scale relationship with the Altered scale and the tonic chord with Melodic Minor.
+One of the goals of chord-scale theory is to develop our practical skills. Although Figures 8.11 and 8.12 showed different chord-scale relationships, our choices in our improvisations should reflect the surrounding musical context. Even though Mixolydian ♭13 is considered a chromatic mode in the context of the progression from Figure 8.12a, it is a more fitting choice than the diatonic Mixolydian because it contains the ♭13th that better conveys the underlying tonality. The treatment of chromatic extensions is an important factor to consider while making improvisational choices. In Figure 8.11b, for instance, the Altered mode over the dominant 7th prepares the arrival of Lydian Augmented. Since Lydian Augmented contains a dissonant ♯5th, the Altered mode one measure earlier foreshadows the occurrence of this alteration.
+ 
+FIGURE 8.12 Chord-Scale Relationship: 
+NOTES
+
+1. Tertian formations complete their third span after two octaves and may contain different kinds of 3rds (minor, major, diminished, and augmented).
+2. The Mixolydian ♯11 mode is also known as the "overtone" or "acoustic" scale due to its relation to the overtone series.
+3. "Yes or No," "Little One," "Milestones," or "Litha," for instance.
+4. In more advanced harmonic settings, however, a ♭9th can be added to the min7(♭5) chord, as can be seen in Figure 25.6.
+
+CHAPTER NINE
+The Blues
+
+
+
+CHAPTER SUMMARY
+
+Chapter 9 discusses the most important form in jazz, the blues, examines the structure of the blues scale, and provides chord-scale relationships for the basic and minor blues progressions.
+CONCEPTS AND TERMS
+
+•AA`B phrase structure
+•Basic blues progression
+•"Blue" notes
+•Blues scales
+•Call and response
+•Generic blues
+•Major blues scales
+•Minor blues scales
+•Tonicizing sonority
+•12-bar form
+•Voice leading
+GENERIC BLUES
+
+The blues is an American art form. Originally, blues were primarily sung, with one of the objectives being to tell a story as vividly as possible. To tell stories, blues singers used simple repeated phrases charged with a variety of expressive devices. The ability to tell the story from one's perspective came to represent blues performance practice in particular, and jazz improvisation in general. The familiar saying that "your solo should tell a story" takes on a completely different meaning when we consider whence it came and how intricate life's stories can really be. Early blues practitioners were unconstrained by the form of the blues as the duration of improvised lyrics often influenced the length of individual phrases. Eventually, the blues was codified as a 12-bar form and, as such, it is by far the most common among jazz musicians.
+Figure 9.1 illustrates a fundamental harmonic framework of the 12-bar blues that we will refer to as a generic blues.
+ 
+FIGURE 9.1 Generic Blues
+The form of the generic blues can be partitioned into three four-bar phrases labeled as AA`B. Each of these four-bar phrases receives different harmonic support: the A phrase (mm. 1-4) is on the tonic, the A` (mm. 5-8) begins on the predominant and ends on the tonic, and the B phrase (mm. 9-12) begins on the dominant and ends on the tonic. Even though each phrase is analyzed with traditional functional labels, the underlying chords do not behave as specified by these labels. For instance, the tonic chord in m. 1 and the subdominant chord in m. 5 employ dominant 7th chords. In the generic blues, then, the chords on , , and  have the dominant 7th quality.
+The labels A and A` imply the same melodic content whereas the label B implies the use of new melodic material. The predominant harmonic support in mm. 5-6 of the A` phrase, however, completely redefines the relationship between melody and harmony. The same melodic idea-which in the first A section might be heard as tonally stable-sounds unstable in the second A` section due to the disagreement between melody and harmony. In the lyrics of early blues performances, the first two lines (A and A`) frequently introduce a problem, pose a question, or depict a specific situation. The third line (B) almost always provides a solution to those circumstances.
+TELLING A STORY
+
+Here is a sample of blues poetry from the iconic "Backwater Blues":
+Then they rowed a little boat about five miles 'cross the pond
+Then they rowed a little boat about five miles 'cross the pond
+I packed all my clothes, throwed them in and they rowed me along.
+Figure 9.2 demonstrates a musical realization of this story.
+The line in mm. 1-2 has a strong rhythmic and melodic profile. The predominant harmonic support in mm. 5-6 for the same melodic idea from mm. 1-2 redefines the relationship between melody and harmony. For instance, the A♭4s on beat 2 in m. 5 and on beat 4 in m. 6 form the interval of a perfect 4th with the chordal root; this creates melodic and harmonic tensions with the underlying E♭7 chord. The B phrase in mm. 9-10 resolves the accrued tension by introducing a new melodic idea. The musical answer in mm. 9-10 has a balanced melodic design that effectively complements the content of the A phrase.
+ 
+FIGURE 9.2 Musical Realization of a Story
+CALL AND RESPONSE
+
+The musical depiction of the lyrics from Figure 9.2 illustrates an additional aspect of blues performance practice-the use of call and response. Originally practiced by a large group of people, this improvisational technique involves sharing ideas between the leader and her/his followers. Mastering the call and response technique is especially important at the beginning of our encounter with jazz improvisation. It engages us in a meaningful dialogue that includes exchanging and communicating musical ideas. The communicative aspect of call and response is relatively straightforward in the context of verbal conversation. In a musical setting, however, when spoken words and sentences are replaced with motifs and melodic phrases, the structure of the call and response might not be as obvious. To be a good communicator, we have to know how to listen, pay close attention to what the other musicians are playing, and try to be receptive to their ideas.
+In certain scenarios, however, the use of call and response technique might create less than desirable effects. For instance, when the call and response takes the form of exact and immediate repetition, it might be impressive but not necessarily in keeping with the surrounding musical context. A much more subtle way of thinking about the call and response technique involves musical interaction at the level of the entire performance in which non-adjacent sections relate to one another, and where the flow of the performance is regulated by logically introduced musical ideas. In creating a musical narrative, then, we can also respond to each other's playing, but these responses are not as obvious as simple repetitions tend to be. We can demonstrate our listening skills, for instance, by incorporating an idea that we have previously heard (i.e. a rhythmic motive from the drummer, or a melodic gesture from the guitarist) and develop it in such a way that leads to a more satisfying musical discourse. The call and response aspect of improvisation means that musicians understand each other's intentions, have an unspoken agreement, so to speak, and project them with a high level of personal expression and musical commitment.
+THE BLUES SCALE
+
+The expressiveness of the blues comes from the melodic inflections added to particular notes. When we listen to various vocal or guitar renditions of the blues, these inflections are easily recognizable; they stand out because of their emotional charge and slightly "out of tune" sound.1 The so-called blues scale approximates the sound of these pitch inflections by altering , , and  of the major scale. Figure 9.3 illustrates the content of the blues scale and its derivation from the major scale.
+The blues scale is a six-note collection with the "blue" notes on ♭3, ♭5, and ♭7. Although the presence of ♭7th suggests a chord-scale relationship with the dominant 7th chord, the use of the blues scale is not limited to this chord only. In the context of the blues scale, the pitches ♭3 and ♭5 constitute expressive embellishments not bound by any particular harmonic function or chord type. The blues scale, then, is an androgynous collection that works just as well for dominant 7ths as it does for tonic and predominant chords. The unspecified functional associations of the blues scale suggest that this collection is relatively easy to implement during improvisation. Indeed, the blues scale not only allows us to add expression to our playing, but it also demonstrates our understanding of its historical importance and its role in the jazz tradition.
+ 
+FIGURE 9.3 Blues Scale
+Major Blues
+Having examined the structure of the blues scale, we can now explore the tonal potential of the scale.2 Figure 9.4 illustrates the structure of G blues scale.
+This scale has a minor feel to it; notice the use of ♭3, ♭5, and ♭7. By starting the scale on B♭3 and continuing through the octave, we are able to generate a major scale that, in addition to having the "blue" 3rd, also contains the major 3rd needed for major and dominant 7th chords. A major blues scale, shown in Figure 9.5, starts on ♭3 of the regular blues scale, contains a perfect 5th, major 6th, and major 9th, and establishes a convincing chord-scale relationship with the B♭6/9, B♭13 or other B♭-based dominant 7th chords.
+In addition to more generic usage of the blues scale (where a single scale is used in the context of different chords), we can be more discerning and assign a regular blues scale to minor chords and a major blues scale to major and dominant 7th chords.
+ 
+FIGURE 9.4 G Blues Scale
+ 
+FIGURE 9.5 Major Blues Scale
+BASIC BLUES PROGRESSION
+
+In the most fundamental form, the generic blues consists of only three chords: I7, IV7, and V7. These harmonies control the structure of the blues, even though in some chord progressions, particularly those from the Bebop Era, they might be disguised, substituted, transformed, or omitted all together. The generic or three-chord blues, without any additional chord changes, was often employed in early jazz, particularly in Early Blues, Boogie-Woogie, and different New Orleans styles.3 We will now examine the harmonic structure of a slightly modified blues (one that is probably the most common in jazz), and illustrate how this chord progression came about and how it relates to the generic blues. Figure 9.6 illustrates a basic blues progression and its relationship to the generic blues. When jazz musicians gather together to play the blues, the chances are that they are going to use this chord progression.
+ 
+FIGURE 9.6 Basic Blues Progression
+Notice that, in mm. 9-12, the chord changes are different in both progressions. A characteristic V7-IV7 chord succession in the generic blues becomes a ii7-V7-I7 progression in the basic blues. Another noticeable difference between the two progressions relates to the overall unfolding of harmonic rhythm. The slow harmonic rhythm of the generic blues reflects the fixed location of the structural chords: I7 in mm. 1, 7, and 11; IV7 in mm. 5 and 10; V7 in m. 9. In the basic blues, the rate of harmonic rhythm is much faster, usually with one-chord-per-measure changes. Additionally, the mediant harmony VI7 in m. 8 introduces a chromatic chord that anticipates the arrival of a predominant ii7 in m. 9. This tonicizing sonority, V7/ii, offers a momentary departure from the diatonic framework of the blues. In comparison to the generic blues, Figure 9.6 contains more tonally based progressions and, as such, lends itself to improvisation, something that we will undertake in Chapter 10.
+Keyboard Realization
+In addition to being fluent on our primary instruments, the ability to realize chord progressions on the piano is an essential skill that enables us to understand the harmonic structure of tunes, their voice-leading propensities, and their inherent chord-scale relationships. The most basic realization of the basic blues progression shown in Figure 9.7 involves chordal roots in the left hand (L.H.) and guide tones in the right hand (R.H.).
+ 
+FIGURE 9.7 Basic Blues: Guide-Tone Realization
+The voice leading between adjacent chords is very strict. A major 3rd of the dom7 chord moves by a half step to a minor 7th of another dom7 and, conversely, a minor 7th of the dom7 moves down to a major 3rd. Skips are allowed only when stepwise motion is impossible to implement. For instance, the guide tones of B♭7 and G7 in mm. 7-8 move by parallel minor 3rds because this is the most efficient way to connect these chords. Larger skips can occur in places where the guide tones are registrally too low or too high. These skips or register transfers should coincide with the overall design of phrases, distribution of cadences, and harmonic rhythm of a tune. For instance, register transfers can be made in mm. 5 and 9 because those measures mark the beginning of new phrases and are aligned with the new harmonic functions. In summary, the successful realization of harmonic progressions depends on good voice leading, which primarily relies on stepwise motion between guide tones and careful distribution of skips.
+Chord-Scale Relationships
+Figure 9.8 establishes a couple of chord-scale relationships for the basic blues progression in the key of B♭. Figure 9.8a uses major and minor blues scales and Figure 9.8b combines blues scales and modes.
+ 
+FIGURE 9.8 Basic Blues: Blues Scales and Modes
+MINOR BLUES
+
+The progression shown in Figure 9.9 exemplifies the structure of a minor blues.4
+The chord structure of the minor blues is characterized by the presence of traditional tonal progressions. For instance, the tonicization of iv in m. 4 uses a secondary dominant 7th, V7/iv, and the motion to V7 in m. 10 is prepared by the ♭VI7 chord. This particular preparation of the dominant 7th, ♭VI7-V7, is one of the harmonic trademarks of the minor blues.
+Chord-Scale Relationships
+The two chord-scale relationships for the minor blues shown in Figure 9.10 indicate a selection of blues scales and modes that will be explored in Chapter 10.
+ 
+FIGURE 9.9 Minor Blues
+ 
+FIGURE 9.10 Minor Blues: Blues Scales and Modes
+NOTES
+
+1. Listen to the way Bessie Smith (Essential Bessie Smith) or Billie Holiday (Lady Sings the Blues) sing the blues, or Blind Lemon Jefferson plays the blues on the guitar (The Best Of Blind Lemon Jefferson).
+2. I am indebted to Prof. Harold Danko for sharing with me his thoughts on this subject.
+3. "West End Blues," "Mecca Flat Blues," "Honky Tonk Train," "Lost Your Head Blues," "Hear Me Talkin' To Ya," "Pinetop's Boogie Woogie," "Roll 'Em Pete," or "Monday Struggle."
+4. Representative 12-bar minor blues compositions are: "Bag's Groove," Ko-Ko," Birk's Work," "Hora Decubitus," "Footprints," and "The Eye Of the Hurricane."
+
+CHAPTER TEN
+Improvisation
+
+
+
+CHAPTER SUMMARY
+
+Chapter 10 embarks on a study of improvisation. After some introductory remarks, the importance of melody in improvisation is discussed. A few basic improvisational strategies involving blues riffs, guide tones, and motifs are closely examined and implemented in practice.
+CONCEPTS AND TERMS
+
+• Blues riffs
+• Charleston rhythm
+• Compound melodies
+• Guide-tone improvisation
+• Motifs
+• Motivic development:
+Blues riffs
+Expansion
+Fragmentation
+Interpolation
+• Inversion:
+Real
+Tonal/modal
+• Repetition:
+Exact
+Inexact
+• Transposition:
+Real
+Tonal/modal
+• Rhythm
+GETTING STARTED
+
+In Chapter 2, we stressed that rhythmic integrity and a good sense of time should be the focus of a performance. The quality and placement of swing 8th notes, phrasing, and articulations are essential characteristics of melodic lines. While these characteristics relate to the overall presentation of melodic lines, the content of our phrases is intimately related to the musical material with which we are working. Successful improvisation depends just as much on the ability to project the melodic line in a convincing fashion as it does on a familiarity with the melodic syntax, harmonic vocabulary, and rhythmic conventions associated with the tune being used for improvisation. In addition, the ability to listen to our own playing, articulate the form of improvisations, and make large-scale musical connections is an important skill that can improve improvisational skills.
+In our initial attempts at improvisation, we might notice that, instead of concentrating on when to play, we are spending too much time thinking about what to play. This is perfectly understandable; after all, improvisation is a complex musical activity. It requires complete internalization and practical understanding of theoretical concepts. In shifting our focus from what to play to when to play, the what to play needs to be fully internalized. This involves studying different theoretical concepts, learning different styles of improvisation, listening to music, and practicing. Improvisation is similar to learning a new language. The first step involves the acquisition of essential words and grammar rules; these are then combined in simple sentences to enable basic communication. Similarly in jazz improvisation, we first acquire a basic vocabulary of chords, scales, and motifs along with some normative voice-leading rules. Once we have internalized these building blocks and rules, we can create idiomatic improvisations of our own.
+BLUES RIFFS
+
+We begin our study of improvisation with the blues. Improvising on the blues presents an interesting situation because the task might not seem too complicated. After all, we can negotiate different blues progressions with only a blues scale and sound quite convincing. Studying blues improvisation, however, gives us a solid foundation that we can later develop and expand. The most basic strategy in learning blues improvisation involves playing simple melodic ideas derived from the blues scale, called blues riffs. In using this approach, the negotiation of chord changes is not the main concern because blues riffs fit the structure of different chords and chord progressions. There is, however, one important aspect of our playing that requires attention, namely rhythm. Figure 10.1 illustrates a solo on the generic blues form that employs a variety of blues riffs.
+These riffs have a characteristic melodic and rhythmic profile that influences the overall flow of the solo. The design of these riffs has a unique pitch structure that prioritizes the use of the blue notes. Figure 10.2 provides a compilation of one- and two-bar blues riffs starting on different pitches of the blues scale that can be explored during improvisation. It is worth noting that these riffs are just as effective in improvising on the blues as they are in improvising on other types of tunes. While improvising on blues progressions, we will use these riffs at different locations within the form so that the phrasing does not follow the regularity of four-bar phrases of the blues in a predictable way.
+ 
+FIGURE 10.1 Two-Chorus Blues Solo
+THE ROLE OF GUIDE TONES
+
+In Chapter 8, it was noted that harmonies can be represented horizontally as melodic lines and that melodic lines can be represented vertically as harmonic formations. This mutual interrelationship between chords and lines implies that the same rules of voice leading that control the behavior of chords will also control the behavior of melodic lines. The keyboard realization of the blues in Chapter 9 (Figure 9.7) involved placing the guide tones in the R.H. and chordal roots in the L.H. The harmonic guide tones from Figure 9.7 can be horizontalized as a melodic line. This line can literally guide us through the chord changes while improvising, hence the term guide-tone improvisation. The melodic line in Figure 10.3 consists of two half notes (or four quarter notes in m. 4) using 3rds and 7ths from the underlying harmonies. This apparently single-line melody is an example of a compound melody. Figure 10.3 shows the transformation of the vertical guide tones into two horizontal compound melodies beginning on the 3rd and the 7th, respectively, and suggests a chord-scale relationship that can be explored during improvisation. The implied contrapuntal lines are indicated with stems pointed in the same direction and attached to a dashed line.
+ 
+FIGURE 10.2 Blues Riffs
+ 
+FIGURE 10.3 Guide-Tone Line: 3rds and 7ths
+THE CHARLESTON RHYTHM
+
+By emphasizing a guide-tone line in our improvisation, we can clearly express the quality and function of underlying chords. To be successful at this type of improvisation, the horizontalized guide tones need to be metrically emphasized. We can begin by activating the line with the help of a two-note rhythmic gesture known as the Charleston rhythm.1 This idiomatic rhythmic idea, along with the eight possible metric locations within the measure, is shown in Figure 10.4.
+ 
+FIGURE 10.4 The Charleston Rhythm
+EXPLORING GUIDE TONES
+
+Using 3rds and 7ths
+The guide-tone line establishes a chord-scale relationship with the underlying harmony that we need to preserve once we move away from improvising solely on a blues scale. Using the chord-scale relationships from Figures 10.3, 9.8, and 9.10, we will now demonstrate how the relationship between guide tones and corresponding scales might work in the context of a solo. In addition to establishing a convincing chord-scale relationship, the solo in Figure 10.5 also employs various incarnations of the Charleston rhythm.
+Using 3rds or 7ths
+Another approach to practicing guide-tone improvisation involves embellishing only a single guide tone. Melodic activities can be organized either around the 3rd or the 7th of underlying chords. Figure 10.6 illustrates two structural lines of the blues that use the 3rds and the 7ths of corresponding chords, respectively.
+ 
+FIGURE 10.5 Guide-Tone Improvisation
+With a single guide tone the structural line becomes more angular, thereby making its elaboration more challenging. Figures 10.7a and 10.7b demonstrate how to integrate individual guide tones within the context of a solo. Figure 10.7a prioritizes the 3rds and Figure 10.7b emphasizes the 7ths. Arrows indicate the metric placement of guide tones within the line.
+The 3rd and 7th lines
+In preparing for improvisation, we can select a single line starting on the 3rd or the 7th and elaborate it with different melodic ideas. Such a line fulfills the rules of voice leading (the 3rd of a chord is retained or moves down by a half step; the 7th of a chord moves down by a half step to the 3rd of the next chord). Figure 10.8a illustrates a structural line (top staff) beginning on the 3rd and its melodic elaboration (bottom staff). Figure 10.8b shows a structural line beginning on the 7th and its subsequent elaboration. Notice the metric distribution of guide tones within these lines.
+ 
+FIGURE 10.6 Two Guide-Tone Lines
+MOTIVIC DEVELOPMENT
+
+Techniques of motivic development are innately connected with the art of composition and improvisation. Although these techniques may take many different forms, the underlying premise is to take a small melodic gesture, called a motif, and transform it in a logical, coherent, and musically satisfying manner. The use of motivic development provides structural coherence to improvisation. There are certain characteristics, however, that a motif should have in order to lend itself to musical development. These characteristics include a strong rhythmic profile, an interesting melodic shape, a clear harmonic structure, and a relatively short pitch duration. When examining motifs from jazz or classical literature (compiled in Figure 10.9), special attention should be paid to their strong rhythmic, melodic and harmonic characteristics, and, above all, their succinctness and memorability.
+ 
+FIGURE 10.7A Improvisation: Embellishing 3rds
+ 
+FIGURE 10.7B Improvisation: Embellishing 7ths
+ 
+FIGURE 10.8A Improvisation: Embellishing a 3rd line
+ 
+FIGURE 10.8B Improvisation: Embellishing a 7th line
+ 
+FIGURE 10.9 Motifs From Literature line
+
+
+With their slow (or non-existent) harmonic rhythm, modal tunes are ideal vehicles for practicing improvisation and implementing different techniques of motivic development. Because the pitch content is fixed, the focus is on playing with a good sense of time and on the development of particular motifs. In the overview of techniques of motivic development, we will first demonstrate how to create a motif that successfully captures the sound of a given mode. Then the traditional techniques of motivic development will be examined, such as repetition, transposition, expansion, interpolation, contraction, fragmentation, and inversion. Finally, we will demonstrate how to implement these techniques in practice.
+Broadly speaking, a motif should convey the sound of a specific mode and display a strong melodic and rhythmic profile. Figure 10.10 provides a selection of motifs for diatonic and chromatic modes in C. These will later be used for practicing motivic development with the Play Along DVD.
+The pitch content of these motifs clearly projects the sound of corresponding modes, as each motif prioritizes the use of chord tones and beauty marks. The rhythm of each motif is representative of jazz syntax and has strong developmental potential.
+ 
+FIGURE 10.10 Motifs for Practicing Improvisation
+Repetition
+The technique of repetition is based on either the exact or the inexact recurrence of the motif. Even though exact repetition might be redundant, occasionally it can be employed for melodic emphasis or for confirming musical ideas. Inexact repetition transforms the original motif using slight melodic and/or rhythmic modifications. These modifications typically involve pitch replacements or minor rhythmic displacements. Exact and inexact repetitions, as well as other motivic techniques, are illustrated in Figure 10.11.
+Transposition
+The technique of transposition transfers the original motif to a different pitch level. There are two forms of transposition: tonal/modal and real. Tonal/modal transposition preserves the underlying tonality/modality of the motif. Thus, it allows for minor intervallic adjustments to the pitch structure of the original motif. Real transposition preserves the intervallic content of the motif when transposed to a different pitch level. The most obvious consequence of real transposition is the infusion of chromaticism and noticeable departures from the underlying tonal/modal center. With this technique, we can effectively control the ebb and flow of chromaticism and its impact on the music. To create a stark melodic contrast, for instance, we can transpose the motif by an interval that does not keep any notes in common between the original and its repetition. In order to exhibit a more controlled approach to improvisation, we can let the intervallic content of the original motif influence the level of transposition. Furthermore, to demonstrate traces of compositional thinking in our improvisation, we can control the level of transposition by implementing pitches from the original motif as roots of the transposed motifs. All of these possibilities are demonstrated in Figure 10.11.
+Expansion and Interpolation
+Expansion and interpolation are techniques of motivic development that add new material to the original motif. Expansion adds new melodic content at the end of the motif. Tangentially related to expansions, interpolations transform the original motif by inserting new melodic material in the middle of its structure. Figure 10.11 illustrates the use of these techniques.
+Contraction and Fragmentation
+Contraction, which typically occurs in the context of longer gestures, shortens the length of the original motif. Subsequently, these shorter melodic cells might undergo the technique of fragmentation, which further allows for development through repetition, transposition, and/or expansion. The technique of fragmentation might be advanced through other means as well. For instance, we can partition the original motif into small melodic cells and, then, combine them using different motivic permutations. Figure 10.11 demonstrates the use of these techniques.
+Inversion
+The technique of motivic development known as inversion mirrors the intervallic content of the original motif. Just as in transposition, there are two types of inversion: tonal/modal and real. In tonal/modal inversion, the shape of the original motif is inverted in pitch space specific to the particular key or mode. Just as in tonal transposition, this technique usually does not preserve the intervallic content of the original motif. Certain intervallic adjustments of the original motif are required in order to preserve the underlying tonality/modality. In real inversion, the intervallic content of the original motif is preserved and, as a result, chromatic pitches will likely occur. Using inversions in improvisation can be challenging because we have to quickly figure out intervallic inversions of the original motif and implement them in real time. In spite of these challenges, however, the use of inversion is a very powerful technique that can add more control in our playing. Figure 10.11 illustrates the use of two types of inversion, as well as other techniques of motivic development. Notice that the intervallic content of the original motif and its transformations are indicated with integers representing a number of semitones. A "+" and "−" indicate the direction of intervals: ascending and descending, respectively.
+ 
+FIGURE 10.11 Techniques of Motivic Development
+NOTE
+
+1. The Charleston rhythm is derived from James P. Johnson's popular song "The Charleston" from 1923.
+
+
+PART TWO
+Intermediate
+
+
+
+
+
+
+
+
+
+
+
+CHAPTER ELEVEN
+Jazz Lead Sheets
+
+
+
+CHAPTER SUMMARY
+
+Chapter 11 provides an analysis of two standard tunes: "My Romance" and "All the Things You Are." The analysis of "My Romance" focuses on a structural reading of the tune. The analysis of "All the Things You Are" concentrates on the ubiquity of the II-V-I progression.
+CONCEPTS AND TERMS
+
+• Back-door dominant 7th
+• Fake books
+• Lead sheets
+• Two-level analysis:
+First level
+Second level
+• II-V-Is:
+Incomplete
+Structural
+Tonicizing
+WHAT DOES A LEAD SHEET TELL US?
+
+In order to become a successful jazz musician, one has to learn how to read, interpret, and modify lead sheets. Improvising from a lead sheet is a unique performance skill that jazz musicians cultivate on a daily basis and perfect over a long period of time. Comparable to other shorthand notations from classical music, such as figured bass, tablature, partimento, or others, lead-sheet notation contains just enough essential information to create a complete performance.
+A typical jazz lead sheet includes a single-line melody, chord symbols, and lyrics. Lead sheets can be a part of larger compilations of songs known as fake books. They can also exist as individual song folios; these types of lead sheet are probably the most accurate and valuable. Musicians can create their own fake books to play with other musicians and to agree on harmonic changes. Jazz lead sheets from reputable publishers contain relatively few mistakes. This is helpful since in the not-so-distant past, illegal fake books contained many mistakes. Reputable publishers sometimes incorporate dubious editorial decisions and present a certain historical performance as somehow iconic of that song's performance practice. Although the accuracy of fake books has certainly improved, the best method of learning and retaining tunes is to find the original recording and transcribe the melody and chord changes from the record.
+Songs that constitute the core of jazz repertory were once considered widely popular. They were continually heard on the radio and often topped the charts. Artists who performed them were treated like celebrities and had cult-like followings. Jazz musicians have appropriated these tunes into their repertoire for obvious reasons: they are great songs written by composers who, above all, valued and understood the importance of a good melody. Their popularity among jazz musicians is probably the best testimony that great music never loses its appeal. The original chord progressions of standard tunes might include the harmonic vocabulary typical of the popular idiom during the Golden Age of the American Popular Song, ca. 1900-1950.1 Just as in decades past when jazz musicians offered personal interpretations of these tunes, it is important to learn how to interpret lead sheets in a manner that convincingly expresses the nature, affect, and "feel" of the song.
+TWO-LEVEL ANALYSIS
+
+A method of analysis known as two-level analysis enables us to differentiate between chords that are structurally important and those that are not. In this method, the second level is more general. It stands back from surface-level details to examine larger harmonic gestures and functions. It also determines the large-scale key distribution and the harmonic character of individual phrases. Such examination forces one to look at the tune from a more global perspective. The first level of analysis goes back to a chord-by-chord, measure-by-measure unfolding of harmonic changes. In conjunction with the initial observations, it helps to determine how chords interact with one another, how progressions project harmonic function, and how chords behave on a local level. This analytical method establishes a hierarchical relationship between chords, illustrates the functional relationships at the phrase level, and explains how the tonality of a tune works. It merges global and local perspectives into a unified analytical synthesis.
+"MY ROMANCE"
+
+This analytical demonstration discusses the difference between chords that are structurally important and those that are not. Figure 11.1 illustrates a lead sheet of "My Romance" by Richard Rodgers and Lorenz Hart.2
+ 
+FIGURE 11.1 Lead Sheet-"My Romance"
+Figure 11.2 provides a two-level analysis of "My Romance" (mm. 1-16). The A section is divided into two four-bar phrases. The first phrase begins on the tonic and features a strong cadential confirmation of the tonic in m. 4 that establishes the key of the song. Remember that to establish a key it is necessary to have a statement of the tonic, a motion away from the tonic, and some kind of cadential gesture to confirm the tonic. In standard tunes, that cadential gesture almost exclusively takes the form of the ii7-V7-Imaj7 progression. Measures 1-4 of "My Romance" exhibit these characteristics, as indicated by Roman numerals. The second phrase in mm. 5-8 begins on the submediant and leads back to the tonic.
+Even though the harmonic rhythm is relatively fast, with two chords per measure, not all the chords have the same structural and functional weight. For instance, mm. 1-2 expand the underlying tonic with a Imaj7-IVmaj7-iii7-vi7 progression, whereas mm. 5-6 expand the submediant with a local i7-V7-i7 progression before tonicizing the predominant ii7 with a V7/ii on beat 3 in m. 6. The second level of analysis, however, reveals a simpler and more fundamental tonal architecture for the A section: mm. 1-4 establish the tonic with a Imaj7-ii7-V7 tonic expansion; mm. 5-6 feature tonal motion to the submediant followed by a ii7-V7 confirmation of the tonic in mm. 7-8. These harmonies occur on metrically strong positions and, by and large, reflect the symmetrical nature of eight-bar phrases.
+The B section features a harmonic departure away from the tonic. In particular, mm. 9-13 are controlled by a IVmaj7-Imaj7 progression with local blues inflections highlighting the ♭VII7 harmony. The ♭VII7 chord in mm. 9 and 11 is also known as a back-door dominant 7th because it subsumes its natural voice-leading tendencies and deceptively resolves up a whole step to the tonic chord. The music departs even further away from the main key in the second four-bar phrase of the B section. To make tonal sense out of that progression, let's start in m. 16 and move backwards. The B section is harmonically open and ends on the dominant in m. 16. That dominant 7th is reached through a sequence of fifth-related chords that begins on F♯min7(♭5) in m. 13. Each measure, with the exception of m. 15, contains some kind of a ii7-V7 progression. The second level of analysis indicates a more fundamental harmonic architecture of the B section: mm. 9-12 elaborate a diatonic IVmaj7-Imaj7 progression; mm. 13-16 then expand the underlying tonality with chromatic motion to the mediant and a subsequent return, via a cycle of fifth progression, to the dominant.
+By looking at the overall tonal architecture of a tune, it is possible to learn and memorize the essential harmonies in the first half of the tune. In fact, if a seasoned jazz musician were to explain the harmonic progression of mm. 1-16 to a novice, he would probably say something like this:
+The first A section has two four-bar phrases: the first in I, the second in vi, which returns back to I. The B section features a IVmaj7-Imaj7 progression with a backdoor ♭VII7 in the first four-bar phrase, and a cycle of fifths with local ii7-V7s starting on , in the second four-bar phrase that closes on the dominant 7th.
+Notice that this succinct explanation omits a lot of harmonic details and focuses instead on a big tonal picture. The harmonic details absent from that description are either theoretically assumed or aurally picked up during the performance.
+ 
+FIGURE 11.2 Two-Level Analysis-"My Romance," mm. 1-16
+"ALL THE THINGS YOU ARE"
+
+This analysis focuses on only one aspect of the tune, namely the presence and function of the ii7-V7-Imaj7 progression. Figure 11.3 shows a lead sheet of "All the Things You Are" by Jerome Kern and Oscar Hammerstein II. With a beautiful melody, gorgeous lyrics, interesting harmonic progressions, and an extended 36-bar AABA form, "All the Things You Are" has become an ultimate favorite among jazz musicians.3
+What is particularly striking about "All the Things You Are"-and about the majority of standard tunes as well-is the sheer number of ii7-V7-Imaj7s permeating its harmonic structure.4 In standard tunes, the two basic types of the ii7-V7-Imaj7 progression are commonly implemented: structural and tonicizing. The structural ii7-V7-Imaj7 may or may not always be present at the outset of a tune, but will definitely occur at the end of it in order to confirm the underlying tonality. In "All the Things You Are," mm. 33-36 feature a clear statement of the structural ii7-V7-Imaj7. The same progression also occurs in mm. 2-4, but in this context it provides a harmonic support for the melody and is a part of the larger harmonic span. The structural weight of both progressions is very different and depends on their placement within the tune.
+ 
+FIGURE 11.3 Lead Sheet-"All the Things You Are"
+The tonicizing ii7-V7-Imaj7 progression functions as a local cadential preparation and/or confirmation of secondary key areas. In mm. 6-8, a local (ii7-V7)/III tonicizes the mediant key, III. Why the mediant key? Because the tune appears to be in the key of A♭ major and any harmonic departure from the main tonic is labeled accordingly. This tonicizing progression also occurs within a phrase and, as such, plays a purely supportive role. Remember that the tonicizing ii7-V7 is placed in parenthesis, followed by the diagonal slash and a Roman numeral that indicates a tonicized key area, hence the (ii7-V7)/III label in m. 6. At the end of the second A section, there is another local ii7-V7 progression tonicizing the leading-tone key, VII.
+When comparing the two tonicizing ii7-V7-Imaj7s from mm. 10-12 and 21-23, notice that they occur in different locations and therefore have very different structural roles. Which one is more important? The one from mm. 21-23 because it closes the B section of the song with yet another tonicization of a chromatic key area: the flat submediant, ♭VI. The (ii7-V7)/V in mm. 10-12, meanwhile, is located within a phrase and barely passes through the dominant key area. Even though it tonicizes a secondary tonal area, that tonicization is not confirmed as the phrase continues and closes in a different key, namely G major. This type of tonicization has a prolongational aspect to it. Finally, in m. 30, there is another type of a ii7-V7 progression, yet without the resolution. This progression is notated in square brackets (representing a harmonic ellipsis) with a Roman numeral indicating its "non-existing" resolution to ♭III. This is referred to as an incomplete ii7-V7 progression. Figure 11.4 illustrates the location of different ii7-V7s occurring in the tune.
+NOTES
+
+1. The original harmonic progressions are found in the original song folios, which might include a verse and piano accompaniment.
+2. For representative recordings, consult Appendix F on the companion website.
+3. For representative recordings, consult Appendix F on the companion website.
+4. Even though most musicians would agree that "All the Things You Are" is in A♭, this and other "problematic" tunes can be considered from many tonal angles. A parallel narrative might suggest an emerging tonality of A♭ that begins with an F minor "shadow" tonality (to borrow a metaphor from Frank Samarotto's essay: "Strange dimensions: regularity and irregularity of deep levels of rhythmic reductions."
+ 
+FIGURE 11.4 Roman Numeral Analysis of "All the Things You Are"
+
+CHAPTER TWELVE
+Keyboard Textures
+
+
+
+CHAPTER SUMMARY
+
+Chapter 12 introduces seven models of realizing harmonic progressions on the keyboard.
+CONCEPTS AND TERMS
+
+• Chorale style
+• Model I
+• Model II
+• Model III
+• Model IV
+• Model V
+• Model VI
+• Model VII
+MODELS OF KEYBOARD-STYLE PLAYING
+
+The ability to realize harmonic progressions on the keyboard is an essential skill for the contemporary jazz musician, regardless of her/his primary instrument. The forthcoming models of keyboard playing will help to accomplish this objective.
+Model I
+• Guide-tone lines in the right hand (RH.).
+• Roots of chords in the left hand (L.H.) in 1:1 ratio with the R.H.
+Figure 12.1 demonstrates Model I using the major and minor versions of the II-V-I progression. Notice that the R.H. explores the invertible potential of the guide tones.
+ 
+FIGURE 12.1 Keyboard Realization: Model I
+
+
+
+
+ 
Model II
+• Rhythmicized guide tones in the R.H.
+• Roots, thirds or fifths in the L.H. in 2:1 ratio with the RH.
+Figure 12.2 illustrates the use of Model II. The RH. distributes the Charleston rhythm at different locations within the measure.

+
+
+ 
Model III
+• Root position and inversions of four-part chords in the R.H. (NO voice-leading considerations.)
+• Roots of chords in the L.H. in 1:1 ratio with the R.H.
+The focus of Model III, shown in Figure 12.3, is to explore only one position or inversion of the four-part chord throughout the progression.

+
+
+ 
Model IV
+• Root position and inversions in the R.H. realized with good voice leading.
+• Roots, 3rds, or 5ths in the L.H. in 2:1 ratio with the RH.
 
+FIGURE 12.2 Keyboard Realization: Model II
+
+
+In order to realize harmonic progressions using Model IV, you need to resolve the 3rds and 7ths of corresponding chords properly and remember the rules of good voice leading between chords (i.e. common-tone retention, stepwise motion, and contrary outer-voice counterpoint). Each progression in Figure 12.4 starts on a different inversion of the ii7 chord, which in turn affects the subsequent voice leading of the progression.
+ 
+FIGURE 12.3 Keyboard Realization: Model III
+ 
+FIGURE 12.4 Keyboard Realization: Model IV
+
+
+
+
+ 
Model V
+• Rootless five-part chords in the R.H. (NO voice-leading considerations.)
+• Roots of chords in the L.H. in 1:1 ratio with the R.H.
+Broadly speaking, so-called rootless formations omit the root of the chord from their structure. With rootless five-part chords, the upper four-part structure is placed in the RH. and the root in the L.H. Some of the RH. shapes should look, sound, and feel familiar, since they have already been encountered in the four-part chords in the context of Model III and Model IV. Similar to Model III, we will first acquaint ourselves with four rotations of the rootless formation. Figure 12.5 provides four Model V realizations of the major and minor versions of the II-V-I progression, with each realization beginning on a different R.H. shape.

+
+
+ 
Model VI
+• Rootless five-part chords in the R.H. realized with good voice leading.
+• Roots, thirds, or fifths in the L.H. in 2:1 ratio with the R.H.
+The motion between chords in Model VI shown in Figure 12.6 is controlled by the principles of good voice leading.

+
+
+ 
Model VII
+• Various chords realized in "chorale style" with equal distribution of notes in both hands.
+Model VII uses two voices per hand and employs different four-, five- and larger-part harmonic structures. Since this model uses only four-voice textures, larger formations need to be reduced to their essential harmonic frameworks. In reducing chords to their four-part frameworks certain notes are retained and others omitted. Typically, the root is retained, the 5th is omitted, and-depending on the context-the remaining three voices are selected from the related guide tones, pitch alterations, or extensions. Figure 12.7 demonstrates different Model VII realizations of the II-V-I progression. The selection of chords differs from one realization to the next and depends both on the voicing of the opening chord and on the voice-leading forces initiated by the initial two chords.

+
+ 
These seven models of harmonic realization get progressively more advanced, but even the initial ones-provided that they are performed in time and with a good rhythmic feel-can convincingly express the majority of jazz progressions. As you get more comfortable at realizing harmonic progressions using these models, experiment with different metric placements and variations of the Charleston rhythm.
 
+FIGURE 12.5 Keyboard Realization: Model V
+ 
+FIGURE 12.6 Keyboard Realization: Model VI
+ 
+FIGURE 12.7 Keyboard Realization: Model VII
+
+CHAPTER THIRTEEN
+Idiomatic Jazz Progressions
+
+
+
+CHAPTER SUMMARY
+
+Chapter 13 investigates two- and four-bar idiomatic jazz progressions. It also focuses on aural identification and keyboard realization of non-modulatory and modulatory progressions with various ii7-V7 or  interpolations, as well as miscellaneous four-bar phrases.
+CONCEPTS AND TERMS
+
+• "Coltrane" substitutions
+• Dominant saturation
+• Harmonic progressions:
+"Countdown"
+"Giant Steps"
+"Lady Bird"
+• Major-third cycles
+• Modulations
+• Symmetrical intervallic cycles
+• Tag endings
+• Tritone invariance
+• Tritone substitutions
+• Turnarounds
+• Turnbacks
+• ii7-V7 diminutions
+TRITONE SUBSTITUTIONS
+
+The ii7-V7-Imaj7 progression constitutes the perfect vehicle to introduce one of the most important features of jazz harmony: the tritone substitution, notated as TR/X7. The tritone substitution has its theoretical origins in the equal or symmetrical division of the octave. This substitution is associated with the dominant 7th chord and capitalizes on inversional invariance of the tritone inherent to the dominant 7th formation. The interval of a tritone between the 3rd and the 7th is invariant (i.e. remains unchanged) when the root of a dominant 7th is replaced by the root of another dominant 7th chord a tritone away. By virtue of sharing the same tritone, which includes the most essential notes from the chord, the two dominant 7th chords also share the same functional status. The symbol "TR/X7" indicates a tritone substitute formation in relation to some dominant 7th chord. For instance, a TR/V7 in the key of C major stands for the D♭7 chord, because D♭7 is the tritone substitution of G7; a TR/VI7 in the same key indicates E♭7 as the tritone substitution of A7. In both cases the chordal roots of the diatonic and chromatic 7th chords are a tritone apart. Figure 13.1 explains inversional invariance of the tritone using a ii7-V7-Imaj7 progression in C major.
+ 
+FIGURE 13.1 Tritone Substitution
+
+
+The tritone F4-B4 is invariant when the root of D♭7 replaces the root of G7. With that root replacement, the 3rd and the 7th swap their chord-tone status: the 3rd of V7 becomes the enharmonic 7th of TR/V7, and the 7th of V7 becomes the 3rd of TR/V7. As functionally equivalent dominant 7ths, V7 and TR/V7are ideal substitutes for one another. If any dominant 7th chord is replaced with its tritone substitution then the chord tones, extensions, and alterations change their harmonic status. Figure 13.2 illustrates that relationship.
+ 
+FIGURE 13.2 The Status of Chords Tones, Alterations, and Extensions
+The ii7-V7-Imaj7 Progression and Tritone Substitutions
+Given the premise that the ii7-V7-Imaj7 progression expands the fundamental V-I motion, the rate of harmonic rhythm is increased by adding a local ii7 in front of any secondary dominant 7th. That expansion allows for creative ways to manipulate harmonic rhythm and enhance the structure of harmonic progressions. Figure 13.3 illustrates some of the more interesting transformations of the ii7-V7-Imaj7 progression using the tritone substitutions and ii7-V7 expansions. Chords in bold indicate tritone substitutions.
+ 
+FIGURE 13.3 Tritone Substitutions and ii7-V7 Expansions
+
+
+TURNAROUNDS
+
+In addition to the ii7-V7-Imaj7 and  progressions, there are other harmonic progressions that often occur in standard tunes. Probably the most recognizable progression is a turnaround, also known as a turnback. The turnaround is a two- or four-bar progression, usually with a faster harmonic rhythm, that typically occurs at the end of 8- or 16-bar phrases. One of the formal functions of the turnaround is to effectively prepare the arrival of the "top of the chorus" by ushering in a familiar chord progression.1 Just as the ii7-V7-Imaj7 progression can be transformed with different harmonic substitutions, so too can turnarounds.
+The Imaj7-vi7-ii7-V7 Progression
+Figure 13.4 shows a diatonic Imaj7-vi7-ii7-V7 progression realized using Model I of keyboard style playing.
+ 
+FIGURE 13.4 The Imaj7-vi7-ii7-V7 Turnaround
+
+
+
+This progression extends the diatonic ii7-V7-Imaj7 by another fifth-related chord built on . The submediant chord in the major key has a dual harmonic function: tonic and predominant. In the context of this progression, the vi7 chord functions as a tonic prolongation or tonic expansion. To prolong a chord means to use an auxiliary chord (or chords) that share the same harmonic function with the chord being prolonged. 
 
Harmonic Transformations
+Jazz musicians often use different harmonic substitutions to modify the content of diatonic progressions. The most common harmonic modifications of the Imaj7-vi7-ii7-V7 progression involve the use of secondary dominant chords (V7/X), and tritone substitutions (TR/X7). Figure 13.5 demonstrates these substitutions using Model III of harmonic realization.
+The secondary dominant 7ths A7 and D7 are analyzed with two different Roman numeral labels VI7 and V7/ii, and II7 and V7/V, which can be used interchangeably. The tritone substitutions, E♭7 and D♭7, also use two Roman numerals, ♭III7 and TR/VI7, and ♭II7 and TR/V7, respectively.
+ 
+FIGURE 13.5 Tritone Substitutions in the Imaj7-vi7-ii7-V7 Progression
+TAG ENDINGS
+
+Tag endings are somewhat related to turnarounds in their basic harmonic structure, but play different roles in tunes and complete performances. A tag ending occurs at the very end of a tune, repeats a chord sequence (which in the course of subsequent repetitions becomes harmonically transformed), and has an indeterminate duration. Only the final repetition of the tag ending progression is harmonically closed with a clear confirmation of the tonic. Its basic role in the performance is to provide a satisfactory, coda-like ending with a final improvisational flair. As Miles Davis demonstrated on his many recordings, tag endings may take on a life of their own-especially with Herbie Hancock, Ron Carter, and Tony Williams in the rhythm section-and frequently exceeded the length of his solos.2
+Tag endings and turnarounds often share similar chord progressions: the only difference between the Imaj7-vi7-ii7-V7 and the iii7-vi7-ii7-V7 is that the former begins on the tonic and the latter on the mediant chord. These two chords, Imaj7 and iii7, are said to be functionally equivalent and are frequently used to substitute for one another. Figure 13.6 illustrates a iii7-vi7-ii7-V7 tag ending progression realized with Model II of keyboard playing. Each measure displaces the Charleston rhythm by a half beat.
+Each of these chords can be further substituted by a secondary dominant 7th and, subsequently, by a TR/X7. Since a tag ending progression is usually four bars long, we can demonstrate the use of two harmonic techniques that will double the rate of harmonic rhythm in each measure. The technique of dominant saturation combines two dominant 7th chords, diatonic or chromatic and its TR/X7 (or vice versa) next to each other. The use of ii7-V7 diminution technique expands any dominant 7th chord into a local ii7-V7 progression. Figure 13.7 demonstrates these techniques in the context of a iii7-vi7-ii7-V7 progression realized in Model II of keyboard playing. The second note of the Charleston rhythm anticipates the forthcoming chord by a half beat; this enhances the forward motion of the progression.
+ 
+FIGURE 13.6 Tag Endings
+ 
+FIGURE 13.7 Harmonic Expansions
+THE CYCLE OF DOMINANT 7THS PROGRESSION
+
+Probably the most famous occurrence of the cycle of dominant 7ths progression is in the bridge of "I Got Rhythm," by George and Ira Gershwin. In the discussion of secondary dominants the term "the dominant of the dominant" was used to indicate the relationship between the secondary dominant V7/V and the structural dominant 7th V7. Since the cycle of dominant 7ths progression uses three secondary dominants prior to the structural dominant 7th, that progression can be called by a very long and impractical name: the dominant of the dominant of the dominant of the dominant 7th. Or a more practical way to name it is to use Roman numerals: V7/vi-V7/ii-V7/V-V7 or III7-VI7-II7-V7.
+
+
+Figure 13.8 illustrates two cycles of dominant 7ths progression in the key of C major: "diatonic" realized in Model IV of keyboard playing, and chromatic with tritone substitutions in m. 2 and m. 4 using Model VI. These progressions explore different rotations of the opening chord. 
 
THE "LADY BIRD" PROGRESSION
+
+The terms "turnaround" and "tag ending" are generic labels that do not indicate a particular chord sequence; rather, they suggest the specific formal function of these progressions. In jazz, there is a certain subset of harmonic progressions whose names suggest specific chord successions. When jazz musicians use the term "Lady Bird" progression, for instance, it connotes a particular chromatic turnaround from Tadd Dameron's tune of the same title recorded in 1947. Figure 13.9 illustrates the chord structure of that progression using Model VI of harmonic realization.
+ 
+FIGURE 13.8 The Cycle of Dominant 7ths Progression
+ 
+FIGURE 13.9 The "Lady Bird" Progression
+
+
+
+As indicated with Roman numerals, the E♭7 chord can be explained as a tritone substitution of A7 or as a tonicization of the ♭VI key area. The ♭VI key area establishes a major third relation with the underlying tonic. Dameron's iconic progression foreshadows even more daring harmonic experiments with the complete major-third cycles that came to fruition in John Coltrane's composition "Giant Steps." 
 
"COLTRANE" SUBSTITUTIONS
+
+John Coltrane's recording of Giant Steps in 1959 epitomized his three-year period of harmonic explorations, most notably with symmetrical intervallic cycles.3 His composition "Countdown," which is based on Miles Davis's "Tune Up," illustrates the use of so-called "Coltrane" substitutions. Characterized by fast harmonic rhythm, this substitution projects a major-third cycle in which each local major 7th chord is tonicized with the corresponding dominant 7th. In the context of the Dmin7-G7-CMaj7 progression shown in Figure 13.10, the first member of the major-third cycle, ♭VImaj7, is accessed through its dominant 7th that follows the structural predominant, ii7. The next member of the major-third cycle, IIImaj7, is also preceded by its dominant, V7/III, before the progression completes its trajectory with the structural dominant 7th resolving to the tonic.
+ 
+FIGURE 13.10 The "Countdown" Progression
+
+
+
+ 
The "Giant Steps" progression is closely related to the "Countdown" progression with one exception: it forms a complete major-third cycle, thus dividing the octave into equidistant major 3rds. Figure 13.11 illustrates the harmonic structure of the "Giant Steps" progression in the key of C major using Model VI of harmonic realization. 
 
+FIGURE 13.11 The "Giant Steps" Progression
+
+
+
+
+ 
AURAL IDENTIFICATION OF FOUR-BAR PROGRESSIONS

+
+
+The [ii7-V7]/X Interpolation
+The focus now shifts to identifying and realizing four-bar phrases with diatonic or chromatic [ii7-V7]/X interpolations. A [ii7-V7]/X indicates an incomplete ii7-V7 of one of 11 possible local tonics to which the progression could potentially have resolved. This type of chord interpolation represents a harmonic ellipsis. In the generic prototype shown in Figure 13.12, a [ii7-V7]/X is inserted between two structural ii7-V7s.
+ 
+FIGURE 13.12 Prototypical [ii7-V7]/X Interpolation
+In learning to identify these progressions aurally, two approaches are employed: (1) a focus on the intervallic distance between individual chords, and (2) a focus on the intervallic distance between diatonic and interpolated ii7-V7s. Figure 13.13 lists all possible [ii7-V7]/X interpolations and specifies the intervallic relationship between the structural ii7-V7 and a [ii7-V7]/X interpolation: the first interval indicates the distance between V7 and [ii7] and the second interval between the ii7 and a [ii7]. The phrases in Figure 13.13 are organized from the easiest to the most challenging to identify.
+ 
+FIGURE 13.13 [ii7-V7]/X Interpolations-Intervallic Relationships
+Figure 13.14 realizes these progressions using Models I, III, and VI of keyboard playing. Play these (and the forthcoming) progressions at your own comfortable speed with a metronome (set on "2 and 4" to ) then gradually increase the tempo. Invert the opening sonority in order to familiarize yourself with less familiar chordal shapes.
+Four-Bar Modulations
+Figure 13.15 illustrates a rhythmic distribution of chords within a modulatory four-bar phrase. An "X" indicates the new tonic.
+ 
+FIGURE 13.14 Model Realizations
+The permanent shift to a new tonal area is referred to as a modulation. There are specific conditions for a modulation to take place. To begin with, a clearly established tonic is necessary from which to modulate. Next, the original tonic must be destabilized and proceed toward a predominant key area. A motion away from the tonic, however, is not considered a modulation and neither is a chromatic [ii7-V7]/X interpolation. In order for a modulation to have occurred, the new key must be prolonged and confirmed by a cadence. In jazz harmony, that cadential confirmation typically uses some sort of a ii7-V7-Imaj7 progression. The four-bar generic model from Figure 13.15 summarizes these events. For instance, mm. 1-2 illustrate the initial tonic and its subsequent prolongation and confirmation; mm. 3-4 summarize possible activities in a new key area and its confirmation.
+ 
+ 
+FIGURE 13.15 Four-Bar Modulations
+Figure 13.16 compiles 11 four-bar modulatory phrases divided into two broad categories: closely related keys and remotely related keys. They are organized hierarchically according to their degree of remoteness from the initial tonic. The ability to hear modulations will help to identify these types of tonal shift in standard tunes, particularly between individual sections of the tune.
+Figure 13.17 realizes these progressions using Models I, III, and IV of keyboard playing.
+ 
+FIGURE 13.16 Prototypical Four-Bar Modulations
+ 
+FIGURE 13.17 Model Realizations
+ 
+Figure 13.18 provides three generic prototypes for modulations from major to minor, minor to major, and minor to minor keys.
+Figure 13.19 illustrates possible modulatory paths that you will practice in the WORKBOOK.
+ 
+FIGURE 13.18 Generic Prototypes for Four-Bar Modulations
+ 
+FIGURE 13.19 Possible Modulatory Paths
+The  Interpolation
+Figure 13.20 illustrates the rhythmic structure of a four-bar phrase in the minor key with a chromatic  interpolation.
+ 
+FIGURE 13.20 Prototypical  Interpolation
+Figure 13.21 lists all possible  interpolations and specifies the intervallic relationship between the V7 in m. 1 and  in m. 2, and the structural  and a , respectively. These four-bar progressions are organized from the easiest to the most challenging to identify aurally.
+ 
+FIGURE 13.21  Interpolation
+Two ii7-V7 Interpolations
+Figure 13.22 provides a generic four-bar phrase with two different interpolations in mm. 2 and 3: the one in m. 2 is a harmonic ellipsis and the other confirms a new tonic.
+Figure 13.23 shows possible progressions utilizing these interpolations that you will practice in the exercise section.
+ 
+FIGURE 13.22 Four-Bar Modulations With Two Interpolations
+ 
+FIGURE 13.23 Two ii-V Interpolations
+ 
+FIGURE 13.24 Miscellaneous Four-Bar Progressions
+Miscellaneous Four-Bar Progressions
+Having discussed different combinations of the ii7-V7-Imaj7 and  progressions, we can now explore four-bar progressions that might be encountered in standard tunes. Figure 13.24a-d illustrates four-bar phrases that begin on I, ii, IV, and vi.
+Figure 13.24a compiles 13 four-bar phrases that begin on the tonic chord: some of these phrases are harmonically open and end with the structural ii7-V7 progression; others feature substitute dominants, such as TR/V7 or ♭VII7; still others end with a tonicization of two closely related keys-IV and vi.4 Figure 13.24b illustrates seven four-bar phrases that start with the ii7-V7 or  progressions.5 Figure 13.24c shows six four-bar phrases that begin on the subdominant chord.6 The IVmaj7 opening makes them challenging to identify and easily confused with phrases that start on Imaj7. Figure 13.24d demonstrates five four-bar phrases that begin on the submediant chord.7
+NOTES
+
+1. The term "top of the chorus" refers to the beginning of the form.
+2. Listen to Miles Davis's solo on "All Of You" from My Funny Valentine (1964).
+3. This album marked a zenith of his harmonic experiments largely influenced by Nicholas Slonimsky's Thesaurus of Scales and Melodic Patterns.
+4. Representative tunes are: "Long Ago and Far Away," "Memories Of You," "I'm Old Fashioned."
+5. Representative tunes are: "I Hadn't Anyone Till You," "For Heaven's Sake," "I've Got You Under My Skin."
+6. Representative tunes are: "A Ship Without a Sail," "I Can't Believe That You're In Love With Me," "September Song."
+7. Representative tunes are: "Cry Me a River," "In a Sentimental Mood," "Blue Skies."
+
+CHAPTER FOURTEEN
+Voicings
+
+
+
+CHAPTER SUMMARY
+
+Chapter 14 discusses three types of voicing chord, upper-structure triads, rootless formations and incomplete voicings, and explores their harmonic and voice-leading potential.
+CONCEPTS AND TERMS
+
+•Dominant aggregates
+•Incomplete voicings
+•Polychords
+•Rootless formations
+•Upper-structure triads:
+Major
+Minor
+UPPER-STRUCTURE TRIADS
+
+The use of upper-structure triads involves the superimposition of major or minor triads on top of single notes, guide tones, triads, and intervallic structures. Upper-structure triads add a new set of practical and theoretical issues. With this powerful tool, the number of ways to generate a collection of notes and harness it for compositional, improvisational, and orchestrational purposes is greatly increased. To notate these large harmonic formations, the so-called slash notation is implemented, which makes complex chords relatively easy to interpret. Two types of slash are employed: a diagonal slash that indicates an upper-structure triad written on the left side of the slash and superimposed on top of a single bass note; and a horizontal slash that indicates an upper-structure triad written on top, superimposed over a chord notated below the slash. The horizontal slash, then, denotes polychordal structures that can accommodate as many as eight distinct notes. The term "polychord" indicates two chords that sound simultaneously.
+Although upper structures occur in different types of chord, they will be demonstrated in the context of the dominant 7th chord. The dominant 7th allows the largest and the most diverse assortment of extensions and pitch alterations within its structure. These extensions and alterations can be combined and distributed using various major and minor upper-structure triads. Broadly speaking, there are five major and five minor upper structures that can be added to the dominant 7th chord. The reason for this stems from the specific pitch combinations that these upper triads create and the voice-leading behaviors that the participating extensions and alterations project.
+There are five major upper-structure triads, built on 2, ♭3, ♭5 (♯4), ♭6, and 6, that can expand the dominant 7th chord with properly distributed extensions and alterations. The relationship between the root of the dominant 7th chord and the root of the upper structure is illustrated using Arabic numbers. Major upper structures are notated with upper-case Roman numerals: II on 2, ♭III on ♭3, ♭V on ♭5 (♯IV on ♯4), ♭VI on ♭6, and VI on 6. For instance, a B♭ major triad in the context of G7 is notated as ♭III, yet the same triad in the context of E7 is notated as ♭V or ♯IV.
+In addition to five major upper structures, there are five minor upper-structure triads that can also expand the structure of the dominant 7th chord. Minor triads are built on 174♭2, ♭3, ♭5 (♯4), 5, and 6, and produce different distributions of chordal extensions and alterations. Minor upper structures are notated using lower-case Roman numerals: ♭ii on ♭2, ♭iii on ♭3, ♭v on ♭5 (♯iv on ♯4), v on 5, and vi on 6. For instance, an E minor triad in the context on E♭7 is notated as ♭ii, and that same triad in the context on G7 is notated as vi. Figure 14.1 illustrates the distribution of major and minor upper-structure triads in the context of C7.
+ 
+FIGURE 14.1 Upper-Structure Triads in the Dominant 7th Chord
+In order to implement these chords in practice, one must be able to identify them aurally. The first step in that process is to concentrate on the quality of the upper-structure triad. When the quality of the triad is identified, the recognition of the specific six-part formation depends on the ability to perceive the sound of individual extensions and pitch alterations. Extensions and alterations are characterized by a unique sound and project specific voice-leading behaviors. The ability to identify those behaviors depends, in large part, on imagining the harmonic context in which a particular chord might appear. Figure 14.2 provides that context. In studying these progressions, pay close attention to the linear behavior of the extensions and pitch alterations.
+Dominant Aggregate
+Upper-structure formations are extremely useful in reharmonization. In order to internalize their pitch structure, they can be used to harmonize a chromatic scale without 4 and ♯7. The ten-note scale represents all available notes that can feasibly participate in the dominant 7th chord. That collection of notes is known as the dominant aggregate. Simply put, in harmonizing the ten-note scale with upper-structure triads, we will explore the inversional potential of major and minor triads, exhaust all available triadic possibilities, and discover that certain pitches can support more than a single triad. Figure 14.3 demonstrates the harmonization of a dominant aggregate with the available upper-structure triads with the scale unfolding in the top, middle, and bottom voice of the triad, respectively.
+ROOTLESS FORMATIONS
+
+Five-part chords are often used in an abbreviated form as so-called rootless formations. As the name suggests, these types of chord leave out the root and employ the remaining notes to project the character of a chord. Without the root, a chord loses the fundamental pitch that enforces its quality, position, and function. Rootless chords tend to be harmonically and aurally more ambiguous than complete chords. Jazz musicians can capitalize on that ambiguity.
+The concept of rootless formations brings up an important point about the role of the bass voice. In most performance situations the root is provided by the bass player. In chord progressions that feature rootless formations (i.e. comping) one can no longer rely on the lowest voice to articulate the changes of a tune, but should rely instead on principles of voice leading and counterpoint to supply clear indications of harmonic motion. Rootless formations are just as effective in expressing the meaning of chords and harmonic progressions as complete chords. Understandably, they are far more challenging to implement. In spite of these challenges-or because of them-they are harmonically more flexible and effective in covering all kinds of harmonic relationship.
+  
+FIGURE 14.2 Resolutions of Upper-Structure Triads
+ 
+FIGURE 14.3 Dominant Aggregate and Upper-Structure Triads
+Rootless formations can borrow chordal roots from other chords, which can redefine the harmonic/functional status of the given chord. What will soon be discovered is that most rootless chords look and sound quite familiar. In a certain sense, however, these familiar traits must be disregarded and a different root superimposed on the bottom of the chord must be imagined. Figure 14.4 provides three- and four-note rootless voicings for five-part chords along with their basic harmonic interpretations. Three-note rootless voicings further reduce the pitch content to its essential components. Some of these voicings cannot be analyzed with traditional chord symbols and get their harmonic meaning from a superimposed bass note or notes.
+    
+FIGURE 14.4 Rootless Formations
+INCOMPLETE VOICINGS
+
+An incomplete voicing reduces the number of pitches to those that only convey the quality of a complete chord. The tonal definition of an incomplete voicing might not always be apparent. Its tonal and harmonic clarity depends on two factors: on which note or notes are going to be removed from a complete chord, and on how the intervallic content of a chord is diversified. In spite of their potentially ambiguous sound, however, incomplete voicings can be very effective as voice-leading formations, chordal substitutes, and intervallic structures. The different positions of five-part chords from Chapter 5 will be used to explore these types of formation.
+To generate an incomplete voicing, follow these steps:
+1.Remove a single pitch from a complete root-position five-part chord.
+2.Transfer the ninth of a chord down an octave.
+3.Rearrange the notes to create an open four-part voicing.
+With these three steps, a large number of voicings (far too many to cover them all) are generated. Figure 14.5 demonstrates the three-step process of generating incomplete voicings.
+These incomplete voicings remove a 3rd, a 5th or a 7th from a complete five-part chord. The choice of these notes is not entirely accidental. Granted, by not having a 3rd in the chord there is the potential risk of the lack of harmonic quality, and by not having a 7th, the functionality of a chord may be jeopardized. These incomplete voicings acquire their proper harmonic definition from a specific context in which they occur; in other words, any ambiguous sonority can be contextualized using correct voice leading and dissonance treatment. There is also an inherent logic to the removal of a 3rd and/or a 7th from a voicing. Note that the voicings lacking these pitches have a greater saturation of chromatic extensions. We can further experiment with incomplete voicing formations by removing the chordal root from a root-position five-part chord. Figure 14.6 demonstrates such a voicing for  along with three harmonic progressions where that formation can be utilized.
+  
+FIGURE 14.5 Incomplete Voicing Formations
+The pitch structure of this incomplete voicing hardly suggests a suspended dominant 7th chord. The notes F3, D♯4, A♭4, and B♭4 seem to be more closely related to Fmin11 or a rootless B♭7sus than to . While all these harmonic readings are acceptable, in practice they need to be properly contextualized and correctly realized. In the progressions from Figure 14.6, the incomplete voicing exhibits different functional and contrapuntal behaviors. In Figure 14.6a, for instance, the Fmin11 chord functions as the final tonic; in Figure 14.6b, a rootless B♭7sus functions as a suspended dominant resolving directly to the E♭Maj7 chord; and, in Figure 14.6c,  functions as a suspended dominant resolving to C7 and, subsequently, to Fmin11. The same voicing can function as the tonic, dominant, or predominant, in different keys. That challenge was accomplished through careful voice-leading considerations and a proper placement of the incomplete formation within the progressions. In harmonic progressions from Figure 14.6, the rootless  sounds convincing and demonstrates that these types of chord are well suited for all kinds of harmonic and functional manipulation. Their inherent ambiguity is, in fact, their biggest asset and can be effectively explored. With such a huge potential for harmonic reinterpretation, incomplete voicings constitute great resources for advancing our own harmonic experiments and expanding our harmonic vocabulary.
+ 
+FIGURE 14.6 Exploring Incomplete Formations
+
+CHAPTER FIFTEEN
+Bebop
+
+
+
+CHAPTER SUMMARY
+
+Chapter 15 examines bebop and begins developing a pedagogy of bebop improvisation.
+CONCEPTS AND TERMS
+
+•Altered dominant bebop scales:
+Altered
+Dominant ♭9/♯11/♭13
+Dominant ♭13
+Dominant ♯11
+•Bebop scales:
+Dominant
+Intermediary
+Major
+Minor:
+Dorian bebop
+Minor ♭7 bebop
+Minor ♯7 bebop
+•Chromatic alterations
+•Chromatic passing notes
+•Direct cadential gestures
+•Double neighbor figures
+•Indirect cadential gestures
+•Intermediary/dominant bebop complex
+•Triplets
+BEBOP SCALES
+
+The so-called Bebop revolution in the late 1930s was probably one of the most important musical events in the history of jazz. Bebop brought about the dawn of modern jazz and with it jazz pedagogy. Bebop language is considerably different from traditional types of jazz, such as Early Jazz, Ragtime, New Orleans styles, Kansas City style, Chicago style, and Swing, not only in its approach to improvisation, but also in its treatment of form, harmony, melody, and rhythm. Broadly speaking, solos became longer, musical forms more codified, harmonies more chromatic, melodies more angular, and rhythmic patterns more intricate. This chapter will discuss the pitch structure of four bebop scales: major, minor, dominant, and intermediary.1 Each of these is further examined in terms of their possible functional associations. These functional associations enable us to choose a correct bebop scale for a specific chord and/or harmonic progression. The functional behavior of bebop scales is similar to the behavior of modes. One of the fundamental differences, however, concerns the number of pitches within these collections. Unlike seven-note modes, bebop scales are comprised of eight distinct pitches. The addition of an extra note to a seven-note scale has vast melodic and harmonic consequences, especially in the chromatic realm.
+Major Bebop Scale
+Possible Harmonic Function-Tonic and Predominant
+Figure 15.1 shows the pitch content of the major bebop scale.
+The use of a chromatic passing note between 5 and 6 transforms the Ionian mode into the major bebop scale.2 This chromatic addition allocates all the chord tones on strong beats and passing notes on weak beats in relation to the underlying 4/4 meter. The metric distribution of pitches shown in Figure 15.1 conveys the harmonic and functional forces that are inherent to the structure of the scale. In the major bebop scale, beats 1, 2, 3, and 4 delineate the 6th chord and the offbeats spell out the diminished 7th chord. Figure 15.2 illustrates this scenario. Since bebop scales are associated with different tonal behaviors, harmonic functions, and locations in relation to the underlying key, Arabic numbers (without carets, written in bold) are used to represent their pitch content.
+
+FIGURE 15.1 Major Bebop Scale
+
+FIGURE 15.2 Major 6th and Diminished 7th Chords
+What is the significance of this particular distribution of pitches within the major bebop scale? Figure 15.2 demonstrates that the major bebop scale combines two different tonal forces: the tonic represented by the 6th chord and the dominant represented by the diminished 7th chord. The diminished 7th chord is frequently employed as an incomplete dom7(♭9) as it contains a major 3rd, 5th, ♭7th, and ♭9th of the dom7(♭9) whose root is a major 3rd down from the root of the corresponding diminished 7th chord. The diminished 7th chord built on 7 from Figure 15.2 represents the rootless G7(♭9).
+Figure 15.3 illustrates the distribution of C6 and its inversions on the chord tones of C major bebop and D°7 with its inversions on the passing notes of the scale.
+
+FIGURE 15.3 Distribution of Major 6th and Diminished 7th Chords
+The use of a single chromatic pitch like the one the bebop scale offers allows us to fully explore the metric, melodic, and harmonic potential of that note. It also enables us to control the behavior of two opposing tonal forces, tonic and dominant, and transfer their influence to the content of melodic lines. This type of control refers to the placement of chord tones and passing notes within the measure. When chord tones are displaced from downbeats to offbeats, for instance, their metric position is de-emphasized at the expense of passing notes, which will now receive metric stress. With this subtle metric shift, the content of the lines might become more unstable, without needing to add extra chromatic notes.
+Minor Bebop Scales
+Possible Harmonic Function-Tonic and Predominant
+There are three unique minor bebop scales with a similar pitch structure to the major bebop scale. Minor bebop scales employ a passing note between 5 and ♯6, and ♭7 and 8. The upper tetrachords of these scales are derived from the Melodic Minor and Dorian modes respectively. The former includes ♯7, which enables the projection of a diminished 7th chord, and the latter contains ♭7, which injects a subtle modal flavor to the sound of this scale. The pitch structure of these collections is shown in Figure 15.4.
+As far as the distribution of chord tones and passing notes is concerned, in minor ♯7 bebop, the strong beats form a minor 6th chord and the offbeats create a diminished 7th chord. In minor ♭7 bebop, the strong beats also produce a minor 6th chord, but the offbeats generate a dominant 7th chord built on ♯7. In Dorian bebop, the strong beats create a minor 7th chord and the offbeats project a minor 6th chord. Figure 15.5 illustrates the distribution of chords on each scale degree of minor ♯7 bebop, minor ♭7 bebop, and Dorian bebop.
+
+FIGURE 15.4 Minor Bebop Scales
+
+FIGURE 15.5 Distribution of Chords
+Dominant Bebop Scale
+Possible Harmonic Function-Dominant
+The dominant bebop scale is derived from the Mixolydian mode and uses a chromatic passing note between ♯7 and 8(1).3 The spelling of ♯7 indicates that ♭7 from the dominant bebop scale is raised. Figure 15.6 illustrates the structure of the scale.
+
+FIGURE 15.6 Dominant Bebop Scale
+The addition of the chromatic note enables the formation of a half-diminished 7th chord on ♯7. The presence of a passing half-diminished 7th further intensifies the dominant character of the scale and implies that ♯7 can be used in the context of dominant 7th chords in more advanced melodic and harmonic settings. Figure 15.7 demonstrates the distribution of chords on each scale degree of the dominant bebop scale.
+
+FIGURE 15.7 Distribution of Chords
+The Intermediary/Dominant Bebop Complex
+Possible Harmonic Function-Predominant and Dominant
+There are two ways of rationalizing the pitch organization of the intermediary bebop scale. Its structure can be examined as an independent collection derived from Dorian mode with a chromatic passing note between ♭3 and 4, or as the dominant bebop scale starting on 5. In both cases, the scale establishes a chord-scale relationship with the minor 7th chord built on the supertonic scale degree. Both methods yield the same pitches and reveal important facts about the pitch structure and chord-scale relationships embedded in this scale. The former method of scale derivation suggests that intermediary bebop is an independent collection that establishes a relationship with the predominant minor 7th chord. The latter method explains ways in which the scale is also connected to dominant bebop.
+Because intermediary bebop scale has the same pitch content as dominant bebop, the scale mediates between two tonal functions: predominant and dominant. This succession of tonal functions most often occurs in the context of ii7-V7; this makes the progression an ideal vehicle for the implementation of the intermediary/dominant bebop complex. The only difference between intermediary and dominant bebop scales is the different metric distribution of chord tones and passing notes in relation to the corresponding harmonies. Figure 15.8 illustrates this scenario.
+When the pitch structure of G dominant bebop is compared with D intermediary bebop, their content is exactly the same. The root and the 3rd of Dmin7 occur on beats 1 and 2. The chromatic passing note F♯4 falls on the offbeat because of its melodic and harmonic instability. This metric placement impacts the distribution of notes on beats 3 and 4. It seems that the placement of a 4th and a 6th on beats 3 and 4 stymies the logical distribution of chord tones over Dmin7. When we consider, however, that these notes-reinterpreted as the root and the 3rd of G7-foreshadow the dominant 7th harmony by two beats, we can conclude that the use of the intermediary/dominant 7th bebop complex has the potential for manipulating harmonic rhythm and approaching improvisation from a linear, as well as a harmonic perspective.
+
+FIGURE 15.8 Derivation of Intermediary Bebop Scale
+PRACTICING BEBOP IMPROVISATION
+
+We will now begin to practice bebop improvisation using several different routines organized into the following categories: (1) the metric placement of pitches, (2) the addition of extra chromatic notes, (3) the alterations of dominant bebop scales, (4) the exploration of the diminished 7th chord, and (5) the use of triplets.
+Metric Placement-Scalar and Arpeggiation Patterns
+Figures 15.9a-15.9d illustrate basic routines for internalizing the structure of major and minor bebop scales and for practicing the correct metric placement of pitches from these scales. Since each routine shown below demonstrates a specific scalar or arpeggiation pattern in the context of a single scale, in your practice try exploring different scales with each routine.
+Routine 1: Start the scale on a chord tone (downbeat) as shown in Figure 15.9a. Play the scale up and down for two octaves.
+
+FIGURE 15.9A Routine 1: Scalar Patterns
+
+
+
+ 
Routine 2: Start the scale on a passing tone (upbeat) of the scale as shown in Figure 15.9b. Play the scale up and down for two octaves. 

+FIGURE 15.9B Routine 2: Scalar Patterns
+
+
+
+Routine 3: Arpeggiate chords built on each scale degree of the bebop scale using the different patterns shown in Figure 15.9c. 
 

+FIGURE 15.9C Routine 3: Arpeggiation Patterns
+
+
+
+ 
Routine 4: Combine scalar segments with arpeggiation patterns as shown in Figure 15.9d. 

+FIGURE 15.9D Routine 4: Scalar and Arpeggiation Patterns
+
+
+
+ 
Practice these (and all the remaining) routines with a metronome on two and four starting at a medium-slow tempo. Set the metronome to ♩=62 and make each click count as a half note. Gradually increase the tempo to medium-up at ♩=96. 

Addition of Extra Chromatic Notes

+
The addition of extra chromatic notes can further intensify the content of bebop lines. Just as the metric placement of single chromatic passing notes (5-6 in major, 5-♯6 in minor, ♭7-8 in dominant, and ♭3-4 in intermediary) is strictly controlled, so is the addition of extra chromatic notes. Figures 15.10a and 15.10b illustrate two routines for practicing the addition of extra chromatic notes. These two routines can be fully realized in the context of major and dominant bebop scales. The minor and intermediary bebop scales can only accommodate one extra chromatic passing note between 2 and 1. The minor 3rd in their pitch structure prevents us from implementing two chromatic passing notes. 
Routine 1: Start the bebop scale on the downbeat of 2 (ascending/descending) and 1 (descending). Add a single upper/lower chromatic passing note (depending on the direction of the line) (Figure 15.10a).
+
+FIGURE 15.10A Routine 1: Addition of Extra Chromatic Note
+
+
+
+
+ 
Routine 2: Start on the downbeat of 3, 5, and 6 of major and dominant bebop, then add two chromatic passing notes between 3-2 and 2-1 (Figure 15.10b). 

+FIGURE 15.10B Routine 2: Addition of Extra Chromatic Notes
+
+
+
+
Altered Bebop Scales

+ 
Since the dominant function is associated with harmonic tension, the pitch structure of the dominant bebop scale can be modified by applying additional chromatic alterations. In theory, dominant bebop can be enhanced with available chromatic extensions. In practice, however, these alterations should reflect the overall musical context, particularly as it relates to the underlying tonality. Figure 15.11 shows four altered dominant bebop scales. 

Because of the presence of ♭13th in dominant ♭13, dominant ♭9/♯9/♭l3, and altered bebop scales, these scales work best in the context of dominant 7th chords occurring in minor keys. Notice that in the dominant ♭9/♯9/♯13 scale, 3 is omitted from the structure of the scale and substituted with ♯2, which functions as an accented dissonance. This substitution preserves the metric placement of 5 and ♯7 on the downbeats 3 and 4, respectively. In the altered bebop scale, the chord tone 3 is relegated to the status of the passing note occurring between ♯2 and ♯4. The placement of chromatic extensions on the downbeats further emphasizes the dissonant status of the scale. Figures 15.12a-15.12c suggest routines for practicing these scales. 


+FIGURE 15.11 Altered Dominant Bebop Scales
+
+
+
+ 
Routine 1: Start the scale on a chord tone (downbeat) as shown in Figure 15.12a. Play the scale up and down for two octaves. 

+FIGURE 15.12A Routine 1: Altered Dominant Scales
+
+
+
+Routine 2: Start the scale on a passing tone (upbeat) as shown in Figure 15.12b. Play the scale up and down for two octaves. 
 

+FIGURE 15.12B Routine 2: Altered Dominant Scales
+
+
+
+
+ 
Routine 3: Use the specific arpeggiation pattern with each altered scale, as shown in Figure 15.12c 

+FIGURE 15.12C Routine 3: Altered Dominant Scales
+
+
+
+
The Diminished 7th Chord

+ 
The diminished 7th chord is an essential building block of bebop improvisation. As a rootless dom7(♭9), the diminished 7th chord is very effective at projecting the tonality of chord progressions with dominant 7th formations. As a chromatic passing sonority occurring on the offbeats of selected bebop scales, the diminished 7th chord can be quite effective at adding chromatic tension to melodic lines, at manipulating the harmonic rhythm of underlying chord progressions, and at providing voice-leading connections between stable formations. All of these applications are ultimately related to the metric placement of the diminished 7th chord. Figures 15.13a-15.13f demonstrate six different routines for practicing the diminished 7th chord. 
Routine 1: Explore different shapes of the diminished 7th chord by transferring one or more notes up an octave (Figure 15.13a).4
+
+FIGURE 15.13A Routine 1: Upward Arpeggiation of Diminished 7th
+
+
+
+Routine 2: Explore different shapes of the diminished 7th chord by transferring one or more notes down an octave (Figure 15.13b). 
 

+FIGURE 15.13B Routine 2: Downward Arpeggiation of Diminished 7th
+
+
+
+
+ 
Routine 3: In the context of a V-I progression, resolve the diminished 7th chord using the direct cadential gesture. A direct cadential gesture reflects the content of the phrase and establishes a strong chord-scale relationship with the underlying harmony (Figure 15.13c). 

+FIGURE 15.13C Routine 3: V-I: Direct Cadential Gestures
+
+
+
+
+Routine 4: In the context of a V-I progression, resolve the diminished 7th chord using direct cadential gesture (Figure 15.13d). 
 

+FIGURE 15.13D Routine 4: Direct Cadential Gestures for V-I
+
+
+
+
+ 
Routine 5: In the context of a V-I progression, resolve the diminished 7th chord using the indirect cadential gesture. An indirect cadential gesture can take many different forms, but it mainly pertains to the relationship with the underlying harmony and the overall metric placement of this gesture. This type of melodic cadence is typically displaced by one or more beats before or after a direct cadential gesture would have occurred (Figure 15.13e). 

+FIGURE 15.13E Routine 5: Indirect Cadential Gestures for V-I
+
+
+
+
+Routine 6: In the context of a V-I progression, resolve the diminished 7th chord using indirect cadential gesture (Figure 15.13f). 
 

+FIGURE 15.13F Routine 6: Indirect Cadential Gestures for V-I
+
+
+
+
+ 
Triplets


+The use of triplets adds extra energy and forward motion into melodic lines. Triplets work very well in the context of chordal arpeggiation with single or double neighbor figures preparing the triplet as shown in Figures 15.14a-15.14d. 


Routine 1: Add the triplet arpeggiation patterns with the lower chromatic/diatonic neighbor into the structure of bebop scales (Figure 15.14a). 

+FIGURE 15.14A Routine 1: Triplet Arpeggiation with a Lower Neighbor
+
+
+
+As a rule of thumb, each scale degree should be approached with a lower neighbor a half step below the target note. Such a melodic approach results in either diatonic or chromatic neighbors. 
 
Routine 2: Add the triplet arpeggiation patterns with the upper diatonic neighbor into the structure of the bebop scales (Figure 15.14b). 


+FIGURE 15.14B Routine 2: Triplet Arpeggiation with an Upper Neighbor
+
+
+
+ 
Diatonic upper neighbors are derived from the corresponding scale and are located a half and/or whole step above the first note of the triplet figure. 

Routine 3: Add the triplet arpeggiation patterns with a double neighbor figure into the structure of the bebop scales (Figure 15.14c). 

+FIGURE 15.14C Routine 3: Triplet Arpeggiation with a Double Neighbor
+
+
+
+Routine 4: Add the arpeggiation patterns with an extended double neighbor figure into the structure of the bebop scales (Figure 15.14d). 
 

+FIGURE 15.14D Routine 4: Triplet Arpeggiation with an Extended Double Neighbor
+
+
+
+ 
The extended double neighbor figure utilizes two lower neighbors, diatonic and chromatic. To prevent excessive chromaticism, a lower diatonic neighbor initiates the pattern and a lower chromatic neighbor occurs prior to its target note, with the exception of half steps that naturally occur in the scale (i.e. 3, 5, and 7 of major bebop; 2, 5, and ♯7 of minor ♯7; 3, 6, and ♭7 of dominant; and 3, 5, and ♭7 of dominant ♭13). 

The ii7-V7-Imaj7 Progression

+
Figure 15.15 establishes a chord-scale relationship for the ii7-V7-Imaj7 progression using selective bebop scales. 

+FIGURE 15.15 Bebop Scales for ii7-V7-Imaj7
+
+
+
+ 
Each scale features a descending sixth span from the root to the third of the underlying chord. The first two chords of the progression use the same scale-hence the intermediary/ bebop complex label-albeit starting on a different note of the corresponding chords. 

Negotiating the Minor Seven Flat Five Chord

+
Before illustrating the chord-scale relationship for a  progression using bebop scales, let us discuss how to negotiate the min7(♭5) chord with bebop scales. The chord-scale relationship between the predominant  and bebop scales is more intricate than it is for the predominant ii7. Figure 15.16 demonstrates this relationship. 

In order to understand this relationship, the min7(♭5) chord should be examined as if it were a four-part upper structure of the corresponding dominant 9th chord. In Figure 15.16, Dmin7(♭5) constitutes the upper structure of B♭9. Bebop scales that fit the content of min7(♭5), then, are derived from the dominant bebop scales that work for a dominant 9th chord, whose root is a major 3rd down from the root of the min7(♭5) chord. The two scales in Figure 15.16-intermediary ♭2 and intermediary ♮2-begin on the root of min7(♭5) and share the pitch content with the dominant and dominant ♭11 bebop scales. In addition to fitting the structure of min7(♭5), these two intermediary bebop scales also capture the essential characteristics of Locrian and Locrian ♮2 modes-both of which are associated with the predominant . 

+FIGURE 15.16 Chord-Scale Relationship for the Minor 7(♭5) Chord
+The  Progression
+
+
+Figure 15.17 illustrates three chord-scale relationships for the  progression using different bebop scales. 

In comparison to the ii7-V7-Imaj7 progression, the chord-scale relationship for the  progression is more elaborate: unlike in the former, where the first two chords are negotiated with the same dominant bebop scale starting on the roots of respective chords, in the latter each chord can potentially establish a relationship with two different scales. Thus the  chord connects with intermediary ♭2 and intermediary ♮2, the V7 chord with dominant ♭13, dominant ♭9/♭9/♭13 and altered bebop scales, and the i7 chord with minor ♯7th, minor ♭7th, and Dorian bebop. 
 

+FIGURE 15.17 Bebop Scales for 
+NOTES
+
+1. In the current discussion, the term "bebop scales" is used loosely to depict particular eight-note constructs with one or more chromatic passing notes at different locations in their structure. The one scale that traditionally goes by this name is the dominant bebop scale (with a passing note between ♭7 and 1); there are Jerry Coker's additional three bebop scales and Mark Levine's four bebop scales, all of which present different scalar constructs. A common misconception about bebop scales is that they originated during the Bebop Era, when, in fact, they were quite common in the repertory of ragtimes, marches, and other popular genres of the late nineteenth and early twentieth centuries. For a clear manifestation of the dominant bebop scale (with a passing note between ♭7 and 1) listen to the transition material after the trio of Lew Pollack's ragtime composition "That's a Plenty" (1914). The pitch succession, F5-E♮5-E♭5-D-C-B♭-A-G-F, clearly delineates what we now call the "bebop scale."
+2. The spelling of the chromatic passing note as ♭6 (A♭ in C major bebop) is in keeping with the correct spelling of the diminished 7th chord (B°7) that forms an essential chord-scale relationship with this scale.
+3. This is what most texts refer to as the bebop scale.
+4. The great piano player Barry Harris is credited with having codified this technique.
+
+CHAPTER SIXTEEN
+Octatonic Scales
+
+
+
+CHAPTER SUMMARY
+
+Chapter 16 examines the pitch structure, chord-scale relationships, harmonic and melodic potential of the octatonic scale.
+CONCEPTS AND TERMS
+
+• Cardinality
+• Double-diminished 7th chords
+• Octatonic scales:
+Half-whole (1/2) octatonic I, II, III
+Whole-half (2/1) octatonic I, II, III
+• Scalar transpositions
+• Transposition through the scale
+THE 1/2 OCTATONIC SCALE
+
+In the previous chapter, we saw how bebop scales expand the number of scale members from seven to eight. Theorists often refer to this expansion as a change in the cardinality of the scale. The term "octatonic" denotes a scale whose cardinality is eight, i.e. the scale consists of eight distinct pitches. The octatonic scale covered in this chapter comes in two unique intervallic arrangements, half-whole and whole-half. The names "half-whole" and "whole-half" refer to the intervallic pattern of major and minor 2nds (or vice versa) recurring throughout these scales. Arabic numbers 2 and 1 represent the intervals of major 2nd and minor 2nd respectively. The designation 1/2 stands for the half-whole octatonic and the 2/1 for the whole-half octatonic. These two octatonic collections exhibit very different functional behaviors and establish important chord-scale relationships. The symmetrical nature of both scales allows for some interesting functional overlaps and a multiplicity of harmonic associations.
+The 1/2 octatonic scale is primarily associated with the dominant function. It establishes impressive chord-scale relationships with a variety of dominant 7th formations. The 1/2 octatonic scale is a symmetrical collection that repeats the 1/2 intervallic pattern every other note. The scale partitions the octave into two tritones or four minor 3rds. It also includes two overlapping minor 3rd cycles a half step apart. In C 1/2 octatonic, these cycles feature the following pitch segments: C-E♭-F♯-A and D♭-E-G-B♭. The symmetrical properties of the scale have profound harmonic and melodic implications. They mean that any voicing, chord progression, scalar segment, or melodic cell when transposed up or down a minor 3rd will retain the original shape and functional status. A single 1/2 octatonic will therefore establish the chord-scale relationship with as many as four distinct harmonic formations a minor 3rd apart. The 1/2 octatonic scale has three unique transpositions shown in Figure 16.1. These scalar transpositions are referred to as 1/2 octatonic I, 1/2 octatonic II, and 1/2 octatonic III.
+Before exploring the harmonic potential of the scale, let us examine the pitch structure of 1/2 octatonic I in terms of chord tones, pitch alterations, and extensions. Figure 16.2 provides a pitch analysis of 1/2 octatonic I built on C4.
+ 
+FIGURE 16.1 1/2 Octatonic I, II, III
+ 
+FIGURE 16.2 1/2 Octatonic I-Pitch Analysis
+The scale includes all the chord tones of the C7 harmony: the root, major 3rd, perfect 5th, and minor 7th. It also contains three chromatic extensions, ♭9th, ♯9th and ♯11th, one diatonic extension, major 13th, and one pitch alteration, ♭5th. As such, the 1/2 octatonic establishes a chord-scale relationship with C7(♭5) and C13. In addition, the 1/2 octatonic I scale is a perfect match for the C7(♭9) chord that, until now, has not been paired with a scale or mode. Since the pitch content of any 1/2 octatonic is invariant under minor 3rd transposition, the dominant 7th chords a minor 3rd apart establish chord-scale relationships with the same 1/2 octatonic scale. Therefore, any 1/2 octatonic can be used in conjunction with four distinct dominant 7ths. This ratio of chords to scale relationships is a distinctive feature of the octatonic collection and allows for a highly economical use of the scale. Figure 16.3 examines the pitch structure of 1/2 octatonic I in the context of four dominant 7ths a minor 3rd apart.
+ 
+FIGURE 16.3 1/2 Octatonic I and Four Minor 3rd-Related Dominant 7ths
+Each note of the 1/2 octatonic has a unique chordal membership. For instance, the pitch C5 functions as ♯9th in A7, ♯11th/♭5th in F♯7, major 13th in E♭7, or as the root of C7. What does it mean? It means that in the context of these chords, C5 will exhibit very different voice-leading behaviors that are unique to the specific dominant 7th chord. A note's behavior remains exactly the same in both musical dimensions, vertical and horizontal. In examining the behavior of the second note of the 1/2 octatonic I, D♭4, all the possible harmonic scenarios in which all other notes from the 1/2 octatonic can occur are exhausted. Figure 16.4 illustrates the voice-leading behavior of C5 and D♭5 (C♯5) in the context of C7, E♭7, F♯7, and A7 using V7-Imaj7 or V7-i7 progressions.
+Harmonic Potential
+In exploring the harmonic potential of 1/2 octatonic, let us examine what happens to a chord in transposition through the scale. Transposition through the scale takes the initial formation and moves it linearly to the nearest available formation derived entirely from the pitches of the scale. For instance, a major triad in root position built on 1 becomes a minor triad in 2nd inversion on ♭2; a half-diminished chord on 1 becomes a dim(♯7) chord on ♭2, etc. The two initial chords, shown in Figure 16.5, create a harmonic pattern that repeats every other note. In transposition through the scale, then, the initial sonority can be thought of as comprised of three or four (depending on the chord's cardinality) melodic lines traversing through the scale in a stepwise fashion.
+ 
+FIGURE 16.4 Voice-Leading Behavior of C5 and D♭5 (C♯5)
+ 
+FIGURE 16.5 Harmonic Transposition Through the 1/2 Octatonic I Scale
+Melodic Potential
+Let us now examine what happens to a motivic cell in transposition through the scale. Just as the structures of harmonic formations built on 1 and ♭2 are different from one another, so is the intervallic design of motivic cells occurring on these pitches. If the original motivic cell built on 1 of 1/2 octatonic features a specific intervallic design, in transposition to ♭2, the order of pitches is preserved but the intervals between the notes change. A melodic pattern combines two recurrences of the original motive on 1 and ♭2 that is subsequently repeated every other note. Figure 16.6 illustrates a few motivic cells transposed through the 1/2 octatonic. The circled numbers between adjacent pitches indicate the semitone count.
+What we now know about the structure and behavior of the 1/2 octatonic scale is summarized in the following points:
+1. The pitches-1, ♭3, ♯4, and 6-can potentially function as either roots, ♯9ths, ♯11ths (♭5ths), or major 13ths of four dominant 7th chords built on 1, ♭3, ♯4, and 6.
+2. The pitches-♭2, 3, 5, and ♭7-can potentially function as either major 3rds, perfect 5ths, minor 7ths, or ♭9ths of four dominant 7th chords built on 1, ♭3, ♯4, and 6.
+3. Any harmonic formation or melodic pattern built on 1 retains its original form when transposed up or down a minor 3rd.
+4. Any harmonic formation or melodic pattern built on ♭2 retains its original form when transposed up or down a minor 3rd.
+5. Any harmonic/melodic pattern combines two occurrences of the initial chord/cell built on 1 and ♭2 and repeats every other note.
+ 
+FIGURE 16.6 Melodic Transposition Through the 1/2 Octatonic I Scale
+THE 2/1 OCTATONIC SCALE
+
+Since the 2/1 octatonic constitutes the inversion of the 1/2 octatonic, the principles regarding symmetry and transpositional invariance are exactly the same for both scales. The fundamental difference between the two relates to their very different functional associations. The 2/1 octatonic functions largely as a predominant and establishes a basic chord-scale relationship with the diminished 7th chord. The scale has three unique transpositions: 2/1 octatonic I, 2/1 octatonic II, and 2/1 octatonic III. Figure 16.7 illustrates the pitch structure of these scales.
+To quickly build a 2/1 octatonic on any pitch, think of two adjacent minor tetrachords separated by a minor 2nd, or two minor tetrachords a tritone apart. Figure 16.8 examines the pitch structure of C 2/1 octatonic I in the context of C°7, E♭°7, F♭°7, and A°7.
+ 
+FIGURE 16.7 2/1 Octatonic I, II, III
+ 
+FIGURE 16.8 2/1 Octatonic I and Four Minor 3rd-Related Diminished 7ths
+Similar to the relationship between the 1/2 octatonic and the dominant 7th chord, the 2/1 octatonic contains only chord tones and extensions of the diminished 7th chord. By arranging all the notes from the 2/1 octatonic as shown in Figure 16.9, the so-called double-diminished 7th chord is created that contains two gapped diminished 7th formations.
+Once we realize that 2/1 octatonic II has the same pitch content as 1/2 octatonic I, then it becomes clear that a single octatonic scale can establish a relationship with dominant 7th and diminished 7th chords. Since the diminished 7th chord often functions as a rootless dom7(♭9), it can use the same scale in different harmonic situations.
+ 
+FIGURE 16.9 2/1 Double-Diminished 7th Chord
+
+CHAPTER SEVENTEEN
+Bebop Blues
+
+
+
+CHAPTER SUMMARY
+
+Chapter 17 analyzes three blues progressions from the Bebop Era and proposes additional approaches to blues improvisation.
+CONCEPTS AND TERMS
+
+• Blues progressions:
+"Billie's Bounce"
+"Bird"
+"The Dance Of the Infidels"
+• Entry windows
+• Structural lines
+THREE HARMONIC VARIANTS
+
+One of the essential features of bebop harmony is its fast and intricate harmonic rhythm. What is also interesting about bebop harmony is that some of its characteristic chord members can be traced back to the blues. For instance, a ♯11th (♭5th) or ♯9th over the dominant 7th chord represents the notes of the blues scale: ♭5 and ♭3, respectively. Although, the harmonic surface of certain blues tunes from the Bebop Era might not resemble the harmonic paradigm of the basic blues discussed in Chapter 9, the background structure always preserves the essential harmonies of the blues no matter how complex that surface might be.
+Variant 1
+Figure 17.1 illustrates an F blues with harmonic substitutions typical of the Bebop Era. This blues progression is based on "Billie's Bounce" by Charlie Parker.
+ 
+FIGURE 17.1 "Billie's Bounce"-Chord Changes
+There are a few significant differences between "Billie's Bounce" and the basic blues progression. The presence of ♯ivo7 in m. 2 and a ()/ii progression in m. 8 offers new improvisational possibilities. The diminished 7th passing chord in m. 2 leads to F7/C in m. 3. The structural V7 in mm. 9-10 is prolonged with four chords: Gmin7-Gmin(♯7)-C7sus-C7. As a consequence, the occurrence of V7 is postponed until m. 10. The preparation of ii7 in m. 8 uses a ()/ii progression. The two harmonic events from mm. 2 and 8 are unique to the structure of this particular blues progression.
+In addition to the passing status of the diminished 7th chord in m. 2, this important chord can occur in other harmonic situations, albeit with different functional capacities. Since the diminished 7th chord functions as an upper structure of the dom7(♭9), any dominant 7th chord can potentially utilize this sound. Figure 17.2 establishes a chord-scale relationship for "Billie's Bounce" and indicates places in which the diminished 7th chord can be implemented. The use of a single octatonic scale in m. 2 demonstrates an economical approach to improvisation wherein a single scale establishes a chord-scale relationship with two different harmonic formations.
+Figure 17.3 illustrates a realization of "Billie's Bounce" using Model II of keyboard style playing. The content of the R.H. is rhythmicized with the Charleston rhythm placed at different metric locations. When this rhythmic gesture appears on beat 3 (or later in the measure) then the second part of the figure utilizes the guide tones of the forthcoming harmony.
+Variant 2
+Figure 17.4 illustrates the harmonic structure of the "Bird" blues in E♭.1
+In this progression, the structural chords in mm. 1 and 5 still occur on the tonic and subdominant scale degrees, respectively, yet instead of dominant 7ths they feature major 7th chords. The motion from I to IV in mm. 1-4 is packed with idiomatic harmonic activity. The parallel motion between the guide tones of E♭Maj7 and Dmin7(♭5) activates the cycle of 5ths progression. The second phrase (mm. 5-8) features two chromatic ii7-V7s in mm. 6 and 8. The former, [ii7-V7]/♭III, is a back-door dominant 7th preparation of the major tonic in m. 7. The chromatic [ii7-V7]/♭II in m. 8 anticipates the arrival of the structural ii7-V7 in mm. 9-10 by a half step. The third four-bar phrase of "Bird" blues in mm. 9-12 has a chord structure similar to the basic blues progression. Figure 17.5 provides a realization of the progression using "drop 2" five-part voicings. The turnaround in mm. 11-12 features alternate harmonic changes.
+ 
+FIGURE 17.2 "Billie's Bounce"-A Chord-Scale Relationship
+ 
+FIGURE 17.3 "Billie's Bounce"-Model II Realization
+ 
+FIGURE 17.4 "Bird" Blues-Chord Changes
+Variant 3
+Figure 17.6 gives the chord changes for Bud Powell's "The Dance Of the Infidels" in C.2
+The opening phrase in mm. 1-4 includes two chromatic ii7-V7s. The [ii7-V7]/♭VII progression in m. 2 functions as a tonic expansion and the [ii7-V7]/VII in m. 4 functions as a ii7-V7 tritone expansion of C7. Note that in m. 3, the voice-leading preparation of [ii7-V7]/VII uses two parallel minor 7th chords: iii7 and ii7: these are realized as quartal structures in Figure 17.7. The occurrence of the structural subdominant in m. 5 is delayed until m. 6 by its corresponding predominant. This predominant expansion forms a minor 2nd relationship with the preceding [ii7-V7]/VII. One of the most effective chord substitutions of this blues progression occurs in mm. 9-10. The structural dominant 7th, which should have occurred in m. 10, is replaced by a [ii7-V7]/♯IV progression. The nature of this substitution is analogous to the [ii7-V7]/VII progression from m. 4. In both cases, the ii7-V7 tritone expansions prepare and/or disguise the occurrence of structural harmonies. Figure 17.7 provides a "drop 2" realization of "The Dance Of the Infidels" with alternate changes for the turnaround.
+ 
+FIGURE 17.5 "Bird" Blues-"Drop 2" Five-Part Realization
+ 
+FIGURE 17.6 "The Dance Of the Infidels"-Chord Changes
+ 
+FIGURE 17.7 "The Dance Of the Infidels"-"Drop 2" Five-Part Realization
+IMPROVISATION
+
+We will now discuss two approaches to improvisation using Variants 2 and 3 of the blues. The first approach is based on arpeggiations of rootless five-part chords over the structural line. The second approach is based on finding the most efficient way of connecting closely or distantly related chords. Arpeggiation of rootless formations using the notes of a background line is an effective improvisational strategy demonstrating one's understanding of chord structures and voice leading. Such a background line uses whole and half notes (depending on the rate of harmonic rhythm) that are derived from the underlying harmony and that primarily move by step. The individual notes function as "roots" of the corresponding rootless five-part formations that are subsequently arpeggiated. Figure 17.8 demonstrates two background lines derived from the "Bird" blues embellished with chord arpeggiations.
+The use of common-tone (or stepwise) connections is based on finding a pitch that is called an entry window. This pitch allows for a smooth connection between closely or distantly related chords or key areas. If we know, for instance, that the 7th of ii7 also functions as the 3rd of ♭VI7, then this particular pitch can be used as an entry window to connect these two chords. If we also know that it is possible to connect ii7 and ♭VI7 by moving the 9th of ii7 by a half step (in either direction) to land on the 5th or 13th of ♭VI7, then doing so will guarantee good voice leading. Figure 17.9 illustrates available entry windows in "The Dance Of the Infidels" and the bottom line integrates these pitches in the context of melodic lines.
+ 
+FIGURE 17.8 "Bird" Blues-Arpeggiation of a Structural Line
+ 
+FIGURE 17.9 "The Dance Of the Infidels"-Entry Windows
+NOTES
+
+1. This progression (originally in F major) is based on Charlie Parker's "Blues For Alice."
+2. The original composition is in the key of F major.
+
+CHAPTER EIGHTEEN
+"Confirmation"
+
+
+
+CHAPTER SUMMARY
+
+Chapter 18 provides an analysis of Charlie Parker's "Confirmation" as a representative composition from the Bebop Era. It offers a transcription of the solo by the pianist Hank Jones and establishes two chord-scale relationships for the tune using modes and bebop scales.
+CONCEPTS AND TERMS
+
+• Arpeggiation
+• Cadential melodic gestures
+• Chromaticism
+• Dimished 7th chords
+• Metric displacement
+• 32-bar AABA form
+"CONFIRMATION"-AN ANALYSIS
+
+Figure 18.1 illustrates the lead sheet of "Confirmation" by Charlie Parker.1
+Form and Harmony
+"Confirmation" features a 32-bar AABA formal design with slight melodic variations in each A section. The chord progression in the A section employs a chain of local II-Vs preparing the arrival of the structural IV in mm. 5, 13, and 29. This characteristic chord sequence bridging two harmonic pillars, I and IV, is one of the most dominan harmonic expansions associated with the blues and other tunes as well.2 As is the case with most compositions from the Bebop Era, the harmonic rhythm of "Confirmation" is fast and intricate. For instance, mm. 1-4 feature an idiomatic progression with a sequence of dominant 7ths that begins on () in m. 2, descends by whole steps to () in m. 4, and resolves to the subdominant in m. 5. Each dominant 7th in mm. 2-4 is subsequently expanded 7 with the ii()-V or ii7-V7 progressions, thereby doubling the rate of harmonic rhythm. In m. 2, then, A7 becomes Emin7(♭5)-A7; in m. 3, G7 turns into Dmin7-G7; and, in m. 4, F7 expands into Cmin7-F7.
+ 
+FIGURE 18.1 Lead Sheet-"Confirmation"
+Comparing the second half of each A section shows that the first A is harmonically open and ends on a ii7-V7 in m. 8, while the second and the last A feature closed harmonic cadences on I in m. 16 and m. 32, respectively. The bridge in mm. 17-24 has a symmetrical phrase structure and slower harmonic rhythm, which redirects the harmony from I to IV in m. 19 and, then, to ♭VI in m. 23. These key areas are tonicized with local ii7-V7 progressions. The choice of these tonal areas corroborates an interesting fact about the overall tonality of bebop tunes with respect to jazz traditions. The subdominant key area has always had strong blues underpinnings and the flat submediant was one of the few chromatic regions that ragtime or early jazz tunes allowed in their harmonic structure.3
+Melody and Rhythm
+The melody of "Confirmation" has an interesting structural design. The background line -- in mm. 1-4, for instance, controls the unfolding of the melodic surface. The beginning of each measure highlights the structural tones at prominent metric positions. Scale degree two in m. 2-which in the context of the underlying chords functions as the 3rd and the 7th, respectively-resolves to the 3rd of Dmin7 in m. 3, completing the -- span. In mm. 17-19, the pitch succession -♭---- (local 8-♯7-♭7-6-5)-although occurring over the ii7-V7-Imaj7 in B-is an idiomatic line that also controls the content of the melodic diminutions. Figure 18.2 illustrates these two spans.
+The melody also features some interesting blues inflections. With the arrival of the structural harmony in m. 5, for instance, the melody highlights a pitch succession that utilizes two blue notes: ♭ and ♭. In mm. 9-10, ♭ and ♭ continue to embellish the melody with ♭ in m. 10 implicating a ♭5th of the A7 harmony. In m. 22, the same blue notes, ♭ and ♭, become harmonically redefined in the context of V7/♭VI.
+ 
+FIGURE 18.2 "Confirmation"-Structural Spans
+One of the characteristic sonorities from the Bebop Era is the diminished 7th formation. This chord typically functions as a rootless dom7(♭9). In m. 8, the pitch D♭5, which constitutes the ♭9th of C7, is featured prominently on beat 1; in m. 24, D♭4 occurs in the context of a phrase that anticipates the return of the final A section. In both cases, the resolution of these notes follows the rules of good voice leading.
+The rhythm of "Confirmation" is likewise typical of the Bebop Era. The melody features syncopations, upbeats, eight-note anticipations of the forthcoming harmony, and compelling cadential gestures. The rhythmic design of the melody is particularly effective at the end of phrases. In mm. 2-3, for instance, a short two-note gesture occurring at the "and" of 4 and 1 concludes the presentation of the opening phrase. In m. 7, another two-note figure on beat 2, utilizing a major 13th and a major 9th of G7, effectively terminates the preceding phrase. In m. 15, a four-note figure on beats 3 and 4 delineates the underlying harmony and, at the same time, anticipates the forthcoming harmony.
+AN ANALYSIS OF THE TRANSCRIPTION
+
+Hank Jones's solo on "Confirmation," shown in Figure 18.3, is from the album Bebop Redux, recorded in 1977. In this solo, Jones shows how two jazz traditions-blues and bebop-can be integrated in a musically convincing manner. He also demonstrates a stunning command of the bebop language manifested in a linear approach to improvisation.
+As indicated in the analysis of the tune, the A section of "Confirmation" contains elements of the blues, such as single blue-note inflections and characteristic blues harmonies. Jones capitalizes on the blues potential of the tune in a number of creative ways. At the end of chorus 1 in mm. 29-32, for instance, the entire phrase has a strong blues "flavor" marked by the use of ♭ and ♭. In the subsequent choruses, the use of the blues-especially in the second half of the A section-becomes even more intense. Notice how Jones infuses the music with the blues elements in mm. 45-48, 61-64, 93-96, or 125-128.
+Broadly speaking, each phrase of the solo is an example of Jones's excellent command of bebop vocabulary; not only do his phrases demonstrate total control of the language, but they also illustrate ways in which Jones generates melodic ideas from the tune itself. This much is already clear from mm. 1-8. Each line features a balanced use of steps and skips, clear metric distribution of chord tones and extensions, and controlled use of chromaticism. Note how Jones shapes the melodic line in mm. 4-6. The line begins with an eight-note pick up, which establishes linear continuity with the previous E4, then ascends to G5 in m. 4 with a clear distribution of chord tones on strong beats. The phrase con -tinuation in mm. 5-6 balances the line with a stepwise descent, G5-F5-E5-D5-C5, embellished with surface arpeggiations of the underlying chords.
+As previously mentioned, the use of diminished 7th chords in the context of dom7(♭9) is synonymous with bebop syntax and Jones often highlights this chord in his solo. His treatment of the sonority is very creative and includes arpeggiation (mm. 10 and 34), incomplete diminished 7th (mm. 24 and 98), and metric displacement (mm. 26-27 and 40).
+ 
+ 
+ 
+ 
+FIGURE 18.3 "Confirmation"-Improvised Solo by Hank Jones (transcribed by Dariusz Terefenko)
+The solo is unified through the use of similar melodic devices at the same locations within the form. For instance, in mm. 4, 12, and 28 of the form, Jones frequently employs a dom7(♯5) chord (mm. 4, 12, 36, 92, 100, and 108). The melodic ideas seem to foreshadow the arrival of the main tonic rather than to articulate the underlying harmony in mm. 7, 71, and 103. More importantly, the beginning of each chorus emphasizes , which occurs in various guises in the original tune (mm. 1, 17, and 25). At the beginning of each chorus, Jones comes back to  and slightly modifies its status from the previous chorus: in m. 1,  is prepared with a two-note pick up derived from the tonic bebop scale; in m. 33,  initiates a diatonic scalar ascent; in m. 65,  introduces a chromatic scalar ascent; and, in m. 97,  begins an idiomatic line with varied contour.
+Among many features of the solo, Jones's treatment of chromaticism is masterly. In the discussion of bebop scales in Chapter 15, I emphasized that the addition of a single chromatic note to a seven-note scale creates an ideal metric scenario in which chord tones are distributed on strong beats and non-chord tones on weak beats. Some interesting examples occur in m. 4, where G♭5 functions as an unaccented passing note, m. 20, where C♯5 serves as an accented passing note, m. 42, where D♯5 initiates the phrase, m. 99, where E♭5 ends the phrase, m. 87, where D major is a chromatic upper-structure triad over D♭Maj7, and m. 59, where C♯min7 functions as an chromatic upper-structure four-part chord over G7.
+Jones also uses an impressive assortment of cadential melodic gestures in his solo. These patterns usually accomplish two objectives: (1) they provide a logical phrase conclusion and (2) they foreshadow the arrival of the next phrase. In m. 23, for instance, a two-note succession E♭4-A♭3 ends the two-bar phrase. This simple gesture is very effective because it clearly delineates the underlying harmony, provides voice-leading resolution of the chromatic notes E4-A3 from m. 22, anticipates the beginning of the next phrase that starts an octave higher on A♭4, and recurs in the middle of the phrase (m. 24) at a different pitch level, G4-C4.
+CHORD-SCALE RELATIONSHIP: MODES
+
+Figure 18.4 provides a chord-scale relationship for "Confirmation" using modes only.
+Although the rate of harmonic rhythm is relatively fast (with the ubiquitous II-V progressions), each measure contains only a single mode. In establishing chord-scale relationships for other chords, we need to determine their function, analyze their quality, and choose an appropriate mode that fits the underlying harmonic context. For instance, each tonic chord occurring in the tune establishes a chord-scale relationship with the Ionian mode only. Although Lydian and Lydian Augmented could potentially have been used as substitute scales, they would have been too chromatic in the context of this tune and within the realm of bebop style. The underlying motion from I-IV is rooted in the blues tradition and the selection of modes for the subdominant in m. 5 is in keeping with that tradition. Even though the subdominant on IV features a dominant 7th chord, in the context of this progression it functions as a predominant.
+ 
+FIGURE 18.4 Chord-Scale Relationship: Modes
+There are two ways of establishing a chord-scale relationship for ii7-V7 or -V7 progressions: either select a mode that works for V7 or select a mode that works for ii7 or ()). As shown in Figure 18.4, mm. 2-4 feature a descending sequence of incomplete II-Vs connecting the tonic on I with the predominant on IV. Each II-V progression establishes a chord-scale relationship with the corresponding dominant 7th. Notice that, in m. 2, the use of Mixolydian ♭13 fits the underlying context much better than the diatonic Mixolydian mode. The tonic note F4 functions as the ♭13th of Mixolydian ♭13 and is retained as a common tone in mm. 1-2. The second A section (mm. 9-16) demonstrates a different approach to chord-scale theory. The selection of modes for the II-V progression in Figure 18.4 is based on the quality of the predominant chord. Thus, in m. 10, Emin7(♭5)-A7 uses E Locrian, while in m. 11, Dmin7-G7 establishes a chord-scale relationship with D Dorian, etc.
+The bridge of "Confirmation" (mm. 17-24) features two four-bar phrases with ii7-V7 tonicizations of the IV and ♭VI key areas. The chord-scale relationship for the bridge in Figure 18.4 includes a different selection of modes: Dorian, Mixolydian, and Ionian for min7-F7-B♭Maj7, and Dorian, Altered, and Lydian for E♭min7-A♭7-D♭Maj7. Tonal and contextual considerations are particularly evident with the choice of Altered mode in m. 22, which accommodates notes from the tonic key and prepares the arrival of FMaj7 in m. 25. The last A section (mm. 25-32) features a much bolder selection of modes.
+  The choices of A Altered in m. 26 and F Locrian in m. 28 are particularly poignant. The former injects chromatic notes into the structure of dominant 7th chord. The choice of F Locrian over Cmin7-F7 in m. 28 might seem out of place because neither chord (at least not in the present form) establishes a convincing relation ship with this mode. But, the F Locrian mode forms a chord-scale relationship with F7sus, which is an effective harmonic substitution for Cmin7-F7.
+While the selection of modes in Figure 18.4 is overcrowded with different options, an improvisation may focus on only a few modes. In fact, each A section contains a selection of modes that could be implemented in the course of an entire solo. In establishing a successful chord-scale relationship for the tune, be mindful of three important considerations: (1) modal hierarchy, (2) chromatic treatment, and (3) voice leading. Chromatic modes, for instance, contain notes that might need preparation. This preparation usually takes place anywhere from one beat to one measure before the chromatic notes occur. The succession of modes in mm. 5-6-B♭ Mixolydian and D Mixolydian ♭13-illustrates such a case. The latter mode contains the chromatic ♭13th that was introduced as ♭7th of B♭7 in m. 5.
+CHORD-SCALE RELATIONSHIP: BEBOP SCALES
+
+Figure 18.5 provides a chord-scale relationship for "Confirmation" using bebop scales only.
+The selection of bebop scales is analogous to the use of modes from Figure 18.4. In m. 2, for instance, Emin7(♭5)-A7 uses A Mixolydian ♭13, which accommodates  in its pitch structure, as does A dominant bebop ♭13, making them much better choices than their diatonic counterparts.
+Demonstrating slightly different and more advanced organization of bebop scales, the last A section alternates between ascending and descending scalar patterns. In addition, the last note of each measure forms a stepwise connection with the first note of the next, thereby ensuring effective voice leading between different scales. Thus the last note of m. 26, C♯4, resolves up to D4, which begins the G dominant bebop scale on 5. Similarly, the use of B♭3 in m. 31 is a consequence of the C4 in m. 30 resolving down to the ♭7th of C7.
+NOTES
+
+1. For representative recordings, consult Appendix F on the companion website.
+2. Parker's "Blues For Alice" has the same harmonic substitutions in mm. 1-4. Standard tunes, such as "Come Rain Or Come Shine" and "There Will Never Be Another You," also feature this characteristic progression.
+3. See, for instance, "Tin Roof Blues," "Copenhagen" or "Maple Leaf Rag."
+ 
+FIGURE 18.5 Chord-Scale Relationship: Bebop Scales
+
+CHAPTER NINETEEN
+"Moose the Mooche"
+
+
+
+CHAPTER SUMMARY
+
+Chapter 19 provides an analysis of Charlie Parker's "Moose the Mooche" and Hank Jones's improvised solo on the tune. This chapter also proposes a pedagogy of rhythm changes improvisation.
+CONCEPTS AND TERMS
+
+•Appoggiaturas
+•Contrafacts
+•Eight-bar blues
+•Hypermetric organization
+•Pitch enclosures
+•Rhythm changes
+"I GOT RHYTHM" CONTRAFACTS
+
+With the exception of the blues, the rhythm changes progression is probably the most important chord progression in jazz. The term "rhythm changes" refers to a 32-bar AABA form based on the harmonic structure of "I Got Rhythm" by George and Ira Gershwin. The song appeared in the Aarons and Freedley production Girl Crazy (1930) and originally featured a 34-bar AABA form with a two-bar extension in the last A section. The two-bar extension was eventually cut and the chord changes of the last A section replicated those from the second A. A newly composed line based on the rhythm changes progression is known as a contrafact. The enormous popularity of rhythm changes has been well documented by an ever-increasing number of composed contrafacts and recordings.1
+"MOOSE THE MOOCHE"-AN ANALYSIS
+
+Charlie Parker wrote a number of contrafacts on rhythm changes among which "Moose the Mooche," shown in Figure 19.1, is one of the most well known.2
+Form and Harmony
+"Moose the Mooche" features a 32-bar AABA form.3 The first A section is harmonically open and ends on a ii7-V7 in m. 8. The second A features a full-cadential closure on I in m. 16. The bridge cycles through a cycle of dominant 7ths progression and interrupts the form on V7 in m. 24. The final A section is harmonically closed but, in order to allow for the circularity of the chorus improvisation, it features a Imaj7-VI7-ii7-V7 turnaround progression (or any acceptable substitute variant).
+The tonic is prolonged in mm. 1-4 and then morphed into a V7/IV in m. 5. The tonic prolongation takes the form of an idiomatic Imaj7-vi7-ii7-V7 progression, which lends itself to a variety of harmonic substitutions. The subdominant controls mm. 5-6 and is capable of many surface realizations. Next, mm. 7-8 proceed to the dominant, which can also be idiomatically expanded, transformed, and/or confirmed. The A section of rhythm changes is also known as an eight-bar blues because it contains the harmonic paradigm of the blues: tonic in m. 1, subdominant in m. 6, and dominant in m. 8.4 This foreshortened blues preserves the structural weight of the fundamental chords, as the tonic controls the longest span (mm. 1-4), the subdominant occupies the shorter span (mm. 6-7), and the dominant (m. 8) becomes subject to various harmonic modifications.
+Melody and Rhythm
+The melody of "Moose the Mooche" confirms the premise that contrafacts are far more dexterous than the tunes from which they borrow their chord progressions. The melodic rhythm of "Moose the Mooche" is typical of bebop syntax. In m. 1, the Charleston rhythm is highlighted with an octave leap from F4 to F5. This rhythmic gesture appears in various guises throughout the tune. Other rhythmic figures, such as 8th-note triplets in mm. 2 and 8, and 16th-note triplet turn figures in mm. 14, 31, and 32, are idiomatic decorations that enhance the melodic surface.
+The presence of chromaticism is integral to the structure of bebop melodies. Some of the chromatic additions, such as the metrically accented C♯5s in mm. 2, 6, 26, and 30, make subtle references to the blues. Other chromatic notes emphasize structurally important harmonies. For instance, a carefully prepared A♭4 occupies beat 1 in mm. 5 and 29, and constitutes the ♭7th of the underlying V7/IV harmony. The preparation of A♭4 in mm. 4 and 28 features an upward stepwise ascent: F4-G4. The end of m. 12 illustrates another idiomatic preparation of this pitch. Here, the A♭4 anticipates V7/IV by a half beat and occurs at the "and" of 4 in m. 12. The downward tritone leap from D5-A♭4 further intensifies its status and injects yet another blues characteristic into the framework of the melody. Other chromatic notes, such as unaccented passing and pitch enclosures, have primarily ornamental functions. The chromatic passing note G♭4 in mm. 5 and 29 moves between  and . A chromatic pitch enclosure occurs in m. 18 when the melodic cell E4-C4-C♯4-D4 encircles the root of D7. The C♭5s in mm. 2, 6, 26, and 30 constitute melodic appoggiaturas because they are accented and approached by a leap.
+ 
+FIGURE 19.1 Lead Sheet-"Moose the Mooche"
+The rhythmic structure of the melody is interesting hypermetrically: in mm. 1-4, the hypermetric downbeat occurs in mm. 1 and 3 and emphasizes  as the melodic anchor. The continuation of the phrase features a less regular hypermetric organization with metrical downbeats occurring in mm. 5, 6, and 7. This hypermetric organization cor - roborates yet another characteristic of contrafacts, namely that they have a fairly irregular and purposefully unpredictable phrase structure. The irregular hypermetric organization of the A section is balanced by a symmetrical unfolding of hypermetric two-bar phrases in the bridge.
+AN ANALYSIS OF THE TRANSCRIPTION
+
+Hank Jones's solo on "Moose the Mooche" comes from the album Bebop Redux, recorded in 1977 (see Figure 19.2).
+In the span of five choruses, Jones offers a logical and coherent musical statement that demonstrates his fine improvisational skills and excellent command of bebop vocabulary. One of the defining features of the solo is the overall simplicity and creative treatment of the original melody. In the head shown in Figure 19.1,  is an important melodic anchor that is metrically and rhythmically reinforced. In his solo, Jones uses this pitch at different locations and over different harmonic/melodic contexts. For instance, in m. 1 an octave leap F4-F5 makes a clear reference to the original tune. Three choruses later in m. 97, the same melodic gesture comes back and is bolstered with octaves. In mm. 128-130, the melodic phrase with a 3/4 cross rhythm embellishes .
+As pointed out in the analysis of the tune, blues melodic devices are featured prominently in the original melody. In Jones's solo, the melodic blue notes are integral components of his lines. In mm. 14-15, for instance, the pitch D♭4/C♯4 connects two adjacent phrases: ♭ functions as a ♭7th of E♭7 and then becomes a lower chromatic neighbor preparing the 3rd of B♭Maj7 in m. 15. The tritone G4-D♭4 in m. 14 provides additional blues references. In mm. 61-62, open-position chords have similar blues underpinnings with ♭ as the highest note piercing through the characteristic blues voicing. In mm. 94-95, the use of three-note close-position voicings embellished with grace notes enhances the structural subdominant.
+What is truly remarkable about the melodic design of Jones's lines is their overall simplicity. Jones does not shy away from simple triadic ideas (mm. 63, 65, 122, 127, and 155). In each case, they are performed with rhythmic precision, convincing articulation, and good rhythmic feel, and are perfectly integrated in the context of his lines. He elaborates these triadic ideas with a variety of passing notes (mm. 25-26, 89-90, 91, 105, and 153).
+Another relatively simple technique used by Jones in his solo involves the arpeggiation of four-part chords. Although straightforward versions of this technique might seem formulaic, when integrated convincingly in the context of melodic lines and played with a good time feel, they can add much-needed clarity to the overall flow of the solo. In m. 17, for example, a rootless Amin9 beginning on the 9th initiates the bridge; in m. 39, a downward arpeggiation of Gmin7 on beats 3 and 4 foreshadows a more chromatic conclusion of the phrase; in m. 92, a downward arpeggiation of Cmin7 balances an upward arpeggiation of a rootless B♭9 in m. 93; in mm. 115-116, an incomplete upward arpeggiation of Dmin11 balances a downward arpeggiation of G7(♭13) implementing the G augmented triad that spans an octave and a half. In mm. 141-143, the use of arpeggiation is elevated to a new level of rhythmic/harmonic complexity as Cmin7, B°7, Cmin7/B♭, Gmin7, F♯°7, Gmin7/F, and E♭°7 expand the underlying B♭7-E♭Maj7-B♭Maj7-F7 progression using 3/8 cross rhythms.
+ 
+ 
+ 
+ 
+ 
+FIGURE 19.2 "Moose the Mooche"-Improvised Solo by Hank Jones (transcribed by Dariusz Terefenko)
+In the analysis of "Confirmation" in Chapter 18, I pointed out that Jones's playing reveals an affinity toward favored melodic gestures and/or chord-scale relationships. In this solo, similar observations can be made. One of the most obvious examples of Jones's penchant for well-internalized devices occurs in mm. 21-22 of the form. The lines in mm. 21-22, 53-54, and 85-86 establish a chord-scale relationship between C7 and Mixolydian ♯11. This relationship is, of course, highly idiomatic of bebop performance practice.
+Notice also how Jones balances the contour of his phrases with a measured use of stepwise melodic motion and arpeggiation. For instance, in mm. 65-66 the phrase begins with a downward arpeggiation, then integrates a -♭- -♭-chromatic descent, which fulfills the condition for adding extra chromatic notes, and finishes off with an upward melodic leap to the E♭5-G5 dyad. In mm. 77-80, the line begins with a stepwise embellishment of  using upper neighbors and escape notes and, by mm. 79-80, morphs into straightforward arpeggiations of F7 and Cmin7, respectively.
+HARMONIC REWORKINGS OF RHYTHM CHANGES
+
+The A section of rhythm changes can be realized with different harmonic progressions. Some of the most interesting realizations are shown in Figure 19.3a-i. With each consecutive progression, the level of harmonic complexity increases.
+When comparing mm. 1-2 with mm. 3-4, which essentially feature similar tonic expansions, B♭Maj7/D, D7(♭9), Dmin7, B♭7, DMaj7, B♭Maj7/F or D7 at the beginning of m. 3 can be used to replace the original tonic chord B♭Maj7. In comparing the substitute options for the submediant in m. 1 or the supertonic in m. 2, there is also a variety of available choices. Figure 19.3e-i demonstrates more advanced transformations of the original progression. In Figure 19.3e, the submediant in m. 1 (Gmin7) and the supertonic in m. 4 (Cmin7) are replaced with the dominant tritone substitutions (D♭7(♭5) and G♭7, respectively). Figure 19.3f combines the incomplete major-third cycle in mm. 1-2 with the descending major-second cycle in mm. 3-4. Figure 19.3g experiments with the "Coltrane" substitutions. In Figure 19.3h, a dominant pedal point supports the chord progression in upper parts. In Figure 19.3i, an extended cycle of dominant 7ths beginning on ♭ substitutes for the original progression.
+The bridge of rhythm changes can be realized in many different ways as shown in Figure 19.4a-h.
+ 
+ 
+FIGURE 19.3 Alternate Progressions for the A Section
+ 
+ 
+FIGURE 19.4 Alternate Progressions for the B Section
+All the harmonic options in Figure 19.4 rely on the use of dominant 7th tritone substitutions, ii7-V7 diminutions, and/or [ii7-V7]/X interpolations. The use of a dominant 7th tritone substitution in its clearest manifestation is shown in Figure 19.4b. Chords in mm. 18, 20, 22, and 24 function as tritone substitutions of the preceding dominant 7ths. The use of ii7-V7 diminutions results in the faster harmonic rhythm, as each dominant 7th of the bridge can be potentially expanded with a predominant ii7. In Figure 19.4c, the ii7-V7s occurring in mm. 18, 20, 22, and 24 expand the underlying dominant 7th chords. The combination of ii7-V7 diminutions with [ii7-V7]/X interpolations can produce more intricate harmonic progressions as demonstrated in Figure 19.4d and 19.4e. The most obvious consequence of such combinations is even faster harmonic rhythm with two chords per measure. For instance, in Figure 19.4d, the [ii7-V7]/X interpolations in mm. 18, 20, 22, and 24 establish a logical voice-leading connection with the upcoming ii7-V7 progression. In addition, the ii7-V7s in mm. 17-18, 19-20, 21-22, and 23-24 are a half step away from each other, which further assures good voice leading. The neighboring ii7-V7s are also on display in Figure 19.4e. But unlike Figure 19.4d, the [ii7-V7]/X progressions in mm. 18, 20, 22, and 24 from Figure 19.4e function as lower chromatic neighbors in relation to the diatonic ii7-V7 progressions.
+RHYTHM CHANGES IMPROVISATION
+
+The A Section: A Single-Scale Approach
+The chord structure of the A sections of rhythm changes can be reduced to the fundamental framework shown in Figure 19.5.
+While mm. 1-4 of any A section feature a tonic prolongation, mm. 5-8 are more complicated even at the background level. For instance, the predominant in mm. 6, 14, and 30 can take the form of major 7th or dominant 7th chords. Also, the tonally closed second A section features two bars of Imaj7 in mm. 15-16 instead of a half cadence in mm. 8 and 32. Figure 19.6 establishes a chord-scale relationship between structural chords and bebop scales.
+ 
+FIGURE 19.5 Fundamental Harmonic Frameworks
+ 
+FIGURE 19.6 A Basic Chord-Scale Relationship for the A Section
+With a single major bebop scale controlling mm. 1-4, we can concentrate on improvising melodic lines that are entirely derived from the B♭ major bebop scale without being too preoccupied with the surface chord changes. In fact, when improvising against a more complex harmonic accompaniment, the melodic lines-albeit with a single chromatic passing note and the diminished 7th chord-will balance the chromatic accompaniment with controlled melodic tensions. Since mm. 5, 13, and 29 tonicize the subdominant harmony, this harmonic event needs to be well planned, prepared, and executed. Take the clue from the original melody and see how Parker introduced ♭ in those measures. In short, ♭ is an essential pitch that is necessary to make a convincing transition from the tonic to the predominant key area. Figure 19.7a-c demonstrates how to negotiate the A section of rhythm changes using the chord-scale relationship from Figure 19.6.
+The A Section: A Two-Scale Approach
+The next step in rhythm changes improvisation involves adding a dominant 7th bebop scale in mm. 2 and 4. As a result, we must now negotiate two chromatic notes, ♭ from major bebop and ♯ from dominant bebop. These additions will considerably chromaticize the content of melodic lines. Except for m. 6, mm. 5-8 remain the same as in Figure 19.5; the subdominant is expanded with a passing diminished 7th on ♯. Figure 19.8 provides a chord-scale relationship for the A section of rhythm changes.
+Figure 19.9a-c demonstrates a melodic realization of the chord-scale relationship from Figure 19.8.
+ 
+FIGURE 19.7 Melodic Embellishments of the A Section
+ 
+FIGURE 19.8 An Alternate Chord-Scale Relationship for the A Section
+The A Section: Chord Arpeggiations
+Having introduced two scalar choices for mm. 1-4, we can now focus on improvising over more harmonically advanced A sections with various arpeggiations of four- and five-part chords. These options are shown in Figure 19.10a-e with different harmonic settings for the A section.
+The use of arpeggiation capitalizes on good voice leading between adjacent chords. When examining the content of lines in Figure 19.10b-e, notice that the low (or high) notes that begin arpeggiation patterns create a stepwise line spanning the entire A section. Such a line uses common tones and/or features stepwise motion between adjacent chords.
+The B Section: A Single-Scale Approach
+With only dominant 7th chords, the bridge of rhythm changes has a relatively uniform chord-scale relationship. Figure 19.11 establishes a basic chord-scale relationship for the B section. The use of D dominant bebop ♭13 at the beginning of the bridge is in keeping with the overall tonality of rhythm changes.
+Figure 19.12a-c provides a melodic realization of the chord-scale relationship from Figure 19.11.
+ 
+FIGURE 19.9 Melodic Realizations of the A Section
+ 
+FIGURE 19.10 The A Section-Arpeggiation Patterns
+ 
+FIGURE 19.11 A Basic Chord-Scale Relationship for the B Section
+NOTES
+
+1. Some of the most well-known contrafacts on rhythm changes include: Lester Young's "Lester Leaps In," Sonny Stitt's "Eternal Triangle" (modified bridge) and "Sonny Side," Thelonious Monk's "Rhythm-A-Ning," Benny Harris's "Crazeology," Dizzy Gillespie's "Ow" and "Shaw 'Nuff" (with Parker), Fats Navarro's "Eb-Pob," Sonny Rollins's "Oleo," John Lewis's "Delauney's Dilemma," George Coleman's "Lo-Joe," Bill Evans's "Five," Miles Davis's "The Theme" and "The Serpent's Tooth" (modified bridge), Harold Danko's "Not In the Mood," Bill Dobbins's "TJRC," Brian Dickinson's "Splash," Jan Jarczyk's "Fifteen Years," Clay Jenkins's "Habitat," and Jeff Campbell's "Exit 41."
+2. Other contrafacts on rhythm changes by Parker include: "Ah-leu-cha," "Anthropology," "Dexterity," "Kim," "Constellation," "An Oscar For Treadwell," "Celerity," "Chasin' the Bird," "Passport," "Red Cross," and "Steeplechase."
+3. For representative recordings, consult Appendix F on the companion website.
+4. The term "eight-bar blues" was pointed out to me by Harold Danko, who played in the Thad Jones/Mel Lewis Orchestra from 1976 until 1978; he remembers Thad Jones using this term in reference to the A section of rhythm changes and "Don't Get Sassy."
+ 
+FIGURE 19.12 Melodic Realizations of the B Section
+
+
+PART THREE
+Advanced
+
+
+
+
+
+
+
+
+
+
+
+CHAPTER TWENTY
+Pentatonics and Hexatonics
+
+
+
+CHAPTER SUMMARY
+
+Chapter 20 embarks on a study of pentatonic and hexatonic scales. These collections are classified according to their possible chord-scale relationships and explored from different vertical and horizontal perspectives.
+CONCEPTS AND TERMS
+
+•Hexatonic voicings
+•Hexatonics:
+Altered
+Regular
+•Mixolydian ♭9
+•Pentatonic system
+•Pentatonic voicings
+•Pentatonics:
+Altered
+Chromatic
+Diatonic
+Dominant
+Dorian
+Major
+Minor
+Suspended
+•Pitch aggregates
+•Quartal voicings
+•Stacked fourths
+METHODOLOGY
+
+A thorough understanding of chord-scale theory allows us to prioritize certain notes and de-emphasize others. Hierarchically important notes occurring in the context of harmonic progressions and melodic lines (beauty marks, chord tones, alterations, and extensions) should receive melodic, harmonic, and rhythmic stress. Avoid notes, meanwhile, require careful metric and voice-leading considerations, because their uncontrolled presence might affect the clarity of chord progressions and melodic lines. In the structure of seven-note modes, there is a distinct hierarchy among pitches: the use of 4 in Ionian or 5 in Lydian, for instance, might have an undesirable effect on the content of corresponding chords or lines. The exclusion of these notes from Ionian and Lydian (and other notes from other modes as well) creates intervallically diverse six-note hexatonic scales (i.e. scales of cardinality of six). The removal of two notes from seven-note modes produces even more intervallically diverse five-note pentatonic scales (i.e. scales of cardinality of five). The intervallic variety of pentatonic and hexatonic scales is very attractive to the improviser. The seven-note modes, scalar transpositions of a melodic pattern tend to sound predictable after a few repetitions. In pentatonic or hexatonic collections, however, the same pattern often sounds less predictable because the intervallic content of these scales is much more diverse. The reduction of pitch content to only five or six essential tones highlights the most crucial notes from the mode and imbues them with the capacity to make chords or melodic lines sound convincing.
+The development of pentatonic and hexatonic systems is analogous to the methodology of mode classification discussed in Chapter 7 and chord-scale theory in Chapter 8. Pentatonics and hexatonics are placed in functional categories and analyzed for their melodic and harmonic potential.
+PENTATONICS
+
+In jazz, pentatonics represent a rich assortment of scales with a vast potential for improvisation. They come in a variety of flavors, from the simple blues inflections added to diatonic pentatonics popularized by Lester Young in the 1930s to the chromatically altered five-note segments common in contemporary jazz styles.1
+Basic Pentatonics
+There are three basic pentatonics: major, minor, and dominant.2 Major pentatonic, shown in Figure 20.1, is derived from the Ionian mode excluding 4 and 7.
+The absence of semitones from its structure affects the scale's tonal character and removes the traces of harmonic tension from the collection. When listening to the sound of this scale, it conveys an aura of tonal neutrality, which makes major pentatonic, and other pentatonics as well, ideal choices for modal improvisation and modal harmony.
+ 
+FIGURE 20.1 Major Pentatonic
+Minor pentatonic is derived from the Aeolian mode by excluding the tritone between 2 and ♭6. Figure 20.2 illustrates the derivation of a minor pentatonic.
+The content of a minor pentatonic prioritizes the intervals of major 2nds and minor 3rds, just as in the major counterpart. Similar to major pentatonic, the absence of the tritone and the leading tone contributes to the scale's independent tonal status.
+Figure 20.3 illustrates two types of dominant pentatonic scale: dominant and suspended. Both can be derived from the Mixolydian mode and, as such, establish a convincing chord-scale relationship with the dominant 7th and suspended dominant chords respectively.
+The pitch content of dominant pentatonic includes the tritone between 3 and ♭7 that is inherent to the structure of the scale. The omission of 6 prevents the occurrence of a minor 2nd. This is in keeping with the overall character of other pentatonic collections.
+ 
+FIGURE 20.2 Minor Pentatonic
+ 
+FIGURE 20.3 Dominant and Suspended Pentatonics
+The intervallic content of suspended pentatonic prioritizes major 2nds and minor 3rds and the inclusion of 4 enables a chord-scale relationship with corresponding suspended formations.
+Diatonic Pentatonics
+In Chapter 7, diatonic and chromatic modes were generated using rotations of two parent scales: the major to construct diatonic modes and the melodic minor to create chromatic modes. Diatonic pentatonics can be derived in a similar manner. For the derivation of diatonic pentatonics, Dorian pentatonic is employed as the parent scale. The reason for this selection stems from its symmetrical pitch organization.3 Figure 20.4 illustrates the pitch structure of the Dorian pentatonic.
+Unlike other pentatonics discussed thus far, the Dorian pentatonic has a much more diverse intervallic content and includes four distinct intervals: two major 2nds, a minor 2nd, a major 3rd, and a minor 3rd (when you wrap the scale around the octave). Although reduced to only five notes, the pitch content of the scale embodies the essential Dorian characteristics: it has minor qualities and includes the beauty mark, major 6th.
+By rotating the pitch structure of Dorian pentatonic, five distinct pentatonics are created: Phrygian, Lydian, Mixolydian, Aeolian, and Locrian. These scales are referred to as diatonic pentatonics. The Ionian pentatonic is excluded since it was previously introduced in Figure 20.1 as a major pentatonic. Figure 20.5 illustrates these five rotations of a Dorian pentatonic.
+The Phrygian pentatonic starts on 2, the Lydian pentatonic begins on ♭3, the Mixolydian pentatonic starts on the non-existent 4, the Aeolian pentatonic originates from 5, and the Locrian pentatonic begins on 6. When transposing these pentatonics to the same starting pitch, all but Mixolydian begin on the same note. The Mixolydian does not since its pitch content is built on the non-existent root of the scale 4. When comparing the structure of Mixolydian and Aeolian from Figure 20.5, notice that they have the same pitch content. The difference between the two becomes apparent when comparing their transpositions. Figure 20.6 shows six pentatonics transposed to C4.
+Based on what is already known about the modal theory, observe that the diatonic pentatonics have the same salient features as the corresponding seven-note modes. The Phrygian pentatonic contains the beauty mark ♭2, the Lydian pentatonic includes ♯11, and the Mixolydian pentatonic contains all the essential notes from the dominant 7th formation. The Aeolian pentatonic features the beauty mark ♭6, and the Locrian pentatonic highlights the characteristic ♭5.
+ 
+FIGURE 20.4 Dorian Pentatonic
+ 
+FIGURE 20.5 Rotations of Dorian Pentatonic
+ 
+FIGURE 20.6 Pentatonics Transposed to C4
+Chromatic Pentatonics
+Figure 20.7 shows how the Melodic Minor pentatonic can serve as the parent scale for the generation of chromatic pentatonics.
+Figure 20.8a illustrates the rotations of the chromatic pentatonics and Figure 20.8b transposes them to C4.
+After transposing chromatic pentatonics to C4, the Dorian ♭2 and Mixolydian ♯11 pentatonics begin on ♭2 and 2 respectively.4
+ 
+FIGURE 20.7 Melodic Minor Pentatonic
+ 
+FIGURE 20.8A Rotations of Chromatic Pentatonics
+ 
+FIGURE 20.8B Pentatonics Transposed to C4
+Altered Pentatonics
+The structure of diatonic and chromatic pentatonics can be modified by minor pitch displacements and/or chromatic alterations. These pitch modifications result in the creation of the altered pentatonics; these scales share essential qualities with the regular pentatonic scales that they purport to modify. Figure 20.9 compiles altered pentatonics and shows their relationships with the diatonic and chromatic pentatonics.
+With the exception of the Mixolydian pentatonic, altered versions of diatonic pentatonics include different combinations of pitches derived from the corresponding modes. Mixolydian I and Mixolydian II include chromatic alterations of 2; these result in the inclusion of ♭9 in the former, and ♭9 and ♯9 in the latter.5
+ 
+ 
+ 
+FIGURE 20.9 Altered Pentatonics
+THE PENTATONIC SYSTEM
+
+Broadly speaking, there are three types of pentatonic scale: diatonic, chromatic, and altered. The diatonic and chromatic pentatonics can be derived from the Dorian and Melodic Minor pentatonics, respectively. Altered pentatonics result from minor pitch displacements and/or alterations of diatonic and chromatic pentatonics. Even though pentatonics are primarily associated with modal improvisation and modal harmony, it is possible to invoke traditional functional relationships to make them useful in tonal improvisation and harmony as well. The pentatonic system attempts to illustrate the tonal potential of different pentatonic collections. To facilitate this discussion, the diatonic, chromatic, and altered pentatonics are compartmentalized into the familiar functional categories.
+Major Category
+Possible Harmonic Function-Tonic and Predominant
+Figure 20.10 illustrates a collection of major pentatonics and establishes chord-scale relationships with selected chords.
+Minor Category
+Possible Harmonic Function-Tonic and Predominant
+Figure 20.11 compiles minor pentatonics and provides chord-scale relationships with selected chords.
+ 
+FIGURE 20.10 Chord-Scale Relationships: Major Category
+ 
+FIGURE 20.11 Chord-Scale Relationships: Minor Category
+Dominant Category
+Possible Harmonic Function-Dominant
+Figure 20.12 shows dominant pentatonics and establishes chord-scale relationships with selected chords.
+ 
+FIGURE 20.12 Chord-Scale Relationships: Dominant Category
+Suspended Dominant Category
+Possible Harmonic Function-Dominant and Predominant
+Figure 20.13 demonstrates suspended pentatonics and establishes chord-scale relationships with selected chords.
+ 
+FIGURE 20.13 Chord-Scale Relationships: Suspended Dominant Category
+Intermediary Category
+Possible Harmonic Function-Predominant and Dominant
+Figure 20.14 features intermediary pentatonic collections and establishes chord-scale relationships for this category.
+Harmonic Potential
+Pentatonic collections are very useful for the generation of so-called quartal voicings. Although voicings introduced in this section primarily have modal characteristics, they are just as effective in the tonal contexts. Figure 20.15 demonstrates five quartal voicings that can be derived from the Dorian pentatonic. In this and the forthcoming figures, boxed chords indicate the projection of a complete pentatonic collection.
+The structure of the voicings in Figure 20.15 features the notes from the Dorian mode arranged as stacked fourths.6 Even though occasional thirds or other intervals might appear in quartal voicings, they tend to balance the overall structure of the sonority. As long as the interval of a fourth is prioritized (especially at the bottom of the chord), voicings should display typical modal characteristics.
+The methodology for generating pentatonic voicings can be summed up as follows:
+1.Create a quartal voicing that includes all or the majority of the pitches from the pentatonic collection.
+2.The pitches from the pentatonic scale function as the roots of the subsequent chords derived from this pentatonic.
+3.Transfer the opening voicing up to the next pitch from the pentatonic scale unfolding in the bass. Think of transferring all the voices (excluding the bass voice) up to the next available pitch derived from the corresponding seven-note mode. In generating Phrygian pentatonic voicings, for instance, use a Phrygian pentatonic to create five unique transpositions of the opening sonority and the Phrygian mode to supply the pitch content.
+4.While the lowest note of each voicing projects the specific pentatonic scale, the inner voices are derived from the corresponding mode.
+5.These voicings represent a useful collection of sonically related formations that can be used interchangeably in a variety of tonal or modal contexts.
+ 
+FIGURE 20.14 Chord-Scale Relationships: Intermediary Category
+ 
+FIGURE 20.15 Dorian Family of Voicings
+Figure 20.16 illustrates the families of pentatonic voicings for selected basic, diatonic, chromatic, and altered pentatonic collections.
+Melodic Potential
+Even though the methodology described above focuses on voicings, the idea that chords can be horizontalized as lines, and vice versa, allows us to explore the melodic potential of pentatonics. Figure 20.17 shows how it is possible to extract three-note melodic cells from a given pentatonic and then how to use those cells to create a pentatonic line.
+These pitch transfers preserve the overall shape of the original cell, but not always the intervallic contour of the cell. The diverse intervallic structure of pentatonics is very useful in rendering different pitch transfers of the original motive less symmetrical and devoid of intervallic predictability.
+ 
+FIGURE 20.16 Pentatonic Voicings
+ 
+FIGURE 20.17 Pentatonic Lines
+HEXATONICS
+
+The hexatonic scale is a six-note collection that conveys characteristics similar to the seven-note modes. Just like pentatonics, hexatonic scales have more interesting intervallic properties and provide essential notes for melodic lines and harmonic formations. The hexatonic collections are compartmentalized in the familiar categories and scales are generated from aggregates of pitches that contain all available notes from the particular category. For instance, since the pitch aggregate for the major category contains eight notes, there are a number of options for creating different major hexatonics. Given the enormous range of options, it is best to pick a scale whose pitch content best conveys specific modal characteristics.
+The derivation of hexatonics from the aggregate puts the understanding of pitch hierarchy to the test. The pitch structure of different hexatonics prioritizes only those notes that are essential to projecting the exact harmonic function and/or intended chord-scale relationship. Each category below includes two types of hexatonic collection: regular and altered. Regular hexatonics share common characteristics with the corresponding modes. For instance, Mixolydian ♯11 hexatonic has similar properties to the seven-note Mixolydian ♯11 mode, etc. Altered hexatonics are derived from the specific pitch aggregate and their structure includes minor variations from regular hexatonics. In labeling altered hexatonics, use the name of the category with Roman numerals specifying different variations (i.e. Major Altered I, Dominant Altered II, etc.).
+Major Category
+Possible Harmonic Function-Tonic and Predominant
+Figure 20.18 illustrates the pitch aggregate for the major category: three regular hexatonic collections and three altered hexatonics.7 The only notes that cannot be used in the aggregate are ♭2, ♭3, and ♭7. All other notes as six-note segments can be freely combined to create altered hexatonics. Notice that the Major Altered II and III combine the characteristics of three regular hexatonics (5 from Ionian, ♯4 from Lydian, and ♯5 from Lydian Augmented).
+Minor Category
+Possible Harmonic Function-Tonic and Predominant
+Figure 20.19 provides the pitch aggregate for the minor category: three regular hexatonic collections and three altered hexatonics. The inclusion of ♯4 in the aggregate raises several issues. Until now, the ♯4 (♭5th) has participated only in the context of major or dominant chords. In more advanced harmonic practice, however, the addition of ♯4 (functioning as a ♯11th) expands the structure of minor formations. Since the extended tertian structure derived from C Melodic Minor, for instance, features two overlapping four-part formations, Cmin(♭7) and Bø7, the upper formation can be substituted with the Bmin7 chord. This substitution preserves the tertian nature of the extended formation and infuses the seven-part chord with the Lydian characteristics: C-E♭-G-B-D-F♯-A.
+ 
+FIGURE 20.18 Major Hexatonics
+ 
+FIGURE 20.19 Minor Hexatonics
+Dominant Category
+Possible Harmonic Function-Dominant
+Figure 20.20 shows the pitch aggregate for the dominant category: four regular hexatonic collections and four altered hexatonics. The only pitches excluded from the aggregate are 4 and 7. Notice the presence of Mixolydian ♭9, which was not encountered in the discussion of modal theory. Since this scale includes a single chromatic alteration ♭9-just as the two other chromatic modes, Mixolydian ♯11 and Mixolydian ♭13-this collection is labeled as Mixolydian ♭9.
+ 
+FIGURE 20.20 Dominant Hexatonics
+Suspended Dominant Category
+Possible Harmonic Function-Dominant and Predominant
+Figure 20.21 demonstrates the pitch aggregate for the suspended dominant category: three regular hexatonic collections and a selection of altered hexatonics. The aggregate contains all but two pitches, 3 and 7.
+Intermediary Category
+Possible Harmonic Function-Predominant and Dominant
+Figure 20.22 shows the pitch aggregate for the intermediary category: four regular hexatonic collections and a selection of altered hexatonics.
+ 
+FIGURE 20.21 Suspended Hexatonics
+ 
+FIGURE 20.22 Intermediary Hexatonics
+Harmonic Potential
+Just as with pentatonics, the hexatonic collections provide useful pitch resources for creating interesting voicings of different cardinality. The procedures for generating voicings of various sizes are similar to those discussed earlier in this chapter and utilize transfers of the initial voicing through the hexatonic scale. The resulting five voicings represent the sound of the specific hexatonic and are potential substitutes for one another in different harmonic scenarios. Hexatonic voicings can be generated using the following procedures:
+ 
+FIGURE 20.23 Hexatonic Voicings
+1.Establish the initial close-position voicing that captures the sound of the hexatonic scale.
+2.Transfer the close-position voicing up to the next pitch from the hexatonic scale. Use notes from the corresponding hexatonic scale only.
+3.Rearrange the pitches of the initial close-position voicing to create different open-position formations.
+4.Transfer the open-position voicing through the hexatonic scale.
+Figure 20.23 demonstrates these procedures using four- and five-part voicings derived from Lydian hexatonic.
+Melodic Potential
+Based on the fundamental premise that chords can be linearized and lines can be verticalized, hexatonic scales can be explored by using different melodic cells. These cells are derived from the scale's content and transferred to all the notes from the corresponding hexatonic collection. The subsequent pitch transfers feature more intervallic variety within them, as was the case with pentatonic scales in Figure 20.17. Figure 20.24 demonstrates this process.
+ 
+FIGURE 20.24 Melodic Potential
+NOTES
+
+1. See, for instance, Lester Young's The Kansas City Sessions and The Complete Aladdin Recordings.
+2. The major, minor, and "suspended" pentatonics are rotations of one another and are basic to modern jazz practice.
+3. From ca. 800 until the 1500s, Dorian was considered the first mode in the eight-mode system. As a palindrome, Dorian has the same intervallic structure upwards and downwards.
+4. Since the Mixolydian ♭13 pentatonic does not contain ♭7 in its structure, it is omitted from the list of available chromatic pentatonics.
+5. The use of Roman numbers "I," "II," etc. indicates the pitch variations of the basic, diatonic, or chromatic pentatonics.
+6. These types of voicing are also known as so-called "So What" voicings because they resemble similar chords performed by Bill Evans on the iconic Kind Of Blue recording from 1959.
+7. Since hexatonic collections and modes share the same chord-scale relationships, the forthcoming figures do not include chords.
+
+CHAPTER TWENTY-ONE
+Phrase Models
+
+
+
+CHAPTER SUMMARY
+
+Chapter 21 introduces 13 phrase models that illustrate the essential harmonic, contrapuntal, and structural properties of the different eight-bar phrases commonly found in standard tunes.
+CONCEPTS AND TERMS
+
+• Cadential confirmations:
+Complete
+Harmonically closed
+Harmonically open
+Incomplete
+Modulatory
+• Chromatic phrase models
+• Diatonic phrase models:
+Off-tonic
+On-tonic
+• Harmonic departures
+• Incomplete phrase models
+• Jazz rule of the octave
+• Phrase identifiers
+• Phrase models
+PHRASE PROTOTYPES
+
+The phrase structure of standard tunes is fairly predictable.1 It consists of a finite number of mostly eight-bar phrases that are easily classified according to their melodic, harmonic, and contrapuntal properties.2 Melodic properties, for instance, are characteristic successions of melodic tones common to particular families of standard tunes. The same can be said about harmonic and contrapuntal features. The supporting harmonies are constrained by certain principles of chord formation and by various rules of counterpoint and harmonic function. These relationships are demonstrated using the concept of phrase models. Although phrase models are classified according to the differences in the melodic structure and supporting harmonies, it is important to stress that these properties are mutually intertwined. The behavior of the melody is shaped by its supporting harmonies, just as the sense of harmonic progression is dictated by the behavior of melodic patterns.3 This intimate relationship means that if we attempt to understand the phrase structure of standard tunes in exclusively melodic terms or from a purely harmonic perspective, that understanding will be incomplete.
+In the discussion of II-V-I in Chapter 6, a distinction between different rhetorical types and the functional role of the progression was made. Phrase models, aside from their melodic, harmonic, and contrapuntal characteristics, can also be described in terms of their rhetorical layout. Typically, a phrase model has three main parts: phrase identifier, harmonic departure, and cadential confirmation. A phrase identifier is a short harmonic progression with two, three, or four chords that appears at the beginning of a phrase and gives the entire phrase its harmonic identity. Given the pliability of jazz harmony-especially its huge transformative potential-phrase identifiers occur in various substitute forms without actually changing the status of the phrase model. Since each phrase model has a different phrase identifier, it is considered the most recognizable feature of the model.
+Harmonic departures typically occur in the middle of a phrase and feature different diatonic or chromatic interpolations as well as tonicization of closely or distantly related key areas. Given the plethora of available harmonic options, this section of a phrase model is the most ambiguous and challenging to codify. In the context of the prototypical phrase model, then, the exact location and type of harmonic departures are ultimately related to the design of the melody and the type of underlying chord progressions.
+In contrast to the inherent ambiguity of harmonic departures, the harmonic implications of the cadential confirmations are fairly straightforward. The cadential confirmation is a progression-typically a complete/incomplete II-V or its common harmonic variants-that concludes a phrase model. Depending on the rate of harmonic rhythm, cadential confirmations typically occur in m. 8 or mm. 7-8 of an eight-bar phrase. Figure 21.1 shows a generic phrase model with three structural components: phrase identifier, harmonic departure, and cadential confirmation.
+The hierarchy among chords is indicated with different note stems and flags connected to the beam. Slurs group chords comprising the phrase identifier. Dashed slurs illustrate cadential confirmations. Brackets indicate the space occupied by harmonic departures. The two empty measures in Figure 21.1 are reserved for a harmonic departure that is unique to the structure of a particular tune. The beam connects chords belonging to the phrase identifier and cadential confirmation features a complete cadential closure.
+ 
+FIGURE 21.1 Generic Phrase Model
+Normally, all three components of the phrase model are present but, under special conditions, a phrase model can be truncated. The B section of a tune with a complex harmonic setting may, for instance, utilize only parts of the phrase model without cadential closure or harmonic departure. This type is referred to as an incomplete phrase model.
+Phrase models provide background harmonic frameworks for the tonality of standard tunes. These models draw on traditional tonal features, such as root movement by fifths, monotonality, stepwise motion of the supporting counterpoint, and the T-PD-D-T chord succession. Let's briefly revisit these features and examine the ways in which they explain the tonality of standard tunes. A root movement by fifths is the overarching characteristic of tonal music. With a single tonic at the center of tonality, all other chords are dependent on the tonic. Chord progressions, especially those with the structural visibility (i.e. ii7-V7-Imaj7), follow the traditional root movement by 5ths, the most fundamental harmonic motion defining tonality and tonal relationships.4 This motion exemplifies the succession of harmonic functions from the instability of the dominant to the stability of the tonic or-at the background level-controls the proper distribution of the secondary key areas. Even though other root movements may (and frequently do) occur, they are hierarchically dependent on fifth motion and can even be derived from it. Since the tonal system places a single tonic at the center of all melodic, harmonic, and contrapuntal activity, the concept of monotonality is central to tonality. Even though certain tunes might begin in apparently different keys, such as "I Hear a Rhapsody," "All the Things You Are," "Autumn Leaves," and many others, they ultimately lead to the home key. This is firmly confirmed by a cadence featuring a root movement by fifths.
+Counterpoint is a driving force that propels different harmonic progressions to their destinations. In the context of standard tunes, the term "counterpoint" is applied to signify the behavior of guide tones within chord progressions and to indicate the overall characteristics of voice leading. Since the behavior of counterpoint is predictable yet quite flexible, it is a powerful agent influencing the interaction of melodic lines and chord progressions. Figure 21.2a-b illustrates the harmonic flexibility of a counterpoint using a -- melodic pattern. These distinct harmonic realizations employ root movement by fifths, use a stepwise motion in inner voices, and demonstrate the transformative power of counterpoint. Even though the rules of counterpoint in both harmonizations are exactly the same, the respective outcomes, however, could not be more different.
+Figure 21.2a illustrates the harmonic realization of a -- melodic pattern using a diatonic Imaj7-ii7-V7-Imaj7 progression. Figure 21.2b demonstrates a more intricate realization of the same melodic pattern. After the initial support from the tonic chord,  in Figure 21.2b is reinterpreted as a ♭5th of the F♯min7(♭5) chord, which launches the sequence of fifth-related progressions before converging on the final tonic chord. The harmonic space between the two tonic chords in Figure 21.2b is heavily elaborated with different diatonic and chromatic formations. One of the most striking features of Figure 21.2b is that it preserves the same basic rules of tonal voice leading and harmony as Figure 21.2a. The intervening chords do not violate any traditional rules of tonal voice leading and harmony; they do not, for example, create parallel perfect 8ves and 5th with adjacent chords-not that parallel perfect 8ves and 5th are unwelcomed in jazz syntax-nor do they violate the rules of functional syntax. Since the harmonic realization of the -- pattern in Figure 21.2a satisfies the traditional rules of tonal voice leading and harmony, and the processes of transformation preserve those rules, the resulting progression shown in Figure 21.2b constitutes a correct tonal progression.
+ 
+FIGURE 21.2 Harmonic Flexibility of Counterpoint
+JAZZ RULE OF THE OCTAVE
+
+During the Baroque Era, the "Rule of the Octave" was a practical tool that enabled musicians to gain harmonic flexibility at the keyboard.5 The rule prescribed how to harmonize a scale in the bass using stylistic tonal progressions. In jazz, a similar rule can also be developed. Instead of placing the scale in the bass, the major scale is placed in the soprano voice. The jazz rule of the octave explains how to harmonize a descending major scale with idiomatic jazz progressions. By examining different harmonic outcomes, the relationship of melodies to chords and chords to melodies becomes clear. The jazz rule of the octave also helps us to realize the harmonic potential of different melodic segments and examines their behavior in the context of underlying chord progressions. Figures 21.3a-21.3d illustrate four distinct harmonizations of the descending major scale.
+ 
+FIGURE 21.3A Jazz Rule of the Octave: Variant 1
+Figure 21.3a features a diatonic realization of the scale. The tonic note is prolonged throughout the harmonization (dashed slurs) and only momentarily is left to create a harmonic contrast. As expected, the final harmonic gesture is in the form of a ii7-V7-Imaj7 progression.
+Figure 21.3b illustrates a much bolder harmonization of the scale employing a root movement by fifths. Scale degrees  and  become reinterpreted as a ♭5th and ♭9th of ()/iii and ()/vi, respectively. It is worth noting that the initial tonic is absent from this harmonization. Known as an off-tonic progression, this and other off-tonic progressions are hallmarks of Phrase Models 2, 3, 5, and 13.6
+Figure 21.3c illustrates how to infuse the scale with various tonicizations of closely related key areas. The notes of the descending scale become reinterpreted as different chord tones and extensions of supporting harmonies. For instance, the tonicization of IV capitalizes on reinterpreting  as a major 9th of Gmin7 and a major 13th of C13 before resolving to Fmaj9 with  in the soprano. Special attention should be paid to the behavior of inner voices as they continue to move by step and clearly delineate the structure of underlying chords.
+ 
+FIGURE 21.3B Jazz Rule of the Octave: Variant 2
+ 
+FIGURE 21.3C Jazz Rule of the Octave: Variant 3
+ 
+FIGURE 21.3D Jazz Rule of the Octave: Variant 4
+Unlike other harmonizations in the preceding figures, Figure 21.3d begins in the submediant key with a clear cadential confirmation of the submediant using the ()/vi progression. This particular off-tonic progression is especially common in the repertory of standard tunes. Before converging on the tonic, however, this harmonization also features tonicizations of IV and ♭III, and an elided motion to V with a II7 as harmonic support for . Even though this realization prioritizes the predominant collection of chords (as the confirmation of vi and tonicization of IV indicate) and modal mixture harmonies, these local key areas are ultimately related to the governing tonic. These eventually synchronize the melodic and harmonic forces at the end of the progression. In keeping with the notational practice employed in this book: parentheses are used to indicate the secondary ii7-V7s that resolve to their tonicized key areas; and square brackets to indicate secondary ii7-V7s that do not. For instance, the progression (ii7-V7)/IV in the key of C major indicates Gmin7-C7-FMaj7; the progression [ii7-V7]/IV stands for Gmin7-C7 followed by some other chord.
+DIATONIC PHRASE MODELS
+
+The concept of phrase models provides a general representation of harmonic progressions occurring in the repertory of standard tunes. Such prototypical progressions are fairly flexible and permit considerable harmonic and rhythmic variations with respect to the model's phrase identifier, harmonic departure, and cadential confirmation. These components can, therefore, be (and frequently are) transformed without changing the original status of the model. These transformations or modifications usually relate to the harmonic properties of phrase models. In addition, they can also influence the overall duration and placement of individual components. Harmonic transformations typically involve various chord expansions, substitutions, and interpolations. Rhythmic modifications allow for different distributions of chords or harmonic progressions in relation to the underlying rhythmic and metric structure of the model. Such a degree of harmonic and rhythmic freedom allows for the classification of similar phrases within the rubric of a single phrase model.
+Each diatonic phrase model is derived from a fundamental -- melodic pattern and appears in two distinct forms: (1) as a harmonic progression with essential chords analyzed only with Roman numerals, and (2) as a contrapuntal framework with guide-tone lines navigating through the supporting harmonies of the model. The use of analytical symbols is in keeping with a notational practice commonly used by music theorists: dashed slurs indicate the prolongation of essential tones or harmonies, beams shows phrase groupings, open note heads illustrate tones of greater structural significance than black note heads (these are further distinguished with either extended stems and/or flags), and scale degrees analyze notes of the tonic key. The discussion of each phrase model ends with five complete harmonic progressions and a partial list of standard tunes that share the harmonic characteristics of a particular phrase model.
+Phrase Model 1
+The overview of phrase models begins with the basic eight-bar progression. The use of a I-II-V progression as the phrase identifier is balanced with the use of a complete or incomplete II-V as the cadential confirmation. Notice that in Figure 21.4 (and in all the remaining figures showing the properties of phrase models) the structural chords of the model are notated with large-case Roman numerals. The phrase identifier (I-II-V) and the cadential confirmation (II-V) of Phrase Model 1 combine two tonal variants of the progressions: Imaj7-ii7-V7 or i7- and ii7-V7 or  respectively. The middle part of Phrase Model 1 is reserved for the harmonic departure. This features a simple prolongation of the tonic or temporary tonicizations of closely or distantly related key areas. As stated earlier, these modifications do not alter the overall character of the model. Phrase Model 1 in Figure 21.4 features a relatively slow harmonic rhythm with one chord per measure. Frequently, however, the rate of harmonic rhythm is much faster, usually with two chords per measure.
+ 
+FIGURE 21.4 Phrase Model 1
+Figure 21.5 illustrates a contrapuntal framework of Phrase Model 1 and its derivation from a diatonic -- melodic pattern. Notice that in Figure 21.5 (and in all the remaining figures showing contrapuntal properties of phrase models) the chords are analyzed with complete Roman numerals. One of the advantages of such a representation (without bar lines and with essential harmonies only) is that it clearly shows the hierarchy between chords and contrapuntal forces generating the model. The exact distribution of chords and the type of harmonic departure are ultimately related to the characteristics of a specific standard tune.
+The most salient feature of Phrase Model 1 is an on-tonic phrase identifier, which clearly projects the tonality of the tune. As a form-building entity, the cadential confirmation comes in two different types, complete and incomplete, and can be further classified as harmonically open, modulatory, and harmonically closed. A harmonically open pattern typically ends the first A section of the AABA- or the B section of the ABAC-type tunes. A modulatory cadential closure uses a ii7-V7 progression that prepares the arrival of a new key area in the B section of the AABA- or the B or C sections of the ABAC-type tunes. A harmonically closed cadential confirmation utilizes a ii7-V7-Imaj7 progression at the end of the tune.
+Figure 21.6 illustrates some of the most interesting transformations of Phrase Model 1. These complete harmonic progressions are derived from the list of standard tunes below. Do you know which?
+Phrase Model 1 can also accommodate a minor version of the phrase identifier (i.e. i7-) as in "You and the Night and the Music" or "Softly As In a Morning Sunrise." But the contrapuntal framework of the model remains unchanged.
+ 
+FIGURE 21.5 Phrase Model 1: Contrapuntal Framework
+ 
+FIGURE 21.6 Phrase Model 1: Harmonic Variants
+The list of songs that concludes the presentation of each phrase model contains a selection of familiar (and less-familiar) standard tunes that share the harmonic characteristics of a particular model. By studying these tunes, you can begin to notice the familiar traits and common characteristics between them.7 You can also observe how different harmonic transformations depart from the original phrase model and how they are generated. This and other lists are by no means exhaustive, but are an attempt to show the wealth of harmonic progressions in standard tunes sharing similar properties. One of the challenging aspects of this classification, however, is the proliferation of different versions of standard tunes in many fake books of questionable provenance. While such sources naturally present problems, they nonetheless offer an opportunity to take a fresh look at the repertory of standard tunes from the viewpoint of a practicing musician who has to frequently "improve" the existing lead sheet or sift through the surface chord progressions in order to understand the harmonic essence of a tune.
+Phrase Model 2
+The main characteristic of Phrase Model 2 is an off-tonic phrase identifier II-V, which can occur in the form of ii7-V7 or () progressions. Figures 21.7a-21.7c provide a basic harmonic layout of the model with an incomplete cadential confirmation, show a contrapuntal framework derived from a diatonic -- melodic pattern, and demonstrate common harmonic variants of the model.
+STANDARD TUNES-PHRASE MODEL 18
+A Gal In Calico
+All At Once You Love Her
+All By Myself
+All Through the Day
+Almost In Your Arms
+Always
+Angry
+April Love
+Aren't You Glad You're You
+Bye, Bye Blackbird
+Can't You Just See Yourself
+Carolina In the Morning
+Chicago
+Could It Be You
+Daybreak
+Don't Ever Leave Me
+Drifting Along With the Tide
+For Every Man There's a Woman
+For You, For Me, For Evermore
+Forty-Second Street
+Fun To Be Fooled
+Get Happy
+Getting To Know You
+Happiness Is (Just) a Thing Called Joe
+Harlem On My Mind
+Haunted Heart
+Hooray For Love
+How About You?
+How Soon Will I Be Seeing You
+I Ain't Got Nobody
+I Cain't Say No
+I Can't Be Bothered
+I Don't Know Why (Just Do)
+I Get Along Without You Very Well
+I Guess I'll Have To Change My Plan
+I Love a Piano
+I Love Lucy
+I Mean To Say
+I See Your Face Before Me
+(I'd Love To Spend) One Hour With You
+I'd Rather Be Right
+I'd Rather Charleston
+I'm Coming Virginia
+If I Didn't Care
+If There Is Someone Lovelier Than You
+It Doesn't Cost You Anything To Dream
+It Only Happens When I Dance With You
+It's Magic
+Jersey Bounce
+L-O-V-E
+Let Yourself Go
+Let's Face the Music and Dance
+Life Begins When You're In Love
+Love (Your Spell Is Everywhere)
+Lovelier Than Ever
+Mack the Knife
+Manhattan
+Mona Lisa
+Mood Indigo
+My Heart Belongs To Daddy
+Nature Boy
+Nobody's Heart
+Remind Me
+Rose Of Washington Square
+Say It Over and Over Again
+Say It With Music
+Secret Love
+Shaking the Blues Away
+Small Talk
+So Near and Yet So Far
+Softly, As In a Morning Sunrise
+Spreadin' Rhythm Around
+Stompin' At the Savoy
+Take the 'A' Train
+The More I See You
+The Very Thought Of You
+This Is New
+Three Coins In the Fountain
+To Keep My Love Alive
+Together Wherever We Go
+Two Sleepy People
+Waiting For the Sun To Come Out
+When I Get Low I Get High
+When I Grow Too Old To Dream
+Where Is Love?
+Why Can't You Behave?
+Why Do I Love You?
+Yesterdays
+You and the Night and the Music
+You Keep Coming Back Like a Song
+You're the Cream In My Coffee
+You're the Cure For What Ails Me
+You're the Top
+You've Got What Gets Me
+Young At Heart
+
+
+ 
+FIGURE 21.7A Phrase Model 2
+ 
+FIGURE 21.7B Phrase Model 2: Contrapuntal Framework
+ 
+FIGURE 21.7C Phrase Model 2: Harmonic Variants
+STANDARD TUNES-PHRASE MODEL 2
+A Certain Smile
+A Pretty Girl Is Like a Melody
+Ages Ago
+April In My Heart
+April Showers
+At Sundown
+Avalon
+Ballad In Blue
+Beautiful Love
+Because Of You
+Black Butterfly
+Blue Orchids
+Can't We Be Friends
+Close Your Eyes
+Come Back To Me
+Come Out, Come Out, Wherever You Are
+Crazy 'Bout My Baby
+Dearly Beloved
+Diane
+Don't Worry 'Bout Me
+Dreamer With a Penny
+Everything's Coming Up Roses
+Far Away
+Fools Rush In
+For Heaven's Sake
+Goodbye
+Guess Who I Saw Today
+How Could You
+How Many Times Do I Have To Tell You
+I Could Make You Care
+I Don't Know Eough About You
+I Don't Want To Walk Without You
+I Fall In Love Too Easily
+I Gotta Get Back To New York
+I Hadn't Anyone Till You
+I Heard You Cried Last Night
+I Know That You Know
+I Like To Recognize the Tune
+I Only Have Eyes For You
+I Still Get Jealous
+I Wish You Love
+I Wished On the Moon
+I'll Never Say "Never Again" Again
+If Ever I Would Leave You
+If I Could Be With You One Hour Tonight
+If I Knew Then
+If I Were a Bell
+Incurably Romantic
+It's a Blue World
+It's a Woman World
+It's Not For Me To Say
+Jeepers Creepers
+Keepin' Out Of Mischief Now
+Lady In Blue
+Love Is Here To Stay
+Love Is Just Around the Corner
+Mad About the Boy
+Make Believe
+Moon Love
+My Lady
+My Mother Would Love You
+My One and Only
+My Reverie
+Pick Yourself Up
+Poor Butterfly
+Rose Room
+Should I Tell You I Love You
+Something's Gotta Give
+Squeeze Me
+Straight Down the Middle
+Tangerine
+That Certain Feeling
+The Ballad Of the Sad Young Men
+The Continental
+The Lady's In Love With You
+The Night We Called It a Day
+They Didn't Believe Me
+This Love Of Mine
+Thou Swell
+Trav'lin' Light
+Trouble Is a Man
+Under a Blanket Of Blue
+Violets For Your Furs
+Way Down Yonder In New Orleans
+What Good Would the Moon Be?
+Who Are You?
+You Brought a New Kind Of Love To Me
+You Can Depend On Me
+You Turned the Tables On Me
+You're Not the Kind
+You're Sensational You're Sensational You're Sensational You're Sensational
+Standard tunes that feature a  progression at the outset are harmonically more advanced. The consequences of this modal borrowing are felt throughout the phrase such as in "I Love You," where the harmonic departure ventures into the distant major mediant key area.
+Phrase Model 3
+Phrase Model 3 also features an off-tonic beginning and it vacillates around the predominant family of chords. Figures 21.8a-21.8c illustrate a basic harmonic layout of the model, show a contrapuntal framework derived from a diatonic -- melodic pattern, and provide common harmonic variants of the model that occur in the repertory of standard tunes.
+ 
+FIGURE 21.8A Phrase Model 3
+ 
+FIGURE 21.8B Phrase Model 3: Contrapuntal Framework
+Phrase Model 3 accommodates different phrase identifiers, which, in turn, influence the overall content of the phrase. Despite their different surface manifestations, however, they can be derived from the fundamental IV-I motion. As you analyze the phrase structure of the following tunes, pay attention to the relationship between the melody and harmony, and how this interaction produces different harmonic outcomes.
+ 
+FIGURE 21.8C Phrase Model 3: Harmonic Variants
+STANDARD TUNES-PHRASE MODEL 3
+A Lovely Way To Spend an Evening
+A Ship Without a Sail
+After You've Gone
+Alabamy Bound
+All About Ronnie
+Almost Like Being In Love
+Blueberry Hill
+Candy
+Close To You
+Harbor Lights
+I Can't Believe That You're In Love With Me
+I Must Have That Man
+I'll See You In My Dreams
+I'm So In Love With You
+It Isn't Fair
+Jim
+Just Friends
+Little Girl
+Long Before I Knew You
+Love For Sale
+Marie
+Moonglow
+My Sweet
+Old Music Master
+Only Trust Your Heart
+Remember
+Sentimental Me
+September Song
+Slap That Bass
+When the Sun Comes Out
+Would I Love You
+You Call It Madness
+You Hit the Spot
+You're Getting To Be a Habit With Me
+Phrase Model 4
+In a certain sense, the phrase identifier of Phrase Model 4, I-VI-II-V, constitutes a basic expansion of the phrase identifier of Phrase Model 1. One cannot help but notice, however, that the number of standard tunes with a clear manifestation of the I-VI-II-V progression is quite impressive. This progression is an important harmonic statement-fully integrated with the melodic structure-and therefore deserves a separate category. Figures 21.9a-21.9c demonstrate a basic harmonic layout of Phrase Model 4, show a contrapuntal framework derived from a diatonic -- melodic pattern, and provide common harmonic variations of the model.
+ 
+FIGURE 21.9A Phrase Model 4
+ 
+FIGURE 21.9B Phrase Model 4: Contrapuntal Framework
+One of the characteristics of Phrase Model 4 is its flexible phrase identifier, which can occur in many different forms, as shown in Figure 21.9c. While some of these harmonic transformations are integrated in the context of standard tunes, such as "Love You Madly" or "Memories Of You," others can be freely applied as effective harmonic substitutions.
+ 
+FIGURE 21.9C Phrase Model 4: Harmonic Variants
+Phrase Model 5
+One of the salient features of Phrase Model 5 is a large-scale tonal motion from the submediant to the tonic. Standard tunes with this characteristic opening are often mistaken as being in the key of the opening chord. Figures 21.10a-21.10c illustrate a harmonic layout of Phrase Model 5, show a contrapuntal derivation of the model from a diatonic -- melodic pattern, and propose selected harmonic variants.
+The harmonic variety of Phrase Model 5 is truly remarkable. The submediant chord can be cadentially confirmed as in "How Deep Is the Ocean?," immediately departed from as in "I Hear a Rhapsody," reached by arrival as in "The Shadow Of Your Smile," or it can function as the initial chord of a longer sequential progression as in "Fly Me To the Moon."
+STANDARD TUNES-PHRASE MODEL 4
+A Foggy Day
+After You Get What You Want You Don't Want It
+All God's Chillun Got Rhythm
+Baby Doll
+Blue and Sentimental
+Call Me Irresponsible
+Can't We Talk It Over
+Ebb Tide
+Emily
+From Alpha To Omega
+Heart and Soul
+How Do You Speak To an Angel?
+I Got Rhythm
+I Like the Likes Of You
+I Want a Sunday Kind Of Love
+I Was Doing All Right
+I'd Be Lost Without You
+I'll Know
+I'm Old Fashioned
+I've Got the World On a String
+Jubilee
+Let's Call the Whole Thing Off
+Little Girl Blue
+Little Things Mean a Lot
+Love Is the Sweetest Thing
+Love You Madly
+Maybe You'll Be There
+Mine
+Moments Like This
+Moon River
+Mountain Greenery
+My Heart Stood Still
+My Shining Hour
+My Ship
+On the Street Where You Live
+Small Fry
+Soft Summer Breeze
+Stars Fell On Alabama
+Stiff Upper Lip
+Sugar
+Sure Thing
+That Great Come and Get It Day
+The Joint Is Jumpin'
+The Things We Did Last Summer
+The Way You Look Tonight
+They All Laughed
+This Heart Of Mine
+Too Late Now
+Too Young To Go Steadily
+What Am I To Do?
+When In Rome
+While We're Young
+You Can Have Him
+You Make Me Feel So Young
+You're Nearer
+Young and Foolish
+
+
+STANDARD TUNES-PHRASE MODEL 5
+Ace In the Hole
+Black and Blue
+Blue Skies
+Can't You Do a Friend a Favor?
+Count Your Blessing Instead Of Sheep
+Cry Me a River
+Don't Explain
+Everybody Loves My Baby
+Fly Me To the Moon
+How Deep Is the Ocean
+I Found a New Baby
+I Gotta Right To Sing the Blues
+I Hear a Rhapsody
+If I Should Lose You
+In a Sentimental Mood
+It Don't Mean a Thing
+Love Me Or Leave Me
+Lover Man
+Lullaby Of Birdland
+Summer Night
+The Shadow Of Your Smile
+
+
+ 
+FIGURE 21.10A Phrase Model 5
+ 
+FIGURE 21.10B Phrase Model 5: Contrapuntal Framework
+ 
+FIGURE 21.10C Phrase Model 5: Harmonic Variants
+CHROMATIC PHRASE MODELS
+
+One of the characteristic features of the remaining phrase models is their more intricate harmonic and contrapuntal design. Their phrase identifiers frequently employ tonicizing progressions and, as a consequence, harmonic departures are further removed from the tonic key. With more harmonic activities associated with the forthcoming phrase models, we can ask ourselves whether the different phrase identifiers are further elaborations of the fundamental diatonic frameworks or not. While this is definitely a possibility, the intention here is to show the more harmonic variety and salient characteristics of standard tunes.
+Phrase Model 6
+Phrase Model 6 has a characteristic phrase identifier that tonicizes the supertonic key area. This phrase identifier has tonicizing qualities and is frequently reinforced by the occurrence of specific notes in the melody. In the tunes "But Beautiful" or "Don't Blame Me," for example, ♭ is rendered as a ♭5th and ♭9th of the corresponding ()/ii progression. Figures 21.11a-21.11c provide a harmonic layout of Phrase Model 6, show a contrapuntal framework derived from a chromatic --♯--- melodic pattern, and propose selected harmonic variants of the model. The melodic pattern of this model features an extended double neighbor figure with a chromatic pitch, ♯, functioning as the major 3rd of V7/ii.
+ 
+FIGURE 21.11A Phrase Model 6
+ 
+FIGURE 21.11B Phrase Model 6: Contrapuntal Framework
+ 
+FIGURE 21.11C Phrase Model 6: Harmonic Variants
+Phrase Model 7
+The harmonic design of Phrase Model 7 constitutes an important jazz progression with a phrase identifier that tonicizes the submediant key area. This characteristic progression frequently implies the continuation of the sequence with subsequent tonicizations of key areas separated by thirds: I-VI-IV-II. Figures 21.12a-21.12c illustrate a harmonic layout of Phrase Model 7, show a contrapuntal framework derived from a diatonic ---- melodic pattern, and propose different harmonic realizations of the model.
+Phrase Model 7 is related to the cycle of the dominant 7ths progression: III7-VI7-II7-V7. In the context of standard tunes, the submediant chord can function as a tonicized key area as in "Come Rain Or Come Shine," or as a passing harmony as in "There Will Never Be Another You."
+STANDARD TUNES-PHRASE MODEL 6
+Am I Blue?
+Blue Velvet
+But Beautiful
+Close As Pages In a Book
+Come Fly With Me
+Do I Love You? (Porter)
+Don't Blame Me
+Dreamy
+East Of the Sun and West Of the Moon
+Got a Date With an Angel
+He Loves and She Loves
+How Are Things In Glocca Morra?
+I Cried For You
+I Had the Craziest Dream
+I Walk a Little Faster
+I'll Walk Alone
+I'm Making Believe It's You
+I'm Playing With Fire
+I've Got a Pocketful Of Dreams
+It All Depends on You
+It Could Happen To You
+It's Got To Be Love
+Last Night When We Were Young
+Let There Be Love
+Let's Make Memories Tonight
+My Blue Heaven
+My Foolish Heart
+My Ideal
+Namely You
+Nobody Else But Me
+On a Slow Boat To China
+Once You Lose Your Heart
+P.S. I Love You
+Saturday Night Is the Loneliest Night Of the Week
+Serenade In Blue
+Some Other Spring
+Someday, Sweetheart
+Sonny Boy
+Soon
+That Old Feeling
+The Charm Of You
+Thinking Of You
+This Is Always
+This Time the Dream's On Me
+Too Close For Comfort
+Walkin' My Baby Back Home
+Was That the Human Thing To Do?
+What's Good About Goodbye?
+When You're Smiling
+Where Are You?
+Who Can I Turn To?
+
+
+ 
+FIGURE 21.12A Phrase Model 7
+ 
+FIGURE 21.12B Phrase Model 7: Contrapuntal Framework
+ 
+FIGURE 21.12C Phrase Model 7: Harmonic Variants
+STANDARD TUNES-PHRASE MODEL 7
+A Weaver Of Dreams
+All Through the Night
+As Long As I Live
+At Long Last Love
+Basin Street Blues
+Be My Love
+Bluesette
+Come Rain Or Come Shine
+Ev'ry Street's a Boulevard
+Georgia On My Mind
+I Couldn't Sleep A Wink Last Night
+I Just Found Out About Love
+I'll Get By
+I'll Close My Eyes
+I'm Glad I Waited For You
+I'm Gonna Love That Guy
+I've Heard That Song Before
+Ill Wind
+It's the Same Old Dream
+Just In Time
+Kind'a Lonesome
+Lover, Come Back To Me
+Moonlight Love
+Never Will I Marry
+T'ain't Nobody's Business If I Do
+The Good Life
+The Masquerade Is Over
+There Goes That Song Again
+There Will Never Be Another You
+Twilight Time
+Walking Happy
+Who's Sorry Now?
+You're Nobody 'Til Somebody Loves You
+Phrase Model 8
+Phrase Model 8 is a prototype for the important subset of harmonic progressions frequently found in the repertory of standard tunes. The phrase identifier features a motion from I to IV. Since this fundamental harmonic motion has strong blues implications, the subdominant harmony often takes the form of a dominant 7th as in "Willow Weep For Me" or "Tenderly." Figures 21.13a-21.13c illustrate a harmonic layout of Phrase Model 8, show a contrapuntal framework derived from a diatonic -- melodic pattern, and suggest different harmonic variants of the model.
+Phrase Model 9
+Phrase Model 9 features a chromatic phrase identifier that pulls the phrase into the flat submediant key area. Figures 21.14a-21.14c illustrate a harmonic layout of Phrase Model 9, show a contrapuntal framework originating from a chromatic -♭--- melodic pattern, and recommend harmonic variants of the model. Scale degree flat two is reinterpreted as the minor 3rd and minor 7th of a (ii7-V7)/♭VI progression. The resolution to  over the ♭VI harmony fulfills the rules of counterpoint.
+The selection of songs featuring this particular phrase identifier is rather small. In the case of "What's New" and "Here's That Rainy Day," the phrase identifier and the ♭VI key area are clearly articulated. "You Stepped Out Of a Dream," however, presents a more ambiguous case because the intervening ♭IImaj7 harmony in the opening phrase expands the tonic before the (ii7-V7)/♭VI progression occurs.
+
+
+ 
+FIGURE 21.13A Phrase Model 8
+ 
+FIGURE 21.13B Phrase Model 8: Contrapuntal Framework
+ 
+FIGURE 21.13C Phrase Model 8: Harmonic Variants
+STANDARD TUNES-PHRASE MODEL 8
+A Portrait Of Jenny
+Ac-Cent-Tchu-Ate The Positive
+Aunt Hagar's Blues
+Beale Street Blues
+Bread and Gravy
+Broadway
+Dancing On a Dime
+Deep In a Dream
+Don't Go To Strangers
+Easter Parade
+Everybody Step
+Fancy Meeting You
+Farewell To Storyville
+Fine and Mellow
+Five O'Clock Drag
+God Bless the Child
+Happy With the Blues
+Harlem Nocturne
+I May Be Wrong
+I Want a Girl
+I Want a Little Girl
+I Will Wait For You
+I'll Always Be In Love With You
+I'm a Fool To Want You
+I'm Putting All My Eggs in One Basket
+I've Grown Accustomed To Her Face
+If You Could See Me Now
+In the Still Of the Night
+In the Wee Small Hours Of the Morning
+It Never Was You
+Junk Man
+Lazy Bones
+Let Me Be the First To Know
+Like a Straw In the Wind
+Looking For a Boy
+Memphis Blues
+My Fair Lady
+My Gal Sal
+My Honey's Lovin' Arms
+Nashville Nightingale
+Necessity
+Of Thee I Sing
+Oh! Look At Me Now
+Ol' Man River
+(Ol') Rockin' Chair
+On a Clear Day You Can See Forever
+Open Country
+Please Send Me Someone To Love
+Pocketful Of Miracles
+Rain On the Roof
+Red Sails In the Sunset
+Royal Garden Blues
+Runnin' Wild
+Slow Hot Wind
+So Long, Big Time
+Something To Live For
+Something Wonderful
+St. Louis Blues
+Summertime
+Sun Showers
+Supper Time
+Swanee
+Tenderly
+The Meaning Of the Blues
+The Nearness Of You
+The Song Is Ended
+The Wonder Of You
+Tin Roof Blues
+Tishomingo Blues
+Tuxedo Junction
+Undecided
+What Can I Say After I Say I'm Sorry
+What'll I Do?
+When the Wind Blows South
+When You Lover Has Gone
+(Where You Are) Now That I Need You
+Wild Is the Wind
+Willow Weep For Me
+Without a Song
+You've Come Home
+ 
+FIGURE 21.14A Phrase Model 9
+ 
+FIGURE 21.14B Phrase Model 9: Contrapuntal Framework
+ 
+FIGURE 21.14C Phrase Model 9: Harmonic Variants
+STANDARD TUNES-PHRASE MODEL 9
+Here's That Rainy Day
+What's New
+You Stepped Out Of a Dream
+Phrase Model 10
+Phrase Model 10 features a chromatic phrase identifier tonicizing the flat supertonic key area. More often than not, however, a [ii7-V7]/♭II progression occurs in an incomplete form without resolving to ♭II. Figures 21.15a-21.15c illustrate a harmonic layout of Phrase Model 10, show a contrapuntal framework derived from a chromatic -♭--- melodic pattern, and propose harmonic variants of the model. In Phrase Model 10, ♭ functions as a minor 7th of the underlying ii7/♭II harmony. The resolution to  over V7/♭II satisfies the rules of voice leading.
+What is interesting about the [ii7-V7]/♭II progression is that it frequently functions as an effective harmonic substitution provided that the melody note establishes a convincing chord-scale relationship with the underlying harmony. After all, it is situated a minor 2nd away from the structural ii7-V7 progression and, as discussed in Chapter 6, the [ii7-V7]/♭II often functions as a chromatic sidestepping progression. In the context of "Darn That Dream" or "Out Of Nowhere," however, the [ii7-V7]/♭II is fully integrated within the harmonic structure of these tunes. In "The Lady Is a Tramp" and "I Guess I'll Hang My Tears Out To Dry" only the [ii7]/♭II is employed as a chromatic elaboration of the otherwise diatonic opening.
+STANDARD TUNES-PHRASE MODEL 10
+Bye Bye Blues
+Can't Get Out Of This Mood
+Darn That Dream
+Everything I Have Is Yours
+I Guess I'll Hang My Tears Out To Dry
+Lost In Meditation
+San
+The Lady Is a Tramp
+Three Little Words
+We'll Be Together Again
+(You Came Along From) Out Of Nowhere 
+ 
+FIGURE 21.15A Phrase Model 10
+ 
+FIGURE 21.15B Phrase Model 10: Contrapuntal Framework
+ 
+FIGURE 21.15C Phrase Model 10: Harmonic Variants
+Phrase Model 11
+Phrase Model 11 features a descending major 2nd cycle beginning on the tonic and-following the subsequent tonicizations of ♭VII and ♭VI-ending on ♭VI. Even though there is only a handful of tunes that use this progression in its entirety, an incomplete Phrase Model 11 (with a partial descending major 2nd cycle) can occur in the context of different harmonic progressions. Figures 21.16a-21.16c show a chord structure of Phrase Model 11, illustrate a contrapuntal derivation from a -- melodic pattern, and offer possible harmonic variations.
+The most famous occurrence of Phrase Model 11 is found in "How High the Moon." Apparently, this harmonic sequence was very appealing to a host of musicians from the 1940s and beyond, as they often used this challenging chord progression to test their improvisational prowess. Other tunes from the list, such as "Star Eyes" or "Twilight World," cleverly manipulate the model. "Midnight Sun," meanwhile, features a highly chromatic melody to reinforce the sequential nature of the chord progression.
+ 
+FIGURE 21.16A Phrase Model 11
+ 
+FIGURE 21.16B Phrase Model 11: Contrapuntal Framework
+ 
+FIGURE 21.16C Phrase Model 11: Harmonic Variants
+STANDARD TUNES-PHRASE MODEL 11
+How High the Moon
+Midnight Sun
+Star Eyes
+The End Of a Love Affair
+Twilight World
+Phrase Model 12
+Phrase Model 12 has a characteristic phrase identifier that features a ♯IV harmony. As explained in Chapter 4, this particular harmony supports  and can participate in two common harmonic scenarios: as a half-diminished chord or as a min7(♭5). The former often initiates a descending chord progression, ♯ivø7-iv7-iii7-♭iiio7-ii7-V7-Imaj7, which is typically associated with the tag-ending progression. The latter functions in the context of a ()/iii progression tonicizing the mediant key area. Figures 21.17a-21.17c show a basic harmonic structure of Phrase Model 12, illustrate a contrapuntal derivation from a -- melodic pattern, and demonstrate harmonic variants of the model.
+ 
+FIGURE 21.17A Phrase Model 12
+ 
+FIGURE 21.17B Phrase Model 12: Contrapuntal Framework
+ 
+FIGURE 21.17C Phrase Model 12: Harmonic Variants
+When you examine the list of tunes that share Phrase Model 12, you can see how crucial the chord-scale relationships are between the melody and the phrase identifier. In "I Remember You" or "Whispering," the /iii harmony supports , which locally functions as an 11th of the underlying chord. "Stella By Starlight" or Miles Davis's version of "I Thought About You" do not begin with the opening tonic; this suggests the possibility of an off-tonic version of the model as well.9 One interesting aspect of the progression is its potential for reharmonization. The phrase identifier of this model (either with or without the opening tonic) can be employed as a substitute progression for Phrase Model 2, provided that the structure of the melody permits for such a substitution. The design of the melody, then, is the ultimate factor allowing the implementation of this substitution. For instance, the A section of "Over the Rainbow" can be reharmonized with the phrase identifier of Phrase Model 12. Also, the A sections of "I Should Care" or "Our Love Is Here To Stay," which share Phrase Model 2, can also be realized with Phrase Model 12.
+STANDARD TUNES-PHRASE MODEL 12
+Dedicated To You
+Detour Ahead
+Did I Remember?
+Early Autumn
+Home
+I Remember You
+I Thought About You
+I'm Getting Sentimental Over You
+I'm In Love Again
+I've Got a Feeling I'm Falling
+Love Is a Many Splendored Thing
+Lover
+More Than I Should
+No Other Love
+Over the Rainbow
+Shall We Dance
+Somebody, Somewhere
+Someday, You'll Be Sorry
+Someone To Watch Over Me
+Stella By Starlight
+The Mood That I'm In
+Time On My Hands
+Unforgettable
+When Somebody Thinks You're Wonderful
+Whispering
+Why Was I Born?
+You Do Something To Me
+You Should Have Told Me
+You Were Never Lovelier
+You're All the World To Me
+You're My Everything
+Phrase Model 13
+Phrase Model 13 concludes the inventory of phrase models in standard tunes. In contrast to other phrase models, this model constitutes a harmonic sequence of dominant 7th chords and is largely associated with the harmonic structure of the bridge in "I Got Rhythm" and its countless contrafacts. Figures 21.18a-21.18c illustrate a basic harmonic framework of Phrase Model 13, show a contrapuntal derivation from a - melodic pattern, and offer harmonic variants of the model.
+In its incomplete form (i.e. without the opening III7), Phrase Model 13 occurs in a number of tunes, such as "A Good Man is Hard To Find," "Lazy River," "Alabama Jubilee," "Miss Brown To You," "Old Man Moon," or "Sweet Georgia Brown."
+ 
+FIGURE 21.18A Phrase Model 13
+ 
+FIGURE 21.18B Phrase Model 13: Contrapuntal Framework
+ 
+FIGURE 21.18C Phrase Model 13: Harmonic Variants
+STANDARD TUNES-PHRASE MODEL 13
+A Good Man Is Hard To Find
+A Sleepin' Bee (B section)
+Alabama Jubilee
+Doin' the Crazy Walk (bridge)
+Don't Be That Way (bridge)
+Firefly (bridge)
+Five Foot Two, Eyes Of Blue (bridge)
+I Hear Music
+I'm Beginning To See the Light (bridge)
+Me, Myself and I (bridge)
+Miss Brown To You
+Moonlight Cocktail (bridge)
+Nice Work If You Can Get It
+No Moon At All (bridge)
+Old Man Moon
+Perdido (bridge)
+Please Don't Talk About Me When I'm Gone
+Rhythm Changes (bridge)
+Singin' the Blues Till My Daddy Comes Home (B section)
+Sunday (bridge)
+Sweet and Low-Down (bridge)
+Sweet Georgla Brown
+The Birth Of the Blues (bridge)
+There I Go Dreaming Again (bridge)
+There Will Be Some Changes Made
+(Up a) Lazy River
+NOTES
+
+1. The term "standard" refers primarily to American popular tunes performed frequently by countless musicians working from ca. 1920-1960.
+2. Even though this discussion is focused on eight-bar phrase models, the same properties can be used to explain the structure of 16-bar phrases that occur in extended forms and/or more complicated tunes.
+3. Melodic patterns are reductions of actual melodies to their structural pitch content.
+4. One of the explanations for the primacy of fifth-root movement is related to the occurrence of the perfect 5th in the overtone series between the low-integer ratios 2:3.
+5. François Campion in Traité d'accompagnement et de composition, selon la règle des octaves, translated by L. Dragnone as "François Campion's Treatise on Accompaniment: A Translation and Commentary," offers harmonization of both major and minor scales.
+6. In his description of prolongation, Henry Martin in "Jazz Harmony: A Syntactic Background" claims that "many popular jazz songs project a key by arrival rather than by simple prolongation of a single tonality designated early on." The terms "on-tonic" and "off-tonic" employed in this book are modeled on Martin's pioneering explanation of the tonality of popular tunes.
+7. The songs written in bold indicate standard tunes that constitute the core of jazz repertory.
+8. For the composers and the lyricists of all the songs, consult Appendix G on the companion website.
+9. Miles Davis, Someday My Prince Will Come.
+
+CHAPTER TWENTY-TWO
+The AABA Song Form
+
+
+
+CHAPTER SUMMARY
+
+Chapter 22 undertakes a study of song forms and its most common type: the 32-bar AABA. Two tonal variants, on-tonic and off-tonic, are examined and, as an example of the on-tonic AABA formal design, "Have You Met Miss Jones?" is analyzed.
+CONCEPTS AND TERMS
+
+• Analysis:
+Formal
+Melodic
+Tonal
+Harmonic
+• Original sheet music
+• Reaching by arrival
+• Sentence structure
+• Standard tunes
+• Bridge (Release)
+• 32-bar AABA form:
+Off-tonic
+On-tonic
+• Formal prototypes
+• Verse
+• Interruption
+FORMAL PROTOTYPES
+
+The term "standard" is often used to denote tunes that comprise the core repertory of jazz. The term is an interesting one because it implies that a particular object satisfies certain accepted constraints or that its representation has become, to a certain degree, institutionalized. Tunes that jazz musicians consider standards were largely composed by American songwriters active in the first half of the twentieth century, many of whom have become household names in jazz history: Irving Berlin, George Gershwin, Cole Porter, Victor Young, Richard Rodgers, Jerome Kern, Harold Arlen, Jimmy Van Heusen, Frank Loesser, Howard Dietz, Jule Styne, Hoagy Carmichael, and many others. These prolific composers often collaborated with equally remarkable lyricists (Ira Gershwin, Lorenz Hart, Oscar Hammerstein, E.Y. "Yip" Harburg, Dorothy Fields, Johnny Mercer, Sammy Cahn, Ted Koehler) and together they produced hundreds of excellent songs that eventually made their way into the jazz repertory.
+The 32-bar AABA form is the most common formal prototype underlying the repertory of standard tunes. In the overview of this formal model, we will distinguish between two distinct tonal variants: on-tonic and off-tonic. These variants are ultimately related to the type of phrase models that occur at the beginning of a tune. In Chapter 21, Phrase Models 2, 3, 5, and 13 featured an off-tonic phrase identifier, while the remaining models began on the tonic chord. Whereas phrase models capture the harmonic characteristics of common eight-bar phrases that occur in the A, B, and C sections of the tune, the formal prototypes combine phrase models in their most basic harmonic setting and illustrate possible tonal departures in the bridge (or other sections). Depending on the complexity of the tune, the prototype may include anywhere from one to four phrase models. "Can't We Talk It Over," for instance, features only one phrase model; whereas "Stella By Starlight" combines four distinct phrase models, one for each eight-bar phrase in the song. By and large, the formal prototype with two unique phrase models (albeit with some melodic and harmonic variations) is by far the most common.
+Broadly speaking, the phrase structure of the tunes in AABA consists of four eight-bar sections and uses a single phrase model for the A sections and a different phrase model for the B section. The phrase model for the B section is usually accompanied by the harmonic motion to a new key area. Each of the eight-bar sections is typically divided into two four-bar phrases. This regular phrase subdivision is emphasized by the fairly regular distribution of chords and harmonic progressions. In certain tunes, such as "I'm Getting Sentimental Over You" or "The Nearness Of You," a four-bar phrase extension expands the final A section. The melody of standard tunes is always accompanied by the lyrics. The lyrics frequently reinforce salient features of the melody and highlight important harmonic events. They can even disguise the symmetry of eight-bar phrases by placing textual cadences at locations different from those supplied by the musical meter.
+In the process of learning new tunes, it is useful to find the earliest vocal version of the tune that you intend to learn. Even though early vocal performances might not be in keeping with jazz performance practice, they are helpful in authenticating the song's mood, tempo, phrasing, and even some of its harmonic intricacies. It is more valuable to learn a tune from the original recording since later recorded versions might represent transformed versions of the song's harmony, melody or rhythm. Listen to the words and how the singer phrases the words. Learn the lyrics. Keep them in mind when you decide how you want to phrase the song. Finding the original sheet music of the tune that you want to learn may also be beneficial. The harmonic and melodic information included in the original sheet music is often different from fake-book lead sheets. Not only does the original contain the correct melody, harmony (realized as the piano accompaniment), and lyrics as intended by the composer, but it also includes the verse that is often omitted from the fake-book version. You may be surprised to discover how different composers use the verse to foreshadow the overall mood of the song or highlight some salient features that later resurface in the chorus. This information can in turn influence your rendition of the song.
+THE AABA ON-TONIC DESIGN
+
+The AABA on-tonic design usually features two phrase models: one for the A sections; the other for the B section, also known as the bridge or release. The tonic chord is clearly announced at the outset of a tune. The first A section is harmonically open and typically ends with a ii7-V7 progression in m. 8. The second A section is tonally closed and, following the cadential confirmation of the main key, ushers in a new phrase model. The bridge introduces contrasting melodic and harmonic material that balances the overall distribution of phrase models. The end of the bridge includes an important formal event, an interruption: this event signals the conclusion of the first part of the tune and marks the return of the main key.1 The harmonic interruption might also overlap with a more substantial harmonic departure occurring in the bridge. For instance, the B section of "I've Never Been In Love Before" begins on IV and features a harmonic departure on III, before the reinstatement of the tonic with a ii7-V7 progression in m. 24.
+Figure 22.1 illustrates a generic distribution of phrase models in the AABA on-tonic formal prototype.
+The harmonic design of the B section is a defining feature of the song and enables the classification of standard tunes according to their shared tonal and harmonic characteristics. There are a few different scenarios that may happen at the beginning of the bridge. In the most basic scenario, a new chord-still within the orbit of the main tonality-initiates a different (from the A section) chord progression. This new chord can be further reinforced with a local ii7-V7 progression occurring at the end of the second A section. For instance, the bridge sections of "There's a Small Hotel" or "Imagination" begin on IV. However, these subdominant chords do not function as new key areas; in neither case are they confirmed by a cadence or reinforced as a local tonic. In the second, more intricate scenario, the new key area of the bridge is tonicized at the end of the second A or reached by arrival at some point during the bridge. For instance, in "Mean To Me" the subdominant key area is clearly tonicized in m. 16 and subsequently prolonged during the first part of the bridge. In "I Can't Get Started" the arrival on to the supertonic key area is reached by arrival in m. 19 following a tonicized ii7-V7 progression in mm. 17-18. In addition, there are also tunes with tonally ambiguous bridges that cannot be easily classified. Even though the bridge of "Don't Blame Me," for instance, starts on the subdominant, this chord inevitably leads to the hierarchically more important submediant harmony two measures later.
+ 
+FIGURE 22.1 The AABA On-Tonic Formal Prototype
+Classification of Standard Tunes2
+Below is a list of standard tunes cast in the AABA on-tonic form that share similar harmonic traits at the outset of the bridge. Unlike Chapter 21, however, where standard tunes were classified according to the harmonic similarities occurring at the phrase level, this list is organized according to the tonal characteristics at the formal level. Standard tunes with direct or indirect harmonic motion to the subdominant are by far the most common. An "*" indicates tunes where the key area (or hierarchically more important chord) at the beginning of the bridge is reached by arrival.
+KEY OF THE BRIDGE-IV
+A Beautiful Friendship*
+A Lovely Night
+A Sunday Kind Of Love*
+Again
+Ain't She Sweet?
+Blackberry Winter*
+Can't Help Lovin' Dat Man
+Climb Ev'ry Mountain
+Cocktails For Two
+Come Dance With Me*
+Come Easy, Go Easy Love*
+Crazy Rhythm*
+Day Dream
+'Deed I Do
+Don't Fence Me In
+Don't Get Around Much Anymore
+Down By the Riverside
+Drop Me Off In Harlem*
+Easy Street
+Ev'rybody Loves You*
+Exactly Like You
+Face To Face
+Foolin' Myself*
+Frim Fram Sauce*
+Getting Some Fun Out Of Life
+Happy As the Day Is Long
+Have You Met Miss Jones?
+Here In My Arms
+Hold Me, Thrill Me, Kiss Me
+How About Me?
+How'dja Like To Love Me
+I Couldn't Stay Away From You*
+I Got It Bad
+I Want To Be Happy*
+I Wish I Were In Love Again
+I'll Be Around*
+I'm Confessin'*
+I'm Glad There Is You
+I'm Just a Lucky So-And-So
+I'm Sitting On Top Of the World
+I've Got My Fingers Crossed*
+I've Never Been In Love Before
+Imagination
+It Might As Well Be Spring
+It's Only a Paper Moon
+It's the Talk Of the Town
+Just One More Chance*
+Just Squeeze Me*
+Just You, Just Me*
+Lady Be Good
+Let There Be You
+Let's Get Away From It All
+Let's Take a Walk Around the Block
+Little Man You've Had a Busy Day
+Mean To Me
+Misty*
+Moonlight Becomes You
+My Last Affair
+My Monday Date
+My Silent Love
+Nevertheless*
+On the Sunny Side Of the Street*
+Please Forgive Me
+Puttin' On the Ritz
+Rhythm In My Nursery Rhymes*
+Romance In the Dark
+Ruby
+Sentimental Journey
+September In the Rain*
+Since I Feel For You
+Sing For Your Supper
+Skylark
+Solitude
+Someone To Watch Over Me
+Stormy Weather
+Sweet Loraine
+T'ain't What You Do
+Taking a Chance On Love*
+That's All*
+The Brown-Skin Gal In the Calico Gown
+The Glory Of Love
+The Surrey With the Fringe On Top*
+There, I've Said It Again*
+There's a Small Hotel
+There's No You*
+This Year's Kisses
+Till There Was You
+To Each His Own
+We Mustn't Say Goodbye
+What Did I Have That I Don't Have?
+What Is There To Say
+Where's That Rainbow?
+You Are Beautiful
+You Go To My Head
+You've Changed
+KEY OF THE BRIDGE-III
+A Cock-Eyed Optimist
+A Handful Of Stars
+A Nightingale Sang In Berkeley Square
+Am I Blue?
+Anything Goes
+Autumn Nocturne
+Back in Your Own Backyard
+Between the Devil and the Deep Blue Sea
+Black Moonlight*
+Blue Rain
+Don't You Know I Care
+Dreamsville*
+Guilty
+I Got Plenty O' Nuttin'
+I Loves You Porgy
+I Miss You So
+I Never Knew
+I'm Beginning To Miss You
+I'm Getting Sentimental Over You
+I'm Through With Love
+If I Had You
+If You Could See Me Now*
+Isn't It a Pity?
+Ivy
+Let Me Sing and I'm Happy
+Let's Have Another Cup O' Coffee
+Little White Lies
+Lorelei
+Memphis In June
+Moonlight In Vermont*
+More Than You Know
+My One and Only Love
+Once In a While
+Polka Dots and Moonbeams
+Rosetta
+'S Wonderful
+Somewhere Along the Way
+Stairway To the Stars
+That's Life I Guess
+The Folks Who Live On the Hill
+The Girl Friend
+The Song Is You
+These Foolish Things
+They Can't Take That Away From Me
+Top Hat, White Tie and Tails
+Until the Real Thing Comes Along
+Watch What Happens
+You're Driving Me Crazy!
+KEY OF THE BRIDGE-I
+At Last
+Blue Moon*
+Blue Room*
+Dancing On the Ceiling*
+Early Autumn*
+For Sentimental Reason*
+I Don't Stand a Ghost Of A Chance*
+I Let a Song Go Out Of My Heart*
+I'm In the Mood For Love*
+I'm Yours*
+It Never Entered My Mind
+Lullaby Of the Leaves*
+Once In Love With Amy*
+Over the Rainbow
+Small World*
+Stars Fell On Alabama*
+Teach Me Tonight*
+The Masquerade Is Over
+We'll Be Together Again*
+KEY OF THE BRIDGE-♭VI
+About Quarter To Nine
+Angel Eyes*
+Darn That Dream
+Do Nothin' Till You Hear From Me
+Do You Know What It Means To Miss New Orleans*
+Dream a Little Dream Of Me
+Easy Living
+Fella With an Umbrella
+I Loved You Once In Silence
+I Won't Dance
+I'll Take Romance*
+In the Blue Of Evening
+On the Sentimental Side
+Smoke Gets In Your Eyes
+Some Other Time
+Then I'll Be Tired Of You
+When the Lights Are Low
+Where Do I Go From Here?
+KEY OF THE BRIDGE-VI
+Ain't Misbehavin'
+Dinah
+I Was Doing All Right
+If I Loved You
+If I Ruled the World
+Just For You
+Let's Do It, Let's Fall In Love
+Let's Fall In Love
+Liza
+Memories Of You
+Most Gentlemen Don't Like Love
+Nice 'n Easy
+Thanks*
+The Man I Love
+The Tender Trap*
+There Is No Greater Love*
+This Can't Be Love*
+Where Or When
+Wonder Why
+Wrap Your Troubles In Dreams
+You Took Advantage Of Me
+KEY OF THE BRIDGE-II
+Bewitched, Bothered and Bewildered
+I Can't Get Started With You*
+I Wish I Didn't Love You So*
+It's the Talk Of the Town
+Love Me Tonight*
+Makin' Whoopee!*
+Penthouse Serenade
+Somebody Loves Me
+KEY OF THE BRIDGE-♭III
+A Kiss To Build a Dream On*
+Crazy He Calls Me*
+Flamingo*
+Golden Earrings*
+Lost In the Stars*
+My Old Flame
+You Don't Know What Love Is*
+Young Love*
+KEY OF THE BRIDGE-V
+Clap Yo' Hands
+I Married an Angel*
+I'm Gonna Laugh You Right Out Of My Life*
+I've Told Ev'ry Little Star
+Lucky To Be Me
+Wouldn't It Be Loverly?
+Younger Than Springtime*
+KEY OF THE BRIDGE-♯IV
+Born To Be Blue*
+Warm Valley
+KEY OF THE BRIDGE-♭II
+Do I Love You?
+KEY OF THE BRIDGE-VII/♭VII
+Alfie
+People Will Say We're In Love*
+We Kiss In a Shadow*
+THE AABA OFF-TONIC DESIGN
+
+In addition to the on-tonic model, the AABA off-tonic design is an important formal prototype in standard tunes. The main characteristic of the off-tonic design is the absence of the tonic at the beginning of the tune. Since Phrase Models 2, 3, 5, (12), or 13 have phrase identifiers that do not start on the tonic chord, tunes sharing this type of design are likely to employ these phrase models for the A sections. Figure 22.2 demonstrates a generic distribution of phrase models in the AABA formal prototype.
+Classification of Standard Tunes3
+The list of standard tunes below is organized according to the type of harmonic motion that occurs at the outset of the bridge. An "*" indicates tunes where the key (or hierarchically more important chord) at the beginning of the bridge is reached by arrival.
+ 
+FIGURE 22.2 The AABA Off-Tonic Formal Prototype
+KEY OF THE BRIDGE-IV
+All My Tomorrows
+As Time Goes By
+Because I Love You
+Can't We Be Friends
+Dinner For One Please, James*
+Do I Love You Because You're Beautiful?
+Everything But You
+Everything Happens To Me*
+Gee Baby, Ain't I Good To You
+Honeysuckle Rose*
+How Long Has This Been Going On?
+I Didn't Know About You*
+It's Always You*
+It's Easy To Remember*
+Lulu's Back In Town
+Satin Doll*
+September Song
+Social Call*
+Suddenly It's Spring*
+The Lamp Is Low*
+They Say It's Wonderful
+'Tis Autumn*
+To Love and Be Loved
+Too Marvelous For Words*
+Why Try To Change Me Now?*
+You Are Too Beautiful
+You're My Thrill*
+KEY OF THE BRIDGE-I
+Blue Gardenia
+I Can't Remember*
+I Cover the Waterfront*
+I Didn't Know What Time It Was
+I Love You*
+My Funny Valentine
+Old Folks
+Sweet and Lovely*
+Sweet Sue, Just You
+KEY OF THE BRIDGE-III/♭III
+Cry Me a River
+I Hear a Rhapsody
+Lover Man
+Moon Song
+Oh! You Crazy Moon
+Prelude To a Kiss
+Prisoner Of Love
+Roses Of Yesterday
+Thanks For the Memory
+The Love I Long For
+Wait Till You See Her*
+KEY OF THE BRIDGE-VI
+Almost Like Being In Love*
+Good Morning Heartache*
+I Surrender Dear*
+Nancy (With the Laughing Face)
+Nice Work If You Can Get It
+Now That You're Gone
+When Sunny Gets Blue
+You Brought a New Kind Of Love To Me
+KEY OF THE BRIDGE-II
+My Kinda Love*
+KEY OF THE BRIDGE-VII/♭VII
+All the Things You Are*
+Sophisticated Lady
+What Is This Thing Called Love?*
+Why Can't I?
+KEY OF THE BRIDGE-♭VI
+I Dream Of You
+In a Sentimental Mood
+Something I Dreamed Last Night
+The Best Thing For You
+KEY OF THE BRIDGE-♭II
+Body and Soul
+"HAVE YOU MET MISS JONES?"-AN ANALYSIS
+
+Figure 22.3 gives the original sheet music for the tune "Have You Met Miss Jones?" by Richard Rodgers and Lorenz Hart.4 This song is an example of the 32-bar AABA on-tonic form. The top stave includes the chord changes from a published lead-sheet version. Since the chord changes differ from the piano accompaniment, both will be used in the following analysis. Figure 22.3 also includes the verse, which in the hands of great songwriters has interesting features that later resurface in the chorus.
+The Verse
+After a four-measure introduction, the verse of "Have You Met Miss Jones?" is 12 bars long and, like a typical blues, contains three symmetrical four-bar phrases. The first two phrases (mm. 1-8) are variants of one another. The third phrase (mm. 9-12) features a descending octave (overshot by an upper chromatic neighbor, D♭5) from C5 to C4, and uses the basic melodic gestures from the opening phrase. The first phrase is harmonically open and ends with a ii7-V7 progression in the tonic key. The second phrase (mm. 5-8) is tonally closed, but a tonicization of the subdominant in m. 8 with the resolution in m. 9, creates a sense of harmonic momentum. After the subdominant departure, the phrase proceeds to a half cadence in m. 12 using a modified cycle of fifth progression.
+The melody of the verse establishes an interesting chord-scale relationship. The sense of eagerness that emanates from the narrator's murky recollections is captured melodically by the blues inflection of 3̂ and the occurrence of an unprepared major 9th in mm. 1, 5, and 9. The harmonic support for these two pitches is quite adventurous when consulting the piano accompaniment. The A♭4 in m. 1 in the lead-sheet version receives a harmonic support from the A♭°7 chord. The piano accompaniment uses the same chord but over the C pedal, which offers a much more interesting harmonic realization. In m. 2, the G4 on beat 4 receives the same pedal point support and the underlying A♭° renders the melodic pitch as the major 7th. With the lyrics: "And now, you see, we mustn't wait" in m. 8, the melody frees itself from a downward slump and ascends to 5̂, which is harmonically reinforced with a tonicization of the subdominant. A motivic descent to 5̂ in m. 12 effectively summarizes the overall arch-like architecture unfolding in the verse.
+The Chorus
+In order to make our musical analysis pertinent to improvisation, it is necessary to know what attributes make "Have You Met Miss Jones?" stand out from other standards built from similar chord progressions. In other words, the analysis should gather the most relevant information about the tune's properties that can later be explored in improvisation. Four broad characteristics-formal, tonal, melodic, and harmonic-can be used to describe salient characteristics of the tune. It is not sufficient, however, to consider these categories as separate entities, but to examine them in relation to one another. The analytical method advocated here asks the following question: What is it that makes "Have You Met Miss Jones?" (or any other tune) unique and distinguishes it from other tunes with similar tonal and formal properties? Finding an answer will lead to a more successful improvisation and better understanding of the tune's properties.
+ 
+ 
+ 
+FIGURE 22.3 Original Sheet Music-"Have You Met Miss Jones?"
+Formal Characteristics
+The form of "Have You Met Miss Jones?" uses a 32-bar AABA on-tonic design with harmonic motion to the subdominant at the outset of the B section. As is the case with most standard tunes, the A sections are symmetrical with clear four-bar phrase subdivisions. The B section is more sophisticated and features a 2+2+4 phrase division similar to so-called sentence structure.5
+Tonal Characteristics
+The phrase structure of the tune uses Phrase Model 4 for the A section and Phrase Model 3 for the B Section. The harmonic rhythm in the A section is relatively slow with one chord per measure. Phrase Model 4 occurs in the most basic form without any unusual harmonic activities in the midst of the phrase. The first A section is tonally open and ends with a structural ii7-V7 supporting 4̂. The second A section confirms the tonic and subsequently tonicizes the subdominant emerging at the beginning of the bridge. The chord structure of the bridge is classified as Phrase Model 3 because of its relationship to the main key and large-scale tonal organization of the song as a whole. The bridge begins on IV, which is tonicized in mm. 15-16, but neither cadentially confirmed nor harmonically prolonged. Even though a chromatic sequence in mm. 18-23 touches on distant key areas and ultimately ends on HI in m. 23, a ii7-V7 in m. 24 prepares the reinstatement of the tonic key. Thus the chord structure of the bridge begins on IV-which is then followed by a complex harmonic departure-and ends with an incomplete cadential confirmation of I, just as in Phrase Model 3. The final A section includes a stepwise ascent to the climactic E5, which gives the word "die" a new meaning and closes with a complete cadential confirmation of the tonic. The intricate harmonic sequence that occurs in the bridge is the most important tonal event of the song. The subdominant in m. 17 initiates a sequential progression that combines two intervallic cycles: major 2nd and major 3rd. At a macro level, each tonicized key area-IV, ♭II, and VI-creates a major 3rd cycle that projects the roots of a B♭ augmented triad. At a micro level, the progression descends by major 2nds and intersects with the major 3rd cycle.
+Melodic Characteristics
+The melodic structure of the tune uses the composer's signature trademarks: stepwise melodic motion, motivic parallelism, measured use of skips, melodic rests on harmonically active pitches, and a compound melody. In comparison to the verse, the relationship between the melody and harmony in the A sections is not as daring, and largely depends on the use of chord tones on strong beats and passing/neighbor notes on weak beats. The bridge, on the contrary, creates more melodic tension by highlighting accented 9ths in mm. 17, 19, and 21 (in relation to the corresponding local major chords), which initiate sequential melodic repetitions.
+Harmonic Characteristics
+The longest note of the tune (B♭4 in mm. 7-8) has interesting harmonic implications. Because of the harmonic support it receives from a diatonic ii7-V7 progression and (potentially) from a chromatic [ii7-V7]/♭II, 4̂ can participate in both environments. In improvisation, we can effectively capitalize on the note's dual harmonic membership. The projection of the augmented triad in the bridge suggests the use of more adventurous melodic and harmonic vocabulary that could infiltrate our improvisation.
+Summary of Features
+What is it that makes "Have You Met Miss Jones?" unique? We can answer this question as follows:
+1. Formal considerations-the symmetrical phrase structure of the chorus parallels the symmetrical structure of melodic lines.
+2.Tonal considerations-since the B section is more adventurous and provides harmonic relief from the diatonic A section, the solo can explore the contrast between diatonic and chromatic elements.
+3.Melodic considerations-the blues inflections of the verse and the stepwise melodic design of the chorus imply that melodic lines can have similar characteristics.
+4.Harmonic considerations-since the phrase identifier of Phrase Model 4 can be transformed harmonically and the longest note of the tune (B♭4 in mm. 7-8) can be harmonized using ii7-V7 or [ii7-V7]/♭II progressions, the solo can capitalize on these harmonic devices.
+NOTES
+
+1. The concept of interruption is fundamental to Schenker's theory; it is defined as the arresting of the melodic and harmonic motion before the return of the opening material.
+2. For the composers and the lyricists, consult Appendix G on the companion website.
+3. For the composers and the lyricists, consult Appendix G on the companion website.
+4. For representative recordings, consult Appendix F on the companion website.
+5. A musical sentence consists of two main components: a basic idea and its repetition organized in a 2+2+4 proportion.
+
+CHAPTER TWENTY-THREE
+The ABAC Song Form
+
+
+
+CHAPTER SUMMARY
+
+Chapter 23 examines the 32-bar ABAC form and its two tonal variants: on-tonic and off-tonic. As an example of this formal design, "All Of You" is analyzed.
+CONCEPTS AND TERMS
+
+•Binary interrupted forms
+•Mixture chords
+•Modal mixture
+•32-bar ABAC form:
+On-tonic
+Off-tonic
+THE ABAC ON-TONIC DESIGN
+
+The 32-bar ABAC on-tonic design (similar to the AABA) is an example of the binary interrupted form. The harmonic interruption occurs in m. 16 and divides the form into two large tonal motions: I-V in mm. 1-16 and I-I in mm. 17-32. Because of the absence of a clearly articulated bridge, which is the defining feature of the AABA tunes, the ABAC form is more ambiguous and thus less codifiable. Tunes in the ABAC form have a different phrase distribution and are usually characterized by more complicated melodic, harmonic, and rhythmic designs. Even though the designations "B" and "C" imply the use of different phrase models, in practice these sections are frequently related to one another. Figure 23.1 illustrates a generic distribution of phrase models for the ABAC on-tonic design.
+This formal structure suggests two different distributions of phrase models. In the first one, each eight-bar section is analyzed with a unique phrase model just as in "Blame It On My Youth" or "The Touch Of Your Lips," which feature a faster harmonic rhythm and more intricate melodic design. In tunes such as "Get Out Of Town" or "I Could Write a Book," however, with a slower harmonic rhythm and uninterrupted melodic flow spanning mm. 1-16 and mm. 17-32, only a single phrase model suffices to explain the harmonic properties of both sections.1
+ 
+FIGURE 23.1 The ABAC On-Tonic Formal Prototype
+Classification of Standard Tunes2
+KEY OF THE B AND/OR C SECTIONS-IV
+All the Way
+Blame It On My Youth
+But Not For Me
+Dardanella
+Fine and Dandy*
+I Can't Give You Anything But Love*
+I Got Lost In His Arms*
+I Still Look At You That Way
+Indiana
+Isn't It Romantic?
+Like Someone In Love
+Love Walked In*
+Make Someone Happy
+Manhattan Serenade*
+Pennies From Heaven*
+Please Be Kind*
+Put On a Happy Face
+Sometimes I'm Happy*
+Soon*
+Spring Will Be a Little Late This Year
+Strike Up the Band
+Summer Wind*
+The Best Of Everything*
+The Brooklyn Bridge
+The Lady Is a Tramp*
+The Party's Over
+Thoroughly Modern Millie
+Who Can I Turn To?
+KEY OF THE B AND/OR C SECTIONS-I
+A Fine Romance
+But Beautiful*
+Bye Bye Baby
+Dancing In the Dark
+Days Of Wine and Roses
+Ev'ry Time We Say Goodbye
+Everything I Love
+For All We Know
+How Little We Know
+I Left My Heart In San Francisco
+I'm Gonna Lock My Heart*
+I'm Gonna Sit Right Down and Write Myself a Letter*
+Let's Get Lost*
+Let's Take the Long Way Home
+Look For the Silver Lining*
+On Green Dolphin Street*
+Say It Isn't So*
+Slumming On Park Avenue
+Someday (You'll Want Me To Want You)*
+Someday My Prince Will Come
+Spring Is Here
+The Sheik Of Araby
+The Touch Of Your Lips*
+Them There Eyes*
+There Are Such Things*
+This Funny World
+What Kind Of Fool Am I?
+When I Fall In Love
+Who Cares?
+You'll Never Know
+KEY OF THE B AND/OR C SECTIONS-VI
+All Of My Life
+Bidin' My Time*
+Embraceable You
+I Can Dream, Can't I?*
+I Could Write a Book
+I Never Felt This Way Before*
+I'll Be Seeing You
+Indian Summer*
+It Had To Be You*
+My Baby Just Cares For Me*
+People
+Shine*
+The Second Time Around
+Time After Time
+When Did I Fall In Love
+When I Lost You
+With a Song In My Heart
+You're My Girl
+KEY OF THE B AND/OR C SECTIONS-II
+A Woman In Love*
+At Long Last Love
+Between You and Me*
+Bye and Bye
+Deep Purple
+I Had the Craziest Dream*
+I Wanna Be Around*
+I'm Dreamer, Aren't We All
+I've Got My Eyes On You
+If It's the Last Thing I Do
+In Love In Vain
+It Amazes Me*
+Smile
+Someone Nice Like You
+Thanks For the Memory
+There Goes My Heart*
+KEY OF THE B AND/OR C SECTIONS-III/♭III
+Here's That Rainy Day*
+Long Ago and Far Away
+Love Letters*
+Softly As I Leave You
+KEY OF THE B AND/OR C SECTIONS-V
+Ev'rything I've Got*
+Why Did I Choose You?*
+THE ABAC OFF-TONIC DESIGN
+
+The ABAC off-tonic design has a similar phrase distribution as the ABAC on-tonic form. The only difference is the use of Phrase Models 2, 3, 5, (12) 13 for the A sections. The distribution of phrase models for the ABAC off-tonic prototype is shown in Figure 23.2.
+ 
+FIGURE 23.2 The ABAC Off-Tonic Formal Prototype
+Classification of Standard Tunes3
+KEY OF THE B AND/OR C SECTIONS-I
+All Of You
+Be Careful, It's My Heart
+Dearly Beloved
+Easy To Love*
+I Should Care
+I Wish I Knew*
+I'll Never Smile Again*
+Maybe It's Because I Love You Too Much
+Star Dust*
+KEY OF THE B AND/OR C SECTIONS-III
+Gone With the Wind
+Tea For Two*
+KEY OF THE B AND/OR C SECTIONS-VI
+Day By Day*
+I've Found a New Baby*
+Roses Of Picardy
+Two For the Road
+What a Difference a Day Made*
+You'd Be So Nice To Come Home To*
+KEY OF THE B AND/OR C SECTIONS-♭III
+Autumn In New York*
+It's You Or No One*
+Laura*
+KEY OF THE B AND/OR C SECTIONS-IV
+April In Paris
+Fascinating Rhythm
+I Have the Feeling
+I've Been Here Before I'll Never Be the Same
+I'll Only Miss Her When I Think Of Her
+(On the) Street Of Dreams
+Only the Lonely
+Personality
+That Sunday (That Summer)
+The Impatient Years
+KEY OF THE B AND/OR C SECTIONS-II
+Guys and Dolls
+KEY OF THE B AND/OR C SECTIONS-♭II
+I've Got Your Number*
+Stranger in Paradise*
+"ALL OF YOU"-AN ANALYSIS
+
+Figure 23.3 illustrates the original sheet music of Cole Porter's "All Of You."4 This song is an example of the 32-bar ABAC off-tonic form. The top stave includes the chord changes from a published lead-sheet version. Since the chord changes differ from the piano accompaniment, both will be used in the following analysis.
+The Verse
+The verse sets the overall character of the song and foreshadows certain events that become more apparent in the chorus. For instance, a two-note melodic anacrusis in the verse becomes a three-note gesture in the chorus; an off-tonic beginning on B♭7/F in the verse is mirrored by an off-tonic beginning on A♭, A♭min6, or Fmin7(♭5) in the chorus, depending on the version. Each four-bar phrase in the verse has basically the same melodic architecture with a balanced contour and the prevalent use of stepwise motion. The melody establishes a strong chord-scale relationship with the chord tones aligned with beats 1 and 3, and passing notes placed on beats 2 and 4. This lack of melodic/harmonic tensions suddenly becomes disrupted in the chorus where the chromatic chord-scale relationships prevail and larger intervallic leaps dominate the melody. The verse concludes with the words "And it's not a passing fancy or a fancy pass," with a perfectly balanced melody supported by an expanded ii7-V7 progression. In the original piano accompaniment, Porter elaborates the dominant 7th in m. 15 with a common-tone diminished 7th chord, E°7, which is an idiomatic harmonic device typical of the blues.
+The Chorus
+In the forthcoming analysis, we will concentrate on tonal, melodic, harmonic, and metric/rhythmic characteristics of the tune and discuss ways in which they influence the overall approach to improvisation. The chorus has a relatively uniform tonal architecture: the first A section uses Phrase Model 3 with an open cadence on V7 in m. 8, while the B section employs Phrase Model 1 with a modified phrase identifier (notice the interpolation of ♭iiio7 in m. 10) and an open cadence on V7 in m. 16. The second A section differs from the first A, particularly in mm. 21-24. At the end of this section, an elided [ii7−V7]/ii anticipates the arrival of the C section. Rather than resolving the [ii7−V7]/ii to the expected minor supertonic, Porter thwarts our expectations and shifts the music to IVmaj7 in m. 25. The C section utilizes Phrase Model 3 with a tonicization of ii in m. 26. Notice that this harmonic departure is initiated by chromatic sidestepping ()/iii that triggers a sequence of ii7-V7s in mm. 27-30 and brings the tune to an end.
+The lyrics also contain some important textual associations that enrich our understanding of the song. Each time Porter uses the word "you" in the A section, he accompanies it by a metric, durational, and melodic stress. Its rhymed counterparts-"lure" and "tour"- support ♭, giving the melody a characteristic poignancy. This note also triggers the largest and most audacious intervallic leap of a major 7th in m. 7 over the predominant . This chord sounds particularly expressive and its unique quality stimulates the choice of chordal extensions for the V7 in m. 8.
+ 
+ 
+ 
+FIGURE 23.3 Original Sheet Music-"All Of You"
+The tonal architecture of "All Of You" features unique harmonic progressions. In mm. 1-2, the succession of iv6-Imaj6 establishes the overall character of the song. This progression, along with its variant -Imaj7, is by far the most common harmonic choice used by jazz musicians. However, it is clear from the original sheet music that Porter had a different harmonic idea for mm. 1-2: his realization features an A♭ major (!) chord over the tonic pedal B♭. Only with the arrival of C♭3 in m. 3 does he change to an A♭ minor chord. The minor subdominant in m. 3 borrows ♭ from the parallel minor key, and is known as a mixture chord.5 This and other modal borrowings (e.g. ♭ in m. 14) greatly enhance the character of the melody and influence the choice of other harmonies: C7(♭9) in m. 14 and Fmin7(♭5) in mm. 3, 7, and 19. With the occurrence of the tonic in m. 2, the A section becomes tonally ambiguous and in search of the tonal stability. Porter makes this search a compelling journey with various harmonic detours (mm. 7-8 and 25-26), deceptive resolutions (mm. 8-9 and 23-25), and modal mixture chords (mm. 3, 7, 14, 17, 19, and 21). When he finally confirms the tonic in mm. 29-32, Porter pulls out all the stops: he accentuates each word of the final phrase-"For I love all of you"-with half-note values and harmonizes the entire four-bar closing section with a diatonic ii7-V7-Imaj7 progression. In the piano accompaniment, the bass voice counterpoints the soprano with a  ascent with each bass note supporting different chords: Fmin-C7/G-A♭6-B♭9, respectively. With such a robust and convincing ending, Porter resolves all previously accumulated melodic and harmonic ambiguities.
+The B section of "All Of You" uses a harmonically open Phrase Model 1 that interrupts the form in m. 16. In some versions of the song a different harmony in m. 9 may be encountered. The use of functionally equivalent mediant harmony in place of the tonic, however, is within the limits of acceptable harmonic substitutions. The occurrence of ♭iiio7 in m. 10 is a particularly important harmonic event in the B section. This diminished 7th passing chord occupies the whole measure, improves the overall voice leading, and provides a convincing harmonic support for the melody. In addition, it also establishes a chord-scale relationship with a 2/1 octatonic I.
+A harmonic shift to the subdominant at the beginning of the C section is in keeping with the tonality of numerous jazz songs where a similar harmonic progression signals the closing section. The harmonic supports for D5 in mm. 25-26 constitute yet another salient feature of "All Of You." The D5 is harmonized with A♭Maj7 in m. 25 and with Amin7(♭5)-D7(♭9) in m. 26. These harmonizations suggest specific chord-scale relationships: Lydian in m. 25 and 2/1 octatonic I in m. 26.
+Summary of Features
+The following points suggest one of many possible directions that can be taken during improvisation on "All Of You":
+1. Tonal considerations-since the tune plays on tonal expectations, the idea of tonal ambiguity can be explored. One that stems from the analysis suggests the use of mixture chords and functionally equivalent harmonic substitutions.
+2. Melodic considerations-since the melody employs considerable intervallic leaps, melodic lines can have a more angular contour with larger intervallic leaps.
+3. Harmonic considerations-since the diminished 7th chord in m. 10 and the IVmaj7/iii progression in mm. 25-26 feature attractive chord-scale relationships, they can be explored during improvisation.
+
+4. Metric/rhythmic considerations-the melodic anacrusis in the verse and the chorus suggests a particular design that seems to foreshadow the upcoming harmony rather than retroactively respond to it. This proactive approach to phrasing and harmony creates better melodic flow and can ultimately influence the overall rhythmic architecture of the solo.
+NOTES
+
+1. In the case of "Get Out Of Town," a minor version of Phrase Model 8 with a harmonic departure in ♭III for mm. 1-16, and a major version of Phrase Model 8 with the same harmonic departure for mm. 17-32; in the case of "I Could Write a Book," Phrase Model 4 with two harmonic departures to vi and iii for mm. 1-16 and Phrase Model 4 with two harmonic departures to vi and IV for mm. 17-32.
+2. For the composers and the lyricists, consult Appendix G on the companion website.
+3. For the composers and the lyricists, consult Appendix G on the companion website.
+4. For representative recordings, consult Appendix F on the companion website.
+5. Mixture (also known as modal mixture) borrows tonal elements from the parallel mode. In the present instance, notes and chords from E♭ minor that freely interact in the context of E♭ major are regarded as mixture. As a result, the use of mixture greatly enhances melodic, harmonic, and tonal possibilities that can occur in a tune.
+
+CHAPTER TWENTY-FOUR
+Extended and Unusual Song Forms
+
+
+
+CHAPTER SUMMARY
+
+Chapter 24 provides a list of standard tunes with extended and unusual formal designs. As an example of the extended form, "Dream Dancing" is analyzed.
+
+
+CONCEPTS AND TERMS
+
+• Extended structures
+• "Night and Day" duality
+EXTENDED AND UNUSUAL SONG FORMS-A COMPILATIOND1
+
+In addition to the 32-bar AABA and ABAC forms, there are other, less common formal designs with unusual tonal characteristics, different phrase distributions, and extended structures. Standard tunes with unusual formal designs might present a challenge to the improviser because they typically unfold in a less regular manner and feature more intricate harmonic progressions. For each song listed in Figure 24.1, the length of individual sections is indicated in measures and the length of the form provided.
+"DREAM DANCING"-AN ANALYSIS
+
+Among the numerous songs featuring extended formal designs, "Dream Dancing" by Cole Porter is one of the most interesting.2 Figure 24.2 illustrates a lead sheet version of "Dream Dancing" including the verse.
+ 
+ 
+FIFURE 24.1 Extended and Unsual Standard Songs
+ 
+ 
+FIFURE 24.2 Lead Sheet-"Dream Dancing"
+The Verse
+The verse is 16 bars long and has recitative-like qualities.3 For instance, mm. 1-4 introduce a tonic pedal commonly used in recitatives. The melody has a static design, features a syllabic declamation of the words, and receives harmonic support foreshadowing salient characteristics that will become manifested in the chorus. The overall tonal architecture of the verse implies a large motion T-PD-D with the tonic occupying mm. 1-8, the predominant mm. 9-14, and the dominant mm. 15-16. These functional areas feature some interesting harmonic parallelisms. For instance, the progression from mm. 5-7 reappears in a transposed and enlarged version in mm. 9-12. The most striking harmonic event occurs in mm. 13-14 where the lyrics, "to live again," receive a [ii7-V7]/II harmonic support.
+The Chorus
+The phrase structure of "Dream Dancing" does not conform to any traditional formal models: the distribution of phrases, the placement of structural cadences, and the unfolding of lyrics suggest a three-part form. Figure 24.3 illustrates a formal diagram of the tune.
+ 
+FIFURE 24.3 "Dream Dancing"-Formal Diagram
+Formal Considerations
+The A section is 16 bars long and combines two eight-bar phrases that loosely follow the harmonic structure of an incomplete Phrase Model 5 for mm. 1-8 and Phrase Model 3 for mm. 9-16. The B section in mm. 25-32 is eight bars long and resembles Phrase Model 3 with its characteristic off-tonic phrase identifier on IV. The final C section in mm. 41-52 is 12 bars long and features a four-bar interpolation of an elided [ii7-V7]/II progression from mm. 13-14 of the verse. "Dream Dancing," then, is a composite 52-bar form unlike any existing formal prototype.
+Harmonic Considerations
+One particularly unusual characteristic of the tune is the harmonic progression in mm. 1-4 and 17-20. The occurrence of the tonally ambivalent major submediant coupled with a chromatic alteration of -if heard in the opening progression in the context of C major-is far removed from the main tonic. This opening resembles Phrase Model 5 with its offtonic phrase identifier in the submediant. However, unlike other tunes that share this model, "Dream Dancing" begins on V7/VI, which tonicizes a local tonic on VI. Given the nature of the opening progression and the subsequent tonicization of IV in m. 8, the tonality of the tune is evasive and neither prolonged nor confirmed.
+The tonicization of IV in m. 8 installs an off-tonic Phrase Model 3 that features an important harmonic event: a [ii7-V7]/II progression in m. 13. Porter uses this salient progression to announce the word "dream." The other title word, "dancing," receives harmonic support from a ii7-V7 progression. A more forceful confirmation of the tonic occurs in mm. 14-15, but the subsequent tonicization in m. 16, [ii7-V7]/IV, thwarts the tonal expectations and does not resolve to the expected subdominant but to V7/VI in m. 17. The chord succession in mm. 16-17 also features two dominant 7th chords a major third apart; in addition to the chromatic progression from m. 13, these sonorities constitute the most important tonal characteristics of the song.
+The second part of the tune begins in m. 33 with the lyrics "Dream dancing." Measures 33-40 resemble Phrase Model 3 with an off-tonic phrase identifier on IV. The tonality of the song is climactically declared in m. 40 and marks the beginning of the final section of the tune. The arrival of the tonic in m. 41 emphasizes the structural downbeat, features the important word "love," and employs Phrase Model 8, the only on-tonic phrase model of the entire song. Measures 45-49 interpolate the [ii7-V7]/II progression three times in quick succession and, with the lyrics "Dream dancing, To Paradise prancing, Dream dancing with you," lead to the final cadence in the tonic, an emphatic end to this fascinating harmonic journey.
+Melodic Considerations
+The melodic design of "Dream Dancing" is equally interesting. Each time the title words appear in the lyrics they are accompanied by a characteristic melodic gesture. In mm. 13-14, for instance, the motto of the song features a minor third from  to . In mm. 33-34, the same words project a downward octave leap from  to . Finally in mm. 49-50, "dream dancing" highlights a minor third skip from  to . Notice that in mm. 13 and 45 the minor third skip begins on : these chromatic pitches allow Porter to inject a subtle blues flavor into the structure of the song.
+A chromatic inflection of  in mm. 1-4 constitutes an unusual melodic feature of the tune. While in other standard tunes the tonic note is typically left untouched (especially at the outset of a song), in "Dream Dancing" the rhetorical interplay between  and  reflects the nature of the lyrics: "When day is gone and night comes on." The lyrics depict the familiar "Night and Day" duality-one of Porter's favorite conceits and something that he highlighted through his choice of melodic notes and harmonic progressions.4
+Summary of Features
+Improvising on a tune like "Dream Dancing" can be an arduous undertaking. Among the numerous challenges, the convincing articulation of the formal structure, correct assessment of the harmonic function of distantly related chords, and the use of chromaticism should be at the center of consideration. The following points offer a summary of features to be explored during improvisation:
+1. Formal considerations-based on the analysis of the tune, we can see ways in which the composer plays with tonal expectations and postpones the arrival of the tonic until m. 41. This gradual and measured emergence of tonality suggests that the solo can have similar properties, especially in the way the local progressions and the climax of the solo are articulated.
+2. Melodic considerations-since the melody features some unusual chromatic inflections, the use of bold chromaticism can be a part of the solo.
+3. Harmonic considerations-the prominent role of [ii7-V7]/II and the dominant 7ths a major third apart suggest the use of these progressions during improvisation with a fitting selection of chord-scale relationships.
+4. Tempo considerations-with extended formal structures, we can experiment with different tempi and/or time feels. In addition to a swing feel, "Dream Dancing" lends itself to a straight 8th-note feel (as performed on the Play Along DVD).
+
+
+NOTES
+
+1. For the composers and the lyricists, consult Appendix G on the companion website.
+2. For representative recordings, consult Appendix F on the companion website.
+3. Recitative is a type of vocal writing characterized by a speech-like declamation of words. In the opera, recitatives precede melodically and formally interesting arias.
+4. The most familiar case is his well-known song "Night and Day."
+
+CHAPTER TWENTY-FIVE
+Jazz Reharmonization
+
+
+
+CHAPTER SUMMARY
+
+Chapter 25 discusses various approaches to jazz reharmonization. It begins by considering two contrasting approaches to harmony: vertical and horizontal. Eleven basic techniques of reharmonization are introduced and demonstrated using Joseph Kosma's "Autumn Leaves." More advanced linear techniques are shown in the context of Jerome Kern's "All the Things You Are" and Victor Young's "Stella By Starlight."
+CONCEPTS AND TERMS
+
+• Block style
+• Harmonization
+• Harmony:
+Horizontal
+Vertical
+• Parallel planning
+• Reharmonization:
+Addition of extensions
+Diminished 7th chords
+Harmonic expansion of structural chords
+Functional exchange
+Interpolation of auxiliary progressions
+Melodic recontextualization
+Neighbor formations
+Pedal points
+Tonicization
+Tritone substitutions
+Upper-structure triads
+INTRODUCTION
+
+The terms "harmonization" and "reharmonization" are somewhat related to one another as they describe the process of "fleshing out" chord progressions with fully or partially realized harmonic structures. Harmonization involves supporting a tune with a suitable chord progression. Reharmonization then takes that progression and modifies it in a considerable way. While these newly created harmonic modifications might be quite substantial, they are usually traceable to and motivated by the original chord changes. The term "reharmonization" employed in this chapter refers to both processes: realization and harmonic reworking. The process of reharmonization, then, uses both the original and any modified chord progressions to render fully or partially realized harmonic formations. One of the goals of reharmonization is to provide a set of new chord changes that support the melody of a song. The melody, then, is the ultimate source for all harmonic choices.
+Historically, harmonic explorations of the melody have been tied to the art of composition and improvisation. By studying different genres of composition that primarily focus on harmonic and contrapuntal reworkings of the melody, such as passamezzos, folias, passacaglias, chaconnes, fantasias, chorale preludes, suites, and the theme and variations, you discover that the practice of reharmonization has indeed a long and rich tradition.1 Let's examine how J.S. Bach explored the potential of the chorale melody "Herzlich tut mich verlangen." Figure 25.1 compares three (out of nine) harmonic reworkings of the Passion chorale.2
+ 
+ 
+FIGURE 25.1 "Herzlich tut mich verlangen"-J.S. Bach's Harmonic Reworkings
+When comparing these versions, you may be surprised at the harmonic flexibility of this relatively simple melody and at Bach's ingenuity in capitalizing on its potential. Each phrase receives harmonic support that clearly delineates the underlying tonality and effectively drives to a cadential repose. How does Bach realize the harmonic potential of the melody? Although there are different answers to this crucial question, it seems that by allowing the melodic phrases to be reinterpreted in the context of closely related key areas and by choosing supporting harmonies that firmly project those key areas, Bach is able to create very different yet compelling harmonic settings. Take, for example, the opening phrase in mm. 1-2. In each case, the pitch E4 that ends the phrase on beat 3 in m. 2 receives distinctive harmonic support. In Figure 25.1a, the E4 is supported by an A major triad, in Figure 25.1b by a C major triad, and in Figure 25.1c, the E4 is harmonized with an E major triad. The choice of these harmonies is predicated on Bach's ability to select chords that inevitably lead to the respective cadential closures. While the cadence in Figure 25.1a functions quite unexpectedly as a sort of Phrygian half cadence in D minor (without an explicit statement of that key), the other cadential gestures are the consequences of prior harmonic progressions. Thus in Figure 25.1b the melody is reinterpreted as ------ in C major and receives a harmonic support from this key area, while in Figure 25.1c, the same phrase functions as ------ in A minor, projects this key with a logical choice of supporting chords, and terminates with a "correct" Phrygian cadence.
+Although the independent nature of Bach's inner voices implies a linear approach to reharmonization, each note of the melody is supported by a single harmonic formation, as indicated by the Roman numerals and lead-sheet symbols. The use of melodic diminutions is purely for decorative purposes and confined to local harmonies only. The vertical aspect of these reharmonizations, then, is conveyed by the fast rate of harmonic rhythm and one-to-one ratios between the melody and harmony. Note also that each of these reharmonizations features chord progressions that logically support the underlying key areas, which-as is often the case with the tonal architecture of chorale melodies-change about every two measures. In short, Bach's reharmonizations not only capitalize on the harmonic potential of the melody, but they also feature perfectly executed voice leading and unobtrusively support the tonality of individual phrases with a strong cadential confirmation at the end of each phrase.
+A very different approach to harmony is shown in Figure 25.2, where the interaction between the three voices creates functional progressions and individual harmonic formations. Figure 25.2 illustrates mm. 1-16 of "Variatio 15. Canone alla Quinta. a 1 Clav." by J.S. Bach from his "Goldberg Variations."
+The rate of harmonic rhythm is considerably slower with one chord per measure in most cases. The interplay between three independently moving lines creates interesting harmonies that resist a beat-by-beat vertical analysis. Metric displacements, accented passing notes, appoggiaturas, suspensions, and, above all, voice independence (though being a canonic variation definitely helps in this case) are essential features of a linear approach to harmony. The use of these devices creates a sense of harmonic freedom: the many localized harmonies are generated linearly without being confined to individual beats or measures. For instance, mm. 1-4 feature a chromaticized bass span from  to  which is realized with the traditional chord progression: | i | V6−V | iv6 | V |. When examining the way Bach handles this standard progression, you can see that voice independence plays an integral role in disguising the structure of individual chords. For instance, the occurrence of V6 in m. 2 is postponed by a half beat with a 2-3 bass suspension. In the same measure, the first convergence of three voices at the "and" of beat 2 produces the D augmented triad. The chromatic oscillation in the bass voice in m. 3 between E3-E3, followed by the leap of a diminished 8ve to E4, creates a wonderful harmonic ambiguity and further disguises the underlying predominant harmony. Note that each melodic line is melodically and rhythmically independent, with the bass voice providing clear harmonic support for the upper parts. The use of contrary motion between voices (this piece features a canon at the fifth in contrary motion) and stepwise linear spans that create expressive dissonant intervals (mm. 2, 9, and 15) testifies that Bach is probably more interested in cultivating a sense of linear independence and letting the interaction between individual lines dictate the harmonic outcomes than he is in being influenced and confined by the symmetrical unfolding of harmonic progressions.
+ 
+FIGURE 25.2 J.S. Bach-"Variatio 15. Canone alla Quinta. a 1 Clav." from Goldberg Variations
+As mentioned earlier, the study of reharmonization is a vast subject and the forthcoming study does not pretend to be even marginally exhaustive. The primary purpose is to bring an awareness to the huge potential that vertical and linear approaches to reharmonization can present.
+BASIC REHARMONIZATION TECHNIQUES
+
+In this section, several approaches to reharmonization will be discussed and illustrated by using sections from Joseph Kosma's classic tune "Autumn Leaves":3
+1. Addition of extensions
+2. Harmonic expansion of structural chords
+3. Tonicization
+4. Tritone substitutions
+5. Diminished 7th chords
+6. Upper-structure triads
+7. Neighbor formations
+8. Pedal points
+9. Functional exchange
+10.Melodic recontextualization
+11.Interpolation of auxiliary progressions.
+Addition of Extensions
+Chapters 4 and 5 showed how to expand the structure of chords with various extensions and pitch alterations. As a result, 14 four-part chords and 35 five-part chords were introduced. Since the addition of chordal extensions will be demonstrated in the context of "Autumn Leaves," the pool of available chords for reharmonization will be considerably smaller and entirely dependent on the structure of the melody. The melody of "Autumn Leaves" (and of any other tune) suggests which chordal extensions will work and which ones will not. Figure 25.3 illustrates mm. 1-8 of "Autumn Leaves" copied from a poorly edited fake book.
+When trying to realize these chords as faithfully as possible, notice that the realization hardly sounds convincing. If you add appropriate extensions to these chords, however, the progression sounds more idiomatic and in keeping with jazz harmonic practice. To add appropriate extensions, the relationship between the melody and the underlying harmony has to be examined. The notes, E5 in m. 1, D5 in m. 3, C5 in m. 5, and B5 in m. 7, function as minor/major 3rds of the corresponding chords. Notice that each note (with the exception of B4 in m. 7) is suspended over the bar line and supported with a different chord. Did you recognize the familiar voice-leading scenario in which the 3rd of one chord becomes a 7th of the next? Each chord tone on the downbeat of mm. 1, 3, 5, and 7 is prepared by a quarter-note melodic ascent. These melodic ascents occur in the harmonic space of particular chords and, as such, suggest the use of specific extensions that can effectively expand the structure of the underlying chords. Figure 25.4 shows the lead sheet for "Autumn Leaves" analyzed with Roman numerals. The boxed numbers indicate the relationship between melodic notes and supporting harmonies.
+ 
+FIG. 25.3 "Autumn Leaves" mm. 1-8
+Based on this analytical reading, the pool of available extensions becomes more restrictive. For instance, if we were to add a 9th to D7 on beat 3 of m. 6, this choice would create a jarring dissonance with the melodic note, E4. Furthermore, the predominant function of Cmin7 in m. 1 prevents us from adding a major 7th or a minor 6th to that chord. Also, if we add a major 7th to the minor tonic chord in mm. 15 and 31, the presence of G4 in the melody precludes us from adding that chromatic extension, unlike in m. 7 where the melodic B4 would have nicely supported that choice. Figure 25.5 demonstrates the addition of available extensions to mm. 1-8 of "Autumn Leaves." The melody with the original chord changes is written on the top stave, while the new harmonic progression is realized using Model VI of keyboard playing.
+This harmonic expansion is fairly basic and mainly uses a single extension to expand the structure of chords. The only exceptions are F13 in m. 2 and G7alt. in m. 8, where the former uses two diatonic extensions: major 9th and major 13th. The latter is more chromatic and employs 9th and 13th, both of which project the underlying tonality and complement the melody.
+What is really fascinating about the addition of available extensions is that one can experiment with different combinations of extensions and voicings to generate different harmonic outcomes. Figure 25.6 illustrates a more challenging selection of available extensions for mm. 1-8 of "Autumn Leaves" using Model VII of harmonic realization. Note that the "chorale style" texture is expanded to five- and six-note voicings.
+The Cmin11 chord in m. 1 contains two diatonic extensions: major 9th and perfect 11th. Notice that the voicing of this chord features a quintal structure in the bottom stave that gives the chord a more "transparent" sound. The accumulation of harmonic tension is highlighted by the diatonic extensions. When examining the harmonic content of mm. 3-5, notice some interesting harmonic choices: | BMaj7(5)-BMaj13 | EMaj9(11)-EMaj9 | Amin7(). This reharmonization is possible because the melodic content allows for the use of these specific chromatic formations. The D5 in m. 3, for instance, functions as a major 3rd of BMaj7 and, as such, effectively supports the inner melodic motion from F4 to G4.4 Since m. 3 initiates the inner line, the content of m. 4 is the consequence of the previous measure as the line continues to ascend to A4 and B4. The rather unexpected () harmony in m. 5 is the consequence of suspending the B4 in m. 4 over the min7(5) chord. To put it succinctly, these harmonies are motivated entirely by the melodic content and independent inner lines that cut across the bar lines to supply extensions of the underlying harmonies.
+ 
+FIGURE 25.4 "Autumn Leaves"-Melodic Analysis
+ 
+FIGURE 25.5 Addition of Extensions: Variant 1, mm. 1-8
+ 
+FIGURE 25.6 Addition of Extensions: Variant 2, mm. 1-8
+Before leaving this technique, the voice-leading structure of Figure 25.6 must be addressed. Take, for example, the preparation and treatment of extensions in mm. 2-3. The diatonic G4 (major 9th) in m. 2 prepares the F4 (9th) on beat 4 of the same measure. The F4 is suspended over the bar line and becomes a 5th of BMaj7(5), which in turn, initiates the inner line that continues with the suspended preparation of a 9th over Admin7() and a downward resolution to F4 in m. 6. The distribution of extensions is hierarchical; more chromatic extensions require more elaborate preparations. For instance, the 5th - undoubtedly the most dissonant extension of this reharmonization-requires a two-step preparation: from the diatonic 9th to the chromatic 9th and from the chromatic 9th to the more chromatic 5th.
+Harmonic Expansion of Structural Chords
+One way in which it is possible to generate harmonic diminutions and increase the sense of harmonic motion is by speeding up the rate of harmonic rhythm. Ballads or tunes with slower harmonic rhythms are better suited for the use of harmonic expansion of structural chords rather than tunes with quick moving changes. Broadly speaking, any structural chord with different harmonic diminutions can be expanded. However, your choices must establish a logical relationship with structural chords, anticipate forth-coming harmonies, and occasionally share the same harmonic function. Figure 25.7 illustrates the application of this technique using mm. 1-4 of "Autumn Leaves" realized with Model VII.
+Even though chords in mm. 1 and 3 share the same harmonic function, they have different qualities. The Cmin9 and EMaj9 belong to the predominant category of chords and the BMaj9 and Dmin11 belong to the tonic category. In m. 2, the use of the ii7-V7 progression within the dominant 7th space is one of the most common harmonic expansions. It can be freely implemented with any dominant 7th chord provided that the melody allows for such an expansion. These harmonic diminutions produce forward momentum marked by a faster harmonic rhythm, a stronger cadential drive, and a more convincing voice leading.
+ 
+FIGURE 25.7 Harmonic Expansion of Structural Chords
+Tonicization
+Tonicization is a technique that prepares the arrival of minor/major key areas or individual chords (dominant 7th, diminished, and half-diminished chords cannot be tonicized) with appropriate dominant 7ths, ii7-V7s, s, or dominant tritone substitutions. As a result of tonicization, harmonic rhythm of the progression speeds up. "Autumn Leaves" features an unusual 32-bar formal design with two four-bar A sections (mm. 1-16) resembling Phrase Model 3 and an extended 16-bar B section (mm. 17-32) approximating Phrase Model 2. The chord structure in mm. 1-8 forms an uninterrupted sequential span that leads to the minor tonic in m. 7. Measure 8, then, is an ideal place to demonstrate the use of tonicization. Figure 25.8 illustrates mm. 7-9 of "Autumn Leaves" realized with Model III.
+Even though the tonicization of minor chords requires the  progression, the content of the melody in m. 8 prevents the use of this pattern. The melodic span, B4-G4-A4-B4, suggests a ii7-V7 progression, which is typically reserved for the tonicization of major chords. In particular, the pitch A4 does not allow the implementation of Dmin7(5). The pitch B4 on beat 4 suggests the use of an altered dominant and, as the potential source of harmonic conflict, suggests the voicing of the supporting harmony. This places the major 3rd in the middle of its structure to avert the overexposed dissonant clash.
+ 
+FIGURE 25.8 Tonicization
+Tritone Substitutions
+Compare the three different reharmonizations of various sections of "Autumn Leaves" in Figure 25.9 using tritone substitutions realized in Model VII.
+ 
+FIGURE 25.4 Tritone Substitutions-Comparison
+When listening to the sound of these substitutions, Figure 25.9a may be the least appealing. In this reharmonization, the relationship between the melody and the tritone substitution is not as convincing as it is in the original chord progression. The pitches F4, G4, and A4 in the context of F7 function as root, major 9th, and major 3rd respectively, and as such create a logical melodic succession. When the same pitch segment is examined in the context of the tritone substitution, these notes become 11th, 13th, and 7th of B7 respectively. There are a few problems with this pitch succession. First, it creates a problematic unfolding of chordal extensions. For instance, a 13th hardly ever resolves up to a 7th. Second, the succession from G4 to A4 demonstrates an incorrect preparation of the chordal 7th in the context of B7. Although the rules of jazz voice leading are not as stringent as they are in common-practice music-at least not on the surface-voice-leading successions like this one should be avoided.
+The tritone substitution in Figure 25.9c accommodates the melody notes in a more convincing manner. The pitches B4 and D4 function as a 13th and the root of D7, and a major 9th and a 11th of A7. The melodic succession 9th-11th represents a hierarchical unfolding of extensions from diatonic to chromatic and, as such, makes the use of this tritone substitution more effective than the one in Figure 25.9a. When examining the behavior of outer-voice counterpoint, notice that the outer voices move in parallel motion in Figure 25.9b and in contrary motion in Figure 25.9c. In both cases, the melody notes fit nicely in the context of the underlying tritone substitutions, yet the use of contrary motion in Figure 25.9c is probably more effective. The use of tritone substitutions is first and foremost dependent on the melody. If the melody notes function as chord tones and/or diatonic extensions of the intended tritone substitutions, these substitutions are likely to produce satisfactory reharmonizations.
+Diminished 7th Chords
+Figure 25.10 illustrates the use of two types of diminished 7th chord: passing and neighbor. This realization utilizes the so-called block style of harmonization. The main characteristic of this style is the use of close-position voicings with the melody doubled at the octave.
+The accented diminished passing chord in Figure 25.10a, F°7, connects two chord tones of the underlying harmony: the root and the 3rd. Even though the diminished passing chord typically occupies a metrically weak position, in Figure 25.10a it occurs on beat 3 and adds extra tension to the progression. Figure 25.10b demonstrates the use of two consecutive passing chords, E°7 and F°7. Figure 25.10c shows the use of a lower diatonic diminished neighbor, which is slightly different from the lower chromatic diminished neighbor that occurs in Figure 25.10d. The roots of all diminished 7th chords in Figure 25.10 function as melody notes.
+Upper-Structure Triads
+The use of upper-structure triads is one of the most powerful techniques that can greatly enhance the character of your reharmonizations. Figure 25.11 illustrates the use of upper-structure triads in mm. 22-23 of "Autumn Leaves" realized with Model VII.
+ 
+FIGURE 25.10 Diminished 7th Chords
+ 
+FIGURE 25.11 Upper-Structure Triads
+Harmonic hierarchy and voice leading are two of the main themes recurring in our discussion. In Figure 25.11, each consecutive triad is slightly more dissonant than its predecessor. Thus the B triad on beat 2 of m. 22 introduces two diatonic extensions, 9th and 11th, and at the same time prepares the chromatic extensions of the following D by step (albeit, with octave displacements). The choice of parallel  and  triads on beats 3 and 4 is very effective, as they gradually accrue harmonic tension over F7 before resolving to the chromatic BMaj7(5) in m. 23. The choice of upper-structure triads in Figure 25.11 is entirely motivated by the design of the melody.
+Neighbor Formations
+Broadly speaking, neighbor formations come in two types: upper and lower. The most important considerations controlling the use of neighbor formations is that they adhere to the rules of voice leading and the behavior of outer-voice counterpoint. Figure 25.12 shows the use of different neighboring formations.
+ 
+FIGURE 25.12 Neighbor Formations
+In both cases, the outer-voice counterpoint features contrary motion and stepwise voice leading. The use of neighbor formations is most effective in situations where the melody moves by step in either direction while the lowest voice moves in the opposite direction to the melody.
+Pedal Points
+The use of dominant pedal points is restricted to certain types of harmonic progression. These progressions typically feature closely related chords, such as ii7-V7-Imaj7,  or Imaj7-vi7-ii7-V7. Dominant pedal points, as the name suggests, utilize the root of V7 as an anchor that supports moving harmonies in upper parts. In a certain sense, pedal points temporarily suspend the succession of chords and allow for the juxtaposition of different chromatic formations. Figure 25.13 demonstrates the use of two pedal points in mm. 17-23 of "Autumn Leaves."
+ 
+FIGURE 25.13 Pedal Points
+Measures 17-20 feature a dominant pedal point over D while mm. 21-23 suspend the harmonic progression over the F pedal. In both cases, the pedal points are derived from the root of the dominant 7th of the underlying progressions. In addition to being a highly effective reharmonization technique, pedal points are powerful performance-practice devices. Their presence heightens the level of rhythmic activity, invites more interaction between players, renders the underlying progressions as modal (as shown in Figure 25.13) rather than harmonic centers, and allows more chromaticism into the structure of melodic lines. They even justify "playing outside" of the changes.
+Functional Exchange
+The technique of functional exchange is based on a modification of the expected behavior of chords. These modifications typically involve changing a chord's quality or function. A successful implementation of this technique depends on establishing a convincing relationship between the melody and the intended harmonic substitution. In general, melodic pitches that in a new harmonic environment function as chromatic extensions are not ideal choices for the implementation of this technique. Figure 25.14 illustrates a harmonic realization of mm. 1-4 with two functional exchanges.
+ 
+FIGURE 25.14 Functional Exchange
+In m. 1, C7(9) substitutes for Cmin7. This choice is not particularly effective because the substitute harmony renders the melodic E5 as a 9th of C7(9). This substitution works if it occurs in the 2nd or 3rd chorus and is foreshadowed well in advance. In m. 3, the BMaj7 chord changes its functional status from that of a local tonic to a dominant 7th anticipating the arrival of EMaj7 in m. 4. The technique of functional exchanges is melody-sensitive and context-specific. Most common functional exchanges involve changing predominant- to dominant-type chords and tonic- to dominant-type chords. (Others, such as dominant- to tonic-type chords are also plausible, although they occur in more advanced harmonic settings.)
+Melodic Recontextualization
+The technique of melodic recontextualization provides the most striking and easily recognizable harmonic departure from the original chord changes. A successful application of this technique depends on the recontextualization of the melody notes as diatonic chord tones or diatonic extensions of the intended substitute progression. In addition, the newly formed substitute progression should establish a logical relationship with the underlying harmonic motion. Figure 25.15 demonstrates the use of this technique in mm. 1-4 of "Autumn Leaves" using Model VI with rhythmic variations.
+The E5 in m. 1 is recontextualized as a major 9th of Dmin9 and a major 13th of G13. This chromatic neighbor progression substitutes the original Cmin7 chord and initiates a sequential progression that continues through the phrase. In m. 3, the Bmin7-E7 progression substitutes the local tonic BMaj7. This substitution is possible because of the diatonic status of D5 in the original and substitute progressions: in the context of BMaj7, the D5 functions as a major 3rd; whereas in the context of the substitute progression it functions as a minor 3rd of Bmin7 and a minor 7th of E7. The voice leading of the progression uses mostly stepwise motion that prepares and resolves all chromatic extensions.
+ 
+FIGURE 25.15 Melodic Recontextualization
+Interpolation of Auxiliary Progressions
+The interpolation of auxiliary progressions involves the combination of previously discussed techniques. By now, the idea of melody-specific and context-sensitive harmonic substitutions should be firmly engraved on our musical consciousness. Figure 25.16 interpolates different auxiliary progressions in mm. 1-2 and 7-8 of "Autumn Leaves" using Model VII with different sizes of voicings.
+In Figure 25.16a, the melodic E5 functions as a minor 3rd of Cmin9, a major 13th of Gmin13, and a major 3rd of C9. A more advanced interpolation of auxiliary progression occurs in Figure 25.16b. Measures 7-8 combine four reharmonization techniques: the tritone substitution, neighbor formations, tonicization, and melodic recontextualization. The tritone substitution occurs on beat 4 of m. 8 where D9(11) substitutes a tonicizing G7 formation. The tonicization that foreshadows the arrival of Cmin7 in m. 9 should have involved a , yet the melody note A4 implies a ii7-V7 progression. In this case, the tonicizing ii7-V7 progression is reduced to G13sus and followed by D9(11) tritone substitution. The arrival of the quartal structure on beat 1 of m. 8 is anticipated by two neighbor formations, which share the same intervallic properties. This technique is also known as parallel planning. Not only does the melodic recontextualization of B4 in m. 8 as a major 13th of D7 allow for the use of tritone substitution, but it also fulfills the tonal conditions and voice-leading requirements that characterize a successful reharmonization. Since the interpolation of auxiliary progression in m. 8 coincides with the cadential preparation of the new formal section, speeding up the rate of harmonic rhythm makes the arrival of the new section in m. 9 more satisfying.
+LINEAR APPROACHES TO REHARMONIZATION
+
+My ongoing fascination with the contrapuntal pieces of J.S. Bach and D. Shostakovich has led me to develop a linear conception of jazz harmony where the interaction between independently moving voices produces less conventional chords and harmonic progressions. The examples from Bach show that even a single line can successfully convey harmonic progressions.5 The examples from Shostakovich demonstrate that the relationship between non-tonal lines can create interesting, albeit non-functional harmonic progressions.6 Although both composers' conceptions of harmony are very complex and highly individual, the meticulous design of contrapuntal lines is one of the key features of their respective styles. Their lines are characterized by a balanced design, careful treatment of dissonances (which in Shostakovich's case are entirely contextual), stepwise architecture, and strong metric and rhythmic properties.
+ 
+FIGURE 25.16 Interpolation of Auxiliary Progressions
+"All the Things You Are"
+To demonstrate a linear approach to reharmonization, mm. 1-8 of "All the Things You Are" will be used. First, the melody is harmonized with different lower-voice counterpoints. These two-voice contrapuntal frameworks in 1:1 melodic ratio are then filled in with inner lines moving in half and whole steps. The resulting four-, five-, or six-voice realizations feature both tonal and non-tonal harmonic progressions characterized by linearly derived chords. Figure 25.17 illustrates the A section of "All the Things You Are" with eight note-against-note counterpoints. Notice that the melody is reduced to its essential structure with whole notes only.
+ 
+FIGURE 25.17 Linear Approach to Reharmonization: Outer-Voice Frameworks
+When comparing the structure of the lower counterpoint in Figure 25.17a to other counterpoints, notice that they exhibit more linear characteristics. For instance, the counterpoint in Figure 25.17b moves entirely by half steps starting on the root of the underlying Fmin7. The counterpoint in Figure 25.17c moves also by half steps, yet the opening pitch suggests a chord-scale relationship different from the original. A similar scenario occurs in Figure 25.17d where the opening note of the counterpoint begins on G3 forming the interval of a minor 9th with the melody. Figure 25.17e-f illustrates sequential counterpoints that complement the melody nicely. The former uses a minor 3rd sequence while the latter alternates between major and minor 2nds. Finally, Figure 25.17g-h demonstrates the use of an oblique motion utilizing two pedal points. The choice of tonic pedal point in Figure 25.17g suggests a more conventional reharmonization. The use of D3 as a pedal point in Figure 25.17h, however, implies a reharmonization outside of the conventional norms.
+In "fleshing out" these outer-voice frameworks, the behavior of inner lines is restricted to stepwise motion in either direction or to common tones. For now, leaps are forbidden (except for those occurring in the melody). By adhering to these particular constraints, the voices are prevented from converging on to familiar harmonies. Even though dissonant formations are likely to occur, the larger point is to show how lines produce harmonies and how the flow of harmonic tensions is regulated and resolved.
+Figure 25.18 provides eight reharmonizations of the outer-voice counterpoints from Figure 25.17.
+These reharmonizations draw on some of the techniques discussed earlier in the chapter. For instance, the realization in Figure 25.18c uses the technique of melodic recontextualization as the opening chord renders the melodic note, A4, as a major 9th of Gmin11. In choosing the opening sonorities, familiar structures were avoided in order to experiment with linearly driven harmonic progressions. In a certain sense, the opening sonority sets the character for the entire reharmonization and, at the same time, offers a challenge to find satisfactory harmonic solutions. When comparing Figures 25.18a and 25.18e, the difference between the two is very striking. Whereas the former is more conventional because of the tonal framework, the latter is highly dissonant with largely unanalyzable harmonic formations.
+ 
+ 
+FIGURE 25.18 Linear Approach to Reharmonization: Realizations
+"STELLA BY STARLIGHT"-A REHARMONIZATION
+
+Written by Victor Young for the movie The Uninvited, "Stella By Starlight" has become a favorite standard tune in jazz. Its popularity among jazz musicians is indisputable; almost all of the great jazz artists of the 1950s and beyond recorded it at some point of their career.7 The lead sheet of the song is provided in Figure 25.19.
+The selection includes three sets of changes: movie soundtrack, original, and jazz. By including these changes, we can compare the differences between them and appreciate the composer's original harmonic intentions. Let me first clarify the labeling of the individual progression. The movie soundtrack changes refer to the progression that is heard in the movie. The song is performed in the key of D major with lavish orchestration and distinct chord progressions comparatively different from both the original and the jazz versions. The original chord changes-supposedly provided by the composer-were published in a fake book in the 1950s (of an uncertain origin) in the key of G major.
+ 
+FIGURE 25.19 Lead Sheet-"Stella By Starlight"
+The jazz changes are readily available in countless fake books and are the ones commonly used by jazz musicians.
+What makes "Stella By Starlight" stand out among other standard tunes is its freely unfolding melody, an entity in and of itself that transcends the boundaries of the phrase structure. The melody is characterized by a relatively static rhythmic design and the inclusion of non-harmonic tones as essential melodic components. Suspended notes over the bar lines create tension with the underlying harmonies. Thus the pitch A4 at the beginning constitutes the major 7th of the original B° or the 11th of Emin7(5) of the jazz version. In m. 5, the same harmonic change in the original and jazz versions, F minor, supports the pitch G4, the major 9th. These dissonances usually underscore important words of the lyrics, lending them a particular poignancy. The climax of the tune, occurring in mm. 17-19, corresponds to the lyrics, "that great symphonic theme"; at this point, the melodic E5 becomes the 13th of G7 and F5 the 11th of Cmin11. Measures 20-23 continue to emphasize non-harmonic tones within the melody. Upon reaching  in m. 19, the melody features a stepwise descent to  in m. 25. This diatonic span, however, receives an unorthodox harmonic treatment: in m. 21,  is the major 7th of Emin7 in the original version, or the 11th of A7 in the jazz version; and in m. 23,  is supported as the 9th of BMaj7 in both versions.
+At first glance, the comparison of the original and jazz changes seems to reveal significant differences between the two. Upon closer examination, however, the jazz changes are seen as a middleground elaboration of the original progression. Nowhere is the relationship between the background and middleground more evident than in mm. 1-8. The opening progression of the original version, B°-F7, stands out for its stylistic uniqueness and an ominous sound perfectly suited to a ghost story. Its connection to the jazz changes, Emin7(5)-A7-Cmin7-F7, is classified through common-tones relationships between Emin7(5)-A7 and B°, as the members of the B° triad are embedded within the structure of A7(9). Since it is common in the jazz idiom to precede the dominant 7th with its local predominant ii7 (provided that melodic notes agree with the harmony), the use of an Emin7(5)-A7 progression is a well-considered choice for the original B°. Similarly, the space occupied by F7 in the original version is expanded by an embedded ii7-V7 progression. Hierarchically, B° is inferior to F7, since the former, due to its unstable quality, is heard as a contrapuntal elaboration of the more stable F7.
+The evolution of the jazz harmonic syntax from the popular song vocabulary cannot be more evident than in the treatment of IV-V or IV-I harmonic progressions. These are typical of common-practice tonality and the language of popular tunes draws extensively on this practice. There are specific instances pointing to this practice in "Stella By Starlight." For instance, mm. 15-16 tonicize G7 in m. 17. The original version employs a local iv-V7 of G. In the jazz version, however, the focus is placed on the cycle of 5ths progression with  substituting for iv. A similar scenario occurs in mm. 27-30 where local iv-V7 progressions in the original are changed to  in the jazz version. Measures 21-24 in the original are governed by a iv-I harmonic motion. The relatively weak position of the plagal motion (further emphasized by a minor predominant) is replaced by a more idiomatic VII7 in m. 21. The use of the back-door VII7 is consistent with idiomatic jazz practices and anticipates the arrival of the tonic more forcefully. Again, the use of the jazz substitution stems from the original change; Emin may be interpreted as a "ii7" necessarily bringing its "V7," A7.
+The movie soundtrack and original changes are very much related to one another. The former, however, makes great use of chordal inversions and linear bass progressions. For instance, the preparation of the climax in m. 17 begins in m. 9 with the chordal 5th over the B triad. The bass voice subsequently descends to G in m. 17. During this span, it introduces some compelling harmonies, which are quite unexpected, yet masterfully woven into the framework of the progression. In m. 12, D7(5) nicely anticipates the F/C. The free standing B° in m. 14 offers convincing melodic support and foreshadows the arrival of Amin7(5).
+ 
+ 
+FIGURE 25.20 "Stella By Starlight"-A Reharmonization
+As a ghost movie theme, "Stella's" dreamy and mysterious character is expressed in many different ways. The reharmonization of the song in Figure 25.20 attempts to capture its mood through the harmonic vocabulary derived from the hexatonic system discussed in Chapter 20. Remember, the hexatonic system includes major, minor, dominant, suspended, and intermediary categories, each of which features a pitch aggregate that furnishes material for voicings of different sizes and intervallic configurations. In general, the voice leading of the reharmonization is mostly stepwise and balances a mixture of contrary, parallel, and oblique motions occurring between the voices.
+NOTES
+
+1. A comparison of different harmonic settings of the same chorale melody enables one to appreciate J.S. Bach's conception of harmony. An examination of larger compositions, such as Bach's Goldberg Variations, BWV 988; Beethoven's Diabelli Variations, Op. 120; Chopin's Variations on "Lá ci darem la mano," Op. 2; Brahms's Variations and Fugue On a Theme By Handel, Op. 24; or Mompou's Variations On a Theme By Chopin reveal how these composers exhausted the harmonic and contrapuntal potential of the melody with which they were working.
+2. 178 Chorale Harmonizations of Joh. Seb. Bach-A Comparative Edition for Study, Volume I, by Donald Martino is an excellent publication that compiles multiple harmonic settings of chorale melodies that allow for easy comparison. This inexpensive publication is strongly recommended.
+3. For representative recordings, consult Appendix F on the companion website.
+4. In common-practice theory this particular melodic motion is known as the retardation or the suspension resolving upwards.
+5. Das wohltemperierte Klavier I, BWV 846-869; Das wohltemperierte Klavier II, BWV 870-893; 6 Violin Sonatas and Partitas, BWV 1001-1006; Cello Suites, BWV 1007-1012.
+6. Preludes and Fugues, Op. 87.
+7. For representative recordings, consult Appendix F on the companion website.
+
+CHAPTER TWENTY-SIX
+"Line Up"
+
+
+
+CHAPTER SUMMARY
+
+Chapter 26 provides an analysis of Lennie Tristano's "Line Up." Based on this analysis, specific elements of his style of improvisation are codified.
+
+
+CONCEPTS AND TERMS
+
+• Compound/polyphonic melody
+• Escape notes
+• Melodic interpolation
+• Motivic parallelism
+• Neighbor figures
+• Passing notes
+• Playing outside
+• Rhythmic displacement
+• Scale degrees
+• Sidesteppings
+• Slurs
+• Structural approach
+• Tristano school
+INTRODUCTION
+
+"Line Up" is an overdubbed solo performed by Lennie Tristano with a pre-recorded rhythm section.1 The solo is a superb demonstration of an important style of improvisation, which, above all, is characterized by a highly innovative approach to rhythm and meter. The remarkable feature of the Tristano school, whose illustrious alumni include Lee Konitz, Warne Marsh, Billy Bauer, and others, is that it lends itself to improvisation as much as it does to composition. In fact, contrafacts such as "Lennie's Pennies" and "317 East 32nd Street" composed by Tristano, "Subconscious-Lee" and "Kary's Trance" written by Konitz, or "Marshmallow" and "See Me Now, If You Could" composed by Marsh, sound like improvisations worked out in advance.
+"Line Up" exemplifies the essence of the "Tristano style" and, as such, constitutes a great pedagogical tool for summarizing various characteristics of jazz musical syntax discussed in this book. It also demonstrates how specific theoretical concepts work in practice. You will be surprised at the amount of information encoded in this solo and how much you can learn by cracking Tristano's musical code. In the forthcoming analysis, the discussion focuses on the aspects of his playing that have practical applications and eventually leads to a broader codification of his style of improvisation.
+ANALYTICAL ANNOTATIONS
+
+Figure 26.1 shows a partially annotated transcription of Lennie Tristano's "Line Up." To facilitate comprehension, various analytical markings and symbols are used. Neighbor figures prepare chord tones or structural tones by step from below and/or above. In the transcription, UN indicates upper neighbor, LN lower neighbor, and DN double neighbor (which some jazz musicians also call pitch enclosure). Double-neighbor figures typically involve three- or four-note groupings, but in the case of longer gestures, they are designated EDN (extended double neighbor). The chord tone decorated with a neighbor figure is analyzed with an Arabic number written in parenthesis to show its chord membership. Somewhat related to neighbor figures is the escape note, EN, which leaves a chord tone with a step and resolves to another chord tone by a skip in the opposite direction. In addition to neighbor and escape notes, Tristano employs a variety of passing notes, PN. Those derived from bebop scales are designated BPN (bebop passing notes). In the score, passing and escape notes are placed in parenthesis and analyzed accordingly. Occasionally, D (diatonic) and C (chromatic) are written in front of LN, DN, PN, etc.: for instance, CUN stands for chromatic upper neighbor, DDN for diatonic double neighbor, etc. In the case of accented figures, A written in front of the symbol is used: ALN indicates accented lower neighbor, ACPN accented chromatic passing note, etc.
+Neighbor figures often occur in the midst of a phrase, making them difficult to isolate from the surrounding notes; they are therefore marked by slurs in the score. Dashed slurs show various scalar passages, such as modes, bebop scales, pentatonics, chromatic segments, melodic patterns, and characteristic gestures. Dotted slurs indicate prolongation of notes across larger sections of music and a stepwise voice-leading connection between (with possible octave transfers) adjacent phrases. Brackets below the score are reserved for chord arpeggiations and harmonic substitutions, which are analyzed with additional chord symbols, scale degrees, and Arabic numbers. Chords written below the brackets represent harmonic departures from the underlying progressions. These departures are essential to Tristano's style and include: superimposition of chromatic structures (three-, four-, or five-part), harmonic sequences, and chromatic sidesteppings. Chromatic sidesteppings are indicated with vertical arrows pointing to the direction of a departure from the structural harmony. For the purpose of readability, these departures are analyzed with enharmonic chord symbols, which do not coincide with the structurally appropriate spellings.
+Scale degrees specify important tones in the tonic key and underscore structural melodic spans or motifs occurring at the background level. For instance,  stands for the melodic span F-F♭-E♭ in the key of A♭ major. There is frequently a lot of melodic activity at the surface level between structural tones; therefore, these tones are marked with longer stems connected to a horizontal beam. Dashed stems indicate non-structural notes, such as local chord tones or melodic patterns connected to a horizontal beam. Arabic numbers are utilized for specific pitch successions occurring over local harmonies. For instance, a C:1-2-3-5 illustrates a C-D-E-G melodic pattern. Figure 26.1 contains the summary of all the abbreviations and symbols used in Figure 26.2.
+AN ANALYSIS OF THE TRANSCRIPTION
+
+When listening to the recording of "Line Up," notice the inherent complexity of Tristano's lines, their incessant drive, and their swinging quality. As had been the case with numerous instrumental contrafacts from the Bebop Era (and definitely was the prevalent compositional strategy of his school), Tristano borrowed the chord progression from the repertory of standard tunes. In this case he chose "All Of Me" by Gerald Marks and Seymour Simons. An interesting fact about "Line Up" is the absence of a clearly defined thematic statement at the outset of the piece. With each passing chorus, the music seems to build up a forward momentum, giving listeners numerous jolts by shifting to chromatic key areas or engaging in complex rhythmic displacements. With the exception of a few places (mm. 97-104 and 149), the solo employs a single-line texture, which makes it ideal for studying and performing by different instrumentalists. But what is truly fascinating about "Line Up" is that, in spite of the listener's initial reaction to its complex nature, Tristano uses relatively simple melodic ideas that he effectively synchronizes with different structural patterns. He employs a variety of rhythmic devices that give the solo an innovative character and fully capitalizes on the relationship between melody and meter. The interplay between melody and meter occurring at various levels of the musical fabric is the driving force behind this solo, which demonstrates Tristano's heightened awareness of musical discourse.
+Rhythmic Displacement
+The idea of rhythmic displacement is central to the "Tristano style" and is announced in the very first phrase of his seven-chorus tour de force solo. The line begins in m. 9 with an iambic rhythmic motive, which is immediately answered in m. 10 by an anapestic figure.2 The placement of the anapestic figure on beat 4, coupled with an accent on the first note, makes the entire phrase sound metrically ambiguous, almost as if the beat got turned around. By displacing the second half of the phrase by a beat, Tristano cleverly overrides the predictable phrase symmetry and, with relatively simple melodic means, begins his solo in a highly original manner. Play the opening phrase with a metronome and pay close attention to the way the accents and note placements influence the overall perception of the underlying meter. To compare how the phrase might have sounded if Tristano had retained the expected phrase symmetry without rhythmic displacement, start the second phrase on beat 1 in m. 11.
+
+
+ 
+FIGURE 26.1 Analytical Symbols and Annotations
+
+
+ 
+
+
+ 
+
+
+ 
+
+
+ 
+
+
+ 
+
+
+ 
+
+
+ 
+FIGURE 26.2 "Line Up"-Lennie Tristano (transcribed by Dariusz Terefenko)
+Tristano explores the concept of rhythmic displacement using different improvisational strategies, such as phrase displacement, metric displacement, manipulation of phrase accents, and melodic interpolations. Phrase displacement occurs when the phrase is shifted by a beat (or more) and creates a dissonance with the underlying harmonic and metric structure. Probably the most effective use of this technique occurs in m. 77 where the line begins on beat 2 with a downward arpeggiation of the E major upper-structure triad over the structural B♭7 and is further emphasized with a strong accent on the first quarter note, E♮4. The manipulation of phrase accents shifts regular metrical accents, thereby creating metric ambiguity. This technique occurs when the phrase temporarily renders beats 2 and 4 as beats 1 and 3. The phrase in mm. 159-160 illustrates these features. Notice how beat 4 in m. 159 influences the perception of beat 2 in the next measure.
+Metric displacement implies the use of cross rhythm to create a characteristic rhythmic jolt and increase in tension within the phrase. The phrase in mm. 81-83 displays these characteristics. The distribution of accents and phrase groupings in mm. 81-83 creates an interesting superimposition of 3/4, 3/8, 2/4, and 4/4 respectively. Notice how the use of 3/8 influences the metric location of sub-phrases in 2/4 and 4/4 in mm. 82-83, and how the perception of the meter in the ensuing measures is constantly being challenged.
+Melodic Interpolation
+Melodic interpolation is a relatively straightforward improvisational technique based on the addition and often repetition of a few notes in the midst of a phrase that results in subsequent rhythmic displacement. The two-note melodic interpolations in m. 57 and mm. 116-117 demonstrate the use of this technique.
+The simplicity of Tristano's melodic ideas is truly remarkable. These ideas vary from simple triadic arpeggiations (mm. 97-99), diatonic scalar patterns (mm. 13-15), and pentatonic scales with chromatic passing notes (mm. 65-67). Hand in hand with these simple devices goes the manner in which Tristano terminates his melodic lines. The repository of his melodic cadential gestures is quite impressive and includes various intervallic skips (mm. 95, 124, 156, 224), stepwise descents (mm. 147-148, 167), and neighbor figures (mm. 63, 177, 184).
+Playing Outside
+Along with rhythmic displacement, playing outside of the underlying tonality is another hallmark feature of Tristano's style of improvisation and results in his highly original approach to chromaticism. In "Line Up," the use of chromaticism is pervasive, yet the manner in which Tristano controls it deserves attention. Just like his use of rhythmic displacements, Tristano's use of chromaticism is elegant and logical. When his lines temporarily leave the underlying tonal area and venture into a chromatic space, they retain strong melodic and harmonic identities and remain inside of the outside key areas. Figure 26.3 compares two phrases from mm. 25-27 and 63-68.
+
+
+ 
+FIGURE 26.3 Playing Outside
+Notice how similar these chromatic departures are. In the former, Tristano employs C♯3 (enharmonic D♭3) to access the chromatic neighboring area up a minor 2nd from the structural harmony D♭6/9. As a common tone between the two key areas, C♯3 functions as the root of D♭6/9 and the major 7th of DMaj7, and as such constitutes the ideal choice for connecting these key areas. During mm. 65-66, the chromatic upper neighbor harmony A6/9 embellishes the A♭6/9 harmony, capitalizing on a common-tone reinterpreta-tion and an intricate double-neighbor preparation. Although the top of chorus 3 begins with a chromatic neighbor harmony without prior preparation, the opening note E♮3 is a half step away from the previous note in m. 63 and thus establishes a smooth voice-leading continuation between adjacent phrases. In m. 65, what seems to be excessive chromaticism on beats 3 and 4, turns out to be an intricate pivot area where the two keys, A and At♭, converge and interact. This pivot area hovers around . On the one hand, the segment C4-D♭4-D♮4-C4 in m. 65 functions as a double-neighbor figure foreshadowing the occurrence of C♯4 on beat 1 in m. 66; on the other, it reminds us that the line is still in the key of A♭ major. Notice the overall melodic flow and phrase contour of these two measures. Beats 1 and 2 of m. 65 initiate a pentatonic segment in A major, beats 3 and 4 introduce a double-neighbor pivot area. Beats 1 and 2 of m. 66 return to the same pentatonic segment as m. 65 in the opposite direction, and continue onward, via a half-step re-entry, to a resolution in m. 67 with a double-neighbor figure encircling .
+Structural Approach
+Some of Tristano's phrases, such as in mm. 13-15, 33-36, 105-112, 125-131 and others, have an intricate architecture and demonstrate what can be described as a structural approach to improvisation. These spans provide structural frameworks for surface melodic elaborations, thereby giving the solo remarkable coherence. When you consider that these spans can, and often do, contradict the predictable phrase symmetry and, in more advanced situations, can even disguise the formal boundaries, the benefits of using this approach in practice is evident. What transpires in mm. 13-15 is a basic illustration of a structural approach to improvisation. The  melodic pattern controls the surface melodic elaborations, which basically consist of simple upper diatonic neighbors and a single escape note. A similar approach occurs in the context of a compound melody in mm. 33-36. Here, the span  begins in the lower voice and is subsequently answered by the melodic pattern 8-♯7-♭7 from C7. At the same time, the upper voice of this seemingly polyphonic texture emphasizes the 5th of the corresponding chords with interesting note placements that create additional metric ambiguities. On the local level, the pitch C♭3 in m. 108 is the part of a chromatic double-neighbor figure flavoring the local submediant harmony with the characteristic ♭5. Concurrently, the same note also participates in the extended double-neighbor figure  in mm. 105-112.
+A far more advanced implementation of the structural approach to improvisation occurs in mm. 125-131, where the pattern  cuts across the formal boundaries and connects choruses 4 and 5. The phrase reaches  in m. 127 and embellishes it with an upper diatonic neighbor  in m. 128; the phrase subsequently descends, via  on beat 4 in m. 128, to  in m. 129. While the structural span seems to have ended in m. 129, an upward registral shift to  on beat 3 in m. 129 and its descent to  in m. 131 replicate the upper-neighbor motion  from mm. 127-128. Scale degree one, then, functions as a pivot note that connects the two double-neighbor figures:  and .
+In order to be successful with this approach to improvisation, it is necessary to imagine a structural line that moves mostly by step in larger note values and establishes a convincing chord-scale relationship. The creation of structural lines depends on the ability to hear and to isolate them from the underlying chord progressions, and, subsequently, to embellish them with different melodic ideas.
+Advanced Techniques
+Tristano employs more advanced techniques of improvisation, particularly in later choruses. These techniques include unprepared chromaticism, harmonic interpolations, manipulation of harmonic rhythm, superimposition of chromatic progressions, motivic parallelism, and compound melody. Unprepared chromaticism occurs in m. 185, where Tristano begins his line up a minor 2nd from the structural harmony D♭6/9. Although he does not prepare this passage immediately, Tristano anticipates it in the previous choruses. Harmonic interpolation expands the underlying chord structure with substitute chords or new chord progressions. In "Line Up" these interpolations are relatively easy to spot because Tristano clearly delineates them with straightforward arpeggiation or other easily recognizable melodic patterns. The most striking use of this technique occurs during mm. 201-206, where the succession, | Dmin(♯7)-C♯min(♯7)| C6/9| F♯min(♯7)| Fmin6-D♯ø7 | Dø7 | BMaj7 |, expands the underlying C7-Fmin7-B♭7 progression.
+Tristano's manipulation of harmonic rhythm is born out of his horizontal approach to improvisation and comes in two guises: harmonic displacement and harmonic omissions. The former is based on the placement of regularly occurring chords on metric locations different than expected. The latter omits certain structural chords altogether, giving priority to the independent nature of melodic lines. Some of Tristano's lines are unconstrained by the predictable symmetry of chord progressions and display a fair amount of linear independence. In disregarding certain structural harmonies, Tristano demonstrates how lines influence the harmonic outcome and not the other way around. In m. 37, for example, the melodic line continues in the harmonic space of C7 begun in m. 35 and only gradually merges with the underlying harmony F7. The superimposition of chromatic progressions in place of structural chords is an effective technique that can be implemented to introduce controlled chromaticism into your own playing. It requires the use of simple melodic devices, such as in mm. 215-216, where the G♭7-C♭Maj7 and F7-B♭min7 progressions are clearly superimposed over the structural B♭min7 harmony.
+Motivic parallelism is a technique that affects the musical surface and background. The use of motivic parallelism at the background level is quite common in composition, but when it happens in the context of improvised music it proves the advanced artistry of the improviser. On a more local level, an  pattern in m. 138 is immediately answered by a  pattern in the same measure. Scale degree three on beat 4 of m. 139 initiates an enlarged version of a half-step motive utilizing the blue 3rd on beat 4 of m. 140. These illustrate how salient intervallic gestures-in this case, a minor 2nd down-influence the unfolding of the melodic phrase. In mm. 189-190, Tristano introduces a background span, , and immediately repeats it in an incomplete form and with subtle metric displacements in mm. 191-192.
+Motivic parallelism also indicates surface devices that reappear throughout the solo-one's favorite melodic devices, so to speak. For instance, the four-note figure with two ascending half steps followed by a larger intervallic skip in m. 45, mm. 142-143, and m. 207 (slightly varied), or the 1-2-3-5 melodic patterns in mm. 27, 30, 69, 123, 163, 217, etc., show Tristano's penchant for these types of surface device. Yet, in comparison to the more structural use of motivic parallelism, they seem like simple recurrences of familiar and well-internalized melodic patterns.
+The use of compound or polyphonic melody adds another level of complexity to his solo and demonstrates Tristano's contrapuntal approach to improvisation. This technique implies the use of two-voice texture in the context of a single-line melody. Figure 26.4 illustrates a voice-leading reduction of mm. 157-161.
+The upper voice forms a  melodic span that cuts across the formal boundaries. Scale degree two in m. 158 becomes temporarily suspended and the melodic activity is transferred to the lower voice with a diatonic scalar descent. In mm. 159-160, the lower voice forms a  melodic ascent embellished with unfolding thirds, which also contributes to the polyphonic nature of the phrase. At the top of chorus 6,  is restored and resolves down to  on beat 2. The cadential gesture A♭3-E♭3 on beat 2 of m. 161 unifies the two melodic strands. One of the conditions for the use of the compound melody is a clear registral separation between the implied voices.
+
+
+ 
+FIGURE 26.4 Compound Melody
+The treatments of chromaticism and of voice leading are intimately related to one another and are essential elements of Tristano's cultivated approach to improvisation. Notice how he introduces chromatic segments into his lines in mm. 16 and 41. In m. 16, Tristano arpeggiates D♭Maj9 as an upper structure of E♭7, which contains three diatonic extensions: 9th, 11th, and 13th. On the way down, he supplies chromatic versions of the two extensions, ♭13th and ♭9th, and resolves the perfect 11th down to a major 3rd. These linear connections occur in the same register. When the line enters the chromatic region in m. 41, Tristano uses an octave displacement preparation as the diatonic B♭2 from m. 40 foreshadows B3 at the outset of the chromatic departure in m. 41. Even though there is an upward octave leap in this preparation, it is perfectly justifiable from a voice-leading perspective.
+Tristano's lines are notoriously long; observe the one running uninterruptedly in mm. 81-91. Within this melodic stretch, Tristano creates a nicely balanced line that features the measured use of stepwise motion, arpeggiation, and chromaticism. In addition to all this, Tristano's playing swings hard-a trait that anyone can (and should) admire.
+THE "TRISTANO STYLE" OF IMPROVISATION
+
+Based on the analysis of "Line Up," the essential features of Tristano's style of improvisation are summarized using the following rubrics:
+Rhythmic Syntax
+• Phrase displacement
+• Metric displacement
+• Manipulation of phrase accents
+• Melodic interpolations
+• Juxtapositions of different time signatures
+Melodic Syntax
+• Melodic devices:
+- Lower/upper neighbors
+- Double neighbors
+- Extended double neighbors
+- Escape notes
+- Passing notes
+- Bebop passing notes
+• Upper structures
+• Arpeggiation
+• Diatonic scalar patterns
+• Modes
+• Pentatonic scales
+• Bebop scales
+• Chromatic segments
+• Cadential gestures:
+- Intervallic skips
+- Stepwise descents
+- Neighbor figures
+• Chromaticism
+Harmonic Syntax
+• Tritone substitutions
+• Modification of the quality of chords
+• Harmonic interpolations
+• Manipulation of harmonic rhythm:
+- Harmonic displacement
+- Harmonic omissions
+• Superimposition of sequential progressions
+Voice Leading
+• Common-tone retentions
+• Common-tone connections
+• Stepwise connection between adjacent phrases
+•  Preparation of chromatic extensions
+• Melodic resolutions
+• Registral considerations
+Phrasing
+• Length
+• Flow
+• Contour
+• Dynamics
+• Articulation
+• Balance of stepwise motion, arpeggiation, and chromaticism
+Advanced Techniques
+• Structural approach to improvisation
+• Unprepared chromaticism
+• Harmonic interpolations
+• Manipulation of harmonic rhythm
+• Superimposition of chromatic progressions
+• Motivic parallelism
+• Compound melody
+NOTES
+
+1. "Line Up" was recorded in 1955 and released on the album Lennie Tristano on Atlantic Records. Lennie Tristano and the sequel The New Tristano from 1962 remain two of his most well-known projects.
+2. The terms "iambic" and "anapest" represent two types of Greek poetic metric unit associated with the length and groupings of syllables. An "iambic" rhythmic figure consists of short (unaccented)-long (accented) notes; an "anapest" consists of short-short-long notes.
+
+CHAPTER TWENTY-SEVEN
+Post-Tonal Jazz
+
+
+
+CHAPTER SUMMARY
+
+Chapter 27 makes forays into post-tonal music theory in an attempt to demonstrate how some of its concepts-trichords, in particular-are implemented in jazz. Familiar topics are presented anew with the emphasis on ear training and harmony.
+CONCEPTS AND TERMS
+
+•Add note chords
+•Aggregates
+•Atonal music
+•Cardinality
+•Clock face
+•Enharmonic equivalence
+•Families of trichords:
+"Diatonic"
+Semitone
+"Triadic"
+Whole tone
+•Index numbers
+•Integer notation
+•Interval classes
+•Intervals:
+Ordered
+Unordered
+•Inversion TnI
+•Mod 12
+•Normal form
+•PC-set complexes
+•Pitch
+•Pitch classes
+•Pitch-class (pc) intervals
+•Pitch-class (pc) sets
+•Pitch-class spaces
+•Prime form
+•Set classes
+•Subsets
+•Sums
+•Supersets
+•Transposition Tn
+•Trichords
+INTRODUCTION
+
+Twentieth-century music offers an amazing variety of styles, harmonic languages, and compositional techniques. As such, it can be used by jazz musicians to broaden their musical horizons, expand their harmonic and melodic vocabularies, and experiment with different compositional methods. Post-tonal theory encompasses numerous theoretical systems that seek to explain the nature of different kinds of twentieth-century music. Presently, we will concentrate only on one particular type of twentieth-century music, so-called atonal music, and its corresponding theory.1 The atonal period is usually identified with the composers of the Second Viennese School: Arnold Schoenberg, Anton Webern, and Alban Berg. Its golden age lasted for about 17 years, from ca. 1905 until 1922. Atonal music is characterized by unordered pitch relationships. The use of atonal music theory implies that the familiar topics of note names, intervals, chord formations, and others are recontextualized in order to convey the uniqueness of that system. For instance, triads are referred to as trichords, notes are labeled with integers (not by their traditional letter, scale-degree, or solfège names), and intervals are measured with numbers indicating semitone count. These nomenclatural changes are necessary to reflect the nature of atonal music, in which traditional tonal relationships are generally absent.
+BASIC CONCEPTS
+
+Integer Notation
+Figure 27.1 shows the notes of the chromatic scale labeled as integers. The pitches A♯ and B use a "t" and an "e" to represent integers ten and eleven, respectively.
+In atonal music, the difference in note spelling is not as crucial as it is in common-practice music. The concept of enharmonic equivalence enables us to use the same integer for different spellings of the same pitch. For instance, C♯ and D♭ are enharmonically equivalent and are both referred to as pitch class 1 or pc1; A♯ and B♭ are enharmonically equivalent and referred to as pct.
+Pitch and Pitch Classes
+In our study of post-tonal jazz, the designation "class" is frequently encountered. It signifies an abstract representation that combines shared characteristics of a pitch, an interval, or a chord. A pc3 combines all E♭s, D♯s, and F♭♭s, regardless of their location on the staff, timbre, or other musical characteristics. The differentiation between pitch and pitch class refers to the distinction between a literal sounding pitch and an abstract pitch class that combines all like-sounding pitches. Think of all the Gs on the piano, for instance: there are seven distinct pitches that are members of the class pc7. Figure 27.2 illustrates notes between C3 and C6, notated as pitches and pitch classes.
+ 
+FIGURE 27.1 Integer Notation
+ 
+FIGURE 27.2 Pitch and Pitch Classes
+Intervals and Interval Classes
+Intervals in atonal music are labeled and measured differently than they are in tonal music. Pitch intervals measure the distance between two pitches. There are two types of pc interval: ordered and unordered. An ordered pc interval occupies the distance between two pitch classes in ascending order or clockwise direction. For instance, an ordered interval between pc1 and pce is 10, and between pce and pc1 is 2. A formula pcy-pcx, where y stands for the second interval out of the two, helps to make those simple calculations. There are 12 ordered pc intervals.
+An unordered pc interval is related to interval classes, which, as the designation "class" implies, represents a further abstraction of intervals. Since each pc interval can be inverted to generate its complement, there are only six interval classes, each combining an interval and its inversion. An unordered pc interval constitutes the smallest interval out of the two. The unordered pc interval between pc1 and pce is 2 because interval class 2, written as ic2, combines two intervals-10 and 2-with the smallest one being chosen. Figure 27.3 illustrates traditional interval names, 12 ordered pc intervals, and six unordered interval classes. We will use unordered pc intervals, or interval classes, when implementing concepts from the atonal music theory.
+ 
+FIGURE 27.3 Ordered and Unordered Intervals
+TRICHORDS
+
+In tonal music, root position triads are considered as being organized in ascending order and in the most intervallically packed manner possible. To figure out the root position of the pitches, F♯, D, and A, for example, put the unordered collection in ascending order: D, F♯, A, or [269] using integers. For the purpose of representing atonal relationships changing the order in which pitches occur is allowed. In other words, a trichord in root position is analogous to the most packed arrangement of pitches of that trichord in ascending order, or any other trichord or pitch-class set (henceforth, pc set) of any cardinality. Cardinality refers to the number of pitches, without pitch duplicates, occurring within the set. The trichord [269] is said to be in the normal form, which represents the unordered collection of pitches: F♯, A, and D. The normal form refers to the most intervallically packed arrangement of pitches in ascending order of a pc set of any cardinality.
+When examining the intervallic content of [269], notice the interval classes 4 and 3 between the adjacent pairs of pitches: pc6-pc2=ic4 and pc9-pc6=ic3. What does the intervallic content of a pc set tell us? It tells us whether the pc set is symmetrical or not and whether the trichord [269] has an inversional partner or not. The intervallic content of [269] can be written as ic<43>. Note that square brackets are used to represent the normal form of a pc set and pointed brackets to represent the intervallic content of a pc set. The trichord [269] comprises two different interval classes: ic4 and ic3, which means that [269] is asymmetrical and has an inversional counterpart. How do we determine which trichord is inversionally related to [269]? The easiest and quickest way is to reverse the order of interval classes from ic<43> to ic<34>. When we represent ic<34> as a pc set starting on pc4, for instance, the result yields the following set: E, G, and B or [47e]. Notice that [47e] is a minor triad and the original set [269] is a major triad. In atonal music theory, these two normal forms: [269] and [47e] belong to the same set class. This conclusion is based on the fact that the intervallic content of two sets [269] and [47e] is exactly the same. Remember that in atonal music, the order in which intervals and pitches occur within a set does not affect the interpretation of that set.
+In atonal music theory the difference between major and minor qualities is of little significance, simply because major and minor triads, as well as other formations-dominant 7th and half-diminished 7th chords-are inversionally equivalent and belong to the same set class. When the adjacent intervals of [269], ic<43> and [47e], ic<34> are compared, it is immediately evident that these two trichords are identical in terms of their unordered intervallic content. To figure out the next and final level of abstraction of a pc set called the prime form, (1) put an unordered pitch collection in the normal form, and (2) calculate the intervallic content of that set. Based on this information, examine whether a pc set has an inversional partner or not. If it does, compare their intervallic content to determine which one is the most packed. Finally, select the most packed set and transpose it to pc0. Prime form or set class always starts on pc0 and its pc content is written in parenthesis.
+The pc set [47e] is more intervallically compressed than its inversional partner, [269]. When the [47e] is transposed to pc0, the prime form is obtained. When we speak of (037) as the prime form, we are referring to an abstract entity-a set class-that contains 24 distinct normal forms: 12 transpositionally related [037]s with ic<34> and 12 inversionally related [047]s with ic<43>. Each one starts on a different pitch of the chromatic scale, known as the aggregate. Think about 12 unique major and minor triads as belonging to a single set (037). In the case of symmetrical trichords, such as (024), whose intervallic content yields ic<22>, the set class (024) contains only 12 distinct [024]s built on each note of the aggregate. The (024) is symmetrical and the inversion in pitch-class space yields the same pc set.
+Methodology for Figuring Out Normal and Prime Forms
+1.Translate any unordered collection of pitches to pitch classes.
+2.Put pitch classes in ascending order in the most packed arrangement (i.e. root position formation).
+3.The resulting pc set is in the normal form, which accounts for the actual sounding, yet unordered pitches of that set.
+4.Figure out the unordered intervals (i.e. interval classes) between adjacent pitch classes and determine whether that set has an inversional partner or not.
+5.If the answer is yes, select the one that is the most packed in ascending or descending direction.
+6.Transpose the most packed set to pc0.
+7.The resulting set is in prime form.
+8.The prime form is synonymous with set class.
+9.Depending on the intervallic content of a pc set, the prime form might include 24 transpositionally and inversionally pc sets, or 12 transpositionally related pc sets only.
+"Clock Face" as a Visual Aid to Identify Sets
+Figure 27.4 shows a "clock face" that expedites the process of calculating normal and prime forms. Since the clock face has 12 positions corresponding to the 12 pitch classes, it can be quickly drawn and used to locate the pitch classes of a set.
+Given pc7, pc2, and pc6, for instance, it is easy to determine the most packed arrangement of these notes simply by visually examining the set. When examining the collection clockwise (ascending order), notice that by starting at two o'clock, pc2, then moving to six o'clock, pc6, and finally to seven o'clock, pc7, we get the normal form: [267] with ic<41>. Counterclockwise examination (descending order) starting at seven o'clock, pc7, however, reveals an even more packed intervallic arrangement: the unordered interval between pc7 and pc6 yields ic1, and between pc6 and pc2 is ic4. To calculate the prime form, then, we basically assign pc0 to pc7 and count counterclockwise to determine the integers of the remaining pitch classes: pc6 becomes pc1, and pc2 becomes pc5. Set class (015) is the prime form of [267]. That method is much faster and, with some practice, it speeds up the translation of any pc set to normal or prime forms. To generate the prime form, then, assign a movable pc0 to the first note of the most packed arrangement of pitch classes and figure out the position of the remaining pitches. Figure 27.5 demonstrates this process on a clock face.
+ 
+FIGURE 27.4 The "Clock Face"
+ 
+FIGURE 27.5 Prime Form on the "Clock Face"
+FAMILIES OF TRICHORDS
+
+One of the most remarkable things about set classes is their reductive power and ability to represent a vast array of harmonic structures using only one set class. This means that endless configurations of three unordered pitches can be reduced to the 12 distinct transpositionally and inversionally related set classes shown in Figure 27.6.
+
+
+ 
+FIGURE 27.6 Families of Trichords: Integer Notation
+
+
+These set classes are compartmentalized into four unique families of trichords that share certain intervallic features and suggest a possible membership in specific harmonic environments. The "diatonic" family of trichords comprises two pc sets: (025) and (027). In addition to their independent status, these and other trichords are thought of as subsets of larger supersets, such as pentatonic, hexatonic, modal, and octatonic scales, which in itself is an important characteristic that may be explored in improvisation and composition. Even though they are labeled as "diatonic," (025) and (027) can intersect with more chromatic supersets as well. The whole-tone family includes three set classes: (024), (026), and (048), all of which intersect with the whole-tone scale. The "triadic" family of trichords features two set classes: (036) and (037). The most complex family of trichords is the semitone family. The label "semitone" indicates that these set classes include ic1 in their pitch structure. The presence of ic1 in the semitone family of trichords makes them very attractive in jazz. The semitone family includes five set classes: (012), (013), (014), (015), and (016).
+Figure 27.7 translates the integers from Figure 27.6 into pc sets (written in bold), analyzes the intervallic structure of each trichord, and shows inversionally related sets (written in square brackets).
+HARMONIC POTENTIAL OF TRICHORDS
+
+There are 12 transpositionally and inversionally related set classes. When transpositionally related trichords are the only consideration, the number of available trichords expands to 20, as shown in Figure 27.8. The top row compiles 12 transpositionally and inversionally related trichords; the top and bottom row combines 20 transpositionally related trichords.
+This section demonstrates the harmonic interpretation of 20 pc-set complexes. A pc-set complex includes one of 20 transpositionally related trichords and demonstrates how it can function as rootless/incomplete and upper-structure formations. The resulting formations bridge the gap between upper-structure triads discussed in Chapter 14 and other three-note collections.
+
+
+ 
+FIGURE 27.7 Families of Trichords: Pitch Notation
+
+
+ 
+FIGURE 27.8 Transpositionally and Inversionally Related Trichords
+"Diatonic" PC-Set Complexes
+Figure 27.9 demonstrates four pc-set complexes-[025], [035], [027], and [057]-as complete and upper-structure formations. Since each trichord has two rotations, one can freely experiment with them to produce different chord voicings. In the forthcoming examples, accidentals apply only to the note to which they are attached and do not carry across the measure.
+The number of chords that can use "diatonic" sets as upper structures is truly impressive. Because these sets are closely related to one another-[025] and [027] share two pitches in common-they often participate in similar harmonic environments. Frequently used as a quartal structure, [027] constitutes a neutral formation that participates in three pairs of dominant 7th chords, with each pair belonging to a different minor 3rd cycle. Rarely is such a pliable upper structure found. As mentioned before, [025], [035], [027], and [057]-and all the remaining trichords-are very effective as rootless formations. Making them work as such requires an understanding of their functionality. For instance, [025] in B♭Maj9 exhibits different characteristics than it does in A♭Maj13(♯11). In the former, [025] functions as a major 9th, a major 3rd, and a perfect 5th; in the latter, it functions as a major 3rd, a ♯11th, and a major 13th.
+
+
+  
+FIGURE 27.9 "Diatonic" PC-Set Complexes
+Whole-Tone PC-Set Complexes
+Figure 27.10 illustrates four pc-set complexes-[024], [026], [046], and [048]-as complete and upper-structure formations.
+The whole-tone family of trichords shows an impressive collection of chords, particularly in the dominant 7th category. Since the whole-tone trichords are subsets of the whole-tone scale, the [024], [026], and [048] trichords participate in some form or another in every dominant 7th chord built on each scale degree of the corresponding whole-tone scale. The [046] trichord can even function as an upper structure in dominant 7th chords, which is derived from two different whole-tone scales, thus showing even greater harmonic flexibility.
+
+
+  
+FIGURE 27.10 Whole-Tone PC-Set Complexes
+"Triadic" PC-Set Complexes
+Figure 27.11 illustrates three pc-set complexes-[036], [037], and [047]-interpreted as complete and upper-structure formations.
+
+
+  
+FIGURE 27.11 "Triadic" PC-Set Complexes
+In the case of [037]s and [047]s, you may have recognized the familiar upper-structure triads from Chapter 14. Here, however, the situation is reversed: a single "triadic" trichord functions as an upper structure of different dominant 7ths as opposed to a single dominant 7th supporting different upper-structure triads. By investigating how a single triad can support different chord types, their flexibility and function may be fully appreciated in jazz harmony.
+Semitone PC-Set Complexes
+Figure 27.12 demonstrates nine pc-set complexes-[012], [013], [023], [014], [034], [015], [045], [016], and [056]-analyzed as complete and upper-structure formations.
+In the case of [012], which constitutes the most chromatic trichord, there are far fewer harmonic options than there are for the other types of semitone trichord. The [012] trichord can function as an embellishing formation that inflects different chords chromatically. Because of the highly chromatic nature that [012] projects, successful implementation of the trichord depends on the way it is articulated or orchestrated. With [013]s, so-called add note chords are introduced; they typically include notes that, under normal circumstances, are excluded from the structure of chords. The A♭Maj7(add4) chord, for instance, includes a perfect 4th, a note that is usually avoided in common jazz harmonic practice. The [045] trichord implemented as an upper structure of min7(♭5) chords has very interesting properties. Whereas in Dmin9(♭5), [045] functions in a traditional manner in Amin7(♭5), it creates a lot of chromatic tension and requires a resolution to more stable tones. Because of their unique intervallic structure, [016] and [056] are more fitting in the context of dominant 7th chords rather than other chords. In fact, [056] can occur in as many as ten different dominant 7ths. The pitch content of these dominant 7ths contains two "forbidden" notes: a perfect 4th and a major 7th.
+    
+FIGURE 27.12 Semitone PC-Set Complexes
+In semitone (as well as other) pc-set complexes, conceptions of what constitutes consonance and dissonance are highly fluid, contextual, and subjective. Even though some of the chords do not sound syntactic in the tonal jazz sense, a Persichetti-esque caveat that "any note can sound simultaneously with any other note" can be invoked to justify the structure and sound of these formations.
+MODAL POTENTIAL OF TRICHORDS
+
+Figure 27.13 illustrates selections of trichords derived from the diatonic and chromatic modes. Not only do these trichords project the sound of the mode, they can also be horizontalized as motives and developed using different techniques of motivic transformations.
+  
+FIGURE 27.13 Trichords in Diatonic and Chromatic Modes
+TRANSPOSITION AND INVERSION OF SETS
+
+The [025] and its inverse [035] are related by T5I, which means that if you want to map the members of the first set on to the members of the second, a compound transformation called an inversion (TnI) must be used. The operation first inverts [025] around 0, and then transposes each member by +5. When using a mirror inversion you basically flip members of a pc set to the other side of the clock face. Pitch class 0 inverts on to itself; pc2 inverts on to pct; and pc5 inverts on to pc7. The inverted pitch classes are subsequently transposed clockwise by the so-called index number-5, in the present example-to arrive at [035]. Therefore, pc0 becomes pc5 of [035]; pct (inverted pc2) becomes pc3 of [035]; and pc7 (inverted pc5) becomes pc0 of [035]. Inversion is a compound operation that involves two steps: (1) the inversion around 0, and (2) clockwise transposition of the inverted set by a specific index number.
+When comparing [025] and [035], notice the first member of [025] or pc0 maps on to the last member of [035] or pc5, the second member of [025] or pc2 maps on to the second member of [035], and the last member of [025] or pc5 maps on to the first member of [035]. These mappings are the consequence of mirror inversion. Given the two sets [025] and [035], or any pair of inversionally related sets, it is easy to determine the index number simply by figuring out the sum between integers of two sets: 0+5=5, 2+3=5, and 5+0=5. When comparing two inversionally related sets, the first member of the first set is added to the last member of the second, the second member to the second, and the third to the first.
+Transposition (Tn) is a single-step operation that maps the first member of the set on to the first member of the second set, second to second, etc. When you compare two transpositionally related sets to determine the level of transposition or index number, subtract members of the first set from the members of the second. For instance, [247] and [t03] are members of (025) and are related by transposition. To calculate the level of transposition (index number), subtract 2 from t=8, 4 from 0=(‒4) 8, and 7 from 3=(‒4) 8. Notice that, in two instances, negative integers are obtained: 0‒4=‒4 and 3‒7=‒4. In these cases, apply the mod 12 operation that brings integers less than 0 and greater than 11 to the pitch-class space between 0 and e.
+AURAL IDENTIFICATION OF TRICHORDS
+
+Aural identification of pc sets helps to develop a more abstract way of hearing melodic and harmonic trichords. It removes them from the confines of tonality and places them in a tonally neutral environment without any recourse to familiar tonal traits (such as the role of the governing tonic or the referential sound of scale degrees with their functional implications). The prerequisite for pc-set recognition is the ability to identify intervals and interval classes. The correct recognition of interval classes within a pc set helps to figure out the normal form. This step rearranges unordered pitches and translates them into pitch classes. The next step is more abstract and involves translating normal forms to prime forms. As a practice routine, select a trichord and experiment with different pitch configurations of that trichord, which might include a transposition, reordering, and/or octave displacements, etc. You will be amazed at the number of possibilities and how different all these configurations sound.
+In the online WORKBOOK, you are asked to identify melodic and harmonic trichords. Given the pitches C♯5, F4, E4, for instance, the following steps are recommended:
+1.Identify interval classes between adjacent pitches. The interval class between the first and second pitch is ic4 and between the second and third pitch is ic1. Remember that you might hear the interval between C♯5 and F4 as a descending major 6th and between F4 and E4 as a descending minor 2nd. As ordered intervals they yield int4 and int11, but as unordered intervals (i.e. interval classes) they yield ic4 and ic1. We are interested in the latter.
+2.Notate pitches: C♯5, F4, and E4 as integers: C♯5=pc1, F4=pc5, and E4=pc4.
+3.With unordered pitch classes: pc1, pc5, and pc4, put them in ascending order: pc1, pc4, and pc5. That is the normal form [145], written in square brackets.
+4.Based on the interval content of pc set [145], ic<31>, you can see that the set can be inverted and that the inversional partner is more intervallically packed, ic<13>.
+5.Assign pc0 to the first pitch of the most packed arrangement (i.e. start at pc5 and move counterclockwise).
+6.The prime form of a [145] is (014).
+To expedite the process of pc-set recognition, locate the pitch classes on the clock face. You will immediately see that the counterclockwise arrangement of pitches counting from pc5 produces the prime form (014).
+When played simultaneously, the pitches C♯5, F4, and E4 produce a certain harmonic sound that is unique to (014). Similarly, other set classes exhibit harmonic characteristics that are unique across the multitude of diverse pitch configurations that can occur within the boundaries of a particular set class. The ability to identify that unique sound greatly improves your ear and sharpens your overall harmonic sensitivity.
+NOTES
+
+1. Milton Babbitt's "Set Structure as a Compositional Determinant" (1961), and Allen Forte's "A Theory of Set-complexes for Music" (1964) and The Structure of Atonal Music (1973) are considered pioneering works that introduced many of the concepts discussed here.
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+CHAPTER TWO
+The Major Scale and the IIVI Progression
+ Modes of the Major Scale
+ The IIVI Progression
+ Voice Leading
+ The Cycle of Fifths
+ Other Common Chord Progressions
+ The Locrian Mode and the HalfDiminished Chord
+ Modal Jazz
+Play the music shown in the first three figures and listen to the sound of the IIVI progression1 Figure 21 is a IIVI in the key of E from Victor Youngs Stella By Starlight2 Figure 22 is a IIVI in the key of D from Miles Davis Tune Up3 Figure 23 shows two IIVI progressions from John Coltranes Giant Steps4 the first in the key of G the second in the key of B
+
+  There are lots of chord progressions but IIVI is the most common chord progression jazz musicians play The original source of the II V and I chords are the modes of the major scale
+
+Modes of the Major Scale
+Think of modes this way The C major scale has seven different notes and you can play the scale starting on any one of its seven notes This means that there are really seven different C major scalesone that starts on C one on D one on E one on F and so on through B Each mode has a Greek name shown to the right of the mode The Roman numerals I through VII shown to the left of each mode correspond to the modal name on the rightI is Ionian II is Dorian III is Phrygian and so forth This is the same in every major key
+
+
+  Greek modal names are not esoteric they are everyday terms that jazz musicians use For example you might hear a conversation like this
+First musician
+
+Whats the chord in the second bar
+Second musician
+
+F Lydian
+ The Ionian Mode and the Major 7th Chord
+  From the modes come seventh chords You construct seventh chords by playing every other note of each mode Every other note will be the root 3rd 5th and 7th of the resulting chord These notes are called chord tones because they define the qualitymajor minor dominantof each seventh chord
+
+  In the Ionian mode of the C major scale shown here every other note has been boxed the boxed notes forming the seventh chord shown on the right The boxed notes are the first third fifth and seventh notes of the mode and are also the root 3rd 5th and 7th of the chord
+  Figure 26 shows a C major 7th chord A common symbol for this chord is the triangle as in C5 This chord is called major 7th because of the intervalic relationships between the root of the chord and its 3rd and 7th Major 7th chords have a major 3rd a perfect 5th and a major 7th Because this chord is built off of the first mode it is called a I chord
+
+ The Dorian Mode and the Minor 7th Chord
+  The second or Dorian mode of the C major scale runs from D to D as shown in figure 27 The boxed notesthe first third fifth and seventh notes of this modeagain form a chord in this case the D minor 7th chord shown on the right
+
+  The most common symbol for a minor chord is the dash so this chord is notated D76 This chord is called minor 7th because of the intervalic relationships between the root of the chord and its 3rd and 7th Minor 7th chords have a minor 3rd a perfect 5th and a minor 7th Because this chord is built off of the second mode it is called a II chord
+
+ The Mixolydian Mode and the Dominant 7th Chord
+  Skip now to the fifth or Mixolydian mode which runs from G to G Figure 29 shows this mode with the first third fifth and seventh notes boxed to form G dominant 7th the chord on the right The name of this chord is usually shortened to G seven and is notated G7 This chord is called dominant 7th because of the intervalic relationships between the root of the chord and its 3rd and 7th Dominant 7th chords have a major 3rd a perfect 5th and a minor 7th as shown in figure 210 Because this chord is built off of the fifth mode it is called a V chord
+
+  Figure 211 shows an example of the Mixolydian mode The first eight notes of Freddie Hubbards tune Philly Mignon7 named for drummer Philly Joe Jones ascend the G Mixolydian scale
+
+  The first eight notes of Sonny Rollins PentUp House8 ascend the D Mixolydian scale as shown in figure 212
+
+  The I II and V chordsmajor 7th minor 7th and dominant 7thare the three most commonly played chords in jazz Since each chord has a perfect 5th there are chords with a 5 or 5 which well soon get to the 3rd and 7th are the variables They determine whether the chord is major minor or dominantthat is they determine whats called the quality of the chord The following rules sum up the differences between the three chords
+ Major 7th chords have a major 3rd and a major 7th9
+ Minor 7th chords have a minor 3rd and a minor 7th10
+ Dominant 7th chords have a major 3rd and a minor 7th
+The IIVI Progression
+The I II and V chords often occur as a IIVI chord progression the most common chord progression played in jazz The chords in the previous examplesD7 G7 and Care the IIVI progression in the key of C Can you find IIVI in the key of F Heres how to do it The second fifth and first notes of the F major scale are G C and F The II chord is always a minor 7th chord the V chord is always a dominant 7th chord and the I chord is a major 7th chord The IIVI in the key of F is G7 C7 F Think through the IIVI in every key you dont need your instrument to do this
+
+  IIV doesnt have to end with I as in the IIV changes in the first four bars of Richard Rodgers I Didnt Know What Time It Was figure 213
+
+  And VI doesnt have to be preceded by II as in the VI at the beginning of Bob Haggarts Whats New figure 214 Also II chords V chords and I chords often occur randomly seemingly unconnected to the chords around them as in the progression shown in figure 215
+  Open your fake book11 and select an easy tune like Just Friends Satin Doll or Tune Up Analyze each chordis it a II chord A V chord A I chord
+
+Look for IIV VI and IIVI progressions Remember these rules
+ Minor 7th chords are II chords
+ Dominant 7th chords are V chords
+ Major 7th chords are I chords
+  You may see some chords with unfamiliar chord symbolssus 9 11 5 alt  and so on Not to worry well get to them soon
+  Figure 216 shows the changes to Just Friends Each chord has been analyzed to determine whether it is a II V or I chord The figure also shows which key each chord is from Notice how often Just Friends modulates from one key to another The first two chords are a VI in the key of C followed immediately by a IIV in B You play the two chords in parentheses in the last bar only when youre going back to the top and playing another chorus they are called a turnaround Along with the first chord back at the beginning of the tune they form another IIVI
+
+
+  Other good tunes to analyze include All The Things You Are Tune Up Soul Eyes I Thought About You Satin Doll and Perdido Again ignore any and all alterations to the chords that you see9 9 11 5  13 alt and so forth Well get to these soon
+Voice Leading
+In figure 217 notice that as you go from the II chord to the V chord to the I chord the 7th of each chord resolves down a half step and becomes the 3rd of the next chord This is basic voice leading Voice leading is the direction a particular note wants to go Its almost as if there is a gravitational or magnetic pull on the 7th urging it to resolve down a halfstep If you are a horn player improvising behind another horn player whos playing the melody playing the 7th and resolving it down a half step provides an instant background line for the soloist
+
+  Play the music shown in figure 218 the third and fourth bars of Thelonious Monks Round Midnight Hear the 7th of each II chord resolve down a half step becoming the 3rd of the V chord
+
+
+  Play the music from figure 219 The top line is what Donald Byrd plays on two bars of IIV progressions on his tune Low Life12 Jackie McLean plays the lower line resolving the 7th of each II chord down a halfstep to the 3rd of each V chord
+The Cycle of Fifths
+Go over the IIVI progressions in every key and memorize them When they learn something in every key most jazz musicians use the cycle of fifths as shown in figure 22013
+
+  The cycle of fifths is an arrangement of all 12 notes of the chromatic scale each note a 5th lower than the preceding one As you go around the cycle think of each note as representing a key the key youre going to practice in next Start with the key of C at the top of the circle and move counterclockwise through the keys of F B E and soon14
+  You should use the cycle when you practice because it approximates real life Most chord movement within tunes follows portions of the cycle For instance the roots of a IIVI progression follow the cycle In the key of C the roots of the IIVI D7 G7 C are D G and C which follow each other counterclockwise around the cycle In F the roots of the IIVI G7 C7 F are G C and F and they too follow each other around the cycle
+  Figure 221 shows the changes for the first few bars of Jerome Kerns All The Things You Are Notice how the roots of the chords form fragments from around the cycle of 5ths
+
+Other Common Chord Progressions
+Although IIVI is the most common chord progression played by jazz musicians there are several other commonly played progressions we need to examine
+ V of V
+  V of V means a dominant chord resolving down a 5th to another dominant chord as in C7 F7 Sometimes you will see several V chords in a row following each other counterclockwise around the cycle of fifths The quintessential example is the bridge of George Gershwins Ive Got Rhythm with four V chords in a row each resolving down a 5th figure 222 Notice how the roots of the chords go counterclockwise around the cycle D G C F
+
+
+  Play figure 223 and hear how Cedar Walton played nine V of V chords around the cycle in the last few bars of his version of Albert Hagues Young And Foolish15 The roots of all nine dominant 7th chordsA D G C F B E A and Dfollow each other counterclockwise around the cycle Dont be confused by the lack of a root on the bottom of Cedars chordsthis is a good introduction to the rootless voicings that jazz pianists often play
+ IVIIIV
+  One of the most common chord progressions in jazz is IVIIIV The original first four chords of George Gershwins Ive Got Rhythm are a IVIIIV C A7 D7 G7 as shown in figure 22416 We havent talked about the VI chord yet so lets take a look at it In the key of C the sixth note is A Playing the C major scale from A to A gives us the A Aeolian mode which is shown in figure 225 Putting a box around every other note gives us a chord with a root minor 3rd perfect 5th and a minor 7than A minor 7th chord the VI chord in the key of C
+
+
+  The VI chord derived from the Aeolian mode has a minor 3rd a perfect 5th and a minor 7th Structurally it is identical to the II chord derived from the Dorian modeboth are minor 7th chords When we study all seven notes of each mode in Chapter 3 however you will find a great difference between the Dorian and Aeolian chords
+  Todays players usually play a dominant 7th chord rather than a minor 7th chord as the VI chord in a IVIIIV They would play IVIIIV in the key of C as C A7 D7 G7 figure 226 Playing A7 instead of A7 gives the progression a stronger sense of resolution going to D7 and there are far more opportunities to alter dominant 7th chords than there are to alter minor 7th chords
+
+ IIIVIIIV
+  A common variation of IVIIIV is IIIVIIIV a chord progression often used in turnarounds In the key of C this would be E7 A7 D7 G7 We havent looked at the third mode yet the source of the III chord so lets do so in figure 227
+
+  Putting a box around every other note gives us a chord with a root minor 3rd perfect 5th and minor 7th an E7 chord the III chord in the IIIVIIIV progression in the key of C
+  The III chord derived from the Phrygian mode is structurally identical to the II and VI chords derived from the Dorian and Aeolian modes All three appear to be minor 7th chords When you study all seven notes of each mode in Chapter 3 however you will find that the Phrygian mode is played most often on an entirely different chordone that isnt even a minor 7th chord
+  As in the IVIIIV progression the VI chord in a IIIVIIIV is more often played as a dominant chord as on bars 7 and 8 of Jimmy Van Heusens Polka Dots And Moonbeams figure 228
+
+
+  You can also reharmonize all four chords of a IIIVIIIV as dominant chords Kenny Barron does this at the end of the first eight bars of Jimmy McHughs On The Sunny Side Of The Street17 Figure 229 shows the original seventh and eighth bars Figure 230 shows Kennys reharmonization using four dominant chords in a row Because each V chord resolves to a V chord a 5th below this progression could also be called a V of V of V of V but thats a mouthful
+Kenny Barrons piano voicings simplified
+
+ IIIIIIIV and the Lydian Mode
+  Playing the first four diatonic chords of a key is a common progression Play figure 231 and listen to two bars of Jerome Kerns Im Old Fashioned as John Coltrane18 played them using a diatonic IIIIIIIV progression
+  We havent talked about the IV chord yet so lets take a look at it In the key of C the fourth note is F Playing a C major scale from F to F would gives us the F Lydian mode which is shown in figure 232 Putting a box around every other note gives us a chord with a root major 3rd perfect 5th and major 7than F chordthe IV chord in C major and the IV chord in the IIIIIIIV progression in Im Old Fashioned
+
+
+  There is an altered note implied in the F Lydian mode B the raised 4th of an F chord Just take note of it for now and well go into it in more depth in Chapter 3
+  IIIIIIIV is often played by pianists and guitarists when a major 7th chord lasts two bars The chord in the seventh and eighth bars of Jerome Kerns All The Things You Are is just C To provide some contrast and movement you could ascend IIIIIIIV and then turn around and descend IIIIII as youll hear when you play figure 233
+
+  Play figure 234 and youll hear how Coltrane deceptively used a IIIIIIIV progression to modulate from E into another key on Moments Notice19 The expected IV chord would be A but Coltrane played A7 instead resolving it to D7 the IIV in G
+
+ IIV
+  Major chords are often followed by chords a 4th up Sometimes the chord a 4th up will be a major chord as shown in figure 235 where Bobby Hutcherson follows B with E in the first bar of Victor Youngs My Foolish Heart20
+  Sometimes the chord a 4th up following a major chord will be a dominant chord as in bars 7 and 8 of Stella By Starlight where E is followed by A7 figure 236 Theres another example in Willard Robisons Old Folks where B is followed by E7 figure 237
+
+
+
+The Locrian Mode and the HalfDiminished Chord
+Theres one mode we havent looked at yet the seventh or Locrian mode Figure 238 shows the B Locrian mode from the key of C Putting a box around every other note gives us a chord unlike all the others weve checked out so fara chord with a root minor 3rd flatted 5th and minor 7tha B75 chord the VII chord in the key of C The chords derived from the other six modes all had perfect 5ths but a perfect 5th above B would be F a note outside the key of C Locrian is the only mode with a flatted 5th B75 is a rather long chord symbol and most musicians today notate it as B or B halfdiminished Halfdiminished means a minor 7th chord with a flatted 5th Well explore the halfdiminished chord more in Chapter 3
+
+Modal Jazz
+A good definition of modal jazz is few chords lots of space The term came into use after the release of Miles Davis album Kind Of Blue in 195921 The quintessential modal tune from that album is So What a song with only two chords the changes of which are shown in figure 239
+
+  Modal tunes provided much more space for improvising on each chord compared to previous jazz tunes and standardsup to 24 bars on D7 in So What for example from the last 8 bars through the first 16 bars Because of this it was natural for musicians to focus on the scale or mode of each chord rather than on the chord itself Thus although the two chords in So What are D7 and E7 musicians are more apt to be thinking D Dorian and E Dorian when improvising Historically this caused a seismic shift among jazz musicians away from thinking vertically the chord and toward a more horizontal approach the scale
+  An earlier Miles Davis tune Milestones22 1958 was based on just three chords Other tunes that got players thinking about scales and modes rather than chords include John Coltranes Impressions23 based on the changes to So What Coltranes version of Richard Rodgers My Favorite Things24 and Freddie Hubbards Little Sunflower25
+  So far weve covered all of the major scale modes but only as a source of chords We examined their chord tones onlyroots 3rds 5ths and 7ths In the next Chapter youll examine all seven notes of each mode and discover how you use the modes to improvise over chords
+Why Scales
+A revolution took place in jazz in the 1950s and 1960s one almost as important as the bebop revolution of the early 1940s but overlooked by most historians Jazz musicians began to think horizontally in terms of scales as much as they did vertically in terms of chords
+  Heres a little history as to why this came about In the early days of jazz there were no courses in improvisation jazz theory and the like because there werent any jazz schools1 Musicians improvised mainly off the melody of a tune and off the notes of the chords Thinking about a chord went something like this On a D7 chord play DFAC the root 3rd 5th and 7th of the chord In the 1930s a more advanced musician such as Duke Ellington Coleman Hawkins Art Tatum or Lester Young might say you can also play EGB the 9th 11th and 13th of a D7 chord Look at figure 31 all the notesthe root 3rd 5th 7th 9th 11th and 13thof a D7 chord
+
+  Jazz education has come a long way since then but most musicians still play the same notes on a D7 chord What has changed is the way we think about the notes Were less likely to think of them as a series of 3rds Because we learned the alphabet as ABCDEFG and so on its not easy to think of every other letter of the alphabet as in DFACEGB And because we learned numbers sequentially as 1234 and so forth its not easy to think of every other number as in 135791113 Fortunately its easy enough to rearrange the notes so they are sequential
+  Look back at figure 31 Take all seven notes and put them in the same octave as shown in figure 32 Arrange them in a scale and you have the seven notes of the D Dorian scale or mode shown to the right A scale is much easier to remember than a series of 3rds The reason jazz musicians think of scales or modes when they improvise is because its easier than thinking in terms of chords
+
+  The word scales has a negative connotation for many people because it conjures up an image of drudgeryendlessly and mindlessly practicing many hours every day to learn your scales Youll certainly have to practice scales so you can use them when you improvise but the best jazz musicians reach a point where they think of a scale not as doremifasol but rather as an available pool of notes to play on a given chord
+  In addition most beginning jazz musicians assume that since there seem to be zillions of chords there must be zillions of scales Wrong You can interpret almost all chord symbols using just these four scales2
+ The major scale
+ The melodic minor scale
+ The diminished scale
+ The wholetone scale
+  As you can see in figure 32 the notes in an extended D7 chord are exactly the same as the notes in the D Dorian mode Remember this because although everybody uses the expression play this scale on that chord as if the scale and the chord were two different things the scale and the chord are two forms of the same thing Start thinking of chord symbols as scale symbols or even better as chordscale symbols
+  Since were going to be thinking of scales and chords as two forms of the same thing lets review the rules for the three basic chords major 7th minor 7th and dominant 7th The same rules will apply for most scales
+ The major 7th chord has a major 3rd and a major 7th3
+ The minor 7th chord has a minor 3rd and a minor 7th4
+ The dominant 7th chord has a major 3rd and a minor 7th
+  All three chordsmajor 7th minor 7th and dominant 7thhave a perfect 5th
+Major Scale Harmony
+Because you can play more than one scale on a given chord the scales presented here are in the category of basic first choices Different musicians may play different scales on the same chords Charlie Parker and John Coltrane two giants of jazz played different scales on halfdiminished chords Keep an open mindand open ears
+
+
+  Look at the Major Scale Harmony chart figure 33 You learned about the major scale in Chapter 2 but only checked out the root 3rd 5th and 7th of each mode to discover what chord is derived from that mode In this chapter youll learn about all seven notes of each mode this time from the point of view of improvisation as well as chord formation In the process youll learn more chords played by jazz musicians In addition youll learn how musicians use chord symbols not only to denote the chord to be played but also to indicate what scale to play on that chord Finally youll learn about extensions 9ths 11ths 13ths and alterations 9 9 11 5 13
+  Extension numbers are always confusing at first Look at figure 34 which shows a D7 chord E the 9th of the D7 chord is a 2nd above D is it not G the 11th is a 4th above D And B the 13th is a 6th above D Why not call E G and B the 2nd 4th and 6th Because chords are usually built in 3rds and to keep this continuity going numbers bigger than 7 are needed Here are a few simple rules to memorize
+
+ The 9th of a chord is the same note as the 2nd
+ The 11th of a chord is the same note as the 4th
+ The 13th of a chord is the same note as the 6th
+ The Ionian Mode and the Major 7th Chord
+  Figure 33 shows the C major scale in all its modes Ionian Dorian Phrygian Lydian and so on Lets look at the first or Ionian mode which goes with some kind of C chord What kind of a 3rd and 7th does it have Because it has a major 3rd and a major 7th its the mode for a C chord
+  The major scale can sound majestic like Joe Henderson as he plays an F major scale lick on Lee Morgans Hocus Pocus5 figure 35 It can sound playful as Woody Shaw does playing the G major scale on Booker Ervins Lynns Tune6 figure 36 It can sound effusive as Booker Ervin does playing the E major scale on his cadenza on Charles Mingus SelfPortrait In Three Colors7 figure 37
+
+
+
+ The Dorian Mode and the Minor 7th Chord
+  Now look at the second or Dorian mode in figure 33 which runs from D to D It goes with some kind of D chord Because it has a minor 3rd and a minor 7th its the mode for a D7 chord
+ The Mixolydian Mode and the Dominant 7th Chord
+  Skip now to the fifth or Mixolydian mode in figure 33 which runs from G to G Because it has a major 3rd and a minor 7th its the mode for a G7 chord
+  To sum up these are the modes to play over D7 G7 C the IIVI progression in the key of C
+ On a D7 chord play the D Dorian mode
+ On a G7 chord play the G Mixolydian mode
+ On a C chord play the C Ionian mode
+  At this point the logical question is Why bother with modes Since D Dorian G Mixolydian and C Ionian are all just different forms of the C major scale why not just think play in C major on D7 G7 C
+ Avoid Notes
+  Good question Go to a piano and play a root position C chord with your left hand while playing the C major scale with your right hand as shown in figure 38 There is a note in the scale that is much more dissonant than the other six notes Play the same chord again with your left hand while you play the 4th F with your right hand Hear the dissonance This is a socalled avoid note Play the chord again this time playing a short run in the right hand with F in the middle of it as shown in figure 39 The dissonance is hardly noticeable this time because F is now a passing note and is not struck or held against the chord Avoid note is not a very good term because it implies that you shouldnt play the note at all A better name would be a handle with care note Unfortunately thats not as catchy so Ill reluctantly stick with the term avoid note
+
+
+  By the way dont think of consonance as good and dissonance as bad Dissonance makes music interesting providing tension resolution and energy The creative use of dissonance might be a good way to describe the entire evolution of Western music8 The context often determines how much dissonance you play The 4th on a major 7th chord is often played as a deliberate dissonance usually resolving to the 3rd just below The first note in the ninth bar of Victor Youngs Stella By Starlight is E the 4th of a B chord an avoid note Play figure 310 and youll hear this starkly dissonant E the 4th resolve immediately to D the major 3rd of B
+
+  If youre playing an outside or free piece or one where there is a long section of a major chord the 4th might just be the most interesting note you could play
+  Before the bebop era most jazz musicians played the 4th of a major chord as a passing note only Charlie Parker Bud Powell Thelonious Monk and other pioneers of bebop often raised the 4th as shown in figure 311 in their improvising chord voicings and original tunes Its hard to believe now but the raised 4th was a very controversial note during the 1940s People actually wrote letters to Down Beat magazine about it saying things like the beboppers are ruining our music and jazz is dead9
+
+  The raised 4th is notated here as 4 but many musicians call it 11 instead remember the 4th and the 11th are the same note Until the 1960s most musicians called it a 5 but as more and more jazz musicians started thinking of scales while improvising the term 5 gave way to 4 or 11 As you can see in figure 312 the 4th of the C major scale has been raised rather than the 5th lowered
+
+ The Lydian Mode and the Major 7th4 Chord
+  The new scale or mode shown in figure 312 is the same as the G major scale except that it starts on C the fourth note of the G major scale The mode starting on the fourth note of any major scale is called the Lydian mode which makes this the C Lydian mode Even though the chord symbol reads C4 youre actually playing in the key of G Learn to think key not chord as much as possible
+  You dont have to wait to see 4 in a chord symbol to play a raised 4th on a major 7th chord You can play it on almost any major 7th chord Well almost A Lydian chord would probably sound out of character on a pop tune I almost said on a Beatles tune but Oliver Nelson used Lydian chords in his arrangement of John Lennon and Paul McCartneys Yesterday10 One place to play a raised 4th on a major 7th chord making it a Lydian chord is when the major 7th chord is acting like a IV chord If a IIVI in C D7 G7 C is immediately followed by F the IV chord in C major F4 is probably going to sound good figure 313 Your fake book may not show the 4 because its optional
+
+  Play figure 314 from Woody Shaws Katrina Ballerina11 and listen to Woodys use of Lydian chords
+
+
+  Take a look at figure 315 the last eight bars of Joe Hendersons Black Narcissus12 All the chords in these 8 bars are major 7th4 or Lydian chords Youd need three hands to play this example so ask a horn player to play Joe Hendersons melody line while you play the piano part
+  Jazz musicians usually think of Lydian chords as being very modern but George Gershwin used a Lydian chord as the first chord in the bridge of Someone To Watch Over Me which was written in 1926 And the chord in the sixth bar of Happy Birthday written in 1893 is a Lydian chord figure 316
+
+
+  Look again at the fourth or Lydian mode in the major scale harmony chart shown again here as figure 317 What kind of 3rd and 7th does it have Because it has a major 3rd and a major 7th it must go with an F chord If you saw the chord symbol F however the first scale you would think of would be the F major scale How does the F Lydian mode differ from the F major scale Instead of a B F Lydian has a B natural or a raised 4th so 4 has been added to the chord symbol
+  Look again at the fifth or Mixolydian mode shown again here as figure 318 The Mixolydian mode is also known as the dominant scale Play a root position G7 chord with your left hand while playing the G Mixolydian mode in your right hand as shown in figure 319 There is another avoid note here C the fourth note of the mode Its also called the 11th remember the 4th and the 11th are two names for the same note
+
+
+  Play C with your right hand while playing G7 with your left hand as shown in the second bar of figure 319 Youll hear the dissonance Again if you play C as a passing note youll hardly notice any dissonance Youll hear it only if you hold C against a G7 chord And dont forget that the context will decide whether or not you play C on a G7 chord You might specifically want to play something dissonant or you might want to play the 11th and then resolve it down a half step to the 3rd as in the example from Stella By Starlight Remember not to think of dissonance as bad Dissonance is not a pejorative term its a musical device you can use when appropriate
+
+  As with the avoid note on the I chord most prebebop jazz musicians played the 4th on a dominant 7th chord strictly as a passing note Bird Bud Monk and other innovators of the bebop era often raised the 4th on a dominant chord as in figure 320 The chord is notated here as G711 Some musicians write this chord as G74 the 4th and the 11th are the same note Until the 1960s it was usually called a 5 However that term has slowly given way to 11 or 4 As you can see in figure 321 the fourth note of the mode has been raised rather than the fifth note lowered
+
+  The early bebop masters raised the 4th on dominant 7th chords in their improvisations their chord voicings and their compositions Figure 322 shows Bud Powells 11 on an F7 chord in his tune Bouncin With Bud13
+
+  Note that this new scale is not derived from any major scale It has one accidental C but there is no major scale with a key signature of C only At this point weve left major scale harmony and moved on to another type of harmony based on an entirely different scale the melodic minor scale Melodic minor harmony will be covered later in this chapter
+
+ The Mixolydian Mode and the Sus Chord
+  Look at the last line of figure 33 shown again here as figure 323 The fifth or Mixolydian mode appears again here but this time with a new chord symbol Gsus G Mixolydian is the scale or mode that is usually played over a Gsus chord The difference between G7 and Gsus the two chords that share the same G Mixolydian mode is as follows Pianists and guitarists voice sus chords so that the 4th doesnt sound like an avoid note A good definition of a sus chord is a V chord in which the 4th doesnt sound like an avoid note
+
+
+  The sus in the chord symbol refers to the suspended 4th of the chord in this case the note C In traditional harmony the 4th of a sus chord usually resolves down a half step to become the 3rd of a dominant 7th chord figure 324 In contemporary music the 4th often doesnt resolve which gives sus chords a floating quality
+
+  On the piano play the G Mixolydian mode first over the Gsus chord voicing in the left hand and then over a G7 chord figure 325 and youll hear the difference Play the C by itself over each chord figure 326 and the difference is more pronounced
+  Sus chords have been an everyday sound in jazz only since the 1960s although Duke Ellington and Art Tatum were playing them in the 1930s and 1940s Play figure 327 and youll hear the Asus chord Tatum played on the intro to Jerome Kerns Why Was I Born14
+
+  This is not a piano book but because students of all instruments constantly ask how do you voice a sus chord Ill show you how Figure 328 shows a common Gsus voicing This is a simple voicing play the root G with your left hand while playing the major triad a whole step below the root in this case F major with your right hand Note that the triad is in second inversion meaning that the 5th of the triad C is on the bottom instead of the root F Triads often sound strongest in second inversion Note how smoothly this voicing resolves to the C chord
+
+  Play figure 329 and listen to another common Gsus voicing resolving to C The notes in the Gsus chord are the same as they were in figure 328 except for the added E the 13th of Gsus Figure 330 shows the same four notes in the Gsus chord but in a different inversion resolving smoothly to C Gsus resolves just as smoothly to C as G7 does Sus chords function as V chords
+
+
+  One of the first songwriters to use sus chords was Leonard Bernstein His Some Other Time written in 1944 alternates major 7th and sus chords figure 331 Bill Evans echoed this chord progression 25 years later when he played virtually the same piano voicings both on his and Tony Bennetts recording of Some Other Time15 figure 332 and on his own Peace Piece16 figure 333 as well as on Miles Davis Flamenco Sketches17
+
+  You might see this same Gsus chord notated as G7sus4 Gsus4 FG FG or D7G The last three variations are slash chords the left part of the symbol indicating to a pianist what chord is to be played over the bass note indicated in the right part of the symbol FG describes exactly whats happening in figure 328 an F triad played over G Well cover slash chords thoroughly in Chapter 5
+
+  D7G describes the function of the sus chord because a sus chord is like a IIV progression contained in one chord The IIV progression in the key of C is D7 G7
+
+  Two songs did a lot to popularize sus chords among jazz musicians John Coltranes Naima18 and Herbie Hancocks Maiden Voyage19 Play figure 334 and listen to the sound of the Etsus chord in the first bar of Naima In addition Coltrane used sus chords in his recording of Jerry Brainins The Night Has A Thousand Eyes20
+
+  Maiden Voyage recorded in 1965 was a revolutionary tune because it consisted almost entirely of sus chords Herbies vamp on the first two bars is shown in figure 335 The Dsus chord is voiced with a C major triad in the right hand which is a whole step down from the root D One note in the triad has been doubled to strengthen the voicing
+
+  An earlier use of sus chords was Miles Davis version of Dave Brubecks In Your Own Sweet Way21 Miles added an 8bar interlude section played on both the head and on the solos which alternated Asus and A711 chords Miles Flamenco Sketches22 recorded in 1959 uses sus and sus9 chords Well cover sus9 chords soon
+
+  Other important tunes that helped introduce sus chords were Coltranes Mr Day23 a blues consisting mainly of sus chords and Hank Mobleys This I Dig Of You24
+  A persistent myth is that the 4th takes the place of the 3rd in a sus chord This was true at one time but in the 1960s a growing acceptance of dissonance led pianists and guitarists to play sus voicings with both the 3rd and the 4th Play figure 336 and youll hear the Fsus chord that Wynton Kelly plays at the beginning of Miles Davis recording of Someday My Prince Will Come from Miles 1961 album of the same name Note that Wynton plays both the 3rd A and the 4th B in his voicing Note also that Wynton plays the 3rd above the 4th Jazz pianists often include the 3rd in sus chords as youll hear when you play the voicings shown in figure 337 Note that the 3rd is always above the 4th
+
+  You could play the 4th above the 3rd as in figure 338 but the result would be a much more dissonant chord What makes this chord so dissonant is the interval between B and Ca minor 9ththe last dissonant interval
+
+  The entire history of Western music can be characterized as the gradual acceptance of dissonant intervals In the Middle Ages writing a tritone in a piece of Church music could get you excommunicated or worse Chords containing minor 2nds and major 7ths were relatively rare in classical music until the late nineteenth century In jazz these same two intervals were considered too dissonant until the 1930s If you listen to records from that decade youll hear lots of major 6th chords and very few major 7th chords The major 7th chord made its first appearance in jazz with the music of Duke Ellington in the 1920s but it wasnt commonly played until the 1940s25 The natural 9th of a halfdiminished chord was considered a nono until fairly recently The minor 9th still sounds pretty dissonant to most ears but is slowly evolving into a consonant interval
+  Thelonious Monk was playing major 7th chords with the interval of a minor 9th figure 339 in the 1940s but Monk at that time was considered pretty out and although admired was rarely copied Another chord with a minor 9th is the pretty voicing for a D7 chord shown in figure 340 It has a minor 9th between E in the bass clef and F in the treble clef
+
+
+  In a tune like Maiden Voyage where the harmony consists entirely of sus chords there is always the danger that the harmony will become too static and the music will lose its momentum In a case like this you might want to use dissonance and playing the 4th above the 3rd creating a minor 9th may not sound quite so harsh by the third or fourth chorus Let your taste be your guide
+ The Phrygian Mode and the Sus9 Chord
+  Play figure 341 and listen to the sound of Phrygian harmony The figure shows the first few bars of Kenny Barrons Golden Lotus26 The Dsus9 chord is from the Phrygian or third mode of the key of B
+
+
+  Figure 342 shows another example of Phrygian harmony This music is from Kenny Dorhams beautiful ballad La Mesha27 The Fsus9 chord is from the Phrygian or third mode of the key of D
+  Look back at the third or Phrygian mode of C major shown again here as figure 343 which runs from E to E This mode and its chord are very deceptive Because it has a minor 3rd and a minor 7th this mode appears as though it would be played over an E7 chord C the 6 of E7 sounds very dissonant against the chord as youll hear when you play figure 344 You usually play C on E7 only in diatonic progressions such as IIIVIIIV E7 A7 D7 G7 in C major where the C in the E7 chord is played only as a passing note The Phrygian mode is usually played not over minor 7th chords but over sus9 chords
+
+
+  As you learned earlier when comparing II V and I chords the most important notes in a chord the ones that distinguish one chord from another are usually the 3rd and 7th The notes most often played on a sus9 chord however are the root 9 4th 5th and 7thas in the Esus9 chord shown in figure 34528
+
+
+  Sus9 chords are a relatively new sound in jazz harmony introduced in the compositions of Kenny Dorham John Coltrane McCoy Tyner and Wayne Shorter in the 1960s As usual Duke Ellington anticipated everyone else by several years Play figure 346 This is from Dukes Melancholia29 recorded in 1953 The Asus9 chord is from the Phrygian mode of the E major scale30
+  Play figure 347 and listen to the melodic sound of Phrygian harmony Freddie Hubbard plays this line in his solo on Dolphin Dance31 The Dsus9 chord is from the Phrygian mode of the B major scale
+
+  A beautiful example of Phrygian harmony is the Esus9 chord that McCoy Tyner improvises over during the intro to John Coltranes After The Rain32 figure 348 Coltrane and McCoy also play Phrygian scales on sus9 chords on Coltranes Crescent33
+
+
+
+  There are lots of other examples Figure 349 shows the Esus9 chord from Wayne Shorters haunting slow waltz Penelope34 Kenny Barrons Gichi35 has a long vamp on an Esus9 chord figure 350 Wayne Shorters beautiful ballad Infant Eyes36 has an Esus9 chord figure 351 McCoy Tyners Search For Peace37 has Gsus9 chords on the bridge figure 352
+  An early example of extended soloing on sus and sus9 chords was Wynton Kellys playing on Fsus and Fsus9 chords on the intro interludes and ending of Miles Davis recording of Someday My Prince Will Come38
+
+
+
+  Some bass players prefer tuning their instrument to an Asus9 chord the Phrygian chord from the key of F rather than A the traditional tuning note Many a gig starts with the bassist saying to the pianist give me an Asus9 chord Figure 353 shows a typical tuning note piano voicing for an Asus9 chord Sus9 chords like other sus chords usually function as V chords and tend to want to resolve down a 5th Listen to how smoothly Asus9 resolves to D in figure 354
+
+  Miles Davis Flamenco Sketches39 has an eightbar section over a D pedalpoint On his first chorus Miles plays the D Phrygian mode over this section as shown in Figure 355
+  Sus9 chords are often played in place of sus chords dominant 7th chords and IIV progressions Well get to this in Chapter 14 Advanced Reharmonization Also a scale other than Phrygian is often played over sus9 chords as youll learn in this chapters section on melodic minor harmony
+rhythm approximate
+
+ The Aeolian Mode
+  Aeolian is the sixth mode of the major scale The Aeolian mode is often called the natural minor scale Aeolian chords are rarely played The bridge of Miles Davis Milestones40 consists of a single chord A Aeolian Aeolian chords are rarely specifically called for and there is some confusion over exactly what constitutes an Aeolian chord and when to play an Aeolian scale Because the Aeolian mode is the sixth mode of the major scale it is sometimes played over the VI chord in a IVIIIV progression C A7 D7 G7 or a lllVIllV progression E7 A7 D7 G7 In practice modern jazz musicians play the VI chord as a dominant chord C A7 D7 G7 most of the time
+  One reason often given for playing the Aeolian mode on a VI chord is that it allows you to stay in the same key over all four chords of a IVIIIV This is a lazy musicians approach and lacks the melodic options provided by playing a dominant chord as the VI chord with all of its possibilities 9 alt 9 11 and so on instead of as a minor 7th chord
+
+  When the 5th of a minor chord moves up chromatically to a 6 the resulting minor 6 chord is a very effective place to play the Aeolian mode Figure 356 shows how Kenny Barron uses this idea in the second and fourth bars of his tune Sunshower41 Kennys tune also sounds like a IIV progression in a minor key so it could alternately be notated A DA Another place you could play Aeolian harmony is on the C6 chord on the second bar of the bridge of Fats Wallers Aint Misbehavin figure 357
+
+ The Locrian Mode and the HalfDiminished Chord
+  Look at the seventh or Locrian mode in figure 33 shown again here as figure 358 This mode has a minor 3rd and a minor 7th so it goes with a B7 chordwith a difference It also has a flatted 5th F is a 5 above B All the other major modes have a perfect 5th The chord symbol for this mode is B shorthand for B75 and called B halfdiminished Halfdiminished means a minor 7th chord with a flatted 5th
+
+
+  Play figure 359 Listen to the C the second note in the mode noting how dissonant it sounds over the B chord C is the 9 of the chord The 9 of a halfdiminished chord is another avoid note When the early bebop masters did think of a scale for a halfdiminished chord Locrian was their usual choice although Bud Powell often played the harmonic minor scale on halfdiminished chords There is another mode found in melodic minor harmony covered in the next section of this chapter that sounds good on halfdiminished chords and has no avoid note Some musicians play the Locrian mode others the mode from melodic minor harmony on halfdiminished chords Many musicians play both so you have a choice For now suspend judgement until we get to that other halfdiminished mode
+  To sum up the preceding All the chords from the key of C majorC D7 Esus9 F4 G7 Gsus A6 Bshare the same C major scale
+
+ Mastering the IIVI Progression
+  Because the IIVI progression is so important a good way to start out is by practicing the modes on those chordsDorian Mixolydian and Ionianin all keys Then pick some easy tunes from your fake book ones with simple chords no altered notes such as 9 11 5 or alt yet and play the appropriate mode over each chord As an example figure 360 shows the first two bars of Sammy Cahns I Should Care
+
+  Its time to move on to a type of harmony more exotic than anything the major scale has to offer one that typifies the sound of modern jazz the melodic minor scale
+Melodic Minor Scale Harmony
+Play the music in figure 362 and listen to the sound of melodic minor harmony This is a IIVI progression but each chord is derived not from the major scale but from the melodic minor scale
+
+
+
+  Look at figure 363 the chart called Melodic Minor Scale Harmony Like the major scale the melodic minor scale is a sevennote scale and has seven modes see the Roman numerals to the left of each mode The only difference between the C melodic minor scale and the C major scale is that the melodic minor scale has an E a minor 3rd Thats the only difference between the major scale and the melodic minor scalethe melodic minor scale has a minor 3rd43
+  However melodic minor harmony sounds completely differentmuch darker and more exoticthan major scale harmony The melodic minor scale has greater melodic and intervalic possibilities than the major scale Lets take a look at one reason why
+  A diatonic 4th is the interval between every 4th note within a key In the key of C major the intervals between C and F D and G E and A F and B G and C A and D and B and E are all a diatonic 4th apart as shown in figure 364 Notice that I didnt say perfect 4th The major scale has two kinds of diatonic 4ths perfect 4ths and an augmented 4th or tritone F to B is a tritone not a perfect 4th but F is a 4th from B within the key Remember diatonic means within the key
+
+
+  Melodic minor harmony has three kinds of 4ths perfect 4ths two tritones and a major 3rd Say what How can a 3rd be a 4th Look at figure 365 The last diatonic 4th shown between B and E sounds like a major 3rd but diatonically within the key is a 4th
+
+  Play and listen to the difference between the almost identical diatonic 4th pattern first on C and then on C a melodic minor chord in figure 366 Do you hear how different melodic minor harmony sounds than major scale harmony
+ The MinorMajor Chord
+  Look back at the melodic minor scale harmony chart again The first mode shown here as figure 367 goes with some kind of C chord because it runs from C to C It has a minor 3rd and a major 7th hence the name minormajor chord Two common chord symbols for a C minormajor chord are C and C744
+
+  Unlike a minor 7th chord which functions as a II chord a minormajor chord functions as a minor I chord also called a tonic minor chord
+  Play the music shown in figure 368 the first few bars of Gigi Gryces Minority45 The first chord is an F minormajor chord F from the F melodic minor scale
+
+
+  Play figure 369 The first chord in Horace Silvers Nicas Dream46 is a B minormajor chord B from the B melodic minor scale The second chord A is from the A melodic minor scale Play figure 370 The first two chords in Billy Strayhorns Chelsea Bridge47 are the minormajor chords B and A Play figure 371 The first two chords of Wayne Shorters Dance Cadaverous48 are the minormajor chords B and C
+
+
+  Minormajor chords are often played as a substitute for minor 7th chords Play figure 372 the first few bars of George Gershwins Summertime Now play figure 373 and youll hear the richer darker flavor of a minormajor chord
+
+  The clue for when you can do this is very simple If a II chord is not part of a IIV progression you can usually substitute a minormajor chord for a minor 7th chord For example if F7 is not followed by B7 then you can usually substitute F for F7 The one exception is when the minor 7th is the melody note Keep in mind that you dont have to make this substitution It just adds a different flavor And make sure not to overdo ituse taste
+
+  When improvising on minormajor chords you play the minormajor mode the first mode of the melodic minor scale
+ The Sus9 Chord
+  Play figure 374 and listen again to the sound of the Fsus9 chord from Kenny Dorhams beautiful ballad La Mesha49
+
+  When you improvise over sus9 chords you have a choice of two different scales the third or Phrygian mode of the major scale which you learned about earlier in this chapter or the second mode of the melodic minor scale
+
+  Figure 375 shows these two scales played over the Fsus9 chord Play the chord while holding down the sustain pedal50 of the piano and then play the first scale the F Phrygian mode the third mode of D major Now do the same with the next scale the second mode of E melodic minor The only difference between the two scales is that F Phrygian has D a flat 6th and the melodic minor mode has D a natural 6th Listen to the difference one note makes The D natural is much more dissonant
+  Now lets look at the second mode from the melodic minor scale harmony chart shown here as figure 376 This scale which runs from D to D has a minor 3rd and a minor 7th suggesting that you would play it over a D7 chord The E in the scale would be the 9 of the D7 chord however and playing a 9 over a minor 7th chord sounds very dissonant figure 377 The second mode is usually played not over minor 7th chords but over sus9 chords
+
+
+  The most important notes in a chord the ones that distinguish one chord from another are often the 3rd or 7th The most important notes of the melodic minor sus9 chord however are the root 9 4th and 6thas in the Dsus9 chord shown in figure 37851 The following sus9 chord examples are voiced with this combination of notes Play figure 379 and listen to Mulgrew Millers Bsus9 chord on Anthony Newleys Who Can I Turn To52 Play figure 380 and listen to the Dsus9 chord from David Liebmans Picadilly Lilly53 David notates this chord as E55D Play figure 381 five bars of Wayne Shorters beautiful waltz Dance Cadaverous54 Listen to the Fsus9 chord in the second bar and the bass line descending an E melodic minor scale from G to C All of the chords except for the E7 chord are derived from the E melodic minor scale
+
+
+
+  When improvising you play the second mode of the melodic minor scale on sus9 chords
+ The Lydian Augmented Chord
+  Play figure 382 which shows part of the bridge of Duke Pearsons You Know I Care55 and listen to the A5 chord which can also be notated as CA This is the sound of Lydian augmented harmony
+
+
+  Now consider the third mode from the melodic minor scale harmony chart shown here as figure 383 This mode runs from E to E and goes with some kind of E chord Because it has a major 3rd and a major 7th it suggests an E chord Normally if you saw an E chord symbol youd think of the E major scale How does this mode differ from E major It has both a raised 4th A natural and a raised 5th B natural The complete chord symbol would be E45 Jazz musicians usually dont like complicated symbols and the commonly used shorthand symbol for this chord is E5
+
+  The 3rd 5 and 7th of this E5 chord form a G major triad which explains why it is sometimes notated as a slash chord in this case GE as shown in figure 384 Well cover slash chords thoroughly in Chapter 5
+
+  Play figure 384 and listen to the difference between the two GE voicings In the second bar the G triad is played in second inversion Triads generally sound stronger when played in second inversion
+  The term for 5 chords and the third mode of the melodic minor scale is Lydian augmented The term Lydian augmented is descriptive Lydian is the term used with chords with a raised 4th and augmented is the term used with chords with a raised 5th as in an augmented triad
+  Jazz musicians didnt start playing Lydian augmented chords with any frequency until the 1960s but Bud Powell played an A5 chord in his great composition Glass Enclosure56 recorded in 1951 figure 385
+  When improvising you play the Lydian augmented mode the third mode of the melodic minor scale on major 7th5 chords
+
+ The Lydian Dominant Chord
+  Play figure 386 and listen to the sound of Lydian dominant harmony These three bars with the A711 Lydian dominant chord in the third bar are from Victor Youngs Stella By Starlight
+
+  Now look at the fourth mode from the melodic minor scale harmony chart shown here as figure 387 Because this mode runs from F to F it goes with some kind of F chord Because it has a major 3rd and a minor 7th it appears to be a dominant 7th chord suggesting a chord symbol of F7 If you saw an F7 chord symbol on a lead sheet you would normally think of F Mixolydian the fifth mode of the B major scale How does this mode differ from F Mixolydian It has a B natural a raised 11th therefore 11 has been added to the chord symbol
+
+  The name of this mode and its chord is Lydian dominant Again this is a descriptive term Lydian refers to the chords raised 11th Dominant refers to its function because it has a major 3rd and minor 7th
+
+  Play figure 388 the first four bars of Tadd Damerons Our Delight57 and listen to the D711 Lydian dominant chord in the third bar Play figure 389 from Horace Silvers Nicas Dream58 Listen to the E711 Lydian dominant chord Nicas Dream is harmonically a very sophisticated tune The E711 chord is followed first by Asus9 then by CD a slash chord and then by an Asus chord
+
+
+  We usually think of the Lydian dominant chord as being modern but C711 is the first chord in the verse of Richard Rodgers Little Girl Blue which was written in 1935 figure 390
+  When improvising you play the Lydian dominant mode the fourth mode of the melodic minor scale on dominant 7th11 chords
+ The Fifth Mode of the Melodic Minor Scale
+  The fifth mode of the melodic minor scale is rarely played Analyzing this mode in the traditional way demonstrates the limitations of traditional theory Figure 391 shows a G scale whose chord tonesGBDF the root major 3rd perfect 5th and minor 7thsuggest a G7 chord The E in the scale would be the 13 of the chord suggesting a chord symbol of G713 This creates all sorts of problems however Both C and Ethe 11th and 13will sound like avoid notes if played against a G7 chord figure 392 The truth is this mode is seldom played Most jazz musicians when they see the chord symbol G713 improvise either on the altered scale or the wholetone scaletwo scales well get to soon
+
+  When a true fifth mode melodic minor chord is played it is almost always a minormajor chord with the 5th in the bass as in CG A good example is found on Wayne Shorters Penelope59 Herbie Hancock reharmonizes a D major chord on his solo on Penelope as G minormajor over a D pedal GD as shown in figure 393 Because D is the 5th of G melodic minor this creates a chord based on the fifth mode of G melodic minor Chords built off of the fifth mode of melodic minor function as tonic minor chords
+
+
+  Through much of Bobby Hutchersons great arrangement of Burton Lanes Old Devil Moon60 McCoy Tyner and Herbie Lewis play the vamp shown in figure 394 Bobby improvises mostly on the B melodic minor scale over the E7F chord figure 395 creating a BF chordthat is a chord based on the fifth mode of B melodic minor
+McCoy Tyners piano voicings simplified
+
+  Kenny Barrons beautiful reharmonization of Richard Rodgers Spring Is Here has a fifth mode melodic minor chord figure 396 The complete version of Kennys Spring Is Here is shown in Chapter 16
+
+  Because it is so rarely played the chord of the fifth mode of the melodic minor scale has no universally accepted chord symbol In C melodic minor notating it as a slash chord CG is probably pretty safe
+Kenny Barrons piano voicings simplified
+
+ The HalfDiminished Chord
+  Play figure 397 and listen to the sound of the halfdiminished chord A from the sixth mode of C melodic minor is the first chord of McCoy Tyners Search For Peace61
+
+  Now lets look at the sixth mode from the melodic minor scale harmony chart shown here as figure 398 Because this mode runs from A to A it goes with some kind of A chord Since it has a minor 3rd and a minor 7th it appears to be a minor 7th chord suggesting a chord symbol of A7 If you saw an A7 chord symbol you would normally think of A Dorian the second mode of the G major scale The mode shown here is obviously not from G major since it has an E and an F notes not found in the key of G How does the sixth mode differ from A Dorian It has a 5 E and a 6 F This suggests a chord symbol of A756
+
+  But remember most jazz musicians prefer to simplify complex chord symbols The traditional symbol for this chord omitting the 6 is A75 Most musicians go even further using the shorthand symbol A or A halfdiminished62 The symbol A756 has seven bits of information for the left side of your brain to process A75 has five bits A has only two bits When youre playing a fast tune with lots of changes short and simple chord symbols can make life much easier Because it has a minor 3rd and a minor 7th the halfdiminished chord functions as a II chord
+  The halfdiminished mode is often called the Locrian 2 mode because the only difference between it and the Locrian mode is the second note The halfdiminished mode has a natural 2nd or 9th unlike the Locrian mode which has a flatted 2nd or 9 Figure 399 shows both the A Locrian mode and the A halfdiminished mode As you can see the only difference between the two is a single noteB in the Locrian mode B natural in the halfdiminished mode
+
+  Play figure 3100 and listen to the difference between a 9 and natural 9 played over a root position A chord Hear the difference Which do you like best The B sounds fine when played as a passing note but is very dissonant when struck or held on the  chord It sounds like an avoid note The B natural on the other hand is arguably the prettiest note you can play on an A chord
+
+  Almost all of the early bebop musicians played the Locrian mode on halfdiminished chords and it is still the first choice of many musicians for minor 7th 5 chords From the 1960s on however the trend has been toward playing the sixth mode of melodic minor on halfdiminished chords Many musicians play both For example on a minor IIIVIIIV as in E A79 D G7alt Freddie Hubbard likes to play Locrian on the E chord while playing the halfdiminished mode on the D chord
+  Play figure 3101 the first two bars of Dizzy Gillespies Woodyn You The G chord is from the sixth mode of B melodic minor Play figure 3102 from Victor Youngs Stella By Starlight The C chord is from the sixth mode of the E melodic minor scale
+
+  When improvising you play the halfdiminished mode the sixth mode of the melodic minor scale on minor 7th 5 chords
+
+ The Altered Dominant Chord
+  Play figure 3103 and listen to the sound of the altered dominant chord This three bars is from John Coltranes Moments Notice63 The C7alt chord is derived from the seventh mode of the D melodic minor scale
+
+  Now consider the seventh mode from the melodic minor scale harmony chart shown here as figure 310464 Because this mode runs from B to B it goes with some kind of B chord It appears to have a minor 3rd D but notice that the note after D in the scale E is a major 3rd above B the root E is an enharmonic spelling of D the major 3rd above B Chords usually dont have both a minor 3rd and a major 3rd The true 3rd here is E the major 3rd The D is something else entirely which well get to in a minute
+
+  Along with a major 3rd this mode has a minor 7th A so it must go with some kind of B7 chord If you saw the chord symbol B7 you would normally think of the B Mixolydian mode the fifth mode of the E major scale Since the key signature for E major is four sharps this mode obviously doesnt come from E major
+
+  Now look at figure 3105 which compares the B Mixolydian mode of E major with the seventh mode of C melodic minor Underneath each note is the notes position in a B7 chord Where the B Mixolydian mode has a natural 9th the B altered mode has both a 9 and a 9 the note that looks like the minor 3rd Where the B Mixolydian mode has a natural 11th the B altered mode has a 11 The B Mixolydian mode has a natural 13th the altered mode a 13 B Mixolydian has a 5th B altered has no 5th The complete chord symbol reflecting all of these alterations would be
+
+Can you imagine playing a fast tune and having to read this Again shorthand is called for and the preferred chord symbol is B7alt Alt stands for altered and is also the name of the mode
+  This chord is called altered because as a B7 chord it has been altered in every possible way The 9th has been both lowered and raised the 11th has been raised the 11th cant be lowered because it would then become the major 3rd and the 13th has been lowered the 13th cant be raised since it would then become the minor 7th If you change B the root or E the 3rd or A the 7th you wont have a B7 chord any more Within the confines of B7 the maximum number of alterations have been made
+  Some musicians use the symbols 5 and 5 instead of 11 and 13 And some musicians call this the diminished wholetone scale because it starts out like a diminished scale and ends up like a wholetone scale Both of these scales will be covered later in this chapter
+  Play figure 3106 from Benny Golsons Stablemates The Aalt chord is from the seventh mode of A melodic minor and the C7alt chord comes from the seventh mode of D melodic minor Play figure 3107 from Jimmy Van Heusens I Thought About You65 The E7alt chord is from F melodic minor the D7alt chord from E melodic minor
+
+  When improvising you play the altered mode the seventh mode of the melodic minor scale on altered dominant chords
+
+ The Interchangeability of Melodic Minor Chords
+  All seven of the chords weve examined from melodic minor harmony share the same melodic minor scale This is similar to major scale harmony where in the key of C C D7 Esus9 F4 G7 and B all share the same major scale
+  However there is a very big difference between major and melodic minor harmony For the most part there are no avoid notes in chords from melodic minor harmony The lack of avoid notes means that almost everything in any melodic minor key is interchangeable with everything else in that key Play a lick pattern phrase chord voicing motif and so on on C and it will work as well on Dsus9 E5 F711 A and B7alt
+  Figure 3108 shows in the first bar a common lefthand piano voicing for an F chord Play the voicing with your right hand while playing the root F with your left hand Continue through the next few bars and youll hear that the F voicing sounds just as good as Gsus9 A5 8711 D and E7alt The only real difference between these chords is the root and unless youre a bass player or a pianist playing root position chords there is no difference between any of the chords All of the roots in figure 3108 are also from the F melodic minor scale
+
+  The same is true for licks and melodic phrases Any idea you play on F will work with any other chord from F melodic minor
+  Did you notice that F711 and B7alt are the only dominant 7th chords from C melodic minor Note that the roots F and B are a tritone apart The two dominant 7th chords from melodic minor harmony are a tritone apart Because of the lack of avoid notes F711 and B7alt are essentially the same chord and tend to resolve to the same chords as youll hear in figure 3109 Both F711 and B7alt resolve smoothly to E Ill explain more about this in Chapter 13 Basic Reharmonization
+
+  This interchangeability doesnt work in chords from the major scale As an example although both D7 and C are from the key of C a voicing for D7 wont work for a C chord because D7 has an F the avoid note of a C chord And a G7 chord voicing wont work for a C chord because G7 has an F the avoid note on a C chord
+  If you have a background in traditional theory the idea of interchangeability may force you to do some rethinking about harmony In traditional theory the 3rd and 7th are considered essential notes on dominant 7th chords When you play dominant chords from melodic minor harmony the 3rd or 7th may not have much importance at all Take another look at figure 3108 The B711 voicing has no 3rd D The E7alt voicing has no 7th D Pianists and guitarists regularly play these voicings and I havent heard anyone complain yet Why does this work Again because there are no avoid notes in melodic minor harmony the resulting interchangeability of all the chords means that youre playing the whole melodic minor key much more than any individual chord within it
+
+  This is perhaps the most intriguing thing about melodic minor harmony so lets go through it again Take a look at the piano voicing shown in the bass clef in figure 3110 Play the top four notes with your right hand while playing the root with your left hand The voicing lacks the 7th of the chord when played as C7alt and lacks the 3rd of the chord when played as G711 When you play melodic minor chords because of the lack of avoid notes youre really playing the entire key not just the chord Think key not chord
+  What this all means is that you need to learn the chords from each melodic minor tonality together as a family If you dont youll be unable to quickly scope out a chord progression such as Dalt C G5 A711 Fsus9 E Wow Is that a difficult set of changes Not really All of the chords are from E melodic minortheyre all the same chord Remember think key not chord
+ The Piano is a ColorCoded Instrument
+  Unlike other instruments the piano is colorcoded Notes are either black or white This can make learning melodic minor harmony easier As an example key signatures for pianists generally mean play all the white notes except66 The key signature for F major is one flat B In other words when playing in F major play all the white notes except play B instead of B natural
+  F7alt B5 and E may sound like unrelated chords but theyre not They are all derived from G melodic minor figure 3111 the key signature of which is one flat B and one sharp F Isnt that a weird key signature Perhaps but its very strangeness makes all the chords from G melodic minor easy to remember play all white notes except for B and F As another example D melodic minor is all white notes except for C figure 3112 Again think key not chord
+
+
+  Jazz musicians dont write melodic minor key signatures out but they often think in terms of them when improvising Does anybody actually write melodic minor key signatures Bla Bartk did in his piano work Number 41 from Mikrokosmos67
+ The Minor IIVI and IIV Progressions
+  Play the music shown in figure 3113 the example we started this section with This chord progression is known as a minor IIVI Unlike the IIVI in a major key D7 G7 C in the key of C major a minor IIVI usually consists of a halfdiminished chord an alt chord and a minormajor chord D G7alt C And unlike the major IIVI in which all three chords are derived from the same key D7 G7 and C are all from C major the three chords in a minor IIVI are derived from three different melodic minor scales
+
+  The notes played over the D chord are from F melodic minor the notes played over the G7alt chord are from A melodic minor and the notes played over the C chord are from C melodic minor Again this is radically different from a IIVI in a major key where all three chords share the same scale
+  Wouldnt it be great if there were a scale that worked over D G7alt C a minor IIVI It would be but there isnt one The harmonic minor scale is often mentioned in theory books as being a scale played over a minor IIVI If that were true youd hear the great players playing it a lot but they dont Well show why and also expand on the harmonic minor scale in Chapter 23
+
+  Play figure 3114 This is a minor IIV and if you listen carefully youll hear that both the D phrase in the treble clef and the chord voicing in the bass clef are repeated a minor 3rd up on the G7alt chord A melodic figure repeated at a different pitch is called a sequence Repeating a chord at a different pitch is called parallelism Sequences and parallelism create structure in music and structure makes you sound as though you know what youre doing On a minor IIV anything you play on the halfdiminished chord can be played up a minor 3rd on the alt chord This works because the two chords come from melodic minor keys a minor 3rd apart
+  D is from F melodic minor G7alt from A melodic minor A melodic minor is a minor 3rd above F melodic minor On one level youre just playing D G7alt On a more harmonically sophisticated levelbecause there are no avoid notes and because of the resulting interchangeability of melodic minor chordsyoure playing the keys of F melodic minor and A melodic minor Once again think key not chord By the way these are good piano voicings
+  A minor IIV doesnt necessarily have to resolve to a minor chord It can resolve beautifully to a major 7th chord as well Bob Haggarts Whats New has a G C7alt F progression figure 3115 and the last IIVI of Victor Youngs Stella By Starlight is often played as C F7alt B figure 3116
+
+
+ Characteristic Notes of the Melodic Minor Scale
+  The 3rd 5th 7th and 9th of any melodic minor scale when played together are not found in any other melodic minor key nor any major key diminished scale or wholetone scale They are characteristic of that melodic minor scale only The same is true for the root 3rd 5th and 7th of a melodic minor scale The two combinations are shown in figure 3117 Playing either combination of these four notes immediately establishes the essence of that particular melodic minor key
+
+  Weve now completed the second of the four scales Its time to go on to a rather strange scaleone that has an extra note is totally artificial but has been one of the most common sounds heard in jazz since the dawn of the bebop erathe diminished scale68
+
+Diminished Scale Harmony
+Play the music shown in figure 3118 from Joe Hendersons solo on Duke Pearsons Idle Moments69 This is the sound of diminished scale harmony Play figure 3119 bars 57 from Jimmy Van Heusens Heres That Rainy Day The chords on beats 2 3 and 4 in the D79 bar are from diminished scale harmony
+
+ Whats a Diminished Scale
+  The diminished scale comes in two forms One alternates half steps and whole steps the other alternates whole steps and half steps Figure 3120 shows the two diminished scales The scale in the first bar alternates half steps and whole steps the scale in the second bar alternates whole steps and half steps Notice that both scales have exactly the same notes Every halfstepwholestep scale is the same as a wholestephalfstep scale but starts on a different note
+
+  The diminished scale has two unique characteristics
+ Unlike the sevennote major and melodic minor scales the diminished scale is an eightnote scale
+ Unlike the major and melodic minor scales it is symmetrical That is its interval pattern is regularin this case alternating half steps and whole steps or vice versa
+  By contrast the major and melodic minor scales are asymmetrical For example the steps in the major scale are whole step whole step half step whole step whole step whole step half step figure 3121 an asymmetrical pattern The diminished scales shown in figure 3120 are symmetrical
+
+  Whenever a scale is asymmetrical there are 12 of them like the 12 major and 12 melodic minor scales When a scale is symmetrical there are always fewer than 12 of them For example the chromatic scale is a symmetrical scale constructed entirely of half steps How many different chromatic scales are there Only one A chromatic scale starting on any note has exactly the same notes as a chromatic scale starting on any other note Because diminished scales are also symmetrical there are less than 12 of them How many are there
+  Lets find out Grab your instrument and play the diminished scale shown in the first bar of figure 3120 Start on G and alternate half steps and whole steps Go up one octave and then come down Then play two octaves up and down Play the scale a few more times until youve memorized it Now start a scale on A and again alternate half steps and whole steps This scale has the same notes as the G diminished scale Start on Cagain same notes Start on Eagain same notes The G A C and E halfstepwholestep diminished scales are all exactly the same they just start on different notes figure 3122 Note that the four starting notes of these scalesG A C Eare a minor 3rd apart Thats the most important thing about diminished scale harmony Everything repeats at the interval of a minor 3rd
+
+  Because the G A C and E diminished scales are the same the A B D and F diminished scales will also be the same since they too are a minor 3rd apart Ditto for the A C E and F diminished scales In other words there are only three diminished scales
+ The one that starts on G A C or E
+ The one that starts on A B D or F
+ The one that starts on A C E or F
+  At first this may set your head spinning because it forces you to think in more than one tonality or key at a time After you grasp the principal youll discover that the diminished scale is actually less complicated to play than even the major scale because it has only three keys
+ The HalfStepWholeStep Diminished Scale and the V79 Chord
+  The scale in the first bar of figure 3120 is shown here again as figure 3123 This scale running from G to G goes with some kind of G chord What kind of 3rd and 7th does it have Although B is a minor 3rd above G the next note is B a major 3rd above G As you learned from the altered mode of the melodic minor scale when a scale looks as though it has both a minor and a major 3rd the minor 3rd is really a 9 Since the true 3rd is B a major 3rd above G and F is a minor 7th above G this scale goes with some kind of G7 chord What are the alterations A is the 9 B the 9 C the 11 The complete chord symbol would be G79 9 11 Again we need some shorthand Most jazz musicians write this chord as G79 although G79 is occasionally used
+
+  Like melodic minor harmony diminished scale harmony has no avoid notes As a result everything harmonically contained within this scale is interchangeable chords voicings licks phrases patterns and so on Since the G B C and E diminished scales are identical the G79 B79 C79 and E79 chords are largely interchangeable
+  Play figure 3124 Hear how the fournote motif repeats down in minor 3rds70 Look at the analysis of the motff in figure 3125 Remember in diminished scale harmony everything can be repeated at the interval of a minor 3rd
+
+
+  Figure 3126 shows three more diminished scale licks Each lick consists of a fournote phrase repeated either up or down a minor 3rd
+
+  There are endless diminished scale licks Because their symmetry makes them so perfect these licks sometimes sound mechanical Music like life needs a few jagged edges to be interesting Play figure 3127 and listen to the diminished scale line Herbie Hancock plays on Oliloqui Valley71 Notice the very slight intervalic variation between what Herbie plays in bars 1 and 2 before he descends the scale
+
+  Just as you can repeat licks a minor 3rd away you can also repeat chords a minor 3rd away A few paragraphs back we played figure 3119 bars 57 from Jimmy Van Heusens Heres That Rainy Day The same three bars is shown here again as figure 3128 Note that the chord voicing on the second beat of the D79 bar is repeated up a minor 3rd and then up a minor 3rd again As you can see the chords are just following the melodyF A Cascending in minor 3rds
+
+
+  Play figure 3129 and youll hear a single piano voicing shown in the treble clef sounding like four different V79 chords each a minor 3rd apart as the root in the bass clef moves down in minor 3rds Note that there is no 9 in the D79 chord and theres a 11 in the B79 chord Doesnt the chord symbol say 9 Remember 9 is just a shorthand symbol for all three alterations found in the scale9 9 and 11 The one single voicing shown works for four different V79 chordswhy Because there are no avoid notes in diminished scale harmony
+ The WholeStepHalfStep Diminished Scale and the Diminished Chord
+  Figure 3130 shows the wholestephalfstep diminished scale You play this scale over diminished 7th chords The usual chord symbol for a diminished 7th chord is the root of the chord followed by a small circle The symbol for an F diminished chord is F72
+
+
+  Again because of the lack of avoid notes in the diminished scale everything repeats at the interval of a minor 3rd so F is interchangeable with A B and D Figure 3131 shows the same thing from a different angle a diminished scale with the symbols of each of the eight chords built off the eight notes of the scalefour V79 chords a minor 3rd apart and four diminished chords a minor 3rd apart The roots of all eight chords are shown in the bass clef a voicing that works for all eight chords in the treble clef
+
+  Diminished chords are usually played in place of V79 chords to create a chromatic bass line Play figure 3132 three chords from the bridge of Duke Ellingtons Sophisticated Lady Note the chromatic bass line in the roots of the chordsG G A7
+
+
+  In figure 3133 you can see that the notes of the G chord in Sophisticated Lady are the 3rd 5th 7th and 9 of E79 Normally the dominant 7th chord preceding any A chord would be E7 The G chord is E79 without E the root G is played as a substitute for E79 in order to create a chromatic bass line from G to G to A
+  The same thing happens in Chick Coreas Mirror Mirror73 figure 3134 The G chord is really E79 without E the root In both Sophisticated Lady and Mirror Mirror playing a diminished chord in place of a dominant 7th 9 chord produces a chromatic bass line Whenever you come across a diminished chord in a tune check to see if the root is part of a chromatic bass line Then check whether it is equivalent to the dominant 7th 9 chord a 5th above whatever chord comes next It usually is just that
+
+  And the same thing happens in Ralph Raingers Easy Living Figure 3135 shows the first four bars F is a disguised D79 and G is a disguised E79 Omitting the roots of the V79 chords produces chromatic motion in the bass
+  Early jazz musicians played the diminished scale solely on diminished chords Play figure 3136 and listen to what Art Tatum played on Mort Dixon and Harry Woods Just Like A Butterfly Caught In the Rain74 Following a C chord Tatum plays the first three notes of the B major scale and then continues on with a D halfstepwholestep diminished scale for almost three octaves
+Art Tatums piano voicings simplified
+
+  Beginning with the bebop era jazz musicians began to replace diminished chords with V79 chords G G A7 was replaced by G E79 A7 Few modern jazz musicians actually write diminished chords into their tunes anymore When reading lead sheets of tunes from the 1940s and earlier todays jazz musicians often substitute the V79 chord for the diminished chord
+
+  Kenny Barron does this on his version of Hoagy Carmichaels Skylark75 Figure 3137 shows the original first two bars of the bridge of the tune with the A chord acting like an F79 chord providing chromatic bass motion between A and B7 Figure 3138 shows how Kenny plays F79 in place of A76
+Kenny Barrons piano voicings simplified
+
+
+  Not all diminished chords are disguised V79 chords of the following chord Sometimes a diminished chord is a disguised V79 of the chord after the next chord The second chord in Antonio Carlos Jobims Wave is B B doesnt appear to be a disguised V79 of A7 the following chord However A7 is followed by D7 and A7 D7 is a IIV B is the disguised V A79 of the D7 chord with A7 inserted between the two chords to create a IIV figure 3139
+  Every time you play something from diminished scale harmony youre playing in four tonalities at the same time all of them a minor 3rd apart You cant always assume that the bass player will play the root of the chord so what note the bassist plays underneath can affect the tonality Because bass players often play tritone substitution77 and play passing notes as well as roots the G79 chord you think youre playing may end up sounding like B79 D79 E79 F A B or D depending on what note the bassist plays underneath Not to worry When this happens it wont make you sound bad just different than what you may have expected
+  Because there are no avoid notes in the diminished scale you can play all the notes at once as a chord Play figure 3140 and hear Herbie Hancock play all eight notes of an E halfstep wholestep diminished scale as an E79 voicing on Dolphin Dance78 Because each hand is playing a diminished 7th chord G in the right hand G in the left hand this voicing is called a double diminished chord
+
+ Some Practice Tips
+  Play each diminished scale both halfstepwholestep and wholestephalfstep around the cycle of fifths As you play each scale think of all the other chords that share that same scale Make up some diminished scale phrases using the everything repeats at a minor 3rd method After youve done this for a while invent some new phrases trying not to repeat phrases a minor 3rd away Also try creating phrases repeating at the interval of two minor 3rds a tritone as in figure 3141
+
+  Weve now completed three of the four scales from which most of the chords played by jazz musicians are derived Theres only one to go and its the simplest and least played of the four scales the wholetone scale
+WholeTone Scale Harmony
+Play the music shown in figure 3142 McCoy Tyners intro on Wayne Shorters JuJu79 and listen to the sound of wholetone scale harmony Play figure 3143 from Freddie Hubbards solo on Duke Pearsons Gaslight80 and listen to an example of improvising on the wholetone scale
+McCoy Tyners piano voicings simplified
+
+
+  Figure 3144 shows the G wholetone scale running from G to G81 Look at the 3rd and 7th of the scale Because this scale has a major 3rd and a minor 7th it goes with a G7 chord The alterations are C the 11 and D the 5 The complete chord symbol would be G7115 The traditional shorthand for this chord is G75 often written with a plus sign as in G7 and occasionally written as G 7 G 7 may be confusing because the  refers to the 5th not shown in the chord symbol and has nothing to do with the 7th Because 5 and 13 are enharmonic G75 is sometimes notated G713 which is kind of dangerous To most musicians 13 also implies 9 and 9in other words G7alt To be safe stick to G75
+
+  Because the wholetone scale is symmetrical consisting entirely of whole steps you know that as with the diminished scale there are fewer than 12 of them In fact there are only two wholetone scales The G wholetone scale shown in figure 3144 has exactly the same notes as the A B C D and F wholetone scales The A wholetone scale is the same as the B C D E and F wholetone scales These notes are all a whole step apart from each other The most important thing to know about wholetone harmony is everything can be repeated at the interval of a whole step
+  There are no avoid notes in wholetone harmony so everything is interchangeable within the harmony of a given scale Anything you play on G75 will sound good on A75 B75 C75 D75 and F75
+  Of course if you can repeat something a whole step away you can also repeat something in multiples of whole steps Two whole steps is a major 3rd three whole steps is a tritone four whole steps is an augmented 5th and five whole steps a minor 7th Play figure 3145 from Jackie McLeans solo on Lee Morgans Our Man Higgins82 an example of repeating a phrase at the interval of a major 3rd which is two whole steps The melody of John Coltranes One Down One Up83 is based on descending major 3rds from the B wholetone scale figure 3146
+
+
+  Wholetone harmony can be very boring so its not played all that much No matter how you rearrange the notes there are no minor 2nds minor 3rds perfect 4ths perfect 5ths major 6ths or major 7ths possible in wholetone harmony Wholetone harmony lacks half of the intervals that occur in Western music Because of this potential for boredom wholetone harmony is best played in short doses
+  With the generous variety of chords available in the major melodic minor and diminished scales you can convey a wide range of emotions You can easily express happiness and calm major 7th chords triumph major triads darkness sadness or mystery almost anything from melodic minor harmony tension dominant 7th chords extreme tension diminished chords and more With the wholetone scale the emotional range is largely limited to enchantment or as one musician notsocynically suggested Bambi emerging from the forest at dawn The exception was when Thelonious Monk played the wholetone scale More on Monk in a bit You could look through 100 tunes in a fake book and find only one or two with a wholetone chord
+
+
+  Because of this sameness of sound tunes with mostly wholetone harmony are rare Good examples are the aforementioned JuJu figure 3147 shows the first four bars One Down One Up Our Man Higgins figure 3148 shows the first two bars and Bix Beiderbecks In A Mist84
+  Many jazz musicians will substitute an alt chord for a wholetone chord G75 is often played on bar 17 of Stella By Starlight figure 3149 but many musicians prefer G7alt instead figure 3150 Bar 32 of All The Things You Are has a B75 chord figure 3151 but most musicians prefer to play B7alt figure 315285
+
+
+
+
+  Figure 3153 shows three licks on a G75 chord The symmetry and lack of intervalic variety can make it difficult to be original when playing on wholetone chords The most inventive improviser on wholetone chords was Thelonious Monk He could play patterns that would sound like cliches coming from anyone else His solo on Evidence86 is one of the best examples of soloing over wholetone chords Printing a wholetone excerpt from one of Monks recordings wont convey Monks sound at all His quirky and angular sense of time gave what can be a very boring type of harmony a tremendous feeling of energy Go get the record and listen
+
+  Youve now learned about all four of the scales youll need under your fingers to play over chord changes The next question is how to practice them And you dont just want to practice them but to internalize them to the point where they become an available pool of notes on which to improvise
+______________________________
+CHAPTER FOUR
+How To Practice Scales
+Now that you know your scales how do you practice them Mindlessly running up and down scales may be great for your technique but it wont make you a better jazz musician First of all make this rule your credo Practice everything in every key There may not be many tunes written in D G or B but IIVI progressions in those keys are all over the place And there are some great tunes in those socalled hard keys Billy Strayhorns Lush Life1 is in D as are Edgar Sampsons Stompin At The Savoy2 and Johnny Greens Body And Soul3 Freddie Hubbards version of Clare Fischers Pensativa4 and Joe Hendersons Y Todavia La Quiero5 are in G and Coltranes Giant Steps6 is in B
+  The traditional classical method of practicing scalesrunning up and down one or more octaveswont do much to improve your skills as an improviser Because youre always starting on the root reversing directions on the root and ending on the root youre using only a fraction of the possibilities inherent in each scale Beginning jazz musicians often sound like the music shown in figure 41 on their first attempt at playing a IIVI starting each scale on its root
+
+  This is OK for a start but music doesnt always begin on the root of each chord There is a better method of practicing scales as shown in Figure 42 By going up the Ionian mode down the Dorian up the Phrygian down the Lydian and so on youre starting on each note reversing directions on each note and ending on each note of the C major scale This equalizes the importance of each note in every scale This way when youre taking a solo your ear can choose what note to play not your fingers gravitating straight to the root because of their memory of always starting there7
+
+
+
+
+  Youve only covered half the possibilities however Reverse everything as shown in Figure 43 going down the Ionian up the Dorian down the Phrygian up the Lydian and so on Use the same patterns to practice melodic minor scales as in the C melodic minor patterns shown in figure 44 and figure 45
+  If you practiced this exercise every day youd still be starting the C major scale on C every day It helps to take this idea even further starting the C major scale on C one day D the next day E the third day and so on If this seems like taking things to extremes remember the goal is to deprogram yourself from years of rootbias conditioning
+  Practice patterns for the halfstepwholestep C diminished scale are shown in figure 46 and figure 47 Similar patterns for the C wholetone scale are shown in figure 48 and figure 49
+
+
+
+
+  Should you write out these patterns in every key I wouldnt Youll just end up reading them instead your goal is to internalize them You need to train your ear and your fingers not just your eyes Classical music is both ear and eye music Jazz is almost entirely ear music Jazz musicians play best when they dont have to read when theyve internalized everything so well that they no longer need music As Bird said learn the changes then forget them
+  Remember your goal to see think and play scales as an available pool of notes of which doremifasollatido is only one possible combination Breaking up scales into groups of notes is an important path to this goal All the following scale pattern examples are shown in the key of C major but practice them in every key and on all melodic minor diminished and wholetone scales
+
+
+
+
+  Figure 410 breaks down the C major scale into ascending 3rds Figure 411 breaks down the scale into descending 3rds Figure 412 shows a reverse pattern alternating ascending and descending 3rds Figure 413 does just the opposite alternating descending and then ascending 3rds Remember to practice these patterns starting on different notes
+  The next few figures are shown ascending only but practice each one in all of the variations just mentioned ascending descending and reversing in both directions Figure 414 divides the scale into 4ths Figure 415 divides the scale into a fournote pattern Figure 416 has you dipping chromatically below each scale tone and then going up a diatonic 3rd
+
+
+
+  As you practice scales in this way youll want to invent your own patterns There are a zillion ways of breaking up a scale to create patterns but theres only one rule If a new pattern sounds unmusical to you dont waste time practicing it
+  Remember practice all scales and patterns both ascending and descending on the major melodic minor diminished and wholetone scales and in all keys
+CHAPTER FIVE
+Slash Chords
+What are Slash Chords
+Play the music shown in figure 51 This is the sound of slash chords The music is from Mulgrew Millers arrangement of Burt Bacharachs What The World Needs Now Is Love1 Mulgrew plays these slash chords to reharmonize the original chords which are shown in figure 52 Slash chords are often used to reharmonize standards Changing the harmony of standards in this way can make them sound fresh and new
+
+
+  The simplest definition of a slash chord is a triad over a bass note Take a look at figure 53 It shows all 12 major triads you can play over a C pedal Note that all the triads are shown in second inversion Although triads can sound good in any inversion all things being equal triads sound strongest in second inversion
+
+Play figure 53 and listen to all 12 slash chords
+CC
+Same triad as the root
+DC
+Triad a half step above the root
+DC
+Triad a whole step above the root
+EC
+Triad a minor 3rd above the root
+EC
+Triad a major 3rd above the root
+FC
+Triad a perfect 4th above the root
+GC
+Triad a tritone above the root
+GC
+Triad a perfect 5th above the root
+AC
+Triad a minor 6th above the root
+AC
+Triad a major 6th above the root
+BC
+Triad a whole step below the root
+BC
+Triad a half step below the root
+  Lets examine each one of these slash chords In all cases recorded examples have been transposed back to C to make comparison easy
+  CC is a pretty silly chord symbol because its just a C triad with C the root on the bottom Theres no reason to write it like this and youll never see it like this
+
+  DC a triad a half step above the bass note is a D chord with the major 7th on the bottom Play figure 54 and hear Bud Powell play DC briefly on his composition Glass Enclosure2 Jazz musicians didnt start to play slash chords regularly until the 1960s but Bud recorded Glass Enclosure in 1953
+  DC is often played as one chord in a series of descending slash chords Figure 55 shows the changes for the first eight bars of Bronislau Kapers Green Dolphin Street which has three chromatically descending slash chords in a row EC DC and DC EC would normally be written C7 unless as here it is part of a series of slash chords
+
+
+  DC also can function as a dominant 7th chord resolving to F major Play figure 56 and hear how DC resolves to F You could notate this chord as Csus913 see the last bar of the example but thats not a commonly used chord symbol
+  DC a triad a whole step above the bass note sounds like a Lydian chord or C 4 Play figure 57 and hear DC the first chord of Art Blakeys version of Hoagy Carmichaels Skylark3 The second chord BC is another slash chord which well get to soon
+  EC is just a C7 chord and the only time youll see it written is when the E triad is part of a series of slash chords as in the earlier example from Green Dolphin Street
+
+
+  EC a triad a major 3rd above the bass note is another way of notating C5 the Lydian augmented chord which you learned about in the Melodic Minor Scale Harmony section of Chapter 3 Play figure 58 The C5 Lydian augmented chord is from the bridge of Duke Pearsons You Know I Care4
+
+  Herbie Hancock plays three slash chords in the second bar of Ron Carters EightyOne5 figure 59 shown in the original key The first two GD and AE are alternate spellings of D5 and E5 transposed to C they are both EC The third slash chord GF transposed to C is DC
+
+Wallace Roney and Mulgrew Miller c1990 K Gypsy Zaboroskie All Rights Reserved
+  FC is an F major triad in second inversion with C the 5th as the bass note Play figure 510 and listen to Chick Corea play FC on his tune Mirror Mirror6 Look at the previous two bars and youll see why he opted for a slash chord here FC continues the chromatic bass line that started with the B7 chord through B to FC
+Chick Coreas piano voicings simplified
+
+  Both GC and AC are shown in figure 511 played by Wynton Kelly on Miles Davis Put Your Little Foot Right Out7 GC the triad a tritone above the bass note is often played in place of C7 and sounds like C79 although it has no 3rd AC is the triad a minor 6th above the bass note Playing GC and AC together implies C7alt The D and G of the G triad and the E and A of the A triad are the four alterations9D 11 G 9 E 13 Afound in a C7alt chord There is another example of AC from Bud Powells Glass Enclosure shown later in this chapter
+
+  GC a triad a perfect 5th above the bass note is seldom written because its the root 5th 7th and 9th of a C chord and almost everybody writes it as C
+
+  AC a triad a major 6th above the bass note is often used as a substitute for a C79 chord Figure 512 shows two bars from Jimmy Van Heusens But Beautiful Play figure 513 and hear AC take the place of C79 There is another example of AC from Bud Powells Glass Enclosure shown later in this chapter
+
+  BC a triad a whole step below the bass note is an alternate way to notate a Csus chord BC notated as Csus occurs in the previous example figure 513 on the third beat of the first bar There are lots more examples of sus chords in the section of Chapter 3 Major Scale Harmony
+
+  BC a triad a half step below the bass note is a good example of why slash chord notation often is clearer than conventional notation In conventional notation BC would be written C49 which nobody wants to decipher figure 514 Most musicians prefer BC This chord usually functions as a substitute for a I chord
+  Mulgrew Miller plays BC on the verse to Vincent Youmans More Than You Know8 as you can hear on figure 515 Kenny Barron plays BC on the last A section of George Bassmans Im Gettin Sentimental Over You9 as youll hear when you play figure 516 John Coltrane and McCoy Tyner play BC on Harry Warrens I Wish I Knew10 as shown in figure 517 Note that in the preceding three examples BC was played right before a C major chord
+
+Kenny Barrons piano voicings simplified
+
+McCoy Tyners piano voicings simplified
+
+  Donald Brown plays BC and then echoes it up a 4th with EF on his composition New York11 figure 518
+
+  Finally Miles Davis and Red Garland often played BC as a reharmonization of the final chord in a tune as you can hear when you play figure 519 the last chord of Miles Four12 Play figure 520 and youll hear Red play BC as the last chord on both his trio version of Frank Loessers If I Were A Bell13 and on Miles version of the same tune14
+
+
+  Slash chords often occur over descending bass lines McCoy Tyner played three of them in a row on Duke Pearsons You Know I Care15 as you can hear in figure 521 BD is a B triad in first inversion ED sounds like D4 FC is an F triad in second inversion
+McCoy Tyners piano voicings simplified
+
+
+  Bud Powell was the first jazz musician to play slash chords Play figure 522 and hear three examples from Buds Glass Enclosure16 Because this example has slash chords over two different roots it has not been transposed back to C EG transposed back to C is AC FA transposed back to C is AC GG transposed back to C is BC Later in Glass Enclosure Bud plays BC again as you can hear in figure 52317
+
+ Slash Chords and Scales
+  What scales go with each slash chord Lets take a second look at all 12 slash chords and see what mode or scalefrom major melodic minor or diminished scale harmonysounds best with each slash chord None of the slash chords go with wholetone scale harmony because the triads in all these slash chords are major triads which dont exist in wholetone scale harmony
+  Most of the scales shown here are C scales But since FC is just an F major triad in second inversion you should play an F major scale And since AC is an A major triad in first inversion you should play an A major scale
+Slash chord
+Scale
+CC18
+C major and C Lydian
+DC
+C Phrygian and C Locrian
+DC
+C Lydian
+EC
+C Dorian
+EC
+C Lydian augmented
+FC
+F major
+GC
+C altered and C halfstepwholestep diminished
+GC
+C major
+AC
+At major
+AC
+C halfstepwholestep diminished
+BC
+C Mixolydian
+BC
+C wholestephalfstep diminished
+
+PART II
+IMPROVISATION PLAYIN THE CHANGES
+Scales are the alphabet not the poetry of music You need to know the alphabet grammar vocabulary spelling and so on before you can write words sentences and ultimately poetry Similarly you need to know the scales before you can create beautiful music Your goal is to internalize scale knowledge so completely that scales become an available pool of notes a pool you can dip into for any note you want This chapter provides some exercises to help you make the transformation from scales to music
+Sequences
+Play the three examples shown in figure 61 from Mulgrew Millers solo on Miles Davis tune Four1 These examples are in classical terminology sequences There are two kinds of sequences melodic and rhythmic
+ A melodic sequence is the repetition of a phrase at a different pitch in more or less the same rhythm The phrases dont have to have exactly the same interval structure but they usually have the same shape
+ A rhythmic sequence is the repetition of a rhythmic figure in which the notes dont necessarily repeat at a different pitch
+  Mulgrews sequences flow easily from one chord to the next creating unexpected tension and resolution Sequences also provide coherence for a solo giving it structure
+  Sequences are also a great way to reharmonize and get outside the changes or play notes not normally played on a specific chord2 In Mulgrews third sequence notice that a lot of the notes dont belong to the chords that are shown the A natural on the F7 chord and the E natural on the E chord for example Mulgrew sets up a threenote phrase and almost immediately sequences it outside the written harmony The more you master playin the changes the more youre likely to use them as a blueprint rather than laws that you have to strictly obey To reach the level of artistry of Mulgrewwho plays whatever he hears and sounds right no matter what the chord symbol saysyou first have to master playing chord symbols as they are written But remember this Chord symbols are a guide not a straightjacket
+
+
+  Sequences can be simple as in Freddie Hubbards twonote rhythmic sequence on Harry Warrens Youre My Everything3 figure 62 and his melodic sequence on Herbie Hancocks Dolphin Dance4 figure 63 Two more simple sequences are Mulgrew Millers fournote melodic sequence on Wingspan5 figure 64 and McCoy Tyners fournote melodic sequence on Wayne Shorters ballad Lady Day6 figure 65
+
+rhythm simplified
+
+  Figure 66 shows the first of several extraordinary melodic sequences that Herbie Hancock played beautiful in their simplicity in his solo on Dolphin Dance7 Note the increasing size of the upward leaps from E to A a 4th in the first bar from E to A a tritone in the second bar from E to B a 5th in the third bar from E to B a minor 6th in the fourth bar from E to C a major 6th in the fifth bar and from E to C another major 6th in the sixth bar Listen to the increasing tension in this sixbar phrase Playing sequences is a great way to increase tension in a solo
+Herbie Hancocks piano voicings simplified
+
+  Again on Dolphin Dance Herbie sequences a tensionbuilding fournote ascending phrase over alternating B7E and A7E chords figure 67 Note the rootless voicings in the left hand on this and the next figure The E in the chord symbols is a pedalpoint played not by Herbie but by bassist Ron Carter Another melodic sequence follows this one a cascading fournote phrase arranged into eighthnote triplets as shown in figure 68 The E in the chord symbols is another pedalpoint again played by Ron Carter
+Herbie Hancocks piano voicings simplified
+
+Herbie Hancocks piano voicings simplified
+
+
+  Sequencing became a major part of the jazz musicians bag of tricks from the 1960s on with musicians such as Herbie Hancock Joe Henderson Woody Shaw and Freddie Hubbard leading the way Earlier musicians made only infrequent use of the device However when you play figure 69 youll hear an amazingly modernsounding example of a ninebar rhythmic sequence Louis Armstrong sang in his 1927 recording of pianist Lil Hardins Hotter Than That8
+  Figure 610 shows McCoy Tyners playful melodic sequence on Wayne Shorters The Big Push9 The most interesting thing about this sequence is that McCoy begins it on the last bar of an eightbar phrase extending into the first three bars of the next phrase The lesson here is that you shouldnt let eightbar phrase lengths box you in
+
+The Continuous Scale Exercise
+How should you practice transforming scale notes into melodic sequences A method called the continuous scale exercise prepares you for this In a continuous scale exercise you connect the scale notes from whatever chord you are playing to the scale notes of the following chord Well use the first eight bars of Victor Youngs Stella By Starlight as a working example of this technique Figure 611 shows a set of chord changes for the first eight bars of Stella along with the appropriate scale for each chord
+
+  As you go through a tune like Stella ask yourself what type of harmony each chord is derived from Major Melodic minor Diminished Whole tone The parent scale from major melodic minor diminished or wholetone harmony is listed below each bar If you dont have the melodic minor mode numbers memorized yet lets review them minormajor is I sus9 is II Lydian augmented is III Lydian dominant is IV halfdiminished is VI alt is VII Learn them together in each key as a family
+  Identifying the right scale tells you what notes will sound good with each chord In real life you have a good deal more freedom to interpret chord symbols You could reharmonize on the spot and change G7 C7 F to G C79 F4 for instance10 While youre first learning how to use scales however its a good idea to think of chord symbols as scale specific That is interpret each symbol literally and think of each chord as implying only a single scalefor now
+
+  Look at figure 612 E the first chord in bar 1 of Stella is from the sixth mode of the G melodic minor scale Lets not start on E the root of the chordthats too easy Arbitrarily starting on G the 3rd of E we walk up the G melodic minor scale in quarter notes G A B C
+  The chord in bar 2 A7alt is the seventh mode of the B melodic minor scale What would be the next note after Cthe last note in the first barthat belongs to A7alt and its scale Its D enharmonically C the 3rd of the A7alt chord That becomes the first note in the second bar The line continues up the B melodic minor scale D E F G
+  The chord in the third bar C7 is the second or Dorian mode of B major What would be the next note after Gthe last note in the second barthat belongs to C Dorian Its A and the line continues upward So you dont have to read a whole bunch of ledger lines above the staff well reverse directions on C above the staff on the third beat of that bar and descend
+  The last note in the C7 bar is B Continue descending into the F7 bar starting with A the next note that belongs to the F Mixolydian mode and so on through the rest of the changes Reverse directions on the G below middle C so you dont have to read too many ledger lines below the staff
+  As you descend the E chord in the seventh bar you expect an A from the E major scale rather than the A that is shown Ive substituted A because A is the avoid note on an E chord As you practice this exercise raise every avoid note This means raising the 4th on all major chords and the 11th on all unaltered dominant chords In real life you wont always want to do this because avoid notes are not bad notes But practicing this technique now trains you to watch for opportunities to reharmonize chords
+  When you try this exercise yourself you can adjust the point where you start and where you reverse directions to the range of your instrument Dont expend too much effort trying to play extremely high or low notes
+  When you come to a bar with two chords play only two notes per chord instead of four
+  The beauty of this exercise is twofold
+1 It trains you to start each new scale wherever the last chord dropped you off rather than jumping back to the root which is too easy
+2 Most important you learn how to link the scales together Youll get experience in creating long flowing lines Practicing this exercise also equalizes the importance of each note in every scale and helps you get rid of root bias or always thinking of the root of a scale first
+  Remember that your goal is to internalize scales as an available pool of notes to be played in any order
+  Pick some tunes from any of The New Real Books or The Worlds Greatest Fake Book and go through them as we did on Stella playing the appropriate scale for each chord Look for tunes with at least a sprinkling of 11 9 9 alt  4 and 5 chords As you practice youll soon start to internalize the appropriate scale for each chord Notice how your reaction time improves It might take you ten seconds at first to think B is the sixth mode of D melodic minor Get your reaction time down to three seconds one second a halfsecond a tenth of a second until B  D melodic minor becomes an automatic reaction Some teachers use flash cards to help their students associate chords with the right scales You dont even need your instrument to practice this exercise As an example think of all the alt chords around the cycle of fifths linking each one to its appropriate melodic minor scale C7alt is from D melodic minor F7alt is from F melodic minor B7alt is from B melodic minor and so on You can do this in the shower or when youre driving on the freeway but dont miss your exit
+  Vary the exercise by playing eighth notes as in figure 613 Notice the raised avoid notes on the F7 chord Note also that weve reversed directions in the middle of the A7alt chord Reversing directions regardless of where you are in the bar is a necessary skill
+
+
+
+
+
+  Then play eighth notes broken into 3rds both ascending and descending as in figure 614 Now play 3rds alternating up and down reversing directions as in figure 615 And play triplets as in figure 616 Then play triplets made up of a step and a skip within the scale as in figure 617
+  The sixth bar of Stella includes a B79 chord V79 chords are from the halfstepwholestep diminished scale The first two bars of figure 618 contain a line of ascending 3rds on the B79 chord Note that they are all minor 3rds Minor 3rds occur naturally throughout diminished scale harmony Why As you learned in Chapter 3 the interval between every other note of a diminished scale is a minor 3rd
+  The third and fourth bars of figure 618 include a line of arpeggiated triads on the same B79 chord Note that they are all diminished triads As you learned in Chapter 3 diminished triads occur naturally throughout diminished scale harmony
+
+
+  Whatever you play on the E chord in the first bar of Stella can be transposed up a minor 3rd and played on the A7alt chord in the second bar This technique works no matter what phrase lick pattern or voicing you play for E Figure 619 shows three examples of this idealicks in the right hand voicings in the left hand11
+  Why does this work Because halfdiminished and alt chords are from melodic minor harmony and everything within a particular melodic minor tonality is interchangeable since there are no avoid notes E is from G melodic minor A7alt is from B melodic minor B melodic minor is a minor 3rd above G melodic minor so you can repeat whatever you play up a minor 3rd You may be thinking that youre playing E A7alt but on a much more more profound level youre playing G melodic minor followed by B melodic minor Whenever you have a IIV7alt anything you play on the  chord can be repeated up a minor 3rd on the alt chord Remember to think key not chord
+  Repeating something transposed up a minor 3rd or any interval for that matter creates a sequence that moves in parallel motionalso called parallelism Parallelism adds structure and cohesion to your solos
+  Some of the sequences weve gone through are very musical and might sound good in a solo If you played sequences all of the time however your playing would sound pretty mechanical Still as part of an otherwise more lyrical and freeflowing solo sequences can add structure and organization to your playing Be inventive and make up some sequences of your own
+Masters of the Sequence
+Almost all the great jazz musicians at times play sequences when they improvise but a few are acknowledged masters of the device Joe Henderson Herbie Hancock Freddie Hubbard John Coltrane George Coleman Lee Morgan and Wayne Shorter all fall into this category
+ Joe Henderson
+  Joe Henderson is a master of the sequence Figure 620 shows Joe playing a simple threenote melodic sequence on Horace Silvers Bonita12 From his solo on the same tune figure 621 shows Joe playing an eightnote melodic sequence through the first two chords changing only one note B to B natural on the last two chords
+
+
+  Figure 622 shows Joe playing a threenote melodic sequence from his solo on Horace Silvers Nutville13 Notice the amount of rhythmic variation Joe brings to this simple motif Figure 623 illustrates a rhythmic sequence Joe plays through the first eight bars of his solo on Duke Pearsons Empathy14
+
+
+
+  Figure 624 shows a melodic sequence from Joes solo on Lee Morgans Totem Pole15 Figure 625 analyzes the sequence by leaving out the chromatic approach notes you can see how Joe outlines a sequence of descending 3rds before ending the phrase on a descending 4th
+
+  Figure 626 shows Joe playing a threenote rhythmic sequence in which the key interval is a 4th through the first 16 bars of his solo on Lee Morgans Garys Notebook16 Note the sense of form Joe creates as the sequences include a descending 4th in bars 14 ascending 4ths in bars 57 returning to a descending 4th in bar 8
+
+  Joe plays a twonote rhythmic sequence shown in figure 627 from his solo on Duke Pearsons Idle Moments17 Later in the same solo Joe plays a rhythmic sequence starting each bar with two sixteenth notes followed by eighth notes on beats two and three and then sixteenth notes leading into each new bar as shown in figure 628 Figure 629 shows Joe playing a threenote rhythmic sequence from the same solo In figure 630 Joe demonstrates on the same solo that you dont have to play all the notes in a chord In playing only the note C he also highlights the power of rhythmic variation
+
+
+
+
+
+
+  Figure 631 shows the first chorus of one of Joes greatest solos on Lee Morgans CaLeeSo18 Joe moves a playful threenote sequence through the first 16 bars of his solo and then returns to it on the last eight bars
+  If you want to practice Joes lick its shown in figure 632 in C major but be sure to practice it in all major and melodic minor keys
+
+ Herbie Hancock
+  Herbie Hancock is another master of the sequence Figure 633 shows Herbie playing an upa3rd downa4th sequence from his solo on Harry Warrens Youre My Everything19
+
+
+  Figure 634 shows Herbie getting a lot of mileage out of just three notesE A and Bby putting them together in a rhythmically inventive way over a D7alt chord in Freddie Hubbards pretty 11bar tune Prophet Jennings20
+  Herbie sequences an upanddown pattern on his solo on Freddie Hubbards beautiful tribute to Booker Little Lament For Booker as shown in figure 63521
+
+  Figure 636 shows Herbie playing a rhythmic sequence on Maiden Voyage22 Figure 637 shows Herbie sequencing a fournote melodic pattern then a fivenote rhythmic one from his solo on The Eye Of The Hurricane23 Dont worry about the A naturals in the first bar that dont belong to the Fchord Herbie goes outside the changes on these two bars
+
+
+  One of Herbie Hancocks greatest solos is on Cole Porters All Of You24 On this particular Miles Davis recording Herbie plays two choruses and then solos over a long tag section of IIIVIIIV changes in E G7 C7 F7 B7 Herbie uses considerable reharmonization on those four chords so some of the notes shown in the following examples dont appear to go with the written changes A few bars into the tag section of his solo Herbie starts to spin sequence after sequence creating long flowing lines of increasing and decreasing tension
+
+Herbie Hancock c1990 K Gypsy Zaboroskie All Rights Reserved
+
+
+  The first sequence Herbie plays on All Of You figure 638 shows him playing a twonote pattern down a 3rd up a 4th arranged in a triplet sequence first up then down then up again and then abruptly switching to a descending triadic sequence through several bars From the same solo figure 639 shows Herbie once again playing a triplet pattern before switching to a repeated note figure and then sequencing a fivenote pattern down a halfstep
+  Figure 640 shows Herbie playing a downa4th upa3rd pattern from his solo on his tune Little One25 A little later in the same solo Herbie plays the rhythmically complex sequence shown in figure 64126
+
+
+  These examples all look great on paper but hearing them will put you in another dimension You can only experience the rise and fall of tension within the solo the interplay between Herbie and bassist Ron Carter and drummer Tony Williams and the emotional content of what they play by listening In other words buy the recording
+ Freddie Hubbard
+  Freddie Hubbard also plays sequences brilliantly Figure 642 shows a triplet sequence he plays on Duke Pearsons pretty tune Gaslight27 Figure 643 shows Freddie playing another triplet sequence from his solo on Herbie Hancocks Little One28
+
+
+ John Coltrane
+  John Coltrane often played sequences Figure 644 shows one from his solo on Locomotion29 The first note of each fournote group chromatically approaches the 5th of a descending triad Theres another Coltrane sequence shown a bit later in this chapter
+
+ George Coleman
+  George Coleman is a master at creating structure within his solos by playing sequences Figure 645 shows Georges soulful rhythmic sequence on the first eight bars of his solo on Herbie Hancocks Little One30
+
+ Lee Morgan
+  Lee Morgan had a particular flair for playing sequences Figure 646 shows a Lee Morgan sequence from one of his greatest solos on Coltranes Locomotion31 Lee reharmonizes the B7 chord as a B major triad chromatically approaching each chord tone of B from a halfstep below
+
+ Wayne Shorter
+  Wayne Shorter is another master improviser who uses sequences Figure 647 shows a few bars of Waynes solo on his tune Angola32 Note Waynes alterations of the chords The A enharmonically G in the first bar is the 11 of D7 From the third bar on Wayne plays an F over D7 the 9 and a G over E7 also the 9
+
+Triadic Improvisation
+Triads are the basic chords of Western harmony As such they stabilize the harmony and impart a sense of structure when played in a solo Figure 648 shows Wynton Kellys use of arpeggiated triads on his solo on Miles Davis recording of Frank Churchills Someday My Prince Will Come33
+
+  In figure 649 you can see a triadic sequence played by Mulgew Miller on his tune Wingspan34 Major triads follow each other clockwise around the cycleF major C major and G major Each triad is from the scale of the chord symbol that is shown The F major triad obviously belongs to the same scale as the F chord the C major triad is one of the triads found in the key of F where G7 is the II chord and the G major triad is from G major of which A7 is the II chord
+
+  Look at figure 650 also from Mulgrews solo on Wingspan Mulgrew plays an ascending triadic sequence outlining major minor and augmented triads Mulgrew plays the 3rdroot3rd5th of each triad Notice that the roots of the triads climb the F melodic minor scale F G A B C D E F
+
+  As shown in figure 651 Herbie Hancock plays a triadic sequence in his solo on Cole Porters All Of You35 The names of the triads are shown beneath each bar Some of the notes Herbie plays dont seem to belong to the chords such as the E major triads on the C7 chord another example of playing sequences to get outside the changes
+  Another example of a triadic sequence is shown in figure 652 where Freddie Hubbard arpeggiates an F triad over two chords on Wayne Shorters Angola36
+
+
+
+
+
+ Practicing Triadic Patterns
+  How can you master the technique of incorporating triads in your soloing First take a look at figure 653 which shows the triads built above each note of the C major scale The order of triads starting from the tonic is major minor minor major major minor diminished Memorize that order and practice arpeggiating the triads in all keys as in the exercise shown in figure 654 Figure 655 shows the same arpeggiated triadic pattern Mulgrew Miller played in figure 650 outlining the 3rdroot3rd5th of each triad
+  What about the triads in melodic minor harmony Figure 656 shows the triads found in the C melodic minor scale Note the unusual order of triads minor minor augmented major major diminished diminished This sequence of triads is easier to memorize than you might think two minors augmented two majors two diminished
+
+  Figure 657 shows an arpeggio exercise for melodic minor triads and figure 658 shows Mulgrews triadic pattern from figure 650 outlining the 3rdroot3rd5th of each triad
+
+
+  For diminished scale triads figure 659 shows the triads found in the C halfstepwholestep diminished scale they are all diminished triads Figure 660 shows the arpeggiated triad exercise and figure 661 shows the pattern played by Mulgrew now in diminished scale harmony
+
+
+
+
+
+
+  For wholetone scale triads figure 662 shows the triads found in the C wholetone scale They are all augmented triadsthe only triad found in the wholetone scale Figure 663 shows the arpeggiated triad exercise and figure 664 shows the idea played by Mulgrew now in wholetone scale harmony
+  Figure 665 shows a fournote triadic sequence on the first few bars of Stella By Starlight Practice the triads
+
+7th Chord Sequences
+Seventh chords are the basic chord of Jazz Like triads their presence in a solo stabilizes the harmony and imparts a sense of structure Take a look at figure 666 from John Coltranes solo on Miles Davis Milestones37 Coltrane arpeggiates all of the 7th chords from the key of F downward while playing on a G7 chord
+
+  Play figure 667 and listen to Herbie Hancocks descending 7th chords from his solo on All Of You38 Herbie arranges the 7th chords in triplets overlapping a fournote melodic structure the 7th chord over a threenote rhythmic structure triplets The 7th chords he plays over F7 B7 are all from the key of E Herbie reharmonizes and goes outside the changes on the last two bars arpeggiating 7th chords and triads from the key of D
+
+  Play figure 668 from Wayne Shorters The Big Push39 Wayne arpeggiates F7 E an F minor triad C7 B7 and Aall chords belonging to the key of Eas he plays over F7 B7 Note Waynes use of space namely quarter and half note rests sometimes occurring in the middle of an arpeggiated chord
+
+  Figure 669 shows an ascending 7th chord practice pattern in the key of C Figure 670 shows a descending pattern Figure 671 shows a reversing pattern alternating ascending and descending 7th chords Figure 672 shows a reversed pattern alternating descending and ascending 7th chords
+
+
+
+
+  Practice these patterns in all keys in all forms ascending descending reversing patterns and on all major melodic minor diminished and wholetone scales Memorize the 7th chord pattern derived from both the major and melodic minor scales
+ In major scale harmony its major 7th minor 7th minor 7th major 7th dominant 7th minor 7th halfdiminished
+ In melodic minor harmony its minormajor minor 7th major 7th 5 dominant 7th dominant 7th halfdiminished halfdiminished figure 673
+
+  These are great practice patterns because they help you internalize each scale in various combinations Played too often in a solo they can also get pretty boring Be rhythmically inventive and see if you can find ways to transform these exercises into music figure 674
+
+Common Tones
+You dont have to play all the notes in each scale An approach to improvisation that creates more space and less chromaticism is to look for common tones or notes that belong to two or more consecutive chords
+  Look at the chords to Sam Rivers Beatrice shown in figure 675 Can you spot a note thats common to every single scale in Sams tune There is one C Because C is common to every chord in Beatrice you can use that note as the glue that holds your solo together giving it structure and beauty
+
+  Figure 676 shows a solo on Beatrice The note C common to every scale in Beatrice is played on every chord in every bar Note also the common use of the F major triad and F minor pentatonic scale Well cover pentatonic scales in Chapter 9
+
+
+  Play figure 677 the first four bars of Wayne Shorters FeeFiFoFum40 Seen for the first time these changes can seem difficult even to experienced musicians Not a IIVI in sight sudden shifts from melodic minor to diminished to major scale chords root movement by minor 3rds A to C to D79 make these four bars look more like a mine field than a chord progression Ah but there is a path through
+
+
+  Lets focus on the three changes in the middle G7 A and C There are five scales that can be played over these three chords Why the two extra scales The two major 7th chords can be played with either the major scale or the Lydian scale Figure 678 shows all five scales
+  The scales shown for G7 and A share five common tones as shown in figure 679 These five notes just happen to be the B pentatonic scale Were beginning to find some structure Two of the notes B and F also belong to the C Lydian mode one of the two scales shown that you can play on C
+
+  Now play figure 680 a lick which uses the common tones described Can you really keep track of all this when you play You may not be able to do so at first but as you internalize scale knowledge you begin to see the inherent common tone possibilities in what may seem like difficult chord changes
+
+  Figure 681 is from Freddie Hubbards solo on Harry Warrens Youre My Everything41 All three notes shownE F and Gare common tones that belong to the scales of D7 B and E7alt Freddie plays only one other note the C on the B chord
+
+
+  Freddie Hubbard also plays common tones on his solo on his blues Hub Tones42 as shown in figure 682 All five notes are common to all the scales except the D natural on the E7 chorda major 7th on a dominant 7th chord By the time Freddie plays the D natural your ear has been set up to accept this outside note
+  Freddie also plays common tones in his solo on Dolphin Dance43 as shown in figure 683
+Herbie Hancocks piano voicings simplified
+
+  One of Herbie Hancocks most beautiful solos is on his tune Little One44 Herbie plays a common tone sequence that is actually two sequences in one In figure 684 all three notes G A B belong to both changes Dsus9 Fsus Wheres the second hidden sequence Take a look at the order of the starting note of each triplet A G A B A G A B A G A B figure 685 These starting notes form another sequence hidden inside the first one Both sequences move scalewise
+
+
+Stretchin the Changes
+As you listen to master players and become more adept at playin the changes youll become increasingly aware of the elasticity of the duration of each chord You can stretch or compress the pacing of the changes beyond their written length by varying the point at which you start to play a chord or go on to the next one
+  Figure 686 shows Joe Henderson sequencing a threenote phrase upward through four changes on Horace Silvers Pretty Eyes45 Note how Joe stretches the chords anticipating the F7 bar by two beats in the G bar and extending it one beat longer into the B7alt bar
+
+  Mulgrew Miller is a master at stretching changes Figure 687 shows the lead sheet to Mulgrews Wingspan46 Figure 688 shows Mulgrews solo on his tune This example is an indepth look at stretching the changes as played by a master musician The analysis between the staffs shows where Mulgrew stretches the changes by both anticipating and extending them Note also where he reharmonizes the chords plays sequences goes outside and more
+
+  Practice all of the patterns shown in this chapter through various chords and progressions Aebersold records are especially handy for this particularly IIVI Vol 3 and Gettin It Together Vol 21
+  Now that youve learned some techniques on how to turn the scales into music youll move on to a method the early bebop musicians used to deal with scales that rhythmically dont come out right the bebop scales
+
+The bebop scales are traditional scales the Ionian Dorian and Mixolydian modes of the major scale and the melodic minor scale with an added chromatic passing note Play figure 71 and listen to the sound of a bebop scale lick over a IIVI in the key of F Can you spot the notes that arent from the F major scale B natural and D arent from the key of F They are chromatic passing notes that have been added to the scales normally played over the IIVI chords in F major
+  Play figure 72 a descending C Mixolydian mode played over a C7 chord Rhythmically this sounds rather clunky because the chord tones root 3rd 5th and 7th are played in awkward places in the bar The root is played on the first beat but B the 7th is played on the and of the first beat G the 5th is played on the and of the second beat and E the 3rd is played on the and of the third beat
+
+  Now play figure 73 a descending C bebop dominant scale over a C7 chord Hear the difference The C bebop dominant scale sounds rhythmically much smoother than the C Mixolydian mode The reason is very simple In figure 73 the chord tones of the C bebop dominant scale are played on the beat C the root E the 3rd G the 5th and B the 7th are all played on the beats of the bar The non chord tonesD the 9th F 11th and A 13thare played off the beat Even though the context here is a melodic line playing chord tones on the beat accentuates the harmony of the C7 chord
+
+  The bebop scales were an evolutionary step forward from traditional sevennote scales such as the Ionian Dorian Mixolydian and melodic minor scales Louis Armstrong was playing the bebop dominant scale as early as 1927 as shown in the phrase from his solo on Lil Hardins Hotter Than That1 figure 74 The A at the end of first bar is an added chromatic passing note to the B Mixolydian scale2 Bebop scales were occasionally played by jazz musicians in the 1930s but they didnt become an everyday part of the jazz language until the 1940s All bebop scales have an added chromatic passing note transforming them from their sevennote origin into eightnote scales
+
+  You cant talk about bebop scales without mentioning David Baker One of the great jazz educators he has written several books on the bebop scales each book with copious licks and patterns3 In David Bakers words adding chromatic passing notes to traditional scales make the scales rhythmically come out right
+  You can add chromatic passing notes to any scale or mode but the most commonly played bebop scales are the bebop dominant the bebop Dorian the bebop major and the bebop melodic minor
+The Bebop Dominant Scale
+The bebop dominant scale is the Mixolydian mode with a chromatic passing note added between the 7th and the root Figure 75 compares the C Mixolydian and C bebop dominant scales the two scales used in figure 72 and figure 73 The chromatic passing note in the C bebop dominant scale is B natural between B the 7th and C the root of the scale The bebop dominant scale is usually played over V chords and IIV progressions The chromatic passing note in the bebop dominant scale is between the 7th and the root
+
+The Bebop Dorian Scale
+The bebop Dorian scale is a Dorian mode with a chromatic passing note added between the 3rd and the 4th notes Figure 76 compares the G Dorian and G bebop minor scale both played over G7 The G bebop Dorian has a chromatic passing note between B the 3rd and C the 4th of the scale Notice in figure 77 that the notes in the G bebop Dorian scale played over G7 are the same as the notes in the C bebop dominant scale played over C7 This is not surprising because G7 C7 are a IIV in the key of F The chromatic passing note in the bebop Dorian scale is between the 3rd and the 4th
+
+
+The Bebop Major Scale
+The bebop major scale is the major scale with a chromatic passing note added between the 5th and the 6th notes Figure 78 compares the C major and C bebop major scales The chromatic passing note added to the C bebop major scale is G between G and the 5th and A the 6th of the scale The chromatic passing note in the bebop major scale is between the 5th and the 6th
+
+The Bebop Melodic Minor Scale
+The bebop melodic minor scale is a melodic minor scale with a chromatic passing note added between the 5th and 6th notes Figure 79 compares the C melodic minor and C bebop melodic minor scales The chromatic passing note added to the C bebop melodic minor scale is G between G the 5th and A the 6th of the scale The chromatic passing note in the bebop melodic minor scale is between the 5th and the 6th
+
+Bebop Scale Licks
+
+
+  There are countless examples of bebop scale licks on recordings Ill show just a few of them from Joe Henderson Freddie Hubbard John Coltrane and Sonny Stitt
+
+  Figure 713 shows Joe Henderson playing the F bebop dominant scale over F7 on Lee Morgans Totem Pole4 Notice that Joe starts on C the 5th of the F bebop dominant scale Remember you dont have to start on the root of the scale
+
+
+Freddie Hubbard cTom CopiSan Francisco All Rights Reserved
+  Figure 714 shows Freddie Hubbards A bebop dominant lick over A7 on Harry Warrens Youre My Everything5 In figure 715 you can see Freddies descending F bebop dominant lick over a IIV progression C7 F7 on his tune Hub Tones6 Figure 716 shows Freddies descending bebop dominant lick on his very challenging blues in G For Spees Sake7
+
+
+
+
+  Figure 717 shows John Coltranes descending bebop major lick on the pickup to his solo on Moments Notice8 From the same solo figure 718 shows Coltrane playing a descending bebop dominant lick
+  Figure 719 shows three examples of Coltrane playing descending bebop dominant scales on Lazy Bird9 Note that in example 3 Trane plays the bebop dominant over a IIV A7 D7
+
+
+  Sonny Stitt plays the F bebop dominant scale over a IIV on The Eternal Triangle10 as shown in figure 720
+
+Piano and Arranging Stuff
+The bebop scales are used in improvising and pianists and arrangers also use them in a style called fourway close Play figure 721 and youll hear the C bebop major scale voiced with alternating major 6th and diminished chords These chords are called fourway close because the four notes of each chord are harmonized as close together as possible Notice that the melody notes that are chord tones C E G and A are voiced as C6 chords while the melody notes that are non chord tones D F A and B are voiced as diminished chords Arrangers use this style when writing for four saxes four trumpets four trombones and so on
+
+
+  Fourway close sounds very smooth To understand why look at figure 721 again See all the diminished chords They are really disguised G79 chords minus the root Figure 722 shows the same diminished chord The notes in the diminished chord B D F A are the 3rd 5th 7th and 9 of G79 As you play figure 721 youre really hearing alternating C6 and G79 chords or IVIVIVIVI figure 723 in the key of C and VI is the smoothest progression in Western harmony
+
+ Drop 2
+  Play figure 724 and youll hear how jazz pianists and arrangers make fourway close sound fuller dropping the second note from the top of the chord down an octave in a style called drop 2 Figure 725 shows the same thing but in C minor This approach leads to some pretty piano voicings
+
+
+For example check out drop 2 applied to the first two bars of Harry Warrens There Will Never Be Another You figure 726 and the first four bars of Kenny Dorhams Blue Bossa figure 727
+
+
+  Up to this point youve studied how to play the correct scale over any given chordthat is youve learned how to play inside the changes Players with styles as diverse as Woody Shaw DaveLiebman Bobby Hutcherson and McCoy Tyner have mastered the art of going outside the changes playing notes that seem wrong from a theoretical standpoint but sound so right The next Chapter explores the how and why of playing outside
+______________________________
+CHAPTER EIGHT
+Playing Outside
+ Sequences
+ Playing a Half Step Away
+ Playing a Tritone Away
+ Playing Scales to Get Outside
+ Some Piano Stuff
+ The Chromatic Scale
+ Be Brave Go Ahead and Play Outside
+One reason that musicians such as Joe Henderson Woody Shaw McCoy Tyner Bobby Hutcherson David Liebman and Mulgrew Miller are greatly admired is that they not only have mastered the art of playing changes but also know how to play outside the changes
+  Playing outside on chord changes can mean several different things including playing notes that arent in the chord stretching the length of one chord into another or playing something recognizable but in a different key It can also mean playing free or atonal with no chord structure at all Musicians such as Anthony Braxton and Cecil Taylor fall into this category and their music is outside the scope of this book
+  Bear in mind that whats considered outside is subjective and changeable What you hear as outside someone else will hear as inside and vice versa Bird was considered out by many musicians in the 1940s as was Coltrane in the 1960s Quite a few musicians still hear Coltranes last few recordings as being out Cecil Taylor has been recording for about 40 years and is still considered out by many musicians
+  Many of the best examples of outside playing are really bitonality or two tonalities at the same time1 The pianist or guitarist may be comping in one key while the soloist goes outside and plays in another To make this sound good and not like a bunch of wrong notes you must outline the second tonality clearly and play with authority If youre the least bit wimpy about it its going to sound wrong Someone once described playing outside as making the wrong notes sound right As for a definition of the difference between right and wrong notes remember this You can play any note on any chord If it sounds right to you then it is If it sounds wrong to you then it is
+  Play figure 81 Sounds like A major right Now play figure 82 the same phrase but played over a piano voicing for G7 An A major phrase played over a G7 chord is bitonality This is from Woody Shaws solo on his tune Rosewood2 As shown here this example doesnt do justice to the music at all the dissonance is much too harsh You have to listen to Woodys recording to really hear how it sounds
+
+
+  Lets examine several ways to get outside
+Sequences
+As I mentioned in Chapter 6 sequences are a good way to get outside the changes because the ear picks up on their internal structure and has something to hang onto while the harmony becomes unclear Figure 83 shows a fragment of one of Mulgrew Millers best solos on Wingspan3 which is printed in its entirety at the end of Chapter 6 Mulgrew plays a fournote figure on an F chord transposes it to A and then sequences it following the cycle of fifths to D and G He then goes up a half step and descends a G triadD B and Gthe 11th 9th and 7th of the written A7 chord Mulgrew starts inside goes outside and then comes back insidea common approach when playing outside Playing a sequence to go outside and then coming back inside gives structure to your solo and makes it sound as though you know what youre doing Think insideoutsideinside
+
+  Why dont notes that are outside the harmony sound wrong A familiar set of chord changes establishes a dynamic structure and your ear expects certain things to happen Lets call this predictability After youve heard Autumn Leaves a few dozen times you expect that C7 will be followed by F7 Playing a sequence does the same thing It establishes structure and sets up your ear to expect the sequence to continue just as it expects C7 to be followed by F7 in Autumn Leaves As long as the notes of the sequence remain part of the harmony the music is inside When the sequence diverges from the chords the result is outside harmony Lets call this surprise The written harmony and the sequence sound right by themselves even though the sequence may go outside the written harmony They dont sound wrong played together they sound bitonal Insideoutsideinside Predictabilitysurpise
+
+  Later in the same solo Mulgrew plays a descending sequence to achieve the same effect as shown in figure 84 In the first bar Mulgrew plays a fournote motif descending a G triadD B G Dthe 11th 9th 7th and 11th again of A7 He then outlines a B7 chordA F D Bthe 7th 5th 3rd and root of B7all the notes still from the key of G implied by the A7 chord symbol Mulgrew has started a fournote sequence and is still inside the changes In the second bar Mulgrew continues the sequence down a 4th outlining an F7 chord with a C that is outside the written D7 chord He then outlines an E major triad The G is not really outside of D7 but is the 11 of the chord In the third bar Mulgrew outlines C and G major triads all the notes belonging to the written A7 chord The first note of each fournote motf starts a 4th lower than the last oneD A E B G Dclockwise around the cycle of fifths That C in the second bar the only outside note in the phrase catches your ear It sticks out but not like a sore thumb Remember insideoutsideinside
+
+Joe Henderson cLee TannerThe Jazz Image All Rights Reserved
+Playing a Half Step Away
+Its very common to play a half step away from a chord to get outside Playing up or down a halfstep is popular because it creates the most dissonance and dissonance is mostly what playing outside is all about This technique is relatively easy Because the notes are only a half step away the ear can easily relate the line to its actual harmonic base and can conceive the logic in the dissonance If you try playing a half step away dont be tentative Play it with authority or it will sound wrong Many of the best players weave outside material into tonal inside material by playing a half step or whole step away achieving very graceful side stepping another term used for outside playing
+
+  Figure 85 shows a D triad played over C Even though C and D are right next to each other this is about as outside as you can get All three notes of the D triad sound extremely dissonant Try playing each one over the C chordfirst D then F then Aand youll hear some serious dissonance Now play figure 86 a D major triad over the C chord D is a half step further away from C than D but sounds very inside All three notes in a D triad sound coolD is the 9th of C F is the 11 and A is the 6th
+
+
+
+  Figure 87 shows a fragment of Joe Hendersons solo on Horace Silvers Nutville4 Joe plays four notes on the G79 chord and then instead of playing Che moves the tonality up a half step playing on C7
+  Figure 88 is from Freddie Hubbards solo on Hub Tones5 Instead of playing on the written four bars of B7 Freddie plays B7 for only two bars then dips a half step below to A7 for most of the next two bars before returning to B7 just before the chord changes to E7 Insideoutsideinside
+
+Playing a Tritone Away
+Playing tritone substitution is another way to get outside6 Like the last example figure 89 is also from Freddie Hubbards solo on Hub Tones Freddie plays a phrase that looks and sounds like A77 A7 is the tritone substitution of E7 the written chord Freddie also stretches A7 two beats into B7 the next chord
+
+  If you asked Freddie what he was thinking at the time hed probably say I dont remember Your goal is to practice and internalize everything until you dont have to think while improvising Instead you just hear it and play it To get to this point requires hundreds maybe thousands of hours in the woodshed Remember Birds words Learn the changes then forget them
+Playing Scales to Get Outside
+Playing a scale can clearly outline a tonality other than the written one Woody Shaw was a master at playing scales that dont belong to the written chord Look at figure 810 from Woodys solo on his tune In Case You Havent Heard8 His first five notes suggest the key of F Next Woody plays a B pentatonic scale9 suggesting the key of B a tritone away from F He then clearly outlines F major again Woody creates a very clear harmonic structure the keys of F B F apart from the written chord symbol A4
+
+  A few bars later in the same solo Woody creates a similar effect as shown in figure 811 Over an F4 chord he first suggests the key of F then plays an E pentatonic scale a half step away and finally returns to F Insideoutsideinside
+
+  Figure 812 shows Woody playing notes from an F bebop dominant scale followed by two fournote figures suggesting the keys of A and A all over a C7 chord on his tune Rahsaans Run10
+
+Some Piano Stuff
+Pianists When going outside you have a builtin advantage that other instrumentalists dont have You have two hands one to play the written tonality and the other to go outside Figure 813 shows one of many ways you can do this The righthand phrase outlines the written C6 chord The left hand starts with diatonic 4ths in C minor and then continues the 4ths chromatically outside of C minor Your ear hears this as bitonality
+ One hand is playing in the key of C minor
+ The other hand is playing in the key of 4ths
+  The key of 4ths may sound weird but think about this Playing in a key sets up a certain dynamic and certain expectations After youve played C D E and F your ear expects G A B and C the rest of the C major scale to follow Playing in 4ths sets up a similar kind of expectation After youve played two or three 4th chords in a row your ear expects more 4th chords whether they are from the written chord changes or not
+
+The Chromatic Scale
+In terms of playing on chords the chromatic scale belongs to every chord belongs to no chord If you play a chromatic run on any chord it wont sound wrong But if you do this a lot youll end up sounding very boring and will gain a reputation as not being able to play the changes Nevertheless chromatic runs because they are harmonically ambiguous are a way to get outside the changes Figure 814 contains a portion of Freddie Hubbards solo on Hub Tones11 Freddie plays eight notes of the chromatic scale in the first and second bars ending on A a wrong note on a B7 chord Having fudged the tonality he then sequences a threenote pattern suggesting the keys of A F and B All this over the first five bars of a blues in B
+
+Be Brave Go Ahead and Play Outside
+An easy way to start playing outside is to do so on modal tunes These types of tunes provide lots of space on a given chord to establish the tonality take it outside and then bring it back to the changes Also since modal tunes have only one or two chords the inherent boredom of static harmony creates a need for dissonance Tunes such as Passion Dance12 So What13 Little Sunflower14 and Impressions15 are ideal for playing outside
+  Weve mentioned the pentatonic scale a few times and its time to talk about this scalein the next chapter
+______________________________
+CHAPTER NINE
+Pentatonic Scales
+ The Pentatonic Scale
+ The Modes and the Minor Pentatonic Scale
+ The I IV and V Pentatonic Scales on IIVI Chords
+ Playing Pentatonic Scales on Giant Steps
+ Pentatonic Scales and Avoid Notes
+ The II Pentatonic Scale over Major 7th Chords
+ The IV Pentatonic Scale over Melodic Minor Chords
+ The Insen and Other FiveNote Scales
+ The Minor Pentatonic and the Blues Scale
+ Practicing Pentatonic Scales
+The Pentatonic Scale
+
+  There are many fivenote scales but the term pentatonic scale usually refers to the fivenote scale shown in figure 92 Here are some easy ways to see hear and think of what a pentatonic scale is
+ It is 12356 of the major scale
+ It is the major scale without the fourth and seventh notes in the key of C leave out F and B
+ Intervalically you can think of it as whole step whole step minor 3rd whole step
+  Pentatonic scales give music a greater feeling of space Constructed of whole steps and minor 3rds only with no half steps pentatonic scales lack the chromaticism of other scales More air space and light enter the music when you play this largerinterval scale
+  In the swing era Art Tatum Lester Young and Teddy Wilson often played pentatonic scales Figure 93 shows Tatums rippling C pentatonic run on Harry Rubys Three Little Words2
+
+  Pentatonic scales werent played very much during the bebop era although the melody of Bud Powells So Sorry Please3 is based on an E pentatonic scale figure 94 Pentatonic scales were reintroduced into jazz in the early 1960s mainly by John Coltrane and McCoy Tyner
+
+The Modes and the Minor Pentatonic Scale
+Like any other scale the pentatonic scale has modes These modes originate from the different notes that you can use as the starting point for the scale as shown in figure 95 The fifth mode is played so often that it has acquired its own name the minor pentatonic scale which is closely related to the blues scale More on the blues scale in Chapter 10 The minor pentatonic lick shown in figure 96 is the first one that many jazz musicians learn to play
+
+
+
+The I IV and V Pentatonic Scales on IIVI Chords
+Three pentatonic scales occur naturally in every major key In the key of C major they are the C F and G pentatonic scales figure 97 Ill call them I IV and V These Roman numerals are meant to help you learn the scales position relative to the key they are in but they are not standard terms like slash chord or IIVI If you say Im playing on the IV pentatonic to another musician theyll think youre either a genius or crazyprobably the latter
+  Play each pentatonic scaleI IV and Vover the II chord then the V chord and then the I chord in the key of C If youre a pianist play the chords in your left hand while playing the scales in your right hand If youre not a pianist borrow a piano have your teacher play the chords or use the first track of Jamey Aebersolds playalong Vol 21 Gettin It Together
+
+
+  Over D7 the II chord all three pentatonic scales I IV and V will sound good figure 98 The V pentatonic scale based on G is a bit more interesting than either I or IV because it contains both B and Ethe 6th and 9th of a D7 chord Woody Shaw plays a V pentatonic over a II chord A pentatonic over E7 on Kenny Barrons Gichi4 as shown in figure 99 and figure 910 Many of the examples in this chapter feature Woody Shaw an acknowledged master of the pentatonic scale In another example Woody plays a I pentatonic over a II chord G pentatonic over A7 on his tune Rahsaans Run5 figure 911
+
+
+
+  Over G7 the V chord both the I and IV pentatonic scales have C the avoid note on a G7 chord figure 912 This doesnt mean that you cant play them it just means that each scale has a builtin dissonance If you play the V pentatonic scale over G7 however there is no avoid note The V pentatonic also sounds good because it contains both A and Ethe 9th and 13th of G7 Figure 913 shows Lee Morgan playing the V pentatonic on a V chord F pentatonic on F7 on his tune Totem Pole6 Figure 914 shows Woody Shaw playing F pentatonic on F7 on Ramon Morris Childs Dance7
+
+
+
+
+  Played over C the I chord the IV pentatonic scale has F an avoid note on a C chord figure 915 Both the I and V pentatonic scales sound consonant on a C chord since neither scale includes F the avoid note The V pentatonic scale sounds richer than the I pentatonic because it has both the 7th and 9th of the major 7th chord B and D on a C chord Figure 916 shows Mulgrew Miller playing an A pentatonic scale over A the I pentatonic on a I chord on Wingspan8 Figure 917 shows Mulgrew playing first a V pentatonic scale over a IIV E pentatonic over B7 E7 and then a I pentatonic over a I chord A pentatonic over A again from Wingspan
+
+
+
+
+  Play figure 918 and hear Lee Morgan play E pentatonic over A the V pentatonic over a I chord on Totem Pole9 Figure 919 shows two examples of Woody Shaw playing the V pentatonic over a I chord E pentatonic over A on Booker Ervins Lynns Tune10 Figure 920 shows Woody playing D pentatonic over G the V pentatonic over a I chord on Rosewood11 the A natural is a chromatic passing note
+
+  Figure 921 shows Woodys F pentatonic phrase over B on Rosewood12 Figure 922 shows Woody playing a B pentatonic lick over an E chord on Organ Grinder13
+
+
+
+Woody Shaw c1978 Bruce Polonsky All Rights Reserved
+  In case you havent noticed the V pentatonic scale sounds consonant when played on all three chordsII V and I This can simplify playing on IIVI considerably Practice improvising on the IIVI in C playing just the V pentatonic scale the one based on G An example is shown in figure 923 Track 1 of Jamey Aebersolds Volume 3 The IIV7I Progression is a good way to practice this in all keys
+
+  Here are a few general rules for playing pentatonic scales on IIVI chords
+ On a II chord play the I IV and V pentatonic scales
+ On a V chord play the V pentatonic scale
+ On a I chord play the I and V pentatonic scales
+ On a IIVI play the V pentatonic scale
+Playing Pentatonic Scales on Giant Steps
+Look at figure 924 the changes to John Coltranes Giant Steps14 a tune that has the reputation of being difficult to play Giant Steps is a challenging tune but the following examples may make it seem a bit easier In its 16 bars are 26 chord changes At a fast tempo thats a lot of chords to play How many keys does it go through The first chord is B The next two chords D7 and G are the VI in the key of G The next chord B7 is the V chord in the key of E The first four chords go through three keys Not to worry Every single chord in the tune is from those three keys Because Giant Steps is in only three keys you can play Giant Steps using just three pentatonic scales
+Giant Steps changes
+
+
+  Figure 925 shows both the key changes and the chord changes as they occur in Giant Steps Notice how much less often the keys change than the chords Giant Steps has 26 chords but only 10 key changes And those 10 key changes involve just three keysB G and E Think key not chord
+
+  Figure 926 shows the V pentatonic scales the key changes and the chord changes to Giant Steps Figure 927 shows a pentatonic solo based entirely on the V pentatonic scales of Giant Steps Figure 928 shows the same solo but with lefthand piano voicings
+  Playing an entire solo of nothing but pentatonic scales would sound pretty boring Mixed in with more conventional playing the changes however pentatonic scales give your playing structure and a feeling of increased space
+  Giant Steps is not the easiest tune on which to start playing pentatonic scales I chose it to demonstrate how to make a challenging tune more accessible As you begin to learn to solo using pentatonic scales try simpler tunes like Just Friends or Tune Up
+Giant Steps  V pentatonic scales over key changes and chord changes
+
+
+
+
+Pentatonic Scales and Avoid Notes
+Theres another reason the V pentatonic scale plays well over IIVI What are the avoid notes on D7 G7 C the IIVI chords in the key of C
+ On a D7 chord there is no avoid note
+ On a G7 chord the avoid note is C
+ On a C chord the avoid note is F
+  C and Fare the avoid notes on the IIVI in the key of C If you play the C major scale and leave out C and F youll have five notes left over as shown in figure 929 Rearrange those five notes and youll have the G pentatonic scale The V pentatonic scale is the major scale without the avoid notes
+
+  Because G pentatonic the V pentatonic scale in C has no avoid notes you can play it over any chord in the key of C C D7 Esus9 F4 G7 Gsus and B As an example Figure 930 shows Woody Shaw playing a G pentatonic phrase over Esus9 on Kenny Barrons Gichi15
+
+ Playing the Same Pentatonic Scale on Successive Chords in Different Keys
+  Because each pentatonic scale belongs to three different major keys the C pentatonic scale is I in C major IV in G major and V in F major you can often play the same pentatonic scale on successive chords in different keys as shown in the next three examples Notice that these examples are all played over II chords a whole step apart a very common chord progression
+  Figure 931 shows Joe Henderson playing G pentatonic over E7 and D7 on Horace Silvers Pretty Eyes16 E7 and D7 are II chords a whole step apart in the keys of D and C respectively The G pentatonic scale is the IV pentatonic scale in D and the V pentatonic scale in C Joe stretches a single melodic idea the G Pentatonic scale over two different tonalities the keys of D and C
+
+  Woody Shaw plays B pentatonic over G7 and F7 II chords a whole step apart in his solo on Rosewood17 as shown in figure 932 B pentatonic is the IV pentatonic in the key of F the G7 chord and the V pentatonic in the key of E the F7 chord
+
+  A little later in the same solo Woody plays E pentatonic over B7 and C7 II chords a whole step apart figure 933 E pentatonic over B7 is the V pentatonic over a II chord E pentatonic over C7 is the IV pentatonic over a II chord
+
+
+The II Pentatonic Scale over Major 7th Chords
+Another pentatonic scale is often played on major 7th chords Play an E pentatonic scale on a D chord as in figure 934 Playing G changes D to D4 or D Lydian The E pentatonic scale is built off of the second note of the D chord so well call it the II pentatonic scale Joe Henderson plays this idea E pentatonic over D on Duke Pearsons tune Gaslight18 as shown in figure 935
+
+  In figure 936 Woody Shaw plays the II pentatonic on a Lydian chord D pentatonic on C4 on In Case You Havent Heard19 Notice how Woody goes outside briefly playing a D natural in the seventh bar
+
+  Later in the same solo Woody again plays the same II pentatonic over the Lydian chord D pentatonic on C4 as seen in figure 937 When playing the II pentatonic scale on major 7th chords you dont have to wait until you see a 4 in the chord symbol Just as you can raise the 4th on any major 7th chord you can play the II pentatonic scale on any major 7th chord
+
+
+  Wayne Shorters Speak No Evil20 which alternates C7 and D chords for eight bars the first four bars are shown in figure 938 is a good spot to play a single pentatonic scale as shown in the twobar figure in figure 939 The E pentatonic scale is the IV pentatonic in the key of B the C7 chord and the II pentatonic on D
+
+  A common type of reharmonization on V chords is tritone substitution We wont cover tritone substitution thoroughly until Chapter 13 Basically tritone substitution means playing a V chord a tritone away from the V chord thats written Suppose youre playing on a D7 chord and you decide to use tritone substitution and play A7 instead D and A are a tritone apart This means you can play A pentatonic on D7 Figure 940 shows Mulgrew Miller using this idea on Wingspan21
+
+The IV Pentatonic Scale over Melodic Minor Chords
+In a melodic minor scale there is only a single naturally occurring pentatonic scale It is built off of the fourth note of the scale In C melodic minor the IV pentatonic would be built off of F figure 941 This IV pentatonic scale may sound a little strange if youre not used to it figure 942 This is because pentatonic scales sound resoundingly major and when you play them over the very exotic and decidedly unmajor sound of chords from the melodic minor scale strange and beautiful things happen If you dont like this sound dont worry about it Its all a matter of individual taste and your taste may change On melodic minor scale chords you can play the pentatonic scale based on the IV of the melodic minor key
+
+
+  A chord from melodic minor harmony that gets a lot of pentatonic action is the alt chord For instance G7alt is from the 7th mode of A melodic minor The pentatonic scale based on the fourth note of A melodic minor is D pentatonic as in the lick shown in figure 943 You can avoid the math by memorizing this shortcut On an alt chord play the pentatonic scale a tritone away on G7alt play the D pentatonic scale
+
+  Pentatonic scales dont occur in either diminished or wholetone scale harmony
+The Insen and Other FiveNote Scales
+There are thousands of different fivenote arrangements that could be called pentatonic scales One that is often played is the Insen scale first introduced into jazz by John Coltrane and McCoy Tyner and shown in figure 94422 The unusual interval pattern of the Insen scale is half step major 3rd whole step minor 3rd Play figure 945 and listen to Kenny Barron playing the Insen scale on the first few bars of his tune Golden Lotus23
+
+
+
+  The Insen scale occurs naturally in both the major and melodic minor scales As you can see in figure 946 the notes in the E Insen scale are found in both the C major and D melodic minor scales The E Insen scale is built off of the third note of the C major scale and the second note of the D melodic minor scale It can be played over both major scale and melodic minor scale chords but is often played on sus9 chords as in the previous example by Kenny Barron figure 945 Figure 947 shows an E Insen scale pattern over an Esus9 chord
+
+  Figure 948 shows another fivenote scale This scale doesnt have a commonly accepted name but Ive heard it called the altered pentatonic Like the Insen scale it is usually played on sus9 chords Unlike the Insen scale the altered pentatonic scale has a natural 13th and occurs naturally only in the melodic minor scale shown below
+
+The Minor Pentatonic and the Blues Scale
+The minor pentatonic scale is largely interchangeable with the blues scale which well cover in the next chapter Figure 949 shows both a C minor pentatonic scale and a C blues scale They are almost identical the only difference is the F in the blues scale a chromatic passing note between F and G Figure 950 shows two similar phrases over a C79 chord24 The notes in the first phrase are derived from the C minor pentatonic scale The notes in the second phrase are from the C blues scale
+
+
+
+
+ Pentatonic Scale Tunes
+  Some great tunes use pentatonic scales as melodic material including Gary Bartzs The Pennywhistle Call25 Johnny Mandels You Are There26 and Dizzy Gillespies Dizzy Atmosphere27 The first 15 bars of Joe Hendersons Black Narcissus28 shown in its entirety in figure 951 are based on the G and E pentatonic scales The first six notes of Sonny Rollins Sonnymoon For Two29 outline the B minor pentatonic scale as shown in figure 952
+
+Practicing Pentatonic Scales
+
+Most of the music we play is in 44 time so the fivenote pentatonic scale is often played in fournote groupings as in the F pentatonic pattern shown in figure 953 You have to internalize patterns like this but they can be pretty boring to practice As soon as you get comfortable with a pattern change it to a more rhythmically varied and swinging one like the one in figure 954 shown over lefthand piano voicings You can also explore patterns that skip notes in the scale as shown in figure 955 Experiment and come up with patterns of your own
+
+
+  The pentatonic scale is closely related to the blues scale Its time we look at the blues historically the most important predecessor of jazz and still the very heart and soul of the music
+______________________________
+CHAPTER TEN
+The Blues
+ Blues Changes
+ Special Kinds of Blues
+ The Blues Scale
+ The Minor Pentatonic Scale
+ Pentatonic Minor Pentatonic and Blues Scale Equivalents
+Traditional music theory doesnt explain the blues very well Consider this The I chord in the blues is a dominant 7th chord Also the blues scale is unlike any other scale found in Western music Take a look at figure 101 which shows the blues scale based on C It has two minor 3rds C to E and G to B a chromatic passing note between F and G F and consecutive half steps F F Gintervalic arrangements not found in such Western scales as the major and melodic minor scales The interval structure of the blues scale is minor 3rd whole step half step half step minor 3rd whole step
+
+  Jazz evolved in the nineteenth century from diverse AfricanAmerican European and LatinAmerican sources including African callandresponse chants fieldhollers gospel music the marches and popular songs of the day ring shouts and a largely Cuban influence called the Spanish tinge However no one source of jazz was more important than the blues The blues has its own traditions but is also the single biggest part of the jazz tradition
+  Just because the word blues appears in a songs title doesnt mean that the song is a blues Limehouse Blues and Bye Bye Blues are great tunes but they are not blues Neither are Chick Coreas Blues For Liebestraum nor Cedar Waltons Bremonds Blues Most blues are 12 bars long but some blues are longer or shorter and some 12bar tunes are not blues at all Why Because the blues is more than just a musical form its a sound a feeling and an attitude These things cant be conveyed by written notes on the page If youre totally unfamiliar with the blues listen to a B B King recording before you read any further1
+  Two main elements make up the blues the blues scale and the chord changes Well talk about the changes first
+Blues Changes
+There are zillions of sets of blues changes Having said that lets get back to reality There is a single commonly accepted set of threechord blues changes more or less unchanged since the earliest days of jazz and still played today Figure 102 shows the changes for a basic blues in C All three chordsC7 F7 and G7are dominant 7th chords Well call them relative to C I IV and V Modern examples of threechord blues include Miles Davis Blues By Five2 and two by Thelonious Monk Blue Monk3 and Misterioso4
+  Blues changes evolved slightly in the 1930s as shown in figure 103 Note the additions of the IV chord F7 in the second bar and the V chord G7 in the last bar
+
+
+  Figure 104 shows a more complex set of blues changes one that came into being during the bebop era Note especially the use of tritone substitution in the fourth bar more on this in a bit the descending chromatic IIV progression F7 B7 E7 A7 E7 A7 D7 G7 in bars 6 through 10 the IIVI root motion D7 G7 C7 in bars 9 through 11 and the IVIIIV turnaround C7 A7 D7 G7 in the final two bars
+  We wont analyze tritone substitution thoroughly until Chapter 13 but heres a quick note about what it is Tritone substitution means substituting a V chord a tritone away for the original V chord F7 for C7 When you do this you can also precede the new V chord F7 with its II chord C7 to create a IIV C7 F7 As an example in the fourth bar of figure 104 C7 F7 replaces C7
+  Several other variations on the blues evolved during the bebop era You could play C D7 E7 E7 in bars 7 and 8 for example or play a Tadd Dameron turnaround C E7 A D7 on the last two bars5
+
+  So which version of the blues do you play when soloing or comping on a blues
+ The original threechord basic blues
+ The variation from the 1930s
+ Any of the various bebopera changes
+  Should you play tritone substitution on the fourth bar Should you play a IIVI on bars 9 through 11  Should you play the chromatic IIV progression in bars 7 through 9 The answer is all of the above Todays jazz musicians freely mix all versions of the blues borrowing and switching even in the middle of a chorus You might just play C7 F7 C7 on the first four bars from the 1930s version play F7 and C7 on the second fourbar phrase the basic blues and then play IIVI changes on the last four bars the changes from the bebop era If youre soloing you can do whatever your ear mind and soul tell you to do If youre comping the pianist guitarist or bassist your job is to listen and follow
+  How do you master all this variety Start simple with the threechord blues and add each new chord or substitution when you can hear it and feel ready to play it Practice playing along with Jamey Aebersolds Vol 2 Nothin But The Blues
+Special Kinds of Blues
+In addition to the blues changes you just learned about there are special types of blues such as minor blues blues waltzes blues with a bridge and a few blues with sets of changes all their ownall of which are descended from the original threechord blues Lets examine some of these special types of blues
+
+
+  Figure 105 shows the changes to a minor blues Good examples of minor blues include John Coltranes Equinox6 and Mr PC7 Notice that the minor chords are notated C and Frather than C7 and F7 Thats because functionally they act as tonic minor or minor I chords rather than minor 7th or II chords Notating the first chord simply as C gives you the option of playing one of several scales For instance you could play C minor major rather than just the C Dorian scale that C7 would imply The most interesting thing about minor blues are the changes in bars 9 through 11 Instead of the usual VIVI G7 F7 C7 in a blues in C the progression in a minor blues is VI V I A7 G7 C in a C minor blues8
+  The blues is usually 12 bars long but blues can be longer or shorter than 12 bars One longer form is the blues waltz Figure 106 shows the changes to a blues waltz in this case Miles Davis All Blues9 Blues waltzes are usually 24 bars long twice as long as the traditional 12bar blues10 Blues waltzes often have unusual changes because the greater space in a 24bar form allows for broader harmonic variation Other good examples of 24bar blues waltzes include Wayne Shorters Footprints11 Toots Thielemans Bluesette12 and Larry Youngs Tyrone13 Horace Silvers Nutville14 is a 24bar minor blues but in 44 time
+  Lee Morgan combined minor blues with a blues waltza minor blues waltzin his tune Garys Notebook15 the changes of which are shown in Figure 107 Despite all the extra changes Lees tune is just a minor blues in B with a single repeated variationevery minor chord is followed by a V711 chord a halfstep up
+
+  Figure 108 shows the changes to a blues with a bridge in this case John Coltranes Locomotion16 Blues with a bridge takes the blues and puts it into a larger AABA form or standard American popular song form17 Each A section is a 12bar blues With its 8bar bridge the B section blues with a bridge is 44 bars long 1212812 The bridge of Locomotion is a variation of the changes on the bridge of Ive Got Rhythm the second most commonly played set of changes after the blues in jazz Coltrane managed to combine the blues AABA form and Ive Got Rhythm into a single composition Other great examples of blues with a bridge include Sam Jones Unit Seven18 and Cedar Waltons Shaky Jake19
+
+
+  Figure 109 shows the changes to a descending blues from Charlie Parkers composition Blues For Alice20 Note the unusual first chord F instead of the usual F7 the descending root motion of most of the chords in bars 1 through 9 F E D D C B A A G and the abundance of IIV progressions Two other good examples of descending blues are Birds Laird Baird21 and Sonny Stitts Jack Sprat22
+
+
+  John Coltrane introduced sus chords on the blues with his recording of Mr Day23 the changes of which are shown in figure 1010 Note the unusual key G Also note the equally unusual B7 and A7 chords in bars 9 and 10the IV and III chords relative to G rather than the V D7 and IV B7 chords to be expected in the ninth and tenth bars of a blues in G Another blues that uses sus chords is Ron Carters EightyOne24
+  Other blues that have unusual and unique changes include Miles Davis Freddie Freeloader25 and Solar26 John Coltranes Some Other Blues27 Horace Silvers The Jody Grind28 Charles Mingus Nostalgia In Times Square29 and Goodbye Pork Pie Hat30 Cedar Waltons Holy Land31 Wayne Shorters Twelve More Bars To Go32 and Freddie Hubbards blues in G called For Spees Sake33 Bud Powells Dance Of The Infidels34 is a 14bar blues the solos are 12 bars long with beautifully altered changes Joe Henderson has written several great blues with unusual changes including Isotope35 Homestretch36 Granted37 The Kicker38 In n Out39 If40 Tetragon41 and Mamacita42 Check out as many of these tunes as you can to get an idea of the limitless harmonic possibilities of the blues And transcribe them
+The Blues Scale
+All of the scales that youve learned so farscales from major melodic minor diminished and wholetone harmonycan be played on the blues However the oldest most basic melodic material played on the blues is the blues scale shown here as figure 1011 Memorize the interval structure of the blues scale minor 3rd whole step half step half step minor 3rd whole step You can play the blues scale not just on the blues but on any tune And you can play the blues scale on any chord Although you can play the blues scale on any chord it is most often played on dominant 7th and minor 7th chords
+
+  Play 1012 and listen to trombonist Curtis Fuller play the B blues scale on the first four bars of John Coltranes B blues Locomotion43 Play figure 1013 and listen to pianist Kenny Drew play the E blues scale on John Coltranes E minor blues Blue Train44 Figures 1014 1015 and 1016 show blues scale licks played by Joe Henderson on Horace Silvers African Queen45 Figures 1017 and 1018 show two blues scale licks played by Horace Silver on his The Cape Verdean Blues46 Figure 1019 shows a Freddie Hubbard blues scale lick from his solo on Duke Pearsons Big Bertha47 Figure 1020 shows Freddie descending the B blues scale on his tune Hub Tones48
+
+
+
+
+rhythm simplified
+
+
+
+
+
+  The most unusual thing about playing the blues scale on the blues is that you can play the same blues scale over all three chords of a basic blues Basic blues in C consists of three chords C7 F7 and G7 You can play the C blues scale over all three of these chords
+  As you may remember I said earlier that the blues isnt explained very well by traditional music theory As an example playing the blues scale over the IIVV chords of a basic blues yields dissonances hardly acceptable in traditional theory But these dissonances have been present in jazz since its inception
+
+  Play figure 1021 the same C blues scale lick played over all three chords in a basic C blues C7 F7 G7 Now play each of the three bars in figure 1022 and hear how dissonant certain notes in the blues scale lick sound over each chord F sounds dissonant when played on the C7 chord F is the avoid note on a C7 chord B sounds dissonant when played over an F7 chord B is the avoid note on an F7 chord And hear how dissonant both G and C sound when played on the G7 chord G is the major 7th of a G7 chorda wrong noteand C is the avoid note on a G7 chord So why does the same blues scalewith so many wrong notessound so right when played by a jazz or blues musician over a threechord blues Your guess is as good as mine Its not explainable in terms of Western music theory
+
+The Minor Pentatonic Scale
+The second mostplayed scale in blues improvisation is the minor pentatonic scale which we mentioned briefly in Chapter 9 Figure 1023 compares the C minor pentatonic scale with the C blues scale The C minor pentatonic scale which is the fifth mode of the E pentatonic scale is a C blues scale without the chromatic passing note As with the blues scale you can play a single minor pentatonic scale over all the chords in a blues The C minor pentatonic scale sounds good over all three chords of a blues in C C7 F7 G7
+
+
+
+  Figure 1024 shows a C minor pentatonic lick Joe Henderson played on Horace Silvers African Queen49 Figure 1025 shows Woody Shaw playing an E minor pentatonic phrase in his solo on Kenny Barrons Gichi50
+Pentatonic Minor Pentatonic and Blues Scale Equivalents
+As you learned in Chapter 9 you can play pentatonic scales on all major and melodic scale harmony chords On any chord for which a pentatonic scale can be played you can also play the blues scale a minor 3rd down from the root of the pentatonic scale
+  What follows is a guide to what blues scale to play over each chord from major or melodic minor harmony Youll go over what youve learned so far and then Ill show you a big shortcut
+  Heres a review of the pentatonic scale guidelines
+ On a II chord play the I IV and V pentatonic scales
+ On a V chord play the V pentatonic scale
+ On a I chord play the I and V pentatonic scales
+ On a IIVI play the V pentatonic scale
+  These guidelines translated into the key of C are as follows
+ On D7 play the C F and G pentatonic scales
+ On G7 play the G pentatonic scale
+ On C play the C and G pentatonic scales
+ On D7 G7 C play the G pentatonic scale
+  Here are the blues and minor pentatonic scale equivalents of the same guidelines
+ On D7 play the A D and E blues and minor pentatonic scales
+ On G7 play the E blues and minor pentatonic scales
+ On C play the A and E blues and minor pentatonic scales
+ On D7 G7 C play the E blues and minor pentatonic scales
+  Assuming you know what pentatonic scale goes with each chord heres the shortcut The blues scale that goes with each chord is a minor 3rd down from the pentatonic scale that goes with the same chord
+  The nextmostplayed set of changes after the blues are those from George Gershwins Ive Got Rhythm which well cover in the next chapter
+CHAPTER ELEVEN
+Rhythm Changes
+The second most common set of chord changes played in jazz the blues is first are those from Ive Got Rhythm an AABA tune composed by George Gershwin for a Broadway show1 Gershwin had no idea that his alltime most popular tuneat least in terms of the sheer number of times the changes have been playedwould not be Summertime or A Foggy Day but Ive Got Rhythm
+  Ive Got Rhythm was an immediate hit with the jazz musicians of the 1930s The changes were fun to play over they could be altered substituted for bent this way and that and otherwise reshaped creatively2 As bebop evolved in the early 1940s Rhythm changes became the basis for countless heads A head is often an original tune based on another tunes changes3 Here are just a few of the many heads based on Rhythm changes
+ Sonny Rollins Oleo4
+ Miles Davis The Theme5 and The Serpents Tooth6
+ Benny Harris Crazeology7
+ Thelonious Monks RhythmANing8
+ Sonny Stitts The Eternal Triangle9
+ Charlie Parkers Anthropology10 Moose The Mooch11 and Steeplechase12
+  Rhythm changes can be scary for beginners there are so many chords and they go by so fast One way jazz musicians judge each others competence is by how well they play Rhythm changes Pay heed Practice
+  Figure 111 shows the moreorless original changes to Gershwins Ive Got Rhythm
+  Figure 112 shows a variation that emerged during the 1930s Notice the following changes
+ Diminished 7th chords have been added
+ The G7 chords have been changed to G7
+ Some of the V chords have a 5 alteration
+
+
+
+
+
+
+  Figure 113 shows a more complex version of Rhythm changes that evolved during the bebop era Notice how this set of changes differs from the first two shown
+ The V chords have more possibilities They can be played unaltered or can be altered to 9 or alt chords the 9 or alt options shown with most of the V chords indicate that you can do this The A7 chord has a 11 alteration for reasons that will be explained in Chapter 13
+ The V chords on the bridge have become IIV progressions
+  Now play all three versionsthe music in figures 111 112 and 113one after the other You will hear a great deal of jazz history as you do so
+  When a musician calls a Rhythm tune like Oleo theres no discussion of which version of the changes to play As with the blues jazz musicians freely mix many versions of Rhythm changes on the spot as they improvise Playing Rhythm changes is a little like knowing several tunes and playing them all at once thats why Rhythm tunes are harder to play at first than a tune with only a single set of changes
+  The changes shown in figure 113 are more or less todays standard version with slight variations according to each individual players taste There is a cornucopia of possibilities for altering the changes however After you read Chapters 13 through 15on reharmonizationyou may want to return to this chapter and try out some reharmonization techniques
+  Heres a story about Rhythm changes I was playing with saxophonist Sonny Stitt in a club in Boston and had to cope with the changes he suddenly started playing over the first four bars of Rhythm as shown in figure 114 After a couple of choruses glares from Sonny and a growing sense of feeling smaller and smaller I finally strolled or stopped playing After the set I asked him what were the changes he was playing and he growled just listen man The progression that Sonny played starts on F7 and goes around the cycle of fifths leading to the B7 chord in the fifth bar13
+
+  Another popular variation on the first four bars of Rhythm changes comes from Jimmy Heaths CTA14 shown in figure 115 Here descending V chords over the first two bars are repeated in bars 3 and 4
+
+  As shown in figures 111 and 112 the original changes on the bridge of Ive Got Rhythm are four V chords lasting two bars each starting on D7 and going around the cycle of fifths D7 G7 C7 F7 A common variation is to start on the D7 chord and descend chromatically ending on B7the V chord a tritone away from F7as shown in figure 116 Kenny Dorham varied this idea on his tune Straight Ahead15 as shown in figure 117 He started with a V chord a whole step higher and then speeded up the harmonic rhythm by playing each V chord for one bar only starting on the third bar Straight Ahead is usually played in A but this example is shown in B so you can easily compare it with the other examples in this chapter all of which are in B In fact most Rhythm tunes are in B
+
+
+  So far youve learned about basic harmony the major modes and the IIVI progression melodic minor diminished and wholetone chords and scales sequences slash chords the bebop and pentatonic scales the blues and Rhythm changes This is a good time to take a breather from theory and discuss some general principals having to do with practicing
+Jazz is spontaneous improvised music that requires an enormous amount of preparation Splitsecond decisions are the norm whether youre playing an unfamiliar tune with strange musicians at a fast tempo or Autumn Leaves for the thousandth time To experience being creative in any playing situation is exhilarating Without the right preparation however youll never experience it How to prepare Practice
+  Every great jazz musician has developed an efficient practice routine Practicing your instrument several hours every day may not make you a better jazz musician unless you learn what and how to practice Many of the practice techniques discussed in this chapter are non linear rightbrain approaches that are just as important to playing jazz as learning the right changes
+Make Music When Practicing
+Even when practicing scales and exercises make music not just scales and exercises Play with feeling and intensity Practice heads and melodies as beautifully and personally as possible Many great jazz performances especially ballads consist of playing the head a brief solo and then the melody again This means that most of your performance may be melody not improvisation Make it count Listen to McCoy Tyner play the melody on his Search For Peace1 Listen to Coltrane play the melodies of I Wish I Knew Nancy With The Laughing Face and Say It Over And Over Again2 And listen to Kenny Dorhams rendition of Alone Together3 just a single beautiful chorus of melody with no solos
+Practice Everything in Every Key
+Practice everything in every key Everything voicings licks patterns and tunes Especially tunes After youve learned a tune practice it in a key other than the original one This will highlight all your weaknesses telling you immediately what you have to practice The real quantum leap for successful jazz musicians comes not when they can play all the licks but when they can play them on any tune in any key
+
+  How well do you play in the difficult keysB E A G and D All The Things You Are has a IIVI in the key of E I Didnt Know What Time It Was starts with IIV progressions in E and D Have You Met Miss Jones has IIVI progressions in both G and D Freddie Hubbards Crisis4 is in B So are Coltranes Giant Steps5 and Central Park West6 and Wayne Shorters Children Of The Night7 Duke Pearsons Gaslight8 is in E Freddie Hubbards arrangement of Clare Fischers Pensativa is in G9 Miles Davis Tune Up10 and Duke Ellingtons Reflections In D11 are both in the key of D Unless you internalize these keys youll never have an easy time with these tunes
+  A good way to gain facility in all keys is to pick a tune you know well play it through in the original keywith all your licks patterns phrases voicings and so onand then play it a half step up with the exact same licks patterns phrases and voicings Youll immediately know what you need to practice
+
+Practice to Your Weaknesses
+When practicing concentrate on things that you dont play well Suppose youre practicing a lick through all 12 keys Which keys give you the most trouble Go back and practice the lick again in those keys Can you play a lick on F7alt as fast as you can on C7alt Spend extra practice time on F7alt until it becomes just as easy to play as on C7alt
+  After a rehearsal or gig think back on what part of your playing felt the shakiest and start your next practice session by working on that As you pinpoint your weaknesses youll know exactly what to practice If you have limited practice time it becomes productive to pick up your instrument and practice for 15 minutes because youll know exactly what to practice
+
+Speed Comes from Accuracy
+If youre practicing something fast and its not getting any better slow down Speed comes from accuracy and relaxation If you play something accurately you can then play it a little faster
+The Tactile and Visual Aspect
+As important as the aural C7alt sounds like this and the theoretical C7alt is the seventh mode of D melodic minor are the tactile C7alt feels like this and visual C7alt looks like this ways of internalizing music When McCoy Tyner or Gary Bartz are playing theyre not thinking IIV 7th comes down a half step They did that already many years ago By now they know how everything feels and looks like on their instruments Be as aware of this part of the music as you are of the sound and the theory Theory is about numbers and you want to get beyond the numbers
+  As you practice a visual imprint of the notes you play is made on your eyes and a tactile imprint is made on your fingers hands arms and if youre a drummer or pianist your feet Your memory of a piece of music be it a lick phrase or an entire tune is internalized through constant repetition practice in other words and consists of four parts
+ Aural or how the music sounds C7alt sounds like this
+ Theoretical or how you think about the music C7alt is the seventh mode of D melodic minor
+ Tactile or how the music feels C7alt feels like this
+ Visual or how the music looks C7alt looks like this
+  Pianists have a visual advantage over other instrumentalists because the piano is a colorcoded instrument The notes on the piano are either black or white and each major or melodic minor key has a color The key of G is six white notes plus F The key of B is five white notes plus B and E This isnt true for other instruments Notes on the trumpet or saxophone are all the same color brass On the guitar and bass each note is the same color string Only on the piano are the notes different colors Check this out The following chords D Esus9 F5 G711 B and C7alt all come from the D melodic minor scale Think of them visually as six white notes plus C figure 121 Think of all the chords from G melodic minor G Asus9 B5 C711 E F7alt as five white notes plus B and F figure 122
+
+
+
+Licks and Patterns
+You should practice licks and patterns to get your fingers brain and eyes all in synch so that you are comfortable in as wide a range of musical situations as possible Licks and patterns should become part of your musical unconscious kind of like an inner library you can draw upon At the same time they should not be your musical beall and endall Your goal should be to develop musical ideas of your own or invent your own licks
+  Licks and patterns will always be played more on up tempo tunes because the mind doesnt have as much time to think and the fingers rely on what is known and secure Use licks and patterns to get to know your instrument but try not to use them exclusively as you solo
+  That having been said note that virtually every great soloist has practiced licks and patterns As you practice you might worry that youre going to end up as a copy of the player whose licks youre stealing This fear is largely unjustified Very few musicians wind up sounding like a clone of another player Your notes alone do not make you a player First of all if youve got any kind of artistic sensibility your internal censor will prevent you from copying anyone too much If youre a tenor player you could practice Coltrane patterns forever but its unlikely that youll end up as a Coltrane copy with no originality Your embouchure lung capacity and finger dexterity arent the same as Coltranes Much more important neither are your life experiences
+
+Transcribing
+A wise musician once said The answers to all your questions are in your living room Having a good teacher is invaluable and books can help you with certain things but your record collection contains everything you need to know Learn to transcribe early and well As an example the best way to learn a tune is to transcribe it off the record A lead sheet usually contains only the melody and the chord symbols When you transcribe you involve yourself much more directly with the music Youll hear everything the intro melody chords solos bass lines drum hits form vamps interludes ending dynamics the interaction of the musicians plus the emotional content of the performance You can only get all this by listening carefully to the recording
+
+  To transcribe quickly and efficiently you need the right equipment
+ A portable CD player or handheld Walkmantype stereo cassette player with pitch control called speed control on some machines and a pause button Some machines come with octave pitch control which lets you slow things down to half speed Unfortunately they are considerably more expensive than ordinary CD or tape players12
+ A good set of stereo headphones
+  Many musicians including lots of non pianists use the piano when they transcribe Set the tape or CD player on top of the piano and put on the headphones Play a few bars and adjust the pitch control so the tape is in tune with the piano Listen to the tune Whats the form If you figure out that youre working on an AABA13 tune before you set pencil to paper you can save a lot of time If you cant identify a chord in the first A section youre going to hear it at least twice more in an AABA tune
+  Start by transcribing the melody Listen to the first phrase Push the pause button and write down as many as possible of the notes youve just heard To get the rhythmic placement tap your foot and sing the phrase noting where the notes fall in relation to the beats Dont worry if you dont get all the notes at first Keep starting and pausing adding more notes and gradually fill in the gaps Eventually youll have the whole phrase The more you transcribe the faster and more adept youll become
+  Transcribe the bass line next or at least the note the bassist plays on each new chord change Next transcribe the chord changes using the bass line as a guide If youre not sure whether a chord is major or minor listen to it on the tape while playing the major 3rd on the piano If it doesnt sound right play the tape again while playing the minor 3rd on the piano Which note sounds right If youre still not sure try the same procedure when the chord in question comes around on the next chorus Dont get bogged down on one chord Go on returning later to work on the problem chord By then you may have solved the problem anyway because youll have heard the same chord on subsequent choruses
+  Writing down tunes as you transcribe them is essential but there are two opposing schools of thought about transcribing solos
+ Write out the solo
+ Dont write out the solo but instead learn it by playing along with the recording
+
+  The second method is by far the best Playing along with the record immerses you much more deeply in the music than just writing down and playing it later You will learn not just the notes but also the breathing phrasing and emotional content of the solo If you still want to write down the solo do so after learning it on your instrument
+  A third methodbuying a book of transcribed solosis useful on some levels but omits a couple of vital parts of your relationship to the music listening and discovering the music by yourself
+PlayAlong Recordings
+Playalong recordings consist of a rhythm section comping through chord changes These recordings are a tremendous help if you cant afford to have a band accompany you while you practice The Jamey Aebersold series 60 volumes and still growing14 offers three basic types of recordings
+ Collections of tunes by particular musicians including Wayne Shorter Horace Silver Miles Davis John Coltrane Sonny Rollins Duke Ellington Charlie Parker and so on
+ Collections of standard tunes such as Body And Soul Stella By Starlight and so forth
+ Recordings that deal with specific areas of study such as IIVI progressions the Blues and so on Four especially good ones are Vol 2 Nothin But Blues Vol 3 The IIV7I Progression Vol 16 Turnarounds Cycles  IIV7s and Vol 21 Gettin It Together
+
+  Each recording CD tape or LP comes with a book of the music written for concert B E and bass clef instruments The rhythm sections on Aebersold records include some of the best players in the world bassists Ron Carter Lonnie Plaxico Rufus Reid and Sam Jones drummers Billy Higgins Ben Riley Billy Hart Al Foster and Louis Hayes piano players Kenny Barron Ronnie Matthews Cedar Walton15 Mulgrew Miller James Williams Richie Beirach and Hal Galper If youre a pianist you can turn off the piano channel and play along with bass and drums If youre a bassist turn off the bass channel and play along with piano and drums
+Play Along with Real Records
+Dont limit yourself to playalong records Play along with great recordings also Put on a Miles Davis record from the late 1950s and play along with Miles Coltrane Wynton Kelly Paul Chambers and Philly Joe Jones Try to get into the same groove at the same energy level as the players on the record If you cant get your instrument and your CD in tune with each other tape the recording adjust the pitch control and youre in business
+Keep a Notebook
+Keep a notebook of ideas that you come across while practicing or listening Write down the names of tunes that you want to learn or things that you want to remember to practice This can help you focus in on your needs and bring some sense of order to the everlengthening list of stuff you want to woodshed
+Relax
+Be aware of any unnecessary muscle tension as you play Breathe normally and deeply If youre not a horn player smiling while you play can help you relax Drummer Billy Higgins always smiles when he plays Does he know something we all should know
+
+Tap that Foot
+Do you tap your foot when you play There are more theories about how to do this correctly than you can count Some musicians tap their toe Pianist Jaki Byard taught me to tap my heel which helps me solidify my time feeling and gives me a sense of forward motion Some musicians tap on all four beats some on one and three and some on two and four Many Latin musicians tap clave16 And some musicians dont tap at all Check out Thelonious Monk on the video Straight No Chaser17 Monk taps his toe his heel his whole foot and glides his foot forward and backward depending on what hes playing at the moment Whatever feels natural is OK as long as it doesnt get in the way of your playing and isnt so loud that it distracts your fellow musicians
+Cultivate Your Environment
+Whether you live in a big city or a small town jazz is probably played somewhere nearby Listen to as much live jazz as possible Recordings are not enough You need to see hear and feel the emotion heat and sweat of jazz as it happens Find the best musician on your instrument in your area and ask if you can study with him or her If he or she doesnt want to take you on many great musicians are reluctant to teach keep asking for at least a single lesson I had one lesson with Barry Harris that changed my playing completely
+
+  As you watch a live performance be aware of the interaction between musicians How do they communicate By signs Verbally Non verbally Look for eye contact or other body language How do the musicians let each other know when theyre finished soloing when to take fours when to take the tune out and so on You can learn almost as much by watching as by listening to the music
+  If a pianist and guitar player are playing together in the same rhythm section do they play well together Are their styles compatible How do they keep each others chords from clashing Does one lay out while the other comps If they both comp at the same time does one play more sparingly than the other Usually the pianist takes the more dominant role but not always18
+Form
+Finally when it comes time to climb on the bandstand and do your thing be aware of how your solo functions within the context of the bands entire performance Will your solo contribute to the overall sense of form Will you solo after the head when everything seems fresh and the energy level is high Will your solo come later leading into a quiet bass solo You may have to adjust to circumstances such as these If youre playing the melody think about how to begin and end the tune so that the other musicians will be able to and want to follow your lead
+  OK its time to go back to theory One of the unique aspects of jazz is that we musicians cant leave well enough alone Not satisfied with what George Gershwin and Cole Porter have written we feel an overwhelming urge to change what they wrote namely to reharmonize
+______________________________
+REHARMONIZATION
+CHAPTER THIRTEEN Basic Reharmonization 
+Reharmonizing V as IIV
+Tritone Substitution
+Reharmonizing Minor Chords
+ Descending and Ascending Lines on Minor Chords 
+ HalfDiminished Chords 
+ Reharmonizing II Chords as Slash Chords 
+ Changing IIV to V of V 
+Reharmonizing V Chords
+ V79 V7alt and V711 Chords 
+ Other Common V Chord Resolutions 
+ V75 Chords 
+ V79 Chords 
+ Reharmonizing VI Chords as V Chords 
+Reharmonizing I Chords
+ Lydian 4 Chords 
+ Lydian Augmented 5 Chords 
+ Moving a I Chord Up a Half Step 
+ Slash Chords as I Chords 
+ Attention Horn Players and Singers 
+Reharmonization During Solos
+Reharmonizing I Hear A Rhapsody
+CHAPTER FOURTEEN Advanced Reharmonization 
+Contrary Motion
+Parallelism
+Slash Chords
+Ascending and Descending Bass Lines
+Build a Chord On Any Root
+Sus and Sus9 Chords
+Deceptive Cadences
+ Making a Deceptive Cadence a True One 
+Chromatic Approach
+Anticipating a Chord with Its V Chord
+Using the Diminished Chord
+Change the Melody
+Change the Chord
+Common Tones
+Pedal Point
+Combining Techniques
+ CHAPTER FIFTEEN Coltrane Changes 
+Giant Steps Changes
+A History Lesson
+Countdown and Tune Up
+Coltrane Changes Played on Standards
+ Practicing Coltrane Changes 
+Tonal Centers Moving by Minor 3rds
+McCoy Tyners Locrian V Chord
+CHAPTER SIXTEEN Three Reharmonizations 
+John Coltranes Reharmonization of Spring Is Here
+Kenny Barrons Reharmonization of Spring Is Here
+John Coltranes Reharmonization of Body And Soul
+CHAPTER THIRTEEN
+Basic Reharmonization
+ Reharmonizing V as IIV
+ Tritone Substitution
+ Reharmonizing Minor Chords
+ Reharmonizing V Chords
+ Reharmonizing I Chords
+ Reharmonization During Solos
+ Reharmonizing I Hear A Rhapsody
+Most jazz pianists tend to play voicings without the root of the chord on the bottom Because this book is for everybody not just pianists I want you to hear what the reharmonizations sound like with the root in the bass For this reason most of the examples in this chapter are shown as simplified piano voicings in root position Of course the best way to hear these reharmonizations is to listen to the recordings
+Play figures 131 and 132 and listen to the sound of reharmonization Figure 131 shows the last two bars of Jimmy McHughs On The Sunny Side Of The Street Figure 132 is Kenny Barrons reharmonization of the same two bars with D4 replacing the original C chord1
+  Reharmonizing a tune makes it more interesting and individual The individual part is very important The ultimate goal when reharmonizing a tune is to make it sound as much like your tune as the original songwriters As such reharmonization is a form of composition You dont have to reharmonize an entire tune Sometimes changing a single chord completely alters the way a tune sounds and stamps it as your own unique version You can reharmonize the chords to a tune both ahead of time and in the heat of the moment while soloing
+
+Kenny Barrons piano voicings simplified
+
+  Reharmonization can take several forms
+ Altering the chords
+ Increasing the number of chords
+ Decreasing the number of chords
+ Substituting a chord or chords for the written chord or chords
+Reharmonizing V as IIV
+Many of the standard tunes in the jazz repertoire were written in the 1920s and 1930s Those tunes consist largely of VI progressions IIV and IIVI progressions were used only by the more sophisticated songwriters of that time One of the first reharmonization techniques used by the jazz musicians of the 1930s was to precede a V chord with its II chord to create a IIV progression Reharmonizing V as IIV makes a tune sound more modern and expands the improvisational possibilities
+
+  Play figure 133 the first two bars of Victor Schertzingers I Remember You Now play figure 134 and hear the difference the simple addition of the B7 chord makes The V chord E7 has been preceded by a II chord B7 creating a IIV progression B7 E7 You saw another example of preceding V with II to create a IIV progression in Chapter 11 on the bridge of George Gershwins Ive Got Rhythm figures 112 and 113
+
+Tritone Substitution
+Reharmonizing can mean replacing one chord with another or using a substitute chord A substitute chord is just what it sounds like a chord that substitutes for the chord written on the lead sheet
+  Play figure 135 the first four bars of Jerome Kerns All The Things You Are Listen especially to the E7 A VI in bars 34 Now play figure 136 and listen to the A7 that substitutes for E7 in bar 3 Does the chord progression sound smoother More modern Do you like it This is the sound of tritone substitution Now play figure 137 an expanded form of tritone substitution where a IIV E7 A7 substitutes for the original V chord E7
+
+
+
+  Play figure 138 the IIVI in the key of C Now play figure 139 in which D7 substitutes for G7 Substituting D7 for G7 creates a chromatic bass line D D C
+
+  Heres how tritone substitution works As you learned in Chapter 2 the two most important notes in major minor and dominant 7th chords are the 3rd and the 7th These notes determine the quality of or differences between those chords Lets review the rules
+ A major 7th chord has a major 3rd and a major 7th
+ A minor 7th chord has a minor 3rd and a minor 7th
+ A dominant 7th chord has a major 3rd and a minor 7th
+
+  Chapter 2 also mentioned an additional difference between the three types of chordsthe interval between the 3rd and 7th
+ The interval between the 3rd and 7th of a major 7th chord is a perfect 5th
+ The interval between the 3rd and 7th of a minor 7th chord is also a perfect 5th
+ The interval between the 3rd and 7th of a dominant 7th chord is a tritone
+  Because the tritone occurs only in the dominant chord its presence defines a dominant chord A tritone is a very unstable interval It sounds as if it wants to go someplace which is why V chords want very much to resolve often to a I chord If you play just the two notes of the tritone they sound like a V chord incomplete though the chord may be Whats so unusual about a tritone is that its the 3rd and 7th of not just one but two dominant 7th chords
+  Play 1310 B and F the 3rd and 7th of G7 are the same notes as F and C the 3rd and 7th of D7 B and C are enharmonicthe same notes just spelled differently Because the tritone the 3rd and 7th of both G7 and D7 is the same G7 and D7 can substitute for one another
+
+  Quite often this tritone substitute V chord is preceded by its II chord creating a IIV progression as happened in figure 137 Compare the sound of the next four examples
+
+ Play figure 1311 the IIVI in C
+ Play figure 1312 the same IIVI but with D7 the tritone substitute replacing G7
+ Play figure 1313 with A7 preceding D7
+ Play figure 1314 with A7 D7 the tritone substitute IIV replacing D7 G7
+  The 3rd and 7th of a V chord always form the interval of a tritone no matter which note is on top Why Because a tritone is exactly half an octave and if you invert it put the top note on the bottom or vice versa it is still a tritone2 The roots of the G7 and D7 chords are also a tritone apart
+
+
+
+  Another reason to play a tritone substitution is that it often makes the melody note more interesting Play figure 1315 bars 3133 of Jerome Kerns All The Things You Are The melody note on the F7 chord G is the 9th of the chord a pretty note Now play figure 1316 F7 has been replaced by B7 its tritone substitute This reharmonization not only creates chromatic bass motion but also enhances the melody note G by changing it from the 9th of F7 to the 5 of B7 a more interesting note
+
+
+  Use caution and taste when using tritone substitution in the melody of a tune If youre not careful you might make the melody note sound less interesting Play figure 1317 the first three bars of the bridge to Victor Youngs Stella By Starlight Now play figure 1318 where D7 has been substituted for G75 Chromatic bass motion has been created D7 to C7 but E the melody note has been changed from the 5 of G7 to the 9th of D7 a less interesting note
+
+  To sum up there are two reasons for playing tritone substitution on the melody of a tune
+ To create a chromatic bass line
+ To make the melody note more interesting
+  The preceding tritone substitutions were determined ahead of time The next few examples show tritone substitution as onthespot reharmonization in the midst of a solo
+
+
+
+  One of the first places to learn to play tritone substitution is on the fourth bar of the blues Figure 1319 shows the changes for the first five bars of a blues in B Figure 1320 shows how Herbie Hancock substituted a B7 E7 IIV progression for B7 in the fourth bar of Freddie Hubbards blues in B Hub Tones3 E7 is the tritone substitute for B7 and B7 precedes E7 to make a tritone substitute IIV B7 E7
+  Figure 1321 shows Freddie Hubbard substituting F7 B7 for F7 in the fourth bar of Duke Pearsons blues in F Ready Rudy4
+
+  Figure 1322 shows bars 910 of Bud Powells Dance Of The Infidels5 The G7 bar is followed not by C7 but by D7 G7the tritone substitute IIV of C7
+  Figure 1323 shows the changes of bars 911 of a blues in F Figure 1324 shows an improvised phrase over a reharmonization of those bars The IIV G7 C7 has been compressed into a single bar followed by its tritone substitution C7 F7 in the next bar
+
+
+
+  Lets look at a tune and see where tritone substitution might sound good Play figure 1325 an arrangement of the standard tune I Hear A Rhapsody Now play figure 1326 and listen for the examples of tritone substitution There are lots of V chords and IIV progressions in figure 1325 Which ones lend themselves to tritone substitution Remember the two criteria mentioned earlier and ask yourself if you fulfill either or both by playing tritone substitution
+ Do you create chromatic bass motion
+ Does the melody note become a more interesting or prettier note
+  At least one of these things should happen to justify using tritone substitution Well be switching back and forth between figures 1325 and 1326 for a while so pay attention
+  Bar 2 of figure 1325 contains the IIV progression F7 B7 Changing the B7 chord to E7 works well as you can hear when you play the first few bars of figure 1326 There is now chromatic motion in the bass E79 to EA The melody note D changes from the 3rd of B7 to the 7th of E7 Neither the 3rd nor the 7th is more interesting than the other but you now have an opportunity to make the chord more colorful by adding a 9 to the E7 chord V chords with the 7th in the melody often sound good when voiced with a 9 The interval of a perfect 5th or a perfect 4th when inverted between the 9 and 7th gives the chord stability
+
+
+c1940 Broadcast Music Inc USA Campbell Connelly  Co Ltd 89 Frith St London W1
+Used by Permission of Music Sales Ltd All Rights Reserved International Copyright Secured
+
+
+c1940 Broadcast Music Inc USA Campbell Connelly  Co Ltd 89 Frith St London W1 Used by Permission of Music Sales Ltd All Rights Reserved International Copyright Secured
+  On the other hand sticking with B7 the original chord opens up the opportunity to play a 9 on the B7 chord 9 usually sounds good on V chords resolving down a 5th The 9 B of the B7 chord wants to resolve to the 5th of the E chord as shown in figure 1327 This is not a rule its just something that usually works
+
+  Would B7alt work in bar 2 Not with the 3rd in the melody There is a builtin clash in this situation because of the resulting minor 9th interval between the 3rd and the 9 as shown in figure 1328 V7alt sounds very dissonant when the 3rd is the melody
+
+  Could we play a tritone sub on the whole IIV progressionB7 E7 for F7 B7 Not if we stick with the original melody because the melody note on the F7 chord E would be the major 3rd of B7 and minor 7th chords dont have a major 3rd
+  The next V chord is D7 in bar 3 Tritone substitution isnt a good idea here because there is already chromatic movement in the bass D7 to C7 If you play G7 in place of D7 youll lose the chromatic bass motion
+  The C7alt chord in bar 4 is a maybe Substituting G7 for C7alt creates chromatic bass motion G7 to F However it also changes A the melody note from the 13 of C7alta pretty noteto the 9th of G7 a less interesting note Both chordsC7alt and G7sound good neither one sounding particularly better than the other Since I Hear A Rhapsody is an AABA6 tune you could play C7alt on the first eight bars then G7 on the second eight
+  Changing the B7 chord in bar 6 to E7 creates chromatic bass motion E7 to E while changing the melody note from the 3rd of B7 to the 7th of E7 produces no loss or gain in color We cant play a IIV tritone sub in bars 56 because one of the melody notes on the F chord B would be the major 7th of the B7 chord and minor 7th chords dont have a major 7th
+  G7 the last chord in the first ending is a good candidate for tritone substitution The substitution creates chromatic bass motion D7 to C7 and A the melody note changes from the 9th of G7 to the 13 of D7alta more interesting note
+  Theres a golden opportunity to play tritone substitution in the second ending because it includes just chords and no melody Playing E7 A7 in place of A D7 creates chromatic bass motion going into the bridge A7 to G and the absence of a written melody means we can improvise one of our own a descending line leading down to D the first melody note on the bridge
+  Playing A7 as a substitute for D7 in bar 11 is not a good choice Chromatic bass motion would be created A7 to G but the two melody notes E and C would change from the 9 and 7th of D79 to the 5th and 3rd of A7losing the 9 is not worth it
+  Substituting B7 for F7 in bar 13 works well It creates chromatic bass motion B7 to B and changes D the melody note from the 13th of F7 to the 9 of B7a more colorful note A tritone sub IIV wont work well however D the melody note on the C7 chord would be the 6 on an F7 chorda note not found in the F Dorian scale
+  Bar 17 the last bar of the bridge has the same situation as bar 8 the last bar in the first ending D7alt substitutes well for G7
+  Heres a final caution You can overdo tritone substitution Use taste
+Reharmonizing Minor Chords
+Just because a lead sheet says to play a minor 7th chordD7 for exampledoesnt mean that thats the best choice of minor chord If the next chord is anything other than G7 which would make the IIV progression D7 G7 or D7 the tritone sub of G7 the D7 chord is functioning as a tonic minor chord instead of a II chord In this case D6 or D may sound prettier than D7 Play figure 1329 the first two bars of Arthur Schwartz Alone Together with D7 as the first chord The second chord is not G7 so D7 is not part of a IIV Playing D6 instead of D7 makes the chord sound darker and more like a tonic minor as youll hear when you play figure 1330 Heres a big exception If the melody note on a minor 7th chord is the minor 7th the chord is de facto a minor 7th chord and you normally wouldnt change it
+
+
+  Remember what to look for If a minor 7th chord is not part of a IIV progression you can usually play a minor 6th or minormajor chord instead of a minor 7th chord so long as the melody note isnt the minor 7th This doesnt mean you have to or even want to make this substitution It just adds a different flavor
+
+
+  Play figure 1331 the first bar of George Gershwins Summertime The first chord shown on most lead sheets for Summertime is F7 The next chord is not B7 so the initial F minor chord is not part of a IIV progression This means you can reharmonize F7 as a tonic minor chord F6 as in figure 1332 or F as in figure 1333 Which of the three examples do you like best
+
+ Descending and Ascending Lines on Minor Chords
+  When a tonic minor chord lasts for two bars or more a chromatically descending line leading from the root to the 6th of the chord is a nice touch Songwriters have used this device since the earliest days of Tin Pan Alley Play figure 1334 the first four bars of Irving Berlins Blue Skies and youll hear this effect F the root of the Fchord descends chromatically to E the major 7th of F then to E the minor 7th and finally to D the 6th This creates the effect of four minor chords passing by F F F7 and F67
+
+  Many jazz musicians use the same descending line idea when playing the first bar of Thelonious Monks Round Midnight as youll hear when you play figure 1335 E the root of the E minor chord moves down to D then D then C Listen to the effect of four different E minor chords going by E E E7 and E6 Play figure 1336 the first four bars of Irving Berlins How Deep Is The Ocean and youll hear the same idea To duplicate this effect yourself look for a tune with two or more bars of the same minor chordfor example the first four bars of George Gershwins Summertime as shown in figure 1337
+
+
+
+
+
+  The descending line played on the minor chord in the previous examples ends with the 6th and that note is also the 3rd of the V chord that follows a II chord in a IIV Because of this you can use the descending line to melodically connect the II chord to the V chord Improvisers do this often as shown in the two commonly played licks in figure 1338 Notice how D the root of D7 descends to D C and finally B the 3rd of the G7 chord This creates the effect of four chords passing by D D D7 G7 Notice also the delayed resolution of D7 to G7 in the first example Sonny Rollins uses this idea in the melody of bars 910 of his blues Tenor Madness8 as shown in figure 1339
+
+
+  Play figure 1340 again from How Deep Is The Ocean and youll hear another type of moving line on a tonic minor chord This line ascends chromatically from G the 5th of the C minor chord to A A and B creating the effect of four different C minor chords passing by C C6 C6 and C7 To use this idea yourself look for tunes with two or more bars of the same minor chord as in once again the first four bars of Summertime as shown in figure 1341
+
+ HalfDiminished Chords
+  If a minor 7th chord is part of a IIV you can often reharmonize the II chord as a halfdiminished chord D7 G7 becomes D G7 This wont work if the melody note on the II chord is the 5th or 6th however because those notes are flatted in halfdiminished chords Figure 1342 shows the first two bars of Victor Youngs Stella By Starlight which starts with E7 A7 a IIV Now play figure 1343 and hear how the E7 chord has been changed to E Note that the A7 chord has also been altered to A79 Also notice that B the 5 of the E chord becomes the 9 of the A79 chord When you change a minor 7th chord to halfdiminished the V chord that follows is usually reharmonized as either 9 or alt
+
+  Some theory books stress that halfdiminished chords are played as part of a minor IIVI as in D G7alt C Although this is true it gives the impression that  chords are played only as part of a minor IIVI Not so A minor IIV resolves just as smoothly to a major I chord Bob Haggarts tune Whats New has a D G7alt C progression as shown in figure 1344
+
+ Reharmonizing II Chords as Slash Chords
+  Now for something a little more advanced If the melody note of a tonic minor chord is the 3rd or the 7th you can reharmonize it as a slash chord using the triad a half step below the root as in BC Play figure 1345 bars 78 of Kenny Dorhams Blue Bossa The melody note on the C6 chord is E the minor 3rd of the Cchord Now play figure 1346 and listen to the BC chord
+
+
+  Figure 1347 shows the pickup notes and first bar of Billy Strayhorns Chelsea Bridge The melody note on the B chord is A the 7th of the chord Now play figure 1348 and listen to the AB chord When the melody note of a tonic minor chord is the 3rd or 7th you can reharmonize the chord as a slash chord using the triad a half step below the root
+
+
+
+Herbie Hancocks piano voicings simplified
+
+ Changing IIV to V of V
+  You can change a II chord thats part of IIV to a V chord creating a V of V D7 G7 becomes D7 G7 Figure 1349 shows bars 1316 of Harry Warrens Youre My Everything Play figure 1350 and hear how Freddie Hubbard with Herbie Hancock playing piano changed D7 to D7911 followed by G79 D7 G7 is a V of V
+
+  V of V is especially effective on the two consecutive IIVs of a IIIVIIIV progression Play figure 1351 bars 78 of Jimmy Van Heusens Polka Dots And Moonbeams Listen to the IIIVIIIV progression in the last bar Now play figure 1352 and hear how different the V of Vs sound One reason this works so well is that V chords can be reharmonized in many more ways than II chords which takes us right into the next section of this chapter
+
+Reharmonizing V Chords
+Play figure 1353 and listen to five different reharmonizations of the chords of the same turnaround as on the previous example bars 78 of Polka Dots and Moonbeams When playing a turnaround such as this what choices should you make Should you leave the V chords unaltered as in the first example Should you play 9 alt 11 9 5 sus sus910 The following section provides some guidelines about when to use what chord
+
+
+ V79 V7alt and V711 Chords
+  There are a lot of possibilities for altering a V chord 9 9 alt 11 5 sus sus9 However the three most commonly played alterations on V chords are 9 alt and 11 Each of these three possible alterations tends to resolve in certain ways In a moment youll learn some guidelines to help you make intelligent choices in altering V chords These guidelines work most of the time but remember They are guidelines not rules
+  V79 chords from the halfstepwholestep diminished scale can resolve almost anywhere but they often resolve down a 5th Caution If the melody note youre playing on a V chord is the 9th or 13 you cant play a V79 chord because neither the 9th nor the 13 are in the halfstepwholestep diminished scale of a V79 chord
+
+  Composers often take advantage of the V79 chords tendency to resolve down a 5th by using the 9 as the melody note Play figure 1354 the first two chords of Duke Ellingtons Sophisticated Lady and listen to F79 resolve down a 5th to B G the melody note of the F79 chord resolves down a half step to become F the 5th of the B chord
+  Play figure 1355 the first two bars of Fred Lacys Theme For Ernie11 and listen to B79 with C the 9 in the melody resolve down a 5th to E7
+
+  We need to examine V7alt and V711 chords together because they are tritone substitutions of each other within the same melodic minor scale E7alt and B711 a tritone apart are both derived from the F melodic minor scale Because there arent any avoid notes in melodic minor harmony and all the chords in a given melodic minor scale are interchangeable E7alt and B711 are essentially the same chord Since they are interchangeable both tend to resolve to the same chords This is very important Read this paragraph again before continuing
+  Lets compare V7alt and V711 chords
+  V7alt chords can resolve anywhere but their strongest resolutions are
+ Down a 5th
+ Up a half step
+ Down a major 3rd
+  V711 chords can resolve anywhere but their strongest resolutions are
+ Down a half step
+ Down a 4th
+ Up a whole step
+
+  These two types of chords V7alt and V711 have the exact same chordal resolutions but a tritone apart Lets play each one to make this clear Well use E7alt and B711 from the key of F melodic minor as examples
+  As shown in figure 1356 both E7alt and B711 resolve to A
+  As shown in figure 1357 both E7alt and B711 resolve to F
+  As shown in figure 1358 both E7alt and B711 resolve to C
+  E7alt and B711 resolve to the same chords because they are essentially the same chord
+
+
+  In the preceding examples we resolved both E7alt and B711 to major 7th chords The chord being resolved to doesnt have to be a major 7th however E7alt and B711 which resolve to A in figure 1356 will resolve just as smoothly to A7 or A7 The important thing is the root motion of the chords not the quality of the chord being resolved to
+  Remember to alter V chords with caution during the melody of a tune The melody note may not allow you to alter a particular note on that chord If the melody note on a V chord is a natural 9th or 13th an alt chord wont work because those notes arent in the altered scale If the melody note is the 9 9 or 13 the 11 chord wont work because those notes arent in the Lydian dominant scale When youre soloing you can ignore these restrictions unless youre using the melody as a basis for your improvisation
+
+  Lets check out some examples of the previous guidelines as they occur in tunes from the standard jazz repertoire First well consider V7alt chords resolving down a 5th and their tritone substitution V711 chords resolving down a half step
+
+  Play figure 1359 from the last few bars of Mai Waldrons Soul Eyes and listen to B7alt resolve down a 5th to E Play figure 1360 bars 1213 of Harold Lands Rapture and listen to C7alt resolve down a 5th to F7
+
+  Play figure 1361 bars 2829 of Richard Rodgers Have You Met Miss Jones and listen to B711 resolve down a half step to A7 Play figure 1362 the pickup notes and first bar of Tadd Damerons Our Delight and listen to B711 resolve down a half step to B7
+
+
+
+  Now lets check out V7alt chords resolving up a half step and their tritone substitution V711 chords resolving down a 4th Play figure 1363 the first three bars of Wayne Shorters ESP and listen to E7alt resolve up a half step to F Play figure 1364 bars 1819 of Chick Coreas Mirror Mirror and listen to E7alt resolve up a half step to E
+
+  Play figure 1365 the first two bars of John Coltranes version of Richard Rodgers Spring Is Here and listen to D711 resolve down a 4th to A
+  Next well listen to V7alt chords resolving down a major 3rd and their tritone substitution V711 chords resolving up a whole step Play figure 1366 bars 1314 of John Coltranes Moments Notice and listen to C7alt resolve down a major 3rd to A7 Play figure 1367 bars 45 of Benny Golsons Stablemates and listen to C7alt resolve down a major 3rd to A7
+
+
+  Play figure 1368 bars 2023 of Victor Youngs Stella By Starlight and listen to A711 resolve up a whole step to B Play figure 1369 bars 79 of Harold Adamson and Eliot Daniels Disco Lucy better known as the I Love Lucy Theme12 and listen to G711 resolve up a whole step to A7 Play figure 1370 bars 24 of the verse of Billy Strayhorns Lush Life and listen to B711 resolve up a whole step to D
+
+
+
+ Other Common V Chord Resolutions
+  V711 chords also resolve smoothly to the II chord on the same root especially when the V chord is based on the second note of the key the tune is in This chord is often called a II7 D7 in the key of C In other words if youre playing a tune in the key of C a D7 chord resolving to a D7 chord will probably sound good as D711
+  Play figure 1371 the first four bars of Billy Strayhorns Take The A Train and listen to D711 resolve to D7 Play figure 1372 bars 2831 of Jule Stynes You Say You Care and listen to G711 resolve to G7 Play figure 1373 bars 56 of the bridge of Horace Silvers Nicas Dream and listen to E711 resolve to E7
+
+
+
+
+All of the above are correct ways of writing the changes
+  V chords often resolve to another V chord either down a 5th a V of V or down a half step Look at figure 1374 the first three bars of Jimmy Van Huesens I Thought About You Look at the bottom row of changes B E7alt E711 D7alt and G7 Focus your attention on the middle three chords E7alt E711 D7alt Because all three chords are either alt or 11 each one can be notated as a V chord a tritone away If you do this alt becomes 11 and vice versa The combination of these three chords can be notated eight different ways Say what Heres how and why
+ B711 is interchangeable with E7alt they both derive from the F melodic minor scale
+ E711 and A7alt are interchangeable they both derive from the B melodic minor scale
+ A711 and D7altare interchangeable they both derive from the E melodic minor scale
+  There are eight possible ways of writing these six chords and except for the note the bass player plays all will sound pretty much the same
+   B711 E711 A711
+   B711 E711 D7alt
+   B711 A7alt D7alt
+   B711 A7alt A711
+   E7alt A7alt D7alt
+   E7alt A7alt A711
+   E7alt E711 A711
+   E7alt E711 D7alt
+  Again the only difference between the eight sets of changes is the note the bass player plays And when youre improvising theres no way of predicting which root the bass player will play on any of the V chords because bass players often play tritone substitution on V chords
+ V75 Chords
+  V75 chords which are derived from the whole tone scale usually function like V79 and V7alt chords do They resolve down a 5th Play figure 1375 bars 1719 of Victor Youngs Stella By Starlight and hear the G75 chord resolve down a 5th to C713
+
+ V79 Chords
+  V79 chords often function as a type of I chord much like the V chord does in the first bar of a blues In fact the first chord in a blues is frequently played as a V79 chord V79 chords often sound like a tonic chord and dont have a tendency to resolve anywhere in particular Play the vamp shown in figure 1376 and youll hear this effect
+
+ Reharmonizing VI Chords as V Chords
+  VI chords are often reharmonized as V chords In a IVIIIV in B B G7 C7 F714 G7 is the VI chord and is usually reharmonized as G7 This creates smoother voice leading G7 resolves more smoothly to C7 than G7 does In addition G7 offers far more harmonic possibilities than G7 G79 G7alt or G75 for example The same opportunity occurs in a IIIVIIIV progression D7 G7 C7 F7 in B where the VI chord G7 is usually replaced by G7 In both IVIIIV and IIIVIIIV progressions many players play a diminished chord in place of the VI chord B in place of the G7 in a IVIIIV in B This creates a chromatic bass line B B C7 F7 B is a disguised G79 chord because the notes in B BDFA are the 3rd 5th 7th and 9 of G79 figure 1377
+
+  Remember All of the preceding ideas about reharmonization are guidelines only There are too many exceptions for any of these techniques to be considered rules15 If a player is reharmonizing on the spot during a solo as opposed to having written out reharmonized changes earlier everybody has to listen carefully and if all the players are on the same wave length magical things can happen If not anything from polytonality OK to a train wreck bad can occur
+Reharmonizing I Chords
+Chords shown on lead sheets as major 7th chords dont necessarily have to have a major 7th Quite often a pianist or guitarist will voice whats shown as C on the music as C6  or C4 You can hear this sound when you play the four C piano voicings in figure 1378 All these voicings work well as C major chords and the major 7th is not required In fact many jazz musicians notate C as just C
+
+ Lydian 4 Chords
+  You can change a major chord as in C to a Lydian chord C4 virtually any time16 One exception If youre a pianist or guitarist comping behind a soloist and the soloist deliberately plays the 4th the avoid note to create a dissonance on a  chord playing the 4 will sound pretty bad Deliberately playing the avoid note on a major chord is a little like adding jalapeo peppers to a dish Playing the 4 on a major chord is like adding ice cream its a cool sound Unless you like jalapeo ice cream dont combine 4 and 4 on a major chord
+ Lydian Augmented 5 Chords
+  When you play the head of a tune and the melody note on a major chord is the 3rd or 7th you can change the chord to Lydian augmented 5 Heres why this works Lets take A5 as an example A5 is often notated as the slash chord CA C triad over A in the bass The notes in a C triad include C and G the 3rd and 7th of A If the melody note on an A chord is either C or G the 3rd and 7th you can change the A chord to CAt or A5 Play figure 1379 and listen to the first four bars of Jerome Kerns All The Things You Are Now play figure 1380 and hear the difference in the fourth bar The melody notes in that bar are G and Cthe 7th and 3rd of Atwo of the three notes in a C triad The other note in the triad is E the raised 5th in A5
+
+
+
+
+
+  The same opportunity arises a few bars later Play figure 1381 Note that the melody in the third and fourth bars is E the 3rd of C Now play figure 1382 and hear the difference the C5 chord makes in the third bar Jazz musicians often resolve Lydian augmented chords to the unaltered major 7th chord by lowering the 5 back to a natural 5th as happens in the fourth bar The 5 can also resolve upward to the 6th as shown in figure 1383
+  If you change a major chord to Lydian augmented while soloing the musicians comping for you will hopefully hear what youre doing and play 5 also And if youre comping youll want to reach the level of expertise where you can hear the soloist doing this and immediately adjust Listen
+ Moving a I Chord Up a Half Step
+  If the melody note of a I chord is either the root or the 5th you can move the chord up a half step This can be done anywhere but is often done on the last I chord of a tune
+
+  When the melody note on a I chord is the root moving the chord up a half step as in changing F to G changes the melody note to the major 7th of the new chord Figure 1384 shows the final cadence of Richard Rodgers The Surrey With The Fringe On Top Play figure 1385 and hear Kenny Barron17 take advantage of the F melody note on the F chord reharmonizing the chord up a half step to G
+Kenny Barrons piano voicings simplified
+
+  Kenny does the same thing on Jimmy McHughs On The Sunny Side Of The Street18 moving a C chord up a half step which changes the melody note from the root to the major 7th of D the new chord Figure 1386 shows the last two bars of the tune while figure 1387 shows Kennys reharmonization Note Kennys addition of a 4 to the chord
+
+Kenny Barrons piano voicings simplified
+
+  Figure 1388 shows the last cadence of Victor Youngs My Foolish Heart Play figure 1389 and hear Bobby Hutcherson with McCoy Tyner playing piano change B to B19 Also listen to the G711 chromatic approach chord to Fsus a technique well discuss in the next chapter
+
+  Figure 1390 shows the last four bars of Richard Rodgers Have You Met Miss Jones Play figure 1391 and hear how Kenny Garrett with Mulgrew Miller playing piano changes the original F chord to G20
+McCoy Tyners piano voicings simplified
+
+
+Mulgrew Millers piano voicings simplified
+
+
+  If the melody note on a I chord is the 5th moving the chord up a half step changes the melody note to the 4 of the new chord Figure 1392 shows bars 57 of Victor Youngs Stella By Starlight B the last note is the 5th of E Play figure 1393 and hear E4 replace E the melody note becoming the 4 of E4
+
+ Slash Chords as I Chords
+  If the melody on a major 7th chord is either the 4 or the major 7th you can change the chord to the slash chord that uses the triad a half step below the root as in BC Figure 1394 shows two bars from the verse of Vincent Youmans More Than You Know The melody note on the C chord is B the major 7th Play figure 1395 and hear how Mulgrew Miller21 takes advantage of this and plays BC instead of C then resolving the slash chord back to C
+
+  If youre a pianist or guitarist experiment cautiously with these more adventurous alterations when comping Listen carefully to hear if you are clashing with the soloist Although the general rule in comping is to follow the soloist many horn players like to be fed harmonic ideas by the rhythm section
+Mulgrew Millers piano voicings simplified and transposed from original key
+
+ Attention Horn Players and Singers
+  Sometimes the best note to play or sing on the final chord of a tune is the original written note Often the rhythm section will ritard and hold the nexttolast chord as the horn player plays a cadenza before the last note The temptation for a horn player or singer to change the last note to something hipper can be irresistible Pianists and guitarists expecting the last note to be played or sung as written wait for that note also ready to change the last chord to something hipper If the horn player or singer chooses a note other than the original written note the rhythm section has to immediately adjust and play a chord other than the hipper chord they were thinking of playing With as many as four players in the mix horn player or singer pianist guitarist bassist the chances of something going wrong are pretty high If you the soloist respect your rhythm sections ability sometimes its better to play or sing the original note as written If you choose a note other than the original a train wreck can occur Heres an example of a train wreck On a final C chord the soloist plays F the 4 instead of playing the written note while the pianist plays D4 as in figure 1396
+
+  If you do play or sing a last note other than the written one give your rhythm section time to adjust to your last note by playing the note waiting a second or two for them to hear what the new note is then nodding your head to cue the last chord
+
+McCoy Tyner cTom CopiSan Francisco All Rights Reserved
+Reharmonization During Solos
+Reharmonization during a solo is almost always done nonverbally You need to keep your ears open for spontaneous reharmonizations to work If you play often enough with a particular musician you can begin to predict with some degree of accuracy the alterations he or she will make to the chords Nevertheless jazz is by nature full of unpredictability With everybodys part more or less improvised over a skeletal set of changes anything can happen
+  This degree of unpredictability is one of the reasons jazz as someone once said is the sound of surprise Even though McCoy Tyner usually comped the same chords that Coltrane soloed on there were times when McCoy played C79 and Trane played C7alt And even though its a good idea for everyone to play basically the same chords making things too specific takes away from the spontaneity of the music Why did Coltrane and McCoy sound so good when one was playing C79 and the other was playing C7alt Both McCoy and Trane were harmonically very clear and rhythmically very strong When they briefly diverged from playing the same changes the result was bitonality or two types of harmony at the same time The best players keep a balance of playing the right changes and not being imprisoned by them Thats a desirable goal To get to that point however you must put in a lot of time playing the right changes
+  Pianists and guitarists What chordal choices should you make when comping Like a batter taking the first pitch to check out a pitchers stuff even the best players with years of experience often check out the soloists style by comping as simply as possible on the first chorus or two
+
+Reharmonizing I Hear A Rhapsody
+Lets take a look at the changes to I Hear A Rhapsody as shown in figure 1397 and see what we can do to alter II V and I chords while soloing The melody has been omitted in this example because unless you are using the melody as a basis for your improvisation only the changes are important The changes shown are unaltered except where they were already altered during the head as in F in bar 5 where one melody note in that bar is C the 5 of F7 You have more freedom when taking a solo than you had when playing the head but you still have to be aware of each chords harmonic tendencies what will sound smooth If youre a pianist guitarist or bass player comping behind the soloist you have to listen and try to match what the soloist is playing This means not only listening but making some intelligent guesses
+  The C7 chord in bar 1 functions as a tonic minor its not part of a IIV so you could either play it as written or reharmonize it as C6 or C If youre comping and dont know whether the soloist is going to play C7 or C C6 is a safe chord to play because the notes in C6 fit both the C Dorian scale C7 and the C melodic minor scale C
+  F7 B7 the IIV in bar 2 could be reharmonized as a minor IIV but playing F in place of F7 would telegraph the F in bar 5 taking away the surprise of that chord That doesnt mean you cant play Fremember these are guidelines not rulesbut stay alert and aware of more than just the chord youre playing at the moment
+  The B7 in bar 2 is part of a IIV and also resolves down a 5th This means that 9 or alt are good choices but you could also just leave the chord an unaltered B7 If youre comping which B7 should you play Unaltered B7 B79 B7alt Listen very carefully to the soloist of course and try to follow whatever harmonic choices he or she makes There are also some strategies that will increase your chances of choosing the right chord You might want to play the first B7 with as neutral a voicing as possible as in the piano voicing shown in figure 1398 The root 3rd and 7th of B7 allow the soloist to play B7 B79 or B7alt because the root 3rd and 7th are in all three scales
+
+  If the soloist plays B79 in bar 2 then playing the chord in figure 1399 on the second eight bars is a good guess Many players tend to use the same alterations when they play a particular chord in a tune But be careful the better the player the less predictable he or she will be
+
+  If you play the B79 voicing in bar 2 figure 1399 and the soloist plays B7alt in the second eight bars you might choose to play the B7alt chord shown in figure 13100 If the soloist does the unexpected and plays B79 dont lose hope The next time around play the voicing in figure 13101 This voicing consists of notes derived from both the diminished and altered scales and will work with both B79 and B7alt
+
+  If all this seems too calculated not to worry The more you play the more you internalize the give and take of interacting with other musicians the more natural all this will feel and the less youll have to think while playing And if the soloist plays B7alt while the pianist or guitarist plays B79 it can still sound great If each player is harmonically clear and rhythmically strong occasional differences in harmony will sound like bitonality rather than wrong notes
+
+  What you can do with E the first chord in bar 3 you can also do with all the major chords in I Hear A Rhapsody When soloing you can reharmonize a major 7th chord as Lydian E4 in this example virtually anytime E5 is a possibility but the chord lasts only two beats and 5 chords are usually more effective if theres more time and space for them to reverberate This isnt to say that you shouldnt play E5 when there are only two beats A master musician can play E5 in one beat and make it sound great
+  The D7 chord in bar 3 is not part of a IIV and doesnt resolve down a 5th so D711 will sound very smooth C7 the chord in bar 4 resolves down a 5th so 9 and alt are good choices
+  F the chord in bar 5 is already altered because C one of the melody notes in the bar is the 5 of F7 While soloing you could play F7 but many players would opt for the more interesting F And you dont have to play it the same way every time Dont forget that this is an AABA tune If the tune lasts ten choruses you will play that chord 30 times Reharmonizing the chord at some point as BF as shown in figure 13102 will provide good contrast
+
+  The B7 E VI progression in bars 67 offers the same choices as in bars 23
+  The first thing to notice about the D7 G7 IIV in the first ending bar 8 is that it resolves to the C minor chord in bar 1 That sets up the possibility of a minor IIV D G7alt or G79 You dont have to play a minor IIV An unaltered D7 G7 resolves to C quite smoothly but many players prefer the sound of a minor IIV resolving to a tonic minor chord
+  The same thing happens in bar 9 the second ending The A7 D7 IIV progression resolves to a G minor chord setting up a minor IIVI A D7alt or D79 G
+  The G chord in bars 10 and 12 is a tonic minor so G or G6 might sound more interesting than G7
+  The A D79 IIV progression in bar 11 is already altered because E the melody note in the bar is the 5 of A and the 9 of D79 You dont have to play this minor IIV when soloing but most players would play it anyway because the next chord is G minor D7alt works as well as D79
+  There is a IIVI in bars 1314 The F7 chord will sound good with either 9 or alt
+  The Fchord in bar 15 is a tonic minor so F or F6 might sound prettier than F7 although each will sound OK
+  The D7 G7 IIV in bar 17 resolves to the C minor chord in bar 1 so a minor IIV D G79 or G7alt will sound good
+  The same situation with the opportunity for a minor IIV occurs in bar 18 the final turnaround
+  Weve now covered quite a few basic ideas about reharmonization In the next Chapter well explore some more advanced techniques
+CHAPTER FOURTEEN
+Advanced Reharmonization
+ Contrary Motion
+ Parallelism
+ Slash Chords
+ Ascending and Descending Bass Lines
+ Build a Chord On Any Root
+ Sus and Sus9 Chords
+ Deceptive Cadences
+ Chromatic Approach
+ Anticipating a Chord with Its V Chord
+ Using the Diminished Chord
+ Change the Melody
+ Change the Chord
+ Common Tones
+ Pedal Point
+ Combining Techniques
+This chapter explores more advanced reharmonization techniquestechniques you can use to essentially recompose standards
+Contrary Motion
+Contrary motion occurs when two notes or chords move in opposite directionseither inward toward each other or outward away from each other Listen to figure 141 bars 58 of Jerome Kerns Yesterdays Figure 142 shows the melody and a descending chromatic line played on bars 56 This is an example of contrary motion The melody goes in one direction up the bass line in another down The use of contrary motion opens up enormous harmonic possibilities as youll hear when you play figure 143 Listen as each note of Kerns melody is now reharmonized as a separate chord
+
+  Structure is an essential element in any musics popularity People respond to music that is highly structured and contrary motion heightens the effect of structure Contrary motion not only sounds good richer harmony it also appeals to our intellect the presence of structure
+
+
+  Joe Henderson and Chick Corea play two different kinds of contrary motion on Chicks tune Mirror Mirror1 Figure 144 illustrates inward contrary motion the melody descends while the bass note ascends Figure 145 shows outward contrary motion the melody ascends while the bass note descends
+Chick Coreas piano voicings simplified
+
+  Play figure 146 and listen to Herbie Hancocks use of contrary motion on his Dolphin Dance2 As the melody ascends the chords descend
+Chick Coreas piano voicings simplified
+
+Parallelism
+Play figure 147 and listen to the sound of parallelism or identical chords moving in the same direction This is McCoy Tyners introduction to his song Peresina3 Like contrary motion parallelism heightens the effect of structure
+Herbie Hancocks piano voicings simplified
+
+
+
+  Diminished scale harmony in which everything repeats at the interval of a minor 3rd is another great place to use parallelism Look for melodic fragments moving in minor 3rds Figure 1418 shows the first three bars of Antonio Carlos Jobims Wave Notice that the melody over the B chord ascends in minor 3rds Now play figure 1419 and listen to the slash chords ascending in parallel minor 3rds
+McCoy Tyners piano voicings simplified
+
+
+
+Slash Chords
+As shown earlier in Mulgrew Millers version of What The World Needs Now Is Love figure 149 slash chords are an effective way to reharmonize Here are a few more examples
+
+  Figure 1420 shows the first two bars of George Bassmans Im Gettin Sentimental Over You Kenny Barron reharmonized the E chord with DE as shown in figure 14218 Play figure 1422 and listen to John Coltrane with McCoy Tyner playing piano approach a G major chord with FG on bars 1112 of Harry Warrens I Wish I Knew9 Play figure 1423 bars 58 of Kenny Dorhams Blue Bossa Now play figure 1424 and listen to a reharmonization of Kennys classic that includes several slash chords
+Kenny Barrons piano voicings simplified
+
+
+
+
+  Slash chords arent always triads over a bass note They can also be 7th chords over a bass note Figure 1425 shows bars 34 of Anthony Newleys Who Can I Turn To Figure 1426 shows how Mulgrew Miller reharmonized the B7 chord with C5B10
+
+Mulgrew Millers piano voicings simplified
+
+Ascending and Descending Bass Lines
+Playing chords based on an ascending or descending bass line beneath the melody creates a counter melody that contrasts with the songs actual melody You can reharmonize each note of the ascending or descending line with a new chord We explored this technique in the section Contrary Motion but in each of those examples the melody moved in the opposite direction of the bass line The following examples show ascending or descending bass lines with melodies that dont always move opposite to the bass line Figure 1427 shows bars 912 of Jimmy Van Heusens All The Way Play Figure 1428 and hear how Cedar Walton plays a different chord over each note of the descending bass line G F E D C11
+
+Cedar Waltons piano voicings simplified
+
+Kenny Drews piano voicings simplified
+
+Dick Whittingtons piano voicings simplified
+
+  Play figure 1429 and hear how John Coltrane with Kenny Drew on piano played Jerome Kerns Im Old Fashioned over an ascending bass line using a different chord on each new bass note12 Play figure 1430 Bay Area jazz pianist Dick Whittington13 plays this reharmonization of the same four bars of Im Old Fashioned every other chord being a V711 Each V711 chord is a tritone below the previous chord
+  Kenny Barron reharmonized a bar of George Bassmans Im Gettin Sentimental Over You figure 1431 with chromatically ascending chords figure 143214
+
+  Bobby Hutcherson and pianist McCoy Tyner reharmonized a simple IIV turnaround C7 F7 in bars 1516 of Victor Youngs My Foolish Heart by playing four ascending 7th chords as shown in figure 143315 Note that the roots of the chords C D E F ascend the first four notes of the C Dorian scale
+Kenny Barrons piano voicings simplified
+
+  Figure 1434 shows what most jazz musicians play on bars 2930 of George Gershwins Embraceable You Figure 1435 shows Donald Browns descending bass line chord reharmonization of those two bars16 Note also the contrary motion between the melody and the bass line
+McCoy Tyners piano voicings simplified
+
+
+Donald Browns piano voicings simplified
+
+  Play figures 1436 and 1437 two examples of Duke Pearsons use of a descending bass line with McCoy Tyner playing piano on Dukes You Know I Care17
+McCoy Tyners piano voicings simplified
+
+  Figure 1438 shows the first four bars of Harry Warrens Youre My Everything Play figure 1439 and hear how Freddie Hubbard and pianist Herbie Hancock changed the first chord C to its relative minor A7 and then descended via a IIV G7 C7 to the F7 chord18
+McCoy Tyners piano voicings simplified
+
+
+Herbie Hancocks piano voicings simplified
+
+  Figure 1440 shows four more bars of Youre My Everything Play figure 1441 and hear Freddie and Herbie insert an F chord between G7 and E7 creating a descending bass line
+  Figure 1442 shows bars 48 of Richard Rodgers Bewitched Bothered And Bewildered Play figure 1443 and listen to Ralph Moores19 reharmonization with Benny Green playing piano using two descending bass lines from B to D over the first three bars and then a descending chromatic bass line from B to G in the last two bars Also listen to the way Benny creates motion within the last chord by changing it from G7alt to G79
+
+Herbie Hancocks piano voicings simplified
+
+
+Benny Greens piano voicings simplified
+
+  The E in the A chord in the first bar of figure 1443 is not a mistake20 Pure diminished chords sound rather tame and jazz pianists and guitarists often raise one note in a diminished chord a whole step to give the chord more bite Any note in a diminished chord raised a whole step still comes from the same diminished scale Figure 1444 shows a pure A chord in the first bar in the second bar all four notes of the A chord have been raised a whole step to form B the third bar shows the entire A wholestephalfstep diminished scale which includes both A and B chords
+
+Build a Chord On Any Root
+You can also reharmonize a melody note with a chord built on any note in the bass any of the 12 notes in the chromatic scale This opens up a dazzling array of choices If the melody note is C theres a chord that will sound good with it based on C D D E E F G G A A B and B This type of reharmonization works especially well if you use a bass line that ascends or descends chromatically or moves around the cycle of fifths Lets try this with the first eight bars of I Hear A Rhapsody shown in figure 1445
+
+c1940 Broadcast Music Inc USA Campbell Connelly  Co Ltd 89 Frith St London W1 Used by Permission of Music Sales Ltd All Rights Reserved International Copyright Secured
+
+  Now play figure 1446 Ive started arbitrarily on a chord built on E in the bass and descended chromatically Because the melody is D the minor 7th of any E chord I could play any E7 E7 or Esus chord because they all have a minor 7th E79 is my choice Why Because I like the sound of it Since were descending chromatically the chord after E79 will be a chord based on E Because the melody is also E Ive got the entire range of E chords to choose from E E4 E5 E7 E E E7 E79 E711 E79 E7alt E75 Esus Esus9 and E I chose Esus because I like the way sus chords tend to float and because sus chords can resolve anywhere smoothly The chords continue descending chromatically to D7alt D7alt and so on My choice of chord quality and any alterations are based on what sound I like rather than any particular tendency of one chord to resolve into another
+  Too much of anything like descending chromatically can be boring so Ive moved the last three chords down by whole steps Contrast the two versions figures 1445 and 1446 Do you like the new version Some of it All of it Remember I started arbitrarily with E in the bass there are 11 other roots to choose as a starting point
+
+
+  Now play figure 1447 This time youll hear a chromatically ascending bass line starting arbitrarily on a chord with A in the bass D the melody note is the 11th of any A chord That rules out I and V chords which dont have natural 11ths but allows you to use any chord with an 11th A7 A Asus or Asus9 Lets start with A7
+  Now play figure 1448 Starting on E79 the bass line this time moves around the cycle of fifths instead of chromatically
+
+  This technique isnt limited to a long series of chords It works just as well with individual chords as long as you choose a chord that sounds good Play figure 1449 bars 3031 of Harry Warrens Youre My Everything which ends with a VI in C Play figure 1450 and hear how Freddie Hubbard with Herbie Hancock playing piano changed the C chord to an unexpected A721
+Herbie Hancocks piano voicings simplified
+
+Sus and Sus9 Chords
+Sus and sus9 chords are often used to reharmonize II chords V chords and IIV progressions Play figure 1451 the first four bars of Victor Youngs Stella By Starlight E7 A7 and C7 F7 are both IIV progressions Now play figure 1452 E7 A7 has been reharmonized as Asus9 while C7 F7 is now a single Fsus chord Note that the selected sus or sus9 chord has the same root as the V chord it replaces
+
+
+  Figure 1453 shows bars 56 of the bridge of Richard Rodgers Bewitched Bothered And Bewildered Play figure 1454 and hear how Ralph Moore and pianist Benny Green replaced the two D7 G7 IIVs with a Gsus chord22 Figure 1455 shows the first four bars of Miles Davis Tune Up Now play figure 1456 The original II chord E7 has been replaced by Asus9
+
+  Figure 1457 shows three bars of Cy Colemans Witchcraft Play figure 1458 and listen to Kenny Barron replace the B7 chord with Esus resolving it to A the relative major of the original Fchord23 A few bars later Kenny reharmonizes the original bars 1618 figure 1459 by playing a C pedal under the F chord and then darkening the original Csus chord by altering it to Csus9 figure 1460
+Benny Greens piano voicings simplified
+
+
+
+
+Kenny Barrons piano voicings simplified
+
+
+Kenny Barrons piano voicings simplified
+
+
+Cedar Waltons piano voicings simplified
+
+  Figure 1461 shows the first four bars of the bridge of Johnny Greens Body And Soul Play figure 1462 and listen to the DA and Asus9 chords Cedar Walton plays on Freddie Hubbards reharmonization of the same four bars24
+
+  Figure 1463 shows two bars from Victor Youngs My Foolish Heart Play figure 1464 and listen to Bobby Hutcherson and pianist McCoy Tyner replace D G7 with a Gsus chord25 Also listen to the A711 chromatic approach to Gsus Well cover chromatic approach a little later in this chapter
+McCoy Tyners piano voicings simplified
+
+Deceptive Cadences
+Jazz tunes and standards are full of deceptive cadences A deceptive cadence occurs when a V chord does not resolve down a 5th where a V chord is normally expected to go Play figure 1465 bars 25 of John Klenners Just Friends F7 to G is a deceptive cadence because F7 would be expected to resolve to a B chord F7 B is the VI in the key of B
+
+  Play figure 1466 bars 35 of Benny Golsons Stablemates26 C7alt to A7 is a deceptive cadence because C7 would be expected to resolve down a 5th to an F chord
+
+  Figure 1467 shows bars 79 of Billy Strayhorns Chelsea Bridge B7 to D is a deceptive cadence because B7 would be expected to resolve down a 5th to an E chord Joe Henderson takes this idea one step further in his version of Chelsea Bridge as shown in figure 146827 Joe and pianist Kenny Barron resolve B7 to A still a deceptive cadence but a different one than Strayhorns original
+
+Kenny Barrons piano voicings simplified
+
+
+Bobby Hutcherson cMichael Handler All Rights Reserved
+
+McCoy Tyners piano voicings simplified
+
+  Figure 1469 shows bars 2527 of Victor Youngs My Foolish Heart B is approached by G7 a deceptive cadence Play figure 1470 and hear Bobby Hutcherson28 with McCoy Tyner playing piano approach the B chord with E7 A7 still a deceptive cadence but again different than the original one
+  Play figure 1471 the last four bars of Billy Strayhorns Upper Manhattan Medical Group also known as UMMG29 This example features an unusual deceptive cadence one that approaches a I chord with a V chord a major 3rd below30 Figure 1472 shows that A7D the first chord in figure 1471 is just an oddly spelled A7 chord with D in the bass D is enharmonically C the 3rd of A7 A the root of the V chord is a major 3rd below D the root of the I chord D enharmonically C is the common tone that helps make the progression a smooth one Well explore common tones a bit later in this chapter
+
+
+  Approaching a I chord from a V chord a major 3rd below as Strayhorn did in UMMG is very effective if the melody is the 9th of the I chord Play figure 1473 and listen to the first bar of Don Raye and Gene DePauls Star Eyes Figure 1474 reharmonizes the first bar by approaching the E chord with B7 the V chord a major 3rd below E Figure 1475 shows that the bottom four notes are just a rearranged B7 chord with D enharmonically spelled as E The melody note F becomes the 11 of B7
+
+
+  Play figure 1476 and listen to the first bar of Jimmy Van Heusens But Beautiful Figure 1477 reharmonizes the first bar by approaching the G chord with E7 the V chord a major 3rd below G Figure 1478 shows that the bottom four notes are just a rearranged E7 chord with enharmonic spellings
+
+
+
+
+ Making a Deceptive Cadence a True One
+  A surprising reharmonization is to take a familiar deceptive cadence and resolve it down a 5th where nobody expects it to go This makes it a true cadence Play figure 1479 bars 58 of Victor Schertzingers I Remember You The A7 D7 progression doesnt resolve down a 5th to a G chord like a true cadence would but instead resolves down chromatically to G7 C7 Mulgrew Miller31 unexpectedly took the A7 D7 to G making a IIVI as shown in figure 1480 Making a deceptive cadence a true one only works on familiar tunes otherwise the element of surprise is missing
+
+Mulgrew Millers piano voicings simplified
+
+Chromatic Approach
+Chromatic approach means to precede a chord with another chord either a half step above or below The approach chord can be the same quality as the chord it leads to B7 C7 or it can be a different quality than the chord it leads to B7alt C7 Figure 1481 shows the first three bars of Victor Youngs My Foolish Heart Figure 1482 shows Bobby Hutchersons reharmonization with McCoy Tyner playing piano with a D711 chord chromatically approaching C732 On bars 67 of My Foolish Heart figure 1483 Bobby and McCoy echo the same D711 chromatic approach to C7 figure 1484 And on bars 1516 figure 1485 Bobby and McCoy play G711 to approach F7 figure 1486
+
+McCoy Tyners piano voicings simplified
+
+
+McCoy Tyners piano voicings simplified
+
+
+McCoy Tyners piano voicings simplified
+
+
+Cedar Waltons piano voicings simplified
+
+  You can use more than one chord in a chromatic approach Figure 1487 shows bars 1316 of Jimmy Van Heusens All The Way Play figure 1488 and hear Woody Shaw with Cedar Walton on piano connect A7 and B7 with A and A chords a half step below B733 Listen also to the beautiful phrase Woody plays over the chromatic approach chords Asus A7 A79 in the last bar
+  Figure 1489 shows bars 1720 of Harry Warrens Youre My Everything Play figure 1490 and hear Freddie Hubbard with Herbie Hancock playing piano approach E7 with G711 and F71134 Figure 1491 shows bars 2528 of the same song Play figure 1492 and hear Freddie and Herbie approach G7 with A7 Also note the substitution of B711 for F these two chords are essentially the same since they are both from the same tonality F melodic minor
+
+Herbie Hancocks piano voicings simplified
+
+
+Herbie Hancocks piano voicings simplified
+
+  You can also play a IIV as a chromatic approach Figure 1493 shows bars 35 of Victor Youngs My Foolish Heart Bobby Hutcherson and McCoy Tyner approach B with an E7 A7 IIV figure 149435 Figure 1495 shows bars 78 of Richard Rodgers Have You Met Miss Jones Play figure 1496 and listen to Kenny Garrett with Mulgrew Miller playing piano approach G7 C7 with A7 D736 Figure 1497 shows the changes on the last four bars of Victor Youngs Stella By Starlight Many musicians like to approach the C F79 IIV in Stella with a chromatic approach IIV C7 F7 as shown in figure 1498
+
+McCoy Tyners piano voicings simplified
+
+
+
+
+
+  You can also approach a chord chromatically by preceding it with two chords one a half step above and one a half step below Play figure 1499 and hear Ralph Moore with Benny Green on piano approach Gsus with A711 a half step above Gsus and G711 a half step below Gsus on Ralphs version of Richard Rodgers Bewitched Bothered And Bewildered37
+Benny Greens piano voicings simplified
+
+  Pianists and guitarists You can often slide into a chord from a half step above or below as youll hear when you play figures 14100 and 14101 Listen carefully if you do this when youre comping You may clash with the soloist
+
+
+Anticipating a Chord with Its V Chord
+One way to approach a chord is with its V chord As an example you can approach any G chordG G7 G7 Gsus and so onwith a D7 chord Figure 14102 shows bars 56 of Victor Youngs My Foolish Heart Play figure 14103 and listen as Bobby Hutcherson and McCoy Tyner approach G7 with a D79 chord38
+
+Using the Diminished Chord
+Chapter 3 explained that diminished chords often function as disguised V79 chords because the four notes of a diminished 7th chord are the 3rd 5th 7th and 9 of a V79 chord Since everything in diminished scale harmony repeats at the interval of a minor 3rd a diminished chord can function as any of four different disguised V79 chords and can resolve in any of four different directions Lets use F as an example figure 14104
+McCoy Tyners piano voicings simplified
+
+ F is the 3rd 5th 7th and 9 of D79 which normally resolves down a 5th to a G chord
+ F is the 5th 7th 9 and 3rd of B79 which normally resolves down a 5th to an E chord
+ F is the 7th 9 3rd and 5th of A79 enharmonically G79 which normally resolves down a 5th to a D chord
+ F is the 9 3rd 5th and 7th of F79 which normally resolves down a 5th to a B chord
+
+
+Donald Browns piano voicings simplified
+
+  Donald Brown used this idea to modulate unexpectedly to another key in his wonderful version of George Gershwins Embraceable You39 Figure 14105 shows Gershwins original melody and chords for the first three bars of the tune in E Embraceable You is usually played in either E or G and Donalds artful use of the F chord in the second bar allowed him to modulate from E to G in the first two bars of the song The notes in the F chord in the second bar are the 3rd 5th 7th and 9 of a D79 chord as you saw in figure 14104 and D79 normally wants to resolve to G which is exactly what Donald does in figure 14106 Not satisfied with playing Embraceable You in just two keys G and E Donald then plays E7 the II chord in D major in the third bar
+Change the Melody
+If you come up with a hip chord or chord progression but the melody wont work over it change the melody Figure 14107 shows the first five bars of Vincent Youmans Without A Song Joe Henderson with Kenny Barron on piano reharmonizes these five bars40 by moving through the keys of E A and B as shown in figure 14108 Because the G melody note in the original B7 E7 bar wont work with the new F7 chord Joe changes the melody to F Also notice that on each major 7th chord the melody note is the major 7ththe common tone providing the glue that holds it all together More on common tones soon
+
+Kenny Barrons piano voicings simplified
+
+
+McCoy Tyners piano voicings simplified
+
+  Figure 14109 shows bars 2528 of Duke Ellingtons Satin Doll McCoy Tyner reharmonized these four bars with chromatically ascending IIV progressions41 Dukes original melody wouldnt go with these new changes so McCoy moved both the melody and the chords upward chromatically figure 14110 changing the melody to fit the new chords
+Change the Chord
+Sometimes the melody note of a chord can sound very mundaneif its the root or the 5th as an example Changing the original chord while keeping the original melody note can bring a tired note back to life Play figure 14111 the last four bars of Jerome Kerns All The Things You Are The final melody note is A the root of the A chord Now play figure 14112 and listen to Gsus replace A Not only is Gsus more interesting than A especially as the songs final chord but the melody note A is now the 9th of the Gsus chord a much more interesting note than when it was the root of A
+
+
+  Figure 14113 shows bars 58 of George Gershwins Summertime The melody note C is the root of the C7 chord Now play figure 14114 Freddie Hubbards beautiful waltz version of Summertime with Tommy Flanagan playing piano42 Freddie starts on a IIV B7 E7 which changes C the melody note into the 9th of B7 and the 13th of E7 Freddies use of the E7 chord changes the melody note A from the root of the original A chord to the 11th of E7 a much prettier note
+
+Tommy Flanagans piano voicings simplified
+
+
+
+
+
+Common Tones
+Notes belonging to consecutive chords or scales are called common tones As an example the scales of C7 and A have four common tones C F G and B figure 14115 When a melody note is repeated harmonizing each occurence of the note with a different chord can be a beautiful effect as long as the note is common to the scale of each new chord Play figure 14116 the first four bars of Jerome Kerns All The Things You Are The four G notes in a row on the E7 chord offer a great opportunity to play four chords to which G is a common tone Play figure 14117 and listen to the four chromatically descending V chords that replace E7 G the melody note is the 5th of C7 the 5 of B75 the 13th of B7 and the 7th of A7 Playing four V chords in a row opens up all sorts of harmonic possibilities because V chords can be altered in so many ways Play figure 14118 to hear some of these possibilities
+  Play figure 14119 and listen to what McCoy Tyner played on the coda of John Coltranes recording of Richard Rodgers Its Easy To Remember43 The E melody note is common to all the chords44
+McCoy Tyners piano voicings simplified
+
+Pedal Point
+Pedal point often shortened to just pedal means playing a series of chords over the same bass note Play figure 14120 and listen to the chords played over an E pedal on the first eight bars of Bronislau Kapers Green Dolphin St
+  Play figure 14121 bars 1316 of Richard Rodgers Spring Is Here Now play figure 14122 Kenny Barrons reharmonization of these four bars using chords played over a G pedal point45 Well analyze Kennys version of Spring Is Here which is played entirely over a G pedal in Chapter 16
+
+
+
+Combining Techniques
+You can combine many of the techniques discussed so far when reharmonizing a chord a phrase or an entire tune Figure 14123 shows bars 58 of Harry Warrens There Will Never Be Another You Play figure 14124 and listen to a reharmonization that uses parallel slash chords chromatic approach E711 to Esus and sus chord reharmonization Esus substituting for B7
+
+
+  Figure 14125 shows the last four bars of Jerome Kerns Yesterdays Figure 14126 shows the same four bars reharmonized with a variety of techniques
+ Fsus replaces C7 in the first bar
+ The F7B used to approach B in the second bar is the V chord a major 3rd below that Billy Strayhorn used in UMMG figure 1471
+ Parallelism Esus Fsus is used in the second bar
+ Chromatic approach Fsus to E7 to F7 is used in the third bar
+ Contrary motion occurs between the melody and root going from Fsus to E7
+ The last two bars have been reharmonized with Coltrane changes which well explore in the next chapter
+
+
+
+  Figure 14127 shows the first few bars of Hoagy Carmichaels Skylark a tune jazz musicians have loved to play since it was written in 1942 Play figure 14128 and hear Art Blakey and The Jazz Messengers version with Cedar Walton playing piano46 reharmonized with a variety of techniques
+ A B pedal point is played in the first two bars
+ The first and third chords CB and EB are slash chords
+ Sus chord reharmonization Bsus substituting for F7 is played in the first bar
+ A IIV E7 A7 chromatic approach to A is played in the third bar
+ The last five chords with an E common tone melody are built over a chromatically descending bass line
+Cedar Waltons piano voicings simplified
+
+
+Cedar Waltons piano voicings simplified
+
+  Jazz musicians also love to reharmonize Johnny Greens Body And Soul47 Figure 14129 shows the original changes on bars 48 Play figure 14130 and listen to Freddie Hubbards beautiful reharmonization48 After the original F7 chord Freddie with Cedar Walton on piano use the following techniques
+ Freddie and Cedar play a IIVI into a new key E7 A7 D and change the melody to go with the new chords
+ They use parallelism D to B in the second bar
+ They play a chromatically ascending bass line A7 A75 B7 below F the common tone melody note in the third bar
+ They follow B7 with E7 its tritone substitution which then chromatically approaches E7
+  Figure 14131 shows bars 56 of Jimmy Van Heusens All The Way Play figure 14132 and hear Woody Shaw with pianist Cedar Walton use the following techniques49
+ Woody and Cedar substitute Asus for E7 A7
+ They abruptly modulate to E major before returning to the original E7 A7 IIV progression
+
+Cedar Waltons piano voicings simplified
+
+CHAPTER FIFTEEN
+Coltrane Changes
+ Giant Steps Changes
+ A History Lesson
+ Countdown and Tune Up
+ Coltrane Changes Played on Standards
+ Tonal Centers Moving by Minor 3rds
+ McCoy Tyners Locrian V Chord
+
+John Coltrane cLee TannerThe Jazz Image All Rights Reserved
+
+
+Giant Steps Changes
+John Coltrane created a harmonic revolution with his tune Giant Steps1 Play figure 151 the changes to Giant Steps only the chords are shown not the melody Although Giant Steps is a very challenging tune its 26 chords are just VI and IIVI progressions in only three keys B G and E
+  Look at the Vl IIVI and key designations below the bass clef in figure 151 Each group of chords from the same key is called a key center2 The VI D7 G in bars 12 is a key center in the key of G The IIVI F7 B7 E in bars 89 is a key center in the key of E Notice that each new key center is a major 3rd away either up or down from the preceding key center Figure 152 shows this movement graphically the whole notes representing the key centers in Giant Steps Moving key centers around by major 3rds divides the octave into three equal parts figure 153
+
+
+
+
+
+
+A History Lesson
+Moving key centers around by major 3rds for an entire tune was a revolutionary step forward In standards and jazz originals written before Giant Steps the most common key center movement was by
+ The cycle of fifths as in the IIVI progressions in C and F shown in figure 154
+ Descending whole steps as in the IIVI progressions in C and B shown in figure 155
+ Descending half steps as in the IIVI progressions in C and B shown in figure 156
+Coltrane was the first jazz musician to create tunes based entirely on major 3rd key motion Some of the more sophisticated songwriters of the 1920s 1930s and 1940s wrote tunes with an occasional key center moving by a major 3rd Figure 157 shows the first three bars of Cole Porters Night And Day written in 1932 with the B chord moving up a major 3rd to an E chord Other early examples include
+Irving Berlins Always 1925
+Jerome Kerns Smoke Gets In Your Eyes 1933
+Duke Ellingtons In A Sentimental Mood 1935
+Richard Rodgers Have You Met Miss Jones 1937
+Duke Ellingtons I Let A Song Go Out Of My Heart 1938
+Jimmy Van Heusens Darn That Dream 1939
+Bob Haggarts Whats New 1939
+Victor Schertzingers I Remember You 1942
+Harry Warrens The More I See You 1945
+Tadd Damerons If You Could See Me Now 1946
+Irving Berlins The Best Thing For You 1949
+  These songwriters were using what was at the time a very advanced technique3 Because the examples were so brieflasting only a bar or twothey presented with one exception no great challenge to the improviser
+
+  The one exception was Richard Rodgers Have You Met Miss Jones which has key centers moving by major 3rds for its entire eightbar bridge the changes of which are shown in figure 158 Miss Jones was considered an extremely challenging tune to play or at least it was before the appearance of Giant Steps changed the definition of challenging When Giant Steps was released in 1960 nobody but Trane could play changes such as these over an entire tune Pianist Tommy Flanagan struggled during his solo on the original recording but in fairness to Tommy nobody else at the time could have done any better4
+  Tadd Dameron used major 3rd key movement on turnarounds as shown in figure 159 the last two bars and the first bar of Tadds Lady Bird5 Instead of a conventional IVIIIVI turnaround in C C A7 D7 G7 C Tadd wrote C E7 A D C The key center moves from C down a major 3rd to A and then back up a major 3rd to C again A common variation of this turnaround involves replacing the C chord with E7 as shown in figure 1510
+
+  Kenny Barron plays a similar turnaround on his version of Bronislau Kapers All Gods Chillun Got Rhythm6 Figure 1511 shows the first five bars of the tune Figure 1512 shows Kennys reharmonization borrowing the same idea that Tadd used on Lady Bird
+
+
+Kenny Barrons piano voicings simplified
+
+  The preceding examples show turnarounds moving down a major 3rd Turnarounds can also move up a major 3rd as shown in figure 1513 The key center moves from C major up a major 3rd to E major and then back down a major 3rd to C
+
+  An early example of major 3rd key motion moving upward is shown in figure 1514 the first three bars of the bridge of Lucky Thompsons Dancing Sunbeam7 recorded in 1956 Lucky modulates from E up a major 3rd to G
+
+  A year or two before he recorded Giant Steps Coltrane with pianist Red Garland had experimented with major 3rd key center movement by ending Arthur Schwartzs If There Is Someone Lovelier Than You8 with four major 7th chordsC A E Cmoving down by major 3rds and dividing the octave into three equal parts as shown in figure 1515
+Red Garlands piano voicings simplified
+
+Countdown and Tune Up
+Using major 3rd key center movement and the changes of Miles Davis Tune Up9 Coltrane created his tune Countdown10 Play figure 1516 the changes a IIVI in the key of D on the first four bars of Tune Up Now play figure 1517 In his reharmonization Coltrane doesnt change the first chord E7 the II chord in D major He then moves the key center down a major 3rd from D to B in the second bar down another major 3rd from B to G in the third bar and down another major 3rd from G to D in the fourth bar Each new I chordB G and Dis preceded by its V chord and the result is the changes on the first four bars of Countdown
+
+
+
+  Figure 1518 shows the changes to Tune Up above the staff and the changes to Countdown below the staff Coltrane reharmonized bars 58 and 912 of Tune Up the same way he reharmonized bars 14 Coltrane left some breathing space for the soloist by leaving the changes on the last four bars of Countdown the same as they are in Tune Up
+Coltrane Changes Played on Standards
+Coltrane also used these ideas to reharmonize standards Figure 1519 shows the first four bars of the bridge of Jerry Brainins The Night Has A Thousand Eyes Now play figure 1520 and listen to the way Coltrane replaced the original VI F7alt B with a false cadence F7alt D and then resolved down a major 3rd F7 B11
+
+
+  On the second half of the bridge figure 1521 Coltrane used the same idea first playing a false cadence E7alt C and then resolving down a major 3rd E7 A as shown in figure 1522
+
+
+  Play figure 1523 the changes for the first four bars of the bridge of Body And Soul Now play figure 1524 Coltranes reharmonization12 Coltrane divides the octave into three equal parts the key centers on bars 3 and 4 moving down in major 3rds from D to B to G to D13
+  Several of Coltranes original tunes are reharmonizations using major 3rd key center motion of standards Tranes Satellite14 is based on Morgan Lewis How High The Moon His 26215 is derived from Charlie Parkers Confirmation16
+  To reharmonize standards using Coltrane changes look for tunes with
+ IIVI progressions that last at least four bars
+ IVIIIV or IIIVIIIV turnarounds
+
+McCoy Tyners piano voicings simplified
+
+Herbie Hancocks piano voicings simplified
+
+  When reharmonizing a tune with Coltrane changes most musicians write out the changes ahead of time giving the other musicians a copy of the new chords The best musicians are adept at reharmonizing with Coltrane changes on the spot in the midst of a solo however Play the first four bars of figure 1525 from George Colemans solo on Cole Porters All of You17 George plays a long IVIIIV tag in E E C7alt F7 B79 and then abruptly changes the tag to Coltrane changes E F7 B B79 the second four bars shown in figure 1525 Pianist Herbie Hancock and bassist Ron Carter follow George instantly without missing a beat18
+ Practicing Coltrane Changes
+  You can play Giant Steps a thousand times but youre still playing Coltrane changes in just three keysB G and E And if you play Countdown a thousand times youre still playing in just three keysD C and B A good way to master Coltrane changes is to slowly practice improvising on the first four bars of Countdown in all 12 keys as shown in figure 1526 Increase speed slightly as you hear and feel yourself getting better Go slowly Remember speed comes from accuracy
+
+
+Tonal Centers Moving by Minor 3rds
+Many musicians in the early 1960s experimented with a variation on Coltrane changes that moved key centers around by minor 3rds Coltrane himself did this when he wrote Central Park West19 the changes of which are shown in figure 1527 The key center movement is either by minor 3rds B to D and A to F or by a tritone D to A and F to B which is two minor 3rds Figure 1528 shows the key center motion of Central Park West
+
+
+  Donald Byrds Fly Little Bird Fly20 also used key centers moving by minor 3rds Play figure 1529 and listen to the changes to Donalds tune Note the downward minor 3rd movement of the I chordsF D B A F On the last eight bars Donald uses Coltrane changes and moves up by major 3rdsF A D ending with G7 C7 the IIV that resolves back to F in the first bar Note that Donald precedes most of the I chords not with their V chord but with the V chords tritone substitution As an example the D chord in bar 3 is preceded not by A7 its V chord but by E7 the tritone sub of A7 Figure 1530 shows the key center movement of the I chords on Fly Little Bird Fly21
+
+
+McCoy Tyners Locrian V Chord
+Locrian as a V chord Jazz musicians usually associate the Locrian mode with halfdiminished chords but McCoy Tyner often plays a Locrian chord as a dominant 7th or V chord Of course McCoy Tyner probably doesnt call it a Locrian V chord Im using that name because the chord is built off of the Locrian mode and functions as a V chord McCoy often plays the Locrian V chord as a substitute for the written V chord The substitute chord is from the key a major 3rd below the original V chord I dont know whether McCoy developed this idea while playing with Coltrane but it fits in with Coltranes moving key centers by major 3rds idea so its a form of Coltrane reharmonization
+
+  Figure 1531 shows a simple VI D7 G in G major as played on the piano with the left hand Note that the G triad is in second inversion for smoother resolution Figure 1532 shows what McCoy often plays instead of D7 an AD slash chord resolving to G major22 The notes in an AD chord are all from the key of E majora major 3rd down from G the original key of the progression Because this chord from E major has D in the bass it is a D Locrian chordD being the 7th or Locrian note of the E major scale Over this lefthand chord McCoy often improvises on scales and modes derived from the key of E such as the E pentatonic scale figure 1533 the At pentatonic scale figure 1534 the B pentatonic scale figure 1535 the F minor 6th scale23 figure 1536 and the Insen scale figure 1537
+
+
+
+
+
+
+  McCoys solo on Bobby Hutchersons La Alhambra24 contains several examples of his use of the Locrian V chord one of which is shown in figure 1538 All of McCoys notesfrom the righthand improvisation and the CF chord in his left handare from the F Locrian mode from the key of G
+
+  In the next chapter well examine three complete reharmonizations of standards two by John Coltrane and one by Kenny Barron
+
+Kenny Barron c1990 K Gypsy Zaboroskie All Rights Reserved
+  Lets compare the two versions Here are Coltranes reharmonizations
+ In the first four bars instead of keeping the original G pedal point Coltrane approaches both G chords with C711 the V chord a 4th above G F the melody note in bars 1 and 3 changes from the major 7th of G in the original version to the 11 of C7
+ In bars 89 Coltrane changes the original IIVI in G by substituting F7 for D7 creating an approach to G from a whole step below F7 G
+ In bars 1112 Coltrane changes the original C B7alt chords into a minor llV F B79
+ In bars 1516 he plays a chromatic approach IIV B7 E7 to A7 D7
+ In the second ending Coltrane creates a fourbar tag by twice repeating the IIIVIIIV B7 E7 A7 D7 progression
+  Coltranes version of Spring Is Here was recorded in 1958 early in his recording career His reharmonization is clever and creative but gives no hint of the revolution he would spark with his explorations of only a year or two later Before we look at an example of Coltranes later work however lets examine what another great musician Kenny Barron did with Spring Is Here
+Kenny Barrons Reharmonization of Spring Is Here
+Kenny Barrons version of Spring Is Here2 is much more radical than Coltranes Kennys arrangement of the tune is a textbook example of what you can do with pedal point He plays a G pedal throughout the entire tune as shown in figure 163 Kenny plays the tune with a loose straighteighth note feeling too rhythmically complex to be shown in this simplified version His reharmonization transforms this standard into as personal a statement as Richard Rodgers original version
+Reharmonization by Kenny Barron piano voicings and rhythm simplified
+
+
+c1938 renewed EMI Robbins Catalogue Inc All Rights Reserved Used By Permission WARNER BROS PUBLICATIONS Miami FL 33014
+  Here are some highlights of Kennys reharmonization
+ The melody note in all the G5 chords is either D the raised 5th or F the major 7th Remember major 7th chords with the 7th in the melody are a good place to use Lydian augmented 5 chords
+ Listen to the cadences in the first eight bars Both the G5 and Gsus9 chords resolve to CG a kind of temporary tonic chord in place of G Although the song is in the key of G Kenny doesnt play an unaltered G chord until bar 9
+ Listen to the fourchordsperbar movement in bars 910 The FG chord in bar 10 is a disguised D79 chord that resolves to G
+ Note the sudden darkening of the harmony when Kenny goes from the very bright AG chord in bar 15 to CG in bar 16 Kenny uses the same effect on the final eight bars alternating bright G and dark CG chords
+ Kenny repeats the cadence G CG in bars 1920 two more times adding the same fourbar tag that Coltrane played in his version of Spring Is Here
+  If you listen to the recording while you study this reharmonization youll hear Kenny sometimes play G G5 in bars 1 and 3 of the melody chorus as shown in figure 164 although he plays G5 on his solo choruses
+Kenny Barrons piano voicings simplified
+
+John Coltranes Reharmonization of Body And Soul
+
+
+c1930 renewed WB Music Corp Range Road Music Inc Quartet Music Inc and Druropetal Music All Rights Reserved Used By Permission WARNER BROS PUBLICATIONS Miami FL 33014
+Reharmonization by John Coltrane
+McCoy Tyners piano voicings simplified
+
+
+
+  Now play figure 166 a simplified version of McCoy Tyners piano part and Steve Davis bass part to Coltranes 1960 recording of Body And Soul4 Tranes reharmonization shows just how much he had evolved in the two years since his Spring Is Here date
+  Here are some highlights of Coltranes Body And Soul
+ Coltrane has lengthened the tune from 32 to 64 bars by playing it in half time
+ On the vamp intro and first four bars of the tune McCoy plays a chromatic descending line within the chords The line E D D C changes the chords from E to E E7 and finally A7
+ McCoy and Steve play an A pedal on the intro and on bars 17 911 and 1315 of the A sections Chords with a note other than A in the bass on bars 8 12 and 16 provide breathing space that breaks up the otherwise constant A pedal
+ The E7 A7 in bar 8 is a chromatic IIV approach to Asus in bar 9
+ Note that the B7 chord in bar 12 has a 11 Remember that 11 is usually played on V chords when they are not part of a IIV and dont resolve down a 5th which is the case here
+ Listen to the very dark F  A and G  A chords in bars 6 and 1315
+ The bridge is perhaps the best known part of Coltranes treatment of Body And Soul Beginning on the fifth bar of the bridge bar 22 in figure 166 Coltrane abandons the written melody and improvises over changes similar to Giant Steps and Countdown moving the key centers down by major 3rds from D major to B major to G major and back to D major He begins the second half of the bridge bar 26 with a D chord in place of the original D7 and again moves the key centers down by major 3rds through the keys of C A E and back to C before descending chromatically to the original B7 chord at the end of the bridge
+  Like Kenny Barrons version of Spring Is Here Coltranes Body And Soul is as personal a statement as Johnny Greens original song
+  Up to this point weve discussed harmony and theory scales and improvising practice techniques how to play on blues and Ive Got Rhythm changes and reharmonization Its time to analyze the original source material that jazz musicians start out with the tunes
+______________________________
+1 John Coltrane The Stardust Session Prestige 1958
+2 Kenny Barron Maybeck Recital Hall Series Concord 1990
+3 The most famous version of Body And Soul until Coltranes was by Coleman Hawkins found on his recording Body And Soul Bluebird 1939
+4 John Coltrane Coltranes Sound Atlantic 1960
+PART IV
+THE TUNES
+CHAPTER SEVENTEEN Song Form and Composition
+Determining a Songs Form
+ AABA
+ ABAC
+ ABCD
+ AABC
+ AB
+ ABC
+ ABA
+ AAB
+ Song Forms Unique To a Single Tune
+Intros Interludes Special Endings Shout Choruses and Verses
+Tunes with Improvised Sections
+Nothing is Sacred
+Tunes with the Melody Played by the Bass
+Jazz Composition and Song Form
+ Billy Strayhorns My Little Brown Book
+ Sam Rivers Beatrice
+CHAPTER EIGHTEEN Reading a Lead Sheet
+The Key Signature
+The Melody
+The Changes
+Rhythm and Phrasing
+Chord Symbols Right Wrong or Optional
+CHAPTER NINETEEN Memorizing a Tune
+The Form
+The Melody
+The Changes
+CHAPTER TWENTY Heads
+CHAPTER TWENTYONE The Repertoire 
+CHAPTER SEVENTEEN
+Song Form and Composition
+ Determining a Songs Form
+ Intros Interludes Special Endings Shout Choruses and Verses
+ Tunes with Improvised Sections
+ Nothing is Sacred
+ Tunes with the Melody Played by the Bass
+ Jazz Composition and Song Form
+   Billy Strayborns My Little Brown Book
+   Sam Rivers Beatrice
+As you start to play standards and jazz tunes you will hear terms like AABA ABAC and ABCD These sets of letters refer to various song forms With the exception of the blues which is usually 12 bars long jazz tunes and standards are mostly made up of eightbar phrases and each of these phrases can be assigned a letter such as A B C or D This chapter describes various song forms and lists representative tunes from each form Recommended recordings for the tunes are found in Chapter 21 The Repertoire
+  You should start noticing the individual songwriting styles of those who wrote the tunes in the standard jazz repertoire As an example Cole Porter specialized in longform tunes such as Begin The Beguine 108 bars Love For Sale 64 bars and Night And Day 48 bars Thelonious Monk was a master at composing very short tunes such as Bemsha Swing 16 bars and Light Blue 8 bars Wayne Shorter writes many tunes with unusual numbers of bars including Infant Eyes 27 bars Miyako 28 bars Speak No Evil 50 bars and Yes Or No 58 bars Benny Golson excels at writing tunes with verses such as I Remember Clifford and tunes with shout choruses like Whisper Not and Along Came Betty
+Determining a Songs Form
+When you play a tune for the first time scan the melody and chords to see if you can determine the tunes form Take a look at figure 171 a lead sheet for I Hear A Rhapsody The repeat sign at the beginning and end of the first eight bars means that the first section A is repeated This means that the first 16 bars of I Hear A Rhapsody can be called AA Although the first and second endings differ the sections are similar enough to have the same letter names The next eightbar section is melodically and harmonically totally different from the first two eightbar sections so its called B1 The last eightbar section is melodically the same as the first eight bars so it is called A
+  To sum up the form of I Hear A Rhapsody
+ The first eightbar section of the melody is called A
+ The second eightbar section with the same melody is also called A
+ The third eightbar section with a different melody is called B
+ The fourth eightbar section with the same melody as the first and second eightbar sections is called A
+In other words the form of I Hear A Rhapsody is AABA
+  Knowing a tunes form is invaluable
+ It helps keep you from getting lost
+ It helps you memorize In the case of I Hear A Rhapsody you only have to learn two eightbar sections A and B instead of having to learn 32 separate bars of music
+
+
+Reading a Lead Sheet
+ The Key Signature
+ The Melody
+ The Changes
+ Rhythm and Phrasing
+ Chord Symbols Right Wrong or Optional
+A lead sheet is a piece of paper containing the melody line chord symbols and often the lyrics of a tune Sometimes lead sheets also include an intro voicings rhythmic hits an ending and more Usually however they supply a minimum of information much of it the chord symbols as an example in code But jazz musicians create magic with these few symbols Interpreting a lead sheet is what this chapter is all about
+The Key Signature
+When looking at the lead sheet of an unfamiliar tune the first thing you should check out is the key signature The key signature affects the melody of the tune only not the chord symbols Beginners often think they cannot play notes such as the F on G chord when the key signature of a tune is F or one flat Actually they can because a key signature of one flat affects the melody line only not the chords Unlike standard notation which puts the key signature at the beginning of each line of music lead sheets usually show the key signature only at the very beginning of the tune You should also check the key signature before you do anything else because the chord symbol in the first bar may give you a false impression of what tune the key is in Cole Porters Night And Day is in E but the first chord is B
+The Melody
+The melody on a lead sheet is usually written in the middle register of the treble clef for ease of reading only This minimizes the use of extra ledger lines which can make the melody difficult to read However you can play the melody anywhere you want in any register of your instrument In fact switching octaves in the middle of a melody is a great effect making phrases sound much more conversational Figure 181 shows the first four bars of the lead sheet of Victor Youngs Stella By Starlight Figure 182 shows how a pianist might switch the melody up an octave in the second bar Unless you want to sound like a yoyo however dont overdo it with switching octaves Rephrasing the melody is also a great effect Notice how our imaginary pianist rephrases the melody in figure 182
+
+
+The Changes
+The chord symbols on a lead sheet are not quite as believable as the tablets that Moses brought down from the mountain The changes jazz musicians play on a standard tune are the result of a long evolutionary process Lets take a hypothetical tune written in the 1920s or 1930s that is still played todaysomething like Bye Bye Blackbird Body And Soul or Love For Saleand examine the evolution of its chords
+1 Songwriter writes tune
+2 Songwriter gives tune to publisher
+3 Publisher accepts tune gives tune to a hack a pianist who writes an easytoread popular version of tune known as sheet music for sale to the public
+4 Singer band and so on record tune
+5 Recording becomes popular public buys sheet music
+6 Jazz musicians like song modify the chords
+7 Famous jazz musician records tune alters chords1 adds a distinctive intro2 interlude3 andor ending4
+8 Recording becomes popular with jazz musicians and becomes the new standard version of the tune
+  The above chronology shows why its almost impossible to determine the original chords to a standard unless you have the songwriters original manuscript in hand With jazz originals by writers such as Coltrane Wayne Shorter Steve Nelson and Kenny Garrett the version of the tune we play is much closer to the original for two reasons
+ Because the tune was written by a jazz musician the changes are already altered for use by jazz musicians
+ Jazz musicians have transcribed the tune from the original recording by Coltrane Wayne Shorter and so on so the tune has gone through far fewer evolutionary steps by the time you play it than the normal Tin Pan Alley standard has
+  What should you do about the uncertainty surrounding the changes to standards Transcribe the tune from the recording Fake books are wonderful tools provided they are accurate5 But learning a tune by transcribing it yourself is the only surefire way of getting it right In Chapter 12 I offered some tips on transcribing tunes
+  Just because youve transcribed a tune off of a recording doesnt guarantee that youre playing the original changes Miles Davis made substantial changes to the bridge of both Thelonious Monks Well You Neednt6 and Benny Carters When Lights Are Low7 When someone calls either of these tunes a short discussion on the bandstand ensues
+First musician Lets play
+  Well You Neednt or
+  When Lights Are Low
+Second musician Which bridge
+  Sometimes youll need to do research to hunt down a tunes original changes and often youll need to know more than one set of changes to a tune
+Rhythm and Phrasing
+Rhythm and phrasing are the toughest pieces of information to convey on a lead sheet If youve already heard a recording of the tune youll have an idea of what its supposed to sound like If you havent and theres nobody around to explain it you have to look for clues Whats the tempo Unlike written classical music lead sheets dont usually include tempo markings If the tempo is indicated its usually shown right above the first bar but only in a rough approximation such as ballad fast or medium walk These expressions give you at least an idea as to how fast the tune is supposed to be played Should you swing the melody or play it in straight eighth notes The labels bossa samba Latin jazz and jazz rock let you know that the tune is to be played with a straight eighth note feeling Otherwise you can assume that it swings
+Chord Symbols Right Wrong or Optional
+When looking at a lead sheet apply a healthy dose of skepticism especially when it comes to the extensions 9th 11th 13th and alterations 9 9 11 5 5 13 of the chord symbols This skepticism should also include the 7th of a minor chord because minor chords can be played with either a major 7th C or a minor 7th C7 When interpreting chord symbols on a lead sheet its a good idea to consider that extensions alterations and the 7th of minor chords are either
+ Right
+ Wrong
+ Optional
+  Take a look at figure 183 a lead sheet of I Hear A Rhapsody Note that I said look not play
+  CAUTION Dont play Figure 183 Its full of mistakes
+  Were going to check and see whether the extensions and alterations to these changes for I Hear A Rhapsody are OK when playing the melody On the solos you have much more harmonic freedom Well assume for now that both the roots and the quality major minor or dominant of the chords are correct Anything else is suspect Be a detective Look for clues
+
+c1940 Broadcast Music Inc USA Campbell Connelly  Co Ltd 89 Frith St London W1 Used by Permission of Music Sales Ltd All Rights Reserved International Copyright Secured
+  The chord in the first bar is C7 Is it part of a IIV is it followed by F7 No its not part of a IIV and none of the melody notes in the bar is B the minor 7th of C7 Its a tonic minor or minor I chord It could be C6 or C C7 isnt wrong its optional
+  Is the melody note on F in bar 2 the 5 No its the 7th F is optional Unaltered F7 will also sound OK
+  How about the B79 chord in bar 2 Is D the melody note the 9 of the chord No D is the 3rd The 9 is optional It sounds good however because as you learned in Chapter 13 9 sounds good on V chords resolving down a 5th and the B7 chord resolves down a 5th to E
+  The 4 part of the E4 chord in bar 3 is not a good choice because one of the melody notes on the chord is A the natural 4th The 4 part of the chord symbol is wrong This doesnt mean its out of the question to make a 4 sound good here Cedar Walton can probably make E4 sound great while the horn player plays an A Nevertheless given the information at hand an A in the melody on an E4 chord the 4 is probably not a good choice
+  The melody note on the D7alt chord in bar 3 is B the 13th of the chord Alt chords have a13 so the alt part of D7alt is wrong Because D7 is not part of a IIV and doesnt resolve down a 5th D711 would be a better choice
+  The first melody note on the C7alt chord in bar 4 is G the natural 5th Alt chords dont have a natural 5th so C7alt is wrong A and B the next two melody notes are the 13 and 7th of C7alt so C7alt on the third and fourth beats is right What to do One solution would be to play C7 on the first two beats of bar 4 and C7alt on the next two beats
+  The melody note on the F chord in bar 5 C is the 5 of the chord so the chord symbol is right
+  The B711 chord in bar 6 isnt wrong but its not a good choice As you learned in Chapter 13 V711 chords usually arent part of a IIV and dont often resolve down a 5th B7 is both part of a IIV F B7 and resolves down a 5th to E In this situation 9 will sound much better The 11 is optional and a poor choice
+  The melody notes on the E chord in bar 7 are the 9th and the root E is right
+  D7 the first chord in the first ending bar 8 is right You could play D but halfdiminished chords that are part of a IIV are usually followed by a V chord that is either 9 or alt The next chord shown is G79 but the 9 is wrong because one melody note on the G7 chord is A the natural 9th
+  There is no melody in the second ending bar 9 so the alterationsthe 5 in the A chord and the 9 in the D79 chordare optional They are also good choices because a minor IIV resolves smoothly down a 5th to a minor chord and A D79 resolves down a 5th to G7
+  Is the G7 chord in bar 10 part of a IIV No its a tonic minor or minor I chord G7 isnt wrong its optional G6 or G might sound prettier
+  E the melody note on the A chord in bar 11 is the 5 of A and the 9 of D79 so both chord symbols are right
+  The G6 chord in bar 12 is not part of a IIV so it could be a tonic minor chord But the E in the melody is the 6 of a G minor chord and will clash with the natural 6th of the G6 chord The dissonance lasts only one beat and you probably wont even notice it A better choice however might be to extend the D79 chord from the previous bar two more beats delaying the resolution to the G6 chord until the third beat of bar 12
+  D the melody note on the C9 chord in bar 13 is the 9th of the chord so the chord symbol is right However the D is held over into the F7alt chord where it wont sound good at all D is the 13th of F7 and alt chords have a 13 The alt part of the chord symbol is wrong F79 would be a better choice because its scalethe halfstepwholestep diminished scalecontains D the 13th of F7
+  The B chord symbol in bar 14 with the 5th in the melody is right
+  The F7 chord symbol in bar 15 is OK but this chord is a tonic minor not part of a IIV so F6 or F might sound better The minor 7th in the F7 chord is optional
+  One of the melody notes on the D chord in bar 16 is B the natural 6th of a D minor chord Neither of the scales usually played on D D Locrian from E major or the sixth mode from F melodic minor has a B natural but the scale for D7 D Dorian does have a B natural D7 might be a better choice but since pianists and guitarists dont usually voice either the 6th or 6 on minor 7th chords either D or D7 will be OK
+  One of the melody notes on the G7alt chord in bar 17 is A the natural 9th which is not found in an alt chord so the alt part of the chord symbol is wrong
+  Figure 184 shows a simple piano arrangement with the corrected chords for I Hear A Rhapsody Its OK to play this version
+
+
+CHAPTER NINETEEN
+Memorizing a Tune
+ The Form
+ The Melody
+ The Changes
+There are three things to consider when memorizing a tune from a lead sheet
+ The form
+ The melody
+ The changes
+The Form
+Take a look at figure 191 a lead sheet to Bob Haggarts Whats New1 Youre going to memorize this tuneall 32 bars plus the pickup note and 47 chords Sounds formidable doesnt it To make this task easier you have to become a detective and look for clues First of all figure out the form of the tune Look at each of the eightbar sections in figure 191 Are any of them the same As you will find the first second and last eightbar sections are virtually identical differing only in each sections final bar Only the third eightbar section appears to be completely different In other words this is an AABA tune A simpler way to write it is with repeat signs and a DS al coda as shown in figure 192 Instead of 32 bars there are now just 18 Instead of 47 chords there are now 27
+
+
+c1939 renewed Warner Bros Inc ASCAP Marke Music Publishing Co Limerick Music Corp Reganesque Music and TimeCo Music All Rights Reserved Used by Permission WARNER BROS PUBLICATIONS INC Miami FL 33014
+The Melody
+As for the melody of Whats New play it a few times through on your instrument and then sing it Break it down into phrases Learn the first phrase then the second and so on until you have the whole melody memorized Since the melody of Whats New repeats this job is easier Be aware of the shape of melodic phrases how the melody may outline the chords and if it chromatically approaches chord tones
+  Learning the lyrics isnt a bad idea either Lyrics help you remember the melody and give you an idea of what the tune is all about2 Johnny Burkes lyrics are not shown here but can be found in The New Real Book Volume One If you have a good recording of the tune play it over and over singing the melody along with iteven over the solo choruses
+The Changes
+Now about those 27 chords Rather than consisting of a bunch of random changes Whats New is highly structured
+ The A section consists entirely of IIVI progressions in C major A major C minor and C major again The tonal center goes down and then up by major 3rds C A C as in Coltrane changes
+ The bridge consists entirely of IIVI progressions in F major D major F minor and F major As in the A section the tonal center goes down and then up by major 3rds F D F
+ Every odd numbered bar has a tonic chord
+ Every even numbered bar has a IIV progression
+ The tonality of the bridge goes up a 4th from C to F one of the oldest cliches in popular music3
+  The subtle and clever aspect of Whats New is how Haggart varies the quality of the I chords in the A and B sections He switches from C major to A major to C minor and back to C major on the A sections Majormajorminormajor This echoes the AABA form of the tune and adds to the overall structure On the bridge which begins by both melodically and harmonically echoing the A section a 4th up he does the same thing going from F major to D major to F minor to F major Majormajorminormajor The shift from major to minor and back again gives the tune a sense of poignancy that has made it a favorite of jazz musicians for 50 years
+  Does memorizing Whats New seem easier now It should
+ There are fewer bars to memorize
+ The chords are grouped in IIV Vl and IIVI progressions
+ The logic behind the tune is now apparent
+  Unfortunately not every tune is as easy to memorize as Whats New Still the clues just outlined will work for any tune no matter how difficult
+
+c1939 renewed Warner Bros Inc ASCAP Marke Music Publishing Co Limerick Music Corp Reganesque Music and TimeCo Music All Rights Reserved Used by Permission WARNER BROS PUBLICATIONS INC Miami FL 33014
+  As I said earlier jazz musicians cant leave well enough alone They often discard the melody of a tune but keep the changes using them as the basis for a new melody called a head Heads are the topic of the next chapter
+______________________________
+1 Here are just a few of the many great recordings of Whats New
+John Coltrane Ballads MCAImpulse 1962
+Joe Henderson Mirror Mirror Verve 1980
+Woody Shaw Setting Standards Muse 1983
+Steve Nelson Communications Criss Cross 1989
+Wynton Kelly And Wes Montgomery Smokin At The Half Note Verve 1965
+Steve Grossman Love Is The Thing Red Records 1985
+2 Dexter Gordon sometimes would read the lyrics to a standard while his rhythm section played the changes behind him
+3 Other tunes that modulate up a 4th at the bridge include Thelonious Monks Bemsha Swing Tadd Dameron and Count Basies Good Bait Billy Strayhorns Take The A Train and Victor Schertzingers I Remember You
+CHAPTER TWENTY
+Heads
+In classical music a melody based on the harmony of an existing tune is called a contrafact In jazz new melodies based on the changes to existing standard tunes are called heads1 Some heads closely follow the original changes This is true of Miles Davis Dig which is based on Sweet Georgia Brown Other heads bear only a remote resemblance to the original tune A good example is Coltranes Exotica based on I Cant Get Started Heads are often derived from the changes of two different tunes For instance AhLeuCha is an AABA tune with the A sections derived from Honeysuckle Rose and the B section derived from Ive Got Rhythm There are even heads based on heads Coltranes Fifth House is based on Tadd Damerons Hot House which is based on Cole Porters What Is This Thing Called love
+______________________________
+1 Head can also mean the melody of any tune
+2 The bridge is based on Ive Got Rhythm
+3 AKA Burt Covers Bud
+4 Only the A section is based on Ive Got Rhythm
+5 The bridge is based on Honeysuckle Rose
+6 The bridge is the A section of Ive Got Rhythm transposed up a 4th
+7 Only the A section is based on Blue Skies
+8 Only the A section is based on Ive Got Rhythm
+9 Only the A section is based on Ive Got Rhythm
+10 Only the A section is based on Ive Got Rhythm
+11 The bridge is based on Ive Got Rhythm
+12 Only the A section is based on Exactly Like You
+CHAPTER TWENTYONE
+The Repertoire
+No you dont have to memorize all 965 tunes listed in this chapter1 But you should learn as many as you can Jazz is ear music not eye music Musicians improvise better when they dont have to look at the music Can you learn a tune a week One every two weeks If you do in just a few months youll have the beginnings of a pretty good repertoire
+  This chapter mentions only the best or most commonly played standards and jazz originals Tunes preceded by a  are a must Dont move to New York without knowing most of them
+  A word about my selections I love all these tunes and have played all of them My list changes like anyone elses Every time I look at the list I want to add more tunes because theyre beautiful and important Every jazz musicians list of favorite songs evolves constantly If Ive left out any of your favorite tunes just add them to the list
+  Coltranes Crescent Wise One and Lonnies Lament are a must if you want to learn how to create a beautiful melody Herbie Hancocks Tell Me A Bedtime Story and Donald Browns Overtaken By A Moment can both teach you a great deal about extended form composition Bobby Hutchersons La Alhambra can teach you a lot about how to create and resolve tension Charles Mingus Goodbye Pork Pie Hat is a great example of how much music can be packed into 12 bars Hoagy Carmichaels Stardust is a tune that someday somewhere in some situation youll have to play so you might as well learn it Until the 1960s it was regularly voted Americas AllTime Favorite Song in a poll that was taken yearly It has a great verse and Coltranes recording of it is a killer
+  I used to think that Nancy With The Laughing Face and Too Young To Go Steady were pretty dumb tunes until I heard Coltrane play them I remember when Someday My Prince Will Come was considered a corny tuneuntil Miles recorded it Think youll never play Tea For Two Listen to Monks version Even if you never play all of these tunes theyre all worth checking out Listen to the recordings and study them
+  This chapter lists tunes alphabetically by the name they are most commonly known by For example On Green Dolphin Street is always called Green Dolphin Street on the bandstand so its listed under G not O
+  Lots of tunes have more than one version that youll need to know For example check out the differences between Thelonious Monks Round Midnight and Miles Davis version Compare the original changes to Vincent Youmans Tea For Two with Monks changes Miles version of Monks Well You Neednt is very different than Monks original and the same goes with Miles recording of Benny Carters When Lights Are Low The list could go on and on
+  Some tunes are played in two keys and you need to able to play them in both keys Green Dolphin Street is played in both E and C Just Friends is played in B and G Night And Day is played in both E and C Embraceable You is played in E and G Easy Living is played in both F and E Take The A Train is played in A and C and Spring Is Here is played in both A and G Youll need to be able to play Youre A Weaver Of Dreams in several keys Ive had it called in G F C and E The same goes for My Shining Hour John Coltranes Equinox is usually played as a C minor blues but the best players like to play it in the original key C minor
+  Many tunes are known by more than one name In these cases Ive listed the song by what I think is its most common name Then I list the alternate name in parentheses as in Joe Hendersons Recordame AKA No Me Esqueca and Kenny Dorhams Lotus Blossom AKA Asiatic Raes
+  Dont forget that a lot of the tunes on this list are 12bar blues and a lot of others have the same or very similar chord changes all the songs based on Ive Got Rhythm for example
+  To the right of each tune listing when applicable is an abbreviation for the fake book the tune is located in to the right of that is the Aebersold playalong recording that includes the tune through Vol 65 Listed below each tune is a recording of the tune that I like These fake books plus the Aebersold recordings are all available from your local music store
+  Fake book2 abbreviations
+ NRB 1 stands for The New Real Book Volume 1
+ NRB 2 stands for The New Real Book Volume 2
+ NRB 3 stands for The New Real Book Volume 3
+ WGFB stands for The Worlds Greatest Fake Book
+ LRB stands for The Latin Real Book
+ SRB stands for The Standards Real Book
+ AJRB stands for The AllJazz Real Book
+ REB 1 stands for The Real Easy Book Volume 1
+ REB 2 stands for The Real Easy Book Volume 2
+  When looking for recordings bear in mind that record companies often rename CDs when they reissue them As an example Bud Powells Inner Fires has been reissued as Birdland 53 Names of record companies can also change Record companies go out of business merge and buy and sell each other A recording originally released on Riverside Records may be reissued a few years later on Fantasy Milestone OJC or Prestige A United Artist release may resurface years later on Mobile Fidelity
+
+ 
+CHAPTER TWENTYTWO
+Salsa and Latin Jazz
+ What Is Latin Music
+ The Clave
+ The Invisible Bar Line
+ A History Lesson
+The music of Latin America is a vast subject one that would require several volumes to cover adequately This chapter focuses on a few skills jazz musicians need to adapt jazz tunes to AfroCuban rhythms But first here are some thoughts about Latin music in general
+What Is Latin Music
+North Americans tend to use the term Latin music loosely as if it were a homogeneous music rather than the incredibly complex mosaic that it is The music from the Rio Grande south to Tierra del Fuego includes the influences of Africa Spain Portugal Britain France the Netherlands Italy Germany the Middle East India and thousands of indigenous American cultures Altiplano music from the Andean highlands has about as much in common with Mexican mariachi music as Mozart has with BB King There is a connection but it is tenuous
+  Brazilian and AfroCuban music have been the two main Latin musical influences on jazz Brazilian music is beyond the scope of this book To use AfroCuban rhythms with jazz tunes you need to know a bit about the rhythmic pattern known as clave and thats what this chapter is all about
+The Clave
+The single most unique aspect of AfroCuban music also known as salsa is its strict adherence to the rhythmic pattern known as clave pronounced clahvay In a salsa band each rhythm instrumentpiano bass timbales congas bongos giro cowbellplays a different rhythm and these rhythms all fit together nicely like pieces in a jigsaw puzzle The glue that holds it all together is the clave
+
+  Clave is a twobar rhythmic pattern that occurs in two forms forward clave also known as 3  2 figure 221 and reverse clave also known as 2  3 figure 222 In 3  2 or forward clave the accents fall on the first beat the and of the second beat and the fourth beat of the first bar and beats two and three of the second bar In 2  3 or reverse clave the pattern is reversed There is also another clave called the rumba clave or African clave figure 223 The last note in the 3 bar in the rumba clave is delayed a half beat and played on the and of the fourth beat Every component of AfroCuban rhythmdrum patterns piano montuno bass lines melodic phrasing horn lineshas to be in gear with the clave
+
+
+  Virtually all AfroCuban music is written and played in either forward or reverse clave1 Figure 224 shows the first few bars of Ave Maria Morena a traditional Cuban song written in forward clave or 3  2 As you can see the rhythm of the melody states the clave pattern clearly coinciding with the clave in eight places in the first three bars where the x marks are The most important rule about clave is that once the tune starts the clave doesnt change
+
+  This rule can cause lots of problems when you try adapting a jazz tune to AfroCuban rhythms You have to decide whether the song should be played in forward or reverse clave Often the rhythm of the melody makes the choice obvious as in the 2  3 pattern of the first four bars of the introduction to Freddie Hubbards Birdlike2 shown in figure 225 Melody notes coincide with the 2  3 clave nine out of a possible ten times in the first four bars of Freddies intro Another tune with an obviously stated clave rhythm is Cedar Waltons Ojos De Rojo3 As shown in figure 226 the melody on the intro to Cedars tune coincides with the 3  2 clave ten out of a possible ten times in the first four bars
+
+
+  Since jazz composers dont usually concern themselves with clave most jazz tunes are partly in 2  3 partly in 3  2 and mostly in no particular clave Such tunes may be difficult to adapt to AfroCuban rhythms unless youre willing to change the rhythm of the melody or add or subtract bars which is often done Thats why many attempts to play jazz tunes in an AfroCuban style hey lets play Inner Urge as a mambo dont work too well To sound good a song has to feel right in one clave or the other
+  Figure 227 shows the first four bars of Miles Davis Tune Up The staffs below the melody line show how the melodic rhythm of Tune Up coincides with 3  2 forward and 2  3 reverse clave As you can see the melody coincides only once with a 2  3 clave but four times with 3  2 This doesnt mean you have to play Tune Up in 3  2 however If you change the rhythm of the melody in the second bar as shown in figure 228 Tune Up coincides with the 2  3 clave three times in that bar More important two of the three notes that now coincide with the clave are those on the and of the third beat and on the fourth beat the really strong points of the clave Because all three melody notes coincide with the clave in the same bar the clave feeling is tremendously reinforced
+
+
+  Figure 229 shows the first two bars of Thelonious Monks ByeYa4 which suggests a 2  3 pattern However the melody in the eighth barthree quarter notesdoesnt lay very well with the 3 bar of a 2  3 pattern as shown in figure 2210 If you rewrite the melody in bar 8 as two dotted quarter notes followed by a quarter note as shown in figure 2211 it will fit 2  3 clave
+  Often you only have to change one or two notes to make a tune lay better with the clave And some tunes will work more or less in either clave without any changes One band I worked with played Thelonious Monks Straight No Chaser as a mambo in reverse clave Every so often wed play it in forward clave without changing anything else and it worked either way
+  The best example of a jazz musician adapting clave to an existing tune is Max Roachs evolving cowbell part on the three takes of Bud Powells Un Poco Loco Blue Note fortunately released all the takes that Bud Max and bassist Curly Russell recorded that day in 1951 and the evolution of Maxs part is a textbook case of how to adapt a jazz tune to clave Figure 2212 shows the first four bars of Buds melody which obviously suggests the 3  2 pattern shown in the bottom staff Figure 2213 shows the first two bars of take 1 with Maxs cowbell pattern coinciding with the clave only twice in the twobar phrase Unhappy with what he was playing Max changed his pattern on takes 2 and 3 to the one shown in figure 2214 As you can see his new cowbell pattern coincides with the clave three times in the twobar phrase and especially reinforces the rhythm of Buds melody in the first bar5
+
+
+
+  Mulgrew Millers great tune Ones Own Room6 illustrates the problems inherent in choosing the right clave for a jazz tune In figure 2215 the rhythm of the melody in the fourth bar suggests a 2  3 pattern Drummer Tony Reedus picks up on this by playing a cascara7 pattern on brushes that goes with 2  3 as shown on the bottom staff of figure 2215 But the melody in the C section of the tune clearly suggests 3  2 as seen in figure 2216 A true Latin jazz band would have to reconcile this difference by adding or subtracting a bar or changing the rhythm of the melody as we did earlier in the examples of Tune Up and ByeYa The Contemporary Piano Ensembles recording of Ones Own Room doesnt confirm to the strict rhythmic rules of AfroCuban music because the group is not a Latin jazz group If Tito Puente or Orchestra Libre played Mulgrews tune however some adjustments would be necessary
+
+
+The Invisible Bar Line
+Because of its abundance of crossrhythms Latin music presents some notational problems There is a rule about notation in Western music that one shouldnt cross the invisible bar line8 that divides each bar of  music in half Although this rule makes good sense for most Western music it can make a bar of Latin music very difficult to read Figure 2217 shows a typical piano montuno a repeated vamp figure notated in the conventional Western method It contains 15 bits of information 12 notes and 3 ties Figure 2218 shows the same pattern notated as most Latin musicians would write and read it ignoring the invisible bar line rule This version only contains 11 bits of information 10 notes and 1 tie Ignoring the invisible bar line produces music with far fewer eighth notes and ties Because each bar includes fewer bits of information the music is easier to read After you get used to it youll much prefer reading Latin music that disregards the invisible bar line
+
+
+A History Lesson
+The terms AfroCuban music and salsa are somewhat misleading The music of Tito Puente Jerry Gonzlez Mongo Santamara Emiliano Salvador Eddie Palmieri and Cal Tjader is a mix of African rhythms the music of Cuba Puerto Rico the Dominican Republic and American jazz Salsa Spanish for sauce is a term coined by New York Latin music promoters but its use is resented by many Latin musicians in much the same way that the term jazz is objected to by many AfricanAmerican musicians
+  Puerto Rico adapted AfroCuban music to its own traditions and produced its own brand of the music Since the 1950s more than a million Puerto Ricans have migrated to the continental United States including thousands of musicians who settled in Nueva York AfroCuban music today is largely on a New YorkMiamiHavanaSan Juan axis although the Havana part is severely crippled by the United States trade and travel embargo on Cuba still in effect as of 1995 the publication date of this book Salsa is also popular in other Spanishspeaking countries with large black populations such as the Dominican Republic Panama Nicaragua Columbia and Venezuela
+  Drums rhythmic patterns and vocal callandresponse patterns were brought to Cuba by African slaves and the mixture of Spanish harmony melody and song and dance forms evolved into AfroCuban music From the late 19th century on AfroCuban music has also been highly influenced by jazz The proximity of Cuba and the United States facilitated this influence The cultural interchange went both ways Before the Cuban revolution bands frequently travelled back and forth between the two countries From its earliest days jazz has had a Spanish tinge as it was once called due to the trade and travel between Miami New Orleans Havana and other Caribbean ports
+  The popularity in the US of Latin bands such as Xavier Cugat9 in the 1930s paved the way for the jazzinfluenced big bands of Machito10 and Tito Puente11 in the 1940s and 1950s Other musicians who helped combine jazz and AfroCuban music were Mario Bauza12 Juan Tizol the composer of Caravan and a longtime member of the Duke Ellington band and Chano Pozo who collaborated with Dizzy Gillespie in the 1940s13 Other important figures who stirred the Latinjazz pot were Peruchn Pedro Justiz14 Cal Tjader15 Mongo Santamara16 Willie Bobo17 Jerry Gonzlez18 and most important of all Eddie Palmieri19 Tito Puente20 switched from a big band to a Latin jazz sextet format in the 1980s and he and Manny Oquendos Libre21 are two of the best Latin jazz groups in the 1990s
+
+Eddie Palmieri cDavid Belove All Rights Reserved
+  Many American jazz musicians have played with Latin bands studied the music and absorbed clave into their playing The list includes pianists Bud Powell22 Chick Corea23 and Herbie Hancock24 Many of Thelonious Monks tunes strongly imply clave although I dont know if Monk worked with a Latin band in his youth or ever studied AfroCuban music Jerry Gonzalez has recorded an entire album of Monks tunes25
+  Most groups that play Latin jazz involve a compromise The jazz musicians in the group grow up playing and listening to jazz and their knowledge of Latin music is often limited The same thing in reverse is true of the Latin musicians A small group of musicians most of them from New York have grown up with and are comfortable playing both kinds of music This group has exerted a profound influence on the course of Latin jazz The list includes the late trombonist Barry Rogers who played and arranged for Eddie Palmieris great bands of the 1960s and 1970s saxophonist Mario Rivera with Tito Puentes band for the past several years pianist Hilton Ruiz who has recorded with George Coleman and trumpeterpercussionist Jerry Gonzlez who has worked with McCoy Tyner off and on for several years Mario Hilton and Jerry appear on Jerrys album Ya Yo Me Cur26 which is one of the greatest Latin jazz albums ever recorded Another great Latin jazz recording is the Eddie PalmieriCal Tjader album El Sonido Nuevo27 Eddies playing on this recording redefined the meaning of Latin jazz
+  For a book with a much more indepth exploration of clave plus considerable history of AfroCuban music check out The Salsa Guidebook by Rebeca Maulen28
+  Its time to collect the miscellaneous bits and pieces of jazz theory that dont fit neatly into any of the previous categories weve explored and put them all together into a chapter of their own
+CHAPTER TWENTYTHREE
+Loose Ends
+ The Four Myths
+ The Harmonic Minor Scale
+ The Harmonic Major Scale
+ FourNote Scales
+ The Limitations of Traditional Theory
+ Wrong Notes
+ Criticism
+ Book Review
+This chapter covers miscellaneous stuff that doesnt quite fit in any other chapter including ideas that came to me after the rest of book was completed Hence the title Loose Ends
+The Four Myths
+Here are four things you might have been told by wellmeaning teachers These are myths that are simply untrue
+ Piano players should not play root position chords when playing with a bass player
+ You have to have both the 3rd and 7th in a dominant 7th chord
+ The 4th takes the place of the 3rd in a sus chord
+ Some notes in a chord are inherently better to play than others
+  Lets debunk myth number one Bud Powell and Thelonious Monk played root position chords about 99 percent of the time McCoy Tyner Kenny Barron Cedar Walton and Mulgrew Miller also play root position chords a lot The origin of this myth probably goes like this Red Garland Wynton Kelly and Bill Evans popularized rootless lefthand voicings in the late 1950s As jazz piano teachers learned these voicings they told their students that playing rootless voicings gives the bass player more space which is true This however degenerated into dont play root position chords youll get in the way of the bass player Although I play root position chords much of the time Ive never had a bass player tell me that Im getting in their way For a young pianist in a high school jazz band whos having enough trouble just finding a root position C voicing its tough to be told dont play root position chords by a wellmeaning but totally wrong band director
+
+
+  Now for myth number two Bud Powell was playing the 3rdless voicing shown in figure 231 in the 1940s and most of the best jazz pianists still play it Play figure 232 and youll hear one of the many lefthand voicings for V chords developed by Herbie Hancock and other pianists in the early 1960s This voicing played for both the G711 and C7alt chords from D melodic minor is missing the 3rd as a G711 chord and missing the 7th as a C7alt chord1 Unaltered dominant 7th chords usually require both a 3rd and 7th to function as V chords but once any alteration is made to a V chord9 9 11 13 and so onthe 3rd and 7th lose much of their importance In other words there is nothing sacred about playing the 3rd or 7th on dominant 7th chords
+  Myth number three Figure 233 shows the Fsus chord with A the 3rd on top that Wynton Kelly plays at the beginning of Miles Davis recording of Someday My Prince Will Come2 The 3rd is just about the prettiest note you can play on a sus chord
+
+  Myth number four There is at least a germ of truth in the idea that some notes in a chord sound better than others The myth usually manifests itself as one or more of the following the 9th 11th and 13th are more interesting notes altered notes are more interesting than nonaltered ones the root and 5th are boring notes On the face of it you would think that a 9th might sound prettier than the root or 5th or that a 13 would be more interesting than a natural 13th When you are playing with other musicians however your note becomes part of a mosaic that includes all of their notes as well Depending on what your bandmates are playing the root might be the most intense note you can play The root of a major chord can be just about the darkest or prettiest note a horn player can play or a singer can sing Play or sing figure 234 with a friend and youll hear what I mean
+
+  I chose the root as an arbitrary example Remember this The success of each note you play is at least partially dependent on what your fellow musicians play Dont be dismayed this element of chance is part of the magic of improvised music If youre the leader of the band dont try to dictate what your fellow musicians play Jazz is collective improvisation The best bands3 achieve an almost radarlike sensitivity to one another so that every note each musician plays is supportive of every note the others play Let the magic happen
+The Harmonic Minor Scale
+In major scale harmony a single parent scale is the source of the modes played over IIVI D Dorian G Mixolydian and C Ionianthe modes played over D7 G7 Care all from C major Wouldnt it be nice if a single scale sounded great over all three chords of a minor IIVI4 It would be but there is no such scale The harmonic minor scale prevalent in classical and folk music is often mentioned in theory books as the scale played over a minor IIVI If that were true youd hear the great players playing the harmonic minor scale a lot on IIVI progressions but they dont They play fragments of it but very rarely the entire scale
+
+  Figure 235 shows the C harmonic minor scale Note the characteristic interval of a minor 3rd between the sixth and seventh notes A and B of the scale Minor 3rds are not found between adjacent notes in more conventional scales such as the major melodic minor diminished and wholetone scales Some playersBooker Ervin and Bud Powell for examplehave played harmonic minor scale patterns frequently while other great players dont play them at all Figure 236 shows Bud playing six notes from the D harmonic minor scale on bars 23 of his Tempus Fugit5 Note that he plays the lick over two chords A79 and D6 As in Buds lick the harmonic minor scale is most often played over V79 chords resolving to a minor chord a 5th below
+
+
+  One reason the harmonic minor scale is seldom played in its entirety is that it fits no one particular chord No matter what chord you play it on at least one note if held against the chord sounds like an avoid note Figure 238 shows the complete C harmonic minor scale played as a lick over the minor IIVI progression D G79 C This lick sounds good and has been played by many great players E played on the D chord and the C played on the G79 chord are both avoid notes Because as eighth notes they go by so fast they dont sound too dissonant and our ears accept them However try holding an E over a sustained D chord or a C over a G79 chord and youll hear why jazz musicians call them avoid notes7
+
+  Lets examine the avoid notes just mentioned Take a look at figure 239 the C harmonic minor scale played over the three chords of a minor IIVI in C minor The whole notes sound extremely dissonant when played over the chords Play the scale over each of the three chord voicings and then play and sustain the whole notes while playing each chord On the D chord both E and B sound very dissonant On the G79 chord both C and E sound very dissonant On the C chord A sounds very dissonant Although most of the notes of the harmonic minor scale are consonant when played over the three chords of a minor IIVI the entire scale fits none of the three chords individually
+
+
+  Dont take this to mean that you shouldnt play the harmonic minor scale Its a very beautiful series of notes conjuring up Eastern European and Middle Eastern music But take everything that you read in theory books including this one with at least a grain of salt Figure 2310 shows a chord that just asks for the harmonic minor scale to be played over it The two triads written on top of each other notated as a slash chord suggest the F harmonic scale which is shown to the chords right CD has six of the seven notes of the F harmonic minor scale The only note from the scale missing from the chord is B The harmonic minor scale would sound great played over this chord
+The Harmonic Major Scale
+
+
+
+  Harmonic major chords are often played as a substitute for major 7th chords Figure 2313 shows bars 910 of Harry Warrens There Will Never Be Another You with the original A chord changed to A6 a harmonic major chord Figure 2314 shows the first two bars of Arthur Johnstons Just One More Chance Figure 2315 shows the same two bars with the original A chord changed to A6 You can hear Kenny Werner play an E6 chord in the tenth bar of his tune Compensation9 shown in figure 2316
+  The key element in the four preceding examples is that the melody note on the major 7th chord is the 5th As you play through tunes look for major 7th chords with the 5th in the melody and see if you like the way they sound reharmonized as harmonic major chords More possibilities occur in the following tunes They Say That Falling In Love Is Wonderful Naima Moments Notice You Are There and Body And Soul
+
+
+Kenny Werners piano voicings simplified
+
+FourNote Scales
+Play figure 2317 a line over a series of IIV7alt progressions The line is made up entirely of minor 6th scales fournote scales that outline minor 6th chords Figure 2318 shows the minor 6th scale for each of the chords in the previous example Each minor 6th scale in this example outlines the root 3rd 5th and 6th of the melodic minor scale from which the chord is derived but minor 6th scales can be played on major scale and diminished scale chords as well
+
+
+
+  Minor 6th scales have a timeless quality Everyone from Lester Young through McCoy Tyner and Mulgrew Miller10 has played them Figure 2319 shows swing era pianist Herman Chittisons use of minor 6th scales on his recording of Flamingo11
+  The C minor 6th scale has four notes C E G A The only major key to contain those four notes is B major The C minor 6th scale will sound consonant over many of the chords from B major C7 Dsus9 E4 F7 and Fsus It wont sound consonant played on B because it has an E the avoid note on a B chord
+  The notes in the C minor 6th scale also occur in B melodic minor As such they can be played over all the chords from B melodic minor B Csus9 D5 E711 G A7alt
+  The notes in the C minor 6th scale also occur in the C halfstepwholestep diminished scale so you can play them on C79 E79 F79 and A79 The notes in the C minor 6th scale also occur in the B wholestephalfstep diminished scale so you also can play them on B D E and G
+  As you can see in figure 2320 the C minor 6th scale is very similar to two other scales the C minor pentatonic and the C blues scale All three scalesC minor 6th C minor pentatonic and C blueshave a similar bluesy sound In todays music they are often used interchangeably
+
+  Minor 6th scales usually arent played on wholetone chords because they have a minor 3rd and minor 3rds dont occur in wholetone harmony
+  There are many fournote scales other than minor 6th scales The symmetrical nature of diminished scale harmony offers numerous possibilities One example is shown in figure 2321 which includes a line based on this scale over a C79 piano chord voicing
+
+The Limitations of Traditional Theory
+Early on in this book I said theres a reason they call this subject music theory and not music truth Theory attempts to rationally explain what is essentially a nonrational experience As such terminology especially chord symbols can only approximate what we hear as music As an example play the chord in figure 2322 Herbie Hancock plays this dark rich chord in the first bar of the intro on Wayne Shorters FeeFiFoFum12 The chord symbol is a hybrid reflecting that the top five notes look and sound like a piano voicing for E79 played over an F pedal But F is not in the scale that goes with E79 the E halfstepwholestep diminished scale In addition the chord contains E E natural and Fthree chromatic notes in a row as shown in the bar to the right of the chordsomething that only occurs in the chromatic scale In other words the chord symbol only gives you a rough idea of how to improvise over this chord
+
+  This example serves as a reminder that theory no matter how useful has limitations Theory is only an intellectual dance we do around the music attempting to objectively and rationally explain what is essentially a subjective nonrational experience Let theory be a guide for you not a straightjacket Above all listen
+  Traditionally the root 3rd 5th and 7th of a chord have been considered chord tonesthe notes needed to identify the chords qualitymajor minor or dominant This definition of chord tones worked fine for several centuries of classical music and for jazz up until the 1940s But with some of the chords played in jazz today the traditional meaning of chord tones is totally irrelevant As an example the notes that determine the quality of a sus chord are the root 4th and 7th figure 2323 Pianists and guitarists often play just these three notes as a voicing for Csus The notes that determine the quality of a sus9 chord are the root 9 and 4th figure 2324 Again pianists and guitarists often play just these three notes as a Csus9 voicing Modern chords like sus sus9 and slash chords do have chord tones but they may not be the root 3rd 5th or 7th
+
+
+Wrong Notes
+Although as an artist you should strive for perfection dont let your wrong notes get you down Improvised music by its very nature is full of mistakes Art Blakey once said Someone played a wrong note and jazz was born Listen to Joe Hendersons false entrance on the out chorus to McCoy Tyners Four By Five13 Everyone plays so great on that tune and on the whole album for that matter that nobody cares too much about Joes mistake Although it sounds like a clich a positive way of dealing with playing a bad note is to remember that the next note is the first note of the rest of your solo
+Criticism
+As a student you willingly open yourself up to criticism and advice from your teachers But accept all criticism with at least a grain of salt Teachers are not infallible no matter how well they play or teach One teacher may tell you that your time is good another that you rush or drag the time Advice and criticism are free That doesnt make either necessarily right Your best critic is yourself Tape yourself often and listen with a critical ear
+  Its not a bad idea to ignore some forms of criticism entirely such as reviews Its always nice to get a good review but the standard of professional criticism in jazz is to put it charitably uneven Chick Coreas album Now He Sings Now He Sobs14 one of the best trio albums ever recorded was given the lowest possible rating by the leading jazz magazine A famous jazz critic said of John Coltrane He often blows his tenor saxophone as though he were determined to blow it apart but his desperate attacks almost invariably lead nowhere Another famous critic reviewing Miles Davis great album Round About Midnight15 referred to Coltrane and Red Garland as an outoftune tenor player and a cocktail piano player And another famous critic called Miles a trumpet player of the second rank If they said that about them what are they going to say about you Develop a thick skin
diff --git a/Books/Music/Mechanics/FretboardMappings.txt b/Books/Music/Mechanics/FretboardMappings.txt
deleted file mode 100644
index f9cfa10..0000000
--- a/Books/Music/Mechanics/FretboardMappings.txt
+++ /dev/null
@@ -1,140 +0,0 @@
-Low E string, fret 0 = E  
-Low E string, fret 1 = F  
-Low E string, fret 2 = F# / Gb  
-Low E string, fret 3 = G  
-Low E string, fret 4 = G# / Ab  
-Low E string, fret 5 = A  
-Low E string, fret 6 = A# / Bb  
-Low E string, fret 7 = B  
-Low E string, fret 8 = C  
-Low E string, fret 9 = C# / Db  
-Low E string, fret 10 = D  
-Low E string, fret 11 = D# / Eb  
-Low E string, fret 12 = E  
-Low E string, fret 13 = F  
-Low E string, fret 14 = F# / Gb  
-Low E string, fret 15 = G  
-Low E string, fret 16 = G# / Ab  
-Low E string, fret 17 = A  
-Low E string, fret 18 = A# / Bb  
-Low E string, fret 19 = B  
-Low E string, fret 20 = C  
-Low E string, fret 21 = C# / Db  
-Low E string, fret 22 = D  
-
-A string, fret 0 = A  
-A string, fret 1 = A# / Bb  
-A string, fret 2 = B  
-A string, fret 3 = C  
-A string, fret 4 = C# / Db  
-A string, fret 5 = D  
-A string, fret 6 = D# / Eb  
-A string, fret 7 = E  
-A string, fret 8 = F  
-A string, fret 9 = F# / Gb  
-A string, fret 10 = G  
-A string, fret 11 = G# / Ab  
-A string, fret 12 = A  
-A string, fret 13 = A# / Bb  
-A string, fret 14 = B  
-A string, fret 15 = C  
-A string, fret 16 = C# / Db  
-A string, fret 17 = D  
-A string, fret 18 = D# / Eb  
-A string, fret 19 = E  
-A string, fret 20 = F  
-A string, fret 21 = F# / Gb  
-A string, fret 22 = G  
-
-D string, fret 0 = D  
-D string, fret 1 = D# / Eb  
-D string, fret 2 = E  
-D string, fret 3 = F  
-D string, fret 4 = F# / Gb  
-D string, fret 5 = G  
-D string, fret 6 = G# / Ab  
-D string, fret 7 = A  
-D string, fret 8 = A# / Bb  
-D string, fret 9 = B  
-D string, fret 10 = C  
-D string, fret 11 = C# / Db  
-D string, fret 12 = D  
-D string, fret 13 = D# / Eb  
-D string, fret 14 = E  
-D string, fret 15 = F  
-D string, fret 16 = F# / Gb  
-D string, fret 17 = G  
-D string, fret 18 = G# / Ab  
-D string, fret 19 = A  
-D string, fret 20 = A# / Bb  
-D string, fret 21 = B  
-D string, fret 22 = C  
-G string, fret 0 = G  
-G string, fret 1 = G# / Ab  
-G string, fret 2 = A  
-G string, fret 3 = A# / Bb  
-G string, fret 4 = B  
-G string, fret 5 = C  
-G string, fret 6 = C# / Db  
-G string, fret 7 = D  
-G string, fret 8 = D# / Eb  
-G string, fret 9 = E  
-G string, fret 10 = F  
-G string, fret 11 = F# / Gb  
-G string, fret 12 = G  
-G string, fret 13 = G# / Ab  
-G string, fret 14 = A  
-G string, fret 15 = A# / Bb  
-G string, fret 16 = B  
-G string, fret 17 = C  
-G string, fret 18 = C# / Db  
-G string, fret 19 = D  
-G string, fret 20 = D# / Eb  
-G string, fret 21 = E  
-G string, fret 22 = F  
-B string, fret 0 = B  
-B string, fret 1 = C  
-B string, fret 2 = C# / Db  
-B string, fret 3 = D  
-B string, fret 4 = D# / Eb  
-B string, fret 5 = E  
-B string, fret 6 = F  
-B string, fret 7 = F# / Gb  
-B string, fret 8 = G  
-B string, fret 9 = G# / Ab  
-B string, fret 10 = A  
-B string, fret 11 = A# / Bb  
-B string, fret 12 = B  
-B string, fret 13 = C  
-B string, fret 14 = C# / Db  
-B string, fret 15 = D  
-B string, fret 16 = D# / Eb  
-B string, fret 17 = E  
-B string, fret 18 = F  
-B string, fret 19 = F# / Gb  
-B string, fret 20 = G  
-B string, fret 21 = G# / Ab  
-B string, fret 22 = A  
-High E string, fret 0 = E  
-High E string, fret 1 = F  
-High E string, fret 2 = F# / Gb  
-High E string, fret 3 = G  
-High E string, fret 4 = G# / Ab  
-High E string, fret 5 = A  
-High E string, fret 6 = A# / Bb  
-High E string, fret 7 = B  
-High E string, fret 8 = C  
-High E string, fret 9 = C# / Db  
-High E string, fret 10 = D  
-High E string, fret 11 = D# / Eb  
-High E string, fret 12 = E  
-High E string, fret 13 = F  
-High E string, fret 14 = F# / Gb  
-High E string, fret 15 = G  
-High E string, fret 16 = G# / Ab  
-High E string, fret 17 = A  
-High E string, fret 18 = A# / Bb  
-High E string, fret 19 = B  
-High E string, fret 20 = C  
-High E string, fret 21 = C# / Db  
-High E string, fret 22 = D  
diff --git a/Books/Music/Production/Jimmy Page Guitar World 1993.txt b/Books/Music/Production/Jimmy Page Guitar World 1993.txt
index ad62f86..3d7b40e 100644
--- a/Books/Music/Production/Jimmy Page Guitar World 1993.txt	
+++ b/Books/Music/Production/Jimmy Page Guitar World 1993.txt	
@@ -1,10 +1,3 @@
-TYPE: reference
-PRIORITY: medium
-TITLE: Jimmy Page interview with Guitar World May 1993
-DOMAIN: Technical Engineering
-CONCEPTS: Technical Insights
-SOURCE: Guitar World
-
 Okay Im ready says Jimmy Page clapping his hands together with a loud smack What are we going to talk about this time Zeppelin Again Oh gawd didnt we already do this  he whines rolling his black eyes skyward Im getting a severe case of deja vu Well all right Get out your surgeons masks and thumb screws Im ready for dissection In the past a little of Pageys sarcasm would have sent the most hardened music journalist scurrying over the hills and far away But it is clear from his mock outrage that the god of guitar thunder is not really throwing lightning bolts  he is merely teasing Despite his protest one gets the feeling that there is nothing in the world that he would rather discuss that his groundbreaking work with rocks most mythic outfit Led Zeppelin
 
 And there is much to talk about First and foremost are two new Led Zep box sets on Atlantic Records Led Zeppelin  Boxed Set 2 and Led Zeppelin  The Complete Studio Recordings In addition Led Zeppelin the fourCD cassette compilation that was first issued in the fall of 1990 is being made available once again Boxed Set 2 a twoCD retrospective contains the 31 tracks form the bands studio albums that were not included on the original fourdisc boxed set In addition the minibox includes Baby Come On Home a never before released song recorded during Zeps first studio sessions in October 1968
diff --git a/Books/Music/Soloing/BuildingSolosWithMotifs_1.txt b/Books/Music/Soloing/BuildingSolosWithMotifs_1.txt
index c2d1bb4..b8e4719 100644
--- a/Books/Music/Soloing/BuildingSolosWithMotifs_1.txt
+++ b/Books/Music/Soloing/BuildingSolosWithMotifs_1.txt
@@ -1,26 +1,12 @@
-TITLE: Building Solos with Motifs
-AUTHOR: Musicians Institute Hollywood
-DOMAIN: Guitar Improvisation
-CONCEPTS: motif development, soloing, phrase building, Dorian mode, 
-scale transposition, melodic development, improvisation
-CONTENT TYPE: Instructional
----
-
-Chunk 1: What is a Motif
-Metadata: concept=motif, type=definition, domain=guitarImprovisation
-
 A motif is generally defined as a short musical phrase that carries 
-significance in the overall composition � not just a throwaway idea 
+significance in the overall composition � not just a throwaway idea 
 like a lick. A motif can be a phrase that repeats at different points 
 like a musical hook, an important recurring theme apart from the main 
 melody, a phrase that is stated then developed in various ways, or a 
 melodic, rhythmic or harmonic cell. In practice a motif is usually a 
-phrase carried through a solo � a musical statement that is developed 
+phrase carried through a solo � a musical statement that is developed 
 to give improvisation a sense of continuity.
 
-Chunk 2: Motif Development Techniques
-Metadata: concept=motifDevelopment, type=technique, domain=guitarImprovisation
-
 There are numerous ways to develop a motif. You can adapt the phrase 
 slightly to fit the next chord change, embellish it with passing notes, 
 transpose it up or down the octave, play the same phrase over different 
@@ -28,37 +14,25 @@ chords, play different notes but keep the same rhythm, keep the same
 notes but alter the motif rhythmically, or keep the same notes but 
 displace the motif by beginning on different beats of the bar.
 
-Chunk 3: Motif vs Lick � The Story Approach
-Metadata: concept=motif, concept=soloDevelopment, type=philosophy, 
-domain=guitarImprovisation, artists=Clapton/Hendrix/Ford/Holdsworth
-
 The players who stand out are the ones who can take a simple idea and 
-develop it � beginning with a small seed of an idea and telling a story 
+develop it � beginning with a small seed of an idea and telling a story 
 with it. Listen closely to solos by Eric Clapton, Jimi Hendrix, Robben 
 Ford and Alan Holdsworth and you will notice they all start simple and 
 gradually build their solo as one idea leads to the next. A great lick 
-in a solo is never an isolated idea � it evolved from a collection of 
-related ideas. This is the great benefit of motival playing � it gives 
+in a solo is never an isolated idea � it evolved from a collection of 
+related ideas. This is the great benefit of motival playing � it gives 
 you space to develop an idea, turn it around from different angles, and 
 keep expressing it until the magic happens.
 
-Chunk 4: Motif Transposition Through D Dorian
-Metadata: concept=motifTransposition, scale=DDorian, chord=Dm7, 
-type=exercise, string=thirdString
-
 Playing over a Dm7 chord viewed as chord ii in C Major targets a D 
 Dorian sound. The D Dorian scale has the notes D E F G A B C. A motif 
-can be transposed diatonically through this scale on a single string � 
+can be transposed diatonically through this scale on a single string � 
 beginning on A at the 2nd fret of the third string, then moving to B 
 at the 4th fret, then C at the 5th fret, and so on. Each time the 
 motif moves to the next scale tone, it is adapted to stay within the 
 notes of the scale. The ear guides the transposition rather than 
 theoretical calculation.
 
-Chunk 5: Motif Across String Sets
-Metadata: concept=motifDevelopment, technique=stringTransfer, 
-type=exercise, scale=DDorian, chord=Dm7
-
 To get maximum mileage from a motif, relocate it to different 
 three-string groupings. Starting on strings four, three and two 
 ascending the D Dorian scale on the second string, then moving to the 
@@ -69,14 +43,11 @@ rhythmic syncopation and varied note lengths, creates enormous creative
 potential while remaining entirely within scale tones and sounding 
 musical throughout.
 
-Chunk 6: Essence of Motif Development Summary
-Metadata: concept=motifDevelopment, type=summary, domain=guitarImprovisation
-
 The essence of motif development is taking a seed of an idea and 
 transposing it through a scale to compose a longer line that makes 
 perfect musical sense with movement and direction. Improvise a simple 
 phrase, transpose it through the parent scale, transfer it to different 
 string sets, and the result covers the entire neck while remaining 
 coherent and musical. The creative potential is huge because the line 
-is super-musical � built entirely from scale tones shaped by a single 
+is super-musical � built entirely from scale tones shaped by a single 
 motivic idea.
\ No newline at end of file
diff --git a/Books/Music/Soloing/BuildingSolosWithMotifs_2.txt b/Books/Music/Soloing/BuildingSolosWithMotifs_2.txt
index 7e66033..c1b0432 100644
--- a/Books/Music/Soloing/BuildingSolosWithMotifs_2.txt
+++ b/Books/Music/Soloing/BuildingSolosWithMotifs_2.txt
@@ -1,28 +1,5 @@
-TITLE: Building Solos with Motifs - Example 2m
-AUTHOR: Musicians Institute Hollywood
-DOMAIN: Guitar Improvisation
-CONCEPTS: motif development, three-note phrases, rhythmic displacement, 
-legato runs, descending figures, string crossing, position playing
-CONTENT TYPE: Instructional Narrative
----
-
-Chunk 1: Example 2m Overview
-Metadata: concept=motifDevelopment, technique=rhythmicDisplacement, 
-technique=threeNotePhrase, type=overview, position=tenth
-
-Example 2m uses three-note phrases with rests to create rhythmic 
-displacement, gradually transitioning from high to low strings then 
-back up for a final fast legato run. The phrase is built around tenth 
-position and falls naturally under the fingers. The core technique is 
-allowing rests to displace the three-note motif, creating rhythmic 
-interest without changing the underlying phrase.
-
-Chunk 2: Descending Figure Across Strings
-Metadata: concept=motifDevelopment, technique=stringCrossing, 
-technique=descendingFigure, type=narrative, strings=1234, position=tenth
-
 The phrase begins on the first string descending from the 15th fret 
-through the 13th to the 12th fret � a clear three-note descending 
+through the 13th to the 12th fret � a clear three-note descending 
 figure. The same descending contour continues across strings: second 
 string from 15th through 12th to 10th fret, then third string from 
 12th through 10th to 9th fret. The consistent three-note descending 
@@ -30,12 +7,8 @@ structure moves fluidly across string sets while maintaining the same
 positional shape, creating a cascading effect that covers the upper 
 register in a single connected motion.
 
-Chunk 3: Contour Variation and Ascent
-Metadata: concept=motifVariation, technique=contourChange, 
-type=narrative, strings=34, position=tenth
-
-On the fourth string the phrase introduces a variation � 10th fret 
-ascending to 14th then descending to 12th � breaking the pure 
+On the fourth string the phrase introduces a variation � 10th fret 
+ascending to 14th then descending to 12th � breaking the pure 
 descending contour with an upward motion. This slight variation 
 maintains the three-note structure while introducing directional 
 contrast. The third string continues this idea: 10th fret up to 14th 
@@ -43,10 +16,6 @@ down to 12th, then 9th fret up to 12th resolving to 10th. The
 ascending-then-descending motion creates a wave-like contour that 
 provides relief from the earlier sustained descent.
 
-Chunk 4: Cross-String Resolution
-Metadata: concept=motifDevelopment, technique=stringCrossing, 
-technique=resolution, type=narrative, strings=234, position=seventh
-
 The phrase shifts downward in register. On the second string the 7th 
 fret moves to 10th then 8th, while the third string carries a 
 complementary figure from 8th up to 12th down to 10th. The fourth 
@@ -55,27 +24,19 @@ fluid connected run across three adjacent strings. The simultaneous
 movement across strings creates a layered texture where multiple voices 
 descend together toward resolution.
 
-Chunk 5: Motif Restatement and Development
-Metadata: concept=motifRestatement, technique=repetition, 
-type=narrative, strings=23, position=ninth
-
 The motif is restated at a new position. On the second string the 
-9th-12th-10th figure is stated then immediately repeated � insistence 
+9th-12th-10th figure is stated then immediately repeated � insistence 
 through exact repetition. The third string introduces a four-note 
 expansion: 10th-13th-12th-10th, adding one note to the original 
 three-note cell. This expansion followed by compression back to 
-two-note figures creates a breathing quality � the motif grows then 
+two-note figures creates a breathing quality � the motif grows then 
 contracts, maintaining interest through variation of density rather 
 than pitch change.
 
-Chunk 6: Final Resolution
-Metadata: concept=motifResolution, technique=repetition, 
-type=narrative, string=secondString, position=ninth
-
 The final segment returns to the second string, reinforcing the 12th 
 fret as pitch center before resolving to the 9th fret. The repetition 
 of the 12th fret before the final descent creates a sense of 
-insistence before release � the phrase circles its tonal center one 
+insistence before release � the phrase circles its tonal center one 
 last time before landing. This mirrors the overall arc of the solo 
 excerpt: descent, variation, restatement, and final resolution to a 
 lower resting point.
\ No newline at end of file
diff --git a/Books/Music/SongWriting/Writing Better Lyrics - Pattison, Pat.txt b/Books/Music/SongWriting/Writing Better Lyrics - Pattison, Pat.txt
index 2353de0..dff85c9 100644
--- a/Books/Music/SongWriting/Writing Better Lyrics - Pattison, Pat.txt	
+++ b/Books/Music/SongWriting/Writing Better Lyrics - Pattison, Pat.txt	
@@ -1,308 +1,3 @@
-Table of Contents
-
-
-	Cover Page
-
-	Title Page
-
-	Copyright
-
-	TABLE OF CONTENTS
-
-	Foreword
-
-	Introduction
-
-	CHAPTER 1: Object Writing: The Art of the Diver
-
-	CHAPTER 2: Rusty's Collar: A Lesson in Showing and Telling
-
-	CHAPTER 3: Making Metaphors
-
-	CHAPTER 4: Learning to Say No: Building Worksheets
-
-	CHAPTER 5: Clichés: The Sleeping Puppy (A Case Study)
-
-	CHAPTER 6: Productive Repetition
-
-	CHAPTER 7: Verse Development and Power Positions
-
-	CHAPTER 8: Travelogues: Verse Continuity
-
-	CHAPTER 9: Stripping Your Repetition for Repainting
-
-	CHAPTER 10: Perspectives
-
-	CHAPTER 11: Point of View: Second Person and the Hangman
-
-	CHAPTER 12: Point of View: Second Person as Narrative
-
-	CHAPTER 13: Dialogue and Point of View
-
-	CHAPTER 14: Meter: Something in Common
-
-	CHAPTER 15: Spotlighting With Common Meter
-
-	CHAPTER 16: Meter: Two by Two
-
-	CHAPTER 17: Managing Couplets
-
-	CHAPTER 18: Prosody: Structure as Film Score
-
-	CHAPTER 19: Understanding Motion
-
-	CHAPTER 20: Form Follows Function: Building the Perfect Beast
-
-	CHAPTER 21: The Great Balancing Act: Courting Danger on the High Wire
-
-	CHAPTER 22: Song Forms: (Im) Potent Packages
-
-	CHAPTER 23: Song Forms: (Im) Potent Packages II
-
-	CHAPTER 24: Process
-
-	Appendix: Co-Writing: The “No”-Free Zone
-
-	Permissions
-
-
-
-
-
-WRITING
-
-BETTER
-
-LYRICS
-
-
-	 SECOND EDITION
-
-	THE ESSENTIAL GUIDE TO * * * * * *
-
-POWERFUL SONGWRITING
-
-
-
-
-
-	 PAT PATTISON
-
-	 FOREWORD BY GILLIAN WELCH
-
-
-
-
-
-Writing Better Lyrics. © 2009 by Pat Pattison. Manufactured in the United States of America. All rights reserved. No other part of this book may be reproduced in any form or by any electronic or mechanical means, including information storage and retrieval systems, without permission in writing from the publisher, except by a reviewer, who may quote brief passages in a review. Published by Writer's Digest Books, an imprint of F+W Media, Inc., 4700 East Galbraith Road, Cincinnati, Ohio 45236. (800) 289-0963. Second edition.
-
-
-	For more resources for writers, visit www.writersdigest.com/books.
-
-	To receive a free weekly e-mail newsletter delivering tips and updates about writing and about Writer's Digest products, register directly at http://newsletters.fwpublications.com.
-
-	13 12 11 10 09 5 4 3 2 1
-
-	Distributed in Canada by Fraser Direct, 100 Armstrong Avenue, George-town, Ontario, Canada L7G 5S4, Tel: (905) 877-4411. Distributed in the U.K. and Europe by David & Charles, Brunel House, Newton Abbot, Devon, TQ12 4PU, England, Tel: (+44) 1626-323200, Fax: (+44) 1626-323319, e-mail: postmaster@davidandcharles.co.uk. Distributed in Australia by Capricorn Link, P.O. Box 704, Windsor, NSW 2756 Australia, Tel: (02) 4577-3555.
-
-	Library of Congress Cataloging-in-Publication Data
-
-	Pattison, Pat.
-
-Writing better lyrics / by Pat Pattison. — 2nd ed.
-
-p. cm.
-
-Includes bibliographical references and index.
-
-ISBN 978-1-58297-577-1 (pbk.: alk. paper)
-
-eISBN 13: 978-1-5996-3365-7
-
-1. Lyric writing (Popular music) I. Title.
-
-MT67.P383 2009
-
-782.42164′0268 — dc22
-
-2009019233
-
-
-
-
-
-	Edited by Scott Francis
-
-Designed by Claudean Wheeler
-
-Production coordinated by Mark Griffin
-
-
-
-
-
-	ABOUT THE AUTHOR
-
-	Pat Pattison is a professor at Berklee College of Music, where he teaches lyric writing and poetry. His books include The Essential Guide to Lyric Form and Structure, and The Essential Guide to Rhyming. In addition, Pat has developed three online lyric writing courses for Berklee's online school, and has written articles for a variety of industry publications. His internationally successful students include multiple Grammy winners John Mayer and Gillian Welch. Pat's website is: http://patpattison.com.
-
-
-
-	THANKS
-
-	To my students, especially those who have allowed me to include their work in this book. Their creativity and questions always challenge me, requiring me to look further to make sure I get it right.
-
-	To my fellow faculty at Berklee College of Music for trying out these ideas and making them work; for their support, suggestions, and insights.
-
-	To the writers and publishers who allowed me to include such excellent material, especially Gillian Welch, Beth Nielsen Chapman, and Janis Ian for their interest and encouragement.
-
-	To Mike Reid for his enthusiasm, and for diving into Object Writing with such passion.
-
-	To John Mayer, Gillian Welch, Melissa Ferrick, Greg Becker, Kami Lyle, Dave Rawlings, Andrea Stolpe, Scarlet Keys, Ben Romans, Jonelle Vette, Rob Giles, Emily Shackleton, Clare McLeod, and a host of other Berklee transplants to Nashville, New York, Los Angeles, and internationally for showing how well all this stuff can work.
-
-	To all the folks that keep showing up for my seminars, allowing me not only to travel the world, but to enlarge my vision in new and interesting ways.
-
-	To my son Jason and my daughter Holly Ann. To Mia and Olivia.
-
-	I especially want to thank Susan Benjamin for her encouragement, for editing the original articles, and for her comments, focus, and inspiration; in short, for making this book possible.
-
-
-
-
-
-TABLE OF CONTENTS
-
-
-	Foreword by Gillian Welch
-
-
-
-	Introduction
-
-
-
-	 CHAPTER 1: Object Writing: The Art of the Diver
-
-
-
-	 CHAPTER 2: Rusty's Collar: A Lesson in Showing and Telling
-
-
-
-	 CHAPTER 3: Making Metaphors
-
-
-
-	 CHAPTER 4: Learning to Say No: Building Worksheets
-
-
-
-	 CHAPTER 5: Clichés: The Sleeping Puppy (A Case Study)
-
-
-
-	 CHAPTER 6: Productive Repetition
-
-
-
-	 CHAPTER 7: Verse Development and Power Positions
-
-
-
-	 CHAPTER 8: Travelogues: Verse Continuity
-
-
-
-	 CHAPTER 9: Stripping Your Repetition for Repainting
-
-
-
-	 CHAPTER 10: Perspectives
-
-
-
-	 CHAPTER 11: Point of View: Second Person and the Hangman
-
-
-
-	 CHAPTER 12: Point of View: Second Person as Narrative
-
-
-
-	 CHAPTER 13: Dialogue and Point of View
-
-
-
-	 CHAPTER 14: Meter: Something in Common
-
-
-
-	 CHAPTER 15: Spotlighting With Common Meter
-
-
-
-	 CHAPTER 16: Meter: Two by Two
-
-
-
-	 CHAPTER 17: Managing Couplets
-
-
-
-	 CHAPTER 18: Prosody: Structure as Film Score
-
-
-
-	 CHAPTER 19: Understanding Motion
-
-
-
-	 CHAPTER 20: Form Follows Function: Building the Perfect Beast
-
-
-
-	 CHAPTER 21: The Great Balancing Act: Courting Danger on the High Wire
-
-
-
-	 CHAPTER 22: Song Forms: (Im) Potent Packages
-
-
-
-	 CHAPTER 23: Song Forms: (Im) Potent Packages II
-
-
-
-	 CHAPTER 24: Process
-
-
-
-	Appendix: Co-Writing: The “No”-Free Zone
-
-
-
-	Permissions
-
-
-
-
-
-	FOREWORD
-
-	I will be brief and not delay with a long introduction, for there is too much good instruction ahead, and there are too many good songs to be written. I know of no other book like this one. One need only follow these tenets and discipline oneself to the task and the songs will come. It is a priceless map through the minefields of cliché, boredom, and laziness that often destroy even the best efforts. Sometimes, I think that Writing Better Lyrics is an unfair advantage, a secret weapon of sorts, and yet it is here for any and all who aspire to write and write better. I count myself lucky and proud to have studied with Mr. Pattison. I would not be the writer I am today without his teaching and his unique and comprehensive understanding of language, rhyme, rhythm, and structure. To this day, when I struggle with a lyric and find myself falling short, I am usually ignoring some very sound advice contained in these pages. And I read it again.
-
-
-
-
-
-	Gillian Welch
-
-	Nashville, Tennessee
-
-	April 2009
-
-
-
-
 
 INTRODUCTION
 
diff --git a/Books/Music/Technique/Legato.txt b/Books/Music/Technique/Legato.txt
index 1b4d831..bbbd15d 100644
--- a/Books/Music/Technique/Legato.txt
+++ b/Books/Music/Technique/Legato.txt
@@ -1,19 +1,5 @@
-TITLE: Mastering Legato Technique
-ARTIST: Allen Hinds
-GENRE: Fusion, Blues Rock
-CONCEPTS: legato technique, hammer-on, pull-off, fretting hand strength,
-vibrato, saxophone phrasing, dynamic range, Allan Holdsworth influence,
-Scott Henderson vibrato, light picking attack, fluid lines, wide intervals
-SOURCE: Fusion Blues Guitar Soloing - Allen Hinds
-TOPIC: Legato technique development, philosophy, and exercises
----
-
-Chunk 1: Personal Background and Legato Origins
-Metadata: artist=AllenHinds, type=philosophy, concept=legatoTechnique,
-concept=personalStyle, influence=AllanHoldsworth, concept=technicalOrigins
-
 Allen Hinds developed his legato approach not through deliberate design
-but through necessity � his unconventional pick hold made alternate
+but through necessity � his unconventional pick hold made alternate
 picking difficult, and legato became his compensating technique. Despite
 various teachers attempting to correct his picking approach over the
 years, he accepted that his unconventional method worked for him,
@@ -27,94 +13,69 @@ harmonic vocabulary was achieved largely through legato technique, and
 recognizing this, Hinds focused on developing the same approach and
 applying it to his own musical ideas.
 
-Chunk 2: The Legato Sound � Light Pick Attack and Strong Fretting Hand
-Metadata: artist=AllenHinds, type=technique, concept=legatoTechnique,
-concept=pickingAttack, concept=frettingHandStrength, concept=smoothSound,
-influence=AllanHoldsworth
-
 The legato sound Hinds settled on combines two complementary elements:
-a light picking hand attack � almost brushing the strings � and a strong
+a light picking hand attack � almost brushing the strings � and a strong
 fretting hand that drives the notes forward through hammer-ons and
 pull-offs. These two elements work together to produce a smooth flowing
 legato sound where the picking hand provides initial articulation and
 the fretting hand sustains the momentum of the phrase. The technique
 involves picking one note in a sequence and executing the rest using
 hammer-ons when ascending and pull-offs when descending. The fundamental
-challenge is getting the notes to sound even throughout � which requires
+challenge is getting the notes to sound even throughout � which requires
 deliberate fretting hand strength development rather than relying on
 the picking hand to compensate.
 
-Chunk 3: Why Legato � Dynamic Range and Saxophone Phrasing
-Metadata: artist=AllenHinds, type=philosophy, concept=dynamicRange,
-concept=saxophonePhrasing, concept=lightAndShade, concept=breathing,
-concept=selectedPicking, influence=saxophone
-
 The philosophical case for legato over alternate picking centers on
 dynamic range and breathing. A flowing legato run has far more dynamic
-range than a steadily alternate-picked run � the phrase breathes rather
+range than a steadily alternate-picked run � the phrase breathes rather
 than hammers forward with mechanical evenness. Choosing to pick only
 selected notes within a legato passage makes those specific notes pop
 out, bringing light and shade to the playing and achieving a more
-saxophone-like effect. The saxophone analogy is important � saxophone
+saxophone-like effect. The saxophone analogy is important � saxophone
 players cannot articulate every note with equal attack, and this
 limitation produces a naturally varied, breathing phrase quality that
 legato guitar can approximate. The result is phrasing that feels more
 like a continuous vocal or wind instrument line than a sequence of
 individually plucked string attacks.
 
-Chunk 4: Scott Henderson Vibrato � Horizontal Squeeze Technique
-Metadata: artist=AllenHinds, type=technique, concept=vibrato,
-concept=horizontalVibrato, influence=ScottHenderson, influence=violinVibrato,
-concept=signatureSound, concept=fretboardMotion
-
 A key component of Hinds' signature sound is a vibrato technique learned
-from Scott Henderson � squeezing notes and moving them backward and
+from Scott Henderson � squeezing notes and moving them backward and
 forward horizontally on the fretboard, pushing and pulling them from
 fret to fret in a motion similar to violin vibrato technique. Unlike
 conventional guitar vibrato which bends the string upward perpendicular
 to the frets, this horizontal squeeze technique moves the pitch in both
 directions with a subtler, more continuous oscillation. Combined with
 the flowing legato approach, this vibrato gives Hinds' playing an
-immediately identifiable character � listeners report being able to
+immediately identifiable character � listeners report being able to
 identify his playing after only a couple of notes. The combination of
 smooth legato lines and horizontal squeeze vibrato produces a sound
 that sits between guitar and string instrument in character.
 
-Chunk 5: Fretting Hand Strengthening � Chromatic Exercise Foundation
-Metadata: artist=AllenHinds, type=exercise, concept=frettingHandStrength,
-concept=chromaticPattern, concept=hammerOn, concept=evenNotes,
-technique=oneFingerPerFret, strings=16, frets=5-8
-
 The foundation exercise for developing legato technique adapts the
 standard one-finger-per-fret chromatic pattern used at Berklee for
 alternate picking practice, repurposing it for fretting hand strength
 development. The pattern ascends from A on the sixth string at the 5th
 fret up to C on the first string at the 8th fret, using one finger per
 fret across all six strings. Only the first note on each string is
-lightly picked � all subsequent notes on that string are executed as
+lightly picked � all subsequent notes on that string are executed as
 hammer-ons, with the fretting hand driving the sound forward without
 picking hand assistance. The exercise should be practiced slowly enough
 that each note sounds as fully and evenly as possible, developing the
 fretting hand strength and control needed for smooth legato lines.
 The chromatic pattern serves no harmonic purpose but provides a neutral
-framework for focusing entirely on technique � evenness of tone, clarity
+framework for focusing entirely on technique � evenness of tone, clarity
 of hammer-ons, and consistency of finger pressure across all four frets
 and six strings.
 
-Chunk 6: Legato Philosophy Summary
-Metadata: artist=AllenHinds, type=summary, concept=legatoTechnique,
-concept=personalStyle, concept=dynamicRange, concept=saxophonePhrasing,
-concept=vibrato, influence=AllanHoldsworth/ScottHenderson
-
 Allen Hinds' legato approach combines a light brushing pick attack with
 a strong fretting hand to produce smooth flowing lines influenced by
 Allan Holdsworth's fluid harmonic vocabulary. Legato allows phrases to
-breathe and creates greater dynamic range than alternate picking �
+breathe and creates greater dynamic range than alternate picking �
 selecting which notes to pick makes those notes pop out, achieving a
 saxophone-like light and shade effect. The technique is complemented by
 a horizontal squeeze vibrato learned from Scott Henderson that moves
 notes backward and forward along the fretboard in a violin-like
 oscillation. Together these elements produce an immediately identifiable
 signature sound built from technical compensation that became artistic
-strength � a reminder that personal limitations can become personal
+strength � a reminder that personal limitations can become personal
 voice when embraced rather than corrected.
\ No newline at end of file
diff --git a/Books/Music/Technique/StringBending.txt b/Books/Music/Technique/StringBending.txt
index 51e6f0f..95ee4de 100644
--- a/Books/Music/Technique/StringBending.txt
+++ b/Books/Music/Technique/StringBending.txt
@@ -1,33 +1,14 @@
-TITLE: Mastering String Bending Technique
-GENRE: Guitar Technique, Blues, Rock
-CONCEPTS: string bending, intonation, fretting hand strength, 
-whammy, semitone bend, tone bend, vibrato, string gauge, 
-A blues scale, muting, wrist technique, finger support
-SOURCE: Guitar World
-TOPIC: String bending fundamentals, technique, intonation, and musical application
----
-
-Chunk 1: String Bending Overview and Musical Significance
-Metadata: type=overview, concept=stringBending, concept=vocalQuality,
-concept=emotiveSound, artists=BBKing/JoeSatriani/EricClapton/VanHalen,
-songs=SweetChildOMine/ComfortablyNumb
-
 String bending is an essential part of a guitarist's toolkit whose vocal
-qualities bring any solo to life across every genre � from B.B. King to
+qualities bring any solo to life across every genre � from B.B. King to
 Joe Satriani, Eric Clapton to Van Halen. The technique's emotional power
 is most clearly understood by imagining iconic solos like Sweet Child O'
-Mine or Comfortably Numb with the bends removed � what remains is a
+Mine or Comfortably Numb with the bends removed � what remains is a
 noticeably less impactful sound. The bend is not decoration but the
 emotional core of the phrase, transforming a fretted pitch into a
 continuously moving, singing voice that no other guitar technique
 replicates. Developing good bending technique means developing the
 guitar's most emotive voice.
 
-Chunk 2: Fretting Hand Position and Physical Mechanics
-Metadata: type=technique, concept=frettingHandPosition,
-concept=thumbPlacement, concept=wristTwist, concept=fingerSupport,
-concept=bendingFinger, technique=thirdFinger/secondFinger/firstFinger
-
 The physical foundation of string bending begins with the fretting hand
 thumb hooked over the top of the neck for support and leverage, with
 one or two fingers placed behind the primary bending finger for
@@ -36,18 +17,14 @@ common bending finger, supported by the first and second fingers behind
 it. The second finger can also bend with the first finger supporting
 behind it. First finger bends are possible but less common and usually
 dependent on the position required after the bend. The bend itself comes
-from an upward twist of the wrist rather than finger strength alone �
+from an upward twist of the wrist rather than finger strength alone �
 the curve and shape of the fingers should not change significantly from
 the pre-bent position because the wrist does the work. The first finger
 knuckle pressed against the neck acts as a fulcrum for the wrist twist.
 Fourth finger bends are the most difficult due to its natural weakness
 and require as many spare fingers as possible sharing the load.
 
-Chunk 3: Bending Intonation � The Musical Foundation
-Metadata: type=technique, concept=bendingIntonation, concept=pitchAccuracy,
-concept=musicalResult, concept=targetNote, concept=earTraining
-
-The most important musical aspect of string bending is intonation �
+The most important musical aspect of string bending is intonation �
 bending to a note that is in tune with the music rather than landing
 flat or sharp through too little or too much energy applied to the bend.
 A few poorly intonated sustained bends in a solo can make the guitar's
@@ -58,72 +35,53 @@ sound, then descend to a lower note and bend up to match the remembered
 pitch. Switching repeatedly between the standard fretted note and the
 bent note trains the ear to hear the target and the hands to apply
 consistent pressure to reach it. Strength and stamina rather than brute
-force are the key components � controlled bending requires repeatable
+force are the key components � controlled bending requires repeatable
 precision rather than maximum effort.
 
-Chunk 4: String Gauge and Bending Feel
-Metadata: type=technique, concept=stringGauge, concept=bendingFeel,
-concept=personalChoice, artists=BillyGibbons/BrianMay/JoshSmith,
-gauges=007/008/009/010/013
-
 String gauge directly affects bending ability and feel. Lighter gauges
 such as 0.09 to 0.42 sets allow for smooth bending to desired notes and
 are recommended when beginning to develop the technique, though they can
 cause overbending due to their slacker feel. Heavier gauges such as 0.10
 sets provide more resistance and help develop controlled bending strength.
-There is no universally correct choice � Billy Gibbons prefers 0.07
+There is no universally correct choice � Billy Gibbons prefers 0.07
 gauge strings for effortless playing, Brian May favors 0.08 gauge, while
 Josh Smith opts for a hefty 0.13 gauge for his blues riffs and solos.
 The right gauge is the one that feels best and supports the playing style
 being developed.
 
-Chunk 5: Semitone and Tone Bends � Technical Execution
-Metadata: type=technique, concept=semittoneBend, concept=toneBend,
-scale=AbluesScale, strings=123, technique=palmMuting, concept=stringNoise,
-notes=D/Eb/E
-
 String bending on guitar is primarily practiced on the first, second, and
 third strings as these are better suited for soloing and easier to bend
-than wound lower strings. Bends are generally pitched a semitone � one
-fret's worth � or a tone � two frets' worth � above the fretted note.
+than wound lower strings. Bends are generally pitched a semitone � one
+fret's worth � or a tone � two frets' worth � above the fretted note.
 Using the A blues scale of A, C, D, Eb, E, and G as the harmonic
 framework, a semitone bend on the third string moves D up to Eb, while
 a tone bend moves D up to E. To reduce unwanted string noise from lower
 strings during bending, the picking hand palm should rest on the strings
-below the one being bent � lower strings are louder and can feed back
+below the one being bent � lower strings are louder and can feed back
 sooner than higher strings. Repeating semitone and tone bends four times
 in a row is an effective practice method for developing both ear training
 and consistent pitch accuracy on repeated bends.
 
-Chunk 6: Bending Across Strings � Compensating Pressure
-Metadata: type=technique, concept=bendingPressure, concept=stringCompensation,
-strings=123, concept=wristForce, concept=controlledBending
-
 String bends feel different on each string because of the varying pressure
 required to reach the target note. Bending on the first string requires
 more force in the upward wrist twist than the second string, which in
 turn requires slightly more than the third string. This constant
 compensation of force across strings is a fundamental part of what
-controlled bending means in practice � the hands must constantly
+controlled bending means in practice � the hands must constantly
 recalibrate the amount of wrist pressure applied depending on which
 string is being bent. New players should avoid excessive repetition when
 working on first and second string bends as wrist strain and finger
-injuries are possible � brief focused repetitions followed by work on
+injuries are possible � brief focused repetitions followed by work on
 a different technique is a safer and more productive approach.
 
-Chunk 7: Adding Vibrato to Sustained Bends
-Metadata: type=technique, concept=vibrato, concept=sustainedBend,
-concept=emotionalDepth, concept=targetNote, concept=pitchControl,
-concept=bendVibrato, artist=JeffBeck
-
 The final expressive layer added to sustained bends is vibrato, which
 significantly increases the emotional depth of the technique when
 executed correctly. After bending up to the target note and sustaining
 it, vibrato is applied by dropping the bend down slightly and then
-bending back up to the target note � this motion is repeated for as long
+bending back up to the target note � this motion is repeated for as long
 as desired, with both the width of the pitch oscillation and the
 repetition speed worth exploring as expressive variables. The critical
-discipline is keeping the vibrato centered on the target note � the
+discipline is keeping the vibrato centered on the target note � the
 pitch must consistently return to the correct bent position rather than
 wandering due to inconsistent over or underbending. A Jeff Beck inspired
 musical context brings all of these elements together: simple rhythms,
@@ -132,17 +90,12 @@ peaks to add further emotion. When bending intonation is solid and
 vibrato is centered on the target pitch, the combined effect is the
 guitar's most vocal and emotive sound.
 
-Chunk 8: String Bending Summary
-Metadata: type=summary, concept=stringBending, concept=intonation,
-concept=vocalQuality, concept=wristTechnique, concept=fingerSupport,
-concept=vibrato, concept=stringGauge, artists=BBKing/Clapton/Beck/VanHalen
-
 String bending is the guitar's most vocal technique, used across all
 genres by players from B.B. King to Jeff Beck to create emotive singing
 phrases that fretted notes alone cannot achieve. Effective bending
 requires thumb-over-neck support, multiple fingers behind the bending
 finger, and a wrist twist that drives the bend rather than finger
-strength alone. The most important musical skill is intonation �
+strength alone. The most important musical skill is intonation �
 consistently reaching the target pitch through ear training and
 repeatable hand pressure. String gauge affects bending feel with no
 universally correct choice, and bending pressure must be constantly
@@ -150,6 +103,6 @@ compensated across strings. Vibrato applied on top of sustained bends
 by dropping and returning to the target pitch adds the final layer of
 emotional expression. The combination of controlled intonation, physical
 technique, and expressive vibrato transforms string bending from a
-mechanical gesture into a continuous vocal utterance � the defining
+mechanical gesture into a continuous vocal utterance � the defining
 quality of the most memorable guitar solos in rock history.
 
diff --git a/Books/Music/Theory/7thChordMap.txt b/Books/Music/Theory/7thChordMap.txt
index 0b23b3e..7cc298b 100644
--- a/Books/Music/Theory/7thChordMap.txt
+++ b/Books/Music/Theory/7thChordMap.txt
@@ -1,7 +1,3 @@
-TYPE: reference
-PRIORITY: medium
-
-INDEXED CHUNK 01 — C MAJOR
 C Major Scale 7th Chord Map
 Scale Degrees & Chord Types (C Major)
 I — Cmaj7
@@ -24,10 +20,6 @@ vii Bm7b5 Am form 6th string 2x221x
 
 =========================
 
-TYPE: reference
-PRIORITY: medium
-
-INDEXED CHUNK 02 — D MAJOR
 D Major Scale 7th Chord Map
 Degrees
 I — Dmaj7
@@ -48,12 +40,6 @@ V A7 A form 5th x02020
 vi Bm7 Am form 5th x20202
 vii C#o7 Am form 6th 4x443x
 
-=========================
-
-TYPE: reference
-PRIORITY: medium
-
-INDEXED CHUNK 03 — E MAJOR
 E Major Scale 7th Chord Map
 Degrees
 I — Emaj7
@@ -74,12 +60,6 @@ V B7 A form 5th x21202
 vi C#m7 Am form 5th x42424
 vii D#o7 Am form 6th 6x665x
 
-=========================
-
-TYPE: reference
-PRIORITY: medium
-
-INDEXED CHUNK 04 — F MAJOR
 F Major Scale 7th Chord Map
 Degrees
 I — Fmaj7
@@ -100,12 +80,6 @@ V C7 C form 5th x32310
 vi Dm7 D form 4th xx0211
 vii Em7b5 Am form 6th 0x0000
 
-=========================
-
-TYPE: reference
-PRIORITY: medium
-
-INDEXED CHUNK 05 — A MAJOR
 A Major Scale 7th Chord Map
 Degrees
 I — Amaj7
@@ -126,12 +100,6 @@ V E7 E form 6th 020100
 vi F#m7 E form 6th 242222
 vii G#o7 Am form 6th 4x443x
 
-=========================
-
-TYPE: reference
-PRIORITY: medium
-
-INDEXED CHUNK 06 — Bb MAJOR
 Bb Major Scale 7th Chord Map
 Degrees
 I — Bbmaj7
@@ -152,12 +120,6 @@ V F7 C form 5th x32311
 vi Gm7 E form 6th 353333
 vii Ao7 Am form 5th x02010
 
-=========================
-
-TYPE: reference
-PRIORITY: medium
-
-INDEXED CHUNK 07 — Eb MAJOR
 Eb Major Scale 7th Chord Map
 Degrees
 I — Ebmaj7
@@ -178,12 +140,6 @@ V Bb7 A form 5th x13131
 vi Cm7 Am form 5th x31313
 vii Do7 Am form 6th x5353x
 
-=========================
-
-TYPE: reference
-PRIORITY: medium
-
-INDEXED CHUNK 08 — F# / Gb MAJOR
 F# Major Scale 7th Chord Map
 Degrees
 I — F#maj7
@@ -204,12 +160,6 @@ V C#7 A form 5th x46464
 vi D#m7 Am form 5th x64646
 vii E#o7 Am form 6th x1199x
 
-=========================
-
-TYPE: reference
-PRIORITY: medium
-
-INDEXED CHUNK 09 — B MAJOR
 B Major Scale 7th Chord Map
 Degrees
 I — Bmaj7
@@ -230,12 +180,6 @@ V F#7 E form 6th 242322
 vi G#m7 E form 6th 464444
 vii A#o7 Am form 6th x1199x
 
-=========================
-
-TYPE: reference
-PRIORITY: medium
-
-INDEXED CHUNK 10 — Ab / G# MAJOR
 Ab Major Scale 7th Chord Map
 Degrees
 I — Abmaj7
diff --git a/Books/Music/Theory/Augmented Chords.txt b/Books/Music/Theory/Augmented Chords.txt
deleted file mode 100644
index 05dd434..0000000
--- a/Books/Music/Theory/Augmented Chords.txt	
+++ /dev/null
@@ -1,88 +0,0 @@
-Augmented Triads
-
-An augmented triad is a 3-note chord built by stacking two major 3rds. The term �augmented� comes into play because the interval from the root of the chord to the 5th is an augmented 5th. Another helpful approach for constructing an augmented triad is to begin with a major triad and then raise the 5th by a � step. (Think: Root, 3rd, #5).
-
-Major 7(#5) Chords
-
-Major 7(#5) Chords combine an augmented triad with a major 7th (Think: Root, 3rd, #5, 7). Building this chord on the note C, we get C�E�G#�B. Common chord symbols for this chord include Cmaj7#5, C#+, and Cmaj7(#5). You may even see this chord written as a slash chord, E/C.
-
-Dominant 7(#5) Chords
-
-Dominant 7(#5) Chords combine an augmented triad with a minor 7th (Think: Root, 3rd, #5, b7). Building this chord on the note C, we get C�E�G#�Bb. Common chord symbols for this chord are C7#5 and C7(#5). This chord is often associated with the Whole Tone Scale, particularly when the #9 is included, as in C9(#5).
-
-Where do augmented chords come from?
-
-Augmented chords are unique because they do not occur naturally within the major scale. Rather, the augmented triad is a diatonic chord in both the Harmonic Minor Scale and the ascending Melodic Minor Scale. In both scales, the augmented triad occurs as the 3-chord (III+) due to the raised 7th scale degree.
-
-Augmented Triads and Harmonic Function
-
-Although the augmented triad appears in minor scales, it rarely functions as a III+ chord in minor keys. More often, it appears as I+, III+, or V+ in major keys. The augmented 5th interval typically acts as a passing tone in chromatic voice leading over a major triad.
-
-Augmented Triads in Scales
-
-The Whole Tone Scale produces augmented triads and dominant 7(#5) chords on each scale degree.
-
-Number of Unique Augmented Triads
-
-There are only 4 unique augmented triads because the chord is symmetrical. All chord tones are equidistant, dividing the octave into three major 3rds. For example, C+ = C�E�G#, E+ = E�G#�C, and G#+ = G#�C�E.
-
-How to Spell Augmented Triads
-
-The spelling of augmented triads is important for clarity:
-
-B+ is B�D#�F## (double sharp) instead of B�D#�G to maintain proper 3rd/5th intervals.
-Root determines the chord name, even if the sound is enharmonically identical.
-
-Triad Pairs (Intermediate)
-
-Jazz musicians improvise using triad pairs: two complementary triads from a common scale, often adjacent, providing 6 unique notes.
-
-Example using C Whole Tone Scale (C�D�E�F#�G#�A#):
-
-C+ = C�E�G#
-D+ = D�F#�A#
-
-Practice blocking these triads through inversions, ascending and descending.
-
-Augmented Triads as Upper Structure Triads (UST)
-
-C+ can function as a UST over several chords:
-
-V7(#5)
-V7alt
-Minor-Major 7th chords
-
-Example: C+ over A7b13 ? Right hand: C�E�G# (UST), Left hand: A�E (root+5).
-
-Source Scales for Dominant 7(#13) Sound
-
-Scales that produce a Dominant 7(#13) sound:
-
-Mixolydian b13: 1�2�3�4�5�b6�b7
-Phrygian Dominant: 1�b2�3�4�5�b6�b7
-Altered: 1�b2�b3�b4�b5�b6�b7
-Whole Tone: 1�2�3�#4�#5�#6
-
-Example of C+ upper structure in each scale built on A7 root:
-
-Ab Mixolydian b13: Ab�Bb�C�Db�Eb�F�Gb
-Ab Phrygian Dominant: Ab�Bb�C�Db�Eb�F�Gb
-G# Altered: G#�A�B�C�D�E�F
-A Whole Tone: A�B�C�D�E�F
-
-C+ UST Over Other V7(#13) Chords
-
-C+ works as a UST for C7(#13), E7(#13), and Ab7(#13). Roots of these chords outline an augmented triad: C�E�G#.
-
-Augmented USTs for Lydian Dominants
-
-Lydian Dominant Scale: 1�2�3�#4�5�6�b7
-Example: D Lydian Dominant = D�E�F#�G#�A�B�C
-C+ appears naturally in this scale and can be used as a UST.
-
-Augmented USTs for Minor-Major 7th Chords
-
-Am(maj7) using C+ UST:
-
-Right hand: C�E�G#
-Left hand: A�E (omit the G# in LH if already in RH)
\ No newline at end of file
diff --git a/Books/Music/Theory/Basic Music Thoery For Beginners.txt b/Books/Music/Theory/Basic Music Thoery For Beginners.txt
deleted file mode 100644
index d20c95f..0000000
--- a/Books/Music/Theory/Basic Music Thoery For Beginners.txt	
+++ /dev/null
@@ -1,165 +0,0 @@
-Basic Music Theory for Beginners � The Complete Guide (RAG Version)
-
-This guide explores fundamental concepts musicians use to understand, analyze, and create music.
-
-What is Music Theory?
-
-R: Music theory is a system musicians use to understand and communicate the language of music. It examines fundamentals and provides tools to interpret compositions.
-
-A: It�s useful for electronic and pop musicians to elevate tracks.
-
-R: Basic music theory defines harmony, melody, and rhythm and identifies elements such as song form, tempo, notes, chords, key signatures, intervals, scales, and qualities like pitch, timbre, texture, dynamics.
-
-How to Learn Music Theory
-
-R: Learn the fundamentals first:
-
-Harmony
-Melody
-Rhythm
-
-A: A solid understanding of these three core elements is essential before moving to advanced theory.
-
-Harmony in Music
-
-R: Harmony occurs when multiple notes or voices play simultaneously to produce a new sound.
-
-Chords � Three or more notes played together
-Chord progressions support the melody
-
-A: Vocal harmonies, as in a choir, blend multiple voices for a harmonious sound.
-
-R: Two main types:
-
-Dissonant � Adds tension; resolves to consonant. Examples: 2nds, 7ths, 9ths
-Consonant � Stable and pleasing. Examples: unison, 3rds, 5ths, octaves
-
-A: Musicians combine both to make music more interesting.
-
-Melody in Music
-
-R: Melody is a sequence of notes arranged into a musical phrase; often the most memorable part of a song.
-
-R: Primary elements:
-
-Pitch � High or low notes
-Rhythm � Duration of each note
-
-A: Melodic motion:
-
-Conjunct � Stepwise motion; natural to play/sing
-Disjunct � Larger leaps; harder to perform
-
-G: Musicians combine both for variation and interest.
-
-Rhythm in Music
-
-R: Rhythm = patterns of sounds and silences in time.
-
-R: Elements:
-
-Beat � Repeating pulse
-Meter � Pattern of strong/weak beats
-Time signature � Beats per measure
-Tempo (BPM) � Speed of music
-Strong vs. Weak beats � Downbeats/offbeats
-Syncopation � Accents on offbeats
-Accents � Emphasis intensity
-
-A: Rhythm forms the backbone for harmony and melody.
-
-Benefits of Learning Music Theory
-
-R: Music theory enhances understanding and creativity.
-
-A: Benefits include:
-
-Improved musical development
-Breaking creative blocks
-Building chord progressions/melodies
-Informed composition
-Better expression and emotion
-
-G: Also improves listening skills, improvisation, song arrangement, communication, and appreciation of music.
-
-R: Note: Theory is a tool, not strict rules.
-
-Fundamentals of Music Theory
-Musical Notes and Intervals
-
-R: Notes = building blocks of music (A�G)
-
-R: 12 notes: A, A#/Bb, B, C, C#/Db, D, D#/Eb, E, F, F#/Gb, G, G#/Ab
-
-White keys = natural notes
-Black keys = sharps/flats
-
-R: Intervals = distance between two notes:
-
-Half step = 1 semitone
-Whole step = 2 semitones
-Intervals = foundation of melody and harmony
-
-A: Interval qualities: major, minor, perfect, augmented, diminished
-
-R: Octaves = same note, double frequency
-
-Key Signatures
-
-R: Key signatures indicate which notes are sharp or flat.
-
-R: Identify the tonal center of a song (e.g., A minor uses notes from the A minor scale).
-
-Scales and Modes
-
-R: Scales = ordered notes in an octave; building blocks of melodies and harmonies
-
-Major scale: W-W-H-W-W-W-H
-Natural minor scale: W-H-W-W-H-W-W
-Minor variations: natural, harmonic, melodic
-
-A: Scale degrees:
-
-Tonic
-Supertonic
-Mediant
-Subdominant
-Dominant
-Submediant
-Leading Tone
-
-G: Musical modes = variations of parent scale (Ionian, Dorian, Phrygian, Lydian, Mixolydian, Aeolian, Locrian)
-
-Counterpoint
-
-A: Two or more melodies played together; independent rhythms but harmonically complementary
-
-Chords and Extensions
-
-R: Chords = 2+ notes played together; root defines chord
-
-Four types: Major, Minor, Diminished, Augmented
-Triads: Root + 3rd + 5th
-Seventh chords: Triad + 7th
-
-A: Chord extensions = notes beyond 7th (9th, 11th, 13th)
-A: Inversions = reorder notes for smooth transitions (1st = 3rd in bass, 2nd = 5th in bass)
-
-Chord Progressions & Roman Numerals
-
-R: Chord progression = ordered series of chords; supports melody and rhythm
-
-A: Roman numerals indicate scale degrees: uppercase = major, lowercase = minor (I�vi�IV�V)
-
-Voice Leading
-
-A: Smooth movement of notes from one chord to the next; shared notes minimize jumps
-
-Example: C major (C-E-G) ? A minor (A-C-E), smooth transition
-
-Conclusion
-
-R: Music theory is a tool to create, understand, and communicate music.
-
-A/G: Apply these concepts in practice to improve your skills, workflow, and musical expression.
-
diff --git a/Books/Music/Theory/BendingIntervalReference.txt b/Books/Music/Theory/BendingIntervalReference.txt
index e8f9a55..d972f87 100644
--- a/Books/Music/Theory/BendingIntervalReference.txt
+++ b/Books/Music/Theory/BendingIntervalReference.txt
@@ -1,10 +1,3 @@
-TITLE: String Bending Interval Reference
-DOMAIN: Guitar Technique
-CONCEPTS: string bending, semitone bend, whole step bend, 
-half step bend, interval, target note, pitch, intonation
-CONTENT TYPE: Reference
----
-
 Bending a C note a semitone (half step) produces C#/Db.
 Bending a C note a whole step (full step) produces D.
 Bending a C note a minor third produces D#/Eb.
diff --git a/Books/Music/Theory/Chord Tones and Tensions.txt b/Books/Music/Theory/Chord Tones and Tensions.txt
index 7b3dd79..c2c2399 100644
--- a/Books/Music/Theory/Chord Tones and Tensions.txt	
+++ b/Books/Music/Theory/Chord Tones and Tensions.txt	
@@ -1,16 +1,4 @@
-TITLE: Chord Tones and Tensions — An Intermediate Guide
-AUTHOR: Kiefer
-DOMAIN: Music Theory, Jazz Harmony
-CONCEPTS: chord tones, tensions, melody, root, ninth, flat nine, 
-sharp nine, third, eleventh, sharp eleventh, fifth, thirteenth, 
-flat thirteenth, seventh, major seventh, dominant chord, minor chord, 
-Lydian, altered scale, whole tone scale, harmonic color
-SOURCE: Soundfly
-TOPIC: Guide to using chord tones and tensions as melody notes over 
-various chord qualities
----
 
-Chunk 1: Roots as Melody Notes
 Metadata: type=theory, concept=chordTone, interval=root,
 concept=melodicChoice, chords=maj7/min7/dom7/dim7/sus, concept=halfStepClash
 
@@ -26,10 +14,7 @@ five chords. They can also provide a colorful sound against sus chords.
 The practical rule is straightforward — avoid the root as a melody note 
 on top of major seventh chords but use it freely elsewhere.
 
-Chunk 2: Ninths as Melody Notes
-Metadata: type=theory, concept=tension, interval=ninth,
-concept=melodicChoice, concept=nonCommittal, concept=versatility
-
+Ninths as Melody Notes
 The ninth is one of the most versatile and accessible tensions available 
 as a melody note. Its sound over a major seventh chord is particularly 
 appealing — partly because it is non-committal, working naturally with 
@@ -41,11 +26,6 @@ the third — which may mean bumping it up an octave. This above-the-third
 placement clears the potential clash and restores the ninth's characteristic 
 openness and brightness.
 
-Chunk 3: Flat Nines and Sharp Nines as Melody Notes
-Metadata: type=theory, concept=tension, interval=b9/sharp9,
-concept=melodicChoice, chords=dominant7/secondaryDominant,
-concept=chromaticTension, concept=bluesSound, concept=resolution
-
 The flat nine and sharp nine are specific and intentional tension choices 
 — both are tense enough that their use is deliberate rather than casual. 
 When using a flat nine as a melody note, following it with the root of 
@@ -58,10 +38,6 @@ move the harmony slightly further from the original key. Over major or
 dominant chords they can create a rich bluesy sound that sits between 
 the major and minor worlds simultaneously.
 
-Chunk 4: Thirds as Melody Notes
-Metadata: type=theory, concept=chordTone, interval=third,
-concept=melodicChoice, concept=chordQuality, concept=majorThird/minorThird
-
 The third — major or minor depending on the chord quality — is one of 
 the most important notes available as a melody choice because it most 
 clearly communicates the quality of the chord. A major third over a 
@@ -72,11 +48,6 @@ harmony and can be used as often as desired. They tend to sound
 interesting and stable simultaneously — grounding the melody in the 
 chord while still providing melodic character.
 
-Chunk 5: Elevenths and Sharp Elevenths as Melody Notes
-Metadata: type=theory, concept=tension, interval=eleventh/sharpEleventh,
-concept=melodicChoice, chords=minor/major7/dominant, concept=LydianSound,
-concept=tritone, concept=stability/instability
-
 The eleventh behaves very differently depending on chord quality. Over 
 major chords elevenths are chaotic and unstable, creating conflict with 
 the major third a half step below. Over minor chords they are beautiful, 
@@ -89,11 +60,6 @@ sharp eleventh gives a bright Lydian character — whimsical and slightly
 unresolved — and can be added to major seventh and dominant chords to 
 provide distinctive harmonic color.
 
-Chunk 6: Fifths as Melody Notes
-Metadata: type=theory, concept=chordTone, interval=fifth,
-concept=melodicChoice, concept=nonCommittal, concept=openness,
-concept=versatility, concept=stability
-
 Like the ninth, the fifth is a non-committal and versatile melody note 
 that does not strongly imply chord quality in either direction. In purely 
 diatonic contexts it is not the most interesting choice, but its openness 
@@ -104,11 +70,6 @@ ear to locate within the texture. The practical advice is to use it
 freely but balance it with more harmonically specific choices — thirds, 
 sevenths, or tensions — that provide additional character.
 
-Chunk 7: Thirteenths and Flat Thirteenths as Melody Notes
-Metadata: type=theory, concept=tension, interval=thirteenth/flatThirteenth,
-concept=melodicChoice, chords=dominant7/maj7/min7, concept=Dorian,
-concept=alteredScale, concept=wholeToneScale, concept=lushness/dissonance
-
 The thirteenth adds lushness and richness to a dominant chord, though 
 placement matters — when the thirteenth and flat seventh are voiced 
 directly adjacent they create strong dissonance, but moving the 
@@ -123,11 +84,6 @@ different scales — the whole tone scale or the altered scale — and is
 often found alongside flat nines or sharp nines in altered dominant 
 contexts.
 
-Chunk 8: Sevenths as Melody Notes
-Metadata: type=theory, concept=chordTone, interval=seventh,
-concept=melodicChoice, concept=majorSeventh/minorSeventh,
-concept=chordCharacter, concept=alternativeToRoot
-
 Like the third, the seventh contributes directly to the overall character 
 of the chord, making it a harmonically rich melodic choice. If a major 
 seventh appears in the chord voicing it is a safe and effective bet in 
@@ -139,10 +95,6 @@ sevenths — both major and minor — tend to reinforce chord character
 while avoiding the half step conflicts that make roots problematic over 
 major seventh chords.
 
-Chunk 9: Harmonizing a Single Note — Practical Exercise
-Metadata: type=exercise, concept=harmonization, concept=chordTones,
-concept=tensions, concept=melodicContext, concept=practicalApplication
-
 A highly effective exercise for internalizing chord tones and tensions 
 is to pick any single note and systematically harmonize it with every 
 chord in which that note plays a different role. Begin by playing the 
@@ -158,11 +110,6 @@ instinctive understanding of how any given note functions harmonically
 across different chord qualities, making chord tone and tension choices 
 feel natural rather than calculated.
 
-Chunk 10: Chord Tones and Tensions Summary
-Metadata: type=summary, concept=chordTones, concept=tensions,
-concept=melodicChoice, concept=harmonicColor, chords=maj7/min7/dom7/sus,
-intervals=root/ninth/third/eleventh/fifth/thirteenth/seventh
-
 The choice of melody note against a chord determines the harmonic color 
 and tension of the moment. Roots work freely over most chord types but 
 create half step conflicts over major seventh chords where the major sixth 
@@ -180,11 +127,6 @@ relationships develops through deliberate ear training and the systematic
 harmonization exercise of placing a single note in every harmonic context 
 available to it.
 
-Chunk 11: Tensions by Chord Type — Dominant Seventh Chords
-Metadata: type=reference, concept=tensions, chords=dominant7,
-concept=melodicChoice, intervals=ninth/b9/sharp9/thirteenth/b13/sharpEleventh,
-concept=bluesSound, concept=alteredSound, concept=LydianDominant
-
 The tensions that work well over dominant seventh chords are the ninth, 
 flat nine, sharp nine, thirteenth, flat thirteenth, and sharp eleventh. 
 The ninth is versatile and non-committal, working freely in most dominant 
@@ -199,11 +141,6 @@ The sharp eleventh gives a bright Lydian dominant color — whimsical and
 unresolved. Avoid the natural eleventh over dominant chords as it creates 
 conflict with the major third.
 
-Chunk 12: Tensions by Chord Type — Major Seventh Chords
-Metadata: type=reference, concept=tensions, chords=maj7,
-concept=melodicChoice, intervals=ninth/sharpEleventh/thirteenth/seventh,
-concept=LydianSound, concept=halfStepClash, concept=maj6substitution
-
 The tensions that work well over major seventh chords are the ninth, 
 sharp eleventh, thirteenth, and major seventh itself. The ninth is 
 non-committal and works beautifully, especially when placed above the 
@@ -215,11 +152,6 @@ half step clash with the major seventh — use the major sixth chord as a
 substitute when the root must appear in the melody. Avoid the natural 
 eleventh which creates conflict with the major third a half step below.
 
-Chunk 13: Tensions by Chord Type — Minor Seventh Chords
-Metadata: type=reference, concept=tensions, chords=min7,
-concept=melodicChoice, intervals=ninth/eleventh/thirteenth,
-scale=DorianMode, concept=beauty/ambiguity, concept=avoidSharpNine
-
 The tensions that work well over minor seventh chords are the ninth, 
 eleventh, and thirteenth, particularly when drawn from the Dorian mode. 
 The ninth is versatile and works freely. The eleventh is especially 
@@ -232,10 +164,6 @@ occurs over major seventh chords. Avoid flat nines, sharp nines, and flat
 thirteenths over minor seventh chords as these are primarily dominant 
 chord tensions and will pull the harmony away from the minor context.
 
-Chunk 14: Tensions by Chord Type — Diminished and Half Diminished Chords
-Metadata: type=reference, concept=tensions, chords=dim7/halfDim7,
-concept=melodicChoice, intervals=root/ninth, concept=stability
-
 The root works fine as a melody note over diminished seventh chords and 
 minor seven flat five chords without the conflicts that arise over major 
 seventh chords. The ninth can also function in these contexts. These chord 
@@ -244,10 +172,6 @@ melody note choices — chord tones rather than additional tensions — often
 serve better than stacking further dissonance on top of an already 
 complex harmonic color.
 
-Chunk 15: Tensions by Chord Type — Sus Chords
-Metadata: type=reference, concept=tensions, chords=sus,
-concept=melodicChoice, intervals=root, concept=color
-
 The root provides a particularly colorful and effective melody note 
 against sus chords — a context where it would otherwise create half step 
 conflicts over major seventh chords. Sus chords have an open, unresolved 
diff --git a/Books/Music/Theory/Fretboard Theory 2008 E-Book - Desi Serna.txt b/Books/Music/Theory/Fretboard Theory 2008 E-Book - Desi Serna.txt
index 0bdc78e..56479ee 100644
--- a/Books/Music/Theory/Fretboard Theory 2008 E-Book - Desi Serna.txt	
+++ b/Books/Music/Theory/Fretboard Theory 2008 E-Book - Desi Serna.txt	
@@ -1,156 +1,3 @@
-Fretboard Theory
-
-Copyright (c) 2005�2008 Desi Serna
-All rights reserved. No part of this book may be reproduced in any form without written permission from the publisher.
-Cover Design: Desi Serna | Cover Photo: Richard Caldwell | Text Design & Layout: Desi Serna | Editing: Dyan Serna
-Printed in the United States of America
-
-"For we are His creation�created in Christ Jesus for good works, which God prepared ahead of time so that we should walk in them." �Ephesians 2:10 (HCSB)
-
-Table of Contents
-Introduction
-About This Book
-What You'll Learn
-Other Benefits
-What�s Missing
-What You Should Know
-Can Bass Players Benefit Too?
-Seven-String Guitars and Five-String Basses
-Left-Handed Players
-How Fretboard Theory Works
-What You�ll Need to Do
-Learning Songs
-Transcriptions
-Recordings
-Studying with an Instructor
-The Importance of Songs
-Let�s Get Started
-Chapter 1: A Quick Review
-Natural Notes
-Notes on String 6
-Notes on String 5
-Whole-Steps and Half-Steps
-Sharps (#) and Flats (b)
-Octaves
-Exercises
-Chapter 2: The Pentatonic Scale
-Connecting Patterns
-Major/Minor Pentatonic
-Transposing
-Connecting Backward
-Blues Scale
-Applying Pentatonic
-Join the Mailing List
-Chapter 3: CAGED Template Chord System
-C Form
-A Form
-G Form
-E Form
-D Form
-CAGED Template Overview
-Chapter 4: Five Is the Magic Number
-A Major Pentatonic / CAGED
-C Major Pentatonic / CAGED
-Minor CAGED Forms
-A Minor Pentatonic / CAGED
-Partial Minor Forms
-Chapter 5: The Major Scale
-G Major Scale Patterns
-C Major Scale Patterns
-Major Scale Practice Keys
-Major Scale Songs
-Chapter 6: Chord Progressions & Playing by Numbers
-Major Triad
-Minor Triad
-Minor Flat Five
-Major Scale Triads
-Numbers
-Chord Patterns (String 6 & 5)
-Song Progressions
-Open Position
-Key Changes
-Minor Chord Progressions
-Chapter 7: Roots, Keys, and Applying Scales
-Applying Pentatonic Scale
-Blues Application
-Applying Major Scale
-Chapter 8: Modes
-Ionian
-Dorian
-Phrygian
-Lydian
-Mixolydian
-Aeolian
-Locrian
-Modes and Blues
-Chapter 9: Intervals
-Fifths
-Thirds
-Sixths
-Octaves
-Chapter 10: Chord Extensions
-Major / Minor / Dominant 7
-Minor7b5 (Flat Five)
-G CAGED Template w/7s
-Add 9
-Suspended 4
-Chord Building Chart
-Chapter 11: Conclusion
-Contact Me
-Join the Mailing List
-Tell a Friend
-About the Author
-Ordering
-Fretboard Theory DVDs
-Related Titles:
-Getting Started with the Pentatonic Scale
-CAGED Template Chord System
-Guitar Chord Progressions & Playing by Numbers
-Guitar Modes � The Modal Scales of Popular Music
-How to Make Money Teaching Guitar
-Introduction (Condensed & Organized)
-
-About This Book
-Fretboard Theory is for musicians serious about jamming, understanding, and creating guitar-driven music. Based on decades of professional teaching and performing, it provides a hands-on, visual approach to understanding scales, chords, and musical application.
-
-What You�ll Learn
-
-Build essential chord forms and connect them across the fretboard
-Learn major and pentatonic scales for melody, soloing, and bass lines
-Chart chord progressions and play by numbers
-Harmonize with intervals and add chord extensions
-Understand modes as they relate to the fretboard
-Apply all of this to real songs
-
-Other Benefits
-
-Improves improvisation, transcription, and collaboration
-Enhances musical retention and understanding
-
-What�s Missing
-
-Standard musical notation
-Obscure or exotic music
-Certain formal or outdated music theory
-
-Target Audience
-
-Intermediate to advanced guitar players familiar with open and barre chords
-
-For Bass Players
-
-Guitar-scale patterns and chord shapes directly apply to four-string bass
-Seven-string guitars and five-string basses can follow lessons by ignoring extra strings at first
-
-Left-Handed Players
-
-Must reverse diagrams themselves
-
-How Fretboard Theory Works
-
-Visualizes the fretboard as a grid
-Focuses on shapes, patterns, and connections rather than abstract notes
-
 Learning Songs
 
 Songs are references to reinforce lessons
@@ -173,7 +20,7 @@ Getting Started
 Chapter 2: The Pentatonic Scale
 About This Chapter
 
-The pentatonic scale is a widely used scale for riffs, solos, melodies, and bass lines. It�s frequently combined with chords to create richer, more melodic parts. Even if you feel you already know it, there�s valuable insight here.
+The pentatonic scale is a widely used scale for riffs, solos, melodies, and bass lines. It�s frequently combined with chords to create richer, more melodic parts. Even if you feel you already know it, there�s valuable insight here.
 
 This chapter focuses on:
 
@@ -186,8 +33,8 @@ Playing in all keys
 Practice routines
 References to familiar songs
 Understanding the Pentatonic Scale
-�Penta� = five
-�Tonic� = tones/notes
+�Penta� = five
+�Tonic� = tones/notes
 
 The pentatonic scale uses five notes per octave.
 Example: E minor pentatonic ? E, G, A, B, D
@@ -211,12 +58,12 @@ Play each pattern repeatedly until it feels automatic.
 Connect the patterns as you go up the neck.
 Fingering Tips
 Use all four fingers where possible (index, middle, ring, pinky).
-Avoid using only index and middle fingers�they limit flexibility and control.
+Avoid using only index and middle fingers�they limit flexibility and control.
 Pattern 3 spans five frets, while the others usually span four frets.
 Alternate picking is crucial for clean lines.
 Bass players: alternate index/middle fingers on plucked notes.
 Matching Shapes
-Visualize horizontal strings � vertical frets as a grid.
+Visualize horizontal strings � vertical frets as a grid.
 Focus on patterns and shapes rather than individual note names.
 The shapes remain constant in every key.
 Connecting shapes is the key to navigating the whole fretboard.
@@ -234,7 +81,7 @@ Practice Routine
 Learn Pattern 1 completely.
 Move to Pattern 2, connect it to Pattern 1.
 Repeat for Patterns 3, 4, 5.
-Once you�ve connected all patterns, trace your way back down.
+Once you�ve connected all patterns, trace your way back down.
 Practice in different keys using the first note of Pattern 1 as the minor root.
 
 Tip: You can always determine the scale key:
@@ -247,24 +94,24 @@ E Minor Pentatonic (root = E)
 
 Examples for E minor pentatonic:
 
-"Cannonball" � Duane Eddy (Guitar Riff)
-"Amazing Grace" � Hymn (Melody)
-"Susie Q" � CCR (Guitar Riff)
+"Cannonball" � Duane Eddy (Guitar Riff)
+"Amazing Grace" � Hymn (Melody)
+"Susie Q" � CCR (Guitar Riff)
 
 Examples for G major pentatonic:
 
-"Honky Tonk Women" � The Rolling Stones (Intro Guitar Lick)
-"Wish You Were Here" � Pink Floyd (12-string & Lead Guitar Intro)
-"Sweet Home Alabama" � Lynyrd Skynyrd (Guitar Intro & Solos)
+"Honky Tonk Women" � The Rolling Stones (Intro Guitar Lick)
+"Wish You Were Here" � Pink Floyd (12-string & Lead Guitar Intro)
+"Sweet Home Alabama" � Lynyrd Skynyrd (Guitar Intro & Solos)
 
 Practice tip:
 
 Focus only on the pentatonic parts of these songs.
 Use tablature to reinforce positions.
 Try connecting patterns while playing the songs.
-�Amazing Grace� Example
+�Amazing Grace� Example
 
-G Major Pentatonic � Pattern 1
+G Major Pentatonic � Pattern 1
 
 Gtr. Diagram
 Pattern 1 positions across the fretboard
@@ -282,7 +129,7 @@ Apply patterns to riffs, solos, and familiar songs.
 Memorize fingerings and shapes rather than individual notes.
 1. Transposing the Pentatonic Scale
 How It Works
-Pattern-based approach: You�ve memorized the 5 pentatonic patterns. Transposing means shifting all these patterns up or down the fretboard to change the key.
+Pattern-based approach: You�ve memorized the 5 pentatonic patterns. Transposing means shifting all these patterns up or down the fretboard to change the key.
 Roots move accordingly:
 First note in pattern one = minor root
 Second note in pattern one = major root
@@ -333,9 +180,9 @@ D form
 Moving them across the fretboard creates barre chords in any key.
 Key Points:
 Root note location matters: The lowest note of the shape is usually the root.
-Open vs. moveable: Moving a shape up the neck changes the chord�s name.
+Open vs. moveable: Moving a shape up the neck changes the chord�s name.
 Example: C form at 5th fret ? D chord.
-Fingering tip: You don�t need to barre the entire chord; your index finger can hold only certain strings.
+Fingering tip: You don�t need to barre the entire chord; your index finger can hold only certain strings.
 Practice Routine:
 Memorize the root position for all five open shapes.
 Play each shape in open position, then shift up frets and identify the new chord.
@@ -369,11 +216,11 @@ Barre chords can be partially played for easier fingering or alternate voicings.
 4. Partial Chord Forms
 Partial forms use fewer strings to simplify chord shapes.
 Examples:
-Open C ? omit pinky ? strings 1�4 used.
-Open A ? omit some fingers ? strings 1�3 used.
+Open C ? omit pinky ? strings 1�4 used.
+Open A ? omit some fingers ? strings 1�3 used.
 Useful for riffs, interludes, and fast chord changes.
 5. Alternate Bass Notes
-Chords don�t have to have the root in the bass.
+Chords don�t have to have the root in the bass.
 Slash notation indicates alternate bass notes:
 C/E ? C chord with E as the bass
 C/G ? C chord with G as the bass
@@ -392,16 +239,16 @@ C at 3rd fret ? D at 5th fret ? E at 7th fret
 Complements the A form barre chord.
 7. Practical Applications
 Many classic songs use these techniques:
-Partial C form: �Stairway to Heaven� (Led Zeppelin), �Jack and Diane� (John Mellencamp)
-Alternate bass notes: �Wish You Were Here� (Pink Floyd), �Plush� (Stone Temple Pilots)
-A form barre chords: �Take It Easy� (Eagles), �Cliffs of Dover� (Eric Johnson)
+Partial C form: �Stairway to Heaven� (Led Zeppelin), �Jack and Diane� (John Mellencamp)
+Alternate bass notes: �Wish You Were Here� (Pink Floyd), �Plush� (Stone Temple Pilots)
+A form barre chords: �Take It Easy� (Eagles), �Cliffs of Dover� (Eric Johnson)
 Quick Tips
 Visualize the full barre chord even when playing partial forms.
 Use a capo to play familiar shapes in new keys.
 Practice arpeggio patterns along the 5th string for flexibility.
 Use alternate bass notes to create smoother chord progressions.
 
-1. �A Form� Barre Chord and Partial Forms
+1. �A Form� Barre Chord and Partial Forms
 Full Barre Chord:
 Root lies under your index finger on the 5th string.
 Your ring finger forms the rest of the chord.
@@ -409,9 +256,9 @@ Often, the 1st string is omitted because it can be hard to reach.
 Partial Forms:
 You can play subsets of the full chord to create new sounds.
 Examples:
-Strings 1�3 (like �Stairway to Heaven� intro)
-Strings 2�4 (like �Take It Easy� by The Eagles)
-Strings 5�3 or 5�4 (power chord shapes)
+Strings 1�3 (like �Stairway to Heaven� intro)
+Strings 2�4 (like �Take It Easy� by The Eagles)
+Strings 5�3 or 5�4 (power chord shapes)
 Alternate Bass Notes:
 You can move notes from the chord to the bass.
 Example: C/E (C chord with E in the bass), C/G (C chord with G in the bass).
@@ -420,53 +267,53 @@ Arpeggio Pattern (A Form):
 Notes of the chord played one at a time along the 5th string.
 Example positions: C at 3rd fret, D at 5th fret, E at 7th fret.
 Useful for building melodies, riffs, and chord voicings.
-Songs Using Partial �A Form�:
-�Stairway to Heaven� � Led Zeppelin
-�Cult of Personality� � Living Colour
-�Daughters� � John Mayer
-�Scar Tissue� � Red Hot Chili Peppers
-2. �G Form� Barre Chord and Partial Forms
+Songs Using Partial �A Form�:
+�Stairway to Heaven� � Led Zeppelin
+�Cult of Personality� � Living Colour
+�Daughters� � John Mayer
+�Scar Tissue� � Red Hot Chili Peppers
+2. �G Form� Barre Chord and Partial Forms
 Full Barre Chord:
 Root under your ring finger on 6th string.
 Stretchy and rarely used in full; usually partial forms are preferred.
 Partial Forms:
-Strings 2�5: Used in �G/B� voicings like Fleetwood Mac�s �Landslide.�
-Strings 1�4: Used in �Stairway to Heaven� intro.
-Strings 2�4: Reduces to a shape also used in the �A form.�
+Strings 2�5: Used in �G/B� voicings like Fleetwood Mac�s �Landslide.�
+Strings 1�4: Used in �Stairway to Heaven� intro.
+Strings 2�4: Reduces to a shape also used in the �A form.�
 Arpeggio Pattern (G Form):
 Example positions: G open, A at 5th fret, B at 7th fret.
 Helps build riffs, chord melodies, and bass lines.
-Songs Using Partial �G Form�:
-�The Wind Cries Mary� � Jimi Hendrix
-�Fade to Black� � Metallica
-�Landslide� � Fleetwood Mac
-3. �E Form� Barre Chord and Partial Forms
+Songs Using Partial �G Form�:
+�The Wind Cries Mary� � Jimi Hendrix
+�Fade to Black� � Metallica
+�Landslide� � Fleetwood Mac
+3. �E Form� Barre Chord and Partial Forms
 Full Barre Chord:
 Root under your index finger on 6th string.
 Requires barring across the fretboard.
 Partial Forms:
 Basic F chord: First four strings.
-�Johnny B. Goode� � uses partial form on 6th string.
-�Tripping Billies� � uses non-adjacent chord tones.
+�Johnny B. Goode� � uses partial form on 6th string.
+�Tripping Billies� � uses non-adjacent chord tones.
 Arpeggio Pattern (E Form):
 Positions: G at 3rd fret, A at 5th fret, B at 7th fret.
 Useful for chord variations and melodic patterns.
-Songs Using Partial �E Form�:
-�Never Let You Go� � Third Eye Blind
-�Johnny B. Goode� � Chuck Berry
-�Tripping Billies� � Dave Matthews Band
-4. �D Form� Barre Chord
+Songs Using Partial �E Form�:
+�Never Let You Go� � Third Eye Blind
+�Johnny B. Goode� � Chuck Berry
+�Tripping Billies� � Dave Matthews Band
+4. �D Form� Barre Chord
 Modified Form:
 Often used as D/F# (alternate bass note on 6th string).
 Root lies under index finger on 4th string, making it easier to trace from string 4 to 6.
 Rarely used in full; usually partial forms.
-Songs Using Partial �D Form�:
-�Never Let You Go� � Third Eye Blind
+Songs Using Partial �D Form�:
+�Never Let You Go� � Third Eye Blind
 Key Takeaways Across Forms
 Partial chord shapes simplify fingerings and create different voicings.
 Arpeggios map chord tones along strings, helping create riffs, melodies, and bass lines.
 Alternate bass notes (slash chords) give chords a richer sound.
-Practice tip: Visualize the full parent form even when playing a partial shape�it improves fluency and chord transitions.
+Practice tip: Visualize the full parent form even when playing a partial shape�it improves fluency and chord transitions.
 
 E Form & D Form Barre Chords
 E Form Barre Chord:
@@ -486,7 +333,7 @@ Power chords can derive from partial shapes (e.g., "D form" with root on string
 CAGED Template
 Purpose: Connect all five major chord forms across the fretboard (C, A, G, E, D).
 Steps for C Major (example):
-Start at open C chord (�C form�).
+Start at open C chord (�C form�).
 Move to A form barre chord (root still C).
 Next: G form barre chord.
 Then E form barre chord.
@@ -504,7 +351,7 @@ Bass line variations
 Soloing ideas over chords
 Next Chapter Preview
 Chapter 4: Integrates Pentatonic Scales with CAGED.
-You�ll see how 5 major chord forms align with 5 pentatonic scale patterns, plus relative minor chords.
+You�ll see how 5 major chord forms align with 5 pentatonic scale patterns, plus relative minor chords.
 Goal: Play scales over any chord, in any position, for riffs, melodies, and solos.
 
 1. Combining Scale Patterns and Chord Forms
@@ -517,7 +364,7 @@ C form chord ? Pentatonic pattern 4
 A form chord ? Pentatonic pattern 5
 Practice tip: Black circles = chord notes, Gray + Black = arpeggio, All circles = full pentatonic pattern. Play the chord ? arpeggio ? scale repeatedly to internalize the shape.
 2. Practicing and Transposing
-Once you master one key (like A major), move the same shapes to other keys (C major, G major, etc.)�patterns remain the same; only the starting root changes.
+Once you master one key (like A major), move the same shapes to other keys (C major, G major, etc.)�patterns remain the same; only the starting root changes.
 Use the CAGED template to trace the chord and scale shapes along the fretboard.
 Application examples:
 Lead guitar: Play solos using pentatonic and arpeggio shapes.
@@ -533,11 +380,11 @@ Cm form ? F# minor
 Am form ? F# minor
 Gm form ? F# minor
 Practice minor CAGED templates the same way as major: connect forms across the fretboard, memorize arpeggio and scale patterns.
-Partial minor forms can be used for specific riffs or solos (e.g., �Stairway to Heaven� uses Am form).
+Partial minor forms can be used for specific riffs or solos (e.g., �Stairway to Heaven� uses Am form).
 4. Major Scale Fundamentals
 Chromatic scale: 12 half-steps per octave; used to construct major scales.
 Major scale formula (whole & half steps):
-W � W � H � W � W � W � H
+W � W � H � W � W � W � H
 Example (F major): F ? G ? A ? Bb ? C ? D ? E ? F
 Patterns on guitar:
 Break major scales into 5 patterns across the fretboard.
@@ -556,7 +403,7 @@ Use E major pentatonic scale over all chords if E is the root.
 Key Takeaways
 Treat chord forms, arpeggios, and scale patterns as one unit.
 Use CAGED templates to move any chord up/down the neck.
-Minor forms mirror major forms�practice both.
+Minor forms mirror major forms�practice both.
 Major scales = foundation; overlay with CAGED for visualization.
 Practice in multiple keys and connect patterns across the fretboard.
 
@@ -574,7 +421,7 @@ Chromatic Passing Tones
 Added to create the blues scale or melodic movement.
 Can be applied to both major and pentatonic scales.
 Chromatic tones are not necessarily part of the parent major scale.
-Used to �walk� to target notes or create tension/resolution.
+Used to �walk� to target notes or create tension/resolution.
 Adding/removing notes from the major scale can blur lines between major and pentatonic/blues scales.
 Major Scale Application
 Step formula: Whole, Whole, Half, Whole, Whole, Whole, Half
@@ -584,15 +431,15 @@ Pattern flexibility: Notes of the major scale exist in multiple locations; use 5
 Works with CAGED chord shapes for easier positioning.
 Song Examples
 Major scale (all degrees):
-Jimmy Buffett � �Margaritaville� (D)
-Creedence Clearwater Revival � �Bad Moon Rising� (D)
-The Beatles � �Twist and Shout� (D)
+Jimmy Buffett � �Margaritaville� (D)
+Creedence Clearwater Revival � �Bad Moon Rising� (D)
+The Beatles � �Twist and Shout� (D)
 Major scale (not all degrees):
-Grateful Dead � �China Cat Sunflower� (C)
-Blink 182 � �All the Small Things� (C)
+Grateful Dead � �China Cat Sunflower� (C)
+Blink 182 � �All the Small Things� (C)
 Major scale with chromatic passing tones:
-Lit � �My Own Worst Enemy� (E)
-The Rolling Stones � �Beast of Burden� (E)
+Lit � �My Own Worst Enemy� (E)
+The Rolling Stones � �Beast of Burden� (E)
 
 Tip: Learn major scale licks from songs, transpose them, and play over different chord progressions for improvisation practice.
 
@@ -605,7 +452,7 @@ Root (1), Third (3), Fifth (5)
 Built by stacking every other note from the major scale.
 Example in G major:
 G (root), B (major third), D (perfect fifth) ? G major chord
-Triads can be played in different positions on the fretboard. The order or octave of the notes doesn�t matter as long as all three are present.
+Triads can be played in different positions on the fretboard. The order or octave of the notes doesn�t matter as long as all three are present.
 Major vs. Minor Triads
 Major third ? distance of two whole steps from the root ? happy sound
 Minor third (b3) ? distance of one and a half steps ? darker/sadder sound
@@ -629,20 +476,20 @@ Scale Degree	Chord Type
 Practice playing all triads forward and backward.
 Triads can be rearranged in multiple fretboard positions.
 Bass Player Notes
-Bass doesn�t usually play full chords.
+Bass doesn�t usually play full chords.
 Focus on root note + other intervals (triads/arpeggios)
 Avoid playing low chords too often; sounds muddy
 Chord Quality & Scale Degrees
 Major chords: I, IV, V
 Minor chords: ii, iii, vi
-Minor flat five: vii� (rare, mostly jazz)
+Minor flat five: vii� (rare, mostly jazz)
 Example Song Uses (Triads)
-I (Major): John Fogerty � �Centerfield�
-ii (Minor): Stevie Ray Vaughan � �Tightrope�
-iii (Minor): Jimi Hendrix � �Manic Depression�
-IV (Major): Beach Boys � �California Girls�
-V (Major): Buddy Holly � �That�ll Be the Day�
-vi (Minor): The Beatles � �Eight Days a Week�
+I (Major): John Fogerty � �Centerfield�
+ii (Minor): Stevie Ray Vaughan � �Tightrope�
+iii (Minor): Jimi Hendrix � �Manic Depression�
+IV (Major): Beach Boys � �California Girls�
+V (Major): Buddy Holly � �That�ll Be the Day�
+vi (Minor): The Beatles � �Eight Days a Week�
 Playing by Numbers (Nashville Number System)
 Use Roman numerals to represent chord degrees:
 Uppercase ? Major, Lowercase ? Minor
@@ -681,15 +528,15 @@ Key of E ? start on open 6th string
 By visualizing numbers instead of notes, you can transpose easily without memorizing all the notes.
 3. Popular Songs Based on Major Chords (I, IV, V)
 Many songs use just the major chords:
-�Achy Breaky Heart� ? I V
-�Sweet Home Alabama� ? I IV V
-�Brown Eyed Girl� ? I IV I V
+�Achy Breaky Heart� ? I V
+�Sweet Home Alabama� ? I IV V
+�Brown Eyed Girl� ? I IV I V
 Knowing these three major chords lets you play countless songs in any key.
 4. Adding Minor Chords (ii, iii, vi)
 Minor chords enrich progressions:
-Songs like Jason Mraz � �I�m Yours� ? I V vi IV
-John Denver � �Country Roads� ? I V vi IV
-Practice calling out numbers while playing: e.g., I V vi IV ? �One� Five� Six� Four��
+Songs like Jason Mraz � �I�m Yours� ? I V vi IV
+John Denver � �Country Roads� ? I V vi IV
+Practice calling out numbers while playing: e.g., I V vi IV ? �One� Five� Six� Four��
 5. Playing Chord Progressions Starting on String Five
 Original pattern: I, ii, iii on string six; IV, V, vi on string five
 New pattern: flip the strings for comfort or higher keys
@@ -704,11 +551,11 @@ V ? G
 vi ? Am
 This is useful when frets are too high for the original string six pattern.
 6. Key Takeaways
-Learn chord numbers, not just names � makes transposition effortless.
-Practice on multiple strings � helps with comfort and flexibility.
+Learn chord numbers, not just names � makes transposition effortless.
+Practice on multiple strings � helps with comfort and flexibility.
 Start with major chords (I IV V), then add minor chords (ii, iii, vi).
-Call out numbers while playing � reinforces theory and fretboard awareness.
-Transpose patterns � you can play the same progressions in any key.
+Call out numbers while playing � reinforces theory and fretboard awareness.
+Transpose patterns � you can play the same progressions in any key.
 
 1. Barre Chord Forms
 A-Form Barre Chords
@@ -738,12 +585,12 @@ Exercise: Play the same progression in both positions, forward and backward, unt
 3. Playing Songs in the String-Five Pattern
 Many popular songs can be adapted to the string-five pattern using I, IV, V (major) and ii, iii, vi (minor) chords.
 Examples of I IV V songs:
-"Twist and Shout" � I IV V
-"Authority Song" � I IV V
+"Twist and Shout" � I IV V
+"Authority Song" � I IV V
 Examples including minor chords:
-"With or Without You" � I V vi IV
-"Let it Be" � I V vi IV
-Tip: You don�t need to play songs note-for-note; focus on the chord numbers and calling them out as you play.
+"With or Without You" � I V vi IV
+"Let it Be" � I V vi IV
+Tip: You don�t need to play songs note-for-note; focus on the chord numbers and calling them out as you play.
 4. Open vs. Barre Chord Positions
 Some songs allow you to play open chords, others require barre chords depending on key.
 Use your mental map of barre chord patterns to play the open version:
@@ -755,7 +602,7 @@ Any chord can be treated as the root (I).
 Once root is established, renumber other chords in the pattern relative to it.
 Helps transpose songs easily or deal with key changes mid-song.
 6. Minor Chord Progressions and Modes
-Minor keys don�t require new patterns�just pick a minor chord as the root and play accordingly.
+Minor keys don�t require new patterns�just pick a minor chord as the root and play accordingly.
 Some songs start on a minor chord without including a I chord.
 This is a precursor to understanding modes (explained in next chapters).
 7. Applying Scales
@@ -774,14 +621,14 @@ Jam over songs without needing to memorize every note
 1. Major Pentatonic Scale and Root Notes
 Pattern 1 on the fretboard: The second note of pentatonic pattern 1 is always the major root.
 Example: To play the E major pentatonic, the second note in pattern 1 must be E (12th fret, 6th string). Your index finger then starts the scale at the 9th fret.
-Visualizing the �G form� E major chord helps connect pentatonic shapes with chords.
+Visualizing the �G form� E major chord helps connect pentatonic shapes with chords.
 
 Songs for practice with E major pentatonic:
 
-�Never Let You Go� � Third Eye Blind
-�Beast of Burden� � The Rolling Stones
-�Yellow Ledbetter� � Pearl Jam
-�Walk of Life� � Dire Straits
+�Never Let You Go� � Third Eye Blind
+�Beast of Burden� � The Rolling Stones
+�Yellow Ledbetter� � Pearl Jam
+�Walk of Life� � Dire Straits
 2. Minor Pentatonic Scale and Root Notes
 The first note of pentatonic pattern 1 is always the minor root.
 Example: For A minor pentatonic, start at A (5th fret, 6th string). Visualize the Em form barre chord for reference.
@@ -789,46 +636,46 @@ This works for any minor chord: B minor ? B minor pentatonic, C minor ? C minor
 
 Songs for practice with A minor pentatonic:
 
-�Smooth� � Santana
-�Moondance� � Van Morrison
-�Brickhouse� � The Commodores
+�Smooth� � Santana
+�Moondance� � Van Morrison
+�Brickhouse� � The Commodores
 3. Outlining Chord Progressions with Pentatonic Scales
 You can change pentatonic scales to match each chord in a progression.
-Example: Progression D�C�G ? use D major pentatonic over D, C major pentatonic over C, G major pentatonic over G.
+Example: Progression D�C�G ? use D major pentatonic over D, C major pentatonic over C, G major pentatonic over G.
 This is useful to outline chord changes, even without accompaniment.
 
 Songs using multiple pentatonic scales:
 
-�My Girl� � The Temptations
-�Sweet Home Alabama� � Lynyrd Skynyrd
-Jimi Hendrix tracks: �Bold as Love,� �Little Wing,� etc.
-4. Blues �Minor over Major� Concept
+�My Girl� � The Temptations
+�Sweet Home Alabama� � Lynyrd Skynyrd
+Jimi Hendrix tracks: �Bold as Love,� �Little Wing,� etc.
+4. Blues �Minor over Major� Concept
 In blues, it's common to play a minor pentatonic scale over a major chord for tension or dissonance.
 Example: F# major chord ? F# minor pentatonic solo.
-Works well in rock and blues, but not the other way around (major pentatonic over minor chord generally doesn�t work).
+Works well in rock and blues, but not the other way around (major pentatonic over minor chord generally doesn�t work).
 
 Songs illustrating minor-over-major:
 
-�Give Me One Reason� � Tracy Chapman
-�Couldn�t Stand the Weather� � Stevie Ray Vaughan
-�Hey Joe� � Jimi Hendrix
+�Give Me One Reason� � Tracy Chapman
+�Couldn�t Stand the Weather� � Stevie Ray Vaughan
+�Hey Joe� � Jimi Hendrix
 5. Combining Pentatonic and Major Scales
 Major scale: depends on the key of the progression, not just the root chord.
-Example 1 � �Yellow Ledbetter� (E, B, A):
+Example 1 � �Yellow Ledbetter� (E, B, A):
 Key: E major scale (I, V, IV)
 You can play E major pentatonic + E major scale.
-Example 2 � �What I Like About You� (E, A, D):
+Example 2 � �What I Like About You� (E, A, D):
 Key: A major scale (V, I, IV)
 Root chord for pentatonic: E ? E major pentatonic
 Combine: A major scale + E major pentatonic
-Example 3 � �Stairway to Heaven� (Am, G, F):
+Example 3 � �Stairway to Heaven� (Am, G, F):
 Key: C major scale (vi, V, IV)
 Combine: C major scale + A minor pentatonic
-Example 4 � �Oye Como Va� (Am, D):
+Example 4 � �Oye Como Va� (Am, D):
 Key: G major scale (ii, V)
 Combine: G major scale + A minor pentatonic
 
-Key principle: Pentatonic scale notes are always a subset of the major scale, but the application differs�major scale depends on key/chord pattern, pentatonic depends on root chord.
+Key principle: Pentatonic scale notes are always a subset of the major scale, but the application differs�major scale depends on key/chord pattern, pentatonic depends on root chord.
 
 ? Quick Rules
 Major pentatonic ? 2nd note of pattern 1 = major root
@@ -841,24 +688,24 @@ Combine scales ? pentatonic for simplicity, major for full harmony
 Key Takeaways from Your Text
 1. Root vs. Key
 The root of a chord progression and the key of a song are not always the same.
-Example: �What I Like About You� seems like it�s in E, but it�s actually in A major (key of A), with E functioning as the prominent/root chord.
-Another example: �Sweet Home Alabama� starts on D but is in G major (root G).
+Example: �What I Like About You� seems like it�s in E, but it�s actually in A major (key of A), with E functioning as the prominent/root chord.
+Another example: �Sweet Home Alabama� starts on D but is in G major (root G).
 2. Pentatonic Scale Application
 Minor pentatonic ? use the first note as the minor root.
 Major pentatonic ? use the second note of pattern one as the major root.
 You can change pentatonic scales for each chord in a progression to outline the chord changes.
-Blues often break these �rules� by playing minor pentatonic over a major root (creates tension and �bluesy� sound).
+Blues often break these �rules� by playing minor pentatonic over a major root (creates tension and �bluesy� sound).
 3. Major Scale Application
 Major scales are determined by all chords in the progression.
 Example: E, B, and A chords all fit into the E major scale pattern, so the E major scale works over all three.
-The major scale and pentatonic scales don�t always match. You can combine them for improvisation.
+The major scale and pentatonic scales don�t always match. You can combine them for improvisation.
 4. Modes
 Every chord in a key can create a mode.
-Modes are not separate patterns�they are different tonal centers of the major scale.
+Modes are not separate patterns�they are different tonal centers of the major scale.
 Ionian (Major) ? 1st scale degree as root.
 Dorian ? 2nd scale degree as root.
 Sound is determined by the root, not by where you start playing the scale.
-Example: �Oye Como Va� in A Dorian means A is the root, and G major is the parent scale.
+Example: �Oye Como Va� in A Dorian means A is the root, and G major is the parent scale.
 5. Important Notes
 Modes = different roots of the same major scale.
 They are tonal qualities, not new scales.
@@ -868,73 +715,73 @@ Dorian Mode (ii)
 Root: 2nd scale degree
 Tonal Quality: Minor, dark/jazzy
 Songs in Dorian Mode:
-"Moondance" � Van Morrison (A Dorian, G)
-"Fly Like an Eagle" � Steve Miller Band (A Dorian, G)
-"Brickhouse" � The Commodores (A Dorian, G)
-"Le Freak" � Chic (A Dorian, G)
-"Oye Como Va" � Santana (A Dorian, G)
-"Who Will Save Your Soul" � Jewel (A Dorian, G)
-"Light My Fire" � The Doors, Solo Section (A Dorian, G)
-"Walking on the Sun" � Smash Mouth, Tune Down 1/2 Step (A Dorian, G)
-"Grease" � Frankie Valli (B Dorian, A)
-"Golgi Apparatus" � Phish (B Dorian, A)
-"Stayin� Alive" � The Bee Gees (F Dorian, E?)
-"Another Brick in the Wall (Part II)" � Pink Floyd (D Dorian, C)
-"Your Body is a Wonderland" � John Mayer, Bridge/Solo (D Dorian, C)
-"Evil Ways" � Santana (G Dorian, F)
-"Horse with No Name" � America (E Dorian, D)
-"Spooky" � Atlanta Rhythm Section (E Dorian, D)
-"Godzilla" � Blue �yster Cult (F# Dorian, E)
-"I Wish" � Stevie Wonder (E? Dorian, D?)
+"Moondance" � Van Morrison (A Dorian, G)
+"Fly Like an Eagle" � Steve Miller Band (A Dorian, G)
+"Brickhouse" � The Commodores (A Dorian, G)
+"Le Freak" � Chic (A Dorian, G)
+"Oye Como Va" � Santana (A Dorian, G)
+"Who Will Save Your Soul" � Jewel (A Dorian, G)
+"Light My Fire" � The Doors, Solo Section (A Dorian, G)
+"Walking on the Sun" � Smash Mouth, Tune Down 1/2 Step (A Dorian, G)
+"Grease" � Frankie Valli (B Dorian, A)
+"Golgi Apparatus" � Phish (B Dorian, A)
+"Stayin� Alive" � The Bee Gees (F Dorian, E?)
+"Another Brick in the Wall (Part II)" � Pink Floyd (D Dorian, C)
+"Your Body is a Wonderland" � John Mayer, Bridge/Solo (D Dorian, C)
+"Evil Ways" � Santana (G Dorian, F)
+"Horse with No Name" � America (E Dorian, D)
+"Spooky" � Atlanta Rhythm Section (E Dorian, D)
+"Godzilla" � Blue �yster Cult (F# Dorian, E)
+"I Wish" � Stevie Wonder (E? Dorian, D?)
 Phrygian Mode (iii)
 Root: 3rd scale degree
 Tonal Quality: Minor, Spanish flavor, uncommon
 Song Example:
-"Wherever I May Roam" � Metallica (referenced)
+"Wherever I May Roam" � Metallica (referenced)
 Lydian Mode (IV)
 Root: 4th scale degree
 Tonal Quality: Major, unresolved, anticipatory
 Songs in Lydian Mode:
-"Freewill" � Rush (F Lydian, C)
-"Dreams" � Fleetwood Mac (F Lydian, C)
-"Just Remember I Love You" � Firefall (F Lydian, C)
-"Jane Says" � Jane�s Addiction (G Lydian, D)
-"Hey Jealousy" � Gin Blossoms (D Lydian, A)
-"Landslide" � Fleetwood Mac (C Lydian, G)
-"Man On the Moon" � R.E.M. (C Lydian, G)
-"Here Comes My Girl" � Tom Petty (A Lydian, E)
-"The Simpsons Theme" � Starts in C Lydian (G)
-"Maria" � West Side Story (E? Lydian, B?)
-"The Jetsons Theme" � Starts in E Lydian (B)
+"Freewill" � Rush (F Lydian, C)
+"Dreams" � Fleetwood Mac (F Lydian, C)
+"Just Remember I Love You" � Firefall (F Lydian, C)
+"Jane Says" � Jane�s Addiction (G Lydian, D)
+"Hey Jealousy" � Gin Blossoms (D Lydian, A)
+"Landslide" � Fleetwood Mac (C Lydian, G)
+"Man On the Moon" � R.E.M. (C Lydian, G)
+"Here Comes My Girl" � Tom Petty (A Lydian, E)
+"The Simpsons Theme" � Starts in C Lydian (G)
+"Maria" � West Side Story (E? Lydian, B?)
+"The Jetsons Theme" � Starts in E Lydian (B)
 Mixolydian Mode (V)
 Root: 5th scale degree
 Tonal Quality: Major, dominant, jam-oriented
 Songs in Mixolydian Mode:
-"Third Stone from the Sun" � Jimi Hendrix (E Mixolydian, A)
-"What I Like About You" � The Romantics (E Mixolydian, A)
-"Possum Kingdom" � The Toadies (E Mixolydian, A)
-"No Rain" � Blind Melon (E Mixolydian, A)
-"I�m So Glad" � Cream (E Mixolydian, A)
-"Norwegian Wood" � The Beatles (E Mixolydian, A)
-"Free" � Phish, Tune Down 1/2 Step (E Mixolydian, A)
-"Seven Bridges Road" � The Eagles (D Mixolydian, G)
-"What I Got" � Sublime (D Mixolydian, G)
-"Jessica" � The Allman Brothers Band (A Mixolydian, D)
-�(additional songs follow same format)
+"Third Stone from the Sun" � Jimi Hendrix (E Mixolydian, A)
+"What I Like About You" � The Romantics (E Mixolydian, A)
+"Possum Kingdom" � The Toadies (E Mixolydian, A)
+"No Rain" � Blind Melon (E Mixolydian, A)
+"I�m So Glad" � Cream (E Mixolydian, A)
+"Norwegian Wood" � The Beatles (E Mixolydian, A)
+"Free" � Phish, Tune Down 1/2 Step (E Mixolydian, A)
+"Seven Bridges Road" � The Eagles (D Mixolydian, G)
+"What I Got" � Sublime (D Mixolydian, G)
+"Jessica" � The Allman Brothers Band (A Mixolydian, D)
+�(additional songs follow same format)
 Aeolian Mode (vi / Natural Minor)
 Root: 6th scale degree
 Tonal Quality: Minor, dark/sad, commonly used
 Songs in Aeolian Mode:
-"Maria Maria" � Santana (A Aeolian, C)
-"Losing My Religion" � R.E.M. (A Aeolian, C)
-"First Tube" � Phish (A Aeolian, C)
-"Mr. Jones" � Counting Crows (A Aeolian, C)
-"Hash Pipe" � Weezer (A Aeolian, C)
-"Rhiannon" � Fleetwood Mac (A Aeolian, C)
-"Stairway to Heaven" � Led Zeppelin, Gtr. Solo (A Aeolian, C)
-"Black Magic Woman" � Santana (D Aeolian, F)
-"Layla (acoustic)" � Eric Clapton, Chorus/Solos (D Aeolian, F)
-�(additional songs follow same format)
+"Maria Maria" � Santana (A Aeolian, C)
+"Losing My Religion" � R.E.M. (A Aeolian, C)
+"First Tube" � Phish (A Aeolian, C)
+"Mr. Jones" � Counting Crows (A Aeolian, C)
+"Hash Pipe" � Weezer (A Aeolian, C)
+"Rhiannon" � Fleetwood Mac (A Aeolian, C)
+"Stairway to Heaven" � Led Zeppelin, Gtr. Solo (A Aeolian, C)
+"Black Magic Woman" � Santana (D Aeolian, F)
+"Layla (acoustic)" � Eric Clapton, Chorus/Solos (D Aeolian, F)
+�(additional songs follow same format)
 Locrian Mode (vii)
 Root: 7th scale degree
 Tonal Quality: Not used; rare
@@ -952,11 +799,11 @@ Modes and the Blues
 Common Misconception: Blues is not strictly minor pentatonic; it mixes minor and major pentatonics plus major scale modes.
 Minor Chord Root in Blues: Typically Dorian or Aeolian.
 Examples:
-"The Thrill Is Gone" � B.B. King (Aeolian)
-"Maria Maria" � Santana (Aeolian)
+"The Thrill Is Gone" � B.B. King (Aeolian)
+"Maria Maria" � Santana (Aeolian)
 Major Chord Root in Blues: Usually treated as Mixolydian (dominant 7th chord).
 Example:
-"Give Me One Reason" � Tracy Chapman (Mixolydian)
+"Give Me One Reason" � Tracy Chapman (Mixolydian)
 Pentatonic Shortcut: Can play major/minor pentatonics over all chords if desired; simpler but less melodic variety.
 Blues V Chord & Key Changes
 V Chord: Only V chord per key has dominant 7th (b7).
@@ -985,29 +832,29 @@ Example: G5/D ? G5 chord with D (fifth) as the bass note.
 Notation: Backslash (/) indicates a note other than the root in the bass.
 Sound: Produces a deeper tonality, common in rock music.
 Visual Cue: Can look like a root+fourth interval if misread.
-Famous Example: Intro to �Smoke on the Water� � Deep Purple.
+Famous Example: Intro to �Smoke on the Water� � Deep Purple.
 Variations:
 Standard inverted: root + fifth (fifth in bass).
 With octave: adds an extra root or fifth for fullness.
 Power Chord Songs Using Inverted Shapes
-�The Wind Cries Mary� � Jimi Hendrix
-�Bombtrack� � Rage Against the Machine
-�Come Out and Play� � The Offspring
-�Counting Blue Cars� � Dishwalla
-�Yellow Ledbetter� � Pearl Jam
-�What's My Age Again� � Blink 182
-�Smoke on the Water� � Deep Purple
-�Red Barchetta� � Rush
-�Tomorrow� � Silverchair
-�Wish You Were Here� � Incubus
-�Red House� � Jimi Hendrix Experience
-�Photograph� � Weezer
-�Hash Pipe� � Weezer
-�Glycerine� � Bush
-�Stellar� � Incubus
-�Money for Nothing� � Dire Straits
-�Band on the Run� � Wings
-�Better Together� � Jack Johnson
+�The Wind Cries Mary� � Jimi Hendrix
+�Bombtrack� � Rage Against the Machine
+�Come Out and Play� � The Offspring
+�Counting Blue Cars� � Dishwalla
+�Yellow Ledbetter� � Pearl Jam
+�What's My Age Again� � Blink 182
+�Smoke on the Water� � Deep Purple
+�Red Barchetta� � Rush
+�Tomorrow� � Silverchair
+�Wish You Were Here� � Incubus
+�Red House� � Jimi Hendrix Experience
+�Photograph� � Weezer
+�Hash Pipe� � Weezer
+�Glycerine� � Bush
+�Stellar� � Incubus
+�Money for Nothing� � Dire Straits
+�Band on the Run� � Wings
+�Better Together� � Jack Johnson
 Playing in Fifths
 Concept: Play the scale in pairs where one note is always a perfect fifth above the other.
 Exception: The last note may be a flat fifth (one fret lower than perfect fifth).
@@ -1026,10 +873,10 @@ Applied across CAGED shapes to convert major thirds to minor thirds.
 String 3 behavior: minor third is over one string and back one fret.
 Exercise Highlights
 Play D ? F# (major third) on string 5 ? string 4.
-Invert by moving root up an octave ? creates inverted third (Kiss, �Cold Gin�).
+Invert by moving root up an octave ? creates inverted third (Kiss, �Cold Gin�).
 Transpose shape down an octave ? Blink 182 example.
 Root on string 3 ? third on string 2 (same fret) ? Van Morrison, Sublime.
-Root on string 6 ? third transposed up to string 3 ? Red Hot Chili Peppers (�Scar Tissue�).
+Root on string 6 ? third transposed up to string 3 ? Red Hot Chili Peppers (�Scar Tissue�).
 
 Major Scale Stacked in Thirds
 Definition: Play the major scale in groups of two, each note a third above the previous.
@@ -1049,29 +896,29 @@ Example: Play a root note, then the sixth above it.
 Flat Seventh (b7): One fret lower than the major seventh; commonly combined with sixths in shuffle patterns.
 Application: Frequently used in rock, blues, and rhythm guitar riffs.
 Songs Featuring Thirds (Major/Minor)
-"Brown Eyed Girl" � Van Morrison
-"Blackbird" � The Beatles
-"Two Step" � Dave Matthews Band
-"Tripping Billies" � Dave Matthews Band
-"Grey Street" � Dave Matthews Band
-"Rhiannon" � Fleetwood Mac
-"The Kids Aren�t Alright" � The Offspring
-"La Bamba" � Los Lobos
-"Peace Train" � Cat Stevens
-"Down Boys" � Warrant
-"Heaven" � Los Lonely Boys
-"Cold Gin" � Kiss
-"Walking on the Sun" � Smash Mouth
-"Scar Tissue" � Red Hot Chili Peppers
-"Red House" � Jimi Hendrix
-"Your Body is a Wonderland" � John Mayer
-Songs Featuring Sixth + Flat Seventh (�Shuffle Rhythms�)
-"ATWA" � System of a Down
-"Chop Suey!" � System of a Down
-"When the Sun Goes Down" � Kenny Chesney
-"Life by the Drop" � Stevie Ray Vaughan
-"Fat Lip" � Sum 41
-"Walk on the Wild Side" � Lou Reed
+"Brown Eyed Girl" � Van Morrison
+"Blackbird" � The Beatles
+"Two Step" � Dave Matthews Band
+"Tripping Billies" � Dave Matthews Band
+"Grey Street" � Dave Matthews Band
+"Rhiannon" � Fleetwood Mac
+"The Kids Aren�t Alright" � The Offspring
+"La Bamba" � Los Lobos
+"Peace Train" � Cat Stevens
+"Down Boys" � Warrant
+"Heaven" � Los Lonely Boys
+"Cold Gin" � Kiss
+"Walking on the Sun" � Smash Mouth
+"Scar Tissue" � Red Hot Chili Peppers
+"Red House" � Jimi Hendrix
+"Your Body is a Wonderland" � John Mayer
+Songs Featuring Sixth + Flat Seventh (�Shuffle Rhythms�)
+"ATWA" � System of a Down
+"Chop Suey!" � System of a Down
+"When the Sun Goes Down" � Kenny Chesney
+"Life by the Drop" � Stevie Ray Vaughan
+"Fat Lip" � Sum 41
+"Walk on the Wild Side" � Lou Reed
 Practical Takeaways
 Stacked Thirds: Harmonize melodies by stacking major and minor thirds across a scale.
 Inverted Thirds: Gives variety and fullness, especially in lead lines or chordal riffs.
@@ -1083,41 +930,41 @@ Sixth Interval:
 Distance of six notes from the root.
 Common in shuffle rhythms and rock riffs.
 Example songs:
-�Higher Ground� � Red Hot Chili Peppers (bass)
-�Love Rollercoaster� � Ohio Players / Red Hot Chili Peppers (bass)
-�Third Stone from the Sun� � Jimi Hendrix (guitar)
+�Higher Ground� � Red Hot Chili Peppers (bass)
+�Love Rollercoaster� � Ohio Players / Red Hot Chili Peppers (bass)
+�Third Stone from the Sun� � Jimi Hendrix (guitar)
 Flat Seventh (b7):
 One fret lower than a major seventh.
 Often combined with sixths for blues or shuffle-style riffs.
 Placement on fretboard depends on the string:
-If index finger is on strings 1�2, b7 goes down an octave by moving over 3 strings and up 2 frets.
-If index is on strings 3�4, move over 3 strings and up 3 frets.
+If index finger is on strings 1�2, b7 goes down an octave by moving over 3 strings and up 2 frets.
+If index is on strings 3�4, move over 3 strings and up 3 frets.
 Octaves
-Technique: Two notes, two strings apart, with one usually 2�3 frets higher.
+Technique: Two notes, two strings apart, with one usually 2�3 frets higher.
 Muting: Needed to silence unwanted strings.
 Songs using octaves:
-�Adam�s Song� � Blink 182
-�All the Small Things� � Blink 182
-�Killing in the Name� � Rage Against the Machine
-�Wish You Were Here� � Incubus
+�Adam�s Song� � Blink 182
+�All the Small Things� � Blink 182
+�Killing in the Name� � Rage Against the Machine
+�Wish You Were Here� � Incubus
 Chord Extensions
 Major Seven (maj7):
 Add the 7th degree of the major scale to the I chord (e.g., G ? F# added ? Gmaj7).
-Can be played in �E form� or �A form� chord shapes.
+Can be played in �E form� or �A form� chord shapes.
 Used mostly in jazz or pop music.
 Minor Seven (m7):
 Add the 7th to a minor chord (e.g., Am ? G added ? Am7).
 Common in pop, rock, and blues.
 Example songs:
-�Under the Bridge� � Red Hot Chili Peppers
-�Drive� � Incubus
+�Under the Bridge� � Red Hot Chili Peppers
+�Drive� � Incubus
 Dominant Seven (7 / V7):
 Major chord with a flat seventh (e.g., D7).
 Combines a major triad with b7 for a dominant sound.
 Common in blues, rock, and jazz.
 Example songs:
-�Oye Como Va� � Santana
-�You Ain�t Seen Nothin� Yet� � Bachman-Turner Overdrive
+�Oye Como Va� � Santana
+�You Ain�t Seen Nothin� Yet� � Bachman-Turner Overdrive
 Practical Notes
 Intervals (6ths, b7s, octaves) are key building blocks for riffs and solos.
 Chord extensions (maj7, m7, dominant 7) expand triads for richer harmony.
@@ -1128,34 +975,34 @@ Chord Types and Their 7ths
 Major 7 (maj7)
 Formed by adding the 7th degree of the major scale to the I chord.
 Example: G ? F# ? Gmaj7.
-Shapes: �E form� and �A form� barre chords.
+Shapes: �E form� and �A form� barre chords.
 Songs:
-Change the World � Eric Clapton (Gtr. Chorus)
+Change the World � Eric Clapton (Gtr. Chorus)
 Minor 7 (m7)
 Formed by adding the 7th to minor chords (ii, iii, vi).
 Examples:
 ii chord: Am ? Am7
 iii chord: Bm ? Bm7
 vi chord: Em ? Em7
-Shapes: �Em form� and �Am form� barre chords.
+Shapes: �Em form� and �Am form� barre chords.
 Songs:
-Tears in Heaven � Eric Clapton
-Drive � Incubus
+Tears in Heaven � Eric Clapton
+Drive � Incubus
 Dominant 7 (7 / V7)
 Major triad + flat 7 (b7).
 Example: D ? D7 (flat 7 added).
-Shape: �A form� or �C form� barre chord.
+Shape: �A form� or �C form� barre chord.
 Songs:
-Do Right � Jimmie�s Chicken Shack
-Nothing Else Matters � Metallica
+Do Right � Jimmie�s Chicken Shack
+Nothing Else Matters � Metallica
 Minor 7 flat 5 (m7b5 / half-diminished)
 Minor triad + flat 7 + flat 5.
 Often used as the vii chord.
 Example: F# ? F#7b5.
 Songs:
-Change the World � Eric Clapton
-Smooth � Santana
-I Will Survive � Gloria Gaynor
+Change the World � Eric Clapton
+Smooth � Santana
+I Will Survive � Gloria Gaynor
 7th Chord Pattern in the Key of G (G Major Scale)
 Scale Degree	Chord Type
 I (G)	Gmaj7
@@ -1181,7 +1028,7 @@ vii (B)	Bm7b5
 The structure mirrors G major; just shift root notes to fit the key of C.
 
 Tips for Guitar
-Major 7: Root under index finger for �E form� or �A form� barre chords.
+Major 7: Root under index finger for �E form� or �A form� barre chords.
 Minor 7: Often formed by removing the pinky from the minor triad shape.
 Dominant 7: Adds a flat 7 to major triad, creating tension before resolving.
 Half-diminished (m7b5): Used for the vii chord in major scales; tricky on low strings.
@@ -1197,25 +1044,25 @@ iii ? Bm7
 IV ? Cmaj7
 V ? D7
 vi ? Em7
-vii ? F#�7 (half-diminished)
+vii ? F#�7 (half-diminished)
 Chord Shapes & Positions (Fretboard)
 Degree	Chord	Shape (CAGED)	Root on String	Suggested Fingering
-I	Gmaj7	E form	6th string	3�2�0�0�0�2
-ii	Am7	Em form	5th string	0�0�2�0�1�0
-iii	Bm7	Am form	5th string	x�2�0�2�0�2
-IV	Cmaj7	A form	5th string	x�3�2�0�0�0
-V	D7	D form	4th string	x�x�0�2�1�2
-vi	Em7	E form	6th string	0�2�0�0�0�0
-vii	F#�7	Am form	6th string	2�x�2�2�1�x
+I	Gmaj7	E form	6th string	3�2�0�0�0�2
+ii	Am7	Em form	5th string	0�0�2�0�1�0
+iii	Bm7	Am form	5th string	x�2�0�2�0�2
+IV	Cmaj7	A form	5th string	x�3�2�0�0�0
+V	D7	D form	4th string	x�x�0�2�1�2
+vi	Em7	E form	6th string	0�2�0�0�0�0
+vii	F#�7	Am form	6th string	2�x�2�2�1�x
 
 
 
 1. Intervals
 Understand and recognize intervals on the fretboard (2nds, 3rds, 4ths, 5ths, 6ths, 7ths, octaves).
-Practice hearing intervals in songs�this trains your aural skills for RAG.
+Practice hearing intervals in songs�this trains your aural skills for RAG.
 2. Chord Shapes
 Major, minor, dominant 7th, minor 7th, major 7th, minor 7th flat five.
-Learn common inversions and movable shapes�so you can play them anywhere on the neck.
+Learn common inversions and movable shapes�so you can play them anywhere on the neck.
 Recognize these shapes in songs (like we saw in the examples).
 3. Scales
 Major, minor, pentatonic, and blues scales.
@@ -1224,22 +1071,22 @@ Learn intervallic relationships in scales (e.g., stacking in thirds).
 Play chord progressions and melodies in different keys.
 Practice sight-reading and ear recognition with these shapes and intervals.
 
-CAGED System with 7ths � Guitar Reference
+CAGED System with 7ths � Guitar Reference
 Chord Pattern Key of G
 Chord Type	Chord Name	Common Forms	Notes / Fret Positions (Guitar)	Example Songs
-Imaj7	Gmaj7	Open / G Form / E Form / D Form / C Form	Various positions across frets	"Fire and Rain" � James Taylor, "Under the Bridge" � Red Hot Chili Peppers, "Best of My Love" � Eagles
-iimin7	Am7	Open / Em Form	Across frets 5�8	"Change the World" � Eric Clapton, "Killing in the Name" � Rage Against the Machine
-iiimin7	Bm7	Same shape as ii	Across frets 3�7	"Daughters" � John Mayer, "Do Right" � Jimmie's Chicken Shack
-IVmaj7	Cmaj7	Open / C Form / A Form / E Form / D Form / G Form	Across frets 3�10	"Dust in the Wind" � Kansas, "Plush" � Stone Temple Pilots, "Riviera Paradise" � Stevie Ray Vaughan
-V7	D7	Open / C Form / A Form / G Form / E Form	Across frets 1�12	"Margaritaville" � Jimmy Buffett, "Born on the Bayou" � CCR, "Pride and Joy" � Stevie Ray Vaughan
-vimin7	Em7	Open / Em Form	Frets 0�7	"Eye of the Tiger" � Survivor, "Fly Like an Eagle" � Steve Miller Band
-viimin7b5	F#7b5	Em Form / Am Form	Frets 2�10	"The Hook" � Blues Traveler, "Say It Ain�t So" � Weezer
+Imaj7	Gmaj7	Open / G Form / E Form / D Form / C Form	Various positions across frets	"Fire and Rain" � James Taylor, "Under the Bridge" � Red Hot Chili Peppers, "Best of My Love" � Eagles
+iimin7	Am7	Open / Em Form	Across frets 5�8	"Change the World" � Eric Clapton, "Killing in the Name" � Rage Against the Machine
+iiimin7	Bm7	Same shape as ii	Across frets 3�7	"Daughters" � John Mayer, "Do Right" � Jimmie's Chicken Shack
+IVmaj7	Cmaj7	Open / C Form / A Form / E Form / D Form / G Form	Across frets 3�10	"Dust in the Wind" � Kansas, "Plush" � Stone Temple Pilots, "Riviera Paradise" � Stevie Ray Vaughan
+V7	D7	Open / C Form / A Form / G Form / E Form	Across frets 1�12	"Margaritaville" � Jimmy Buffett, "Born on the Bayou" � CCR, "Pride and Joy" � Stevie Ray Vaughan
+vimin7	Em7	Open / Em Form	Frets 0�7	"Eye of the Tiger" � Survivor, "Fly Like an Eagle" � Steve Miller Band
+viimin7b5	F#7b5	Em Form / Am Form	Frets 2�10	"The Hook" � Blues Traveler, "Say It Ain�t So" � Weezer
 How to Read This Table
-Chord Type � Tells you if it�s major 7, minor 7, dominant 7, or minor 7 flat 5.
-Chord Name � Standard chord notation.
-Common Forms � Shows which CAGED forms are commonly used for this chord.
-Notes / Fret Positions � Simplified overview of fretboard locations.
-Example Songs � Songs that use the chord shape; aural reference for RAG practice.
+Chord Type � Tells you if it�s major 7, minor 7, dominant 7, or minor 7 flat 5.
+Chord Name � Standard chord notation.
+Common Forms � Shows which CAGED forms are commonly used for this chord.
+Notes / Fret Positions � Simplified overview of fretboard locations.
+Example Songs � Songs that use the chord shape; aural reference for RAG practice.
 Tips for Practice
 Use the CAGED system to move shapes across the neck.
 Pay attention to the 7th interval placement relative to the root note.
@@ -1248,29 +1095,29 @@ Muting strings where necessary for clean octave and 7th sounds.
 Apply in real songs to combine sight, aural, and physical skills.
 
 
-Guitar Chord Extensions � 7ths, 9ths, and Suspended 4ths
+Guitar Chord Extensions � 7ths, 9ths, and Suspended 4ths
 Minor 7 / Minor 7 Flat 5 (m7 / m7b5)
 Chord	CAGED Form	Example Songs
-Em7	Em Form	"Eye of the Tiger" � Survivor (Intro), "Fly Like an Eagle" � Steve Miller Band (Intro), "Cold Shot" � Stevie Ray Vaughan
-Em7 (ver. 2)	Am Form	"Change the World" � Eric Clapton (Chorus), "Long Train Running" � Doobie Brothers (Intro/Verse)
-Bm7	Cm Form	"Daughters" � John Mayer (Intro/Verse)
-F#7b5	Em / Am Form	"Change the World" � Eric Clapton (Chorus), "Smooth" � Santana, "I Will Survive" � Gloria Gaynor
+Em7	Em Form	"Eye of the Tiger" � Survivor (Intro), "Fly Like an Eagle" � Steve Miller Band (Intro), "Cold Shot" � Stevie Ray Vaughan
+Em7 (ver. 2)	Am Form	"Change the World" � Eric Clapton (Chorus), "Long Train Running" � Doobie Brothers (Intro/Verse)
+Bm7	Cm Form	"Daughters" � John Mayer (Intro/Verse)
+F#7b5	Em / Am Form	"Change the World" � Eric Clapton (Chorus), "Smooth" � Santana, "I Will Survive" � Gloria Gaynor
 Major 7th (maj7) Chords
 Chord	CAGED Form	Example Songs
-Fmaj7	E Form	"Space Oddity" � David Bowie, "Best of My Love" � Eagles, "Just Remember I Love You" � Firefall, "What It�s Like" � Everlast
-Fmaj7	A Form	"Band on the Run" � Wings, "Stairway to Heaven" � Led Zeppelin, "Dreams" � Fleetwood Mac, "One" � U2
-F#maj7	G Form	"Tighten Up, Pt. 1" � Archie Bell & The Drells
+Fmaj7	E Form	"Space Oddity" � David Bowie, "Best of My Love" � Eagles, "Just Remember I Love You" � Firefall, "What It�s Like" � Everlast
+Fmaj7	A Form	"Band on the Run" � Wings, "Stairway to Heaven" � Led Zeppelin, "Dreams" � Fleetwood Mac, "One" � U2
+F#maj7	G Form	"Tighten Up, Pt. 1" � Archie Bell & The Drells
 
 Tips:
 
 E Form: barre at the first fret, open first string gives 7th.
-A Form: barre across frets 5�8; root on 5th string.
+A Form: barre across frets 5�8; root on 5th string.
 G Form: root on 6th string; full barre optional.
-Adding Other Intervals � 9ths (Add9 / @9)
+Adding Other Intervals � 9ths (Add9 / @9)
 Chord	Form	Notes	Example Songs
-Gadd9 / G@9	G Form	Root + 2nd (A) + 3rd + 5th	"Good Riddance (Time of Your Life)" � Green Day, "Sweet Home Alabama" � Lynyrd Skynyrd
-Cadd9 / C@9	A / D Form	Root + 2nd + 3rd + 5th	"Take a Picture" � Filter, "Summer of '69" � Bryan Adams, "Ana�s Song (Open Fire)" � Silverchair
-Eadd9 / E@9	Open Form	Root + 2nd + 3rd + 5th	"Every Breath You Take" � The Police, "Message in a Bottle" � The Police
+Gadd9 / G@9	G Form	Root + 2nd (A) + 3rd + 5th	"Good Riddance (Time of Your Life)" � Green Day, "Sweet Home Alabama" � Lynyrd Skynyrd
+Cadd9 / C@9	A / D Form	Root + 2nd + 3rd + 5th	"Take a Picture" � Filter, "Summer of '69" � Bryan Adams, "Ana�s Song (Open Fire)" � Silverchair
+Eadd9 / E@9	Open Form	Root + 2nd + 3rd + 5th	"Every Breath You Take" � The Police, "Message in a Bottle" � The Police
 
 Tips:
 
@@ -1290,19 +1137,19 @@ Practice Notes
 Combine CAGED shapes with 7ths, 9ths, and sus4 for fluid fretboard movement.
 Experiment with octave displacement of intervals (e.g., 9th or 7th) for new voicings.
 Apply these shapes directly to songs listed to internalize voicings and transitions.
-Use RAG approach: Root-Anchor-Guideline � locate root, build intervals, move through shapes.
+Use RAG approach: Root-Anchor-Guideline � locate root, build intervals, move through shapes.
 
 
 
 Guitar Chord Extensions & Suspensions
 Suspended 4ths (sus4)
 Chord	Form	Example Songs
-Gsus4	E Form	"Gsus4" � Pearl Jam, "Jack and Diane" � John Mellencamp, "Margaritaville" � Jimmy Buffett
-Gsus4	E Form ver. 2	"Yellow Ledbetter" � Pearl Jam
-Asus4	Open / E Form	"Every Breath You Take" � The Police, "Get Down Tonight" � KC & The Sunshine Band, "Everyday" � Dave Matthews Band
-Bsus4	A Form	"Eye of the Tiger" � Survivor, "Summer of �69" � Bryan Adams
-Dsus4	Open / D Form	"Tears in Heaven" � Eric Clapton, "Can't You See" � Marshall Tucker Band, "Take a Picture" � Filter
-Csus4	C Form	"Castles Made of Sand" � Jimi Hendrix
+Gsus4	E Form	"Gsus4" � Pearl Jam, "Jack and Diane" � John Mellencamp, "Margaritaville" � Jimmy Buffett
+Gsus4	E Form ver. 2	"Yellow Ledbetter" � Pearl Jam
+Asus4	Open / E Form	"Every Breath You Take" � The Police, "Get Down Tonight" � KC & The Sunshine Band, "Everyday" � Dave Matthews Band
+Bsus4	A Form	"Eye of the Tiger" � Survivor, "Summer of �69" � Bryan Adams
+Dsus4	Open / D Form	"Tears in Heaven" � Eric Clapton, "Can't You See" � Marshall Tucker Band, "Take a Picture" � Filter
+Csus4	C Form	"Castles Made of Sand" � Jimi Hendrix
 
 Tips:
 
@@ -1311,20 +1158,20 @@ Can be applied in any CAGED form.
 Visualize the root even if omitted in partial chord shapes.
 Other Chord Extensions
 Chord Type	Intervals (Major Scale)	Example Songs
-Major	1 � 3 � 5	I, IV, V chords
-Minor	1 � b3 � 5	ii, iii, vi chords
-Minor 7	1 � b3 � 5 � b7	ii, iii, vi chords
-Minor Flat Five (Half Diminished)	1 � b3 � b5 � b7	vii chords, e.g., "Oye Como Va" � Santana
-Dominant 7	1 � 3 � 5 � b7	V chords, e.g., "Jump, Jive & Wail" � Brian Setzer Orchestra
-Major 7	1 � 3 � 5 � 7	I, IV chords, e.g., "Tore Down" � Stevie Ray Vaughan, "Jeff's Boogie" � Jeff Beck
-Add9	1 � 3 � 5 � 9	I, IV, V chords, e.g., "Cult of Personality" � Living Colour
-Major 6	1 � 3 � 5 � 6	I, IV, V chords, e.g., "Play That Funky Music" � Wild Cherry
-Minor 6	1 � b3 � 5 � 6	ii chords, e.g., "Come On (Part II)" � Jimi Hendrix
+Major	1 � 3 � 5	I, IV, V chords
+Minor	1 � b3 � 5	ii, iii, vi chords
+Minor 7	1 � b3 � 5 � b7	ii, iii, vi chords
+Minor Flat Five (Half Diminished)	1 � b3 � b5 � b7	vii chords, e.g., "Oye Como Va" � Santana
+Dominant 7	1 � 3 � 5 � b7	V chords, e.g., "Jump, Jive & Wail" � Brian Setzer Orchestra
+Major 7	1 � 3 � 5 � 7	I, IV chords, e.g., "Tore Down" � Stevie Ray Vaughan, "Jeff's Boogie" � Jeff Beck
+Add9	1 � 3 � 5 � 9	I, IV, V chords, e.g., "Cult of Personality" � Living Colour
+Major 6	1 � 3 � 5 � 6	I, IV, V chords, e.g., "Play That Funky Music" � Wild Cherry
+Minor 6	1 � b3 � 5 � 6	ii chords, e.g., "Come On (Part II)" � Jimi Hendrix
 
 Tips:
 
 For add9 chords, the 9th is often two octaves above the root.
-Minor 7b5 adds a half-diminished sound; great for ii�7 or vii�7 progressions.
+Minor 7b5 adds a half-diminished sound; great for ii�7 or vii�7 progressions.
 Visualize the chord shape and root note even if you omit strings for ease of playing.
 Example Song References by Chord Type
 Chord / Form	Song	Artist
@@ -1343,15 +1190,15 @@ Combine sus4 shapes with 7ths and 9ths to expand voicing options.
 Use CAGED mapping to visualize the same chord across the fretboard.
 Experiment with partial chords and root displacement for stylistic variations.
 
-Ultimate Guitar Chord Extensions & CAGED Handbook � Final Section
+Ultimate Guitar Chord Extensions & CAGED Handbook � Final Section
 8. Advanced Chord Extensions
 Chord Type	Intervals	Example Songs
-Minor Add9	1-b3-5-9	"Cult of Personality" � Living Colour
-Major 9	1-3-5-7-9	"Change the World" � Eric Clapton
-Minor 9	1-b3-5-b7-9	"Drive" � Incubus, "Lie in Our Graves" � Dave Matthews Band
+Minor Add9	1-b3-5-9	"Cult of Personality" � Living Colour
+Major 9	1-3-5-7-9	"Change the World" � Eric Clapton
+Minor 9	1-b3-5-b7-9	"Drive" � Incubus, "Lie in Our Graves" � Dave Matthews Band
 Dominant 9	1-3-5-b7-9	General V chord extensions
-Major 6	1-3-5-6	"Play That Funky Music" � Wild Cherry
-Minor 6	1-b3-5-6	"Come On (Part II)" � Hendrix
+Major 6	1-3-5-6	"Play That Funky Music" � Wild Cherry
+Minor 6	1-b3-5-6	"Come On (Part II)" � Hendrix
 
 Tip: Experiment across CAGED positions to find voicings that suit your style.
 
@@ -1359,15 +1206,15 @@ Tip: Experiment across CAGED positions to find voicings that suit your style.
 
 Popular jazz-inspired guitar songs demonstrate how to use extended chords:
 
-"Moondance" � Van Morrison
-"Stormy Monday" � The Allman Brothers Band
-"Let's Stay Together" � Al Green
-"Ooh Baby Baby" � Linda Ronstadt
-"Don't Know Why" � Norah Jones
-"It's Too Late" � Carole King
-"You've Got a Friend" � James Taylor
+"Moondance" � Van Morrison
+"Stormy Monday" � The Allman Brothers Band
+"Let's Stay Together" � Al Green
+"Ooh Baby Baby" � Linda Ronstadt
+"Don't Know Why" � Norah Jones
+"It's Too Late" � Carole King
+"You've Got a Friend" � James Taylor
 
-Jazz Standards: "Misty," "Satin Doll," "Summertime" � great for practicing 7ths, 9ths, and suspended chords.
+Jazz Standards: "Misty," "Satin Doll," "Summertime" � great for practicing 7ths, 9ths, and suspended chords.
 
 10. Key Practice Principles
 Visualize
@@ -1395,16 +1242,16 @@ Work through song examples until you can transpose, improvise, and compose confi
 Explore standard musical notation and pitch/time relationships for deeper theory.
 Jam with others, record, and perform to internalize concepts.
 Essential Mindset
-Play until your fingers bleed � repetition builds instinctive knowledge.
+Play until your fingers bleed � repetition builds instinctive knowledge.
 Focus on visualization, pattern recognition, and real-song application.
 Theory is only meaningful when applied musically.
-13. Chord Reference Table � CAGED Forms & Extensions
+13. Chord Reference Table � CAGED Forms & Extensions
 Form	Root	Chord	Extension	Song Example
-C Form	C	Major	sus4, add9	"Castles Made of Sand" � Hendrix
-A Form	A	Major	sus4, add9	"Summer of �69" � Bryan Adams
-G Form	G	Major	sus4, add9	"Little Wing" � Hendrix
-E Form	E	Major	sus4, 7, 9	"Every Breath You Take" � Police
-D Form	D	Major	sus4, add9	"Can't You See" � Marshall Tucker Band
+C Form	C	Major	sus4, add9	"Castles Made of Sand" � Hendrix
+A Form	A	Major	sus4, add9	"Summer of �69" � Bryan Adams
+G Form	G	Major	sus4, add9	"Little Wing" � Hendrix
+E Form	E	Major	sus4, 7, 9	"Every Breath You Take" � Police
+D Form	D	Major	sus4, add9	"Can't You See" � Marshall Tucker Band
 
 Tip: All shapes can host 7ths, 9ths, 6ths, minor 7b5, and suspended variations.
 
diff --git a/Books/Music/Theory/Jazz Theory.txt b/Books/Music/Theory/Jazz Theory.txt
deleted file mode 100644
index fad75b0..0000000
--- a/Books/Music/Theory/Jazz Theory.txt	
+++ /dev/null
@@ -1,4300 +0,0 @@
-Jazz Theory Handbook – Section 1: Overview & Structure
-1. Purpose of the System
-
-Jazz Theory: From Basic to Advanced Study is a comprehensive system designed to bridge:
-
-Theory → Practice
-Analysis → Performance
-Knowledge → Improvisation
-
-It integrates:
-
-Music theory fundamentals
-Ear training
-Keyboard/guitar application
-Improvisation techniques
-2. Core Learning Model
-Integrated Skill Development
-Skill Area	Description	Application
-Theory	Scales, chords, harmony	Understanding structure
-Ear Training	Recognition, dictation	Internalizing sound
-Instrument Skills	Keyboard / Guitar	Practical execution
-Improvisation	Real-time creation	Musical expression
-3. Content Architecture (Cleaned & Structured)
-PART I – BASICS
-1. Music Fundamentals
-Pitch
-Major & minor scales
-Key signatures
-Rhythm & meter
-Intervals (and inversions)
-Triads & suspended chords
-
-RAG Tags:
-fundamentals, scales, intervals, triads, rhythm
-
-2. Jazz Rhythm
-Swing feel
-Syncopation
-Phrasing
-Timing with metronome
-
-RAG Tags:
-rhythm, swing, syncopation, phrasing
-
-3. Harmonic Function
-Functional tonality
-Roman numeral analysis
-Major/minor key harmony
-Voice leading basics
-
-RAG Tags:
-functional_harmony, roman_numerals, voice_leading
-
-4. Four-Part Chords
-Jazz harmony structure
-Chord categories:
-Major
-Minor
-Dominant
-Intermediary
-Inversions
-Drop 2 voicings
-
-RAG Tags:
-7th_chords, drop2, voicings, chord_categories
-
-5. Five-Part Chords (Extensions)
-Chord extensions (9, 11, 13)
-Extended chord categories
-Suspended dominant chords
-Voicing positions
-
-RAG Tags:
-extensions, 9th, 11th, 13th, extended_harmony
-
-6. ii–V–I Progression
-Core jazz progression
-Major and minor variations
-Secondary dominants
-Diminished chord function
-Core Progression Table (System Format)
-Degree | Function       | Chord | Quality | Notes
-ii     | Predominant    | Am7   | Minor 7 | Dorian scale
-V      | Dominant       | D7    | Dom7    | Mixolydian / altered options
-I      | Tonic          | Gmaj7 | Major 7 | Resolution target
-
-RAG Tags:
-ii-V-I, progression, functional_harmony, dominant_resolution
-
-7. Modes
-Diatonic modes:
-Ionian, Dorian, Phrygian
-Lydian, Mixolydian
-Aeolian, Locrian
-Chromatic modes:
-Melodic minor modes
-Altered scale
-Lydian dominant
-Locrian ♮2
-Mode → Function Mapping
-Mode        | Chord Type | Function
-Ionian      | Maj7       | Tonic
-Dorian      | m7         | ii chord
-Mixolydian  | 7          | Dominant
-Lydian      | Maj7#11    | Tonic (modern)
-Locrian     | m7b5       | vii chord
-Altered     | 7alt       | Altered dominant
-
-RAG Tags:
-modes, scale_chord_relationship, melodic_minor, altered_scale
-
-8. Chord–Scale Theory
-Matching scales to chords
-Categories:
-Major
-Minor
-Dominant
-Suspended
-Intermediary
-Chord–Scale Example Table
-Chord | Scale | Function | Notes
-Cmaj7 | Ionian / Lydian | Tonic | Lydian avoids avoid-note (4)
-Dm7   | Dorian          | ii    | Minor function
-G7    | Mixolydian      | V     | Can alter tensions
-
-RAG Tags:
-chord_scale, improvisation, scale_selection
-
-9. The Blues
-12-bar structure
-Call & response
-Blues scale (major & minor)
-Jazz blues harmony
-Basic Blues Framework
-Bar Range | Function | Chord Example (Key of C)
-1–4       | Tonic    | C7
-5–6       | Subdom   | F7
-7–8       | Tonic    | C7
-9         | Dominant | G7
-10        | Subdom   | F7
-11–12     | Turnaround | C7 → G7
-
-RAG Tags:
-blues, 12_bar, turnaround, call_response
-
-10. Improvisation
-Guide tones (3rds & 7ths)
-Motivic development
-Rhythmic phrasing
-Blues language
-Guide Tone Concept
-Chord | Guide Tones | Function
-Dm7   | F, C        | Minor color
-G7    | B, F        | Tension (tritone)
-Cmaj7 | E, B        | Resolution
-
-RAG Tags:
-guide_tones, voice_leading, improvisation
-
-PART II – INTERMEDIATE
-11. Lead Sheet Analysis
-Structural analysis
-Harmonic interpretation
-Example tunes:
-"My Romance"
-"All the Things You Are"
-
-RAG Tags:
-lead_sheet, analysis, form
-
-12. Keyboard Textures
-Comping styles
-Voicing systems
-Texture models
-
-RAG Tags:
-comping, voicings, texture
-
-13. Idiomatic Jazz Progressions
-Tritone substitution
-Turnarounds
-Cycle of dominants
-Coltrane changes
-Turnaround Example
-Degree | Chord | Function
-I      | Cmaj7 | Tonic
-vi     | Am7   | Tonic prolongation
-ii     | Dm7   | Predominant
-V      | G7    | Dominant
-Tritone Substitution
-Original | Substitute | Reason
-G7       | Db7        | Same tritone (B–F)
-
-RAG Tags:
-tritone_substitution, turnaround, cycle_of_fifths, coltrane_changes
-
-What This Chunk Adds to Your System
-
-This section establishes:
-
-✅ The full conceptual map of jazz theory
-✅ A hierarchical learning structure
-✅ Core progressions, modes, and chord systems
-✅ A consistent table + fingering-ready format foundation
-
-🎷 Jazz Theory Handbook (Cleaned + RAG-Optimized)
-Part 0 — Overview & Structure
-📘 Core Text
-
-Jazz Theory: From Basic to Advanced Study
-Author: Dariusz Terefenko
-
-🔑 Purpose of the System
-
-This method is designed to bridge theory and practice by integrating:
-
-Music theory
-Ear training
-Keyboard skills
-Improvisation
-🎯 Primary Goal
-
-Develop practical improvisational ability, not just theoretical knowledge.
-
-🧠 RAG Tags
-
-jazz theory improvisation ear training functional harmony chord-scale theory jazz curriculum music pedagogy
-
-🧱 System Architecture
-📚 Three-Tier Learning Structure
-1. 🟢 Part One — Basics
-
-Focus: Foundations of jazz and music theory
-
-Core Topics
-Music Fundamentals
-Jazz Rhythm
-Harmonic Function
-Four-Part & Five-Part Chords
-II–V–I Progression
-Modes
-Chord–Scale Theory
-Blues
-Improvisation
-RAG Tags
-
-fundamentals intervals triads ii-V-I modes blues guide tones basic improvisation
-
-2. 🟡 Part Two — Intermediate
-
-Focus: Language of jazz harmony & vocabulary
-
-Core Topics
-Lead Sheets
-Keyboard Textures
-Jazz Progressions
-Voicings (Drop 2, Rootless)
-Bebop Language
-Octatonic Scales
-Bebop Blues
-Tune Analysis
-“Confirmation”
-“Moose the Mooche”
-RAG Tags
-
-bebop voicings rootless chords tritone substitution turnarounds octatonic scale jazz standards analysis
-
-3. 🔴 Part Three — Advanced
-
-Focus: Modern harmony, structure, and abstraction
-
-Core Topics
-Pentatonics & Hexatonics
-Phrase Models
-Song Forms (AABA, ABAC)
-Reharmonization
-Advanced Improvisation
-Post-Tonal Jazz
-RAG Tags
-
-reharmonization advanced harmony pentatonics phrase development post-tonal set theory
-
-🎹 Core Pedagogical Model
-🔁 Theory → Practice Loop
-Learning Process
-Understand concept
-Apply on instrument
-Train ear
-Improvise
-Create
-RAG Tags
-
-practice workflow theory to practice ear training loop improvisation method
-
-🎧 Practice System
-🎼 Play-Along Training (46 Tracks)
-Key Features
-Performed in 12 keys
-Multiple ensembles:
-Piano Trio
-Guitar Trio
-Hammond B-3 Trio
-Variable:
-Tempo
-Feel
-Comping style
-Practice Strategy
-Start with:
-Guide tones (3rd, 7th)
-“Beauty notes” (extensions)
-Then:
-Motifs → Transposition → Development
-End with:
-Free improvisation
-RAG Tags
-
-play along practice 12 keys training guide tones motivic development jazz improvisation drills
-
-🎼 Core Musical Concepts (Global Index)
-🎵 Harmony
-Functional Tonality
-Chord Categories:
-Major
-Minor
-Dominant
-Half-Diminished
-Diminished
-RAG Tags
-
-functional harmony chord categories jazz chords
-
-🎶 Progressions
-II–V–I
-Turnarounds
-Cycle of Dominants
-RAG Tags
-
-ii-V-I turnaround progression cycle of fifths
-
-🎹 Voicings
-Drop 2
-Rootless Voicings
-Upper-Structure Triads
-RAG Tags
-
-drop 2 voicing rootless voicing upper structure triads
-
-🎷 Improvisation Systems
-Four Core Styles
-Blues
-Modal
-Bebop
-“Tristano” style
-
-Associated with:
-
-Lennie Tristano
-RAG Tags
-
-bebop improvisation modal jazz blues improvisation linear improvisation
-
-🎼 Repertoire Development
-🎵 Standard Tunes (Examples Referenced)
-“Autumn Leaves”
-“All the Things You Are”
-“Stella By Starlight”
-“Have You Met Miss Jones?”
-🎷 Bebop Tunes
-“Confirmation”
-“Moose the Mooche”
-
-Associated with:
-
-Charlie Parker
-RAG Tags
-
-jazz standards bebop repertoire contrafacts rhythm changes
-
-🧠 Ear Training System
-Core Skills
-Interval recognition
-Chord quality identification
-Harmonic dictation
-Rhythm dictation
-Set-class identification
-Principle
-
-You must hear it before you can play it.
-
-RAG Tags
-
-ear training interval recognition harmonic dictation audiation
-
-🎯 Key Philosophy
-“Theory Is a Means to an End”
-Theory → Improvisation
-Knowledge → Sound
-Analysis → Expression
-🧩 Structural Insight (Important for RAG)
-Knowledge Dependencies
-Must Learn First:
-Intervals
-Triads
-7th chords
-Before:
-Extensions
-Modes
-Reharmonization
-RAG Tags
-
-learning order theory progression dependency graph
-
-🔧 Future Formatting Opportunities (Your Table Idea)
-
-You were absolutely right—this structure will shine later when we hit sections like:
-
-Example (future use)
-Degree	Chord	Function	Scale	Voicing	Fingering
-ii	Dm7	Pre-dominant	D Dorian	Drop 2	x-5-3-5-6-x
-
-We’ll apply this heavily in:
-
-II–V–I chapter
-Voicings chapter
-Chord-scale theory
-
-
-
-🎼 Jazz Theory Handbook (Cleaned + Tagged)
-Part I — Foundations
-📘 1. Music Fundamentals
-🔑 Overview
-
-This chapter establishes the core building blocks of music theory:
-
-Pitch & notation
-Scales (major & minor)
-Rhythm & meter
-Intervals & triads
-🧠 Core Concepts (RAG Tags)
-
-#pitch #notation #major_scale #minor_scale
-#intervals #triads #rhythm #meter #time_signature
-#diatonic #chromatic #enharmonic
-
-🎵 Pitch
-Definition
-
-Pitch = perceived highness or lowness of a sound.
-
-Key Principles
-Concept	Description
-Note Names	A B C D E F G
-Accidentals	♯ (sharp), ♭ (flat), ♮ (natural)
-Enharmonic	Same pitch, different name (C♯ = D♭)
-Octave	Same note, higher/lower register
-Octave Equivalence	Notes with same letter share identity
-🎹 Keyboard Layout Concept
-Left → Low pitch
-Right → High pitch
-Repeating pattern of 12 tones
-🧠 Tags
-
-#pitch_system #enharmonic_equivalence #octave
-
-🎼 Notation System
-Staff Structure
-Element	Description
-Staff	5 lines + 4 spaces
-Clefs	Treble (high), Bass (low)
-Grand Staff	Treble + Bass combined
-Ledger Lines	Extend range beyond staff
-🧠 Tags
-
-#staff #clef #grand_staff #notation
-
-🎵 Intervals
-Definition
-
-Distance between two pitches.
-
-Interval Types
-Category	Examples
-Perfect	Unison, 4th, 5th, Octave
-Major	2nd, 3rd, 6th, 7th
-Minor	Lowered major intervals
-Augmented	Raised
-Diminished	Lowered
-Inversion Rule
-Original	Inversion
-2nd	7th
-3rd	6th
-4th	5th
-
-Rule:
-
-Numbers add to 9
-Quality flips (Major ↔ Minor)
-🧠 Tags
-
-#intervals #interval_inversion
-
-🎼 Major Scales
-Formula
-
-Whole–Whole–Half–Whole–Whole–Whole–Half
-(W–W–H–W–W–W–H)
-
-Example Structure
-Degree	Function
-1	Root
-2	Supertonic
-3	Mediant
-4	Subdominant
-5	Dominant
-6	Submediant
-7	Leading Tone
-Key Insight
-12 total major scales
-Each follows identical interval pattern
-🧠 Tags
-
-#major_scale #scale_formula #diatonic_system
-
-🎼 Key Signatures
-Purpose
-
-Define scale using accidentals at the start of staff
-
-Sharp Keys Pattern
-Key	Sharps
-G	F♯
-D	F♯ C♯
-A	F♯ C♯ G♯
-E	F♯ C♯ G♯ D♯
-Flat Keys Pattern
-Key	Flats
-F	B♭
-B♭	B♭ E♭
-E♭	B♭ E♭ A♭
-🧠 Tags
-
-#key_signature #circle_of_fifths
-
-🎼 Minor Scales
-Three Forms
-Type	Formula	Key Feature
-Natural Minor	W–H–W–W–H–W–W	Base form
-Harmonic Minor	Raised 7th	Strong resolution
-Melodic Minor	Raised 6th & 7th (ascending)	Smooth melody
-Example Structure (A Minor)
-Type	Notes
-Natural	A B C D E F G
-Harmonic	A B C D E F G♯
-Melodic ↑	A B C D E F♯ G♯
-Melodic ↓	A B C D E F G
-Relative Keys
-Major	Relative Minor
-C	A minor
-G	E minor
-F	D minor
-🧠 Tags
-
-#minor_scale #harmonic_minor #melodic_minor #relative_keys
-
-🥁 Rhythm
-Core Idea
-
-Rhythm = duration of sound over time
-
-Note Value System
-Note	Value
-Whole	4 beats
-Half	2 beats
-Quarter	1 beat
-Eighth	1/2 beat
-Modifiers
-Element	Effect
-Dot	Adds 50% value
-Tie	Combines durations
-Tuplet	Divides unevenly (triplets, etc.)
-🧠 Tags
-
-#rhythm #note_values #tuplets
-
-🥁 Meter & Time Signatures
-Meter Types
-Type	Pattern
-Duple	Strong–Weak
-Triple	Strong–Weak–Weak
-Quadruple	Strong–Weak–Medium–Weak
-Time Signature Structure
-Type	Meaning
-Top Number	Beats per measure
-Bottom Number	Beat unit
-Types of Time
-Category	Example
-Simple	4/4, 3/4
-Compound	6/8, 9/8
-Irregular	5/4, 7/8
-🧠 Tags
-
-#meter #time_signature #simple_meter #compound_meter
-
-🎵 Triads
-Formula-Based Construction
-Type	Formula	Sound
-Major	1–3–5	Stable
-Minor	1–♭3–5	Dark
-Diminished	1–♭3–♭5	Tense
-Augmented	1–3–♯5	Unstable
-Suspended	1–4–5	Open
-Inversions
-Position	Bass Note
-Root	Root
-1st inversion	3rd
-2nd inversion	5th
-🧠 Tags
-
-#triads #chord_construction #inversions
-
-🔗 System Integration Insight
-🎯 Core Principle
-
-All advanced jazz theory concepts derive from:
-
-Major scale
-Interval relationships
-Chord construction
-🧱 Optional Structured Format (Your Preferred Style)
-
-Here’s a preview of how we can extend your CAGED-style chord table idea into theory:
-
-Major Scale System (Example: C Major)
-Degree	Chord	Function	Quality	Formula
-I	Cmaj7	Tonic	Major	1–3–5–7
-ii	Dm7	Predominant	Minor	1–♭3–5–♭7
-iii	Em7	Tonic	Minor	1–♭3–5–♭7
-IV	Fmaj7	Predominant	Major	1–3–5–7
-V	G7	Dominant	Dominant	1–3–5–♭7
-vi	Am7	Tonic	Minor	1–♭3–5–♭7
-viiø	Bm7♭5	Dominant	Half-dim	1–♭3–♭5–♭7
-💡 Why This Works (Your Idea — Confirmed)
-
-Your structured header format is extremely powerful because it:
-
-Bridges theory ↔ fretboard
-Makes RAG retrieval precise
-Supports progression-based thinking
-Prepares for II–V–I, modal, and reharm chapters
-
-🎼 Jazz Theory Handbook (Draft)
-Based on Jazz Theory: From Basic to Advanced Study by Dariusz Terefenko
-📘 OVERVIEW
-🎯 Purpose
-
-Jazz Theory Handbook is a structured system for learning and applying jazz theory—from fundamentals to advanced concepts—with a constant emphasis on:
-
-Theory → Practice integration
-Ear training
-Improvisation
-Keyboard and instrumental fluency
-🧠 Core Pedagogical Model
-
-[TAG: pedagogy | theory-practice-loop]
-
-Learn concept
-Hear concept
-Play concept
-Apply in improvisation
-Expand creatively
-📚 Curriculum Structure
-PART I — BASICS
-
-[TAG: level | beginner]
-
-Music Fundamentals
-Jazz Rhythm
-Harmonic Function
-Chord Construction
-II–V–I Progression
-Modes
-Chord–Scale Theory
-Blues
-Improvisation
-PART II — INTERMEDIATE
-
-[TAG: level | intermediate]
-
-Lead Sheets
-Voicings
-Bebop Language
-Jazz Progressions
-Repertoire Analysis
-PART III — ADVANCED
-
-[TAG: level | advanced]
-
-Pentatonics / Hexatonics
-Phrase Models
-Song Forms
-Reharmonization
-Post-Tonal Jazz
-🎯 Primary Goal
-
-[TAG: goal | improvisation]
-
-Theory is a means to an end → Improvisational fluency
-
-🎼 Core Improvisation Styles Covered
-
-[TAG: improvisation | styles]
-
-Blues
-Modal
-Bebop
-Tristano-style linear improvisation
-📘 CHAPTER 1 — MUSIC FUNDAMENTALS
-🧠 Chapter Role
-
-[TAG: foundation | essential]
-
-Establishes the core language of music:
-
-Pitch
-Rhythm
-Intervals
-Scales
-Triads
-📌 CORE CONCEPTS INDEX (RAG TAGGING)
-
-[TAG GROUP: fundamentals]
-
-Pitch
-Interval
-Scale
-Key Signature
-Rhythm
-Meter
-Triad
-Inversion
-🎵 PITCH
-
-[TAG: pitch | definition]
-
-Pitch = perceived highness or lowness of sound.
-
-🔑 Key Concepts
-Octave Equivalence
-
-[TAG: pitch | octave-equivalence]
-
-Notes with same letter name sound similar across registers.
-
-Enharmonic Equivalence
-
-[TAG: pitch | enharmonic]
-
-C♯ = D♭
-Same pitch, different spelling
-Whole Step / Half Step
-
-[TAG: intervals | basic-distance]
-
-Type	Definition
-Half Step	Smallest distance (adjacent notes)
-Whole Step	Two half steps
-🎼 NOTATION SYSTEM
-
-[TAG: notation | staff-system]
-
-Staff = 5 lines + 4 spaces
-Clefs define pitch location
-Clefs
-
-[TAG: notation | clefs]
-
-Treble clef → upper register
-Bass clef → lower register
-🎼 MAJOR SCALES
-
-[TAG: scales | major]
-
-Formula
-
-[TAG: scale-formula | major]
-
-Whole – Whole – Half – Whole – Whole – Whole – Half
-
-Key Insight
-
-[TAG: diatonic-system]
-
-All major scales follow identical interval structure.
-
-Total System
-
-[TAG: keys | total]
-
-12 major keys
-Each begins on a different pitch
-🎼 KEY SIGNATURES
-
-[TAG: notation | key-signatures]
-
-Defines which notes are consistently sharp/flat in a key.
-
-Sharp Keys Pattern
-
-[TAG: keys | sharp-order]
-
-F♯ → C♯ → G♯ → D♯ → A♯ → E♯ → B♯
-
-Flat Keys Pattern
-
-[TAG: keys | flat-order]
-
-B♭ → E♭ → A♭ → D♭ → G♭ → C♭
-
-🎼 MINOR SCALES
-
-[TAG: scales | minor-system]
-
-Three Forms
-Type	Alterations
-Natural Minor	None
-Harmonic Minor	♯7
-Melodic Minor	♯6, ♯7 (ascending)
-Critical Insight
-
-[TAG: minor | function]
-
-Minor is not one scale → it is a system of variants
-
-Relative Keys
-
-[TAG: keys | relative]
-
-Major and minor sharing same key signature:
-
-C major ↔ A minor
-G major ↔ E minor
-🥁 RHYTHM
-
-[TAG: rhythm | fundamentals]
-
-Rhythm = organization of time in music.
-
-⏱ Note Values
-
-[TAG: rhythm | durations]
-
-Whole → Half → Quarter → 8th → 16th
-➕ Duration Modifiers
-Device	Function
-Dot	Adds 50% duration
-Tie	Combines durations
-Tuplet	Divides beat irregularly
-🕒 METER & TIME SIGNATURES
-
-[TAG: meter | structure]
-
-Meter Types
-Type	Pattern
-Duple	Strong–Weak
-Triple	Strong–Weak–Weak
-Quadruple	Strong–Weak–Medium–Weak
-Time Signature Types
-
-[TAG: time-signatures]
-
-Simple → beats divide by 2
-Compound → beats divide by 3
-Irregular → asymmetric
-🎵 INTERVALS
-
-[TAG: intervals | core]
-
-Interval = distance between two pitches
-
-Types
-Type	Description
-Melodic	Sequential
-Harmonic	Simultaneous
-Naming System
-
-[TAG: intervals | naming]
-
-Count letter names → determines number
-Count semitones → determines quality
-Interval Qualities
-
-[TAG: intervals | qualities]
-
-Perfect
-Major / Minor
-Augmented
-Diminished
-⚠️ Key Insight
-
-[TAG: intervals | enharmonic-logic]
-
-Same pitch distance ≠ same interval name
-(e.g., A♭–E vs G♯–E)
-
-🔄 INTERVAL INVERSION
-
-[TAG: intervals | inversion]
-
-Rule
-Intervals invert to sum = 9
-Semitones sum = 12
-Original	Inversion
-5th	4th
-3rd	6th
-🎶 TRIADS
-
-[TAG: harmony | triads]
-
-Triad = 3-note chord built in thirds
-
-Types
-Type	Structure
-Major	M3 + m3
-Minor	m3 + M3
-Diminished	m3 + m3
-Augmented	M3 + M3
-🔄 TRIAD INVERSIONS
-
-[TAG: harmony | inversion]
-
-Position	Bass Note
-Root	Root
-1st inversion	3rd
-2nd inversion	5th
-🎼 SUSPENDED TRIADS
-
-[TAG: harmony | suspended]
-
-Replace 3rd with:
-2nd (sus2)
-4th (sus4)
-🎯 Jazz Relevance
-
-[TAG: jazz-harmony | non-tertian]
-
-Suspended chords break strict tertian harmony → essential in jazz textures
-
-📘 CHAPTER 3 — HARMONIC FUNCTION
-🧠 Chapter Role
-
-[TAG: harmony | functional-tonality | core]
-
-Defines how chords behave in context, not just in isolation.
-
-🎯 FUNCTIONAL TONALITY
-
-[TAG: harmony | functional-system]
-
-Functional tonality = a hierarchical system where chords have roles:
-
-Function	Role	Behavior
-Tonic (T)	Stability	Rest, resolution
-Predominant (PD)	Preparation	Moves away from tonic
-Dominant (D)	Tension	Resolves to tonic
-🔑 Core Insight
-
-[TAG: hierarchy | tonic-centric]
-
-All harmonic motion ultimately relates back to the tonic
-
-🔄 Functional Flow
-
-[TAG: progression | canonical]
-
-T → PD → D → T
-
-This is the DNA of tonal harmony
-
-🎧 Jazz-Specific Insight
-
-[TAG: jazz-harmony | divergence]
-
-Same system as classical harmony
-BUT:
-More flexibility
-More extensions
-More substitution
-🎼 TRIADS IN MAJOR KEYS
-
-[TAG: harmony | diatonic-triads | major]
-
-Scale Degree → Chord Quality
-Degree	Name	Quality
-I	Tonic	Major
-ii	Supertonic	Minor
-iii	Mediant	Minor
-IV	Subdominant	Major
-V	Dominant	Major
-vi	Submediant	Minor
-vii°	Leading Tone	Diminished
-🎯 Key Insight
-
-[TAG: harmony | system-completeness]
-
-Major key = 3 chord types only:
-
-Major
-Minor
-Diminished
-🎼 TRIADS IN MINOR KEYS
-
-[TAG: harmony | minor-system | triads]
-
-⚠️ Critical Concept
-
-[TAG: minor | multi-system]
-
-Minor harmony = 3 overlapping systems:
-
-Natural minor
-Harmonic minor
-Melodic minor
-Important Scale Degrees
-Degree	Name
-♭7	Subtonic
-♯7	Leading tone
-♯6	Raised submediant
-🎯 Key Insight
-
-[TAG: harmony | functional-flexibility]
-
-Minor harmony is functionally richer and more ambiguous than major
-
-🧾 NOTATIONAL SYSTEMS
-
-[TAG: notation | systems | comparison]
-
-1. Lead-Sheet Notation
-
-[TAG: notation | chord-symbols]
-
-Strengths
-Precise chord structure
-Performance-ready
-Weakness
-No functional context
-Example Concept
-
-[TAG: slash-chords]
-
-C/E = C chord with E in bass
-2. Roman Numerals
-
-[TAG: analysis | roman-numerals]
-
-Strengths
-Shows function
-Enables transposition
-Weakness
-Abstract
-Reduces chord detail
-Key Rules
-
-[TAG: roman-numerals | syntax]
-
-Uppercase = major
-Lowercase = minor
-° = diminished
-= augmented
-3. Function Symbols
-
-[TAG: analysis | functional-labeling]
-
-Symbol	Meaning
-T	Tonic
-PD	Predominant
-D	Dominant
-🎯 Insight
-
-[TAG: structure | deep-level]
-
-Function symbols describe structural level, not surface detail.
-
-👨‍👩‍👧 FUNCTIONAL FAMILIES
-
-[TAG: harmony | functional-families]
-
-Chords grouped by shared function + behavior
-
-Major Key Families
-Function	Chords
-Tonic	I, vi, iii
-Predominant	ii, IV
-Dominant	V, vii°
-🔄 Core Motion
-
-[TAG: harmonic-motion | fifths]
-
-Descending 5ths = strongest forward motion
-
-Example Progression
-
-[TAG: progression | classic]
-
-I → vi → ii → V → I
-
-🎯 Interpretation Insight
-
-[TAG: tonic-prolongation]
-
-vi often = tonic expansion, not departure
-🎼 CADENCE
-
-[TAG: cadence | resolution]
-
-Definition
-
-Cadence = harmonic confirmation of tonic
-
-Primary Type
-
-[TAG: cadence | authentic]
-
-V → I
-
-🎼 FUNCTIONAL FAMILIES — MINOR
-
-[TAG: harmony | minor-families]
-
-More complex due to mixed scale sources
-
-🎯 Key Insight
-
-[TAG: context-dependence]
-
-A chord’s function depends on context, not just structure
-
-🎵 VOICE LEADING
-
-[TAG: voice-leading | core]
-
-Controls how chords connect smoothly
-
-🎯 Core Principles
-1. Common Tone Retention
-
-[TAG: voice-leading | efficiency]
-
-Keep shared notes between chords
-
-2. Stepwise Motion
-
-[TAG: voice-leading | smoothness]
-
-Prefer small movements
-
-3. Shortest Path
-
-[TAG: voice-leading | optimization]
-
-Minimize motion between chords
-
-🎼 OUTER-VOICE COUNTERPOINT
-
-[TAG: counterpoint | outer-voices]
-
-Focus: Soprano + Bass
-
-🎯 Rules
-Must outline harmony clearly
-Must be melodically interesting
-Prefer contrary motion
-🔄 TYPES OF MOTION
-
-[TAG: motion-types]
-
-Type	Description
-Contrary	Opposite directions (BEST)
-Oblique	One moves, one stays
-Similar	Same direction, different intervals
-Parallel	Same direction, same interval
-🎯 Jazz Insight
-
-[TAG: jazz-voice-leading]
-
-Parallel motion is allowed (unlike classical)
-But still must sound intentional
-🎹 PRACTICAL VOICE-LEADING RULES
-
-[TAG: keyboard | application]
-
-Doubling Rules (Triads)
-Position	Doubling
-Root position	Root
-1st inversion	Root
-2nd inversion	Root or 5th
-
-⚠️ Avoid doubling the 3rd
-
-Leading Tone Rule
-
-[TAG: resolution | leading-tone]
-
-Resolves up by half step
-Preferred Intervals
-
-[TAG: outer-voices | intervals]
-
-3rds and 6ths → strongest harmonic clarity
-🔁 PIVOT CHORDS (MODULATION)
-
-[TAG: modulation | pivot-chords]
-
-Definition
-
-Chord shared between two keys
-
-Types
-Type	Description
-Diatonic	Common to both keys
-Chromatic	Altered for transition
-🎯 Function
-
-Smooth key change
-
-🎼 KEY TAKEAWAYS (CHAPTER 3)
-
-[TAG: summary | harmonic-function]
-
-Harmony is role-based, not just chord-based
-T → PD → D → T is foundational
-Context determines function
-Voice leading = glue of harmony
-📘 CHAPTER 4 — FOUR-PART CHORDS
-🧠 Chapter Role
-
-[TAG: harmony | four-part | foundation]
-
-Introduces core jazz chord structure
-
-🎯 CORE CONCEPT
-
-[TAG: chord-construction | tertian-extension]
-
-Triad + one note = 7th chord (4-part chord)
-
-🎼 ESSENTIAL CHORD TONES
-
-[TAG: chord-tones | essential]
-
-Addition	Result
-6	Sixth chord
-Maj7	Major 7 chord
-min7	Dominant or minor 7
-🎹 EXAMPLE (C ROOT)
-
-[TAG: chord-examples | c-root]
-
-Chord	Structure	Function
-C6	Stable	Tonic
-CMaj7	Stable	Tonic
-C7	Tense	Dominant
-🎯 Critical Insight
-
-[TAG: tritone | dominant-function]
-
-Dominant tension comes from the tritone (3rd + 7th)
-
-🎼 JAZZ HARMONY CHARACTERISTICS
-
-[TAG: jazz-harmony | characteristics]
-
-Accepts dissonance
-Uses extensions freely
-Prioritizes color + motion
-🎯 Key Contrast
-
-[TAG: classical-vs-jazz]
-
-Classical	Jazz
-Resolves dissonance	Embraces dissonance
-Triad-focused	7th chord-based
-🔧 NEXT EVOLUTION (COMING)
-
-We are now perfectly set up to introduce:
-
-Drop 2 voicings
-Rootless voicings
-Guitar/keyboard shapes
-
-👉 This is where your earlier idea becomes powerful:
-
-Example (preview of future integration):
-
-Degree | Chord | Shape | Root String | Fingering
-V | G7 | Drop 2 | 6th string | 3–x–3–4–3–x
-✅ WHAT I IMPROVED IN THIS PASS
-Clarified functional system hierarchy
-Made voice-leading actionable
-Standardized terminology across chapters
-Highlighted jazz vs classical differences
-Prepared structure for instrument integration
-🔥 IMPORTANT QUESTION (NEXT STEP)
-
-We’re about to enter voicings + real jazz harmony, so I need your preference:
-
-When we hit voicings (next chunks), do you want:
-A) Theory-first (current style)
-
-Then add shapes later
-
-B) Integrated (recommended)
-
-Every chord includes:
-
-Function
-Symbol
-Voicing table (like your format)
-Optional guitar/keyboard mapping
-C) Hybrid
-
-Theory section → then “Applied Voicings” section
-
-
-🎹 Big Picture: What Changed in Chapters 4–5?
-
-Up to now:
-
-Triads (3 notes) → basic harmony
-Seventh chords (4 notes) → foundation of jazz harmony
-
-Now:
-
-We expand into categories + function + extensions
-Harmony becomes color + tension + movement
-🔷 1. Four-Part Chords = The Core Vocabulary
-
-There are 14 total, grouped into 4 categories:
-
-🟦 Major Category (Stable / Color Tonic)
-C6
-CMaj7
-CMaj7(♭5)
-CMaj7(♯5)
-
-👉 Key idea:
-
-These are stable, even when altered
-Used for tonic or sometimes predominant
-
-✔ Think: home base with different shades
-
-🟪 Minor Category (Flexible Identity)
-Cmin6
-Cmin(♯7)
-Cmin7
-
-👉 Important:
-
-min7 = context-dependent
-In ii–V–I → predominant
-Elsewhere → often tonic
-
-✔ Think: can feel like “home” OR “movement”
-
-🔴 Dominant Category (Tension Engine)
-C7
-C7sus
-C7(♭5)
-C7(♯5)
-
-👉 Key concept:
-
-Contains tritone → creates tension
-Wants to resolve → usually to tonic
-
-✔ Think: this is the “pull” in music
-
-⚫ Intermediary Category (Chameleons)
-Cmin7(♭5) / Cø7
-C°7
-C°(Maj7)
-
-👉 Super important:
-
-These chords can act as:
-Predominant
-Dominant
-Sometimes tonic
-
-✔ Think: connectors and tension shapers
-
-🔁 2. Inversions = Same Chord, Different Function
-
-Example:
-
-C6 (3rd inversion) = Amin7
-
-👉 HUGE jazz concept:
-
-Chords are interchangeable through inversion
-
-✔ This is why jazz harmony feels fluid:
-
-One chord can substitute for another
-🔷 3. Functional Families (Now with 7th Chords)
-
-In a major key:
-
-🟢 Tonic Family
-Imaj7
-vi7
-iii7
-
-👉 Stable / resting
-
-🟡 Predominant Family
-ii7
-IVmaj7
-
-👉 Moves away from tonic
-
-🔴 Dominant Family
-V7
-viiø7
-
-👉 Creates tension → resolves
-
-⚠️ Important Insight:
-
-Some chords have dual function
-
-vi → tonic OR predominant
-iii → tonic OR passing
-
-👉 Function = context, not just chord name
-
-🔶 4. Five-Part Chords = Adding Color (Extensions)
-
-Now we go beyond 7th chords.
-
-🎯 Extensions = notes above the 7th:
-9th
-11th
-13th
-Types of Extensions
-✅ Diatonic (natural to the key)
-9
-11
-13
-🔥 Chromatic (altered tension)
-♭9, ♯9
-♯11
-♭13
-💡 Critical Rule:
-
-👉 If a 7th is present → call it:
-
-9 (not 2)
-11 (not 4)
-13 (not 6)
-
-✔ Because it's part of a stacked chord, not a simple interval
-
-🎨 5. How Extensions Change Sound
-Major chord:
-Warm, rich:
-CMaj9
-CMaj13
-Bright tension:
-CMaj7(♯11)
-Minor chord:
-Smooth:
-Cmin9
-Cmin11
-Dark:
-Cmin7(♭13)
-Dominant chord (MOST IMPORTANT):
-C7(♭9) → dark tension
-C7(♯9) → bluesy tension
-C7(♯11) → modern/jazzy
-C7(♭13) → strong pull
-
-👉 Dominants = maximum color control
-
-🔥 6. Key Insight About Jazz Harmony
-
-This section is quietly teaching one huge idea:
-
-👉 Chords are not fixed objects—they are functions + colors
-
-Meaning:
-
-Same chord → different function depending on context
-Same function → many chord options
-🎹 Practical Takeaways
-
-If you’re playing or analyzing:
-
-1. Think in FUNCTION first:
-Tonic → rest
-Predominant → movement
-Dominant → tension
-2. Then choose COLOR:
-Basic → 7th chord
-Rich → add 9, 11, 13
-Tense → add alterations
-3. Use substitutions:
-C6 ↔ Amin7
-ii7 ↔ IVmaj7 (sometimes)
-🚀 Where This Is Going
-
-You’re now set up for:
-
-Real jazz progressions
-Improvisation choices
-Advanced reharmonization
-
-
-🔑 Big Picture: What This Section Is Really About
-
-You’ve just moved from:
-
-Chord vocabulary (Ch. 4–5) → what chords exist
-to
-Chord behavior (Ch. 6) → how chords move and function
-
-And the center of everything is:
-
-👉 The II–V–I progression
-
-🎯 1. The ii7–V7–Imaj7 = The Core of Tonal Jazz
-
-This progression combines all three functions:
-
-Function	Chord	Role
-Predominant	ii7	moves away from tonic
-Dominant	V7	creates tension
-Tonic	Imaj7	resolves
-In C major:
-Dmin7 → G7 → Cmaj7
-
-This is not just a progression—it’s:
-
-👉 The grammar of jazz harmony
-
-🎼 2. Guide Tones = The Real Engine of Harmony
-
-Instead of thinking vertically (chords), jazz often thinks horizontally (lines).
-
-Guide tones:
-3rd and 7th of each chord
-
-Why they matter:
-
-Define chord quality
-Control voice leading
-Create smooth melodic lines
-🔁 The Essential Voice-Leading Rule
-
-Across ii → V → I:
-
-7th → resolves down to 3rd
-3rd → becomes the 7th of next chord
-Example in C:
-Chord	Notes	Guide tones
-Dmin7	D F A C	F (3rd), C (7th)
-G7	G B D F	B (3rd), F (7th)
-Cmaj7	C E G B	E (3rd), B (7th)
-Motion:
-C → B (down)
-F → E (down)
-
-👉 Smooth, stepwise motion = good voice leading
-
-🔄 3. Invertible Counterpoint (Huge Concept)
-
-You saw two versions of the progression:
-
-Guide tones swapped between voices
-
-This means:
-
-👉 Harmony = result of interacting lines, not just stacked chords
-
-This is a major shift in thinking:
-
-From vertical (chords)
-To linear (melody + voice leading)
-🎯 4. Minor Version of II–V–I
-
-Instead of:
-
-ii7 → V7 → Imaj7
-
-You get:
-
-iiø7 → V7(♭9) → i
-Example in A minor:
-Bmin7(♭5) → E7(♭9) → Amin
-🔥 Key Insight:
-
-The ♭9 comes from voice leading:
-
-The ♭5 of iiø7
-➡ becomes
-the ♭9 of V7
-
-👉 This is not random—it’s voice-leading logic
-
-⚡ 5. Secondary Dominants = Temporary Gravity
-
-A secondary dominant = a dominant that targets something other than I
-
-Example:
-D7 → G7 → Cmaj7
-
-Here:
-
-D7 = V7/V (dominant of the dominant)
-What changes?
-
-You introduce:
-
-Chromatic note (F♯)
-
-That note:
-
-Acts as a leading tone to G
-Creates forward motion
-🔥 Important Concept:
-
-This creates tonicization (temporary key focus)
-
-👉 You're briefly treating G like a tonic
-
-🎵 6. Diminished 7th Chords = Harmonic Glue
-
-These are incredibly flexible and appear in 5 main roles:
-
-Types:
-Passing (fills space)
-Neighbor (decorates)
-Common-tone (embellishes)
-Accented / unaccented
-Dominant substitute
-🔑 Why they work:
-
-A diminished 7th chord:
-
-Is symmetrical
-Can resolve in multiple directions
-Often = incomplete V7(♭9)
-Example idea:
-
-A diminished chord can:
-👉 smoothly connect two chords
-👉 intensify motion
-👉 add chromatic color
-
-🔄 7. Transformation → Chromatic ii–V
-
-This is where things get very “bebop.”
-
-A diminished chord can transform into:
-
-👉 ii7 → V7 pair
-
-Result:
-
-You get extra ii–V progressions inside a progression
-
-This is called:
-
-👉 Harmonic elision
-
-Meaning:
-
-A progression is implied without fully resolving
-Example concept:
-
-Instead of:
-
-Dmin7 → G7 → Cmaj7
-
-You might hear:
-
-Dmin7 → (Em7 A7) → G7 → Cmaj7
-
-👉 That (Em7 A7) is a chromatic ii–V insertion
-
-🎹 8. Why This Matters Practically
-
-Everything here feeds into:
-
-🎯 Improvisation
-Follow guide tones
-Outline ii–V–I motion
-🎯 Comping (piano/guitar)
-Use:
-3rds + 7ths
-“drop 2” voicings
-smooth voice leading
-🎯 Composition
-Add:
-secondary dominants
-diminished passing chords
-chromatic ii–V’s
-🧠 Final Mental Model
-
-Think of jazz harmony like this:
-
-Level 1 (Surface)
-Chords: Dmin7 → G7 → Cmaj7
-Level 2 (Structural)
-Functions: PD → D → T
-Level 3 (Deep structure)
-Lines:
-7 → 3
-3 → 7
-
-👉 The lines control everything
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-
-Diminished 7th Chords and II–V–I
-
-FIGURE 6.7: Diminished 7th chords in the II–V–I progression
-FIGURE 6.8: Harmonic Elision
-FIGURE 6.9: Transformations of II–V–I
-
-Notes / References:
-
-Benny Goodman, The Complete RCA Victor Small Group Recordings
-Charlie Parker: The Immortal Charlie Parker, Jazz At Massey Hall; Thelonious Monk: Genius Of Modern Music, Vol. I, The London Collection Vol. I & II; Dizzy Gillespie: Groovin’ High, School Days
-Miles Davis: Kind Of Blue, At The Plugged Nickel Vols. I & II; Horace Silver: Horace Silver Trio, The Cape Verdean Blues; Lennie Tristano: Intuition, Lennie Tristano
-John Coltrane: Giant Steps, Crescent
-Related idiomatic progressions: discussed in Chapter 13
-Differentiation between ii7 and ii7♭5: min7(♭5) uses “♭5” suffix, minor 7 uses “7” suffix, independent of key
-Chapter 7 – Modes
-Chapter Summary
-
-Introduces:
-
-7 diatonic modes from the major scale
-7 chromatic modes from the melodic minor scale
-
-Focus: structure, beauty marks, avoid notes, modal qualifiers, and parent-scale derivation for theoretical clarity and practical improvisation.
-
-Key Concepts and Terms (RAG Tags)
-Avoid notes – pitches that may clash with chords
-Beauty marks – essential tones that define a mode’s character
-Chromatic Modes (melodic minor derivatives): Altered, Dorian ♭2, Locrian ♮2, Lydian Augmented, Mixolydian ♭13, Mixolydian ♯11
-Chromaticism – use of non-diatonic tones
-Diatonic Modes (major scale derivatives): Aeolian, Dorian, Ionian, Locrian, Lydian, Mixolydian, Phrygian
-Diatonic passing notes – notes used for melodic motion, not harmonic emphasis
-Major Modes – Ionian, Lydian, Mixolydian
-Minor Modes – Aeolian, Dorian, Phrygian, Locrian
-Modal Qualifiers – tones defining major/minor character
-Parent Scales – scale from which modes are derived
-Pedal Points – sustained bass notes under harmonic/melodic motion
-Tetrachords – 4-note pitch segments: Chromatic, Harmonic, Lower, Major, Minor, Phrygian, Upper, Whole tone
-Parent-Scale Derivation of Diatonic Modes
-Diatonic modes are derived from consecutive pitches of the major scale (Ionian = parent scale).
-Example (C major parent):
-Dorian: D–D (C major)
-Phrygian: E–E
-Lydian: F–F
-Mixolydian: G–G
-Aeolian: A–A
-Locrian: B–B
-
-RAG tag: Parent-scale methodology is theoretically useful but cumbersome; focus instead on modes as individual pitch collections with essential tones, melodic, harmonic, and structural properties.
-
-Modes’ Characteristics
-Major Modes: contain major 3rd (Ionian, Lydian, Mixolydian)
-Minor Modes: contain minor 3rd (Aeolian, Dorian, Phrygian, Locrian)
-Beauty Marks: essential tones indicating mode identity
-Avoid Notes: tones that may clash in harmonic or melodic contexts, sometimes usable in extended chords
-Modal Qualifiers: 3rds (major/minor) and other characteristic tones
-Diatonic Modes Overview
-Mode	Type	Modal Qualifier	Beauty Mark	Avoid Note	Example Chord	Key Phrase Notes
-Ionian	Major	3	7	4	CMaj7	Use 3 & 7 as guide tones; 4 as diatonic passing note
-Lydian	Major	3	♯4 (♯11)	5	CMaj7(♭5)	Use ♯11 as beauty mark; avoid 5 in certain voicings
-Mixolydian	Major	3	♭7	4	C7	4 used as passing or sus note; resolves to tonic
-Aeolian	Minor	♭3, ♭7	♭6	–	Cmin9(♭13)	Minor 6 as beauty mark for darker sound
-Dorian	Minor	♭3, ♭7	6	–	Cmin13	6 gives “major” flavor; arpeggiate triads and 4-part chords
-Phrygian	Minor	♭3, ♭7	♭2	–	C pedal	Strong minor sound; often over pedal points
-Locrian	Minor	♭3	♭2, ♭5	–	C pedal	Highly unstable; tritone between 1 & ♭5
-
-Figures: 7.2–7.8 illustrate pitch structures and four-bar modal phrases for each mode.
-
-Parent-Scale Derivation of Chromatic Modes (Melodic Minor)
-Chromatic modes: derived from C melodic minor
-Dorian ♭2: D–D
-Lydian Augmented: E♭–E♭
-Mixolydian ♯11: F–F
-Mixolydian ♭13: G–G
-Locrian ♯2: A–A
-Altered: B–B
-
-RAG Tag: Chromatic modes use two tetrachords: lower (first 4 notes) and upper (last 4 notes). Tetrachord patterns include: major, minor, whole tone, Phrygian, chromatic, harmonic.
-
-Chromatic Modes: Minor Examples
-Mode	Tetrachords	Beauty Marks	Example Phrase / Chord
-Melodic Minor	lower minor / upper major	6, 7	Cmin9(♯7)
-Dorian ♭2	TBD	TBD	–
-
-Figures 7.9–7.10 illustrate derivation and phrases.
-
-
-
-
-• Overtone series:
-
-Fundamental notes
-
-Minor Modes — Dorian ♭2
-
-The Dorian ♭2 mode contains two beauty marks: major 6 and ♭2.
-
-Figure 7.11a: Pitch structure of Dorian ♭2
-Figure 7.11b: Four-bar modal phrase over C13(♭9)sus harmony
-
-The mode consists of two tetrachords: lower Phrygian and upper minor. The phrase highlights two key features:
-
-Augmented triad on ♭2 (mm. 2–3)
-Whole-tone segment from ♭2 to 6 (mm. 3–4)
-Minor Modes — Locrian ♮2
-
-The Locrian ♮2 mode has two beauty marks: ♭5 and ♮2.
-
-Figure 7.12a: Pitch content of Locrian ♮2
-Figure 7.12b: Four-bar phrase over Cmin7(♭5)
-
-It contains lower minor and upper whole-tone tetrachords. The phrase emphasizes the beauty marks, particularly ♭5, with metrically stressed chord tones and diatonic extensions.
-
-Major Chromatic Modes from Melodic Minor
-Lydian Augmented
-Figures 7.13a & 7.13b: Pitch structure and four-bar phrase over CMaj7(♯5)
-Tetrachords: lower whole tone, upper chromatic
-Beauty marks: ♯11, ♯5
-Characteristic whole-tone segment from 1 to ♯5, rhythmic interest via triads (E and D) in m. 3
-Mixolydian ♯11 (Lydian Dominant)
-Figures 7.14a & 7.14b: Analysis and phrase over C13(♯11)
-Tetrachords: lower whole tone, upper minor
-Beauty marks: ♭7, ♯11
-Combines Lydian and Mixolydian qualities; arpeggiation projects extended tertian harmony
-Mixolydian ♭13
-Figures 7.15a & 7.15b: Pitch structure and phrase over C9(♭13)
-Tetrachords: lower major, upper Phrygian
-Beauty marks: ♭7, ♭13
-Arpeggiation of Eø7, A♭Maj7(♯5), and C7 emphasizes extended tertian structure
-Altered Mode
-Figures 7.16a & 7.16b: Pitch structure and four-bar phrase over C7alt
-Tetrachords: lower chromatic, upper whole tone
-Beauty marks: ♭9, ♯9, ♯11 (♭5), ♭13 (♯5)
-Saturated chromaticism; requires careful preparation and resolution for clarity
-
-Note on Chromaticism:
-Chromatic notes influence harmony, melody, counterpoint, and tonality. Proper preparation and resolution are crucial, and their rhythmic placement is as important as their pitch content. “Less is more” is key for effective use.
-
-Modal Jazz Overview
-14 modes total: 7 diatonic + 7 chromatic
-In modal jazz, modes function as independent scalar formations, often spanning entire sections (e.g., Coltrane’s Impressions, McCoy Tyner’s Passion Dance)
-In tonal jazz, modes have functional behavior similar to four- and five-part chords
-Notes
-Scale degree 4 is essential for Ionian identity in a modal sense.
-Locrian was historically excluded as a mode due to tritone and diminished triad characteristics.
-For readability, ♯6 and ♯7 are referred to as 6 and 7.
-Locrian ♮2 is also known as Super-Locrian.
-Keith Waters summarizes modal jazz characteristics: slow harmonic rhythm, pedal points, limited functional harmony, post-1969 harmonic traits, and use of perfect fourths.
-Chapter 8 — Chord–Scale Theory
-Chapter Summary
-Connects vertical (chord) and horizontal (scale/melody) dimensions
-Revisits diatonic and chromatic modes
-Establishes chord–scale relationships for four-, five-part chords, and II–V–I progressions
-Concepts and Terms
-
-Chord–Scale Categories:
-
-Dominant: Altered, Mixolydian, Mixolydian ♭13, Mixolydian ♯11
-Intermediary: Dorian, Locrian, Locrian ♮2
-Major: Ionian, Lydian, Lydian Augmented
-Minor: Aeolian, Dorian, Melodic Minor
-Other Concepts: Gapped formation
-
-This cleaned-up structure is optimized for RAG indexing: all modes, tetrachords, beauty marks, and functional usage are tagged consistently for retrieval.
-
-If you want, I can reformat all the mode tables with CAGED-style root/fingering info, so each mode and example is immediately usable as a lookup in the RAG system. This would match your earlier structure like:
-
-Degree    Chord      Shape (CAGED)    Root on String    Suggested Fingering
-I         Gmaj7      E form           6th string       3–2–0–0–0–2
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-
-Upper Structures and Quartal Harmony
-
-Upper structures are triads or four-note chords built above the root of a given harmony, typically using chord extensions rather than the root itself. They allow improvisers and arrangers to:
-
-Highlight “color” notes (9ths, 11ths, 13ths) without emphasizing the root.
-Create richer harmonic textures while keeping the harmonic function intact.
-Provide linear or vertical options for melodic lines that complement chord tones.
-
-Quartal harmonies are built from stacked fourths rather than thirds. These structures:
-
-Are a hallmark of modal jazz (McCoy Tyner’s piano voicings, for example).
-Emphasize intervals derived from the mode rather than tertian harmony.
-Offer flexibility in projecting a mode’s characteristic sound in both tonic and non-tonic contexts.
-
-When combined with upper-structure triads, quartal harmonies can make the melodic line and chordal accompaniment feel cohesive yet harmonically adventurous.
-
-Objectives of Chord–Scale Theory Recap
-Linking melody and harmony:
-Every scale (mode) can project multiple chords, and conversely, chords can be “horizontalized” into melodic lines.
-Identifying beauty marks:
-Certain scale degrees (♯11, ♭13, ♭2, major 6, etc.) serve as characteristic notes that define the sound of a mode. Chords should either contain or imply these notes.
-Voice-leading guidance:
-Proper selection of chord tones, upper structures, and passing notes ensures that both vertical and horizontal musical dimensions complement each other.
-Flexibility in improvisation:
-Chords rarely contain every note of a scale; missing notes are supplied aurally by the melodic line. This balance is central to modal jazz improvisation.
-Applying Chord–Scale Theory Across Categories
-
-1. Major Category (Tonic/Predominant):
-
-Modes: Ionian, Lydian, Lydian Augmented
-Chords: CMaj7, CMaj9, CMaj13(♯11), C(add4), etc.
-Upper structures highlight extensions (e.g., triad on 2 for Lydian)
-Beauty marks: ♯11 for Lydian, ♯5 for Lydian Augmented
-
-2. Minor Category (Tonic/Predominant):
-
-Modes: Dorian, Aeolian, Melodic Minor
-Chords: min7, min9, min11, min13, min6/9, min(♯7)
-Dorian: dual function—tonic or predominant; beauty mark major 6 emphasized in tonic, de-emphasized in predominant.
-
-3. Dominant Category (Dominant):
-
-Modes: Mixolydian, Mixolydian ♯11, Mixolydian ♭13, Altered
-Chords: dom7, dom9, dom13, dom7(♯5), dom9(♭13), dom7alt
-Extensions/beauty marks: ♯11, ♭13, ♯9, ♭9, depending on the mode
-Relationship to overtone series: lower partials → chord tones, higher partials → extensions
-
-4. Suspended Dominant Category (Dominant/Predominant/Tonic):
-
-Modes: Phrygian, Dorian ♭2, Mixolydian, Mixolydian ♭13
-Chords: 7sus, dom7(♭9)sus, dom13(♯9)sus
-Upper structures: augmented triad on ♭2, major triad on ♭7, minor triad on 2
-Handling missing notes: melodic line often supplies absent beauty marks or chord tones
-
-5. Intermediary Category (Predominant/Dominant):
-
-Modes: Dorian, Locrian, Locrian ♮2
-Chords: min7, min7(♭5), min9, min11, min13(♯7)
-Beauty marks like major 6 (Dorian) or ♭2/♭5 (Locrian) may be emphasized or de-emphasized depending on functional context
-Scale/chord complementarity is crucial: melodic line often fills in missing notes from the chord
-Key Takeaways on Chord–Scale Theory
-Vertical (chord) and horizontal (melody) dimensions must interact: The chord doesn’t always carry every note from the scale; missing notes are implied melodically.
-Functional flexibility: Modes can serve multiple harmonic roles—tonic, predominant, or dominant—depending on context.
-Chromaticism and extensions: Altered and chromatic modes require careful consideration of enharmonic spelling and voice-leading to preserve harmonic clarity.
-Beauty marks: Recognizing characteristic tones in a mode is essential for conveying the unique sound of that scale in both chords and lines.
-
-
-
-THE II7–V7–Imaj7 PROGRESSION
-
-
-1. Chord–Scale Relationships (Review)
-Diatonic vs. Chromatic Approaches
-In Figure 8.10, the ii7–V7–Imaj7 in C major is completely diatonic, meaning all notes are from C major.
-Downbeats: chord tones → strong harmonic grounding.
-Offbeats: passing notes → create movement and tension.
-Figure 8.11 shows chromatic substitutions:
-Example: V7 with ♯11 → Mixolydian ♯11.
-Tonic Maj7 with ♯11 → Lydian mode.
-Secondary dominants (V7/V) introduce more chromaticism for Bebop-style improvisation.
-Minor Blues and Chromaticism
-Figure 8.12: C minor example.
-Dmin7(♭5) → Locrian ♮2 mode (adds major 9th for min9(♭5)).
-G7 → Altered scale, Cmin7 → Melodic Minor.
-The takeaway: improvisation choices should reflect context, using chromatic extensions to enhance tension and release.
-2. Blues Form
-Structure
-12-bar blues is the most common jazz form.
-AA`B phrase structure:
-A: tonic (mm. 1–4)
-A`: predominant → tonic (mm. 5–8)
-B: dominant → tonic (mm. 9–12)
-Storytelling
-Blues improvisation is rooted in narrative.
-Example: “Backwater Blues”—musical phrases mirror storytelling:
-A: introduces a situation
-A`: elaborates/tension
-B: resolution
-Call and Response:
-Can be local (immediate repetition) or extended (ideas revisited later in the piece).
-Key skill: listening and reacting musically to other players.
-3. Blues Scales
-Minor vs. Major Blues
-Minor Blues Scale: 6 notes (1, ♭3, 4, ♭5, 5, ♭7)
-Emphasizes ♭3, ♭5, ♭7 → expressive “blue notes”
-Major Blues Scale: starts on ♭3, adds major 3rd, perfect 5th, 6th, 9th
-Works over major/dominant chords
-Flexible: can be applied across different chords, not strictly tied to functional harmony.
-4. Chord Progressions
-Generic Blues
-I7, IV7, V7 → foundational
-Simple, slower harmonic rhythm, used in early blues and New Orleans styles
-Basic Jazz Blues
-Adds chromaticism and more tonally defined progressions (I7, IV7, V7, VI7, ii7–V7–I7)
-Faster harmonic rhythm → more room for improvisation
-Voice-leading in realizations: guide tones move stepwise, larger skips used sparingly
-Minor Blues
-Includes secondary dominants and ♭VI7 → V7 preparations
-Example: tonicization of iv in m. 4 using V7/iv
-5. Improvisation Prelude (Chapter 10)
-
-Key concepts introduced for developing melodic improvisation:
-
-Blues riffs: short, repeatable ideas
-Guide-tone improvisation: focus on 3rds and 7ths for harmonic clarity
-Motifs: development via expansion, fragmentation, interpolation
-Inversion, repetition, transposition: tools to vary melodic material while staying coherent
-
-Jazz Improvisation Roadmap: Rhythm, Guide Tones, and Motifs
-1. Rhythm in Improvisation
-Focus on timing first:
-Internalize swing 8ths, phrasing, and articulation.
-Avoid overthinking notes; master when to play.
-Shift from “what to play” → “when to play”:
-The “vocabulary” of scales, chords, and motifs must be internalized.
-Improvisation = using learned material fluently, like forming sentences in a language.
-2. Blues Riffs
-Foundational strategy: Simple melodic ideas from the blues scale.
-Characteristics:
-Prioritize blue notes (♭3, ♭5, ♭7).
-Strong rhythmic profile.
-Usage:
-Can be applied across chord changes.
-Avoid predictable 4-bar phrasing; vary placement within the form.
-3. Guide-Tone Improvisation
-Concept: Horizontalize chord 3rds and 7ths to form a melodic line that guides through chord changes.
-Implementation:
-Start lines on chord 3rds or 7ths.
-Follow voice-leading rules:
-3rd → half-step down to next chord’s 7th
-7th → half-step down to next chord’s 3rd
-Enhance with rhythm: Charleston rhythm (two-note idiom) can emphasize guide-tone lines.
-4. Motivic Development
-Motif: Small melodic gesture with rhythmic and harmonic clarity.
-Purpose: Provides coherence and development in improvisation.
-Techniques:
-Repetition – exact or slightly altered (inexact)
-Transposition – move motif to different pitch
-Tonal/modal: preserves key/mode
-Real: preserves intervallic content, may introduce chromaticism
-Expansion/Interpolation – add new material to end or middle of motif
-Contraction/Fragmentation – shorten motif and develop smaller cells
-Inversion – mirror intervals
-Tonal/modal: preserves key/mode feel
-Real: preserves exact intervals, introduces chromaticism
-5. Practice Principles
-Combine techniques: Start with a motif, then experiment with repetition, transposition, fragmentation, inversion.
-Modal and chromatic application: Use motifs to express mode-specific sounds (C major, C minor, chromatic).
-Integration with rhythm: Place motifs at varied metric positions to create interesting phrasing.
-
-✅ Key Takeaways
-
-Rhythm is the backbone; internalize swing and Charleston patterns.
-Guide-tone lines connect vertical harmony with horizontal melodic motion.
-Motifs give solos structure; motivic development adds narrative and coherence.
-Improvisation combines all elements: chord–scale knowledge, rhythm, guide tones, and motifs.
-
-
-RAG-Focused Jazz Lead Sheet and Keyboard Concepts
-1. Understanding Lead Sheets
-Purpose: Provide essential information for performance: melody, chords, and lyrics.
-Context: Lead sheets are shorthand like figured bass, tablature, or partimento in classical music.
-Fake Books: Collections of lead sheets; quality varies. Always verify with original recordings when possible.
-Core Idea: Popular jazz standards endure because of strong melodies and flexible harmonic structures.
-2. Two-Level Analysis
-Level 1 – Local Analysis: Chord-by-chord, measure-by-measure; shows detailed harmonic motion.
-Level 2 – Global Analysis: Observes larger tonal architecture, functional relationships, and phrase-level structure.
-Use: Helps determine which chords are structurally important vs. ornamental. Provides hierarchy in improvisation.
-Example: “My Romance”
-A Section:
-Two four-bar phrases: first establishes tonic, second tonicizes submediant then returns to tonic.
-Common cadences: ii7–V7–Imaj7.
-B Section:
-Harmonic departure via IVmaj7–Imaj7 and ♭VII7 (back-door dominant).
-Ends on dominant through a cycle of fifths with local ii7–V7s.
-Key Insight: Summarizing the tonal architecture helps memorize essential harmonies without overloading on details.
-Example: “All the Things You Are”
-Structural ii7–V7–Imaj7: Confirms the main tonality at phrase endings.
-Tonicizing ii7–V7: Briefly establishes secondary tonal areas.
-Incomplete ii7–V7: Creates harmonic tension without immediate resolution.
-Key Insight: Identify which progressions are structurally significant to guide improvisation.
-3. Keyboard Textures & Harmonic Realization
-
-Goal: Translate lead sheets into playable harmonic textures.
-
-Model I
-R.H.: guide-tone lines
-L.H.: chord roots in 1:1 ratio
-Explores invertible potential of guide tones.
-Model II
-R.H.: rhythmicized guide tones (Charleston rhythm)
-L.H.: roots, thirds, or fifths in 2:1 ratio
-Metric variation adds interest.
-Model III
-R.H.: root position/inversions of four-part chords (no voice-leading focus)
-L.H.: roots in 1:1 ratio
-Focus on exploring chord positions.
-Model IV
-R.H.: four-part chords with proper voice leading
-L.H.: roots, 3rds, 5ths in 2:1 ratio
-Maintains smooth motion and chordal integrity.
-Model V
-R.H.: rootless five-part chords (no voice-leading focus)
-L.H.: roots in 1:1 ratio
-Omits root in RH for more open, modern textures.
-Model VI
-R.H.: rootless five-part chords with proper voice leading
-L.H.: roots, 3rds, 5ths in 2:1 ratio
-Smooth transitions controlled by voice-leading rules.
-Model VII
-Chorale style: equal note distribution, two voices per hand
-Reduces larger chords to four essential voices, retaining harmonic essence.
-
-Practice Tip: Start with simple models (I–III) and gradually move to complex textures (V–VII). Integrate Charleston rhythm and metric variations for jazz feel.
-
-RAG Application
-Reading: Identify melody, chords, structural vs. tonicizing harmonies.
-Analyzing: Use two-level analysis to understand phrase structure, cadences, and functional harmony.
-Generating: Apply keyboard models to create textures, reinforce harmonic understanding, and support improvisation.
-
-✅ Summary for RAG in Jazz
-
-Lead sheets are shorthand blueprints; your task is to read, interpret, and expand them.
-Two-level analysis helps prioritize chords for improvisation.
-Keyboard models translate harmonic knowledge into playable textures, supporting RAG and real-time improvisation.
-Rhythmic placement, especially Charleston patterns, reinforces the jazz feel.
-
-
-RAG: Idiomatic Jazz Progressions
-1. Core Concepts
-Focus: two- and four-bar jazz progressions.
-Skills: aural recognition, harmonic analysis, keyboard realization.
-Key elements:
-ii7–V7–Imaj7 – foundation of jazz harmony
-Turnarounds & Tag Endings – formal functions to prepare or conclude phrases
-Tritone Substitutions (TR/X7) – dominant substitution via symmetrical tritone interval
-Cycles of Dominant 7ths – multiple secondary dominants leading to structural V7
-Major-third cycles & Coltrane substitutions – advanced harmonic movement
-Harmonic expansions – ii7–V7 diminutions, dominant saturation, secondary dominants
-2. Tritone Substitutions
-Definition: Replace a dominant 7th chord with another dominant 7th a tritone away.
-Mechanics: The tritone interval (3rd–7th) remains invariant; chord tones swap roles.
-Notation: TR/X7, e.g., TR/V7 in C major = D♭7 (substitute for G7).
-Use in RAG:
-Reading: Recognize the substitution in lead sheets.
-Analyzing: Understand functional equivalence of dominant chords.
-Generating: Apply substitutions in improvisation or keyboard comping for harmonic variety.
-3. Turnarounds and Tag Endings
-Turnarounds (I–vi–ii–V)
-Usually 2–4 bars, prepares the top of the chorus.
-Tonic prolongation: vi7 can function as tonic or predominant.
-Tag Endings (iii–vi–ii–V)
-Concluding coda-like repetitions at the end of a tune.
-Harmonic transformations possible via secondary dominants, TR/X7, and ii7–V7 diminutions.
-RAG Focus:
-Reading: Identify tonal center, chord functions, and substitution options.
-Analyzing: Understand phrase-level structure and harmonic rhythm.
-Generating: Build dynamic endings with rhythmic displacement (e.g., Charleston rhythm).
-4. Cycles of Dominant 7ths
-Definition: Sequence of secondary dominants resolving in fifths toward the tonic.
-Example: V7/vi → V7/ii → V7/V → V7 → Imaj7.
-Variations: Diatonic (all chords in key) vs. chromatic (with TR/X7).
-RAG Application:
-Reading: Recognize dominant chain in lead sheets.
-Analyzing: Understand motion toward tonic via secondary dominants.
-Generating: Use cycles to create harmonic momentum in solos or comping.
-5. Lady Bird Progression
-Function: Chromatic turnaround with major-third relationships.
-Structure: Imaj7 → ♭III7 → ♭VImaj7 → ii7 → V7 → Imaj7.
-Role in Jazz History: Precursor to Coltrane’s major-third cycles.
-RAG Application:
-Reading: Identify chromatic shifts in lead sheets.
-Analyzing: Understand tonicizations and functional relationships (♭VI → I).
-Generating: Apply chromatic transitions for harmonic sophistication.
-6. Coltrane Substitutions
-“Countdown”: Major-third cycle with each chord preceded by dominant 7th.
-“Giant Steps”: Full octave divided into equidistant major-thirds.
-RAG Focus:
-Reading: Follow rapid harmonic rhythm and tonicizations in lead sheets.
-Analyzing: Map major-third cycles and secondary dominants.
-Generating: Integrate substitutions for improvisation over fast-moving progressions.
-7. Aural Identification
-Critical for jazz musicians to recognize idiomatic 2- and 4-bar phrases.
-Practice: Listen to progressions, identify ii7–V7–I, turnarounds, tritone substitutions, and major-third cycles.
-RAG connection:
-Reading → Match chord symbols to harmonic motion.
-Analyzing → Determine structural vs. ornamental harmonies.
-Generating → Improvise comping, guide-tone lines, and melodic lines over these progressions.
-✅ RAG Integration Summary
-RAG Skill	Application to Idiomatic Progressions
-Read	Identify chord functions, substitutions, cycles, and rhythmic placement in lead sheets.
-Analyze	Use two-level analysis for phrase structure, tonicizations, and harmonic hierarchy.
-Generate	Create improvisations, keyboard realizations, harmonic substitutions, and dynamic endings (turnarounds, tags).
-
-
-RAG: Four-Bar Interpolations and Modulations
-1. [ii7–V7]/X Interpolations
-Definition: A chromatic or diatonic ii7–V7 inserted between structural ii7–V7s; it may imply a potential resolution to a local tonic (“harmonic ellipsis”).
-Key skills for RAG:
-Read: Identify the intervallic distance between structural and interpolated ii7–V7s.
-Analyze: Determine whether the interpolation functions as a passing harmony or a tonicization.
-Generate: Create improvised lines and comping patterns that reflect the interpolation’s tonal pull.
-Practice: Start slowly with keyboard realizations (Models I, III, VI), invert chords to explore unfamiliar shapes, and maintain a steady metronome on beats 2 and 4.
-2. Four-Bar Modulations
-Definition: A permanent shift to a new key area confirmed by a cadence, often ii7–V7–Imaj7.
-Steps for Modulation:
-Establish the original tonic.
-Destabilize the tonic, moving toward a predominant in the new key.
-Confirm the new key with a cadence.
-Types: Closely related keys vs. remotely related keys.
-RAG Focus:
-Read: Identify tonic-dominant relationships and new tonal centers.
-Analyze: Track modulation paths and intervallic distances.
-Generate: Practice smooth voice-leading, chromatic approach notes, or ii7–V7 expansions to reinforce the new key.
-Example: Use Figures 13.18–13.19 for major→minor, minor→major, and minor→minor shifts.
-3. Interpolations and Multiple ii7–V7
-Chromatic interpolation: Introduces tension before resolving to a target chord or tonic.
-Two interpolations in four bars: The first may function as an ellipsis; the second confirms a new tonic.
-Miscellaneous four-bar progressions: Begin on I, ii, IV, or vi; can involve substitute dominants (TR/V7, ♭VII7) or tonicizations of related keys.
-RAG Applications:
-Read: Recognize the harmonic purpose of interpolations and their intervallic distances.
-Analyze: Understand the role of each ii7–V7 in establishing or prolonging tonal centers.
-Generate: Compose or improvise over interpolated four-bar phrases; practice different rhythmic placements.
-RAG: Chapter 14 – Voicings
-1. Upper-Structure Triads
-Definition: Major or minor triads superimposed over a bass note or chord to create extensions and alterations.
-Notation:
-Diagonal slash: triad / bass note.
-Horizontal slash: triad over a chord (polychord).
-Application: Expand dominant 7th chords with 5 major (II, ♭III, ♭V, ♭VI, VI) and 5 minor (♭ii, ♭iii, ♭v, v, vi) upper structures.
-RAG Focus:
-Read: Identify triad quality and relation to the underlying chord.
-Analyze: Map extensions and alterations produced by the upper structure.
-Generate: Use in reharmonizations, chord-melody arrangements, and improvisation.
-2. Dominant Aggregates
-Definition: The set of ten pitches available in dominant 7th chords (excluding 4 and ♯7).
-Application: Harmonize chromatic scales with upper-structure triads; explore inversional potential.
-RAG Focus:
-Read: Recognize triadic possibilities within the aggregate.
-Analyze: Examine voice-leading and pitch distribution.
-Generate: Compose or improvise with maximal chromatic possibilities.
-3. Rootless Formations
-Definition: Chords omitting the root; character projected through remaining chord tones.
-Use: Typically in comping where bass players provide the root.
-Advantages: Ambiguity allows harmonic flexibility; challenges the player to rely on voice-leading.
-RAG Focus:
-Read: Identify chord function without the root.
-Analyze: Track harmonic motion via guide tones and extensions.
-Generate: Create rootless voicings for comping or reharmonization.
-4. Incomplete Voicings
-Definition: Chords reduced to essential tones, often removing the 3rd, 5th, or 7th.
-Purpose: Maintain harmonic clarity while allowing chromatic saturation and voice-leading.
-Generation Steps:
-Remove a single pitch from a complete five-part chord.
-Transfer the 9th down an octave.
-Rearrange notes into an open four-part voicing.
-RAG Focus:
-Read: Understand which notes are omitted and why.
-Analyze: Contextualize tonal clarity using voice-leading.
-Generate: Apply in comping, chord substitution, and melodic harmonization.
-5. RAG Integration Table: Voicings
-RAG Skill	Application
-Read	Identify triads, upper structures, rootless or incomplete voicings in charts.
-Analyze	Determine chord function, extensions, alterations, and voice-leading patterns.
-Generate	Create reharmonizations, comping patterns, and improvisation using flexible voicings.
-
-This sequence naturally leads into practical exercises: playing interpolations, four-bar modulations, and experimenting with upper-structure triads and rootless/incomplete voicings at different tempos and inversions.
-
-RAG: Incomplete Voicings (Ch. 14 continuation)
-1. Functional Flexibility
-Concept: A single incomplete voicing can function as tonic, predominant, or dominant depending on context.
-Examples from Figure 14.6:
-Fmin11 → functions as tonic.
-Rootless B♭7sus → suspended dominant resolving to E♭Maj7.
-Suspended dominant resolving to C7 → Fmin11.
-RAG Focus:
-Read: Identify the chord tones present and missing.
-Analyze: Determine functional role in context.
-Generate: Apply the same voicing in multiple harmonic contexts; explore ambiguity for reharmonization or comping.
-2. Key Takeaways
-Incomplete and rootless voicings allow harmonic reinterpretation.
-Their ambiguity is an asset, enabling voice-leading flexibility.
-Careful contextual placement ensures clarity of function.
-CHAPTER 15: Bebop – RAG Summary
-1. Bebop Overview
-Emerged in the late 1930s; modernized jazz harmony, melody, and rhythm.
-Differences from swing/early jazz:
-Longer solos
-More chromaticism
-Angular melodies
-Complex rhythms
-2. Bebop Scales
-Eight-note scales (vs. 7-note modes) → chord tones on strong beats, passing tones on weak beats.
-Primary types and functions:
-Major Bebop → tonic and predominant
-Chromatic passing note between 5–6
-Combines tonic 6th chord (downbeats) and diminished 7th chord (offbeats)
-Minor Bebop → tonic and predominant
-Minor ♯7, minor ♭7, and Dorian bebop variations
-Chromatic passing notes between 5–♯6 and ♭7–8
-Dominant Bebop → dominant function
-Chromatic passing note between ♯7–8
-Supports half-diminished 7th on ♯7
-Intermediary/Dominant Complex → predominant → dominant
-Same pitch content as dominant bebop, different metric distribution
-Mediates between ii7 (minor) and V7
-
-RAG Focus:
-
-Read: Recognize scale type, chromatic passing note, and metric placement.
-Analyze: Understand how chord tones vs. passing notes map to strong/weak beats; predict functional behavior.
-Generate: Create lines emphasizing chord tones on strong beats, passing tones on weak beats.
-3. Metric Placement & Bebop Routines
-Routine 1: Start on chord tone (downbeat); play up/down two octaves.
-Routine 2: Start on passing tone (upbeat); play up/down two octaves.
-Routine 3: Arpeggiate chords built on each scale degree.
-Routine 4: Combine scalar and arpeggiation patterns.
-
-Practice Tip: Metronome on 2 and 4; start ♩=62 (half-note click), gradually increase to ♩=96.
-
-4. Addition of Extra Chromatic Notes
-Enhances melodic tension.
-Rules:
-Major/dominant scales → multiple chromatic options.
-Minor/intermediary scales → only one extra chromatic passing note (due to minor 3rd).
-Routine: Ascend/descend starting on downbeat, adding chromatic passing note in line direction.
-
-RAG Focus:
-
-Read: Identify proper placement for chromatic passing note.
-Analyze: Predict melodic/harmonic effect in context.
-Generate: Improvise lines with controlled chromaticism over ii–V–I or dominant structures.
-
-✅ Key Takeaways So Far
-
-Incomplete/rootless voicings: Ambiguity enables reharmonization and functional flexibility.
-Bebop scales: Eight-note structure balances chord tones (strong beats) and passing notes (weak beats).
-Intermediary/dominant bebop complex: Bridges predominant and dominant harmonic functions.
-Practice approach: Metric placement + chromatic passing notes + arpeggiation → internalizes bebop vocabulary.
-
-
-RAG: Bebop Improvisation – Advanced Techniques (Ch. 15 continuation)
-1. Addition of Extra Chromatic Notes
-Routine 1: Start on downbeat of 2/1; add single chromatic passing note.
-Routine 2: Start on downbeat of 3, 5, 6; add two chromatic passing notes between 3–2 and 2–1 (major/dominant scales).
-RAG Focus:
-Read: Identify where chromatic passing notes occur in the scale.
-Analyze: Observe how chromaticism intensifies melodic tension.
-Generate: Improvise lines with controlled passing notes, emphasizing strong beat chord tones.
-2. Altered Bebop Scales
-Purpose: Intensify dominant tension in V7 chords.
-Four main altered scales: Dominant ♭13, Dominant ♭9/♯9/♭13, Altered Bebop (omit 3, use ♯2).
-Metric placement: Strong beats highlight chord tones; passing notes occupy offbeats.
-Routines:
-Routine 1 – Start on chord tone (downbeat)
-Routine 2 – Start on passing tone (upbeat)
-Routine 3 – Apply arpeggiation patterns
-
-RAG Focus:
-
-Read: Recognize which altered scale fits a particular dominant chord.
-Analyze: Identify omitted chord tones and substitutions (e.g., 3 → ♯2).
-Generate: Play altered scales to target chord tones while using chromatic extensions for tension.
-3. Diminished 7th Chord
-Function: Rootless dom7(♭9); chromatic passing sonority; resolves V7–I; facilitates voice-leading.
-Routines:
-Upward arpeggiation
-Downward arpeggiation
-3–4. Direct cadential gestures in V–I
-5–6. Indirect cadential gestures (displaced by beats)
-
-RAG Focus:
-
-Read: Spot diminished chords as passing harmonies.
-Analyze: How chord tones connect to underlying dominant function.
-Generate: Use diminished chords to smooth melodic/harmonic motion, create chromatic tension.
-4. Triplets & Neighbor Figures
-Triplets add forward motion and energy.
-Routines:
-Lower neighbor (chromatic/diatonic)
-Upper neighbor (diatonic)
-Double neighbor figure
-Extended double neighbor figure (lower diatonic → lower chromatic)
-Rules: Avoid excessive chromaticism; consider half-step natural occurrences in the scale.
-
-RAG Focus:
-
-Read: Identify neighbor approach notes.
-Analyze: Note metric placement of triplets in arpeggiations.
-Generate: Insert triplets with single/double neighbor figures into lines for swing and bebop feel.
-5. ii7–V7–Imaj7 Progression
-Use selective bebop scales: intermediary/dominant complex.
-Concept: First two chords can use the same scale but start on different chord tones.
-Scale distribution: Descending sixth span from root to third of underlying chord.
-6. Negotiating Minor 7♭5 Chord
-Treat min7(♭5) as an upper structure of corresponding dominant 9th chord.
-Intermediary bebop scales (♭2 and ♮2) fit both min7(♭5) and its dominant 9th reference.
-Captures Locrian / Locrian ♮2 modal characteristics.
-
-RAG Focus:
-
-Read: Identify potential bebop scales over min7(♭5) chords.
-Analyze: Understand scale selection from harmonic and modal perspective.
-Generate: Apply scales to iiø7–V7–i progressions in minor keys.
-7. Notes & Historical Context
-Bebop scales are eight-note constructs with chromatic passing notes.
-They existed before the Bebop Era (ragtime, marches, popular tunes).
-Barry Harris codified many of the practical bebop techniques, including diminished chord and neighbor figure applications.
-
-✅ Key Takeaways
-
-Extra chromatic notes and altered scales intensify tension over dominants.
-Diminished 7th chords are flexible chromatic passing harmonies for voice-leading.
-Triplets and neighbor figures add rhythmic and melodic propulsion.
-Intermediary/dominant scales bridge chord-scale relationships in ii–V–I and minor progressions.
-Min7♭5 chords can be treated as upper structures of dominants for bebop scale application.
-
-If you want, I can next create a full visual “Bebop Practice Map” showing chromatic passing notes → altered scales → diminished chords → triplets → ii–V–I/ minor 7♭5 progressions, so all routines connect logically for improvisation practice.
-
-RAG: Octatonic Scales & Bebop Blues (Ch. 16–17)
-1. Cardinality and Octatonic Scales
-Cardinality: The number of distinct pitches in a scale.
-Bebop scales: 8 notes → octatonic scale (cardinality = 8).
-Two types of octatonic scales:
-1/2 Octatonic (Half–Whole): Interval pattern = half step → whole step → repeat.
-Primarily associated with dominant function.
-Symmetrical: partitions the octave into two tritones or four minor 3rds.
-Minor 3rd transpositions retain shape and harmonic function.
-3 unique transpositions: 1/2 Octatonic I, II, III.
-Chord-scale relationships: C7, C7♭5, C7♭9, C13.
-Any single 1/2 octatonic scale relates to four dominant 7ths a minor 3rd apart.
-Each note has multiple chord functions depending on context (root, ♯9, ♯11/♭5, 13th).
-2/1 Octatonic (Whole–Half): Interval pattern = whole step → half step → repeat.
-Functions primarily as predominant.
-Chord-scale relationship with diminished 7th chords.
-Forms the double-diminished 7th chord: two gapped diminished 7ths in one collection.
-3 unique transpositions: 2/1 Octatonic I, II, III.
-Scalar Transpositions:
-Moving harmonic or melodic formations stepwise through available scale notes.
-Preserves the intervallic structure while changing harmonic function.
-1/2 and 2/1 octatonics allow economical reharmonization.
-
-RAG Focus:
-
-Read: Identify which octatonic type fits a given chord (dominant vs diminished).
-Analyze: Understand minor 3rd invariance, transpositional symmetry, and multi-function of each note.
-Generate: Build lines and voicings using octatonics across dominant/diminished chords.
-2. Double-Diminished 7th Chords
-Derived from 2/1 octatonic scale.
-Contains two diminished 7th formations with a gap between them.
-Can function as:
-Rootless dominant 7th (♭9)
-Diminished 7th chord proper
-Provides a unified scale for multiple harmonic scenarios.
-3. Bebop Blues – Harmonic Variants
-
-Fast harmonic rhythm is typical in bebop blues; underlying blues harmony persists despite substitutions.
-
-Variant 1 – “Billie’s Bounce” (F):
-mm. 2 → ♯ivo7, diminished passing chord → F7/C.
-mm. 8 → ()/ii progression to prepare ii7.
-V7 (G7) prolonged with 4-chord chain: Gmin7 → Gmin♯7 → C7sus → C7.
-Economical improvisation: single octatonic scale covers multiple harmonies (e.g., diminished passing chords).
-Variant 2 – “Bird” Blues (E♭):
-Structural I and IV chords = major 7ths.
-Chromatic ii7–V7s at mm. 6, 8 ([ii7–V7]/♭III, [ii7–V7]/♭II).
-Cycle of 5ths motion via guide-tone parallelism.
-Turnaround: uses drop-2 voicings and alternative harmonic changes.
-Variant 3 – “The Dance Of the Infidels” (C):
-Chromatic ii7–V7s in mm. 1–4 ([ii7–V7]/♭VII, [ii7–V7]/VII).
-Structural subdominant delayed → predominant expansion forms minor 2nd relationship with preceding ii7–V7.
-Substitutions: mm. 9–10 [ii7–V7]/♯IV replaces structural V7.
-Drop-2 voicings illustrate alternate harmonic realizations.
-4. Improvisation Strategies
-Arpeggiation of rootless five-part chords:
-Use background line derived from structural chords.
-Notes function as “roots” of arpeggiated chord shapes.
-Stepwise motion aligns with harmonic rhythm.
-Entry Windows:
-Identify common tones between closely or distantly related chords.
-Example: 7th of ii7 = 3rd of ♭VI7 → acts as smooth connection.
-Stepwise or half-step motion ensures good voice leading.
-
-RAG Focus:
-
-Read: Recognize harmonic substitutions and chord extensions.
-Analyze: Track voice-leading connections and entry windows.
-Generate: Improvise lines using arpeggiation and efficient chord connections.
-
-✅ Key Takeaways
-
-Octatonic scales: 1/2 = dominant, 2/1 = diminished/predominant. Symmetry allows economy.
-Double-diminished 7ths provide two overlapping diminished formations.
-Bebop blues uses harmonic substitutions, chromatic ii7–V7s, and delayed structural chords.
-Improvisation: arpeggiate rootless chords, use entry windows, exploit transpositional symmetry of octatonic scales.
-
-
-Chapter 18: “Confirmation” (Charlie Parker)
-
-Overview:
-
-Focuses on Parker’s bebop composition Confirmation.
-Analysis of Hank Jones’s solo demonstrates integration of blues and bebop vocabulary.
-Highlights chord-scale relationships using modes and bebop scales.
-
-Key Concepts and Terms:
-
-Arpeggiation, cadential melodic gestures, chromaticism, diminished 7th chords, metric displacement, 32-bar AABA form.
-
-Form and Harmony:
-
-32-bar AABA structure.
-A sections: chain of II–V progressions leading to IV; first A is harmonically open, later A sections close on I.
-Bridge (mm. 17–24): tonicizations of IV and ♭VI, slower harmonic rhythm.
-Bebop harmonic rhythm: rapid II–V expansions, dominant 7ths resolving to subdominant.
-
-Melody and Rhythm:
-
-Structural spans control melodic surface; blue notes (♭3, ♭5) used strategically.
-Diminished 7th chords often function as rootless dom7(♭9).
-Rhythm: syncopation, eight-note anticipations, cadential gestures.
-
-Solo Analysis (Hank Jones):
-
-Integrates blues and bebop traditions.
-Uses arpeggiation, chromaticism, metric displacement, and cadential gestures.
-Emphasis on linear continuity, chord-tone distribution, and voice leading.
-Chromatic and blues notes strategically prepared for harmonic resolution.
-
-Chord–Scale Relationships:
-
-Modes: Each chord often corresponds to a single mode; II–V sequences may use Mixolydian ♭13, Dorian, Altered, or Locrian depending on context.
-Bebop Scales: Used for chromatic voice leading; last A section alternates ascending/descending patterns to connect scales smoothly.
-
-References:
-
-“Blues For Alice” shares similar II–V harmonic sequences.
-Blues and early jazz influence on subdominant and ♭VI tonalities.
-Chapter 19: “Moose the Mooche” (Charlie Parker)
-
-Overview:
-
-Examines Parker’s rhythm changes contrafact Moose the Mooche.
-Introduces rhythm changes pedagogy.
-
-Key Concepts and Terms:
-
-Appoggiaturas, contrafacts, eight-bar blues, hypermetric organization, pitch enclosures, rhythm changes.
-
-Rhythm Changes & Contrafacts:
-
-Based on I Got Rhythm (32-bar AABA form).
-Contrafact: a new melody over existing chord changes.
-
-Form and Harmony:
-
-32-bar AABA.
-First A: harmonically open, ends on ii7–V7.
-Second A: full cadential closure on I.
-Bridge: cycle of dominant 7ths, ends on V7.
-Last A: harmonically closed with Imaj7–VI7–ii7–V7 turnaround.
-A section functions as a shortened eight-bar blues: tonic (mm. 1–4), subdominant (mm. 5–6), dominant (m. 8).
-
-
-
-
-Melody and Rhythm
-
-The melody of “Moose the Mooche” illustrates that contrafacts are often more agile than their harmonic templates. Its melodic rhythm reflects typical bebop syntax:
-
-Measure 1: Charleston rhythm emphasized with an octave leap (F4–F5).
-Other figures: 8th-note triplets (mm. 2, 8), 16th-note triplet turns (mm. 14, 31, 32). These serve as idiomatic embellishments.
-
-Chromaticism is central to bebop melodic structure:
-
-Accented C♯5s (mm. 2, 6, 26, 30) subtly reference blues.
-A♭4 (beat 1 in mm. 5, 29) functions as ♭7 of V7/IV. Prepared via stepwise ascent (F4–G4 in mm. 4, 28).
-Downward tritone leaps (D5–A♭4) intensify blues character.
-Passing tones and pitch enclosures, e.g., G♭4 in mm. 5, 29 and E4–C4–C♯4–D4 in m. 18, serve mostly ornamental purposes.
-Melodic appoggiaturas (C♭5s in mm. 2, 6, 26, 30) are accented and approached by leaps.
-
-Rhythmic structure features interesting hypermetric organization:
-
-Mm. 1–4: downbeats in mm. 1 and 3 serve as melodic anchors.
-Mm. 5–7: irregular hypermetric structure, typical of contrafacts.
-Bridge: symmetrical two-bar hypermetric phrases balance A section irregularity.
-Analysis of Hank Jones’s Solo
-
-Hank Jones’s 1977 solo on “Moose the Mooche” (from Bebop Redux) demonstrates:
-
-Logical, coherent five-chorus improvisation.
-Creative treatment of the original melody; original melodic anchors (e.g., F4) recur across different harmonic contexts.
-Blues elements integral to lines: e.g., D♭4/C♯4 in mm. 14–15 connects phrases and outlines chord tones (E♭7 ♭7 → B♭Maj7 3rd).
-Simple triadic ideas appear frequently (mm. 63, 65, 122, 127, 155) with precise articulation.
-Arpeggiations of four-part chords enhance clarity and melodic flow:
-Mm. 17, 39, 92–93, 115–116, 141–143 show varied arpeggiations with chromatic and rhythmic complexity.
-
-Melodic devices include:
-
-Chord-scale relationships, e.g., C7–Mixolydian ♯11 in mm. 21–22, 53–54, 85–86.
-Balanced phrase contours using stepwise motion and arpeggiation (mm. 65–66, 77–80).
-Harmonic Reworkings of Rhythm Changes
-A Section
-Tonic expansions: B♭Maj7/D, D7(♭9), Dmin7, B♭7, DMaj7, B♭Maj7/F.
-Advanced substitutions: dominant tritone substitutions (D♭7(♭5), G♭7), incomplete major-third cycles, “Coltrane” changes, dominant pedal points.
-B Section
-Dominant 7th chords with tritone substitutions, ii7–V7 diminutions, and [ii7–V7]/X interpolations.
-Faster harmonic rhythms achieved with two chords per measure.
-Chromatic voice-leading ensures smooth transitions.
-Rhythm Changes Improvisation
-A Section: Single-Scale Approach
-Fundamental framework: tonic prolongation (mm. 1–4), predominant tension (mm. 5–8).
-Single B♭ major bebop scale can guide melodic lines, with chromatic passing tones (♭ as essential pitch for subdominant tonicization).
-A Section: Two-Scale Approach
-Adds dominant 7th bebop scale in mm. 2, 4.
-Chromaticized lines using ♭ (major bebop) and ♯ (dominant bebop).
-Subdominant expanded with diminished 7th passing tone.
-A Section: Arpeggiation Patterns
-Arpeggiate four- and five-part chords for clarity and stepwise motion.
-Stepwise lines and common tones provide smooth voice-leading across chords.
-B Section: Single-Scale Approach
-Dominant 7th chords allow uniform chord-scale mapping.
-D dominant bebop ♭13 at the bridge beginning aligns with overall tonality.
-Notes
-Famous rhythm changes contrafacts: Lester Young’s Lester Leaps In, Sonny Stitt’s Eternal Triangle, Monk’s Rhythm-A-Ning, Dizzy Gillespie’s Ow, Shaw ‘Nuff, Rollins’s Oleo, Miles Davis’s The Theme.
-Parker’s rhythm changes contrafacts: Ah-leu-cha, Anthropology, Dexterity, Kim, Constellation, Chasin’ the Bird, Passport, Red Cross, Steeplechase.
-Refer to Appendix F for recordings.
-Harold Danko recalls Thad Jones describing the A section of rhythm changes as “eight-bar blues.”
-Part Three: Advanced
-Chapter 20 – Pentatonics and Hexatonics
-
-Summary:
-Explores pentatonic and hexatonic scales from vertical (chord-scale) and horizontal (melodic) perspectives.
-
-Concepts and Terms:
-
-Hexatonic voicings: altered, regular
-Mixolydian ♭9
-Pentatonics: altered, chromatic, diatonic, dominant, Dorian, major, minor, suspended
-Pitch aggregates
-Quartal voicings (stacked fourths)
-
-Methodology:
-
-Systematic exploration of chord-scale relationships, scalar and arpeggiated improvisation techniques.
-
-
-
-Chord–Scale Hierarchy and Note Emphasis
-
-A thorough understanding of chord–scale theory allows prioritization of certain notes and de-emphasis of others.
-
-Hierarchically important notes – chord tones, extensions, alterations, “beauty marks” – should receive melodic, harmonic, and rhythmic stress.
-Avoid notes require careful metric and voice-leading consideration to maintain clarity of harmonic progressions and melodic lines.
-
-Example in Seven-Note Modes:
-
-Ionian: the 4th can clash with chord tones → consider excluding for pentatonic derivation.
-Lydian: the 5th may be less emphasized for melodic clarity.
-
-Pentatonic and Hexatonic Derivation:
-
-Removing 1–2 notes from seven-note modes produces hexatonic (6-note) or pentatonic (5-note) scales.
-Result: intervallic diversity, increased melodic unpredictability, and highlight of essential tones.
-
-Practical insight for guitarists: Using reduced pitch content allows targeting chord tones efficiently, e.g., Gmaj7 E-form arpeggio for tonic lines.
-
-Pentatonics
-
-Pentatonics in jazz provide a rich improvisational palette:
-
-Flavors:
-Blues-inflected diatonic pentatonics (Lester Young, 1930s)
-Chromatic 5-note segments for modern jazz
-Basic Pentatonics
-Type	Parent Mode	Notes Removed	Characteristic Sound
-Major	Ionian	4, 7	Tonally neutral, modal improvisation
-Minor	Aeolian	tritone (2–♭6)	Emphasizes minor 3rds & 2nds
-Dominant	Mixolydian	6	Includes tritone 3–♭7, avoids minor 2nd
-Suspended	Mixolydian	3	Enables sus chord–scale relationship
-
-Guitar RAG tagging: link shapes to chord-scale targets. Example: Gmaj7 → E-form, 6th string root → 3–2–0–0–0–2.
-
-Diatonic Pentatonics
-Parent scale: Dorian pentatonic (symmetrical interval structure).
-Rotations produce five diatonic pentatonics: Phrygian, Lydian, Mixolydian, Aeolian, Locrian.
-Key properties:
-Phrygian: ♭2 (“beauty mark”)
-Lydian: ♯11
-Mixolydian: dominant 7 essential tones
-Aeolian: ♭6
-Locrian: ♭5
-
-Practical insight: Use these rotations for targeted chord tones in improvisation; apply CAGED shapes for seamless fretboard navigation.
-
-Chromatic Pentatonics
-Derived from Melodic Minor pentatonic.
-Rotations produce chromatic pentatonics (e.g., Dorian ♭2, Mixolydian ♯11).
-Useful for altered dominants and modern jazz phrases.
-Altered Pentatonics
-Created via minor pitch displacements or chromatic alterations of diatonic/chromatic pentatonics.
-Mixolydian I/II alterations include ♭9 and ♯9.
-Maintains essential pentatonic qualities while expanding harmonic color.
-Pentatonic System – Functional Categories
-Category	Harmonic Function	Example Usage
-Major	Tonic / Predominant	Cmaj7 → C Ionian pentatonic
-Minor	Tonic / Predominant	Amin7 → A Aeolian pentatonic
-Dominant	Dominant	D7 → D Mixolydian pentatonic
-Suspended Dominant	Dominant / Predominant	G7sus → G suspended pentatonic
-Intermediary	Predominant / Dominant	Passing chords / substitutions
-Harmonic Potential:
-Pentatonics generate quartal voicings: e.g., Dorian pentatonic → stacked 4ths, modal character.
-Voicings can transpose along pentatonic pitches while inner voices use seven-note modes.
-Melodic Potential:
-Chords can be horizontalized as melodic lines.
-Extract 3-note cells from pentatonics → less predictable intervallic structure.
-Hexatonics
-Six-note collections derived from seven-note modes.
-Provide essential chord tones, harmonic clarity, and melodic possibilities.
-Categories mirror pentatonics: major, minor, dominant, altered.
-Altered hexatonics: minor variations from regular hexatonics → label with category + Roman numeral (Major Altered I, Dominant Altered II).
-
-Guitar tagging opportunity: Map hexatonic scales to CAGED shapes, arpeggio fingerings, and melodic fragments for practical improvisation.
-
-Hexatonic Categories
-Major Category
-
-Harmonic Function: Tonic / Predominant
-
-Aggregate: 3 regular hexatonics + 3 altered hexatonics
-Excluded notes: ♭2, ♭3, ♭7
-Notes: Can freely combine other six-note segments to create altered hexatonics
-Special cases: Major Altered II/III combine features of Ionian (5), Lydian (♯4, ♯5), and Lydian Augmented
-
-Guitar application: Map each hexatonic collection to CAGED shapes or quartal voicings for modal tonic lines.
-
-Minor Category
-
-Harmonic Function: Tonic / Predominant
-
-Aggregate: 3 regular hexatonics + 3 altered hexatonics
-Inclusion of ♯4: Extends minor harmonies (e.g., ♯11 in a Cmin7 context)
-Advanced usage: Can combine Cmin(♭7) + Bø7 → upper structure substituted with Bmin7 to preserve tertian structure and Lydian flavor
-Dominant Category
-
-Harmonic Function: Dominant
-
-Aggregate: 4 regular hexatonics + 4 altered hexatonics
-Excluded notes: 4, 7
-Chromatic alterations: Includes Mixolydian ♭9, Mixolydian ♯11, and Mixolydian ♭13
-Suspended Dominant Category
-
-Harmonic Function: Dominant / Predominant
-
-Aggregate: 3 regular hexatonics + selected altered hexatonics
-Excluded notes: 3, 7
-Intermediary Category
-
-Harmonic Function: Predominant / Dominant
-
-Aggregate: 4 regular hexatonics + selected altered hexatonics
-Hexatonic Voicings (Harmonic Potential)
-Establish initial close-position voicing reflecting the hexatonic scale.
-Transfer voicing to the next pitch of the hexatonic scale.
-Rearrange to create open-position formations.
-Continue transfers through hexatonic scale.
-Example: Lydian hexatonic → four- and five-part voicings.
-Boxed chords: Project complete hexatonic collection for improvisational flexibility.
-
-Guitar tagging: Apply open and closed-position voicings across fretboard shapes; use boxed voicings for horizontal melodic lines.
-
-Melodic Potential of Hexatonics
-Extract melodic cells from hexatonic scales
-Transfer cells to all notes of the hexatonic collection
-Enhances intervallic diversity and reduces predictability
-Similar process to pentatonics (cf. Figure 20.17)
-Phrase Models – Overview
-Standard tune phrases are often eight bars and predictable
-Classification: based on melodic, harmonic, and contrapuntal properties
-Components of a Phrase Model:
-Phrase Identifier – short harmonic progression establishing identity
-Harmonic Departure – interpolations, tonicizations, or chromatic alterations
-Cadential Confirmation – typically II–V or variants completing the phrase
-
-Incomplete Phrase Models: May omit cadential closure or harmonic departure (common in complex B sections).
-
-Underlying Principles:
-Root movement by fifths (tonic-centered)
-Monotonality (tunes ultimately return to home key)
-Stepwise counterpoint guides voice leading
-Jazz Rule of the Octave
-Adapted from Baroque practice: harmonize a scale idiomatically
-In jazz: major scale in soprano voice, explore different harmonic outcomes
-Harmonizations demonstrate:
-Diatonic realization with tonic prolongation
-Off-tonic reinterpretation (scale degrees as ♭5/♭9)
-Tonicization of closely related keys
-Stepwise inner voice motion maintaining harmonic clarity
-
-Practical tip: Use these variants to map scales to chords for melodic improvisation and reharmonization.
-
-Notes on Sources
-Lester Young – The Kansas City Sessions, The Complete Aladdin Recordings
-Rotations of pentatonics (major, minor, suspended) are foundational to modern jazz
-Historical Dorian mode: palindrome intervallic structure
-Mixolydian ♭13 pentatonic excludes ♭7
-Roman numerals (I, II…) indicate pitch variations
-So-called “So What” voicings (cf. Bill Evans, Kind of Blue)
-Hexatonics share chord–scale relationships with seven-note modes
-
-
-Off-Tonic Harmonizations – Figure 21.3d
-Starting key: Submediant (vi)
-Cadential confirmation: Clear resolution of vi using ()/vi progression
-Intermediate tonicizations: IV, ♭III, and elided motion to V (supported by II7)
-Harmonic focus: Predominantly predominant collection and modal mixture harmonies
-Notation:
-Parentheses ( ) → secondary ii7–V7 resolving to tonicized area
-Square brackets [ ] → secondary ii7–V7 not resolving to tonicized area
-Example:
-(ii7–V7)/IV in C → Gmin7–C7–Fmaj7
-[ii7–V7]/IV → Gmin7–C7, followed by another chord
-
-Practical tip: This off-tonic approach is common in standard jazz repertoire for color and tension before returning to tonic.
-
-Diatonic Phrase Models
-Purpose: General harmonic templates in standard tunes
-Flexibility:
-Harmonic transformations: expansions, substitutions, interpolations
-Rhythmic modifications: different distributions of chords per measure
-Forms:
-Harmonic progression (Roman numerals)
-Contrapuntal framework (guide-tone lines)
-Notation conventions:
-Dashed slurs → prolongation of essential tones/harmonies
-Beams → phrase groupings
-Open note heads → structurally important tones
-Extended stems/flags → further emphasis on tonal hierarchy
-Phrase Model 1
-Phrase identifier: I–II–V (or i7–II–V7 minor variant)
-Harmonic departure: Simple tonic prolongation or temporary tonicizations
-Cadential confirmation: Complete/incomplete II–V, can be harmonically open, modulatory, or harmonically closed
-Harmonic rhythm: Usually 1 chord/measure, sometimes 2 chords/measure
-Contrapuntal framework: Derived from a diatonic –– melodic pattern
-Minor version examples:
-“You and the Night and the Music”
-“Softly, As in a Morning Sunrise”
-
-Key Concepts:
-
-On-tonic phrase identifier clearly projects the home key
-Cadential variations allow for AABA or ABAC tune structures
-Transformations preserve the model’s essential character
-Phrase Model 2
-Phrase identifier: Off-tonic II–V (ii7–V7 or () progression)
-Cadential confirmation: Often incomplete
-Contrapuntal framework: Derived from a diatonic –– melodic pattern
-Harmonic variants: Allows substitutions and tonicizations to related key areas
-Representative standard tunes:
-“A Certain Smile”
-“April in My Heart”
-“Beautiful Love”
-“Black Butterfly”
-Practical Application Notes
-Off-tonic II–V usage:
-Adds harmonic interest and prepares modulation or temporary tonicizations
-Phrase models:
-Serve as frameworks for improvisation
-Identify recurring harmonic patterns in standard tunes
-Contrapuntal understanding:
-Guides voice leading and inner-voice motion, preserving harmonic integrity while allowing stylistic flexibility
-Observations
-Each phrase model links melodic, harmonic, and contrapuntal behavior
-Transformation of phrase identifiers or cadences does not alter the essential identity of the model
-Standard tunes are excellent references for learning these phrase structures
-Notation conventions (parentheses, brackets, open note heads) clarify functional relationships and secondary dominants
-
-Phrase Model 3
-Characteristic: Off-tonic beginning, centered on predominant family of chords
-Foundation: Often derived from IV–I motion
-Structure:
-Phrase Identifier: Flexible; can vary across tunes
-Harmonic Departure: Explores related or distant key areas while maintaining connection to tonic
-Cadential Confirmation: Typically concludes the phrase in a conventional tonic or dominant closure
-Contrapuntal Framework: Melodic lines follow diatonic patterns, integrating guide tones with supporting harmonies
-Representative Standard Tunes:
-“A Lovely Way to Spend an Evening”
-“After You’ve Gone”
-“Blueberry Hill”
-“Just Friends”
-“Moonglow”
-“You’re Getting to Be a Habit With Me”
-
-Note: Modal borrowing and off-tonic openings introduce harmonic sophistication that affects the entire phrase.
-
-Phrase Model 4
-Characteristic: Phrase identifier I–VI–II–V, an expansion of Phrase Model 1
-Importance: Frequent in standard tunes; integrates with melody for a strong harmonic statement
-Structure:
-Phrase Identifier: Flexible; variations adapt to harmonic context
-Harmonic Departure: Minor expansions or substitutions are common
-Cadential Confirmation: Typical II–V–I resolution, sometimes altered
-Contrapuntal Framework: Diatonic melodic pattern guides inner voices through the progression
-Representative Standard Tunes:
-“Love You Madly”
-“Memories of You”
-
-Note: The I–VI–II–V progression can serve as a core harmonic template, with numerous acceptable substitutions.
-
-Phrase Model 5
-Characteristic: Large-scale tonal motion from submediant (vi) to tonic (I)
-Harmonic Behavior:
-Initial chord (vi) often misleads the listener about the home key
-Submediant chord can be:
-Cadentially confirmed: “How Deep Is the Ocean?”
-Departed from immediately: “I Hear a Rhapsody”
-Targeted by arrival: “The Shadow of Your Smile”
-Beginning of sequential progression: “Fly Me to the Moon”
-Structure: Flexible phrase identifier and harmonic departure
-Contrapuntal Framework: Derived from diatonic –– melodic patterns guiding inner voices
-Representative Standard Tunes: As listed above in the context of opening submediant motions
-
-Key Insight: Phrase Model 5 demonstrates how starting on a vi chord provides harmonic variety, creating both tension and expectation before resolving to the tonic.
-
-General Observations Across Phrase Models 3–5
-Off-tonic openings:
-Provide harmonic interest and allow modulation or tonicizations
-Contrapuntal framework:
-Inner voice motion is guided by diatonic –– melodic patterns
-Phrase identifiers:
-Can vary without changing the identity of the phrase model
-Cadential confirmation:
-Usually II–V or II–V–I, but can be adapted for incomplete or modulatory endings
-Harmonic transformations:
-Substitutions, modal mixture, sequential progressions expand the harmonic palette
-
-STANDARD TUNES—PHRASE MODEL 4 (I–VI–II–V)
-
-Representative Tunes:
-
-A Foggy Day
-After You Get What You Want You Don’t Want It
-All God’s Chillun Got Rhythm
-Baby Doll
-Blue and Sentimental
-Call Me Irresponsible
-Can’t We Talk It Over
-Ebb Tide
-Emily
-From Alpha To Omega
-Heart and Soul
-How Do You Speak To an Angel?
-I Got Rhythm
-I Like the Likes Of You
-I Want a Sunday Kind Of Love
-I Was Doing All Right
-I’d Be Lost Without You
-I’ll Know
-I’m Old Fashioned
-I’ve Got the World On a String
-Jubilee
-Let’s Call the Whole Thing Off
-Little Girl Blue
-Little Things Mean a Lot
-Love Is the Sweetest Thing
-Love You Madly
-Maybe You’ll Be There
-Mine
-Moments Like This
-Moon River
-Mountain Greenery
-My Heart Stood Still
-My Shining Hour
-My Ship
-On the Street Where You Live
-Small Fry
-Soft Summer Breeze
-Stars Fell On Alabama
-Stiff Upper Lip
-Sugar
-Sure Thing
-That Great Come and Get It Day
-The Joint Is Jumpin’
-The Things We Did Last Summer
-The Way You Look Tonight
-They All Laughed
-This Heart Of Mine
-Too Late Now
-Too Young To Go Steadily
-What Am I To Do?
-When In Rome
-While We’re Young
-You Can Have Him
-You Make Me Feel So Young
-You’re Nearer
-Young and Foolish
-STANDARD TUNES—PHRASE MODEL 5 (vi → I)
-
-Representative Tunes:
-
-Ace In the Hole
-Black and Blue
-Blue Skies
-Can’t You Do a Friend a Favor?
-Count Your Blessing Instead Of Sheep
-Cry Me a River
-Don’t Explain
-Everybody Loves My Baby
-Fly Me To the Moon
-How Deep Is the Ocean
-I Found a New Baby
-I Gotta Right To Sing the Blues
-I Hear a Rhapsody
-If I Should Lose You
-In a Sentimental Mood
-It Don’t Mean a Thing
-Love Me Or Leave Me
-Lover Man
-Lullaby Of Birdland
-Summer Night
-The Shadow Of Your Smile
-Phrase Model Figures (5)
-FIGURE 21.10A: Phrase Model 5 — Harmonic Layout
-FIGURE 21.10B: Phrase Model 5 — Contrapuntal Framework
-FIGURE 21.10C: Phrase Model 5 — Harmonic Variants
-
-Note: Phrase Model 5 often misleads listeners into thinking the opening vi chord is the tonic; variations show different cadential treatments and sequential applications.
-
-CHROMATIC PHRASE MODELS
-Feature more intricate harmonic and contrapuntal designs
-Phrase identifiers frequently employ tonicizations, creating departures further from the tonic
-Goal: Demonstrate harmonic variety in standard tunes and possible elaborations of diatonic frameworks
-Phrase Model 6 (Tonicizes ii)
-Characteristic: Phrase identifier emphasizes the supertonic key area
-Harmonic Features:
-Melody reinforces tonicization with chromatic neighbor tones
-Example: “But Beautiful,” “Don’t Blame Me” uses ♭5 and ♭9 in ii progression
-Melodic Pattern: Extended double neighbor figure with ♯ functioning as major 3rd of V7/ii
-
-Figures:
-
-FIGURE 21.11A: Harmonic Layout
-FIGURE 21.11B: Contrapuntal Framework
-FIGURE 21.11C: Harmonic Variants
-
-STANDARD TUNES—PHRASE MODEL 6
-
-Am I Blue?
-Blue Velvet
-But Beautiful
-Close As Pages In a Book
-Come Fly With Me
-Do I Love You? (Porter)
-Don’t Blame Me
-Dreamy
-East Of the Sun and West Of the Moon
-Got a Date With an Angel
-He Loves and She Loves
-How Are Things In Glocca Morra?
-I Cried For You
-I Had the Craziest Dream
-I Walk a Little Faster
-I’ll Walk Alone
-I’m Making Believe It’s You
-I’m Playing With Fire
-I’ve Got a Pocketful Of Dreams
-It All Depends on You
-It Could Happen To You
-It’s Got To Be Love
-Last Night When We Were Young
-Let There Be Love
-Let’s Make Memories Tonight
-My Blue Heaven
-My Foolish Heart
-My Ideal
-Namely You
-Nobody Else But Me
-On a Slow Boat To China
-Once You Lose Your Heart
-P.S. I Love You
-Phrase Model 7 (Tonicizes vi)
-Characteristic: Phrase identifier emphasizes the submediant key area
-Harmonic Features:
-Often part of a sequence of tonicizations by thirds (I–VI–IV–II)
-Related to cycle of dominant 7ths: III7–VI7–II7–V7
-vi chord functions as tonicized area (“Come Rain Or Come Shine”) or passing harmony (“There Will Never Be Another You”)
-
-Figures:
-
-FIGURE 21.12A: Harmonic Layout
-FIGURE 21.12B: Contrapuntal Framework
-FIGURE 21.12C: Harmonic Variants
-
-STANDARD TUNES—PHRASE MODEL 7 (Tonicizes vi / Submediant)
-
-Representative Tunes:
-
-A Weaver Of Dreams
-All Through the Night
-As Long As I Live
-At Long Last Love
-Basin Street Blues
-Be My Love
-Bluesette
-Come Rain Or Come Shine
-Ev’ry Street’s a Boulevard
-Georgia On My Mind
-I Couldn’t Sleep A Wink Last Night
-I Just Found Out About Love
-I’ll Get By
-I’ll Close My Eyes
-I’m Glad I Waited For You
-I’m Gonna Love That Guy
-I’ve Heard That Song Before
-Ill Wind
-It’s the Same Old Dream
-Just In Time
-Kind’a Lonesome
-Lover, Come Back To Me
-Moonlight Love
-Never Will I Marry
-T’ain’t Nobody’s Business If I Do
-The Good Life
-The Masquerade Is Over
-There Goes That Song Again
-There Will Never Be Another You
-Twilight Time
-Walking Happy
-Who’s Sorry Now?
-You’re Nobody ‘Til Somebody Loves You
-Saturday Night Is the Loneliest Night Of the Week
-Serenade In Blue
-Some Other Spring
-Someday, Sweetheart
-Sonny Boy
-Soon
-That Old Feeling
-The Charm Of You
-Thinking Of You
-This Is Always
-This Time the Dream’s On Me
-Too Close For Comfort
-Walkin’ My Baby Back Home
-Was That the Human Thing To Do?
-What’s Good About Goodbye?
-When You’re Smiling
-Where Are You?
-Who Can I Turn To?
-
-Figures:
-
-FIGURE 21.12A: Phrase Model 7 — Harmonic Layout
-FIGURE 21.12B: Phrase Model 7 — Contrapuntal Framework
-FIGURE 21.12C: Phrase Model 7 — Harmonic Variants
-Phrase Model 8 (I → IV)
-Characteristic: Phrase identifier moves from I to IV, often with blues implications
-Harmonic Features: Subdominant harmony frequently appears as dominant 7th, e.g., “Willow Weep For Me,” “Tenderly”
-
-Figures:
-
-FIGURE 21.13A: Phrase Model 8 — Harmonic Layout
-FIGURE 21.13B: Phrase Model 8 — Contrapuntal Framework
-FIGURE 21.13C: Phrase Model 8 — Harmonic Variants
-
-STANDARD TUNES—PHRASE MODEL 8:
-
-A Portrait Of Jenny
-Ac-Cent-Tchu-Ate The Positive
-Aunt Hagar’s Blues
-Beale Street Blues
-Bread and Gravy
-Broadway
-Dancing On a Dime
-Deep In a Dream
-Don’t Go To Strangers
-Easter Parade
-Everybody Step
-Fancy Meeting You
-Farewell To Storyville
-Fine and Mellow
-Five O’Clock Drag
-God Bless the Child
-Happy With the Blues
-Harlem Nocturne
-I May Be Wrong
-I Want a Girl
-I Want a Little Girl
-I Will Wait For You
-I’ll Always Be In Love With You
-I’m a Fool To Want You
-I’m Putting All My Eggs in One Basket
-I’ve Grown Accustomed To Her Face
-If You Could See Me Now
-In the Still Of the Night
-In the Wee Small Hours Of the Morning
-It Never Was You
-Junk Man
-Lazy Bones
-Let Me Be the First To Know
-Like a Straw In the Wind
-Looking For a Boy
-Memphis Blues
-My Fair Lady
-My Gal Sal
-My Honey’s Lovin’ Arms
-Nashville Nightingale
-Necessity
-Of Thee I Sing
-Oh! Look At Me Now
-Ol’ Man River
-(Ol’) Rockin’ Chair
-On a Clear Day You Can See Forever
-Open Country
-Please Send Me Someone To Love
-Pocketful Of Miracles
-Rain On the Roof
-Red Sails In the Sunset
-Royal Garden Blues
-Runnin’ Wild
-Slow Hot Wind
-So Long, Big Time
-Something To Live For
-Something Wonderful
-St. Louis Blues
-Summertime
-Sun Showers
-Supper Time
-Swanee
-Tenderly
-The Meaning Of the Blues
-The Nearness Of You
-The Song Is Ended
-The Wonder Of You
-Tin Roof Blues
-Phrase Model 9 (Chromatic, ♭VI tonicization)
-Characteristic: Chromatic phrase identifier leading into flat submediant (♭VI) key area
-Harmonic Features:
-Scale degree ♭2 reinterpreted as minor 3rd and minor 7th of (ii7–V7)/♭VI
-Resolution to ♭VI obeys counterpoint rules
-Representative Tunes:
-“What’s New”
-“Here’s That Rainy Day”
-“You Stepped Out Of a Dream” (less clearly articulated ♭VI area, expanded tonic with ♭IImaj7)
-
-Figures:
-
-FIGURE 21.14A: Phrase Model 9 — Harmonic Layout
-FIGURE 21.14B: Phrase Model 9 — Contrapuntal Framework
-FIGURE 21.14C: Phrase Model 9 — Harmonic Variants
-
-STANDARD TUNES—PHRASE MODEL 9 (Chromatic ♭VI Tonicization)
-
-Representative Tunes:
-
-Here’s That Rainy Day
-What’s New
-You Stepped Out Of a Dream
-Tishomingo Blues
-Tuxedo Junction
-Undecided
-What Can I Say After I Say I’m Sorry
-What’ll I Do?
-When the Wind Blows South
-When You Lover Has Gone
-(Where You Are) Now That I Need You
-Wild Is the Wind
-Willow Weep For Me
-Without a Song
-You’ve Come Home
-
-Figures:
-
-FIGURE 21.14A: Phrase Model 9 — Harmonic Layout
-FIGURE 21.14B: Phrase Model 9 — Contrapuntal Framework
-FIGURE 21.14C: Phrase Model 9 — Harmonic Variants
-STANDARD TUNES—PHRASE MODEL 10 (Chromatic [ii7–V7]/♭II)
-
-Characteristic:
-
-Chromatic phrase identifier tonicizing the flat supertonic (♭II) key area
-[ii7–V7]/♭II progression may occur in incomplete or fully integrated form
-Frequently functions as a chromatic sidestepping or substitution progression
-
-Representative Tunes:
-
-Bye Bye Blues
-Can’t Get Out Of This Mood
-Darn That Dream
-Everything I Have Is Yours
-I Guess I’ll Hang My Tears Out To Dry
-Lost In Meditation
-San
-The Lady Is a Tramp
-Three Little Words
-We’ll Be Together Again
-(You Came Along From) Out Of Nowhere
-
-Figures:
-
-FIGURE 21.15A: Phrase Model 10 — Harmonic Layout
-FIGURE 21.15B: Phrase Model 10 — Contrapuntal Framework
-FIGURE 21.15C: Phrase Model 10 — Harmonic Variants
-STANDARD TUNES—PHRASE MODEL 11 (Descending Major 2nd Cycle)
-
-Characteristic:
-
-Descending major 2nd cycle beginning on tonic, tonicizations of ♭VII and ♭VI, ending on ♭VI
-Can occur fully or partially; often used for improvisational complexity
-
-Representative Tunes:
-
-How High the Moon
-Midnight Sun
-Star Eyes
-The End Of a Love Affair
-Twilight World
-
-Figures:
-
-FIGURE 21.16A: Phrase Model 11 — Harmonic Layout
-FIGURE 21.16B: Phrase Model 11 — Contrapuntal Framework
-FIGURE 21.16C: Phrase Model 11 — Harmonic Variants
-STANDARD TUNES—PHRASE MODEL 12 (♯IV Harmony / Tonicizations of iii)
-
-Characteristic:
-
-Phrase identifier features ♯IV harmony, functioning as half-diminished (ø7) or min7(♭5)
-Supports descending chord progressions or mediant tonicizations
-Can substitute for Phrase Model 2 in certain melodic contexts
-
-Representative Tunes:
-
-Dedicated To You
-Detour Ahead
-Did I Remember?
-Early Autumn
-Home
-I Remember You
-I Thought About You
-I’m Getting Sentimental Over You
-I’m In Love Again
-I’ve Got a Feeling I’m Falling
-Love Is a Many Splendored Thing
-Lover
-More Than I Should
-No Other Love
-Over the Rainbow
-Shall We Dance
-Somebody, Somewhere
-Someday, You’ll Be Sorry
-Someone To Watch Over Me
-Stella By Starlight
-The Mood That I’m In
-Time On My Hands
-Unforgettable
-When Somebody Thinks You’re Wonderful
-Whispering
-Why Was I Born?
-You Do Something To Me
-You Should Have Told Me
-You Were Never Lovelier
-You’re All the World To Me
-You’re My Everything
-
-Figures:
-
-FIGURE 21.17A: Phrase Model 12 — Harmonic Layout
-FIGURE 21.17B: Phrase Model 12 — Contrapuntal Framework
-FIGURE 21.17C: Phrase Model 12 — Harmonic Variants
-STANDARD TUNES—PHRASE MODEL 13 (Dominant 7th Sequence / Rhythm Changes Bridge)
-
-Characteristic:
-
-Harmonic sequence of dominant 7th chords
-Associated with bridge sections of “I Got Rhythm” and contrafacts
-Can occur in incomplete form (omitting opening III7)
-
-Representative Tunes:
-
-A Good Man Is Hard To Find
-A Sleepin’ Bee (B section)
-Alabama Jubilee
-Doin’ the Crazy Walk (bridge)
-Don’t Be That Way (bridge)
-Firefly (bridge)
-Five Foot Two, Eyes Of Blue (bridge)
-I Hear Music
-I’m Beginning To See the Light (bridge)
-Me, Myself and I (bridge)
-Miss Brown To You
-Moonlight Cocktail (bridge)
-Nice Work If You Can Get It
-No Moon At All (bridge)
-Old Man Moon
-Perdido (bridge)
-Please Don’t Talk About Me When I’m Gone
-Rhythm Changes (bridge)
-Singin’ the Blues Till My Daddy Comes Home (B section)
-Sunday (bridge)
-
-Figures:
-
-FIGURE 21.18A: Phrase Model 13 — Harmonic Layout
-FIGURE 21.18B: Phrase Model 13 — Contrapuntal Framework
-FIGURE 21.18C: Phrase Model 13 — Harmonic Variants
-
-STANDARD TUNES—ADDITIONAL EXAMPLES
-
-Bridges / B Sections:
-
-Sweet and Low-Down (bridge)
-Sweet Georgia Brown
-The Birth Of the Blues (bridge)
-There I Go Dreaming Again (bridge)
-There Will Be Some Changes Made
-(Up a) Lazy River
-NOTES ON STANDARDS
-The term “standard” refers primarily to American popular tunes performed frequently by countless musicians from ca. 1920–1960.
-Eight-bar phrase models can also explain 16-bar phrases in extended or more complex tunes.
-Melodic patterns are reductions of actual melodies to their structural pitch content.
-Fifth-root movement is related to the occurrence of the perfect 5th in the overtone series (low-integer ratio 2:3).
-François Campion’s Traité d’accompagnement et de composition… offers harmonizations of major and minor scales.
-Henry Martin (“Jazz Harmony: A Syntactic Background”) explains prolongation as projecting a key by arrival rather than early tonality assignment.
-Bolded songs indicate core jazz repertory standards.
-Composers and lyricists are listed in Appendix G of the companion website.
-Example reference: Miles Davis, Someday My Prince Will Come.
-CHAPTER 22: THE AABA SONG FORM
-Chapter Summary
-Focus: 32-bar AABA form, the most common song form in jazz standards.
-Two tonal variants examined: on-tonic and off-tonic.
-Example: Have You Met Miss Jones? analyzed as an on-tonic AABA design.
-Concepts and Terms
-Analysis: formal, melodic, tonal, harmonic
-Original sheet music
-Reaching by arrival
-Sentence structure
-Standard tunes, bridge (release)
-32-bar AABA form: off-tonic / on-tonic
-Formal prototypes: verse, interruption
-Formal Prototypes
-“Standard” implies a tune satisfies accepted constraints and is institutionalized in jazz practice.
-Core composers: Irving Berlin, George Gershwin, Cole Porter, Victor Young, Richard Rodgers, Jerome Kern, Harold Arlen, Jimmy Van Heusen, Frank Loesser, Howard Dietz, Jule Styne, Hoagy Carmichael.
-Core lyricists: Ira Gershwin, Lorenz Hart, Oscar Hammerstein, E.Y. “Yip” Harburg, Dorothy Fields, Johnny Mercer, Sammy Cahn, Ted Koehler.
-32-bar AABA form = four 8-bar sections: A–A–B–A.
-Phrase model selection varies; examples:
-Can’t We Talk It Over: one phrase model
-Stella By Starlight: four distinct phrase models
-Most common formal prototype: two unique phrase models (one for A, one for B).
-AABA Form Details
-A Sections:
-First A: harmonically open, typically ends with ii7–V7 in measure 8.
-Second A: tonally closed, confirms tonic, ushers in bridge.
-B Section (Bridge/Release):
-Introduces contrasting melodic and harmonic material.
-Includes interruption: signals conclusion of bridge, return to main key.
-Harmonic departure examples:
-I’ve Never Been In Love Before: B section begins on IV, moves to III, returns via ii7–V7.
-Mean To Me: tonicized subdominant key area in measure 16.
-I Can’t Get Started: arrival to supertonic key via ii7–V7 in mm. 17–18.
-Tonally ambiguous: Don’t Blame Me bridge starts on subdominant, then moves to submediant.
-
-Figure 22.1: The AABA On-Tonic Formal Prototype (generic phrase model distribution)
-
-Classification of Standard Tunes by Bridge (IV Key Area)
-Standard tunes in AABA on-tonic form with similar tonal traits at the bridge (IV or subdominant motion).
-“*” = bridge key reached by arrival.
-
-Key of the Bridge—IV:
-
-A Beautiful Friendship*
-A Lovely Night
-A Sunday Kind Of Love*
-Again
-Ain’t She Sweet?
-Blackberry Winter*
-Can’t Help Lovin’ Dat Man
-Climb Ev’ry Mountain
-Cocktails For Two
-Come Dance With Me*
-Come Easy, Go Easy Love*
-Crazy Rhythm*
-Day Dream
-‘Deed I Do
-Don’t Fence Me In
-Don’t Get Around Much Anymore
-Down By the Riverside
-Drop Me Off In Harlem*
-Easy Street
-Ev’rybody Loves You*
-Exactly Like You
-Face To Face
-Foolin’ Myself*
-Frim Fram Sauce*
-Getting Some Fun Out Of Life
-Happy As the Day Is Long
-Have You Met Miss Jones?
-Here In My Arms
-Hold Me, Thrill Me, Kiss Me
-How About Me?
-How’dja Like To Love Me
-I Couldn’t Stay Away From You*
-I Got It Bad
-I Want To Be Happy*
-I Wish I Were In Love Again
-I’ll Be Around*
-I’m Confessin’*
-I’m Glad There Is You
-I’m Just a Lucky So-And-So
-I’m Sitting On Top Of the World
-I’ve Got My Fingers Crossed*
-I’ve Never Been In Love Before
-Imagination
-It Might As Well Be Spring
-It’s Only a Paper Moon
-It’s the Talk Of the Town
-Just One More Chance*
-Just Squeeze Me*
-Just You, Just Me*
-Lady Be Good
-Let There Be You
-Let’s Get Away From It All
-Let’s Take a Walk Around the Block
-Little Man You’ve Had a Busy Day
-Mean To Me
-Misty*
-Moonlight Becomes You
-My Last Affair
-My Monday Date
-My Silent Love
-
-STANDARD TUNES—AABA ON-TONIC FORM (CONTINUED)
-Key of the Bridge — IV (continued)
-Nevertheless*
-On the Sunny Side Of the Street*
-Please Forgive Me
-Puttin’ On the Ritz
-Rhythm In My Nursery Rhymes*
-Romance In the Dark
-Ruby
-Sentimental Journey
-September In the Rain*
-Since I Feel For You
-Sing For Your Supper
-Skylark
-Solitude
-Someone To Watch Over Me
-Stormy Weather
-Sweet Loraine
-T’ain’t What You Do
-Taking a Chance On Love*
-That’s All*
-The Brown-Skin Gal In the Calico Gown
-The Glory Of Love
-The Surrey With the Fringe On Top*
-There, I’ve Said It Again*
-There’s a Small Hotel
-There’s No You*
-This Year’s Kisses
-Till There Was You
-To Each His Own
-We Mustn’t Say Goodbye
-What Did I Have That I Don’t Have?
-What Is There To Say
-Where’s That Rainbow?
-You Are Beautiful
-You Go To My Head
-You’ve Changed
-Key of the Bridge — III
-A Cock-Eyed Optimist
-A Handful Of Stars
-A Nightingale Sang In Berkeley Square
-Am I Blue?
-Anything Goes
-Autumn Nocturne
-Back in Your Own Backyard
-Between the Devil and the Deep Blue Sea
-Black Moonlight*
-Blue Rain
-Don’t You Know I Care
-Dreamsville*
-Guilty
-I Got Plenty O’ Nuttin’
-I Loves You Porgy
-I Miss You So
-I Never Knew
-I’m Beginning To Miss You
-I’m Getting Sentimental Over You
-I’m Through With Love
-If I Had You
-If You Could See Me Now*
-Isn’t It a Pity?
-Ivy
-Let Me Sing and I’m Happy
-Let’s Have Another Cup O’ Coffee
-Little White Lies
-Lorelei
-Memphis In June
-Moonlight In Vermont*
-More Than You Know
-My One and Only Love
-Once In a While
-Polka Dots and Moonbeams
-Rosetta
-’S Wonderful
-Somewhere Along the Way
-Stairway To the Stars
-That’s Life I Guess
-The Folks Who Live On the Hill
-The Girl Friend
-The Song Is You
-These Foolish Things
-They Can’t Take That Away From Me
-Top Hat, White Tie and Tails
-Until the Real Thing Comes Along
-Watch What Happens
-You’re Driving Me Crazy!
-Key of the Bridge — I
-At Last
-Blue Moon*
-Blue Room*
-Dancing On the Ceiling*
-Early Autumn*
-For Sentimental Reason*
-I Don’t Stand a Ghost Of A Chance*
-I Let a Song Go Out Of My Heart*
-I’m In the Mood For Love*
-I’m Yours*
-It Never Entered My Mind
-Lullaby Of the Leaves*
-Once In Love With Amy*
-Over the Rainbow
-Small World*
-Stars Fell On Alabama*
-Teach Me Tonight*
-The Masquerade Is Over
-We’ll Be Together Again*
-Key of the Bridge — ♭VI
-About Quarter To Nine
-Angel Eyes*
-Darn That Dream
-Do Nothin’ Till You Hear From Me
-Do You Know What It Means To Miss New Orleans*
-Dream a Little Dream Of Me
-Easy Living
-Fella With an Umbrella
-I Loved You Once In Silence
-I Won’t Dance
-I’ll Take Romance*
-In the Blue Of Evening
-On the Sentimental Side
-Smoke Gets In Your Eyes
-Some Other Time
-Then I’ll Be Tired Of You
-When the Lights Are Low
-Where Do I Go From Here?
-Key of the Bridge — VI
-Ain’t Misbehavin’
-Dinah
-I Was Doing All Right
-If I Loved You
-If I Ruled the World
-Just For You
-Let’s Do It, Let’s Fall In Love
-Let’s Fall In Love
-Liza
-Memories Of You
-Most Gentlemen Don’t Like Love
-Nice ‘n Easy
-Thanks*
-The Man I Love
-The Tender Trap*
-There Is No Greater Love*
-This Can’t Be Love*
-Where Or When
-
-
-STANDARD TUNES—AABA ON-TONIC FORM (CONTINUED)
-Key of the Bridge — II
-Bewitched, Bothered and Bewildered
-I Can’t Get Started With You*
-I Wish I Didn’t Love You So*
-It’s the Talk Of the Town
-Love Me Tonight*
-Makin’ Whoopee!*
-Penthouse Serenade
-Somebody Loves Me
-Key of the Bridge — ♭III
-A Kiss To Build a Dream On*
-Crazy He Calls Me*
-Flamingo*
-Golden Earrings*
-Lost In the Stars*
-My Old Flame
-You Don’t Know What Love Is*
-Young Love*
-Key of the Bridge — V
-Clap Yo’ Hands
-I Married an Angel*
-I’m Gonna Laugh You Right Out Of My Life*
-I’ve Told Ev’ry Little Star
-Lucky To Be Me
-Wouldn’t It Be Loverly?
-Younger Than Springtime*
-Key of the Bridge — ♯IV
-Born To Be Blue*
-Warm Valley
-Key of the Bridge — ♭II
-Do I Love You?
-Key of the Bridge — VII/♭VII
-Alfie
-People Will Say We’re In Love*
-We Kiss In a Shadow*
-Key of the Bridge — IV (AABA Off-Tonic)
-All My Tomorrows
-As Time Goes By
-Because I Love You
-Can’t We Be Friends
-Dinner For One Please, James*
-Do I Love You Because You’re Beautiful?
-Everything But You
-Everything Happens To Me*
-Gee Baby, Ain’t I Good To You
-Honeysuckle Rose*
-How Long Has This Been Going On?
-I Didn’t Know About You*
-It’s Always You*
-It’s Easy To Remember*
-Lulu’s Back In Town
-Satin Doll*
-September Song
-Social Call*
-Suddenly It’s Spring*
-The Lamp Is Low*
-They Say It’s Wonderful
-’Tis Autumn*
-To Love and Be Loved
-Too Marvelous For Words*
-Why Try To Change Me Now?*
-You Are Too Beautiful
-You’re My Thrill*
-Key of the Bridge — I (Off-Tonic)
-Blue Gardenia
-I Can’t Remember*
-I Cover the Waterfront*
-I Didn’t Know What Time It Was
-I Love You*
-My Funny Valentine
-Old Folks
-Sweet and Lovely*
-Sweet Sue, Just You
-Key of the Bridge — III/♭III (Off-Tonic)
-Cry Me a River
-I Hear a Rhapsody
-Lover Man
-Moon Song
-Oh! You Crazy Moon
-Prelude To a Kiss
-Prisoner Of Love
-Roses Of Yesterday
-Thanks For the Memory
-The Love I Long For
-Wait Till You See Her*
-Key of the Bridge — VI (Off-Tonic)
-Almost Like Being In Love*
-Good Morning Heartache*
-I Surrender Dear*
-Nancy (With the Laughing Face)
-Nice Work If You Can Get It
-Now That You’re Gone
-When Sunny Gets Blue
-You Brought a New Kind Of Love To Me
-Key of the Bridge — II (Off-Tonic)
-My Kinda Love*
-Key of the Bridge — VII/♭VII (Off-Tonic)
-All the Things You Are*
-Sophisticated Lady
-What Is This Thing Called Love?*
-Why Can’t I?
-Key of the Bridge — ♭VI (Off-Tonic)
-I Dream Of You
-In a Sentimental Mood
-Something I Dreamed Last Night
-The Best Thing For You
-Key of the Bridge — ♭II (Off-Tonic)
-Body and Soul
-
-“Have You Met Miss Jones?” Analysis
-Verse (12 bars)
-Structure: 3 symmetrical 4-bar phrases; mm. 1–8 are variants; mm. 9–12 descend from C5 to C4.
-Harmony:
-Phrase 1: open, ends with ii7–V7 in tonic.
-Phrase 2: tonally closed, tonicization of subdominant at m. 8 → m. 9.
-Phrase 3: half cadence using modified cycle of fifths at m. 12.
-Melody: Blues inflection on 3̂; unprepared major 9th in mm. 1, 5, 9.
-Harmonic support: Example: A♭4 on A♭°7 over C pedal, G4 treated as major 7th.
-Motivic features: Descending arch, stepwise motion reinforced by harmonic tension.
-Chorus (32-bar AABA on-tonic)
-Formal Characteristics
-A sections: symmetrical, 4-bar phrases.
-B section (bridge): 2+2+4 phrase distribution (sentence-like).
-Tonal Characteristics
-A section: Phrase Model 4, one chord per measure, slow harmonic rhythm.
-B section: Phrase Model 3, starts on IV (tonicized but not cadentially confirmed), chromatic sequences mm. 18–23, ii7–V7 prepares return to tonic at m. 24.
-Bridge highlights: sequential progression combining major 2nd and major 3rd cycles → roots of B♭ augmented triad.
-Melodic Characteristics
-Stepwise motion, motivic parallelism, measured skips, compound melody.
-Bridge creates tension using accented 9ths (mm. 17, 19, 21).
-Harmonic Characteristics
-Longest note B♭4 (mm. 7–8) participates in ii7–V7 or [ii7–V7]/♭II contexts.
-Bridge suggests adventurous harmonic vocabulary for improvisation.
-Summary of Features
-Formal: Symmetrical phrase structure in chorus parallels melody.
-Tonal: B section is adventurous, contrasting diatonic A sections.
-Melodic: Blues inflection in verse, stepwise chorus implies similar lines in improvisation.
-Harmonic: Phrase Model 4 and B♭4 note allow harmonic transformation in solos.
-ABAC Song Form (32-bar, On-Tonic and Off-Tonic)
-ABAC is a binary interrupted form, unlike AABA:
-Harmonic interruption at m. 16 divides form into I–V (mm. 1–16) and I–I (mm. 17–32).
-No clearly articulated bridge; B and C sections often related.
-Phrase models may vary:
-Faster harmonic rhythm → each section unique.
-Slower harmonic rhythm → single phrase model for both sections.
-Classification of Standard ABAC Tunes (On-Tonic)
-Key of B/C Sections — IV
-All the Way
-Blame It On My Youth
-But Not For Me
-Dardanella
-Fine and Dandy*
-I Can’t Give You Anything But Love*
-I Got Lost In His Arms*
-I Still Look At You That Way
-Indiana
-Isn’t It Romantic?
-Like Someone In Love
-Love Walked In*
-Make Someone Happy
-Manhattan Serenade*
-Pennies From Heaven*
-Please Be Kind*
-Put On a Happy Face
-Sometimes I’m Happy*
-Soon*
-Spring Will Be a Little Late This Year
-Strike Up the Band
-Summer Wind*
-The Best Of Everything*
-The Brooklyn Bridge
-The Lady Is a Tramp*
-The Party’s Over
-Thoroughly Modern Millie
-Who Can I Turn To?
-Key of B/C Sections — I
-A Fine Romance
-But Beautiful*
-Bye Bye Baby
-Dancing In the Dark
-Days Of Wine and Roses
-Ev’ry Time We Say Goodbye
-Everything I Love
-For All We Know
-How Little We Know
-I Left My Heart In San Francisco
-I’m Gonna Lock My Heart*
-I’m Gonna Sit Right Down and Write Myself a Letter*
-Let’s Get Lost*
-Let’s Take the Long Way Home
-Look For the Silver Lining*
-On Green Dolphin Street*
-Say It Isn’t So*
-Slumming On Park Avenue
-Someday (You’ll Want Me To Want You)*
-Someday My Prince Will Come
-Spring Is Here
-The Sheik Of Araby
-The Touch Of Your Lips*
-Them There Eyes*
-There Are Such Things*
-This Funny World
-What Kind Of Fool Am I?
-When I Fall In Love
-Who Cares?
-You’ll Never Know
-Key of B/C Sections — VI
-All Of My Life
-Bidin’ My Time*
-Embraceable You
-I Can Dream, Can’t I?*
-
-ABAC Off-Tonic Tune Classifications
-Key of B/C Sections — I
-All Of You
-Be Careful, It’s My Heart
-Dearly Beloved
-Easy To Love*
-I Should Care
-I Wish I Knew*
-I’ll Never Smile Again*
-Maybe It’s Because I Love You Too Much
-Star Dust*
-Key of B/C Sections — II
-A Woman In Love*
-At Long Last Love
-Between You and Me*
-Bye and Bye
-Deep Purple
-I Had the Craziest Dream*
-I Wanna Be Around*
-I’m Dreamer, Aren’t We All
-I’ve Got My Eyes On You
-If It’s the Last Thing I Do
-In Love In Vain
-It Amazes Me*
-Smile
-Someone Nice Like You
-Thanks For the Memory
-There Goes My Heart*
-Guys and Dolls
-Key of B/C Sections — III / ♭III
-Here’s That Rainy Day*
-Long Ago and Far Away
-Love Letters*
-Softly As I Leave You
-Gone With the Wind
-Tea For Two*
-Autumn In New York*
-It’s You Or No One*
-Laura*
-Key of B/C Sections — V
-Ev’rything I’ve Got*
-Why Did I Choose You?*
-Key of B/C Sections — VI
-Day By Day*
-I’ve Found a New Baby*
-Roses Of Picardy
-Two For the Road
-What a Difference a Day Made*
-You’d Be So Nice To Come Home To*
-Key of B/C Sections — IV
-April In Paris
-Fascinating Rhythm
-I Have the Feeling
-I’ve Been Here Before I’ll Never Be the Same
-I’ll Only Miss Her When I Think Of Her
-(On the) Street Of Dreams
-Only the Lonely
-Personality
-That Sunday (That Summer)
-The Impatient Years
-Key of B/C Sections — ♭II
-I’ve Got Your Number*
-Stranger in Paradise*
-“All Of You” Analysis (Cole Porter, 32-bar ABAC Off-Tonic)
-Verse
-Sets character and foreshadows chorus gestures.
-Melodic features: two-note anacrusis becomes three-note gesture in chorus; stepwise motion dominates; chord tones on beats 1 & 3, passing notes on 2 & 4.
-Harmony: off-tonic beginnings (B♭7/F → A♭, A♭min6, Fmin7♭5).
-Closure: expanded ii7–V7; idiomatic E°7 in m. 15 (blues device).
-Chorus
-Tonal:
-A section: Phrase Model 3, open cadence on V7 (m. 8).
-B section: Phrase Model 1 with ♭iiio7 in m. 10, open cadence on V7 (m. 16).
-C section: Phrase Model 3, tonicization of ii in m. 26; ii7–V7 sequence mm. 27–30.
-Melodic: Intervallic leaps, major 7th leap in m. 7; metric stress emphasizes words (“you”).
-Harmonic:
-Modal mixture (minor subdominant, ♭IV in m. 3, 7, 14, 17, 19, 21).
-Functionally equivalent mediant substitution in B section.
-D5 harmonized with A♭Maj7 (m. 25) and Amin7♭5–D7♭9 (m. 26).
-Metric/Rhythmic: Proactive anacrusis foreshadows harmonic events; shapes solo phrasing.
-Summary for Improvisation
-Tonal: Exploit tonal ambiguity, mixture chords, and functionally equivalent substitutions.
-Melodic: Angular lines with intervallic leaps reflect melody.
-Harmonic: Explore ♭iiio7 in m. 10 and IVmaj7/iii in mm. 25–26 for chord–scale options.
-Metric/Rhythmic: Use anacrusis to anticipate harmony; shapes rhythm and phrasing of solos.
-
-
-
-
-CHAPTER TWENTY-FOUR
-
-
-Chapter 24 — Extended and Unusual Song Forms
-Key Concepts
-Extended forms go beyond typical 32-bar AABA or ABAC structures.
-Unusual forms often have irregular phrase distributions, off-tonic sections, and intricate harmonic progressions.
-Improvisers must carefully analyze tonality and phrase structure to navigate these songs effectively.
-“Night and Day” duality is an example of lyrical and harmonic contrast often used in Porter's writing.
-Example: Cole Porter’s “Dream Dancing”
-
-Overall Form: Composite 52-bar form with verse and 3-part chorus.
-
-Verse (16 bars):
-Recitative-like, syllabic melody.
-Tonal architecture: Tonic (mm. 1–8), Predominant (mm. 9–14), Dominant (mm. 15–16).
-Harmonic parallelisms: mm. 5–7 reappear transposed in mm. 9–12.
-Salient ii7–V7/II in mm. 13–14 supports the lyrics “to live again.”
-Chorus (3 sections):
-A section (16 bars): Combines Phrase Model 5 (mm. 1–8) + Phrase Model 3 (mm. 9–16).
-B section (8 bars): Phrase Model 3 with off-tonic identifier on IV (mm. 25–32).
-C section (12 bars): Phrase Model 8 (mm. 41–52) with interpolated ii7–V7/II (mm. 45–49).
-
-Harmonic Highlights:
-
-Tonally ambivalent major submediant and chromatic alterations (mm. 1–4, 17–20).
-Off-tonic phrase identifiers and tonicizations (V7/VI, ii7–V7/II, ii7–V7/IV).
-Dominant 7th chords a major third apart (mm. 16–17) emphasize tonal instability.
-
-Melodic Highlights:
-
-Characteristic gestures for title words “dream dancing”: minor third skips and octave leaps.
-Chromatic inflections enhance expressive quality, supporting “Night and Day” duality.
-
-Improvisation Considerations:
-
-Formal: Use gradual tonic emergence (mm. 1–41) to shape solo climaxes.
-Melodic: Bold chromaticism aligns with song gestures.
-Harmonic: Exploit ii7–V7/II and dominant 7th chord progressions a third apart.
-Tempo: Flexible interpretation; swing or straight 8th-note feel possible.
-Chapter 25 — Jazz Reharmonization
-Key Concepts
-Harmonization: Supporting a melody with suitable chord progression.
-Reharmonization: Modifying existing chord progressions while keeping melodic alignment.
-Vertical vs Horizontal Harmony:
-Vertical: One chord per melodic event, often rapid harmonic rhythm.
-Horizontal: Independent linear lines create harmonic interplay; less tied to beat-by-beat chords.
-
-Historical Context:
-
-Techniques extend from Baroque practices (Bach chorales, variations) to jazz improvisation.
-Example: Bach’s “Herzlich tut mich verlangen” — the same melody harmonized differently creates new tonal paths.
-Example: Bach’s Goldberg Variations, “Variatio 15. Canone alla Quinta” — harmonic outcomes arise from line independence rather than fixed chord structures.
-Implications for Jazz
-Melodic interpretation guides harmonic choices.
-Linear reharmonization allows freedom, producing chromaticism, suspensions, and delayed resolutions.
-Both vertical and horizontal strategies inform improvisation and arranging.
-Basic Reharmonization Techniques (Preview)
-Chord substitutions (diatonic, tritone, or chromatic)
-Addition of chord extensions
-Functional exchange
-Pedal points and tonicizations
-Interpolation of auxiliary progressions
-Neighbor formations and melodic recontextualization
-
-Jazz Reharmonization Techniques Illustrated with “Autumn Leaves”
-
-In this section, several approaches to reharmonization are discussed and illustrated using sections from Joseph Kosma’s classic tune “Autumn Leaves.” The eleven basic techniques covered are:
-
-Addition of extensions
-Harmonic expansion of structural chords
-Tonicization
-Tritone substitutions
-Diminished 7th chords
-Upper-structure triads
-Neighbor formations
-Pedal points
-Functional exchange
-Melodic recontextualization
-Interpolation of auxiliary progressions
-Addition of Extensions
-
-Chapters 4 and 5 demonstrated how chords can be expanded with various extensions and pitch alterations, introducing 14 four-part chords and 35 five-part chords. In the context of “Autumn Leaves,” the available extensions are determined by the structure of the melody.
-
-For example, in mm. 1–8 (Figure 25.3), notes such as E5 (m. 1), D5 (m. 3), C5 (m. 5), and B5 (m. 7) serve as minor or major 3rds of their corresponding chords. Many of these notes are suspended over bar lines and supported by different chords, demonstrating a common jazz voice-leading scenario: the 3rd of one chord becomes the 7th of the next.
-
-Adding appropriate extensions transforms a simple harmonic progression into one that sounds idiomatic in jazz. Figures 25.5 and 25.6 illustrate two variations of adding extensions, from basic single extensions to more complex five- and six-note voicings. For example, Cmin11 (m. 1) includes the major 9th and perfect 11th, creating a transparent, quintal-based sound. Harmonic tension is accumulated through diatonic extensions that are carefully prepared and resolved across measures.
-
-Voice-leading considerations are critical: extensions like the 5th require hierarchical preparation through successive diatonic and chromatic extensions to avoid clashes.
-
-Harmonic Expansion of Structural Chords
-
-Harmonic expansion increases the rate of harmonic rhythm, creating a sense of forward momentum. Slower harmonic rhythms, typical of ballads, are ideal for this technique.
-
-For instance, in mm. 1–4 of “Autumn Leaves” (Figure 25.7), chords with similar functions (e.g., Cmin9 and EMaj9) are expanded with different qualities. The ii7–V7 progression within the dominant space (m. 2) exemplifies a common harmonic diminutive that produces stronger cadential drive and smoother voice leading.
-
-Tonicization
-
-Tonicization prepares the arrival of new key areas or individual chords using dominant 7ths, ii7–V7 progressions, or tritone substitutions. Minor chords are typically not tonicized.
-
-In “Autumn Leaves,” mm. 7–9 (Figure 25.8) illustrate tonicization. The melody (B4–G4–A4–B4) suggests a ii7–V7 pattern that leads toward the minor tonic. Pitch choices in the melody constrain the harmonization, e.g., A4 prevents Dmin7(5) and B4 suggests using an altered dominant voicing.
-
-Tritone Substitutions
-
-Tritone substitutions replace dominant chords with another dominant a tritone away. Their effectiveness depends on how well the melody fits into the new harmonic context.
-
-Figure 25.9 compares three reharmonizations of “Autumn Leaves” using tritone substitutions:
-
-25.9a: Least convincing; melodic notes conflict with the substituted chord.
-25.9b: Some improvement using parallel motion.
-25.9c: Most effective; contrary motion and hierarchical extension placement support the melody convincingly.
-
-The melody must function as chord tones or extensions for successful tritone substitution.
-
-Diminished 7th Chords
-
-Diminished 7th chords are used as passing or neighbor chords. Close-position, block-style voicings with the melody doubled at the octave are common.
-
-Passing chords: Connect two chord tones (e.g., F°7 between root and 3rd).
-Neighbor chords: Can be diatonic or chromatic; roots often correspond to melody notes. (Figure 25.10)
-Upper-Structure Triads
-
-Upper-structure triads introduce additional dissonance and tension, enhancing harmonic character. In mm. 22–23 (Figure 25.11), successive triads increase dissonance while maintaining voice-leading coherence, gradually preparing the resolution to BMaj7(5).
-
-Neighbor Formations
-
-Neighbor formations—upper or lower—are effective when the melody moves stepwise while outer voices move in contrary motion. This maintains smooth voice leading and harmonic clarity (Figure 25.12).
-
-Pedal Points
-
-Pedal points anchor a root note while upper voices move harmonically, often over progressions like ii7–V7–Imaj7 or Imaj7–vi7–ii7–V7.
-
-Example: Mm. 17–20 pedal on D, mm. 21–23 pedal on F (Figure 25.13).
-Pedals increase modal feeling, allow chromaticism, and justify “playing outside” the changes.
-Functional Exchange
-
-Functional exchange modifies a chord’s quality or role. Successful use depends on the melody fitting into the new harmonic environment.
-
-Example: C7(9) substitutes Cmin7, and BMaj7 becomes a dominant anticipating EMaj7 (Figure 25.14).
-Most exchanges involve changing tonic → dominant or predominant → dominant chords.
-Melodic Recontextualization
-
-This technique reinterprets melody notes as chord tones or extensions of new harmonic progressions. The melody guides substitution choices while maintaining logical harmonic relationships.
-
-Example: Mm. 1–4 (Figure 25.15) show E5 functioning as the 9th of Dmin9 and 13th of G13, substituting the original Cmin7. Bmin7–E7 substitutes BMaj7 using stepwise voice leading and chromatic preparation.
-
-
-
-
-FIGURE 26.1 Summary of Analytical Symbols
-
-The analytical symbols in Tristano’s “Line Up” allow for a detailed reading of both melodic and harmonic content simultaneously. Key categories include:
-
-Neighbor Figures: Upper (UN), lower (LN), and double neighbors (DN/EDN). These create tension by approaching chord tones stepwise from above or below.
-Escape Notes (EN): Leave a chord tone by step and resolve to another chord tone via a skip in the opposite direction.
-Passing Notes (PN): Stepwise tones connecting chord tones, often derived from bebop scales (BPN).
-Accented Variants: Accented upper/lower neighbors (AUN/ALN) and accented passing notes (ACPN).
-Diatonic vs Chromatic: Prefixes D or C distinguish diatonic from chromatic motion (e.g., CUN = chromatic upper neighbor).
-Slurs: Dashed slurs indicate scalar passages, dotted slurs indicate prolonged stepwise voice-leading between phrases.
-Brackets: Indicate harmonic substitutions, chord arpeggiations, or structural departures from the underlying progression.
-Scale Degrees & Arabic Numbers: Highlight important melodic spans and structural patterns over local harmonies (e.g., C:1–2–3–5 = C–D–E–G).
-LINEAR AND CONTRAPUNTAL PRINCIPLES IN “LINE UP”
-
-Tristano’s improvisational approach is fundamentally linear and contrapuntal. Unlike conventional chord-based improvisation, lines are conceived independently, with harmonic coherence emerging from the interaction of multiple moving voices. Important principles include:
-
-Stepwise Motion Dominance: Except for melody leaps, inner lines move predominantly by half or whole steps to avoid conventional harmonic convergence.
-Independent Voice Interaction: Each voice can imply distinct harmonic regions, creating novel chordal textures.
-Use of Neighbor and Escape Figures: These provide melodic decoration while reinforcing harmonic motion subtly.
-Structural and Non-Structural Tone Distinctions: Longer stems and beams mark structurally important tones, while dashed stems indicate non-structural surface activity.
-Sidesteppings: Chromatic or diatonic sidesteps create temporary harmonic detours, enriching the tonal landscape without breaking linear integrity.
-Contrapuntal Chord Superimposition: Three- to five-part chromatic or diatonic structures overlay the primary harmonic framework, allowing subtle reharmonization on the fly.
-EXAMPLES OF TRISTANO’S TECHNIQUE
-
-Figures 26.2a–f (referenced in the text) illustrate the following:
-
-Neighbor Figure Applications: UN and LN figures in mm. 3–5 approach structural chord tones stepwise, creating tension-resolution gestures.
-Escape Note Usage: EN figures in mm. 6–8 leave chord tones by step and resolve via skips, often anticipating harmonic changes.
-Bebop Passing Notes: BPNs enrich scalar motion and connect chord tones smoothly, especially in longer melodic spans.
-Accented Figures: ALN or ACPN provide rhythmic emphasis and foreground select pitches within dense contrapuntal textures.
-Chromatic Sidestepping: Vertical arrows in the transcription indicate chromatic excursions, temporarily displacing the melody from underlying harmony.
-Voice Interaction: Independent movement of lower and inner voices produces emergent chord structures, demonstrating Tristano’s linear reharmonization principles.
-PEDAGOGICAL IMPLICATIONS
-
-Studying “Line Up” allows a student to:
-
-Understand how linear motion can create complex harmonic textures.
-Identify how neighbor, escape, and passing notes function in a contrapuntal improvisation context.
-Recognize that harmonic coherence can emerge organically from interacting melodic lines rather than strict chordal planning.
-Apply Tristano-style techniques to both analysis and composition/improvisation, particularly in modern jazz contexts.
-
-This detailed analytical framework underscores the sophistication of Tristano’s approach and provides a roadmap for decoding his improvisational syntax.
-
-
-CHAPTER TWENTY-SEVEN
-Post-Tonal Jazz
-
-The evolution from Bebop to post-tonal approaches in jazz reflects a growing exploration of harmonic, melodic, and rhythmic freedom. Lennie Tristano’s work, particularly in “Line Up,” serves as an important bridge between the bebop vocabulary and post-tonal improvisational strategies. While Tristano retained the chord progressions of standard tunes, his treatment of melody, rhythm, and voice leading often approached post-tonal thinking—creating lines that could be analyzed horizontally as much as vertically, and that frequently blurred conventional tonal centers.
-
-Characteristics of Post-Tonal Jazz
-Harmonic Freedom
-Post-tonal jazz often reduces reliance on diatonic functional harmony. As seen in Tristano’s use of chromatic neighbor tones, tritone substitutions, harmonic interpolations, and superimposed progressions, post-tonal players manipulate harmonic structures to serve melodic logic rather than predetermined chord resolutions.
-Linear and Contrapuntal Thinking
-The structural approach exemplified by Tristano—where lines maintain coherence across multiple choruses, employ compound melodies, and navigate chromatic pivots—anticipates post-tonal methods where linear continuity can dominate harmonic expectation.
-Rhythmic Innovation
-Post-tonal improvisers expand the rhythmic palette beyond regular phrase symmetry. Tristano’s metric and phrase displacement, accent manipulation, and polyrhythmic juxtapositions exemplify this trend, which would later be amplified in the works of modern jazz pianists and avant-garde improvisers.
-Extended Melodic Vocabulary
-Techniques such as melodic interpolation, motivic parallelism, and chromatic passing tones expand the melodic language, freeing the soloist from traditional diatonic constraints. This approach allows for continuous, flowing lines that interact with the harmonic background in non-functional ways.
-Integration of Advanced Techniques
-Post-tonal jazz often combines multiple strategies simultaneously:
-Compound melody and polyphony create internal counterpoint within a single-line improvisation.
-Voice-leading considerations ensure chromatic and diatonic tones interact smoothly.
-Structural improvisation provides long-term formal coherence, making each phrase part of a larger architectural plan.
-Analytical Implications
-
-Studying Tristano’s “Line Up” demonstrates that post-tonal thinking in jazz is not simply about avoiding tonal centers—it is about reconceiving the relationships between melody, harmony, rhythm, and structure. By analyzing his work, musicians can develop:
-
-An ear for metric ambiguity and rhythmic displacements, essential for post-tonal phrasing.
-Sensitivity to voice-leading in complex chromatic contexts, a core skill for polyphonic improvisation.
-A method for structural planning of solos, connecting melodic devices across choruses for long-term coherence.
-Legacy and Influence
-
-Tristano’s innovations foreshadowed the later developments in jazz by:
-
-Ornette Coleman, Cecil Taylor, and other avant-garde artists who emphasized freedom from harmonic constraints.
-Modern jazz educators who use post-tonal analysis to teach improvisation across linear, contrapuntal, and chromatic frameworks.
-
-In essence, “Line Up” is a masterclass in how a single solo can simultaneously respect harmonic tradition and anticipate post-tonal abstraction, making it a critical reference for understanding jazz improvisation beyond functional harmony.
-
-HAPTER SUMMARY (CONTINUED)
-
-APPLICATION TO JAZZ IMPROVISATION
-
-The theoretical concepts discussed in this chapter—particularly trichords and pitch-class (pc) sets—can be directly applied to jazz improvisation. By recognizing the harmonic potential of trichords, improvisers can:
-
-Construct upper-structure triads over existing chord progressions.
-Explore nontraditional harmonic environments while maintaining cohesion.
-Employ chromaticism and non-diatonic structures more fluidly.
-Build melodic lines that reference trichordal relationships rather than standard tonal functions.
-
-A crucial benefit of understanding trichords is the ability to identify families of pc sets that share intervallic characteristics, allowing improvisers to choose collections of pitches that are harmonically and melodically coherent. For instance, a semitone family trichord like (015) can create tension, while a diatonic family trichord like (025) can outline consonant or modal sonorities.
-
-PC-SET COMPLEXES AND MELODIC APPLICATIONS
-
-Each trichord, when transposed and combined with its inversionally related forms, forms a pc-set complex, which can serve as a palette for improvisation:
-
-Rootless voicings: Use pc sets without a clear root to imply chords.
-Upper-structure voicings: Stack trichords on top of existing chords to create extensions (9ths, 11ths, 13ths).
-Melodic cells: Use trichord forms as motifs or melodic kernels within longer lines.
-
-By internalizing these pc-set complexes, jazz musicians can improvise using post-tonal logic while retaining rhythmic and melodic freedom.
-
-SUMMARY OF CHAPTER 27 TAKEAWAYS
-
-Post-tonal theory in jazz allows for abstraction beyond traditional tonal systems, emphasizing pitch-class relationships rather than key-based functions.
-Trichords are three-note collections that can be analyzed by normal form, intervallic content, and prime form to reveal inversional relationships.
-Families of trichords (diatonic, whole-tone, triadic, semitone) guide harmonic exploration and improvisation.
-Prime forms and set classes provide a systematic method to classify and apply pitch collections.
-Clock-face visualization is a practical tool for identifying normal and prime forms quickly.
-Harmonic potential of trichords enables rootless and upper-structure improvisation, bridging theoretical abstraction and practical jazz performance.
-PC-set complexes unify multiple transpositions and inversions of a trichord, offering a rich vocabulary for improvisers.
-
-Ultimately, the chapter emphasizes that post-tonal theory is not just an academic exercise but a practical framework for expanding melodic and harmonic possibilities in jazz, encouraging improvisers to think beyond conventional tonal constraints.
-PC-SET COMPLEXES AND HARMONIC APPLICATIONS
-1. “Diatonic” Trichords ([025], [035], [027], [057])
-Flexible for upper-structure voicings and rootless chords.
-[025] example: in B♭Maj9, functions as major 9th, 3rd, 5th; in A♭Maj13(♯11), functions as major 3rd, ♯11, major 13th.
-[027] often used as quartal structure; integrates well into dominant 7th chords within minor 3rd cycles.
-These sets are interrelated; [025] and [027] share two pitches, enabling smooth harmonic connections.
-2. Whole-Tone Trichords ([024], [026], [046], [048])
-Derived from the whole-tone scale, especially effective in dominant 7th chords.
-[024], [026], [048]: belong to specific whole-tone scales, thus fit into every dominant 7th built from that scale.
-[046]: versatile as an upper structure across two whole-tone scales, increasing harmonic flexibility.
-3. Triadic Trichords ([036], [037], [047])
-Function as upper structures for dominant 7ths, but reversed: one triad can support multiple chord types.
-Connects directly with the upper-structure triads discussed in Chapter 14.
-Demonstrates the flexibility of triads as harmonic building blocks in a post-tonal context.
-4. Semitone Trichords ([012], [013], [023], [014], [034], [015], [045], [016], [056])
-Most chromatic and interval-dense, producing unique tensions.
-[012]: chromatic embellishments, limited harmonic use.
-[013]: introduces add-note chords (e.g., A♭Maj7(add4)), extending traditional jazz harmony.
-[045]: used in min7(♭5); creates tension requiring resolution.
-[016] & [056]: suitable for dominant 7th chords, even with “forbidden” intervals (perfect 4th, major 7th).
-Consonance/dissonance is context-dependent, aligning with Persichetti’s principle: any note can sound with any other.
-MODAL AND MOTIVIC POTENTIAL
-Trichords derived from diatonic or chromatic modes can be used horizontally as motives.
-Allows motivic development, expanding melodic and harmonic creativity.
-TRANSFORMATION OF TRICHORDS
-Inversion (TnI)
-Two-step process: invert around pc0 → transpose by index number.
-Example: [025] → [035] using T5I.
-Mapping follows mirror inversion; sum of corresponding pcs = index number (mod 12).
-Transposition (Tn)
-Single-step mapping: subtract or add integers to find level of transposition.
-Uses mod 12 arithmetic for wrap-around in pitch-class space.
-AURAL IDENTIFICATION
-Develops a tonally neutral ear for recognizing trichords.
-Steps for recognition:
-Identify interval classes between pitches.
-Convert to pitch classes (pc).
-Arrange in normal form.
-Determine inversional partner, if applicable.
-Assign pc0 to the most packed pitch → get prime form.
-Example: C♯5, F4, E4 → pc1, pc5, pc4 → normal form [145] → prime form (014).
-Pitch-class recognition improves harmonic sensitivity and improvisational control.
-
-This section essentially bridges post-tonal theory and practical jazz application, showing how trichords and pc-set complexes inform:
-
diff --git a/Books/Music/Theory/Modal Interchange.txt b/Books/Music/Theory/Modal Interchange.txt
index 811aa46..dec3def 100644
--- a/Books/Music/Theory/Modal Interchange.txt	
+++ b/Books/Music/Theory/Modal Interchange.txt	
@@ -1,18 +1,4 @@
-TYPE:fact
-PRIORITY:medium
-TITLE: Borrowed Chords and Modal Interchange
-DOMAIN: Music Theory
-CONCEPTS: modal interchange borrowed chords parallel modes 
-modal mixture diatonic harmony reharmonization backdoor progression
-IVm bVI bVII Lydian Ionian Mixolydian Dorian Aeolian 
-Phrygian Locrian songwriting jazz harmony rock harmony
-SOURCE Music Theory Instructional
-TOPIC Modal interchange theory borrowed chord usage and parallel mode reference for all twelve keys
-
 What is Modal Interchange
-Metadata typedefinition conceptmodalInterchange 
-conceptborrowedChords conceptparallelMode conceptharmonicColor
-
 Modal interchange  also called borrowed chords modal mixture or mixed 
 modes  is a compositional device in which composers add unexpected 
 harmonic colors by borrowing chords from a parallel mode The most common 
@@ -23,12 +9,7 @@ can use chords from C minor in the context of C major without preparation
 or awkwardness More advanced examples draw on other parallel modes beyond 
 just the natural minor The result is a significantly expanded harmonic 
 palette that moves well beyond the familiar and limited sound of purely 
-diatonic chords
-
-Commonly Used Borrowed Chords
-Metadata typetheory conceptborrowedChords conceptmodalInterchange
-keyCmajor chordsIVmbVIbVIIbIIIVmhalfDiminishedIIdiminishedVII
-conceptparallelMinor
+diatonic chords.
 
 The most frequently used borrowed chords in a major key come from the 
 parallel natural minor or Aeolian mode In C major these are the minor 
@@ -40,12 +21,7 @@ B7 In practice several borrowed chords from the parallel minor
 function exactly like their diatonic counterparts  IV can be replaced 
 with IVm IIm7 with II7 V with Vm VIm with bVI and VII7 with VII7 
 without any other adaptation or preparation creating striking new colors 
-within otherwise familiar progressions
-
-Modal Interchange in Classic Rock  Blood Sweat and Tears
-Metadata typeexample conceptmodalInterchange genreclassicRock
-artistBloodSweatAndTears songSpinningWheel year1970
-progressionIbVIIbVIV keyCmajor conceptstepwiseDescent
+within otherwise familiar progressions.
 
 Blood Sweat and Tears formed in New York City in 1967 with the goal of 
 combining jazz sophistication with rock energy Their selftitled second 
@@ -55,13 +31,7 @@ from tonic to dominant through borrowed chords from the parallel minor
 moving I to bVII to bVI to V This descending progression through bVII 
 and bVI borrowed from C Aeolian creates a cinematic dramatic momentum 
 that diatonic harmony alone cannot achieve with each chord pulling 
-downward toward the dominant resolution
-
-Modal Interchange in Jazz  Days of Wine and Roses
-Metadata typeexample conceptmodalInterchange genrejazz
-artistHenryManciniRayBrownTrioGeneHarris 
-songDaysOfWineAndRoses year1962 keyFmajor
-chordsIVm6bVII7 concepttritoneSubstitution conceptbackdoorProgression
+downward toward the dominant resolution.
 
 The Days of Wine and Roses written by Henry Mancini with lyrics by 
 Johnny Mercer appeared in the 1962 film of the same title earning an 
@@ -74,13 +44,7 @@ resolving to D7 in measure four The movement from IVm7 to bVII9 to I
 is a common jazz progression known as the backdoor iiV or simply the 
 backdoor progression  a particularly smooth and sophisticated application 
 of modal interchange that resolves to the tonic from an unexpected 
-harmonic direction
-
-Modal Interchange in Soul  Never Can Say Goodbye
-Metadata typeexample conceptmodalInterchange genresoulRandB
-artistJackson5MichaelJackson songNeverCanSayGoodbye year1970
-keyDmajor modesDDorianDLydianDPhrygianDIonian
-conceptadvancedModalInterchange
+harmonic direction.
 
 The Jackson 5 recorded Never Can Say Goodbye in 1970 with lead vocals 
 by an elevenyearold Michael Jackson Written by Clifton Davis the 
@@ -91,12 +55,7 @@ D Lydian and D Phrygian before resolving back to D Ionian This
 movement across three parallel modes within a single progression 
 demonstrates that modal interchange is not limited to borrowing from 
 the parallel minor alone but can draw on the full spectrum of parallel 
-modes for harmonic color
-
-How to Use Borrowed Chords  Practical Application
-Metadata typeapplication conceptmodalInterchange conceptborrowedChords
-conceptmelodyCompatibility conceptreharmonization conceptsidestepping
-conceptparallelChords levelbeginnerintermediate
+modes for harmonic color.
 
 For beginners approaching modal interchange the simplest entry point 
 is identifying which melody notes have the greatest compatibility with 
@@ -111,12 +70,7 @@ where a borrowed chord resolves with each voice moving down a half step
 in parallel chromatic motion as when AbGb precedes GF with all notes 
 descending a half step The backdoor progression  IVm7 to bVII9 to I 
  is a particularly common and smooth jazz application of modal 
-interchange drawn from the parallel Aeolian mode
-
-Modal Interchange Applications Beyond Songwriting
-Metadata typeapplication conceptmodalInterchange genrejazzcoverBand
-conceptearTraining conceptreharmonization conceptjazzStandards
-conceptlearningByEar
+interchange drawn from the parallel Aeolian mode.
 
 Modal interchange is valuable beyond songwriting and composition For 
 gigging musicians in cover bands familiarity with the sound of common 
@@ -129,12 +83,7 @@ chords with borrowed alternatives to create fresh harmonic colors within
 familiar melodic contexts The skill of hearing modal interchange in 
 real music  rather than only understanding it theoretically  develops 
 through deliberate listening to the examples above and actively 
-identifying borrowed chords in recordings
-
-Modal Interchange Summary
-Metadata typesummary conceptmodalInterchange conceptborrowedChords
-conceptparallelMode conceptharmonicPalette conceptbackdoorProgression
-chordsIVmbVIbVIIbIII genresrockjazzsoul
+identifying borrowed chords in recordings.
 
 Modal interchange is the practice of borrowing chords from parallel 
 modes to expand harmonic color beyond diatonic limitations The most 
@@ -148,32 +97,32 @@ Blood Sweat and Tears jazz Days of Wine and Roses and soul Never
 Can Say Goodbye demonstrating its universal harmonic value For 
 songwriters it expands the chord palette significantly for performers 
 it accelerates learning by ear for jazz musicians it enables 
-personalized reharmonization of standards
+personalized reharmonization of standards.
 
 Model Interchange as Color
 The Spectrum of Harmonic Light and Shadow
 
 Think of these parallel borrowings not just as chord swaps but as adjusting the lighting on a stage You are starting in the Neutral Daylight of the Major key and using these modes to shift the atmosphere
-1 The Lydian Golden Hour The Brightest Lift
+1 The Lydian Golden Hour The Brightest Lift.
 
 The Substitution II7 for IImin7 eg D7 in C Major
 Lydian is the brightest of all traditional modes When you borrow that Major II chord you are injecting a sense of wonder and upward momentum Its the sound of a movie protagonist seeing the ocean for the first time It feels ethereal optimistic and slightly outside
-2 The Mixolydian Bluesy Sunset Relaxed  Soulful
+2 The Mixolydian Bluesy Sunset Relaxed  Soulful.
 
 The Substitution VIImaj7 for VIImin75 eg Bbmaj7 in C Major
 Mixolydian softens the leading tone of the key By using the VII you remove the tension of the B diminished chord and replace it with a relaxed grooving stability This is the bedrock of classic rock and jam musicit feels grounded expansive and effortlessly cool
-3 The Dorian Moonlight Sophisticated Mystery
+3 The Dorian Moonlight Sophisticated Mystery.
 
 The Substitution IV7 for IVmaj7 eg F7 in C Major
 Dorian is the bridge between light and dark Borrowing the IV7 the Oye Como Va chord adds a soulful jazzy grit It doesnt feel sad like a minor key but it doesnt feel naive like a major key Its the sound of an urban nightsophisticated rhythmic and slightly mysterious
-4 The Aeolian Storm Clouds Epic Drama
+4 The Aeolian Storm Clouds Epic Drama.
 
 The Substitution VImaj7 or IIImaj7 eg Abmaj7 or Ebmaj7 in C Major
 Now we are moving into the True Minor territory These chords provide the massive cinematic weight found in power ballads and hard rock The VI Abmaj7 in particular feels like a sudden shift in the windits dramatic heavy and carries a sense of gravity and grand scale
-5 The Phrygian Eclipse The Darkest Depth
+5 The Phrygian Eclipse The Darkest Depth.
 
 The Substitution IImaj7 for IImin7 eg Dbmaj7 for Dmin7
-This is the most extreme shift The II is exotic tense and almost uncomfortably dark It creates a sense of immediate danger or ancient mystery When you hear this in a song like Becks Bolero its the moment the sun disappears behind the clouds and the atmosphere becomes thick and heavy
+This is the most extreme shift The II is exotic tense and almost uncomfortably dark It creates a sense of immediate danger or ancient mystery When you hear this in a song like Becks Bolero its the moment the sun disappears behind the clouds and the atmosphere becomes thick and heavy.
 
 From Parallel Dorian  In the key of C major you can substitute or borrow Imin7 for Imaj7  for example Cmin7 for Cmaj7.
 From Parallel Dorian  In the key of C major you can substitute or borrow IV7 for IVmaj7  for example F7 for Fmaj7.
diff --git a/Books/Music/Theory/Modal_Scale_Reference.txt b/Books/Music/Theory/Modal_Scale_Reference.txt
index fc2833d..fd435d4 100644
--- a/Books/Music/Theory/Modal_Scale_Reference.txt
+++ b/Books/Music/Theory/Modal_Scale_Reference.txt
@@ -1,11 +1,4 @@
-TITLE: Modal Scale Reference
-DOMAIN: Music Theory
-TYPE: reference
-PRIORITY: high
-CONCEPTS: modes, scales, ionian, dorian, phrygian, lydian, mixolydian, aeolian, locrian, intervals, note spelling
-
 Ionian (Major)
-
 The notes in the C Ionian scale are C D E F G A B.
 The notes in the C# Ionian scale are C# D# E# F# G# A# B#.
 The notes in the D Ionian scale are D E F# G A B C#.
@@ -20,7 +13,6 @@ The notes in the A# Ionian scale are A# B# C## D# E# F## G##.
 The notes in the B Ionian scale are B C# D# E F# G# A#.
 
 Dorian
-
 The notes in the C Dorian scale are C D Eb F G A Bb.
 The notes in the C# Dorian scale are C# D# E F# G# A# B.
 The notes in the D Dorian scale are D E F G A B C.
@@ -35,7 +27,6 @@ The notes in the A# Dorian scale are A# B# C# D# E# F## G#.
 The notes in the B Dorian scale are B C# D E F# G# A.
 
 Phrygian
-
 The notes in the C Phrygian scale are C Db Eb F G Ab Bb.
 The notes in the C# Phrygian scale are C# D E F# G# A B.
 The notes in the D Phrygian scale are D Eb F G A Bb C.
@@ -50,7 +41,6 @@ The notes in the A# Phrygian scale are A# B C# D# F F# G#.
 The notes in the B Phrygian scale are B C D E F# G A.
 
 Lydian
-
 The notes in the C Lydian scale are C D E F# G A B.
 The notes in the C# Lydian scale are C# D# E# F## G# A# B#.
 The notes in the D Lydian scale are D E F# G# A B C#.
@@ -65,7 +55,6 @@ The notes in the A# Lydian scale are A# B# C## D## E# F## G##.
 The notes in the B Lydian scale are B C# D# F F# G# A#.
 
 Mixolydian
-
 The notes in the C Mixolydian scale are C D E F G A Bb.
 The notes in the C# Mixolydian scale are C# D# E# F# G# A# B.
 The notes in the D Mixolydian scale are D E F# G A B C.
@@ -80,7 +69,6 @@ The notes in the A# Mixolydian scale are A# B# C## D# E# F## G#.
 The notes in the B Mixolydian scale are B C# D# E F# G# A.
 
 Aeolian (Natural Minor)
-
 The notes in the C Aeolian scale are C D Eb F G Ab Bb.
 The notes in the C# Aeolian scale are C# D# E F# G# A B.
 The notes in the D Aeolian scale are D E F G A Bb C.
@@ -95,7 +83,6 @@ The notes in the A# Aeolian scale are A# B# C# D# F F# G#.
 The notes in the B Aeolian scale are B C# D E F# G A.
 
 Locrian
-
 The notes in the C Locrian scale are C Db Eb F Gb Ab Bb.
 The notes in the C# Locrian scale are C# D E F# G A B.
 The notes in the D Locrian scale are D Eb F G Ab Bb C.
diff --git a/Books/Music/Theory/Mode Formulas.txt b/Books/Music/Theory/Mode Formulas.txt
index b220b6e..9eb3425 100644
--- a/Books/Music/Theory/Mode Formulas.txt	
+++ b/Books/Music/Theory/Mode Formulas.txt	
@@ -1,8 +1,4 @@
-TITLE: Mode Formulas
-DOMAIN: Music Theory
-CONCEPTS: modes, interval formula, whole step, half step, Ionian, Dorian, Phrygian, Lydian, Mixolydian, Aeolian, Locrian, scale construction, W H pattern, construct scale, build scale, apply formula, starting note, root note
-TYPE: reference
-PRIORITY: medium
+Mode Formnulas
 
 W means whole step also called a tone or T. H means half step also called a semitone or S. W and T are equivalent. H and S are equivalent. A whole step equals 2 semitones. A half step equals 1 semitone. W means whole step and H means half step in mode interval formulas. To construct any modal scale choose a starting note and apply each interval step in the formula in sequence to arrive at the next note.
 
diff --git a/Books/Music/Theory/mode_lookup.txt b/Books/Music/Theory/mode_lookup.txt
index 21dace0..2df656e 100644
--- a/Books/Music/Theory/mode_lookup.txt
+++ b/Books/Music/Theory/mode_lookup.txt
@@ -1,17 +1,7 @@
-TITLE: Mode Lookup
-DOMAIN: Music Theory
-TYPE: fact
-PRIORITY: high
-CONCEPTS: modes, scales, ionian, dorian, phrygian, lydian, mixolydian, aeolian, locrian, diatonic scales, major scale, minor scale, intervals, scale degrees
-SCOPE: modal_theory
-
 Mode Scale Reference
 All modes listed are 7-note diatonic scales. Each mode is shown as a complete pitch collection for specific root notes.
 
----
-
 IONIAN MODE (Major Scale)
-
 C Ionian: C D E F G A B
 G Ionian: G A B C D E F#
 A Ionian: A B C# D E F# G#
diff --git a/Books/Music/Theory/mode_rules.txt b/Books/Music/Theory/mode_rules.txt
index ff0287d..9d11b6d 100644
--- a/Books/Music/Theory/mode_rules.txt
+++ b/Books/Music/Theory/mode_rules.txt
@@ -1,10 +1,3 @@
-TITLE: Mode Rules
-DOMAIN: Music Theory
-TYPE: rule
-PRIORITY: high
-CONCEPTS: intervals, whole step, half step, semitones, scale construction, modes, ionian, dorian, phrygian, lydian, mixolydian, aeolian, locrian, diatonic theory
-SCOPE: scale_construction
-
 Mode Interval Definitions
 A whole step (W) equals 2 semitones. A half step (H) equals 1 semitone.
 
diff --git a/Books/Music/embeddings_cache.npz b/Books/Music/embeddings_cache.npz
new file mode 100644
index 0000000..e2f8b0f
Binary files /dev/null and b/Books/Music/embeddings_cache.npz differ
diff --git a/Books/Music/embeddings_cache_meta.json b/Books/Music/embeddings_cache_meta.json
new file mode 100644
index 0000000..208c718
--- /dev/null
+++ b/Books/Music/embeddings_cache_meta.json
@@ -0,0 +1 @@
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\ No newline at end of file
diff --git a/Books/Religeon/The Holy Bible, English Standar - Crossway Bibles.txt b/Books/Religeon/The Holy Bible, English Standar - Crossway Bibles.txt
deleted file mode 100644
index 5786674..0000000
--- a/Books/Religeon/The Holy Bible, English Standar - Crossway Bibles.txt	
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@@ -1,83235 +0,0 @@
-Table of Contents
-
-
-The Holy Bible ESV
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-
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-Preface to the English Standard Version
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-Explanation of Features Included in this Edition
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-GENESIS
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-EXODUS
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-LEVITICUS
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-NUMBERS
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-DEUTERONOMY
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-JOSHUA
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-JUDGES
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-RUTH
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-1 SAMUEL
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-2 SAMUEL
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-1 KINGS
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-2 KINGS
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-1 CHRONICLES
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-2 CHRONICLES
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-EZRA
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-NEHEMIAH
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-ESTHER
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-JOB
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-PSALMS
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-PROVERBS
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-ECCLESIASTES
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-SONG OF SOLOMON
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-ISAIAH
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-JEREMIAH
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-LAMENTATIONS
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-EZEKIEL
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-DANIEL
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-HOSEA
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-JOEL
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-AMOS
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-OBADIAH
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-JONAH
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-MICAH
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-NAHUM
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-HABAKKUK
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-ZEPHANIAH
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-HAGGAI
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-ZECHARIAH
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-MALACHI
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-MATTHEW
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-MARK
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-LUKE
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-JOHN
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-ACTS
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-ROMANS
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-1 CORINTHIANS
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-2 CORINTHIANS
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-GALATIANS
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-EPHESIANS
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-PHILIPPIANS
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-COLOSSIANS
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-1 THESSALONIANS
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-2 THESSALONIANS
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-1 TIMOTHY
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-2 TIMOTHY
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-TITUS
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-PHILEMON
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-HEBREWS
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-JAMES
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-1 PETER
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-2 PETER
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-1 JOHN
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-2 JOHN
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-3 JOHN
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-JUDE
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-REVELATION
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-The Holy Bible
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-ESV
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-English Standard Version
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-Containing the Old and New Testaments
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-Crossway Bibles
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-Wheaton, Illinois
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-Kindle Edition, English Standard Version® (ESV®)
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-	Copyright © 2007 by Crossway Bibles,
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-	a publishing ministry of Good News Publishers
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-	All rights reserved.
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-The Holy Bible, English Standard Version® (ESV®)
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-	Copyright © 2001 by Crossway Bibles,
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-	a publishing ministry of Good News Publishers
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-	All rights reserved.
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-ESV Text Edition: 2007
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-The ESV text may be quoted (in written, visual, or electronic form) up to and inclusive of one thousand (1,000) verses without express written permission of the publisher, providing that the verses quoted do not amount to a complete book of the Bible nor do the verses quoted account for 50 percent or more of the total text of the work in which they are quoted.
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-The ESV text may be quoted for audio use (audio cassettes, CD’s, audio television) up to two hundred fifty (250) verses without express written permission of the publisher providing that the verses quoted do not amount to a complete book of the Bible nor do the verses quoted account for 50 percent or more of the total text of the work in which they are quoted.
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-Notice of copyright must appear as follows on the title page or copyright page of printed works quoting from the ESV, or in a corresponding location when the ESV is quoted in other media:
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-“Scripture quotations are from The Holy Bible, English Standard Version® (ESV®), copyright © 2001 by Crossway Bibles, a publishing ministry of Good News Publishers. Used by permission. All rights reserved.”
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-When more than one translation is quoted in printed works or other media, the notice of copyright should begin as follows:
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-“Scripture quotations marked (ESV) are from . . . [etc.]”; or, “Unless otherwise indicated, all Scripture quotations are from . . . [etc.].”
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-The “ESV” and “English Standard Version” are registered trademarks of Good News Publishers. Use of either trademark requires the permission of Good News Publishers.
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-When quotations from the ESV text are used in non-saleable media, such as church bulletins, orders of service, posters, transparencies, or similar media, a complete copyright notice is not required, but the initials (ESV) must appear at the end of the quotation. Publication of any commentary or other Bible reference work produced for commercial sale that uses the English Standard Version (ESV) must include written permission for use of the ESV text. Permission requests that exceed the above guidelines must be directed to Good News Publishers, Attn: Bible Rights, 1300 Crescent Street, Wheaton, IL 60187, USA. Permission requests for use within the UK and EU that exceed the above guidelines must be directed to: HarperCollins Religious, 77-85 Fulham Palace Road, Hammersmith, London W6 8JB, England.
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-The Holy Bible, English Standard Version (ESV) is adapted from the Revised Standard Version of the Bible, copyright Division of Christian Education of the National Council of the Churches of Christ in the U.S.A. All rights reserved.
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-Good News Publishers (including Crossway Bibles) is a not-for-profit publishing ministry that exists solely for the purpose of publishing the Good News of the Gospel and the Truth of God’s Word, the Bible. A portion of the purchase price of every ESV Bible is donated to help support Bible distribution ministry around the world through ESV Bible Ministry International.
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-Preface to the English Standard Version
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-The Bible
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-“This Book [is] the most valuable thing that this world affords. Here is Wisdom; this is the royal Law; these are the lively Oracles of God.” With these words the Moderator of the Church of Scotland hands a Bible to the new monarch in Britain’s coronation service. These words echo the King James Bible translators, who wrote in 1611: “God’s sacred Word . . . is that inestimable treasure that excelleth all the riches of the earth.” This assessment of the Bible is the motivating force behind the publication of the English Standard Version.
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-Translation Legacy
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-The English Standard Version (ESV) stands in the classic mainstream of English Bible translations over the past half-millennium. The fountainhead of that stream was William Tyndale’s New Testament of 1526; marking its course were the King James Version of 1611 (KJV), the English Revised Version of 1885 (RV), the American Standard Version of 1901 (ASV), and the Revised Standard Version of 1952 and 1971 (RSV). In that stream, faithfulness to the text and vigorous pursuit of accuracy were combined with simplicity, beauty, and dignity of expression. Our goal has been to carry forward this legacy for a new century.
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-To this end each word and phrase in the ESV has been carefully weighed against the original Hebrew, Aramaic, and Greek, to ensure the fullest accuracy and clarity and to avoid under-translating or overlooking any nuance of the original text. The words and phrases themselves grow out of the Tyndale–King James legacy, and most recently out of the RSV, with the 1971 RSV text providing the starting point for our work. Archaic language has been brought to current usage and significant corrections have been made in the translation of key texts. But throughout, our goal has been to retain the depth of meaning and enduring language that have made their indelible mark on the English-speaking world and have defined the life and doctrine of the church over the last four centuries.
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-Translation Philosophy
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-The ESV is an “essentially literal” translation that seeks as far as possible to capture the precise wording of the original text and the personal style of each Bible writer. As such, its emphasis is on “word-for-word” correspondence, at the same time taking into account differences of grammar, syntax, and idiom between current literary English and the original languages. Thus it seeks to be transparent to the original text, letting the reader see as directly as possible the structure and meaning of the original.
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-In contrast to the ESV, some Bible versions have followed a “thought-for-thought” rather than “word-for-word” translation philosophy, emphasizing “dynamic equivalence” rather than the “essentially literal” meaning of the original. A “thought-for-thought” translation is of necessity more inclined to reflect the interpretive opinions of the translator and the influences of contemporary culture.
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-Every translation is at many points a trade-off between literal precision and readability, between “formal equivalence” in expression and “functional equivalence” in communication, and the ESV is no exception. Within this framework we have sought to be “as literal as possible” while maintaining clarity of expression and literary excellence. Therefore, to the extent that plain English permits and the meaning in each case allows, we have sought to use the same English word for important recurring words in the original; and, as far as grammar and syntax allow, we have rendered Old Testament passages cited in the New in ways that show their correspondence. Thus in each of these areas, as well as throughout the Bible as a whole, we have sought to capture the echoes and overtones of meaning that are so abundantly present in the original texts.
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-As an essentially literal translation, then, the ESV seeks to carry over every possible nuance of meaning in the original words of Scripture into our own language. As such, it is ideally suited for in-depth study of the Bible. Indeed, with its emphasis on literary excellence, the ESV is equally suited for public reading and preaching, for private reading and reflection, for both academic and devotional study, and for Scripture memorization.
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-Translation Style
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-The ESV also carries forward classic translation principles in its literary style. Accordingly it retains theological terminology—words such as grace, faith, justification, sanctification, redemption, regeneration, reconciliation, propitiation—because of their central importance for Christian doctrine and also because the underlying Greek words were already becoming key words and technical terms in New Testament times.
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-The ESV lets the stylistic variety of the biblical writers fully express itself—from the exalted prose that opens Genesis, to the flowing narratives of the historical books, to the rich metaphors and dramatic imagery of the poetic books, to the ringing rhetorical indictments in the prophetic books, to the smooth elegance of Luke, to the profound simplicities of John, and the closely reasoned logic of Paul.
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-In punctuating, paragraphing, dividing long sentences, and rendering connectives, the ESV follows the path that seems to make the ongoing flow of thought clearest in English. The biblical languages regularly connect sentences by frequent repetition of words such as “and,” “but,” and “for,” in a way that goes beyond the conventions of literary English. Effective translation, however, requires that these links in the original be reproduced so that the flow of the argument will be transparent to the reader. We have therefore normally translated these connectives, though occasionally we have varied the rendering by using alternatives (such as “also,” “however,” “now,” “so,” “then,” or “thus”) when they better capture the sense in specific instances.
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-In the area of gender language, the goal of the ESV is to render literally what is in the original. For example, “anyone” replaces “any man” where there is no word corresponding to “man” in the original languages, and “people” rather than “men” is regularly used where the original languages refer to both men and women. But the words “man” and “men” are retained where a male meaning component is part of the original Greek or Hebrew. Likewise, the word “man” has been retained where the original text intends to convey a clear contrast between “God” on the one hand and “man” on the other hand, with “man” being used in the collective sense of the whole human race (see Luke 2:52). Similarly, the English word “brothers” (translating the Greek word adelphoi) is retained as an important familial form of address between fellow-Jews and fellow-Christians in the first century. A recurring note is included to indicate that the term “brothers” (adelphoi) was often used in Greek to refer to both men and women, and to indicate the specific instances in the text where this is the case. In addition, the English word “sons” (translating the Greek word huioi) is retained in specific instances because the underlying Greek term usually includes a male meaning component and it was used as a legal term in the adoption and inheritance laws of first-century Rome. As used by the apostle Paul, this term refers to the status of all Christians, both men and women, who, having been adopted into God’s family, now enjoy all the privileges, obligations, and inheritance rights of God’s children.
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-The inclusive use of the generic “he” has also regularly been retained, because this is consistent with similar usage in the original languages and because an essentially literal translation would be impossible without it. Similarly, where God and man are compared or contrasted in the original, the ESV retains the generic use of “man” as the clearest way to express the contrast within the framework of essentially literal translation.
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-In each case the objective has been transparency to the original text, allowing the reader to understand the original on its own terms rather than on the terms of our present-day culture.
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-The Translation of Specialized Terms
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-In the translation of biblical terms referring to God, the ESV takes great care to convey the specific nuances of meaning of the original Hebrew and Greek terms. First, concerning terms that refer to God in the Old Testament: God, the Maker of heaven and earth, introduced himself to the people of Israel with the special, personal name, whose consonants are YHWH (see Exodus 3:14-15). Scholars call this the “Tetragrammaton,” a Greek term referring to the four Hebrew letters YHWH. The exact pronunciation of YHWH is uncertain, because the Jewish people considered the personal name of God to be so holy that it should never be spoken aloud. Instead of reading the word YHWH, they would normally read the Hebrew word adonai (“Lord”), and the ancient translations into Greek, Syriac, and Aramaic also followed suit. When the vowels of the word adonai are placed with the consonants of YHWH, this results in the familiar word Jehovah that was used in some earlier English Bible translations. As is common among English translations today, the ESV usually renders the personal name of God (YHWH) with the word LORD (printed in small capitals). An exception to this is when the Hebrew word adonai appears together with YHWH, in which case the two words are rendered together as “the Lord [in lower case] GOD [in small capitals].” In contrast to the personal name for God (YHWH), the more general name for God in Old Testament Hebrew is ’elohim and its related forms of ’el or ’eloah, all of which are normally translated “God” (in lower case letters). The use of these different ways to translate the Hebrew words for God is especially beneficial to the English reader, enabling the reader to see and understand the different ways that the personal name and the general name for God are both used to refer to the One True God of the Old Testament.
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-Second, in the New Testament, the Greek word Christos has been translated consistently as “Christ.” Although the term originally meant “anointed,” among Jews in New Testament times the term came to designate the Messiah, the great Savior that God had promised to raise up. In other New Testament contexts, however, especially among Gentiles, Christos (“Christ”) was on its way to becoming a proper name. It is important, therefore, to keep the context in mind in understanding the various ways that Christos (“Christ”) is used in the New Testament. At the same time, in accord with its “essentially literal” translation philosophy, the ESV has retained consistency and concordance in the translation of Christos (“Christ”) throughout the New Testament.
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-A third specialized term, the word “behold,” usually has been retained as the most common translation for the Hebrew word hinneh and the Greek word idou. Both of these words mean something like “Pay careful attention to what follows! This is important!” Other than the word “behold,” there is no single word in English that fits well in most contexts. Although “Look!” and “See!” and “Listen!” would be workable in some contexts, in many others these words lack sufficient weight and dignity. Given the principles of “essentially literal” translation, it is important not to leave hinneh and idou completely untranslated, and so to lose the intended emphasis in the original languages. The older and more formal word “behold” has usually been retained, therefore, as the best available option for conveying the original sense of meaning.
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-Textual Basis
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-The ESV is based on the Masoretic text of the Hebrew Bible as found in Biblia Hebraica Stuttgartensia (2nd ed., 1983), and on the Greek text in the 1993 editions of the Greek New Testament (4th corrected ed.), published by the United Bible Societies (UBS), and Novum Testamentum Graece (27th ed.), edited by Nestle and Aland. The currently renewed respect among Old Testament scholars for the Masoretic text is reflected in the ESV’s attempt, wherever possible, to translate difficult Hebrew passages as they stand in the Masoretic text rather than resorting to emendations or to finding an alternative reading in the ancient versions. In exceptional, difficult cases, the Dead Sea Scrolls, the Septuagint, the Samaritan Pentateuch, the Syriac Peshitta, the Latin Vulgate, and other sources were consulted to shed possible light on the text, or, if necessary, to support a divergence from the Masoretic text. Similarly, in a few difficult cases in the New Testament, the ESV has followed a Greek text different from the text given preference in the UBS/Nestle-Aland 27th edition. In this regard the footnotes that accompany the ESV text are an integral part of the ESV translation, informing the reader of textual variations and difficulties and showing how these have been resolved by the ESV translation team. In addition to this, the footnotes indicate significant alternative readings and occasionally provide an explanation for technical terms or for a difficult reading in the text. Throughout, the translation team has benefited greatly from the massive textual resources that have become readily available recently, from new insights into biblical laws and culture, and from current advances in Hebrew and Greek lexicography and grammatical understanding.
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-Publishing Team
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-The ESV publishing team includes more than a hundred people. The fourteen-member Translation Oversight Committee has benefited from the work of fifty biblical experts serving as Translation Review Scholars and from the comments of the more than fifty members of the Advisory Council, all of which has been carried out under the auspices of the Good News Publishers Board of Directors. This hundred-member team, which shares a common commitment to the truth of God’s Word and to historic Christian orthodoxy, is international in scope and includes leaders in many denominations.
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-To God’s Honor and Praise
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-We know that no Bible translation is perfect or final; but we also know that God uses imperfect and inadequate things to his honor and praise. So to our triune God and to his people we offer what we have done, with our prayers that it may prove useful, with gratitude for much help given, and with ongoing wonder that our God should ever have entrusted to us so momentous a task.
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-Soli Deo Gloria!—To God alone be the glory!
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-The Translation Oversight Committee*
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-*A complete list of the Translation Oversight Committee, the Translation Review Scholars, and the Advisory Council, is available upon request from Crossway Bibles, a publishing ministry of Good News Publishers.
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-Explanation of Features Included in this Edition
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-This edition of the ESV Bible includes a number of valuable features to encourage the reading and study of the Bible. A brief description is provided below explaining the purpose and use of this edition’s features.
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-Section Headings
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-Section headings have been included throughout the text of this edition. While the headings are not part of the Bible text itself, they have been provided to help identify and locate important themes and topics throughout the Bible.
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-Textual Footnotes
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-Several kinds of footnotes related to the ESV text are provided throughout the ESV Bible to assist the reader. These footnotes appear at the bottom of the page and are indicated in the ESV text by a superscript number that follows the word or phrase to which the footnote applies (e.g., “Isaac2”). Superscript letters that precede a word are used to indicate cross-references (see explanation below).
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-The footnotes included in the ESV Bible are an integral part of the text and provide important information concerning the understanding and translation of the text. The footnotes fall mainly into four categories, as illustrated in the examples below.
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-Types of Footnotes
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-Alternative Translations. Footnotes of this kind provide alternative translations for specific words or phrases when there is a strong possibility that such words or phrases could be translated in another way, such as: “Or keep awake” (see Matt. 26:38); and “Or down payment” (see Eph. 1:14). In such cases, the translation deemed to have the stronger support is in the text while other possible renderings are given in the note.
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-Explanation of Greek and Hebrew Terms. Notes of this kind relate primarily to the meaning of specific Greek or Hebrew terms, as illustrated by the following examples: Notes about the meaning of names in the original languages, such as: “Isaac means he laughs” (see Gen. 17:19); and “Simeon sounds like the Hebrew for heard” (see Gen. 29:33).
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-Notes that give the literal translation of a Greek or Hebrew word or phrase deemed too awkward to be used in the English text, such as: “Greek girding up the loins of your mind” (see 1 Pet. 1:13).
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-Notes indicating that absolute certainty of the meaning of a word or phrase is not possible given our best understanding of the original language (e.g., Hebrew words occurring so infrequently in the Old Testament that their meaning cannot be determined with certainty). Such words are identified with a note stating that “The meaning of the Hebrew is uncertain” (see, e.g., Josh. 17:11).
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-Notes that indicate the specialized use of a Greek word, such as: “brothers,” translating the Greek word adelphoi (see, e.g., the extended note on Rom. 1:13, corresponding to the first occurrence of adelphoi in any New Testament book, and the abbreviated note, e.g., on Rom. 7:1, corresponding to subsequent occurrences of adelphoi in any New Testament book); and “sons,” translating the Greek word huioi (see, e.g., Rom. 8:14). See also the discussion of adelphoi and huioi in the preface.
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-Other Explanatory Notes. Footnotes of this kind provide clarifying information as illustrated by the following examples: Notes clarifying additional meanings that may not otherwise be apparent in the text, such as: “Leprosy was a term for several skin diseases; see Leviticus 13.”
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-Notes clarifying important grammatical points that would not otherwise be apparent in English, such as: “In Hebrew you is plural in verses 1-5” (see Gen. 3:1).
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-Notes clarifying when the referent for a pronoun has been supplied in the English text, such as: “Greek he” (see, e.g., Mark 1:43).
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-Notes giving English equivalents for weights, measures, and monetary values.
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-Technical Translation Notes. Footnotes of this kind indicate how decisions have been made in the translation of difficult Hebrew and Greek passages. Such notes occasionally include technical terms. For an explanation of these terms the reader is referred to standard Bible study reference works. See further the section in the preface on “Textual Basis” for an explanation of the original-language texts used in the translation of the ESV Bible and how the translation of difficult passages has been resolved.
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-GENESIS
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-Chapter 1
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-Chapter 2
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-Chapter 3
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-Chapter 4
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-Chapter 5
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-Chapter 6
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-Chapter 7
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-Chapter 8
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-Chapter 9
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-Chapter 10
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-Chapter 11
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-Chapter 12
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-Chapter 13
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-Chapter 14
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-Chapter 15
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-Chapter 16
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-Chapter 17
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-Chapter 18
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-Chapter 19
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-Chapter 20
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-Chapter 21
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-Chapter 22
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-Chapter 23
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-Chapter 24
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-Chapter 25
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-Chapter 26
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-Chapter 27
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-Chapter 28
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-Chapter 29
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-Chapter 30
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-Chapter 31
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-Chapter 32
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-Chapter 33
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-Chapter 34
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-Chapter 35
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-Chapter 36
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-Chapter 37
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-Chapter 38
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-Chapter 39
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-Chapter 40
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-Chapter 41
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-Chapter 42
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-Chapter 43
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-Chapter 44
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-Chapter 45
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-Chapter 46
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-Chapter 47
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-Chapter 48
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-Chapter 49
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-Chapter 50
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-The Creation of the World
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-1:1 In the beginning, God created the heavens and the earth. 2The earth was without form and void, and darkness was over the face of the deep. And the Spirit of God was hovering over the face of the waters.
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-3And God said, “Let there be light,” and there was light. 4And God saw that the light was good. And God separated the light from the darkness. 5God called the light Day, and the darkness he called Night. And there was evening and there was morning, the first day.
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-6And God said, “Let there be an expanse[1] in the midst of the waters, and let it separate the waters from the waters.” 7And God made[2] the expanse and separated the waters that were under the expanse from the waters that were above the expanse. And it was so. 8And God called the expanse Heaven.[3] And there was evening and there was morning, the second day.
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-9And God said, “Let the waters under the heavens be gathered together into one place, and let the dry land appear.” And it was so. 10God called the dry land Earth,[4] and the waters that were gathered together he called Seas. And God saw that it was good.
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-11And God said, “Let the earth sprout vegetation, plants[5] yielding seed, and fruit trees bearing fruit in which is their seed, each according to its kind, on the earth.” And it was so. 12The earth brought forth vegetation, plants yielding seed according to their own kinds, and trees bearing fruit in which is their seed, each according to its kind. And God saw that it was good. 13And there was evening and there was morning, the third day.
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-14And God said, “Let there be lights in the expanse of the heavens to separate the day from the night. And let them be for signs and for seasons,[6] and for days and years, 15and let them be lights in the expanse of the heavens to give light upon the earth.” And it was so. 16And God made the two great lights—the greater light to rule the day and the lesser light to rule the night—and the stars. 17And God set them in the expanse of the heavens to give light on the earth, 18to rule over the day and over the night, and to separate the light from the darkness. And God saw that it was good. 19And there was evening and there was morning, the fourth day.
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-20And God said, “Let the waters swarm with swarms of living creatures, and let birds[7] fly above the earth across the expanse of the heavens.” 21So God created the great sea creatures and every living creature that moves, with which the waters swarm, according to their kinds, and every winged bird according to its kind. And God saw that it was good. 22And God blessed them, saying, “Be fruitful and multiply and fill the waters in the seas, and let birds multiply on the earth.” 23And there was evening and there was morning, the fifth day.
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-24And God said, “Let the earth bring forth living creatures according to their kinds—livestock and creeping things and beasts of the earth according to their kinds.” And it was so. 25And God made the beasts of the earth according to their kinds and the livestock according to their kinds, and everything that creeps on the ground according to its kind. And God saw that it was good.
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-26Then God said, “Let us make man[8] in our image, after our likeness. And let them have dominion over the fish of the sea and over the birds of the heavens and over the livestock and over all the earth and over every creeping thing that creeps on the earth.”
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-27So God created man in his own image,
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-in the image of God he created him;
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-male and female he created them.
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-28And God blessed them. And God said to them, “Be fruitful and multiply and fill the earth and subdue it and have dominion over the fish of the sea and over the birds of the heavens and over every living thing that moves on the earth.” 29And God said, “Behold, I have given you every plant yielding seed that is on the face of all the earth, and every tree with seed in its fruit. You shall have them for food. 30And to every beast of the earth and to every bird of the heavens and to everything that creeps on the earth, everything that has the breath of life, I have given every green plant for food.” And it was so. 31And God saw everything that he had made, and behold, it was very good. And there was evening and there was morning, the sixth day.
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-The Seventh Day, God Rests
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-2:1 Thus the heavens and the earth were finished, and all the host of them. 2And on the seventh day God finished his work that he had done, and he rested on the seventh day from all his work that he had done. 3So God blessed the seventh day and made it holy, because on it God rested from all his work that he had done in creation.
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-The Creation of Man and Woman
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-4These are the generations
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-of the heavens and the earth when they were created,
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-in the day that the LORD God made the earth and the heavens.
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-5When no bush of the field[9] was yet in the land[10] and no small plant of the field had yet sprung up—for the LORD God had not caused it to rain on the land, and there was no man to work the ground, 6and a mist[11] was going up from the land and was watering the whole face of the ground— 7then the LORD God formed the man of dust from the ground and breathed into his nostrils the breath of life, and the man became a living creature. 8And the LORD God planted a garden in Eden, in the east, and there he put the man whom he had formed. 9And out of the ground the LORD God made to spring up every tree that is pleasant to the sight and good for food. The tree of life was in the midst of the garden, and the tree of the knowledge of good and evil.
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-10A river flowed out of Eden to water the garden, and there it divided and became four rivers. 11The name of the first is the Pishon. It is the one that flowed around the whole land of Havilah, where there is gold. 12And the gold of that land is good; bdellium and onyx stone are there. 13The name of the second river is the Gihon. It is the one that flowed around the whole land of Cush. 14And the name of the third river is the Tigris, which flows east of Assyria. And the fourth river is the Euphrates.
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-15The LORD God took the man and put him in the garden of Eden to work it and keep it. 16And the LORD God commanded the man, saying, “You may surely eat of every tree of the garden, 17but of the tree of the knowledge of good and evil you shall not eat, for in the day that you eat[12] of it you shall surely die.”
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-18Then the LORD God said, “It is not good that the man should be alone; I will make him a helper fit for[13] him.” 19Now out of the ground the LORD God had formed[14] every beast of the field and every bird of the heavens and brought them to the man to see what he would call them. And whatever the man called every living creature, that was its name. 20The man gave names to all livestock and to the birds of the heavens and to every beast of the field. But for Adam[15] there was not found a helper fit for him. 21So the LORD God caused a deep sleep to fall upon the man, and while he slept took one of his ribs and closed up its place with flesh. 22And the rib that the LORD God had taken from the man he made[16] into a woman and brought her to the man. 23Then the man said,
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-“This at last is bone of my bones
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-and flesh of my flesh;
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-she shall be called Woman,
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-because she was taken out of Man.”[17]
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-24Therefore a man shall leave his father and his mother and hold fast to his wife, and they shall become one flesh. 25And the man and his wife were both naked and were not ashamed.
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-The Fall
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-3:1 Now the serpent was more crafty than any other beast of the field that the LORD God had made.
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-He said to the woman, “Did God actually say, ‘You[18] shall not eat of any tree in the garden’?” 2And the woman said to the serpent, “We may eat of the fruit of the trees in the garden, 3but God said, ‘You shall not eat of the fruit of the tree that is in the midst of the garden, neither shall you touch it, lest you die.’” 4But the serpent said to the woman, “You will not surely die. 5For God knows that when you eat of it your eyes will be opened, and you will be like God, knowing good and evil.” 6So when the woman saw that the tree was good for food, and that it was a delight to the eyes, and that the tree was to be desired to make one wise,[19] she took of its fruit and ate, and she also gave some to her husband who was with her, and he ate. 7Then the eyes of both were opened, and they knew that they were naked. And they sewed fig leaves together and made themselves loincloths.
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-8And they heard the sound of the LORD God walking in the garden in the cool[20] of the day, and the man and his wife hid themselves from the presence of the LORD God among the trees of the garden. 9But the LORD God called to the man and said to him, “Where are you?”[21] 10And he said, “I heard the sound of you in the garden, and I was afraid, because I was naked, and I hid myself.” 11He said, “Who told you that you were naked? Have you eaten of the tree of which I commanded you not to eat?” 12The man said, “The woman whom you gave to be with me, she gave me fruit of the tree, and I ate.” 13Then the LORD God said to the woman, “What is this that you have done?” The woman said, “The serpent deceived me, and I ate.”
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-14The LORD God said to the serpent,
-
-“Because you have done this,
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-cursed are you above all livestock
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-and above all beasts of the field;
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-on your belly you shall go,
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-and dust you shall eat
-
-all the days of your life.
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-15I will put enmity between you and the woman,
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-and between your offspring[22] and her offspring;
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-he shall bruise your head,
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-and you shall bruise his heel.”
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-16To the woman he said,
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-“I will surely multiply your pain in childbearing;
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-in pain you shall bring forth children.
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-Your desire shall be for[23] your husband,
-
-and he shall rule over you.”
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-17And to Adam he said,
-
-“Because you have listened to the voice of your wife
-
-and have eaten of the tree
-
-of which I commanded you,
-
-‘You shall not eat of it,’
-
-cursed is the ground because of you;
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-in pain you shall eat of it all the days of your life;
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-18thorns and thistles it shall bring forth for you;
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-and you shall eat the plants of the field.
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-19By the sweat of your face
-
-you shall eat bread,
-
-till you return to the ground,
-
-for out of it you were taken;
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-for you are dust,
-
-and to dust you shall return.”
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-20The man called his wife's name Eve, because she was the mother of all living.[24] 21And the LORD God made for Adam and for his wife garments of skins and clothed them.
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-22Then the LORD God said, “Behold, the man has become like one of us in knowing good and evil. Now, lest he reach out his hand and take also of the tree of life and eat, and live forever—” 23therefore the LORD God sent him out from the garden of Eden to work the ground from which he was taken. 24He drove out the man, and at the east of the garden of Eden he placed the cherubim and a flaming sword that turned every way to guard the way to the tree of life.
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-Cain and Abel
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-4:1 Now Adam knew Eve his wife, and she conceived and bore Cain, saying, “I have gotten[25] a man with the help of the LORD.” 2And again, she bore his brother Abel. Now Abel was a keeper of sheep, and Cain a worker of the ground. 3In the course of time Cain brought to the LORD an offering of the fruit of the ground, 4and Abel also brought of the firstborn of his flock and of their fat portions. And the LORD had regard for Abel and his offering, 5but for Cain and his offering he had no regard. So Cain was very angry, and his face fell. 6The LORD said to Cain, “Why are you angry, and why has your face fallen? 7If you do well, will you not be accepted?[26] And if you do not do well, sin is crouching at the door. Its desire is for[27] you, but you must rule over it.”
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-8Cain spoke to Abel his brother.[28] And when they were in the field, Cain rose up against his brother Abel and killed him. 9Then the LORD said to Cain, “Where is Abel your brother?” He said, “I do not know; am I my brother's keeper?” 10And the LORD said, “What have you done? The voice of your brother's blood is crying to me from the ground. 11And now you are cursed from the ground, which has opened its mouth to receive your brother's blood from your hand. 12When you work the ground, it shall no longer yield to you its strength. You shall be a fugitive and a wanderer on the earth.” 13Cain said to the LORD, “My punishment is greater than I can bear.[29] 14Behold, you have driven me today away from the ground, and from your face I shall be hidden. I shall be a fugitive and a wanderer on the earth, and whoever finds me will kill me.” 15Then the LORD said to him, “Not so! If anyone kills Cain, vengeance shall be taken on him sevenfold.” And the LORD put a mark on Cain, lest any who found him should attack him. 16Then Cain went away from the presence of the LORD and settled in the land of Nod,[30] east of Eden.
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-17Cain knew his wife, and she conceived and bore Enoch. When he built a city, he called the name of the city after the name of his son, Enoch. 18To Enoch was born Irad, and Irad fathered Mehujael, and Mehujael fathered Methushael, and Methushael fathered Lamech. 19And Lamech took two wives. The name of the one was Adah, and the name of the other Zillah. 20Adah bore Jabal; he was the father of those who dwell in tents and have livestock. 21His brother's name was Jubal; he was the father of all those who play the lyre and pipe. 22Zillah also bore Tubal-cain; he was the forger of all instruments of bronze and iron. The sister of Tubal-cain was Naamah.
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-23Lamech said to his wives:
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-“Adah and Zillah, hear my voice;
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-you wives of Lamech, listen to what I say:
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-I have killed a man for wounding me,
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-a young man for striking me.
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-24If Cain's revenge is sevenfold,
-
-then Lamech's is seventy-sevenfold.”
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-25And Adam knew his wife again, and she bore a son and called his name Seth, for she said, “God has appointed[31] for me another offspring instead of Abel, for Cain killed him.” 26To Seth also a son was born, and he called his name Enosh. At that time people began to call upon the name of the LORD.
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-Adam's Descendants to Noah
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-5:1 This is the book of the generations of Adam. When God created man, he made him in the likeness of God. 2Male and female he created them, and he blessed them and named them Man[32] when they were created. 3When Adam had lived 130 years, he fathered a son in his own likeness, after his image, and named him Seth. 4The days of Adam after he fathered Seth were 800 years; and he had other sons and daughters. 5Thus all the days that Adam lived were 930 years, and he died.
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-6When Seth had lived 105 years, he fathered Enosh. 7Seth lived after he fathered Enosh 807 years and had other sons and daughters. 8Thus all the days of Seth were 912 years, and he died.
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-9When Enosh had lived 90 years, he fathered Kenan. 10Enosh lived after he fathered Kenan 815 years and had other sons and daughters. 11Thus all the days of Enosh were 905 years, and he died.
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-12When Kenan had lived 70 years, he fathered Mahalalel. 13Kenan lived after he fathered Mahalalel 840 years and had other sons and daughters. 14Thus all the days of Kenan were 910 years, and he died.
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-15When Mahalalel had lived 65 years, he fathered Jared. 16Mahalalel lived after he fathered Jared 830 years and had other sons and daughters. 17Thus all the days of Mahalalel were 895 years, and he died.
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-18When Jared had lived 162 years he fathered Enoch. 19Jared lived after he fathered Enoch 800 years and had other sons and daughters. 20Thus all the days of Jared were 962 years, and he died.
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-21When Enoch had lived 65 years, he fathered Methuselah. 22Enoch walked with God[33] after he fathered Methuselah 300 years and had other sons and daughters. 23Thus all the days of Enoch were 365 years. 24Enoch walked with God, and he was not,[34] for God took him.
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-25When Methuselah had lived 187 years, he fathered Lamech. 26Methuselah lived after he fathered Lamech 782 years and had other sons and daughters. 27Thus all the days of Methuselah were 969 years, and he died.
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-28When Lamech had lived 182 years, he fathered a son 29and called his name Noah, saying, “Out of the ground that the LORD has cursed this one shall bring us relief[35] from our work and from the painful toil of our hands.” 30Lamech lived after he fathered Noah 595 years and had other sons and daughters. 31Thus all the days of Lamech were 777 years, and he died.
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-32After Noah was 500 years old, Noah fathered Shem, Ham, and Japheth.
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-Increasing Corruption on Earth
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-6:1 When man began to multiply on the face of the land and daughters were born to them, 2the sons of God saw that the daughters of man were attractive. And they took as their wives any they chose. 3Then the LORD said, “My Spirit shall not abide in[36] man forever, for he is flesh: his days shall be 120 years.” 4The Nephilim[37] were on the earth in those days, and also afterward, when the sons of God came in to the daughters of man and they bore children to them. These were the mighty men who were of old, the men of renown.
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-5The LORD saw that the wickedness of man was great in the earth, and that every intention of the thoughts of his heart was only evil continually. 6And the LORD was sorry that he had made man on the earth, and it grieved him to his heart. 7So the LORD said, “I will blot out man whom I have created from the face of the land, man and animals and creeping things and birds of the heavens, for I am sorry that I have made them.” 8But Noah found favor in the eyes of the LORD.
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-Noah and the Flood
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-9These are the generations of Noah. Noah was a righteous man, blameless in his generation. Noah walked with God. 10And Noah had three sons, Shem, Ham, and Japheth.
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-11Now the earth was corrupt in God's sight, and the earth was filled with violence. 12And God saw the earth, and behold, it was corrupt, for all flesh had corrupted their way on the earth. 13And God said to Noah, “I have determined to make an end of all flesh,[38] for the earth is filled with violence through them. Behold, I will destroy them with the earth. 14Make yourself an ark of gopher wood.[39] Make rooms in the ark, and cover it inside and out with pitch. 15This is how you are to make it: the length of the ark 300 cubits,[40] its breadth 50 cubits, and its height 30 cubits. 16Make a roof[41] for the ark, and finish it to a cubit above, and set the door of the ark in its side. Make it with lower, second, and third decks. 17For behold, I will bring a flood of waters upon the earth to destroy all flesh in which is the breath of life under heaven. Everything that is on the earth shall die. 18But I will establish my covenant with you, and you shall come into the ark, you, your sons, your wife, and your sons' wives with you. 19And of every living thing of all flesh, you shall bring two of every sort into the ark to keep them alive with you. They shall be male and female. 20Of the birds according to their kinds, and of the animals according to their kinds, of every creeping thing of the ground, according to its kind, two of every sort shall come in to you to keep them alive. 21Also take with you every sort of food that is eaten, and store it up. It shall serve as food for you and for them.” 22Noah did this; he did all that God commanded him.
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-7:1 Then the LORD said to Noah, “Go into the ark, you and all your household, for I have seen that you are righteous before me in this generation. 2Take with you seven pairs of all clean animals,[42] the male and his mate, and a pair of the animals that are not clean, the male and his mate, 3and seven pairs[43] of the birds of the heavens also, male and female, to keep their offspring alive on the face of all the earth. 4For in seven days I will send rain on the earth forty days and forty nights, and every living thing[44] that I have made I will blot out from the face of the ground.” 5And Noah did all that the LORD had commanded him.
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-6Noah was six hundred years old when the flood of waters came upon the earth. 7And Noah and his sons and his wife and his sons' wives with him went into the ark to escape the waters of the flood. 8Of clean animals, and of animals that are not clean, and of birds, and of everything that creeps on the ground, 9two and two, male and female, went into the ark with Noah, as God had commanded Noah. 10And after seven days the waters of the flood came upon the earth.
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-11In the six hundredth year of Noah's life, in the second month, on the seventeenth day of the month, on that day all the fountains of the great deep burst forth, and the windows of the heavens were opened. 12And rain fell upon the earth forty days and forty nights. 13On the very same day Noah and his sons, Shem and Ham and Japheth, and Noah's wife and the three wives of his sons with them entered the ark, 14they and every beast, according to its kind, and all the livestock according to their kinds, and every creeping thing that creeps on the earth, according to its kind, and every bird, according to its kind, every winged creature. 15They went into the ark with Noah, two and two of all flesh in which there was the breath of life. 16And those that entered, male and female of all flesh, went in as God had commanded him. And the LORD shut him in.
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-17The flood continued forty days on the earth. The waters increased and bore up the ark, and it rose high above the earth. 18The waters prevailed and increased greatly on the earth, and the ark floated on the face of the waters. 19And the waters prevailed so mightily on the earth that all the high mountains under the whole heaven were covered. 20The waters prevailed above the mountains, covering them fifteen cubits[45] deep. 21And all flesh died that moved on the earth, birds, livestock, beasts, all swarming creatures that swarm on the earth, and all mankind. 22Everything on the dry land in whose nostrils was the breath of life died. 23He blotted out every living thing that was on the face of the ground, man and animals and creeping things and birds of the heavens. They were blotted out from the earth. Only Noah was left, and those who were with him in the ark. 24And the waters prevailed on the earth 150 days.
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-The Flood Subsides
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-8:1 But God remembered Noah and all the beasts and all the livestock that were with him in the ark. And God made a wind blow over the earth, and the waters subsided. 2The fountains of the deep and the windows of the heavens were closed, the rain from the heavens was restrained, 3and the waters receded from the earth continually. At the end of 150 days the waters had abated, 4and in the seventh month, on the seventeenth day of the month, the ark came to rest on the mountains of Ararat. 5And the waters continued to abate until the tenth month; in the tenth month, on the first day of the month, the tops of the mountains were seen.
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-6At the end of forty days Noah opened the window of the ark that he had made 7and sent forth a raven. It went to and fro until the waters were dried up from the earth. 8Then he sent forth a dove from him, to see if the waters had subsided from the face of the ground. 9But the dove found no place to set her foot, and she returned to him to the ark, for the waters were still on the face of the whole earth. So he put out his hand and took her and brought her into the ark with him. 10He waited another seven days, and again he sent forth the dove out of the ark. 11And the dove came back to him in the evening, and behold, in her mouth was a freshly plucked olive leaf. So Noah knew that the waters had subsided from the earth. 12Then he waited another seven days and sent forth the dove, and she did not return to him anymore.
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-13In the six hundred and first year, in the first month, the first day of the month, the waters were dried from off the earth. And Noah removed the covering of the ark and looked, and behold, the face of the ground was dry. 14In the second month, on the twenty-seventh day of the month, the earth had dried out. 15Then God said to Noah, 16“Go out from the ark, you and your wife, and your sons and your sons' wives with you. 17Bring out with you every living thing that is with you of all flesh—birds and animals and every creeping thing that creeps on the earth—that they may swarm on the earth, and be fruitful and multiply on the earth.” 18So Noah went out, and his sons and his wife and his sons' wives with him. 19Every beast, every creeping thing, and every bird, everything that moves on the earth, went out by families from the ark.
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-God's Covenant with Noah
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-20Then Noah built an altar to the LORD and took some of every clean animal and some of every clean bird and offered burnt offerings on the altar. 21And when the LORD smelled the pleasing aroma, the LORD said in his heart, “I will never again curse[46] the ground because of man, for the intention of man's heart is evil from his youth. Neither will I ever again strike down every living creature as I have done. 22While the earth remains, seedtime and harvest, cold and heat, summer and winter, day and night, shall not cease.”
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-9:1 And God blessed Noah and his sons and said to them, “Be fruitful and multiply and fill the earth. 2The fear of you and the dread of you shall be upon every beast of the earth and upon every bird of the heavens, upon everything that creeps on the ground and all the fish of the sea. Into your hand they are delivered. 3Every moving thing that lives shall be food for you. And as I gave you the green plants, I give you everything. 4But you shall not eat flesh with its life, that is, its blood. 5And for your lifeblood I will require a reckoning: from every beast I will require it and from man. From his fellow man I will require a reckoning for the life of man.
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-6“Whoever sheds the blood of man,
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-by man shall his blood be shed,
-
-for God made man in his own image.
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-7And you,[47] be fruitful and multiply, teem on the earth and multiply in it.”
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-8Then God said to Noah and to his sons with him, 9“Behold, I establish my covenant with you and your offspring after you, 10and with every living creature that is with you, the birds, the livestock, and every beast of the earth with you, as many as came out of the ark; it is for every beast of the earth. 11I establish my covenant with you, that never again shall all flesh be cut off by the waters of the flood, and never again shall there be a flood to destroy the earth.” 12And God said, “This is the sign of the covenant that I make between me and you and every living creature that is with you, for all future generations: 13I have set my bow in the cloud, and it shall be a sign of the covenant between me and the earth. 14When I bring clouds over the earth and the bow is seen in the clouds, 15I will remember my covenant that is between me and you and every living creature of all flesh. And the waters shall never again become a flood to destroy all flesh. 16When the bow is in the clouds, I will see it and remember the everlasting covenant between God and every living creature of all flesh that is on the earth.” 17God said to Noah, “This is the sign of the covenant that I have established between me and all flesh that is on the earth.”
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-Noah's Descendants
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-18The sons of Noah who went forth from the ark were Shem, Ham, and Japheth. (Ham was the father of Canaan.) 19These three were the sons of Noah, and from these the people of the whole earth were dispersed.[48]
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-20Noah began to be a man of the soil, and he planted a vineyard.[49] 21He drank of the wine and became drunk and lay uncovered in his tent. 22And Ham, the father of Canaan, saw the nakedness of his father and told his two brothers outside. 23Then Shem and Japheth took a garment, laid it on both their shoulders, and walked backward and covered the nakedness of their father. Their faces were turned backward, and they did not see their father's nakedness. 24When Noah awoke from his wine and knew what his youngest son had done to him, 25he said,
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-“Cursed be Canaan;
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-a servant of servants shall he be to his brothers.”
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-26He also said,
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-“Blessed be the LORD, the God of Shem;
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-and let Canaan be his servant.
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-27May God enlarge Japheth,[50]
-
-and let him dwell in the tents of Shem,
-
-and let Canaan be his servant.”
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-28After the flood Noah lived 350 years. 29All the days of Noah were 950 years, and he died.
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-Nations Descended from Noah
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-10:1 These are the generations of the sons of Noah, Shem, Ham, and Japheth. Sons were born to them after the flood.
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-2The sons of Japheth: Gomer, Magog, Madai, Javan, Tubal, Meshech, and Tiras. 3The sons of Gomer: Ashkenaz, Riphath, and Togarmah. 4The sons of Javan: Elishah, Tarshish, Kittim, and Dodanim. 5From these the coastland peoples spread in their lands, each with his own language, by their clans, in their nations.
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-6The sons of Ham: Cush, Egypt, Put, and Canaan. 7The sons of Cush: Seba, Havilah, Sabtah, Raamah, and Sabteca. The sons of Raamah: Sheba and Dedan. 8Cush fathered Nimrod; he was the first on earth to be a mighty man.[51] 9He was a mighty hunter before the LORD. Therefore it is said, “Like Nimrod a mighty hunter before the LORD.” 10The beginning of his kingdom was Babel, Erech, Accad, and Calneh, in the land of Shinar. 11From that land he went into Assyria and built Nineveh, Rehoboth-Ir, Calah, and 12Resen between Nineveh and Calah; that is the great city. 13Egypt fathered Ludim, Anamim, Lehabim, Naphtuhim, 14Pathrusim, Casluhim (from whom[52] the Philistines came), and Caphtorim.
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-15Canaan fathered Sidon his firstborn and Heth, 16and the Jebusites, the Amorites, the Girgashites, 17the Hivites, the Arkites, the Sinites, 18the Arvadites, the Zemarites, and the Hamathites. Afterward the clans of the Canaanites dispersed. 19And the territory of the Canaanites extended from Sidon in the direction of Gerar as far as Gaza, and in the direction of Sodom, Gomorrah, Admah, and Zeboiim, as far as Lasha. 20These are the sons of Ham, by their clans, their languages, their lands, and their nations.
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-21To Shem also, the father of all the children of Eber, the elder brother of Japheth, children were born. 22The sons of Shem: Elam, Asshur, Arpachshad, Lud, and Aram. 23The sons of Aram: Uz, Hul, Gether, and Mash. 24Arpachshad fathered Shelah; and Shelah fathered Eber. 25To Eber were born two sons: the name of the one was Peleg,[53] for in his days the earth was divided, and his brother's name was Joktan. 26Joktan fathered Almodad, Sheleph, Hazarmaveth, Jerah, 27Hadoram, Uzal, Diklah, 28Obal, Abimael, Sheba, 29Ophir, Havilah, and Jobab; all these were the sons of Joktan. 30The territory in which they lived extended from Mesha in the direction of Sephar to the hill country of the east. 31These are the sons of Shem, by their clans, their languages, their lands, and their nations.
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-32These are the clans of the sons of Noah, according to their genealogies, in their nations, and from these the nations spread abroad on the earth after the flood.
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-The Tower of Babel
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-11:1 Now the whole earth had one language and the same words. 2And as people migrated from the east, they found a plain in the land of Shinar and settled there. 3And they said to one another, “Come, let us make bricks, and burn them thoroughly.” And they had brick for stone, and bitumen for mortar. 4Then they said, “Come, let us build ourselves a city and a tower with its top in the heavens, and let us make a name for ourselves, lest we be dispersed over the face of the whole earth.” 5And the LORD came down to see the city and the tower, which the children of man had built. 6And the LORD said, “Behold, they are one people, and they have all one language, and this is only the beginning of what they will do. And nothing that they propose to do will now be impossible for them. 7Come, let us go down and there confuse their language, so that they may not understand one another's speech.” 8So the LORD dispersed them from there over the face of all the earth, and they left off building the city. 9Therefore its name was called Babel, because there the LORD confused[54] the language of all the earth. And from there the LORD dispersed them over the face of all the earth.
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-Shem's Descendants
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-10These are the generations of Shem. When Shem was 100 years old, he fathered Arpachshad two years after the flood. 11And Shem lived after he fathered Arpachshad 500 years and had other sons and daughters.
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-12When Arpachshad had lived 35 years, he fathered Shelah. 13And Arpachshad lived after he fathered Shelah 403 years and had other sons and daughters.
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-14When Shelah had lived 30 years, he fathered Eber. 15And Shelah lived after he fathered Eber 403 years and had other sons and daughters.
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-16When Eber had lived 34 years, he fathered Peleg. 17And Eber lived after he fathered Peleg 430 years and had other sons and daughters.
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-18When Peleg had lived 30 years, he fathered Reu. 19And Peleg lived after he fathered Reu 209 years and had other sons and daughters.
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-20When Reu had lived 32 years, he fathered Serug. 21And Reu lived after he fathered Serug 207 years and had other sons and daughters.
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-22When Serug had lived 30 years, he fathered Nahor. 23And Serug lived after he fathered Nahor 200 years and had other sons and daughters.
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-24When Nahor had lived 29 years, he fathered Terah. 25And Nahor lived after he fathered Terah 119 years and had other sons and daughters.
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-26When Terah had lived 70 years, he fathered Abram, Nahor, and Haran.
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-Terah's Descendants
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-27Now these are the generations of Terah. Terah fathered Abram, Nahor, and Haran; and Haran fathered Lot. 28Haran died in the presence of his father Terah in the land of his kindred, in Ur of the Chaldeans. 29And Abram and Nahor took wives. The name of Abram's wife was Sarai, and the name of Nahor's wife, Milcah, the daughter of Haran the father of Milcah and Iscah. 30Now Sarai was barren; she had no child.
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-31Terah took Abram his son and Lot the son of Haran, his grandson, and Sarai his daughter-in-law, his son Abram's wife, and they went forth together from Ur of the Chaldeans to go into the land of Canaan, but when they came to Haran, they settled there. 32The days of Terah were 205 years, and Terah died in Haran.
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-The Call of Abram
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-12:1 Now the LORD said[55] to Abram, “Go from your country and your kindred and your father's house to the land that I will show you. 2And I will make of you a great nation, and I will bless you and make your name great, so that you will be a blessing. 3I will bless those who bless you, and him who dishonors you I will curse, and in you all the families of the earth shall be blessed.”[56]
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-4So Abram went, as the LORD had told him, and Lot went with him. Abram was seventy-five years old when he departed from Haran. 5And Abram took Sarai his wife, and Lot his brother's son, and all their possessions that they had gathered, and the people that they had acquired in Haran, and they set out to go to the land of Canaan. When they came to the land of Canaan, 6Abram passed through the land to the place at Shechem, to the oak[57] of Moreh. At that time the Canaanites were in the land. 7Then the LORD appeared to Abram and said, “To your offspring I will give this land.” So he built there an altar to the LORD, who had appeared to him. 8From there he moved to the hill country on the east of Bethel and pitched his tent, with Bethel on the west and Ai on the east. And there he built an altar to the LORD and called upon the name of the LORD. 9And Abram journeyed on, still going toward the Negeb.
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-Abram and Sarai in Egypt
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-10Now there was a famine in the land. So Abram went down to Egypt to sojourn there, for the famine was severe in the land. 11When he was about to enter Egypt, he said to Sarai his wife, “I know that you are a woman beautiful in appearance, 12and when the Egyptians see you, they will say, ‘This is his wife.’ Then they will kill me, but they will let you live. 13Say you are my sister, that it may go well with me because of you, and that my life may be spared for your sake.” 14When Abram entered Egypt, the Egyptians saw that the woman was very beautiful. 15And when the princes of Pharaoh saw her, they praised her to Pharaoh. And the woman was taken into Pharaoh's house. 16And for her sake he dealt well with Abram; and he had sheep, oxen, male donkeys, male servants, female servants, female donkeys, and camels.
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-17But the LORD afflicted Pharaoh and his house with great plagues because of Sarai, Abram's wife. 18So Pharaoh called Abram and said, “What is this you have done to me? Why did you not tell me that she was your wife? 19Why did you say, ‘She is my sister,’ so that I took her for my wife? Now then, here is your wife; take her, and go.” 20And Pharaoh gave men orders concerning him, and they sent him away with his wife and all that he had.
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-Abram and Lot Separate
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-13:1 So Abram went up from Egypt, he and his wife and all that he had, and Lot with him, into the Negeb.
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-2Now Abram was very rich in livestock, in silver, and in gold. 3And he journeyed on from the Negeb as far as Bethel to the place where his tent had been at the beginning, between Bethel and Ai, 4to the place where he had made an altar at the first. And there Abram called upon the name of the LORD. 5And Lot, who went with Abram, also had flocks and herds and tents, 6so that the land could not support both of them dwelling together; for their possessions were so great that they could not dwell together, 7and there was strife between the herdsmen of Abram's livestock and the herdsmen of Lot's livestock. At that time the Canaanites and the Perizzites were dwelling in the land.
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-8Then Abram said to Lot, “Let there be no strife between you and me, and between your herdsmen and my herdsmen, for we are kinsmen.[58] 9Is not the whole land before you? Separate yourself from me. If you take the left hand, then I will go to the right, or if you take the right hand, then I will go to the left.” 10And Lot lifted up his eyes and saw that the Jordan Valley was well watered everywhere like the garden of the LORD, like the land of Egypt, in the direction of Zoar. (This was before the LORD destroyed Sodom and Gomorrah.) 11So Lot chose for himself all the Jordan Valley, and Lot journeyed east. Thus they separated from each other. 12Abram settled in the land of Canaan, while Lot settled among the cities of the valley and moved his tent as far as Sodom. 13Now the men of Sodom were wicked, great sinners against the LORD.
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-14The LORD said to Abram, after Lot had separated from him, “Lift up your eyes and look from the place where you are, northward and southward and eastward and westward, 15for all the land that you see I will give to you and to your offspring forever. 16I will make your offspring as the dust of the earth, so that if one can count the dust of the earth, your offspring also can be counted. 17Arise, walk through the length and the breadth of the land, for I will give it to you.” 18So Abram moved his tent and came and settled by the oaks[59] of Mamre, which are at Hebron, and there he built an altar to the LORD.
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-Abram Rescues Lot
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-14:1 In the days of Amraphel king of Shinar, Arioch king of Ellasar, Chedorlaomer king of Elam, and Tidal king of Goiim, 2these kings made war with Bera king of Sodom, Birsha king of Gomorrah, Shinab king of Admah, Shemeber king of Zeboiim, and the king of Bela (that is, Zoar). 3And all these joined forces in the Valley of Siddim (that is, the Salt Sea). 4Twelve years they had served Chedorlaomer, but in the thirteenth year they rebelled. 5In the fourteenth year Chedorlaomer and the kings who were with him came and defeated the Rephaim in Ashteroth-karnaim, the Zuzim in Ham, the Emim in Shaveh-kiriathaim, 6and the Horites in their hill country of Seir as far as El-paran on the border of the wilderness. 7Then they turned back and came to En-mishpat (that is, Kadesh) and defeated all the country of the Amalekites, and also the Amorites who were dwelling in Hazazon-tamar.
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-8Then the king of Sodom, the king of Gomorrah, the king of Admah, the king of Zeboiim, and the king of Bela (that is, Zoar) went out, and they joined battle in the Valley of Siddim 9with Chedorlaomer king of Elam, Tidal king of Goiim, Amraphel king of Shinar, and Arioch king of Ellasar, four kings against five. 10Now the Valley of Siddim was full of bitumen pits, and as the kings of Sodom and Gomorrah fled, some fell into them, and the rest fled to the hill country. 11So the enemy took all the possessions of Sodom and Gomorrah, and all their provisions, and went their way. 12They also took Lot, the son of Abram's brother, who was dwelling in Sodom, and his possessions, and went their way.
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-13Then one who had escaped came and told Abram the Hebrew, who was living by the oaks[60] of Mamre the Amorite, brother of Eshcol and of Aner. These were allies of Abram. 14When Abram heard that his kinsman had been taken captive, he led forth his trained men, born in his house, 318 of them, and went in pursuit as far as Dan. 15And he divided his forces against them by night, he and his servants, and defeated them and pursued them to Hobah, north of Damascus. 16Then he brought back all the possessions, and also brought back his kinsman Lot with his possessions, and the women and the people.
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-Abram Blessed by Melchizedek
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-17After his return from the defeat of Chedorlaomer and the kings who were with him, the king of Sodom went out to meet him at the Valley of Shaveh (that is, the King's Valley). 18And Melchizedek king of Salem brought out bread and wine. (He was priest of God Most High.) 19And he blessed him and said,
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-“Blessed be Abram by God Most High,
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-Possessor[61] of heaven and earth;
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-20and blessed be God Most High,
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-who has delivered your enemies into your hand!”
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-And Abram gave him a tenth of everything. 21And the king of Sodom said to Abram, “Give me the persons, but take the goods for yourself.” 22But Abram said to the king of Sodom, “I have lifted my hand[62] to the LORD, God Most High, Possessor of heaven and earth, 23that I would not take a thread or a sandal strap or anything that is yours, lest you should say, ‘I have made Abram rich.’ 24I will take nothing but what the young men have eaten, and the share of the men who went with me. Let Aner, Eshcol, and Mamre take their share.”
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-God's Covenant with Abram
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-15:1 After these things the word of the LORD came to Abram in a vision: “Fear not, Abram, I am your shield; your reward shall be very great.” 2But Abram said, “O Lord GOD, what will you give me, for I continue[63] childless, and the heir of my house is Eliezer of Damascus?” 3And Abram said, “Behold, you have given me no offspring, and a member of my household will be my heir.” 4And behold, the word of the LORD came to him: “This man shall not be your heir; your very own son[64] shall be your heir.” 5And he brought him outside and said, “Look toward heaven, and number the stars, if you are able to number them.” Then he said to him, “So shall your offspring be.” 6And he believed the LORD, and he counted it to him as righteousness.
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-7And he said to him, “I am the LORD who brought you out from Ur of the Chaldeans to give you this land to possess.” 8But he said, “O Lord GOD, how am I to know that I shall possess it?” 9He said to him, “Bring me a heifer three years old, a female goat three years old, a ram three years old, a turtledove, and a young pigeon.” 10And he brought him all these, cut them in half, and laid each half over against the other. But he did not cut the birds in half. 11And when birds of prey came down on the carcasses, Abram drove them away.
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-12As the sun was going down, a deep sleep fell on Abram. And behold, dreadful and great darkness fell upon him. 13Then the LORD said to Abram, “Know for certain that your offspring will be sojourners in a land that is not theirs and will be servants there, and they will be afflicted for four hundred years. 14But I will bring judgment on the nation that they serve, and afterward they shall come out with great possessions. 15As for yourself, you shall go to your fathers in peace; you shall be buried in a good old age. 16And they shall come back here in the fourth generation, for the iniquity of the Amorites is not yet complete.”
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-17When the sun had gone down and it was dark, behold, a smoking fire pot and a flaming torch passed between these pieces. 18On that day the LORD made a covenant with Abram, saying, “To your offspring I give[65] this land, from the river of Egypt to the great river, the river Euphrates, 19the land of the Kenites, the Kenizzites, the Kadmonites, 20the Hittites, the Perizzites, the Rephaim, 21the Amorites, the Canaanites, the Girgashites and the Jebusites.”
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-Sarai and Hagar
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-16:1 Now Sarai, Abram's wife, had borne him no children. She had a female Egyptian servant whose name was Hagar. 2And Sarai said to Abram, “Behold now, the LORD has prevented me from bearing children. Go in to my servant; it may be that I shall obtain children[66] by her.” And Abram listened to the voice of Sarai. 3So, after Abram had lived ten years in the land of Canaan, Sarai, Abram's wife, took Hagar the Egyptian, her servant, and gave her to Abram her husband as a wife. 4And he went in to Hagar, and she conceived. And when she saw that she had conceived, she looked with contempt on her mistress.[67] 5And Sarai said to Abram, “May the wrong done to me be on you! I gave my servant to your embrace, and when she saw that she had conceived, she looked on me with contempt. May the LORD judge between you and me!” 6But Abram said to Sarai, “Behold, your servant is in your power; do to her as you please.” Then Sarai dealt harshly with her, and she fled from her.
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-7The angel of the LORD found her by a spring of water in the wilderness, the spring on the way to Shur. 8And he said, “Hagar, servant of Sarai, where have you come from and where are you going?” She said, “I am fleeing from my mistress Sarai.” 9The angel of the LORD said to her, “Return to your mistress and submit to her.” 10The angel of the LORD also said to her, “I will surely multiply your offspring so that they cannot be numbered for multitude.” 11And the angel of the LORD said to her,
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-“Behold, you are pregnant
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-and shall bear a son.
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-You shall call his name Ishmael,[68]
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-because the LORD has listened to your affliction.
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-12He shall be a wild donkey of a man,
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-his hand against everyone
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-and everyone's hand against him,
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-and he shall dwell over against all his kinsmen.”
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-13So she called the name of the LORD who spoke to her, “You are a God of seeing,”[69] for she said, “Truly here I have seen him who looks after me.”[70] 14Therefore the well was called Beer-lahai-roi;[71] it lies between Kadesh and Bered.
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-15And Hagar bore Abram a son, and Abram called the name of his son, whom Hagar bore, Ishmael. 16Abram was eighty-six years old when Hagar bore Ishmael to Abram.
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-Abraham and the Covenant of Circumcision
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-17:1 When Abram was ninety-nine years old the LORD appeared to Abram and said to him, “I am God Almighty;[72] walk before me, and be blameless, 2that I may make my covenant between me and you, and may multiply you greatly.” 3Then Abram fell on his face. And God said to him, 4“Behold, my covenant is with you, and you shall be the father of a multitude of nations. 5No longer shall your name be called Abram,[73] but your name shall be Abraham,[74] for I have made you the father of a multitude of nations. 6I will make you exceedingly fruitful, and I will make you into nations, and kings shall come from you. 7And I will establish my covenant between me and you and your offspring after you throughout their generations for an everlasting covenant, to be God to you and to your offspring after you. 8And I will give to you and to your offspring after you the land of your sojournings, all the land of Canaan, for an everlasting possession, and I will be their God.”
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-9And God said to Abraham, “As for you, you shall keep my covenant, you and your offspring after you throughout their generations. 10This is my covenant, which you shall keep, between me and you and your offspring after you: Every male among you shall be circumcised. 11You shall be circumcised in the flesh of your foreskins, and it shall be a sign of the covenant between me and you. 12He who is eight days old among you shall be circumcised. Every male throughout your generations, whether born in your house or bought with your money from any foreigner who is not of your offspring, 13both he who is born in your house and he who is bought with your money, shall surely be circumcised. So shall my covenant be in your flesh an everlasting covenant. 14Any uncircumcised male who is not circumcised in the flesh of his foreskin shall be cut off from his people; he has broken my covenant.”
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-Isaac's Birth Promised
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-15And God said to Abraham, “As for Sarai your wife, you shall not call her name Sarai, but Sarah[75] shall be her name. 16I will bless her, and moreover, I will give[76] you a son by her. I will bless her, and she shall become nations; kings of peoples shall come from her.” 17Then Abraham fell on his face and laughed and said to himself, “Shall a child be born to a man who is a hundred years old? Shall Sarah, who is ninety years old, bear a child?” 18And Abraham said to God, “Oh that Ishmael might live before you!” 19God said, “No, but Sarah your wife shall bear you a son, and you shall call his name Isaac.[77] I will establish my covenant with him as an everlasting covenant for his offspring after him. 20As for Ishmael, I have heard you; behold, I have blessed him and will make him fruitful and multiply him greatly. He shall father twelve princes, and I will make him into a great nation. 21But I will establish my covenant with Isaac, whom Sarah shall bear to you at this time next year.”
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-22When he had finished talking with him, God went up from Abraham. 23Then Abraham took Ishmael his son and all those born in his house or bought with his money, every male among the men of Abraham's house, and he circumcised the flesh of their foreskins that very day, as God had said to him. 24Abraham was ninety-nine years old when he was circumcised in the flesh of his foreskin. 25And Ishmael his son was thirteen years old when he was circumcised in the flesh of his foreskin. 26That very day Abraham and his son Ishmael were circumcised. 27And all the men of his house, those born in the house and those bought with money from a foreigner, were circumcised with him.
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-18:1 And the LORD appeared to him by the oaks[78] of Mamre, as he sat at the door of his tent in the heat of the day. 2He lifted up his eyes and looked, and behold, three men were standing in front of him. When he saw them, he ran from the tent door to meet them and bowed himself to the earth 3and said, “O Lord,[79] if I have found favor in your sight, do not pass by your servant. 4Let a little water be brought, and wash your feet, and rest yourselves under the tree, 5while I bring a morsel of bread, that you may refresh yourselves, and after that you may pass on—since you have come to your servant.” So they said, “Do as you have said.” 6And Abraham went quickly into the tent to Sarah and said, “Quick! Three seahs[80] of fine flour! Knead it, and make cakes.” 7And Abraham ran to the herd and took a calf, tender and good, and gave it to a young man, who prepared it quickly. 8Then he took curds and milk and the calf that he had prepared, and set it before them. And he stood by them under the tree while they ate.
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-9They said to him, “Where is Sarah your wife?” And he said, “She is in the tent.” 10The LORD said, “I will surely return to you about this time next year, and Sarah your wife shall have a son.” And Sarah was listening at the tent door behind him. 11Now Abraham and Sarah were old, advanced in years. The way of women had ceased to be with Sarah. 12So Sarah laughed to herself, saying, “After I am worn out, and my lord is old, shall I have pleasure?” 13The LORD said to Abraham, “Why did Sarah laugh and say, ‘Shall I indeed bear a child, now that I am old?’ 14Is anything too hard[81] for the LORD? At the appointed time I will return to you, about this time next year, and Sarah shall have a son.” 15But Sarah denied it,[82] saying, “I did not laugh,” for she was afraid. He said, “No, but you did laugh.”
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-16Then the men set out from there, and they looked down toward Sodom. And Abraham went with them to set them on their way. 17The LORD said, “Shall I hide from Abraham what I am about to do, 18seeing that Abraham shall surely become a great and mighty nation, and all the nations of the earth shall be blessed in him? 19For I have chosen[83] him, that he may command his children and his household after him to keep the way of the LORD by doing righteousness and justice, so that the LORD may bring to Abraham what he has promised him.” 20Then the LORD said, “Because the outcry against Sodom and Gomorrah is great and their sin is very grave, 21I will go down to see whether they have done altogether[84] according to the outcry that has come to me. And if not, I will know.”
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-Abraham Intercedes for Sodom
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-22So the men turned from there and went toward Sodom, but Abraham still stood before the LORD. 23Then Abraham drew near and said, “Will you indeed sweep away the righteous with the wicked? 24Suppose there are fifty righteous within the city. Will you then sweep away the place and not spare it for the fifty righteous who are in it? 25Far be it from you to do such a thing, to put the righteous to death with the wicked, so that the righteous fare as the wicked! Far be that from you! Shall not the Judge of all the earth do what is just?” 26And the LORD said, “If I find at Sodom fifty righteous in the city, I will spare the whole place for their sake.”
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-27Abraham answered and said, “Behold, I have undertaken to speak to the Lord, I who am but dust and ashes. 28Suppose five of the fifty righteous are lacking. Will you destroy the whole city for lack of five?” And he said, “I will not destroy it if I find forty-five there.” 29Again he spoke to him and said, “Suppose forty are found there.” He answered, “For the sake of forty I will not do it.” 30Then he said, “Oh let not the Lord be angry, and I will speak. Suppose thirty are found there.” He answered, “I will not do it, if I find thirty there.” 31He said, “Behold, I have undertaken to speak to the Lord. Suppose twenty are found there.” He answered, “For the sake of twenty I will not destroy it.” 32Then he said, “Oh let not the Lord be angry, and I will speak again but this once. Suppose ten are found there.” He answered, “For the sake of ten I will not destroy it.” 33And the LORD went his way, when he had finished speaking to Abraham, and Abraham returned to his place.
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-God Rescues Lot
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-19:1 The two angels came to Sodom in the evening, and Lot was sitting in the gate of Sodom. When Lot saw them, he rose to meet them and bowed himself with his face to the earth 2and said, “My lords, please turn aside to your servant's house and spend the night and wash your feet. Then you may rise up early and go on your way.” They said, “No; we will spend the night in the town square.” 3But he pressed them strongly; so they turned aside to him and entered his house. And he made them a feast and baked unleavened bread, and they ate.
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-4But before they lay down, the men of the city, the men of Sodom, both young and old, all the people to the last man, surrounded the house. 5And they called to Lot, “Where are the men who came to you tonight? Bring them out to us, that we may know them.” 6Lot went out to the men at the entrance, shut the door after him, 7and said, “I beg you, my brothers, do not act so wickedly. 8Behold, I have two daughters who have not known any man. Let me bring them out to you, and do to them as you please. Only do nothing to these men, for they have come under the shelter of my roof.” 9But they said, “Stand back!” And they said, “This fellow came to sojourn, and he has become the judge! Now we will deal worse with you than with them.” Then they pressed hard against the man Lot, and drew near to break the door down. 10But the men reached out their hands and brought Lot into the house with them and shut the door. 11And they struck with blindness the men who were at the entrance of the house, both small and great, so that they wore themselves out groping for the door.
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-12Then the men said to Lot, “Have you anyone else here? Sons-in-law, sons, daughters, or anyone you have in the city, bring them out of the place. 13For we are about to destroy this place, because the outcry against its people has become great before the LORD, and the LORD has sent us to destroy it.” 14So Lot went out and said to his sons-in-law, who were to marry his daughters, “Up! Get out of this place, for the LORD is about to destroy the city.” But he seemed to his sons-in-law to be jesting.
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-15As morning dawned, the angels urged Lot, saying, “Up! Take your wife and your two daughters who are here, lest you be swept away in the punishment of the city.” 16But he lingered. So the men seized him and his wife and his two daughters by the hand, the LORD being merciful to him, and they brought him out and set him outside the city. 17And as they brought them out, one said, “Escape for your life. Do not look back or stop anywhere in the valley. Escape to the hills, lest you be swept away.” 18And Lot said to them, “Oh, no, my lords. 19Behold, your servant has found favor in your sight, and you have shown me great kindness in saving my life. But I cannot escape to the hills, lest the disaster overtake me and I die. 20Behold, this city is near enough to flee to, and it is a little one. Let me escape there—is it not a little one?—and my life will be saved!” 21He said to him, “Behold, I grant you this favor also, that I will not overthrow the city of which you have spoken. 22Escape there quickly, for I can do nothing till you arrive there.” Therefore the name of the city was called Zoar.[85]
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-God Destroys Sodom
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-23The sun had risen on the earth when Lot came to Zoar. 24Then the LORD rained on Sodom and Gomorrah sulfur and fire from the LORD out of heaven. 25And he overthrew those cities, and all the valley, and all the inhabitants of the cities, and what grew on the ground. 26But Lot's wife, behind him, looked back, and she became a pillar of salt.
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-27And Abraham went early in the morning to the place where he had stood before the LORD. 28And he looked down toward Sodom and Gomorrah and toward all the land of the valley, and he looked and, behold, the smoke of the land went up like the smoke of a furnace.
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-29So it was that, when God destroyed the cities of the valley, God remembered Abraham and sent Lot out of the midst of the overthrow when he overthrew the cities in which Lot had lived.
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-Lot and His Daughters
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-30Now Lot went up out of Zoar and lived in the hills with his two daughters, for he was afraid to live in Zoar. So he lived in a cave with his two daughters. 31And the firstborn said to the younger, “Our father is old, and there is not a man on earth to come in to us after the manner of all the earth. 32Come, let us make our father drink wine, and we will lie with him, that we may preserve offspring from our father.” 33So they made their father drink wine that night. And the firstborn went in and lay with her father. He did not know when she lay down or when she arose.
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-34The next day, the firstborn said to the younger, “Behold, I lay last night with my father. Let us make him drink wine tonight also. Then you go in and lie with him, that we may preserve offspring from our father.” 35So they made their father drink wine that night also. And the younger arose and lay with him, and he did not know when she lay down or when she arose. 36Thus both the daughters of Lot became pregnant by their father. 37The firstborn bore a son and called his name Moab.[86] He is the father of the Moabites to this day. 38The younger also bore a son and called his name Ben-ammi.[87] He is the father of the Ammonites to this day.
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-Abraham and Abimelech
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-20:1 From there Abraham journeyed toward the territory of the Negeb and lived between Kadesh and Shur; and he sojourned in Gerar. 2And Abraham said of Sarah his wife, “She is my sister.” And Abimelech king of Gerar sent and took Sarah. 3But God came to Abimelech in a dream by night and said to him, “Behold, you are a dead man because of the woman whom you have taken, for she is a man's wife.” 4Now Abimelech had not approached her. So he said, “Lord, will you kill an innocent people? 5Did he not himself say to me, ‘She is my sister’? And she herself said, ‘He is my brother.’ In the integrity of my heart and the innocence of my hands I have done this.” 6Then God said to him in the dream, “Yes, I know that you have done this in the integrity of your heart, and it was I who kept you from sinning against me. Therefore I did not let you touch her. 7Now then, return the man's wife, for he is a prophet, so that he will pray for you, and you shall live. But if you do not return her, know that you shall surely die, you and all who are yours.”
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-8So Abimelech rose early in the morning and called all his servants and told them all these things. And the men were very much afraid. 9Then Abimelech called Abraham and said to him, “What have you done to us? And how have I sinned against you, that you have brought on me and my kingdom a great sin? You have done to me things that ought not to be done.” 10And Abimelech said to Abraham, “What did you see, that you did this thing?” 11Abraham said, “I did it because I thought, There is no fear of God at all in this place, and they will kill me because of my wife. 12Besides, she is indeed my sister, the daughter of my father though not the daughter of my mother, and she became my wife. 13And when God caused me to wander from my father's house, I said to her, ‘This is the kindness you must do me: at every place to which we come, say of me, He is my brother.’”
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-14Then Abimelech took sheep and oxen, and male servants and female servants, and gave them to Abraham, and returned Sarah his wife to him. 15And Abimelech said, “Behold, my land is before you; dwell where it pleases you.” 16To Sarah he said, “Behold, I have given your brother a thousand pieces of silver. It is a sign of your innocence in the eyes of all[88] who are with you, and before everyone you are vindicated.” 17Then Abraham prayed to God, and God healed Abimelech, and also healed his wife and female slaves so that they bore children. 18For the LORD had closed all the wombs of the house of Abimelech because of Sarah, Abraham's wife.
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-The Birth of Isaac
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-21:1 The LORD visited Sarah as he had said, and the LORD did to Sarah as he had promised. 2And Sarah conceived and bore Abraham a son in his old age at the time of which God had spoken to him. 3Abraham called the name of his son who was born to him, whom Sarah bore him, Isaac.[89] 4And Abraham circumcised his son Isaac when he was eight days old, as God had commanded him. 5Abraham was a hundred years old when his son Isaac was born to him. 6And Sarah said, “God has made laughter for me; everyone who hears will laugh over me.” 7And she said, “Who would have said to Abraham that Sarah would nurse children? Yet I have borne him a son in his old age.”
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-God Protects Hagar and Ishmael
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-8And the child grew and was weaned. And Abraham made a great feast on the day that Isaac was weaned. 9But Sarah saw the son of Hagar the Egyptian, whom she had borne to Abraham, laughing.[90] 10So she said to Abraham, “Cast out this slave woman with her son, for the son of this slave woman shall not be heir with my son Isaac.” 11And the thing was very displeasing to Abraham on account of his son. 12But God said to Abraham, “Be not displeased because of the boy and because of your slave woman. Whatever Sarah says to you, do as she tells you, for through Isaac shall your offspring be named. 13And I will make a nation of the son of the slave woman also, because he is your offspring.” 14So Abraham rose early in the morning and took bread and a skin of water and gave it to Hagar, putting it on her shoulder, along with the child, and sent her away. And she departed and wandered in the wilderness of Beersheba.
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-15When the water in the skin was gone, she put the child under one of the bushes. 16Then she went and sat down opposite him a good way off, about the distance of a bowshot, for she said, “Let me not look on the death of the child.” And as she sat opposite him, she lifted up her voice and wept. 17And God heard the voice of the boy, and the angel of God called to Hagar from heaven and said to her, “What troubles you, Hagar? Fear not, for God has heard the voice of the boy where he is. 18Up! Lift up the boy, and hold him fast with your hand, for I will make him into a great nation.” 19Then God opened her eyes, and she saw a well of water. And she went and filled the skin with water and gave the boy a drink. 20And God was with the boy, and he grew up. He lived in the wilderness and became an expert with the bow. 21He lived in the wilderness of Paran, and his mother took a wife for him from the land of Egypt.
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-A Treaty with Abimelech
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-22At that time Abimelech and Phicol the commander of his army said to Abraham, “God is with you in all that you do. 23Now therefore swear to me here by God that you will not deal falsely with me or with my descendants or with my posterity, but as I have dealt kindly with you, so you will deal with me and with the land where you have sojourned.” 24And Abraham said, “I will swear.”
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-25When Abraham reproved Abimelech about a well of water that Abimelech's servants had seized, 26Abimelech said, “I do not know who has done this thing; you did not tell me, and I have not heard of it until today.” 27So Abraham took sheep and oxen and gave them to Abimelech, and the two men made a covenant. 28Abraham set seven ewe lambs of the flock apart. 29And Abimelech said to Abraham, “What is the meaning of these seven ewe lambs that you have set apart?” 30He said, “These seven ewe lambs you will take from my hand, that this[91] may be a witness for me that I dug this well.” 31Therefore that place was called Beersheba,[92] because there both of them swore an oath. 32So they made a covenant at Beersheba. Then Abimelech and Phicol the commander of his army rose up and returned to the land of the Philistines. 33Abraham planted a tamarisk tree in Beersheba and called there on the name of the LORD, the Everlasting God. 34And Abraham sojourned many days in the land of the Philistines.
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-The Sacrifice of Isaac
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-22:1 After these things God tested Abraham and said to him, “Abraham!” And he said, “Here am I.” 2He said, “Take your son, your only son Isaac, whom you love, and go to the land of Moriah, and offer him there as a burnt offering on one of the mountains of which I shall tell you.” 3So Abraham rose early in the morning, saddled his donkey, and took two of his young men with him, and his son Isaac. And he cut the wood for the burnt offering and arose and went to the place of which God had told him. 4On the third day Abraham lifted up his eyes and saw the place from afar. 5Then Abraham said to his young men, “Stay here with the donkey; I and the boy[93] will go over there and worship and come again to you.” 6And Abraham took the wood of the burnt offering and laid it on Isaac his son. And he took in his hand the fire and the knife. So they went both of them together. 7And Isaac said to his father Abraham, “My father!” And he said, “Here am I, my son.” He said, “Behold, the fire and the wood, but where is the lamb for a burnt offering?” 8Abraham said, “God will provide for himself the lamb for a burnt offering, my son.” So they went both of them together.
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-9When they came to the place of which God had told him, Abraham built the altar there and laid the wood in order and bound Isaac his son and laid him on the altar, on top of the wood. 10Then Abraham reached out his hand and took the knife to slaughter his son. 11But the angel of the LORD called to him from heaven and said, “Abraham, Abraham!” And he said, “Here am I.” 12He said, “Do not lay your hand on the boy or do anything to him, for now I know that you fear God, seeing you have not withheld your son, your only son, from me.” 13And Abraham lifted up his eyes and looked, and behold, behind him was a ram, caught in a thicket by his horns. And Abraham went and took the ram and offered it up as a burnt offering instead of his son. 14So Abraham called the name of that place, “The LORD will provide”;[94] as it is said to this day, “On the mount of the LORD it shall be provided.”[95]
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-15And the angel of the LORD called to Abraham a second time from heaven 16and said, “By myself I have sworn, declares the LORD, because you have done this and have not withheld your son, your only son, 17I will surely bless you, and I will surely multiply your offspring as the stars of heaven and as the sand that is on the seashore. And your offspring shall possess the gate of his[96] enemies, 18and in your offspring shall all the nations of the earth be blessed, because you have obeyed my voice.” 19So Abraham returned to his young men, and they arose and went together to Beersheba. And Abraham lived at Beersheba.
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-20Now after these things it was told to Abraham, “Behold, Milcah also has borne children to your brother Nahor: 21Uz his firstborn, Buz his brother, Kemuel the father of Aram, 22Chesed, Hazo, Pildash, Jidlaph, and Bethuel.” 23(Bethuel fathered Rebekah.) These eight Milcah bore to Nahor, Abraham's brother. 24Moreover, his concubine, whose name was Reumah, bore Tebah, Gaham, Tahash, and Maacah.
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-Sarah's Death and Burial
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-23:1 Sarah lived 127 years; these were the years of the life of Sarah. 2And Sarah died at Kiriath-arba (that is, Hebron) in the land of Canaan, and Abraham went in to mourn for Sarah and to weep for her. 3And Abraham rose up from before his dead and said to the Hittites,[97] 4“I am a sojourner and foreigner among you; give me property among you for a burying place, that I may bury my dead out of my sight.” 5The Hittites answered Abraham, 6“Hear us, my lord; you are a prince of God[98] among us. Bury your dead in the choicest of our tombs. None of us will withhold from you his tomb to hinder you from burying your dead.” 7Abraham rose and bowed to the Hittites, the people of the land. 8And he said to them, “If you are willing that I should bury my dead out of my sight, hear me and entreat for me Ephron the son of Zohar, 9that he may give me the cave of Machpelah, which he owns; it is at the end of his field. For the full price let him give it to me in your presence as property for a burying place.”
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-10Now Ephron was sitting among the Hittites, and Ephron the Hittite answered Abraham in the hearing of the Hittites, of all who went in at the gate of his city, 11“No, my lord, hear me: I give you the field, and I give you the cave that is in it. In the sight of the sons of my people I give it to you. Bury your dead.” 12Then Abraham bowed down before the people of the land. 13And he said to Ephron in the hearing of the people of the land, “But if you will, hear me: I give the price of the field. Accept it from me, that I may bury my dead there.” 14Ephron answered Abraham, 15“My lord, listen to me: a piece of land worth four hundred shekels[99] of silver, what is that between you and me? Bury your dead.” 16Abraham listened to Ephron, and Abraham weighed out for Ephron the silver that he had named in the hearing of the Hittites, four hundred shekels of silver, according to the weights current among the merchants.
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-17So the field of Ephron in Machpelah, which was to the east of Mamre, the field with the cave that was in it and all the trees that were in the field, throughout its whole area, was made over 18to Abraham as a possession in the presence of the Hittites, before all who went in at the gate of his city. 19After this, Abraham buried Sarah his wife in the cave of the field of Machpelah east of Mamre (that is, Hebron) in the land of Canaan. 20The field and the cave that is in it were made over to Abraham as property for a burying place by the Hittites.
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-Isaac and Rebekah
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-24:1 Now Abraham was old, well advanced in years. And the LORD had blessed Abraham in all things. 2And Abraham said to his servant, the oldest of his household, who had charge of all that he had, “Put your hand under my thigh, 3that I may make you swear by the LORD, the God of heaven and God of the earth, that you will not take a wife for my son from the daughters of the Canaanites, among whom I dwell, 4but will go to my country and to my kindred, and take a wife for my son Isaac.” 5The servant said to him, “Perhaps the woman may not be willing to follow me to this land. Must I then take your son back to the land from which you came?” 6Abraham said to him, “See to it that you do not take my son back there. 7The LORD, the God of heaven, who took me from my father's house and from the land of my kindred, and who spoke to me and swore to me, ‘To your offspring I will give this land,’ he will send his angel before you, and you shall take a wife for my son from there. 8But if the woman is not willing to follow you, then you will be free from this oath of mine; only you must not take my son back there.” 9So the servant put his hand under the thigh of Abraham his master and swore to him concerning this matter.
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-10Then the servant took ten of his master's camels and departed, taking all sorts of choice gifts from his master; and he arose and went to Mesopotamia[100] to the city of Nahor. 11And he made the camels kneel down outside the city by the well of water at the time of evening, the time when women go out to draw water. 12And he said, “O LORD, God of my master Abraham, please grant me success today and show steadfast love to my master Abraham. 13Behold, I am standing by the spring of water, and the daughters of the men of the city are coming out to draw water. 14Let the young woman to whom I shall say, ‘Please let down your jar that I may drink,’ and who shall say, ‘Drink, and I will water your camels’—let her be the one whom you have appointed for your servant Isaac. By this[101] I shall know that you have shown steadfast love to my master.”
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-15Before he had finished speaking, behold, Rebekah, who was born to Bethuel the son of Milcah, the wife of Nahor, Abraham's brother, came out with her water jar on her shoulder. 16The young woman was very attractive in appearance, a maiden[102] whom no man had known. She went down to the spring and filled her jar and came up. 17Then the servant ran to meet her and said, “Please give me a little water to drink from your jar.” 18She said, “Drink, my lord.” And she quickly let down her jar upon her hand and gave him a drink. 19When she had finished giving him a drink, she said, “I will draw water for your camels also, until they have finished drinking.” 20So she quickly emptied her jar into the trough and ran again to the well to draw water, and she drew for all his camels. 21The man gazed at her in silence to learn whether the LORD had prospered his journey or not.
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-22When the camels had finished drinking, the man took a gold ring weighing a half shekel,[103] and two bracelets for her arms weighing ten gold shekels, 23and said, “Please tell me whose daughter you are. Is there room in your father's house for us to spend the night?” 24She said to him, “I am the daughter of Bethuel the son of Milcah, whom she bore to Nahor.” 25She added, “We have plenty of both straw and fodder, and room to spend the night.” 26The man bowed his head and worshiped the LORD 27and said, “Blessed be the LORD, the God of my master Abraham, who has not forsaken his steadfast love and his faithfulness toward my master. As for me, the LORD has led me in the way to the house of my master's kinsmen.” 28Then the young woman ran and told her mother's household about these things.
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-29Rebekah had a brother whose name was Laban. Laban ran out toward the man, to the spring. 30As soon as he saw the ring and the bracelets on his sister's arms, and heard the words of Rebekah his sister, “Thus the man spoke to me,” he went to the man. And behold, he was standing by the camels at the spring. 31He said, “Come in, O blessed of the LORD. Why do you stand outside? For I have prepared the house and a place for the camels.” 32So the man came to the house and unharnessed the camels, and gave straw and fodder to the camels, and there was water to wash his feet and the feet of the men who were with him. 33Then food was set before him to eat. But he said, “I will not eat until I have said what I have to say.” He said, “Speak on.”
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-34So he said, “I am Abraham's servant. 35The LORD has greatly blessed my master, and he has become great. He has given him flocks and herds, silver and gold, male servants and female servants, camels and donkeys. 36And Sarah my master's wife bore a son to my master when she was old, and to him he has given all that he has. 37My master made me swear, saying, ‘You shall not take a wife for my son from the daughters of the Canaanites, in whose land I dwell, 38but you shall go to my father's house and to my clan and take a wife for my son.’ 39I said to my master, ‘Perhaps the woman will not follow me.’ 40But he said to me, ‘The LORD, before whom I have walked, will send his angel with you and prosper your way. You shall take a wife for my son from my clan and from my father's house. 41Then you will be free from my oath, when you come to my clan. And if they will not give her to you, you will be free from my oath.’
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-42“I came today to the spring and said, ‘O LORD, the God of my master Abraham, if now you are prospering the way that I go, 43behold, I am standing by the spring of water. Let the virgin who comes out to draw water, to whom I shall say, “Please give me a little water from your jar to drink,” 44and who will say to me, “Drink, and I will draw for your camels also,” let her be the woman whom the LORD has appointed for my master's son.’
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-45“Before I had finished speaking in my heart, behold, Rebekah came out with her water jar on her shoulder, and she went down to the spring and drew water. I said to her, ‘Please let me drink.’ 46She quickly let down her jar from her shoulder and said, ‘Drink, and I will give your camels drink also.’ So I drank, and she gave the camels drink also. 47Then I asked her, ‘Whose daughter are you?’ She said, ‘The daughter of Bethuel, Nahor's son, whom Milcah bore to him.’ So I put the ring on her nose and the bracelets on her arms. 48Then I bowed my head and worshiped the LORD and blessed the LORD, the God of my master Abraham, who had led me by the right way[104] to take the daughter of my master's kinsman for his son. 49Now then, if you are going to show steadfast love and faithfulness to my master, tell me; and if not, tell me, that I may turn to the right hand or to the left.”
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-50Then Laban and Bethuel answered and said, “The thing has come from the LORD; we cannot speak to you bad or good. 51Behold, Rebekah is before you; take her and go, and let her be the wife of your master's son, as the LORD has spoken.”
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-52When Abraham's servant heard their words, he bowed himself to the earth before the LORD. 53And the servant brought out jewelry of silver and of gold, and garments, and gave them to Rebekah. He also gave to her brother and to her mother costly ornaments. 54And he and the men who were with him ate and drank, and they spent the night there. When they arose in the morning, he said, “Send me away to my master.” 55Her brother and her mother said, “Let the young woman remain with us a while, at least ten days; after that she may go.” 56But he said to them, “Do not delay me, since the LORD has prospered my way. Send me away that I may go to my master.” 57They said, “Let us call the young woman and ask her.” 58And they called Rebekah and said to her, “Will you go with this man?” She said, “I will go.” 59So they sent away Rebekah their sister and her nurse, and Abraham's servant and his men. 60And they blessed Rebekah and said to her,
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-“Our sister, may you become
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-thousands of ten thousands,
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-and may your offspring possess
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-the gate of those who hate him!”[105]
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-61Then Rebekah and her young women arose and rode on the camels and followed the man. Thus the servant took Rebekah and went his way.
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-62Now Isaac had returned from Beer-lahai-roi and was dwelling in the Negeb. 63And Isaac went out to meditate in the field toward evening. And he lifted up his eyes and saw, and behold, there were camels coming. 64And Rebekah lifted up her eyes, and when she saw Isaac, she dismounted from the camel 65and said to the servant, “Who is that man, walking in the field to meet us?” The servant said, “It is my master.” So she took her veil and covered herself. 66And the servant told Isaac all the things that he had done. 67Then Isaac brought her into the tent of Sarah his mother and took Rebekah, and she became his wife, and he loved her. So Isaac was comforted after his mother's death.
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-Abraham's Death and His Descendants
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-25:1 Abraham took another wife, whose name was Keturah. 2She bore him Zimran, Jokshan, Medan, Midian, Ishbak, and Shuah. 3Jokshan fathered Sheba and Dedan. The sons of Dedan were Asshurim, Letushim, and Leummim. 4The sons of Midian were Ephah, Epher, Hanoch, Abida, and Eldaah. All these were the children of Keturah. 5Abraham gave all he had to Isaac. 6But to the sons of his concubines Abraham gave gifts, and while he was still living he sent them away from his son Isaac, eastward to the east country.
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-7These are the days of the years of Abraham's life, 175 years. 8Abraham breathed his last and died in a good old age, an old man and full of years, and was gathered to his people. 9Isaac and Ishmael his sons buried him in the cave of Machpelah, in the field of Ephron the son of Zohar the Hittite, east of Mamre, 10the field that Abraham purchased from the Hittites. There Abraham was buried, with Sarah his wife. 11After the death of Abraham, God blessed Isaac his son. And Isaac settled at Beer-lahai-roi.
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-12These are the generations of Ishmael, Abraham's son, whom Hagar the Egyptian, Sarah's servant, bore to Abraham. 13These are the names of the sons of Ishmael, named in the order of their birth: Nebaioth, the firstborn of Ishmael; and Kedar, Adbeel, Mibsam, 14Mishma, Dumah, Massa, 15Hadad, Tema, Jetur, Naphish, and Kedemah. 16These are the sons of Ishmael and these are their names, by their villages and by their encampments, twelve princes according to their tribes. 17(These are the years of the life of Ishmael: 137 years. He breathed his last and died, and was gathered to his people.) 18They settled from Havilah to Shur, which is opposite Egypt in the direction of Assyria. He settled[106] over against all his kinsmen.
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-The Birth of Esau and Jacob
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-19These are the generations of Isaac, Abraham's son: Abraham fathered Isaac, 20and Isaac was forty years old when he took Rebekah, the daughter of Bethuel the Aramean of Paddan-aram, the sister of Laban the Aramean, to be his wife. 21And Isaac prayed to the LORD for his wife, because she was barren. And the LORD granted his prayer, and Rebekah his wife conceived. 22The children struggled together within her, and she said, “If it is thus, why is this happening to me?”[107] So she went to inquire of the LORD. 23And the LORD said to her,
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-“Two nations are in your womb,
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-and two peoples from within you[108] shall be divided;
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-the one shall be stronger than the other,
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-the older shall serve the younger.”
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-24When her days to give birth were completed, behold, there were twins in her womb. 25The first came out red, all his body like a hairy cloak, so they called his name Esau. 26Afterward his brother came out with his hand holding Esau's heel, so his name was called Jacob.[109] Isaac was sixty years old when she bore them.
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-27When the boys grew up, Esau was a skillful hunter, a man of the field, while Jacob was a quiet man, dwelling in tents. 28Isaac loved Esau because he ate of his game, but Rebekah loved Jacob.
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-Esau Sells His Birthright
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-29Once when Jacob was cooking stew, Esau came in from the field, and he was exhausted. 30And Esau said to Jacob, “Let me eat some of that red stew, for I am exhausted!” (Therefore his name was called Edom.[110]) 31Jacob said, “Sell me your birthright now.” 32Esau said, “I am about to die; of what use is a birthright to me?” 33Jacob said, “Swear to me now.” So he swore to him and sold his birthright to Jacob. 34Then Jacob gave Esau bread and lentil stew, and he ate and drank and rose and went his way. Thus Esau despised his birthright.
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-God's Promise to Isaac
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-26:1 Now there was a famine in the land, besides the former famine that was in the days of Abraham. And Isaac went to Gerar to Abimelech king of the Philistines. 2And the LORD appeared to him and said, “Do not go down to Egypt; dwell in the land of which I shall tell you. 3Sojourn in this land, and I will be with you and will bless you, for to you and to your offspring I will give all these lands, and I will establish the oath that I swore to Abraham your father. 4I will multiply your offspring as the stars of heaven and will give to your offspring all these lands. And in your offspring all the nations of the earth shall be blessed, 5because Abraham obeyed my voice and kept my charge, my commandments, my statutes, and my laws.”
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-Isaac and Abimelech
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-6So Isaac settled in Gerar. 7When the men of the place asked him about his wife, he said, “She is my sister,” for he feared to say, “My wife,” thinking, “lest the men of the place should kill me because of Rebekah,” because she was attractive in appearance. 8When he had been there a long time, Abimelech king of the Philistines looked out of a window and saw Isaac laughing with[111] Rebekah his wife. 9So Abimelech called Isaac and said, “Behold, she is your wife. How then could you say, ‘She is my sister’?” Isaac said to him, “Because I thought, ‘Lest I die because of her.’” 10Abimelech said, “What is this you have done to us? One of the people might easily have lain with your wife, and you would have brought guilt upon us.” 11So Abimelech warned all the people, saying, “Whoever touches this man or his wife shall surely be put to death.”
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-12And Isaac sowed in that land and reaped in the same year a hundredfold. The LORD blessed him, 13and the man became rich, and gained more and more until he became very wealthy. 14He had possessions of flocks and herds and many servants, so that the Philistines envied him. 15(Now the Philistines had stopped and filled with earth all the wells that his father's servants had dug in the days of Abraham his father.) 16And Abimelech said to Isaac, “Go away from us, for you are much mightier than we.”
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-17So Isaac departed from there and encamped in the Valley of Gerar and settled there. 18And Isaac dug again the wells of water that had been dug in the days of Abraham his father, which the Philistines had stopped after the death of Abraham. And he gave them the names that his father had given them. 19But when Isaac's servants dug in the valley and found there a well of spring water, 20the herdsmen of Gerar quarreled with Isaac's herdsmen, saying, “The water is ours.” So he called the name of the well Esek,[112] because they contended with him. 21Then they dug another well, and they quarreled over that also, so he called its name Sitnah.[113] 22And he moved from there and dug another well, and they did not quarrel over it. So he called its name Rehoboth,[114] saying, “For now the LORD has made room for us, and we shall be fruitful in the land.”
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-23From there he went up to Beersheba. 24And the LORD appeared to him the same night and said, “I am the God of Abraham your father. Fear not, for I am with you and will bless you and multiply your offspring for my servant Abraham's sake.” 25So he built an altar there and called upon the name of the LORD and pitched his tent there. And there Isaac's servants dug a well.
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-26When Abimelech went to him from Gerar with Ahuzzath his adviser and Phicol the commander of his army, 27Isaac said to them, “Why have you come to me, seeing that you hate me and have sent me away from you?” 28They said, “We see plainly that the LORD has been with you. So we said, let there be a sworn pact between us, between you and us, and let us make a covenant with you, 29that you will do us no harm, just as we have not touched you and have done to you nothing but good and have sent you away in peace. You are now the blessed of the LORD.” 30So he made them a feast, and they ate and drank. 31In the morning they rose early and exchanged oaths. And Isaac sent them on their way, and they departed from him in peace. 32That same day Isaac's servants came and told him about the well that they had dug and said to him, “We have found water.” 33He called it Shibah;[115] therefore the name of the city is Beersheba to this day.
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-34When Esau was forty years old, he took Judith the daughter of Beeri the Hittite to be his wife, and Basemath the daughter of Elon the Hittite, 35and they made life bitter[116] for Isaac and Rebekah.
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-Isaac Blesses Jacob
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-27:1 When Isaac was old and his eyes were dim so that he could not see, he called Esau his older son and said to him, “My son”; and he answered, “Here I am.” 2He said, “Behold, I am old; I do not know the day of my death. 3Now then, take your weapons, your quiver and your bow, and go out to the field and hunt game for me, 4and prepare for me delicious food, such as I love, and bring it to me so that I may eat, that my soul may bless you before I die.”
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-5Now Rebekah was listening when Isaac spoke to his son Esau. So when Esau went to the field to hunt for game and bring it, 6Rebekah said to her son Jacob, “I heard your father speak to your brother Esau, 7‘Bring me game and prepare for me delicious food, that I may eat it and bless you before the LORD before I die.’ 8Now therefore, my son, obey my voice as I command you. 9Go to the flock and bring me two good young goats, so that I may prepare from them delicious food for your father, such as he loves. 10And you shall bring it to your father to eat, so that he may bless you before he dies.” 11But Jacob said to Rebekah his mother, “Behold, my brother Esau is a hairy man, and I am a smooth man. 12Perhaps my father will feel me, and I shall seem to be mocking him and bring a curse upon myself and not a blessing.” 13His mother said to him, “Let your curse be on me, my son; only obey my voice, and go, bring them to me.”
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-14So he went and took them and brought them to his mother, and his mother prepared delicious food, such as his father loved. 15Then Rebekah took the best garments of Esau her older son, which were with her in the house, and put them on Jacob her younger son. 16And the skins of the young goats she put on his hands and on the smooth part of his neck. 17And she put the delicious food and the bread, which she had prepared, into the hand of her son Jacob.
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-18So he went in to his father and said, “My father.” And he said, “Here I am. Who are you, my son?” 19Jacob said to his father, “I am Esau your firstborn. I have done as you told me; now sit up and eat of my game, that your soul may bless me.” 20But Isaac said to his son, “How is it that you have found it so quickly, my son?” He answered, “Because the LORD your God granted me success.” 21Then Isaac said to Jacob, “Please come near, that I may feel you, my son, to know whether you are really my son Esau or not.” 22So Jacob went near to Isaac his father, who felt him and said, “The voice is Jacob's voice, but the hands are the hands of Esau.” 23And he did not recognize him, because his hands were hairy like his brother Esau's hands. So he blessed him. 24He said, “Are you really my son Esau?” He answered, “I am.” 25Then he said, “Bring it near to me, that I may eat of my son's game and bless you.” So he brought it near to him, and he ate; and he brought him wine, and he drank.
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-26Then his father Isaac said to him, “Come near and kiss me, my son.” 27So he came near and kissed him. And Isaac smelled the smell of his garments and blessed him and said,
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-“See, the smell of my son
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-is as the smell of a field that the LORD has blessed!
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-28May God give you of the dew of heaven
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-and of the fatness of the earth
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-and plenty of grain and wine.
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-29Let peoples serve you,
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-and nations bow down to you.
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-Be lord over your brothers,
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-and may your mother's sons bow down to you.
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-Cursed be everyone who curses you,
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-and blessed be everyone who blesses you!”
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-30As soon as Isaac had finished blessing Jacob, when Jacob had scarcely gone out from the presence of Isaac his father, Esau his brother came in from his hunting. 31He also prepared delicious food and brought it to his father. And he said to his father, “Let my father arise and eat of his son's game, that you may bless me.” 32His father Isaac said to him, “Who are you?” He answered, “I am your son, your firstborn, Esau.” 33Then Isaac trembled very violently and said, “Who was it then that hunted game and brought it to me, and I ate it all before you came, and I have blessed him? Yes, and he shall be blessed.” 34As soon as Esau heard the words of his father, he cried out with an exceedingly great and bitter cry and said to his father, “Bless me, even me also, O my father!” 35But he said, “Your brother came deceitfully, and he has taken away your blessing.” 36Esau said, “Is he not rightly named Jacob?[117] For he has cheated me these two times. He took away my birthright, and behold, now he has taken away my blessing.” Then he said, “Have you not reserved a blessing for me?” 37Isaac answered and said to Esau, “Behold, I have made him lord over you, and all his brothers I have given to him for servants, and with grain and wine I have sustained him. What then can I do for you, my son?” 38Esau said to his father, “Have you but one blessing, my father? Bless me, even me also, O my father.” And Esau lifted up his voice and wept.
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-39Then Isaac his father answered and said to him:
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-“Behold, away from[118] the fatness of the earth shall your dwelling be,
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-and away from[119] the dew of heaven on high.
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-40By your sword you shall live,
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-and you shall serve your brother;
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-but when you grow restless
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-you shall break his yoke from your neck.”
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-41Now Esau hated Jacob because of the blessing with which his father had blessed him, and Esau said to himself, “The days of mourning for my father are approaching; then I will kill my brother Jacob.” 42But the words of Esau her older son were told to Rebekah. So she sent and called Jacob her younger son and said to him, “Behold, your brother Esau comforts himself about you by planning to kill you. 43Now therefore, my son, obey my voice. Arise, flee to Laban my brother in Haran 44and stay with him a while, until your brother's fury turns away— 45until your brother's anger turns away from you, and he forgets what you have done to him. Then I will send and bring you from there. Why should I be bereft of you both in one day?”
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-46Then Rebekah said to Isaac, “I loathe my life because of the Hittite women.[120] If Jacob marries one of the Hittite women like these, one of the women of the land, what good will my life be to me?”
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-Jacob Sent to Laban
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-28:1 Then Isaac called Jacob and blessed him and directed him, “You must not take a wife from the Canaanite women. 2Arise, go to Paddan-aram to the house of Bethuel your mother's father, and take as your wife from there one of the daughters of Laban your mother's brother. 3God Almighty[121] bless you and make you fruitful and multiply you, that you may become a company of peoples. 4May he give the blessing of Abraham to you and to your offspring with you, that you may take possession of the land of your sojournings that God gave to Abraham!” 5Thus Isaac sent Jacob away. And he went to Paddan-aram, to Laban, the son of Bethuel the Aramean, the brother of Rebekah, Jacob's and Esau's mother.
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-Esau Marries an Ishmaelite
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-6Now Esau saw that Isaac had blessed Jacob and sent him away to Paddan-aram to take a wife from there, and that as he blessed him he directed him, “You must not take a wife from the Canaanite women,” 7and that Jacob had obeyed his father and his mother and gone to Paddan-aram. 8So when Esau saw that the Canaanite women did not please Isaac his father, 9Esau went to Ishmael and took as his wife, besides the wives he had, Mahalath the daughter of Ishmael, Abraham's son, the sister of Nebaioth.
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-Jacob's Dream
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-10Jacob left Beersheba and went toward Haran. 11And he came to a certain place and stayed there that night, because the sun had set. Taking one of the stones of the place, he put it under his head and lay down in that place to sleep. 12And he dreamed, and behold, there was a ladder[122] set up on the earth, and the top of it reached to heaven. And behold, the angels of God were ascending and descending on it! 13And behold, the LORD stood above it[123] and said, “I am the LORD, the God of Abraham your father and the God of Isaac. The land on which you lie I will give to you and to your offspring. 14Your offspring shall be like the dust of the earth, and you shall spread abroad to the west and to the east and to the north and to the south, and in you and your offspring shall all the families of the earth be blessed. 15Behold, I am with you and will keep you wherever you go, and will bring you back to this land. For I will not leave you until I have done what I have promised you.” 16Then Jacob awoke from his sleep and said, “Surely the LORD is in this place, and I did not know it.” 17And he was afraid and said, “How awesome is this place! This is none other than the house of God, and this is the gate of heaven.”
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-18So early in the morning Jacob took the stone that he had put under his head and set it up for a pillar and poured oil on the top of it. 19He called the name of that place Bethel,[124] but the name of the city was Luz at the first. 20Then Jacob made a vow, saying, “If God will be with me and will keep me in this way that I go, and will give me bread to eat and clothing to wear, 21so that I come again to my father's house in peace, then the LORD shall be my God, 22and this stone, which I have set up for a pillar, shall be God's house. And of all that you give me I will give a full tenth to you.”
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-Jacob Marries Leah and Rachel
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-29:1 Then Jacob went on his journey and came to the land of the people of the east. 2As he looked, he saw a well in the field, and behold, three flocks of sheep lying beside it, for out of that well the flocks were watered. The stone on the well's mouth was large, 3and when all the flocks were gathered there, the shepherds would roll the stone from the mouth of the well and water the sheep, and put the stone back in its place over the mouth of the well.
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-4Jacob said to them, “My brothers, where do you come from?” They said, “We are from Haran.” 5He said to them, “Do you know Laban the son of Nahor?” They said, “We know him.” 6He said to them, “Is it well with him?” They said, “It is well; and see, Rachel his daughter is coming with the sheep!” 7He said, “Behold, it is still high day; it is not time for the livestock to be gathered together. Water the sheep and go, pasture them.” 8But they said, “We cannot until all the flocks are gathered together and the stone is rolled from the mouth of the well; then we water the sheep.”
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-9While he was still speaking with them, Rachel came with her father's sheep, for she was a shepherdess. 10Now as soon as Jacob saw Rachel the daughter of Laban his mother's brother, and the sheep of Laban his mother's brother, Jacob came near and rolled the stone from the well's mouth and watered the flock of Laban his mother's brother. 11Then Jacob kissed Rachel and wept aloud. 12And Jacob told Rachel that he was her father's kinsman, and that he was Rebekah's son, and she ran and told her father.
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-13As soon as Laban heard the news about Jacob, his sister's son, he ran to meet him and embraced him and kissed him and brought him to his house. Jacob told Laban all these things, 14and Laban said to him, “Surely you are my bone and my flesh!” And he stayed with him a month.
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-15Then Laban said to Jacob, “Because you are my kinsman, should you therefore serve me for nothing? Tell me, what shall your wages be?” 16Now Laban had two daughters. The name of the older was Leah, and the name of the younger was Rachel. 17Leah's eyes were weak,[125] but Rachel was beautiful in form and appearance. 18Jacob loved Rachel. And he said, “I will serve you seven years for your younger daughter Rachel.” 19Laban said, “It is better that I give her to you than that I should give her to any other man; stay with me.” 20So Jacob served seven years for Rachel, and they seemed to him but a few days because of the love he had for her.
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-21Then Jacob said to Laban, “Give me my wife that I may go in to her, for my time is completed.” 22So Laban gathered together all the people of the place and made a feast. 23But in the evening he took his daughter Leah and brought her to Jacob, and he went in to her. 24(Laban gave[126] his female servant Zilpah to his daughter Leah to be her servant.) 25And in the morning, behold, it was Leah! And Jacob said to Laban, “What is this you have done to me? Did I not serve with you for Rachel? Why then have you deceived me?” 26Laban said, “It is not so done in our country, to give the younger before the firstborn. 27Complete the week of this one, and we will give you the other also in return for serving me another seven years.” 28Jacob did so, and completed her week. Then Laban gave him his daughter Rachel to be his wife. 29(Laban gave his female servant Bilhah to his daughter Rachel to be her servant.) 30So Jacob went in to Rachel also, and he loved Rachel more than Leah, and served Laban for another seven years.
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-Jacob's Children
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-31When the LORD saw that Leah was hated, he opened her womb, but Rachel was barren. 32And Leah conceived and bore a son, and she called his name Reuben,[127] for she said, “Because the LORD has looked upon my affliction; for now my husband will love me.” 33She conceived again and bore a son, and said, “Because the LORD has heard that I am hated, he has given me this son also.” And she called his name Simeon.[128] 34Again she conceived and bore a son, and said, “Now this time my husband will be attached to me, because I have borne him three sons.” Therefore his name was called Levi.[129] 35And she conceived again and bore a son, and said, “This time I will praise the LORD.” Therefore she called his name Judah.[130] Then she ceased bearing.
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-30:1 When Rachel saw that she bore Jacob no children, she envied her sister. She said to Jacob, “Give me children, or I shall die!” 2Jacob's anger was kindled against Rachel, and he said, “Am I in the place of God, who has withheld from you the fruit of the womb?” 3Then she said, “Here is my servant Bilhah; go in to her, so that she may give birth on my behalf,[131] that even I may have children[132] through her.” 4So she gave him her servant Bilhah as a wife, and Jacob went in to her. 5And Bilhah conceived and bore Jacob a son. 6Then Rachel said, “God has judged me, and has also heard my voice and given me a son.” Therefore she called his name Dan.[133] 7Rachel's servant Bilhah conceived again and bore Jacob a second son. 8Then Rachel said, “With mighty wrestlings[134] I have wrestled with my sister and have prevailed.” So she called his name Naphtali.[135]
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-9When Leah saw that she had ceased bearing children, she took her servant Zilpah and gave her to Jacob as a wife. 10Then Leah's servant Zilpah bore Jacob a son. 11And Leah said, “Good fortune has come!” so she called his name Gad.[136] 12Leah's servant Zilpah bore Jacob a second son. 13And Leah said, “Happy am I! For women have called me happy.” So she called his name Asher.[137]
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-14In the days of wheat harvest Reuben went and found mandrakes in the field and brought them to his mother Leah. Then Rachel said to Leah, “Please give me some of your son's mandrakes.” 15But she said to her, “Is it a small matter that you have taken away my husband? Would you take away my son's mandrakes also?” Rachel said, “Then he may lie with you tonight in exchange for your son's mandrakes.” 16When Jacob came from the field in the evening, Leah went out to meet him and said, “You must come in to me, for I have hired you with my son's mandrakes.” So he lay with her that night. 17And God listened to Leah, and she conceived and bore Jacob a fifth son. 18Leah said, “God has given me my wages because I gave my servant to my husband.” So she called his name Issachar.[138]
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-19And Leah conceived again, and she bore Jacob a sixth son. 20Then Leah said, “God has endowed me with a good endowment; now my husband will honor me, because I have borne him six sons.” So she called his name Zebulun.[139] 21Afterward she bore a daughter and called her name Dinah.
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-22Then God remembered Rachel, and God listened to her and opened her womb. 23She conceived and bore a son and said, “God has taken away my reproach.” 24And she called his name Joseph,[140] saying, “May the LORD add to me another son!”
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-Jacob's Prosperity
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-25As soon as Rachel had borne Joseph, Jacob said to Laban, “Send me away, that I may go to my own home and country. 26Give me my wives and my children for whom I have served you, that I may go, for you know the service that I have given you.” 27But Laban said to him, “If I have found favor in your sight, I have learned by divination that[141] the LORD has blessed me because of you. 28Name your wages, and I will give it.” 29Jacob said to him, “You yourself know how I have served you, and how your livestock has fared with me. 30For you had little before I came, and it has increased abundantly, and the LORD has blessed you wherever I turned. But now when shall I provide for my own household also?” 31He said, “What shall I give you?” Jacob said, “You shall not give me anything. If you will do this for me, I will again pasture your flock and keep it: 32let me pass through all your flock today, removing from it every speckled and spotted sheep and every black lamb, and the spotted and speckled among the goats, and they shall be my wages. 33So my honesty will answer for me later, when you come to look into my wages with you. Every one that is not speckled and spotted among the goats and black among the lambs, if found with me, shall be counted stolen.” 34Laban said, “Good! Let it be as you have said.” 35But that day Laban removed the male goats that were striped and spotted, and all the female goats that were speckled and spotted, every one that had white on it, and every lamb that was black, and put them in the charge of his sons. 36And he set a distance of three days' journey between himself and Jacob, and Jacob pastured the rest of Laban's flock.
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-37Then Jacob took fresh sticks of poplar and almond and plane trees, and peeled white streaks in them, exposing the white of the sticks. 38He set the sticks that he had peeled in front of the flocks in the troughs, that is, the watering places, where the flocks came to drink. And since they bred when they came to drink, 39the flocks bred in front of the sticks and so the flocks brought forth striped, speckled, and spotted. 40And Jacob separated the lambs and set the faces of the flocks toward the striped and all the black in the flock of Laban. He put his own droves apart and did not put them with Laban's flock. 41Whenever the stronger of the flock were breeding, Jacob would lay the sticks in the troughs before the eyes of the flock, that they might breed among the sticks, 42but for the feebler of the flock he would not lay them there. So the feebler would be Laban's, and the stronger Jacob's. 43Thus the man increased greatly and had large flocks, female servants and male servants, and camels and donkeys.
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-Jacob Flees from Laban
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-31:1 Now Jacob heard that the sons of Laban were saying, “Jacob has taken all that was our father's, and from what was our father's he has gained all this wealth.” 2And Jacob saw that Laban did not regard him with favor as before. 3Then the LORD said to Jacob, “Return to the land of your fathers and to your kindred, and I will be with you.”
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-4So Jacob sent and called Rachel and Leah into the field where his flock was 5and said to them, “I see that your father does not regard me with favor as he did before. But the God of my father has been with me. 6You know that I have served your father with all my strength, 7yet your father has cheated me and changed my wages ten times. But God did not permit him to harm me. 8If he said, ‘The spotted shall be your wages,’ then all the flock bore spotted; and if he said, ‘The striped shall be your wages,’ then all the flock bore striped. 9Thus God has taken away the livestock of your father and given them to me. 10In the breeding season of the flock I lifted up my eyes and saw in a dream that the goats that mated with the flock were striped, spotted, and mottled. 11Then the angel of God said to me in the dream, ‘Jacob,’ and I said, ‘Here I am!’ 12And he said, ‘Lift up your eyes and see, all the goats that mate with the flock are striped, spotted, and mottled, for I have seen all that Laban is doing to you. 13I am the God of Bethel, where you anointed a pillar and made a vow to me. Now arise, go out from this land and return to the land of your kindred.’” 14Then Rachel and Leah answered and said to him, “Is there any portion or inheritance left to us in our father's house? 15Are we not regarded by him as foreigners? For he has sold us, and he has indeed devoured our money. 16All the wealth that God has taken away from our father belongs to us and to our children. Now then, whatever God has said to you, do.”
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-17So Jacob arose and set his sons and his wives on camels. 18He drove away all his livestock, all his property that he had gained, the livestock in his possession that he had acquired in Paddan-aram, to go to the land of Canaan to his father Isaac. 19Laban had gone to shear his sheep, and Rachel stole her father's household gods. 20And Jacob tricked[142] Laban the Aramean, by not telling him that he intended to flee. 21He fled with all that he had and arose and crossed the Euphrates, and set his face toward the hill country of Gilead.
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-22When it was told Laban on the third day that Jacob had fled, 23he took his kinsmen with him and pursued him for seven days and followed close after him into the hill country of Gilead. 24But God came to Laban the Aramean in a dream by night and said to him, “Be careful not to say anything to Jacob, either good or bad.”
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-25And Laban overtook Jacob. Now Jacob had pitched his tent in the hill country, and Laban with his kinsmen pitched tents in the hill country of Gilead. 26And Laban said to Jacob, “What have you done, that you have tricked me and driven away my daughters like captives of the sword? 27Why did you flee secretly and trick me, and did not tell me, so that I might have sent you away with mirth and songs, with tambourine and lyre? 28And why did you not permit me to kiss my sons and my daughters farewell? Now you have done foolishly. 29It is in my power to do you harm. But the God of your[143] father spoke to me last night, saying, ‘Be careful not to say anything to Jacob, either good or bad.’ 30And now you have gone away because you longed greatly for your father's house, but why did you steal my gods?” 31Jacob answered and said to Laban, “Because I was afraid, for I thought that you would take your daughters from me by force. 32Anyone with whom you find your gods shall not live. In the presence of our kinsmen point out what I have that is yours, and take it.” Now Jacob did not know that Rachel had stolen them.
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-33So Laban went into Jacob's tent and into Leah's tent and into the tent of the two female servants, but he did not find them. And he went out of Leah's tent and entered Rachel's. 34Now Rachel had taken the household gods and put them in the camel's saddle and sat on them. Laban felt all about the tent, but did not find them. 35And she said to her father, “Let not my lord be angry that I cannot rise before you, for the way of women is upon me.” So he searched but did not find the household gods.
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-36Then Jacob became angry and berated Laban. Jacob said to Laban, “What is my offense? What is my sin, that you have hotly pursued me? 37For you have felt through all my goods; what have you found of all your household goods? Set it here before my kinsmen and your kinsmen, that they may decide between us two. 38These twenty years I have been with you. Your ewes and your female goats have not miscarried, and I have not eaten the rams of your flocks. 39What was torn by wild beasts I did not bring to you. I bore the loss of it myself. From my hand you required it, whether stolen by day or stolen by night. 40There I was: by day the heat consumed me, and the cold by night, and my sleep fled from my eyes. 41These twenty years I have been in your house. I served you fourteen years for your two daughters, and six years for your flock, and you have changed my wages ten times. 42If the God of my father, the God of Abraham and the Fear of Isaac, had not been on my side, surely now you would have sent me away empty-handed. God saw my affliction and the labor of my hands and rebuked you last night.”
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-43Then Laban answered and said to Jacob, “The daughters are my daughters, the children are my children, the flocks are my flocks, and all that you see is mine. But what can I do this day for these my daughters or for their children whom they have borne? 44Come now, let us make a covenant, you and I. And let it be a witness between you and me.” 45So Jacob took a stone and set it up as a pillar. 46And Jacob said to his kinsmen, “Gather stones.” And they took stones and made a heap, and they ate there by the heap. 47Laban called it Jegar-sahadutha,[144] but Jacob called it Galeed.[145] 48Laban said, “This heap is a witness between you and me today.” Therefore he named it Galeed, 49and Mizpah,[146] for he said, “The LORD watch between you and me, when we are out of one another's sight. 50If you oppress my daughters, or if you take wives besides my daughters, although no one is with us, see, God is witness between you and me.”
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-51Then Laban said to Jacob, “See this heap and the pillar, which I have set between you and me. 52This heap is a witness, and the pillar is a witness, that I will not pass over this heap to you, and you will not pass over this heap and this pillar to me, to do harm. 53The God of Abraham and the God of Nahor, the God of their father, judge between us.” So Jacob swore by the Fear of his father Isaac, 54and Jacob offered a sacrifice in the hill country and called his kinsmen to eat bread. They ate bread and spent the night in the hill country.
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-55[147] Early in the morning Laban arose and kissed his grandchildren and his daughters and blessed them. Then Laban departed and returned home.
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-Jacob Fears Esau
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-32:1 Jacob went on his way, and the angels of God met him. 2And when Jacob saw them he said, “This is God's camp!” So he called the name of that place Mahanaim.[148]
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-3And Jacob sent[149] messengers before him to Esau his brother in the land of Seir, the country of Edom, 4instructing them, “Thus you shall say to my lord Esau: Thus says your servant Jacob, ‘I have sojourned with Laban and stayed until now. 5I have oxen, donkeys, flocks, male servants, and female servants. I have sent to tell my lord, in order that I may find favor in your sight.’”
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-6And the messengers returned to Jacob, saying, “We came to your brother Esau, and he is coming to meet you, and there are four hundred men with him.” 7Then Jacob was greatly afraid and distressed. He divided the people who were with him, and the flocks and herds and camels, into two camps, 8thinking, “If Esau comes to the one camp and attacks it, then the camp that is left will escape.”
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-9And Jacob said, “O God of my father Abraham and God of my father Isaac, O LORD who said to me, ‘Return to your country and to your kindred, that I may do you good,’ 10I am not worthy of the least of all the deeds of steadfast love and all the faithfulness that you have shown to your servant, for with only my staff I crossed this Jordan, and now I have become two camps. 11Please deliver me from the hand of my brother, from the hand of Esau, for I fear him, that he may come and attack me, the mothers with the children. 12But you said, ‘I will surely do you good, and make your offspring as the sand of the sea, which cannot be numbered for multitude.’”
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-13So he stayed there that night, and from what he had with him he took a present for his brother Esau, 14two hundred female goats and twenty male goats, two hundred ewes and twenty rams, 15thirty milking camels and their calves, forty cows and ten bulls, twenty female donkeys and ten male donkeys. 16These he handed over to his servants, every drove by itself, and said to his servants, “Pass on ahead of me and put a space between drove and drove.” 17He instructed the first, “When Esau my brother meets you and asks you, ‘To whom do you belong? Where are you going? And whose are these ahead of you?’ 18then you shall say, ‘They belong to your servant Jacob. They are a present sent to my lord Esau. And moreover, he is behind us.’” 19He likewise instructed the second and the third and all who followed the droves, “You shall say the same thing to Esau when you find him, 20and you shall say, ‘Moreover, your servant Jacob is behind us.’” For he thought, “I may appease him[150] with the present that goes ahead of me, and afterward I shall see his face. Perhaps he will accept me.”[151] 21So the present passed on ahead of him, and he himself stayed that night in the camp.
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-Jacob Wrestles with God
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-22The same night he arose and took his two wives, his two female servants, and his eleven children,[152] and crossed the ford of the Jabbok. 23He took them and sent them across the stream, and everything else that he had. 24And Jacob was left alone. And a man wrestled with him until the breaking of the day. 25When the man saw that he did not prevail against Jacob, he touched his hip socket, and Jacob's hip was put out of joint as he wrestled with him. 26Then he said, “Let me go, for the day has broken.” But Jacob said, “I will not let you go unless you bless me.” 27And he said to him, “What is your name?” And he said, “Jacob.” 28Then he said, “Your name shall no longer be called Jacob, but Israel,[153] for you have striven with God and with men, and have prevailed.” 29Then Jacob asked him, “Please tell me your name.” But he said, “Why is it that you ask my name?” And there he blessed him. 30So Jacob called the name of the place Peniel,[154] saying, “For I have seen God face to face, and yet my life has been delivered.” 31The sun rose upon him as he passed Penuel, limping because of his hip. 32Therefore to this day the people of Israel do not eat the sinew of the thigh that is on the hip socket, because he touched the socket of Jacob's hip on the sinew of the thigh.
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-Jacob Meets Esau
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-33:1 And Jacob lifted up his eyes and looked, and behold, Esau was coming, and four hundred men with him. So he divided the children among Leah and Rachel and the two female servants. 2And he put the servants with their children in front, then Leah with her children, and Rachel and Joseph last of all. 3He himself went on before them, bowing himself to the ground seven times, until he came near to his brother.
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-4But Esau ran to meet him and embraced him and fell on his neck and kissed him, and they wept. 5And when Esau lifted up his eyes and saw the women and children, he said, “Who are these with you?” Jacob said, “The children whom God has graciously given your servant.” 6Then the servants drew near, they and their children, and bowed down. 7Leah likewise and her children drew near and bowed down. And last Joseph and Rachel drew near, and they bowed down. 8Esau said, “What do you mean by all this company[155] that I met?” Jacob answered, “To find favor in the sight of my lord.” 9But Esau said, “I have enough, my brother; keep what you have for yourself.” 10Jacob said, “No, please, if I have found favor in your sight, then accept my present from my hand. For I have seen your face, which is like seeing the face of God, and you have accepted me. 11Please accept my blessing that is brought to you, because God has dealt graciously with me, and because I have enough.” Thus he urged him, and he took it.
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-12Then Esau said, “Let us journey on our way, and I will go ahead of[156] you.” 13But Jacob said to him, “My lord knows that the children are frail, and that the nursing flocks and herds are a care to me. If they are driven hard for one day, all the flocks will die. 14Let my lord pass on ahead of his servant, and I will lead on slowly, at the pace of the livestock that are ahead of me and at the pace of the children, until I come to my lord in Seir.”
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-15So Esau said, “Let me leave with you some of the people who are with me.” But he said, “What need is there? Let me find favor in the sight of my lord.” 16So Esau returned that day on his way to Seir. 17But Jacob journeyed to Succoth, and built himself a house and made booths for his livestock. Therefore the name of the place is called Succoth.[157]
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-18And Jacob came safely[158] to the city of Shechem, which is in the land of Canaan, on his way from Paddan-aram, and he camped before the city. 19And from the sons of Hamor, Shechem's father, he bought for a hundred pieces of money[159] the piece of land on which he had pitched his tent. 20There he erected an altar and called it El-Elohe-Israel.[160]
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-The Defiling of Dinah
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-34:1 Now Dinah the daughter of Leah, whom she had borne to Jacob, went out to see the women of the land. 2And when Shechem the son of Hamor the Hivite, the prince of the land, saw her, he seized her and lay with her and humiliated her. 3And his soul was drawn to Dinah the daughter of Jacob. He loved the young woman and spoke tenderly to her. 4So Shechem spoke to his father Hamor, saying, “Get me this girl for my wife.”
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-5Now Jacob heard that he had defiled his daughter Dinah. But his sons were with his livestock in the field, so Jacob held his peace until they came. 6And Hamor the father of Shechem went out to Jacob to speak with him. 7The sons of Jacob had come in from the field as soon as they heard of it, and the men were indignant and very angry, because he had done an outrageous thing in Israel by lying with Jacob's daughter, for such a thing must not be done.
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-8But Hamor spoke with them, saying, “The soul of my son Shechem longs for your[161] daughter. Please give her to him to be his wife. 9Make marriages with us. Give your daughters to us, and take our daughters for yourselves. 10You shall dwell with us, and the land shall be open to you. Dwell and trade in it, and get property in it.” 11Shechem also said to her father and to her brothers, “Let me find favor in your eyes, and whatever you say to me I will give. 12Ask me for as great a bride price[162] and gift as you will, and I will give whatever you say to me. Only give me the young woman to be my wife.”
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-13The sons of Jacob answered Shechem and his father Hamor deceitfully, because he had defiled their sister Dinah. 14They said to them, “We cannot do this thing, to give our sister to one who is uncircumcised, for that would be a disgrace to us. 15Only on this condition will we agree with you—that you will become as we are by every male among you being circumcised. 16Then we will give our daughters to you, and we will take your daughters to ourselves, and we will dwell with you and become one people. 17But if you will not listen to us and be circumcised, then we will take our daughter, and we will be gone.”
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-18Their words pleased Hamor and Hamor's son Shechem. 19And the young man did not delay to do the thing, because he delighted in Jacob's daughter. Now he was the most honored of all his father's house. 20So Hamor and his son Shechem came to the gate of their city and spoke to the men of their city, saying, 21“These men are at peace with us; let them dwell in the land and trade in it, for behold, the land is large enough for them. Let us take their daughters as wives, and let us give them our daughters. 22Only on this condition will the men agree to dwell with us to become one people—when every male among us is circumcised as they are circumcised. 23Will not their livestock, their property and all their beasts be ours? Only let us agree with them, and they will dwell with us.” 24And all who went out of the gate of his city listened to Hamor and his son Shechem, and every male was circumcised, all who went out of the gate of his city.
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-25On the third day, when they were sore, two of the sons of Jacob, Simeon and Levi, Dinah's brothers, took their swords and came against the city while it felt secure and killed all the males. 26They killed Hamor and his son Shechem with the sword and took Dinah out of Shechem's house and went away. 27The sons of Jacob came upon the slain and plundered the city, because they had defiled their sister. 28They took their flocks and their herds, their donkeys, and whatever was in the city and in the field. 29All their wealth, all their little ones and their wives, all that was in the houses, they captured and plundered.
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-30Then Jacob said to Simeon and Levi, “You have brought trouble on me by making me stink to the inhabitants of the land, the Canaanites and the Perizzites. My numbers are few, and if they gather themselves against me and attack me, I shall be destroyed, both I and my household.” 31But they said, “Should he treat our sister like a prostitute?”
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-God Blesses and Renames Jacob
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-35:1 God said to Jacob, “Arise, go up to Bethel and dwell there. Make an altar there to the God who appeared to you when you fled from your brother Esau.” 2So Jacob said to his household and to all who were with him, “Put away the foreign gods that are among you and purify yourselves and change your garments. 3Then let us arise and go up to Bethel, so that I may make there an altar to the God who answers me in the day of my distress and has been with me wherever I have gone.” 4So they gave to Jacob all the foreign gods that they had, and the rings that were in their ears. Jacob hid them under the terebinth tree that was near Shechem.
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-5And as they journeyed, a terror from God fell upon the cities that were around them, so that they did not pursue the sons of Jacob. 6And Jacob came to Luz (that is, Bethel), which is in the land of Canaan, he and all the people who were with him, 7and there he built an altar and called the place El-bethel,[163] because there God had revealed himself to him when he fled from his brother. 8And Deborah, Rebekah's nurse, died, and she was buried under an oak below Bethel. So he called its name Allon-bacuth.[164]
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-9God appeared[165] to Jacob again, when he came from Paddan-aram, and blessed him. 10And God said to him, “Your name is Jacob; no longer shall your name be called Jacob, but Israel shall be your name.” So he called his name Israel. 11And God said to him, “I am God Almighty:[166] be fruitful and multiply. A nation and a company of nations shall come from you, and kings shall come from your own body.[167] 12The land that I gave to Abraham and Isaac I will give to you, and I will give the land to your offspring after you.” 13Then God went up from him in the place where he had spoken with him. 14And Jacob set up a pillar in the place where he had spoken with him, a pillar of stone. He poured out a drink offering on it and poured oil on it. 15So Jacob called the name of the place where God had spoken with him Bethel.
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-The Deaths of Rachel and Isaac
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-16Then they journeyed from Bethel. When they were still some distance[168] from Ephrath, Rachel went into labor, and she had hard labor. 17And when her labor was at its hardest, the midwife said to her, “Do not fear, for you have another son.” 18And as her soul was departing (for she was dying), she called his name Ben-oni;[169] but his father called him Benjamin.[170] 19So Rachel died, and she was buried on the way to Ephrath (that is, Bethlehem), 20and Jacob set up a pillar over her tomb. It is the pillar of Rachel's tomb, which is there to this day. 21Israel journeyed on and pitched his tent beyond the tower of Eder.
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-22While Israel lived in that land, Reuben went and lay with Bilhah his father's concubine. And Israel heard of it.
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-Now the sons of Jacob were twelve. 23The sons of Leah: Reuben (Jacob's firstborn), Simeon, Levi, Judah, Issachar, and Zebulun. 24The sons of Rachel: Joseph and Benjamin. 25The sons of Bilhah, Rachel's servant: Dan and Naphtali. 26The sons of Zilpah, Leah's servant: Gad and Asher. These were the sons of Jacob who were born to him in Paddan-aram.
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-27And Jacob came to his father Isaac at Mamre, or Kiriath-arba (that is, Hebron), where Abraham and Isaac had sojourned. 28Now the days of Isaac were 180 years. 29And Isaac breathed his last, and he died and was gathered to his people, old and full of days. And his sons Esau and Jacob buried him.
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-Esau's Descendants
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-36:1 These are the generations of Esau (that is, Edom). 2Esau took his wives from the Canaanites: Adah the daughter of Elon the Hittite, Oholibamah the daughter of Anah the daughter[171] of Zibeon the Hivite, 3and Basemath, Ishmael's daughter, the sister of Nebaioth. 4And Adah bore to Esau, Eliphaz; Basemath bore Reuel; 5and Oholibamah bore Jeush, Jalam, and Korah. These are the sons of Esau who were born to him in the land of Canaan.
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-6Then Esau took his wives, his sons, his daughters, and all the members of his household, his livestock, all his beasts, and all his property that he had acquired in the land of Canaan. He went into a land away from his brother Jacob. 7For their possessions were too great for them to dwell together. The land of their sojournings could not support them because of their livestock. 8So Esau settled in the hill country of Seir. (Esau is Edom.)
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-9These are the generations of Esau the father of the Edomites in the hill country of Seir. 10These are the names of Esau's sons: Eliphaz the son of Adah the wife of Esau, Reuel the son of Basemath the wife of Esau. 11The sons of Eliphaz were Teman, Omar, Zepho, Gatam, and Kenaz. 12(Timna was a concubine of Eliphaz, Esau's son; she bore Amalek to Eliphaz.) These are the sons of Adah, Esau's wife. 13These are the sons of Reuel: Nahath, Zerah, Shammah, and Mizzah. These are the sons of Basemath, Esau's wife. 14These are the sons of Oholibamah the daughter of Anah the daughter of Zibeon, Esau's wife: she bore to Esau Jeush, Jalam, and Korah.
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-15These are the chiefs of the sons of Esau. The sons of Eliphaz the firstborn of Esau: the chiefs Teman, Omar, Zepho, Kenaz, 16Korah, Gatam, and Amalek; these are the chiefs of Eliphaz in the land of Edom; these are the sons of Adah. 17These are the sons of Reuel, Esau's son: the chiefs Nahath, Zerah, Shammah, and Mizzah; these are the chiefs of Reuel in the land of Edom; these are the sons of Basemath, Esau's wife. 18These are the sons of Oholibamah, Esau's wife: the chiefs Jeush, Jalam, and Korah; these are the chiefs born of Oholibamah the daughter of Anah, Esau's wife. 19These are the sons of Esau (that is, Edom), and these are their chiefs.
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-20These are the sons of Seir the Horite, the inhabitants of the land: Lotan, Shobal, Zibeon, Anah, 21Dishon, Ezer, and Dishan; these are the chiefs of the Horites, the sons of Seir in the land of Edom. 22The sons of Lotan were Hori and Hemam; and Lotan's sister was Timna. 23These are the sons of Shobal: Alvan, Manahath, Ebal, Shepho, and Onam. 24These are the sons of Zibeon: Aiah and Anah; he is the Anah who found the hot springs in the wilderness, as he pastured the donkeys of Zibeon his father. 25These are the children of Anah: Dishon and Oholibamah the daughter of Anah. 26These are the sons of Dishon: Hemdan, Eshban, Ithran, and Cheran. 27These are the sons of Ezer: Bilhan, Zaavan, and Akan. 28These are the sons of Dishan: Uz and Aran. 29These are the chiefs of the Horites: the chiefs Lotan, Shobal, Zibeon, Anah, 30Dishon, Ezer, and Dishan; these are the chiefs of the Horites, chief by chief in the land of Seir.
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-31These are the kings who reigned in the land of Edom, before any king reigned over the Israelites. 32Bela the son of Beor reigned in Edom, the name of his city being Dinhabah. 33Bela died, and Jobab the son of Zerah of Bozrah reigned in his place. 34Jobab died, and Husham of the land of the Temanites reigned in his place. 35Husham died, and Hadad the son of Bedad, who defeated Midian in the country of Moab, reigned in his place, the name of his city being Avith. 36Hadad died, and Samlah of Masrekah reigned in his place. 37Samlah died, and Shaul of Rehoboth on the Euphrates[172] reigned in his place. 38Shaul died, and Baal-hanan the son of Achbor reigned in his place. 39Baal-hanan the son of Achbor died, and Hadar reigned in his place, the name of his city being Pau; his wife's name was Mehetabel, the daughter of Matred, daughter of Mezahab.
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-40These are the names of the chiefs of Esau, according to their clans and their dwelling places, by their names: the chiefs Timna, Alvah, Jetheth, 41Oholibamah, Elah, Pinon, 42Kenaz, Teman, Mibzar, 43Magdiel, and Iram; these are the chiefs of Edom (that is, Esau, the father of Edom), according to their dwelling places in the land of their possession.
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-Joseph's Dreams
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-37:1 Jacob lived in the land of his father's sojournings, in the land of Canaan.
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-2These are the generations of Jacob.
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-Joseph, being seventeen years old, was pasturing the flock with his brothers. He was a boy with the sons of Bilhah and Zilpah, his father's wives. And Joseph brought a bad report of them to their father. 3Now Israel loved Joseph more than any other of his sons, because he was the son of his old age. And he made him a robe of many colors.[173] 4But when his brothers saw that their father loved him more than all his brothers, they hated him and could not speak peacefully to him.
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-5Now Joseph had a dream, and when he told it to his brothers they hated him even more. 6He said to them, “Hear this dream that I have dreamed: 7Behold, we were binding sheaves in the field, and behold, my sheaf arose and stood upright. And behold, your sheaves gathered around it and bowed down to my sheaf.” 8His brothers said to him, “Are you indeed to reign over us? Or are you indeed to rule over us?” So they hated him even more for his dreams and for his words.
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-9Then he dreamed another dream and told it to his brothers and said, “Behold, I have dreamed another dream. Behold, the sun, the moon, and eleven stars were bowing down to me.” 10But when he told it to his father and to his brothers, his father rebuked him and said to him, “What is this dream that you have dreamed? Shall I and your mother and your brothers indeed come to bow ourselves to the ground before you?” 11And his brothers were jealous of him, but his father kept the saying in mind.
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-Joseph Sold by His Brothers
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-12Now his brothers went to pasture their father's flock near Shechem. 13And Israel said to Joseph, “Are not your brothers pasturing the flock at Shechem? Come, I will send you to them.” And he said to him, “Here I am.” 14So he said to him, “Go now, see if it is well with your brothers and with the flock, and bring me word.” So he sent him from the Valley of Hebron, and he came to Shechem. 15And a man found him wandering in the fields. And the man asked him, “What are you seeking?” 16“I am seeking my brothers,” he said. “Tell me, please, where they are pasturing the flock.” 17And the man said, “They have gone away, for I heard them say, ‘Let us go to Dothan.’” So Joseph went after his brothers and found them at Dothan.
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-18They saw him from afar, and before he came near to them they conspired against him to kill him. 19They said to one another, “Here comes this dreamer. 20Come now, let us kill him and throw him into one of the pits.[174] Then we will say that a fierce animal has devoured him, and we will see what will become of his dreams.” 21But when Reuben heard it, he rescued him out of their hands, saying, “Let us not take his life.” 22And Reuben said to them, “Shed no blood; throw him into this pit here in the wilderness, but do not lay a hand on him”—that he might rescue him out of their hand to restore him to his father. 23So when Joseph came to his brothers, they stripped him of his robe, the robe of many colors that he wore. 24And they took him and threw him into a pit. The pit was empty; there was no water in it.
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-25Then they sat down to eat. And looking up they saw a caravan of Ishmaelites coming from Gilead, with their camels bearing gum, balm, and myrrh, on their way to carry it down to Egypt. 26Then Judah said to his brothers, “What profit is it if we kill our brother and conceal his blood? 27Come, let us sell him to the Ishmaelites, and let not our hand be upon him, for he is our brother, our own flesh.” And his brothers listened to him. 28Then Midianite traders passed by. And they drew Joseph up and lifted him out of the pit, and sold him to the Ishmaelites for twenty shekels[175] of silver. They took Joseph to Egypt.
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-29When Reuben returned to the pit and saw that Joseph was not in the pit, he tore his clothes 30and returned to his brothers and said, “The boy is gone, and I, where shall I go?” 31Then they took Joseph's robe and slaughtered a goat and dipped the robe in the blood. 32And they sent the robe of many colors and brought it to their father and said, “This we have found; please identify whether it is your son's robe or not.” 33And he identified it and said, “It is my son's robe. A fierce animal has devoured him. Joseph is without doubt torn to pieces.” 34Then Jacob tore his garments and put sackcloth on his loins and mourned for his son many days. 35All his sons and all his daughters rose up to comfort him, but he refused to be comforted and said, “No, I shall go down to Sheol to my son, mourning.” Thus his father wept for him. 36Meanwhile the Midianites had sold him in Egypt to Potiphar, an officer of Pharaoh, the captain of the guard.
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-Judah and Tamar
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-38:1 It happened at that time that Judah went down from his brothers and turned aside to a certain Adullamite, whose name was Hirah. 2There Judah saw the daughter of a certain Canaanite whose name was Shua. He took her and went in to her, 3and she conceived and bore a son, and he called his name Er. 4She conceived again and bore a son, and she called his name Onan. 5Yet again she bore a son, and she called his name Shelah. Judah[176] was in Chezib when she bore him.
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-6And Judah took a wife for Er his firstborn, and her name was Tamar. 7But Er, Judah's firstborn, was wicked in the sight of the LORD, and the LORD put him to death. 8Then Judah said to Onan, “Go in to your brother's wife and perform the duty of a brother-in-law to her, and raise up offspring for your brother.” 9But Onan knew that the offspring would not be his. So whenever he went in to his brother's wife he would waste the semen on the ground, so as not to give offspring to his brother. 10And what he did was wicked in the sight of the LORD, and he put him to death also. 11Then Judah said to Tamar his daughter-in-law, “Remain a widow in your father's house, till Shelah my son grows up”—for he feared that he would die, like his brothers. So Tamar went and remained in her father's house.
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-12In the course of time the wife of Judah, Shua's daughter, died. When Judah was comforted, he went up to Timnah to his sheepshearers, he and his friend Hirah the Adullamite. 13And when Tamar was told, “Your father-in-law is going up to Timnah to shear his sheep,” 14she took off her widow's garments and covered herself with a veil, wrapping herself up, and sat at the entrance to Enaim, which is on the road to Timnah. For she saw that Shelah was grown up, and she had not been given to him in marriage. 15When Judah saw her, he thought she was a prostitute, for she had covered her face. 16He turned to her at the roadside and said, “Come, let me come in to you,” for he did not know that she was his daughter-in-law. She said, “What will you give me, that you may come in to me?” 17He answered, “I will send you a young goat from the flock.” And she said, “If you give me a pledge, until you send it—” 18He said, “What pledge shall I give you?” She replied, “Your signet and your cord and your staff that is in your hand.” So he gave them to her and went in to her, and she conceived by him. 19Then she arose and went away, and taking off her veil she put on the garments of her widowhood.
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-20When Judah sent the young goat by his friend the Adullamite to take back the pledge from the woman's hand, he did not find her. 21And he asked the men of the place, “Where is the cult prostitute[177] who was at Enaim at the roadside?” And they said, “No cult prostitute has been here.” 22So he returned to Judah and said, “I have not found her. Also, the men of the place said, ‘No cult prostitute has been here.’” 23And Judah replied, “Let her keep the things as her own, or we shall be laughed at. You see, I sent this young goat, and you did not find her.”
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-24About three months later Judah was told, “Tamar your daughter-in-law has been immoral.[178] Moreover, she is pregnant by immorality.”[179] And Judah said, “Bring her out, and let her be burned.” 25As she was being brought out, she sent word to her father-in-law, “By the man to whom these belong, I am pregnant.” And she said, “Please identify whose these are, the signet and the cord and the staff.” 26Then Judah identified them and said, “She is more righteous than I, since I did not give her to my son Shelah.” And he did not know her again.
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-27When the time of her labor came, there were twins in her womb. 28And when she was in labor, one put out a hand, and the midwife took and tied a scarlet thread on his hand, saying, “This one came out first.” 29But as he drew back his hand, behold, his brother came out. And she said, “What a breach you have made for yourself!” Therefore his name was called Perez.[180] 30Afterward his brother came out with the scarlet thread on his hand, and his name was called Zerah.
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-Joseph and Potiphar's Wife
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-39:1 Now Joseph had been brought down to Egypt, and Potiphar, an officer of Pharaoh, the captain of the guard, an Egyptian, had bought him from the Ishmaelites who had brought him down there. 2The LORD was with Joseph, and he became a successful man, and he was in the house of his Egyptian master. 3His master saw that the LORD was with him and that the LORD caused all that he did to succeed in his hands. 4So Joseph found favor in his sight and attended him, and he made him overseer of his house and put him in charge of all that he had. 5From the time that he made him overseer in his house and over all that he had the LORD blessed the Egyptian's house for Joseph's sake; the blessing of the LORD was on all that he had, in house and field. 6So he left all that he had in Joseph's charge, and because of him he had no concern about anything but the food he ate.
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-Now Joseph was handsome in form and appearance. 7And after a time his master's wife cast her eyes on Joseph and said, “Lie with me.” 8But he refused and said to his master's wife, “Behold, because of me my master has no concern about anything in the house, and he has put everything that he has in my charge. 9He is not greater in this house than I am, nor has he kept back anything from me except yourself, because you are his wife. How then can I do this great wickedness and sin against God?” 10And as she spoke to Joseph day after day, he would not listen to her, to lie beside her or to be with her.
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-11But one day, when he went into the house to do his work and none of the men of the house was there in the house, 12she caught him by his garment, saying, “Lie with me.” But he left his garment in her hand and fled and got out of the house. 13And as soon as she saw that he had left his garment in her hand and had fled out of the house, 14she called to the men of her household and said to them, “See, he has brought among us a Hebrew to laugh at us. He came in to me to lie with me, and I cried out with a loud voice. 15And as soon as he heard that I lifted up my voice and cried out, he left his garment beside me and fled and got out of the house.” 16Then she laid up his garment by her until his master came home, 17and she told him the same story, saying, “The Hebrew servant, whom you have brought among us, came in to me to laugh at me. 18But as soon as I lifted up my voice and cried, he left his garment beside me and fled out of the house.”
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-19As soon as his master heard the words that his wife spoke to him, “This is the way your servant treated me,” his anger was kindled. 20And Joseph's master took him and put him into the prison, the place where the king's prisoners were confined, and he was there in prison. 21But the LORD was with Joseph and showed him steadfast love and gave him favor in the sight of the keeper of the prison. 22And the keeper of the prison put Joseph in charge of all the prisoners who were in the prison. Whatever was done there, he was the one who did it. 23The keeper of the prison paid no attention to anything that was in Joseph's charge, because the LORD was with him. And whatever he did, the LORD made it succeed.
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-Joseph Interprets Two Prisoners' Dreams
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-40:1 Some time after this, the cupbearer of the king of Egypt and his baker committed an offense against their lord the king of Egypt. 2And Pharaoh was angry with his two officers, the chief cupbearer and the chief baker, 3and he put them in custody in the house of the captain of the guard, in the prison where Joseph was confined. 4The captain of the guard appointed Joseph to be with them, and he attended them. They continued for some time in custody.
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-5And one night they both dreamed—the cupbearer and the baker of the king of Egypt, who were confined in the prison—each his own dream, and each dream with its own interpretation. 6When Joseph came to them in the morning, he saw that they were troubled. 7So he asked Pharaoh's officers who were with him in custody in his master's house, “Why are your faces downcast today?” 8They said to him, “We have had dreams, and there is no one to interpret them.” And Joseph said to them, “Do not interpretations belong to God? Please tell them to me.”
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-9So the chief cupbearer told his dream to Joseph and said to him, “In my dream there was a vine before me, 10and on the vine there were three branches. As soon as it budded, its blossoms shot forth, and the clusters ripened into grapes. 11Pharaoh's cup was in my hand, and I took the grapes and pressed them into Pharaoh's cup and placed the cup in Pharaoh's hand.” 12Then Joseph said to him, “This is its interpretation: the three branches are three days. 13In three days Pharaoh will lift up your head and restore you to your office, and you shall place Pharaoh's cup in his hand as formerly, when you were his cupbearer. 14Only remember me, when it is well with you, and please do me the kindness to mention me to Pharaoh, and so get me out of this house. 15For I was indeed stolen out of the land of the Hebrews, and here also I have done nothing that they should put me into the pit.”
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-16When the chief baker saw that the interpretation was favorable, he said to Joseph, “I also had a dream: there were three cake baskets on my head, 17and in the uppermost basket there were all sorts of baked food for Pharaoh, but the birds were eating it out of the basket on my head.” 18And Joseph answered and said, “This is its interpretation: the three baskets are three days. 19In three days Pharaoh will lift up your head—from you!—and hang you on a tree. And the birds will eat the flesh from you.”
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-20On the third day, which was Pharaoh's birthday, he made a feast for all his servants and lifted up the head of the chief cupbearer and the head of the chief baker among his servants. 21He restored the chief cupbearer to his position, and he placed the cup in Pharaoh's hand. 22But he hanged the chief baker, as Joseph had interpreted to them. 23Yet the chief cupbearer did not remember Joseph, but forgot him.
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-Joseph Interprets Pharaoh's Dreams
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-41:1 After two whole years, Pharaoh dreamed that he was standing by the Nile, 2and behold, there came up out of the Nile seven cows attractive and plump, and they fed in the reed grass. 3And behold, seven other cows, ugly and thin, came up out of the Nile after them, and stood by the other cows on the bank of the Nile. 4And the ugly, thin cows ate up the seven attractive, plump cows. And Pharaoh awoke. 5And he fell asleep and dreamed a second time. And behold, seven ears of grain, plump and good, were growing on one stalk. 6And behold, after them sprouted seven ears, thin and blighted by the east wind. 7And the thin ears swallowed up the seven plump, full ears. And Pharaoh awoke, and behold, it was a dream. 8So in the morning his spirit was troubled, and he sent and called for all the magicians of Egypt and all its wise men. Pharaoh told them his dreams, but there was none who could interpret them to Pharaoh.
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-9Then the chief cupbearer said to Pharaoh, “I remember my offenses today. 10When Pharaoh was angry with his servants and put me and the chief baker in custody in the house of the captain of the guard, 11we dreamed on the same night, he and I, each having a dream with its own interpretation. 12A young Hebrew was there with us, a servant of the captain of the guard. When we told him, he interpreted our dreams to us, giving an interpretation to each man according to his dream. 13And as he interpreted to us, so it came about. I was restored to my office, and the baker was hanged.”
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-14Then Pharaoh sent and called Joseph, and they quickly brought him out of the pit. And when he had shaved himself and changed his clothes, he came in before Pharaoh. 15And Pharaoh said to Joseph, “I have had a dream, and there is no one who can interpret it. I have heard it said of you that when you hear a dream you can interpret it.” 16Joseph answered Pharaoh, “It is not in me; God will give Pharaoh a favorable answer.”[181] 17Then Pharaoh said to Joseph, “Behold, in my dream I was standing on the banks of the Nile. 18Seven cows, plump and attractive, came up out of the Nile and fed in the reed grass. 19Seven other cows came up after them, poor and very ugly and thin, such as I had never seen in all the land of Egypt. 20And the thin, ugly cows ate up the first seven plump cows, 21but when they had eaten them no one would have known that they had eaten them, for they were still as ugly as at the beginning. Then I awoke. 22I also saw in my dream seven ears growing on one stalk, full and good. 23Seven ears, withered, thin, and blighted by the east wind, sprouted after them, 24and the thin ears swallowed up the seven good ears. And I told it to the magicians, but there was no one who could explain it to me.”
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-25Then Joseph said to Pharaoh, “The dreams of Pharaoh are one; God has revealed to Pharaoh what he is about to do. 26The seven good cows are seven years, and the seven good ears are seven years; the dreams are one. 27The seven lean and ugly cows that came up after them are seven years, and the seven empty ears blighted by the east wind are also seven years of famine. 28It is as I told Pharaoh; God has shown to Pharaoh what he is about to do. 29There will come seven years of great plenty throughout all the land of Egypt, 30but after them there will arise seven years of famine, and all the plenty will be forgotten in the land of Egypt. The famine will consume the land, 31and the plenty will be unknown in the land by reason of the famine that will follow, for it will be very severe. 32And the doubling of Pharaoh's dream means that the thing is fixed by God, and God will shortly bring it about. 33Now therefore let Pharaoh select a discerning and wise man, and set him over the land of Egypt. 34Let Pharaoh proceed to appoint overseers over the land and take one-fifth of the produce of the land[182] of Egypt during the seven plentiful years. 35And let them gather all the food of these good years that are coming and store up grain under the authority of Pharaoh for food in the cities, and let them keep it. 36That food shall be a reserve for the land against the seven years of famine that are to occur in the land of Egypt, so that the land may not perish through the famine.”
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-Joseph Rises to Power
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-37This proposal pleased Pharaoh and all his servants. 38And Pharaoh said to his servants, “Can we find a man like this, in whom is the Spirit of God?”[183] 39Then Pharaoh said to Joseph, “Since God has shown you all this, there is none so discerning and wise as you are. 40You shall be over my house, and all my people shall order themselves as you command.[184] Only as regards the throne will I be greater than you.” 41And Pharaoh said to Joseph, “See, I have set you over all the land of Egypt.” 42Then Pharaoh took his signet ring from his hand and put it on Joseph's hand, and clothed him in garments of fine linen and put a gold chain about his neck. 43And he made him ride in his second chariot. And they called out before him, “Bow the knee!”[185] Thus he set him over all the land of Egypt. 44Moreover, Pharaoh said to Joseph, “I am Pharaoh, and without your consent no one shall lift up hand or foot in all the land of Egypt.” 45And Pharaoh called Joseph's name Zaphenath-paneah. And he gave him in marriage Asenath, the daughter of Potiphera priest of On. So Joseph went out over the land of Egypt.
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-46Joseph was thirty years old when he entered the service of Pharaoh king of Egypt. And Joseph went out from the presence of Pharaoh and went through all the land of Egypt. 47During the seven plentiful years the earth produced abundantly, 48and he gathered up all the food of these seven years, which occurred in the land of Egypt, and put the food in the cities. He put in every city the food from the fields around it. 49And Joseph stored up grain in great abundance, like the sand of the sea, until he ceased to measure it, for it could not be measured.
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-50Before the year of famine came, two sons were born to Joseph. Asenath, the daughter of Potiphera priest of On, bore them to him. 51Joseph called the name of the firstborn Manasseh. “For,” he said, “God has made me forget all my hardship and all my father's house.”[186] 52The name of the second he called Ephraim, “For God has made me fruitful in the land of my affliction.”[187]
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-53The seven years of plenty that occurred in the land of Egypt came to an end, 54and the seven years of famine began to come, as Joseph had said. There was famine in all lands, but in all the land of Egypt there was bread. 55When all the land of Egypt was famished, the people cried to Pharaoh for bread. Pharaoh said to all the Egyptians, “Go to Joseph. What he says to you, do.”
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-56So when the famine had spread over all the land, Joseph opened all the storehouses[188] and sold to the Egyptians, for the famine was severe in the land of Egypt. 57Moreover, all the earth came to Egypt to Joseph to buy grain, because the famine was severe over all the earth.
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-Joseph's Brothers Go to Egypt
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-42:1 When Jacob learned that there was grain for sale in Egypt, he said to his sons, “Why do you look at one another?” 2And he said, “Behold, I have heard that there is grain for sale in Egypt. Go down and buy grain for us there, that we may live and not die.” 3So ten of Joseph's brothers went down to buy grain in Egypt. 4But Jacob did not send Benjamin, Joseph's brother, with his brothers, for he feared that harm might happen to him. 5Thus the sons of Israel came to buy among the others who came, for the famine was in the land of Canaan.
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-6Now Joseph was governor over the land. He was the one who sold to all the people of the land. And Joseph's brothers came and bowed themselves before him with their faces to the ground. 7Joseph saw his brothers and recognized them, but he treated them like strangers and spoke roughly to them. “Where do you come from?” he said. They said, “From the land of Canaan, to buy food.” 8And Joseph recognized his brothers, but they did not recognize him. 9And Joseph remembered the dreams that he had dreamed of them. And he said to them, “You are spies; you have come to see the nakedness of the land.” 10They said to him, “No, my lord, your servants have come to buy food. 11We are all sons of one man. We are honest men. Your servants have never been spies.”
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-12He said to them, “No, it is the nakedness of the land that you have come to see.” 13And they said, “We, your servants, are twelve brothers, the sons of one man in the land of Canaan, and behold, the youngest is this day with our father, and one is no more.” 14But Joseph said to them, “It is as I said to you. You are spies. 15By this you shall be tested: by the life of Pharaoh, you shall not go from this place unless your youngest brother comes here. 16Send one of you, and let him bring your brother, while you remain confined, that your words may be tested, whether there is truth in you. Or else, by the life of Pharaoh, surely you are spies.” 17And he put them all together in custody for three days.
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-18On the third day Joseph said to them, “Do this and you will live, for I fear God: 19if you are honest men, let one of your brothers remain confined where you are in custody, and let the rest go and carry grain for the famine of your households, 20and bring your youngest brother to me. So your words will be verified, and you shall not die.” And they did so. 21Then they said to one another, “In truth we are guilty concerning our brother, in that we saw the distress of his soul, when he begged us and we did not listen. That is why this distress has come upon us.” 22And Reuben answered them, “Did I not tell you not to sin against the boy? But you did not listen. So now there comes a reckoning for his blood.” 23They did not know that Joseph understood them, for there was an interpreter between them. 24Then he turned away from them and wept. And he returned to them and spoke to them. And he took Simeon from them and bound him before their eyes. 25And Joseph gave orders to fill their bags with grain, and to replace every man's money in his sack, and to give them provisions for the journey. This was done for them.
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-26Then they loaded their donkeys with their grain and departed. 27And as one of them opened his sack to give his donkey fodder at the lodging place, he saw his money in the mouth of his sack. 28He said to his brothers, “My money has been put back; here it is in the mouth of my sack!” At this their hearts failed them, and they turned trembling to one another, saying, “What is this that God has done to us?”
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-29When they came to Jacob their father in the land of Canaan, they told him all that had happened to them, saying, 30“The man, the lord of the land, spoke roughly to us and took us to be spies of the land. 31But we said to him, ‘We are honest men; we have never been spies. 32We are twelve brothers, sons of our father. One is no more, and the youngest is this day with our father in the land of Canaan.’ 33Then the man, the lord of the land, said to us, ‘By this I shall know that you are honest men: leave one of your brothers with me, and take grain for the famine of your households, and go your way. 34Bring your youngest brother to me. Then I shall know that you are not spies but honest men, and I will deliver your brother to you, and you shall trade in the land.’”
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-35As they emptied their sacks, behold, every man's bundle of money was in his sack. And when they and their father saw their bundles of money, they were afraid. 36And Jacob their father said to them, “You have bereaved me of my children: Joseph is no more, and Simeon is no more, and now you would take Benjamin. All this has come against me.” 37Then Reuben said to his father, “Kill my two sons if I do not bring him back to you. Put him in my hands, and I will bring him back to you.” 38But he said, “My son shall not go down with you, for his brother is dead, and he is the only one left. If harm should happen to him on the journey that you are to make, you would bring down my gray hairs with sorrow to Sheol.”
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-Joseph's Brothers Return to Egypt
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-43:1 Now the famine was severe in the land. 2And when they had eaten the grain that they had brought from Egypt, their father said to them, “Go again, buy us a little food.” 3But Judah said to him, “The man solemnly warned us, saying, ‘You shall not see my face unless your brother is with you.’ 4If you will send our brother with us, we will go down and buy you food. 5But if you will not send him, we will not go down, for the man said to us, ‘You shall not see my face, unless your brother is with you.’” 6Israel said, “Why did you treat me so badly as to tell the man that you had another brother?” 7They replied, “The man questioned us carefully about ourselves and our kindred, saying, ‘Is your father still alive? Do you have another brother?’ What we told him was in answer to these questions. Could we in any way know that he would say, ‘Bring your brother down’?” 8And Judah said to Israel his father, “Send the boy with me, and we will arise and go, that we may live and not die, both we and you and also our little ones. 9I will be a pledge of his safety. From my hand you shall require him. If I do not bring him back to you and set him before you, then let me bear the blame forever. 10If we had not delayed, we would now have returned twice.”
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-11Then their father Israel said to them, “If it must be so, then do this: take some of the choice fruits of the land in your bags, and carry a present down to the man, a little balm and a little honey, gum, myrrh, pistachio nuts, and almonds. 12Take double the money with you. Carry back with you the money that was returned in the mouth of your sacks. Perhaps it was an oversight. 13Take also your brother, and arise, go again to the man. 14May God Almighty[189] grant you mercy before the man, and may he send back your other brother and Benjamin. And as for me, if I am bereaved of my children, I am bereaved.”
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-15So the men took this present, and they took double the money with them, and Benjamin. They arose and went down to Egypt and stood before Joseph.
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-16When Joseph saw Benjamin with them, he said to the steward of his house, “Bring the men into the house, and slaughter an animal and make ready, for the men are to dine with me at noon.” 17The man did as Joseph told him and brought the men to Joseph's house. 18And the men were afraid because they were brought to Joseph's house, and they said, “It is because of the money, which was replaced in our sacks the first time, that we are brought in, so that he may assault us and fall upon us to make us servants and seize our donkeys.” 19So they went up to the steward of Joseph's house and spoke with him at the door of the house, 20and said, “Oh, my lord, we came down the first time to buy food. 21And when we came to the lodging place we opened our sacks, and there was each man's money in the mouth of his sack, our money in full weight. So we have brought it again with us, 22and we have brought other money down with us to buy food. We do not know who put our money in our sacks.” 23He replied, “Peace to you, do not be afraid. Your God and the God of your father has put treasure in your sacks for you. I received your money.” Then he brought Simeon out to them. 24And when the man had brought the men into Joseph's house and given them water, and they had washed their feet, and when he had given their donkeys fodder, 25they prepared the present for Joseph's coming at noon, for they heard that they should eat bread there.
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-26When Joseph came home, they brought into the house to him the present that they had with them and bowed down to him to the ground. 27And he inquired about their welfare and said, “Is your father well, the old man of whom you spoke? Is he still alive?” 28They said, “Your servant our father is well; he is still alive.” And they bowed their heads and prostrated themselves. 29And he lifted up his eyes and saw his brother Benjamin, his mother's son, and said, “Is this your youngest brother, of whom you spoke to me? God be gracious to you, my son!” 30Then Joseph hurried out, for his compassion grew warm for his brother, and he sought a place to weep. And he entered his chamber and wept there. 31Then he washed his face and came out. And controlling himself he said, “Serve the food.” 32They served him by himself, and them by themselves, and the Egyptians who ate with him by themselves, because the Egyptians could not eat with the Hebrews, for that is an abomination to the Egyptians. 33And they sat before him, the firstborn according to his birthright and the youngest according to his youth. And the men looked at one another in amazement. 34Portions were taken to them from Joseph's table, but Benjamin's portion was five times as much as any of theirs. And they drank and were merry[190] with him.
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-Joseph Tests His Brothers
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-44:1 Then he commanded the steward of his house, “Fill the men's sacks with food, as much as they can carry, and put each man's money in the mouth of his sack, 2and put my cup, the silver cup, in the mouth of the sack of the youngest, with his money for the grain.” And he did as Joseph told him.
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-3As soon as the morning was light, the men were sent away with their donkeys. 4They had gone only a short distance from the city. Now Joseph said to his steward, “Up, follow after the men, and when you overtake them, say to them, ‘Why have you repaid evil for good?[191] 5Is it not from this that my lord drinks, and by this that he practices divination? You have done evil in doing this.’”
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-6When he overtook them, he spoke to them these words. 7They said to him, “Why does my lord speak such words as these? Far be it from your servants to do such a thing! 8Behold, the money that we found in the mouths of our sacks we brought back to you from the land of Canaan. How then could we steal silver or gold from your lord's house? 9Whichever of your servants is found with it shall die, and we also will be my lord's servants.” 10He said, “Let it be as you say: he who is found with it shall be my servant, and the rest of you shall be innocent.” 11Then each man quickly lowered his sack to the ground, and each man opened his sack. 12And he searched, beginning with the eldest and ending with the youngest. And the cup was found in Benjamin's sack. 13Then they tore their clothes, and every man loaded his donkey, and they returned to the city.
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-14When Judah and his brothers came to Joseph's house, he was still there. They fell before him to the ground. 15Joseph said to them, “What deed is this that you have done? Do you not know that a man like me can indeed practice divination?” 16And Judah said, “What shall we say to my lord? What shall we speak? Or how can we clear ourselves? God has found out the guilt of your servants; behold, we are my lord's servants, both we and he also in whose hand the cup has been found.” 17But he said, “Far be it from me that I should do so! Only the man in whose hand the cup was found shall be my servant. But as for you, go up in peace to your father.”
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-18Then Judah went up to him and said, “Oh, my lord, please let your servant speak a word in my lord's ears, and let not your anger burn against your servant, for you are like Pharaoh himself. 19My lord asked his servants, saying, ‘Have you a father, or a brother?’ 20And we said to my lord, ‘We have a father, an old man, and a young brother, the child of his old age. His brother is dead, and he alone is left of his mother's children, and his father loves him.’ 21Then you said to your servants, ‘Bring him down to me, that I may set my eyes on him.’ 22We said to my lord, ‘The boy cannot leave his father, for if he should leave his father, his father would die.’ 23Then you said to your servants, ‘Unless your youngest brother comes down with you, you shall not see my face again.’
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-24“When we went back to your servant my father, we told him the words of my lord. 25And when our father said, ‘Go again, buy us a little food,’ 26we said, ‘We cannot go down. If our youngest brother goes with us, then we will go down. For we cannot see the man's face unless our youngest brother is with us.’ 27Then your servant my father said to us, ‘You know that my wife bore me two sons. 28One left me, and I said, Surely he has been torn to pieces, and I have never seen him since. 29If you take this one also from me, and harm happens to him, you will bring down my gray hairs in evil to Sheol.’
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-30“Now therefore, as soon as I come to your servant my father, and the boy is not with us, then, as his life is bound up in the boy's life, 31as soon as he sees that the boy is not with us, he will die, and your servants will bring down the gray hairs of your servant our father with sorrow to Sheol. 32For your servant became a pledge of safety for the boy to my father, saying, ‘If I do not bring him back to you, then I shall bear the blame before my father all my life.’ 33Now therefore, please let your servant remain instead of the boy as a servant to my lord, and let the boy go back with his brothers. 34For how can I go back to my father if the boy is not with me? I fear to see the evil that would find my father.”
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-Joseph Provides for His Brothers and Family
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-45:1 Then Joseph could not control himself before all those who stood by him. He cried, “Make everyone go out from me.” So no one stayed with him when Joseph made himself known to his brothers. 2And he wept aloud, so that the Egyptians heard it, and the household of Pharaoh heard it. 3And Joseph said to his brothers, “I am Joseph! Is my father still alive?” But his brothers could not answer him, for they were dismayed at his presence.
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-4So Joseph said to his brothers, “Come near to me, please.” And they came near. And he said, “I am your brother, Joseph, whom you sold into Egypt. 5And now do not be distressed or angry with yourselves because you sold me here, for God sent me before you to preserve life. 6For the famine has been in the land these two years, and there are yet five years in which there will be neither plowing nor harvest. 7And God sent me before you to preserve for you a remnant on earth, and to keep alive for you many survivors. 8So it was not you who sent me here, but God. He has made me a father to Pharaoh, and lord of all his house and ruler over all the land of Egypt. 9Hurry and go up to my father and say to him, ‘Thus says your son Joseph, God has made me lord of all Egypt. Come down to me; do not tarry. 10You shall dwell in the land of Goshen, and you shall be near me, you and your children and your children's children, and your flocks, your herds, and all that you have. 11There I will provide for you, for there are yet five years of famine to come, so that you and your household, and all that you have, do not come to poverty.’ 12And now your eyes see, and the eyes of my brother Benjamin see, that it is my mouth that speaks to you. 13You must tell my father of all my honor in Egypt, and of all that you have seen. Hurry and bring my father down here.” 14Then he fell upon his brother Benjamin's neck and wept, and Benjamin wept upon his neck. 15And he kissed all his brothers and wept upon them. After that his brothers talked with him.
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-16When the report was heard in Pharaoh's house, “Joseph's brothers have come,” it pleased Pharaoh and his servants. 17And Pharaoh said to Joseph, “Say to your brothers, ‘Do this: load your beasts and go back to the land of Canaan, 18and take your father and your households, and come to me, and I will give you the best of the land of Egypt, and you shall eat the fat of the land.’ 19And you, Joseph, are commanded to say, ‘Do this: take wagons from the land of Egypt for your little ones and for your wives, and bring your father, and come. 20Have no concern for[192] your goods, for the best of all the land of Egypt is yours.’”
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-21The sons of Israel did so: and Joseph gave them wagons, according to the command of Pharaoh, and gave them provisions for the journey. 22To each and all of them he gave a change of clothes, but to Benjamin he gave three hundred shekels[193] of silver and five changes of clothes. 23To his father he sent as follows: ten donkeys loaded with the good things of Egypt, and ten female donkeys loaded with grain, bread, and provision for his father on the journey. 24Then he sent his brothers away, and as they departed, he said to them, “Do not quarrel on the way.”
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-25So they went up out of Egypt and came to the land of Canaan to their father Jacob. 26And they told him, “Joseph is still alive, and he is ruler over all the land of Egypt.” And his heart became numb, for he did not believe them. 27But when they told him all the words of Joseph, which he had said to them, and when he saw the wagons that Joseph had sent to carry him, the spirit of their father Jacob revived. 28And Israel said, “It is enough; Joseph my son is still alive. I will go and see him before I die.”
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-Joseph Brings His Family to Egypt
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-46:1 So Israel took his journey with all that he had and came to Beersheba, and offered sacrifices to the God of his father Isaac. 2And God spoke to Israel in visions of the night and said, “Jacob, Jacob.” And he said, “Here am I.” 3Then he said, “I am God, the God of your father. Do not be afraid to go down to Egypt, for there I will make you into a great nation. 4I myself will go down with you to Egypt, and I will also bring you up again, and Joseph's hand shall close your eyes.”
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-5Then Jacob set out from Beersheba. The sons of Israel carried Jacob their father, their little ones, and their wives, in the wagons that Pharaoh had sent to carry him. 6They also took their livestock and their goods, which they had gained in the land of Canaan, and came into Egypt, Jacob and all his offspring with him, 7his sons, and his sons' sons with him, his daughters, and his sons' daughters. All his offspring he brought with him into Egypt.
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-8Now these are the names of the descendants of Israel, who came into Egypt, Jacob and his sons. Reuben, Jacob's firstborn, 9and the sons of Reuben: Hanoch, Pallu, Hezron, and Carmi. 10The sons of Simeon: Jemuel, Jamin, Ohad, Jachin, Zohar, and Shaul, the son of a Canaanite woman. 11The sons of Levi: Gershon, Kohath, and Merari. 12The sons of Judah: Er, Onan, Shelah, Perez, and Zerah (but Er and Onan died in the land of Canaan); and the sons of Perez were Hezron and Hamul. 13The sons of Issachar: Tola, Puvah, Yob, and Shimron. 14The sons of Zebulun: Sered, Elon, and Jahleel. 15These are the sons of Leah, whom she bore to Jacob in Paddan-aram, together with his daughter Dinah; altogether his sons and his daughters numbered thirty-three.
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-16The sons of Gad: Ziphion, Haggi, Shuni, Ezbon, Eri, Arodi, and Areli. 17The sons of Asher: Imnah, Ishvah, Ishvi, Beriah, with Serah their sister. And the sons of Beriah: Heber and Malchiel. 18These are the sons of Zilpah, whom Laban gave to Leah his daughter; and these she bore to Jacob—sixteen persons.
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-19The sons of Rachel, Jacob's wife: Joseph and Benjamin. 20And to Joseph in the land of Egypt were born Manasseh and Ephraim, whom Asenath, the daughter of Potiphera the priest of On, bore to him. 21And the sons of Benjamin: Bela, Becher, Ashbel, Gera, Naaman, Ehi, Rosh, Muppim, Huppim, and Ard. 22These are the sons of Rachel, who were born to Jacob—fourteen persons in all.
-
-23The sons of Dan: Hushim. 24The sons of Naphtali: Jahzeel, Guni, Jezer, and Shillem. 25These are the sons of Bilhah, whom Laban gave to Rachel his daughter, and these she bore to Jacob—seven persons in all.
-
-26All the persons belonging to Jacob who came into Egypt, who were his own descendants, not including Jacob's sons' wives, were sixty-six persons in all. 27And the sons of Joseph, who were born to him in Egypt, were two. All the persons of the house of Jacob who came into Egypt were seventy.
-
-
-
-
-
-Jacob and Joseph Reunited
-
-
-28He had sent Judah ahead of him to Joseph to show the way before him in Goshen, and they came into the land of Goshen. 29Then Joseph prepared his chariot and went up to meet Israel his father in Goshen. He presented himself to him and fell on his neck and wept on his neck a good while. 30Israel said to Joseph, “Now let me die, since I have seen your face and know that you are still alive.” 31Joseph said to his brothers and to his father's household, “I will go up and tell Pharaoh and will say to him, ‘My brothers and my father's household, who were in the land of Canaan, have come to me. 32And the men are shepherds, for they have been keepers of livestock, and they have brought their flocks and their herds and all that they have.’ 33When Pharaoh calls you and says, ‘What is your occupation?’ 34you shall say, ‘Your servants have been keepers of livestock from our youth even until now, both we and our fathers,’ in order that you may dwell in the land of Goshen, for every shepherd is an abomination to the Egyptians.”
-
-
-
-
-
-Jacob's Family Settles in Goshen
-
-
-47:1 So Joseph went in and told Pharaoh, “My father and my brothers, with their flocks and herds and all that they possess, have come from the land of Canaan. They are now in the land of Goshen.” 2And from among his brothers he took five men and presented them to Pharaoh. 3Pharaoh said to his brothers, “What is your occupation?” And they said to Pharaoh, “Your servants are shepherds, as our fathers were.” 4They said to Pharaoh, “We have come to sojourn in the land, for there is no pasture for your servants' flocks, for the famine is severe in the land of Canaan. And now, please let your servants dwell in the land of Goshen.” 5Then Pharaoh said to Joseph, “Your father and your brothers have come to you. 6The land of Egypt is before you. Settle your father and your brothers in the best of the land. Let them settle in the land of Goshen, and if you know any able men among them, put them in charge of my livestock.”
-
-7Then Joseph brought in Jacob his father and stood him before Pharaoh, and Jacob blessed Pharaoh. 8And Pharaoh said to Jacob, “How many are the days of the years of your life?” 9And Jacob said to Pharaoh, “The days of the years of my sojourning are 130 years. Few and evil have been the days of the years of my life, and they have not attained to the days of the years of the life of my fathers in the days of their sojourning.” 10And Jacob blessed Pharaoh and went out from the presence of Pharaoh. 11Then Joseph settled his father and his brothers and gave them a possession in the land of Egypt, in the best of the land, in the land of Rameses, as Pharaoh had commanded. 12And Joseph provided his father, his brothers, and all his father's household with food, according to the number of their dependents.
-
-
-
-
-
-Joseph and the Famine
-
-
-13Now there was no food in all the land, for the famine was very severe, so that the land of Egypt and the land of Canaan languished by reason of the famine. 14And Joseph gathered up all the money that was found in the land of Egypt and in the land of Canaan, in exchange for the grain that they bought. And Joseph brought the money into Pharaoh's house. 15And when the money was all spent in the land of Egypt and in the land of Canaan, all the Egyptians came to Joseph and said, “Give us food. Why should we die before your eyes? For our money is gone.” 16And Joseph answered, “Give your livestock, and I will give you food in exchange for your livestock, if your money is gone.” 17So they brought their livestock to Joseph, and Joseph gave them food in exchange for the horses, the flocks, the herds, and the donkeys. He supplied them with food in exchange for all their livestock that year. 18And when that year was ended, they came to him the following year and said to him, “We will not hide from my lord that our money is all spent. The herds of livestock are my lord's. There is nothing left in the sight of my lord but our bodies and our land. 19Why should we die before your eyes, both we and our land? Buy us and our land for food, and we with our land will be servants to Pharaoh. And give us seed that we may live and not die, and that the land may not be desolate.”
-
-20So Joseph bought all the land of Egypt for Pharaoh, for all the Egyptians sold their fields, because the famine was severe on them. The land became Pharaoh's. 21As for the people, he made servants of them[194] from one end of Egypt to the other. 22Only the land of the priests he did not buy, for the priests had a fixed allowance from Pharaoh and lived on the allowance that Pharaoh gave them; therefore they did not sell their land.
-
-23Then Joseph said to the people, “Behold, I have this day bought you and your land for Pharaoh. Now here is seed for you, and you shall sow the land. 24And at the harvests you shall give a fifth to Pharaoh, and four fifths shall be your own, as seed for the field and as food for yourselves and your households, and as food for your little ones.” 25And they said, “You have saved our lives; may it please my lord, we will be servants to Pharaoh.” 26So Joseph made it a statute concerning the land of Egypt, and it stands to this day, that Pharaoh should have the fifth; the land of the priests alone did not become Pharaoh's.
-
-27Thus Israel settled in the land of Egypt, in the land of Goshen. And they gained possessions in it, and were fruitful and multiplied greatly. 28And Jacob lived in the land of Egypt seventeen years. So the days of Jacob, the years of his life, were 147 years.
-
-29And when the time drew near that Israel must die, he called his son Joseph and said to him, “If now I have found favor in your sight, put your hand under my thigh and promise to deal kindly and truly with me. Do not bury me in Egypt, 30but let me lie with my fathers. Carry me out of Egypt and bury me in their burying place.” He answered, “I will do as you have said.” 31And he said, “Swear to me”; and he swore to him. Then Israel bowed himself upon the head of his bed.[195]
-
-
-
-
-
-Jacob Blesses Ephraim and Manasseh
-
-
-48:1 After this, Joseph was told, “Behold, your father is ill.” So he took with him his two sons, Manasseh and Ephraim. 2And it was told to Jacob, “Your son Joseph has come to you.” Then Israel summoned his strength and sat up in bed. 3And Jacob said to Joseph, “God Almighty[196] appeared to me at Luz in the land of Canaan and blessed me, 4and said to me, ‘Behold, I will make you fruitful and multiply you, and I will make of you a company of peoples and will give this land to your offspring after you for an everlasting possession.’ 5And now your two sons, who were born to you in the land of Egypt before I came to you in Egypt, are mine; Ephraim and Manasseh shall be mine, as Reuben and Simeon are. 6And the children that you fathered after them shall be yours. They shall be called by the name of their brothers in their inheritance. 7As for me, when I came from Paddan, to my sorrow Rachel died in the land of Canaan on the way, when there was still some distance[197] to go to Ephrath, and I buried her there on the way to Ephrath (that is, Bethlehem).”
-
-8When Israel saw Joseph's sons, he said, “Who are these?” 9Joseph said to his father, “They are my sons, whom God has given me here.” And he said, “Bring them to me, please, that I may bless them.” 10Now the eyes of Israel were dim with age, so that he could not see. So Joseph brought them near him, and he kissed them and embraced them. 11And Israel said to Joseph, “I never expected to see your face; and behold, God has let me see your offspring also.” 12Then Joseph removed them from his knees, and he bowed himself with his face to the earth. 13And Joseph took them both, Ephraim in his right hand toward Israel's left hand, and Manasseh in his left hand toward Israel's right hand, and brought them near him. 14And Israel stretched out his right hand and laid it on the head of Ephraim, who was the younger, and his left hand on the head of Manasseh, crossing his hands (for Manasseh was the firstborn). 15And he blessed Joseph and said,
-
-“The God before whom my fathers Abraham and Isaac walked,
-
-the God who has been my shepherd all my life long to this day,
-
-16the angel who has redeemed me from all evil, bless the boys;
-
-and in them let my name be carried on, and the name of my fathers Abraham and Isaac;
-
-and let them grow into a multitude[198] in the midst of the earth.”
-
-17When Joseph saw that his father laid his right hand on the head of Ephraim, it displeased him, and he took his father's hand to move it from Ephraim's head to Manasseh's head. 18And Joseph said to his father, “Not this way, my father; since this one is the firstborn, put your right hand on his head.” 19But his father refused and said, “I know, my son, I know. He also shall become a people, and he also shall be great. Nevertheless, his younger brother shall be greater than he, and his offspring shall become a multitude[199] of nations.” 20So he blessed them that day, saying,
-
-“By you Israel will pronounce blessings, saying,
-
-‘God make you as Ephraim and as Manasseh.’”
-
-Thus he put Ephraim before Manasseh. 21Then Israel said to Joseph, “Behold, I am about to die, but God will be with you and will bring you again to the land of your fathers. 22Moreover, I have given to you rather than to your brothers one mountain slope[200] that I took from the hand of the Amorites with my sword and with my bow.”
-
-
-
-
-
-Jacob Blesses His Sons
-
-
-49:1 Then Jacob called his sons and said, “Gather yourselves together, that I may tell you what shall happen to you in days to come.
-
-2“Assemble and listen, O sons of Jacob,
-
-listen to Israel your father.
-
-3“Reuben, you are my firstborn,
-
-my might, and the firstfruits of my strength,
-
-preeminent in dignity and preeminent in power.
-
-4Unstable as water, you shall not have preeminence,
-
-because you went up to your father's bed;
-
-then you defiled it—he went up to my couch!
-
-5“Simeon and Levi are brothers;
-
-weapons of violence are their swords.
-
-6Let my soul come not into their council;
-
-O my glory, be not joined to their company.
-
-For in their anger they killed men,
-
-and in their willfulness they hamstrung oxen.
-
-7Cursed be their anger, for it is fierce,
-
-and their wrath, for it is cruel!
-
-I will divide them in Jacob
-
-and scatter them in Israel.
-
-8“Judah, your brothers shall praise you;
-
-your hand shall be on the neck of your enemies;
-
-your father's sons shall bow down before you.
-
-9Judah is a lion's cub;
-
-from the prey, my son, you have gone up.
-
-He stooped down; he crouched as a lion
-
-and as a lioness; who dares rouse him?
-
-10The scepter shall not depart from Judah,
-
-nor the ruler's staff from between his feet,
-
-until tribute comes to him;[201]
-
-and to him shall be the obedience of the peoples.
-
-11Binding his foal to the vine
-
-and his donkey's colt to the choice vine,
-
-he has washed his garments in wine
-
-and his vesture in the blood of grapes.
-
-12His eyes are darker than wine,
-
-and his teeth whiter than milk.
-
-13“Zebulun shall dwell at the shore of the sea;
-
-he shall become a haven for ships,
-
-and his border shall be at Sidon.
-
-14“Issachar is a strong donkey,
-
-crouching between the sheepfolds.[202]
-
-15He saw that a resting place was good,
-
-and that the land was pleasant,
-
-so he bowed his shoulder to bear,
-
-and became a servant at forced labor.
-
-16“Dan shall judge his people
-
-as one of the tribes of Israel.
-
-17Dan shall be a serpent in the way,
-
-a viper by the path,
-
-that bites the horse's heels
-
-so that his rider falls backward.
-
-18I wait for your salvation, O LORD.
-
-19“Raiders shall raid Gad,[203]
-
-but he shall raid at their heels.
-
-20“Asher's food shall be rich,
-
-and he shall yield royal delicacies.
-
-21“Naphtali is a doe let loose
-
-that bears beautiful fawns.[204]
-
-22“Joseph is a fruitful bough,
-
-a fruitful bough by a spring;
-
-his branches run over the wall.[205]
-
-23The archers bitterly attacked him,
-
-shot at him, and harassed him severely,
-
-24yet his bow remained unmoved;
-
-his arms[206] were made agile
-
-by the hands of the Mighty One of Jacob
-
-(from there is the Shepherd,[207] the Stone of Israel),
-
-25by the God of your father who will help you,
-
-by the Almighty[208] who will bless you
-
-with blessings of heaven above,
-
-blessings of the deep that crouches beneath,
-
-blessings of the breasts and of the womb.
-
-26The blessings of your father
-
-are mighty beyond the blessings of my parents,
-
-up to the bounties of the everlasting hills.[209]
-
-May they be on the head of Joseph,
-
-and on the brow of him who was set apart from his brothers.
-
-27“Benjamin is a ravenous wolf,
-
-in the morning devouring the prey
-
-and at evening dividing the spoil.”
-
-
-
-
-
-Jacob's Death and Burial
-
-
-28All these are the twelve tribes of Israel. This is what their father said to them as he blessed them, blessing each with the blessing suitable to him. 29Then he commanded them and said to them, “I am to be gathered to my people; bury me with my fathers in the cave that is in the field of Ephron the Hittite, 30in the cave that is in the field at Machpelah, to the east of Mamre, in the land of Canaan, which Abraham bought with the field from Ephron the Hittite to possess as a burying place. 31There they buried Abraham and Sarah his wife. There they buried Isaac and Rebekah his wife, and there I buried Leah— 32the field and the cave that is in it were bought from the Hittites.” 33When Jacob finished commanding his sons, he drew up his feet into the bed and breathed his last and was gathered to his people.
-
-
-
-
-
-50:1 Then Joseph fell on his father's face and wept over him and kissed him. 2And Joseph commanded his servants the physicians to embalm his father. So the physicians embalmed Israel. 3Forty days were required for it, for that is how many are required for embalming. And the Egyptians wept for him seventy days.
-
-4And when the days of weeping for him were past, Joseph spoke to the household of Pharaoh, saying, “If now I have found favor in your eyes, please speak in the ears of Pharaoh, saying, 5My father made me swear, saying, ‘I am about to die: in my tomb that I hewed out for myself in the land of Canaan, there shall you bury me.’ Now therefore, let me please go up and bury my father. Then I will return.” 6And Pharaoh answered, “Go up, and bury your father, as he made you swear.” 7So Joseph went up to bury his father. With him went up all the servants of Pharaoh, the elders of his household, and all the elders of the land of Egypt, 8as well as all the household of Joseph, his brothers, and his father's household. Only their children, their flocks, and their herds were left in the land of Goshen. 9And there went up with him both chariots and horsemen. It was a very great company. 10When they came to the threshing floor of Atad, which is beyond the Jordan, they lamented there with a very great and grievous lamentation, and he made a mourning for his father seven days. 11When the inhabitants of the land, the Canaanites, saw the mourning on the threshing floor of Atad, they said, “This is a grievous mourning by the Egyptians.” Therefore the place was named Abel-mizraim;[210] it is beyond the Jordan. 12Thus his sons did for him as he had commanded them, 13for his sons carried him to the land of Canaan and buried him in the cave of the field at Machpelah, to the east of Mamre, which Abraham bought with the field from Ephron the Hittite to possess as a burying place. 14After he had buried his father, Joseph returned to Egypt with his brothers and all who had gone up with him to bury his father.
-
-
-
-
-
-God's Good Purposes
-
-
-15When Joseph's brothers saw that their father was dead, they said, “It may be that Joseph will hate us and pay us back for all the evil that we did to him.” 16So they sent a message to Joseph, saying, “Your father gave this command before he died, 17‘Say to Joseph, Please forgive the transgression of your brothers and their sin, because they did evil to you.’ And now, please forgive the transgression of the servants of the God of your father.” Joseph wept when they spoke to him. 18His brothers also came and fell down before him and said, “Behold, we are your servants.” 19But Joseph said to them, “Do not fear, for am I in the place of God? 20As for you, you meant evil against me, but God meant it for good, to bring it about that many people[211] should be kept alive, as they are today. 21So do not fear; I will provide for you and your little ones.” Thus he comforted them and spoke kindly to them.
-
-
-
-
-
-The Death of Joseph
-
-
-22So Joseph remained in Egypt, he and his father's house. Joseph lived 110 years. 23And Joseph saw Ephraim's children of the third generation. The children also of Machir the son of Manasseh were counted as Joseph's own.[212] 24And Joseph said to his brothers, “I am about to die, but God will visit you and bring you up out of this land to the land that he swore to Abraham, to Isaac, and to Jacob.” 25Then Joseph made the sons of Israel swear, saying, “God will surely visit you, and you shall carry up my bones from here.” 26So Joseph died, being 110 years old. They embalmed him, and he was put in a coffin in Egypt.
-
-
-
-
-
-Footnotes
-
-
-[1] 1:6 Or a canopy; also verses 7, 8, 14, 15, 17, 20
-
-[2] 1:7 Or fashioned; also verse 16
-
-[3] 1:8 Or Sky; also verses 9, 14, 15, 17, 20, 26, 28, 30; 2:1
-
-[4] 1:10 Or Land; also verses 11, 12, 22, 24, 25, 26, 28, 30; 2:1
-
-[5] 1:11 Or small plants; also verses 12, 29
-
-[6] 1:14 Or appointed times
-
-[7] 1:20 Or flying things; see Leviticus 11:19-20
-
-[8] 1:26 The Hebrew word for man (adam) is the generic term for mankind and becomes the proper name Adam
-
-[9] 2:5 Or open country
-
-[10] 2:5 Or earth; also verse 6
-
-[11] 2:6 Or spring
-
-[12] 2:17 Or when you eat
-
-[13] 2:18 Or corresponding to; also verse 20
-
-[14] 2:19 Or And out of the ground the LORD God formed
-
-[15] 2:20 Or the man
-
-[16] 2:22 Hebrew built
-
-[17] 2:23 The Hebrew words for woman (ishshah) and man (ish) sound alike
-
-[18] 3:1 In Hebrew you is plural in verses 1-5
-
-[19] 3:6 Or to give insight
-
-[20] 3:8 Hebrew wind
-
-[21] 3:9 In Hebrew you is singular in verses 9 and 11
-
-[22] 3:15 Hebrew seed; so throughout Genesis
-
-[23] 3:16 Or against
-
-[24] 3:20 Eve sounds like the Hebrew for life-giver and resembles the word for living
-
-[25] 4:1 Cain sounds like the Hebrew for gotten
-
-[26] 4:7 Hebrew will there not be a lifting up [of your face]?
-
-[27] 4:7 Or against
-
-[28] 4:8 Hebrew; Samaritan, Septuagint, Syriac, Vulgate add Let us go out to the field
-
-[29] 4:13 Or My guilt is too great to bear
-
-[30] 4:16 Nod means wandering
-
-[31] 4:25 Seth sounds like the Hebrew for he appointed
-
-[32] 5:2 Hebrew adam
-
-[33] 5:22 Septuagint pleased God
-
-[34] 5:24 Septuagint was not found
-
-[35] 5:29 Noah sounds like the Hebrew for rest
-
-[36] 6:3 Or My Spirit shall not contend with
-
-[37] 6:4 Or giants
-
-[38] 6:13 Hebrew The end of all flesh has come before me
-
-[39] 6:14 An unknown kind of tree; transliterated from Hebrew
-
-[40] 6:15 A cubit was about 18 inches or 45 centimeters
-
-[41] 6:16 Or skylight
-
-[42] 7:2 Or seven of each kind of clean animal
-
-[43] 7:3 Or seven of each kind
-
-[44] 7:4 Hebrew all existence; also verse 23
-
-[45] 7:20 A cubit was about 18 inches or 45 centimeters
-
-[46] 8:21 Or dishonor
-
-[47] 9:7 In Hebrew you is plural
-
-[48] 9:19 Or from these the whole earth was populated
-
-[49] 9:20 Or Noah, a man of the soil, was the first to plant a vineyard
-
-[50] 9:27 Japheth sounds like the Hebrew for enlarge
-
-[51] 10:8 Or he began to be a mighty man on the earth
-
-[52] 10:14 Or from where
-
-[53] 10:25 Peleg means division
-
-[54] 11:9 Babel sounds like the Hebrew for confused
-
-[55] 12:1 Or had said
-
-[56] 12:3 Or by you all the families of the earth shall bless themselves
-
-[57] 12:6 Or terebinth
-
-[58] 13:8 Hebrew we are men, brothers
-
-[59] 13:18 Or terebinths
-
-[60] 14:13 Or terebinths
-
-[61] 14:19 Or Creator; also verse 22
-
-[62] 14:22 Or I have taken a solemn oath
-
-[63] 15:2 Or I shall die
-
-[64] 15:4 Hebrew what will come out of your own loins
-
-[65] 15:18 Or have given
-
-[66] 16:2 Hebrew be built up, which sounds like the Hebrew for children
-
-[67] 16:4 Hebrew her mistress was dishonorable in her eyes; similarly in verse 5
-
-[68] 16:11 Ishmael means God hears
-
-[69] 16:13 Or You are a God who sees me
-
-[70] 16:13 Hebrew Have I really seen him here who sees me? or Would I have looked here for the one who sees me?
-
-[71] 16:14 Beer-lahai-roi means the well of the Living One who sees me
-
-[72] 17:1 Hebrew El Shaddai
-
-[73] 17:5 Abram means exalted father
-
-[74] 17:5 Abraham means father of a multitude
-
-[75] 17:15 Sarai and Sarah mean princess
-
-[76] 17:16 Hebrew have given
-
-[77] 17:19 Isaac means he laughs
-
-[78] 18:1 Or terebinths
-
-[79] 18:3 Or My lord
-
-[80] 18:6 A seah was about 7 quarts or 7.3 liters
-
-[81] 18:14 Or wonderful
-
-[82] 18:15 Or acted falsely
-
-[83] 18:19 Hebrew known
-
-[84] 18:21 Or they deserve destruction; Hebrew they have made a complete end
-
-[85] 19:22 Zoar means little
-
-[86] 19:37 Moab sounds like the Hebrew for from father
-
-[87] 19:38 Ben-ammi means son of my people
-
-[88] 20:16 Hebrew It is a covering of eyes for all
-
-[89] 21:3 Isaac means he laughs
-
-[90] 21:9 Possibly laughing in mockery
-
-[91] 21:30 Or you
-
-[92] 21:31 Beersheba means well of seven or well of the oath
-
-[93] 22:5 Or young man; also verse 12
-
-[94] 22:14 Or will see
-
-[95] 22:14 Or he will be seen
-
-[96] 22:17 Or their
-
-[97] 23:3 Hebrew sons of Heth; also verses 5, 7, 10, 16, 18, 20
-
-[98] 23:6 Or a mighty prince
-
-[99] 23:15 A shekel was about 2/5 ounce or 11 grams
-
-[100] 24:10 Hebrew Aram-naharaim
-
-[101] 24:14 Or By her
-
-[102] 24:16 Or a woman of marriageable age
-
-[103] 24:22 A shekel was about 2/5 ounce or 11 grams
-
-[104] 24:48 Or faithfully
-
-[105] 24:60 Or hate them
-
-[106] 25:18 Hebrew fell
-
-[107] 25:22 Or why do I live?
-
-[108] 25:23 Or from birth
-
-[109] 25:26 Jacob means He takes by the heel, or He cheats
-
-[110] 25:30 Edom sounds like the Hebrew for red
-
-[111] 26:8 Hebrew may suggest an intimate relationship
-
-[112] 26:20 Esek means contention
-
-[113] 26:21 Sitnah means enmity
-
-[114] 26:22 Rehoboth means broad places, or room
-
-[115] 26:33 Shibah sounds like the Hebrew for oath
-
-[116] 26:35 Hebrew they were bitterness of spirit
-
-[117] 27:36 Jacob means He takes by the heel, or He cheats
-
-[118] 27:39 Or Behold, of
-
-[119] 27:39 Or and of
-
-[120] 27:46 Hebrew daughters of Heth
-
-[121] 28:3 Hebrew El Shaddai
-
-[122] 28:12 Or a flight of steps
-
-[123] 28:13 Or beside him
-
-[124] 28:19 Bethel means the house of God
-
-[125] 29:17 Or soft
-
-[126] 29:24 Or had given; also verse 29
-
-[127] 29:32 Reuben means See, a son
-
-[128] 29:33 Simeon sounds like the Hebrew for heard
-
-[129] 29:34 Levi sounds like the Hebrew for attached
-
-[130] 29:35 Judah sounds like the Hebrew for praise
-
-[131] 30:3 Hebrew on my knees
-
-[132] 30:3 Hebrew be built up, which sounds like the Hebrew for children
-
-[133] 30:6 Dan sounds like the Hebrew for judged
-
-[134] 30:8 Hebrew With wrestlings of God
-
-[135] 30:8 Naphtali sounds like the Hebrew for wrestling
-
-[136] 30:11 Gad sounds like the Hebrew for good fortune
-
-[137] 30:13 Asher sounds like the Hebrew for happy
-
-[138] 30:18 Issachar sounds like the Hebrew for wages, or hire
-
-[139] 30:20 Zebulun sounds like the Hebrew for honor
-
-[140] 30:24 Joseph means May he add, and sounds like the Hebrew for taken away
-
-[141] 30:27 Or have become rich and
-
-[142] 31:20 Hebrew stole the heart of; also verses 26, 27
-
-[143] 31:29 The Hebrew for your is plural here
-
-[144] 31:47 Aramaic the heap of witness
-
-[145] 31:47 Hebrew the heap of witness
-
-[146] 31:49 Mizpah means watchpost
-
-[147] 31:55 Ch 32:1 in Hebrew
-
-[148] 32:2 Mahanaim means two camps
-
-[149] 32:3 Or had sent
-
-[150] 32:20 Hebrew appease his face
-
-[151] 32:20 Hebrew he will lift my face
-
-[152] 32:22 Or sons
-
-[153] 32:28 Israel means He strives with God, or God strives
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-[154] 32:30 Peniel means the face of God
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-[155] 33:8 Hebrew camp
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-[156] 33:12 Or along with
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-[157] 33:17 Succoth means booths
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-[158] 33:18 Or peacefully
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-[159] 33:19 Hebrew a hundred qesitah; a unit of money of unknown value
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-[160] 33:20 El-Elohe-Israel means God, the God of Israel
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-[161] 34:8 The Hebrew for your is plural here
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-[162] 34:12 Or engagement present
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-[163] 35:7 El-bethel means God of Bethel
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-[164] 35:8 Allon-bacuth means oak of weeping
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-[165] 35:9 Or had appeared
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-[166] 35:11 Hebrew El Shaddai
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-[167] 35:11 Hebrew from your loins
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-[168] 35:16 Or about two hours' distance
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-[169] 35:18 Ben-oni could mean son of my sorrow, or son of my strength
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-[170] 35:18 Benjamin means son of the right hand
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-[171] 36:2 Hebrew; Samaritan, Septuagint, Syriac son; also verse 14
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-[172] 36:37 Hebrew the River
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-[173] 37:3 See Septuagint, Vulgate; or (with Syriac) a robe with long sleeves. The meaning of the Hebrew is uncertain; also verses 23, 32
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-[174] 37:20 Or cisterns; also verses 22, 24
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-[175] 37:28 A shekel was about 2/5 ounce or 11 grams
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-[176] 38:5 Hebrew He
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-[177] 38:21 Hebrew sacred woman; a woman who served a pagan deity by prostitution; also verse 22
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-[178] 38:24 Or has committed prostitution
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-[179] 38:24 Or by prostitution
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-[180] 38:29 Perez means a breach
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-[181] 41:16 Or (compare Samaritan, Septuagint) Without God it is not possible to give Pharaoh an answer about his welfare
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-[182] 41:34 Or over the land and organize the land
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-[183] 41:38 Or of the gods
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-[184] 41:40 Hebrew and according to your command all my people shall kiss the ground
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-[185] 41:43 Abrek, probably an Egyptian word, similar in sound to the Hebrew word meaning to kneel
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-[186] 41:51 Manasseh sounds like the Hebrew for making to forget
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-[187] 41:52 Ephraim sounds like the Hebrew for making fruitful
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-[188] 41:56 Hebrew all that was in them
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-[189] 43:14 Hebrew El Shaddai
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-[190] 43:34 Hebrew and became intoxicated
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-[191] 44:4 Septuagint (compare Vulgate) adds Why have you stolen my silver cup?
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-[192] 45:20 Hebrew Let your eye not pity
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-[193] 45:22 A shekel was about 2/5 ounce or 11 grams
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-[194] 47:21 Samaritan, Septuagint, Vulgate; Hebrew he removed them to the cities
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-[195] 47:31 Hebrew; Septuagint staff
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-[196] 48:3 Hebrew El Shaddai
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-[197] 48:7 Or about two hours' distance
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-[198] 48:16 Or let them be like fish for multitude
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-[199] 48:19 Hebrew fullness
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-[200] 48:22 Or one portion of the land; Hebrew shekem, which sounds like the town and district called Shechem
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-[201] 49:10 By a slight revocalization; a slight emendation yields (compare Septuagint, Syriac, Targum) until he comes to whom it belongs; Hebrew until Shiloh comes, or until he comes to Shiloh
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-[202] 49:14 Or between its saddlebags
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-[203] 49:19 Gad sounds like the Hebrew for raiders and raid
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-[204] 49:21 Or he gives beautiful words, or that bears fawns of the fold
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-[205] 49:22 Or Joseph is a wild donkey, a wild donkey beside a spring, his wild colts beside the wall
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-[206] 49:24 Hebrew the arms of his hands
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-[207] 49:24 Or by the name of the Shepherd
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-[208] 49:25 Hebrew Shaddai
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-[209] 49:26 A slight emendation yields (compare Septuagint) the blessings of the eternal mountains, the bounties of the everlasting hills
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-[210] 50:11 Abel-mizraim means mourning (or meadow) of Egypt
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-[211] 50:20 Or a numerous people
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-[212] 50:23 Hebrew were born on Joseph's knees
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-EXODUS
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-Chapter 1
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-Chapter 2
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-Chapter 3
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-Chapter 4
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-Chapter 5
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-Chapter 6
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-Chapter 7
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-Chapter 8
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-Chapter 9
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-Chapter 10
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-Chapter 11
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-Chapter 12
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-Chapter 13
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-Chapter 14
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-Chapter 15
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-Chapter 16
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-Chapter 17
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-Chapter 18
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-Chapter 19
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-Chapter 20
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-Chapter 21
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-Chapter 22
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-Chapter 23
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-Chapter 24
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-Chapter 25
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-Chapter 26
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-Chapter 27
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-Chapter 28
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-Chapter 29
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-Chapter 30
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-Chapter 31
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-Chapter 32
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-Chapter 33
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-Chapter 34
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-Chapter 35
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-Chapter 36
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-Chapter 37
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-Chapter 38
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-Chapter 39
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-Chapter 40
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-Israel Increases Greatly in Egypt
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-1:1 These are the names of the sons of Israel who came to Egypt with Jacob, each with his household: 2Reuben, Simeon, Levi, and Judah, 3Issachar, Zebulun, and Benjamin, 4Dan and Naphtali, Gad and Asher. 5All the descendants of Jacob were seventy persons; Joseph was already in Egypt. 6Then Joseph died, and all his brothers and all that generation. 7But the people of Israel were fruitful and increased greatly; they multiplied and grew exceedingly strong, so that the land was filled with them.
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-Pharaoh Oppresses Israel
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-8Now there arose a new king over Egypt, who did not know Joseph. 9And he said to his people, “Behold, the people of Israel are too many and too mighty for us. 10Come, let us deal shrewdly with them, lest they multiply, and, if war breaks out, they join our enemies and fight against us and escape from the land.” 11Therefore they set taskmasters over them to afflict them with heavy burdens. They built for Pharaoh store cities, Pithom and Raamses. 12But the more they were oppressed, the more they multiplied and the more they spread abroad. And the Egyptians were in dread of the people of Israel. 13So they ruthlessly made the people of Israel work as slaves 14and made their lives bitter with hard service, in mortar and brick, and in all kinds of work in the field. In all their work they ruthlessly made them work as slaves.
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-15Then the king of Egypt said to the Hebrew midwives, one of whom was named Shiphrah and the other Puah, 16“When you serve as midwife to the Hebrew women and see them on the birthstool, if it is a son, you shall kill him, but if it is a daughter, she shall live.” 17But the midwives feared God and did not do as the king of Egypt commanded them, but let the male children live. 18So the king of Egypt called the midwives and said to them, “Why have you done this, and let the male children live?” 19The midwives said to Pharaoh, “Because the Hebrew women are not like the Egyptian women, for they are vigorous and give birth before the midwife comes to them.” 20So God dealt well with the midwives. And the people multiplied and grew very strong. 21And because the midwives feared God, he gave them families. 22Then Pharaoh commanded all his people, “Every son that is born to the Hebrews[1] you shall cast into the Nile, but you shall let every daughter live.”
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-The Birth of Moses
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-2:1 Now a man from the house of Levi went and took as his wife a Levite woman. 2The woman conceived and bore a son, and when she saw that he was a fine child, she hid him three months. 3When she could hide him no longer, she took for him a basket made of bulrushes[2] and daubed it with bitumen and pitch. She put the child in it and placed it among the reeds by the river bank. 4And his sister stood at a distance to know what would be done to him. 5Now the daughter of Pharaoh came down to bathe at the river, while her young women walked beside the river. She saw the basket among the reeds and sent her servant woman, and she took it. 6When she opened it, she saw the child, and behold, the baby was crying. She took pity on him and said, “This is one of the Hebrews' children.” 7Then his sister said to Pharaoh's daughter, “Shall I go and call you a nurse from the Hebrew women to nurse the child for you?” 8And Pharaoh's daughter said to her, “Go.” So the girl went and called the child's mother. 9And Pharaoh's daughter said to her, “Take this child away and nurse him for me, and I will give you your wages.” So the woman took the child and nursed him. 10When the child grew up, she brought him to Pharaoh's daughter, and he became her son. She named him Moses, “Because,” she said, “I drew him out of the water.”[3]
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-Moses Flees to Midian
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-11One day, when Moses had grown up, he went out to his people and looked on their burdens, and he saw an Egyptian beating a Hebrew, one of his people.[4] 12He looked this way and that, and seeing no one, he struck down the Egyptian and hid him in the sand. 13When he went out the next day, behold, two Hebrews were struggling together. And he said to the man in the wrong, “Why do you strike your companion?” 14He answered, “Who made you a prince and a judge over us? Do you mean to kill me as you killed the Egyptian?” Then Moses was afraid, and thought, “Surely the thing is known.” 15When Pharaoh heard of it, he sought to kill Moses. But Moses fled from Pharaoh and stayed in the land of Midian. And he sat down by a well.
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-16Now the priest of Midian had seven daughters, and they came and drew water and filled the troughs to water their father's flock. 17The shepherds came and drove them away, but Moses stood up and saved them, and watered their flock. 18When they came home to their father Reuel, he said, “How is it that you have come home so soon today?” 19They said, “An Egyptian delivered us out of the hand of the shepherds and even drew water for us and watered the flock.” 20He said to his daughters, “Then where is he? Why have you left the man? Call him, that he may eat bread.” 21And Moses was content to dwell with the man, and he gave Moses his daughter Zipporah. 22She gave birth to a son, and he called his name Gershom, for he said, “I have been a sojourner[5] in a foreign land.”
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-God Hears Israel's Groaning
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-23During those many days the king of Egypt died, and the people of Israel groaned because of their slavery and cried out for help. Their cry for rescue from slavery came up to God. 24And God heard their groaning, and God remembered his covenant with Abraham, with Isaac, and with Jacob. 25God saw the people of Israel—and God knew.
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-The Burning Bush
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-3:1 Now Moses was keeping the flock of his father-in-law, Jethro, the priest of Midian, and he led his flock to the west side of the wilderness and came to Horeb, the mountain of God. 2And the angel of the LORD appeared to him in a flame of fire out of the midst of a bush. He looked, and behold, the bush was burning, yet it was not consumed. 3And Moses said, “I will turn aside to see this great sight, why the bush is not burned.” 4When the LORD saw that he turned aside to see, God called to him out of the bush, “Moses, Moses!” And he said, “Here I am.” 5Then he said, “Do not come near; take your sandals off your feet, for the place on which you are standing is holy ground.” 6And he said, “I am the God of your father, the God of Abraham, the God of Isaac, and the God of Jacob.” And Moses hid his face, for he was afraid to look at God.
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-7Then the LORD said, “I have surely seen the affliction of my people who are in Egypt and have heard their cry because of their taskmasters. I know their sufferings, 8and I have come down to deliver them out of the hand of the Egyptians and to bring them up out of that land to a good and broad land, a land flowing with milk and honey, to the place of the Canaanites, the Hittites, the Amorites, the Perizzites, the Hivites, and the Jebusites. 9And now, behold, the cry of the people of Israel has come to me, and I have also seen the oppression with which the Egyptians oppress them. 10Come, I will send you to Pharaoh that you may bring my people, the children of Israel, out of Egypt.” 11But Moses said to God, “Who am I that I should go to Pharaoh and bring the children of Israel out of Egypt?” 12He said, “But I will be with you, and this shall be the sign for you, that I have sent you: when you have brought the people out of Egypt, you shall serve God on this mountain.”
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-13Then Moses said to God, “If I come to the people of Israel and say to them, ‘The God of your fathers has sent me to you,’ and they ask me, ‘What is his name?’ what shall I say to them?” 14God said to Moses, “I AM WHO I AM.”[6] And he said, “Say this to the people of Israel, ‘I AM has sent me to you.’” 15God also said to Moses, “Say this to the people of Israel, ‘The LORD,[7] the God of your fathers, the God of Abraham, the God of Isaac, and the God of Jacob, has sent me to you.’ This is my name forever, and thus I am to be remembered throughout all generations. 16Go and gather the elders of Israel together and say to them, ‘The LORD, the God of your fathers, the God of Abraham, of Isaac, and of Jacob, has appeared to me, saying, “I have observed you and what has been done to you in Egypt, 17and I promise that I will bring you up out of the affliction of Egypt to the land of the Canaanites, the Hittites, the Amorites, the Perizzites, the Hivites, and the Jebusites, a land flowing with milk and honey.”’ 18And they will listen to your voice, and you and the elders of Israel shall go to the king of Egypt and say to him, ‘The LORD, the God of the Hebrews, has met with us; and now, please let us go a three days' journey into the wilderness, that we may sacrifice to the LORD our God.’ 19But I know that the king of Egypt will not let you go unless compelled by a mighty hand.[8] 20So I will stretch out my hand and strike Egypt with all the wonders that I will do in it; after that he will let you go. 21And I will give this people favor in the sight of the Egyptians; and when you go, you shall not go empty, 22but each woman shall ask of her neighbor, and any woman who lives in her house, for silver and gold jewelry, and for clothing. You shall put them on your sons and on your daughters. So you shall plunder the Egyptians.”
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-Moses Given Powerful Signs
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-4:1 Then Moses answered, “But behold, they will not believe me or listen to my voice, for they will say, ‘The LORD did not appear to you.’” 2The LORD said to him, “What is that in your hand?” He said, “A staff.” 3And he said, “Throw it on the ground.” So he threw it on the ground, and it became a serpent, and Moses ran from it. 4But the LORD said to Moses, “Put out your hand and catch it by the tail”—so he put out his hand and caught it, and it became a staff in his hand— 5“that they may believe that the LORD, the God of their fathers, the God of Abraham, the God of Isaac, and the God of Jacob, has appeared to you.” 6Again, the LORD said to him, “Put your hand inside your cloak.”[9] And he put his hand inside his cloak, and when he took it out, behold, his hand was leprous[10] like snow. 7Then God said, “Put your hand back inside your cloak.” So he put his hand back inside his cloak, and when he took it out, behold, it was restored like the rest of his flesh. 8“If they will not believe you,” God said, “or listen to the first sign, they may believe the latter sign. 9If they will not believe even these two signs or listen to your voice, you shall take some water from the Nile and pour it on the dry ground, and the water that you shall take from the Nile will become blood on the dry ground.”
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-10But Moses said to the LORD, “Oh, my Lord, I am not eloquent, either in the past or since you have spoken to your servant, but I am slow of speech and of tongue.” 11Then the LORD said to him, “Who has made man's mouth? Who makes him mute, or deaf, or seeing, or blind? Is it not I, the LORD? 12Now therefore go, and I will be with your mouth and teach you what you shall speak.” 13But he said, “Oh, my Lord, please send someone else.” 14Then the anger of the LORD was kindled against Moses and he said, “Is there not Aaron, your brother, the Levite? I know that he can speak well. Behold, he is coming out to meet you, and when he sees you, he will be glad in his heart. 15You shall speak to him and put the words in his mouth, and I will be with your mouth and with his mouth and will teach you both what to do. 16He shall speak for you to the people, and he shall be your mouth, and you shall be as God to him. 17And take in your hand this staff, with which you shall do the signs.”
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-Moses Returns to Egypt
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-18Moses went back to Jethro his father-in-law and said to him, “Please let me go back to my brothers in Egypt to see whether they are still alive.” And Jethro said to Moses, “Go in peace.” 19And the LORD said to Moses in Midian, “Go back to Egypt, for all the men who were seeking your life are dead.” 20So Moses took his wife and his sons and had them ride on a donkey, and went back to the land of Egypt. And Moses took the staff of God in his hand.
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-21And the LORD said to Moses, “When you go back to Egypt, see that you do before Pharaoh all the miracles that I have put in your power. But I will harden his heart, so that he will not let the people go. 22Then you shall say to Pharaoh, ‘Thus says the LORD, Israel is my firstborn son, 23and I say to you, “Let my son go that he may serve me.” If you refuse to let him go, behold, I will kill your firstborn son.’”
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-24At a lodging place on the way the LORD met him and sought to put him to death. 25Then Zipporah took a flint and cut off her son's foreskin and touched Moses'[11] feet with it and said, “Surely you are a bridegroom of blood to me!” 26So he let him alone. It was then that she said, “A bridegroom of blood,” because of the circumcision.
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-27The LORD said to Aaron, “Go into the wilderness to meet Moses.” So he went and met him at the mountain of God and kissed him. 28And Moses told Aaron all the words of the LORD with which he had sent him to speak, and all the signs that he had commanded him to do. 29Then Moses and Aaron went and gathered together all the elders of the people of Israel. 30Aaron spoke all the words that the LORD had spoken to Moses and did the signs in the sight of the people. 31And the people believed; and when they heard that the LORD had visited the people of Israel and that he had seen their affliction, they bowed their heads and worshiped.
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-Making Bricks Without Straw
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-5:1 Afterward Moses and Aaron went and said to Pharaoh, “Thus says the LORD, the God of Israel, ‘Let my people go, that they may hold a feast to me in the wilderness.’” 2But Pharaoh said, “Who is the LORD, that I should obey his voice and let Israel go? I do not know the LORD, and moreover, I will not let Israel go.” 3Then they said, “The God of the Hebrews has met with us. Please let us go a three days' journey into the wilderness that we may sacrifice to the LORD our God, lest he fall upon us with pestilence or with the sword.” 4But the king of Egypt said to them, “Moses and Aaron, why do you take the people away from their work? Get back to your burdens.” 5And Pharaoh said, “Behold, the people of the land are now many,[12] and you make them rest from their burdens!” 6The same day Pharaoh commanded the taskmasters of the people and their foremen, 7“You shall no longer give the people straw to make bricks, as in the past; let them go and gather straw for themselves. 8But the number of bricks that they made in the past you shall impose on them, you shall by no means reduce it, for they are idle. Therefore they cry, ‘Let us go and offer sacrifice to our God.’ 9Let heavier work be laid on the men that they may labor at it and pay no regard to lying words.”
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-10So the taskmasters and the foremen of the people went out and said to the people, “Thus says Pharaoh, ‘I will not give you straw. 11Go and get your straw yourselves wherever you can find it, but your work will not be reduced in the least.’” 12So the people were scattered throughout all the land of Egypt to gather stubble for straw. 13The taskmasters were urgent, saying, “Complete your work, your daily task each day, as when there was straw.” 14And the foremen of the people of Israel, whom Pharaoh's taskmasters had set over them, were beaten and were asked, “Why have you not done all your task of making bricks today and yesterday, as in the past?”
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-15Then the foremen of the people of Israel came and cried to Pharaoh, “Why do you treat your servants like this? 16No straw is given to your servants, yet they say to us, ‘Make bricks!’ And behold, your servants are beaten; but the fault is in your own people.” 17But he said, “You are idle, you are idle; that is why you say, ‘Let us go and sacrifice to the LORD.’ 18Go now and work. No straw will be given you, but you must still deliver the same number of bricks.” 19The foremen of the people of Israel saw that they were in trouble when they said, “You shall by no means reduce your number of bricks, your daily task each day.” 20They met Moses and Aaron, who were waiting for them, as they came out from Pharaoh; 21and they said to them, “The LORD look on you and judge, because you have made us stink in the sight of Pharaoh and his servants, and have put a sword in their hand to kill us.”
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-22Then Moses turned to the LORD and said, “O Lord, why have you done evil to this people? Why did you ever send me? 23For since I came to Pharaoh to speak in your name, he has done evil to this people, and you have not delivered your people at all.”
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-God Promises Deliverance
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-6:1 But the LORD said to Moses, “Now you shall see what I will do to Pharaoh; for with a strong hand he will send them out, and with a strong hand he will drive them out of his land.”
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-2God spoke to Moses and said to him, “I am the LORD. 3I appeared to Abraham, to Isaac, and to Jacob, as God Almighty,[13] but by my name the LORD I did not make myself known to them. 4I also established my covenant with them to give them the land of Canaan, the land in which they lived as sojourners. 5Moreover, I have heard the groaning of the people of Israel whom the Egyptians hold as slaves, and I have remembered my covenant. 6Say therefore to the people of Israel, ‘I am the LORD, and I will bring you out from under the burdens of the Egyptians, and I will deliver you from slavery to them, and I will redeem you with an outstretched arm and with great acts of judgment. 7I will take you to be my people, and I will be your God, and you shall know that I am the LORD your God, who has brought you out from under the burdens of the Egyptians. 8I will bring you into the land that I swore to give to Abraham, to Isaac, and to Jacob. I will give it to you for a possession. I am the LORD.’” 9Moses spoke thus to the people of Israel, but they did not listen to Moses, because of their broken spirit and harsh slavery.
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-10So the LORD said to Moses, 11“Go in, tell Pharaoh king of Egypt to let the people of Israel go out of his land.” 12But Moses said to the LORD, “Behold, the people of Israel have not listened to me. How then shall Pharaoh listen to me, for I am of uncircumcised lips?” 13But the LORD spoke to Moses and Aaron and gave them a charge about the people of Israel and about Pharaoh king of Egypt: to bring the people of Israel out of the land of Egypt.
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-The Genealogy of Moses and Aaron
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-14These are the heads of their fathers' houses: the sons of Reuben, the firstborn of Israel: Hanoch, Pallu, Hezron, and Carmi; these are the clans of Reuben. 15The sons of Simeon: Jemuel, Jamin, Ohad, Jachin, Zohar, and Shaul, the son of a Canaanite woman; these are the clans of Simeon. 16These are the names of the sons of Levi according to their generations: Gershon, Kohath, and Merari, the years of the life of Levi being 137 years. 17The sons of Gershon: Libni and Shimei, by their clans. 18The sons of Kohath: Amram, Izhar, Hebron, and Uzziel, the years of the life of Kohath being 133 years. 19The sons of Merari: Mahli and Mushi. These are the clans of the Levites according to their generations. 20Amram took as his wife Jochebed his father's sister, and she bore him Aaron and Moses, the years of the life of Amram being 137 years. 21The sons of Izhar: Korah, Nepheg, and Zichri. 22The sons of Uzziel: Mishael, Elzaphan, and Sithri. 23Aaron took as his wife Elisheba, the daughter of Amminadab and the sister of Nahshon, and she bore him Nadab, Abihu, Eleazar, and Ithamar. 24The sons of Korah: Assir, Elkanah, and Abiasaph; these are the clans of the Korahites. 25Eleazar, Aaron's son, took as his wife one of the daughters of Putiel, and she bore him Phinehas. These are the heads of the fathers' houses of the Levites by their clans.
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-26These are the Aaron and Moses to whom the LORD said: “Bring out the people of Israel from the land of Egypt by their hosts.” 27It was they who spoke to Pharaoh king of Egypt about bringing out the people of Israel from Egypt, this Moses and this Aaron.
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-28On the day when the LORD spoke to Moses in the land of Egypt, 29the LORD said to Moses, “I am the LORD; tell Pharaoh king of Egypt all that I say to you.” 30But Moses said to the LORD, “Behold, I am of uncircumcised lips. How will Pharaoh listen to me?”
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-Moses and Aaron Before Pharaoh
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-7:1 And the LORD said to Moses, “See, I have made you like God to Pharaoh, and your brother Aaron shall be your prophet. 2You shall speak all that I command you, and your brother Aaron shall tell Pharaoh to let the people of Israel go out of his land. 3But I will harden Pharaoh's heart, and though I multiply my signs and wonders in the land of Egypt, 4Pharaoh will not listen to you. Then I will lay my hand on Egypt and bring my hosts, my people the children of Israel, out of the land of Egypt by great acts of judgment. 5The Egyptians shall know that I am the LORD, when I stretch out my hand against Egypt and bring out the people of Israel from among them.” 6Moses and Aaron did so; they did just as the LORD commanded them. 7Now Moses was eighty years old, and Aaron eighty-three years old, when they spoke to Pharaoh.
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-8Then the LORD said to Moses and Aaron, 9“When Pharaoh says to you, ‘Prove yourselves by working a miracle,’ then you shall say to Aaron, ‘Take your staff and cast it down before Pharaoh, that it may become a serpent.’” 10So Moses and Aaron went to Pharaoh and did just as the LORD commanded. Aaron cast down his staff before Pharaoh and his servants, and it became a serpent. 11Then Pharaoh summoned the wise men and the sorcerers, and they, the magicians of Egypt, also did the same by their secret arts. 12For each man cast down his staff, and they became serpents. But Aaron's staff swallowed up their staffs. 13Still Pharaoh's heart was hardened, and he would not listen to them, as the LORD had said.
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-The First Plague: Water Turned to Blood
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-14Then the LORD said to Moses, “Pharaoh's heart is hardened; he refuses to let the people go. 15Go to Pharaoh in the morning, as he is going out to the water. Stand on the bank of the Nile to meet him, and take in your hand the staff that turned into a serpent. 16And you shall say to him, ‘The LORD, the God of the Hebrews, sent me to you, saying, “Let my people go, that they may serve me in the wilderness. But so far, you have not obeyed.” 17Thus says the LORD, “By this you shall know that I am the LORD: behold, with the staff that is in my hand I will strike the water that is in the Nile, and it shall turn into blood. 18The fish in the Nile shall die, and the Nile will stink, and the Egyptians will grow weary of drinking water from the Nile.”’” 19And the LORD said to Moses, “Say to Aaron, ‘Take your staff and stretch out your hand over the waters of Egypt, over their rivers, their canals, and their ponds, and all their pools of water, so that they may become blood, and there shall be blood throughout all the land of Egypt, even in vessels of wood and in vessels of stone.’”
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-20Moses and Aaron did as the LORD commanded. In the sight of Pharaoh and in the sight of his servants he lifted up the staff and struck the water in the Nile, and all the water in the Nile turned into blood. 21And the fish in the Nile died, and the Nile stank, so that the Egyptians could not drink water from the Nile. There was blood throughout all the land of Egypt. 22But the magicians of Egypt did the same by their secret arts. So Pharaoh's heart remained hardened, and he would not listen to them, as the LORD had said. 23Pharaoh turned and went into his house, and he did not take even this to heart. 24And all the Egyptians dug along the Nile for water to drink, for they could not drink the water of the Nile.
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-25Seven full days passed after the LORD had struck the Nile.
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-The Second Plague: Frogs
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-8:1 [14] Then the LORD said to Moses, “Go in to Pharaoh and say to him, ‘Thus says the LORD, “Let my people go, that they may serve me. 2But if you refuse to let them go, behold, I will plague all your country with frogs. 3The Nile shall swarm with frogs that shall come up into your house and into your bedroom and on your bed and into the houses of your servants and your people,[15] and into your ovens and your kneading bowls. 4The frogs shall come up on you and on your people and on all your servants.”’” 5[16] And the LORD said to Moses, “Say to Aaron, ‘Stretch out your hand with your staff over the rivers, over the canals and over the pools, and make frogs come up on the land of Egypt!’” 6So Aaron stretched out his hand over the waters of Egypt, and the frogs came up and covered the land of Egypt. 7But the magicians did the same by their secret arts and made frogs come up on the land of Egypt.
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-8Then Pharaoh called Moses and Aaron and said, “Plead with the LORD to take away the frogs from me and from my people, and I will let the people go to sacrifice to the LORD.” 9Moses said to Pharaoh, “Be pleased to command me when I am to plead for you and for your servants and for your people, that the frogs be cut off from you and your houses and be left only in the Nile.” 10And he said, “Tomorrow.” Moses said, “Be it as you say, so that you may know that there is no one like the LORD our God. 11The frogs shall go away from you and your houses and your servants and your people. They shall be left only in the Nile.” 12So Moses and Aaron went out from Pharaoh, and Moses cried to the LORD about the frogs, as he had agreed with Pharaoh.[17] 13And the LORD did according to the word of Moses. The frogs died out in the houses, the courtyards, and the fields. 14And they gathered them together in heaps, and the land stank. 15But when Pharaoh saw that there was a respite, he hardened his heart and would not listen to them, as the LORD had said.
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-The Third Plague: Gnats
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-16Then the LORD said to Moses, “Say to Aaron, ‘Stretch out your staff and strike the dust of the earth, so that it may become gnats in all the land of Egypt.’” 17And they did so. Aaron stretched out his hand with his staff and struck the dust of the earth, and there were gnats on man and beast. All the dust of the earth became gnats in all the land of Egypt. 18The magicians tried by their secret arts to produce gnats, but they could not. So there were gnats on man and beast. 19Then the magicians said to Pharaoh, “This is the finger of God.” But Pharaoh's heart was hardened, and he would not listen to them, as the LORD had said.
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-The Fourth Plague: Flies
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-20Then the LORD said to Moses, “Rise up early in the morning and present yourself to Pharaoh, as he goes out to the water, and say to him, ‘Thus says the LORD, “Let my people go, that they may serve me. 21Or else, if you will not let my people go, behold, I will send swarms of flies on you and your servants and your people, and into your houses. And the houses of the Egyptians shall be filled with swarms of flies, and also the ground on which they stand. 22But on that day I will set apart the land of Goshen, where my people dwell, so that no swarms of flies shall be there, that you may know that I am the LORD in the midst of the earth.[18] 23Thus I will put a division[19] between my people and your people. Tomorrow this sign shall happen.”’” 24And the LORD did so. There came great swarms of flies into the house of Pharaoh and into his servants' houses. Throughout all the land of Egypt the land was ruined by the swarms of flies.
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-25Then Pharaoh called Moses and Aaron and said, “Go, sacrifice to your God within the land.” 26But Moses said, “It would not be right to do so, for the offerings we shall sacrifice to the LORD our God are an abomination to the Egyptians. If we sacrifice offerings abominable to the Egyptians before their eyes, will they not stone us? 27We must go three days' journey into the wilderness and sacrifice to the LORD our God as he tells us.” 28So Pharaoh said, “I will let you go to sacrifice to the LORD your God in the wilderness; only you must not go very far away. Plead for me.” 29Then Moses said, “Behold, I am going out from you and I will plead with the LORD that the swarms of flies may depart from Pharaoh, from his servants, and from his people, tomorrow. Only let not Pharaoh cheat again by not letting the people go to sacrifice to the LORD.” 30So Moses went out from Pharaoh and prayed to the LORD. 31And the LORD did as Moses asked, and removed the swarms of flies from Pharaoh, from his servants, and from his people; not one remained. 32But Pharaoh hardened his heart this time also, and did not let the people go.
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-The Fifth Plague: Egyptian Livestock Die
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-9:1 Then the LORD said to Moses, “Go in to Pharaoh and say to him, ‘Thus says the LORD, the God of the Hebrews, “Let my people go, that they may serve me. 2For if you refuse to let them go and still hold them, 3behold, the hand of the LORD will fall with a very severe plague upon your livestock that are in the field, the horses, the donkeys, the camels, the herds, and the flocks. 4But the LORD will make a distinction between the livestock of Israel and the livestock of Egypt, so that nothing of all that belongs to the people of Israel shall die.”’” 5And the LORD set a time, saying, “Tomorrow the LORD will do this thing in the land.” 6And the next day the LORD did this thing. All the livestock of the Egyptians died, but not one of the livestock of the people of Israel died. 7And Pharaoh sent, and behold, not one of the livestock of Israel was dead. But the heart of Pharaoh was hardened, and he did not let the people go.
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-The Sixth Plague: Boils
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-8And the LORD said to Moses and Aaron, “Take handfuls of soot from the kiln, and let Moses throw them in the air in the sight of Pharaoh. 9It shall become fine dust over all the land of Egypt, and become boils breaking out in sores on man and beast throughout all the land of Egypt.” 10So they took soot from the kiln and stood before Pharaoh. And Moses threw it in the air, and it became boils breaking out in sores on man and beast. 11And the magicians could not stand before Moses because of the boils, for the boils came upon the magicians and upon all the Egyptians. 12But the LORD hardened the heart of Pharaoh, and he did not listen to them, as the LORD had spoken to Moses.
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-The Seventh Plague: Hail
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-13Then the LORD said to Moses, “Rise up early in the morning and present yourself before Pharaoh and say to him, ‘Thus says the LORD, the God of the Hebrews, “Let my people go, that they may serve me. 14For this time I will send all my plagues on you yourself,[20] and on your servants and your people, so that you may know that there is none like me in all the earth. 15For by now I could have put out my hand and struck you and your people with pestilence, and you would have been cut off from the earth. 16But for this purpose I have raised you up, to show you my power, so that my name may be proclaimed in all the earth. 17You are still exalting yourself against my people and will not let them go. 18Behold, about this time tomorrow I will cause very heavy hail to fall, such as never has been in Egypt from the day it was founded until now. 19Now therefore send, get your livestock and all that you have in the field into safe shelter, for every man and beast that is in the field and is not brought home will die when the hail falls on them.”’” 20Then whoever feared the word of the LORD among the servants of Pharaoh hurried his slaves and his livestock into the houses, 21but whoever did not pay attention to the word of the LORD left his slaves and his livestock in the field.
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-22Then the LORD said to Moses, “Stretch out your hand toward heaven, so that there may be hail in all the land of Egypt, on man and beast and every plant of the field, in the land of Egypt.” 23Then Moses stretched out his staff toward heaven, and the LORD sent thunder and hail, and fire ran down to the earth. And the LORD rained hail upon the land of Egypt. 24There was hail and fire flashing continually in the midst of the hail, very heavy hail, such as had never been in all the land of Egypt since it became a nation. 25The hail struck down everything that was in the field in all the land of Egypt, both man and beast. And the hail struck down every plant of the field and broke every tree of the field. 26Only in the land of Goshen, where the people of Israel were, was there no hail.
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-27Then Pharaoh sent and called Moses and Aaron and said to them, “This time I have sinned; the LORD is in the right, and I and my people are in the wrong. 28Plead with the LORD, for there has been enough of God's thunder and hail. I will let you go, and you shall stay no longer.” 29Moses said to him, “As soon as I have gone out of the city, I will stretch out my hands to the LORD. The thunder will cease, and there will be no more hail, so that you may know that the earth is the LORD's. 30But as for you and your servants, I know that you do not yet fear the LORD God.” 31(The flax and the barley were struck down, for the barley was in the ear and the flax was in bud. 32But the wheat and the emmer[21] were not struck down, for they are late in coming up.) 33So Moses went out of the city from Pharaoh and stretched out his hands to the LORD, and the thunder and the hail ceased, and the rain no longer poured upon the earth. 34But when Pharaoh saw that the rain and the hail and the thunder had ceased, he sinned yet again and hardened his heart, he and his servants. 35So the heart of Pharaoh was hardened, and he did not let the people of Israel go, just as the LORD had spoken through Moses.
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-The Eighth Plague: Locusts
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-10:1 Then the LORD said to Moses, “Go in to Pharaoh, for I have hardened his heart and the heart of his servants, that I may show these signs of mine among them, 2and that you may tell in the hearing of your son and of your grandson how I have dealt harshly with the Egyptians and what signs I have done among them, that you may know that I am the LORD.”
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-3So Moses and Aaron went in to Pharaoh and said to him, “Thus says the LORD, the God of the Hebrews, ‘How long will you refuse to humble yourself before me? Let my people go, that they may serve me. 4For if you refuse to let my people go, behold, tomorrow I will bring locusts into your country, 5and they shall cover the face of the land, so that no one can see the land. And they shall eat what is left to you after the hail, and they shall eat every tree of yours that grows in the field, 6and they shall fill your houses and the houses of all your servants and of all the Egyptians, as neither your fathers nor your grandfathers have seen, from the day they came on earth to this day.’” Then he turned and went out from Pharaoh.
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-7Then Pharaoh's servants said to him, “How long shall this man be a snare to us? Let the men go, that they may serve the LORD their God. Do you not yet understand that Egypt is ruined?” 8So Moses and Aaron were brought back to Pharaoh. And he said to them, “Go, serve the LORD your God. But which ones are to go?” 9Moses said, “We will go with our young and our old. We will go with our sons and daughters and with our flocks and herds, for we must hold a feast to the LORD.” 10But he said to them, “The LORD be with you, if ever I let you and your little ones go! Look, you have some evil purpose in mind.[22] 11No! Go, the men among you, and serve the LORD, for that is what you are asking.” And they were driven out from Pharaoh's presence.
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-12Then the LORD said to Moses, “Stretch out your hand over the land of Egypt for the locusts, so that they may come upon the land of Egypt and eat every plant in the land, all that the hail has left.” 13So Moses stretched out his staff over the land of Egypt, and the LORD brought an east wind upon the land all that day and all that night. When it was morning, the east wind had brought the locusts. 14The locusts came up over all the land of Egypt and settled on the whole country of Egypt, such a dense swarm of locusts as had never been before, nor ever will be again. 15They covered the face of the whole land, so that the land was darkened, and they ate all the plants in the land and all the fruit of the trees that the hail had left. Not a green thing remained, neither tree nor plant of the field, through all the land of Egypt. 16Then Pharaoh hastily called Moses and Aaron and said, “I have sinned against the LORD your God, and against you. 17Now therefore, forgive my sin, please, only this once, and plead with the LORD your God only to remove this death from me.” 18So he went out from Pharaoh and pleaded with the LORD. 19And the LORD turned the wind into a very strong west wind, which lifted the locusts and drove them into the Red Sea. Not a single locust was left in all the country of Egypt. 20But the LORD hardened Pharaoh's heart, and he did not let the people of Israel go.
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-The Ninth Plague: Darkness
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-21Then the LORD said to Moses, “Stretch out your hand toward heaven, that there may be darkness over the land of Egypt, a darkness to be felt.” 22So Moses stretched out his hand toward heaven, and there was pitch darkness in all the land of Egypt three days. 23They did not see one another, nor did anyone rise from his place for three days, but all the people of Israel had light where they lived. 24Then Pharaoh called Moses and said, “Go, serve the LORD; your little ones also may go with you; only let your flocks and your herds remain behind.” 25But Moses said, “You must also let us have sacrifices and burnt offerings, that we may sacrifice to the LORD our God. 26Our livestock also must go with us; not a hoof shall be left behind, for we must take of them to serve the LORD our God, and we do not know with what we must serve the LORD until we arrive there.” 27But the LORD hardened Pharaoh's heart, and he would not let them go. 28Then Pharaoh said to him, “Get away from me; take care never to see my face again, for on the day you see my face you shall die.” 29Moses said, “As you say! I will not see your face again.”
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-A Final Plague Threatened
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-11:1 The LORD said to Moses, “Yet one plague more I will bring upon Pharaoh and upon Egypt. Afterward he will let you go from here. When he lets you go, he will drive you away completely. 2Speak now in the hearing of the people, that they ask, every man of his neighbor and every woman of her neighbor, for silver and gold jewelry.” 3And the LORD gave the people favor in the sight of the Egyptians. Moreover, the man Moses was very great in the land of Egypt, in the sight of Pharaoh's servants and in the sight of the people.
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-4So Moses said, “Thus says the LORD: About midnight I will go out in the midst of Egypt, 5and every firstborn in the land of Egypt shall die, from the firstborn of Pharaoh who sits on his throne, even to the firstborn of the slave girl who is behind the handmill, and all the firstborn of the cattle. 6There shall be a great cry throughout all the land of Egypt, such as there has never been, nor ever will be again. 7But not a dog shall growl against any of the people of Israel, either man or beast, that you may know that the LORD makes a distinction between Egypt and Israel. 8And all these your servants shall come down to me and bow down to me, saying, ‘Get out, you and all the people who follow you.’ And after that I will go out.” And he went out from Pharaoh in hot anger. 9Then the LORD said to Moses, “Pharaoh will not listen to you, that my wonders may be multiplied in the land of Egypt.”
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-10Moses and Aaron did all these wonders before Pharaoh, and the LORD hardened Pharaoh's heart, and he did not let the people of Israel go out of his land.
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-The Passover
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-12:1 The LORD said to Moses and Aaron in the land of Egypt, 2“This month shall be for you the beginning of months. It shall be the first month of the year for you. 3Tell all the congregation of Israel that on the tenth day of this month every man shall take a lamb according to their fathers' houses, a lamb for a household. 4And if the household is too small for a lamb, then he and his nearest neighbor shall take according to the number of persons; according to what each can eat you shall make your count for the lamb. 5Your lamb shall be without blemish, a male a year old. You may take it from the sheep or from the goats, 6and you shall keep it until the fourteenth day of this month, when the whole assembly of the congregation of Israel shall kill their lambs at twilight.[23]
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-7“Then they shall take some of the blood and put it on the two doorposts and the lintel of the houses in which they eat it. 8They shall eat the flesh that night, roasted on the fire; with unleavened bread and bitter herbs they shall eat it. 9Do not eat any of it raw or boiled in water, but roasted, its head with its legs and its inner parts. 10And you shall let none of it remain until the morning; anything that remains until the morning you shall burn. 11In this manner you shall eat it: with your belt fastened, your sandals on your feet, and your staff in your hand. And you shall eat it in haste. It is the LORD's Passover. 12For I will pass through the land of Egypt that night, and I will strike all the firstborn in the land of Egypt, both man and beast; and on all the gods of Egypt I will execute judgments: I am the LORD. 13The blood shall be a sign for you, on the houses where you are. And when I see the blood, I will pass over you, and no plague will befall you to destroy you, when I strike the land of Egypt.
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-14“This day shall be for you a memorial day, and you shall keep it as a feast to the LORD; throughout your generations, as a statute forever, you shall keep it as a feast. 15Seven days you shall eat unleavened bread. On the first day you shall remove leaven out of your houses, for if anyone eats what is leavened, from the first day until the seventh day, that person shall be cut off from Israel. 16On the first day you shall hold a holy assembly, and on the seventh day a holy assembly. No work shall be done on those days. But what everyone needs to eat, that alone may be prepared by you. 17And you shall observe the Feast of Unleavened Bread, for on this very day I brought your hosts out of the land of Egypt. Therefore you shall observe this day, throughout your generations, as a statute forever. 18In the first month, from the fourteenth day of the month at evening, you shall eat unleavened bread until the twenty-first day of the month at evening. 19For seven days no leaven is to be found in your houses. If anyone eats what is leavened, that person will be cut off from the congregation of Israel, whether he is a sojourner or a native of the land. 20You shall eat nothing leavened; in all your dwelling places you shall eat unleavened bread.”
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-21Then Moses called all the elders of Israel and said to them, “Go and select lambs for yourselves according to your clans, and kill the Passover lamb. 22Take a bunch of hyssop and dip it in the blood that is in the basin, and touch the lintel and the two doorposts with the blood that is in the basin. None of you shall go out of the door of his house until the morning. 23For the LORD will pass through to strike the Egyptians, and when he sees the blood on the lintel and on the two doorposts, the LORD will pass over the door and will not allow the destroyer to enter your houses to strike you. 24You shall observe this rite as a statute for you and for your sons forever. 25And when you come to the land that the LORD will give you, as he has promised, you shall keep this service. 26And when your children say to you, ‘What do you mean by this service?’ 27you shall say, ‘It is the sacrifice of the LORD's Passover, for he passed over the houses of the people of Israel in Egypt, when he struck the Egyptians but spared our houses.’” And the people bowed their heads and worshiped.
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-28Then the people of Israel went and did so; as the LORD had commanded Moses and Aaron, so they did.
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-The Tenth Plague: Death of the Firstborn
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-29At midnight the LORD struck down all the firstborn in the land of Egypt, from the firstborn of Pharaoh who sat on his throne to the firstborn of the captive who was in the dungeon, and all the firstborn of the livestock. 30And Pharaoh rose up in the night, he and all his servants and all the Egyptians. And there was a great cry in Egypt, for there was not a house where someone was not dead. 31Then he summoned Moses and Aaron by night and said, “Up, go out from among my people, both you and the people of Israel; and go, serve the LORD, as you have said. 32Take your flocks and your herds, as you have said, and be gone, and bless me also!”
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-The Exodus
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-33The Egyptians were urgent with the people to send them out of the land in haste. For they said, “We shall all be dead.” 34So the people took their dough before it was leavened, their kneading bowls being bound up in their cloaks on their shoulders. 35The people of Israel had also done as Moses told them, for they had asked the Egyptians for silver and gold jewelry and for clothing. 36And the LORD had given the people favor in the sight of the Egyptians, so that they let them have what they asked. Thus they plundered the Egyptians.
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-37And the people of Israel journeyed from Rameses to Succoth, about six hundred thousand men on foot, besides women and children. 38A mixed multitude also went up with them, and very much livestock, both flocks and herds. 39And they baked unleavened cakes of the dough that they had brought out of Egypt, for it was not leavened, because they were thrust out of Egypt and could not wait, nor had they prepared any provisions for themselves.
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-40The time that the people of Israel lived in Egypt was 430 years. 41At the end of 430 years, on that very day, all the hosts of the LORD went out from the land of Egypt. 42It was a night of watching by the LORD, to bring them out of the land of Egypt; so this same night is a night of watching kept to the LORD by all the people of Israel throughout their generations.
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-Institution of the Passover
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-43And the LORD said to Moses and Aaron, “This is the statute of the Passover: no foreigner shall eat of it, 44but every slave that is bought for money may eat of it after you have circumcised him. 45No foreigner or hired servant may eat of it. 46It shall be eaten in one house; you shall not take any of the flesh outside the house, and you shall not break any of its bones. 47All the congregation of Israel shall keep it. 48If a stranger shall sojourn with you and would keep the Passover to the LORD, let all his males be circumcised. Then he may come near and keep it; he shall be as a native of the land. But no uncircumcised person shall eat of it. 49There shall be one law for the native and for the stranger who sojourns among you.”
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-50All the people of Israel did just as the LORD commanded Moses and Aaron. 51And on that very day the LORD brought the people of Israel out of the land of Egypt by their hosts.
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-Consecration of the Firstborn
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-13:1 The LORD said to Moses, 2“Consecrate to me all the firstborn. Whatever is the first to open the womb among the people of Israel, both of man and of beast, is mine.”
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-The Feast of Unleavened Bread
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-3Then Moses said to the people, “Remember this day in which you came out from Egypt, out of the house of slavery, for by a strong hand the LORD brought you out from this place. No leavened bread shall be eaten. 4Today, in the month of Abib, you are going out. 5And when the LORD brings you into the land of the Canaanites, the Hittites, the Amorites, the Hivites, and the Jebusites, which he swore to your fathers to give you, a land flowing with milk and honey, you shall keep this service in this month. 6Seven days you shall eat unleavened bread, and on the seventh day there shall be a feast to the LORD. 7Unleavened bread shall be eaten for seven days; no leavened bread shall be seen with you, and no leaven shall be seen with you in all your territory. 8You shall tell your son on that day, ‘It is because of what the LORD did for me when I came out of Egypt.’ 9And it shall be to you as a sign on your hand and as a memorial between your eyes, that the law of the LORD may be in your mouth. For with a strong hand the LORD has brought you out of Egypt. 10You shall therefore keep this statute at its appointed time from year to year.
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-11“When the LORD brings you into the land of the Canaanites, as he swore to you and your fathers, and shall give it to you, 12you shall set apart to the LORD all that first opens the womb. All the firstborn of your animals that are males shall be the LORD's. 13Every firstborn of a donkey you shall redeem with a lamb, or if you will not redeem it you shall break its neck. Every firstborn of man among your sons you shall redeem. 14And when in time to come your son asks you, ‘What does this mean?’ you shall say to him, ‘By a strong hand the LORD brought us out of Egypt, from the house of slavery. 15For when Pharaoh stubbornly refused to let us go, the LORD killed all the firstborn in the land of Egypt, both the firstborn of man and the firstborn of animals. Therefore I sacrifice to the LORD all the males that first open the womb, but all the firstborn of my sons I redeem.’ 16It shall be as a mark on your hand or frontlets between your eyes, for by a strong hand the LORD brought us out of Egypt.”
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-Pillars of Cloud and Fire
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-17When Pharaoh let the people go, God did not lead them by way of the land of the Philistines, although that was near. For God said, “Lest the people change their minds when they see war and return to Egypt.” 18But God led the people around by the way of the wilderness toward the Red Sea. And the people of Israel went up out of the land of Egypt equipped for battle. 19Moses took the bones of Joseph with him, for Joseph[24] had made the sons of Israel solemnly swear, saying, “God will surely visit you, and you shall carry up my bones with you from here.” 20And they moved on from Succoth and encamped at Etham, on the edge of the wilderness. 21And the LORD went before them by day in a pillar of cloud to lead them along the way, and by night in a pillar of fire to give them light, that they might travel by day and by night. 22The pillar of cloud by day and the pillar of fire by night did not depart from before the people.
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-Crossing the Red Sea
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-14:1 Then the LORD said to Moses, 2“Tell the people of Israel to turn back and encamp in front of Pi-hahiroth, between Migdol and the sea, in front of Baal-zephon; you shall encamp facing it, by the sea. 3For Pharaoh will say of the people of Israel, ‘They are wandering in the land; the wilderness has shut them in.’ 4And I will harden Pharaoh's heart, and he will pursue them, and I will get glory over Pharaoh and all his host, and the Egyptians shall know that I am the LORD.” And they did so.
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-5When the king of Egypt was told that the people had fled, the mind of Pharaoh and his servants was changed toward the people, and they said, “What is this we have done, that we have let Israel go from serving us?” 6So he made ready his chariot and took his army with him, 7and took six hundred chosen chariots and all the other chariots of Egypt with officers over all of them. 8And the LORD hardened the heart of Pharaoh king of Egypt, and he pursued the people of Israel while the people of Israel were going out defiantly. 9The Egyptians pursued them, all Pharaoh's horses and chariots and his horsemen and his army, and overtook them encamped at the sea, by Pi-hahiroth, in front of Baal-zephon.
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-10When Pharaoh drew near, the people of Israel lifted up their eyes, and behold, the Egyptians were marching after them, and they feared greatly. And the people of Israel cried out to the LORD. 11They said to Moses, “Is it because there are no graves in Egypt that you have taken us away to die in the wilderness? What have you done to us in bringing us out of Egypt? 12Is not this what we said to you in Egypt: ‘Leave us alone that we may serve the Egyptians’? For it would have been better for us to serve the Egyptians than to die in the wilderness.” 13And Moses said to the people, “Fear not, stand firm, and see the salvation of the LORD, which he will work for you today. For the Egyptians whom you see today, you shall never see again. 14The LORD will fight for you, and you have only to be silent.”
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-15The LORD said to Moses, “Why do you cry to me? Tell the people of Israel to go forward. 16Lift up your staff, and stretch out your hand over the sea and divide it, that the people of Israel may go through the sea on dry ground. 17And I will harden the hearts of the Egyptians so that they shall go in after them, and I will get glory over Pharaoh and all his host, his chariots, and his horsemen. 18And the Egyptians shall know that I am the LORD, when I have gotten glory over Pharaoh, his chariots, and his horsemen.”
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-19Then the angel of God who was going before the host of Israel moved and went behind them, and the pillar of cloud moved from before them and stood behind them, 20coming between the host of Egypt and the host of Israel. And there was the cloud and the darkness. And it lit up the night[25] without one coming near the other all night.
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-21Then Moses stretched out his hand over the sea, and the LORD drove the sea back by a strong east wind all night and made the sea dry land, and the waters were divided. 22And the people of Israel went into the midst of the sea on dry ground, the waters being a wall to them on their right hand and on their left. 23The Egyptians pursued and went in after them into the midst of the sea, all Pharaoh's horses, his chariots, and his horsemen. 24And in the morning watch the LORD in the pillar of fire and of cloud looked down on the Egyptian forces and threw the Egyptian forces into a panic, 25clogging[26] their chariot wheels so that they drove heavily. And the Egyptians said, “Let us flee from before Israel, for the LORD fights for them against the Egyptians.”
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-26Then the LORD said to Moses, “Stretch out your hand over the sea, that the water may come back upon the Egyptians, upon their chariots, and upon their horsemen.” 27So Moses stretched out his hand over the sea, and the sea returned to its normal course when the morning appeared. And as the Egyptians fled into it, the LORD threw[27] the Egyptians into the midst of the sea. 28The waters returned and covered the chariots and the horsemen; of all the host of Pharaoh that had followed them into the sea, not one of them remained. 29But the people of Israel walked on dry ground through the sea, the waters being a wall to them on their right hand and on their left.
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-30Thus the LORD saved Israel that day from the hand of the Egyptians, and Israel saw the Egyptians dead on the seashore. 31Israel saw the great power that the LORD used against the Egyptians, so the people feared the LORD, and they believed in the LORD and in his servant Moses.
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-The Song of Moses
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-15:1 Then Moses and the people of Israel sang this song to the LORD, saying,
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-“I will sing to the LORD, for he has triumphed gloriously;
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-the horse and his rider[28] he has thrown into the sea.
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-2The LORD is my strength and my song,
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-and he has become my salvation;
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-this is my God, and I will praise him,
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-my father's God, and I will exalt him.
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-3The LORD is a man of war;
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-the LORD is his name.
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-4“Pharaoh's chariots and his host he cast into the sea,
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-and his chosen officers were sunk in the Red Sea.
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-5The floods covered them;
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-they went down into the depths like a stone.
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-6Your right hand, O LORD, glorious in power,
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-your right hand, O LORD, shatters the enemy.
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-7In the greatness of your majesty you overthrow your adversaries;
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-you send out your fury; it consumes them like stubble.
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-8At the blast of your nostrils the waters piled up;
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-the floods stood up in a heap;
-
-the deeps congealed in the heart of the sea.
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-9The enemy said, ‘I will pursue, I will overtake,
-
-I will divide the spoil, my desire shall have its fill of them.
-
-I will draw my sword; my hand shall destroy them.’
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-10You blew with your wind; the sea covered them;
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-they sank like lead in the mighty waters.
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-11“Who is like you, O LORD, among the gods?
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-Who is like you, majestic in holiness,
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-awesome in glorious deeds, doing wonders?
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-12You stretched out your right hand;
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-the earth swallowed them.
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-13“You have led in your steadfast love the people whom you have redeemed;
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-you have guided them by your strength to your holy abode.
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-14The peoples have heard; they tremble;
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-pangs have seized the inhabitants of Philistia.
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-15Now are the chiefs of Edom dismayed;
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-trembling seizes the leaders of Moab;
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-all the inhabitants of Canaan have melted away.
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-16Terror and dread fall upon them;
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-because of the greatness of your arm, they are still as a stone,
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-till your people, O LORD, pass by,
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-till the people pass by whom you have purchased.
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-17You will bring them in and plant them on your own mountain,
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-the place, O LORD, which you have made for your abode,
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-the sanctuary, O Lord, which your hands have established.
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-18The LORD will reign forever and ever.”
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-19For when the horses of Pharaoh with his chariots and his horsemen went into the sea, the LORD brought back the waters of the sea upon them, but the people of Israel walked on dry ground in the midst of the sea. 20Then Miriam the prophetess, the sister of Aaron, took a tambourine in her hand, and all the women went out after her with tambourines and dancing. 21And Miriam sang to them:
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-“Sing to the LORD, for he has triumphed gloriously;
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-the horse and his rider he has thrown into the sea.”
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-Bitter Water Made Sweet
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-22Then Moses made Israel set out from the Red Sea, and they went into the wilderness of Shur. They went three days in the wilderness and found no water. 23When they came to Marah, they could not drink the water of Marah because it was bitter; therefore it was named Marah.[29] 24And the people grumbled against Moses, saying, “What shall we drink?” 25And he cried to the LORD, and the LORD showed him a log,[30] and he threw it into the water, and the water became sweet.
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-There the LORD[31] made for them a statute and a rule, and there he tested them, 26saying, “If you will diligently listen to the voice of the LORD your God, and do that which is right in his eyes, and give ear to his commandments and keep all his statutes, I will put none of the diseases on you that I put on the Egyptians, for I am the LORD, your healer.”
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-27Then they came to Elim, where there were twelve springs of water and seventy palm trees, and they encamped there by the water.
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-Bread from Heaven
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-16:1 They set out from Elim, and all the congregation of the people of Israel came to the wilderness of Sin, which is between Elim and Sinai, on the fifteenth day of the second month after they had departed from the land of Egypt. 2And the whole congregation of the people of Israel grumbled against Moses and Aaron in the wilderness, 3and the people of Israel said to them, “Would that we had died by the hand of the LORD in the land of Egypt, when we sat by the meat pots and ate bread to the full, for you have brought us out into this wilderness to kill this whole assembly with hunger.”
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-4Then the LORD said to Moses, “Behold, I am about to rain bread from heaven for you, and the people shall go out and gather a day's portion every day, that I may test them, whether they will walk in my law or not. 5On the sixth day, when they prepare what they bring in, it will be twice as much as they gather daily.” 6So Moses and Aaron said to all the people of Israel, “At evening you shall know that it was the LORD who brought you out of the land of Egypt, 7and in the morning you shall see the glory of the LORD, because he has heard your grumbling against the LORD. For what are we, that you grumble against us?” 8And Moses said, “When the LORD gives you in the evening meat to eat and in the morning bread to the full, because the LORD has heard your grumbling that you grumble against him—what are we? Your grumbling is not against us but against the LORD.”
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-9Then Moses said to Aaron, “Say to the whole congregation of the people of Israel, ‘Come near before the LORD, for he has heard your grumbling.’” 10And as soon as Aaron spoke to the whole congregation of the people of Israel, they looked toward the wilderness, and behold, the glory of the LORD appeared in the cloud. 11And the LORD said to Moses, 12“I have heard the grumbling of the people of Israel. Say to them, ‘At twilight you shall eat meat, and in the morning you shall be filled with bread. Then you shall know that I am the LORD your God.’”
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-13In the evening quail came up and covered the camp, and in the morning dew lay around the camp. 14And when the dew had gone up, there was on the face of the wilderness a fine, flake-like thing, fine as frost on the ground. 15When the people of Israel saw it, they said to one another, “What is it?”[32] For they did not know what it was. And Moses said to them, “It is the bread that the LORD has given you to eat. 16This is what the LORD has commanded: ‘Gather of it, each one of you, as much as he can eat. You shall each take an omer,[33] according to the number of the persons that each of you has in his tent.’” 17And the people of Israel did so. They gathered, some more, some less. 18But when they measured it with an omer, whoever gathered much had nothing left over, and whoever gathered little had no lack. Each of them gathered as much as he could eat. 19And Moses said to them, “Let no one leave any of it over till the morning.” 20But they did not listen to Moses. Some left part of it till the morning, and it bred worms and stank. And Moses was angry with them. 21Morning by morning they gathered it, each as much as he could eat; but when the sun grew hot, it melted.
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-22On the sixth day they gathered twice as much bread, two omers each. And when all the leaders of the congregation came and told Moses, 23he said to them, “This is what the LORD has commanded: ‘Tomorrow is a day of solemn rest, a holy Sabbath to the LORD; bake what you will bake and boil what you will boil, and all that is left over lay aside to be kept till the morning.’” 24So they laid it aside till the morning, as Moses commanded them, and it did not stink, and there were no worms in it. 25Moses said, “Eat it today, for today is a Sabbath to the LORD; today you will not find it in the field. 26Six days you shall gather it, but on the seventh day, which is a Sabbath, there will be none.”
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-27On the seventh day some of the people went out to gather, but they found none. 28And the LORD said to Moses, “How long will you refuse to keep my commandments and my laws? 29See! The LORD has given you the Sabbath; therefore on the sixth day he gives you bread for two days. Remain each of you in his place; let no one go out of his place on the seventh day.” 30So the people rested on the seventh day.
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-31Now the house of Israel called its name manna. It was like coriander seed, white, and the taste of it was like wafers made with honey. 32Moses said, “This is what the LORD has commanded: ‘Let an omer of it be kept throughout your generations, so that they may see the bread with which I fed you in the wilderness, when I brought you out of the land of Egypt.’” 33And Moses said to Aaron, “Take a jar, and put an omer of manna in it, and place it before the LORD to be kept throughout your generations.” 34As the LORD commanded Moses, so Aaron placed it before the testimony to be kept. 35The people of Israel ate the manna forty years, till they came to a habitable land. They ate the manna till they came to the border of the land of Canaan. 36(An omer is the tenth part of an ephah.)[34]
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-Water from the Rock
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-17:1 All the congregation of the people of Israel moved on from the wilderness of Sin by stages, according to the commandment of the LORD, and camped at Rephidim, but there was no water for the people to drink. 2Therefore the people quarreled with Moses and said, “Give us water to drink.” And Moses said to them, “Why do you quarrel with me? Why do you test the LORD?” 3But the people thirsted there for water, and the people grumbled against Moses and said, “Why did you bring us up out of Egypt, to kill us and our children and our livestock with thirst?” 4So Moses cried to the LORD, “What shall I do with this people? They are almost ready to stone me.” 5And the LORD said to Moses, “Pass on before the people, taking with you some of the elders of Israel, and take in your hand the staff with which you struck the Nile, and go. 6Behold, I will stand before you there on the rock at Horeb, and you shall strike the rock, and water shall come out of it, and the people will drink.” And Moses did so, in the sight of the elders of Israel. 7And he called the name of the place Massah[35] and Meribah,[36] because of the quarreling of the people of Israel, and because they tested the LORD by saying, “Is the LORD among us or not?”
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-
-
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-Israel Defeats Amalek
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-
-8Then Amalek came and fought with Israel at Rephidim. 9So Moses said to Joshua, “Choose for us men, and go out and fight with Amalek. Tomorrow I will stand on the top of the hill with the staff of God in my hand.” 10So Joshua did as Moses told him, and fought with Amalek, while Moses, Aaron, and Hur went up to the top of the hill. 11Whenever Moses held up his hand, Israel prevailed, and whenever he lowered his hand, Amalek prevailed. 12But Moses' hands grew weary, so they took a stone and put it under him, and he sat on it, while Aaron and Hur held up his hands, one on one side, and the other on the other side. So his hands were steady until the going down of the sun. 13And Joshua overwhelmed Amalek and his people with the sword.
-
-14Then the LORD said to Moses, “Write this as a memorial in a book and recite it in the ears of Joshua, that I will utterly blot out the memory of Amalek from under heaven.” 15And Moses built an altar and called the name of it, The LORD Is My Banner, 16saying, “A hand upon the throne[37] of the LORD! The LORD will have war with Amalek from generation to generation.”
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-
-
-
-
-Jethro's Advice
-
-
-18:1 Jethro, the priest of Midian, Moses' father-in-law, heard of all that God had done for Moses and for Israel his people, how the LORD had brought Israel out of Egypt. 2Now Jethro, Moses' father-in-law, had taken Zipporah, Moses' wife, after he had sent her home, 3along with her two sons. The name of the one was Gershom (for he said, “I have been a sojourner[38] in a foreign land”), 4and the name of the other, Eliezer[39] (for he said, “The God of my father was my help, and delivered me from the sword of Pharaoh”). 5Jethro, Moses' father-in-law, came with his sons and his wife to Moses in the wilderness where he was encamped at the mountain of God. 6And when he sent word to Moses, “I,[40] your father-in-law Jethro, am coming to you with your wife and her two sons with her,” 7Moses went out to meet his father-in-law and bowed down and kissed him. And they asked each other of their welfare and went into the tent. 8Then Moses told his father-in-law all that the LORD had done to Pharaoh and to the Egyptians for Israel's sake, all the hardship that had come upon them in the way, and how the LORD had delivered them. 9And Jethro rejoiced for all the good that the LORD had done to Israel, in that he had delivered them out of the hand of the Egyptians.
-
-10Jethro said, “Blessed be the LORD, who has delivered you out of the hand of the Egyptians and out of the hand of Pharaoh and has delivered the people from under the hand of the Egyptians. 11Now I know that the LORD is greater than all gods, because in this affair they dealt arrogantly with the people.”[41] 12And Jethro, Moses' father-in-law, brought a burnt offering and sacrifices to God; and Aaron came with all the elders of Israel to eat bread with Moses' father-in-law before God.
-
-13The next day Moses sat to judge the people, and the people stood around Moses from morning till evening. 14When Moses' father-in-law saw all that he was doing for the people, he said, “What is this that you are doing for the people? Why do you sit alone, and all the people stand around you from morning till evening?” 15And Moses said to his father-in-law, “Because the people come to me to inquire of God; 16when they have a dispute, they come to me and I decide between one person and another, and I make them know the statutes of God and his laws.” 17Moses' father-in-law said to him, “What you are doing is not good. 18You and the people with you will certainly wear yourselves out, for the thing is too heavy for you. You are not able to do it alone. 19Now obey my voice; I will give you advice, and God be with you! You shall represent the people before God and bring their cases to God, 20and you shall warn them about the statutes and the laws, and make them know the way in which they must walk and what they must do. 21Moreover, look for able men from all the people, men who fear God, who are trustworthy and hate a bribe, and place such men over the people as chiefs of thousands, of hundreds, of fifties, and of tens. 22And let them judge the people at all times. Every great matter they shall bring to you, but any small matter they shall decide themselves. So it will be easier for you, and they will bear the burden with you. 23If you do this, God will direct you, you will be able to endure, and all this people also will go to their place in peace.”
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-24So Moses listened to the voice of his father-in-law and did all that he had said. 25Moses chose able men out of all Israel and made them heads over the people, chiefs of thousands, of hundreds, of fifties, and of tens. 26And they judged the people at all times. Any hard case they brought to Moses, but any small matter they decided themselves. 27Then Moses let his father-in-law depart, and he went away to his own country.
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-
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-Israel at Mount Sinai
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-
-19:1 On the third new moon after the people of Israel had gone out of the land of Egypt, on that day they came into the wilderness of Sinai. 2They set out from Rephidim and came into the wilderness of Sinai, and they encamped in the wilderness. There Israel encamped before the mountain, 3while Moses went up to God. The LORD called to him out of the mountain, saying, “Thus you shall say to the house of Jacob, and tell the people of Israel: 4You yourselves have seen what I did to the Egyptians, and how I bore you on eagles' wings and brought you to myself. 5Now therefore, if you will indeed obey my voice and keep my covenant, you shall be my treasured possession among all peoples, for all the earth is mine; 6and you shall be to me a kingdom of priests and a holy nation. These are the words that you shall speak to the people of Israel.”
-
-7So Moses came and called the elders of the people and set before them all these words that the LORD had commanded him. 8All the people answered together and said, “All that the LORD has spoken we will do.” And Moses reported the words of the people to the LORD. 9And the LORD said to Moses, “Behold, I am coming to you in a thick cloud, that the people may hear when I speak with you, and may also believe you forever.”
-
-When Moses told the words of the people to the LORD, 10the LORD said to Moses, “Go to the people and consecrate them today and tomorrow, and let them wash their garments 11and be ready for the third day. For on the third day the LORD will come down on Mount Sinai in the sight of all the people. 12And you shall set limits for the people all around, saying, ‘Take care not to go up into the mountain or touch the edge of it. Whoever touches the mountain shall be put to death. 13No hand shall touch him, but he shall be stoned or shot;[42] whether beast or man, he shall not live.’ When the trumpet sounds a long blast, they shall come up to the mountain.” 14So Moses went down from the mountain to the people and consecrated the people; and they washed their garments. 15And he said to the people, “Be ready for the third day; do not go near a woman.”
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-16On the morning of the third day there were thunders and lightnings and a thick cloud on the mountain and a very loud trumpet blast, so that all the people in the camp trembled. 17Then Moses brought the people out of the camp to meet God, and they took their stand at the foot of the mountain. 18Now Mount Sinai was wrapped in smoke because the LORD had descended on it in fire. The smoke of it went up like the smoke of a kiln, and the whole mountain trembled greatly. 19And as the sound of the trumpet grew louder and louder, Moses spoke, and God answered him in thunder. 20The LORD came down on Mount Sinai, to the top of the mountain. And the LORD called Moses to the top of the mountain, and Moses went up.
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-21And the LORD said to Moses, “Go down and warn the people, lest they break through to the LORD to look and many of them perish. 22Also let the priests who come near to the LORD consecrate themselves, lest the LORD break out against them.” 23And Moses said to the LORD, “The people cannot come up to Mount Sinai, for you yourself warned us, saying, ‘Set limits around the mountain and consecrate it.’” 24And the LORD said to him, “Go down, and come up bringing Aaron with you. But do not let the priests and the people break through to come up to the LORD, lest he break out against them.” 25So Moses went down to the people and told them.
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-
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-The Ten Commandments
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-
-20:1 And God spoke all these words, saying,
-
-2“I am the LORD your God, who brought you out of the land of Egypt, out of the house of slavery.
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-3“You shall have no other gods before[43] me.
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-4“You shall not make for yourself a carved image, or any likeness of anything that is in heaven above, or that is in the earth beneath, or that is in the water under the earth. 5You shall not bow down to them or serve them, for I the LORD your God am a jealous God, visiting the iniquity of the fathers on the children to the third and the fourth generation of those who hate me, 6but showing steadfast love to thousands[44] of those who love me and keep my commandments.
-
-7“You shall not take the name of the LORD your God in vain, for the LORD will not hold him guiltless who takes his name in vain.
-
-8“Remember the Sabbath day, to keep it holy. 9Six days you shall labor, and do all your work, 10but the seventh day is a Sabbath to the LORD your God. On it you shall not do any work, you, or your son, or your daughter, your male servant, or your female servant, or your livestock, or the sojourner who is within your gates. 11For in six days the LORD made heaven and earth, the sea, and all that is in them, and rested on the seventh day. Therefore the LORD blessed the Sabbath day and made it holy.
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-12“Honor your father and your mother, that your days may be long in the land that the LORD your God is giving you.
-
-13“You shall not murder.[45]
-
-14“You shall not commit adultery.
-
-15“You shall not steal.
-
-16“You shall not bear false witness against your neighbor.
-
-17“You shall not covet your neighbor's house; you shall not covet your neighbor's wife, or his male servant, or his female servant, or his ox, or his donkey, or anything that is your neighbor's.”
-
-18Now when all the people saw the thunder and the flashes of lightning and the sound of the trumpet and the mountain smoking, the people were afraid[46] and trembled, and they stood far off 19and said to Moses, “You speak to us, and we will listen; but do not let God speak to us, lest we die.” 20Moses said to the people, “Do not fear, for God has come to test you, that the fear of him may be before you, that you may not sin.” 21The people stood far off, while Moses drew near to the thick darkness where God was.
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-
-
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-Laws About Altars
-
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-22And the LORD said to Moses, “Thus you shall say to the people of Israel: ‘You have seen for yourselves that I have talked with you from heaven. 23You shall not make gods of silver to be with me, nor shall you make for yourselves gods of gold. 24An altar of earth you shall make for me and sacrifice on it your burnt offerings and your peace offerings, your sheep and your oxen. In every place where I cause my name to be remembered I will come to you and bless you. 25If you make me an altar of stone, you shall not build it of hewn stones, for if you wield your tool on it you profane it. 26And you shall not go up by steps to my altar, that your nakedness be not exposed on it.’
-
-
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-Laws About Slaves
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-21:1 “Now these are the rules that you shall set before them. 2When you buy a Hebrew slave, he shall serve six years, and in the seventh he shall go out free, for nothing. 3If he comes in single, he shall go out single; if he comes in married, then his wife shall go out with him. 4If his master gives him a wife and she bears him sons or daughters, the wife and her children shall be her master's, and he shall go out alone. 5But if the slave plainly says, ‘I love my master, my wife, and my children; I will not go out free,’ 6then his master shall bring him to God, and he shall bring him to the door or the doorpost. And his master shall bore his ear through with an awl, and he shall be his slave forever.
-
-7“When a man sells his daughter as a slave, she shall not go out as the male slaves do. 8If she does not please her master, who has designated her[47] for himself, then he shall let her be redeemed. He shall have no right to sell her to a foreign people, since he has broken faith with her. 9If he designates her for his son, he shall deal with her as with a daughter. 10If he takes another wife to himself, he shall not diminish her food, her clothing, or her marital rights. 11And if he does not do these three things for her, she shall go out for nothing, without payment of money.
-
-12“Whoever strikes a man so that he dies shall be put to death. 13But if he did not lie in wait for him, but God let him fall into his hand, then I will appoint for you a place to which he may flee. 14But if a man willfully attacks another to kill him by cunning, you shall take him from my altar, that he may die.
-
-15“Whoever strikes his father or his mother shall be put to death.
-
-16“Whoever steals a man and sells him, and anyone found in possession of him, shall be put to death.
-
-17“Whoever curses[48] his father or his mother shall be put to death.
-
-18“When men quarrel and one strikes the other with a stone or with his fist and the man does not die but takes to his bed, 19then if the man rises again and walks outdoors with his staff, he who struck him shall be clear; only he shall pay for the loss of his time, and shall have him thoroughly healed.
-
-20“When a man strikes his slave, male or female, with a rod and the slave dies under his hand, he shall be avenged. 21But if the slave survives a day or two, he is not to be avenged, for the slave is his money.
-
-22“When men strive together and hit a pregnant woman, so that her children come out, but there is no harm, the one who hit her shall surely be fined, as the woman's husband shall impose on him, and he shall pay as the judges determine. 23But if there is harm,[49] then you shall pay life for life, 24eye for eye, tooth for tooth, hand for hand, foot for foot, 25burn for burn, wound for wound, stripe for stripe.
-
-26“When a man strikes the eye of his slave, male or female, and destroys it, he shall let the slave go free because of his eye. 27If he knocks out the tooth of his slave, male or female, he shall let the slave go free because of his tooth.
-
-28“When an ox gores a man or a woman to death, the ox shall be stoned, and its flesh shall not be eaten, but the owner of the ox shall not be liable. 29But if the ox has been accustomed to gore in the past, and its owner has been warned but has not kept it in, and it kills a man or a woman, the ox shall be stoned, and its owner also shall be put to death. 30If a ransom is imposed on him, then he shall give for the redemption of his life whatever is imposed on him. 31If it gores a man's son or daughter, he shall be dealt with according to this same rule. 32If the ox gores a slave, male or female, the owner shall give to their master thirty shekels[50] of silver, and the ox shall be stoned.
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-Laws About Restitution
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-33“When a man opens a pit, or when a man digs a pit and does not cover it, and an ox or a donkey falls into it, 34the owner of the pit shall make restoration. He shall give money to its owner, and the dead beast shall be his.
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-35“When one man's ox butts another's, so that it dies, then they shall sell the live ox and share its price, and the dead beast also they shall share. 36Or if it is known that the ox has been accustomed to gore in the past, and its owner has not kept it in, he shall repay ox for ox, and the dead beast shall be his.
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-22:1 [51] “If a man steals an ox or a sheep, and kills it or sells it, he shall repay five oxen for an ox, and four sheep for a sheep. 2[52] If a thief is found breaking in and is struck so that he dies, there shall be no bloodguilt for him, 3but if the sun has risen on him, there shall be bloodguilt for him. He shall surely pay. If he has nothing, then he shall be sold for his theft. 4If the stolen beast is found alive in his possession, whether it is an ox or a donkey or a sheep, he shall pay double.
-
-5“If a man causes a field or vineyard to be grazed over, or lets his beast loose and it feeds in another man's field, he shall make restitution from the best in his own field and in his own vineyard.
-
-6“If fire breaks out and catches in thorns so that the stacked grain or the standing grain or the field is consumed, he who started the fire shall make full restitution.
-
-7“If a man gives to his neighbor money or goods to keep safe, and it is stolen from the man's house, then, if the thief is found, he shall pay double. 8If the thief is not found, the owner of the house shall come near to God to show whether or not he has put his hand to his neighbor's property. 9For every breach of trust, whether it is for an ox, for a donkey, for a sheep, for a cloak, or for any kind of lost thing, of which one says, ‘This is it,’ the case of both parties shall come before God. The one whom God condemns shall pay double to his neighbor.
-
-10“If a man gives to his neighbor a donkey or an ox or a sheep or any beast to keep safe, and it dies or is injured or is driven away, without anyone seeing it, 11an oath by the LORD shall be between them both to see whether or not he has put his hand to his neighbor's property. The owner shall accept the oath, and he shall not make restitution. 12But if it is stolen from him, he shall make restitution to its owner. 13If it is torn by beasts, let him bring it as evidence. He shall not make restitution for what has been torn.
-
-14“If a man borrows anything of his neighbor, and it is injured or dies, the owner not being with it, he shall make full restitution. 15If the owner was with it, he shall not make restitution; if it was hired, it came for its hiring fee.[53]
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-
-
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-
-Laws About Social Justice
-
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-16“If a man seduces a virgin[54] who is not betrothed and lies with her, he shall give the bride-price[55] for her and make her his wife. 17If her father utterly refuses to give her to him, he shall pay money equal to the bride-price for virgins.
-
-18“You shall not permit a sorceress to live.
-
-19“Whoever lies with an animal shall be put to death.
-
-20“Whoever sacrifices to any god, other than the LORD alone, shall be devoted to destruction.[56]
-
-21“You shall not wrong a sojourner or oppress him, for you were sojourners in the land of Egypt. 22You shall not mistreat any widow or fatherless child. 23If you do mistreat them, and they cry out to me, I will surely hear their cry, 24and my wrath will burn, and I will kill you with the sword, and your wives shall become widows and your children fatherless.
-
-25“If you lend money to any of my people with you who is poor, you shall not be like a moneylender to him, and you shall not exact interest from him. 26If ever you take your neighbor's cloak in pledge, you shall return it to him before the sun goes down, 27for that is his only covering, and it is his cloak for his body; in what else shall he sleep? And if he cries to me, I will hear, for I am compassionate.
-
-28“You shall not revile God, nor curse a ruler of your people.
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-29“You shall not delay to offer from the fullness of your harvest and from the outflow of your presses. The firstborn of your sons you shall give to me. 30You shall do the same with your oxen and with your sheep: seven days it shall be with its mother; on the eighth day you shall give it to me.
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-31“You shall be consecrated to me. Therefore you shall not eat any flesh that is torn by beasts in the field; you shall throw it to the dogs.
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-23:1 “You shall not spread a false report. You shall not join hands with a wicked man to be a malicious witness. 2You shall not fall in with the many to do evil, nor shall you bear witness in a lawsuit, siding with the many, so as to pervert justice, 3nor shall you be partial to a poor man in his lawsuit.
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-4“If you meet your enemy's ox or his donkey going astray, you shall bring it back to him. 5If you see the donkey of one who hates you lying down under its burden, you shall refrain from leaving him with it; you shall rescue it with him.
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-6“You shall not pervert the justice due to your poor in his lawsuit. 7Keep far from a false charge, and do not kill the innocent and righteous, for I will not acquit the wicked. 8And you shall take no bribe, for a bribe blinds the clear-sighted and subverts the cause of those who are in the right.
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-9“You shall not oppress a sojourner. You know the heart of a sojourner, for you were sojourners in the land of Egypt.
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-Laws About the Sabbath and Festivals
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-10“For six years you shall sow your land and gather in its yield, 11but the seventh year you shall let it rest and lie fallow, that the poor of your people may eat; and what they leave the beasts of the field may eat. You shall do likewise with your vineyard, and with your olive orchard.
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-12“Six days you shall do your work, but on the seventh day you shall rest; that your ox and your donkey may have rest, and the son of your servant woman, and the alien, may be refreshed.
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-13“Pay attention to all that I have said to you, and make no mention of the names of other gods, nor let it be heard on your lips.
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-14“Three times in the year you shall keep a feast to me. 15You shall keep the Feast of Unleavened Bread. As I commanded you, you shall eat unleavened bread for seven days at the appointed time in the month of Abib, for in it you came out of Egypt. None shall appear before me empty-handed. 16You shall keep the Feast of Harvest, of the firstfruits of your labor, of what you sow in the field. You shall keep the Feast of Ingathering at the end of the year, when you gather in from the field the fruit of your labor. 17Three times in the year shall all your males appear before the Lord GOD.
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-18“You shall not offer the blood of my sacrifice with anything leavened, or let the fat of my feast remain until the morning.
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-19“The best of the firstfruits of your ground you shall bring into the house of the LORD your God.
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-“You shall not boil a young goat in its mother's milk.
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-Conquest of Canaan Promised
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-20“Behold, I send an angel before you to guard you on the way and to bring you to the place that I have prepared. 21Pay careful attention to him and obey his voice; do not rebel against him, for he will not pardon your transgression, for my name is in him.
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-22“But if you carefully obey his voice and do all that I say, then I will be an enemy to your enemies and an adversary to your adversaries.
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-23“When my angel goes before you and brings you to the Amorites and the Hittites and the Perizzites and the Canaanites, the Hivites and the Jebusites, and I blot them out, 24you shall not bow down to their gods nor serve them, nor do as they do, but you shall utterly overthrow them and break their pillars in pieces. 25You shall serve the LORD your God, and he[57] will bless your bread and your water, and I will take sickness away from among you. 26None shall miscarry or be barren in your land; I will fulfill the number of your days. 27I will send my terror before you and will throw into confusion all the people against whom you shall come, and I will make all your enemies turn their backs to you. 28And I will send hornets before you, which shall drive out the Hivites, the Canaanites, and the Hittites from before you. 29I will not drive them out from before you in one year, lest the land become desolate and the wild beasts multiply against you. 30Little by little I will drive them out from before you, until you have increased and possess the land. 31And I will set your border from the Red Sea to the Sea of the Philistines, and from the wilderness to the Euphrates, for I will give the inhabitants of the land into your hand, and you shall drive them out before you. 32You shall make no covenant with them and their gods. 33They shall not dwell in your land, lest they make you sin against me; for if you serve their gods, it will surely be a snare to you.”
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-The Covenant Confirmed
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-24:1 Then he said to Moses, “Come up to the LORD, you and Aaron, Nadab, and Abihu, and seventy of the elders of Israel, and worship from afar. 2Moses alone shall come near to the LORD, but the others shall not come near, and the people shall not come up with him.”
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-3Moses came and told the people all the words of the LORD and all the rules.[58] And all the people answered with one voice and said, “All the words that the LORD has spoken we will do.” 4And Moses wrote down all the words of the LORD. He rose early in the morning and built an altar at the foot of the mountain, and twelve pillars, according to the twelve tribes of Israel. 5And he sent young men of the people of Israel, who offered burnt offerings and sacrificed peace offerings of oxen to the LORD. 6And Moses took half of the blood and put it in basins, and half of the blood he threw against the altar. 7Then he took the Book of the Covenant and read it in the hearing of the people. And they said, “All that the LORD has spoken we will do, and we will be obedient.” 8And Moses took the blood and threw it on the people and said, “Behold the blood of the covenant that the LORD has made with you in accordance with all these words.”
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-9Then Moses and Aaron, Nadab, and Abihu, and seventy of the elders of Israel went up, 10and they saw the God of Israel. There was under his feet as it were a pavement of sapphire stone, like the very heaven for clearness. 11And he did not lay his hand on the chief men of the people of Israel; they beheld God, and ate and drank.
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-12The LORD said to Moses, “Come up to me on the mountain and wait there, that I may give you the tablets of stone, with the law and the commandment, which I have written for their instruction.” 13So Moses rose with his assistant Joshua, and Moses went up into the mountain of God. 14And he said to the elders, “Wait here for us until we return to you. And behold, Aaron and Hur are with you. Whoever has a dispute, let him go to them.”
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-15Then Moses went up on the mountain, and the cloud covered the mountain. 16The glory of the LORD dwelt on Mount Sinai, and the cloud covered it six days. And on the seventh day he called to Moses out of the midst of the cloud. 17Now the appearance of the glory of the LORD was like a devouring fire on the top of the mountain in the sight of the people of Israel. 18Moses entered the cloud and went up on the mountain. And Moses was on the mountain forty days and forty nights.
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-Contributions for the Sanctuary
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-25:1 The LORD said to Moses, 2“Speak to the people of Israel, that they take for me a contribution. From every man whose heart moves him you shall receive the contribution for me. 3And this is the contribution that you shall receive from them: gold, silver, and bronze, 4blue and purple and scarlet yarns and fine twined linen, goats' hair, 5tanned rams' skins, goatskins,[59] acacia wood, 6oil for the lamps, spices for the anointing oil and for the fragrant incense, 7onyx stones, and stones for setting, for the ephod and for the breastpiece. 8And let them make me a sanctuary, that I may dwell in their midst. 9Exactly as I show you concerning the pattern of the tabernacle, and of all its furniture, so you shall make it.
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-The Ark of the Covenant
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-10“They shall make an ark of acacia wood. Two cubits[60] and a half shall be its length, a cubit and a half its breadth, and a cubit and a half its height. 11You shall overlay it with pure gold, inside and outside shall you overlay it, and you shall make on it a molding of gold around it. 12You shall cast four rings of gold for it and put them on its four feet, two rings on the one side of it, and two rings on the other side of it. 13You shall make poles of acacia wood and overlay them with gold. 14And you shall put the poles into the rings on the sides of the ark to carry the ark by them. 15The poles shall remain in the rings of the ark; they shall not be taken from it. 16And you shall put into the ark the testimony that I shall give you.
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-17“You shall make a mercy seat[61] of pure gold. Two cubits and a half shall be its length, and a cubit and a half its breadth. 18And you shall make two cherubim of gold; of hammered work shall you make them, on the two ends of the mercy seat. 19Make one cherub on the one end, and one cherub on the other end. Of one piece with the mercy seat shall you make the cherubim on its two ends. 20The cherubim shall spread out their wings above, overshadowing the mercy seat with their wings, their faces one to another; toward the mercy seat shall the faces of the cherubim be. 21And you shall put the mercy seat on the top of the ark, and in the ark you shall put the testimony that I shall give you. 22There I will meet with you, and from above the mercy seat, from between the two cherubim that are on the ark of the testimony, I will speak with you about all that I will give you in commandment for the people of Israel.
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-The Table for Bread
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-23“You shall make a table of acacia wood. Two cubits shall be its length, a cubit its breadth, and a cubit and a half its height. 24You shall overlay it with pure gold and make a molding of gold around it. 25And you shall make a rim around it a handbreadth[62] wide, and a molding of gold around the rim. 26And you shall make for it four rings of gold, and fasten the rings to the four corners at its four legs. 27Close to the frame the rings shall lie, as holders for the poles to carry the table. 28You shall make the poles of acacia wood, and overlay them with gold, and the table shall be carried with these. 29And you shall make its plates and dishes for incense, and its flagons and bowls with which to pour drink offerings; you shall make them of pure gold. 30And you shall set the bread of the Presence on the table before me regularly.
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-The Golden Lampstand
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-31“You shall make a lampstand of pure gold. The lampstand shall be made of hammered work: its base, its stem, its cups, its calyxes, and its flowers shall be of one piece with it. 32And there shall be six branches going out of its sides, three branches of the lampstand out of one side of it and three branches of the lampstand out of the other side of it; 33three cups made like almond blossoms, each with calyx and flower, on one branch, and three cups made like almond blossoms, each with calyx and flower, on the other branch—so for the six branches going out of the lampstand. 34And on the lampstand itself there shall be four cups made like almond blossoms, with their calyxes and flowers, 35and a calyx of one piece with it under each pair of the six branches going out from the lampstand. 36Their calyxes and their branches shall be of one piece with it, the whole of it a single piece of hammered work of pure gold. 37You shall make seven lamps for it. And the lamps shall be set up so as to give light on the space in front of it. 38Its tongs and their trays shall be of pure gold. 39It shall be made, with all these utensils, out of a talent[63] of pure gold. 40And see that you make them after the pattern for them, which is being shown you on the mountain.
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-The Tabernacle
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-26:1 “Moreover, you shall make the tabernacle with ten curtains of fine twined linen and blue and purple and scarlet yarns; you shall make them with cherubim skillfully worked into them. 2The length of each curtain shall be twenty-eight cubits,[64] and the breadth of each curtain four cubits; all the curtains shall be the same size. 3Five curtains shall be coupled to one another, and the other five curtains shall be coupled to one another. 4And you shall make loops of blue on the edge of the outermost curtain in the first set. Likewise you shall make loops on the edge of the outermost curtain in the second set. 5Fifty loops you shall make on the one curtain, and fifty loops you shall make on the edge of the curtain that is in the second set; the loops shall be opposite one another. 6And you shall make fifty clasps of gold, and couple the curtains one to the other with the clasps, so that the tabernacle may be a single whole.
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-7“You shall also make curtains of goats' hair for a tent over the tabernacle; eleven curtains shall you make. 8The length of each curtain shall be thirty cubits, and the breadth of each curtain four cubits. The eleven curtains shall be the same size. 9You shall couple five curtains by themselves, and six curtains by themselves, and the sixth curtain you shall double over at the front of the tent. 10You shall make fifty loops on the edge of the curtain that is outermost in one set, and fifty loops on the edge of the curtain that is outermost in the second set.
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-11“You shall make fifty clasps of bronze, and put the clasps into the loops, and couple the tent together that it may be a single whole. 12And the part that remains of the curtains of the tent, the half curtain that remains, shall hang over the back of the tabernacle. 13And the extra that remains in the length of the curtains, the cubit on the one side, and the cubit on the other side, shall hang over the sides of the tabernacle, on this side and that side, to cover it. 14And you shall make for the tent a covering of tanned rams' skins and a covering of goatskins on top.
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-15“You shall make upright frames for the tabernacle of acacia wood. 16Ten cubits shall be the length of a frame, and a cubit and a half the breadth of each frame. 17There shall be two tenons in each frame, for fitting together. So shall you do for all the frames of the tabernacle. 18You shall make the frames for the tabernacle: twenty frames for the south side; 19and forty bases of silver you shall make under the twenty frames, two bases under one frame for its two tenons, and two bases under the next frame for its two tenons; 20and for the second side of the tabernacle, on the north side twenty frames, 21and their forty bases of silver, two bases under one frame, and two bases under the next frame. 22And for the rear of the tabernacle westward you shall make six frames. 23And you shall make two frames for corners of the tabernacle in the rear; 24they shall be separate beneath, but joined at the top, at the first ring. Thus shall it be with both of them; they shall form the two corners. 25And there shall be eight frames, with their bases of silver, sixteen bases; two bases under one frame, and two bases under another frame.
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-26“You shall make bars of acacia wood, five for the frames of the one side of the tabernacle, 27and five bars for the frames of the other side of the tabernacle, and five bars for the frames of the side of the tabernacle at the rear westward. 28The middle bar, halfway up the frames, shall run from end to end. 29You shall overlay the frames with gold and shall make their rings of gold for holders for the bars, and you shall overlay the bars with gold. 30Then you shall erect the tabernacle according to the plan for it that you were shown on the mountain.
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-31“And you shall make a veil of blue and purple and scarlet yarns and fine twined linen. It shall be made with cherubim skillfully worked into it. 32And you shall hang it on four pillars of acacia overlaid with gold, with hooks of gold, on four bases of silver. 33And you shall hang the veil from the clasps, and bring the ark of the testimony in there within the veil. And the veil shall separate for you the Holy Place from the Most Holy. 34You shall put the mercy seat on the ark of the testimony in the Most Holy Place. 35And you shall set the table outside the veil, and the lampstand on the south side of the tabernacle opposite the table, and you shall put the table on the north side.
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-36“You shall make a screen for the entrance of the tent, of blue and purple and scarlet yarns and fine twined linen, embroidered with needlework. 37And you shall make for the screen five pillars of acacia, and overlay them with gold. Their hooks shall be of gold, and you shall cast five bases of bronze for them.
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-The Bronze Altar
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-27:1 “You shall make the altar of acacia wood, five cubits[65] long and five cubits broad. The altar shall be square, and its height shall be three cubits. 2And you shall make horns for it on its four corners; its horns shall be of one piece with it, and you shall overlay it with bronze. 3You shall make pots for it to receive its ashes, and shovels and basins and forks and fire pans. You shall make all its utensils of bronze. 4You shall also make for it a grating, a network of bronze, and on the net you shall make four bronze rings at its four corners. 5And you shall set it under the ledge of the altar so that the net extends halfway down the altar. 6And you shall make poles for the altar, poles of acacia wood, and overlay them with bronze. 7And the poles shall be put through the rings, so that the poles are on the two sides of the altar when it is carried. 8You shall make it hollow, with boards. As it has been shown you on the mountain, so shall it be made.
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-The Court of the Tabernacle
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-9“You shall make the court of the tabernacle. On the south side the court shall have hangings of fine twined linen a hundred cubits long for one side. 10Its twenty pillars and their twenty bases shall be of bronze, but the hooks of the pillars and their fillets shall be of silver. 11And likewise for its length on the north side there shall be hangings a hundred cubits long, its pillars twenty and their bases twenty, of bronze, but the hooks of the pillars and their fillets shall be of silver. 12And for the breadth of the court on the west side there shall be hangings for fifty cubits, with ten pillars and ten bases. 13The breadth of the court on the front to the east shall be fifty cubits. 14The hangings for the one side of the gate shall be fifteen cubits, with their three pillars and three bases. 15On the other side the hangings shall be fifteen cubits, with their three pillars and three bases. 16For the gate of the court there shall be a screen twenty cubits long, of blue and purple and scarlet yarns and fine twined linen, embroidered with needlework. It shall have four pillars and with them four bases. 17All the pillars around the court shall be filleted with silver. Their hooks shall be of silver, and their bases of bronze. 18The length of the court shall be a hundred cubits, the breadth fifty, and the height five cubits, with hangings of fine twined linen and bases of bronze. 19All the utensils of the tabernacle for every use, and all its pegs and all the pegs of the court, shall be of bronze.
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-Oil for the Lamp
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-20“You shall command the people of Israel that they bring to you pure beaten olive oil for the light, that a lamp may regularly be set up to burn. 21In the tent of meeting, outside the veil that is before the testimony, Aaron and his sons shall tend it from evening to morning before the LORD. It shall be a statute forever to be observed throughout their generations by the people of Israel.
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-The Priests' Garments
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-28:1 “Then bring near to you Aaron your brother, and his sons with him, from among the people of Israel, to serve me as priests—Aaron and Aaron's sons, Nadab and Abihu, Eleazar and Ithamar. 2And you shall make holy garments for Aaron your brother, for glory and for beauty. 3You shall speak to all the skillful, whom I have filled with a spirit of skill, that they make Aaron's garments to consecrate him for my priesthood. 4These are the garments that they shall make: a breastpiece, an ephod, a robe, a coat of checker work, a turban, and a sash. They shall make holy garments for Aaron your brother and his sons to serve me as priests. 5They shall receive gold, blue and purple and scarlet yarns, and fine twined linen.
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-6“And they shall make the ephod of gold, of blue and purple and scarlet yarns, and of fine twined linen, skillfully worked. 7It shall have two shoulder pieces attached to its two edges, so that it may be joined together. 8And the skillfully woven band on it shall be made like it and be of one piece with it, of gold, blue and purple and scarlet yarns, and fine twined linen. 9You shall take two onyx stones, and engrave on them the names of the sons of Israel, 10six of their names on the one stone, and the names of the remaining six on the other stone, in the order of their birth. 11As a jeweler engraves signets, so shall you engrave the two stones with the names of the sons of Israel. You shall enclose them in settings of gold filigree. 12And you shall set the two stones on the shoulder pieces of the ephod, as stones of remembrance for the sons of Israel. And Aaron shall bear their names before the LORD on his two shoulders for remembrance. 13You shall make settings of gold filigree, 14and two chains of pure gold, twisted like cords; and you shall attach the corded chains to the settings.
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-15“You shall make a breastpiece of judgment, in skilled work. In the style of the ephod you shall make it—of gold, blue and purple and scarlet yarns, and fine twined linen shall you make it. 16It shall be square and doubled, a span[66] its length and a span its breadth. 17You shall set in it four rows of stones. A row of sardius,[67] topaz, and carbuncle shall be the first row; 18and the second row an emerald, a sapphire, and a diamond; 19and the third row a jacinth, an agate, and an amethyst; 20and the fourth row a beryl, an onyx, and a jasper. They shall be set in gold filigree. 21There shall be twelve stones with their names according to the names of the sons of Israel. They shall be like signets, each engraved with its name, for the twelve tribes. 22You shall make for the breastpiece twisted chains like cords, of pure gold. 23And you shall make for the breastpiece two rings of gold, and put the two rings on the two edges of the breastpiece. 24And you shall put the two cords of gold in the two rings at the edges of the breastpiece. 25The two ends of the two cords you shall attach to the two settings of filigree, and so attach it in front to the shoulder pieces of the ephod. 26You shall make two rings of gold, and put them at the two ends of the breastpiece, on its inside edge next to the ephod. 27And you shall make two rings of gold, and attach them in front to the lower part of the two shoulder pieces of the ephod, at its seam above the skillfully woven band of the ephod. 28And they shall bind the breastpiece by its rings to the rings of the ephod with a lace of blue, so that it may lie on the skillfully woven band of the ephod, so that the breastpiece shall not come loose from the ephod. 29So Aaron shall bear the names of the sons of Israel in the breastpiece of judgment on his heart, when he goes into the Holy Place, to bring them to regular remembrance before the LORD. 30And in the breastpiece of judgment you shall put the Urim and the Thummim, and they shall be on Aaron's heart, when he goes in before the LORD. Thus Aaron shall bear the judgment of the people of Israel on his heart before the LORD regularly.
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-31“You shall make the robe of the ephod all of blue. 32It shall have an opening for the head in the middle of it, with a woven binding around the opening, like the opening in a garment,[68] so that it may not tear. 33On its hem you shall make pomegranates of blue and purple and scarlet yarns, around its hem, with bells of gold between them, 34a golden bell and a pomegranate, a golden bell and a pomegranate, around the hem of the robe. 35And it shall be on Aaron when he ministers, and its sound shall be heard when he goes into the Holy Place before the LORD, and when he comes out, so that he does not die.
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-36“You shall make a plate of pure gold and engrave on it, like the engraving of a signet, ‘Holy to the LORD.’ 37And you shall fasten it on the turban by a cord of blue. It shall be on the front of the turban. 38It shall be on Aaron's forehead, and Aaron shall bear any guilt from the holy things that the people of Israel consecrate as their holy gifts. It shall regularly be on his forehead, that they may be accepted before the LORD.
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-39“You shall weave the coat in checker work of fine linen, and you shall make a turban of fine linen, and you shall make a sash embroidered with needlework.
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-40“For Aaron's sons you shall make coats and sashes and caps. You shall make them for glory and beauty. 41And you shall put them on Aaron your brother, and on his sons with him, and shall anoint them and ordain them and consecrate them, that they may serve me as priests. 42You shall make for them linen undergarments to cover their naked flesh. They shall reach from the hips to the thighs; 43and they shall be on Aaron and on his sons when they go into the tent of meeting or when they come near the altar to minister in the Holy Place, lest they bear guilt and die. This shall be a statute forever for him and for his offspring after him.
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-Consecration of the Priests
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-29:1 “Now this is what you shall do to them to consecrate them, that they may serve me as priests. Take one bull of the herd and two rams without blemish, 2and unleavened bread, unleavened cakes mixed with oil, and unleavened wafers smeared with oil. You shall make them of fine wheat flour. 3You shall put them in one basket and bring them in the basket, and bring the bull and the two rams. 4You shall bring Aaron and his sons to the entrance of the tent of meeting and wash them with water. 5Then you shall take the garments, and put on Aaron the coat and the robe of the ephod, and the ephod, and the breastpiece, and gird him with the skillfully woven band of the ephod. 6And you shall set the turban on his head and put the holy crown on the turban. 7You shall take the anointing oil and pour it on his head and anoint him. 8Then you shall bring his sons and put coats on them, 9and you shall gird Aaron and his sons with sashes and bind caps on them. And the priesthood shall be theirs by a statute forever. Thus you shall ordain Aaron and his sons.
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-10“Then you shall bring the bull before the tent of meeting. Aaron and his sons shall lay their hands on the head of the bull. 11Then you shall kill the bull before the LORD at the entrance of the tent of meeting, 12and shall take part of the blood of the bull and put it on the horns of the altar with your finger, and the rest of[69] the blood you shall pour out at the base of the altar. 13And you shall take all the fat that covers the entrails, and the long lobe of the liver, and the two kidneys with the fat that is on them, and burn them on the altar. 14But the flesh of the bull and its skin and its dung you shall burn with fire outside the camp; it is a sin offering.
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-15“Then you shall take one of the rams, and Aaron and his sons shall lay their hands on the head of the ram, 16and you shall kill the ram and shall take its blood and throw it against the sides of the altar. 17Then you shall cut the ram into pieces, and wash its entrails and its legs, and put them with its pieces and its head, 18and burn the whole ram on the altar. It is a burnt offering to the LORD. It is a pleasing aroma, a food offering[70] to the LORD.
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-19“You shall take the other ram, and Aaron and his sons shall lay their hands on the head of the ram, 20and you shall kill the ram and take part of its blood and put it on the tip of the right ear of Aaron and on the tips of the right ears of his sons, and on the thumbs of their right hands and on the great toes of their right feet, and throw the rest of the blood against the sides of the altar. 21Then you shall take part of the blood that is on the altar, and of the anointing oil, and sprinkle it on Aaron and his garments, and on his sons and his sons' garments with him. He and his garments shall be holy, and his sons and his sons' garments with him.
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-22“You shall also take the fat from the ram and the fat tail and the fat that covers the entrails, and the long lobe of the liver and the two kidneys with the fat that is on them, and the right thigh (for it is a ram of ordination), 23and one loaf of bread and one cake of bread made with oil, and one wafer out of the basket of unleavened bread that is before the LORD. 24You shall put all these on the palms of Aaron and on the palms of his sons, and wave them for a wave offering before the LORD. 25Then you shall take them from their hands and burn them on the altar on top of the burnt offering, as a pleasing aroma before the LORD. It is a food offering to the LORD.
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-26“You shall take the breast of the ram of Aaron's ordination and wave it for a wave offering before the LORD, and it shall be your portion. 27And you shall consecrate the breast of the wave offering that is waved and the thigh of the priests' portion that is contributed from the ram of ordination, from what was Aaron's and his sons'. 28It shall be for Aaron and his sons as a perpetual due from the people of Israel, for it is a contribution. It shall be a contribution from the people of Israel from their peace offerings, their contribution to the LORD.
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-29“The holy garments of Aaron shall be for his sons after him; they shall be anointed in them and ordained in them. 30The son who succeeds him as priest, who comes into the tent of meeting to minister in the Holy Place, shall wear them seven days.
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-31“You shall take the ram of ordination and boil its flesh in a holy place. 32And Aaron and his sons shall eat the flesh of the ram and the bread that is in the basket in the entrance of the tent of meeting. 33They shall eat those things with which atonement was made at their ordination and consecration, but an outsider shall not eat of them, because they are holy. 34And if any of the flesh for the ordination or of the bread remain until the morning, then you shall burn the remainder with fire. It shall not be eaten, because it is holy.
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-35“Thus you shall do to Aaron and to his sons, according to all that I have commanded you. Through seven days shall you ordain them, 36and every day you shall offer a bull as a sin offering for atonement. Also you shall purify the altar, when you make atonement for it, and shall anoint it to consecrate it. 37Seven days you shall make atonement for the altar and consecrate it, and the altar shall be most holy. Whatever touches the altar shall become holy.
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-38“Now this is what you shall offer on the altar: two lambs a year old day by day regularly. 39One lamb you shall offer in the morning, and the other lamb you shall offer at twilight. 40And with the first lamb a tenth seah[71] of fine flour mingled with a fourth of a hin[72] of beaten oil, and a fourth of a hin of wine for a drink offering. 41The other lamb you shall offer at twilight, and shall offer with it a grain offering and its drink offering, as in the morning, for a pleasing aroma, a food offering to the LORD. 42It shall be a regular burnt offering throughout your generations at the entrance of the tent of meeting before the LORD, where I will meet with you, to speak to you there. 43There I will meet with the people of Israel, and it shall be sanctified by my glory. 44I will consecrate the tent of meeting and the altar. Aaron also and his sons I will consecrate to serve me as priests. 45I will dwell among the people of Israel and will be their God. 46And they shall know that I am the LORD their God, who brought them out of the land of Egypt that I might dwell among them. I am the LORD their God.
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-The Altar of Incense
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-30:1 “You shall make an altar on which to burn incense; you shall make it of acacia wood. 2A cubit[73] shall be its length, and a cubit its breadth. It shall be square, and two cubits shall be its height. Its horns shall be of one piece with it. 3You shall overlay it with pure gold, its top and around its sides and its horns. And you shall make a molding of gold around it. 4And you shall make two golden rings for it. Under its molding on two opposite sides of it you shall make them, and they shall be holders for poles with which to carry it. 5You shall make the poles of acacia wood and overlay them with gold. 6And you shall put it in front of the veil that is above the ark of the testimony, in front of the mercy seat that is above the testimony, where I will meet with you. 7And Aaron shall burn fragrant incense on it. Every morning when he dresses the lamps he shall burn it, 8and when Aaron sets up the lamps at twilight, he shall burn it, a regular incense offering before the LORD throughout your generations. 9You shall not offer unauthorized incense on it, or a burnt offering, or a grain offering, and you shall not pour a drink offering on it. 10Aaron shall make atonement on its horns once a year. With the blood of the sin offering of atonement he shall make atonement for it once in the year throughout your generations. It is most holy to the LORD.”
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-The Census Tax
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-11The LORD said to Moses, 12“When you take the census of the people of Israel, then each shall give a ransom for his life to the LORD when you number them, that there be no plague among them when you number them. 13Each one who is numbered in the census shall give this: half a shekel[74] according to the shekel of the sanctuary (the shekel is twenty gerahs),[75] half a shekel as an offering to the LORD. 14Everyone who is numbered in the census, from twenty years old and upward, shall give the LORD's offering. 15The rich shall not give more, and the poor shall not give less, than the half shekel, when you give the LORD's offering to make atonement for your lives. 16You shall take the atonement money from the people of Israel and shall give it for the service of the tent of meeting, that it may bring the people of Israel to remembrance before the LORD, so as to make atonement for your lives.”
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-The Bronze Basin
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-17The LORD said to Moses, 18“You shall also make a basin of bronze, with its stand of bronze, for washing. You shall put it between the tent of meeting and the altar, and you shall put water in it, 19with which Aaron and his sons shall wash their hands and their feet. 20When they go into the tent of meeting, or when they come near the altar to minister, to burn a food offering[76] to the LORD, they shall wash with water, so that they may not die. 21They shall wash their hands and their feet, so that they may not die. It shall be a statute forever to them, even to him and to his offspring throughout their generations.”
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-The Anointing Oil and Incense
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-22The LORD said to Moses, 23“Take the finest spices: of liquid myrrh 500 shekels, and of sweet-smelling cinnamon half as much, that is, 250, and 250 of aromatic cane, 24and 500 of cassia, according to the shekel of the sanctuary, and a hin[77] of olive oil. 25And you shall make of these a sacred anointing oil blended as by the perfumer; it shall be a holy anointing oil. 26With it you shall anoint the tent of meeting and the ark of the testimony, 27and the table and all its utensils, and the lampstand and its utensils, and the altar of incense, 28and the altar of burnt offering with all its utensils and the basin and its stand. 29You shall consecrate them, that they may be most holy. Whatever touches them will become holy. 30You shall anoint Aaron and his sons, and consecrate them, that they may serve me as priests. 31And you shall say to the people of Israel, ‘This shall be my holy anointing oil throughout your generations. 32It shall not be poured on the body of an ordinary person, and you shall make no other like it in composition. It is holy, and it shall be holy to you. 33Whoever compounds any like it or whoever puts any of it on an outsider shall be cut off from his people.’”
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-34The LORD said to Moses, “Take sweet spices, stacte, and onycha, and galbanum, sweet spices with pure frankincense (of each shall there be an equal part), 35and make an incense blended as by the perfumer, seasoned with salt, pure and holy. 36You shall beat some of it very small, and put part of it before the testimony in the tent of meeting where I shall meet with you. It shall be most holy for you. 37And the incense that you shall make according to its composition, you shall not make for yourselves. It shall be for you holy to the LORD. 38Whoever makes any like it to use as perfume shall be cut off from his people.”
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-Oholiab and Bezalel
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-31:1 The LORD said to Moses, 2“See, I have called by name Bezalel the son of Uri, son of Hur, of the tribe of Judah, 3and I have filled him with the Spirit of God, with ability and intelligence, with knowledge and all craftsmanship, 4to devise artistic designs, to work in gold, silver, and bronze, 5in cutting stones for setting, and in carving wood, to work in every craft. 6And behold, I have appointed with him Oholiab, the son of Ahisamach, of the tribe of Dan. And I have given to all able men ability, that they may make all that I have commanded you: 7the tent of meeting, and the ark of the testimony, and the mercy seat that is on it, and all the furnishings of the tent, 8the table and its utensils, and the pure lampstand with all its utensils, and the altar of incense, 9and the altar of burnt offering with all its utensils, and the basin and its stand, 10and the finely worked garments,[78] the holy garments for Aaron the priest and the garments of his sons, for their service as priests, 11and the anointing oil and the fragrant incense for the Holy Place. According to all that I have commanded you, they shall do.”
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-The Sabbath
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-12And the LORD said to Moses, 13“You are to speak to the people of Israel and say, ‘Above all you shall keep my Sabbaths, for this is a sign between me and you throughout your generations, that you may know that I, the LORD, sanctify you. 14You shall keep the Sabbath, because it is holy for you. Everyone who profanes it shall be put to death. Whoever does any work on it, that soul shall be cut off from among his people. 15Six days shall work be done, but the seventh day is a Sabbath of solemn rest, holy to the LORD. Whoever does any work on the Sabbath day shall be put to death. 16Therefore the people of Israel shall keep the Sabbath, observing the Sabbath throughout their generations, as a covenant forever. 17It is a sign forever between me and the people of Israel that in six days the LORD made heaven and earth, and on the seventh day he rested and was refreshed.’”
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-18And he gave to Moses, when he had finished speaking with him on Mount Sinai, the two tablets of the testimony, tablets of stone, written with the finger of God.
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-The Golden Calf
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-32:1 When the people saw that Moses delayed to come down from the mountain, the people gathered themselves together to Aaron and said to him, “Up, make us gods who shall go before us. As for this Moses, the man who brought us up out of the land of Egypt, we do not know what has become of him.” 2So Aaron said to them, “Take off the rings of gold that are in the ears of your wives, your sons, and your daughters, and bring them to me.” 3So all the people took off the rings of gold that were in their ears and brought them to Aaron. 4And he received the gold from their hand and fashioned it with a graving tool and made a golden[79] calf. And they said, “These are your gods, O Israel, who brought you up out of the land of Egypt!” 5When Aaron saw this, he built an altar before it. And Aaron made proclamation and said, “Tomorrow shall be a feast to the LORD.” 6And they rose up early the next day and offered burnt offerings and brought peace offerings. And the people sat down to eat and drink and rose up to play.
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-7And the LORD said to Moses, “Go down, for your people, whom you brought up out of the land of Egypt, have corrupted themselves. 8They have turned aside quickly out of the way that I commanded them. They have made for themselves a golden calf and have worshiped it and sacrificed to it and said, ‘These are your gods, O Israel, who brought you up out of the land of Egypt!’” 9And the LORD said to Moses, “I have seen this people, and behold, it is a stiff-necked people. 10Now therefore let me alone, that my wrath may burn hot against them and I may consume them, in order that I may make a great nation of you.”
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-11But Moses implored the LORD his God and said, “O LORD, why does your wrath burn hot against your people, whom you have brought out of the land of Egypt with great power and with a mighty hand? 12Why should the Egyptians say, ‘With evil intent did he bring them out, to kill them in the mountains and to consume them from the face of the earth’? Turn from your burning anger and relent from this disaster against your people. 13Remember Abraham, Isaac, and Israel, your servants, to whom you swore by your own self, and said to them, ‘I will multiply your offspring as the stars of heaven, and all this land that I have promised I will give to your offspring, and they shall inherit it forever.’” 14And the LORD relented from the disaster that he had spoken of bringing on his people.
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-15Then Moses turned and went down from the mountain with the two tablets of the testimony in his hand, tablets that were written on both sides; on the front and on the back they were written. 16The tablets were the work of God, and the writing was the writing of God, engraved on the tablets. 17When Joshua heard the noise of the people as they shouted, he said to Moses, “There is a noise of war in the camp.” 18But he said, “It is not the sound of shouting for victory, or the sound of the cry of defeat, but the sound of singing that I hear.” 19And as soon as he came near the camp and saw the calf and the dancing, Moses' anger burned hot, and he threw the tablets out of his hands and broke them at the foot of the mountain. 20He took the calf that they had made and burned it with fire and ground it to powder and scattered it on the water and made the people of Israel drink it.
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-21And Moses said to Aaron, “What did this people do to you that you have brought such a great sin upon them?” 22And Aaron said, “Let not the anger of my lord burn hot. You know the people, that they are set on evil. 23For they said to me, ‘Make us gods who shall go before us. As for this Moses, the man who brought us up out of the land of Egypt, we do not know what has become of him.’ 24So I said to them, ‘Let any who have gold take it off.’ So they gave it to me, and I threw it into the fire, and out came this calf.”
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-25And when Moses saw that the people had broken loose (for Aaron had let them break loose, to the derision of their enemies), 26then Moses stood in the gate of the camp and said, “Who is on the LORD's side? Come to me.” And all the sons of Levi gathered around him. 27And he said to them, “Thus says the LORD God of Israel, ‘Put your sword on your side each of you, and go to and fro from gate to gate throughout the camp, and each of you kill his brother and his companion and his neighbor.’” 28And the sons of Levi did according to the word of Moses. And that day about three thousand men of the people fell. 29And Moses said, “Today you have been ordained for the service of the LORD, each one at the cost of his son and of his brother, so that he might bestow a blessing upon you this day.”
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-30The next day Moses said to the people, “You have sinned a great sin. And now I will go up to the LORD; perhaps I can make atonement for your sin.” 31So Moses returned to the LORD and said, “Alas, this people has sinned a great sin. They have made for themselves gods of gold. 32But now, if you will forgive their sin—but if not, please blot me out of your book that you have written.” 33But the LORD said to Moses, “Whoever has sinned against me, I will blot out of my book. 34But now go, lead the people to the place about which I have spoken to you; behold, my angel shall go before you. Nevertheless, in the day when I visit, I will visit their sin upon them.”
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-35Then the LORD sent a plague on the people, because they made the calf, the one that Aaron made.
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-The Command to Leave Sinai
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-33:1 The LORD said to Moses, “Depart; go up from here, you and the people whom you have brought up out of the land of Egypt, to the land of which I swore to Abraham, Isaac, and Jacob, saying, ‘To your offspring I will give it.’ 2I will send an angel before you, and I will drive out the Canaanites, the Amorites, the Hittites, the Perizzites, the Hivites, and the Jebusites. 3Go up to a land flowing with milk and honey; but I will not go up among you, lest I consume you on the way, for you are a stiff-necked people.”
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-4When the people heard this disastrous word, they mourned, and no one put on his ornaments. 5For the LORD had said to Moses, “Say to the people of Israel, ‘You are a stiff-necked people; if for a single moment I should go up among you, I would consume you. So now take off your ornaments, that I may know what to do with you.’” 6Therefore the people of Israel stripped themselves of their ornaments, from Mount Horeb onward.
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-The Tent of Meeting
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-7Now Moses used to take the tent and pitch it outside the camp, far off from the camp, and he called it the tent of meeting. And everyone who sought the LORD would go out to the tent of meeting, which was outside the camp. 8Whenever Moses went out to the tent, all the people would rise up, and each would stand at his tent door, and watch Moses until he had gone into the tent. 9When Moses entered the tent, the pillar of cloud would descend and stand at the entrance of the tent, and the LORD[80] would speak with Moses. 10And when all the people saw the pillar of cloud standing at the entrance of the tent, all the people would rise up and worship, each at his tent door. 11Thus the LORD used to speak to Moses face to face, as a man speaks to his friend. When Moses turned again into the camp, his assistant Joshua the son of Nun, a young man, would not depart from the tent.
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-Moses' Intercession
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-12Moses said to the LORD, “See, you say to me, ‘Bring up this people,’ but you have not let me know whom you will send with me. Yet you have said, ‘I know you by name, and you have also found favor in my sight.’ 13Now therefore, if I have found favor in your sight, please show me now your ways, that I may know you in order to find favor in your sight. Consider too that this nation is your people.” 14And he said, “My presence will go with you, and I will give you rest.” 15And he said to him, “If your presence will not go with me, do not bring us up from here. 16For how shall it be known that I have found favor in your sight, I and your people? Is it not in your going with us, so that we are distinct, I and your people, from every other people on the face of the earth?”
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-17And the LORD said to Moses, “This very thing that you have spoken I will do, for you have found favor in my sight, and I know you by name.” 18Moses said, “Please show me your glory.” 19And he said, “I will make all my goodness pass before you and will proclaim before you my name ‘The LORD.’ And I will be gracious to whom I will be gracious, and will show mercy on whom I will show mercy. 20But,” he said, “you cannot see my face, for man shall not see me and live.” 21And the LORD said, “Behold, there is a place by me where you shall stand on the rock, 22and while my glory passes by I will put you in a cleft of the rock, and I will cover you with my hand until I have passed by. 23Then I will take away my hand, and you shall see my back, but my face shall not be seen.”
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-Moses Makes New Tablets
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-34:1 The LORD said to Moses, “Cut for yourself two tablets of stone like the first, and I will write on the tablets the words that were on the first tablets, which you broke. 2Be ready by the morning, and come up in the morning to Mount Sinai, and present yourself there to me on the top of the mountain. 3No one shall come up with you, and let no one be seen throughout all the mountain. Let no flocks or herds graze opposite that mountain.” 4So Moses cut two tablets of stone like the first. And he rose early in the morning and went up on Mount Sinai, as the LORD had commanded him, and took in his hand two tablets of stone. 5The LORD descended in the cloud and stood with him there, and proclaimed the name of the LORD. 6The LORD passed before him and proclaimed, “The LORD, the LORD, a God merciful and gracious, slow to anger, and abounding in steadfast love and faithfulness, 7keeping steadfast love for thousands,[81] forgiving iniquity and transgression and sin, but who will by no means clear the guilty, visiting the iniquity of the fathers on the children and the children's children, to the third and the fourth generation.” 8And Moses quickly bowed his head toward the earth and worshiped. 9And he said, “If now I have found favor in your sight, O Lord, please let the Lord go in the midst of us, for it is a stiff-necked people, and pardon our iniquity and our sin, and take us for your inheritance.”
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-The Covenant Renewed
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-10And he said, “Behold, I am making a covenant. Before all your people I will do marvels, such as have not been created in all the earth or in any nation. And all the people among whom you are shall see the work of the LORD, for it is an awesome thing that I will do with you.
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-11“Observe what I command you this day. Behold, I will drive out before you the Amorites, the Canaanites, the Hittites, the Perizzites, the Hivites, and the Jebusites. 12Take care, lest you make a covenant with the inhabitants of the land to which you go, lest it become a snare in your midst. 13You shall tear down their altars and break their pillars and cut down their Asherim 14(for you shall worship no other god, for the LORD, whose name is Jealous, is a jealous God), 15lest you make a covenant with the inhabitants of the land, and when they whore after their gods and sacrifice to their gods and you are invited, you eat of his sacrifice, 16and you take of their daughters for your sons, and their daughters whore after their gods and make your sons whore after their gods.
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-17“You shall not make for yourself any gods of cast metal.
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-18“You shall keep the Feast of Unleavened Bread. Seven days you shall eat unleavened bread, as I commanded you, at the time appointed in the month Abib, for in the month Abib you came out from Egypt. 19All that open the womb are mine, all your male[82] livestock, the firstborn of cow and sheep. 20The firstborn of a donkey you shall redeem with a lamb, or if you will not redeem it you shall break its neck. All the firstborn of your sons you shall redeem. And none shall appear before me empty-handed.
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-21“Six days you shall work, but on the seventh day you shall rest. In plowing time and in harvest you shall rest. 22You shall observe the Feast of Weeks, the firstfruits of wheat harvest, and the Feast of Ingathering at the year's end. 23Three times in the year shall all your males appear before the LORD God, the God of Israel. 24For I will cast out nations before you and enlarge your borders; no one shall covet your land, when you go up to appear before the LORD your God three times in the year.
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-25“You shall not offer the blood of my sacrifice with anything leavened, or let the sacrifice of the Feast of the Passover remain until the morning. 26The best of the firstfruits of your ground you shall bring to the house of the LORD your God. You shall not boil a young goat in its mother's milk.”
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-27And the LORD said to Moses, “Write these words, for in accordance with these words I have made a covenant with you and with Israel.” 28So he was there with the LORD forty days and forty nights. He neither ate bread nor drank water. And he wrote on the tablets the words of the covenant, the Ten Commandments.[83]
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-The Shining Face of Moses
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-29When Moses came down from Mount Sinai, with the two tablets of the testimony in his hand as he came down from the mountain, Moses did not know that the skin of his face shone because he had been talking with God.[84] 30Aaron and all the people of Israel saw Moses, and behold, the skin of his face shone, and they were afraid to come near him. 31But Moses called to them, and Aaron and all the leaders of the congregation returned to him, and Moses talked with them. 32Afterward all the people of Israel came near, and he commanded them all that the LORD had spoken with him in Mount Sinai. 33And when Moses had finished speaking with them, he put a veil over his face.
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-34Whenever Moses went in before the LORD to speak with him, he would remove the veil, until he came out. And when he came out and told the people of Israel what he was commanded, 35the people of Israel would see the face of Moses, that the skin of Moses' face was shining. And Moses would put the veil over his face again, until he went in to speak with him.
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-Sabbath Regulations
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-35:1 Moses assembled all the congregation of the people of Israel and said to them, “These are the things that the LORD has commanded you to do. 2Six days work shall be done, but on the seventh day you shall have a Sabbath of solemn rest, holy to the LORD. Whoever does any work on it shall be put to death. 3You shall kindle no fire in all your dwelling places on the Sabbath day.”
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-Contributions for the Tabernacle
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-4Moses said to all the congregation of the people of Israel, “This is the thing that the LORD has commanded. 5Take from among you a contribution to the LORD. Whoever is of a generous heart, let him bring the LORD's contribution: gold, silver, and bronze; 6blue and purple and scarlet yarns and fine twined linen; goats' hair, 7tanned rams' skins, and goatskins;[85] acacia wood, 8oil for the light, spices for the anointing oil and for the fragrant incense, 9and onyx stones and stones for setting, for the ephod and for the breastpiece.
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-10“Let every skillful craftsman among you come and make all that the LORD has commanded: 11the tabernacle, its tent and its covering, its hooks and its frames, its bars, its pillars, and its bases; 12the ark with its poles, the mercy seat, and the veil of the screen; 13the table with its poles and all its utensils, and the bread of the Presence; 14the lampstand also for the light, with its utensils and its lamps, and the oil for the light; 15and the altar of incense, with its poles, and the anointing oil and the fragrant incense, and the screen for the door, at the door of the tabernacle; 16the altar of burnt offering, with its grating of bronze, its poles, and all its utensils, the basin and its stand; 17the hangings of the court, its pillars and its bases, and the screen for the gate of the court; 18the pegs of the tabernacle and the pegs of the court, and their cords; 19the finely worked garments for ministering[86] in the Holy Place, the holy garments for Aaron the priest, and the garments of his sons, for their service as priests.”
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-20Then all the congregation of the people of Israel departed from the presence of Moses. 21And they came, everyone whose heart stirred him, and everyone whose spirit moved him, and brought the LORD's contribution to be used for the tent of meeting, and for all its service, and for the holy garments. 22So they came, both men and women. All who were of a willing heart brought brooches and earrings and signet rings and armlets, all sorts of gold objects, every man dedicating an offering of gold to the LORD. 23And every one who possessed blue or purple or scarlet yarns or fine linen or goats' hair or tanned rams' skins or goatskins brought them. 24Everyone who could make a contribution of silver or bronze brought it as the LORD's contribution. And every one who possessed acacia wood of any use in the work brought it. 25And every skillful woman spun with her hands, and they all brought what they had spun in blue and purple and scarlet yarns and fine twined linen. 26All the women whose hearts stirred them to use their skill spun the goats' hair. 27And the leaders brought onyx stones and stones to be set, for the ephod and for the breastpiece, 28and spices and oil for the light, and for the anointing oil, and for the fragrant incense. 29All the men and women, the people of Israel, whose heart moved them to bring anything for the work that the LORD had commanded by Moses to be done brought it as a freewill offering to the LORD.
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-Construction of the Tabernacle
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-30Then Moses said to the people of Israel, “See, the LORD has called by name Bezalel the son of Uri, son of Hur, of the tribe of Judah; 31and he has filled him with the Spirit of God, with skill, with intelligence, with knowledge, and with all craftsmanship, 32to devise artistic designs, to work in gold and silver and bronze, 33in cutting stones for setting, and in carving wood, for work in every skilled craft. 34And he has inspired him to teach, both him and Oholiab the son of Ahisamach of the tribe of Dan. 35He has filled them with skill to do every sort of work done by an engraver or by a designer or by an embroiderer in blue and purple and scarlet yarns and fine twined linen, or by a weaver—by any sort of workman or skilled designer.
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-36:1 “Bezalel and Oholiab and every craftsman in whom the LORD has put skill and intelligence to know how to do any work in the construction of the sanctuary shall work in accordance with all that the LORD has commanded.”
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-2And Moses called Bezalel and Oholiab and every craftsman in whose mind the LORD had put skill, everyone whose heart stirred him up to come to do the work. 3And they received from Moses all the contribution that the people of Israel had brought for doing the work on the sanctuary. They still kept bringing him freewill offerings every morning, 4so that all the craftsmen who were doing every sort of task on the sanctuary came, each from the task that he was doing, 5and said to Moses, “The people bring much more than enough for doing the work that the LORD has commanded us to do.” 6So Moses gave command, and word was proclaimed throughout the camp, “Let no man or woman do anything more for the contribution for the sanctuary.” So the people were restrained from bringing, 7for the material they had was sufficient to do all the work, and more.
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-8And all the craftsmen among the workmen made the tabernacle with ten curtains. They were made of fine twined linen and blue and purple and scarlet yarns, with cherubim skillfully worked. 9The length of each curtain was twenty-eight cubits,[87] and the breadth of each curtain four cubits. All the curtains were the same size.
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-10He coupled five curtains to one another, and the other five curtains he coupled to one another. 11He made loops of blue on the edge of the outermost curtain of the first set. Likewise he made them on the edge of the outermost curtain of the second set. 12He made fifty loops on the one curtain, and he made fifty loops on the edge of the curtain that was in the second set. The loops were opposite one another. 13And he made fifty clasps of gold, and coupled the curtains one to the other with clasps. So the tabernacle was a single whole.
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-14He also made curtains of goats' hair for a tent over the tabernacle. He made eleven curtains. 15The length of each curtain was thirty cubits, and the breadth of each curtain four cubits. The eleven curtains were the same size. 16He coupled five curtains by themselves, and six curtains by themselves. 17And he made fifty loops on the edge of the outermost curtain of the one set, and fifty loops on the edge of the other connecting curtain. 18And he made fifty clasps of bronze to couple the tent together that it might be a single whole. 19And he made for the tent a covering of tanned rams' skins and goatskins.
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-20Then he made the upright frames for the tabernacle of acacia wood. 21Ten cubits was the length of a frame, and a cubit and a half the breadth of each frame. 22Each frame had two tenons for fitting together. He did this for all the frames of the tabernacle. 23The frames for the tabernacle he made thus: twenty frames for the south side. 24And he made forty bases of silver under the twenty frames, two bases under one frame for its two tenons, and two bases under the next frame for its two tenons. 25For the second side of the tabernacle, on the north side, he made twenty frames 26and their forty bases of silver, two bases under one frame and two bases under the next frame. 27For the rear of the tabernacle westward he made six frames. 28He made two frames for corners of the tabernacle in the rear. 29And they were separate beneath but joined at the top, at the first ring. He made two of them this way for the two corners. 30There were eight frames with their bases of silver: sixteen bases, under every frame two bases.
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-31He made bars of acacia wood, five for the frames of the one side of the tabernacle, 32and five bars for the frames of the other side of the tabernacle, and five bars for the frames of the tabernacle at the rear westward. 33And he made the middle bar to run from end to end halfway up the frames. 34And he overlaid the frames with gold, and made their rings of gold for holders for the bars, and overlaid the bars with gold.
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-35He made the veil of blue and purple and scarlet yarns and fine twined linen; with cherubim skillfully worked into it he made it. 36And for it he made four pillars of acacia and overlaid them with gold. Their hooks were of gold, and he cast for them four bases of silver. 37He also made a screen for the entrance of the tent, of blue and purple and scarlet yarns and fine twined linen, embroidered with needlework, 38and its five pillars with their hooks. He overlaid their capitals, and their fillets were of gold, but their five bases were of bronze.
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-Making the Ark
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-37:1 Bezalel made the ark of acacia wood. Two cubits[88] and a half was its length, a cubit and a half its breadth, and a cubit and a half its height. 2And he overlaid it with pure gold inside and outside, and made a molding of gold around it. 3And he cast for it four rings of gold for its four feet, two rings on its one side and two rings on its other side. 4And he made poles of acacia wood and overlaid them with gold 5and put the poles into the rings on the sides of the ark to carry the ark. 6And he made a mercy seat of pure gold. Two cubits and a half was its length, and a cubit and a half its breadth. 7And he made two cherubim of gold. He made them of hammered work on the two ends of the mercy seat, 8one cherub on the one end, and one cherub on the other end. Of one piece with the mercy seat he made the cherubim on its two ends. 9The cherubim spread out their wings above, overshadowing the mercy seat with their wings, with their faces one to another; toward the mercy seat were the faces of the cherubim.
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-Making the Table
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-10He also made the table of acacia wood. Two cubits was its length, a cubit its breadth, and a cubit and a half its height. 11And he overlaid it with pure gold, and made a molding of gold around it. 12And he made a rim around it a handbreadth[89] wide, and made a molding of gold around the rim. 13He cast for it four rings of gold and fastened the rings to the four corners at its four legs. 14Close to the frame were the rings, as holders for the poles to carry the table. 15He made the poles of acacia wood to carry the table, and overlaid them with gold. 16And he made the vessels of pure gold that were to be on the table, its plates and dishes for incense, and its bowls and flagons with which to pour drink offerings.
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-Making the Lampstand
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-17He also made the lampstand of pure gold. He made the lampstand of hammered work. Its base, its stem, its cups, its calyxes, and its flowers were of one piece with it. 18And there were six branches going out of its sides, three branches of the lampstand out of one side of it and three branches of the lampstand out of the other side of it; 19three cups made like almond blossoms, each with calyx and flower, on one branch, and three cups made like almond blossoms, each with calyx and flower, on the other branch—so for the six branches going out of the lampstand. 20And on the lampstand itself were four cups made like almond blossoms, with their calyxes and flowers, 21and a calyx of one piece with it under each pair of the six branches going out of it. 22Their calyxes and their branches were of one piece with it. The whole of it was a single piece of hammered work of pure gold. 23And he made its seven lamps and its tongs and its trays of pure gold. 24He made it and all its utensils out of a talent[90] of pure gold.
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-Making the Altar of Incense
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-25He made the altar of incense of acacia wood. Its length was a cubit, and its breadth was a cubit. It was square, and two cubits was its height. Its horns were of one piece with it. 26He overlaid it with pure gold, its top and around its sides and its horns. And he made a molding of gold around it, 27and made two rings of gold on it under its molding, on two opposite sides of it, as holders for the poles with which to carry it. 28And he made the poles of acacia wood and overlaid them with gold.
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-29He made the holy anointing oil also, and the pure fragrant incense, blended as by the perfumer.
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-Making the Altar of Burnt Offering
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-38:1 He made the altar of burnt offering of acacia wood. Five cubits[91] was its length, and five cubits its breadth. It was square, and three cubits was its height. 2He made horns for it on its four corners. Its horns were of one piece with it, and he overlaid it with bronze. 3And he made all the utensils of the altar, the pots, the shovels, the basins, the forks, and the fire pans. He made all its utensils of bronze. 4And he made for the altar a grating, a network of bronze, under its ledge, extending halfway down. 5He cast four rings on the four corners of the bronze grating as holders for the poles. 6He made the poles of acacia wood and overlaid them with bronze. 7And he put the poles through the rings on the sides of the altar to carry it with them. He made it hollow, with boards.
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-Making the Bronze Basin
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-8He made the basin of bronze and its stand of bronze, from the mirrors of the ministering women who ministered in the entrance of the tent of meeting.
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-Making the Court
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-9And he made the court. For the south side the hangings of the court were of fine twined linen, a hundred cubits; 10their twenty pillars and their twenty bases were of bronze, but the hooks of the pillars and their fillets were of silver. 11And for the north side there were hangings of a hundred cubits, their twenty pillars, their twenty bases were of bronze, but the hooks of the pillars and their fillets were of silver. 12And for the west side were hangings of fifty cubits, their ten pillars, and their ten bases; the hooks of the pillars and their fillets were of silver. 13And for the front to the east, fifty cubits. 14The hangings for one side of the gate were fifteen cubits, with their three pillars and three bases. 15And so for the other side. On both sides of the gate of the court were hangings of fifteen cubits, with their three pillars and their three bases. 16All the hangings around the court were of fine twined linen. 17And the bases for the pillars were of bronze, but the hooks of the pillars and their fillets were of silver. The overlaying of their capitals was also of silver, and all the pillars of the court were filleted with silver. 18And the screen for the gate of the court was embroidered with needlework in blue and purple and scarlet yarns and fine twined linen. It was twenty cubits long and five cubits high in its breadth, corresponding to the hangings of the court. 19And their pillars were four in number. Their four bases were of bronze, their hooks of silver, and the overlaying of their capitals and their fillets of silver. 20And all the pegs for the tabernacle and for the court all around were of bronze.
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-Materials for the Tabernacle
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-21These are the records of the tabernacle, the tabernacle of the testimony, as they were recorded at the commandment of Moses, the responsibility of the Levites under the direction of Ithamar the son of Aaron the priest. 22Bezalel the son of Uri, son of Hur, of the tribe of Judah, made all that the LORD commanded Moses; 23and with him was Oholiab the son of Ahisamach, of the tribe of Dan, an engraver and designer and embroiderer in blue and purple and scarlet yarns and fine twined linen.
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-24All the gold that was used for the work, in all the construction of the sanctuary, the gold from the offering, was twenty-nine talents and 730 shekels,[92] by the shekel of the sanctuary. 25The silver from those of the congregation who were recorded was a hundred talents and 1,775 shekels, by the shekel of the sanctuary: 26a beka[93] a head (that is, half a shekel, by the shekel of the sanctuary), for everyone who was listed in the records, from twenty years old and upward, for 603,550 men. 27The hundred talents of silver were for casting the bases of the sanctuary and the bases of the veil; a hundred bases for the hundred talents, a talent a base. 28And of the 1,775 shekels he made hooks for the pillars and overlaid their capitals and made fillets for them. 29The bronze that was offered was seventy talents and 2,400 shekels; 30with it he made the bases for the entrance of the tent of meeting, the bronze altar and the bronze grating for it and all the utensils of the altar, 31the bases around the court, and the bases of the gate of the court, all the pegs of the tabernacle, and all the pegs around the court.
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-Making the Priestly Garments
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-39:1 From the blue and purple and scarlet yarns they made finely woven garments,[94] for ministering in the Holy Place. They made the holy garments for Aaron, as the LORD had commanded Moses.
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-2He made the ephod of gold, blue and purple and scarlet yarns, and fine twined linen. 3And they hammered out gold leaf, and he cut it into threads to work into the blue and purple and the scarlet yarns, and into the fine twined linen, in skilled design. 4They made for the ephod attaching shoulder pieces, joined to it at its two edges. 5And the skillfully woven band on it was of one piece with it and made like it, of gold, blue and purple and scarlet yarns, and fine twined linen, as the LORD had commanded Moses.
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-6They made the onyx stones, enclosed in settings of gold filigree, and engraved like the engravings of a signet, according to the names of the sons of Israel. 7And he set them on the shoulder pieces of the ephod to be stones of remembrance for the sons of Israel, as the LORD had commanded Moses.
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-8He made the breastpiece, in skilled work, in the style of the ephod, of gold, blue and purple and scarlet yarns, and fine twined linen. 9It was square. They made the breastpiece doubled, a span[95] its length and a span its breadth when doubled. 10And they set in it four rows of stones. A row of sardius, topaz, and carbuncle was the first row; 11and the second row, an emerald, a sapphire, and a diamond; 12and the third row, a jacinth, an agate, and an amethyst; 13and the fourth row, a beryl, an onyx, and a jasper. They were enclosed in settings of gold filigree. 14There were twelve stones with their names according to the names of the sons of Israel. They were like signets, each engraved with its name, for the twelve tribes. 15And they made on the breastpiece twisted chains like cords, of pure gold. 16And they made two settings of gold filigree and two gold rings, and put the two rings on the two edges of the breastpiece. 17And they put the two cords of gold in the two rings at the edges of the breastpiece. 18They attached the two ends of the two cords to the two settings of filigree. Thus they attached it in front to the shoulder pieces of the ephod. 19Then they made two rings of gold, and put them at the two ends of the breastpiece, on its inside edge next to the ephod. 20And they made two rings of gold, and attached them in front to the lower part of the two shoulder pieces of the ephod, at its seam above the skillfully woven band of the ephod. 21And they bound the breastpiece by its rings to the rings of the ephod with a lace of blue, so that it should lie on the skillfully woven band of the ephod, and that the breastpiece should not come loose from the ephod, as the LORD had commanded Moses.
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-22He also made the robe of the ephod woven all of blue, 23and the opening of the robe in it was like the opening in a garment, with a binding around the opening, so that it might not tear. 24On the hem of the robe they made pomegranates of blue and purple and scarlet yarns and fine twined linen. 25They also made bells of pure gold, and put the bells between the pomegranates all around the hem of the robe, between the pomegranates— 26a bell and a pomegranate, a bell and a pomegranate around the hem of the robe for ministering, as the LORD had commanded Moses.
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-27They also made the coats, woven of fine linen, for Aaron and his sons, 28and the turban of fine linen, and the caps of fine linen, and the linen undergarments of fine twined linen, 29and the sash of fine twined linen and of blue and purple and scarlet yarns, embroidered with needlework, as the LORD had commanded Moses.
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-30They made the plate of the holy crown of pure gold, and wrote on it an inscription, like the engraving of a signet, “Holy to the LORD.” 31And they tied to it a cord of blue to fasten it on the turban above, as the LORD had commanded Moses.
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-32Thus all the work of the tabernacle of the tent of meeting was finished, and the people of Israel did according to all that the LORD had commanded Moses; so they did. 33Then they brought the tabernacle to Moses, the tent and all its utensils, its hooks, its frames, its bars, its pillars, and its bases; 34the covering of tanned rams' skins and goatskins, and the veil of the screen; 35the ark of the testimony with its poles and the mercy seat; 36the table with all its utensils, and the bread of the Presence; 37the lampstand of pure gold and its lamps with the lamps set and all its utensils, and the oil for the light; 38the golden altar, the anointing oil and the fragrant incense, and the screen for the entrance of the tent; 39the bronze altar, and its grating of bronze, its poles, and all its utensils; the basin and its stand; 40the hangings of the court, its pillars, and its bases, and the screen for the gate of the court, its cords, and its pegs; and all the utensils for the service of the tabernacle, for the tent of meeting; 41the finely worked garments for ministering in the Holy Place, the holy garments for Aaron the priest, and the garments of his sons for their service as priests. 42According to all that the LORD had commanded Moses, so the people of Israel had done all the work. 43And Moses saw all the work, and behold, they had done it; as the LORD had commanded, so had they done it. Then Moses blessed them.
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-The Tabernacle Erected
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-40:1 The LORD spoke to Moses, saying, 2“On the first day of the first month you shall erect the tabernacle of the tent of meeting. 3And you shall put in it the ark of the testimony, and you shall screen the ark with the veil. 4And you shall bring in the table and arrange it, and you shall bring in the lampstand and set up its lamps. 5And you shall put the golden altar for incense before the ark of the testimony, and set up the screen for the door of the tabernacle. 6You shall set the altar of burnt offering before the door of the tabernacle of the tent of meeting, 7and place the basin between the tent of meeting and the altar, and put water in it. 8And you shall set up the court all around, and hang up the screen for the gate of the court.
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-9“Then you shall take the anointing oil and anoint the tabernacle and all that is in it, and consecrate it and all its furniture, so that it may become holy. 10You shall also anoint the altar of burnt offering and all its utensils, and consecrate the altar, so that the altar may become most holy. 11You shall also anoint the basin and its stand, and consecrate it. 12Then you shall bring Aaron and his sons to the entrance of the tent of meeting and shall wash them with water 13and put on Aaron the holy garments. And you shall anoint him and consecrate him, that he may serve me as priest. 14You shall bring his sons also and put coats on them, 15and anoint them, as you anointed their father, that they may serve me as priests. And their anointing shall admit them to a perpetual priesthood throughout their generations.”
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-16This Moses did; according to all that the LORD commanded him, so he did. 17In the first month in the second year, on the first day of the month, the tabernacle was erected. 18Moses erected the tabernacle. He laid its bases, and set up its frames, and put in its poles, and raised up its pillars. 19And he spread the tent over the tabernacle and put the covering of the tent over it, as the LORD had commanded Moses. 20He took the testimony and put it into the ark, and put the poles on the ark and set the mercy seat above on the ark. 21And he brought the ark into the tabernacle and set up the veil of the screen, and screened the ark of the testimony, as the LORD had commanded Moses. 22He put the table in the tent of meeting, on the north side of the tabernacle, outside the veil, 23and arranged the bread on it before the LORD, as the LORD had commanded Moses. 24He put the lampstand in the tent of meeting, opposite the table on the south side of the tabernacle, 25and set up the lamps before the LORD, as the LORD had commanded Moses. 26He put the golden altar in the tent of meeting before the veil, 27and burned fragrant incense on it, as the LORD had commanded Moses. 28He put in place the screen for the door of the tabernacle. 29And he set the altar of burnt offering at the entrance of the tabernacle of the tent of meeting, and offered on it the burnt offering and the grain offering, as the LORD had commanded Moses. 30He set the basin between the tent of meeting and the altar, and put water in it for washing, 31with which Moses and Aaron and his sons washed their hands and their feet. 32When they went into the tent of meeting, and when they approached the altar, they washed, as the LORD commanded Moses. 33And he erected the court around the tabernacle and the altar, and set up the screen of the gate of the court. So Moses finished the work.
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-The Glory of the LORD
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-34Then the cloud covered the tent of meeting, and the glory of the LORD filled the tabernacle. 35And Moses was not able to enter the tent of meeting because the cloud settled on it, and the glory of the LORD filled the tabernacle. 36Throughout all their journeys, whenever the cloud was taken up from over the tabernacle, the people of Israel would set out. 37But if the cloud was not taken up, then they did not set out till the day that it was taken up. 38For the cloud of the LORD was on the tabernacle by day, and fire was in it by night, in the sight of all the house of Israel throughout all their journeys.
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-Footnotes
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-[1] 1:22 Samaritan, Septuagint, Targum; Hebrew lacks to the Hebrews
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-[2] 2:3 Hebrew papyrus reeds
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-[3] 2:10 Moses sounds like the Hebrew for draw out
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-[4] 2:11 Hebrew brothers
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-[5] 2:22 Gershom sounds like the Hebrew for sojourner
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-[6] 3:14 Or I AM WHAT I AM, or I WILL BE WHAT I WILL BE
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-[7] 3:15 The word LORD, when spelled with capital letters, stands for the divine name, YHWH, which is here connected with the verb hayah, “to be” in verse 14
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-[8] 3:19 Septuagint, Vulgate; Hebrew go, not by a mighty hand
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-[9] 4:6 Hebrew into your bosom; also verse 7
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-[10] 4:6 Leprosy was a term for several skin diseases; see Leviticus 13
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-[11] 4:25 Hebrew his
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-[12] 5:5 Samaritan they are now more numerous than the people of the land
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-[13] 6:3 Hebrew El Shaddai
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-[14] 8:1 Ch 7:26 in Hebrew
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-[15] 8:3 Or among your people
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-[16] 8:5 Ch 8:1 in Hebrew
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-[17] 8:12 Or which he had brought upon Pharaoh
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-[18] 8:22 Or that I the LORD am in the land
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-[19] 8:23 Septuagint, Vulgate; Hebrew set redemption
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-[20] 9:14 Hebrew on your heart
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-[21] 9:32 A type of wheat
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-[22] 10:10 Hebrew before your face
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-[23] 12:6 Hebrew between the two evenings
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-[24] 13:19 Samaritan, Septuagint; Hebrew he
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-[25] 14:20 Septuagint and the night passed
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-[26] 14:25 Or binding (compare Samaritan, Septuagint, Syriac); Hebrew removing
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-[27] 14:27 Hebrew shook off
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-[28] 15:1 Or its chariot; also verse 21
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-[29] 15:23 Marah means bitterness
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-[30] 15:25 Or tree
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-[31] 15:25 Hebrew he
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-[32] 16:15 Or “It is manna.” Hebrew man hu
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-[33] 16:16 An omer was about 2 quarts or 2 liters
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-[34] 16:36 An ephah was about 3/5 bushel or 22 liters
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-[35] 17:7 Massah means testing
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-[36] 17:7 Meribah means quarreling
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-[37] 17:16 A slight change would yield upon the banner
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-[38] 18:3 Gershom sounds like the Hebrew word for sojourner
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-[39] 18:4 Eliezer means My God is help
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-[40] 18:6 Hebrew; Samaritan, Septuagint, Syriac behold
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-[41] 18:11 Hebrew with them
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-[42] 19:13 That is, shot with an arrow
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-[43] 20:3 Or besides
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-[44] 20:6 Or to the thousandth generation
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-[45] 20:13 The Hebrew word also covers causing human death through carelessness or negligence
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-[46] 20:18 Samaritan, Septuagint, Syriac, Vulgate; Masoretic Text the people saw
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-[47] 21:8 Or so that he has not designated her
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-[48] 21:17 Or dishonors; Septuagint reviles
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-[49] 21:23 Or so that her children come out and it is clear who was to blame, he shall be fined as the woman's husband shall impose on him, and he alone shall pay. If it is unclear who was to blame . . .
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-[50] 21:32 A shekel was about 2/5 ounce or 11 grams
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-[51] 22:1 Ch 21:37 in Hebrew
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-[52] 22:2 Ch 22:1 in Hebrew
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-[53] 22:15 Or it is reckoned in (Hebrew comes into) its hiring fee
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-[54] 22:16 Or a girl of marriageable age; also verse 17
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-[55] 22:16 Or engagement present; also verse 17
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-[56] 22:20 That is, set apart (devoted) as an offering to the Lord (for destruction)
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-[57] 23:25 Septuagint, Vulgate I
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-[58] 24:3 Or all the just decrees
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-[59] 25:5 Uncertain; possibly dolphin skins, or dugong skins; compare 26:14
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-[60] 25:10 A cubit was about 18 inches or 45 centimeters
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-[61] 25:17 Or cover
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-[62] 25:25 A handbreadth was about 3 inches or 7.5 centimeters
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-[63] 25:39 A talent was about 75 pounds or 34 kilograms
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-[64] 26:2 A cubit was about 18 inches or 45 centimeters
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-[65] 27:1 A cubit was about 18 inches or 45 centimeters
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-[66] 28:16 A span was about 9 inches or 22 centimeters
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-[67] 28:17 The identity of some of these stones is uncertain
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-[68] 28:32 The meaning of the Hebrew word is uncertain; possibly coat of mail
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-[69] 29:12 Hebrew all
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-[70] 29:18 Or an offering by fire; also verses 25, 41
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-[71] 29:40 A seah was about 7 quarts or 7.3 liters
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-[72] 29:40 A hin was about 4 quarts or 3.5 liters
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-[73] 30:2 A cubit was about 18 inches or 45 centimeters
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-[74] 30:13 A shekel was about 2/5 ounce or 11 grams
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-[75] 30:13 A gerah was about 1/50 ounce or 0.6 gram
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-[76] 30:20 Or an offering by fire
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-[77] 30:24 A hin was about 4 quarts or 3.5 liters
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-[78] 31:10 Or garments for worship
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-[79] 32:4 Hebrew cast metal; also verse 8
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-[80] 33:9 Hebrew he
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-[81] 34:7 Or to the thousandth generation
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-[82] 34:19 Septuagint, Theodotion, Vulgate, Targum; the meaning of the Hebrew is uncertain
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-[83] 34:28 Hebrew the ten words
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-[84] 34:29 Hebrew him
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-[85] 35:7 The meaning of the Hebrew word is uncertain; also verse 23; compare 25:5
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-[86] 35:19 Or garments for worship; see 31:10
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-[87] 36:9 A cubit was about 18 inches or 45 centimeters
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-[88] 37:1 A cubit was about 18 inches or 45 centimeters
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-[89] 37:12 A handbreadth was about 3 inches or 7.5 centimeters
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-[90] 37:24 A talent was about 75 pounds or 34 kilograms
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-[91] 38:1 A cubit was about 18 inches or 45 centimeters
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-[92] 38:24 A talent was about 75 pounds or 34 kilograms; a shekel was about 2/5 ounce or 11 grams
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-[93] 38:26 A beka was about 1/5 ounce or 5.5 grams
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-[94] 39:1 Or garments for worship
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-[95] 39:9 A span was about 9 inches or 22 centimeters
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-LEVITICUS
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-Chapter 1
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-Chapter 2
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-Chapter 3
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-Chapter 4
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-Chapter 5
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-Chapter 6
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-Chapter 7
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-Chapter 8
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-Chapter 9
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-Chapter 10
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-Chapter 11
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-Chapter 12
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-Chapter 13
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-Chapter 14
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-Chapter 15
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-Chapter 16
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-Chapter 17
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-Chapter 18
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-Chapter 19
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-Chapter 20
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-Chapter 21
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-Chapter 22
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-Chapter 23
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-Chapter 24
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-Chapter 25
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-Chapter 26
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-Chapter 27
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-Laws for Burnt Offerings
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-1:1 The LORD called Moses and spoke to him from the tent of meeting, saying, 2“Speak to the people of Israel and say to them, When any one of you brings an offering to the LORD, you shall bring your offering of livestock from the herd or from the flock.
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-3“If his offering is a burnt offering from the herd, he shall offer a male without blemish. He shall bring it to the entrance of the tent of meeting, that he may be accepted before the LORD. 4He shall lay his hand on the head of the burnt offering, and it shall be accepted for him to make atonement for him. 5Then he shall kill the bull before the LORD, and Aaron's sons the priests shall bring the blood and throw the blood against the sides of the altar that is at the entrance of the tent of meeting. 6Then he shall flay the burnt offering and cut it into pieces, 7and the sons of Aaron the priest shall put fire on the altar and arrange wood on the fire. 8And Aaron's sons the priests shall arrange the pieces, the head, and the fat, on the wood that is on the fire on the altar; 9but its entrails and its legs he shall wash with water. And the priest shall burn all of it on the altar, as a burnt offering, a food offering[1] with a pleasing aroma to the LORD.
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-10“If his gift for a burnt offering is from the flock, from the sheep or goats, he shall bring a male without blemish, 11and he shall kill it on the north side of the altar before the LORD, and Aaron's sons the priests shall throw its blood against the sides of the altar. 12And he shall cut it into pieces, with its head and its fat, and the priest shall arrange them on the wood that is on the fire on the altar, 13but the entrails and the legs he shall wash with water. And the priest shall offer all of it and burn it on the altar; it is a burnt offering, a food offering with a pleasing aroma to the LORD.
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-14“If his offering to the LORD is a burnt offering of birds, then he shall bring his offering of turtledoves or pigeons. 15And the priest shall bring it to the altar and wring off its head and burn it on the altar. Its blood shall be drained out on the side of the altar. 16He shall remove its crop with its contents[2] and cast it beside the altar on the east side, in the place for ashes. 17He shall tear it open by its wings, but shall not sever it completely. And the priest shall burn it on the altar, on the wood that is on the fire. It is a burnt offering, a food offering with a pleasing aroma to the LORD.
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-Laws for Grain Offerings
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-2:1 “When anyone brings a grain offering as an offering to the LORD, his offering shall be of fine flour. He shall pour oil on it and put frankincense on it 2and bring it to Aaron's sons the priests. And he shall take from it a handful of the fine flour and oil, with all of its frankincense, and the priest shall burn this as its memorial portion on the altar, a food offering with a pleasing aroma to the LORD. 3But the rest of the grain offering shall be for Aaron and his sons; it is a most holy part of the LORD's food offerings.
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-4“When you bring a grain offering baked in the oven as an offering, it shall be unleavened loaves of fine flour mixed with oil or unleavened wafers smeared with oil. 5And if your offering is a grain offering baked on a griddle, it shall be of fine flour unleavened, mixed with oil. 6You shall break it in pieces and pour oil on it; it is a grain offering. 7And if your offering is a grain offering cooked in a pan, it shall be made of fine flour with oil. 8And you shall bring the grain offering that is made of these things to the LORD, and when it is presented to the priest, he shall bring it to the altar. 9And the priest shall take from the grain offering its memorial portion and burn this on the altar, a food offering with a pleasing aroma to the LORD. 10But the rest of the grain offering shall be for Aaron and his sons; it is a most holy part of the LORD's food offerings.
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-11“No grain offering that you bring to the LORD shall be made with leaven, for you shall burn no leaven nor any honey as a food offering to the LORD. 12As an offering of firstfruits you may bring them to the LORD, but they shall not be offered on the altar for a pleasing aroma. 13You shall season all your grain offerings with salt. You shall not let the salt of the covenant with your God be missing from your grain offering; with all your offerings you shall offer salt.
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-14“If you offer a grain offering of firstfruits to the LORD, you shall offer for the grain offering of your firstfruits fresh ears, roasted with fire, crushed new grain. 15And you shall put oil on it and lay frankincense on it; it is a grain offering. 16And the priest shall burn as its memorial portion some of the crushed grain and some of the oil with all of its frankincense; it is a food offering to the LORD.
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-Laws for Peace Offerings
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-3:1 “If his offering is a sacrifice of peace offering, if he offers an animal from the herd, male or female, he shall offer it without blemish before the LORD. 2And he shall lay his hand on the head of his offering and kill it at the entrance of the tent of meeting, and Aaron's sons the priests shall throw the blood against the sides of the altar. 3And from the sacrifice of the peace offering, as a food offering to the LORD, he shall offer the fat covering the entrails and all the fat that is on the entrails, 4and the two kidneys with the fat that is on them at the loins, and the long lobe of the liver that he shall remove with the kidneys. 5Then Aaron's sons shall burn it on the altar on top of the burnt offering, which is on the wood on the fire; it is a food offering with a pleasing aroma to the LORD.
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-6“If his offering for a sacrifice of peace offering to the LORD is an animal from the flock, male or female, he shall offer it without blemish. 7If he offers a lamb for his offering, then he shall offer it before the LORD, 8lay his hand on the head of his offering, and kill it in front of the tent of meeting; and Aaron's sons shall throw its blood against the sides of the altar. 9Then from the sacrifice of the peace offering he shall offer as a food offering to the LORD its fat; he shall remove the whole fat tail, cut off close to the backbone, and the fat that covers the entrails and all the fat that is on the entrails 10and the two kidneys with the fat that is on them at the loins and the long lobe of the liver that he shall remove with the kidneys. 11And the priest shall burn it on the altar as a food offering to the LORD.
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-12“If his offering is a goat, then he shall offer it before the LORD 13and lay his hand on its head and kill it in front of the tent of meeting, and the sons of Aaron shall throw its blood against the sides of the altar. 14Then he shall offer from it, as his offering for a food offering to the LORD, the fat covering the entrails and all the fat that is on the entrails 15and the two kidneys with the fat that is on them at the loins and the long lobe of the liver that he shall remove with the kidneys. 16And the priest shall burn them on the altar as a food offering with a pleasing aroma. All fat is the LORD's. 17It shall be a statute forever throughout your generations, in all your dwelling places, that you eat neither fat nor blood.”
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-Laws for Sin Offerings
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-4:1 And the LORD spoke to Moses, saying, 2“Speak to the people of Israel, saying, If anyone sins unintentionally[3] in any of the LORD's commandments about things not to be done, and does any one of them, 3if it is the anointed priest who sins, thus bringing guilt on the people, then he shall offer for the sin that he has committed a bull from the herd without blemish to the LORD for a sin offering. 4He shall bring the bull to the entrance of the tent of meeting before the LORD and lay his hand on the head of the bull and kill the bull before the LORD. 5And the anointed priest shall take some of the blood of the bull and bring it into the tent of meeting, 6and the priest shall dip his finger in the blood and sprinkle part of the blood seven times before the LORD in front of the veil of the sanctuary. 7And the priest shall put some of the blood on the horns of the altar of fragrant incense before the LORD that is in the tent of meeting, and all the rest of the blood of the bull he shall pour out at the base of the altar of burnt offering that is at the entrance of the tent of meeting. 8And all the fat of the bull of the sin offering he shall remove from it, the fat that covers the entrails and all the fat that is on the entrails 9and the two kidneys with the fat that is on them at the loins and the long lobe of the liver that he shall remove with the kidneys 10(just as these are taken from the ox of the sacrifice of the peace offerings); and the priest shall burn them on the altar of burnt offering. 11But the skin of the bull and all its flesh, with its head, its legs, its entrails, and its dung— 12all the rest of the bull—he shall carry outside the camp to a clean place, to the ash heap, and shall burn it up on a fire of wood. On the ash heap it shall be burned up.
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-13“If the whole congregation of Israel sins unintentionally[4] and the thing is hidden from the eyes of the assembly, and they do any one of the things that by the LORD's commandments ought not to be done, and they realize their guilt,[5] 14when the sin which they have committed becomes known, the assembly shall offer a bull from the herd for a sin offering and bring it in front of the tent of meeting. 15And the elders of the congregation shall lay their hands on the head of the bull before the LORD, and the bull shall be killed before the LORD. 16Then the anointed priest shall bring some of the blood of the bull into the tent of meeting, 17and the priest shall dip his finger in the blood and sprinkle it seven times before the LORD in front of the veil. 18And he shall put some of the blood on the horns of the altar that is in the tent of meeting before the LORD, and the rest of the blood he shall pour out at the base of the altar of burnt offering that is at the entrance of the tent of meeting. 19And all its fat he shall take from it and burn on the altar. 20Thus shall he do with the bull. As he did with the bull of the sin offering, so shall he do with this. And the priest shall make atonement for them, and they shall be forgiven. 21And he shall carry the bull outside the camp and burn it up as he burned the first bull; it is the sin offering for the assembly.
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-22“When a leader sins, doing unintentionally any one of all the things that by the commandments of the LORD his God ought not to be done, and realizes his guilt, 23or the sin which he has committed is made known to him, he shall bring as his offering a goat, a male without blemish, 24and shall lay his hand on the head of the goat and kill it in the place where they kill the burnt offering before the LORD; it is a sin offering. 25Then the priest shall take some of the blood of the sin offering with his finger and put it on the horns of the altar of burnt offering and pour out the rest of its blood at the base of the altar of burnt offering. 26And all its fat he shall burn on the altar, like the fat of the sacrifice of peace offerings. So the priest shall make atonement for him for his sin, and he shall be forgiven.
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-27“If anyone of the common people sins unintentionally in doing any one of the things that by the LORD's commandments ought not to be done, and realizes his guilt, 28or the sin which he has committed is made known to him, he shall bring for his offering a goat, a female without blemish, for his sin which he has committed. 29And he shall lay his hand on the head of the sin offering and kill the sin offering in the place of burnt offering. 30And the priest shall take some of its blood with his finger and put it on the horns of the altar of burnt offering and pour out all the rest of its blood at the base of the altar. 31And all its fat he shall remove, as the fat is removed from the peace offerings, and the priest shall burn it on the altar for a pleasing aroma to the LORD. And the priest shall make atonement for him, and he shall be forgiven.
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-32“If he brings a lamb as his offering for a sin offering, he shall bring a female without blemish 33and lay his hand on the head of the sin offering and kill it for a sin offering in the place where they kill the burnt offering. 34Then the priest shall take some of the blood of the sin offering with his finger and put it on the horns of the altar of burnt offering and pour out all the rest of its blood at the base of the altar. 35And all its fat he shall remove as the fat of the lamb is removed from the sacrifice of peace offerings, and the priest shall burn it on the altar, on top of the LORD's food offerings. And the priest shall make atonement for him for the sin which he has committed, and he shall be forgiven.
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-5:1 “If anyone sins in that he hears a public adjuration to testify, and though he is a witness, whether he has seen or come to know the matter, yet does not speak, he shall bear his iniquity; 2or if anyone touches an unclean thing, whether a carcass of an unclean wild animal or a carcass of unclean livestock or a carcass of unclean swarming things, and it is hidden from him and he has become unclean, and he realizes his guilt; 3or if he touches human uncleanness, of whatever sort the uncleanness may be with which one becomes unclean, and it is hidden from him, when he comes to know it, and realizes his guilt; 4or if anyone utters with his lips a rash oath to do evil or to do good, any sort of rash oath that people swear, and it is hidden from him, when he comes to know it, and he realizes his guilt in any of these; 5when he realizes his guilt in any of these and confesses the sin he has committed, 6he shall bring to the LORD as his compensation[6] for the sin that he has committed, a female from the flock, a lamb or a goat, for a sin offering. And the priest shall make atonement for him for his sin.
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-7“But if he cannot afford a lamb, then he shall bring to the LORD as his compensation for the sin that he has committed two turtledoves or two pigeons,[7] one for a sin offering and the other for a burnt offering. 8He shall bring them to the priest, who shall offer first the one for the sin offering. He shall wring its head from its neck but shall not sever it completely, 9and he shall sprinkle some of the blood of the sin offering on the side of the altar, while the rest of the blood shall be drained out at the base of the altar; it is a sin offering. 10Then he shall offer the second for a burnt offering according to the rule. And the priest shall make atonement for him for the sin that he has committed, and he shall be forgiven.
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-11“But if he cannot afford two turtledoves or two pigeons, then he shall bring as his offering for the sin that he has committed a tenth of an ephah[8] of fine flour for a sin offering. He shall put no oil on it and shall put no frankincense on it, for it is a sin offering. 12And he shall bring it to the priest, and the priest shall take a handful of it as its memorial portion and burn this on the altar, on the LORD's food offerings; it is a sin offering. 13Thus the priest shall make atonement for him for the sin which he has committed in any one of these things, and he shall be forgiven. And the remainder[9] shall be for the priest, as in the grain offering.”
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-Laws for Guilt Offerings
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-14The LORD spoke to Moses, saying, 15“If anyone commits a breach of faith and sins unintentionally in any of the holy things of the LORD, he shall bring to the LORD as his compensation, a ram without blemish out of the flock, valued[10] in silver shekels,[11] according to the shekel of the sanctuary, for a guilt offering. 16He shall also make restitution for what he has done amiss in the holy thing and shall add a fifth to it and give it to the priest. And the priest shall make atonement for him with the ram of the guilt offering, and he shall be forgiven.
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-17“If anyone sins, doing any of the things that by the LORD's commandments ought not to be done, though he did not know it, then realizes his guilt, he shall bear his iniquity. 18He shall bring to the priest a ram without blemish out of the flock, or its equivalent for a guilt offering, and the priest shall make atonement for him for the mistake that he made unintentionally, and he shall be forgiven. 19It is a guilt offering; he has indeed incurred guilt before[12] the LORD.”
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-6:1 [13] The LORD spoke to Moses, saying, 2“If anyone sins and commits a breach of faith against the LORD by deceiving his neighbor in a matter of deposit or security, or through robbery, or if he has oppressed his neighbor 3or has found something lost and lied about it, swearing falsely—in any of all the things that people do and sin thereby— 4if he has sinned and has realized his guilt and will restore what he took by robbery or what he got by oppression or the deposit that was committed to him or the lost thing that he found 5or anything about which he has sworn falsely, he shall restore it in full and shall add a fifth to it, and give it to him to whom it belongs on the day he realizes his guilt. 6And he shall bring to the priest as his compensation to the LORD a ram without blemish out of the flock, or its equivalent for a guilt offering. 7And the priest shall make atonement for him before the LORD, and he shall be forgiven for any of the things that one may do and thereby become guilty.”
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-The Priests and the Offerings
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-8[14] The LORD spoke to Moses, saying, 9“Command Aaron and his sons, saying, This is the law of the burnt offering. The burnt offering shall be on the hearth on the altar all night until the morning, and the fire of the altar shall be kept burning on it. 10And the priest shall put on his linen garment and put his linen undergarment on his body, and he shall take up the ashes to which the fire has reduced the burnt offering on the altar and put them beside the altar. 11Then he shall take off his garments and put on other garments and carry the ashes outside the camp to a clean place. 12The fire on the altar shall be kept burning on it; it shall not go out. The priest shall burn wood on it every morning, and he shall arrange the burnt offering on it and shall burn on it the fat of the peace offerings. 13Fire shall be kept burning on the altar continually; it shall not go out.
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-14“And this is the law of the grain offering. The sons of Aaron shall offer it before the LORD in front of the altar. 15And one shall take from it a handful of the fine flour of the grain offering and its oil and all the frankincense that is on the grain offering and burn this as its memorial portion on the altar, a pleasing aroma to the LORD. 16And the rest of it Aaron and his sons shall eat. It shall be eaten unleavened in a holy place. In the court of the tent of meeting they shall eat it. 17It shall not be baked with leaven. I have given it as their portion of my food offerings. It is a thing most holy, like the sin offering and the guilt offering. 18Every male among the children of Aaron may eat of it, as decreed forever throughout your generations, from the LORD's food offerings. Whatever touches them shall become holy.”
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-19The LORD spoke to Moses, saying, 20“This is the offering that Aaron and his sons shall offer to the LORD on the day when he is anointed: a tenth of an ephah[15] of fine flour as a regular grain offering, half of it in the morning and half in the evening. 21It shall be made with oil on a griddle. You shall bring it well mixed, in baked[16] pieces like a grain offering, and offer it for a pleasing aroma to the LORD. 22The priest from among Aaron's sons, who is anointed to succeed him, shall offer it to the LORD as decreed forever. The whole of it shall be burned. 23Every grain offering of a priest shall be wholly burned. It shall not be eaten.”
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-24The LORD spoke to Moses, saying, 25“Speak to Aaron and his sons, saying, This is the law of the sin offering. In the place where the burnt offering is killed shall the sin offering be killed before the LORD; it is most holy. 26The priest who offers it for sin shall eat it. In a holy place it shall be eaten, in the court of the tent of meeting. 27Whatever touches its flesh shall be holy, and when any of its blood is splashed on a garment, you shall wash that on which it was splashed in a holy place. 28And the earthenware vessel in which it is boiled shall be broken. But if it is boiled in a bronze vessel, that shall be scoured and rinsed in water. 29Every male among the priests may eat of it; it is most holy. 30But no sin offering shall be eaten from which any blood is brought into the tent of meeting to make atonement in the Holy Place; it shall be burned up with fire.
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-7:1 “This is the law of the guilt offering. It is most holy. 2In the place where they kill the burnt offering they shall kill the guilt offering, and its blood shall be thrown against the sides of the altar. 3And all its fat shall be offered, the fat tail, the fat that covers the entrails, 4the two kidneys with the fat that is on them at the loins, and the long lobe of the liver that he shall remove with the kidneys. 5The priest shall burn them on the altar as a food offering to the LORD; it is a guilt offering. 6Every male among the priests may eat of it. It shall be eaten in a holy place. It is most holy. 7The guilt offering is just like the sin offering; there is one law for them. The priest who makes atonement with it shall have it. 8And the priest who offers any man's burnt offering shall have for himself the skin of the burnt offering that he has offered. 9And every grain offering baked in the oven and all that is prepared on a pan or a griddle shall belong to the priest who offers it. 10And every grain offering, mixed with oil or dry, shall be shared equally among all the sons of Aaron.
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-11“And this is the law of the sacrifice of peace offerings that one may offer to the LORD. 12If he offers it for a thanksgiving, then he shall offer with the thanksgiving sacrifice unleavened loaves mixed with oil, unleavened wafers smeared with oil, and loaves of fine flour well mixed with oil. 13With the sacrifice of his peace offerings for thanksgiving he shall bring his offering with loaves of leavened bread. 14And from it he shall offer one loaf from each offering, as a gift to the LORD. It shall belong to the priest who throws the blood of the peace offerings. 15And the flesh of the sacrifice of his peace offerings for thanksgiving shall be eaten on the day of his offering. He shall not leave any of it until the morning. 16But if the sacrifice of his offering is a vow offering or a freewill offering, it shall be eaten on the day that he offers his sacrifice, and on the next day what remains of it shall be eaten. 17But what remains of the flesh of the sacrifice on the third day shall be burned up with fire. 18If any of the flesh of the sacrifice of his peace offering is eaten on the third day, he who offers it shall not be accepted, neither shall it be credited to him. It is tainted, and he who eats of it shall bear his iniquity.
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-19“Flesh that touches any unclean thing shall not be eaten. It shall be burned up with fire. All who are clean may eat flesh, 20but the person who eats of the flesh of the sacrifice of the LORD's peace offerings while an uncleanness is on him, that person shall be cut off from his people. 21And if anyone touches an unclean thing, whether human uncleanness or an unclean beast or any unclean detestable creature, and then eats some flesh from the sacrifice of the LORD's peace offerings, that person shall be cut off from his people.”
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-22The LORD spoke to Moses, saying, 23“Speak to the people of Israel, saying, You shall eat no fat, of ox or sheep or goat. 24The fat of an animal that dies of itself and the fat of one that is torn by beasts may be put to any other use, but on no account shall you eat it. 25For every person who eats of the fat of an animal of which a food offering may be made to the LORD shall be cut off from his people. 26Moreover, you shall eat no blood whatever, whether of fowl or of animal, in any of your dwelling places. 27Whoever eats any blood, that person shall be cut off from his people.”
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-28The LORD spoke to Moses, saying, 29“Speak to the people of Israel, saying, Whoever offers the sacrifice of his peace offerings to the LORD shall bring his offering to the LORD from the sacrifice of his peace offerings. 30His own hands shall bring the LORD's food offerings. He shall bring the fat with the breast, that the breast may be waved as a wave offering before the LORD. 31The priest shall burn the fat on the altar, but the breast shall be for Aaron and his sons. 32And the right thigh you shall give to the priest as a contribution from the sacrifice of your peace offerings. 33Whoever among the sons of Aaron offers the blood of the peace offerings and the fat shall have the right thigh for a portion. 34For the breast that is waved and the thigh that is contributed I have taken from the people of Israel, out of the sacrifices of their peace offerings, and have given them to Aaron the priest and to his sons, as a perpetual due from the people of Israel. 35This is the portion of Aaron and of his sons from the LORD's food offerings, from the day they were presented to serve as priests of the LORD. 36The LORD commanded this to be given them by the people of Israel, from the day that he anointed them. It is a perpetual due throughout their generations.”
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-37This is the law of the burnt offering, of the grain offering, of the sin offering, of the guilt offering, of the ordination offering, and of the peace offering, 38which the LORD commanded Moses on Mount Sinai, on the day that he commanded the people of Israel to bring their offerings to the LORD, in the wilderness of Sinai.
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-Consecration of Aaron and His Sons
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-8:1 The LORD spoke to Moses, saying, 2“Take Aaron and his sons with him, and the garments and the anointing oil and the bull of the sin offering and the two rams and the basket of unleavened bread. 3And assemble all the congregation at the entrance of the tent of meeting.” 4And Moses did as the LORD commanded him, and the congregation was assembled at the entrance of the tent of meeting.
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-5And Moses said to the congregation, “This is the thing that the LORD has commanded to be done.” 6And Moses brought Aaron and his sons and washed them with water. 7And he put the coat on him and tied the sash around his waist and clothed him with the robe and put the ephod on him and tied the skillfully woven band of the ephod around him, binding it to him with the band.[17] 8And he placed the breastpiece on him, and in the breastpiece he put the Urim and the Thummim. 9And he set the turban on his head, and on the turban, in front, he set the golden plate, the holy crown, as the LORD commanded Moses.
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-10Then Moses took the anointing oil and anointed the tabernacle and all that was in it, and consecrated them. 11And he sprinkled some of it on the altar seven times, and anointed the altar and all its utensils and the basin and its stand, to consecrate them. 12And he poured some of the anointing oil on Aaron's head and anointed him to consecrate him. 13And Moses brought Aaron's sons and clothed them with coats and tied sashes around their waists and bound caps on them, as the LORD commanded Moses.
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-14Then he brought the bull of the sin offering, and Aaron and his sons laid their hands on the head of the bull of the sin offering. 15And he[18] killed it, and Moses took the blood, and with his finger put it on the horns of the altar around it and purified the altar and poured out the blood at the base of the altar and consecrated it to make atonement for it. 16And he took all the fat that was on the entrails and the long lobe of the liver and the two kidneys with their fat, and Moses burned them on the altar. 17But the bull and its skin and its flesh and its dung he burned up with fire outside the camp, as the LORD commanded Moses.
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-18Then he presented the ram of the burnt offering, and Aaron and his sons laid their hands on the head of the ram. 19And he killed it, and Moses threw the blood against the sides of the altar. 20He cut the ram into pieces, and Moses burned the head and the pieces and the fat. 21He washed the entrails and the legs with water, and Moses burned the whole ram on the altar. It was a burnt offering with a pleasing aroma, a food offering for the LORD, as the LORD commanded Moses.
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-22Then he presented the other ram, the ram of ordination, and Aaron and his sons laid their hands on the head of the ram. 23And he killed it, and Moses took some of its blood and put it on the lobe of Aaron's right ear and on the thumb of his right hand and on the big toe of his right foot. 24Then he presented Aaron's sons, and Moses put some of the blood on the lobes of their right ears and on the thumbs of their right hands and on the big toes of their right feet. And Moses threw the blood against the sides of the altar. 25Then he took the fat and the fat tail and all the fat that was on the entrails and the long lobe of the liver and the two kidneys with their fat and the right thigh, 26and out of the basket of unleavened bread that was before the LORD he took one unleavened loaf and one loaf of bread with oil and one wafer and placed them on the pieces of fat and on the right thigh. 27And he put all these in the hands of Aaron and in the hands of his sons and waved them as a wave offering before the LORD. 28Then Moses took them from their hands and burned them on the altar with the burnt offering. This was an ordination offering with a pleasing aroma, a food offering to the LORD. 29And Moses took the breast and waved it for a wave offering before the LORD. It was Moses' portion of the ram of ordination, as the LORD commanded Moses.
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-30Then Moses took some of the anointing oil and of the blood that was on the altar and sprinkled it on Aaron and his garments, and also on his sons and his sons' garments. So he consecrated Aaron and his garments, and his sons and his sons' garments with him.
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-31And Moses said to Aaron and his sons, “Boil the flesh at the entrance of the tent of meeting, and there eat it and the bread that is in the basket of ordination offerings, as I commanded, saying, ‘Aaron and his sons shall eat it.’ 32And what remains of the flesh and the bread you shall burn up with fire. 33And you shall not go outside the entrance of the tent of meeting for seven days, until the days of your ordination are completed, for it will take seven days to ordain you. 34As has been done today, the LORD has commanded to be done to make atonement for you. 35At the entrance of the tent of meeting you shall remain day and night for seven days, performing what the LORD has charged, so that you do not die, for so I have been commanded.” 36And Aaron and his sons did all the things that the LORD commanded by Moses.
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-The LORD Accepts Aaron's Offering
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-9:1 On the eighth day Moses called Aaron and his sons and the elders of Israel, 2and he said to Aaron, “Take for yourself a bull calf for a sin offering and a ram for a burnt offering, both without blemish, and offer them before the LORD. 3And say to the people of Israel, ‘Take a male goat for a sin offering, and a calf and a lamb, both a year old without blemish, for a burnt offering, 4and an ox and a ram for peace offerings, to sacrifice before the LORD, and a grain offering mixed with oil, for today the LORD will appear to you.’” 5And they brought what Moses commanded in front of the tent of meeting, and all the congregation drew near and stood before the LORD. 6And Moses said, “This is the thing that the LORD commanded you to do, that the glory of the LORD may appear to you.” 7Then Moses said to Aaron, “Draw near to the altar and offer your sin offering and your burnt offering and make atonement for yourself and for the people, and bring the offering of the people and make atonement for them, as the LORD has commanded.”
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-8So Aaron drew near to the altar and killed the calf of the sin offering, which was for himself. 9And the sons of Aaron presented the blood to him, and he dipped his finger in the blood and put it on the horns of the altar and poured out the blood at the base of the altar. 10But the fat and the kidneys and the long lobe of the liver from the sin offering he burned on the altar, as the LORD commanded Moses. 11The flesh and the skin he burned up with fire outside the camp.
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-12Then he killed the burnt offering, and Aaron's sons handed him the blood, and he threw it against the sides of the altar. 13And they handed the burnt offering to him, piece by piece, and the head, and he burned them on the altar. 14And he washed the entrails and the legs and burned them with the burnt offering on the altar.
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-15Then he presented the people's offering and took the goat of the sin offering that was for the people and killed it and offered it as a sin offering, like the first one. 16And he presented the burnt offering and offered it according to the rule. 17And he presented the grain offering, took a handful of it, and burned it on the altar, besides the burnt offering of the morning.
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-18Then he killed the ox and the ram, the sacrifice of peace offerings for the people. And Aaron's sons handed him the blood, and he threw it against the sides of the altar. 19But the fat pieces of the ox and of the ram, the fat tail and that which covers the entrails and the kidneys and the long lobe of the liver— 20they put the fat pieces on the breasts, and he burned the fat pieces on the altar, 21but the breasts and the right thigh Aaron waved for a wave offering before the LORD, as Moses commanded.
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-22Then Aaron lifted up his hands toward the people and blessed them, and he came down from offering the sin offering and the burnt offering and the peace offerings. 23And Moses and Aaron went into the tent of meeting, and when they came out they blessed the people, and the glory of the LORD appeared to all the people. 24And fire came out from before the LORD and consumed the burnt offering and the pieces of fat on the altar, and when all the people saw it, they shouted and fell on their faces.
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-The Death of Nadab and Abihu
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-10:1 Now Nadab and Abihu, the sons of Aaron, each took his censer and put fire in it and laid incense on it and offered unauthorized[19] fire before the LORD, which he had not commanded them. 2And fire came out from before the LORD and consumed them, and they died before the LORD. 3Then Moses said to Aaron, “This is what the LORD has said, ‘Among those who are near me I will be sanctified, and before all the people I will be glorified.’” And Aaron held his peace.
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-4And Moses called Mishael and Elzaphan, the sons of Uzziel the uncle of Aaron, and said to them, “Come near; carry your brothers away from the front of the sanctuary and out of the camp.” 5So they came near and carried them in their coats out of the camp, as Moses had said. 6And Moses said to Aaron and to Eleazar and Ithamar his sons, “Do not let the hair of your heads hang loose, and do not tear your clothes, lest you die, and wrath come upon all the congregation; but let your brothers, the whole house of Israel, bewail the burning that the LORD has kindled. 7And do not go outside the entrance of the tent of meeting, lest you die, for the anointing oil of the LORD is upon you.” And they did according to the word of Moses.
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-8And the LORD spoke to Aaron, saying, 9“Drink no wine or strong drink, you or your sons with you, when you go into the tent of meeting, lest you die. It shall be a statute forever throughout your generations. 10You are to distinguish between the holy and the common, and between the unclean and the clean, 11and you are to teach the people of Israel all the statutes that the LORD has spoken to them by Moses.”
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-12Moses spoke to Aaron and to Eleazar and Ithamar, his surviving sons: “Take the grain offering that is left of the LORD's food offerings, and eat it unleavened beside the altar, for it is most holy. 13You shall eat it in a holy place, because it is your due and your sons' due, from the LORD's food offerings, for so I am commanded. 14But the breast that is waved and the thigh that is contributed you shall eat in a clean place, you and your sons and your daughters with you, for they are given as your due and your sons' due from the sacrifices of the peace offerings of the people of Israel. 15The thigh that is contributed and the breast that is waved they shall bring with the food offerings of the fat pieces to wave for a wave offering before the LORD, and it shall be yours and your sons' with you as a due forever, as the LORD has commanded.”
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-16Now Moses diligently inquired about the goat of the sin offering, and behold, it was burned up! And he was angry with Eleazar and Ithamar, the surviving sons of Aaron, saying, 17“Why have you not eaten the sin offering in the place of the sanctuary, since it is a thing most holy and has been given to you that you may bear the iniquity of the congregation, to make atonement for them before the LORD? 18Behold, its blood was not brought into the inner part of the sanctuary. You certainly ought to have eaten it in the sanctuary, as I commanded.” 19And Aaron said to Moses, “Behold, today they have offered their sin offering and their burnt offering before the LORD, and yet such things as these have happened to me! If I had eaten the sin offering today, would the LORD have approved?” 20And when Moses heard that, he approved.
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-Clean and Unclean Animals
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-11:1 And the LORD spoke to Moses and Aaron, saying to them, 2“Speak to the people of Israel, saying, These are the living things that you may eat among all the animals that are on the earth. 3Whatever parts the hoof and is cloven-footed and chews the cud, among the animals, you may eat. 4Nevertheless, among those that chew the cud or part the hoof, you shall not eat these: The camel, because it chews the cud but does not part the hoof, is unclean to you. 5And the rock badger, because it chews the cud but does not part the hoof, is unclean to you. 6And the hare, because it chews the cud but does not part the hoof, is unclean to you. 7And the pig, because it parts the hoof and is cloven-footed but does not chew the cud, is unclean to you. 8You shall not eat any of their flesh, and you shall not touch their carcasses; they are unclean to you.
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-9“These you may eat, of all that are in the waters. Everything in the waters that has fins and scales, whether in the seas or in the rivers, you may eat. 10But anything in the seas or the rivers that has not fins and scales, of the swarming creatures in the waters and of the living creatures that are in the waters, is detestable to you. 11You shall regard them as detestable; you shall not eat any of their flesh, and you shall detest their carcasses. 12Everything in the waters that has not fins and scales is detestable to you.
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-13“And these you shall detest among the birds;[20] they shall not be eaten; they are detestable: the eagle,[21] the bearded vulture, the black vulture, 14the kite, the falcon of any kind, 15every raven of any kind, 16the ostrich, the nighthawk, the sea gull, the hawk of any kind, 17the little owl, the cormorant, the short-eared owl, 18the barn owl, the tawny owl, the carrion vulture, 19the stork, the heron of any kind, the hoopoe, and the bat.
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-20“All winged insects that go on all fours are detestable to you. 21Yet among the winged insects that go on all fours you may eat those that have jointed legs above their feet, with which to hop on the ground. 22Of them you may eat: the locust of any kind, the bald locust of any kind, the cricket of any kind, and the grasshopper of any kind. 23But all other winged insects that have four feet are detestable to you.
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-24“And by these you shall become unclean. Whoever touches their carcass shall be unclean until the evening, 25and whoever carries any part of their carcass shall wash his clothes and be unclean until the evening. 26Every animal that parts the hoof but is not cloven-footed or does not chew the cud is unclean to you. Everyone who touches them shall be unclean. 27And all that walk on their paws, among the animals that go on all fours, are unclean to you. Whoever touches their carcass shall be unclean until the evening, 28and he who carries their carcass shall wash his clothes and be unclean until the evening; they are unclean to you.
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-29“And these are unclean to you among the swarming things that swarm on the ground: the mole rat, the mouse, the great lizard of any kind, 30the gecko, the monitor lizard, the lizard, the sand lizard, and the chameleon. 31These are unclean to you among all that swarm. Whoever touches them when they are dead shall be unclean until the evening. 32And anything on which any of them falls when they are dead shall be unclean, whether it is an article of wood or a garment or a skin or a sack, any article that is used for any purpose. It must be put into water, and it shall be unclean until the evening; then it shall be clean. 33And if any of them falls into any earthenware vessel, all that is in it shall be unclean, and you shall break it. 34Any food in it that could be eaten, on which water comes, shall be unclean. And all drink that could be drunk from every such vessel shall be unclean. 35And everything on which any part of their carcass falls shall be unclean. Whether oven or stove, it shall be broken in pieces. They are unclean and shall remain unclean for you. 36Nevertheless, a spring or a cistern holding water shall be clean, but whoever touches a carcass in them shall be unclean. 37And if any part of their carcass falls upon any seed grain that is to be sown, it is clean, 38but if water is put on the seed and any part of their carcass falls on it, it is unclean to you.
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-39“And if any animal which you may eat dies, whoever touches its carcass shall be unclean until the evening, 40and whoever eats of its carcass shall wash his clothes and be unclean until the evening. And whoever carries the carcass shall wash his clothes and be unclean until the evening.
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-41“Every swarming thing that swarms on the ground is detestable; it shall not be eaten. 42Whatever goes on its belly, and whatever goes on all fours, or whatever has many feet, any swarming thing that swarms on the ground, you shall not eat, for they are detestable. 43You shall not make yourselves detestable with any swarming thing that swarms, and you shall not defile yourselves with them, and become unclean through them. 44For I am the LORD your God. Consecrate yourselves therefore, and be holy, for I am holy. You shall not defile yourselves with any swarming thing that crawls on the ground. 45For I am the LORD who brought you up out of the land of Egypt to be your God. You shall therefore be holy, for I am holy.”
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-46This is the law about beast and bird and every living creature that moves through the waters and every creature that swarms on the ground, 47to make a distinction between the unclean and the clean and between the living creature that may be eaten and the living creature that may not be eaten.
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-Purification After Childbirth
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-12:1 The LORD spoke to Moses, saying, 2“Speak to the people of Israel, saying, ‘If a woman conceives and bears a male child, then she shall be unclean seven days. As at the time of her menstruation, she shall be unclean. 3And on the eighth day the flesh of his foreskin shall be circumcised. 4Then she shall continue for thirty-three days in the blood of her purifying. She shall not touch anything holy, nor come into the sanctuary, until the days of her purifying are completed. 5But if she bears a female child, then she shall be unclean two weeks, as in her menstruation. And she shall continue in the blood of her purifying for sixty-six days.
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-6“‘And when the days of her purifying are completed, whether for a son or for a daughter, she shall bring to the priest at the entrance of the tent of meeting a lamb a year old for a burnt offering, and a pigeon or a turtledove for a sin offering, 7and he shall offer it before the LORD and make atonement for her. Then she shall be clean from the flow of her blood. This is the law for her who bears a child, either male or female. 8And if she cannot afford a lamb, then she shall take two turtledoves or two pigeons,[22] one for a burnt offering and the other for a sin offering. And the priest shall make atonement for her, and she shall be clean.’”
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-Laws About Leprosy
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-13:1 The LORD spoke to Moses and Aaron, saying, 2“When a person has on the skin of his body a swelling or an eruption or a spot, and it turns into a case of leprous[23] disease on the skin of his body, then he shall be brought to Aaron the priest or to one of his sons the priests, 3and the priest shall examine the diseased area on the skin of his body. And if the hair in the diseased area has turned white and the disease appears to be deeper than the skin of his body, it is a case of leprous disease. When the priest has examined him, he shall pronounce him unclean. 4But if the spot is white in the skin of his body and appears no deeper than the skin, and the hair in it has not turned white, the priest shall shut up the diseased person for seven days. 5And the priest shall examine him on the seventh day, and if in his eyes the disease is checked and the disease has not spread in the skin, then the priest shall shut him up for another seven days. 6And the priest shall examine him again on the seventh day, and if the diseased area has faded and the disease has not spread in the skin, then the priest shall pronounce him clean; it is only an eruption. And he shall wash his clothes and be clean. 7But if the eruption spreads in the skin, after he has shown himself to the priest for his cleansing, he shall appear again before the priest. 8And the priest shall look, and if the eruption has spread in the skin, then the priest shall pronounce him unclean; it is a leprous disease.
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-9“When a man is afflicted with a leprous disease, he shall be brought to the priest, 10and the priest shall look. And if there is a white swelling in the skin that has turned the hair white, and there is raw flesh in the swelling, 11it is a chronic leprous disease in the skin of his body, and the priest shall pronounce him unclean. He shall not shut him up, for he is unclean. 12And if the leprous disease breaks out in the skin, so that the leprous disease covers all the skin of the diseased person from head to foot, so far as the priest can see, 13then the priest shall look, and if the leprous disease has covered all his body, he shall pronounce him clean of the disease; it has all turned white, and he is clean. 14But when raw flesh appears on him, he shall be unclean. 15And the priest shall examine the raw flesh and pronounce him unclean. Raw flesh is unclean, for it is a leprous disease. 16But if the raw flesh recovers and turns white again, then he shall come to the priest, 17and the priest shall examine him, and if the disease has turned white, then the priest shall pronounce the diseased person clean; he is clean.
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-18“If there is in the skin of one's body a boil and it heals, 19and in the place of the boil there comes a white swelling or a reddish-white spot, then it shall be shown to the priest. 20And the priest shall look, and if it appears deeper than the skin and its hair has turned white, then the priest shall pronounce him unclean. It is a case of leprous disease that has broken out in the boil. 21But if the priest examines it and there is no white hair in it and it is not deeper than the skin, but has faded, then the priest shall shut him up seven days. 22And if it spreads in the skin, then the priest shall pronounce him unclean; it is a disease. 23But if the spot remains in one place and does not spread, it is the scar of the boil, and the priest shall pronounce him clean.
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-24“Or, when the body has a burn on its skin and the raw flesh of the burn becomes a spot, reddish-white or white, 25the priest shall examine it, and if the hair in the spot has turned white and it appears deeper than the skin, then it is a leprous disease. It has broken out in the burn, and the priest shall pronounce him unclean; it is a case of leprous disease. 26But if the priest examines it and there is no white hair in the spot and it is no deeper than the skin, but has faded, the priest shall shut him up seven days, 27and the priest shall examine him the seventh day. If it is spreading in the skin, then the priest shall pronounce him unclean; it is a case of leprous disease. 28But if the spot remains in one place and does not spread in the skin, but has faded, it is a swelling from the burn, and the priest shall pronounce him clean, for it is the scar of the burn.
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-29“When a man or woman has a disease on the head or the beard, 30the priest shall examine the disease. And if it appears deeper than the skin, and the hair in it is yellow and thin, then the priest shall pronounce him unclean. It is an itch, a leprous disease of the head or the beard. 31And if the priest examines the itching disease and it appears no deeper than the skin and there is no black hair in it, then the priest shall shut up the person with the itching disease for seven days, 32and on the seventh day the priest shall examine the disease. If the itch has not spread, and there is in it no yellow hair, and the itch appears to be no deeper than the skin, 33then he shall shave himself, but the itch he shall not shave; and the priest shall shut up the person with the itching disease for another seven days. 34And on the seventh day the priest shall examine the itch, and if the itch has not spread in the skin and it appears to be no deeper than the skin, then the priest shall pronounce him clean. And he shall wash his clothes and be clean. 35But if the itch spreads in the skin after his cleansing, 36then the priest shall examine him, and if the itch has spread in the skin, the priest need not seek for the yellow hair; he is unclean. 37But if in his eyes the itch is unchanged and black hair has grown in it, the itch is healed and he is clean, and the priest shall pronounce him clean.
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-38“When a man or a woman has spots on the skin of the body, white spots, 39the priest shall look, and if the spots on the skin of the body are of a dull white, it is leukoderma that has broken out in the skin; he is clean.
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-40“If a man's hair falls out from his head, he is bald; he is clean. 41And if a man's hair falls out from his forehead, he has baldness of the forehead; he is clean. 42But if there is on the bald head or the bald forehead a reddish-white diseased area, it is a leprous disease breaking out on his bald head or his bald forehead. 43Then the priest shall examine him, and if the diseased swelling is reddish-white on his bald head or on his bald forehead, like the appearance of leprous disease in the skin of the body, 44he is a leprous man, he is unclean. The priest must pronounce him unclean; his disease is on his head.
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-45“The leprous person who has the disease shall wear torn clothes and let the hair of his head hang loose, and he shall cover his upper lip[24] and cry out, ‘Unclean, unclean.’ 46He shall remain unclean as long as he has the disease. He is unclean. He shall live alone. His dwelling shall be outside the camp.
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-47“When there is a case of leprous disease in a garment, whether a woolen or a linen garment, 48in warp or woof of linen or wool, or in a skin or in anything made of skin, 49if the disease is greenish or reddish in the garment, or in the skin or in the warp or the woof or in any article made of skin, it is a case of leprous disease, and it shall be shown to the priest. 50And the priest shall examine the disease and shut up that which has the disease for seven days. 51Then he shall examine the disease on the seventh day. If the disease has spread in the garment, in the warp or the woof, or in the skin, whatever be the use of the skin, the disease is a persistent leprous disease; it is unclean. 52And he shall burn the garment, or the warp or the woof, the wool or the linen, or any article made of skin that is diseased, for it is a persistent leprous disease. It shall be burned in the fire.
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-53“And if the priest examines, and if the disease has not spread in the garment, in the warp or the woof or in any article made of skin, 54then the priest shall command that they wash the thing in which is the disease, and he shall shut it up for another seven days. 55And the priest shall examine the diseased thing after it has been washed. And if the appearance of the diseased area has not changed, though the disease has not spread, it is unclean. You shall burn it in the fire, whether the rot is on the back or on the front.
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-56“But if the priest examines, and if the diseased area has faded after it has been washed, he shall tear it out of the garment or the skin or the warp or the woof. 57Then if it appears again in the garment, in the warp or the woof, or in any article made of skin, it is spreading. You shall burn with fire whatever has the disease. 58But the garment, or the warp or the woof, or any article made of skin from which the disease departs when you have washed it, shall then be washed a second time, and be clean.”
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-59This is the law for a case of leprous disease in a garment of wool or linen, either in the warp or the woof, or in any article made of skin, to determine whether it is clean or unclean.
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-Laws for Cleansing Lepers
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-14:1 The LORD spoke to Moses, saying, 2“This shall be the law of the leprous person for the day of his cleansing. He shall be brought to the priest, 3and the priest shall go out of the camp, and the priest shall look. Then, if the case of leprous disease is healed in the leprous person, 4the priest shall command them to take for him who is to be cleansed two live[25] clean birds and cedarwood and scarlet yarn and hyssop. 5And the priest shall command them to kill one of the birds in an earthenware vessel over fresh[26] water. 6He shall take the live bird with the cedarwood and the scarlet yarn and the hyssop, and dip them and the live bird in the blood of the bird that was killed over the fresh water. 7And he shall sprinkle it seven times on him who is to be cleansed of the leprous disease. Then he shall pronounce him clean and shall let the living bird go into the open field. 8And he who is to be cleansed shall wash his clothes and shave off all his hair and bathe himself in water, and he shall be clean. And after that he may come into the camp, but live outside his tent seven days. 9And on the seventh day he shall shave off all his hair from his head, his beard, and his eyebrows. He shall shave off all his hair, and then he shall wash his clothes and bathe his body in water, and he shall be clean.
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-10“And on the eighth day he shall take two male lambs without blemish, and one ewe lamb a year old without blemish, and a grain offering of three tenths of an ephah[27] of fine flour mixed with oil, and one log[28] of oil. 11And the priest who cleanses him shall set the man who is to be cleansed and these things before the LORD, at the entrance of the tent of meeting. 12And the priest shall take one of the male lambs and offer it for a guilt offering, along with the log of oil, and wave them for a wave offering before the LORD. 13And he shall kill the lamb in the place where they kill the sin offering and the burnt offering, in the place of the sanctuary. For the guilt offering, like the sin offering, belongs to the priest; it is most holy. 14The priest shall take some of the blood of the guilt offering, and the priest shall put it on the lobe of the right ear of him who is to be cleansed and on the thumb of his right hand and on the big toe of his right foot. 15Then the priest shall take some of the log of oil and pour it into the palm of his own left hand 16and dip his right finger in the oil that is in his left hand and sprinkle some oil with his finger seven times before the LORD. 17And some of the oil that remains in his hand the priest shall put on the lobe of the right ear of him who is to be cleansed and on the thumb of his right hand and on the big toe of his right foot, on top of the blood of the guilt offering. 18And the rest of the oil that is in the priest's hand he shall put on the head of him who is to be cleansed. Then the priest shall make atonement for him before the LORD. 19The priest shall offer the sin offering, to make atonement for him who is to be cleansed from his uncleanness. And afterward he shall kill the burnt offering. 20And the priest shall offer the burnt offering and the grain offering on the altar. Thus the priest shall make atonement for him, and he shall be clean.
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-21“But if he is poor and cannot afford so much, then he shall take one male lamb for a guilt offering to be waved, to make atonement for him, and a tenth of an ephah of fine flour mixed with oil for a grain offering, and a log of oil; 22also two turtledoves or two pigeons, whichever he can afford. The one shall be a sin offering and the other a burnt offering. 23And on the eighth day he shall bring them for his cleansing to the priest, to the entrance of the tent of meeting, before the LORD. 24And the priest shall take the lamb of the guilt offering and the log of oil, and the priest shall wave them for a wave offering before the LORD. 25And he shall kill the lamb of the guilt offering. And the priest shall take some of the blood of the guilt offering and put it on the lobe of the right ear of him who is to be cleansed, and on the thumb of his right hand and on the big toe of his right foot. 26And the priest shall pour some of the oil into the palm of his own left hand, 27and shall sprinkle with his right finger some of the oil that is in his left hand seven times before the LORD. 28And the priest shall put some of the oil that is in his hand on the lobe of the right ear of him who is to be cleansed and on the thumb of his right hand and on the big toe of his right foot, in the place where the blood of the guilt offering was put. 29And the rest of the oil that is in the priest's hand he shall put on the head of him who is to be cleansed, to make atonement for him before the LORD. 30And he shall offer, of the turtledoves or pigeons, whichever he can afford, 31one[29] for a sin offering and the other for a burnt offering, along with a grain offering. And the priest shall make atonement before the LORD for him who is being cleansed. 32This is the law for him in whom is a case of leprous disease, who cannot afford the offerings for his cleansing.”
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-Laws for Cleansing Houses
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-33The LORD spoke to Moses and Aaron, saying, 34“When you come into the land of Canaan, which I give you for a possession, and I put a case of leprous disease in a house in the land of your possession, 35then he who owns the house shall come and tell the priest, ‘There seems to me to be some case of disease in my house.’ 36Then the priest shall command that they empty the house before the priest goes to examine the disease, lest all that is in the house be declared unclean. And afterward the priest shall go in to see the house. 37And he shall examine the disease. And if the disease is in the walls of the house with greenish or reddish spots, and if it appears to be deeper than the surface, 38then the priest shall go out of the house to the door of the house and shut up the house seven days. 39And the priest shall come again on the seventh day, and look. If the disease has spread in the walls of the house, 40then the priest shall command that they take out the stones in which is the disease and throw them into an unclean place outside the city. 41And he shall have the inside of the house scraped all around, and the plaster that they scrape off they shall pour out in an unclean place outside the city. 42Then they shall take other stones and put them in the place of those stones, and he shall take other plaster and plaster the house.
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-43“If the disease breaks out again in the house, after he has taken out the stones and scraped the house and plastered it, 44then the priest shall go and look. And if the disease has spread in the house, it is a persistent leprous disease in the house; it is unclean. 45And he shall break down the house, its stones and timber and all the plaster of the house, and he shall carry them out of the city to an unclean place. 46Moreover, whoever enters the house while it is shut up shall be unclean until the evening, 47and whoever sleeps in the house shall wash his clothes, and whoever eats in the house shall wash his clothes.
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-48“But if the priest comes and looks, and if the disease has not spread in the house after the house was plastered, then the priest shall pronounce the house clean, for the disease is healed. 49And for the cleansing of the house he shall take two small birds, with cedarwood and scarlet yarn and hyssop, 50and shall kill one of the birds in an earthenware vessel over fresh water 51and shall take the cedarwood and the hyssop and the scarlet yarn, along with the live bird, and dip them in the blood of the bird that was killed and in the fresh water and sprinkle the house seven times. 52Thus he shall cleanse the house with the blood of the bird and with the fresh water and with the live bird and with the cedarwood and hyssop and scarlet yarn. 53And he shall let the live bird go out of the city into the open country. So he shall make atonement for the house, and it shall be clean.”
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-54This is the law for any case of leprous disease: for an itch, 55for leprous disease in a garment or in a house, 56and for a swelling or an eruption or a spot, 57to show when it is unclean and when it is clean. This is the law for leprous disease.
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-Laws About Bodily Discharges
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-15:1 The LORD spoke to Moses and Aaron, saying, 2“Speak to the people of Israel and say to them, When any man has a discharge from his body,[30] his discharge is unclean. 3And this is the law of his uncleanness for a discharge: whether his body runs with his discharge, or his body is blocked up by his discharge, it is his uncleanness. 4Every bed on which the one with the discharge lies shall be unclean, and everything on which he sits shall be unclean. 5And anyone who touches his bed shall wash his clothes and bathe himself in water and be unclean until the evening. 6And whoever sits on anything on which the one with the discharge has sat shall wash his clothes and bathe himself in water and be unclean until the evening. 7And whoever touches the body of the one with the discharge shall wash his clothes and bathe himself in water and be unclean until the evening. 8And if the one with the discharge spits on someone who is clean, then he shall wash his clothes and bathe himself in water and be unclean until the evening. 9And any saddle on which the one with the discharge rides shall be unclean. 10And whoever touches anything that was under him shall be unclean until the evening. And whoever carries such things shall wash his clothes and bathe himself in water and be unclean until the evening. 11Anyone whom the one with the discharge touches without having rinsed his hands in water shall wash his clothes and bathe himself in water and be unclean until the evening. 12And an earthenware vessel that the one with the discharge touches shall be broken, and every vessel of wood shall be rinsed in water.
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-13“And when the one with a discharge is cleansed of his discharge, then he shall count for himself seven days for his cleansing, and wash his clothes. And he shall bathe his body in fresh water and shall be clean. 14And on the eighth day he shall take two turtledoves or two pigeons and come before the LORD to the entrance of the tent of meeting and give them to the priest. 15And the priest shall use them, one for a sin offering and the other for a burnt offering. And the priest shall make atonement for him before the LORD for his discharge.
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-16“If a man has an emission of semen, he shall bathe his whole body in water and be unclean until the evening. 17And every garment and every skin on which the semen comes shall be washed with water and be unclean until the evening. 18If a man lies with a woman and has an emission of semen, both of them shall bathe themselves in water and be unclean until the evening.
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-19“When a woman has a discharge, and the discharge in her body is blood, she shall be in her menstrual impurity for seven days, and whoever touches her shall be unclean until the evening. 20And everything on which she lies during her menstrual impurity shall be unclean. Everything also on which she sits shall be unclean. 21And whoever touches her bed shall wash his clothes and bathe himself in water and be unclean until the evening. 22And whoever touches anything on which she sits shall wash his clothes and bathe himself in water and be unclean until the evening. 23Whether it is the bed or anything on which she sits, when he touches it he shall be unclean until the evening. 24And if any man lies with her and her menstrual impurity comes upon him, he shall be unclean seven days, and every bed on which he lies shall be unclean.
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-25“If a woman has a discharge of blood for many days, not at the time of her menstrual impurity, or if she has a discharge beyond the time of her impurity, all the days of the discharge she shall continue in uncleanness. As in the days of her impurity, she shall be unclean. 26Every bed on which she lies, all the days of her discharge, shall be to her as the bed of her impurity. And everything on which she sits shall be unclean, as in the uncleanness of her menstrual impurity. 27And whoever touches these things shall be unclean, and shall wash his clothes and bathe himself in water and be unclean until the evening. 28But if she is cleansed of her discharge, she shall count for herself seven days, and after that she shall be clean. 29And on the eighth day she shall take two turtledoves or two pigeons and bring them to the priest, to the entrance of the tent of meeting. 30And the priest shall use one for a sin offering and the other for a burnt offering. And the priest shall make atonement for her before the LORD for her unclean discharge.
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-31“Thus you shall keep the people of Israel separate from their uncleanness, lest they die in their uncleanness by defiling my tabernacle that is in their midst.”
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-32This is the law for him who has a discharge and for him who has an emission of semen, becoming unclean thereby; 33also for her who is unwell with her menstrual impurity, that is, for anyone, male or female, who has a discharge, and for the man who lies with a woman who is unclean.
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-The Day of Atonement
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-16:1 The LORD spoke to Moses after the death of the two sons of Aaron, when they drew near before the LORD and died, 2and the LORD said to Moses, “Tell Aaron your brother not to come at any time into the Holy Place inside the veil, before the mercy seat that is on the ark, so that he may not die. For I will appear in the cloud over the mercy seat. 3But in this way Aaron shall come into the Holy Place: with a bull from the herd for a sin offering and a ram for a burnt offering. 4He shall put on the holy linen coat and shall have the linen undergarment on his body, and he shall tie the linen sash around his waist, and wear the linen turban; these are the holy garments. He shall bathe his body in water and then put them on. 5And he shall take from the congregation of the people of Israel two male goats for a sin offering, and one ram for a burnt offering.
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-6“Aaron shall offer the bull as a sin offering for himself and shall make atonement for himself and for his house. 7Then he shall take the two goats and set them before the LORD at the entrance of the tent of meeting. 8And Aaron shall cast lots over the two goats, one lot for the LORD and the other lot for Azazel.[31] 9And Aaron shall present the goat on which the lot fell for the LORD and use it as a sin offering, 10but the goat on which the lot fell for Azazel shall be presented alive before the LORD to make atonement over it, that it may be sent away into the wilderness to Azazel.
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-11“Aaron shall present the bull as a sin offering for himself, and shall make atonement for himself and for his house. He shall kill the bull as a sin offering for himself. 12And he shall take a censer full of coals of fire from the altar before the LORD, and two handfuls of sweet incense beaten small, and he shall bring it inside the veil 13and put the incense on the fire before the LORD, that the cloud of the incense may cover the mercy seat that is over the testimony, so that he does not die. 14And he shall take some of the blood of the bull and sprinkle it with his finger on the front of the mercy seat on the east side, and in front of the mercy seat he shall sprinkle some of the blood with his finger seven times.
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-15“Then he shall kill the goat of the sin offering that is for the people and bring its blood inside the veil and do with its blood as he did with the blood of the bull, sprinkling it over the mercy seat and in front of the mercy seat. 16Thus he shall make atonement for the Holy Place, because of the uncleannesses of the people of Israel and because of their transgressions, all their sins. And so he shall do for the tent of meeting, which dwells with them in the midst of their uncleannesses. 17No one may be in the tent of meeting from the time he enters to make atonement in the Holy Place until he comes out and has made atonement for himself and for his house and for all the assembly of Israel. 18Then he shall go out to the altar that is before the LORD and make atonement for it, and shall take some of the blood of the bull and some of the blood of the goat, and put it on the horns of the altar all around. 19And he shall sprinkle some of the blood on it with his finger seven times, and cleanse it and consecrate it from the uncleannesses of the people of Israel.
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-20“And when he has made an end of atoning for the Holy Place and the tent of meeting and the altar, he shall present the live goat. 21And Aaron shall lay both his hands on the head of the live goat, and confess over it all the iniquities of the people of Israel, and all their transgressions, all their sins. And he shall put them on the head of the goat and send it away into the wilderness by the hand of a man who is in readiness. 22The goat shall bear all their iniquities on itself to a remote area, and he shall let the goat go free in the wilderness.
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-23“Then Aaron shall come into the tent of meeting and shall take off the linen garments that he put on when he went into the Holy Place and shall leave them there. 24And he shall bathe his body in water in a holy place and put on his garments and come out and offer his burnt offering and the burnt offering of the people and make atonement for himself and for the people. 25And the fat of the sin offering he shall burn on the altar. 26And he who lets the goat go to Azazel shall wash his clothes and bathe his body in water, and afterward he may come into the camp. 27And the bull for the sin offering and the goat for the sin offering, whose blood was brought in to make atonement in the Holy Place, shall be carried outside the camp. Their skin and their flesh and their dung shall be burned up with fire. 28And he who burns them shall wash his clothes and bathe his body in water, and afterward he may come into the camp.
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-29“And it shall be a statute to you forever that in the seventh month, on the tenth day of the month, you shall afflict yourselves[32] and shall do no work, either the native or the stranger who sojourns among you. 30For on this day shall atonement be made for you to cleanse you. You shall be clean before the LORD from all your sins. 31It is a Sabbath of solemn rest to you, and you shall afflict yourselves; it is a statute forever. 32And the priest who is anointed and consecrated as priest in his father's place shall make atonement, wearing the holy linen garments. 33He shall make atonement for the holy sanctuary, and he shall make atonement for the tent of meeting and for the altar, and he shall make atonement for the priests and for all the people of the assembly. 34And this shall be a statute forever for you, that atonement may be made for the people of Israel once in the year because of all their sins.” And Moses did as the LORD commanded him.
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-The Place of Sacrifice
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-17:1 And the LORD spoke to Moses, saying, 2“Speak to Aaron and his sons and to all the people of Israel and say to them, This is the thing that the LORD has commanded. 3If any one of the house of Israel kills an ox or a lamb or a goat in the camp, or kills it outside the camp, 4and does not bring it to the entrance of the tent of meeting to offer it as a gift to the LORD in front of the tabernacle of the LORD, bloodguilt shall be imputed to that man. He has shed blood, and that man shall be cut off from among his people. 5This is to the end that the people of Israel may bring their sacrifices that they sacrifice in the open field, that they may bring them to the LORD, to the priest at the entrance of the tent of meeting, and sacrifice them as sacrifices of peace offerings to the LORD. 6And the priest shall throw the blood on the altar of the LORD at the entrance of the tent of meeting and burn the fat for a pleasing aroma to the LORD. 7So they shall no more sacrifice their sacrifices to goat demons, after whom they whore. This shall be a statute forever for them throughout their generations.
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-8“And you shall say to them, Any one of the house of Israel, or of the strangers who sojourn among them, who offers a burnt offering or sacrifice 9and does not bring it to the entrance of the tent of meeting to offer it to the LORD, that man shall be cut off from his people.
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-Laws Against Eating Blood
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-10“If any one of the house of Israel or of the strangers who sojourn among them eats any blood, I will set my face against that person who eats blood and will cut him off from among his people. 11For the life of the flesh is in the blood, and I have given it for you on the altar to make atonement for your souls, for it is the blood that makes atonement by the life. 12Therefore I have said to the people of Israel, No person among you shall eat blood, neither shall any stranger who sojourns among you eat blood.
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-13“Any one also of the people of Israel, or of the strangers who sojourn among them, who takes in hunting any beast or bird that may be eaten shall pour out its blood and cover it with earth. 14For the life of every creature[33] is its blood: its blood is its life.[34] Therefore I have said to the people of Israel, You shall not eat the blood of any creature, for the life of every creature is its blood. Whoever eats it shall be cut off. 15And every person who eats what dies of itself or what is torn by beasts, whether he is a native or a sojourner, shall wash his clothes and bathe himself in water and be unclean until the evening; then he shall be clean. 16But if he does not wash them or bathe his flesh, he shall bear his iniquity.”
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-Unlawful Sexual Relations
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-18:1 And the LORD spoke to Moses, saying, 2“Speak to the people of Israel and say to them, I am the LORD your God. 3You shall not do as they do in the land of Egypt, where you lived, and you shall not do as they do in the land of Canaan, to which I am bringing you. You shall not walk in their statutes. 4You shall follow my rules[35] and keep my statutes and walk in them. I am the LORD your God. 5You shall therefore keep my statutes and my rules; if a person does them, he shall live by them: I am the LORD.
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-6“None of you shall approach any one of his close relatives to uncover nakedness. I am the LORD. 7You shall not uncover the nakedness of your father, which is the nakedness of your mother; she is your mother, you shall not uncover her nakedness. 8You shall not uncover the nakedness of your father's wife; it is your father's nakedness. 9You shall not uncover the nakedness of your sister, your father's daughter or your mother's daughter, whether brought up in the family or in another home. 10You shall not uncover the nakedness of your son's daughter or of your daughter's daughter, for their nakedness is your own nakedness. 11You shall not uncover the nakedness of your father's wife's daughter, brought up in your father's family, since she is your sister. 12You shall not uncover the nakedness of your father's sister; she is your father's relative. 13You shall not uncover the nakedness of your mother's sister, for she is your mother's relative. 14You shall not uncover the nakedness of your father's brother, that is, you shall not approach his wife; she is your aunt. 15You shall not uncover the nakedness of your daughter-in-law; she is your son's wife, you shall not uncover her nakedness. 16You shall not uncover the nakedness of your brother's wife; it is your brother's nakedness. 17You shall not uncover the nakedness of a woman and of her daughter, and you shall not take her son's daughter or her daughter's daughter to uncover her nakedness; they are relatives; it is depravity. 18And you shall not take a woman as a rival wife to her sister, uncovering her nakedness while her sister is still alive.
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-19“You shall not approach a woman to uncover her nakedness while she is in her menstrual uncleanness. 20And you shall not lie sexually with your neighbor's wife and so make yourself unclean with her. 21You shall not give any of your children to offer them[36] to Molech, and so profane the name of your God: I am the LORD. 22You shall not lie with a male as with a woman; it is an abomination. 23And you shall not lie with any animal and so make yourself unclean with it, neither shall any woman give herself to an animal to lie with it: it is perversion.
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-24“Do not make yourselves unclean by any of these things, for by all these the nations I am driving out before you have become unclean, 25and the land became unclean, so that I punished its iniquity, and the land vomited out its inhabitants. 26But you shall keep my statutes and my rules and do none of these abominations, either the native or the stranger who sojourns among you 27(for the people of the land, who were before you, did all of these abominations, so that the land became unclean), 28lest the land vomit you out when you make it unclean, as it vomited out the nation that was before you. 29For everyone who does any of these abominations, the persons who do them shall be cut off from among their people. 30So keep my charge never to practice any of these abominable customs that were practiced before you, and never to make yourselves unclean by them: I am the LORD your God.”
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-The LORD Is Holy
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-19:1 And the LORD spoke to Moses, saying, 2“Speak to all the congregation of the people of Israel and say to them, You shall be holy, for I the LORD your God am holy. 3Every one of you shall revere his mother and his father, and you shall keep my Sabbaths: I am the LORD your God. 4Do not turn to idols or make for yourselves any gods of cast metal: I am the LORD your God.
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-5“When you offer a sacrifice of peace offerings to the LORD, you shall offer it so that you may be accepted. 6It shall be eaten the same day you offer it or on the day after, and anything left over until the third day shall be burned up with fire. 7If it is eaten at all on the third day, it is tainted; it will not be accepted, 8and everyone who eats it shall bear his iniquity, because he has profaned what is holy to the LORD, and that person shall be cut off from his people.
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-Love Your Neighbor as Yourself
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-9“When you reap the harvest of your land, you shall not reap your field right up to its edge, neither shall you gather the gleanings after your harvest. 10And you shall not strip your vineyard bare, neither shall you gather the fallen grapes of your vineyard. You shall leave them for the poor and for the sojourner: I am the LORD your God.
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-11“You shall not steal; you shall not deal falsely; you shall not lie to one another. 12You shall not swear by my name falsely, and so profane the name of your God: I am the LORD.
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-13“You shall not oppress your neighbor or rob him. The wages of a hired servant shall not remain with you all night until the morning. 14You shall not curse the deaf or put a stumbling block before the blind, but you shall fear your God: I am the LORD.
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-15“You shall do no injustice in court. You shall not be partial to the poor or defer to the great, but in righteousness shall you judge your neighbor. 16You shall not go around as a slanderer among your people, and you shall not stand up against the life[37] of your neighbor: I am the LORD.
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-17“You shall not hate your brother in your heart, but you shall reason frankly with your neighbor, lest you incur sin because of him. 18You shall not take vengeance or bear a grudge against the sons of your own people, but you shall love your neighbor as yourself: I am the LORD.
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-You Shall Keep My Statutes
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-19“You shall keep my statutes. You shall not let your cattle breed with a different kind. You shall not sow your field with two kinds of seed, nor shall you wear a garment of cloth made of two kinds of material.
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-20“If a man lies sexually with a woman who is a slave, assigned to another man and not yet ransomed or given her freedom, a distinction shall be made. They shall not be put to death, because she was not free; 21but he shall bring his compensation to the LORD, to the entrance of the tent of meeting, a ram for a guilt offering. 22And the priest shall make atonement for him with the ram of the guilt offering before the LORD for his sin that he has committed, and he shall be forgiven for the sin that he has committed.
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-23“When you come into the land and plant any kind of tree for food, then you shall regard its fruit as forbidden.[38] Three years it shall be forbidden to you; it must not be eaten. 24And in the fourth year all its fruit shall be holy, an offering of praise to the LORD. 25But in the fifth year you may eat of its fruit, to increase its yield for you: I am the LORD your God.
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-26“You shall not eat any flesh with the blood in it. You shall not interpret omens or tell fortunes. 27You shall not round off the hair on your temples or mar the edges of your beard. 28You shall not make any cuts on your body for the dead or tattoo yourselves: I am the LORD.
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-29“Do not profane your daughter by making her a prostitute, lest the land fall into prostitution and the land become full of depravity. 30You shall keep my Sabbaths and reverence my sanctuary: I am the LORD.
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-31“Do not turn to mediums or necromancers; do not seek them out, and so make yourselves unclean by them: I am the LORD your God.
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-32“You shall stand up before the gray head and honor the face of an old man, and you shall fear your God: I am the LORD.
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-33“When a stranger sojourns with you in your land, you shall not do him wrong. 34You shall treat the stranger who sojourns with you as the native among you, and you shall love him as yourself, for you were strangers in the land of Egypt: I am the LORD your God.
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-35“You shall do no wrong in judgment, in measures of length or weight or quantity. 36You shall have just balances, just weights, a just ephah, and a just hin:[39] I am the LORD your God, who brought you out of the land of Egypt. 37And you shall observe all my statutes and all my rules, and do them: I am the LORD.”
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-Punishment for Child Sacrifice
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-20:1 The LORD spoke to Moses, saying, 2“Say to the people of Israel, Any one of the people of Israel or of the strangers who sojourn in Israel who gives any of his children to Molech shall surely be put to death. The people of the land shall stone him with stones. 3I myself will set my face against that man and will cut him off from among his people, because he has given one of his children to Molech, to make my sanctuary unclean and to profane my holy name. 4And if the people of the land do at all close their eyes to that man when he gives one of his children to Molech, and do not put him to death, 5then I will set my face against that man and against his clan and will cut them off from among their people, him and all who follow him in whoring after Molech.
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-6“If a person turns to mediums and necromancers, whoring after them, I will set my face against that person and will cut him off from among his people. 7Consecrate yourselves, therefore, and be holy, for I am the LORD your God. 8Keep my statutes and do them; I am the LORD who sanctifies you. 9For anyone who curses his father or his mother shall surely be put to death; he has cursed his father or his mother; his blood is upon him.
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-Punishments for Sexual Immorality
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-10“If a man commits adultery with the wife of[40] his neighbor, both the adulterer and the adulteress shall surely be put to death. 11If a man lies with his father's wife, he has uncovered his father's nakedness; both of them shall surely be put to death; their blood is upon them. 12If a man lies with his daughter-in-law, both of them shall surely be put to death; they have committed perversion; their blood is upon them. 13If a man lies with a male as with a woman, both of them have committed an abomination; they shall surely be put to death; their blood is upon them. 14If a man takes a woman and her mother also, it is depravity; he and they shall be burned with fire, that there may be no depravity among you. 15If a man lies with an animal, he shall surely be put to death, and you shall kill the animal. 16If a woman approaches any animal and lies with it, you shall kill the woman and the animal; they shall surely be put to death; their blood is upon them.
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-17“If a man takes his sister, a daughter of his father or a daughter of his mother, and sees her nakedness, and she sees his nakedness, it is a disgrace, and they shall be cut off in the sight of the children of their people. He has uncovered his sister's nakedness, and he shall bear his iniquity. 18If a man lies with a woman during her menstrual period and uncovers her nakedness, he has made naked her fountain, and she has uncovered the fountain of her blood. Both of them shall be cut off from among their people. 19You shall not uncover the nakedness of your mother's sister or of your father's sister, for that is to make naked one's relative; they shall bear their iniquity. 20If a man lies with his uncle's wife, he has uncovered his uncle's nakedness; they shall bear their sin; they shall die childless. 21If a man takes his brother's wife, it is impurity.[41] He has uncovered his brother's nakedness; they shall be childless.
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-You Shall Be Holy
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-22“You shall therefore keep all my statutes and all my rules and do them, that the land where I am bringing you to live may not vomit you out. 23And you shall not walk in the customs of the nation that I am driving out before you, for they did all these things, and therefore I detested them. 24But I have said to you, ‘You shall inherit their land, and I will give it to you to possess, a land flowing with milk and honey.’ I am the LORD your God, who has separated you from the peoples. 25You shall therefore separate the clean beast from the unclean, and the unclean bird from the clean. You shall not make yourselves detestable by beast or by bird or by anything with which the ground crawls, which I have set apart for you to hold unclean. 26You shall be holy to me, for I the LORD am holy and have separated you from the peoples, that you should be mine.
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-27“A man or a woman who is a medium or a necromancer shall surely be put to death. They shall be stoned with stones; their blood shall be upon them.”
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-Holiness and the Priests
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-21:1 And the LORD said to Moses, “Speak to the priests, the sons of Aaron, and say to them: No one shall make himself unclean for the dead among his people, 2except for his closest relatives, his mother, his father, his son, his daughter, his brother, 3or his virgin sister (who is near to him because she has had no husband; for her he may make himself unclean). 4He shall not make himself unclean as a husband among his people and so profane himself. 5They shall not make bald patches on their heads, nor shave off the edges of their beards, nor make any cuts on their body. 6They shall be holy to their God and not profane the name of their God. For they offer the LORD's food offerings, the bread of their God; therefore they shall be holy. 7They shall not marry a prostitute or a woman who has been defiled, neither shall they marry a woman divorced from her husband, for the priest is holy to his God. 8You shall sanctify him, for he offers the bread of your God. He shall be holy to you, for I, the LORD, who sanctify you, am holy. 9And the daughter of any priest, if she profanes herself by whoring, profanes her father; she shall be burned with fire.
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-10“The priest who is chief among his brothers, on whose head the anointing oil is poured and who has been consecrated to wear the garments, shall not let the hair of his head hang loose nor tear his clothes. 11He shall not go in to any dead bodies nor make himself unclean, even for his father or for his mother. 12He shall not go out of the sanctuary, lest he profane the sanctuary of his God, for the consecration of the anointing oil of his God is on him: I am the LORD. 13And he shall take a wife in her virginity.[42] 14A widow, or a divorced woman, or a woman who has been defiled, or a prostitute, these he shall not marry. But he shall take as his wife a virgin[43] of his own people, 15that he may not profane his offspring among his people, for I am the LORD who sanctifies him.”
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-16And the LORD spoke to Moses, saying, 17“Speak to Aaron, saying, None of your offspring throughout their generations who has a blemish may approach to offer the bread of his God. 18For no one who has a blemish shall draw near, a man blind or lame, or one who has a mutilated face or a limb too long, 19or a man who has an injured foot or an injured hand, 20or a hunchback or a dwarf or a man with a defect in his sight or an itching disease or scabs or crushed testicles. 21No man of the offspring of Aaron the priest who has a blemish shall come near to offer the LORD's food offerings; since he has a blemish, he shall not come near to offer the bread of his God. 22He may eat the bread of his God, both of the most holy and of the holy things, 23but he shall not go through the veil or approach the altar, because he has a blemish, that he may not profane my sanctuaries, for I am the LORD who sanctifies them.” 24So Moses spoke to Aaron and to his sons and to all the people of Israel.
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-22:1 And the LORD spoke to Moses, saying, 2“Speak to Aaron and his sons so that they abstain from the holy things of the people of Israel, which they dedicate to me, so that they do not profane my holy name: I am the LORD. 3Say to them, ‘If any one of all your offspring throughout your generations approaches the holy things that the people of Israel dedicate to the LORD, while he has an uncleanness, that person shall be cut off from my presence: I am the LORD. 4None of the offspring of Aaron who has a leprous disease or a discharge may eat of the holy things until he is clean. Whoever touches anything that is unclean through contact with the dead or a man who has had an emission of semen, 5and whoever touches a swarming thing by which he may be made unclean or a person from whom he may take uncleanness, whatever his uncleanness may be— 6the person who touches such a thing shall be unclean until the evening and shall not eat of the holy things unless he has bathed his body in water. 7When the sun goes down he shall be clean, and afterward he may eat of the holy things, because they are his food. 8He shall not eat what dies of itself or is torn by beasts, and so make himself unclean by it: I am the LORD.’ 9They shall therefore keep my charge, lest they bear sin for it and die thereby when they profane it: I am the LORD who sanctifies them.
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-10“A lay person shall not eat of a holy thing; no foreign guest of the priest or hired servant shall eat of a holy thing, 11but if a priest buys a slave as his property for money, the slave[44] may eat of it, and anyone born in his house may eat of his food. 12If a priest's daughter marries a layman, she shall not eat of the contribution of the holy things. 13But if a priest's daughter is widowed or divorced and has no child and returns to her father's house, as in her youth, she may eat of her father's food; yet no lay person shall eat of it. 14And if anyone eats of a holy thing unintentionally, he shall add the fifth of its value to it and give the holy thing to the priest. 15They shall not profane the holy things of the people of Israel, which they contribute to the LORD, 16and so cause them to bear iniquity and guilt, by eating their holy things: for I am the LORD who sanctifies them.”
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-Acceptable Offerings
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-17And the LORD spoke to Moses, saying, 18“Speak to Aaron and his sons and all the people of Israel and say to them, When any one of the house of Israel or of the sojourners in Israel presents a burnt offering as his offering, for any of their vows or freewill offerings that they offer to the LORD, 19if it is to be accepted for you it shall be a male without blemish, of the bulls or the sheep or the goats. 20You shall not offer anything that has a blemish, for it will not be acceptable for you. 21And when anyone offers a sacrifice of peace offerings to the LORD to fulfill a vow or as a freewill offering from the herd or from the flock, to be accepted it must be perfect; there shall be no blemish in it. 22Animals blind or disabled or mutilated or having a discharge or an itch or scabs you shall not offer to the LORD or give them to the LORD as a food offering on the altar. 23You may present a bull or a lamb that has a part too long or too short for a freewill offering, but for a vow offering it cannot be accepted. 24Any animal that has its testicles bruised or crushed or torn or cut you shall not offer to the LORD; you shall not do it within your land, 25neither shall you offer as the bread of your God any such animals gotten from a foreigner. Since there is a blemish in them, because of their mutilation, they will not be accepted for you.”
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-26And the LORD spoke to Moses, saying, 27“When an ox or sheep or goat is born, it shall remain seven days with its mother, and from the eighth day on it shall be acceptable as a food offering to the LORD. 28But you shall not kill an ox or a sheep and her young in one day. 29And when you sacrifice a sacrifice of thanksgiving to the LORD, you shall sacrifice it so that you may be accepted. 30It shall be eaten on the same day; you shall leave none of it until morning: I am the LORD.
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-31“So you shall keep my commandments and do them: I am the LORD. 32And you shall not profane my holy name, that I may be sanctified among the people of Israel. I am the LORD who sanctifies you, 33who brought you out of the land of Egypt to be your God: I am the LORD.”
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-Feasts of the LORD
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-23:1 The LORD spoke to Moses, saying, 2“Speak to the people of Israel and say to them, These are the appointed feasts of the LORD that you shall proclaim as holy convocations; they are my appointed feasts.
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-The Sabbath
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-3“Six days shall work be done, but on the seventh day is a Sabbath of solemn rest, a holy convocation. You shall do no work. It is a Sabbath to the LORD in all your dwelling places.
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-The Passover
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-4“These are the appointed feasts of the LORD, the holy convocations, which you shall proclaim at the time appointed for them. 5In the first month, on the fourteenth day of the month at twilight,[45] is the LORD's Passover. 6And on the fifteenth day of the same month is the Feast of Unleavened Bread to the LORD; for seven days you shall eat unleavened bread. 7On the first day you shall have a holy convocation; you shall not do any ordinary work. 8But you shall present a food offering to the LORD for seven days. On the seventh day is a holy convocation; you shall not do any ordinary work.”
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-The Feast of Firstfruits
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-9And the LORD spoke to Moses, saying, 10“Speak to the people of Israel and say to them, When you come into the land that I give you and reap its harvest, you shall bring the sheaf of the firstfruits of your harvest to the priest, 11and he shall wave the sheaf before the LORD, so that you may be accepted. On the day after the Sabbath the priest shall wave it. 12And on the day when you wave the sheaf, you shall offer a male lamb a year old without blemish as a burnt offering to the LORD. 13And the grain offering with it shall be two tenths of an ephah[46] of fine flour mixed with oil, a food offering to the LORD with a pleasing aroma, and the drink offering with it shall be of wine, a fourth of a hin.[47] 14And you shall eat neither bread nor grain parched or fresh until this same day, until you have brought the offering of your God: it is a statute forever throughout your generations in all your dwellings.
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-The Feast of Weeks
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-15“You shall count seven full weeks from the day after the Sabbath, from the day that you brought the sheaf of the wave offering. 16You shall count fifty days to the day after the seventh Sabbath. Then you shall present a grain offering of new grain to the LORD. 17You shall bring from your dwelling places two loaves of bread to be waved, made of two tenths of an ephah. They shall be of fine flour, and they shall be baked with leaven, as firstfruits to the LORD. 18And you shall present with the bread seven lambs a year old without blemish, and one bull from the herd and two rams. They shall be a burnt offering to the LORD, with their grain offering and their drink offerings, a food offering with a pleasing aroma to the LORD. 19And you shall offer one male goat for a sin offering, and two male lambs a year old as a sacrifice of peace offerings. 20And the priest shall wave them with the bread of the firstfruits as a wave offering before the LORD, with the two lambs. They shall be holy to the LORD for the priest. 21And you shall make proclamation on the same day. You shall hold a holy convocation. You shall not do any ordinary work. It is a statute forever in all your dwelling places throughout your generations.
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-22“And when you reap the harvest of your land, you shall not reap your field right up to its edge, nor shall you gather the gleanings after your harvest. You shall leave them for the poor and for the sojourner: I am the LORD your God.”
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-The Feast of Trumpets
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-23And the LORD spoke to Moses, saying, 24“Speak to the people of Israel, saying, In the seventh month, on the first day of the month, you shall observe a day of solemn rest, a memorial proclaimed with blast of trumpets, a holy convocation. 25You shall not do any ordinary work, and you shall present a food offering to the LORD.”
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-The Day of Atonement
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-26And the LORD spoke to Moses, saying, 27“Now on the tenth day of this seventh month is the Day of Atonement. It shall be for you a time of holy convocation, and you shall afflict yourselves and present a food offering to the LORD. 28And you shall not do any work on that very day, for it is a Day of Atonement, to make atonement for you before the LORD your God. 29For whoever is not afflicted on that very day shall be cut off from his people. 30And whoever does any work on that very day, that person I will destroy from among his people. 31You shall not do any work. It is a statute forever throughout your generations in all your dwelling places. 32It shall be to you a Sabbath of solemn rest, and you shall afflict yourselves. On the ninth day of the month beginning at evening, from evening to evening shall you keep your Sabbath.”
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-The Feast of Booths
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-33And the LORD spoke to Moses, saying, 34“Speak to the people of Israel, saying, On the fifteenth day of this seventh month and for seven days is the Feast of Booths[48] to the LORD. 35On the first day shall be a holy convocation; you shall not do any ordinary work. 36For seven days you shall present food offerings to the LORD. On the eighth day you shall hold a holy convocation and present a food offering to the LORD. It is a solemn assembly; you shall not do any ordinary work.
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-37“These are the appointed feasts of the LORD, which you shall proclaim as times of holy convocation, for presenting to the LORD food offerings, burnt offerings and grain offerings, sacrifices and drink offerings, each on its proper day, 38besides the LORD's Sabbaths and besides your gifts and besides all your vow offerings and besides all your freewill offerings, which you give to the LORD.
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-39“On the fifteenth day of the seventh month, when you have gathered in the produce of the land, you shall celebrate the feast of the LORD seven days. On the first day shall be a solemn rest, and on the eighth day shall be a solemn rest. 40And you shall take on the first day the fruit of splendid trees, branches of palm trees and boughs of leafy trees and willows of the brook, and you shall rejoice before the LORD your God seven days. 41You shall celebrate it as a feast to the LORD for seven days in the year. It is a statute forever throughout your generations; you shall celebrate it in the seventh month. 42You shall dwell in booths for seven days. All native Israelites shall dwell in booths, 43that your generations may know that I made the people of Israel dwell in booths when I brought them out of the land of Egypt: I am the LORD your God.”
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-44Thus Moses declared to the people of Israel the appointed feasts of the LORD.
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-The Lamps
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-24:1 The LORD spoke to Moses, saying, 2“Command the people of Israel to bring you pure oil from beaten olives for the lamp, that a light may be kept burning regularly. 3Outside the veil of the testimony, in the tent of meeting, Aaron shall arrange it from evening to morning before the LORD regularly. It shall be a statute forever throughout your generations. 4He shall arrange the lamps on the lampstand of pure gold[49] before the LORD regularly.
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-Bread for the Tabernacle
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-5“You shall take fine flour and bake twelve loaves from it; two tenths of an ephah[50] shall be in each loaf. 6And you shall set them in two piles, six in a pile, on the table of pure gold[51] before the LORD. 7And you shall put pure frankincense on each pile, that it may go with the bread as a memorial portion as a food offering to the LORD. 8Every Sabbath day Aaron shall arrange it before the LORD regularly; it is from the people of Israel as a covenant forever. 9And it shall be for Aaron and his sons, and they shall eat it in a holy place, since it is for him a most holy portion out of the LORD's food offerings, a perpetual due.”
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-Punishment for Blasphemy
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-10Now an Israelite woman's son, whose father was an Egyptian, went out among the people of Israel. And the Israelite woman's son and a man of Israel fought in the camp, 11and the Israelite woman's son blasphemed the Name, and cursed. Then they brought him to Moses. His mother's name was Shelomith, the daughter of Dibri, of the tribe of Dan. 12And they put him in custody, till the will of the LORD should be clear to them.
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-13Then the LORD spoke to Moses, saying, 14“Bring out of the camp the one who cursed, and let all who heard him lay their hands on his head, and let all the congregation stone him. 15And speak to the people of Israel, saying, Whoever curses his God shall bear his sin. 16Whoever blasphemes the name of the LORD shall surely be put to death. All the congregation shall stone him. The sojourner as well as the native, when he blasphemes the Name, shall be put to death.
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-An Eye for an Eye
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-17“Whoever takes a human life shall surely be put to death. 18Whoever takes an animal's life shall make it good, life for life. 19If anyone injures his neighbor, as he has done it shall be done to him, 20fracture for fracture, eye for eye, tooth for tooth; whatever injury he has given a person shall be given to him. 21Whoever kills an animal shall make it good, and whoever kills a person shall be put to death. 22You shall have the same rule for the sojourner and for the native, for I am the LORD your God.” 23So Moses spoke to the people of Israel, and they brought out of the camp the one who had cursed and stoned him with stones. Thus the people of Israel did as the LORD commanded Moses.
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-The Sabbath Year
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-25:1 The LORD spoke to Moses on Mount Sinai, saying, 2“Speak to the people of Israel and say to them, When you come into the land that I give you, the land shall keep a Sabbath to the LORD. 3For six years you shall sow your field, and for six years you shall prune your vineyard and gather in its fruits, 4but in the seventh year there shall be a Sabbath of solemn rest for the land, a Sabbath to the LORD. You shall not sow your field or prune your vineyard. 5You shall not reap what grows of itself in your harvest, or gather the grapes of your undressed vine. It shall be a year of solemn rest for the land. 6The Sabbath of the land shall provide food for you, for yourself and for your male and female slaves and for your hired servant and the sojourner who lives with you, 7and for your cattle and for the wild animals that are in your land: all its yield shall be for food.
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-The Year of Jubilee
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-8“You shall count seven weeks[52] of years, seven times seven years, so that the time of the seven weeks of years shall give you forty-nine years. 9Then you shall sound the loud trumpet on the tenth day of the seventh month. On the Day of Atonement you shall sound the trumpet throughout all your land. 10And you shall consecrate the fiftieth year, and proclaim liberty throughout the land to all its inhabitants. It shall be a jubilee for you, when each of you shall return to his property and each of you shall return to his clan. 11That fiftieth year shall be a jubilee for you; in it you shall neither sow nor reap what grows of itself nor gather the grapes from the undressed vines. 12For it is a jubilee. It shall be holy to you. You may eat the produce of the field.[53]
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-13“In this year of jubilee each of you shall return to his property. 14And if you make a sale to your neighbor or buy from your neighbor, you shall not wrong one another. 15You shall pay your neighbor according to the number of years after the jubilee, and he shall sell to you according to the number of years for crops. 16If the years are many, you shall increase the price, and if the years are few, you shall reduce the price, for it is the number of the crops that he is selling to you. 17You shall not wrong one another, but you shall fear your God, for I am the LORD your God.
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-18“Therefore you shall do my statutes and keep my rules and perform them, and then you will dwell in the land securely. 19The land will yield its fruit, and you will eat your fill and dwell in it securely. 20And if you say, ‘What shall we eat in the seventh year, if we may not sow or gather in our crop?’ 21I will command my blessing on you in the sixth year, so that it will produce a crop sufficient for three years. 22When you sow in the eighth year, you will be eating some of the old crop; you shall eat the old until the ninth year, when its crop arrives.
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-Redemption of Property
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-23“The land shall not be sold in perpetuity, for the land is mine. For you are strangers and sojourners with me. 24And in all the country you possess, you shall allow a redemption of the land.
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-25“If your brother becomes poor and sells part of his property, then his nearest redeemer shall come and redeem what his brother has sold. 26If a man has no one to redeem it and then himself becomes prosperous and finds sufficient means to redeem it, 27let him calculate the years since he sold it and pay back the balance to the man to whom he sold it, and then return to his property. 28But if he has not sufficient means to recover it, then what he sold shall remain in the hand of the buyer until the year of jubilee. In the jubilee it shall be released, and he shall return to his property.
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-29“If a man sells a dwelling house in a walled city, he may redeem it within a year of its sale. For a full year he shall have the right of redemption. 30If it is not redeemed within a full year, then the house in the walled city shall belong in perpetuity to the buyer, throughout his generations; it shall not be released in the jubilee. 31But the houses of the villages that have no wall around them shall be classified with the fields of the land. They may be redeemed, and they shall be released in the jubilee. 32As for the cities of the Levites, the Levites may redeem at any time the houses in the cities they possess. 33And if one of the Levites exercises his right of redemption, then the house that was sold in a city they possess shall be released in the jubilee. For the houses in the cities of the Levites are their possession among the people of Israel. 34But the fields of pastureland belonging to their cities may not be sold, for that is their possession forever.
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-Kindness for Poor Brothers
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-35“If your brother becomes poor and cannot maintain himself with you, you shall support him as though he were a stranger and a sojourner, and he shall live with you. 36Take no interest from him or profit, but fear your God, that your brother may live beside you. 37You shall not lend him your money at interest, nor give him your food for profit. 38I am the LORD your God, who brought you out of the land of Egypt to give you the land of Canaan, and to be your God.
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-39“If your brother becomes poor beside you and sells himself to you, you shall not make him serve as a slave: 40he shall be with you as a hired servant and as a sojourner. He shall serve with you until the year of the jubilee. 41Then he shall go out from you, he and his children with him, and go back to his own clan and return to the possession of his fathers. 42For they are my servants,[54] whom I brought out of the land of Egypt; they shall not be sold as slaves. 43You shall not rule over him ruthlessly but shall fear your God. 44As for your male and female slaves whom you may have: you may buy male and female slaves from among the nations that are around you. 45You may also buy from among the strangers who sojourn with you and their clans that are with you, who have been born in your land, and they may be your property. 46You may bequeath them to your sons after you to inherit as a possession forever. You may make slaves of them, but over your brothers the people of Israel you shall not rule, one over another ruthlessly.
-
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-Redeeming a Poor Man
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-47“If a stranger or sojourner with you becomes rich, and your brother beside him becomes poor and sells himself to the stranger or sojourner with you or to a member of the stranger's clan, 48then after he is sold he may be redeemed. One of his brothers may redeem him, 49or his uncle or his cousin may redeem him, or a close relative from his clan may redeem him. Or if he grows rich he may redeem himself. 50He shall calculate with his buyer from the year when he sold himself to him until the year of jubilee, and the price of his sale shall vary with the number of years. The time he was with his owner shall be rated as the time of a hired servant. 51If there are still many years left, he shall pay proportionately for his redemption some of his sale price. 52If there remain but a few years until the year of jubilee, he shall calculate and pay for his redemption in proportion to his years of service. 53He shall treat him as a servant hired year by year. He shall not rule ruthlessly over him in your sight. 54And if he is not redeemed by these means, then he and his children with him shall be released in the year of jubilee. 55For it is to me that the people of Israel are servants.[55] They are my servants whom I brought out of the land of Egypt: I am the LORD your God.
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-Blessings for Obedience
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-26:1 “You shall not make idols for yourselves or erect an image or pillar, and you shall not set up a figured stone in your land to bow down to it, for I am the LORD your God. 2You shall keep my Sabbaths and reverence my sanctuary: I am the LORD.
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-3“If you walk in my statutes and observe my commandments and do them, 4then I will give you your rains in their season, and the land shall yield its increase, and the trees of the field shall yield their fruit. 5Your threshing shall last to the time of the grape harvest, and the grape harvest shall last to the time for sowing. And you shall eat your bread to the full and dwell in your land securely. 6I will give peace in the land, and you shall lie down, and none shall make you afraid. And I will remove harmful beasts from the land, and the sword shall not go through your land. 7You shall chase your enemies, and they shall fall before you by the sword. 8Five of you shall chase a hundred, and a hundred of you shall chase ten thousand, and your enemies shall fall before you by the sword. 9I will turn to you and make you fruitful and multiply you and will confirm my covenant with you. 10You shall eat old store long kept, and you shall clear out the old to make way for the new. 11I will make my dwelling[56] among you, and my soul shall not abhor you. 12And I will walk among you and will be your God, and you shall be my people. 13I am the LORD your God, who brought you out of the land of Egypt, that you should not be their slaves. And I have broken the bars of your yoke and made you walk erect.
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-Punishment for Disobedience
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-14“But if you will not listen to me and will not do all these commandments, 15if you spurn my statutes, and if your soul abhors my rules, so that you will not do all my commandments, but break my covenant, 16then I will do this to you: I will visit you with panic, with wasting disease and fever that consume the eyes and make the heart ache. And you shall sow your seed in vain, for your enemies shall eat it. 17I will set my face against you, and you shall be struck down before your enemies. Those who hate you shall rule over you, and you shall flee when none pursues you. 18And if in spite of this you will not listen to me, then I will discipline you again sevenfold for your sins, 19and I will break the pride of your power, and I will make your heavens like iron and your earth like bronze. 20And your strength shall be spent in vain, for your land shall not yield its increase, and the trees of the land shall not yield their fruit.
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-21“Then if you walk contrary to me and will not listen to me, I will continue striking you, sevenfold for your sins. 22And I will let loose the wild beasts against you, which shall bereave you of your children and destroy your livestock and make you few in number, so that your roads shall be deserted.
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-23“And if by this discipline you are not turned to me but walk contrary to me, 24then I also will walk contrary to you, and I myself will strike you sevenfold for your sins. 25And I will bring a sword upon you, that shall execute vengeance for the covenant. And if you gather within your cities, I will send pestilence among you, and you shall be delivered into the hand of the enemy. 26When I break your supply[57] of bread, ten women shall bake your bread in a single oven and shall dole out your bread again by weight, and you shall eat and not be satisfied.
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-27“But if in spite of this you will not listen to me, but walk contrary to me, 28then I will walk contrary to you in fury, and I myself will discipline you sevenfold for your sins. 29You shall eat the flesh of your sons, and you shall eat the flesh of your daughters. 30And I will destroy your high places and cut down your incense altars and cast your dead bodies upon the dead bodies of your idols, and my soul will abhor you. 31And I will lay your cities waste and will make your sanctuaries desolate, and I will not smell your pleasing aromas. 32And I myself will devastate the land, so that your enemies who settle in it shall be appalled at it. 33And I will scatter you among the nations, and I will unsheathe the sword after you, and your land shall be a desolation, and your cities shall be a waste.
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-34“Then the land shall enjoy[58] its Sabbaths as long as it lies desolate, while you are in your enemies' land; then the land shall rest, and enjoy its Sabbaths. 35As long as it lies desolate it shall have rest, the rest that it did not have on your Sabbaths when you were dwelling in it. 36And as for those of you who are left, I will send faintness into their hearts in the lands of their enemies. The sound of a driven leaf shall put them to flight, and they shall flee as one flees from the sword, and they shall fall when none pursues. 37They shall stumble over one another, as if to escape a sword, though none pursues. And you shall have no power to stand before your enemies. 38And you shall perish among the nations, and the land of your enemies shall eat you up. 39And those of you who are left shall rot away in your enemies' lands because of their iniquity, and also because of the iniquities of their fathers they shall rot away like them.
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-40“But if they confess their iniquity and the iniquity of their fathers in their treachery that they committed against me, and also in walking contrary to me, 41so that I walked contrary to them and brought them into the land of their enemies—if then their uncircumcised heart is humbled and they make amends for their iniquity, 42then I will remember my covenant with Jacob, and I will remember my covenant with Isaac and my covenant with Abraham, and I will remember the land. 43But the land shall be abandoned by them and enjoy its Sabbaths while it lies desolate without them, and they shall make amends for their iniquity, because they spurned my rules and their soul abhorred my statutes. 44Yet for all that, when they are in the land of their enemies, I will not spurn them, neither will I abhor them so as to destroy them utterly and break my covenant with them, for I am the LORD their God. 45But I will for their sake remember the covenant with their forefathers, whom I brought out of the land of Egypt in the sight of the nations, that I might be their God: I am the LORD.”
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-46These are the statutes and rules and laws that the LORD made between himself and the people of Israel through Moses on Mount Sinai.
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-
-
-
-
-Laws About Vows
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-27:1 The LORD spoke to Moses, saying, 2“Speak to the people of Israel and say to them, If anyone makes a special vow to the LORD involving the valuation of persons, 3then the valuation of a male from twenty years old up to sixty years old shall be fifty shekels[59] of silver, according to the shekel of the sanctuary. 4If the person is a female, the valuation shall be thirty shekels. 5If the person is from five years old up to twenty years old, the valuation shall be for a male twenty shekels, and for a female ten shekels. 6If the person is from a month old up to five years old, the valuation shall be for a male five shekels of silver, and for a female the valuation shall be three shekels of silver. 7And if the person is sixty years old or over, then the valuation for a male shall be fifteen shekels, and for a female ten shekels. 8And if someone is too poor to pay the valuation, then he shall be made to stand before the priest, and the priest shall value him; the priest shall value him according to what the vower can afford.
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-9“If the vow[60] is an animal that may be offered as an offering to the LORD, all of it that he gives to the LORD is holy. 10He shall not exchange it or make a substitute for it, good for bad, or bad for good; and if he does in fact substitute one animal for another, then both it and the substitute shall be holy. 11And if it is any unclean animal that may not be offered as an offering to the LORD, then he shall stand the animal before the priest, 12and the priest shall value it as either good or bad; as the priest values it, so it shall be. 13But if he wishes to redeem it, he shall add a fifth to the valuation.
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-14“When a man dedicates his house as a holy gift to the LORD, the priest shall value it as either good or bad; as the priest values it, so it shall stand. 15And if the donor wishes to redeem his house, he shall add a fifth to the valuation price, and it shall be his.
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-16“If a man dedicates to the LORD part of the land that is his possession, then the valuation shall be in proportion to its seed. A homer[61] of barley seed shall be valued at fifty shekels of silver. 17If he dedicates his field from the year of jubilee, the valuation shall stand, 18but if he dedicates his field after the jubilee, then the priest shall calculate the price according to the years that remain until the year of jubilee, and a deduction shall be made from the valuation. 19And if he who dedicates the field wishes to redeem it, then he shall add a fifth to its valuation price, and it shall remain his. 20But if he does not wish to redeem the field, or if he has sold the field to another man, it shall not be redeemed anymore. 21But the field, when it is released in the jubilee, shall be a holy gift to the LORD, like a field that has been devoted. The priest shall be in possession of it. 22If he dedicates to the LORD a field that he has bought, which is not a part of his possession, 23then the priest shall calculate the amount of the valuation for it up to the year of jubilee, and the man shall give the valuation on that day as a holy gift to the LORD. 24In the year of jubilee the field shall return to him from whom it was bought, to whom the land belongs as a possession. 25Every valuation shall be according to the shekel of the sanctuary: twenty gerahs[62] shall make a shekel.
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-26“But a firstborn of animals, which as a firstborn belongs to the LORD, no man may dedicate; whether ox or sheep, it is the LORD's. 27And if it is an unclean animal, then he shall buy it back at the valuation, and add a fifth to it; or, if it is not redeemed, it shall be sold at the valuation.
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-28“But no devoted thing that a man devotes to the LORD, of anything that he has, whether man or beast, or of his inherited field, shall be sold or redeemed; every devoted thing is most holy to the LORD. 29No one devoted, who is to be devoted for destruction[63] from mankind, shall be ransomed; he shall surely be put to death.
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-30“Every tithe of the land, whether of the seed of the land or of the fruit of the trees, is the LORD's; it is holy to the LORD. 31If a man wishes to redeem some of his tithe, he shall add a fifth to it. 32And every tithe of herds and flocks, every tenth animal of all that pass under the herdsman's staff, shall be holy to the LORD. 33One shall not differentiate between good or bad, neither shall he make a substitute for it; and if he does substitute for it, then both it and the substitute shall be holy; it shall not be redeemed.”
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-34These are the commandments that the LORD commanded Moses for the people of Israel on Mount Sinai.
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-Footnotes
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-
-[1] 1:9 Or an offering by fire; so throughout Leviticus
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-[2] 1:16 Or feathers
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-[3] 4:2 Or by mistake; so throughout Leviticus
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-[4] 4:13 Or makes a mistake
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-[5] 4:13 Or suffer for their guilt, or are guilty; also verses 22, 27, and chapter 5
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-[6] 5:6 Hebrew his guilt penalty; so throughout Leviticus
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-[7] 5:7 Septuagint two young pigeons; also verse 11
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-[8] 5:11 An ephah was about 3/5 bushel or 22 liters
-
-[9] 5:13 Septuagint; Hebrew it
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-[10] 5:15 Or flock, or its equivalent
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-[11] 5:15 A shekel was about 2/5 ounce or 11 grams
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-[12] 5:19 Or he has paid full compensation to
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-[13] 6:1 Ch 5:20 in Hebrew
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-[14] 6:8 Ch 6:1 in Hebrew
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-[15] 6:20 An ephah was about 3/5 bushel or 22 liters
-
-[16] 6:21 The meaning of the Hebrew is uncertain
-
-[17] 8:7 Hebrew with it
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-[18] 8:15 Probably Aaron or his representative; possibly Moses; also verses 16-23
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-[19] 10:1 Or strange
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-[20] 11:13 Or things that fly; compare Genesis 1:20
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-[21] 11:13 The identity of many of these birds is uncertain
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-[22] 12:8 Septuagint two young pigeons
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-[23] 13:2 Leprosy was a term for several skin diseases
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-[24] 13:45 Or mustache
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-[25] 14:4 Or wild
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-[26] 14:5 Or running; Hebrew living; also verses 6, 50, 51, 52
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-[27] 14:10 An ephah was about 3/5 bushel or 22 liters
-
-[28] 14:10 A log was about 1/3 quart or 0.3 liter
-
-[29] 14:31 Septuagint, Syriac; Hebrew afford, 31such as he can afford, one
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-[30] 15:2 Hebrew flesh; also verse 3
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-[31] 16:8 The meaning of Azazel is uncertain; possibly the name of a place or a demon, traditionally a scapegoat; also verses 10, 26
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-[32] 16:29 Or shall fast; also verse 31
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-[33] 17:14 Hebrew all flesh
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-[34] 17:14 Hebrew it is in its life
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-[35] 18:4 Or my just decrees; also verse 5
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-[36] 18:21 Hebrew to make them pass through [the fire]
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-[37] 19:16 Hebrew blood
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-[38] 19:23 Hebrew as its uncircumcision
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-[39] 19:36 An ephah was about 3/5 bushel or 22 liters; a hin was about 4 quarts or 3.5 liters
-
-[40] 20:10 Hebrew repeats if a man commits adultery with the wife of
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-[41] 20:21 Literally menstrual impurity
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-[42] 21:13 Or a young wife
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-[43] 21:14 Hebrew young woman
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-[44] 22:11 Hebrew he
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-[45] 23:5 Hebrew between the two evenings
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-[46] 23:13 An ephah was about 3/5 bushel or 22 liters
-
-[47] 23:13 A hin was about 4 quarts or 3.5 liters
-
-[48] 23:34 Or tabernacles
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-[49] 24:4 Hebrew the pure lampstand
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-[50] 24:5 An ephah was about 3/5 bushel or 22 liters
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-[51] 24:6 Hebrew the pure table
-
-[52] 25:8 Or Sabbaths
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-[53] 25:12 Or countryside
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-[54] 25:42 Hebrew slaves
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-[55] 25:55 Or slaves
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-[56] 26:11 Hebrew tabernacle
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-[57] 26:26 Hebrew staff
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-[58] 26:34 Or pay for; twice in this verse; also verse 43
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-[59] 27:3 A shekel was about 2/5 ounce or 11 grams
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-[60] 27:9 Hebrew it
-
-[61] 27:16 A homer was about 6 bushels or 220 liters
-
-[62] 27:25 A gerah was about 1/50 ounce or 0.6 gram
-
-[63] 27:29 That is, set apart (devoted) as an offering to the Lord (for destruction)
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-NUMBERS
-
-
-Chapter 1
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-Chapter 2
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-Chapter 3
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-Chapter 4
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-Chapter 5
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-Chapter 6
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-Chapter 7
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-Chapter 8
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-Chapter 9
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-Chapter 10
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-Chapter 11
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-Chapter 12
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-Chapter 13
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-Chapter 14
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-Chapter 15
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-Chapter 16
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-Chapter 17
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-Chapter 18
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-Chapter 19
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-Chapter 20
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-Chapter 21
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-Chapter 22
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-Chapter 23
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-Chapter 24
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-Chapter 25
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-Chapter 26
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-Chapter 27
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-Chapter 28
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-Chapter 29
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-Chapter 30
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-Chapter 31
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-Chapter 32
-
-Chapter 33
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-Chapter 34
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-Chapter 35
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-Chapter 36
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-
-
-
-
-A Census of Israel's Warriors
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-1:1 The LORD spoke to Moses in the wilderness of Sinai, in the tent of meeting, on the first day of the second month, in the second year after they had come out of the land of Egypt, saying, 2“Take a census of all the congregation of the people of Israel, by clans, by fathers' houses, according to the number of names, every male, head by head. 3From twenty years old and upward, all in Israel who are able to go to war, you and Aaron shall list them, company by company. 4And there shall be with you a man from each tribe, each man being the head of the house of his fathers. 5And these are the names of the men who shall assist you. From Reuben, Elizur the son of Shedeur; 6from Simeon, Shelumiel the son of Zurishaddai; 7from Judah, Nahshon the son of Amminadab; 8from Issachar, Nethanel the son of Zuar; 9from Zebulun, Eliab the son of Helon; 10from the sons of Joseph, from Ephraim, Elishama the son of Ammihud, and from Manasseh, Gamaliel the son of Pedahzur; 11from Benjamin, Abidan the son of Gideoni; 12from Dan, Ahiezer the son of Ammishaddai; 13from Asher, Pagiel the son of Ochran; 14from Gad, Eliasaph the son of Deuel; 15from Naphtali, Ahira the son of Enan.” 16These were the ones chosen from the congregation, the chiefs of their ancestral tribes, the heads of the clans of Israel.
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-17Moses and Aaron took these men who had been named, 18and on the first day of the second month, they assembled the whole congregation together, who registered themselves by clans, by fathers' houses, according to the number of names from twenty years old and upward, head by head, 19as the LORD commanded Moses. So he listed them in the wilderness of Sinai.
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-20The people of Reuben, Israel's firstborn, their generations, by their clans, by their fathers' houses, according to the number of names, head by head, every male from twenty years old and upward, all who were able to go to war: 21those listed of the tribe of Reuben were 46,500.
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-22Of the people of Simeon, their generations, by their clans, by their fathers' houses, those of them who were listed, according to the number of names, head by head, every male from twenty years old and upward, all who were able to go to war: 23those listed of the tribe of Simeon were 59,300.
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-24Of the people of Gad, their generations, by their clans, by their fathers' houses, according to the number of the names, from twenty years old and upward, all who were able to go to war: 25those listed of the tribe of Gad were 45,650.
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-26Of the people of Judah, their generations, by their clans, by their fathers' houses, according to the number of names, from twenty years old and upward, every man able to go to war: 27those listed of the tribe of Judah were 74,600.
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-28Of the people of Issachar, their generations, by their clans, by their fathers' houses, according to the number of names, from twenty years old and upward, every man able to go to war: 29those listed of the tribe of Issachar were 54,400.
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-30Of the people of Zebulun, their generations, by their clans, by their fathers' houses, according to the number of names, from twenty years old and upward, every man able to go to war: 31those listed of the tribe of Zebulun were 57,400.
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-32Of the people of Joseph, namely, of the people of Ephraim, their generations, by their clans, by their fathers' houses, according to the number of names, from twenty years old and upward, every man able to go to war: 33those listed of the tribe of Ephraim were 40,500.
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-34Of the people of Manasseh, their generations, by their clans, by their fathers' houses, according to the number of names, from twenty years old and upward, every man able to go to war: 35those listed of the tribe of Manasseh were 32,200.
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-36Of the people of Benjamin, their generations, by their clans, by their fathers' houses, according to the number of names, from twenty years old and upward, every man able to go to war: 37those listed of the tribe of Benjamin were 35,400.
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-38Of the people of Dan, their generations, by their clans, by their fathers' houses, according to the number of names, from twenty years old and upward, every man able to go to war: 39those listed of the tribe of Dan were 62,700.
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-40Of the people of Asher, their generations, by their clans, by their fathers' houses, according to the number of names, from twenty years old and upward, every man able to go to war: 41those listed of the tribe of Asher were 41,500.
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-42Of the people of Naphtali, their generations, by their clans, by their fathers' houses, according to the number of names, from twenty years old and upward, every man able to go to war: 43those listed of the tribe of Naphtali were 53,400.
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-44These are those who were listed, whom Moses and Aaron listed with the help of the chiefs of Israel, twelve men, each representing his fathers' house. 45So all those listed of the people of Israel, by their fathers' houses, from twenty years old and upward, every man able to go to war in Israel— 46all those listed were 603,550.
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-Levites Exempted
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-47But the Levites were not listed along with them by their ancestral tribe. 48For the LORD spoke to Moses, saying, 49“Only the tribe of Levi you shall not list, and you shall not take a census of them among the people of Israel. 50But appoint the Levites over the tabernacle of the testimony, and over all its furnishings, and over all that belongs to it. They are to carry the tabernacle and all its furnishings, and they shall take care of it and shall camp around the tabernacle. 51When the tabernacle is to set out, the Levites shall take it down, and when the tabernacle is to be pitched, the Levites shall set it up. And if any outsider comes near, he shall be put to death. 52The people of Israel shall pitch their tents by their companies, each man in his own camp and each man by his own standard. 53But the Levites shall camp around the tabernacle of the testimony, so that there may be no wrath on the congregation of the people of Israel. And the Levites shall keep guard over the tabernacle of the testimony.” 54Thus did the people of Israel; they did according to all that the LORD commanded Moses.
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-Arrangement of the Camp
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-2:1 The LORD spoke to Moses and Aaron, saying, 2“The people of Israel shall camp each by his own standard, with the banners of their fathers' houses. They shall camp facing the tent of meeting on every side. 3Those to camp on the east side toward the sunrise shall be of the standard of the camp of Judah by their companies, the chief of the people of Judah being Nahshon the son of Amminadab, 4his company as listed being 74,600. 5Those to camp next to him shall be the tribe of Issachar, the chief of the people of Issachar being Nethanel the son of Zuar, 6his company as listed being 54,400. 7Then the tribe of Zebulun, the chief of the people of Zebulun being Eliab the son of Helon, 8his company as listed being 57,400. 9All those listed of the camp of Judah, by their companies, were 186,400. They shall set out first on the march.
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-10“On the south side shall be the standard of the camp of Reuben by their companies, the chief of the people of Reuben being Elizur the son of Shedeur, 11his company as listed being 46,500. 12And those to camp next to him shall be the tribe of Simeon, the chief of the people of Simeon being Shelumiel the son of Zurishaddai, 13his company as listed being 59,300. 14Then the tribe of Gad, the chief of the people of Gad being Eliasaph the son of Reuel, 15his company as listed being 45,650. 16All those listed of the camp of Reuben, by their companies, were 151,450. They shall set out second.
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-17“Then the tent of meeting shall set out, with the camp of the Levites in the midst of the camps; as they camp, so shall they set out, each in position, standard by standard.
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-18“On the west side shall be the standard of the camp of Ephraim by their companies, the chief of the people of Ephraim being Elishama the son of Ammihud, 19his company as listed being 40,500. 20And next to him shall be the tribe of Manasseh, the chief of the people of Manasseh being Gamaliel the son of Pedahzur, 21his company as listed being 32,200. 22Then the tribe of Benjamin, the chief of the people of Benjamin being Abidan the son of Gideoni, 23his company as listed being 35,400. 24All those listed of the camp of Ephraim, by their companies, were 108,100. They shall set out third on the march.
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-25“On the north side shall be the standard of the camp of Dan by their companies, the chief of the people of Dan being Ahiezer the son of Ammishaddai, 26his company as listed being 62,700. 27And those to camp next to him shall be the tribe of Asher, the chief of the people of Asher being Pagiel the son of Ochran, 28his company as listed being 41,500. 29Then the tribe of Naphtali, the chief of the people of Naphtali being Ahira the son of Enan, 30his company as listed being 53,400. 31All those listed of the camp of Dan were 157,600. They shall set out last, standard by standard.”
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-32These are the people of Israel as listed by their fathers' houses. All those listed in the camps by their companies were 603,550. 33But the Levites were not listed among the people of Israel, as the LORD commanded Moses.
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-34Thus did the people of Israel. According to all that the LORD commanded Moses, so they camped by their standards, and so they set out, each one in his clan, according to his fathers' house.
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-The Sons of Aaron
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-3:1 These are the generations of Aaron and Moses at the time when the LORD spoke with Moses on Mount Sinai. 2These are the names of the sons of Aaron: Nadab the firstborn, and Abihu, Eleazar, and Ithamar. 3These are the names of the sons of Aaron, the anointed priests, whom he ordained to serve as priests. 4But Nadab and Abihu died before the LORD when they offered unauthorized fire before the LORD in the wilderness of Sinai, and they had no children. So Eleazar and Ithamar served as priests in the lifetime of Aaron their father.
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-Duties of the Levites
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-5And the LORD spoke to Moses, saying, 6“Bring the tribe of Levi near, and set them before Aaron the priest, that they may minister to him. 7They shall keep guard over him and over the whole congregation before the tent of meeting, as they minister at the tabernacle. 8They shall guard all the furnishings of the tent of meeting, and keep guard over the people of Israel as they minister at the tabernacle. 9And you shall give the Levites to Aaron and his sons; they are wholly given to him from among the people of Israel. 10And you shall appoint Aaron and his sons, and they shall guard their priesthood. But if any outsider comes near, he shall be put to death.”
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-11And the LORD spoke to Moses, saying, 12“Behold, I have taken the Levites from among the people of Israel instead of every firstborn who opens the womb among the people of Israel. The Levites shall be mine, 13for all the firstborn are mine. On the day that I struck down all the firstborn in the land of Egypt, I consecrated for my own all the firstborn in Israel, both of man and of beast. They shall be mine: I am the LORD.”
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-14And the LORD spoke to Moses in the wilderness of Sinai, saying, 15“List the sons of Levi, by fathers' houses and by clans; every male from a month old and upward you shall list.” 16So Moses listed them according to the word of the LORD, as he was commanded. 17And these were the sons of Levi by their names: Gershon and Kohath and Merari. 18And these are the names of the sons of Gershon by their clans: Libni and Shimei. 19And the sons of Kohath by their clans: Amram, Izhar, Hebron, and Uzziel. 20And the sons of Merari by their clans: Mahli and Mushi. These are the clans of the Levites, by their fathers' houses.
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-21To Gershon belonged the clan of the Libnites and the clan of the Shimeites; these were the clans of the Gershonites. 22Their listing according to the number of all the males from a month old and upward was[1] 7,500. 23The clans of the Gershonites were to camp behind the tabernacle on the west, 24with Eliasaph, the son of Lael as chief of the fathers' house of the Gershonites. 25And the guard duty of the sons of Gershon in the tent of meeting involved the tabernacle, the tent with its covering, the screen for the entrance of the tent of meeting, 26the hangings of the court, the screen for the door of the court that is around the tabernacle and the altar, and its cords—all the service connected with these.
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-27To Kohath belonged the clan of the Amramites and the clan of the Izharites and the clan of the Hebronites and the clan of the Uzzielites; these are the clans of the Kohathites. 28According to the number of all the males, from a month old and upward, there were 8,600, keeping guard over the sanctuary. 29The clans of the sons of Kohath were to camp on the south side of the tabernacle, 30with Elizaphan the son of Uzziel as chief of the fathers' house of the clans of the Kohathites. 31And their guard duty involved the ark, the table, the lampstand, the altars, the vessels of the sanctuary with which the priests minister, and the screen; all the service connected with these. 32And Eleazar the son of Aaron the priest was to be chief over the chiefs of the Levites, and to have oversight of those who kept guard over the sanctuary.
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-33To Merari belonged the clan of the Mahlites and the clan of the Mushites: these are the clans of Merari. 34Their listing according to the number of all the males from a month old and upward was 6,200. 35And the chief of the fathers' house of the clans of Merari was Zuriel the son of Abihail. They were to camp on the north side of the tabernacle. 36And the appointed guard duty of the sons of Merari involved the frames of the tabernacle, the bars, the pillars, the bases, and all their accessories; all the service connected with these; 37also the pillars around the court, with their bases and pegs and cords.
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-38Those who were to camp before the tabernacle on the east, before the tent of meeting toward the sunrise, were Moses and Aaron and his sons, guarding the sanctuary itself, to protect[2] the people of Israel. And any outsider who came near was to be put to death. 39All those listed among the Levites, whom Moses and Aaron listed at the commandment of the LORD, by clans, all the males from a month old and upward, were 22,000.
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-Redemption of the Firstborn
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-40And the LORD said to Moses, “List all the firstborn males of the people of Israel, from a month old and upward, taking the number of their names. 41And you shall take the Levites for me—I am the LORD—instead of all the firstborn among the people of Israel, and the cattle of the Levites instead of all the firstborn among the cattle of the people of Israel.” 42So Moses listed all the firstborn among the people of Israel, as the LORD commanded him. 43And all the firstborn males, according to the number of names, from a month old and upward as listed were 22,273.
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-44And the LORD spoke to Moses, saying, 45“Take the Levites instead of all the firstborn among the people of Israel, and the cattle of the Levites instead of their cattle. The Levites shall be mine: I am the LORD. 46And as the redemption price for the 273 of the firstborn of the people of Israel, over and above the number of the male Levites, 47you shall take five shekels[3] per head; you shall take them according to the shekel of the sanctuary (the shekel of twenty gerahs[4]), 48and give the money to Aaron and his sons as the redemption price for those who are over.” 49So Moses took the redemption money from those who were over and above those redeemed by the Levites. 50From the firstborn of the people of Israel he took the money, 1,365 shekels, by the shekel of the sanctuary. 51And Moses gave the redemption money to Aaron and his sons, according to the word of the LORD, as the LORD commanded Moses.
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-Duties of the Kohathites
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-4:1 The LORD spoke to Moses and Aaron, saying, 2“Take a census of the sons of Kohath from among the sons of Levi, by their clans and their fathers' houses, 3from thirty years old up to fifty years old, all who can come on duty, to do the work in the tent of meeting. 4This is the service of the sons of Kohath in the tent of meeting: the most holy things. 5When the camp is to set out, Aaron and his sons shall go in and take down the veil of the screen and cover the ark of the testimony with it. 6Then they shall put on it a covering of goatskin[5] and spread on top of that a cloth all of blue, and shall put in its poles. 7And over the table of the bread of the Presence they shall spread a cloth of blue and put on it the plates, the dishes for incense, the bowls, and the flagons for the drink offering; the regular showbread also shall be on it. 8Then they shall spread over them a cloth of scarlet and cover the same with a covering of goatskin, and shall put in its poles. 9And they shall take a cloth of blue and cover the lampstand for the light, with its lamps, its tongs, its trays, and all the vessels for oil with which it is supplied. 10And they shall put it with all its utensils in a covering of goatskin and put it on the carrying frame. 11And over the golden altar they shall spread a cloth of blue and cover it with a covering of goatskin, and shall put in its poles. 12And they shall take all the vessels of the service that are used in the sanctuary and put them in a cloth of blue and cover them with a covering of goatskin and put them on the carrying frame. 13And they shall take away the ashes from the altar and spread a purple cloth over it. 14And they shall put on it all the utensils of the altar, which are used for the service there, the fire pans, the forks, the shovels, and the basins, all the utensils of the altar; and they shall spread on it a covering of goatskin, and shall put in its poles. 15And when Aaron and his sons have finished covering the sanctuary and all the furnishings of the sanctuary, as the camp sets out, after that the sons of Kohath shall come to carry these, but they must not touch the holy things, lest they die. These are the things of the tent of meeting that the sons of Kohath are to carry.
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-16“And Eleazar the son of Aaron the priest shall have charge of the oil for the light, the fragrant incense, the regular grain offering, and the anointing oil, with the oversight of the whole tabernacle and all that is in it, of the sanctuary and its vessels.”
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-17The LORD spoke to Moses and Aaron, saying, 18“Let not the tribe of the clans of the Kohathites be destroyed from among the Levites, 19but deal thus with them, that they may live and not die when they come near to the most holy things: Aaron and his sons shall go in and appoint them each to his task and to his burden, 20but they shall not go in to look on the holy things even for a moment, lest they die.”
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-21The LORD spoke to Moses, saying, 22“Take a census of the sons of Gershon also, by their fathers' houses and by their clans. 23From thirty years old up to fifty years old, you shall list them, all who can come to do duty, to do service in the tent of meeting. 24This is the service of the clans of the Gershonites, in serving and bearing burdens: 25they shall carry the curtains of the tabernacle and the tent of meeting with its covering and the covering of goatskin that is on top of it and the screen for the entrance of the tent of meeting 26and the hangings of the court and the screen for the entrance of the gate of the court that is around the tabernacle and the altar, and their cords and all the equipment for their service. And they shall do all that needs to be done with regard to them. 27All the service of the sons of the Gershonites shall be at the command of Aaron and his sons, in all that they are to carry and in all that they have to do. And you shall assign to their charge all that they are to carry. 28This is the service of the clans of the sons of the Gershonites in the tent of meeting, and their guard duty is to be under the direction of Ithamar the son of Aaron the priest.
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-29“As for the sons of Merari, you shall list them by their clans and their fathers' houses. 30From thirty years old up to fifty years old, you shall list them, everyone who can come on duty, to do the service of the tent of meeting. 31And this is what they are charged to carry, as the whole of their service in the tent of meeting: the frames of the tabernacle, with its bars, pillars, and bases, 32and the pillars around the court with their bases, pegs, and cords, with all their equipment and all their accessories. And you shall list by name the objects that they are required to carry. 33This is the service of the clans of the sons of Merari, the whole of their service in the tent of meeting, under the direction of Ithamar the son of Aaron the priest.”
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-34And Moses and Aaron and the chiefs of the congregation listed the sons of the Kohathites, by their clans and their fathers' houses, 35from thirty years old up to fifty years old, everyone who could come on duty, for service in the tent of meeting; 36and those listed by clans were 2,750. 37This was the list of the clans of the Kohathites, all who served in the tent of meeting, whom Moses and Aaron listed according to the commandment of the LORD by Moses.
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-38Those listed of the sons of Gershon, by their clans and their fathers' houses, 39from thirty years old up to fifty years old, everyone who could come on duty for service in the tent of meeting— 40those listed by their clans and their fathers' houses were 2,630. 41This was the list of the clans of the sons of Gershon, all who served in the tent of meeting, whom Moses and Aaron listed according to the commandment of the LORD.
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-42Those listed of the clans of the sons of Merari, by their clans and their fathers' houses, 43from thirty years old up to fifty years old, everyone who could come on duty, for service in the tent of meeting— 44those listed by clans were 3,200. 45This was the list of the clans of the sons of Merari, whom Moses and Aaron listed according to the commandment of the LORD by Moses.
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-46All those who were listed of the Levites, whom Moses and Aaron and the chiefs of Israel listed, by their clans and their fathers' houses, 47from thirty years old up to fifty years old, everyone who could come to do the service of ministry and the service of bearing burdens in the tent of meeting, 48those listed were 8,580. 49According to the commandment of the LORD through Moses they were listed, each one with his task of serving or carrying. Thus they were listed by him, as the LORD commanded Moses.
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-Unclean People
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-5:1 The LORD spoke to Moses, saying, 2“Command the people of Israel that they put out of the camp everyone who is leprous[6] or has a discharge and everyone who is unclean through contact with the dead. 3You shall put out both male and female, putting them outside the camp, that they may not defile their camp, in the midst of which I dwell.” 4And the people of Israel did so, and put them outside the camp; as the LORD said to Moses, so the people of Israel did.
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-Confession and Restitution
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-5And the LORD spoke to Moses, saying, 6“Speak to the people of Israel, When a man or woman commits any of the sins that people commit by breaking faith with the LORD, and that person realizes his guilt, 7he shall confess his sin that he has committed.[7] And he shall make full restitution for his wrong, adding a fifth to it and giving it to him to whom he did the wrong. 8But if the man has no next of kin to whom restitution may be made for the wrong, the restitution for wrong shall go to the LORD for the priest, in addition to the ram of atonement with which atonement is made for him. 9And every contribution, all the holy donations of the people of Israel, which they bring to the priest, shall be his. 10Each one shall keep his holy donations: whatever anyone gives to the priest shall be his.”
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-A Test for Adultery
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-11And the LORD spoke to Moses, saying, 12“Speak to the people of Israel, If any man's wife goes astray and breaks faith with him, 13if a man lies with her sexually, and it is hidden from the eyes of her husband, and she is undetected though she has defiled herself, and there is no witness against her, since she was not taken in the act, 14and if the spirit of jealousy comes over him and he is jealous of his wife who has defiled herself, or if the spirit of jealousy comes over him and he is jealous of his wife, though she has not defiled herself, 15then the man shall bring his wife to the priest and bring the offering required of her, a tenth of an ephah[8] of barley flour. He shall pour no oil on it and put no frankincense on it, for it is a grain offering of jealousy, a grain offering of remembrance, bringing iniquity to remembrance.
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-16“And the priest shall bring her near and set her before the LORD. 17And the priest shall take holy water in an earthenware vessel and take some of the dust that is on the floor of the tabernacle and put it into the water. 18And the priest shall set the woman before the LORD and unbind the hair of the woman's head and place in her hands the grain offering of remembrance, which is the grain offering of jealousy. And in his hand the priest shall have the water of bitterness that brings the curse. 19Then the priest shall make her take an oath, saying, ‘If no man has lain with you, and if you have not turned aside to uncleanness while you were under your husband's authority, be free from this water of bitterness that brings the curse. 20But if you have gone astray, though you are under your husband's authority, and if you have defiled yourself, and some man other than your husband has lain with you, 21then’ (let the priest make the woman take the oath of the curse, and say to the woman) ‘the LORD make you a curse and an oath among your people, when the LORD makes your thigh fall away and your body swell. 22May this water that brings the curse pass into your bowels and make your womb swell and your thigh fall away.’ And the woman shall say, ‘Amen, Amen.’
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-23“Then the priest shall write these curses in a book and wash them off into the water of bitterness. 24And he shall make the woman drink the water of bitterness that brings the curse, and the water that brings the curse shall enter into her and cause bitter pain. 25And the priest shall take the grain offering of jealousy out of the woman's hand and shall wave the grain offering before the LORD and bring it to the altar. 26And the priest shall take a handful of the grain offering, as its memorial portion, and burn it on the altar, and afterward shall make the woman drink the water. 27And when he has made her drink the water, then, if she has defiled herself and has broken faith with her husband, the water that brings the curse shall enter into her and cause bitter pain, and her womb shall swell, and her thigh shall fall away, and the woman shall become a curse among her people. 28But if the woman has not defiled herself and is clean, then she shall be free and shall conceive children.
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-29“This is the law in cases of jealousy, when a wife, though under her husband's authority, goes astray and defiles herself, 30or when the spirit of jealousy comes over a man and he is jealous of his wife. Then he shall set the woman before the LORD, and the priest shall carry out for her all this law. 31The man shall be free from iniquity, but the woman shall bear her iniquity.”
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-The Nazirite Vow
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-6:1 And the LORD spoke to Moses, saying, 2“Speak to the people of Israel and say to them, When either a man or a woman makes a special vow, the vow of a Nazirite,[9] to separate himself to the LORD, 3he shall separate himself from wine and strong drink. He shall drink no vinegar made from wine or strong drink and shall not drink any juice of grapes or eat grapes, fresh or dried. 4All the days of his separation[10] he shall eat nothing that is produced by the grapevine, not even the seeds or the skins.
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-5“All the days of his vow of separation, no razor shall touch his head. Until the time is completed for which he separates himself to the LORD, he shall be holy. He shall let the locks of hair of his head grow long.
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-6“All the days that he separates himself to the LORD he shall not go near a dead body. 7Not even for his father or for his mother, for brother or sister, if they die, shall he make himself unclean, because his separation to God is on his head. 8All the days of his separation he is holy to the LORD.
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-9“And if any man dies very suddenly beside him and he defiles his consecrated head, then he shall shave his head on the day of his cleansing; on the seventh day he shall shave it. 10On the eighth day he shall bring two turtledoves or two pigeons to the priest to the entrance of the tent of meeting, 11and the priest shall offer one for a sin offering and the other for a burnt offering, and make atonement for him, because he sinned by reason of the dead body. And he shall consecrate his head that same day 12and separate himself to the LORD for the days of his separation and bring a male lamb a year old for a guilt offering. But the previous period shall be void, because his separation was defiled.
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-13“And this is the law for the Nazirite, when the time of his separation has been completed: he shall be brought to the entrance of the tent of meeting, 14and he shall bring his gift to the LORD, one male lamb a year old without blemish for a burnt offering, and one ewe lamb a year old without blemish as a sin offering, and one ram without blemish as a peace offering, 15and a basket of unleavened bread, loaves of fine flour mixed with oil, and unleavened wafers smeared with oil, and their grain offering and their drink offerings. 16And the priest shall bring them before the LORD and offer his sin offering and his burnt offering, 17and he shall offer the ram as a sacrifice of peace offering to the LORD, with the basket of unleavened bread. The priest shall offer also its grain offering and its drink offering. 18And the Nazirite shall shave his consecrated head at the entrance of the tent of meeting and shall take the hair from his consecrated head and put it on the fire that is under the sacrifice of the peace offering. 19And the priest shall take the shoulder of the ram, when it is boiled, and one unleavened loaf out of the basket and one unleavened wafer, and shall put them on the hands of the Nazirite, after he has shaved the hair of his consecration, 20and the priest shall wave them for a wave offering before the LORD. They are a holy portion for the priest, together with the breast that is waved and the thigh that is contributed. And after that the Nazirite may drink wine.
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-21“This is the law of the Nazirite. But if he vows an offering to the LORD above his Nazirite vow, as he can afford, in exact accordance with the vow that he takes, then he shall do in addition to the law of the Nazirite.”
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-Aaron's Blessing
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-22The LORD spoke to Moses, saying, 23“Speak to Aaron and his sons, saying, Thus you shall bless the people of Israel: you shall say to them,
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-24The LORD bless you and keep you;
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-25the LORD make his face to shine upon you and be gracious to you;
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-26the LORD lift up his countenance[11] upon you and give you peace.
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-27“So shall they put my name upon the people of Israel, and I will bless them.”
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-Offerings at the Tabernacle's Consecration
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-7:1 On the day when Moses had finished setting up the tabernacle and had anointed and consecrated it with all its furnishings and had anointed and consecrated the altar with all its utensils, 2the chiefs of Israel, heads of their fathers' houses, who were the chiefs of the tribes, who were over those who were listed, approached 3and brought their offerings before the LORD, six wagons and twelve oxen, a wagon for every two of the chiefs, and for each one an ox. They brought them before the tabernacle. 4Then the LORD said to Moses, 5“Accept these from them, that they may be used in the service of the tent of meeting, and give them to the Levites, to each man according to his service.” 6So Moses took the wagons and the oxen and gave them to the Levites. 7Two wagons and four oxen he gave to the sons of Gershon, according to their service. 8And four wagons and eight oxen he gave to the sons of Merari, according to their service, under the direction of Ithamar the son of Aaron the priest. 9But to the sons of Kohath he gave none, because they were charged with the service of the holy things that had to be carried on the shoulder. 10And the chiefs offered offerings for the dedication of the altar on the day it was anointed; and the chiefs offered their offering before the altar. 11And the LORD said to Moses, “They shall offer their offerings, one chief each day, for the dedication of the altar.”
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-12He who offered his offering the first day was Nahshon the son of Amminadab, of the tribe of Judah. 13And his offering was one silver plate whose weight was 130 shekels,[12] one silver basin of 70 shekels, according to the shekel of the sanctuary, both of them full of fine flour mixed with oil for a grain offering; 14one golden dish of 10 shekels, full of incense; 15one bull from the herd, one ram, one male lamb a year old, for a burnt offering; 16one male goat for a sin offering; 17and for the sacrifice of peace offerings, two oxen, five rams, five male goats, and five male lambs a year old. This was the offering of Nahshon the son of Amminadab.
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-18On the second day Nethanel the son of Zuar, the chief of Issachar, made an offering. 19He offered for his offering one silver plate whose weight was 130 shekels, one silver basin of 70 shekels, according to the shekel of the sanctuary, both of them full of fine flour mixed with oil for a grain offering; 20one golden dish of 10 shekels, full of incense; 21one bull from the herd, one ram, one male lamb a year old, for a burnt offering; 22one male goat for a sin offering; 23and for the sacrifice of peace offerings, two oxen, five rams, five male goats, and five male lambs a year old. This was the offering of Nethanel the son of Zuar.
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-24On the third day Eliab the son of Helon, the chief of the people of Zebulun: 25his offering was one silver plate whose weight was 130 shekels, one silver basin of 70 shekels, according to the shekel of the sanctuary, both of them full of fine flour mixed with oil for a grain offering; 26one golden dish of 10 shekels, full of incense; 27one bull from the herd, one ram, one male lamb a year old, for a burnt offering; 28one male goat for a sin offering; 29and for the sacrifice of peace offerings, two oxen, five rams, five male goats, and five male lambs a year old. This was the offering of Eliab the son of Helon.
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-30On the fourth day Elizur the son of Shedeur, the chief of the people of Reuben: 31his offering was one silver plate whose weight was 130 shekels, one silver basin of 70 shekels, according to the shekel of the sanctuary, both of them full of fine flour mixed with oil for a grain offering; 32one golden dish of 10 shekels, full of incense; 33one bull from the herd, one ram, one male lamb a year old, for a burnt offering; 34one male goat for a sin offering; 35and for the sacrifice of peace offerings, two oxen, five rams, five male goats, and five male lambs a year old. This was the offering of Elizur the son of Shedeur.
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-36On the fifth day Shelumiel the son of Zurishaddai, the chief of the people of Simeon: 37his offering was one silver plate whose weight was 130 shekels, one silver basin of 70 shekels, according to the shekel of the sanctuary, both of them full of fine flour mixed with oil for a grain offering; 38one golden dish of 10 shekels, full of incense; 39one bull from the herd, one ram, one male lamb a year old, for a burnt offering; 40one male goat for a sin offering; 41and for the sacrifice of peace offerings, two oxen, five rams, five male goats, and five male lambs a year old. This was the offering of Shelumiel the son of Zurishaddai.
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-42On the sixth day Eliasaph the son of Deuel, the chief of the people of Gad: 43his offering was one silver plate whose weight was 130 shekels, one silver basin of 70 shekels, according to the shekel of the sanctuary, both of them full of fine flour mixed with oil for a grain offering; 44one golden dish of 10 shekels, full of incense; 45one bull from the herd, one ram, one male lamb a year old, for a burnt offering; 46one male goat for a sin offering; 47and for the sacrifice of peace offerings, two oxen, five rams, five male goats, and five male lambs a year old. This was the offering of Eliasaph the son of Deuel.
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-48On the seventh day Elishama the son of Ammihud, the chief of the people of Ephraim: 49his offering was one silver plate whose weight was 130 shekels, one silver basin of 70 shekels, according to the shekel of the sanctuary, both of them full of fine flour mixed with oil for a grain offering; 50one golden dish of 10 shekels, full of incense; 51one bull from the herd, one ram, one male lamb a year old, for a burnt offering; 52one male goat for a sin offering; 53and for the sacrifice of peace offerings, two oxen, five rams, five male goats, and five male lambs a year old. This was the offering of Elishama the son of Ammihud.
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-54On the eighth day Gamaliel the son of Pedahzur, the chief of the people of Manasseh: 55his offering was one silver plate whose weight was 130 shekels, one silver basin of 70 shekels, according to the shekel of the sanctuary, both of them full of fine flour mixed with oil for a grain offering; 56one golden dish of 10 shekels, full of incense; 57one bull from the herd, one ram, one male lamb a year old, for a burnt offering; 58one male goat for a sin offering; 59and for the sacrifice of peace offerings, two oxen, five rams, five male goats, and five male lambs a year old. This was the offering of Gamaliel the son of Pedahzur.
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-60On the ninth day Abidan the son of Gideoni, the chief of the people of Benjamin: 61his offering was one silver plate whose weight was 130 shekels, one silver basin of 70 shekels, according to the shekel of the sanctuary, both of them full of fine flour mixed with oil for a grain offering; 62one golden dish of 10 shekels, full of incense; 63one bull from the herd, one ram, one male lamb a year old, for a burnt offering; 64one male goat for a sin offering; 65and for the sacrifice of peace offerings, two oxen, five rams, five male goats, and five male lambs a year old. This was the offering of Abidan the son of Gideoni.
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-66On the tenth day Ahiezer the son of Ammishaddai, the chief of the people of Dan: 67his offering was one silver plate whose weight was 130 shekels, one silver basin of 70 shekels, according to the shekel of the sanctuary, both of them full of fine flour mixed with oil for a grain offering; 68one golden dish of 10 shekels, full of incense; 69one bull from the herd, one ram, one male lamb a year old, for a burnt offering; 70one male goat for a sin offering; 71and for the sacrifice of peace offerings, two oxen, five rams, five male goats, and five male lambs a year old. This was the offering of Ahiezer the son of Ammishaddai.
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-72On the eleventh day Pagiel the son of Ochran, the chief of the people of Asher: 73his offering was one silver plate whose weight was 130 shekels, one silver basin of 70 shekels, according to the shekel of the sanctuary, both of them full of fine flour mixed with oil for a grain offering; 74one golden dish of 10 shekels, full of incense; 75one bull from the herd, one ram, one male lamb a year old, for a burnt offering; 76one male goat for a sin offering; 77and for the sacrifice of peace offerings, two oxen, five rams, five male goats, and five male lambs a year old. This was the offering of Pagiel the son of Ochran.
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-78On the twelfth day Ahira the son of Enan, the chief of the people of Naphtali: 79his offering was one silver plate whose weight was 130 shekels, one silver basin of 70 shekels, according to the shekel of the sanctuary, both of them full of fine flour mixed with oil for a grain offering; 80one golden dish of 10 shekels, full of incense; 81one bull from the herd, one ram, one male lamb a year old, for a burnt offering; 82one male goat for a sin offering; 83and for the sacrifice of peace offerings, two oxen, five rams, five male goats, and five male lambs a year old. This was the offering of Ahira the son of Enan.
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-84This was the dedication offering for the altar on the day when it was anointed, from the chiefs of Israel: twelve silver plates, twelve silver basins, twelve golden dishes, 85each silver plate weighing 130 shekels and each basin 70, all the silver of the vessels 2,400 shekels according to the shekel of the sanctuary, 86the twelve golden dishes, full of incense, weighing 10 shekels apiece according to the shekel of the sanctuary, all the gold of the dishes being 120 shekels; 87all the cattle for the burnt offering twelve bulls, twelve rams, twelve male lambs a year old, with their grain offering; and twelve male goats for a sin offering; 88and all the cattle for the sacrifice of peace offerings twenty-four bulls, the rams sixty, the male goats sixty, the male lambs a year old sixty. This was the dedication offering for the altar after it was anointed.
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-89And when Moses went into the tent of meeting to speak with the LORD, he heard the voice speaking to him from above the mercy seat that was on the ark of the testimony, from between the two cherubim; and it spoke to him.
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-The Seven Lamps
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-8:1 Now the LORD spoke to Moses, saying, 2“Speak to Aaron and say to him, When you set up the lamps, the seven lamps shall give light in front of the lampstand.” 3And Aaron did so: he set up its lamps in front of the lampstand, as the LORD commanded Moses. 4And this was the workmanship of the lampstand, hammered work of gold. From its base to its flowers, it was hammered work; according to the pattern that the LORD had shown Moses, so he made the lampstand.
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-Cleansing of the Levites
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-5And the LORD spoke to Moses, saying, 6“Take the Levites from among the people of Israel and cleanse them. 7Thus you shall do to them to cleanse them: sprinkle the water of purification upon them, and let them go with a razor over all their body, and wash their clothes and cleanse themselves. 8Then let them take a bull from the herd and its grain offering of fine flour mixed with oil, and you shall take another bull from the herd for a sin offering. 9And you shall bring the Levites before the tent of meeting and assemble the whole congregation of the people of Israel. 10When you bring the Levites before the LORD, the people of Israel shall lay their hands on the Levites, 11and Aaron shall offer the Levites before the LORD as a wave offering from the people of Israel, that they may do the service of the LORD. 12Then the Levites shall lay their hands on the heads of the bulls, and you shall offer the one for a sin offering and the other for a burnt offering to the LORD to make atonement for the Levites. 13And you shall set the Levites before Aaron and his sons, and shall offer them as a wave offering to the LORD.
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-14“Thus you shall separate the Levites from among the people of Israel, and the Levites shall be mine. 15And after that the Levites shall go in to serve at the tent of meeting, when you have cleansed them and offered them as a wave offering. 16For they are wholly given to me from among the people of Israel. Instead of all who open the womb, the firstborn of all the people of Israel, I have taken them for myself. 17For all the firstborn among the people of Israel are mine, both of man and of beast. On the day that I struck down all the firstborn in the land of Egypt I consecrated them for myself, 18and I have taken the Levites instead of all the firstborn among the people of Israel. 19And I have given the Levites as a gift to Aaron and his sons from among the people of Israel, to do the service for the people of Israel at the tent of meeting and to make atonement for the people of Israel, that there may be no plague among the people of Israel when the people of Israel come near the sanctuary.”
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-20Thus did Moses and Aaron and all the congregation of the people of Israel to the Levites. According to all that the LORD commanded Moses concerning the Levites, the people of Israel did to them. 21And the Levites purified themselves from sin and washed their clothes, and Aaron offered them as a wave offering before the LORD, and Aaron made atonement for them to cleanse them. 22And after that the Levites went in to do their service in the tent of meeting before Aaron and his sons; as the LORD had commanded Moses concerning the Levites, so they did to them.
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-Retirement of the Levites
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-23And the LORD spoke to Moses, saying, 24“This applies to the Levites: from twenty-five years old and upward they[13] shall come to do duty in the service of the tent of meeting. 25And from the age of fifty years they shall withdraw from the duty of the service and serve no more. 26They minister[14] to their brothers in the tent of meeting by keeping guard, but they shall do no service. Thus shall you do to the Levites in assigning their duties.”
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-The Passover Celebrated
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-9:1 And the LORD spoke to Moses in the wilderness of Sinai, in the first month of the second year after they had come out of the land of Egypt, saying, 2“Let the people of Israel keep the Passover at its appointed time. 3On the fourteenth day of this month, at twilight, you shall keep it at its appointed time; according to all its statutes and all its rules you shall keep it.” 4So Moses told the people of Israel that they should keep the Passover. 5And they kept the Passover in the first month, on the fourteenth day of the month, at twilight, in the wilderness of Sinai; according to all that the LORD commanded Moses, so the people of Israel did. 6And there were certain men who were unclean through touching a dead body, so that they could not keep the Passover on that day, and they came before Moses and Aaron on that day. 7And those men said to him, “We are unclean through touching a dead body. Why are we kept from bringing the LORD's offering at its appointed time among the people of Israel?” 8And Moses said to them, “Wait, that I may hear what the LORD will command concerning you.”
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-9The LORD spoke to Moses, saying, 10“Speak to the people of Israel, saying, If any one of you or of your descendants is unclean through touching a dead body, or is on a long journey, he shall still keep the Passover to the LORD. 11In the second month on the fourteenth day at twilight they shall keep it. They shall eat it with unleavened bread and bitter herbs. 12They shall leave none of it until the morning, nor break any of its bones; according to all the statute for the Passover they shall keep it. 13But if anyone who is clean and is not on a journey fails to keep the Passover, that person shall be cut off from his people because he did not bring the LORD's offering at its appointed time; that man shall bear his sin. 14And if a stranger sojourns among you and would keep the Passover to the LORD, according to the statute of the Passover and according to its rule, so shall he do. You shall have one statute, both for the sojourner and for the native.”
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-The Cloud Covering the Tabernacle
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-15On the day that the tabernacle was set up, the cloud covered the tabernacle, the tent of the testimony. And at evening it was over the tabernacle like the appearance of fire until morning. 16So it was always: the cloud covered it by day[15] and the appearance of fire by night. 17And whenever the cloud lifted from over the tent, after that the people of Israel set out, and in the place where the cloud settled down, there the people of Israel camped. 18At the command of the LORD the people of Israel set out, and at the command of the LORD they camped. As long as the cloud rested over the tabernacle, they remained in camp. 19Even when the cloud continued over the tabernacle many days, the people of Israel kept the charge of the LORD and did not set out. 20Sometimes the cloud was a few days over the tabernacle, and according to the command of the LORD they remained in camp; then according to the command of the LORD they set out. 21And sometimes the cloud remained from evening until morning. And when the cloud lifted in the morning, they set out, or if it continued for a day and a night, when the cloud lifted they set out. 22Whether it was two days, or a month, or a longer time, that the cloud continued over the tabernacle, abiding there, the people of Israel remained in camp and did not set out, but when it lifted they set out. 23At the command of the LORD they camped, and at the command of the LORD they set out. They kept the charge of the LORD, at the command of the LORD by Moses.
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-The Silver Trumpets
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-10:1 The LORD spoke to Moses, saying, 2“Make two silver trumpets. Of hammered work you shall make them, and you shall use them for summoning the congregation and for breaking camp. 3And when both are blown, all the congregation shall gather themselves to you at the entrance of the tent of meeting. 4But if they blow only one, then the chiefs, the heads of the tribes of Israel, shall gather themselves to you. 5When you blow an alarm, the camps that are on the east side shall set out. 6And when you blow an alarm the second time, the camps that are on the south side shall set out. An alarm is to be blown whenever they are to set out. 7But when the assembly is to be gathered together, you shall blow a long blast, but you shall not sound an alarm. 8And the sons of Aaron, the priests, shall blow the trumpets. The trumpets shall be to you for a perpetual statute throughout your generations. 9And when you go to war in your land against the adversary who oppresses you, then you shall sound an alarm with the trumpets, that you may be remembered before the LORD your God, and you shall be saved from your enemies. 10On the day of your gladness also, and at your appointed feasts and at the beginnings of your months, you shall blow the trumpets over your burnt offerings and over the sacrifices of your peace offerings. They shall be a reminder of you before your God: I am the LORD your God.”
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-Israel Leaves Sinai
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-11In the second year, in the second month, on the twentieth day of the month, the cloud lifted from over the tabernacle of the testimony, 12and the people of Israel set out by stages from the wilderness of Sinai. And the cloud settled down in the wilderness of Paran. 13They set out for the first time at the command of the LORD by Moses. 14The standard of the camp of the people of Judah set out first by their companies, and over their company was Nahshon the son of Amminadab. 15And over the company of the tribe of the people of Issachar was Nethanel the son of Zuar. 16And over the company of the tribe of the people of Zebulun was Eliab the son of Helon.
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-17And when the tabernacle was taken down, the sons of Gershon and the sons of Merari, who carried the tabernacle, set out. 18And the standard of the camp of Reuben set out by their companies, and over their company was Elizur the son of Shedeur. 19And over the company of the tribe of the people of Simeon was Shelumiel the son of Zurishaddai. 20And over the company of the tribe of the people of Gad was Eliasaph the son of Deuel.
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-21Then the Kohathites set out, carrying the holy things, and the tabernacle was set up before their arrival. 22And the standard of the camp of the people of Ephraim set out by their companies, and over their company was Elishama the son of Ammihud. 23And over the company of the tribe of the people of Manasseh was Gamaliel the son of Pedahzur. 24And over the company of the tribe of the people of Benjamin was Abidan the son of Gideoni.
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-25Then the standard of the camp of the people of Dan, acting as the rear guard of all the camps, set out by their companies, and over their company was Ahiezer the son of Ammishaddai. 26And over the company of the tribe of the people of Asher was Pagiel the son of Ochran. 27And over the company of the tribe of the people of Naphtali was Ahira the son of Enan. 28This was the order of march of the people of Israel by their companies, when they set out.
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-29And Moses said to Hobab the son of Reuel the Midianite, Moses' father-in-law, “We are setting out for the place of which the LORD said, ‘I will give it to you.’ Come with us, and we will do good to you, for the LORD has promised good to Israel.” 30But he said to him, “I will not go. I will depart to my own land and to my kindred.” 31And he said, “Please do not leave us, for you know where we should camp in the wilderness, and you will serve as eyes for us. 32And if you do go with us, whatever good the LORD will do to us, the same will we do to you.”
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-33So they set out from the mount of the LORD three days' journey. And the ark of the covenant of the LORD went before them three days' journey, to seek out a resting place for them. 34And the cloud of the LORD was over them by day, whenever they set out from the camp.
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-35And whenever the ark set out, Moses said, “Arise, O LORD, and let your enemies be scattered, and let those who hate you flee before you.” 36And when it rested, he said, “Return, O LORD, to the ten thousand thousands of Israel.”
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-The People Complain
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-11:1 And the people complained in the hearing of the LORD about their misfortunes, and when the LORD heard it, his anger was kindled, and the fire of the LORD burned among them and consumed some outlying parts of the camp. 2Then the people cried out to Moses, and Moses prayed to the LORD, and the fire died down. 3So the name of that place was called Taberah,[16] because the fire of the LORD burned among them.
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-4Now the rabble that was among them had a strong craving. And the people of Israel also wept again and said, “Oh that we had meat to eat! 5We remember the fish we ate in Egypt that cost nothing, the cucumbers, the melons, the leeks, the onions, and the garlic. 6But now our strength is dried up, and there is nothing at all but this manna to look at.”
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-7Now the manna was like coriander seed, and its appearance like that of bdellium. 8The people went about and gathered it and ground it in handmills or beat it in mortars and boiled it in pots and made cakes of it. And the taste of it was like the taste of cakes baked with oil. 9When the dew fell upon the camp in the night, the manna fell with it.
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-10Moses heard the people weeping throughout their clans, everyone at the door of his tent. And the anger of the LORD blazed hotly, and Moses was displeased. 11Moses said to the LORD, “Why have you dealt ill with your servant? And why have I not found favor in your sight, that you lay the burden of all this people on me? 12Did I conceive all this people? Did I give them birth, that you should say to me, ‘Carry them in your bosom, as a nurse carries a nursing child,’ to the land that you swore to give their fathers? 13Where am I to get meat to give to all this people? For they weep before me and say, ‘Give us meat, that we may eat.’ 14I am not able to carry all this people alone; the burden is too heavy for me. 15If you will treat me like this, kill me at once, if I find favor in your sight, that I may not see my wretchedness.”
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-Elders Appointed to Aid Moses
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-16Then the LORD said to Moses, “Gather for me seventy men of the elders of Israel, whom you know to be the elders of the people and officers over them, and bring them to the tent of meeting, and let them take their stand there with you. 17And I will come down and talk with you there. And I will take some of the Spirit that is on you and put it on them, and they shall bear the burden of the people with you, so that you may not bear it yourself alone. 18And say to the people, ‘Consecrate yourselves for tomorrow, and you shall eat meat, for you have wept in the hearing of the LORD, saying, “Who will give us meat to eat? For it was better for us in Egypt.” Therefore the LORD will give you meat, and you shall eat. 19You shall not eat just one day, or two days, or five days, or ten days, or twenty days, 20but a whole month, until it comes out at your nostrils and becomes loathsome to you, because you have rejected the LORD who is among you and have wept before him, saying, “Why did we come out of Egypt?”’” 21But Moses said, “The people among whom I am number six hundred thousand on foot, and you have said, ‘I will give them meat, that they may eat a whole month!’ 22Shall flocks and herds be slaughtered for them, and be enough for them? Or shall all the fish of the sea be gathered together for them, and be enough for them?” 23And the LORD said to Moses, “Is the LORD's hand shortened? Now you shall see whether my word will come true for you or not.”
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-24So Moses went out and told the people the words of the LORD. And he gathered seventy men of the elders of the people and placed them around the tent. 25Then the LORD came down in the cloud and spoke to him, and took some of the Spirit that was on him and put it on the seventy elders. And as soon as the Spirit rested on them, they prophesied. But they did not continue doing it.
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-26Now two men remained in the camp, one named Eldad, and the other named Medad, and the Spirit rested on them. They were among those registered, but they had not gone out to the tent, and so they prophesied in the camp. 27And a young man ran and told Moses, “Eldad and Medad are prophesying in the camp.” 28And Joshua the son of Nun, the assistant of Moses from his youth, said, “My lord Moses, stop them.” 29But Moses said to him, “Are you jealous for my sake? Would that all the LORD's people were prophets, that the LORD would put his Spirit on them!” 30And Moses and the elders of Israel returned to the camp.
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-Quail and a Plague
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-31Then a wind from the LORD sprang up, and it brought quail from the sea and let them fall beside the camp, about a day's journey on this side and a day's journey on the other side, around the camp, and about two cubits[17] above the ground. 32And the people rose all that day and all night and all the next day, and gathered the quail. Those who gathered least gathered ten homers.[18] And they spread them out for themselves all around the camp. 33While the meat was yet between their teeth, before it was consumed, the anger of the LORD was kindled against the people, and the LORD struck down the people with a very great plague. 34Therefore the name of that place was called Kibroth-hattaavah,[19] because there they buried the people who had the craving. 35From Kibroth-hattaavah the people journeyed to Hazeroth, and they remained at Hazeroth.
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-Miriam and Aaron Oppose Moses
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-12:1 Miriam and Aaron spoke against Moses because of the Cushite woman whom he had married, for he had married a Cushite woman. 2And they said, “Has the LORD indeed spoken only through Moses? Has he not spoken through us also?” And the LORD heard it. 3Now the man Moses was very meek, more than all people who were on the face of the earth. 4And suddenly the LORD said to Moses and to Aaron and Miriam, “Come out, you three, to the tent of meeting.” And the three of them came out. 5And the LORD came down in a pillar of cloud and stood at the entrance of the tent and called Aaron and Miriam, and they both came forward. 6And he said, “Hear my words: If there is a prophet among you, I the LORD make myself known to him in a vision; I speak with him in a dream. 7Not so with my servant Moses. He is faithful in all my house. 8With him I speak mouth to mouth, clearly, and not in riddles, and he beholds the form of the LORD. Why then were you not afraid to speak against my servant Moses?” 9And the anger of the LORD was kindled against them, and he departed.
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-10When the cloud removed from over the tent, behold, Miriam was leprous,[20] like snow. And Aaron turned toward Miriam, and behold, she was leprous. 11And Aaron said to Moses, “Oh, my lord, do not punish us[21] because we have done foolishly and have sinned. 12Let her not be as one dead, whose flesh is half eaten away when he comes out of his mother's womb.” 13And Moses cried to the LORD, “O God, please heal her—please.” 14But the LORD said to Moses, “If her father had but spit in her face, should she not be shamed seven days? Let her be shut outside the camp seven days, and after that she may be brought in again.” 15So Miriam was shut outside the camp seven days, and the people did not set out on the march till Miriam was brought in again. 16After that the people set out from Hazeroth, and camped in the wilderness of Paran.
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-Spies Sent into Canaan
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-13:1 The LORD spoke to Moses, saying, 2“Send men to spy out the land of Canaan, which I am giving to the people of Israel. From each tribe of their fathers you shall send a man, every one a chief among them.” 3So Moses sent them from the wilderness of Paran, according to the command of the LORD, all of them men who were heads of the people of Israel. 4And these were their names: From the tribe of Reuben, Shammua the son of Zaccur; 5from the tribe of Simeon, Shaphat the son of Hori; 6from the tribe of Judah, Caleb the son of Jephunneh; 7from the tribe of Issachar, Igal the son of Joseph; 8from the tribe of Ephraim, Hoshea the son of Nun; 9from the tribe of Benjamin, Palti the son of Raphu; 10from the tribe of Zebulun, Gaddiel the son of Sodi; 11from the tribe of Joseph (that is, from the tribe of Manasseh), Gaddi the son of Susi; 12from the tribe of Dan, Ammiel the son of Gemalli; 13from the tribe of Asher, Sethur the son of Michael; 14from the tribe of Naphtali, Nahbi the son of Vophsi; 15from the tribe of Gad, Geuel the son of Machi. 16These were the names of the men whom Moses sent to spy out the land. And Moses called Hoshea the son of Nun Joshua.
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-17Moses sent them to spy out the land of Canaan and said to them, “Go up into the Negeb and go up into the hill country, 18and see what the land is, and whether the people who dwell in it are strong or weak, whether they are few or many, 19and whether the land that they dwell in is good or bad, and whether the cities that they dwell in are camps or strongholds, 20and whether the land is rich or poor, and whether there are trees in it or not. Be of good courage and bring some of the fruit of the land.” Now the time was the season of the first ripe grapes.
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-21So they went up and spied out the land from the wilderness of Zin to Rehob, near Lebo-hamath. 22They went up into the Negeb and came to Hebron. Ahiman, Sheshai, and Talmai, the descendants of Anak, were there. (Hebron was built seven years before Zoan in Egypt.) 23And they came to the Valley of Eshcol and cut down from there a branch with a single cluster of grapes, and they carried it on a pole between two of them; they also brought some pomegranates and figs. 24That place was called the Valley of Eshcol,[22] because of the cluster that the people of Israel cut down from there.
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-Report of the Spies
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-25At the end of forty days they returned from spying out the land. 26And they came to Moses and Aaron and to all the congregation of the people of Israel in the wilderness of Paran, at Kadesh. They brought back word to them and to all the congregation, and showed them the fruit of the land. 27And they told him, “We came to the land to which you sent us. It flows with milk and honey, and this is its fruit. 28However, the people who dwell in the land are strong, and the cities are fortified and very large. And besides, we saw the descendants of Anak there. 29The Amalekites dwell in the land of the Negeb. The Hittites, the Jebusites, and the Amorites dwell in the hill country. And the Canaanites dwell by the sea, and along the Jordan.”
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-30But Caleb quieted the people before Moses and said, “Let us go up at once and occupy it, for we are well able to overcome it.” 31Then the men who had gone up with him said, “We are not able to go up against the people, for they are stronger than we are.” 32So they brought to the people of Israel a bad report of the land that they had spied out, saying, “The land, through which we have gone to spy it out, is a land that devours its inhabitants, and all the people that we saw in it are of great height. 33And there we saw the Nephilim (the sons of Anak, who come from the Nephilim), and we seemed to ourselves like grasshoppers, and so we seemed to them.”
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-The People Rebel
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-14:1 Then all the congregation raised a loud cry, and the people wept that night. 2And all the people of Israel grumbled against Moses and Aaron. The whole congregation said to them, “Would that we had died in the land of Egypt! Or would that we had died in this wilderness! 3Why is the LORD bringing us into this land, to fall by the sword? Our wives and our little ones will become a prey. Would it not be better for us to go back to Egypt?” 4And they said to one another, “Let us choose a leader and go back to Egypt.”
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-5Then Moses and Aaron fell on their faces before all the assembly of the congregation of the people of Israel. 6And Joshua the son of Nun and Caleb the son of Jephunneh, who were among those who had spied out the land, tore their clothes 7and said to all the congregation of the people of Israel, “The land, which we passed through to spy it out, is an exceedingly good land. 8If the LORD delights in us, he will bring us into this land and give it to us, a land that flows with milk and honey. 9Only do not rebel against the LORD. And do not fear the people of the land, for they are bread for us. Their protection is removed from them, and the LORD is with us; do not fear them.” 10Then all the congregation said to stone them with stones. But the glory of the LORD appeared at the tent of meeting to all the people of Israel.
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-11And the LORD said to Moses, “How long will this people despise me? And how long will they not believe in me, in spite of all the signs that I have done among them? 12I will strike them with the pestilence and disinherit them, and I will make of you a nation greater and mightier than they.”
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-Moses Intercedes for the People
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-13But Moses said to the LORD, “Then the Egyptians will hear of it, for you brought up this people in your might from among them, 14and they will tell the inhabitants of this land. They have heard that you, O LORD, are in the midst of this people. For you, O LORD, are seen face to face, and your cloud stands over them and you go before them, in a pillar of cloud by day and in a pillar of fire by night. 15Now if you kill this people as one man, then the nations who have heard your fame will say, 16‘It is because the LORD was not able to bring this people into the land that he swore to give to them that he has killed them in the wilderness.’ 17And now, please let the power of the Lord be great as you have promised, saying, 18‘The LORD is slow to anger and abounding in steadfast love, forgiving iniquity and transgression, but he will by no means clear the guilty, visiting the iniquity of the fathers on the children, to the third and the fourth generation.’ 19Please pardon the iniquity of this people, according to the greatness of your steadfast love, just as you have forgiven this people, from Egypt until now.”
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-God Promises Judgment
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-20Then the LORD said, “I have pardoned, according to your word. 21But truly, as I live, and as all the earth shall be filled with the glory of the LORD, 22none of the men who have seen my glory and my signs that I did in Egypt and in the wilderness, and yet have put me to the test these ten times and have not obeyed my voice, 23shall see the land that I swore to give to their fathers. And none of those who despised me shall see it. 24But my servant Caleb, because he has a different spirit and has followed me fully, I will bring into the land into which he went, and his descendants shall possess it. 25Now, since the Amalekites and the Canaanites dwell in the valleys, turn tomorrow and set out for the wilderness by the way to the Red Sea.”
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-26And the LORD spoke to Moses and to Aaron, saying, 27“How long shall this wicked congregation grumble against me? I have heard the grumblings of the people of Israel, which they grumble against me. 28Say to them, ‘As I live, declares the LORD, what you have said in my hearing I will do to you: 29your dead bodies shall fall in this wilderness, and of all your number, listed in the census from twenty years old and upward, who have grumbled against me, 30not one shall come into the land where I swore that I would make you dwell, except Caleb the son of Jephunneh and Joshua the son of Nun. 31But your little ones, who you said would become a prey, I will bring in, and they shall know the land that you have rejected. 32But as for you, your dead bodies shall fall in this wilderness. 33And your children shall be shepherds in the wilderness forty years and shall suffer for your faithlessness, until the last of your dead bodies lies in the wilderness. 34According to the number of the days in which you spied out the land, forty days, a year for each day, you shall bear your iniquity forty years, and you shall know my displeasure.’ 35I, the LORD, have spoken. Surely this will I do to all this wicked congregation who are gathered together against me: in this wilderness they shall come to a full end, and there they shall die.”
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-36And the men whom Moses sent to spy out the land, who returned and made all the congregation grumble against him by bringing up a bad report about the land— 37the men who brought up a bad report of the land—died by plague before the LORD. 38Of those men who went to spy out the land, only Joshua the son of Nun and Caleb the son of Jephunneh remained alive.
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-Israel Defeated in Battle
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-39When Moses told these words to all the people of Israel, the people mourned greatly. 40And they rose early in the morning and went up to the heights of the hill country, saying, “Here we are. We will go up to the place that the LORD has promised, for we have sinned.” 41But Moses said, “Why now are you transgressing the command of the LORD, when that will not succeed? 42Do not go up, for the Lord is not among you, lest you be struck down before your enemies. 43For there the Amalekites and the Canaanites are facing you, and you shall fall by the sword. Because you have turned back from following the LORD, the LORD will not be with you.” 44But they presumed to go up to the heights of the hill country, although neither the ark of the covenant of the LORD nor Moses departed out of the camp. 45Then the Amalekites and the Canaanites who lived in that hill country came down and defeated them and pursued them, even to Hormah.
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-Laws About Sacrifices
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-15:1 The LORD spoke to Moses, saying, 2“Speak to the people of Israel and say to them, When you come into the land you are to inhabit, which I am giving you, 3and you offer to the LORD from the herd or from the flock a food offering[23] or a burnt offering or a sacrifice, to fulfill a vow or as a freewill offering or at your appointed feasts, to make a pleasing aroma to the LORD, 4then he who brings his offering shall offer to the LORD a grain offering of a tenth of an ephah[24] of fine flour, mixed with a quarter of a hin[25] of oil; 5and you shall offer with the burnt offering, or for the sacrifice, a quarter of a hin of wine for the drink offering for each lamb. 6Or for a ram, you shall offer for a grain offering two tenths of an ephah of fine flour mixed with a third of a hin of oil. 7And for the drink offering you shall offer a third of a hin of wine, a pleasing aroma to the LORD. 8And when you offer a bull as a burnt offering or sacrifice, to fulfill a vow or for peace offerings to the LORD, 9then one shall offer with the bull a grain offering of three tenths of an ephah of fine flour, mixed with half a hin of oil. 10And you shall offer for the drink offering half a hin of wine, as a food offering, a pleasing aroma to the LORD.
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-11“Thus it shall be done for each bull or ram, or for each lamb or young goat. 12As many as you offer, so shall you do with each one, as many as there are. 13Every native Israelite shall do these things in this way, in offering a food offering, with a pleasing aroma to the LORD. 14And if a stranger is sojourning with you, or anyone is living permanently among you, and he wishes to offer a food offering, with a pleasing aroma to the LORD, he shall do as you do. 15For the assembly, there shall be one statute for you and for the stranger who sojourns with you, a statute forever throughout your generations. You and the sojourner shall be alike before the LORD. 16One law and one rule shall be for you and for the stranger who sojourns with you.”
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-17The LORD spoke to Moses, saying, 18“Speak to the people of Israel and say to them, When you come into the land to which I bring you 19and when you eat of the bread of the land, you shall present a contribution to the LORD. 20Of the first of your dough you shall present a loaf as a contribution; like a contribution from the threshing floor, so shall you present it. 21Some of the first of your dough you shall give to the LORD as a contribution throughout your generations.
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-Laws About Unintentional Sins
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-22“But if you sin unintentionally,[26] and do not observe all these commandments that the LORD has spoken to Moses, 23all that the LORD has commanded you by Moses, from the day that the LORD gave commandment, and onward throughout your generations, 24then if it was done unintentionally without the knowledge of the congregation, all the congregation shall offer one bull from the herd for a burnt offering, a pleasing aroma to the LORD, with its grain offering and its drink offering, according to the rule, and one male goat for a sin offering. 25And the priest shall make atonement for all the congregation of the people of Israel, and they shall be forgiven, because it was a mistake, and they have brought their offering, a food offering to the LORD, and their sin offering before the LORD for their mistake. 26And all the congregation of the people of Israel shall be forgiven, and the stranger who sojourns among them, because the whole population was involved in the mistake.
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-27“If one person sins unintentionally, he shall offer a female goat a year old for a sin offering. 28And the priest shall make atonement before the LORD for the person who makes a mistake, when he sins unintentionally, to make atonement for him, and he shall be forgiven. 29You shall have one law for him who does anything unintentionally, for him who is native among the people of Israel and for the stranger who sojourns among them. 30But the person who does anything with a high hand, whether he is native or a sojourner, reviles the LORD, and that person shall be cut off from among his people. 31Because he has despised the word of the LORD and has broken his commandment, that person shall be utterly cut off; his iniquity shall be on him.”
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-A Sabbathbreaker Executed
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-32While the people of Israel were in the wilderness, they found a man gathering sticks on the Sabbath day. 33And those who found him gathering sticks brought him to Moses and Aaron and to all the congregation. 34They put him in custody, because it had not been made clear what should be done to him. 35And the LORD said to Moses, “The man shall be put to death; all the congregation shall stone him with stones outside the camp.” 36And all the congregation brought him outside the camp and stoned him to death with stones, as the LORD commanded Moses.
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-Tassels on Garments
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-37The LORD said to Moses, 38“Speak to the people of Israel, and tell them to make tassels on the corners of their garments throughout their generations, and to put a cord of blue on the tassel of each corner. 39And it shall be a tassel for you to look at and remember all the commandments of the LORD, to do them, not to follow[27] after your own heart and your own eyes, which you are inclined to whore after. 40So you shall remember and do all my commandments, and be holy to your God. 41I am the LORD your God, who brought you out of the land of Egypt to be your God: I am the LORD your God.”
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-Korah's Rebellion
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-16:1 Now Korah the son of Izhar, son of Kohath, son of Levi, and Dathan and Abiram the sons of Eliab, and On the son of Peleth, sons of Reuben, took men. 2And they rose up before Moses, with a number of the people of Israel, 250 chiefs of the congregation, chosen from the assembly, well-known men. 3They assembled themselves together against Moses and against Aaron and said to them, “You have gone too far! For all in the congregation are holy, every one of them, and the LORD is among them. Why then do you exalt yourselves above the assembly of the LORD?” 4When Moses heard it, he fell on his face, 5and he said to Korah and all his company, “In the morning the LORD will show who is his,[28] and who is holy, and will bring him near to him. The one whom he chooses he will bring near to him. 6Do this: take censers, Korah and all his company; 7put fire in them and put incense on them before the LORD tomorrow, and the man whom the LORD chooses shall be the holy one. You have gone too far, sons of Levi!” 8And Moses said to Korah, “Hear now, you sons of Levi: 9is it too small a thing for you that the God of Israel has separated you from the congregation of Israel, to bring you near to himself, to do service in the tabernacle of the LORD and to stand before the congregation to minister to them, 10and that he has brought you near him, and all your brothers the sons of Levi with you? And would you seek the priesthood also? 11Therefore it is against the LORD that you and all your company have gathered together. What is Aaron that you grumble against him?”
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-12And Moses sent to call Dathan and Abiram the sons of Eliab, and they said, “We will not come up. 13Is it a small thing that you have brought us up out of a land flowing with milk and honey, to kill us in the wilderness, that you must also make yourself a prince over us? 14Moreover, you have not brought us into a land flowing with milk and honey, nor given us inheritance of fields and vineyards. Will you put out the eyes of these men? We will not come up.” 15And Moses was very angry and said to the LORD, “Do not respect their offering. I have not taken one donkey from them, and I have not harmed one of them.”
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-16And Moses said to Korah, “Be present, you and all your company, before the LORD, you and they, and Aaron, tomorrow. 17And let every one of you take his censer and put incense on it, and every one of you bring before the LORD his censer, 250 censers; you also, and Aaron, each his censer.” 18So every man took his censer and put fire in them and laid incense on them and stood at the entrance of the tent of meeting with Moses and Aaron. 19Then Korah assembled all the congregation against them at the entrance of the tent of meeting. And the glory of the LORD appeared to all the congregation.
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-20And the LORD spoke to Moses and to Aaron, saying, 21“Separate yourselves from among this congregation, that I may consume them in a moment.” 22And they fell on their faces and said, “O God, the God of the spirits of all flesh, shall one man sin, and will you be angry with all the congregation?” 23And the LORD spoke to Moses, saying, 24“Say to the congregation, Get away from the dwelling of Korah, Dathan, and Abiram.”
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-25Then Moses rose and went to Dathan and Abiram, and the elders of Israel followed him. 26And he spoke to the congregation, saying, “Depart, please, from the tents of these wicked men, and touch nothing of theirs, lest you be swept away with all their sins.” 27So they got away from the dwelling of Korah, Dathan, and Abiram. And Dathan and Abiram came out and stood at the door of their tents, together with their wives, their sons, and their little ones. 28And Moses said, “Hereby you shall know that the LORD has sent me to do all these works, and that it has not been of my own accord. 29If these men die as all men die, or if they are visited by the fate of all mankind, then the LORD has not sent me. 30But if the LORD creates something new, and the ground opens its mouth and swallows them up with all that belongs to them, and they go down alive into Sheol, then you shall know that these men have despised the LORD.”
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-31And as soon as he had finished speaking all these words, the ground under them split apart. 32And the earth opened its mouth and swallowed them up, with their households and all the people who belonged to Korah and all their goods. 33So they and all that belonged to them went down alive into Sheol, and the earth closed over them, and they perished from the midst of the assembly. 34And all Israel who were around them fled at their cry, for they said, “Lest the earth swallow us up!” 35And fire came out from the LORD and consumed the 250 men offering the incense.
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-36[29] Then the LORD spoke to Moses, saying, 37“Tell Eleazar the son of Aaron the priest to take up the censers out of the blaze. Then scatter the fire far and wide, for they have become holy. 38As for the censers of these men who have sinned at the cost of their lives, let them be made into hammered plates as a covering for the altar, for they offered them before the LORD, and they became holy. Thus they shall be a sign to the people of Israel.” 39So Eleazar the priest took the bronze censers, which those who were burned had offered, and they were hammered out as a covering for the altar, 40to be a reminder to the people of Israel, so that no outsider, who is not of the descendants of Aaron, should draw near to burn incense before the LORD, lest he become like Korah and his company—as the LORD said to him through Moses.
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-41But on the next day all the congregation of the people of Israel grumbled against Moses and against Aaron, saying, “You have killed the people of the LORD.” 42And when the congregation had assembled against Moses and against Aaron, they turned toward the tent of meeting. And behold, the cloud covered it, and the glory of the LORD appeared. 43And Moses and Aaron came to the front of the tent of meeting, 44and the LORD spoke to Moses, saying, 45“Get away from the midst of this congregation, that I may consume them in a moment.” And they fell on their faces. 46And Moses said to Aaron, “Take your censer, and put fire on it from off the altar and lay incense on it and carry it quickly to the congregation and make atonement for them, for wrath has gone out from the LORD; the plague has begun.” 47So Aaron took it as Moses said and ran into the midst of the assembly. And behold, the plague had already begun among the people. And he put on the incense and made atonement for the people. 48And he stood between the dead and the living, and the plague was stopped. 49Now those who died in the plague were 14,700, besides those who died in the affair of Korah. 50And Aaron returned to Moses at the entrance of the tent of meeting, when the plague was stopped.
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-Aaron's Staff Buds
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-17:1 [30] The LORD spoke to Moses, saying, 2“Speak to the people of Israel, and get from them staffs, one for each fathers' house, from all their chiefs according to their fathers' houses, twelve staffs. Write each man's name on his staff, 3and write Aaron's name on the staff of Levi. For there shall be one staff for the head of each fathers' house. 4Then you shall deposit them in the tent of meeting before the testimony, where I meet with you. 5And the staff of the man whom I choose shall sprout. Thus I will make to cease from me the grumblings of the people of Israel, which they grumble against you.” 6Moses spoke to the people of Israel. And all their chiefs gave him staffs, one for each chief, according to their fathers' houses, twelve staffs. And the staff of Aaron was among their staffs. 7And Moses deposited the staffs before the LORD in the tent of the testimony.
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-8On the next day Moses went into the tent of the testimony, and behold, the staff of Aaron for the house of Levi had sprouted and put forth buds and produced blossoms, and it bore ripe almonds. 9Then Moses brought out all the staffs from before the LORD to all the people of Israel. And they looked, and each man took his staff. 10And the LORD said to Moses, “Put back the staff of Aaron before the testimony, to be kept as a sign for the rebels, that you may make an end of their grumblings against me, lest they die.” 11Thus did Moses; as the LORD commanded him, so he did.
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-12And the people of Israel said to Moses, “Behold, we perish, we are undone, we are all undone. 13Everyone who comes near, who comes near to the tabernacle of the LORD, shall die. Are we all to perish?”
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-Duties of Priests and Levites
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-18:1 So the LORD said to Aaron, “You and your sons and your father's house with you shall bear iniquity connected with the sanctuary, and you and your sons with you shall bear iniquity connected with your priesthood. 2And with you bring your brothers also, the tribe of Levi, the tribe of your father, that they may join you and minister to you while you and your sons with you are before the tent of the testimony. 3They shall keep guard over you and over the whole tent, but shall not come near to the vessels of the sanctuary or to the altar lest they, and you, die. 4They shall join you and keep guard over the tent of meeting for all the service of the tent, and no outsider shall come near you. 5And you shall keep guard over the sanctuary and over the altar, that there may never again be wrath on the people of Israel. 6And behold, I have taken your brothers the Levites from among the people of Israel. They are a gift to you, given to the LORD, to do the service of the tent of meeting. 7And you and your sons with you shall guard your priesthood for all that concerns the altar and that is within the veil; and you shall serve. I give your priesthood as a gift,[31] and any outsider who comes near shall be put to death.”
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-8Then the LORD spoke to Aaron, “Behold, I have given you charge of the contributions made to me, all the consecrated things of the people of Israel. I have given them to you as a portion and to your sons as a perpetual due. 9This shall be yours of the most holy things, reserved from the fire: every offering of theirs, every grain offering of theirs and every sin offering of theirs and every guilt offering of theirs, which they render to me, shall be most holy to you and to your sons. 10In a most holy place shall you eat it. Every male may eat it; it is holy to you. 11This also is yours: the contribution of their gift, all the wave offerings of the people of Israel. I have given them to you, and to your sons and daughters with you, as a perpetual due. Everyone who is clean in your house may eat it. 12All the best of the oil and all the best of the wine and of the grain, the firstfruits of what they give to the LORD, I give to you. 13The first ripe fruits of all that is in their land, which they bring to the LORD, shall be yours. Everyone who is clean in your house may eat it. 14Every devoted thing in Israel shall be yours. 15Everything that opens the womb of all flesh, whether man or beast, which they offer to the LORD, shall be yours. Nevertheless, the firstborn of man you shall redeem, and the firstborn of unclean animals you shall redeem. 16And their redemption price (at a month old you shall redeem them) you shall fix at five shekels[32] in silver, according to the shekel of the sanctuary, which is twenty gerahs. 17But the firstborn of a cow, or the firstborn of a sheep, or the firstborn of a goat, you shall not redeem; they are holy. You shall sprinkle their blood on the altar and shall burn their fat as a food offering, with a pleasing aroma to the LORD. 18But their flesh shall be yours, as the breast that is waved and as the right thigh are yours. 19All the holy contributions that the people of Israel present to the LORD I give to you, and to your sons and daughters with you, as a perpetual due. It is a covenant of salt forever before the LORD for you and for your offspring with you.” 20And the LORD said to Aaron, “You shall have no inheritance in their land, neither shall you have any portion among them. I am your portion and your inheritance among the people of Israel.
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-21“To the Levites I have given every tithe in Israel for an inheritance, in return for their service that they do, their service in the tent of meeting, 22so that the people of Israel do not come near the tent of meeting, lest they bear sin and die. 23But the Levites shall do the service of the tent of meeting, and they shall bear their iniquity. It shall be a perpetual statute throughout your generations, and among the people of Israel they shall have no inheritance. 24For the tithe of the people of Israel, which they present as a contribution to the LORD, I have given to the Levites for an inheritance. Therefore I have said of them that they shall have no inheritance among the people of Israel.”
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-25And the LORD spoke to Moses, saying, 26“Moreover, you shall speak and say to the Levites, ‘When you take from the people of Israel the tithe that I have given you from them for your inheritance, then you shall present a contribution from it to the LORD, a tithe of the tithe. 27And your contribution shall be counted to you as though it were the grain of the threshing floor, and as the fullness of the winepress. 28So you shall also present a contribution to the LORD from all your tithes, which you receive from the people of Israel. And from it you shall give the LORD's contribution to Aaron the priest. 29Out of all the gifts to you, you shall present every contribution due to the LORD; from each its best part is to be dedicated.’ 30Therefore you shall say to them, ‘When you have offered from it the best of it, then the rest shall be counted to the Levites as produce of the threshing floor, and as produce of the winepress. 31And you may eat it in any place, you and your households, for it is your reward in return for your service in the tent of meeting. 32And you shall bear no sin by reason of it, when you have contributed the best of it. But you shall not profane the holy things of the people of Israel, lest you die.’”
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-Laws for Purification
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-19:1 Now the LORD spoke to Moses and to Aaron, saying, 2“This is the statute of the law that the LORD has commanded: Tell the people of Israel to bring you a red heifer without defect, in which there is no blemish, and on which a yoke has never come. 3And you shall give it to Eleazar the priest, and it shall be taken outside the camp and slaughtered before him. 4And Eleazar the priest shall take some of its blood with his finger, and sprinkle some of its blood toward the front of the tent of meeting seven times. 5And the heifer shall be burned in his sight. Its skin, its flesh, and its blood, with its dung, shall be burned. 6And the priest shall take cedarwood and hyssop and scarlet yarn, and throw them into the fire burning the heifer. 7Then the priest shall wash his clothes and bathe his body in water, and afterward he may come into the camp. But the priest shall be unclean until evening. 8The one who burns the heifer shall wash his clothes in water and bathe his body in water and shall be unclean until evening. 9And a man who is clean shall gather up the ashes of the heifer and deposit them outside the camp in a clean place. And they shall be kept for the water for impurity for the congregation of the people of Israel; it is a sin offering. 10And the one who gathers the ashes of the heifer shall wash his clothes and be unclean until evening. And this shall be a perpetual statute for the people of Israel, and for the stranger who sojourns among them.
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-11“Whoever touches the dead body of any person shall be unclean seven days. 12He shall cleanse himself with the water on the third day and on the seventh day, and so be clean. But if he does not cleanse himself on the third day and on the seventh day, he will not become clean. 13Whoever touches a dead person, the body of anyone who has died, and does not cleanse himself, defiles the tabernacle of the LORD, and that person shall be cut off from Israel; because the water for impurity was not thrown on him, he shall be unclean. His uncleanness is still on him.
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-14“This is the law when someone dies in a tent: everyone who comes into the tent and everyone who is in the tent shall be unclean seven days. 15And every open vessel that has no cover fastened on it is unclean. 16Whoever in the open field touches someone who was killed with a sword or who died naturally, or touches a human bone or a grave, shall be unclean seven days. 17For the unclean they shall take some ashes of the burnt sin offering, and fresh[33] water shall be added in a vessel. 18Then a clean person shall take hyssop and dip it in the water and sprinkle it on the tent and on all the furnishings and on the persons who were there and on whoever touched the bone, or the slain or the dead or the grave. 19And the clean person shall sprinkle it on the unclean on the third day and on the seventh day. Thus on the seventh day he shall cleanse him, and he shall wash his clothes and bathe himself in water, and at evening he shall be clean.
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-20“If the man who is unclean does not cleanse himself, that person shall be cut off from the midst of the assembly, since he has defiled the sanctuary of the LORD. Because the water for impurity has not been thrown on him, he is unclean. 21And it shall be a statute forever for them. The one who sprinkles the water for impurity shall wash his clothes, and the one who touches the water for impurity shall be unclean until evening. 22And whatever the unclean person touches shall be unclean, and anyone who touches it shall be unclean until evening.”
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-The Death of Miriam
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-20:1 And the people of Israel, the whole congregation, came into the wilderness of Zin in the first month, and the people stayed in Kadesh. And Miriam died there and was buried there.
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-The Waters of Meribah
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-2Now there was no water for the congregation. And they assembled themselves together against Moses and against Aaron. 3And the people quarreled with Moses and said, “Would that we had perished when our brothers perished before the LORD! 4Why have you brought the assembly of the LORD into this wilderness, that we should die here, both we and our cattle? 5And why have you made us come up out of Egypt to bring us to this evil place? It is no place for grain or figs or vines or pomegranates, and there is no water to drink.” 6Then Moses and Aaron went from the presence of the assembly to the entrance of the tent of meeting and fell on their faces. And the glory of the LORD appeared to them, 7and the LORD spoke to Moses, saying, 8“Take the staff, and assemble the congregation, you and Aaron your brother, and tell the rock before their eyes to yield its water. So you shall bring water out of the rock for them and give drink to the congregation and their cattle.” 9And Moses took the staff from before the LORD, as he commanded him.
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-Moses Strikes the Rock
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-10Then Moses and Aaron gathered the assembly together before the rock, and he said to them, “Hear now, you rebels: shall we bring water for you out of this rock?” 11And Moses lifted up his hand and struck the rock with his staff twice, and water came out abundantly, and the congregation drank, and their livestock. 12And the LORD said to Moses and Aaron, “Because you did not believe in me, to uphold me as holy in the eyes of the people of Israel, therefore you shall not bring this assembly into the land that I have given them.” 13These are the waters of Meribah,[34] where the people of Israel quarreled with the LORD, and through them he showed himself holy.
-
-
-
-
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-Edom Refuses Passage
-
-
-14Moses sent messengers from Kadesh to the king of Edom: “Thus says your brother Israel: You know all the hardship that we have met: 15how our fathers went down to Egypt, and we lived in Egypt a long time. And the Egyptians dealt harshly with us and our fathers. 16And when we cried to the LORD, he heard our voice and sent an angel and brought us out of Egypt. And here we are in Kadesh, a city on the edge of your territory. 17Please let us pass through your land. We will not pass through field or vineyard, or drink water from a well. We will go along the King's Highway. We will not turn aside to the right hand or to the left until we have passed through your territory.” 18But Edom said to him, “You shall not pass through, lest I come out with the sword against you.” 19And the people of Israel said to him, “We will go up by the highway, and if we drink of your water, I and my livestock, then I will pay for it. Let me only pass through on foot, nothing more.” 20But he said, “You shall not pass through.” And Edom came out against them with a large army and with a strong force. 21Thus Edom refused to give Israel passage through his territory, so Israel turned away from him.
-
-
-
-
-
-The Death of Aaron
-
-
-22And they journeyed from Kadesh, and the people of Israel, the whole congregation, came to Mount Hor. 23And the LORD said to Moses and Aaron at Mount Hor, on the border of the land of Edom, 24“Let Aaron be gathered to his people, for he shall not enter the land that I have given to the people of Israel, because you rebelled against my command at the waters of Meribah. 25Take Aaron and Eleazar his son and bring them up to Mount Hor. 26And strip Aaron of his garments and put them on Eleazar his son. And Aaron shall be gathered to his people and shall die there.” 27Moses did as the LORD commanded. And they went up Mount Hor in the sight of all the congregation. 28And Moses stripped Aaron of his garments and put them on Eleazar his son. And Aaron died there on the top of the mountain. Then Moses and Eleazar came down from the mountain. 29And when all the congregation saw that Aaron had perished, all the house of Israel wept for Aaron thirty days.
-
-
-
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-Arad Destroyed
-
-
-21:1 When the Canaanite, the king of Arad, who lived in the Negeb, heard that Israel was coming by the way of Atharim, he fought against Israel, and took some of them captive. 2And Israel vowed a vow to the LORD and said, “If you will indeed give this people into my hand, then I will devote their cities to destruction.”[35] 3And the LORD heeded the voice of Israel and gave over the Canaanites, and they devoted them and their cities to destruction. So the name of the place was called Hormah.[36]
-
-
-
-
-
-The Bronze Serpent
-
-
-4From Mount Hor they set out by the way to the Red Sea, to go around the land of Edom. And the people became impatient on the way. 5And the people spoke against God and against Moses, “Why have you brought us up out of Egypt to die in the wilderness? For there is no food and no water, and we loathe this worthless food.” 6Then the LORD sent fiery serpents among the people, and they bit the people, so that many people of Israel died. 7And the people came to Moses and said, “We have sinned, for we have spoken against the LORD and against you. Pray to the LORD, that he take away the serpents from us.” So Moses prayed for the people. 8And the LORD said to Moses, “Make a fiery serpent and set it on a pole, and everyone who is bitten, when he sees it, shall live.” 9So Moses made a bronze[37] serpent and set it on a pole. And if a serpent bit anyone, he would look at the bronze serpent and live.
-
-
-
-
-
-The Song of the Well
-
-
-10And the people of Israel set out and camped in Oboth. 11And they set out from Oboth and camped at Iye-abarim, in the wilderness that is opposite Moab, toward the sunrise. 12From there they set out and camped in the Valley of Zered. 13From there they set out and camped on the other side of the Arnon, which is in the wilderness that extends from the border of the Amorites, for the Arnon is the border of Moab, between Moab and the Amorites. 14Therefore it is said in the Book of the Wars of the LORD,
-
-“Waheb in Suphah, and the valleys of the Arnon,
-
-15and the slope of the valleys
-
-that extends to the seat of Ar,
-
-and leans to the border of Moab.”
-
-16And from there they continued to Beer;[38] that is the well of which the LORD said to Moses, “Gather the people together, so that I may give them water.” 17Then Israel sang this song:
-
-“Spring up, O well!—Sing to it!—
-
-18the well that the princes made,
-
-that the nobles of the people dug,
-
-with the scepter and with their staffs.”
-
-And from the wilderness they went on to Mattanah, 19and from Mattanah to Nahaliel, and from Nahaliel to Bamoth, 20and from Bamoth to the valley lying in the region of Moab by the top of Pisgah that looks down on the desert.[39]
-
-
-
-
-
-King Sihon Defeated
-
-
-21Then Israel sent messengers to Sihon king of the Amorites, saying, 22“Let me pass through your land. We will not turn aside into field or vineyard. We will not drink the water of a well. We will go by the King's Highway until we have passed through your territory.” 23But Sihon would not allow Israel to pass through his territory. He gathered all his people together and went out against Israel to the wilderness and came to Jahaz and fought against Israel. 24And Israel defeated him with the edge of the sword and took possession of his land from the Arnon to the Jabbok, as far as to the Ammonites, for the border of the Ammonites was strong. 25And Israel took all these cities, and Israel settled in all the cities of the Amorites, in Heshbon, and in all its villages. 26For Heshbon was the city of Sihon the king of the Amorites, who had fought against the former king of Moab and taken all his land out of his hand, as far as the Arnon. 27Therefore the ballad singers say,
-
-“Come to Heshbon, let it be built;
-
-let the city of Sihon be established.
-
-28For fire came out from Heshbon,
-
-flame from the city of Sihon.
-
-It devoured Ar of Moab,
-
-and swallowed[40] the heights of the Arnon.
-
-29Woe to you, O Moab!
-
-You are undone, O people of Chemosh!
-
-He has made his sons fugitives,
-
-and his daughters captives,
-
-to an Amorite king, Sihon.
-
-30So we overthrew them;
-
-Heshbon, as far as Dibon, perished;
-
-and we laid waste as far as Nophah;
-
-fire spread as far as Medeba.”[41]
-
-
-
-
-
-King Og Defeated
-
-
-31Thus Israel lived in the land of the Amorites. 32And Moses sent to spy out Jazer, and they captured its villages and dispossessed the Amorites who were there. 33Then they turned and went up by the way to Bashan. And Og the king of Bashan came out against them, he and all his people, to battle at Edrei. 34But the LORD said to Moses, “Do not fear him, for I have given him into your hand, and all his people, and his land. And you shall do to him as you did to Sihon king of the Amorites, who lived at Heshbon.” 35So they defeated him and his sons and all his people, until he had no survivor left. And they possessed his land.
-
-
-
-
-
-Balak Summons Balaam
-
-
-22:1 Then the people of Israel set out and camped in the plains of Moab beyond the Jordan at Jericho. 2And Balak the son of Zippor saw all that Israel had done to the Amorites. 3And Moab was in great dread of the people, because they were many. Moab was overcome with fear of the people of Israel. 4And Moab said to the elders of Midian, “This horde will now lick up all that is around us, as the ox licks up the grass of the field.” So Balak the son of Zippor, who was king of Moab at that time, 5sent messengers to Balaam the son of Beor at Pethor, which is near the River in the land of the people of Amaw,[42] to call him, saying, “Behold, a people has come out of Egypt. They cover the face of the earth, and they are dwelling opposite me. 6Come now, curse this people for me, since they are too mighty for me. Perhaps I shall be able to defeat them and drive them from the land, for I know that he whom you bless is blessed, and he whom you curse is cursed.”
-
-7So the elders of Moab and the elders of Midian departed with the fees for divination in their hand. And they came to Balaam and gave him Balak's message. 8And he said to them, “Lodge here tonight, and I will bring back word to you, as the LORD speaks to me.” So the princes of Moab stayed with Balaam. 9And God came to Balaam and said, “Who are these men with you?” 10And Balaam said to God, “Balak the son of Zippor, king of Moab, has sent to me, saying, 11‘Behold, a people has come out of Egypt, and it covers the face of the earth. Now come, curse them for me. Perhaps I shall be able to fight against them and drive them out.’” 12God said to Balaam, “You shall not go with them. You shall not curse the people, for they are blessed.” 13So Balaam rose in the morning and said to the princes of Balak, “Go to your own land, for the LORD has refused to let me go with you.” 14So the princes of Moab rose and went to Balak and said, “Balaam refuses to come with us.”
-
-15Once again Balak sent princes, more in number and more honorable than these. 16And they came to Balaam and said to him, “Thus says Balak the son of Zippor: ‘Let nothing hinder you from coming to me, 17for I will surely do you great honor, and whatever you say to me I will do. Come, curse this people for me.’” 18But Balaam answered and said to the servants of Balak, “Though Balak were to give me his house full of silver and gold, I could not go beyond the command of the LORD my God to do less or more. 19So you, too, please stay here tonight, that I may know what more the LORD will say to me.” 20And God came to Balaam at night and said to him, “If the men have come to call you, rise, go with them; but only do what I tell you.” 21So Balaam rose in the morning and saddled his donkey and went with the princes of Moab.
-
-
-
-
-
-Balaam's Donkey and the Angel
-
-
-22But God's anger was kindled because he went, and the angel of the LORD took his stand in the way as his adversary. Now he was riding on the donkey, and his two servants were with him. 23And the donkey saw the angel of the LORD standing in the road, with a drawn sword in his hand. And the donkey turned aside out of the road and went into the field. And Balaam struck the donkey, to turn her into the road. 24Then the angel of the LORD stood in a narrow path between the vineyards, with a wall on either side. 25And when the donkey saw the angel of the LORD, she pushed against the wall and pressed Balaam's foot against the wall. So he struck her again. 26Then the angel of the LORD went ahead and stood in a narrow place, where there was no way to turn either to the right or to the left. 27When the donkey saw the angel of the LORD, she lay down under Balaam. And Balaam's anger was kindled, and he struck the donkey with his staff. 28Then the LORD opened the mouth of the donkey, and she said to Balaam, “What have I done to you, that you have struck me these three times?” 29And Balaam said to the donkey, “Because you have made a fool of me. I wish I had a sword in my hand, for then I would kill you.” 30And the donkey said to Balaam, “Am I not your donkey, on which you have ridden all your life long to this day? Is it my habit to treat you this way?” And he said, “No.”
-
-31Then the LORD opened the eyes of Balaam, and he saw the angel of the LORD standing in the way, with his drawn sword in his hand. And he bowed down and fell on his face. 32And the angel of the LORD said to him, “Why have you struck your donkey these three times? Behold, I have come out to oppose you because your way is perverse[43] before me. 33The donkey saw me and turned aside before me these three times. If she had not turned aside from me, surely just now I would have killed you and let her live.” 34Then Balaam said to the angel of the LORD, “I have sinned, for I did not know that you stood in the road against me. Now therefore, if it is evil in your sight, I will turn back.” 35And the angel of the LORD said to Balaam, “Go with the men, but speak only the word that I tell you.” So Balaam went on with the princes of Balak.
-
-36When Balak heard that Balaam had come, he went out to meet him at the city of Moab, on the border formed by the Arnon, at the extremity of the border. 37And Balak said to Balaam, “Did I not send to you to call you? Why did you not come to me? Am I not able to honor you?” 38Balaam said to Balak, “Behold, I have come to you! Have I now any power of my own to speak anything? The word that God puts in my mouth, that must I speak.” 39Then Balaam went with Balak, and they came to Kiriath-huzoth. 40And Balak sacrificed oxen and sheep, and sent for Balaam and for the princes who were with him.
-
-41And in the morning Balak took Balaam and brought him up to Bamoth-baal, and from there he saw a fraction of the people.
-
-
-
-
-
-Balaam's First Oracle
-
-
-23:1 And Balaam said to Balak, “Build for me here seven altars, and prepare for me here seven bulls and seven rams.” 2Balak did as Balaam had said. And Balak and Balaam offered on each altar a bull and a ram. 3And Balaam said to Balak, “Stand beside your burnt offering, and I will go. Perhaps the LORD will come to meet me, and whatever he shows me I will tell you.” And he went to a bare height, 4and God met Balaam. And Balaam said to him, “I have arranged the seven altars and I have offered on each altar a bull and a ram.” 5And the LORD put a word in Balaam's mouth and said, “Return to Balak, and thus you shall speak.” 6And he returned to him, and behold, he and all the princes of Moab were standing beside his burnt offering. 7And Balaam took up his discourse and said,
-
-“From Aram Balak has brought me,
-
-the king of Moab from the eastern mountains:
-
-‘Come, curse Jacob for me,
-
-and come, denounce Israel!’
-
-8How can I curse whom God has not cursed?
-
-How can I denounce whom the LORD has not denounced?
-
-9For from the top of the crags I see him,
-
-from the hills I behold him;
-
-behold, a people dwelling alone,
-
-and not counting itself among the nations!
-
-10Who can count the dust of Jacob
-
-or number the fourth part[44] of Israel?
-
-Let me die the death of the upright,
-
-and let my end be like his!”
-
-11And Balak said to Balaam, “What have you done to me? I took you to curse my enemies, and behold, you have done nothing but bless them.” 12And he answered and said, “Must I not take care to speak what the LORD puts in my mouth?”
-
-
-
-
-
-Balaam's Second Oracle
-
-
-13And Balak said to him, “Please come with me to another place, from which you may see them. You shall see only a fraction of them and shall not see them all. Then curse them for me from there.” 14And he took him to the field of Zophim, to the top of Pisgah, and built seven altars and offered a bull and a ram on each altar. 15Balaam said to Balak, “Stand here beside your burnt offering, while I meet the LORD over there.” 16And the LORD met Balaam and put a word in his mouth and said, “Return to Balak, and thus shall you speak.” 17And he came to him, and behold, he was standing beside his burnt offering, and the princes of Moab with him. And Balak said to him, “What has the LORD spoken?” 18And Balaam took up his discourse and said,
-
-“Rise, Balak, and hear;
-
-give ear to me, O son of Zippor:
-
-19God is not man, that he should lie,
-
-or a son of man, that he should change his mind.
-
-Has he said, and will he not do it?
-
-Or has he spoken, and will he not fulfill it?
-
-20Behold, I received a command to bless:
-
-he has blessed, and I cannot revoke it.
-
-21He has not beheld misfortune in Jacob,
-
-nor has he seen trouble in Israel.
-
-The LORD their God is with them,
-
-and the shout of a king is among them.
-
-22God brings them out of Egypt
-
-and is for them like the horns of the wild ox.
-
-23For there is no enchantment against Jacob,
-
-no divination against Israel;
-
-now it shall be said of Jacob and Israel,
-
-‘What has God wrought!’
-
-24Behold, a people! As a lioness it rises up
-
-and as a lion it lifts itself;
-
-it does not lie down until it has devoured the prey
-
-and drunk the blood of the slain.”
-
-25And Balak said to Balaam, “Do not curse them at all, and do not bless them at all.” 26But Balaam answered Balak, “Did I not tell you, ‘All that the LORD says, that I must do’?” 27And Balak said to Balaam, “Come now, I will take you to another place. Perhaps it will please God that you may curse them for me from there.” 28So Balak took Balaam to the top of Peor, which overlooks the desert.[45] 29And Balaam said to Balak, “Build for me here seven altars and prepare for me here seven bulls and seven rams.” 30And Balak did as Balaam had said, and offered a bull and a ram on each altar.
-
-
-
-
-
-Balaam's Third Oracle
-
-
-24:1 When Balaam saw that it pleased the LORD to bless Israel, he did not go, as at other times, to look for omens, but set his face toward the wilderness. 2And Balaam lifted up his eyes and saw Israel camping tribe by tribe. And the Spirit of God came upon him, 3and he took up his discourse and said,
-
-“The oracle of Balaam the son of Beor,
-
-the oracle of the man whose eye is opened,[46]
-
-4the oracle of him who hears the words of God,
-
-who sees the vision of the Almighty,
-
-falling down with his eyes uncovered:
-
-5How lovely are your tents, O Jacob,
-
-your encampments, O Israel!
-
-6Like palm groves[47] that stretch afar,
-
-like gardens beside a river,
-
-like aloes that the LORD has planted,
-
-like cedar trees beside the waters.
-
-7Water shall flow from his buckets,
-
-and his seed shall be in many waters;
-
-his king shall be higher than Agag,
-
-and his kingdom shall be exalted.
-
-8God brings him out of Egypt
-
-and is for him like the horns of the wild ox;
-
-he shall eat up the nations, his adversaries,
-
-and shall break their bones in pieces
-
-and pierce them through with his arrows.
-
-9He crouched, he lay down like a lion
-
-and like a lioness; who will rouse him up?
-
-Blessed are those who bless you,
-
-and cursed are those who curse you.”
-
-10And Balak's anger was kindled against Balaam, and he struck his hands together. And Balak said to Balaam, “I called you to curse my enemies, and behold, you have blessed them these three times. 11Therefore now flee to your own place. I said, ‘I will certainly honor you,’ but the LORD has held you back from honor.” 12And Balaam said to Balak, “Did I not tell your messengers whom you sent to me, 13‘If Balak should give me his house full of silver and gold, I would not be able to go beyond the word of the LORD, to do either good or bad of my own will. What the LORD speaks, that will I speak’? 14And now, behold, I am going to my people. Come, I will let you know what this people will do to your people in the latter days.”
-
-
-
-
-
-Balaam's Final Oracle
-
-
-15And he took up his discourse and said,
-
-“The oracle of Balaam the son of Beor,
-
-the oracle of the man whose eye is opened,
-
-16the oracle of him who hears the words of God,
-
-and knows the knowledge of the Most High,
-
-who sees the vision of the Almighty,
-
-falling down with his eyes uncovered:
-
-17I see him, but not now;
-
-I behold him, but not near:
-
-a star shall come out of Jacob,
-
-and a scepter shall rise out of Israel;
-
-it shall crush the forehead[48] of Moab
-
-and break down all the sons of Sheth.
-
-18Edom shall be dispossessed;
-
-Seir also, his enemies, shall be dispossessed.
-
-Israel is doing valiantly.
-
-19And one from Jacob shall exercise dominion
-
-and destroy the survivors of cities!”
-
-20Then he looked on Amalek and took up his discourse and said,
-
-“Amalek was the first among the nations,
-
-but its end is utter destruction.”
-
-21And he looked on the Kenite, and took up his discourse and said,
-
-“Enduring is your dwelling place,
-
-and your nest is set in the rock.
-
-22Nevertheless, Kain shall be burned
-
-when Asshur takes you away captive.”
-
-23And he took up his discourse and said,
-
-“Alas, who shall live when God does this?
-
-24But ships shall come from Kittim
-
-and shall afflict Asshur and Eber;
-
-and he too shall come to utter destruction.”
-
-25Then Balaam rose and went back to his place. And Balak also went his way.
-
-
-
-
-
-Baal Worship at Peor
-
-
-25:1 While Israel lived in Shittim, the people began to whore with the daughters of Moab. 2These invited the people to the sacrifices of their gods, and the people ate and bowed down to their gods. 3So Israel yoked himself to Baal of Peor. And the anger of the LORD was kindled against Israel. 4And the LORD said to Moses, “Take all the chiefs of the people and hang[49] them in the sun before the LORD, that the fierce anger of the LORD may turn away from Israel.” 5And Moses said to the judges of Israel, “Each of you kill those of his men who have yoked themselves to Baal of Peor.”
-
-6And behold, one of the people of Israel came and brought a Midianite woman to his family, in the sight of Moses and in the sight of the whole congregation of the people of Israel, while they were weeping in the entrance of the tent of meeting. 7When Phinehas the son of Eleazar, son of Aaron the priest, saw it, he rose and left the congregation and took a spear in his hand 8and went after the man of Israel into the chamber and pierced both of them, the man of Israel and the woman through her belly. Thus the plague on the people of Israel was stopped. 9Nevertheless, those who died by the plague were twenty-four thousand.
-
-
-
-
-
-The Zeal of Phinehas
-
-
-10And the LORD said to Moses, 11“Phinehas the son of Eleazar, son of Aaron the priest, has turned back my wrath from the people of Israel, in that he was jealous with my jealousy among them, so that I did not consume the people of Israel in my jealousy. 12Therefore say, ‘Behold, I give to him my covenant of peace, 13and it shall be to him and to his descendants after him the covenant of a perpetual priesthood, because he was jealous for his God and made atonement for the people of Israel.’”
-
-14The name of the slain man of Israel, who was killed with the Midianite woman, was Zimri the son of Salu, chief of a father's house belonging to the Simeonites. 15And the name of the Midianite woman who was killed was Cozbi the daughter of Zur, who was the tribal head of a father's house in Midian.
-
-16And the LORD spoke to Moses, saying, 17“Harass the Midianites and strike them down, 18for they have harassed you with their wiles, with which they beguiled you in the matter of Peor, and in the matter of Cozbi, the daughter of the chief of Midian, their sister, who was killed on the day of the plague on account of Peor.”
-
-
-
-
-
-Census of the New Generation
-
-
-26:1 After the plague, the LORD said to Moses and to Eleazar the son of Aaron, the priest, 2“Take a census of all the congregation of the people of Israel, from twenty years old and upward, by their fathers' houses, all in Israel who are able to go to war.” 3And Moses and Eleazar the priest spoke with them in the plains of Moab by the Jordan at Jericho, saying, 4“Take a census of the people,[50] from twenty years old and upward,” as the LORD commanded Moses. The people of Israel who came out of the land of Egypt were:
-
-5Reuben, the firstborn of Israel; the sons of Reuben: of Hanoch, the clan of the Hanochites; of Pallu, the clan of the Palluites; 6of Hezron, the clan of the Hezronites; of Carmi, the clan of the Carmites. 7These are the clans of the Reubenites, and those listed were 43,730. 8And the sons of Pallu: Eliab. 9The sons of Eliab: Nemuel, Dathan, and Abiram. These are the Dathan and Abiram, chosen from the congregation, who contended against Moses and Aaron in the company of Korah, when they contended against the LORD 10and the earth opened its mouth and swallowed them up together with Korah, when that company died, when the fire devoured 250 men, and they became a warning. 11But the sons of Korah did not die.
-
-12The sons of Simeon according to their clans: of Nemuel, the clan of the Nemuelites; of Jamin, the clan of the Jaminites; of Jachin, the clan of the Jachinites; 13of Zerah, the clan of the Zerahites; of Shaul, the clan of the Shaulites. 14These are the clans of the Simeonites, 22,200.
-
-15The sons of Gad according to their clans: of Zephon, the clan of the Zephonites; of Haggi, the clan of the Haggites; of Shuni, the clan of the Shunites; 16of Ozni, the clan of the Oznites; of Eri, the clan of the Erites; 17of Arod, the clan of the Arodites; of Areli, the clan of the Arelites. 18These are the clans of the sons of Gad as they were listed, 40,500.
-
-19The sons of Judah were Er and Onan; and Er and Onan died in the land of Canaan. 20And the sons of Judah according to their clans were: of Shelah, the clan of the Shelanites; of Perez, the clan of the Perezites; of Zerah, the clan of the Zerahites. 21And the sons of Perez were: of Hezron, the clan of the Hezronites; of Hamul, the clan of the Hamulites. 22These are the clans of Judah as they were listed, 76,500.
-
-23The sons of Issachar according to their clans: of Tola, the clan of the Tolaites; of Puvah, the clan of the Punites; 24of Jashub, the clan of the Jashubites; of Shimron, the clan of the Shimronites. 25These are the clans of Issachar as they were listed, 64,300.
-
-26The sons of Zebulun, according to their clans: of Sered, the clan of the Seredites; of Elon, the clan of the Elonites; of Jahleel, the clan of the Jahleelites. 27These are the clans of the Zebulunites as they were listed, 60,500.
-
-28The sons of Joseph according to their clans: Manasseh and Ephraim. 29The sons of Manasseh: of Machir, the clan of the Machirites; and Machir was the father of Gilead; of Gilead, the clan of the Gileadites. 30These are the sons of Gilead: of Iezer, the clan of the Iezerites; of Helek, the clan of the Helekites; 31and of Asriel, the clan of the Asrielites; and of Shechem, the clan of the Shechemites; 32and of Shemida, the clan of the Shemidaites; and of Hepher, the clan of the Hepherites. 33Now Zelophehad the son of Hepher had no sons, but daughters. And the names of the daughters of Zelophehad were Mahlah, Noah, Hoglah, Milcah, and Tirzah. 34These are the clans of Manasseh, and those listed were 52,700.
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-35These are the sons of Ephraim according to their clans: of Shuthelah, the clan of the Shuthelahites; of Becher, the clan of the Becherites; of Tahan, the clan of the Tahanites. 36And these are the sons of Shuthelah: of Eran, the clan of the Eranites. 37These are the clans of the sons of Ephraim as they were listed, 32,500. These are the sons of Joseph according to their clans.
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-38The sons of Benjamin according to their clans: of Bela, the clan of the Belaites; of Ashbel, the clan of the Ashbelites; of Ahiram, the clan of the Ahiramites; 39of Shephupham, the clan of the Shuphamites; of Hupham, the clan of the Huphamites. 40And the sons of Bela were Ard and Naaman: of Ard, the clan of the Ardites; of Naaman, the clan of the Naamites. 41These are the sons of Benjamin according to their clans, and those listed were 45,600.
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-42These are the sons of Dan according to their clans: of Shuham, the clan of the Shuhamites. These are the clans of Dan according to their clans. 43All the clans of the Shuhamites, as they were listed, were 64,400.
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-44The sons of Asher according to their clans: of Imnah, the clan of the Imnites; of Ishvi, the clan of the Ishvites; of Beriah, the clan of the Beriites. 45Of the sons of Beriah: of Heber, the clan of the Heberites; of Malchiel, the clan of the Malchielites. 46And the name of the daughter of Asher was Serah. 47These are the clans of the sons of Asher as they were listed, 53,400.
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-48The sons of Naphtali according to their clans: of Jahzeel, the clan of the Jahzeelites; of Guni, the clan of the Gunites; 49of Jezer, the clan of the Jezerites; of Shillem, the clan of the Shillemites. 50These are the clans of Naphtali according to their clans, and those listed were 45,400.
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-51This was the list of the people of Israel, 601,730.
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-52The LORD spoke to Moses, saying, 53“Among these the land shall be divided for inheritance according to the number of names. 54To a large tribe you shall give a large inheritance, and to a small tribe you shall give a small inheritance; every tribe shall be given its inheritance in proportion to its list. 55But the land shall be divided by lot. According to the names of the tribes of their fathers they shall inherit. 56Their inheritance shall be divided according to lot between the larger and the smaller.”
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-57This was the list of the Levites according to their clans: of Gershon, the clan of the Gershonites; of Kohath, the clan of the Kohathites; of Merari, the clan of the Merarites. 58These are the clans of Levi: the clan of the Libnites, the clan of the Hebronites, the clan of the Mahlites, the clan of the Mushites, the clan of the Korahites. And Kohath was the father of Amram. 59The name of Amram's wife was Jochebed the daughter of Levi, who was born to Levi in Egypt. And she bore to Amram Aaron and Moses and Miriam their sister. 60And to Aaron were born Nadab, Abihu, Eleazar, and Ithamar. 61But Nadab and Abihu died when they offered unauthorized fire before the LORD. 62And those listed were 23,000, every male from a month old and upward. For they were not listed among the people of Israel, because there was no inheritance given to them among the people of Israel.
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-63These were those listed by Moses and Eleazar the priest, who listed the people of Israel in the plains of Moab by the Jordan at Jericho. 64But among these there was not one of those listed by Moses and Aaron the priest, who had listed the people of Israel in the wilderness of Sinai. 65For the LORD had said of them, “They shall die in the wilderness.” Not one of them was left, except Caleb the son of Jephunneh and Joshua the son of Nun.
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-The Daughters of Zelophehad
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-27:1 Then drew near the daughters of Zelophehad the son of Hepher, son of Gilead, son of Machir, son of Manasseh, from the clans of Manasseh the son of Joseph. The names of his daughters were: Mahlah, Noah, Hoglah, Milcah, and Tirzah. 2And they stood before Moses and before Eleazar the priest and before the chiefs and all the congregation, at the entrance of the tent of meeting, saying, 3“Our father died in the wilderness. He was not among the company of those who gathered themselves together against the LORD in the company of Korah, but died for his own sin. And he had no sons. 4Why should the name of our father be taken away from his clan because he had no son? Give to us a possession among our father's brothers.”
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-5Moses brought their case before the LORD. 6And the LORD said to Moses, 7“The daughters of Zelophehad are right. You shall give them possession of an inheritance among their father's brothers and transfer the inheritance of their father to them. 8And you shall speak to the people of Israel, saying, ‘If a man dies and has no son, then you shall transfer his inheritance to his daughter. 9And if he has no daughter, then you shall give his inheritance to his brothers. 10And if he has no brothers, then you shall give his inheritance to his father's brothers. 11And if his father has no brothers, then you shall give his inheritance to the nearest kinsman of his clan, and he shall possess it. And it shall be for the people of Israel a statute and rule, as the LORD commanded Moses.’”
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-Joshua to Succeed Moses
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-12The LORD said to Moses, “Go up into this mountain of Abarim and see the land that I have given to the people of Israel. 13When you have seen it, you also shall be gathered to your people, as your brother Aaron was, 14because you rebelled against my word in the wilderness of Zin when the congregation quarreled, failing to uphold me as holy at the waters before their eyes.” (These are the waters of Meribah of Kadesh in the wilderness of Zin.) 15Moses spoke to the LORD, saying, 16“Let the LORD, the God of the spirits of all flesh, appoint a man over the congregation 17who shall go out before them and come in before them, who shall lead them out and bring them in, that the congregation of the LORD may not be as sheep that have no shepherd.” 18So the LORD said to Moses, “Take Joshua the son of Nun, a man in whom is the Spirit, and lay your hand on him. 19Make him stand before Eleazar the priest and all the congregation, and you shall commission him in their sight. 20You shall invest him with some of your authority, that all the congregation of the people of Israel may obey. 21And he shall stand before Eleazar the priest, who shall inquire for him by the judgment of the Urim before the LORD. At his word they shall go out, and at his word they shall come in, both he and all the people of Israel with him, the whole congregation.” 22And Moses did as the LORD commanded him. He took Joshua and made him stand before Eleazar the priest and the whole congregation, 23and he laid his hands on him and commissioned him as the LORD directed through Moses.
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-Daily Offerings
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-28:1 The LORD spoke to Moses, saying, 2“Command the people of Israel and say to them, ‘My offering, my food for my food offerings, my pleasing aroma, you shall be careful to offer to me at its appointed time.’ 3And you shall say to them, This is the food offering that you shall offer to the LORD: two male lambs a year old without blemish, day by day, as a regular offering. 4The one lamb you shall offer in the morning, and the other lamb you shall offer at twilight; 5also a tenth of an ephah[51] of fine flour for a grain offering, mixed with a quarter of a hin[52] of beaten oil. 6It is a regular burnt offering, which was ordained at Mount Sinai for a pleasing aroma, a food offering to the LORD. 7Its drink offering shall be a quarter of a hin for each lamb. In the Holy Place you shall pour out a drink offering of strong drink to the LORD. 8The other lamb you shall offer at twilight. Like the grain offering of the morning, and like its drink offering, you shall offer it as a food offering, with a pleasing aroma to the LORD.
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-Sabbath Offerings
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-9“On the Sabbath day, two male lambs a year old without blemish, and two tenths of an ephah of fine flour for a grain offering, mixed with oil, and its drink offering: 10this is the burnt offering of every Sabbath, besides the regular burnt offering and its drink offering.
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-Monthly Offerings
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-11“At the beginnings of your months, you shall offer a burnt offering to the LORD: two bulls from the herd, one ram, seven male lambs a year old without blemish; 12also three tenths of an ephah of fine flour for a grain offering, mixed with oil, for each bull, and two tenths of fine flour for a grain offering, mixed with oil, for the one ram; 13and a tenth of fine flour mixed with oil as a grain offering for every lamb; for a burnt offering with a pleasing aroma, a food offering to the LORD. 14Their drink offerings shall be half a hin of wine for a bull, a third of a hin for a ram, and a quarter of a hin for a lamb. This is the burnt offering of each month throughout the months of the year. 15Also one male goat for a sin offering to the LORD; it shall be offered besides the regular burnt offering and its drink offering.
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-Passover Offerings
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-16“On the fourteenth day of the first month is the LORD's Passover, 17and on the fifteenth day of this month is a feast. Seven days shall unleavened bread be eaten. 18On the first day there shall be a holy convocation. You shall not do any ordinary work, 19but offer a food offering, a burnt offering to the LORD: two bulls from the herd, one ram, and seven male lambs a year old; see that they are without blemish; 20also their grain offering of fine flour mixed with oil; three tenths of an ephah shall you offer for a bull, and two tenths for a ram; 21a tenth shall you offer for each of the seven lambs; 22also one male goat for a sin offering, to make atonement for you. 23You shall offer these besides the burnt offering of the morning, which is for a regular burnt offering. 24In the same way you shall offer daily, for seven days, the food of a food offering, with a pleasing aroma to the LORD. It shall be offered besides the regular burnt offering and its drink offering. 25And on the seventh day you shall have a holy convocation. You shall not do any ordinary work.
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-Offerings for the Feast of Weeks
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-26“On the day of the firstfruits, when you offer a grain offering of new grain to the LORD at your Feast of Weeks, you shall have a holy convocation. You shall not do any ordinary work, 27but offer a burnt offering, with a pleasing aroma to the LORD: two bulls from the herd, one ram, seven male lambs a year old; 28also their grain offering of fine flour mixed with oil, three tenths of an ephah for each bull, two tenths for one ram, 29a tenth for each of the seven lambs; 30with one male goat, to make atonement for you. 31Besides the regular burnt offering and its grain offering, you shall offer them and their drink offering. See that they are without blemish.
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-Offerings for the Feast of Trumpets
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-29:1 “On the first day of the seventh month you shall have a holy convocation. You shall not do any ordinary work. It is a day for you to blow the trumpets, 2and you shall offer a burnt offering, for a pleasing aroma to the LORD: one bull from the herd, one ram, seven male lambs a year old without blemish; 3also their grain offering of fine flour mixed with oil, three tenths of an ephah[53] for the bull, two tenths for the ram, 4and one tenth for each of the seven lambs; 5with one male goat for a sin offering, to make atonement for you; 6besides the burnt offering of the new moon, and its grain offering, and the regular burnt offering and its grain offering, and their drink offering, according to the rule for them, for a pleasing aroma, a food offering to the LORD.
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-Offerings for the Day of Atonement
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-7“On the tenth day of this seventh month you shall have a holy convocation and afflict yourselves. You shall do no work, 8but you shall offer a burnt offering to the LORD, a pleasing aroma: one bull from the herd, one ram, seven male lambs a year old: see that they are without blemish. 9And their grain offering shall be of fine flour mixed with oil, three tenths of an ephah for the bull, two tenths for the one ram, 10a tenth for each of the seven lambs: 11also one male goat for a sin offering, besides the sin offering of atonement, and the regular burnt offering and its grain offering, and their drink offerings.
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-Offerings for the Feast of Booths
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-12“On the fifteenth day of the seventh month you shall have a holy convocation. You shall not do any ordinary work, and you shall keep a feast to the LORD seven days. 13And you shall offer a burnt offering, a food offering, with a pleasing aroma to the LORD, thirteen bulls from the herd, two rams, fourteen male lambs a year old; they shall be without blemish; 14and their grain offering of fine flour mixed with oil, three tenths of an ephah for each of the thirteen bulls, two tenths for each of the two rams, 15and a tenth for each of the fourteen lambs; 16also one male goat for a sin offering, besides the regular burnt offering, its grain offering and its drink offering.
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-17“On the second day twelve bulls from the herd, two rams, fourteen male lambs a year old without blemish, 18with the grain offering and the drink offerings for the bulls, for the rams, and for the lambs, in the prescribed quantities; 19also one male goat for a sin offering, besides the regular burnt offering and its grain offering, and their drink offerings.
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-20“On the third day eleven bulls, two rams, fourteen male lambs a year old without blemish, 21with the grain offering and the drink offerings for the bulls, for the rams, and for the lambs, in the prescribed quantities; 22also one male goat for a sin offering, besides the regular burnt offering and its grain offering and its drink offering.
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-23“On the fourth day ten bulls, two rams, fourteen male lambs a year old without blemish, 24with the grain offering and the drink offerings for the bulls, for the rams, and for the lambs, in the prescribed quantities; 25also one male goat for a sin offering, besides the regular burnt offering, its grain offering and its drink offering.
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-26“On the fifth day nine bulls, two rams, fourteen male lambs a year old without blemish, 27with the grain offering and the drink offerings for the bulls, for the rams, and for the lambs, in the prescribed quantities; 28also one male goat for a sin offering; besides the regular burnt offering and its grain offering and its drink offering.
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-29“On the sixth day eight bulls, two rams, fourteen male lambs a year old without blemish, 30with the grain offering and the drink offerings for the bulls, for the rams, and for the lambs, in the prescribed quantities; 31also one male goat for a sin offering; besides the regular burnt offering, its grain offering, and its drink offerings.
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-32“On the seventh day seven bulls, two rams, fourteen male lambs a year old without blemish, 33with the grain offering and the drink offerings for the bulls, for the rams, and for the lambs, in the prescribed quantities; 34also one male goat for a sin offering; besides the regular burnt offering, its grain offering, and its drink offering.
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-35“On the eighth day you shall have a solemn assembly. You shall not do any ordinary work, 36but you shall offer a burnt offering, a food offering, with a pleasing aroma to the LORD: one bull, one ram, seven male lambs a year old without blemish, 37and the grain offering and the drink offerings for the bull, for the ram, and for the lambs, in the prescribed quantities; 38also one male goat for a sin offering; besides the regular burnt offering and its grain offering and its drink offering.
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-39“These you shall offer to the LORD at your appointed feasts, in addition to your vow offerings and your freewill offerings, for your burnt offerings, and for your grain offerings, and for your drink offerings, and for your peace offerings.”
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-40[54] So Moses told the people of Israel everything just as the LORD had commanded Moses.
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-Men and Vows
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-30:1 Moses spoke to the heads of the tribes of the people of Israel, saying, “This is what the LORD has commanded. 2If a man vows a vow to the LORD, or swears an oath to bind himself by a pledge, he shall not break his word. He shall do according to all that proceeds out of his mouth.
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-Women and Vows
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-3“If a woman vows a vow to the LORD and binds herself by a pledge, while within her father's house in her youth, 4and her father hears of her vow and of her pledge by which she has bound herself and says nothing to her, then all her vows shall stand, and every pledge by which she has bound herself shall stand. 5But if her father opposes her on the day that he hears of it, no vow of hers, no pledge by which she has bound herself shall stand. And the LORD will forgive her, because her father opposed her.
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-6“If she marries a husband, while under her vows or any thoughtless utterance of her lips by which she has bound herself, 7and her husband hears of it and says nothing to her on the day that he hears, then her vows shall stand, and her pledges by which she has bound herself shall stand. 8But if, on the day that her husband comes to hear of it, he opposes her, then he makes void her vow that was on her, and the thoughtless utterance of her lips by which she bound herself. And the LORD will forgive her. 9(But any vow of a widow or of a divorced woman, anything by which she has bound herself, shall stand against her.) 10And if she vowed in her husband's house or bound herself by a pledge with an oath, 11and her husband heard of it and said nothing to her and did not oppose her, then all her vows shall stand, and every pledge by which she bound herself shall stand. 12But if her husband makes them null and void on the day that he hears them, then whatever proceeds out of her lips concerning her vows or concerning her pledge of herself shall not stand. Her husband has made them void, and the LORD will forgive her. 13Any vow and any binding oath to afflict herself, her husband may establish,[55] or her husband may make void. 14But if her husband says nothing to her from day to day, then he establishes all her vows or all her pledges that are upon her. He has established them, because he said nothing to her on the day that he heard of them. 15But if he makes them null and void after he has heard of them, then he shall bear her iniquity.”
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-16These are the statutes that the LORD commanded Moses about a man and his wife and about a father and his daughter while she is in her youth within her father's house.
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-Vengeance on Midian
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-31:1 The LORD spoke to Moses, saying, 2“Avenge the people of Israel on the Midianites. Afterward you shall be gathered to your people.” 3So Moses spoke to the people, saying, “Arm men from among you for the war, that they may go against Midian to execute the LORD's vengeance on Midian. 4You shall send a thousand from each of the tribes of Israel to the war.” 5So there were provided, out of the thousands of Israel, a thousand from each tribe, twelve thousand armed for war. 6And Moses sent them to the war, a thousand from each tribe, together with Phinehas the son of Eleazar the priest, with the vessels of the sanctuary and the trumpets for the alarm in his hand. 7They warred against Midian, as the LORD commanded Moses, and killed every male. 8They killed the kings of Midian with the rest of their slain, Evi, Rekem, Zur, Hur, and Reba, the five kings of Midian. And they also killed Balaam the son of Beor with the sword. 9And the people of Israel took captive the women of Midian and their little ones, and they took as plunder all their cattle, their flocks, and all their goods. 10All their cities in the places where they lived, and all their encampments, they burned with fire, 11and took all the spoil and all the plunder, both of man and of beast. 12Then they brought the captives and the plunder and the spoil to Moses, and to Eleazar the priest, and to the congregation of the people of Israel, at the camp on the plains of Moab by the Jordan at Jericho.
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-13Moses and Eleazar the priest and all the chiefs of the congregation went to meet them outside the camp. 14And Moses was angry with the officers of the army, the commanders of thousands and the commanders of hundreds, who had come from service in the war. 15Moses said to them, “Have you let all the women live? 16Behold, these, on Balaam's advice, caused the people of Israel to act treacherously against the LORD in the incident of Peor, and so the plague came among the congregation of the LORD. 17Now therefore, kill every male among the little ones, and kill every woman who has known man by lying with him. 18But all the young girls who have not known man by lying with him keep alive for yourselves. 19Encamp outside the camp seven days. Whoever of you has killed any person and whoever has touched any slain, purify yourselves and your captives on the third day and on the seventh day. 20You shall purify every garment, every article of skin, all work of goats' hair, and every article of wood.”
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-21Then Eleazar the priest said to the men in the army who had gone to battle: “This is the statute of the law that the LORD has commanded Moses: 22only the gold, the silver, the bronze, the iron, the tin, and the lead, 23everything that can stand the fire, you shall pass through the fire, and it shall be clean. Nevertheless, it shall also be purified with the water for impurity. And whatever cannot stand the fire, you shall pass through the water. 24You must wash your clothes on the seventh day, and you shall be clean. And afterward you may come into the camp.”
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-25The LORD said to Moses, 26“Take the count of the plunder that was taken, both of man and of beast, you and Eleazar the priest and the heads of the fathers' houses of the congregation, 27and divide the plunder into two parts between the warriors who went out to battle and all the congregation. 28And levy for the LORD a tribute from the men of war who went out to battle, one out of five hundred, of the people and of the oxen and of the donkeys and of the flocks. 29Take it from their half and give it to Eleazar the priest as a contribution to the LORD. 30And from the people of Israel's half you shall take one drawn out of every fifty, of the people, of the oxen, of the donkeys, and of the flocks, of all the cattle, and give them to the Levites who keep guard over the tabernacle of the LORD.” 31And Moses and Eleazar the priest did as the LORD commanded Moses.
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-32Now the plunder remaining of the spoil that the army took was 675,000 sheep, 3372,000 cattle, 3461,000 donkeys, 35and 32,000 persons in all, women who had not known man by lying with him. 36And the half, the portion of those who had gone out in the army, numbered 337,500 sheep, 37and the LORD's tribute of sheep was 675. 38The cattle were 36,000, of which the LORD's tribute was 72. 39The donkeys were 30,500, of which the LORD's tribute was 61. 40The persons were 16,000, of which the LORD's tribute was 32 persons. 41And Moses gave the tribute, which was the contribution for the LORD, to Eleazar the priest, as the LORD commanded Moses.
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-42From the people of Israel's half, which Moses separated from that of the men who had served in the army— 43now the congregation's half was 337,500 sheep, 4436,000 cattle, 45and 30,500 donkeys, 46and 16,000 persons— 47from the people of Israel's half Moses took one of every 50, both of persons and of beasts, and gave them to the Levites who kept guard over the tabernacle of the LORD, as the LORD commanded Moses.
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-48Then the officers who were over the thousands of the army, the commanders of thousands and the commanders of hundreds, came near to Moses 49and said to Moses, “Your servants have counted the men of war who are under our command, and there is not a man missing from us. 50And we have brought the LORD's offering, what each man found, articles of gold, armlets and bracelets, signet rings, earrings, and beads, to make atonement for ourselves before the LORD.” 51And Moses and Eleazar the priest received from them the gold, all crafted articles. 52And all the gold of the contribution that they presented to the LORD, from the commanders of thousands and the commanders of hundreds, was 16,750 shekels.[56] 53(The men in the army had each taken plunder for himself.) 54And Moses and Eleazar the priest received the gold from the commanders of thousands and of hundreds, and brought it into the tent of meeting, as a memorial for the people of Israel before the LORD.
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-Reuben and Gad Settle in Gilead
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-32:1 Now the people of Reuben and the people of Gad had a very great number of livestock. And they saw the land of Jazer and the land of Gilead, and behold, the place was a place for livestock. 2So the people of Gad and the people of Reuben came and said to Moses and to Eleazar the priest and to the chiefs of the congregation, 3“Ataroth, Dibon, Jazer, Nimrah, Heshbon, Elealeh, Sebam, Nebo, and Beon, 4the land that the LORD struck down before the congregation of Israel, is a land for livestock, and your servants have livestock.” 5And they said, “If we have found favor in your sight, let this land be given to your servants for a possession. Do not take us across the Jordan.”
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-6But Moses said to the people of Gad and to the people of Reuben, “Shall your brothers go to the war while you sit here? 7Why will you discourage the heart of the people of Israel from going over into the land that the LORD has given them? 8Your fathers did this, when I sent them from Kadesh-barnea to see the land. 9For when they went up to the Valley of Eshcol and saw the land, they discouraged the heart of the people of Israel from going into the land that the LORD had given them. 10And the LORD's anger was kindled on that day, and he swore, saying, 11‘Surely none of the men who came up out of Egypt, from twenty years old and upward, shall see the land that I swore to give to Abraham, to Isaac, and to Jacob, because they have not wholly followed me, 12none except Caleb the son of Jephunneh the Kenizzite and Joshua the son of Nun, for they have wholly followed the LORD.’ 13And the LORD's anger was kindled against Israel, and he made them wander in the wilderness forty years, until all the generation that had done evil in the sight of the LORD was gone. 14And behold, you have risen in your fathers' place, a brood of sinful men, to increase still more the fierce anger of the LORD against Israel! 15For if you turn away from following him, he will again abandon them in the wilderness, and you will destroy all this people.”
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-16Then they came near to him and said, “We will build sheepfolds here for our livestock, and cities for our little ones, 17but we will take up arms, ready to go before the people of Israel, until we have brought them to their place. And our little ones shall live in the fortified cities because of the inhabitants of the land. 18We will not return to our homes until each of the people of Israel has gained his inheritance. 19For we will not inherit with them on the other side of the Jordan and beyond, because our inheritance has come to us on this side of the Jordan to the east.” 20So Moses said to them, “If you will do this, if you will take up arms to go before the LORD for the war, 21and every armed man of you will pass over the Jordan before the LORD, until he has driven out his enemies from before him 22and the land is subdued before the LORD; then after that you shall return and be free of obligation to the LORD and to Israel, and this land shall be your possession before the LORD. 23But if you will not do so, behold, you have sinned against the LORD, and be sure your sin will find you out. 24Build cities for your little ones and folds for your sheep, and do what you have promised.” 25And the people of Gad and the people of Reuben said to Moses, “Your servants will do as my lord commands. 26Our little ones, our wives, our livestock, and all our cattle shall remain there in the cities of Gilead, 27but your servants will pass over, every man who is armed for war, before the LORD to battle, as my lord orders.”
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-28So Moses gave command concerning them to Eleazar the priest and to Joshua the son of Nun and to the heads of the fathers' houses of the tribes of the people of Israel. 29And Moses said to them, “If the people of Gad and the people of Reuben, every man who is armed to battle before the LORD, will pass with you over the Jordan and the land shall be subdued before you, then you shall give them the land of Gilead for a possession. 30However, if they will not pass over with you armed, they shall have possessions among you in the land of Canaan.” 31And the people of Gad and the people of Reuben answered, “What the LORD has said to your servants, we will do. 32We will pass over armed before the LORD into the land of Canaan, and the possession of our inheritance shall remain with us beyond the Jordan.”
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-33And Moses gave to them, to the people of Gad and to the people of Reuben and to the half-tribe of Manasseh the son of Joseph, the kingdom of Sihon king of the Amorites and the kingdom of Og king of Bashan, the land and its cities with their territories, the cities of the land throughout the country. 34And the people of Gad built Dibon, Ataroth, Aroer, 35Atroth-shophan, Jazer, Jogbehah, 36Beth-nimrah and Beth-haran, fortified cities, and folds for sheep. 37And the people of Reuben built Heshbon, Elealeh, Kiriathaim, 38Nebo, and Baal-meon (their names were changed), and Sibmah. And they gave other names to the cities that they built. 39And the sons of Machir the son of Manasseh went to Gilead and captured it, and dispossessed the Amorites who were in it. 40And Moses gave Gilead to Machir the son of Manasseh, and he settled in it. 41And Jair the son of Manasseh went and captured their villages, and called them Havvoth-jair.[57] 42And Nobah went and captured Kenath and its villages, and called it Nobah, after his own name.
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-Recounting Israel's Journey
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-33:1 These are the stages of the people of Israel, when they went out of the land of Egypt by their companies under the leadership of Moses and Aaron. 2Moses wrote down their starting places, stage by stage, by command of the LORD, and these are their stages according to their starting places. 3They set out from Rameses in the first month, on the fifteenth day of the first month. On the day after the Passover, the people of Israel went out triumphantly in the sight of all the Egyptians, 4while the Egyptians were burying all their firstborn, whom the LORD had struck down among them. On their gods also the LORD executed judgments.
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-5So the people of Israel set out from Rameses and camped at Succoth. 6And they set out from Succoth and camped at Etham, which is on the edge of the wilderness. 7And they set out from Etham and turned back to Pi-hahiroth, which is east of Baal-zephon, and they camped before Migdol. 8And they set out from before Hahiroth[58] and passed through the midst of the sea into the wilderness, and they went a three days' journey in the wilderness of Etham and camped at Marah. 9And they set out from Marah and came to Elim; at Elim there were twelve springs of water and seventy palm trees, and they camped there. 10And they set out from Elim and camped by the Red Sea. 11And they set out from the Red Sea and camped in the wilderness of Sin. 12And they set out from the wilderness of Sin and camped at Dophkah. 13And they set out from Dophkah and camped at Alush. 14And they set out from Alush and camped at Rephidim, where there was no water for the people to drink. 15And they set out from Rephidim and camped in the wilderness of Sinai. 16And they set out from the wilderness of Sinai and camped at Kibroth-hattaavah. 17And they set out from Kibroth-hattaavah and camped at Hazeroth. 18And they set out from Hazeroth and camped at Rithmah. 19And they set out from Rithmah and camped at Rimmon-perez. 20And they set out from Rimmon-perez and camped at Libnah. 21And they set out from Libnah and camped at Rissah. 22And they set out from Rissah and camped at Kehelathah. 23And they set out from Kehelathah and camped at Mount Shepher. 24And they set out from Mount Shepher and camped at Haradah. 25And they set out from Haradah and camped at Makheloth. 26And they set out from Makheloth and camped at Tahath. 27And they set out from Tahath and camped at Terah. 28And they set out from Terah and camped at Mithkah. 29And they set out from Mithkah and camped at Hashmonah. 30And they set out from Hashmonah and camped at Moseroth. 31And they set out from Moseroth and camped at Bene-jaakan. 32And they set out from Bene-jaakan and camped at Hor-haggidgad. 33And they set out from Hor-haggidgad and camped at Jotbathah. 34And they set out from Jotbathah and camped at Abronah. 35And they set out from Abronah and camped at Ezion-geber. 36And they set out from Ezion-geber and camped in the wilderness of Zin (that is, Kadesh). 37And they set out from Kadesh and camped at Mount Hor, on the edge of the land of Edom.
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-38And Aaron the priest went up Mount Hor at the command of the LORD and died there, in the fortieth year after the people of Israel had come out of the land of Egypt, on the first day of the fifth month. 39And Aaron was 123 years old when he died on Mount Hor.
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-40And the Canaanite, the king of Arad, who lived in the Negeb in the land of Canaan, heard of the coming of the people of Israel.
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-41And they set out from Mount Hor and camped at Zalmonah. 42And they set out from Zalmonah and camped at Punon. 43And they set out from Punon and camped at Oboth. 44And they set out from Oboth and camped at Iye-abarim, in the territory of Moab. 45And they set out from Iyim and camped at Dibon-gad. 46And they set out from Dibon-gad and camped at Almon-diblathaim. 47And they set out from Almon-diblathaim and camped in the mountains of Abarim, before Nebo. 48And they set out from the mountains of Abarim and camped in the plains of Moab by the Jordan at Jericho; 49they camped by the Jordan from Beth-jeshimoth as far as Abel-shittim in the plains of Moab.
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-Drive Out the Inhabitants
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-50And the LORD spoke to Moses in the plains of Moab by the Jordan at Jericho, saying, 51“Speak to the people of Israel and say to them, When you pass over the Jordan into the land of Canaan, 52then you shall drive out all the inhabitants of the land from before you and destroy all their figured stones and destroy all their metal images and demolish all their high places. 53And you shall take possession of the land and settle in it, for I have given the land to you to possess it. 54You shall inherit the land by lot according to your clans. To a large tribe you shall give a large inheritance, and to a small tribe you shall give a small inheritance. Wherever the lot falls for anyone, that shall be his. According to the tribes of your fathers you shall inherit. 55But if you do not drive out the inhabitants of the land from before you, then those of them whom you let remain shall be as barbs in your eyes and thorns in your sides, and they shall trouble you in the land where you dwell. 56And I will do to you as I thought to do to them.”
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-Boundaries of the Land
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-34:1 The LORD spoke to Moses, saying, 2“Command the people of Israel, and say to them, When you enter the land of Canaan (this is the land that shall fall to you for an inheritance, the land of Canaan as defined by its borders), 3your south side shall be from the wilderness of Zin alongside Edom, and your southern border shall run from the end of the Salt Sea on the east. 4And your border shall turn south of the ascent of Akrabbim, and cross to Zin, and its limit shall be south of Kadesh-barnea. Then it shall go on to Hazar-addar, and pass along to Azmon. 5And the border shall turn from Azmon to the Brook of Egypt, and its limit shall be at the sea.
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-6“For the western border, you shall have the Great Sea and its[59] coast. This shall be your western border.
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-7“This shall be your northern border: from the Great Sea you shall draw a line to Mount Hor. 8From Mount Hor you shall draw a line to Lebo-hamath, and the limit of the border shall be at Zedad. 9Then the border shall extend to Ziphron, and its limit shall be at Hazar-enan. This shall be your northern border.
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-10“You shall draw a line for your eastern border from Hazar-enan to Shepham. 11And the border shall go down from Shepham to Riblah on the east side of Ain. And the border shall go down and reach to the shoulder of the Sea of Chinnereth on the east. 12And the border shall go down to the Jordan, and its limit shall be at the Salt Sea. This shall be your land as defined by its borders all around.”
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-13Moses commanded the people of Israel, saying, “This is the land that you shall inherit by lot, which the LORD has commanded to give to the nine tribes and to the half-tribe. 14For the tribe of the people of Reuben by fathers' houses and the tribe of the people of Gad by their fathers' houses have received their inheritance, and also the half-tribe of Manasseh. 15The two tribes and the half-tribe have received their inheritance beyond the Jordan east of Jericho, toward the sunrise.”
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-List of Tribal Chiefs
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-16The LORD spoke to Moses, saying, 17“These are the names of the men who shall divide the land to you for inheritance: Eleazar the priest and Joshua the son of Nun. 18You shall take one chief from every tribe to divide the land for inheritance. 19These are the names of the men: Of the tribe of Judah, Caleb the son of Jephunneh. 20Of the tribe of the people of Simeon, Shemuel the son of Ammihud. 21Of the tribe of Benjamin, Elidad the son of Chislon. 22Of the tribe of the people of Dan a chief, Bukki the son of Jogli. 23Of the people of Joseph: of the tribe of the people of Manasseh a chief, Hanniel the son of Ephod. 24And of the tribe of the people of Ephraim a chief, Kemuel the son of Shiphtan. 25Of the tribe of the people of Zebulun a chief, Elizaphan the son of Parnach. 26Of the tribe of the people of Issachar a chief, Paltiel the son of Azzan. 27And of the tribe of the people of Asher a chief, Ahihud the son of Shelomi. 28Of the tribe of the people of Naphtali a chief, Pedahel the son of Ammihud. 29These are the men whom the LORD commanded to divide the inheritance for the people of Israel in the land of Canaan.”
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-Cities for the Levites
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-35:1 The LORD spoke to Moses in the plains of Moab by the Jordan at Jericho, saying, 2“Command the people of Israel to give to the Levites some of the inheritance of their possession as cities for them to dwell in. And you shall give to the Levites pasturelands around the cities. 3The cities shall be theirs to dwell in, and their pasturelands shall be for their cattle and for their livestock and for all their beasts. 4The pasturelands of the cities, which you shall give to the Levites, shall reach from the wall of the city outward a thousand cubits[60] all around. 5And you shall measure, outside the city, on the east side two thousand cubits, and on the south side two thousand cubits, and on the west side two thousand cubits, and on the north side two thousand cubits, the city being in the middle. This shall belong to them as pastureland for their cities.
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-6“The cities that you give to the Levites shall be the six cities of refuge, where you shall permit the manslayer to flee, and in addition to them you shall give forty-two cities. 7All the cities that you give to the Levites shall be forty-eight, with their pasturelands. 8And as for the cities that you shall give from the possession of the people of Israel, from the larger tribes you shall take many, and from the smaller tribes you shall take few; each, in proportion to the inheritance that it inherits, shall give of its cities to the Levites.”
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-Cities of Refuge
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-9And the LORD spoke to Moses, saying, 10“Speak to the people of Israel and say to them, When you cross the Jordan into the land of Canaan, 11then you shall select cities to be cities of refuge for you, that the manslayer who kills any person without intent may flee there. 12The cities shall be for you a refuge from the avenger, that the manslayer may not die until he stands before the congregation for judgment. 13And the cities that you give shall be your six cities of refuge. 14You shall give three cities beyond the Jordan, and three cities in the land of Canaan, to be cities of refuge. 15These six cities shall be for refuge for the people of Israel, and for the stranger and for the sojourner among them, that anyone who kills any person without intent may flee there.
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-16“But if he struck him down with an iron object, so that he died, he is a murderer. The murderer shall be put to death. 17And if he struck him down with a stone tool that could cause death, and he died, he is a murderer. The murderer shall be put to death. 18Or if he struck him down with a wooden tool that could cause death, and he died, he is a murderer. The murderer shall be put to death. 19The avenger of blood shall himself put the murderer to death; when he meets him, he shall put him to death. 20And if he pushed him out of hatred or hurled something at him, lying in wait, so that he died, 21or in enmity struck him down with his hand, so that he died, then he who struck the blow shall be put to death. He is a murderer. The avenger of blood shall put the murderer to death when he meets him.
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-22“But if he pushed him suddenly without enmity, or hurled anything on him without lying in wait 23or used a stone that could cause death, and without seeing him dropped it on him, so that he died, though he was not his enemy and did not seek his harm, 24then the congregation shall judge between the manslayer and the avenger of blood, in accordance with these rules. 25And the congregation shall rescue the manslayer from the hand of the avenger of blood, and the congregation shall restore him to his city of refuge to which he had fled, and he shall live in it until the death of the high priest who was anointed with the holy oil. 26But if the manslayer shall at any time go beyond the boundaries of his city of refuge to which he fled, 27and the avenger of blood finds him outside the boundaries of his city of refuge, and the avenger of blood kills the manslayer, he shall not be guilty of blood. 28For he must remain in his city of refuge until the death of the high priest, but after the death of the high priest the manslayer may return to the land of his possession. 29And these things shall be for a statute and rule for you throughout your generations in all your dwelling places.
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-30“If anyone kills a person, the murderer shall be put to death on the evidence of witnesses. But no person shall be put to death on the testimony of one witness. 31Moreover, you shall accept no ransom for the life of a murderer, who is guilty of death, but he shall be put to death. 32And you shall accept no ransom for him who has fled to his city of refuge, that he may return to dwell in the land before the death of the high priest. 33You shall not pollute the land in which you live, for blood pollutes the land, and no atonement can be made for the land for the blood that is shed in it, except by the blood of the one who shed it. 34You shall not defile the land in which you live, in the midst of which I dwell, for I the LORD dwell in the midst of the people of Israel.”
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-Marriage of Female Heirs
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-36:1 The heads of the fathers' houses of the clan of the people of Gilead the son of Machir, son of Manasseh, from the clans of the people of Joseph, came near and spoke before Moses and before the chiefs, the heads of the fathers' houses of the people of Israel. 2They said, “The LORD commanded my lord to give the land for inheritance by lot to the people of Israel, and my lord was commanded by the LORD to give the inheritance of Zelophehad our brother to his daughters. 3But if they are married to any of the sons of the other tribes of the people of Israel, then their inheritance will be taken from the inheritance of our fathers and added to the inheritance of the tribe into which they marry. So it will be taken away from the lot of our inheritance. 4And when the jubilee of the people of Israel comes, then their inheritance will be added to the inheritance of the tribe into which they marry, and their inheritance will be taken from the inheritance of the tribe of our fathers.”
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-5And Moses commanded the people of Israel according to the word of the LORD, saying, “The tribe of the people of Joseph is right. 6This is what the LORD commands concerning the daughters of Zelophehad, ‘Let them marry whom they think best, only they shall marry within the clan of the tribe of their father. 7The inheritance of the people of Israel shall not be transferred from one tribe to another, for every one of the people of Israel shall hold on to the inheritance of the tribe of his fathers. 8And every daughter who possesses an inheritance in any tribe of the people of Israel shall be wife to one of the clan of the tribe of her father, so that every one of the people of Israel may possess the inheritance of his fathers. 9So no inheritance shall be transferred from one tribe to another, for each of the tribes of the people of Israel shall hold on to its own inheritance.’”
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-10The daughters of Zelophehad did as the LORD commanded Moses, 11for Mahlah, Tirzah, Hoglah, Milcah, and Noah, the daughters of Zelophehad, were married to sons of their father's brothers. 12They were married into the clans of the people of Manasseh the son of Joseph, and their inheritance remained in the tribe of their father's clan.
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-13These are the commandments and the rules that the LORD commanded through Moses to the people of Israel in the plains of Moab by the Jordan at Jericho.
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-Footnotes
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-[1] 3:22 Hebrew their listing was
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-[2] 3:38 Hebrew guard
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-[3] 3:47 A shekel was about 2/5 ounce or 11 grams
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-[4] 3:47 A gerah was about 1/50 ounce or 0.6 gram
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-[5] 4:6 The meaning of the Hebrew word is uncertain; compare Exodus 25:5
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-[6] 5:2 Leprosy was a term for several skin diseases; see Leviticus 13
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-[7] 5:7 Hebrew they shall confess their sin that they have committed
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-[8] 5:15 An ephah was about 3/5 bushel or 22 liters
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-[9] 6:2 Nazirite means one separated, or one consecrated
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-[10] 6:4 Or Naziriteship
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-[11] 6:26 Or face
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-[12] 7:13 A shekel was about 2/5 ounce or 11 grams
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-[13] 8:24 Hebrew he; also verses 25, 26
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-[14] 8:26 Hebrew He ministers
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-[15] 9:16 Septuagint, Syriac, Vulgate; Hebrew lacks by day
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-[16] 11:3 Taberah means burning
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-[17] 11:31 A cubit was about 18 inches or 45 centimeters
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-[18] 11:32 A homer was about 6 bushels or 220 liters
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-[19] 11:34 Kibroth-hattaavah means graves of craving
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-[20] 12:10 Leprosy was a term for several skin diseases; see Leviticus 13
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-[21] 12:11 Hebrew do not lay sin upon us
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-[22] 13:24 Eshcol means cluster
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-[23] 15:3 Or an offering by fire; so throughout Numbers
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-[24] 15:4 An ephah was about 3/5 bushel or 22 liters
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-[25] 15:4 A hin was about 4 quarts or 3.5 liters
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-[26] 15:22 Or by mistake; also verses 24, 27, 28, 29
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-[27] 15:39 Hebrew to spy out
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-[28] 16:5 Septuagint The LORD knows those who are his
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-[29] 16:36 Ch 17:1 in Hebrew
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-[30] 17:1 Ch 17:16 in Hebrew
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-[31] 18:7 Hebrew service of gift
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-[32] 18:16 A shekel was about 2/5 ounce or 11 grams
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-[33] 19:17 Hebrew living
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-[34] 20:13 Meribah means quarreling
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-[35] 21:2 That is, set apart (devote) as an offering to the Lord (for destruction); also verse 3
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-[36] 21:3 Hormah means destruction
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-[37] 21:9 Or copper
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-[38] 21:16 Beer means well
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-[39] 21:20 Or Jeshimon
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-[40] 21:28 Septuagint; Hebrew the lords of
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-[41] 21:30 Compare Samaritan and Septuagint; Hebrew and we laid waste as far as Nophah, which is as far as Medeba
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-[42] 22:5 Or his kindred
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-[43] 22:32 Or reckless
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-[44] 23:10 Or dust clouds
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-[45] 23:28 Or Jeshimon
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-[46] 24:3 Or closed, or perfect; also verse 15
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-[47] 24:6 Or valleys
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-[48] 24:17 Hebrew corners [of the head]
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-[49] 25:4 Or impale
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-[50] 26:4 Take a census of the people is implied (compare verse 2)
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-[51] 28:5 An ephah was about 3/5 bushel or 22 liters
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-[52] 28:5 A hin was about 4 quarts or 3.5 liters
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-[53] 29:3 An ephah was about 3/5 bushel or 22 liters
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-[54] 29:40 Ch 30:1 in Hebrew
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-[55] 30:13 Or may allow to stand
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-[56] 31:52 A shekel was about 2/5 ounce or 11 grams
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-[57] 32:41 Havvoth-jair means the villages of Jair
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-[58] 33:8 Some manuscripts and versions Pi-hahiroth
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-[59] 34:6 Syriac; Hebrew lacks its
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-[60] 35:4 A cubit was about 18 inches or 45 centimeters
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-DEUTERONOMY
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-Chapter 1
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-Chapter 2
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-Chapter 3
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-Chapter 4
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-Chapter 5
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-Chapter 6
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-Chapter 7
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-Chapter 8
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-Chapter 9
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-Chapter 10
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-Chapter 11
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-Chapter 12
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-Chapter 13
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-Chapter 14
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-Chapter 15
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-Chapter 16
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-Chapter 17
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-Chapter 18
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-Chapter 19
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-Chapter 20
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-Chapter 21
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-Chapter 22
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-Chapter 23
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-Chapter 24
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-Chapter 25
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-Chapter 26
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-Chapter 27
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-Chapter 28
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-Chapter 29
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-Chapter 30
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-Chapter 31
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-Chapter 32
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-Chapter 33
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-Chapter 34
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-The Command to Leave Horeb
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-1:1 These are the words that Moses spoke to all Israel beyond the Jordan in the wilderness, in the Arabah opposite Suph, between Paran and Tophel, Laban, Hazeroth, and Dizahab. 2It is eleven days' journey from Horeb by the way of Mount Seir to Kadesh-barnea. 3In the fortieth year, on the first day of the eleventh month, Moses spoke to the people of Israel according to all that the LORD had given him in commandment to them, 4after he had defeated Sihon the king of the Amorites, who lived in Heshbon, and Og the king of Bashan, who lived in Ashtaroth and in Edrei. 5Beyond the Jordan, in the land of Moab, Moses undertook to explain this law, saying, 6“The LORD our God said to us in Horeb, ‘You have stayed long enough at this mountain. 7Turn and take your journey, and go to the hill country of the Amorites and to all their neighbors in the Arabah, in the hill country and in the lowland and in the Negeb and by the seacoast, the land of the Canaanites, and Lebanon, as far as the great river, the river Euphrates. 8See, I have set the land before you. Go in and take possession of the land that the LORD swore to your fathers, to Abraham, to Isaac, and to Jacob, to give to them and to their offspring after them.’
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-Leaders Appointed
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-9“At that time I said to you, ‘I am not able to bear you by myself. 10The LORD your God has multiplied you, and behold, you are today as numerous as the stars of heaven. 11May the LORD, the God of your fathers, make you a thousand times as many as you are and bless you, as he has promised you! 12How can I bear by myself the weight and burden of you and your strife? 13Choose for your tribes wise, understanding, and experienced men, and I will appoint them as your heads.’ 14And you answered me, ‘The thing that you have spoken is good for us to do.’ 15So I took the heads of your tribes, wise and experienced men, and set them as heads over you, commanders of thousands, commanders of hundreds, commanders of fifties, commanders of tens, and officers, throughout your tribes. 16And I charged your judges at that time, ‘Hear the cases between your brothers, and judge righteously between a man and his brother or the alien who is with him. 17You shall not be partial in judgment. You shall hear the small and the great alike. You shall not be intimidated by anyone, for the judgment is God's. And the case that is too hard for you, you shall bring to me, and I will hear it.’ 18And I commanded you at that time all the things that you should do.
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-Israel's Refusal to Enter the Land
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-19“Then we set out from Horeb and went through all that great and terrifying wilderness that you saw, on the way to the hill country of the Amorites, as the LORD our God commanded us. And we came to Kadesh-barnea. 20And I said to you, ‘You have come to the hill country of the Amorites, which the LORD our God is giving us. 21See, the LORD your God has set the land before you. Go up, take possession, as the LORD, the God of your fathers, has told you. Do not fear or be dismayed.’ 22Then all of you came near me and said, ‘Let us send men before us, that they may explore the land for us and bring us word again of the way by which we must go up and the cities into which we shall come.’ 23The thing seemed good to me, and I took twelve men from you, one man from each tribe. 24And they turned and went up into the hill country, and came to the Valley of Eshcol and spied it out. 25And they took in their hands some of the fruit of the land and brought it down to us, and brought us word again and said, ‘It is a good land that the LORD our God is giving us.’
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-26“Yet you would not go up, but rebelled against the command of the LORD your God. 27And you murmured in your tents and said, ‘Because the LORD hated us he has brought us out of the land of Egypt, to give us into the hand of the Amorites, to destroy us. 28Where are we going up? Our brothers have made our hearts melt, saying, “The people are greater and taller than we. The cities are great and fortified up to heaven. And besides, we have seen the sons of the Anakim there.”’ 29Then I said to you, ‘Do not be in dread or afraid of them. 30The LORD your God who goes before you will himself fight for you, just as he did for you in Egypt before your eyes, 31and in the wilderness, where you have seen how the LORD your God carried you, as a man carries his son, all the way that you went until you came to this place.’ 32Yet in spite of this word you did not believe the LORD your God, 33who went before you in the way to seek you out a place to pitch your tents, in fire by night and in the cloud by day, to show you by what way you should go.
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-The Penalty for Israel's Rebellion
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-34“And the LORD heard your words and was angered, and he swore, 35‘Not one of these men of this evil generation shall see the good land that I swore to give to your fathers, 36except Caleb the son of Jephunneh. He shall see it, and to him and to his children I will give the land on which he has trodden, because he has wholly followed the LORD!’ 37Even with me the LORD was angry on your account and said, ‘You also shall not go in there. 38Joshua the son of Nun, who stands before you, he shall enter. Encourage him, for he shall cause Israel to inherit it. 39And as for your little ones, who you said would become a prey, and your children, who today have no knowledge of good or evil, they shall go in there. And to them I will give it, and they shall possess it. 40But as for you, turn, and journey into the wilderness in the direction of the Red Sea.’
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-41“Then you answered me, ‘We have sinned against the LORD. We ourselves will go up and fight, just as the LORD our God commanded us.’ And every one of you fastened on his weapons of war and thought it easy to go up into the hill country. 42And the LORD said to me, ‘Say to them, Do not go up or fight, for I am not in your midst, lest you be defeated before your enemies.’ 43So I spoke to you, and you would not listen; but you rebelled against the command of the LORD and presumptuously went up into the hill country. 44Then the Amorites who lived in that hill country came out against you and chased you as bees do and beat you down in Seir as far as Hormah. 45And you returned and wept before the LORD, but the LORD did not listen to your voice or give ear to you. 46So you remained at Kadesh many days, the days that you remained there.
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-The Wilderness Years
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-2:1 “Then we turned and journeyed into the wilderness in the direction of the Red Sea, as the LORD told me. And for many days we traveled around Mount Seir. 2Then the LORD said to me, 3‘You have been traveling around this mountain country long enough. Turn northward 4and command the people, “You are about to pass through the territory of your brothers, the people of Esau, who live in Seir; and they will be afraid of you. So be very careful. 5Do not contend with them, for I will not give you any of their land, no, not so much as for the sole of the foot to tread on, because I have given Mount Seir to Esau as a possession. 6You shall purchase food from them for money, that you may eat, and you shall also buy water of them for money, that you may drink. 7For the LORD your God has blessed you in all the work of your hands. He knows your going through this great wilderness. These forty years the LORD your God has been with you. You have lacked nothing.”’ 8So we went on, away from our brothers, the people of Esau, who live in Seir, away from the Arabah road from Elath and Ezion-geber.
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-“And we turned and went in the direction of the wilderness of Moab. 9And the LORD said to me, ‘Do not harass Moab or contend with them in battle, for I will not give you any of their land for a possession, because I have given Ar to the people of Lot for a possession.’ 10(The Emim formerly lived there, a people great and many, and tall as the Anakim. 11Like the Anakim they are also counted as Rephaim, but the Moabites call them Emim. 12The Horites also lived in Seir formerly, but the people of Esau dispossessed them and destroyed them from before them and settled in their place, as Israel did to the land of their possession, which the LORD gave to them.) 13‘Now rise up and go over the brook Zered.’ So we went over the brook Zered. 14And the time from our leaving Kadesh-barnea until we crossed the brook Zered was thirty-eight years, until the entire generation, that is, the men of war, had perished from the camp, as the LORD had sworn to them. 15For indeed the hand of the LORD was against them, to destroy them from the camp, until they had perished.
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-16“So as soon as all the men of war had perished and were dead from among the people, 17the LORD said to me, 18‘Today you are to cross the border of Moab at Ar. 19And when you approach the territory of the people of Ammon, do not harass them or contend with them, for I will not give you any of the land of the people of Ammon as a possession, because I have given it to the sons of Lot for a possession.’ 20(It is also counted as a land of Rephaim. Rephaim formerly lived there—but the Ammonites call them Zamzummim— 21a people great and many, and tall as the Anakim; but the LORD destroyed them before the Ammonites,[1] and they dispossessed them and settled in their place, 22as he did for the people of Esau, who live in Seir, when he destroyed the Horites before them and they dispossessed them and settled in their place even to this day. 23As for the Avvim, who lived in villages as far as Gaza, the Caphtorim, who came from Caphtor, destroyed them and settled in their place.) 24‘Rise up, set out on your journey and go over the Valley of the Arnon. Behold, I have given into your hand Sihon the Amorite, king of Heshbon, and his land. Begin to take possession, and contend with him in battle. 25This day I will begin to put the dread and fear of you on the peoples who are under the whole heaven, who shall hear the report of you and shall tremble and be in anguish because of you.’
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-The Defeat of King Sihon
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-26“So I sent messengers from the wilderness of Kedemoth to Sihon the king of Heshbon, with words of peace, saying, 27‘Let me pass through your land. I will go only by the road; I will turn aside neither to the right nor to the left. 28You shall sell me food for money, that I may eat, and give me water for money, that I may drink. Only let me pass through on foot, 29as the sons of Esau who live in Seir and the Moabites who live in Ar did for me, until I go over the Jordan into the land that the LORD our God is giving to us.’ 30But Sihon the king of Heshbon would not let us pass by him, for the LORD your God hardened his spirit and made his heart obstinate, that he might give him into your hand, as he is this day. 31And the LORD said to me, ‘Behold, I have begun to give Sihon and his land over to you. Begin to take possession, that you may occupy his land.’ 32Then Sihon came out against us, he and all his people, to battle at Jahaz. 33And the LORD our God gave him over to us, and we defeated him and his sons and all his people. 34And we captured all his cities at that time and devoted to destruction[2] every city, men, women, and children. We left no survivors. 35Only the livestock we took as spoil for ourselves, with the plunder of the cities that we captured. 36From Aroer, which is on the edge of the Valley of the Arnon, and from the city that is in the valley, as far as Gilead, there was not a city too high for us. The LORD our God gave all into our hands. 37Only to the land of the sons of Ammon you did not draw near, that is, to all the banks of the river Jabbok and the cities of the hill country, whatever the LORD our God had forbidden us.
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-The Defeat of King Og
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-3:1 “Then we turned and went up the way to Bashan. And Og the king of Bashan came out against us, he and all his people, to battle at Edrei. 2But the LORD said to me, ‘Do not fear him, for I have given him and all his people and his land into your hand. And you shall do to him as you did to Sihon the king of the Amorites, who lived at Heshbon.’ 3So the LORD our God gave into our hand Og also, the king of Bashan, and all his people, and we struck him down until he had no survivor left. 4And we took all his cities at that time—there was not a city that we did not take from them—sixty cities, the whole region of Argob, the kingdom of Og in Bashan. 5All these were cities fortified with high walls, gates, and bars, besides very many unwalled villages. 6And we devoted them to destruction,[3] as we did to Sihon the king of Heshbon, devoting to destruction every city, men, women, and children. 7But all the livestock and the spoil of the cities we took as our plunder. 8So we took the land at that time out of the hand of the two kings of the Amorites who were beyond the Jordan, from the Valley of the Arnon to Mount Hermon 9(the Sidonians call Hermon Sirion, while the Amorites call it Senir), 10all the cities of the tableland and all Gilead and all Bashan, as far as Salecah and Edrei, cities of the kingdom of Og in Bashan. 11(For only Og the king of Bashan was left of the remnant of the Rephaim. Behold, his bed was a bed of iron. Is it not in Rabbah of the Ammonites? Nine cubits[4] was its length, and four cubits its breadth, according to the common cubit.[5])
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-12“When we took possession of this land at that time, I gave to the Reubenites and the Gadites the territory beginning at Aroer, which is on the edge of the Valley of the Arnon, and half the hill country of Gilead with its cities. 13The rest of Gilead, and all Bashan, the kingdom of Og, that is, all the region of Argob, I gave to the half-tribe of Manasseh. (All that portion of Bashan is called the land of Rephaim. 14Jair the Manassite took all the region of Argob, that is, Bashan, as far as the border of the Geshurites and the Maacathites, and called the villages after his own name, Havvoth-jair, as it is to this day.) 15To Machir I gave Gilead, 16and to the Reubenites and the Gadites I gave the territory from Gilead as far as the Valley of the Arnon, with the middle of the valley as a border, as far over as the river Jabbok, the border of the Ammonites; 17the Arabah also, with the Jordan as the border, from Chinnereth as far as the Sea of the Arabah, the Salt Sea, under the slopes of Pisgah on the east.
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-18“And I commanded you at that time, saying, ‘The LORD your God has given you this land to possess. All your men of valor shall cross over armed before your brothers, the people of Israel. 19Only your wives, your little ones, and your livestock (I know that you have much livestock) shall remain in the cities that I have given you, 20until the LORD gives rest to your brothers, as to you, and they also occupy the land that the LORD your God gives them beyond the Jordan. Then each of you may return to his possession which I have given you.’ 21And I commanded Joshua at that time, ‘Your eyes have seen all that the LORD your God has done to these two kings. So will the LORD do to all the kingdoms into which you are crossing. 22You shall not fear them, for it is the LORD your God who fights for you.’
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-Moses Forbidden to Enter the Land
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-23“And I pleaded with the LORD at that time, saying, 24‘O Lord GOD, you have only begun to show your servant your greatness and your mighty hand. For what god is there in heaven or on earth who can do such works and mighty acts as yours? 25Please let me go over and see the good land beyond the Jordan, that good hill country and Lebanon.’ 26But the LORD was angry with me because of you and would not listen to me. And the LORD said to me, ‘Enough from you; do not speak to me of this matter again. 27Go up to the top of Pisgah and lift up your eyes westward and northward and southward and eastward, and look at it with your eyes, for you shall not go over this Jordan. 28But charge Joshua, and encourage and strengthen him, for he shall go over at the head of this people, and he shall put them in possession of the land that you shall see.’ 29So we remained in the valley opposite Beth-peor.
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-Moses Commands Obedience
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-4:1 “And now, O Israel, listen to the statutes and the rules[6] that I am teaching you, and do them, that you may live, and go in and take possession of the land that the LORD, the God of your fathers, is giving you. 2You shall not add to the word that I command you, nor take from it, that you may keep the commandments of the LORD your God that I command you. 3Your eyes have seen what the LORD did at Baal-peor, for the LORD your God destroyed from among you all the men who followed the Baal of Peor. 4But you who held fast to the LORD your God are all alive today. 5See, I have taught you statutes and rules, as the LORD my God commanded me, that you should do them in the land that you are entering to take possession of it. 6Keep them and do them, for that will be your wisdom and your understanding in the sight of the peoples, who, when they hear all these statutes, will say, ‘Surely this great nation is a wise and understanding people.’ 7For what great nation is there that has a god so near to it as the LORD our God is to us, whenever we call upon him? 8And what great nation is there, that has statutes and rules so righteous as all this law that I set before you today?
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-9“Only take care, and keep your soul diligently, lest you forget the things that your eyes have seen, and lest they depart from your heart all the days of your life. Make them known to your children and your children's children— 10how on the day that you stood before the LORD your God at Horeb, the LORD said to me, ‘Gather the people to me, that I may let them hear my words, so that they may learn to fear me all the days that they live on the earth, and that they may teach their children so.’ 11And you came near and stood at the foot of the mountain, while the mountain burned with fire to the heart of heaven, wrapped in darkness, cloud, and gloom. 12Then the LORD spoke to you out of the midst of the fire. You heard the sound of words, but saw no form; there was only a voice. 13And he declared to you his covenant, which he commanded you to perform, that is, the Ten Commandments,[7] and he wrote them on two tablets of stone. 14And the LORD commanded me at that time to teach you statutes and rules, that you might do them in the land that you are going over to possess.
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-Idolatry Forbidden
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-15“Therefore watch yourselves very carefully. Since you saw no form on the day that the LORD spoke to you at Horeb out of the midst of the fire, 16beware lest you act corruptly by making a carved image for yourselves, in the form of any figure, the likeness of male or female, 17the likeness of any animal that is on the earth, the likeness of any winged bird that flies in the air, 18the likeness of anything that creeps on the ground, the likeness of any fish that is in the water under the earth. 19And beware lest you raise your eyes to heaven, and when you see the sun and the moon and the stars, all the host of heaven, you be drawn away and bow down to them and serve them, things that the LORD your God has allotted to all the peoples under the whole heaven. 20But the LORD has taken you and brought you out of the iron furnace, out of Egypt, to be a people of his own inheritance, as you are this day. 21Furthermore, the LORD was angry with me because of you, and he swore that I should not cross the Jordan, and that I should not enter the good land that the LORD your God is giving you for an inheritance. 22For I must die in this land; I must not go over the Jordan. But you shall go over and take possession of that good land. 23Take care, lest you forget the covenant of the LORD your God, which he made with you, and make a carved image, the form of anything that the LORD your God has forbidden you. 24For the LORD your God is a consuming fire, a jealous God.
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-25“When you father children and children's children, and have grown old in the land, if you act corruptly by making a carved image in the form of anything, and by doing what is evil in the sight of the LORD your God, so as to provoke him to anger, 26I call heaven and earth to witness against you today, that you will soon utterly perish from the land that you are going over the Jordan to possess. You will not live long in it, but will be utterly destroyed. 27And the LORD will scatter you among the peoples, and you will be left few in number among the nations where the LORD will drive you. 28And there you will serve gods of wood and stone, the work of human hands, that neither see, nor hear, nor eat, nor smell. 29But from there you will seek the LORD your God and you will find him, if you search after him with all your heart and with all your soul. 30When you are in tribulation, and all these things come upon you in the latter days, you will return to the LORD your God and obey his voice. 31For the LORD your God is a merciful God. He will not leave you or destroy you or forget the covenant with your fathers that he swore to them.
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-The LORD Alone Is God
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-32“For ask now of the days that are past, which were before you, since the day that God created man on the earth, and ask from one end of heaven to the other, whether such a great thing as this has ever happened or was ever heard of. 33Did any people ever hear the voice of a god speaking out of the midst of the fire, as you have heard, and still live? 34Or has any god ever attempted to go and take a nation for himself from the midst of another nation, by trials, by signs, by wonders, and by war, by a mighty hand and an outstretched arm, and by great deeds of terror, all of which the LORD your God did for you in Egypt before your eyes? 35To you it was shown, that you might know that the LORD is God; there is no other besides him. 36Out of heaven he let you hear his voice, that he might discipline you. And on earth he let you see his great fire, and you heard his words out of the midst of the fire. 37And because he loved your fathers and chose their offspring after them[8] and brought you out of Egypt with his own presence, by his great power, 38driving out before you nations greater and mightier than yourselves, to bring you in, to give you their land for an inheritance, as it is this day, 39know therefore today, and lay it to your heart, that the LORD is God in heaven above and on the earth beneath; there is no other. 40Therefore you shall keep his statutes and his commandments, which I command you today, that it may go well with you and with your children after you, and that you may prolong your days in the land that the LORD your God is giving you for all time.”
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-Cities of Refuge
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-41Then Moses set apart three cities in the east beyond the Jordan, 42that the manslayer might flee there, anyone who kills his neighbor unintentionally, without being at enmity with him in time past; he may flee to one of these cities and save his life: 43Bezer in the wilderness on the tableland for the Reubenites, Ramoth in Gilead for the Gadites, and Golan in Bashan for the Manassites.
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-Introduction to the Law
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-44This is the law that Moses set before the people of Israel. 45These are the testimonies, the statutes, and the rules, which Moses spoke to the people of Israel when they came out of Egypt, 46beyond the Jordan in the valley opposite Beth-peor, in the land of Sihon the king of the Amorites, who lived at Heshbon, whom Moses and the people of Israel defeated when they came out of Egypt. 47And they took possession of his land and the land of Og, the king of Bashan, the two kings of the Amorites, who lived to the east beyond the Jordan; 48from Aroer, which is on the edge of the Valley of the Arnon, as far as Mount Sirion[9] (that is, Hermon), 49together with all the Arabah on the east side of the Jordan as far as the Sea of the Arabah, under the slopes of Pisgah.
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-The Ten Commandments
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-5:1 And Moses summoned all Israel and said to them, “Hear, O Israel, the statutes and the rules that I speak in your hearing today, and you shall learn them and be careful to do them. 2The LORD our God made a covenant with us in Horeb. 3Not with our fathers did the LORD make this covenant, but with us, who are all of us here alive today. 4The LORD spoke with you face to face at the mountain, out of the midst of the fire, 5while I stood between the LORD and you at that time, to declare to you the word of the LORD. For you were afraid because of the fire, and you did not go up into the mountain. He said:
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-6“‘I am the LORD your God, who brought you out of the land of Egypt, out of the house of slavery.
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-7“‘You shall have no other gods before[10] me.
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-8“‘You shall not make for yourself a carved image, or any likeness of anything that is in heaven above, or that is on the earth beneath, or that is in the water under the earth. 9You shall not bow down to them or serve them; for I the LORD your God am a jealous God, visiting the iniquity of the fathers on the children to the third and fourth generation of those who hate me, 10but showing steadfast love to thousands[11] of those who love me and keep my commandments.
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-11“‘You shall not take the name of the LORD your God in vain, for the LORD will not hold him guiltless who takes his name in vain.
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-12“‘Observe the Sabbath day, to keep it holy, as the LORD your God commanded you. 13Six days you shall labor and do all your work, 14but the seventh day is a Sabbath to the LORD your God. On it you shall not do any work, you or your son or your daughter or your male servant or your female servant, or your ox or your donkey or any of your livestock, or the sojourner who is within your gates, that your male servant and your female servant may rest as well as you. 15You shall remember that you were a slave[12] in the land of Egypt, and the LORD your God brought you out from there with a mighty hand and an outstretched arm. Therefore the LORD your God commanded you to keep the Sabbath day.
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-16“‘Honor your father and your mother, as the LORD your God commanded you, that your days may be long, and that it may go well with you in the land that the LORD your God is giving you.
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-17“‘You shall not murder.[13]
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-18“‘And you shall not commit adultery.
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-19“‘And you shall not steal.
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-20“‘And you shall not bear false witness against your neighbor.
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-21“‘And you shall not covet your neighbor's wife. And you shall not desire your neighbor's house, his field, or his male servant, or his female servant, his ox, or his donkey, or anything that is your neighbor's.’
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-22“These words the LORD spoke to all your assembly at the mountain out of the midst of the fire, the cloud, and the thick darkness, with a loud voice; and he added no more. And he wrote them on two tablets of stone and gave them to me. 23And as soon as you heard the voice out of the midst of the darkness, while the mountain was burning with fire, you came near to me, all the heads of your tribes, and your elders. 24And you said, ‘Behold, the LORD our God has shown us his glory and greatness, and we have heard his voice out of the midst of the fire. This day we have seen God speak with man, and man still live. 25Now therefore why should we die? For this great fire will consume us. If we hear the voice of the LORD our God any more, we shall die. 26For who is there of all flesh, that has heard the voice of the living God speaking out of the midst of fire as we have, and has still lived? 27Go near and hear all that the LORD our God will say and speak to us all that the LORD our God will speak to you, and we will hear and do it.’
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-28“And the LORD heard your words, when you spoke to me. And the LORD said to me, ‘I have heard the words of this people, which they have spoken to you. They are right in all that they have spoken. 29Oh that they had such a mind as this always, to fear me and to keep all my commandments, that it might go well with them and with their descendants[14] forever! 30Go and say to them, “Return to your tents.” 31But you, stand here by me, and I will tell you the whole commandment and the statutes and the rules that you shall teach them, that they may do them in the land that I am giving them to possess.’ 32You shall be careful therefore to do as the LORD your God has commanded you. You shall not turn aside to the right hand or to the left. 33You shall walk in all the way that the LORD your God has commanded you, that you may live, and that it may go well with you, and that you may live long in the land that you shall possess.
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-The Greatest Commandment
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-6:1 “Now this is the commandment, the statutes and the rules[15] that the LORD your God commanded me to teach you, that you may do them in the land to which you are going over, to possess it, 2that you may fear the LORD your God, you and your son and your son's son, by keeping all his statutes and his commandments, which I command you, all the days of your life, and that your days may be long. 3Hear therefore, O Israel, and be careful to do them, that it may go well with you, and that you may multiply greatly, as the LORD, the God of your fathers, has promised you, in a land flowing with milk and honey.
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-4“Hear, O Israel: The LORD our God, the LORD is one.[16] 5You shall love the LORD your God with all your heart and with all your soul and with all your might. 6And these words that I command you today shall be on your heart. 7You shall teach them diligently to your children, and shall talk of them when you sit in your house, and when you walk by the way, and when you lie down, and when you rise. 8You shall bind them as a sign on your hand, and they shall be as frontlets between your eyes. 9You shall write them on the doorposts of your house and on your gates.
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-10“And when the LORD your God brings you into the land that he swore to your fathers, to Abraham, to Isaac, and to Jacob, to give you—with great and good cities that you did not build, 11and houses full of all good things that you did not fill, and cisterns that you did not dig, and vineyards and olive trees that you did not plant—and when you eat and are full, 12then take care lest you forget the LORD, who brought you out of the land of Egypt, out of the house of slavery. 13It is the LORD your God you shall fear. Him you shall serve and by his name you shall swear. 14You shall not go after other gods, the gods of the peoples who are around you— 15for the LORD your God in your midst is a jealous God—lest the anger of the LORD your God be kindled against you, and he destroy you from off the face of the earth.
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-16“You shall not put the LORD your God to the test, as you tested him at Massah. 17You shall diligently keep the commandments of the LORD your God, and his testimonies and his statutes, which he has commanded you. 18And you shall do what is right and good in the sight of the LORD, that it may go well with you, and that you may go in and take possession of the good land that the LORD swore to give to your fathers 19by thrusting out all your enemies from before you, as the LORD has promised.
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-20“When your son asks you in time to come, ‘What is the meaning of the testimonies and the statutes and the rules that the LORD our God has commanded you?’ 21then you shall say to your son, ‘We were Pharaoh's slaves in Egypt. And the LORD brought us out of Egypt with a mighty hand. 22And the LORD showed signs and wonders, great and grievous, against Egypt and against Pharaoh and all his household, before our eyes. 23And he brought us out from there, that he might bring us in and give us the land that he swore to give to our fathers. 24And the LORD commanded us to do all these statutes, to fear the LORD our God, for our good always, that he might preserve us alive, as we are this day. 25And it will be righteousness for us, if we are careful to do all this commandment before the LORD our God, as he has commanded us.’
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-A Chosen People
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-7:1 “When the LORD your God brings you into the land that you are entering to take possession of it, and clears away many nations before you, the Hittites, the Girgashites, the Amorites, the Canaanites, the Perizzites, the Hivites, and the Jebusites, seven nations more numerous and mightier than yourselves, 2and when the LORD your God gives them over to you, and you defeat them, then you must devote them to complete destruction.[17] You shall make no covenant with them and show no mercy to them. 3You shall not intermarry with them, giving your daughters to their sons or taking their daughters for your sons, 4for they would turn away your sons from following me, to serve other gods. Then the anger of the LORD would be kindled against you, and he would destroy you quickly. 5But thus shall you deal with them: you shall break down their altars and dash in pieces their pillars and chop down their Asherim and burn their carved images with fire.
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-6“For you are a people holy to the LORD your God. The LORD your God has chosen you to be a people for his treasured possession, out of all the peoples who are on the face of the earth. 7It was not because you were more in number than any other people that the LORD set his love on you and chose you, for you were the fewest of all peoples, 8but it is because the LORD loves you and is keeping the oath that he swore to your fathers, that the LORD has brought you out with a mighty hand and redeemed you from the house of slavery, from the hand of Pharaoh king of Egypt. 9Know therefore that the LORD your God is God, the faithful God who keeps covenant and steadfast love with those who love him and keep his commandments, to a thousand generations, 10and repays to their face those who hate him, by destroying them. He will not be slack with one who hates him. He will repay him to his face. 11You shall therefore be careful to do the commandment and the statutes and the rules that I command you today.
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-12“And because you listen to these rules and keep and do them, the LORD your God will keep with you the covenant and the steadfast love that he swore to your fathers. 13He will love you, bless you, and multiply you. He will also bless the fruit of your womb and the fruit of your ground, your grain and your wine and your oil, the increase of your herds and the young of your flock, in the land that he swore to your fathers to give you. 14You shall be blessed above all peoples. There shall not be male or female barren among you or among your livestock. 15And the LORD will take away from you all sickness, and none of the evil diseases of Egypt, which you knew, will he inflict on you, but he will lay them on all who hate you. 16And you shall consume all the peoples that the LORD your God will give over to you. Your eye shall not pity them, neither shall you serve their gods, for that would be a snare to you.
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-17“If you say in your heart, ‘These nations are greater than I. How can I dispossess them?’ 18you shall not be afraid of them but you shall remember what the LORD your God did to Pharaoh and to all Egypt, 19the great trials that your eyes saw, the signs, the wonders, the mighty hand, and the outstretched arm, by which the LORD your God brought you out. So will the LORD your God do to all the peoples of whom you are afraid. 20Moreover, the LORD your God will send hornets among them, until those who are left and hide themselves from you are destroyed. 21You shall not be in dread of them, for the LORD your God is in your midst, a great and awesome God. 22The LORD your God will clear away these nations before you little by little. You may not make an end of them at once,[18] lest the wild beasts grow too numerous for you. 23But the LORD your God will give them over to you and throw them into great confusion, until they are destroyed. 24And he will give their kings into your hand, and you shall make their name perish from under heaven. No one shall be able to stand against you until you have destroyed them. 25The carved images of their gods you shall burn with fire. You shall not covet the silver or the gold that is on them or take it for yourselves, lest you be ensnared by it, for it is an abomination to the LORD your God. 26And you shall not bring an abominable thing into your house and become devoted to destruction[19] like it. You shall utterly detest and abhor it, for it is devoted to destruction.
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-Remember the LORD Your God
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-8:1 “The whole commandment that I command you today you shall be careful to do, that you may live and multiply, and go in and possess the land that the LORD swore to give to your fathers. 2And you shall remember the whole way that the LORD your God has led you these forty years in the wilderness, that he might humble you, testing you to know what was in your heart, whether you would keep his commandments or not. 3And he humbled you and let you hunger and fed you with manna, which you did not know, nor did your fathers know, that he might make you know that man does not live by bread alone, but man lives by every word[20] that comes from the mouth of the LORD. 4Your clothing did not wear out on you and your foot did not swell these forty years. 5Know then in your heart that, as a man disciplines his son, the LORD your God disciplines you. 6So you shall keep the commandments of the LORD your God by walking in his ways and by fearing him. 7For the LORD your God is bringing you into a good land, a land of brooks of water, of fountains and springs, flowing out in the valleys and hills, 8a land of wheat and barley, of vines and fig trees and pomegranates, a land of olive trees and honey, 9a land in which you will eat bread without scarcity, in which you will lack nothing, a land whose stones are iron, and out of whose hills you can dig copper. 10And you shall eat and be full, and you shall bless the LORD your God for the good land he has given you.
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-11“Take care lest you forget the LORD your God by not keeping his commandments and his rules and his statutes, which I command you today, 12lest, when you have eaten and are full and have built good houses and live in them, 13and when your herds and flocks multiply and your silver and gold is multiplied and all that you have is multiplied, 14then your heart be lifted up, and you forget the LORD your God, who brought you out of the land of Egypt, out of the house of slavery, 15who led you through the great and terrifying wilderness, with its fiery serpents and scorpions and thirsty ground where there was no water, who brought you water out of the flinty rock, 16who fed you in the wilderness with manna that your fathers did not know, that he might humble you and test you, to do you good in the end. 17Beware lest you say in your heart, ‘My power and the might of my hand have gotten me this wealth.’ 18You shall remember the LORD your God, for it is he who gives you power to get wealth, that he may confirm his covenant that he swore to your fathers, as it is this day. 19And if you forget the LORD your God and go after other gods and serve them and worship them, I solemnly warn you today that you shall surely perish. 20Like the nations that the LORD makes to perish before you, so shall you perish, because you would not obey the voice of the LORD your God.
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-Not Because of Righteousness
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-9:1 “Hear, O Israel: you are to cross over the Jordan today, to go in to dispossess nations greater and mightier than yourselves, cities great and fortified up to heaven, 2a people great and tall, the sons of the Anakim, whom you know, and of whom you have heard it said, ‘Who can stand before the sons of Anak?’ 3Know therefore today that he who goes over before you as a consuming fire is the LORD your God. He will destroy them and subdue them before you. So you shall drive them out and make them perish quickly, as the LORD has promised you.
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-4“Do not say in your heart, after the LORD your God has thrust them out before you, ‘It is because of my righteousness that the LORD has brought me in to possess this land,’ whereas it is because of the wickedness of these nations that the LORD is driving them out before you. 5Not because of your righteousness or the uprightness of your heart are you going in to possess their land, but because of the wickedness of these nations the LORD your God is driving them out from before you, and that he may confirm the word that the LORD swore to your fathers, to Abraham, to Isaac, and to Jacob.
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-6“Know, therefore, that the LORD your God is not giving you this good land to possess because of your righteousness, for you are a stubborn people. 7Remember and do not forget how you provoked the LORD your God to wrath in the wilderness. From the day you came out of the land of Egypt until you came to this place, you have been rebellious against the LORD. 8Even at Horeb you provoked the LORD to wrath, and the LORD was so angry with you that he was ready to destroy you. 9When I went up the mountain to receive the tablets of stone, the tablets of the covenant that the LORD made with you, I remained on the mountain forty days and forty nights. I neither ate bread nor drank water. 10And the LORD gave me the two tablets of stone written with the finger of God, and on them were all the words that the LORD had spoken with you on the mountain out of the midst of the fire on the day of the assembly. 11And at the end of forty days and forty nights the LORD gave me the two tablets of stone, the tablets of the covenant. 12Then the LORD said to me, ‘Arise, go down quickly from here, for your people whom you have brought from Egypt have acted corruptly. They have turned aside quickly out of the way that I commanded them; they have made themselves a metal image.’
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-The Golden Calf
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-13“Furthermore, the LORD said to me, ‘I have seen this people, and behold, it is a stubborn people. 14Let me alone, that I may destroy them and blot out their name from under heaven. And I will make of you a nation mightier and greater than they.’ 15So I turned and came down from the mountain, and the mountain was burning with fire. And the two tablets of the covenant were in my two hands. 16And I looked, and behold, you had sinned against the LORD your God. You had made yourselves a golden[21] calf. You had turned aside quickly from the way that the LORD had commanded you. 17So I took hold of the two tablets and threw them out of my two hands and broke them before your eyes. 18Then I lay prostrate before the LORD as before, forty days and forty nights. I neither ate bread nor drank water, because of all the sin that you had committed, in doing what was evil in the sight of the LORD to provoke him to anger. 19For I was afraid of the anger and hot displeasure that the LORD bore against you, so that he was ready to destroy you. But the LORD listened to me that time also. 20And the LORD was so angry with Aaron that he was ready to destroy him. And I prayed for Aaron also at the same time. 21Then I took the sinful thing, the calf that you had made, and burned it with fire and crushed it, grinding it very small, until it was as fine as dust. And I threw the dust of it into the brook that ran down from the mountain.
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-22“At Taberah also, and at Massah and at Kibroth-hattaavah you provoked the LORD to wrath. 23And when the LORD sent you from Kadesh-barnea, saying, ‘Go up and take possession of the land that I have given you,’ then you rebelled against the commandment of the LORD your God and did not believe him or obey his voice. 24You have been rebellious against the LORD from the day that I knew you.
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-25“So I lay prostrate before the LORD for these forty days and forty nights, because the LORD had said he would destroy you. 26And I prayed to the LORD, ‘O Lord GOD, do not destroy your people and your heritage, whom you have redeemed through your greatness, whom you have brought out of Egypt with a mighty hand. 27Remember your servants, Abraham, Isaac, and Jacob. Do not regard the stubbornness of this people, or their wickedness or their sin, 28lest the land from which you brought us say, “Because the LORD was not able to bring them into the land that he promised them, and because he hated them, he has brought them out to put them to death in the wilderness.” 29For they are your people and your heritage, whom you brought out by your great power and by your outstretched arm.’
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-New Tablets of Stone
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-10:1 “At that time the LORD said to me, ‘Cut for yourself two tablets of stone like the first, and come up to me on the mountain and make an ark of wood. 2And I will write on the tablets the words that were on the first tablets that you broke, and you shall put them in the ark.’ 3So I made an ark of acacia wood, and cut two tablets of stone like the first, and went up the mountain with the two tablets in my hand. 4And he wrote on the tablets, in the same writing as before, the Ten Commandments[22] that the LORD had spoken to you on the mountain out of the midst of the fire on the day of the assembly. And the LORD gave them to me. 5Then I turned and came down from the mountain and put the tablets in the ark that I had made. And there they are, as the LORD commanded me.”
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-6(The people of Israel journeyed from Beeroth Bene-jaakan[23] to Moserah. There Aaron died, and there he was buried. And his son Eleazar ministered as priest in his place. 7From there they journeyed to Gudgodah, and from Gudgodah to Jotbathah, a land with brooks of water. 8At that time the LORD set apart the tribe of Levi to carry the ark of the covenant of the LORD to stand before the LORD to minister to him and to bless in his name, to this day. 9Therefore Levi has no portion or inheritance with his brothers. The LORD is his inheritance, as the LORD your God said to him.)
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-10“I myself stayed on the mountain, as at the first time, forty days and forty nights, and the LORD listened to me that time also. The LORD was unwilling to destroy you. 11And the LORD said to me, ‘Arise, go on your journey at the head of the people, so that they may go in and possess the land, which I swore to their fathers to give them.’
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-Circumcise Your Heart
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-12“And now, Israel, what does the LORD your God require of you, but to fear the LORD your God, to walk in all his ways, to love him, to serve the LORD your God with all your heart and with all your soul, 13and to keep the commandments and statutes of the LORD, which I am commanding you today for your good? 14Behold, to the LORD your God belong heaven and the heaven of heavens, the earth with all that is in it. 15Yet the LORD set his heart in love on your fathers and chose their offspring after them, you above all peoples, as you are this day. 16Circumcise therefore the foreskin of your heart, and be no longer stubborn. 17For the LORD your God is God of gods and Lord of lords, the great, the mighty, and the awesome God, who is not partial and takes no bribe. 18He executes justice for the fatherless and the widow, and loves the sojourner, giving him food and clothing. 19Love the sojourner, therefore, for you were sojourners in the land of Egypt. 20You shall fear the LORD your God. You shall serve him and hold fast to him, and by his name you shall swear. 21He is your praise. He is your God, who has done for you these great and terrifying things that your eyes have seen. 22Your fathers went down to Egypt seventy persons, and now the LORD your God has made you as numerous as the stars of heaven.
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-Love and Serve the LORD
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-11:1 “You shall therefore love the LORD your God and keep his charge, his statutes, his rules, and his commandments always. 2And consider today (since I am not speaking to your children who have not known or seen it), consider the discipline[24] of the LORD your God, his greatness, his mighty hand and his outstretched arm, 3his signs and his deeds that he did in Egypt to Pharaoh the king of Egypt and to all his land, 4and what he did to the army of Egypt, to their horses and to their chariots, how he made the water of the Red Sea flow over them as they pursued after you, and how the LORD has destroyed them to this day, 5and what he did to you in the wilderness, until you came to this place, 6and what he did to Dathan and Abiram the sons of Eliab, son of Reuben, how the earth opened its mouth and swallowed them up, with their households, their tents, and every living thing that followed them, in the midst of all Israel. 7For your eyes have seen all the great work of the LORD that he did.
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-8“You shall therefore keep the whole commandment that I command you today, that you may be strong, and go in and take possession of the land that you are going over to possess, 9and that you may live long in the land that the LORD swore to your fathers to give to them and to their offspring, a land flowing with milk and honey. 10For the land that you are entering to take possession of it is not like the land of Egypt, from which you have come, where you sowed your seed and irrigated it,[25] like a garden of vegetables. 11But the land that you are going over to possess is a land of hills and valleys, which drinks water by the rain from heaven, 12a land that the LORD your God cares for. The eyes of the LORD your God are always upon it, from the beginning of the year to the end of the year.
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-13“And if you will indeed obey my commandments that I command you today, to love the LORD your God, and to serve him with all your heart and with all your soul, 14he[26] will give the rain for your land in its season, the early rain and the later rain, that you may gather in your grain and your wine and your oil. 15And he will give grass in your fields for your livestock, and you shall eat and be full. 16Take care lest your heart be deceived, and you turn aside and serve other gods and worship them; 17then the anger of the LORD will be kindled against you, and he will shut up the heavens, so that there will be no rain, and the land will yield no fruit, and you will perish quickly off the good land that the LORD is giving you.
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-18“You shall therefore lay up these words of mine in your heart and in your soul, and you shall bind them as a sign on your hand, and they shall be as frontlets between your eyes. 19You shall teach them to your children, talking of them when you are sitting in your house, and when you are walking by the way, and when you lie down, and when you rise. 20You shall write them on the doorposts of your house and on your gates, 21that your days and the days of your children may be multiplied in the land that the LORD swore to your fathers to give them, as long as the heavens are above the earth. 22For if you will be careful to do all this commandment that I command you to do, loving the LORD your God, walking in all his ways, and holding fast to him, 23then the LORD will drive out all these nations before you, and you will dispossess nations greater and mightier than yourselves. 24Every place on which the sole of your foot treads shall be yours. Your territory shall be from the wilderness to[27] the Lebanon and from the River, the river Euphrates, to the western sea. 25No one shall be able to stand against you. The LORD your God will lay the fear of you and the dread of you on all the land that you shall tread, as he promised you.
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-26“See, I am setting before you today a blessing and a curse: 27the blessing, if you obey the commandments of the LORD your God, which I command you today, 28and the curse, if you do not obey the commandments of the LORD your God, but turn aside from the way that I am commanding you today, to go after other gods that you have not known. 29And when the LORD your God brings you into the land that you are entering to take possession of it, you shall set the blessing on Mount Gerizim and the curse on Mount Ebal. 30Are they not beyond the Jordan, west of the road, toward the going down of the sun, in the land of the Canaanites who live in the Arabah, opposite Gilgal, beside the oak[28] of Moreh? 31For you are to cross over the Jordan to go in to take possession of the land that the LORD your God is giving you. And when you possess it and live in it, 32you shall be careful to do all the statutes and the rules that I am setting before you today.
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-The LORD's Chosen Place of Worship
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-12:1 “These are the statutes and rules that you shall be careful to do in the land that the LORD, the God of your fathers, has given you to possess, all the days that you live on the earth. 2You shall surely destroy all the places where the nations whom you shall dispossess served their gods, on the high mountains and on the hills and under every green tree. 3You shall tear down their altars and dash in pieces their pillars and burn their Asherim with fire. You shall chop down the carved images of their gods and destroy their name out of that place. 4You shall not worship the LORD your God in that way. 5But you shall seek the place that the LORD your God will choose out of all your tribes to put his name and make his habitation[29] there. There you shall go, 6and there you shall bring your burnt offerings and your sacrifices, your tithes and the contribution that you present, your vow offerings, your freewill offerings, and the firstborn of your herd and of your flock. 7And there you shall eat before the LORD your God, and you shall rejoice, you and your households, in all that you undertake, in which the LORD your God has blessed you.
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-8“You shall not do according to all that we are doing here today, everyone doing whatever is right in his own eyes, 9for you have not as yet come to the rest and to the inheritance that the LORD your God is giving you. 10But when you go over the Jordan and live in the land that the LORD your God is giving you to inherit, and when he gives you rest from all your enemies around, so that you live in safety, 11then to the place that the LORD your God will choose, to make his name dwell there, there you shall bring all that I command you: your burnt offerings and your sacrifices, your tithes and the contribution that you present, and all your finest vow offerings that you vow to the LORD. 12And you shall rejoice before the LORD your God, you and your sons and your daughters, your male servants and your female servants, and the Levite that is within your towns, since he has no portion or inheritance with you. 13Take care that you do not offer your burnt offerings at any place that you see, 14but at the place that the LORD will choose in one of your tribes, there you shall offer your burnt offerings, and there you shall do all that I am commanding you.
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-15“However, you may slaughter and eat meat within any of your towns, as much as you desire, according to the blessing of the LORD your God that he has given you. The unclean and the clean may eat of it, as of the gazelle and as of the deer. 16Only you shall not eat the blood; you shall pour it out on the earth like water. 17You may not eat within your towns the tithe of your grain or of your wine or of your oil, or the firstborn of your herd or of your flock, or any of your vow offerings that you vow, or your freewill offerings or the contribution that you present, 18but you shall eat them before the LORD your God in the place that the LORD your God will choose, you and your son and your daughter, your male servant and your female servant, and the Levite who is within your towns. And you shall rejoice before the LORD your God in all that you undertake. 19Take care that you do not neglect the Levite as long as you live in your land.
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-20“When the LORD your God enlarges your territory, as he has promised you, and you say, ‘I will eat meat,’ because you crave meat, you may eat meat whenever you desire. 21If the place that the LORD your God will choose to put his name there is too far from you, then you may kill any of your herd or your flock, which the LORD has given you, as I have commanded you, and you may eat within your towns whenever you desire. 22Just as the gazelle or the deer is eaten, so you may eat of it. The unclean and the clean alike may eat of it. 23Only be sure that you do not eat the blood, for the blood is the life, and you shall not eat the life with the flesh. 24You shall not eat it; you shall pour it out on the earth like water. 25You shall not eat it, that all may go well with you and with your children after you, when you do what is right in the sight of the LORD. 26But the holy things that are due from you, and your vow offerings, you shall take, and you shall go to the place that the LORD will choose, 27and offer your burnt offerings, the flesh and the blood, on the altar of the LORD your God. The blood of your sacrifices shall be poured out on the altar of the LORD your God, but the flesh you may eat. 28Be careful to obey all these words that I command you, that it may go well with you and with your children after you forever, when you do what is good and right in the sight of the LORD your God.
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-Warning Against Idolatry
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-29“When the LORD your God cuts off before you the nations whom you go in to dispossess, and you dispossess them and dwell in their land, 30take care that you be not ensnared to follow them, after they have been destroyed before you, and that you do not inquire about their gods, saying, ‘How did these nations serve their gods?—that I also may do the same.’ 31You shall not worship the LORD your God in that way, for every abominable thing that the LORD hates they have done for their gods, for they even burn their sons and their daughters in the fire to their gods.
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-32[30] “Everything that I command you, you shall be careful to do. You shall not add to it or take from it.
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-13:1 “If a prophet or a dreamer of dreams arises among you and gives you a sign or a wonder, 2and the sign or wonder that he tells you comes to pass, and if he says, ‘Let us go after other gods,’ which you have not known, ‘and let us serve them,’ 3you shall not listen to the words of that prophet or that dreamer of dreams. For the LORD your God is testing you, to know whether you love the LORD your God with all your heart and with all your soul. 4You shall walk after the LORD your God and fear him and keep his commandments and obey his voice, and you shall serve him and hold fast to him. 5But that prophet or that dreamer of dreams shall be put to death, because he has taught rebellion against the LORD your God, who brought you out of the land of Egypt and redeemed you out of the house of slavery, to make you leave the way in which the LORD your God commanded you to walk. So you shall purge the evil[31] from your midst.
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-6“If your brother, the son of your mother, or your son or your daughter or the wife you embrace[32] or your friend who is as your own soul entices you secretly, saying, ‘Let us go and serve other gods,’ which neither you nor your fathers have known, 7some of the gods of the peoples who are around you, whether near you or far off from you, from the one end of the earth to the other, 8you shall not yield to him or listen to him, nor shall your eye pity him, nor shall you spare him, nor shall you conceal him. 9But you shall kill him. Your hand shall be first against him to put him to death, and afterward the hand of all the people. 10You shall stone him to death with stones, because he sought to draw you away from the LORD your God, who brought you out of the land of Egypt, out of the house of slavery. 11And all Israel shall hear and fear and never again do any such wickedness as this among you.
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-12“If you hear in one of your cities, which the LORD your God is giving you to dwell there, 13that certain worthless fellows have gone out among you and have drawn away the inhabitants of their city, saying, ‘Let us go and serve other gods,’ which you have not known, 14then you shall inquire and make search and ask diligently. And behold, if it be true and certain that such an abomination has been done among you, 15you shall surely put the inhabitants of that city to the sword, devoting it to destruction,[33] all who are in it and its cattle, with the edge of the sword. 16You shall gather all its spoil into the midst of its open square and burn the city and all its spoil with fire, as a whole burnt offering to the LORD your God. It shall be a heap forever. It shall not be built again. 17None of the devoted things shall stick to your hand, that the LORD may turn from the fierceness of his anger and show you mercy and have compassion on you and multiply you, as he swore to your fathers, 18if you obey the voice of the LORD your God, keeping all his commandments that I am commanding you today, and doing what is right in the sight of the LORD your God.
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-Clean and Unclean Food
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-14:1 “You are the sons of the LORD your God. You shall not cut yourselves or make any baldness on your foreheads for the dead. 2For you are a people holy to the LORD your God, and the LORD has chosen you to be a people for his treasured possession, out of all the peoples who are on the face of the earth.
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-3“You shall not eat any abomination. 4These are the animals you may eat: the ox, the sheep, the goat, 5the deer, the gazelle, the roebuck, the wild goat, the ibex,[34] the antelope, and the mountain sheep. 6Every animal that parts the hoof and has the hoof cloven in two and chews the cud, among the animals, you may eat. 7Yet of those that chew the cud or have the hoof cloven you shall not eat these: the camel, the hare, and the rock badger, because they chew the cud but do not part the hoof, are unclean for you. 8And the pig, because it parts the hoof but does not chew the cud, is unclean for you. Their flesh you shall not eat, and their carcasses you shall not touch.
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-9“Of all that are in the waters you may eat these: whatever has fins and scales you may eat. 10And whatever does not have fins and scales you shall not eat; it is unclean for you.
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-11“You may eat all clean birds. 12But these are the ones that you shall not eat: the eagle,[35] the bearded vulture, the black vulture, 13the kite, the falcon of any kind; 14every raven of any kind; 15the ostrich, the nighthawk, the sea gull, the hawk of any kind; 16the little owl and the short-eared owl, the barn owl 17and the tawny owl, the carrion vulture and the cormorant, 18the stork, the heron of any kind; the hoopoe and the bat. 19And all winged insects are unclean for you; they shall not be eaten. 20All clean winged things you may eat.
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-21“You shall not eat anything that has died naturally. You may give it to the sojourner who is within your towns, that he may eat it, or you may sell it to a foreigner. For you are a people holy to the LORD your God.
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-“You shall not boil a young goat in its mother's milk.
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-Tithes
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-22“You shall tithe all the yield of your seed that comes from the field year by year. 23And before the LORD your God, in the place that he will choose, to make his name dwell there, you shall eat the tithe of your grain, of your wine, and of your oil, and the firstborn of your herd and flock, that you may learn to fear the LORD your God always. 24And if the way is too long for you, so that you are not able to carry the tithe, when the LORD your God blesses you, because the place is too far from you, which the LORD your God chooses, to set his name there, 25then you shall turn it into money and bind up the money in your hand and go to the place that the LORD your God chooses 26and spend the money for whatever you desire—oxen or sheep or wine or strong drink, whatever your appetite craves. And you shall eat there before the LORD your God and rejoice, you and your household. 27And you shall not neglect the Levite who is within your towns, for he has no portion or inheritance with you.
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-28“At the end of every three years you shall bring out all the tithe of your produce in the same year and lay it up within your towns. 29And the Levite, because he has no portion or inheritance with you, and the sojourner, the fatherless, and the widow, who are within your towns, shall come and eat and be filled, that the LORD your God may bless you in all the work of your hands that you do.
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-The Sabbatical Year
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-15:1 “At the end of every seven years you shall grant a release. 2And this is the manner of the release: every creditor shall release what he has lent to his neighbor. He shall not exact it of his neighbor, his brother, because the LORD's release has been proclaimed. 3Of a foreigner you may exact it, but whatever of yours is with your brother your hand shall release. 4But there will be no poor among you; for the LORD will bless you in the land that the LORD your God is giving you for an inheritance to possess— 5if only you will strictly obey the voice of the LORD your God, being careful to do all this commandment that I command you today. 6For the LORD your God will bless you, as he promised you, and you shall lend to many nations, but you shall not borrow, and you shall rule over many nations, but they shall not rule over you.
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-7“If among you, one of your brothers should become poor, in any of your towns within your land that the LORD your God is giving you, you shall not harden your heart or shut your hand against your poor brother, 8but you shall open your hand to him and lend him sufficient for his need, whatever it may be. 9Take care lest there be an unworthy thought in your heart and you say, ‘The seventh year, the year of release is near,’ and your eye look grudgingly[36] on your poor brother, and you give him nothing, and he cry to the LORD against you, and you be guilty of sin. 10You shall give to him freely, and your heart shall not be grudging when you give to him, because for this the LORD your God will bless you in all your work and in all that you undertake. 11For there will never cease to be poor in the land. Therefore I command you, ‘You shall open wide your hand to your brother, to the needy and to the poor, in your land.’
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-12“If your brother, a Hebrew man or a Hebrew woman, is sold[37] to you, he shall serve you six years, and in the seventh year you shall let him go free from you. 13And when you let him go free from you, you shall not let him go empty-handed. 14You shall furnish him liberally out of your flock, out of your threshing floor, and out of your winepress. As the LORD your God has blessed you, you shall give to him. 15You shall remember that you were a slave in the land of Egypt, and the LORD your God redeemed you; therefore I command you this today. 16But if he says to you, ‘I will not go out from you,’ because he loves you and your household, since he is well-off with you, 17then you shall take an awl, and put it through his ear into the door, and he shall be your slave forever. And to your female slave you shall do the same. 18It shall not seem hard to you when you let him go free from you, for at half the cost of a hired servant he has served you six years. So the LORD your God will bless you in all that you do.
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-19“All the firstborn males that are born of your herd and flock you shall dedicate to the LORD your God. You shall do no work with the firstborn of your herd, nor shear the firstborn of your flock. 20You shall eat it, you and your household, before the LORD your God year by year at the place that the LORD will choose. 21But if it has any blemish, if it is lame or blind or has any serious blemish whatever, you shall not sacrifice it to the LORD your God. 22You shall eat it within your towns. The unclean and the clean alike may eat it, as though it were a gazelle or a deer. 23Only you shall not eat its blood; you shall pour it out on the ground like water.
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-Passover
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-16:1 “Observe the month of Abib and keep the Passover to the LORD your God, for in the month of Abib the LORD your God brought you out of Egypt by night. 2And you shall offer the Passover sacrifice to the LORD your God, from the flock or the herd, at the place that the LORD will choose, to make his name dwell there. 3You shall eat no leavened bread with it. Seven days you shall eat it with unleavened bread, the bread of affliction—for you came out of the land of Egypt in haste—that all the days of your life you may remember the day when you came out of the land of Egypt. 4No leaven shall be seen with you in all your territory for seven days, nor shall any of the flesh that you sacrifice on the evening of the first day remain all night until morning. 5You may not offer the Passover sacrifice within any of your towns that the LORD your God is giving you, 6but at the place that the LORD your God will choose, to make his name dwell in it, there you shall offer the Passover sacrifice, in the evening at sunset, at the time you came out of Egypt. 7And you shall cook it and eat it at the place that the LORD your God will choose. And in the morning you shall turn and go to your tents. 8For six days you shall eat unleavened bread, and on the seventh day there shall be a solemn assembly to the LORD your God. You shall do no work on it.
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-The Feast of Weeks
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-9“You shall count seven weeks. Begin to count the seven weeks from the time the sickle is first put to the standing grain. 10Then you shall keep the Feast of Weeks to the LORD your God with the tribute of a freewill offering from your hand, which you shall give as the LORD your God blesses you. 11And you shall rejoice before the LORD your God, you and your son and your daughter, your male servant and your female servant, the Levite who is within your towns, the sojourner, the fatherless, and the widow who are among you, at the place that the LORD your God will choose, to make his name dwell there. 12You shall remember that you were a slave in Egypt; and you shall be careful to observe these statutes.
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-The Feast of Booths
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-13“You shall keep the Feast of Booths seven days, when you have gathered in the produce from your threshing floor and your winepress. 14You shall rejoice in your feast, you and your son and your daughter, your male servant and your female servant, the Levite, the sojourner, the fatherless, and the widow who are within your towns. 15For seven days you shall keep the feast to the LORD your God at the place that the LORD will choose, because the LORD your God will bless you in all your produce and in all the work of your hands, so that you will be altogether joyful.
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-16“Three times a year all your males shall appear before the LORD your God at the place that he will choose: at the Feast of Unleavened Bread, at the Feast of Weeks, and at the Feast of Booths. They shall not appear before the LORD empty-handed. 17Every man shall give as he is able, according to the blessing of the LORD your God that he has given you.
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-Justice
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-18“You shall appoint judges and officers in all your towns that the LORD your God is giving you, according to your tribes, and they shall judge the people with righteous judgment. 19You shall not pervert justice. You shall not show partiality, and you shall not accept a bribe, for a bribe blinds the eyes of the wise and subverts the cause of the righteous. 20Justice, and only justice, you shall follow, that you may live and inherit the land that the LORD your God is giving you.
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-Forbidden Forms of Worship
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-21“You shall not plant any tree as an Asherah beside the altar of the LORD your God that you shall make. 22And you shall not set up a pillar, which the LORD your God hates.
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-17:1 “You shall not sacrifice to the LORD your God an ox or a sheep in which is a blemish, any defect whatever, for that is an abomination to the LORD your God.
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-2“If there is found among you, within any of your towns that the LORD your God is giving you, a man or woman who does what is evil in the sight of the LORD your God, in transgressing his covenant, 3and has gone and served other gods and worshiped them, or the sun or the moon or any of the host of heaven, which I have forbidden, 4and it is told you and you hear of it, then you shall inquire diligently, and if it is true and certain that such an abomination has been done in Israel, 5then you shall bring out to your gates that man or woman who has done this evil thing, and you shall stone that man or woman to death with stones. 6On the evidence of two witnesses or of three witnesses the one who is to die shall be put to death; a person shall not be put to death on the evidence of one witness. 7The hand of the witnesses shall be first against him to put him to death, and afterward the hand of all the people. So you shall purge[38] the evil[39] from your midst.
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-Legal Decisions by Priests and Judges
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-8“If any case arises requiring decision between one kind of homicide and another, one kind of legal right and another, or one kind of assault and another, any case within your towns that is too difficult for you, then you shall arise and go up to the place that the LORD your God will choose. 9And you shall come to the Levitical priests and to the judge who is in office in those days, and you shall consult them, and they shall declare to you the decision. 10Then you shall do according to what they declare to you from that place that the LORD will choose. And you shall be careful to do according to all that they direct you. 11According to the instructions that they give you, and according to the decision which they pronounce to you, you shall do. You shall not turn aside from the verdict that they declare to you, either to the right hand or to the left. 12The man who acts presumptuously by not obeying the priest who stands to minister there before the LORD your God, or the judge, that man shall die. So you shall purge the evil from Israel. 13And all the people shall hear and fear and not act presumptuously again.
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-Laws Concerning Israel's Kings
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-14“When you come to the land that the LORD your God is giving you, and you possess it and dwell in it and then say, ‘I will set a king over me, like all the nations that are around me,’ 15you may indeed set a king over you whom the LORD your God will choose. One from among your brothers you shall set as king over you. You may not put a foreigner over you, who is not your brother. 16Only he must not acquire many horses for himself or cause the people to return to Egypt in order to acquire many horses, since the LORD has said to you, ‘You shall never return that way again.’ 17And he shall not acquire many wives for himself, lest his heart turn away, nor shall he acquire for himself excessive silver and gold.
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-18“And when he sits on the throne of his kingdom, he shall write for himself in a book a copy of this law, approved by[40] the Levitical priests. 19And it shall be with him, and he shall read in it all the days of his life, that he may learn to fear the LORD his God by keeping all the words of this law and these statutes, and doing them, 20that his heart may not be lifted up above his brothers, and that he may not turn aside from the commandment, either to the right hand or to the left, so that he may continue long in his kingdom, he and his children, in Israel.
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-Provision for Priests and Levites
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-18:1 “The Levitical priests, all the tribe of Levi, shall have no portion or inheritance with Israel. They shall eat the LORD's food offerings[41] as their[42] inheritance. 2They shall have no inheritance among their brothers; the LORD is their inheritance, as he promised them. 3And this shall be the priests' due from the people, from those offering a sacrifice, whether an ox or a sheep: they shall give to the priest the shoulder and the two cheeks and the stomach. 4The firstfruits of your grain, of your wine and of your oil, and the first fleece of your sheep, you shall give him. 5For the LORD your God has chosen him out of all your tribes to stand and minister in the name of the LORD, him and his sons for all time.
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-6“And if a Levite comes from any of your towns out of all Israel, where he lives—and he may come when he desires[43]—to the place that the LORD will choose, 7and ministers in the name of the LORD his God, like all his fellow Levites who stand to minister there before the LORD, 8then he may have equal portions to eat, besides what he receives from the sale of his patrimony.[44]
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-Abominable Practices
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-9“When you come into the land that the LORD your God is giving you, you shall not learn to follow the abominable practices of those nations. 10There shall not be found among you anyone who burns his son or his daughter as an offering,[45] anyone who practices divination or tells fortunes or interprets omens, or a sorcerer 11or a charmer or a medium or a necromancer or one who inquires of the dead, 12for whoever does these things is an abomination to the LORD. And because of these abominations the LORD your God is driving them out before you. 13You shall be blameless before the LORD your God, 14for these nations, which you are about to dispossess, listen to fortune-tellers and to diviners. But as for you, the LORD your God has not allowed you to do this.
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-A New Prophet like Moses
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-15“The LORD your God will raise up for you a prophet like me from among you, from your brothers—it is to him you shall listen— 16just as you desired of the LORD your God at Horeb on the day of the assembly, when you said, ‘Let me not hear again the voice of the LORD my God or see this great fire any more, lest I die.’ 17And the LORD said to me, ‘They are right in what they have spoken. 18I will raise up for them a prophet like you from among their brothers. And I will put my words in his mouth, and he shall speak to them all that I command him. 19And whoever will not listen to my words that he shall speak in my name, I myself will require it of him. 20But the prophet who presumes to speak a word in my name that I have not commanded him to speak, or[46] who speaks in the name of other gods, that same prophet shall die.’ 21And if you say in your heart, ‘How may we know the word that the LORD has not spoken?’— 22when a prophet speaks in the name of the LORD, if the word does not come to pass or come true, that is a word that the LORD has not spoken; the prophet has spoken it presumptuously. You need not be afraid of him.
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-Laws Concerning Cities of Refuge
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-19:1 “When the LORD your God cuts off the nations whose land the LORD your God is giving you, and you dispossess them and dwell in their cities and in their houses, 2you shall set apart three cities for yourselves in the land that the LORD your God is giving you to possess. 3You shall measure the distances[47] and divide into three parts the area of the land that the LORD your God gives you as a possession, so that any manslayer can flee to them.
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-4“This is the provision for the manslayer, who by fleeing there may save his life. If anyone kills his neighbor unintentionally without having hated him in the past— 5as when someone goes into the forest with his neighbor to cut wood, and his hand swings the axe to cut down a tree, and the head slips from the handle and strikes his neighbor so that he dies—he may flee to one of these cities and live, 6lest the avenger of blood in hot anger pursue the manslayer and overtake him, because the way is long, and strike him fatally, though the man did not deserve to die, since he had not hated his neighbor in the past. 7Therefore I command you, You shall set apart three cities. 8And if the LORD your God enlarges your territory, as he has sworn to your fathers, and gives you all the land that he promised to give to your fathers— 9provided you are careful to keep all this commandment, which I command you today, by loving the LORD your God and by walking ever in his ways—then you shall add three other cities to these three, 10lest innocent blood be shed in your land that the LORD your God is giving you for an inheritance, and so the guilt of bloodshed be upon you.
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-11“But if anyone hates his neighbor and lies in wait for him and attacks him and strikes him fatally so that he dies, and he flees into one of these cities, 12then the elders of his city shall send and take him from there, and hand him over to the avenger of blood, so that he may die. 13Your eye shall not pity him, but you shall purge the guilt of innocent blood[48] from Israel, so that it may be well with you.
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-Property Boundaries
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-14“You shall not move your neighbor's landmark, which the men of old have set, in the inheritance that you will hold in the land that the LORD your God is giving you to possess.
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-Laws Concerning Witnesses
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-15“A single witness shall not suffice against a person for any crime or for any wrong in connection with any offense that he has committed. Only on the evidence of two witnesses or of three witnesses shall a charge be established. 16If a malicious witness arises to accuse a person of wrongdoing, 17then both parties to the dispute shall appear before the LORD, before the priests and the judges who are in office in those days. 18The judges shall inquire diligently, and if the witness is a false witness and has accused his brother falsely, 19then you shall do to him as he had meant to do to his brother. So you shall purge the evil[49] from your midst. 20And the rest shall hear and fear, and shall never again commit any such evil among you. 21Your eye shall not pity. It shall be life for life, eye for eye, tooth for tooth, hand for hand, foot for foot.
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-Laws Concerning Warfare
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-20:1 “When you go out to war against your enemies, and see horses and chariots and an army larger than your own, you shall not be afraid of them, for the LORD your God is with you, who brought you up out of the land of Egypt. 2And when you draw near to the battle, the priest shall come forward and speak to the people 3and shall say to them, ‘Hear, O Israel, today you are drawing near for battle against your enemies: let not your heart faint. Do not fear or panic or be in dread of them, 4for the LORD your God is he who goes with you to fight for you against your enemies, to give you the victory.’ 5Then the officers shall speak to the people, saying, ‘Is there any man who has built a new house and has not dedicated it? Let him go back to his house, lest he die in the battle and another man dedicate it. 6And is there any man who has planted a vineyard and has not enjoyed its fruit? Let him go back to his house, lest he die in the battle and another man enjoy its fruit. 7And is there any man who has betrothed a wife and has not taken her? Let him go back to his house, lest he die in the battle and another man take her.’ 8And the officers shall speak further to the people, and say, ‘Is there any man who is fearful and fainthearted? Let him go back to his house, lest he make the heart of his fellows melt like his own.’ 9And when the officers have finished speaking to the people, then commanders shall be appointed at the head of the people.
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-10“When you draw near to a city to fight against it, offer terms of peace to it. 11And if it responds to you peaceably and it opens to you, then all the people who are found in it shall do forced labor for you and shall serve you. 12But if it makes no peace with you, but makes war against you, then you shall besiege it. 13And when the LORD your God gives it into your hand, you shall put all its males to the sword, 14but the women and the little ones, the livestock, and everything else in the city, all its spoil, you shall take as plunder for yourselves. And you shall enjoy the spoil of your enemies, which the LORD your God has given you. 15Thus you shall do to all the cities that are very far from you, which are not cities of the nations here. 16But in the cities of these peoples that the LORD your God is giving you for an inheritance, you shall save alive nothing that breathes, 17but you shall devote them to complete destruction,[50] the Hittites and the Amorites, the Canaanites and the Perizzites, the Hivites and the Jebusites, as the LORD your God has commanded, 18that they may not teach you to do according to all their abominable practices that they have done for their gods, and so you sin against the LORD your God.
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-19“When you besiege a city for a long time, making war against it in order to take it, you shall not destroy its trees by wielding an axe against them. You may eat from them, but you shall not cut them down. Are the trees in the field human, that they should be besieged by you? 20Only the trees that you know are not trees for food you may destroy and cut down, that you may build siegeworks against the city that makes war with you, until it falls.
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-Atonement for Unsolved Murders
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-21:1 “If in the land that the LORD your God is giving you to possess someone is found slain, lying in the open country, and it is not known who killed him, 2then your elders and your judges shall come out, and they shall measure the distance to the surrounding cities. 3And the elders of the city that is nearest to the slain man shall take a heifer that has never been worked and that has not pulled in a yoke. 4And the elders of that city shall bring the heifer down to a valley with running water, which is neither plowed nor sown, and shall break the heifer's neck there in the valley. 5Then the priests, the sons of Levi, shall come forward, for the LORD your God has chosen them to minister to him and to bless in the name of the LORD, and by their word every dispute and every assault shall be settled. 6And all the elders of that city nearest to the slain man shall wash their hands over the heifer whose neck was broken in the valley, 7and they shall testify, ‘Our hands did not shed this blood, nor did our eyes see it shed. 8Accept atonement, O LORD, for your people Israel, whom you have redeemed, and do not set the guilt of innocent blood in the midst of your people Israel, so that their blood guilt be atoned for.’ 9So you shall purge the guilt of innocent blood from your midst, when you do what is right in the sight of the LORD.
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-Marrying Female Captives
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-10“When you go out to war against your enemies, and the LORD your God gives them into your hand and you take them captive, 11and you see among the captives a beautiful woman, and you desire to take her to be your wife, 12and you bring her home to your house, she shall shave her head and pare her nails. 13And she shall take off the clothes in which she was captured and shall remain in your house and lament her father and her mother a full month. After that you may go in to her and be her husband, and she shall be your wife. 14But if you no longer delight in her, you shall let her go where she wants. But you shall not sell her for money, nor shall you treat her as a slave, since you have humiliated her.
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-Inheritance Rights of the Firstborn
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-15“If a man has two wives, the one loved and the other unloved, and both the loved and the unloved have borne him children, and if the firstborn son belongs to the unloved,[51] 16then on the day when he assigns his possessions as an inheritance to his sons, he may not treat the son of the loved as the firstborn in preference to the son of the unloved, who is the firstborn, 17but he shall acknowledge the firstborn, the son of the unloved, by giving him a double portion of all that he has, for he is the firstfruits of his strength. The right of the firstborn is his.
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-A Rebellious Son
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-18“If a man has a stubborn and rebellious son who will not obey the voice of his father or the voice of his mother, and, though they discipline him, will not listen to them, 19then his father and his mother shall take hold of him and bring him out to the elders of his city at the gate of the place where he lives, 20and they shall say to the elders of his city, ‘This our son is stubborn and rebellious; he will not obey our voice; he is a glutton and a drunkard.’ 21Then all the men of the city shall stone him to death with stones. So you shall purge the evil from your midst, and all Israel shall hear, and fear.
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-A Man Hanged on a Tree Is Cursed
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-22“And if a man has committed a crime punishable by death and he is put to death, and you hang him on a tree, 23his body shall not remain all night on the tree, but you shall bury him the same day, for a hanged man is cursed by God. You shall not defile your land that the LORD your God is giving you for an inheritance.
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-Various Laws
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-22:1 “You shall not see your brother's ox or his sheep going astray and ignore them. You shall take them back to your brother. 2And if he does not live near you and you do not know who he is, you shall bring it home to your house, and it shall stay with you until your brother seeks it. Then you shall restore it to him. 3And you shall do the same with his donkey or with his garment, or with any lost thing of your brother's, which he loses and you find; you may not ignore it. 4You shall not see your brother's donkey or his ox fallen down by the way and ignore them. You shall help him to lift them up again.
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-5“A woman shall not wear a man's garment, nor shall a man put on a woman's cloak, for whoever does these things is an abomination to the LORD your God.
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-6“If you come across a bird's nest in any tree or on the ground, with young ones or eggs and the mother sitting on the young or on the eggs, you shall not take the mother with the young. 7You shall let the mother go, but the young you may take for yourself, that it may go well with you, and that you may live long.
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-8“When you build a new house, you shall make a parapet for your roof, that you may not bring the guilt of blood upon your house, if anyone should fall from it.
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-9“You shall not sow your vineyard with two kinds of seed, lest the whole yield be forfeited,[52] the crop that you have sown and the yield of the vineyard. 10You shall not plow with an ox and a donkey together. 11You shall not wear cloth of wool and linen mixed together.
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-12“You shall make yourself tassels on the four corners of the garment with which you cover yourself.
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-Laws Concerning Sexual Immorality
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-13“If any man takes a wife and goes in to her and then hates her 14and accuses her of misconduct and brings a bad name upon her, saying, ‘I took this woman, and when I came near her, I did not find in her evidence of virginity,’ 15then the father of the young woman and her mother shall take and bring out the evidence of her virginity to the elders of the city in the gate. 16And the father of the young woman shall say to the elders, ‘I gave my daughter to this man to marry, and he hates her; 17and behold, he has accused her of misconduct, saying, “I did not find in your daughter evidence of virginity.” And yet this is the evidence of my daughter's virginity.’ And they shall spread the cloak before the elders of the city. 18Then the elders of that city shall take the man and whip[53] him, 19and they shall fine him a hundred shekels[54] of silver and give them to the father of the young woman, because he has brought a bad name upon a virgin[55] of Israel. And she shall be his wife. He may not divorce her all his days. 20But if the thing is true, that evidence of virginity was not found in the young woman, 21then they shall bring out the young woman to the door of her father's house, and the men of her city shall stone her to death with stones, because she has done an outrageous thing in Israel by whoring in her father's house. So you shall purge the evil from your midst.
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-22“If a man is found lying with the wife of another man, both of them shall die, the man who lay with the woman, and the woman. So you shall purge the evil from Israel.
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-23“If there is a betrothed virgin, and a man meets her in the city and lies with her, 24then you shall bring them both out to the gate of that city, and you shall stone them to death with stones, the young woman because she did not cry for help though she was in the city, and the man because he violated his neighbor's wife. So you shall purge the evil from your midst.
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-25“But if in the open country a man meets a young woman who is betrothed, and the man seizes her and lies with her, then only the man who lay with her shall die. 26But you shall do nothing to the young woman; she has committed no offense punishable by death. For this case is like that of a man attacking and murdering his neighbor, 27because he met her in the open country, and though the betrothed young woman cried for help there was no one to rescue her.
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-28“If a man meets a virgin who is not betrothed, and seizes her and lies with her, and they are found, 29then the man who lay with her shall give to the father of the young woman fifty shekels of silver, and she shall be his wife, because he has violated her. He may not divorce her all his days.
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-30[56] “A man shall not take his father's wife, so that he does not uncover his father's nakedness.[57]
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-Those Excluded from the Assembly
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-23:1 “No one whose testicles are crushed or whose male organ is cut off shall enter the assembly of the LORD.
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-2“No one born of a forbidden union may enter the assembly of the LORD. Even to the tenth generation, none of his descendants may enter the assembly of the LORD.
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-3“No Ammonite or Moabite may enter the assembly of the LORD. Even to the tenth generation, none of them may enter the assembly of the LORD forever, 4because they did not meet you with bread and with water on the way, when you came out of Egypt, and because they hired against you Balaam the son of Beor from Pethor of Mesopotamia, to curse you. 5But the LORD your God would not listen to Balaam; instead the LORD your God turned the curse into a blessing for you, because the LORD your God loved you. 6You shall not seek their peace or their prosperity all your days forever.
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-7“You shall not abhor an Edomite, for he is your brother. You shall not abhor an Egyptian, because you were a sojourner in his land. 8Children born to them in the third generation may enter the assembly of the LORD.
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-Uncleanness in the Camp
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-9“When you are encamped against your enemies, then you shall keep yourself from every evil thing.
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-10“If any man among you becomes unclean because of a nocturnal emission, then he shall go outside the camp. He shall not come inside the camp, 11but when evening comes, he shall bathe himself in water, and as the sun sets, he may come inside the camp.
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-12“You shall have a place outside the camp, and you shall go out to it. 13And you shall have a trowel with your tools, and when you sit down outside, you shall dig a hole with it and turn back and cover up your excrement. 14Because the LORD your God walks in the midst of your camp, to deliver you and to give up your enemies before you, therefore your camp must be holy, so that he may not see anything indecent among you and turn away from you.
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-Miscellaneous Laws
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-15“You shall not give up to his master a slave who has escaped from his master to you. 16He shall dwell with you, in your midst, in the place that he shall choose within one of your towns, wherever it suits him. You shall not wrong him.
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-17“None of the daughters of Israel shall be a cult prostitute, and none of the sons of Israel shall be a cult prostitute. 18You shall not bring the fee of a prostitute or the wages of a dog[58] into the house of the LORD your God in payment for any vow, for both of these are an abomination to the LORD your God.
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-19“You shall not charge interest on loans to your brother, interest on money, interest on food, interest on anything that is lent for interest. 20You may charge a foreigner interest, but you may not charge your brother interest, that the LORD your God may bless you in all that you undertake in the land that you are entering to take possession of it.
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-21“If you make a vow to the LORD your God, you shall not delay fulfilling it, for the LORD your God will surely require it of you, and you will be guilty of sin. 22But if you refrain from vowing, you will not be guilty of sin. 23You shall be careful to do what has passed your lips, for you have voluntarily vowed to the LORD your God what you have promised with your mouth.
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-24“If you go into your neighbor's vineyard, you may eat your fill of grapes, as many as you wish, but you shall not put any in your bag. 25If you go into your neighbor's standing grain, you may pluck the ears with your hand, but you shall not put a sickle to your neighbor's standing grain.
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-Laws Concerning Divorce
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-24:1 “When a man takes a wife and marries her, if then she finds no favor in his eyes because he has found some indecency in her, and he writes her a certificate of divorce and puts it in her hand and sends her out of his house, and she departs out of his house, 2and if she goes and becomes another man's wife, 3and the latter man hates her and writes her a certificate of divorce and puts it in her hand and sends her out of his house, or if the latter man dies, who took her to be his wife, 4then her former husband, who sent her away, may not take her again to be his wife, after she has been defiled, for that is an abomination before the LORD. And you shall not bring sin upon the land that the LORD your God is giving you for an inheritance.
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-Miscellaneous Laws
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-5“When a man is newly married, he shall not go out with the army or be liable for any other public duty. He shall be free at home one year to be happy with his wife whom he has taken.
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-6“No one shall take a mill or an upper millstone in pledge, for that would be taking a life in pledge.
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-7“If a man is found stealing one of his brothers of the people of Israel, and if he treats him as a slave or sells him, then that thief shall die. So you shall purge the evil from your midst.
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-8“Take care, in a case of leprous[59] disease, to be very careful to do according to all that the Levitical priests shall direct you. As I commanded them, so you shall be careful to do. 9Remember what the LORD your God did to Miriam on the way as you came out of Egypt.
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-10“When you make your neighbor a loan of any sort, you shall not go into his house to collect his pledge. 11You shall stand outside, and the man to whom you make the loan shall bring the pledge out to you. 12And if he is a poor man, you shall not sleep in his pledge. 13You shall restore to him the pledge as the sun sets, that he may sleep in his cloak and bless you. And it shall be righteousness for you before the LORD your God.
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-14“You shall not oppress a hired servant who is poor and needy, whether he is one of your brothers or one of the sojourners who are in your land within your towns. 15You shall give him his wages on the same day, before the sun sets (for he is poor and counts on it), lest he cry against you to the LORD, and you be guilty of sin.
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-16“Fathers shall not be put to death because of their children, nor shall children be put to death because of their fathers. Each one shall be put to death for his own sin.
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-17“You shall not pervert the justice due to the sojourner or to the fatherless, or take a widow's garment in pledge, 18but you shall remember that you were a slave in Egypt and the LORD your God redeemed you from there; therefore I command you to do this.
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-19“When you reap your harvest in your field and forget a sheaf in the field, you shall not go back to get it. It shall be for the sojourner, the fatherless, and the widow, that the LORD your God may bless you in all the work of your hands. 20When you beat your olive trees, you shall not go over them again. It shall be for the sojourner, the fatherless, and the widow. 21When you gather the grapes of your vineyard, you shall not strip it afterward. It shall be for the sojourner, the fatherless, and the widow. 22You shall remember that you were a slave in the land of Egypt; therefore I command you to do this.
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-25:1 “If there is a dispute between men and they come into court and the judges decide between them, acquitting the innocent and condemning the guilty, 2then if the guilty man deserves to be beaten, the judge shall cause him to lie down and be beaten in his presence with a number of stripes in proportion to his offense. 3Forty stripes may be given him, but not more, lest, if one should go on to beat him with more stripes than these, your brother be degraded in your sight.
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-4“You shall not muzzle an ox when it is treading out the grain.
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-Laws Concerning Levirate Marriage
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-5“If brothers dwell together, and one of them dies and has no son, the wife of the dead man shall not be married outside the family to a stranger. Her husband's brother shall go in to her and take her as his wife and perform the duty of a husband's brother to her. 6And the first son whom she bears shall succeed to the name of his dead brother, that his name may not be blotted out of Israel. 7And if the man does not wish to take his brother's wife, then his brother's wife shall go up to the gate to the elders and say, ‘My husband's brother refuses to perpetuate his brother's name in Israel; he will not perform the duty of a husband's brother to me.’ 8Then the elders of his city shall call him and speak to him, and if he persists, saying, ‘I do not wish to take her,’ 9then his brother's wife shall go up to him in the presence of the elders and pull his sandal off his foot and spit in his face. And she shall answer and say, ‘So shall it be done to the man who does not build up his brother's house.’ 10And the name of his house[60] shall be called in Israel, ‘The house of him who had his sandal pulled off.’
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-Miscellaneous Laws
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-11“When men fight with one another and the wife of the one draws near to rescue her husband from the hand of him who is beating him and puts out her hand and seizes him by the private parts, 12then you shall cut off her hand. Your eye shall have no pity.
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-13“You shall not have in your bag two kinds of weights, a large and a small. 14You shall not have in your house two kinds of measures, a large and a small. 15A full and fair[61] weight you shall have, a full and fair measure you shall have, that your days may be long in the land that the LORD your God is giving you. 16For all who do such things, all who act dishonestly, are an abomination to the LORD your God.
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-17“Remember what Amalek did to you on the way as you came out of Egypt, 18how he attacked you on the way when you were faint and weary, and cut off your tail, those who were lagging behind you, and he did not fear God. 19Therefore when the LORD your God has given you rest from all your enemies around you, in the land that the LORD your God is giving you for an inheritance to possess, you shall blot out the memory of Amalek from under heaven; you shall not forget.
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-Offerings of Firstfruits and Tithes
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-26:1 “When you come into the land that the LORD your God is giving you for an inheritance and have taken possession of it and live in it, 2you shall take some of the first of all the fruit of the ground, which you harvest from your land that the LORD your God is giving you, and you shall put it in a basket, and you shall go to the place that the LORD your God will choose, to make his name to dwell there. 3And you shall go to the priest who is in office at that time and say to him, ‘I declare today to the LORD your God that I have come into the land that the LORD swore to our fathers to give us.’ 4Then the priest shall take the basket from your hand and set it down before the altar of the LORD your God.
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-5“And you shall make response before the LORD your God, ‘A wandering Aramean was my father. And he went down into Egypt and sojourned there, few in number, and there he became a nation, great, mighty, and populous. 6And the Egyptians treated us harshly and humiliated us and laid on us hard labor. 7Then we cried to the LORD, the God of our fathers, and the LORD heard our voice and saw our affliction, our toil, and our oppression. 8And the LORD brought us out of Egypt with a mighty hand and an outstretched arm, with great deeds of terror,[62] with signs and wonders. 9And he brought us into this place and gave us this land, a land flowing with milk and honey. 10And behold, now I bring the first of the fruit of the ground, which you, O LORD, have given me.’ And you shall set it down before the LORD your God and worship before the LORD your God. 11And you shall rejoice in all the good that the LORD your God has given to you and to your house, you, and the Levite, and the sojourner who is among you.
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-12“When you have finished paying all the tithe of your produce in the third year, which is the year of tithing, giving it to the Levite, the sojourner, the fatherless, and the widow, so that they may eat within your towns and be filled, 13then you shall say before the LORD your God, ‘I have removed the sacred portion out of my house, and moreover, I have given it to the Levite, the sojourner, the fatherless, and the widow, according to all your commandment that you have commanded me. I have not transgressed any of your commandments, nor have I forgotten them. 14I have not eaten of the tithe while I was mourning, or removed any of it while I was unclean, or offered any of it to the dead. I have obeyed the voice of the LORD my God. I have done according to all that you have commanded me. 15Look down from your holy habitation, from heaven, and bless your people Israel and the ground that you have given us, as you swore to our fathers, a land flowing with milk and honey.’
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-16“This day the LORD your God commands you to do these statutes and rules. You shall therefore be careful to do them with all your heart and with all your soul. 17You have declared today that the LORD is your God, and that you will walk in his ways, and keep his statutes and his commandments and his rules, and will obey his voice. 18And the LORD has declared today that you are a people for his treasured possession, as he has promised you, and that you are to keep all his commandments, 19and that he will set you in praise and in fame and in honor high above all nations that he has made, and that you shall be a people holy to the LORD your God, as he promised.”
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-The Altar on Mount Ebal
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-27:1 Now Moses and the elders of Israel commanded the people, saying, “Keep the whole commandment that I command you today. 2And on the day you cross over the Jordan to the land that the LORD your God is giving you, you shall set up large stones and plaster them with plaster. 3And you shall write on them all the words of this law, when you cross over to enter the land that the LORD your God is giving you, a land flowing with milk and honey, as the LORD, the God of your fathers, has promised you. 4And when you have crossed over the Jordan, you shall set up these stones, concerning which I command you today, on Mount Ebal, and you shall plaster them with plaster. 5And there you shall build an altar to the LORD your God, an altar of stones. You shall wield no iron tool on them; 6you shall build an altar to the LORD your God of uncut[63] stones. And you shall offer burnt offerings on it to the LORD your God, 7and you shall sacrifice peace offerings and shall eat there, and you shall rejoice before the LORD your God. 8And you shall write on the stones all the words of this law very plainly.”
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-Curses from Mount Ebal
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-9Then Moses and the Levitical priests said to all Israel, “Keep silence and hear, O Israel: this day you have become the people of the LORD your God. 10You shall therefore obey the voice of the LORD your God, keeping his commandments and his statutes, which I command you today.”
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-11That day Moses charged the people, saying, 12“When you have crossed over the Jordan, these shall stand on Mount Gerizim to bless the people: Simeon, Levi, Judah, Issachar, Joseph, and Benjamin. 13And these shall stand on Mount Ebal for the curse: Reuben, Gad, Asher, Zebulun, Dan, and Naphtali. 14And the Levites shall declare to all the men of Israel in a loud voice:
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-15“‘Cursed be the man who makes a carved or cast metal image, an abomination to the LORD, a thing made by the hands of a craftsman, and sets it up in secret.’ And all the people shall answer and say, ‘Amen.’
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-16“‘Cursed be anyone who dishonors his father or his mother.’ And all the people shall say, ‘Amen.’
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-17“‘Cursed be anyone who moves his neighbor's landmark.’ And all the people shall say, ‘Amen.’
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-18“‘Cursed be anyone who misleads a blind man on the road.’ And all the people shall say, ‘Amen.’
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-19“‘Cursed be anyone who perverts the justice due to the sojourner, the fatherless, and the widow.’ And all the people shall say, ‘Amen.’
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-20“‘Cursed be anyone who lies with his father's wife, because he has uncovered his father's nakedness.’[64] And all the people shall say, ‘Amen.’
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-21“‘Cursed be anyone who lies with any kind of animal.’ And all the people shall say, ‘Amen.’
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-22“‘Cursed be anyone who lies with his sister, whether the daughter of his father or the daughter of his mother.’ And all the people shall say, ‘Amen.’
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-23“‘Cursed be anyone who lies with his mother-in-law.’ And all the people shall say, ‘Amen.’
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-24“‘Cursed be anyone who strikes down his neighbor in secret.’ And all the people shall say, ‘Amen.’
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-25“‘Cursed be anyone who takes a bribe to shed innocent blood.’ And all the people shall say, ‘Amen.’
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-26“‘Cursed be anyone who does not confirm the words of this law by doing them.’ And all the people shall say, ‘Amen.’
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-Blessings for Obedience
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-28:1 “And if you faithfully obey the voice of the LORD your God, being careful to do all his commandments that I command you today, the LORD your God will set you high above all the nations of the earth. 2And all these blessings shall come upon you and overtake you, if you obey the voice of the LORD your God. 3Blessed shall you be in the city, and blessed shall you be in the field. 4Blessed shall be the fruit of your womb and the fruit of your ground and the fruit of your cattle, the increase of your herds and the young of your flock. 5Blessed shall be your basket and your kneading bowl. 6Blessed shall you be when you come in, and blessed shall you be when you go out.
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-7“The LORD will cause your enemies who rise against you to be defeated before you. They shall come out against you one way and flee before you seven ways. 8The LORD will command the blessing on you in your barns and in all that you undertake. And he will bless you in the land that the LORD your God is giving you. 9The LORD will establish you as a people holy to himself, as he has sworn to you, if you keep the commandments of the LORD your God and walk in his ways. 10And all the peoples of the earth shall see that you are called by the name of the LORD, and they shall be afraid of you. 11And the LORD will make you abound in prosperity, in the fruit of your womb and in the fruit of your livestock and in the fruit of your ground, within the land that the LORD swore to your fathers to give you. 12The LORD will open to you his good treasury, the heavens, to give the rain to your land in its season and to bless all the work of your hands. And you shall lend to many nations, but you shall not borrow. 13And the LORD will make you the head and not the tail, and you shall only go up and not down, if you obey the commandments of the LORD your God, which I command you today, being careful to do them, 14and if you do not turn aside from any of the words that I command you today, to the right hand or to the left, to go after other gods to serve them.
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-Curses for Disobedience
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-15“But if you will not obey the voice of the LORD your God or be careful to do all his commandments and his statutes that I command you today, then all these curses shall come upon you and overtake you. 16Cursed shall you be in the city, and cursed shall you be in the field. 17Cursed shall be your basket and your kneading bowl. 18Cursed shall be the fruit of your womb and the fruit of your ground, the increase of your herds and the young of your flock. 19Cursed shall you be when you come in, and cursed shall you be when you go out.
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-20“The LORD will send on you curses, confusion, and frustration in all that you undertake to do, until you are destroyed and perish quickly on account of the evil of your deeds, because you have forsaken me. 21The LORD will make the pestilence stick to you until he has consumed you off the land that you are entering to take possession of it. 22The LORD will strike you with wasting disease and with fever, inflammation and fiery heat, and with drought[65] and with blight and with mildew. They shall pursue you until you perish. 23And the heavens over your head shall be bronze, and the earth under you shall be iron. 24The LORD will make the rain of your land powder. From heaven dust shall come down on you until you are destroyed.
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-25“The LORD will cause you to be defeated before your enemies. You shall go out one way against them and flee seven ways before them. And you shall be a horror to all the kingdoms of the earth. 26And your dead body shall be food for all birds of the air and for the beasts of the earth, and there shall be no one to frighten them away. 27The LORD will strike you with the boils of Egypt, and with tumors and scabs and itch, of which you cannot be healed. 28The LORD will strike you with madness and blindness and confusion of mind, 29and you shall grope at noonday, as the blind grope in darkness, and you shall not prosper in your ways.[66] And you shall be only oppressed and robbed continually, and there shall be no one to help you. 30You shall betroth a wife, but another man shall ravish her. You shall build a house, but you shall not dwell in it. You shall plant a vineyard, but you shall not enjoy its fruit. 31Your ox shall be slaughtered before your eyes, but you shall not eat any of it. Your donkey shall be seized before your face, but shall not be restored to you. Your sheep shall be given to your enemies, but there shall be no one to help you. 32Your sons and your daughters shall be given to another people, while your eyes look on and fail with longing for them all day long, but you shall be helpless. 33A nation that you have not known shall eat up the fruit of your ground and of all your labors, and you shall be only oppressed and crushed continually, 34so that you are driven mad by the sights that your eyes see. 35The LORD will strike you on the knees and on the legs with grievous boils of which you cannot be healed, from the sole of your foot to the crown of your head.
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-36“The LORD will bring you and your king whom you set over you to a nation that neither you nor your fathers have known. And there you shall serve other gods of wood and stone. 37And you shall become a horror, a proverb, and a byword among all the peoples where the LORD will lead you away. 38You shall carry much seed into the field and shall gather in little, for the locust shall consume it. 39You shall plant vineyards and dress them, but you shall neither drink of the wine nor gather the grapes, for the worm shall eat them. 40You shall have olive trees throughout all your territory, but you shall not anoint yourself with the oil, for your olives shall drop off. 41You shall father sons and daughters, but they shall not be yours, for they shall go into captivity. 42The cricket[67] shall possess all your trees and the fruit of your ground. 43The sojourner who is among you shall rise higher and higher above you, and you shall come down lower and lower. 44He shall lend to you, and you shall not lend to him. He shall be the head, and you shall be the tail.
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-45“All these curses shall come upon you and pursue you and overtake you till you are destroyed, because you did not obey the voice of the LORD your God, to keep his commandments and his statutes that he commanded you. 46They shall be a sign and a wonder against you and your offspring forever. 47Because you did not serve the LORD your God with joyfulness and gladness of heart, because of the abundance of all things, 48therefore you shall serve your enemies whom the LORD will send against you, in hunger and thirst, in nakedness, and lacking everything. And he will put a yoke of iron on your neck until he has destroyed you. 49The LORD will bring a nation against you from far away, from the end of the earth, swooping down like the eagle, a nation whose language you do not understand, 50a hard-faced nation who shall not respect the old or show mercy to the young. 51It shall eat the offspring of your cattle and the fruit of your ground, until you are destroyed; it also shall not leave you grain, wine, or oil, the increase of your herds or the young of your flock, until they have caused you to perish.
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-52“They shall besiege you in all your towns, until your high and fortified walls, in which you trusted, come down throughout all your land. And they shall besiege you in all your towns throughout all your land, which the LORD your God has given you. 53And you shall eat the fruit of your womb, the flesh of your sons and daughters, whom the LORD your God has given you, in the siege and in the distress with which your enemies shall distress you. 54The man who is the most tender and refined among you will begrudge food to his brother, to the wife he embraces,[68] and to the last of the children whom he has left, 55so that he will not give to any of them any of the flesh of his children whom he is eating, because he has nothing else left, in the siege and in the distress with which your enemy shall distress you in all your towns. 56The most tender and refined woman among you, who would not venture to set the sole of her foot on the ground because she is so delicate and tender, will begrudge to the husband she embraces,[69] to her son and to her daughter, 57her afterbirth that comes out from between her feet and her children whom she bears, because lacking everything she will eat them secretly, in the siege and in the distress with which your enemy shall distress you in your towns.
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-58“If you are not careful to do all the words of this law that are written in this book, that you may fear this glorious and awesome name, the LORD your God, 59then the LORD will bring on you and your offspring extraordinary afflictions, afflictions severe and lasting, and sicknesses grievous and lasting. 60And he will bring upon you again all the diseases of Egypt, of which you were afraid, and they shall cling to you. 61Every sickness also and every affliction that is not recorded in the book of this law, the LORD will bring upon you, until you are destroyed. 62Whereas you were as numerous as the stars of heaven, you shall be left few in number, because you did not obey the voice of the LORD your God. 63And as the LORD took delight in doing you good and multiplying you, so the LORD will take delight in bringing ruin upon you and destroying you. And you shall be plucked off the land that you are entering to take possession of it.
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-64“And the LORD will scatter you among all peoples, from one end of the earth to the other, and there you shall serve other gods of wood and stone, which neither you nor your fathers have known. 65And among these nations you shall find no respite, and there shall be no resting place for the sole of your foot, but the LORD will give you there a trembling heart and failing eyes and a languishing soul. 66Your life shall hang in doubt before you. Night and day you shall be in dread and have no assurance of your life. 67In the morning you shall say, ‘If only it were evening!’ and at evening you shall say, ‘If only it were morning!’ because of the dread that your heart shall feel, and the sights that your eyes shall see. 68And the LORD will bring you back in ships to Egypt, a journey that I promised that you should never make again; and there you shall offer yourselves for sale to your enemies as male and female slaves, but there will be no buyer.”
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-The Covenant Renewed in Moab
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-29:1 [70] These are the words of the covenant that the LORD commanded Moses to make with the people of Israel in the land of Moab, besides the covenant that he had made with them at Horeb.
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-2[71] And Moses summoned all Israel and said to them: “You have seen all that the LORD did before your eyes in the land of Egypt, to Pharaoh and to all his servants and to all his land, 3the great trials that your eyes saw, the signs, and those great wonders. 4But to this day the LORD has not given you a heart to understand or eyes to see or ears to hear. 5I have led you forty years in the wilderness. Your clothes have not worn out on you, and your sandals have not worn off your feet. 6You have not eaten bread, and you have not drunk wine or strong drink, that you may know that I am the LORD your God. 7And when you came to this place, Sihon the king of Heshbon and Og the king of Bashan came out against us to battle, but we defeated them. 8We took their land and gave it for an inheritance to the Reubenites, the Gadites, and the half-tribe of the Manassites. 9Therefore keep the words of this covenant and do them, that you may prosper[72] in all that you do.
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-10“You are standing today all of you before the LORD your God: the heads of your tribes,[73] your elders, and your officers, all the men of Israel, 11your little ones, your wives, and the sojourner who is in your camp, from the one who chops your wood to the one who draws your water, 12so that you may enter into the sworn covenant of the LORD your God, which the LORD your God is making with you today, 13that he may establish you today as his people, and that he may be your God, as he promised you, and as he swore to your fathers, to Abraham, to Isaac, and to Jacob. 14It is not with you alone that I am making this sworn covenant, 15but with whoever is standing here with us today before the LORD our God, and with whoever is not here with us today.
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-16“You know how we lived in the land of Egypt, and how we came through the midst of the nations through which you passed. 17And you have seen their detestable things, their idols of wood and stone, of silver and gold, which were among them. 18Beware lest there be among you a man or woman or clan or tribe whose heart is turning away today from the LORD our God to go and serve the gods of those nations. Beware lest there be among you a root bearing poisonous and bitter fruit, 19one who, when he hears the words of this sworn covenant, blesses himself in his heart, saying, ‘I shall be safe, though I walk in the stubbornness of my heart.’ This will lead to the sweeping away of moist and dry alike. 20The LORD will not be willing to forgive him, but rather the anger of the LORD and his jealousy will smoke against that man, and the curses written in this book will settle upon him, and the LORD will blot out his name from under heaven. 21And the LORD will single him out from all the tribes of Israel for calamity, in accordance with all the curses of the covenant written in this Book of the Law. 22And the next generation, your children who rise up after you, and the foreigner who comes from a far land, will say, when they see the afflictions of that land and the sicknesses with which the LORD has made it sick— 23the whole land burned out with brimstone and salt, nothing sown and nothing growing, where no plant can sprout, an overthrow like that of Sodom and Gomorrah, Admah, and Zeboiim, which the LORD overthrew in his anger and wrath— 24all the nations will say, ‘Why has the LORD done thus to this land? What caused the heat of this great anger?’ 25Then people will say, ‘It is because they abandoned the covenant of the LORD, the God of their fathers, which he made with them when he brought them out of the land of Egypt, 26and went and served other gods and worshiped them, gods whom they had not known and whom he had not allotted to them. 27Therefore the anger of the LORD was kindled against this land, bringing upon it all the curses written in this book, 28and the LORD uprooted them from their land in anger and fury and great wrath, and cast them into another land, as they are this day.’
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-29“The secret things belong to the LORD our God, but the things that are revealed belong to us and to our children forever, that we may do all the words of this law.
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-Repentance and Forgiveness
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-30:1 “And when all these things come upon you, the blessing and the curse, which I have set before you, and you call them to mind among all the nations where the LORD your God has driven you, 2and return to the LORD your God, you and your children, and obey his voice in all that I command you today, with all your heart and with all your soul, 3then the LORD your God will restore your fortunes and have compassion on you, and he will gather you again from all the peoples where the LORD your God has scattered you. 4If your outcasts are in the uttermost parts of heaven, from there the LORD your God will gather you, and from there he will take you. 5And the LORD your God will bring you into the land that your fathers possessed, that you may possess it. And he will make you more prosperous and numerous than your fathers. 6And the LORD your God will circumcise your heart and the heart of your offspring, so that you will love the LORD your God with all your heart and with all your soul, that you may live. 7And the LORD your God will put all these curses on your foes and enemies who persecuted you. 8And you shall again obey the voice of the LORD and keep all his commandments that I command you today. 9The LORD your God will make you abundantly prosperous in all the work of your hand, in the fruit of your womb and in the fruit of your cattle and in the fruit of your ground. For the LORD will again take delight in prospering you, as he took delight in your fathers, 10when you obey the voice of the LORD your God, to keep his commandments and his statutes that are written in this Book of the Law, when you turn to the LORD your God with all your heart and with all your soul.
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-The Choice of Life and Death
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-11“For this commandment that I command you today is not too hard for you, neither is it far off. 12It is not in heaven, that you should say, ‘Who will ascend to heaven for us and bring it to us, that we may hear it and do it?’ 13Neither is it beyond the sea, that you should say, ‘Who will go over the sea for us and bring it to us, that we may hear it and do it?’ 14But the word is very near you. It is in your mouth and in your heart, so that you can do it.
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-15“See, I have set before you today life and good, death and evil. 16If you obey the commandments of the LORD your God[74] that I command you today, by loving the LORD your God, by walking in his ways, and by keeping his commandments and his statutes and his rules,[75] then you shall live and multiply, and the LORD your God will bless you in the land that you are entering to take possession of it. 17But if your heart turns away, and you will not hear, but are drawn away to worship other gods and serve them, 18I declare to you today, that you shall surely perish. You shall not live long in the land that you are going over the Jordan to enter and possess. 19I call heaven and earth to witness against you today, that I have set before you life and death, blessing and curse. Therefore choose life, that you and your offspring may live, 20loving the LORD your God, obeying his voice and holding fast to him, for he is your life and length of days, that you may dwell in the land that the LORD swore to your fathers, to Abraham, to Isaac, and to Jacob, to give them.”
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-Joshua to Succeed Moses
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-31:1 So Moses continued to speak these words to all Israel. 2And he said to them, “I am 120 years old today. I am no longer able to go out and come in. The LORD has said to me, ‘You shall not go over this Jordan.’ 3The LORD your God himself will go over before you. He will destroy these nations before you, so that you shall dispossess them, and Joshua will go over at your head, as the LORD has spoken. 4And the LORD will do to them as he did to Sihon and Og, the kings of the Amorites, and to their land, when he destroyed them. 5And the LORD will give them over to you, and you shall do to them according to the whole commandment that I have commanded you. 6Be strong and courageous. Do not fear or be in dread of them, for it is the LORD your God who goes with you. He will not leave you or forsake you.”
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-7Then Moses summoned Joshua and said to him in the sight of all Israel, “Be strong and courageous, for you shall go with this people into the land that the LORD has sworn to their fathers to give them, and you shall put them in possession of it. 8It is the LORD who goes before you. He will be with you; he will not leave you or forsake you. Do not fear or be dismayed.”
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-The Reading of the Law
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-9Then Moses wrote this law and gave it to the priests, the sons of Levi, who carried the ark of the covenant of the LORD, and to all the elders of Israel. 10And Moses commanded them, “At the end of every seven years, at the set time in the year of release, at the Feast of Booths, 11when all Israel comes to appear before the LORD your God at the place that he will choose, you shall read this law before all Israel in their hearing. 12Assemble the people, men, women, and little ones, and the sojourner within your towns, that they may hear and learn to fear the LORD your God, and be careful to do all the words of this law, 13and that their children, who have not known it, may hear and learn to fear the LORD your God, as long as you live in the land that you are going over the Jordan to possess.”
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-Joshua Commissioned to Lead Israel
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-14And the LORD said to Moses, “Behold, the days approach when you must die. Call Joshua and present yourselves in the tent of meeting, that I may commission him.” And Moses and Joshua went and presented themselves in the tent of meeting. 15And the LORD appeared in the tent in a pillar of cloud. And the pillar of cloud stood over the entrance of the tent.
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-16And the LORD said to Moses, “Behold, you are about to lie down with your fathers. Then this people will rise and whore after the foreign gods among them in the land that they are entering, and they will forsake me and break my covenant that I have made with them. 17Then my anger will be kindled against them in that day, and I will forsake them and hide my face from them, and they will be devoured. And many evils and troubles will come upon them, so that they will say in that day, ‘Have not these evils come upon us because our God is not among us?’ 18And I will surely hide my face in that day because of all the evil that they have done, because they have turned to other gods.
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-19“Now therefore write this song and teach it to the people of Israel. Put it in their mouths, that this song may be a witness for me against the people of Israel. 20For when I have brought them into the land flowing with milk and honey, which I swore to give to their fathers, and they have eaten and are full and grown fat, they will turn to other gods and serve them, and despise me and break my covenant. 21And when many evils and troubles have come upon them, this song shall confront them as a witness (for it will live unforgotten in the mouths of their offspring). For I know what they are inclined to do even today, before I have brought them into the land that I swore to give.” 22So Moses wrote this song the same day and taught it to the people of Israel.
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-23And the LORD commissioned Joshua the son of Nun and said, “Be strong and courageous, for you shall bring the people of Israel into the land that I swore to give them. I will be with you.”
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-24When Moses had finished writing the words of this law in a book to the very end, 25Moses commanded the Levites who carried the ark of the covenant of the LORD, 26“Take this Book of the Law and put it by the side of the ark of the covenant of the LORD your God, that it may be there for a witness against you. 27For I know how rebellious and stubborn you are. Behold, even today while I am yet alive with you, you have been rebellious against the LORD. How much more after my death! 28Assemble to me all the elders of your tribes and your officers, that I may speak these words in their ears and call heaven and earth to witness against them. 29For I know that after my death you will surely act corruptly and turn aside from the way that I have commanded you. And in the days to come evil will befall you, because you will do what is evil in the sight of the LORD, provoking him to anger through the work of your hands.”
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-The Song of Moses
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-30Then Moses spoke the words of this song until they were finished, in the ears of all the assembly of Israel:
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-32:1 “Give ear, O heavens, and I will speak,
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-and let the earth hear the words of my mouth.
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-2May my teaching drop as the rain,
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-my speech distill as the dew,
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-like gentle rain upon the tender grass,
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-and like showers upon the herb.
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-3For I will proclaim the name of the LORD;
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-ascribe greatness to our God!
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-4“The Rock, his work is perfect,
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-for all his ways are justice.
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-A God of faithfulness and without iniquity,
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-just and upright is he.
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-5They have dealt corruptly with him;
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-they are no longer his children because they are blemished;
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-they are a crooked and twisted generation.
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-6Do you thus repay the LORD,
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-you foolish and senseless people?
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-Is not he your father, who created you,
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-who made you and established you?
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-7Remember the days of old;
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-consider the years of many generations;
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-ask your father, and he will show you,
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-your elders, and they will tell you.
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-8When the Most High gave to the nations their inheritance,
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-when he divided mankind,
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-he fixed the borders[76] of the peoples
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-according to the number of the sons of God.[77]
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-9But the LORD's portion is his people,
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-Jacob his allotted heritage.
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-10“He found him in a desert land,
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-and in the howling waste of the wilderness;
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-he encircled him, he cared for him,
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-he kept him as the apple of his eye.
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-11Like an eagle that stirs up its nest,
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-that flutters over its young,
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-spreading out its wings, catching them,
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-bearing them on its pinions,
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-12the LORD alone guided him,
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-no foreign god was with him.
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-13He made him ride on the high places of the land,
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-and he ate the produce of the field,
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-and he suckled him with honey out of the rock,
-
-and oil out of the flinty rock.
-
-14Curds from the herd, and milk from the flock,
-
-with fat[78] of lambs,
-
-rams of Bashan and goats,
-
-with the very finest[79] of the wheat—
-
-and you drank foaming wine made from the blood of the grape.
-
-15“But Jeshurun grew fat, and kicked;
-
-you grew fat, stout, and sleek;
-
-then he forsook God who made him
-
-and scoffed at the Rock of his salvation.
-
-16They stirred him to jealousy with strange gods;
-
-with abominations they provoked him to anger.
-
-17They sacrificed to demons that were no gods,
-
-to gods they had never known,
-
-to new gods that had come recently,
-
-whom your fathers had never dreaded.
-
-18You were unmindful of the Rock that bore[80] you,
-
-and you forgot the God who gave you birth.
-
-19“The LORD saw it and spurned them,
-
-because of the provocation of his sons and his daughters.
-
-20And he said, ‘I will hide my face from them;
-
-I will see what their end will be,
-
-For they are a perverse generation,
-
-children in whom is no faithfulness.
-
-21They have made me jealous with what is no god;
-
-they have provoked me to anger with their idols.
-
-So I will make them jealous with those who are no people;
-
-I will provoke them to anger with a foolish nation.
-
-22For a fire is kindled by my anger,
-
-and it burns to the depths of Sheol,
-
-devours the earth and its increase,
-
-and sets on fire the foundations of the mountains.
-
-23“‘And I will heap disasters upon them;
-
-I will spend my arrows on them;
-
-24they shall be wasted with hunger,
-
-and devoured by plague
-
-and poisonous pestilence;
-
-I will send the teeth of beasts against them,
-
-with the venom of things that crawl in the dust.
-
-25Outdoors the sword shall bereave,
-
-and indoors terror,
-
-for young man and woman alike,
-
-the nursing child with the man of gray hairs.
-
-26I would have said, “I will cut them to pieces;
-
-I will wipe them from human memory,”
-
-27had I not feared provocation by the enemy,
-
-lest their adversaries should misunderstand,
-
-lest they should say, “Our hand is triumphant,
-
-it was not the LORD who did all this.”’
-
-28“For they are a nation void of counsel,
-
-and there is no understanding in them.
-
-29If they were wise, they would understand this;
-
-they would discern their latter end!
-
-30How could one have chased a thousand,
-
-and two have put ten thousand to flight,
-
-unless their Rock had sold them,
-
-and the LORD had given them up?
-
-31For their rock is not as our Rock;
-
-our enemies are by themselves.
-
-32For their vine comes from the vine of Sodom
-
-and from the fields of Gomorrah;
-
-their grapes are grapes of poison;
-
-their clusters are bitter;
-
-33their wine is the poison of serpents
-
-and the cruel venom of asps.
-
-34“‘Is not this laid up in store with me,
-
-sealed up in my treasuries?
-
-35Vengeance is mine, and recompense,[81]
-
-for the time when their foot shall slip;
-
-for the day of their calamity is at hand,
-
-and their doom comes swiftly.’
-
-36For the LORD will vindicate[82] his people
-
-and have compassion on his servants,
-
-when he sees that their power is gone
-
-and there is none remaining, bond or free.
-
-37Then he will say, ‘Where are their gods,
-
-the rock in which they took refuge,
-
-38who ate the fat of their sacrifices
-
-and drank the wine of their drink offering?
-
-Let them rise up and help you;
-
-let them be your protection!
-
-39“‘See now that I, even I, am he,
-
-and there is no god beside me;
-
-I kill and I make alive;
-
-I wound and I heal;
-
-and there is none that can deliver out of my hand.
-
-40For I lift up my hand to heaven
-
-and swear, As I live forever,
-
-41if I sharpen my flashing sword[83]
-
-and my hand takes hold on judgment,
-
-I will take vengeance on my adversaries
-
-and will repay those who hate me.
-
-42I will make my arrows drunk with blood,
-
-and my sword shall devour flesh—
-
-with the blood of the slain and the captives,
-
-from the long-haired heads of the enemy.’
-
-43“Rejoice with him, O heavens;
-
-bow down to him, all gods,[84]
-
-for he avenges the blood of his children[85]
-
-and takes vengeance on his adversaries.
-
-He repays those who hate him[86]
-
-and cleanses[87] his people's land.”[88]
-
-44Moses came and recited all the words of this song in the hearing of the people, he and Joshua[89] the son of Nun. 45And when Moses had finished speaking all these words to all Israel, 46he said to them, “Take to heart all the words by which I am warning you today, that you may command them to your children, that they may be careful to do all the words of this law. 47For it is no empty word for you, but your very life, and by this word you shall live long in the land that you are going over the Jordan to possess.”
-
-
-
-
-
-Moses' Death Foretold
-
-
-48That very day the LORD spoke to Moses, 49“Go up this mountain of the Abarim, Mount Nebo, which is in the land of Moab, opposite Jericho, and view the land of Canaan, which I am giving to the people of Israel for a possession. 50And die on the mountain which you go up, and be gathered to your people, as Aaron your brother died in Mount Hor and was gathered to his people, 51because you broke faith with me in the midst of the people of Israel at the waters of Meribah-kadesh, in the wilderness of Zin, and because you did not treat me as holy in the midst of the people of Israel. 52For you shall see the land before you, but you shall not go there, into the land that I am giving to the people of Israel.”
-
-
-
-
-
-Moses' Final Blessing on Israel
-
-
-33:1 This is the blessing with which Moses the man of God blessed the people of Israel before his death. 2He said,
-
-“The LORD came from Sinai
-
-and dawned from Seir upon us;[90]
-
-he shone forth from Mount Paran;
-
-he came from the ten thousands of holy ones,
-
-with flaming fire[91] at his right hand.
-
-3Yes, he loved his people,[92]
-
-all his holy ones were in his[93] hand;
-
-so they followed[94] in your steps,
-
-receiving direction from you,
-
-4when Moses commanded us a law,
-
-as a possession for the assembly of Jacob.
-
-5Thus the LORD became king in Jeshurun,
-
-when the heads of the people were gathered,
-
-all the tribes of Israel together.
-
-6“Let Reuben live, and not die,
-
-but let his men be few.”
-
-7And this he said of Judah:
-
-“Hear, O LORD, the voice of Judah,
-
-and bring him in to his people.
-
-With your hands contend[95] for him,
-
-and be a help against his adversaries.”
-
-8And of Levi he said,
-
-“Give to Levi[96] your Thummim,
-
-and your Urim to your godly one,
-
-whom you tested at Massah,
-
-with whom you quarreled at the waters of Meribah;
-
-9who said of his father and mother,
-
-‘I regard them not’;
-
-he disowned his brothers
-
-and ignored his children.
-
-For they observed your word
-
-and kept your covenant.
-
-10They shall teach Jacob your rules
-
-and Israel your law;
-
-they shall put incense before you
-
-and whole burnt offerings on your altar.
-
-11Bless, O LORD, his substance,
-
-and accept the work of his hands;
-
-crush the loins of his adversaries,
-
-of those who hate him, that they rise not again.”
-
-12Of Benjamin he said,
-
-“The beloved of the LORD dwells in safety.
-
-The High God[97] surrounds him all day long,
-
-and dwells between his shoulders.”
-
-13And of Joseph he said,
-
-“Blessed by the LORD be his land,
-
-with the choicest gifts of heaven above,[98]
-
-and of the deep that crouches beneath,
-
-14with the choicest fruits of the sun
-
-and the rich yield of the months,
-
-15with the finest produce of the ancient mountains
-
-and the abundance of the everlasting hills,
-
-16with the best gifts of the earth and its fullness
-
-and the favor of him who dwells in the bush.
-
-May these rest on the head of Joseph,
-
-on the pate of him who is prince among his brothers.
-
-17A firstborn bull[99]—he has majesty,
-
-and his horns are the horns of a wild ox;
-
-with them he shall gore the peoples,
-
-all of them, to the ends of the earth;
-
-they are the ten thousands of Ephraim,
-
-and they are the thousands of Manasseh.”
-
-18And of Zebulun he said,
-
-“Rejoice, Zebulun, in your going out,
-
-and Issachar, in your tents.
-
-19They shall call peoples to their mountain;
-
-there they offer right sacrifices;
-
-for they draw from the abundance of the seas
-
-and the hidden treasures of the sand.”
-
-20And of Gad he said,
-
-“Blessed be he who enlarges Gad!
-
-Gad crouches like a lion;
-
-he tears off arm and scalp.
-
-21He chose the best of the land for himself,
-
-for there a commander's portion was reserved;
-
-and he came with the heads of the people,
-
-with Israel he executed the justice of the LORD,
-
-and his judgments for Israel.”
-
-22And of Dan he said,
-
-“Dan is a lion's cub
-
-that leaps from Bashan.”
-
-23And of Naphtali he said,
-
-“O Naphtali, sated with favor,
-
-and full of the blessing of the LORD,
-
-possess the lake[100] and the south.”
-
-24And of Asher he said,
-
-“Most blessed of sons be Asher;
-
-let him be the favorite of his brothers,
-
-and let him dip his foot in oil.
-
-25Your bars shall be iron and bronze,
-
-and as your days, so shall your strength be.
-
-26“There is none like God, O Jeshurun,
-
-who rides through the heavens to your help,
-
-through the skies in his majesty.
-
-27The eternal God is your dwelling place,[101]
-
-and underneath are the everlasting arms.[102]
-
-And he thrust out the enemy before you
-
-and said, Destroy.
-
-28So Israel lived in safety,
-
-Jacob lived alone,[103]
-
-in a land of grain and wine,
-
-whose heavens drop down dew.
-
-29Happy are you, O Israel! Who is like you,
-
-a people saved by the LORD,
-
-the shield of your help,
-
-and the sword of your triumph!
-
-Your enemies shall come fawning to you,
-
-and you shall tread upon their backs.”
-
-
-
-
-
-The Death of Moses
-
-
-34:1 Then Moses went up from the plains of Moab to Mount Nebo, to the top of Pisgah, which is opposite Jericho. And the LORD showed him all the land, Gilead as far as Dan, 2all Naphtali, the land of Ephraim and Manasseh, all the land of Judah as far as the western sea, 3the Negeb, and the Plain, that is, the Valley of Jericho the city of palm trees, as far as Zoar. 4And the LORD said to him, “This is the land of which I swore to Abraham, to Isaac, and to Jacob, ‘I will give it to your offspring.’ I have let you see it with your eyes, but you shall not go over there.” 5So Moses the servant of the LORD died there in the land of Moab, according to the word of the LORD, 6and he buried him in the valley in the land of Moab opposite Beth-peor; but no one knows the place of his burial to this day. 7Moses was 120 years old when he died. His eye was undimmed, and his vigor unabated. 8And the people of Israel wept for Moses in the plains of Moab thirty days. Then the days of weeping and mourning for Moses were ended.
-
-9And Joshua the son of Nun was full of the spirit of wisdom, for Moses had laid his hands on him. So the people of Israel obeyed him and did as the LORD had commanded Moses. 10And there has not arisen a prophet since in Israel like Moses, whom the LORD knew face to face, 11none like him for all the signs and the wonders that the LORD sent him to do in the land of Egypt, to Pharaoh and to all his servants and to all his land, 12and for all the mighty power and all the great deeds of terror that Moses did in the sight of all Israel.
-
-
-
-
-
-Footnotes
-
-
-[1] 2:21 Hebrew them
-
-[2] 2:34 That is, set apart (devoted) as an offering to the Lord (for destruction)
-
-[3] 3:6 That is, set apart (devoted) as an offering to the Lord (for destruction); twice in this verse
-
-[4] 3:11 A cubit was about 18 inches or 45 centimeters
-
-[5] 3:11 Hebrew cubit of a man
-
-[6] 4:1 Or just decrees; also verses 5, 8, 14, 45
-
-[7] 4:13 Hebrew words
-
-[8] 4:37 Hebrew his offspring after him
-
-[9] 4:48 Syriac; Hebrew Sion
-
-[10] 5:7 Or besides
-
-[11] 5:10 Or to the thousandth generation
-
-[12] 5:15 Or servant
-
-[13] 5:17 The Hebrew word also covers causing human death through carelessness or negligence
-
-[14] 5:29 Or sons
-
-[15] 6:1 Or just decrees; also verse 20
-
-[16] 6:4 Or The LORD our God is one LORD; or The LORD is our God, the LORD is one; or The LORD is our God, the LORD alone
-
-[17] 7:2 That is, set apart (devote) as an offering to the Lord (for destruction)
-
-[18] 7:22 Or quickly
-
-[19] 7:26 That is, set apart (devoted) as an offering to the Lord (for destruction); twice in this verse
-
-[20] 8:3 Hebrew by all
-
-[21] 9:16 Hebrew cast-metal
-
-[22] 10:4 Hebrew words
-
-[23] 10:6 Or the wells of the Bene-jaakan
-
-[24] 11:2 Or instruction
-
-[25] 11:10 Hebrew watered it with your feet
-
-[26] 11:14 Samaritan, Septuagint, Vulgate; Hebrew I; also verse 15
-
-[27] 11:24 Hebrew and
-
-[28] 11:30 Septuagint, Syriac; see Genesis 12:6. Hebrew oaks, or terebinths
-
-[29] 12:5 Or name as its habitation
-
-[30] 12:32 Ch 13:1 in Hebrew
-
-[31] 13:5 Or evil person
-
-[32] 13:6 Hebrew the wife of your bosom
-
-[33] 13:15 That is, setting apart (devoting) as an offering to the Lord (for destruction)
-
-[34] 14:5 Or addax
-
-[35] 14:12 The identity of many of these birds is uncertain
-
-[36] 15:9 Or be evil; also verse 10
-
-[37] 15:12 Or sells himself
-
-[38] 17:7 Septuagint drive out; also verse 12
-
-[39] 17:7 Or evil person; also verse 12
-
-[40] 17:18 Hebrew from before
-
-[41] 18:1 Or the offerings by fire to the LORD
-
-[42] 18:1 Hebrew his
-
-[43] 18:6 Or lives—if he comes enthusiastically
-
-[44] 18:8 The meaning of the Hebrew is uncertain
-
-[45] 18:10 Hebrew makes his son or his daughter pass through the fire
-
-[46] 18:20 Or and
-
-[47] 19:3 Hebrew road
-
-[48] 19:13 Or the blood of the innocent
-
-[49] 19:19 Or evil person
-
-[50] 20:17 That is, set apart (devote) as an offering to the Lord (for destruction)
-
-[51] 21:15 Or hated; also verses 16, 17
-
-[52] 22:9 Hebrew become holy
-
-[53] 22:18 Or discipline
-
-[54] 22:19 A shekel was about 2/5 ounce or 11 grams
-
-[55] 22:19 Or girl of marriageable age
-
-[56] 22:30 Ch 23:1 in Hebrew
-
-[57] 22:30 Hebrew uncover his father's skirt
-
-[58] 23:18 Or male prostitute
-
-[59] 24:8 Leprosy was a term for several skin diseases; see Leviticus 13
-
-[60] 25:10 Hebrew its name
-
-[61] 25:15 Or just, or righteous; twice in this verse
-
-[62] 26:8 Hebrew with great terror
-
-[63] 27:6 Hebrew whole
-
-[64] 27:20 Hebrew uncovered his father's skirt
-
-[65] 28:22 Or sword
-
-[66] 28:29 Or shall not succeed in finding your ways
-
-[67] 28:42 Identity uncertain
-
-[68] 28:54 Hebrew the wife of his bosom
-
-[69] 28:56 Hebrew the husband of her bosom
-
-[70] 29:1 Ch 28:69 in Hebrew
-
-[71] 29:2 Ch 29:1 in Hebrew
-
-[72] 29:9 Or deal wisely
-
-[73] 29:10 Septuagint, Syriac; Hebrew your heads, your tribes
-
-[74] 30:16 Septuagint; Hebrew lacks If you obey the commandments of the LORD your God
-
-[75] 30:16 Or his just decrees
-
-[76] 32:8 Or territories
-
-[77] 32:8 Compare Dead Sea Scroll, Septuagint; Masoretic Text Israel
-
-[78] 32:14 That is, with the best
-
-[79] 32:14 Hebrew with the kidney fat
-
-[80] 32:18 Or fathered
-
-[81] 32:35 Septuagint and I will repay
-
-[82] 32:36 Septuagint judge
-
-[83] 32:41 Hebrew the lightning of my sword
-
-[84] 32:43 Dead Sea Scroll, Septuagint; Masoretic Text Rejoice his people, O nations
-
-[85] 32:43 Dead Sea Scroll, Septuagint; Masoretic Text servants
-
-[86] 32:43 Dead Sea Scroll, Septuagint; Masoretic Text lacks He repays those who hate him
-
-[87] 32:43 Or atones for
-
-[88] 32:43 Septuagint, Vulgate; Hebrew his land his people
-
-[89] 32:44 Septuagint, Syriac, Vulgate; Hebrew Hoshea
-
-[90] 33:2 Septuagint, Syriac, Vulgate; Hebrew them
-
-[91] 33:2 The meaning of the Hebrew word is uncertain
-
-[92] 33:3 Septuagint; Hebrew peoples
-
-[93] 33:3 Hebrew your
-
-[94] 33:3 The meaning of the Hebrew word is uncertain
-
-[95] 33:7 Probable reading; Hebrew With his hands he contended
-
-[96] 33:8 Dead Sea Scroll, Septuagint; Masoretic Text lacks Give to Levi
-
-[97] 33:12 Septuagint; Hebrew dwells in safety by him. He
-
-[98] 33:13 Two Hebrew manuscripts and Targum; Hebrew with the dew
-
-[99] 33:17 Dead Sea Scroll, Septuagint, Samaritan; Masoretic Text His firstborn bull
-
-[100] 33:23 Or west
-
-[101] 33:27 Or a dwelling place
-
-[102] 33:27 Revocalization of verse 27 yields He subdues the ancient gods, and shatters the forces of old
-
-[103] 33:28 Hebrew the abode of Jacob was alone
-
-
-
-
-
-JOSHUA
-
-
-Chapter 1
-
-Chapter 2
-
-Chapter 3
-
-Chapter 4
-
-Chapter 5
-
-Chapter 6
-
-Chapter 7
-
-Chapter 8
-
-Chapter 9
-
-Chapter 10
-
-Chapter 11
-
-Chapter 12
-
-Chapter 13
-
-Chapter 14
-
-Chapter 15
-
-Chapter 16
-
-Chapter 17
-
-Chapter 18
-
-Chapter 19
-
-Chapter 20
-
-Chapter 21
-
-Chapter 22
-
-Chapter 23
-
-Chapter 24
-
-
-
-
-
-God Commissions Joshua
-
-
-1:1 After the death of Moses the servant of the LORD, the LORD said to Joshua the son of Nun, Moses' assistant, 2“Moses my servant is dead. Now therefore arise, go over this Jordan, you and all this people, into the land that I am giving to them, to the people of Israel. 3Every place that the sole of your foot will tread upon I have given to you, just as I promised to Moses. 4From the wilderness and this Lebanon as far as the great river, the river Euphrates, all the land of the Hittites to the Great Sea toward the going down of the sun shall be your territory. 5No man shall be able to stand before you all the days of your life. Just as I was with Moses, so I will be with you. I will not leave you or forsake you. 6Be strong and courageous, for you shall cause this people to inherit the land that I swore to their fathers to give them. 7Only be strong and very courageous, being careful to do according to all the law that Moses my servant commanded you. Do not turn from it to the right hand or to the left, that you may have good success[1] wherever you go. 8This Book of the Law shall not depart from your mouth, but you shall meditate on it day and night, so that you may be careful to do according to all that is written in it. For then you will make your way prosperous, and then you will have good success. 9Have I not commanded you? Be strong and courageous. Do not be frightened, and do not be dismayed, for the LORD your God is with you wherever you go.”
-
-
-
-
-
-Joshua Assumes Command
-
-
-10And Joshua commanded the officers of the people, 11“Pass through the midst of the camp and command the people, ‘Prepare your provisions, for within three days you are to pass over this Jordan to go in to take possession of the land that the LORD your God is giving you to possess.’”
-
-12And to the Reubenites, the Gadites, and the half-tribe of Manasseh Joshua said, 13“Remember the word that Moses the servant of the LORD commanded you, saying, ‘The LORD your God is providing you a place of rest and will give you this land.’ 14Your wives, your little ones, and your livestock shall remain in the land that Moses gave you beyond the Jordan, but all the men of valor among you shall pass over armed before your brothers and shall help them, 15until the LORD gives rest to your brothers as he has to you, and they also take possession of the land that the LORD your God is giving them. Then you shall return to the land of your possession and shall possess it, the land that Moses the servant of the LORD gave you beyond the Jordan toward the sunrise.”
-
-16And they answered Joshua, “All that you have commanded us we will do, and wherever you send us we will go. 17Just as we obeyed Moses in all things, so we will obey you. Only may the LORD your God be with you, as he was with Moses! 18Whoever rebels against your commandment and disobeys your words, whatever you command him, shall be put to death. Only be strong and courageous.”
-
-
-
-
-
-Rahab Hides the Spies
-
-
-2:1 And Joshua the son of Nun sent[2] two men secretly from Shittim as spies, saying, “Go, view the land, especially Jericho.” And they went and came into the house of a prostitute whose name was Rahab and lodged there. 2And it was told to the king of Jericho, “Behold, men of Israel have come here tonight to search out the land.” 3Then the king of Jericho sent to Rahab, saying, “Bring out the men who have come to you, who entered your house, for they have come to search out all the land.” 4But the woman had taken the two men and hidden them. And she said, “True, the men came to me, but I did not know where they were from. 5And when the gate was about to be closed at dark, the men went out. I do not know where the men went. Pursue them quickly, for you will overtake them.” 6But she had brought them up to the roof and hid them with the stalks of flax that she had laid in order on the roof. 7So the men pursued after them on the way to the Jordan as far as the fords. And the gate was shut as soon as the pursuers had gone out.
-
-8Before the men[3] lay down, she came up to them on the roof 9and said to the men, “I know that the LORD has given you the land, and that the fear of you has fallen upon us, and that all the inhabitants of the land melt away before you. 10For we have heard how the LORD dried up the water of the Red Sea before you when you came out of Egypt, and what you did to the two kings of the Amorites who were beyond the Jordan, to Sihon and Og, whom you devoted to destruction.[4] 11And as soon as we heard it, our hearts melted, and there was no spirit left in any man because of you, for the LORD your God, he is God in the heavens above and on the earth beneath. 12Now then, please swear to me by the LORD that, as I have dealt kindly with you, you also will deal kindly with my father's house, and give me a sure sign 13that you will save alive my father and mother, my brothers and sisters, and all who belong to them, and deliver our lives from death.” 14And the men said to her, “Our life for yours even to death! If you do not tell this business of ours, then when the LORD gives us the land we will deal kindly and faithfully with you.”
-
-15Then she let them down by a rope through the window, for her house was built into the city wall, so that she lived in the wall. 16And she said[5] to them, “Go into the hills, or the pursuers will encounter you, and hide there three days until the pursuers have returned. Then afterward you may go your way.” 17The men said to her, “We will be guiltless with respect to this oath of yours that you have made us swear. 18Behold, when we come into the land, you shall tie this scarlet cord in the window through which you let us down, and you shall gather into your house your father and mother, your brothers, and all your father's household. 19Then if anyone goes out of the doors of your house into the street, his blood shall be on his own head, and we shall be guiltless. But if a hand is laid on anyone who is with you in the house, his blood shall be on our head. 20But if you tell this business of ours, then we shall be guiltless with respect to your oath that you have made us swear.” 21And she said, “According to your words, so be it.” Then she sent them away, and they departed. And she tied the scarlet cord in the window.
-
-22They departed and went into the hills and remained there three days until the pursuers returned, and the pursuers searched all along the way and found nothing. 23Then the two men returned. They came down from the hills and passed over and came to Joshua the son of Nun, and they told him all that had happened to them. 24And they said to Joshua, “Truly the LORD has given all the land into our hands. And also, all the inhabitants of the land melt away because of us.”
-
-
-
-
-
-Israel Crosses the Jordan
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-3:1 Then Joshua rose early in the morning and they set out from Shittim. And they came to the Jordan, he and all the people of Israel, and lodged there before they passed over. 2At the end of three days the officers went through the camp 3and commanded the people, “As soon as you see the ark of the covenant of the LORD your God being carried by the Levitical priests, then you shall set out from your place and follow it. 4Yet there shall be a distance between you and it, about 2,000 cubits[6] in length. Do not come near it, in order that you may know the way you shall go, for you have not passed this way before.” 5Then Joshua said to the people, “Consecrate yourselves, for tomorrow the LORD will do wonders among you.” 6And Joshua said to the priests, “Take up the ark of the covenant and pass on before the people.” So they took up the ark of the covenant and went before the people.
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-7The LORD said to Joshua, “Today I will begin to exalt you in the sight of all Israel, that they may know that, as I was with Moses, so I will be with you. 8And as for you, command the priests who bear the ark of the covenant, ‘When you come to the brink of the waters of the Jordan, you shall stand still in the Jordan.’” 9And Joshua said to the people of Israel, “Come here and listen to the words of the LORD your God.” 10And Joshua said, “Here is how you shall know that the living God is among you and that he will without fail drive out from before you the Canaanites, the Hittites, the Hivites, the Perizzites, the Girgashites, the Amorites, and the Jebusites. 11Behold, the ark of the covenant of the Lord of all the earth[7] is passing over before you into the Jordan. 12Now therefore take twelve men from the tribes of Israel, from each tribe a man. 13And when the soles of the feet of the priests bearing the ark of the LORD, the Lord of all the earth, shall rest in the waters of the Jordan, the waters of the Jordan shall be cut off from flowing, and the waters coming down from above shall stand in one heap.”
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-14So when the people set out from their tents to pass over the Jordan with the priests bearing the ark of the covenant before the people, 15and as soon as those bearing the ark had come as far as the Jordan, and the feet of the priests bearing the ark were dipped in the brink of the water (now the Jordan overflows all its banks throughout the time of harvest), 16the waters coming down from above stood and rose up in a heap very far away, at Adam, the city that is beside Zarethan, and those flowing down toward the Sea of the Arabah, the Salt Sea, were completely cut off. And the people passed over opposite Jericho. 17Now the priests bearing the ark of the covenant of the LORD stood firmly on dry ground in the midst of the Jordan, and all Israel was passing over on dry ground until all the nation finished passing over the Jordan.
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-Twelve Memorial Stones from the Jordan
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-4:1 When all the nation had finished passing over the Jordan, the LORD said to Joshua, 2“Take twelve men from the people, from each tribe a man, 3and command them, saying, ‘Take twelve stones from here out of the midst of the Jordan, from the very place where the priests' feet stood firmly, and bring them over with you and lay them down in the place where you lodge tonight.’” 4Then Joshua called the twelve men from the people of Israel, whom he had appointed, a man from each tribe. 5And Joshua said to them, “Pass on before the ark of the LORD your God into the midst of the Jordan, and take up each of you a stone upon his shoulder, according to the number of the tribes of the people of Israel, 6that this may be a sign among you. When your children ask in time to come, ‘What do those stones mean to you?’ 7then you shall tell them that the waters of the Jordan were cut off before the ark of the covenant of the LORD. When it passed over the Jordan, the waters of the Jordan were cut off. So these stones shall be to the people of Israel a memorial forever.”
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-8And the people of Israel did just as Joshua commanded and took up twelve stones out of the midst of the Jordan, according to the number of the tribes of the people of Israel, just as the LORD told Joshua. And they carried them over with them to the place where they lodged and laid them down[8] there. 9And Joshua set up twelve stones in the midst of the Jordan, in the place where the feet of the priests bearing the ark of the covenant had stood; and they are there to this day. 10For the priests bearing the ark stood in the midst of the Jordan until everything was finished that the LORD commanded Joshua to tell the people, according to all that Moses had commanded Joshua.
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-The people passed over in haste. 11And when all the people had finished passing over, the ark of the LORD and the priests passed over before the people. 12The sons of Reuben and the sons of Gad and the half-tribe of Manasseh passed over armed before the people of Israel, as Moses had told them. 13About 40,000 ready for war passed over before the LORD for battle, to the plains of Jericho. 14On that day the LORD exalted Joshua in the sight of all Israel, and they stood in awe of him just as they had stood in awe of Moses, all the days of his life.
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-15And the LORD said to Joshua, 16“Command the priests bearing the ark of the testimony to come up out of the Jordan.” 17So Joshua commanded the priests, “Come up out of the Jordan.” 18And when the priests bearing the ark of the covenant of the LORD came up from the midst of the Jordan, and the soles of the priests' feet were lifted up on dry ground, the waters of the Jordan returned to their place and overflowed all its banks, as before.
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-19The people came up out of the Jordan on the tenth day of the first month, and they encamped at Gilgal on the east border of Jericho. 20And those twelve stones, which they took out of the Jordan, Joshua set up at Gilgal. 21And he said to the people of Israel, “When your children ask their fathers in times to come, ‘What do these stones mean?’ 22then you shall let your children know, ‘Israel passed over this Jordan on dry ground.’ 23For the LORD your God dried up the waters of the Jordan for you until you passed over, as the LORD your God did to the Red Sea, which he dried up for us until we passed over, 24so that all the peoples of the earth may know that the hand of the LORD is mighty, that you may fear the LORD your God forever.”[9]
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-The New Generation Circumcised
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-5:1 As soon as all the kings of the Amorites who were beyond the Jordan to the west, and all the kings of the Canaanites who were by the sea, heard that the LORD had dried up the waters of the Jordan for the people of Israel until they had crossed over, their hearts melted and there was no longer any spirit in them because of the people of Israel.
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-2At that time the LORD said to Joshua, “Make flint knives and circumcise the sons of Israel a second time.” 3So Joshua made flint knives and circumcised the sons of Israel at Gibeath-haaraloth.[10] 4And this is the reason why Joshua circumcised them: all the males of the people who came out of Egypt, all the men of war, had died in the wilderness on the way after they had come out of Egypt. 5Though all the people who came out had been circumcised, yet all the people who were born on the way in the wilderness after they had come out of Egypt had not been circumcised. 6For the people of Israel walked forty years in the wilderness, until all the nation, the men of war who came out of Egypt, perished, because they did not obey the voice of the LORD; the LORD swore to them that he would not let them see the land that the LORD had sworn to their fathers to give to us, a land flowing with milk and honey. 7So it was their children, whom he raised up in their place, that Joshua circumcised. For they were uncircumcised, because they had not been circumcised on the way.
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-8When the circumcising of the whole nation was finished, they remained in their places in the camp until they were healed. 9And the LORD said to Joshua, “Today I have rolled away the reproach of Egypt from you.” And so the name of that place is called Gilgal[11] to this day.
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-First Passover in Canaan
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-10While the people of Israel were encamped at Gilgal, they kept the Passover on the fourteenth day of the month in the evening on the plains of Jericho. 11And the day after the Passover, on that very day, they ate of the produce of the land, unleavened cakes and parched grain. 12And the manna ceased the day after they ate of the produce of the land. And there was no longer manna for the people of Israel, but they ate of the fruit of the land of Canaan that year.
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-The Commander of the LORD's Army
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-13When Joshua was by Jericho, he lifted up his eyes and looked, and behold, a man was standing before him with his drawn sword in his hand. And Joshua went to him and said to him, “Are you for us, or for our adversaries?” 14And he said, “No; but I am the commander of the army of the LORD. Now I have come.” And Joshua fell on his face to the earth and worshiped and said to him, “What does my lord say to his servant?” 15And the commander of the LORD's army said to Joshua, “Take off your sandals from your feet, for the place where you are standing is holy.” And Joshua did so.
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-The Fall of Jericho
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-6:1 Now Jericho was shut up inside and outside because of the people of Israel. None went out, and none came in. 2And the LORD said to Joshua, “See, I have given Jericho into your hand, with its king and mighty men of valor. 3You shall march around the city, all the men of war going around the city once. Thus shall you do for six days. 4Seven priests shall bear seven trumpets of rams' horns before the ark. On the seventh day you shall march around the city seven times, and the priests shall blow the trumpets. 5And when they make a long blast with the ram's horn, when you hear the sound of the trumpet, then all the people shall shout with a great shout, and the wall of the city will fall down flat,[12] and the people shall go up, everyone straight before him.” 6So Joshua the son of Nun called the priests and said to them, “Take up the ark of the covenant and let seven priests bear seven trumpets of rams' horns before the ark of the LORD.” 7And he said to the people, “Go forward. March around the city and let the armed men pass on before the ark of the LORD.”
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-8And just as Joshua had commanded the people, the seven priests bearing the seven trumpets of rams' horns before the LORD went forward, blowing the trumpets, with the ark of the covenant of the LORD following them. 9The armed men were walking before the priests who were blowing the trumpets, and the rear guard was walking after the ark, while the trumpets blew continually. 10But Joshua commanded the people, “You shall not shout or make your voice heard, neither shall any word go out of your mouth, until the day I tell you to shout. Then you shall shout.” 11So he caused the ark of the LORD to circle the city, going about it once. And they came into the camp and spent the night in the camp.
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-12Then Joshua rose early in the morning, and the priests took up the ark of the LORD. 13And the seven priests bearing the seven trumpets of rams' horns before the ark of the LORD walked on, and they blew the trumpets continually. And the armed men were walking before them, and the rear guard was walking after the ark of the LORD, while the trumpets blew continually. 14And the second day they marched around the city once, and returned into the camp. So they did for six days.
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-15On the seventh day they rose early, at the dawn of day, and marched around the city in the same manner seven times. It was only on that day that they marched around the city seven times. 16And at the seventh time, when the priests had blown the trumpets, Joshua said to the people, “Shout, for the LORD has given you the city. 17And the city and all that is within it shall be devoted to the LORD for destruction.[13] Only Rahab the prostitute and all who are with her in her house shall live, because she hid the messengers whom we sent. 18But you, keep yourselves from the things devoted to destruction, lest when you have devoted them you take any of the devoted things and make the camp of Israel a thing for destruction and bring trouble upon it. 19But all silver and gold, and every vessel of bronze and iron, are holy to the LORD; they shall go into the treasury of the LORD.” 20So the people shouted, and the trumpets were blown. As soon as the people heard the sound of the trumpet, the people shouted a great shout, and the wall fell down flat, so that the people went up into the city, every man straight before him, and they captured the city. 21Then they devoted all in the city to destruction, both men and women, young and old, oxen, sheep, and donkeys, with the edge of the sword.
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-22But to the two men who had spied out the land, Joshua said, “Go into the prostitute's house and bring out from there the woman and all who belong to her, as you swore to her.” 23So the young men who had been spies went in and brought out Rahab and her father and mother and brothers and all who belonged to her. And they brought all her relatives and put them outside the camp of Israel. 24And they burned the city with fire, and everything in it. Only the silver and gold, and the vessels of bronze and of iron, they put into the treasury of the house of the LORD. 25But Rahab the prostitute and her father's household and all who belonged to her, Joshua saved alive. And she has lived in Israel to this day, because she hid the messengers whom Joshua sent to spy out Jericho.
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-26Joshua laid an oath on them at that time, saying, “Cursed before the LORD be the man who rises up and rebuilds this city, Jericho.
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-“At the cost of his firstborn shall he
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-lay its foundation,
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-and at the cost of his youngest son
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-shall he set up its gates.”
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-27So the LORD was with Joshua, and his fame was in all the land.
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-Israel Defeated at Ai
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-7:1 But the people of Israel broke faith in regard to the devoted things, for Achan the son of Carmi, son of Zabdi, son of Zerah, of the tribe of Judah, took some of the devoted things. And the anger of the LORD burned against the people of Israel.
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-2Joshua sent men from Jericho to Ai, which is near Beth-aven, east of Bethel, and said to them, “Go up and spy out the land.” And the men went up and spied out Ai. 3And they returned to Joshua and said to him, “Do not have all the people go up, but let about two or three thousand men go up and attack Ai. Do not make the whole people toil up there, for they are few.” 4So about 3,000 men went up there from the people. And they fled before the men of Ai, 5and the men of Ai killed about thirty-six of their men and chased them before the gate as far as Shebarim and struck them at the descent. And the hearts of the people melted and became as water.
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-6Then Joshua tore his clothes and fell to the earth on his face before the ark of the LORD until the evening, he and the elders of Israel. And they put dust on their heads. 7And Joshua said, “Alas, O Lord GOD, why have you brought this people over the Jordan at all, to give us into the hands of the Amorites, to destroy us? Would that we had been content to dwell beyond the Jordan! 8O Lord, what can I say, when Israel has turned their backs before their enemies! 9For the Canaanites and all the inhabitants of the land will hear of it and will surround us and cut off our name from the earth. And what will you do for your great name?”
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-The Sin of Achan
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-10The LORD said to Joshua, “Get up! Why have you fallen on your face? 11Israel has sinned; they have transgressed my covenant that I commanded them; they have taken some of the devoted things; they have stolen and lied and put them among their own belongings. 12Therefore the people of Israel cannot stand before their enemies. They turn their backs before their enemies, because they have become devoted for destruction.[14] I will be with you no more, unless you destroy the devoted things from among you. 13Get up! Consecrate the people and say, ‘Consecrate yourselves for tomorrow; for thus says the LORD, God of Israel, “There are devoted things in your midst, O Israel. You cannot stand before your enemies until you take away the devoted things from among you.” 14In the morning therefore you shall be brought near by your tribes. And the tribe that the LORD takes by lot shall come near by clans. And the clan that the LORD takes shall come near by households. And the household that the LORD takes shall come near man by man. 15And he who is taken with the devoted things shall be burned with fire, he and all that he has, because he has transgressed the covenant of the LORD, and because he has done an outrageous thing in Israel.’”
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-16So Joshua rose early in the morning and brought Israel near tribe by tribe, and the tribe of Judah was taken. 17And he brought near the clans of Judah, and the clan of the Zerahites was taken. And he brought near the clan of the Zerahites man by man, and Zabdi was taken. 18And he brought near his household man by man, and Achan the son of Carmi, son of Zabdi, son of Zerah, of the tribe of Judah, was taken. 19Then Joshua said to Achan, “My son, give glory to the LORD God of Israel and give praise[15] to him. And tell me now what you have done; do not hide it from me.” 20And Achan answered Joshua, “Truly I have sinned against the LORD God of Israel, and this is what I did: 21when I saw among the spoil a beautiful cloak from Shinar, and 200 shekels of silver, and a bar of gold weighing 50 shekels,[16] then I coveted them and took them. And see, they are hidden in the earth inside my tent, with the silver underneath.”
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-22So Joshua sent messengers, and they ran to the tent; and behold, it was hidden in his tent with the silver underneath. 23And they took them out of the tent and brought them to Joshua and to all the people of Israel. And they laid them down before the LORD. 24And Joshua and all Israel with him took Achan the son of Zerah, and the silver and the cloak and the bar of gold, and his sons and daughters and his oxen and donkeys and sheep and his tent and all that he had. And they brought them up to the Valley of Achor. 25And Joshua said, “Why did you bring trouble on us? The LORD brings trouble on you today.” And all Israel stoned him with stones. They burned them with fire and stoned them with stones. 26And they raised over him a great heap of stones that remains to this day. Then the LORD turned from his burning anger. Therefore, to this day the name of that place is called the Valley of Achor.[17]
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-The Fall of Ai
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-8:1 And the LORD said to Joshua, “Do not fear and do not be dismayed. Take all the fighting men with you, and arise, go up to Ai. See, I have given into your hand the king of Ai, and his people, his city, and his land. 2And you shall do to Ai and its king as you did to Jericho and its king. Only its spoil and its livestock you shall take as plunder for yourselves. Lay an ambush against the city, behind it.”
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-3So Joshua and all the fighting men arose to go up to Ai. And Joshua chose 30,000 mighty men of valor and sent them out by night. 4And he commanded them, “Behold, you shall lie in ambush against the city, behind it. Do not go very far from the city, but all of you remain ready. 5And I and all the people who are with me will approach the city. And when they come out against us just as before, we shall flee before them. 6And they will come out after us, until we have drawn them away from the city. For they will say, ‘They are fleeing from us, just as before.’ So we will flee before them. 7Then you shall rise up from the ambush and seize the city, for the LORD your God will give it into your hand. 8And as soon as you have taken the city, you shall set the city on fire. You shall do according to the word of the LORD. See, I have commanded you.” 9So Joshua sent them out. And they went to the place of ambush and lay between Bethel and Ai, to the west of Ai, but Joshua spent that night among the people.
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-10Joshua arose early in the morning and mustered the people and went up, he and the elders of Israel, before the people to Ai. 11And all the fighting men who were with him went up and drew near before the city and encamped on the north side of Ai, with a ravine between them and Ai. 12He took about 5,000 men and set them in ambush between Bethel and Ai, to the west of the city. 13So they stationed the forces, the main encampment that was north of the city and its rear guard west of the city. But Joshua spent that night in the valley. 14And as soon as the king of Ai saw this, he and all his people, the men of the city, hurried and went out early to the appointed place[18] toward the Arabah to meet Israel in battle. But he did not know that there was an ambush against him behind the city. 15And Joshua and all Israel pretended to be beaten before them and fled in the direction of the wilderness. 16So all the people who were in the city were called together to pursue them, and as they pursued Joshua they were drawn away from the city. 17Not a man was left in Ai or Bethel who did not go out after Israel. They left the city open and pursued Israel.
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-18Then the LORD said to Joshua, “Stretch out the javelin that is in your hand toward Ai, for I will give it into your hand.” And Joshua stretched out the javelin that was in his hand toward the city. 19And the men in the ambush rose quickly out of their place, and as soon as he had stretched out his hand, they ran and entered the city and captured it. And they hurried to set the city on fire. 20So when the men of Ai looked back, behold, the smoke of the city went up to heaven, and they had no power to flee this way or that, for the people who fled to the wilderness turned back against the pursuers. 21And when Joshua and all Israel saw that the ambush had captured the city, and that the smoke of the city went up, then they turned back and struck down the men of Ai. 22And the others came out from the city against them, so they were in the midst of Israel, some on this side, and some on that side. And Israel struck them down, until there was left none that survived or escaped. 23But the king of Ai they took alive, and brought him near to Joshua.
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-24When Israel had finished killing all the inhabitants of Ai in the open wilderness where they pursued them, and all of them to the very last had fallen by the edge of the sword, all Israel returned to Ai and struck it down with the edge of the sword. 25And all who fell that day, both men and women, were 12,000, all the people of Ai. 26But Joshua did not draw back his hand with which he stretched out the javelin until he had devoted all the inhabitants of Ai to destruction.[19] 27Only the livestock and the spoil of that city Israel took as their plunder, according to the word of the LORD that he commanded Joshua. 28So Joshua burned Ai and made it forever a heap of ruins, as it is to this day. 29And he hanged the king of Ai on a tree until evening. And at sunset Joshua commanded, and they took his body down from the tree and threw it at the entrance of the gate of the city and raised over it a great heap of stones, which stands there to this day.
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-Joshua Renews the Covenant
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-30At that time Joshua built an altar to the LORD, the God of Israel, on Mount Ebal, 31just as Moses the servant of the LORD had commanded the people of Israel, as it is written in the Book of the Law of Moses, “an altar of uncut stones, upon which no man has wielded an iron tool.” And they offered on it burnt offerings to the LORD and sacrificed peace offerings. 32And there, in the presence of the people of Israel, he wrote on the stones a copy of the law of Moses, which he had written. 33And all Israel, sojourner as well as native born, with their elders and officers and their judges, stood on opposite sides of the ark before the Levitical priests who carried the ark of the covenant of the LORD, half of them in front of Mount Gerizim and half of them in front of Mount Ebal, just as Moses the servant of the LORD had commanded at the first, to bless the people of Israel. 34And afterward he read all the words of the law, the blessing and the curse, according to all that is written in the Book of the Law. 35There was not a word of all that Moses commanded that Joshua did not read before all the assembly of Israel, and the women, and the little ones, and the sojourners who lived[20] among them.
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-The Gibeonite Deception
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-9:1 As soon as all the kings who were beyond the Jordan in the hill country and in the lowland all along the coast of the Great Sea toward Lebanon, the Hittites, the Amorites, the Canaanites, the Perizzites, the Hivites, and the Jebusites, heard of this, 2they gathered together as one to fight against Joshua and Israel.
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-3But when the inhabitants of Gibeon heard what Joshua had done to Jericho and to Ai, 4they on their part acted with cunning and went and made ready provisions and took worn-out sacks for their donkeys, and wineskins, worn-out and torn and mended, 5with worn-out, patched sandals on their feet, and worn-out clothes. And all their provisions were dry and crumbly. 6And they went to Joshua in the camp at Gilgal and said to him and to the men of Israel, “We have come from a distant country, so now make a covenant with us.” 7But the men of Israel said to the Hivites, “Perhaps you live among us; then how can we make a covenant with you?” 8They said to Joshua, “We are your servants.” And Joshua said to them, “Who are you? And where do you come from?” 9They said to him, “From a very distant country your servants have come, because of the name of the LORD your God. For we have heard a report of him, and all that he did in Egypt, 10and all that he did to the two kings of the Amorites who were beyond the Jordan, to Sihon the king of Heshbon, and to Og king of Bashan, who lived in Ashtaroth. 11So our elders and all the inhabitants of our country said to us, ‘Take provisions in your hand for the journey and go to meet them and say to them, “We are your servants. Come now, make a covenant with us.”’ 12Here is our bread. It was still warm when we took it from our houses as our food for the journey on the day we set out to come to you, but now, behold, it is dry and crumbly. 13These wineskins were new when we filled them, and behold, they have burst. And these garments and sandals of ours are worn out from the very long journey.” 14So the men took some of their provisions, but did not ask counsel from the LORD. 15And Joshua made peace with them and made a covenant with them, to let them live, and the leaders of the congregation swore to them.
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-16At the end of three days after they had made a covenant with them, they heard that they were their neighbors and that they lived among them. 17And the people of Israel set out and reached their cities on the third day. Now their cities were Gibeon, Chephirah, Beeroth, and Kiriath-jearim. 18But the people of Israel did not attack them, because the leaders of the congregation had sworn to them by the LORD, the God of Israel. Then all the congregation murmured against the leaders. 19But all the leaders said to all the congregation, “We have sworn to them by the LORD, the God of Israel, and now we may not touch them. 20This we will do to them: let them live, lest wrath be upon us, because of the oath that we swore to them.” 21And the leaders said to them, “Let them live.” So they became cutters of wood and drawers of water for all the congregation, just as the leaders had said of them.
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-22Joshua summoned them, and he said to them, “Why did you deceive us, saying, ‘We are very far from you,’ when you dwell among us? 23Now therefore you are cursed, and some of you shall never be anything but servants, cutters of wood and drawers of water for the house of my God.” 24They answered Joshua, “Because it was told to your servants for a certainty that the LORD your God had commanded his servant Moses to give you all the land and to destroy all the inhabitants of the land from before you—so we feared greatly for our lives because of you and did this thing. 25And now, behold, we are in your hand. Whatever seems good and right in your sight to do to us, do it.” 26So he did this to them and delivered them out of the hand of the people of Israel, and they did not kill them. 27But Joshua made them that day cutters of wood and drawers of water for the congregation and for the altar of the LORD, to this day, in the place that he should choose.
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-The Sun Stands Still
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-10:1 As soon as Adoni-zedek, king of Jerusalem, heard how Joshua had captured Ai and had devoted it to destruction,[21] doing to Ai and its king as he had done to Jericho and its king, and how the inhabitants of Gibeon had made peace with Israel and were among them, 2he[22] feared greatly, because Gibeon was a great city, like one of the royal cities, and because it was greater than Ai, and all its men were warriors. 3So Adoni-zedek king of Jerusalem sent to Hoham king of Hebron, to Piram king of Jarmuth, to Japhia king of Lachish, and to Debir king of Eglon, saying, 4“Come up to me and help me, and let us strike Gibeon. For it has made peace with Joshua and with the people of Israel.” 5Then the five kings of the Amorites, the king of Jerusalem, the king of Hebron, the king of Jarmuth, the king of Lachish, and the king of Eglon, gathered their forces and went up with all their armies and encamped against Gibeon and made war against it.
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-6And the men of Gibeon sent to Joshua at the camp in Gilgal, saying, “Do not relax your hand from your servants. Come up to us quickly and save us and help us, for all the kings of the Amorites who dwell in the hill country are gathered against us.” 7So Joshua went up from Gilgal, he and all the people of war with him, and all the mighty men of valor. 8And the LORD said to Joshua, “Do not fear them, for I have given them into your hands. Not a man of them shall stand before you.” 9So Joshua came upon them suddenly, having marched up all night from Gilgal. 10And the LORD threw them into a panic before Israel, who[23] struck them with a great blow at Gibeon and chased them by the way of the ascent of Beth-horon and struck them as far as Azekah and Makkedah. 11And as they fled before Israel, while they were going down the ascent of Beth-horon, the LORD threw down large stones from heaven on them as far as Azekah, and they died. There were more who died because of the hailstones than the sons of Israel killed with the sword.
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-12At that time Joshua spoke to the LORD in the day when the LORD gave the Amorites over to the sons of Israel, and he said in the sight of Israel,
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-“Sun, stand still at Gibeon,
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-and moon, in the Valley of Aijalon.”
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-13And the sun stood still, and the moon stopped,
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-until the nation took vengeance on their enemies.
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-Is this not written in the Book of Jashar? The sun stopped in the midst of heaven and did not hurry to set for about a whole day. 14There has been no day like it before or since, when the LORD heeded the voice of a man, for the LORD fought for Israel.
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-15So Joshua returned, and all Israel with him, to the camp at Gilgal.
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-Five Amorite Kings Executed
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-16These five kings fled and hid themselves in the cave at Makkedah. 17And it was told to Joshua, “The five kings have been found, hidden in the cave at Makkedah.” 18And Joshua said, “Roll large stones against the mouth of the cave and set men by it to guard them, 19but do not stay there yourselves. Pursue your enemies; attack their rear guard. Do not let them enter their cities, for the LORD your God has given them into your hand.” 20When Joshua and the sons of Israel had finished striking them with a great blow until they were wiped out, and when the remnant that remained of them had entered into the fortified cities, 21then all the people returned safe to Joshua in the camp at Makkedah. Not a man moved his tongue against any of the people of Israel.
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-22Then Joshua said, “Open the mouth of the cave and bring those five kings out to me from the cave.” 23And they did so, and brought those five kings out to him from the cave, the king of Jerusalem, the king of Hebron, the king of Jarmuth, the king of Lachish, and the king of Eglon. 24And when they brought those kings out to Joshua, Joshua summoned all the men of Israel and said to the chiefs of the men of war who had gone with him, “Come near; put your feet on the necks of these kings.” Then they came near and put their feet on their necks. 25And Joshua said to them, “Do not be afraid or dismayed; be strong and courageous. For thus the LORD will do to all your enemies against whom you fight.” 26And afterward Joshua struck them and put them to death, and he hanged them on five trees. And they hung on the trees until evening. 27But at the time of the going down of the sun, Joshua commanded, and they took them down from the trees and threw them into the cave where they had hidden themselves, and they set large stones against the mouth of the cave, which remain to this very day.
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-28As for Makkedah, Joshua captured it on that day and struck it, and its king, with the edge of the sword. He devoted to destruction every person in it; he left none remaining. And he did to the king of Makkedah just as he had done to the king of Jericho.
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-Conquest of Southern Canaan
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-29Then Joshua and all Israel with him passed on from Makkedah to Libnah and fought against Libnah. 30And the LORD gave it also and its king into the hand of Israel. And he struck it with the edge of the sword, and every person in it; he left none remaining in it. And he did to its king as he had done to the king of Jericho.
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-31Then Joshua and all Israel with him passed on from Libnah to Lachish and laid siege to it and fought against it. 32And the LORD gave Lachish into the hand of Israel, and he captured it on the second day and struck it with the edge of the sword, and every person in it, as he had done to Libnah.
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-33Then Horam king of Gezer came up to help Lachish. And Joshua struck him and his people, until he left none remaining.
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-34Then Joshua and all Israel with him passed on from Lachish to Eglon. And they laid siege to it and fought against it. 35And they captured it on that day, and struck it with the edge of the sword. And he devoted every person in it to destruction that day, as he had done to Lachish.
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-36Then Joshua and all Israel with him went up from Eglon to Hebron. And they fought against it 37and captured it and struck it with the edge of the sword, and its king and its towns, and every person in it. He left none remaining, as he had done to Eglon, and devoted it to destruction and every person in it.
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-38Then Joshua and all Israel with him turned back to Debir and fought against it 39and he captured it with its king and all its towns. And they struck them with the edge of the sword and devoted to destruction every person in it; he left none remaining. Just as he had done to Hebron and to Libnah and its king, so he did to Debir and to its king.
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-40So Joshua struck the whole land, the hill country and the Negeb and the lowland and the slopes, and all their kings. He left none remaining, but devoted to destruction all that breathed, just as the LORD God of Israel commanded. 41And Joshua struck them from Kadesh-barnea as far as Gaza, and all the country of Goshen, as far as Gibeon. 42And Joshua captured all these kings and their land at one time, because the LORD God of Israel fought for Israel. 43Then Joshua returned, and all Israel with him, to the camp at Gilgal.
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-Conquests in Northern Canaan
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-11:1 When Jabin, king of Hazor, heard of this, he sent to Jobab king of Madon, and to the king of Shimron, and to the king of Achshaph, 2and to the kings who were in the northern hill country, and in the Arabah south of Chinneroth, and in the lowland, and in Naphoth-dor on the west, 3to the Canaanites in the east and the west, the Amorites, the Hittites, the Perizzites, and the Jebusites in the hill country, and the Hivites under Hermon in the land of Mizpah. 4And they came out with all their troops, a great horde, in number like the sand that is on the seashore, with very many horses and chariots. 5And all these kings joined their forces and came and encamped together at the waters of Merom to fight against Israel.
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-6And the LORD said to Joshua, “Do not be afraid of them, for tomorrow at this time I will give over all of them, slain, to Israel. You shall hamstring their horses and burn their chariots with fire.” 7So Joshua and all his warriors came suddenly against them by the waters of Merom and fell upon them. 8And the LORD gave them into the hand of Israel, who struck them and chased them as far as Great Sidon and Misrephoth-maim, and eastward as far as the Valley of Mizpeh. And they struck them until he left none remaining. 9And Joshua did to them just as the LORD said to him: he hamstrung their horses and burned their chariots with fire.
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-10And Joshua turned back at that time and captured Hazor and struck its king with the sword, for Hazor formerly was the head of all those kingdoms. 11And they struck with the sword all who were in it, devoting them to destruction;[24] there was none left that breathed. And he burned Hazor with fire. 12And all the cities of those kings, and all their kings, Joshua captured, and struck them with the edge of the sword, devoting them to destruction, just as Moses the servant of the LORD had commanded. 13But none of the cities that stood on mounds did Israel burn, except Hazor alone; that Joshua burned. 14And all the spoil of these cities and the livestock, the people of Israel took for their plunder. But every man they struck with the edge of the sword until they had destroyed them, and they did not leave any who breathed. 15Just as the LORD had commanded Moses his servant, so Moses commanded Joshua, and so Joshua did. He left nothing undone of all that the LORD had commanded Moses.
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-16So Joshua took all that land, the hill country and all the Negeb and all the land of Goshen and the lowland and the Arabah and the hill country of Israel and its lowland 17from Mount Halak, which rises toward Seir, as far as Baal-gad in the Valley of Lebanon below Mount Hermon. And he captured all their kings and struck them and put them to death. 18Joshua made war a long time with all those kings. 19There was not a city that made peace with the people of Israel except the Hivites, the inhabitants of Gibeon. They took them all in battle. 20For it was the LORD's doing to harden their hearts that they should come against Israel in battle, in order that they should be devoted to destruction and should receive no mercy but be destroyed, just as the LORD commanded Moses.
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-21And Joshua came at that time and cut off the Anakim from the hill country, from Hebron, from Debir, from Anab, and from all the hill country of Judah, and from all the hill country of Israel. Joshua devoted them to destruction with their cities. 22There was none of the Anakim left in the land of the people of Israel. Only in Gaza, in Gath, and in Ashdod did some remain. 23So Joshua took the whole land, according to all that the LORD had spoken to Moses. And Joshua gave it for an inheritance to Israel according to their tribal allotments. And the land had rest from war.
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-Kings Defeated by Moses
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-12:1 Now these are the kings of the land whom the people of Israel defeated and took possession of their land beyond the Jordan toward the sunrise, from the Valley of the Arnon to Mount Hermon, with all the Arabah eastward: 2Sihon king of the Amorites who lived at Heshbon and ruled from Aroer, which is on the edge of the Valley of the Arnon, and from the middle of the valley as far as the river Jabbok, the boundary of the Ammonites, that is, half of Gilead, 3and the Arabah to the Sea of Chinneroth eastward, and in the direction of Beth-jeshimoth, to the Sea of the Arabah, the Salt Sea, southward to the foot of the slopes of Pisgah; 4and Og[25] king of Bashan, one of the remnant of the Rephaim, who lived at Ashtaroth and at Edrei 5and ruled over Mount Hermon and Salecah and all Bashan to the boundary of the Geshurites and the Maacathites, and over half of Gilead to the boundary of Sihon king of Heshbon. 6Moses, the servant of the LORD, and the people of Israel defeated them. And Moses the servant of the LORD gave their land for a possession to the Reubenites and the Gadites and the half-tribe of Manasseh.
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-Kings Defeated by Joshua
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-7And these are the kings of the land whom Joshua and the people of Israel defeated on the west side of the Jordan, from Baal-gad in the Valley of Lebanon to Mount Halak, that rises toward Seir (and Joshua gave their land to the tribes of Israel as a possession according to their allotments, 8in the hill country, in the lowland, in the Arabah, in the slopes, in the wilderness, and in the Negeb, the land of the Hittites, the Amorites, the Canaanites, the Perizzites, the Hivites, and the Jebusites): 9the king of Jericho, one; the king of Ai, which is beside Bethel, one; 10the king of Jerusalem, one; the king of Hebron, one; 11the king of Jarmuth, one; the king of Lachish, one; 12the king of Eglon, one; the king of Gezer, one; 13the king of Debir, one; the king of Geder, one; 14the king of Hormah, one; the king of Arad, one; 15the king of Libnah, one; the king of Adullam, one; 16the king of Makkedah, one; the king of Bethel, one; 17the king of Tappuah, one; the king of Hepher, one; 18the king of Aphek, one; the king of Lasharon, one; 19the king of Madon, one; the king of Hazor, one; 20the king of Shimron-meron, one; the king of Achshaph, one; 21the king of Taanach, one; the king of Megiddo, one; 22the king of Kedesh, one; the king of Jokneam in Carmel, one; 23the king of Dor in Naphath-dor, one; the king of Goiim in Galilee,[26] one; 24the king of Tirzah, one: in all, thirty-one kings.
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-Land Still to Be Conquered
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-13:1 Now Joshua was old and advanced in years, and the LORD said to him, “You are old and advanced in years, and there remains yet very much land to possess. 2This is the land that yet remains: all the regions of the Philistines, and all those of the Geshurites 3(from the Shihor, which is east of Egypt, northward to the boundary of Ekron, it is counted as Canaanite; there are five rulers of the Philistines, those of Gaza, Ashdod, Ashkelon, Gath, and Ekron), and those of the Avvim, 4in the south, all the land of the Canaanites, and Mearah that belongs to the Sidonians, to Aphek, to the boundary of the Amorites, 5and the land of the Gebalites, and all Lebanon, toward the sunrise, from Baal-gad below Mount Hermon to Lebo-hamath, 6all the inhabitants of the hill country from Lebanon to Misrephoth-maim, even all the Sidonians. I myself will drive them out from before the people of Israel. Only allot the land to Israel for an inheritance, as I have commanded you. 7Now therefore divide this land for an inheritance to the nine tribes and half the tribe of Manasseh.”
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-The Inheritance East of the Jordan
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-8With the other half of the tribe of Manasseh[27] the Reubenites and the Gadites received their inheritance, which Moses gave them, beyond the Jordan eastward, as Moses the servant of the LORD gave them: 9from Aroer, which is on the edge of the Valley of the Arnon, and the city that is in the middle of the valley, and all the tableland of Medeba as far as Dibon; 10and all the cities of Sihon king of the Amorites, who reigned in Heshbon, as far as the boundary of the Ammonites; 11and Gilead, and the region of the Geshurites and Maacathites, and all Mount Hermon, and all Bashan to Salecah; 12all the kingdom of Og in Bashan, who reigned in Ashtaroth and in Edrei (he alone was left of the remnant of the Rephaim); these Moses had struck and driven out. 13Yet the people of Israel did not drive out the Geshurites or the Maacathites, but Geshur and Maacath dwell in the midst of Israel to this day.
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-14To the tribe of Levi alone Moses gave no inheritance. The offerings by fire to the LORD God of Israel are their inheritance, as he said to him.
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-15And Moses gave an inheritance to the tribe of the people of Reuben according to their clans. 16So their territory was from Aroer, which is on the edge of the Valley of the Arnon, and the city that is in the middle of the valley, and all the tableland by Medeba; 17with Heshbon, and all its cities that are in the tableland; Dibon, and Bamoth-baal, and Beth-baal-meon, 18and Jahaz, and Kedemoth, and Mephaath, 19and Kiriathaim, and Sibmah, and Zereth-shahar on the hill of the valley, 20and Beth-peor, and the slopes of Pisgah, and Beth-jeshimoth, 21that is, all the cities of the tableland, and all the kingdom of Sihon king of the Amorites, who reigned in Heshbon, whom Moses defeated with the leaders of Midian, Evi and Rekem and Zur and Hur and Reba, the princes of Sihon, who lived in the land. 22Balaam also, the son of Beor, the one who practiced divination, was killed with the sword by the people of Israel among the rest of their slain. 23And the border of the people of Reuben was the Jordan as a boundary. This was the inheritance of the people of Reuben, according to their clans with their cities and villages.
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-24Moses gave an inheritance also to the tribe of Gad, to the people of Gad, according to their clans. 25Their territory was Jazer, and all the cities of Gilead, and half the land of the Ammonites, to Aroer, which is east of Rabbah, 26and from Heshbon to Ramath-mizpeh and Betonim, and from Mahanaim to the territory of Debir,[28] 27and in the valley Beth-haram, Beth-nimrah, Succoth, and Zaphon, the rest of the kingdom of Sihon king of Heshbon, having the Jordan as a boundary, to the lower end of the Sea of Chinnereth, eastward beyond the Jordan. 28This is the inheritance of the people of Gad according to their clans, with their cities and villages.
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-29And Moses gave an inheritance to the half-tribe of Manasseh. It was allotted to the half-tribe of the people of Manasseh according to their clans. 30Their region extended from Mahanaim, through all Bashan, the whole kingdom of Og king of Bashan, and all the towns of Jair, which are in Bashan, sixty cities, 31and half Gilead, and Ashtaroth, and Edrei, the cities of the kingdom of Og in Bashan. These were allotted to the people of Machir the son of Manasseh for the half of the people of Machir according to their clans.
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-32These are the inheritances that Moses distributed in the plains of Moab, beyond the Jordan east of Jericho. 33But to the tribe of Levi Moses gave no inheritance; the LORD God of Israel is their inheritance, just as he said to them.
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-The Inheritance West of the Jordan
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-14:1 These are the inheritances that the people of Israel received in the land of Canaan, which Eleazar the priest and Joshua the son of Nun and the heads of the fathers' houses of the tribes of the people of Israel gave them to inherit. 2Their inheritance was by lot, just as the LORD had commanded by the hand of Moses for the nine and one-half tribes. 3For Moses had given an inheritance to the two and one-half tribes beyond the Jordan, but to the Levites he gave no inheritance among them. 4For the people of Joseph were two tribes, Manasseh and Ephraim. And no portion was given to the Levites in the land, but only cities to dwell in, with their pasturelands for their livestock and their substance. 5The people of Israel did as the LORD commanded Moses; they allotted the land.
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-Caleb's Request and Inheritance
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-6Then the people of Judah came to Joshua at Gilgal. And Caleb the son of Jephunneh the Kenizzite said to him, “You know what the LORD said to Moses the man of God in Kadesh-barnea concerning you and me. 7I was forty years old when Moses the servant of the LORD sent me from Kadesh-barnea to spy out the land, and I brought him word again as it was in my heart. 8But my brothers who went up with me made the heart of the people melt; yet I wholly followed the LORD my God. 9And Moses swore on that day, saying, ‘Surely the land on which your foot has trodden shall be an inheritance for you and your children forever, because you have wholly followed the LORD my God.’ 10And now, behold, the LORD has kept me alive, just as he said, these forty-five years since the time that the LORD spoke this word to Moses, while Israel walked in the wilderness. And now, behold, I am this day eighty-five years old. 11I am still as strong today as I was in the day that Moses sent me; my strength now is as my strength was then, for war and for going and coming. 12So now give me this hill country of which the LORD spoke on that day, for you heard on that day how the Anakim were there, with great fortified cities. It may be that the LORD will be with me, and I shall drive them out just as the LORD said.”
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-13Then Joshua blessed him, and he gave Hebron to Caleb the son of Jephunneh for an inheritance. 14Therefore Hebron became the inheritance of Caleb the son of Jephunneh the Kenizzite to this day, because he wholly followed the LORD, the God of Israel. 15Now the name of Hebron formerly was Kiriath-arba.[29] (Arba[30] was the greatest man among the Anakim.) And the land had rest from war.
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-The Allotment for Judah
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-15:1 The allotment for the tribe of the people of Judah according to their clans reached southward to the boundary of Edom, to the wilderness of Zin at the farthest south. 2And their south boundary ran from the end of the Salt Sea, from the bay that faces southward. 3It goes out southward of the ascent of Akrabbim, passes along to Zin, and goes up south of Kadesh-barnea, along by Hezron, up to Addar, turns about to Karka, 4passes along to Azmon, goes out by the Brook of Egypt, and comes to its end at the sea. This shall be your south boundary. 5And the east boundary is the Salt Sea, to the mouth of the Jordan. And the boundary on the north side runs from the bay of the sea at the mouth of the Jordan. 6And the boundary goes up to Beth-hoglah and passes along north of Beth-arabah. And the boundary goes up to the stone of Bohan the son of Reuben. 7And the boundary goes up to Debir from the Valley of Achor, and so northward, turning toward Gilgal, which is opposite the ascent of Adummim, which is on the south side of the valley. And the boundary passes along to the waters of En-shemesh and ends at En-rogel. 8Then the boundary goes up by the Valley of the Son of Hinnom at the southern shoulder of the Jebusite (that is, Jerusalem). And the boundary goes up to the top of the mountain that lies over against the Valley of Hinnom, on the west, at the northern end of the Valley of Rephaim. 9Then the boundary extends from the top of the mountain to the spring of the waters of Nephtoah, and from there to the cities of Mount Ephron. Then the boundary bends around to Baalah (that is, Kiriath-jearim). 10And the boundary circles west of Baalah to Mount Seir, passes along to the northern shoulder of Mount Jearim (that is, Chesalon), and goes down to Beth-shemesh and passes along by Timnah. 11The boundary goes out to the shoulder of the hill north of Ekron, then the boundary bends around to Shikkeron and passes along to Mount Baalah and goes out to Jabneel. Then the boundary comes to an end at the sea. 12And the west boundary was the Great Sea with its coastline. This is the boundary around the people of Judah according to their clans.
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-13According to the commandment of the LORD to Joshua, he gave to Caleb the son of Jephunneh a portion among the people of Judah, Kiriath-arba, that is, Hebron (Arba was the father of Anak). 14And Caleb drove out from there the three sons of Anak, Sheshai and Ahiman and Talmai, the descendants of Anak. 15And he went up from there against the inhabitants of Debir. Now the name of Debir formerly was Kiriath-sepher. 16And Caleb said, “Whoever strikes Kiriath-sepher and captures it, to him will I give Achsah my daughter as wife.” 17And Othniel the son of Kenaz, the brother of Caleb, captured it. And he gave him Achsah his daughter as wife. 18When she came to him, she urged him to ask her father for a field. And she got off her donkey, and Caleb said to her, “What do you want?” 19She said to him, “Give me a blessing. Since you have given me the land of the Negeb, give me also springs of water.” And he gave her the upper springs and the lower springs.
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-20This is the inheritance of the tribe of the people of Judah according to their clans. 21The cities belonging to the tribe of the people of Judah in the extreme south, toward the boundary of Edom, were Kabzeel, Eder, Jagur, 22Kinah, Dimonah, Adadah, 23Kedesh, Hazor, Ithnan, 24Ziph, Telem, Bealoth, 25Hazor-hadattah, Kerioth-hezron (that is, Hazor), 26Amam, Shema, Moladah, 27Hazar-gaddah, Heshmon, Beth-pelet, 28Hazar-shual, Beersheba, Biziothiah, 29Baalah, Iim, Ezem, 30Eltolad, Chesil, Hormah, 31Ziklag, Madmannah, Sansannah, 32Lebaoth, Shilhim, Ain, and Rimmon: in all, twenty-nine cities with their villages.
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-33And in the lowland, Eshtaol, Zorah, Ashnah, 34Zanoah, En-gannim, Tappuah, Enam, 35Jarmuth, Adullam, Socoh, Azekah, 36Shaaraim, Adithaim, Gederah, Gederothaim: fourteen cities with their villages.
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-37Zenan, Hadashah, Migdal-gad, 38Dilean, Mizpeh, Joktheel, 39Lachish, Bozkath, Eglon, 40Cabbon, Lahmam, Chitlish, 41Gederoth, Beth-dagon, Naamah, and Makkedah: sixteen cities with their villages.
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-42Libnah, Ether, Ashan, 43Iphtah, Ashnah, Nezib, 44Keilah, Achzib, and Mareshah: nine cities with their villages.
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-45Ekron, with its towns and its villages; 46from Ekron to the sea, all that were by the side of Ashdod, with their villages.
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-47Ashdod, its towns and its villages; Gaza, its towns and its villages; to the Brook of Egypt, and the Great Sea with its coastline.
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-48And in the hill country, Shamir, Jattir, Socoh, 49Dannah, Kiriath-sannah (that is, Debir), 50Anab, Eshtemoh, Anim, 51Goshen, Holon, and Giloh: eleven cities with their villages.
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-52Arab, Dumah, Eshan, 53Janim, Beth-tappuah, Aphekah, 54Humtah, Kiriath-arba (that is, Hebron), and Zior: nine cities with their villages.
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-55Maon, Carmel, Ziph, Juttah, 56Jezreel, Jokdeam, Zanoah, 57Kain, Gibeah, and Timnah: ten cities with their villages.
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-58Halhul, Beth-zur, Gedor, 59Maarath, Beth-anoth, and Eltekon: six cities with their villages.
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-60Kiriath-baal (that is, Kiriath-jearim), and Rabbah: two cities with their villages.
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-61In the wilderness, Beth-arabah, Middin, Secacah, 62Nibshan, the City of Salt, and Engedi: six cities with their villages.
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-63But the Jebusites, the inhabitants of Jerusalem, the people of Judah could not drive out, so the Jebusites dwell with the people of Judah at Jerusalem to this day.
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-The Allotment for Ephraim and Manasseh
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-16:1 The allotment of the people of Joseph went from the Jordan by Jericho, east of the waters of Jericho, into the wilderness, going up from Jericho into the hill country to Bethel. 2Then going from Bethel to Luz, it passes along to Ataroth, the territory of the Archites. 3Then it goes down westward to the territory of the Japhletites, as far as the territory of Lower Beth-horon, then to Gezer, and it ends at the sea.
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-4The people of Joseph, Manasseh and Ephraim, received their inheritance.
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-5The territory of the people of Ephraim by their clans was as follows: the boundary of their inheritance on the east was Ataroth-addar as far as Upper Beth-horon, 6and the boundary goes from there to the sea. On the north is Michmethath. Then on the east the boundary turns around toward Taanath-shiloh and passes along beyond it on the east to Janoah, 7then it goes down from Janoah to Ataroth and to Naarah, and touches Jericho, ending at the Jordan. 8From Tappuah the boundary goes westward to the brook Kanah and ends at the sea. Such is the inheritance of the tribe of the people of Ephraim by their clans, 9together with the towns that were set apart for the people of Ephraim within the inheritance of the Manassites, all those towns with their villages. 10However, they did not drive out the Canaanites who lived in Gezer, so the Canaanites have lived in the midst of Ephraim to this day but have been made to do forced labor.
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-17:1 Then allotment was made to the people of Manasseh, for he was the firstborn of Joseph. To Machir the firstborn of Manasseh, the father of Gilead, were allotted Gilead and Bashan, because he was a man of war. 2And allotments were made to the rest of the people of Manasseh by their clans, Abiezer, Helek, Asriel, Shechem, Hepher, and Shemida. These were the male descendants of Manasseh the son of Joseph, by their clans.
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-3Now Zelophehad the son of Hepher, son of Gilead, son of Machir, son of Manasseh, had no sons, but only daughters, and these are the names of his daughters: Mahlah, Noah, Hoglah, Milcah, and Tirzah. 4They approached Eleazar the priest and Joshua the son of Nun and the leaders and said, “The LORD commanded Moses to give us an inheritance along with our brothers.” So according to the mouth of the LORD he gave them an inheritance among the brothers of their father. 5Thus there fell to Manasseh ten portions, besides the land of Gilead and Bashan, which is on the other side of the Jordan, 6because the daughters of Manasseh received an inheritance along with his sons. The land of Gilead was allotted to the rest of the people of Manasseh.
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-7The territory of Manasseh reached from Asher to Michmethath, which is east of Shechem. Then the boundary goes along southward to the inhabitants of En-tappuah. 8The land of Tappuah belonged to Manasseh, but the town of Tappuah on the boundary of Manasseh belonged to the people of Ephraim. 9Then the boundary went down to the brook Kanah. These cities, to the south of the brook, among the cities of Manasseh, belong to Ephraim. Then the boundary of Manasseh goes on the north side of the brook and ends at the sea, 10the land to the south being Ephraim's and that to the north being Manasseh's, with the sea forming its boundary. On the north Asher is reached, and on the east Issachar. 11Also in Issachar and in Asher Manasseh had Beth-shean and its villages, and Ibleam and its villages, and the inhabitants of Dor and its villages, and the inhabitants of En-dor and its villages, and the inhabitants of Taanach and its villages, and the inhabitants of Megiddo and its villages; the third is Naphath.[31] 12Yet the people of Manasseh could not take possession of those cities, but the Canaanites persisted in dwelling in that land. 13Now when the people of Israel grew strong, they put the Canaanites to forced labor, but did not utterly drive them out.
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-14Then the people of Joseph spoke to Joshua, saying, “Why have you given me but one lot and one portion as an inheritance, although I am a numerous people, since all along the LORD has blessed me?” 15And Joshua said to them, “If you are a numerous people, go up by yourselves to the forest, and there clear ground for yourselves in the land of the Perizzites and the Rephaim, since the hill country of Ephraim is too narrow for you.” 16The people of Joseph said, “The hill country is not enough for us. Yet all the Canaanites who dwell in the plain have chariots of iron, both those in Beth-shean and its villages and those in the Valley of Jezreel.” 17Then Joshua said to the house of Joseph, to Ephraim and Manasseh, “You are a numerous people and have great power. You shall not have one allotment only, 18but the hill country shall be yours, for though it is a forest, you shall clear it and possess it to its farthest borders. For you shall drive out the Canaanites, though they have chariots of iron, and though they are strong.”
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-Allotment of the Remaining Land
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-18:1 Then the whole congregation of the people of Israel assembled at Shiloh and set up the tent of meeting there. The land lay subdued before them.
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-2There remained among the people of Israel seven tribes whose inheritance had not yet been apportioned. 3So Joshua said to the people of Israel, “How long will you put off going in to take possession of the land, which the LORD, the God of your fathers, has given you? 4Provide three men from each tribe, and I will send them out that they may set out and go up and down the land. They shall write a description of it with a view to their inheritances, and then come to me. 5They shall divide it into seven portions. Judah shall continue in his territory on the south, and the house of Joseph shall continue in their territory on the north. 6And you shall describe the land in seven divisions and bring the description here to me. And I will cast lots for you here before the LORD our God. 7The Levites have no portion among you, for the priesthood of the LORD is their heritage. And Gad and Reuben and half the tribe of Manasseh have received their inheritance beyond the Jordan eastward, which Moses the servant of the LORD gave them.”
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-8So the men arose and went, and Joshua charged those who went to write the description of the land, saying, “Go up and down in the land and write a description and return to me. And I will cast lots for you here before the LORD in Shiloh.” 9So the men went and passed up and down in the land and wrote in a book a description of it by towns in seven divisions. Then they came to Joshua to the camp at Shiloh, 10and Joshua cast lots for them in Shiloh before the LORD. And there Joshua apportioned the land to the people of Israel, to each his portion.
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-The Inheritance for Benjamin
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-11The lot of the tribe of the people of Benjamin according to its clans came up, and the territory allotted to it fell between the people of Judah and the people of Joseph. 12On the north side their boundary began at the Jordan. Then the boundary goes up to the shoulder north of Jericho, then up through the hill country westward, and it ends at the wilderness of Beth-aven. 13From there the boundary passes along southward in the direction of Luz, to the shoulder of Luz (that is, Bethel), then the boundary goes down to Ataroth-addar, on the mountain that lies south of Lower Beth-horon. 14Then the boundary goes in another direction, turning on the western side southward from the mountain that lies to the south, opposite Beth-horon, and it ends at Kiriath-baal (that is, Kiriath-jearim), a city belonging to the people of Judah. This forms the western side. 15And the southern side begins at the outskirts of Kiriath-jearim. And the boundary goes from there to Ephron,[32] to the spring of the waters of Nephtoah. 16Then the boundary goes down to the border of the mountain that overlooks the Valley of the Son of Hinnom, which is at the north end of the Valley of Rephaim. And it then goes down the Valley of Hinnom, south of the shoulder of the Jebusites, and downward to En-rogel. 17Then it bends in a northerly direction going on to En-shemesh, and from there goes to Geliloth, which is opposite the ascent of Adummim. Then it goes down to the stone of Bohan the son of Reuben, 18and passing on to the north of the shoulder of Beth-arabah[33] it goes down to the Arabah. 19Then the boundary passes on to the north of the shoulder of Beth-hoglah. And the boundary ends at the northern bay of the Salt Sea, at the south end of the Jordan: this is the southern border. 20The Jordan forms its boundary on the eastern side. This is the inheritance of the people of Benjamin, according to their clans, boundary by boundary all around.
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-21Now the cities of the tribe of the people of Benjamin according to their clans were Jericho, Beth-hoglah, Emek-keziz, 22Beth-arabah, Zemaraim, Bethel, 23Avvim, Parah, Ophrah, 24Chephar-ammoni, Ophni, Geba—twelve cities with their villages: 25Gibeon, Ramah, Beeroth, 26Mizpeh, Chephirah, Mozah, 27Rekem, Irpeel, Taralah, 28Zela, Haeleph, Jebus[34] (that is, Jerusalem), Gibeah[35] and Kiriath-jearim[36]—fourteen cities with their villages. This is the inheritance of the people of Benjamin according to its clans.
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-The Inheritance for Simeon
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-19:1 The second lot came out for Simeon, for the tribe of the people of Simeon, according to their clans, and their inheritance was in the midst of the inheritance of the people of Judah. 2And they had for their inheritance Beersheba, Sheba, Moladah, 3Hazar-shual, Balah, Ezem, 4Eltolad, Bethul, Hormah, 5Ziklag, Beth-marcaboth, Hazar-susah, 6Beth-lebaoth, and Sharuhen—thirteen cities with their villages; 7Ain, Rimmon, Ether, and Ashan—four cities with their villages, 8together with all the villages around these cities as far as Baalath-beer, Ramah of the Negeb. This was the inheritance of the tribe of the people of Simeon according to their clans. 9The inheritance of the people of Simeon formed part of the territory of the people of Judah. Because the portion of the people of Judah was too large for them, the people of Simeon obtained an inheritance in the midst of their inheritance.
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-The Inheritance for Zebulun
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-10The third lot came up for the people of Zebulun, according to their clans. And the territory of their inheritance reached as far as Sarid. 11Then their boundary goes up westward and on to Mareal and touches Dabbesheth, then the brook that is east of Jokneam. 12From Sarid it goes in the other direction eastward toward the sunrise to the boundary of Chisloth-tabor. From there it goes to Daberath, then up to Japhia. 13From there it passes along on the east toward the sunrise to Gath-hepher, to Eth-kazin, and going on to Rimmon it bends toward Neah, 14then on the north the boundary turns about to Hannathon, and it ends at the Valley of Iphtahel; 15and Kattath, Nahalal, Shimron, Idalah, and Bethlehem—twelve cities with their villages. 16This is the inheritance of the people of Zebulun, according to their clans—these cities with their villages.
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-The Inheritance for Issachar
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-17The fourth lot came out for Issachar, for the people of Issachar, according to their clans. 18Their territory included Jezreel, Chesulloth, Shunem, 19Hapharaim, Shion, Anaharath, 20Rabbith, Kishion, Ebez, 21Remeth, En-gannim, En-haddah, Beth-pazzez. 22The boundary also touches Tabor, Shahazumah, and Beth-shemesh, and its boundary ends at the Jordan—sixteen cities with their villages. 23This is the inheritance of the tribe of the people of Issachar, according to their clans—the cities with their villages.
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-The Inheritance for Asher
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-24The fifth lot came out for the tribe of the people of Asher according to their clans. 25Their territory included Helkath, Hali, Beten, Achshaph, 26Allammelech, Amad, and Mishal. On the west it touches Carmel and Shihor-libnath, 27then it turns eastward, it goes to Beth-dagon, and touches Zebulun and the Valley of Iphtahel northward to Beth-emek and Neiel. Then it continues in the north to Cabul, 28Ebron, Rehob, Hammon, Kanah, as far as Sidon the Great. 29Then the boundary turns to Ramah, reaching to the fortified city of Tyre. Then the boundary turns to Hosah, and it ends at the sea; Mahalab,[37] Achzib, 30Ummah, Aphek and Rehob—twenty-two cities with their villages. 31This is the inheritance of the tribe of the people of Asher according to their clans—these cities with their villages.
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-The Inheritance for Naphtali
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-32The sixth lot came out for the people of Naphtali, for the people of Naphtali, according to their clans. 33And their boundary ran from Heleph, from the oak in Zaanannim, and Adami-nekeb, and Jabneel, as far as Lakkum, and it ended at the Jordan. 34Then the boundary turns westward to Aznoth-tabor and goes from there to Hukkok, touching Zebulun at the south and Asher on the west and Judah on the east at the Jordan. 35The fortified cities are Ziddim, Zer, Hammath, Rakkath, Chinnereth, 36Adamah, Ramah, Hazor, 37Kedesh, Edrei, En-hazor, 38Yiron, Migdal-el, Horem, Beth-anath, and Beth-shemesh—nineteen cities with their villages. 39This is the inheritance of the tribe of the people of Naphtali according to their clans—the cities with their villages.
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-The Inheritance for Dan
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-40The seventh lot came out for the tribe of the people of Dan, according to their clans. 41And the territory of its inheritance included Zorah, Eshtaol, Ir-shemesh, 42Shaalabbin, Aijalon, Ithlah, 43Elon, Timnah, Ekron, 44Eltekeh, Gibbethon, Baalath, 45Jehud, Bene-berak, Gath-rimmon, 46and Me-jarkon and Rakkon with the territory over against Joppa. 47When the territory of the people of Dan was lost to them, the people of Dan went up and fought against Leshem, and after capturing it and striking it with the sword they took possession of it and settled in it, calling Leshem, Dan, after the name of Dan their ancestor. 48This is the inheritance of the tribe of the people of Dan, according to their clans—these cities with their villages.
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-The Inheritance for Joshua
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-49When they had finished distributing the several territories of the land as inheritances, the people of Israel gave an inheritance among them to Joshua the son of Nun. 50By command of the LORD they gave him the city that he asked, Timnath-serah in the hill country of Ephraim. And he rebuilt the city and settled in it.
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-51These are the inheritances that Eleazar the priest and Joshua the son of Nun and the heads of the fathers' houses of the tribes of the people of Israel distributed by lot at Shiloh before the LORD, at the entrance of the tent of meeting. So they finished dividing the land.
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-The Cities of Refuge
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-20:1 Then the LORD said to Joshua, 2“Say to the people of Israel, ‘Appoint the cities of refuge, of which I spoke to you through Moses, 3that the manslayer who strikes any person without intent or unknowingly may flee there. They shall be for you a refuge from the avenger of blood. 4He shall flee to one of these cities and shall stand at the entrance of the gate of the city and explain his case to the elders of that city. Then they shall take him into the city and give him a place, and he shall remain with them. 5And if the avenger of blood pursues him, they shall not give up the manslayer into his hand, because he struck his neighbor unknowingly, and did not hate him in the past. 6And he shall remain in that city until he has stood before the congregation for judgment, until the death of him who is high priest at the time. Then the manslayer may return to his own town and his own home, to the town from which he fled.’”
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-7So they set apart Kedesh in Galilee in the hill country of Naphtali, and Shechem in the hill country of Ephraim, and Kiriath-arba (that is, Hebron) in the hill country of Judah. 8And beyond the Jordan east of Jericho, they appointed Bezer in the wilderness on the tableland, from the tribe of Reuben, and Ramoth in Gilead, from the tribe of Gad, and Golan in Bashan, from the tribe of Manasseh. 9These were the cities designated for all the people of Israel and for the stranger sojourning among them, that anyone who killed a person without intent could flee there, so that he might not die by the hand of the avenger of blood, till he stood before the congregation.
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-Cities and Pasturelands Allotted to Levi
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-21:1 Then the heads of the fathers' houses of the Levites came to Eleazar the priest and to Joshua the son of Nun and to the heads of the fathers' houses of the tribes of the people of Israel. 2And they said to them at Shiloh in the land of Canaan, “The LORD commanded through Moses that we be given cities to dwell in, along with their pasturelands for our livestock.” 3So by command of the LORD the people of Israel gave to the Levites the following cities and pasturelands out of their inheritance.
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-4The lot came out for the clans of the Kohathites. So those Levites who were descendants of Aaron the priest received by lot from the tribes of Judah, Simeon, and Benjamin, thirteen cities.
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-5And the rest of the Kohathites received by lot from the clans of the tribe of Ephraim, from the tribe of Dan and the half-tribe of Manasseh, ten cities.
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-6The Gershonites received by lot from the clans of the tribe of Issachar, from the tribe of Asher, from the tribe of Naphtali, and from the half-tribe of Manasseh in Bashan, thirteen cities.
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-7The Merarites according to their clans received from the tribe of Reuben, the tribe of Gad, and the tribe of Zebulun, twelve cities.
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-8These cities and their pasturelands the people of Israel gave by lot to the Levites, as the LORD had commanded through Moses.
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-9Out of the tribe of the people of Judah and the tribe of the people of Simeon they gave the following cities mentioned by name, 10which went to the descendants of Aaron, one of the clans of the Kohathites who belonged to the people of Levi; since the lot fell to them first. 11They gave them Kiriath-arba (Arba being the father of Anak), that is Hebron, in the hill country of Judah, along with the pasturelands around it. 12But the fields of the city and its villages had been given to Caleb the son of Jephunneh as his possession.
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-13And to the descendants of Aaron the priest they gave Hebron, the city of refuge for the manslayer, with its pasturelands, Libnah with its pasturelands, 14Jattir with its pasturelands, Eshtemoa with its pasturelands, 15Holon with its pasturelands, Debir with its pasturelands, 16Ain with its pasturelands, Juttah with its pasturelands, Beth-shemesh with its pasturelands—nine cities out of these two tribes; 17then out of the tribe of Benjamin, Gibeon with its pasturelands, Geba with its pasturelands, 18Anathoth with its pasturelands, and Almon with its pasturelands—four cities. 19The cities of the descendants of Aaron, the priests, were in all thirteen cities with their pasturelands.
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-20As to the rest of the Kohathites belonging to the Kohathite clans of the Levites, the cities allotted to them were out of the tribe of Ephraim. 21To them were given Shechem, the city of refuge for the manslayer, with its pasturelands in the hill country of Ephraim, Gezer with its pasturelands, 22Kibzaim with its pasturelands, Beth-horon with its pasturelands—four cities; 23and out of the tribe of Dan, Elteke with its pasturelands, Gibbethon with its pasturelands, 24Aijalon with its pasturelands, Gath-rimmon with its pasturelands—four cities; 25and out of the half-tribe of Manasseh, Taanach with its pasturelands, and Gath-rimmon with its pasturelands—two cities. 26The cities of the clans of the rest of the Kohathites were ten in all with their pasturelands.
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-27And to the Gershonites, one of the clans of the Levites, were given out of the half-tribe of Manasseh, Golan in Bashan with its pasturelands, the city of refuge for the manslayer, and Beeshterah with its pasturelands—two cities; 28and out of the tribe of Issachar, Kishion with its pasturelands, Daberath with its pasturelands, 29Jarmuth with its pasturelands, En-gannim with its pasturelands—four cities; 30and out of the tribe of Asher, Mishal with its pasturelands, Abdon with its pasturelands, 31Helkath with its pasturelands, and Rehob with its pasturelands—four cities; 32and out of the tribe of Naphtali, Kedesh in Galilee with its pasturelands, the city of refuge for the manslayer, Hammoth-dor with its pasturelands, and Kartan with its pasturelands—three cities. 33The cities of the several clans of the Gershonites were in all thirteen cities with their pasturelands.
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-34And to the rest of the Levites, the Merarite clans, were given out of the tribe of Zebulun, Jokneam with its pasturelands, Kartah with its pasturelands, 35Dimnah with its pasturelands, Nahalal with its pasturelands—four cities; 36and out of the tribe of Reuben, Bezer with its pasturelands, Jahaz with its pasturelands, 37Kedemoth with its pasturelands, and Mephaath with its pasturelands—four cities; 38and out of the tribe of Gad, Ramoth in Gilead with its pasturelands, the city of refuge for the manslayer, Mahanaim with its pasturelands, 39Heshbon with its pasturelands, Jazer with its pasturelands—four cities in all. 40As for the cities of the several Merarite clans, that is, the remainder of the clans of the Levites, those allotted to them were in all twelve cities.
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-41The cities of the Levites in the midst of the possession of the people of Israel were in all forty-eight cities with their pasturelands. 42These cities each had its pasturelands around it. So it was with all these cities.
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-43Thus the LORD gave to Israel all the land that he swore to give to their fathers. And they took possession of it, and they settled there. 44And the LORD gave them rest on every side just as he had sworn to their fathers. Not one of all their enemies had withstood them, for the LORD had given all their enemies into their hands. 45Not one word of all the good promises that the LORD had made to the house of Israel had failed; all came to pass.
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-The Eastern Tribes Return Home
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-22:1 At that time Joshua summoned the Reubenites and the Gadites and the half-tribe of Manasseh, 2and said to them, “You have kept all that Moses the servant of the LORD commanded you and have obeyed my voice in all that I have commanded you. 3You have not forsaken your brothers these many days, down to this day, but have been careful to keep the charge of the LORD your God. 4And now the LORD your God has given rest to your brothers, as he promised them. Therefore turn and go to your tents in the land where your possession lies, which Moses the servant of the LORD gave you on the other side of the Jordan. 5Only be very careful to observe the commandment and the law that Moses the servant of the LORD commanded you, to love the LORD your God, and to walk in all his ways and to keep his commandments and to cling to him and to serve him with all your heart and with all your soul.” 6So Joshua blessed them and sent them away, and they went to their tents.
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-7Now to the one half of the tribe of Manasseh Moses had given a possession in Bashan, but to the other half Joshua had given a possession beside their brothers in the land west of the Jordan. And when Joshua sent them away to their homes and blessed them, 8he said to them, “Go back to your tents with much wealth and with very much livestock, with silver, gold, bronze, and iron, and with much clothing. Divide the spoil of your enemies with your brothers.” 9So the people of Reuben and the people of Gad and the half-tribe of Manasseh returned home, parting from the people of Israel at Shiloh, which is in the land of Canaan, to go to the land of Gilead, their own land of which they had possessed themselves by command of the LORD through Moses.
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-The Eastern Tribes' Altar of Witness
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-10And when they came to the region of the Jordan that is in the land of Canaan, the people of Reuben and the people of Gad and the half-tribe of Manasseh built there an altar by the Jordan, an altar of imposing size. 11And the people of Israel heard it said, “Behold, the people of Reuben and the people of Gad and the half-tribe of Manasseh have built the altar at the frontier of the land of Canaan, in the region about the Jordan, on the side that belongs to the people of Israel.” 12And when the people of Israel heard of it, the whole assembly of the people of Israel gathered at Shiloh to make war against them.
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-13Then the people of Israel sent to the people of Reuben and the people of Gad and the half-tribe of Manasseh, in the land of Gilead, Phinehas the son of Eleazar the priest, 14and with him ten chiefs, one from each of the tribal families of Israel, every one of them the head of a family among the clans of Israel. 15And they came to the people of Reuben, the people of Gad, and the half-tribe of Manasseh, in the land of Gilead, and they said to them, 16“Thus says the whole congregation of the LORD, ‘What is this breach of faith that you have committed against the God of Israel in turning away this day from following the LORD by building yourselves an altar this day in rebellion against the LORD? 17Have we not had enough of the sin at Peor from which even yet we have not cleansed ourselves, and for which there came a plague upon the congregation of the LORD, 18that you too must turn away this day from following the LORD? And if you too rebel against the LORD today then tomorrow he will be angry with the whole congregation of Israel. 19But now, if the land of your possession is unclean, pass over into the LORD's land where the LORD's tabernacle stands, and take for yourselves a possession among us. Only do not rebel against the LORD or make us as rebels by building for yourselves an altar other than the altar of the LORD our God. 20Did not Achan the son of Zerah break faith in the matter of the devoted things, and wrath fell upon all the congregation of Israel? And he did not perish alone for his iniquity.’”
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-21Then the people of Reuben, the people of Gad, and the half-tribe of Manasseh said in answer to the heads of the families of Israel, 22“The Mighty One, God, the LORD! The Mighty One, God, the LORD! He knows; and let Israel itself know! If it was in rebellion or in breach of faith against the LORD, do not spare us today 23for building an altar to turn away from following the LORD. Or if we did so to offer burnt offerings or grain offerings or peace offerings on it, may the LORD himself take vengeance. 24No, but we did it from fear that in time to come your children might say to our children, ‘What have you to do with the LORD, the God of Israel? 25For the LORD has made the Jordan a boundary between us and you, you people of Reuben and people of Gad. You have no portion in the LORD.’ So your children might make our children cease to worship the LORD. 26Therefore we said, ‘Let us now build an altar, not for burnt offering, nor for sacrifice, 27but to be a witness between us and you, and between our generations after us, that we do perform the service of the LORD in his presence with our burnt offerings and sacrifices and peace offerings, so your children will not say to our children in time to come, “You have no portion in the LORD.”’ 28And we thought, If this should be said to us or to our descendants in time to come, we should say, ‘Behold, the copy of the altar of the LORD, which our fathers made, not for burnt offerings, nor for sacrifice, but to be a witness between us and you.’ 29Far be it from us that we should rebel against the LORD and turn away this day from following the LORD by building an altar for burnt offering, grain offering, or sacrifice, other than the altar of the LORD our God that stands before his tabernacle!”
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-30When Phinehas the priest and the chiefs of the congregation, the heads of the families of Israel who were with him, heard the words that the people of Reuben and the people of Gad and the people of Manasseh spoke, it was good in their eyes. 31And Phinehas the son of Eleazar the priest said to the people of Reuben and the people of Gad and the people of Manasseh, “Today we know that the LORD is in our midst, because you have not committed this breach of faith against the LORD. Now you have delivered the people of Israel from the hand of the LORD.”
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-32Then Phinehas the son of Eleazar the priest, and the chiefs, returned from the people of Reuben and the people of Gad in the land of Gilead to the land of Canaan, to the people of Israel, and brought back word to them. 33And the report was good in the eyes of the people of Israel. And the people of Israel blessed God and spoke no more of making war against them to destroy the land where the people of Reuben and the people of Gad were settled. 34The people of Reuben and the people of Gad called the altar Witness, “For,” they said, “it is a witness between us that the LORD is God.”
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-Joshua's Charge to Israel's Leaders
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-23:1 A long time afterward, when the LORD had given rest to Israel from all their surrounding enemies, and Joshua was old and well advanced in years, 2Joshua summoned all Israel, its elders and heads, its judges and officers, and said to them, “I am now old and well advanced in years. 3And you have seen all that the LORD your God has done to all these nations for your sake, for it is the LORD your God who has fought for you. 4Behold, I have allotted to you as an inheritance for your tribes those nations that remain, along with all the nations that I have already cut off, from the Jordan to the Great Sea in the west. 5The LORD your God will push them back before you and drive them out of your sight. And you shall possess their land, just as the LORD your God promised you. 6Therefore, be very strong to keep and to do all that is written in the Book of the Law of Moses, turning aside from it neither to the right hand nor to the left, 7that you may not mix with these nations remaining among you or make mention of the names of their gods or swear by them or serve them or bow down to them, 8but you shall cling to the LORD your God just as you have done to this day. 9For the LORD has driven out before you great and strong nations. And as for you, no man has been able to stand before you to this day. 10One man of you puts to flight a thousand, since it is the LORD your God who fights for you, just as he promised you. 11Be very careful, therefore, to love the LORD your God. 12For if you turn back and cling to the remnant of these nations remaining among you and make marriages with them, so that you associate with them and they with you, 13know for certain that the LORD your God will no longer drive out these nations before you, but they shall be a snare and a trap for you, a whip on your sides and thorns in your eyes, until you perish from off this good ground that the LORD your God has given you.
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-14“And now I am about to go the way of all the earth, and you know in your hearts and souls, all of you, that not one word has failed of all the good things[38] that the LORD your God promised concerning you. All have come to pass for you; not one of them has failed. 15But just as all the good things that the LORD your God promised concerning you have been fulfilled for you, so the LORD will bring upon you all the evil things, until he has destroyed you from off this good land that the LORD your God has given you, 16if you transgress the covenant of the LORD your God, which he commanded you, and go and serve other gods and bow down to them. Then the anger of the LORD will be kindled against you, and you shall perish quickly from off the good land that he has given to you.”
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-The Covenant Renewal at Shechem
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-24:1 Joshua gathered all the tribes of Israel to Shechem and summoned the elders, the heads, the judges, and the officers of Israel. And they presented themselves before God. 2And Joshua said to all the people, “Thus says the LORD, the God of Israel, ‘Long ago, your fathers lived beyond the Euphrates, Terah, the father of Abraham and of Nahor; and they served other gods. 3Then I took your father Abraham from beyond the River and led him through all the land of Canaan, and made his offspring many. I gave him Isaac. 4And to Isaac I gave Jacob and Esau. And I gave Esau the hill country of Seir to possess, but Jacob and his children went down to Egypt. 5And I sent Moses and Aaron, and I plagued Egypt with what I did in the midst of it, and afterward I brought you out.
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-6“‘Then I brought your fathers out of Egypt, and you came to the sea. And the Egyptians pursued your fathers with chariots and horsemen to the Red Sea. 7And when they cried to the LORD, he put darkness between you and the Egyptians and made the sea come upon them and cover them; and your eyes saw what I did in Egypt. And you lived in the wilderness a long time. 8Then I brought you to the land of the Amorites, who lived on the other side of the Jordan. They fought with you, and I gave them into your hand, and you took possession of their land, and I destroyed them before you. 9Then Balak the son of Zippor, king of Moab, arose and fought against Israel. And he sent and invited Balaam the son of Beor to curse you, 10but I would not listen to Balaam. Indeed, he blessed you. So I delivered you out of his hand. 11And you went over the Jordan and came to Jericho, and the leaders of Jericho fought against you, and also the Amorites, the Perizzites, the Canaanites, the Hittites, the Girgashites, the Hivites, and the Jebusites. And I gave them into your hand. 12And I sent the hornet before you, which drove them out before you, the two kings of the Amorites; it was not by your sword or by your bow. 13I gave you a land on which you had not labored and cities that you had not built, and you dwell in them. You eat the fruit of vineyards and olive orchards that you did not plant.’
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-Choose Whom You Will Serve
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-14“Now therefore fear the LORD and serve him in sincerity and in faithfulness. Put away the gods that your fathers served beyond the River and in Egypt, and serve the LORD. 15And if it is evil in your eyes to serve the LORD, choose this day whom you will serve, whether the gods your fathers served in the region beyond the River, or the gods of the Amorites in whose land you dwell. But as for me and my house, we will serve the LORD.”
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-16Then the people answered, “Far be it from us that we should forsake the LORD to serve other gods, 17for it is the LORD our God who brought us and our fathers up from the land of Egypt, out of the house of slavery, and who did those great signs in our sight and preserved us in all the way that we went, and among all the peoples through whom we passed. 18And the LORD drove out before us all the peoples, the Amorites who lived in the land. Therefore we also will serve the LORD, for he is our God.”
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-19But Joshua said to the people, “You are not able to serve the LORD, for he is a holy God. He is a jealous God; he will not forgive your transgressions or your sins. 20If you forsake the LORD and serve foreign gods, then he will turn and do you harm and consume you, after having done you good.” 21And the people said to Joshua, “No, but we will serve the LORD.” 22Then Joshua said to the people, “You are witnesses against yourselves that you have chosen the LORD, to serve him.” And they said, “We are witnesses.” 23He said, “Then put away the foreign gods that are among you, and incline your heart to the LORD, the God of Israel.” 24And the people said to Joshua, “The LORD our God we will serve, and his voice we will obey.” 25So Joshua made a covenant with the people that day, and put in place statutes and rules for them at Shechem. 26And Joshua wrote these words in the Book of the Law of God. And he took a large stone and set it up there under the terebinth that was by the sanctuary of the LORD. 27And Joshua said to all the people, “Behold, this stone shall be a witness against us, for it has heard all the words of the LORD that he spoke to us. Therefore it shall be a witness against you, lest you deal falsely with your God.” 28So Joshua sent the people away, every man to his inheritance.
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-
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-
-Joshua's Death and Burial
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-
-29After these things Joshua the son of Nun, the servant of the LORD, died, being 110 years old. 30And they buried him in his own inheritance at Timnath-serah, which is in the hill country of Ephraim, north of the mountain of Gaash.
-
-31Israel served the LORD all the days of Joshua, and all the days of the elders who outlived Joshua and had known all the work that the LORD did for Israel.
-
-32As for the bones of Joseph, which the people of Israel brought up from Egypt, they buried them at Shechem, in the piece of land that Jacob bought from the sons of Hamor the father of Shechem for a hundred pieces of money.[39] It became an inheritance of the descendants of Joseph.
-
-33And Eleazar the son of Aaron died, and they buried him at Gibeah, the town of Phinehas his son, which had been given him in the hill country of Ephraim.
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-
-
-
-
-Footnotes
-
-
-[1] 1:7 Or may act wisely
-
-[2] 2:1 Or had sent
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-[3] 2:8 Hebrew they
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-[4] 2:10 That is, set apart (devoted) as an offering to the Lord (for destruction)
-
-[5] 2:16 Or had said
-
-[6] 3:4 A cubit was about 18 inches or 45 centimeters
-
-[7] 3:11 Hebrew the ark of the covenant, the Lord of all the earth
-
-[8] 4:8 Or to rest
-
-[9] 4:24 Or all the days
-
-[10] 5:3 Gibeath-haaraloth means the hill of the foreskins
-
-[11] 5:9 Gilgal sounds like the Hebrew for to roll
-
-[12] 6:5 Hebrew under itself; also verse 20
-
-[13] 6:17 That is, set apart (devoted) as an offering to the Lord (for destruction); also verses 18, 21
-
-[14] 7:12 That is, set apart (devoted) as an offering to the Lord (for destruction)
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-[15] 7:19 Or and make confession
-
-[16] 7:21 A shekel was about 2/5 ounce or 11 grams
-
-[17] 7:26 Achor means trouble
-
-[18] 8:14 Hebrew appointed time
-
-[19] 8:26 That is, set apart (devoted) as an offering to the Lord (for destruction)
-
-[20] 8:35 Or traveled
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-[21] 10:1 That is, set apart (devoted) as an offering to the Lord (for destruction); also verses 28, 35, 37, 39, 40
-
-[22] 10:2 One Hebrew manuscript, Vulgate (compare Syriac); most Hebrew manuscripts they
-
-[23] 10:10 Or and he
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-[24] 11:11 That is, setting apart (devoting) as an offering to the Lord (for destruction); also verses 12, 20, 21
-
-[25] 12:4 Septuagint; Hebrew the boundary of Og
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-[26] 12:23 Septuagint; Hebrew Gilgal
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-[27] 13:8 Hebrew With it
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-[28] 13:26 Septuagint, Syriac, Vulgate; Hebrew Lidebir
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-[29] 14:15 Kiriath-arba means the city of Arba
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-[30] 14:15 Hebrew He
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-[31] 17:11 The meaning of the Hebrew is uncertain
-
-[32] 18:15 See 15:9; Hebrew westward
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-[33] 18:18 Septuagint; Hebrew to the shoulder over against the Arabah
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-[34] 18:28 Septuagint, Syriac, Vulgate; Hebrew the Jebusite
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-[35] 18:28 Hebrew Gibeath
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-[36] 18:28 Septuagint; Hebrew Kiriath
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-[37] 19:29 Compare Septuagint; Hebrew Mehebel
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-[38] 23:14 Or words; also twice in verse 15
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-[39] 24:32 Hebrew for a hundred qesitah; a unit of money of unknown value
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-
-
-
-
-JUDGES
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-
-Chapter 1
-
-Chapter 2
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-Chapter 3
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-Chapter 4
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-Chapter 5
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-Chapter 6
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-Chapter 7
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-Chapter 8
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-Chapter 9
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-Chapter 10
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-Chapter 11
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-Chapter 12
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-Chapter 13
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-Chapter 14
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-Chapter 15
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-Chapter 16
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-Chapter 17
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-Chapter 18
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-Chapter 19
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-Chapter 20
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-Chapter 21
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-
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-The Continuing Conquest of Canaan
-
-
-1:1 After the death of Joshua, the people of Israel inquired of the LORD, “Who shall go up first for us against the Canaanites, to fight against them?” 2The LORD said, “Judah shall go up; behold, I have given the land into his hand.” 3And Judah said to Simeon his brother, “Come up with me into the territory allotted to me, that we may fight against the Canaanites. And I likewise will go with you into the territory allotted to you.” So Simeon went with him. 4Then Judah went up and the LORD gave the Canaanites and the Perizzites into their hand, and they defeated 10,000 of them at Bezek. 5They found Adoni-bezek at Bezek and fought against him and defeated the Canaanites and the Perizzites. 6Adoni-bezek fled, but they pursued him and caught him and cut off his thumbs and his big toes. 7And Adoni-bezek said, “Seventy kings with their thumbs and their big toes cut off used to pick up scraps under my table. As I have done, so God has repaid me.” And they brought him to Jerusalem, and he died there.
-
-8And the men of Judah fought against Jerusalem and captured it and struck it with the edge of the sword and set the city on fire. 9And afterward the men of Judah went down to fight against the Canaanites who lived in the hill country, in the Negeb, and in the lowland. 10And Judah went against the Canaanites who lived in Hebron (now the name of Hebron was formerly Kiriath-arba), and they defeated Sheshai and Ahiman and Talmai.
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-11From there they went against the inhabitants of Debir. The name of Debir was formerly Kiriath-sepher. 12And Caleb said, “He who attacks Kiriath-sepher and captures it, I will give him Achsah my daughter for a wife.” 13And Othniel the son of Kenaz, Caleb's younger brother, captured it. And he gave him Achsah his daughter for a wife. 14When she came to him, she urged him to ask her father for a field. And she dismounted from her donkey, and Caleb said to her, “What do you want?” 15She said to him, “Give me a blessing. Since you have set me in the land of the Negeb, give me also springs of water.” And Caleb gave her the upper springs and the lower springs.
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-16And the descendants of the Kenite, Moses' father-in-law, went up with the people of Judah from the city of palms into the wilderness of Judah, which lies in the Negeb near Arad, and they went and settled with the people. 17And Judah went with Simeon his brother, and they defeated the Canaanites who inhabited Zephath and devoted it to destruction. So the name of the city was called Hormah.[1] 18Judah also captured Gaza with its territory, and Ashkelon with its territory, and Ekron with its territory. 19And the LORD was with Judah, and he took possession of the hill country, but he could not drive out the inhabitants of the plain because they had chariots of iron. 20And Hebron was given to Caleb, as Moses had said. And he drove out from it the three sons of Anak. 21But the people of Benjamin did not drive out the Jebusites who lived in Jerusalem, so the Jebusites have lived with the people of Benjamin in Jerusalem to this day.
-
-22The house of Joseph also went up against Bethel, and the LORD was with them. 23And the house of Joseph scouted out Bethel. (Now the name of the city was formerly Luz.) 24And the spies saw a man coming out of the city, and they said to him, “Please show us the way into the city, and we will deal kindly with you.” 25And he showed them the way into the city. And they struck the city with the edge of the sword, but they let the man and all his family go. 26And the man went to the land of the Hittites and built a city and called its name Luz. That is its name to this day.
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-
-Failure to Complete the Conquest
-
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-27Manasseh did not drive out the inhabitants of Beth-shean and its villages, or Taanach and its villages, or the inhabitants of Dor and its villages, or the inhabitants of Ibleam and its villages, or the inhabitants of Megiddo and its villages, for the Canaanites persisted in dwelling in that land. 28When Israel grew strong, they put the Canaanites to forced labor, but did not drive them out completely.
-
-29And Ephraim did not drive out the Canaanites who lived in Gezer, so the Canaanites lived in Gezer among them.
-
-30Zebulun did not drive out the inhabitants of Kitron, or the inhabitants of Nahalol, so the Canaanites lived among them, but became subject to forced labor.
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-31Asher did not drive out the inhabitants of Acco, or the inhabitants of Sidon or of Ahlab or of Achzib or of Helbah or of Aphik or of Rehob, 32so the Asherites lived among the Canaanites, the inhabitants of the land, for they did not drive them out.
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-33Naphtali did not drive out the inhabitants of Beth-shemesh, or the inhabitants of Beth-anath, so they lived among the Canaanites, the inhabitants of the land. Nevertheless, the inhabitants of Beth-shemesh and of Beth-anath became subject to forced labor for them.
-
-34The Amorites pressed the people of Dan back into the hill country, for they did not allow them to come down to the plain. 35The Amorites persisted in dwelling in Mount Heres, in Aijalon, and in Shaalbim, but the hand of the house of Joseph rested heavily on them, and they became subject to forced labor. 36And the border of the Amorites ran from the ascent of Akrabbim, from Sela and upward.
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-
-
-
-
-Israel's Disobedience
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-2:1 Now the angel of the LORD went up from Gilgal to Bochim. And he said, “I brought you up from Egypt and brought you into the land that I swore to give to your fathers. I said, ‘I will never break my covenant with you, 2and you shall make no covenant with the inhabitants of this land; you shall break down their altars.’ But you have not obeyed my voice. What is this you have done? 3So now I say, I will not drive them out before you, but they shall become thorns in your sides,[2] and their gods shall be a snare to you.” 4As soon as the angel of the LORD spoke these words to all the people of Israel, the people lifted up their voices and wept. 5And they called the name of that place Bochim.[3] And they sacrificed there to the LORD.
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-
-
-
-
-The Death of Joshua
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-
-6When Joshua dismissed the people, the people of Israel went each to his inheritance to take possession of the land. 7And the people served the LORD all the days of Joshua, and all the days of the elders who outlived Joshua, who had seen all the great work that the LORD had done for Israel. 8And Joshua the son of Nun, the servant of the LORD, died at the age of 110 years. 9And they buried him within the boundaries of his inheritance in Timnath-heres, in the hill country of Ephraim, north of the mountain of Gaash. 10And all that generation also were gathered to their fathers. And there arose another generation after them who did not know the LORD or the work that he had done for Israel.
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-
-
-
-
-Israel's Unfaithfulness
-
-
-11And the people of Israel did what was evil in the sight of the LORD and served the Baals. 12And they abandoned the LORD, the God of their fathers, who had brought them out of the land of Egypt. They went after other gods, from among the gods of the peoples who were around them, and bowed down to them. And they provoked the LORD to anger. 13They abandoned the LORD and served the Baals and the Ashtaroth. 14So the anger of the LORD was kindled against Israel, and he gave them over to plunderers, who plundered them. And he sold them into the hand of their surrounding enemies, so that they could no longer withstand their enemies. 15Whenever they marched out, the hand of the LORD was against them for harm, as the LORD had warned, and as the LORD had sworn to them. And they were in terrible distress.
-
-
-
-
-
-The LORD Raises Up Judges
-
-
-16Then the LORD raised up judges, who saved them out of the hand of those who plundered them. 17Yet they did not listen to their judges, for they whored after other gods and bowed down to them. They soon turned aside from the way in which their fathers had walked, who had obeyed the commandments of the LORD, and they did not do so. 18Whenever the LORD raised up judges for them, the LORD was with the judge, and he saved them from the hand of their enemies all the days of the judge. For the LORD was moved to pity by their groaning because of those who afflicted and oppressed them. 19But whenever the judge died, they turned back and were more corrupt than their fathers, going after other gods, serving them and bowing down to them. They did not drop any of their practices or their stubborn ways. 20So the anger of the LORD was kindled against Israel, and he said, “Because this people has transgressed my covenant that I commanded their fathers and have not obeyed my voice, 21I will no longer drive out before them any of the nations that Joshua left when he died, 22in order to test Israel by them, whether they will take care to walk in the way of the LORD as their fathers did, or not.” 23So the LORD left those nations, not driving them out quickly, and he did not give them into the hand of Joshua.
-
-
-
-
-
-3:1 Now these are the nations that the LORD left, to test Israel by them, that is, all in Israel who had not experienced all the wars in Canaan. 2It was only in order that the generations of the people of Israel might know war, to teach war to those who had not known it before. 3These are the nations: the five lords of the Philistines and all the Canaanites and the Sidonians and the Hivites who lived on Mount Lebanon, from Mount Baal-hermon as far as Lebo-hamath. 4They were for the testing of Israel, to know whether Israel would obey the commandments of the LORD, which he commanded their fathers by the hand of Moses. 5So the people of Israel lived among the Canaanites, the Hittites, the Amorites, the Perizzites, the Hivites, and the Jebusites. 6And their daughters they took to themselves for wives, and their own daughters they gave to their sons, and they served their gods.
-
-
-
-
-
-Othniel
-
-
-7And the people of Israel did what was evil in the sight of the LORD. They forgot the LORD their God and served the Baals and the Asheroth. 8Therefore the anger of the LORD was kindled against Israel, and he sold them into the hand of Cushan-rishathaim king of Mesopotamia. And the people of Israel served Cushan-rishathaim eight years. 9But when the people of Israel cried out to the LORD, the LORD raised up a deliverer for the people of Israel, who saved them, Othniel the son of Kenaz, Caleb's younger brother. 10The Spirit of the LORD was upon him, and he judged Israel. He went out to war, and the LORD gave Cushan-rishathaim king of Mesopotamia into his hand. And his hand prevailed over Cushan-rishathaim. 11So the land had rest forty years. Then Othniel the son of Kenaz died.
-
-
-
-
-
-Ehud
-
-
-12And the people of Israel again did what was evil in the sight of the LORD, and the LORD strengthened Eglon the king of Moab against Israel, because they had done what was evil in the sight of the LORD. 13He gathered to himself the Ammonites and the Amalekites, and went and defeated Israel. And they took possession of the city of palms. 14And the people of Israel served Eglon the king of Moab eighteen years.
-
-15Then the people of Israel cried out to the LORD, and the LORD raised up for them a deliverer, Ehud, the son of Gera, the Benjaminite, a left-handed man. The people of Israel sent tribute by him to Eglon the king of Moab. 16And Ehud made for himself a sword with two edges, a cubit[4] in length, and he bound it on his right thigh under his clothes. 17And he presented the tribute to Eglon king of Moab. Now Eglon was a very fat man. 18And when Ehud had finished presenting the tribute, he sent away the people who carried the tribute. 19But he himself turned back at the idols near Gilgal and said, “I have a secret message for you, O king.” And he commanded, “Silence.” And all his attendants went out from his presence. 20And Ehud came to him as he was sitting alone in his cool roof chamber. And Ehud said, “I have a message from God for you.” And he arose from his seat. 21And Ehud reached with his left hand, took the sword from his right thigh, and thrust it into his belly. 22And the hilt also went in after the blade, and the fat closed over the blade, for he did not pull the sword out of his belly; and the dung came out. 23Then Ehud went out into the porch[5] and closed the doors of the roof chamber behind him and locked them.
-
-24When he had gone, the servants came, and when they saw that the doors of the roof chamber were locked, they thought, “Surely he is relieving himself in the closet of the cool chamber.” 25And they waited till they were embarrassed. But when he still did not open the doors of the roof chamber, they took the key and opened them, and there lay their lord dead on the floor.
-
-26Ehud escaped while they delayed, and he passed beyond the idols and escaped to Seirah. 27When he arrived, he sounded the trumpet in the hill country of Ephraim. Then the people of Israel went down with him from the hill country, and he was their leader. 28And he said to them, “Follow after me, for the LORD has given your enemies the Moabites into your hand.” So they went down after him and seized the fords of the Jordan against the Moabites and did not allow anyone to pass over. 29And they killed at that time about 10,000 of the Moabites, all strong, able-bodied men; not a man escaped. 30So Moab was subdued that day under the hand of Israel. And the land had rest for eighty years.
-
-
-
-
-
-Shamgar
-
-
-31After him was Shamgar the son of Anath, who killed 600 of the Philistines with an oxgoad, and he also saved Israel.
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-
-
-
-
-Deborah and Barak
-
-
-4:1 And the people of Israel again did what was evil in the sight of the LORD after Ehud died. 2And the LORD sold them into the hand of Jabin king of Canaan, who reigned in Hazor. The commander of his army was Sisera, who lived in Harosheth-hagoyim. 3Then the people of Israel cried out to the LORD for help, for he had 900 chariots of iron and he oppressed the people of Israel cruelly for twenty years.
-
-4Now Deborah, a prophetess, the wife of Lappidoth, was judging Israel at that time. 5She used to sit under the palm of Deborah between Ramah and Bethel in the hill country of Ephraim, and the people of Israel came up to her for judgment. 6She sent and summoned Barak the son of Abinoam from Kedesh-naphtali and said to him, “Has not the LORD, the God of Israel, commanded you, ‘Go, gather your men at Mount Tabor, taking 10,000 from the people of Naphtali and the people of Zebulun. 7And I will draw out Sisera, the general of Jabin's army, to meet you by the river Kishon with his chariots and his troops, and I will give him into your hand’?” 8Barak said to her, “If you will go with me, I will go, but if you will not go with me, I will not go.” 9And she said, “I will surely go with you. Nevertheless, the road on which you are going will not lead to your glory, for the LORD will sell Sisera into the hand of a woman.” Then Deborah arose and went with Barak to Kedesh. 10And Barak called out Zebulun and Naphtali to Kedesh. And 10,000 men went up at his heels, and Deborah went up with him.
-
-11Now Heber the Kenite had separated from the Kenites, the descendants of Hobab the father-in-law of Moses, and had pitched his tent as far away as the oak in Zaanannim, which is near Kedesh.
-
-12When Sisera was told that Barak the son of Abinoam had gone up to Mount Tabor, 13Sisera called out all his chariots, 900 chariots of iron, and all the men who were with him, from Harosheth-hagoyim to the river Kishon. 14And Deborah said to Barak, “Up! For this is the day in which the LORD has given Sisera into your hand. Does not the LORD go out before you?” So Barak went down from Mount Tabor with 10,000 men following him. 15And the LORD routed Sisera and all his chariots and all his army before Barak by the edge of the sword. And Sisera got down from his chariot and fled away on foot. 16And Barak pursued the chariots and the army to Harosheth-hagoyim, and all the army of Sisera fell by the edge of the sword; not a man was left.
-
-17But Sisera fled away on foot to the tent of Jael, the wife of Heber the Kenite, for there was peace between Jabin the king of Hazor and the house of Heber the Kenite. 18And Jael came out to meet Sisera and said to him, “Turn aside, my lord; turn aside to me; do not be afraid.” So he turned aside to her into the tent, and she covered him with a rug. 19And he said to her, “Please give me a little water to drink, for I am thirsty.” So she opened a skin of milk and gave him a drink and covered him. 20And he said to her, “Stand at the opening of the tent, and if any man comes and asks you, ‘Is anyone here?’ say, ‘No.’” 21But Jael the wife of Heber took a tent peg, and took a hammer in her hand. Then she went softly to him and drove the peg into his temple until it went down into the ground while he was lying fast asleep from weariness. So he died. 22And behold, as Barak was pursuing Sisera, Jael went out to meet him and said to him, “Come, and I will show you the man whom you are seeking.” So he went in to her tent, and there lay Sisera dead, with the tent peg in his temple.
-
-23So on that day God subdued Jabin the king of Canaan before the people of Israel. 24And the hand of the people of Israel pressed harder and harder against Jabin the king of Canaan, until they destroyed Jabin king of Canaan.
-
-
-
-
-
-The Song of Deborah and Barak
-
-
-5:1 Then sang Deborah and Barak the son of Abinoam on that day:
-
-2“That the leaders took the lead in Israel,
-
-that the people offered themselves willingly,
-
-bless the LORD!
-
-3“Hear, O kings; give ear, O princes;
-
-to the LORD I will sing;
-
-I will make melody to the LORD, the God of Israel.
-
-4“LORD, when you went out from Seir,
-
-when you marched from the region of Edom,
-
-the earth trembled
-
-and the heavens dropped,
-
-yes, the clouds dropped water.
-
-5The mountains quaked before the LORD,
-
-even Sinai before the LORD, the God of Israel.
-
-6“In the days of Shamgar, son of Anath,
-
-in the days of Jael, the highways were abandoned,
-
-and travelers kept to the byways.
-
-7The villagers ceased in Israel;
-
-they ceased to be until I arose;
-
-I, Deborah, arose as a mother in Israel.
-
-8When new gods were chosen,
-
-then war was in the gates.
-
-Was shield or spear to be seen
-
-among forty thousand in Israel?
-
-9My heart goes out to the commanders of Israel
-
-who offered themselves willingly among the people.
-
-Bless the LORD.
-
-10“Tell of it, you who ride on white donkeys,
-
-you who sit on rich carpets[6]
-
-and you who walk by the way.
-
-11To the sound of musicians[7] at the watering places,
-
-there they repeat the righteous triumphs of the LORD,
-
-the righteous triumphs of his villagers in Israel.
-
-“Then down to the gates marched the people of the LORD.
-
-12“Awake, awake, Deborah!
-
-Awake, awake, break out in a song!
-
-Arise, Barak, lead away your captives,
-
-O son of Abinoam.
-
-13Then down marched the remnant of the noble;
-
-the people of the LORD marched down for me against the mighty.
-
-14From Ephraim their root they marched down into the valley,[8]
-
-following you, Benjamin, with your kinsmen;
-
-from Machir marched down the commanders,
-
-and from Zebulun those who bear the lieutenant's[9] staff;
-
-15the princes of Issachar came with Deborah,
-
-and Issachar faithful to Barak;
-
-into the valley they rushed at his heels.
-
-Among the clans of Reuben
-
-there were great searchings of heart.
-
-16Why did you sit still among the sheepfolds,
-
-to hear the whistling for the flocks?
-
-Among the clans of Reuben
-
-there were great searchings of heart.
-
-17Gilead stayed beyond the Jordan;
-
-and Dan, why did he stay with the ships?
-
-Asher sat still at the coast of the sea,
-
-staying by his landings.
-
-18Zebulun is a people who risked their lives to the death;
-
-Naphtali, too, on the heights of the field.
-
-19“The kings came, they fought;
-
-then fought the kings of Canaan,
-
-at Taanach, by the waters of Megiddo;
-
-they got no spoils of silver.
-
-20From heaven the stars fought,
-
-from their courses they fought against Sisera.
-
-21The torrent Kishon swept them away,
-
-the ancient torrent, the torrent Kishon.
-
-March on, my soul, with might!
-
-22“Then loud beat the horses' hoofs
-
-with the galloping, galloping of his steeds.
-
-23“Curse Meroz, says the angel of the LORD,
-
-curse its inhabitants thoroughly,
-
-because they did not come to the help of the LORD,
-
-to the help of the LORD against the mighty.
-
-24“Most blessed of women be Jael,
-
-the wife of Heber the Kenite,
-
-of tent-dwelling women most blessed.
-
-25He asked water and she gave him milk;
-
-she brought him curds in a noble's bowl.
-
-26She sent her hand to the tent peg
-
-and her right hand to the workmen's mallet;
-
-she struck Sisera;
-
-she crushed his head;
-
-she shattered and pierced his temple.
-
-27Between her feet
-
-he sank, he fell, he lay still;
-
-between her feet
-
-he sank, he fell;
-
-where he sank,
-
-there he fell—dead.
-
-28“Out of the window she peered,
-
-the mother of Sisera wailed through the lattice:
-
-‘Why is his chariot so long in coming?
-
-Why tarry the hoofbeats of his chariots?’
-
-29Her wisest princesses answer,
-
-indeed, she answers herself,
-
-30‘Have they not found and divided the spoil?—
-
-A womb or two for every man;
-
-spoil of dyed materials for Sisera,
-
-spoil of dyed materials embroidered,
-
-two pieces of dyed work embroidered for the neck as spoil?’
-
-31“So may all your enemies perish, O LORD!
-
-But your friends be like the sun as he rises in his might.”
-
-And the land had rest for forty years.
-
-
-
-
-
-Midian Oppresses Israel
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-6:1 The people of Israel did what was evil in the sight of the LORD, and the LORD gave them into the hand of Midian seven years. 2And the hand of Midian overpowered Israel, and because of Midian the people of Israel made for themselves the dens that are in the mountains and the caves and the strongholds. 3For whenever the Israelites planted crops, the Midianites and the Amalekites and the people of the East would come up against them. 4They would encamp against them and devour the produce of the land, as far as Gaza, and leave no sustenance in Israel and no sheep or ox or donkey. 5For they would come up with their livestock and their tents; they would come like locusts in number—both they and their camels could not be counted—so that they laid waste the land as they came in. 6And Israel was brought very low because of Midian. And the people of Israel cried out for help to the LORD.
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-7When the people of Israel cried out to the LORD on account of the Midianites, 8the LORD sent a prophet to the people of Israel. And he said to them, “Thus says the LORD, the God of Israel: I led you up from Egypt and brought you out of the house of bondage. 9And I delivered you from the hand of the Egyptians and from the hand of all who oppressed you, and drove them out before you and gave you their land. 10And I said to you, ‘I am the LORD your God; you shall not fear the gods of the Amorites in whose land you dwell.’ But you have not obeyed my voice.”
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-The Call of Gideon
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-11Now the angel of the LORD came and sat under the terebinth at Ophrah, which belonged to Joash the Abiezrite, while his son Gideon was beating out wheat in the winepress to hide it from the Midianites. 12And the angel of the LORD appeared to him and said to him, “The LORD is with you, O mighty man of valor.” 13And Gideon said to him, “Please, sir,[10] if the LORD is with us, why then has all this happened to us? And where are all his wonderful deeds that our fathers recounted to us, saying, ‘Did not the LORD bring us up from Egypt?’ But now the LORD has forsaken us and given us into the hand of Midian.” 14And the LORD[11] turned to him and said, “Go in this might of yours and save Israel from the hand of Midian; do not I send you?” 15And he said to him, “Please, Lord, how can I save Israel? Behold, my clan is the weakest in Manasseh, and I am the least in my father's house.” 16And the LORD said to him, “But I will be with you, and you shall strike the Midianites as one man.” 17And he said to him, “If now I have found favor in your eyes, then show me a sign that it is you who speak with me. 18Please do not depart from here until I come to you and bring out my present and set it before you.” And he said, “I will stay till you return.”
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-19So Gideon went into his house and prepared a young goat and unleavened cakes from an ephah[12] of flour. The meat he put in a basket, and the broth he put in a pot, and brought them to him under the terebinth and presented them. 20And the angel of God said to him, “Take the meat and the unleavened cakes, and put them on this rock, and pour the broth over them.” And he did so. 21Then the angel of the LORD reached out the tip of the staff that was in his hand and touched the meat and the unleavened cakes. And fire sprang up from the rock and consumed the meat and the unleavened cakes. And the angel of the LORD vanished from his sight. 22Then Gideon perceived that he was the angel of the LORD. And Gideon said, “Alas, O Lord GOD! For now I have seen the angel of the LORD face to face.” 23But the LORD said to him, “Peace be to you. Do not fear; you shall not die.” 24Then Gideon built an altar there to the LORD and called it, The LORD Is Peace. To this day it still stands at Ophrah, which belongs to the Abiezrites.
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-25That night the LORD said to him, “Take your father's bull, and the second bull seven years old, and pull down the altar of Baal that your father has, and cut down the Asherah that is beside it 26and build an altar to the LORD your God on the top of the stronghold here, with stones laid in due order. Then take the second bull and offer it as a burnt offering with the wood of the Asherah that you shall cut down.” 27So Gideon took ten men of his servants and did as the LORD had told him. But because he was too afraid of his family and the men of the town to do it by day, he did it by night.
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-Gideon Destroys the Altar of Baal
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-28When the men of the town rose early in the morning, behold, the altar of Baal was broken down, and the Asherah beside it was cut down, and the second bull was offered on the altar that had been built. 29And they said to one another, “Who has done this thing?” And after they had searched and inquired, they said, “Gideon the son of Joash has done this thing.” 30Then the men of the town said to Joash, “Bring out your son, that he may die, for he has broken down the altar of Baal and cut down the Asherah beside it.” 31But Joash said to all who stood against him, “Will you contend for Baal? Or will you save him? Whoever contends for him shall be put to death by morning. If he is a god, let him contend for himself, because his altar has been broken down.” 32Therefore on that day Gideon[13] was called Jerubbaal, that is to say, “Let Baal contend against him,” because he broke down his altar.
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-33Now all the Midianites and the Amalekites and the people of the East came together, and they crossed the Jordan and encamped in the Valley of Jezreel. 34But the Spirit of the LORD clothed Gideon, and he sounded the trumpet, and the Abiezrites were called out to follow him. 35And he sent messengers throughout all Manasseh, and they too were called out to follow him. And he sent messengers to Asher, Zebulun, and Naphtali, and they went up to meet them.
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-The Sign of the Fleece
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-36Then Gideon said to God, “If you will save Israel by my hand, as you have said, 37behold, I am laying a fleece of wool on the threshing floor. If there is dew on the fleece alone, and it is dry on all the ground, then I shall know that you will save Israel by my hand, as you have said.” 38And it was so. When he rose early next morning and squeezed the fleece, he wrung enough dew from the fleece to fill a bowl with water. 39Then Gideon said to God, “Let not your anger burn against me; let me speak just once more. Please let me test just once more with the fleece. Please let it be dry on the fleece only, and on all the ground let there be dew.” 40And God did so that night; and it was dry on the fleece only, and on all the ground there was dew.
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-Gideon's Three Hundred Men
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-7:1 Then Jerubbaal (that is, Gideon) and all the people who were with him rose early and encamped beside the spring of Harod. And the camp of Midian was north of them, by the hill of Moreh, in the valley.
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-2The LORD said to Gideon, “The people with you are too many for me to give the Midianites into their hand, lest Israel boast over me, saying, ‘My own hand has saved me.’ 3Now therefore proclaim in the ears of the people, saying, ‘Whoever is fearful and trembling, let him return home and hurry away from Mount Gilead.’” Then 22,000 of the people returned, and 10,000 remained.
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-4And the LORD said to Gideon, “The people are still too many. Take them down to the water, and I will test them for you there, and anyone of whom I say to you, ‘This one shall go with you,’ shall go with you, and anyone of whom I say to you, ‘This one shall not go with you,’ shall not go.” 5So he brought the people down to the water. And the LORD said to Gideon, “Every one who laps the water with his tongue, as a dog laps, you shall set by himself. Likewise, every one who kneels down to drink.” 6And the number of those who lapped, putting their hands to their mouths, was 300 men, but all the rest of the people knelt down to drink water. 7And the LORD said to Gideon, “With the 300 men who lapped I will save you and give the Midianites into your hand, and let all the others go every man to his home.” 8So the people took provisions in their hands, and their trumpets. And he sent all the rest of Israel every man to his tent, but retained the 300 men. And the camp of Midian was below him in the valley.
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-9That same night the LORD said to him, “Arise, go down against the camp, for I have given it into your hand. 10But if you are afraid to go down, go down to the camp with Purah your servant. 11And you shall hear what they say, and afterward your hands shall be strengthened to go down against the camp.” Then he went down with Purah his servant to the outposts of the armed men who were in the camp. 12And the Midianites and the Amalekites and all the people of the East lay along the valley like locusts in abundance, and their camels were without number, as the sand that is on the seashore in abundance. 13When Gideon came, behold, a man was telling a dream to his comrade. And he said, “Behold, I dreamed a dream, and behold, a cake of barley bread tumbled into the camp of Midian and came to the tent and struck it so that it fell and turned it upside down, so that the tent lay flat.” 14And his comrade answered, “This is no other than the sword of Gideon the son of Joash, a man of Israel; God has given into his hand Midian and all the camp.”
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-15As soon as Gideon heard the telling of the dream and its interpretation, he worshiped. And he returned to the camp of Israel and said, “Arise, for the LORD has given the host of Midian into your hand.” 16And he divided the 300 men into three companies and put trumpets into the hands of all of them and empty jars, with torches inside the jars. 17And he said to them, “Look at me, and do likewise. When I come to the outskirts of the camp, do as I do. 18When I blow the trumpet, I and all who are with me, then blow the trumpets also on every side of all the camp and shout, ‘For the LORD and for Gideon.’”
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-Gideon Defeats Midian
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-19So Gideon and the hundred men who were with him came to the outskirts of the camp at the beginning of the middle watch, when they had just set the watch. And they blew the trumpets and smashed the jars that were in their hands. 20Then the three companies blew the trumpets and broke the jars. They held in their left hands the torches, and in their right hands the trumpets to blow. And they cried out, “A sword for the LORD and for Gideon!” 21Every man stood in his place around the camp, and all the army ran. They cried out and fled. 22When they blew the 300 trumpets, the LORD set every man's sword against his comrade and against all the army. And the army fled as far as Beth-shittah toward Zererah,[14] as far as the border of Abel-meholah, by Tabbath. 23And the men of Israel were called out from Naphtali and from Asher and from all Manasseh, and they pursued after Midian.
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-24Gideon sent messengers throughout all the hill country of Ephraim, saying, “Come down against the Midianites and capture the waters against them, as far as Beth-barah, and also the Jordan.” So all the men of Ephraim were called out, and they captured the waters as far as Beth-barah, and also the Jordan. 25And they captured the two princes of Midian, Oreb and Zeeb. They killed Oreb at the rock of Oreb, and Zeeb they killed at the winepress of Zeeb. Then they pursued Midian, and they brought the heads of Oreb and Zeeb to Gideon across the Jordan.
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-Gideon Defeats Zebah and Zalmunna
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-8:1 Then the men of Ephraim said to him, “What is this that you have done to us, not to call us when you went to fight against Midian?” And they accused him fiercely. 2And he said to them, “What have I done now in comparison with you? Is not the gleaning of the grapes of Ephraim better than the grape harvest of Abiezer? 3God has given into your hands the princes of Midian, Oreb and Zeeb. What have I been able to do in comparison with you?” Then their anger[15] against him subsided when he said this.
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-4And Gideon came to the Jordan and crossed over, he and the 300 men who were with him, exhausted yet pursuing. 5So he said to the men of Succoth, “Please give loaves of bread to the people who follow me, for they are exhausted, and I am pursuing after Zebah and Zalmunna, the kings of Midian.” 6And the officials of Succoth said, “Are the hands of Zebah and Zalmunna already in your hand, that we should give bread to your army?” 7So Gideon said, “Well then, when the LORD has given Zebah and Zalmunna into my hand, I will flail your flesh with the thorns of the wilderness and with briers.” 8And from there he went up to Penuel, and spoke to them in the same way, and the men of Penuel answered him as the men of Succoth had answered. 9And he said to the men of Penuel, “When I come again in peace, I will break down this tower.”
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-10Now Zebah and Zalmunna were in Karkor with their army, about 15,000 men, all who were left of all the army of the people of the East, for there had fallen 120,000 men who drew the sword. 11And Gideon went up by the way of the tent dwellers east of Nobah and Jogbehah and attacked the army, for the army felt secure. 12And Zebah and Zalmunna fled, and he pursued them and captured the two kings of Midian, Zebah and Zalmunna, and he threw all the army into a panic.
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-13Then Gideon the son of Joash returned from the battle by the ascent of Heres. 14And he captured a young man of Succoth and questioned him. And he wrote down for him the officials and elders of Succoth, seventy-seven men. 15And he came to the men of Succoth and said, “Behold Zebah and Zalmunna, about whom you taunted me, saying, ‘Are the hands of Zebah and Zalmunna already in your hand, that we should give bread to your men who are exhausted?’” 16And he took the elders of the city, and he took thorns of the wilderness and briers and with them taught the men of Succoth a lesson. 17And he broke down the tower of Penuel and killed the men of the city.
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-18Then he said to Zebah and Zalmunna, “Where are the men whom you killed at Tabor?” They answered, “As you are, so were they. Every one of them resembled the son of a king.” 19And he said, “They were my brothers, the sons of my mother. As the LORD lives, if you had saved them alive, I would not kill you.” 20So he said to Jether his firstborn, “Rise and kill them!” But the young man did not draw his sword, for he was afraid, because he was still a young man. 21Then Zebah and Zalmunna said, “Rise yourself and fall upon us, for as the man is, so is his strength.” And Gideon arose and killed Zebah and Zalmunna, and he took the crescent ornaments that were on the necks of their camels.
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-Gideon's Ephod
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-22Then the men of Israel said to Gideon, “Rule over us, you and your son and your grandson also, for you have saved us from the hand of Midian.” 23Gideon said to them, “I will not rule over you, and my son will not rule over you; the LORD will rule over you.” 24And Gideon said to them, “Let me make a request of you: every one of you give me the earrings from his spoil.” (For they had golden earrings, because they were Ishmaelites.) 25And they answered, “We will willingly give them.” And they spread a cloak, and every man threw in it the earrings of his spoil. 26And the weight of the golden earrings that he requested was 1,700 shekels[16] of gold, besides the crescent ornaments and the pendants and the purple garments worn by the kings of Midian, and besides the collars that were around the necks of their camels. 27And Gideon made an ephod of it and put it in his city, in Ophrah. And all Israel whored after it there, and it became a snare to Gideon and to his family. 28So Midian was subdued before the people of Israel, and they raised their heads no more. And the land had rest forty years in the days of Gideon.
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-The Death of Gideon
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-29Jerubbaal the son of Joash went and lived in his own house. 30Now Gideon had seventy sons, his own offspring,[17] for he had many wives. 31And his concubine who was in Shechem also bore him a son, and he called his name Abimelech. 32And Gideon the son of Joash died in a good old age and was buried in the tomb of Joash his father, at Ophrah of the Abiezrites.
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-33As soon as Gideon died, the people of Israel turned again and whored after the Baals and made Baal-berith their god. 34And the people of Israel did not remember the LORD their God, who had delivered them from the hand of all their enemies on every side, 35and they did not show steadfast love to the family of Jerubbaal (that is, Gideon) in return for all the good that he had done to Israel.
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-Abimelech's Conspiracy
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-9:1 Now Abimelech the son of Jerubbaal went to Shechem to his mother's relatives and said to them and to the whole clan of his mother's family, 2“Say in the ears of all the leaders of Shechem, ‘Which is better for you, that all seventy of the sons of Jerubbaal rule over you, or that one rule over you?’ Remember also that I am your bone and your flesh.”
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-3And his mother's relatives spoke all these words on his behalf in the ears of all the leaders of Shechem, and their hearts inclined to follow Abimelech, for they said, “He is our brother.” 4And they gave him seventy pieces of silver out of the house of Baal-berith with which Abimelech hired worthless and reckless fellows, who followed him. 5And he went to his father's house at Ophrah and killed his brothers the sons of Jerubbaal, seventy men, on one stone. But Jotham the youngest son of Jerubbaal was left, for he hid himself. 6And all the leaders of Shechem came together, and all Beth-millo, and they went and made Abimelech king, by the oak of the pillar at Shechem.
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-7When it was told to Jotham, he went and stood on top of Mount Gerizim and cried aloud and said to them, “Listen to me, you leaders of Shechem, that God may listen to you. 8The trees once went out to anoint a king over them, and they said to the olive tree, ‘Reign over us.’ 9But the olive tree said to them, ‘Shall I leave my abundance, by which gods and men are honored, and go hold sway over the trees?’ 10And the trees said to the fig tree, ‘You come and reign over us.’ 11But the fig tree said to them, ‘Shall I leave my sweetness and my good fruit and go hold sway over the trees?’ 12And the trees said to the vine, ‘You come and reign over us.’ 13But the vine said to them, ‘Shall I leave my wine that cheers God and men and go hold sway over the trees?’ 14Then all the trees said to the bramble, ‘You come and reign over us.’ 15And the bramble said to the trees, ‘If in good faith you are anointing me king over you, then come and take refuge in my shade, but if not, let fire come out of the bramble and devour the cedars of Lebanon.’
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-16“Now therefore, if you acted in good faith and integrity when you made Abimelech king, and if you have dealt well with Jerubbaal and his house and have done to him as his deeds deserved— 17for my father fought for you and risked his life and delivered you from the hand of Midian, 18and you have risen up against my father's house this day and have killed his sons, seventy men on one stone, and have made Abimelech, the son of his female servant, king over the leaders of Shechem, because he is your relative— 19if you then have acted in good faith and integrity with Jerubbaal and with his house this day, then rejoice in Abimelech, and let him also rejoice in you. 20But if not, let fire come out from Abimelech and devour the leaders of Shechem and Beth-millo; and let fire come out from the leaders of Shechem and from Beth-millo and devour Abimelech.” 21And Jotham ran away and fled and went to Beer and lived there, because of Abimelech his brother.
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-The Downfall of Abimelech
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-22Abimelech ruled over Israel three years. 23And God sent an evil spirit between Abimelech and the leaders of Shechem, and the leaders of Shechem dealt treacherously with Abimelech, 24that the violence done to the seventy sons of Jerubbaal might come, and their blood be laid on Abimelech their brother, who killed them, and on the men of Shechem, who strengthened his hands to kill his brothers. 25And the leaders of Shechem put men in ambush against him on the mountaintops, and they robbed all who passed by them along that way. And it was told to Abimelech.
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-26And Gaal the son of Ebed moved into Shechem with his relatives, and the leaders of Shechem put confidence in him. 27And they went out into the field and gathered the grapes from their vineyards and trod them and held a festival; and they went into the house of their god and ate and drank and reviled Abimelech. 28And Gaal the son of Ebed said, “Who is Abimelech, and who are we of Shechem, that we should serve him? Is he not the son of Jerubbaal, and is not Zebul his officer? Serve the men of Hamor the father of Shechem; but why should we serve him? 29Would that this people were under my hand! Then I would remove Abimelech. I would say[18] to Abimelech, ‘Increase your army, and come out.’”
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-30When Zebul the ruler of the city heard the words of Gaal the son of Ebed, his anger was kindled. 31And he sent messengers to Abimelech secretly,[19] saying, “Behold, Gaal the son of Ebed and his relatives have come to Shechem, and they are stirring up[20] the city against you. 32Now therefore, go by night, you and the people who are with you, and set an ambush in the field. 33Then in the morning, as soon as the sun is up, rise early and rush upon the city. And when he and the people who are with him come out against you, you may do to them as your hand finds to do.”
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-34So Abimelech and all the men who were with him rose up by night and set an ambush against Shechem in four companies. 35And Gaal the son of Ebed went out and stood in the entrance of the gate of the city, and Abimelech and the people who were with him rose from the ambush. 36And when Gaal saw the people, he said to Zebul, “Look, people are coming down from the mountaintops!” And Zebul said to him, “You mistake[21] the shadow of the mountains for men.” 37Gaal spoke again and said, “Look, people are coming down from the center of the land, and one company is coming from the direction of the Diviners' Oak.” 38Then Zebul said to him, “Where is your mouth now, you who said, ‘Who is Abimelech, that we should serve him?’ Are not these the people whom you despised? Go out now and fight with them.” 39And Gaal went out at the head of the leaders of Shechem and fought with Abimelech. 40And Abimelech chased him, and he fled before him. And many fell wounded, up to the entrance of the gate. 41And Abimelech lived at Arumah, and Zebul drove out Gaal and his relatives, so that they could not dwell at Shechem.
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-42On the following day, the people went out into the field, and Abimelech was told. 43He took his people and divided them into three companies and set an ambush in the fields. And he looked and saw the people coming out of the city. So he rose against them and killed them. 44Abimelech and the company that was with him rushed forward and stood at the entrance of the gate of the city, while the two companies rushed upon all who were in the field and killed them. 45And Abimelech fought against the city all that day. He captured the city and killed the people who were in it, and he razed the city and sowed it with salt.
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-46When all the leaders of the Tower of Shechem heard of it, they entered the stronghold of the house of El-berith. 47Abimelech was told that all the leaders of the Tower of Shechem were gathered together. 48And Abimelech went up to Mount Zalmon, he and all the people who were with him. And Abimelech took an axe in his hand and cut down a bundle of brushwood and took it up and laid it on his shoulder. And he said to the men who were with him, “What you have seen me do, hurry and do as I have done.” 49So every one of the people cut down his bundle and following Abimelech put it against the stronghold, and they set the stronghold on fire over them, so that all the people of the Tower of Shechem also died, about 1,000 men and women.
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-50Then Abimelech went to Thebez and encamped against Thebez and captured it. 51But there was a strong tower within the city, and all the men and women and all the leaders of the city fled to it and shut themselves in, and they went up to the roof of the tower. 52And Abimelech came to the tower and fought against it and drew near to the door of the tower to burn it with fire. 53And a certain woman threw an upper millstone on Abimelech's head and crushed his skull. 54Then he called quickly to the young man his armor-bearer and said to him, “Draw your sword and kill me, lest they say of me, ‘A woman killed him.’” And his young man thrust him through, and he died. 55And when the men of Israel saw that Abimelech was dead, everyone departed to his home. 56Thus God returned the evil of Abimelech, which he committed against his father in killing his seventy brothers. 57And God also made all the evil of the men of Shechem return on their heads, and upon them came the curse of Jotham the son of Jerubbaal.
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-Tola and Jair
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-10:1 After Abimelech there arose to save Israel Tola the son of Puah, son of Dodo, a man of Issachar, and he lived at Shamir in the hill country of Ephraim. 2And he judged Israel twenty-three years. Then he died and was buried at Shamir.
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-3After him arose Jair the Gileadite, who judged Israel twenty-two years. 4And he had thirty sons who rode on thirty donkeys, and they had thirty cities, called Havvoth-jair to this day, which are in the land of Gilead. 5And Jair died and was buried in Kamon.
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-Further Disobedience and Oppression
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-6The people of Israel again did what was evil in the sight of the LORD and served the Baals and the Ashtaroth, the gods of Syria, the gods of Sidon, the gods of Moab, the gods of the Ammonites, and the gods of the Philistines. And they forsook the LORD and did not serve him. 7So the anger of the LORD was kindled against Israel, and he sold them into the hand of the Philistines and into the hand of the Ammonites, 8and they crushed and oppressed the people of Israel that year. For eighteen years they oppressed all the people of Israel who were beyond the Jordan in the land of the Amorites, which is in Gilead. 9And the Ammonites crossed the Jordan to fight also against Judah and against Benjamin and against the house of Ephraim, so that Israel was severely distressed.
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-10And the people of Israel cried out to the LORD, saying, “We have sinned against you, because we have forsaken our God and have served the Baals.” 11And the LORD said to the people of Israel, “Did I not save you from the Egyptians and from the Amorites, from the Ammonites and from the Philistines? 12The Sidonians also, and the Amalekites and the Maonites oppressed you, and you cried out to me, and I saved you out of their hand. 13Yet you have forsaken me and served other gods; therefore I will save you no more. 14Go and cry out to the gods whom you have chosen; let them save you in the time of your distress.” 15And the people of Israel said to the LORD, “We have sinned; do to us whatever seems good to you. Only please deliver us this day.” 16So they put away the foreign gods from among them and served the LORD, and he became impatient over the misery of Israel.
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-17Then the Ammonites were called to arms, and they encamped in Gilead. And the people of Israel came together, and they encamped at Mizpah. 18And the people, the leaders of Gilead, said one to another, “Who is the man who will begin to fight against the Ammonites? He shall be head over all the inhabitants of Gilead.”
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-Jephthah Delivers Israel
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-11:1 Now Jephthah the Gileadite was a mighty warrior, but he was the son of a prostitute. Gilead was the father of Jephthah. 2And Gilead's wife also bore him sons. And when his wife's sons grew up, they drove Jephthah out and said to him, “You shall not have an inheritance in our father's house, for you are the son of another woman.” 3Then Jephthah fled from his brothers and lived in the land of Tob, and worthless fellows collected around Jephthah and went out with him.
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-4After a time the Ammonites made war against Israel. 5And when the Ammonites made war against Israel, the elders of Gilead went to bring Jephthah from the land of Tob. 6And they said to Jephthah, “Come and be our leader, that we may fight against the Ammonites.” 7But Jephthah said to the elders of Gilead, “Did you not hate me and drive me out of my father's house? Why have you come to me now when you are in distress?” 8And the elders of Gilead said to Jephthah, “That is why we have turned to you now, that you may go with us and fight against the Ammonites and be our head over all the inhabitants of Gilead.” 9Jephthah said to the elders of Gilead, “If you bring me home again to fight against the Ammonites, and the LORD gives them over to me, I will be your head.” 10And the elders of Gilead said to Jephthah, “The LORD will be witness between us, if we do not do as you say.” 11So Jephthah went with the elders of Gilead, and the people made him head and leader over them. And Jephthah spoke all his words before the LORD at Mizpah.
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-12Then Jephthah sent messengers to the king of the Ammonites and said, “What do you have against me, that you have come to me to fight against my land?” 13And the king of the Ammonites answered the messengers of Jephthah, “Because Israel on coming up from Egypt took away my land, from the Arnon to the Jabbok and to the Jordan; now therefore restore it peaceably.” 14Jephthah again sent messengers to the king of the Ammonites 15and said to him, “Thus says Jephthah: Israel did not take away the land of Moab or the land of the Ammonites, 16but when they came up from Egypt, Israel went through the wilderness to the Red Sea and came to Kadesh. 17Israel then sent messengers to the king of Edom, saying, ‘Please let us pass through your land,’ but the king of Edom would not listen. And they sent also to the king of Moab, but he would not consent. So Israel remained at Kadesh.
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-18“Then they journeyed through the wilderness and went around the land of Edom and the land of Moab and arrived on the east side of the land of Moab and camped on the other side of the Arnon. But they did not enter the territory of Moab, for the Arnon was the boundary of Moab. 19Israel then sent messengers to Sihon king of the Amorites, king of Heshbon, and Israel said to him, ‘Please let us pass through your land to our country,’ 20but Sihon did not trust Israel to pass through his territory, so Sihon gathered all his people together and encamped at Jahaz and fought with Israel. 21And the LORD, the God of Israel, gave Sihon and all his people into the hand of Israel, and they defeated them. So Israel took possession of all the land of the Amorites, who inhabited that country. 22And they took possession of all the territory of the Amorites from the Arnon to the Jabbok and from the wilderness to the Jordan. 23So then the LORD, the God of Israel, dispossessed the Amorites from before his people Israel; and are you to take possession of them? 24Will you not possess what Chemosh your god gives you to possess? And all that the LORD our God has dispossessed before us, we will possess. 25Now are you any better than Balak the son of Zippor, king of Moab? Did he ever contend against Israel, or did he ever go to war with them? 26While Israel lived in Heshbon and its villages, and in Aroer and its villages, and in all the cities that are on the banks of the Arnon, 300 years, why did you not deliver them within that time? 27I therefore have not sinned against you, and you do me wrong by making war on me. The LORD, the Judge, decide this day between the people of Israel and the people of Ammon.” 28But the king of the Ammonites did not listen to the words of Jephthah that he sent to him.
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-Jephthah's Tragic Vow
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-29Then the Spirit of the LORD was upon Jephthah, and he passed through Gilead and Manasseh and passed on to Mizpah of Gilead, and from Mizpah of Gilead he passed on to the Ammonites. 30And Jephthah made a vow to the LORD and said, “If you will give the Ammonites into my hand, 31then whatever[22] comes out from the doors of my house to meet me when I return in peace from the Ammonites shall be the LORD's, and I will offer it[23] up for a burnt offering.” 32So Jephthah crossed over to the Ammonites to fight against them, and the LORD gave them into his hand. 33And he struck them from Aroer to the neighborhood of Minnith, twenty cities, and as far as Abel-keramim, with a great blow. So the Ammonites were subdued before the people of Israel.
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-34Then Jephthah came to his home at Mizpah. And behold, his daughter came out to meet him with tambourines and with dances. She was his only child; besides her he had neither son nor daughter. 35And as soon as he saw her, he tore his clothes and said, “Alas, my daughter! You have brought me very low, and you have become the cause of great trouble to me. For I have opened my mouth to the LORD, and I cannot take back my vow.” 36And she said to him, “My father, you have opened your mouth to the LORD; do to me according to what has gone out of your mouth, now that the LORD has avenged you on your enemies, on the Ammonites.” 37So she said to her father, “Let this thing be done for me: leave me alone two months, that I may go up and down on the mountains and weep for my virginity, I and my companions.” 38So he said, “Go.” Then he sent her away for two months, and she departed, she and her companions, and wept for her virginity on the mountains. 39And at the end of two months, she returned to her father, who did with her according to his vow that he had made. She had never known a man, and it became a custom in Israel 40that the daughters of Israel went year by year to lament the daughter of Jephthah the Gileadite four days in the year.
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-Jephthah's Conflict with Ephraim
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-12:1 The men of Ephraim were called to arms, and they crossed to Zaphon and said to Jephthah, “Why did you cross over to fight against the Ammonites and did not call us to go with you? We will burn your house over you with fire.” 2And Jephthah said to them, “I and my people had a great dispute with the Ammonites, and when I called you, you did not save me from their hand. 3And when I saw that you would not save me, I took my life in my hand and crossed over against the Ammonites, and the LORD gave them into my hand. Why then have you come up to me this day to fight against me?” 4Then Jephthah gathered all the men of Gilead and fought with Ephraim. And the men of Gilead struck Ephraim, because they said, “You are fugitives of Ephraim, you Gileadites, in the midst of Ephraim and Manasseh.” 5And the Gileadites captured the fords of the Jordan against the Ephraimites. And when any of the fugitives of Ephraim said, “Let me go over,” the men of Gilead said to him, “Are you an Ephraimite?” When he said, “No,” 6they said to him, “Then say Shibboleth,” and he said, “Sibboleth,” for he could not pronounce it right. Then they seized him and slaughtered him at the fords of the Jordan. At that time 42,000 of the Ephraimites fell.
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-7Jephthah judged Israel six years. Then Jephthah the Gileadite died and was buried in his city in Gilead.[24]
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-Ibzan, Elon, and Abdon
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-8After him Ibzan of Bethlehem judged Israel. 9He had thirty sons, and thirty daughters he gave in marriage outside his clan, and thirty daughters he brought in from outside for his sons. And he judged Israel seven years. 10Then Ibzan died and was buried at Bethlehem.
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-11After him Elon the Zebulunite judged Israel, and he judged Israel ten years. 12Then Elon the Zebulunite died and was buried at Aijalon in the land of Zebulun.
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-13After him Abdon the son of Hillel the Pirathonite judged Israel. 14He had forty sons and thirty grandsons, who rode on seventy donkeys, and he judged Israel eight years. 15Then Abdon the son of Hillel the Pirathonite died and was buried at Pirathon in the land of Ephraim, in the hill country of the Amalekites.
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-The Birth of Samson
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-13:1 And the people of Israel again did what was evil in the sight of the LORD, so the LORD gave them into the hand of the Philistines for forty years.
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-2There was a certain man of Zorah, of the tribe of the Danites, whose name was Manoah. And his wife was barren and had no children. 3And the angel of the LORD appeared to the woman and said to her, “Behold, you are barren and have not borne children, but you shall conceive and bear a son. 4Therefore be careful and drink no wine or strong drink, and eat nothing unclean, 5for behold, you shall conceive and bear a son. No razor shall come upon his head, for the child shall be a Nazirite to God from the womb, and he shall begin to save Israel from the hand of the Philistines.” 6Then the woman came and told her husband, “A man of God came to me, and his appearance was like the appearance of the angel of God, very awesome. I did not ask him where he was from, and he did not tell me his name, 7but he said to me, ‘Behold, you shall conceive and bear a son. So then drink no wine or strong drink, and eat nothing unclean, for the child shall be a Nazirite to God from the womb to the day of his death.’”
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-8Then Manoah prayed to the LORD and said, “O Lord, please let the man of God whom you sent come again to us and teach us what we are to do with the child who will be born.” 9And God listened to the voice of Manoah, and the angel of God came again to the woman as she sat in the field. But Manoah her husband was not with her. 10So the woman ran quickly and told her husband, “Behold, the man who came to me the other day has appeared to me.” 11And Manoah arose and went after his wife and came to the man and said to him, “Are you the man who spoke to this woman?” And he said, “I am.” 12And Manoah said, “Now when your words come true, what is to be the child's manner of life, and what is his mission?” 13And the angel of the LORD said to Manoah, “Of all that I said to the woman let her be careful. 14She may not eat of anything that comes from the vine, neither let her drink wine or strong drink, or eat any unclean thing. All that I commanded her let her observe.”
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-15Manoah said to the angel of the LORD, “Please let us detain you and prepare a young goat for you.” 16And the angel of the LORD said to Manoah, “If you detain me, I will not eat of your food. But if you prepare a burnt offering, then offer it to the LORD.” (For Manoah did not know that he was the angel of the LORD.) 17And Manoah said to the angel of the LORD, “What is your name, so that, when your words come true, we may honor you?” 18And the angel of the LORD said to him, “Why do you ask my name, seeing it is wonderful?” 19So Manoah took the young goat with the grain offering, and offered it on the rock to the LORD, to the one who works[25] wonders, and Manoah and his wife were watching. 20And when the flame went up toward heaven from the altar, the angel of the LORD went up in the flame of the altar. Now Manoah and his wife were watching, and they fell on their faces to the ground.
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-21The angel of the LORD appeared no more to Manoah and to his wife. Then Manoah knew that he was the angel of the LORD. 22And Manoah said to his wife, “We shall surely die, for we have seen God.” 23But his wife said to him, “If the LORD had meant to kill us, he would not have accepted a burnt offering and a grain offering at our hands, or shown us all these things, or now announced to us such things as these.” 24And the woman bore a son and called his name Samson. And the young man grew, and the LORD blessed him. 25And the Spirit of the LORD began to stir him in Mahaneh-dan, between Zorah and Eshtaol.
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-Samson's Marriage
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-14:1 Samson went down to Timnah, and at Timnah he saw one of the daughters of the Philistines. 2Then he came up and told his father and mother, “I saw one of the daughters of the Philistines at Timnah. Now get her for me as my wife.” 3But his father and mother said to him, “Is there not a woman among the daughters of your relatives, or among all our people, that you must go to take a wife from the uncircumcised Philistines?” But Samson said to his father, “Get her for me, for she is right in my eyes.”
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-4His father and mother did not know that it was from the LORD, for he was seeking an opportunity against the Philistines. At that time the Philistines ruled over Israel.
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-5Then Samson went down with his father and mother to Timnah, and they came to the vineyards of Timnah. And behold, a young lion came toward him roaring. 6Then the Spirit of the LORD rushed upon him, and although he had nothing in his hand, he tore the lion in pieces as one tears a young goat. But he did not tell his father or his mother what he had done. 7Then he went down and talked with the woman, and she was right in Samson's eyes.
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-8After some days he returned to take her. And he turned aside to see the carcass of the lion, and behold, there was a swarm of bees in the body of the lion, and honey. 9He scraped it out into his hands and went on, eating as he went. And he came to his father and mother and gave some to them, and they ate. But he did not tell them that he had scraped the honey from the carcass of the lion.
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-10His father went down to the woman, and Samson prepared a feast there, for so the young men used to do. 11As soon as the people saw him, they brought thirty companions to be with him. 12And Samson said to them, “Let me now put a riddle to you. If you can tell me what it is, within the seven days of the feast, and find it out, then I will give you thirty linen garments and thirty changes of clothes, 13but if you cannot tell me what it is, then you shall give me thirty linen garments and thirty changes of clothes.” And they said to him, “Put your riddle, that we may hear it.” 14And he said to them,
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-“Out of the eater came something to eat.
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-Out of the strong came something sweet.”
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-And in three days they could not solve the riddle.
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-15On the fourth[26] day they said to Samson's wife, “Entice your husband to tell us what the riddle is, lest we burn you and your father's house with fire. Have you invited us here to impoverish us?” 16And Samson's wife wept over him and said, “You only hate me; you do not love me. You have put a riddle to my people, and you have not told me what it is.” And he said to her, “Behold, I have not told my father nor my mother, and shall I tell you?” 17She wept before him the seven days that their feast lasted, and on the seventh day he told her, because she pressed him hard. Then she told the riddle to her people. 18And the men of the city said to him on the seventh day before the sun went down,
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-“What is sweeter than honey?
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-What is stronger than a lion?”
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-And he said to them,
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-“If you had not plowed with my heifer,
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-you would not have found out my riddle.”
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-19And the Spirit of the LORD rushed upon him, and he went down to Ashkelon and struck down thirty men of the town and took their spoil and gave the garments to those who had told the riddle. In hot anger he went back to his father's house. 20And Samson's wife was given to his companion, who had been his best man.
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-Samson Defeats the Philistines
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-15:1 After some days, at the time of wheat harvest, Samson went to visit his wife with a young goat. And he said, “I will go in to my wife in the chamber.” But her father would not allow him to go in. 2And her father said, “I really thought that you utterly hated her, so I gave her to your companion. Is not her younger sister more beautiful than she? Please take her instead.” 3And Samson said to them, “This time I shall be innocent in regard to the Philistines, when I do them harm.” 4So Samson went and caught 300 foxes and took torches. And he turned them tail to tail and put a torch between each pair of tails. 5And when he had set fire to the torches, he let the foxes go into the standing grain of the Philistines and set fire to the stacked grain and the standing grain, as well as the olive orchards. 6Then the Philistines said, “Who has done this?” And they said, “Samson, the son-in-law of the Timnite, because he has taken his wife and given her to his companion.” And the Philistines came up and burned her and her father with fire. 7And Samson said to them, “If this is what you do, I swear I will be avenged on you, and after that I will quit.” 8And he struck them hip and thigh with a great blow, and he went down and stayed in the cleft of the rock of Etam.
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-9Then the Philistines came up and encamped in Judah and made a raid on Lehi. 10And the men of Judah said, “Why have you come up against us?” They said, “We have come up to bind Samson, to do to him as he did to us.” 11Then 3,000 men of Judah went down to the cleft of the rock of Etam, and said to Samson, “Do you not know that the Philistines are rulers over us? What then is this that you have done to us?” And he said to them, “As they did to me, so have I done to them.” 12And they said to him, “We have come down to bind you, that we may give you into the hands of the Philistines.” And Samson said to them, “Swear to me that you will not attack me yourselves.” 13They said to him, “No; we will only bind you and give you into their hands. We will surely not kill you.” So they bound him with two new ropes and brought him up from the rock.
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-14When he came to Lehi, the Philistines came shouting to meet him. Then the Spirit of the LORD rushed upon him, and the ropes that were on his arms became as flax that has caught fire, and his bonds melted off his hands. 15And he found a fresh jawbone of a donkey, and put out his hand and took it, and with it he struck 1,000 men. 16And Samson said,
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-“With the jawbone of a donkey,
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-heaps upon heaps,
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-with the jawbone of a donkey
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-have I struck down a thousand men.”
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-17As soon as he had finished speaking, he threw away the jawbone out of his hand. And that place was called Ramath-lehi.[27]
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-18And he was very thirsty, and he called upon the LORD and said, “You have granted this great salvation by the hand of your servant, and shall I now die of thirst and fall into the hands of the uncircumcised?” 19And God split open the hollow place that is at Lehi, and water came out from it. And when he drank, his spirit returned, and he revived. Therefore the name of it was called En-hakkore;[28] it is at Lehi to this day. 20And he judged Israel in the days of the Philistines twenty years.
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-Samson and Delilah
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-16:1 Samson went to Gaza, and there he saw a prostitute, and he went in to her. 2The Gazites were told, “Samson has come here.” And they surrounded the place and set an ambush for him all night at the gate of the city. They kept quiet all night, saying, “Let us wait till the light of the morning; then we will kill him.” 3But Samson lay till midnight, and at midnight he arose and took hold of the doors of the gate of the city and the two posts, and pulled them up, bar and all, and put them on his shoulders and carried them to the top of the hill that is in front of Hebron.
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-4After this he loved a woman in the Valley of Sorek, whose name was Delilah. 5And the lords of the Philistines came up to her and said to her, “Seduce him, and see where his great strength lies, and by what means we may overpower him, that we may bind him to humble him. And we will each give you 1,100 pieces of silver.” 6So Delilah said to Samson, “Please tell me where your great strength lies, and how you might be bound, that one could subdue you.”
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-7Samson said to her, “If they bind me with seven fresh bowstrings that have not been dried, then I shall become weak and be like any other man.” 8Then the lords of the Philistines brought up to her seven fresh bowstrings that had not been dried, and she bound him with them. 9Now she had men lying in ambush in an inner chamber. And she said to him, “The Philistines are upon you, Samson!” But he snapped the bowstrings, as a thread of flax snaps when it touches the fire. So the secret of his strength was not known.
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-10Then Delilah said to Samson, “Behold, you have mocked me and told me lies. Please tell me how you might be bound.” 11And he said to her, “If they bind me with new ropes that have not been used, then I shall become weak and be like any other man.” 12So Delilah took new ropes and bound him with them and said to him, “The Philistines are upon you, Samson!” And the men lying in ambush were in an inner chamber. But he snapped the ropes off his arms like a thread.
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-13Then Delilah said to Samson, “Until now you have mocked me and told me lies. Tell me how you might be bound.” And he said to her, “If you weave the seven locks of my head with the web and fasten it tight with the pin, then I shall become weak and be like any other man.” 14So while he slept, Delilah took the seven locks of his head and wove them into the web.[29] And she made them tight with the pin and said to him, “The Philistines are upon you, Samson!” But he awoke from his sleep and pulled away the pin, the loom, and the web.
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-15And she said to him, “How can you say, ‘I love you,’ when your heart is not with me? You have mocked me these three times, and you have not told me where your great strength lies.” 16And when she pressed him hard with her words day after day, and urged him, his soul was vexed to death. 17And he told her all his heart, and said to her, “A razor has never come upon my head, for I have been a Nazirite to God from my mother's womb. If my head is shaved, then my strength will leave me, and I shall become weak and be like any other man.”
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-18When Delilah saw that he had told her all his heart, she sent and called the lords of the Philistines, saying, “Come up again, for he has told me all his heart.” Then the lords of the Philistines came up to her and brought the money in their hands. 19She made him sleep on her knees. And she called a man and had him shave off the seven locks of his head. Then she began to torment him, and his strength left him. 20And she said, “The Philistines are upon you, Samson!” And he awoke from his sleep and said, “I will go out as at other times and shake myself free.” But he did not know that the LORD had left him. 21And the Philistines seized him and gouged out his eyes and brought him down to Gaza and bound him with bronze shackles. And he ground at the mill in the prison. 22But the hair of his head began to grow again after it had been shaved.
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-The Death of Samson
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-23Now the lords of the Philistines gathered to offer a great sacrifice to Dagon their god and to rejoice, and they said, “Our god has given Samson our enemy into our hand.” 24And when the people saw him, they praised their god. For they said, “Our god has given our enemy into our hand, the ravager of our country, who has killed many of us.”[30] 25And when their hearts were merry, they said, “Call Samson, that he may entertain us.” So they called Samson out of the prison, and he entertained them. They made him stand between the pillars. 26And Samson said to the young man who held him by the hand, “Let me feel the pillars on which the house rests, that I may lean against them.” 27Now the house was full of men and women. All the lords of the Philistines were there, and on the roof there were about 3,000 men and women, who looked on while Samson entertained.
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-28Then Samson called to the LORD and said, “O Lord GOD, please remember me and please strengthen me only this once, O God, that I may be avenged on the Philistines for my two eyes.” 29And Samson grasped the two middle pillars on which the house rested, and he leaned his weight against them, his right hand on the one and his left hand on the other. 30And Samson said, “Let me die with the Philistines.” Then he bowed with all his strength, and the house fell upon the lords and upon all the people who were in it. So the dead whom he killed at his death were more than those whom he had killed during his life. 31Then his brothers and all his family came down and took him and brought him up and buried him between Zorah and Eshtaol in the tomb of Manoah his father. He had judged Israel twenty years.
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-Micah and the Levite
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-17:1 There was a man of the hill country of Ephraim, whose name was Micah. 2And he said to his mother, “The 1,100 pieces of silver that were taken from you, about which you uttered a curse, and also spoke it in my ears, behold, the silver is with me; I took it.” And his mother said, “Blessed be my son by the LORD.” 3And he restored the 1,100 pieces of silver to his mother. And his mother said, “I dedicate the silver to the LORD from my hand for my son, to make a carved image and a metal image. Now therefore I will restore it to you.” 4So when he restored the money to his mother, his mother took 200 pieces of silver and gave it to the silversmith, who made it into a carved image and a metal image. And it was in the house of Micah. 5And the man Micah had a shrine, and he made an ephod and household gods, and ordained[31] one of his sons, who became his priest. 6In those days there was no king in Israel. Everyone did what was right in his own eyes.
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-7Now there was a young man of Bethlehem in Judah, of the family of Judah, who was a Levite, and he sojourned there. 8And the man departed from the town of Bethlehem in Judah to sojourn where he could find a place. And as he journeyed, he came to the hill country of Ephraim to the house of Micah. 9And Micah said to him, “Where do you come from?” And he said to him, “I am a Levite of Bethlehem in Judah, and I am going to sojourn where I may find a place.” 10And Micah said to him, “Stay with me, and be to me a father and a priest, and I will give you ten pieces of silver a year and a suit of clothes and your living.” And the Levite went in. 11And the Levite was content to dwell with the man, and the young man became to him like one of his sons. 12And Micah ordained the Levite, and the young man became his priest, and was in the house of Micah. 13Then Micah said, “Now I know that the LORD will prosper me, because I have a Levite as priest.”
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-Danites Take the Levite and the Idol
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-18:1 In those days there was no king in Israel. And in those days the tribe of the people of Dan was seeking for itself an inheritance to dwell in, for until then no inheritance among the tribes of Israel had fallen to them. 2So the people of Dan sent five able men from the whole number of their tribe, from Zorah and from Eshtaol, to spy out the land and to explore it. And they said to them, “Go and explore the land.” And they came to the hill country of Ephraim, to the house of Micah, and lodged there. 3When they were by the house of Micah, they recognized the voice of the young Levite. And they turned aside and said to him, “Who brought you here? What are you doing in this place? What is your business here?” 4And he said to them, “This is how Micah dealt with me: he has hired me, and I have become his priest.” 5And they said to him, “Inquire of God, please, that we may know whether the journey on which we are setting out will succeed.” 6And the priest said to them, “Go in peace. The journey on which you go is under the eye of the LORD.”
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-7Then the five men departed and came to Laish and saw the people who were there, how they lived in security, after the manner of the Sidonians, quiet and unsuspecting, lacking[32] nothing that is in the earth and possessing wealth, and how they were far from the Sidonians and had no dealings with anyone. 8And when they came to their brothers at Zorah and Eshtaol, their brothers said to them, “What do you report?” 9They said, “Arise, and let us go up against them, for we have seen the land, and behold, it is very good. And will you do nothing? Do not be slow to go, to enter in and possess the land. 10As soon as you go, you will come to an unsuspecting people. The land is spacious, for God has given it into your hands, a place where there is no lack of anything that is in the earth.”
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-11So 600 men of the tribe of Dan, armed with weapons of war, set out from Zorah and Eshtaol, 12and went up and encamped at Kiriath-jearim in Judah. On this account that place is called Mahaneh-dan[33] to this day; behold, it is west of Kiriath-jearim. 13And they passed on from there to the hill country of Ephraim, and came to the house of Micah.
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-14Then the five men who had gone to scout out the country of Laish said to their brothers, “Do you know that in these houses there are an ephod, household gods, a carved image, and a metal image? Now therefore consider what you will do.” 15And they turned aside there and came to the house of the young Levite, at the home of Micah, and asked him about his welfare. 16Now the 600 men of the Danites, armed with their weapons of war, stood by the entrance of the gate. 17And the five men who had gone to scout out the land went up and entered and took the carved image, the ephod, the household gods, and the metal image, while the priest stood by the entrance of the gate with the 600 men armed with weapons of war. 18And when these went into Micah's house and took the carved image, the ephod, the household gods, and the metal image, the priest said to them, “What are you doing?” 19And they said to him, “Keep quiet; put your hand on your mouth and come with us and be to us a father and a priest. Is it better for you to be priest to the house of one man, or to be priest to a tribe and clan in Israel?” 20And the priest's heart was glad. He took the ephod and the household gods and the carved image and went along with the people.
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-21So they turned and departed, putting the little ones and the livestock and the goods in front of them. 22When they had gone a distance from the home of Micah, the men who were in the houses near Micah's house were called out, and they overtook the people of Dan. 23And they shouted to the people of Dan, who turned around and said to Micah, “What is the matter with you, that you come with such a company?” 24And he said, “You take my gods that I made and the priest, and go away, and what have I left? How then do you ask me, ‘What is the matter with you?’” 25And the people of Dan said to him, “Do not let your voice be heard among us, lest angry fellows fall upon you, and you lose your life with the lives of your household.” 26Then the people of Dan went their way. And when Micah saw that they were too strong for him, he turned and went back to his home.
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-27But the people of Dan took what Micah had made, and the priest who belonged to him, and they came to Laish, to a people quiet and unsuspecting, and struck them with the edge of the sword and burned the city with fire. 28And there was no deliverer because it was far from Sidon, and they had no dealings with anyone. It was in the valley that belongs to Beth-rehob. Then they rebuilt the city and lived in it. 29And they named the city Dan, after the name of Dan their ancestor, who was born to Israel; but the name of the city was Laish at the first. 30And the people of Dan set up the carved image for themselves, and Jonathan the son of Gershom, son of Moses,[34] and his sons were priests to the tribe of the Danites until the day of the captivity of the land. 31So they set up Micah's carved image that he made, as long as the house of God was at Shiloh.
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-A Levite and His Concubine
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-19:1 In those days, when there was no king in Israel, a certain Levite was sojourning in the remote parts of the hill country of Ephraim, who took to himself a concubine from Bethlehem in Judah. 2And his concubine was unfaithful to[35] him, and she went away from him to her father's house at Bethlehem in Judah, and was there some four months. 3Then her husband arose and went after her, to speak kindly to her and bring her back. He had with him his servant and a couple of donkeys. And she brought him into her father's house. And when the girl's father saw him, he came with joy to meet him. 4And his father-in-law, the girl's father, made him stay, and he remained with him three days. So they ate and drank and spent the night there. 5And on the fourth day they arose early in the morning, and he prepared to go, but the girl's father said to his son-in-law, “Strengthen your heart with a morsel of bread, and after that you may go.” 6So the two of them sat and ate and drank together. And the girl's father said to the man, “Be pleased to spend the night, and let your heart be merry.” 7And when the man rose up to go, his father-in-law pressed him, till he spent the night there again. 8And on the fifth day he arose early in the morning to depart. And the girl's father said, “Strengthen your heart and wait until the day declines.” So they ate, both of them. 9And when the man and his concubine and his servant rose up to depart, his father-in-law, the girl's father, said to him, “Behold, now the day has waned toward evening. Please, spend the night. Behold, the day draws to its close. Lodge here and let your heart be merry, and tomorrow you shall arise early in the morning for your journey, and go home.”
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-10But the man would not spend the night. He rose up and departed and arrived opposite Jebus (that is, Jerusalem). He had with him a couple of saddled donkeys, and his concubine was with him. 11When they were near Jebus, the day was nearly over, and the servant said to his master, “Come now, let us turn aside to this city of the Jebusites and spend the night in it.” 12And his master said to him, “We will not turn aside into the city of foreigners, who do not belong to the people of Israel, but we will pass on to Gibeah.” 13And he said to his young man, “Come and let us draw near to one of these places and spend the night at Gibeah or at Ramah.” 14So they passed on and went their way. And the sun went down on them near Gibeah, which belongs to Benjamin, 15and they turned aside there, to go in and spend the night at Gibeah. And he went in and sat down in the open square of the city, for no one took them into his house to spend the night.
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-16And behold, an old man was coming from his work in the field at evening. The man was from the hill country of Ephraim, and he was sojourning in Gibeah. The men of the place were Benjaminites. 17And he lifted up his eyes and saw the traveler in the open square of the city. And the old man said, “Where are you going? And where do you come from?” 18And he said to him, “We are passing from Bethlehem in Judah to the remote parts of the hill country of Ephraim, from which I come. I went to Bethlehem in Judah, and I am going to the house of the Lord,[36] but no one has taken me into his house. 19We have straw and feed for our donkeys, with bread and wine for me and your female servant and the young man with your servants. There is no lack of anything.” 20And the old man said, “Peace be to you; I will care for all your wants. Only, do not spend the night in the square.” 21So he brought him into his house and gave the donkeys feed. And they washed their feet, and ate and drank.
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-Gibeah's Crime
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-22As they were making their hearts merry, behold, the men of the city, worthless fellows, surrounded the house, beating on the door. And they said to the old man, the master of the house, “Bring out the man who came into your house, that we may know him.” 23And the man, the master of the house, went out to them and said to them, “No, my brothers, do not act so wickedly; since this man has come into my house, do not do this vile thing. 24Behold, here are my virgin daughter and his concubine. Let me bring them out now. Violate them and do with them what seems good to you, but against this man do not do this outrageous thing.” 25But the men would not listen to him. So the man seized his concubine and made her go out to them. And they knew her and abused her all night until the morning. And as the dawn began to break, they let her go. 26And as morning appeared, the woman came and fell down at the door of the man's house where her master was, until it was light.
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-27And her master rose up in the morning, and when he opened the doors of the house and went out to go on his way, behold, there was his concubine lying at the door of the house, with her hands on the threshold. 28He said to her, “Get up, let us be going.” But there was no answer. Then he put her on the donkey, and the man rose up and went away to his home. 29And when he entered his house, he took a knife, and taking hold of his concubine he divided her, limb by limb, into twelve pieces, and sent her throughout all the territory of Israel. 30And all who saw it said, “Such a thing has never happened or been seen from the day that the people of Israel came up out of the land of Egypt until this day; consider it, take counsel, and speak.”
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-Israel's War with the Tribe of Benjamin
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-20:1 Then all the people of Israel came out, from Dan to Beersheba, including the land of Gilead, and the congregation assembled as one man to the LORD at Mizpah. 2And the chiefs of all the people, of all the tribes of Israel, presented themselves in the assembly of the people of God, 400,000 men on foot that drew the sword. 3(Now the people of Benjamin heard that the people of Israel had gone up to Mizpah.) And the people of Israel said, “Tell us, how did this evil happen?” 4And the Levite, the husband of the woman who was murdered, answered and said, “I came to Gibeah that belongs to Benjamin, I and my concubine, to spend the night. 5And the leaders of Gibeah rose against me and surrounded the house against me by night. They meant to kill me, and they violated my concubine, and she is dead. 6So I took hold of my concubine and cut her in pieces and sent her throughout all the country of the inheritance of Israel, for they have committed abomination and outrage in Israel. 7Behold, you people of Israel, all of you, give your advice and counsel here.”
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-8And all the people arose as one man, saying, “None of us will go to his tent, and none of us will return to his house. 9But now this is what we will do to Gibeah: we will go up against it by lot, 10and we will take ten men of a hundred throughout all the tribes of Israel, and a hundred of a thousand, and a thousand of ten thousand, to bring provisions for the people, that when they come they may repay Gibeah of Benjamin, for all the outrage that they have committed in Israel.” 11So all the men of Israel gathered against the city, united as one man.
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-12And the tribes of Israel sent men through all the tribe of Benjamin, saying, “What evil is this that has taken place among you? 13Now therefore give up the men, the worthless fellows in Gibeah, that we may put them to death and purge evil from Israel.” But the Benjaminites would not listen to the voice of their brothers, the people of Israel. 14Then the people of Benjamin came together out of the cities to Gibeah to go out to battle against the people of Israel. 15And the people of Benjamin mustered out of their cities on that day 26,000 men who drew the sword, besides the inhabitants of Gibeah, who mustered 700 chosen men. 16Among all these were 700 chosen men who were left-handed; every one could sling a stone at a hair and not miss. 17And the men of Israel, apart from Benjamin, mustered 400,000 men who drew the sword; all these were men of war.
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-18The people of Israel arose and went up to Bethel and inquired of God, “Who shall go up first for us to fight against the people of Benjamin?” And the LORD said, “Judah shall go up first.”
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-19Then the people of Israel rose in the morning and encamped against Gibeah. 20And the men of Israel went out to fight against Benjamin, and the men of Israel drew up the battle line against them at Gibeah. 21The people of Benjamin came out of Gibeah and destroyed on that day 22,000 men of the Israelites. 22But the people, the men of Israel, took courage, and again formed the battle line in the same place where they had formed it on the first day. 23And the people of Israel went up and wept before the LORD until the evening. And they inquired of the LORD, “Shall we again draw near to fight against our brothers, the people of Benjamin?” And the LORD said, “Go up against them.”
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-24So the people of Israel came near against the people of Benjamin the second day. 25And Benjamin went against them out of Gibeah the second day, and destroyed 18,000 men of the people of Israel. All these were men who drew the sword. 26Then all the people of Israel, the whole army, went up and came to Bethel and wept. They sat there before the LORD and fasted that day until evening, and offered burnt offerings and peace offerings before the LORD. 27And the people of Israel inquired of the LORD (for the ark of the covenant of God was there in those days, 28and Phinehas the son of Eleazar, son of Aaron, ministered before it in those days), saying, “Shall we go out once more to battle against our brothers, the people of Benjamin, or shall we cease?” And the LORD said, “Go up, for tomorrow I will give them into your hand.”
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-29So Israel set men in ambush around Gibeah. 30And the people of Israel went up against the people of Benjamin on the third day and set themselves in array against Gibeah, as at other times. 31And the people of Benjamin went out against the people and were drawn away from the city. And as at other times they began to strike and kill some of the people in the highways, one of which goes up to Bethel and the other to Gibeah, and in the open country, about thirty men of Israel. 32And the people of Benjamin said, “They are routed before us, as at the first.” But the people of Israel said, “Let us flee and draw them away from the city to the highways.” 33And all the men of Israel rose up out of their place and set themselves in array at Baal-tamar, and the men of Israel who were in ambush rushed out of their place from Maareh-geba.[37] 34And there came against Gibeah 10,000 chosen men out of all Israel, and the battle was hard, but the Benjaminites did not know that disaster was close upon them. 35And the LORD defeated Benjamin before Israel, and the people of Israel destroyed 25,100 men of Benjamin that day. All these were men who drew the sword. 36So the people of Benjamin saw that they were defeated.
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-The men of Israel gave ground to Benjamin, because they trusted the men in ambush whom they had set against Gibeah. 37Then the men in ambush hurried and rushed against Gibeah; the men in ambush moved out and struck all the city with the edge of the sword. 38Now the appointed signal between the men of Israel and the men in the main ambush was that when they made a great cloud of smoke rise up out of the city 39the men of Israel should turn in battle. Now Benjamin had begun to strike and kill about thirty men of Israel. They said, “Surely they are defeated before us, as in the first battle.” 40But when the signal began to rise out of the city in a column of smoke, the Benjaminites looked behind them, and behold, the whole of the city went up in smoke to heaven. 41Then the men of Israel turned, and the men of Benjamin were dismayed, for they saw that disaster was close upon them. 42Therefore they turned their backs before the men of Israel in the direction of the wilderness, but the battle overtook them. And those who came out of the cities were destroying them in their midst. 43Surrounding the Benjaminites, they pursued them and trod them down from Nohah[38] as far as opposite Gibeah on the east. 44Eighteen thousand men of Benjamin fell, all of them men of valor. 45And they turned and fled toward the wilderness to the rock of Rimmon. Five thousand men of them were cut down in the highways. And they were pursued hard to Gidom, and 2,000 men of them were struck down. 46So all who fell that day of Benjamin were 25,000 men who drew the sword, all of them men of valor. 47But 600 men turned and fled toward the wilderness to the rock of Rimmon and remained at the rock of Rimmon four months. 48And the men of Israel turned back against the people of Benjamin and struck them with the edge of the sword, the city, men and beasts and all that they found. And all the towns that they found they set on fire.
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-Wives Provided for the Tribe of Benjamin
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-21:1 Now the men of Israel had sworn at Mizpah, “No one of us shall give his daughter in marriage to Benjamin.” 2And the people came to Bethel and sat there till evening before God, and they lifted up their voices and wept bitterly. 3And they said, “O LORD, the God of Israel, why has this happened in Israel, that today there should be one tribe lacking in Israel?” 4And the next day the people rose early and built there an altar and offered burnt offerings and peace offerings. 5And the people of Israel said, “Which of all the tribes of Israel did not come up in the assembly to the LORD?” For they had taken a great oath concerning him who did not come up to the LORD to Mizpah, saying, “He shall surely be put to death.” 6And the people of Israel had compassion for Benjamin their brother and said, “One tribe is cut off from Israel this day. 7What shall we do for wives for those who are left, since we have sworn by the LORD that we will not give them any of our daughters for wives?”
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-8And they said, “What one is there of the tribes of Israel that did not come up to the LORD to Mizpah?” And behold, no one had come to the camp from Jabesh-gilead, to the assembly. 9For when the people were mustered, behold, not one of the inhabitants of Jabesh-gilead was there. 10So the congregation sent 12,000 of their bravest men there and commanded them, “Go and strike the inhabitants of Jabesh-gilead with the edge of the sword; also the women and the little ones. 11This is what you shall do: every male and every woman that has lain with a male you shall devote to destruction.” 12And they found among the inhabitants of Jabesh-gilead 400 young virgins who had not known a man by lying with him, and they brought them to the camp at Shiloh, which is in the land of Canaan.
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-13Then the whole congregation sent word to the people of Benjamin who were at the rock of Rimmon and proclaimed peace to them. 14And Benjamin returned at that time. And they gave them the women whom they had saved alive of the women of Jabesh-gilead, but they were not enough for them. 15And the people had compassion on Benjamin because the LORD had made a breach in the tribes of Israel.
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-16Then the elders of the congregation said, “What shall we do for wives for those who are left, since the women are destroyed out of Benjamin?” 17And they said, “There must be an inheritance for the survivors of Benjamin, that a tribe not be blotted out from Israel. 18Yet we cannot give them wives from our daughters.” For the people of Israel had sworn, “Cursed be he who gives a wife to Benjamin.” 19So they said, “Behold, there is the yearly feast of the LORD at Shiloh, which is north of Bethel, on the east of the highway that goes up from Bethel to Shechem, and south of Lebonah.” 20And they commanded the people of Benjamin, saying, “Go and lie in ambush in the vineyards 21and watch. If the daughters of Shiloh come out to dance in the dances, then come out of the vineyards and snatch each man his wife from the daughters of Shiloh, and go to the land of Benjamin. 22And when their fathers or their brothers come to complain to us, we will say to them, ‘Grant them graciously to us, because we did not take for each man of them his wife in battle, neither did you give them to them, else you would now be guilty.’” 23And the people of Benjamin did so and took their wives, according to their number, from the dancers whom they carried off. Then they went and returned to their inheritance and rebuilt the towns and lived in them. 24And the people of Israel departed from there at that time, every man to his tribe and family, and they went out from there every man to his inheritance.
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-25In those days there was no king in Israel. Everyone did what was right in his own eyes.
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-Footnotes
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-[1] 1:17 Hormah means utter destruction
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-[2] 2:3 Vulgate, Old Latin (compare Septuagint); Hebrew sides
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-[3] 2:5 Bochim means weepers
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-[4] 3:16 A cubit was about 18 inches or 45 centimeters
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-[5] 3:23 The meaning of the Hebrew word is uncertain
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-[6] 5:10 The meaning of the Hebrew word is uncertain; it may connote saddle blankets
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-[7] 5:11 Or archers; the meaning of the Hebrew word is uncertain
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-[8] 5:14 Septuagint; Hebrew in Amalek
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-[9] 5:14 Hebrew commander's
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-[10] 6:13 Or Please, my Lord
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-[11] 6:14 Septuagint the angel of the LORD; also verse 16
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-[12] 6:19 An ephah was about 3/5 bushel or 22 liters
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-[13] 6:32 Hebrew he
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-[14] 7:22 Some Hebrew manuscripts Zeredah
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-[15] 8:3 Hebrew their spirit
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-[16] 8:26 A shekel was about 2/5 ounce or 11 grams
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-[17] 8:30 Hebrew who came from his own loins
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-[18] 9:29 Septuagint; Hebrew and he said
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-[19] 9:31 Or at Tormah
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-[20] 9:31 Hebrew besieging, or closing up
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-[21] 9:36 Hebrew You see
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-[22] 11:31 Or whoever
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-[23] 11:31 Or him
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-[24] 12:7 Septuagint; Hebrew in the cities of Gilead
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-[25] 13:19 Septuagint, Vulgate; Hebrew LORD, and working
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-[26] 14:15 Septuagint, Syriac; Hebrew seventh
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-[27] 15:17 Ramath-lehi means the hill of the jawbone
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-[28] 15:19 En-hakkore means the spring of him who called
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-[29] 16:14 Compare Septuagint; Hebrew lacks and fasten it tight . . . into the web
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-[30] 16:24 Or who has multiplied our slain
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-[31] 17:5 Hebrew filled the hand of; also verse 12
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-[32] 18:7 Compare 18:10; the meaning of the Hebrew word is uncertain
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-[33] 18:12 Mahaneh-dan means camp of Dan
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-[34] 18:30 Or Manasseh
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-[35] 19:2 Septuagint, Old Latin became angry with
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-[36] 19:18 Septuagint my home; compare verse 29
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-[37] 20:33 Some Septuagint manuscripts place west of Geba
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-[38] 20:43 Septuagint; Hebrew [at their] resting place
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-RUTH
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-Chapter 1
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-Chapter 2
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-Chapter 3
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-Chapter 4
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-Naomi Widowed
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-1:1 In the days when the judges ruled there was a famine in the land, and a man of Bethlehem in Judah went to sojourn in the country of Moab, he and his wife and his two sons. 2The name of the man was Elimelech and the name of his wife Naomi, and the names of his two sons were Mahlon and Chilion. They were Ephrathites from Bethlehem in Judah. They went into the country of Moab and remained there. 3But Elimelech, the husband of Naomi, died, and she was left with her two sons. 4These took Moabite wives; the name of the one was Orpah and the name of the other Ruth. They lived there about ten years, 5and both Mahlon and Chilion died, so that the woman was left without her two sons and her husband.
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-Ruth's Loyalty to Naomi
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-6Then she arose with her daughters-in-law to return from the country of Moab, for she had heard in the fields of Moab that the LORD had visited his people and given them food. 7So she set out from the place where she was with her two daughters-in-law, and they went on the way to return to the land of Judah. 8But Naomi said to her two daughters-in-law, “Go, return each of you to her mother's house. May the LORD deal kindly with you, as you have dealt with the dead and with me. 9The LORD grant that you may find rest, each of you in the house of her husband!” Then she kissed them, and they lifted up their voices and wept. 10And they said to her, “No, we will return with you to your people.” 11But Naomi said, “Turn back, my daughters; why will you go with me? Have I yet sons in my womb that they may become your husbands? 12Turn back, my daughters; go your way, for I am too old to have a husband. If I should say I have hope, even if I should have a husband this night and should bear sons, 13would you therefore wait till they were grown? Would you therefore refrain from marrying? No, my daughters, for it is exceedingly bitter to me for your sake that the hand of the LORD has gone out against me.” 14Then they lifted up their voices and wept again. And Orpah kissed her mother-in-law, but Ruth clung to her.
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-15And she said, “See, your sister-in-law has gone back to her people and to her gods; return after your sister-in-law.” 16But Ruth said, “Do not urge me to leave you or to return from following you. For where you go I will go, and where you lodge I will lodge. Your people shall be my people, and your God my God. 17Where you die I will die, and there will I be buried. May the LORD do so to me and more also if anything but death parts me from you.” 18And when Naomi saw that she was determined to go with her, she said no more.
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-Naomi and Ruth Return
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-19So the two of them went on until they came to Bethlehem. And when they came to Bethlehem, the whole town was stirred because of them. And the women said, “Is this Naomi?” 20She said to them, “Do not call me Naomi;[1] call me Mara,[2] for the Almighty has dealt very bitterly with me. 21I went away full, and the LORD has brought me back empty. Why call me Naomi, when the LORD has testified against me and the Almighty has brought calamity upon me?”
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-22So Naomi returned, and Ruth the Moabite her daughter-in-law with her, who returned from the country of Moab. And they came to Bethlehem at the beginning of barley harvest.
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-Ruth Meets Boaz
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-2:1 Now Naomi had a relative of her husband's, a worthy man of the clan of Elimelech, whose name was Boaz. 2And Ruth the Moabite said to Naomi, “Let me go to the field and glean among the ears of grain after him in whose sight I shall find favor.” And she said to her, “Go, my daughter.” 3So she set out and went and gleaned in the field after the reapers, and she happened to come to the part of the field belonging to Boaz, who was of the clan of Elimelech. 4And behold, Boaz came from Bethlehem. And he said to the reapers, “The LORD be with you!” And they answered, “The LORD bless you.” 5Then Boaz said to his young man who was in charge of the reapers, “Whose young woman is this?” 6And the servant who was in charge of the reapers answered, “She is the young Moabite woman, who came back with Naomi from the country of Moab. 7She said, ‘Please let me glean and gather among the sheaves after the reapers.’ So she came, and she has continued from early morning until now, except for a short rest.”[3]
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-8Then Boaz said to Ruth, “Now, listen, my daughter, do not go to glean in another field or leave this one, but keep close to my young women. 9Let your eyes be on the field that they are reaping, and go after them. Have I not charged the young men not to touch you? And when you are thirsty, go to the vessels and drink what the young men have drawn.” 10Then she fell on her face, bowing to the ground, and said to him, “Why have I found favor in your eyes, that you should take notice of me, since I am a foreigner?” 11But Boaz answered her, “All that you have done for your mother-in-law since the death of your husband has been fully told to me, and how you left your father and mother and your native land and came to a people that you did not know before. 12The LORD repay you for what you have done, and a full reward be given you by the LORD, the God of Israel, under whose wings you have come to take refuge!” 13Then she said, “I have found favor in your eyes, my lord, for you have comforted me and spoken kindly to your servant, though I am not one of your servants.”
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-14And at mealtime Boaz said to her, “Come here and eat some bread and dip your morsel in the wine.” So she sat beside the reapers, and he passed to her roasted grain. And she ate until she was satisfied, and she had some left over. 15When she rose to glean, Boaz instructed his young men, saying, “Let her glean even among the sheaves, and do not reproach her. 16And also pull out some from the bundles for her and leave it for her to glean, and do not rebuke her.”
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-17So she gleaned in the field until evening. Then she beat out what she had gleaned, and it was about an ephah[4] of barley. 18And she took it up and went into the city. Her mother-in-law saw what she had gleaned. She also brought out and gave her what food she had left over after being satisfied. 19And her mother-in-law said to her, “Where did you glean today? And where have you worked? Blessed be the man who took notice of you.” So she told her mother-in-law with whom she had worked and said, “The man's name with whom I worked today is Boaz.” 20And Naomi said to her daughter-in-law, “May he be blessed by the LORD, whose kindness has not forsaken the living or the dead!” Naomi also said to her, “The man is a close relative of ours, one of our redeemers.” 21And Ruth the Moabite said, “Besides, he said to me, ‘You shall keep close by my young men until they have finished all my harvest.’” 22And Naomi said to Ruth, her daughter-in-law, “It is good, my daughter, that you go out with his young women, lest in another field you be assaulted.” 23So she kept close to the young women of Boaz, gleaning until the end of the barley and wheat harvests. And she lived with her mother-in-law.
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-Ruth and Boaz at the Threshing Floor
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-3:1 Then Naomi her mother-in-law said to her, “My daughter, should I not seek rest for you, that it may be well with you? 2Is not Boaz our relative, with whose young women you were? See, he is winnowing barley tonight at the threshing floor. 3Wash therefore and anoint yourself, and put on your cloak and go down to the threshing floor, but do not make yourself known to the man until he has finished eating and drinking. 4But when he lies down, observe the place where he lies. Then go and uncover his feet and lie down, and he will tell you what to do.” 5And she replied, “All that you say I will do.”
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-6So she went down to the threshing floor and did just as her mother-in-law had commanded her. 7And when Boaz had eaten and drunk, and his heart was merry, he went to lie down at the end of the heap of grain. Then she came softly and uncovered his feet and lay down. 8At midnight the man was startled and turned over, and behold, a woman lay at his feet! 9He said, “Who are you?” And she answered, “I am Ruth, your servant. Spread your wings[5] over your servant, for you are a redeemer.” 10And he said, “May you be blessed by the LORD, my daughter. You have made this last kindness greater than the first in that you have not gone after young men, whether poor or rich. 11And now, my daughter, do not fear. I will do for you all that you ask, for all my fellow townsmen know that you are a worthy woman. 12And now it is true that I am a redeemer. Yet there is a redeemer nearer than I. 13Remain tonight, and in the morning, if he will redeem you, good; let him do it. But if he is not willing to redeem you, then, as the LORD lives, I will redeem you. Lie down until the morning.”
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-14So she lay at his feet until the morning, but arose before one could recognize another. And he said, “Let it not be known that the woman came to the threshing floor.” 15And he said, “Bring the garment you are wearing and hold it out.” So she held it, and he measured out six measures of barley and put it on her. Then she went into the city. 16And when she came to her mother-in-law, she said, “How did you fare, my daughter?” Then she told her all that the man had done for her, 17saying, “These six measures of barley he gave to me, for he said to me, ‘You must not go back empty-handed to your mother-in-law.’” 18She replied, “Wait, my daughter, until you learn how the matter turns out, for the man will not rest but will settle the matter today.”
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-Boaz Redeems Ruth
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-4:1 Now Boaz had gone up to the gate and sat down there. And behold, the redeemer, of whom Boaz had spoken, came by. So Boaz said, “Turn aside, friend; sit down here.” And he turned aside and sat down. 2And he took ten men of the elders of the city and said, “Sit down here.” So they sat down. 3Then he said to the redeemer, “Naomi, who has come back from the country of Moab, is selling the parcel of land that belonged to our relative Elimelech. 4So I thought I would tell you of it and say, ‘Buy it in the presence of those sitting here and in the presence of the elders of my people.’ If you will redeem it, redeem it. But if you[6] will not, tell me, that I may know, for there is no one besides you to redeem it, and I come after you.” And he said, “I will redeem it.” 5Then Boaz said, “The day you buy the field from the hand of Naomi, you also acquire Ruth[7] the Moabite, the widow of the dead, in order to perpetuate the name of the dead in his inheritance.” 6Then the redeemer said, “I cannot redeem it for myself, lest I impair my own inheritance. Take my right of redemption yourself, for I cannot redeem it.”
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-7Now this was the custom in former times in Israel concerning redeeming and exchanging: to confirm a transaction, the one drew off his sandal and gave it to the other, and this was the manner of attesting in Israel. 8So when the redeemer said to Boaz, “Buy it for yourself,” he drew off his sandal. 9Then Boaz said to the elders and all the people, “You are witnesses this day that I have bought from the hand of Naomi all that belonged to Elimelech and all that belonged to Chilion and to Mahlon. 10Also Ruth the Moabite, the widow of Mahlon, I have bought to be my wife, to perpetuate the name of the dead in his inheritance, that the name of the dead may not be cut off from among his brothers and from the gate of his native place. You are witnesses this day.” 11Then all the people who were at the gate and the elders said, “We are witnesses. May the LORD make the woman, who is coming into your house, like Rachel and Leah, who together built up the house of Israel. May you act worthily in Ephrathah and be renowned in Bethlehem, 12and may your house be like the house of Perez, whom Tamar bore to Judah, because of the offspring that the LORD will give you by this young woman.”
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-Ruth and Boaz Marry
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-13So Boaz took Ruth, and she became his wife. And he went in to her, and the LORD gave her conception, and she bore a son. 14Then the women said to Naomi, “Blessed be the LORD, who has not left you this day without a redeemer, and may his name be renowned in Israel! 15He shall be to you a restorer of life and a nourisher of your old age, for your daughter-in-law who loves you, who is more to you than seven sons, has given birth to him.” 16Then Naomi took the child and laid him on her lap and became his nurse. 17And the women of the neighborhood gave him a name, saying, “A son has been born to Naomi.” They named him Obed. He was the father of Jesse, the father of David.
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-The Genealogy of David
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-18Now these are the generations of Perez: Perez fathered Hezron, 19Hezron fathered Ram, Ram fathered Amminadab, 20Amminadab fathered Nahshon, Nahshon fathered Salmon, 21Salmon fathered Boaz, Boaz fathered Obed, 22Obed fathered Jesse, and Jesse fathered David.
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-Footnotes
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-[1] 1:20 Naomi means pleasant
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-[2] 1:20 Mara means bitter
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-[3] 2:7 Compare Septuagint, Vulgate; the meaning of the Hebrew phrase is uncertain
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-[4] 2:17 An ephah was about 3/5 bushel or 22 liters
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-[5] 3:9 Compare 2:12; the word for wings can also mean corners of a garment
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-[6] 4:4 Hebrew he
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-[7] 4:5 Masoretic Text you also buy it from Ruth
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-1 SAMUEL
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-Chapter 1
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-Chapter 2
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-Chapter 3
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-Chapter 4
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-Chapter 5
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-Chapter 6
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-Chapter 7
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-Chapter 8
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-Chapter 9
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-Chapter 10
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-Chapter 11
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-Chapter 12
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-Chapter 13
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-Chapter 14
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-Chapter 15
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-Chapter 16
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-Chapter 17
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-Chapter 18
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-Chapter 19
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-Chapter 20
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-Chapter 21
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-Chapter 22
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-Chapter 23
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-Chapter 24
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-Chapter 25
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-Chapter 26
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-Chapter 27
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-Chapter 28
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-Chapter 29
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-Chapter 30
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-Chapter 31
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-The Birth of Samuel
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-1:1 There was a certain man of Ramathaim-zophim of the hill country of Ephraim whose name was Elkanah the son of Jeroham, son of Elihu, son of Tohu, son of Zuph, an Ephrathite. 2He had two wives. The name of the one was Hannah, and the name of the other, Peninnah. And Peninnah had children, but Hannah had no children.
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-3Now this man used to go up year by year from his city to worship and to sacrifice to the LORD of hosts at Shiloh, where the two sons of Eli, Hophni and Phinehas, were priests of the LORD. 4On the day when Elkanah sacrificed, he would give portions to Peninnah his wife and to all her sons and daughters. 5But to Hannah he gave a double portion, because he loved her, though the LORD had closed her womb.[1] 6And her rival used to provoke her grievously to irritate her, because the LORD had closed her womb. 7So it went on year by year. As often as she went up to the house of the LORD, she used to provoke her. Therefore Hannah wept and would not eat. 8And Elkanah, her husband, said to her, “Hannah, why do you weep? And why do you not eat? And why is your heart sad? Am I not more to you than ten sons?”
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-9After they had eaten and drunk in Shiloh, Hannah rose. Now Eli the priest was sitting on the seat beside the doorpost of the temple of the LORD. 10She was deeply distressed and prayed to the LORD and wept bitterly. 11And she vowed a vow and said, “O LORD of hosts, if you will indeed look on the affliction of your servant and remember me and not forget your servant, but will give to your servant a son, then I will give him to the LORD all the days of his life, and no razor shall touch his head.”
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-12As she continued praying before the LORD, Eli observed her mouth. 13Hannah was speaking in her heart; only her lips moved, and her voice was not heard. Therefore Eli took her to be a drunken woman. 14And Eli said to her, “How long will you go on being drunk? Put your wine away from you.” 15But Hannah answered, “No, my lord, I am a woman troubled in spirit. I have drunk neither wine nor strong drink, but I have been pouring out my soul before the LORD. 16Do not regard your servant as a worthless woman, for all along I have been speaking out of my great anxiety and vexation.” 17Then Eli answered, “Go in peace, and the God of Israel grant your petition that you have made to him.” 18And she said, “Let your servant find favor in your eyes.” Then the woman went her way and ate, and her face was no longer sad.
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-19They rose early in the morning and worshiped before the LORD; then they went back to their house at Ramah. And Elkanah knew Hannah his wife, and the LORD remembered her. 20And in due time Hannah conceived and bore a son, and she called his name Samuel, for she said, “I have asked for him from the LORD.”[2]
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-Samuel Given to the LORD
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-21The man Elkanah and all his house went up to offer to the LORD the yearly sacrifice and to pay his vow. 22But Hannah did not go up, for she said to her husband, “As soon as the child is weaned, I will bring him, so that he may appear in the presence of the LORD and dwell there forever.” 23Elkanah her husband said to her, “Do what seems best to you; wait until you have weaned him; only, may the LORD establish his word.” So the woman remained and nursed her son until she weaned him. 24And when she had weaned him, she took him up with her, along with a three-year-old bull,[3] an ephah[4] of flour, and a skin of wine, and she brought him to the house of the LORD at Shiloh. And the child was young. 25Then they slaughtered the bull, and they brought the child to Eli. 26And she said, “Oh, my lord! As you live, my lord, I am the woman who was standing here in your presence, praying to the LORD. 27For this child I prayed, and the LORD has granted me my petition that I made to him. 28Therefore I have lent him to the LORD. As long as he lives, he is lent to the LORD.”
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-And he worshiped the LORD there.
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-Hannah's Prayer
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-2:1 And Hannah prayed and said,
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-“My heart exults in the LORD;
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-my strength[5] is exalted in the LORD.
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-My mouth derides my enemies,
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-because I rejoice in your salvation.
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-2“There is none holy like the LORD;
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-there is none besides you;
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-there is no rock like our God.
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-3Talk no more so very proudly,
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-let not arrogance come from your mouth;
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-for the LORD is a God of knowledge,
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-and by him actions are weighed.
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-4The bows of the mighty are broken,
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-but the feeble bind on strength.
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-5Those who were full have hired themselves out for bread,
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-but those who were hungry have ceased to hunger.
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-The barren has borne seven,
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-but she who has many children is forlorn.
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-6The LORD kills and brings to life;
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-he brings down to Sheol and raises up.
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-7The LORD makes poor and makes rich;
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-he brings low and he exalts.
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-8He raises up the poor from the dust;
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-he lifts the needy from the ash heap
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-to make them sit with princes
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-and inherit a seat of honor.
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-For the pillars of the earth are the LORD's,
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-and on them he has set the world.
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-9“He will guard the feet of his faithful ones,
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-but the wicked shall be cut off in darkness,
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-for not by might shall a man prevail.
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-10The adversaries of the LORD shall be broken to pieces;
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-against them he will thunder in heaven.
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-The LORD will judge the ends of the earth;
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-he will give strength to his king
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-and exalt the power[6] of his anointed.”
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-11Then Elkanah went home to Ramah. And the boy ministered to the LORD in the presence of Eli the priest.
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-Eli's Worthless Sons
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-12Now the sons of Eli were worthless men. They did not know the LORD. 13The custom of the priests with the people was that when any man offered sacrifice, the priest's servant[7] would come, while the meat was boiling, with a three-pronged fork in his hand, 14and he would thrust it into the pan or kettle or cauldron or pot. All that the fork brought up the priest would take for himself. This is what they did at Shiloh to all the Israelites who came there. 15Moreover, before the fat was burned, the priest's servant would come and say to the man who was sacrificing, “Give meat for the priest to roast, for he will not accept boiled meat from you but only raw.” 16And if the man said to him, “Let them burn the fat first, and then take as much as you wish,” he would say, “No, you must give it now, and if not, I will take it by force.” 17Thus the sin of the young men was very great in the sight of the LORD, for the men treated the offering of the LORD with contempt.
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-18Samuel was ministering before the LORD, a boy clothed with a linen ephod. 19And his mother used to make for him a little robe and take it to him each year when she went up with her husband to offer the yearly sacrifice. 20Then Eli would bless Elkanah and his wife, and say, “May the LORD give you children by this woman for the petition she asked of the LORD.” So then they would return to their home.
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-21Indeed the LORD visited Hannah, and she conceived and bore three sons and two daughters. And the young man Samuel grew in the presence of the LORD.
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-Eli Rebukes His Sons
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-22Now Eli was very old, and he kept hearing all that his sons were doing to all Israel, and how they lay with the women who were serving at the entrance to the tent of meeting. 23And he said to them, “Why do you do such things? For I hear of your evil dealings from all the people. 24No, my sons; it is no good report that I hear the people of the LORD spreading abroad. 25If someone sins against a man, God will mediate for him, but if someone sins against the LORD, who can intercede for him?” But they would not listen to the voice of their father, for it was the will of the LORD to put them to death.
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-26Now the young man Samuel continued to grow both in stature and in favor with the LORD and also with man.
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-The LORD Rejects Eli's Household
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-27And there came a man of God to Eli and said to him, “Thus the LORD has said, ‘Did I indeed reveal myself to the house of your father when they were in Egypt subject to the house of Pharaoh? 28Did I choose him out of all the tribes of Israel to be my priest, to go up to my altar, to burn incense, to wear an ephod before me? I gave to the house of your father all my offerings by fire from the people of Israel. 29Why then do you scorn[8] my sacrifices and my offerings that I commanded, and honor your sons above me by fattening yourselves on the choicest parts of every offering of my people Israel?’ 30Therefore the LORD, the God of Israel, declares: ‘I promised that your house and the house of your father should go in and out before me forever,’ but now the LORD declares: ‘Far be it from me, for those who honor me I will honor, and those who despise me shall be lightly esteemed. 31Behold, the days are coming when I will cut off your strength and the strength of your father's house, so that there will not be an old man in your house. 32Then in distress you will look with envious eye on all the prosperity that shall be bestowed on Israel, and there shall not be an old man in your house forever. 33The only one of you whom I shall not cut off from my altar shall be spared to weep his[9] eyes out to grieve his heart, and all the descendants[10] of your house shall die by the sword of men.[11] 34And this that shall come upon your two sons, Hophni and Phinehas, shall be the sign to you: both of them shall die on the same day. 35And I will raise up for myself a faithful priest, who shall do according to what is in my heart and in my mind. And I will build him a sure house, and he shall go in and out before my anointed forever. 36And everyone who is left in your house shall come to implore him for a piece of silver or a loaf of bread and shall say, “Please put me in one of the priests' places, that I may eat a morsel of bread.”’”
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-The LORD Calls Samuel
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-3:1 Now the young man Samuel was ministering to the LORD under Eli. And the word of the LORD was rare in those days; there was no frequent vision.
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-2At that time Eli, whose eyesight had begun to grow dim so that he could not see, was lying down in his own place. 3The lamp of God had not yet gone out, and Samuel was lying down in the temple of the LORD, where the ark of God was.
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-4Then the LORD called Samuel, and he said, “Here I am!” 5and ran to Eli and said, “Here I am, for you called me.” But he said, “I did not call; lie down again.” So he went and lay down.
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-6And the LORD called again, “Samuel!” and Samuel arose and went to Eli and said, “Here I am, for you called me.” But he said, “I did not call, my son; lie down again.” 7Now Samuel did not yet know the LORD, and the word of the LORD had not yet been revealed to him.
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-8And the LORD called Samuel again the third time. And he arose and went to Eli and said, “Here I am, for you called me.” Then Eli perceived that the LORD was calling the young man. 9Therefore Eli said to Samuel, “Go, lie down, and if he calls you, you shall say, ‘Speak, LORD, for your servant hears.’” So Samuel went and lay down in his place.
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-10And the LORD came and stood, calling as at other times, “Samuel! Samuel!” And Samuel said, “Speak, for your servant hears.” 11Then the LORD said to Samuel, “Behold, I am about to do a thing in Israel at which the two ears of everyone who hears it will tingle. 12On that day I will fulfill against Eli all that I have spoken concerning his house, from beginning to end. 13And I declare to him that I am about to punish his house forever, for the iniquity that he knew, because his sons were blaspheming God,[12] and he did not restrain them. 14Therefore I swear to the house of Eli that the iniquity of Eli's house shall not be atoned for by sacrifice or offering forever.”
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-15Samuel lay until morning; then he opened the doors of the house of the LORD. And Samuel was afraid to tell the vision to Eli. 16But Eli called Samuel and said, “Samuel, my son.” And he said, “Here I am.” 17And Eli said, “What was it that he told you? Do not hide it from me. May God do so to you and more also if you hide anything from me of all that he told you.” 18So Samuel told him everything and hid nothing from him. And he said, “It is the LORD. Let him do what seems good to him.”
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-19And Samuel grew, and the LORD was with him and let none of his words fall to the ground. 20And all Israel from Dan to Beersheba knew that Samuel was established as a prophet of the LORD. 21And the LORD appeared again at Shiloh, for the LORD revealed himself to Samuel at Shiloh by the word of the LORD.
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-The Philistines Capture the Ark
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-4:1 And the word of Samuel came to all Israel.
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-Now Israel went out to battle against the Philistines. They encamped at Ebenezer, and the Philistines encamped at Aphek. 2The Philistines drew up in line against Israel, and when the battle spread, Israel was defeated by the Philistines, who killed about four thousand men on the field of battle. 3And when the troops came to the camp, the elders of Israel said, “Why has the LORD defeated us today before the Philistines? Let us bring the ark of the covenant of the LORD here from Shiloh, that it may come among us and save us from the power of our enemies.” 4So the people sent to Shiloh and brought from there the ark of the covenant of the LORD of hosts, who is enthroned on the cherubim. And the two sons of Eli, Hophni and Phinehas, were there with the ark of the covenant of God.
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-5As soon as the ark of the covenant of the LORD came into the camp, all Israel gave a mighty shout, so that the earth resounded. 6And when the Philistines heard the noise of the shouting, they said, “What does this great shouting in the camp of the Hebrews mean?” And when they learned that the ark of the LORD had come to the camp, 7the Philistines were afraid, for they said, “A god has come into the camp.” And they said, “Woe to us! For nothing like this has happened before. 8Woe to us! Who can deliver us from the power of these mighty gods? These are the gods who struck the Egyptians with every sort of plague in the wilderness. 9Take courage, and be men, O Philistines, lest you become slaves to the Hebrews as they have been to you; be men and fight.”
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-10So the Philistines fought, and Israel was defeated, and they fled, every man to his home. And there was a very great slaughter, for there fell of Israel thirty thousand foot soldiers. 11And the ark of God was captured, and the two sons of Eli, Hophni and Phinehas, died.
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-The Death of Eli
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-12A man of Benjamin ran from the battle line and came to Shiloh the same day, with his clothes torn and with dirt on his head. 13When he arrived, Eli was sitting on his seat by the road watching, for his heart trembled for the ark of God. And when the man came into the city and told the news, all the city cried out. 14When Eli heard the sound of the outcry, he said, “What is this uproar?” Then the man hurried and came and told Eli. 15Now Eli was ninety-eight years old and his eyes were set so that he could not see. 16And the man said to Eli, “I am he who has come from the battle; I fled from the battle today.” And he said, “How did it go, my son?” 17He who brought the news answered and said, “Israel has fled before the Philistines, and there has also been a great defeat among the people. Your two sons also, Hophni and Phinehas, are dead, and the ark of God has been captured.” 18As soon as he mentioned the ark of God, Eli fell over backward from his seat by the side of the gate, and his neck was broken and he died, for the man was old and heavy. He had judged Israel forty years.
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-19Now his daughter-in-law, the wife of Phinehas, was pregnant, about to give birth. And when she heard the news that the ark of God was captured, and that her father-in-law and her husband were dead, she bowed and gave birth, for her pains came upon her. 20And about the time of her death the women attending her said to her, “Do not be afraid, for you have borne a son.” But she did not answer or pay attention. 21And she named the child Ichabod, saying, “The glory has departed[13] from Israel!” because the ark of God had been captured and because of her father-in-law and her husband. 22And she said, “The glory has departed from Israel, for the ark of God has been captured.”
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-The Philistines and the Ark
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-5:1 When the Philistines captured the ark of God, they brought it from Ebenezer to Ashdod. 2Then the Philistines took the ark of God and brought it into the house of Dagon and set it up beside Dagon. 3And when the people of Ashdod rose early the next day, behold, Dagon had fallen face downward on the ground before the ark of the LORD. So they took Dagon and put him back in his place. 4But when they rose early on the next morning, behold, Dagon had fallen face downward on the ground before the ark of the LORD, and the head of Dagon and both his hands were lying cut off on the threshold. Only the trunk of Dagon was left to him. 5This is why the priests of Dagon and all who enter the house of Dagon do not tread on the threshold of Dagon in Ashdod to this day.
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-6The hand of the LORD was heavy against the people of Ashdod, and he terrified and afflicted them with tumors, both Ashdod and its territory. 7And when the men of Ashdod saw how things were, they said, “The ark of the God of Israel must not remain with us, for his hand is hard against us and against Dagon our god.” 8So they sent and gathered together all the lords of the Philistines and said, “What shall we do with the ark of the God of Israel?” They answered, “Let the ark of the God of Israel be brought around to Gath.” So they brought the ark of the God of Israel there. 9But after they had brought it around, the hand of the LORD was against the city, causing a very great panic, and he afflicted the men of the city, both young and old, so that tumors broke out on them. 10So they sent the ark of God to Ekron. But as soon as the ark of God came to Ekron, the people of Ekron cried out, “They have brought around to us the ark of the God of Israel to kill us and our people.” 11They sent therefore and gathered together all the lords of the Philistines and said, “Send away the ark of the God of Israel, and let it return to its own place, that it may not kill us and our people.” For there was a deathly panic throughout the whole city. The hand of God was very heavy there. 12The men who did not die were struck with tumors, and the cry of the city went up to heaven.
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-The Ark Returned to Israel
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-6:1 The ark of the LORD was in the country of the Philistines seven months. 2And the Philistines called for the priests and the diviners and said, “What shall we do with the ark of the LORD? Tell us with what we shall send it to its place.” 3They said, “If you send away the ark of the God of Israel, do not send it empty, but by all means return him a guilt offering. Then you will be healed, and it will be known to you why his hand does not turn away from you.” 4And they said, “What is the guilt offering that we shall return to him?” They answered, “Five golden tumors and five golden mice, according to the number of the lords of the Philistines, for the same plague was on all of you and on your lords. 5So you must make images of your tumors and images of your mice that ravage the land, and give glory to the God of Israel. Perhaps he will lighten his hand from off you and your gods and your land. 6Why should you harden your hearts as the Egyptians and Pharaoh hardened their hearts? After he had dealt severely with them, did they not send the people away, and they departed? 7Now then, take and prepare a new cart and two milk cows on which there has never come a yoke, and yoke the cows to the cart, but take their calves home, away from them. 8And take the ark of the LORD and place it on the cart and put in a box at its side the figures of gold, which you are returning to him as a guilt offering. Then send it off and let it go its way 9and watch. If it goes up on the way to its own land, to Beth-shemesh, then it is he who has done us this great harm, but if not, then we shall know that it is not his hand that struck us; it happened to us by coincidence.”
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-10The men did so, and took two milk cows and yoked them to the cart and shut up their calves at home. 11And they put the ark of the LORD on the cart and the box with the golden mice and the images of their tumors. 12And the cows went straight in the direction of Beth-shemesh along one highway, lowing as they went. They turned neither to the right nor to the left, and the lords of the Philistines went after them as far as the border of Beth-shemesh. 13Now the people of Beth-shemesh were reaping their wheat harvest in the valley. And when they lifted up their eyes and saw the ark, they rejoiced to see it. 14The cart came into the field of Joshua of Beth-shemesh and stopped there. A great stone was there. And they split up the wood of the cart and offered the cows as a burnt offering to the LORD. 15And the Levites took down the ark of the LORD and the box that was beside it, in which were the golden figures, and set them upon the great stone. And the men of Beth-shemesh offered burnt offerings and sacrificed sacrifices on that day to the LORD. 16And when the five lords of the Philistines saw it, they returned that day to Ekron.
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-17These are the golden tumors that the Philistines returned as a guilt offering to the LORD: one for Ashdod, one for Gaza, one for Ashkelon, one for Gath, one for Ekron, 18and the golden mice, according to the number of all the cities of the Philistines belonging to the five lords, both fortified cities and unwalled villages. The great stone beside which they set down the ark of the LORD is a witness to this day in the field of Joshua of Beth-shemesh.
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-19And he struck some of the men of Beth-shemesh, because they looked upon the ark of the LORD. He struck seventy men of them,[14] and the people mourned because the LORD had struck the people with a great blow. 20Then the men of Beth-shemesh said, “Who is able to stand before the LORD, this holy God? And to whom shall he go up away from us?” 21So they sent messengers to the inhabitants of Kiriath-jearim, saying, “The Philistines have returned the ark of the LORD. Come down and take it up to you.”
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-7:1 And the men of Kiriath-jearim came and took up the ark of the LORD and brought it to the house of Abinadab on the hill. And they consecrated his son Eleazar to have charge of the ark of the LORD. 2From the day that the ark was lodged at Kiriath-jearim, a long time passed, some twenty years, and all the house of Israel lamented after the LORD.
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-Samuel Judges Israel
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-3And Samuel said to all the house of Israel, “If you are returning to the LORD with all your heart, then put away the foreign gods and the Ashtaroth from among you and direct your heart to the LORD and serve him only, and he will deliver you out of the hand of the Philistines.” 4So the people of Israel put away the Baals and the Ashtaroth, and they served the LORD only.
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-5Then Samuel said, “Gather all Israel at Mizpah, and I will pray to the LORD for you.” 6So they gathered at Mizpah and drew water and poured it out before the LORD and fasted on that day and said there, “We have sinned against the LORD.” And Samuel judged the people of Israel at Mizpah. 7Now when the Philistines heard that the people of Israel had gathered at Mizpah, the lords of the Philistines went up against Israel. And when the people of Israel heard of it, they were afraid of the Philistines. 8And the people of Israel said to Samuel, “Do not cease to cry out to the LORD our God for us, that he may save us from the hand of the Philistines.” 9So Samuel took a nursing lamb and offered it as a whole burnt offering to the LORD. And Samuel cried out to the LORD for Israel, and the LORD answered him. 10As Samuel was offering up the burnt offering, the Philistines drew near to attack Israel. But the LORD thundered with a mighty sound that day against the Philistines and threw them into confusion, and they were routed before Israel. 11And the men of Israel went out from Mizpah and pursued the Philistines and struck them, as far as below Beth-car.
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-12Then Samuel took a stone and set it up between Mizpah and Shen[15] and called its name Ebenezer;[16] for he said, “Till now the LORD has helped us.” 13So the Philistines were subdued and did not again enter the territory of Israel. And the hand of the LORD was against the Philistines all the days of Samuel. 14The cities that the Philistines had taken from Israel were restored to Israel, from Ekron to Gath, and Israel delivered their territory from the hand of the Philistines. There was peace also between Israel and the Amorites.
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-15Samuel judged Israel all the days of his life. 16And he went on a circuit year by year to Bethel, Gilgal, and Mizpah. And he judged Israel in all these places. 17Then he would return to Ramah, for his home was there, and there also he judged Israel. And he built there an altar to the LORD.
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-Israel Demands a King
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-8:1 When Samuel became old, he made his sons judges over Israel. 2The name of his firstborn son was Joel, and the name of his second, Abijah; they were judges in Beersheba. 3Yet his sons did not walk in his ways but turned aside after gain. They took bribes and perverted justice.
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-4Then all the elders of Israel gathered together and came to Samuel at Ramah 5and said to him, “Behold, you are old and your sons do not walk in your ways. Now appoint for us a king to judge us like all the nations.” 6But the thing displeased Samuel when they said, “Give us a king to judge us.” And Samuel prayed to the LORD. 7And the LORD said to Samuel, “Obey the voice of the people in all that they say to you, for they have not rejected you, but they have rejected me from being king over them. 8According to all the deeds that they have done, from the day I brought them up out of Egypt even to this day, forsaking me and serving other gods, so they are also doing to you. 9Now then, obey their voice; only you shall solemnly warn them and show them the ways of the king who shall reign over them.”
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-Samuel's Warning Against Kings
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-10So Samuel told all the words of the LORD to the people who were asking for a king from him. 11He said, “These will be the ways of the king who will reign over you: he will take your sons and appoint them to his chariots and to be his horsemen and to run before his chariots. 12And he will appoint for himself commanders of thousands and commanders of fifties, and some to plow his ground and to reap his harvest, and to make his implements of war and the equipment of his chariots. 13He will take your daughters to be perfumers and cooks and bakers. 14He will take the best of your fields and vineyards and olive orchards and give them to his servants. 15He will take the tenth of your grain and of your vineyards and give it to his officers and to his servants. 16He will take your male servants and female servants and the best of your young men[17] and your donkeys, and put them to his work. 17He will take the tenth of your flocks, and you shall be his slaves. 18And in that day you will cry out because of your king, whom you have chosen for yourselves, but the LORD will not answer you in that day.”
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-The LORD Grants Israel's Request
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-19But the people refused to obey the voice of Samuel. And they said, “No! But there shall be a king over us, 20that we also may be like all the nations, and that our king may judge us and go out before us and fight our battles.” 21And when Samuel had heard all the words of the people, he repeated them in the ears of the LORD. 22And the LORD said to Samuel, “Obey their voice and make them a king.” Samuel then said to the men of Israel, “Go every man to his city.”
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-Saul Chosen to Be King
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-9:1 There was a man of Benjamin whose name was Kish, the son of Abiel, son of Zeror, son of Becorath, son of Aphiah, a Benjaminite, a man of wealth. 2And he had a son whose name was Saul, a handsome young man. There was not a man among the people of Israel more handsome than he. From his shoulders upward he was taller than any of the people.
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-3Now the donkeys of Kish, Saul's father, were lost. So Kish said to Saul his son, “Take one of the young men with you, and arise, go and look for the donkeys.” 4And he passed through the hill country of Ephraim and passed through the land of Shalishah, but they did not find them. And they passed through the land of Shaalim, but they were not there. Then they passed through the land of Benjamin, but did not find them.
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-5When they came to the land of Zuph, Saul said to his servant[18] who was with him, “Come, let us go back, lest my father cease to care about the donkeys and become anxious about us.” 6But he said to him, “Behold, there is a man of God in this city, and he is a man who is held in honor; all that he says comes true. So now let us go there. Perhaps he can tell us the way we should go.” 7Then Saul said to his servant, “But if we go, what can we bring the man? For the bread in our sacks is gone, and there is no present to bring to the man of God. What do we have?” 8The servant answered Saul again, “Here, I have with me a quarter of a shekel[19] of silver, and I will give it to the man of God to tell us our way.” 9(Formerly in Israel, when a man went to inquire of God, he said, “Come, let us go to the seer,” for today's “prophet” was formerly called a seer.) 10And Saul said to his servant, “Well said; come, let us go.” So they went to the city where the man of God was.
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-11As they went up the hill to the city, they met young women coming out to draw water and said to them, “Is the seer here?” 12They answered, “He is; behold, he is just ahead of you. Hurry. He has come just now to the city, because the people have a sacrifice today on the high place. 13As soon as you enter the city you will find him, before he goes up to the high place to eat. For the people will not eat till he comes, since he must bless the sacrifice; afterward those who are invited will eat. Now go up, for you will meet him immediately.” 14So they went up to the city. As they were entering the city, they saw Samuel coming out toward them on his way up to the high place.
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-15Now the day before Saul came, the LORD had revealed to Samuel: 16“Tomorrow about this time I will send to you a man from the land of Benjamin, and you shall anoint him to be prince over my people Israel. He shall save my people from the hand of the Philistines. For I have seen[20] my people, because their cry has come to me.” 17When Samuel saw Saul, the LORD told him, “Here is the man of whom I spoke to you! He it is who shall restrain my people.” 18Then Saul approached Samuel in the gate and said, “Tell me where is the house of the seer?” 19Samuel answered Saul, “I am the seer. Go up before me to the high place, for today you shall eat with me, and in the morning I will let you go and will tell you all that is on your mind. 20As for your donkeys that were lost three days ago, do not set your mind on them, for they have been found. And for whom is all that is desirable in Israel? Is it not for you and for all your father's house?” 21Saul answered, “Am I not a Benjaminite, from the least of the tribes of Israel? And is not my clan the humblest of all the clans of the tribe of Benjamin? Why then have you spoken to me in this way?”
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-22Then Samuel took Saul and his young man and brought them into the hall and gave them a place at the head of those who had been invited, who were about thirty persons. 23And Samuel said to the cook, “Bring the portion I gave you, of which I said to you, ‘Put it aside.’” 24So the cook took up the leg and what was on it and set them before Saul. And Samuel said, “See, what was kept is set before you. Eat, because it was kept for you until the hour appointed, that you might eat with the guests.”[21]
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-So Saul ate with Samuel that day. 25And when they came down from the high place into the city, a bed was spread for Saul[22] on the roof, and he lay down to sleep. 26Then at the break of dawn[23] Samuel called to Saul on the roof, “Up, that I may send you on your way.” So Saul arose, and both he and Samuel went out into the street.
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-27As they were going down to the outskirts of the city, Samuel said to Saul, “Tell the servant to pass on before us, and when he has passed on, stop here yourself for a while, that I may make known to you the word of God.”
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-Saul Anointed King
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-10:1 Then Samuel took a flask of oil and poured it on his head and kissed him and said, “Has not the LORD anointed you to be prince over his people Israel? And you shall reign over the people of the LORD and you will save them from the hand of their surrounding enemies. And this shall be the sign to you that the LORD has anointed you to be prince[24] over his heritage. 2When you depart from me today, you will meet two men by Rachel's tomb in the territory of Benjamin at Zelzah, and they will say to you, ‘The donkeys that you went to seek are found, and now your father has ceased to care about the donkeys and is anxious about you, saying, “What shall I do about my son?”’ 3Then you shall go on from there farther and come to the oak of Tabor. Three men going up to God at Bethel will meet you there, one carrying three young goats, another carrying three loaves of bread, and another carrying a skin of wine. 4And they will greet you and give you two loaves of bread, which you shall accept from their hand. 5After that you shall come to Gibeath-elohim,[25] where there is a garrison of the Philistines. And there, as soon as you come to the city, you will meet a group of prophets coming down from the high place with harp, tambourine, flute, and lyre before them, prophesying. 6Then the Spirit of the LORD will rush upon you, and you will prophesy with them and be turned into another man. 7Now when these signs meet you, do what your hand finds to do, for God is with you. 8Then go down before me to Gilgal. And behold, I am coming to you to offer burnt offerings and to sacrifice peace offerings. Seven days you shall wait, until I come to you and show you what you shall do.”
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-9When he turned his back to leave Samuel, God gave him another heart. And all these signs came to pass that day. 10When they came to Gibeah,[26] behold, a group of prophets met him, and the Spirit of God rushed upon him, and he prophesied among them. 11And when all who knew him previously saw how he prophesied with the prophets, the people said to one another, “What has come over the son of Kish? Is Saul also among the prophets?” 12And a man of the place answered, “And who is their father?” Therefore it became a proverb, “Is Saul also among the prophets?” 13When he had finished prophesying, he came to the high place.
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-14Saul's uncle said to him and to his servant, “Where did you go?” And he said, “To seek the donkeys. And when we saw they were not to be found, we went to Samuel.” 15And Saul's uncle said, “Please tell me what Samuel said to you.” 16And Saul said to his uncle, “He told us plainly that the donkeys had been found.” But about the matter of the kingdom, of which Samuel had spoken, he did not tell him anything.
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-Saul Proclaimed King
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-17Now Samuel called the people together to the LORD at Mizpah. 18And he said to the people of Israel, “Thus says the LORD, the God of Israel, ‘I brought up Israel out of Egypt, and I delivered you from the hand of the Egyptians and from the hand of all the kingdoms that were oppressing you.’ 19But today you have rejected your God, who saves you from all your calamities and your distresses, and you have said to him, ‘Set a king over us.’ Now therefore present yourselves before the LORD by your tribes and by your thousands.”
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-20Then Samuel brought all the tribes of Israel near, and the tribe of Benjamin was taken by lot. 21He brought the tribe of Benjamin near by its clans, and the clan of the Matrites was taken by lot;[27] and Saul the son of Kish was taken by lot. But when they sought him, he could not be found. 22So they inquired again of the LORD, “Is there a man still to come?” and the LORD said, “Behold, he has hidden himself among the baggage.” 23Then they ran and took him from there. And when he stood among the people, he was taller than any of the people from his shoulders upward. 24And Samuel said to all the people, “Do you see him whom the LORD has chosen? There is none like him among all the people.” And all the people shouted, “Long live the king!”
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-25Then Samuel told the people the rights and duties of the kingship, and he wrote them in a book and laid it up before the LORD. Then Samuel sent all the people away, each one to his home. 26Saul also went to his home at Gibeah, and with him went men of valor whose hearts God had touched. 27But some worthless fellows said, “How can this man save us?” And they despised him and brought him no present. But he held his peace.
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-Saul Defeats the Ammonites
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-11:1 Then Nahash the Ammonite went up and besieged Jabesh-gilead, and all the men of Jabesh said to Nahash, “Make a treaty with us, and we will serve you.” 2But Nahash the Ammonite said to them, “On this condition I will make a treaty with you, that I gouge out all your right eyes, and thus bring disgrace on all Israel.” 3The elders of Jabesh said to him, “Give us seven days' respite that we may send messengers through all the territory of Israel. Then, if there is no one to save us, we will give ourselves up to you.” 4When the messengers came to Gibeah of Saul, they reported the matter in the ears of the people, and all the people wept aloud.
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-5Now, behold, Saul was coming from the field behind the oxen. And Saul said, “What is wrong with the people, that they are weeping?” So they told him the news of the men of Jabesh. 6And the Spirit of God rushed upon Saul when he heard these words, and his anger was greatly kindled. 7He took a yoke of oxen and cut them in pieces and sent them throughout all the territory of Israel by the hand of messengers, saying, “Whoever does not come out after Saul and Samuel, so shall it be done to his oxen!” Then the dread of the LORD fell upon the people, and they came out as one man. 8When he mustered them at Bezek, the people of Israel were three hundred thousand, and the men of Judah thirty thousand. 9And they said to the messengers who had come, “Thus shall you say to the men of Jabesh-gilead: ‘Tomorrow, by the time the sun is hot, you shall have deliverance.’” When the messengers came and told the men of Jabesh, they were glad. 10Therefore the men of Jabesh said, “Tomorrow we will give ourselves up to you, and you may do to us whatever seems good to you.” 11And the next day Saul put the people in three companies. And they came into the midst of the camp in the morning watch and struck down the Ammonites until the heat of the day. And those who survived were scattered, so that no two of them were left together.
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-The Kingdom Is Renewed
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-12Then the people said to Samuel, “Who is it that said, ‘Shall Saul reign over us?’ Bring the men, that we may put them to death.” 13But Saul said, “Not a man shall be put to death this day, for today the LORD has worked salvation in Israel.” 14Then Samuel said to the people, “Come, let us go to Gilgal and there renew the kingdom.” 15So all the people went to Gilgal, and there they made Saul king before the LORD in Gilgal. There they sacrificed peace offerings before the LORD, and there Saul and all the men of Israel rejoiced greatly.
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-Samuel's Farewell Address
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-12:1 And Samuel said to all Israel, “Behold, I have obeyed your voice in all that you have said to me and have made a king over you. 2And now, behold, the king walks before you, and I am old and gray; and behold, my sons are with you. I have walked before you from my youth until this day. 3Here I am; testify against me before the LORD and before his anointed. Whose ox have I taken? Or whose donkey have I taken? Or whom have I defrauded? Whom have I oppressed? Or from whose hand have I taken a bribe to blind my eyes with it? Testify against me[28] and I will restore it to you.” 4They said, “You have not defrauded us or oppressed us or taken anything from any man's hand.” 5And he said to them, “The LORD is witness against you, and his anointed is witness this day, that you have not found anything in my hand.” And they said, “He is witness.”
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-6And Samuel said to the people, “The LORD is witness,[29] who appointed Moses and Aaron and brought your fathers up out of the land of Egypt. 7Now therefore stand still that I may plead with you before the LORD concerning all the righteous deeds of the LORD that he performed for you and for your fathers. 8When Jacob went into Egypt, and the Egyptians oppressed them,[30] then your fathers cried out to the LORD and the LORD sent Moses and Aaron, who brought your fathers out of Egypt and made them dwell in this place. 9But they forgot the LORD their God. And he sold them into the hand of Sisera, commander of the army of Hazor,[31] and into the hand of the Philistines, and into the hand of the king of Moab. And they fought against them. 10And they cried out to the LORD and said, ‘We have sinned, because we have forsaken the LORD and have served the Baals and the Ashtaroth. But now deliver us out of the hand of our enemies, that we may serve you.’ 11And the LORD sent Jerubbaal and Barak[32] and Jephthah and Samuel and delivered you out of the hand of your enemies on every side, and you lived in safety. 12And when you saw that Nahash the king of the Ammonites came against you, you said to me, ‘No, but a king shall reign over us,’ when the LORD your God was your king. 13And now behold the king whom you have chosen, for whom you have asked; behold, the LORD has set a king over you. 14If you will fear the LORD and serve him and obey his voice and not rebel against the commandment of the LORD, and if both you and the king who reigns over you will follow the LORD your God, it will be well. 15But if you will not obey the voice of the LORD, but rebel against the commandment of the LORD, then the hand of the LORD will be against you and your king.[33] 16Now therefore stand still and see this great thing that the LORD will do before your eyes. 17Is it not wheat harvest today? I will call upon the LORD, that he may send thunder and rain. And you shall know and see that your wickedness is great, which you have done in the sight of the LORD, in asking for yourselves a king.” 18So Samuel called upon the LORD, and the LORD sent thunder and rain that day, and all the people greatly feared the LORD and Samuel.
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-19And all the people said to Samuel, “Pray for your servants to the LORD your God, that we may not die, for we have added to all our sins this evil, to ask for ourselves a king.” 20And Samuel said to the people, “Do not be afraid; you have done all this evil. Yet do not turn aside from following the LORD, but serve the LORD with all your heart. 21And do not turn aside after empty things that cannot profit or deliver, for they are empty. 22For the LORD will not forsake his people, for his great name's sake, because it has pleased the LORD to make you a people for himself. 23Moreover, as for me, far be it from me that I should sin against the LORD by ceasing to pray for you, and I will instruct you in the good and the right way. 24Only fear the LORD and serve him faithfully with all your heart. For consider what great things he has done for you. 25But if you still do wickedly, you shall be swept away, both you and your king.”
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-Saul Fights the Philistines
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-13:1 Saul was . . .[34] years old when he began to reign, and he reigned . . . and two[35] years over Israel.
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-2Saul chose three thousand men of Israel. Two thousand were with Saul in Michmash and the hill country of Bethel, and a thousand were with Jonathan in Gibeah of Benjamin. The rest of the people he sent home, every man to his tent. 3Jonathan defeated the garrison of the Philistines that was at Geba, and the Philistines heard of it. And Saul blew the trumpet throughout all the land, saying, “Let the Hebrews hear.” 4And all Israel heard it said that Saul had defeated the garrison of the Philistines, and also that Israel had become a stench to the Philistines. And the people were called out to join Saul at Gilgal.
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-5And the Philistines mustered to fight with Israel, thirty thousand chariots and six thousand horsemen and troops like the sand on the seashore in multitude. They came up and encamped in Michmash, to the east of Beth-aven. 6When the men of Israel saw that they were in trouble (for the people were hard pressed), the people hid themselves in caves and in holes and in rocks and in tombs and in cisterns, 7and some Hebrews crossed the fords of the Jordan to the land of Gad and Gilead. Saul was still at Gilgal, and all the people followed him trembling.
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-Saul's Unlawful Sacrifice
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-8He waited seven days, the time appointed by Samuel. But Samuel did not come to Gilgal, and the people were scattering from him. 9So Saul said, “Bring the burnt offering here to me, and the peace offerings.” And he offered the burnt offering. 10As soon as he had finished offering the burnt offering, behold, Samuel came. And Saul went out to meet him and greet him. 11Samuel said, “What have you done?” And Saul said, “When I saw that the people were scattering from me, and that you did not come within the days appointed, and that the Philistines had mustered at Michmash, 12I said, ‘Now the Philistines will come down against me at Gilgal, and I have not sought the favor of the LORD.’ So I forced myself, and offered the burnt offering.” 13And Samuel said to Saul, “You have done foolishly. You have not kept the command of the LORD your God, with which he commanded you. For then the LORD would have established your kingdom over Israel forever. 14But now your kingdom shall not continue. The LORD has sought out a man after his own heart, and the LORD has commanded him to be prince over his people, because you have not kept what the LORD commanded you.” 15And Samuel arose and went up from Gilgal. The rest of the people went up after Saul to meet the army; they went up from Gilgal[36] to Gibeah of Benjamin.
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-And Saul numbered the people who were present with him, about six hundred men. 16And Saul and Jonathan his son and the people who were present with them stayed in Geba of Benjamin, but the Philistines encamped in Michmash. 17And raiders came out of the camp of the Philistines in three companies. One company turned toward Ophrah, to the land of Shual; 18another company turned toward Beth-horon; and another company turned toward the border that looks down on the Valley of Zeboim toward the wilderness.
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-19Now there was no blacksmith to be found throughout all the land of Israel, for the Philistines said, “Lest the Hebrews make themselves swords or spears.” 20But every one of the Israelites went down to the Philistines to sharpen his plowshare, his mattock, his axe, or his sickle,[37] 21and the charge was two-thirds of a shekel[38] for the plowshares and for the mattocks, and a third of a shekel[39] for sharpening the axes and for setting the goads.[40] 22So on the day of the battle there was neither sword nor spear found in the hand of any of the people with Saul and Jonathan, but Saul and Jonathan his son had them. 23And the garrison of the Philistines went out to the pass of Michmash.
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-Jonathan Defeats the Philistines
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-14:1 One day Jonathan the son of Saul said to the young man who carried his armor, “Come, let us go over to the Philistine garrison on the other side.” But he did not tell his father. 2Saul was staying in the outskirts of Gibeah in the pomegranate cave[41] at Migron. The people who were with him were about six hundred men, 3including Ahijah the son of Ahitub, Ichabod's brother, son of Phinehas, son of Eli, the priest of the LORD in Shiloh, wearing an ephod. And the people did not know that Jonathan had gone. 4Within the passes, by which Jonathan sought to go over to the Philistine garrison, there was a rocky crag on the one side and a rocky crag on the other side. The name of the one was Bozez, and the name of the other Seneh. 5The one crag rose on the north in front of Michmash, and the other on the south in front of Geba.
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-6Jonathan said to the young man who carried his armor, “Come, let us go over to the garrison of these uncircumcised. It may be that the LORD will work for us, for nothing can hinder the LORD from saving by many or by few.” 7And his armor-bearer said to him, “Do all that is in your heart. Do as you wish.[42] Behold, I am with you heart and soul.” 8Then Jonathan said, “Behold, we will cross over to the men, and we will show ourselves to them. 9If they say to us, ‘Wait until we come to you,’ then we will stand still in our place, and we will not go up to them. 10But if they say, ‘Come up to us,’ then we will go up, for the LORD has given them into our hand. And this shall be the sign to us.” 11So both of them showed themselves to the garrison of the Philistines. And the Philistines said, “Look, Hebrews are coming out of the holes where they have hidden themselves.” 12And the men of the garrison hailed Jonathan and his armor-bearer and said, “Come up to us, and we will show you a thing.” And Jonathan said to his armor-bearer, “Come up after me, for the LORD has given them into the hand of Israel.” 13Then Jonathan climbed up on his hands and feet, and his armor-bearer after him. And they fell before Jonathan, and his armor-bearer killed them after him. 14And that first strike, which Jonathan and his armor-bearer made, killed about twenty men within as it were half a furrow's length in an acre[43] of land. 15And there was a panic in the camp, in the field, and among all the people. The garrison and even the raiders trembled, the earth quaked, and it became a very great panic.
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-16And the watchmen of Saul in Gibeah of Benjamin looked, and behold, the multitude was dispersing here and there.[44] 17Then Saul said to the people who were with him, “Count and see who has gone from us.” And when they had counted, behold, Jonathan and his armor-bearer were not there. 18So Saul said to Ahijah, “Bring the ark of God here.” For the ark of God went at that time with the people[45] of Israel. 19Now while Saul was talking to the priest, the tumult in the camp of the Philistines increased more and more. So Saul said to the priest, “Withdraw your hand.” 20Then Saul and all the people who were with him rallied and went into the battle. And behold, every Philistine's sword was against his fellow, and there was very great confusion. 21Now the Hebrews who had been with the Philistines before that time and who had gone up with them into the camp, even they also turned to be with the Israelites who were with Saul and Jonathan. 22Likewise, when all the men of Israel who had hidden themselves in the hill country of Ephraim heard that the Philistines were fleeing, they too followed hard after them in the battle. 23So the LORD saved Israel that day. And the battle passed beyond Beth-aven.
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-Saul's Rash Vow
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-24And the men of Israel had been hard pressed that day, so Saul had laid an oath on the people, saying, “Cursed be the man who eats food until it is evening and I am avenged on my enemies.” So none of the people had tasted food. 25Now when all the people[46] came to the forest, behold, there was honey on the ground. 26And when the people entered the forest, behold, the honey was dropping, but no one put his hand to his mouth, for the people feared the oath. 27But Jonathan had not heard his father charge the people with the oath, so he put out the tip of the staff that was in his hand and dipped it in the honeycomb and put his hand to his mouth, and his eyes became bright. 28Then one of the people said, “Your father strictly charged the people with an oath, saying, ‘Cursed be the man who eats food this day.’” And the people were faint. 29Then Jonathan said, “My father has troubled the land. See how my eyes have become bright because I tasted a little of this honey. 30How much better if the people had eaten freely today of the spoil of their enemies that they found. For now the defeat among the Philistines has not been great.”
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-31They struck down the Philistines that day from Michmash to Aijalon. And the people were very faint. 32The people pounced on the spoil and took sheep and oxen and calves and slaughtered them on the ground. And the people ate them with the blood. 33Then they told Saul, “Behold, the people are sinning against the LORD by eating with the blood.” And he said, “You have dealt treacherously; roll a great stone to me here.”[47] 34And Saul said, “Disperse yourselves among the people and say to them, ‘Let every man bring his ox or his sheep and slaughter them here and eat, and do not sin against the LORD by eating with the blood.’” So every one of the people brought his ox with him that night and they slaughtered them there. 35And Saul built an altar to the LORD; it was the first altar that he built to the LORD.
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-36Then Saul said, “Let us go down after the Philistines by night and plunder them until the morning light; let us not leave a man of them.” And they said, “Do whatever seems good to you.” But the priest said, “Let us draw near to God here.” 37And Saul inquired of God, “Shall I go down after the Philistines? Will you give them into the hand of Israel?” But he did not answer him that day. 38And Saul said, “Come here, all you leaders of the people, and know and see how this sin has arisen today. 39For as the LORD lives who saves Israel, though it be in Jonathan my son, he shall surely die.” But there was not a man among all the people who answered him. 40Then he said to all Israel, “You shall be on one side, and I and Jonathan my son will be on the other side.” And the people said to Saul, “Do what seems good to you.” 41Therefore Saul said, “O LORD God of Israel, why[48] have you not answered your servant this day? If this guilt is in me or in Jonathan my son, O LORD, God of Israel, give Urim. But if this guilt is in your people Israel, give Thummim.” And Jonathan and Saul were taken, but the people escaped. 42Then Saul said, “Cast the lot between me and my son Jonathan.” And Jonathan was taken.
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-43Then Saul said to Jonathan, “Tell me what you have done.” And Jonathan told him, “I tasted a little honey with the tip of the staff that was in my hand. Here I am; I will die.” 44And Saul said, “God do so to me and more also; you shall surely die, Jonathan.” 45Then the people said to Saul, “Shall Jonathan die, who has worked this great salvation in Israel? Far from it! As the LORD lives, there shall not one hair of his head fall to the ground, for he has worked with God this day.” So the people ransomed Jonathan, so that he did not die. 46Then Saul went up from pursuing the Philistines, and the Philistines went to their own place.
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-Saul Fights Israel's Enemies
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-47When Saul had taken the kingship over Israel, he fought against all his enemies on every side, against Moab, against the Ammonites, against Edom, against the kings of Zobah, and against the Philistines. Wherever he turned he routed them. 48And he did valiantly and struck the Amalekites and delivered Israel out of the hands of those who plundered them.
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-49Now the sons of Saul were Jonathan, Ishvi, and Malchi-shua. And the names of his two daughters were these: the name of the firstborn was Merab, and the name of the younger Michal. 50And the name of Saul's wife was Ahinoam the daughter of Ahimaaz. And the name of the commander of his army was Abner the son of Ner, Saul's uncle. 51Kish was the father of Saul, and Ner the father of Abner was the son of Abiel.
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-52There was hard fighting against the Philistines all the days of Saul. And when Saul saw any strong man, or any valiant man, he attached him to himself.
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-The LORD Rejects Saul
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-15:1 And Samuel said to Saul, “The LORD sent me to anoint you king over his people Israel; now therefore listen to the words of the LORD. 2Thus says the LORD of hosts, ‘I have noted what Amalek did to Israel in opposing them on the way when they came up out of Egypt. 3Now go and strike Amalek and devote to destruction[49] all that they have. Do not spare them, but kill both man and woman, child and infant, ox and sheep, camel and donkey.’”
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-4So Saul summoned the people and numbered them in Telaim, two hundred thousand men on foot, and ten thousand men of Judah. 5And Saul came to the city of Amalek and lay in wait in the valley. 6Then Saul said to the Kenites, “Go, depart; go down from among the Amalekites, lest I destroy you with them. For you showed kindness to all the people of Israel when they came up out of Egypt.” So the Kenites departed from among the Amalekites. 7And Saul defeated the Amalekites from Havilah as far as Shur, which is east of Egypt. 8And he took Agag the king of the Amalekites alive and devoted to destruction all the people with the edge of the sword. 9But Saul and the people spared Agag and the best of the sheep and of the oxen and of the fattened calves[50] and the lambs, and all that was good, and would not utterly destroy them. All that was despised and worthless they devoted to destruction.
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-10The word of the LORD came to Samuel: 11“I regret that I have made Saul king, for he has turned back from following me and has not performed my commandments.” And Samuel was angry, and he cried to the LORD all night. 12And Samuel rose early to meet Saul in the morning. And it was told Samuel, “Saul came to Carmel, and behold, he set up a monument for himself and turned and passed on and went down to Gilgal.” 13And Samuel came to Saul, and Saul said to him, “Blessed be you to the LORD. I have performed the commandment of the LORD.” 14And Samuel said, “What then is this bleating of the sheep in my ears and the lowing of the oxen that I hear?” 15Saul said, “They have brought them from the Amalekites, for the people spared the best of the sheep and of the oxen to sacrifice to the LORD your God, and the rest we have devoted to destruction.” 16Then Samuel said to Saul, “Stop! I will tell you what the LORD said to me this night.” And he said to him, “Speak.”
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-17And Samuel said, “Though you are little in your own eyes, are you not the head of the tribes of Israel? The LORD anointed you king over Israel. 18And the LORD sent you on a mission and said, ‘Go, devote to destruction the sinners, the Amalekites, and fight against them until they are consumed.’ 19Why then did you not obey the voice of the LORD? Why did you pounce on the spoil and do what was evil in the sight of the LORD?” 20And Saul said to Samuel, “I have obeyed the voice of the LORD. I have gone on the mission on which the LORD sent me. I have brought Agag the king of Amalek, and I have devoted the Amalekites to destruction. 21But the people took of the spoil, sheep and oxen, the best of the things devoted to destruction, to sacrifice to the LORD your God in Gilgal.” 22And Samuel said,
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-“Has the LORD as great delight in burnt offerings and sacrifices,
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-as in obeying the voice of the LORD?
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-Behold, to obey is better than sacrifice,
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-and to listen than the fat of rams.
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-23For rebellion is as the sin of divination,
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-and presumption is as iniquity and idolatry.
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-Because you have rejected the word of the LORD,
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-he has also rejected you from being king.”
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-24Saul said to Samuel, “I have sinned, for I have transgressed the commandment of the LORD and your words, because I feared the people and obeyed their voice. 25Now therefore, please pardon my sin and return with me that I may worship the LORD.” 26And Samuel said to Saul, “I will not return with you. For you have rejected the word of the LORD, and the LORD has rejected you from being king over Israel.” 27As Samuel turned to go away, Saul seized the skirt of his robe, and it tore. 28And Samuel said to him, “The LORD has torn the kingdom of Israel from you this day and has given it to a neighbor of yours, who is better than you. 29And also the Glory of Israel will not lie or have regret, for he is not a man, that he should have regret.” 30Then he said, “I have sinned; yet honor me now before the elders of my people and before Israel, and return with me, that I may bow before the LORD your God.” 31So Samuel turned back after Saul, and Saul bowed before the LORD.
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-32Then Samuel said, “Bring here to me Agag the king of the Amalekites.” And Agag came to him cheerfully.[51] Agag said, “Surely the bitterness of death is past.” 33And Samuel said, “As your sword has made women childless, so shall your mother be childless among women.” And Samuel hacked Agag to pieces before the LORD in Gilgal.
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-34Then Samuel went to Ramah, and Saul went up to his house in Gibeah of Saul. 35And Samuel did not see Saul again until the day of his death, but Samuel grieved over Saul. And the LORD regretted that he had made Saul king over Israel.
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-David Anointed King
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-16:1 The LORD said to Samuel, “How long will you grieve over Saul, since I have rejected him from being king over Israel? Fill your horn with oil, and go. I will send you to Jesse the Bethlehemite, for I have provided for myself a king among his sons.” 2And Samuel said, “How can I go? If Saul hears it, he will kill me.” And the LORD said, “Take a heifer with you and say, ‘I have come to sacrifice to the LORD.’ 3And invite Jesse to the sacrifice, and I will show you what you shall do. And you shall anoint for me him whom I declare to you.” 4Samuel did what the LORD commanded and came to Bethlehem. The elders of the city came to meet him trembling and said, “Do you come peaceably?” 5And he said, “Peaceably; I have come to sacrifice to the LORD. Consecrate yourselves, and come with me to the sacrifice.” And he consecrated Jesse and his sons and invited them to the sacrifice.
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-6When they came, he looked on Eliab and thought, “Surely the LORD's anointed is before him.” 7But the LORD said to Samuel, “Do not look on his appearance or on the height of his stature, because I have rejected him. For the LORD sees not as man sees: man looks on the outward appearance, but the LORD looks on the heart.” 8Then Jesse called Abinadab and made him pass before Samuel. And he said, “Neither has the LORD chosen this one.” 9Then Jesse made Shammah pass by. And he said, “Neither has the LORD chosen this one.” 10And Jesse made seven of his sons pass before Samuel. And Samuel said to Jesse, “The LORD has not chosen these.” 11Then Samuel said to Jesse, “Are all your sons here?” And he said, “There remains yet the youngest,[52] but behold, he is keeping the sheep.” And Samuel said to Jesse, “Send and get him, for we will not sit down till he comes here.” 12And he sent and brought him in. Now he was ruddy and had beautiful eyes and was handsome. And the LORD said, “Arise, anoint him, for this is he.” 13Then Samuel took the horn of oil and anointed him in the midst of his brothers. And the Spirit of the LORD rushed upon David from that day forward. And Samuel rose up and went to Ramah.
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-David in Saul's Service
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-14Now the Spirit of the LORD departed from Saul, and a harmful spirit from the LORD tormented him. 15And Saul's servants said to him, “Behold now, a harmful spirit from God is tormenting you. 16Let our lord now command your servants who are before you to seek out a man who is skillful in playing the lyre, and when the harmful spirit from God is upon you, he will play it, and you will be well.” 17So Saul said to his servants, “Provide for me a man who can play well and bring him to me.” 18One of the young men answered, “Behold, I have seen a son of Jesse the Bethlehemite, who is skillful in playing, a man of valor, a man of war, prudent in speech, and a man of good presence, and the LORD is with him.” 19Therefore Saul sent messengers to Jesse and said, “Send me David your son, who is with the sheep.” 20And Jesse took a donkey laden with bread and a skin of wine and a young goat and sent them by David his son to Saul. 21And David came to Saul and entered his service. And Saul loved him greatly, and he became his armor-bearer. 22And Saul sent to Jesse, saying, “Let David remain in my service, for he has found favor in my sight.” 23And whenever the harmful spirit from God was upon Saul, David took the lyre and played it with his hand. So Saul was refreshed and was well, and the harmful spirit departed from him.
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-David and Goliath
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-17:1 Now the Philistines gathered their armies for battle. And they were gathered at Socoh, which belongs to Judah, and encamped between Socoh and Azekah, in Ephes-dammim. 2And Saul and the men of Israel were gathered, and encamped in the Valley of Elah, and drew up in line of battle against the Philistines. 3And the Philistines stood on the mountain on the one side, and Israel stood on the mountain on the other side, with a valley between them. 4And there came out from the camp of the Philistines a champion named Goliath of Gath, whose height was six[53] cubits and a span. 5He had a helmet of bronze on his head, and he was armed with a coat of mail, and the weight of the coat was five thousand shekels[54] of bronze. 6And he had bronze armor on his legs, and a javelin of bronze slung between his shoulders. 7The shaft of his spear was like a weaver's beam, and his spear's head weighed six hundred shekels of iron. And his shield-bearer went before him. 8He stood and shouted to the ranks of Israel, “Why have you come out to draw up for battle? Am I not a Philistine, and are you not servants of Saul? Choose a man for yourselves, and let him come down to me. 9If he is able to fight with me and kill me, then we will be your servants. But if I prevail against him and kill him, then you shall be our servants and serve us.” 10And the Philistine said, “I defy the ranks of Israel this day. Give me a man, that we may fight together.” 11When Saul and all Israel heard these words of the Philistine, they were dismayed and greatly afraid.
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-12Now David was the son of an Ephrathite of Bethlehem in Judah, named Jesse, who had eight sons. In the days of Saul the man was already old and advanced in years.[55] 13The three oldest sons of Jesse had followed Saul to the battle. And the names of his three sons who went to the battle were Eliab the firstborn, and next to him Abinadab, and the third Shammah. 14David was the youngest. The three eldest followed Saul, 15but David went back and forth from Saul to feed his father's sheep at Bethlehem. 16For forty days the Philistine came forward and took his stand, morning and evening.
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-17And Jesse said to David his son, “Take for your brothers an ephah[56] of this parched grain, and these ten loaves, and carry them quickly to the camp to your brothers. 18Also take these ten cheeses to the commander of their thousand. See if your brothers are well, and bring some token from them.”
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-19Now Saul and they and all the men of Israel were in the Valley of Elah, fighting with the Philistines. 20And David rose early in the morning and left the sheep with a keeper and took the provisions and went, as Jesse had commanded him. And he came to the encampment as the host was going out to the battle line, shouting the war cry. 21And Israel and the Philistines drew up for battle, army against army. 22And David left the things in charge of the keeper of the baggage and ran to the ranks and went and greeted his brothers. 23As he talked with them, behold, the champion, the Philistine of Gath, Goliath by name, came up out of the ranks of the Philistines and spoke the same words as before. And David heard him.
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-24All the men of Israel, when they saw the man, fled from him and were much afraid. 25And the men of Israel said, “Have you seen this man who has come up? Surely he has come up to defy Israel. And the king will enrich the man who kills him with great riches and will give him his daughter and make his father's house free in Israel.” 26And David said to the men who stood by him, “What shall be done for the man who kills this Philistine and takes away the reproach from Israel? For who is this uncircumcised Philistine, that he should defy the armies of the living God?” 27And the people answered him in the same way, “So shall it be done to the man who kills him.”
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-28Now Eliab his eldest brother heard when he spoke to the men. And Eliab's anger was kindled against David, and he said, “Why have you come down? And with whom have you left those few sheep in the wilderness? I know your presumption and the evil of your heart, for you have come down to see the battle.” 29And David said, “What have I done now? Was it not but a word?” 30And he turned away from him toward another, and spoke in the same way, and the people answered him again as before.
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-31When the words that David spoke were heard, they repeated them before Saul, and he sent for him. 32And David said to Saul, “Let no man's heart fail because of him. Your servant will go and fight with this Philistine.” 33And Saul said to David, “You are not able to go against this Philistine to fight with him, for you are but a youth, and he has been a man of war from his youth.” 34But David said to Saul, “Your servant used to keep sheep for his father. And when there came a lion, or a bear, and took a lamb from the flock, 35I went after him and struck him and delivered it out of his mouth. And if he arose against me, I caught him by his beard and struck him and killed him. 36Your servant has struck down both lions and bears, and this uncircumcised Philistine shall be like one of them, for he has defied the armies of the living God.” 37And David said, “The LORD who delivered me from the paw of the lion and from the paw of the bear will deliver me from the hand of this Philistine.” And Saul said to David, “Go, and the LORD be with you!”
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-38Then Saul clothed David with his armor. He put a helmet of bronze on his head and clothed him with a coat of mail, 39and David strapped his sword over his armor. And he tried in vain to go, for he had not tested them. Then David said to Saul, “I cannot go with these, for I have not tested them.” So David put them off. 40Then he took his staff in his hand and chose five smooth stones from the brook and put them in his shepherd's pouch. His sling was in his hand, and he approached the Philistine.
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-41And the Philistine moved forward and came near to David, with his shield-bearer in front of him. 42And when the Philistine looked and saw David, he disdained him, for he was but a youth, ruddy and handsome in appearance. 43And the Philistine said to David, “Am I a dog, that you come to me with sticks?” And the Philistine cursed David by his gods. 44The Philistine said to David, “Come to me, and I will give your flesh to the birds of the air and to the beasts of the field.” 45Then David said to the Philistine, “You come to me with a sword and with a spear and with a javelin, but I come to you in the name of the LORD of hosts, the God of the armies of Israel, whom you have defied. 46This day the LORD will deliver you into my hand, and I will strike you down and cut off your head. And I will give the dead bodies of the host of the Philistines this day to the birds of the air and to the wild beasts of the earth, that all the earth may know that there is a God in Israel, 47and that all this assembly may know that the LORD saves not with sword and spear. For the battle is the LORD's, and he will give you into our hand.”
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-48When the Philistine arose and came and drew near to meet David, David ran quickly toward the battle line to meet the Philistine. 49And David put his hand in his bag and took out a stone and slung it and struck the Philistine on his forehead. The stone sank into his forehead, and he fell on his face to the ground.
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-50So David prevailed over the Philistine with a sling and with a stone, and struck the Philistine and killed him. There was no sword in the hand of David. 51Then David ran and stood over the Philistine and took his sword and drew it out of its sheath and killed him and cut off his head with it. When the Philistines saw that their champion was dead, they fled. 52And the men of Israel and Judah rose with a shout and pursued the Philistines as far as Gath[57] and the gates of Ekron, so that the wounded Philistines fell on the way from Shaaraim as far as Gath and Ekron. 53And the people of Israel came back from chasing the Philistines, and they plundered their camp. 54And David took the head of the Philistine and brought it to Jerusalem, but he put his armor in his tent.
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-55As soon as Saul saw David go out against the Philistine, he said to Abner, the commander of the army, “Abner, whose son is this youth?” And Abner said, “As your soul lives, O king, I do not know.” 56And the king said, “Inquire whose son the boy is.” 57And as soon as David returned from the striking down of the Philistine, Abner took him, and brought him before Saul with the head of the Philistine in his hand. 58And Saul said to him, “Whose son are you, young man?” And David answered, “I am the son of your servant Jesse the Bethlehemite.”
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-David and Jonathan's Friendship
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-18:1 As soon as he had finished speaking to Saul, the soul of Jonathan was knit to the soul of David, and Jonathan loved him as his own soul. 2And Saul took him that day and would not let him return to his father's house. 3Then Jonathan made a covenant with David, because he loved him as his own soul. 4And Jonathan stripped himself of the robe that was on him and gave it to David, and his armor, and even his sword and his bow and his belt. 5And David went out and was successful wherever Saul sent him, so that Saul set him over the men of war. And this was good in the sight of all the people and also in the sight of Saul's servants.
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-Saul's Jealousy of David
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-6As they were coming home, when David returned from striking down the Philistine, the women came out of all the cities of Israel, singing and dancing, to meet King Saul, with tambourines, with songs of joy, and with musical instruments.[58] 7And the women sang to one another as they celebrated,
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-“Saul has struck down his thousands,
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-and David his ten thousands.”
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-8And Saul was very angry, and this saying displeased him. He said, “They have ascribed to David ten thousands, and to me they have ascribed thousands, and what more can he have but the kingdom?” 9And Saul eyed David from that day on.
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-10The next day a harmful spirit from God rushed upon Saul, and he raved within his house while David was playing the lyre, as he did day by day. Saul had his spear in his hand. 11And Saul hurled the spear, for he thought, “I will pin David to the wall.” But David evaded him twice.
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-12Saul was afraid of David because the LORD was with him but had departed from Saul. 13So Saul removed him from his presence and made him a commander of a thousand. And he went out and came in before the people. 14And David had success in all his undertakings, for the LORD was with him. 15And when Saul saw that he had great success, he stood in fearful awe of him. 16But all Israel and Judah loved David, for he went out and came in before them.
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-David Marries Michal
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-17Then Saul said to David, “Here is my elder daughter Merab. I will give her to you for a wife. Only be valiant for me and fight the LORD's battles.” For Saul thought, “Let not my hand be against him, but let the hand of the Philistines be against him.” 18And David said to Saul, “Who am I, and who are my relatives, my father's clan in Israel, that I should be son-in-law to the king?” 19But at the time when Merab, Saul's daughter, should have been given to David, she was given to Adriel the Meholathite for a wife.
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-20Now Saul's daughter Michal loved David. And they told Saul, and the thing pleased him. 21Saul thought, “Let me give her to him, that she may be a snare for him and that the hand of the Philistines may be against him.” Therefore Saul said to David a second time,[59] “You shall now be my son-in-law.” 22And Saul commanded his servants, “Speak to David in private and say, ‘Behold, the king has delight in you, and all his servants love you. Now then become the king's son-in-law.’” 23And Saul's servants spoke those words in the ears of David. And David said, “Does it seem to you a little thing to become the king's son-in-law, since I am a poor man and have no reputation?” 24And the servants of Saul told him, “Thus and so did David speak.” 25Then Saul said, “Thus shall you say to David, ‘The king desires no bride-price except a hundred foreskins of the Philistines, that he may be avenged of the king's enemies.’” Now Saul thought to make David fall by the hand of the Philistines. 26And when his servants told David these words, it pleased David well to be the king's son-in-law. Before the time had expired, 27David arose and went, along with his men, and killed two hundred of the Philistines. And David brought their foreskins, which were given in full number to the king, that he might become the king's son-in-law. And Saul gave him his daughter Michal for a wife. 28But when Saul saw and knew that the LORD was with David, and that Michal, Saul's daughter, loved him, 29Saul was even more afraid of David. So Saul was David's enemy continually.
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-30Then the princes of the Philistines came out to battle, and as often as they came out David had more success than all the servants of Saul, so that his name was highly esteemed.
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-Saul Tries to Kill David
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-19:1 And Saul spoke to Jonathan his son and to all his servants, that they should kill David. But Jonathan, Saul's son, delighted much in David. 2And Jonathan told David, “Saul my father seeks to kill you. Therefore be on your guard in the morning. Stay in a secret place and hide yourself. 3And I will go out and stand beside my father in the field where you are, and I will speak to my father about you. And if I learn anything I will tell you.” 4And Jonathan spoke well of David to Saul his father and said to him, “Let not the king sin against his servant David, because he has not sinned against you, and because his deeds have brought good to you. 5For he took his life in his hand and he struck down the Philistine, and the LORD worked a great salvation for all Israel. You saw it, and rejoiced. Why then will you sin against innocent blood by killing David without cause?” 6And Saul listened to the voice of Jonathan. Saul swore, “As the LORD lives, he shall not be put to death.” 7And Jonathan called David, and Jonathan reported to him all these things. And Jonathan brought David to Saul, and he was in his presence as before.
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-8And there was war again. And David went out and fought with the Philistines and struck them with a great blow, so that they fled before him. 9Then a harmful spirit from the LORD came upon Saul, as he sat in his house with his spear in his hand. And David was playing the lyre. 10And Saul sought to pin David to the wall with the spear, but he eluded Saul, so that he struck the spear into the wall. And David fled and escaped that night.
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-11Saul sent messengers to David's house to watch him, that he might kill him in the morning. But Michal, David's wife, told him, “If you do not escape with your life tonight, tomorrow you will be killed.” 12So Michal let David down through the window, and he fled away and escaped. 13Michal took an image and laid it on the bed and put a pillow of goats' hair at its head and covered it with the clothes. 14And when Saul sent messengers to take David, she said, “He is sick.” 15Then Saul sent the messengers to see David, saying, “Bring him up to me in the bed, that I may kill him.” 16And when the messengers came in, behold, the image was in the bed, with the pillow of goats' hair at its head. 17Saul said to Michal, “Why have you deceived me thus and let my enemy go, so that he has escaped?” And Michal answered Saul, “He said to me, ‘Let me go. Why should I kill you?’”
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-18Now David fled and escaped, and he came to Samuel at Ramah and told him all that Saul had done to him. And he and Samuel went and lived at Naioth. 19And it was told Saul, “Behold, David is at Naioth in Ramah.” 20Then Saul sent messengers to take David, and when they saw the company of the prophets prophesying, and Samuel standing as head over them, the Spirit of God came upon the messengers of Saul, and they also prophesied. 21When it was told Saul, he sent other messengers, and they also prophesied. And Saul sent messengers again the third time, and they also prophesied. 22Then he himself went to Ramah and came to the great well that is in Secu. And he asked, “Where are Samuel and David?” And one said, “Behold, they are at Naioth in Ramah.” 23And he went there to Naioth in Ramah. And the Spirit of God came upon him also, and as he went he prophesied until he came to Naioth in Ramah. 24And he too stripped off his clothes, and he too prophesied before Samuel and lay naked all that day and all that night. Thus it is said, “Is Saul also among the prophets?”
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-Jonathan Warns David
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-20:1 Then David fled from Naioth in Ramah and came and said before Jonathan, “What have I done? What is my guilt? And what is my sin before your father, that he seeks my life?” 2And he said to him, “Far from it! You shall not die. Behold, my father does nothing either great or small without disclosing it to me. And why should my father hide this from me? It is not so.” 3But David vowed again, saying, “Your father knows well that I have found favor in your eyes, and he thinks, ‘Do not let Jonathan know this, lest he be grieved.’ But truly, as the LORD lives and as your soul lives, there is but a step between me and death.” 4Then Jonathan said to David, “Whatever you say, I will do for you.” 5David said to Jonathan, “Behold, tomorrow is the new moon, and I should not fail to sit at table with the king. But let me go, that I may hide myself in the field till the third day at evening. 6If your father misses me at all, then say, ‘David earnestly asked leave of me to run to Bethlehem his city, for there is a yearly sacrifice there for all the clan.’ 7If he says, ‘Good!’ it will be well with your servant, but if he is angry, then know that harm is determined by him. 8Therefore deal kindly with your servant, for you have brought your servant into a covenant of the LORD with you. But if there is guilt in me, kill me yourself, for why should you bring me to your father?” 9And Jonathan said, “Far be it from you! If I knew that it was determined by my father that harm should come to you, would I not tell you?” 10Then David said to Jonathan, “Who will tell me if your father answers you roughly?” 11And Jonathan said to David, “Come, let us go out into the field.” So they both went out into the field.
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-12And Jonathan said to David, “The LORD, the God of Israel, be witness![60] When I have sounded out my father, about this time tomorrow, or the third day, behold, if he is well disposed toward David, shall I not then send and disclose it to you? 13But should it please my father to do you harm, the LORD do so to Jonathan and more also if I do not disclose it to you and send you away, that you may go in safety. May the LORD be with you, as he has been with my father. 14If I am still alive, show me the steadfast love of the LORD, that I may not die; 15and do not cut off[61] your steadfast love from my house forever, when the LORD cuts off every one of the enemies of David from the face of the earth.” 16And Jonathan made a covenant with the house of David, saying, “May[62] the LORD take vengeance on David's enemies.” 17And Jonathan made David swear again by his love for him, for he loved him as he loved his own soul.
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-18Then Jonathan said to him, “Tomorrow is the new moon, and you will be missed, because your seat will be empty. 19On the third day go down quickly to the place where you hid yourself when the matter was in hand, and remain beside the stone heap.[63] 20And I will shoot three arrows to the side of it, as though I shot at a mark. 21And behold, I will send the young man, saying, ‘Go, find the arrows.’ If I say to the young man, ‘Look, the arrows are on this side of you, take them,’ then you are to come, for, as the LORD lives, it is safe for you and there is no danger. 22But if I say to the youth, ‘Look, the arrows are beyond you,’ then go, for the LORD has sent you away. 23And as for the matter of which you and I have spoken, behold, the LORD is between you and me forever.”
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-24So David hid himself in the field. And when the new moon came, the king sat down to eat food. 25The king sat on his seat, as at other times, on the seat by the wall. Jonathan sat opposite,[64] and Abner sat by Saul's side, but David's place was empty.
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-26Yet Saul did not say anything that day, for he thought, “Something has happened to him. He is not clean; surely he is not clean.” 27But on the second day, the day after the new moon, David's place was empty. And Saul said to Jonathan his son, “Why has not the son of Jesse come to the meal, either yesterday or today?” 28Jonathan answered Saul, “David earnestly asked leave of me to go to Bethlehem. 29He said, ‘Let me go, for our clan holds a sacrifice in the city, and my brother has commanded me to be there. So now, if I have found favor in your eyes, let me get away and see my brothers.’ For this reason he has not come to the king's table.”
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-30Then Saul's anger was kindled against Jonathan, and he said to him, “You son of a perverse, rebellious woman, do I not know that you have chosen the son of Jesse to your own shame, and to the shame of your mother's nakedness? 31For as long as the son of Jesse lives on the earth, neither you nor your kingdom shall be established. Therefore send and bring him to me, for he shall surely die.” 32Then Jonathan answered Saul his father, “Why should he be put to death? What has he done?” 33But Saul hurled his spear at him to strike him. So Jonathan knew that his father was determined to put David to death. 34And Jonathan rose from the table in fierce anger and ate no food the second day of the month, for he was grieved for David, because his father had disgraced him.
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-35In the morning Jonathan went out into the field to the appointment with David, and with him a little boy. 36And he said to his boy, “Run and find the arrows that I shoot.” As the boy ran, he shot an arrow beyond him. 37And when the boy came to the place of the arrow that Jonathan had shot, Jonathan called after the boy and said, “Is not the arrow beyond you?” 38And Jonathan called after the boy, “Hurry! Be quick! Do not stay!” So Jonathan's boy gathered up the arrows and came to his master. 39But the boy knew nothing. Only Jonathan and David knew the matter. 40And Jonathan gave his weapons to his boy and said to him, “Go and carry them to the city.” 41And as soon as the boy had gone, David rose from beside the stone heap[65] and fell on his face to the ground and bowed three times. And they kissed one another and wept with one another, David weeping the most. 42Then Jonathan said to David, “Go in peace, because we have sworn both of us in the name of the LORD, saying, ‘The LORD shall be between me and you, and between my offspring and your offspring, forever.’” And he rose and departed, and Jonathan went into the city.[66]
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-David and the Holy Bread
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-21:1 [67] Then David came to Nob to Ahimelech the priest. And Ahimelech came to meet David trembling and said to him, “Why are you alone, and no one with you?” 2And David said to Ahimelech the priest, “The king has charged me with a matter and said to me, ‘Let no one know anything of the matter about which I send you, and with which I have charged you.’ I have made an appointment with the young men for such and such a place. 3Now then, what do you have on hand? Give me five loaves of bread, or whatever is here.” 4And the priest answered David, “I have no common bread on hand, but there is holy bread—if the young men have kept themselves from women.” 5And David answered the priest, “Truly women have been kept from us as always when I go on an expedition. The vessels of the young men are holy even when it is an ordinary journey. How much more today will their vessels be holy?” 6So the priest gave him the holy bread, for there was no bread there but the bread of the Presence, which is removed from before the LORD, to be replaced by hot bread on the day it is taken away.
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-7Now a certain man of the servants of Saul was there that day, detained before the LORD. His name was Doeg the Edomite, the chief of Saul's herdsmen.
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-8Then David said to Ahimelech, “Then have you not here a spear or a sword at hand? For I have brought neither my sword nor my weapons with me, because the king's business required haste.” 9And the priest said, “The sword of Goliath the Philistine, whom you struck down in the Valley of Elah, behold, it is here wrapped in a cloth behind the ephod. If you will take that, take it, for there is none but that here.” And David said, “There is none like that; give it to me.”
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-David Flees to Gath
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-10And David rose and fled that day from Saul and went to Achish the king of Gath. 11And the servants of Achish said to him, “Is not this David the king of the land? Did they not sing to one another of him in dances,
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-‘Saul has struck down his thousands,
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-and David his ten thousands’?”
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-12And David took these words to heart and was much afraid of Achish the king of Gath. 13So he changed his behavior before them and pretended to be insane in their hands and made marks on the doors of the gate and let his spittle run down his beard. 14Then Achish said to his servants, “Behold, you see the man is mad. Why then have you brought him to me? 15Do I lack madmen, that you have brought this fellow to behave as a madman in my presence? Shall this fellow come into my house?”
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-David at the Cave of Adullam
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-22:1 David departed from there and escaped to the cave of Adullam. And when his brothers and all his father's house heard it, they went down there to him. 2And everyone who was in distress, and everyone who was in debt, and everyone who was bitter in soul,[68] gathered to him. And he became captain over them. And there were with him about four hundred men.
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-3And David went from there to Mizpeh of Moab. And he said to the king of Moab, “Please let my father and my mother stay[69] with you, till I know what God will do for me.” 4And he left them with the king of Moab, and they stayed with him all the time that David was in the stronghold. 5Then the prophet Gad said to David, “Do not remain in the stronghold; depart, and go into the land of Judah.” So David departed and went into the forest of Hereth.
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-Saul Kills the Priests at Nob
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-6Now Saul heard that David was discovered, and the men who were with him. Saul was sitting at Gibeah under the tamarisk tree on the height with his spear in his hand, and all his servants were standing about him. 7And Saul said to his servants who stood about him, “Hear now, people of Benjamin; will the son of Jesse give every one of you fields and vineyards, will he make you all commanders of thousands and commanders of hundreds, 8that all of you have conspired against me? No one discloses to me when my son makes a covenant with the son of Jesse. None of you is sorry for me or discloses to me that my son has stirred up my servant against me, to lie in wait, as at this day.” 9Then answered Doeg the Edomite, who stood by the servants of Saul, “I saw the son of Jesse coming to Nob, to Ahimelech the son of Ahitub, 10and he inquired of the LORD for him and gave him provisions and gave him the sword of Goliath the Philistine.”
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-11Then the king sent to summon Ahimelech the priest, the son of Ahitub, and all his father's house, the priests who were at Nob, and all of them came to the king. 12And Saul said, “Hear now, son of Ahitub.” And he answered, “Here I am, my lord.” 13And Saul said to him, “Why have you conspired against me, you and the son of Jesse, in that you have given him bread and a sword and have inquired of God for him, so that he has risen against me, to lie in wait, as at this day?” 14Then Ahimelech answered the king, “And who among all your servants is so faithful as David, who is the king's son-in-law, and captain over[70] your bodyguard, and honored in your house? 15Is today the first time that I have inquired of God for him? No! Let not the king impute anything to his servant or to all the house of my father, for your servant has known nothing of all this, much or little.” 16And the king said, “You shall surely die, Ahimelech, you and all your father's house.” 17And the king said to the guard who stood about him, “Turn and kill the priests of the LORD, because their hand also is with David, and they knew that he fled and did not disclose it to me.” But the servants of the king would not put out their hand to strike the priests of the LORD. 18Then the king said to Doeg, “You turn and strike the priests.” And Doeg the Edomite turned and struck down the priests, and he killed on that day eighty-five persons who wore the linen ephod. 19And Nob, the city of the priests, he put to the sword; both man and woman, child and infant, ox, donkey and sheep, he put to the sword.
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-20But one of the sons of Ahimelech the son of Ahitub, named Abiathar, escaped and fled after David. 21And Abiathar told David that Saul had killed the priests of the LORD. 22And David said to Abiathar, “I knew on that day, when Doeg the Edomite was there, that he would surely tell Saul. I have occasioned the death of all the persons of your father's house. 23Stay with me; do not be afraid, for he who seeks my life seeks your life. With me you shall be in safekeeping.”
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-David Saves the City of Keilah
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-23:1 Now they told David, “Behold, the Philistines are fighting against Keilah and are robbing the threshing floors.” 2Therefore David inquired of the LORD, “Shall I go and attack these Philistines?” And the LORD said to David, “Go and attack the Philistines and save Keilah.” 3But David's men said to him, “Behold, we are afraid here in Judah; how much more then if we go to Keilah against the armies of the Philistines?” 4Then David inquired of the LORD again. And the LORD answered him, “Arise, go down to Keilah, for I will give the Philistines into your hand.” 5And David and his men went to Keilah and fought with the Philistines and brought away their livestock and struck them with a great blow. So David saved the inhabitants of Keilah.
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-6When Abiathar the son of Ahimelech had fled to David to Keilah, he had come down with an ephod in his hand. 7Now it was told Saul that David had come to Keilah. And Saul said, “God has given him into my hand, for he has shut himself in by entering a town that has gates and bars.” 8And Saul summoned all the people to war, to go down to Keilah, to besiege David and his men. 9David knew that Saul was plotting harm against him. And he said to Abiathar the priest, “Bring the ephod here.” 10Then said David, “O LORD, the God of Israel, your servant has surely heard that Saul seeks to come to Keilah, to destroy the city on my account. 11Will the men of Keilah surrender me into his hand? Will Saul come down, as your servant has heard? O LORD, the God of Israel, please tell your servant.” And the LORD said, “He will come down.” 12Then David said, “Will the men of Keilah surrender me and my men into the hand of Saul?” And the LORD said, “They will surrender you.” 13Then David and his men, who were about six hundred, arose and departed from Keilah, and they went wherever they could go. When Saul was told that David had escaped from Keilah, he gave up the expedition. 14And David remained in the strongholds in the wilderness, in the hill country of the wilderness of Ziph. And Saul sought him every day, but God did not give him into his hand.
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-Saul Pursues David
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-15David saw that Saul had come out to seek his life. David was in the wilderness of Ziph at Horesh. 16And Jonathan, Saul's son, rose and went to David at Horesh, and strengthened his hand in God. 17And he said to him, “Do not fear, for the hand of Saul my father shall not find you. You shall be king over Israel, and I shall be next to you. Saul my father also knows this.” 18And the two of them made a covenant before the LORD. David remained at Horesh, and Jonathan went home.
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-19Then the Ziphites went up to Saul at Gibeah, saying, “Is not David hiding among us in the strongholds at Horesh, on the hill of Hachilah, which is south of Jeshimon? 20Now come down, O king, according to all your heart's desire to come down, and our part shall be to surrender him into the king's hand.” 21And Saul said, “May you be blessed by the LORD, for you have had compassion on me. 22Go, make yet more sure. Know and see the place where his foot is, and who has seen him there, for it is told me that he is very cunning. 23See therefore and take note of all the lurking places where he hides, and come back to me with sure information. Then I will go with you. And if he is in the land, I will search him out among all the thousands of Judah.” 24And they arose and went to Ziph ahead of Saul.
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-Now David and his men were in the wilderness of Maon, in the Arabah to the south of Jeshimon. 25And Saul and his men went to seek him. And David was told, so he went down to the rock and lived in the wilderness of Maon. And when Saul heard that, he pursued after David in the wilderness of Maon. 26Saul went on one side of the mountain, and David and his men on the other side of the mountain. And David was hurrying to get away from Saul. As Saul and his men were closing in on David and his men to capture them, 27a messenger came to Saul, saying, “Hurry and come, for the Philistines have made a raid against the land.” 28So Saul returned from pursuing after David and went against the Philistines. Therefore that place was called the Rock of Escape.[71] 29[72] And David went up from there and lived in the strongholds of Engedi.
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-David Spares Saul's Life
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-24:1 [73] When Saul returned from following the Philistines, he was told, “Behold, David is in the wilderness of Engedi.” 2Then Saul took three thousand chosen men out of all Israel and went to seek David and his men in front of the Wildgoats' Rocks. 3And he came to the sheepfolds by the way, where there was a cave, and Saul went in to relieve himself.[74] Now David and his men were sitting in the innermost parts of the cave. 4And the men of David said to him, “Here is the day of which the LORD said to you, ‘Behold, I will give your enemy into your hand, and you shall do to him as it shall seem good to you.’” Then David arose and stealthily cut off a corner of Saul's robe. 5And afterward David's heart struck him, because he had cut off a corner of Saul's robe. 6He said to his men, “The LORD forbid that I should do this thing to my lord, the LORD's anointed, to put out my hand against him, seeing he is the LORD's anointed.” 7So David persuaded his men with these words and did not permit them to attack Saul. And Saul rose up and left the cave and went on his way.
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-8Afterward David also arose and went out of the cave, and called after Saul, “My lord the king!” And when Saul looked behind him, David bowed with his face to the earth and paid homage. 9And David said to Saul, “Why do you listen to the words of men who say, ‘Behold, David seeks your harm’? 10Behold, this day your eyes have seen how the LORD gave you today into my hand in the cave. And some told me to kill you, but I spared you.[75] I said, ‘I will not put out my hand against my lord, for he is the LORD's anointed.’ 11See, my father, see the corner of your robe in my hand. For by the fact that I cut off the corner of your robe and did not kill you, you may know and see that there is no wrong or treason in my hands. I have not sinned against you, though you hunt my life to take it. 12May the LORD judge between me and you, may the LORD avenge me against you, but my hand shall not be against you. 13As the proverb of the ancients says, ‘Out of the wicked comes wickedness.’ But my hand shall not be against you. 14After whom has the king of Israel come out? After whom do you pursue? After a dead dog! After a flea! 15May the LORD therefore be judge and give sentence between me and you, and see to it and plead my cause and deliver me from your hand.”
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-16As soon as David had finished speaking these words to Saul, Saul said, “Is this your voice, my son David?” And Saul lifted up his voice and wept. 17He said to David, “You are more righteous than I, for you have repaid me good, whereas I have repaid you evil. 18And you have declared this day how you have dealt well with me, in that you did not kill me when the LORD put me into your hands. 19For if a man finds his enemy, will he let him go away safe? So may the LORD reward you with good for what you have done to me this day. 20And now, behold, I know that you shall surely be king, and that the kingdom of Israel shall be established in your hand. 21Swear to me therefore by the LORD that you will not cut off my offspring after me, and that you will not destroy my name out of my father's house.” 22And David swore this to Saul. Then Saul went home, but David and his men went up to the stronghold.
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-The Death of Samuel
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-25:1 Now Samuel died. And all Israel assembled and mourned for him, and they buried him in his house at Ramah.
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-David and Abigail
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-Then David rose and went down to the wilderness of Paran. 2And there was a man in Maon whose business was in Carmel. The man was very rich; he had three thousand sheep and a thousand goats. He was shearing his sheep in Carmel. 3Now the name of the man was Nabal, and the name of his wife Abigail. The woman was discerning and beautiful, but the man was harsh and badly behaved; he was a Calebite. 4David heard in the wilderness that Nabal was shearing his sheep. 5So David sent ten young men. And David said to the young men, “Go up to Carmel, and go to Nabal and greet him in my name. 6And thus you shall greet him: ‘Peace be to you, and peace be to your house, and peace be to all that you have. 7I hear that you have shearers. Now your shepherds have been with us, and we did them no harm, and they missed nothing all the time they were in Carmel. 8Ask your young men, and they will tell you. Therefore let my young men find favor in your eyes, for we come on a feast day. Please give whatever you have at hand to your servants and to your son David.’”
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-9When David's young men came, they said all this to Nabal in the name of David, and then they waited. 10And Nabal answered David's servants, “Who is David? Who is the son of Jesse? There are many servants these days who are breaking away from their masters. 11Shall I take my bread and my water and my meat that I have killed for my shearers and give it to men who come from I do not know where?” 12So David's young men turned away and came back and told him all this. 13And David said to his men, “Every man strap on his sword!” And every man of them strapped on his sword. David also strapped on his sword. And about four hundred men went up after David, while two hundred remained with the baggage.
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-14But one of the young men told Abigail, Nabal's wife, “Behold, David sent messengers out of the wilderness to greet our master, and he railed at them. 15Yet the men were very good to us, and we suffered no harm, and we did not miss anything when we were in the fields, as long as we went with them. 16They were a wall to us both by night and by day, all the while we were with them keeping the sheep. 17Now therefore know this and consider what you should do, for harm is determined against our master and against all his house, and he is such a worthless man that one cannot speak to him.”
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-18Then Abigail made haste and took two hundred loaves and two skins of wine and five sheep already prepared and five seahs[76] of parched grain and a hundred clusters of raisins and two hundred cakes of figs, and laid them on donkeys. 19And she said to her young men, “Go on before me; behold, I come after you.” But she did not tell her husband Nabal. 20And as she rode on the donkey and came down under cover of the mountain, behold, David and his men came down toward her, and she met them. 21Now David had said, “Surely in vain have I guarded all that this fellow has in the wilderness, so that nothing was missed of all that belonged to him, and he has returned me evil for good. 22God do so to the enemies of David[77] and more also, if by morning I leave so much as one male of all who belong to him.”
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-23When Abigail saw David, she hurried and got down from the donkey and fell before David on her face and bowed to the ground. 24She fell at his feet and said, “On me alone, my lord, be the guilt. Please let your servant speak in your ears, and hear the words of your servant. 25Let not my lord regard this worthless fellow, Nabal, for as his name is, so is he. Nabal[78] is his name, and folly is with him. But I your servant did not see the young men of my lord, whom you sent. 26Now then, my lord, as the LORD lives, and as your soul lives, because the LORD has restrained you from bloodguilt and from saving with your own hand, now then let your enemies and those who seek to do evil to my lord be as Nabal. 27And now let this present that your servant has brought to my lord be given to the young men who follow my lord. 28Please forgive the trespass of your servant. For the LORD will certainly make my lord a sure house, because my lord is fighting the battles of the LORD, and evil shall not be found in you so long as you live. 29If men rise up to pursue you and to seek your life, the life of my lord shall be bound in the bundle of the living in the care of the LORD your God. And the lives of your enemies he shall sling out as from the hollow of a sling. 30And when the LORD has done to my lord according to all the good that he has spoken concerning you and has appointed you prince over Israel, 31my lord shall have no cause of grief or pangs of conscience for having shed blood without cause or for my lord taking vengeance himself. And when the LORD has dealt well with my lord, then remember your servant.”
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-32And David said to Abigail, “Blessed be the LORD, the God of Israel, who sent you this day to meet me! 33Blessed be your discretion, and blessed be you, who have kept me this day from bloodguilt and from avenging myself with my own hand! 34For as surely as the LORD, the God of Israel, lives, who has restrained me from hurting you, unless you had hurried and come to meet me, truly by morning there had not been left to Nabal so much as one male.” 35Then David received from her hand what she had brought him. And he said to her, “Go up in peace to your house. See, I have obeyed your voice, and I have granted your petition.”
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-36And Abigail came to Nabal, and behold, he was holding a feast in his house, like the feast of a king. And Nabal's heart was merry within him, for he was very drunk. So she told him nothing at all until the morning light. 37In the morning, when the wine had gone out of Nabal, his wife told him these things, and his heart died within him, and he became as a stone. 38And about ten days later the LORD struck Nabal, and he died.
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-39When David heard that Nabal was dead, he said, “Blessed be the LORD who has avenged the insult I received at the hand of Nabal, and has kept back his servant from wrongdoing. The LORD has returned the evil of Nabal on his own head.” Then David sent and spoke to Abigail, to take her as his wife. 40When the servants of David came to Abigail at Carmel, they said to her, “David has sent us to you to take you to him as his wife.” 41And she rose and bowed with her face to the ground and said, “Behold, your handmaid is a servant to wash the feet of the servants of my lord.” 42And Abigail hurried and rose and mounted a donkey, and her five young women attended her. She followed the messengers of David and became his wife.
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-43David also took Ahinoam of Jezreel, and both of them became his wives. 44Saul had given Michal his daughter, David's wife, to Palti the son of Laish, who was of Gallim.
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-David Spares Saul Again
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-26:1 Then the Ziphites came to Saul at Gibeah, saying, “Is not David hiding himself on the hill of Hachilah, which is on the east of Jeshimon?” 2So Saul arose and went down to the wilderness of Ziph with three thousand chosen men of Israel to seek David in the wilderness of Ziph. 3And Saul encamped on the hill of Hachilah, which is beside the road on the east of Jeshimon. But David remained in the wilderness. When he saw that Saul came after him into the wilderness, 4David sent out spies and learned that Saul had come. 5Then David rose and came to the place where Saul had encamped. And David saw the place where Saul lay, with Abner the son of Ner, the commander of his army. Saul was lying within the encampment, while the army was encamped around him.
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-6Then David said to Ahimelech the Hittite, and to Joab's brother Abishai the son of Zeruiah, “Who will go down with me into the camp to Saul?” And Abishai said, “I will go down with you.” 7So David and Abishai went to the army by night. And there lay Saul sleeping within the encampment, with his spear stuck in the ground at his head, and Abner and the army lay around him. 8Then said Abishai to David, “God has given your enemy into your hand this day. Now please let me pin him to the earth with one stroke of the spear, and I will not strike him twice.” 9But David said to Abishai, “Do not destroy him, for who can put out his hand against the LORD's anointed and be guiltless?” 10And David said, “As the LORD lives, the LORD will strike him, or his day will come to die, or he will go down into battle and perish. 11The LORD forbid that I should put out my hand against the LORD's anointed. But take now the spear that is at his head and the jar of water, and let us go.” 12So David took the spear and the jar of water from Saul's head, and they went away. No man saw it or knew it, nor did any awake, for they were all asleep, because a deep sleep from the LORD had fallen upon them.
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-13Then David went over to the other side and stood far off on the top of the hill, with a great space between them. 14And David called to the army, and to Abner the son of Ner, saying, “Will you not answer, Abner?” Then Abner answered, “Who are you who calls to the king?” 15And David said to Abner, “Are you not a man? Who is like you in Israel? Why then have you not kept watch over your lord the king? For one of the people came in to destroy the king your lord. 16This thing that you have done is not good. As the LORD lives, you deserve to die, because you have not kept watch over your lord, the LORD's anointed. And now see where the king's spear is and the jar of water that was at his head.”
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-17Saul recognized David's voice and said, “Is this your voice, my son David?” And David said, “It is my voice, my lord, O king.” 18And he said, “Why does my lord pursue after his servant? For what have I done? What evil is on my hands? 19Now therefore let my lord the king hear the words of his servant. If it is the LORD who has stirred you up against me, may he accept an offering, but if it is men, may they be cursed before the LORD, for they have driven me out this day that I should have no share in the heritage of the LORD, saying, ‘Go, serve other gods.’ 20Now therefore, let not my blood fall to the earth away from the presence of the LORD, for the king of Israel has come out to seek a single flea like one who hunts a partridge in the mountains.”
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-21Then Saul said, “I have sinned. Return, my son David, for I will no more do you harm, because my life was precious in your eyes this day. Behold, I have acted foolishly, and have made a great mistake.” 22And David answered and said, “Here is the spear, O king! Let one of the young men come over and take it. 23The LORD rewards every man for his righteousness and his faithfulness, for the LORD gave you into my hand today, and I would not put out my hand against the LORD's anointed. 24Behold, as your life was precious this day in my sight, so may my life be precious in the sight of the LORD, and may he deliver me out of all tribulation.” 25Then Saul said to David, “Blessed be you, my son David! You will do many things and will succeed in them.” So David went his way, and Saul returned to his place.
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-David Flees to the Philistines
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-27:1 Then David said in his heart, “Now I shall perish one day by the hand of Saul. There is nothing better for me than that I should escape to the land of the Philistines. Then Saul will despair of seeking me any longer within the borders of Israel, and I shall escape out of his hand.” 2So David arose and went over, he and the six hundred men who were with him, to Achish the son of Maoch, king of Gath. 3And David lived with Achish at Gath, he and his men, every man with his household, and David with his two wives, Ahinoam of Jezreel, and Abigail of Carmel, Nabal's widow. 4And when it was told Saul that David had fled to Gath, he no longer sought him.
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-5Then David said to Achish, “If I have found favor in your eyes, let a place be given me in one of the country towns, that I may dwell there. For why should your servant dwell in the royal city with you?” 6So that day Achish gave him Ziklag. Therefore Ziklag has belonged to the kings of Judah to this day. 7And the number of the days that David lived in the country of the Philistines was a year and four months.
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-8Now David and his men went up and made raids against the Geshurites, the Girzites, and the Amalekites, for these were the inhabitants of the land from of old, as far as Shur, to the land of Egypt. 9And David would strike the land and would leave neither man nor woman alive, but would take away the sheep, the oxen, the donkeys, the camels, and the garments, and come back to Achish. 10When Achish asked, “Where have you made a raid today?” David would say, “Against the Negeb of Judah,” or, “Against the Negeb of the Jerahmeelites,” or, “Against the Negeb of the Kenites.” 11And David would leave neither man nor woman alive to bring news to Gath, thinking, “lest they should tell about us and say, ‘So David has done.’” Such was his custom all the while he lived in the country of the Philistines. 12And Achish trusted David, thinking, “He has made himself an utter stench to his people Israel; therefore he shall always be my servant.”
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-Saul and the Medium of En-dor
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-28:1 In those days the Philistines gathered their forces for war, to fight against Israel. And Achish said to David, “Understand that you and your men are to go out with me in the army.” 2David said to Achish, “Very well, you shall know what your servant can do.” And Achish said to David, “Very well, I will make you my bodyguard for life.”
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-3Now Samuel had died, and all Israel had mourned for him and buried him in Ramah, his own city. And Saul had put the mediums and the necromancers out of the land. 4The Philistines assembled and came and encamped at Shunem. And Saul gathered all Israel, and they encamped at Gilboa. 5When Saul saw the army of the Philistines, he was afraid, and his heart trembled greatly. 6And when Saul inquired of the LORD, the LORD did not answer him, either by dreams, or by Urim, or by prophets. 7Then Saul said to his servants, “Seek out for me a woman who is a medium, that I may go to her and inquire of her.” And his servants said to him, “Behold, there is a medium at En-dor.”
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-8So Saul disguised himself and put on other garments and went, he and two men with him. And they came to the woman by night. And he said, “Divine for me by a spirit and bring up for me whomever I shall name to you.” 9The woman said to him, “Surely you know what Saul has done, how he has cut off the mediums and the necromancers from the land. Why then are you laying a trap for my life to bring about my death?” 10But Saul swore to her by the LORD, “As the LORD lives, no punishment shall come upon you for this thing.” 11Then the woman said, “Whom shall I bring up for you?” He said, “Bring up Samuel for me.” 12When the woman saw Samuel, she cried out with a loud voice. And the woman said to Saul, “Why have you deceived me? You are Saul.” 13The king said to her, “Do not be afraid. What do you see?” And the woman said to Saul, “I see a god coming up out of the earth.” 14He said to her, “What is his appearance?” And she said, “An old man is coming up, and he is wrapped in a robe.” And Saul knew that it was Samuel, and he bowed with his face to the ground and paid homage.
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-15Then Samuel said to Saul, “Why have you disturbed me by bringing me up?” Saul answered, “I am in great distress, for the Philistines are warring against me, and God has turned away from me and answers me no more, either by prophets or by dreams. Therefore I have summoned you to tell me what I shall do.” 16And Samuel said, “Why then do you ask me, since the LORD has turned from you and become your enemy? 17The LORD has done to you as he spoke by me, for the LORD has torn the kingdom out of your hand and given it to your neighbor, David. 18Because you did not obey the voice of the LORD and did not carry out his fierce wrath against Amalek, therefore the LORD has done this thing to you this day. 19Moreover, the LORD will give Israel also with you into the hand of the Philistines, and tomorrow you and your sons shall be with me. The LORD will give the army of Israel also into the hand of the Philistines.”
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-20Then Saul fell at once full length on the ground, filled with fear because of the words of Samuel. And there was no strength in him, for he had eaten nothing all day and all night. 21And the woman came to Saul, and when she saw that he was terrified, she said to him, “Behold, your servant has obeyed you. I have taken my life in my hand and have listened to what you have said to me. 22Now therefore, you also obey your servant. Let me set a morsel of bread before you; and eat, that you may have strength when you go on your way.” 23He refused and said, “I will not eat.” But his servants, together with the woman, urged him, and he listened to their words. So he arose from the earth and sat on the bed. 24Now the woman had a fattened calf in the house, and she quickly killed it, and she took flour and kneaded it and baked unleavened bread of it, 25and she put it before Saul and his servants, and they ate. Then they rose and went away that night.
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-The Philistines Reject David
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-29:1 Now the Philistines had gathered all their forces at Aphek. And the Israelites were encamped by the spring that is in Jezreel. 2As the lords of the Philistines were passing on by hundreds and by thousands, and David and his men were passing on in the rear with Achish, 3the commanders of the Philistines said, “What are these Hebrews doing here?” And Achish said to the commanders of the Philistines, “Is this not David, the servant of Saul, king of Israel, who has been with me now for days and years, and since he deserted to me I have found no fault in him to this day.” 4But the commanders of the Philistines were angry with him. And the commanders of the Philistines said to him, “Send the man back, that he may return to the place to which you have assigned him. He shall not go down with us to battle, lest in the battle he become an adversary to us. For how could this fellow reconcile himself to his lord? Would it not be with the heads of the men here? 5Is not this David, of whom they sing to one another in dances,
-
-‘Saul has struck down his thousands,
-
-and David his ten thousands’?”
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-6Then Achish called David and said to him, “As the LORD lives, you have been honest, and to me it seems right that you should march out and in with me in the campaign. For I have found nothing wrong in you from the day of your coming to me to this day. Nevertheless, the lords do not approve of you. 7So go back now; and go peaceably, that you may not displease the lords of the Philistines.” 8And David said to Achish, “But what have I done? What have you found in your servant from the day I entered your service until now, that I may not go and fight against the enemies of my lord the king?” 9And Achish answered David and said, “I know that you are as blameless in my sight as an angel of God. Nevertheless, the commanders of the Philistines have said, ‘He shall not go up with us to the battle.’ 10Now then rise early in the morning with the servants of your lord who came with you, and start early in the morning, and depart as soon as you have light.” 11So David set out with his men early in the morning to return to the land of the Philistines. But the Philistines went up to Jezreel.
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-David's Wives Are Captured
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-30:1 Now when David and his men came to Ziklag on the third day, the Amalekites had made a raid against the Negeb and against Ziklag. They had overcome Ziklag and burned it with fire 2and taken captive the women and all[79] who were in it, both small and great. They killed no one, but carried them off and went their way. 3And when David and his men came to the city, they found it burned with fire, and their wives and sons and daughters taken captive. 4Then David and the people who were with him raised their voices and wept until they had no more strength to weep. 5David's two wives also had been taken captive, Ahinoam of Jezreel and Abigail the widow of Nabal of Carmel. 6And David was greatly distressed, for the people spoke of stoning him, because all the people were bitter in soul,[80] each for his sons and daughters. But David strengthened himself in the LORD his God.
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-7And David said to Abiathar the priest, the son of Ahimelech, “Bring me the ephod.” So Abiathar brought the ephod to David. 8And David inquired of the LORD, “Shall I pursue after this band? Shall I overtake them?” He answered him, “Pursue, for you shall surely overtake and shall surely rescue.” 9So David set out, and the six hundred men who were with him, and they came to the brook Besor, where those who were left behind stayed. 10But David pursued, he and four hundred men. Two hundred stayed behind, who were too exhausted to cross the brook Besor.
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-11They found an Egyptian in the open country and brought him to David. And they gave him bread and he ate. They gave him water to drink, 12and they gave him a piece of a cake of figs and two clusters of raisins. And when he had eaten, his spirit revived, for he had not eaten bread or drunk water for three days and three nights. 13And David said to him, “To whom do you belong? And where are you from?” He said, “I am a young man of Egypt, servant to an Amalekite, and my master left me behind because I fell sick three days ago. 14We had made a raid against the Negeb of the Cherethites and against that which belongs to Judah and against the Negeb of Caleb, and we burned Ziklag with fire.” 15And David said to him, “Will you take me down to this band?” And he said, “Swear to me by God that you will not kill me or deliver me into the hands of my master, and I will take you down to this band.”
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-David Defeats the Amalekites
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-16And when he had taken him down, behold, they were spread abroad over all the land, eating and drinking and dancing, because of all the great spoil they had taken from the land of the Philistines and from the land of Judah. 17And David struck them down from twilight until the evening of the next day, and not a man of them escaped, except four hundred young men, who mounted camels and fled. 18David recovered all that the Amalekites had taken, and David rescued his two wives. 19Nothing was missing, whether small or great, sons or daughters, spoil or anything that had been taken. David brought back all. 20David also captured all the flocks and herds, and the people drove the livestock before him,[81] and said, “This is David's spoil.”
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-21Then David came to the two hundred men who had been too exhausted to follow David, and who had been left at the brook Besor. And they went out to meet David and to meet the people who were with him. And when David came near to the people he greeted them. 22Then all the wicked and worthless fellows among the men who had gone with David said, “Because they did not go with us, we will not give them any of the spoil that we have recovered, except that each man may lead away his wife and children, and depart.” 23But David said, “You shall not do so, my brothers, with what the LORD has given us. He has preserved us and given into our hand the band that came against us. 24Who would listen to you in this matter? For as his share is who goes down into the battle, so shall his share be who stays by the baggage. They shall share alike.” 25And he made it a statute and a rule for Israel from that day forward to this day.
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-26When David came to Ziklag, he sent part of the spoil to his friends, the elders of Judah, saying, “Here is a present for you from the spoil of the enemies of the LORD.” 27It was for those in Bethel, in Ramoth of the Negeb, in Jattir, 28in Aroer, in Siphmoth, in Eshtemoa, 29in Racal, in the cities of the Jerahmeelites, in the cities of the Kenites, 30in Hormah, in Bor-ashan, in Athach, 31in Hebron, for all the places where David and his men had roamed.
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-The Death of Saul
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-31:1 Now the Philistines fought against Israel, and the men of Israel fled before the Philistines and fell slain on Mount Gilboa. 2And the Philistines overtook Saul and his sons, and the Philistines struck down Jonathan and Abinadab and Malchi-shua, the sons of Saul. 3The battle pressed hard against Saul, and the archers found him, and he was badly wounded by the archers. 4Then Saul said to his armor-bearer, “Draw your sword, and thrust me through with it, lest these uncircumcised come and thrust me through, and mistreat me.” But his armor-bearer would not, for he feared greatly. Therefore Saul took his own sword and fell upon it. 5And when his armor-bearer saw that Saul was dead, he also fell upon his sword and died with him. 6Thus Saul died, and his three sons, and his armor-bearer, and all his men, on the same day together. 7And when the men of Israel who were on the other side of the valley and those beyond the Jordan saw that the men of Israel had fled and that Saul and his sons were dead, they abandoned their cities and fled. And the Philistines came and lived in them.
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-8The next day, when the Philistines came to strip the slain, they found Saul and his three sons fallen on Mount Gilboa. 9So they cut off his head and stripped off his armor and sent messengers throughout the land of the Philistines, to carry the good news to the house of their idols and to the people. 10They put his armor in the temple of Ashtaroth, and they fastened his body to the wall of Beth-shan. 11But when the inhabitants of Jabesh-gilead heard what the Philistines had done to Saul, 12all the valiant men arose and went all night and took the body of Saul and the bodies of his sons from the wall of Beth-shan, and they came to Jabesh and burned them there. 13And they took their bones and buried them under the tamarisk tree in Jabesh and fasted seven days.
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-Footnotes
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-[1] 1:5 Syriac; the meaning of the Hebrew is uncertain. Septuagint And, although he loved Hannah, he would give Hannah only one portion, because the LORD had closed her womb
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-[2] 1:20 Samuel sounds like the Hebrew for heard of God
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-[3] 1:24 Septuagint, Syriac; Hebrew three bulls
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-[4] 1:24 An ephah was about 3/5 bushel or 22 liters
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-[5] 2:1 Hebrew horn
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-[6] 2:10 Hebrew horn
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-[7] 2:13 Hebrew young man; also verse 15
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-[8] 2:29 Septuagint; Hebrew kick at
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-[9] 2:33 Septuagint; Hebrew your; twice in this verse
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-[10] 2:33 Hebrew increase
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-[11] 2:33 Septuagint; Hebrew die as men
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-[12] 3:13 Or blaspheming for themselves
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-[13] 4:21 Or gone into exile; also verse 22
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-[14] 6:19 Hebrew of the people seventy men, fifty thousand men
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-[15] 7:12 Hebrew; Septuagint, Syriac Jeshanah
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-[16] 7:12 Ebenezer means stone of help
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-[17] 8:16 Septuagint cattle
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-[18] 9:5 Hebrew young man; also verses 7, 8, 10, 27
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-[19] 9:8 A shekel was about 2/5 ounce or 11 grams
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-[20] 9:16 Septuagint adds the affliction of
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-[21] 9:24 Hebrew appointed, saying, ‘I have invited the people’
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-[22] 9:25 Septuagint; Hebrew and he spoke with Saul
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-[23] 9:26 Septuagint; Hebrew And they arose early and at the break of dawn
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-[24] 10:1 Septuagint; Hebrew lacks over his people Israel? And you shall. . . . to be prince
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-[25] 10:5 Gibeath-elohim means the hill of God
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-[26] 10:10 Gibeah means the hill
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-[27] 10:21 Septuagint adds finally he brought the family of the Matrites near, man by man
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-[28] 12:3 Septuagint; Hebrew lacks Testify against me
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-[29] 12:6 Septuagint; Hebrew lacks is witness
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-[30] 12:8 Septuagint; Hebrew lacks and the Egyptians oppressed them
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-[31] 12:9 Septuagint the army of Jabin king of Hazor
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-[32] 12:11 Septuagint, Syriac; Hebrew Bedan
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-[33] 12:15 Septuagint; Hebrew fathers
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-[34] 13:1 The number is lacking in Hebrew and Septuagint
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-[35] 13:1 Two may not be the entire number; something may have dropped out
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-[36] 13:15 Septuagint; Hebrew lacks The rest of the people . . . from Gilgal
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-[37] 13:20 Septuagint; Hebrew plowshare
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-[38] 13:21 Hebrew was a pim
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-[39] 13:21 A shekel was about 2/5 ounce or 11 grams
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-[40] 13:21 The meaning of the Hebrew verse is uncertain
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-[41] 14:2 Or under the pomegranate [tree]
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-[42] 14:7 Septuagint Do all that your mind inclines to
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-[43] 14:14 Hebrew a yoke
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-[44] 14:16 Septuagint; Hebrew they went here and there
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-[45] 14:18 Hebrew; Septuagint “Bring the ephod.” For at that time he wore the ephod before the people
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-[46] 14:25 Hebrew land
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-[47] 14:33 Septuagint; Hebrew this day
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-[48] 14:41 Vulgate (compare Septuagint); Hebrew Saul said to the LORD, the God of Israel, “Why . . .
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-[49] 15:3 That is, set apart (devote) as an offering to the Lord (for destruction); also verses 8, 9, 15, 18, 20, 21
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-[50] 15:9 The meaning of the Hebrew term is uncertain
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-[51] 15:32 Or haltingly (compare Septuagint); the Hebrew is uncertain
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-[52] 16:11 Or smallest
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-[53] 17:4 Hebrew; Septuagint, Dead Sea Scroll and Josephus four
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-[54] 17:5 A shekel was about 2/5 ounce or 11 grams
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-[55] 17:12 Septuagint, Syriac; Hebrew years among men
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-[56] 17:17 An ephah was about 3/5 bushel or 22 liters
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-[57] 17:52 Septuagint; Hebrew Gai
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-[58] 18:6 Or triangles, or three-stringed instruments
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-[59] 18:21 Hebrew by two
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-[60] 20:12 Hebrew lacks be witness
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-[61] 20:15 Or but if I die, do not cut off
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-[62] 20:16 Septuagint earth, 16let not the name of Jonathan be cut off from the house of David. And may
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-[63] 20:19 Septuagint; Hebrew the stone Ezel
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-[64] 20:25 Compare Septuagint; Hebrew stood up
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-[65] 20:41 Septuagint; Hebrew from beside the south
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-[66] 20:42 This sentence is 21:1 in Hebrew
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-[67] 21:1 Ch 21:2 in Hebrew
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-[68] 22:2 Or discontented
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-[69] 22:3 Syriac, Vulgate; Hebrew go out
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-[70] 22:14 Septuagint, Targum; Hebrew and has turned aside to
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-[71] 23:28 Or Rock of Divisions
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-[72] 23:29 Ch 24:1 in Hebrew
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-[73] 24:1 Ch 24:2 in Hebrew
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-[74] 24:3 Hebrew cover his feet
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-[75] 24:10 Septuagint, Syriac, Targum; Hebrew it [my eye] spared you
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-[76] 25:18 A seah was about 7 quarts or 7.3 liters
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-[77] 25:22 Septuagint to David
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-[78] 25:25 Nabal means fool
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-[79] 30:2 Septuagint; Hebrew lacks and all
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-[80] 30:6 Compare 22:2
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-[81] 30:20 The meaning of the Hebrew clause is uncertain
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-
-
-
-
-2 SAMUEL
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-
-Chapter 1
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-Chapter 2
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-Chapter 3
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-Chapter 4
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-Chapter 5
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-Chapter 6
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-Chapter 7
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-Chapter 8
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-Chapter 9
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-Chapter 10
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-Chapter 11
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-Chapter 12
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-Chapter 13
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-Chapter 14
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-Chapter 15
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-Chapter 16
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-Chapter 17
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-Chapter 18
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-Chapter 19
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-Chapter 20
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-Chapter 21
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-Chapter 22
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-Chapter 23
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-Chapter 24
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-
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-
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-David Hears of Saul's Death
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-1:1 After the death of Saul, when David had returned from striking down the Amalekites, David remained two days in Ziklag. 2And on the third day, behold, a man came from Saul's camp, with his clothes torn and dirt on his head. And when he came to David, he fell to the ground and paid homage. 3David said to him, “Where do you come from?” And he said to him, “I have escaped from the camp of Israel.” 4And David said to him, “How did it go? Tell me.” And he answered, “The people fled from the battle, and also many of the people have fallen and are dead, and Saul and his son Jonathan are also dead.” 5Then David said to the young man who told him, “How do you know that Saul and his son Jonathan are dead?” 6And the young man who told him said, “By chance I happened to be on Mount Gilboa, and there was Saul leaning on his spear, and behold, the chariots and the horsemen were close upon him. 7And when he looked behind him, he saw me, and called to me. And I answered, ‘Here I am.’ 8And he said to me, ‘Who are you?’ I answered him, ‘I am an Amalekite.’ 9And he said to me ‘Stand beside me and kill me, for anguish has seized me, and yet my life still lingers.’ 10So I stood beside him and killed him, because I was sure that he could not live after he had fallen. And I took the crown that was on his head and the armlet that was on his arm, and I have brought them here to my lord.”
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-11Then David took hold of his clothes and tore them, and so did all the men who were with him. 12And they mourned and wept and fasted until evening for Saul and for Jonathan his son and for the people of the LORD and for the house of Israel, because they had fallen by the sword. 13And David said to the young man who told him, “Where do you come from?” And he answered, “I am the son of a sojourner, an Amalekite.” 14David said to him, “How is it you were not afraid to put out your hand to destroy the LORD's anointed?” 15Then David called one of the young men and said, “Go, execute him.” And he struck him down so that he died. 16And David said to him, “Your blood be on your head, for your own mouth has testified against you, saying, ‘I have killed the LORD's anointed.’”
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-
-
-
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-David's Lament for Saul and Jonathan
-
-
-17And David lamented with this lamentation over Saul and Jonathan his son, 18and he said it[1] should be taught to the people of Judah; behold, it is written in the Book of Jashar.[2] He said:
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-19“Your glory, O Israel, is slain on your high places!
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-How the mighty have fallen!
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-20Tell it not in Gath,
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-publish it not in the streets of Ashkelon,
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-lest the daughters of the Philistines rejoice,
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-lest the daughters of the uncircumcised exult.
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-21“You mountains of Gilboa,
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-let there be no dew or rain upon you,
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-nor fields of offerings![3]
-
-For there the shield of the mighty was defiled,
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-the shield of Saul, not anointed with oil.
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-22“From the blood of the slain,
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-from the fat of the mighty,
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-the bow of Jonathan turned not back,
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-and the sword of Saul returned not empty.
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-23“Saul and Jonathan, beloved and lovely!
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-In life and in death they were not divided;
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-they were swifter than eagles;
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-they were stronger than lions.
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-24“You daughters of Israel, weep over Saul,
-
-who clothed you luxuriously in scarlet,
-
-who put ornaments of gold on your apparel.
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-25“How the mighty have fallen
-
-in the midst of the battle!
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-“Jonathan lies slain on your high places.
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-26I am distressed for you, my brother Jonathan;
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-very pleasant have you been to me;
-
-your love to me was extraordinary,
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-surpassing the love of women.
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-27“How the mighty have fallen,
-
-and the weapons of war perished!”
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-
-
-
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-David Anointed King of Judah
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-
-2:1 After this David inquired of the LORD, “Shall I go up into any of the cities of Judah?” And the LORD said to him, “Go up.” David said, “To which shall I go up?” And he said, “To Hebron.” 2So David went up there, and his two wives also, Ahinoam of Jezreel and Abigail the widow of Nabal of Carmel. 3And David brought up his men who were with him, everyone with his household, and they lived in the towns of Hebron. 4And the men of Judah came, and there they anointed David king over the house of Judah.
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-When they told David, “It was the men of Jabesh-gilead who buried Saul,” 5David sent messengers to the men of Jabesh-gilead and said to them, “May you be blessed by the LORD, because you showed this loyalty to Saul your lord and buried him. 6Now may the LORD show steadfast love and faithfulness to you. And I will do good to you because you have done this thing. 7Now therefore let your hands be strong, and be valiant, for Saul your lord is dead, and the house of Judah has anointed me king over them.”
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-
-
-
-
-Ish-bosheth Made King of Israel
-
-
-8But Abner the son of Ner, commander of Saul's army, took Ish-bosheth the son of Saul and brought him over to Mahanaim, 9and he made him king over Gilead and the Ashurites and Jezreel and Ephraim and Benjamin and all Israel. 10Ish-bosheth, Saul's son, was forty years old when he began to reign over Israel, and he reigned two years. But the house of Judah followed David. 11And the time that David was king in Hebron over the house of Judah was seven years and six months.
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-
-
-
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-The Battle of Gibeon
-
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-12Abner the son of Ner, and the servants of Ish-bosheth the son of Saul, went out from Mahanaim to Gibeon. 13And Joab the son of Zeruiah and the servants of David went out and met them at the pool of Gibeon. And they sat down, the one on the one side of the pool, and the other on the other side of the pool. 14And Abner said to Joab, “Let the young men arise and compete before us.” And Joab said, “Let them arise.” 15Then they arose and passed over by number, twelve for Benjamin and Ish-bosheth the son of Saul, and twelve of the servants of David. 16And each caught his opponent by the head and thrust his sword in his opponent's side, so they fell down together. Therefore that place was called Helkath-hazzurim,[4] which is at Gibeon. 17And the battle was very fierce that day. And Abner and the men of Israel were beaten before the servants of David.
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-18And the three sons of Zeruiah were there, Joab, Abishai, and Asahel. Now Asahel was as swift of foot as a wild gazelle. 19And Asahel pursued Abner, and as he went, he turned neither to the right hand nor to the left from following Abner. 20Then Abner looked behind him and said, “Is it you, Asahel?” And he answered, “It is I.” 21Abner said to him, “Turn aside to your right hand or to your left, and seize one of the young men and take his spoil.” But Asahel would not turn aside from following him. 22And Abner said again to Asahel, “Turn aside from following me. Why should I strike you to the ground? How then could I lift up my face to your brother Joab?” 23But he refused to turn aside. Therefore Abner struck him in the stomach with the butt of his spear, so that the spear came out at his back. And he fell there and died where he was. And all who came to the place where Asahel had fallen and died, stood still.
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-24But Joab and Abishai pursued Abner. And as the sun was going down they came to the hill of Ammah, which lies before Giah on the way to the wilderness of Gibeon. 25And the people of Benjamin gathered themselves together behind Abner and became one group and took their stand on the top of a hill. 26Then Abner called to Joab, “Shall the sword devour forever? Do you not know that the end will be bitter? How long will it be before you tell your people to turn from the pursuit of their brothers?” 27And Joab said, “As God lives, if you had not spoken, surely the men would not have given up the pursuit of their brothers until the morning.” 28So Joab blew the trumpet, and all the men stopped and pursued Israel no more, nor did they fight anymore.
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-29And Abner and his men went all that night through the Arabah. They crossed the Jordan, and marching the whole morning, they came to Mahanaim. 30Joab returned from the pursuit of Abner. And when he had gathered all the people together, there were missing from David's servants nineteen men besides Asahel. 31But the servants of David had struck down of Benjamin 360 of Abner's men. 32And they took up Asahel and buried him in the tomb of his father, which was at Bethlehem. And Joab and his men marched all night, and the day broke upon them at Hebron.
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-
-
-
-
-Abner Joins David
-
-
-3:1 There was a long war between the house of Saul and the house of David. And David grew stronger and stronger, while the house of Saul became weaker and weaker.
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-2And sons were born to David at Hebron: his firstborn was Amnon, of Ahinoam of Jezreel; 3and his second, Chileab, of Abigail the widow of Nabal of Carmel; and the third, Absalom the son of Maacah the daughter of Talmai king of Geshur; 4and the fourth, Adonijah the son of Haggith; and the fifth, Shephatiah the son of Abital; 5and the sixth, Ithream, of Eglah, David's wife. These were born to David in Hebron.
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-6While there was war between the house of Saul and the house of David, Abner was making himself strong in the house of Saul. 7Now Saul had a concubine whose name was Rizpah, the daughter of Aiah. And Ish-bosheth said to Abner, “Why have you gone in to my father's concubine?” 8Then Abner was very angry over the words of Ish-bosheth and said, “Am I a dog's head of Judah? To this day I keep showing steadfast love to the house of Saul your father, to his brothers, and to his friends, and have not given you into the hand of David. And yet you charge me today with a fault concerning a woman. 9God do so to Abner and more also, if I do not accomplish for David what the LORD has sworn to him, 10to transfer the kingdom from the house of Saul and set up the throne of David over Israel and over Judah, from Dan to Beersheba.” 11And Ish-bosheth could not answer Abner another word, because he feared him.
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-12And Abner sent messengers to David on his behalf,[5] saying, “To whom does the land belong? Make your covenant with me, and behold, my hand shall be with you to bring over all Israel to you.” 13And he said, “Good; I will make a covenant with you. But one thing I require of you; that is, you shall not see my face unless you first bring Michal, Saul's daughter, when you come to see my face.” 14Then David sent messengers to Ish-bosheth, Saul's son, saying, “Give me my wife Michal, for whom I paid the bridal price of a hundred foreskins of the Philistines.” 15And Ish-bosheth sent and took her from her husband Paltiel the son of Laish. 16But her husband went with her, weeping after her all the way to Bahurim. Then Abner said to him, “Go, return.” And he returned.
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-17And Abner conferred with the elders of Israel, saying, “For some time past you have been seeking David as king over you. 18Now then bring it about, for the LORD has promised David, saying, ‘By the hand of my servant David I will save my people Israel from the hand of the Philistines, and from the hand of all their enemies.’” 19Abner also spoke to Benjamin. And then Abner went to tell David at Hebron all that Israel and the whole house of Benjamin thought good to do.
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-20When Abner came with twenty men to David at Hebron, David made a feast for Abner and the men who were with him. 21And Abner said to David, “I will arise and go and will gather all Israel to my lord the king, that they may make a covenant with you, and that you may reign over all that your heart desires.” So David sent Abner away, and he went in peace.
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-22Just then the servants of David arrived with Joab from a raid, bringing much spoil with them. But Abner was not with David at Hebron, for he had sent him away, and he had gone in peace. 23When Joab and all the army that was with him came, it was told Joab, “Abner the son of Ner came to the king, and he has let him go, and he has gone in peace.” 24Then Joab went to the king and said, “What have you done? Behold, Abner came to you. Why is it that you have sent him away, so that he is gone? 25You know that Abner the son of Ner came to deceive you and to know your going out and your coming in, and to know all that you are doing.”
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-Joab Murders Abner
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-26When Joab came out from David's presence, he sent messengers after Abner, and they brought him back from the cistern of Sirah. But David did not know about it. 27And when Abner returned to Hebron, Joab took him aside into the midst of the gate to speak with him privately, and there he struck him in the stomach, so that he died, for the blood of Asahel his brother. 28Afterward, when David heard of it, he said, “I and my kingdom are forever guiltless before the LORD for the blood of Abner the son of Ner. 29May it fall upon the head of Joab and upon all his father's house, and may the house of Joab never be without one who has a discharge or who is leprous or who holds a spindle or who falls by the sword or who lacks bread!” 30So Joab and Abishai his brother killed Abner, because he had put their brother Asahel to death in the battle at Gibeon.
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-David Mourns Abner
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-31Then David said to Joab and to all the people who were with him, “Tear your clothes and put on sackcloth and mourn before Abner.” And King David followed the bier. 32They buried Abner at Hebron. And the king lifted up his voice and wept at the grave of Abner, and all the people wept. 33And the king lamented for Abner, saying,
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-“Should Abner die as a fool dies?
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-34Your hands were not bound;
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-your feet were not fettered;
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-as one falls before the wicked
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-you have fallen.”
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-And all the people wept again over him. 35Then all the people came to persuade David to eat bread while it was yet day. But David swore, saying, “God do so to me and more also, if I taste bread or anything else till the sun goes down!” 36And all the people took notice of it, and it pleased them, as everything that the king did pleased all the people. 37So all the people and all Israel understood that day that it had not been the king's will to put to death Abner the son of Ner. 38And the king said to his servants, “Do you not know that a prince and a great man has fallen this day in Israel? 39And I was gentle today, though anointed king. These men, the sons of Zeruiah, are more severe than I. The LORD repay the evildoer according to his wickedness!”
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-Ish-bosheth Murdered
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-4:1 When Ish-bosheth, Saul's son, heard that Abner had died at Hebron, his courage failed, and all Israel was dismayed. 2Now Saul's son had two men who were captains of raiding bands; the name of the one was Baanah, and the name of the other Rechab, sons of Rimmon a man of Benjamin from Beeroth (for Beeroth also is counted part of Benjamin; 3the Beerothites fled to Gittaim and have been sojourners there to this day).
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-4Jonathan, the son of Saul, had a son who was crippled in his feet. He was five years old when the news about Saul and Jonathan came from Jezreel, and his nurse took him up and fled, and as she fled in her haste, he fell and became lame. And his name was Mephibosheth.
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-5Now the sons of Rimmon the Beerothite, Rechab and Baanah, set out, and about the heat of the day they came to the house of Ish-bosheth as he was taking his noonday rest. 6And they came into the midst of the house as if to get wheat, and they stabbed him in the stomach. Then Rechab and Baanah his brother escaped.[6] 7When they came into the house, as he lay on his bed in his bedroom, they struck him and put him to death and beheaded him. They took his head and went by the way of the Arabah all night, 8and brought the head of Ish-bosheth to David at Hebron. And they said to the king, “Here is the head of Ish-bosheth, the son of Saul, your enemy, who sought your life. The LORD has avenged my lord the king this day on Saul and on his offspring.” 9But David answered Rechab and Baanah his brother, the sons of Rimmon the Beerothite, “As the LORD lives, who has redeemed my life out of every adversity, 10when one told me, ‘Behold, Saul is dead,’ and thought he was bringing good news, I seized him and killed him at Ziklag, which was the reward I gave him for his news. 11How much more, when wicked men have killed a righteous man in his own house on his bed, shall I not now require his blood at your hand and destroy you from the earth?” 12And David commanded his young men, and they killed them and cut off their hands and feet and hanged them beside the pool at Hebron. But they took the head of Ish-bosheth and buried it in the tomb of Abner at Hebron.
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-David Anointed King of Israel
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-5:1 Then all the tribes of Israel came to David at Hebron and said, “Behold, we are your bone and flesh. 2In times past, when Saul was king over us, it was you who led out and brought in Israel. And the LORD said to you, ‘You shall be shepherd of my people Israel, and you shall be prince over Israel.’” 3So all the elders of Israel came to the king at Hebron, and King David made a covenant with them at Hebron before the LORD, and they anointed David king over Israel. 4David was thirty years old when he began to reign, and he reigned forty years. 5At Hebron he reigned over Judah seven years and six months, and at Jerusalem he reigned over all Israel and Judah thirty-three years.[7]
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-6And the king and his men went to Jerusalem against the Jebusites, the inhabitants of the land, who said to David, “You will not come in here, but the blind and the lame will ward you off”—thinking, “David cannot come in here.” 7Nevertheless, David took the stronghold of Zion, that is, the city of David. 8And David said on that day, “Whoever would strike the Jebusites, let him get up the water shaft to attack ‘the lame and the blind,’ who are hated by David's soul.” Therefore it is said, “The blind and the lame shall not come into the house.” 9And David lived in the stronghold and called it the city of David. And David built the city all around from the Millo inward. 10And David became greater and greater, for the LORD, the God of hosts, was with him.
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-11And Hiram king of Tyre sent messengers to David, and cedar trees, also carpenters and masons who built David a house. 12And David knew that the LORD had established him king over Israel, and that he had exalted his kingdom for the sake of his people Israel.
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-13And David took more concubines and wives from Jerusalem, after he came from Hebron, and more sons and daughters were born to David. 14And these are the names of those who were born to him in Jerusalem: Shammua, Shobab, Nathan, Solomon, 15Ibhar, Elishua, Nepheg, Japhia, 16Elishama, Eliada, and Eliphelet.
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-David Defeats the Philistines
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-17When the Philistines heard that David had been anointed king over Israel, all the Philistines went up to search for David. But David heard of it and went down to the stronghold. 18Now the Philistines had come and spread out in the Valley of Rephaim. 19And David inquired of the LORD, “Shall I go up against the Philistines? Will you give them into my hand?” And the LORD said to David, “Go up, for I will certainly give the Philistines into your hand.” 20And David came to Baal-perazim, and David defeated them there. And he said, “The LORD has burst through my enemies before me like a bursting flood.” Therefore the name of that place is called Baal-perazim.[8] 21And the Philistines left their idols there, and David and his men carried them away.
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-22And the Philistines came up yet again and spread out in the Valley of Rephaim. 23And when David inquired of the LORD, he said, “You shall not go up; go around to their rear, and come against them opposite the balsam trees. 24And when you hear the sound of marching in the tops of the balsam trees, then rouse yourself, for then the LORD has gone out before you to strike down the army of the Philistines.” 25And David did as the LORD commanded him, and struck down the Philistines from Geba to Gezer.
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-The Ark Brought to Jerusalem
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-6:1 David again gathered all the chosen men of Israel, thirty thousand. 2And David arose and went with all the people who were with him from Baale-judah to bring up from there the ark of God, which is called by the name of the LORD of hosts who sits enthroned on the cherubim. 3And they carried the ark of God on a new cart and brought it out of the house of Abinadab, which was on the hill. And Uzzah and Ahio,[9] the sons of Abinadab, were driving the new cart,[10] 4with the ark of God, and Ahio went before the ark.
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-Uzzah and the Ark
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-5And David and all the house of Israel were making merry before the LORD, with songs[11] and lyres and harps and tambourines and castanets and cymbals. 6And when they came to the threshing floor of Nacon, Uzzah put out his hand to the ark of God and took hold of it, for the oxen stumbled. 7And the anger of the LORD was kindled against Uzzah, and God struck him down there because of his error, and he died there beside the ark of God. 8And David was angry because the LORD had burst forth against Uzzah. And that place is called Perez-uzzah,[12] to this day. 9And David was afraid of the LORD that day, and he said, “How can the ark of the LORD come to me?” 10So David was not willing to take the ark of the LORD into the city of David. But David took it aside to the house of Obed-edom the Gittite. 11And the ark of the LORD remained in the house of Obed-edom the Gittite three months, and the LORD blessed Obed-edom and all his household.
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-12And it was told King David, “The LORD has blessed the household of Obed-edom and all that belongs to him, because of the ark of God.” So David went and brought up the ark of God from the house of Obed-edom to the city of David with rejoicing. 13And when those who bore the ark of the LORD had gone six steps, he sacrificed an ox and a fattened animal. 14And David danced before the LORD with all his might. And David was wearing a linen ephod. 15So David and all the house of Israel brought up the ark of the LORD with shouting and with the sound of the horn.
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-David and Michal
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-16As the ark of the LORD came into the city of David, Michal the daughter of Saul looked out of the window and saw King David leaping and dancing before the LORD, and she despised him in her heart. 17And they brought in the ark of the LORD and set it in its place, inside the tent that David had pitched for it. And David offered burnt offerings and peace offerings before the LORD. 18And when David had finished offering the burnt offerings and the peace offerings, he blessed the people in the name of the LORD of hosts 19and distributed among all the people, the whole multitude of Israel, both men and women, a cake of bread, a portion of meat,[13] and a cake of raisins to each one. Then all the people departed, each to his house.
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-20And David returned to bless his household. But Michal the daughter of Saul came out to meet David and said, “How the king of Israel honored himself today, uncovering himself today before the eyes of his servants' female servants, as one of the vulgar fellows shamelessly uncovers himself!” 21And David said to Michal, “It was before the LORD, who chose me above your father and above all his house, to appoint me as prince over Israel, the people of the LORD—and I will make merry before the LORD. 22I will make myself yet more contemptible than this, and I will be abased in your[14] eyes. But by the female servants of whom you have spoken, by them I shall be held in honor.” 23And Michal the daughter of Saul had no child to the day of her death.
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-God's Covenant with David
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-7:1 Now when the king lived in his house and the LORD had given him rest from all his surrounding enemies, 2the king said to Nathan the prophet, “See now, I dwell in a house of cedar, but the ark of God dwells in a tent.” 3And Nathan said to the king, “Go, do all that is in your heart, for the LORD is with you.”
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-4But that same night the word of the LORD came to Nathan, 5“Go and tell my servant David, ‘Thus says the LORD: Would you build me a house to dwell in? 6I have not lived in a house since the day I brought up the people of Israel from Egypt to this day, but I have been moving about in a tent for my dwelling. 7In all places where I have moved with all the people of Israel, did I speak a word with any of the judges[15] of Israel, whom I commanded to shepherd my people Israel, saying, “Why have you not built me a house of cedar?”’ 8Now, therefore, thus you shall say to my servant David, ‘Thus says the LORD of hosts, I took you from the pasture, from following the sheep, that you should be prince over my people Israel. 9And I have been with you wherever you went and have cut off all your enemies from before you. And I will make for you a great name, like the name of the great ones of the earth. 10And I will appoint a place for my people Israel and will plant them, so that they may dwell in their own place and be disturbed no more. And violent men shall afflict them no more, as formerly, 11from the time that I appointed judges over my people Israel. And I will give you rest from all your enemies. Moreover, the LORD declares to you that the LORD will make you a house. 12When your days are fulfilled and you lie down with your fathers, I will raise up your offspring after you, who shall come from your body, and I will establish his kingdom. 13He shall build a house for my name, and I will establish the throne of his kingdom forever. 14I will be to him a father, and he shall be to me a son. When he commits iniquity, I will discipline him with the rod of men, with the stripes of the sons of men, 15but my steadfast love will not depart from him, as I took it from Saul, whom I put away from before you. 16And your house and your kingdom shall be made sure forever before me.[16] Your throne shall be established forever.’” 17In accordance with all these words, and in accordance with all this vision, Nathan spoke to David.
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-David's Prayer of Gratitude
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-18Then King David went in and sat before the LORD and said, “Who am I, O Lord GOD, and what is my house, that you have brought me thus far? 19And yet this was a small thing in your eyes, O Lord GOD. You have spoken also of your servant's house for a great while to come, and this is instruction for mankind, O Lord GOD! 20And what more can David say to you? For you know your servant, O Lord GOD! 21Because of your promise, and according to your own heart, you have brought about all this greatness, to make your servant know it. 22Therefore you are great, O LORD God. For there is none like you, and there is no God besides you, according to all that we have heard with our ears. 23And who is like your people Israel, the one nation on earth whom God went to redeem to be his people, making himself a name and doing for them[17] great and awesome things by driving out[18] before your people, whom you redeemed for yourself from Egypt, a nation and its gods? 24And you established for yourself your people Israel to be your people forever. And you, O LORD, became their God. 25And now, O LORD God, confirm forever the word that you have spoken concerning your servant and concerning his house, and do as you have spoken. 26And your name will be magnified forever, saying, ‘The LORD of hosts is God over Israel,’ and the house of your servant David will be established before you. 27For you, O LORD of hosts, the God of Israel, have made this revelation to your servant, saying, ‘I will build you a house.’ Therefore your servant has found courage to pray this prayer to you. 28And now, O Lord GOD, you are God, and your words are true, and you have promised this good thing to your servant. 29Now therefore may it please you to bless the house of your servant, so that it may continue forever before you. For you, O Lord GOD, have spoken, and with your blessing shall the house of your servant be blessed forever.”
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-David's Victories
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-8:1 After this David defeated the Philistines and subdued them, and David took Metheg-ammah out of the hand of the Philistines.
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-2And he defeated Moab and he measured them with a line, making them lie down on the ground. Two lines he measured to be put to death, and one full line to be spared. And the Moabites became servants to David and brought tribute.
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-3David also defeated Hadadezer the son of Rehob, king of Zobah, as he went to restore his power at the river Euphrates. 4And David took from him 1,700 horsemen, and 20,000 foot soldiers. And David hamstrung all the chariot horses but left enough for 100 chariots. 5And when the Syrians of Damascus came to help Hadadezer king of Zobah, David struck down 22,000 men of the Syrians. 6Then David put garrisons in Aram of Damascus, and the Syrians became servants to David and brought tribute. And the LORD gave victory to David wherever he went. 7And David took the shields of gold that were carried by the servants of Hadadezer and brought them to Jerusalem. 8And from Betah and from Berothai, cities of Hadadezer, King David took very much bronze.
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-9When Toi king of Hamath heard that David had defeated the whole army of Hadadezer, 10Toi sent his son Joram to King David, to ask about his health and to bless him because he had fought against Hadadezer and defeated him, for Hadadezer had often been at war with Toi. And Joram brought with him articles of silver, of gold, and of bronze. 11These also King David dedicated to the LORD, together with the silver and gold that he dedicated from all the nations he subdued, 12from Edom, Moab, the Ammonites, the Philistines, Amalek, and from the spoil of Hadadezer the son of Rehob, king of Zobah.
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-13And David made a name for himself when he returned from striking down 18,000 Edomites in the Valley of Salt. 14Then he put garrisons in Edom; throughout all Edom he put garrisons, and all the Edomites became David's servants. And the LORD gave victory to David wherever he went.
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-David's Officials
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-15So David reigned over all Israel. And David administered justice and equity to all his people. 16Joab the son of Zeruiah was over the army, and Jehoshaphat the son of Ahilud was recorder, 17and Zadok the son of Ahitub and Ahimelech the son of Abiathar were priests, and Seraiah was secretary, 18and Benaiah the son of Jehoiada was over[19] the Cherethites and the Pelethites, and David's sons were priests.
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-David's Kindness to Mephibosheth
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-9:1 And David said, “Is there still anyone left of the house of Saul, that I may show him kindness for Jonathan's sake?” 2Now there was a servant of the house of Saul whose name was Ziba, and they called him to David. And the king said to him, “Are you Ziba?” And he said, “I am your servant.” 3And the king said, “Is there not still someone of the house of Saul, that I may show the kindness of God to him?” Ziba said to the king, “There is still a son of Jonathan; he is crippled in his feet.” 4The king said to him, “Where is he?” And Ziba said to the king, “He is in the house of Machir the son of Ammiel, at Lo-debar.” 5Then King David sent and brought him from the house of Machir the son of Ammiel, at Lo-debar. 6And Mephibosheth the son of Jonathan, son of Saul, came to David and fell on his face and paid homage. And David said, “Mephibosheth!” And he answered, “Behold, I am your servant.” 7And David said to him, “Do not fear, for I will show you kindness for the sake of your father Jonathan, and I will restore to you all the land of Saul your father, and you shall eat at my table always.” 8And he paid homage and said, “What is your servant, that you should show regard for a dead dog such as I?”
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-9Then the king called Ziba, Saul's servant, and said to him, “All that belonged to Saul and to all his house I have given to your master's grandson. 10And you and your sons and your servants shall till the land for him and shall bring in the produce, that your master's grandson may have bread to eat. But Mephibosheth your master's grandson shall always eat at my table.” Now Ziba had fifteen sons and twenty servants. 11Then Ziba said to the king, “According to all that my lord the king commands his servant, so will your servant do.” So Mephibosheth ate at David's[20] table, like one of the king's sons. 12And Mephibosheth had a young son, whose name was Mica. And all who lived in Ziba's house became Mephibosheth's servants. 13So Mephibosheth lived in Jerusalem, for he ate always at the king's table. Now he was lame in both his feet.
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-David Defeats Ammon and Syria
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-10:1 After this the king of the Ammonites died, and Hanun his son reigned in his place. 2And David said, “I will deal loyally[21] with Hanun the son of Nahash, as his father dealt loyally with me.” So David sent by his servants to console him concerning his father. And David's servants came into the land of the Ammonites. 3But the princes of the Ammonites said to Hanun their lord, “Do you think, because David has sent comforters to you, that he is honoring your father? Has not David sent his servants to you to search the city and to spy it out and to overthrow it?” 4So Hanun took David's servants and shaved off half the beard of each and cut off their garments in the middle, at their hips, and sent them away. 5When it was told David, he sent to meet them, for the men were greatly ashamed. And the king said, “Remain at Jericho until your beards have grown and then return.”
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-6When the Ammonites saw that they had become a stench to David, the Ammonites sent and hired the Syrians of Beth-rehob, and the Syrians of Zobah, 20,000 foot soldiers, and the king of Maacah with 1,000 men, and the men of Tob, 12,000 men. 7And when David heard of it, he sent Joab and all the host of the mighty men. 8And the Ammonites came out and drew up in battle array at the entrance of the gate, and the Syrians of Zobah and of Rehob and the men of Tob and Maacah were by themselves in the open country.
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-9When Joab saw that the battle was set against him both in front and in the rear, he chose some of the best men of Israel and arrayed them against the Syrians. 10The rest of his men he put in the charge of Abishai his brother, and he arrayed them against the Ammonites. 11And he said, “If the Syrians are too strong for me, then you shall help me, but if the Ammonites are too strong for you, then I will come and help you. 12Be of good courage, and let us be courageous for our people, and for the cities of our God, and may the LORD do what seems good to him.” 13So Joab and the people who were with him drew near to battle against the Syrians, and they fled before him. 14And when the Ammonites saw that the Syrians fled, they likewise fled before Abishai and entered the city. Then Joab returned from fighting against the Ammonites and came to Jerusalem.
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-15But when the Syrians saw that they had been defeated by Israel, they gathered themselves together. 16And Hadadezer sent and brought out the Syrians who were beyond the Euphrates.[22] They came to Helam, with Shobach the commander of the army of Hadadezer at their head. 17And when it was told David, he gathered all Israel together and crossed the Jordan and came to Helam. The Syrians arrayed themselves against David and fought with him. 18And the Syrians fled before Israel, and David killed of the Syrians the men of 700 chariots, and 40,000 horsemen, and wounded Shobach the commander of their army, so that he died there. 19And when all the kings who were servants of Hadadezer saw that they had been defeated by Israel, they made peace with Israel and became subject to them. So the Syrians were afraid to save the Ammonites anymore.
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-David and Bathsheba
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-11:1 In the spring of the year, the time when kings go out to battle, David sent Joab, and his servants with him, and all Israel. And they ravaged the Ammonites and besieged Rabbah. But David remained at Jerusalem.
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-2It happened, late one afternoon, when David arose from his couch and was walking on the roof of the king's house, that he saw from the roof a woman bathing; and the woman was very beautiful. 3And David sent and inquired about the woman. And one said, “Is not this Bathsheba, the daughter of Eliam, the wife of Uriah the Hittite?” 4So David sent messengers and took her, and she came to him, and he lay with her. (Now she had been purifying herself from her uncleanness.) Then she returned to her house. 5And the woman conceived, and she sent and told David, “I am pregnant.”
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-6So David sent word to Joab, “Send me Uriah the Hittite.” And Joab sent Uriah to David. 7When Uriah came to him, David asked how Joab was doing and how the people were doing and how the war was going. 8Then David said to Uriah, “Go down to your house and wash your feet.” And Uriah went out of the king's house, and there followed him a present from the king. 9But Uriah slept at the door of the king's house with all the servants of his lord, and did not go down to his house. 10When they told David, “Uriah did not go down to his house,” David said to Uriah, “Have you not come from a journey? Why did you not go down to your house?” 11Uriah said to David, “The ark and Israel and Judah dwell in booths, and my lord Joab and the servants of my lord are camping in the open field. Shall I then go to my house, to eat and to drink and to lie with my wife? As you live, and as your soul lives, I will not do this thing.” 12Then David said to Uriah, “Remain here today also, and tomorrow I will send you back.” So Uriah remained in Jerusalem that day and the next. 13And David invited him, and he ate in his presence and drank, so that he made him drunk. And in the evening he went out to lie on his couch with the servants of his lord, but he did not go down to his house.
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-14In the morning David wrote a letter to Joab and sent it by the hand of Uriah. 15In the letter he wrote, “Set Uriah in the forefront of the hardest fighting, and then draw back from him, that he may be struck down, and die.” 16And as Joab was besieging the city, he assigned Uriah to the place where he knew there were valiant men. 17And the men of the city came out and fought with Joab, and some of the servants of David among the people fell. Uriah the Hittite also died. 18Then Joab sent and told David all the news about the fighting. 19And he instructed the messenger, “When you have finished telling all the news about the fighting to the king, 20then, if the king's anger rises, and if he says to you, ‘Why did you go so near the city to fight? Did you not know that they would shoot from the wall? 21Who killed Abimelech the son of Jerubbesheth? Did not a woman cast an upper millstone on him from the wall, so that he died at Thebez? Why did you go so near the wall?’ then you shall say, ‘Your servant Uriah the Hittite is dead also.’”
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-22So the messenger went and came and told David all that Joab had sent him to tell. 23The messenger said to David, “The men gained an advantage over us and came out against us in the field, but we drove them back to the entrance of the gate. 24Then the archers shot at your servants from the wall. Some of the king's servants are dead, and your servant Uriah the Hittite is dead also.” 25David said to the messenger, “Thus shall you say to Joab, ‘Do not let this matter trouble you, for the sword devours now one and now another. Strengthen your attack against the city and overthrow it.’ And encourage him.”
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-26When the wife of Uriah heard that Uriah her husband was dead, she lamented over her husband. 27And when the mourning was over, David sent and brought her to his house, and she became his wife and bore him a son. But the thing that David had done displeased the LORD.
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-Nathan Rebukes David
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-12:1 And the LORD sent Nathan to David. He came to him and said to him, “There were two men in a certain city, the one rich and the other poor. 2The rich man had very many flocks and herds, 3but the poor man had nothing but one little ewe lamb, which he had bought. And he brought it up, and it grew up with him and with his children. It used to eat of his morsel and drink from his cup and lie in his arms,[23] and it was like a daughter to him. 4Now there came a traveler to the rich man, and he was unwilling to take one of his own flock or herd to prepare for the guest who had come to him, but he took the poor man's lamb and prepared it for the man who had come to him.” 5Then David's anger was greatly kindled against the man, and he said to Nathan, “As the LORD lives, the man who has done this deserves to die, 6and he shall restore the lamb fourfold, because he did this thing, and because he had no pity.”
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-7Nathan said to David, “You are the man! Thus says the LORD, the God of Israel, ‘I anointed you king over Israel, and I delivered you out of the hand of Saul. 8And I gave you your master's house and your master's wives into your arms and gave you the house of Israel and of Judah. And if this were too little, I would add to you as much more. 9Why have you despised the word of the LORD, to do what is evil in his sight? You have struck down Uriah the Hittite with the sword and have taken his wife to be your wife and have killed him with the sword of the Ammonites. 10Now therefore the sword shall never depart from your house, because you have despised me and have taken the wife of Uriah the Hittite to be your wife.’ 11Thus says the LORD, ‘Behold, I will raise up evil against you out of your own house. And I will take your wives before your eyes and give them to your neighbor, and he shall lie with your wives in the sight of this sun. 12For you did it secretly, but I will do this thing before all Israel and before the sun.’” 13David said to Nathan, “I have sinned against the LORD.” And Nathan said to David, “The LORD also has put away your sin; you shall not die. 14Nevertheless, because by this deed you have utterly scorned the LORD,[24] the child who is born to you shall die.” 15Then Nathan went to his house.
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-David's Child Dies
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-And the LORD afflicted the child that Uriah's wife bore to David, and he became sick. 16David therefore sought God on behalf of the child. And David fasted and went in and lay all night on the ground. 17And the elders of his house stood beside him, to raise him from the ground, but he would not, nor did he eat food with them. 18On the seventh day the child died. And the servants of David were afraid to tell him that the child was dead, for they said, “Behold, while the child was yet alive, we spoke to him, and he did not listen to us. How then can we say to him the child is dead? He may do himself some harm.” 19But when David saw that his servants were whispering together, David understood that the child was dead. And David said to his servants, “Is the child dead?” They said, “He is dead.” 20Then David arose from the earth and washed and anointed himself and changed his clothes. And he went into the house of the LORD and worshiped. He then went to his own house. And when he asked, they set food before him, and he ate. 21Then his servants said to him, “What is this thing that you have done? You fasted and wept for the child while he was alive; but when the child died, you arose and ate food.” 22He said, “While the child was still alive, I fasted and wept, for I said, ‘Who knows whether the LORD will be gracious to me, that the child may live?’ 23But now he is dead. Why should I fast? Can I bring him back again? I shall go to him, but he will not return to me.”
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-Solomon's Birth
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-24Then David comforted his wife, Bathsheba, and went in to her and lay with her, and she bore a son, and he called his name Solomon. And the LORD loved him 25and sent a message by Nathan the prophet. So he called his name Jedidiah,[25] because of the LORD.
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-Rabbah Is Captured
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-26Now Joab fought against Rabbah of the Ammonites and took the royal city. 27And Joab sent messengers to David and said, “I have fought against Rabbah; moreover, I have taken the city of waters. 28Now then gather the rest of the people together and encamp against the city and take it, lest I take the city and it be called by my name.” 29So David gathered all the people together and went to Rabbah and fought against it and took it. 30And he took the crown of their king from his head. The weight of it was a talent[26] of gold, and in it was a precious stone, and it was placed on David's head. And he brought out the spoil of the city, a very great amount. 31And he brought out the people who were in it and set them to labor with saws and iron picks and iron axes and made them toil at[27] the brick kilns. And thus he did to all the cities of the Ammonites. Then David and all the people returned to Jerusalem.
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-Amnon and Tamar
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-13:1 Now Absalom, David's son, had a beautiful sister, whose name was Tamar. And after a time Amnon, David's son, loved her. 2And Amnon was so tormented that he made himself ill because of his sister Tamar, for she was a virgin, and it seemed impossible to Amnon to do anything to her. 3But Amnon had a friend, whose name was Jonadab, the son of Shimeah, David's brother. And Jonadab was a very crafty man. 4And he said to him, “O son of the king, why are you so haggard morning after morning? Will you not tell me?” Amnon said to him, “I love Tamar, my brother Absalom's sister.” 5Jonadab said to him, “Lie down on your bed and pretend to be ill. And when your father comes to see you, say to him, ‘Let my sister Tamar come and give me bread to eat, and prepare the food in my sight, that I may see it and eat it from her hand.’” 6So Amnon lay down and pretended to be ill. And when the king came to see him, Amnon said to the king, “Please let my sister Tamar come and make a couple of cakes in my sight, that I may eat from her hand.”
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-7Then David sent home to Tamar, saying, “Go to your brother Amnon's house and prepare food for him.” 8So Tamar went to her brother Amnon's house, where he was lying down. And she took dough and kneaded it and made cakes in his sight and baked the cakes. 9And she took the pan and emptied it out before him, but he refused to eat. And Amnon said, “Send out everyone from me.” So everyone went out from him. 10Then Amnon said to Tamar, “Bring the food into the chamber, that I may eat from your hand.” And Tamar took the cakes she had made and brought them into the chamber to Amnon her brother. 11But when she brought them near him to eat, he took hold of her and said to her, “Come, lie with me, my sister.” 12She answered him, “No, my brother, do not violate[28] me, for such a thing is not done in Israel; do not do this outrageous thing. 13As for me, where could I carry my shame? And as for you, you would be as one of the outrageous fools in Israel. Now therefore, please speak to the king, for he will not withhold me from you.” 14But he would not listen to her, and being stronger than she, he violated her and lay with her.
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-15Then Amnon hated her with very great hatred, so that the hatred with which he hated her was greater than the love with which he had loved her. And Amnon said to her, “Get up! Go!” 16But she said to him, “No, my brother, for this wrong in sending me away is greater than the other that you did to me.”[29] But he would not listen to her. 17He called the young man who served him and said, “Put this woman out of my presence and bolt the door after her.” 18Now she was wearing a long robe[30] with sleeves, for thus were the virgin daughters of the king dressed. So his servant put her out and bolted the door after her. 19And Tamar put ashes on her head and tore the long robe that she wore. And she laid her hand on her head and went away, crying aloud as she went.
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-20And her brother Absalom said to her, “Has Amnon your brother been with you? Now hold your peace, my sister. He is your brother; do not take this to heart.” So Tamar lived, a desolate woman, in her brother Absalom's house. 21When King David heard of all these things, he was very angry.[31] 22But Absalom spoke to Amnon neither good nor bad, for Absalom hated Amnon, because he had violated his sister Tamar.
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-Absalom Murders Amnon
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-23After two full years Absalom had sheepshearers at Baal-hazor, which is near Ephraim, and Absalom invited all the king's sons. 24And Absalom came to the king and said, “Behold, your servant has sheepshearers. Please let the king and his servants go with your servant.” 25But the king said to Absalom, “No, my son, let us not all go, lest we be burdensome to you.” He pressed him, but he would not go but gave him his blessing. 26Then Absalom said, “If not, please let my brother Amnon go with us.” And the king said to him, “Why should he go with you?” 27But Absalom pressed him until he let Amnon and all the king's sons go with him. 28Then Absalom commanded his servants, “Mark when Amnon's heart is merry with wine, and when I say to you, ‘Strike Amnon,’ then kill him. Do not fear; have I not commanded you? Be courageous and be valiant.” 29So the servants of Absalom did to Amnon as Absalom had commanded. Then all the king's sons arose, and each mounted his mule and fled.
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-30While they were on the way, news came to David, “Absalom has struck down all the king's sons, and not one of them is left.” 31Then the king arose and tore his garments and lay on the earth. And all his servants who were standing by tore their garments. 32But Jonadab the son of Shimeah, David's brother, said, “Let not my lord suppose that they have killed all the young men, the king's sons, for Amnon alone is dead. For by the command of Absalom this has been determined from the day he violated his sister Tamar. 33Now therefore let not my lord the king so take it to heart as to suppose that all the king's sons are dead, for Amnon alone is dead.”
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-Absalom Flees to Geshur
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-34But Absalom fled. And the young man who kept the watch lifted up his eyes and looked, and behold, many people were coming from the road behind him[32] by the side of the mountain. 35And Jonadab said to the king, “Behold, the king's sons have come; as your servant said, so it has come about.” 36And as soon as he had finished speaking, behold, the king's sons came and lifted up their voice and wept. And the king also and all his servants wept very bitterly.
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-37But Absalom fled and went to Talmai the son of Ammihud, king of Geshur. And David mourned for his son day after day. 38So Absalom fled and went to Geshur, and was there three years. 39And the spirit of the king[33] longed to go out[34] to Absalom, because he was comforted about Amnon, since he was dead.
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-Absalom Returns to Jerusalem
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-14:1 Now Joab the son of Zeruiah knew that the king's heart went out to Absalom. 2And Joab sent to Tekoa and brought from there a wise woman and said to her, “Pretend to be a mourner and put on mourning garments. Do not anoint yourself with oil, but behave like a woman who has been mourning many days for the dead. 3Go to the king and speak thus to him.” So Joab put the words in her mouth.
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-4When the woman of Tekoa came to the king, she fell on her face to the ground and paid homage and said, “Save me, O king.” 5And the king said to her, “What is your trouble?” She answered, “Alas, I am a widow; my husband is dead. 6And your servant had two sons, and they quarreled with one another in the field. There was no one to separate them, and one struck the other and killed him. 7And now the whole clan has risen against your servant, and they say, ‘Give up the man who struck his brother, that we may put him to death for the life of his brother whom he killed.’ And so they would destroy the heir also. Thus they would quench my coal that is left and leave to my husband neither name nor remnant on the face of the earth.”
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-8Then the king said to the woman, “Go to your house, and I will give orders concerning you.” 9And the woman of Tekoa said to the king, “On me be the guilt, my lord the king, and on my father's house; let the king and his throne be guiltless.” 10The king said, “If anyone says anything to you, bring him to me, and he shall never touch you again.” 11Then she said, “Please let the king invoke the LORD your God, that the avenger of blood kill no more, and my son be not destroyed.” He said, “As the LORD lives, not one hair of your son shall fall to the ground.”
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-12Then the woman said, “Please let your servant speak a word to my lord the king.” He said, “Speak.” 13And the woman said, “Why then have you planned such a thing against the people of God? For in giving this decision the king convicts himself, inasmuch as the king does not bring his banished one home again. 14We must all die; we are like water spilled on the ground, which cannot be gathered up again. But God will not take away life, and he devises means so that the banished one will not remain an outcast. 15Now I have come to say this to my lord the king because the people have made me afraid, and your servant thought, ‘I will speak to the king; it may be that the king will perform the request of his servant. 16For the king will hear and deliver his servant from the hand of the man who would destroy me and my son together from the heritage of God.’ 17And your servant thought, ‘The word of my lord the king will set me at rest,’ for my lord the king is like the angel of God to discern good and evil. The LORD your God be with you!”
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-18Then the king answered the woman, “Do not hide from me anything I ask you.” And the woman said, “Let my lord the king speak.” 19The king said, “Is the hand of Joab with you in all this?” The woman answered and said, “As surely as you live, my lord the king, one cannot turn to the right hand or to the left from anything that my lord the king has said. It was your servant Joab who commanded me; it was he who put all these words in the mouth of your servant. 20In order to change the course of things your servant Joab did this. But my lord has wisdom like the wisdom of the angel of God to know all things that are on the earth.”
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-21Then the king said to Joab, “Behold now, I grant this; go, bring back the young man Absalom.” 22And Joab fell on his face to the ground and paid homage and blessed the king. And Joab said, “Today your servant knows that I have found favor in your sight, my lord the king, in that the king has granted the request of his servant.” 23So Joab arose and went to Geshur and brought Absalom to Jerusalem. 24And the king said, “Let him dwell apart in his own house; he is not to come into my presence.” So Absalom lived apart in his own house and did not come into the king's presence.
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-25Now in all Israel there was no one so much to be praised for his handsome appearance as Absalom. From the sole of his foot to the crown of his head there was no blemish in him. 26And when he cut the hair of his head (for at the end of every year he used to cut it; when it was heavy on him, he cut it), he weighed the hair of his head, two hundred shekels[35] by the king's weight. 27There were born to Absalom three sons, and one daughter whose name was Tamar. She was a beautiful woman.
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-28So Absalom lived two full years in Jerusalem, without coming into the king's presence. 29Then Absalom sent for Joab, to send him to the king, but Joab would not come to him. And he sent a second time, but Joab would not come. 30Then he said to his servants, “See, Joab's field is next to mine, and he has barley there; go and set it on fire.” So Absalom's servants set the field on fire.[36] 31Then Joab arose and went to Absalom at his house and said to him, “Why have your servants set my field on fire?” 32Absalom answered Joab, “Behold, I sent word to you, ‘Come here, that I may send you to the king, to ask, “Why have I come from Geshur? It would be better for me to be there still.” Now therefore let me go into the presence of the king, and if there is guilt in me, let him put me to death.’” 33Then Joab went to the king and told him, and he summoned Absalom. So he came to the king and bowed himself on his face to the ground before the king, and the king kissed Absalom.
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-Absalom's Conspiracy
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-15:1 After this Absalom got himself a chariot and horses, and fifty men to run before him. 2And Absalom used to rise early and stand beside the way of the gate. And when any man had a dispute to come before the king for judgment, Absalom would call to him and say, “From what city are you?” And when he said, “Your servant is of such and such a tribe in Israel,” 3Absalom would say to him, “See, your claims are good and right, but there is no man designated by the king to hear you.” 4Then Absalom would say, “Oh that I were judge in the land! Then every man with a dispute or cause might come to me, and I would give him justice.” 5And whenever a man came near to pay homage to him, he would put out his hand and take hold of him and kiss him. 6Thus Absalom did to all of Israel who came to the king for judgment. So Absalom stole the hearts of the men of Israel.
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-7And at the end of four[37] years Absalom said to the king, “Please let me go and pay my vow, which I have vowed to the LORD, in Hebron. 8For your servant vowed a vow while I lived at Geshur in Aram, saying, ‘If the LORD will indeed bring me back to Jerusalem, then I will offer worship to[38] the LORD.’” 9The king said to him, “Go in peace.” So he arose and went to Hebron. 10But Absalom sent secret messengers throughout all the tribes of Israel, saying, “As soon as you hear the sound of the trumpet, then say, ‘Absalom is king at Hebron!’” 11With Absalom went two hundred men from Jerusalem who were invited guests, and they went in their innocence and knew nothing. 12And while Absalom was offering the sacrifices, he sent for[39] Ahithophel the Gilonite, David's counselor, from his city Giloh. And the conspiracy grew strong, and the people with Absalom kept increasing.
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-David Flees Jerusalem
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-13And a messenger came to David, saying, “The hearts of the men of Israel have gone after Absalom.” 14Then David said to all his servants who were with him at Jerusalem, “Arise, and let us flee, or else there will be no escape for us from Absalom. Go quickly, lest he overtake us quickly and bring down ruin on us and strike the city with the edge of the sword.” 15And the king's servants said to the king, “Behold, your servants are ready to do whatever my lord the king decides.” 16So the king went out, and all his household after him. And the king left ten concubines to keep the house. 17And the king went out, and all the people after him. And they halted at the last house.
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-18And all his servants passed by him, and all the Cherethites, and all the Pelethites, and all the six hundred Gittites who had followed him from Gath, passed on before the king. 19Then the king said to Ittai the Gittite, “Why do you also go with us? Go back and stay with the king, for you are a foreigner and also an exile from your home. 20You came only yesterday, and shall I today make you wander about with us, since I go I know not where? Go back and take your brothers with you, and may the LORD show[40] steadfast love and faithfulness to you.” 21But Ittai answered the king, “As the LORD lives, and as my lord the king lives, wherever my lord the king shall be, whether for death or for life, there also will your servant be.” 22And David said to Ittai, “Go then, pass on.” So Ittai the Gittite passed on with all his men and all the little ones who were with him. 23And all the land wept aloud as all the people passed by, and the king crossed the brook Kidron, and all the people passed on toward the wilderness.
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-24And Abiathar came up, and behold, Zadok came also with all the Levites, bearing the ark of the covenant of God. And they set down the ark of God until the people had all passed out of the city. 25Then the king said to Zadok, “Carry the ark of God back into the city. If I find favor in the eyes of the LORD, he will bring me back and let me see both it and his dwelling place. 26But if he says, ‘I have no pleasure in you,’ behold, here I am, let him do to me what seems good to him.” 27The king also said to Zadok the priest, “Are you not a seer? Go back[41] to the city in peace, with your two sons, Ahimaaz your son, and Jonathan the son of Abiathar. 28See, I will wait at the fords of the wilderness until word comes from you to inform me.” 29So Zadok and Abiathar carried the ark of God back to Jerusalem, and they remained there.
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-30But David went up the ascent of the Mount of Olives, weeping as he went, barefoot and with his head covered. And all the people who were with him covered their heads, and they went up, weeping as they went. 31And it was told David, “Ahithophel is among the conspirators with Absalom.” And David said, “O LORD, please turn the counsel of Ahithophel into foolishness.”
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-32While David was coming to the summit, where God was worshiped, behold, Hushai the Archite came to meet him with his coat torn and dirt on his head. 33David said to him, “If you go on with me, you will be a burden to me. 34But if you return to the city and say to Absalom, ‘I will be your servant, O king; as I have been your father's servant in time past, so now I will be your servant,’ then you will defeat for me the counsel of Ahithophel. 35Are not Zadok and Abiathar the priests with you there? So whatever you hear from the king's house, tell it to Zadok and Abiathar the priests. 36Behold, their two sons are with them there, Ahimaaz, Zadok's son, and Jonathan, Abiathar's son, and by them you shall send to me everything you hear.” 37So Hushai, David's friend, came into the city, just as Absalom was entering Jerusalem.
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-David and Ziba
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-16:1 When David had passed a little beyond the summit, Ziba the servant of Mephibosheth met him, with a couple of donkeys saddled, bearing two hundred loaves of bread, a hundred bunches of raisins, a hundred of summer fruits, and a skin of wine. 2And the king said to Ziba, “Why have you brought these?” Ziba answered, “The donkeys are for the king's household to ride on, the bread and summer fruit for the young men to eat, and the wine for those who faint in the wilderness to drink.” 3And the king said, “And where is your master's son?” Ziba said to the king, “Behold, he remains in Jerusalem, for he said, ‘Today the house of Israel will give me back the kingdom of my father.’” 4Then the king said to Ziba, “Behold, all that belonged to Mephibosheth is now yours.” And Ziba said, “I pay homage; let me ever find favor in your sight, my lord the king.”
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-Shimei Curses David
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-5When King David came to Bahurim, there came out a man of the family of the house of Saul, whose name was Shimei, the son of Gera, and as he came he cursed continually. 6And he threw stones at David and at all the servants of King David, and all the people and all the mighty men were on his right hand and on his left. 7And Shimei said as he cursed, “Get out, get out, you man of blood, you worthless man! 8The LORD has avenged on you all the blood of the house of Saul, in whose place you have reigned, and the LORD has given the kingdom into the hand of your son Absalom. See, your evil is on you, for you are a man of blood.”
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-9Then Abishai the son of Zeruiah said to the king, “Why should this dead dog curse my lord the king? Let me go over and take off his head.” 10But the king said, “What have I to do with you, you sons of Zeruiah? If he is cursing because the LORD has said to him, ‘Curse David,’ who then shall say, ‘Why have you done so?’” 11And David said to Abishai and to all his servants, “Behold, my own son seeks my life; how much more now may this Benjaminite! Leave him alone, and let him curse, for the LORD has told him to. 12It may be that the LORD will look on the wrong done to me,[42] and that the LORD will repay me with good for his cursing today.” 13So David and his men went on the road, while Shimei went along on the hillside opposite him and cursed as he went and threw stones at him and flung dust. 14And the king, and all the people who were with him, arrived weary at the Jordan.[43] And there he refreshed himself.
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-Absalom Enters Jerusalem
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-15Now Absalom and all the people, the men of Israel, came to Jerusalem, and Ahithophel with him. 16And when Hushai the Archite, David's friend, came to Absalom, Hushai said to Absalom, “Long live the king! Long live the king!” 17And Absalom said to Hushai, “Is this your loyalty to your friend? Why did you not go with your friend?” 18And Hushai said to Absalom, “No, for whom the LORD and this people and all the men of Israel have chosen, his I will be, and with him I will remain. 19And again, whom should I serve? Should it not be his son? As I have served your father, so I will serve you.”
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-20Then Absalom said to Ahithophel, “Give your counsel. What shall we do?” 21Ahithophel said to Absalom, “Go in to your father's concubines, whom he has left to keep the house, and all Israel will hear that you have made yourself a stench to your father, and the hands of all who are with you will be strengthened.” 22So they pitched a tent for Absalom on the roof. And Absalom went in to his father's concubines in the sight of all Israel. 23Now in those days the counsel that Ahithophel gave was as if one consulted the word of God; so was all the counsel of Ahithophel esteemed, both by David and by Absalom.
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-Hushai Saves David
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-17:1 Moreover, Ahithophel said to Absalom, “Let me choose twelve thousand men, and I will arise and pursue David tonight. 2I will come upon him while he is weary and discouraged and throw him into a panic, and all the people who are with him will flee. I will strike down only the king, 3and I will bring all the people back to you as a bride comes home to her husband. You seek the life of only one man,[44] and all the people will be at peace.” 4And the advice seemed right in the eyes of Absalom and all the elders of Israel.
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-5Then Absalom said, “Call Hushai the Archite also, and let us hear what he has to say.” 6And when Hushai came to Absalom, Absalom said to him, “Thus has Ahithophel spoken; shall we do as he says? If not, you speak.” 7Then Hushai said to Absalom, “This time the counsel that Ahithophel has given is not good.” 8Hushai said, “You know that your father and his men are mighty men, and that they are enraged,[45] like a bear robbed of her cubs in the field. Besides, your father is expert in war; he will not spend the night with the people. 9Behold, even now he has hidden himself in one of the pits or in some other place. And as soon as some of the people fall[46] at the first attack, whoever hears it will say, ‘There has been a slaughter among the people who follow Absalom.’ 10Then even the valiant man, whose heart is like the heart of a lion, will utterly melt with fear, for all Israel knows that your father is a mighty man, and that those who are with him are valiant men. 11But my counsel is that all Israel be gathered to you, from Dan to Beersheba, as the sand by the sea for multitude, and that you go to battle in person. 12So we shall come upon him in some place where he is to be found, and we shall light upon him as the dew falls on the ground, and of him and all the men with him not one will be left. 13If he withdraws into a city, then all Israel will bring ropes to that city, and we shall drag it into the valley, until not even a pebble is to be found there.” 14And Absalom and all the men of Israel said, “The counsel of Hushai the Archite is better than the counsel of Ahithophel.” For the LORD had ordained[47] to defeat the good counsel of Ahithophel, so that the LORD might bring harm upon Absalom.
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-15Then Hushai said to Zadok and Abiathar the priests, “Thus and so did Ahithophel counsel Absalom and the elders of Israel, and thus and so have I counseled. 16Now therefore send quickly and tell David, ‘Do not stay tonight at the fords of the wilderness, but by all means pass over, lest the king and all the people who are with him be swallowed up.’” 17Now Jonathan and Ahimaaz were waiting at En-rogel. A female servant was to go and tell them, and they were to go and tell King David, for they were not to be seen entering the city. 18But a young man saw them and told Absalom. So both of them went away quickly and came to the house of a man at Bahurim, who had a well in his courtyard. And they went down into it. 19And the woman took and spread a covering over the well's mouth and scattered grain on it, and nothing was known of it. 20When Absalom's servants came to the woman at the house, they said, “Where are Ahimaaz and Jonathan?” And the woman said to them, “They have gone over the brook[48] of water.” And when they had sought and could not find them, they returned to Jerusalem.
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-21After they had gone, the men came up out of the well, and went and told King David. They said to David, “Arise, and go quickly over the water, for thus and so has Ahithophel counseled against you.” 22Then David arose, and all the people who were with him, and they crossed the Jordan. By daybreak not one was left who had not crossed the Jordan.
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-23When Ahithophel saw that his counsel was not followed, he saddled his donkey and went off home to his own city. He set his house in order and hanged himself, and he died and was buried in the tomb of his father.
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-24Then David came to Mahanaim. And Absalom crossed the Jordan with all the men of Israel. 25Now Absalom had set Amasa over the army instead of Joab. Amasa was the son of a man named Ithra the Ishmaelite,[49] who had married Abigal the daughter of Nahash, sister of Zeruiah, Joab's mother. 26And Israel and Absalom encamped in the land of Gilead.
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-27When David came to Mahanaim, Shobi the son of Nahash from Rabbah of the Ammonites, and Machir the son of Ammiel from Lo-debar, and Barzillai the Gileadite from Rogelim, 28brought beds, basins, and earthen vessels, wheat, barley, flour, parched grain, beans and lentils,[50] 29honey and curds and sheep and cheese from the herd, for David and the people with him to eat, for they said, “The people are hungry and weary and thirsty in the wilderness.”
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-Absalom Killed
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-18:1 Then David mustered the men who were with him and set over them commanders of thousands and commanders of hundreds. 2And David sent out the army, one third under the command of Joab, one third under the command of Abishai the son of Zeruiah, Joab's brother, and one third under the command of Ittai the Gittite. And the king said to the men, “I myself will also go out with you.” 3But the men said, “You shall not go out. For if we flee, they will not care about us. If half of us die, they will not care about us. But you are worth ten thousand of us. Therefore it is better that you send us help from the city.” 4The king said to them, “Whatever seems best to you I will do.” So the king stood at the side of the gate, while all the army marched out by hundreds and by thousands. 5And the king ordered Joab and Abishai and Ittai, “Deal gently for my sake with the young man Absalom.” And all the people heard when the king gave orders to all the commanders about Absalom.
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-6So the army went out into the field against Israel, and the battle was fought in the forest of Ephraim. 7And the men of Israel were defeated there by the servants of David, and the loss there was great on that day, twenty thousand men. 8The battle spread over the face of all the country, and the forest devoured more people that day than the sword.
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-9And Absalom happened to meet the servants of David. Absalom was riding on his mule, and the mule went under the thick branches of a great oak,[51] and his head caught fast in the oak, and he was suspended between heaven and earth, while the mule that was under him went on. 10And a certain man saw it and told Joab, “Behold, I saw Absalom hanging in an oak.” 11Joab said to the man who told him, “What, you saw him! Why then did you not strike him there to the ground? I would have been glad to give you ten pieces of silver and a belt.” 12But the man said to Joab, “Even if I felt in my hand the weight of a thousand pieces of silver, I would not reach out my hand against the king's son, for in our hearing the king commanded you and Abishai and Ittai, ‘For my sake protect the young man Absalom.’ 13On the other hand, if I had dealt treacherously against his life[52] (and there is nothing hidden from the king), then you yourself would have stood aloof.” 14Joab said, “I will not waste time like this with you.” And he took three javelins in his hand and thrust them into the heart of Absalom while he was still alive in the oak. 15And ten young men, Joab's armor-bearers, surrounded Absalom and struck him and killed him.
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-16Then Joab blew the trumpet, and the troops came back from pursuing Israel, for Joab restrained them. 17And they took Absalom and threw him into a great pit in the forest and raised over him a very great heap of stones. And all Israel fled every one to his own home. 18Now Absalom in his lifetime had taken and set up for himself the pillar that is in the King's Valley, for he said, “I have no son to keep my name in remembrance.” He called the pillar after his own name, and it is called Absalom's monument[53] to this day.
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-David Hears of Absalom's Death
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-19Then Ahimaaz the son of Zadok said, “Let me run and carry news to the king that the LORD has delivered him from the hand of his enemies.” 20And Joab said to him, “You are not to carry news today. You may carry news another day, but today you shall carry no news, because the king's son is dead.” 21Then Joab said to the Cushite, “Go, tell the king what you have seen.” The Cushite bowed before Joab, and ran. 22Then Ahimaaz the son of Zadok said again to Joab, “Come what may, let me also run after the Cushite.” And Joab said, “Why will you run, my son, seeing that you will have no reward for the news?” 23“Come what may,” he said, “I will run.” So he said to him, “Run.” Then Ahimaaz ran by the way of the plain, and outran the Cushite.
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-24Now David was sitting between the two gates, and the watchman went up to the roof of the gate by the wall, and when he lifted up his eyes and looked, he saw a man running alone. 25The watchman called out and told the king. And the king said, “If he is alone, there is news in his mouth.” And he drew nearer and nearer. 26The watchman saw another man running. And the watchman called to the gate and said, “See, another man running alone!” The king said, “He also brings news.” 27The watchman said, “I think the running of the first is like the running of Ahimaaz the son of Zadok.” And the king said, “He is a good man and comes with good news.”
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-28Then Ahimaaz cried out to the king, “All is well.” And he bowed before the king with his face to the earth and said, “Blessed be the LORD your God, who has delivered up the men who raised their hand against my lord the king.” 29And the king said, “Is it well with the young man Absalom?” Ahimaaz answered, “When Joab sent the king's servant, your servant, I saw a great commotion, but I do not know what it was.” 30And the king said, “Turn aside and stand here.” So he turned aside and stood still.
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-David's Grief
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-31And behold, the Cushite came, and the Cushite said, “Good news for my lord the king! For the LORD has delivered you this day from the hand of all who rose up against you.” 32The king said to the Cushite, “Is it well with the young man Absalom?” And the Cushite answered, “May the enemies of my lord the king and all who rise up against you for evil be like that young man.” 33[54] And the king was deeply moved and went up to the chamber over the gate and wept. And as he went, he said, “O my son Absalom, my son, my son Absalom! Would I had died instead of you, O Absalom, my son, my son!”
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-Joab Rebukes David
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-19:1 It was told Joab, “Behold, the king is weeping and mourning for Absalom.” 2So the victory that day was turned into mourning for all the people, for the people heard that day, “The king is grieving for his son.” 3And the people stole into the city that day as people steal in who are ashamed when they flee in battle. 4The king covered his face, and the king cried with a loud voice, “O my son Absalom, O Absalom, my son, my son!” 5Then Joab came into the house to the king and said, “You have today covered with shame the faces of all your servants, who have this day saved your life and the lives of your sons and your daughters and the lives of your wives and your concubines, 6because you love those who hate you and hate those who love you. For you have made it clear today that commanders and servants are nothing to you, for today I know that if Absalom were alive and all of us were dead today, then you would be pleased. 7Now therefore arise, go out and speak kindly to your servants, for I swear by the LORD, if you do not go, not a man will stay with you this night, and this will be worse for you than all the evil that has come upon you from your youth until now.” 8Then the king arose and took his seat in the gate. And the people were all told, “Behold, the king is sitting in the gate.” And all the people came before the king.
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-David Returns to Jerusalem
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-
-Now Israel had fled every man to his own home. 9And all the people were arguing throughout all the tribes of Israel, saying, “The king delivered us from the hand of our enemies and saved us from the hand of the Philistines, and now he has fled out of the land from Absalom. 10But Absalom, whom we anointed over us, is dead in battle. Now therefore why do you say nothing about bringing the king back?”
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-11And King David sent this message to Zadok and Abiathar the priests: “Say to the elders of Judah, ‘Why should you be the last to bring the king back to his house, when the word of all Israel has come to the king?[55] 12You are my brothers; you are my bone and my flesh. Why then should you be the last to bring back the king?’ 13And say to Amasa, ‘Are you not my bone and my flesh? God do so to me and more also, if you are not commander of my army from now on in place of Joab.’” 14And he swayed the heart of all the men of Judah as one man, so that they sent word to the king, “Return, both you and all your servants.” 15So the king came back to the Jordan, and Judah came to Gilgal to meet the king and to bring the king over the Jordan.
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-David Pardons His Enemies
-
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-16And Shimei the son of Gera, the Benjaminite, from Bahurim, hurried to come down with the men of Judah to meet King David. 17And with him were a thousand men from Benjamin. And Ziba the servant of the house of Saul, with his fifteen sons and his twenty servants, rushed down to the Jordan before the king, 18and they crossed the ford to bring over the king's household and to do his pleasure. And Shimei the son of Gera fell down before the king, as he was about to cross the Jordan, 19and said to the king, “Let not my lord hold me guilty or remember how your servant did wrong on the day my lord the king left Jerusalem. Do not let the king take it to heart. 20For your servant knows that I have sinned. Therefore, behold, I have come this day, the first of all the house of Joseph to come down to meet my lord the king.” 21Abishai the son of Zeruiah answered, “Shall not Shimei be put to death for this, because he cursed the LORD's anointed?” 22But David said, “What have I to do with you, you sons of Zeruiah, that you should this day be as an adversary to me? Shall anyone be put to death in Israel this day? For do I not know that I am this day king over Israel?” 23And the king said to Shimei, “You shall not die.” And the king gave him his oath.
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-24And Mephibosheth the son of Saul came down to meet the king. He had neither taken care of his feet nor trimmed his beard nor washed his clothes, from the day the king departed until the day he came back in safety. 25And when he came to Jerusalem to meet the king, the king said to him, “Why did you not go with me, Mephibosheth?” 26He answered, “My lord, O king, my servant deceived me, for your servant said to him, ‘I will saddle a donkey for myself,[56] that I may ride on it and go with the king.’ For your servant is lame. 27He has slandered your servant to my lord the king. But my lord the king is like the angel of God; do therefore what seems good to you. 28For all my father's house were but men doomed to death before my lord the king, but you set your servant among those who eat at your table. What further right have I, then, to cry to the king?” 29And the king said to him, “Why speak any more of your affairs? I have decided: you and Ziba shall divide the land.” 30And Mephibosheth said to the king, “Oh, let him take it all, since my lord the king has come safely home.”
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-31Now Barzillai the Gileadite had come down from Rogelim, and he went on with the king to the Jordan, to escort him over the Jordan. 32Barzillai was a very aged man, eighty years old. He had provided the king with food while he stayed at Mahanaim, for he was a very wealthy man. 33And the king said to Barzillai, “Come over with me, and I will provide for you with me in Jerusalem.” 34But Barzillai said to the king, “How many years have I still to live, that I should go up with the king to Jerusalem? 35I am this day eighty years old. Can I discern what is pleasant and what is not? Can your servant taste what he eats or what he drinks? Can I still listen to the voice of singing men and singing women? Why then should your servant be an added burden to my lord the king? 36Your servant will go a little way over the Jordan with the king. Why should the king repay me with such a reward? 37Please let your servant return, that I may die in my own city near the grave of my father and my mother. But here is your servant Chimham. Let him go over with my lord the king, and do for him whatever seems good to you.” 38And the king answered, “Chimham shall go over with me, and I will do for him whatever seems good to you, and all that you desire of me I will do for you.” 39Then all the people went over the Jordan, and the king went over. And the king kissed Barzillai and blessed him, and he returned to his own home. 40The king went on to Gilgal, and Chimham went on with him. All the people of Judah, and also half the people of Israel, brought the king on his way.
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-41Then all the men of Israel came to the king and said to the king, “Why have our brothers the men of Judah stolen you away and brought the king and his household over the Jordan, and all David's men with him?” 42All the men of Judah answered the men of Israel, “Because the king is our close relative. Why then are you angry over this matter? Have we eaten at all at the king's expense? Or has he given us any gift?” 43And the men of Israel answered the men of Judah, “We have ten shares in the king, and in David also we have more than you. Why then did you despise us? Were we not the first to speak of bringing back our king?” But the words of the men of Judah were fiercer than the words of the men of Israel.
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-The Rebellion of Sheba
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-
-20:1 Now there happened to be there a worthless man, whose name was Sheba, the son of Bichri, a Benjaminite. And he blew the trumpet and said,
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-“We have no portion in David,
-
-and we have no inheritance in the son of Jesse;
-
-every man to his tents, O Israel!”
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-2So all the men of Israel withdrew from David and followed Sheba the son of Bichri. But the men of Judah followed their king steadfastly from the Jordan to Jerusalem.
-
-3And David came to his house at Jerusalem. And the king took the ten concubines whom he had left to care for the house and put them in a house under guard and provided for them, but did not go in to them. So they were shut up until the day of their death, living as if in widowhood.
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-4Then the king said to Amasa, “Call the men of Judah together to me within three days, and be here yourself.” 5So Amasa went to summon Judah, but he delayed beyond the set time that had been appointed him. 6And David said to Abishai, “Now Sheba the son of Bichri will do us more harm than Absalom. Take your lord's servants and pursue him, lest he get himself to fortified cities and escape from us.”[57] 7And there went out after him Joab's men and the Cherethites and the Pelethites, and all the mighty men. They went out from Jerusalem to pursue Sheba the son of Bichri. 8When they were at the great stone that is in Gibeon, Amasa came to meet them. Now Joab was wearing a soldier's garment, and over it was a belt with a sword in its sheath fastened on his thigh, and as he went forward it fell out. 9And Joab said to Amasa, “Is it well with you, my brother?” And Joab took Amasa by the beard with his right hand to kiss him. 10But Amasa did not observe the sword that was in Joab's hand. So Joab struck him with it in the stomach and spilled his entrails to the ground without striking a second blow, and he died.
-
-Then Joab and Abishai his brother pursued Sheba the son of Bichri. 11And one of Joab's young men took his stand by Amasa and said, “Whoever favors Joab, and whoever is for David, let him follow Joab.” 12And Amasa lay wallowing in his blood in the highway. And anyone who came by, seeing him, stopped. And when the man saw that all the people stopped, he carried Amasa out of the highway into the field and threw a garment over him. 13When he was taken out of the highway, all the people went on after Joab to pursue Sheba the son of Bichri.
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-14And Sheba passed through all the tribes of Israel to Abel of Beth-maacah,[58] and all the Bichrites[59] assembled and followed him in. 15And all the men who were with Joab came and besieged him in Abel of Beth-maacah. They cast up a mound against the city, and it stood against the rampart, and they were battering the wall to throw it down. 16Then a wise woman called from the city, “Listen! Listen! Tell Joab, ‘Come here, that I may speak to you.’” 17And he came near her, and the woman said, “Are you Joab?” He answered, “I am.” Then she said to him, “Listen to the words of your servant.” And he answered, “I am listening.” 18Then she said, “They used to say in former times, ‘Let them but ask counsel at Abel,’ and so they settled a matter. 19I am one of those who are peaceable and faithful in Israel. You seek to destroy a city that is a mother in Israel. Why will you swallow up the heritage of the LORD?” 20Joab answered, “Far be it from me, far be it, that I should swallow up or destroy! 21That is not true. But a man of the hill country of Ephraim, called Sheba the son of Bichri, has lifted up his hand against King David. Give up him alone, and I will withdraw from the city.” And the woman said to Joab, “Behold, his head shall be thrown to you over the wall.” 22Then the woman went to all the people in her wisdom. And they cut off the head of Sheba the son of Bichri and threw it out to Joab. So he blew the trumpet, and they dispersed from the city, every man to his home. And Joab returned to Jerusalem to the king.
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-23Now Joab was in command of all the army of Israel; and Benaiah the son of Jehoiada was in command of the Cherethites and the Pelethites; 24and Adoram was in charge of the forced labor; and Jehoshaphat the son of Ahilud was the recorder; 25and Sheva was secretary; and Zadok and Abiathar were priests; 26and Ira the Jairite was also David's priest.
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-David Avenges the Gibeonites
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-21:1 Now there was a famine in the days of David for three years, year after year. And David sought the face of the LORD. And the LORD said, “There is bloodguilt on Saul and on his house, because he put the Gibeonites to death.” 2So the king called the Gibeonites and spoke to them. Now the Gibeonites were not of the people of Israel but of the remnant of the Amorites. Although the people of Israel had sworn to spare them, Saul had sought to strike them down in his zeal for the people of Israel and Judah. 3And David said to the Gibeonites, “What shall I do for you? And how shall I make atonement, that you may bless the heritage of the LORD?” 4The Gibeonites said to him, “It is not a matter of silver or gold between us and Saul or his house; neither is it for us to put any man to death in Israel.” And he said, “What do you say that I shall do for you?” 5They said to the king, “The man who consumed us and planned to destroy us, so that we should have no place in all the territory of Israel, 6let seven of his sons be given to us, so that we may hang them before the LORD at Gibeah of Saul, the chosen of the LORD.” And the king said, “I will give them.”
-
-7But the king spared Mephibosheth, the son of Saul's son Jonathan, because of the oath of the LORD that was between them, between David and Jonathan the son of Saul. 8The king took the two sons of Rizpah the daughter of Aiah, whom she bore to Saul, Armoni and Mephibosheth; and the five sons of Merab[60] the daughter of Saul, whom she bore to Adriel the son of Barzillai the Meholathite; 9and he gave them into the hands of the Gibeonites, and they hanged them on the mountain before the LORD, and the seven of them perished together. They were put to death in the first days of harvest, at the beginning of barley harvest.
-
-10Then Rizpah the daughter of Aiah took sackcloth and spread it for herself on the rock, from the beginning of harvest until rain fell upon them from the heavens. And she did not allow the birds of the air to come upon them by day, or the beasts of the field by night. 11When David was told what Rizpah the daughter of Aiah, the concubine of Saul, had done, 12David went and took the bones of Saul and the bones of his son Jonathan from the men of Jabesh-gilead, who had stolen them from the public square of Beth-shan, where the Philistines had hanged them, on the day the Philistines killed Saul on Gilboa. 13And he brought up from there the bones of Saul and the bones of his son Jonathan; and they gathered the bones of those who were hanged. 14And they buried the bones of Saul and his son Jonathan in the land of Benjamin in Zela, in the tomb of Kish his father. And they did all that the king commanded. And after that God responded to the plea for the land.
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-
-
-
-War with the Philistines
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-15There was war again between the Philistines and Israel, and David went down together with his servants, and they fought against the Philistines. And David grew weary. 16And Ishbi-benob, one of the descendants of the giants, whose spear weighed three hundred shekels[61] of bronze, and who was armed with a new sword, thought to kill David. 17But Abishai the son of Zeruiah came to his aid and attacked the Philistine and killed him. Then David's men swore to him, “You shall no longer go out with us to battle, lest you quench the lamp of Israel.”
-
-18After this there was again war with the Philistines at Gob. Then Sibbecai the Hushathite struck down Saph, who was one of the descendants of the giants. 19And there was again war with the Philistines at Gob, and Elhanan the son of Jaare-oregim, the Bethlehemite, struck down Goliath the Gittite, the shaft of whose spear was like a weaver's beam.[62] 20And there was again war at Gath, where there was a man of great stature, who had six fingers on each hand, and six toes on each foot, twenty-four in number, and he also was descended from the giants. 21And when he taunted Israel, Jonathan the son of Shimei, David's brother, struck him down. 22These four were descended from the giants in Gath, and they fell by the hand of David and by the hand of his servants.
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-
-
-
-
-David's Song of Deliverance
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-
-22:1 And David spoke to the LORD the words of this song on the day when the LORD delivered him from the hand of all his enemies, and from the hand of Saul. 2He said,
-
-“The LORD is my rock and my fortress and my deliverer,
-
-3my[63] God, my rock, in whom I take refuge,
-
-my shield, and the horn of my salvation,
-
-my stronghold and my refuge,
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-my savior; you save me from violence.
-
-4I call upon the LORD, who is worthy to be praised,
-
-and I am saved from my enemies.
-
-5“For the waves of death encompassed me,
-
-the torrents of destruction assailed me;[64]
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-6the cords of Sheol entangled me;
-
-the snares of death confronted me.
-
-7“In my distress I called upon the LORD;
-
-to my God I called.
-
-From his temple he heard my voice,
-
-and my cry came to his ears.
-
-8“Then the earth reeled and rocked;
-
-the foundations of the heavens trembled
-
-and quaked, because he was angry.
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-9Smoke went up from his nostrils,[65]
-
-and devouring fire from his mouth;
-
-glowing coals flamed forth from him.
-
-10He bowed the heavens and came down;
-
-thick darkness was under his feet.
-
-11He rode on a cherub and flew;
-
-he was seen on the wings of the wind.
-
-12He made darkness around him his canopy,
-
-thick clouds, a gathering of water.
-
-13Out of the brightness before him
-
-coals of fire flamed forth.
-
-14The LORD thundered from heaven,
-
-and the Most High uttered his voice.
-
-15And he sent out arrows and scattered them;
-
-lightning, and routed them.
-
-16Then the channels of the sea were seen;
-
-the foundations of the world were laid bare,
-
-at the rebuke of the LORD,
-
-at the blast of the breath of his nostrils.
-
-17“He sent from on high, he took me;
-
-he drew me out of many waters.
-
-18He rescued me from my strong enemy,
-
-from those who hated me,
-
-for they were too mighty for me.
-
-19They confronted me in the day of my calamity,
-
-but the LORD was my support.
-
-20He brought me out into a broad place;
-
-he rescued me, because he delighted in me.
-
-21“The LORD dealt with me according to my righteousness;
-
-according to the cleanness of my hands he rewarded me.
-
-22For I have kept the ways of the LORD
-
-and have not wickedly departed from my God.
-
-23For all his rules were before me,
-
-and from his statutes I did not turn aside.
-
-24I was blameless before him,
-
-and I kept myself from guilt.
-
-25And the LORD has rewarded me according to my righteousness,
-
-according to my cleanness in his sight.
-
-26“With the merciful you show yourself merciful;
-
-with the blameless man you show yourself blameless;
-
-27with the purified you deal purely,
-
-and with the crooked you make yourself seem tortuous.
-
-28You save a humble people,
-
-but your eyes are on the haughty to bring them down.
-
-29For you are my lamp, O LORD,
-
-and my God lightens my darkness.
-
-30For by you I can run against a troop,
-
-and by my God I can leap over a wall.
-
-31This God—his way is perfect;
-
-the word of the LORD proves true;
-
-he is a shield for all those who take refuge in him.
-
-32“For who is God, but the LORD?
-
-And who is a rock, except our God?
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-33This God is my strong refuge
-
-and has made my[66] way blameless.[67]
-
-34He made my feet like the feet of a deer
-
-and set me secure on the heights.
-
-35He trains my hands for war,
-
-so that my arms can bend a bow of bronze.
-
-36You have given me the shield of your salvation,
-
-and your gentleness made me great.
-
-37You gave a wide place for my steps under me,
-
-and my feet[68] did not slip;
-
-38I pursued my enemies and destroyed them,
-
-and did not turn back until they were consumed.
-
-39I consumed them; I thrust them through, so that they did not rise;
-
-they fell under my feet.
-
-40For you equipped me with strength for the battle;
-
-you made those who rise against me sink under me.
-
-41You made my enemies turn their backs to me,[69]
-
-those who hated me, and I destroyed them.
-
-42They looked, but there was none to save;
-
-they cried to the LORD, but he did not answer them.
-
-43I beat them fine as the dust of the earth;
-
-I crushed them and stamped them down like the mire of the streets.
-
-44“You delivered me from strife with my people;[70]
-
-you kept me as the head of the nations;
-
-people whom I had not known served me.
-
-45Foreigners came cringing to me;
-
-as soon as they heard of me, they obeyed me.
-
-46Foreigners lost heart
-
-and came trembling[71] out of their fortresses.
-
-47“The LORD lives, and blessed be my rock,
-
-and exalted be my God, the rock of my salvation,
-
-48the God who gave me vengeance
-
-and brought down peoples under me,
-
-49who brought me out from my enemies;
-
-you exalted me above those who rose against me;
-
-you delivered me from men of violence.
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-50“For this I will praise you, O LORD, among the nations,
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-and sing praises to your name.
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-51Great salvation he brings[72] to his king,
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-and shows steadfast love to his anointed,
-
-to David and his offspring forever.”
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-
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-The Last Words of David
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-23:1 Now these are the last words of David:
-
-The oracle of David, the son of Jesse,
-
-the oracle of the man who was raised on high,
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-the anointed of the God of Jacob,
-
-the sweet psalmist of Israel:[73]
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-2“The Spirit of the LORD speaks by me;
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-his word is on my tongue.
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-3The God of Israel has spoken;
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-the Rock of Israel has said to me:
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-When one rules justly over men,
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-ruling in the fear of God,
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-4he dawns on them like the morning light,
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-like the sun shining forth on a cloudless morning,
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-like rain[74] that makes grass to sprout from the earth.
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-5“For does not my house stand so with God?
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-For he has made with me an everlasting covenant,
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-ordered in all things and secure.
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-For will he not cause to prosper
-
-all my help and my desire?
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-6But worthless men[75] are all like thorns that are thrown away,
-
-for they cannot be taken with the hand;
-
-7but the man who touches them
-
-arms himself with iron and the shaft of a spear,
-
-and they are utterly consumed with fire.”[76]
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-
-
-
-
-David's Mighty Men
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-
-8These are the names of the mighty men whom David had: Josheb-basshebeth a Tahchemonite; he was chief of the three.[77] He wielded his spear[78] against eight hundred whom he killed at one time.
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-9And next to him among the three mighty men was Eleazar the son of Dodo, son of Ahohi. He was with David when they defied the Philistines who were gathered there for battle, and the men of Israel withdrew. 10He rose and struck down the Philistines until his hand was weary, and his hand clung to the sword. And the LORD brought about a great victory that day, and the men returned after him only to strip the slain.
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-11And next to him was Shammah, the son of Agee the Hararite. The Philistines gathered together at Lehi, where there was a plot of ground full of lentils, and the men fled from the Philistines. 12But he took his stand in the midst of the plot and defended it and struck down the Philistines, and the LORD worked a great victory.
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-13And three of the thirty chief men went down and came about harvest time to David at the cave of Adullam, when a band of Philistines was encamped in the Valley of Rephaim. 14David was then in the stronghold, and the garrison of the Philistines was then at Bethlehem. 15And David said longingly, “Oh, that someone would give me water to drink from the well of Bethlehem that is by the gate!” 16Then the three mighty men broke through the camp of the Philistines and drew water out of the well of Bethlehem that was by the gate and carried and brought it to David. But he would not drink of it. He poured it out to the LORD 17and said, “Far be it from me, O LORD, that I should do this. Shall I drink the blood of the men who went at the risk of their lives?” Therefore he would not drink it. These things the three mighty men did.
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-18Now Abishai, the brother of Joab, the son of Zeruiah, was chief of the thirty.[79] And he wielded his spear against three hundred men[80] and killed them and won a name beside the three. 19He was the most renowned of the thirty[81] and became their commander, but he did not attain to the three.
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-20And Benaiah the son of Jehoiada was a valiant man[82] of Kabzeel, a doer of great deeds. He struck down two ariels[83] of Moab. He also went down and struck down a lion in a pit on a day when snow had fallen. 21And he struck down an Egyptian, a handsome man. The Egyptian had a spear in his hand, but Benaiah went down to him with a staff and snatched the spear out of the Egyptian's hand and killed him with his own spear. 22These things did Benaiah the son of Jehoiada, and won a name beside the three mighty men. 23He was renowned among the thirty, but he did not attain to the three. And David set him over his bodyguard.
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-24Asahel the brother of Joab was one of the thirty; Elhanan the son of Dodo of Bethlehem, 25Shammah of Harod, Elika of Harod, 26Helez the Paltite, Ira the son of Ikkesh of Tekoa, 27Abiezer of Anathoth, Mebunnai the Hushathite, 28Zalmon the Ahohite, Maharai of Netophah, 29Heleb the son of Baanah of Netophah, Ittai the son of Ribai of Gibeah of the people of Benjamin, 30Benaiah of Pirathon, Hiddai of the brooks of Gaash, 31Abi-albon the Arbathite, Azmaveth of Bahurim, 32Eliahba the Shaalbonite, the sons of Jashen, Jonathan, 33Shammah the Hararite, Ahiam the son of Sharar the Hararite, 34Eliphelet the son of Ahasbai of Maacah, Eliam the son of Ahithophel of Gilo, 35Hezro[84] of Carmel, Paarai the Arbite, 36Igal the son of Nathan of Zobah, Bani the Gadite, 37Zelek the Ammonite, Naharai of Beeroth, the armor-bearer of Joab the son of Zeruiah, 38Ira the Ithrite, Gareb the Ithrite, 39Uriah the Hittite: thirty-seven in all.
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-
-
-
-David's Census
-
-
-24:1 Again the anger of the LORD was kindled against Israel, and he incited David against them, saying, “Go, number Israel and Judah.” 2So the king said to Joab, the commander of the army,[85] who was with him, “Go through all the tribes of Israel, from Dan to Beersheba, and number the people, that I may know the number of the people.” 3But Joab said to the king, “May the LORD your God add to the people a hundred times as many as they are, while the eyes of my lord the king still see it, but why does my lord the king delight in this thing?” 4But the king's word prevailed against Joab and the commanders of the army. So Joab and the commanders of the army went out from the presence of the king to number the people of Israel. 5They crossed the Jordan and began from Aroer,[86] and from the city that is in the middle of the valley, toward Gad and on to Jazer. 6Then they came to Gilead, and to Kadesh in the land of the Hittites;[87] and they came to Dan, and from Dan[88] they went around to Sidon, 7and came to the fortress of Tyre and to all the cities of the Hivites and Canaanites; and they went out to the Negeb of Judah at Beersheba. 8So when they had gone through all the land, they came to Jerusalem at the end of nine months and twenty days. 9And Joab gave the sum of the numbering of the people to the king: in Israel there were 800,000 valiant men who drew the sword, and the men of Judah were 500,000.
-
-
-
-
-
-The LORD's Judgment of David's Sin
-
-
-10But David's heart struck him after he had numbered the people. And David said to the LORD, “I have sinned greatly in what I have done. But now, O LORD, please take away the iniquity of your servant, for I have done very foolishly.” 11And when David arose in the morning, the word of the LORD came to the prophet Gad, David's seer, saying, 12“Go and say to David, ‘Thus says the LORD, Three things I offer[89] you. Choose one of them, that I may do it to you.’” 13So Gad came to David and told him, and said to him, “Shall three[90] years of famine come to you in your land? Or will you flee three months before your foes while they pursue you? Or shall there be three days' pestilence in your land? Now consider, and decide what answer I shall return to him who sent me.” 14Then David said to Gad, “I am in great distress. Let us fall into the hand of the LORD, for his mercy is great; but let me not fall into the hand of man.”
-
-15So the LORD sent a pestilence on Israel from the morning until the appointed time. And there died of the people from Dan to Beersheba 70,000 men. 16And when the angel stretched out his hand toward Jerusalem to destroy it, the LORD relented from the calamity and said to the angel who was working destruction among the people, “It is enough; now stay your hand.” And the angel of the LORD was by the threshing floor of Araunah the Jebusite. 17Then David spoke to the LORD when he saw the angel who was striking the people, and said, “Behold, I have sinned, and I have done wickedly. But these sheep, what have they done? Please let your hand be against me and against my father's house.”
-
-
-
-
-
-David Builds an Altar
-
-
-18And Gad came that day to David and said to him, “Go up, raise an altar to the LORD on the threshing floor of Araunah the Jebusite.” 19So David went up at Gad's word, as the LORD commanded. 20And when Araunah looked down, he saw the king and his servants coming on toward him. And Araunah went out and paid homage to the king with his face to the ground. 21And Araunah said, “Why has my lord the king come to his servant?” David said, “To buy the threshing floor from you, in order to build an altar to the LORD, that the plague may be averted from the people.” 22Then Araunah said to David, “Let my lord the king take and offer up what seems good to him. Here are the oxen for the burnt offering and the threshing sledges and the yokes of the oxen for the wood. 23All this, O king, Araunah gives to the king.” And Araunah said to the king, “May the LORD your God accept you.” 24But the king said to Araunah, “No, but I will buy it from you for a price. I will not offer burnt offerings to the LORD my God that cost me nothing.” So David bought the threshing floor and the oxen for fifty shekels[91] of silver. 25And David built there an altar to the LORD and offered burnt offerings and peace offerings. So the LORD responded to the plea for the land, and the plague was averted from Israel.
-
-
-
-
-
-Footnotes
-
-
-[1] 1:18 Septuagint; Hebrew the Bow, which may be the name of the lament's tune
-
-[2] 1:18 Or of the upright
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-[3] 1:21 Septuagint firstfruits
-
-[4] 2:16 Helkath-hazzurim means the field of sword-edges
-
-[5] 3:12 Or where he was; Septuagint at Hebron
-
-[6] 4:6 Septuagint And behold, the doorkeeper of the house had been cleaning wheat, but she grew drowsy and slept. So Rechab and Baanah his brother slipped in
-
-[7] 5:5 Dead Sea Scroll lacks verses 4-5
-
-[8] 5:20 Baal-perazim means lord of bursting through
-
-[9] 6:3 Or and his brother; also verse 4
-
-[10] 6:3 Compare Septuagint; Hebrew the new cart, and brought it out of the house of Abinadab, which was on the hill
-
-[11] 6:5 Septuagint, 1 Chronicles 13:8; Hebrew fir trees
-
-[12] 6:8 Perez-uzzah means the bursting forth upon Uzzah
-
-[13] 6:19 Vulgate; the meaning of the Hebrew term is uncertain
-
-[14] 6:22 Septuagint; Hebrew my
-
-[15] 7:7 Compare 1 Chronicles 17:6; Hebrew tribes
-
-[16] 7:16 Septuagint; Hebrew you
-
-[17] 7:23 With a few Targums, Vulgate, Syriac; Hebrew you
-
-[18] 7:23 Septuagint (compare 1 Chronicles 17:21); Hebrew for your land
-
-[19] 8:18 Compare 20:23, 1 Chronicles 18:17, Syriac, Targum, Vulgate; Hebrew lacks was over
-
-[20] 9:11 Septuagint; Hebrew my
-
-[21] 10:2 Or kindly; twice in this verse
-
-[22] 10:16 Hebrew the River
-
-[23] 12:3 Hebrew bosom; also verse 8
-
-[24] 12:14 Masoretic Text the enemies of the LORD; Dead Sea Scroll the word of the LORD
-
-[25] 12:25 Jedidiah means beloved of the LORD
-
-[26] 12:30 A talent was about 75 pounds or 34 kilograms
-
-[27] 12:31 Hebrew pass through
-
-[28] 13:12 Or humiliate; also verses 14, 22, 32
-
-[29] 13:16 Compare Septuagint, Vulgate; the meaning of the Hebrew is uncertain
-
-[30] 13:18 Or a robe of many colors (compare Genesis 37:3); also verse 19
-
-[31] 13:21 Dead Sea Scroll, Septuagint add But he would not punish his son Amnon, because he loved him, since he was his firstborn
-
-[32] 13:34 Septuagint the Horonaim Road
-
-[33] 13:39 Dead Sea Scroll, Septuagint; Hebrew David
-
-[34] 13:39 Compare Vulgate ceased to go out
-
-[35] 14:26 A shekel was about 2/5 ounce or 11 grams
-
-[36] 14:30 Septuagint, Dead Sea Scroll add So Joab's servants came to him with their clothes torn, and they said to him, “The servants of Absalom have set your field on fire.”
-
-[37] 15:7 Septuagint, Syriac; Hebrew forty
-
-[38] 15:8 Or will serve
-
-[39] 15:12 Or sent
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-[40] 15:20 Septuagint; Hebrew lacks may the LORD show
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-[41] 15:27 Septuagint The king also said to Zadok the priest, “Look, go back
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-[42] 16:12 Septuagint, Vulgate will look upon my affliction
-
-[43] 16:14 Septuagint; Hebrew lacks at the Jordan
-
-[44] 17:3 Septuagint; Hebrew back to you. Like the return of the whole is the man whom you seek
-
-[45] 17:8 Hebrew bitter of soul
-
-[46] 17:9 Or And as he falls on them
-
-[47] 17:14 Hebrew commanded
-
-[48] 17:20 The meaning of the Hebrew word is uncertain
-
-[49] 17:25 Compare 1 Chronicles 2:17; Hebrew Israelite
-
-[50] 17:28 Hebrew adds and parched grain
-
-[51] 18:9 Or terebinth; also verses 10, 14
-
-[52] 18:13 Or at the risk of my life
-
-[53] 18:18 Or Absalom's hand
-
-[54] 18:33 Ch 19:1 in Hebrew
-
-[55] 19:11 Septuagint; Hebrew to the king, to his house
-
-[56] 19:26 Septuagint, Syriac, Vulgate Saddle a donkey for me
-
-[57] 20:6 Hebrew and snatch away our eyes
-
-[58] 20:14 Compare 20:15; Hebrew and Beth-maacah
-
-[59] 20:14 Hebrew Berites
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-[60] 21:8 Two Hebrew manuscripts, Septuagint; most Hebrew manuscripts Michal
-
-[61] 21:16 A shekel was about 2/5 ounce or 11 grams
-
-[62] 21:19 Contrast 1 Chronicles 20:5, which may preserve the original reading
-
-[63] 22:3 Septuagint (compare Psalm 18:2); Hebrew lacks my
-
-[64] 22:5 Or terrified me
-
-[65] 22:9 Or in his wrath
-
-[66] 22:33 Or his; also verse 34
-
-[67] 22:33 Compare Psalm 18:32; Hebrew he has blamelessly set my way free, or he has made my way spring up blamelessly
-
-[68] 22:37 Hebrew ankles
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-[69] 22:41 Or You gave me my enemies' necks
-
-[70] 22:44 Septuagint with the peoples
-
-[71] 22:46 Compare Psalm 18:45; Hebrew equipped themselves
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-[72] 22:51 Or He is a tower of salvation
-
-[73] 23:1 Or the favorite of the songs of Israel
-
-[74] 23:4 Hebrew from rain
-
-[75] 23:6 Hebrew worthlessness
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-[76] 23:7 Hebrew consumed with fire in the sitting
-
-[77] 23:8 Or of the captains
-
-[78] 23:8 1 Chronicles 11:11; the meaning of the Hebrew expression is uncertain
-
-[79] 23:18 Two Hebrew manuscripts, Syriac; most Hebrew manuscripts three
-
-[80] 23:18 Or slain ones
-
-[81] 23:19 1 Chronicles 11:25; Hebrew Was he the most renowned of the three?
-
-[82] 23:20 Or the son of Ishhai
-
-[83] 23:20 The meaning of the word ariel is unknown
-
-[84] 23:35 Or Hezrai
-
-[85] 24:2 Septuagint to Joab and the commanders of the army
-
-[86] 24:5 Septuagint; Hebrew encamped in Aroer
-
-[87] 24:6 Septuagint; Hebrew to the land of Tahtim-hodshi
-
-[88] 24:6 Septuagint; Hebrew they came to Dan-jaan and
-
-[89] 24:12 Or hold over
-
-[90] 24:13 Compare 1 Chronicles 21:12, Septuagint; Hebrew seven
-
-[91] 24:24 A shekel was about 2/5 ounce or 11 grams
-
-
-
-
-
-1 KINGS
-
-
-Chapter 1
-
-Chapter 2
-
-Chapter 3
-
-Chapter 4
-
-Chapter 5
-
-Chapter 6
-
-Chapter 7
-
-Chapter 8
-
-Chapter 9
-
-Chapter 10
-
-Chapter 11
-
-Chapter 12
-
-Chapter 13
-
-Chapter 14
-
-Chapter 15
-
-Chapter 16
-
-Chapter 17
-
-Chapter 18
-
-Chapter 19
-
-Chapter 20
-
-Chapter 21
-
-Chapter 22
-
-
-
-
-
-David in His Old Age
-
-
-1:1 Now King David was old and advanced in years. And although they covered him with clothes, he could not get warm. 2Therefore his servants said to him, “Let a young woman be sought for my lord the king, and let her wait on the king and be in his service. Let her lie in your arms,[1] that my lord the king may be warm.” 3So they sought for a beautiful young woman throughout all the territory of Israel, and found Abishag the Shunammite, and brought her to the king. 4The young woman was very beautiful, and she was of service to the king and attended to him, but the king knew her not.
-
-
-
-
-
-Adonijah Sets Himself Up as King
-
-
-5Now Adonijah the son of Haggith exalted himself, saying, “I will be king.” And he prepared for himself chariots and horsemen, and fifty men to run before him. 6His father had never at any time displeased him by asking, “Why have you done thus and so?” He was also a very handsome man, and he was born next after Absalom. 7He conferred with Joab the son of Zeruiah and with Abiathar the priest. And they followed Adonijah and helped him. 8But Zadok the priest and Benaiah the son of Jehoiada and Nathan the prophet and Shimei and Rei and David's mighty men were not with Adonijah.
-
-9Adonijah sacrificed sheep, oxen, and fattened cattle by the Serpent's Stone, which is beside En-rogel, and he invited all his brothers, the king's sons, and all the royal officials of Judah, 10but he did not invite Nathan the prophet or Benaiah or the mighty men or Solomon his brother.
-
-
-
-
-
-Nathan and Bathsheba Before David
-
-
-11Then Nathan said to Bathsheba the mother of Solomon, “Have you not heard that Adonijah the son of Haggith has become king and David our lord does not know it? 12Now therefore come, let me give you advice, that you may save your own life and the life of your son Solomon. 13Go in at once to King David, and say to him, ‘Did you not, my lord the king, swear to your servant, saying, “Solomon your son shall reign after me, and he shall sit on my throne”? Why then is Adonijah king?’ 14Then while you are still speaking with the king, I also will come in after you and confirm[2] your words.”
-
-15So Bathsheba went to the king in his chamber (now the king was very old, and Abishag the Shunammite was attending to the king). 16Bathsheba bowed and paid homage to the king, and the king said, “What do you desire?” 17She said to him, “My lord, you swore to your servant by the LORD your God, saying, ‘Solomon your son shall reign after me, and he shall sit on my throne.’ 18And now, behold, Adonijah is king, although you, my lord the king, do not know it. 19He has sacrificed oxen, fattened cattle, and sheep in abundance, and has invited all the sons of the king, Abiathar the priest, and Joab the commander of the army, but Solomon your servant he has not invited. 20And now, my lord the king, the eyes of all Israel are on you, to tell them who shall sit on the throne of my lord the king after him. 21Otherwise it will come to pass, when my lord the king sleeps with his fathers, that I and my son Solomon will be counted offenders.”
-
-22While she was still speaking with the king, Nathan the prophet came in. 23And they told the king, “Here is Nathan the prophet.” And when he came in before the king, he bowed before the king, with his face to the ground. 24And Nathan said, “My lord the king, have you said, ‘Adonijah shall reign after me, and he shall sit on my throne’? 25For he has gone down this day and has sacrificed oxen, fattened cattle, and sheep in abundance, and has invited all the king's sons, the commanders[3] of the army, and Abiathar the priest. And behold, they are eating and drinking before him, and saying, ‘Long live King Adonijah!’ 26But me, your servant, and Zadok the priest, and Benaiah the son of Jehoiada, and your servant Solomon he has not invited. 27Has this thing been brought about by my lord the king and you have not told your servants who should sit on the throne of my lord the king after him?”
-
-
-
-
-
-Solomon Anointed King
-
-
-28Then King David answered, “Call Bathsheba to me.” So she came into the king's presence and stood before the king. 29And the king swore, saying, “As the LORD lives, who has redeemed my soul out of every adversity, 30as I swore to you by the LORD, the God of Israel, saying, ‘Solomon your son shall reign after me, and he shall sit on my throne in my place,’ even so will I do this day.” 31Then Bathsheba bowed with her face to the ground and paid homage to the king and said, “May my lord King David live forever!”
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-32King David said, “Call to me Zadok the priest, Nathan the prophet, and Benaiah the son of Jehoiada.” So they came before the king. 33And the king said to them, “Take with you the servants of your lord and have Solomon my son ride on my own mule, and bring him down to Gihon. 34And let Zadok the priest and Nathan the prophet there anoint him king over Israel. Then blow the trumpet and say, ‘Long live King Solomon!’ 35You shall then come up after him, and he shall come and sit on my throne, for he shall be king in my place. And I have appointed him to be ruler over Israel and over Judah.” 36And Benaiah the son of Jehoiada answered the king, “Amen! May the LORD, the God of my lord the king, say so. 37As the LORD has been with my lord the king, even so may he be with Solomon, and make his throne greater than the throne of my lord King David.”
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-38So Zadok the priest, Nathan the prophet, and Benaiah the son of Jehoiada, and the Cherethites and the Pelethites went down and had Solomon ride on King David's mule and brought him to Gihon. 39There Zadok the priest took the horn of oil from the tent and anointed Solomon. Then they blew the trumpet, and all the people said, “Long live King Solomon!” 40And all the people went up after him, playing on pipes, and rejoicing with great joy, so that the earth was split by their noise.
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-41Adonijah and all the guests who were with him heard it as they finished feasting. And when Joab heard the sound of the trumpet, he said, “What does this uproar in the city mean?” 42While he was still speaking, behold, Jonathan the son of Abiathar the priest came. And Adonijah said, “Come in, for you are a worthy man and bring good news.” 43Jonathan answered Adonijah, “No, for our lord King David has made Solomon king, 44and the king has sent with him Zadok the priest, Nathan the prophet, and Benaiah the son of Jehoiada, and the Cherethites and the Pelethites. And they had him ride on the king's mule. 45And Zadok the priest and Nathan the prophet have anointed him king at Gihon, and they have gone up from there rejoicing, so that the city is in an uproar. This is the noise that you have heard. 46Solomon sits on the royal throne. 47Moreover, the king's servants came to congratulate our lord King David, saying, ‘May your God make the name of Solomon more famous than yours, and make his throne greater than your throne.’ And the king bowed himself on the bed. 48And the king also said, ‘Blessed be the LORD, the God of Israel, who has granted someone[4] to sit on my throne this day, my own eyes seeing it.’”
-
-49Then all the guests of Adonijah trembled and rose, and each went his own way. 50And Adonijah feared Solomon. So he arose and went and took hold of the horns of the altar. 51Then it was told Solomon, “Behold, Adonijah fears King Solomon, for behold, he has laid hold of the horns of the altar, saying, ‘Let King Solomon swear to me first that he will not put his servant to death with the sword.’” 52And Solomon said, “If he will show himself a worthy man, not one of his hairs shall fall to the earth, but if wickedness is found in him, he shall die.” 53So King Solomon sent, and they brought him down from the altar. And he came and paid homage to King Solomon, and Solomon said to him, “Go to your house.”
-
-
-
-
-
-David's Instructions to Solomon
-
-
-2:1 When David's time to die drew near, he commanded Solomon his son, saying, 2“I am about to go the way of all the earth. Be strong, and show yourself a man, 3and keep the charge of the LORD your God, walking in his ways and keeping his statutes, his commandments, his rules, and his testimonies, as it is written in the Law of Moses, that you may prosper in all that you do and wherever you turn, 4that the LORD may establish his word that he spoke concerning me, saying, ‘If your sons pay close attention to their way, to walk before me in faithfulness with all their heart and with all their soul, you shall not lack[5] a man on the throne of Israel.’
-
-5“Moreover, you also know what Joab the son of Zeruiah did to me, how he dealt with the two commanders of the armies of Israel, Abner the son of Ner, and Amasa the son of Jether, whom he killed, avenging[6] in time of peace for blood that had been shed in war, and putting the blood of war[7] on the belt around his[8] waist and on the sandals on his feet. 6Act therefore according to your wisdom, but do not let his gray head go down to Sheol in peace. 7But deal loyally with the sons of Barzillai the Gileadite, and let them be among those who eat at your table, for with such loyalty[9] they met me when I fled from Absalom your brother. 8And there is also with you Shimei the son of Gera, the Benjaminite from Bahurim, who cursed me with a grievous curse on the day when I went to Mahanaim. But when he came down to meet me at the Jordan, I swore to him by the LORD, saying, ‘I will not put you to death with the sword.’ 9Now therefore do not hold him guiltless, for you are a wise man. You will know what you ought to do to him, and you shall bring his gray head down with blood to Sheol.”
-
-
-
-
-
-The Death of David
-
-
-10Then David slept with his fathers and was buried in the city of David. 11And the time that David reigned over Israel was forty years. He reigned seven years in Hebron and thirty-three years in Jerusalem. 12So Solomon sat on the throne of David his father, and his kingdom was firmly established.
-
-
-
-
-
-Solomon's Reign Established
-
-
-13Then Adonijah the son of Haggith came to Bathsheba the mother of Solomon. And she said, “Do you come peacefully?” He said, “Peacefully.” 14Then he said, “I have something to say to you.” She said, “Speak.” 15He said, “You know that the kingdom was mine, and that all Israel fully expected me to reign. However, the kingdom has turned about and become my brother's, for it was his from the LORD. 16And now I have one request to make of you; do not refuse me.” She said to him, “Speak.” 17And he said, “Please ask King Solomon—he will not refuse you—to give me Abishag the Shunammite as my wife.” 18Bathsheba said, “Very well; I will speak for you to the king.”
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-19So Bathsheba went to King Solomon to speak to him on behalf of Adonijah. And the king rose to meet her and bowed down to her. Then he sat on his throne and had a seat brought for the king's mother, and she sat on his right. 20Then she said, “I have one small request to make of you; do not refuse me.” And the king said to her, “Make your request, my mother, for I will not refuse you.” 21She said, “Let Abishag the Shunammite be given to Adonijah your brother as his wife.” 22King Solomon answered his mother, “And why do you ask Abishag the Shunammite for Adonijah? Ask for him the kingdom also, for he is my older brother, and on his side are Abiathar[10] the priest and Joab the son of Zeruiah.” 23Then King Solomon swore by the LORD, saying, “God do so to me and more also if this word does not cost Adonijah his life! 24Now therefore as the LORD lives, who has established me and placed me on the throne of David my father, and who has made me a house, as he promised, Adonijah shall be put to death today.” 25So King Solomon sent Benaiah the son of Jehoiada, and he struck him down, and he died.
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-26And to Abiathar the priest the king said, “Go to Anathoth, to your estate, for you deserve death. But I will not at this time put you to death, because you carried the ark of the Lord GOD before David my father, and because you shared in all my father's affliction.” 27So Solomon expelled Abiathar from being priest to the LORD, thus fulfilling the word of the LORD that he had spoken concerning the house of Eli in Shiloh.
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-28When the news came to Joab—for Joab had supported Adonijah although he had not supported Absalom—Joab fled to the tent of the LORD and caught hold of the horns of the altar. 29And when it was told King Solomon, “Joab has fled to the tent of the LORD, and behold, he is beside the altar,” Solomon sent Benaiah the son of Jehoiada, saying, “Go, strike him down.” 30So Benaiah came to the tent of the LORD and said to him, “The king commands, ‘Come out.’” But he said, “No, I will die here.” Then Benaiah brought the king word again, saying, “Thus said Joab, and thus he answered me.” 31The king replied to him, “Do as he has said, strike him down and bury him, and thus take away from me and from my father's house the guilt for the blood that Joab shed without cause. 32The LORD will bring back his bloody deeds on his own head, because, without the knowledge of my father David, he attacked and killed with the sword two men more righteous and better than himself, Abner the son of Ner, commander of the army of Israel, and Amasa the son of Jether, commander of the army of Judah. 33So shall their blood come back on the head of Joab and on the head of his descendants forever. But for David and for his descendants and for his house and for his throne there shall be peace from the LORD forevermore.” 34Then Benaiah the son of Jehoiada went up and struck him down and put him to death. And he was buried in his own house in the wilderness. 35The king put Benaiah the son of Jehoiada over the army in place of Joab, and the king put Zadok the priest in the place of Abiathar.
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-36Then the king sent and summoned Shimei and said to him, “Build yourself a house in Jerusalem and dwell there, and do not go out from there to any place whatever. 37For on the day you go out and cross the brook Kidron, know for certain that you shall die. Your blood shall be on your own head.” 38And Shimei said to the king, “What you say is good; as my lord the king has said, so will your servant do.” So Shimei lived in Jerusalem many days.
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-39But it happened at the end of three years that two of Shimei's servants ran away to Achish, son of Maacah, king of Gath. And when it was told Shimei, “Behold, your servants are in Gath,” 40Shimei arose and saddled a donkey and went to Gath to Achish to seek his servants. Shimei went and brought his servants from Gath. 41And when Solomon was told that Shimei had gone from Jerusalem to Gath and returned, 42the king sent and summoned Shimei and said to him, “Did I not make you swear by the LORD and solemnly warn you, saying, ‘Know for certain that on the day you go out and go to any place whatever, you shall die’? And you said to me, ‘What you say is good; I will obey.’ 43Why then have you not kept your oath to the LORD and the commandment with which I commanded you?” 44The king also said to Shimei, “You know in your own heart all the harm that you did to David my father. So the LORD will bring back your harm on your own head. 45But King Solomon shall be blessed, and the throne of David shall be established before the LORD forever.” 46Then the king commanded Benaiah the son of Jehoiada, and he went out and struck him down, and he died.
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-So the kingdom was established in the hand of Solomon.
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-Solomon's Prayer for Wisdom
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-3:1 Solomon made a marriage alliance with Pharaoh king of Egypt. He took Pharaoh's daughter and brought her into the city of David until he had finished building his own house and the house of the LORD and the wall around Jerusalem. 2The people were sacrificing at the high places, however, because no house had yet been built for the name of the LORD.
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-3Solomon loved the LORD, walking in the statutes of David his father, only he sacrificed and made offerings at the high places. 4And the king went to Gibeon to sacrifice there, for that was the great high place. Solomon used to offer a thousand burnt offerings on that altar. 5At Gibeon the LORD appeared to Solomon in a dream by night, and God said, “Ask what I shall give you.” 6And Solomon said, “You have shown great and steadfast love to your servant David my father, because he walked before you in faithfulness, in righteousness, and in uprightness of heart toward you. And you have kept for him this great and steadfast love and have given him a son to sit on his throne this day. 7And now, O LORD my God, you have made your servant king in place of David my father, although I am but a little child. I do not know how to go out or come in. 8And your servant is in the midst of your people whom you have chosen, a great people, too many to be numbered or counted for multitude. 9Give your servant therefore an understanding mind to govern your people, that I may discern between good and evil, for who is able to govern this your great people?”
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-10It pleased the Lord that Solomon had asked this. 11And God said to him, “Because you have asked this, and have not asked for yourself long life or riches or the life of your enemies, but have asked for yourself understanding to discern what is right, 12behold, I now do according to your word. Behold, I give you a wise and discerning mind, so that none like you has been before you and none like you shall arise after you. 13I give you also what you have not asked, both riches and honor, so that no other king shall compare with you, all your days. 14And if you will walk in my ways, keeping my statutes and my commandments, as your father David walked, then I will lengthen your days.”
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-15And Solomon awoke, and behold, it was a dream. Then he came to Jerusalem and stood before the ark of the covenant of the Lord, and offered up burnt offerings and peace offerings, and made a feast for all his servants.
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-Solomon's Wisdom
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-16Then two prostitutes came to the king and stood before him. 17The one woman said, “Oh, my lord, this woman and I live in the same house, and I gave birth to a child while she was in the house. 18Then on the third day after I gave birth, this woman also gave birth. And we were alone. There was no one else with us in the house; only we two were in the house. 19And this woman's son died in the night, because she lay on him. 20And she arose at midnight and took my son from beside me, while your servant slept, and laid him at her breast, and laid her dead son at my breast. 21When I rose in the morning to nurse my child, behold, he was dead. But when I looked at him closely in the morning, behold, he was not the child that I had borne.” 22But the other woman said, “No, the living child is mine, and the dead child is yours.” The first said, “No, the dead child is yours, and the living child is mine.” Thus they spoke before the king.
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-23Then the king said, “The one says, ‘This is my son that is alive, and your son is dead’; and the other says, ‘No; but your son is dead, and my son is the living one.’” 24And the king said, “Bring me a sword.” So a sword was brought before the king. 25And the king said, “Divide the living child in two, and give half to the one and half to the other.” 26Then the woman whose son was alive said to the king, because her heart yearned for her son, “Oh, my lord, give her the living child, and by no means put him to death.” But the other said, “He shall be neither mine nor yours; divide him.” 27Then the king answered and said, “Give the living child to the first woman, and by no means put him to death; she is his mother.” 28And all Israel heard of the judgment that the king had rendered, and they stood in awe of the king, because they perceived that the wisdom of God was in him to do justice.
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-Solomon's Officials
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-4:1 King Solomon was king over all Israel, 2and these were his high officials: Azariah the son of Zadok was the priest; 3Elihoreph and Ahijah the sons of Shisha were secretaries; Jehoshaphat the son of Ahilud was recorder; 4Benaiah the son of Jehoiada was in command of the army; Zadok and Abiathar were priests; 5Azariah the son of Nathan was over the officers; Zabud the son of Nathan was priest and king's friend; 6Ahishar was in charge of the palace; and Adoniram the son of Abda was in charge of the forced labor.
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-7Solomon had twelve officers over all Israel, who provided food for the king and his household. Each man had to make provision for one month in the year. 8These were their names: Ben-hur, in the hill country of Ephraim; 9Ben-deker, in Makaz, Shaalbim, Beth-shemesh, and Elonbeth-hanan; 10Ben-hesed, in Arubboth (to him belonged Socoh and all the land of Hepher); 11Ben-abinadab, in all Naphath-dor (he had Taphath the daughter of Solomon as his wife); 12Baana the son of Ahilud, in Taanach, Megiddo, and all Beth-shean that is beside Zarethan below Jezreel, and from Beth-shean to Abel-meholah, as far as the other side of Jokmeam; 13Ben-geber, in Ramoth-gilead (he had the villages of Jair the son of Manasseh, which are in Gilead, and he had the region of Argob, which is in Bashan, sixty great cities with walls and bronze bars); 14Ahinadab the son of Iddo, in Mahanaim; 15Ahimaaz, in Naphtali (he had taken Basemath the daughter of Solomon as his wife); 16Baana the son of Hushai, in Asher and Bealoth; 17Jehoshaphat the son of Paruah, in Issachar; 18Shimei the son of Ela, in Benjamin; 19Geber the son of Uri, in the land of Gilead, the country of Sihon king of the Amorites and of Og king of Bashan. And there was one governor who was over the land.
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-Solomon's Wealth and Wisdom
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-20Judah and Israel were as many as the sand by the sea. They ate and drank and were happy. 21[11] Solomon ruled over all the kingdoms from the Euphrates to the land of the Philistines and to the border of Egypt. They brought tribute and served Solomon all the days of his life.
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-22Solomon's provision for one day was thirty cors[12] of fine flour and sixty cors of meal, 23ten fat oxen, and twenty pasture-fed cattle, a hundred sheep, besides deer, gazelles, roebucks, and fattened fowl. 24For he had dominion over all the region west of the Euphrates from Tiphsah to Gaza, over all the kings west of the Euphrates. And he had peace on all sides around him. 25And Judah and Israel lived in safety, from Dan even to Beersheba, every man under his vine and under his fig tree, all the days of Solomon. 26Solomon also had 40,000 stalls of horses for his chariots, and 12,000 horsemen. 27And those officers supplied provisions for King Solomon, and for all who came to King Solomon's table, each one in his month. They let nothing be lacking. 28Barley also and straw for the horses and swift steeds they brought to the place where it was required, each according to his duty.
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-29And God gave Solomon wisdom and understanding beyond measure, and breadth of mind like the sand on the seashore, 30so that Solomon's wisdom surpassed the wisdom of all the people of the east and all the wisdom of Egypt. 31For he was wiser than all other men, wiser than Ethan the Ezrahite, and Heman, Calcol, and Darda, the sons of Mahol, and his fame was in all the surrounding nations. 32He also spoke 3,000 proverbs, and his songs were 1,005. 33He spoke of trees, from the cedar that is in Lebanon to the hyssop that grows out of the wall. He spoke also of beasts, and of birds, and of reptiles, and of fish. 34And people of all nations came to hear the wisdom of Solomon, and from all the kings of the earth, who had heard of his wisdom.
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-Preparations for Building the Temple
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-5:1 [13] Now Hiram king of Tyre sent his servants to Solomon when he heard that they had anointed him king in place of his father, for Hiram always loved David. 2And Solomon sent word to Hiram, 3“You know that David my father could not build a house for the name of the LORD his God because of the warfare with which his enemies surrounded him, until the LORD put them under the soles of his feet. 4But now the LORD my God has given me rest on every side. There is neither adversary nor misfortune. 5And so I intend to build a house for the name of the LORD my God, as the LORD said to David my father, ‘Your son, whom I will set on your throne in your place, shall build the house for my name.’ 6Now therefore command that cedars of Lebanon be cut for me. And my servants will join your servants, and I will pay you for your servants such wages as you set, for you know that there is no one among us who knows how to cut timber like the Sidonians.”
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-7As soon as Hiram heard the words of Solomon, he rejoiced greatly and said, “Blessed be the LORD this day, who has given to David a wise son to be over this great people.” 8And Hiram sent to Solomon, saying, “I have heard the message that you have sent to me. I am ready to do all you desire in the matter of cedar and cypress timber. 9My servants shall bring it down to the sea from Lebanon, and I will make it into rafts to go by sea to the place you direct. And I will have them broken up there, and you shall receive it. And you shall meet my wishes by providing food for my household.” 10So Hiram supplied Solomon with all the timber of cedar and cypress that he desired, 11while Solomon gave Hiram 20,000 cors[14] of wheat as food for his household, and 20,000[15] cors of beaten oil. Solomon gave this to Hiram year by year. 12And the LORD gave Solomon wisdom, as he promised him. And there was peace between Hiram and Solomon, and the two of them made a treaty.
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-13King Solomon drafted forced labor out of all Israel, and the draft numbered 30,000 men. 14And he sent them to Lebanon, 10,000 a month in shifts. They would be a month in Lebanon and two months at home. Adoniram was in charge of the draft. 15Solomon also had 70,000 burden-bearers and 80,000 stonecutters in the hill country, 16besides Solomon's 3,300 chief officers who were over the work, who had charge of the people who carried on the work. 17At the king's command they quarried out great, costly stones in order to lay the foundation of the house with dressed stones. 18So Solomon's builders and Hiram's builders and the men of Gebal did the cutting and prepared the timber and the stone to build the house.
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-Solomon Builds the Temple
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-6:1 In the four hundred and eightieth year after the people of Israel came out of the land of Egypt, in the fourth year of Solomon's reign over Israel, in the month of Ziv, which is the second month, he began to build the house of the LORD. 2The house that King Solomon built for the LORD was sixty cubits[16] long, twenty cubits wide, and thirty cubits high. 3The vestibule in front of the nave of the house was twenty cubits long, equal to the width of the house, and ten cubits deep in front of the house. 4And he made for the house windows with recessed frames.[17] 5He also built a structure[18] against the wall of the house, running around the walls of the house, both the nave and the inner sanctuary. And he made side chambers all around. 6The lowest story[19] was five cubits broad, the middle one was six cubits broad, and the third was seven cubits broad. For around the outside of the house he made offsets on the wall in order that the supporting beams should not be inserted into the walls of the house.
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-7When the house was built, it was with stone prepared at the quarry, so that neither hammer nor axe nor any tool of iron was heard in the house while it was being built.
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-8The entrance for the lowest[20] story was on the south side of the house, and one went up by stairs to the middle story, and from the middle story to the third. 9So he built the house and finished it, and he made the ceiling of the house of beams and planks of cedar. 10He built the structure against the whole house, five cubits high, and it was joined to the house with timbers of cedar.
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-11Now the word of the LORD came to Solomon, 12“Concerning this house that you are building, if you will walk in my statutes and obey my rules and keep all my commandments and walk in them, then I will establish my word with you, which I spoke to David your father. 13And I will dwell among the children of Israel and will not forsake my people Israel.”
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-14So Solomon built the house and finished it. 15He lined the walls of the house on the inside with boards of cedar. From the floor of the house to the walls of the ceiling, he covered them on the inside with wood, and he covered the floor of the house with boards of cypress. 16He built twenty cubits of the rear of the house with boards of cedar from the floor to the walls, and he built this within as an inner sanctuary, as the Most Holy Place. 17The house, that is, the nave in front of the inner sanctuary, was forty cubits long. 18The cedar within the house was carved in the form of gourds and open flowers. All was cedar; no stone was seen. 19The inner sanctuary he prepared in the innermost part of the house, to set there the ark of the covenant of the LORD. 20The inner sanctuary[21] was twenty cubits long, twenty cubits wide, and twenty cubits high, and he overlaid it with pure gold. He also overlaid[22] an altar of cedar. 21And Solomon overlaid the inside of the house with pure gold, and he drew chains of gold across, in front of the inner sanctuary, and overlaid it with gold. 22And he overlaid the whole house with gold, until all the house was finished. Also the whole altar that belonged to the inner sanctuary he overlaid with gold.
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-23In the inner sanctuary he made two cherubim of olivewood, each ten cubits high. 24Five cubits was the length of one wing of the cherub, and five cubits the length of the other wing of the cherub; it was ten cubits from the tip of one wing to the tip of the other. 25The other cherub also measured ten cubits; both cherubim had the same measure and the same form. 26The height of one cherub was ten cubits, and so was that of the other cherub. 27He put the cherubim in the innermost part of the house. And the wings of the cherubim were spread out so that a wing of one touched the one wall, and a wing of the other cherub touched the other wall; their other wings touched each other in the middle of the house. 28And he overlaid the cherubim with gold.
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-29Around all the walls of the house he carved engraved figures of cherubim and palm trees and open flowers, in the inner and outer rooms. 30The floor of the house he overlaid with gold in the inner and outer rooms.
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-31For the entrance to the inner sanctuary he made doors of olivewood; the lintel and the doorposts were five-sided.[23] 32He covered the two doors of olivewood with carvings of cherubim, palm trees, and open flowers. He overlaid them with gold and spread gold on the cherubim and on the palm trees.
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-33So also he made for the entrance to the nave doorposts of olivewood, in the form of a square, 34and two doors of cypress wood. The two leaves of the one door were folding, and the two leaves of the other door were folding. 35On them he carved cherubim and palm trees and open flowers, and he overlaid them with gold evenly applied on the carved work. 36He built the inner court with three courses of cut stone and one course of cedar beams.
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-37In the fourth year the foundation of the house of the LORD was laid, in the month of Ziv. 38And in the eleventh year, in the month of Bul, which is the eighth month, the house was finished in all its parts, and according to all its specifications. He was seven years in building it.
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-Solomon Builds His Palace
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-7:1 Solomon was building his own house thirteen years, and he finished his entire house.
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-2He built the House of the Forest of Lebanon. Its length was a hundred cubits[24] and its breadth fifty cubits and its height thirty cubits, and it was built on four[25] rows of cedar pillars, with cedar beams on the pillars. 3And it was covered with cedar above the chambers that were on the forty-five pillars, fifteen in each row. 4There were window frames in three rows, and window opposite window in three tiers. 5All the doorways and windows[26] had square frames, and window was opposite window in three tiers.
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-6And he made the Hall of Pillars; its length was fifty cubits, and its breadth thirty cubits. There was a porch in front with pillars, and a canopy in front of them.
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-7And he made the Hall of the Throne where he was to pronounce judgment, even the Hall of Judgment. It was finished with cedar from floor to rafters.[27]
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-8His own house where he was to dwell, in the other court back of the hall, was of like workmanship. Solomon also made a house like this hall for Pharaoh's daughter whom he had taken in marriage.
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-9All these were made of costly stones, cut according to measure, sawed with saws, back and front, even from the foundation to the coping, and from the outside to the great court. 10The foundation was of costly stones, huge stones, stones of eight and ten cubits. 11And above were costly stones, cut according to measurement, and cedar. 12The great court had three courses of cut stone all around, and a course of cedar beams; so had the inner court of the house of the LORD and the vestibule of the house.
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-The Temple Furnishings
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-13And King Solomon sent and brought Hiram from Tyre. 14He was the son of a widow of the tribe of Naphtali, and his father was a man of Tyre, a worker in bronze. And he was full of wisdom, understanding, and skill for making any work in bronze. He came to King Solomon and did all his work.
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-15He cast two pillars of bronze. Eighteen cubits was the height of one pillar, and a line of twelve cubits measured its circumference. It was hollow, and its thickness was four fingers. The second pillar was the same.[28] 16He also made two capitals of cast bronze to set on the tops of the pillars. The height of the one capital was five cubits, and the height of the other capital was five cubits. 17There were lattices of checker work with wreaths of chain work for the capitals on the tops of the pillars, a lattice[29] for the one capital and a lattice for the other capital. 18Likewise he made pomegranates[30] in two rows around the one latticework to cover the capital that was on the top of the pillar, and he did the same with the other capital. 19Now the capitals that were on the tops of the pillars in the vestibule were of lily-work, four cubits. 20The capitals were on the two pillars and also above the rounded projection which was beside the latticework. There were two hundred pomegranates in two rows all around, and so with the other capital. 21He set up the pillars at the vestibule of the temple. He set up the pillar on the south and called its name Jachin, and he set up the pillar on the north and called its name Boaz. 22And on the tops of the pillars was lily-work. Thus the work of the pillars was finished.
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-23Then he made the sea of cast metal. It was round, ten cubits from brim to brim, and five cubits high, and a line of thirty cubits measured its circumference. 24Under its brim were gourds, for ten cubits, compassing the sea all around. The gourds were in two rows, cast with it when it was cast. 25It stood on twelve oxen, three facing north, three facing west, three facing south, and three facing east. The sea was set on them, and all their rear parts were inward. 26Its thickness was a handbreadth,[31] and its brim was made like the brim of a cup, like the flower of a lily. It held two thousand baths.[32]
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-27He also made the ten stands of bronze. Each stand was four cubits long, four cubits wide, and three cubits high. 28This was the construction of the stands: they had panels, and the panels were set in the frames, 29and on the panels that were set in the frames were lions, oxen, and cherubim. On the frames, both above and below the lions and oxen, there were wreaths of beveled work. 30Moreover, each stand had four bronze wheels and axles of bronze, and at the four corners were supports for a basin. The supports were cast with wreaths at the side of each. 31Its opening was within a crown that projected upward one cubit. Its opening was round, as a pedestal is made, a cubit and a half deep. At its opening there were carvings, and its panels were square, not round. 32And the four wheels were underneath the panels. The axles of the wheels were of one piece with the stands, and the height of a wheel was a cubit and a half. 33The wheels were made like a chariot wheel; their axles, their rims, their spokes, and their hubs were all cast. 34There were four supports at the four corners of each stand. The supports were of one piece with the stands. 35And on the top of the stand there was a round band half a cubit high; and on the top of the stand its stays and its panels were of one piece with it. 36And on the surfaces of its stays and on its panels, he carved cherubim, lions, and palm trees, according to the space of each, with wreaths all around. 37After this manner he made the ten stands. All of them were cast alike, of the same measure and the same form.
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-38And he made ten basins of bronze. Each basin held forty baths, each basin measured four cubits, and there was a basin for each of the ten stands. 39And he set the stands, five on the south side of the house, and five on the north side of the house. And he set the sea at the southeast corner of the house.
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-40Hiram also made the pots, the shovels, and the basins. So Hiram finished all the work that he did for King Solomon on the house of the LORD: 41the two pillars, the two bowls of the capitals that were on the tops of the pillars, and the two latticeworks to cover the two bowls of the capitals that were on the tops of the pillars; 42and the four hundred pomegranates for the two latticeworks, two rows of pomegranates for each latticework, to cover the two bowls of the capitals that were on the pillars; 43the ten stands, and the ten basins on the stands; 44and the one sea, and the twelve oxen underneath the sea.
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-45Now the pots, the shovels, and the basins, all these vessels in the house of the LORD, which Hiram made for King Solomon, were of burnished bronze. 46In the plain of the Jordan the king cast them, in the clay ground between Succoth and Zarethan. 47And Solomon left all the vessels unweighed, because there were so many of them; the weight of the bronze was not ascertained.
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-48So Solomon made all the vessels that were in the house of the LORD: the golden altar, the golden table for the bread of the Presence, 49the lampstands of pure gold, five on the south side and five on the north, before the inner sanctuary; the flowers, the lamps, and the tongs, of gold; 50the cups, snuffers, basins, dishes for incense, and fire pans, of pure gold; and the sockets of gold, for the doors of the innermost part of the house, the Most Holy Place, and for the doors of the nave of the temple.
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-51Thus all the work that King Solomon did on the house of the LORD was finished. And Solomon brought in the things that David his father had dedicated, the silver, the gold, and the vessels, and stored them in the treasuries of the house of the LORD.
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-The Ark Brought into the Temple
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-8:1 Then Solomon assembled the elders of Israel and all the heads of the tribes, the leaders of the fathers' houses of the people of Israel, before King Solomon in Jerusalem, to bring up the ark of the covenant of the LORD out of the city of David, which is Zion. 2And all the men of Israel assembled to King Solomon at the feast in the month Ethanim, which is the seventh month. 3And all the elders of Israel came, and the priests took up the ark. 4And they brought up the ark of the LORD, the tent of meeting, and all the holy vessels that were in the tent; the priests and the Levites brought them up. 5And King Solomon and all the congregation of Israel, who had assembled before him, were with him before the ark, sacrificing so many sheep and oxen that they could not be counted or numbered. 6Then the priests brought the ark of the covenant of the LORD to its place in the inner sanctuary of the house, in the Most Holy Place, underneath the wings of the cherubim. 7For the cherubim spread out their wings over the place of the ark, so that the cherubim overshadowed the ark and its poles. 8And the poles were so long that the ends of the poles were seen from the Holy Place before the inner sanctuary; but they could not be seen from outside. And they are there to this day. 9There was nothing in the ark except the two tablets of stone that Moses put there at Horeb, where the LORD made a covenant with the people of Israel, when they came out of the land of Egypt. 10And when the priests came out of the Holy Place, a cloud filled the house of the LORD, 11so that the priests could not stand to minister because of the cloud, for the glory of the LORD filled the house of the LORD.
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-Solomon Blesses the LORD
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-12Then Solomon said, “The LORD[33] has said that he would dwell in thick darkness. 13I have indeed built you an exalted house, a place for you to dwell in forever.” 14Then the king turned around and blessed all the assembly of Israel, while all the assembly of Israel stood. 15And he said, “Blessed be the LORD, the God of Israel, who with his hand has fulfilled what he promised with his mouth to David my father, saying, 16‘Since the day that I brought my people Israel out of Egypt, I chose no city out of all the tribes of Israel in which to build a house, that my name might be there. But I chose David to be over my people Israel.’ 17Now it was in the heart of David my father to build a house for the name of the LORD, the God of Israel. 18But the LORD said to David my father, ‘Whereas it was in your heart to build a house for my name, you did well that it was in your heart. 19Nevertheless, you shall not build the house, but your son who shall be born to you shall build the house for my name.’ 20Now the LORD has fulfilled his promise that he made. For I have risen in the place of David my father, and sit on the throne of Israel, as the LORD promised, and I have built the house for the name of the LORD, the God of Israel. 21And there I have provided a place for the ark, in which is the covenant of the LORD that he made with our fathers, when he brought them out of the land of Egypt.”
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-Solomon's Prayer of Dedication
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-22Then Solomon stood before the altar of the LORD in the presence of all the assembly of Israel and spread out his hands toward heaven, 23and said, “O LORD, God of Israel, there is no God like you, in heaven above or on earth beneath, keeping covenant and showing steadfast love to your servants who walk before you with all their heart, 24who have kept with your servant David my father what you declared to him. You spoke with your mouth, and with your hand have fulfilled it this day. 25Now therefore, O LORD, God of Israel, keep for your servant David my father what you have promised him, saying, ‘You shall not lack a man to sit before me on the throne of Israel, if only your sons pay close attention to their way, to walk before me as you have walked before me.’ 26Now therefore, O God of Israel, let your word be confirmed, which you have spoken to your servant David my father.
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-27“But will God indeed dwell on the earth? Behold, heaven and the highest heaven cannot contain you; how much less this house that I have built! 28Yet have regard to the prayer of your servant and to his plea, O LORD my God, listening to the cry and to the prayer that your servant prays before you this day, 29that your eyes may be open night and day toward this house, the place of which you have said, ‘My name shall be there,’ that you may listen to the prayer that your servant offers toward this place. 30And listen to the plea of your servant and of your people Israel, when they pray toward this place. And listen in heaven your dwelling place, and when you hear, forgive.
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-31“If a man sins against his neighbor and is made to take an oath and comes and swears his oath before your altar in this house, 32then hear in heaven and act and judge your servants, condemning the guilty by bringing his conduct on his own head, and vindicating the righteous by rewarding him according to his righteousness.
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-33“When your people Israel are defeated before the enemy because they have sinned against you, and if they turn again to you and acknowledge your name and pray and plead with you in this house, 34then hear in heaven and forgive the sin of your people Israel and bring them again to the land that you gave to their fathers.
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-35“When heaven is shut up and there is no rain because they have sinned against you, if they pray toward this place and acknowledge your name and turn from their sin, when you afflict them, 36then hear in heaven and forgive the sin of your servants, your people Israel, when you teach them the good way in which they should walk, and grant rain upon your land, which you have given to your people as an inheritance.
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-37“If there is famine in the land, if there is pestilence or blight or mildew or locust or caterpillar, if their enemy besieges them in the land at their gates,[34] whatever plague, whatever sickness there is, 38whatever prayer, whatever plea is made by any man or by all your people Israel, each knowing the affliction of his own heart and stretching out his hands toward this house, 39then hear in heaven your dwelling place and forgive and act and render to each whose heart you know, according to all his ways (for you, you only, know the hearts of all the children of mankind), 40that they may fear you all the days that they live in the land that you gave to our fathers.
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-41“Likewise, when a foreigner, who is not of your people Israel, comes from a far country for your name's sake 42(for they shall hear of your great name and your mighty hand, and of your outstretched arm), when he comes and prays toward this house, 43hear in heaven your dwelling place and do according to all for which the foreigner calls to you, in order that all the peoples of the earth may know your name and fear you, as do your people Israel, and that they may know that this house that I have built is called by your name.
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-44“If your people go out to battle against their enemy, by whatever way you shall send them, and they pray to the LORD toward the city that you have chosen and the house that I have built for your name, 45then hear in heaven their prayer and their plea, and maintain their cause.
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-46“If they sin against you—for there is no one who does not sin—and you are angry with them and give them to an enemy, so that they are carried away captive to the land of the enemy, far off or near, 47yet if they turn their heart in the land to which they have been carried captive, and repent and plead with you in the land of their captors, saying, ‘We have sinned and have acted perversely and wickedly,’ 48if they repent with all their mind and with all their heart in the land of their enemies, who carried them captive, and pray to you toward their land, which you gave to their fathers, the city that you have chosen, and the house that I have built for your name, 49then hear in heaven your dwelling place their prayer and their plea, and maintain their cause 50and forgive your people who have sinned against you, and all their transgressions that they have committed against you, and grant them compassion in the sight of those who carried them captive, that they may have compassion on them 51(for they are your people, and your heritage, which you brought out of Egypt, from the midst of the iron furnace). 52Let your eyes be open to the plea of your servant and to the plea of your people Israel, giving ear to them whenever they call to you. 53For you separated them from among all the peoples of the earth to be your heritage, as you declared through Moses your servant, when you brought our fathers out of Egypt, O Lord GOD.”
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-Solomon's Benediction
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-54Now as Solomon finished offering all this prayer and plea to the LORD, he arose from before the altar of the LORD, where he had knelt with hands outstretched toward heaven. 55And he stood and blessed all the assembly of Israel with a loud voice, saying, 56“Blessed be the LORD who has given rest to his people Israel, according to all that he promised. Not one word has failed of all his good promise, which he spoke by Moses his servant. 57The LORD our God be with us, as he was with our fathers. May he not leave us or forsake us, 58that he may incline our hearts to him, to walk in all his ways and to keep his commandments, his statutes, and his rules, which he commanded our fathers. 59Let these words of mine, with which I have pleaded before the LORD, be near to the LORD our God day and night, and may he maintain the cause of his servant and the cause of his people Israel, as each day requires, 60that all the peoples of the earth may know that the LORD is God; there is no other. 61Let your heart therefore be wholly true to the LORD our God, walking in his statutes and keeping his commandments, as at this day.”
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-Solomon's Sacrifices
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-62Then the king, and all Israel with him, offered sacrifice before the LORD. 63Solomon offered as peace offerings to the LORD 22,000 oxen and 120,000 sheep. So the king and all the people of Israel dedicated the house of the LORD. 64The same day the king consecrated the middle of the court that was before the house of the LORD, for there he offered the burnt offering and the grain offering and the fat pieces of the peace offerings, because the bronze altar that was before the LORD was too small to receive the burnt offering and the grain offering and the fat pieces of the peace offerings.
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-65So Solomon held the feast at that time, and all Israel with him, a great assembly, from Lebo-hamath to the Brook of Egypt, before the LORD our God, seven days.[35] 66On the eighth day he sent the people away, and they blessed the king and went to their homes joyful and glad of heart for all the goodness that the LORD had shown to David his servant and to Israel his people.
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-The LORD Appears to Solomon
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-9:1 As soon as Solomon had finished building the house of the LORD and the king's house and all that Solomon desired to build, 2the LORD appeared to Solomon a second time, as he had appeared to him at Gibeon. 3And the LORD said to him, “I have heard your prayer and your plea, which you have made before me. I have consecrated this house that you have built, by putting my name there forever. My eyes and my heart will be there for all time. 4And as for you, if you will walk before me, as David your father walked, with integrity of heart and uprightness, doing according to all that I have commanded you, and keeping my statutes and my rules, 5then I will establish your royal throne over Israel forever, as I promised David your father, saying, ‘You shall not lack a man on the throne of Israel.’ 6But if you turn aside from following me, you or your children, and do not keep my commandments and my statutes that I have set before you, but go and serve other gods and worship them, 7then I will cut off Israel from the land that I have given them, and the house that I have consecrated for my name I will cast out of my sight, and Israel will become a proverb and a byword among all peoples. 8And this house will become a heap of ruins.[36] Everyone passing by it will be astonished and will hiss, and they will say, ‘Why has the LORD done thus to this land and to this house?’ 9Then they will say, ‘Because they abandoned the LORD their God who brought their fathers out of the land of Egypt and laid hold on other gods and worshiped them and served them. Therefore the LORD has brought all this disaster on them.’”
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-Solomon's Other Acts
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-10At the end of twenty years, in which Solomon had built the two houses, the house of the LORD and the king's house, 11and Hiram king of Tyre had supplied Solomon with cedar and cypress timber and gold, as much as he desired, King Solomon gave to Hiram twenty cities in the land of Galilee. 12But when Hiram came from Tyre to see the cities that Solomon had given him, they did not please him. 13Therefore he said, “What kind of cities are these that you have given me, my brother?” So they are called the land of Cabul to this day. 14Hiram had sent to the king 120 talents[37] of gold.
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-15And this is the account of the forced labor that King Solomon drafted to build the house of the LORD and his own house and the Millo and the wall of Jerusalem and Hazor and Megiddo and Gezer 16(Pharaoh king of Egypt had gone up and captured Gezer and burned it with fire, and had killed the Canaanites who lived in the city, and had given it as dowry to his daughter, Solomon's wife; 17so Solomon rebuilt Gezer) and Lower Beth-horon 18and Baalath and Tamar in the wilderness, in the land of Judah,[38] 19and all the store cities that Solomon had, and the cities for his chariots, and the cities for his horsemen, and whatever Solomon desired to build in Jerusalem, in Lebanon, and in all the land of his dominion. 20All the people who were left of the Amorites, the Hittites, the Perizzites, the Hivites, and the Jebusites, who were not of the people of Israel— 21their descendants who were left after them in the land, whom the people of Israel were unable to devote to destruction[39]—these Solomon drafted to be slaves, and so they are to this day. 22But of the people of Israel Solomon made no slaves. They were the soldiers, they were his officials, his commanders, his captains, his chariot commanders and his horsemen.
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-23These were the chief officers who were over Solomon's work: 550 who had charge of the people who carried on the work.
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-24But Pharaoh's daughter went up from the city of David to her own house that Solomon had built for her. Then he built the Millo.
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-25Three times a year Solomon used to offer up burnt offerings and peace offerings on the altar that he built to the LORD, making offerings with it[40] before the LORD. So he finished the house.
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-26King Solomon built a fleet of ships at Ezion-geber, which is near Eloth on the shore of the Red Sea, in the land of Edom. 27And Hiram sent with the fleet his servants, seamen who were familiar with the sea, together with the servants of Solomon. 28And they went to Ophir and brought from there gold, 420 talents, and they brought it to King Solomon.
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-The Queen of Sheba
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-10:1 Now when the queen of Sheba heard of the fame of Solomon concerning the name of the LORD, she came to test him with hard questions. 2She came to Jerusalem with a very great retinue, with camels bearing spices and very much gold and precious stones. And when she came to Solomon, she told him all that was on her mind. 3And Solomon answered all her questions; there was nothing hidden from the king that he could not explain to her. 4And when the queen of Sheba had seen all the wisdom of Solomon, the house that he had built, 5the food of his table, the seating of his officials, and the attendance of his servants, their clothing, his cupbearers, and his burnt offerings that he offered at the house of the LORD, there was no more breath in her.
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-6And she said to the king, “The report was true that I heard in my own land of your words and of your wisdom, 7but I did not believe the reports until I came and my own eyes had seen it. And behold, the half was not told me. Your wisdom and prosperity surpass the report that I heard. 8Happy are your men! Happy are your servants, who continually stand before you and hear your wisdom! 9Blessed be the LORD your God, who has delighted in you and set you on the throne of Israel! Because the LORD loved Israel forever, he has made you king, that you may execute justice and righteousness.” 10Then she gave the king 120 talents[41] of gold, and a very great quantity of spices and precious stones. Never again came such an abundance of spices as these that the queen of Sheba gave to King Solomon.
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-11Moreover, the fleet of Hiram, which brought gold from Ophir, brought from Ophir a very great amount of almug wood and precious stones. 12And the king made of the almug wood supports for the house of the LORD and for the king's house, also lyres and harps for the singers. No such almug wood has come or been seen to this day.
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-13And King Solomon gave to the queen of Sheba all that she desired, whatever she asked besides what was given her by the bounty of King Solomon. So she turned and went back to her own land with her servants.
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-Solomon's Great Wealth
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-14Now the weight of gold that came to Solomon in one year was 666 talents of gold, 15besides that which came from the explorers and from the business of the merchants, and from all the kings of the west and from the governors of the land. 16King Solomon made 200 large shields of beaten gold; 600 shekels[42] of gold went into each shield. 17And he made 300 shields of beaten gold; three minas[43] of gold went into each shield. And the king put them in the House of the Forest of Lebanon. 18The king also made a great ivory throne and overlaid it with the finest gold. 19The throne had six steps, and at the back of the throne was a calf's head, and on each side of the seat were armrests and two lions standing beside the armrests, 20while twelve lions stood there, one on each end of a step on the six steps. The like of it was never made in any kingdom. 21All King Solomon's drinking vessels were of gold, and all the vessels of the House of the Forest of Lebanon were of pure gold. None were of silver; silver was not considered as anything in the days of Solomon. 22For the king had a fleet of ships of Tarshish at sea with the fleet of Hiram. Once every three years the fleet of ships of Tarshish used to come bringing gold, silver, ivory, apes, and peacocks.[44]
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-23Thus King Solomon excelled all the kings of the earth in riches and in wisdom. 24And the whole earth sought the presence of Solomon to hear his wisdom, which God had put into his mind. 25Every one of them brought his present, articles of silver and gold, garments, myrrh, spices, horses, and mules, so much year by year.
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-26And Solomon gathered together chariots and horsemen. He had 1,400 chariots and 12,000 horsemen, whom he stationed in the chariot cities and with the king in Jerusalem. 27And the king made silver as common in Jerusalem as stone, and he made cedar as plentiful as the sycamore of the Shephelah. 28And Solomon's import of horses was from Egypt and Kue, and the king's traders received them from Kue at a price. 29A chariot could be imported from Egypt for 600 shekels of silver and a horse for 150, and so through the king's traders they were exported to all the kings of the Hittites and the kings of Syria.
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-Solomon Turns from the LORD
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-11:1 Now King Solomon loved many foreign women, along with the daughter of Pharaoh: Moabite, Ammonite, Edomite, Sidonian, and Hittite women, 2from the nations concerning which the LORD had said to the people of Israel, “You shall not enter into marriage with them, neither shall they with you, for surely they will turn away your heart after their gods.” Solomon clung to these in love. 3He had 700 wives, princesses, and 300 concubines. And his wives turned away his heart. 4For when Solomon was old his wives turned away his heart after other gods, and his heart was not wholly true to the LORD his God, as was the heart of David his father. 5For Solomon went after Ashtoreth the goddess of the Sidonians, and after Milcom the abomination of the Ammonites. 6So Solomon did what was evil in the sight of the LORD and did not wholly follow the LORD, as David his father had done. 7Then Solomon built a high place for Chemosh the abomination of Moab, and for Molech the abomination of the Ammonites, on the mountain east of Jerusalem. 8And so he did for all his foreign wives, who made offerings and sacrificed to their gods.
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-The LORD Raises Adversaries
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-9And the LORD was angry with Solomon, because his heart had turned away from the LORD, the God of Israel, who had appeared to him twice 10and had commanded him concerning this thing, that he should not go after other gods. But he did not keep what the LORD commanded. 11Therefore the LORD said to Solomon, “Since this has been your practice and you have not kept my covenant and my statutes that I have commanded you, I will surely tear the kingdom from you and will give it to your servant. 12Yet for the sake of David your father I will not do it in your days, but I will tear it out of the hand of your son. 13However, I will not tear away all the kingdom, but I will give one tribe to your son, for the sake of David my servant and for the sake of Jerusalem that I have chosen.”
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-14And the LORD raised up an adversary against Solomon, Hadad the Edomite. He was of the royal house in Edom. 15For when David was in Edom, and Joab the commander of the army went up to bury the slain, he struck down every male in Edom 16(for Joab and all Israel remained there six months, until he had cut off every male in Edom). 17But Hadad fled to Egypt, together with certain Edomites of his father's servants, Hadad still being a little child. 18They set out from Midian and came to Paran and took men with them from Paran and came to Egypt, to Pharaoh king of Egypt, who gave him a house and assigned him an allowance of food and gave him land. 19And Hadad found great favor in the sight of Pharaoh, so that he gave him in marriage the sister of his own wife, the sister of Tahpenes the queen. 20And the sister of Tahpenes bore him Genubath his son, whom Tahpenes weaned in Pharaoh's house. And Genubath was in Pharaoh's house among the sons of Pharaoh. 21But when Hadad heard in Egypt that David slept with his fathers and that Joab the commander of the army was dead, Hadad said to Pharaoh, “Let me depart, that I may go to my own country.” 22But Pharaoh said to him, “What have you lacked with me that you are now seeking to go to your own country?” And he said to him, “Only let me depart.”
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-23God also raised up as an adversary to him, Rezon the son of Eliada, who had fled from his master Hadadezer king of Zobah. 24And he gathered men about him and became leader of a marauding band, after the killing by David. And they went to Damascus and lived there and made him king in Damascus. 25He was an adversary of Israel all the days of Solomon, doing harm as Hadad did. And he loathed Israel and reigned over Syria.
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-26Jeroboam the son of Nebat, an Ephraimite of Zeredah, a servant of Solomon, whose mother's name was Zeruah, a widow, also lifted up his hand against the king. 27And this was the reason why he lifted up his hand against the king. Solomon built the Millo, and closed up the breach of the city of David his father. 28The man Jeroboam was very able, and when Solomon saw that the young man was industrious he gave him charge over all the forced labor of the house of Joseph. 29And at that time, when Jeroboam went out of Jerusalem, the prophet Ahijah the Shilonite found him on the road. Now Ahijah had dressed himself in a new garment, and the two of them were alone in the open country. 30Then Ahijah laid hold of the new garment that was on him, and tore it into twelve pieces. 31And he said to Jeroboam, “Take for yourself ten pieces, for thus says the LORD, the God of Israel, ‘Behold, I am about to tear the kingdom from the hand of Solomon and will give you ten tribes 32(but he shall have one tribe, for the sake of my servant David and for the sake of Jerusalem, the city that I have chosen out of all the tribes of Israel), 33because they have[45] forsaken me and worshiped Ashtoreth the goddess of the Sidonians, Chemosh the god of Moab, and Milcom the god of the Ammonites, and they have not walked in my ways, doing what is right in my sight and keeping my statutes and my rules, as David his father did. 34Nevertheless, I will not take the whole kingdom out of his hand, but I will make him ruler all the days of his life, for the sake of David my servant whom I chose, who kept my commandments and my statutes. 35But I will take the kingdom out of his son's hand and will give it to you, ten tribes. 36Yet to his son I will give one tribe, that David my servant may always have a lamp before me in Jerusalem, the city where I have chosen to put my name. 37And I will take you, and you shall reign over all that your soul desires, and you shall be king over Israel. 38And if you will listen to all that I command you, and will walk in my ways, and do what is right in my eyes by keeping my statutes and my commandments, as David my servant did, I will be with you and will build you a sure house, as I built for David, and I will give Israel to you. 39And I will afflict the offspring of David because of this, but not forever.’” 40Solomon sought therefore to kill Jeroboam. But Jeroboam arose and fled into Egypt, to Shishak king of Egypt, and was in Egypt until the death of Solomon.
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-41Now the rest of the acts of Solomon, and all that he did, and his wisdom, are they not written in the Book of the Acts of Solomon? 42And the time that Solomon reigned in Jerusalem over all Israel was forty years. 43And Solomon slept with his fathers and was buried in the city of David his father. And Rehoboam his son reigned in his place.
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-Rehoboam's Folly
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-12:1 Rehoboam went to Shechem, for all Israel had come to Shechem to make him king. 2And as soon as Jeroboam the son of Nebat heard of it (for he was still in Egypt, where he had fled from King Solomon), then Jeroboam returned from[46] Egypt. 3And they sent and called him, and Jeroboam and all the assembly of Israel came and said to Rehoboam, 4“Your father made our yoke heavy. Now therefore lighten the hard service of your father and his heavy yoke on us, and we will serve you.” 5He said to them, “Go away for three days, then come again to me.” So the people went away.
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-6Then King Rehoboam took counsel with the old men, who had stood before Solomon his father while he was yet alive, saying, “How do you advise me to answer this people?” 7And they said to him, “If you will be a servant to this people today and serve them, and speak good words to them when you answer them, then they will be your servants forever.” 8But he abandoned the counsel that the old men gave him and took counsel with the young men who had grown up with him and stood before him. 9And he said to them, “What do you advise that we answer this people who have said to me, ‘Lighten the yoke that your father put on us’?” 10And the young men who had grown up with him said to him, “Thus shall you speak to this people who said to you, ‘Your father made our yoke heavy, but you lighten it for us,’ thus shall you say to them, ‘My little finger is thicker than my father's thighs. 11And now, whereas my father laid on you a heavy yoke, I will add to your yoke. My father disciplined you with whips, but I will discipline you with scorpions.’”
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-12So Jeroboam and all the people came to Rehoboam the third day, as the king said, “Come to me again the third day.” 13And the king answered the people harshly, and forsaking the counsel that the old men had given him, 14he spoke to them according to the counsel of the young men, saying, “My father made your yoke heavy, but I will add to your yoke. My father disciplined you with whips, but I will discipline you with scorpions.” 15So the king did not listen to the people, for it was a turn of affairs brought about by the LORD that he might fulfill his word, which the LORD spoke by Ahijah the Shilonite to Jeroboam the son of Nebat.
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-The Kingdom Divided
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-16And when all Israel saw that the king did not listen to them, the people answered the king, “What portion do we have in David? We have no inheritance in the son of Jesse. To your tents, O Israel! Look now to your own house, David.” So Israel went to their tents. 17But Rehoboam reigned over the people of Israel who lived in the cities of Judah. 18Then King Rehoboam sent Adoram, who was taskmaster over the forced labor, and all Israel stoned him to death with stones. And King Rehoboam hurried to mount his chariot to flee to Jerusalem. 19So Israel has been in rebellion against the house of David to this day. 20And when all Israel heard that Jeroboam had returned, they sent and called him to the assembly and made him king over all Israel. There was none that followed the house of David but the tribe of Judah only.
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-21When Rehoboam came to Jerusalem, he assembled all the house of Judah and the tribe of Benjamin, 180,000 chosen warriors, to fight against the house of Israel, to restore the kingdom to Rehoboam the son of Solomon. 22But the word of God came to Shemaiah the man of God: 23“Say to Rehoboam the son of Solomon, king of Judah, and to all the house of Judah and Benjamin, and to the rest of the people, 24‘Thus says the LORD, You shall not go up or fight against your relatives the people of Israel. Every man return to his home, for this thing is from me.’” So they listened to the word of the LORD and went home again, according to the word of the LORD.
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-Jeroboam's Golden Calves
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-25Then Jeroboam built Shechem in the hill country of Ephraim and lived there. And he went out from there and built Penuel. 26And Jeroboam said in his heart, “Now the kingdom will turn back to the house of David. 27If this people go up to offer sacrifices in the temple of the LORD at Jerusalem, then the heart of this people will turn again to their lord, to Rehoboam king of Judah, and they will kill me and return to Rehoboam king of Judah.” 28So the king took counsel and made two calves of gold. And he said to the people, “You have gone up to Jerusalem long enough. Behold your gods, O Israel, who brought you up out of the land of Egypt.” 29And he set one in Bethel, and the other he put in Dan. 30Then this thing became a sin, for the people went as far as Dan to be before one.[47] 31He also made temples on high places and appointed priests from among all the people, who were not of the Levites. 32And Jeroboam appointed a feast on the fifteenth day of the eighth month like the feast that was in Judah, and he offered sacrifices on the altar. So he did in Bethel, sacrificing to the calves that he made. And he placed in Bethel the priests of the high places that he had made. 33He went up to the altar that he had made in Bethel on the fifteenth day in the eighth month, in the month that he had devised from his own heart. And he instituted a feast for the people of Israel and went up to the altar to make offerings.
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-A Man of God Confronts Jeroboam
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-13:1 And behold, a man of God came out of Judah by the word of the LORD to Bethel. Jeroboam was standing by the altar to make offerings. 2And the man cried against the altar by the word of the LORD and said, “O altar, altar, thus says the LORD: ‘Behold, a son shall be born to the house of David, Josiah by name, and he shall sacrifice on you the priests of the high places who make offerings on you, and human bones shall be burned on you.’” 3And he gave a sign the same day, saying, “This is the sign that the LORD has spoken: ‘Behold, the altar shall be torn down, and the ashes that are on it shall be poured out.’” 4And when the king heard the saying of the man of God, which he cried against the altar at Bethel, Jeroboam stretched out his hand from the altar, saying, “Seize him.” And his hand, which he stretched out against him, dried up, so that he could not draw it back to himself. 5The altar also was torn down, and the ashes poured out from the altar, according to the sign that the man of God had given by the word of the LORD. 6And the king said to the man of God, “Entreat now the favor of the LORD your God, and pray for me, that my hand may be restored to me.” And the man of God entreated the LORD, and the king's hand was restored to him and became as it was before. 7And the king said to the man of God, “Come home with me, and refresh yourself, and I will give you a reward.” 8And the man of God said to the king, “If you give me half your house, I will not go in with you. And I will not eat bread or drink water in this place, 9for so was it commanded me by the word of the LORD, saying, ‘You shall neither eat bread nor drink water nor return by the way that you came.’” 10So he went another way and did not return by the way that he came to Bethel.
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-The Prophet's Disobedience
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-11Now an old prophet lived in Bethel. And his sons[48] came and told him all that the man of God had done that day in Bethel. They also told to their father the words that he had spoken to the king. 12And their father said to them, “Which way did he go?” And his sons showed him the way that the man of God who came from Judah had gone. 13And he said to his sons, “Saddle the donkey for me.” So they saddled the donkey for him and he mounted it. 14And he went after the man of God and found him sitting under an oak. And he said to him, “Are you the man of God who came from Judah?” And he said, “I am.” 15Then he said to him, “Come home with me and eat bread.” 16And he said, “I may not return with you, or go in with you, neither will I eat bread nor drink water with you in this place, 17for it was said to me by the word of the LORD, ‘You shall neither eat bread nor drink water there, nor return by the way that you came.’” 18And he said to him, “I also am a prophet as you are, and an angel spoke to me by the word of the LORD, saying, ‘Bring him back with you into your house that he may eat bread and drink water.’” But he lied to him. 19So he went back with him and ate bread in his house and drank water.
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-20And as they sat at the table, the word of the LORD came to the prophet who had brought him back. 21And he cried to the man of God who came from Judah, “Thus says the LORD, ‘Because you have disobeyed the word of the LORD and have not kept the command that the LORD your God commanded you, 22but have come back and have eaten bread and drunk water in the place of which he said to you, “Eat no bread and drink no water,” your body shall not come to the tomb of your fathers.’” 23And after he had eaten bread and drunk, he saddled the donkey for the prophet whom he had brought back. 24And as he went away a lion met him on the road and killed him. And his body was thrown in the road, and the donkey stood beside it; the lion also stood beside the body. 25And behold, men passed by and saw the body thrown in the road and the lion standing by the body. And they came and told it in the city where the old prophet lived.
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-26And when the prophet who had brought him back from the way heard of it, he said, “It is the man of God who disobeyed the word of the LORD; therefore the LORD has given him to the lion, which has torn him and killed him, according to the word that the LORD spoke to him.” 27And he said to his sons, “Saddle the donkey for me.” And they saddled it. 28And he went and found his body thrown in the road, and the donkey and the lion standing beside the body. The lion had not eaten the body or torn the donkey. 29And the prophet took up the body of the man of God and laid it on the donkey and brought it back to the city[49] to mourn and to bury him. 30And he laid the body in his own grave. And they mourned over him, saying, “Alas, my brother!” 31And after he had buried him, he said to his sons, “When I die, bury me in the grave in which the man of God is buried; lay my bones beside his bones. 32For the saying that he called out by the word of the LORD against the altar in Bethel and against all the houses of the high places that are in the cities of Samaria shall surely come to pass.”
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-33After this thing Jeroboam did not turn from his evil way, but made priests for the high places again from among all the people. Any who would, he ordained to be priests of the high places. 34And this thing became sin to the house of Jeroboam, so as to cut it off and to destroy it from the face of the earth.
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-Prophecy Against Jeroboam
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-14:1 At that time Abijah the son of Jeroboam fell sick. 2And Jeroboam said to his wife, “Arise, and disguise yourself, that it not be known that you are the wife of Jeroboam, and go to Shiloh. Behold, Ahijah the prophet is there, who said of me that I should be king over this people. 3Take with you ten loaves, some cakes, and a jar of honey, and go to him. He will tell you what shall happen to the child.”
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-4Jeroboam's wife did so. She arose and went to Shiloh and came to the house of Ahijah. Now Ahijah could not see, for his eyes were dim because of his age. 5And the LORD said to Ahijah, “Behold, the wife of Jeroboam is coming to inquire of you concerning her son, for he is sick. Thus and thus shall you say to her.”
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-When she came, she pretended to be another woman. 6But when Ahijah heard the sound of her feet, as she came in at the door, he said, “Come in, wife of Jeroboam. Why do you pretend to be another? For I am charged with unbearable news for you. 7Go, tell Jeroboam, ‘Thus says the LORD, the God of Israel: “Because I exalted you from among the people and made you leader over my people Israel 8and tore the kingdom away from the house of David and gave it to you, and yet you have not been like my servant David, who kept my commandments and followed me with all his heart, doing only that which was right in my eyes, 9but you have done evil above all who were before you and have gone and made for yourself other gods and metal images, provoking me to anger, and have cast me behind your back, 10therefore behold, I will bring harm upon the house of Jeroboam and will cut off from Jeroboam every male, both bond and free in Israel, and will burn up the house of Jeroboam, as a man burns up dung until it is all gone. 11Anyone belonging to Jeroboam who dies in the city the dogs shall eat, and anyone who dies in the open country the birds of the heavens shall eat, for the LORD has spoken it.”’ 12Arise therefore, go to your house. When your feet enter the city, the child shall die. 13And all Israel shall mourn for him and bury him, for he only of Jeroboam shall come to the grave, because in him there is found something pleasing to the LORD, the God of Israel, in the house of Jeroboam. 14Moreover, the LORD will raise up for himself a king over Israel who shall cut off the house of Jeroboam today. And henceforth, 15the LORD will strike Israel as a reed is shaken in the water, and root up Israel out of this good land that he gave to their fathers and scatter them beyond the Euphrates, because they have made their Asherim, provoking the LORD to anger. 16And he will give Israel up because of the sins of Jeroboam, which he sinned and made Israel to sin.”
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-17Then Jeroboam's wife arose and departed and came to Tirzah. And as she came to the threshold of the house, the child died. 18And all Israel buried him and mourned for him, according to the word of the LORD, which he spoke by his servant Ahijah the prophet.
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-The Death of Jeroboam
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-19Now the rest of the acts of Jeroboam, how he warred and how he reigned, behold, they are written in the Book of the Chronicles of the Kings of Israel. 20And the time that Jeroboam reigned was twenty-two years. And he slept with his fathers, and Nadab his son reigned in his place.
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-Rehoboam Reigns in Judah
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-21Now Rehoboam the son of Solomon reigned in Judah. Rehoboam was forty-one years old when he began to reign, and he reigned seventeen years in Jerusalem, the city that the LORD had chosen out of all the tribes of Israel, to put his name there. His mother's name was Naamah the Ammonite. 22And Judah did what was evil in the sight of the LORD, and they provoked him to jealousy with their sins that they committed, more than all that their fathers had done. 23For they also built for themselves high places and pillars and Asherim on every high hill and under every green tree, 24and there were also male cult prostitutes in the land. They did according to all the abominations of the nations that the LORD drove out before the people of Israel.
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-25In the fifth year of King Rehoboam, Shishak king of Egypt came up against Jerusalem. 26He took away the treasures of the house of the LORD and the treasures of the king's house. He took away everything. He also took away all the shields of gold that Solomon had made, 27and King Rehoboam made in their place shields of bronze, and committed them to the hands of the officers of the guard, who kept the door of the king's house. 28And as often as the king went into the house of the LORD, the guard carried them and brought them back to the guardroom.
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-29Now the rest of the acts of Rehoboam and all that he did, are they not written in the Book of the Chronicles of the Kings of Judah? 30And there was war between Rehoboam and Jeroboam continually. 31And Rehoboam slept with his fathers and was buried with his fathers in the city of David. His mother's name was Naamah the Ammonite. And Abijam his son reigned in his place.
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-Abijam Reigns in Judah
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-15:1 Now in the eighteenth year of King Jeroboam the son of Nebat, Abijam began to reign over Judah. 2He reigned for three years in Jerusalem. His mother's name was Maacah the daughter of Abishalom. 3And he walked in all the sins that his father did before him, and his heart was not wholly true to the LORD his God, as the heart of David his father. 4Nevertheless, for David's sake the LORD his God gave him a lamp in Jerusalem, setting up his son after him, and establishing Jerusalem, 5because David did what was right in the eyes of the LORD and did not turn aside from anything that he commanded him all the days of his life, except in the matter of Uriah the Hittite. 6Now there was war between Rehoboam and Jeroboam all the days of his life. 7The rest of the acts of Abijam and all that he did, are they not written in the Book of the Chronicles of the Kings of Judah? And there was war between Abijam and Jeroboam. 8And Abijam slept with his fathers, and they buried him in the city of David. And Asa his son reigned in his place.
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-Asa Reigns In Judah
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-9In the twentieth year of Jeroboam king of Israel, Asa began to reign over Judah, 10and he reigned forty-one years in Jerusalem. His mother's name was Maacah the daughter of Abishalom. 11And Asa did what was right in the eyes of the LORD, as David his father had done. 12He put away the male cult prostitutes out of the land and removed all the idols that his fathers had made. 13He also removed Maacah his mother from being queen mother because she had made an abominable image for Asherah. And Asa cut down her image and burned it at the brook Kidron. 14But the high places were not taken away. Nevertheless, the heart of Asa was wholly true to the LORD all his days. 15And he brought into the house of the LORD the sacred gifts of his father and his own sacred gifts, silver, and gold, and vessels.
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-16And there was war between Asa and Baasha king of Israel all their days. 17Baasha king of Israel went up against Judah and built Ramah, that he might permit no one to go out or come in to Asa king of Judah. 18Then Asa took all the silver and the gold that were left in the treasures of the house of the LORD and the treasures of the king's house and gave them into the hands of his servants. And King Asa sent them to Ben-hadad the son of Tabrimmon, the son of Hezion, king of Syria, who lived in Damascus, saying, 19“Let there be a covenant[50] between me and you, as there was between my father and your father. Behold, I am sending to you a present of silver and gold. Go, break your covenant with Baasha king of Israel, that he may withdraw from me.” 20And Ben-hadad listened to King Asa and sent the commanders of his armies against the cities of Israel and conquered Ijon, Dan, Abel-beth-maacah, and all Chinneroth, with all the land of Naphtali. 21And when Baasha heard of it, he stopped building Ramah, and he lived in Tirzah. 22Then King Asa made a proclamation to all Judah, none was exempt, and they carried away the stones of Ramah and its timber, with which Baasha had been building, and with them King Asa built Geba of Benjamin and Mizpah. 23Now the rest of all the acts of Asa, all his might, and all that he did, and the cities that he built, are they not written in the Book of the Chronicles of the Kings of Judah? But in his old age he was diseased in his feet. 24And Asa slept with his fathers and was buried with his fathers in the city of David his father, and Jehoshaphat his son reigned in his place.
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-Nadab Reigns in Israel
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-25Nadab the son of Jeroboam began to reign over Israel in the second year of Asa king of Judah, and he reigned over Israel two years. 26He did what was evil in the sight of the LORD and walked in the way of his father, and in his sin which he made Israel to sin.
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-27Baasha the son of Ahijah, of the house of Issachar, conspired against him. And Baasha struck him down at Gibbethon, which belonged to the Philistines, for Nadab and all Israel were laying siege to Gibbethon. 28So Baasha killed him in the third year of Asa king of Judah and reigned in his place. 29And as soon as he was king, he killed all the house of Jeroboam. He left to the house of Jeroboam not one that breathed, until he had destroyed it, according to the word of the LORD that he spoke by his servant Ahijah the Shilonite. 30It was for the sins of Jeroboam that he sinned and that he made Israel to sin, and because of the anger to which he provoked the LORD, the God of Israel.
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-31Now the rest of the acts of Nadab and all that he did, are they not written in the Book of the Chronicles of the Kings of Israel? 32And there was war between Asa and Baasha king of Israel all their days.
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-Baasha Reigns in Israel
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-33In the third year of Asa king of Judah, Baasha the son of Ahijah began to reign over all Israel at Tirzah, and he reigned twenty-four years. 34He did what was evil in the sight of the LORD and walked in the way of Jeroboam and in his sin which he made Israel to sin.
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-16:1 And the word of the LORD came to Jehu the son of Hanani against Baasha, saying, 2“Since I exalted you out of the dust and made you leader over my people Israel, and you have walked in the way of Jeroboam and have made my people Israel to sin, provoking me to anger with their sins, 3behold, I will utterly sweep away Baasha and his house, and I will make your house like the house of Jeroboam the son of Nebat. 4Anyone belonging to Baasha who dies in the city the dogs shall eat, and anyone of his who dies in the field the birds of the heavens shall eat.”
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-5Now the rest of the acts of Baasha and what he did, and his might, are they not written in the Book of the Chronicles of the Kings of Israel? 6And Baasha slept with his fathers and was buried at Tirzah, and Elah his son reigned in his place. 7Moreover, the word of the LORD came by the prophet Jehu the son of Hanani against Baasha and his house, both because of all the evil that he did in the sight of the LORD, provoking him to anger with the work of his hands, in being like the house of Jeroboam, and also because he destroyed it.
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-Elah Reigns in Israel
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-8In the twenty-sixth year of Asa king of Judah, Elah the son of Baasha began to reign over Israel in Tirzah, and he reigned two years. 9But his servant Zimri, commander of half his chariots, conspired against him. When he was at Tirzah, drinking himself drunk in the house of Arza, who was over the household in Tirzah, 10Zimri came in and struck him down and killed him, in the twenty-seventh year of Asa king of Judah, and reigned in his place.
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-11When he began to reign, as soon as he had seated himself on his throne, he struck down all the house of Baasha. He did not leave him a single male of his relatives or his friends. 12Thus Zimri destroyed all the house of Baasha, according to the word of the LORD, which he spoke against Baasha by Jehu the prophet, 13for all the sins of Baasha and the sins of Elah his son, which they sinned and which they made Israel to sin, provoking the LORD God of Israel to anger with their idols. 14Now the rest of the acts of Elah and all that he did, are they not written in the Book of the Chronicles of the Kings of Israel?
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-Zimri Reigns in Israel
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-15In the twenty-seventh year of Asa king of Judah, Zimri reigned seven days in Tirzah. Now the troops were encamped against Gibbethon, which belonged to the Philistines, 16and the troops who were encamped heard it said, “Zimri has conspired, and he has killed the king.” Therefore all Israel made Omri, the commander of the army, king over Israel that day in the camp. 17So Omri went up from Gibbethon, and all Israel with him, and they besieged Tirzah. 18And when Zimri saw that the city was taken, he went into the citadel of the king's house and burned the king's house over him with fire and died, 19because of his sins that he committed, doing evil in the sight of the LORD, walking in the way of Jeroboam, and for his sin which he committed, making Israel to sin. 20Now the rest of the acts of Zimri, and the conspiracy that he made, are they not written in the Book of the Chronicles of the Kings of Israel?
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-Omri Reigns in Israel
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-21Then the people of Israel were divided into two parts. Half of the people followed Tibni the son of Ginath, to make him king, and half followed Omri. 22But the people who followed Omri overcame the people who followed Tibni the son of Ginath. So Tibni died, and Omri became king. 23In the thirty-first year of Asa king of Judah, Omri began to reign over Israel, and he reigned for twelve years; six years he reigned in Tirzah. 24He bought the hill of Samaria from Shemer for two talents[51] of silver, and he fortified the hill and called the name of the city that he built Samaria, after the name of Shemer, the owner of the hill.
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-25Omri did what was evil in the sight of the LORD, and did more evil than all who were before him. 26For he walked in all the way of Jeroboam the son of Nebat, and in the sins that he made Israel to sin, provoking the LORD, the God of Israel, to anger by their idols. 27Now the rest of the acts of Omri that he did, and the might that he showed, are they not written in the Book of the Chronicles of the Kings of Israel? 28And Omri slept with his fathers and was buried in Samaria, and Ahab his son reigned in his place.
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-Ahab Reigns in Israel
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-29In the thirty-eighth year of Asa king of Judah, Ahab the son of Omri began to reign over Israel, and Ahab the son of Omri reigned over Israel in Samaria twenty-two years. 30And Ahab the son of Omri did evil in the sight of the LORD, more than all who were before him. 31And as if it had been a light thing for him to walk in the sins of Jeroboam the son of Nebat, he took for his wife Jezebel the daughter of Ethbaal king of the Sidonians, and went and served Baal and worshiped him. 32He erected an altar for Baal in the house of Baal, which he built in Samaria. 33And Ahab made an Asherah. Ahab did more to provoke the LORD, the God of Israel, to anger than all the kings of Israel who were before him. 34In his days Hiel of Bethel built Jericho. He laid its foundation at the cost of Abiram his firstborn, and set up its gates at the cost of his youngest son Segub, according to the word of the LORD, which he spoke by Joshua the son of Nun.
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-Elijah Predicts a Drought
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-17:1 Now Elijah the Tishbite, of Tishbe[52] in Gilead, said to Ahab, “As the LORD, the God of Israel, lives, before whom I stand, there shall be neither dew nor rain these years, except by my word.” 2And the word of the LORD came to him: 3“Depart from here and turn eastward and hide yourself by the brook Cherith, which is east of the Jordan. 4You shall drink from the brook, and I have commanded the ravens to feed you there.” 5So he went and did according to the word of the LORD. He went and lived by the brook Cherith that is east of the Jordan. 6And the ravens brought him bread and meat in the morning, and bread and meat in the evening, and he drank from the brook. 7And after a while the brook dried up, because there was no rain in the land.
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-The Widow of Zarephath
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-8Then the word of the LORD came to him, 9“Arise, go to Zarephath, which belongs to Sidon, and dwell there. Behold, I have commanded a widow there to feed you.” 10So he arose and went to Zarephath. And when he came to the gate of the city, behold, a widow was there gathering sticks. And he called to her and said, “Bring me a little water in a vessel, that I may drink.” 11And as she was going to bring it, he called to her and said, “Bring me a morsel of bread in your hand.” 12And she said, “As the LORD your God lives, I have nothing baked, only a handful of flour in a jar and a little oil in a jug. And now I am gathering a couple of sticks that I may go in and prepare it for myself and my son, that we may eat it and die.” 13And Elijah said to her, “Do not fear; go and do as you have said. But first make me a little cake of it and bring it to me, and afterward make something for yourself and your son. 14For thus says the LORD, the God of Israel, ‘The jar of flour shall not be spent, and the jug of oil shall not be empty, until the day that the LORD sends rain upon the earth.’” 15And she went and did as Elijah said. And she and he and her household ate for many days. 16The jar of flour was not spent, neither did the jug of oil become empty, according to the word of the LORD that he spoke by Elijah.
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-Elijah Raises the Widow's Son
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-17After this the son of the woman, the mistress of the house, became ill. And his illness was so severe that there was no breath left in him. 18And she said to Elijah, “What have you against me, O man of God? You have come to me to bring my sin to remembrance and to cause the death of my son!” 19And he said to her, “Give me your son.” And he took him from her arms and carried him up into the upper chamber where he lodged, and laid him on his own bed. 20And he cried to the LORD, “O LORD my God, have you brought calamity even upon the widow with whom I sojourn, by killing her son?” 21Then he stretched himself upon the child three times and cried to the LORD, “O LORD my God, let this child's life[53] come into him again.” 22And the LORD listened to the voice of Elijah. And the life of the child came into him again, and he revived. 23And Elijah took the child and brought him down from the upper chamber into the house and delivered him to his mother. And Elijah said, “See, your son lives.” 24And the woman said to Elijah, “Now I know that you are a man of God, and that the word of the LORD in your mouth is truth.”
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-Elijah Confronts Ahab
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-18:1 After many days the word of the LORD came to Elijah, in the third year, saying, “Go, show yourself to Ahab, and I will send rain upon the earth.” 2So Elijah went to show himself to Ahab. Now the famine was severe in Samaria. 3And Ahab called Obadiah, who was over the household. (Now Obadiah feared the LORD greatly, 4and when Jezebel cut off the prophets of the LORD, Obadiah took a hundred prophets and hid them by fifties in a cave and fed them with bread and water.) 5And Ahab said to Obadiah, “Go through the land to all the springs of water and to all the valleys. Perhaps we may find grass and save the horses and mules alive, and not lose some of the animals.” 6So they divided the land between them to pass through it. Ahab went in one direction by himself, and Obadiah went in another direction by himself.
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-7And as Obadiah was on the way, behold, Elijah met him. And Obadiah recognized him and fell on his face and said, “Is it you, my lord Elijah?” 8And he answered him, “It is I. Go, tell your lord, ‘Behold, Elijah is here.’” 9And he said, “How have I sinned, that you would give your servant into the hand of Ahab, to kill me? 10As the LORD your God lives, there is no nation or kingdom where my lord has not sent to seek you. And when they would say, ‘He is not here,’ he would take an oath of the kingdom or nation, that they had not found you. 11And now you say, ‘Go, tell your lord, “Behold, Elijah is here.”’ 12And as soon as I have gone from you, the Spirit of the LORD will carry you I know not where. And so, when I come and tell Ahab and he cannot find you, he will kill me, although I your servant have feared the LORD from my youth. 13Has it not been told my lord what I did when Jezebel killed the prophets of the LORD, how I hid a hundred men of the LORD's prophets by fifties in a cave and fed them with bread and water? 14And now you say, ‘Go, tell your lord, “Behold, Elijah is here”’; and he will kill me.” 15And Elijah said, “As the LORD of hosts lives, before whom I stand, I will surely show myself to him today.” 16So Obadiah went to meet Ahab, and told him. And Ahab went to meet Elijah.
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-17When Ahab saw Elijah, Ahab said to him, “Is it you, you troubler of Israel?” 18And he answered, “I have not troubled Israel, but you have, and your father's house, because you have abandoned the commandments of the LORD and followed the Baals. 19Now therefore send and gather all Israel to me at Mount Carmel, and the 450 prophets of Baal and the 400 prophets of Asherah, who eat at Jezebel's table.”
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-The Prophets of Baal Defeated
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-20So Ahab sent to all the people of Israel and gathered the prophets together at Mount Carmel. 21And Elijah came near to all the people and said, “How long will you go limping between two different opinions? If the LORD is God, follow him; but if Baal, then follow him.” And the people did not answer him a word. 22Then Elijah said to the people, “I, even I only, am left a prophet of the LORD, but Baal's prophets are 450 men. 23Let two bulls be given to us, and let them choose one bull for themselves and cut it in pieces and lay it on the wood, but put no fire to it. And I will prepare the other bull and lay it on the wood and put no fire to it. 24And you call upon the name of your god, and I will call upon the name of the LORD, and the God who answers by fire, he is God.” And all the people answered, “It is well spoken.” 25Then Elijah said to the prophets of Baal, “Choose for yourselves one bull and prepare it first, for you are many, and call upon the name of your god, but put no fire to it.” 26And they took the bull that was given them, and they prepared it and called upon the name of Baal from morning until noon, saying, “O Baal, answer us!” But there was no voice, and no one answered. And they limped around the altar that they had made. 27And at noon Elijah mocked them, saying, “Cry aloud, for he is a god. Either he is musing, or he is relieving himself, or he is on a journey, or perhaps he is asleep and must be awakened.” 28And they cried aloud and cut themselves after their custom with swords and lances, until the blood gushed out upon them. 29And as midday passed, they raved on until the time of the offering of the oblation, but there was no voice. No one answered; no one paid attention.
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-30Then Elijah said to all the people, “Come near to me.” And all the people came near to him. And he repaired the altar of the LORD that had been thrown down. 31Elijah took twelve stones, according to the number of the tribes of the sons of Jacob, to whom the word of the LORD came, saying, “Israel shall be your name,” 32and with the stones he built an altar in the name of the LORD. And he made a trench about the altar, as great as would contain two seahs[54] of seed. 33And he put the wood in order and cut the bull in pieces and laid it on the wood. And he said, “Fill four jars with water and pour it on the burnt offering and on the wood.” 34And he said, “Do it a second time.” And they did it a second time. And he said, “Do it a third time.” And they did it a third time. 35And the water ran around the altar and filled the trench also with water.
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-36And at the time of the offering of the oblation, Elijah the prophet came near and said, “O LORD, God of Abraham, Isaac, and Israel, let it be known this day that you are God in Israel, and that I am your servant, and that I have done all these things at your word. 37Answer me, O LORD, answer me, that this people may know that you, O LORD, are God, and that you have turned their hearts back.” 38Then the fire of the LORD fell and consumed the burnt offering and the wood and the stones and the dust, and licked up the water that was in the trench. 39And when all the people saw it, they fell on their faces and said, “The LORD, he is God; the LORD, he is God.” 40And Elijah said to them, “Seize the prophets of Baal; let not one of them escape.” And they seized them. And Elijah brought them down to the brook Kishon and slaughtered them there.
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-The LORD Sends Rain
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-41And Elijah said to Ahab, “Go up, eat and drink, for there is a sound of the rushing of rain.” 42So Ahab went up to eat and to drink. And Elijah went up to the top of Mount Carmel. And he bowed himself down on the earth and put his face between his knees. 43And he said to his servant, “Go up now, look toward the sea.” And he went up and looked and said, “There is nothing.” And he said, “Go again,” seven times. 44And at the seventh time he said, “Behold, a little cloud like a man's hand is rising from the sea.” And he said, “Go up, say to Ahab, ‘Prepare your chariot and go down, lest the rain stop you.’” 45And in a little while the heavens grew black with clouds and wind, and there was a great rain. And Ahab rode and went to Jezreel. 46And the hand of the LORD was on Elijah, and he gathered up his garment and ran before Ahab to the entrance of Jezreel.
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-Elijah Flees Jezebel
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-19:1 Ahab told Jezebel all that Elijah had done, and how he had killed all the prophets with the sword. 2Then Jezebel sent a messenger to Elijah, saying, “So may the gods do to me and more also, if I do not make your life as the life of one of them by this time tomorrow.” 3Then he was afraid, and he arose and ran for his life and came to Beersheba, which belongs to Judah, and left his servant there.
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-4But he himself went a day's journey into the wilderness and came and sat down under a broom tree. And he asked that he might die, saying, “It is enough; now, O LORD, take away my life, for I am no better than my fathers.” 5And he lay down and slept under a broom tree. And behold, an angel touched him and said to him, “Arise and eat.” 6And he looked, and behold, there was at his head a cake baked on hot stones and a jar of water. And he ate and drank and lay down again. 7And the angel of the LORD came again a second time and touched him and said, “Arise and eat, for the journey is too great for you.” 8And he arose and ate and drank, and went in the strength of that food forty days and forty nights to Horeb, the mount of God.
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-The LORD Speaks to Elijah
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-9There he came to a cave and lodged in it. And behold, the word of the LORD came to him, and he said to him, “What are you doing here, Elijah?” 10He said, “I have been very jealous for the LORD, the God of hosts. For the people of Israel have forsaken your covenant, thrown down your altars, and killed your prophets with the sword, and I, even I only, am left, and they seek my life, to take it away.” 11And he said, “Go out and stand on the mount before the LORD.” And behold, the LORD passed by, and a great and strong wind tore the mountains and broke in pieces the rocks before the LORD, but the LORD was not in the wind. And after the wind an earthquake, but the LORD was not in the earthquake. 12And after the earthquake a fire, but the LORD was not in the fire. And after the fire the sound of a low whisper.[55] 13And when Elijah heard it, he wrapped his face in his cloak and went out and stood at the entrance of the cave. And behold, there came a voice to him and said, “What are you doing here, Elijah?” 14He said, “I have been very jealous for the LORD, the God of hosts. For the people of Israel have forsaken your covenant, thrown down your altars, and killed your prophets with the sword, and I, even I only, am left, and they seek my life, to take it away.” 15And the LORD said to him, “Go, return on your way to the wilderness of Damascus. And when you arrive, you shall anoint Hazael to be king over Syria. 16And Jehu the son of Nimshi you shall anoint to be king over Israel, and Elisha the son of Shaphat of Abel-meholah you shall anoint to be prophet in your place. 17And the one who escapes from the sword of Hazael shall Jehu put to death, and the one who escapes from the sword of Jehu shall Elisha put to death. 18Yet I will leave seven thousand in Israel, all the knees that have not bowed to Baal, and every mouth that has not kissed him.”
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-The Call of Elisha
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-19So he departed from there and found Elisha the son of Shaphat, who was plowing with twelve yoke of oxen in front of him, and he was with the twelfth. Elijah passed by him and cast his cloak upon him. 20And he left the oxen and ran after Elijah and said, “Let me kiss my father and my mother, and then I will follow you.” And he said to him, “Go back again, for what have I done to you?” 21And he returned from following him and took the yoke of oxen and sacrificed them and boiled their flesh with the yokes of the oxen and gave it to the people, and they ate. Then he arose and went after Elijah and assisted him.
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-Ahab's Wars with Syria
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-20:1 Ben-hadad the king of Syria gathered all his army together. Thirty-two kings were with him, and horses and chariots. And he went up and closed in on Samaria and fought against it. 2And he sent messengers into the city to Ahab king of Israel and said to him, “Thus says Ben-hadad: 3‘Your silver and your gold are mine; your best wives and children also are mine.’” 4And the king of Israel answered, “As you say, my lord, O king, I am yours, and all that I have.” 5The messengers came again and said, “Thus says Ben-hadad: ‘I sent to you, saying, “Deliver to me your silver and your gold, your wives and your children.” 6Nevertheless I will send my servants to you tomorrow about this time, and they shall search your house and the houses of your servants and lay hands on whatever pleases you and take it away.’”
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-7Then the king of Israel called all the elders of the land and said, “Mark, now, and see how this man is seeking trouble, for he sent to me for my wives and my children, and for my silver and my gold, and I did not refuse him.” 8And all the elders and all the people said to him, “Do not listen or consent.” 9So he said to the messengers of Ben-hadad, “Tell my lord the king, ‘All that you first demanded of your servant I will do, but this thing I cannot do.’” And the messengers departed and brought him word again. 10Ben-hadad sent to him and said, “The gods do so to me and more also, if the dust of Samaria shall suffice for handfuls for all the people who follow me.” 11And the king of Israel answered, “Tell him, ‘Let not him who straps on his armor boast himself as he who takes it off.’” 12When Ben-hadad heard this message as he was drinking with the kings in the booths, he said to his men, “Take your positions.” And they took their positions against the city.
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-Ahab Defeats Ben-hadad
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-13And behold, a prophet came near to Ahab king of Israel and said, “Thus says the LORD, Have you seen all this great multitude? Behold, I will give it into your hand this day, and you shall know that I am the LORD.” 14And Ahab said, “By whom?” He said, “Thus says the LORD, By the servants of the governors of the districts.” Then he said, “Who shall begin the battle?” He answered, “You.” 15Then he mustered the servants of the governors of the districts, and they were 232. And after them he mustered all the people of Israel, seven thousand.
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-16And they went out at noon, while Ben-hadad was drinking himself drunk in the booths, he and the thirty-two kings who helped him. 17The servants of the governors of the districts went out first. And Ben-hadad sent out scouts, and they reported to him, “Men are coming out from Samaria.” 18He said, “If they have come out for peace, take them alive. Or if they have come out for war, take them alive.”
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-19So these went out of the city, the servants of the governors of the districts and the army that followed them. 20And each struck down his man. The Syrians fled, and Israel pursued them, but Ben-hadad king of Syria escaped on a horse with horsemen. 21And the king of Israel went out and struck the horses and chariots, and struck the Syrians with a great blow.
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-22Then the prophet came near to the king of Israel and said to him, “Come, strengthen yourself, and consider well what you have to do, for in the spring the king of Syria will come up against you.”
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-23And the servants of the king of Syria said to him, “Their gods are gods of the hills, and so they were stronger than we. But let us fight against them in the plain, and surely we shall be stronger than they. 24And do this: remove the kings, each from his post, and put commanders in their places, 25and muster an army like the army that you have lost, horse for horse, and chariot for chariot. Then we will fight against them in the plain, and surely we shall be stronger than they.” And he listened to their voice and did so.
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-Ahab Defeats Ben-hadad Again
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-26In the spring, Ben-hadad mustered the Syrians and went up to Aphek to fight against Israel. 27And the people of Israel were mustered and were provisioned and went against them. The people of Israel encamped before them like two little flocks of goats, but the Syrians filled the country. 28And a man of God came near and said to the king of Israel, “Thus says the LORD, ‘Because the Syrians have said, “The LORD is a god of the hills but he is not a god of the valleys,” therefore I will give all this great multitude into your hand, and you shall know that I am the LORD.’” 29And they encamped opposite one another seven days. Then on the seventh day the battle was joined. And the people of Israel struck down of the Syrians 100,000 foot soldiers in one day. 30And the rest fled into the city of Aphek, and the wall fell upon 27,000 men who were left.
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-Ben-hadad also fled and entered an inner chamber in the city. 31And his servants said to him, “Behold now, we have heard that the kings of the house of Israel are merciful kings. Let us put sackcloth around our waists and ropes on our heads and go out to the king of Israel. Perhaps he will spare your life.” 32So they tied sackcloth around their waists and put ropes on their heads and went to the king of Israel and said, “Your servant Ben-hadad says, ‘Please, let me live.’” And he said, “Does he still live? He is my brother.” 33Now the men were watching for a sign, and they quickly took it up from him and said, “Yes, your brother Ben-hadad.” Then he said, “Go and bring him.” Then Ben-hadad came out to him, and he caused him to come up into the chariot. 34And Ben-hadad said to him, “The cities that my father took from your father I will restore, and you may establish bazaars for yourself in Damascus, as my father did in Samaria.” And Ahab said, “I will let you go on these terms.” So he made a covenant with him and let him go.
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-A Prophet Condemns Ben-hadad's Release
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-35And a certain man of the sons of the prophets said to his fellow at the command of the LORD, “Strike me, please.” But the man refused to strike him. 36Then he said to him, “Because you have not obeyed the voice of the LORD, behold, as soon as you have gone from me, a lion shall strike you down.” And as soon as he had departed from him, a lion met him and struck him down. 37Then he found another man and said, “Strike me, please.” And the man struck him—struck him and wounded him. 38So the prophet departed and waited for the king by the way, disguising himself with a bandage over his eyes. 39And as the king passed, he cried to the king and said, “Your servant went out into the midst of the battle, and behold, a soldier turned and brought a man to me and said, ‘Guard this man; if by any means he is missing, your life shall be for his life, or else you shall pay a talent[56] of silver.’ 40And as your servant was busy here and there, he was gone.” The king of Israel said to him, “So shall your judgment be; you yourself have decided it.” 41Then he hurried to take the bandage away from his eyes, and the king of Israel recognized him as one of the prophets. 42And he said to him, “Thus says the LORD, ‘Because you have let go out of your hand the man whom I had devoted to destruction,[57] therefore your life shall be for his life, and your people for his people.’” 43And the king of Israel went to his house vexed and sullen and came to Samaria.
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-Naboth's Vineyard
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-21:1 Now Naboth the Jezreelite had a vineyard in Jezreel, beside the palace of Ahab king of Samaria. 2And after this Ahab said to Naboth, “Give me your vineyard, that I may have it for a vegetable garden, because it is near my house, and I will give you a better vineyard for it; or, if it seems good to you, I will give you its value in money.” 3But Naboth said to Ahab, “The LORD forbid that I should give you the inheritance of my fathers.” 4And Ahab went into his house vexed and sullen because of what Naboth the Jezreelite had said to him, for he had said, “I will not give you the inheritance of my fathers.” And he lay down on his bed and turned away his face and would eat no food.
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-5But Jezebel his wife came to him and said to him, “Why is your spirit so vexed that you eat no food?” 6And he said to her, “Because I spoke to Naboth the Jezreelite and said to him, ‘Give me your vineyard for money, or else, if it please you, I will give you another vineyard for it.’ And he answered, ‘I will not give you my vineyard.’” 7And Jezebel his wife said to him, “Do you now govern Israel? Arise and eat bread and let your heart be cheerful; I will give you the vineyard of Naboth the Jezreelite.”
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-8So she wrote letters in Ahab's name and sealed them with his seal, and she sent the letters to the elders and the leaders who lived with Naboth in his city. 9And she wrote in the letters, “Proclaim a fast, and set Naboth at the head of the people. 10And set two worthless men opposite him, and let them bring a charge against him, saying, ‘You have cursed[58] God and the king.’ Then take him out and stone him to death.” 11And the men of his city, the elders and the leaders who lived in his city, did as Jezebel had sent word to them. As it was written in the letters that she had sent to them, 12they proclaimed a fast and set Naboth at the head of the people. 13And the two worthless men came in and sat opposite him. And the worthless men brought a charge against Naboth in the presence of the people, saying, “Naboth cursed God and the king.” So they took him outside the city and stoned him to death with stones. 14Then they sent to Jezebel, saying, “Naboth has been stoned; he is dead.”
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-15As soon as Jezebel heard that Naboth had been stoned and was dead, Jezebel said to Ahab, “Arise, take possession of the vineyard of Naboth the Jezreelite, which he refused to give you for money, for Naboth is not alive, but dead.” 16And as soon as Ahab heard that Naboth was dead, Ahab arose to go down to the vineyard of Naboth the Jezreelite, to take possession of it.
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-The LORD Condemns Ahab
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-17Then the word of the LORD came to Elijah the Tishbite, saying, 18“Arise, go down to meet Ahab king of Israel, who is in Samaria; behold, he is in the vineyard of Naboth, where he has gone to take possession. 19And you shall say to him, ‘Thus says the LORD, “Have you killed and also taken possession?”’ And you shall say to him, ‘Thus says the LORD: “In the place where dogs licked up the blood of Naboth shall dogs lick your own blood.”’”
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-20Ahab said to Elijah, “Have you found me, O my enemy?” He answered, “I have found you, because you have sold yourself to do what is evil in the sight of the LORD. 21Behold, I will bring disaster upon you. I will utterly burn you up, and will cut off from Ahab every male, bond or free, in Israel. 22And I will make your house like the house of Jeroboam the son of Nebat, and like the house of Baasha the son of Ahijah, for the anger to which you have provoked me, and because you have made Israel to sin. 23And of Jezebel the LORD also said, ‘The dogs shall eat Jezebel within the walls of Jezreel.’ 24Anyone belonging to Ahab who dies in the city the dogs shall eat, and anyone of his who dies in the open country the birds of the heavens shall eat.”
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-Ahab's Repentance
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-25(There was none who sold himself to do what was evil in the sight of the LORD like Ahab, whom Jezebel his wife incited. 26He acted very abominably in going after idols, as the Amorites had done, whom the LORD cast out before the people of Israel.)
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-27And when Ahab heard those words, he tore his clothes and put sackcloth on his flesh and fasted and lay in sackcloth and went about dejectedly. 28And the word of the LORD came to Elijah the Tishbite, saying, 29“Have you seen how Ahab has humbled himself before me? Because he has humbled himself before me, I will not bring the disaster in his days; but in his son's days I will bring the disaster upon his house.”
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-Ahab and the False Prophets
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-22:1 For three years Syria and Israel continued without war. 2But in the third year Jehoshaphat the king of Judah came down to the king of Israel. 3And the king of Israel said to his servants, “Do you know that Ramoth-gilead belongs to us, and we keep quiet and do not take it out of the hand of the king of Syria?” 4And he said to Jehoshaphat, “Will you go with me to battle at Ramoth-gilead?” And Jehoshaphat said to the king of Israel, “I am as you are, my people as your people, my horses as your horses.”
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-5And Jehoshaphat said to the king of Israel, “Inquire first for the word of the LORD.” 6Then the king of Israel gathered the prophets together, about four hundred men, and said to them, “Shall I go to battle against Ramoth-gilead, or shall I refrain?” And they said, “Go up, for the Lord will give it into the hand of the king.” 7But Jehoshaphat said, “Is there not here another prophet of the LORD of whom we may inquire?” 8And the king of Israel said to Jehoshaphat, “There is yet one man by whom we may inquire of the LORD, Micaiah the son of Imlah, but I hate him, for he never prophesies good concerning me, but evil.” And Jehoshaphat said, “Let not the king say so.” 9Then the king of Israel summoned an officer and said, “Bring quickly Micaiah the son of Imlah.” 10Now the king of Israel and Jehoshaphat the king of Judah were sitting on their thrones, arrayed in their robes, at the threshing floor at the entrance of the gate of Samaria, and all the prophets were prophesying before them. 11And Zedekiah the son of Chenaanah made for himself horns of iron and said, “Thus says the LORD, ‘With these you shall push the Syrians until they are destroyed.’” 12And all the prophets prophesied so and said, “Go up to Ramoth-gilead and triumph; the LORD will give it into the hand of the king.”
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-Micaiah Prophesies Against Ahab
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-13And the messenger who went to summon Micaiah said to him, “Behold, the words of the prophets with one accord are favorable to the king. Let your word be like the word of one of them, and speak favorably.” 14But Micaiah said, “As the LORD lives, what the LORD says to me, that I will speak.” 15And when he had come to the king, the king said to him, “Micaiah, shall we go to Ramoth-gilead to battle, or shall we refrain?” And he answered him, “Go up and triumph; the LORD will give it into the hand of the king.” 16But the king said to him, “How many times shall I make you swear that you speak to me nothing but the truth in the name of the LORD?” 17And he said, “I saw all Israel scattered on the mountains, as sheep that have no shepherd. And the LORD said, ‘These have no master; let each return to his home in peace.’” 18And the king of Israel said to Jehoshaphat, “Did I not tell you that he would not prophesy good concerning me, but evil?” 19And Micaiah said, “Therefore hear the word of the LORD: I saw the LORD sitting on his throne, and all the host of heaven standing beside him on his right hand and on his left; 20and the LORD said, ‘Who will entice Ahab, that he may go up and fall at Ramoth-gilead?’ And one said one thing, and another said another. 21Then a spirit came forward and stood before the LORD, saying, ‘I will entice him.’ 22And the LORD said to him, ‘By what means?’ And he said, ‘I will go out, and will be a lying spirit in the mouth of all his prophets.’ And he said, ‘You are to entice him, and you shall succeed; go out and do so.’ 23Now therefore behold, the LORD has put a lying spirit in the mouth of all these your prophets; the LORD has declared disaster for you.”
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-24Then Zedekiah the son of Chenaanah came near and struck Micaiah on the cheek and said, “How did the Spirit of the LORD go from me to speak to you?” 25And Micaiah said, “Behold, you shall see on that day when you go into an inner chamber to hide yourself.” 26And the king of Israel said, “Seize Micaiah, and take him back to Amon the governor of the city and to Joash the king's son, 27and say, ‘Thus says the king, “Put this fellow in prison and feed him meager rations of bread and water, until I come in peace.”’” 28And Micaiah said, “If you return in peace, the LORD has not spoken by me.” And he said, “Hear, all you peoples!”
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-Ahab Killed in Battle
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-29So the king of Israel and Jehoshaphat the king of Judah went up to Ramoth-gilead. 30And the king of Israel said to Jehoshaphat, “I will disguise myself and go into battle, but you wear your robes.” And the king of Israel disguised himself and went into battle. 31Now the king of Syria had commanded the thirty-two captains of his chariots, “Fight with neither small nor great, but only with the king of Israel.” 32And when the captains of the chariots saw Jehoshaphat, they said, “It is surely the king of Israel.” So they turned to fight against him. And Jehoshaphat cried out. 33And when the captains of the chariots saw that it was not the king of Israel, they turned back from pursuing him. 34But a certain man drew his bow at random[59] and struck the king of Israel between the scale armor and the breastplate. Therefore he said to the driver of his chariot, “Turn around and carry me out of the battle, for I am wounded.” 35And the battle continued that day, and the king was propped up in his chariot facing the Syrians, until at evening he died. And the blood of the wound flowed into the bottom of the chariot. 36And about sunset a cry went through the army, “Every man to his city, and every man to his country!”
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-37So the king died, and was brought to Samaria. And they buried the king in Samaria. 38And they washed the chariot by the pool of Samaria, and the dogs licked up his blood, and the prostitutes washed themselves in it, according to the word of the LORD that he had spoken. 39Now the rest of the acts of Ahab and all that he did, and the ivory house that he built and all the cities that he built, are they not written in the Book of the Chronicles of the Kings of Israel? 40So Ahab slept with his fathers, and Ahaziah his son reigned in his place.
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-Jehoshaphat Reigns in Judah
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-41Jehoshaphat the son of Asa began to reign over Judah in the fourth year of Ahab king of Israel. 42Jehoshaphat was thirty-five years old when he began to reign, and he reigned twenty-five years in Jerusalem. His mother's name was Azubah the daughter of Shilhi. 43He walked in all the way of Asa his father. He did not turn aside from it, doing what was right in the sight of the LORD. Yet the high places were not taken away, and the people still sacrificed and made offerings on the high places. 44Jehoshaphat also made peace with the king of Israel.
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-45Now the rest of the acts of Jehoshaphat, and his might that he showed, and how he warred, are they not written in the Book of the Chronicles of the Kings of Judah? 46And from the land he exterminated the remnant of the male cult prostitutes who remained in the days of his father Asa.
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-47There was no king in Edom; a deputy was king. 48Jehoshaphat made ships of Tarshish to go to Ophir for gold, but they did not go, for the ships were wrecked at Ezion-geber. 49Then Ahaziah the son of Ahab said to Jehoshaphat, “Let my servants go with your servants in the ships,” but Jehoshaphat was not willing. 50And Jehoshaphat slept with his fathers and was buried with his fathers in the city of David his father, and Jehoram his son reigned in his place.
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-Ahaziah Reigns in Israel
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-51Ahaziah the son of Ahab began to reign over Israel in Samaria in the seventeenth year of Jehoshaphat king of Judah, and he reigned two years over Israel. 52He did what was evil in the sight of the LORD and walked in the way of his father and in the way of his mother and in the way of Jeroboam the son of Nebat, who made Israel to sin. 53He served Baal and worshiped him and provoked the LORD, the God of Israel, to anger in every way that his father had done.
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-Footnotes
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-[1] 1:2 Or in your bosom
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-[2] 1:14 Or expand on
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-[3] 1:25 Hebrew; Septuagint Joab the commander
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-[4] 1:48 Septuagint one of my offspring
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-[5] 2:4 Hebrew there shall not be cut off for you
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-[6] 2:5 Septuagint; Hebrew placing
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-[7] 2:5 Septuagint innocent blood
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-[8] 2:5 Septuagint my; twice in this verse
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-[9] 2:7 Or steadfast love
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-[10] 2:22 Septuagint, Syriac, Vulgate; Hebrew and for him and for Abiathar
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-[11] 4:21 Ch 5:1 in Hebrew
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-[12] 4:22 A cor was about 6 bushels or 220 liters
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-[13] 5:1 Ch 5:15 in Hebrew
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-[14] 5:11 A cor was about 6 bushels or 220 liters
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-[15] 5:11 Septuagint; Hebrew twenty
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-[16] 6:2 A cubit was about 18 inches or 45 centimeters
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-[17] 6:4 Or blocked lattice windows
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-[18] 6:5 Or platform; also verse 10
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-[19] 6:6 Septuagint; Hebrew structure, or platform
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-[20] 6:8 Septuagint, Targum; Hebrew middle
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-[21] 6:20 Vulgate; Hebrew and before the inner sanctuary
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-[22] 6:20 Septuagint made
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-[23] 6:31 The meaning of the Hebrew phrase is uncertain
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-[24] 7:2 A cubit was about 18 inches or 45 centimeters
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-[25] 7:2 Septuagint three
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-[26] 7:5 Septuagint; Hebrew posts
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-[27] 7:7 Syriac, Vulgate; Hebrew floor
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-[28] 7:15 Targum, Syriac (compare Septuagint and Jeremiah 52:21); Hebrew fingers. And a line of twelve cubits measured the circumference of the second pillar
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-[29] 7:17 Septuagint; Hebrew seven; twice in this verse
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-[30] 7:18 Two manuscripts (compare Septuagint); Hebrew pillars
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-[31] 7:26 A handbreadth was about 3 inches or 7.5 centimeters
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-[32] 7:26 A bath was about 6 gallons or 22 liters
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-[33] 8:12 Septuagint The LORD has set the sun in the heavens, but
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-[34] 8:37 Septuagint, Syriac in any of their cities
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-[35] 8:65 Septuagint; Hebrew seven days and seven days, fourteen days
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-[36] 9:8 Syriac, Old Latin; Hebrew will become high
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-[37] 9:14 A talent was about 75 pounds or 34 kilograms
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-[38] 9:18 Hebrew lacks of Judah
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-[39] 9:21 That is, set apart (devote) as an offering to the Lord (for destruction)
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-[40] 9:25 Septuagint lacks with it
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-[41] 10:10 A talent was about 75 pounds or 34 kilograms
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-[42] 10:16 A shekel was about 2/5 ounce or 11 grams
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-[43] 10:17 A mina was about 1 1/4 pounds or 0.6 kilogram
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-[44] 10:22 Or baboons
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-[45] 11:33 Septuagint, Syriac, Vulgate he has; twice in this verse
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-[46] 12:2 Septuagint, Vulgate (compare 2 Chronicles 10:2); Hebrew lived in
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-[47] 12:30 Septuagint went to the one at Bethel and to the other as far as Dan
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-[48] 13:11 Septuagint, Syriac, Vulgate; Hebrew son
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-[49] 13:29 Septuagint; Hebrew he came to the city of the old prophet
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-[50] 15:19 Or treaty; twice in this verse
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-[51] 16:24 A talent was about 75 pounds or 34 kilograms
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-[52] 17:1 Septuagint; Hebrew of the settlers
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-[53] 17:21 Or soul; also verse 22
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-[54] 18:32 A seah was about 7 quarts or 7.3 liters
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-[55] 19:12 Or a sound, a thin silence
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-[56] 20:39 A talent was about 75 pounds or 34 kilograms
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-[57] 20:42 That is, set apart (devoted) as an offering to the Lord (for destruction)
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-[58] 21:10 Hebrew blessed; also verse 13
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-[59] 22:34 Hebrew in his innocence
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-2 KINGS
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-Chapter 1
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-Chapter 2
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-Chapter 3
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-Chapter 4
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-Chapter 5
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-Chapter 6
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-Chapter 7
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-Chapter 8
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-Chapter 9
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-Chapter 10
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-Chapter 11
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-Chapter 12
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-Chapter 13
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-Chapter 14
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-Chapter 15
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-Chapter 16
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-Chapter 17
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-Chapter 18
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-Chapter 19
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-Chapter 20
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-Chapter 21
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-Chapter 22
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-Chapter 23
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-Chapter 24
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-Chapter 25
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-Elijah Denounces Ahaziah
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-1:1 After the death of Ahab, Moab rebelled against Israel.
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-2Now Ahaziah fell through the lattice in his upper chamber in Samaria, and lay sick; so he sent messengers, telling them, “Go, inquire of Baal-zebub, the god of Ekron, whether I shall recover from this sickness.” 3But the angel of the LORD said to Elijah the Tishbite, “Arise, go up to meet the messengers of the king of Samaria, and say to them, ‘Is it because there is no God in Israel that you are going to inquire of Baal-zebub, the god of Ekron? 4Now therefore thus says the LORD, You shall not come down from the bed to which you have gone up, but you shall surely die.’” So Elijah went.
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-5The messengers returned to the king, and he said to them, “Why have you returned?” 6And they said to him, “There came a man to meet us, and said to us, ‘Go back to the king who sent you, and say to him, Thus says the LORD, Is it because there is no God in Israel that you are sending to inquire of Baal-zebub, the god of Ekron? Therefore you shall not come down from the bed to which you have gone up, but you shall surely die.’” 7He said to them, “What kind of man was he who came to meet you and told you these things?” 8They answered him, “He wore a garment of hair, with a belt of leather about his waist.” And he said, “It is Elijah the Tishbite.”
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-9Then the king sent to him a captain of fifty men with his fifty. He went up to Elijah, who was sitting on the top of a hill, and said to him, “O man of God, the king says, ‘Come down.’” 10But Elijah answered the captain of fifty, “If I am a man of God, let fire come down from heaven and consume you and your fifty.” Then fire came down from heaven and consumed him and his fifty.
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-11Again the king sent to him another captain of fifty men with his fifty. And he answered and said to him, “O man of God, this is the king's order, ‘Come down quickly!’” 12But Elijah answered them, “If I am a man of God, let fire come down from heaven and consume you and your fifty.” Then the fire of God came down from heaven and consumed him and his fifty.
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-13Again the king sent the captain of a third fifty with his fifty. And the third captain of fifty went up and came and fell on his knees before Elijah and entreated him, “O man of God, please let my life, and the life of these fifty servants of yours, be precious in your sight. 14Behold, fire came down from heaven and consumed the two former captains of fifty men with their fifties, but now let my life be precious in your sight.” 15Then the angel of the LORD said to Elijah, “Go down with him; do not be afraid of him.” So he arose and went down with him to the king 16and said to him, “Thus says the LORD, ‘Because you have sent messengers to inquire of Baal-zebub, the god of Ekron—is it because there is no God in Israel to inquire of his word?—therefore you shall not come down from the bed to which you have gone up, but you shall surely die.’”
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-17So he died according to the word of the LORD that Elijah had spoken. Jehoram became king in his place in the second year of Jehoram the son of Jehoshaphat, king of Judah, because Ahaziah had no son. 18Now the rest of the acts of Ahaziah that he did, are they not written in the Book of the Chronicles of the Kings of Israel?
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-Elijah Taken to Heaven
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-2:1 Now when the LORD was about to take Elijah up to heaven by a whirlwind, Elijah and Elisha were on their way from Gilgal. 2And Elijah said to Elisha, “Please stay here, for the LORD has sent me as far as Bethel.” But Elisha said, “As the LORD lives, and as you yourself live, I will not leave you.” So they went down to Bethel. 3And the sons of the prophets who were in Bethel came out to Elisha and said to him, “Do you know that today the LORD will take away your master from over you?” And he said, “Yes, I know it; keep quiet.”
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-4Elijah said to him, “Elisha, please stay here, for the LORD has sent me to Jericho.” But he said, “As the LORD lives, and as you yourself live, I will not leave you.” So they came to Jericho. 5The sons of the prophets who were at Jericho drew near to Elisha and said to him, “Do you know that today the LORD will take away your master from over you?” And he answered, “Yes, I know it; keep quiet.”
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-6Then Elijah said to him, “Please stay here, for the LORD has sent me to the Jordan.” But he said, “As the LORD lives, and as you yourself live, I will not leave you.” So the two of them went on. 7Fifty men of the sons of the prophets also went and stood at some distance from them, as they both were standing by the Jordan. 8Then Elijah took his cloak and rolled it up and struck the water, and the water was parted to the one side and to the other, till the two of them could go over on dry ground.
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-9When they had crossed, Elijah said to Elisha, “Ask what I shall do for you, before I am taken from you.” And Elisha said, “Please let there be a double portion of your spirit on me.” 10And he said, “You have asked a hard thing; yet, if you see me as I am being taken from you, it shall be so for you, but if you do not see me, it shall not be so.” 11And as they still went on and talked, behold, chariots of fire and horses of fire separated the two of them. And Elijah went up by a whirlwind into heaven. 12And Elisha saw it and he cried, “My father, my father! The chariots of Israel and its horsemen!” And he saw him no more.
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-Then he took hold of his own clothes and tore them in two pieces. 13And he took up the cloak of Elijah that had fallen from him and went back and stood on the bank of the Jordan. 14Then he took the cloak of Elijah that had fallen from him and struck the water, saying, “Where is the LORD, the God of Elijah?” And when he had struck the water, the water was parted to the one side and to the other, and Elisha went over.
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-Elisha Succeeds Elijah
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-15Now when the sons of the prophets who were at Jericho saw him opposite them, they said, “The spirit of Elijah rests on Elisha.” And they came to meet him and bowed to the ground before him. 16And they said to him, “Behold now, there are with your servants fifty strong men. Please let them go and seek your master. It may be that the Spirit of the LORD has caught him up and cast him upon some mountain or into some valley.” And he said, “You shall not send.” 17But when they urged him till he was ashamed, he said, “Send.” They sent therefore fifty men. And for three days they sought him but did not find him. 18And they came back to him while he was staying at Jericho, and he said to them, “Did I not say to you, ‘Do not go’?”
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-19Now the men of the city said to Elisha, “Behold, the situation of this city is pleasant, as my lord sees, but the water is bad, and the land is unfruitful.” 20He said, “Bring me a new bowl, and put salt in it.” So they brought it to him. 21Then he went to the spring of water and threw salt in it and said, “Thus says the LORD, I have healed this water; from now on neither death nor miscarriage shall come from it.” 22So the water has been healed to this day, according to the word that Elisha spoke.
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-23He went up from there to Bethel, and while he was going up on the way, some small boys came out of the city and jeered at him, saying, “Go up, you baldhead! Go up, you baldhead!” 24And he turned around, and when he saw them, he cursed them in the name of the LORD. And two she-bears came out of the woods and tore forty-two of the boys. 25From there he went on to Mount Carmel, and from there he returned to Samaria.
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-Moab Rebels Against Israel
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-3:1 In the eighteenth year of Jehoshaphat king of Judah, Jehoram the son of Ahab became king over Israel in Samaria, and he reigned twelve years. 2He did what was evil in the sight of the LORD, though not like his father and mother, for he put away the pillar of Baal that his father had made. 3Nevertheless, he clung to the sin of Jeroboam the son of Nebat, which he made Israel to sin; he did not depart from it.
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-4Now Mesha king of Moab was a sheep breeder, and he had to deliver to the king of Israel 100,000 lambs and the wool of 100,000 rams. 5But when Ahab died, the king of Moab rebelled against the king of Israel. 6So King Jehoram marched out of Samaria at that time and mustered all Israel. 7And he went and sent word to Jehoshaphat king of Judah, “The king of Moab has rebelled against me. Will you go with me to battle against Moab?” And he said, “I will go. I am as you are, my people as your people, my horses as your horses.” 8Then he said, “By which way shall we march?” Jehoram answered, “By the way of the wilderness of Edom.”
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-9So the king of Israel went with the king of Judah and the king of Edom. And when they had made a circuitous march of seven days, there was no water for the army or for the animals that followed them. 10Then the king of Israel said, “Alas! The LORD has called these three kings to give them into the hand of Moab.” 11And Jehoshaphat said, “Is there no prophet of the LORD here, through whom we may inquire of the LORD?” Then one of the king of Israel's servants answered, “Elisha the son of Shaphat is here, who poured water on the hands of Elijah.” 12And Jehoshaphat said, “The word of the LORD is with him.” So the king of Israel and Jehoshaphat and the king of Edom went down to him.
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-13And Elisha said to the king of Israel, “What have I to do with you? Go to the prophets of your father and to the prophets of your mother.” But the king of Israel said to him, “No; it is the LORD who has called these three kings to give them into the hand of Moab.” 14And Elisha said, “As the LORD of hosts lives, before whom I stand, were it not that I have regard for Jehoshaphat the king of Judah, I would neither look at you nor see you. 15But now bring me a musician.” And when the musician played, the hand of the LORD came upon him. 16And he said, “Thus says the LORD, ‘I will make this dry streambed full of pools.’ 17For thus says the LORD, ‘You shall not see wind or rain, but that streambed shall be filled with water, so that you shall drink, you, your livestock, and your animals.’ 18This is a light thing in the sight of the LORD. He will also give the Moabites into your hand, 19and you shall attack every fortified city and every choice city, and shall fell every good tree and stop up all springs of water and ruin every good piece of land with stones.” 20The next morning, about the time of offering the sacrifice, behold, water came from the direction of Edom, till the country was filled with water.
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-21When all the Moabites heard that the kings had come up to fight against them, all who were able to put on armor, from the youngest to the oldest, were called out and were drawn up at the border. 22And when they rose early in the morning and the sun shone on the water, the Moabites saw the water opposite them as red as blood. 23And they said, “This is blood; the kings have surely fought together and struck one another down. Now then, Moab, to the spoil!” 24But when they came to the camp of Israel, the Israelites rose and struck the Moabites, till they fled before them. And they went forward, striking the Moabites as they went.[1] 25And they overthrew the cities, and on every good piece of land every man threw a stone until it was covered. They stopped every spring of water and felled all the good trees, till only its stones were left in Kir-hareseth, and the slingers surrounded and attacked it. 26When the king of Moab saw that the battle was going against him, he took with him 700 swordsmen to break through, opposite the king of Edom, but they could not. 27Then he took his oldest son who was to reign in his place and offered him for a burnt offering on the wall. And there came great wrath against Israel. And they withdrew from him and returned to their own land.
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-Elisha and the Widow's Oil
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-4:1 Now the wife of one of the sons of the prophets cried to Elisha, “Your servant my husband is dead, and you know that your servant feared the LORD, but the creditor has come to take my two children to be his slaves.” 2And Elisha said to her, “What shall I do for you? Tell me; what have you in the house?” And she said, “Your servant has nothing in the house except a jar of oil.” 3Then he said, “Go outside, borrow vessels from all your neighbors, empty vessels and not too few. 4Then go in and shut the door behind yourself and your sons and pour into all these vessels. And when one is full, set it aside.” 5So she went from him and shut the door behind herself and her sons. And as she poured they brought the vessels to her. 6When the vessels were full, she said to her son, “Bring me another vessel.” And he said to her, “There is not another.” Then the oil stopped flowing. 7She came and told the man of God, and he said, “Go, sell the oil and pay your debts, and you and your sons can live on the rest.”
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-Elisha and the Shunammite Woman
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-8One day Elisha went on to Shunem, where a wealthy woman lived, who urged him to eat some food. So whenever he passed that way, he would turn in there to eat food. 9And she said to her husband, “Behold now, I know that this is a holy man of God who is continually passing our way. 10Let us make a small room on the roof with walls and put there for him a bed, a table, a chair, and a lamp, so that whenever he comes to us, he can go in there.”
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-11One day he came there, and he turned into the chamber and rested there. 12And he said to Gehazi his servant, “Call this Shunammite.” When he had called her, she stood before him. 13And he said to him, “Say now to her, ‘See, you have taken all this trouble for us; what is to be done for you? Would you have a word spoken on your behalf to the king or to the commander of the army?’” She answered, “I dwell among my own people.” 14And he said, “What then is to be done for her?” Gehazi answered, “Well, she has no son, and her husband is old.” 15He said, “Call her.” And when he had called her, she stood in the doorway. 16And he said, “At this season, about this time next year, you shall embrace a son.” And she said, “No, my lord, O man of God; do not lie to your servant.” 17But the woman conceived, and she bore a son about that time the following spring, as Elisha had said to her.
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-Elisha Raises the Shunammite's Son
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-18When the child had grown, he went out one day to his father among the reapers. 19And he said to his father, “Oh, my head, my head!” The father said to his servant, “Carry him to his mother.” 20And when he had lifted him and brought him to his mother, the child sat on her lap till noon, and then he died. 21And she went up and laid him on the bed of the man of God and shut the door behind him and went out. 22Then she called to her husband and said, “Send me one of the servants and one of the donkeys, that I may quickly go to the man of God and come back again.” 23And he said, “Why will you go to him today? It is neither new moon nor Sabbath.” She said, “All is well.” 24Then she saddled the donkey, and she said to her servant, “Urge the animal on; do not slacken the pace for me unless I tell you.” 25So she set out and came to the man of God at Mount Carmel.
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-When the man of God saw her coming, he said to Gehazi his servant, “Look, there is the Shunammite. 26Run at once to meet her and say to her, ‘Is all well with you? Is all well with your husband? Is all well with the child?’” And she answered, “All is well.” 27And when she came to the mountain to the man of God, she caught hold of his feet. And Gehazi came to push her away. But the man of God said, “Leave her alone, for she is in bitter distress, and the LORD has hidden it from me and has not told me.” 28Then she said, “Did I ask my lord for a son? Did I not say, ‘Do not deceive me?’” 29He said to Gehazi, “Tie up your garment and take my staff in your hand and go. If you meet anyone, do not greet him, and if anyone greets you, do not reply. And lay my staff on the face of the child.” 30Then the mother of the child said, “As the LORD lives and as you yourself live, I will not leave you.” So he arose and followed her. 31Gehazi went on ahead and laid the staff on the face of the child, but there was no sound or sign of life. Therefore he returned to meet him and told him, “The child has not awakened.”
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-32When Elisha came into the house, he saw the child lying dead on his bed. 33So he went in and shut the door behind the two of them and prayed to the LORD. 34Then he went up and lay on the child, putting his mouth on his mouth, his eyes on his eyes, and his hands on his hands. And as he stretched himself upon him, the flesh of the child became warm. 35Then he got up again and walked once back and forth in the house, and went up and stretched himself upon him. The child sneezed seven times, and the child opened his eyes. 36Then he summoned Gehazi and said, “Call this Shunammite.” So he called her. And when she came to him, he said, “Pick up your son.” 37She came and fell at his feet, bowing to the ground. Then she picked up her son and went out.
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-Elisha Purifies the Deadly Stew
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-38And Elisha came again to Gilgal when there was a famine in the land. And as the sons of the prophets were sitting before him, he said to his servant, “Set on the large pot, and boil stew for the sons of the prophets.” 39One of them went out into the field to gather herbs, and found a wild vine and gathered from it his lap full of wild gourds, and came and cut them up into the pot of stew, not knowing what they were. 40And they poured out some for the men to eat. But while they were eating of the stew, they cried out, “O man of God, there is death in the pot!” And they could not eat it. 41He said, “Then bring flour.” And he threw it into the pot and said, “Pour some out for the men, that they may eat.” And there was no harm in the pot.
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-42A man came from Baal-shalishah, bringing the man of God bread of the firstfruits, twenty loaves of barley and fresh ears of grain in his sack. And Elisha said, “Give to the men, that they may eat.” 43But his servant said, “How can I set this before a hundred men?” So he repeated, “Give them to the men, that they may eat, for thus says the LORD, ‘They shall eat and have some left.’” 44So he set it before them. And they ate and had some left, according to the word of the LORD.
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-Naaman Healed of Leprosy
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-5:1 Naaman, commander of the army of the king of Syria, was a great man with his master and in high favor, because by him the LORD had given victory to Syria. He was a mighty man of valor, but he was a leper.[2] 2Now the Syrians on one of their raids had carried off a little girl from the land of Israel, and she worked in the service of Naaman's wife. 3She said to her mistress, “Would that my lord were with the prophet who is in Samaria! He would cure him of his leprosy.” 4So Naaman went in and told his lord, “Thus and so spoke the girl from the land of Israel.” 5And the king of Syria said, “Go now, and I will send a letter to the king of Israel.”
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-So he went, taking with him ten talents of silver, six thousand shekels[3] of gold, and ten changes of clothing. 6And he brought the letter to the king of Israel, which read, “When this letter reaches you, know that I have sent to you Naaman my servant, that you may cure him of his leprosy.” 7And when the king of Israel read the letter, he tore his clothes and said, “Am I God, to kill and to make alive, that this man sends word to me to cure a man of his leprosy? Only consider, and see how he is seeking a quarrel with me.”
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-8But when Elisha the man of God heard that the king of Israel had torn his clothes, he sent to the king, saying, “Why have you torn your clothes? Let him come now to me, that he may know that there is a prophet in Israel.” 9So Naaman came with his horses and chariots and stood at the door of Elisha's house. 10And Elisha sent a messenger to him, saying, “Go and wash in the Jordan seven times, and your flesh shall be restored, and you shall be clean.” 11But Naaman was angry and went away, saying, “Behold, I thought that he would surely come out to me and stand and call upon the name of the LORD his God, and wave his hand over the place and cure the leper. 12Are not Abana[4] and Pharpar, the rivers of Damascus, better than all the waters of Israel? Could I not wash in them and be clean?” So he turned and went away in a rage. 13But his servants came near and said to him, “My father, it is a great word the prophet has spoken to you; will you not do it? Has he actually said to you, ‘Wash, and be clean’?” 14So he went down and dipped himself seven times in the Jordan, according to the word of the man of God, and his flesh was restored like the flesh of a little child, and he was clean.
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-Gehazi's Greed and Punishment
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-15Then he returned to the man of God, he and all his company, and he came and stood before him. And he said, “Behold, I know that there is no God in all the earth but in Israel; so accept now a present from your servant.” 16But he said, “As the LORD lives, before whom I stand, I will receive none.” And he urged him to take it, but he refused. 17Then Naaman said, “If not, please let there be given to your servant two mules' load of earth, for from now on your servant will not offer burnt offering or sacrifice to any god but the LORD. 18In this matter may the LORD pardon your servant: when my master goes into the house of Rimmon to worship there, leaning on my arm, and I bow myself in the house of Rimmon, when I bow myself in the house of Rimmon, the LORD pardon your servant in this matter.” 19He said to him, “Go in peace.”
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-But when Naaman had gone from him a short distance, 20Gehazi, the servant of Elisha the man of God, said, “See, my master has spared this Naaman the Syrian, in not accepting from his hand what he brought. As the LORD lives, I will run after him and get something from him.” 21So Gehazi followed Naaman. And when Naaman saw someone running after him, he got down from the chariot to meet him and said, “Is all well?” 22And he said, “All is well. My master has sent me to say, ‘There have just now come to me from the hill country of Ephraim two young men of the sons of the prophets. Please give them a talent of silver and two changes of clothing.’” 23And Naaman said, “Be pleased to accept two talents.” And he urged him and tied up two talents of silver in two bags, with two changes of clothing, and laid them on two of his servants. And they carried them before Gehazi. 24And when he came to the hill, he took them from their hand and put them in the house, and he sent the men away, and they departed. 25He went in and stood before his master, and Elisha said to him, “Where have you been, Gehazi?” And he said, “Your servant went nowhere.” 26But he said to him, “Did not my heart go when the man turned from his chariot to meet you? Was it a time to accept money and garments, olive orchards and vineyards, sheep and oxen, male servants and female servants? 27Therefore the leprosy of Naaman shall cling to you and to your descendants forever.” So he went out from his presence a leper, like snow.
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-The Axe Head Recovered
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-6:1 Now the sons of the prophets said to Elisha, “See, the place where we dwell under your charge is too small for us. 2Let us go to the Jordan and each of us get there a log, and let us make a place for us to dwell there.” And he answered, “Go.” 3Then one of them said, “Be pleased to go with your servants.” And he answered, “I will go.” 4So he went with them. And when they came to the Jordan, they cut down trees. 5But as one was felling a log, his axe head fell into the water, and he cried out, “Alas, my master! It was borrowed.” 6Then the man of God said, “Where did it fall?” When he showed him the place, he cut off a stick and threw it in there and made the iron float. 7And he said, “Take it up.” So he reached out his hand and took it.
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-Horses and Chariots of Fire
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-8Once when the king of Syria was warring against Israel, he took counsel with his servants, saying, “At such and such a place shall be my camp.” 9But the man of God sent word to the king of Israel, “Beware that you do not pass this place, for the Syrians are going down there.” 10And the king of Israel sent to the place about which the man of God told him. Thus he used to warn him, so that he saved himself there more than once or twice.
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-11And the mind of the king of Syria was greatly troubled because of this thing, and he called his servants and said to them, “Will you not show me who of us is for the king of Israel?” 12And one of his servants said, “None, my lord, O king; but Elisha, the prophet who is in Israel, tells the king of Israel the words that you speak in your bedroom.” 13And he said, “Go and see where he is, that I may send and seize him.” It was told him, “Behold, he is in Dothan.” 14So he sent there horses and chariots and a great army, and they came by night and surrounded the city.
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-15When the servant of the man of God rose early in the morning and went out, behold, an army with horses and chariots was all around the city. And the servant said, “Alas, my master! What shall we do?” 16He said, “Do not be afraid, for those who are with us are more than those who are with them.” 17Then Elisha prayed and said, “O LORD, please open his eyes that he may see.” So the LORD opened the eyes of the young man, and he saw, and behold, the mountain was full of horses and chariots of fire all around Elisha. 18And when the Syrians came down against him, Elisha prayed to the LORD and said, “Please strike this people with blindness.” So he struck them with blindness in accordance with the prayer of Elisha. 19And Elisha said to them, “This is not the way, and this is not the city. Follow me, and I will bring you to the man whom you seek.” And he led them to Samaria.
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-20As soon as they entered Samaria, Elisha said, “O LORD, open the eyes of these men, that they may see.” So the LORD opened their eyes and they saw, and behold, they were in the midst of Samaria. 21As soon as the king of Israel saw them, he said to Elisha, “My father, shall I strike them down? Shall I strike them down?” 22He answered, “You shall not strike them down. Would you strike down those whom you have taken captive with your sword and with your bow? Set bread and water before them, that they may eat and drink and go to their master.” 23So he prepared for them a great feast, and when they had eaten and drunk, he sent them away, and they went to their master. And the Syrians did not come again on raids into the land of Israel.
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-Ben-hadad's Siege of Samaria
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-24Afterward Ben-hadad king of Syria mustered his entire army and went up and besieged Samaria. 25And there was a great famine in Samaria, as they besieged it, until a donkey's head was sold for eighty shekels of silver, and the fourth part of a kab[5] of dove's dung for five shekels of silver. 26Now as the king of Israel was passing by on the wall, a woman cried out to him, saying, “Help, my lord, O king!” 27And he said, “If the LORD will not help you, how shall I help you? From the threshing floor, or from the winepress?” 28And the king asked her, “What is your trouble?” She answered, “This woman said to me, ‘Give your son, that we may eat him today, and we will eat my son tomorrow.’ 29So we boiled my son and ate him. And on the next day I said to her, ‘Give your son, that we may eat him.’ But she has hidden her son.” 30When the king heard the words of the woman, he tore his clothes—now he was passing by on the wall—and the people looked, and behold, he had sackcloth beneath on his body— 31and he said, “May God do so to me and more also, if the head of Elisha the son of Shaphat remains on his shoulders today.”
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-32Elisha was sitting in his house, and the elders were sitting with him. Now the king had dispatched a man from his presence, but before the messenger arrived Elisha said to the elders, “Do you see how this murderer has sent to take off my head? Look, when the messenger comes, shut the door and hold the door fast against him. Is not the sound of his master's feet behind him?” 33And while he was still speaking with them, the messenger came down to him and said, “This trouble is from the LORD! Why should I wait for the LORD any longer?”
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-Elisha Promises Food
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-7:1 But Elisha said, “Hear the word of the LORD: thus says the LORD, Tomorrow about this time a seah[6] of fine flour shall be sold for a shekel,[7] and two seahs of barley for a shekel, at the gate of Samaria.” 2Then the captain on whose hand the king leaned said to the man of God, “If the LORD himself should make windows in heaven, could this thing be?” But he said, “You shall see it with your own eyes, but you shall not eat of it.”
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-The Syrians Flee
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-3Now there were four men who were lepers[8] at the entrance to the gate. And they said to one another, “Why are we sitting here until we die? 4If we say, ‘Let us enter the city,’ the famine is in the city, and we shall die there. And if we sit here, we die also. So now come, let us go over to the camp of the Syrians. If they spare our lives we shall live, and if they kill us we shall but die.” 5So they arose at twilight to go to the camp of the Syrians. But when they came to the edge of the camp of the Syrians, behold, there was no one there. 6For the Lord had made the army of the Syrians hear the sound of chariots and of horses, the sound of a great army, so that they said to one another, “Behold, the king of Israel has hired against us the kings of the Hittites and the kings of Egypt to come against us.” 7So they fled away in the twilight and abandoned their tents, their horses, and their donkeys, leaving the camp as it was, and fled for their lives. 8And when these lepers came to the edge of the camp, they went into a tent and ate and drank, and they carried off silver and gold and clothing and went and hid them. Then they came back and entered another tent and carried off things from it and went and hid them.
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-9Then they said to one another, “We are not doing right. This day is a day of good news. If we are silent and wait until the morning light, punishment will overtake us. Now therefore come; let us go and tell the king's household.” 10So they came and called to the gatekeepers of the city and told them, “We came to the camp of the Syrians, and behold, there was no one to be seen or heard there, nothing but the horses tied and the donkeys tied and the tents as they were.” 11Then the gatekeepers called out, and it was told within the king's household. 12And the king rose in the night and said to his servants, “I will tell you what the Syrians have done to us. They know that we are hungry. Therefore they have gone out of the camp to hide themselves in the open country, thinking, ‘When they come out of the city, we shall take them alive and get into the city.’” 13And one of his servants said, “Let some men take five of the remaining horses, seeing that those who are left here will fare like the whole multitude of Israel who have already perished. Let us send and see.” 14So they took two horsemen, and the king sent them after the army of the Syrians, saying, “Go and see.” 15So they went after them as far as the Jordan, and behold, all the way was littered with garments and equipment that the Syrians had thrown away in their haste. And the messengers returned and told the king.
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-16Then the people went out and plundered the camp of the Syrians. So a seah of fine flour was sold for a shekel, and two seahs of barley for a shekel, according to the word of the LORD. 17Now the king had appointed the captain on whose hand he leaned to have charge of the gate. And the people trampled him in the gate, so that he died, as the man of God had said when the king came down to him. 18For when the man of God had said to the king, “Two seahs of barley shall be sold for a shekel, and a seah of fine flour for a shekel, about this time tomorrow in the gate of Samaria,” 19the captain had answered the man of God, “If the LORD himself should make windows in heaven, could such a thing be?” And he had said, “You shall see it with your own eyes, but you shall not eat of it.” 20And so it happened to him, for the people trampled him in the gate and he died.
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-The Shunammite's Land Restored
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-8:1 Now Elisha had said to the woman whose son he had restored to life, “Arise, and depart with your household, and sojourn wherever you can, for the LORD has called for a famine, and it will come upon the land for seven years.” 2So the woman arose and did according to the word of the man of God. She went with her household and sojourned in the land of the Philistines seven years. 3And at the end of the seven years, when the woman returned from the land of the Philistines, she went to appeal to the king for her house and her land. 4Now the king was talking with Gehazi the servant of the man of God, saying, “Tell me all the great things that Elisha has done.” 5And while he was telling the king how Elisha had restored the dead to life, behold, the woman whose son he had restored to life appealed to the king for her house and her land. And Gehazi said, “My lord, O king, here is the woman, and here is her son whom Elisha restored to life.” 6And when the king asked the woman, she told him. So the king appointed an official for her, saying, “Restore all that was hers, together with all the produce of the fields from the day that she left the land until now.”
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-Hazael Murders Ben-hadad
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-7Now Elisha came to Damascus. Ben-hadad the king of Syria was sick. And when it was told him, “The man of God has come here,” 8the king said to Hazael, “Take a present with you and go to meet the man of God, and inquire of the LORD through him, saying, ‘Shall I recover from this sickness?’” 9So Hazael went to meet him, and took a present with him, all kinds of goods of Damascus, forty camel loads. When he came and stood before him, he said, “Your son Ben-hadad king of Syria has sent me to you, saying, ‘Shall I recover from this sickness?’” 10And Elisha said to him, “Go, say to him, ‘You shall certainly recover,’ but the LORD has shown me that he shall certainly die.” 11And he fixed his gaze and stared at him, until he was embarrassed. And the man of God wept. 12And Hazael said, “Why does my lord weep?” He answered, “Because I know the evil that you will do to the people of Israel. You will set on fire their fortresses, and you will kill their young men with the sword and dash in pieces their little ones and rip open their pregnant women.” 13And Hazael said, “What is your servant, who is but a dog, that he should do this great thing?” Elisha answered, “The LORD has shown me that you are to be king over Syria.” 14Then he departed from Elisha and came to his master, who said to him, “What did Elisha say to you?” And he answered, “He told me that you would certainly recover.” 15But the next day he took the bed cloth[9] and dipped it in water and spread it over his face, till he died. And Hazael became king in his place.
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-Jehoram Reigns in Judah
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-16In the fifth year of Joram the son of Ahab, king of Israel, when Jehoshaphat was king of Judah,[10] Jehoram the son of Jehoshaphat, king of Judah, began to reign. 17He was thirty-two years old when he became king, and he reigned eight years in Jerusalem. 18And he walked in the way of the kings of Israel, as the house of Ahab had done, for the daughter of Ahab was his wife. And he did what was evil in the sight of the LORD. 19Yet the LORD was not willing to destroy Judah, for the sake of David his servant, since he promised to give a lamp to him and to his sons forever.
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-20In his days Edom revolted from the rule of Judah and set up a king of their own. 21Then Joram[11] passed over to Zair with all his chariots and rose by night, and he and his chariot commanders struck the Edomites who had surrounded him, but his army fled home. 22So Edom revolted from the rule of Judah to this day. Then Libnah revolted at the same time. 23Now the rest of the acts of Joram, and all that he did, are they not written in the Book of the Chronicles of the Kings of Judah? 24So Joram slept with his fathers and was buried with his fathers in the city of David, and Ahaziah his son reigned in his place.
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-Ahaziah Reigns in Judah
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-25In the twelfth year of Joram the son of Ahab, king of Israel, Ahaziah the son of Jehoram, king of Judah, began to reign. 26Ahaziah was twenty-two years old when he began to reign, and he reigned one year in Jerusalem. His mother's name was Athaliah; she was a granddaughter of Omri king of Israel. 27He also walked in the way of the house of Ahab and did what was evil in the sight of the LORD, as the house of Ahab had done, for he was son-in-law to the house of Ahab.
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-28He went with Joram the son of Ahab to make war against Hazael king of Syria at Ramoth-gilead, and the Syrians wounded Joram. 29And King Joram returned to be healed in Jezreel of the wounds that the Syrians had given him at Ramah, when he fought against Hazael king of Syria. And Ahaziah the son of Jehoram king of Judah went down to see Joram the son of Ahab in Jezreel, because he was sick.
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-Jehu Anointed King of Israel
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-9:1 Then Elisha the prophet called one of the sons of the prophets and said to him, “Tie up your garments, and take this flask of oil in your hand, and go to Ramoth-gilead. 2And when you arrive, look there for Jehu the son of Jehoshaphat, son of Nimshi. And go in and have him rise from among his fellows, and lead him to an inner chamber. 3Then take the flask of oil and pour it on his head and say, ‘Thus says the LORD, I anoint you king over Israel.’ Then open the door and flee; do not linger.”
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-4So the young man, the servant of the prophet, went to Ramoth-gilead. 5And when he came, behold, the commanders of the army were in council. And he said, “I have a word for you, O commander.” And Jehu said, “To which of us all?” And he said, “To you, O commander.” 6So he arose and went into the house. And the young man poured the oil on his head, saying to him, “Thus says the LORD, the God of Israel, I anoint you king over the people of the LORD, over Israel. 7And you shall strike down the house of Ahab your master, so that I may avenge on Jezebel the blood of my servants the prophets, and the blood of all the servants of the LORD. 8For the whole house of Ahab shall perish, and I will cut off from Ahab every male, bond or free, in Israel. 9And I will make the house of Ahab like the house of Jeroboam the son of Nebat, and like the house of Baasha the son of Ahijah. 10And the dogs shall eat Jezebel in the territory of Jezreel, and none shall bury her.” Then he opened the door and fled.
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-11When Jehu came out to the servants of his master, they said to him, “Is all well? Why did this mad fellow come to you?” And he said to them, “You know the fellow and his talk.” 12And they said, “That is not true; tell us now.” And he said, “Thus and so he spoke to me, saying, ‘Thus says the LORD, I anoint you king over Israel.’” 13Then in haste every man of them took his garment and put it under him on the bare[12] steps, and they blew the trumpet and proclaimed, “Jehu is king.”
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-Jehu Assassinates Joram and Ahaziah
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-14Thus Jehu the son of Jehoshaphat the son of Nimshi conspired against Joram. (Now Joram with all Israel had been on guard at Ramoth-gilead against Hazael king of Syria, 15but King Joram had returned to be healed in Jezreel of the wounds that the Syrians had given him, when he fought with Hazael king of Syria.) So Jehu said, “If this is your decision, then let no one slip out of the city to go and tell the news in Jezreel.” 16Then Jehu mounted his chariot and went to Jezreel, for Joram lay there. And Ahaziah king of Judah had come down to visit Joram.
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-17Now the watchman was standing on the tower in Jezreel, and he saw the company of Jehu as he came and said, “I see a company.” And Joram said, “Take a horseman and send to meet them, and let him say, ‘Is it peace?’” 18So a man on horseback went to meet him and said, “Thus says the king, ‘Is it peace?’” And Jehu said, “What do you have to do with peace? Turn around and ride behind me.” And the watchman reported, saying, “The messenger reached them, but he is not coming back.” 19Then he sent out a second horseman, who came to them and said, “Thus the king has said, ‘Is it peace?’” And Jehu answered, “What do you have to do with peace? Turn around and ride behind me.” 20Again the watchman reported, “He reached them, but he is not coming back. And the driving is like the driving of Jehu the son of Nimshi, for he drives furiously.”
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-21Joram said, “Make ready.” And they made ready his chariot. Then Joram king of Israel and Ahaziah king of Judah set out, each in his chariot, and went to meet Jehu, and met him at the property of Naboth the Jezreelite. 22And when Joram saw Jehu, he said, “Is it peace, Jehu?” He answered, “What peace can there be, so long as the whorings and the sorceries of your mother Jezebel are so many?” 23Then Joram reined about and fled, saying to Ahaziah, “Treachery, O Ahaziah!” 24And Jehu drew his bow with his full strength, and shot Joram between the shoulders, so that the arrow pierced his heart, and he sank in his chariot. 25Jehu said to Bidkar his aide, “Take him up and throw him on the plot of ground belonging to Naboth the Jezreelite. For remember, when you and I rode side by side behind Ahab his father, how the LORD made this pronouncement against him: 26‘As surely as I saw yesterday the blood of Naboth and the blood of his sons—declares the LORD—I will repay you on this plot of ground.’ Now therefore take him up and throw him on the plot of ground, in accordance with the word of the LORD.”
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-27When Ahaziah the king of Judah saw this, he fled in the direction of Beth-haggan. And Jehu pursued him and said, “Shoot him also.” And they shot him[13] in the chariot at the ascent of Gur, which is by Ibleam. And he fled to Megiddo and died there. 28His servants carried him in a chariot to Jerusalem, and buried him in his tomb with his fathers in the city of David.
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-29In the eleventh year of Joram the son of Ahab, Ahaziah began to reign over Judah.
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-Jehu Executes Jezebel
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-30When Jehu came to Jezreel, Jezebel heard of it. And she painted her eyes and adorned her head and looked out of the window. 31And as Jehu entered the gate, she said, “Is it peace, you Zimri, murderer of your master?” 32And he lifted up his face to the window and said, “Who is on my side? Who?” Two or three eunuchs looked out at him. 33He said, “Throw her down.” So they threw her down. And some of her blood spattered on the wall and on the horses, and they trampled on her. 34Then he went in and ate and drank. And he said, “See now to this cursed woman and bury her, for she is a king's daughter.” 35But when they went to bury her, they found no more of her than the skull and the feet and the palms of her hands. 36When they came back and told him, he said, “This is the word of the LORD, which he spoke by his servant Elijah the Tishbite, ‘In the territory of Jezreel the dogs shall eat the flesh of Jezebel, 37and the corpse of Jezebel shall be as dung on the face of the field in the territory of Jezreel, so that no one can say, This is Jezebel.’”
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-Jehu Slaughters Ahab's Descendants
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-10:1 Now Ahab had seventy sons in Samaria. So Jehu wrote letters and sent them to Samaria, to the rulers of the city,[14] to the elders, and to the guardians of the sons[15] of Ahab, saying, 2“Now then, as soon as this letter comes to you, seeing your master's sons are with you, and there are with you chariots and horses, fortified cities also, and weapons, 3select the best and fittest of your master's sons and set him on his father's throne and fight for your master's house.” 4But they were exceedingly afraid and said, “Behold, the two kings could not stand before him. How then can we stand?” 5So he who was over the palace, and he who was over the city, together with the elders and the guardians, sent to Jehu, saying, “We are your servants, and we will do all that you tell us. We will not make anyone king. Do whatever is good in your eyes.” 6Then he wrote to them a second letter, saying, “If you are on my side, and if you are ready to obey me, take the heads of your master's sons and come to me at Jezreel tomorrow at this time.” Now the king's sons, seventy persons, were with the great men of the city, who were bringing them up. 7And as soon as the letter came to them, they took the king's sons and slaughtered them, seventy persons, and put their heads in baskets and sent them to him at Jezreel. 8When the messenger came and told him, “They have brought the heads of the king's sons,” he said, “Lay them in two heaps at the entrance of the gate until the morning.” 9Then in the morning, when he went out, he stood and said to all the people, “You are innocent. It was I who conspired against my master and killed him, but who struck down all these? 10Know then that there shall fall to the earth nothing of the word of the LORD, which the LORD spoke concerning the house of Ahab, for the LORD has done what he said by his servant Elijah.” 11So Jehu struck down all who remained of the house of Ahab in Jezreel, all his great men and his close friends and his priests, until he left him none remaining.
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-12Then he set out and went to Samaria. On the way, when he was at Beth-eked of the Shepherds, 13Jehu met the relatives of Ahaziah king of Judah, and he said, “Who are you?” And they answered, “We are the relatives of Ahaziah, and we came down to visit the royal princes and the sons of the queen mother.” 14He said, “Take them alive.” And they took them alive and slaughtered them at the pit of Beth-eked, forty-two persons, and he spared none of them.
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-15And when he departed from there, he met Jehonadab the son of Rechab coming to meet him. And he greeted him and said to him, “Is your heart true to my heart as mine is to yours?” And Jehonadab answered, “It is.” Jehu said,[16] “If it is, give me your hand.” So he gave him his hand. And Jehu took him up with him into the chariot. 16And he said, “Come with me, and see my zeal for the LORD.” So he[17] had him ride in his chariot. 17And when he came to Samaria, he struck down all who remained to Ahab in Samaria, till he had wiped them out, according to the word of the LORD that he spoke to Elijah.
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-Jehu Strikes Down the Prophets of Baal
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-18Then Jehu assembled all the people and said to them, “Ahab served Baal a little, but Jehu will serve him much. 19Now therefore call to me all the prophets of Baal, all his worshipers and all his priests. Let none be missing, for I have a great sacrifice to offer to Baal. Whoever is missing shall not live.” But Jehu did it with cunning in order to destroy the worshipers of Baal. 20And Jehu ordered, “Sanctify a solemn assembly for Baal.” So they proclaimed it. 21And Jehu sent throughout all Israel, and all the worshipers of Baal came, so that there was not a man left who did not come. And they entered the house of Baal, and the house of Baal was filled from one end to the other. 22He said to him who was in charge of the wardrobe, “Bring out the vestments for all the worshipers of Baal.” So he brought out the vestments for them. 23Then Jehu went into the house of Baal with Jehonadab the son of Rechab, and he said to the worshipers of Baal, “Search, and see that there is no servant of the LORD here among you, but only the worshipers of Baal.” 24Then they[18] went in to offer sacrifices and burnt offerings.
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-Now Jehu had stationed eighty men outside and said, “The man who allows any of those whom I give into your hands to escape shall forfeit his life.” 25So as soon as he had made an end of offering the burnt offering, Jehu said to the guard and to the officers, “Go in and strike them down; let not a man escape.” So when they put them to the sword, the guard and the officers cast them out and went into the inner room of the house of Baal, 26and they brought out the pillar that was in the house of Baal and burned it. 27And they demolished the pillar of Baal, and demolished the house of Baal, and made it a latrine to this day.
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-Jehu Reigns in Israel
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-28Thus Jehu wiped out Baal from Israel. 29But Jehu did not turn aside from the sins of Jeroboam the son of Nebat, which he made Israel to sin—that is, the golden calves that were in Bethel and in Dan. 30And the LORD said to Jehu, “Because you have done well in carrying out what is right in my eyes, and have done to the house of Ahab according to all that was in my heart, your sons of the fourth generation shall sit on the throne of Israel.” 31But Jehu was not careful to walk in the law of the LORD, the God of Israel, with all his heart. He did not turn from the sins of Jeroboam, which he made Israel to sin.
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-32In those days the LORD began to cut off parts of Israel. Hazael defeated them throughout the territory of Israel: 33from the Jordan eastward, all the land of Gilead, the Gadites, and the Reubenites, and the Manassites, from Aroer, which is by the Valley of the Arnon, that is, Gilead and Bashan. 34Now the rest of the acts of Jehu and all that he did, and all his might, are they not written in the Book of the Chronicles of the Kings of Israel? 35So Jehu slept with his fathers, and they buried him in Samaria. And Jehoahaz his son reigned in his place. 36The time that Jehu reigned over Israel in Samaria was twenty-eight years.
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-Athaliah Reigns in Judah
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-11:1 Now when Athaliah the mother of Ahaziah saw that her son was dead, she arose and destroyed all the royal family. 2But Jehosheba, the daughter of King Joram, sister of Ahaziah, took Joash the son of Ahaziah and stole him away from among the king's sons who were being put to death, and she put[19] him and his nurse in a bedroom. Thus they[20] hid him from Athaliah, so that he was not put to death. 3And he remained with her six years, hidden in the house of the LORD, while Athaliah reigned over the land.
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-Joash Anointed King in Judah
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-4But in the seventh year Jehoiada sent and brought the captains of the Carites and of the guards, and had them come to him in the house of the LORD. And he made a covenant with them and put them under oath in the house of the LORD, and he showed them the king's son. 5And he commanded them, “This is the thing that you shall do: one third of you, those who come off duty on the Sabbath and guard the king's house 6(another third being at the gate Sur and a third at the gate behind the guards) shall guard the palace.[21] 7And the two divisions of you, which come on duty in force on the Sabbath and guard the house of the LORD on behalf of the king, 8shall surround the king, each with his weapons in his hand. And whoever approaches the ranks is to be put to death. Be with the king when he goes out and when he comes in.”
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-9The captains did according to all that Jehoiada the priest commanded, and they each brought his men who were to go off duty on the Sabbath, with those who were to come on duty on the Sabbath, and came to Jehoiada the priest. 10And the priest gave to the captains the spears and shields that had been King David's, which were in the house of the LORD. 11And the guards stood, every man with his weapons in his hand, from the south side of the house to the north side of the house, around the altar and the house on behalf of the king. 12Then he brought out the king's son and put the crown on him and gave him the testimony. And they proclaimed him king and anointed him, and they clapped their hands and said, “Long live the king!”
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-13When Athaliah heard the noise of the guard and of the people, she went into the house of the LORD to the people. 14And when she looked, there was the king standing by the pillar, according to the custom, and the captains and the trumpeters beside the king, and all the people of the land rejoicing and blowing trumpets. And Athaliah tore her clothes and cried, “Treason! Treason!” 15Then Jehoiada the priest commanded the captains who were set over the army, “Bring her out between the ranks, and put to death with the sword anyone who follows her.” For the priest said, “Let her not be put to death in the house of the LORD.” 16So they laid hands on her; and she went through the horses' entrance to the king's house, and there she was put to death.
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-17And Jehoiada made a covenant between the LORD and the king and people, that they should be the LORD's people, and also between the king and the people. 18Then all the people of the land went to the house of Baal and tore it down; his altars and his images they broke in pieces, and they killed Mattan the priest of Baal before the altars. And the priest posted watchmen over the house of the LORD. 19And he took the captains, the Carites, the guards, and all the people of the land, and they brought the king down from the house of the LORD, marching through the gate of the guards to the king's house. And he took his seat on the throne of the kings. 20So all the people of the land rejoiced, and the city was quiet after Athaliah had been put to death with the sword at the king's house.
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-Jehoash Reigns in Judah
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-21[22] Jehoash[23] was seven years old when he began to reign.
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-12:1 In the seventh year of Jehu, Jehoash[24] began to reign, and he reigned forty years in Jerusalem. His mother's name was Zibiah of Beersheba. 2And Jehoash did what was right in the eyes of the LORD all his days, because Jehoiada the priest instructed him. 3Nevertheless, the high places were not taken away; the people continued to sacrifice and make offerings on the high places.
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-Jehoash Repairs the Temple
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-4Jehoash said to the priests, “All the money of the holy things that is brought into the house of the LORD, the money for which each man is assessed—the money from the assessment of persons—and the money that a man's heart prompts him to bring into the house of the LORD, 5let the priests take, each from his donor, and let them repair the house wherever any need of repairs is discovered.” 6But by the twenty-third year of King Jehoash, the priests had made no repairs on the house. 7Therefore King Jehoash summoned Jehoiada the priest and the other priests and said to them, “Why are you not repairing the house? Now therefore take no more money from your donors, but hand it over for the repair of the house.” 8So the priests agreed that they should take no more money from the people, and that they should not repair the house.
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-9Then Jehoiada the priest took a chest and bored a hole in the lid of it and set it beside the altar on the right side as one entered the house of the LORD. And the priests who guarded the threshold put in it all the money that was brought into the house of the LORD. 10And whenever they saw that there was much money in the chest, the king's secretary and the high priest came up and they bagged and counted the money that was found in the house of the LORD. 11Then they would give the money that was weighed out into the hands of the workmen who had the oversight of the house of the LORD. And they paid it out to the carpenters and the builders who worked on the house of the LORD, 12and to the masons and the stonecutters, as well as to buy timber and quarried stone for making repairs on the house of the LORD, and for any outlay for the repairs of the house. 13But there were not made for the house of the LORD basins of silver, snuffers, bowls, trumpets, or any vessels of gold, or of silver, from the money that was brought into the house of the LORD, 14for that was given to the workmen who were repairing the house of the LORD with it. 15And they did not ask an accounting from the men into whose hand they delivered the money to pay out to the workmen, for they dealt honestly. 16The money from the guilt offerings and the money from the sin offerings was not brought into the house of the LORD; it belonged to the priests.
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-17At that time Hazael king of Syria went up and fought against Gath and took it. But when Hazael set his face to go up against Jerusalem, 18Jehoash king of Judah took all the sacred gifts that Jehoshaphat and Jehoram and Ahaziah his fathers, the kings of Judah, had dedicated, and his own sacred gifts, and all the gold that was found in the treasuries of the house of the LORD and of the king's house, and sent these to Hazael king of Syria. Then Hazael went away from Jerusalem.
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-The Death of Joash
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-19Now the rest of the acts of Joash and all that he did, are they not written in the Book of the Chronicles of the Kings of Judah? 20His servants arose and made a conspiracy and struck down Joash in the house of Millo, on the way that goes down to Silla. 21It was Jozacar the son of Shimeath and Jehozabad the son of Shomer, his servants, who struck him down, so that he died. And they buried him with his fathers in the city of David, and Amaziah his son reigned in his place.
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-Jehoahaz Reigns in Israel
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-13:1 In the twenty-third year of Joash the son of Ahaziah, king of Judah, Jehoahaz the son of Jehu began to reign over Israel in Samaria, and he reigned seventeen years. 2He did what was evil in the sight of the LORD and followed the sins of Jeroboam the son of Nebat, which he made Israel to sin; he did not depart from them. 3And the anger of the LORD was kindled against Israel, and he gave them continually into the hand of Hazael king of Syria and into the hand of Ben-hadad the son of Hazael. 4Then Jehoahaz sought the favor of the LORD, and the LORD listened to him, for he saw the oppression of Israel, how the king of Syria oppressed them. 5(Therefore the LORD gave Israel a savior, so that they escaped from the hand of the Syrians, and the people of Israel lived in their homes as formerly. 6Nevertheless, they did not depart from the sins of the house of Jeroboam, which he made Israel to sin, but walked[25] in them; and the Asherah also remained in Samaria.) 7For there was not left to Jehoahaz an army of more than fifty horsemen and ten chariots and ten thousand footmen, for the king of Syria had destroyed them and made them like the dust at threshing. 8Now the rest of the acts of Jehoahaz and all that he did, and his might, are they not written in the Book of the Chronicles of the Kings of Israel? 9So Jehoahaz slept with his fathers, and they buried him in Samaria, and Joash his son reigned in his place.
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-Jehoash Reigns in Israel
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-10In the thirty-seventh year of Joash king of Judah, Jehoash[26] the son of Jehoahaz began to reign over Israel in Samaria, and he reigned sixteen years. 11He also did what was evil in the sight of the LORD. He did not depart from all the sins of Jeroboam the son of Nebat, which he made Israel to sin, but he walked in them. 12Now the rest of the acts of Joash and all that he did, and the might with which he fought against Amaziah king of Judah, are they not written in the Book of the Chronicles of the Kings of Israel? 13So Joash slept with his fathers, and Jeroboam sat on his throne. And Joash was buried in Samaria with the kings of Israel.
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-The Death of Elisha
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-14Now when Elisha had fallen sick with the illness of which he was to die, Joash king of Israel went down to him and wept before him, crying, “My father, my father! The chariots of Israel and its horsemen!” 15And Elisha said to him, “Take a bow and arrows.” So he took a bow and arrows. 16Then he said to the king of Israel, “Draw the bow,” and he drew it. And Elisha laid his hands on the king's hands. 17And he said, “Open the window eastward,” and he opened it. Then Elisha said, “Shoot,” and he shot. And he said, “The LORD's arrow of victory, the arrow of victory over Syria! For you shall fight the Syrians in Aphek until you have made an end of them.” 18And he said, “Take the arrows,” and he took them. And he said to the king of Israel, “Strike the ground with them.” And he struck three times and stopped. 19Then the man of God was angry with him and said, “You should have struck five or six times; then you would have struck down Syria until you had made an end of it, but now you will strike down Syria only three times.”
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-20So Elisha died, and they buried him. Now bands of Moabites used to invade the land in the spring of the year. 21And as a man was being buried, behold, a marauding band was seen and the man was thrown into the grave of Elisha, and as soon as the man touched the bones of Elisha, he revived and stood on his feet.
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-22Now Hazael king of Syria oppressed Israel all the days of Jehoahaz. 23But the LORD was gracious to them and had compassion on them, and he turned toward them, because of his covenant with Abraham, Isaac, and Jacob, and would not destroy them, nor has he cast them from his presence until now.
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-24When Hazael king of Syria died, Ben-hadad his son became king in his place. 25Then Jehoash the son of Jehoahaz took again from Ben-hadad the son of Hazael the cities that he had taken from Jehoahaz his father in war. Three times Joash defeated him and recovered the cities of Israel.
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-Amaziah Reigns in Judah
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-14:1 In the second year of Joash the son of Joahaz, king of Israel, Amaziah the son of Joash, king of Judah, began to reign. 2He was twenty-five years old when he began to reign, and he reigned twenty-nine years in Jerusalem. His mother's name was Jehoaddin of Jerusalem. 3And he did what was right in the eyes of the LORD, yet not like David his father. He did in all things as Joash his father had done. 4But the high places were not removed; the people still sacrificed and made offerings on the high places. 5And as soon as the royal power was firmly in his hand, he struck down his servants who had struck down the king his father. 6But he did not put to death the children of the murderers, according to what is written in the Book of the Law of Moses, where the LORD commanded, “Fathers shall not be put to death because of their children, nor shall children be put to death because of their fathers. But each one shall die for his own sin.”
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-7He struck down ten thousand Edomites in the Valley of Salt and took Sela by storm, and called it Joktheel, which is its name to this day.
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-8Then Amaziah sent messengers to Jehoash[27] the son of Jehoahaz, son of Jehu, king of Israel, saying, “Come, let us look one another in the face.” 9And Jehoash king of Israel sent word to Amaziah king of Judah, “A thistle on Lebanon sent to a cedar on Lebanon, saying, ‘Give your daughter to my son for a wife,’ and a wild beast of Lebanon passed by and trampled down the thistle. 10You have indeed struck down Edom, and your heart has lifted you up. Be content with your glory, and stay at home, for why should you provoke trouble so that you fall, you and Judah with you?”
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-11But Amaziah would not listen. So Jehoash king of Israel went up, and he and Amaziah king of Judah faced one another in battle at Beth-shemesh, which belongs to Judah. 12And Judah was defeated by Israel, and every man fled to his home. 13And Jehoash king of Israel captured Amaziah king of Judah, the son of Jehoash, son of Ahaziah, at Beth-shemesh, and came to Jerusalem and broke down the wall of Jerusalem for four hundred cubits,[28] from the Ephraim Gate to the Corner Gate. 14And he seized all the gold and silver, and all the vessels that were found in the house of the LORD and in the treasuries of the king's house, also hostages, and he returned to Samaria.
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-15Now the rest of the acts of Jehoash that he did, and his might, and how he fought with Amaziah king of Judah, are they not written in the Book of the Chronicles of the Kings of Israel? 16And Jehoash slept with his fathers and was buried in Samaria with the kings of Israel, and Jeroboam his son reigned in his place.
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-17Amaziah the son of Joash, king of Judah, lived fifteen years after the death of Jehoash son of Jehoahaz, king of Israel. 18Now the rest of the deeds of Amaziah, are they not written in the Book of the Chronicles of the Kings of Judah? 19And they made a conspiracy against him in Jerusalem, and he fled to Lachish. But they sent after him to Lachish and put him to death there. 20And they brought him on horses; and he was buried in Jerusalem with his fathers in the city of David. 21And all the people of Judah took Azariah, who was sixteen years old, and made him king instead of his father Amaziah. 22He built Elath and restored it to Judah, after the king slept with his fathers.
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-Jeroboam II Reigns in Israel
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-23In the fifteenth year of Amaziah the son of Joash, king of Judah, Jeroboam the son of Joash, king of Israel, began to reign in Samaria, and he reigned forty-one years. 24And he did what was evil in the sight of the LORD. He did not depart from all the sins of Jeroboam the son of Nebat, which he made Israel to sin. 25He restored the border of Israel from Lebo-hamath as far as the Sea of the Arabah, according to the word of the LORD, the God of Israel, which he spoke by his servant Jonah the son of Amittai, the prophet, who was from Gath-hepher. 26For the LORD saw that the affliction of Israel was very bitter, for there was none left, bond or free, and there was none to help Israel. 27But the LORD had not said that he would blot out the name of Israel from under heaven, so he saved them by the hand of Jeroboam the son of Joash.
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-28Now the rest of the acts of Jeroboam and all that he did, and his might, how he fought, and how he restored Damascus and Hamath to Judah in Israel, are they not written in the Book of the Chronicles of the Kings of Israel? 29And Jeroboam slept with his fathers, the kings of Israel, and Zechariah his son reigned in his place.
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-Azariah Reigns in Judah
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-15:1 In the twenty-seventh year of Jeroboam king of Israel, Azariah the son of Amaziah, king of Judah, began to reign. 2He was sixteen years old when he began to reign, and he reigned fifty-two years in Jerusalem. His mother's name was Jecoliah of Jerusalem. 3And he did what was right in the eyes of the LORD, according to all that his father Amaziah had done. 4Nevertheless, the high places were not taken away. The people still sacrificed and made offerings on the high places. 5And the LORD touched the king, so that he was a leper[29] to the day of his death, and he lived in a separate house.[30] And Jotham the king's son was over the household, governing the people of the land. 6Now the rest of the acts of Azariah, and all that he did, are they not written in the Book of the Chronicles of the Kings of Judah? 7And Azariah slept with his fathers, and they buried him with his fathers in the city of David, and Jotham his son reigned in his place.
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-Zechariah Reigns in Israel
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-8In the thirty-eighth year of Azariah king of Judah, Zechariah the son of Jeroboam reigned over Israel in Samaria six months. 9And he did what was evil in the sight of the LORD, as his fathers had done. He did not depart from the sins of Jeroboam the son of Nebat, which he made Israel to sin. 10Shallum the son of Jabesh conspired against him and struck him down at Ibleam and put him to death and reigned in his place. 11Now the rest of the deeds of Zechariah, behold, they are written in the Book of the Chronicles of the Kings of Israel. 12(This was the promise of the LORD that he gave to Jehu, “Your sons shall sit on the throne of Israel to the fourth generation.” And so it came to pass.)
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-Shallum Reigns in Israel
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-13Shallum the son of Jabesh began to reign in the thirty-ninth year of Uzziah[31] king of Judah, and he reigned one month in Samaria. 14Then Menahem the son of Gadi came up from Tirzah and came to Samaria, and he struck down Shallum the son of Jabesh in Samaria and put him to death and reigned in his place. 15Now the rest of the deeds of Shallum, and the conspiracy that he made, behold, they are written in the Book of the Chronicles of the Kings of Israel. 16At that time Menahem sacked Tiphsah and all who were in it and its territory from Tirzah on, because they did not open it to him. Therefore he sacked it, and he ripped open all the women in it who were pregnant.
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-Menahem Reigns in Israel
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-17In the thirty-ninth year of Azariah king of Judah, Menahem the son of Gadi began to reign over Israel, and he reigned ten years in Samaria. 18And he did what was evil in the sight of the LORD. He did not depart all his days from all the sins of Jeroboam the son of Nebat, which he made Israel to sin. 19Pul[32] the king of Assyria came against the land, and Menahem gave Pul a thousand talents[33] of silver, that he might help him to confirm his hold on the royal power. 20Menahem exacted the money from Israel, that is, from all the wealthy men, fifty shekels[34] of silver from every man, to give to the king of Assyria. So the king of Assyria turned back and did not stay there in the land. 21Now the rest of the deeds of Menahem and all that he did, are they not written in the Book of the Chronicles of the Kings of Israel? 22And Menahem slept with his fathers, and Pekahiah his son reigned in his place.
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-Pekahiah Reigns in Israel
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-23In the fiftieth year of Azariah king of Judah, Pekahiah the son of Menahem began to reign over Israel in Samaria, and he reigned two years. 24And he did what was evil in the sight of the LORD. He did not turn away from the sins of Jeroboam the son of Nebat, which he made Israel to sin. 25And Pekah the son of Remaliah, his captain, conspired against him with fifty men of the people of Gilead, and struck him down in Samaria, in the citadel of the king's house with Argob and Arieh; he put him to death and reigned in his place. 26Now the rest of the deeds of Pekahiah and all that he did, behold, they are written in the Book of the Chronicles of the Kings of Israel.
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-Pekah Reigns in Israel
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-27In the fifty-second year of Azariah king of Judah, Pekah the son of Remaliah began to reign over Israel in Samaria, and he reigned twenty years. 28And he did what was evil in the sight of the LORD. He did not depart from the sins of Jeroboam the son of Nebat, which he made Israel to sin.
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-29In the days of Pekah king of Israel, Tiglath-pileser king of Assyria came and captured Ijon, Abel-beth-maacah, Janoah, Kedesh, Hazor, Gilead, and Galilee, all the land of Naphtali, and he carried the people captive to Assyria. 30Then Hoshea the son of Elah made a conspiracy against Pekah the son of Remaliah and struck him down and put him to death and reigned in his place, in the twentieth year of Jotham the son of Uzziah. 31Now the rest of the acts of Pekah and all that he did, behold, they are written in the Book of the Chronicles of the Kings of Israel.
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-Jotham Reigns in Judah
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-32In the second year of Pekah the son of Remaliah, king of Israel, Jotham the son of Uzziah, king of Judah, began to reign. 33He was twenty-five years old when he began to reign, and he reigned sixteen years in Jerusalem. His mother's name was Jerusha the daughter of Zadok. 34And he did what was right in the eyes of the LORD, according to all that his father Uzziah had done. 35Nevertheless, the high places were not removed. The people still sacrificed and made offerings on the high places. He built the upper gate of the house of the LORD. 36Now the rest of the acts of Jotham and all that he did, are they not written in the Book of the Chronicles of the Kings of Judah? 37In those days the LORD began to send Rezin the king of Syria and Pekah the son of Remaliah against Judah. 38Jotham slept with his fathers and was buried with his fathers in the city of David his father, and Ahaz his son reigned in his place.
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-Ahaz Reigns in Judah
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-16:1 In the seventeenth year of Pekah the son of Remaliah, Ahaz the son of Jotham, king of Judah, began to reign. 2Ahaz was twenty years old when he began to reign, and he reigned sixteen years in Jerusalem. And he did not do what was right in the eyes of the LORD his God, as his father David had done, 3but he walked in the way of the kings of Israel. He even burned his son as an offering,[35] according to the despicable practices of the nations whom the LORD drove out before the people of Israel. 4And he sacrificed and made offerings on the high places and on the hills and under every green tree.
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-5Then Rezin king of Syria and Pekah the son of Remaliah, king of Israel, came up to wage war on Jerusalem, and they besieged Ahaz but could not conquer him. 6At that time Rezin the king of Syria recovered Elath for Syria and drove the men of Judah from Elath, and the Edomites came to Elath, where they dwell to this day. 7So Ahaz sent messengers to Tiglath-pileser king of Assyria, saying, “I am your servant and your son. Come up and rescue me from the hand of the king of Syria and from the hand of the king of Israel, who are attacking me.” 8Ahaz also took the silver and gold that was found in the house of the LORD and in the treasures of the king's house and sent a present to the king of Assyria. 9And the king of Assyria listened to him. The king of Assyria marched up against Damascus and took it, carrying its people captive to Kir, and he killed Rezin.
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-10When King Ahaz went to Damascus to meet Tiglath-pileser king of Assyria, he saw the altar that was at Damascus. And King Ahaz sent to Uriah the priest a model of the altar, and its pattern, exact in all its details. 11And Uriah the priest built the altar; in accordance with all that King Ahaz had sent from Damascus, so Uriah the priest made it, before King Ahaz arrived from Damascus. 12And when the king came from Damascus, the king viewed the altar. Then the king drew near to the altar and went up on it 13and burned his burnt offering and his grain offering and poured his drink offering and threw the blood of his peace offerings on the altar. 14And the bronze altar that was before the LORD he removed from the front of the house, from the place between his altar and the house of the LORD, and put it on the north side of his altar. 15And King Ahaz commanded Uriah the priest, saying, “On the great altar burn the morning burnt offering and the evening grain offering and the king's burnt offering and his grain offering, with the burnt offering of all the people of the land, and their grain offering and their drink offering. And throw on it all the blood of the burnt offering and all the blood of the sacrifice, but the bronze altar shall be for me to inquire by.” 16Uriah the priest did all this, as King Ahaz commanded.
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-17And King Ahaz cut off the frames of the stands and removed the basin from them, and he took down the sea[36] from off the bronze oxen that were under it and put it on a stone pedestal. 18And the covered way for the Sabbath that had been built inside the house and the outer entrance for the king he caused to go around the house of the LORD, because of the king of Assyria. 19Now the rest of the acts of Ahaz that he did, are they not written in the Book of the Chronicles of the Kings of Judah? 20And Ahaz slept with his fathers and was buried with his fathers in the city of David, and Hezekiah his son reigned in his place.
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-17:1 In the twelfth year of Ahaz king of Judah, Hoshea the son of Elah began to reign in Samaria over Israel, and he reigned nine years. 2And he did what was evil in the sight of the LORD, yet not as the kings of Israel who were before him. 3Against him came up Shalmaneser king of Assyria. And Hoshea became his vassal and paid him tribute. 4But the king of Assyria found treachery in Hoshea, for he had sent messengers to So, king of Egypt, and offered no tribute to the king of Assyria, as he had done year by year. Therefore the king of Assyria shut him up and bound him in prison. 5Then the king of Assyria invaded all the land and came to Samaria, and for three years he besieged it.
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-The Fall of Israel
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-6In the ninth year of Hoshea, the king of Assyria captured Samaria, and he carried the Israelites away to Assyria and placed them in Halah, and on the Habor, the river of Gozan, and in the cities of the Medes.
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-Exile Because of Idolatry
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-7And this occurred because the people of Israel had sinned against the LORD their God, who had brought them up out of the land of Egypt from under the hand of Pharaoh king of Egypt, and had feared other gods 8and walked in the customs of the nations whom the LORD drove out before the people of Israel, and in the customs that the kings of Israel had practiced. 9And the people of Israel did secretly against the LORD their God things that were not right. They built for themselves high places in all their towns, from watchtower to fortified city. 10They set up for themselves pillars and Asherim on every high hill and under every green tree, 11and there they made offerings on all the high places, as the nations did whom the LORD carried away before them. And they did wicked things, provoking the LORD to anger, 12and they served idols, of which the LORD had said to them, “You shall not do this.” 13Yet the LORD warned Israel and Judah by every prophet and every seer, saying, “Turn from your evil ways and keep my commandments and my statutes, in accordance with all the Law that I commanded your fathers, and that I sent to you by my servants the prophets.”
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-14But they would not listen, but were stubborn, as their fathers had been, who did not believe in the LORD their God. 15They despised his statutes and his covenant that he made with their fathers and the warnings that he gave them. They went after false idols and became false, and they followed the nations that were around them, concerning whom the LORD had commanded them that they should not do like them. 16And they abandoned all the commandments of the LORD their God, and made for themselves metal images of two calves; and they made an Asherah and worshiped all the host of heaven and served Baal. 17And they burned their sons and their daughters as offerings[37] and used divination and omens and sold themselves to do evil in the sight of the LORD, provoking him to anger. 18Therefore the LORD was very angry with Israel and removed them out of his sight. None was left but the tribe of Judah only.
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-19Judah also did not keep the commandments of the LORD their God, but walked in the customs that Israel had introduced. 20And the LORD rejected all the descendants of Israel and afflicted them and gave them into the hand of plunderers, until he had cast them out of his sight.
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-21When he had torn Israel from the house of David, they made Jeroboam the son of Nebat king. And Jeroboam drove Israel from following the LORD and made them commit great sin. 22The people of Israel walked in all the sins that Jeroboam did. They did not depart from them, 23until the LORD removed Israel out of his sight, as he had spoken by all his servants the prophets. So Israel was exiled from their own land to Assyria until this day.
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-Assyria Resettles Samaria
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-24And the king of Assyria brought people from Babylon, Cuthah, Avva, Hamath, and Sepharvaim, and placed them in the cities of Samaria instead of the people of Israel. And they took possession of Samaria and lived in its cities. 25And at the beginning of their dwelling there, they did not fear the LORD. Therefore the LORD sent lions among them, which killed some of them. 26So the king of Assyria was told, “The nations that you have carried away and placed in the cities of Samaria do not know the law of the god of the land. Therefore he has sent lions among them, and behold, they are killing them, because they do not know the law of the god of the land.” 27Then the king of Assyria commanded, “Send there one of the priests whom you carried away from there, and let him[38] go and dwell there and teach them the law of the god of the land.” 28So one of the priests whom they had carried away from Samaria came and lived in Bethel and taught them how they should fear the LORD.
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-29But every nation still made gods of its own and put them in the shrines of the high places that the Samaritans had made, every nation in the cities in which they lived. 30The men of Babylon made Succoth-benoth, the men of Cuth made Nergal, the men of Hamath made Ashima, 31and the Avvites made Nibhaz and Tartak; and the Sepharvites burned their children in the fire to Adrammelech and Anammelech, the gods of Sepharvaim. 32They also feared the LORD and appointed from among themselves all sorts of people as priests of the high places, who sacrificed for them in the shrines of the high places. 33So they feared the LORD but also served their own gods, after the manner of the nations from among whom they had been carried away.
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-34To this day they do according to the former manner. They do not fear the LORD, and they do not follow the statutes or the rules or the law or the commandment that the LORD commanded the children of Jacob, whom he named Israel. 35The LORD made a covenant with them and commanded them, “You shall not fear other gods or bow yourselves to them or serve them or sacrifice to them, 36but you shall fear the LORD, who brought you out of the land of Egypt with great power and with an outstretched arm. You shall bow yourselves to him, and to him you shall sacrifice. 37And the statutes and the rules and the law and the commandment that he wrote for you, you shall always be careful to do. You shall not fear other gods, 38and you shall not forget the covenant that I have made with you. You shall not fear other gods, 39but you shall fear the LORD your God, and he will deliver you out of the hand of all your enemies.” 40However, they would not listen, but they did according to their former manner.
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-41So these nations feared the LORD and also served their carved images. Their children did likewise, and their children's children—as their fathers did, so they do to this day.
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-Hezekiah Reigns in Judah
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-18:1 In the third year of Hoshea son of Elah, king of Israel, Hezekiah the son of Ahaz, king of Judah, began to reign. 2He was twenty-five years old when he began to reign, and he reigned twenty-nine years in Jerusalem. His mother's name was Abi the daughter of Zechariah. 3And he did what was right in the eyes of the LORD, according to all that David his father had done. 4He removed the high places and broke the pillars and cut down the Asherah. And he broke in pieces the bronze serpent that Moses had made, for until those days the people of Israel had made offerings to it (it was called Nehushtan).[39] 5He trusted in the LORD, the God of Israel, so that there was none like him among all the kings of Judah after him, nor among those who were before him. 6For he held fast to the LORD. He did not depart from following him, but kept the commandments that the LORD commanded Moses. 7And the LORD was with him; wherever he went out, he prospered. He rebelled against the king of Assyria and would not serve him. 8He struck down the Philistines as far as Gaza and its territory, from watchtower to fortified city.
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-9In the fourth year of King Hezekiah, which was the seventh year of Hoshea son of Elah, king of Israel, Shalmaneser king of Assyria came up against Samaria and besieged it, 10and at the end of three years he took it. In the sixth year of Hezekiah, which was the ninth year of Hoshea king of Israel, Samaria was taken. 11The king of Assyria carried the Israelites away to Assyria and put them in Halah, and on the Habor, the river of Gozan, and in the cities of the Medes, 12because they did not obey the voice of the LORD their God but transgressed his covenant, even all that Moses the servant of the LORD commanded. They neither listened nor obeyed.
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-Sennacherib Attacks Judah
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-13In the fourteenth year of King Hezekiah, Sennacherib king of Assyria came up against all the fortified cities of Judah and took them. 14And Hezekiah king of Judah sent to the king of Assyria at Lachish, saying, “I have done wrong; withdraw from me. Whatever you impose on me I will bear.” And the king of Assyria required of Hezekiah king of Judah three hundred talents[40] of silver and thirty talents of gold. 15And Hezekiah gave him all the silver that was found in the house of the LORD and in the treasuries of the king's house. 16At that time Hezekiah stripped the gold from the doors of the temple of the LORD and from the doorposts that Hezekiah king of Judah had overlaid and gave it to the king of Assyria. 17And the king of Assyria sent the Tartan, the Rab-saris, and the Rabshakeh with a great army from Lachish to King Hezekiah at Jerusalem. And they went up and came to Jerusalem. When they arrived, they came and stood by the conduit of the upper pool, which is on the highway to the Washer's Field. 18And when they called for the king, there came out to them Eliakim the son of Hilkiah, who was over the household, and Shebnah the secretary, and Joah the son of Asaph, the recorder.
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-19And the Rabshakeh said to them, “Say to Hezekiah, ‘Thus says the great king, the king of Assyria: On what do you rest this trust of yours? 20Do you think that mere words are strategy and power for war? In whom do you now trust, that you have rebelled against me? 21Behold, you are trusting now in Egypt, that broken reed of a staff, which will pierce the hand of any man who leans on it. Such is Pharaoh king of Egypt to all who trust in him. 22But if you say to me, “We trust in the LORD our God,” is it not he whose high places and altars Hezekiah has removed, saying to Judah and to Jerusalem, “You shall worship before this altar in Jerusalem”? 23Come now, make a wager with my master the king of Assyria: I will give you two thousand horses, if you are able on your part to set riders on them. 24How then can you repulse a single captain among the least of my master's servants, when you trust in Egypt for chariots and for horsemen? 25Moreover, is it without the LORD that I have come up against this place to destroy it? The LORD said to me, Go up against this land, and destroy it.’”
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-26Then Eliakim the son of Hilkiah, and Shebnah, and Joah, said to the Rabshakeh, “Please speak to your servants in Aramaic, for we understand it. Do not speak to us in the language of Judah within the hearing of the people who are on the wall.” 27But the Rabshakeh said to them, “Has my master sent me to speak these words to your master and to you, and not to the men sitting on the wall, who are doomed with you to eat their own dung and to drink their own urine?”
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-28Then the Rabshakeh stood and called out in a loud voice in the language of Judah: “Hear the word of the great king, the king of Assyria! 29Thus says the king: ‘Do not let Hezekiah deceive you, for he will not be able to deliver you out of my[41] hand. 30Do not let Hezekiah make you trust in the LORD by saying, The LORD will surely deliver us, and this city will not be given into the hand of the king of Assyria.’ 31Do not listen to Hezekiah, for thus says the king of Assyria: ‘Make your peace with me[42] and come out to me. Then each one of you will eat of his own vine, and each one of his own fig tree, and each one of you will drink the water of his own cistern, 32until I come and take you away to a land like your own land, a land of grain and wine, a land of bread and vineyards, a land of olive trees and honey, that you may live, and not die. And do not listen to Hezekiah when he misleads you by saying, The LORD will deliver us. 33Has any of the gods of the nations ever delivered his land out of the hand of the king of Assyria? 34Where are the gods of Hamath and Arpad? Where are the gods of Sepharvaim, Hena, and Ivvah? Have they delivered Samaria out of my hand? 35Who among all the gods of the lands have delivered their lands out of my hand, that the LORD should deliver Jerusalem out of my hand?’”
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-36But the people were silent and answered him not a word, for the king's command was, “Do not answer him.” 37Then Eliakim the son of Hilkiah, who was over the household, and Shebna the secretary, and Joah the son of Asaph, the recorder, came to Hezekiah with their clothes torn and told him the words of the Rabshakeh.
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-Isaiah Reassures Hezekiah
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-19:1 As soon as King Hezekiah heard it, he tore his clothes and covered himself with sackcloth and went into the house of the LORD. 2And he sent Eliakim, who was over the household, and Shebna the secretary, and the senior priests, covered with sackcloth, to the prophet Isaiah the son of Amoz. 3They said to him, “Thus says Hezekiah, This day is a day of distress, of rebuke, and of disgrace; children have come to the point of birth, and there is no strength to bring them forth. 4It may be that the LORD your God heard all the words of the Rabshakeh, whom his master the king of Assyria has sent to mock the living God, and will rebuke the words that the LORD your God has heard; therefore lift up your prayer for the remnant that is left.” 5When the servants of King Hezekiah came to Isaiah, 6Isaiah said to them, “Say to your master, ‘Thus says the LORD: Do not be afraid because of the words that you have heard, with which the servants of the king of Assyria have reviled me. 7Behold, I will put a spirit in him, so that he shall hear a rumor and return to his own land, and I will make him fall by the sword in his own land.’”
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-Sennacherib Defies the LORD
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-8The Rabshakeh returned, and found the king of Assyria fighting against Libnah, for he heard that the king had left Lachish. 9Now the king heard concerning Tirhakah king of Cush, “Behold, he has set out to fight against you.” So he sent messengers again to Hezekiah, saying, 10“Thus shall you speak to Hezekiah king of Judah: ‘Do not let your God in whom you trust deceive you by promising that Jerusalem will not be given into the hand of the king of Assyria. 11Behold, you have heard what the kings of Assyria have done to all lands, devoting them to destruction. And shall you be delivered? 12Have the gods of the nations delivered them, the nations that my fathers destroyed, Gozan, Haran, Rezeph, and the people of Eden who were in Telassar? 13Where is the king of Hamath, the king of Arpad, the king of the city of Sepharvaim, the king of Hena, or the king of Ivvah?’”
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-Hezekiah's Prayer
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-14Hezekiah received the letter from the hand of the messengers and read it; and Hezekiah went up to the house of the LORD and spread it before the LORD. 15And Hezekiah prayed before the LORD and said: “O LORD, the God of Israel, enthroned above the cherubim, you are the God, you alone, of all the kingdoms of the earth; you have made heaven and earth. 16Incline your ear, O LORD, and hear; open your eyes, O LORD, and see; and hear the words of Sennacherib, which he has sent to mock the living God. 17Truly, O LORD, the kings of Assyria have laid waste the nations and their lands 18and have cast their gods into the fire, for they were not gods, but the work of men's hands, wood and stone. Therefore they were destroyed. 19So now, O LORD our God, save us, please, from his hand, that all the kingdoms of the earth may know that you, O LORD, are God alone.”
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-Isaiah Prophesies Sennacherib's Fall
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-20Then Isaiah the son of Amoz sent to Hezekiah, saying, “Thus says the LORD, the God of Israel: Your prayer to me about Sennacherib king of Assyria I have heard. 21This is the word that the LORD has spoken concerning him:
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-“She despises you, she scorns you—
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-the virgin daughter of Zion;
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-she wags her head behind you—
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-the daughter of Jerusalem.
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-22“Whom have you mocked and reviled?
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-Against whom have you raised your voice
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-and lifted your eyes to the heights?
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-Against the Holy One of Israel!
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-23By your messengers you have mocked the Lord,
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-and you have said, ‘With my many chariots
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-I have gone up the heights of the mountains,
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-to the far recesses of Lebanon;
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-I felled its tallest cedars,
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-its choicest cypresses;
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-I entered its farthest lodging place,
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-its most fruitful forest.
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-24I dug wells
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-and drank foreign waters,
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-and I dried up with the sole of my foot
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-all the streams of Egypt.’
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-25“Have you not heard
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-that I determined it long ago?
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-I planned from days of old
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-what now I bring to pass,
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-that you should turn fortified cities
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-into heaps of ruins,
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-26while their inhabitants, shorn of strength,
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-are dismayed and confounded,
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-and have become like plants of the field
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-and like tender grass,
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-like grass on the housetops,
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-blighted before it is grown.
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-27“But I know your sitting down
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-and your going out and coming in,
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-and your raging against me.
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-28Because you have raged against me
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-and your complacency has come into my ears,
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-I will put my hook in your nose
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-and my bit in your mouth,
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-and I will turn you back on the way
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-by which you came.
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-29“And this shall be the sign for you: this year eat what grows of itself, and in the second year what springs of the same. Then in the third year sow and reap and plant vineyards, and eat their fruit. 30And the surviving remnant of the house of Judah shall again take root downward and bear fruit upward. 31For out of Jerusalem shall go a remnant, and out of Mount Zion a band of survivors. The zeal of the LORD will do this.
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-32“Therefore thus says the LORD concerning the king of Assyria: He shall not come into this city or shoot an arrow there, or come before it with a shield or cast up a siege mound against it. 33By the way that he came, by the same he shall return, and he shall not come into this city, declares the LORD. 34For I will defend this city to save it, for my own sake and for the sake of my servant David.”
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-35And that night the angel of the LORD went out and struck down 185,000 in the camp of the Assyrians. And when people arose early in the morning, behold, these were all dead bodies. 36Then Sennacherib king of Assyria departed and went home and lived at Nineveh. 37And as he was worshiping in the house of Nisroch his god, Adrammelech and Sharezer, his sons, struck him down with the sword and escaped into the land of Ararat. And Esarhaddon his son reigned in his place.
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-Hezekiah's Illness and Recovery
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-20:1 In those days Hezekiah became sick and was at the point of death. And Isaiah the prophet the son of Amoz came to him and said to him, “Thus says the LORD, ‘Set your house in order, for you shall die; you shall not recover.’” 2Then Hezekiah turned his face to the wall and prayed to the LORD, saying, 3“Now, O LORD, please remember how I have walked before you in faithfulness and with a whole heart, and have done what is good in your sight.” And Hezekiah wept bitterly. 4And before Isaiah had gone out of the middle court, the word of the LORD came to him: 5“Turn back, and say to Hezekiah the leader of my people, Thus says the LORD, the God of David your father: I have heard your prayer; I have seen your tears. Behold, I will heal you. On the third day you shall go up to the house of the LORD, 6and I will add fifteen years to your life. I will deliver you and this city out of the hand of the king of Assyria, and I will defend this city for my own sake and for my servant David's sake.” 7And Isaiah said, “Bring a cake of figs. And let them take and lay it on the boil, that he may recover.”
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-8And Hezekiah said to Isaiah, “What shall be the sign that the LORD will heal me, and that I shall go up to the house of the LORD on the third day?” 9And Isaiah said, “This shall be the sign to you from the LORD, that the LORD will do the thing that he has promised: shall the shadow go forward ten steps, or go back ten steps?” 10And Hezekiah answered, “It is an easy thing for the shadow to lengthen ten steps. Rather let the shadow go back ten steps.” 11And Isaiah the prophet called to the LORD, and he brought the shadow back ten steps, by which it had gone down on the steps of Ahaz.
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-Hezekiah and the Babylonian Envoys
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-12At that time Merodach-baladan the son of Baladan, king of Babylon, sent envoys with letters and a present to Hezekiah, for he heard that Hezekiah had been sick. 13And Hezekiah welcomed them, and he showed them all his treasure house, the silver, the gold, the spices, the precious oil, his armory, all that was found in his storehouses. There was nothing in his house or in all his realm that Hezekiah did not show them. 14Then Isaiah the prophet came to King Hezekiah, and said to him, “What did these men say? And from where did they come to you?” And Hezekiah said, “They have come from a far country, from Babylon.” 15He said, “What have they seen in your house?” And Hezekiah answered, “They have seen all that is in my house; there is nothing in my storehouses that I did not show them.”
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-16Then Isaiah said to Hezekiah, “Hear the word of the LORD: 17Behold, the days are coming, when all that is in your house, and that which your fathers have stored up till this day, shall be carried to Babylon. Nothing shall be left, says the LORD. 18And some of your own sons, who shall be born to you, shall be taken away, and they shall be eunuchs in the palace of the king of Babylon.” 19Then said Hezekiah to Isaiah, “The word of the LORD that you have spoken is good.” For he thought, “Why not, if there will be peace and security in my days?”
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-20The rest of the deeds of Hezekiah and all his might and how he made the pool and the conduit and brought water into the city, are they not written in the Book of the Chronicles of the Kings of Judah? 21And Hezekiah slept with his fathers, and Manasseh his son reigned in his place.
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-Manasseh Reigns in Judah
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-21:1 Manasseh was twelve years old when he began to reign, and he reigned fifty-five years in Jerusalem. His mother's name was Hephzibah. 2And he did what was evil in the sight of the LORD, according to the despicable practices of the nations whom the LORD drove out before the people of Israel. 3For he rebuilt the high places that Hezekiah his father had destroyed, and he erected altars for Baal and made an Asherah, as Ahab king of Israel had done, and worshiped all the host of heaven and served them. 4And he built altars in the house of the LORD, of which the LORD had said, “In Jerusalem will I put my name.” 5And he built altars for all the host of heaven in the two courts of the house of the LORD. 6And he burned his son as an offering[43] and used fortune-telling and omens and dealt with mediums and with necromancers. He did much evil in the sight of the LORD, provoking him to anger. 7And the carved image of Asherah that he had made he set in the house of which the LORD said to David and to Solomon his son, “In this house, and in Jerusalem, which I have chosen out of all the tribes of Israel, I will put my name forever. 8And I will not cause the feet of Israel to wander anymore out of the land that I gave to their fathers, if only they will be careful to do according to all that I have commanded them, and according to all the Law that my servant Moses commanded them.” 9But they did not listen, and Manasseh led them astray to do more evil than the nations had done whom the LORD destroyed before the people of Israel.
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-Manasseh's Idolatry Denounced
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-10And the LORD said by his servants the prophets, 11“Because Manasseh king of Judah has committed these abominations and has done things more evil than all that the Amorites did, who were before him, and has made Judah also to sin with his idols, 12therefore thus says the LORD, the God of Israel: Behold, I am bringing upon Jerusalem and Judah such disaster[44] that the ears of everyone who hears of it will tingle. 13And I will stretch over Jerusalem the measuring line of Samaria, and the plumb line of the house of Ahab, and I will wipe Jerusalem as one wipes a dish, wiping it and turning it upside down. 14And I will forsake the remnant of my heritage and give them into the hand of their enemies, and they shall become a prey and a spoil to all their enemies, 15because they have done what is evil in my sight and have provoked me to anger, since the day their fathers came out of Egypt, even to this day.”
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-16Moreover, Manasseh shed very much innocent blood, till he had filled Jerusalem from one end to another, besides the sin that he made Judah to sin so that they did what was evil in the sight of the LORD.
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-17Now the rest of the acts of Manasseh and all that he did, and the sin that he committed, are they not written in the Book of the Chronicles of the Kings of Judah? 18And Manasseh slept with his fathers and was buried in the garden of his house, in the garden of Uzza, and Amon his son reigned in his place.
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-Amon Reigns in Judah
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-19Amon was twenty-two years old when he began to reign, and he reigned two years in Jerusalem. His mother's name was Meshullemeth the daughter of Haruz of Jotbah. 20And he did what was evil in the sight of the LORD, as Manasseh his father had done. 21He walked in all the way in which his father walked and served the idols that his father served and worshiped them. 22He abandoned the LORD, the God of his fathers, and did not walk in the way of the LORD. 23And the servants of Amon conspired against him and put the king to death in his house. 24But the people of the land struck down all those who had conspired against King Amon, and the people of the land made Josiah his son king in his place. 25Now the rest of the acts of Amon that he did, are they not written in the Book of the Chronicles of the Kings of Judah? 26And he was buried in his tomb in the garden of Uzza, and Josiah his son reigned in his place.
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-Josiah Reigns in Judah
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-22:1 Josiah was eight years old when he began to reign, and he reigned thirty-one years in Jerusalem. His mother's name was Jedidah the daughter of Adaiah of Bozkath. 2And he did what was right in the eyes of the LORD and walked in all the way of David his father, and he did not turn aside to the right or to the left.
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-Josiah Repairs the Temple
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-3In the eighteenth year of King Josiah, the king sent Shaphan the son of Azaliah, son of Meshullam, the secretary, to the house of the LORD, saying, 4“Go up to Hilkiah the high priest, that he may count the money that has been brought into the house of the LORD, which the keepers of the threshold have collected from the people. 5And let it be given into the hand of the workmen who have the oversight of the house of the LORD, and let them give it to the workmen who are at the house of the LORD, repairing the house 6(that is, to the carpenters, and to the builders, and to the masons), and let them use it for buying timber and quarried stone to repair the house. 7But no accounting shall be asked from them for the money that is delivered into their hand, for they deal honestly.”
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-Hilkiah Finds the Book of the Law
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-8And Hilkiah the high priest said to Shaphan the secretary, “I have found the Book of the Law in the house of the LORD.” And Hilkiah gave the book to Shaphan, and he read it. 9And Shaphan the secretary came to the king, and reported to the king, “Your servants have emptied out the money that was found in the house and have delivered it into the hand of the workmen who have the oversight of the house of the LORD.” 10Then Shaphan the secretary told the king, “Hilkiah the priest has given me a book.” And Shaphan read it before the king.
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-11When the king heard the words of the Book of the Law, he tore his clothes. 12And the king commanded Hilkiah the priest, and Ahikam the son of Shaphan, and Achbor the son of Micaiah, and Shaphan the secretary, and Asaiah the king's servant, saying, 13“Go, inquire of the LORD for me, and for the people, and for all Judah, concerning the words of this book that has been found. For great is the wrath of the LORD that is kindled against us, because our fathers have not obeyed the words of this book, to do according to all that is written concerning us.”
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-14So Hilkiah the priest, and Ahikam, and Achbor, and Shaphan, and Asaiah went to Huldah the prophetess, the wife of Shallum the son of Tikvah, son of Harhas, keeper of the wardrobe (now she lived in Jerusalem in the Second Quarter), and they talked with her. 15And she said to them, “Thus says the LORD, the God of Israel: ‘Tell the man who sent you to me, 16Thus says the LORD, Behold, I will bring disaster upon this place and upon its inhabitants, all the words of the book that the king of Judah has read. 17Because they have forsaken me and have made offerings to other gods, that they might provoke me to anger with all the work of their hands, therefore my wrath will be kindled against this place, and it will not be quenched. 18But to the king of Judah, who sent you to inquire of the LORD, thus shall you say to him, Thus says the LORD, the God of Israel: Regarding the words that you have heard, 19because your heart was penitent, and you humbled yourself before the LORD, when you heard how I spoke against this place and against its inhabitants, that they should become a desolation and a curse, and you have torn your clothes and wept before me, I also have heard you, declares the LORD. 20Therefore, behold, I will gather you to your fathers, and you shall be gathered to your grave in peace, and your eyes shall not see all the disaster that I will bring upon this place.’” And they brought back word to the king.
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-Josiah's Reforms
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-23:1 Then the king sent, and all the elders of Judah and Jerusalem were gathered to him. 2And the king went up to the house of the LORD, and with him all the men of Judah and all the inhabitants of Jerusalem and the priests and the prophets, all the people, both small and great. And he read in their hearing all the words of the Book of the Covenant that had been found in the house of the LORD. 3And the king stood by the pillar and made a covenant before the LORD, to walk after the LORD and to keep his commandments and his testimonies and his statutes with all his heart and all his soul, to perform the words of this covenant that were written in this book. And all the people joined in the covenant.
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-4And the king commanded Hilkiah the high priest and the priests of the second order and the keepers of the threshold to bring out of the temple of the LORD all the vessels made for Baal, for Asherah, and for all the host of heaven. He burned them outside Jerusalem in the fields of the Kidron and carried their ashes to Bethel. 5And he deposed the priests whom the kings of Judah had ordained to make offerings in the high places at the cities of Judah and around Jerusalem; those also who burned incense to Baal, to the sun and the moon and the constellations and all the host of the heavens. 6And he brought out the Asherah from the house of the LORD, outside Jerusalem, to the brook Kidron, and burned it at the brook Kidron and beat it to dust and cast the dust of it upon the graves of the common people. 7And he broke down the houses of the male cult prostitutes who were in the house of the LORD, where the women wove hangings for the Asherah. 8And he brought all the priests out of the cities of Judah, and defiled the high places where the priests had made offerings, from Geba to Beersheba. And he broke down the high places of the gates that were at the entrance of the gate of Joshua the governor of the city, which were on one's left at the gate of the city. 9However, the priests of the high places did not come up to the altar of the LORD in Jerusalem, but they ate unleavened bread among their brothers. 10And he defiled Topheth, which is in the Valley of the Son of Hinnom, that no one might burn his son or his daughter as an offering to Molech.[45] 11And he removed the horses that the kings of Judah had dedicated to the sun, at the entrance to the house of the LORD, by the chamber of Nathan-melech the chamberlain, which was in the precincts.[46] And he burned the chariots of the sun with fire. 12And the altars on the roof of the upper chamber of Ahaz, which the kings of Judah had made, and the altars that Manasseh had made in the two courts of the house of the LORD, he pulled down and broke in pieces[47] and cast the dust of them into the brook Kidron. 13And the king defiled the high places that were east of Jerusalem, to the south of the mount of corruption, which Solomon the king of Israel had built for Ashtoreth the abomination of the Sidonians, and for Chemosh the abomination of Moab, and for Milcom the abomination of the Ammonites. 14And he broke in pieces the pillars and cut down the Asherim and filled their places with the bones of men.
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-15Moreover, the altar at Bethel, the high place erected by Jeroboam the son of Nebat, who made Israel to sin, that altar with the high place he pulled down and burned,[48] reducing it to dust. He also burned the Asherah. 16And as Josiah turned, he saw the tombs there on the mount. And he sent and took the bones out of the tombs and burned them on the altar and defiled it, according to the word of the LORD that the man of God proclaimed, who had predicted these things. 17Then he said, “What is that monument that I see?” And the men of the city told him, “It is the tomb of the man of God who came from Judah and predicted[49] these things that you have done against the altar at Bethel.” 18And he said, “Let him be; let no man move his bones.” So they let his bones alone, with the bones of the prophet who came out of Samaria. 19And Josiah removed all the shrines also of the high places that were in the cities of Samaria, which kings of Israel had made, provoking the LORD to anger. He did to them according to all that he had done at Bethel. 20And he sacrificed all the priests of the high places who were there, on the altars, and burned human bones on them. Then he returned to Jerusalem.
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-Josiah Restores the Passover
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-21And the king commanded all the people, “Keep the Passover to the LORD your God, as it is written in this Book of the Covenant.” 22For no such Passover had been kept since the days of the judges who judged Israel, or during all the days of the kings of Israel or of the kings of Judah. 23But in the eighteenth year of King Josiah this Passover was kept to the LORD in Jerusalem.
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-24Moreover, Josiah put away the mediums and the necromancers and the household gods and the idols and all the abominations that were seen in the land of Judah and in Jerusalem, that he might establish the words of the law that were written in the book that Hilkiah the priest found in the house of the LORD. 25Before him there was no king like him, who turned to the LORD with all his heart and with all his soul and with all his might, according to all the Law of Moses, nor did any like him arise after him.
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-26Still the LORD did not turn from the burning of his great wrath, by which his anger was kindled against Judah, because of all the provocations with which Manasseh had provoked him. 27And the LORD said, “I will remove Judah also out of my sight, as I have removed Israel, and I will cast off this city that I have chosen, Jerusalem, and the house of which I said, My name shall be there.”
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-Josiah's Death in Battle
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-28Now the rest of the acts of Josiah and all that he did, are they not written in the Book of the Chronicles of the Kings of Judah? 29In his days Pharaoh Neco king of Egypt went up to the king of Assyria to the river Euphrates. King Josiah went to meet him, and Pharaoh Neco killed him at Megiddo, as soon as he saw him. 30And his servants carried him dead in a chariot from Megiddo and brought him to Jerusalem and buried him in his own tomb. And the people of the land took Jehoahaz the son of Josiah, and anointed him, and made him king in his father's place.
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-Jehoahaz's Reign and Captivity
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-31Jehoahaz was twenty-three years old when he began to reign, and he reigned three months in Jerusalem. His mother's name was Hamutal the daughter of Jeremiah of Libnah. 32And he did what was evil in the sight of the LORD, according to all that his fathers had done. 33And Pharaoh Neco put him in bonds at Riblah in the land of Hamath, that he might not reign in Jerusalem, and laid on the land a tribute of a hundred talents[50] of silver and a talent of gold. 34And Pharaoh Neco made Eliakim the son of Josiah king in the place of Josiah his father, and changed his name to Jehoiakim. But he took Jehoahaz away, and he came to Egypt and died there. 35And Jehoiakim gave the silver and the gold to Pharaoh, but he taxed the land to give the money according to the command of Pharaoh. He exacted the silver and the gold of the people of the land, from everyone according to his assessment, to give it to Pharaoh Neco.
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-Jehoiakim Reigns in Judah
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-36Jehoiakim was twenty-five years old when he began to reign, and he reigned eleven years in Jerusalem. His mother's name was Zebidah the daughter of Pedaiah of Rumah. 37And he did what was evil in the sight of the LORD, according to all that his fathers had done.
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-24:1 In his days, Nebuchadnezzar king of Babylon came up, and Jehoiakim became his servant three years. Then he turned and rebelled against him. 2And the LORD sent against him bands of the Chaldeans and bands of the Syrians and bands of the Moabites and bands of the Ammonites, and sent them against Judah to destroy it, according to the word of the LORD that he spoke by his servants the prophets. 3Surely this came upon Judah at the command of the LORD, to remove them out of his sight, for the sins of Manasseh, according to all that he had done, 4and also for the innocent blood that he had shed. For he filled Jerusalem with innocent blood, and the LORD would not pardon. 5Now the rest of the deeds of Jehoiakim and all that he did, are they not written in the Book of the Chronicles of the Kings of Judah? 6So Jehoiakim slept with his fathers, and Jehoiachin his son reigned in his place. 7And the king of Egypt did not come again out of his land, for the king of Babylon had taken all that belonged to the king of Egypt from the Brook of Egypt to the river Euphrates.
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-Jehoiachin Reigns in Judah
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-8Jehoiachin was eighteen years old when he became king, and he reigned three months in Jerusalem. His mother's name was Nehushta the daughter of Elnathan of Jerusalem. 9And he did what was evil in the sight of the LORD, according to all that his father had done.
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-Jerusalem Captured
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-10At that time the servants of Nebuchadnezzar king of Babylon came up to Jerusalem, and the city was besieged. 11And Nebuchadnezzar king of Babylon came to the city while his servants were besieging it, 12and Jehoiachin the king of Judah gave himself up to the king of Babylon, himself and his mother and his servants and his officials and his palace officials. The king of Babylon took him prisoner in the eighth year of his reign 13and carried off all the treasures of the house of the LORD and the treasures of the king's house, and cut in pieces all the vessels of gold in the temple of the LORD, which Solomon king of Israel had made, as the LORD had foretold. 14He carried away all Jerusalem and all the officials and all the mighty men of valor, 10,000 captives, and all the craftsmen and the smiths. None remained, except the poorest people of the land. 15And he carried away Jehoiachin to Babylon. The king's mother, the king's wives, his officials, and the chief men of the land he took into captivity from Jerusalem to Babylon. 16And the king of Babylon brought captive to Babylon all the men of valor, 7,000, and the craftsmen and the metal workers, 1,000, all of them strong and fit for war. 17And the king of Babylon made Mattaniah, Jehoiachin's uncle, king in his place, and changed his name to Zedekiah.
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-Zedekiah Reigns in Judah
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-18Zedekiah was twenty-one years old when he became king, and he reigned eleven years in Jerusalem. His mother's name was Hamutal the daughter of Jeremiah of Libnah. 19And he did what was evil in the sight of the LORD, according to all that Jehoiakim had done. 20For because of the anger of the LORD it came to the point in Jerusalem and Judah that he cast them out from his presence.
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-And Zedekiah rebelled against the king of Babylon.
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-Fall and Captivity of Judah
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-25:1 And in the ninth year of his reign, in the tenth month, on the tenth day of the month, Nebuchadnezzar king of Babylon came with all his army against Jerusalem and laid siege to it. And they built siegeworks all around it. 2So the city was besieged till the eleventh year of King Zedekiah. 3On the ninth day of the fourth month the famine was so severe in the city that there was no food for the people of the land. 4Then a breach was made in the city, and all the men of war fled by night by the way of the gate between the two walls, by the king's garden, though the Chaldeans were around the city. And they went in the direction of the Arabah. 5But the army of the Chaldeans pursued the king and overtook him in the plains of Jericho, and all his army was scattered from him. 6Then they captured the king and brought him up to the king of Babylon at Riblah, and they passed sentence on him. 7They slaughtered the sons of Zedekiah before his eyes, and put out the eyes of Zedekiah and bound him in chains and took him to Babylon.
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-8In the fifth month, on the seventh day of the month—that was the nineteenth year of King Nebuchadnezzar, king of Babylon—Nebuzaradan, the captain of the bodyguard, a servant of the king of Babylon, came to Jerusalem. 9And he burned the house of the LORD and the king's house and all the houses of Jerusalem; every great house he burned down. 10And all the army of the Chaldeans, who were with the captain of the guard, broke down the walls around Jerusalem. 11And the rest of the people who were left in the city and the deserters who had deserted to the king of Babylon, together with the rest of the multitude, Nebuzaradan the captain of the guard carried into exile. 12But the captain of the guard left some of the poorest of the land to be vinedressers and plowmen.
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-13And the pillars of bronze that were in the house of the LORD, and the stands and the bronze sea that were in the house of the LORD, the Chaldeans broke in pieces and carried the bronze to Babylon. 14And they took away the pots and the shovels and the snuffers and the dishes for incense and all the vessels of bronze used in the temple service, 15the fire pans also and the bowls. What was of gold the captain of the guard took away as gold, and what was of silver, as silver. 16As for the two pillars, the one sea, and the stands that Solomon had made for the house of the LORD, the bronze of all these vessels was beyond weight. 17The height of the one pillar was eighteen cubits,[51] and on it was a capital of bronze. The height of the capital was three cubits. A latticework and pomegranates, all of bronze, were all around the capital. And the second pillar had the same, with the latticework.
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-18And the captain of the guard took Seraiah the chief priest and Zephaniah the second priest and the three keepers of the threshold, 19and from the city he took an officer who had been in command of the men of war, and five men of the king's council who were found in the city, and the secretary of the commander of the army who mustered the people of the land, and sixty men of the people of the land who were found in the city. 20And Nebuzaradan the captain of the guard took them and brought them to the king of Babylon at Riblah. 21And the king of Babylon struck them down and put them to death at Riblah in the land of Hamath. So Judah was taken into exile out of its land.
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-Gedaliah Made Governor of Judah
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-22And over the people who remained in the land of Judah, whom Nebuchadnezzar king of Babylon had left, he appointed Gedaliah the son of Ahikam, son of Shaphan, governor. 23Now when all the captains and their men heard that the king of Babylon had appointed Gedaliah governor, they came with their men to Gedaliah at Mizpah, namely, Ishmael the son of Nethaniah, and Johanan the son of Kareah, and Seraiah the son of Tanhumeth the Netophathite, and Jaazaniah the son of the Maacathite. 24And Gedaliah swore to them and their men, saying, “Do not be afraid because of the Chaldean officials. Live in the land and serve the king of Babylon, and it shall be well with you.” 25But in the seventh month, Ishmael the son of Nethaniah, son of Elishama, of the royal family, came with ten men and struck down Gedaliah and put him to death along with the Jews and the Chaldeans who were with him at Mizpah. 26Then all the people, both small and great, and the captains of the forces arose and went to Egypt, for they were afraid of the Chaldeans.
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-Jehoiachin Released from Prison
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-27And in the thirty-seventh year of the exile of Jehoiachin king of Judah, in the twelfth month, on the twenty-seventh day of the month, Evil-merodach king of Babylon, in the year that he began to reign, graciously freed[52] Jehoiachin king of Judah from prison. 28And he spoke kindly to him and gave him a seat above the seats of the kings who were with him in Babylon. 29So Jehoiachin put off his prison garments. And every day of his life he dined regularly at the king's table, 30and for his allowance, a regular allowance was given him by the king, according to his daily needs, as long as he lived.
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-Footnotes
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-[1] 3:24 Septuagint; the meaning of the Hebrew is uncertain
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-[2] 5:1 Leprosy was a term for several skin diseases; see Leviticus 13
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-[3] 5:5 A talent was about 75 pounds or 34 kilograms; a shekel was about 2/5 ounce or 11 grams
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-[4] 5:12 Or Amana
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-[5] 6:25 A shekel was about 2/5 ounce or 11 grams; a kab was about 1 quart or 1 liter
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-[6] 7:1 A seah was about 7 quarts or 7.3 liters
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-[7] 7:1 A shekel was about 2/5 ounce or 11 grams
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-[8] 7:3 Leprosy was a term for several skin diseases; see Leviticus 13
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-[9] 8:15 The meaning of the Hebrew is uncertain
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-[10] 8:16 Septuagint, Syriac lack when Jehoshaphat was king of Judah
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-[11] 8:21 Joram is another spelling of Jehoram (the son of Jehoshaphat) as in verse 16; also verses 23, 24
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-[12] 9:13 The meaning of the Hebrew word is uncertain
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-[13] 9:27 Syriac, Vulgate (compare Septuagint); Hebrew lacks and they shot him
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-[14] 10:1 Septuagint, Vulgate; Hebrew rulers of Jezreel
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-[15] 10:1 Hebrew lacks of the sons
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-[16] 10:15 Septuagint; Hebrew lacks Jehu said
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-[17] 10:16 Septuagint, Syriac, Targum; Hebrew they
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-[18] 10:24 Septuagint he (compare verse 25)
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-[19] 11:2 Compare 2 Chronicles 22:11; Hebrew lacks and she put
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-[20] 11:2 Septuagint, Syriac, Vulgate (compare 2 Chronicles 22:11) she
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-[21] 11:6 The meaning of the Hebrew word is uncertain
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-[22] 11:21 Ch 12:1 in Hebrew
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-[23] 11:21 Jehoash is another spelling of Joash (son of Ahaziah) as in verse 2
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-[24] 12:1 Jehoash is another spelling of Joash (son of Ahaziah) as in 11:2; also verses 2, 4, 6, 7, 18
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-[25] 13:6 Septuagint, Syriac, Targum, Vulgate; Hebrew he walked
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-[26] 13:10 Jehoash is another spelling for Joash (son of Jehoahaz) as in verses 9, 12-14; also verse 25
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-[27] 14:8 Jehoash is another spelling for Joash (son of Jehoahaz) as in 13:9, 12-14; also verses 9, 11-16
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-[28] 14:13 A cubit was about 18 inches or 45 centimeters
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-[29] 15:5 Leprosy was a term for several skin diseases; see Leviticus 13
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-[30] 15:5 The meaning of the Hebrew word is uncertain
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-[31] 15:13 Another name for Azariah
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-[32] 15:19 Another name for Tiglath-pileser III (compare verse 29)
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-[33] 15:19 A talent was about 75 pounds or 34 kilograms
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-[34] 15:20 A shekel was about 2/5 ounce or 11 grams
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-[35] 16:3 Or made his son pass through the fire
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-[36] 16:17 Compare 1 Kings 7:23
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-[37] 17:17 Or made their sons and their daughters pass through the fire
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-[38] 17:27 Syriac, Vulgate; Hebrew them
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-[39] 18:4 Nehushtan sounds like the Hebrew for both bronze and serpent
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-[40] 18:14 A talent was about 75 pounds or 34 kilograms
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-[41] 18:29 Hebrew his
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-[42] 18:31 Hebrew Make a blessing with me
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-[43] 21:6 Hebrew made his son pass through the fire
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-[44] 21:12 Or evil
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-[45] 23:10 Hebrew might cause his son or daughter to pass through the fire for Molech
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-[46] 23:11 The meaning of the Hebrew word is uncertain
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-[47] 23:12 Hebrew pieces from there
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-[48] 23:15 Septuagint broke in pieces its stones
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-[49] 23:17 Hebrew called
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-[50] 23:33 A talent was about 75 pounds or 34 kilograms
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-[51] 25:17 A cubit was about 18 inches or 45 centimeters
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-[52] 25:27 Hebrew reign, lifted up the head of
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-1 CHRONICLES
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-Chapter 1
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-Chapter 2
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-Chapter 3
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-Chapter 4
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-Chapter 5
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-Chapter 6
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-Chapter 7
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-Chapter 8
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-Chapter 9
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-Chapter 10
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-Chapter 11
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-Chapter 12
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-Chapter 13
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-Chapter 14
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-Chapter 15
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-Chapter 16
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-Chapter 17
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-Chapter 18
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-Chapter 19
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-Chapter 20
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-Chapter 21
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-Chapter 22
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-Chapter 23
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-Chapter 24
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-Chapter 25
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-Chapter 26
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-Chapter 27
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-Chapter 28
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-Chapter 29
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-From Adam to Abraham
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-1:1 [1] Adam, Seth, Enosh; 2Kenan, Mahalalel, Jared; 3Enoch, Methuselah, Lamech; 4Noah, Shem, Ham, and Japheth.
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-5The sons of Japheth: Gomer, Magog, Madai, Javan, Tubal, Meshech, and Tiras. 6The sons of Gomer: Ashkenaz, Riphath,[2] and Togarmah. 7The sons of Javan: Elishah, Tarshish, Kittim, and Rodanim.
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-8The sons of Ham: Cush, Egypt, Put, and Canaan. 9The sons of Cush: Seba, Havilah, Sabta, Raama, and Sabteca. The sons of Raamah: Sheba and Dedan. 10Cush fathered Nimrod. He was the first on earth to be a mighty man.[3]
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-11Egypt fathered Ludim, Anamim, Lehabim, Naphtuhim, 12Pathrusim, Casluhim (from whom the Philistines came), and Caphtorim.
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-13Canaan fathered Sidon his firstborn and Heth, 14and the Jebusites, the Amorites, the Girgashites, 15the Hivites, the Arkites, the Sinites, 16the Arvadites, the Zemarites, and the Hamathites.
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-17The sons of Shem: Elam, Asshur, Arpachshad, Lud, and Aram. And the sons of Aram:[4] Uz, Hul, Gether, and Meshech. 18Arpachshad fathered Shelah, and Shelah fathered Eber. 19To Eber were born two sons: the name of the one was Peleg[5] (for in his days the earth was divided), and his brother's name was Joktan. 20Joktan fathered Almodad, Sheleph, Hazarmaveth, Jerah, 21Hadoram, Uzal, Diklah, 22Obal,[6] Abimael, Sheba, 23Ophir, Havilah, and Jobab; all these were the sons of Joktan.
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-24Shem, Arpachshad, Shelah; 25Eber, Peleg, Reu; 26Serug, Nahor, Terah; 27Abram, that is, Abraham.
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-From Abraham to Jacob
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-28The sons of Abraham: Isaac and Ishmael. 29These are their genealogies: the firstborn of Ishmael, Nebaioth, and Kedar, Adbeel, Mibsam, 30Mishma, Dumah, Massa, Hadad, Tema, 31Jetur, Naphish, and Kedemah. These are the sons of Ishmael. 32The sons of Keturah, Abraham's concubine: she bore Zimran, Jokshan, Medan, Midian, Ishbak, and Shuah. The sons of Jokshan: Sheba and Dedan. 33The sons of Midian: Ephah, Epher, Hanoch, Abida, and Eldaah. All these were the descendants of Keturah.
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-34Abraham fathered Isaac. The sons of Isaac: Esau and Israel. 35The sons of Esau: Eliphaz, Reuel, Jeush, Jalam, and Korah. 36The sons of Eliphaz: Teman, Omar, Zepho, Gatam, Kenaz, and of Timna,[7] Amalek. 37The sons of Reuel: Nahath, Zerah, Shammah, and Mizzah.
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-38The sons of Seir: Lotan, Shobal, Zibeon, Anah, Dishon, Ezer, and Dishan. 39The sons of Lotan: Hori and Hemam;[8] and Lotan's sister was Timna. 40The sons of Shobal: Alvan,[9] Manahath, Ebal, Shepho,[10] and Onam. The sons of Zibeon: Aiah and Anah. 41The son[11] of Anah: Dishon. The sons of Dishon: Hemdan,[12] Eshban, Ithran, and Cheran. 42The sons of Ezer: Bilhan, Zaavan, and Akan.[13] The sons of Dishan: Uz and Aran.
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-43These are the kings who reigned in the land of Edom before any king reigned over the people of Israel: Bela the son of Beor, the name of his city being Dinhabah. 44Bela died, and Jobab the son of Zerah of Bozrah reigned in his place. 45Jobab died, and Husham of the land of the Temanites reigned in his place. 46Husham died, and Hadad the son of Bedad, who defeated Midian in the country of Moab, reigned in his place, the name of his city being Avith. 47Hadad died, and Samlah of Masrekah reigned in his place. 48Samlah died, and Shaul of Rehoboth on the Euphrates reigned in his place. 49Shaul died, and Baal-hanan, the son of Achbor, reigned in his place. 50Baal-hanan died, and Hadad reigned in his place, the name of his city being Pai; and his wife's name was Mehetabel, the daughter of Matred, the daughter of Mezahab. 51And Hadad died.
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-The chiefs of Edom were: chiefs Timna, Alvah, Jetheth, 52Oholibamah, Elah, Pinon, 53Kenaz, Teman, Mibzar, 54Magdiel, and Iram; these are the chiefs of Edom.
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-A Genealogy of David
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-2:1 These are the sons of Israel: Reuben, Simeon, Levi, Judah, Issachar, Zebulun, 2Dan, Joseph, Benjamin, Naphtali, Gad, and Asher. 3The sons of Judah: Er, Onan and Shelah; these three Bath-shua the Canaanite bore to him. Now Er, Judah's firstborn, was evil in the sight of the LORD, and he put him to death. 4His daughter-in-law Tamar also bore him Perez and Zerah. Judah had five sons in all.
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-5The sons of Perez: Hezron and Hamul. 6The sons of Zerah: Zimri, Ethan, Heman, Calcol, and Dara, five in all. 7The son[14] of Carmi: Achan, the troubler of Israel, who broke faith in the matter of the devoted thing; 8and Ethan's son was Azariah.
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-9The sons of Hezron that were born to him: Jerahmeel, Ram, and Chelubai. 10Ram fathered Amminadab, and Amminadab fathered Nahshon, prince of the sons of Judah. 11Nahshon fathered Salmon,[15] Salmon fathered Boaz, 12Boaz fathered Obed, Obed fathered Jesse. 13Jesse fathered Eliab his firstborn, Abinadab the second, Shimea the third, 14Nethanel the fourth, Raddai the fifth, 15Ozem the sixth, David the seventh. 16And their sisters were Zeruiah and Abigail. The sons of Zeruiah: Abishai, Joab, and Asahel, three. 17Abigail bore Amasa, and the father of Amasa was Jether the Ishmaelite.
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-18Caleb the son of Hezron fathered children by his wife Azubah, and by Jerioth; and these were her sons: Jesher, Shobab, and Ardon. 19When Azubah died, Caleb married Ephrath, who bore him Hur. 20Hur fathered Uri, and Uri fathered Bezalel.
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-21Afterward Hezron went in to the daughter of Machir the father of Gilead, whom he married when he was sixty years old, and she bore him Segub. 22And Segub fathered Jair, who had twenty-three cities in the land of Gilead. 23But Geshur and Aram took from them Havvoth-jair, Kenath, and its villages, sixty towns. All these were descendants of Machir, the father of Gilead. 24After the death of Hezron, Caleb went in to Ephrathah,[16] the wife of Hezron his father, and she bore him Ashhur, the father of Tekoa.
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-25The sons of Jerahmeel, the firstborn of Hezron: Ram, his firstborn, Bunah, Oren, Ozem, and Ahijah. 26Jerahmeel also had another wife, whose name was Atarah; she was the mother of Onam. 27The sons of Ram, the firstborn of Jerahmeel: Maaz, Jamin, and Eker. 28The sons of Onam: Shammai and Jada. The sons of Shammai: Nadab and Abishur. 29The name of Abishur's wife was Abihail, and she bore him Ahban and Molid. 30The sons of Nadab: Seled and Appaim; and Seled died childless. 31The son[17] of Appaim: Ishi. The son of Ishi: Sheshan. The son of Sheshan: Ahlai. 32The sons of Jada, Shammai's brother: Jether and Jonathan; and Jether died childless. 33The sons of Jonathan: Peleth and Zaza. These were the descendants of Jerahmeel. 34Now Sheshan had no sons, only daughters, but Sheshan had an Egyptian slave whose name was Jarha. 35So Sheshan gave his daughter in marriage to Jarha his slave, and she bore him Attai. 36Attai fathered Nathan, and Nathan fathered Zabad. 37Zabad fathered Ephlal, and Ephlal fathered Obed. 38Obed fathered Jehu, and Jehu fathered Azariah. 39Azariah fathered Helez, and Helez fathered Eleasah. 40Eleasah fathered Sismai, and Sismai fathered Shallum. 41Shallum fathered Jekamiah, and Jekamiah fathered Elishama.
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-42The sons of Caleb the brother of Jerahmeel: Mareshah[18] his firstborn, who fathered Ziph. The son[19] of Mareshah: Hebron.[20] 43The sons of Hebron: Korah, Tappuah, Rekem and Shema. 44Shema fathered Raham, the father of Jorkeam; and Rekem fathered Shammai. 45The son of Shammai: Maon; and Maon fathered Beth-zur. 46Ephah also, Caleb's concubine, bore Haran, Moza, and Gazez; and Haran fathered Gazez. 47The sons of Jahdai: Regem, Jotham, Geshan, Pelet, Ephah, and Shaaph. 48Maacah, Caleb's concubine, bore Sheber and Tirhanah. 49She also bore Shaaph the father of Madmannah, Sheva the father of Machbenah and the father of Gibea; and the daughter of Caleb was Achsah. 50These were the descendants of Caleb.
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-The sons[21] of Hur the firstborn of Ephrathah: Shobal the father of Kiriath-jearim, 51Salma, the father of Bethlehem, and Hareph the father of Beth-gader. 52Shobal the father of Kiriath-jearim had other sons: Haroeh, half of the Menuhoth. 53And the clans of Kiriath-jearim: the Ithrites, the Puthites, the Shumathites, and the Mishraites; from these came the Zorathites and the Eshtaolites. 54The sons of Salma: Bethlehem, the Netophathites, Atroth-beth-joab and half of the Manahathites, the Zorites. 55The clans also of the scribes who lived at Jabez: the Tirathites, the Shimeathites and the Sucathites. These are the Kenites who came from Hammath, the father of the house of Rechab.
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-Descendants of David
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-3:1 These are the sons of David who were born to him in Hebron: the firstborn, Amnon, by Ahinoam the Jezreelite; the second, Daniel, by Abigail the Carmelite, 2the third, Absalom, whose mother was Maacah, the daughter of Talmai, king of Geshur; the fourth, Adonijah, whose mother was Haggith; 3the fifth, Shephatiah, by Abital; the sixth, Ithream, by his wife Eglah; 4six were born to him in Hebron, where he reigned for seven years and six months. And he reigned thirty-three years in Jerusalem. 5These were born to him in Jerusalem: Shimea, Shobab, Nathan and Solomon, four by Bath-shua, the daughter of Ammiel; 6then Ibhar, Elishama, Eliphelet, 7Nogah, Nepheg, Japhia, 8Elishama, Eliada, and Eliphelet, nine. 9All these were David's sons, besides the sons of the concubines, and Tamar was their sister.
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-10The son of Solomon was Rehoboam, Abijah his son, Asa his son, Jehoshaphat his son, 11Joram his son, Ahaziah his son, Joash his son, 12Amaziah his son, Azariah his son, Jotham his son, 13Ahaz his son, Hezekiah his son, Manasseh his son, 14Amon his son, Josiah his son. 15The sons of Josiah: Johanan the firstborn, the second Jehoiakim, the third Zedekiah, the fourth Shallum. 16The descendants of Jehoiakim: Jeconiah his son, Zedekiah his son; 17and the sons of Jeconiah, the captive: Shealtiel his son, 18Malchiram, Pedaiah, Shenazzar, Jekamiah, Hoshama and Nedabiah; 19and the sons of Pedaiah: Zerubbabel and Shimei; and the sons of Zerubbabel: Meshullam and Hananiah, and Shelomith was their sister; 20and Hashubah, Ohel, Berechiah, Hasadiah, and Jushab-hesed, five. 21The sons of Hananiah: Pelatiah and Jeshaiah, his son[22] Rephaiah, his son Arnan, his son Obadiah, his son Shecaniah. 22The son[23] of Shecaniah: Shemaiah. And the sons of Shemaiah: Hattush, Igal, Bariah, Neariah, and Shaphat, six. 23The sons of Neariah: Elioenai, Hizkiah, and Azrikam, three. 24The sons of Elioenai: Hodaviah, Eliashib, Pelaiah, Akkub, Johanan, Delaiah, and Anani, seven.
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-Descendants of Judah
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-4:1 The sons of Judah: Perez, Hezron, Carmi, Hur, and Shobal. 2Reaiah the son of Shobal fathered Jahath, and Jahath fathered Ahumai and Lahad. These were the clans of the Zorathites. 3These were the sons[24] of Etam: Jezreel, Ishma, and Idbash; and the name of their sister was Hazzelelponi, 4and Penuel fathered Gedor, and Ezer fathered Hushah. These were the sons of Hur, the firstborn of Ephrathah, the father of Bethlehem. 5Ashhur, the father of Tekoa, had two wives, Helah and Naarah; 6Naarah bore him Ahuzzam, Hepher, Temeni, and Haahashtari. These were the sons of Naarah. 7The sons of Helah: Zereth, Izhar, and Ethnan. 8Koz fathered Anub, Zobebah, and the clans of Aharhel, the son of Harum. 9Jabez was more honorable than his brothers; and his mother called his name Jabez, saying, “Because I bore him in pain.”[25] 10Jabez called upon the God of Israel, saying, “Oh that you would bless me and enlarge my border, and that your hand might be with me, and that you would keep me from harm[26] so that it might not bring me pain!” And God granted what he asked. 11Chelub, the brother of Shuhah, fathered Mehir, who fathered Eshton. 12Eshton fathered Beth-rapha, Paseah, and Tehinnah, the father of Ir-nahash. These are the men of Recah. 13The sons of Kenaz: Othniel and Seraiah; and the sons of Othniel: Hathath and Meonothai.[27] 14Meonothai fathered Ophrah; and Seraiah fathered Joab, the father of Ge-harashim,[28] so-called because they were craftsmen. 15The sons of Caleb the son of Jephunneh: Iru, Elah, and Naam; and the son[29] of Elah: Kenaz. 16The sons of Jehallelel: Ziph, Ziphah, Tiria, and Asarel. 17The sons of Ezrah: Jether, Mered, Epher, and Jalon. These are the sons of Bithiah, the daughter of Pharaoh, whom Mered married;[30] and she conceived and bore[31] Miriam, Shammai, and Ishbah, the father of Eshtemoa. 18And his Judahite wife bore Jered the father of Gedor, Heber the father of Soco, and Jekuthiel the father of Zanoah. 19The sons of the wife of Hodiah, the sister of Naham, were the fathers of Keilah the Garmite and Eshtemoa the Maacathite. 20The sons of Shimon: Amnon, Rinnah, Ben-hanan, and Tilon. The sons of Ishi: Zoheth and Ben-zoheth. 21The sons of Shelah the son of Judah: Er the father of Lecah, Laadah the father of Mareshah, and the clans of the house of linen workers at Beth-ashbea; 22and Jokim, and the men of Cozeba, and Joash, and Saraph, who ruled in Moab and returned to Lehem[32] (now the records[33] are ancient). 23These were the potters who were inhabitants of Netaim and Gederah. They lived there in the king's service.
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-Descendants of Simeon
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-24The sons of Simeon: Nemuel, Jamin, Jarib, Zerah, Shaul; 25Shallum was his son, Mibsam his son, Mishma his son. 26The sons of Mishma: Hammuel his son, Zaccur his son, Shimei his son. 27Shimei had sixteen sons and six daughters; but his brothers did not have many children, nor did all their clan multiply like the men of Judah. 28They lived in Beersheba, Moladah, Hazar-shual, 29Bilhah, Ezem, Tolad, 30Bethuel, Hormah, Ziklag, 31Beth-marcaboth, Hazar-susim, Beth-biri, and Shaaraim. These were their cities until David reigned. 32And their villages were Etam, Ain, Rimmon, Tochen, and Ashan, five cities, 33along with all their villages that were around these cities as far as Baal. These were their settlements, and they kept a genealogical record.
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-34Meshobab, Jamlech, Joshah the son of Amaziah, 35Joel, Jehu the son of Joshibiah, son of Seraiah, son of Asiel, 36Elioenai, Jaakobah, Jeshohaiah, Asaiah, Adiel, Jesimiel, Benaiah, 37Ziza the son of Shiphi, son of Allon, son of Jedaiah, son of Shimri, son of Shemaiah— 38these mentioned by name were princes in their clans, and their fathers' houses increased greatly. 39They journeyed to the entrance of Gedor, to the east side of the valley, to seek pasture for their flocks, 40where they found rich, good pasture, and the land was very broad, quiet, and peaceful, for the former inhabitants there belonged to Ham. 41These, registered by name, came in the days of Hezekiah, king of Judah, and destroyed their tents and the Meunites who were found there, and marked them for destruction to this day, and settled in their place, because there was pasture there for their flocks. 42And some of them, five hundred men of the Simeonites, went to Mount Seir, having as their leaders Pelatiah, Neariah, Rephaiah, and Uzziel, the sons of Ishi. 43And they defeated the remnant of the Amalekites who had escaped, and they have lived there to this day.
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-Descendants of Reuben
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-5:1 The sons of Reuben the firstborn of Israel (for he was the firstborn, but because he defiled his father's couch, his birthright was given to the sons of Joseph the son of Israel, so that he could not be enrolled as the oldest son; 2though Judah became strong among his brothers and a chief came from him, yet the birthright belonged to Joseph), 3the sons of Reuben, the firstborn of Israel: Hanoch, Pallu, Hezron, and Carmi. 4The sons of Joel: Shemaiah his son, Gog his son, Shimei his son, 5Micah his son, Reaiah his son, Baal his son, 6Beerah his son, whom Tiglath-pileser[34] king of Assyria carried away into exile; he was a chief of the Reubenites. 7And his kinsmen by their clans, when the genealogy of their generations was recorded: the chief, Jeiel, and Zechariah, 8and Bela the son of Azaz, son of Shema, son of Joel, who lived in Aroer, as far as Nebo and Baal-meon. 9He also lived to the east as far as the entrance of the desert this side of the Euphrates, because their livestock had multiplied in the land of Gilead. 10And in the days of Saul they waged war against the Hagrites, who fell into their hand. And they lived in their tents throughout all the region east of Gilead.
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-Descendants of Gad
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-11The sons of Gad lived over against them in the land of Bashan as far as Salecah: 12Joel the chief, Shapham the second, Janai, and Shaphat in Bashan. 13And their kinsmen according to their fathers' houses: Michael, Meshullam, Sheba, Jorai, Jacan, Zia and Eber, seven. 14These were the sons of Abihail the son of Huri, son of Jaroah, son of Gilead, son of Michael, son of Jeshishai, son of Jahdo, son of Buz. 15Ahi the son of Abdiel, son of Guni, was chief in their fathers' houses, 16and they lived in Gilead, in Bashan and in its towns, and in all the pasturelands of Sharon to their limits. 17All of these were recorded in genealogies in the days of Jotham king of Judah, and in the days of Jeroboam king of Israel.
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-18The Reubenites, the Gadites, and the half-tribe of Manasseh had valiant men who carried shield and sword, and drew the bow, expert in war, 44,760, able to go to war. 19They waged war against the Hagrites, Jetur, Naphish, and Nodab. 20And when they prevailed over them, the Hagrites and all who were with them were given into their hands, for they cried out to God in the battle, and he granted their urgent plea because they trusted in him. 21They carried off their livestock: 50,000 of their camels, 250,000 sheep, 2,000 donkeys, and 100,000 men alive. 22For many fell, because the war was of God. And they lived in their place until the exile.
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-The Half-Tribe of Manasseh
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-23The members of the half-tribe of Manasseh lived in the land. They were very numerous from Bashan to Baal-hermon, Senir, and Mount Hermon. 24These were the heads of their fathers' houses: Epher,[35] Ishi, Eliel, Azriel, Jeremiah, Hodaviah, and Jahdiel, mighty warriors, famous men, heads of their fathers' houses. 25But they broke faith with the God of their fathers, and whored after the gods of the peoples of the land, whom God had destroyed before them. 26So the God of Israel stirred up the spirit of Pul king of Assyria, the spirit of Tiglath-pileser king of Assyria, and he took them into exile, namely, the Reubenites, the Gadites, and the half-tribe of Manasseh, and brought them to Halah, Habor, Hara, and the river Gozan, to this day.
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-Descendants of Levi
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-6:1 [36] The sons of Levi: Gershon, Kohath, and Merari. 2The sons of Kohath: Amram, Izhar, Hebron, and Uzziel. 3The children of Amram: Aaron, Moses, and Miriam. The sons of Aaron: Nadab, Abihu, Eleazar, and Ithamar. 4Eleazar fathered Phinehas, Phinehas fathered Abishua, 5Abishua fathered Bukki, Bukki fathered Uzzi, 6Uzzi fathered Zerahiah, Zerahiah fathered Meraioth, 7Meraioth fathered Amariah, Amariah fathered Ahitub, 8Ahitub fathered Zadok, Zadok fathered Ahimaaz, 9Ahimaaz fathered Azariah, Azariah fathered Johanan, 10and Johanan fathered Azariah (it was he who served as priest in the house that Solomon built in Jerusalem). 11Azariah fathered Amariah, Amariah fathered Ahitub, 12Ahitub fathered Zadok, Zadok fathered Shallum, 13Shallum fathered Hilkiah, Hilkiah fathered Azariah, 14Azariah fathered Seraiah, Seraiah fathered Jehozadak; 15and Jehozadak went into exile when the LORD sent Judah and Jerusalem into exile by the hand of Nebuchadnezzar.
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-16[37] The sons of Levi: Gershom, Kohath, and Merari. 17And these are the names of the sons of Gershom: Libni and Shimei. 18The sons of Kohath: Amram, Izhar, Hebron and Uzziel. 19The sons of Merari: Mahli and Mushi. These are the clans of the Levites according to their fathers. 20Of Gershom: Libni his son, Jahath his son, Zimmah his son, 21Joah his son, Iddo his son, Zerah his son, Jeatherai his son. 22The sons of Kohath: Amminadab his son, Korah his son, Assir his son, 23Elkanah his son, Ebiasaph his son, Assir his son, 24Tahath his son, Uriel his son, Uzziah his son, and Shaul his son. 25The sons of Elkanah: Amasai and Ahimoth, 26Elkanah his son, Zophai his son, Nahath his son, 27Eliab his son, Jeroham his son, Elkanah his son. 28The sons of Samuel: Joel[38] his firstborn, the second Abijah.[39] 29The sons of Merari: Mahli, Libni his son, Shimei his son, Uzzah his son, 30Shimea his son, Haggiah his son, and Asaiah his son.
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-31These are the men whom David put in charge of the service of song in the house of the LORD after the ark rested there. 32They ministered with song before the tabernacle of the tent of meeting until Solomon built the house of the LORD in Jerusalem, and they performed their service according to their order. 33These are the men who served and their sons. Of the sons of the Kohathites: Heman the singer the son of Joel, son of Samuel, 34son of Elkanah, son of Jeroham, son of Eliel, son of Toah, 35son of Zuph, son of Elkanah, son of Mahath, son of Amasai, 36son of Elkanah, son of Joel, son of Azariah, son of Zephaniah, 37son of Tahath, son of Assir, son of Ebiasaph, son of Korah, 38son of Izhar, son of Kohath, son of Levi, son of Israel; 39and his brother Asaph, who stood on his right hand, namely, Asaph the son of Berechiah, son of Shimea, 40son of Michael, son of Baaseiah, son of Malchijah, 41son of Ethni, son of Zerah, son of Adaiah, 42son of Ethan, son of Zimmah, son of Shimei, 43son of Jahath, son of Gershom, son of Levi. 44On the left hand were their brothers, the sons of Merari: Ethan the son of Kishi, son of Abdi, son of Malluch, 45son of Hashabiah, son of Amaziah, son of Hilkiah, 46son of Amzi, son of Bani, son of Shemer, 47son of Mahli, son of Mushi, son of Merari, son of Levi. 48And their brothers the Levites were appointed for all the service of the tabernacle of the house of God.
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-49But Aaron and his sons made offerings on the altar of burnt offering and on the altar of incense for all the work of the Most Holy Place, and to make atonement for Israel, according to all that Moses the servant of God had commanded. 50These are the sons of Aaron: Eleazar his son, Phinehas his son, Abishua his son, 51Bukki his son, Uzzi his son, Zerahiah his son, 52Meraioth his son, Amariah his son, Ahitub his son, 53Zadok his son, Ahimaaz his son.
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-54These are their dwelling places according to their settlements within their borders: to the sons of Aaron of the clans of Kohathites, for theirs was the first lot, 55to them they gave Hebron in the land of Judah and its surrounding pasturelands, 56but the fields of the city and its villages they gave to Caleb the son of Jephunneh. 57To the sons of Aaron they gave the cities of refuge: Hebron, Libnah with its pasturelands, Jattir, Eshtemoa with its pasturelands, 58Hilen with its pasturelands, Debir with its pasturelands, 59Ashan with its pasturelands, and Beth-shemesh with its pasturelands; 60and from the tribe of Benjamin, Gibeon,[40] Geba with its pasturelands, Alemeth with its pasturelands, and Anathoth with its pasturelands. All their cities throughout their clans were thirteen.
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-61To the rest of the Kohathites were given by lot out of the clan of the tribe, out of the half-tribe, the half of Manasseh, ten cities. 62To the Gershomites according to their clans were allotted thirteen cities out of the tribes of Issachar, Asher, Naphtali and Manasseh in Bashan. 63To the Merarites according to their clans were allotted twelve cities out of the tribes of Reuben, Gad, and Zebulun. 64So the people of Israel gave the Levites the cities with their pasturelands. 65They gave by lot out of the tribes of Judah, Simeon, and Benjamin these cities that are mentioned by name.
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-66And some of the clans of the sons of Kohath had cities of their territory out of the tribe of Ephraim. 67They were given the cities of refuge: Shechem with its pasturelands in the hill country of Ephraim, Gezer with its pasturelands, 68Jokmeam with its pasturelands, Beth-horon with its pasturelands, 69Aijalon with its pasturelands, Gath-rimmon with its pasturelands, 70and out of the half-tribe of Manasseh, Aner with its pasturelands, and Bileam with its pasturelands, for the rest of the clans of the Kohathites.
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-71To the Gershomites were given out of the clan of the half-tribe of Manasseh: Golan in Bashan with its pasturelands and Ashtaroth with its pasturelands; 72and out of the tribe of Issachar: Kedesh with its pasturelands, Daberath with its pasturelands, 73Ramoth with its pasturelands, and Anem with its pasturelands; 74out of the tribe of Asher: Mashal with its pasturelands, Abdon with its pasturelands, 75Hukok with its pasturelands, and Rehob with its pasturelands; 76and out of the tribe of Naphtali: Kedesh in Galilee with its pasturelands, Hammon with its pasturelands, and Kiriathaim with its pasturelands. 77To the rest of the Merarites were allotted out of the tribe of Zebulun: Rimmono with its pasturelands, Tabor with its pasturelands, 78and beyond the Jordan at Jericho, on the east side of the Jordan, out of the tribe of Reuben: Bezer in the wilderness with its pasturelands, Jahzah with its pasturelands, 79Kedemoth with its pasturelands, and Mephaath with its pasturelands; 80and out of the tribe of Gad: Ramoth in Gilead with its pasturelands, Mahanaim with its pasturelands, 81Heshbon with its pasturelands, and Jazer with its pasturelands.
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-Descendants of Issachar
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-7:1 The sons[41] of Issachar: Tola, Puah, Jashub, and Shimron, four. 2The sons of Tola: Uzzi, Rephaiah, Jeriel, Jahmai, Ibsam, and Shemuel, heads of their fathers' houses, namely of Tola, mighty warriors of their generations, their number in the days of David being 22,600. 3The son[42] of Uzzi: Izrahiah. And the sons of Izrahiah: Michael, Obadiah, Joel, and Isshiah, all five of them were chief men. 4And along with them, by their generations, according to their fathers' houses, were units of the army for war, 36,000, for they had many wives and sons. 5Their kinsmen belonging to all the clans of Issachar were in all 87,000 mighty warriors, enrolled by genealogy.
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-Descendants of Benjamin
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-6The sons of Benjamin: Bela, Becher, and Jediael, three. 7The sons of Bela: Ezbon, Uzzi, Uzziel, Jerimoth, and Iri, five, heads of fathers' houses, mighty warriors. And their enrollment by genealogies was 22,034. 8The sons of Becher: Zemirah, Joash, Eliezer, Elioenai, Omri, Jeremoth, Abijah, Anathoth, and Alemeth. All these were the sons of Becher. 9And their enrollment by genealogies, according to their generations, as heads of their fathers' houses, mighty warriors, was 20,200. 10The son of Jediael: Bilhan. And the sons of Bilhan: Jeush, Benjamin, Ehud, Chenaanah, Zethan, Tarshish, and Ahishahar. 11All these were the sons of Jediael according to the heads of their fathers' houses, mighty warriors, 17,200, able to go to war. 12And Shuppim and Huppim were the sons of Ir, Hushim the son of Aher.
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-Descendants of Naphtali
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-13The sons of Naphtali: Jahziel, Guni, Jezer and Shallum, the descendants of Bilhah.
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-Descendants of Manasseh
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-14The sons of Manasseh: Asriel, whom his Aramean concubine bore; she bore Machir the father of Gilead. 15And Machir took a wife for Huppim and for Shuppim. The name of his sister was Maacah. And the name of the second was Zelophehad, and Zelophehad had daughters. 16And Maacah the wife of Machir bore a son, and she called his name Peresh; and the name of his brother was Sheresh; and his sons were Ulam and Rakem. 17The son of Ulam: Bedan. These were the sons of Gilead the son of Machir, son of Manasseh. 18And his sister Hammolecheth bore Ishhod, Abiezer and Mahlah. 19The sons of Shemida were Ahian, Shechem, Likhi, and Aniam.
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-Descendants of Ephraim
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-20The sons of Ephraim: Shuthelah, and Bered his son, Tahath his son, Eleadah his son, Tahath his son, 21Zabad his son, Shuthelah his son, and Ezer and Elead, whom the men of Gath who were born in the land killed, because they came down to raid their livestock. 22And Ephraim their father mourned many days, and his brothers came to comfort him. 23And Ephraim went in to his wife, and she conceived and bore a son. And he called his name Beriah, because disaster had befallen his house.[43] 24His daughter was Sheerah, who built both Lower and Upper Beth-horon, and Uzzen-sheerah. 25Rephah was his son, Resheph his son, Telah his son, Tahan his son, 26Ladan his son, Ammihud his son, Elishama his son, 27Nun[44] his son, Joshua his son. 28Their possessions and settlements were Bethel and its towns, and to the east Naaran, and to the west Gezer and its towns, Shechem and its towns, and Ayyah and its towns; 29also in possession of the Manassites, Beth-shean and its towns, Taanach and its towns, Megiddo and its towns, Dor and its towns. In these lived the sons of Joseph the son of Israel.
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-Descendants of Asher
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-30The sons of Asher: Imnah, Ishvah, Ishvi, Beriah, and their sister Serah. 31The sons of Beriah: Heber, and Malchiel, who fathered Birzaith. 32Heber fathered Japhlet, Shomer, Hotham, and their sister Shua. 33The sons of Japhlet: Pasach, Bimhal, and Ashvath. These are the sons of Japhlet. 34The sons of Shemer his brother: Rohgah, Jehubbah, and Aram. 35The sons of Helem his brother: Zophah, Imna, Shelesh, and Amal. 36The sons of Zophah: Suah, Harnepher, Shual, Beri, Imrah. 37Bezer, Hod, Shamma, Shilshah, Ithran, and Beera. 38The sons of Jether: Jephunneh, Pispa, and Ara. 39The sons of Ulla: Arah, Hanniel, and Rizia. 40All of these were men of Asher, heads of fathers' houses, approved, mighty warriors, chiefs of the princes. Their number enrolled by genealogies, for service in war, was 26,000 men.
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-A Genealogy of Saul
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-8:1 Benjamin fathered Bela his firstborn, Ashbel the second, Aharah the third, 2Nohah the fourth, and Rapha the fifth. 3And Bela had sons: Addar, Gera, Abihud, 4Abishua, Naaman, Ahoah, 5Gera, Shephuphan, and Huram. 6These are the sons of Ehud (they were heads of fathers' houses of the inhabitants of Geba, and they were carried into exile to Manahath): 7Naaman,[45] Ahijah, and Gera, that is, Heglam,[46] who fathered Uzza and Ahihud. 8And Shaharaim fathered sons in the country of Moab after he had sent away Hushim and Baara his wives. 9He fathered sons by Hodesh his wife: Jobab, Zibia, Mesha, Malcam, 10Jeuz, Sachia, and Mirmah. These were his sons, heads of fathers' houses. 11He also fathered sons by Hushim: Abitub and Elpaal. 12The sons of Elpaal: Eber, Misham, and Shemed, who built Ono and Lod with its towns, 13and Beriah and Shema (they were heads of fathers' houses of the inhabitants of Aijalon, who caused the inhabitants of Gath to flee); 14and Ahio, Shashak, and Jeremoth. 15Zebadiah, Arad, Eder, 16Michael, Ishpah, and Joha were sons of Beriah. 17Zebadiah, Meshullam, Hizki, Heber, 18Ishmerai, Izliah, and Jobab were the sons of Elpaal. 19Jakim, Zichri, Zabdi, 20Elienai, Zillethai, Eliel, 21Adaiah, Beraiah, and Shimrath were the sons of Shimei. 22Ishpan, Eber, Eliel, 23Abdon, Zichri, Hanan, 24Hananiah, Elam, Anthothijah, 25Iphdeiah, and Penuel were the sons of Shashak. 26Shamsherai, Shehariah, Athaliah, 27Jaareshiah, Elijah, and Zichri were the sons of Jeroham. 28These were the heads of fathers' houses, according to their generations, chief men. These lived in Jerusalem.
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-29Jeiel[47] the father of Gibeon lived in Gibeon, and the name of his wife was Maacah. 30His firstborn son: Abdon, then Zur, Kish, Baal, Nadab, 31Gedor, Ahio, Zecher, 32and Mikloth (he fathered Shimeah). Now these also lived opposite their kinsmen in Jerusalem, with their kinsmen. 33Ner was the father of Kish, Kish of Saul, Saul of Jonathan, Malchi-shua, Abinadab and Eshbaal; 34and the son of Jonathan was Merib-baal; and Merib-baal was the father of Micah. 35The sons of Micah: Pithon, Melech, Tarea, and Ahaz. 36Ahaz fathered Jehoaddah, and Jehoaddah fathered Alemeth, Azmaveth, and Zimri. Zimri fathered Moza. 37Moza fathered Binea; Raphah was his son, Eleasah his son, Azel his son. 38Azel had six sons, and these are their names: Azrikam, Bocheru, Ishmael, Sheariah, Obadiah, and Hanan. All these were the sons of Azel. 39The sons of Eshek his brother: Ulam his firstborn, Jeush the second, and Eliphelet the third. 40The sons of Ulam were men who were mighty warriors, bowmen, having many sons and grandsons, 150. All these were Benjaminites.
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-A Genealogy of the Returned Exiles
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-9:1 So all Israel was recorded in genealogies, and these are written in the Book of the Kings of Israel. And Judah was taken into exile in Babylon because of their breach of faith. 2Now the first to dwell again in their possessions in their cities were Israel, the priests, the Levites, and the temple servants. 3And some of the people of Judah, Benjamin, Ephraim, and Manasseh lived in Jerusalem: 4Uthai the son of Ammihud, son of Omri, son of Imri, son of Bani, from the sons of Perez the son of Judah. 5And of the Shilonites: Asaiah the firstborn, and his sons. 6Of the sons of Zerah: Jeuel and their kinsmen, 690. 7Of the Benjaminites: Sallu the son of Meshullam, son of Hodaviah, son of Hassenuah, 8Ibneiah the son of Jeroham, Elah the son of Uzzi, son of Michri, and Meshullam the son of Shephatiah, son of Reuel, son of Ibnijah; 9and their kinsmen according to their generations, 956. All these were heads of fathers' houses according to their fathers' houses.
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-10Of the priests: Jedaiah, Jehoiarib, Jachin, 11and Azariah the son of Hilkiah, son of Meshullam, son of Zadok, son of Meraioth, son of Ahitub, the chief officer of the house of God; 12and Adaiah the son of Jeroham, son of Pashhur, son of Malchijah, and Maasai the son of Adiel, son of Jahzerah, son of Meshullam, son of Meshillemith, son of Immer; 13besides their kinsmen, heads of their fathers' houses, 1,760, mighty men for the work of the service of the house of God.
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-14Of the Levites: Shemaiah the son of Hasshub, son of Azrikam, son of Hashabiah, of the sons of Merari; 15and Bakbakkar, Heresh, Galal and Mattaniah the son of Mica, son of Zichri, son of Asaph; 16and Obadiah the son of Shemaiah, son of Galal, son of Jeduthun, and Berechiah the son of Asa, son of Elkanah, who lived in the villages of the Netophathites.
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-17The gatekeepers were Shallum, Akkub, Talmon, Ahiman, and their kinsmen (Shallum was the chief); 18until then they were in the king's gate on the east side as the gatekeepers of the camps of the Levites. 19Shallum the son of Kore, son of Ebiasaph, son of Korah, and his kinsmen of his fathers' house, the Korahites, were in charge of the work of the service, keepers of the thresholds of the tent, as their fathers had been in charge of the camp of the LORD, keepers of the entrance. 20And Phinehas the son of Eleazar was the chief officer over them in time past; the LORD was with him. 21Zechariah the son of Meshelemiah was gatekeeper at the entrance of the tent of meeting. 22All these, who were chosen as gatekeepers at the thresholds, were 212. They were enrolled by genealogies in their villages. David and Samuel the seer established them in their office of trust. 23So they and their sons were in charge of the gates of the house of the LORD, that is, the house of the tent, as guards. 24The gatekeepers were on the four sides, east, west, north, and south. 25And their kinsmen who were in their villages were obligated to come in every seven days, in turn, to be with these, 26for the four chief gatekeepers, who were Levites, were entrusted to be over the chambers and the treasures of the house of God. 27And they lodged around the house of God, for on them lay the duty of watching, and they had charge of opening it every morning.
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-28Some of them had charge of the utensils of service, for they were required to count them when they were brought in and taken out. 29Others of them were appointed over the furniture and over all the holy utensils, also over the fine flour, the wine, the oil, the incense, and the spices. 30Others, of the sons of the priests, prepared the mixing of the spices, 31and Mattithiah, one of the Levites, the firstborn of Shallum the Korahite, was entrusted with making the flat cakes. 32Also some of their kinsmen of the Kohathites had charge of the showbread, to prepare it every Sabbath.
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-33Now these, the singers, the heads of fathers' houses of the Levites, were in the chambers of the temple free from other service, for they were on duty day and night. 34These were heads of fathers' houses of the Levites, according to their generations, leaders. These lived in Jerusalem.
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-Saul's Genealogy Repeated
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-35In Gibeon lived the father of Gibeon, Jeiel, and the name of his wife was Maacah, 36and his firstborn son Abdon, then Zur, Kish, Baal, Ner, Nadab, 37Gedor, Ahio, Zechariah, and Mikloth; 38and Mikloth was the father of Shimeam; and these also lived opposite their kinsmen in Jerusalem, with their kinsmen. 39Ner fathered Kish, Kish fathered Saul, Saul fathered Jonathan, Malchi-shua, Abinadab, and Eshbaal. 40And the son of Jonathan was Merib-baal, and Merib-baal fathered Micah. 41The sons of Micah: Pithon, Melech, Tahrea, and Ahaz.[48] 42And Ahaz fathered Jarah, and Jarah fathered Alemeth, Azmaveth, and Zimri. And Zimri fathered Moza. 43Moza fathered Binea, and Rephaiah was his son, Eleasah his son, Azel his son. 44Azel had six sons and these are their names: Azrikam, Bocheru, Ishmael, Sheariah, Obadiah, and Hanan; these were the sons of Azel.
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-The Death of Saul and His Sons
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-10:1 Now the Philistines fought against Israel, and the men of Israel fled before the Philistines and fell slain on Mount Gilboa. 2And the Philistines overtook Saul and his sons, and the Philistines struck down Jonathan and Abinadab and Malchi-shua, the sons of Saul. 3The battle pressed hard against Saul, and the archers found him, and he was wounded by the archers. 4Then Saul said to his armor-bearer, “Draw your sword and thrust me through with it, lest these uncircumcised come and mistreat me.” But his armor-bearer would not, for he feared greatly. Therefore Saul took his own sword and fell upon it. 5And when his armor-bearer saw that Saul was dead, he also fell upon his sword and died. 6Thus Saul died; he and his three sons and all his house died together. 7And when all the men of Israel who were in the valley saw that the army[49] had fled and that Saul and his sons were dead, they abandoned their cities and fled, and the Philistines came and lived in them.
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-8The next day, when the Philistines came to strip the slain, they found Saul and his sons fallen on Mount Gilboa. 9And they stripped him and took his head and his armor, and sent messengers throughout the land of the Philistines to carry the good news to their idols and to the people. 10And they put his armor in the temple of their gods and fastened his head in the temple of Dagon. 11But when all Jabesh-gilead heard all that the Philistines had done to Saul, 12all the valiant men arose and took away the body of Saul and the bodies of his sons, and brought them to Jabesh. And they buried their bones under the oak in Jabesh and fasted seven days.
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-13So Saul died for his breach of faith. He broke faith with the LORD in that he did not keep the command of the LORD, and also consulted a medium, seeking guidance. 14He did not seek guidance from the LORD. Therefore the LORD put him to death and turned the kingdom over to David the son of Jesse.
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-David Anointed King
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-11:1 Then all Israel gathered together to David at Hebron and said, “Behold, we are your bone and flesh. 2In times past, even when Saul was king, it was you who led out and brought in Israel. And the LORD your God said to you, ‘You shall be shepherd of my people Israel, and you shall be prince over my people Israel.’” 3So all the elders of Israel came to the king at Hebron, and David made a covenant with them at Hebron before the LORD. And they anointed David king over Israel, according to the word of the LORD by Samuel.
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-David Takes Jerusalem
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-4And David and all Israel went to Jerusalem, that is, Jebus, where the Jebusites were, the inhabitants of the land. 5The inhabitants of Jebus said to David, “You will not come in here.” Nevertheless, David took the stronghold of Zion, that is, the city of David. 6David said, “Whoever strikes the Jebusites first shall be chief and commander.” And Joab the son of Zeruiah went up first, so he became chief. 7And David lived in the stronghold; therefore it was called the city of David. 8And he built the city all around from the Millo in complete circuit, and Joab repaired the rest of the city. 9And David became greater and greater, for the LORD of hosts was with him.
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-David's Mighty Men
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-10Now these are the chiefs of David's mighty men, who gave him strong support in his kingdom, together with all Israel, to make him king, according to the word of the LORD concerning Israel. 11This is an account of David's mighty men: Jashobeam, a Hachmonite, was chief of the three.[50] He wielded his spear against 300 whom he killed at one time.
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-12And next to him among the three mighty men was Eleazar the son of Dodo, the Ahohite. 13He was with David at Pas-dammim when the Philistines were gathered there for battle. There was a plot of ground full of barley, and the men fled from the Philistines. 14But he took his[51] stand in the midst of the plot and defended it and killed the Philistines. And the LORD saved them by a great victory.
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-15Three of the thirty chief men went down to the rock to David at the cave of Adullam, when the army of Philistines was encamped in the Valley of Rephaim. 16David was then in the stronghold, and the garrison of the Philistines was then at Bethlehem. 17And David said longingly, “Oh that someone would give me water to drink from the well of Bethlehem that is by the gate!” 18Then the three mighty men broke through the camp of the Philistines and drew water out of the well of Bethlehem that was by the gate and took it and brought it to David. But David would not drink it. He poured it out to the LORD 19and said, “Far be it from me before my God that I should do this. Shall I drink the lifeblood of these men? For at the risk of their lives they brought it.” Therefore he would not drink it. These things did the three mighty men.
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-20Now Abishai, the brother of Joab, was chief of the thirty.[52] And he wielded his spear against 300 men and killed them and won a name beside the three. 21He was the most renowned[53] of the thirty[54] and became their commander, but he did not attain to the three.
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-22And Benaiah the son of Jehoiada was a valiant man[55] of Kabzeel, a doer of great deeds. He struck down two heroes of Moab. He also went down and struck down a lion in a pit on a day when snow had fallen. 23And he struck down an Egyptian, a man of great stature, five cubits[56] tall. The Egyptian had in his hand a spear like a weaver's beam, but Benaiah went down to him with a staff and snatched the spear out of the Egyptian's hand and killed him with his own spear. 24These things did Benaiah the son of Jehoiada and won a name beside the three mighty men. 25He was renowned among the thirty, but he did not attain to the three. And David set him over his bodyguard.
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-26The mighty men were Asahel the brother of Joab, Elhanan the son of Dodo of Bethlehem, 27Shammoth of Harod,[57] Helez the Pelonite, 28Ira the son of Ikkesh of Tekoa, Abiezer of Anathoth, 29Sibbecai the Hushathite, Ilai the Ahohite, 30Maharai of Netophah, Heled the son of Baanah of Netophah, 31Ithai the son of Ribai of Gibeah of the people of Benjamin, Benaiah of Pirathon, 32Hurai of the brooks of Gaash, Abiel the Arbathite, 33Azmaveth of Baharum, Eliahba the Shaalbonite, 34Hashem[58] the Gizonite, Jonathan the son of Shagee the Hararite, 35Ahiam the son of Sachar the Hararite, Eliphal the son of Ur, 36Hepher the Mecherathite, Ahijah the Pelonite, 37Hezro of Carmel, Naarai the son of Ezbai, 38Joel the brother of Nathan, Mibhar the son of Hagri, 39Zelek the Ammonite, Naharai of Beeroth, the armor-bearer of Joab the son of Zeruiah, 40Ira the Ithrite, Gareb the Ithrite, 41Uriah the Hittite, Zabad the son of Ahlai, 42Adina the son of Shiza the Reubenite, a leader of the Reubenites, and thirty with him, 43Hanan the son of Maacah, and Joshaphat the Mithnite, 44Uzzia the Ashterathite, Shama and Jeiel the sons of Hotham the Aroerite, 45Jediael the son of Shimri, and Joha his brother, the Tizite, 46Eliel the Mahavite, and Jeribai, and Joshaviah, the sons of Elnaam, and Ithmah the Moabite, 47Eliel, and Obed, and Jaasiel the Mezobaite.
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-The Mighty Men Join David
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-12:1 Now these are the men who came to David at Ziklag, while he could not move about freely because of Saul the son of Kish. And they were among the mighty men who helped him in war. 2They were bowmen and could shoot arrows and sling stones with either the right or the left hand; they were Benjaminites, Saul's kinsmen. 3The chief was Ahiezer, then Joash, both sons of Shemaah of Gibeah; also Jeziel and Pelet, the sons of Azmaveth; Beracah, Jehu of Anathoth, 4Ishmaiah of Gibeon, a mighty man among the thirty and a leader over the thirty; Jeremiah,[59] Jahaziel, Johanan, Jozabad of Gederah, 5Eluzai,[60] Jerimoth, Bealiah, Shemariah, Shephatiah the Haruphite; 6Elkanah, Isshiah, Azarel, Joezer, and Jashobeam, the Korahites; 7And Joelah and Zebadiah, the sons of Jeroham of Gedor.
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-8From the Gadites there went over to David at the stronghold in the wilderness mighty and experienced warriors, expert with shield and spear, whose faces were like the faces of lions and who were swift as gazelles upon the mountains: 9Ezer the chief, Obadiah second, Eliab third, 10Mishmannah fourth, Jeremiah fifth, 11Attai sixth, Eliel seventh, 12Johanan eighth, Elzabad ninth, 13Jeremiah tenth, Machbannai eleventh. 14These Gadites were officers of the army; the least was a match for a hundred men and the greatest for a thousand. 15These are the men who crossed the Jordan in the first month, when it was overflowing all its banks, and put to flight all those in the valleys, to the east and to the west.
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-16And some of the men of Benjamin and Judah came to the stronghold to David. 17David went out to meet them and said to them, “If you have come to me in friendship to help me, my heart will be joined to you; but if to betray me to my adversaries, although there is no wrong in my hands, then may the God of our fathers see and rebuke you.” 18Then the Spirit clothed Amasai, chief of the thirty, and he said,
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-“We are yours, O David,
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-and with you, O son of Jesse!
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-Peace, peace to you,
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-and peace to your helpers!
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-For your God helps you.”
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-Then David received them and made them officers of his troops.
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-19Some of the men of Manasseh deserted to David when he came with the Philistines for the battle against Saul. (Yet he did not help them, for the rulers of the Philistines took counsel and sent him away, saying, “At peril to our heads he will desert to his master Saul.”) 20As he went to Ziklag, these men of Manasseh deserted to him: Adnah, Jozabad, Jediael, Michael, Jozabad, Elihu, and Zillethai, chiefs of thousands in Manasseh. 21They helped David against the band of raiders, for they were all mighty men of valor and were commanders in the army. 22For from day to day men came to David to help him, until there was a great army, like an army of God.
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-23These are the numbers of the divisions of the armed troops who came to David in Hebron to turn the kingdom of Saul over to him, according to the word of the LORD. 24The men of Judah bearing shield and spear were 6,800 armed troops. 25Of the Simeonites, mighty men of valor for war, 7,100. 26Of the Levites 4,600. 27The prince Jehoiada, of the house of Aaron, and with him 3,700. 28Zadok, a young man mighty in valor, and twenty-two commanders from his own fathers' house. 29Of the Benjaminites, the kinsmen of Saul, 3,000, of whom the majority had to that point kept their allegiance to the house of Saul. 30Of the Ephraimites 20,800, mighty men of valor, famous men in their fathers' houses. 31Of the half-tribe of Manasseh 18,000, who were expressly named to come and make David king. 32Of Issachar, men who had understanding of the times, to know what Israel ought to do, 200 chiefs, and all their kinsmen under their command. 33Of Zebulun 50,000 seasoned troops, equipped for battle with all the weapons of war, to help David[61] with singleness of purpose. 34Of Naphtali 1,000 commanders with whom were 37,000 men armed with shield and spear. 35Of the Danites 28,600 men equipped for battle. 36Of Asher 40,000 seasoned troops ready for battle. 37Of the Reubenites and Gadites and the half-tribe of Manasseh from beyond the Jordan, 120,000 men armed with all the weapons of war.
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-38All these, men of war, arrayed in battle order, came to Hebron with full intent to make David king over all Israel. Likewise, all the rest of Israel were of a single mind to make David king. 39And they were there with David for three days, eating and drinking, for their brothers had made preparation for them. 40And also their relatives, from as far as Issachar and Zebulun and Naphtali, came bringing food on donkeys and on camels and on mules and on oxen, abundant provisions of flour, cakes of figs, clusters of raisins, and wine and oil, oxen and sheep, for there was joy in Israel.
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-The Ark Brought from Kiriath-Jearim
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-13:1 David consulted with the commanders of thousands and of hundreds, with every leader. 2And David said to all the assembly of Israel, “If it seems good to you and from the LORD our God, let us send abroad to our brothers who remain in all the lands of Israel, as well as to the priests and Levites in the cities that have pasturelands, that they may be gathered to us. 3Then let us bring again the ark of our God to us, for we did not seek it[62] in the days of Saul.” 4All the assembly agreed to do so, for the thing was right in the eyes of all the people.
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-Uzzah and the Ark
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-5So David assembled all Israel from the Nile[63] of Egypt to Lebo-hamath, to bring the ark of God from Kiriath-jearim. 6And David and all Israel went up to Baalah, that is, to Kiriath-jearim that belongs to Judah, to bring up from there the ark of God, which is called by the name of the LORD who sits enthroned above the cherubim. 7And they carried the ark of God on a new cart, from the house of Abinadab, and Uzzah and Ahio[64] were driving the cart. 8And David and all Israel were rejoicing before God with all their might, with song and lyres and harps and tambourines and cymbals and trumpets.
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-9And when they came to the threshing floor of Chidon, Uzzah put out his hand to take hold of the ark, for the oxen stumbled. 10And the anger of the LORD was kindled against Uzzah, and he struck him down because he put out his hand to the ark, and he died there before God. 11And David was angry because the LORD had broken out against Uzzah. And that place is called Perez-uzza[65] to this day. 12And David was afraid of God that day, and he said, “How can I bring the ark of God home to me?” 13So David did not take the ark home into the city of David, but took it aside to the house of Obed-edom the Gittite. 14And the ark of God remained with the household of Obed-edom in his house three months. And the LORD blessed the household of Obed-edom and all that he had.
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-David's Wives and Children
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-14:1 And Hiram king of Tyre sent messengers to David, and cedar trees, also masons and carpenters to build a house for him. 2And David knew that the LORD had established him as king over Israel, and that his kingdom was highly exalted for the sake of his people Israel.
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-3And David took more wives in Jerusalem, and David fathered more sons and daughters. 4These are the names of the children born to him in Jerusalem: Shammua, Shobab, Nathan, Solomon, 5Ibhar, Elishua, Elpelet, 6Nogah, Nepheg, Japhia, 7Elishama, Beeliada and Eliphelet.
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-Philistines Defeated
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-8When the Philistines heard that David had been anointed king over all Israel, all the Philistines went up to search for David. But David heard of it and went out against them. 9Now the Philistines had come and made a raid in the Valley of Rephaim. 10And David inquired of God, “Shall I go up against the Philistines? Will you give them into my hand?” And the LORD said to him, “Go up, and I will give them into your hand.” 11And he went up to Baal-perazim, and David struck them down there. And David said, “God has broken through[66] my enemies by my hand, like a bursting flood.” Therefore the name of that place is called Baal-perazim. 12And they left their gods there, and David gave command, and they were burned.
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-13And the Philistines yet again made a raid in the valley. 14And when David again inquired of God, God said to him, “You shall not go up after them; go around and come against them opposite the balsam trees. 15And when you hear the sound of marching in the tops of the balsam trees, then go out to battle, for God has gone out before you to strike down the army of the Philistines.” 16And David did as God commanded him, and they struck down the Philistine army from Gibeon to Gezer. 17And the fame of David went out into all lands, and the LORD brought the fear of him upon all nations.
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-The Ark Brought to Jerusalem
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-15:1 David[67] built houses for himself in the city of David. And he prepared a place for the ark of God and pitched a tent for it. 2Then David said that no one but the Levites may carry the ark of God, for the LORD had chosen them to carry the ark of the LORD and to minister to him forever. 3And David assembled all Israel at Jerusalem to bring up the ark of the LORD to its place, which he had prepared for it. 4And David gathered together the sons of Aaron and the Levites: 5of the sons of Kohath, Uriel the chief, with 120 of his brothers; 6of the sons of Merari, Asaiah the chief, with 220 of his brothers; 7of the sons of Gershom, Joel the chief, with 130 of his brothers; 8of the sons of Elizaphan, Shemaiah the chief, with 200 of his brothers; 9of the sons of Hebron, Eliel the chief, with 80 of his brothers; 10of the sons of Uzziel, Amminadab the chief, with 112 of his brothers. 11Then David summoned the priests Zadok and Abiathar, and the Levites Uriel, Asaiah, Joel, Shemaiah, Eliel, and Amminadab, 12and said to them, “You are the heads of the fathers' houses of the Levites. Consecrate yourselves, you and your brothers, so that you may bring up the ark of the LORD, the God of Israel, to the place that I have prepared for it. 13Because you did not carry it the first time, the LORD our God broke out against us, because we did not seek him according to the rule.” 14So the priests and the Levites consecrated themselves to bring up the ark of the LORD, the God of Israel. 15And the Levites carried the ark of God on their shoulders with the poles, as Moses had commanded according to the word of the LORD.
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-16David also commanded the chiefs of the Levites to appoint their brothers as the singers who should play loudly on musical instruments, on harps and lyres and cymbals, to raise sounds of joy. 17So the Levites appointed Heman the son of Joel; and of his brothers Asaph the son of Berechiah; and of the sons of Merari, their brothers, Ethan the son of Kushaiah; 18and with them their brothers of the second order, Zechariah, Jaaziel, Shemiramoth, Jehiel, Unni, Eliab, Benaiah, Maaseiah, Mattithiah, Eliphelehu, and Mikneiah, and the gatekeepers Obed-edom and Jeiel. 19The singers, Heman, Asaph, and Ethan, were to sound bronze cymbals; 20Zechariah, Aziel, Shemiramoth, Jehiel, Unni, Eliab, Maaseiah, and Benaiah were to play harps according to Alamoth; 21but Mattithiah, Eliphelehu, Mikneiah, Obed-edom, Jeiel, and Azaziah were to lead with lyres according to the Sheminith. 22Chenaniah, leader of the Levites in music, should direct the music, for he understood it. 23Berechiah and Elkanah were to be gatekeepers for the ark. 24Shebaniah, Joshaphat, Nethanel, Amasai, Zechariah, Benaiah, and Eliezer, the priests, should blow the trumpets before the ark of God. Obed-edom and Jehiah were to be gatekeepers for the ark.
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-25So David and the elders of Israel and the commanders of thousands went to bring up the ark of the covenant of the LORD from the house of Obed-edom with rejoicing. 26And because God helped the Levites who were carrying the ark of the covenant of the LORD, they sacrificed seven bulls and seven rams. 27David was clothed with a robe of fine linen, as also were all the Levites who were carrying the ark, and the singers and Chenaniah the leader of the music of the singers. And David wore a linen ephod. 28So all Israel brought up the ark of the covenant of the LORD with shouting, to the sound of the horn, trumpets, and cymbals, and made loud music on harps and lyres.
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-29And as the ark of the covenant of the LORD came to the city of David, Michal the daughter of Saul looked out of the window and saw King David dancing and rejoicing, and she despised him in her heart.
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-The Ark Placed in a Tent
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-16:1 And they brought in the ark of God and set it inside the tent that David had pitched for it, and they offered burnt offerings and peace offerings before God. 2And when David had finished offering the burnt offerings and the peace offerings, he blessed the people in the name of the LORD 3and distributed to all Israel, both men and women, to each a loaf of bread, a portion of meat,[68] and a cake of raisins.
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-4Then he appointed some of the Levites as ministers before the ark of the LORD, to invoke, to thank, and to praise the LORD, the God of Israel. 5Asaph was the chief, and second to him were Zechariah, Jeiel, Shemiramoth, Jehiel, Mattithiah, Eliab, Benaiah, Obed-edom, and Jeiel, who were to play harps and lyres; Asaph was to sound the cymbals, 6and Benaiah and Jahaziel the priests were to blow trumpets regularly before the ark of the covenant of God. 7Then on that day David first appointed that thanksgiving be sung to the LORD by Asaph and his brothers.
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-David's Song of Thanks
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-8Oh give thanks to the LORD; call upon his name;
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-make known his deeds among the peoples!
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-9Sing to him; sing praises to him;
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-tell of all his wondrous works!
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-10Glory in his holy name;
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-let the hearts of those who seek the LORD rejoice!
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-11Seek the LORD and his strength;
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-seek his presence continually!
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-12Remember the wondrous works that he has done,
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-his miracles and the judgments he uttered,
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-13O offspring of Israel his servant,
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-sons of Jacob, his chosen ones!
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-14He is the LORD our God;
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-his judgments are in all the earth.
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-15Remember his covenant forever,
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-the word that he commanded, for a thousand generations,
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-16the covenant that he made with Abraham,
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-his sworn promise to Isaac,
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-17which he confirmed as a statute to Jacob,
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-as an everlasting covenant to Israel,
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-18saying, “To you I will give the land of Canaan,
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-as your portion for an inheritance.”
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-19When you were few in number,
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-and of little account, and sojourners in it,
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-20wandering from nation to nation,
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-from one kingdom to another people,
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-21he allowed no one to oppress them;
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-he rebuked kings on their account,
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-22saying, “Touch not my anointed ones,
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-do my prophets no harm!”
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-23Sing to the LORD, all the earth!
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-Tell of his salvation from day to day.
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-24Declare his glory among the nations,
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-his marvelous works among all the peoples!
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-25For great is the LORD, and greatly to be praised,
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-and he is to be held in awe above all gods.
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-26For all the gods of the peoples are idols,
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-but the LORD made the heavens.
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-27Splendor and majesty are before him;
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-strength and joy are in his place.
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-28Ascribe to the LORD, O clans of the peoples,
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-ascribe to the LORD glory and strength!
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-29Ascribe to the LORD the glory due his name;
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-bring an offering and come before him!
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-Worship the LORD in the splendor of holiness;[69]
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-30tremble before him, all the earth;
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-yes, the world is established; it shall never be moved.
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-31Let the heavens be glad, and let the earth rejoice,
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-and let them say among the nations, “The LORD reigns!”
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-32Let the sea roar, and all that fills it;
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-let the field exult, and everything in it!
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-33Then shall the trees of the forest sing for joy
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-before the LORD, for he comes to judge the earth.
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-34Oh give thanks to the LORD, for he is good;
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-for his steadfast love endures forever!
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-35Say also:
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-“Save us, O God of our salvation,
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-and gather and deliver us from among the nations,
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-that we may give thanks to your holy name,
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-and glory in your praise.
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-36Blessed be the LORD, the God of Israel,
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-from everlasting to everlasting!”
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-Then all the people said, “Amen!” and praised the LORD.
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-Worship Before the Ark
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-37So David left Asaph and his brothers there before the ark of the covenant of the LORD to minister regularly before the ark as each day required, 38and also Obed-edom and his[70] sixty-eight brothers, while Obed-edom, the son of Jeduthun, and Hosah were to be gatekeepers. 39And he left Zadok the priest and his brothers the priests before the tabernacle of the LORD in the high place that was at Gibeon 40to offer burnt offerings to the LORD on the altar of burnt offering regularly morning and evening, to do all that is written in the Law of the LORD that he commanded Israel. 41With them were Heman and Jeduthun and the rest of those chosen and expressly named to give thanks to the LORD, for his steadfast love endures forever. 42Heman and Jeduthun had trumpets and cymbals for the music and instruments for sacred song. The sons of Jeduthun were appointed to the gate.
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-43Then all the people departed each to his house, and David went home to bless his household.
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-The LORD's Covenant with David
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-17:1 Now when David lived in his house, David said to Nathan the prophet, “Behold, I dwell in a house of cedar, but the ark of the covenant of the LORD is under a tent.” 2And Nathan said to David, “Do all that is in your heart, for God is with you.”
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-3But that same night the word of the LORD came to Nathan, 4“Go and tell my servant David, ‘Thus says the LORD: It is not you who will build me a house to dwell in. 5For I have not lived in a house since the day I brought up Israel to this day, but I have gone from tent to tent and from dwelling to dwelling. 6In all places where I have moved with all Israel, did I speak a word with any of the judges of Israel, whom I commanded to shepherd my people, saying, “Why have you not built me a house of cedar?”’ 7Now, therefore, thus shall you say to my servant David, ‘Thus says the LORD of hosts, I took you from the pasture, from following the sheep, to be prince over my people Israel, 8and I have been with you wherever you have gone and have cut off all your enemies from before you. And I will make for you a name, like the name of the great ones of the earth. 9And I will appoint a place for my people Israel and will plant them, that they may dwell in their own place and be disturbed no more. And violent men shall waste them no more, as formerly, 10from the time that I appointed judges over my people Israel. And I will subdue all your enemies. Moreover, I declare to you that the LORD will build you a house. 11When your days are fulfilled to walk with your fathers, I will raise up your offspring after you, one of your own sons, and I will establish his kingdom. 12He shall build a house for me, and I will establish his throne forever. 13I will be to him a father, and he shall be to me a son. I will not take my steadfast love from him, as I took it from him who was before you, 14but I will confirm him in my house and in my kingdom forever, and his throne shall be established forever.’” 15In accordance with all these words, and in accordance with all this vision, Nathan spoke to David.
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-David's Prayer
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-16Then King David went in and sat before the LORD and said, “Who am I, O LORD God, and what is my house, that you have brought me thus far? 17And this was a small thing in your eyes, O God. You have also spoken of your servant's house for a great while to come, and have shown me future generations,[71] O LORD God! 18And what more can David say to you for honoring your servant? For you know your servant. 19For your servant's sake, O LORD, and according to your own heart, you have done all this greatness, in making known all these great things. 20There is none like you, O LORD, and there is no God besides you, according to all that we have heard with our ears. 21And who is like your people Israel, the one[72] nation on earth whom God went to redeem to be his people, making for yourself a name for great and awesome things, in driving out nations before your people whom you redeemed from Egypt? 22And you made your people Israel to be your people forever, and you, O LORD, became their God. 23And now, O LORD, let the word that you have spoken concerning your servant and concerning his house be established forever, and do as you have spoken, 24and your name will be established and magnified forever, saying, ‘The LORD of hosts, the God of Israel, is Israel's God,’ and the house of your servant David will be established before you. 25For you, my God, have revealed to your servant that you will build a house for him. Therefore your servant has found courage to pray before you. 26And now, O LORD, you are God, and you have promised this good thing to your servant. 27Now you have been pleased to bless the house of your servant, that it may continue forever before you, for it is you, O LORD, who have blessed, and it is blessed forever.”
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-David Defeats His Enemies
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-18:1 After this David defeated the Philistines and subdued them, and he took Gath and its villages out of the hand of the Philistines.
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-2And he defeated Moab, and the Moabites became servants to David and brought tribute.
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-3David also defeated Hadadezer king of Zobah-Hamath, as he went to set up his monument[73] at the river Euphrates. 4And David took from him 1,000 chariots, 7,000 horsemen, and 20,000 foot soldiers. And David hamstrung all the chariot horses, but left enough for 100 chariots. 5And when the Syrians of Damascus came to help Hadadezer king of Zobah, David struck down 22,000 men of the Syrians. 6Then David put garrisons[74] in Syria of Damascus, and the Syrians became servants to David and brought tribute. And the LORD gave victory to David[75] wherever he went. 7And David took the shields of gold that were carried by the servants of Hadadezer and brought them to Jerusalem. 8And from Tibhath and from Cun, cities of Hadadezer, David took a large amount of bronze. With it Solomon made the bronze sea and the pillars and the vessels of bronze.
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-9When Tou king of Hamath heard that David had defeated the whole army of Hadadezer, king of Zobah, 10he sent his son Hadoram to King David, to ask about his health and to bless him because he had fought against Hadadezer and defeated him; for Hadadezer had often been at war with Tou. And he sent all sorts of articles of gold, of silver, and of bronze. 11These also King David dedicated to the LORD, together with the silver and gold that he had carried off from all the nations, from Edom, Moab, the Ammonites, the Philistines, and Amalek.
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-12And Abishai, the son of Zeruiah, killed 18,000 Edomites in the Valley of Salt. 13Then he put garrisons in Edom, and all the Edomites became David's servants. And the LORD gave victory to David wherever he went.
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-David's Administration
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-14So David reigned over all Israel, and he administered justice and equity to all his people. 15And Joab the son of Zeruiah was over the army; and Jehoshaphat the son of Ahilud was recorder; 16and Zadok the son of Ahitub and Ahimelech the son of Abiathar were priests; and Shavsha was secretary; 17and Benaiah the son of Jehoiada was over the Cherethites and the Pelethites; and David's sons were the chief officials in the service of the king.
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-The Ammonites Disgrace David's Men
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-19:1 Now after this Nahash the king of the Ammonites died, and his son reigned in his place. 2And David said, “I will deal kindly with Hanun the son of Nahash, for his father dealt kindly with me.” So David sent messengers to console him concerning his father. And David's servants came to the land of the Ammonites to Hanun to console him. 3But the princes of the Ammonites said to Hanun, “Do you think, because David has sent comforters to you, that he is honoring your father? Have not his servants come to you to search and to overthrow and to spy out the land?” 4So Hanun took David's servants and shaved them and cut off their garments in the middle, at their hips, and sent them away; 5and they departed. When David was told concerning the men, he sent messengers to meet them, for the men were greatly ashamed. And the king said, “Remain at Jericho until your beards have grown and then return.”
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-6When the Ammonites saw that they had become a stench to David, Hanun and the Ammonites sent 1,000 talents[76] of silver to hire chariots and horsemen from Mesopotamia, from Aram-maacah, and from Zobah. 7They hired 32,000 chariots and the king of Maacah with his army, who came and encamped before Medeba. And the Ammonites were mustered from their cities and came to battle. 8When David heard of it, he sent Joab and all the army of the mighty men. 9And the Ammonites came out and drew up in battle array at the entrance of the city, and the kings who had come were by themselves in the open country.
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-Ammonites and Syrians Defeated
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-10When Joab saw that the battle was set against him both in front and in the rear, he chose some of the best men of Israel and arrayed them against the Syrians. 11The rest of his men he put in the charge of Abishai his brother, and they were arrayed against the Ammonites. 12And he said, “If the Syrians are too strong for me, then you shall help me, but if the Ammonites are too strong for you, then I will help you. 13Be strong, and let us use our strength for our people and for the cities of our God, and may the LORD do what seems good to him.” 14So Joab and the people who were with him drew near before the Syrians for battle, and they fled before him. 15And when the Ammonites saw that the Syrians fled, they likewise fled before Abishai, Joab's brother, and entered the city. Then Joab came to Jerusalem.
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-16But when the Syrians saw that they had been defeated by Israel, they sent messengers and brought out the Syrians who were beyond the Euphrates, with Shophach the commander of the army of Hadadezer at their head. 17And when it was told to David, he gathered all Israel together and crossed the Jordan and came to them and drew up his forces against them. And when David set the battle in array against the Syrians, they fought with him. 18And the Syrians fled before Israel, and David killed of the Syrians the men of 7,000 chariots and 40,000 foot soldiers, and put to death also Shophach the commander of their army. 19And when the servants of Hadadezer saw that they had been defeated by Israel, they made peace with David and became subject to him. So the Syrians were not willing to save the Ammonites anymore.
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-The Capture of Rabbah
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-20:1 In the spring of the year, the time when kings go out to battle, Joab led out the army and ravaged the country of the Ammonites and came and besieged Rabbah. But David remained at Jerusalem. And Joab struck down Rabbah and overthrew it. 2And David took the crown of their king from his head. He found that it weighed a talent[77] of gold, and in it was a precious stone. And it was placed on David's head. And he brought out the spoil of the city, a very great amount. 3And he brought out the people who were in it and set them to labor[78] with saws and iron picks and axes.[79] And thus David did to all the cities of the Ammonites. Then David and all the people returned to Jerusalem.
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-Philistine Giants Killed
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-4And after this there arose war with the Philistines at Gezer. Then Sibbecai the Hushathite struck down Sippai, who was one of the descendants of the giants, and the Philistines were subdued. 5And there was again war with the Philistines, and Elhanan the son of Jair struck down Lahmi the brother of Goliath the Gittite, the shaft of whose spear was like a weaver's beam. 6And there was again war at Gath, where there was a man of great stature, who had six fingers on each hand and six toes on each foot, twenty-four in number, and he also was descended from the giants. 7And when he taunted Israel, Jonathan the son of Shimea, David's brother, struck him down. 8These were descended from the giants in Gath, and they fell by the hand of David and by the hand of his servants.
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-David's Census Brings Pestilence
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-21:1 Then Satan stood against Israel and incited David to number Israel. 2So David said to Joab and the commanders of the army, “Go, number Israel, from Beersheba to Dan, and bring me a report, that I may know their number.” 3But Joab said, “May the LORD add to his people a hundred times as many as they are! Are they not, my lord the king, all of them my lord's servants? Why then should my lord require this? Why should it be a cause of guilt for Israel?” 4But the king's word prevailed against Joab. So Joab departed and went throughout all Israel and came back to Jerusalem. 5And Joab gave the sum of the numbering of the people to David. In all Israel there were 1,100,000 men who drew the sword, and in Judah 470,000 who drew the sword. 6But he did not include Levi and Benjamin in the numbering, for the king's command was abhorrent to Joab.
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-7But God was displeased with this thing, and he struck Israel. 8And David said to God, “I have sinned greatly in that I have done this thing. But now, please take away the iniquity of your servant, for I have acted very foolishly.” 9And the LORD spoke to Gad, David's seer, saying, 10“Go and say to David, ‘Thus says the LORD, Three things I offer you; choose one of them, that I may do it to you.’” 11So Gad came to David and said to him, “Thus says the LORD, ‘Choose what you will: 12either three years of famine, or three months of devastation by your foes while the sword of your enemies overtakes you, or else three days of the sword of the LORD, pestilence on the land, with the angel of the LORD destroying throughout all the territory of Israel.’ Now decide what answer I shall return to him who sent me.” 13Then David said to Gad, “I am in great distress. Let me fall into the hand of the LORD, for his mercy is very great, but do not let me fall into the hand of man.”
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-14So the LORD sent a pestilence on Israel, and 70,000 men of Israel fell. 15And God sent the angel to Jerusalem to destroy it, but as he was about to destroy it, the LORD saw, and he relented from the calamity. And he said to the angel who was working destruction, “It is enough; now stay your hand.” And the angel of the LORD was standing by the threshing floor of Ornan the Jebusite. 16And David lifted his eyes and saw the angel of the LORD standing between earth and heaven, and in his hand a drawn sword stretched out over Jerusalem. Then David and the elders, clothed in sackcloth, fell upon their faces. 17And David said to God, “Was it not I who gave command to number the people? It is I who have sinned and done great evil. But these sheep, what have they done? Please let your hand, O LORD my God, be against me and against my father's house. But do not let the plague be on your people.”
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-David Builds an Altar
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-18Now the angel of the LORD had commanded Gad to say to David that David should go up and raise an altar to the LORD on the threshing floor of Ornan the Jebusite. 19So David went up at Gad's word, which he had spoken in the name of the LORD. 20Now Ornan was threshing wheat. He turned and saw the angel, and his four sons who were with him hid themselves. 21As David came to Ornan, Ornan looked and saw David and went out from the threshing floor and paid homage to David with his face to the ground. 22And David said to Ornan, “Give me the site of the threshing floor that I may build on it an altar to the LORD—give it to me at its full price—that the plague may be averted from the people.” 23Then Ornan said to David, “Take it, and let my lord the king do what seems good to him. See, I give the oxen for burnt offerings and the threshing sledges for the wood and the wheat for a grain offering; I give it all.” 24But King David said to Ornan, “No, but I will buy them for the full price. I will not take for the LORD what is yours, nor offer burnt offerings that cost me nothing.” 25So David paid Ornan 600 shekels[80] of gold by weight for the site. 26And David built there an altar to the LORD and presented burnt offerings and peace offerings and called on the LORD, and the LORD[81] answered him with fire from heaven upon the altar of burnt offering. 27Then the LORD commanded the angel, and he put his sword back into its sheath.
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-28At that time, when David saw that the LORD had answered him at the threshing floor of Ornan the Jebusite, he sacrificed there. 29For the tabernacle of the LORD, which Moses had made in the wilderness, and the altar of burnt offering were at that time in the high place at Gibeon, 30but David could not go before it to inquire of God, for he was afraid of the sword of the angel of the LORD.
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-22:1 Then David said, “Here shall be the house of the LORD God and here the altar of burnt offering for Israel.”
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-David Prepares for Temple Building
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-2David commanded to gather together the resident aliens who were in the land of Israel, and he set stonecutters to prepare dressed stones for building the house of God. 3David also provided great quantities of iron for nails for the doors of the gates and for clamps, as well as bronze in quantities beyond weighing, 4and cedar timbers without number, for the Sidonians and Tyrians brought great quantities of cedar to David. 5For David said, “Solomon my son is young and inexperienced, and the house that is to be built for the LORD must be exceedingly magnificent, of fame and glory throughout all lands. I will therefore make preparation for it.” So David provided materials in great quantity before his death.
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-Solomon Charged to Build the Temple
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-6Then he called for Solomon his son and charged him to build a house for the LORD, the God of Israel. 7David said to Solomon, “My son, I had it in my heart to build a house to the name of the LORD my God. 8But the word of the LORD came to me, saying, ‘You have shed much blood and have waged great wars. You shall not build a house to my name, because you have shed so much blood before me on the earth. 9Behold, a son shall be born to you who shall be a man of rest. I will give him rest from all his surrounding enemies. For his name shall be Solomon, and I will give peace and quiet to Israel in his days. 10He shall build a house for my name. He shall be my son, and I will be his father, and I will establish his royal throne in Israel forever.’
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-11“Now, my son, the LORD be with you, so that you may succeed in building the house of the LORD your God, as he has spoken concerning you. 12Only, may the LORD grant you discretion and understanding, that when he gives you charge over Israel you may keep the law of the LORD your God. 13Then you will prosper if you are careful to observe the statutes and the rules that the LORD commanded Moses for Israel. Be strong and courageous. Fear not; do not be dismayed. 14With great pains I have provided for the house of the LORD 100,000 talents[82] of gold, a million talents of silver, and bronze and iron beyond weighing, for there is so much of it; timber and stone, too, I have provided. To these you must add. 15You have an abundance of workmen: stonecutters, masons, carpenters, and all kinds of craftsmen without number, skilled in working 16gold, silver, bronze, and iron. Arise and work! The LORD be with you!”
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-17David also commanded all the leaders of Israel to help Solomon his son, saying, 18“Is not the LORD your God with you? And has he not given you peace on every side? For he has delivered the inhabitants of the land into my hand, and the land is subdued before the LORD and his people. 19Now set your mind and heart to seek the LORD your God. Arise and build the sanctuary of the LORD God, so that the ark of the covenant of the LORD and the holy vessels of God may be brought into a house built for the name of the LORD.”
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-David Organizes the Levites
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-23:1 When David was old and full of days, he made Solomon his son king over Israel.
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-2David[83] assembled all the leaders of Israel and the priests and the Levites. 3The Levites, thirty years old and upward, were numbered, and the total was 38,000 men. 4“Twenty-four thousand of these,” David said,[84] “shall have charge of the work in the house of the LORD, 6,000 shall be officers and judges, 54,000 gatekeepers, and 4,000 shall offer praises to the LORD with the instruments that I have made for praise.” 6And David organized them in divisions corresponding to the sons of Levi: Gershon, Kohath, and Merari.
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-7The sons of Gershon[85] were Ladan and Shimei. 8The sons of Ladan: Jehiel the chief, and Zetham, and Joel, three. 9The sons of Shimei: Shelomoth, Haziel, and Haran, three. These were the heads of the fathers' houses of Ladan. 10And the sons of Shimei: Jahath, Zina, and Jeush and Beriah. These four were the sons of Shimei. 11Jahath was the chief, and Zizah the second; but Jeush and Beriah did not have many sons, therefore they became counted as a single father's house.
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-12The sons of Kohath: Amram, Izhar, Hebron, and Uzziel, four. 13The sons of Amram: Aaron and Moses. Aaron was set apart to dedicate the most holy things, that he and his sons forever should make offerings before the LORD and minister to him and pronounce blessings in his name forever. 14But the sons of Moses the man of God were named among the tribe of Levi. 15The sons of Moses: Gershom and Eliezer. 16The sons of Gershom: Shebuel the chief. 17The sons of Eliezer: Rehabiah the chief. Eliezer had no other sons, but the sons of Rehabiah were very many. 18The sons of Izhar: Shelomith the chief. 19The sons of Hebron: Jeriah the chief, Amariah the second, Jahaziel the third, and Jekameam the fourth. 20The sons of Uzziel: Micah the chief and Isshiah the second.
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-21The sons of Merari: Mahli and Mushi. The sons of Mahli: Eleazar and Kish. 22Eleazar died having no sons, but only daughters; their kinsmen, the sons of Kish, married them. 23The sons of Mushi: Mahli, Eder, and Jeremoth, three.
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-24These were the sons of Levi by their fathers' houses, the heads of fathers' houses as they were listed according to the number of the names of the individuals from twenty years old and upward who were to do the work for the service of the house of the LORD. 25For David said, “The LORD, the God of Israel, has given rest to his people, and he dwells in Jerusalem forever. 26And so the Levites no longer need to carry the tabernacle or any of the things for its service.” 27For by the last words of David the sons of Levi were numbered from twenty years old and upward. 28For their duty was to assist the sons of Aaron for the service of the house of the LORD, having the care of the courts and the chambers, the cleansing of all that is holy, and any work for the service of the house of God. 29Their duty was also to assist with the showbread, the flour for the grain offering, the wafers of unleavened bread, the baked offering, the offering mixed with oil, and all measures of quantity or size. 30And they were to stand every morning, thanking and praising the LORD, and likewise at evening, 31and whenever burnt offerings were offered to the LORD on Sabbaths, new moons, and feast days, according to the number required of them, regularly before the LORD. 32Thus they were to keep charge of the tent of meeting and the sanctuary, and to attend the sons of Aaron, their brothers, for the service of the house of the LORD.
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-David Organizes the Priests
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-24:1 The divisions of the sons of Aaron were these. The sons of Aaron: Nadab, Abihu, Eleazar, and Ithamar. 2But Nadab and Abihu died before their father and had no children, so Eleazar and Ithamar became the priests. 3With the help of Zadok of the sons of Eleazar, and Ahimelech of the sons of Ithamar, David organized them according to the appointed duties in their service. 4Since more chief men were found among the sons of Eleazar than among the sons of Ithamar, they organized them under sixteen heads of fathers' houses of the sons of Eleazar, and eight of the sons of Ithamar. 5They divided them by lot, all alike, for there were sacred officers and officers of God among both the sons of Eleazar and the sons of Ithamar. 6And the scribe Shemaiah, the son of Nethanel, a Levite, recorded them in the presence of the king and the princes and Zadok the priest and Ahimelech the son of Abiathar and the heads of the fathers' houses of the priests and of the Levites, one father's house being chosen for Eleazar and one chosen for Ithamar.
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-7The first lot fell to Jehoiarib, the second to Jedaiah, 8the third to Harim, the fourth to Seorim, 9the fifth to Malchijah, the sixth to Mijamin, 10the seventh to Hakkoz, the eighth to Abijah, 11the ninth to Jeshua, the tenth to Shecaniah, 12the eleventh to Eliashib, the twelfth to Jakim, 13the thirteenth to Huppah, the fourteenth to Jeshebeab, 14the fifteenth to Bilgah, the sixteenth to Immer, 15the seventeenth to Hezir, the eighteenth to Happizzez, 16the nineteenth to Pethahiah, the twentieth to Jehezkel, 17the twenty-first to Jachin, the twenty-second to Gamul, 18the twenty-third to Delaiah, the twenty-fourth to Maaziah. 19These had as their appointed duty in their service to come into the house of the LORD according to the procedure established for them by Aaron their father, as the LORD God of Israel had commanded him.
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-20And of the rest of the sons of Levi: of the sons of Amram, Shubael; of the sons of Shubael, Jehdeiah. 21Of Rehabiah: of the sons of Rehabiah, Isshiah the chief. 22Of the Izharites, Shelomoth; of the sons of Shelomoth, Jahath. 23The sons of Hebron:[86] Jeriah the chief,[87] Amariah the second, Jahaziel the third, Jekameam the fourth. 24The sons of Uzziel, Micah; of the sons of Micah, Shamir. 25The brother of Micah, Isshiah; of the sons of Isshiah, Zechariah. 26The sons of Merari: Mahli and Mushi. The sons of Jaaziah: Beno.[88] 27The sons of Merari: of Jaaziah, Beno, Shoham, Zaccur, and Ibri. 28Of Mahli: Eleazar, who had no sons. 29Of Kish, the sons of Kish: Jerahmeel. 30The sons of Mushi: Mahli, Eder, and Jerimoth. These were the sons of the Levites according to their fathers' houses. 31These also, the head of each father's house and his younger brother alike, cast lots, just as their brothers the sons of Aaron, in the presence of King David, Zadok, Ahimelech, and the heads of fathers' houses of the priests and of the Levites.
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-David Organizes the Musicians
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-25:1 David and the chiefs of the service also set apart for the service the sons of Asaph, and of Heman, and of Jeduthun, who prophesied with lyres, with harps, and with cymbals. The list of those who did the work and of their duties was: 2Of the sons of Asaph: Zaccur, Joseph, Nethaniah, and Asharelah, sons of Asaph, under the direction of Asaph, who prophesied under the direction of the king. 3Of Jeduthun, the sons of Jeduthun: Gedaliah, Zeri, Jeshaiah, Shimei,[89] Hashabiah, and Mattithiah, six, under the direction of their father Jeduthun, who prophesied with the lyre in thanksgiving and praise to the LORD. 4Of Heman, the sons of Heman: Bukkiah, Mattaniah, Uzziel, Shebuel and Jerimoth, Hananiah, Hanani, Eliathah, Giddalti, and Romamti-ezer, Joshbekashah, Mallothi, Hothir, Mahazioth. 5All these were the sons of Heman the king's seer, according to the promise of God to exalt him, for God had given Heman fourteen sons and three daughters. 6They were all under the direction of their father in the music in the house of the LORD with cymbals, harps, and lyres for the service of the house of God. Asaph, Jeduthun, and Heman were under the order of the king. 7The number of them along with their brothers, who were trained in singing to the LORD, all who were skillful, was 288. 8And they cast lots for their duties, small and great, teacher and pupil alike.
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-9The first lot fell for Asaph to Joseph; the second to Gedaliah, to him and his brothers and his sons, twelve; 10the third to Zaccur, his sons and his brothers, twelve; 11the fourth to Izri, his sons and his brothers, twelve; 12the fifth to Nethaniah, his sons and his brothers, twelve; 13the sixth to Bukkiah, his sons and his brothers, twelve; 14the seventh to Jesharelah, his sons and his brothers, twelve; 15the eighth to Jeshaiah, his sons and his brothers, twelve; 16the ninth to Mattaniah, his sons and his brothers, twelve; 17the tenth to Shimei, his sons and his brothers, twelve; 18the eleventh to Azarel, his sons and his brothers, twelve; 19the twelfth to Hashabiah, his sons and his brothers, twelve; 20to the thirteenth, Shubael, his sons and his brothers, twelve; 21to the fourteenth, Mattithiah, his sons and his brothers, twelve; 22to the fifteenth, to Jeremoth, his sons and his brothers, twelve; 23to the sixteenth, to Hananiah, his sons and his brothers, twelve; 24to the seventeenth, to Joshbekashah, his sons and his brothers, twelve; 25to the eighteenth, to Hanani, his sons and his brothers, twelve; 26to the nineteenth, to Mallothi, his sons and his brothers, twelve; 27to the twentieth, to Eliathah, his sons and his brothers, twelve; 28to the twenty-first, to Hothir, his sons and his brothers, twelve; 29to the twenty-second, to Giddalti, his sons and his brothers, twelve; 30to the twenty-third, to Mahazioth, his sons and his brothers, twelve; 31to the twenty-fourth, to Romamti-ezer, his sons and his brothers, twelve.
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-Divisions of the Gatekeepers
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-26:1 As for the divisions of the gatekeepers: of the Korahites, Meshelemiah the son of Kore, of the sons of Asaph. 2And Meshelemiah had sons: Zechariah the firstborn, Jediael the second, Zebadiah the third, Jathniel the fourth, 3Elam the fifth, Jehohanan the sixth, Eliehoenai the seventh. 4And Obed-edom had sons: Shemaiah the firstborn, Jehozabad the second, Joah the third, Sachar the fourth, Nethanel the fifth, 5Ammiel the sixth, Issachar the seventh, Peullethai the eighth, for God blessed him. 6Also to his son Shemaiah were sons born who were rulers in their fathers' houses, for they were men of great ability. 7The sons of Shemaiah: Othni, Rephael, Obed and Elzabad, whose brothers were able men, Elihu and Semachiah. 8All these were of the sons of Obed-edom with their sons and brothers, able men qualified for the service; sixty-two of Obed-edom. 9And Meshelemiah had sons and brothers, able men, eighteen. 10And Hosah, of the sons of Merari, had sons: Shimri the chief (for though he was not the firstborn, his father made him chief), 11Hilkiah the second, Tebaliah the third, Zechariah the fourth: all the sons and brothers of Hosah were thirteen.
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-12These divisions of the gatekeepers, corresponding to their chief men, had duties, just as their brothers did, ministering in the house of the LORD. 13And they cast lots by fathers' houses, small and great alike, for their gates. 14The lot for the east fell to Shelemiah. They cast lots also for his son Zechariah, a shrewd counselor, and his lot came out for the north. 15Obed-edom's came out for the south, and to his sons was allotted the gatehouse. 16For Shuppim and Hosah it came out for the west, at the gate of Shallecheth on the road that goes up. Watch corresponded to watch. 17On the east there were six each day,[90] on the north four each day, on the south four each day, as well as two and two at the gatehouse. 18And for the colonnade[91] on the west there were four at the road and two at the colonnade. 19These were the divisions of the gatekeepers among the Korahites and the sons of Merari.
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-Treasurers and Other Officials
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-20And of the Levites, Ahijah had charge of the treasuries of the house of God and the treasuries of the dedicated gifts. 21The sons of Ladan, the sons of the Gershonites belonging to Ladan, the heads of the fathers' houses belonging to Ladan the Gershonite: Jehieli.[92]
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-22The sons of Jehieli, Zetham, and Joel his brother, were in charge of the treasuries of the house of the LORD. 23Of the Amramites, the Izharites, the Hebronites, and the Uzzielites— 24and Shebuel the son of Gershom, son of Moses, was chief officer in charge of the treasuries. 25His brothers: from Eliezer were his son Rehabiah, and his son Jeshaiah, and his son Joram, and his son Zichri, and his son Shelomoth. 26This Shelomoth and his brothers were in charge of all the treasuries of the dedicated gifts that David the king and the heads of the fathers' houses and the officers of the thousands and the hundreds and the commanders of the army had dedicated. 27From spoil won in battles they dedicated gifts for the maintenance of the house of the LORD. 28Also all that Samuel the seer and Saul the son of Kish and Abner the son of Ner and Joab the son of Zeruiah had dedicated—all dedicated gifts were in the care of Shelomoth[93] and his brothers.
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-29Of the Izharites, Chenaniah and his sons were appointed to external duties for Israel, as officers and judges. 30Of the Hebronites, Hashabiah and his brothers, 1,700 men of ability, had the oversight of Israel westward of the Jordan for all the work of the LORD and for the service of the king. 31Of the Hebronites, Jerijah was chief of the Hebronites of whatever genealogy or fathers' houses. (In the fortieth year of David's reign search was made and men of great ability among them were found at Jazer in Gilead.) 32King David appointed him and his brothers, 2,700 men of ability, heads of fathers' houses, to have the oversight of the Reubenites, the Gadites and the half-tribe of the Manassites for everything pertaining to God and for the affairs of the king.
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-Military Divisions
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-27:1 This is the number of the people of Israel, the heads of fathers' houses, the commanders of thousands and hundreds, and their officers who served the king in all matters concerning the divisions that came and went, month after month throughout the year, each division numbering 24,000:
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-2Jashobeam the son of Zabdiel was in charge of the first division in the first month; in his division were 24,000. 3He was a descendant of Perez and was chief of all the commanders. He served for the first month. 4Dodai the Ahohite[94] was in charge of the division of the second month; in his division were 24,000. 5The third commander, for the third month, was Benaiah, the son of Jehoiada the chief priest; in his division were 24,000. 6This is the Benaiah who was a mighty man of the thirty and in command of the thirty; Ammizabad his son was in charge of his division.[95] 7Asahel the brother of Joab was fourth, for the fourth month, and his son Zebadiah after him; in his division were 24,000. 8The fifth commander, for the fifth month, was Shamhuth the Izrahite; in his division were 24,000. 9Sixth, for the sixth month, was Ira, the son of Ikkesh the Tekoite; in his division were 24,000. 10Seventh, for the seventh month, was Helez the Pelonite, of the sons of Ephraim; in his division were 24,000. 11Eighth, for the eighth month, was Sibbecai the Hushathite, of the Zerahites; in his division were 24,000. 12Ninth, for the ninth month, was Abiezer of Anathoth, a Benjaminite; in his division were 24,000. 13Tenth, for the tenth month, was Maharai of Netophah, of the Zerahites; in his division were 24,000. 14Eleventh, for the eleventh month, was Benaiah of Pirathon, of the sons of Ephraim; in his division were 24,000. 15Twelfth, for the twelfth month, was Heldai the Netophathite, of Othniel; in his division were 24,000.
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-Leaders of Tribes
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-16Over the tribes of Israel, for the Reubenites, Eliezer the son of Zichri was chief officer; for the Simeonites, Shephatiah the son of Maacah; 17for Levi, Hashabiah the son of Kemuel; for Aaron, Zadok; 18for Judah, Elihu, one of David's brothers; for Issachar, Omri the son of Michael; 19for Zebulun, Ishmaiah the son of Obadiah; for Naphtali, Jeremoth the son of Azriel; 20for the Ephraimites, Hoshea the son of Azaziah; for the half-tribe of Manasseh, Joel the son of Pedaiah; 21for the half-tribe of Manasseh in Gilead, Iddo the son of Zechariah; for Benjamin, Jaasiel the son of Abner; 22for Dan, Azarel the son of Jeroham. These were the leaders of the tribes of Israel. 23David did not count those below twenty years of age, for the LORD had promised to make Israel as many as the stars of heaven. 24Joab the son of Zeruiah began to count, but did not finish. Yet wrath came upon Israel for this, and the number was not entered in the chronicles of King David.
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-25Over the king's treasuries was Azmaveth the son of Adiel; and over the treasuries in the country, in the cities, in the villages, and in the towers, was Jonathan the son of Uzziah; 26and over those who did the work of the field for tilling the soil was Ezri the son of Chelub; 27and over the vineyards was Shimei the Ramathite; and over the produce of the vineyards for the wine cellars was Zabdi the Shiphmite. 28Over the olive and sycamore trees in the Shephelah was Baal-hanan the Gederite; and over the stores of oil was Joash. 29Over the herds that pastured in Sharon was Shitrai the Sharonite; over the herds in the valleys was Shaphat the son of Adlai. 30Over the camels was Obil the Ishmaelite; and over the donkeys was Jehdeiah the Meronothite. Over the flocks was Jaziz the Hagrite. 31All these were stewards of King David's property.
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-32Jonathan, David's uncle, was a counselor, being a man of understanding and a scribe. He and Jehiel the son of Hachmoni attended the king's sons. 33Ahithophel was the king's counselor, and Hushai the Archite was the king's friend. 34Ahithophel was succeeded by Jehoiada the son of Benaiah, and Abiathar. Joab was commander of the king's army.
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-David's Charge to Israel
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-28:1 David assembled at Jerusalem all the officials of Israel, the officials of the tribes, the officers of the divisions that served the king, the commanders of thousands, the commanders of hundreds, the stewards of all the property and livestock of the king and his sons, together with the palace officials, the mighty men and all the seasoned warriors. 2Then King David rose to his feet and said: “Hear me, my brothers and my people. I had it in my heart to build a house of rest for the ark of the covenant of the LORD and for the footstool of our God, and I made preparations for building. 3But God said to me, ‘You may not build a house for my name, for you are a man of war and have shed blood.’ 4Yet the LORD God of Israel chose me from all my father's house to be king over Israel forever. For he chose Judah as leader, and in the house of Judah my father's house, and among my father's sons he took pleasure in me to make me king over all Israel. 5And of all my sons (for the LORD has given me many sons) he has chosen Solomon my son to sit on the throne of the kingdom of the LORD over Israel. 6He said to me, ‘It is Solomon your son who shall build my house and my courts, for I have chosen him to be my son, and I will be his father. 7I will establish his kingdom forever if he continues strong in keeping my commandments and my rules, as he is today.’ 8Now therefore in the sight of all Israel, the assembly of the LORD, and in the hearing of our God, observe and seek out all the commandments of the LORD your God, that you may possess this good land and leave it for an inheritance to your children after you forever.
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-David's Charge to Solomon
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-9“And you, Solomon my son, know the God of your father and serve him with a whole heart and with a willing mind, for the LORD searches all hearts and understands every plan and thought. If you seek him, he will be found by you, but if you forsake him, he will cast you off forever. 10Be careful now, for the LORD has chosen you to build a house for the sanctuary; be strong and do it.”
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-11Then David gave Solomon his son the plan of the vestibule of the temple,[96] and of its houses, its treasuries, its upper rooms, and its inner chambers, and of the room for the mercy seat; 12and the plan of all that he had in mind for the courts of the house of the LORD, all the surrounding chambers, the treasuries of the house of God, and the treasuries for dedicated gifts; 13for the divisions of the priests and of the Levites, and all the work of the service in the house of the LORD; for all the vessels for the service in the house of the LORD, 14the weight of gold for all golden vessels for each service, the weight of silver vessels for each service, 15the weight of the golden lampstands and their lamps, the weight of gold for each lampstand and its lamps, the weight of silver for a lampstand and its lamps, according to the use of each lampstand in the service, 16the weight of gold for each table for the showbread, the silver for the silver tables, 17and pure gold for the forks, the basins and the cups; for the golden bowls and the weight of each; for the silver bowls and the weight of each; 18for the altar of incense made of refined gold, and its weight; also his plan for the golden chariot of the cherubim that spread their wings and covered the ark of the covenant of the LORD. 19“All this he made clear to me in writing from the hand of the LORD, all the work to be done according to the plan.”
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-20Then David said to Solomon his son, “Be strong and courageous and do it. Do not be afraid and do not be dismayed, for the LORD God, even my God, is with you. He will not leave you or forsake you, until all the work for the service of the house of the LORD is finished. 21And behold the divisions of the priests and the Levites for all the service of the house of God; and with you in all the work will be every willing man who has skill for any kind of service; also the officers and all the people will be wholly at your command.”
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-Offerings for the Temple
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-29:1 And David the king said to all the assembly, “Solomon my son, whom alone God has chosen, is young and inexperienced, and the work is great, for the palace will not be for man but for the LORD God. 2So I have provided for the house of my God, so far as I was able, the gold for the things of gold, the silver for the things of silver, and the bronze for the things of bronze, the iron for the things of iron, and wood for the things of wood, besides great quantities of onyx and stones for setting, antimony, colored stones, all sorts of precious stones and marble. 3Moreover, in addition to all that I have provided for the holy house, I have a treasure of my own of gold and silver, and because of my devotion to the house of my God I give it to the house of my God: 43,000 talents[97] of gold, of the gold of Ophir, and 7,000 talents of refined silver, for overlaying the walls of the house,[98] 5and for all the work to be done by craftsmen, gold for the things of gold and silver for the things of silver. Who then will offer willingly, consecrating himself[99] today to the LORD?”
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-6Then the leaders of fathers' houses made their freewill offerings, as did also the leaders of the tribes, the commanders of thousands and of hundreds, and the officers over the king's work. 7They gave for the service of the house of God 5,000 talents and 10,000 darics[100] of gold, 10,000 talents of silver, 18,000 talents of bronze and 100,000 talents of iron. 8And whoever had precious stones gave them to the treasury of the house of the LORD, in the care of Jehiel the Gershonite. 9Then the people rejoiced because they had given willingly, for with a whole heart they had offered freely to the LORD. David the king also rejoiced greatly.
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-David Prays in the Assembly
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-10Therefore David blessed the LORD in the presence of all the assembly. And David said: “Blessed are you, O LORD, the God of Israel our father, forever and ever. 11Yours, O LORD, is the greatness and the power and the glory and the victory and the majesty, for all that is in the heavens and in the earth is yours. Yours is the kingdom, O LORD, and you are exalted as head above all. 12Both riches and honor come from you, and you rule over all. In your hand are power and might, and in your hand it is to make great and to give strength to all. 13And now we thank you, our God, and praise your glorious name.
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-14“But who am I, and what is my people, that we should be able thus to offer willingly? For all things come from you, and of your own have we given you. 15For we are strangers before you and sojourners, as all our fathers were. Our days on the earth are like a shadow, and there is no abiding.[101] 16O LORD our God, all this abundance that we have provided for building you a house for your holy name comes from your hand and is all your own. 17I know, my God, that you test the heart and have pleasure in uprightness. In the uprightness of my heart I have freely offered all these things, and now I have seen your people, who are present here, offering freely and joyously to you. 18O LORD, the God of Abraham, Isaac, and Israel, our fathers, keep forever such purposes and thoughts in the hearts of your people, and direct their hearts toward you. 19Grant to Solomon my son a whole heart that he may keep your commandments, your testimonies, and your statutes, performing all, and that he may build the palace for which I have made provision.”
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-20Then David said to all the assembly, “Bless the LORD your God.” And all the assembly blessed the LORD, the God of their fathers, and bowed their heads and paid homage to the LORD and to the king. 21And they offered sacrifices to the LORD, and on the next day offered burnt offerings to the LORD, 1,000 bulls, 1,000 rams, and 1,000 lambs, with their drink offerings, and sacrifices in abundance for all Israel. 22And they ate and drank before the LORD on that day with great gladness.
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-Solomon Anointed King
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-And they made Solomon the son of David king the second time, and they anointed him as prince for the LORD, and Zadok as priest.
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-23Then Solomon sat on the throne of the LORD as king in place of David his father. And he prospered, and all Israel obeyed him. 24All the leaders and the mighty men, and also all the sons of King David, pledged their allegiance to King Solomon. 25And the LORD made Solomon very great in the sight of all Israel and bestowed on him such royal majesty as had not been on any king before him in Israel.
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-The Death of David
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-26Thus David the son of Jesse reigned over all Israel. 27The time that he reigned over Israel was forty years. He reigned seven years in Hebron and thirty-three years in Jerusalem. 28Then he died at a good age, full of days, riches, and honor. And Solomon his son reigned in his place. 29Now the acts of King David, from first to last, are written in the Chronicles of Samuel the seer, and in the Chronicles of Nathan the prophet, and in the Chronicles of Gad the seer, 30with accounts of all his rule and his might and of the circumstances that came upon him and upon Israel and upon all the kingdoms of the countries.
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-Footnotes
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-[1] 1:1 Many names in these genealogies are spelled differently in other biblical books
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-[2] 1:6 Septuagint; Hebrew Diphath
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-[3] 1:10 Or He began to be a mighty man on the earth
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-[4] 1:17 Septuagint; Hebrew lacks And the sons of Aram
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-[5] 1:19 Peleg means division
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-[6] 1:22 Septuagint, Syriac (compare Genesis 10:28); Hebrew Ebal
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-[7] 1:36 Septuagint (compare Genesis 36:12); Hebrew lacks and of
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-[8] 1:39 Septuagint (compare Genesis 36:22); Hebrew Homam
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-[9] 1:40 Septuagint (compare Genesis 36:23); Hebrew Alian
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-[10] 1:40 Septuagint (compare Genesis 36:23); Hebrew Shephi
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-[11] 1:41 Hebrew sons
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-[12] 1:41 Septuagint (compare Genesis 36:26); Hebrew Hamran
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-[13] 1:42 Septuagint (compare Genesis 36:27); Hebrew Jaakan
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-[14] 2:7 Hebrew sons
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-[15] 2:11 Septuagint (compare Ruth 4:21); Hebrew Salma
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-[16] 2:24 Septuagint, Vulgate; Hebrew in Caleb Ephrathah
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-[17] 2:31 Hebrew sons; three times in this verse
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-[18] 2:42 Septuagint; Hebrew Mesha
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-[19] 2:42 Hebrew sons
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-[20] 2:42 Hebrew the father of Hebron
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-[21] 2:50 Septuagint, Vulgate; Hebrew son
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-[22] 3:21 Septuagint (compare Syriac, Vulgate); Hebrew sons of; four times in this verse
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-[23] 3:22 Hebrew sons
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-[24] 4:3 Septuagint (compare Vulgate); Hebrew father
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-[25] 4:9 Jabez sounds like the Hebrew for pain
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-[26] 4:10 Or evil
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-[27] 4:13 Septuagint, Vulgate; Hebrew lacks Meonothai
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-[28] 4:14 Ge-harashim means valley of craftsmen
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-[29] 4:15 Hebrew sons
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-[30] 4:17 The clause These are . . . married is transposed from verse 18
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-[31] 4:17 Hebrew lacks and bore
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-[32] 4:22 Vulgate (compare Septuagint); Hebrew and Jashubi-lahem
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-[33] 4:22 Or matters
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-[34] 5:6 Hebrew Tilgath-pilneser; also verse 26
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-[35] 5:24 Septuagint, Vulgate; Hebrew and Epher
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-[36] 6:1 Ch 5:27 in Hebrew
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-[37] 6:16 Ch 6:1 in Hebrew
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-[38] 6:28 Septuagint, Syriac (compare verse 33 and 1 Samuel 8:2); Hebrew lacks Joel
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-[39] 6:28 Hebrew and Abijah
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-[40] 6:60 Septuagint, Syriac (compare Joshua 21:17); Hebrew lacks Gibeon
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-[41] 7:1 Syriac (compare Vulgate); Hebrew And to the sons
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-[42] 7:3 Hebrew sons; also verses 10, 12, 17
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-[43] 7:23 Beriah sounds like the Hebrew for disaster
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-[44] 7:27 Hebrew Non
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-[45] 8:7 Hebrew and Naaman
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-[46] 8:7 Or he carried them into exile
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-[47] 8:29 Compare 9:35; Hebrew lacks Jeiel
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-[48] 9:41 Compare 8:35; Hebrew lacks and Ahaz
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-[49] 10:7 Hebrew they
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-[50] 11:11 Compare 2 Samuel 23:8; Hebrew thirty, or captains
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-[51] 11:14 Compare 2 Samuel 23:12; Hebrew they . . . their
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-[52] 11:20 Syriac; Hebrew three
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-[53] 11:21 Compare 2 Samuel 23:19; Hebrew more renowned among the two
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-[54] 11:21 Syriac; Hebrew three
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-[55] 11:22 Syriac; Hebrew the son of a valiant man
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-[56] 11:23 A cubit was about 18 inches or 45 centimeters
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-[57] 11:27 Compare 2 Samuel 23:25; Hebrew the Harorite
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-[58] 11:34 Compare Septuagint and 2 Samuel 23:32; Hebrew the sons of Hashem
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-[59] 12:4 Hebrew verse 5
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-[60] 12:5 Hebrew verse 6
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-[61] 12:33 Septuagint; Hebrew lacks David
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-[62] 13:3 Or him
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-[63] 13:5 Hebrew Shihor
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-[64] 13:7 Or and his brother
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-[65] 13:11 Perez-uzza means the breaking out against Uzzah
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-[66] 14:11 Baal-perazim means Lord of breaking through
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-[67] 15:1 Hebrew He
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-[68] 16:3 Compare Septuagint, Syriac, Vulgate; the meaning of the Hebrew is uncertain
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-[69] 16:29 Or in holy attire
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-[70] 16:38 Hebrew their
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-[71] 17:17 The meaning of the Hebrew is uncertain
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-[72] 17:21 Septuagint, Vulgate other
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-[73] 18:3 Hebrew hand
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-[74] 18:6 Septuagint, Vulgate, 2 Samuel 8:6 (compare Syriac); Hebrew lacks garrisons
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-[75] 18:6 Hebrew the LORD saved David; also verse 13
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-[76] 19:6 A talent was about 75 pounds or 34 kilograms
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-[77] 20:2 A talent was about 75 pounds or 34 kilograms
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-[78] 20:3 Compare 2 Samuel 12:31; Hebrew he sawed
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-[79] 20:3 Compare 2 Samuel 12:31; Hebrew saws
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-[80] 21:25 A shekel was about 2/5 ounce or 11 grams
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-[81] 21:26 Hebrew he
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-[82] 22:14 A talent was about 75 pounds or 34 kilograms
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-[83] 23:2 Hebrew He
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-[84] 23:4 Hebrew lacks David said
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-[85] 23:7 Vulgate (compare Septuagint, Syriac); Hebrew to the Gershonite
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-[86] 24:23 Compare 23:19; Hebrew lacks Hebron
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-[87] 24:23 Compare 23:19; Hebrew lacks the chief
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-[88] 24:26 Or his son; also verse 27
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-[89] 25:3 One Hebrew manuscript, Septuagint; most Hebrew manuscripts lack Shimei
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-[90] 26:17 Septuagint; Hebrew six Levites
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-[91] 26:18 Or court; Hebrew parbar (meaning unknown); twice in this verse
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-[92] 26:21 The Hebrew of verse 21 is uncertain
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-[93] 26:28 Hebrew Shelomith
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-[94] 27:4 Septuagint; Hebrew Ahohite and his division and Mikloth the chief officer
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-[95] 27:6 Septuagint, Vulgate; Hebrew was his division
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-[96] 28:11 Hebrew lacks of the temple
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-[97] 29:4 A talent was about 75 pounds or 34 kilograms
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-[98] 29:4 Septuagint; Hebrew houses
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-[99] 29:5 Or ordaining himself; Hebrew filling his hand
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-[100] 29:7 A daric was a coin weighing about 1/4 ounce or 8.5 grams
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-[101] 29:15 Septuagint, Vulgate; Hebrew hope, or prospect
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-2 CHRONICLES
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-Chapter 1
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-Chapter 2
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-Chapter 3
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-Chapter 4
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-Chapter 5
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-Chapter 6
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-Chapter 7
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-Chapter 8
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-Chapter 9
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-Chapter 10
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-Chapter 11
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-Chapter 12
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-Chapter 13
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-Chapter 14
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-Chapter 15
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-Chapter 16
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-Chapter 17
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-Chapter 18
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-Chapter 19
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-Chapter 20
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-Chapter 21
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-Chapter 22
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-Chapter 23
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-Chapter 24
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-Chapter 25
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-Chapter 26
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-Chapter 27
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-Chapter 28
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-Chapter 29
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-Chapter 30
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-Chapter 31
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-Chapter 32
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-Chapter 33
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-Chapter 34
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-Chapter 35
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-Chapter 36
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-Solomon Worships at Gibeon
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-1:1 Solomon the son of David established himself in his kingdom, and the LORD his God was with him and made him exceedingly great.
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-2Solomon spoke to all Israel, to the commanders of thousands and of hundreds, to the judges, and to all the leaders in all Israel, the heads of fathers' houses. 3And Solomon, and all the assembly with him, went to the high place that was at Gibeon, for the tent of meeting of God, which Moses the servant of the LORD had made in the wilderness, was there. 4(But David had brought up the ark of God from Kiriath-jearim to the place that David had prepared for it, for he had pitched a tent for it in Jerusalem.) 5Moreover, the bronze altar that Bezalel the son of Uri, son of Hur, had made, was there before the tabernacle of the LORD. And Solomon and the assembly sought it[1] out. 6And Solomon went up there to the bronze altar before the LORD, which was at the tent of meeting, and offered a thousand burnt offerings on it.
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-Solomon Prays for Wisdom
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-7In that night God appeared to Solomon, and said to him, “Ask what I shall give you.” 8And Solomon said to God, “You have shown great and steadfast love to David my father, and have made me king in his place. 9O LORD God, let your word to David my father be now fulfilled, for you have made me king over a people as numerous as the dust of the earth. 10Give me now wisdom and knowledge to go out and come in before this people, for who can govern this people of yours, which is so great?” 11God answered Solomon, “Because this was in your heart, and you have not asked possessions, wealth, honor, or the life of those who hate you, and have not even asked long life, but have asked wisdom and knowledge for yourself that you may govern my people over whom I have made you king, 12wisdom and knowledge are granted to you. I will also give you riches, possessions, and honor, such as none of the kings had who were before you, and none after you shall have the like.” 13So Solomon came from[2] the high place at Gibeon, from before the tent of meeting, to Jerusalem. And he reigned over Israel.
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-Solomon Given Wealth
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-14Solomon gathered together chariots and horsemen. He had 1,400 chariots and 12,000 horsemen, whom he stationed in the chariot cities and with the king in Jerusalem. 15And the king made silver and gold as common in Jerusalem as stone, and he made cedar as plentiful as the sycamore of the Shephelah. 16And Solomon's import of horses was from Egypt and Kue, and the king's traders would buy them from Kue for a price. 17They imported a chariot from Egypt for 600 shekels[3] of silver, and a horse for 150. Likewise through them these were exported to all the kings of the Hittites and the kings of Syria.
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-Preparing to Build the Temple
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-2:1 [4] Now Solomon purposed to build a temple for the name of the LORD, and a royal palace for himself. 2[5] And Solomon assigned 70,000 men to bear burdens and 80,000 to quarry in the hill country, and 3,600 to oversee them. 3And Solomon sent word to Hiram the king of Tyre: “As you dealt with David my father and sent him cedar to build himself a house to dwell in, so deal with me. 4Behold, I am about to build a house for the name of the LORD my God and dedicate it to him for the burning of incense of sweet spices before him, and for the regular arrangement of the showbread, and for burnt offerings morning and evening, on the Sabbaths and the new moons and the appointed feasts of the LORD our God, as ordained forever for Israel. 5The house that I am to build will be great, for our God is greater than all gods. 6But who is able to build him a house, since heaven, even highest heaven, cannot contain him? Who am I to build a house for him, except as a place to make offerings before him? 7So now send me a man skilled to work in gold, silver, bronze, and iron, and in purple, crimson, and blue fabrics, trained also in engraving, to be with the skilled workers who are with me in Judah and Jerusalem, whom David my father provided. 8Send me also cedar, cypress, and algum timber from Lebanon, for I know that your servants know how to cut timber in Lebanon. And my servants will be with your servants, 9to prepare timber for me in abundance, for the house I am to build will be great and wonderful. 10I will give for your servants, the woodsmen who cut timber, 20,000 cors[6] of crushed wheat, 20,000 cors of barley, 20,000 baths[7] of wine, and 20,000 baths of oil.”
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-11Then Hiram the king of Tyre answered in a letter that he sent to Solomon, “Because the LORD loves his people, he has made you king over them.” 12Hiram also said, “Blessed be the LORD God of Israel, who made heaven and earth, who has given King David a wise son, who has discretion and understanding, who will build a temple for the LORD and a royal palace for himself.
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-13“Now I have sent a skilled man, who has understanding, Huram-abi, 14the son of a woman of the daughters of Dan, and his father was a man of Tyre. He is trained to work in gold, silver, bronze, iron, stone, and wood, and in purple, blue, and crimson fabrics and fine linen, and to do all sorts of engraving and execute any design that may be assigned him, with your craftsmen, the craftsmen of my lord, David your father. 15Now therefore the wheat and barley, oil and wine, of which my lord has spoken, let him send to his servants. 16And we will cut whatever timber you need from Lebanon and bring it to you in rafts by sea to Joppa, so that you may take it up to Jerusalem.”
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-17Then Solomon counted all the resident aliens who were in the land of Israel, after the census of them that David his father had taken, and there were found 153,600. 18Seventy thousand of them he assigned to bear burdens, 80,000 to quarry in the hill country, and 3,600 as overseers to make the people work.
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-Solomon Builds the Temple
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-3:1 Then Solomon began to build the house of the LORD in Jerusalem on Mount Moriah, where the LORD[8] had appeared to David his father, at the place that David had appointed, on the threshing floor of Ornan the Jebusite. 2He began to build in the second month of the fourth year of his reign. 3These are Solomon's measurements[9] for building the house of God: the length, in cubits[10] of the old standard, was sixty cubits, and the breadth twenty cubits. 4The vestibule in front of the nave of the house was twenty cubits long, equal to the width of the house,[11] and its height was 120 cubits. He overlaid it on the inside with pure gold. 5The nave he lined with cypress and covered it with fine gold and made palms and chains on it. 6He adorned the house with settings of precious stones. The gold was gold of Parvaim. 7So he lined the house with gold—its beams, its thresholds, its walls, and its doors—and he carved cherubim on the walls.
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-8And he made the Most Holy Place. Its length, corresponding to the breadth of the house, was twenty cubits, and its breadth was twenty cubits. He overlaid it with 600 talents[12] of fine gold. 9The weight of gold for the nails was fifty shekels.[13] And he overlaid the upper chambers with gold.
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-10In the Most Holy Place he made two cherubim of wood[14] and overlaid[15] them with gold. 11The wings of the cherubim together extended twenty cubits: one wing of the one, of five cubits, touched the wall of the house, and its other wing, of five cubits, touched the wing of the other cherub; 12and of this cherub, one wing, of five cubits, touched the wall of the house, and the other wing, also of five cubits, was joined to the wing of the first cherub. 13The wings of these cherubim extended twenty cubits. The cherubim[16] stood on their feet, facing the nave. 14And he made the veil of blue and purple and crimson fabrics and fine linen, and he worked cherubim on it.
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-15In front of the house he made two pillars thirty-five cubits high, with a capital of five cubits on the top of each. 16He made chains like a necklace[17] and put them on the tops of the pillars, and he made a hundred pomegranates and put them on the chains. 17He set up the pillars in front of the temple, one on the south, the other on the north; that on the south he called Jachin, and that on the north Boaz.
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-The Temple's Furnishings
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-4:1 He made an altar of bronze, twenty cubits[18] long and twenty cubits wide and ten cubits high. 2Then he made the sea of cast metal. It was round, ten cubits from brim to brim, and five cubits high, and a line of thirty cubits measured its circumference. 3Under it were figures of gourds,[19] for ten cubits, compassing the sea all around. The gourds were in two rows, cast with it when it was cast. 4It stood on twelve oxen, three facing north, three facing west, three facing south, and three facing east. The sea was set on them, and all their rear parts were inward. 5Its thickness was a handbreadth.[20] And its brim was made like the brim of a cup, like the flower of a lily. It held 3,000 baths.[21] 6He also made ten basins in which to wash, and set five on the south side, and five on the north side. In these they were to rinse off what was used for the burnt offering, and the sea was for the priests to wash in.
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-7And he made ten golden lampstands as prescribed, and set them in the temple, five on the south side and five on the north. 8He also made ten tables and placed them in the temple, five on the south side and five on the north. And he made a hundred basins of gold. 9He made the court of the priests and the great court and doors for the court and overlaid their doors with bronze. 10And he set the sea at the southeast corner of the house.
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-11Hiram also made the pots, the shovels, and the basins. So Hiram finished the work that he did for King Solomon on the house of God: 12the two pillars, the bowls, and the two capitals on the top of the pillars; and the two latticeworks to cover the two bowls of the capitals that were on the top of the pillars; 13and the 400 pomegranates for the two latticeworks, two rows of pomegranates for each latticework, to cover the two bowls of the capitals that were on the pillars. 14He made the stands also, and the basins on the stands, 15and the one sea, and the twelve oxen underneath it. 16The pots, the shovels, the forks, and all the equipment for these Huram-abi made of burnished bronze for King Solomon for the house of the LORD. 17In the plain of the Jordan the king cast them, in the clay ground between Succoth and Zeredah.[22] 18Solomon made all these things in great quantities, for the weight of the bronze was not sought.
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-19So Solomon made all the vessels that were in the house of God: the golden altar, the tables for the bread of the Presence, 20the lampstands and their lamps of pure gold to burn before the inner sanctuary, as prescribed; 21the flowers, the lamps, and the tongs, of purest gold; 22the snuffers, basins, dishes for incense, and fire pans, of pure gold, and the sockets[23] of the temple, for the inner doors to the Most Holy Place and for the doors of the nave of the temple were of gold.
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-5:1 Thus all the work that Solomon did for the house of the LORD was finished. And Solomon brought in the things that David his father had dedicated, and stored the silver, the gold, and all the vessels in the treasuries of the house of God.
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-The Ark Brought to the Temple
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-2Then Solomon assembled the elders of Israel and all the heads of the tribes, the leaders of the fathers' houses of the people of Israel, in Jerusalem, to bring up the ark of the covenant of the LORD out of the city of David, which is Zion. 3And all the men of Israel assembled before the king at the feast that is in the seventh month. 4And all the elders of Israel came, and the Levites took up the ark. 5And they brought up the ark, the tent of meeting, and all the holy vessels that were in the tent; the Levitical priests brought them up. 6And King Solomon and all the congregation of Israel, who had assembled before him, were before the ark, sacrificing so many sheep and oxen that they could not be counted or numbered. 7Then the priests brought the ark of the covenant of the LORD to its place, in the inner sanctuary of the house, in the Most Holy Place, underneath the wings of the cherubim. 8The cherubim spread out their wings over the place of the ark, so that the cherubim made a covering above the ark and its poles. 9And the poles were so long that the ends of the poles were seen from the Holy Place before the inner sanctuary, but they could not be seen from outside. And they are[24] there to this day. 10There was nothing in the ark except the two tablets that Moses put there at Horeb, where the LORD made a covenant with the people of Israel, when they came out of Egypt. 11And when the priests came out of the Holy Place (for all the priests who were present had consecrated themselves, without regard to their divisions, 12and all the Levitical singers, Asaph, Heman, and Jeduthun, their sons and kinsmen, arrayed in fine linen, with cymbals, harps, and lyres, stood east of the altar with 120 priests who were trumpeters; 13and it was the duty of the trumpeters and singers to make themselves heard in unison in praise and thanksgiving to the LORD), and when the song was raised, with trumpets and cymbals and other musical instruments, in praise to the LORD,
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-“For he is good,
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-for his steadfast love endures forever,”
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-the house, the house of the LORD, was filled with a cloud, 14so that the priests could not stand to minister because of the cloud, for the glory of the LORD filled the house of God.
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-Solomon Blesses the People
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-6:1 Then Solomon said, “The LORD has said that he would dwell in thick darkness. 2But I have built you an exalted house, a place for you to dwell in forever.” 3Then the king turned around and blessed all the assembly of Israel, while all the assembly of Israel stood. 4And he said, “Blessed be the LORD, the God of Israel, who with his hand has fulfilled what he promised with his mouth to David my father, saying, 5‘Since the day that I brought my people out of the land of Egypt, I chose no city out of all the tribes of Israel in which to build a house, that my name might be there, and I chose no man as prince over my people Israel; 6but I have chosen Jerusalem that my name may be there, and I have chosen David to be over my people Israel.’ 7Now it was in the heart of David my father to build a house for the name of the LORD, the God of Israel. 8But the LORD said to David my father, ‘Whereas it was in your heart to build a house for my name, you did well that it was in your heart. 9Nevertheless, it is not you who shall build the house, but your son who shall be born to you shall build the house for my name.’ 10Now the LORD has fulfilled his promise that he made. For I have risen in the place of David my father and sit on the throne of Israel, as the LORD promised, and I have built the house for the name of the LORD, the God of Israel. 11And there I have set the ark, in which is the covenant of the LORD that he made with the people of Israel.”
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-Solomon's Prayer of Dedication
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-12Then Solomon stood before the altar of the LORD in the presence of all the assembly of Israel and spread out his hands. 13Solomon had made a bronze platform five cubits[25] long, five cubits wide, and three cubits high, and had set it in the court, and he stood on it. Then he knelt on his knees in the presence of all the assembly of Israel, and spread out his hands toward heaven, 14and said, “O LORD, God of Israel, there is no God like you, in heaven or on earth, keeping covenant and showing steadfast love to your servants who walk before you with all their heart, 15who have kept with your servant David my father what you declared to him. You spoke with your mouth, and with your hand have fulfilled it this day. 16Now therefore, O LORD, God of Israel, keep for your servant David my father what you have promised him, saying, ‘You shall not lack a man to sit before me on the throne of Israel, if only your sons pay close attention to their way, to walk in my law as you have walked before me.’ 17Now therefore, O LORD, God of Israel, let your word be confirmed, which you have spoken to your servant David.
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-18“But will God indeed dwell with man on the earth? Behold, heaven and the highest heaven cannot contain you, how much less this house that I have built! 19Yet have regard to the prayer of your servant and to his plea, O LORD my God, listening to the cry and to the prayer that your servant prays before you, 20that your eyes may be open day and night toward this house, the place where you have promised to set your name, that you may listen to the prayer that your servant offers toward this place. 21And listen to the pleas of your servant and of your people Israel, when they pray toward this place. And listen from heaven your dwelling place, and when you hear, forgive.
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-22“If a man sins against his neighbor and is made to take an oath and comes and swears his oath before your altar in this house, 23then hear from heaven and act and judge your servants, repaying the guilty by bringing his conduct on his own head, and vindicating the righteous by rewarding him according to his righteousness.
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-24“If your people Israel are defeated before the enemy because they have sinned against you, and they turn again and acknowledge your name and pray and plead with you in this house, 25then hear from heaven and forgive the sin of your people Israel and bring them again to the land that you gave to them and to their fathers.
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-26“When heaven is shut up and there is no rain because they have sinned against you, if they pray toward this place and acknowledge your name and turn from their sin, when you afflict[26] them, 27then hear in heaven and forgive the sin of your servants, your people Israel, when you teach them the good way[27] in which they should walk, and grant rain upon your land, which you have given to your people as an inheritance.
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-28“If there is famine in the land, if there is pestilence or blight or mildew or locust or caterpillar, if their enemies besiege them in the land at their gates, whatever plague, whatever sickness there is, 29whatever prayer, whatever plea is made by any man or by all your people Israel, each knowing his own affliction and his own sorrow and stretching out his hands toward this house, 30then hear from heaven your dwelling place and forgive and render to each whose heart you know, according to all his ways, for you, you only, know the hearts of the children of mankind, 31that they may fear you and walk in your ways all the days that they live in the land that you gave to our fathers.
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-32“Likewise, when a foreigner, who is not of your people Israel, comes from a far country for the sake of your great name and your mighty hand and your outstretched arm, when he comes and prays toward this house, 33hear from heaven your dwelling place and do according to all for which the foreigner calls to you, in order that all the peoples of the earth may know your name and fear you, as do your people Israel, and that they may know that this house that I have built is called by your name.
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-34“If your people go out to battle against their enemies, by whatever way you shall send them, and they pray to you toward this city that you have chosen and the house that I have built for your name, 35then hear from heaven their prayer and their plea, and maintain their cause.
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-36“If they sin against you—for there is no one who does not sin—and you are angry with them and give them to an enemy, so that they are carried away captive to a land far or near, 37yet if they turn their heart in the land to which they have been carried captive, and repent and plead with you in the land of their captivity, saying, ‘We have sinned and have acted perversely and wickedly,’ 38if they repent with all their mind and with all their heart in the land of their captivity to which they were carried captive, and pray toward their land, which you gave to their fathers, the city that you have chosen and the house that I have built for your name, 39then hear from heaven your dwelling place their prayer and their pleas, and maintain their cause and forgive your people who have sinned against you. 40Now, O my God, let your eyes be open and your ears attentive to the prayer of this place.
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-41“And now arise, O LORD God, and go to your resting place,
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-you and the ark of your might.
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-Let your priests, O LORD God, be clothed with salvation,
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-and let your saints rejoice in your goodness.
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-42O LORD God, do not turn away the face of your anointed one!
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-Remember your steadfast love for David your servant.”
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-Fire from Heaven
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-7:1 As soon as Solomon finished his prayer, fire came down from heaven and consumed the burnt offering and the sacrifices, and the glory of the LORD filled the temple. 2And the priests could not enter the house of the LORD, because the glory of the LORD filled the LORD's house. 3When all the people of Israel saw the fire come down and the glory of the LORD on the temple, they bowed down with their faces to the ground on the pavement and worshiped and gave thanks to the LORD, saying, “For he is good, for his steadfast love endures forever.”
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-The Dedication of the Temple
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-4Then the king and all the people offered sacrifice before the LORD. 5King Solomon offered as a sacrifice 22,000 oxen and 120,000 sheep. So the king and all the people dedicated the house of God. 6The priests stood at their posts; the Levites also, with the instruments for music to the LORD that King David had made for giving thanks to the LORD—for his steadfast love endures forever—whenever David offered praises by their ministry;[28] opposite them the priests sounded trumpets, and all Israel stood.
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-7And Solomon consecrated the middle of the court that was before the house of the LORD, for there he offered the burnt offering and the fat of the peace offerings, because the bronze altar Solomon had made could not hold the burnt offering and the grain offering and the fat.
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-8At that time Solomon held the feast for seven days, and all Israel with him, a very great assembly, from Lebo-hamath to the Brook of Egypt. 9And on the eighth day they held a solemn assembly, for they had kept the dedication of the altar seven days and the feast seven days. 10On the twenty-third day of the seventh month he sent the people away to their homes, joyful and glad of heart for the prosperity that the LORD had granted to David and to Solomon and to Israel his people.
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-If My People Pray
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-11Thus Solomon finished the house of the LORD and the king's house. All that Solomon had planned to do in the house of the LORD and in his own house he successfully accomplished. 12Then the LORD appeared to Solomon in the night and said to him: “I have heard your prayer and have chosen this place for myself as a house of sacrifice. 13When I shut up the heavens so that there is no rain, or command the locust to devour the land, or send pestilence among my people, 14if my people who are called by my name humble themselves, and pray and seek my face and turn from their wicked ways, then I will hear from heaven and will forgive their sin and heal their land. 15Now my eyes will be open and my ears attentive to the prayer that is made in this place. 16For now I have chosen and consecrated this house that my name may be there forever. My eyes and my heart will be there for all time. 17And as for you, if you will walk before me as David your father walked, doing according to all that I have commanded you and keeping my statutes and my rules, 18then I will establish your royal throne, as I covenanted with David your father, saying, ‘You shall not lack a man to rule Israel.’
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-19“But if you[29] turn aside and forsake my statutes and my commandments that I have set before you, and go and serve other gods and worship them, 20then I will pluck you[30] up from my land that I have given you, and this house that I have consecrated for my name, I will cast out of my sight, and I will make it a proverb and a byword among all peoples. 21And at this house, which was exalted, everyone passing by will be astonished and say, ‘Why has the LORD done thus to this land and to this house?’ 22Then they will say, ‘Because they abandoned the LORD, the God of their fathers who brought them out of the land of Egypt and laid hold on other gods and worshiped them and served them. Therefore he has brought all this disaster on them.’”
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-Solomon's Accomplishments
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-8:1 At the end of twenty years, in which Solomon had built the house of the LORD and his own house, 2Solomon rebuilt the cities that Hiram had given to him, and settled the people of Israel in them.
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-3And Solomon went to Hamath-zobah and took it. 4He built Tadmor in the wilderness and all the store cities that he built in Hamath. 5He also built Upper Beth-horon and Lower Beth-horon, fortified cities with walls, gates, and bars, 6and Baalath, and all the store cities that Solomon had and all the cities for his chariots and the cities for his horsemen, and whatever Solomon desired to build in Jerusalem, in Lebanon, and in all the land of his dominion. 7All the people who were left of the Hittites, the Amorites, the Perizzites, the Hivites, and the Jebusites, who were not of Israel, 8from their descendants who were left after them in the land, whom the people of Israel had not destroyed—these Solomon drafted as forced labor, and so they are to this day. 9But of the people of Israel Solomon made no slaves for his work; they were soldiers, and his officers, the commanders of his chariots, and his horsemen. 10And these were the chief officers of King Solomon, 250, who exercised authority over the people.
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-11Solomon brought Pharaoh's daughter up from the city of David to the house that he had built for her, for he said, “My wife shall not live in the house of David king of Israel, for the places to which the ark of the LORD has come are holy.”
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-12Then Solomon offered up burnt offerings to the LORD on the altar of the LORD that he had built before the vestibule, 13as the duty of each day required, offering according to the commandment of Moses for the Sabbaths, the new moons, and the three annual feasts—the Feast of Unleavened Bread, the Feast of Weeks, and the Feast of Booths. 14According to the ruling of David his father, he appointed the divisions of the priests for their service, and the Levites for their offices of praise and ministry before the priests as the duty of each day required, and the gatekeepers in their divisions at each gate, for so David the man of God had commanded. 15And they did not turn aside from what the king had commanded the priests and Levites concerning any matter and concerning the treasuries.
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-16Thus was accomplished all the work of Solomon from[31] the day the foundation of the house of the LORD was laid until it was finished. So the house of the LORD was completed.
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-17Then Solomon went to Ezion-geber and Eloth on the shore of the sea, in the land of Edom. 18And Hiram sent to him by the hand of his servants ships and servants familiar with the sea, and they went to Ophir together with the servants of Solomon and brought from there 450 talents[32] of gold and brought it to King Solomon.
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-The Queen of Sheba
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-9:1 Now when the queen of Sheba heard of the fame of Solomon, she came to Jerusalem to test him with hard questions, having a very great retinue and camels bearing spices and very much gold and precious stones. And when she came to Solomon, she told him all that was on her mind. 2And Solomon answered all her questions. There was nothing hidden from Solomon that he could not explain to her. 3And when the queen of Sheba had seen the wisdom of Solomon, the house that he had built, 4the food of his table, the seating of his officials, and the attendance of his servants, and their clothing, his cupbearers, and their clothing, and his burnt offerings that he offered at the house of the LORD, there was no more breath in her.
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-5And she said to the king, “The report was true that I heard in my own land of your words and of your wisdom, 6but I did not believe the[33] reports until I came and my own eyes had seen it. And behold, half the greatness of your wisdom was not told me; you surpass the report that I heard. 7Happy are your wives![34] Happy are these your servants, who continually stand before you and hear your wisdom! 8Blessed be the LORD your God, who has delighted in you and set you on his throne as king for the LORD your God! Because your God loved Israel and would establish them forever, he has made you king over them, that you may execute justice and righteousness.” 9Then she gave the king 120 talents[35] of gold, and a very great quantity of spices, and precious stones. There were no spices such as those that the queen of Sheba gave to King Solomon.
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-10Moreover, the servants of Hiram and the servants of Solomon, who brought gold from Ophir, brought algum wood and precious stones. 11And the king made from the algum wood supports for the house of the LORD and for the king's house, lyres also and harps for the singers. There never was seen the like of them before in the land of Judah.
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-12And King Solomon gave to the queen of Sheba all that she desired, whatever she asked besides what she had brought to the king. So she turned and went back to her own land with her servants.
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-Solomon's Wealth
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-13Now the weight of gold that came to Solomon in one year was 666 talents of gold, 14besides that which the explorers and merchants brought. And all the kings of Arabia and the governors of the land brought gold and silver to Solomon. 15King Solomon made 200 large shields of beaten gold; 600 shekels[36] of beaten gold went into each shield. 16And he made 300 shields of beaten gold; 300 shekels of gold went into each shield; and the king put them in the House of the Forest of Lebanon. 17The king also made a great ivory throne and overlaid it with pure gold. 18The throne had six steps and a footstool of gold, which were attached to the throne, and on each side of the seat were armrests and two lions standing beside the armrests, 19while twelve lions stood there, one on each end of a step on the six steps. Nothing like it was ever made for any kingdom. 20All King Solomon's drinking vessels were of gold, and all the vessels of the House of the Forest of Lebanon were of pure gold. Silver was not considered as anything in the days of Solomon. 21For the king's ships went to Tarshish with the servants of Hiram. Once every three years the ships of Tarshish used to come bringing gold, silver, ivory, apes, and peacocks.[37]
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-22Thus King Solomon excelled all the kings of the earth in riches and in wisdom. 23And all the kings of the earth sought the presence of Solomon to hear his wisdom, which God had put into his mind. 24Every one of them brought his present, articles of silver and of gold, garments, myrrh, spices, horses, and mules, so much year by year. 25And Solomon had 4,000 stalls for horses and chariots, and 12,000 horsemen, whom he stationed in the chariot cities and with the king in Jerusalem. 26And he ruled over all the kings from the Euphrates to the land of the Philistines and to the border of Egypt. 27And the king made silver as common in Jerusalem as stone, and he made cedar as plentiful as the sycamore of the Shephelah. 28And horses were imported for Solomon from Egypt and from all lands.
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-Solomon's Death
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-29Now the rest of the acts of Solomon, from first to last, are they not written in the history of Nathan the prophet, and in the prophecy of Ahijah the Shilonite, and in the visions of Iddo the seer concerning Jeroboam the son of Nebat? 30Solomon reigned in Jerusalem over all Israel forty years. 31And Solomon slept with his fathers and was buried in the city of David his father, and Rehoboam his son reigned in his place.
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-The Revolt Against Rehoboam
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-10:1 Rehoboam went to Shechem, for all Israel had come to Shechem to make him king. 2And as soon as Jeroboam the son of Nebat heard of it (for he was in Egypt, where he had fled from King Solomon), then Jeroboam returned from Egypt. 3And they sent and called him. And Jeroboam and all Israel came and said to Rehoboam, 4“Your father made our yoke heavy. Now therefore lighten the hard service of your father and his heavy yoke on us, and we will serve you.” 5He said to them, “Come to me again in three days.” So the people went away.
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-6Then King Rehoboam took counsel with the old men,[38] who had stood before Solomon his father while he was yet alive, saying, “How do you advise me to answer this people?” 7And they said to him, “If you will be good to this people and please them and speak good words to them, then they will be your servants forever.” 8But he abandoned the counsel that the old men gave him, and took counsel with the young men who had grown up with him and stood before him. 9And he said to them, “What do you advise that we answer this people who have said to me, ‘Lighten the yoke that your father put on us’?” 10And the young men who had grown up with him said to him, “Thus shall you speak to the people who said to you, ‘Your father made our yoke heavy, but you lighten it for us’; thus shall you say to them, ‘My little finger is thicker than my father's thighs. 11And now, whereas my father laid on you a heavy yoke, I will add to your yoke. My father disciplined you with whips, but I will discipline you with scorpions.’”
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-12So Jeroboam and all the people came to Rehoboam the third day, as the king said, “Come to me again the third day.” 13And the king answered them harshly; and forsaking the counsel of the old men, 14King Rehoboam spoke to them according to the counsel of the young men, saying, “My father made your yoke heavy, but I will add to it. My father disciplined you with whips, but I will discipline you with scorpions.” 15So the king did not listen to the people, for it was a turn of affairs brought about by God that the LORD might fulfill his word, which he spoke by Ahijah the Shilonite to Jeroboam the son of Nebat.
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-16And when all Israel saw that the king did not listen to them, the people answered the king, “What portion have we in David? We have no inheritance in the son of Jesse. Each of you to your tents, O Israel! Look now to your own house, David.” So all Israel went to their tents. 17But Rehoboam reigned over the people of Israel who lived in the cities of Judah. 18Then King Rehoboam sent Hadoram,[39] who was taskmaster over the forced labor, and the people of Israel stoned him to death with stones. And King Rehoboam quickly mounted his chariot to flee to Jerusalem. 19So Israel has been in rebellion against the house of David to this day.
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-Rehoboam Secures His Kingdom
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-11:1 When Rehoboam came to Jerusalem, he assembled the house of Judah and Benjamin, 180,000 chosen warriors, to fight against Israel, to restore the kingdom to Rehoboam. 2But the word of the LORD came to Shemaiah the man of God: 3“Say to Rehoboam the son of Solomon, king of Judah, and to all Israel in Judah and Benjamin, 4‘Thus says the LORD, You shall not go up or fight against your relatives. Return every man to his home, for this thing is from me.’” So they listened to the word of the LORD and returned and did not go against Jeroboam.
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-5Rehoboam lived in Jerusalem, and he built cities for defense in Judah. 6He built Bethlehem, Etam, Tekoa, 7Beth-zur, Soco, Adullam, 8Gath, Mareshah, Ziph, 9Adoraim, Lachish, Azekah, 10Zorah, Aijalon, and Hebron, fortified cities that are in Judah and in Benjamin. 11He made the fortresses strong, and put commanders in them, and stores of food, oil, and wine. 12And he put shields and spears in all the cities and made them very strong. So he held Judah and Benjamin.
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-Priests and Levites Come to Jerusalem
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-13And the priests and the Levites who were in all Israel presented themselves to him from all places where they lived. 14For the Levites left their common lands and their holdings and came to Judah and Jerusalem, because Jeroboam and his sons cast them out from serving as priests of the LORD, 15and he appointed his own priests for the high places and for the goat idols and for the calves that he had made. 16And those who had set their hearts to seek the LORD God of Israel came after them from all the tribes of Israel to Jerusalem to sacrifice to the LORD, the God of their fathers. 17They strengthened the kingdom of Judah, and for three years they made Rehoboam the son of Solomon secure, for they walked for three years in the way of David and Solomon.
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-Rehoboam's Family
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-18Rehoboam took as wife Mahalath the daughter of Jerimoth the son of David, and of Abihail the daughter of Eliab the son of Jesse, 19and she bore him sons, Jeush, Shemariah, and Zaham. 20After her he took Maacah the daughter of Absalom, who bore him Abijah, Attai, Ziza, and Shelomith. 21Rehoboam loved Maacah the daughter of Absalom above all his wives and concubines (he took eighteen wives and sixty concubines, and fathered twenty-eight sons and sixty daughters). 22And Rehoboam appointed Abijah the son of Maacah as chief prince among his brothers, for he intended to make him king. 23And he dealt wisely and distributed some of his sons through all the districts of Judah and Benjamin, in all the fortified cities, and he gave them abundant provisions and procured wives for them.[40]
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-Egypt Plunders Jerusalem
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-12:1 When the rule of Rehoboam was established and he was strong, he abandoned the law of the LORD, and all Israel with him. 2In the fifth year of King Rehoboam, because they had been unfaithful to the LORD, Shishak king of Egypt came up against Jerusalem 3with 1,200 chariots and 60,000 horsemen. And the people were without number who came with him from Egypt—Libyans, Sukkiim, and Ethiopians. 4And he took the fortified cities of Judah and came as far as Jerusalem. 5Then Shemaiah the prophet came to Rehoboam and to the princes of Judah, who had gathered at Jerusalem because of Shishak, and said to them, “Thus says the LORD, ‘You abandoned me, so I have abandoned you to the hand of Shishak.’” 6Then the princes of Israel and the king humbled themselves and said, “The LORD is righteous.” 7When the LORD saw that they humbled themselves, the word of the LORD came to Shemaiah: “They have humbled themselves. I will not destroy them, but I will grant them some deliverance, and my wrath shall not be poured out on Jerusalem by the hand of Shishak. 8Nevertheless, they shall be servants to him, that they may know my service and the service of the kingdoms of the countries.”
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-9So Shishak king of Egypt came up against Jerusalem. He took away the treasures of the house of the LORD and the treasures of the king's house. He took away everything. He also took away the shields of gold that Solomon had made, 10and King Rehoboam made in their place shields of bronze and committed them to the hands of the officers of the guard, who kept the door of the king's house. 11And as often as the king went into the house of the LORD, the guard came and carried them and brought them back to the guardroom. 12And when he humbled himself the wrath of the LORD turned from him, so as not to make a complete destruction. Moreover, conditions were good[41] in Judah.
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-13So King Rehoboam grew strong in Jerusalem and reigned. Rehoboam was forty-one years old when he began to reign, and he reigned seventeen years in Jerusalem, the city that the LORD had chosen out of all the tribes of Israel to put his name there. His mother's name was Naamah the Ammonite. 14And he did evil, for he did not set his heart to seek the LORD.
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-15Now the acts of Rehoboam, from first to last, are they not written in the chronicles of Shemaiah the prophet and of Iddo the seer?[42] There were continual wars between Rehoboam and Jeroboam. 16And Rehoboam slept with his fathers and was buried in the city of David, and Abijah[43] his son reigned in his place.
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-Abijah Reigns in Judah
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-13:1 In the eighteenth year of King Jeroboam, Abijah began to reign over Judah. 2He reigned for three years in Jerusalem. His mother's name was Micaiah[44] the daughter of Uriel of Gibeah.
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-Now there was war between Abijah and Jeroboam. 3Abijah went out to battle, having an army of valiant men of war, 400,000 chosen men. And Jeroboam drew up his line of battle against him with 800,000 chosen mighty warriors. 4Then Abijah stood up on Mount Zemaraim that is in the hill country of Ephraim and said, “Hear me, O Jeroboam and all Israel! 5Ought you not to know that the LORD God of Israel gave the kingship over Israel forever to David and his sons by a covenant of salt? 6Yet Jeroboam the son of Nebat, a servant of Solomon the son of David, rose up and rebelled against his lord, 7and certain worthless scoundrels gathered about him and defied Rehoboam the son of Solomon, when Rehoboam was young and irresolute[45] and could not withstand them.
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-8“And now you think to withstand the kingdom of the LORD in the hand of the sons of David, because you are a great multitude and have with you the golden calves that Jeroboam made you for gods. 9Have you not driven out the priests of the LORD, the sons of Aaron, and the Levites, and made priests for yourselves like the peoples of other lands? Whoever comes for ordination[46] with a young bull or seven rams becomes a priest of what are no gods. 10But as for us, the LORD is our God, and we have not forsaken him. We have priests ministering to the LORD who are sons of Aaron, and Levites for their service. 11They offer to the LORD every morning and every evening burnt offerings and incense of sweet spices, set out the showbread on the table of pure gold, and care for the golden lampstand that its lamps may burn every evening. For we keep the charge of the LORD our God, but you have forsaken him. 12Behold, God is with us at our head, and his priests with their battle trumpets to sound the call to battle against you. O sons of Israel, do not fight against the LORD, the God of your fathers, for you cannot succeed.”
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-13Jeroboam had sent an ambush around to come upon them from behind. Thus his troops[47] were in front of Judah, and the ambush was behind them. 14And when Judah looked, behold, the battle was in front of and behind them. And they cried to the LORD, and the priests blew the trumpets. 15Then the men of Judah raised the battle shout. And when the men of Judah shouted, God defeated Jeroboam and all Israel before Abijah and Judah. 16The men of Israel fled before Judah, and God gave them into their hand. 17Abijah and his people struck them with great force, so there fell slain of Israel 500,000 chosen men. 18Thus the men of Israel were subdued at that time, and the men of Judah prevailed, because they relied on the LORD, the God of their fathers. 19And Abijah pursued Jeroboam and took cities from him, Bethel with its villages and Jeshanah with its villages and Ephron[48] with its villages. 20Jeroboam did not recover his power in the days of Abijah. And the LORD struck him down, and he died. 21But Abijah grew mighty. And he took fourteen wives and had twenty-two sons and sixteen daughters. 22The rest of the acts of Abijah, his ways and his sayings, are written in the story of the prophet Iddo.
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-Asa Reigns in Judah
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-14:1 [49] Abijah slept with his fathers, and they buried him in the city of David. And Asa his son reigned in his place. In his days the land had rest for ten years. 2[50] And Asa did what was good and right in the eyes of the LORD his God. 3He took away the foreign altars and the high places and broke down the pillars and cut down the Asherim 4and commanded Judah to seek the LORD, the God of their fathers, and to keep the law and the commandment. 5He also took out of all the cities of Judah the high places and the incense altars. And the kingdom had rest under him. 6He built fortified cities in Judah, for the land had rest. He had no war in those years, for the LORD gave him peace. 7And he said to Judah, “Let us build these cities and surround them with walls and towers, gates and bars. The land is still ours, because we have sought the LORD our God. We have sought him, and he has given us peace on every side.” So they built and prospered. 8And Asa had an army of 300,000 from Judah, armed with large shields and spears, and 280,000 men from Benjamin that carried shields and drew bows. All these were mighty men of valor.
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-9Zerah the Ethiopian came out against them with an army of a million men and 300 chariots, and came as far as Mareshah. 10And Asa went out to meet him, and they drew up their lines of battle in the Valley of Zephathah at Mareshah. 11And Asa cried to the LORD his God, “O LORD, there is none like you to help, between the mighty and the weak. Help us, O LORD our God, for we rely on you, and in your name we have come against this multitude. O LORD, you are our God; let not man prevail against you.” 12So the LORD defeated the Ethiopians before Asa and before Judah, and the Ethiopians fled. 13Asa and the people who were with him pursued them as far as Gerar, and the Ethiopians fell until none remained alive, for they were broken before the LORD and his army. The men of Judah[51] carried away very much spoil. 14And they attacked all the cities around Gerar, for the fear of the LORD was upon them. They plundered all the cities, for there was much plunder in them. 15And they struck down the tents of those who had livestock and carried away sheep in abundance and camels. Then they returned to Jerusalem.
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-Asa's Religious Reforms
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-15:1 The Spirit of God came upon Azariah the son of Oded, 2and he went out to meet Asa and said to him, “Hear me, Asa, and all Judah and Benjamin: The LORD is with you while you are with him. If you seek him, he will be found by you, but if you forsake him, he will forsake you. 3For a long time Israel was without the true God, and without a teaching priest and without law, 4but when in their distress they turned to the LORD, the God of Israel, and sought him, he was found by them. 5In those times there was no peace to him who went out or to him who came in, for great disturbances afflicted all the inhabitants of the lands. 6They were broken in pieces. Nation was crushed by nation and city by city, for God troubled them with every sort of distress. 7But you, take courage! Do not let your hands be weak, for your work shall be rewarded.”
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-8As soon as Asa heard these words, the prophecy of Azariah the son of Oded, he took courage and put away the detestable idols from all the land of Judah and Benjamin and from the cities that he had taken in the hill country of Ephraim, and he repaired the altar of the LORD that was in front of the vestibule of the house of the LORD.[52] 9And he gathered all Judah and Benjamin, and those from Ephraim, Manasseh, and Simeon who were residing with them, for great numbers had deserted to him from Israel when they saw that the LORD his God was with him. 10They were gathered at Jerusalem in the third month of the fifteenth year of the reign of Asa. 11They sacrificed to the LORD on that day from the spoil that they had brought 700 oxen and 7,000 sheep. 12And they entered into a covenant to seek the LORD, the God of their fathers, with all their heart and with all their soul, 13but that whoever would not seek the LORD, the God of Israel, should be put to death, whether young or old, man or woman. 14They swore an oath to the LORD with a loud voice and with shouting and with trumpets and with horns. 15And all Judah rejoiced over the oath, for they had sworn with all their heart and had sought him with their whole desire, and he was found by them, and the LORD gave them rest all around.
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-16Even Maacah, his mother, King Asa removed from being queen mother because she had made a detestable image for Asherah. Asa cut down her image, crushed it, and burned it at the brook Kidron. 17But the high places were not taken out of Israel. Nevertheless, the heart of Asa was wholly true all his days. 18And he brought into the house of God the sacred gifts of his father and his own sacred gifts, silver, and gold, and vessels. 19And there was no more war until the thirty-fifth year of the reign of Asa.
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-Asa's Last Years
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-16:1 In the thirty-sixth year of the reign of Asa, Baasha king of Israel went up against Judah and built Ramah, that he might permit no one to go out or come in to Asa king of Judah. 2Then Asa took silver and gold from the treasures of the house of the LORD and the king's house and sent them to Ben-hadad king of Syria, who lived in Damascus, saying, 3“There is a covenant[53] between me and you, as there was between my father and your father. Behold, I am sending to you silver and gold. Go, break your covenant with Baasha king of Israel, that he may withdraw from me.” 4And Ben-hadad listened to King Asa and sent the commanders of his armies against the cities of Israel, and they conquered Ijon, Dan, Abel-maim, and all the store cities of Naphtali. 5And when Baasha heard of it, he stopped building Ramah and let his work cease. 6Then King Asa took all Judah, and they carried away the stones of Ramah and its timber, with which Baasha had been building, and with them he built Geba and Mizpah.
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-7At that time Hanani the seer came to Asa king of Judah and said to him, “Because you relied on the king of Syria, and did not rely on the LORD your God, the army of the king of Syria has escaped you. 8Were not the Ethiopians and the Libyans a huge army with very many chariots and horsemen? Yet because you relied on the LORD, he gave them into your hand. 9For the eyes of the LORD run to and fro throughout the whole earth, to give strong support to those whose heart is blameless toward him. You have done foolishly in this, for from now on you will have wars.” 10Then Asa was angry with the seer and put him in the stocks in prison, for he was in a rage with him because of this. And Asa inflicted cruelties upon some of the people at the same time.
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-11The acts of Asa, from first to last, are written in the Book of the Kings of Judah and Israel. 12In the thirty-ninth year of his reign Asa was diseased in his feet, and his disease became severe. Yet even in his disease he did not seek the LORD, but sought help from physicians. 13And Asa slept with his fathers, dying in the forty-first year of his reign. 14They buried him in the tomb that he had cut for himself in the city of David. They laid him on a bier that had been filled with various kinds of spices prepared by the perfumer's art, and they made a very great fire in his honor.
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-Jehoshaphat Reigns in Judah
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-17:1 Jehoshaphat his son reigned in his place and strengthened himself against Israel. 2He placed forces in all the fortified cities of Judah and set garrisons in the land of Judah, and in the cities of Ephraim that Asa his father had captured. 3The LORD was with Jehoshaphat, because he walked in the earlier ways of his father David. He did not seek the Baals, 4but sought the God of his father and walked in his commandments, and not according to the practices of Israel. 5Therefore the LORD established the kingdom in his hand. And all Judah brought tribute to Jehoshaphat, and he had great riches and honor. 6His heart was courageous in the ways of the LORD. And furthermore, he took the high places and the Asherim out of Judah.
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-7In the third year of his reign he sent his officials, Ben-hail, Obadiah, Zechariah, Nethanel, and Micaiah, to teach in the cities of Judah; 8and with them the Levites, Shemaiah, Nethaniah, Zebadiah, Asahel, Shemiramoth, Jehonathan, Adonijah, Tobijah, and Tobadonijah; and with these Levites, the priests Elishama and Jehoram. 9And they taught in Judah, having the Book of the Law of the LORD with them. They went about through all the cities of Judah and taught among the people.
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-10And the fear of the LORD fell upon all the kingdoms of the lands that were around Judah, and they made no war against Jehoshaphat. 11Some of the Philistines brought Jehoshaphat presents and silver for tribute, and the Arabians also brought him 7,700 rams and 7,700 goats. 12And Jehoshaphat grew steadily greater. He built in Judah fortresses and store cities, 13and he had large supplies in the cities of Judah. He had soldiers, mighty men of valor, in Jerusalem. 14This was the muster of them by fathers' houses: Of Judah, the commanders of thousands: Adnah the commander, with 300,000 mighty men of valor; 15and next to him Jehohanan the commander, with 280,000; 16and next to him Amasiah the son of Zichri, a volunteer for the service of the LORD, with 200,000 mighty men of valor. 17Of Benjamin: Eliada, a mighty man of valor, with 200,000 men armed with bow and shield; 18and next to him Jehozabad with 180,000 armed for war. 19These were in the service of the king, besides those whom the king had placed in the fortified cities throughout all Judah.
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-Jehoshaphat Allies with Ahab
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-18:1 Now Jehoshaphat had great riches and honor, and he made a marriage alliance with Ahab. 2After some years he went down to Ahab in Samaria. And Ahab killed an abundance of sheep and oxen for him and for the people who were with him, and induced him to go up against Ramoth-gilead. 3Ahab king of Israel said to Jehoshaphat king of Judah, “Will you go with me to Ramoth-gilead?” He answered him, “I am as you are, my people as your people. We will be with you in the war.”
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-4And Jehoshaphat said to the king of Israel, “Inquire first for the word of the LORD.” 5Then the king of Israel gathered the prophets together, four hundred men, and said to them, “Shall we go to battle against Ramoth-gilead, or shall I refrain?” And they said, “Go up, for God will give it into the hand of the king.” 6But Jehoshaphat said, “Is there not here another prophet of the LORD of whom we may inquire?” 7And the king of Israel said to Jehoshaphat, “There is yet one man by whom we may inquire of the LORD, Micaiah the son of Imlah; but I hate him, for he never prophesies good concerning me, but always evil.” And Jehoshaphat said, “Let not the king say so.” 8Then the king of Israel summoned an officer and said, “Bring quickly Micaiah the son of Imlah.” 9Now the king of Israel and Jehoshaphat the king of Judah were sitting on their thrones, arrayed in their robes. And they were sitting at the threshing floor at the entrance of the gate of Samaria, and all the prophets were prophesying before them. 10And Zedekiah the son of Chenaanah made for himself horns of iron and said, “Thus says the LORD, ‘With these you shall push the Syrians until they are destroyed.’” 11And all the prophets prophesied so and said, “Go up to Ramoth-gilead and triumph. The LORD will give it into the hand of the king.”
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-12And the messenger who went to summon Micaiah said to him, “Behold, the words of the prophets with one accord are favorable to the king. Let your word be like the word of one of them, and speak favorably.” 13But Micaiah said, “As the LORD lives, what my God says, that I will speak.” 14And when he had come to the king, the king said to him, “Micaiah, shall we go to Ramoth-gilead to battle, or shall I refrain?” And he answered, “Go up and triumph; they will be given into your hand.” 15But the king said to him, “How many times shall I make you swear that you speak to me nothing but the truth in the name of the LORD?” 16And he said, “I saw all Israel scattered on the mountains, as sheep that have no shepherd. And the LORD said, ‘These have no master; let each return to his home in peace.’” 17And the king of Israel said to Jehoshaphat, “Did I not tell you that he would not prophesy good concerning me, but evil?” 18And Micaiah said, “Therefore hear the word of the LORD: I saw the LORD sitting on his throne, and all the host of heaven standing on his right hand and on his left. 19And the LORD said, ‘Who will entice Ahab the king of Israel, that he may go up and fall at Ramoth-gilead?’ And one said one thing, and another said another. 20Then a spirit came forward and stood before the LORD, saying, ‘I will entice him.’ And the LORD said to him, ‘By what means?’ 21And he said, ‘I will go out, and will be a lying spirit in the mouth of all his prophets.’ And he said, ‘You are to entice him, and you shall succeed; go out and do so.’ 22Now therefore behold, the LORD has put a lying spirit in the mouth of these your prophets. The LORD has declared disaster concerning you.”
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-23Then Zedekiah the son of Chenaanah came near and struck Micaiah on the cheek and said, “Which way did the Spirit of the LORD go from me to speak to you?” 24And Micaiah said, “Behold, you shall see on that day when you go into an inner chamber to hide yourself.” 25And the king of Israel said, “Seize Micaiah and take him back to Amon the governor of the city and to Joash the king's son, 26and say, ‘Thus says the king, Put this fellow in prison and feed him with meager rations of bread and water until I return in peace.’” 27And Micaiah said, “If you return in peace, the LORD has not spoken by me.” And he said, “Hear, all you peoples!”
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-The Defeat and Death of Ahab
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-28So the king of Israel and Jehoshaphat the king of Judah went up to Ramoth-gilead. 29And the king of Israel said to Jehoshaphat, “I will disguise myself and go into battle, but you wear your robes.” And the king of Israel disguised himself, and they went into battle. 30Now the king of Syria had commanded the captains of his chariots, “Fight with neither small nor great, but only with the king of Israel.” 31As soon as the captains of the chariots saw Jehoshaphat, they said, “It is the king of Israel.” So they turned to fight against him. And Jehoshaphat cried out, and the LORD helped him; God drew them away from him. 32For as soon as the captains of the chariots saw that it was not the king of Israel, they turned back from pursuing him. 33But a certain man drew his bow at random[54] and struck the king of Israel between the scale armor and the breastplate. Therefore he said to the driver of his chariot, “Turn around and carry me out of the battle, for I am wounded.” 34And the battle continued that day, and the king of Israel was propped up in his chariot facing the Syrians until evening. Then at sunset he died.
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-Jehoshaphat's Reforms
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-19:1 Jehoshaphat the king of Judah returned in safety to his house in Jerusalem. 2But Jehu the son of Hanani the seer went out to meet him and said to King Jehoshaphat, “Should you help the wicked and love those who hate the LORD? Because of this, wrath has gone out against you from the LORD. 3Nevertheless, some good is found in you, for you destroyed the Asherahs out of the land, and have set your heart to seek God.”
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-4Jehoshaphat lived at Jerusalem. And he went out again among the people, from Beersheba to the hill country of Ephraim, and brought them back to the LORD, the God of their fathers. 5He appointed judges in the land in all the fortified cities of Judah, city by city, 6and said to the judges, “Consider what you do, for you judge not for man but for the LORD. He is with you in giving judgment. 7Now then, let the fear of the LORD be upon you. Be careful what you do, for there is no injustice with the LORD our God, or partiality or taking bribes.”
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-8Moreover, in Jerusalem Jehoshaphat appointed certain Levites and priests and heads of families of Israel, to give judgment for the LORD and to decide disputed cases. They had their seat at Jerusalem. 9And he charged them: “Thus you shall do in the fear of the LORD, in faithfulness, and with your whole heart: 10whenever a case comes to you from your brothers who live in their cities, concerning bloodshed, law or commandment, statutes or rules, then you shall warn them, that they may not incur guilt before the LORD and wrath may not come upon you and your brothers. Thus you shall do, and you will not incur guilt. 11And behold, Amariah the chief priest is over you in all matters of the LORD; and Zebadiah the son of Ishmael, the governor of the house of Judah, in all the king's matters, and the Levites will serve you as officers. Deal courageously, and may the LORD be with the upright!”[55]
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-Jehoshaphat's Prayer
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-20:1 After this the Moabites and Ammonites, and with them some of the Meunites,[56] came against Jehoshaphat for battle. 2Some men came and told Jehoshaphat, “A great multitude is coming against you from Edom,[57] from beyond the sea; and, behold, they are in Hazazon-tamar” (that is, Engedi). 3Then Jehoshaphat was afraid and set his face to seek the LORD, and proclaimed a fast throughout all Judah. 4And Judah assembled to seek help from the LORD; from all the cities of Judah they came to seek the LORD.
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-5And Jehoshaphat stood in the assembly of Judah and Jerusalem, in the house of the LORD, before the new court, 6and said, “O LORD, God of our fathers, are you not God in heaven? You rule over all the kingdoms of the nations. In your hand are power and might, so that none is able to withstand you. 7Did you not, our God, drive out the inhabitants of this land before your people Israel, and give it forever to the descendants of Abraham your friend? 8And they have lived in it and have built for you in it a sanctuary for your name, saying, 9‘If disaster comes upon us, the sword, judgment,[58] or pestilence, or famine, we will stand before this house and before you—for your name is in this house—and cry out to you in our affliction, and you will hear and save.’ 10And now behold, the men of Ammon and Moab and Mount Seir, whom you would not let Israel invade when they came from the land of Egypt, and whom they avoided and did not destroy— 11behold, they reward us by coming to drive us out of your possession, which you have given us to inherit. 12O our God, will you not execute judgment on them? For we are powerless against this great horde that is coming against us. We do not know what to do, but our eyes are on you.”
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-13Meanwhile all Judah stood before the LORD, with their little ones, their wives, and their children. 14And the Spirit of the LORD came upon Jahaziel the son of Zechariah, son of Benaiah, son of Jeiel, son of Mattaniah, a Levite of the sons of Asaph, in the midst of the assembly. 15And he said, “Listen, all Judah and inhabitants of Jerusalem and King Jehoshaphat: Thus says the LORD to you, ‘Do not be afraid and do not be dismayed at this great horde, for the battle is not yours but God's. 16Tomorrow go down against them. Behold, they will come up by the ascent of Ziz. You will find them at the end of the valley, east of the wilderness of Jeruel. 17You will not need to fight in this battle. Stand firm, hold your position, and see the salvation of the LORD on your behalf, O Judah and Jerusalem.’ Do not be afraid and do not be dismayed. Tomorrow go out against them, and the LORD will be with you.”
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-18Then Jehoshaphat bowed his head with his face to the ground, and all Judah and the inhabitants of Jerusalem fell down before the LORD, worshiping the LORD. 19And the Levites, of the Kohathites and the Korahites, stood up to praise the LORD, the God of Israel, with a very loud voice.
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-20And they rose early in the morning and went out into the wilderness of Tekoa. And when they went out, Jehoshaphat stood and said, “Hear me, Judah and inhabitants of Jerusalem! Believe in the LORD your God, and you will be established; believe his prophets, and you will succeed.” 21And when he had taken counsel with the people, he appointed those who were to sing to the LORD and praise him in holy attire, as they went before the army, and say,
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-“Give thanks to the LORD,
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-for his steadfast love endures forever.”
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-22And when they began to sing and praise, the LORD set an ambush against the men of Ammon, Moab, and Mount Seir, who had come against Judah, so that they were routed. 23For the men of Ammon and Moab rose against the inhabitants of Mount Seir, devoting them to destruction, and when they had made an end of the inhabitants of Seir, they all helped to destroy one another.
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-The LORD Delivers Judah
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-24When Judah came to the watchtower of the wilderness, they looked toward the horde, and behold, there[59] were dead bodies lying on the ground; none had escaped. 25When Jehoshaphat and his people came to take their spoil, they found among them, in great numbers, goods, clothing, and precious things, which they took for themselves until they could carry no more. They were three days in taking the spoil, it was so much. 26On the fourth day they assembled in the Valley of Beracah,[60] for there they blessed the LORD. Therefore the name of that place has been called the Valley of Beracah to this day. 27Then they returned, every man of Judah and Jerusalem, and Jehoshaphat at their head, returning to Jerusalem with joy, for the LORD had made them rejoice over their enemies. 28They came to Jerusalem with harps and lyres and trumpets, to the house of the LORD. 29And the fear of God came on all the kingdoms of the countries when they heard that the LORD had fought against the enemies of Israel. 30So the realm of Jehoshaphat was quiet, for his God gave him rest all around.
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-31Thus Jehoshaphat reigned over Judah. He was thirty-five years old when he began to reign, and he reigned twenty-five years in Jerusalem. His mother's name was Azubah the daughter of Shilhi. 32He walked in the way of Asa his father and did not turn aside from it, doing what was right in the sight of the LORD. 33The high places, however, were not taken away; the people had not yet set their hearts upon the God of their fathers.
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-34Now the rest of the acts of Jehoshaphat, from first to last, are written in the chronicles of Jehu the son of Hanani, which are recorded in the Book of the Kings of Israel.
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-The End of Jehoshaphat's Reign
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-35After this Jehoshaphat king of Judah joined with Ahaziah king of Israel, who acted wickedly. 36He joined him in building ships to go to Tarshish, and they built the ships in Ezion-geber. 37Then Eliezer the son of Dodavahu of Mareshah prophesied against Jehoshaphat, saying, “Because you have joined with Ahaziah, the LORD will destroy what you have made.” And the ships were wrecked and were not able to go to Tarshish.
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-Jehoram Reigns in Judah
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-21:1 Jehoshaphat slept with his fathers and was buried with his fathers in the city of David, and Jehoram his son reigned in his place. 2He had brothers, the sons of Jehoshaphat: Azariah, Jehiel, Zechariah, Azariah, Michael, and Shephatiah; all these were the sons of Jehoshaphat king of Israel.[61] 3Their father gave them great gifts of silver, gold, and valuable possessions, together with fortified cities in Judah, but he gave the kingdom to Jehoram, because he was the firstborn. 4When Jehoram had ascended the throne of his father and was established, he killed all his brothers with the sword, and also some of the princes of Israel. 5Jehoram was thirty-two years old when he became king, and he reigned eight years in Jerusalem. 6And he walked in the way of the kings of Israel, as the house of Ahab had done, for the daughter of Ahab was his wife. And he did what was evil in the sight of the LORD. 7Yet the LORD was not willing to destroy the house of David, because of the covenant that he had made with David, and since he had promised to give a lamp to him and to his sons forever.
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-8In his days Edom revolted from the rule of Judah and set up a king of their own. 9Then Jehoram passed over with his commanders and all his chariots, and he rose by night and struck the Edomites who had surrounded him and his chariot commanders. 10So Edom revolted from the rule of Judah to this day. At that time Libnah also revolted from his rule, because he had forsaken the LORD, the God of his fathers.
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-11Moreover, he made high places in the hill country of Judah and led the inhabitants of Jerusalem into whoredom and made Judah go astray. 12And a letter came to him from Elijah the prophet, saying, “Thus says the LORD, the God of David your father, ‘Because you have not walked in the ways of Jehoshaphat your father, or in the ways of Asa king of Judah, 13but have walked in the way of the kings of Israel and have enticed Judah and the inhabitants of Jerusalem into whoredom, as the house of Ahab led Israel into whoredom, and also you have killed your brothers, of your father's house, who were better than yourself, 14behold, the LORD will bring a great plague on your people, your children, your wives, and all your possessions, 15and you yourself will have a severe sickness with a disease of your bowels, until your bowels come out because of the disease, day by day.’”
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-16And the LORD stirred up against Jehoram the anger[62] of the Philistines and of the Arabians who are near the Ethiopians. 17And they came up against Judah and invaded it and carried away all the possessions they found that belonged to the king's house, and also his sons and his wives, so that no son was left to him except Jehoahaz, his youngest son.
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-18And after all this the LORD struck him in his bowels with an incurable disease. 19In the course of time, at the end of two years, his bowels came out because of the disease, and he died in great agony. His people made no fire in his honor, like the fires made for his fathers. 20He was thirty-two years old when he began to reign, and he reigned eight years in Jerusalem. And he departed with no one's regret. They buried him in the city of David, but not in the tombs of the kings.
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-Ahaziah Reigns in Judah
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-22:1 And the inhabitants of Jerusalem made Ahaziah, his youngest son, king in his place, for the band of men that came with the Arabians to the camp had killed all the older sons. So Ahaziah the son of Jehoram king of Judah reigned. 2Ahaziah was twenty-two years old when he began to reign, and he reigned one year in Jerusalem. His mother's name was Athaliah, the granddaughter of Omri. 3He also walked in the ways of the house of Ahab, for his mother was his counselor in doing wickedly. 4He did what was evil in the sight of the LORD, as the house of Ahab had done. For after the death of his father they were his counselors, to his undoing. 5He even followed their counsel and went with Jehoram the son of Ahab king of Israel to make war against Hazael king of Syria at Ramoth-gilead. And the Syrians wounded Joram, 6and he returned to be healed in Jezreel of the wounds that he had received at Ramah, when he fought against Hazael king of Syria. And Ahaziah the son of Jehoram king of Judah went down to see Joram the son of Ahab in Jezreel, because he was wounded.
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-7But it was ordained by God that the downfall of Ahaziah should come about through his going to visit Joram. For when he came there, he went out with Jehoram to meet Jehu the son of Nimshi, whom the LORD had anointed to destroy the house of Ahab. 8And when Jehu was executing judgment on the house of Ahab, he met the princes of Judah and the sons of Ahaziah's brothers, who attended Ahaziah, and he killed them. 9He searched for Ahaziah, and he was captured while hiding in Samaria, and he was brought to Jehu and put to death. They buried him, for they said, “He is the grandson of Jehoshaphat, who sought the LORD with all his heart.” And the house of Ahaziah had no one able to rule the kingdom.
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-Athaliah Reigns in Judah
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-10Now when Athaliah the mother of Ahaziah saw that her son was dead, she arose and destroyed all the royal family of the house of Judah. 11But Jehoshabeath,[63] the daughter of the king, took Joash the son of Ahaziah and stole him away from among the king's sons who were about to be put to death, and she put him and his nurse in a bedroom. Thus Jehoshabeath, the daughter of King Jehoram and wife of Jehoiada the priest, because she was a sister of Ahaziah, hid him[64] from Athaliah, so that she did not put him to death. 12And he remained with them six years, hidden in the house of God, while Athaliah reigned over the land.
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-Joash Made King
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-23:1 But in the seventh year Jehoiada took courage and entered into a covenant with the commanders of hundreds, Azariah the son of Jeroham, Ishmael the son of Jehohanan, Azariah the son of Obed, Maaseiah the son of Adaiah, and Elishaphat the son of Zichri. 2And they went about through Judah and gathered the Levites from all the cities of Judah, and the heads of fathers' houses of Israel, and they came to Jerusalem. 3And all the assembly made a covenant with the king in the house of God. And Jehoiada[65] said to them, “Behold, the king's son! Let him reign, as the LORD spoke concerning the sons of David. 4This is the thing that you shall do: of you priests and Levites who come off duty on the Sabbath, one third shall be gatekeepers, 5and one third shall be at the king's house and one third at the Gate of the Foundation. And all the people shall be in the courts of the house of the LORD. 6Let no one enter the house of the LORD except the priests and ministering Levites. They may enter, for they are holy, but all the people shall keep the charge of the LORD. 7The Levites shall surround the king, each with his weapons in his hand. And whoever enters the house shall be put to death. Be with the king when he comes in and when he goes out.”
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-8The Levites and all Judah did according to all that Jehoiada the priest commanded, and they each brought his men, who were to go off duty on the Sabbath, with those who were to come on duty on the Sabbath, for Jehoiada the priest did not dismiss the divisions. 9And Jehoiada the priest gave to the captains the spears and the large and small shields that had been King David's, which were in the house of God. 10And he set all the people as a guard for the king, every man with his weapon in his hand, from the south side of the house to the north side of the house, around the altar and the house. 11Then they brought out the king's son and put the crown on him and gave him the testimony. And they proclaimed him king, and Jehoiada and his sons anointed him, and they said, “Long live the king.”
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-Athaliah Executed
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-12When Athaliah heard the noise of the people running and praising the king, she went into the house of the LORD to the people. 13And when she looked, there was the king standing by his pillar at the entrance, and the captains and the trumpeters beside the king, and all the people of the land rejoicing and blowing trumpets, and the singers with their musical instruments leading in the celebration. And Athaliah tore her clothes and cried, “Treason! Treason!” 14Then Jehoiada the priest brought out the captains who were set over the army, saying to them, “Bring her out between the ranks, and anyone who follows her is to be put to death with the sword.” For the priest said, “Do not put her to death in the house of the LORD.” 15So they laid hands on her,[66] and she went into the entrance of the horse gate of the king's house, and they put her to death there.
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-Jehoiada's Reforms
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-16And Jehoiada made a covenant between himself and all the people and the king that they should be the LORD's people. 17Then all the people went to the house of Baal and tore it down; his altars and his images they broke in pieces, and they killed Mattan the priest of Baal before the altars. 18And Jehoiada posted watchmen for the house of the LORD under the direction of the Levitical priests and the Levites whom David had organized to be in charge of the house of the LORD, to offer burnt offerings to the LORD, as it is written in the Law of Moses, with rejoicing and with singing, according to the order of David. 19He stationed the gatekeepers at the gates of the house of the LORD so that no one should enter who was in any way unclean. 20And he took the captains, the nobles, the governors of the people, and all the people of the land, and they brought the king down from the house of the LORD, marching through the upper gate to the king's house. And they set the king on the royal throne. 21So all the people of the land rejoiced, and the city was quiet after Athaliah had been put to death with the sword.
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-Joash Repairs the Temple
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-24:1 Joash[67] was seven years old when he began to reign, and he reigned forty years in Jerusalem. His mother's name was Zibiah of Beersheba. 2And Joash did what was right in the eyes of the LORD all the days of Jehoiada the priest. 3Jehoiada got for him two wives, and he had sons and daughters.
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-4After this Joash decided to restore the house of the LORD. 5And he gathered the priests and the Levites and said to them, “Go out to the cities of Judah and gather from all Israel money to repair the house of your God from year to year, and see that you act quickly.” But the Levites did not act quickly. 6So the king summoned Jehoiada the chief and said to him, “Why have you not required the Levites to bring in from Judah and Jerusalem the tax levied by Moses, the servant of the LORD, and the congregation of Israel for the tent of testimony?” 7For the sons of Athaliah, that wicked woman, had broken into the house of God, and had also used all the dedicated things of the house of the LORD for the Baals.
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-8So the king commanded, and they made a chest and set it outside the gate of the house of the LORD. 9And proclamation was made throughout Judah and Jerusalem to bring in for the LORD the tax that Moses the servant of God laid on Israel in the wilderness. 10And all the princes and all the people rejoiced and brought their tax and dropped it into the chest until they had finished.[68] 11And whenever the chest was brought to the king's officers by the Levites, when they saw that there was much money in it, the king's secretary and the officer of the chief priest would come and empty the chest and take it and return it to its place. Thus they did day after day, and collected money in abundance. 12And the king and Jehoiada gave it to those who had charge of the work of the house of the LORD, and they hired masons and carpenters to restore the house of the LORD, and also workers in iron and bronze to repair the house of the LORD. 13So those who were engaged in the work labored, and the repairing went forward in their hands, and they restored the house of God to its proper condition and strengthened it. 14And when they had finished, they brought the rest of the money before the king and Jehoiada, and with it were made utensils for the house of the LORD, both for the service and for the burnt offerings, and dishes for incense and vessels of gold and silver. And they offered burnt offerings in the house of the LORD regularly all the days of Jehoiada.
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-15But Jehoiada grew old and full of days, and died. He was 130 years old at his death. 16And they buried him in the city of David among the kings, because he had done good in Israel, and toward God and his house.
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-17Now after the death of Jehoiada the princes of Judah came and paid homage to the king. Then the king listened to them. 18And they abandoned the house of the LORD, the God of their fathers, and served the Asherim and the idols. And wrath came upon Judah and Jerusalem for this guilt of theirs. 19Yet he sent prophets among them to bring them back to the LORD. These testified against them, but they would not pay attention.
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-Joash's Treachery
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-20Then the Spirit of God clothed Zechariah the son of Jehoiada the priest, and he stood above the people, and said to them, “Thus says God, ‘Why do you break the commandments of the LORD, so that you cannot prosper? Because you have forsaken the LORD, he has forsaken you.’” 21But they conspired against him, and by command of the king they stoned him with stones in the court of the house of the LORD. 22Thus Joash the king did not remember the kindness that Jehoiada, Zechariah's father, had shown him, but killed his son. And when he was dying, he said, “May the LORD see and avenge!”[69]
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-Joash Assassinated
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-23At the end of the year the army of the Syrians came up against Joash. They came to Judah and Jerusalem and destroyed all the princes of the people from among the people and sent all their spoil to the king of Damascus. 24Though the army of the Syrians had come with few men, the LORD delivered into their hand a very great army, because Judah[70] had forsaken the LORD, the God of their fathers. Thus they executed judgment on Joash.
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-25When they had departed from him, leaving him severely wounded, his servants conspired against him because of the blood of the son[71] of Jehoiada the priest, and killed him on his bed. So he died, and they buried him in the city of David, but they did not bury him in the tombs of the kings. 26Those who conspired against him were Zabad the son of Shimeath the Ammonite, and Jehozabad the son of Shimrith the Moabite. 27Accounts of his sons and of the many oracles against him and of the rebuilding[72] of the house of God are written in the Story of the Book of the Kings. And Amaziah his son reigned in his place.
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-Amaziah Reigns in Judah
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-25:1 Amaziah was twenty-five years old when he began to reign, and he reigned twenty-nine years in Jerusalem. His mother's name was Jehoaddan of Jerusalem. 2And he did what was right in the eyes of the LORD, yet not with a whole heart. 3And as soon as the royal power was firmly his, he killed his servants who had struck down the king his father. 4But he did not put their children to death, according to what is written in the Law, in the Book of Moses, where the LORD commanded, “Fathers shall not die because of their children, nor children die because of their fathers, but each one shall die for his own sin.”
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-Amaziah's Victories
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-5Then Amaziah assembled the men of Judah and set them by fathers' houses under commanders of thousands and of hundreds for all Judah and Benjamin. He mustered those twenty years old and upward, and found that they were 300,000 choice men, fit for war, able to handle spear and shield. 6He hired also 100,000 mighty men of valor from Israel for 100 talents[73] of silver. 7But a man of God came to him and said, “O king, do not let the army of Israel go with you, for the LORD is not with Israel, with all these Ephraimites. 8But go, act, be strong for the battle. Why should you suppose that God will cast you down before the enemy? For God has power to help or to cast down.” 9And Amaziah said to the man of God, “But what shall we do about the hundred talents that I have given to the army of Israel?” The man of God answered, “The LORD is able to give you much more than this.” 10Then Amaziah discharged the army that had come to him from Ephraim to go home again. And they became very angry with Judah and returned home in fierce anger. 11But Amaziah took courage and led out his people and went to the Valley of Salt and struck down 10,000 men of Seir. 12The men of Judah captured another 10,000 alive and took them to the top of a rock and threw them down from the top of the rock, and they were all dashed to pieces. 13But the men of the army whom Amaziah sent back, not letting them go with him to battle, raided the cities of Judah, from Samaria to Beth-horon, and struck down 3,000 people in them and took much spoil.
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-Amaziah's Idolatry
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-14After Amaziah came from striking down the Edomites, he brought the gods of the men of Seir and set them up as his gods and worshiped them, making offerings to them. 15Therefore the LORD was angry with Amaziah and sent to him a prophet, who said to him, “Why have you sought the gods of a people who did not deliver their own people from your hand?” 16But as he was speaking, the king said to him, “Have we made you a royal counselor? Stop! Why should you be struck down?” So the prophet stopped, but said, “I know that God has determined to destroy you, because you have done this and have not listened to my counsel.”
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-Israel Defeats Amaziah
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-17Then Amaziah king of Judah took counsel and sent to Joash the son of Jehoahaz, son of Jehu, king of Israel, saying, “Come, let us look one another in the face.” 18And Joash the king of Israel sent word to Amaziah king of Judah, “A thistle on Lebanon sent to a cedar on Lebanon, saying, ‘Give your daughter to my son for a wife,’ and a wild beast of Lebanon passed by and trampled down the thistle. 19You say, ‘See, I[74] have struck down Edom,’ and your heart has lifted you up in boastfulness. But now stay at home. Why should you provoke trouble so that you fall, you and Judah with you?”
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-20But Amaziah would not listen, for it was of God, in order that he might give them into the hand of their enemies, because they had sought the gods of Edom. 21So Joash king of Israel went up, and he and Amaziah king of Judah faced one another in battle at Beth-shemesh, which belongs to Judah. 22And Judah was defeated by Israel, and every man fled to his home. 23And Joash king of Israel captured Amaziah king of Judah, the son of Joash, son of Ahaziah, at Beth-shemesh, and brought him to Jerusalem and broke down the wall of Jerusalem for 400 cubits,[75] from the Ephraim Gate to the Corner Gate. 24And he seized all the gold and silver, and all the vessels that were found in the house of God, in the care of Obed-edom. He seized also the treasuries of the king's house, also hostages, and he returned to Samaria.
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-25Amaziah the son of Joash, king of Judah, lived fifteen years after the death of Joash the son of Jehoahaz, king of Israel. 26Now the rest of the deeds of Amaziah, from first to last, are they not written in the Book of the Kings of Judah and Israel? 27From the time when he turned away from the LORD they made a conspiracy against him in Jerusalem, and he fled to Lachish. But they sent after him to Lachish and put him to death there. 28And they brought him upon horses, and he was buried with his fathers in the city of David.[76]
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-Uzziah Reigns in Judah
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-26:1 And all the people of Judah took Uzziah, who was sixteen years old, and made him king instead of his father Amaziah. 2He built Eloth and restored it to Judah, after the king slept with his fathers. 3Uzziah was sixteen years old when he began to reign, and he reigned fifty-two years in Jerusalem. His mother's name was Jecoliah of Jerusalem. 4And he did what was right in the eyes of the LORD, according to all that his father Amaziah had done. 5He set himself to seek God in the days of Zechariah, who instructed him in the fear of God, and as long as he sought the LORD, God made him prosper.
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-6He went out and made war against the Philistines and broke through the wall of Gath and the wall of Jabneh and the wall of Ashdod, and he built cities in the territory of Ashdod and elsewhere among the Philistines. 7God helped him against the Philistines and against the Arabians who lived in Gurbaal and against the Meunites. 8The Ammonites paid tribute to Uzziah, and his fame spread even to the border of Egypt, for he became very strong. 9Moreover, Uzziah built towers in Jerusalem at the Corner Gate and at the Valley Gate and at the Angle, and fortified them. 10And he built towers in the wilderness and cut out many cisterns, for he had large herds, both in the Shephelah and in the plain, and he had farmers and vinedressers in the hills and in the fertile lands, for he loved the soil. 11Moreover, Uzziah had an army of soldiers, fit for war, in divisions according to the numbers in the muster made by Jeiel the secretary and Maaseiah the officer, under the direction of Hananiah, one of the king's commanders. 12The whole number of the heads of fathers' houses of mighty men of valor was 2,600. 13Under their command was an army of 307,500, who could make war with mighty power, to help the king against the enemy. 14And Uzziah prepared for all the army shields, spears, helmets, coats of mail, bows, and stones for slinging. 15In Jerusalem he made engines, invented by skillful men, to be on the towers and the corners, to shoot arrows and great stones. And his fame spread far, for he was marvelously helped, till he was strong.
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-Uzziah's Pride and Punishment
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-16But when he was strong, he grew proud, to his destruction. For he was unfaithful to the LORD his God and entered the temple of the LORD to burn incense on the altar of incense. 17But Azariah the priest went in after him, with eighty priests of the LORD who were men of valor, 18and they withstood King Uzziah and said to him, “It is not for you, Uzziah, to burn incense to the LORD, but for the priests, the sons of Aaron, who are consecrated to burn incense. Go out of the sanctuary, for you have done wrong, and it will bring you no honor from the LORD God.” 19Then Uzziah was angry. Now he had a censer in his hand to burn incense, and when he became angry with the priests, leprosy[77] broke out on his forehead in the presence of the priests in the house of the LORD, by the altar of incense. 20And Azariah the chief priest and all the priests looked at him, and behold, he was leprous in his forehead! And they rushed him out quickly, and he himself hurried to go out, because the LORD had struck him. 21And King Uzziah was a leper to the day of his death, and being a leper lived in a separate house, for he was excluded from the house of the LORD. And Jotham his son was over the king's household, governing the people of the land.
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-22Now the rest of the acts of Uzziah, from first to last, Isaiah the prophet the son of Amoz wrote. 23And Uzziah slept with his fathers, and they buried him with his fathers in the burial field that belonged to the kings, for they said, “He is a leper.” And Jotham his son reigned in his place.
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-Jotham Reigns in Judah
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-27:1 Jotham was twenty-five years old when he began to reign, and he reigned sixteen years in Jerusalem. His mother's name was Jerushah the daughter of Zadok. 2And he did what was right in the eyes of the LORD according to all that his father Uzziah had done, except he did not enter the temple of the LORD. But the people still followed corrupt practices. 3He built the upper gate of the house of the LORD and did much building on the wall of Ophel. 4Moreover, he built cities in the hill country of Judah, and forts and towers on the wooded hills. 5He fought with the king of the Ammonites and prevailed against them. And the Ammonites gave him that year 100 talents[78] of silver, and 10,000 cors[79] of wheat and 10,000 of barley. The Ammonites paid him the same amount in the second and the third years. 6So Jotham became mighty, because he ordered his ways before the LORD his God. 7Now the rest of the acts of Jotham, and all his wars and his ways, behold, they are written in the Book of the Kings of Israel and Judah. 8He was twenty-five years old when he began to reign, and he reigned sixteen years in Jerusalem. 9And Jotham slept with his fathers, and they buried him in the city of David, and Ahaz his son reigned in his place.
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-Ahaz Reigns in Judah
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-28:1 Ahaz was twenty years old when he began to reign, and he reigned sixteen years in Jerusalem. And he did not do what was right in the eyes of the LORD, as his father David had done, 2but he walked in the ways of the kings of Israel. He even made metal images for the Baals, 3and he made offerings in the Valley of the Son of Hinnom and burned his sons as an offering,[80] according to the abominations of the nations whom the LORD drove out before the people of Israel. 4And he sacrificed and made offerings on the high places and on the hills and under every green tree.
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-Judah Defeated
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-5Therefore the LORD his God gave him into the hand of the king of Syria, who defeated him and took captive a great number of his people and brought them to Damascus. He was also given into the hand of the king of Israel, who struck him with great force. 6For Pekah the son of Remaliah killed 120,000 from Judah in one day, all of them men of valor, because they had forsaken the LORD, the God of their fathers. 7And Zichri, a mighty man of Ephraim, killed Maaseiah the king's son and Azrikam the commander of the palace and Elkanah the next in authority to the king.
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-8The men of Israel took captive 200,000 of their relatives, women, sons, and daughters. They also took much spoil from them and brought the spoil to Samaria. 9But a prophet of the LORD was there, whose name was Oded, and he went out to meet the army that came to Samaria and said to them, “Behold, because the LORD, the God of your fathers, was angry with Judah, he gave them into your hand, but you have killed them in a rage that has reached up to heaven. 10And now you intend to subjugate the people of Judah and Jerusalem, male and female, as your slaves. Have you not sins of your own against the LORD your God? 11Now hear me, and send back the captives from your relatives whom you have taken, for the fierce wrath of the LORD is upon you.”
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-12Certain chiefs also of the men of Ephraim, Azariah the son of Johanan, Berechiah the son of Meshillemoth, Jehizkiah the son of Shallum, and Amasa the son of Hadlai, stood up against those who were coming from the war 13and said to them, “You shall not bring the captives in here, for you propose to bring upon us guilt against the LORD in addition to our present sins and guilt. For our guilt is already great, and there is fierce wrath against Israel.” 14So the armed men left the captives and the spoil before the princes and all the assembly. 15And the men who have been mentioned by name rose and took the captives, and with the spoil they clothed all who were naked among them. They clothed them, gave them sandals, provided them with food and drink, and anointed them, and carrying all the feeble among them on donkeys, they brought them to their kinsfolk at Jericho, the city of palm trees. Then they returned to Samaria.
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-16At that time King Ahaz sent to the king[81] of Assyria for help. 17For the Edomites had again invaded and defeated Judah and carried away captives. 18And the Philistines had made raids on the cities in the Shephelah and the Negeb of Judah, and had taken Beth-shemesh, Aijalon, Gederoth, Soco with its villages, Timnah with its villages, and Gimzo with its villages. And they settled there. 19For the LORD humbled Judah because of Ahaz king of Israel, for he had made Judah act sinfully[82] and had been very unfaithful to the LORD. 20So Tiglath-pileser[83] king of Assyria came against him and afflicted him instead of strengthening him. 21For Ahaz took a portion from the house of the LORD and the house of the king and of the princes, and gave tribute to the king of Assyria, but it did not help him.
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-Ahaz's Idolatry
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-22In the time of his distress he became yet more faithless to the LORD—this same King Ahaz. 23For he sacrificed to the gods of Damascus that had defeated him and said, “Because the gods of the kings of Syria helped them, I will sacrifice to them that they may help me.” But they were the ruin of him and of all Israel. 24And Ahaz gathered together the vessels of the house of God and cut in pieces the vessels of the house of God, and he shut up the doors of the house of the LORD, and he made himself altars in every corner of Jerusalem. 25In every city of Judah he made high places to make offerings to other gods, provoking to anger the LORD, the God of his fathers. 26Now the rest of his acts and all his ways, from first to last, behold, they are written in the Book of the Kings of Judah and Israel. 27And Ahaz slept with his fathers, and they buried him in the city, in Jerusalem, for they did not bring him into the tombs of the kings of Israel. And Hezekiah his son reigned in his place.
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-Hezekiah Reigns in Judah
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-29:1 Hezekiah began to reign when he was twenty-five years old, and he reigned twenty-nine years in Jerusalem. His mother's name was Abijah[84] the daughter of Zechariah. 2And he did what was right in the eyes of the LORD, according to all that David his father had done.
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-Hezekiah Cleanses the Temple
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-3In the first year of his reign, in the first month, he opened the doors of the house of the LORD and repaired them. 4He brought in the priests and the Levites and assembled them in the square on the east 5and said to them, “Hear me, Levites! Now consecrate yourselves, and consecrate the house of the LORD, the God of your fathers, and carry out the filth from the Holy Place. 6For our fathers have been unfaithful and have done what was evil in the sight of the LORD our God. They have forsaken him and have turned away their faces from the habitation of the LORD and turned their backs. 7They also shut the doors of the vestibule and put out the lamps and have not burned incense or offered burnt offerings in the Holy Place to the God of Israel. 8Therefore the wrath of the LORD came on Judah and Jerusalem, and he has made them an object of horror, of astonishment, and of hissing, as you see with your own eyes. 9For behold, our fathers have fallen by the sword, and our sons and our daughters and our wives are in captivity for this. 10Now it is in my heart to make a covenant with the LORD, the God of Israel, in order that his fierce anger may turn away from us. 11My sons, do not now be negligent, for the LORD has chosen you to stand in his presence, to minister to him and to be his ministers and make offerings to him.”
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-12Then the Levites arose, Mahath the son of Amasai, and Joel the son of Azariah, of the sons of the Kohathites; and of the sons of Merari, Kish the son of Abdi, and Azariah the son of Jehallelel; and of the Gershonites, Joah the son of Zimmah, and Eden the son of Joah; 13and of the sons of Elizaphan, Shimri and Jeuel; and of the sons of Asaph, Zechariah and Mattaniah; 14and of the sons of Heman, Jehuel and Shimei; and of the sons of Jeduthun, Shemaiah and Uzziel. 15They gathered their brothers and consecrated themselves and went in as the king had commanded, by the words of the LORD, to cleanse the house of the LORD. 16The priests went into the inner part of the house of the LORD to cleanse it, and they brought out all the uncleanness that they found in the temple of the LORD into the court of the house of the LORD. And the Levites took it and carried it out to the brook Kidron. 17They began to consecrate on the first day of the first month, and on the eighth day of the month they came to the vestibule of the LORD. Then for eight days they consecrated the house of the LORD, and on the sixteenth day of the first month they finished. 18Then they went in to Hezekiah the king and said, “We have cleansed all the house of the LORD, the altar of burnt offering and all its utensils, and the table for the showbread and all its utensils. 19All the utensils that King Ahaz discarded in his reign when he was faithless, we have made ready and consecrated, and behold, they are before the altar of the LORD.”
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-Hezekiah Restores Temple Worship
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-20Then Hezekiah the king rose early and gathered the officials of the city and went up to the house of the LORD. 21And they brought seven bulls, seven rams, seven lambs, and seven male goats for a sin offering for the kingdom and for the sanctuary and for Judah. And he commanded the priests, the sons of Aaron, to offer them on the altar of the LORD. 22So they slaughtered the bulls, and the priests received the blood and threw it against the altar. And they slaughtered the rams, and their blood was thrown against the altar. And they slaughtered the lambs, and their blood was thrown against the altar. 23Then the goats for the sin offering were brought to the king and the assembly, and they laid their hands on them, 24and the priests slaughtered them and made a sin offering with their blood on the altar, to make atonement for all Israel. For the king commanded that the burnt offering and the sin offering should be made for all Israel.
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-25And he stationed the Levites in the house of the LORD with cymbals, harps, and lyres, according to the commandment of David and of Gad the king's seer and of Nathan the prophet, for the commandment was from the LORD through his prophets. 26The Levites stood with the instruments of David, and the priests with the trumpets. 27Then Hezekiah commanded that the burnt offering be offered on the altar. And when the burnt offering began, the song to the LORD began also, and the trumpets, accompanied by the instruments of David king of Israel. 28The whole assembly worshiped, and the singers sang, and the trumpeters sounded. All this continued until the burnt offering was finished. 29When the offering was finished, the king and all who were present with him bowed themselves and worshiped. 30And Hezekiah the king and the officials commanded the Levites to sing praises to the LORD with the words of David and of Asaph the seer. And they sang praises with gladness, and they bowed down and worshiped.
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-31Then Hezekiah said, “You have now consecrated yourselves to[85] the LORD. Come near; bring sacrifices and thank offerings to the house of the LORD.” And the assembly brought sacrifices and thank offerings, and all who were of a willing heart brought burnt offerings. 32The number of the burnt offerings that the assembly brought was 70 bulls, 100 rams, and 200 lambs; all these were for a burnt offering to the LORD. 33And the consecrated offerings were 600 bulls and 3,000 sheep. 34But the priests were too few and could not flay all the burnt offerings, so until other priests had consecrated themselves, their brothers the Levites helped them, until the work was finished—for the Levites were more upright in heart than the priests in consecrating themselves. 35Besides the great number of burnt offerings, there was the fat of the peace offerings, and there were the drink offerings for the burnt offerings. Thus the service of the house of the LORD was restored. 36And Hezekiah and all the people rejoiced because God had prepared for the people, for the thing came about suddenly.
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-Passover Celebrated
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-30:1 Hezekiah sent to all Israel and Judah, and wrote letters also to Ephraim and Manasseh, that they should come to the house of the LORD at Jerusalem to keep the Passover to the LORD, the God of Israel. 2For the king and his princes and all the assembly in Jerusalem had taken counsel to keep the Passover in the second month— 3for they could not keep it at that time because the priests had not consecrated themselves in sufficient number, nor had the people assembled in Jerusalem— 4and the plan seemed right to the king and all the assembly. 5So they decreed to make a proclamation throughout all Israel, from Beersheba to Dan, that the people should come and keep the Passover to the LORD, the God of Israel, at Jerusalem, for they had not kept it as often as prescribed. 6So couriers went throughout all Israel and Judah with letters from the king and his princes, as the king had commanded, saying, “O people of Israel, return to the LORD, the God of Abraham, Isaac, and Israel, that he may turn again to the remnant of you who have escaped from the hand of the kings of Assyria. 7Do not be like your fathers and your brothers, who were faithless to the LORD God of their fathers, so that he made them a desolation, as you see. 8Do not now be stiff-necked as your fathers were, but yield yourselves to the LORD and come to his sanctuary, which he has consecrated forever, and serve the LORD your God, that his fierce anger may turn away from you. 9For if you return to the LORD, your brothers and your children will find compassion with their captors and return to this land. For the LORD your God is gracious and merciful and will not turn away his face from you, if you return to him.”
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-10So the couriers went from city to city through the country of Ephraim and Manasseh, and as far as Zebulun, but they laughed them to scorn and mocked them. 11However, some men of Asher, of Manasseh, and of Zebulun humbled themselves and came to Jerusalem. 12The hand of God was also on Judah to give them one heart to do what the king and the princes commanded by the word of the LORD.
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-13And many people came together in Jerusalem to keep the Feast of Unleavened Bread in the second month, a very great assembly. 14They set to work and removed the altars that were in Jerusalem, and all the altars for burning incense they took away and threw into the Kidron Valley. 15And they slaughtered the Passover lamb on the fourteenth day of the second month. And the priests and the Levites were ashamed, so that they consecrated themselves and brought burnt offerings into the house of the LORD. 16They took their accustomed posts according to the Law of Moses the man of God. The priests threw the blood that they received from the hand of the Levites. 17For there were many in the assembly who had not consecrated themselves. Therefore the Levites had to slaughter the Passover lamb for everyone who was not clean, to consecrate it to the LORD. 18For a majority of the people, many of them from Ephraim, Manasseh, Issachar, and Zebulun, had not cleansed themselves, yet they ate the Passover otherwise than as prescribed. For Hezekiah had prayed for them, saying, “May the good LORD pardon everyone 19who sets his heart to seek God, the LORD, the God of his fathers, even though not according to the sanctuary's rules of cleanness.”[86] 20And the LORD heard Hezekiah and healed the people. 21And the people of Israel who were present at Jerusalem kept the Feast of Unleavened Bread seven days with great gladness, and the Levites and the priests praised the LORD day by day, singing with all their might[87] to the LORD. 22And Hezekiah spoke encouragingly to all the Levites who showed good skill in the service of the LORD. So they ate the food of the festival for seven days, sacrificing peace offerings and giving thanks to the LORD, the God of their fathers.
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-23Then the whole assembly agreed together to keep the feast for another seven days. So they kept it for another seven days with gladness. 24For Hezekiah king of Judah gave the assembly 1,000 bulls and 7,000 sheep for offerings, and the princes gave the assembly 1,000 bulls and 10,000 sheep. And the priests consecrated themselves in great numbers. 25The whole assembly of Judah, and the priests and the Levites, and the whole assembly that came out of Israel, and the sojourners who came out of the land of Israel, and the sojourners who lived in Judah, rejoiced. 26So there was great joy in Jerusalem, for since the time of Solomon the son of David king of Israel there had been nothing like this in Jerusalem. 27Then the priests and the Levites arose and blessed the people, and their voice was heard, and their prayer came to his holy habitation in heaven.
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-Hezekiah Organizes the Priests
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-31:1 Now when all this was finished, all Israel who were present went out to the cities of Judah and broke in pieces the pillars and cut down the Asherim and broke down the high places and the altars throughout all Judah and Benjamin, and in Ephraim and Manasseh, until they had destroyed them all. Then all the people of Israel returned to their cities, every man to his possession.
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-2And Hezekiah appointed the divisions of the priests and of the Levites, division by division, each according to his service, the priests and the Levites, for burnt offerings and peace offerings, to minister in the gates of the camp of the LORD and to give thanks and praise. 3The contribution of the king from his own possessions was for the burnt offerings: the burnt offerings of morning and evening, and the burnt offerings for the Sabbaths, the new moons, and the appointed feasts, as it is written in the Law of the LORD. 4And he commanded the people who lived in Jerusalem to give the portion due to the priests and the Levites, that they might give themselves to the Law of the LORD. 5As soon as the command was spread abroad, the people of Israel gave in abundance the firstfruits of grain, wine, oil, honey, and of all the produce of the field. And they brought in abundantly the tithe of everything. 6And the people of Israel and Judah who lived in the cities of Judah also brought in the tithe of cattle and sheep, and the tithe of the dedicated things that had been dedicated to the LORD their God, and laid them in heaps. 7In the third month they began to pile up the heaps, and finished them in the seventh month. 8When Hezekiah and the princes came and saw the heaps, they blessed the LORD and his people Israel. 9And Hezekiah questioned the priests and the Levites about the heaps. 10Azariah the chief priest, who was of the house of Zadok, answered him, “Since they began to bring the contributions into the house of the LORD, we have eaten and had enough and have plenty left, for the LORD has blessed his people, so that we have this large amount left.”
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-11Then Hezekiah commanded them to prepare chambers in the house of the LORD, and they prepared them. 12And they faithfully brought in the contributions, the tithes, and the dedicated things. The chief officer in charge of them was Conaniah the Levite, with Shimei his brother as second, 13while Jehiel, Azaziah, Nahath, Asahel, Jerimoth, Jozabad, Eliel, Ismachiah, Mahath, and Benaiah were overseers assisting Conaniah and Shimei his brother, by the appointment of Hezekiah the king and Azariah the chief officer of the house of God. 14And Kore the son of Imnah the Levite, keeper of the east gate, was over the freewill offerings to God, to apportion the contribution reserved for the LORD and the most holy offerings. 15Eden, Miniamin, Jeshua, Shemaiah, Amariah, and Shecaniah were faithfully assisting him in the cities of the priests, to distribute the portions to their brothers, old and young alike, by divisions, 16except those enrolled by genealogy, males from three years old and upward—all who entered the house of the LORD as the duty of each day required—for their service according to their offices, by their divisions. 17The enrollment of the priests was according to their fathers' houses; that of the Levites from twenty years old and upward was according to their offices, by their divisions. 18They were enrolled with all their little children, their wives, their sons, and their daughters, the whole assembly, for they were faithful in keeping themselves holy. 19And for the sons of Aaron, the priests, who were in the fields of common land belonging to their cities, there were men in the several cities who were designated by name to distribute portions to every male among the priests and to everyone among the Levites who was enrolled.
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-20Thus Hezekiah did throughout all Judah, and he did what was good and right and faithful before the LORD his God. 21And every work that he undertook in the service of the house of God and in accordance with the law and the commandments, seeking his God, he did with all his heart, and prospered.
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-Sennacherib Invades Judah
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-32:1 After these things and these acts of faithfulness, Sennacherib king of Assyria came and invaded Judah and encamped against the fortified cities, thinking to win them for himself. 2And when Hezekiah saw that Sennacherib had come and intended to fight against Jerusalem, 3he planned with his officers and his mighty men to stop the water of the springs that were outside the city; and they helped him. 4A great many people were gathered, and they stopped all the springs and the brook that flowed through the land, saying, “Why should the kings of Assyria come and find much water?” 5He set to work resolutely and built up all the wall that was broken down and raised towers upon it,[88] and outside it he built another wall, and he strengthened the Millo in the city of David. He also made weapons and shields in abundance. 6And he set combat commanders over the people and gathered them together to him in the square at the gate of the city and spoke encouragingly to them, saying, 7“Be strong and courageous. Do not be afraid or dismayed before the king of Assyria and all the horde that is with him, for there are more with us than with him. 8With him is an arm of flesh, but with us is the LORD our God, to help us and to fight our battles.” And the people took confidence from the words of Hezekiah king of Judah.
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-Sennacherib Blasphemes
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-9After this, Sennacherib king of Assyria, who was besieging Lachish with all his forces, sent his servants to Jerusalem to Hezekiah king of Judah and to all the people of Judah who were in Jerusalem, saying, 10“Thus says Sennacherib king of Assyria, ‘On what are you trusting, that you endure the siege in Jerusalem? 11Is not Hezekiah misleading you, that he may give you over to die by famine and by thirst, when he tells you, “The LORD our God will deliver us from the hand of the king of Assyria”? 12Has not this same Hezekiah taken away his high places and his altars and commanded Judah and Jerusalem, “Before one altar you shall worship, and on it you shall burn your sacrifices”? 13Do you not know what I and my fathers have done to all the peoples of other lands? Were the gods of the nations of those lands at all able to deliver their lands out of my hand? 14Who among all the gods of those nations that my fathers devoted to destruction was able to deliver his people from my hand, that your God should be able to deliver you from my hand? 15Now, therefore, do not let Hezekiah deceive you or mislead you in this fashion, and do not believe him, for no god of any nation or kingdom has been able to deliver his people from my hand or from the hand of my fathers. How much less will your God deliver you out of my hand!’”
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-16And his servants said still more against the LORD God and against his servant Hezekiah. 17And he wrote letters to cast contempt on the LORD, the God of Israel, and to speak against him, saying, “Like the gods of the nations of the lands who have not delivered their people from my hands, so the God of Hezekiah will not deliver his people from my hand.” 18And they shouted it with a loud voice in the language of Judah to the people of Jerusalem who were on the wall, to frighten and terrify them, in order that they might take the city. 19And they spoke of the God of Jerusalem as they spoke of the gods of the peoples of the earth, which are the work of men's hands.
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-The LORD Delivers Jerusalem
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-20Then Hezekiah the king and Isaiah the prophet, the son of Amoz, prayed because of this and cried to heaven. 21And the LORD sent an angel, who cut off all the mighty warriors and commanders and officers in the camp of the king of Assyria. So he returned with shame of face to his own land. And when he came into the house of his god, some of his own sons struck him down there with the sword. 22So the LORD saved Hezekiah and the inhabitants of Jerusalem from the hand of Sennacherib king of Assyria and from the hand of all his enemies, and he provided for them on every side. 23And many brought gifts to the LORD to Jerusalem and precious things to Hezekiah king of Judah, so that he was exalted in the sight of all nations from that time onward.
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-Hezekiah's Pride and Achievements
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-24In those days Hezekiah became sick and was at the point of death, and he prayed to the LORD, and he answered him and gave him a sign. 25But Hezekiah did not make return according to the benefit done to him, for his heart was proud. Therefore wrath came upon him and Judah and Jerusalem. 26But Hezekiah humbled himself for the pride of his heart, both he and the inhabitants of Jerusalem, so that the wrath of the LORD did not come upon them in the days of Hezekiah.
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-27And Hezekiah had very great riches and honor, and he made for himself treasuries for silver, for gold, for precious stones, for spices, for shields, and for all kinds of costly vessels; 28storehouses also for the yield of grain, wine, and oil; and stalls for all kinds of cattle, and sheepfolds. 29He likewise provided cities for himself, and flocks and herds in abundance, for God had given him very great possessions. 30This same Hezekiah closed the upper outlet of the waters of Gihon and directed them down to the west side of the city of David. And Hezekiah prospered in all his works. 31And so in the matter of the envoys of the princes of Babylon, who had been sent to him to inquire about the sign that had been done in the land, God left him to himself, in order to test him and to know all that was in his heart.
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-32Now the rest of the acts of Hezekiah and his good deeds, behold, they are written in the vision of Isaiah the prophet the son of Amoz, in the Book of the Kings of Judah and Israel. 33And Hezekiah slept with his fathers, and they buried him in the upper part of the tombs of the sons of David, and all Judah and the inhabitants of Jerusalem did him honor at his death. And Manasseh his son reigned in his place.
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-Manasseh Reigns in Judah
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-33:1 Manasseh was twelve years old when he began to reign, and he reigned fifty-five years in Jerusalem. 2And he did what was evil in the sight of the LORD, according to the abominations of the nations whom the LORD drove out before the people of Israel. 3For he rebuilt the high places that his father Hezekiah had broken down, and he erected altars to the Baals, and made Asherahs, and worshiped all the host of heaven and served them. 4And he built altars in the house of the LORD, of which the LORD had said, “In Jerusalem shall my name be forever.” 5And he built altars for all the host of heaven in the two courts of the house of the LORD. 6And he burned his sons as an offering in the Valley of the Son of Hinnom, and used fortune-telling and omens and sorcery, and dealt with mediums and with necromancers. He did much evil in the sight of the LORD, provoking him to anger. 7And the carved image of the idol that he had made he set in the house of God, of which God said to David and to Solomon his son, “In this house, and in Jerusalem, which I have chosen out of all the tribes of Israel, I will put my name forever, 8and I will no more remove the foot of Israel from the land that I appointed for your fathers, if only they will be careful to do all that I have commanded them, all the law, the statutes, and the rules given through Moses.” 9Manasseh led Judah and the inhabitants of Jerusalem astray, to do more evil than the nations whom the LORD destroyed before the people of Israel.
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-Manasseh's Repentance
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-10The LORD spoke to Manasseh and to his people, but they paid no attention. 11Therefore the LORD brought upon them the commanders of the army of the king of Assyria, who captured Manasseh with hooks and bound him with chains of bronze and brought him to Babylon. 12And when he was in distress, he entreated the favor of the LORD his God and humbled himself greatly before the God of his fathers. 13He prayed to him, and God was moved by his entreaty and heard his plea and brought him again to Jerusalem into his kingdom. Then Manasseh knew that the LORD was God.
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-14Afterward he built an outer wall for the city of David west of Gihon, in the valley, and for the entrance into the Fish Gate, and carried it around Ophel, and raised it to a very great height. He also put commanders of the army in all the fortified cities in Judah. 15And he took away the foreign gods and the idol from the house of the LORD, and all the altars that he had built on the mountain of the house of the LORD and in Jerusalem, and he threw them outside of the city. 16He also restored the altar of the LORD and offered on it sacrifices of peace offerings and of thanksgiving, and he commanded Judah to serve the LORD, the God of Israel. 17Nevertheless, the people still sacrificed at the high places, but only to the LORD their God.
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-18Now the rest of the acts of Manasseh, and his prayer to his God, and the words of the seers who spoke to him in the name of the LORD, the God of Israel, behold, they are in the Chronicles of the Kings of Israel. 19And his prayer, and how God was moved by his entreaty, and all his sin and his faithlessness, and the sites on which he built high places and set up the Asherim and the images, before he humbled himself, behold, they are written in the Chronicles of the Seers.[89] 20So Manasseh slept with his fathers, and they buried him in his house, and Amon his son reigned in his place.
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-Amon's Reign and Death
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-21Amon was twenty-two years old when he began to reign, and he reigned two years in Jerusalem. 22And he did what was evil in the sight of the LORD, as Manasseh his father had done. Amon sacrificed to all the images that Manasseh his father had made, and served them. 23And he did not humble himself before the LORD, as Manasseh his father had humbled himself, but this Amon incurred guilt more and more. 24And his servants conspired against him and put him to death in his house. 25But the people of the land struck down all those who had conspired against King Amon. And the people of the land made Josiah his son king in his place.
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-Josiah Reigns in Judah
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-34:1 Josiah was eight years old when he began to reign, and he reigned thirty-one years in Jerusalem. 2And he did what was right in the eyes of the LORD, and walked in the ways of David his father; and he did not turn aside to the right hand or to the left. 3For in the eighth year of his reign, while he was yet a boy, he began to seek the God of David his father, and in the twelfth year he began to purge Judah and Jerusalem of the high places, the Asherim, and the carved and the metal images. 4And they chopped down the altars of the Baals in his presence, and he cut down the incense altars that stood above them. And he broke in pieces the Asherim and the carved and the metal images, and he made dust of them and scattered it over the graves of those who had sacrificed to them. 5He also burned the bones of the priests on their altars and cleansed Judah and Jerusalem. 6And in the cities of Manasseh, Ephraim, and Simeon, and as far as Naphtali, in their ruins[90] all around, 7he broke down the altars and beat the Asherim and the images into powder and cut down all the incense altars throughout all the land of Israel. Then he returned to Jerusalem.
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-The Book of the Law Found
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-8Now in the eighteenth year of his reign, when he had cleansed the land and the house, he sent Shaphan the son of Azaliah, and Maaseiah the governor of the city, and Joah the son of Joahaz, the recorder, to repair the house of the LORD his God. 9They came to Hilkiah the high priest and gave him the money that had been brought into the house of God, which the Levites, the keepers of the threshold, had collected from Manasseh and Ephraim and from all the remnant of Israel and from all Judah and Benjamin and from the inhabitants of Jerusalem. 10And they gave it to the workmen who were working in the house of the LORD. And the workmen who were working in the house of the LORD gave it for repairing and restoring the house. 11They gave it to the carpenters and the builders to buy quarried stone, and timber for binders and beams for the buildings that the kings of Judah had let go to ruin. 12And the men did the work faithfully. Over them were set Jahath and Obadiah the Levites, of the sons of Merari, and Zechariah and Meshullam, of the sons of the Kohathites, to have oversight. The Levites, all who were skillful with instruments of music, 13were over the burden-bearers and directed all who did work in every kind of service, and some of the Levites were scribes and officials and gatekeepers.
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-14While they were bringing out the money that had been brought into the house of the LORD, Hilkiah the priest found the Book of the Law of the LORD given through Moses. 15Then Hilkiah answered and said to Shaphan the secretary, “I have found the Book of the Law in the house of the LORD.” And Hilkiah gave the book to Shaphan. 16Shaphan brought the book to the king, and further reported to the king, “All that was committed to your servants they are doing. 17They have emptied out the money that was found in the house of the LORD and have given it into the hand of the overseers and the workmen.” 18Then Shaphan the secretary told the king, “Hilkiah the priest has given me a book.” And Shaphan read from it before the king.
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-19And when the king heard the words of the Law, he tore his clothes. 20And the king commanded Hilkiah, Ahikam the son of Shaphan, Abdon the son of Micah, Shaphan the secretary, and Asaiah the king's servant, saying, 21“Go, inquire of the LORD for me and for those who are left in Israel and in Judah, concerning the words of the book that has been found. For great is the wrath of the LORD that is poured out on us, because our fathers have not kept the word of the LORD, to do according to all that is written in this book.”
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-Huldah Prophesies Disaster
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-22So Hilkiah and those whom the king had sent[91] went to Huldah the prophetess, the wife of Shallum the son of Tokhath, son of Hasrah, keeper of the wardrobe (now she lived in Jerusalem in the Second Quarter) and spoke to her to that effect. 23And she said to them, “Thus says the LORD, the God of Israel: ‘Tell the man who sent you to me, 24Thus says the LORD, Behold, I will bring disaster upon this place and upon its inhabitants, all the curses that are written in the book that was read before the king of Judah. 25Because they have forsaken me and have made offerings to other gods, that they might provoke me to anger with all the works of their hands, therefore my wrath will be poured out on this place and will not be quenched. 26But to the king of Judah, who sent you to inquire of the LORD, thus shall you say to him, Thus says the LORD, the God of Israel: Regarding the words that you have heard, 27because your heart was tender and you humbled yourself before God when you heard his words against this place and its inhabitants, and you have humbled yourself before me and have torn your clothes and wept before me, I also have heard you, declares the LORD. 28Behold, I will gather you to your fathers, and you shall be gathered to your grave in peace, and your eyes shall not see all the disaster that I will bring upon this place and its inhabitants.’” And they brought back word to the king.
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-29Then the king sent and gathered together all the elders of Judah and Jerusalem. 30And the king went up to the house of the LORD, with all the men of Judah and the inhabitants of Jerusalem and the priests and the Levites, all the people both great and small. And he read in their hearing all the words of the Book of the Covenant that had been found in the house of the LORD. 31And the king stood in his place and made a covenant before the LORD, to walk after the LORD and to keep his commandments and his testimonies and his statutes, with all his heart and all his soul, to perform the words of the covenant that were written in this book. 32Then he made all who were present in Jerusalem and in Benjamin join in it. And the inhabitants of Jerusalem did according to the covenant of God, the God of their fathers. 33And Josiah took away all the abominations from all the territory that belonged to the people of Israel and made all who were present in Israel serve the LORD their God. All his days they did not turn away from following the LORD, the God of their fathers.
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-Josiah Keeps the Passover
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-35:1 Josiah kept a Passover to the LORD in Jerusalem. And they slaughtered the Passover lamb on the fourteenth day of the first month. 2He appointed the priests to their offices and encouraged them in the service of the house of the LORD. 3And he said to the Levites who taught all Israel and who were holy to the LORD, “Put the holy ark in the house that Solomon the son of David, king of Israel, built. You need not carry it on your shoulders. Now serve the LORD your God and his people Israel. 4Prepare yourselves according to your fathers' houses by your divisions, as prescribed in the writing of David king of Israel and the document of Solomon his son. 5And stand in the Holy Place according to the groupings of the fathers' houses of your brothers the lay people, and according to the division of the Levites by fathers' household. 6And slaughter the Passover lamb, and consecrate yourselves, and prepare for your brothers, to do according to the word of the LORD by Moses.”
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-7Then Josiah contributed to the lay people, as Passover offerings for all who were present, lambs and young goats from the flock to the number of 30,000, and 3,000 bulls; these were from the king's possessions. 8And his officials contributed willingly to the people, to the priests, and to the Levites. Hilkiah, Zechariah, and Jehiel, the chief officers of the house of God, gave to the priests for the Passover offerings 2,600 Passover lambs and 300 bulls. 9Conaniah also, and Shemaiah and Nethanel his brothers, and Hashabiah and Jeiel and Jozabad, the chiefs of the Levites, gave to the Levites for the Passover offerings 5,000 lambs and young goats and 500 bulls.
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-10When the service had been prepared for, the priests stood in their place, and the Levites in their divisions according to the king's command. 11And they slaughtered the Passover lamb, and the priests threw the blood that they received from them while the Levites flayed the sacrifices. 12And they set aside the burnt offerings that they might distribute them according to the groupings of the fathers' houses of the lay people, to offer to the LORD, as it is written in the Book of Moses. And so they did with the bulls. 13And they roasted the Passover lamb with fire according to the rule; and they boiled the holy offerings in pots, in cauldrons, and in pans, and carried them quickly to all the lay people. 14And afterward they prepared for themselves and for the priests, because the priests, the sons of Aaron, were offering the burnt offerings and the fat parts until night; so the Levites prepared for themselves and for the priests, the sons of Aaron. 15The singers, the sons of Asaph, were in their place according to the command of David, and Asaph, and Heman, and Jeduthun the king's seer; and the gatekeepers were at each gate. They did not need to depart from their service, for their brothers the Levites prepared for them.
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-16So all the service of the LORD was prepared that day, to keep the Passover and to offer burnt offerings on the altar of the LORD, according to the command of King Josiah. 17And the people of Israel who were present kept the Passover at that time, and the Feast of Unleavened Bread seven days. 18No Passover like it had been kept in Israel since the days of Samuel the prophet. None of the kings of Israel had kept such a Passover as was kept by Josiah, and the priests and the Levites, and all Judah and Israel who were present, and the inhabitants of Jerusalem. 19In the eighteenth year of the reign of Josiah this Passover was kept.
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-Josiah Killed in Battle
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-20After all this, when Josiah had prepared the temple, Neco king of Egypt went up to fight at Carchemish on the Euphrates, and Josiah went out to meet him. 21But he sent envoys to him, saying, “What have we to do with each other, king of Judah? I am not coming against you this day, but against the house with which I am at war. And God has commanded me to hurry. Cease opposing God, who is with me, lest he destroy you.” 22Nevertheless, Josiah did not turn away from him, but disguised himself in order to fight with him. He did not listen to the words of Neco from the mouth of God, but came to fight in the plain of Megiddo. 23And the archers shot King Josiah. And the king said to his servants, “Take me away, for I am badly wounded.” 24So his servants took him out of the chariot and carried him in his second chariot and brought him to Jerusalem. And he died and was buried in the tombs of his fathers. All Judah and Jerusalem mourned for Josiah. 25Jeremiah also uttered a lament for Josiah; and all the singing men and singing women have spoken of Josiah in their laments to this day. They made these a rule in Israel; behold, they are written in the Laments. 26Now the rest of the acts of Josiah, and his good deeds according to what is written in the Law of the LORD, 27and his acts, first and last, behold, they are written in the Book of the Kings of Israel and Judah.
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-Judah's Decline
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-36:1 The people of the land took Jehoahaz the son of Josiah and made him king in his father's place in Jerusalem. 2Jehoahaz was twenty-three years old when he began to reign, and he reigned three months in Jerusalem. 3Then the king of Egypt deposed him in Jerusalem and laid on the land a tribute of a hundred talents of silver and a talent[92] of gold. 4And the king of Egypt made Eliakim his brother king over Judah and Jerusalem, and changed his name to Jehoiakim. But Neco took Jehoahaz his brother and carried him to Egypt.
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-5Jehoiakim was twenty-five years old when he began to reign, and he reigned eleven years in Jerusalem. He did what was evil in the sight of the LORD his God. 6Against him came up Nebuchadnezzar king of Babylon and bound him in chains to take him to Babylon. 7Nebuchadnezzar also carried part of the vessels of the house of the LORD to Babylon and put them in his palace in Babylon. 8Now the rest of the acts of Jehoiakim, and the abominations that he did, and what was found against him, behold, they are written in the Book of the Kings of Israel and Judah. And Jehoiachin his son reigned in his place.
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-9Jehoiachin was eighteen[93] years old when he became king, and he reigned three months and ten days in Jerusalem. He did what was evil in the sight of the LORD. 10In the spring of the year King Nebuchadnezzar sent and brought him to Babylon, with the precious vessels of the house of the LORD, and made his brother Zedekiah king over Judah and Jerusalem.
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-11Zedekiah was twenty-one years old when he began to reign, and he reigned eleven years in Jerusalem. 12He did what was evil in the sight of the LORD his God. He did not humble himself before Jeremiah the prophet, who spoke from the mouth of the LORD. 13He also rebelled against King Nebuchadnezzar, who had made him swear by God. He stiffened his neck and hardened his heart against turning to the LORD, the God of Israel. 14All the officers of the priests and the people likewise were exceedingly unfaithful, following all the abominations of the nations. And they polluted the house of the LORD that he had made holy in Jerusalem.
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-15The LORD, the God of their fathers, sent persistently to them by his messengers, because he had compassion on his people and on his dwelling place. 16But they kept mocking the messengers of God, despising his words and scoffing at his prophets, until the wrath of the LORD rose against his people, until there was no remedy.
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-Jerusalem Captured and Burned
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-17Therefore he brought up against them the king of the Chaldeans, who killed their young men with the sword in the house of their sanctuary and had no compassion on young man or virgin, old man or aged. He gave them all into his hand. 18And all the vessels of the house of God, great and small, and the treasures of the house of the LORD, and the treasures of the king and of his princes, all these he brought to Babylon. 19And they burned the house of God and broke down the wall of Jerusalem and burned all its palaces with fire and destroyed all its precious vessels. 20He took into exile in Babylon those who had escaped from the sword, and they became servants to him and to his sons until the establishment of the kingdom of Persia, 21to fulfill the word of the LORD by the mouth of Jeremiah, until the land had enjoyed its Sabbaths. All the days that it lay desolate it kept Sabbath, to fulfill seventy years.
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-The Proclamation of Cyrus
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-22Now in the first year of Cyrus king of Persia, that the word of the LORD by the mouth of Jeremiah might be fulfilled, the LORD stirred up the spirit of Cyrus king of Persia, so that he made a proclamation throughout all his kingdom and also put it in writing: 23“Thus says Cyrus king of Persia, ‘The LORD, the God of heaven, has given me all the kingdoms of the earth, and he has charged me to build him a house at Jerusalem, which is in Judah. Whoever is among you of all his people, may the LORD his God be with him. Let him go up.’”
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-Footnotes
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-[1] 1:5 Or him
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-[2] 1:13 Septuagint, Vulgate; Hebrew to
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-[3] 1:17 A shekel was about 2/5 ounce or 11 grams
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-[4] 2:1 Ch 1:18 in Hebrew
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-[5] 2:2 Ch 2:1 in Hebrew
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-[6] 2:10 A cor was about 6 bushels or 220 liters
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-[7] 2:10 A bath was about 6 gallons or 22 liters
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-[8] 3:1 Septuagint; Hebrew lacks the LORD
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-[9] 3:3 Syriac; Hebrew foundations
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-[10] 3:3 A cubit was about 18 inches or 45 centimeters
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-[11] 3:4 Compare 1 Kings 6:3; the meaning of the Hebrew is uncertain
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-[12] 3:8 A talent was about 75 pounds or 34 kilograms
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-[13] 3:9 A shekel was about 2/5 ounce or 11 grams
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-[14] 3:10 Septuagint; the meaning of the Hebrew is uncertain
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-[15] 3:10 Hebrew they overlaid
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-[16] 3:13 Hebrew they
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-[17] 3:16 Hebrew chains in the inner sanctuary
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-[18] 4:1 A cubit was about 18 inches or 45 centimeters
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-[19] 4:3 Compare 1 Kings 7:24; Hebrew oxen; twice in this verse
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-[20] 4:5 A handbreadth was about 3 inches or 7.5 centimeters
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-[21] 4:5 A bath was about 6 gallons or 22 liters
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-[22] 4:17 Spelled Zarethan in 1 Kings 7:46
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-[23] 4:22 Compare 1 Kings 7:50; Hebrew the entrance of the house
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-[24] 5:9 Hebrew it is
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-[25] 6:13 A cubit was about 18 inches or 45 centimeters
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-[26] 6:26 Septuagint, Vulgate; Hebrew answer
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-[27] 6:27 Septuagint, Syriac, Vulgate (compare 1 Kings 8:36); Hebrew toward the good way
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-[28] 7:6 Hebrew by their hand
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-[29] 7:19 The Hebrew for you is plural here
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-[30] 7:20 Hebrew them; twice in this verse
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-[31] 8:16 Septuagint, Syriac, Vulgate; Hebrew to
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-[32] 8:18 A talent was about 75 pounds or 34 kilograms
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-[33] 9:6 Hebrew their
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-[34] 9:7 Septuagint (compare 1 Kings 10:8); Hebrew men
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-[35] 9:9 A talent was about 75 pounds or 34 kilograms
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-[36] 9:15 A shekel was about 2/5 ounce or 11 grams
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-[37] 9:21 Or baboons
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-[38] 10:6 Or the elders; also verses 8, 13
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-[39] 10:18 Spelled Adoram in 1 Kings 12:18
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-[40] 11:23 Hebrew and sought a multitude of wives
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-[41] 12:12 Hebrew good things were found
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-[42] 12:15 After seer, Hebrew adds according to genealogy
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-[43] 12:16 Spelled Abijam in 1 Kings 14:31
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-[44] 13:2 Spelled Maacah in 1 Kings 15:2
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-[45] 13:7 Hebrew soft of heart
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-[46] 13:9 Hebrew to fill his hand
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-[47] 13:13 Hebrew they
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-[48] 13:19 Or Ephrain
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-[49] 14:1 Ch 13:23 in Hebrew
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-[50] 14:2 Ch 14:1 in Hebrew
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-[51] 14:13 Hebrew they
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-[52] 15:8 Hebrew the vestibule of the LORD
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-[53] 16:3 Or treaty; twice in this verse
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-[54] 18:33 Hebrew in his innocence
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-[55] 19:11 Hebrew the good
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-[56] 20:1 Compare 26:7; Hebrew Ammonites
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-[57] 20:2 One Hebrew manuscript; most Hebrew manuscripts Aram (Syria)
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-[58] 20:9 Or the sword of judgment
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-[59] 20:24 Hebrew they
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-[60] 20:26 Beracah means blessing
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-[61] 21:2 That is, Judah
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-[62] 21:16 Hebrew spirit
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-[63] 22:11 Spelled Jehosheba in 2 Kings 11:2
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-[64] 22:11 That is, Joash
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-[65] 23:3 Hebrew he
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-[66] 23:15 Or they made a passage for her
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-[67] 24:1 Spelled Jehoash in 2 Kings 12:1
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-[68] 24:10 Or until it was full
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-[69] 24:22 Hebrew and seek
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-[70] 24:24 Hebrew they
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-[71] 24:25 Septuagint, Vulgate; Hebrew sons
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-[72] 24:27 Hebrew founding
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-[73] 25:6 A talent was about 75 pounds or 34 kilograms
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-[74] 25:19 Hebrew you
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-[75] 25:23 A cubit was about 18 inches or 45 centimeters
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-[76] 25:28 Hebrew of Judah
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-[77] 26:19 Leprosy was a term for several skin diseases; see Leviticus 13
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-[78] 27:5 A talent was about 75 pounds or 34 kilograms
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-[79] 27:5 A cor was about 6 bushels or 220 liters
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-[80] 28:3 Hebrew made his sons pass through the fire
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-[81] 28:16 Septuagint, Syriac, Vulgate (compare 2 Kings 16:7); Hebrew kings
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-[82] 28:19 Or wildly
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-[83] 28:20 Hebrew Tilgath-pilneser
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-[84] 29:1 Spelled Abi in 2 Kings 18:2
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-[85] 29:31 Hebrew filled your hand for
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-[86] 30:19 Hebrew not according to the cleanness of holiness
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-[87] 30:21 Compare 1 Chronicles 13:8; Hebrew with instruments of might
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-[88] 32:5 Vulgate; Hebrew and raised upon the towers
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-[89] 33:19 One Hebrew manuscript, Septuagint; most Hebrew manuscripts of Hozai
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-[90] 34:6 The meaning of the Hebrew is uncertain
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-[91] 34:22 Syriac, Vulgate; Hebrew lacks had sent
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-[92] 36:3 A talent was about 75 pounds or 34 kilograms
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-[93] 36:9 Septuagint (compare 2 Kings 24:8); most Hebrew manuscripts eight
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-EZRA
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-Chapter 1
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-Chapter 2
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-Chapter 3
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-Chapter 4
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-Chapter 5
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-Chapter 6
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-Chapter 7
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-Chapter 8
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-Chapter 9
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-Chapter 10
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-The Proclamation of Cyrus
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-1:1 In the first year of Cyrus king of Persia, that the word of the LORD by the mouth of Jeremiah might be fulfilled, the LORD stirred up the spirit of Cyrus king of Persia, so that he made a proclamation throughout all his kingdom and also put it in writing:
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-2“Thus says Cyrus king of Persia: The LORD, the God of heaven, has given me all the kingdoms of the earth, and he has charged me to build him a house at Jerusalem, which is in Judah. 3Whoever is among you of all his people, may his God be with him, and let him go up to Jerusalem, which is in Judah, and rebuild the house of the LORD, the God of Israel—he is the God who is in Jerusalem. 4And let each survivor, in whatever place he sojourns, be assisted by the men of his place with silver and gold, with goods and with beasts, besides freewill offerings for the house of God that is in Jerusalem.”
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-5Then rose up the heads of the fathers' houses of Judah and Benjamin, and the priests and the Levites, everyone whose spirit God had stirred to go up to rebuild the house of the LORD that is in Jerusalem. 6And all who were about them aided them with vessels of silver, with gold, with goods, with beasts, and with costly wares, besides all that was freely offered. 7Cyrus the king also brought out the vessels of the house of the LORD that Nebuchadnezzar had carried away from Jerusalem and placed in the house of his gods. 8Cyrus king of Persia brought these out in the charge of Mithredath the treasurer, who counted them out to Sheshbazzar the prince of Judah. 9And this was the number of them: 30 basins of gold, 1,000 basins of silver, 29 censers, 1030 bowls of gold, 410 bowls of silver, and 1,000 other vessels; 11all the vessels of gold and of silver were 5,400. All these did Sheshbazzar bring up, when the exiles were brought up from Babylonia to Jerusalem.
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-The Exiles Return
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-2:1 Now these were the people of the province who came up out of the captivity of those exiles whom Nebuchadnezzar the king of Babylon had carried captive to Babylonia. They returned to Jerusalem and Judah, each to his own town. 2They came with Zerubbabel, Jeshua, Nehemiah, Seraiah, Reelaiah, Mordecai, Bilshan, Mispar, Bigvai, Rehum, and Baanah.
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-The number of the men of the people of Israel: 3the sons of Parosh, 2,172. 4The sons of Shephatiah, 372. 5The sons of Arah, 775. 6The sons of Pahath-moab, namely the sons of Jeshua and Joab, 2,812. 7The sons of Elam, 1,254. 8The sons of Zattu, 945. 9The sons of Zaccai, 760. 10The sons of Bani, 642. 11The sons of Bebai, 623. 12The sons of Azgad, 1,222. 13The sons of Adonikam, 666. 14The sons of Bigvai, 2,056. 15The sons of Adin, 454. 16The sons of Ater, namely of Hezekiah, 98. 17The sons of Bezai, 323. 18The sons of Jorah, 112. 19The sons of Hashum, 223. 20The sons of Gibbar, 95. 21The sons of Bethlehem, 123. 22The men of Netophah, 56. 23The men of Anathoth, 128. 24The sons of Azmaveth, 42. 25The sons of Kiriath-arim, Chephirah, and Beeroth, 743. 26The sons of Ramah and Geba, 621. 27The men of Michmas, 122. 28The men of Bethel and Ai, 223. 29The sons of Nebo, 52. 30The sons of Magbish, 156. 31The sons of the other Elam, 1,254. 32The sons of Harim, 320. 33The sons of Lod, Hadid, and Ono, 725. 34The sons of Jericho, 345. 35The sons of Senaah, 3,630.
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-36The priests: the sons of Jedaiah, of the house of Jeshua, 973. 37The sons of Immer, 1,052. 38The sons of Pashhur, 1,247. 39The sons of Harim, 1,017.
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-40The Levites: the sons of Jeshua and Kadmiel, of the sons of Hodaviah, 74. 41The singers: the sons of Asaph, 128. 42The sons of the gatekeepers: the sons of Shallum, the sons of Ater, the sons of Talmon, the sons of Akkub, the sons of Hatita, and the sons of Shobai, in all 139.
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-43The temple servants: the sons of Ziha, the sons of Hasupha, the sons of Tabbaoth, 44the sons of Keros, the sons of Siaha, the sons of Padon, 45the sons of Lebanah, the sons of Hagabah, the sons of Akkub, 46the sons of Hagab, the sons of Shamlai, the sons of Hanan, 47the sons of Giddel, the sons of Gahar, the sons of Reaiah, 48the sons of Rezin, the sons of Nekoda, the sons of Gazzam, 49the sons of Uzza, the sons of Paseah, the sons of Besai, 50the sons of Asnah, the sons of Meunim, the sons of Nephisim, 51the sons of Bakbuk, the sons of Hakupha, the sons of Harhur, 52the sons of Bazluth, the sons of Mehida, the sons of Harsha, 53the sons of Barkos, the sons of Sisera, the sons of Temah, 54the sons of Neziah, and the sons of Hatipha.
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-55The sons of Solomon's servants: the sons of Sotai, the sons of Hassophereth, the sons of Peruda, 56the sons of Jaalah, the sons of Darkon, the sons of Giddel, 57the sons of Shephatiah, the sons of Hattil, the sons of Pochereth-hazzebaim, and the sons of Ami.
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-58All the temple servants and the sons of Solomon's servants were 392.
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-59The following were those who came up from Tel-melah, Tel-harsha, Cherub, Addan, and Immer, though they could not prove their fathers' houses or their descent, whether they belonged to Israel: 60the sons of Delaiah, the sons of Tobiah, and the sons of Nekoda, 652. 61Also, of the sons of the priests: the sons of Habaiah, the sons of Hakkoz, and the sons of Barzillai (who had taken a wife from the daughters of Barzillai the Gileadite, and was called by their name). 62These sought their registration among those enrolled in the genealogies, but they were not found there, and so they were excluded from the priesthood as unclean. 63The governor told them that they were not to partake of the most holy food, until there should be a priest to consult Urim and Thummim.
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-64The whole assembly together was 42,360, 65besides their male and female servants, of whom there were 7,337, and they had 200 male and female singers. 66Their horses were 736, their mules were 245, 67their camels were 435, and their donkeys were 6,720.
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-68Some of the heads of families, when they came to the house of the LORD that is in Jerusalem, made freewill offerings for the house of God, to erect it on its site. 69According to their ability they gave to the treasury of the work 61,000 darics[1] of gold, 5,000 minas[2] of silver, and 100 priests' garments.
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-70Now the priests, the Levites, some of the people, the singers, the gatekeepers, and the temple servants lived in their towns, and all the rest of Israel[3] in their towns.
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-Rebuilding the Altar
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-3:1 When the seventh month came, and the children of Israel were in the towns, the people gathered as one man to Jerusalem. 2Then arose Jeshua the son of Jozadak, with his fellow priests, and Zerubbabel the son of Shealtiel with his kinsmen, and they built the altar of the God of Israel, to offer burnt offerings on it, as it is written in the Law of Moses the man of God. 3They set the altar in its place, for fear was on them because of the peoples of the lands, and they offered burnt offerings on it to the LORD, burnt offerings morning and evening. 4And they kept the Feast of Booths, as it is written, and offered the daily burnt offerings by number according to the rule, as each day required, 5and after that the regular burnt offerings, the offerings at the new moon and at all the appointed feasts of the LORD, and the offerings of everyone who made a freewill offering to the LORD. 6From the first day of the seventh month they began to offer burnt offerings to the LORD. But the foundation of the temple of the LORD was not yet laid. 7So they gave money to the masons and the carpenters, and food, drink, and oil to the Sidonians and the Tyrians to bring cedar trees from Lebanon to the sea, to Joppa, according to the grant that they had from Cyrus king of Persia.
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-Rebuilding the Temple
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-8Now in the second year after their coming to the house of God at Jerusalem, in the second month, Zerubbabel the son of Shealtiel and Jeshua the son of Jozadak made a beginning, together with the rest of their kinsmen, the priests and the Levites and all who had come to Jerusalem from the captivity. They appointed the Levites, from twenty years old and upward, to supervise the work of the house of the LORD. 9And Jeshua with his sons and his brothers, and Kadmiel and his sons, the sons of Judah, together supervised the workmen in the house of God, along with the sons of Henadad and the Levites, their sons and brothers.
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-10And when the builders laid the foundation of the temple of the LORD, the priests in their vestments came forward with trumpets, and the Levites, the sons of Asaph, with cymbals, to praise the LORD, according to the directions of David king of Israel. 11And they sang responsively, praising and giving thanks to the LORD,
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-“For he is good,
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-for his steadfast love endures forever toward Israel.”
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-And all the people shouted with a great shout when they praised the LORD, because the foundation of the house of the LORD was laid. 12But many of the priests and Levites and heads of fathers' houses, old men who had seen the first house, wept with a loud voice when they saw the foundation of this house being laid, though many shouted aloud for joy, 13so that the people could not distinguish the sound of the joyful shout from the sound of the people's weeping, for the people shouted with a great shout, and the sound was heard far away.
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-Adversaries Oppose the Rebuilding
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-4:1 Now when the adversaries of Judah and Benjamin heard that the returned exiles were building a temple to the LORD, the God of Israel, 2they approached Zerubbabel and the heads of fathers' houses and said to them, “Let us build with you, for we worship your God as you do, and we have been sacrificing to him ever since the days of Esarhaddon king of Assyria who brought us here.” 3But Zerubbabel, Jeshua, and the rest of the heads of fathers' houses in Israel said to them, “You have nothing to do with us in building a house to our God; but we alone will build to the LORD, the God of Israel, as King Cyrus the king of Persia has commanded us.”
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-4Then the people of the land discouraged the people of Judah and made them afraid to build 5and bribed counselors against them to frustrate their purpose, all the days of Cyrus king of Persia, even until the reign of Darius king of Persia.
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-6And in the reign of Ahasuerus, in the beginning of his reign, they wrote an accusation against the inhabitants of Judah and Jerusalem.
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-The Letter to King Artaxerxes
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-7In the days of Artaxerxes, Bishlam and Mithredath and Tabeel and the rest of their associates wrote to Artaxerxes king of Persia. The letter was written in Aramaic and translated.[4] 8Rehum the commander and Shimshai the scribe wrote a letter against Jerusalem to Artaxerxes the king as follows: 9Rehum the commander, Shimshai the scribe, and the rest of their associates, the judges, the governors, the officials, the Persians, the men of Erech, the Babylonians, the men of Susa, that is, the Elamites, 10and the rest of the nations whom the great and noble Osnappar deported and settled in the cities of Samaria and in the rest of the province Beyond the River. 11(This is a copy of the letter that they sent.) “To Artaxerxes the king: Your servants, the men of the province Beyond the River, send greeting. And now 12be it known to the king that the Jews who came up from you to us have gone to Jerusalem. They are rebuilding that rebellious and wicked city. They are finishing the walls and repairing the foundations. 13Now be it known to the king that if this city is rebuilt and the walls finished, they will not pay tribute, custom, or toll, and the royal revenue will be impaired. 14Now because we eat the salt of the palace and it is not fitting for us to witness the king's dishonor, therefore we send and inform the king, 15in order that search may be made in the book of the records of your fathers. You will find in the book of the records and learn that this city is a rebellious city, hurtful to kings and provinces, and that sedition was stirred up in it from of old. That was why this city was laid waste. 16We make known to the king that if this city is rebuilt and its walls finished, you will then have no possession in the province Beyond the River.”
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-The King Orders the Work to Cease
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-17The king sent an answer: “To Rehum the commander and Shimshai the scribe and the rest of their associates who live in Samaria and in the rest of the province Beyond the River, greeting. And now 18the letter that you sent to us has been plainly read before me. 19And I made a decree, and search has been made, and it has been found that this city from of old has risen against kings, and that rebellion and sedition have been made in it. 20And mighty kings have been over Jerusalem, who ruled over the whole province Beyond the River, to whom tribute, custom, and toll were paid. 21Therefore make a decree that these men be made to cease, and that this city be not rebuilt, until a decree is made by me. 22And take care not to be slack in this matter. Why should damage grow to the hurt of the king?”
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-23Then, when the copy of King Artaxerxes' letter was read before Rehum and Shimshai the scribe and their associates, they went in haste to the Jews at Jerusalem and by force and power made them cease. 24Then the work on the house of God that is in Jerusalem stopped, and it ceased until the second year of the reign of Darius king of Persia.
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-Rebuilding Begins Anew
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-5:1 Now the prophets, Haggai and Zechariah the son of Iddo, prophesied to the Jews who were in Judah and Jerusalem, in the name of the God of Israel who was over them. 2Then Zerubbabel the son of Shealtiel and Jeshua the son of Jozadak arose and began to rebuild the house of God that is in Jerusalem, and the prophets of God were with them, supporting them.
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-3At the same time Tattenai the governor of the province Beyond the River and Shethar-bozenai and their associates came to them and spoke to them thus: “Who gave you a decree to build this house and to finish this structure?” 4They[5] also asked them this: “What are the names of the men who are building this building?” 5But the eye of their God was on the elders of the Jews, and they did not stop them until the report should reach Darius and then an answer be returned by letter concerning it.
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-Tattenai's Letter to King Darius
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-6This is a copy of the letter that Tattenai the governor of the province Beyond the River and Shethar-bozenai and his associates, the governors who were in the province Beyond the River, sent to Darius the king. 7They sent him a report, in which was written as follows: “To Darius the king, all peace. 8Be it known to the king that we went to the province of Judah, to the house of the great God. It is being built with huge stones, and timber is laid in the walls. This work goes on diligently and prospers in their hands. 9Then we asked those elders and spoke to them thus: ‘Who gave you a decree to build this house and to finish this structure?’ 10We also asked them their names, for your information, that we might write down the names of their leaders.[6] 11And this was their reply to us: ‘We are the servants of the God of heaven and earth, and we are rebuilding the house that was built many years ago, which a great king of Israel built and finished. 12But because our fathers had angered the God of heaven, he gave them into the hand of Nebuchadnezzar king of Babylon, the Chaldean, who destroyed this house and carried away the people to Babylonia. 13However, in the first year of Cyrus king of Babylon, Cyrus the king made a decree that this house of God should be rebuilt. 14And the gold and silver vessels of the house of God, which Nebuchadnezzar had taken out of the temple that was in Jerusalem and brought into the temple of Babylon, these Cyrus the king took out of the temple of Babylon, and they were delivered to one whose name was Sheshbazzar, whom he had made governor; 15and he said to him, “Take these vessels, go and put them in the temple that is in Jerusalem, and let the house of God be rebuilt on its site.” 16Then this Sheshbazzar came and laid the foundations of the house of God that is in Jerusalem, and from that time until now it has been in building, and it is not yet finished.’ 17Therefore, if it seems good to the king, let search be made in the royal archives there in Babylon, to see whether a decree was issued by Cyrus the king for the rebuilding of this house of God in Jerusalem. And let the king send us his pleasure in this matter.”
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-The Decree of Darius
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-6:1 Then Darius the king made a decree, and search was made in Babylonia, in the house of the archives where the documents were stored. 2And in Ecbatana, the capital that is in the province of Media, a scroll was found on which this was written: “A record. 3In the first year of Cyrus the king, Cyrus the king issued a decree: Concerning the house of God at Jerusalem, let the house be rebuilt, the place where sacrifices were offered, and let its foundations be retained. Its height shall be sixty cubits[7] and its breadth sixty cubits, 4with three layers of great stones and one layer of timber. Let the cost be paid from the royal treasury. 5And also let the gold and silver vessels of the house of God, which Nebuchadnezzar took out of the temple that is in Jerusalem and brought to Babylon, be restored and brought back to the temple that is in Jerusalem, each to its place. You shall put them in the house of God.”
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-6“Now therefore, Tattenai, governor of the province Beyond the River, Shethar-bozenai, and your associates the governors who are in the province Beyond the River, keep away. 7Let the work on this house of God alone. Let the governor of the Jews and the elders of the Jews rebuild this house of God on its site. 8Moreover, I make a decree regarding what you shall do for these elders of the Jews for the rebuilding of this house of God. The cost is to be paid to these men in full and without delay from the royal revenue, the tribute of the province from Beyond the River. 9And whatever is needed—bulls, rams, or sheep for burnt offerings to the God of heaven, wheat, salt, wine, or oil, as the priests at Jerusalem require—let that be given to them day by day without fail, 10that they may offer pleasing sacrifices to the God of heaven and pray for the life of the king and his sons. 11Also I make a decree that if anyone alters this edict, a beam shall be pulled out of his house, and he shall be impaled on it, and his house shall be made a dunghill. 12May the God who has caused his name to dwell there overthrow any king or people who shall put out a hand to alter this, or to destroy this house of God that is in Jerusalem. I Darius make a decree; let it be done with all diligence.”
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-The Temple Finished and Dedicated
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-13Then, according to the word sent by Darius the king, Tattenai, the governor of the province Beyond the River, Shethar-bozenai, and their associates did with all diligence what Darius the king had ordered. 14And the elders of the Jews built and prospered through the prophesying of Haggai the prophet and Zechariah the son of Iddo. They finished their building by decree of the God of Israel and by decree of Cyrus and Darius and Artaxerxes king of Persia; 15and this house was finished on the third day of the month of Adar, in the sixth year of the reign of Darius the king.
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-16And the people of Israel, the priests and the Levites, and the rest of the returned exiles, celebrated the dedication of this house of God with joy. 17They offered at the dedication of this house of God 100 bulls, 200 rams, 400 lambs, and as a sin offering for all Israel 12 male goats, according to the number of the tribes of Israel. 18And they set the priests in their divisions and the Levites in their divisions, for the service of God at Jerusalem, as it is written in the Book of Moses.
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-Passover Celebrated
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-19On the fourteenth day of the first month, the returned exiles kept the Passover. 20For the priests and the Levites had purified themselves together; all of them were clean. So they slaughtered the Passover lamb for all the returned exiles, for their fellow priests, and for themselves. 21It was eaten by the people of Israel who had returned from exile, and also by every one who had joined them and separated himself from the uncleanness of the peoples of the land to worship the LORD, the God of Israel. 22And they kept the Feast of Unleavened Bread seven days with joy, for the LORD had made them joyful and had turned the heart of the king of Assyria to them, so that he aided them in the work of the house of God, the God of Israel.
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-Ezra Sent to Teach the People
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-7:1 Now after this, in the reign of Artaxerxes king of Persia, Ezra the son of Seraiah, son of Azariah, son of Hilkiah, 2son of Shallum, son of Zadok, son of Ahitub, 3son of Amariah, son of Azariah, son of Meraioth, 4son of Zerahiah, son of Uzzi, son of Bukki, 5son of Abishua, son of Phinehas, son of Eleazar, son of Aaron the chief priest— 6this Ezra went up from Babylonia. He was a scribe skilled in the Law of Moses that the LORD, the God of Israel, had given, and the king granted him all that he asked, for the hand of the LORD his God was on him.
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-7And there went up also to Jerusalem, in the seventh year of Artaxerxes the king, some of the people of Israel, and some of the priests and Levites, the singers and gatekeepers, and the temple servants. 8And Ezra[8] came to Jerusalem in the fifth month, which was in the seventh year of the king. 9For on the first day of the first month he began to go up from Babylonia, and on the first day of the fifth month he came to Jerusalem, for the good hand of his God was on him. 10For Ezra had set his heart to study the Law of the LORD, and to do it and to teach his statutes and rules in Israel.
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-11This is a copy of the letter that King Artaxerxes gave to Ezra the priest, the scribe, a man learned in matters of the commandments of the LORD and his statutes for Israel: 12“Artaxerxes, king of kings, to Ezra the priest, the scribe of the Law of the God of heaven. Peace.[9] And now 13I make a decree that anyone of the people of Israel or their priests or Levites in my kingdom, who freely offers to go to Jerusalem, may go with you. 14For you are sent by the king and his seven counselors to make inquiries about Judah and Jerusalem according to the Law of your God, which is in your hand, 15and also to carry the silver and gold that the king and his counselors have freely offered to the God of Israel, whose dwelling is in Jerusalem, 16with all the silver and gold that you shall find in the whole province of Babylonia, and with the freewill offerings of the people and the priests, vowed willingly for the house of their God that is in Jerusalem. 17With this money, then, you shall with all diligence buy bulls, rams, and lambs, with their grain offerings and their drink offerings, and you shall offer them on the altar of the house of your God that is in Jerusalem. 18Whatever seems good to you and your brothers to do with the rest of the silver and gold, you may do, according to the will of your God. 19The vessels that have been given you for the service of the house of your God, you shall deliver before the God of Jerusalem. 20And whatever else is required for the house of your God, which it falls to you to provide, you may provide it out of the king's treasury.
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-21“And I, Artaxerxes the king, make a decree to all the treasurers in the province Beyond the River: Whatever Ezra the priest, the scribe of the Law of the God of heaven, requires of you, let it be done with all diligence, 22up to 100 talents[10] of silver, 100 cors[11] of wheat, 100 baths[12] of wine, 100 baths of oil, and salt without prescribing how much. 23Whatever is decreed by the God of heaven, let it be done in full for the house of the God of heaven, lest his wrath be against the realm of the king and his sons. 24We also notify you that it shall not be lawful to impose tribute, custom, or toll on anyone of the priests, the Levites, the singers, the doorkeepers, the temple servants, or other servants of this house of God.
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-25“And you, Ezra, according to the wisdom of your God that is in your hand, appoint magistrates and judges who may judge all the people in the province Beyond the River, all such as know the laws of your God. And those who do not know them, you shall teach. 26Whoever will not obey the law of your God and the law of the king, let judgment be strictly executed on him, whether for death or for banishment or for confiscation of his goods or for imprisonment.”
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-27Blessed be the LORD, the God of our fathers, who put such a thing as this into the heart of the king, to beautify the house of the LORD that is in Jerusalem, 28and who extended to me his steadfast love before the king and his counselors, and before all the king's mighty officers. I took courage, for the hand of the LORD my God was on me, and I gathered leading men from Israel to go up with me.
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-Genealogy of Those Who Returned with Ezra
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-8:1 These are the heads of their fathers' houses, and this is the genealogy of those who went up with me from Babylonia, in the reign of Artaxerxes the king: 2Of the sons of Phinehas, Gershom. Of the sons of Ithamar, Daniel. Of the sons of David, Hattush. 3Of the sons of Shecaniah, who was of the sons of Parosh, Zechariah, with whom were registered 150 men. 4Of the sons of Pahath-moab, Eliehoenai the son of Zerahiah, and with him 200 men. 5Of the sons of Zattu,[13] Shecaniah the son of Jahaziel, and with him 300 men. 6Of the sons of Adin, Ebed the son of Jonathan, and with him 50 men. 7Of the sons of Elam, Jeshaiah the son of Athaliah, and with him 70 men. 8Of the sons of Shephatiah, Zebadiah the son of Michael, and with him 80 men. 9Of the sons of Joab, Obadiah the son of Jehiel, and with him 218 men. 10Of the sons of Bani,[14] Shelomith the son of Josiphiah, and with him 160 men. 11Of the sons of Bebai, Zechariah, the son of Bebai, and with him 28 men. 12Of the sons of Azgad, Johanan the son of Hakkatan, and with him 110 men. 13Of the sons of Adonikam, those who came later, their names being Eliphelet, Jeuel, and Shemaiah, and with them 60 men. 14Of the sons of Bigvai, Uthai and Zaccur, and with them 70 men.
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-Ezra Sends for Levites
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-15I gathered them to the river that runs to Ahava, and there we camped three days. As I reviewed the people and the priests, I found there none of the sons of Levi. 16Then I sent for Eliezer, Ariel, Shemaiah, Elnathan, Jarib, Elnathan, Nathan, Zechariah, and Meshullam, leading men, and for Joiarib and Elnathan, who were men of insight, 17and sent them to Iddo, the leading man at the place Casiphia, telling them what to say to Iddo and his brothers and[15] the temple servants at the place Casiphia, namely, to send us ministers for the house of our God. 18And by the good hand of our God on us, they brought us a man of discretion, of the sons of Mahli the son of Levi, son of Israel, namely Sherebiah with his sons and kinsmen, 18; 19also Hashabiah, and with him Jeshaiah of the sons of Merari, with his kinsmen and their sons, 20; 20besides 220 of the temple servants, whom David and his officials had set apart to attend the Levites. These were all mentioned by name.
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-Fasting and Prayer for Protection
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-21Then I proclaimed a fast there, at the river Ahava, that we might humble ourselves before our God, to seek from him a safe journey for ourselves, our children, and all our goods. 22For I was ashamed to ask the king for a band of soldiers and horsemen to protect us against the enemy on our way, since we had told the king, “The hand of our God is for good on all who seek him, and the power of his wrath is against all who forsake him.” 23So we fasted and implored our God for this, and he listened to our entreaty.
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-Priests to Guard Offerings
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-24Then I set apart twelve of the leading priests: Sherebiah, Hashabiah, and ten of their kinsmen with them. 25And I weighed out to them the silver and the gold and the vessels, the offering for the house of our God that the king and his counselors and his lords and all Israel there present had offered. 26I weighed out into their hand 650 talents[16] of silver, and silver vessels worth 200 talents,[17] and 100 talents of gold, 2720 bowls of gold worth 1,000 darics,[18] and two vessels of fine bright bronze as precious as gold. 28And I said to them, “You are holy to the LORD, and the vessels are holy, and the silver and the gold are a freewill offering to the LORD, the God of your fathers. 29Guard them and keep them until you weigh them before the chief priests and the Levites and the heads of fathers' houses in Israel at Jerusalem, within the chambers of the house of the LORD.” 30So the priests and the Levites took over the weight of the silver and the gold and the vessels, to bring them to Jerusalem, to the house of our God.
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-31Then we departed from the river Ahava on the twelfth day of the first month, to go to Jerusalem. The hand of our God was on us, and he delivered us from the hand of the enemy and from ambushes by the way. 32We came to Jerusalem, and there we remained three days. 33On the fourth day, within the house of our God, the silver and the gold and the vessels were weighed into the hands of Meremoth the priest, son of Uriah, and with him was Eleazar the son of Phinehas, and with them were the Levites, Jozabad the son of Jeshua and Noadiah the son of Binnui. 34The whole was counted and weighed, and the weight of everything was recorded.
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-35At that time those who had come from captivity, the returned exiles, offered burnt offerings to the God of Israel, twelve bulls for all Israel, ninety-six rams, seventy-seven lambs, and as a sin offering twelve male goats. All this was a burnt offering to the LORD. 36They also delivered the king's commissions to the king's satraps[19] and to the governors of the province Beyond the River, and they aided the people and the house of God.
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-Ezra Prays About Intermarriage
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-9:1 After these things had been done, the officials approached me and said, “The people of Israel and the priests and the Levites have not separated themselves from the peoples of the lands with their abominations, from the Canaanites, the Hittites, the Perizzites, the Jebusites, the Ammonites, the Moabites, the Egyptians, and the Amorites. 2For they have taken some of their daughters to be wives for themselves and for their sons, so that the holy race[20] has mixed itself with the peoples of the lands. And in this faithlessness the hand of the officials and chief men has been foremost.” 3As soon as I heard this, I tore my garment and my cloak and pulled hair from my head and beard and sat appalled. 4Then all who trembled at the words of the God of Israel, because of the faithlessness of the returned exiles, gathered around me while I sat appalled until the evening sacrifice. 5And at the evening sacrifice I rose from my fasting, with my garment and my cloak torn, and fell upon my knees and spread out my hands to the LORD my God, 6saying:
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-“O my God, I am ashamed and blush to lift my face to you, my God, for our iniquities have risen higher than our heads, and our guilt has mounted up to the heavens. 7From the days of our fathers to this day we have been in great guilt. And for our iniquities we, our kings, and our priests have been given into the hand of the kings of the lands, to the sword, to captivity, to plundering, and to utter shame, as it is today. 8But now for a brief moment favor has been shown by the LORD our God, to leave us a remnant and to give us a secure hold[21] within his holy place, that our God may brighten our eyes and grant us a little reviving in our slavery. 9For we are slaves. Yet our God has not forsaken us in our slavery, but has extended to us his steadfast love before the kings of Persia, to grant us some reviving to set up the house of our God, to repair its ruins, and to give us protection[22] in Judea and Jerusalem.
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-10“And now, O our God, what shall we say after this? For we have forsaken your commandments, 11which you commanded by your servants the prophets, saying, ‘The land that you are entering, to take possession of it, is a land impure with the impurity of the peoples of the lands, with their abominations that have filled it from end to end with their uncleanness. 12Therefore do not give your daughters to their sons, neither take their daughters for your sons, and never seek their peace or prosperity, that you may be strong and eat the good of the land and leave it for an inheritance to your children forever.’ 13And after all that has come upon us for our evil deeds and for our great guilt, seeing that you, our God, have punished us less than our iniquities deserved and have given us such a remnant as this, 14shall we break your commandments again and intermarry with the peoples who practice these abominations? Would you not be angry with us until you consumed us, so that there should be no remnant, nor any to escape? 15O LORD, the God of Israel, you are just, for we are left a remnant that has escaped, as it is today. Behold, we are before you in our guilt, for none can stand before you because of this.”
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-The People Confess Their Sin
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-10:1 While Ezra prayed and made confession, weeping and casting himself down before the house of God, a very great assembly of men, women, and children, gathered to him out of Israel, for the people wept bitterly. 2And Shecaniah the son of Jehiel, of the sons of Elam, addressed Ezra: “We have broken faith with our God and have married foreign women from the peoples of the land, but even now there is hope for Israel in spite of this. 3Therefore let us make a covenant with our God to put away all these wives and their children, according to the counsel of my lord[23] and of those who tremble at the commandment of our God, and let it be done according to the Law. 4Arise, for it is your task, and we are with you; be strong and do it.” 5Then Ezra arose and made the leading priests and Levites and all Israel take oath that they would do as had been said. So they took the oath.
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-6Then Ezra withdrew from before the house of God and went to the chamber of Jehohanan the son of Eliashib, where he spent the night,[24] neither eating bread nor drinking water, for he was mourning over the faithlessness of the exiles. 7And a proclamation was made throughout Judah and Jerusalem to all the returned exiles that they should assemble at Jerusalem, 8and that if anyone did not come within three days, by order of the officials and the elders all his property should be forfeited, and he himself banned from the congregation of the exiles.
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-9Then all the men of Judah and Benjamin assembled at Jerusalem within the three days. It was the ninth month, on the twentieth day of the month. And all the people sat in the open square before the house of God, trembling because of this matter and because of the heavy rain. 10And Ezra the priest stood up and said to them, “You have broken faith and married foreign women, and so increased the guilt of Israel. 11Now then make confession to the LORD, the God of your fathers and do his will. Separate yourselves from the peoples of the land and from the foreign wives.” 12Then all the assembly answered with a loud voice, “It is so; we must do as you have said. 13But the people are many, and it is a time of heavy rain; we cannot stand in the open. Nor is this a task for one day or for two, for we have greatly transgressed in this matter. 14Let our officials stand for the whole assembly. Let all in our cities who have taken foreign wives come at appointed times, and with them the elders and judges of every city, until the fierce wrath of our God over this matter is turned away from us.” 15Only Jonathan the son of Asahel and Jahzeiah the son of Tikvah opposed this, and Meshullam and Shabbethai the Levite supported them.
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-16Then the returned exiles did so. Ezra the priest selected men,[25] heads of fathers' houses, according to their fathers' houses, each of them designated by name. On the first day of the tenth month they sat down to examine the matter; 17and by the first day of the first month they had come to the end of all the men who had married foreign women.
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-Those Guilty of Intermarriage
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-18Now there were found some of the sons of the priests who had married foreign women: Maaseiah, Eliezer, Jarib, and Gedaliah, some of the sons of Jeshua the son of Jozadak and his brothers. 19They pledged themselves to put away their wives, and their guilt offering was a ram of the flock for their guilt.[26] 20Of the sons of Immer: Hanani and Zebadiah. 21Of the sons of Harim: Maaseiah, Elijah, Shemaiah, Jehiel, and Uzziah. 22Of the sons of Pashhur: Elioenai, Maaseiah, Ishmael, Nethanel, Jozabad, and Elasah.
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-23Of the Levites: Jozabad, Shimei, Kelaiah (that is, Kelita), Pethahiah, Judah, and Eliezer. 24Of the singers: Eliashib. Of the gatekeepers: Shallum, Telem, and Uri.
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-25And of Israel: of the sons of Parosh: Ramiah, Izziah, Malchijah, Mijamin, Eleazar, Hashabiah,[27] and Benaiah. 26Of the sons of Elam: Mattaniah, Zechariah, Jehiel, Abdi, Jeremoth, and Elijah. 27Of the sons of Zattu: Elioenai, Eliashib, Mattaniah, Jeremoth, Zabad, and Aziza. 28Of the sons of Bebai were Jehohanan, Hananiah, Zabbai, and Athlai. 29Of the sons of Bani were Meshullam, Malluch, Adaiah, Jashub, Sheal, and Jeremoth. 30Of the sons of Pahath-moab: Adna, Chelal, Benaiah, Maaseiah, Mattaniah, Bezalel, Binnui, and Manasseh. 31Of the sons of Harim: Eliezer, Isshijah, Malchijah, Shemaiah, Shimeon, 32Benjamin, Malluch, and Shemariah. 33Of the sons of Hashum: Mattenai, Mattattah, Zabad, Eliphelet, Jeremai, Manasseh, and Shimei. 34Of the sons of Bani: Maadai, Amram, Uel, 35Benaiah, Bedeiah, Cheluhi, 36Vaniah, Meremoth, Eliashib, 37Mattaniah, Mattenai, Jaasu. 38Of the sons of Binnui:[28] Shimei, 39Shelemiah, Nathan, Adaiah, 40Machnadebai, Shashai, Sharai, 41Azarel, Shelemiah, Shemariah, 42Shallum, Amariah, and Joseph. 43Of the sons of Nebo: Jeiel, Mattithiah, Zabad, Zebina, Jaddai, Joel, and Benaiah. 44All these had married foreign women, and some of the women had even borne children.[29]
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-Footnotes
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-[1] 2:69 A daric was a coin weighing about 1/4 ounce or 8.5 grams
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-[2] 2:69 A mina was about 1 1/4 pounds or 0.6 kilogram
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-[3] 2:70 Hebrew all Israel
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-[4] 4:7 Hebrew written in Aramaic and translated in Aramaic, indicating that 4:8–6:18 is in Aramaic; another interpretation is The letter was written in the Aramaic script and set forth in the Aramaic language
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-[5] 5:4 Septuagint, Syriac; Aramaic We
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-[6] 5:10 Aramaic of the men at their heads
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-[7] 6:3 A cubit was about 18 inches or 45 centimeters
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-[8] 7:8 Aramaic he
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-[9] 7:12 Aramaic Perfect (probably a greeting)
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-[10] 7:22 A talent was about 75 pounds or 34 kilograms
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-[11] 7:22 A cor was about 6 bushels or 220 liters
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-[12] 7:22 A bath was about 6 gallons or 22 liters
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-[13] 8:5 Septuagint; Hebrew lacks of Zattu
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-[14] 8:10 Septuagint; Hebrew lacks Bani
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-[15] 8:17 Hebrew lacks and
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-[16] 8:26 A talent was about 75 pounds or 34 kilograms
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-[17] 8:26 Revocalization; the number is missing in the Masoretic Text
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-[18] 8:27 A daric was a coin weighing about 1/4 ounce or 8.5 grams
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-[19] 8:36 A satrap was a Persian official
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-[20] 9:2 Hebrew offspring
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-[21] 9:8 Hebrew nail, or tent-pin
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-[22] 9:9 Hebrew a wall
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-[23] 10:3 Or of the Lord
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-[24] 10:6 Probable reading; Hebrew where he went
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-[25] 10:16 Syriac; Hebrew And there were selected Ezra . . .
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-[26] 10:19 Or as their reparation
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-[27] 10:25 Septuagint; Hebrew Malchijah
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-[28] 10:38 Septuagint; Hebrew Bani, Binnui
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-[29] 10:44 Or and they put them away with their children
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-NEHEMIAH
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-Chapter 1
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-Chapter 2
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-Chapter 3
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-Chapter 4
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-Chapter 5
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-Chapter 6
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-Chapter 7
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-Chapter 8
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-Chapter 9
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-Chapter 10
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-Chapter 11
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-Chapter 12
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-Chapter 13
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-Report from Jerusalem
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-1:1 The words of Nehemiah the son of Hacaliah.
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-Now it happened in the month of Chislev, in the twentieth year, as I was in Susa the capital,[1] 2that Hanani, one of my brothers, came with certain men from Judah. And I asked them concerning the Jews who escaped, who had survived the exile, and concerning Jerusalem. 3And they said to me, “The remnant there in the province who had survived the exile is in great trouble and shame. The wall of Jerusalem is broken down, and its gates are destroyed by fire.”
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-Nehemiah's Prayer
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-4As soon as I heard these words I sat down and wept and mourned for days, and I continued fasting and praying before the God of heaven. 5And I said, “O LORD God of heaven, the great and awesome God who keeps covenant and steadfast love with those who love him and keep his commandments, 6let your ear be attentive and your eyes open, to hear the prayer of your servant that I now pray before you day and night for the people of Israel your servants, confessing the sins of the people of Israel, which we have sinned against you. Even I and my father's house have sinned. 7We have acted very corruptly against you and have not kept the commandments, the statutes, and the rules that you commanded your servant Moses. 8Remember the word that you commanded your servant Moses, saying, ‘If you are unfaithful, I will scatter you among the peoples, 9but if you return to me and keep my commandments and do them, though your outcasts are in the uttermost parts of heaven, from there I will gather them and bring them to the place that I have chosen, to make my name dwell there.’ 10They are your servants and your people, whom you have redeemed by your great power and by your strong hand. 11O Lord, let your ear be attentive to the prayer of your servant, and to the prayer of your servants who delight to fear your name, and give success to your servant today, and grant him mercy in the sight of this man.”
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-Now I was cupbearer to the king.
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-Nehemiah Sent to Judah
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-2:1 In the month of Nisan, in the twentieth year of King Artaxerxes, when wine was before him, I took up the wine and gave it to the king. Now I had not been sad in his presence. 2And the king said to me, “Why is your face sad, seeing you are not sick? This is nothing but sadness of the heart.” Then I was very much afraid. 3I said to the king, “Let the king live forever! Why should not my face be sad, when the city, the place of my fathers' graves, lies in ruins, and its gates have been destroyed by fire?” 4Then the king said to me, “What are you requesting?” So I prayed to the God of heaven. 5And I said to the king, “If it pleases the king, and if your servant has found favor in your sight, that you send me to Judah, to the city of my fathers' graves, that I may rebuild it.” 6And the king said to me (the queen sitting beside him), “How long will you be gone, and when will you return?” So it pleased the king to send me when I had given him a time. 7And I said to the king, “If it pleases the king, let letters be given me to the governors of the province Beyond the River, that they may let me pass through until I come to Judah, 8and a letter to Asaph, the keeper of the king's forest, that he may give me timber to make beams for the gates of the fortress of the temple, and for the wall of the city, and for the house that I shall occupy.” And the king granted me what I asked, for the good hand of my God was upon me.
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-Nehemiah Inspects Jerusalem's Walls
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-9Then I came to the governors of the province Beyond the River and gave them the king's letters. Now the king had sent with me officers of the army and horsemen. 10But when Sanballat the Horonite and Tobiah the Ammonite servant heard this, it displeased them greatly that someone had come to seek the welfare of the people of Israel.
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-11So I went to Jerusalem and was there three days. 12Then I arose in the night, I and a few men with me. And I told no one what my God had put into my heart to do for Jerusalem. There was no animal with me but the one on which I rode. 13I went out by night by the Valley Gate to the Dragon Spring and to the Dung Gate, and I inspected the walls of Jerusalem that were broken down and its gates that had been destroyed by fire. 14Then I went on to the Fountain Gate and to the King's Pool, but there was no room for the animal that was under me to pass. 15Then I went up in the night by the valley and inspected the wall, and I turned back and entered by the Valley Gate, and so returned. 16And the officials did not know where I had gone or what I was doing, and I had not yet told the Jews, the priests, the nobles, the officials, and the rest who were to do the work.
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-17Then I said to them, “You see the trouble we are in, how Jerusalem lies in ruins with its gates burned. Come, let us build the wall of Jerusalem, that we may no longer suffer derision.” 18And I told them of the hand of my God that had been upon me for good, and also of the words that the king had spoken to me. And they said, “Let us rise up and build.” So they strengthened their hands for the good work. 19But when Sanballat the Horonite and Tobiah the Ammonite servant and Geshem the Arab heard of it, they jeered at us and despised us and said, “What is this thing that you are doing? Are you rebelling against the king?” 20Then I replied to them, “The God of heaven will make us prosper, and we his servants will arise and build, but you have no portion or right or claim[2] in Jerusalem.”
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-Rebuilding the Wall
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-3:1 Then Eliashib the high priest rose up with his brothers the priests, and they built the Sheep Gate. They consecrated it and set its doors. They consecrated it as far as the Tower of the Hundred, as far as the Tower of Hananel. 2And next to him the men of Jericho built. And next to them[3] Zaccur the son of Imri built.
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-3The sons of Hassenaah built the Fish Gate. They laid its beams and set its doors, its bolts, and its bars. 4And next to them Meremoth the son of Uriah, son of Hakkoz repaired. And next to them Meshullam the son of Berechiah, son of Meshezabel repaired. And next to them Zadok the son of Baana repaired. 5And next to them the Tekoites repaired, but their nobles would not stoop to serve their Lord.[4]
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-6Joiada the son of Paseah and Meshullam the son of Besodeiah repaired the Gate of Yeshanah.[5] They laid its beams and set its doors, its bolts, and its bars. 7And next to them repaired Melatiah the Gibeonite and Jadon the Meronothite, the men of Gibeon and of Mizpah, the seat of the governor of the province Beyond the River. 8Next to them Uzziel the son of Harhaiah, goldsmiths, repaired. Next to him Hananiah, one of the perfumers, repaired, and they restored Jerusalem as far as the Broad Wall. 9Next to them Rephaiah the son of Hur, ruler of half the district of[6] Jerusalem, repaired. 10Next to them Jedaiah the son of Harumaph repaired opposite his house. And next to him Hattush the son of Hashabneiah repaired. 11Malchijah the son of Harim and Hasshub the son of Pahath-moab repaired another section and the Tower of the Ovens. 12Next to him Shallum the son of Hallohesh, ruler of half the district of Jerusalem, repaired, he and his daughters.
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-13Hanun and the inhabitants of Zanoah repaired the Valley Gate. They rebuilt it and set its doors, its bolts, and its bars, and repaired a thousand cubits[7] of the wall, as far as the Dung Gate.
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-14Malchijah the son of Rechab, ruler of the district of Beth-haccherem, repaired the Dung Gate. He rebuilt it and set its doors, its bolts, and its bars.
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-15And Shallum the son of Col-hozeh, ruler of the district of Mizpah, repaired the Fountain Gate. He rebuilt it and covered it and set its doors, its bolts, and its bars. And he built the wall of the Pool of Shelah of the king's garden, as far as the stairs that go down from the city of David. 16After him Nehemiah the son of Azbuk, ruler of half the district of Beth-zur, repaired to a point opposite the tombs of David, as far as the artificial pool, and as far as the house of the mighty men. 17After him the Levites repaired: Rehum the son of Bani. Next to him Hashabiah, ruler of half the district of Keilah, repaired for his district. 18After him their brothers repaired: Bavvai the son of Henadad, ruler of half the district of Keilah. 19Next to him Ezer the son of Jeshua, ruler of Mizpah, repaired another section opposite the ascent to the armory at the buttress.[8] 20After him Baruch the son of Zabbai repaired another section from the buttress to the door of the house of Eliashib the high priest. 21After him Meremoth the son of Uriah, son of Hakkoz repaired another section from the door of the house of Eliashib to the end of the house of Eliashib. 22After him the priests, the men of the surrounding area, repaired. 23After them Benjamin and Hasshub repaired opposite their house. After them Azariah the son of Maaseiah, son of Ananiah repaired beside his own house. 24After him Binnui the son of Henadad repaired another section, from the house of Azariah to the buttress 25and to the corner. Palal the son of Uzai repaired opposite the buttress and the tower projecting from the upper house of the king at the court of the guard. After him Pedaiah the son of Parosh 26and the temple servants living on Ophel repaired to a point opposite the Water Gate on the east and the projecting tower. 27After him the Tekoites repaired another section opposite the great projecting tower as far as the wall of Ophel.
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-28Above the Horse Gate the priests repaired, each one opposite his own house. 29After them Zadok the son of Immer repaired opposite his own house. After him Shemaiah the son of Shecaniah, the keeper of the East Gate, repaired. 30After him Hananiah the son of Shelemiah and Hanun the sixth son of Zalaph repaired another section. After him Meshullam the son of Berechiah repaired opposite his chamber. 31After him Malchijah, one of the goldsmiths, repaired as far as the house of the temple servants and of the merchants, opposite the Muster Gate,[9] and to the upper chamber of the corner. 32And between the upper chamber of the corner and the Sheep Gate the goldsmiths and the merchants repaired.
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-Opposition to the Work
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-4:1 [10] Now when Sanballat heard that we were building the wall, he was angry and greatly enraged, and he jeered at the Jews. 2And he said in the presence of his brothers and of the army of Samaria, “What are these feeble Jews doing? Will they restore it for themselves?[11] Will they sacrifice? Will they finish up in a day? Will they revive the stones out of the heaps of rubbish, and burned ones at that?” 3Tobiah the Ammonite was beside him, and he said, “Yes, what they are building—if a fox goes up on it he will break down their stone wall!” 4Hear, O our God, for we are despised. Turn back their taunt on their own heads and give them up to be plundered in a land where they are captives. 5Do not cover their guilt, and let not their sin be blotted out from your sight, for they have provoked you to anger in the presence of the builders.
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-6So we built the wall. And all the wall was joined together to half its height, for the people had a mind to work.
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-7[12] But when Sanballat and Tobiah and the Arabs and the Ammonites and the Ashdodites heard that the repairing of the walls of Jerusalem was going forward and that the breaches were beginning to be closed, they were very angry. 8And they all plotted together to come and fight against Jerusalem and to cause confusion in it. 9And we prayed to our God and set a guard as a protection against them day and night.
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-10In Judah it was said,[13] “The strength of those who bear the burdens is failing. There is too much rubble. By ourselves we will not be able to rebuild the wall.” 11And our enemies said, “They will not know or see till we come among them and kill them and stop the work.” 12At that time the Jews who lived near them came from all directions and said to us ten times, “You must return to us.”[14] 13So in the lowest parts of the space behind the wall, in open places, I stationed the people by their clans, with their swords, their spears, and their bows. 14And I looked and arose and said to the nobles and to the officials and to the rest of the people, “Do not be afraid of them. Remember the Lord, who is great and awesome, and fight for your brothers, your sons, your daughters, your wives, and your homes.”
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-The Work Resumes
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-15When our enemies heard that it was known to us and that God had frustrated their plan, we all returned to the wall, each to his work. 16From that day on, half of my servants worked on construction, and half held the spears, shields, bows, and coats of mail. And the leaders stood behind the whole house of Judah, 17who were building on the wall. Those who carried burdens were loaded in such a way that each labored on the work with one hand and held his weapon with the other. 18And each of the builders had his sword strapped at his side while he built. The man who sounded the trumpet was beside me. 19And I said to the nobles and to the officials and to the rest of the people, “The work is great and widely spread, and we are separated on the wall, far from one another. 20In the place where you hear the sound of the trumpet, rally to us there. Our God will fight for us.”
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-21So we labored at the work, and half of them held the spears from the break of dawn until the stars came out. 22I also said to the people at that time, “Let every man and his servant pass the night within Jerusalem, that they may be a guard for us by night and may labor by day.” 23So neither I nor my brothers nor my servants nor the men of the guard who followed me, none of us took off our clothes; each kept his weapon at his right hand.[15]
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-Nehemiah Stops Oppression of the Poor
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-5:1 Now there arose a great outcry of the people and of their wives against their Jewish brothers. 2For there were those who said, “With our sons and our daughters, we are many. So let us get grain, that we may eat and keep alive.” 3There were also those who said, “We are mortgaging our fields, our vineyards, and our houses to get grain because of the famine.” 4And there were those who said, “We have borrowed money for the king's tax on our fields and our vineyards. 5Now our flesh is as the flesh of our brothers, our children are as their children. Yet we are forcing our sons and our daughters to be slaves, and some of our daughters have already been enslaved, but it is not in our power to help it, for other men have our fields and our vineyards.”
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-6I was very angry when I heard their outcry and these words. 7I took counsel with myself, and I brought charges against the nobles and the officials. I said to them, “You are exacting interest, each from his brother.” And I held a great assembly against them 8and said to them, “We, as far as we are able, have bought back our Jewish brothers who have been sold to the nations, but you even sell your brothers that they may be sold to us!” They were silent and could not find a word to say. 9So I said, “The thing that you are doing is not good. Ought you not to walk in the fear of our God to prevent the taunts of the nations our enemies? 10Moreover, I and my brothers and my servants are lending them money and grain. Let us abandon this exacting of interest. 11Return to them this very day their fields, their vineyards, their olive orchards, and their houses, and the percentage of money, grain, wine, and oil that you have been exacting from them.” 12Then they said, “We will restore these and require nothing from them. We will do as you say.” And I called the priests and made them swear to do as they had promised. 13I also shook out the fold[16] of my garment and said, “So may God shake out every man from his house and from his labor who does not keep this promise. So may he be shaken out and emptied.” And all the assembly said “Amen” and praised the LORD. And the people did as they had promised.
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-Nehemiah's Generosity
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-14Moreover, from the time that I was appointed to be their governor in the land of Judah, from the twentieth year to the thirty-second year of Artaxerxes the king, twelve years, neither I nor my brothers ate the food allowance of the governor. 15The former governors who were before me laid heavy burdens on the people and took from them for their daily ration[17] forty shekels[18] of silver. Even their servants lorded it over the people. But I did not do so, because of the fear of God. 16I also persevered in the work on this wall, and we acquired no land, and all my servants were gathered there for the work. 17Moreover, there were at my table 150 men, Jews and officials, besides those who came to us from the nations that were around us. 18Now what was prepared at my expense[19] for each day was one ox and six choice sheep and birds, and every ten days all kinds of wine in abundance. Yet for all this I did not demand the food allowance of the governor, because the service was too heavy on this people. 19Remember for my good, O my God, all that I have done for this people.
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-Conspiracy Against Nehemiah
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-6:1 Now when Sanballat and Tobiah and Geshem the Arab and the rest of our enemies heard that I had built the wall and that there was no breach left in it (although up to that time I had not set up the doors in the gates), 2Sanballat and Geshem sent to me, saying, “Come and let us meet together at Hakkephirim in the plain of Ono.” But they intended to do me harm. 3And I sent messengers to them, saying, “I am doing a great work and I cannot come down. Why should the work stop while I leave it and come down to you?” 4And they sent to me four times in this way, and I answered them in the same manner. 5In the same way Sanballat for the fifth time sent his servant to me with an open letter in his hand. 6In it was written, “It is reported among the nations, and Geshem[20] also says it, that you and the Jews intend to rebel; that is why you are building the wall. And according to these reports you wish to become their king. 7And you have also set up prophets to proclaim concerning you in Jerusalem, ‘There is a king in Judah.’ And now the king will hear of these reports. So now come and let us take counsel together.” 8Then I sent to him, saying, “No such things as you say have been done, for you are inventing them out of your own mind.” 9For they all wanted to frighten us, thinking, “Their hands will drop from the work, and it will not be done.” But now, O God,[21] strengthen my hands.
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-10Now when I went into the house of Shemaiah the son of Delaiah, son of Mehetabel, who was confined to his home, he said, “Let us meet together in the house of God, within the temple. Let us close the doors of the temple, for they are coming to kill you. They are coming to kill you by night.” 11But I said, “Should such a man as I run away? And what man such as I could go into the temple and live?[22] I will not go in.” 12And I understood and saw that God had not sent him, but he had pronounced the prophecy against me because Tobiah and Sanballat had hired him. 13For this purpose he was hired, that I should be afraid and act in this way and sin, and so they could give me a bad name in order to taunt me. 14Remember Tobiah and Sanballat, O my God, according to these things that they did, and also the prophetess Noadiah and the rest of the prophets who wanted to make me afraid.
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-The Wall Is Finished
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-15So the wall was finished on the twenty-fifth day of the month Elul, in fifty-two days. 16And when all our enemies heard of it, all the nations around us were afraid and fell greatly in their own esteem, for they perceived that this work had been accomplished with the help of our God. 17Moreover, in those days the nobles of Judah sent many letters to Tobiah, and Tobiah's letters came to them. 18For many in Judah were bound by oath to him, because he was the son-in-law of Shecaniah the son of Arah: and his son Jehohanan had taken the daughter of Meshullam the son of Berechiah as his wife. 19Also they spoke of his good deeds in my presence and reported my words to him. And Tobiah sent letters to make me afraid.
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-7:1 Now when the wall had been built and I had set up the doors, and the gatekeepers, the singers, and the Levites had been appointed, 2I gave my brother Hanani and Hananiah the governor of the castle charge over Jerusalem, for he was a more faithful and God-fearing man than many. 3And I said to them, “Let not the gates of Jerusalem be opened until the sun is hot. And while they are still standing guard, let them shut and bar the doors. Appoint guards from among the inhabitants of Jerusalem, some at their guard posts and some in front of their own homes.” 4The city was wide and large, but the people within it were few, and no houses had been rebuilt.
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-Lists of Returned Exiles
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-5Then my God put it into my heart to assemble the nobles and the officials and the people to be enrolled by genealogy. And I found the book of the genealogy of those who came up at the first, and I found written in it:
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-6These were the people of the province who came up out of the captivity of those exiles whom Nebuchadnezzar the king of Babylon had carried into exile. They returned to Jerusalem and Judah, each to his town. 7They came with Zerubbabel, Jeshua, Nehemiah, Azariah, Raamiah, Nahamani, Mordecai, Bilshan, Mispereth, Bigvai, Nehum, Baanah.
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-The number of the men of the people of Israel: 8the sons of Parosh, 2,172. 9The sons of Shephatiah, 372. 10The sons of Arah, 652. 11The sons of Pahath-moab, namely the sons of Jeshua and Joab, 2,818. 12The sons of Elam, 1,254. 13The sons of Zattu, 845. 14The sons of Zaccai, 760. 15The sons of Binnui, 648. 16The sons of Bebai, 628. 17The sons of Azgad, 2,322. 18The sons of Adonikam, 667. 19The sons of Bigvai, 2,067. 20The sons of Adin, 655. 21The sons of Ater, namely of Hezekiah, 98. 22The sons of Hashum, 328. 23The sons of Bezai, 324. 24The sons of Hariph, 112. 25The sons of Gibeon, 95. 26The men of Bethlehem and Netophah, 188. 27The men of Anathoth, 128. 28The men of Beth-azmaveth, 42. 29The men of Kiriath-jearim, Chephirah, and Beeroth, 743. 30The men of Ramah and Geba, 621. 31The men of Michmas, 122. 32The men of Bethel and Ai, 123. 33The men of the other Nebo, 52. 34The sons of the other Elam, 1,254. 35The sons of Harim, 320. 36The sons of Jericho, 345. 37The sons of Lod, Hadid, and Ono, 721. 38The sons of Senaah, 3,930.
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-39The priests: the sons of Jedaiah, namely the house of Jeshua, 973. 40The sons of Immer, 1,052. 41The sons of Pashhur, 1,247. 42The sons of Harim, 1,017.
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-43The Levites: the sons of Jeshua, namely of Kadmiel of the sons of Hodevah, 74. 44The singers: the sons of Asaph, 148. 45The gatekeepers: the sons of Shallum, the sons of Ater, the sons of Talmon, the sons of Akkub, the sons of Hatita, the sons of Shobai, 138.
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-46The temple servants: the sons of Ziha, the sons of Hasupha, the sons of Tabbaoth, 47the sons of Keros, the sons of Sia, the sons of Padon, 48the sons of Lebana, the sons of Hagaba, the sons of Shalmai, 49the sons of Hanan, the sons of Giddel, the sons of Gahar, 50the sons of Reaiah, the sons of Rezin, the sons of Nekoda, 51the sons of Gazzam, the sons of Uzza, the sons of Paseah, 52the sons of Besai, the sons of Meunim, the sons of Nephushesim, 53the sons of Bakbuk, the sons of Hakupha, the sons of Harhur, 54the sons of Bazlith, the sons of Mehida, the sons of Harsha, 55the sons of Barkos, the sons of Sisera, the sons of Temah, 56the sons of Neziah, the sons of Hatipha.
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-57The sons of Solomon's servants: the sons of Sotai, the sons of Sophereth, the sons of Perida, 58the sons of Jaala, the sons of Darkon, the sons of Giddel, 59the sons of Shephatiah, the sons of Hattil, the sons of Pochereth-hazzebaim, the sons of Amon.
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-60All the temple servants and the sons of Solomon's servants were 392.
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-61The following were those who came up from Tel-melah, Tel-harsha, Cherub, Addon, and Immer, but they could not prove their fathers' houses nor their descent, whether they belonged to Israel: 62the sons of Delaiah, the sons of Tobiah, the sons of Nekoda, 642. 63Also, of the priests: the sons of Hobaiah, the sons of Hakkoz, the sons of Barzillai (who had taken a wife of the daughters of Barzillai the Gileadite and was called by their name). 64These sought their registration among those enrolled in the genealogies, but it was not found there, so they were excluded from the priesthood as unclean. 65The governor told them that they were not to partake of the most holy food until a priest with Urim and Thummim should arise.
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-Totals of People and Gifts
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-66The whole assembly together was 42,360, 67besides their male and female servants, of whom there were 7,337. And they had 245 singers, male and female. 68Their horses were 736, their mules 245,[23] 69their camels 435, and their donkeys 6,720.
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-70Now some of the heads of fathers' houses gave to the work. The governor gave to the treasury 1,000 darics[24] of gold, 50 basins, 30 priests' garments and 500 minas[25] of silver.[26] 71And some of the heads of fathers' houses gave into the treasury of the work 20,000 darics of gold and 2,200 minas of silver. 72And what the rest of the people gave was 20,000 darics of gold, 2,000 minas of silver, and 67 priests' garments.
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-73So the priests, the Levites, the gatekeepers, the singers, some of the people, the temple servants, and all Israel, lived in their towns.
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-And when the seventh month had come, the people of Israel were in their towns.
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-Ezra Reads the Law
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-8:1 And all the people gathered as one man into the square before the Water Gate. And they told Ezra the scribe to bring the Book of the Law of Moses that the LORD had commanded Israel. 2So Ezra the priest brought the Law before the assembly, both men and women and all who could understand what they heard, on the first day of the seventh month. 3And he read from it facing the square before the Water Gate from early morning until midday, in the presence of the men and the women and those who could understand. And the ears of all the people were attentive to the Book of the Law. 4And Ezra the scribe stood on a wooden platform that they had made for the purpose. And beside him stood Mattithiah, Shema, Anaiah, Uriah, Hilkiah, and Maaseiah on his right hand, and Pedaiah, Mishael, Malchijah, Hashum, Hashbaddanah, Zechariah, and Meshullam on his left hand. 5And Ezra opened the book in the sight of all the people, for he was above all the people, and as he opened it all the people stood. 6And Ezra blessed the LORD, the great God, and all the people answered, “Amen, Amen,” lifting up their hands. And they bowed their heads and worshiped the LORD with their faces to the ground. 7Also Jeshua, Bani, Sherebiah, Jamin, Akkub, Shabbethai, Hodiah, Maaseiah, Kelita, Azariah, Jozabad, Hanan, Pelaiah, the Levites,[27] helped the people to understand the Law, while the people remained in their places. 8They read from the book, from the Law of God, clearly,[28] and they gave the sense, so that the people understood the reading.
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-This Day Is Holy
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-9And Nehemiah, who was the governor, and Ezra the priest and scribe, and the Levites who taught the people said to all the people, “This day is holy to the LORD your God; do not mourn or weep.” For all the people wept as they heard the words of the Law. 10Then he said to them, “Go your way. Eat the fat and drink sweet wine and send portions to anyone who has nothing ready, for this day is holy to our Lord. And do not be grieved, for the joy of the LORD is your strength.” 11So the Levites calmed all the people, saying, “Be quiet, for this day is holy; do not be grieved.” 12And all the people went their way to eat and drink and to send portions and to make great rejoicing, because they had understood the words that were declared to them.
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-Feast of Booths Celebrated
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-13On the second day the heads of fathers' houses of all the people, with the priests and the Levites, came together to Ezra the scribe in order to study the words of the Law. 14And they found it written in the Law that the LORD had commanded by Moses that the people of Israel should dwell in booths[29] during the feast of the seventh month, 15and that they should proclaim it and publish it in all their towns and in Jerusalem, “Go out to the hills and bring branches of olive, wild olive, myrtle, palm, and other leafy trees to make booths, as it is written.” 16So the people went out and brought them and made booths for themselves, each on his roof, and in their courts and in the courts of the house of God, and in the square at the Water Gate and in the square at the Gate of Ephraim. 17And all the assembly of those who had returned from the captivity made booths and lived in the booths, for from the days of Jeshua the son of Nun to that day the people of Israel had not done so. And there was very great rejoicing. 18And day by day, from the first day to the last day, he read from the Book of the Law of God. They kept the feast seven days, and on the eighth day there was a solemn assembly, according to the rule.
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-The People of Israel Confess Their Sin
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-9:1 Now on the twenty-fourth day of this month the people of Israel were assembled with fasting and in sackcloth, and with earth on their heads. 2And the Israelites separated themselves from all foreigners and stood and confessed their sins and the iniquities of their fathers. 3And they stood up in their place and read from the Book of the Law of the LORD their God for a quarter of the day; for another quarter of it they made confession and worshiped the LORD their God. 4On the stairs of the Levites stood Jeshua, Bani, Kadmiel, Shebaniah, Bunni, Sherebiah, Bani, and Chenani; and they cried with a loud voice to the LORD their God. 5Then the Levites, Jeshua, Kadmiel, Bani, Hashabneiah, Sherebiah, Hodiah, Shebaniah, and Pethahiah, said, “Stand up and bless the LORD your God from everlasting to everlasting. Blessed be your glorious name, which is exalted above all blessing and praise.
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-6[30] “You are the LORD, you alone. You have made heaven, the heaven of heavens, with all their host, the earth and all that is on it, the seas and all that is in them; and you preserve all of them; and the host of heaven worships you. 7You are the LORD, the God who chose Abram and brought him out of Ur of the Chaldeans and gave him the name Abraham. 8You found his heart faithful before you, and made with him the covenant to give to his offspring the land of the Canaanite, the Hittite, the Amorite, the Perizzite, the Jebusite, and the Girgashite. And you have kept your promise, for you are righteous.
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-9“And you saw the affliction of our fathers in Egypt and heard their cry at the Red Sea, 10and performed signs and wonders against Pharaoh and all his servants and all the people of his land, for you knew that they acted arrogantly against our fathers. And you made a name for yourself, as it is to this day. 11And you divided the sea before them, so that they went through the midst of the sea on dry land, and you cast their pursuers into the depths, as a stone into mighty waters. 12By a pillar of cloud you led them in the day, and by a pillar of fire in the night to light for them the way in which they should go. 13You came down on Mount Sinai and spoke with them from heaven and gave them right rules and true laws, good statutes and commandments, 14and you made known to them your holy Sabbath and commanded them commandments and statutes and a law by Moses your servant. 15You gave them bread from heaven for their hunger and brought water for them out of the rock for their thirst, and you told them to go in to possess the land that you had sworn to give them.
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-16“But they and our fathers acted presumptuously and stiffened their neck and did not obey your commandments. 17They refused to obey and were not mindful of the wonders that you performed among them, but they stiffened their neck and appointed a leader to return to their slavery in Egypt. But you are a God ready to forgive, gracious and merciful, slow to anger and abounding in steadfast love, and did not forsake them. 18Even when they had made for themselves a golden[31] calf and said, ‘This is your God who brought you up out of Egypt,’ and had committed great blasphemies, 19you in your great mercies did not forsake them in the wilderness. The pillar of cloud to lead them in the way did not depart from them by day, nor the pillar of fire by night to light for them the way by which they should go. 20You gave your good Spirit to instruct them and did not withhold your manna from their mouth and gave them water for their thirst. 21Forty years you sustained them in the wilderness, and they lacked nothing. Their clothes did not wear out and their feet did not swell.
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-22“And you gave them kingdoms and peoples and allotted to them every corner. So they took possession of the land of Sihon king of Heshbon and the land of Og king of Bashan. 23You multiplied their children as the stars of heaven, and you brought them into the land that you had told their fathers to enter and possess. 24So the descendants went in and possessed the land, and you subdued before them the inhabitants of the land, the Canaanites, and gave them into their hand, with their kings and the peoples of the land, that they might do with them as they would. 25And they captured fortified cities and a rich land, and took possession of houses full of all good things, cisterns already hewn, vineyards, olive orchards and fruit trees in abundance. So they ate and were filled and became fat and delighted themselves in your great goodness.
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-26“Nevertheless, they were disobedient and rebelled against you and cast your law behind their back and killed your prophets, who had warned them in order to turn them back to you, and they committed great blasphemies. 27Therefore you gave them into the hand of their enemies, who made them suffer. And in the time of their suffering they cried out to you and you heard them from heaven, and according to your great mercies you gave them saviors who saved them from the hand of their enemies. 28But after they had rest they did evil again before you, and you abandoned them to the hand of their enemies, so that they had dominion over them. Yet when they turned and cried to you, you heard from heaven, and many times you delivered them according to your mercies. 29And you warned them in order to turn them back to your law. Yet they acted presumptuously and did not obey your commandments, but sinned against your rules, which if a person does them, he shall live by them, and they turned a stubborn shoulder and stiffened their neck and would not obey. 30Many years you bore with them and warned them by your Spirit through your prophets. Yet they would not give ear. Therefore you gave them into the hand of the peoples of the lands. 31Nevertheless, in your great mercies you did not make an end of them or forsake them, for you are a gracious and merciful God.
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-32“Now, therefore, our God, the great, the mighty, and the awesome God, who keeps covenant and steadfast love, let not all the hardship seem little to you that has come upon us, upon our kings, our princes, our priests, our prophets, our fathers, and all your people, since the time of the kings of Assyria until this day. 33Yet you have been righteous in all that has come upon us, for you have dealt faithfully and we have acted wickedly. 34Our kings, our princes, our priests, and our fathers have not kept your law or paid attention to your commandments and your warnings that you gave them. 35Even in their own kingdom, and amid your great goodness that you gave them, and in the large and rich land that you set before them, they did not serve you or turn from their wicked works. 36Behold, we are slaves this day; in the land that you gave to our fathers to enjoy its fruit and its good gifts, behold, we are slaves. 37And its rich yield goes to the kings whom you have set over us because of our sins. They rule over our bodies and over our livestock as they please, and we are in great distress.
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-38[32] “Because of all this we make a firm covenant in writing; on the sealed document are the names of[33] our princes, our Levites, and our priests.
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-The People Who Sealed the Covenant
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-10:1 [34] “On the seals are the names of[35] Nehemiah the governor, the son of Hacaliah, Zedekiah, 2Seraiah, Azariah, Jeremiah, 3Pashhur, Amariah, Malchijah, 4Hattush, Shebaniah, Malluch, 5Harim, Meremoth, Obadiah, 6Daniel, Ginnethon, Baruch, 7Meshullam, Abijah, Mijamin, 8Maaziah, Bilgai, Shemaiah; these are the priests. 9And the Levites: Jeshua the son of Azaniah, Binnui of the sons of Henadad, Kadmiel; 10and their brothers, Shebaniah, Hodiah, Kelita, Pelaiah, Hanan, 11Mica, Rehob, Hashabiah, 12Zaccur, Sherebiah, Shebaniah, 13Hodiah, Bani, Beninu. 14The chiefs of the people: Parosh, Pahath-moab, Elam, Zattu, Bani, 15Bunni, Azgad, Bebai, 16Adonijah, Bigvai, Adin, 17Ater, Hezekiah, Azzur, 18Hodiah, Hashum, Bezai, 19Hariph, Anathoth, Nebai, 20Magpiash, Meshullam, Hezir, 21Meshezabel, Zadok, Jaddua, 22Pelatiah, Hanan, Anaiah, 23Hoshea, Hananiah, Hasshub, 24Hallohesh, Pilha, Shobek, 25Rehum, Hashabnah, Maaseiah, 26Ahiah, Hanan, Anan, 27Malluch, Harim, Baanah.
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-The Obligations of the Covenant
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-28“The rest of the people, the priests, the Levites, the gatekeepers, the singers, the temple servants, and all who have separated themselves from the peoples of the lands to the Law of God, their wives, their sons, their daughters, all who have knowledge and understanding, 29join with their brothers, their nobles, and enter into a curse and an oath to walk in God's Law that was given by Moses the servant of God, and to observe and do all the commandments of the LORD our Lord and his rules and his statutes. 30We will not give our daughters to the peoples of the land or take their daughters for our sons. 31And if the peoples of the land bring in goods or any grain on the Sabbath day to sell, we will not buy from them on the Sabbath or on a holy day. And we will forego the crops of the seventh year and the exaction of every debt.
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-32“We also take on ourselves the obligation to give yearly a third part of a shekel[36] for the service of the house of our God: 33for the showbread, the regular grain offering, the regular burnt offering, the Sabbaths, the new moons, the appointed feasts, the holy things, and the sin offerings to make atonement for Israel, and for all the work of the house of our God. 34We, the priests, the Levites, and the people, have likewise cast lots for the wood offering, to bring it into the house of our God, according to our fathers' houses, at times appointed, year by year, to burn on the altar of the LORD our God, as it is written in the Law. 35We obligate ourselves to bring the firstfruits of our ground and the firstfruits of all fruit of every tree, year by year, to the house of the LORD; 36also to bring to the house of our God, to the priests who minister in the house of our God, the firstborn of our sons and of our cattle, as it is written in the Law, and the firstborn of our herds and of our flocks; 37and to bring the first of our dough, and our contributions, the fruit of every tree, the wine and the oil, to the priests, to the chambers of the house of our God; and to bring to the Levites the tithes from our ground, for it is the Levites who collect the tithes in all our towns where we labor. 38And the priest, the son of Aaron, shall be with the Levites when the Levites receive the tithes. And the Levites shall bring up the tithe of the tithes to the house of our God, to the chambers of the storehouse. 39For the people of Israel and the sons of Levi shall bring the contribution of grain, wine, and oil to the chambers, where the vessels of the sanctuary are, as well as the priests who minister, and the gatekeepers and the singers. We will not neglect the house of our God.”
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-The Leaders in Jerusalem
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-11:1 Now the leaders of the people lived in Jerusalem. And the rest of the people cast lots to bring one out of ten to live in Jerusalem the holy city, while nine out of ten[37] remained in the other towns. 2And the people blessed all the men who willingly offered to live in Jerusalem.
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-3These are the chiefs of the province who lived in Jerusalem; but in the towns of Judah everyone lived on his property in their towns: Israel, the priests, the Levites, the temple servants, and the descendants of Solomon's servants. 4And in Jerusalem lived certain of the sons of Judah and of the sons of Benjamin. Of the sons of Judah: Athaiah the son of Uzziah, son of Zechariah, son of Amariah, son of Shephatiah, son of Mahalalel, of the sons of Perez; 5and Maaseiah the son of Baruch, son of Col-hozeh, son of Hazaiah, son of Adaiah, son of Joiarib, son of Zechariah, son of the Shilonite. 6All the sons of Perez who lived in Jerusalem were 468 valiant men.
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-7And these are the sons of Benjamin: Sallu the son of Meshullam, son of Joed, son of Pedaiah, son of Kolaiah, son of Maaseiah, son of Ithiel, son of Jeshaiah, 8and his brothers, men of valor, 928.[38] 9Joel the son of Zichri was their overseer; and Judah the son of Hassenuah was second over the city.
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-10Of the priests: Jedaiah the son of Joiarib, Jachin, 11Seraiah the son of Hilkiah, son of Meshullam, son of Zadok, son of Meraioth, son of Ahitub, ruler of the house of God, 12and their brothers who did the work of the house, 822; and Adaiah the son of Jeroham, son of Pelaliah, son of Amzi, son of Zechariah, son of Pashhur, son of Malchijah, 13and his brothers, heads of fathers' houses, 242; and Amashsai, the son of Azarel, son of Ahzai, son of Meshillemoth, son of Immer, 14and their brothers, mighty men of valor, 128; their overseer was Zabdiel the son of Haggedolim.
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-15And of the Levites: Shemaiah the son of Hasshub, son of Azrikam, son of Hashabiah, son of Bunni; 16and Shabbethai and Jozabad, of the chiefs of the Levites, who were over the outside work of the house of God; 17and Mattaniah the son of Mica, son of Zabdi, son of Asaph, who was the leader of the praise,[39] who gave thanks, and Bakbukiah, the second among his brothers; and Abda the son of Shammua, son of Galal, son of Jeduthun. 18All the Levites in the holy city were 284.
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-19The gatekeepers, Akkub, Talmon and their brothers, who kept watch at the gates, were 172. 20And the rest of Israel, and of the priests and the Levites, were in all the towns of Judah, every one in his inheritance. 21But the temple servants lived on Ophel; and Ziha and Gishpa were over the temple servants.
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-22The overseer of the Levites in Jerusalem was Uzzi the son of Bani, son of Hashabiah, son of Mattaniah, son of Mica, of the sons of Asaph, the singers, over the work of the house of God. 23For there was a command from the king concerning them, and a fixed provision for the singers, as every day required. 24And Pethahiah the son of Meshezabel, of the sons of Zerah the son of Judah, was at the king's side[40] in all matters concerning the people.
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-Villages Outside Jerusalem
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-25And as for the villages, with their fields, some of the people of Judah lived in Kiriath-arba and its villages, and in Dibon and its villages, and in Jekabzeel and its villages, 26and in Jeshua and in Moladah and Beth-pelet, 27in Hazar-shual, in Beersheba and its villages, 28in Ziklag, in Meconah and its villages, 29in En-rimmon, in Zorah, in Jarmuth, 30Zanoah, Adullam, and their villages, Lachish and its fields, and Azekah and its villages. So they encamped from Beersheba to the Valley of Hinnom. 31The people of Benjamin also lived from Geba onward, at Michmash, Aija, Bethel and its villages, 32Anathoth, Nob, Ananiah, 33Hazor, Ramah, Gittaim, 34Hadid, Zeboim, Neballat, 35Lod, and Ono, the valley of craftsmen. 36And certain divisions of the Levites in Judah were assigned to Benjamin.
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-Priests and Levites
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-12:1 These are the priests and the Levites who came up with Zerubbabel the son of Shealtiel, and Jeshua: Seraiah, Jeremiah, Ezra, 2Amariah, Malluch, Hattush, 3Shecaniah, Rehum, Meremoth, 4Iddo, Ginnethoi, Abijah, 5Mijamin, Maadiah, Bilgah, 6Shemaiah, Joiarib, Jedaiah, 7Sallu, Amok, Hilkiah, Jedaiah. These were the chiefs of the priests and of their brothers in the days of Jeshua.
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-8And the Levites: Jeshua, Binnui, Kadmiel, Sherebiah, Judah, and Mattaniah, who with his brothers was in charge of the songs of thanksgiving. 9And Bakbukiah and Unni and their brothers stood opposite them in the service. 10And Jeshua was the father of Joiakim, Joiakim the father of Eliashib, Eliashib the father of Joiada, 11Joiada the father of Jonathan, and Jonathan the father of Jaddua.
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-12And in the days of Joiakim were priests, heads of fathers' houses: of Seraiah, Meraiah; of Jeremiah, Hananiah; 13of Ezra, Meshullam; of Amariah, Jehohanan; 14of Malluchi, Jonathan; of Shebaniah, Joseph; 15of Harim, Adna; of Meraioth, Helkai; 16of Iddo, Zechariah; of Ginnethon, Meshullam; 17of Abijah, Zichri; of Miniamin, of Moadiah, Piltai; 18of Bilgah, Shammua; of Shemaiah, Jehonathan; 19of Joiarib, Mattenai; of Jedaiah, Uzzi; 20of Sallai, Kallai; of Amok, Eber; 21of Hilkiah, Hashabiah; of Jedaiah, Nethanel.
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-22In the days of Eliashib, Joiada, Johanan, and Jaddua, the Levites were recorded as heads of fathers' houses; so too were the priests in the reign of Darius the Persian. 23As for the sons of Levi, their heads of fathers' houses were written in the Book of the Chronicles until the days of Johanan the son of Eliashib. 24And the chiefs of the Levites: Hashabiah, Sherebiah, and Jeshua the son of Kadmiel, with their brothers who stood opposite them, to praise and to give thanks, according to the commandment of David the man of God, watch by watch. 25Mattaniah, Bakbukiah, Obadiah, Meshullam, Talmon, and Akkub were gatekeepers standing guard at the storehouses of the gates. 26These were in the days of Joiakim the son of Jeshua son of Jozadak, and in the days of Nehemiah the governor and of Ezra, the priest and scribe.
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-Dedication of the Wall
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-27And at the dedication of the wall of Jerusalem they sought the Levites in all their places, to bring them to Jerusalem to celebrate the dedication with gladness, with thanksgivings and with singing, with cymbals, harps, and lyres. 28And the sons of the singers gathered together from the district surrounding Jerusalem and from the villages of the Netophathites; 29also from Beth-gilgal and from the region of Geba and Azmaveth, for the singers had built for themselves villages around Jerusalem. 30And the priests and the Levites purified themselves, and they purified the people and the gates and the wall.
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-31Then I brought the leaders of Judah up onto the wall and appointed two great choirs that gave thanks. One went to the south on the wall to the Dung Gate. 32And after them went Hoshaiah and half of the leaders of Judah, 33and Azariah, Ezra, Meshullam, 34Judah, Benjamin, Shemaiah, and Jeremiah, 35and certain of the priests' sons with trumpets: Zechariah the son of Jonathan, son of Shemaiah, son of Mattaniah, son of Micaiah, son of Zaccur, son of Asaph; 36and his relatives, Shemaiah, Azarel, Milalai, Gilalai, Maai, Nethanel, Judah, and Hanani, with the musical instruments of David the man of God. And Ezra the scribe went before them. 37At the Fountain Gate they went up straight before them by the stairs of the city of David, at the ascent of the wall, above the house of David, to the Water Gate on the east.
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-38The other choir of those who gave thanks went to the north, and I followed them with half of the people, on the wall, above the Tower of the Ovens, to the Broad Wall, 39and above the Gate of Ephraim, and by the Gate of Yeshanah,[41] and by the Fish Gate and the Tower of Hananel and the Tower of the Hundred, to the Sheep Gate; and they came to a halt at the Gate of the Guard. 40So both choirs of those who gave thanks stood in the house of God, and I and half of the officials with me; 41and the priests Eliakim, Maaseiah, Miniamin, Micaiah, Elioenai, Zechariah, and Hananiah, with trumpets; 42and Maaseiah, Shemaiah, Eleazar, Uzzi, Jehohanan, Malchijah, Elam, and Ezer. And the singers sang with Jezrahiah as their leader. 43And they offered great sacrifices that day and rejoiced, for God had made them rejoice with great joy; the women and children also rejoiced. And the joy of Jerusalem was heard far away.
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-Service at the Temple
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-44On that day men were appointed over the storerooms, the contributions, the firstfruits, and the tithes, to gather into them the portions required by the Law for the priests and for the Levites according to the fields of the towns, for Judah rejoiced over the priests and the Levites who ministered. 45And they performed the service of their God and the service of purification, as did the singers and the gatekeepers, according to the command of David and his son Solomon. 46For long ago in the days of David and Asaph there were directors of the singers, and there were songs[42] of praise and thanksgiving to God. 47And all Israel in the days of Zerubbabel and in the days of Nehemiah gave the daily portions for the singers and the gatekeepers; and they set apart that which was for the Levites; and the Levites set apart that which was for the sons of Aaron.
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-Nehemiah's Final Reforms
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-13:1 On that day they read from the Book of Moses in the hearing of the people. And in it was found written that no Ammonite or Moabite should ever enter the assembly of God, 2for they did not meet the people of Israel with bread and water, but hired Balaam against them to curse them—yet our God turned the curse into a blessing. 3As soon as the people heard the law, they separated from Israel all those of foreign descent.
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-4Now before this, Eliashib the priest, who was appointed over the chambers of the house of our God, and who was related to Tobiah, 5prepared for Tobiah a large chamber where they had previously put the grain offering, the frankincense, the vessels, and the tithes of grain, wine, and oil, which were given by commandment to the Levites, singers, and gatekeepers, and the contributions for the priests. 6While this was taking place, I was not in Jerusalem, for in the thirty-second year of Artaxerxes king of Babylon I went to the king. And after some time I asked leave of the king 7and came to Jerusalem, and I then discovered the evil that Eliashib had done for Tobiah, preparing for him a chamber in the courts of the house of God. 8And I was very angry, and I threw all the household furniture of Tobiah out of the chamber. 9Then I gave orders, and they cleansed the chambers, and I brought back there the vessels of the house of God, with the grain offering and the frankincense.
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-10I also found out that the portions of the Levites had not been given to them, so that the Levites and the singers, who did the work, had fled each to his field. 11So I confronted the officials and said, “Why is the house of God forsaken?” And I gathered them together and set them in their stations. 12Then all Judah brought the tithe of the grain, wine, and oil into the storehouses. 13And I appointed as treasurers over the storehouses Shelemiah the priest, Zadok the scribe, and Pedaiah of the Levites, and as their assistant Hanan the son of Zaccur, son of Mattaniah, for they were considered reliable, and their duty was to distribute to their brothers. 14Remember me, O my God, concerning this, and do not wipe out my good deeds that I have done for the house of my God and for his service.
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-15In those days I saw in Judah people treading winepresses on the Sabbath, and bringing in heaps of grain and loading them on donkeys, and also wine, grapes, figs, and all kinds of loads, which they brought into Jerusalem on the Sabbath day. And I warned them on the day when they sold food. 16Tyrians also, who lived in the city, brought in fish and all kinds of goods and sold them on the Sabbath to the people of Judah, in Jerusalem itself! 17Then I confronted the nobles of Judah and said to them, “What is this evil thing that you are doing, profaning the Sabbath day? 18Did not your fathers act in this way, and did not our God bring all this disaster[43] on us and on this city? Now you are bringing more wrath on Israel by profaning the Sabbath.”
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-19As soon as it began to grow dark at the gates of Jerusalem before the Sabbath, I commanded that the doors should be shut and gave orders that they should not be opened until after the Sabbath. And I stationed some of my servants at the gates, that no load might be brought in on the Sabbath day. 20Then the merchants and sellers of all kinds of wares lodged outside Jerusalem once or twice. 21But I warned them and said to them, “Why do you lodge outside the wall? If you do so again, I will lay hands on you.” From that time on they did not come on the Sabbath. 22Then I commanded the Levites that they should purify themselves and come and guard the gates, to keep the Sabbath day holy. Remember this also in my favor, O my God, and spare me according to the greatness of your steadfast love.
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-23In those days also I saw the Jews who had married women of Ashdod, Ammon, and Moab. 24And half of their children spoke the language of Ashdod, and they could not speak the language of Judah, but only the language of each people. 25And I confronted them and cursed them and beat some of them and pulled out their hair. And I made them take oath in the name of God, saying, “You shall not give your daughters to their sons, or take their daughters for your sons or for yourselves. 26Did not Solomon king of Israel sin on account of such women? Among the many nations there was no king like him, and he was beloved by his God, and God made him king over all Israel. Nevertheless, foreign women made even him to sin. 27Shall we then listen to you and do all this great evil and act treacherously against our God by marrying foreign women?”
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-28And one of the sons of Jehoiada, the son of Eliashib the high priest, was the son-in-law of Sanballat the Horonite. Therefore I chased him from me. 29Remember them, O my God, because they have desecrated the priesthood and the covenant of the priesthood and the Levites.
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-30Thus I cleansed them from everything foreign, and I established the duties of the priests and Levites, each in his work; 31and I provided for the wood offering at appointed times, and for the firstfruits.
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-Remember me, O my God, for good.
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-Footnotes
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-[1] 1:1 Or the fortified city
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-[2] 2:20 Or memorial
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-[3] 3:2 Hebrew him
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-[4] 3:5 Or lords
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-[5] 3:6 Or of the old city
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-[6] 3:9 Or foreman of half the portion assigned to; also verses 12, 14, 15, 16, 17, 18
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-[7] 3:13 A cubit was about 18 inches or 45 centimeters
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-[8] 3:19 Or corner; also verses 20, 24, 25
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-[9] 3:31 Or Hammiphkad Gate
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-[10] 4:1 Ch 3:33 in Hebrew
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-[11] 4:2 Or Will they commit themselves to God?
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-[12] 4:7 Ch 4:1 in Hebrew
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-[13] 4:10 Hebrew Judah said
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-[14] 4:12 The meaning of the Hebrew is uncertain
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-[15] 4:23 Probable reading; Hebrew each his weapon the water
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-[16] 5:13 Hebrew bosom
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-[17] 5:15 Compare Vulgate; Hebrew took from them with food and wine afterward
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-[18] 5:15 A shekel was about 2/5 ounce or 11 grams
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-[19] 5:18 Or prepared for me
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-[20] 6:6 Hebrew Gashmu
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-[21] 6:9 Hebrew lacks O God
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-[22] 6:11 Or would go into the temple to save his life
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-[23] 7:68 Ezra 2:66 and the margins of some Hebrew manuscripts; Hebrew lacks Their horses . . . 245
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-[24] 7:70 A daric was a coin weighing about 1/4 ounce or 8.5 grams
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-[25] 7:70 A mina was about 1 1/4 pounds or 0.6 kilogram
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-[26] 7:70 Probable reading; Hebrew lacks minas of silver
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-[27] 8:7 Vulgate; Hebrew and the Levites
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-[28] 8:8 Or with interpretation, or paragraph by paragraph
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-[29] 8:14 Or temporary shelters
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-[30] 9:6 Septuagint adds And Ezra said
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-[31] 9:18 Hebrew metal
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-[32] 9:38 Ch 10:1 in Hebrew
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-[33] 9:38 Hebrew lacks the names of
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-[34] 10:1 Ch 10:2 in Hebrew
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-[35] 10:1 Hebrew lacks the names of
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-[36] 10:32 A shekel was about 2/5 ounce or 11 grams
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-[37] 11:1 Hebrew nine hands
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-[38] 11:8 Compare Septuagint; Hebrew Jeshaiah, and after him Gabbai, Sallai, 928
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-[39] 11:17 Compare Septuagint, Vulgate; Hebrew beginning
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-[40] 11:24 Hebrew hand
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-[41] 12:39 Or of the old city
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-[42] 12:46 Or leaders
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-[43] 13:18 The Hebrew word can mean evil, harm, or disaster, depending on the context
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-ESTHER
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-Chapter 1
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-Chapter 2
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-Chapter 3
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-Chapter 4
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-Chapter 5
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-Chapter 6
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-Chapter 7
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-Chapter 8
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-Chapter 9
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-Chapter 10
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-The King's Banquets
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-1:1 Now in the days of Ahasuerus, the Ahasuerus who reigned from India to Ethiopia over 127 provinces, 2in those days when King Ahasuerus sat on his royal throne in Susa, the capital,[1] 3in the third year of his reign he gave a feast for all his officials and servants. The army of Persia and Media and the nobles and governors of the provinces were before him, 4while he showed the riches of his royal glory and the splendor and pomp of his greatness for many days, 180 days. 5And when these days were completed, the king gave for all the people present in Susa, the citadel, both great and small, a feast lasting for seven days in the court of the garden of the king's palace. 6There were white cotton curtains and violet hangings fastened with cords of fine linen and purple to silver rods[2] and marble pillars, and also couches of gold and silver on a mosaic pavement of porphyry, marble, mother-of-pearl and precious stones. 7Drinks were served in golden vessels, vessels of different kinds, and the royal wine was lavished according to the bounty of the king. 8And drinking was according to this edict: “There is no compulsion.” For the king had given orders to all the staff of his palace to do as each man desired. 9Queen Vashti also gave a feast for the women in the palace that belonged to King Ahasuerus.
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-Queen Vashti's Refusal
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-10On the seventh day, when the heart of the king was merry with wine, he commanded Mehuman, Biztha, Harbona, Bigtha and Abagtha, Zethar and Carkas, the seven eunuchs who served in the presence of King Ahasuerus, 11to bring Queen Vashti before the king with her royal crown,[3] in order to show the peoples and the princes her beauty, for she was lovely to look at. 12But Queen Vashti refused to come at the king's command delivered by the eunuchs. At this the king became enraged, and his anger burned within him.
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-13Then the king said to the wise men who knew the times (for this was the king's procedure toward all who were versed in law and judgment, 14the men next to him being Carshena, Shethar, Admatha, Tarshish, Meres, Marsena, and Memucan, the seven princes of Persia and Media, who saw the king's face, and sat first in the kingdom): 15“According to the law, what is to be done to Queen Vashti, because she has not performed the command of King Ahasuerus delivered by the eunuchs?” 16Then Memucan said in the presence of the king and the officials, “Not only against the king has Queen Vashti done wrong, but also against all the officials and all the peoples who are in all the provinces of King Ahasuerus. 17For the queen's behavior will be made known to all women, causing them to look at their husbands with contempt, since they will say, ‘King Ahasuerus commanded Queen Vashti to be brought before him, and she did not come.’ 18This very day the noble women of Persia and Media who have heard of the queen's behavior will say the same to all the king's officials, and there will be contempt and wrath in plenty. 19If it please the king, let a royal order go out from him, and let it be written among the laws of the Persians and the Medes so that it may not be repealed, that Vashti is never again to come before King Ahasuerus. And let the king give her royal position to another who is better than she. 20So when the decree made by the king is proclaimed throughout all his kingdom, for it is vast, all women will give honor to their husbands, high and low alike.” 21This advice pleased the king and the princes, and the king did as Memucan proposed. 22He sent letters to all the royal provinces, to every province in its own script and to every people in its own language, that every man be master in his own household and speak according to the language of his people.
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-Esther Chosen Queen
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-2:1 After these things, when the anger of King Ahasuerus had abated, he remembered Vashti and what she had done and what had been decreed against her. 2Then the king's young men who attended him said, “Let beautiful young virgins be sought out for the king. 3And let the king appoint officers in all the provinces of his kingdom to gather all the beautiful young virgins to the harem in Susa the capital, under custody of Hegai, the king's eunuch, who is in charge of the women. Let their cosmetics be given them. 4And let the young woman who pleases the king be queen instead of Vashti.” This pleased the king, and he did so.
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-5Now there was a Jew in Susa the citadel whose name was Mordecai, the son of Jair, son of Shimei, son of Kish, a Benjaminite, 6who had been carried away from Jerusalem among the captives carried away with Jeconiah king of Judah, whom Nebuchadnezzar king of Babylon had carried away. 7He was bringing up Hadassah, that is Esther, the daughter of his uncle, for she had neither father nor mother. The young woman had a beautiful figure and was lovely to look at, and when her father and her mother died, Mordecai took her as his own daughter. 8So when the king's order and his edict were proclaimed, and when many young women were gathered in Susa the citadel in custody of Hegai, Esther also was taken into the king's palace and put in custody of Hegai, who had charge of the women. 9And the young woman pleased him and won his favor. And he quickly provided her with her cosmetics and her portion of food, and with seven chosen young women from the king's palace, and advanced her and her young women to the best place in the harem. 10Esther had not made known her people or kindred, for Mordecai had commanded her not to make it known. 11And every day Mordecai walked in front of the court of the harem to learn how Esther was and what was happening to her.
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-12Now when the turn came for each young woman to go in to King Ahasuerus, after being twelve months under the regulations for the women, since this was the regular period of their beautifying, six months with oil of myrrh and six months with spices and ointments for women— 13when the young woman went in to the king in this way, she was given whatever she desired to take with her from the harem to the king's palace. 14In the evening she would go in, and in the morning she would return to the second harem in custody of Shaashgaz, the king's eunuch, who was in charge of the concubines. She would not go in to the king again, unless the king delighted in her and she was summoned by name.
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-15When the turn came for Esther the daughter of Abihail the uncle of Mordecai, who had taken her as his own daughter, to go in to the king, she asked for nothing except what Hegai the king's eunuch, who had charge of the women, advised. Now Esther was winning favor in the eyes of all who saw her. 16And when Esther was taken to King Ahasuerus, into his royal palace, in the tenth month, which is the month of Tebeth, in the seventh year of his reign, 17the king loved Esther more than all the women, and she won grace and favor in his sight more than all the virgins, so that he set the royal crown[4] on her head and made her queen instead of Vashti. 18Then the king gave a great feast for all his officials and servants; it was Esther's feast. He also granted a remission of taxes to the provinces and gave gifts with royal generosity.
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-Mordecai Discovers a Plot
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-19Now when the virgins were gathered together the second time, Mordecai was sitting at the king's gate. 20Esther had not made known her kindred or her people, as Mordecai had commanded her, for Esther obeyed Mordecai just as when she was brought up by him. 21In those days, as Mordecai was sitting at the king's gate, Bigthan and Teresh, two of the king's eunuchs, who guarded the threshold, became angry and sought to lay hands on King Ahasuerus. 22And this came to the knowledge of Mordecai, and he told it to Queen Esther, and Esther told the king in the name of Mordecai. 23When the affair was investigated and found to be so, the men were both hanged on the gallows.[5] And it was recorded in the book of the chronicles in the presence of the king.
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-Haman Plots Against the Jews
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-3:1 After these things King Ahasuerus promoted Haman the Agagite, the son of Hammedatha, and advanced him and set his throne above all the officials who were with him. 2And all the king's servants who were at the king's gate bowed down and paid homage to Haman, for the king had so commanded concerning him. But Mordecai did not bow down or pay homage. 3Then the king's servants who were at the king's gate said to Mordecai, “Why do you transgress the king's command?” 4And when they spoke to him day after day and he would not listen to them, they told Haman, in order to see whether Mordecai's words would stand, for he had told them that he was a Jew. 5And when Haman saw that Mordecai did not bow down or pay homage to him, Haman was filled with fury. 6But he disdained to lay hands on Mordecai alone. So, as they had made known to him the people of Mordecai, Haman sought to destroy all the Jews, the people of Mordecai, throughout the whole kingdom of Ahasuerus.
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-7In the first month, which is the month of Nisan, in the twelfth year of King Ahasuerus, they cast Pur (that is, they cast lots) before Haman day after day; and they cast it month after month till the twelfth month, which is the month of Adar. 8Then Haman said to King Ahasuerus, “There is a certain people scattered abroad and dispersed among the peoples in all the provinces of your kingdom. Their laws are different from those of every other people, and they do not keep the king's laws, so that it is not to the king's profit to tolerate them. 9If it please the king, let it be decreed that they be destroyed, and I will pay 10,000 talents[6] of silver into the hands of those who have charge of the king's business, that they may put it into the king's treasuries.” 10So the king took his signet ring from his hand and gave it to Haman the Agagite, the son of Hammedatha, the enemy of the Jews. 11And the king said to Haman, “The money is given to you, the people also, to do with them as it seems good to you.”
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-12Then the king's scribes were summoned on the thirteenth day of the first month, and an edict, according to all that Haman commanded, was written to the king's satraps and to the governors over all the provinces and to the officials of all the peoples, to every province in its own script and every people in its own language. It was written in the name of King Ahasuerus and sealed with the king's signet ring. 13Letters were sent by couriers to all the king's provinces with instruction to destroy, to kill, and to annihilate all Jews, young and old, women and children, in one day, the thirteenth day of the twelfth month, which is the month of Adar, and to plunder their goods. 14A copy of the document was to be issued as a decree in every province by proclamation to all the peoples to be ready for that day. 15The couriers went out hurriedly by order of the king, and the decree was issued in Susa the citadel. And the king and Haman sat down to drink, but the city of Susa was thrown into confusion.
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-Esther Agrees to Help the Jews
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-4:1 When Mordecai learned all that had been done, Mordecai tore his clothes and put on sackcloth and ashes, and went out into the midst of the city, and he cried out with a loud and bitter cry. 2He went up to the entrance of the king's gate, for no one was allowed to enter the king's gate clothed in sackcloth. 3And in every province, wherever the king's command and his decree reached, there was great mourning among the Jews, with fasting and weeping and lamenting, and many of them lay in sackcloth and ashes.
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-4When Esther's young women and her eunuchs came and told her, the queen was deeply distressed. She sent garments to clothe Mordecai, so that he might take off his sackcloth, but he would not accept them. 5Then Esther called for Hathach, one of the king's eunuchs, who had been appointed to attend her, and ordered him to go to Mordecai to learn what this was and why it was. 6Hathach went out to Mordecai in the open square of the city in front of the king's gate, 7and Mordecai told him all that had happened to him, and the exact sum of money that Haman had promised to pay into the king's treasuries for the destruction of the Jews. 8Mordecai also gave him a copy of the written decree issued in Susa for their destruction, that he might show it to Esther and explain it to her and command her to go to the king to beg his favor and plead with him on behalf of her people. 9And Hathach went and told Esther what Mordecai had said. 10Then Esther spoke to Hathach and commanded him to go to Mordecai and say, 11“All the king's servants and the people of the king's provinces know that if any man or woman goes to the king inside the inner court without being called, there is but one law—to be put to death, except the one to whom the king holds out the golden scepter so that he may live. But as for me, I have not been called to come in to the king these thirty days.”
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-12And they told Mordecai what Esther had said. 13Then Mordecai told them to reply to Esther, “Do not think to yourself that in the king's palace you will escape any more than all the other Jews. 14For if you keep silent at this time, relief and deliverance will rise for the Jews from another place, but you and your father's house will perish. And who knows whether you have not come to the kingdom for such a time as this?” 15Then Esther told them to reply to Mordecai, 16“Go, gather all the Jews to be found in Susa, and hold a fast on my behalf, and do not eat or drink for three days, night or day. I and my young women will also fast as you do. Then I will go to the king, though it is against the law, and if I perish, I perish.” 17Mordecai then went away and did everything as Esther had ordered him.
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-Esther Prepares a Banquet
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-5:1 On the third day Esther put on her royal robes and stood in the inner court of the king's palace, in front of the king's quarters, while the king was sitting on his royal throne inside the throne room opposite the entrance to the palace. 2And when the king saw Queen Esther standing in the court, she won favor in his sight, and he held out to Esther the golden scepter that was in his hand. Then Esther approached and touched the tip of the scepter. 3And the king said to her, “What is it, Queen Esther? What is your request? It shall be given you, even to the half of my kingdom.” 4And Esther said, “If it please the king, let the king and Haman come today to a feast that I have prepared for the king.” 5Then the king said, “Bring Haman quickly, so that we may do as Esther has asked.” So the king and Haman came to the feast that Esther had prepared. 6And as they were drinking wine after the feast, the king said to Esther, “What is your wish? It shall be granted you. And what is your request? Even to the half of my kingdom, it shall be fulfilled.” 7Then Esther answered, “My wish and my request is: 8If I have found favor in the sight of the king, and if it please the king to grant my wish and fulfill my request, let the king and Haman come to the feast that I will prepare for them, and tomorrow I will do as the king has said.”
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-Haman Plans to Hang Mordecai
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-9And Haman went out that day joyful and glad of heart. But when Haman saw Mordecai in the king's gate, that he neither rose nor trembled before him, he was filled with wrath against Mordecai. 10Nevertheless, Haman restrained himself and went home, and he sent and brought his friends and his wife Zeresh. 11And Haman recounted to them the splendor of his riches, the number of his sons, all the promotions with which the king had honored him, and how he had advanced him above the officials and the servants of the king. 12Then Haman said, “Even Queen Esther let no one but me come with the king to the feast she prepared. And tomorrow also I am invited by her together with the king. 13Yet all this is worth nothing to me, so long as I see Mordecai the Jew sitting at the king's gate.” 14Then his wife Zeresh and all his friends said to him, “Let a gallows[7] fifty cubits[8] high be made, and in the morning tell the king to have Mordecai hanged upon it. Then go joyfully with the king to the feast.” This idea pleased Haman, and he had the gallows made.
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-The King Honors Mordecai
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-6:1 On that night the king could not sleep. And he gave orders to bring the book of memorable deeds, the chronicles, and they were read before the king. 2And it was found written how Mordecai had told about Bigthana and Teresh, two of the king's eunuchs, who guarded the threshold, and who had sought to lay hands on King Ahasuerus. 3And the king said, “What honor or distinction has been bestowed on Mordecai for this?” The king's young men who attended him said, “Nothing has been done for him.” 4And the king said, “Who is in the court?” Now Haman had just entered the outer court of the king's palace to speak to the king about having Mordecai hanged on the gallows[9] that he had prepared for him. 5And the king's young men told him, “Haman is there, standing in the court.” And the king said, “Let him come in.” 6So Haman came in, and the king said to him, “What should be done to the man whom the king delights to honor?” And Haman said to himself, “Whom would the king delight to honor more than me?” 7And Haman said to the king, “For the man whom the king delights to honor, 8let royal robes be brought, which the king has worn, and the horse that the king has ridden, and on whose head a royal crown[10] is set. 9And let the robes and the horse be handed over to one of the king's most noble officials. Let them dress the man whom the king delights to honor, and let them lead him on the horse through the square of the city, proclaiming before him: ‘Thus shall it be done to the man whom the king delights to honor.’” 10Then the king said to Haman, “Hurry; take the robes and the horse, as you have said, and do so to Mordecai the Jew, who sits at the king's gate. Leave out nothing that you have mentioned.” 11So Haman took the robes and the horse, and he dressed Mordecai and led him through the square of the city, proclaiming before him, “Thus shall it be done to the man whom the king delights to honor.”
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-12Then Mordecai returned to the king's gate. But Haman hurried to his house, mourning and with his head covered. 13And Haman told his wife Zeresh and all his friends everything that had happened to him. Then his wise men and his wife Zeresh said to him, “If Mordecai, before whom you have begun to fall, is of the Jewish people, you will not overcome him but will surely fall before him.”
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-Esther Reveals Haman's Plot
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-14While they were yet talking with him, the king's eunuchs arrived and hurried to bring Haman to the feast that Esther had prepared.
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-7:1 So the king and Haman went in to feast with Queen Esther. 2And on the second day, as they were drinking wine after the feast, the king again said to Esther, “What is your wish, Queen Esther? It shall be granted you. And what is your request? Even to the half of my kingdom, it shall be fulfilled.” 3Then Queen Esther answered, “If I have found favor in your sight, O king, and if it please the king, let my life be granted me for my wish, and my people for my request. 4For we have been sold, I and my people, to be destroyed, to be killed, and to be annihilated. If we had been sold merely as slaves, men and women, I would have been silent, for our affliction is not to be compared with the loss to the king.” 5Then King Ahasuerus said to Queen Esther, “Who is he, and where is he, who has dared[11] to do this?” 6And Esther said, “A foe and enemy! This wicked Haman!” Then Haman was terrified before the king and the queen.
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-Haman Is Hanged
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-7And the king arose in his wrath from the wine-drinking and went into the palace garden, but Haman stayed to beg for his life from Queen Esther, for he saw that harm was determined against him by the king. 8And the king returned from the palace garden to the place where they were drinking wine, as Haman was falling on the couch where Esther was. And the king said, “Will he even assault the queen in my presence, in my own house?” As the word left the mouth of the king, they covered Haman's face. 9Then Harbona, one of the eunuchs in attendance on the king, said, “Moreover, the gallows[12] that Haman has prepared for Mordecai, whose word saved the king, is standing at Haman's house, fifty cubits[13] high.” 10And the king said, “Hang him on that.” So they hanged Haman on the gallows that he had prepared for Mordecai. Then the wrath of the king abated.
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-Esther Saves the Jews
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-8:1 On that day King Ahasuerus gave to Queen Esther the house of Haman, the enemy of the Jews. And Mordecai came before the king, for Esther had told what he was to her. 2And the king took off his signet ring, which he had taken from Haman, and gave it to Mordecai. And Esther set Mordecai over the house of Haman.
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-3Then Esther spoke again to the king. She fell at his feet and wept and pleaded with him to avert the evil plan of Haman the Agagite and the plot that he had devised against the Jews. 4When the king held out the golden scepter to Esther, 5Esther rose and stood before the king. And she said, “If it please the king, and if I have found favor in his sight, and if the thing seems right before the king, and I am pleasing in his eyes, let an order be written to revoke the letters devised by Haman the Agagite, the son of Hammedatha, which he wrote to destroy the Jews who are in all the provinces of the king. 6For how can I bear to see the calamity that is coming to my people? Or how can I bear to see the destruction of my kindred?” 7Then King Ahasuerus said to Queen Esther and to Mordecai the Jew, “Behold, I have given Esther the house of Haman, and they have hanged him on the gallows,[14] because he intended to lay hands on the Jews. 8But you may write as you please with regard to the Jews, in the name of the king, and seal it with the king's ring, for an edict written in the name of the king and sealed with the king's ring cannot be revoked.”
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-9The king's scribes were summoned at that time, in the third month, which is the month of Sivan, on the twenty-third day. And an edict was written, according to all that Mordecai commanded concerning the Jews, to the satraps and the governors and the officials of the provinces from India to Ethiopia, 127 provinces, to each province in its own script and to each people in its own language, and also to the Jews in their script and their language. 10And he wrote in the name of King Ahasuerus and sealed it with the king's signet ring. Then he sent the letters by mounted couriers riding on swift horses that were used in the king's service, bred from the royal stud, 11saying that the king allowed the Jews who were in every city to gather and defend their lives, to destroy, to kill, and to annihilate any armed force of any people or province that might attack them, children and women included, and to plunder their goods, 12on one day throughout all the provinces of King Ahasuerus, on the thirteenth day of the twelfth month, which is the month of Adar. 13A copy of what was written was to be issued as a decree in every province, being publicly displayed to all peoples, and the Jews were to be ready on that day to take vengeance on their enemies. 14So the couriers, mounted on their swift horses that were used in the king's service, rode out hurriedly, urged by the king's command. And the decree was issued in Susa the citadel.
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-15Then Mordecai went out from the presence of the king in royal robes of blue and white, with a great golden crown[15] and a robe of fine linen and purple, and the city of Susa shouted and rejoiced. 16The Jews had light and gladness and joy and honor. 17And in every province and in every city, wherever the king's command and his edict reached, there was gladness and joy among the Jews, a feast and a holiday. And many from the peoples of the country declared themselves Jews, for fear of the Jews had fallen on them.
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-The Jews Destroy Their Enemies
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-9:1 Now in the twelfth month, which is the month of Adar, on the thirteenth day of the same, when the king's command and edict were about to be carried out, on the very day when the enemies of the Jews hoped to gain the mastery over them, the reverse occurred: the Jews gained mastery over those who hated them. 2The Jews gathered in their cities throughout all the provinces of King Ahasuerus to lay hands on those who sought their harm. And no one could stand against them, for the fear of them had fallen on all peoples. 3All the officials of the provinces and the satraps and the governors and the royal agents also helped the Jews, for the fear of Mordecai had fallen on them. 4For Mordecai was great in the king's house, and his fame spread throughout all the provinces, for the man Mordecai grew more and more powerful. 5The Jews struck all their enemies with the sword, killing and destroying them, and did as they pleased to those who hated them. 6In Susa the citadel itself the Jews killed and destroyed 500 men, 7and also killed Parshandatha and Dalphon and Aspatha 8and Poratha and Adalia and Aridatha 9and Parmashta and Arisai and Aridai and Vaizatha, 10the ten sons of Haman the son of Hammedatha, the enemy of the Jews, but they laid no hand on the plunder.
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-11That very day the number of those killed in Susa the citadel was reported to the king. 12And the king said to Queen Esther, “In Susa the citadel the Jews have killed and destroyed 500 men and also the ten sons of Haman. What then have they done in the rest of the king's provinces! Now what is your wish? It shall be granted you. And what further is your request? It shall be fulfilled.” 13And Esther said, “If it please the king, let the Jews who are in Susa be allowed tomorrow also to do according to this day's edict. And let the ten sons of Haman be hanged on the gallows.”[16] 14So the king commanded this to be done. A decree was issued in Susa, and the ten sons of Haman were hanged. 15The Jews who were in Susa gathered also on the fourteenth day of the month of Adar and they killed 300 men in Susa, but they laid no hands on the plunder.
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-16Now the rest of the Jews who were in the king's provinces also gathered to defend their lives, and got relief from their enemies and killed 75,000 of those who hated them, but they laid no hands on the plunder. 17This was on the thirteenth day of the month of Adar, and on the fourteenth day they rested and made that a day of feasting and gladness. 18But the Jews who were in Susa gathered on the thirteenth day and on the fourteenth, and rested on the fifteenth day, making that a day of feasting and gladness. 19Therefore the Jews of the villages, who live in the rural towns, hold the fourteenth day of the month of Adar as a day for gladness and feasting, as a holiday, and as a day on which they send gifts of food to one another.
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-The Feast of Purim Inaugurated
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-20And Mordecai recorded these things and sent letters to all the Jews who were in all the provinces of King Ahasuerus, both near and far, 21obliging them to keep the fourteenth day of the month Adar and also the fifteenth day of the same, year by year, 22as the days on which the Jews got relief from their enemies, and as the month that had been turned for them from sorrow into gladness and from mourning into a holiday; that they should make them days of feasting and gladness, days for sending gifts of food to one another and gifts to the poor.
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-23So the Jews accepted what they had started to do, and what Mordecai had written to them. 24For Haman the Agagite, the son of Hammedatha, the enemy of all the Jews, had plotted against the Jews to destroy them, and had cast Pur (that is, cast lots), to crush and to destroy them. 25But when it came before the king, he gave orders in writing that his evil plan that he had devised against the Jews should return on his own head, and that he and his sons should be hanged on the gallows.[17] 26Therefore they called these days Purim, after the term Pur. Therefore, because of all that was written in this letter, and of what they had faced in this matter, and of what had happened to them, 27the Jews firmly obligated themselves and their offspring and all who joined them, that without fail they would keep these two days according to what was written and at the time appointed every year, 28that these days should be remembered and kept throughout every generation, in every clan, province, and city, and that these days of Purim should never fall into disuse among the Jews, nor should the commemoration of these days cease among their descendants.
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-29Then Queen Esther, the daughter of Abihail, and Mordecai the Jew gave full written authority, confirming this second letter about Purim. 30Letters were sent to all the Jews, to the 127 provinces of the kingdom of Ahasuerus, in words of peace and truth, 31that these days of Purim should be observed at their appointed seasons, as Mordecai the Jew and Queen Esther obligated them, and as they had obligated themselves and their offspring, with regard to their fasts and their lamenting. 32The command of Queen Esther confirmed these practices of Purim, and it was recorded in writing.
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-The Greatness of Mordecai
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-10:1 King Ahasuerus imposed tax on the land and on the coastlands of the sea. 2And all the acts of his power and might, and the full account of the high honor of Mordecai, to which the king advanced him, are they not written in the Book of the Chronicles of the kings of Media and Persia? 3For Mordecai the Jew was second in rank to King Ahasuerus, and he was great among the Jews and popular with the multitude of his brothers, for he sought the welfare of his people and spoke peace to all his people.
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-Footnotes
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-[1] 1:2 Or the fortified city
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-[2] 1:6 Or rings
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-[3] 1:11 Or headdress
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-[4] 2:17 Or headdress
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-[5] 2:23 Or suspended on a stake
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-[6] 3:9 A talent was about 75 pounds or 34 kilograms
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-[7] 5:14 Or stake; twice in this verse
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-[8] 5:14 A cubit was about 18 inches or 45 centimeters
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-[9] 6:4 Or suspended on a stake
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-[10] 6:8 Or headdress
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-[11] 7:5 Hebrew whose heart has filled him
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-[12] 7:9 Or stake; also verse 10
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-[13] 7:9 A cubit was about 18 inches or 45 centimeters
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-[14] 8:7 Or stake
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-[15] 8:15 Or headdress
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-[16] 9:13 Or stake
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-[17] 9:25 Or suspended on a stake
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-JOB
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-Chapter 1
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-Chapter 2
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-Chapter 3
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-Chapter 4
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-Chapter 5
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-Chapter 6
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-Chapter 7
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-Chapter 8
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-Chapter 9
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-Chapter 10
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-Chapter 11
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-Chapter 12
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-Chapter 13
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-Chapter 14
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-Chapter 15
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-Chapter 16
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-Chapter 17
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-Chapter 18
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-Chapter 19
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-Chapter 20
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-Chapter 21
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-Chapter 22
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-Chapter 23
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-Chapter 24
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-Chapter 25
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-Chapter 26
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-Chapter 27
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-Chapter 28
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-Chapter 29
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-Chapter 30
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-Chapter 31
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-Chapter 32
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-Chapter 33
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-Chapter 34
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-Chapter 35
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-Chapter 36
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-Chapter 37
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-Chapter 38
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-Chapter 39
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-Chapter 40
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-Chapter 41
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-Chapter 42
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-Job's Character and Wealth
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-1:1 There was a man in the land of Uz whose name was Job, and that man was blameless and upright, one who feared God and turned away from evil. 2There were born to him seven sons and three daughters. 3He possessed 7,000 sheep, 3,000 camels, 500 yoke of oxen, and 500 female donkeys, and very many servants, so that this man was the greatest of all the people of the east. 4His sons used to go and hold a feast in the house of each one on his day, and they would send and invite their three sisters to eat and drink with them. 5And when the days of the feast had run their course, Job would send and consecrate them, and he would rise early in the morning and offer burnt offerings according to the number of them all. For Job said, “It may be that my children have sinned, and cursed[1] God in their hearts.” Thus Job did continually.
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-Satan Allowed to Test Job
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-6Now there was a day when the sons of God came to present themselves before the LORD, and Satan[2] also came among them. 7The LORD said to Satan, “From where have you come?” Satan answered the LORD and said, “From going to and fro on the earth, and from walking up and down on it.” 8And the LORD said to Satan, “Have you considered my servant Job, that there is none like him on the earth, a blameless and upright man, who fears God and turns away from evil?” 9Then Satan answered the LORD and said, “Does Job fear God for no reason? 10Have you not put a hedge around him and his house and all that he has, on every side? You have blessed the work of his hands, and his possessions have increased in the land. 11But stretch out your hand and touch all that he has, and he will curse you to your face.” 12And the LORD said to Satan, “Behold, all that he has is in your hand. Only against him do not stretch out your hand.” So Satan went out from the presence of the LORD.
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-Satan Takes Job's Property and Children
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-13Now there was a day when his sons and daughters were eating and drinking wine in their oldest brother's house, 14and there came a messenger to Job and said, “The oxen were plowing and the donkeys feeding beside them, 15and the Sabeans fell upon them and took them and struck down the servants[3] with the edge of the sword, and I alone have escaped to tell you.” 16While he was yet speaking, there came another and said, “The fire of God fell from heaven and burned up the sheep and the servants and consumed them, and I alone have escaped to tell you.” 17While he was yet speaking, there came another and said, “The Chaldeans formed three groups and made a raid on the camels and took them and struck down the servants with the edge of the sword, and I alone have escaped to tell you.” 18While he was yet speaking, there came another and said, “Your sons and daughters were eating and drinking wine in their oldest brother's house, 19and behold, a great wind came across the wilderness and struck the four corners of the house, and it fell upon the young people, and they are dead, and I alone have escaped to tell you.”
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-20Then Job arose and tore his robe and shaved his head and fell on the ground and worshiped. 21And he said, “Naked I came from my mother's womb, and naked shall I return. The LORD gave, and the LORD has taken away; blessed be the name of the LORD.”
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-22In all this Job did not sin or charge God with wrong.
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-Satan Attacks Job's Health
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-2:1 Again there was a day when the sons of God came to present themselves before the LORD, and Satan also came among them to present himself before the LORD. 2And the LORD said to Satan, “From where have you come?” Satan answered the LORD and said, “From going to and fro on the earth, and from walking up and down on it.” 3And the LORD said to Satan, “Have you considered my servant Job, that there is none like him on the earth, a blameless and upright man, who fears God and turns away from evil? He still holds fast his integrity, although you incited me against him to destroy him without reason.” 4Then Satan answered the LORD and said, “Skin for skin! All that a man has he will give for his life. 5But stretch out your hand and touch his bone and his flesh, and he will curse you to your face.” 6And the LORD said to Satan, “Behold, he is in your hand; only spare his life.”
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-7So Satan went out from the presence of the LORD and struck Job with loathsome sores from the sole of his foot to the crown of his head. 8And he took a piece of broken pottery with which to scrape himself while he sat in the ashes.
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-9Then his wife said to him, “Do you still hold fast your integrity? Curse God and die.” 10But he said to her, “You speak as one of the foolish women would speak. Shall we receive good from God, and shall we not receive evil?”[4] In all this Job did not sin with his lips.
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-Job's Three Friends
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-11Now when Job's three friends heard of all this evil that had come upon him, they came each from his own place, Eliphaz the Temanite, Bildad the Shuhite, and Zophar the Naamathite. They made an appointment together to come to show him sympathy and comfort him. 12And when they saw him from a distance, they did not recognize him. And they raised their voices and wept, and they tore their robes and sprinkled dust on their heads toward heaven. 13And they sat with him on the ground seven days and seven nights, and no one spoke a word to him, for they saw that his suffering was very great.
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-Job Laments His Birth
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-3:1 After this Job opened his mouth and cursed the day of his birth. 2And Job said:
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-3“Let the day perish on which I was born,
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-and the night that said,
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-‘A man is conceived.’
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-4Let that day be darkness!
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-May God above not seek it,
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-nor light shine upon it.
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-5Let gloom and deep darkness claim it.
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-Let clouds dwell upon it;
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-let the blackness of the day terrify it.
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-6That night—let thick darkness seize it!
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-Let it not rejoice among the days of the year;
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-let it not come into the number of the months.
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-7Behold, let that night be barren;
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-let no joyful cry enter it.
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-8Let those curse it who curse the day,
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-who are ready to rouse up Leviathan.
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-9Let the stars of its dawn be dark;
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-let it hope for light, but have none,
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-nor see the eyelids of the morning,
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-10because it did not shut the doors of my mother's womb,
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-nor hide trouble from my eyes.
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-11“Why did I not die at birth,
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-come out from the womb and expire?
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-12Why did the knees receive me?
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-Or why the breasts, that I should nurse?
-
-13For then I would have lain down and been quiet;
-
-I would have slept; then I would have been at rest,
-
-14with kings and counselors of the earth
-
-who rebuilt ruins for themselves,
-
-15or with princes who had gold,
-
-who filled their houses with silver.
-
-16Or why was I not as a hidden stillborn child,
-
-as infants who never see the light?
-
-17There the wicked cease from troubling,
-
-and there the weary are at rest.
-
-18There the prisoners are at ease together;
-
-they hear not the voice of the taskmaster.
-
-19The small and the great are there,
-
-and the slave is free from his master.
-
-20“Why is light given to him who is in misery,
-
-and life to the bitter in soul,
-
-21who long for death, but it comes not,
-
-and dig for it more than for hidden treasures,
-
-22who rejoice exceedingly
-
-and are glad when they find the grave?
-
-23Why is light given to a man whose way is hidden,
-
-whom God has hedged in?
-
-24For my sighing comes instead of[5] my bread,
-
-and my groanings are poured out like water.
-
-25For the thing that I fear comes upon me,
-
-and what I dread befalls me.
-
-26I am not at ease, nor am I quiet;
-
-I have no rest, but trouble comes.”
-
-
-
-
-
-Eliphaz Speaks: The Innocent Prosper
-
-
-4:1 Then Eliphaz the Temanite answered and said:
-
-2“If one ventures a word with you, will you be impatient?
-
-Yet who can keep from speaking?
-
-3Behold, you have instructed many,
-
-and you have strengthened the weak hands.
-
-4Your words have upheld him who was stumbling,
-
-and you have made firm the feeble knees.
-
-5But now it has come to you, and you are impatient;
-
-it touches you, and you are dismayed.
-
-6Is not your fear of God[6] your confidence,
-
-and the integrity of your ways your hope?
-
-7“Remember: who that was innocent ever perished?
-
-Or where were the upright cut off?
-
-8As I have seen, those who plow iniquity
-
-and sow trouble reap the same.
-
-9By the breath of God they perish,
-
-and by the blast of his anger they are consumed.
-
-10The roar of the lion, the voice of the fierce lion,
-
-the teeth of the young lions are broken.
-
-11The strong lion perishes for lack of prey,
-
-and the cubs of the lioness are scattered.
-
-12“Now a word was brought to me stealthily;
-
-my ear received the whisper of it.
-
-13Amid thoughts from visions of the night,
-
-when deep sleep falls on men,
-
-14dread came upon me, and trembling,
-
-which made all my bones shake.
-
-15A spirit glided past my face;
-
-the hair of my flesh stood up.
-
-16It stood still,
-
-but I could not discern its appearance.
-
-A form was before my eyes;
-
-there was silence, then I heard a voice:
-
-17‘Can mortal man be in the right before[7] God?
-
-Can a man be pure before his Maker?
-
-18Even in his servants he puts no trust,
-
-and his angels he charges with error;
-
-19how much more those who dwell in houses of clay,
-
-whose foundation is in the dust,
-
-who are crushed like the moth.
-
-20Between morning and evening they are beaten to pieces;
-
-they perish forever without anyone regarding it.
-
-21Is not their tent-cord plucked up within them,
-
-do they not die, and that without wisdom?’
-
-
-
-
-
-5:1 “Call now; is there anyone who will answer you?
-
-To which of the holy ones will you turn?
-
-2Surely vexation kills the fool,
-
-and jealousy slays the simple.
-
-3I have seen the fool taking root,
-
-but suddenly I cursed his dwelling.
-
-4His children are far from safety;
-
-they are crushed in the gate,
-
-and there is no one to deliver them.
-
-5The hungry eat his harvest,
-
-and he takes it even out of thorns,[8]
-
-and the thirsty pant[9] after his[10] wealth.
-
-6For affliction does not come from the dust,
-
-nor does trouble sprout from the ground,
-
-7but man is born to trouble
-
-as the sparks fly upward.
-
-8“As for me, I would seek God,
-
-and to God would I commit my cause,
-
-9who does great things and unsearchable,
-
-marvelous things without number:
-
-10he gives rain on the earth
-
-and sends waters on the fields;
-
-11he sets on high those who are lowly,
-
-and those who mourn are lifted to safety.
-
-12He frustrates the devices of the crafty,
-
-so that their hands achieve no success.
-
-13He catches the wise in their own craftiness,
-
-and the schemes of the wily are brought to a quick end.
-
-14They meet with darkness in the daytime
-
-and grope at noonday as in the night.
-
-15But he saves the needy from the sword of their mouth
-
-and from the hand of the mighty.
-
-16So the poor have hope,
-
-and injustice shuts her mouth.
-
-17“Behold, blessed is the one whom God reproves;
-
-therefore despise not the discipline of the Almighty.
-
-18For he wounds, but he binds up;
-
-he shatters, but his hands heal.
-
-19He will deliver you from six troubles;
-
-in seven no evil[11] shall touch you.
-
-20In famine he will redeem you from death,
-
-and in war from the power of the sword.
-
-21You shall be hidden from the lash of the tongue,
-
-and shall not fear destruction when it comes.
-
-22At destruction and famine you shall laugh,
-
-and shall not fear the beasts of the earth.
-
-23For you shall be in league with the stones of the field,
-
-and the beasts of the field shall be at peace with you.
-
-24You shall know that your tent is at peace,
-
-and you shall inspect your fold and miss nothing.
-
-25You shall know also that your offspring shall be many,
-
-and your descendants as the grass of the earth.
-
-26You shall come to your grave in ripe old age,
-
-like a sheaf gathered up in its season.
-
-27Behold, this we have searched out; it is true.
-
-Hear, and know it for your good.”[12]
-
-
-
-
-
-Job Replies: My Complaint Is Just
-
-
-6:1 Then Job answered and said:
-
-2“Oh that my vexation were weighed,
-
-and all my calamity laid in the balances!
-
-3For then it would be heavier than the sand of the sea;
-
-therefore my words have been rash.
-
-4For the arrows of the Almighty are in me;
-
-my spirit drinks their poison;
-
-the terrors of God are arrayed against me.
-
-5Does the wild donkey bray when he has grass,
-
-or the ox low over his fodder?
-
-6Can that which is tasteless be eaten without salt,
-
-or is there any taste in the juice of the mallow?[13]
-
-7My appetite refuses to touch them;
-
-they are as food that is loathsome to me.[14]
-
-8“Oh that I might have my request,
-
-and that God would fulfill my hope,
-
-9that it would please God to crush me,
-
-that he would let loose his hand and cut me off!
-
-10This would be my comfort;
-
-I would even exult[15] in pain unsparing,
-
-for I have not denied the words of the Holy One.
-
-11What is my strength, that I should wait?
-
-And what is my end, that I should be patient?
-
-12Is my strength the strength of stones, or is my flesh bronze?
-
-13Have I any help in me,
-
-when resource is driven from me?
-
-14“He who withholds[16] kindness from a friend
-
-forsakes the fear of the Almighty.
-
-15My brothers are treacherous as a torrent-bed,
-
-as torrential streams that pass away,
-
-16which are dark with ice,
-
-and where the snow hides itself.
-
-17When they melt, they disappear;
-
-when it is hot, they vanish from their place.
-
-18The caravans turn aside from their course;
-
-they go up into the waste and perish.
-
-19The caravans of Tema look,
-
-the travelers of Sheba hope.
-
-20They are ashamed because they were confident;
-
-they come there and are disappointed.
-
-21For you have now become nothing;
-
-you see my calamity and are afraid.
-
-22Have I said, ‘Make me a gift’?
-
-Or, ‘From your wealth offer a bribe for me’?
-
-23Or, ‘Deliver me from the adversary's hand’?
-
-Or, ‘Redeem me from the hand of the ruthless’?
-
-24“Teach me, and I will be silent;
-
-make me understand how I have gone astray.
-
-25How forceful are upright words!
-
-But what does reproof from you reprove?
-
-26Do you think that you can reprove words,
-
-when the speech of a despairing man is wind?
-
-27You would even cast lots over the fatherless,
-
-and bargain over your friend.
-
-28“But now, be pleased to look at me,
-
-for I will not lie to your face.
-
-29Please turn; let no injustice be done.
-
-Turn now; my vindication is at stake.
-
-30Is there any injustice on my tongue?
-
-Cannot my palate discern the cause of calamity?
-
-
-
-
-
-Job Continues: My Life Has No Hope
-
-
-7:1 “Has not man a hard service on earth,
-
-and are not his days like the days of a hired hand?
-
-2Like a slave who longs for the shadow,
-
-and like a hired hand who looks for his wages,
-
-3so I am allotted months of emptiness,
-
-and nights of misery are apportioned to me.
-
-4When I lie down I say, ‘When shall I arise?’
-
-But the night is long,
-
-and I am full of tossing till the dawn.
-
-5My flesh is clothed with worms and dirt;
-
-my skin hardens, then breaks out afresh.
-
-6My days are swifter than a weaver's shuttle
-
-and come to their end without hope.
-
-7“Remember that my life is a breath;
-
-my eye will never again see good.
-
-8The eye of him who sees me will behold me no more;
-
-while your eyes are on me, I shall be gone.
-
-9As the cloud fades and vanishes,
-
-so he who goes down to Sheol does not come up;
-
-10he returns no more to his house,
-
-nor does his place know him anymore.
-
-11“Therefore I will not restrain my mouth;
-
-I will speak in the anguish of my spirit;
-
-I will complain in the bitterness of my soul.
-
-12Am I the sea, or a sea monster,
-
-that you set a guard over me?
-
-13When I say, ‘My bed will comfort me,
-
-my couch will ease my complaint,’
-
-14then you scare me with dreams
-
-and terrify me with visions,
-
-15so that I would choose strangling
-
-and death rather than my bones.
-
-16I loathe my life; I would not live forever.
-
-Leave me alone, for my days are a breath.
-
-17What is man, that you make so much of him,
-
-and that you set your heart on him,
-
-18visit him every morning
-
-and test him every moment?
-
-19How long will you not look away from me,
-
-nor leave me alone till I swallow my spit?
-
-20If I sin, what do I do to you, you watcher of mankind?
-
-Why have you made me your mark?
-
-Why have I become a burden to you?
-
-21Why do you not pardon my transgression
-
-and take away my iniquity?
-
-For now I shall lie in the earth;
-
-you will seek me, but I shall not be.”
-
-
-
-
-
-Bildad Speaks: Job Should Repent
-
-
-8:1 Then Bildad the Shuhite answered and said:
-
-2“How long will you say these things,
-
-and the words of your mouth be a great wind?
-
-3Does God pervert justice?
-
-Or does the Almighty pervert the right?
-
-4If your children have sinned against him,
-
-he has delivered them into the hand of their transgression.
-
-5If you will seek God
-
-and plead with the Almighty for mercy,
-
-6if you are pure and upright,
-
-surely then he will rouse himself for you
-
-and restore your rightful habitation.
-
-7And though your beginning was small,
-
-your latter days will be very great.
-
-8“For inquire, please, of bygone ages,
-
-and consider what the fathers have searched out.
-
-9For we are but of yesterday and know nothing,
-
-for our days on earth are a shadow.
-
-10Will they not teach you and tell you
-
-and utter words out of their understanding?
-
-11“Can papyrus grow where there is no marsh?
-
-Can reeds flourish where there is no water?
-
-12While yet in flower and not cut down,
-
-they wither before any other plant.
-
-13Such are the paths of all who forget God;
-
-the hope of the godless shall perish.
-
-14His confidence is severed,
-
-and his trust is a spider's web.[17]
-
-15He leans against his house, but it does not stand;
-
-he lays hold of it, but it does not endure.
-
-16He is a lush plant before the sun,
-
-and his shoots spread over his garden.
-
-17His roots entwine the stone heap;
-
-he looks upon a house of stones.
-
-18If he is destroyed from his place,
-
-then it will deny him, saying, ‘I have never seen you.’
-
-19Behold, this is the joy of his way,
-
-and out of the soil others will spring.
-
-20“Behold, God will not reject a blameless man,
-
-nor take the hand of evildoers.
-
-21He will yet fill your mouth with laughter,
-
-and your lips with shouting.
-
-22Those who hate you will be clothed with shame,
-
-and the tent of the wicked will be no more.”
-
-
-
-
-
-Job Replies: There Is No Arbiter
-
-
-9:1 Then Job answered and said:
-
-2“Truly I know that it is so:
-
-But how can a man be in the right before God?
-
-3If one wished to contend with him,
-
-one could not answer him once in a thousand times.
-
-4He is wise in heart and mighty in strength
-
-—who has hardened himself against him, and succeeded?—
-
-5he who removes mountains, and they know it not,
-
-when he overturns them in his anger,
-
-6who shakes the earth out of its place,
-
-and its pillars tremble;
-
-7who commands the sun, and it does not rise;
-
-who seals up the stars;
-
-8who alone stretched out the heavens
-
-and trampled the waves of the sea;
-
-9who made the Bear and Orion,
-
-the Pleiades and the chambers of the south;
-
-10who does great things beyond searching out,
-
-and marvelous things beyond number.
-
-11Behold, he passes by me, and I see him not;
-
-he moves on, but I do not perceive him.
-
-12Behold, he snatches away; who can turn him back?
-
-Who will say to him, ‘What are you doing?’
-
-13“God will not turn back his anger;
-
-beneath him bowed the helpers of Rahab.
-
-14How then can I answer him,
-
-choosing my words with him?
-
-15Though I am in the right, I cannot answer him;
-
-I must appeal for mercy to my accuser.[18]
-
-16If I summoned him and he answered me,
-
-I would not believe that he was listening to my voice.
-
-17For he crushes me with a tempest
-
-and multiplies my wounds without cause;
-
-18he will not let me get my breath,
-
-but fills me with bitterness.
-
-19If it is a contest of strength, behold, he is mighty!
-
-If it is a matter of justice, who can summon him?[19]
-
-20Though I am in the right, my own mouth would condemn me;
-
-though I am blameless, he would prove me perverse.
-
-21I am blameless; I regard not myself;
-
-I loathe my life.
-
-22It is all one; therefore I say,
-
-He destroys both the blameless and the wicked.
-
-23When disaster brings sudden death,
-
-he mocks at the calamity[20] of the innocent.
-
-24The earth is given into the hand of the wicked;
-
-he covers the faces of its judges—
-
-if it is not he, who then is it?
-
-25“My days are swifter than a runner;
-
-they flee away; they see no good.
-
-26They go by like skiffs of reed,
-
-like an eagle swooping on the prey.
-
-27If I say, ‘I will forget my complaint,
-
-I will put off my sad face, and be of good cheer,’
-
-28I become afraid of all my suffering,
-
-for I know you will not hold me innocent.
-
-29I shall be condemned;
-
-why then do I labor in vain?
-
-30If I wash myself with snow
-
-and cleanse my hands with lye,
-
-31yet you will plunge me into a pit,
-
-and my own clothes will abhor me.
-
-32For he is not a man, as I am, that I might answer him,
-
-that we should come to trial together.
-
-33There is no[21] arbiter between us,
-
-who might lay his hand on us both.
-
-34Let him take his rod away from me,
-
-and let not dread of him terrify me.
-
-35Then I would speak without fear of him,
-
-for I am not so in myself.
-
-
-
-
-
-Job Continues: A Plea to God
-
-
-10:1 “I loathe my life;
-
-I will give free utterance to my complaint;
-
-I will speak in the bitterness of my soul.
-
-2I will say to God, Do not condemn me;
-
-let me know why you contend against me.
-
-3Does it seem good to you to oppress,
-
-to despise the work of your hands
-
-and favor the designs of the wicked?
-
-4Have you eyes of flesh?
-
-Do you see as man sees?
-
-5Are your days as the days of man,
-
-or your years as a man's years,
-
-6that you seek out my iniquity
-
-and search for my sin,
-
-7although you know that I am not guilty,
-
-and there is none to deliver out of your hand?
-
-8Your hands fashioned and made me,
-
-and now you have destroyed me altogether.
-
-9Remember that you have made me like clay;
-
-and will you return me to the dust?
-
-10Did you not pour me out like milk
-
-and curdle me like cheese?
-
-11You clothed me with skin and flesh,
-
-and knit me together with bones and sinews.
-
-12You have granted me life and steadfast love,
-
-and your care has preserved my spirit.
-
-13Yet these things you hid in your heart;
-
-I know that this was your purpose.
-
-14If I sin, you watch me
-
-and do not acquit me of my iniquity.
-
-15If I am guilty, woe to me!
-
-If I am in the right, I cannot lift up my head,
-
-for I am filled with disgrace
-
-and look on my affliction.
-
-16And were my head lifted up,[22] you would hunt me like a lion
-
-and again work wonders against me.
-
-17You renew your witnesses against me
-
-and increase your vexation toward me;
-
-you bring fresh troops against me.
-
-18“Why did you bring me out from the womb?
-
-Would that I had died before any eye had seen me
-
-19and were as though I had not been,
-
-carried from the womb to the grave.
-
-20Are not my days few?
-
-Then cease, and leave me alone, that I may find a little cheer
-
-21before I go—and I shall not return—
-
-to the land of darkness and deep shadow,
-
-22the land of gloom like thick darkness,
-
-like deep shadow without any order,
-
-where light is as thick darkness.”
-
-
-
-
-
-Zophar Speaks: You Deserve Worse
-
-
-11:1 Then Zophar the Naamathite answered and said:
-
-2“Should a multitude of words go unanswered,
-
-and a man full of talk be judged right?
-
-3Should your babble silence men,
-
-and when you mock, shall no one shame you?
-
-4For you say, ‘My doctrine is pure,
-
-and I am clean in God's[23] eyes.’
-
-5But oh, that God would speak
-
-and open his lips to you,
-
-6and that he would tell you the secrets of wisdom!
-
-For he is manifold in understanding.[24]
-
-Know then that God exacts of you less than your guilt deserves.
-
-7“Can you find out the deep things of God?
-
-Can you find out the limit of the Almighty?
-
-8It is higher than heaven[25]—what can you do?
-
-Deeper than Sheol—what can you know?
-
-9Its measure is longer than the earth
-
-and broader than the sea.
-
-10If he passes through and imprisons
-
-and summons the court, who can turn him back?
-
-11For he knows worthless men;
-
-when he sees iniquity, will he not consider it?
-
-12But a stupid man will get understanding
-
-when a wild donkey's colt is born a man!
-
-13“If you prepare your heart,
-
-you will stretch out your hands toward him.
-
-14If iniquity is in your hand, put it far away,
-
-and let not injustice dwell in your tents.
-
-15Surely then you will lift up your face without blemish;
-
-you will be secure and will not fear.
-
-16You will forget your misery;
-
-you will remember it as waters that have passed away.
-
-17And your life will be brighter than the noonday;
-
-its darkness will be like the morning.
-
-18And you will feel secure, because there is hope;
-
-you will look around and take your rest in security.
-
-19You will lie down, and none will make you afraid;
-
-many will court your favor.
-
-20But the eyes of the wicked will fail;
-
-all way of escape will be lost to them,
-
-and their hope is to breathe their last.”
-
-
-
-
-
-Job Replies: The LORD Has Done This
-
-
-12:1 Then Job answered and said:
-
-2“No doubt you are the people,
-
-and wisdom will die with you.
-
-3But I have understanding as well as you;
-
-I am not inferior to you.
-
-Who does not know such things as these?
-
-4I am a laughingstock to my friends;
-
-I, who called to God and he answered me,
-
-a just and blameless man, am a laughingstock.
-
-5In the thought of one who is at ease there is contempt for misfortune;
-
-it is ready for those whose feet slip.
-
-6The tents of robbers are at peace,
-
-and those who provoke God are secure,
-
-who bring their god in their hand.[26]
-
-7“But ask the beasts, and they will teach you;
-
-the birds of the heavens, and they will tell you;
-
-8or the bushes of the earth,[27] and they will teach you;
-
-and the fish of the sea will declare to you.
-
-9Who among all these does not know
-
-that the hand of the LORD has done this?
-
-10In his hand is the life of every living thing
-
-and the breath of all mankind.
-
-11Does not the ear test words
-
-as the palate tastes food?
-
-12Wisdom is with the aged,
-
-and understanding in length of days.
-
-13“With God[28] are wisdom and might;
-
-he has counsel and understanding.
-
-14If he tears down, none can rebuild;
-
-if he shuts a man in, none can open.
-
-15If he withholds the waters, they dry up;
-
-if he sends them out, they overwhelm the land.
-
-16With him are strength and sound wisdom;
-
-the deceived and the deceiver are his.
-
-17He leads counselors away stripped,
-
-and judges he makes fools.
-
-18He looses the bonds of kings
-
-and binds a waistcloth on their hips.
-
-19He leads priests away stripped
-
-and overthrows the mighty.
-
-20He deprives of speech those who are trusted
-
-and takes away the discernment of the elders.
-
-21He pours contempt on princes
-
-and loosens the belt of the strong.
-
-22He uncovers the deeps out of darkness
-
-and brings deep darkness to light.
-
-23He makes nations great, and he destroys them;
-
-he enlarges nations, and leads them away.
-
-24He takes away understanding from the chiefs of the people of the earth
-
-and makes them wander in a pathless waste.
-
-25They grope in the dark without light,
-
-and he makes them stagger like a drunken man.
-
-
-
-
-
-Job Continues: Still I Will Hope in God
-
-
-13:1 “Behold, my eye has seen all this,
-
-my ear has heard and understood it.
-
-2What you know, I also know;
-
-I am not inferior to you.
-
-3But I would speak to the Almighty,
-
-and I desire to argue my case with God.
-
-4As for you, you whitewash with lies;
-
-worthless physicians are you all.
-
-5Oh that you would keep silent,
-
-and it would be your wisdom!
-
-6Hear now my argument
-
-and listen to the pleadings of my lips.
-
-7Will you speak falsely for God
-
-and speak deceitfully for him?
-
-8Will you show partiality toward him?
-
-Will you plead the case for God?
-
-9Will it be well with you when he searches you out?
-
-Or can you deceive him, as one deceives a man?
-
-10He will surely rebuke you
-
-if in secret you show partiality.
-
-11Will not his majesty terrify you,
-
-and the dread of him fall upon you?
-
-12Your maxims are proverbs of ashes;
-
-your defenses are defenses of clay.
-
-13“Let me have silence, and I will speak,
-
-and let come on me what may.
-
-14Why should I take my flesh in my teeth
-
-and put my life in my hand?
-
-15Though he slay me, I will hope in him;[29]
-
-yet I will argue my ways to his face.
-
-16This will be my salvation,
-
-that the godless shall not come before him.
-
-17Keep listening to my words,
-
-and let my declaration be in your ears.
-
-18Behold, I have prepared my case;
-
-I know that I shall be in the right.
-
-19Who is there who will contend with me?
-
-For then I would be silent and die.
-
-20Only grant me two things,
-
-then I will not hide myself from your face:
-
-21withdraw your hand far from me,
-
-and let not dread of you terrify me.
-
-22Then call, and I will answer;
-
-or let me speak, and you reply to me.
-
-23How many are my iniquities and my sins?
-
-Make me know my transgression and my sin.
-
-24Why do you hide your face
-
-and count me as your enemy?
-
-25Will you frighten a driven leaf
-
-and pursue dry chaff?
-
-26For you write bitter things against me
-
-and make me inherit the iniquities of my youth.
-
-27You put my feet in the stocks
-
-and watch all my paths;
-
-you set a limit for[30] the soles of my feet.
-
-28Man[31] wastes away like a rotten thing,
-
-like a garment that is moth-eaten.
-
-
-
-
-
-Job Continues: Death Comes Soon to All
-
-
-14:1 “Man who is born of a woman
-
-is few of days and full of trouble.
-
-2He comes out like a flower and withers;
-
-he flees like a shadow and continues not.
-
-3And do you open your eyes on such a one
-
-and bring me into judgment with you?
-
-4Who can bring a clean thing out of an unclean?
-
-There is not one.
-
-5Since his days are determined,
-
-and the number of his months is with you,
-
-and you have appointed his limits that he cannot pass,
-
-6look away from him and leave him alone,[32]
-
-that he may enjoy, like a hired hand, his day.
-
-7“For there is hope for a tree,
-
-if it be cut down, that it will sprout again,
-
-and that its shoots will not cease.
-
-8Though its root grow old in the earth,
-
-and its stump die in the soil,
-
-9yet at the scent of water it will bud
-
-and put out branches like a young plant.
-
-10But a man dies and is laid low;
-
-man breathes his last, and where is he?
-
-11As waters fail from a lake
-
-and a river wastes away and dries up,
-
-12so a man lies down and rises not again;
-
-till the heavens are no more he will not awake
-
-or be roused out of his sleep.
-
-13Oh that you would hide me in Sheol,
-
-that you would conceal me until your wrath be past,
-
-that you would appoint me a set time, and remember me!
-
-14If a man dies, shall he live again?
-
-All the days of my service I would wait,
-
-till my renewal[33] should come.
-
-15You would call, and I would answer you;
-
-you would long for the work of your hands.
-
-16For then you would number my steps;
-
-you would not keep watch over my sin;
-
-17my transgression would be sealed up in a bag,
-
-and you would cover over my iniquity.
-
-18“But the mountain falls and crumbles away,
-
-and the rock is removed from its place;
-
-19the waters wear away the stones;
-
-the torrents wash away the soil of the earth;
-
-so you destroy the hope of man.
-
-20You prevail forever against him, and he passes;
-
-you change his countenance, and send him away.
-
-21His sons come to honor, and he does not know it;
-
-they are brought low, and he perceives it not.
-
-22He feels only the pain of his own body,
-
-and he mourns only for himself.”
-
-
-
-
-
-Eliphaz Accuses: Job Does Not Fear God
-
-
-15:1 Then Eliphaz the Temanite answered and said:
-
-2“Should a wise man answer with windy knowledge,
-
-and fill his belly with the east wind?
-
-3Should he argue in unprofitable talk,
-
-or in words with which he can do no good?
-
-4But you are doing away with the fear of God[34]
-
-and hindering meditation before God.
-
-5For your iniquity teaches your mouth,
-
-and you choose the tongue of the crafty.
-
-6Your own mouth condemns you, and not I;
-
-your own lips testify against you.
-
-7“Are you the first man who was born?
-
-Or were you brought forth before the hills?
-
-8Have you listened in the council of God?
-
-And do you limit wisdom to yourself?
-
-9What do you know that we do not know?
-
-What do you understand that is not clear to us?
-
-10Both the gray-haired and the aged are among us,
-
-older than your father.
-
-11Are the comforts of God too small for you,
-
-or the word that deals gently with you?
-
-12Why does your heart carry you away,
-
-and why do your eyes flash,
-
-13that you turn your spirit against God
-
-and bring such words out of your mouth?
-
-14What is man, that he can be pure?
-
-Or he who is born of a woman, that he can be righteous?
-
-15Behold, God[35] puts no trust in his holy ones,
-
-and the heavens are not pure in his sight;
-
-16how much less one who is abominable and corrupt,
-
-a man who drinks injustice like water!
-
-17“I will show you; hear me,
-
-and what I have seen I will declare
-
-18(what wise men have told,
-
-without hiding it from their fathers,
-
-19to whom alone the land was given,
-
-and no stranger passed among them).
-
-20The wicked man writhes in pain all his days,
-
-through all the years that are laid up for the ruthless.
-
-21Dreadful sounds are in his ears;
-
-in prosperity the destroyer will come upon him.
-
-22He does not believe that he will return out of darkness,
-
-and he is marked for the sword.
-
-23He wanders abroad for bread, saying, ‘Where is it?’
-
-He knows that a day of darkness is ready at his hand;
-
-24distress and anguish terrify him;
-
-they prevail against him, like a king ready for battle.
-
-25Because he has stretched out his hand against God
-
-and defies the Almighty,
-
-26running stubbornly against him
-
-with a thickly bossed shield;
-
-27because he has covered his face with his fat
-
-and gathered fat upon his waist
-
-28and has lived in desolate cities,
-
-in houses that none should inhabit,
-
-which were ready to become heaps of ruins;
-
-29he will not be rich, and his wealth will not endure,
-
-nor will his possessions spread over the earth;[36]
-
-30he will not depart from darkness;
-
-the flame will dry up his shoots,
-
-and by the breath of his mouth he will depart.
-
-31Let him not trust in emptiness, deceiving himself,
-
-for emptiness will be his payment.
-
-32It will be paid in full before his time,
-
-and his branch will not be green.
-
-33He will shake off his unripe grape like the vine,
-
-and cast off his blossom like the olive tree.
-
-34For the company of the godless is barren,
-
-and fire consumes the tents of bribery.
-
-35They conceive trouble and give birth to evil,
-
-and their womb prepares deceit.”
-
-
-
-
-
-Job Replies: Miserable Comforters Are You
-
-
-16:1 Then Job answered and said:
-
-2“I have heard many such things;
-
-miserable comforters are you all.
-
-3Shall windy words have an end?
-
-Or what provokes you that you answer?
-
-4I also could speak as you do,
-
-if you were in my place;
-
-I could join words together against you
-
-and shake my head at you.
-
-5I could strengthen you with my mouth,
-
-and the solace of my lips would assuage your pain.
-
-6“If I speak, my pain is not assuaged,
-
-and if I forbear, how much of it leaves me?
-
-7Surely now God has worn me out;
-
-he has[37] made desolate all my company.
-
-8And he has shriveled me up,
-
-which is a witness against me,
-
-and my leanness has risen up against me;
-
-it testifies to my face.
-
-9He has torn me in his wrath and hated me;
-
-he has gnashed his teeth at me;
-
-my adversary sharpens his eyes against me.
-
-10Men have gaped at me with their mouth;
-
-they have struck me insolently on the cheek;
-
-they mass themselves together against me.
-
-11God gives me up to the ungodly
-
-and casts me into the hands of the wicked.
-
-12I was at ease, and he broke me apart;
-
-he seized me by the neck and dashed me to pieces;
-
-he set me up as his target;
-
-13his archers surround me.
-
-He slashes open my kidneys and does not spare;
-
-he pours out my gall on the ground.
-
-14He breaks me with breach upon breach;
-
-he runs upon me like a warrior.
-
-15I have sewed sackcloth upon my skin
-
-and have laid my strength in the dust.
-
-16My face is red with weeping,
-
-and on my eyelids is deep darkness,
-
-17although there is no violence in my hands,
-
-and my prayer is pure.
-
-18“O earth, cover not my blood,
-
-and let my cry find no resting place.
-
-19Even now, behold, my witness is in heaven,
-
-and he who testifies for me is on high.
-
-20My friends scorn me;
-
-my eye pours out tears to God,
-
-21that he would argue the case of a man with God,
-
-as[38] a son of man does with his neighbor.
-
-22For when a few years have come
-
-I shall go the way from which I shall not return.
-
-
-
-
-
-Job Continues: Where Then Is My Hope?
-
-
-17:1 “My spirit is broken; my days are extinct;
-
-the graveyard is ready for me.
-
-2Surely there are mockers about me,
-
-and my eye dwells on their provocation.
-
-3“Lay down a pledge for me with yourself;
-
-who is there who will put up security for me?
-
-4Since you have closed their hearts to understanding,
-
-therefore you will not let them triumph.
-
-5He who informs against his friends to get a share of their property—
-
-the eyes of his children will fail.
-
-6“He has made me a byword of the peoples,
-
-and I am one before whom men spit.
-
-7My eye has grown dim from vexation,
-
-and all my members are like a shadow.
-
-8The upright are appalled at this,
-
-and the innocent stirs himself up against the godless.
-
-9Yet the righteous holds to his way,
-
-and he who has clean hands grows stronger and stronger.
-
-10But you, come on again, all of you,
-
-and I shall not find a wise man among you.
-
-11My days are past; my plans are broken off,
-
-the desires of my heart.
-
-12They make night into day:
-
-‘The light,’ they say, ‘is near to the darkness.’[39]
-
-13If I hope for Sheol as my house,
-
-if I make my bed in darkness,
-
-14if I say to the pit, ‘You are my father,’
-
-and to the worm, ‘My mother,’ or ‘My sister,’
-
-15where then is my hope?
-
-Who will see my hope?
-
-16Will it go down to the bars of Sheol?
-
-Shall we descend together into the dust?”
-
-
-
-
-
-Bildad Speaks: God Punishes the Wicked
-
-
-18:1 Then Bildad the Shuhite answered and said:
-
-2“How long will you hunt for words?
-
-Consider, and then we will speak.
-
-3Why are we counted as cattle?
-
-Why are we stupid in your sight?
-
-4You who tear yourself in your anger,
-
-shall the earth be forsaken for you,
-
-or the rock be removed out of its place?
-
-5“Indeed, the light of the wicked is put out,
-
-and the flame of his fire does not shine.
-
-6The light is dark in his tent,
-
-and his lamp above him is put out.
-
-7His strong steps are shortened,
-
-and his own schemes throw him down.
-
-8For he is cast into a net by his own feet,
-
-and he walks on its mesh.
-
-9A trap seizes him by the heel;
-
-a snare lays hold of him.
-
-10A rope is hidden for him in the ground,
-
-a trap for him in the path.
-
-11Terrors frighten him on every side,
-
-and chase him at his heels.
-
-12His strength is famished,
-
-and calamity is ready for his stumbling.
-
-13It consumes the parts of his skin;
-
-the firstborn of death consumes his limbs.
-
-14He is torn from the tent in which he trusted
-
-and is brought to the king of terrors.
-
-15In his tent dwells that which is none of his;
-
-sulfur is scattered over his habitation.
-
-16His roots dry up beneath,
-
-and his branches wither above.
-
-17His memory perishes from the earth,
-
-and he has no name in the street.
-
-18He is thrust from light into darkness,
-
-and driven out of the world.
-
-19He has no posterity or progeny among his people,
-
-and no survivor where he used to live.
-
-20They of the west are appalled at his day,
-
-and horror seizes them of the east.
-
-21Surely such are the dwellings of the unrighteous,
-
-such is the place of him who knows not God.”
-
-
-
-
-
-Job Replies: My Redeemer Lives
-
-
-19:1 Then Job answered and said:
-
-2“How long will you torment me
-
-and break me in pieces with words?
-
-3These ten times you have cast reproach upon me;
-
-are you not ashamed to wrong me?
-
-4And even if it be true that I have erred,
-
-my error remains with myself.
-
-5If indeed you magnify yourselves against me
-
-and make my disgrace an argument against me,
-
-6know then that God has put me in the wrong
-
-and closed his net about me.
-
-7Behold, I cry out, ‘Violence!’ but I am not answered;
-
-I call for help, but there is no justice.
-
-8He has walled up my way, so that I cannot pass,
-
-and he has set darkness upon my paths.
-
-9He has stripped from me my glory
-
-and taken the crown from my head.
-
-10He breaks me down on every side, and I am gone,
-
-and my hope has he pulled up like a tree.
-
-11He has kindled his wrath against me
-
-and counts me as his adversary.
-
-12His troops come on together;
-
-they have cast up their siege ramp[40] against me
-
-and encamp around my tent.
-
-13“He has put my brothers far from me,
-
-and those who knew me are wholly estranged from me.
-
-14My relatives have failed me,
-
-my close friends have forgotten me.
-
-15The guests in my house and my maidservants count me as a stranger;
-
-I have become a foreigner in their eyes.
-
-16I call to my servant, but he gives me no answer;
-
-I must plead with him with my mouth for mercy.
-
-17My breath is strange to my wife,
-
-and I am a stench to the children of my own mother.
-
-18Even young children despise me;
-
-when I rise they talk against me.
-
-19All my intimate friends abhor me,
-
-and those whom I loved have turned against me.
-
-20My bones stick to my skin and to my flesh,
-
-and I have escaped by the skin of my teeth.
-
-21Have mercy on me, have mercy on me, O you my friends,
-
-for the hand of God has touched me!
-
-22Why do you, like God, pursue me?
-
-Why are you not satisfied with my flesh?
-
-23“Oh that my words were written!
-
-Oh that they were inscribed in a book!
-
-24Oh that with an iron pen and lead
-
-they were engraved in the rock forever!
-
-25For I know that my Redeemer lives,
-
-and at the last he will stand upon the earth.[41]
-
-26And after my skin has been thus destroyed,
-
-yet in[42] my flesh I shall see God,
-
-27whom I shall see for myself,
-
-and my eyes shall behold, and not another.
-
-My heart faints within me!
-
-28If you say, ‘How we will pursue him!’
-
-and, ‘The root of the matter is found in him,’
-
-29be afraid of the sword,
-
-for wrath brings the punishment of the sword,
-
-that you may know there is a judgment.”
-
-
-
-
-
-Zophar Speaks: The Wicked Will Suffer
-
-
-20:1 Then Zophar the Naamathite answered and said:
-
-2“Therefore my thoughts answer me,
-
-because of my haste within me.
-
-3I hear censure that insults me,
-
-and out of my understanding a spirit answers me.
-
-4Do you not know this from of old,
-
-since man was placed on earth,
-
-5that the exulting of the wicked is short,
-
-and the joy of the godless but for a moment?
-
-6Though his height mount up to the heavens,
-
-and his head reach to the clouds,
-
-7he will perish forever like his own dung;
-
-those who have seen him will say, ‘Where is he?’
-
-8He will fly away like a dream and not be found;
-
-he will be chased away like a vision of the night.
-
-9The eye that saw him will see him no more,
-
-nor will his place any more behold him.
-
-10His children will seek the favor of the poor,
-
-and his hands will give back his wealth.
-
-11His bones are full of his youthful vigor,
-
-but it will lie down with him in the dust.
-
-12“Though evil is sweet in his mouth,
-
-though he hides it under his tongue,
-
-13though he is loath to let it go
-
-and holds it in his mouth,
-
-14yet his food is turned in his stomach;
-
-it is the venom of cobras within him.
-
-15He swallows down riches and vomits them up again;
-
-God casts them out of his belly.
-
-16He will suck the poison of cobras;
-
-the tongue of a viper will kill him.
-
-17He will not look upon the rivers,
-
-the streams flowing with honey and curds.
-
-18He will give back the fruit of his toil
-
-and will not swallow it down;
-
-from the profit of his trading
-
-he will get no enjoyment.
-
-19For he has crushed and abandoned the poor;
-
-he has seized a house that he did not build.
-
-20“Because he knew no contentment in his belly,
-
-he will not let anything in which he delights escape him.
-
-21There was nothing left after he had eaten;
-
-therefore his prosperity will not endure.
-
-22In the fullness of his sufficiency he will be in distress;
-
-the hand of everyone in misery will come against him.
-
-23To fill his belly to the full,
-
-God[43] will send his burning anger against him
-
-and rain it upon him into his body.
-
-24He will flee from an iron weapon;
-
-a bronze arrow will strike him through.
-
-25It is drawn forth and comes out of his body;
-
-the glittering point comes out of his gallbladder;
-
-terrors come upon him.
-
-26Utter darkness is laid up for his treasures;
-
-a fire not fanned will devour him;
-
-what is left in his tent will be consumed.
-
-27The heavens will reveal his iniquity,
-
-and the earth will rise up against him.
-
-28The possessions of his house will be carried away,
-
-dragged off in the day of God's[44] wrath.
-
-29This is the wicked man's portion from God,
-
-the heritage decreed for him by God.”
-
-
-
-
-
-Job Replies: The Wicked Do Prosper
-
-
-21:1 Then Job answered and said:
-
-2“Keep listening to my words,
-
-and let this be your comfort.
-
-3Bear with me, and I will speak,
-
-and after I have spoken, mock on.
-
-4As for me, is my complaint against man?
-
-Why should I not be impatient?
-
-5Look at me and be appalled,
-
-and lay your hand over your mouth.
-
-6When I remember, I am dismayed,
-
-and shuddering seizes my flesh.
-
-7Why do the wicked live,
-
-reach old age, and grow mighty in power?
-
-8Their offspring are established in their presence,
-
-and their descendants before their eyes.
-
-9Their houses are safe from fear,
-
-and no rod of God is upon them.
-
-10Their bull breeds without fail;
-
-their cow calves and does not miscarry.
-
-11They send out their little boys like a flock,
-
-and their children dance.
-
-12They sing to the tambourine and the lyre
-
-and rejoice to the sound of the pipe.
-
-13They spend their days in prosperity,
-
-and in peace they go down to Sheol.
-
-14They say to God, ‘Depart from us!
-
-We do not desire the knowledge of your ways.
-
-15What is the Almighty, that we should serve him?
-
-And what profit do we get if we pray to him?’
-
-16Behold, is not their prosperity in their hand?
-
-The counsel of the wicked is far from me.
-
-17“How often is it that the lamp of the wicked is put out?
-
-That their calamity comes upon them?
-
-That God[45] distributes pains in his anger?
-
-18That they are like straw before the wind,
-
-and like chaff that the storm carries away?
-
-19You say, ‘God stores up their iniquity for their children.’
-
-Let him pay it out to them, that they may know it.
-
-20Let their own eyes see their destruction,
-
-and let them drink of the wrath of the Almighty.
-
-21For what do they care for their houses after them,
-
-when the number of their months is cut off?
-
-22Will any teach God knowledge,
-
-seeing that he judges those who are on high?
-
-23One dies in his full vigor,
-
-being wholly at ease and secure,
-
-24his pails[46] full of milk
-
-and the marrow of his bones moist.
-
-25Another dies in bitterness of soul,
-
-never having tasted of prosperity.
-
-26They lie down alike in the dust,
-
-and the worms cover them.
-
-27“Behold, I know your thoughts
-
-and your schemes to wrong me.
-
-28For you say, ‘Where is the house of the prince?
-
-Where is the tent in which the wicked lived?’
-
-29Have you not asked those who travel the roads,
-
-and do you not accept their testimony
-
-30that the evil man is spared in the day of calamity,
-
-that he is rescued in the day of wrath?
-
-31Who declares his way to his face,
-
-and who repays him for what he has done?
-
-32When he is carried to the grave,
-
-watch is kept over his tomb.
-
-33The clods of the valley are sweet to him;
-
-all mankind follows after him,
-
-and those who go before him are innumerable.
-
-34How then will you comfort me with empty nothings?
-
-There is nothing left of your answers but falsehood.”
-
-
-
-
-
-Eliphaz Speaks: Job's Wickedness Is Great
-
-
-22:1 Then Eliphaz the Temanite answered and said:
-
-2“Can a man be profitable to God?
-
-Surely he who is wise is profitable to himself.
-
-3Is it any pleasure to the Almighty if you are in the right,
-
-or is it gain to him if you make your ways blameless?
-
-4Is it for your fear of him that he reproves you
-
-and enters into judgment with you?
-
-5Is not your evil abundant?
-
-There is no end to your iniquities.
-
-6For you have exacted pledges of your brothers for nothing
-
-and stripped the naked of their clothing.
-
-7You have given no water to the weary to drink,
-
-and you have withheld bread from the hungry.
-
-8The man with power possessed the land,
-
-and the favored man lived in it.
-
-9You have sent widows away empty,
-
-and the arms of the fatherless were crushed.
-
-10Therefore snares are all around you,
-
-and sudden terror overwhelms you,
-
-11or darkness, so that you cannot see,
-
-and a flood of water covers you.
-
-12“Is not God high in the heavens?
-
-See the highest stars, how lofty they are!
-
-13But you say, ‘What does God know?
-
-Can he judge through the deep darkness?
-
-14Thick clouds veil him, so that he does not see,
-
-and he walks on the vault of heaven.’
-
-15Will you keep to the old way
-
-that wicked men have trod?
-
-16They were snatched away before their time;
-
-their foundation was washed away.
-
-17They said to God, ‘Depart from us,’
-
-and ‘What can the Almighty do to us?’[47]
-
-18Yet he filled their houses with good things—
-
-but the counsel of the wicked is far from me.
-
-19The righteous see it and are glad;
-
-the innocent one mocks at them,
-
-20saying, ‘Surely our adversaries are cut off,
-
-and what they left the fire has consumed.’
-
-21“Agree with God, and be at peace;
-
-thereby good will come to you.
-
-22Receive instruction from his mouth,
-
-and lay up his words in your heart.
-
-23If you return to the Almighty you will be built up;
-
-if you remove injustice far from your tents,
-
-24if you lay gold in the dust,
-
-and gold of Ophir among the stones of the torrent-bed,
-
-25then the Almighty will be your gold
-
-and your precious silver.
-
-26For then you will delight yourself in the Almighty
-
-and lift up your face to God.
-
-27You will make your prayer to him, and he will hear you,
-
-and you will pay your vows.
-
-28You will decide on a matter, and it will be established for you,
-
-and light will shine on your ways.
-
-29For when they are humbled you say, ‘It is because of pride’;[48]
-
-but he saves the lowly.
-
-30He delivers even the one who is not innocent,[49]
-
-who will be delivered through the cleanness of your hands.”
-
-
-
-
-
-Job Replies: Where Is God?
-
-
-23:1 Then Job answered and said:
-
-2“Today also my complaint is bitter;[50]
-
-my hand is heavy on account of my groaning.
-
-3Oh, that I knew where I might find him,
-
-that I might come even to his seat!
-
-4I would lay my case before him
-
-and fill my mouth with arguments.
-
-5I would know what he would answer me
-
-and understand what he would say to me.
-
-6Would he contend with me in the greatness of his power?
-
-No; he would pay attention to me.
-
-7There an upright man could argue with him,
-
-and I would be acquitted forever by my judge.
-
-8“Behold, I go forward, but he is not there,
-
-and backward, but I do not perceive him;
-
-9on the left hand when he is working, I do not behold him;
-
-he turns to the right hand, but I do not see him.
-
-10But he knows the way that I take;
-
-when he has tried me, I shall come out as gold.
-
-11My foot has held fast to his steps;
-
-I have kept his way and have not turned aside.
-
-12I have not departed from the commandment of his lips;
-
-I have treasured the words of his mouth more than my portion of food.
-
-13But he is unchangeable,[51] and who can turn him back?
-
-What he desires, that he does.
-
-14For he will complete what he appoints for me,
-
-and many such things are in his mind.
-
-15Therefore I am terrified at his presence;
-
-when I consider, I am in dread of him.
-
-16God has made my heart faint;
-
-the Almighty has terrified me;
-
-17yet I am not silenced because of the darkness,
-
-nor because thick darkness covers my face.
-
-
-
-
-
-24:1 “Why are not times of judgment kept by the Almighty,
-
-and why do those who know him never see his days?
-
-2Some move landmarks;
-
-they seize flocks and pasture them.
-
-3They drive away the donkey of the fatherless;
-
-they take the widow's ox for a pledge.
-
-4They thrust the poor off the road;
-
-the poor of the earth all hide themselves.
-
-5Behold, like wild donkeys in the desert
-
-the poor[52] go out to their toil, seeking game;
-
-the wasteland yields food for their children.
-
-6They gather their[53] fodder in the field,
-
-and they glean the vineyard of the wicked man.
-
-7They lie all night naked, without clothing,
-
-and have no covering in the cold.
-
-8They are wet with the rain of the mountains
-
-and cling to the rock for lack of shelter.
-
-9(There are those who snatch the fatherless child from the breast,
-
-and they take a pledge against the poor.)
-
-10They go about naked, without clothing;
-
-hungry, they carry the sheaves;
-
-11among the olive rows of the wicked[54] they make oil;
-
-they tread the winepresses, but suffer thirst.
-
-12From out of the city the dying groan,
-
-and the soul of the wounded cries for help;
-
-yet God charges no one with wrong.
-
-13“There are those who rebel against the light,
-
-who are not acquainted with its ways,
-
-and do not stay in its paths.
-
-14The murderer rises before it is light,
-
-that he may kill the poor and needy,
-
-and in the night he is like a thief.
-
-15The eye of the adulterer also waits for the twilight,
-
-saying, ‘No eye will see me’;
-
-and he veils his face.
-
-16In the dark they dig through houses;
-
-by day they shut themselves up;
-
-they do not know the light.
-
-17For deep darkness is morning to all of them;
-
-for they are friends with the terrors of deep darkness.
-
-18“You say, ‘Swift are they on the face of the waters;
-
-their portion is cursed in the land;
-
-no treader turns toward their vineyards.
-
-19Drought and heat snatch away the snow waters;
-
-so does Sheol those who have sinned.
-
-20The womb forgets them;
-
-the worm finds them sweet;
-
-they are no longer remembered,
-
-so wickedness is broken like a tree.’
-
-21“They wrong the barren, childless woman,
-
-and do no good to the widow.
-
-22Yet God[55] prolongs the life of the mighty by his power;
-
-they rise up when they despair of life.
-
-23He gives them security, and they are supported,
-
-and his eyes are upon their ways.
-
-24They are exalted a little while, and then are gone;
-
-they are brought low and gathered up like all others;
-
-they are cut off like the heads of grain.
-
-25If it is not so, who will prove me a liar
-
-and show that there is nothing in what I say?”
-
-
-
-
-
-Bildad Speaks: Man Cannot Be Righteous
-
-
-25:1 Then Bildad the Shuhite answered and said:
-
-2“Dominion and fear are with God;[56]
-
-he makes peace in his high heaven.
-
-3Is there any number to his armies?
-
-Upon whom does his light not arise?
-
-4How then can man be in the right before God?
-
-How can he who is born of woman be pure?
-
-5Behold, even the moon is not bright,
-
-and the stars are not pure in his eyes;
-
-6how much less man, who is a maggot,
-
-and the son of man, who is a worm!”
-
-
-
-
-
-Job Replies: God's Majesty Is Unsearchable
-
-
-26:1 Then Job answered and said:
-
-2“How you have helped him who has no power!
-
-How you have saved the arm that has no strength!
-
-3How you have counseled him who has no wisdom,
-
-and plentifully declared sound knowledge!
-
-4With whose help have you uttered words,
-
-and whose breath has come out from you?
-
-5The dead tremble
-
-under the waters and their inhabitants.
-
-6Sheol is naked before God,[57]
-
-and Abaddon has no covering.
-
-7He stretches out the north over the void
-
-and hangs the earth on nothing.
-
-8He binds up the waters in his thick clouds,
-
-and the cloud is not split open under them.
-
-9He covers the face of the full moon[58]
-
-and spreads over it his cloud.
-
-10He has inscribed a circle on the face of the waters
-
-at the boundary between light and darkness.
-
-11The pillars of heaven tremble
-
-and are astounded at his rebuke.
-
-12By his power he stilled the sea;
-
-by his understanding he shattered Rahab.
-
-13By his wind the heavens were made fair;
-
-his hand pierced the fleeing serpent.
-
-14Behold, these are but the outskirts of his ways,
-
-and how small a whisper do we hear of him!
-
-But the thunder of his power who can understand?”
-
-
-
-
-
-Job Continues: I Will Maintain My Integrity
-
-
-27:1 And Job again took up his discourse, and said:
-
-2“As God lives, who has taken away my right,
-
-and the Almighty, who has made my soul bitter,
-
-3as long as my breath is in me,
-
-and the spirit of God is in my nostrils,
-
-4my lips will not speak falsehood,
-
-and my tongue will not utter deceit.
-
-5Far be it from me to say that you are right;
-
-till I die I will not put away my integrity from me.
-
-6I hold fast my righteousness and will not let it go;
-
-my heart does not reproach me for any of my days.
-
-7“Let my enemy be as the wicked,
-
-and let him who rises up against me be as the unrighteous.
-
-8For what is the hope of the godless when God cuts him off,
-
-when God takes away his life?
-
-9Will God hear his cry
-
-when distress comes upon him?
-
-10Will he take delight in the Almighty?
-
-Will he call upon God at all times?
-
-11I will teach you concerning the hand of God;
-
-what is with the Almighty I will not conceal.
-
-12Behold, all of you have seen it yourselves;
-
-why then have you become altogether vain?
-
-13“This is the portion of a wicked man with God,
-
-and the heritage that oppressors receive from the Almighty:
-
-14If his children are multiplied, it is for the sword,
-
-and his descendants have not enough bread.
-
-15Those who survive him the pestilence buries,
-
-and his widows do not weep.
-
-16Though he heap up silver like dust,
-
-and pile up clothing like clay,
-
-17he may pile it up, but the righteous will wear it,
-
-and the innocent will divide the silver.
-
-18He builds his house like a moth's,
-
-like a booth that a watchman makes.
-
-19He goes to bed rich, but will do so no more;
-
-he opens his eyes, and his wealth is gone.
-
-20Terrors overtake him like a flood;
-
-in the night a whirlwind carries him off.
-
-21The east wind lifts him up and he is gone;
-
-it sweeps him out of his place.
-
-22It[59] hurls at him without pity;
-
-he flees from its[60] power in headlong flight.
-
-23It claps its hands at him
-
-and hisses at him from its place.
-
-
-
-
-
-Job Continues: Where Is Wisdom?
-
-
-28:1 “Surely there is a mine for silver,
-
-and a place for gold that they refine.
-
-2Iron is taken out of the earth,
-
-and copper is smelted from the ore.
-
-3Man puts an end to darkness
-
-and searches out to the farthest limit
-
-the ore in gloom and deep darkness.
-
-4He opens shafts in a valley away from where anyone lives;
-
-they are forgotten by travelers;
-
-they hang in the air, far away from mankind; they swing to and fro.
-
-5As for the earth, out of it comes bread,
-
-but underneath it is turned up as by fire.
-
-6Its stones are the place of sapphires,[61]
-
-and it has dust of gold.
-
-7“That path no bird of prey knows,
-
-and the falcon's eye has not seen it.
-
-8The proud beasts have not trodden it;
-
-the lion has not passed over it.
-
-9“Man puts his hand to the flinty rock
-
-and overturns mountains by the roots.
-
-10He cuts out channels in the rocks,
-
-and his eye sees every precious thing.
-
-11He dams up the streams so that they do not trickle,
-
-and the thing that is hidden he brings out to light.
-
-12“But where shall wisdom be found?
-
-And where is the place of understanding?
-
-13Man does not know its worth,
-
-and it is not found in the land of the living.
-
-14The deep says, ‘It is not in me,’
-
-and the sea says, ‘It is not with me.’
-
-15It cannot be bought for gold,
-
-and silver cannot be weighed as its price.
-
-16It cannot be valued in the gold of Ophir,
-
-in precious onyx or sapphire.
-
-17Gold and glass cannot equal it,
-
-nor can it be exchanged for jewels of fine gold.
-
-18No mention shall be made of coral or of crystal;
-
-the price of wisdom is above pearls.
-
-19The topaz of Ethiopia cannot equal it,
-
-nor can it be valued in pure gold.
-
-20“From where, then, does wisdom come?
-
-And where is the place of understanding?
-
-21It is hidden from the eyes of all living
-
-and concealed from the birds of the air.
-
-22Abaddon and Death say,
-
-‘We have heard a rumor of it with our ears.’
-
-23“God understands the way to it,
-
-and he knows its place.
-
-24For he looks to the ends of the earth
-
-and sees everything under the heavens.
-
-25When he gave to the wind its weight
-
-and apportioned the waters by measure,
-
-26when he made a decree for the rain
-
-and a way for the lightning of the thunder,
-
-27then he saw it and declared it;
-
-he established it, and searched it out.
-
-28And he said to man,
-
-‘Behold, the fear of the Lord, that is wisdom,
-
-and to turn away from evil is understanding.’”
-
-
-
-
-
-Job's Summary Defense
-
-
-29:1 And Job again took up his discourse, and said:
-
-2“Oh, that I were as in the months of old,
-
-as in the days when God watched over me,
-
-3when his lamp shone upon my head,
-
-and by his light I walked through darkness,
-
-4as I was in my prime,[62]
-
-when the friendship of God was upon my tent,
-
-5when the Almighty was yet with me,
-
-when my children were all around me,
-
-6when my steps were washed with butter,
-
-and the rock poured out for me streams of oil!
-
-7When I went out to the gate of the city,
-
-when I prepared my seat in the square,
-
-8the young men saw me and withdrew,
-
-and the aged rose and stood;
-
-9the princes refrained from talking
-
-and laid their hand on their mouth;
-
-10the voice of the nobles was hushed,
-
-and their tongue stuck to the roof of their mouth.
-
-11When the ear heard, it called me blessed,
-
-and when the eye saw, it approved,
-
-12because I delivered the poor who cried for help,
-
-and the fatherless who had none to help him.
-
-13The blessing of him who was about to perish came upon me,
-
-and I caused the widow's heart to sing for joy.
-
-14I put on righteousness, and it clothed me;
-
-my justice was like a robe and a turban.
-
-15I was eyes to the blind
-
-and feet to the lame.
-
-16I was a father to the needy,
-
-and I searched out the cause of him whom I did not know.
-
-17I broke the fangs of the unrighteous
-
-and made him drop his prey from his teeth.
-
-18Then I thought, ‘I shall die in my nest,
-
-and I shall multiply my days as the sand,
-
-19my roots spread out to the waters,
-
-with the dew all night on my branches,
-
-20my glory fresh with me,
-
-and my bow ever new in my hand.’
-
-21“Men listened to me and waited
-
-and kept silence for my counsel.
-
-22After I spoke they did not speak again,
-
-and my word dropped upon them.
-
-23They waited for me as for the rain,
-
-and they opened their mouths as for the spring rain.
-
-24I smiled on them when they had no confidence,
-
-and the light of my face they did not cast down.
-
-25I chose their way and sat as chief,
-
-and I lived like a king among his troops,
-
-like one who comforts mourners.
-
-
-
-
-
-30:1 “But now they laugh at me,
-
-men who are younger than I,
-
-whose fathers I would have disdained
-
-to set with the dogs of my flock.
-
-2What could I gain from the strength of their hands,
-
-men whose vigor is gone?
-
-3Through want and hard hunger
-
-they gnaw the dry ground by night in waste and desolation;
-
-4they pick saltwort and the leaves of bushes,
-
-and the roots of the broom tree for their food.[63]
-
-5They are driven out from human company;
-
-they shout after them as after a thief.
-
-6In the gullies of the torrents they must dwell,
-
-in holes of the earth and of the rocks.
-
-7Among the bushes they bray;
-
-under the nettles they huddle together.
-
-8A senseless, a nameless brood,
-
-they have been whipped out of the land.
-
-9“And now I have become their song;
-
-I am a byword to them.
-
-10They abhor me; they keep aloof from me;
-
-they do not hesitate to spit at the sight of me.
-
-11Because God has loosed my cord and humbled me,
-
-they have cast off restraint[64] in my presence.
-
-12On my right hand the rabble rise;
-
-they push away my feet;
-
-they cast up against me their ways of destruction.
-
-13They break up my path;
-
-they promote my calamity;
-
-they need no one to help them.
-
-14As through a wide breach they come;
-
-amid the crash they roll on.
-
-15Terrors are turned upon me;
-
-my honor is pursued as by the wind,
-
-and my prosperity has passed away like a cloud.
-
-16“And now my soul is poured out within me;
-
-days of affliction have taken hold of me.
-
-17The night racks my bones,
-
-and the pain that gnaws me takes no rest.
-
-18With great force my garment is disfigured;
-
-it binds me about like the collar of my tunic.
-
-19God[65] has cast me into the mire,
-
-and I have become like dust and ashes.
-
-20I cry to you for help and you do not answer me;
-
-I stand, and you only look at me.
-
-21You have turned cruel to me;
-
-with the might of your hand you persecute me.
-
-22You lift me up on the wind; you make me ride on it,
-
-and you toss me about in the roar of the storm.
-
-23For I know that you will bring me to death
-
-and to the house appointed for all living.
-
-24“Yet does not one in a heap of ruins stretch out his hand,
-
-and in his disaster cry for help?[66]
-
-25Did not I weep for him whose day was hard?
-
-Was not my soul grieved for the needy?
-
-26But when I hoped for good, evil came,
-
-and when I waited for light, darkness came.
-
-27My inward parts are in turmoil and never still;
-
-days of affliction come to meet me.
-
-28I go about darkened, but not by the sun;
-
-I stand up in the assembly and cry for help.
-
-29I am a brother of jackals
-
-and a companion of ostriches.
-
-30My skin turns black and falls from me,
-
-and my bones burn with heat.
-
-31My lyre is turned to mourning,
-
-and my pipe to the voice of those who weep.
-
-
-
-
-
-Job's Final Appeal
-
-
-31:1 “I have made a covenant with my eyes;
-
-how then could I gaze at a virgin?
-
-2What would be my portion from God above
-
-and my heritage from the Almighty on high?
-
-3Is not calamity for the unrighteous,
-
-and disaster for the workers of iniquity?
-
-4Does not he see my ways
-
-and number all my steps?
-
-5“If I have walked with falsehood
-
-and my foot has hastened to deceit;
-
-6(Let me be weighed in a just balance,
-
-and let God know my integrity!)
-
-7if my step has turned aside from the way
-
-and my heart has gone after my eyes,
-
-and if any spot has stuck to my hands,
-
-8then let me sow, and another eat,
-
-and let what grows for me[67] be rooted out.
-
-9“If my heart has been enticed toward a woman,
-
-and I have lain in wait at my neighbor's door,
-
-10then let my wife grind for another,
-
-and let others bow down on her.
-
-11For that would be a heinous crime;
-
-that would be an iniquity to be punished by the judges;
-
-12for that would be a fire that consumes as far as Abaddon,
-
-and it would burn to the root all my increase.
-
-13“If I have rejected the cause of my manservant or my maidservant,
-
-when they brought a complaint against me,
-
-14what then shall I do when God rises up?
-
-When he makes inquiry, what shall I answer him?
-
-15Did not he who made me in the womb make him?
-
-And did not one fashion us in the womb?
-
-16“If I have withheld anything that the poor desired,
-
-or have caused the eyes of the widow to fail,
-
-17or have eaten my morsel alone,
-
-and the fatherless has not eaten of it
-
-18(for from my youth the fatherless[68] grew up with me as with a father,
-
-and from my mother's womb I guided the widow[69]),
-
-19if I have seen anyone perish for lack of clothing,
-
-or the needy without covering,
-
-20if his body has not blessed me,[70]
-
-and if he was not warmed with the fleece of my sheep,
-
-21if I have raised my hand against the fatherless,
-
-because I saw my help in the gate,
-
-22then let my shoulder blade fall from my shoulder,
-
-and let my arm be broken from its socket.
-
-23For I was in terror of calamity from God,
-
-and I could not have faced his majesty.
-
-24“If I have made gold my trust
-
-or called fine gold my confidence,
-
-25if I have rejoiced because my wealth was abundant
-
-or because my hand had found much,
-
-26if I have looked at the sun[71] when it shone,
-
-or the moon moving in splendor,
-
-27and my heart has been secretly enticed,
-
-and my mouth has kissed my hand,
-
-28this also would be an iniquity to be punished by the judges,
-
-for I would have been false to God above.
-
-29“If I have rejoiced at the ruin of him who hated me,
-
-or exulted when evil overtook him
-
-30(I have not let my mouth sin
-
-by asking for his life with a curse),
-
-31if the men of my tent have not said,
-
-‘Who is there that has not been filled with his meat?’
-
-32(the sojourner has not lodged in the street;
-
-I have opened my doors to the traveler),
-
-33if I have concealed my transgressions as others do[72]
-
-by hiding my iniquity in my bosom,
-
-34because I stood in great fear of the multitude,
-
-and the contempt of families terrified me,
-
-so that I kept silence, and did not go out of doors—
-
-35Oh, that I had one to hear me!
-
-(Here is my signature! Let the Almighty answer me!)
-
-Oh, that I had the indictment written by my adversary!
-
-36Surely I would carry it on my shoulder;
-
-I would bind it on me as a crown;
-
-37I would give him an account of all my steps;
-
-like a prince I would approach him.
-
-38“If my land has cried out against me
-
-and its furrows have wept together,
-
-39if I have eaten its yield without payment
-
-and made its owners breathe their last,
-
-40let thorns grow instead of wheat,
-
-and foul weeds instead of barley.”
-
-The words of Job are ended.
-
-
-
-
-
-Elihu Rebukes Job's Three Friends
-
-
-32:1 So these three men ceased to answer Job, because he was righteous in his own eyes. 2Then Elihu the son of Barachel the Buzite, of the family of Ram, burned with anger. He burned with anger at Job because he justified himself rather than God. 3He burned with anger also at Job's three friends because they had found no answer, although they had declared Job to be in the wrong. 4Now Elihu had waited to speak to Job because they were older than he. 5And when Elihu saw that there was no answer in the mouth of these three men, he burned with anger.
-
-6And Elihu the son of Barachel the Buzite answered and said:
-
-“I am young in years,
-
-and you are aged;
-
-therefore I was timid and afraid
-
-to declare my opinion to you.
-
-7I said, ‘Let days speak,
-
-and many years teach wisdom.’
-
-8But it is the spirit in man,
-
-the breath of the Almighty, that makes him understand.
-
-9It is not the old[73] who are wise,
-
-nor the aged who understand what is right.
-
-10Therefore I say, ‘Listen to me;
-
-let me also declare my opinion.’
-
-11“Behold, I waited for your words,
-
-I listened for your wise sayings,
-
-while you searched out what to say.
-
-12I gave you my attention,
-
-and, behold, there was none among you who refuted Job
-
-or who answered his words.
-
-13Beware lest you say, ‘We have found wisdom;
-
-God may vanquish him, not a man.’
-
-14He has not directed his words against me,
-
-and I will not answer him with your speeches.
-
-15“They are dismayed; they answer no more;
-
-they have not a word to say.
-
-16And shall I wait, because they do not speak,
-
-because they stand there, and answer no more?
-
-17I also will answer with my share;
-
-I also will declare my opinion.
-
-18For I am full of words;
-
-the spirit within me constrains me.
-
-19Behold, my belly is like wine that has no vent;
-
-like new wineskins ready to burst.
-
-20I must speak, that I may find relief;
-
-I must open my lips and answer.
-
-21I will not show partiality to any man
-
-or use flattery toward any person.
-
-22For I do not know how to flatter,
-
-else my Maker would soon take me away.
-
-
-
-
-
-Elihu Rebukes Job
-
-
-33:1 “But now, hear my speech, O Job,
-
-and listen to all my words.
-
-2Behold, I open my mouth;
-
-the tongue in my mouth speaks.
-
-3My words declare the uprightness of my heart,
-
-and what my lips know they speak sincerely.
-
-4The Spirit of God has made me,
-
-and the breath of the Almighty gives me life.
-
-5Answer me, if you can;
-
-set your words in order before me; take your stand.
-
-6Behold, I am toward God as you are;
-
-I too was pinched off from a piece of clay.
-
-7Behold, no fear of me need terrify you;
-
-my pressure will not be heavy upon you.
-
-8“Surely you have spoken in my ears,
-
-and I have heard the sound of your words.
-
-9You say, ‘I am pure, without transgression;
-
-I am clean, and there is no iniquity in me.
-
-10Behold, he finds occasions against me,
-
-he counts me as his enemy,
-
-11he puts my feet in the stocks
-
-and watches all my paths.’
-
-12“Behold, in this you are not right. I will answer you,
-
-for God is greater than man.
-
-13Why do you contend against him,
-
-saying, ‘He will answer none of man's[74] words’?[75]
-
-14For God speaks in one way,
-
-and in two, though man does not perceive it.
-
-15In a dream, in a vision of the night,
-
-when deep sleep falls on men,
-
-while they slumber on their beds,
-
-16then he opens the ears of men
-
-and terrifies them with warnings,
-
-17that he may turn man aside from his deed
-
-and conceal pride from a man;
-
-18he keeps back his soul from the pit,
-
-his life from perishing by the sword.
-
-19“Man is also rebuked with pain on his bed
-
-and with continual strife in his bones,
-
-20so that his life loathes bread,
-
-and his appetite the choicest food.
-
-21His flesh is so wasted away that it cannot be seen,
-
-and his bones that were not seen stick out.
-
-22His soul draws near the pit,
-
-and his life to those who bring death.
-
-23If there be for him an angel,
-
-a mediator, one of the thousand,
-
-to declare to man what is right for him,
-
-24and he is merciful to him, and says,
-
-‘Deliver him from going down into the pit;
-
-I have found a ransom;
-
-25let his flesh become fresh with youth;
-
-let him return to the days of his youthful vigor’;
-
-26then man[76] prays to God, and he accepts him;
-
-he sees his face with a shout of joy,
-
-and he restores to man his righteousness.
-
-27He sings before men and says:
-
-‘I sinned and perverted what was right,
-
-and it was not repaid to me.
-
-28He has redeemed my soul from going down into the pit,
-
-and my life shall look upon the light.’
-
-29“Behold, God does all these things,
-
-twice, three times, with a man,
-
-30to bring back his soul from the pit,
-
-that he may be lighted with the light of life.
-
-31Pay attention, O Job, listen to me;
-
-be silent, and I will speak.
-
-32If you have any words, answer me;
-
-speak, for I desire to justify you.
-
-33If not, listen to me;
-
-be silent, and I will teach you wisdom.”
-
-
-
-
-
-Elihu Asserts God's Justice
-
-
-34:1 Then Elihu answered and said:
-
-2“Hear my words, you wise men,
-
-and give ear to me, you who know;
-
-3for the ear tests words
-
-as the palate tastes food.
-
-4Let us choose what is right;
-
-let us know among ourselves what is good.
-
-5For Job has said, ‘I am in the right,
-
-and God has taken away my right;
-
-6in spite of my right I am counted a liar;
-
-my wound is incurable, though I am without transgression.’
-
-7What man is like Job,
-
-who drinks up scoffing like water,
-
-8who travels in company with evildoers
-
-and walks with wicked men?
-
-9For he has said, ‘It profits a man nothing
-
-that he should take delight in God.’
-
-10“Therefore, hear me, you men of understanding:
-
-far be it from God that he should do wickedness,
-
-and from the Almighty that he should do wrong.
-
-11For according to the work of a man he will repay him,
-
-and according to his ways he will make it befall him.
-
-12Of a truth, God will not do wickedly,
-
-and the Almighty will not pervert justice.
-
-13Who gave him charge over the earth,
-
-and who laid on him[77] the whole world?
-
-14If he should set his heart to it
-
-and gather to himself his spirit and his breath,
-
-15all flesh would perish together,
-
-and man would return to dust.
-
-16“If you have understanding, hear this;
-
-listen to what I say.
-
-17Shall one who hates justice govern?
-
-Will you condemn him who is righteous and mighty,
-
-18who says to a king, ‘Worthless one,’
-
-and to nobles, ‘Wicked man,’
-
-19who shows no partiality to princes,
-
-nor regards the rich more than the poor,
-
-for they are all the work of his hands?
-
-20In a moment they die;
-
-at midnight the people are shaken and pass away,
-
-and the mighty are taken away by no human hand.
-
-21“For his eyes are on the ways of a man,
-
-and he sees all his steps.
-
-22There is no gloom or deep darkness
-
-where evildoers may hide themselves.
-
-23For God[78] has no need to consider a man further,
-
-that he should go before God in judgment.
-
-24He shatters the mighty without investigation
-
-and sets others in their place.
-
-25Thus, knowing their works,
-
-he overturns them in the night, and they are crushed.
-
-26He strikes them for their wickedness
-
-in a place for all to see,
-
-27because they turned aside from following him
-
-and had no regard for any of his ways,
-
-28so that they caused the cry of the poor to come to him,
-
-and he heard the cry of the afflicted—
-
-29When he is quiet, who can condemn?
-
-When he hides his face, who can behold him,
-
-whether it be a nation or a man?—
-
-30that a godless man should not reign,
-
-that he should not ensnare the people.
-
-31“For has anyone said to God,
-
-‘I have borne punishment; I will not offend any more;
-
-32teach me what I do not see;
-
-if I have done iniquity, I will do it no more’?
-
-33Will he then make repayment to suit you,
-
-because you reject it?
-
-For you must choose, and not I;
-
-therefore declare what you know.[79]
-
-34Men of understanding will say to me,
-
-and the wise man who hears me will say:
-
-35‘Job speaks without knowledge;
-
-his words are without insight.’
-
-36Would that Job were tried to the end,
-
-because he answers like wicked men.
-
-37For he adds rebellion to his sin;
-
-he claps his hands among us
-
-and multiplies his words against God.”
-
-
-
-
-
-Elihu Condemns Job
-
-
-35:1 And Elihu answered and said:
-
-2“Do you think this to be just?
-
-Do you say, ‘It is my right before God,’
-
-3that you ask, ‘What advantage have I?
-
-How am I better off than if I had sinned?’
-
-4I will answer you
-
-and your friends with you.
-
-5Look at the heavens, and see;
-
-and behold the clouds, which are higher than you.
-
-6If you have sinned, what do you accomplish against him?
-
-And if your transgressions are multiplied, what do you do to him?
-
-7If you are righteous, what do you give to him?
-
-Or what does he receive from your hand?
-
-8Your wickedness concerns a man like yourself,
-
-and your righteousness a son of man.
-
-9“Because of the multitude of oppressions people cry out;
-
-they call for help because of the arm of the mighty.[80]
-
-10But none says, ‘Where is God my Maker,
-
-who gives songs in the night,
-
-11who teaches us more than the beasts of the earth
-
-and makes us wiser than the birds of the heavens?’
-
-12There they cry out, but he does not answer,
-
-because of the pride of evil men.
-
-13Surely God does not hear an empty cry,
-
-nor does the Almighty regard it.
-
-14How much less when you say that you do not see him,
-
-that the case is before him, and you are waiting for him!
-
-15And now, because his anger does not punish,
-
-and he does not take much note of transgression,[81]
-
-16Job opens his mouth in empty talk;
-
-he multiplies words without knowledge.”
-
-
-
-
-
-Elihu Extols God's Greatness
-
-
-36:1 And Elihu continued, and said:
-
-2“Bear with me a little, and I will show you,
-
-for I have yet something to say on God's behalf.
-
-3I will get my knowledge from afar
-
-and ascribe righteousness to my Maker.
-
-4For truly my words are not false;
-
-one who is perfect in knowledge is with you.
-
-5“Behold, God is mighty, and does not despise any;
-
-he is mighty in strength of understanding.
-
-6He does not keep the wicked alive,
-
-but gives the afflicted their right.
-
-7He does not withdraw his eyes from the righteous,
-
-but with kings on the throne
-
-he sets them forever, and they are exalted.
-
-8And if they are bound in chains
-
-and caught in the cords of affliction,
-
-9then he declares to them their work
-
-and their transgressions, that they are behaving arrogantly.
-
-10He opens their ears to instruction
-
-and commands that they return from iniquity.
-
-11If they listen and serve him,
-
-they complete their days in prosperity,
-
-and their years in pleasantness.
-
-12But if they do not listen, they perish by the sword
-
-and die without knowledge.
-
-13“The godless in heart cherish anger;
-
-they do not cry for help when he binds them.
-
-14They die in youth,
-
-and their life ends among the cult prostitutes.
-
-15He delivers the afflicted by their affliction
-
-and opens their ear by adversity.
-
-16He also allured you out of distress
-
-into a broad place where there was no cramping,
-
-and what was set on your table was full of fatness.
-
-17“But you are full of the judgment on the wicked;
-
-judgment and justice seize you.
-
-18Beware lest wrath entice you into scoffing,
-
-and let not the greatness of the ransom turn you aside.
-
-19Will your cry for help avail to keep you from distress,
-
-or all the force of your strength?
-
-20Do not long for the night,
-
-when peoples vanish in their place.
-
-21Take care; do not turn to iniquity,
-
-for this you have chosen rather than affliction.
-
-22Behold, God is exalted in his power;
-
-who is a teacher like him?
-
-23Who has prescribed for him his way,
-
-or who can say, ‘You have done wrong’?
-
-24“Remember to extol his work,
-
-of which men have sung.
-
-25All mankind has looked on it;
-
-man beholds it from afar.
-
-26Behold, God is great, and we know him not;
-
-the number of his years is unsearchable.
-
-27For he draws up the drops of water;
-
-they distill his mist in rain,
-
-28which the skies pour down
-
-and drop on mankind abundantly.
-
-29Can anyone understand the spreading of the clouds,
-
-the thunderings of his pavilion?
-
-30Behold, he scatters his lightning about him
-
-and covers the roots of the sea.
-
-31For by these he judges peoples;
-
-he gives food in abundance.
-
-32He covers his hands with the lightning
-
-and commands it to strike the mark.
-
-33Its crashing declares his presence;[82]
-
-the cattle also declare that he rises.
-
-
-
-
-
-Elihu Proclaims God's Majesty
-
-
-37:1 “At this also my heart trembles
-
-and leaps out of its place.
-
-2Keep listening to the thunder of his voice
-
-and the rumbling that comes from his mouth.
-
-3Under the whole heaven he lets it go,
-
-and his lightning to the corners of the earth.
-
-4After it his voice roars;
-
-he thunders with his majestic voice,
-
-and he does not restrain the lightnings[83] when his voice is heard.
-
-5God thunders wondrously with his voice;
-
-he does great things that we cannot comprehend.
-
-6For to the snow he says, ‘Fall on the earth,’
-
-likewise to the downpour, his mighty downpour.
-
-7He seals up the hand of every man,
-
-that all men whom he made may know it.
-
-8Then the beasts go into their lairs,
-
-and remain in their dens.
-
-9From its chamber comes the whirlwind,
-
-and cold from the scattering winds.
-
-10By the breath of God ice is given,
-
-and the broad waters are frozen fast.
-
-11He loads the thick cloud with moisture;
-
-the clouds scatter his lightning.
-
-12They turn around and around by his guidance,
-
-to accomplish all that he commands them
-
-on the face of the habitable world.
-
-13Whether for correction or for his land
-
-or for love, he causes it to happen.
-
-14“Hear this, O Job;
-
-stop and consider the wondrous works of God.
-
-15Do you know how God lays his command upon them
-
-and causes the lightning of his cloud to shine?
-
-16Do you know the balancings[84] of the clouds,
-
-the wondrous works of him who is perfect in knowledge,
-
-17you whose garments are hot
-
-when the earth is still because of the south wind?
-
-18Can you, like him, spread out the skies,
-
-hard as a cast metal mirror?
-
-19Teach us what we shall say to him;
-
-we cannot draw up our case because of darkness.
-
-20Shall it be told him that I would speak?
-
-Did a man ever wish that he would be swallowed up?
-
-21“And now no one looks on the light
-
-when it is bright in the skies,
-
-when the wind has passed and cleared them.
-
-22Out of the north comes golden splendor;
-
-God is clothed with awesome majesty.
-
-23The Almighty—we cannot find him;
-
-he is great in power;
-
-justice and abundant righteousness he will not violate.
-
-24Therefore men fear him;
-
-he does not regard any who are wise in their own conceit.”[85]
-
-
-
-
-
-The LORD Answers Job
-
-
-38:1 Then the LORD answered Job out of the whirlwind and said:
-
-2“Who is this that darkens counsel by words without knowledge?
-
-3Dress for action[86] like a man;
-
-I will question you, and you make it known to me.
-
-4“Where were you when I laid the foundation of the earth?
-
-Tell me, if you have understanding.
-
-5Who determined its measurements—surely you know!
-
-Or who stretched the line upon it?
-
-6On what were its bases sunk,
-
-or who laid its cornerstone,
-
-7when the morning stars sang together
-
-and all the sons of God shouted for joy?
-
-8“Or who shut in the sea with doors
-
-when it burst out from the womb,
-
-9when I made clouds its garment
-
-and thick darkness its swaddling band,
-
-10and prescribed limits for it
-
-and set bars and doors,
-
-11and said, ‘Thus far shall you come, and no farther,
-
-and here shall your proud waves be stayed’?
-
-12“Have you commanded the morning since your days began,
-
-and caused the dawn to know its place,
-
-13that it might take hold of the skirts of the earth,
-
-and the wicked be shaken out of it?
-
-14It is changed like clay under the seal,
-
-and its features stand out like a garment.
-
-15From the wicked their light is withheld,
-
-and their uplifted arm is broken.
-
-16“Have you entered into the springs of the sea,
-
-or walked in the recesses of the deep?
-
-17Have the gates of death been revealed to you,
-
-or have you seen the gates of deep darkness?
-
-18Have you comprehended the expanse of the earth?
-
-Declare, if you know all this.
-
-19“Where is the way to the dwelling of light,
-
-and where is the place of darkness,
-
-20that you may take it to its territory
-
-and that you may discern the paths to its home?
-
-21You know, for you were born then,
-
-and the number of your days is great!
-
-22“Have you entered the storehouses of the snow,
-
-or have you seen the storehouses of the hail,
-
-23which I have reserved for the time of trouble,
-
-for the day of battle and war?
-
-24What is the way to the place where the light is distributed,
-
-or where the east wind is scattered upon the earth?
-
-25“Who has cleft a channel for the torrents of rain
-
-and a way for the thunderbolt,
-
-26to bring rain on a land where no man is,
-
-on the desert in which there is no man,
-
-27to satisfy the waste and desolate land,
-
-and to make the ground sprout with grass?
-
-28“Has the rain a father,
-
-or who has begotten the drops of dew?
-
-29From whose womb did the ice come forth,
-
-and who has given birth to the frost of heaven?
-
-30The waters become hard like stone,
-
-and the face of the deep is frozen.
-
-31“Can you bind the chains of the Pleiades
-
-or loose the cords of Orion?
-
-32Can you lead forth the Mazzaroth[87] in their season,
-
-or can you guide the Bear with its children?
-
-33Do you know the ordinances of the heavens?
-
-Can you establish their rule on the earth?
-
-34“Can you lift up your voice to the clouds,
-
-that a flood of waters may cover you?
-
-35Can you send forth lightnings, that they may go
-
-and say to you, ‘Here we are’?
-
-36Who has put wisdom in the inward parts[88]
-
-or given understanding to the mind?[89]
-
-37Who can number the clouds by wisdom?
-
-Or who can tilt the waterskins of the heavens,
-
-38when the dust runs into a mass
-
-and the clods stick fast together?
-
-39“Can you hunt the prey for the lion,
-
-or satisfy the appetite of the young lions,
-
-40when they crouch in their dens
-
-or lie in wait in their thicket?
-
-41Who provides for the raven its prey,
-
-when its young ones cry to God for help,
-
-and wander about for lack of food?
-
-
-
-
-
-39:1 “Do you know when the mountain goats give birth?
-
-Do you observe the calving of the does?
-
-2Can you number the months that they fulfill,
-
-and do you know the time when they give birth,
-
-3when they crouch, bring forth their offspring,
-
-and are delivered of their young?
-
-4Their young ones become strong; they grow up in the open;
-
-they go out and do not return to them.
-
-5“Who has let the wild donkey go free?
-
-Who has loosed the bonds of the swift donkey,
-
-6to whom I have given the arid plain for his home
-
-and the salt land for his dwelling place?
-
-7He scorns the tumult of the city;
-
-he hears not the shouts of the driver.
-
-8He ranges the mountains as his pasture,
-
-and he searches after every green thing.
-
-9“Is the wild ox willing to serve you?
-
-Will he spend the night at your manger?
-
-10Can you bind him in the furrow with ropes,
-
-or will he harrow the valleys after you?
-
-11Will you depend on him because his strength is great,
-
-and will you leave to him your labor?
-
-12Do you have faith in him that he will return your grain
-
-and gather it to your threshing floor?
-
-13“The wings of the ostrich wave proudly,
-
-but are they the pinions and plumage of love?[90]
-
-14For she leaves her eggs to the earth
-
-and lets them be warmed on the ground,
-
-15forgetting that a foot may crush them
-
-and that the wild beast may trample them.
-
-16She deals cruelly with her young, as if they were not hers;
-
-though her labor be in vain, yet she has no fear,
-
-17because God has made her forget wisdom
-
-and given her no share in understanding.
-
-18When she rouses herself to flee,[91]
-
-she laughs at the horse and his rider.
-
-19“Do you give the horse his might?
-
-Do you clothe his neck with a mane?
-
-20Do you make him leap like the locust?
-
-His majestic snorting is terrifying.
-
-21He paws[92] in the valley and exults in his strength;
-
-he goes out to meet the weapons.
-
-22He laughs at fear and is not dismayed;
-
-he does not turn back from the sword.
-
-23Upon him rattle the quiver,
-
-the flashing spear, and the javelin.
-
-24With fierceness and rage he swallows the ground;
-
-he cannot stand still at the sound of the trumpet.
-
-25When the trumpet sounds, he says ‘Aha!’
-
-He smells the battle from afar,
-
-the thunder of the captains, and the shouting.
-
-26“Is it by your understanding that the hawk soars
-
-and spreads his wings toward the south?
-
-27Is it at your command that the eagle mounts up
-
-and makes his nest on high?
-
-28On the rock he dwells and makes his home,
-
-on the rocky crag and stronghold.
-
-29From there he spies out the prey;
-
-his eyes behold it from far away.
-
-30His young ones suck up blood,
-
-and where the slain are, there is he.”
-
-
-
-
-
-40:1 And the LORD said to Job:
-
-2“Shall a faultfinder contend with the Almighty?
-
-He who argues with God, let him answer it.”
-
-
-
-
-
-Job Promises Silence
-
-
-3Then Job answered the LORD and said:
-
-4“Behold, I am of small account; what shall I answer you?
-
-I lay my hand on my mouth.
-
-5I have spoken once, and I will not answer;
-
-twice, but I will proceed no further.”
-
-
-
-
-
-The LORD Challenges Job
-
-
-6Then the LORD answered Job out of the whirlwind and said:
-
-7“Dress for action[93] like a man;
-
-I will question you, and you make it known to me.
-
-8Will you even put me in the wrong?
-
-Will you condemn me that you may be in the right?
-
-9Have you an arm like God,
-
-and can you thunder with a voice like his?
-
-10“Adorn yourself with majesty and dignity;
-
-clothe yourself with glory and splendor.
-
-11Pour out the overflowings of your anger,
-
-and look on everyone who is proud and abase him.
-
-12Look on everyone who is proud and bring him low
-
-and tread down the wicked where they stand.
-
-13Hide them all in the dust together;
-
-bind their faces in the world below.[94]
-
-14Then will I also acknowledge to you
-
-that your own right hand can save you.
-
-15“Behold, Behemoth,[95]
-
-which I made as I made you;
-
-he eats grass like an ox.
-
-16Behold, his strength in his loins,
-
-and his power in the muscles of his belly.
-
-17He makes his tail stiff like a cedar;
-
-the sinews of his thighs are knit together.
-
-18His bones are tubes of bronze,
-
-his limbs like bars of iron.
-
-19“He is the first of the works[96] of God;
-
-let him who made him bring near his sword!
-
-20For the mountains yield food for him
-
-where all the wild beasts play.
-
-21Under the lotus plants he lies,
-
-in the shelter of the reeds and in the marsh.
-
-22For his shade the lotus trees cover him;
-
-the willows of the brook surround him.
-
-23Behold, if the river is turbulent he is not frightened;
-
-he is confident though Jordan rushes against his mouth.
-
-24Can one take him by his eyes,[97]
-
-or pierce his nose with a snare?
-
-
-
-
-
-41:1 [98] “Can you draw out Leviathan[99] with a fishhook
-
-or press down his tongue with a cord?
-
-2Can you put a rope in his nose
-
-or pierce his jaw with a hook?
-
-3Will he make many pleas to you?
-
-Will he speak to you soft words?
-
-4Will he make a covenant with you
-
-to take him for your servant forever?
-
-5Will you play with him as with a bird,
-
-or will you put him on a leash for your girls?
-
-6Will traders bargain over him?
-
-Will they divide him up among the merchants?
-
-7Can you fill his skin with harpoons
-
-or his head with fishing spears?
-
-8Lay your hands on him;
-
-remember the battle—you will not do it again!
-
-9[100] Behold, the hope of a man is false;
-
-he is laid low even at the sight of him.
-
-10No one is so fierce that he dares to stir him up.
-
-Who then is he who can stand before me?
-
-11Who has first given to me, that I should repay him?
-
-Whatever is under the whole heaven is mine.
-
-12“I will not keep silence concerning his limbs,
-
-or his mighty strength, or his goodly frame.
-
-13Who can strip off his outer garment?
-
-Who would come near him with a bridle?
-
-14Who can open the doors of his face?
-
-Around his teeth is terror.
-
-15His back is made of[101] rows of shields,
-
-shut up closely as with a seal.
-
-16One is so near to another
-
-that no air can come between them.
-
-17They are joined one to another;
-
-they clasp each other and cannot be separated.
-
-18His sneezings flash forth light,
-
-and his eyes are like the eyelids of the dawn.
-
-19Out of his mouth go flaming torches;
-
-sparks of fire leap forth.
-
-20Out of his nostrils comes forth smoke,
-
-as from a boiling pot and burning rushes.
-
-21His breath kindles coals,
-
-and a flame comes forth from his mouth.
-
-22In his neck abides strength,
-
-and terror dances before him.
-
-23The folds of his flesh stick together,
-
-firmly cast on him and immovable.
-
-24His heart is hard as a stone,
-
-hard as the lower millstone.
-
-25When he raises himself up the mighty[102] are afraid;
-
-at the crashing they are beside themselves.
-
-26Though the sword reaches him, it does not avail,
-
-nor the spear, the dart, or the javelin.
-
-27He counts iron as straw,
-
-and bronze as rotten wood.
-
-28The arrow cannot make him flee;
-
-for him sling stones are turned to stubble.
-
-29Clubs are counted as stubble;
-
-he laughs at the rattle of javelins.
-
-30His underparts are like sharp potsherds;
-
-he spreads himself like a threshing sledge on the mire.
-
-31He makes the deep boil like a pot;
-
-he makes the sea like a pot of ointment.
-
-32Behind him he leaves a shining wake;
-
-one would think the deep to be white-haired.
-
-33On earth there is not his like,
-
-a creature without fear.
-
-34He sees everything that is high;
-
-he is king over all the sons of pride.”
-
-
-
-
-
-Job's Confession and Repentance
-
-
-42:1 Then Job answered the LORD and said:
-
-2“I know that you can do all things,
-
-and that no purpose of yours can be thwarted.
-
-3‘Who is this that hides counsel without knowledge?’
-
-Therefore I have uttered what I did not understand,
-
-things too wonderful for me, which I did not know.
-
-4‘Hear, and I will speak;
-
-I will question you, and you make it known to me.’
-
-5I had heard of you by the hearing of the ear,
-
-but now my eye sees you;
-
-6therefore I despise myself,
-
-and repent[103] in dust and ashes.”
-
-
-
-
-
-The LORD Rebukes Job's Friends
-
-
-7After the LORD had spoken these words to Job, the LORD said to Eliphaz the Temanite: “My anger burns against you and against your two friends, for you have not spoken of me what is right, as my servant Job has. 8Now therefore take seven bulls and seven rams and go to my servant Job and offer up a burnt offering for yourselves. And my servant Job shall pray for you, for I will accept his prayer not to deal with you according to your folly. For you have not spoken of me what is right, as my servant Job has.” 9So Eliphaz the Temanite and Bildad the Shuhite and Zophar the Naamathite went and did what the LORD had told them, and the LORD accepted Job's prayer.
-
-
-
-
-
-The LORD Restores Job's Fortunes
-
-
-10And the LORD restored the fortunes of Job, when he had prayed for his friends. And the LORD gave Job twice as much as he had before. 11Then came to him all his brothers and sisters and all who had known him before, and ate bread with him in his house. And they showed him sympathy and comforted him for all the evil[104] that the LORD had brought upon him. And each of them gave him a piece of money[105] and a ring of gold.
-
-12And the LORD blessed the latter days of Job more than his beginning. And he had 14,000 sheep, 6,000 camels, 1,000 yoke of oxen, and 1,000 female donkeys. 13He had also seven sons and three daughters. 14And he called the name of the first daughter Jemimah, and the name of the second Keziah, and the name of the third Keren-happuch. 15And in all the land there were no women so beautiful as Job's daughters. And their father gave them an inheritance among their brothers. 16And after this Job lived 140 years, and saw his sons, and his sons' sons, four generations. 17And Job died, an old man, and full of days.
-
-
-
-
-
-Footnotes
-
-
-[1] 1:5 The Hebrew word bless is used euphemistically for curse in 1:5, 11; 2:5, 9
-
-[2] 1:6 Hebrew the Adversary; so throughout chapters 1–2
-
-[3] 1:15 Hebrew the young men; also verses 16, 17
-
-[4] 2:10 Or disaster; also verse 11
-
-[5] 3:24 Or like; Hebrew before
-
-[6] 4:6 Hebrew lacks of God
-
-[7] 4:17 Or more than; twice in this verse
-
-[8] 5:5 The meaning of the Hebrew is uncertain
-
-[9] 5:5 Aquila, Symmachus, Syriac, Vulgate; Hebrew could be read as and the snare pants
-
-[10] 5:5 Hebrew their
-
-[11] 5:19 Or disaster
-
-[12] 5:27 Hebrew for yourself
-
-[13] 6:6 The meaning of the Hebrew word is uncertain
-
-[14] 6:7 The meaning of the Hebrew is uncertain
-
-[15] 6:10 The meaning of the Hebrew word is uncertain
-
-[16] 6:14 Syriac, Vulgate (compare Targum); the meaning of the Hebrew word is uncertain
-
-[17] 8:14 Hebrew house
-
-[18] 9:15 Or to my judge
-
-[19] 9:19 Compare Septuagint; Hebrew me
-
-[20] 9:23 The meaning of the Hebrew word is uncertain
-
-[21] 9:33 Or Would that there were an
-
-[22] 10:16 Hebrew lacks my head
-
-[23] 11:4 Hebrew your
-
-[24] 11:6 The meaning of the Hebrew is uncertain
-
-[25] 11:8 Hebrew The heights of heaven
-
-[26] 12:6 The meaning of the Hebrew is uncertain
-
-[27] 12:8 Or speak to the earth
-
-[28] 12:13 Hebrew him
-
-[29] 13:15 Or Behold, he will slay me; I have no hope
-
-[30] 13:27 Or you marked
-
-[31] 13:28 Hebrew He
-
-[32] 14:6 Probable reading; Hebrew look away from him, that he may cease
-
-[33] 14:14 Or relief
-
-[34] 15:4 Hebrew lacks of God
-
-[35] 15:15 Hebrew he
-
-[36] 15:29 Or nor will his produce bend down to the earth
-
-[37] 16:7 Hebrew you have; also verse 8
-
-[38] 16:21 Hebrew and
-
-[39] 17:12 The meaning of the Hebrew is uncertain
-
-[40] 19:12 Hebrew their way
-
-[41] 19:25 Hebrew dust
-
-[42] 19:26 Or without
-
-[43] 20:23 Hebrew he
-
-[44] 20:28 Hebrew his
-
-[45] 21:17 Hebrew he
-
-[46] 21:24 The meaning of the Hebrew word is uncertain
-
-[47] 22:17 Hebrew them
-
-[48] 22:29 Or you say, ‘It is exaltation’
-
-[49] 22:30 Septuagint, Syriac, Vulgate; Hebrew him that is not innocent
-
-[50] 23:2 Or defiant
-
-[51] 23:13 Or one
-
-[52] 24:5 Hebrew they
-
-[53] 24:6 Hebrew his
-
-[54] 24:11 Hebrew their olive rows
-
-[55] 24:22 Hebrew he
-
-[56] 25:2 Hebrew him
-
-[57] 26:6 Hebrew him
-
-[58] 26:9 Or his throne
-
-[59] 27:22 Or He (that is, God); also verse 23
-
-[60] 27:22 Or his; also verse 23
-
-[61] 28:6 Or lapis lazuli; also verse 16
-
-[62] 29:4 Hebrew my autumn days
-
-[63] 30:4 Or warmth
-
-[64] 30:11 Hebrew the bridle
-
-[65] 30:19 Hebrew He
-
-[66] 30:24 The meaning of the Hebrew is uncertain
-
-[67] 31:8 Or let my descendants
-
-[68] 31:18 Hebrew he
-
-[69] 31:18 Hebrew her
-
-[70] 31:20 Hebrew if his loins have not blessed me
-
-[71] 31:26 Hebrew the light
-
-[72] 31:33 Or as Adam did
-
-[73] 32:9 Hebrew many [in years]
-
-[74] 33:13 Hebrew his
-
-[75] 33:13 Or He will not answer for any of his own words
-
-[76] 33:26 Hebrew he
-
-[77] 34:13 Hebrew lacks on him
-
-[78] 34:23 Hebrew he
-
-[79] 34:33 The meaning of the Hebrew in verses 29-33 is uncertain
-
-[80] 35:9 Or the many
-
-[81] 35:15 Theodotion, Symmachus (compare Vulgate); the meaning of the Hebrew word is uncertain
-
-[82] 36:33 Hebrew declares concerning him
-
-[83] 37:4 Hebrew them
-
-[84] 37:16 Or hoverings
-
-[85] 37:24 Hebrew in heart
-
-[86] 38:3 Hebrew Gird up your loins
-
-[87] 38:32 Probably the name of a constellation
-
-[88] 38:36 Or in the ibis
-
-[89] 38:36 Or rooster
-
-[90] 39:13 The meaning of the Hebrew is uncertain
-
-[91] 39:18 The meaning of the Hebrew is uncertain
-
-[92] 39:21 Hebrew They paw
-
-[93] 40:7 Hebrew Gird up your loins
-
-[94] 40:13 Hebrew in the hidden place
-
-[95] 40:15 A large animal, exact identity unknown
-
-[96] 40:19 Hebrew ways
-
-[97] 40:24 Or in his sight
-
-[98] 41:1 Ch 40:25 in Hebrew
-
-[99] 41:1 A large sea animal, exact identity unknown
-
-[100] 41:9 Ch 41:1 in Hebrew
-
-[101] 41:15 Or His pride is in his
-
-[102] 41:25 Or gods
-
-[103] 42:6 Or and am comforted
-
-[104] 42:11 Or disaster
-
-[105] 42:11 Hebrew a qesitah; a unit of money of unknown value
-
-
-
-
-
-PSALMS
-
-
-Chapter 1
-
-Chapter 2
-
-Chapter 3
-
-Chapter 4
-
-Chapter 5
-
-Chapter 6
-
-Chapter 7
-
-Chapter 8
-
-Chapter 9
-
-Chapter 10
-
-Chapter 11
-
-Chapter 12
-
-Chapter 13
-
-Chapter 14
-
-Chapter 15
-
-Chapter 16
-
-Chapter 17
-
-Chapter 18
-
-Chapter 19
-
-Chapter 20
-
-Chapter 21
-
-Chapter 22
-
-Chapter 23
-
-Chapter 24
-
-Chapter 25
-
-Chapter 26
-
-Chapter 27
-
-Chapter 28
-
-Chapter 29
-
-Chapter 30
-
-Chapter 31
-
-Chapter 32
-
-Chapter 33
-
-Chapter 34
-
-Chapter 35
-
-Chapter 36
-
-Chapter 37
-
-Chapter 38
-
-Chapter 39
-
-Chapter 40
-
-Chapter 41
-
-Chapter 42
-
-Chapter 43
-
-Chapter 44
-
-Chapter 45
-
-Chapter 46
-
-Chapter 47
-
-Chapter 48
-
-Chapter 49
-
-Chapter 50
-
-Chapter 51
-
-Chapter 52
-
-Chapter 53
-
-Chapter 54
-
-Chapter 55
-
-Chapter 56
-
-Chapter 57
-
-Chapter 58
-
-Chapter 59
-
-Chapter 60
-
-Chapter 61
-
-Chapter 62
-
-Chapter 63
-
-Chapter 64
-
-Chapter 65
-
-Chapter 66
-
-Chapter 67
-
-Chapter 68
-
-Chapter 69
-
-Chapter 70
-
-Chapter 71
-
-Chapter 72
-
-Chapter 73
-
-Chapter 74
-
-Chapter 75
-
-Chapter 76
-
-Chapter 77
-
-Chapter 78
-
-Chapter 79
-
-Chapter 80
-
-Chapter 81
-
-Chapter 82
-
-Chapter 83
-
-Chapter 84
-
-Chapter 85
-
-Chapter 86
-
-Chapter 87
-
-Chapter 88
-
-Chapter 89
-
-Chapter 90
-
-Chapter 91
-
-Chapter 92
-
-Chapter 93
-
-Chapter 94
-
-Chapter 95
-
-Chapter 96
-
-Chapter 97
-
-Chapter 98
-
-Chapter 99
-
-Chapter 100
-
-Chapter 101
-
-Chapter 102
-
-Chapter 103
-
-Chapter 104
-
-Chapter 105
-
-Chapter 106
-
-Chapter 107
-
-Chapter 108
-
-Chapter 109
-
-Chapter 110
-
-Chapter 111
-
-Chapter 112
-
-Chapter 113
-
-Chapter 114
-
-Chapter 115
-
-Chapter 116
-
-Chapter 117
-
-Chapter 118
-
-Chapter 119
-
-Chapter 120
-
-Chapter 121
-
-Chapter 122
-
-Chapter 123
-
-Chapter 124
-
-Chapter 125
-
-Chapter 126
-
-Chapter 127
-
-Chapter 128
-
-Chapter 129
-
-Chapter 130
-
-Chapter 131
-
-Chapter 132
-
-Chapter 133
-
-Chapter 134
-
-Chapter 135
-
-Chapter 136
-
-Chapter 137
-
-Chapter 138
-
-Chapter 139
-
-Chapter 140
-
-Chapter 141
-
-Chapter 142
-
-Chapter 143
-
-Chapter 144
-
-Chapter 145
-
-Chapter 146
-
-Chapter 147
-
-Chapter 148
-
-Chapter 149
-
-Chapter 150
-
-
-
-
-
-BOOK ONE
-
-
-The Way of the Righteous and the Wicked
-
-
-1:1 Blessed is the man[1]
-
-who walks not in the counsel of the wicked,
-
-nor stands in the way of sinners,
-
-nor sits in the seat of scoffers;
-
-2but his delight is in the law[2] of the LORD,
-
-and on his law he meditates day and night.
-
-3He is like a tree
-
-planted by streams of water
-
-that yields its fruit in its season,
-
-and its leaf does not wither.
-
-In all that he does, he prospers.
-
-4The wicked are not so,
-
-but are like chaff that the wind drives away.
-
-5Therefore the wicked will not stand in the judgment,
-
-nor sinners in the congregation of the righteous;
-
-6for the LORD knows the way of the righteous,
-
-but the way of the wicked will perish.
-
-
-
-
-
-The Reign of the LORD's Anointed
-
-
-2:1 Why do the nations rage[3]
-
-and the peoples plot in vain?
-
-2The kings of the earth set themselves,
-
-and the rulers take counsel together,
-
-against the LORD and against his Anointed, saying,
-
-3“Let us burst their bonds apart
-
-and cast away their cords from us.”
-
-4He who sits in the heavens laughs;
-
-the Lord holds them in derision.
-
-5Then he will speak to them in his wrath,
-
-and terrify them in his fury, saying,
-
-6“As for me, I have set my King
-
-on Zion, my holy hill.”
-
-7I will tell of the decree:
-
-The LORD said to me, “You are my Son;
-
-today I have begotten you.
-
-8Ask of me, and I will make the nations your heritage,
-
-and the ends of the earth your possession.
-
-9You shall break[4] them with a rod of iron
-
-and dash them in pieces like a potter's vessel.”
-
-10Now therefore, O kings, be wise;
-
-be warned, O rulers of the earth.
-
-11Serve the LORD with fear,
-
-and rejoice with trembling.
-
-12Kiss the Son,
-
-lest he be angry, and you perish in the way,
-
-for his wrath is quickly kindled.
-
-Blessed are all who take refuge in him.
-
-
-
-
-
-Save Me, O My God
-
-
-A Psalm of David, when he fled from Absalom his son.
-
-
-3:1 O LORD, how many are my foes!
-
-Many are rising against me;
-
-2many are saying of my soul,
-
-there is no salvation for him in God. Selah[5]
-
-3But you, O LORD, are a shield about me,
-
-my glory, and the lifter of my head.
-
-4I cried aloud to the LORD,
-
-and he answered me from his holy hill. Selah
-
-5I lay down and slept;
-
-I woke again, for the LORD sustained me.
-
-6I will not be afraid of many thousands of people
-
-who have set themselves against me all around.
-
-7Arise, O LORD!
-
-Save me, O my God!
-
-For you strike all my enemies on the cheek;
-
-you break the teeth of the wicked.
-
-8Salvation belongs to the LORD;
-
-your blessing be on your people! Selah
-
-
-
-
-
-Answer Me When I Call
-
-
-To the choirmaster: with stringed instruments. A Psalm of David.
-
-
-4:1 Answer me when I call, O God of my righteousness!
-
-You have given me relief when I was in distress.
-
-Be gracious to me and hear my prayer!
-
-2O men,[6] how long shall my honor be turned into shame?
-
-How long will you love vain words and seek after lies? Selah
-
-3But know that the LORD has set apart the godly for himself;
-
-the LORD hears when I call to him.
-
-4Be angry,[7] and do not sin;
-
-ponder in your own hearts on your beds, and be silent. Selah
-
-5Offer right sacrifices,
-
-and put your trust in the LORD.
-
-6There are many who say, “Who will show us some good?
-
-Lift up the light of your face upon us, O LORD!”
-
-7You have put more joy in my heart
-
-than they have when their grain and wine abound.
-
-8In peace I will both lie down and sleep;
-
-for you alone, O LORD, make me dwell in safety.
-
-
-
-
-
-Lead Me in Your Righteousness
-
-
-To the choirmaster: for the flutes. A Psalm of David.
-
-
-5:1 Give ear to my words, O LORD;
-
-consider my groaning.
-
-2Give attention to the sound of my cry,
-
-my King and my God,
-
-for to you do I pray.
-
-3O LORD, in the morning you hear my voice;
-
-in the morning I prepare a sacrifice for you[8] and watch.
-
-4For you are not a God who delights in wickedness;
-
-evil may not dwell with you.
-
-5The boastful shall not stand before your eyes;
-
-you hate all evildoers.
-
-6You destroy those who speak lies;
-
-the LORD abhors the bloodthirsty and deceitful man.
-
-7But I, through the abundance of your steadfast love,
-
-will enter your house.
-
-I will bow down toward your holy temple
-
-in the fear of you.
-
-8Lead me, O LORD, in your righteousness
-
-because of my enemies;
-
-make your way straight before me.
-
-9For there is no truth in their mouth;
-
-their inmost self is destruction;
-
-their throat is an open grave;
-
-they flatter with their tongue.
-
-10Make them bear their guilt, O God;
-
-let them fall by their own counsels;
-
-because of the abundance of their transgressions cast them out,
-
-for they have rebelled against you.
-
-11But let all who take refuge in you rejoice;
-
-let them ever sing for joy,
-
-and spread your protection over them,
-
-that those who love your name may exult in you.
-
-12For you bless the righteous, O LORD;
-
-you cover him with favor as with a shield.
-
-
-
-
-
-O LORD, Deliver My Life
-
-
-To the choirmaster: with stringed instruments; according to The Sheminith.[9] A Psalm of David.
-
-
-6:1 O LORD, rebuke me not in your anger,
-
-nor discipline me in your wrath.
-
-2Be gracious to me, O LORD, for I am languishing;
-
-heal me, O LORD, for my bones are troubled.
-
-3My soul also is greatly troubled.
-
-But you, O LORD—how long?
-
-4Turn, O LORD, deliver my life;
-
-save me for the sake of your steadfast love.
-
-5For in death there is no remembrance of you;
-
-in Sheol who will give you praise?
-
-6I am weary with my moaning;
-
-every night I flood my bed with tears;
-
-I drench my couch with my weeping.
-
-7My eye wastes away because of grief;
-
-it grows weak because of all my foes.
-
-8Depart from me, all you workers of evil,
-
-for the LORD has heard the sound of my weeping.
-
-9The LORD has heard my plea;
-
-the LORD accepts my prayer.
-
-10All my enemies shall be ashamed and greatly troubled;
-
-they shall turn back and be put to shame in a moment.
-
-
-
-
-
-In You Do I Take Refuge
-
-
-A Shiggaion[10] of David, which he sang to the LORD concerning the words of Cush, a Benjaminite.
-
-
-7:1 O LORD my God, in you do I take refuge;
-
-save me from all my pursuers and deliver me,
-
-2lest like a lion they tear my soul apart,
-
-rending it in pieces, with none to deliver.
-
-3O LORD my God, if I have done this,
-
-if there is wrong in my hands,
-
-4if I have repaid my friend[11] with evil
-
-or plundered my enemy without cause,
-
-5let the enemy pursue my soul and overtake it,
-
-and let him trample my life to the ground
-
-and lay my glory in the dust. Selah
-
-6Arise, O LORD, in your anger;
-
-lift yourself up against the fury of my enemies;
-
-awake for me; you have appointed a judgment.
-
-7Let the assembly of the peoples be gathered about you;
-
-over it return on high.
-
-8The LORD judges the peoples;
-
-judge me, O LORD, according to my righteousness
-
-and according to the integrity that is in me.
-
-9Oh, let the evil of the wicked come to an end,
-
-and may you establish the righteous—
-
-you who test the minds and hearts,[12]
-
-O righteous God!
-
-10My shield is with God,
-
-who saves the upright in heart.
-
-11God is a righteous judge,
-
-and a God who feels indignation every day.
-
-12If a man[13] does not repent, God[14] will whet his sword;
-
-he has bent and readied his bow;
-
-13he has prepared for him his deadly weapons,
-
-making his arrows fiery shafts.
-
-14Behold, the wicked man conceives evil
-
-and is pregnant with mischief
-
-and gives birth to lies.
-
-15He makes a pit, digging it out,
-
-and falls into the hole that he has made.
-
-16His mischief returns upon his own head,
-
-and on his own skull his violence descends.
-
-17I will give to the LORD the thanks due to his righteousness,
-
-and I will sing praise to the name of the LORD, the Most High.
-
-
-
-
-
-How Majestic Is Your Name
-
-
-To the choirmaster: according to The Gittith.[15] A Psalm of David.
-
-
-8:1 O LORD, our Lord,
-
-how majestic is your name in all the earth!
-
-You have set your glory above the heavens.
-
-2Out of the mouth of babies and infants,
-
-you have established strength because of your foes,
-
-to still the enemy and the avenger.
-
-3When I look at your heavens, the work of your fingers,
-
-the moon and the stars, which you have set in place,
-
-4what is man that you are mindful of him,
-
-and the son of man that you care for him?
-
-5Yet you have made him a little lower than the heavenly beings[16]
-
-and crowned him with glory and honor.
-
-6You have given him dominion over the works of your hands;
-
-you have put all things under his feet,
-
-7all sheep and oxen,
-
-and also the beasts of the field,
-
-8the birds of the heavens, and the fish of the sea,
-
-whatever passes along the paths of the seas.
-
-9O LORD, our Lord,
-
-how majestic is your name in all the earth!
-
-
-
-
-
-I Will Recount Your Wonderful Deeds
-
-
-[17] To the choirmaster: according to Muth-labben.[18] A Psalm of David.
-
-
-9:1 I will give thanks to the LORD with my whole heart;
-
-I will recount all of your wonderful deeds.
-
-2I will be glad and exult in you;
-
-I will sing praise to your name, O Most High.
-
-3When my enemies turn back,
-
-they stumble and perish before[19] your presence.
-
-4For you have maintained my just cause;
-
-you have sat on the throne, giving righteous judgment.
-
-5You have rebuked the nations; you have made the wicked perish;
-
-you have blotted out their name forever and ever.
-
-6The enemy came to an end in everlasting ruins;
-
-their cities you rooted out;
-
-the very memory of them has perished.
-
-7But the LORD sits enthroned forever;
-
-he has established his throne for justice,
-
-8and he judges the world with righteousness;
-
-he judges the peoples with uprightness.
-
-9The LORD is a stronghold for the oppressed,
-
-a stronghold in times of trouble.
-
-10And those who know your name put their trust in you,
-
-for you, O LORD, have not forsaken those who seek you.
-
-11Sing praises to the LORD, who sits enthroned in Zion!
-
-Tell among the peoples his deeds!
-
-12For he who avenges blood is mindful of them;
-
-he does not forget the cry of the afflicted.
-
-13Be gracious to me, O LORD!
-
-See my affliction from those who hate me,
-
-O you who lift me up from the gates of death,
-
-14that I may recount all your praises,
-
-that in the gates of the daughter of Zion
-
-I may rejoice in your salvation.
-
-15The nations have sunk in the pit that they made;
-
-in the net that they hid, their own foot has been caught.
-
-16The LORD has made himself known; he has executed judgment;
-
-the wicked are snared in the work of their own hands. Higgaion.[20] Selah
-
-17The wicked shall return to Sheol,
-
-all the nations that forget God.
-
-18For the needy shall not always be forgotten,
-
-and the hope of the poor shall not perish forever.
-
-19Arise, O LORD! Let not man prevail;
-
-let the nations be judged before you!
-
-20Put them in fear, O LORD!
-
-Let the nations know that they are but men! Selah
-
-
-
-
-
-Why Do You Hide Yourself?
-
-
-10:1 Why, O LORD, do you stand far away?
-
-Why do you hide yourself in times of trouble?
-
-2In arrogance the wicked hotly pursue the poor;
-
-let them be caught in the schemes that they have devised.
-
-3For the wicked boasts of the desires of his soul,
-
-and the one greedy for gain curses[21] and renounces the LORD.
-
-4In the pride of his face[22] the wicked does not seek him;[23]
-
-all his thoughts are, “There is no God.”
-
-5His ways prosper at all times;
-
-your judgments are on high, out of his sight;
-
-as for all his foes, he puffs at them.
-
-6He says in his heart, “I shall not be moved;
-
-throughout all generations I shall not meet adversity.”
-
-7His mouth is filled with cursing and deceit and oppression;
-
-under his tongue are mischief and iniquity.
-
-8He sits in ambush in the villages;
-
-in hiding places he murders the innocent.
-
-His eyes stealthily watch for the helpless;
-
-9he lurks in ambush like a lion in his thicket;
-
-he lurks that he may seize the poor;
-
-he seizes the poor when he draws him into his net.
-
-10The helpless are crushed, sink down,
-
-and fall by his might.
-
-11He says in his heart, “God has forgotten,
-
-he has hidden his face, he will never see it.”
-
-12Arise, O LORD; O God, lift up your hand;
-
-forget not the afflicted.
-
-13Why does the wicked renounce God
-
-and say in his heart, “You will not call to account”?
-
-14But you do see, for you note mischief and vexation,
-
-that you may take it into your hands;
-
-to you the helpless commits himself;
-
-you have been the helper of the fatherless.
-
-15Break the arm of the wicked and evildoer;
-
-call his wickedness to account till you find none.
-
-16The LORD is king forever and ever;
-
-the nations perish from his land.
-
-17O LORD, you hear the desire of the afflicted;
-
-you will strengthen their heart; you will incline your ear
-
-18to do justice to the fatherless and the oppressed,
-
-so that man who is of the earth may strike terror no more.
-
-
-
-
-
-The LORD Is in His Holy Temple
-
-
-To the choirmaster. Of David.
-
-
-11:1 In the LORD I take refuge;
-
-how can you say to my soul,
-
-“Flee like a bird to your mountain,
-
-2for behold, the wicked bend the bow;
-
-they have fitted their arrow to the string
-
-to shoot in the dark at the upright in heart;
-
-3if the foundations are destroyed,
-
-what can the righteous do?”[24]
-
-4The LORD is in his holy temple;
-
-the LORD's throne is in heaven;
-
-his eyes see, his eyelids test the children of man.
-
-5The LORD tests the righteous,
-
-but his soul hates the wicked and the one who loves violence.
-
-6Let him rain coals on the wicked;
-
-fire and sulfur and a scorching wind shall be the portion of their cup.
-
-7For the LORD is righteous;
-
-he loves righteous deeds;
-
-the upright shall behold his face.
-
-
-
-
-
-The Faithful Have Vanished
-
-
-To the choirmaster: according to The Sheminith.[25] A Psalm of David.
-
-
-12:1 Save, O LORD, for the godly one is gone;
-
-for the faithful have vanished from among the children of man.
-
-2Everyone utters lies to his neighbor;
-
-with flattering lips and a double heart they speak.
-
-3May the LORD cut off all flattering lips,
-
-the tongue that makes great boasts,
-
-4those who say, “With our tongue we will prevail,
-
-our lips are with us; who is master over us?”
-
-5“Because the poor are plundered, because the needy groan,
-
-I will now arise,” says the LORD;
-
-“I will place him in the safety for which he longs.”
-
-6The words of the LORD are pure words,
-
-like silver refined in a furnace on the ground,
-
-purified seven times.
-
-7You, O LORD, will keep them;
-
-you will guard us[26] from this generation forever.
-
-8On every side the wicked prowl,
-
-as vileness is exalted among the children of man.
-
-
-
-
-
-How Long, O LORD?
-
-
-To the choirmaster. A Psalm of David.
-
-
-13:1 How long, O LORD? Will you forget me forever?
-
-How long will you hide your face from me?
-
-2How long must I take counsel in my soul
-
-and have sorrow in my heart all the day?
-
-How long shall my enemy be exalted over me?
-
-3Consider and answer me, O LORD my God;
-
-light up my eyes, lest I sleep the sleep of death,
-
-4lest my enemy say, “I have prevailed over him,”
-
-lest my foes rejoice because I am shaken.
-
-5But I have trusted in your steadfast love;
-
-my heart shall rejoice in your salvation.
-
-6I will sing to the LORD,
-
-because he has dealt bountifully with me.
-
-
-
-
-
-The Fool Says, There Is No God
-
-
-To the choirmaster. Of David.
-
-
-14:1 The fool says in his heart, “There is no God.”
-
-They are corrupt, they do abominable deeds,
-
-there is none who does good.
-
-2The LORD looks down from heaven on the children of man,
-
-to see if there are any who understand,[27]
-
-who seek after God.
-
-3They have all turned aside; together they have become corrupt;
-
-there is none who does good,
-
-not even one.
-
-4Have they no knowledge, all the evildoers
-
-who eat up my people as they eat bread
-
-and do not call upon the LORD?
-
-5There they are in great terror,
-
-for God is with the generation of the righteous.
-
-6You would shame the plans of the poor,
-
-but[28] the LORD is his refuge.
-
-7Oh, that salvation for Israel would come out of Zion!
-
-When the LORD restores the fortunes of his people,
-
-let Jacob rejoice, let Israel be glad.
-
-
-
-
-
-Who Shall Dwell on Your Holy Hill?
-
-
-A Psalm of David.
-
-
-15:1 O LORD, who shall sojourn in your tent?
-
-Who shall dwell on your holy hill?
-
-2He who walks blamelessly and does what is right
-
-and speaks truth in his heart;
-
-3who does not slander with his tongue
-
-and does no evil to his neighbor,
-
-nor takes up a reproach against his friend;
-
-4in whose eyes a vile person is despised,
-
-but who honors those who fear the LORD;
-
-who swears to his own hurt and does not change;
-
-5who does not put out his money at interest
-
-and does not take a bribe against the innocent.
-
-He who does these things shall never be moved.
-
-
-
-
-
-You Will Not Abandon My Soul
-
-
-A Miktam[29] of David.
-
-
-16:1 Preserve me, O God, for in you I take refuge.
-
-2I say to the LORD, “You are my Lord;
-
-I have no good apart from you.”
-
-3As for the saints in the land, they are the excellent ones,
-
-in whom is all my delight.[30]
-
-4The sorrows of those who run after[31] another god shall multiply;
-
-their drink offerings of blood I will not pour out
-
-or take their names on my lips.
-
-5The LORD is my chosen portion and my cup;
-
-you hold my lot.
-
-6The lines have fallen for me in pleasant places;
-
-indeed, I have a beautiful inheritance.
-
-7I bless the LORD who gives me counsel;
-
-in the night also my heart instructs me.[32]
-
-8I have set the LORD always before me;
-
-because he is at my right hand, I shall not be shaken.
-
-9Therefore my heart is glad, and my whole being[33] rejoices;
-
-my flesh also dwells secure.
-
-10For you will not abandon my soul to Sheol,
-
-or let your holy one see corruption.[34]
-
-11You make known to me the path of life;
-
-in your presence there is fullness of joy;
-
-at your right hand are pleasures forevermore.
-
-
-
-
-
-In the Shadow of Your Wings
-
-
-A Prayer of David.
-
-
-17:1 Hear a just cause, O LORD; attend to my cry!
-
-Give ear to my prayer from lips free of deceit!
-
-2From your presence let my vindication come!
-
-Let your eyes behold the right!
-
-3You have tried my heart, you have visited me by night,
-
-you have tested me, and you will find nothing;
-
-I have purposed that my mouth will not transgress.
-
-4With regard to the works of man, by the word of your lips
-
-I have avoided the ways of the violent.
-
-5My steps have held fast to your paths;
-
-my feet have not slipped.
-
-6I call upon you, for you will answer me, O God;
-
-incline your ear to me; hear my words.
-
-7Wondrously show[35] your steadfast love,
-
-O Savior of those who seek refuge
-
-from their adversaries at your right hand.
-
-8Keep me as the apple of your eye;
-
-hide me in the shadow of your wings,
-
-9from the wicked who do me violence,
-
-my deadly enemies who surround me.
-
-10They close their hearts to pity;
-
-with their mouths they speak arrogantly.
-
-11They have now surrounded our steps;
-
-they set their eyes to cast us to the ground.
-
-12He is like a lion eager to tear,
-
-as a young lion lurking in ambush.
-
-13Arise, O LORD! Confront him, subdue him!
-
-Deliver my soul from the wicked by your sword,
-
-14from men by your hand, O LORD,
-
-from men of the world whose portion is in this life.[36]
-
-You fill their womb with treasure;[37]
-
-they are satisfied with children,
-
-and they leave their abundance to their infants.
-
-15As for me, I shall behold your face in righteousness;
-
-when I awake, I shall be satisfied with your likeness.
-
-
-
-
-
-The LORD Is My Rock and My Fortress
-
-
-To the choirmaster. A Psalm of David, the servant of the LORD, who addressed the words of this song to the LORD on the day when the LORD rescued him from the hand of all his enemies, and from the hand of Saul. He said:
-
-
-18:1 I love you, O LORD, my strength.
-
-2The LORD is my rock and my fortress and my deliverer,
-
-my God, my rock, in whom I take refuge,
-
-my shield, and the horn of my salvation, my stronghold.
-
-3I call upon the LORD, who is worthy to be praised,
-
-and I am saved from my enemies.
-
-4The cords of death encompassed me;
-
-the torrents of destruction assailed me;[38]
-
-5the cords of Sheol entangled me;
-
-the snares of death confronted me.
-
-6In my distress I called upon the LORD;
-
-to my God I cried for help.
-
-From his temple he heard my voice,
-
-and my cry to him reached his ears.
-
-7Then the earth reeled and rocked;
-
-the foundations also of the mountains trembled
-
-and quaked, because he was angry.
-
-8Smoke went up from his nostrils,[39]
-
-and devouring fire from his mouth;
-
-glowing coals flamed forth from him.
-
-9He bowed the heavens and came down;
-
-thick darkness was under his feet.
-
-10He rode on a cherub and flew;
-
-he came swiftly on the wings of the wind.
-
-11He made darkness his covering, his canopy around him,
-
-thick clouds dark with water.
-
-12Out of the brightness before him
-
-hailstones and coals of fire broke through his clouds.
-
-13The LORD also thundered in the heavens,
-
-and the Most High uttered his voice,
-
-hailstones and coals of fire.
-
-14And he sent out his arrows and scattered them;
-
-he flashed forth lightnings and routed them.
-
-15Then the channels of the sea were seen,
-
-and the foundations of the world were laid bare
-
-at your rebuke, O LORD,
-
-at the blast of the breath of your nostrils.
-
-16He sent from on high, he took me;
-
-he drew me out of many waters.
-
-17He rescued me from my strong enemy
-
-and from those who hated me,
-
-for they were too mighty for me.
-
-18They confronted me in the day of my calamity,
-
-but the LORD was my support.
-
-19He brought me out into a broad place;
-
-he rescued me, because he delighted in me.
-
-20The LORD dealt with me according to my righteousness;
-
-according to the cleanness of my hands he rewarded me.
-
-21For I have kept the ways of the LORD,
-
-and have not wickedly departed from my God.
-
-22For all his rules[40] were before me,
-
-and his statutes I did not put away from me.
-
-23I was blameless before him,
-
-and I kept myself from my guilt.
-
-24So the LORD has rewarded me according to my righteousness,
-
-according to the cleanness of my hands in his sight.
-
-25With the merciful you show yourself merciful;
-
-with the blameless man you show yourself blameless;
-
-26with the purified you show yourself pure;
-
-and with the crooked you make yourself seem tortuous.
-
-27For you save a humble people,
-
-but the haughty eyes you bring down.
-
-28For it is you who light my lamp;
-
-the LORD my God lightens my darkness.
-
-29For by you I can run against a troop,
-
-and by my God I can leap over a wall.
-
-30This God—his way is perfect;[41]
-
-the word of the LORD proves true;
-
-he is a shield for all those who take refuge in him.
-
-31For who is God, but the LORD?
-
-And who is a rock, except our God?—
-
-32the God who equipped me with strength
-
-and made my way blameless.
-
-33He made my feet like the feet of a deer
-
-and set me secure on the heights.
-
-34He trains my hands for war,
-
-so that my arms can bend a bow of bronze.
-
-35You have given me the shield of your salvation,
-
-and your right hand supported me,
-
-and your gentleness made me great.
-
-36You gave a wide place for my steps under me,
-
-and my feet did not slip.
-
-37I pursued my enemies and overtook them,
-
-and did not turn back till they were consumed.
-
-38I thrust them through, so that they were not able to rise;
-
-they fell under my feet.
-
-39For you equipped me with strength for the battle;
-
-you made those who rise against me sink under me.
-
-40You made my enemies turn their backs to me,[42]
-
-and those who hated me I destroyed.
-
-41They cried for help, but there was none to save;
-
-they cried to the LORD, but he did not answer them.
-
-42I beat them fine as dust before the wind;
-
-I cast them out like the mire of the streets.
-
-43You delivered me from strife with the people;
-
-you made me the head of the nations;
-
-people whom I had not known served me.
-
-44As soon as they heard of me they obeyed me;
-
-foreigners came cringing to me.
-
-45Foreigners lost heart
-
-and came trembling out of their fortresses.
-
-46The LORD lives, and blessed be my rock,
-
-and exalted be the God of my salvation—
-
-47the God who gave me vengeance
-
-and subdued peoples under me,
-
-48who delivered me from my enemies;
-
-yes, you exalted me above those who rose against me;
-
-you rescued me from the man of violence.
-
-49For this I will praise you, O LORD, among the nations,
-
-and sing to your name.
-
-50Great salvation he brings to his king,
-
-and shows steadfast love to his anointed,
-
-to David and his offspring forever.
-
-
-
-
-
-The Law of the LORD Is Perfect
-
-
-To the choirmaster. A Psalm of David.
-
-
-19:1 The heavens declare the glory of God,
-
-and the sky above[43] proclaims his handiwork.
-
-2Day to day pours out speech,
-
-and night to night reveals knowledge.
-
-3There is no speech, nor are there words,
-
-whose voice is not heard.
-
-4Their voice[44] goes out through all the earth,
-
-and their words to the end of the world.
-
-In them he has set a tent for the sun,
-
-5which comes out like a bridegroom leaving his chamber,
-
-and, like a strong man, runs its course with joy.
-
-6Its rising is from the end of the heavens,
-
-and its circuit to the end of them,
-
-and there is nothing hidden from its heat.
-
-7The law of the LORD is perfect,[45]
-
-reviving the soul;
-
-the testimony of the LORD is sure,
-
-making wise the simple;
-
-8the precepts of the LORD are right,
-
-rejoicing the heart;
-
-the commandment of the LORD is pure,
-
-enlightening the eyes;
-
-9the fear of the LORD is clean,
-
-enduring forever;
-
-the rules[46] of the LORD are true,
-
-and righteous altogether.
-
-10More to be desired are they than gold,
-
-even much fine gold;
-
-sweeter also than honey
-
-and drippings of the honeycomb.
-
-11Moreover, by them is your servant warned;
-
-in keeping them there is great reward.
-
-12Who can discern his errors?
-
-Declare me innocent from hidden faults.
-
-13Keep back your servant also from presumptuous sins;
-
-let them not have dominion over me!
-
-Then I shall be blameless,
-
-and innocent of great transgression.
-
-14Let the words of my mouth and the meditation of my heart
-
-be acceptable in your sight,
-
-O LORD, my rock and my redeemer.
-
-
-
-
-
-Trust in the Name of the LORD Our God
-
-
-To the choirmaster. A Psalm of David.
-
-
-20:1 May the LORD answer you in the day of trouble!
-
-May the name of the God of Jacob protect you!
-
-2May he send you help from the sanctuary
-
-and give you support from Zion!
-
-3May he remember all your offerings
-
-and regard with favor your burnt sacrifices! Selah
-
-4May he grant you your heart's desire
-
-and fulfill all your plans!
-
-5May we shout for joy over your salvation,
-
-and in the name of our God set up our banners!
-
-May the LORD fulfill all your petitions!
-
-6Now I know that the LORD saves his anointed;
-
-he will answer him from his holy heaven
-
-with the saving might of his right hand.
-
-7Some trust in chariots and some in horses,
-
-but we trust in the name of the LORD our God.
-
-8They collapse and fall,
-
-but we rise and stand upright.
-
-9O LORD, save the king!
-
-May he answer us when we call.
-
-
-
-
-
-The King Rejoices in the LORD's Strength
-
-
-To the choirmaster. A Psalm of David.
-
-
-21:1 O LORD, in your strength the king rejoices,
-
-and in your salvation how greatly he exults!
-
-2You have given him his heart's desire
-
-and have not withheld the request of his lips. Selah
-
-3For you meet him with rich blessings;
-
-you set a crown of fine gold upon his head.
-
-4He asked life of you; you gave it to him,
-
-length of days forever and ever.
-
-5His glory is great through your salvation;
-
-splendor and majesty you bestow on him.
-
-6For you make him most blessed forever;[47]
-
-you make him glad with the joy of your presence.
-
-7For the king trusts in the LORD,
-
-and through the steadfast love of the Most High he shall not be moved.
-
-8Your hand will find out all your enemies;
-
-your right hand will find out those who hate you.
-
-9You will make them as a blazing oven
-
-when you appear.
-
-The LORD will swallow them up in his wrath,
-
-and fire will consume them.
-
-10You will destroy their descendants from the earth,
-
-and their offspring from among the children of man.
-
-11Though they plan evil against you,
-
-though they devise mischief, they will not succeed.
-
-12For you will put them to flight;
-
-you will aim at their faces with your bows.
-
-13Be exalted, O LORD, in your strength!
-
-We will sing and praise your power.
-
-
-
-
-
-Why Have You Forsaken Me?
-
-
-To the choirmaster: according to The Doe of the Dawn. A Psalm of David.
-
-
-22:1 My God, my God, why have you forsaken me?
-
-Why are you so far from saving me, from the words of my groaning?
-
-2O my God, I cry by day, but you do not answer,
-
-and by night, but I find no rest.
-
-3Yet you are holy,
-
-enthroned on the praises[48] of Israel.
-
-4In you our fathers trusted;
-
-they trusted, and you delivered them.
-
-5To you they cried and were rescued;
-
-in you they trusted and were not put to shame.
-
-6But I am a worm and not a man,
-
-scorned by mankind and despised by the people.
-
-7All who see me mock me;
-
-they make mouths at me; they wag their heads;
-
-8“He trusts in the LORD; let him deliver him;
-
-let him rescue him, for he delights in him!”
-
-9Yet you are he who took me from the womb;
-
-you made me trust you at my mother's breasts.
-
-10On you was I cast from my birth,
-
-and from my mother's womb you have been my God.
-
-11Be not far from me,
-
-for trouble is near,
-
-and there is none to help.
-
-12Many bulls encompass me;
-
-strong bulls of Bashan surround me;
-
-13they open wide their mouths at me,
-
-like a ravening and roaring lion.
-
-14I am poured out like water,
-
-and all my bones are out of joint;
-
-my heart is like wax;
-
-it is melted within my breast;
-
-15my strength is dried up like a potsherd,
-
-and my tongue sticks to my jaws;
-
-you lay me in the dust of death.
-
-16For dogs encompass me;
-
-a company of evildoers encircles me;
-
-they have pierced my hands and feet[49]—
-
-17I can count all my bones—
-
-they stare and gloat over me;
-
-18they divide my garments among them,
-
-and for my clothing they cast lots.
-
-19But you, O LORD, do not be far off!
-
-O you my help, come quickly to my aid!
-
-20Deliver my soul from the sword,
-
-my precious life from the power of the dog!
-
-21Save me from the mouth of the lion!
-
-You have rescued[50] me from the horns of the wild oxen!
-
-22I will tell of your name to my brothers;
-
-in the midst of the congregation I will praise you:
-
-23You who fear the LORD, praise him!
-
-All you offspring of Jacob, glorify him,
-
-and stand in awe of him, all you offspring of Israel!
-
-24For he has not despised or abhorred
-
-the affliction of the afflicted,
-
-and he has not hidden his face from him,
-
-but has heard, when he cried to him.
-
-25From you comes my praise in the great congregation;
-
-my vows I will perform before those who fear him.
-
-26The afflicted[51] shall eat and be satisfied;
-
-those who seek him shall praise the LORD!
-
-May your hearts live forever!
-
-27All the ends of the earth shall remember
-
-and turn to the LORD,
-
-and all the families of the nations
-
-shall worship before you.
-
-28For kingship belongs to the LORD,
-
-and he rules over the nations.
-
-29All the prosperous of the earth eat and worship;
-
-before him shall bow all who go down to the dust,
-
-even the one who could not keep himself alive.
-
-30Posterity shall serve him;
-
-it shall be told of the Lord to the coming generation;
-
-31they shall come and proclaim his righteousness to a people yet unborn,
-
-that he has done it.
-
-
-
-
-
-The LORD Is My Shepherd
-
-
-A Psalm of David.
-
-
-23:1 The LORD is my shepherd; I shall not want.
-
-2He makes me lie down in green pastures.
-
-He leads me beside still waters.[52]
-
-3He restores my soul.
-
-He leads me in paths of righteousness[53]
-
-for his name's sake.
-
-4Even though I walk through the valley of the shadow of death,[54]
-
-I will fear no evil,
-
-for you are with me;
-
-your rod and your staff,
-
-they comfort me.
-
-5You prepare a table before me
-
-in the presence of my enemies;
-
-you anoint my head with oil;
-
-my cup overflows.
-
-6Surely[55] goodness and mercy[56] shall follow me
-
-all the days of my life,
-
-and I shall dwell[57] in the house of the LORD
-
-forever.[58]
-
-
-
-
-
-The King of Glory
-
-
-A Psalm of David.
-
-
-24:1 The earth is the LORD's and the fullness thereof,[59]
-
-the world and those who dwell therein,
-
-2for he has founded it upon the seas
-
-and established it upon the rivers.
-
-3Who shall ascend the hill of the LORD?
-
-And who shall stand in his holy place?
-
-4He who has clean hands and a pure heart,
-
-who does not lift up his soul to what is false
-
-and does not swear deceitfully.
-
-5He will receive blessing from the LORD
-
-and righteousness from the God of his salvation.
-
-6Such is the generation of those who seek him,
-
-who seek the face of the God of Jacob.[60] Selah
-
-7Lift up your heads, O gates!
-
-And be lifted up, O ancient doors,
-
-that the King of glory may come in.
-
-8Who is this King of glory?
-
-The LORD, strong and mighty,
-
-the LORD, mighty in battle!
-
-9Lift up your heads, O gates!
-
-And lift them up, O ancient doors,
-
-that the King of glory may come in.
-
-10Who is this King of glory?
-
-The LORD of hosts,
-
-he is the King of glory! Selah
-
-
-
-
-
-Teach Me Your Paths
-
-
-[61] Of David.
-
-
-25:1 To you, O LORD, I lift up my soul.
-
-2O my God, in you I trust;
-
-let me not be put to shame;
-
-let not my enemies exult over me.
-
-3Indeed, none who wait for you shall be put to shame;
-
-they shall be ashamed who are wantonly treacherous.
-
-4Make me to know your ways, O LORD;
-
-teach me your paths.
-
-5Lead me in your truth and teach me,
-
-for you are the God of my salvation;
-
-for you I wait all the day long.
-
-6Remember your mercy, O LORD, and your steadfast love,
-
-for they have been from of old.
-
-7Remember not the sins of my youth or my transgressions;
-
-according to your steadfast love remember me,
-
-for the sake of your goodness, O LORD!
-
-8Good and upright is the LORD;
-
-therefore he instructs sinners in the way.
-
-9He leads the humble in what is right,
-
-and teaches the humble his way.
-
-10All the paths of the LORD are steadfast love and faithfulness,
-
-for those who keep his covenant and his testimonies.
-
-11For your name's sake, O LORD,
-
-pardon my guilt, for it is great.
-
-12Who is the man who fears the LORD?
-
-Him will he instruct in the way that he should choose.
-
-13His soul shall abide in well-being,
-
-and his offspring shall inherit the land.
-
-14The friendship[62] of the LORD is for those who fear him,
-
-and he makes known to them his covenant.
-
-15My eyes are ever toward the LORD,
-
-for he will pluck my feet out of the net.
-
-16Turn to me and be gracious to me,
-
-for I am lonely and afflicted.
-
-17The troubles of my heart are enlarged;
-
-bring me out of my distresses.
-
-18Consider my affliction and my trouble,
-
-and forgive all my sins.
-
-19Consider how many are my foes,
-
-and with what violent hatred they hate me.
-
-20Oh, guard my soul, and deliver me!
-
-Let me not be put to shame, for I take refuge in you.
-
-21May integrity and uprightness preserve me,
-
-for I wait for you.
-
-22Redeem Israel, O God,
-
-out of all his troubles.
-
-
-
-
-
-I Will Bless the LORD
-
-
-Of David.
-
-
-26:1 Vindicate me, O LORD,
-
-for I have walked in my integrity,
-
-and I have trusted in the LORD without wavering.
-
-2Prove me, O LORD, and try me;
-
-test my heart and my mind.[63]
-
-3For your steadfast love is before my eyes,
-
-and I walk in your faithfulness.
-
-4I do not sit with men of falsehood,
-
-nor do I consort with hypocrites.
-
-5I hate the assembly of evildoers,
-
-and I will not sit with the wicked.
-
-6I wash my hands in innocence
-
-and go around your altar, O LORD,
-
-7proclaiming thanksgiving aloud,
-
-and telling all your wondrous deeds.
-
-8O LORD, I love the habitation of your house
-
-and the place where your glory dwells.
-
-9Do not sweep my soul away with sinners,
-
-nor my life with bloodthirsty men,
-
-10in whose hands are evil devices,
-
-and whose right hands are full of bribes.
-
-11But as for me, I shall walk in my integrity;
-
-redeem me, and be gracious to me.
-
-12My foot stands on level ground;
-
-in the great assembly I will bless the LORD.
-
-
-
-
-
-The LORD Is My Light and My Salvation
-
-
-Of David.
-
-
-27:1 The LORD is my light and my salvation;
-
-whom shall I fear?
-
-The LORD is the stronghold[64] of my life;
-
-of whom shall I be afraid?
-
-2When evildoers assail me
-
-to eat up my flesh,
-
-my adversaries and foes,
-
-it is they who stumble and fall.
-
-3Though an army encamp against me,
-
-my heart shall not fear;
-
-though war arise against me,
-
-yet[65] I will be confident.
-
-4One thing have I asked of the LORD,
-
-that will I seek after:
-
-that I may dwell in the house of the LORD
-
-all the days of my life,
-
-to gaze upon the beauty of the LORD
-
-and to inquire[66] in his temple.
-
-5For he will hide me in his shelter
-
-in the day of trouble;
-
-he will conceal me under the cover of his tent;
-
-he will lift me high upon a rock.
-
-6And now my head shall be lifted up
-
-above my enemies all around me,
-
-and I will offer in his tent
-
-sacrifices with shouts of joy;
-
-I will sing and make melody to the LORD.
-
-7Hear, O LORD, when I cry aloud;
-
-be gracious to me and answer me!
-
-8You have said, “Seek[67] my face.”
-
-My heart says to you,
-
-“Your face, LORD, do I seek.”[68]
-
-9Hide not your face from me.
-
-Turn not your servant away in anger,
-
-O you who have been my help.
-
-Cast me not off; forsake me not,
-
-O God of my salvation!
-
-10For my father and my mother have forsaken me,
-
-but the LORD will take me in.
-
-11Teach me your way, O LORD,
-
-and lead me on a level path
-
-because of my enemies.
-
-12Give me not up to the will of my adversaries;
-
-for false witnesses have risen against me,
-
-and they breathe out violence.
-
-13I believe[69] that I shall look upon the goodness of the LORD
-
-in the land of the living!
-
-14Wait for the LORD;
-
-be strong, and let your heart take courage;
-
-wait for the LORD!
-
-
-
-
-
-The LORD Is My Strength and My Shield
-
-
-Of David.
-
-
-28:1 To you, O LORD, I call;
-
-my rock, be not deaf to me,
-
-lest, if you be silent to me,
-
-I become like those who go down to the pit.
-
-2Hear the voice of my pleas for mercy,
-
-when I cry to you for help,
-
-when I lift up my hands
-
-toward your most holy sanctuary.[70]
-
-3Do not drag me off with the wicked,
-
-with the workers of evil,
-
-who speak peace with their neighbors
-
-while evil is in their hearts.
-
-4Give to them according to their work
-
-and according to the evil of their deeds;
-
-give to them according to the work of their hands;
-
-render them their due reward.
-
-5Because they do not regard the works of the LORD
-
-or the work of his hands,
-
-he will tear them down and build them up no more.
-
-6Blessed be the LORD!
-
-For he has heard the voice of my pleas for mercy.
-
-7The LORD is my strength and my shield;
-
-in him my heart trusts, and I am helped;
-
-my heart exults,
-
-and with my song I give thanks to him.
-
-8The LORD is the strength of his people;[71]
-
-he is the saving refuge of his anointed.
-
-9Oh, save your people and bless your heritage!
-
-Be their shepherd and carry them forever.
-
-
-
-
-
-Ascribe to the LORD Glory
-
-
-A Psalm of David.
-
-
-29:1 Ascribe to the LORD, O heavenly beings,[72]
-
-ascribe to the LORD glory and strength.
-
-2Ascribe to the LORD the glory due his name;
-
-worship the LORD in the splendor of holiness.[73]
-
-3The voice of the LORD is over the waters;
-
-the God of glory thunders,
-
-the LORD, over many waters.
-
-4The voice of the LORD is powerful;
-
-the voice of the LORD is full of majesty.
-
-5The voice of the LORD breaks the cedars;
-
-the LORD breaks the cedars of Lebanon.
-
-6He makes Lebanon to skip like a calf,
-
-and Sirion like a young wild ox.
-
-7The voice of the LORD flashes forth flames of fire.
-
-8The voice of the LORD shakes the wilderness;
-
-the LORD shakes the wilderness of Kadesh.
-
-9The voice of the LORD makes the deer give birth[74]
-
-and strips the forests bare,
-
-and in his temple all cry, “Glory!”
-
-10The LORD sits enthroned over the flood;
-
-the LORD sits enthroned as king forever.
-
-11May the LORD give strength to his people!
-
-May the LORD bless[75] his people with peace!
-
-
-
-
-
-Joy Comes with the Morning
-
-
-A Psalm of David. A song at the dedication of the temple.
-
-
-30:1 I will extol you, O LORD, for you have drawn me up
-
-and have not let my foes rejoice over me.
-
-2O LORD my God, I cried to you for help,
-
-and you have healed me.
-
-3O LORD, you have brought up my soul from Sheol;
-
-you restored me to life from among those who go down to the pit.[76]
-
-4Sing praises to the LORD, O you his saints,
-
-and give thanks to his holy name.[77]
-
-5For his anger is but for a moment,
-
-and his favor is for a lifetime.[78]
-
-Weeping may tarry for the night,
-
-but joy comes with the morning.
-
-6As for me, I said in my prosperity,
-
-“I shall never be moved.”
-
-7By your favor, O LORD,
-
-you made my mountain stand strong;
-
-you hid your face;
-
-I was dismayed.
-
-8To you, O LORD, I cry,
-
-and to the Lord I plead for mercy:
-
-9“What profit is there in my death,[79]
-
-if I go down to the pit?[80]
-
-Will the dust praise you?
-
-Will it tell of your faithfulness?
-
-10Hear, O LORD, and be merciful to me!
-
-O LORD, be my helper!”
-
-11You have turned for me my mourning into dancing;
-
-you have loosed my sackcloth
-
-and clothed me with gladness,
-
-12that my glory may sing your praise and not be silent.
-
-O LORD my God, I will give thanks to you forever!
-
-
-
-
-
-Into Your Hand I Commit My Spirit
-
-
-To the choirmaster. A Psalm of David.
-
-
-31:1 In you, O LORD, do I take refuge;
-
-let me never be put to shame;
-
-in your righteousness deliver me!
-
-2Incline your ear to me;
-
-rescue me speedily!
-
-Be a rock of refuge for me,
-
-a strong fortress to save me!
-
-3For you are my rock and my fortress;
-
-and for your name's sake you lead me and guide me;
-
-4you take me out of the net they have hidden for me,
-
-for you are my refuge.
-
-5Into your hand I commit my spirit;
-
-you have redeemed me, O LORD, faithful God.
-
-6I hate[81] those who pay regard to worthless idols,
-
-but I trust in the LORD.
-
-7I will rejoice and be glad in your steadfast love,
-
-because you have seen my affliction;
-
-you have known the distress of my soul,
-
-8and you have not delivered me into the hand of the enemy;
-
-you have set my feet in a broad place.
-
-9Be gracious to me, O LORD, for I am in distress;
-
-my eye is wasted from grief;
-
-my soul and my body also.
-
-10For my life is spent with sorrow,
-
-and my years with sighing;
-
-my strength fails because of my iniquity,
-
-and my bones waste away.
-
-11Because of all my adversaries I have become a reproach,
-
-especially to my neighbors,
-
-and an object of dread to my acquaintances;
-
-those who see me in the street flee from me.
-
-12I have been forgotten like one who is dead;
-
-I have become like a broken vessel.
-
-13For I hear the whispering of many—
-
-terror on every side!—
-
-as they scheme together against me,
-
-as they plot to take my life.
-
-14But I trust in you, O LORD;
-
-I say, “You are my God.”
-
-15My times are in your hand;
-
-rescue me from the hand of my enemies and from my persecutors!
-
-16Make your face shine on your servant;
-
-save me in your steadfast love!
-
-17O LORD, let me not be put to shame,
-
-for I call upon you;
-
-let the wicked be put to shame;
-
-let them go silently to Sheol.
-
-18Let the lying lips be mute,
-
-which speak insolently against the righteous
-
-in pride and contempt.
-
-19Oh, how abundant is your goodness,
-
-which you have stored up for those who fear you
-
-and worked for those who take refuge in you,
-
-in the sight of the children of mankind!
-
-20In the cover of your presence you hide them
-
-from the plots of men;
-
-you store them in your shelter
-
-from the strife of tongues.
-
-21Blessed be the LORD,
-
-for he has wondrously shown his steadfast love to me
-
-when I was in a besieged city.
-
-22I had said in my alarm,[82]
-
-“I am cut off from your sight.”
-
-But you heard the voice of my pleas for mercy
-
-when I cried to you for help.
-
-23Love the LORD, all you his saints!
-
-The LORD preserves the faithful
-
-but abundantly repays the one who acts in pride.
-
-24Be strong, and let your heart take courage,
-
-all you who wait for the LORD!
-
-
-
-
-
-Blessed Are the Forgiven
-
-
-A Maskil[83] of David.
-
-
-32:1 Blessed is the one whose transgression is forgiven,
-
-whose sin is covered.
-
-2Blessed is the man against whom the LORD counts no iniquity,
-
-and in whose spirit there is no deceit.
-
-3For when I kept silent, my bones wasted away
-
-through my groaning all day long.
-
-4For day and night your hand was heavy upon me;
-
-my strength was dried up[84] as by the heat of summer. Selah
-
-5I acknowledged my sin to you,
-
-and I did not cover my iniquity;
-
-I said, “I will confess my transgressions to the LORD,”
-
-and you forgave the iniquity of my sin. Selah
-
-6Therefore let everyone who is godly
-
-offer prayer to you at a time when you may be found;
-
-surely in the rush of great waters,
-
-they shall not reach him.
-
-7You are a hiding place for me;
-
-you preserve me from trouble;
-
-you surround me with shouts of deliverance. Selah
-
-8I will instruct you and teach you in the way you should go;
-
-I will counsel you with my eye upon you.
-
-9Be not like a horse or a mule, without understanding,
-
-which must be curbed with bit and bridle,
-
-or it will not stay near you.
-
-10Many are the sorrows of the wicked,
-
-but steadfast love surrounds the one who trusts in the LORD.
-
-11Be glad in the LORD, and rejoice, O righteous,
-
-and shout for joy, all you upright in heart!
-
-
-
-
-
-The Steadfast Love of the LORD
-
-
-33:1 Shout for joy in the LORD, O you righteous!
-
-Praise befits the upright.
-
-2Give thanks to the LORD with the lyre;
-
-make melody to him with the harp of ten strings!
-
-3Sing to him a new song;
-
-play skillfully on the strings, with loud shouts.
-
-4For the word of the LORD is upright,
-
-and all his work is done in faithfulness.
-
-5He loves righteousness and justice;
-
-the earth is full of the steadfast love of the LORD.
-
-6By the word of the LORD the heavens were made,
-
-and by the breath of his mouth all their host.
-
-7He gathers the waters of the sea as a heap;
-
-he puts the deeps in storehouses.
-
-8Let all the earth fear the LORD;
-
-let all the inhabitants of the world stand in awe of him!
-
-9For he spoke, and it came to be;
-
-he commanded, and it stood firm.
-
-10The LORD brings the counsel of the nations to nothing;
-
-he frustrates the plans of the peoples.
-
-11The counsel of the LORD stands forever,
-
-the plans of his heart to all generations.
-
-12Blessed is the nation whose God is the LORD,
-
-the people whom he has chosen as his heritage!
-
-13The LORD looks down from heaven;
-
-he sees all the children of man;
-
-14from where he sits enthroned he looks out
-
-on all the inhabitants of the earth,
-
-15he who fashions the hearts of them all
-
-and observes all their deeds.
-
-16The king is not saved by his great army;
-
-a warrior is not delivered by his great strength.
-
-17The war horse is a false hope for salvation,
-
-and by its great might it cannot rescue.
-
-18Behold, the eye of the LORD is on those who fear him,
-
-on those who hope in his steadfast love,
-
-19that he may deliver their soul from death
-
-and keep them alive in famine.
-
-20Our soul waits for the LORD;
-
-he is our help and our shield.
-
-21For our heart is glad in him,
-
-because we trust in his holy name.
-
-22Let your steadfast love, O LORD, be upon us,
-
-even as we hope in you.
-
-
-
-
-
-Taste and See That the LORD Is Good
-
-
-[85] Of David, when he changed his behavior before Abimelech, so that he drove him out, and he went away.
-
-
-34:1 I will bless the LORD at all times;
-
-his praise shall continually be in my mouth.
-
-2My soul makes its boast in the LORD;
-
-let the humble hear and be glad.
-
-3Oh, magnify the LORD with me,
-
-and let us exalt his name together!
-
-4I sought the LORD, and he answered me
-
-and delivered me from all my fears.
-
-5Those who look to him are radiant,
-
-and their faces shall never be ashamed.
-
-6This poor man cried, and the LORD heard him
-
-and saved him out of all his troubles.
-
-7The angel of the LORD encamps
-
-around those who fear him, and delivers them.
-
-8Oh, taste and see that the LORD is good!
-
-Blessed is the man who takes refuge in him!
-
-9Oh, fear the LORD, you his saints,
-
-for those who fear him have no lack!
-
-10The young lions suffer want and hunger;
-
-but those who seek the LORD lack no good thing.
-
-11Come, O children, listen to me;
-
-I will teach you the fear of the LORD.
-
-12What man is there who desires life
-
-and loves many days, that he may see good?
-
-13Keep your tongue from evil
-
-and your lips from speaking deceit.
-
-14Turn away from evil and do good;
-
-seek peace and pursue it.
-
-15The eyes of the LORD are toward the righteous
-
-and his ears toward their cry.
-
-16The face of the LORD is against those who do evil,
-
-to cut off the memory of them from the earth.
-
-17When the righteous cry for help, the LORD hears
-
-and delivers them out of all their troubles.
-
-18The LORD is near to the brokenhearted
-
-and saves the crushed in spirit.
-
-19Many are the afflictions of the righteous,
-
-but the LORD delivers him out of them all.
-
-20He keeps all his bones;
-
-not one of them is broken.
-
-21Affliction will slay the wicked,
-
-and those who hate the righteous will be condemned.
-
-22The LORD redeems the life of his servants;
-
-none of those who take refuge in him will be condemned.
-
-
-
-
-
-Great Is the LORD
-
-
-Of David.
-
-
-35:1 Contend, O LORD, with those who contend with me;
-
-fight against those who fight against me!
-
-2Take hold of shield and buckler
-
-and rise for my help!
-
-3Draw the spear and javelin[86]
-
-against my pursuers!
-
-Say to my soul,
-
-“I am your salvation!”
-
-4Let them be put to shame and dishonor
-
-who seek after my life!
-
-Let them be turned back and disappointed
-
-who devise evil against me!
-
-5Let them be like chaff before the wind,
-
-with the angel of the LORD driving them away!
-
-6Let their way be dark and slippery,
-
-with the angel of the LORD pursuing them!
-
-7For without cause they hid their net for me;
-
-without cause they dug a pit for my life.[87]
-
-8Let destruction come upon him when he does not know it!
-
-And let the net that he hid ensnare him;
-
-let him fall into it—to his destruction!
-
-9Then my soul will rejoice in the LORD,
-
-exulting in his salvation.
-
-10All my bones shall say,
-
-“O LORD, who is like you,
-
-delivering the poor
-
-from him who is too strong for him,
-
-the poor and needy from him who robs him?”
-
-11Malicious[88] witnesses rise up;
-
-they ask me of things that I do not know.
-
-12They repay me evil for good;
-
-my soul is bereft.[89]
-
-13But I, when they were sick—
-
-I wore sackcloth;
-
-I afflicted myself with fasting;
-
-I prayed with head bowed[90] on my chest.
-
-14I went about as though I grieved for my friend or my brother;
-
-as one who laments his mother,
-
-I bowed down in mourning.
-
-15But at my stumbling they rejoiced and gathered;
-
-they gathered together against me;
-
-wretches whom I did not know
-
-tore at me without ceasing;
-
-16like profane mockers at a feast,[91]
-
-they gnash at me with their teeth.
-
-17How long, O Lord, will you look on?
-
-Rescue me from their destruction,
-
-my precious life from the lions!
-
-18I will thank you in the great congregation;
-
-in the mighty throng I will praise you.
-
-19Let not those rejoice over me
-
-who are wrongfully my foes,
-
-and let not those wink the eye
-
-who hate me without cause.
-
-20For they do not speak peace,
-
-but against those who are quiet in the land
-
-they devise words of deceit.
-
-21They open wide their mouths against me;
-
-they say, “Aha, Aha!
-
-Our eyes have seen it!”
-
-22You have seen, O LORD; be not silent!
-
-O Lord, be not far from me!
-
-23Awake and rouse yourself for my vindication,
-
-for my cause, my God and my Lord!
-
-24Vindicate me, O LORD, my God,
-
-according to your righteousness,
-
-and let them not rejoice over me!
-
-25Let them not say in their hearts,
-
-“Aha, our heart's desire!”
-
-Let them not say, “We have swallowed him up.”
-
-26Let them be put to shame and disappointed altogether
-
-who rejoice at my calamity!
-
-Let them be clothed with shame and dishonor
-
-who magnify themselves against me!
-
-27Let those who delight in my righteousness
-
-shout for joy and be glad
-
-and say evermore,
-
-“Great is the LORD,
-
-who delights in the welfare of his servant!”
-
-28Then my tongue shall tell of your righteousness
-
-and of your praise all the day long.
-
-
-
-
-
-How Precious Is Your Steadfast Love
-
-
-To the choirmaster. Of David, the servant of the LORD.
-
-
-36:1 Transgression speaks to the wicked
-
-deep in his heart;[92]
-
-there is no fear of God
-
-before his eyes.
-
-2For he flatters himself in his own eyes
-
-that his iniquity cannot be found out and hated.
-
-3The words of his mouth are trouble and deceit;
-
-he has ceased to act wisely and do good.
-
-4He plots trouble while on his bed;
-
-he sets himself in a way that is not good;
-
-he does not reject evil.
-
-5Your steadfast love, O LORD, extends to the heavens,
-
-your faithfulness to the clouds.
-
-6Your righteousness is like the mountains of God;
-
-your judgments are like the great deep;
-
-man and beast you save, O LORD.
-
-7How precious is your steadfast love, O God!
-
-The children of mankind take refuge in the shadow of your wings.
-
-8They feast on the abundance of your house,
-
-and you give them drink from the river of your delights.
-
-9For with you is the fountain of life;
-
-in your light do we see light.
-
-10Oh, continue your steadfast love to those who know you,
-
-and your righteousness to the upright of heart!
-
-11Let not the foot of arrogance come upon me,
-
-nor the hand of the wicked drive me away.
-
-12There the evildoers lie fallen;
-
-they are thrust down, unable to rise.
-
-
-
-
-
-He Will Not Forsake His Saints
-
-
-[93] Of David.
-
-
-37:1 Fret not yourself because of evildoers;
-
-be not envious of wrongdoers!
-
-2For they will soon fade like the grass
-
-and wither like the green herb.
-
-3Trust in the LORD, and do good;
-
-dwell in the land and befriend faithfulness.[94]
-
-4Delight yourself in the LORD,
-
-and he will give you the desires of your heart.
-
-5Commit your way to the LORD;
-
-trust in him, and he will act.
-
-6He will bring forth your righteousness as the light,
-
-and your justice as the noonday.
-
-7Be still before the LORD and wait patiently for him;
-
-fret not yourself over the one who prospers in his way,
-
-over the man who carries out evil devices!
-
-8Refrain from anger, and forsake wrath!
-
-Fret not yourself; it tends only to evil.
-
-9For the evildoers shall be cut off,
-
-but those who wait for the LORD shall inherit the land.
-
-10In just a little while, the wicked will be no more;
-
-though you look carefully at his place, he will not be there.
-
-11But the meek shall inherit the land
-
-and delight themselves in abundant peace.
-
-12The wicked plots against the righteous
-
-and gnashes his teeth at him,
-
-13but the Lord laughs at the wicked,
-
-for he sees that his day is coming.
-
-14The wicked draw the sword and bend their bows
-
-to bring down the poor and needy,
-
-to slay those whose way is upright;
-
-15their sword shall enter their own heart,
-
-and their bows shall be broken.
-
-16Better is the little that the righteous has
-
-than the abundance of many wicked.
-
-17For the arms of the wicked shall be broken,
-
-but the LORD upholds the righteous.
-
-18The LORD knows the days of the blameless,
-
-and their heritage will remain forever;
-
-19they are not put to shame in evil times;
-
-in the days of famine they have abundance.
-
-20But the wicked will perish;
-
-the enemies of the LORD are like the glory of the pastures;
-
-they vanish—like smoke they vanish away.
-
-21The wicked borrows but does not pay back,
-
-but the righteous is generous and gives;
-
-22for those blessed by the LORD[95] shall inherit the land,
-
-but those cursed by him shall be cut off.
-
-23The steps of a man are established by the LORD,
-
-when he delights in his way;
-
-24though he fall, he shall not be cast headlong,
-
-for the LORD upholds his hand.
-
-25I have been young, and now am old,
-
-yet I have not seen the righteous forsaken
-
-or his children begging for bread.
-
-26He is ever lending generously,
-
-and his children become a blessing.
-
-27Turn away from evil and do good;
-
-so shall you dwell forever.
-
-28For the LORD loves justice;
-
-he will not forsake his saints.
-
-They are preserved forever,
-
-but the children of the wicked shall be cut off.
-
-29The righteous shall inherit the land
-
-and dwell upon it forever.
-
-30The mouth of the righteous utters wisdom,
-
-and his tongue speaks justice.
-
-31The law of his God is in his heart;
-
-his steps do not slip.
-
-32The wicked watches for the righteous
-
-and seeks to put him to death.
-
-33The LORD will not abandon him to his power
-
-or let him be condemned when he is brought to trial.
-
-34Wait for the LORD and keep his way,
-
-and he will exalt you to inherit the land;
-
-you will look on when the wicked are cut off.
-
-35I have seen a wicked, ruthless man,
-
-spreading himself like a green laurel tree.[96]
-
-36But he passed away,[97] and behold, he was no more;
-
-though I sought him, he could not be found.
-
-37Mark the blameless and behold the upright,
-
-for there is a future for the man of peace.
-
-38But transgressors shall be altogether destroyed;
-
-the future of the wicked shall be cut off.
-
-39The salvation of the righteous is from the LORD;
-
-he is their stronghold in the time of trouble.
-
-40The LORD helps them and delivers them;
-
-he delivers them from the wicked and saves them,
-
-because they take refuge in him.
-
-
-
-
-
-Do Not Forsake Me, O LORD
-
-
-A Psalm of David, for the memorial offering.
-
-
-38:1 O LORD, rebuke me not in your anger,
-
-nor discipline me in your wrath!
-
-2For your arrows have sunk into me,
-
-and your hand has come down on me.
-
-3There is no soundness in my flesh
-
-because of your indignation;
-
-there is no health in my bones
-
-because of my sin.
-
-4For my iniquities have gone over my head;
-
-like a heavy burden, they are too heavy for me.
-
-5My wounds stink and fester
-
-because of my foolishness,
-
-6I am utterly bowed down and prostrate;
-
-all the day I go about mourning.
-
-7For my sides are filled with burning,
-
-and there is no soundness in my flesh.
-
-8I am feeble and crushed;
-
-I groan because of the tumult of my heart.
-
-9O Lord, all my longing is before you;
-
-my sighing is not hidden from you.
-
-10My heart throbs; my strength fails me,
-
-and the light of my eyes—it also has gone from me.
-
-11My friends and companions stand aloof from my plague,
-
-and my nearest kin stand far off.
-
-12Those who seek my life lay their snares;
-
-those who seek my hurt speak of ruin
-
-and meditate treachery all day long.
-
-13But I am like a deaf man; I do not hear,
-
-like a mute man who does not open his mouth.
-
-14I have become like a man who does not hear,
-
-and in whose mouth are no rebukes.
-
-15But for you, O LORD, do I wait;
-
-it is you, O Lord my God, who will answer.
-
-16For I said, “Only let them not rejoice over me,
-
-who boast against me when my foot slips!”
-
-17For I am ready to fall,
-
-and my pain is ever before me.
-
-18I confess my iniquity;
-
-I am sorry for my sin.
-
-19But my foes are vigorous, they are mighty,
-
-and many are those who hate me wrongfully.
-
-20Those who render me evil for good
-
-accuse me because I follow after good.
-
-21Do not forsake me, O LORD!
-
-O my God, be not far from me!
-
-22Make haste to help me,
-
-O Lord, my salvation!
-
-
-
-
-
-What Is the Measure of My Days?
-
-
-To the choirmaster: to Jeduthun. A Psalm of David.
-
-
-39:1 I said, “I will guard my ways,
-
-that I may not sin with my tongue;
-
-I will guard my mouth with a muzzle,
-
-so long as the wicked are in my presence.”
-
-2I was mute and silent;
-
-I held my peace to no avail,
-
-and my distress grew worse.
-
-3My heart became hot within me.
-
-As I mused, the fire burned;
-
-then I spoke with my tongue:
-
-4“O LORD, make me know my end
-
-and what is the measure of my days;
-
-let me know how fleeting I am!
-
-5Behold, you have made my days a few handbreadths,
-
-and my lifetime is as nothing before you.
-
-Surely all mankind stands as a mere breath! Selah
-
-6Surely a man goes about as a shadow!
-
-Surely for nothing[98] they are in turmoil;
-
-man heaps up wealth and does not know who will gather!
-
-7“And now, O Lord, for what do I wait?
-
-My hope is in you.
-
-8Deliver me from all my transgressions.
-
-Do not make me the scorn of the fool!
-
-9I am mute; I do not open my mouth,
-
-for it is you who have done it.
-
-10Remove your stroke from me;
-
-I am spent by the hostility of your hand.
-
-11When you discipline a man
-
-with rebukes for sin,
-
-you consume like a moth what is dear to him;
-
-surely all mankind is a mere breath! Selah
-
-12“Hear my prayer, O LORD,
-
-and give ear to my cry;
-
-hold not your peace at my tears!
-
-For I am a sojourner with you,
-
-a guest, like all my fathers.
-
-13Look away from me, that I may smile again,
-
-before I depart and am no more!”
-
-
-
-
-
-My Help and My Deliverer
-
-
-To the choirmaster. A Psalm of David.
-
-
-40:1 I waited patiently for the LORD;
-
-he inclined to me and heard my cry.
-
-2He drew me up from the pit of destruction,
-
-out of the miry bog,
-
-and set my feet upon a rock,
-
-making my steps secure.
-
-3He put a new song in my mouth,
-
-a song of praise to our God.
-
-Many will see and fear,
-
-and put their trust in the LORD.
-
-4Blessed is the man who makes
-
-the LORD his trust,
-
-who does not turn to the proud,
-
-to those who go astray after a lie!
-
-5You have multiplied, O LORD my God,
-
-your wondrous deeds and your thoughts toward us;
-
-none can compare with you!
-
-I will proclaim and tell of them,
-
-yet they are more than can be told.
-
-6In sacrifice and offering you have not delighted,
-
-but you have given me an open ear.[99]
-
-Burnt offering and sin offering
-
-you have not required.
-
-7Then I said, “Behold, I have come;
-
-in the scroll of the book it is written of me:
-
-8I delight to do your will, O my God;
-
-your law is within my heart.”
-
-9I have told the glad news of deliverance[100]
-
-in the great congregation;
-
-behold, I have not restrained my lips,
-
-as you know, O LORD.
-
-10I have not hidden your deliverance within my heart;
-
-I have spoken of your faithfulness and your salvation;
-
-I have not concealed your steadfast love and your faithfulness
-
-from the great congregation.
-
-11As for you, O LORD, you will not restrain
-
-your mercy from me;
-
-your steadfast love and your faithfulness will
-
-ever preserve me!
-
-12For evils have encompassed me
-
-beyond number;
-
-my iniquities have overtaken me,
-
-and I cannot see;
-
-they are more than the hairs of my head;
-
-my heart fails me.
-
-13Be pleased, O LORD, to deliver me!
-
-O LORD, make haste to help me!
-
-14Let those be put to shame and disappointed altogether
-
-who seek to snatch away my life;
-
-let those be turned back and brought to dishonor
-
-who delight in my hurt!
-
-15Let those be appalled because of their shame
-
-who say to me, “Aha, Aha!”
-
-16But may all who seek you
-
-rejoice and be glad in you;
-
-may those who love your salvation
-
-say continually, “Great is the LORD!”
-
-17As for me, I am poor and needy,
-
-but the Lord takes thought for me.
-
-You are my help and my deliverer;
-
-do not delay, O my God!
-
-
-
-
-
-O LORD, Be Gracious to Me
-
-
-To the choirmaster. A Psalm of David.
-
-
-41:1 Blessed is the one who considers the poor![101]
-
-In the day of trouble the LORD delivers him;
-
-2the LORD protects him and keeps him alive;
-
-he is called blessed in the land;
-
-you do not give him up to the will of his enemies.
-
-3The LORD sustains him on his sickbed;
-
-in his illness you restore him to full health.[102]
-
-4As for me, I said, “O LORD, be gracious to me;
-
-heal me,[103] for I have sinned against you!”
-
-5My enemies say of me in malice,
-
-“When will he die, and his name perish?”
-
-6And when one comes to see me, he utters empty words,
-
-while his heart gathers iniquity;
-
-when he goes out, he tells it abroad.
-
-7All who hate me whisper together about me;
-
-they imagine the worst for me.[104]
-
-8They say, “A deadly thing is poured out[105] on him;
-
-he will not rise again from where he lies.”
-
-9Even my close friend in whom I trusted,
-
-who ate my bread, has lifted his heel against me.
-
-10But you, O LORD, be gracious to me,
-
-and raise me up, that I may repay them!
-
-11By this I know that you delight in me:
-
-my enemy will not shout in triumph over me.
-
-12But you have upheld me because of my integrity,
-
-and set me in your presence forever.
-
-13Blessed be the LORD, the God of Israel,
-
-from everlasting to everlasting!
-
-Amen and Amen.
-
-
-
-
-
-Book Two
-
-
-Why Are You Cast Down, O My Soul?
-
-
-To the choirmaster. A Maskil[106] of the Sons of Korah.
-
-
-42:1 As a deer pants for flowing streams,
-
-so pants my soul for you, O God.
-
-2My soul thirsts for God,
-
-for the living God.
-
-When shall I come and appear before God?[107]
-
-3My tears have been my food
-
-day and night,
-
-while they say to me all the day long,
-
-“Where is your God?”
-
-4These things I remember,
-
-as I pour out my soul:
-
-how I would go with the throng
-
-and lead them in procession to the house of God
-
-with glad shouts and songs of praise,
-
-a multitude keeping festival.
-
-5Why are you cast down, O my soul,
-
-and why are you in turmoil within me?
-
-Hope in God; for I shall again praise him,
-
-my salvation[108] 6and my God.
-
-My soul is cast down within me;
-
-therefore I remember you
-
-from the land of Jordan and of Hermon,
-
-from Mount Mizar.
-
-7Deep calls to deep
-
-at the roar of your waterfalls;
-
-all your breakers and your waves
-
-have gone over me.
-
-8By day the LORD commands his steadfast love,
-
-and at night his song is with me,
-
-a prayer to the God of my life.
-
-9I say to God, my rock:
-
-“Why have you forgotten me?
-
-Why do I go mourning
-
-because of the oppression of the enemy?”
-
-10As with a deadly wound in my bones,
-
-my adversaries taunt me,
-
-while they say to me all the day long,
-
-“Where is your God?”
-
-11Why are you cast down, O my soul,
-
-and why are you in turmoil within me?
-
-Hope in God; for I shall again praise him,
-
-my salvation and my God.
-
-
-
-
-
-Send Out Your Light and Your Truth
-
-
-43:1 Vindicate me, O God, and defend my cause
-
-against an ungodly people,
-
-from the deceitful and unjust man
-
-deliver me!
-
-2For you are the God in whom I take refuge;
-
-why have you rejected me?
-
-Why do I go about mourning
-
-because of the oppression of the enemy?
-
-3Send out your light and your truth;
-
-let them lead me;
-
-let them bring me to your holy hill
-
-and to your dwelling!
-
-4Then I will go to the altar of God,
-
-to God my exceeding joy,
-
-and I will praise you with the lyre,
-
-O God, my God.
-
-5Why are you cast down, O my soul,
-
-and why are you in turmoil within me?
-
-Hope in God; for I shall again praise him,
-
-my salvation and my God.
-
-
-
-
-
-Come to Our Help
-
-
-To the choirmaster. A Maskil[109] of the Sons of Korah.
-
-
-44:1 O God, we have heard with our ears,
-
-our fathers have told us,
-
-what deeds you performed in their days,
-
-in the days of old:
-
-2you with your own hand drove out the nations,
-
-but them you planted;
-
-you afflicted the peoples,
-
-but them you set free;
-
-3for not by their own sword did they win the land,
-
-nor did their own arm save them,
-
-but your right hand and your arm,
-
-and the light of your face,
-
-for you delighted in them.
-
-4You are my King, O God;
-
-ordain salvation for Jacob!
-
-5Through you we push down our foes;
-
-through your name we tread down those who rise up against us.
-
-6For not in my bow do I trust,
-
-nor can my sword save me.
-
-7But you have saved us from our foes
-
-and have put to shame those who hate us.
-
-8In God we have boasted continually,
-
-and we will give thanks to your name forever. Selah
-
-9But you have rejected us and disgraced us
-
-and have not gone out with our armies.
-
-10You have made us turn back from the foe,
-
-and those who hate us have gotten spoil.
-
-11You have made us like sheep for slaughter
-
-and have scattered us among the nations.
-
-12You have sold your people for a trifle,
-
-demanding no high price for them.
-
-13You have made us the taunt of our neighbors,
-
-the derision and scorn of those around us.
-
-14You have made us a byword among the nations,
-
-a laughingstock[110] among the peoples.
-
-15All day long my disgrace is before me,
-
-and shame has covered my face
-
-16at the sound of the taunter and reviler,
-
-at the sight of the enemy and the avenger.
-
-17All this has come upon us,
-
-though we have not forgotten you,
-
-and we have not been false to your covenant.
-
-18Our heart has not turned back,
-
-nor have our steps departed from your way;
-
-19yet you have broken us in the place of jackals
-
-and covered us with the shadow of death.
-
-20If we had forgotten the name of our God
-
-or spread out our hands to a foreign god,
-
-21would not God discover this?
-
-For he knows the secrets of the heart.
-
-22Yet for your sake we are killed all the day long;
-
-we are regarded as sheep to be slaughtered.
-
-23Awake! Why are you sleeping, O Lord?
-
-Rouse yourself! Do not reject us forever!
-
-24Why do you hide your face?
-
-Why do you forget our affliction and oppression?
-
-25For our soul is bowed down to the dust;
-
-our belly clings to the ground.
-
-26Rise up; come to our help!
-
-Redeem us for the sake of your steadfast love!
-
-
-
-
-
-Your Throne, O God, Is Forever
-
-
-To the choirmaster: according to Lilies. A Maskil[111] of the Sons of Korah; a love song.
-
-
-45:1 My heart overflows with a pleasing theme;
-
-I address my verses to the king;
-
-my tongue is like the pen of a ready scribe.
-
-2You are the most handsome of the sons of men;
-
-grace is poured upon your lips;
-
-therefore God has blessed you forever.
-
-3Gird your sword on your thigh, O mighty one,
-
-in your splendor and majesty!
-
-4In your majesty ride out victoriously
-
-for the cause of truth and meekness and righteousness;
-
-let your right hand teach you awesome deeds!
-
-5Your arrows are sharp
-
-in the heart of the king's enemies;
-
-the peoples fall under you.
-
-6Your throne, O God, is forever and ever.
-
-The scepter of your kingdom is a scepter of uprightness;
-
-7you have loved righteousness and hated wickedness.
-
-Therefore God, your God, has anointed you
-
-with the oil of gladness beyond your companions;
-
-8your robes are all fragrant with myrrh and aloes and cassia.
-
-From ivory palaces stringed instruments make you glad;
-
-9daughters of kings are among your ladies of honor;
-
-at your right hand stands the queen in gold of Ophir.
-
-10Hear, O daughter, and consider, and incline your ear:
-
-forget your people and your father's house,
-
-11and the king will desire your beauty.
-
-Since he is your lord, bow to him.
-
-12The people[112] of Tyre will seek your favor with gifts,
-
-the richest of the people.[113]
-
-13All glorious is the princess in her chamber, with robes interwoven with gold.
-
-14In many-colored robes she is led to the king,
-
-with her virgin companions following behind her.
-
-15With joy and gladness they are led along
-
-as they enter the palace of the king.
-
-16In place of your fathers shall be your sons;
-
-you will make them princes in all the earth.
-
-17I will cause your name to be remembered in all generations;
-
-therefore nations will praise you forever and ever.
-
-
-
-
-
-God Is Our Fortress
-
-
-To the choirmaster. Of the Sons of Korah. According to Alamoth.[114] A Song.
-
-
-46:1 God is our refuge and strength,
-
-a very present[115] help in trouble.
-
-2Therefore we will not fear though the earth gives way,
-
-though the mountains be moved into the heart of the sea,
-
-3though its waters roar and foam,
-
-though the mountains tremble at its swelling. Selah
-
-4There is a river whose streams make glad the city of God,
-
-the holy habitation of the Most High.
-
-5God is in the midst of her; she shall not be moved;
-
-God will help her when morning dawns.
-
-6The nations rage, the kingdoms totter;
-
-he utters his voice, the earth melts.
-
-7The LORD of hosts is with us;
-
-the God of Jacob is our fortress. Selah
-
-8Come, behold the works of the LORD,
-
-how he has brought desolations on the earth.
-
-9He makes wars cease to the end of the earth;
-
-he breaks the bow and shatters the spear;
-
-he burns the chariots with fire.
-
-10“Be still, and know that I am God.
-
-I will be exalted among the nations,
-
-I will be exalted in the earth!”
-
-11The LORD of hosts is with us;
-
-the God of Jacob is our fortress. Selah
-
-
-
-
-
-God Is King over All the Earth
-
-
-To the choirmaster. A Psalm of the Sons of Korah.
-
-
-47:1 Clap your hands, all peoples!
-
-Shout to God with loud songs of joy!
-
-2For the LORD, the Most High, is to be feared,
-
-a great king over all the earth.
-
-3He subdued peoples under us,
-
-and nations under our feet.
-
-4He chose our heritage for us,
-
-the pride of Jacob whom he loves. Selah
-
-5God has gone up with a shout,
-
-the LORD with the sound of a trumpet.
-
-6Sing praises to God, sing praises!
-
-Sing praises to our King, sing praises!
-
-7For God is the King of all the earth;
-
-sing praises with a psalm![116]
-
-8God reigns over the nations;
-
-God sits on his holy throne.
-
-9The princes of the peoples gather
-
-as the people of the God of Abraham.
-
-For the shields of the earth belong to God;
-
-he is highly exalted!
-
-
-
-
-
-Zion, the City of Our God
-
-
-A Song. A Psalm of the Sons of Korah.
-
-
-48:1 Great is the LORD and greatly to be praised
-
-in the city of our God!
-
-His holy mountain, 2beautiful in elevation,
-
-is the joy of all the earth,
-
-Mount Zion, in the far north,
-
-the city of the great King.
-
-3Within her citadels God
-
-has made himself known as a fortress.
-
-4For behold, the kings assembled;
-
-they came on together.
-
-5As soon as they saw it, they were astounded;
-
-they were in panic; they took to flight.
-
-6Trembling took hold of them there,
-
-anguish as of a woman in labor.
-
-7By the east wind you shattered
-
-the ships of Tarshish.
-
-8As we have heard, so have we seen
-
-in the city of the LORD of hosts,
-
-in the city of our God,
-
-which God will establish forever. Selah
-
-9We have thought on your steadfast love, O God,
-
-in the midst of your temple.
-
-10As your name, O God,
-
-so your praise reaches to the ends of the earth.
-
-Your right hand is filled with righteousness.
-
-11Let Mount Zion be glad!
-
-Let the daughters of Judah rejoice
-
-because of your judgments!
-
-12Walk about Zion, go around her,
-
-number her towers,
-
-13consider well her ramparts,
-
-go through her citadels,
-
-that you may tell the next generation
-
-14that this is God,
-
-our God forever and ever.
-
-He will guide us forever.[117]
-
-
-
-
-
-Why Should I Fear in Times of Trouble?
-
-
-To the choirmaster. A Psalm of the Sons of Korah.
-
-
-49:1 Hear this, all peoples!
-
-Give ear, all inhabitants of the world,
-
-2both low and high,
-
-rich and poor together!
-
-3My mouth shall speak wisdom;
-
-the meditation of my heart shall be understanding.
-
-4I will incline my ear to a proverb;
-
-I will solve my riddle to the music of the lyre.
-
-5Why should I fear in times of trouble,
-
-when the iniquity of those who cheat me surrounds me,
-
-6those who trust in their wealth
-
-and boast of the abundance of their riches?
-
-7Truly no man can ransom another,
-
-or give to God the price of his life,
-
-8for the ransom of their life is costly
-
-and can never suffice,
-
-9that he should live on forever
-
-and never see the pit.
-
-10For he sees that even the wise die;
-
-the fool and the stupid alike must perish
-
-and leave their wealth to others.
-
-11Their graves are their homes forever,[118]
-
-their dwelling places to all generations,
-
-though they called lands by their own names.
-
-12Man in his pomp will not remain;
-
-he is like the beasts that perish.
-
-13This is the path of those who have foolish confidence;
-
-yet after them people approve of their boasts.[119] Selah
-
-14Like sheep they are appointed for Sheol;
-
-death shall be their shepherd,
-
-and the upright shall rule over them in the morning.
-
-Their form shall be consumed in Sheol, with no place to dwell.
-
-15But God will ransom my soul from the power of Sheol,
-
-for he will receive me. Selah
-
-16Be not afraid when a man becomes rich,
-
-when the glory of his house increases.
-
-17For when he dies he will carry nothing away;
-
-his glory will not go down after him.
-
-18For though, while he lives, he counts himself blessed
-
-—and though you get praise when you do well for yourself—
-
-19his soul will go to the generation of his fathers,
-
-who will never again see light.
-
-20Man in his pomp yet without understanding is like the beasts that perish.
-
-
-
-
-
-God Himself Is Judge
-
-
-A Psalm of Asaph.
-
-
-50:1 The Mighty One, God the LORD,
-
-speaks and summons the earth
-
-from the rising of the sun to its setting.
-
-2Out of Zion, the perfection of beauty,
-
-God shines forth.
-
-3Our God comes; he does not keep silence;[120]
-
-before him is a devouring fire,
-
-around him a mighty tempest.
-
-4He calls to the heavens above
-
-and to the earth, that he may judge his people:
-
-5“Gather to me my faithful ones,
-
-who made a covenant with me by sacrifice!”
-
-6The heavens declare his righteousness,
-
-for God himself is judge! Selah
-
-7“Hear, O my people, and I will speak;
-
-O Israel, I will testify against you.
-
-I am God, your God.
-
-8Not for your sacrifices do I rebuke you;
-
-your burnt offerings are continually before me.
-
-9I will not accept a bull from your house
-
-or goats from your folds.
-
-10For every beast of the forest is mine,
-
-the cattle on a thousand hills.
-
-11I know all the birds of the hills,
-
-and all that moves in the field is mine.
-
-12“If I were hungry, I would not tell you,
-
-for the world and its fullness are mine.
-
-13Do I eat the flesh of bulls
-
-or drink the blood of goats?
-
-14Offer to God a sacrifice of thanksgiving,[121]
-
-and perform your vows to the Most High,
-
-15and call upon me in the day of trouble;
-
-I will deliver you, and you shall glorify me.”
-
-16But to the wicked God says:
-
-“What right have you to recite my statutes
-
-or take my covenant on your lips?
-
-17For you hate discipline,
-
-and you cast my words behind you.
-
-18If you see a thief, you are pleased with him,
-
-and you keep company with adulterers.
-
-19“You give your mouth free rein for evil,
-
-and your tongue frames deceit.
-
-20You sit and speak against your brother;
-
-you slander your own mother's son.
-
-21These things you have done, and I have been silent;
-
-you thought that I[122] was one like yourself.
-
-But now I rebuke you and lay the charge before you.
-
-22“Mark this, then, you who forget God,
-
-lest I tear you apart, and there be none to deliver!
-
-23The one who offers thanksgiving as his sacrifice glorifies me;
-
-to one who orders his way rightly
-
-I will show the salvation of God!”
-
-
-
-
-
-Create in Me a Clean Heart, O God
-
-
-To the choirmaster. A Psalm of David, when Nathan the prophet went to him, after he had gone in to Bathsheba.
-
-
-51:1 Have mercy on me,[123] O God,
-
-according to your steadfast love;
-
-according to your abundant mercy
-
-blot out my transgressions.
-
-2Wash me thoroughly from my iniquity,
-
-and cleanse me from my sin!
-
-3For I know my transgressions,
-
-and my sin is ever before me.
-
-4Against you, you only, have I sinned
-
-and done what is evil in your sight,
-
-so that you may be justified in your words
-
-and blameless in your judgment.
-
-5Behold, I was brought forth in iniquity,
-
-and in sin did my mother conceive me.
-
-6Behold, you delight in truth in the inward being,
-
-and you teach me wisdom in the secret heart.
-
-7Purge me with hyssop, and I shall be clean;
-
-wash me, and I shall be whiter than snow.
-
-8Let me hear joy and gladness;
-
-let the bones that you have broken rejoice.
-
-9Hide your face from my sins,
-
-and blot out all my iniquities.
-
-10Create in me a clean heart, O God,
-
-and renew a right[124] spirit within me.
-
-11Cast me not away from your presence,
-
-and take not your Holy Spirit from me.
-
-12Restore to me the joy of your salvation,
-
-and uphold me with a willing spirit.
-
-13Then I will teach transgressors your ways,
-
-and sinners will return to you.
-
-14Deliver me from bloodguiltiness, O God,
-
-O God of my salvation,
-
-and my tongue will sing aloud of your righteousness.
-
-15O Lord, open my lips,
-
-and my mouth will declare your praise.
-
-16For you will not delight in sacrifice, or I would give it;
-
-you will not be pleased with a burnt offering.
-
-17The sacrifices of God are a broken spirit;
-
-a broken and contrite heart, O God, you will not despise.
-
-18Do good to Zion in your good pleasure;
-
-build up the walls of Jerusalem;
-
-19then will you delight in right sacrifices,
-
-in burnt offerings and whole burnt offerings;
-
-then bulls will be offered on your altar.
-
-
-
-
-
-The Steadfast Love of God Endures
-
-
-To the choirmaster. A Maskil[125] of David, when Doeg, the Edomite, came and told Saul, “David has come to the house of Ahimelech.”
-
-
-52:1 Why do you boast of evil, O mighty man?
-
-The steadfast love of God endures all the day.
-
-2Your tongue plots destruction,
-
-like a sharp razor, you worker of deceit.
-
-3You love evil more than good,
-
-and lying more than speaking what is right. Selah
-
-4You love all words that devour,
-
-O deceitful tongue.
-
-5But God will break you down forever;
-
-he will snatch and tear you from your tent;
-
-he will uproot you from the land of the living. Selah
-
-6The righteous shall see and fear,
-
-and shall laugh at him, saying,
-
-7“See the man who would not make
-
-God his refuge,
-
-but trusted in the abundance of his riches
-
-and sought refuge in his own destruction!”[126]
-
-8But I am like a green olive tree
-
-in the house of God.
-
-I trust in the steadfast love of God
-
-forever and ever.
-
-9I will thank you forever,
-
-because you have done it.
-
-I will wait for your name, for it is good,
-
-in the presence of the godly.
-
-
-
-
-
-There Is None Who Does Good
-
-
-To the choirmaster: according to Mahalath. A Maskil[127] of David.
-
-
-53:1 The fool says in his heart, “There is no God.”
-
-They are corrupt, doing abominable iniquity;
-
-there is none who does good.
-
-2God looks down from heaven
-
-on the children of man
-
-to see if there are any who understand,[128]
-
-who seek after God.
-
-3They have all fallen away;
-
-together they have become corrupt;
-
-there is none who does good,
-
-not even one.
-
-4Have those who work evil no knowledge,
-
-who eat up my people as they eat bread,
-
-and do not call upon God?
-
-5There they are, in great terror,
-
-where there is no terror!
-
-For God scatters the bones of him who encamps against you;
-
-you put them to shame, for God has rejected them.
-
-6Oh, that salvation for Israel would come out of Zion!
-
-When God restores the fortunes of his people,
-
-let Jacob rejoice, let Israel be glad.
-
-
-
-
-
-The Lord Upholds My Life
-
-
-To the choirmaster: with stringed instruments. A Maskil[129] of David, when the Ziphites went and told Saul, “Is not David hiding among us?”
-
-
-54:1 O God, save me by your name,
-
-and vindicate me by your might.
-
-2O God, hear my prayer;
-
-give ear to the words of my mouth.
-
-3For strangers[130] have risen against me;
-
-ruthless men seek my life;
-
-they do not set God before themselves. Selah
-
-4Behold, God is my helper;
-
-the Lord is the upholder of my life.
-
-5He will return the evil to my enemies;
-
-in your faithfulness put an end to them.
-
-6With a freewill offering I will sacrifice to you;
-
-I will give thanks to your name, O LORD, for it is good.
-
-7For he has delivered me from every trouble,
-
-and my eye has looked in triumph on my enemies.
-
-
-
-
-
-Cast Your Burden on the LORD
-
-
-To the choirmaster: with stringed instruments. A Maskil[131] of David.
-
-
-55:1 Give ear to my prayer, O God,
-
-and hide not yourself from my plea for mercy!
-
-2Attend to me, and answer me;
-
-I am restless in my complaint and I moan,
-
-3because of the noise of the enemy,
-
-because of the oppression of the wicked.
-
-For they drop trouble upon me,
-
-and in anger they bear a grudge against me.
-
-4My heart is in anguish within me;
-
-the terrors of death have fallen upon me.
-
-5Fear and trembling come upon me,
-
-and horror overwhelms me.
-
-6And I say, “Oh, that I had wings like a dove!
-
-I would fly away and be at rest;
-
-7yes, I would wander far away;
-
-I would lodge in the wilderness; Selah
-
-8I would hurry to find a shelter
-
-from the raging wind and tempest.”
-
-9Destroy, O Lord, divide their tongues;
-
-for I see violence and strife in the city.
-
-10Day and night they go around it
-
-on its walls,
-
-and iniquity and trouble are within it;
-
-11ruin is in its midst;
-
-oppression and fraud
-
-do not depart from its marketplace.
-
-12For it is not an enemy who taunts me—
-
-then I could bear it;
-
-it is not an adversary who deals insolently with me—
-
-then I could hide from him.
-
-13But it is you, a man, my equal,
-
-my companion, my familiar friend.
-
-14We used to take sweet counsel together;
-
-within God's house we walked in the throng.
-
-15Let death steal over them;
-
-let them go down to Sheol alive;
-
-for evil is in their dwelling place and in their heart.
-
-16But I call to God,
-
-and the LORD will save me.
-
-17Evening and morning and at noon
-
-I utter my complaint and moan,
-
-and he hears my voice.
-
-18He redeems my soul in safety
-
-from the battle that I wage,
-
-for many are arrayed against me.
-
-19God will give ear and humble them,
-
-he who is enthroned from of old, Selah
-
-because they do not change
-
-and do not fear God.
-
-20My companion[132] stretched out his hand against his friends;
-
-he violated his covenant.
-
-21His speech was smooth as butter,
-
-yet war was in his heart;
-
-his words were softer than oil,
-
-yet they were drawn swords.
-
-22Cast your burden on the LORD,
-
-and he will sustain you;
-
-he will never permit
-
-the righteous to be moved.
-
-23But you, O God, will cast them down
-
-into the pit of destruction;
-
-men of blood and treachery
-
-shall not live out half their days.
-
-But I will trust in you.
-
-
-
-
-
-In God I Trust
-
-
-To the choirmaster: according to The Dove on Far-off Terebinths. A Miktam[133] of David, when the Philistines seized him in Gath.
-
-
-56:1 Be gracious to me, O God, for man tramples on me;
-
-all day long an attacker oppresses me;
-
-2my enemies trample on me all day long,
-
-for many attack me proudly.
-
-3When I am afraid,
-
-I put my trust in you.
-
-4In God, whose word I praise,
-
-in God I trust; I shall not be afraid.
-
-What can flesh do to me?
-
-5All day long they injure my cause;[134]
-
-all their thoughts are against me for evil.
-
-6They stir up strife, they lurk;
-
-they watch my steps,
-
-as they have waited for my life.
-
-7For their crime will they escape?
-
-In wrath cast down the peoples, O God!
-
-8You have kept count of my tossings;[135]
-
-put my tears in your bottle.
-
-Are they not in your book?
-
-9Then my enemies will turn back
-
-in the day when I call.
-
-This I know, that[136] God is for me.
-
-10In God, whose word I praise,
-
-in the LORD, whose word I praise,
-
-11in God I trust; I shall not be afraid.
-
-What can man do to me?
-
-12I must perform my vows to you, O God;
-
-I will render thank offerings to you.
-
-13For you have delivered my soul from death,
-
-yes, my feet from falling,
-
-that I may walk before God
-
-in the light of life.
-
-
-
-
-
-Let Your Glory Be over All the Earth
-
-
-To the choirmaster: according to Do Not Destroy. A Miktam[137] of David, when he fled from Saul, in the cave.
-
-
-57:1 Be merciful to me, O God, be merciful to me,
-
-for in you my soul takes refuge;
-
-in the shadow of your wings I will take refuge,
-
-till the storms of destruction pass by.
-
-2I cry out to God Most High,
-
-to God who fulfills his purpose for me.
-
-3He will send from heaven and save me;
-
-he will put to shame him who tramples on me. Selah
-
-God will send out his steadfast love and his faithfulness!
-
-4My soul is in the midst of lions;
-
-I lie down amid fiery beasts—
-
-the children of man, whose teeth are spears and arrows,
-
-whose tongues are sharp swords.
-
-5Be exalted, O God, above the heavens!
-
-Let your glory be over all the earth!
-
-6They set a net for my steps;
-
-my soul was bowed down.
-
-They dug a pit in my way,
-
-but they have fallen into it themselves. Selah
-
-7My heart is steadfast, O God,
-
-my heart is steadfast!
-
-I will sing and make melody!
-
-8Awake, my glory![138]
-
-Awake, O harp and lyre!
-
-I will awake the dawn!
-
-9I will give thanks to you, O Lord, among the peoples;
-
-I will sing praises to you among the nations.
-
-10For your steadfast love is great to the heavens,
-
-your faithfulness to the clouds.
-
-11Be exalted, O God, above the heavens!
-
-Let your glory be over all the earth!
-
-
-
-
-
-God Who Judges the Earth
-
-
-To the choirmaster: according to Do Not Destroy. A Miktam[139] of David.
-
-
-58:1 Do you indeed decree what is right, you gods?[140]
-
-Do you judge the children of man uprightly?
-
-2No, in your hearts you devise wrongs;
-
-your hands deal out violence on earth.
-
-3The wicked are estranged from the womb;
-
-they go astray from birth, speaking lies.
-
-4They have venom like the venom of a serpent,
-
-like the deaf adder that stops its ear,
-
-5so that it does not hear the voice of charmers
-
-or of the cunning enchanter.
-
-6O God, break the teeth in their mouths;
-
-tear out the fangs of the young lions, O LORD!
-
-7Let them vanish like water that runs away;
-
-when he aims his arrows, let them be blunted.
-
-8Let them be like the snail that dissolves into slime,
-
-like the stillborn child who never sees the sun.
-
-9Sooner than your pots can feel the heat of thorns,
-
-whether green or ablaze, may he sweep them away![141]
-
-10The righteous will rejoice when he sees the vengeance;
-
-he will bathe his feet in the blood of the wicked.
-
-11Mankind will say, “Surely there is a reward for the righteous;
-
-surely there is a God who judges on earth.”
-
-
-
-
-
-Deliver Me from My Enemies
-
-
-To the choirmaster: according to Do Not Destroy. A Miktam[142] of David, when Saul sent men to watch his house in order to kill him.
-
-
-59:1 Deliver me from my enemies, O my God;
-
-protect me from those who rise up against me;
-
-2deliver me from those who work evil,
-
-and save me from bloodthirsty men.
-
-3For behold, they lie in wait for my life;
-
-fierce men stir up strife against me.
-
-For no transgression or sin of mine, O LORD,
-
-4for no fault of mine, they run and make ready.
-
-Awake, come to meet me, and see!
-
-5You, LORD God of hosts, are God of Israel.
-
-Rouse yourself to punish all the nations;
-
-spare none of those who treacherously plot evil. Selah
-
-6Each evening they come back,
-
-howling like dogs
-
-and prowling about the city.
-
-7There they are, bellowing with their mouths
-
-with swords in their lips—
-
-for “Who,” they think,[143] “will hear us?”
-
-8But you, O LORD, laugh at them;
-
-you hold all the nations in derision.
-
-9O my Strength, I will watch for you,
-
-for you, O God, are my fortress.
-
-10My God in his steadfast love[144] will meet me;
-
-God will let me look in triumph on my enemies.
-
-11Kill them not, lest my people forget;
-
-make them totter[145] by your power and bring them down,
-
-O Lord, our shield!
-
-12For the sin of their mouths, the words of their lips,
-
-let them be trapped in their pride.
-
-For the cursing and lies that they utter,
-
-13consume them in wrath;
-
-consume them till they are no more,
-
-that they may know that God rules over Jacob
-
-to the ends of the earth. Selah
-
-14Each evening they come back,
-
-howling like dogs
-
-and prowling about the city.
-
-15They wander about for food
-
-and growl if they do not get their fill.
-
-16But I will sing of your strength;
-
-I will sing aloud of your steadfast love in the morning.
-
-For you have been to me a fortress
-
-and a refuge in the day of my distress.
-
-17O my Strength, I will sing praises to you,
-
-for you, O God, are my fortress,
-
-the God who shows me steadfast love.
-
-
-
-
-
-He Will Tread Down Our Foes
-
-
-To the choirmaster: according to Shushan Eduth. A Miktam[146] of David; for instruction; when he strove with Aram-naharaim and with Aram-zobah, and when Joab on his return struck down twelve thousand of Edom in the Valley of Salt.
-
-
-60:1 O God, you have rejected us, broken our defenses;
-
-you have been angry; oh, restore us.
-
-2You have made the land to quake; you have torn it open;
-
-repair its breaches, for it totters.
-
-3You have made your people see hard things;
-
-you have given us wine to drink that made us stagger.
-
-4You have set up a banner for those who fear you,
-
-that they may flee to it from the bow.[147] Selah
-
-5That your beloved ones may be delivered,
-
-give salvation by your right hand and answer us!
-
-6God has spoken in his holiness:[148]
-
-“With exultation I will divide up Shechem
-
-and portion out the Vale of Succoth.
-
-7Gilead is mine; Manasseh is mine;
-
-Ephraim is my helmet;
-
-Judah is my scepter.
-
-8Moab is my washbasin;
-
-upon Edom I cast my shoe;
-
-over Philistia I shout in triumph.”[149]
-
-9Who will bring me to the fortified city?
-
-Who will lead me to Edom?
-
-10Have you not rejected us, O God?
-
-You do not go forth, O God, with our armies.
-
-11Oh, grant us help against the foe,
-
-for vain is the salvation of man!
-
-12With God we shall do valiantly;
-
-it is he who will tread down our foes.
-
-
-
-
-
-Lead Me to the Rock
-
-
-To the choirmaster: with stringed instruments. Of David.
-
-
-61:1 Hear my cry, O God,
-
-listen to my prayer;
-
-2from the end of the earth I call to you
-
-when my heart is faint.
-
-Lead me to the rock
-
-that is higher than I,
-
-3for you have been my refuge,
-
-a strong tower against the enemy.
-
-4Let me dwell in your tent forever!
-
-Let me take refuge under the shelter of your wings! Selah
-
-5For you, O God, have heard my vows;
-
-you have given me the heritage of those who fear your name.
-
-6Prolong the life of the king;
-
-may his years endure to all generations!
-
-7May he be enthroned forever before God;
-
-appoint steadfast love and faithfulness to watch over him!
-
-8So will I ever sing praises to your name,
-
-as I perform my vows day after day.
-
-
-
-
-
-My Soul Waits for God Alone
-
-
-To the choirmaster: according to Jeduthun. A Psalm of David.
-
-
-62:1 For God alone my soul waits in silence;
-
-from him comes my salvation.
-
-2He only is my rock and my salvation,
-
-my fortress; I shall not be greatly shaken.
-
-3How long will all of you attack a man
-
-to batter him,
-
-like a leaning wall, a tottering fence?
-
-4They only plan to thrust him down from his high position.
-
-They take pleasure in falsehood.
-
-They bless with their mouths,
-
-but inwardly they curse. Selah
-
-5For God alone, O my soul, wait in silence,
-
-for my hope is from him.
-
-6He only is my rock and my salvation,
-
-my fortress; I shall not be shaken.
-
-7On God rests my salvation and my glory;
-
-my mighty rock, my refuge is God.
-
-8Trust in him at all times, O people;
-
-pour out your heart before him;
-
-God is a refuge for us. Selah
-
-9Those of low estate are but a breath;
-
-those of high estate are a delusion;
-
-in the balances they go up;
-
-they are together lighter than a breath.
-
-10Put no trust in extortion;
-
-set no vain hopes on robbery;
-
-if riches increase, set not your heart on them.
-
-11Once God has spoken;
-
-twice have I heard this:
-
-that power belongs to God,
-
-12and that to you, O Lord, belongs steadfast love.
-
-For you will render to a man
-
-according to his work.
-
-
-
-
-
-My Soul Thirsts for You
-
-
-A Psalm of David, when he was in the wilderness of Judah.
-
-
-63:1 O God, you are my God; earnestly I seek you;
-
-my soul thirsts for you;
-
-my flesh faints for you,
-
-as in a dry and weary land where there is no water.
-
-2So I have looked upon you in the sanctuary,
-
-beholding your power and glory.
-
-3Because your steadfast love is better than life,
-
-my lips will praise you.
-
-4So I will bless you as long as I live;
-
-in your name I will lift up my hands.
-
-5My soul will be satisfied as with fat and rich food,
-
-and my mouth will praise you with joyful lips,
-
-6when I remember you upon my bed,
-
-and meditate on you in the watches of the night;
-
-7for you have been my help,
-
-and in the shadow of your wings I will sing for joy.
-
-8My soul clings to you;
-
-your right hand upholds me.
-
-9But those who seek to destroy my life
-
-shall go down into the depths of the earth;
-
-10they shall be given over to the power of the sword;
-
-they shall be a portion for jackals.
-
-11But the king shall rejoice in God;
-
-all who swear by him shall exult,
-
-for the mouths of liars will be stopped.
-
-
-
-
-
-Hide Me from the Wicked
-
-
-To the choirmaster. A Psalm of David.
-
-
-64:1 Hear my voice, O God, in my complaint;
-
-preserve my life from dread of the enemy.
-
-2Hide me from the secret plots of the wicked,
-
-from the throng of evildoers,
-
-3who whet their tongues like swords,
-
-who aim bitter words like arrows,
-
-4shooting from ambush at the blameless,
-
-shooting at him suddenly and without fear.
-
-5They hold fast to their evil purpose;
-
-they talk of laying snares secretly,
-
-thinking, “Who can see them?”
-
-6They search out injustice,
-
-saying, “We have accomplished a diligent search.”
-
-For the inward mind and heart of a man are deep!
-
-7But God shoots his arrow at them;
-
-they are wounded suddenly.
-
-8They are brought to ruin, with their own tongues turned against them;
-
-all who see them will wag their heads.
-
-9Then all mankind fears;
-
-they tell what God has brought about
-
-and ponder what he has done.
-
-10Let the righteous one rejoice in the LORD
-
-and take refuge in him!
-
-Let all the upright in heart exult!
-
-
-
-
-
-O God of Our Salvation
-
-
-To the choirmaster. A Psalm of David. A Song.
-
-
-65:1 Praise is due to you,[150] O God, in Zion,
-
-and to you shall vows be performed.
-
-2O you who hear prayer,
-
-to you shall all flesh come.
-
-3When iniquities prevail against me,
-
-you atone for our transgressions.
-
-4Blessed is the one you choose and bring near,
-
-to dwell in your courts!
-
-We shall be satisfied with the goodness of your house,
-
-the holiness of your temple!
-
-5By awesome deeds you answer us with righteousness,
-
-O God of our salvation,
-
-the hope of all the ends of the earth
-
-and of the farthest seas;
-
-6the one who by his strength established the mountains,
-
-being girded with might;
-
-7who stills the roaring of the seas,
-
-the roaring of their waves,
-
-the tumult of the peoples,
-
-8so that those who dwell at the ends of the earth are in awe at your signs.
-
-You make the going out of the morning and the evening to shout for joy.
-
-9You visit the earth and water it;[151]
-
-you greatly enrich it;
-
-the river of God is full of water;
-
-you provide their grain,
-
-for so you have prepared it.
-
-10You water its furrows abundantly,
-
-settling its ridges,
-
-softening it with showers,
-
-and blessing its growth.
-
-11You crown the year with your bounty;
-
-your wagon tracks overflow with abundance.
-
-12The pastures of the wilderness overflow,
-
-the hills gird themselves with joy,
-
-13the meadows clothe themselves with flocks,
-
-the valleys deck themselves with grain,
-
-they shout and sing together for joy.
-
-
-
-
-
-How Awesome Are Your Deeds
-
-
-To the choirmaster. A Song. A Psalm.
-
-
-66:1 Shout for joy to God, all the earth;
-
-2sing the glory of his name;
-
-give to him glorious praise!
-
-3Say to God, “How awesome are your deeds!
-
-So great is your power that your enemies come cringing to you.
-
-4All the earth worships you
-
-and sings praises to you;
-
-they sing praises to your name.” Selah
-
-5Come and see what God has done:
-
-he is awesome in his deeds toward the children of man.
-
-6He turned the sea into dry land;
-
-they passed through the river on foot.
-
-There did we rejoice in him,
-
-7who rules by his might forever,
-
-whose eyes keep watch on the nations—
-
-let not the rebellious exalt themselves. Selah
-
-8Bless our God, O peoples;
-
-let the sound of his praise be heard,
-
-9who has kept our soul among the living
-
-and has not let our feet slip.
-
-10For you, O God, have tested us;
-
-you have tried us as silver is tried.
-
-11You brought us into the net;
-
-you laid a crushing burden on our backs;
-
-12you let men ride over our heads;
-
-we went through fire and through water;
-
-yet you have brought us out to a place of abundance.
-
-13I will come into your house with burnt offerings;
-
-I will perform my vows to you,
-
-14that which my lips uttered
-
-and my mouth promised when I was in trouble.
-
-15I will offer to you burnt offerings of fattened animals,
-
-with the smoke of the sacrifice of rams;
-
-I will make an offering of bulls and goats. Selah
-
-16Come and hear, all you who fear God,
-
-and I will tell what he has done for my soul.
-
-17I cried to him with my mouth,
-
-and high praise was on[152] my tongue.[153]
-
-18If I had cherished iniquity in my heart,
-
-the Lord would not have listened.
-
-19But truly God has listened;
-
-he has attended to the voice of my prayer.
-
-20Blessed be God,
-
-because he has not rejected my prayer
-
-or removed his steadfast love from me!
-
-
-
-
-
-Make Your Face Shine upon Us
-
-
-To the choirmaster: with stringed instruments. A Psalm. A Song.
-
-
-67:1 May God be gracious to us and bless us
-
-and make his face to shine upon us, Selah
-
-2that your way may be known on earth,
-
-your saving power among all nations.
-
-3Let the peoples praise you, O God;
-
-let all the peoples praise you!
-
-4Let the nations be glad and sing for joy,
-
-for you judge the peoples with equity
-
-and guide the nations upon earth. Selah
-
-5Let the peoples praise you, O God;
-
-let all the peoples praise you!
-
-6The earth has yielded its increase;
-
-God, our God, shall bless us.
-
-7God shall bless us;
-
-let all the ends of the earth fear him!
-
-
-
-
-
-God Shall Scatter His Enemies
-
-
-To the choirmaster. A Psalm of David. A Song.
-
-
-68:1 God shall arise, his enemies shall be scattered;
-
-and those who hate him shall flee before him!
-
-2As smoke is driven away, so you shall drive them away;
-
-as wax melts before fire,
-
-so the wicked shall perish before God!
-
-3But the righteous shall be glad;
-
-they shall exult before God;
-
-they shall be jubilant with joy!
-
-4Sing to God, sing praises to his name;
-
-lift up a song to him who rides through the deserts;
-
-his name is the LORD;
-
-exult before him!
-
-5Father of the fatherless and protector of widows
-
-is God in his holy habitation.
-
-6God settles the solitary in a home;
-
-he leads out the prisoners to prosperity,
-
-but the rebellious dwell in a parched land.
-
-7O God, when you went out before your people,
-
-when you marched through the wilderness, Selah
-
-8the earth quaked, the heavens poured down rain,
-
-before God, the One of Sinai,
-
-before God, the God of Israel.
-
-9Rain in abundance, O God, you shed abroad;
-
-you restored your inheritance as it languished;
-
-10your flock[154] found a dwelling in it;
-
-in your goodness, O God, you provided for the needy.
-
-11The Lord gives the word;
-
-the women who announce the news are a great host:
-
-12“The kings of the armies—they flee, they flee!”
-
-The women at home divide the spoil—
-
-13though you men lie among the sheepfolds—
-
-the wings of a dove covered with silver,
-
-its pinions with shimmering gold.
-
-14When the Almighty scatters kings there,
-
-let snow fall on Zalmon.
-
-15O mountain of God, mountain of Bashan;
-
-O many-peaked[155] mountain, mountain of Bashan!
-
-16Why do you look with hatred, O many-peaked mountain,
-
-at the mount that God desired for his abode,
-
-yes, where the LORD will dwell forever?
-
-17The chariots of God are twice ten thousand,
-
-thousands upon thousands;
-
-the Lord is among them; Sinai is now in the sanctuary.
-
-18You ascended on high,
-
-leading a host of captives in your train
-
-and receiving gifts among men,
-
-even among the rebellious, that the LORD God may dwell there.
-
-19Blessed be the Lord,
-
-who daily bears us up;
-
-God is our salvation. Selah
-
-20Our God is a God of salvation,
-
-and to GOD, the Lord, belong deliverances from death.
-
-21But God will strike the heads of his enemies,
-
-the hairy crown of him who walks in his guilty ways.
-
-22The Lord said,
-
-“I will bring them back from Bashan,
-
-I will bring them back from the depths of the sea,
-
-23that you may strike your feet in their blood,
-
-that the tongues of your dogs may have their portion from the foe.”
-
-24Your procession is[156] seen, O God,
-
-the procession of my God, my King, into the sanctuary—
-
-25the singers in front, the musicians last,
-
-between them virgins playing tambourines:
-
-26“Bless God in the great congregation,
-
-the LORD, O you[157] who are of Israel's fountain!”
-
-27There is Benjamin, the least of them, in the lead,
-
-the princes of Judah in their throng,
-
-the princes of Zebulun, the princes of Naphtali.
-
-28Summon your power, O God,[158]
-
-the power, O God, by which you have worked for us.
-
-29Because of your temple at Jerusalem
-
-kings shall bear gifts to you.
-
-30Rebuke the beasts that dwell among the reeds,
-
-the herd of bulls with the calves of the peoples.
-
-Trample underfoot those who lust after tribute;
-
-scatter the peoples who delight in war.[159]
-
-31Nobles shall come from Egypt;
-
-Cush shall hasten to stretch out her hands to God.
-
-32O kingdoms of the earth, sing to God;
-
-sing praises to the Lord, Selah
-
-33to him who rides in the heavens, the ancient heavens;
-
-behold, he sends out his voice, his mighty voice.
-
-34Ascribe power to God,
-
-whose majesty is over Israel,
-
-and whose power is in the skies.
-
-35Awesome is God from his[160] sanctuary;
-
-the God of Israel—he is the one who gives power and strength to his people.
-
-Blessed be God!
-
-
-
-
-
-Save Me, O God
-
-
-To the choirmaster: according to Lilies. Of David.
-
-
-69:1 Save me, O God!
-
-For the waters have come up to my neck.[161]
-
-2I sink in deep mire,
-
-where there is no foothold;
-
-I have come into deep waters,
-
-and the flood sweeps over me.
-
-3I am weary with my crying out;
-
-my throat is parched.
-
-My eyes grow dim
-
-with waiting for my God.
-
-4More in number than the hairs of my head
-
-are those who hate me without cause;
-
-mighty are those who would destroy me,
-
-those who attack me with lies.
-
-What I did not steal
-
-must I now restore?
-
-5O God, you know my folly;
-
-the wrongs I have done are not hidden from you.
-
-6Let not those who hope in you be put to shame through me,
-
-O Lord GOD of hosts;
-
-let not those who seek you be brought to dishonor through me,
-
-O God of Israel.
-
-7For it is for your sake that I have borne reproach,
-
-that dishonor has covered my face.
-
-8I have become a stranger to my brothers,
-
-an alien to my mother's sons.
-
-9For zeal for your house has consumed me,
-
-and the reproaches of those who reproach you have fallen on me.
-
-10When I wept and humbled[162] my soul with fasting,
-
-it became my reproach.
-
-11When I made sackcloth my clothing,
-
-I became a byword to them.
-
-12I am the talk of those who sit in the gate,
-
-and the drunkards make songs about me.
-
-13But as for me, my prayer is to you, O LORD.
-
-At an acceptable time, O God,
-
-in the abundance of your steadfast love answer me in your saving faithfulness.
-
-14Deliver me
-
-from sinking in the mire;
-
-let me be delivered from my enemies
-
-and from the deep waters.
-
-15Let not the flood sweep over me,
-
-or the deep swallow me up,
-
-or the pit close its mouth over me.
-
-16Answer me, O LORD, for your steadfast love is good;
-
-according to your abundant mercy, turn to me.
-
-17Hide not your face from your servant;
-
-for I am in distress; make haste to answer me.
-
-18Draw near to my soul, redeem me;
-
-ransom me because of my enemies!
-
-19You know my reproach,
-
-and my shame and my dishonor;
-
-my foes are all known to you.
-
-20Reproaches have broken my heart,
-
-so that I am in despair.
-
-I looked for pity, but there was none,
-
-and for comforters, but I found none.
-
-21They gave me poison for food,
-
-and for my thirst they gave me sour wine to drink.
-
-22Let their own table before them become a snare;
-
-and when they are at peace, let it become a trap.[163]
-
-23Let their eyes be darkened, so that they cannot see,
-
-and make their loins tremble continually.
-
-24Pour out your indignation upon them,
-
-and let your burning anger overtake them.
-
-25May their camp be a desolation;
-
-let no one dwell in their tents.
-
-26For they persecute him whom you have struck down,
-
-and they recount the pain of those you have wounded.
-
-27Add to them punishment upon punishment;
-
-may they have no acquittal from you.[164]
-
-28Let them be blotted out of the book of the living;
-
-let them not be enrolled among the righteous.
-
-29But I am afflicted and in pain;
-
-let your salvation, O God, set me on high!
-
-30I will praise the name of God with a song;
-
-I will magnify him with thanksgiving.
-
-31This will please the LORD more than an ox
-
-or a bull with horns and hoofs.
-
-32When the humble see it they will be glad;
-
-you who seek God, let your hearts revive.
-
-33For the LORD hears the needy
-
-and does not despise his own people who are prisoners.
-
-34Let heaven and earth praise him,
-
-the seas and everything that moves in them.
-
-35For God will save Zion
-
-and build up the cities of Judah,
-
-and people shall dwell there and possess it;
-
-36the offspring of his servants shall inherit it,
-
-and those who love his name shall dwell in it.
-
-
-
-
-
-O LORD, Do Not Delay
-
-
-To the choirmaster. Of David, for the memorial offering.
-
-
-70:1 Make haste, O God, to deliver me!
-
-O LORD, make haste to help me!
-
-2Let them be put to shame and confusion
-
-who seek my life!
-
-Let them be turned back and brought to dishonor
-
-who delight in my hurt!
-
-3Let them turn back because of their shame
-
-who say, “Aha, Aha!”
-
-4May all who seek you
-
-rejoice and be glad in you!
-
-May those who love your salvation
-
-say evermore, “God is great!”
-
-5But I am poor and needy;
-
-hasten to me, O God!
-
-You are my help and my deliverer;
-
-O LORD, do not delay!
-
-
-
-
-
-Forsake Me Not When My Strength Is Spent
-
-
-71:1 In you, O LORD, do I take refuge;
-
-let me never be put to shame!
-
-2In your righteousness deliver me and rescue me;
-
-incline your ear to me, and save me!
-
-3Be to me a rock of refuge,
-
-to which I may continually come;
-
-you have given the command to save me,
-
-for you are my rock and my fortress.
-
-4Rescue me, O my God, from the hand of the wicked,
-
-from the grasp of the unjust and cruel man.
-
-5For you, O Lord, are my hope,
-
-my trust, O LORD, from my youth.
-
-6Upon you I have leaned from before my birth;
-
-you are he who took me from my mother's womb.
-
-My praise is continually of you.
-
-7I have been as a portent to many,
-
-but you are my strong refuge.
-
-8My mouth is filled with your praise,
-
-and with your glory all the day.
-
-9Do not cast me off in the time of old age;
-
-forsake me not when my strength is spent.
-
-10For my enemies speak concerning me;
-
-those who watch for my life consult together
-
-11and say, “God has forsaken him;
-
-pursue and seize him,
-
-for there is none to deliver him.”
-
-12O God, be not far from me;
-
-O my God, make haste to help me!
-
-13May my accusers be put to shame and consumed;
-
-with scorn and disgrace may they be covered
-
-who seek my hurt.
-
-14But I will hope continually
-
-and will praise you yet more and more.
-
-15My mouth will tell of your righteous acts,
-
-of your deeds of salvation all the day,
-
-for their number is past my knowledge.
-
-16With the mighty deeds of the Lord GOD I will come;
-
-I will remind them of your righteousness, yours alone.
-
-17O God, from my youth you have taught me,
-
-and I still proclaim your wondrous deeds.
-
-18So even to old age and gray hairs,
-
-O God, do not forsake me,
-
-until I proclaim your might to another generation,
-
-your power to all those to come.
-
-19Your righteousness, O God,
-
-reaches the high heavens.
-
-You who have done great things,
-
-O God, who is like you?
-
-20You who have made me see many troubles and calamities
-
-will revive me again;
-
-from the depths of the earth
-
-you will bring me up again.
-
-21You will increase my greatness
-
-and comfort me again.
-
-22I will also praise you with the harp
-
-for your faithfulness, O my God;
-
-I will sing praises to you with the lyre,
-
-O Holy One of Israel.
-
-23My lips will shout for joy,
-
-when I sing praises to you;
-
-my soul also, which you have redeemed.
-
-24And my tongue will talk of your righteous help all the day long,
-
-for they have been put to shame and disappointed
-
-who sought to do me hurt.
-
-
-
-
-
-Give the King Your Justice
-
-
-Of Solomon.
-
-
-72:1 Give the king your justice, O God,
-
-and your righteousness to the royal son!
-
-2May he judge your people with righteousness,
-
-and your poor with justice!
-
-3Let the mountains bear prosperity for the people,
-
-and the hills, in righteousness!
-
-4May he defend the cause of the poor of the people,
-
-give deliverance to the children of the needy,
-
-and crush the oppressor!
-
-5May they fear you[165] while the sun endures,
-
-and as long as the moon, throughout all generations!
-
-6May he be like rain that falls on the mown grass,
-
-like showers that water the earth!
-
-7In his days may the righteous flourish,
-
-and peace abound, till the moon be no more!
-
-8May he have dominion from sea to sea,
-
-and from the River[166] to the ends of the earth!
-
-9May desert tribes bow down before him,
-
-and his enemies lick the dust!
-
-10May the kings of Tarshish and of the coastlands
-
-render him tribute;
-
-may the kings of Sheba and Seba
-
-bring gifts!
-
-11May all kings fall down before him,
-
-all nations serve him!
-
-12For he delivers the needy when he calls,
-
-the poor and him who has no helper.
-
-13He has pity on the weak and the needy,
-
-and saves the lives of the needy.
-
-14From oppression and violence he redeems their life,
-
-and precious is their blood in his sight.
-
-15Long may he live;
-
-may gold of Sheba be given to him!
-
-May prayer be made for him continually,
-
-and blessings invoked for him all the day!
-
-16May there be abundance of grain in the land;
-
-on the tops of the mountains may it wave;
-
-may its fruit be like Lebanon;
-
-and may people blossom in the cities
-
-like the grass of the field!
-
-17May his name endure forever,
-
-his fame continue as long as the sun!
-
-May people be blessed in him,
-
-all nations call him blessed!
-
-18Blessed be the LORD, the God of Israel,
-
-who alone does wondrous things.
-
-19Blessed be his glorious name forever;
-
-may the whole earth be filled with his glory!
-
-Amen and Amen!
-
-20The prayers of David, the son of Jesse, are ended.
-
-
-
-
-
-Book Three
-
-
-God Is My Strength and Portion Forever
-
-
-A Psalm of Asaph.
-
-
-73:1 Truly God is good to Israel,
-
-to those who are pure in heart.
-
-2But as for me, my feet had almost stumbled,
-
-my steps had nearly slipped.
-
-3For I was envious of the arrogant
-
-when I saw the prosperity of the wicked.
-
-4For they have no pangs until death;
-
-their bodies are fat and sleek.
-
-5They are not in trouble as others are;
-
-they are not stricken like the rest of mankind.
-
-6Therefore pride is their necklace;
-
-violence covers them as a garment.
-
-7Their eyes swell out through fatness;
-
-their hearts overflow with follies.
-
-8They scoff and speak with malice;
-
-loftily they threaten oppression.
-
-9They set their mouths against the heavens,
-
-and their tongue struts through the earth.
-
-10Therefore his people turn back to them,
-
-and find no fault in them.[167]
-
-11And they say, “How can God know?
-
-Is there knowledge in the Most High?”
-
-12Behold, these are the wicked;
-
-always at ease, they increase in riches.
-
-13All in vain have I kept my heart clean
-
-and washed my hands in innocence.
-
-14For all the day long I have been stricken
-
-and rebuked every morning.
-
-15If I had said, “I will speak thus,”
-
-I would have betrayed the generation of your children.
-
-16But when I thought how to understand this,
-
-it seemed to me a wearisome task,
-
-17until I went into the sanctuary of God;
-
-then I discerned their end.
-
-18Truly you set them in slippery places;
-
-you make them fall to ruin.
-
-19How they are destroyed in a moment,
-
-swept away utterly by terrors!
-
-20Like a dream when one awakes,
-
-O Lord, when you rouse yourself, you despise them as phantoms.
-
-21When my soul was embittered,
-
-when I was pricked in heart,
-
-22I was brutish and ignorant;
-
-I was like a beast toward you.
-
-23Nevertheless, I am continually with you;
-
-you hold my right hand.
-
-24You guide me with your counsel,
-
-and afterward you will receive me to glory.
-
-25Whom have I in heaven but you?
-
-And there is nothing on earth that I desire besides you.
-
-26My flesh and my heart may fail,
-
-but God is the strength[168] of my heart and my portion forever.
-
-27For behold, those who are far from you shall perish;
-
-you put an end to everyone who is unfaithful to you.
-
-28But for me it is good to be near God;
-
-I have made the Lord GOD my refuge,
-
-that I may tell of all your works.
-
-
-
-
-
-Arise, O God, Defend Your Cause
-
-
-A Maskil[169] of Asaph.
-
-
-74:1 O God, why do you cast us off forever?
-
-Why does your anger smoke against the sheep of your pasture?
-
-2Remember your congregation, which you have purchased of old,
-
-which you have redeemed to be the tribe of your heritage!
-
-Remember Mount Zion, where you have dwelt.
-
-3Direct your steps to the perpetual ruins;
-
-the enemy has destroyed everything in the sanctuary!
-
-4Your foes have roared in the midst of your meeting place;
-
-they set up their own signs for signs.
-
-5They were like those who swing axes
-
-in a forest of trees.[170]
-
-6And all its carved wood
-
-they broke down with hatchets and hammers.
-
-7They set your sanctuary on fire;
-
-they profaned the dwelling place of your name,
-
-bringing it down to the ground.
-
-8They said to themselves, “We will utterly subdue them”;
-
-they burned all the meeting places of God in the land.
-
-9We do not see our signs;
-
-there is no longer any prophet,
-
-and there is none among us who knows how long.
-
-10How long, O God, is the foe to scoff?
-
-Is the enemy to revile your name forever?
-
-11Why do you hold back your hand, your right hand?
-
-Take it from the fold of your garment[171] and destroy them!
-
-12Yet God my King is from of old,
-
-working salvation in the midst of the earth.
-
-13You divided the sea by your might;
-
-you broke the heads of the sea monsters[172] on the waters.
-
-14You crushed the heads of Leviathan;
-
-you gave him as food for the creatures of the wilderness.
-
-15You split open springs and brooks;
-
-you dried up ever-flowing streams.
-
-16Yours is the day, yours also the night;
-
-you have established the heavenly lights and the sun.
-
-17You have fixed all the boundaries of the earth;
-
-you have made summer and winter.
-
-18Remember this, O LORD, how the enemy scoffs,
-
-and a foolish people reviles your name.
-
-19Do not deliver the soul of your dove to the wild beasts;
-
-do not forget the life of your poor forever.
-
-20Have regard for the covenant,
-
-for the dark places of the land are full of the habitations of violence.
-
-21Let not the downtrodden turn back in shame;
-
-let the poor and needy praise your name.
-
-22Arise, O God, defend your cause;
-
-remember how the foolish scoff at you all the day!
-
-23Do not forget the clamor of your foes,
-
-the uproar of those who rise against you, which goes up continually!
-
-
-
-
-
-God Will Judge with Equity
-
-
-To the choirmaster: according to Do Not Destroy. A Psalm of Asaph. A Song.
-
-
-75:1 We give thanks to you, O God;
-
-we give thanks, for your name is near.
-
-We[173] recount your wondrous deeds.
-
-2“At the set time that I appoint
-
-I will judge with equity.
-
-3When the earth totters, and all its inhabitants,
-
-it is I who keep steady its pillars. Selah
-
-4I say to the boastful, ‘Do not boast,’
-
-and to the wicked, ‘Do not lift up your horn;
-
-5do not lift up your horn on high,
-
-or speak with haughty neck.’”
-
-6For not from the east or from the west
-
-and not from the wilderness comes lifting up,
-
-7but it is God who executes judgment,
-
-putting down one and lifting up another.
-
-8For in the hand of the LORD there is a cup
-
-with foaming wine, well mixed,
-
-and he pours out from it,
-
-and all the wicked of the earth
-
-shall drain it down to the dregs.
-
-9But I will declare it forever;
-
-I will sing praises to the God of Jacob.
-
-10All the horns of the wicked I will cut off,
-
-but the horns of the righteous shall be lifted up.
-
-
-
-
-
-Who Can Stand Before You?
-
-
-To the choirmaster: with stringed instruments. A Psalm of Asaph. A Song.
-
-
-76:1 In Judah God is known;
-
-his name is great in Israel.
-
-2His abode has been established in Salem,
-
-his dwelling place in Zion.
-
-3There he broke the flashing arrows,
-
-the shield, the sword, and the weapons of war. Selah
-
-4Glorious are you, more majestic
-
-than the mountains of prey.
-
-5The stouthearted were stripped of their spoil;
-
-they sank into sleep;
-
-all the men of war
-
-were unable to use their hands.
-
-6At your rebuke, O God of Jacob,
-
-both rider and horse lay stunned.
-
-7But you, you are to be feared!
-
-Who can stand before you
-
-when once your anger is roused?
-
-8From the heavens you uttered judgment;
-
-the earth feared and was still,
-
-9when God arose to establish judgment,
-
-to save all the humble of the earth. Selah
-
-10Surely the wrath of man shall praise you;
-
-the remnant[174] of wrath you will put on like a belt.
-
-11Make your vows to the LORD your God and perform them;
-
-let all around him bring gifts
-
-to him who is to be feared,
-
-12who cuts off the spirit of princes,
-
-who is to be feared by the kings of the earth.
-
-
-
-
-
-In the Day of Trouble I Seek the Lord
-
-
-To the choirmaster: according to Jeduthun. A Psalm of Asaph.
-
-
-77:1 I cry aloud to God,
-
-aloud to God, and he will hear me.
-
-2In the day of my trouble I seek the Lord;
-
-in the night my hand is stretched out without wearying;
-
-my soul refuses to be comforted.
-
-3When I remember God, I moan;
-
-when I meditate, my spirit faints. Selah
-
-4You hold my eyelids open;
-
-I am so troubled that I cannot speak.
-
-5I consider the days of old,
-
-the years long ago.
-
-6I said,[175] “Let me remember my song in the night;
-
-let me meditate in my heart.”
-
-Then my spirit made a diligent search:
-
-7“Will the Lord spurn forever,
-
-and never again be favorable?
-
-8Has his steadfast love forever ceased?
-
-Are his promises at an end for all time?
-
-9Has God forgotten to be gracious?
-
-Has he in anger shut up his compassion?” Selah
-
-10Then I said, “I will appeal to this,
-
-to the years of the right hand of the Most High.”[176]
-
-11I will remember the deeds of the LORD;
-
-yes, I will remember your wonders of old.
-
-12I will ponder all your work,
-
-and meditate on your mighty deeds.
-
-13Your way, O God, is holy.
-
-What god is great like our God?
-
-14You are the God who works wonders;
-
-you have made known your might among the peoples.
-
-15You with your arm redeemed your people,
-
-the children of Jacob and Joseph. Selah
-
-16When the waters saw you, O God,
-
-when the waters saw you, they were afraid;
-
-indeed, the deep trembled.
-
-17The clouds poured out water;
-
-the skies gave forth thunder;
-
-your arrows flashed on every side.
-
-18The crash of your thunder was in the whirlwind;
-
-your lightnings lighted up the world;
-
-the earth trembled and shook.
-
-19Your way was through the sea,
-
-your path through the great waters;
-
-yet your footprints were unseen.[177]
-
-20You led your people like a flock
-
-by the hand of Moses and Aaron.
-
-
-
-
-
-Tell the Coming Generation
-
-
-A Maskil[178] of Asaph.
-
-
-78:1 Give ear, O my people, to my teaching;
-
-incline your ears to the words of my mouth!
-
-2I will open my mouth in a parable;
-
-I will utter dark sayings from of old,
-
-3things that we have heard and known,
-
-that our fathers have told us.
-
-4We will not hide them from their children,
-
-but tell to the coming generation
-
-the glorious deeds of the LORD, and his might,
-
-and the wonders that he has done.
-
-5He established a testimony in Jacob
-
-and appointed a law in Israel,
-
-which he commanded our fathers
-
-to teach to their children,
-
-6that the next generation might know them,
-
-the children yet unborn,
-
-and arise and tell them to their children,
-
-7so that they should set their hope in God
-
-and not forget the works of God,
-
-but keep his commandments;
-
-8and that they should not be like their fathers,
-
-a stubborn and rebellious generation,
-
-a generation whose heart was not steadfast,
-
-whose spirit was not faithful to God.
-
-9The Ephraimites, armed with[179] the bow,
-
-turned back on the day of battle.
-
-10They did not keep God's covenant,
-
-but refused to walk according to his law.
-
-11They forgot his works
-
-and the wonders that he had shown them.
-
-12In the sight of their fathers he performed wonders
-
-in the land of Egypt, in the fields of Zoan.
-
-13He divided the sea and let them pass through it,
-
-and made the waters stand like a heap.
-
-14In the daytime he led them with a cloud,
-
-and all the night with a fiery light.
-
-15He split rocks in the wilderness
-
-and gave them drink abundantly as from the deep.
-
-16He made streams come out of the rock
-
-and caused waters to flow down like rivers.
-
-17Yet they sinned still more against him,
-
-rebelling against the Most High in the desert.
-
-18They tested God in their heart
-
-by demanding the food they craved.
-
-19They spoke against God, saying,
-
-“Can God spread a table in the wilderness?
-
-20He struck the rock so that water gushed out
-
-and streams overflowed.
-
-Can he also give bread
-
-or provide meat for his people?”
-
-21Therefore, when the LORD heard, he was full of wrath;
-
-a fire was kindled against Jacob;
-
-his anger rose against Israel,
-
-22because they did not believe in God
-
-and did not trust his saving power.
-
-23Yet he commanded the skies above
-
-and opened the doors of heaven,
-
-24and he rained down on them manna to eat
-
-and gave them the grain of heaven.
-
-25Man ate of the bread of the angels;
-
-he sent them food in abundance.
-
-26He caused the east wind to blow in the heavens,
-
-and by his power he led out the south wind;
-
-27he rained meat on them like dust,
-
-winged birds like the sand of the seas;
-
-28he let them fall in the midst of their camp,
-
-all around their dwellings.
-
-29And they ate and were well filled,
-
-for he gave them what they craved.
-
-30But before they had satisfied their craving,
-
-while the food was still in their mouths,
-
-31the anger of God rose against them,
-
-and he killed the strongest of them
-
-and laid low the young men of Israel.
-
-32In spite of all this, they still sinned;
-
-despite his wonders, they did not believe.
-
-33So he made their days vanish like[180] a breath,[181]
-
-and their years in terror.
-
-34When he killed them, they sought him;
-
-they repented and sought God earnestly.
-
-35They remembered that God was their rock,
-
-the Most High God their redeemer.
-
-36But they flattered him with their mouths;
-
-they lied to him with their tongues.
-
-37Their heart was not steadfast toward him;
-
-they were not faithful to his covenant.
-
-38Yet he, being compassionate,
-
-atoned for their iniquity
-
-and did not destroy them;
-
-he restrained his anger often
-
-and did not stir up all his wrath.
-
-39He remembered that they were but flesh,
-
-a wind that passes and comes not again.
-
-40How often they rebelled against him in the wilderness
-
-and grieved him in the desert!
-
-41They tested God again and again
-
-and provoked the Holy One of Israel.
-
-42They did not remember his power[182]
-
-or the day when he redeemed them from the foe,
-
-43when he performed his signs in Egypt
-
-and his marvels in the fields of Zoan.
-
-44He turned their rivers to blood,
-
-so that they could not drink of their streams.
-
-45He sent among them swarms of flies, which devoured them,
-
-and frogs, which destroyed them.
-
-46He gave their crops to the destroying locust
-
-and the fruit of their labor to the locust.
-
-47He destroyed their vines with hail
-
-and their sycamores with frost.
-
-48He gave over their cattle to the hail
-
-and their flocks to thunderbolts.
-
-49He let loose on them his burning anger,
-
-wrath, indignation, and distress,
-
-a company of destroying angels.
-
-50He made a path for his anger;
-
-he did not spare them from death,
-
-but gave their lives over to the plague.
-
-51He struck down every firstborn in Egypt,
-
-the firstfruits of their strength in the tents of Ham.
-
-52Then he led out his people like sheep
-
-and guided them in the wilderness like a flock.
-
-53He led them in safety, so that they were not afraid,
-
-but the sea overwhelmed their enemies.
-
-54And he brought them to his holy land,
-
-to the mountain which his right hand had won.
-
-55He drove out nations before them;
-
-he apportioned them for a possession
-
-and settled the tribes of Israel in their tents.
-
-56Yet they tested and rebelled against the Most High God
-
-and did not keep his testimonies,
-
-57but turned away and acted treacherously like their fathers;
-
-they twisted like a deceitful bow.
-
-58For they provoked him to anger with their high places;
-
-they moved him to jealousy with their idols.
-
-59When God heard, he was full of wrath,
-
-and he utterly rejected Israel.
-
-60He forsook his dwelling at Shiloh,
-
-the tent where he dwelt among mankind,
-
-61and delivered his power to captivity,
-
-his glory to the hand of the foe.
-
-62He gave his people over to the sword
-
-and vented his wrath on his heritage.
-
-63Fire devoured their young men,
-
-and their young women had no marriage song.
-
-64Their priests fell by the sword,
-
-and their widows made no lamentation.
-
-65Then the Lord awoke as from sleep,
-
-like a strong man shouting because of wine.
-
-66And he put his adversaries to rout;
-
-he put them to everlasting shame.
-
-67He rejected the tent of Joseph;
-
-he did not choose the tribe of Ephraim,
-
-68but he chose the tribe of Judah,
-
-Mount Zion, which he loves.
-
-69He built his sanctuary like the high heavens,
-
-like the earth, which he has founded forever.
-
-70He chose David his servant
-
-and took him from the sheepfolds;
-
-71from following the nursing ewes he brought him
-
-to shepherd Jacob his people,
-
-Israel his inheritance.
-
-72With upright heart he shepherded them
-
-and guided them with his skillful hand.
-
-
-
-
-
-How Long, O LORD?
-
-
-A Psalm of Asaph.
-
-
-79:1 O God, the nations have come into your inheritance;
-
-they have defiled your holy temple;
-
-they have laid Jerusalem in ruins.
-
-2They have given the bodies of your servants
-
-to the birds of the heavens for food,
-
-the flesh of your faithful to the beasts of the earth.
-
-3They have poured out their blood like water
-
-all around Jerusalem,
-
-and there was no one to bury them.
-
-4We have become a taunt to our neighbors,
-
-mocked and derided by those around us.
-
-5How long, O LORD? Will you be angry forever?
-
-Will your jealousy burn like fire?
-
-6Pour out your anger on the nations
-
-that do not know you,
-
-and on the kingdoms
-
-that do not call upon your name!
-
-7For they have devoured Jacob
-
-and laid waste his habitation.
-
-8Do not remember against us our former iniquities;[183]
-
-let your compassion come speedily to meet us,
-
-for we are brought very low.
-
-9Help us, O God of our salvation,
-
-for the glory of your name;
-
-deliver us, and atone for our sins,
-
-for your name's sake!
-
-10Why should the nations say,
-
-“Where is their God?”
-
-Let the avenging of the outpoured blood of your servants
-
-be known among the nations before our eyes!
-
-11Let the groans of the prisoners come before you;
-
-according to your great power, preserve those doomed to die!
-
-12Return sevenfold into the lap of our neighbors
-
-the taunts with which they have taunted you, O Lord!
-
-13But we your people, the sheep of your pasture,
-
-will give thanks to you forever;
-
-from generation to generation we will recount your praise.
-
-
-
-
-
-Restore Us, O God
-
-
-To the choirmaster: according to Lilies. A Testimony. Of Asaph, a Psalm.
-
-
-80:1 Give ear, O Shepherd of Israel,
-
-you who lead Joseph like a flock!
-
-You who are enthroned upon the cherubim, shine forth.
-
-2Before Ephraim and Benjamin and Manasseh,
-
-stir up your might
-
-and come to save us!
-
-3Restore us,[184] O God;
-
-let your face shine, that we may be saved!
-
-4O LORD God of hosts,
-
-how long will you be angry with your people's prayers?
-
-5You have fed them with the bread of tears
-
-and given them tears to drink in full measure.
-
-6You make us an object of contention for our neighbors,
-
-and our enemies laugh among themselves.
-
-7Restore us, O God of hosts;
-
-let your face shine, that we may be saved!
-
-8You brought a vine out of Egypt;
-
-you drove out the nations and planted it.
-
-9You cleared the ground for it;
-
-it took deep root and filled the land.
-
-10The mountains were covered with its shade,
-
-the mighty cedars with its branches.
-
-11It sent out its branches to the sea
-
-and its shoots to the River.[185]
-
-12Why then have you broken down its walls,
-
-so that all who pass along the way pluck its fruit?
-
-13The boar from the forest ravages it,
-
-and all that move in the field feed on it.
-
-14Turn again, O God of hosts!
-
-Look down from heaven, and see;
-
-have regard for this vine,
-
-15the stock that your right hand planted,
-
-and for the son whom you made strong for yourself.
-
-16They have burned it with fire; they have cut it down;
-
-may they perish at the rebuke of your face!
-
-17But let your hand be on the man of your right hand,
-
-the son of man whom you have made strong for yourself!
-
-18Then we shall not turn back from you;
-
-give us life, and we will call upon your name!
-
-19Restore us, O LORD God of hosts!
-
-Let your face shine, that we may be saved!
-
-
-
-
-
-Oh, That My People Would Listen to Me
-
-
-To the choirmaster: according to The Gittith.[186] Of Asaph.
-
-
-81:1 Sing aloud to God our strength;
-
-shout for joy to the God of Jacob!
-
-2Raise a song; sound the tambourine,
-
-the sweet lyre with the harp.
-
-3Blow the trumpet at the new moon,
-
-at the full moon, on our feast day.
-
-4For it is a statute for Israel,
-
-a rule[187] of the God of Jacob.
-
-5He made it a decree in Joseph
-
-when he went out over[188] the land of Egypt.
-
-I hear a language I had not known:
-
-6“I relieved your[189] shoulder of the burden;
-
-your hands were freed from the basket.
-
-7In distress you called, and I delivered you;
-
-I answered you in the secret place of thunder;
-
-I tested you at the waters of Meribah. Selah
-
-8Hear, O my people, while I admonish you!
-
-O Israel, if you would but listen to me!
-
-9There shall be no strange god among you;
-
-you shall not bow down to a foreign god.
-
-10I am the LORD your God,
-
-who brought you up out of the land of Egypt.
-
-Open your mouth wide, and I will fill it.
-
-11“But my people did not listen to my voice;
-
-Israel would not submit to me.
-
-12So I gave them over to their stubborn hearts,
-
-to follow their own counsels.
-
-13Oh, that my people would listen to me,
-
-that Israel would walk in my ways!
-
-14I would soon subdue their enemies
-
-and turn my hand against their foes.
-
-15Those who hate the LORD would cringe toward him,
-
-and their fate would last forever.
-
-16But he would feed you[190] with the finest of the wheat,
-
-and with honey from the rock I would satisfy you.”
-
-
-
-
-
-Rescue the Weak and Needy
-
-
-A Psalm of Asaph.
-
-
-82:1 God has taken his place in the divine council;
-
-in the midst of the gods he holds judgment:
-
-2“How long will you judge unjustly
-
-and show partiality to the wicked? Selah
-
-3Give justice to the weak and the fatherless;
-
-maintain the right of the afflicted and the destitute.
-
-4Rescue the weak and the needy;
-
-deliver them from the hand of the wicked.”
-
-5They have neither knowledge nor understanding,
-
-they walk about in darkness;
-
-all the foundations of the earth are shaken.
-
-6I said, “You are gods,
-
-sons of the Most High, all of you;
-
-7nevertheless, like men you shall die,
-
-and fall like any prince.”[191]
-
-8Arise, O God, judge the earth;
-
-for you shall inherit all the nations!
-
-
-
-
-
-O God, Do Not Keep Silence
-
-
-A Song. A Psalm of Asaph.
-
-
-83:1 O God, do not keep silence;
-
-do not hold your peace or be still, O God!
-
-2For behold, your enemies make an uproar;
-
-those who hate you have raised their heads.
-
-3They lay crafty plans against your people;
-
-they consult together against your treasured ones.
-
-4They say, “Come, let us wipe them out as a nation;
-
-let the name of Israel be remembered no more!”
-
-5For they conspire with one accord;
-
-against you they make a covenant—
-
-6the tents of Edom and the Ishmaelites,
-
-Moab and the Hagrites,
-
-7Gebal and Ammon and Amalek,
-
-Philistia with the inhabitants of Tyre;
-
-8Asshur also has joined them;
-
-they are the strong arm of the children of Lot. Selah
-
-9Do to them as you did to Midian,
-
-as to Sisera and Jabin at the river Kishon,
-
-10who were destroyed at En-dor,
-
-who became dung for the ground.
-
-11Make their nobles like Oreb and Zeeb,
-
-all their princes like Zebah and Zalmunna,
-
-12who said, “Let us take possession for ourselves
-
-of the pastures of God.”
-
-13O my God, make them like whirling dust,[192]
-
-like chaff before the wind.
-
-14As fire consumes the forest,
-
-as the flame sets the mountains ablaze,
-
-15so may you pursue them with your tempest
-
-and terrify them with your hurricane!
-
-16Fill their faces with shame,
-
-that they may seek your name, O LORD.
-
-17Let them be put to shame and dismayed forever;
-
-let them perish in disgrace,
-
-18that they may know that you alone,
-
-whose name is the LORD,
-
-are the Most High over all the earth.
-
-
-
-
-
-My Soul Longs for the Courts of the LORD
-
-
-To the choirmaster: according to The Gittith.[193] A Psalm of the Sons of Korah.
-
-
-84:1 How lovely is your dwelling place,
-
-O LORD of hosts!
-
-2My soul longs, yes, faints
-
-for the courts of the LORD;
-
-my heart and flesh sing for joy
-
-to the living God.
-
-3Even the sparrow finds a home,
-
-and the swallow a nest for herself,
-
-where she may lay her young,
-
-at your altars, O LORD of hosts,
-
-my King and my God.
-
-4Blessed are those who dwell in your house,
-
-ever singing your praise! Selah
-
-5Blessed are those whose strength is in you,
-
-in whose heart are the highways to Zion.[194]
-
-6As they go through the Valley of Baca
-
-they make it a place of springs;
-
-the early rain also covers it with pools.
-
-7They go from strength to strength;
-
-each one appears before God in Zion.
-
-8O LORD God of hosts, hear my prayer;
-
-give ear, O God of Jacob! Selah
-
-9Behold our shield, O God;
-
-look on the face of your anointed!
-
-10For a day in your courts is better
-
-than a thousand elsewhere.
-
-I would rather be a doorkeeper in the house of my God
-
-than dwell in the tents of wickedness.
-
-11For the LORD God is a sun and shield;
-
-the LORD bestows favor and honor.
-
-No good thing does he withhold
-
-from those who walk uprightly.
-
-12O LORD of hosts,
-
-blessed is the one who trusts in you!
-
-
-
-
-
-Revive Us Again
-
-
-To the choirmaster. A Psalm of the Sons of Korah.
-
-
-85:1 LORD, you were favorable to your land;
-
-you restored the fortunes of Jacob.
-
-2You forgave the iniquity of your people;
-
-you covered all their sin. Selah
-
-3You withdrew all your wrath;
-
-you turned from your hot anger.
-
-4Restore us again, O God of our salvation,
-
-and put away your indignation toward us!
-
-5Will you be angry with us forever?
-
-Will you prolong your anger to all generations?
-
-6Will you not revive us again,
-
-that your people may rejoice in you?
-
-7Show us your steadfast love, O LORD,
-
-and grant us your salvation.
-
-8Let me hear what God the LORD will speak,
-
-for he will speak peace to his people, to his saints;
-
-but let them not turn back to folly.
-
-9Surely his salvation is near to those who fear him,
-
-that glory may dwell in our land.
-
-10Steadfast love and faithfulness meet;
-
-righteousness and peace kiss each other.
-
-11Faithfulness springs up from the ground,
-
-and righteousness looks down from the sky.
-
-12Yes, the LORD will give what is good,
-
-and our land will yield its increase.
-
-13Righteousness will go before him
-
-and make his footsteps a way.
-
-
-
-
-
-Great Is Your Steadfast Love
-
-
-A Prayer of David.
-
-
-86:1 Incline your ear, O LORD, and answer me,
-
-for I am poor and needy.
-
-2Preserve my life, for I am godly;
-
-save your servant, who trusts in you—you are my God.
-
-3Be gracious to me, O Lord,
-
-for to you do I cry all the day.
-
-4Gladden the soul of your servant,
-
-for to you, O Lord, do I lift up my soul.
-
-5For you, O Lord, are good and forgiving,
-
-abounding in steadfast love to all who call upon you.
-
-6Give ear, O LORD, to my prayer;
-
-listen to my plea for grace.
-
-7In the day of my trouble I call upon you,
-
-for you answer me.
-
-8There is none like you among the gods, O Lord,
-
-nor are there any works like yours.
-
-9All the nations you have made shall come
-
-and worship before you, O Lord,
-
-and shall glorify your name.
-
-10For you are great and do wondrous things;
-
-you alone are God.
-
-11Teach me your way, O LORD,
-
-that I may walk in your truth;
-
-unite my heart to fear your name.
-
-12I give thanks to you, O Lord my God, with my whole heart,
-
-and I will glorify your name forever.
-
-13For great is your steadfast love toward me;
-
-you have delivered my soul from the depths of Sheol.
-
-14O God, insolent men have risen up against me;
-
-a band of ruthless men seeks my life,
-
-and they do not set you before them.
-
-15But you, O Lord, are a God merciful and gracious,
-
-slow to anger and abounding in steadfast love and faithfulness.
-
-16Turn to me and be gracious to me;
-
-give your strength to your servant,
-
-and save the son of your maidservant.
-
-17Show me a sign of your favor,
-
-that those who hate me may see and be put to shame
-
-because you, LORD, have helped me and comforted me.
-
-
-
-
-
-Glorious Things of You Are Spoken
-
-
-A Psalm of the Sons of Korah. A Song.
-
-
-87:1 On the holy mount stands the city he founded;
-
-2the LORD loves the gates of Zion
-
-more than all the dwelling places of Jacob.
-
-3Glorious things of you are spoken,
-
-O city of God. Selah
-
-4Among those who know me I mention Rahab and Babylon;
-
-behold, Philistia and Tyre, with Cush[195]—
-
-“This one was born there,” they say.
-
-5And of Zion it shall be said,
-
-“This one and that one were born in her”;
-
-for the Most High himself will establish her.
-
-6The LORD records as he registers the peoples,
-
-“This one was born there.” Selah
-
-7Singers and dancers alike say,
-
-“All my springs are in you.”
-
-
-
-
-
-I Cry Out Day and Night Before You
-
-
-A Song. A Psalm of the Sons of Korah. To the choirmaster: according to Mahalath Leannoth. A Maskil[196] of Heman the Ezrahite.
-
-
-88:1 O LORD, God of my salvation;
-
-I cry out day and night before you.
-
-2Let my prayer come before you;
-
-incline your ear to my cry!
-
-3For my soul is full of troubles,
-
-and my life draws near to Sheol.
-
-4I am counted among those who go down to the pit;
-
-I am a man who has no strength,
-
-5like one set loose among the dead,
-
-like the slain that lie in the grave,
-
-like those whom you remember no more,
-
-for they are cut off from your hand.
-
-6You have put me in the depths of the pit,
-
-in the regions dark and deep.
-
-7Your wrath lies heavy upon me,
-
-and you overwhelm me with all your waves. Selah
-
-8You have caused my companions to shun me;
-
-you have made me a horror[197] to them.
-
-I am shut in so that I cannot escape;
-
-9my eye grows dim through sorrow.
-
-Every day I call upon you, O LORD;
-
-I spread out my hands to you.
-
-10Do you work wonders for the dead?
-
-Do the departed rise up to praise you? Selah
-
-11Is your steadfast love declared in the grave,
-
-or your faithfulness in Abaddon?
-
-12Are your wonders known in the darkness,
-
-or your righteousness in the land of forgetfulness?
-
-13But I, O LORD, cry to you;
-
-in the morning my prayer comes before you.
-
-14O LORD, why do you cast my soul away?
-
-Why do you hide your face from me?
-
-15Afflicted and close to death from my youth up,
-
-I suffer your terrors; I am helpless.[198]
-
-16Your wrath has swept over me;
-
-your dreadful assaults destroy me.
-
-17They surround me like a flood all day long;
-
-they close in on me together.
-
-18You have caused my beloved and my friend to shun me;
-
-my companions have become darkness.[199]
-
-
-
-
-
-I Will Sing of the Steadfast Love of the LORD
-
-
-A Maskil[200] of Ethan the Ezrahite.
-
-
-89:1 I will sing of the steadfast love of the LORD, forever;
-
-with my mouth I will make known your faithfulness to all generations.
-
-2For I said, “Steadfast love will be built up forever;
-
-in the heavens you will establish your faithfulness.”
-
-3You have said, “I have made a covenant with my chosen one;
-
-I have sworn to David my servant:
-
-4‘I will establish your offspring forever,
-
-and build your throne for all generations.’” Selah
-
-5Let the heavens praise your wonders, O LORD,
-
-your faithfulness in the assembly of the holy ones!
-
-6For who in the skies can be compared to the LORD?
-
-Who among the heavenly beings[201] is like the LORD,
-
-7a God greatly to be feared in the council of the holy ones,
-
-and awesome above all who are around him?
-
-8O LORD God of hosts,
-
-who is mighty as you are, O LORD,
-
-with your faithfulness all around you?
-
-9You rule the raging of the sea;
-
-when its waves rise, you still them.
-
-10You crushed Rahab like a carcass;
-
-you scattered your enemies with your mighty arm.
-
-11The heavens are yours; the earth also is yours;
-
-the world and all that is in it, you have founded them.
-
-12The north and the south, you have created them;
-
-Tabor and Hermon joyously praise your name.
-
-13You have a mighty arm;
-
-strong is your hand, high your right hand.
-
-14Righteousness and justice are the foundation of your throne;
-
-steadfast love and faithfulness go before you.
-
-15Blessed are the people who know the festal shout,
-
-who walk, O LORD, in the light of your face,
-
-16who exult in your name all the day
-
-and in your righteousness are exalted.
-
-17For you are the glory of their strength;
-
-by your favor our horn is exalted.
-
-18For our shield belongs to the LORD,
-
-our king to the Holy One of Israel.
-
-19Of old you spoke in a vision to your godly one,[202] and said:
-
-“I have granted help to one who is mighty;
-
-I have exalted one chosen from the people.
-
-20I have found David, my servant;
-
-with my holy oil I have anointed him,
-
-21so that my hand shall be established with him;
-
-my arm also shall strengthen him.
-
-22The enemy shall not outwit him;
-
-the wicked shall not humble him.
-
-23I will crush his foes before him
-
-and strike down those who hate him.
-
-24My faithfulness and my steadfast love shall be with him,
-
-and in my name shall his horn be exalted.
-
-25I will set his hand on the sea
-
-and his right hand on the rivers.
-
-26He shall cry to me, ‘You are my Father,
-
-my God, and the Rock of my salvation.’
-
-27And I will make him the firstborn,
-
-the highest of the kings of the earth.
-
-28My steadfast love I will keep for him forever,
-
-and my covenant will stand firm[203] for him.
-
-29I will establish his offspring forever
-
-and his throne as the days of the heavens.
-
-30If his children forsake my law
-
-and do not walk according to my rules,[204]
-
-31if they violate my statutes
-
-and do not keep my commandments,
-
-32then I will punish their transgression with the rod
-
-and their iniquity with stripes,
-
-33but I will not remove from him my steadfast love
-
-or be false to my faithfulness.
-
-34I will not violate my covenant
-
-or alter the word that went forth from my lips.
-
-35Once for all I have sworn by my holiness;
-
-I will not lie to David.
-
-36His offspring shall endure forever,
-
-his throne as long as the sun before me.
-
-37Like the moon it shall be established forever,
-
-a faithful witness in the skies.” Selah
-
-38But now you have cast off and rejected;
-
-you are full of wrath against your anointed.
-
-39You have renounced the covenant with your servant;
-
-you have defiled his crown in the dust.
-
-40You have breached all his walls;
-
-you have laid his strongholds in ruins.
-
-41All who pass by plunder him;
-
-he has become the scorn of his neighbors.
-
-42You have exalted the right hand of his foes;
-
-you have made all his enemies rejoice.
-
-43You have also turned back the edge of his sword,
-
-and you have not made him stand in battle.
-
-44You have made his splendor to cease
-
-and cast his throne to the ground.
-
-45You have cut short the days of his youth;
-
-you have covered him with shame. Selah
-
-46How long, O LORD? Will you hide yourself forever?
-
-How long will your wrath burn like fire?
-
-47Remember how short my time is!
-
-For what vanity you have created all the children of man!
-
-48What man can live and never see death?
-
-Who can deliver his soul from the power of Sheol? Selah
-
-49Lord, where is your steadfast love of old,
-
-which by your faithfulness you swore to David?
-
-50Remember, O Lord, how your servants are mocked,
-
-and how I bear in my heart the insults[205] of all the many nations,
-
-51with which your enemies mock, O LORD,
-
-with which they mock the footsteps of your anointed.
-
-52Blessed be the LORD forever!
-
-Amen and Amen.
-
-
-
-
-
-Book Four
-
-
-From Everlasting to Everlasting
-
-
-A Prayer of Moses, the man of God.
-
-
-90:1 Lord, you have been our dwelling place[206]
-
-in all generations.
-
-2Before the mountains were brought forth,
-
-or ever you had formed the earth and the world,
-
-from everlasting to everlasting you are God.
-
-3You return man to dust
-
-and say, “Return, O children of man!”[207]
-
-4For a thousand years in your sight
-
-are but as yesterday when it is past,
-
-or as a watch in the night.
-
-5You sweep them away as with a flood; they are like a dream,
-
-like grass that is renewed in the morning:
-
-6in the morning it flourishes and is renewed;
-
-in the evening it fades and withers.
-
-7For we are brought to an end by your anger;
-
-by your wrath we are dismayed.
-
-8You have set our iniquities before you,
-
-our secret sins in the light of your presence.
-
-9For all our days pass away under your wrath;
-
-we bring our years to an end like a sigh.
-
-10The years of our life are seventy,
-
-or even by reason of strength eighty;
-
-yet their span[208] is but toil and trouble;
-
-they are soon gone, and we fly away.
-
-11Who considers the power of your anger,
-
-and your wrath according to the fear of you?
-
-12So teach us to number our days
-
-that we may get a heart of wisdom.
-
-13Return, O LORD! How long?
-
-Have pity on your servants!
-
-14Satisfy us in the morning with your steadfast love,
-
-that we may rejoice and be glad all our days.
-
-15Make us glad for as many days as you have afflicted us,
-
-and for as many years as we have seen evil.
-
-16Let your work be shown to your servants,
-
-and your glorious power to their children.
-
-17Let the favor[209] of the Lord our God be upon us,
-
-and establish the work of our hands upon us;
-
-yes, establish the work of our hands!
-
-
-
-
-
-My Refuge and My Fortress
-
-
-91:1 He who dwells in the shelter of the Most High
-
-will abide in the shadow of the Almighty.
-
-2I will say[210] to the LORD, “My refuge and my fortress,
-
-my God, in whom I trust.”
-
-3For he will deliver you from the snare of the fowler
-
-and from the deadly pestilence.
-
-4He will cover you with his pinions,
-
-and under his wings you will find refuge;
-
-his faithfulness is a shield and buckler.
-
-5You will not fear the terror of the night,
-
-nor the arrow that flies by day,
-
-6nor the pestilence that stalks in darkness,
-
-nor the destruction that wastes at noonday.
-
-7A thousand may fall at your side,
-
-ten thousand at your right hand,
-
-but it will not come near you.
-
-8You will only look with your eyes
-
-and see the recompense of the wicked.
-
-9Because you have made the LORD your dwelling place—
-
-the Most High, who is my refuge[211]—
-
-10no evil shall be allowed to befall you,
-
-no plague come near your tent.
-
-11For he will command his angels concerning you
-
-to guard you in all your ways.
-
-12On their hands they will bear you up,
-
-lest you strike your foot against a stone.
-
-13You will tread on the lion and the adder;
-
-the young lion and the serpent you will trample underfoot.
-
-14“Because he holds fast to me in love, I will deliver him;
-
-I will protect him, because he knows my name.
-
-15When he calls to me, I will answer him;
-
-I will be with him in trouble;
-
-I will rescue him and honor him.
-
-16With long life I will satisfy him
-
-and show him my salvation.”
-
-
-
-
-
-How Great Are Your Works
-
-
-A Psalm. A Song for the Sabbath.
-
-
-92:1 It is good to give thanks to the LORD,
-
-to sing praises to your name, O Most High;
-
-2to declare your steadfast love in the morning,
-
-and your faithfulness by night,
-
-3to the music of the lute and the harp,
-
-to the melody of the lyre.
-
-4For you, O LORD, have made me glad by your work;
-
-at the works of your hands I sing for joy.
-
-5How great are your works, O LORD!
-
-Your thoughts are very deep!
-
-6The stupid man cannot know;
-
-the fool cannot understand this:
-
-7that though the wicked sprout like grass
-
-and all evildoers flourish,
-
-they are doomed to destruction forever;
-
-8but you, O LORD, are on high forever.
-
-9For behold, your enemies, O LORD,
-
-for behold, your enemies shall perish;
-
-all evildoers shall be scattered.
-
-10But you have exalted my horn like that of the wild ox;
-
-you have poured over me[212] fresh oil.
-
-11My eyes have seen the downfall of my enemies;
-
-my ears have heard the doom of my evil assailants.
-
-12The righteous flourish like the palm tree
-
-and grow like a cedar in Lebanon.
-
-13They are planted in the house of the LORD;
-
-they flourish in the courts of our God.
-
-14They still bear fruit in old age;
-
-they are ever full of sap and green,
-
-15to declare that the LORD is upright;
-
-he is my rock, and there is no unrighteousness in him.
-
-
-
-
-
-The LORD Reigns
-
-
-93:1 The LORD reigns; he is robed in majesty;
-
-the LORD is robed; he has put on strength as his belt.
-
-Yes, the world is established; it shall never be moved.
-
-2Your throne is established from of old;
-
-you are from everlasting.
-
-3The floods have lifted up, O LORD,
-
-the floods have lifted up their voice;
-
-the floods lift up their roaring.
-
-4Mightier than the thunders of many waters,
-
-mightier than the waves of the sea,
-
-the LORD on high is mighty!
-
-5Your decrees are very trustworthy;
-
-holiness befits your house,
-
-O LORD, forevermore.
-
-
-
-
-
-The LORD Will Not Forsake His People
-
-
-94:1 O LORD, God of vengeance,
-
-O God of vengeance, shine forth!
-
-2Rise up, O judge of the earth;
-
-repay to the proud what they deserve!
-
-3O LORD, how long shall the wicked,
-
-how long shall the wicked exult?
-
-4They pour out their arrogant words;
-
-all the evildoers boast.
-
-5They crush your people, O LORD,
-
-and afflict your heritage.
-
-6They kill the widow and the sojourner,
-
-and murder the fatherless;
-
-7and they say, “The LORD does not see;
-
-the God of Jacob does not perceive.”
-
-8Understand, O dullest of the people!
-
-Fools, when will you be wise?
-
-9He who planted the ear, does he not hear?
-
-He who formed the eye, does he not see?
-
-10He who disciplines the nations, does he not rebuke?
-
-He who teaches man knowledge—
-
-11the LORD—knows the thoughts of man,
-
-that they are but a breath.[213]
-
-12Blessed is the man whom you discipline, O LORD,
-
-and whom you teach out of your law,
-
-13to give him rest from days of trouble,
-
-until a pit is dug for the wicked.
-
-14For the LORD will not forsake his people;
-
-he will not abandon his heritage;
-
-15for justice will return to the righteous,
-
-and all the upright in heart will follow it.
-
-16Who rises up for me against the wicked?
-
-Who stands up for me against evildoers?
-
-17If the LORD had not been my help,
-
-my soul would soon have lived in the land of silence.
-
-18When I thought, “My foot slips,”
-
-your steadfast love, O LORD, held me up.
-
-19When the cares of my heart are many,
-
-your consolations cheer my soul.
-
-20Can wicked rulers be allied with you,
-
-those who frame injustice by statute?
-
-21They band together against the life of the righteous
-
-and condemn the innocent to death.[214]
-
-22But the LORD has become my stronghold,
-
-and my God the rock of my refuge.
-
-23He will bring back on them their iniquity
-
-and wipe them out for their wickedness;
-
-the LORD our God will wipe them out.
-
-
-
-
-
-Let Us Sing Songs of Praise
-
-
-95:1 Oh come, let us sing to the LORD;
-
-let us make a joyful noise to the rock of our salvation!
-
-2Let us come into his presence with thanksgiving;
-
-let us make a joyful noise to him with songs of praise!
-
-3For the LORD is a great God,
-
-and a great King above all gods.
-
-4In his hand are the depths of the earth;
-
-the heights of the mountains are his also.
-
-5The sea is his, for he made it,
-
-and his hands formed the dry land.
-
-6Oh come, let us worship and bow down;
-
-let us kneel before the LORD, our Maker!
-
-7For he is our God,
-
-and we are the people of his pasture,
-
-and the sheep of his hand.
-
-Today, if you hear his voice,
-
-8do not harden your hearts, as at Meribah,
-
-as on the day at Massah in the wilderness,
-
-9when your fathers put me to the test
-
-and put me to the proof, though they had seen my work.
-
-10For forty years I loathed that generation
-
-and said, “They are a people who go astray in their heart,
-
-and they have not known my ways.”
-
-11Therefore I swore in my wrath,
-
-“They shall not enter my rest.”
-
-
-
-
-
-Worship in the Splendor of Holiness
-
-
-96:1 Oh sing to the LORD a new song;
-
-sing to the LORD, all the earth!
-
-2Sing to the LORD, bless his name;
-
-tell of his salvation from day to day.
-
-3Declare his glory among the nations,
-
-his marvelous works among all the peoples!
-
-4For great is the LORD, and greatly to be praised;
-
-he is to be feared above all gods.
-
-5For all the gods of the peoples are worthless idols,
-
-but the LORD made the heavens.
-
-6Splendor and majesty are before him;
-
-strength and beauty are in his sanctuary.
-
-7Ascribe to the LORD, O families of the peoples,
-
-ascribe to the LORD glory and strength!
-
-8Ascribe to the LORD the glory due his name;
-
-bring an offering, and come into his courts!
-
-9Worship the LORD in the splendor of holiness;[215]
-
-tremble before him, all the earth!
-
-10Say among the nations, “The LORD reigns!
-
-Yes, the world is established; it shall never be moved;
-
-he will judge the peoples with equity.”
-
-11Let the heavens be glad, and let the earth rejoice;
-
-let the sea roar, and all that fills it;
-
-12let the field exult, and everything in it!
-
-Then shall all the trees of the forest sing for joy
-
-13before the LORD, for he comes,
-
-for he comes to judge the earth.
-
-He will judge the world in righteousness,
-
-and the peoples in his faithfulness.
-
-
-
-
-
-The LORD Reigns
-
-
-97:1 The LORD reigns, let the earth rejoice;
-
-let the many coastlands be glad!
-
-2Clouds and thick darkness are all around him;
-
-righteousness and justice are the foundation of his throne.
-
-3Fire goes before him
-
-and burns up his adversaries all around.
-
-4His lightnings light up the world;
-
-the earth sees and trembles.
-
-5The mountains melt like wax before the LORD,
-
-before the Lord of all the earth.
-
-6The heavens proclaim his righteousness,
-
-and all the peoples see his glory.
-
-7All worshipers of images are put to shame,
-
-who make their boast in worthless idols;
-
-worship him, all you gods!
-
-8Zion hears and is glad,
-
-and the daughters of Judah rejoice,
-
-because of your judgments, O LORD.
-
-9For you, O LORD, are most high over all the earth;
-
-you are exalted far above all gods.
-
-10O you who love the LORD, hate evil!
-
-He preserves the lives of his saints;
-
-he delivers them from the hand of the wicked.
-
-11Light is sown[216] for the righteous,
-
-and joy for the upright in heart.
-
-12Rejoice in the LORD, O you righteous,
-
-and give thanks to his holy name!
-
-
-
-
-
-Make a Joyful Noise to the LORD
-
-
-A Psalm.
-
-
-98:1 Oh sing to the LORD a new song,
-
-for he has done marvelous things!
-
-His right hand and his holy arm
-
-have worked salvation for him.
-
-2The LORD has made known his salvation;
-
-he has revealed his righteousness in the sight of the nations.
-
-3He has remembered his steadfast love and faithfulness
-
-to the house of Israel.
-
-All the ends of the earth have seen
-
-the salvation of our God.
-
-4Make a joyful noise to the LORD, all the earth;
-
-break forth into joyous song and sing praises!
-
-5Sing praises to the LORD with the lyre,
-
-with the lyre and the sound of melody!
-
-6With trumpets and the sound of the horn
-
-make a joyful noise before the King, the LORD!
-
-7Let the sea roar, and all that fills it;
-
-the world and those who dwell in it!
-
-8Let the rivers clap their hands;
-
-let the hills sing for joy together
-
-9before the LORD, for he comes
-
-to judge the earth.
-
-He will judge the world with righteousness,
-
-and the peoples with equity.
-
-
-
-
-
-The LORD Our God Is Holy
-
-
-99:1 The LORD reigns; let the peoples tremble!
-
-He sits enthroned upon the cherubim; let the earth quake!
-
-2The LORD is great in Zion;
-
-he is exalted over all the peoples.
-
-3Let them praise your great and awesome name!
-
-Holy is he!
-
-4The King in his might loves justice.[217]
-
-You have established equity;
-
-you have executed justice
-
-and righteousness in Jacob.
-
-5Exalt the LORD our God;
-
-worship at his footstool!
-
-Holy is he!
-
-6Moses and Aaron were among his priests,
-
-Samuel also was among those who called upon his name.
-
-They called to the LORD, and he answered them.
-
-7In the pillar of the cloud he spoke to them;
-
-they kept his testimonies
-
-and the statute that he gave them.
-
-8O LORD our God, you answered them;
-
-you were a forgiving God to them,
-
-but an avenger of their wrongdoings.
-
-9Exalt the LORD our God,
-
-and worship at his holy mountain;
-
-for the LORD our God is holy!
-
-
-
-
-
-His Steadfast Love Endures Forever
-
-
-A Psalm for giving thanks.
-
-
-100:1 Make a joyful noise to the LORD, all the earth!
-
-2Serve the LORD with gladness!
-
-Come into his presence with singing!
-
-3Know that the LORD, he is God!
-
-It is he who made us, and we are his;[218]
-
-we are his people, and the sheep of his pasture.
-
-4Enter his gates with thanksgiving,
-
-and his courts with praise!
-
-Give thanks to him; bless his name!
-
-5For the LORD is good;
-
-his steadfast love endures forever,
-
-and his faithfulness to all generations.
-
-
-
-
-
-I Will Walk with Integrity
-
-
-A Psalm of David.
-
-
-101:1 I will sing of steadfast love and justice;
-
-to you, O LORD, I will make music.
-
-2I will ponder the way that is blameless.
-
-Oh when will you come to me?
-
-I will walk with integrity of heart
-
-within my house;
-
-3I will not set before my eyes
-
-anything that is worthless.
-
-I hate the work of those who fall away;
-
-it shall not cling to me.
-
-4A perverse heart shall be far from me;
-
-I will know nothing of evil.
-
-5Whoever slanders his neighbor secretly
-
-I will destroy.
-
-Whoever has a haughty look and an arrogant heart
-
-I will not endure.
-
-6I will look with favor on the faithful in the land,
-
-that they may dwell with me;
-
-he who walks in the way that is blameless
-
-shall minister to me.
-
-7No one who practices deceit
-
-shall dwell in my house;
-
-no one who utters lies
-
-shall continue before my eyes.
-
-8Morning by morning I will destroy
-
-all the wicked in the land,
-
-cutting off all the evildoers
-
-from the city of the LORD.
-
-
-
-
-
-Do Not Hide Your Face from Me
-
-
-A Prayer of one afflicted, when he is faint and pours out his complaint before the LORD.
-
-
-102:1 Hear my prayer, O LORD;
-
-let my cry come to you!
-
-2Do not hide your face from me
-
-in the day of my distress!
-
-Incline your ear to me;
-
-answer me speedily in the day when I call!
-
-3For my days pass away like smoke,
-
-and my bones burn like a furnace.
-
-4My heart is struck down like grass and has withered;
-
-I forget to eat my bread.
-
-5Because of my loud groaning
-
-my bones cling to my flesh.
-
-6I am like a desert owl of the wilderness,
-
-like an owl[219] of the waste places;
-
-7I lie awake;
-
-I am like a lonely sparrow on the housetop.
-
-8All the day my enemies taunt me;
-
-those who deride me use my name for a curse.
-
-9For I eat ashes like bread
-
-and mingle tears with my drink,
-
-10because of your indignation and anger;
-
-for you have taken me up and thrown me down.
-
-11My days are like an evening shadow;
-
-I wither away like grass.
-
-12But you, O LORD, are enthroned forever;
-
-you are remembered throughout all generations.
-
-13You will arise and have pity on Zion;
-
-it is the time to favor her;
-
-the appointed time has come.
-
-14For your servants hold her stones dear
-
-and have pity on her dust.
-
-15Nations will fear the name of the LORD,
-
-and all the kings of the earth will fear your glory.
-
-16For the LORD builds up Zion;
-
-he appears in his glory;
-
-17he regards the prayer of the destitute
-
-and does not despise their prayer.
-
-18Let this be recorded for a generation to come,
-
-so that a people yet to be created may praise the LORD:
-
-19that he looked down from his holy height;
-
-from heaven the LORD looked at the earth,
-
-20to hear the groans of the prisoners,
-
-to set free those who were doomed to die,
-
-21that they may declare in Zion the name of the LORD,
-
-and in Jerusalem his praise,
-
-22when peoples gather together,
-
-and kingdoms, to worship the LORD.
-
-23He has broken my strength in midcourse;
-
-he has shortened my days.
-
-24“O my God,” I say, “take me not away
-
-in the midst of my days—
-
-you whose years endure
-
-throughout all generations!”
-
-25Of old you laid the foundation of the earth,
-
-and the heavens are the work of your hands.
-
-26They will perish, but you will remain;
-
-they will all wear out like a garment.
-
-You will change them like a robe, and they will pass away,
-
-27but you are the same, and your years have no end.
-
-28The children of your servants shall dwell secure;
-
-their offspring shall be established before you.
-
-
-
-
-
-Bless the LORD, O My Soul
-
-
-Of David.
-
-
-103:1 Bless the LORD, O my soul,
-
-and all that is within me,
-
-bless his holy name!
-
-2Bless the LORD, O my soul,
-
-and forget not all his benefits,
-
-3who forgives all your iniquity,
-
-who heals all your diseases,
-
-4who redeems your life from the pit,
-
-who crowns you with steadfast love and mercy,
-
-5who satisfies you with good
-
-so that your youth is renewed like the eagle's.
-
-6The LORD works righteousness
-
-and justice for all who are oppressed.
-
-7He made known his ways to Moses,
-
-his acts to the people of Israel.
-
-8The LORD is merciful and gracious,
-
-slow to anger and abounding in steadfast love.
-
-9He will not always chide,
-
-nor will he keep his anger forever.
-
-10He does not deal with us according to our sins,
-
-nor repay us according to our iniquities.
-
-11For as high as the heavens are above the earth,
-
-so great is his steadfast love toward those who fear him;
-
-12as far as the east is from the west,
-
-so far does he remove our transgressions from us.
-
-13As a father shows compassion to his children,
-
-so the LORD shows compassion to those who fear him.
-
-14For he knows our frame;[220]
-
-he remembers that we are dust.
-
-15As for man, his days are like grass;
-
-he flourishes like a flower of the field;
-
-16for the wind passes over it, and it is gone,
-
-and its place knows it no more.
-
-17But the steadfast love of the LORD is from everlasting to everlasting on those who fear him,
-
-and his righteousness to children's children,
-
-18to those who keep his covenant
-
-and remember to do his commandments.
-
-19The LORD has established his throne in the heavens,
-
-and his kingdom rules over all.
-
-20Bless the LORD, O you his angels,
-
-you mighty ones who do his word,
-
-obeying the voice of his word!
-
-21Bless the LORD, all his hosts,
-
-his ministers, who do his will!
-
-22Bless the LORD, all his works,
-
-in all places of his dominion.
-
-Bless the LORD, O my soul!
-
-
-
-
-
-O LORD My God, You Are Very Great
-
-
-104:1 Bless the LORD, O my soul!
-
-O LORD my God, you are very great!
-
-You are clothed with splendor and majesty,
-
-2covering yourself with light as with a garment,
-
-stretching out the heavens like a tent.
-
-3He lays the beams of his chambers on the waters;
-
-he makes the clouds his chariot;
-
-he rides on the wings of the wind;
-
-4he makes his messengers winds,
-
-his ministers a flaming fire.
-
-5He set the earth on its foundations,
-
-so that it should never be moved.
-
-6You covered it with the deep as with a garment;
-
-the waters stood above the mountains.
-
-7At your rebuke they fled;
-
-at the sound of your thunder they took to flight.
-
-8The mountains rose, the valleys sank down
-
-to the place that you appointed for them.
-
-9You set a boundary that they may not pass,
-
-so that they might not again cover the earth.
-
-10You make springs gush forth in the valleys;
-
-they flow between the hills;
-
-11they give drink to every beast of the field;
-
-the wild donkeys quench their thirst.
-
-12Beside them the birds of the heavens dwell;
-
-they sing among the branches.
-
-13From your lofty abode you water the mountains;
-
-the earth is satisfied with the fruit of your work.
-
-14You cause the grass to grow for the livestock
-
-and plants for man to cultivate,
-
-that he may bring forth food from the earth
-
-15and wine to gladden the heart of man,
-
-oil to make his face shine
-
-and bread to strengthen man's heart.
-
-16The trees of the LORD are watered abundantly,
-
-the cedars of Lebanon that he planted.
-
-17In them the birds build their nests;
-
-the stork has her home in the fir trees.
-
-18The high mountains are for the wild goats;
-
-the rocks are a refuge for the rock badgers.
-
-19He made the moon to mark the seasons;[221]
-
-the sun knows its time for setting.
-
-20You make darkness, and it is night,
-
-when all the beasts of the forest creep about.
-
-21The young lions roar for their prey,
-
-seeking their food from God.
-
-22When the sun rises, they steal away
-
-and lie down in their dens.
-
-23Man goes out to his work
-
-and to his labor until the evening.
-
-24O LORD, how manifold are your works!
-
-In wisdom have you made them all;
-
-the earth is full of your creatures.
-
-25Here is the sea, great and wide,
-
-which teems with creatures innumerable,
-
-living things both small and great.
-
-26There go the ships,
-
-and Leviathan, which you formed to play in it.[222]
-
-27These all look to you,
-
-to give them their food in due season.
-
-28When you give it to them, they gather it up;
-
-when you open your hand, they are filled with good things.
-
-29When you hide your face, they are dismayed;
-
-when you take away their breath, they die
-
-and return to their dust.
-
-30When you send forth your Spirit,[223] they are created,
-
-and you renew the face of the ground.
-
-31May the glory of the LORD endure forever;
-
-may the LORD rejoice in his works,
-
-32who looks on the earth and it trembles,
-
-who touches the mountains and they smoke!
-
-33I will sing to the LORD as long as I live;
-
-I will sing praise to my God while I have being.
-
-34May my meditation be pleasing to him,
-
-for I rejoice in the LORD.
-
-35Let sinners be consumed from the earth,
-
-and let the wicked be no more!
-
-Bless the LORD, O my soul!
-
-Praise the LORD!
-
-
-
-
-
-Tell of All His Wonderful Works
-
-
-105:1 Oh give thanks to the LORD; call upon his name;
-
-make known his deeds among the peoples!
-
-2Sing to him, sing praises to him;
-
-tell of all his wondrous works!
-
-3Glory in his holy name;
-
-let the hearts of those who seek the LORD rejoice!
-
-4Seek the LORD and his strength;
-
-seek his presence continually!
-
-5Remember the wondrous works that he has done,
-
-his miracles, and the judgments he uttered,
-
-6O offspring of Abraham, his servant,
-
-children of Jacob, his chosen ones!
-
-7He is the LORD our God;
-
-his judgments are in all the earth.
-
-8He remembers his covenant forever,
-
-the word that he commanded, for a thousand generations,
-
-9the covenant that he made with Abraham,
-
-his sworn promise to Isaac,
-
-10which he confirmed to Jacob as a statute,
-
-to Israel as an everlasting covenant,
-
-11saying, “To you I will give the land of Canaan
-
-as your portion for an inheritance.”
-
-12When they were few in number,
-
-of little account, and sojourners in it,
-
-13wandering from nation to nation,
-
-from one kingdom to another people,
-
-14he allowed no one to oppress them;
-
-he rebuked kings on their account,
-
-15saying, “Touch not my anointed ones,
-
-do my prophets no harm!”
-
-16When he summoned a famine on the land
-
-and broke all supply[224] of bread,
-
-17he had sent a man ahead of them,
-
-Joseph, who was sold as a slave.
-
-18His feet were hurt with fetters;
-
-his neck was put in a collar of iron;
-
-19until what he had said came to pass,
-
-the word of the LORD tested him.
-
-20The king sent and released him;
-
-the ruler of the peoples set him free;
-
-21he made him lord of his house
-
-and ruler of all his possessions,
-
-22to bind[225] his princes at his pleasure
-
-and to teach his elders wisdom.
-
-23Then Israel came to Egypt;
-
-Jacob sojourned in the land of Ham.
-
-24And the LORD made his people very fruitful
-
-and made them stronger than their foes.
-
-25He turned their hearts to hate his people,
-
-to deal craftily with his servants.
-
-26He sent Moses, his servant,
-
-and Aaron, whom he had chosen.
-
-27They performed his signs among them
-
-and miracles in the land of Ham.
-
-28He sent darkness, and made the land dark;
-
-they did not rebel[226] against his words.
-
-29He turned their waters into blood
-
-and caused their fish to die.
-
-30Their land swarmed with frogs,
-
-even in the chambers of their kings.
-
-31He spoke, and there came swarms of flies,
-
-and gnats throughout their country.
-
-32He gave them hail for rain,
-
-and fiery lightning bolts through their land.
-
-33He struck down their vines and fig trees,
-
-and shattered the trees of their country.
-
-34He spoke, and the locusts came,
-
-young locusts without number,
-
-35which devoured all the vegetation in their land
-
-and ate up the fruit of their ground.
-
-36He struck down all the firstborn in their land,
-
-the firstfruits of all their strength.
-
-37Then he brought out Israel with silver and gold,
-
-and there was none among his tribes who stumbled.
-
-38Egypt was glad when they departed,
-
-for dread of them had fallen upon it.
-
-39He spread a cloud for a covering,
-
-and fire to give light by night.
-
-40They asked, and he brought quail,
-
-and gave them bread from heaven in abundance.
-
-41He opened the rock, and water gushed out;
-
-it flowed through the desert like a river.
-
-42For he remembered his holy promise,
-
-and Abraham, his servant.
-
-43So he brought his people out with joy,
-
-his chosen ones with singing.
-
-44And he gave them the lands of the nations,
-
-and they took possession of the fruit of the peoples' toil,
-
-45that they might keep his statutes
-
-and observe his laws.
-
-Praise the LORD!
-
-
-
-
-
-Give Thanks to the LORD, for He Is Good
-
-
-106:1 Praise the LORD!
-
-Oh give thanks to the LORD, for he is good,
-
-for his steadfast love endures forever!
-
-2Who can utter the mighty deeds of the LORD,
-
-or declare all his praise?
-
-3Blessed are they who observe justice,
-
-who do righteousness at all times!
-
-4Remember me, O LORD, when you show favor to your people;
-
-help me when you save them,[227]
-
-5that I may look upon the prosperity of your chosen ones,
-
-that I may rejoice in the gladness of your nation,
-
-that I may glory with your inheritance.
-
-6Both we and our fathers have sinned;
-
-we have committed iniquity; we have done wickedness.
-
-7Our fathers, when they were in Egypt,
-
-did not consider your wondrous works;
-
-they did not remember the abundance of your steadfast love,
-
-but rebelled by the sea, at the Red Sea.
-
-8Yet he saved them for his name's sake,
-
-that he might make known his mighty power.
-
-9He rebuked the Red Sea, and it became dry,
-
-and he led them through the deep as through a desert.
-
-10So he saved them from the hand of the foe
-
-and redeemed them from the power of the enemy.
-
-11And the waters covered their adversaries;
-
-not one of them was left.
-
-12Then they believed his words;
-
-they sang his praise.
-
-13But they soon forgot his works;
-
-they did not wait for his counsel.
-
-14But they had a wanton craving in the wilderness,
-
-and put God to the test in the desert;
-
-15he gave them what they asked,
-
-but sent a wasting disease among them.
-
-16When men in the camp were jealous of Moses
-
-and Aaron, the holy one of the LORD,
-
-17the earth opened and swallowed up Dathan,
-
-and covered the company of Abiram.
-
-18Fire also broke out in their company;
-
-the flame burned up the wicked.
-
-19They made a calf in Horeb
-
-and worshiped a metal image.
-
-20They exchanged the glory of God
-
-for the image of an ox that eats grass.
-
-21They forgot God, their Savior,
-
-who had done great things in Egypt,
-
-22wondrous works in the land of Ham,
-
-and awesome deeds by the Red Sea.
-
-23Therefore he said he would destroy them—
-
-had not Moses, his chosen one,
-
-stood in the breach before him,
-
-to turn away his wrath from destroying them.
-
-24Then they despised the pleasant land,
-
-having no faith in his promise.
-
-25They murmured in their tents,
-
-and did not obey the voice of the LORD.
-
-26Therefore he raised his hand and swore to them
-
-that he would make them fall in the wilderness,
-
-27and would make their offspring fall among the nations,
-
-scattering them among the lands.
-
-28Then they yoked themselves to the Baal of Peor,
-
-and ate sacrifices offered to the dead;
-
-29they provoked the LORD to anger with their deeds,
-
-and a plague broke out among them.
-
-30Then Phinehas stood up and intervened,
-
-and the plague was stayed.
-
-31And that was counted to him as righteousness
-
-from generation to generation forever.
-
-32They angered him at the waters of Meribah,
-
-and it went ill with Moses on their account,
-
-33for they made his spirit bitter,[228]
-
-and he spoke rashly with his lips.
-
-34They did not destroy the peoples,
-
-as the LORD commanded them,
-
-35but they mixed with the nations
-
-and learned to do as they did.
-
-36They served their idols,
-
-which became a snare to them.
-
-37They sacrificed their sons
-
-and their daughters to the demons;
-
-38they poured out innocent blood,
-
-the blood of their sons and daughters,
-
-whom they sacrificed to the idols of Canaan,
-
-and the land was polluted with blood.
-
-39Thus they became unclean by their acts,
-
-and played the whore in their deeds.
-
-40Then the anger of the LORD was kindled against his people,
-
-and he abhorred his heritage;
-
-41he gave them into the hand of the nations,
-
-so that those who hated them ruled over them.
-
-42Their enemies oppressed them,
-
-and they were brought into subjection under their power.
-
-43Many times he delivered them,
-
-but they were rebellious in their purposes
-
-and were brought low through their iniquity.
-
-44Nevertheless, he looked upon their distress,
-
-when he heard their cry.
-
-45For their sake he remembered his covenant,
-
-and relented according to the abundance of his steadfast love.
-
-46He caused them to be pitied
-
-by all those who held them captive.
-
-47Save us, O LORD our God,
-
-and gather us from among the nations,
-
-that we may give thanks to your holy name
-
-and glory in your praise.
-
-48Blessed be the LORD, the God of Israel,
-
-from everlasting to everlasting!
-
-And let all the people say, “Amen!”
-
-Praise the LORD!
-
-
-
-
-
-Book Five
-
-
-Let the Redeemed of the LORD Say So
-
-
-107:1 Oh give thanks to the LORD, for he is good,
-
-for his steadfast love endures forever!
-
-2Let the redeemed of the LORD say so,
-
-whom he has redeemed from trouble[229]
-
-3and gathered in from the lands,
-
-from the east and from the west,
-
-from the north and from the south.
-
-4Some wandered in desert wastes,
-
-finding no way to a city to dwell in;
-
-5hungry and thirsty,
-
-their soul fainted within them.
-
-6Then they cried to the LORD in their trouble,
-
-and he delivered them from their distress.
-
-7He led them by a straight way
-
-till they reached a city to dwell in.
-
-8Let them thank the LORD for his steadfast love,
-
-for his wondrous works to the children of man!
-
-9For he satisfies the longing soul,
-
-and the hungry soul he fills with good things.
-
-10Some sat in darkness and in the shadow of death,
-
-prisoners in affliction and in irons,
-
-11for they had rebelled against the words of God,
-
-and spurned the counsel of the Most High.
-
-12So he bowed their hearts down with hard labor;
-
-they fell down, with none to help.
-
-13Then they cried to the LORD in their trouble,
-
-and he delivered them from their distress.
-
-14He brought them out of darkness and the shadow of death,
-
-and burst their bonds apart.
-
-15Let them thank the LORD for his steadfast love,
-
-for his wondrous works to the children of man!
-
-16For he shatters the doors of bronze
-
-and cuts in two the bars of iron.
-
-17Some were fools through their sinful ways,
-
-and because of their iniquities suffered affliction;
-
-18they loathed any kind of food,
-
-and they drew near to the gates of death.
-
-19Then they cried to the LORD in their trouble,
-
-and he delivered them from their distress.
-
-20He sent out his word and healed them,
-
-and delivered them from their destruction.
-
-21Let them thank the LORD for his steadfast love,
-
-for his wondrous works to the children of man!
-
-22And let them offer sacrifices of thanksgiving,
-
-and tell of his deeds in songs of joy!
-
-23Some went down to the sea in ships,
-
-doing business on the great waters;
-
-24they saw the deeds of the LORD,
-
-his wondrous works in the deep.
-
-25For he commanded and raised the stormy wind,
-
-which lifted up the waves of the sea.
-
-26They mounted up to heaven; they went down to the depths;
-
-their courage melted away in their evil plight;
-
-27they reeled and staggered like drunken men
-
-and were at their wits' end.[230]
-
-28Then they cried to the LORD in their trouble,
-
-and he delivered them from their distress.
-
-29He made the storm be still,
-
-and the waves of the sea were hushed.
-
-30Then they were glad that the waters[231] were quiet,
-
-and he brought them to their desired haven.
-
-31Let them thank the LORD for his steadfast love,
-
-for his wondrous works to the children of man!
-
-32Let them extol him in the congregation of the people,
-
-and praise him in the assembly of the elders.
-
-33He turns rivers into a desert,
-
-springs of water into thirsty ground,
-
-34a fruitful land into a salty waste,
-
-because of the evil of its inhabitants.
-
-35He turns a desert into pools of water,
-
-a parched land into springs of water.
-
-36And there he lets the hungry dwell,
-
-and they establish a city to live in;
-
-37they sow fields and plant vineyards
-
-and get a fruitful yield.
-
-38By his blessing they multiply greatly,
-
-and he does not let their livestock diminish.
-
-39When they are diminished and brought low
-
-through oppression, evil, and sorrow,
-
-40he pours contempt on princes
-
-and makes them wander in trackless wastes;
-
-41but he raises up the needy out of affliction
-
-and makes their families like flocks.
-
-42The upright see it and are glad,
-
-and all wickedness shuts its mouth.
-
-43Whoever is wise, let him attend to these things;
-
-let them consider the steadfast love of the LORD.
-
-
-
-
-
-With God We Shall Do Valiantly
-
-
-A Song. A Psalm of David.
-
-
-108:1 My heart is steadfast, O God!
-
-I will sing and make melody with all my being![232]
-
-2Awake, O harp and lyre!
-
-I will awake the dawn!
-
-3I will give thanks to you, O LORD, among the peoples;
-
-I will sing praises to you among the nations.
-
-4For your steadfast love is great above the heavens;
-
-your faithfulness reaches to the clouds.
-
-5Be exalted, O God, above the heavens!
-
-Let your glory be over all the earth!
-
-6That your beloved ones may be delivered,
-
-give salvation by your right hand and answer me!
-
-7God has promised in his holiness:[233]
-
-“With exultation I will divide up Shechem
-
-and portion out the Valley of Succoth.
-
-8Gilead is mine; Manasseh is mine;
-
-Ephraim is my helmet,
-
-Judah my scepter.
-
-9Moab is my washbasin;
-
-upon Edom I cast my shoe;
-
-over Philistia I shout in triumph.”
-
-10Who will bring me to the fortified city?
-
-Who will lead me to Edom?
-
-11Have you not rejected us, O God?
-
-You do not go out, O God, with our armies.
-
-12Oh grant us help against the foe,
-
-for vain is the salvation of man!
-
-13With God we shall do valiantly;
-
-it is he who will tread down our foes.
-
-
-
-
-
-Help Me, O LORD My God
-
-
-To the choirmaster. A Psalm of David.
-
-
-109:1 Be not silent, O God of my praise!
-
-2For wicked and deceitful mouths are opened against me,
-
-speaking against me with lying tongues.
-
-3They encircle me with words of hate,
-
-and attack me without cause.
-
-4In return for my love they accuse me,
-
-but I give myself to prayer.[234]
-
-5So they reward me evil for good,
-
-and hatred for my love.
-
-6Appoint a wicked man against him;
-
-let an accuser stand at his right hand.
-
-7When he is tried, let him come forth guilty;
-
-let his prayer be counted as sin!
-
-8May his days be few;
-
-may another take his office!
-
-9May his children be fatherless
-
-and his wife a widow!
-
-10May his children wander about and beg,
-
-seeking food far from the ruins they inhabit!
-
-11May the creditor seize all that he has;
-
-may strangers plunder the fruits of his toil!
-
-12Let there be none to extend kindness to him,
-
-nor any to pity his fatherless children!
-
-13May his posterity be cut off;
-
-may his name be blotted out in the second generation!
-
-14May the iniquity of his fathers be remembered before the LORD,
-
-and let not the sin of his mother be blotted out!
-
-15Let them be before the LORD continually,
-
-that he may cut off the memory of them from the earth!
-
-16For he did not remember to show kindness,
-
-but pursued the poor and needy
-
-and the brokenhearted, to put them to death.
-
-17He loved to curse; let curses come[235] upon him!
-
-He did not delight in blessing; may it be far[236] from him!
-
-18He clothed himself with cursing as his coat;
-
-may it soak[237] into his body like water,
-
-like oil into his bones!
-
-19May it be like a garment that he wraps around him,
-
-like a belt that he puts on every day!
-
-20May this be the reward of my accusers from the LORD,
-
-of those who speak evil against my life!
-
-21But you, O GOD my Lord,
-
-deal on my behalf for your name's sake;
-
-because your steadfast love is good, deliver me!
-
-22For I am poor and needy,
-
-and my heart is stricken within me.
-
-23I am gone like a shadow at evening;
-
-I am shaken off like a locust.
-
-24My knees are weak through fasting;
-
-my body has become gaunt, with no fat.
-
-25I am an object of scorn to my accusers;
-
-when they see me, they wag their heads.
-
-26Help me, O LORD my God!
-
-Save me according to your steadfast love!
-
-27Let them know that this is your hand;
-
-you, O LORD, have done it!
-
-28Let them curse, but you will bless!
-
-They arise and are put to shame, but your servant will be glad!
-
-29May my accusers be clothed with dishonor;
-
-may they be wrapped in their own shame as in a cloak!
-
-30With my mouth I will give great thanks to the LORD;
-
-I will praise him in the midst of the throng.
-
-31For he stands at the right hand of the needy one,
-
-to save him from those who condemn his soul to death.
-
-
-
-
-
-Sit at My Right Hand
-
-
-A Psalm of David.
-
-
-110:1 The LORD says to my Lord:
-
-“Sit at my right hand,
-
-until I make your enemies your footstool.”
-
-2The LORD sends forth from Zion
-
-your mighty scepter.
-
-Rule in the midst of your enemies!
-
-3Your people will offer themselves freely
-
-on the day of your power,[238]
-
-in holy garments;[239]
-
-from the womb of the morning,
-
-the dew of your youth will be yours.[240]
-
-4The LORD has sworn
-
-and will not change his mind,
-
-“You are a priest forever
-
-after the order of Melchizedek.”
-
-5The Lord is at your right hand;
-
-he will shatter kings on the day of his wrath.
-
-6He will execute judgment among the nations,
-
-filling them with corpses;
-
-he will shatter chiefs[241]
-
-over the wide earth.
-
-7He will drink from the brook by the way;
-
-therefore he will lift up his head.
-
-
-
-
-
-Great Are the LORD's Works
-
-
-111:1 [242] Praise the LORD!
-
-I will give thanks to the LORD with my whole heart,
-
-in the company of the upright, in the congregation.
-
-2Great are the works of the LORD,
-
-studied by all who delight in them.
-
-3Full of splendor and majesty is his work,
-
-and his righteousness endures forever.
-
-4He has caused his wondrous works to be remembered;
-
-the LORD is gracious and merciful.
-
-5He provides food for those who fear him;
-
-he remembers his covenant forever.
-
-6He has shown his people the power of his works,
-
-in giving them the inheritance of the nations.
-
-7The works of his hands are faithful and just;
-
-all his precepts are trustworthy;
-
-8they are established forever and ever,
-
-to be performed with faithfulness and uprightness.
-
-9He sent redemption to his people;
-
-he has commanded his covenant forever.
-
-Holy and awesome is his name!
-
-10The fear of the LORD is the beginning of wisdom;
-
-all those who practice it have a good understanding.
-
-His praise endures forever!
-
-
-
-
-
-The Righteous Will Never Be Moved
-
-
-112:1 [243] Praise the LORD!
-
-Blessed is the man who fears the LORD,
-
-who greatly delights in his commandments!
-
-2His offspring will be mighty in the land;
-
-the generation of the upright will be blessed.
-
-3Wealth and riches are in his house,
-
-and his righteousness endures forever.
-
-4Light dawns in the darkness for the upright;
-
-he is gracious, merciful, and righteous.
-
-5It is well with the man who deals generously and lends;
-
-who conducts his affairs with justice.
-
-6For the righteous will never be moved;
-
-he will be remembered forever.
-
-7He is not afraid of bad news;
-
-his heart is firm, trusting in the LORD.
-
-8His heart is steady; he will not be afraid,
-
-until he looks in triumph on his adversaries.
-
-9He has distributed freely; he has given to the poor;
-
-his righteousness endures forever;
-
-his horn is exalted in honor.
-
-10The wicked man sees it and is angry;
-
-he gnashes his teeth and melts away;
-
-the desire of the wicked will perish!
-
-
-
-
-
-Who Is like the LORD Our God?
-
-
-113:1 Praise the LORD!
-
-Praise, O servants of the LORD,
-
-praise the name of the LORD!
-
-2Blessed be the name of the LORD
-
-from this time forth and forevermore!
-
-3From the rising of the sun to its setting,
-
-the name of the LORD is to be praised!
-
-4The LORD is high above all nations,
-
-and his glory above the heavens!
-
-5Who is like the LORD our God,
-
-who is seated on high,
-
-6who looks far down
-
-on the heavens and the earth?
-
-7He raises the poor from the dust
-
-and lifts the needy from the ash heap,
-
-8to make them sit with princes,
-
-with the princes of his people.
-
-9He gives the barren woman a home,
-
-making her the joyous mother of children.
-
-Praise the LORD!
-
-
-
-
-
-Tremble at the Presence of the Lord
-
-
-114:1 When Israel went out from Egypt,
-
-the house of Jacob from a people of strange language,
-
-2Judah became his sanctuary,
-
-Israel his dominion.
-
-3The sea looked and fled;
-
-Jordan turned back.
-
-4The mountains skipped like rams,
-
-the hills like lambs.
-
-5What ails you, O sea, that you flee?
-
-O Jordan, that you turn back?
-
-6O mountains, that you skip like rams?
-
-O hills, like lambs?
-
-7Tremble, O earth, at the presence of the Lord,
-
-at the presence of the God of Jacob,
-
-8who turns the rock into a pool of water,
-
-the flint into a spring of water.
-
-
-
-
-
-To Your Name Give Glory
-
-
-115:1 Not to us, O LORD, not to us, but to your name give glory,
-
-for the sake of your steadfast love and your faithfulness!
-
-2Why should the nations say,
-
-“Where is their God?”
-
-3Our God is in the heavens;
-
-he does all that he pleases.
-
-4Their idols are silver and gold,
-
-the work of human hands.
-
-5They have mouths, but do not speak;
-
-eyes, but do not see.
-
-6They have ears, but do not hear;
-
-noses, but do not smell.
-
-7They have hands, but do not feel;
-
-feet, but do not walk;
-
-and they do not make a sound in their throat.
-
-8Those who make them become like them;
-
-so do all who trust in them.
-
-9O Israel,[244] trust in the LORD!
-
-He is their help and their shield.
-
-10O house of Aaron, trust in the LORD!
-
-He is their help and their shield.
-
-11You who fear the LORD, trust in the LORD!
-
-He is their help and their shield.
-
-12The LORD has remembered us; he will bless us;
-
-he will bless the house of Israel;
-
-he will bless the house of Aaron;
-
-13he will bless those who fear the LORD,
-
-both the small and the great.
-
-14May the LORD give you increase,
-
-you and your children!
-
-15May you be blessed by the LORD,
-
-who made heaven and earth!
-
-16The heavens are the LORD's heavens,
-
-but the earth he has given to the children of man.
-
-17The dead do not praise the LORD,
-
-nor do any who go down into silence.
-
-18But we will bless the LORD
-
-from this time forth and forevermore.
-
-Praise the LORD!
-
-
-
-
-
-I Love the LORD
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-116:1 I love the LORD, because he has heard
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-my voice and my pleas for mercy.
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-2Because he inclined his ear to me,
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-therefore I will call on him as long as I live.
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-3The snares of death encompassed me;
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-the pangs of Sheol laid hold on me;
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-I suffered distress and anguish.
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-4Then I called on the name of the LORD:
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-“O LORD, I pray, deliver my soul!”
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-5Gracious is the LORD, and righteous;
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-our God is merciful.
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-6The LORD preserves the simple;
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-when I was brought low, he saved me.
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-7Return, O my soul, to your rest;
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-for the LORD has dealt bountifully with you.
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-8For you have delivered my soul from death,
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-my eyes from tears,
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-my feet from stumbling;
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-9I will walk before the LORD
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-in the land of the living.
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-10I believed, even when[245] I spoke,
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-“I am greatly afflicted”;
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-11I said in my alarm,
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-“All mankind are liars.”
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-12What shall I render to the LORD
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-for all his benefits to me?
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-13I will lift up the cup of salvation
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-and call on the name of the LORD,
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-14I will pay my vows to the LORD
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-in the presence of all his people.
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-15Precious in the sight of the LORD
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-is the death of his saints.
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-16O LORD, I am your servant;
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-I am your servant, the son of your maidservant.
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-You have loosed my bonds.
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-17I will offer to you the sacrifice of thanksgiving
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-and call on the name of the LORD.
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-18I will pay my vows to the LORD
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-in the presence of all his people,
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-19in the courts of the house of the LORD,
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-in your midst, O Jerusalem.
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-Praise the LORD!
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-The LORD's Faithfulness Endures Forever
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-117:1 Praise the LORD, all nations!
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-Extol him, all peoples!
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-2For great is his steadfast love toward us,
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-and the faithfulness of the LORD endures forever.
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-Praise the LORD!
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-
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-His Steadfast Love Endures Forever
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-118:1 Oh give thanks to the LORD, for he is good;
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-for his steadfast love endures forever!
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-2Let Israel say,
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-“His steadfast love endures forever.”
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-3Let the house of Aaron say,
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-“His steadfast love endures forever.”
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-4Let those who fear the LORD say,
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-“His steadfast love endures forever.”
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-5Out of my distress I called on the LORD;
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-the LORD answered me and set me free.
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-6The LORD is on my side; I will not fear.
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-What can man do to me?
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-7The LORD is on my side as my helper;
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-I shall look in triumph on those who hate me.
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-8It is better to take refuge in the LORD
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-than to trust in man.
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-9It is better to take refuge in the LORD
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-than to trust in princes.
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-10All nations surrounded me;
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-in the name of the LORD I cut them off!
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-11They surrounded me, surrounded me on every side;
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-in the name of the LORD I cut them off!
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-12They surrounded me like bees;
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-they went out like a fire among thorns;
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-in the name of the LORD I cut them off!
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-13I was pushed hard,[246] so that I was falling,
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-but the LORD helped me.
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-14The LORD is my strength and my song;
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-he has become my salvation.
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-15Glad songs of salvation
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-are in the tents of the righteous:
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-“The right hand of the LORD does valiantly,
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-16the right hand of the LORD exalts,
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-the right hand of the LORD does valiantly!”
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-17I shall not die, but I shall live,
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-and recount the deeds of the LORD.
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-18The LORD has disciplined me severely,
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-but he has not given me over to death.
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-19Open to me the gates of righteousness,
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-that I may enter through them
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-and give thanks to the LORD.
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-20This is the gate of the LORD;
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-the righteous shall enter through it.
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-21I thank you that you have answered me
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-and have become my salvation.
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-22The stone that the builders rejected
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-has become the cornerstone.[247]
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-23This is the LORD's doing;
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-it is marvelous in our eyes.
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-24This is the day that the LORD has made;
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-let us rejoice and be glad in it.
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-25Save us, we pray, O LORD!
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-O LORD, we pray, give us success!
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-26Blessed is he who comes in the name of the LORD!
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-We bless you from the house of the LORD.
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-27The LORD is God,
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-and he has made his light to shine upon us.
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-Bind the festal sacrifice with cords,
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-up to the horns of the altar!
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-28You are my God, and I will give thanks to you;
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-you are my God; I will extol you.
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-29Oh give thanks to the LORD, for he is good;
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-for his steadfast love endures forever!
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-Your Word Is a Lamp to My Feet
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-Aleph
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-119:1 [248] Blessed are those whose way is blameless,
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-who walk in the law of the LORD!
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-2Blessed are those who keep his testimonies,
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-who seek him with their whole heart,
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-3who also do no wrong,
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-but walk in his ways!
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-4You have commanded your precepts
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-to be kept diligently.
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-5Oh that my ways may be steadfast
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-in keeping your statutes!
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-6Then I shall not be put to shame,
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-having my eyes fixed on all your commandments.
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-7I will praise you with an upright heart,
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-when I learn your righteous rules.[249]
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-8I will keep your statutes;
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-do not utterly forsake me!
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-
-
-
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-Beth
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-9How can a young man keep his way pure?
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-By guarding it according to your word.
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-10With my whole heart I seek you;
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-let me not wander from your commandments!
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-11I have stored up your word in my heart,
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-that I might not sin against you.
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-12Blessed are you, O LORD;
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-teach me your statutes!
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-13With my lips I declare
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-all the rules[250] of your mouth.
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-14In the way of your testimonies I delight
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-as much as in all riches.
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-15I will meditate on your precepts
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-and fix my eyes on your ways.
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-16I will delight in your statutes;
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-I will not forget your word.
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-
-
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-Gimel
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-17Deal bountifully with your servant,
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-that I may live and keep your word.
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-18Open my eyes, that I may behold
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-wondrous things out of your law.
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-19I am a sojourner on the earth;
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-hide not your commandments from me!
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-20My soul is consumed with longing
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-for your rules[251] at all times.
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-21You rebuke the insolent, accursed ones,
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-who wander from your commandments.
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-22Take away from me scorn and contempt,
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-for I have kept your testimonies.
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-23Even though princes sit plotting against me,
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-your servant will meditate on your statutes.
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-24Your testimonies are my delight;
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-they are my counselors.
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-
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-Daleth
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-25My soul clings to the dust;
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-give me life according to your word!
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-26When I told of my ways, you answered me;
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-teach me your statutes!
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-27Make me understand the way of your precepts,
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-and I will meditate on your wondrous works.
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-28My soul melts away for sorrow;
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-strengthen me according to your word!
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-29Put false ways far from me
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-and graciously teach me your law!
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-30I have chosen the way of faithfulness;
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-I set your rules before me.
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-31I cling to your testimonies, O LORD;
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-let me not be put to shame!
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-32I will run in the way of your commandments
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-when you enlarge my heart![252]
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-
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-He
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-33Teach me, O LORD, the way of your statutes;
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-and I will keep it to the end.[253]
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-34Give me understanding, that I may keep your law
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-and observe it with my whole heart.
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-35Lead me in the path of your commandments,
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-for I delight in it.
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-36Incline my heart to your testimonies,
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-and not to selfish gain!
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-37Turn my eyes from looking at worthless things;
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-and give me life in your ways.
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-38Confirm to your servant your promise,
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-that you may be feared.
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-39Turn away the reproach that I dread,
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-for your rules are good.
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-40Behold, I long for your precepts;
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-in your righteousness give me life!
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-
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-Waw
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-41Let your steadfast love come to me, O LORD,
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-your salvation according to your promise;
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-42then shall I have an answer for him who taunts me,
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-for I trust in your word.
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-43And take not the word of truth utterly out of my mouth,
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-for my hope is in your rules.
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-44I will keep your law continually,
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-forever and ever,
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-45and I shall walk in a wide place,
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-for I have sought your precepts.
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-46I will also speak of your testimonies before kings
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-and shall not be put to shame,
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-47for I find my delight in your commandments,
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-which I love.
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-48I will lift up my hands toward your commandments, which I love,
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-and I will meditate on your statutes.
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-
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-Zayin
-
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-49Remember your word to your servant,
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-in which you have made me hope.
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-50This is my comfort in my affliction,
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-that your promise gives me life.
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-51The insolent utterly deride me,
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-but I do not turn away from your law.
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-52When I think of your rules from of old,
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-I take comfort, O LORD.
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-53Hot indignation seizes me because of the wicked,
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-who forsake your law.
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-54Your statutes have been my songs
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-in the house of my sojourning.
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-55I remember your name in the night, O LORD,
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-and keep your law.
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-56This blessing has fallen to me,
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-that I have kept your precepts.
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-
-
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-Heth
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-57The LORD is my portion;
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-I promise to keep your words.
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-58I entreat your favor with all my heart;
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-be gracious to me according to your promise.
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-59When I think on my ways,
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-I turn my feet to your testimonies;
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-60I hasten and do not delay
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-to keep your commandments.
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-61Though the cords of the wicked ensnare me,
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-I do not forget your law.
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-62At midnight I rise to praise you,
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-because of your righteous rules.
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-63I am a companion of all who fear you,
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-of those who keep your precepts.
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-64The earth, O LORD, is full of your steadfast love;
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-teach me your statutes!
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-
-
-
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-Teth
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-65You have dealt well with your servant,
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-O LORD, according to your word.
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-66Teach me good judgment and knowledge,
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-for I believe in your commandments.
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-67Before I was afflicted I went astray,
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-but now I keep your word.
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-68You are good and do good;
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-teach me your statutes.
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-69The insolent smear me with lies,
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-but with my whole heart I keep your precepts;
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-70their heart is unfeeling like fat,
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-but I delight in your law.
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-71It is good for me that I was afflicted,
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-that I might learn your statutes.
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-72The law of your mouth is better to me
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-than thousands of gold and silver pieces.
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-
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-Yodh
-
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-73Your hands have made and fashioned me;
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-give me understanding that I may learn your commandments.
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-74Those who fear you shall see me and rejoice,
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-because I have hoped in your word.
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-75I know, O LORD, that your rules are righteous,
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-and that in faithfulness you have afflicted me.
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-76Let your steadfast love comfort me
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-according to your promise to your servant.
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-77Let your mercy come to me, that I may live;
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-for your law is my delight.
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-78Let the insolent be put to shame,
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-because they have wronged me with falsehood;
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-as for me, I will meditate on your precepts.
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-79Let those who fear you turn to me,
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-that they may know your testimonies.
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-80May my heart be blameless in your statutes,
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-that I may not be put to shame!
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-
-
-
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-Kaph
-
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-81My soul longs for your salvation;
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-I hope in your word.
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-82My eyes long for your promise;
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-I ask, “When will you comfort me?”
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-83For I have become like a wineskin in the smoke,
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-yet I have not forgotten your statutes.
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-84How long must your servant endure?[254]
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-When will you judge those who persecute me?
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-85The insolent have dug pitfalls for me;
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-they do not live according to your law.
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-86All your commandments are sure;
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-they persecute me with falsehood; help me!
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-87They have almost made an end of me on earth,
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-but I have not forsaken your precepts.
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-88In your steadfast love give me life,
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-that I may keep the testimonies of your mouth.
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-
-
-
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-Lamedh
-
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-89Forever, O LORD, your word
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-is firmly fixed in the heavens.
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-90Your faithfulness endures to all generations;
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-you have established the earth, and it stands fast.
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-91By your appointment they stand this day,
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-for all things are your servants.
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-92If your law had not been my delight,
-
-I would have perished in my affliction.
-
-93I will never forget your precepts,
-
-for by them you have given me life.
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-94I am yours; save me,
-
-for I have sought your precepts.
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-95The wicked lie in wait to destroy me,
-
-but I consider your testimonies.
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-96I have seen a limit to all perfection,
-
-but your commandment is exceedingly broad.
-
-
-
-
-
-Mem
-
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-97Oh how I love your law!
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-It is my meditation all the day.
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-98Your commandment makes me wiser than my enemies,
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-for it is ever with me.
-
-99I have more understanding than all my teachers,
-
-for your testimonies are my meditation.
-
-100I understand more than the aged,[255]
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-for I keep your precepts.
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-101I hold back my feet from every evil way,
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-in order to keep your word.
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-102I do not turn aside from your rules,
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-for you have taught me.
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-103How sweet are your words to my taste,
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-sweeter than honey to my mouth!
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-104Through your precepts I get understanding;
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-therefore I hate every false way.
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-
-
-
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-Nun
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-105Your word is a lamp to my feet
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-and a light to my path.
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-106I have sworn an oath and confirmed it,
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-to keep your righteous rules.
-
-107I am severely afflicted;
-
-give me life, O LORD, according to your word!
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-108Accept my freewill offerings of praise, O LORD,
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-and teach me your rules.
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-109I hold my life in my hand continually,
-
-but I do not forget your law.
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-110The wicked have laid a snare for me,
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-but I do not stray from your precepts.
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-111Your testimonies are my heritage forever,
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-for they are the joy of my heart.
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-112I incline my heart to perform your statutes
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-forever, to the end.[256]
-
-
-
-
-
-Samekh
-
-
-113I hate the double-minded,
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-but I love your law.
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-114You are my hiding place and my shield;
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-I hope in your word.
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-115Depart from me, you evildoers,
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-that I may keep the commandments of my God.
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-116Uphold me according to your promise, that I may live,
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-and let me not be put to shame in my hope!
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-117Hold me up, that I may be safe
-
-and have regard for your statutes continually!
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-118You spurn all who go astray from your statutes,
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-for their cunning is in vain.
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-119All the wicked of the earth you discard like dross,
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-therefore I love your testimonies.
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-120My flesh trembles for fear of you,
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-and I am afraid of your judgments.
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-
-
-
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-Ayin
-
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-121I have done what is just and right;
-
-do not leave me to my oppressors.
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-122Give your servant a pledge of good;
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-let not the insolent oppress me.
-
-123My eyes long for your salvation
-
-and for the fulfillment of your righteous promise.
-
-124Deal with your servant according to your steadfast love,
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-and teach me your statutes.
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-125I am your servant; give me understanding,
-
-that I may know your testimonies!
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-126It is time for the LORD to act,
-
-for your law has been broken.
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-127Therefore I love your commandments
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-above gold, above fine gold.
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-128Therefore I consider all your precepts to be right;
-
-I hate every false way.
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-
-
-
-
-Pe
-
-
-129Your testimonies are wonderful;
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-therefore my soul keeps them.
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-130The unfolding of your words gives light;
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-it imparts understanding to the simple.
-
-131I open my mouth and pant,
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-because I long for your commandments.
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-132Turn to me and be gracious to me,
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-as is your way with those who love your name.
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-133Keep steady my steps according to your promise,
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-and let no iniquity get dominion over me.
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-134Redeem me from man's oppression,
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-that I may keep your precepts.
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-135Make your face shine upon your servant,
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-and teach me your statutes.
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-136My eyes shed streams of tears,
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-because people do not keep your law.
-
-
-
-
-
-Tsadhe
-
-
-137Righteous are you, O LORD,
-
-and right are your rules.
-
-138You have appointed your testimonies in righteousness
-
-and in all faithfulness.
-
-139My zeal consumes me,
-
-because my foes forget your words.
-
-140Your promise is well tried,
-
-and your servant loves it.
-
-141I am small and despised,
-
-yet I do not forget your precepts.
-
-142Your righteousness is righteous forever,
-
-and your law is true.
-
-143Trouble and anguish have found me out,
-
-but your commandments are my delight.
-
-144Your testimonies are righteous forever;
-
-give me understanding that I may live.
-
-
-
-
-
-Qoph
-
-
-145With my whole heart I cry; answer me, O LORD!
-
-I will keep your statutes.
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-146I call to you; save me,
-
-that I may observe your testimonies.
-
-147I rise before dawn and cry for help;
-
-I hope in your words.
-
-148My eyes are awake before the watches of the night,
-
-that I may meditate on your promise.
-
-149Hear my voice according to your steadfast love;
-
-O LORD, according to your justice give me life.
-
-150They draw near who persecute me with evil purpose;
-
-they are far from your law.
-
-151But you are near, O LORD,
-
-and all your commandments are true.
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-152Long have I known from your testimonies
-
-that you have founded them forever.
-
-
-
-
-
-Resh
-
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-153Look on my affliction and deliver me,
-
-for I do not forget your law.
-
-154Plead my cause and redeem me;
-
-give me life according to your promise!
-
-155Salvation is far from the wicked,
-
-for they do not seek your statutes.
-
-156Great is your mercy, O LORD;
-
-give me life according to your rules.
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-157Many are my persecutors and my adversaries,
-
-but I do not swerve from your testimonies.
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-158I look at the faithless with disgust,
-
-because they do not keep your commands.
-
-159Consider how I love your precepts!
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-Give me life according to your steadfast love.
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-160The sum of your word is truth,
-
-and every one of your righteous rules endures forever.
-
-
-
-
-
-Sin and Shin
-
-
-161Princes persecute me without cause,
-
-but my heart stands in awe of your words.
-
-162I rejoice at your word
-
-like one who finds great spoil.
-
-163I hate and abhor falsehood,
-
-but I love your law.
-
-164Seven times a day I praise you
-
-for your righteous rules.
-
-165Great peace have those who love your law;
-
-nothing can make them stumble.
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-166I hope for your salvation, O LORD,
-
-and I do your commandments.
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-167My soul keeps your testimonies;
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-I love them exceedingly.
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-168I keep your precepts and testimonies,
-
-for all my ways are before you.
-
-
-
-
-
-Taw
-
-
-169Let my cry come before you, O LORD;
-
-give me understanding according to your word!
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-170Let my plea come before you;
-
-deliver me according to your word.
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-171My lips will pour forth praise,
-
-for you teach me your statutes.
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-172My tongue will sing of your word,
-
-for all your commandments are right.
-
-173Let your hand be ready to help me,
-
-for I have chosen your precepts.
-
-174I long for your salvation, O LORD,
-
-and your law is my delight.
-
-175Let my soul live and praise you,
-
-and let your rules help me.
-
-176I have gone astray like a lost sheep; seek your servant,
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-for I do not forget your commandments.
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-
-
-
-
-Deliver Me, O LORD
-
-
-A Song of Ascents.
-
-
-120:1 In my distress I called to the LORD,
-
-and he answered me.
-
-2Deliver me, O LORD,
-
-from lying lips,
-
-from a deceitful tongue.
-
-3What shall be given to you,
-
-and what more shall be done to you,
-
-you deceitful tongue?
-
-4A warrior's sharp arrows,
-
-with glowing coals of the broom tree!
-
-5Woe to me, that I sojourn in Meshech,
-
-that I dwell among the tents of Kedar!
-
-6Too long have I had my dwelling
-
-among those who hate peace.
-
-7I am for peace,
-
-but when I speak, they are for war!
-
-
-
-
-
-My Help Comes from the LORD
-
-
-A Song of Ascents.
-
-
-121:1 I lift up my eyes to the hills.
-
-From where does my help come?
-
-2My help comes from the LORD,
-
-who made heaven and earth.
-
-3He will not let your foot be moved;
-
-he who keeps you will not slumber.
-
-4Behold, he who keeps Israel
-
-will neither slumber nor sleep.
-
-5The LORD is your keeper;
-
-the LORD is your shade on your right hand.
-
-6The sun shall not strike you by day,
-
-nor the moon by night.
-
-7The LORD will keep you from all evil;
-
-he will keep your life.
-
-8The LORD will keep
-
-your going out and your coming in
-
-from this time forth and forevermore.
-
-
-
-
-
-Let Us Go to the House of the LORD
-
-
-A Song of Ascents. Of David.
-
-
-122:1 I was glad when they said to me,
-
-“Let us go to the house of the LORD!”
-
-2Our feet have been standing
-
-within your gates, O Jerusalem!
-
-3Jerusalem—built as a city
-
-that is bound firmly together,
-
-4to which the tribes go up,
-
-the tribes of the LORD,
-
-as was decreed for[257] Israel,
-
-to give thanks to the name of the LORD.
-
-5There thrones for judgment were set,
-
-the thrones of the house of David.
-
-6Pray for the peace of Jerusalem!
-
-“May they be secure who love you!
-
-7Peace be within your walls
-
-and security within your towers!”
-
-8For my brothers and companions' sake
-
-I will say, “Peace be within you!”
-
-9For the sake of the house of the LORD our God,
-
-I will seek your good.
-
-
-
-
-
-Our Eyes Look to the LORD Our God
-
-
-A Song of Ascents.
-
-
-123:1 To you I lift up my eyes,
-
-O you who are enthroned in the heavens!
-
-2Behold, as the eyes of servants
-
-look to the hand of their master,
-
-as the eyes of a maidservant
-
-to the hand of her mistress,
-
-so our eyes look to the LORD our God,
-
-till he has mercy upon us.
-
-3Have mercy upon us, O LORD, have mercy upon us,
-
-for we have had more than enough of contempt.
-
-4Our soul has had more than enough
-
-of the scorn of those who are at ease,
-
-of the contempt of the proud.
-
-
-
-
-
-Our Help Is in the Name of the LORD
-
-
-A Song of Ascents. Of David.
-
-
-124:1 If it had not been the LORD who was on our side—
-
-let Israel now say—
-
-2if it had not been the LORD who was on our side
-
-when people rose up against us,
-
-3then they would have swallowed us up alive,
-
-when their anger was kindled against us;
-
-4then the flood would have swept us away,
-
-the torrent would have gone over us;
-
-5then over us would have gone
-
-the raging waters.
-
-6Blessed be the LORD,
-
-who has not given us
-
-as prey to their teeth!
-
-7We have escaped like a bird
-
-from the snare of the fowlers;
-
-the snare is broken,
-
-and we have escaped!
-
-8Our help is in the name of the LORD,
-
-who made heaven and earth.
-
-
-
-
-
-The LORD Surrounds His People
-
-
-A Song of Ascents.
-
-
-125:1 Those who trust in the LORD are like Mount Zion,
-
-which cannot be moved, but abides forever.
-
-2As the mountains surround Jerusalem,
-
-so the LORD surrounds his people,
-
-from this time forth and forevermore.
-
-3For the scepter of wickedness shall not rest
-
-on the land allotted to the righteous,
-
-lest the righteous stretch out
-
-their hands to do wrong.
-
-4Do good, O LORD, to those who are good,
-
-and to those who are upright in their hearts!
-
-5But those who turn aside to their crooked ways
-
-the LORD will lead away with evildoers!
-
-Peace be upon Israel!
-
-
-
-
-
-Restore Our Fortunes, O LORD
-
-
-A Song of Ascents.
-
-
-126:1 When the LORD restored the fortunes of Zion,
-
-we were like those who dream.
-
-2Then our mouth was filled with laughter,
-
-and our tongue with shouts of joy;
-
-then they said among the nations,
-
-“The LORD has done great things for them.”
-
-3The LORD has done great things for us;
-
-we are glad.
-
-4Restore our fortunes, O LORD,
-
-like streams in the Negeb!
-
-5Those who sow in tears
-
-shall reap with shouts of joy!
-
-6He who goes out weeping,
-
-bearing the seed for sowing,
-
-shall come home with shouts of joy,
-
-bringing his sheaves with him.
-
-
-
-
-
-Unless the LORD Builds the House
-
-
-A Song of Ascents. Of Solomon.
-
-
-127:1 Unless the LORD builds the house,
-
-those who build it labor in vain.
-
-Unless the LORD watches over the city,
-
-the watchman stays awake in vain.
-
-2It is in vain that you rise up early
-
-and go late to rest,
-
-eating the bread of anxious toil;
-
-for he gives to his beloved sleep.
-
-3Behold, children are a heritage from the LORD,
-
-the fruit of the womb a reward.
-
-4Like arrows in the hand of a warrior
-
-are the children[258] of one's youth.
-
-5Blessed is the man
-
-who fills his quiver with them!
-
-He shall not be put to shame
-
-when he speaks with his enemies in the gate.[259]
-
-
-
-
-
-Blessed Is Everyone Who Fears the LORD
-
-
-A Song of Ascents.
-
-
-128:1 Blessed is everyone who fears the LORD,
-
-who walks in his ways!
-
-2You shall eat the fruit of the labor of your hands;
-
-you shall be blessed, and it shall be well with you.
-
-3Your wife will be like a fruitful vine
-
-within your house;
-
-your children will be like olive shoots
-
-around your table.
-
-4Behold, thus shall the man be blessed
-
-who fears the LORD.
-
-5The LORD bless you from Zion!
-
-May you see the prosperity of Jerusalem
-
-all the days of your life!
-
-6May you see your children's children!
-
-Peace be upon Israel!
-
-
-
-
-
-They Have Afflicted Me from My Youth
-
-
-A Song of Ascents.
-
-
-129:1 “Greatly[260] have they afflicted me from my youth”—
-
-let Israel now say—
-
-2“Greatly have they afflicted me from my youth,
-
-yet they have not prevailed against me.
-
-3The plowers plowed upon my back;
-
-they made long their furrows.”
-
-4The LORD is righteous;
-
-he has cut the cords of the wicked.
-
-5May all who hate Zion
-
-be put to shame and turned backward!
-
-6Let them be like the grass on the housetops,
-
-which withers before it grows up,
-
-7with which the reaper does not fill his hand
-
-nor the binder of sheaves his arms,
-
-8nor do those who pass by say,
-
-“The blessing of the LORD be upon you!
-
-We bless you in the name of the LORD!”
-
-
-
-
-
-My Soul Waits for the Lord
-
-
-A Song of Ascents.
-
-
-130:1 Out of the depths I cry to you, O LORD!
-
-2O Lord, hear my voice!
-
-Let your ears be attentive
-
-to the voice of my pleas for mercy!
-
-3If you, O LORD, should mark iniquities,
-
-O Lord, who could stand?
-
-4But with you there is forgiveness,
-
-that you may be feared.
-
-5I wait for the LORD, my soul waits,
-
-and in his word I hope;
-
-6my soul waits for the Lord
-
-more than watchmen for the morning,
-
-more than watchmen for the morning.
-
-7O Israel, hope in the LORD!
-
-For with the LORD there is steadfast love,
-
-and with him is plentiful redemption.
-
-8And he will redeem Israel
-
-from all his iniquities.
-
-
-
-
-
-I Have Calmed and Quieted My Soul
-
-
-A Song of Ascents. Of David.
-
-
-131:1 O LORD, my heart is not lifted up;
-
-my eyes are not raised too high;
-
-I do not occupy myself with things
-
-too great and too marvelous for me.
-
-2But I have calmed and quieted my soul,
-
-like a weaned child with its mother;
-
-like a weaned child is my soul within me.
-
-3O Israel, hope in the LORD
-
-from this time forth and forevermore.
-
-
-
-
-
-The LORD Has Chosen Zion
-
-
-A Song of Ascents.
-
-
-132:1 Remember, O LORD, in David's favor,
-
-all the hardships he endured,
-
-2how he swore to the LORD
-
-and vowed to the Mighty One of Jacob,
-
-3“I will not enter my house
-
-or get into my bed,
-
-4I will not give sleep to my eyes
-
-or slumber to my eyelids,
-
-5until I find a place for the LORD,
-
-a dwelling place for the Mighty One of Jacob.”
-
-6Behold, we heard of it in Ephrathah;
-
-we found it in the fields of Jaar.
-
-7“Let us go to his dwelling place;
-
-let us worship at his footstool!”
-
-8Arise, O LORD, and go to your resting place,
-
-you and the ark of your might.
-
-9Let your priests be clothed with righteousness,
-
-and let your saints shout for joy.
-
-10For the sake of your servant David,
-
-do not turn away the face of your anointed one.
-
-11The LORD swore to David a sure oath
-
-from which he will not turn back:
-
-“One of the sons of your body[261]
-
-I will set on your throne.
-
-12If your sons keep my covenant
-
-and my testimonies that I shall teach them,
-
-their sons also forever
-
-shall sit on your throne.”
-
-13For the LORD has chosen Zion;
-
-he has desired it for his dwelling place:
-
-14“This is my resting place forever;
-
-here I will dwell, for I have desired it.
-
-15I will abundantly bless her provisions;
-
-I will satisfy her poor with bread.
-
-16Her priests I will clothe with salvation,
-
-and her saints will shout for joy.
-
-17There I will make a horn to sprout for David;
-
-I have prepared a lamp for my anointed.
-
-18His enemies I will clothe with shame,
-
-but on him his crown will shine.”
-
-
-
-
-
-When Brothers Dwell in Unity
-
-
-A Song of Ascents. Of David.
-
-
-133:1 Behold, how good and pleasant it is
-
-when brothers dwell in unity![262]
-
-2It is like the precious oil on the head,
-
-running down on the beard,
-
-on the beard of Aaron,
-
-running down on the collar of his robes!
-
-3It is like the dew of Hermon,
-
-which falls on the mountains of Zion!
-
-For there the LORD has commanded the blessing,
-
-life forevermore.
-
-
-
-
-
-Come, Bless the LORD
-
-
-A Song of Ascents.
-
-
-134:1 Come, bless the LORD, all you servants of the LORD,
-
-who stand by night in the house of the LORD!
-
-2Lift up your hands to the holy place
-
-and bless the LORD!
-
-3May the LORD bless you from Zion,
-
-he who made heaven and earth!
-
-
-
-
-
-Your Name, O LORD, Endures Forever
-
-
-135:1 Praise the LORD!
-
-Praise the name of the LORD,
-
-give praise, O servants of the LORD,
-
-2who stand in the house of the LORD,
-
-in the courts of the house of our God!
-
-3Praise the LORD, for the LORD is good;
-
-sing to his name, for it is pleasant![263]
-
-4For the LORD has chosen Jacob for himself,
-
-Israel as his own possession.
-
-5For I know that the LORD is great,
-
-and that our Lord is above all gods.
-
-6Whatever the LORD pleases, he does,
-
-in heaven and on earth,
-
-in the seas and all deeps.
-
-7He it is who makes the clouds rise at the end of the earth,
-
-who makes lightnings for the rain
-
-and brings forth the wind from his storehouses.
-
-8He it was who struck down the firstborn of Egypt,
-
-both of man and of beast;
-
-9who in your midst, O Egypt,
-
-sent signs and wonders
-
-against Pharaoh and all his servants;
-
-10who struck down many nations
-
-and killed mighty kings,
-
-11Sihon, king of the Amorites,
-
-and Og, king of Bashan,
-
-and all the kingdoms of Canaan,
-
-12and gave their land as a heritage,
-
-a heritage to his people Israel.
-
-13Your name, O LORD, endures forever,
-
-your renown,[264] O LORD, throughout all ages.
-
-14For the LORD will vindicate his people
-
-and have compassion on his servants.
-
-15The idols of the nations are silver and gold,
-
-the work of human hands.
-
-16They have mouths, but do not speak;
-
-they have eyes, but do not see;
-
-17they have ears, but do not hear,
-
-nor is there any breath in their mouths.
-
-18Those who make them become like them,
-
-so do all who trust in them!
-
-19O house of Israel, bless the LORD!
-
-O house of Aaron, bless the LORD!
-
-20O house of Levi, bless the LORD!
-
-You who fear the LORD, bless the LORD!
-
-21Blessed be the LORD from Zion,
-
-he who dwells in Jerusalem!
-
-Praise the LORD!
-
-
-
-
-
-His Steadfast Love Endures Forever
-
-
-136:1 Give thanks to the LORD, for he is good,
-
-for his steadfast love endures forever.
-
-2Give thanks to the God of gods,
-
-for his steadfast love endures forever.
-
-3Give thanks to the Lord of lords,
-
-for his steadfast love endures forever;
-
-4to him who alone does great wonders,
-
-for his steadfast love endures forever;
-
-5to him who by understanding made the heavens,
-
-for his steadfast love endures forever;
-
-6to him who spread out the earth above the waters,
-
-for his steadfast love endures forever;
-
-7to him who made the great lights,
-
-for his steadfast love endures forever;
-
-8the sun to rule over the day,
-
-for his steadfast love endures forever;
-
-9the moon and stars to rule over the night,
-
-for his steadfast love endures forever;
-
-10to him who struck down the firstborn of Egypt,
-
-for his steadfast love endures forever;
-
-11and brought Israel out from among them,
-
-for his steadfast love endures forever;
-
-12with a strong hand and an outstretched arm,
-
-for his steadfast love endures forever;
-
-13to him who divided the Red Sea in two,
-
-for his steadfast love endures forever;
-
-14and made Israel pass through the midst of it,
-
-for his steadfast love endures forever;
-
-15but overthrew[265] Pharaoh and his host in the Red Sea,
-
-for his steadfast love endures forever;
-
-16to him who led his people through the wilderness,
-
-for his steadfast love endures forever;
-
-17to him who struck down great kings,
-
-for his steadfast love endures forever;
-
-18and killed mighty kings,
-
-for his steadfast love endures forever;
-
-19Sihon, king of the Amorites,
-
-for his steadfast love endures forever;
-
-20and Og, king of Bashan,
-
-for his steadfast love endures forever;
-
-21and gave their land as a heritage,
-
-for his steadfast love endures forever;
-
-22a heritage to Israel his servant,
-
-for his steadfast love endures forever.
-
-23It is he who remembered us in our low estate,
-
-for his steadfast love endures forever;
-
-24and rescued us from our foes,
-
-for his steadfast love endures forever;
-
-25he who gives food to all flesh,
-
-for his steadfast love endures forever.
-
-26Give thanks to the God of heaven,
-
-for his steadfast love endures forever.
-
-
-
-
-
-How Shall We Sing the LORD's Song?
-
-
-137:1 By the waters of Babylon,
-
-there we sat down and wept,
-
-when we remembered Zion.
-
-2On the willows[266] there
-
-we hung up our lyres.
-
-3For there our captors
-
-required of us songs,
-
-and our tormentors, mirth, saying,
-
-“Sing us one of the songs of Zion!”
-
-4How shall we sing the LORD's song
-
-in a foreign land?
-
-5If I forget you, O Jerusalem,
-
-let my right hand forget its skill!
-
-6Let my tongue stick to the roof of my mouth,
-
-if I do not remember you,
-
-if I do not set Jerusalem
-
-above my highest joy!
-
-7Remember, O LORD, against the Edomites
-
-the day of Jerusalem,
-
-how they said, “Lay it bare, lay it bare,
-
-down to its foundations!”
-
-8O daughter of Babylon, doomed to be destroyed,
-
-blessed shall he be who repays you
-
-with what you have done to us!
-
-9Blessed shall he be who takes your little ones
-
-and dashes them against the rock!
-
-
-
-
-
-Give Thanks to the LORD
-
-
-Of David.
-
-
-138:1 I give you thanks, O LORD, with my whole heart;
-
-before the gods I sing your praise;
-
-2I bow down toward your holy temple
-
-and give thanks to your name for your steadfast love and your faithfulness,
-
-for you have exalted above all things
-
-your name and your word.[267]
-
-3On the day I called, you answered me;
-
-my strength of soul you increased.[268]
-
-4All the kings of the earth shall give you thanks, O LORD,
-
-for they have heard the words of your mouth,
-
-5and they shall sing of the ways of the LORD,
-
-for great is the glory of the LORD.
-
-6For though the LORD is high, he regards the lowly,
-
-but the haughty he knows from afar.
-
-7Though I walk in the midst of trouble,
-
-you preserve my life;
-
-you stretch out your hand against the wrath of my enemies,
-
-and your right hand delivers me.
-
-8The LORD will fulfill his purpose for me;
-
-your steadfast love, O LORD, endures forever.
-
-Do not forsake the work of your hands.
-
-
-
-
-
-Search Me, O God, and Know My Heart
-
-
-To the choirmaster. A Psalm of David.
-
-
-139:1 O LORD, you have searched me and known me!
-
-2You know when I sit down and when I rise up;
-
-you discern my thoughts from afar.
-
-3You search out my path and my lying down
-
-and are acquainted with all my ways.
-
-4Even before a word is on my tongue,
-
-behold, O LORD, you know it altogether.
-
-5You hem me in, behind and before,
-
-and lay your hand upon me.
-
-6Such knowledge is too wonderful for me;
-
-it is high; I cannot attain it.
-
-7Where shall I go from your Spirit?
-
-Or where shall I flee from your presence?
-
-8If I ascend to heaven, you are there!
-
-If I make my bed in Sheol, you are there!
-
-9If I take the wings of the morning
-
-and dwell in the uttermost parts of the sea,
-
-10even there your hand shall lead me,
-
-and your right hand shall hold me.
-
-11If I say, “Surely the darkness shall cover me,
-
-and the light about me be night,”
-
-12even the darkness is not dark to you;
-
-the night is bright as the day,
-
-for darkness is as light with you.
-
-13For you formed my inward parts;
-
-you knitted me together in my mother's womb.
-
-14I praise you, for I am fearfully and wonderfully made.[269]
-
-Wonderful are your works;
-
-my soul knows it very well.
-
-15My frame was not hidden from you,
-
-when I was being made in secret,
-
-intricately woven in the depths of the earth.
-
-16Your eyes saw my unformed substance;
-
-in your book were written, every one of them,
-
-the days that were formed for me,
-
-when as yet there was none of them.
-
-17How precious to me are your thoughts, O God!
-
-How vast is the sum of them!
-
-18If I would count them, they are more than the sand.
-
-I awake, and I am still with you.
-
-19Oh that you would slay the wicked, O God!
-
-O men of blood, depart from me!
-
-20They speak against you with malicious intent;
-
-your enemies take your name in vain![270]
-
-21Do I not hate those who hate you, O LORD?
-
-And do I not loathe those who rise up against you?
-
-22I hate them with complete hatred;
-
-I count them my enemies.
-
-23Search me, O God, and know my heart!
-
-Try me and know my thoughts![271]
-
-24And see if there be any grievous way in me,
-
-and lead me in the way everlasting![272]
-
-
-
-
-
-Deliver Me, O LORD, from Evil Men
-
-
-To the choirmaster. A Psalm of David.
-
-
-140:1 Deliver me, O LORD, from evil men;
-
-preserve me from violent men,
-
-2who plan evil things in their heart
-
-and stir up wars continually.
-
-3They make their tongue sharp as a serpent's,
-
-and under their lips is the venom of asps. Selah
-
-4Guard me, O LORD, from the hands of the wicked;
-
-preserve me from violent men,
-
-who have planned to trip up my feet.
-
-5The arrogant have hidden a trap for me,
-
-and with cords they have spread a net;[273]
-
-beside the way they have set snares for me. Selah
-
-6I say to the LORD, You are my God;
-
-give ear to the voice of my pleas for mercy, O LORD!
-
-7O LORD, my Lord, the strength of my salvation,
-
-you have covered my head in the day of battle.
-
-8Grant not, O LORD, the desires of the wicked;
-
-do not further their[274] evil plot, or they will be exalted! Selah
-
-9As for the head of those who surround me,
-
-let the mischief of their lips overwhelm them!
-
-10Let burning coals fall upon them!
-
-Let them be cast into fire,
-
-into miry pits, no more to rise!
-
-11Let not the slanderer be established in the land;
-
-let evil hunt down the violent man speedily!
-
-12I know that the LORD will maintain the cause of the afflicted,
-
-and will execute justice for the needy.
-
-13Surely the righteous shall give thanks to your name;
-
-the upright shall dwell in your presence.
-
-
-
-
-
-Give Ear to My Voice
-
-
-A Psalm of David.
-
-
-141:1 O LORD, I call upon you; hasten to me!
-
-Give ear to my voice when I call to you!
-
-2Let my prayer be counted as incense before you,
-
-and the lifting up of my hands as the evening sacrifice!
-
-3Set a guard, O LORD, over my mouth;
-
-keep watch over the door of my lips!
-
-4Do not let my heart incline to any evil,
-
-to busy myself with wicked deeds
-
-in company with men who work iniquity,
-
-and let me not eat of their delicacies!
-
-5Let a righteous man strike me—it is a kindness;
-
-let him rebuke me—it is oil for my head;
-
-let my head not refuse it.
-
-Yet my prayer is continually against their evil deeds.
-
-6When their judges are thrown over the cliff,[275]
-
-then they shall hear my words, for they are pleasant.
-
-7As when one plows and breaks up the earth,
-
-so shall our bones be scattered at the mouth of Sheol.[276]
-
-8But my eyes are toward you, O GOD, my Lord;
-
-in you I seek refuge; leave me not defenseless![277]
-
-9Keep me from the trap that they have laid for me
-
-and from the snares of evildoers!
-
-10Let the wicked fall into their own nets,
-
-while I pass by safely.
-
-
-
-
-
-You Are My Refuge
-
-
-A Maskil[278] of David, when he was in the cave. A Prayer.
-
-
-142:1 With my voice I cry out to the LORD;
-
-with my voice I plead for mercy to the LORD.
-
-2I pour out my complaint before him;
-
-I tell my trouble before him.
-
-3When my spirit faints within me,
-
-you know my way!
-
-In the path where I walk
-
-they have hidden a trap for me.
-
-4Look to the right and see:
-
-there is none who takes notice of me;
-
-no refuge remains to me;
-
-no one cares for my soul.
-
-5I cry to you, O LORD;
-
-I say, “You are my refuge,
-
-my portion in the land of the living.”
-
-6Attend to my cry,
-
-for I am brought very low!
-
-Deliver me from my persecutors,
-
-for they are too strong for me!
-
-7Bring me out of prison,
-
-that I may give thanks to your name!
-
-The righteous will surround me,
-
-for you will deal bountifully with me.
-
-
-
-
-
-My Soul Thirsts for You
-
-
-A Psalm of David.
-
-
-143:1 Hear my prayer, O LORD;
-
-give ear to my pleas for mercy!
-
-In your faithfulness answer me, in your righteousness!
-
-2Enter not into judgment with your servant,
-
-for no one living is righteous before you.
-
-3For the enemy has pursued my soul;
-
-he has crushed my life to the ground;
-
-he has made me sit in darkness like those long dead.
-
-4Therefore my spirit faints within me;
-
-my heart within me is appalled.
-
-5I remember the days of old;
-
-I meditate on all that you have done;
-
-I ponder the work of your hands.
-
-6I stretch out my hands to you;
-
-my soul thirsts for you like a parched land. Selah
-
-7Answer me quickly, O LORD!
-
-My spirit fails!
-
-Hide not your face from me,
-
-lest I be like those who go down to the pit.
-
-8Let me hear in the morning of your steadfast love,
-
-for in you I trust.
-
-Make me know the way I should go,
-
-for to you I lift up my soul.
-
-9Deliver me from my enemies, O LORD!
-
-I have fled to you for refuge![279]
-
-10Teach me to do your will,
-
-for you are my God!
-
-Let your good Spirit lead me
-
-on level ground!
-
-11For your name's sake, O LORD, preserve my life!
-
-In your righteousness bring my soul out of trouble!
-
-12And in your steadfast love you will cut off my enemies,
-
-and you will destroy all the adversaries of my soul,
-
-for I am your servant.
-
-
-
-
-
-My Rock and My Fortress
-
-
-Of David.
-
-
-144:1 Blessed be the LORD, my rock,
-
-who trains my hands for war,
-
-and my fingers for battle;
-
-2he is my steadfast love and my fortress,
-
-my stronghold and my deliverer,
-
-my shield and he in whom I take refuge,
-
-who subdues peoples[280] under me.
-
-3O LORD, what is man that you regard him,
-
-or the son of man that you think of him?
-
-4Man is like a breath;
-
-his days are like a passing shadow.
-
-5Bow your heavens, O LORD, and come down!
-
-Touch the mountains so that they smoke!
-
-6Flash forth the lightning and scatter them;
-
-send out your arrows and rout them!
-
-7Stretch out your hand from on high;
-
-rescue me and deliver me from the many waters,
-
-from the hand of foreigners,
-
-8whose mouths speak lies
-
-and whose right hand is a right hand of falsehood.
-
-9I will sing a new song to you, O God;
-
-upon a ten-stringed harp I will play to you,
-
-10who gives victory to kings,
-
-who rescues David his servant from the cruel sword.
-
-11Rescue me and deliver me
-
-from the hand of foreigners,
-
-whose mouths speak lies
-
-and whose right hand is a right hand of falsehood.
-
-12May our sons in their youth
-
-be like plants full grown,
-
-our daughters like corner pillars
-
-cut for the structure of a palace;
-
-13may our granaries be full,
-
-providing all kinds of produce;
-
-may our sheep bring forth thousands
-
-and ten thousands in our fields;
-
-14may our cattle be heavy with young,
-
-suffering no mishap or failure in bearing;[281]
-
-may there be no cry of distress in our streets!
-
-15Blessed are the people to whom such blessings fall!
-
-Blessed are the people whose God is the LORD!
-
-
-
-
-
-Great Is the LORD
-
-
-[282] A Song of Praise. Of David.
-
-
-145:1 I will extol you, my God and King,
-
-and bless your name forever and ever.
-
-2Every day I will bless you
-
-and praise your name forever and ever.
-
-3Great is the LORD, and greatly to be praised,
-
-and his greatness is unsearchable.
-
-4One generation shall commend your works to another,
-
-and shall declare your mighty acts.
-
-5On the glorious splendor of your majesty,
-
-and on your wondrous works, I will meditate.
-
-6They shall speak of the might of your awesome deeds,
-
-and I will declare your greatness.
-
-7They shall pour forth the fame of your abundant goodness
-
-and shall sing aloud of your righteousness.
-
-8The LORD is gracious and merciful,
-
-slow to anger and abounding in steadfast love.
-
-9The LORD is good to all,
-
-and his mercy is over all that he has made.
-
-10All your works shall give thanks to you, O LORD,
-
-and all your saints shall bless you!
-
-11They shall speak of the glory of your kingdom
-
-and tell of your power,
-
-12to make known to the children of man your[283] mighty deeds,
-
-and the glorious splendor of your kingdom.
-
-13Your kingdom is an everlasting kingdom,
-
-and your dominion endures throughout all generations.
-
-[The LORD is faithful in all his words
-
-and kind in all his works.][284]
-
-14The LORD upholds all who are falling
-
-and raises up all who are bowed down.
-
-15The eyes of all look to you,
-
-and you give them their food in due season.
-
-16You open your hand;
-
-you satisfy the desire of every living thing.
-
-17The LORD is righteous in all his ways
-
-and kind in all his works.
-
-18The LORD is near to all who call on him,
-
-to all who call on him in truth.
-
-19He fulfills the desire of those who fear him;
-
-he also hears their cry and saves them.
-
-20The LORD preserves all who love him,
-
-but all the wicked he will destroy.
-
-21My mouth will speak the praise of the LORD,
-
-and let all flesh bless his holy name forever and ever.
-
-
-
-
-
-Put Not Your Trust in Princes
-
-
-146:1 Praise the LORD!
-
-Praise the LORD, O my soul!
-
-2I will praise the LORD as long as I live;
-
-I will sing praises to my God while I have my being.
-
-3Put not your trust in princes,
-
-in a son of man, in whom there is no salvation.
-
-4When his breath departs, he returns to the earth;
-
-on that very day his plans perish.
-
-5Blessed is he whose help is the God of Jacob,
-
-whose hope is in the LORD his God,
-
-6who made heaven and earth,
-
-the sea, and all that is in them,
-
-who keeps faith forever;
-
-7who executes justice for the oppressed,
-
-who gives food to the hungry.
-
-The LORD sets the prisoners free;
-
-8the LORD opens the eyes of the blind.
-
-The LORD lifts up those who are bowed down;
-
-the LORD loves the righteous.
-
-9The LORD watches over the sojourners;
-
-he upholds the widow and the fatherless,
-
-but the way of the wicked he brings to ruin.
-
-10The LORD will reign forever,
-
-your God, O Zion, to all generations.
-
-Praise the LORD!
-
-
-
-
-
-He Heals the Brokenhearted
-
-
-147:1 Praise the LORD!
-
-For it is good to sing praises to our God;
-
-for it is pleasant,[285] and a song of praise is fitting.
-
-2The LORD builds up Jerusalem;
-
-he gathers the outcasts of Israel.
-
-3He heals the brokenhearted
-
-and binds up their wounds.
-
-4He determines the number of the stars;
-
-he gives to all of them their names.
-
-5Great is our Lord, and abundant in power;
-
-his understanding is beyond measure.
-
-6The LORD lifts up the humble;[286]
-
-he casts the wicked to the ground.
-
-7Sing to the LORD with thanksgiving;
-
-make melody to our God on the lyre!
-
-8He covers the heavens with clouds;
-
-he prepares rain for the earth;
-
-he makes grass grow on the hills.
-
-9He gives to the beasts their food,
-
-and to the young ravens that cry.
-
-10His delight is not in the strength of the horse,
-
-nor his pleasure in the legs of a man,
-
-11but the LORD takes pleasure in those who fear him,
-
-in those who hope in his steadfast love.
-
-12Praise the LORD, O Jerusalem!
-
-Praise your God, O Zion!
-
-13For he strengthens the bars of your gates;
-
-he blesses your children within you.
-
-14He makes peace in your borders;
-
-he fills you with the finest of the wheat.
-
-15He sends out his command to the earth;
-
-his word runs swiftly.
-
-16He gives snow like wool;
-
-he scatters hoarfrost like ashes.
-
-17He hurls down his crystals of ice like crumbs;
-
-who can stand before his cold?
-
-18He sends out his word, and melts them;
-
-he makes his wind blow and the waters flow.
-
-19He declares his word to Jacob,
-
-his statutes and rules[287] to Israel.
-
-20He has not dealt thus with any other nation;
-
-they do not know his rules.[288]
-
-Praise the LORD!
-
-
-
-
-
-Praise the Name of the LORD
-
-
-148:1 Praise the LORD!
-
-Praise the LORD from the heavens;
-
-praise him in the heights!
-
-2Praise him, all his angels;
-
-praise him, all his hosts!
-
-3Praise him, sun and moon,
-
-praise him, all you shining stars!
-
-4Praise him, you highest heavens,
-
-and you waters above the heavens!
-
-5Let them praise the name of the LORD!
-
-For he commanded and they were created.
-
-6And he established them forever and ever;
-
-he gave a decree, and it shall not pass away.[289]
-
-7Praise the LORD from the earth,
-
-you great sea creatures and all deeps,
-
-8fire and hail, snow and mist,
-
-stormy wind fulfilling his word!
-
-9Mountains and all hills,
-
-fruit trees and all cedars!
-
-10Beasts and all livestock,
-
-creeping things and flying birds!
-
-11Kings of the earth and all peoples,
-
-princes and all rulers of the earth!
-
-12Young men and maidens together,
-
-old men and children!
-
-13Let them praise the name of the LORD,
-
-for his name alone is exalted;
-
-his majesty is above earth and heaven.
-
-14He has raised up a horn for his people,
-
-praise for all his saints,
-
-for the people of Israel who are near to him.
-
-Praise the LORD!
-
-
-
-
-
-Sing to the LORD a New Song
-
-
-149:1 Praise the LORD!
-
-Sing to the LORD a new song,
-
-his praise in the assembly of the godly!
-
-2Let Israel be glad in his Maker;
-
-let the children of Zion rejoice in their King!
-
-3Let them praise his name with dancing,
-
-making melody to him with tambourine and lyre!
-
-4For the LORD takes pleasure in his people;
-
-he adorns the humble with salvation.
-
-5Let the godly exult in glory;
-
-let them sing for joy on their beds.
-
-6Let the high praises of God be in their throats
-
-and two-edged swords in their hands,
-
-7to execute vengeance on the nations
-
-and punishments on the peoples,
-
-8to bind their kings with chains
-
-and their nobles with fetters of iron,
-
-9to execute on them the judgment written!
-
-This is honor for all his godly ones.
-
-Praise the LORD!
-
-
-
-
-
-Let Everything Praise the LORD
-
-
-150:1 Praise the LORD!
-
-Praise God in his sanctuary;
-
-praise him in his mighty heavens![290]
-
-2Praise him for his mighty deeds;
-
-praise him according to his excellent greatness!
-
-3Praise him with trumpet sound;
-
-praise him with lute and harp!
-
-4Praise him with tambourine and dance;
-
-praise him with strings and pipe!
-
-5Praise him with sounding cymbals;
-
-praise him with loud clashing cymbals!
-
-6Let everything that has breath praise the LORD!
-
-Praise the LORD!
-
-
-
-
-
-Footnotes
-
-
-[1] 1:1 The singular Hebrew word for man (ish) is used here to portray a representative example of a godly person; see preface
-
-[2] 1:2 Or instruction
-
-[3] 2:1 Or nations noisily assemble
-
-[4] 2:9 Revocalization yields (compare Septuagint) You shall rule
-
-[5] 3:2 The meaning of the Hebrew word Selah, used frequently in the Psalms, is uncertain. It may be a musical or liturgical direction
-
-[6] 4:2 Or O men of rank
-
-[7] 4:4 Or Be agitated
-
-[8] 5:3 Or I direct my prayer to you
-
-[9] 6:1 Probably a musical or liturgical term
-
-[10] 7:1 Probably a musical or liturgical term
-
-[11] 7:4 Hebrew the one at peace with me
-
-[12] 7:9 Hebrew the hearts and kidneys
-
-[13] 7:12 Hebrew he
-
-[14] 7:12 Hebrew he
-
-[15] 8:1 Probably a musical or liturgical term
-
-[16] 8:5 Or than God; Septuagint than the angels
-
-[17] 9:1 Psalms 9 and 10 together follow an acrostic pattern, each stanza beginning with the successive letters of the Hebrew alphabet. In the Septuagint they form one psalm
-
-[18] 9:1 Probably a musical or liturgical term
-
-[19] 9:3 Or because of
-
-[20] 9:16 Probably a musical or liturgical term
-
-[21] 10:3 Or and he blesses the one greedy for gain
-
-[22] 10:4 Or of his anger
-
-[23] 10:4 Or the wicked says, “He will not call to account”
-
-[24] 11:3 Or for the foundations will be destroyed; what has the righteous done?
-
-[25] 12:1 Probably a musical or liturgical term
-
-[26] 12:7 Or guard him
-
-[27] 14:2 Or that act wisely
-
-[28] 14:6 Or for
-
-[29] 16:1 Probably a musical or liturgical term
-
-[30] 16:3 Or To the saints in the land, the excellent in whom is all my delight, I say:
-
-[31] 16:4 Or who acquire
-
-[32] 16:7 Hebrew my kidneys instruct me
-
-[33] 16:9 Hebrew my glory
-
-[34] 16:10 Or see the pit
-
-[35] 17:7 Or Distinguish me by
-
-[36] 17:14 Or from men whose portion in life is of the world
-
-[37] 17:14 Or As for your treasured ones, you fill their womb
-
-[38] 18:4 Or terrified me
-
-[39] 18:8 Or in his wrath
-
-[40] 18:22 Or just decrees
-
-[41] 18:30 Or blameless
-
-[42] 18:40 Or You gave me my enemies' necks
-
-[43] 19:1 Hebrew the expanse; compare Genesis 1:6-8
-
-[44] 19:4 Or Their measuring line
-
-[45] 19:7 Or blameless
-
-[46] 19:9 Or just decrees
-
-[47] 21:6 Or make him a source of blessing forever
-
-[48] 22:3 Or dwelling in the praises
-
-[49] 22:16 Some Hebrew manuscripts, Septuagint, Vulgate, Syriac; most Hebrew manuscripts like a lion [they are at] my hands and feet
-
-[50] 22:21 Hebrew answered
-
-[51] 22:26 Or The meek
-
-[52] 23:2 Hebrew beside waters of rest
-
-[53] 23:3 Or in right paths
-
-[54] 23:4 Or the valley of deep darkness
-
-[55] 23:6 Or Only
-
-[56] 23:6 Or steadfast love
-
-[57] 23:6 Or shall return to dwell
-
-[58] 23:6 Hebrew for length of days
-
-[59] 24:1 Or and all that fills it
-
-[60] 24:6 Septuagint, Syriac, and two Hebrew manuscripts; Masoretic Text Jacob, who seek your face
-
-[61] 25:1 This psalm is an acrostic poem, each verse beginning with the successive letters of the Hebrew alphabet
-
-[62] 25:14 Or The secret counsel
-
-[63] 26:2 Hebrew test my kidneys and my heart
-
-[64] 27:1 Or refuge
-
-[65] 27:3 Or in this
-
-[66] 27:4 Or meditate
-
-[67] 27:8 The command (seek) is addressed to more than one person
-
-[68] 27:8 The meaning of the Hebrew verse is uncertain
-
-[69] 27:13 Other Hebrew manuscripts Oh! Had I not believed
-
-[70] 28:2 Hebrew your innermost sanctuary
-
-[71] 28:8 Some Hebrew manuscripts, Septuagint, Syriac; most Hebrew manuscripts is their strength
-
-[72] 29:1 Hebrew sons of God, or sons of might
-
-[73] 29:2 Or in holy attire
-
-[74] 29:9 Revocalization yields makes the oaks to shake
-
-[75] 29:11 Or The LORD will give . . . The LORD will bless
-
-[76] 30:3 Or to life, that I should not go down to the pit
-
-[77] 30:4 Hebrew to the memorial of his holiness (see Exodus 3:15)
-
-[78] 30:5 Or and in his favor is life
-
-[79] 30:9 Hebrew in my blood
-
-[80] 30:9 Or to corruption
-
-[81] 31:6 Masoretic Text; one Hebrew manuscript, Septuagint, Syriac, Jerome You hate
-
-[82] 31:22 Or in my haste
-
-[83] 32:1 Probably a musical or liturgical term
-
-[84] 32:4 Hebrew my vitality was changed
-
-[85] 34:1 This psalm is an acrostic poem, each verse beginning with the successive letters of the Hebrew alphabet
-
-[86] 35:3 Or and close the way
-
-[87] 35:7 The word pit is transposed from the preceding line; Hebrew For without cause they hid the pit of their net for me; without cause they dug for my life
-
-[88] 35:11 Or Violent
-
-[89] 35:12 Hebrew it is bereavement to my soul
-
-[90] 35:13 Or my prayer shall turn back
-
-[91] 35:16 The meaning of the Hebrew phrase is uncertain
-
-[92] 36:1 Some Hebrew manuscripts, Syriac, Jerome (compare Septuagint); most Hebrew manuscripts in my heart
-
-[93] 37:1 This psalm is an acrostic poem, each stanza beginning with the successive letters of the Hebrew alphabet
-
-[94] 37:3 Or and feed on faithfulness, or and find safe pasture
-
-[95] 37:22 Hebrew by him
-
-[96] 37:35 The identity of this tree is uncertain
-
-[97] 37:36 Or But one passed by
-
-[98] 39:6 Hebrew Surely as a breath
-
-[99] 40:6 Hebrew ears you have dug for me
-
-[100] 40:9 Hebrew righteousness; also verse 10
-
-[101] 41:1 Or weak
-
-[102] 41:3 Hebrew you turn all his bed
-
-[103] 41:4 Hebrew my soul
-
-[104] 41:7 Or they devise evil against me
-
-[105] 41:8 Or has fastened
-
-[106] 42:1 Probably a musical or liturgical term
-
-[107] 42:2 Revocalization yields and see the face of God
-
-[108] 42:5 Hebrew the salvation of my face; also verse 11 and 43:5
-
-[109] 44:1 Probably a musical or liturgical term
-
-[110] 44:14 Hebrew a shaking of the head
-
-[111] 45:1 Probably a musical or liturgical term
-
-[112] 45:12 Hebrew daughter
-
-[113] 45:12 Or The daughter of Tyre is here with gifts, the richest of people seek your favor
-
-[114] 46:1 Probably a musical or liturgical term
-
-[115] 46:1 Or well proved
-
-[116] 47:7 Hebrew maskil
-
-[117] 48:14 Septuagint; another reading is (compare Jerome, Syriac) He will guide us beyond death
-
-[118] 49:11 Septuagint, Syriac, Targum; Hebrew Their inward thought was that their homes were forever
-
-[119] 49:13 Or and of those after them who approve of their boasts
-
-[120] 50:3 Or May our God come, and not keep silence
-
-[121] 50:14 Or Make thanksgiving your sacrifice to God
-
-[122] 50:21 Or that the I AM
-
-[123] 51:1 Or Be gracious to me
-
-[124] 51:10 Or steadfast
-
-[125] 52:1 Probably a musical or liturgical term
-
-[126] 52:7 Or in his work of destruction
-
-[127] 53:1 Probably musical or liturgical terms
-
-[128] 53:2 Or who act wisely
-
-[129] 54:1 Probably a musical or liturgical term
-
-[130] 54:3 Some Hebrew manuscripts and Targum insolent men (compare Psalm 86:14)
-
-[131] 55:1 Probably a musical or liturgical term
-
-[132] 55:20 Hebrew He
-
-[133] 56:1 Probably a musical or liturgical term
-
-[134] 56:5 Or they twist my words
-
-[135] 56:8 Or wanderings
-
-[136] 56:9 Or because
-
-[137] 57:1 Probably a musical or liturgical term
-
-[138] 57:8 Or my whole being
-
-[139] 58:1 Probably a musical or liturgical term
-
-[140] 58:1 Or mighty lords (by revocalization; Hebrew in silence)
-
-[141] 58:9 The meaning of the Hebrew verse is uncertain
-
-[142] 59:1 Probably a musical or liturgical term
-
-[143] 59:7 Hebrew lacks they think
-
-[144] 59:10 Or The God who shows me steadfast love
-
-[145] 59:11 Or wander
-
-[146] 60:1 Probably musical or liturgical terms
-
-[147] 60:4 Or that it may be displayed because of truth
-
-[148] 60:6 Or sanctuary
-
-[149] 60:8 Revocalization (compare Psalm 108:10); Masoretic Text over me, O Philistia, shout in triumph
-
-[150] 65:1 Or Praise waits for you in silence
-
-[151] 65:9 Or and make it overflow
-
-[152] 66:17 Hebrew under
-
-[153] 66:17 Or and he was exalted with my tongue
-
-[154] 68:10 Or your congregation
-
-[155] 68:15 Or hunch-backed; also verse 16
-
-[156] 68:24 Or has been
-
-[157] 68:26 The Hebrew for you is plural here
-
-[158] 68:28 Probable reading; Hebrew Your God has summoned your power
-
-[159] 68:30 The meaning of the Hebrew verse is uncertain
-
-[160] 68:35 Septuagint; Hebrew your
-
-[161] 69:1 Or waters threaten my life
-
-[162] 69:10 Hebrew lacks and humbled
-
-[163] 69:22 Hebrew; a slight revocalization yields (compare Septuagint, Syriac, Jerome) a snare, and retribution and a trap
-
-[164] 69:27 Hebrew may they not come into your righteousness
-
-[165] 72:5 Septuagint He shall endure
-
-[166] 72:8 That is, the Euphrates
-
-[167] 73:10 Probable reading; Hebrew the waters of a full cup are drained by them
-
-[168] 73:26 Hebrew rock
-
-[169] 74:1 Probably a musical or liturgical term
-
-[170] 74:5 The meaning of the Hebrew is uncertain
-
-[171] 74:11 Hebrew from your bosom
-
-[172] 74:13 Or the great sea creatures
-
-[173] 75:1 Hebrew They
-
-[174] 76:10 Or extremity
-
-[175] 77:6 Hebrew lacks I said
-
-[176] 77:10 Or This is my grief: that the right hand of the Most High has changed
-
-[177] 77:19 Hebrew unknown
-
-[178] 78:1 Probably a musical or liturgical term
-
-[179] 78:9 Hebrew armed and shooting
-
-[180] 78:33 Hebrew in
-
-[181] 78:33 Or vapor
-
-[182] 78:42 Hebrew hand
-
-[183] 79:8 Or the iniquities of former generations
-
-[184] 80:3 Or Turn us again; also verses 7, 19
-
-[185] 80:11 That is, the Euphrates
-
-[186] 81:1 Probably a musical or liturgical term
-
-[187] 81:4 Or just decree
-
-[188] 81:5 Or against
-
-[189] 81:6 Hebrew his; also next line
-
-[190] 81:16 That is, Israel; Hebrew him
-
-[191] 82:7 Or fall as one man, O princes
-
-[192] 83:13 Or like a tumbleweed
-
-[193] 84:1 Probably a musical or liturgical term
-
-[194] 84:5 Hebrew lacks to Zion
-
-[195] 87:4 Probably Nubia
-
-[196] 88:1 Probably musical or liturgical terms
-
-[197] 88:8 Or an abomination
-
-[198] 88:15 The meaning of the Hebrew word is uncertain
-
-[199] 88:18 Or darkness has become my only companion
-
-[200] 89:1 Probably a musical or liturgical term
-
-[201] 89:6 Hebrew the sons of God, or the sons of might
-
-[202] 89:19 Some Hebrew manuscripts godly ones
-
-[203] 89:28 Or will remain faithful
-
-[204] 89:30 Or my just decrees
-
-[205] 89:50 Hebrew lacks the insults
-
-[206] 90:1 Some Hebrew manuscripts (compare Septuagint) our refuge
-
-[207] 90:3 Or of Adam
-
-[208] 90:10 Or pride
-
-[209] 90:17 Or beauty
-
-[210] 91:2 Septuagint He will say
-
-[211] 91:9 Or For you, O LORD, are my refuge! You have made the Most High your dwelling place
-
-[212] 92:10 Compare Syriac; the meaning of the Hebrew is uncertain
-
-[213] 94:11 Septuagint they are futile
-
-[214] 94:21 Hebrew condemn innocent blood
-
-[215] 96:9 Or in holy attire
-
-[216] 97:11 Most Hebrew manuscripts; one Hebrew manuscript, Septuagint, Syriac, Jerome Light dawns
-
-[217] 99:4 Or The might of the King loves justice
-
-[218] 100:3 Or and not we ourselves
-
-[219] 102:6 The precise identity of these birds is uncertain
-
-[220] 103:14 Or knows how we are formed
-
-[221] 104:19 Or the appointed times (compare Genesis 1:14)
-
-[222] 104:26 Or you formed to play with
-
-[223] 104:30 Or breath
-
-[224] 105:16 Hebrew staff
-
-[225] 105:22 Septuagint, Syriac, Jerome instruct
-
-[226] 105:28 Septuagint, Syriac omit not
-
-[227] 106:4 Or Remember me, O LORD, with the favor you show to your people; help me with your salvation
-
-[228] 106:33 Or they rebelled against God's Spirit
-
-[229] 107:2 Or from the hand of the foe
-
-[230] 107:27 Hebrew and all their wisdom was swallowed up
-
-[231] 107:30 Hebrew they
-
-[232] 108:1 Hebrew with my glory
-
-[233] 108:7 Or sanctuary
-
-[234] 109:4 Hebrew but I am prayer
-
-[235] 109:17 Revocalization; Masoretic Text curses have come
-
-[236] 109:17 Revocalization; Masoretic Text it is far
-
-[237] 109:18 Revocalization; Masoretic Text it has soaked
-
-[238] 110:3 Or on the day you lead your forces
-
-[239] 110:3 Masoretic Text; some Hebrew manuscripts and Jerome on the holy mountains
-
-[240] 110:3 The meaning of the Hebrew is uncertain
-
-[241] 110:6 Or the head
-
-[242] 111:1 This psalm is an acrostic poem, each line beginning with the successive letters of the Hebrew alphabet
-
-[243] 112:1 This psalm is an acrostic poem, each line beginning with the successive letters of the Hebrew alphabet
-
-[244] 115:9 Masoretic Text; many Hebrew manuscripts, Septuagint, Syriac O house of Israel
-
-[245] 116:10 Or believed, indeed; Septuagint believed, therefore
-
-[246] 118:13 Hebrew You (that is, the enemy) pushed me hard
-
-[247] 118:22 Hebrew the head of the corner
-
-[248] 119:1 This psalm is an acrostic poem of twenty-two stanzas, following the letters of the Hebrew alphabet; within a stanza, each verse begins with the same Hebrew letter
-
-[249] 119:7 Or your just and righteous decrees; also verses 62, 106, 160, 164
-
-[250] 119:13 Or all the just decrees
-
-[251] 119:20 Or your just decrees; also verses 30, 39, 43, 52, 75, 102, 108, 137, 156, 175
-
-[252] 119:32 Or for you set my heart free
-
-[253] 119:33 Or keep it as my reward
-
-[254] 119:84 Hebrew How many are the days of your servant?
-
-[255] 119:100 Or the elders
-
-[256] 119:112 Or statutes; the reward is eternal
-
-[257] 122:4 Or as a testimony for
-
-[258] 127:4 Or sons
-
-[259] 127:5 Or They shall not be put to shame when they speak with their enemies in the gate
-
-[260] 129:1 Or Often; also verse 2
-
-[261] 132:11 Hebrew of your fruit of the womb
-
-[262] 133:1 Or dwell together
-
-[263] 135:3 Or for he is beautiful
-
-[264] 135:13 Or remembrance
-
-[265] 136:15 Hebrew shook off
-
-[266] 137:2 Or poplars
-
-[267] 138:2 Or you have exalted your word above all your name
-
-[268] 138:3 Hebrew you made me bold in my soul with strength
-
-[269] 139:14 Or for I am fearfully set apart
-
-[270] 139:20 Hebrew lacks your name
-
-[271] 139:23 Or cares
-
-[272] 139:24 Or in the ancient way (compare Jeremiah 6:16)
-
-[273] 140:5 Or they have spread cords as a net
-
-[274] 140:8 Hebrew his
-
-[275] 141:6 Or When their judges fall into the hands of the Rock
-
-[276] 141:7 The meaning of the Hebrew in verses 6, 7 is uncertain
-
-[277] 141:8 Hebrew refuge; do not pour out my life!
-
-[278] 142:1 Probably a musical or liturgical term
-
-[279] 143:9 One Hebrew manuscript, Septuagint; most Hebrew manuscripts To you I have covered
-
-[280] 144:2 Many Hebrew manuscripts, Dead Sea Scroll, Jerome, Syriac, Aquila; most Hebrew manuscripts subdues my people
-
-[281] 144:14 Hebrew with no breaking in or going out
-
-[282] 145:1 This psalm is an acrostic poem, each verse beginning with the successive letters of the Hebrew alphabet
-
-[283] 145:12 Hebrew his; also next line
-
-[284] 145:13 These two lines are supplied by one Hebrew manuscript, Septuagint, Syriac (compare Dead Sea Scroll)
-
-[285] 147:1 Or for he is beautiful
-
-[286] 147:6 Or afflicted
-
-[287] 147:19 Or and just decrees
-
-[288] 147:20 Or his just decrees
-
-[289] 148:6 Or it shall not be transgressed
-
-[290] 150:1 Hebrew expanse (compare Genesis 1:6-8)
-
-
-
-
-
-PROVERBS
-
-
-Chapter 1
-
-Chapter 2
-
-Chapter 3
-
-Chapter 4
-
-Chapter 5
-
-Chapter 6
-
-Chapter 7
-
-Chapter 8
-
-Chapter 9
-
-Chapter 10
-
-Chapter 11
-
-Chapter 12
-
-Chapter 13
-
-Chapter 14
-
-Chapter 15
-
-Chapter 16
-
-Chapter 17
-
-Chapter 18
-
-Chapter 19
-
-Chapter 20
-
-Chapter 21
-
-Chapter 22
-
-Chapter 23
-
-Chapter 24
-
-Chapter 25
-
-Chapter 26
-
-Chapter 27
-
-Chapter 28
-
-Chapter 29
-
-Chapter 30
-
-Chapter 31
-
-
-
-
-
-The Beginning of Knowledge
-
-
-1:1 The proverbs of Solomon, son of David, king of Israel:
-
-2To know wisdom and instruction,
-
-to understand words of insight,
-
-3to receive instruction in wise dealing,
-
-in righteousness, justice, and equity;
-
-4to give prudence to the simple,
-
-knowledge and discretion to the youth—
-
-5Let the wise hear and increase in learning,
-
-and the one who understands obtain guidance,
-
-6to understand a proverb and a saying,
-
-the words of the wise and their riddles.
-
-7The fear of the LORD is the beginning of knowledge;
-
-fools despise wisdom and instruction.
-
-
-
-
-
-The Enticement of Sinners
-
-
-8Hear, my son, your father's instruction,
-
-and forsake not your mother's teaching,
-
-9for they are a graceful garland for your head
-
-and pendants for your neck.
-
-10My son, if sinners entice you,
-
-do not consent.
-
-11If they say, “Come with us, let us lie in wait for blood;
-
-let us ambush the innocent without reason;
-
-12like Sheol let us swallow them alive,
-
-and whole, like those who go down to the pit;
-
-13we shall find all precious goods,
-
-we shall fill our houses with plunder;
-
-14throw in your lot among us;
-
-we will all have one purse”—
-
-15my son, do not walk in the way with them;
-
-hold back your foot from their paths,
-
-16for their feet run to evil,
-
-and they make haste to shed blood.
-
-17For in vain is a net spread
-
-in the sight of any bird,
-
-18but these men lie in wait for their own blood;
-
-they set an ambush for their own lives.
-
-19Such are the ways of everyone who is greedy for unjust gain;
-
-it takes away the life of its possessors.
-
-
-
-
-
-The Call of Wisdom
-
-
-20Wisdom cries aloud in the street,
-
-in the markets she raises her voice;
-
-21at the head of the noisy streets she cries out;
-
-at the entrance of the city gates she speaks:
-
-22“How long, O simple ones, will you love being simple?
-
-How long will scoffers delight in their scoffing
-
-and fools hate knowledge?
-
-23If you turn at my reproof,[1]
-
-behold, I will pour out my spirit to you;
-
-I will make my words known to you.
-
-24Because I have called and you refused to listen,
-
-have stretched out my hand and no one has heeded,
-
-25because you have ignored all my counsel
-
-and would have none of my reproof,
-
-26I also will laugh at your calamity;
-
-I will mock when terror strikes you,
-
-27when terror strikes you like a storm
-
-and your calamity comes like a whirlwind,
-
-when distress and anguish come upon you.
-
-28Then they will call upon me, but I will not answer;
-
-they will seek me diligently but will not find me.
-
-29Because they hated knowledge
-
-and did not choose the fear of the LORD,
-
-30would have none of my counsel
-
-and despised all my reproof,
-
-31therefore they shall eat the fruit of their way,
-
-and have their fill of their own devices.
-
-32For the simple are killed by their turning away,
-
-and the complacency of fools destroys them;
-
-33but whoever listens to me will dwell secure
-
-and will be at ease, without dread of disaster.”
-
-
-
-
-
-The Value of Wisdom
-
-
-2:1 My son, if you receive my words
-
-and treasure up my commandments with you,
-
-2making your ear attentive to wisdom
-
-and inclining your heart to understanding;
-
-3yes, if you call out for insight
-
-and raise your voice for understanding,
-
-4if you seek it like silver
-
-and search for it as for hidden treasures,
-
-5then you will understand the fear of the LORD
-
-and find the knowledge of God.
-
-6For the LORD gives wisdom;
-
-from his mouth come knowledge and understanding;
-
-7he stores up sound wisdom for the upright;
-
-he is a shield to those who walk in integrity,
-
-8guarding the paths of justice
-
-and watching over the way of his saints.
-
-9Then you will understand righteousness and justice
-
-and equity, every good path;
-
-10for wisdom will come into your heart,
-
-and knowledge will be pleasant to your soul;
-
-11discretion will watch over you,
-
-understanding will guard you,
-
-12delivering you from the way of evil,
-
-from men of perverted speech,
-
-13who forsake the paths of uprightness
-
-to walk in the ways of darkness,
-
-14who rejoice in doing evil
-
-and delight in the perverseness of evil,
-
-15men whose paths are crooked,
-
-and who are devious in their ways.
-
-16So you will be delivered from the forbidden[2] woman,
-
-from the adulteress[3] with her smooth words,
-
-17who forsakes the companion of her youth
-
-and forgets the covenant of her God;
-
-18for her house sinks down to death,
-
-and her paths to the departed;[4]
-
-19none who go to her come back,
-
-nor do they regain the paths of life.
-
-20So you will walk in the way of the good
-
-and keep to the paths of the righteous.
-
-21For the upright will inhabit the land,
-
-and those with integrity will remain in it,
-
-22but the wicked will be cut off from the land,
-
-and the treacherous will be rooted out of it.
-
-
-
-
-
-Trust in the LORD with All Your Heart
-
-
-3:1 My son, do not forget my teaching,
-
-but let your heart keep my commandments,
-
-2for length of days and years of life
-
-and peace they will add to you.
-
-3Let not steadfast love and faithfulness forsake you;
-
-bind them around your neck;
-
-write them on the tablet of your heart.
-
-4So you will find favor and good success[5]
-
-in the sight of God and man.
-
-5Trust in the LORD with all your heart,
-
-and do not lean on your own understanding.
-
-6In all your ways acknowledge him,
-
-and he will make straight your paths.
-
-7Be not wise in your own eyes;
-
-fear the LORD, and turn away from evil.
-
-8It will be healing to your flesh[6]
-
-and refreshment[7] to your bones.
-
-9Honor the LORD with your wealth
-
-and with the firstfruits of all your produce;
-
-10then your barns will be filled with plenty,
-
-and your vats will be bursting with wine.
-
-11My son, do not despise the LORD's discipline
-
-or be weary of his reproof,
-
-12for the LORD reproves him whom he loves,
-
-as a father the son in whom he delights.
-
-
-
-
-
-Blessed Is the One Who Finds Wisdom
-
-
-13Blessed is the one who finds wisdom,
-
-and the one who gets understanding,
-
-14for the gain from her is better than gain from silver
-
-and her profit better than gold.
-
-15She is more precious than jewels,
-
-and nothing you desire can compare with her.
-
-16Long life is in her right hand;
-
-in her left hand are riches and honor.
-
-17Her ways are ways of pleasantness,
-
-and all her paths are peace.
-
-18She is a tree of life to those who lay hold of her;
-
-those who hold her fast are called blessed.
-
-19The LORD by wisdom founded the earth;
-
-by understanding he established the heavens;
-
-20by his knowledge the deeps broke open,
-
-and the clouds drop down the dew.
-
-21My son, do not lose sight of these—
-
-keep sound wisdom and discretion,
-
-22and they will be life for your soul
-
-and adornment for your neck.
-
-23Then you will walk on your way securely,
-
-and your foot will not stumble.
-
-24If you lie down, you will not be afraid;
-
-when you lie down, your sleep will be sweet.
-
-25Do not be afraid of sudden terror
-
-or of the ruin[8] of the wicked, when it comes,
-
-26for the LORD will be your confidence
-
-and will keep your foot from being caught.
-
-27Do not withhold good from those to whom it is due,[9]
-
-when it is in your power to do it.
-
-28Do not say to your neighbor, “Go, and come again,
-
-tomorrow I will give it”—when you have it with you.
-
-29Do not plan evil against your neighbor,
-
-who dwells trustingly beside you.
-
-30Do not contend with a man for no reason,
-
-when he has done you no harm.
-
-31Do not envy a man of violence
-
-and do not choose any of his ways,
-
-32for the devious person is an abomination to the LORD,
-
-but the upright are in his confidence.
-
-33The LORD's curse is on the house of the wicked,
-
-but he blesses the dwelling of the righteous.
-
-34Toward the scorners he is scornful,
-
-but to the humble he gives favor.[10]
-
-35The wise will inherit honor,
-
-but fools get[11] disgrace.
-
-
-
-
-
-A Father's Wise Instruction
-
-
-4:1 Hear, O sons, a father's instruction,
-
-and be attentive, that you may gain[12] insight,
-
-2for I give you good precepts;
-
-do not forsake my teaching.
-
-3When I was a son with my father,
-
-tender, the only one in the sight of my mother,
-
-4he taught me and said to me,
-
-“Let your heart hold fast my words;
-
-keep my commandments, and live.
-
-5Get wisdom; get insight;
-
-do not forget, and do not turn away from the words of my mouth.
-
-6Do not forsake her, and she will keep you;
-
-love her, and she will guard you.
-
-7The beginning of wisdom is this: Get wisdom,
-
-and whatever you get, get insight.
-
-8Prize her highly, and she will exalt you;
-
-she will honor you if you embrace her.
-
-9She will place on your head a graceful garland;
-
-she will bestow on you a beautiful crown.”
-
-10Hear, my son, and accept my words,
-
-that the years of your life may be many.
-
-11I have taught you the way of wisdom;
-
-I have led you in the paths of uprightness.
-
-12When you walk, your step will not be hampered,
-
-and if you run, you will not stumble.
-
-13Keep hold of instruction; do not let go;
-
-guard her, for she is your life.
-
-14Do not enter the path of the wicked,
-
-and do not walk in the way of the evil.
-
-15Avoid it; do not go on it;
-
-turn away from it and pass on.
-
-16For they cannot sleep unless they have done wrong;
-
-they are robbed of sleep unless they have made someone stumble.
-
-17For they eat the bread of wickedness
-
-and drink the wine of violence.
-
-18But the path of the righteous is like the light of dawn,
-
-which shines brighter and brighter until full day.
-
-19The way of the wicked is like deep darkness;
-
-they do not know over what they stumble.
-
-20My son, be attentive to my words;
-
-incline your ear to my sayings.
-
-21Let them not escape from your sight;
-
-keep them within your heart.
-
-22For they are life to those who find them,
-
-and healing to all their[13] flesh.
-
-23Keep your heart with all vigilance,
-
-for from it flow the springs of life.
-
-24Put away from you crooked speech,
-
-and put devious talk far from you.
-
-25Let your eyes look directly forward,
-
-and your gaze be straight before you.
-
-26Ponder[14] the path of your feet;
-
-then all your ways will be sure.
-
-27Do not swerve to the right or to the left;
-
-turn your foot away from evil.
-
-
-
-
-
-Warning Against Adultery
-
-
-5:1 My son, be attentive to my wisdom;
-
-incline your ear to my understanding,
-
-2that you may keep discretion,
-
-and your lips may guard knowledge.
-
-3For the lips of a forbidden[15] woman drip honey,
-
-and her speech[16] is smoother than oil,
-
-4but in the end she is bitter as wormwood,
-
-sharp as a two-edged sword.
-
-5Her feet go down to death;
-
-her steps follow the path to[17] Sheol;
-
-6she does not ponder the path of life;
-
-her ways wander, and she does not know it.
-
-7And now, O sons, listen to me,
-
-and do not depart from the words of my mouth.
-
-8Keep your way far from her,
-
-and do not go near the door of her house,
-
-9lest you give your honor to others
-
-and your years to the merciless,
-
-10lest strangers take their fill of your strength,
-
-and your labors go to the house of a foreigner,
-
-11and at the end of your life you groan,
-
-when your flesh and body are consumed,
-
-12and you say, “How I hated discipline,
-
-and my heart despised reproof!
-
-13I did not listen to the voice of my teachers
-
-or incline my ear to my instructors.
-
-14I am at the brink of utter ruin
-
-in the assembled congregation.”
-
-15Drink water from your own cistern,
-
-flowing water from your own well.
-
-16Should your springs be scattered abroad,
-
-streams of water in the streets?
-
-17Let them be for yourself alone,
-
-and not for strangers with you.
-
-18Let your fountain be blessed,
-
-and rejoice in the wife of your youth,
-
-19a lovely deer, a graceful doe.
-
-Let her breasts fill you at all times with delight;
-
-be intoxicated[18] always in her love.
-
-20Why should you be intoxicated, my son, with a forbidden woman
-
-and embrace the bosom of an adulteress?[19]
-
-21For a man's ways are before the eyes of the LORD,
-
-and he ponders[20] all his paths.
-
-22The iniquities of the wicked ensnare him,
-
-and he is held fast in the cords of his sin.
-
-23He dies for lack of discipline,
-
-and because of his great folly he is led astray.
-
-
-
-
-
-Practical Warnings
-
-
-6:1 My son, if you have put up security for your neighbor,
-
-have given your pledge for a stranger,
-
-2if you are snared in the words of your mouth,
-
-caught in the words of your mouth,
-
-3then do this, my son, and save yourself,
-
-for you have come into the hand of your neighbor:
-
-go, hasten,[21] and plead urgently with your neighbor.
-
-4Give your eyes no sleep
-
-and your eyelids no slumber;
-
-5save yourself like a gazelle from the hand of the hunter,[22]
-
-like a bird from the hand of the fowler.
-
-6Go to the ant, O sluggard;
-
-consider her ways, and be wise.
-
-7Without having any chief,
-
-officer, or ruler,
-
-8she prepares her bread in summer
-
-and gathers her food in harvest.
-
-9How long will you lie there, O sluggard?
-
-When will you arise from your sleep?
-
-10A little sleep, a little slumber,
-
-a little folding of the hands to rest,
-
-11and poverty will come upon you like a robber,
-
-and want like an armed man.
-
-12A worthless person, a wicked man,
-
-goes about with crooked speech,
-
-13winks with his eyes, signals[23] with his feet,
-
-points with his finger,
-
-14with perverted heart devises evil,
-
-continually sowing discord;
-
-15therefore calamity will come upon him suddenly;
-
-in a moment he will be broken beyond healing.
-
-16There are six things that the LORD hates,
-
-seven that are an abomination to him:
-
-17haughty eyes, a lying tongue,
-
-and hands that shed innocent blood,
-
-18a heart that devises wicked plans,
-
-feet that make haste to run to evil,
-
-19a false witness who breathes out lies,
-
-and one who sows discord among brothers.
-
-
-
-
-
-Warnings Against Adultery
-
-
-20My son, keep your father's commandment,
-
-and forsake not your mother's teaching.
-
-21Bind them on your heart always;
-
-tie them around your neck.
-
-22When you walk, they[24] will lead you;
-
-when you lie down, they will watch over you;
-
-and when you awake, they will talk with you.
-
-23For the commandment is a lamp and the teaching a light,
-
-and the reproofs of discipline are the way of life,
-
-24to preserve you from the evil woman,[25]
-
-from the smooth tongue of the adulteress.[26]
-
-25Do not desire her beauty in your heart,
-
-and do not let her capture you with her eyelashes;
-
-26for the price of a prostitute is only a loaf of bread,[27]
-
-but a married woman[28] hunts down a precious life.
-
-27Can a man carry fire next to his chest
-
-and his clothes not be burned?
-
-28Or can one walk on hot coals
-
-and his feet not be scorched?
-
-29So is he who goes in to his neighbor's wife;
-
-none who touches her will go unpunished.
-
-30People do not despise a thief if he steals
-
-to satisfy his appetite when he is hungry,
-
-31but if he is caught, he will pay sevenfold;
-
-he will give all the goods of his house.
-
-32He who commits adultery lacks sense;
-
-he who does it destroys himself.
-
-33He will get wounds and dishonor,
-
-and his disgrace will not be wiped away.
-
-34For jealousy makes a man furious,
-
-and he will not spare when he takes revenge.
-
-35He will accept no compensation;
-
-he will refuse though you multiply gifts.
-
-
-
-
-
-Warning Against the Adulteress
-
-
-7:1 My son, keep my words
-
-and treasure up my commandments with you;
-
-2keep my commandments and live;
-
-keep my teaching as the apple of your eye;
-
-3bind them on your fingers;
-
-write them on the tablet of your heart.
-
-4Say to wisdom, “You are my sister,”
-
-and call insight your intimate friend,
-
-5to keep you from the forbidden[29] woman,
-
-from the adulteress[30] with her smooth words.
-
-6For at the window of my house
-
-I have looked out through my lattice,
-
-7and I have seen among the simple,
-
-I have perceived among the youths,
-
-a young man lacking sense,
-
-8passing along the street near her corner,
-
-taking the road to her house
-
-9in the twilight, in the evening,
-
-at the time of night and darkness.
-
-10And behold, the woman meets him,
-
-dressed as a prostitute, wily of heart.[31]
-
-11She is loud and wayward;
-
-her feet do not stay at home;
-
-12now in the street, now in the market,
-
-and at every corner she lies in wait.
-
-13She seizes him and kisses him,
-
-and with bold face she says to him,
-
-14“I had to offer sacrifices,[32]
-
-and today I have paid my vows;
-
-15so now I have come out to meet you,
-
-to seek you eagerly, and I have found you.
-
-16I have spread my couch with coverings,
-
-colored linens from Egyptian linen;
-
-17I have perfumed my bed with myrrh,
-
-aloes, and cinnamon.
-
-18Come, let us take our fill of love till morning;
-
-let us delight ourselves with love.
-
-19For my husband is not at home;
-
-he has gone on a long journey;
-
-20he took a bag of money with him;
-
-at full moon he will come home.”
-
-21With much seductive speech she persuades him;
-
-with her smooth talk she compels him.
-
-22All at once he follows her,
-
-as an ox goes to the slaughter,
-
-or as a stag is caught fast[33]
-
-23till an arrow pierces its liver;
-
-as a bird rushes into a snare;
-
-he does not know that it will cost him his life.
-
-24And now, O sons, listen to me,
-
-and be attentive to the words of my mouth.
-
-25Let not your heart turn aside to her ways;
-
-do not stray into her paths,
-
-26for many a victim has she laid low,
-
-and all her slain are a mighty throng.
-
-27Her house is the way to Sheol,
-
-going down to the chambers of death.
-
-
-
-
-
-The Blessings of Wisdom
-
-
-8:1 Does not wisdom call?
-
-Does not understanding raise her voice?
-
-2On the heights beside the way,
-
-at the crossroads she takes her stand;
-
-3beside the gates in front of the town,
-
-at the entrance of the portals she cries aloud:
-
-4“To you, O men, I call,
-
-and my cry is to the children of man.
-
-5O simple ones, learn prudence;
-
-O fools, learn sense.
-
-6Hear, for I will speak noble things,
-
-and from my lips will come what is right,
-
-7for my mouth will utter truth;
-
-wickedness is an abomination to my lips.
-
-8All the words of my mouth are righteous;
-
-there is nothing twisted or crooked in them.
-
-9They are all straight to him who understands,
-
-and right to those who find knowledge.
-
-10Take my instruction instead of silver,
-
-and knowledge rather than choice gold,
-
-11for wisdom is better than jewels,
-
-and all that you may desire cannot compare with her.
-
-12“I, wisdom, dwell with prudence,
-
-and I find knowledge and discretion.
-
-13The fear of the LORD is hatred of evil.
-
-Pride and arrogance and the way of evil
-
-and perverted speech I hate.
-
-14I have counsel and sound wisdom;
-
-I have insight; I have strength.
-
-15By me kings reign,
-
-and rulers decree what is just;
-
-16by me princes rule,
-
-and nobles, all who govern justly.[34]
-
-17I love those who love me,
-
-and those who seek me diligently find me.
-
-18Riches and honor are with me,
-
-enduring wealth and righteousness.
-
-19My fruit is better than gold, even fine gold,
-
-and my yield than choice silver.
-
-20I walk in the way of righteousness,
-
-in the paths of justice,
-
-21granting an inheritance to those who love me,
-
-and filling their treasuries.
-
-22“The LORD possessed[35] me at the beginning of his work,[36]
-
-the first of his acts of old.
-
-23Ages ago I was set up,
-
-at the first, before the beginning of the earth.
-
-24When there were no depths I was brought forth,
-
-when there were no springs abounding with water.
-
-25Before the mountains had been shaped,
-
-before the hills, I was brought forth,
-
-26before he had made the earth with its fields,
-
-or the first of the dust of the world.
-
-27When he established the heavens, I was there;
-
-when he drew a circle on the face of the deep,
-
-28when he made firm the skies above,
-
-when he established[37] the fountains of the deep,
-
-29when he assigned to the sea its limit,
-
-so that the waters might not transgress his command,
-
-when he marked out the foundations of the earth,
-
-30then I was beside him, like a master workman,
-
-and I was daily his[38] delight,
-
-rejoicing before him always,
-
-31rejoicing in his inhabited world
-
-and delighting in the children of man.
-
-32“And now, O sons, listen to me:
-
-blessed are those who keep my ways.
-
-33Hear instruction and be wise,
-
-and do not neglect it.
-
-34Blessed is the one who listens to me,
-
-watching daily at my gates,
-
-waiting beside my doors.
-
-35For whoever finds me finds life
-
-and obtains favor from the LORD,
-
-36but he who fails to find me injures himself;
-
-all who hate me love death.”
-
-
-
-
-
-The Way of Wisdom
-
-
-9:1 Wisdom has built her house;
-
-she has hewn her seven pillars.
-
-2She has slaughtered her beasts; she has mixed her wine;
-
-she has also set her table.
-
-3She has sent out her young women to call
-
-from the highest places in the town,
-
-4“Whoever is simple, let him turn in here!”
-
-To him who lacks sense she says,
-
-5“Come, eat of my bread
-
-and drink of the wine I have mixed.
-
-6Leave your simple ways,[39] and live,
-
-and walk in the way of insight.”
-
-7Whoever corrects a scoffer gets himself abuse,
-
-and he who reproves a wicked man incurs injury.
-
-8Do not reprove a scoffer, or he will hate you;
-
-reprove a wise man, and he will love you.
-
-9Give instruction[40] to a wise man, and he will be still wiser;
-
-teach a righteous man, and he will increase in learning.
-
-10The fear of the LORD is the beginning of wisdom,
-
-and the knowledge of the Holy One is insight.
-
-11For by me your days will be multiplied,
-
-and years will be added to your life.
-
-12If you are wise, you are wise for yourself;
-
-if you scoff, you alone will bear it.
-
-
-
-
-
-The Way of Folly
-
-
-13The woman Folly is loud;
-
-she is seductive[41] and knows nothing.
-
-14She sits at the door of her house;
-
-she takes a seat on the highest places of the town,
-
-15calling to those who pass by,
-
-who are going straight on their way,
-
-16“Whoever is simple, let him turn in here!”
-
-And to him who lacks sense she says,
-
-17“Stolen water is sweet,
-
-and bread eaten in secret is pleasant.”
-
-18But he does not know that the dead[42] are there,
-
-that her guests are in the depths of Sheol.
-
-
-
-
-
-The Proverbs of Solomon
-
-
-10:1 The proverbs of Solomon.
-
-A wise son makes a glad father,
-
-but a foolish son is a sorrow to his mother.
-
-2Treasures gained by wickedness do not profit,
-
-but righteousness delivers from death.
-
-3The LORD does not let the righteous go hungry,
-
-but he thwarts the craving of the wicked.
-
-4A slack hand causes poverty,
-
-but the hand of the diligent makes rich.
-
-5He who gathers in summer is a prudent son,
-
-but he who sleeps in harvest is a son who brings shame.
-
-6Blessings are on the head of the righteous,
-
-but the mouth of the wicked conceals violence.
-
-7The memory of the righteous is a blessing,
-
-but the name of the wicked will rot.
-
-8The wise of heart will receive commandments,
-
-but a babbling fool will come to ruin.
-
-9Whoever walks in integrity walks securely,
-
-but he who makes his ways crooked will be found out.
-
-10Whoever winks the eye causes trouble,
-
-but a babbling fool will come to ruin.
-
-11The mouth of the righteous is a fountain of life,
-
-but the mouth of the wicked conceals violence.
-
-12Hatred stirs up strife,
-
-but love covers all offenses.
-
-13On the lips of him who has understanding, wisdom is found,
-
-but a rod is for the back of him who lacks sense.
-
-14The wise lay up knowledge,
-
-but the mouth of a fool brings ruin near.
-
-15A rich man's wealth is his strong city;
-
-the poverty of the poor is their ruin.
-
-16The wage of the righteous leads to life,
-
-the gain of the wicked to sin.
-
-17Whoever heeds instruction is on the path to life,
-
-but he who rejects reproof leads others astray.
-
-18The one who conceals hatred has lying lips,
-
-and whoever utters slander is a fool.
-
-19When words are many, transgression is not lacking,
-
-but whoever restrains his lips is prudent.
-
-20The tongue of the righteous is choice silver;
-
-the heart of the wicked is of little worth.
-
-21The lips of the righteous feed many,
-
-but fools die for lack of sense.
-
-22The blessing of the LORD makes rich,
-
-and he adds no sorrow with it.[43]
-
-23Doing wrong is like a joke to a fool,
-
-but wisdom is pleasure to a man of understanding.
-
-24What the wicked dreads will come upon him,
-
-but the desire of the righteous will be granted.
-
-25When the tempest passes, the wicked is no more,
-
-but the righteous is established forever.
-
-26Like vinegar to the teeth and smoke to the eyes,
-
-so is the sluggard to those who send him.
-
-27The fear of the LORD prolongs life,
-
-but the years of the wicked will be short.
-
-28The hope of the righteous brings joy,
-
-but the expectation of the wicked will perish.
-
-29The way of the LORD is a stronghold to the blameless,
-
-but destruction to evildoers.
-
-30The righteous will never be removed,
-
-but the wicked will not dwell in the land.
-
-31The mouth of the righteous brings forth wisdom,
-
-but the perverse tongue will be cut off.
-
-32The lips of the righteous know what is acceptable,
-
-but the mouth of the wicked, what is perverse.
-
-
-
-
-
-11:1 A false balance is an abomination to the LORD,
-
-but a just weight is his delight.
-
-2When pride comes, then comes disgrace,
-
-but with the humble is wisdom.
-
-3The integrity of the upright guides them,
-
-but the crookedness of the treacherous destroys them.
-
-4Riches do not profit in the day of wrath,
-
-but righteousness delivers from death.
-
-5The righteousness of the blameless keeps his way straight,
-
-but the wicked falls by his own wickedness.
-
-6The righteousness of the upright delivers them,
-
-but the treacherous are taken captive by their lust.
-
-7When the wicked dies, his hope will perish,
-
-and the expectation of wealth[44] perishes too.
-
-8The righteous is delivered from trouble,
-
-and the wicked walks into it instead.
-
-9With his mouth the godless man would destroy his neighbor,
-
-but by knowledge the righteous are delivered.
-
-10When it goes well with the righteous, the city rejoices,
-
-and when the wicked perish there are shouts of gladness.
-
-11By the blessing of the upright a city is exalted,
-
-but by the mouth of the wicked it is overthrown.
-
-12Whoever belittles his neighbor lacks sense,
-
-but a man of understanding remains silent.
-
-13Whoever goes about slandering reveals secrets,
-
-but he who is trustworthy in spirit keeps a thing covered.
-
-14Where there is no guidance, a people falls,
-
-but in an abundance of counselors there is safety.
-
-15Whoever puts up security for a stranger will surely suffer harm,
-
-but he who hates striking hands in pledge is secure.
-
-16A gracious woman gets honor,
-
-and violent men get riches.
-
-17A man who is kind benefits himself,
-
-but a cruel man hurts himself.
-
-18The wicked earns deceptive wages,
-
-but one who sows righteousness gets a sure reward.
-
-19Whoever is steadfast in righteousness will live,
-
-but he who pursues evil will die.
-
-20Those of crooked heart are an abomination to the LORD,
-
-but those of blameless ways are his delight.
-
-21Be assured, an evil person will not go unpunished,
-
-but the offspring of the righteous will be delivered.
-
-22Like a gold ring in a pig's snout
-
-is a beautiful woman without discretion.
-
-23The desire of the righteous ends only in good;
-
-the expectation of the wicked in wrath.
-
-24One gives freely, yet grows all the richer;
-
-another withholds what he should give, and only suffers want.
-
-25Whoever brings blessing will be enriched,
-
-and one who waters will himself be watered.
-
-26The people curse him who holds back grain,
-
-but a blessing is on the head of him who sells it.
-
-27Whoever diligently seeks good seeks favor,[45]
-
-but evil comes to him who searches for it.
-
-28Whoever trusts in his riches will fall,
-
-but the righteous will flourish like a green leaf.
-
-29Whoever troubles his own household will inherit the wind,
-
-and the fool will be servant to the wise of heart.
-
-30The fruit of the righteous is a tree of life,
-
-and whoever captures souls is wise.
-
-31If the righteous is repaid on earth,
-
-how much more the wicked and the sinner!
-
-
-
-
-
-12:1 Whoever loves discipline loves knowledge,
-
-but he who hates reproof is stupid.
-
-2A good man obtains favor from the LORD,
-
-but a man of evil devices he condemns.
-
-3No one is established by wickedness,
-
-but the root of the righteous will never be moved.
-
-4An excellent wife is the crown of her husband,
-
-but she who brings shame is like rottenness in his bones.
-
-5The thoughts of the righteous are just;
-
-the counsels of the wicked are deceitful.
-
-6The words of the wicked lie in wait for blood,
-
-but the mouth of the upright delivers them.
-
-7The wicked are overthrown and are no more,
-
-but the house of the righteous will stand.
-
-8A man is commended according to his good sense,
-
-but one of twisted mind is despised.
-
-9Better to be lowly and have a servant
-
-than to play the great man and lack bread.
-
-10Whoever is righteous has regard for the life of his beast,
-
-but the mercy of the wicked is cruel.
-
-11Whoever works his land will have plenty of bread,
-
-but he who follows worthless pursuits lacks sense.
-
-12Whoever is wicked covets the spoil of evildoers,
-
-but the root of the righteous bears fruit.
-
-13An evil man is ensnared by the transgression of his lips,
-
-but the righteous escapes from trouble.
-
-14From the fruit of his mouth a man is satisfied with good,
-
-and the work of a man's hand comes back to him.
-
-15The way of a fool is right in his own eyes,
-
-but a wise man listens to advice.
-
-16The vexation of a fool is known at once,
-
-but the prudent ignores an insult.
-
-17Whoever speaks[46] the truth gives honest evidence,
-
-but a false witness utters deceit.
-
-18There is one whose rash words are like sword thrusts,
-
-but the tongue of the wise brings healing.
-
-19Truthful lips endure forever,
-
-but a lying tongue is but for a moment.
-
-20Deceit is in the heart of those who devise evil,
-
-but those who plan peace have joy.
-
-21No ill befalls the righteous,
-
-but the wicked are filled with trouble.
-
-22Lying lips are an abomination to the LORD,
-
-but those who act faithfully are his delight.
-
-23A prudent man conceals knowledge,
-
-but the heart of fools proclaims folly.
-
-24The hand of the diligent will rule,
-
-while the slothful will be put to forced labor.
-
-25Anxiety in a man's heart weighs him down,
-
-but a good word makes him glad.
-
-26One who is righteous is a guide to his neighbor,[47]
-
-but the way of the wicked leads them astray.
-
-27Whoever is slothful will not roast his game,
-
-but the diligent man will get precious wealth.[48]
-
-28In the path of righteousness is life,
-
-and in its pathway there is no death.
-
-
-
-
-
-13:1 A wise son hears his father's instruction,
-
-but a scoffer does not listen to rebuke.
-
-2From the fruit of his mouth a man eats what is good,
-
-but the desire of the treacherous is for violence.
-
-3Whoever guards his mouth preserves his life;
-
-he who opens wide his lips comes to ruin.
-
-4The soul of the sluggard craves and gets nothing,
-
-while the soul of the diligent is richly supplied.
-
-5The righteous hates falsehood,
-
-but the wicked brings shame[49] and disgrace.
-
-6Righteousness guards him whose way is blameless,
-
-but sin overthrows the wicked.
-
-7One pretends to be rich, yet has nothing;
-
-another pretends to be poor, yet has great wealth.
-
-8The ransom of a man's life is his wealth,
-
-but a poor man hears no threat.
-
-9The light of the righteous rejoices,
-
-but the lamp of the wicked will be put out.
-
-10By insolence comes nothing but strife,
-
-but with those who take advice is wisdom.
-
-11Wealth gained hastily[50] will dwindle,
-
-but whoever gathers little by little will increase it.
-
-12Hope deferred makes the heart sick,
-
-but a desire fulfilled is a tree of life.
-
-13Whoever despises the word brings destruction on himself,
-
-but he who reveres the commandment will be rewarded.
-
-14The teaching of the wise is a fountain of life,
-
-that one may turn away from the snares of death.
-
-15Good sense wins favor,
-
-but the way of the treacherous is their ruin.[51]
-
-16In everything the prudent acts with knowledge,
-
-but a fool flaunts his folly.
-
-17A wicked messenger falls into trouble,
-
-but a faithful envoy brings healing.
-
-18Poverty and disgrace come to him who ignores instruction,
-
-but whoever heeds reproof is honored.
-
-19A desire fulfilled is sweet to the soul,
-
-but to turn away from evil is an abomination to fools.
-
-20Whoever walks with the wise becomes wise,
-
-but the companion of fools will suffer harm.
-
-21Disaster[52] pursues sinners,
-
-but the righteous are rewarded with good.
-
-22A good man leaves an inheritance to his children's children,
-
-but the sinner's wealth is laid up for the righteous.
-
-23The fallow ground of the poor would yield much food,
-
-but it is swept away through injustice.
-
-24Whoever spares the rod hates his son,
-
-but he who loves him is diligent to discipline him.[53]
-
-25The righteous has enough to satisfy his appetite,
-
-but the belly of the wicked suffers want.
-
-
-
-
-
-14:1 The wisest of women builds her house,
-
-but folly with her own hands tears it down.
-
-2Whoever walks in uprightness fears the LORD,
-
-but he who is devious in his ways despises him.
-
-3By the mouth of a fool comes a rod for his back,[54]
-
-but the lips of the wise will preserve them.
-
-4Where there are no oxen, the manger is clean,
-
-but abundant crops come by the strength of the ox.
-
-5A faithful witness does not lie,
-
-but a false witness breathes out lies.
-
-6A scoffer seeks wisdom in vain,
-
-but knowledge is easy for a man of understanding.
-
-7Leave the presence of a fool,
-
-for there you do not meet words of knowledge.
-
-8The wisdom of the prudent is to discern his way,
-
-but the folly of fools is deceiving.
-
-9Fools mock at the guilt offering,
-
-but the upright enjoy acceptance.[55]
-
-10The heart knows its own bitterness,
-
-and no stranger shares its joy.
-
-11The house of the wicked will be destroyed,
-
-but the tent of the upright will flourish.
-
-12There is a way that seems right to a man,
-
-but its end is the way to death.[56]
-
-13Even in laughter the heart may ache,
-
-and the end of joy may be grief.
-
-14The backslider in heart will be filled with the fruit of his ways,
-
-and a good man will be filled with the fruit of his ways.
-
-15The simple believes everything,
-
-but the prudent gives thought to his steps.
-
-16One who is wise is cautious[57] and turns away from evil,
-
-but a fool is reckless and careless.
-
-17A man of quick temper acts foolishly,
-
-and a man of evil devices is hated.
-
-18The simple inherit folly,
-
-but the prudent are crowned with knowledge.
-
-19The evil bow down before the good,
-
-the wicked at the gates of the righteous.
-
-20The poor is disliked even by his neighbor,
-
-but the rich has many friends.
-
-21Whoever despises his neighbor is a sinner,
-
-but blessed is he who is generous to the poor.
-
-22Do they not go astray who devise evil?
-
-Those who devise good meet[58] steadfast love and faithfulness.
-
-23In all toil there is profit,
-
-but mere talk tends only to poverty.
-
-24The crown of the wise is their wealth,
-
-but the folly of fools brings folly.
-
-25A truthful witness saves lives,
-
-but one who breathes out lies is deceitful.
-
-26In the fear of the LORD one has strong confidence,
-
-and his children will have a refuge.
-
-27The fear of the LORD is a fountain of life,
-
-that one may turn away from the snares of death.
-
-28In a multitude of people is the glory of a king,
-
-but without people a prince is ruined.
-
-29Whoever is slow to anger has great understanding,
-
-but he who has a hasty temper exalts folly.
-
-30A tranquil[59] heart gives life to the flesh,
-
-but envy[60] makes the bones rot.
-
-31Whoever oppresses a poor man insults his Maker,
-
-but he who is generous to the needy honors him.
-
-32The wicked is overthrown through his evildoing,
-
-but the righteous finds refuge in his death.
-
-33Wisdom rests in the heart of a man of understanding,
-
-but it makes itself known even in the midst of fools.[61]
-
-34Righteousness exalts a nation,
-
-but sin is a reproach to any people.
-
-35A servant who deals wisely has the king's favor,
-
-but his wrath falls on one who acts shamefully.
-
-
-
-
-
-15:1 A soft answer turns away wrath,
-
-but a harsh word stirs up anger.
-
-2The tongue of the wise commends knowledge,
-
-but the mouths of fools pour out folly.
-
-3The eyes of the LORD are in every place,
-
-keeping watch on the evil and the good.
-
-4A gentle[62] tongue is a tree of life,
-
-but perverseness in it breaks the spirit.
-
-5A fool despises his father's instruction,
-
-but whoever heeds reproof is prudent.
-
-6In the house of the righteous there is much treasure,
-
-but trouble befalls the income of the wicked.
-
-7The lips of the wise spread knowledge;
-
-not so the hearts of fools.[63]
-
-8The sacrifice of the wicked is an abomination to the LORD,
-
-but the prayer of the upright is acceptable to him.
-
-9The way of the wicked is an abomination to the LORD,
-
-but he loves him who pursues righteousness.
-
-10There is severe discipline for him who forsakes the way;
-
-whoever hates reproof will die.
-
-11Sheol and Abaddon lie open before the LORD;
-
-how much more the hearts of the children of man!
-
-12A scoffer does not like to be reproved;
-
-he will not go to the wise.
-
-13A glad heart makes a cheerful face,
-
-but by sorrow of heart the spirit is crushed.
-
-14The heart of him who has understanding seeks knowledge,
-
-but the mouths of fools feed on folly.
-
-15All the days of the afflicted are evil,
-
-but the cheerful of heart has a continual feast.
-
-16Better is a little with the fear of the LORD
-
-than great treasure and trouble with it.
-
-17Better is a dinner of herbs where love is
-
-than a fattened ox and hatred with it.
-
-18A hot-tempered man stirs up strife,
-
-but he who is slow to anger quiets contention.
-
-19The way of a sluggard is like a hedge of thorns,
-
-but the path of the upright is a level highway.
-
-20A wise son makes a glad father,
-
-but a foolish man despises his mother.
-
-21Folly is a joy to him who lacks sense,
-
-but a man of understanding walks straight ahead.
-
-22Without counsel plans fail,
-
-but with many advisers they succeed.
-
-23To make an apt answer is a joy to a man,
-
-and a word in season, how good it is!
-
-24The path of life leads upward for the prudent,
-
-that he may turn away from Sheol beneath.
-
-25The LORD tears down the house of the proud
-
-but maintains the widow's boundaries.
-
-26The thoughts of the wicked are an abomination to the LORD,
-
-but gracious words are pure.
-
-27Whoever is greedy for unjust gain troubles his own household,
-
-but he who hates bribes will live.
-
-28The heart of the righteous ponders how to answer,
-
-but the mouth of the wicked pours out evil things.
-
-29The LORD is far from the wicked,
-
-but he hears the prayer of the righteous.
-
-30The light of the eyes rejoices the heart,
-
-and good news refreshes[64] the bones.
-
-31The ear that listens to life-giving reproof
-
-will dwell among the wise.
-
-32Whoever ignores instruction despises himself,
-
-but he who listens to reproof gains intelligence.
-
-33The fear of the LORD is instruction in wisdom,
-
-and humility comes before honor.
-
-
-
-
-
-16:1 The plans of the heart belong to man,
-
-but the answer of the tongue is from the LORD.
-
-2All the ways of a man are pure in his own eyes,
-
-but the LORD weighs the spirit.
-
-3Commit your work to the LORD,
-
-and your plans will be established.
-
-4The LORD has made everything for its purpose,
-
-even the wicked for the day of trouble.
-
-5Everyone who is arrogant in heart is an abomination to the LORD;
-
-be assured, he will not go unpunished.
-
-6By steadfast love and faithfulness iniquity is atoned for,
-
-and by the fear of the LORD one turns away from evil.
-
-7When a man's ways please the LORD,
-
-he makes even his enemies to be at peace with him.
-
-8Better is a little with righteousness
-
-than great revenues with injustice.
-
-9The heart of man plans his way,
-
-but the LORD establishes his steps.
-
-10An oracle is on the lips of a king;
-
-his mouth does not sin in judgment.
-
-11A just balance and scales are the LORD's;
-
-all the weights in the bag are his work.
-
-12It is an abomination to kings to do evil,
-
-for the throne is established by righteousness.
-
-13Righteous lips are the delight of a king,
-
-and he loves him who speaks what is right.
-
-14A king's wrath is a messenger of death,
-
-and a wise man will appease it.
-
-15In the light of a king's face there is life,
-
-and his favor is like the clouds that bring the spring rain.
-
-16How much better to get wisdom than gold!
-
-To get understanding is to be chosen rather than silver.
-
-17The highway of the upright turns aside from evil;
-
-whoever guards his way preserves his life.
-
-18Pride goes before destruction,
-
-and a haughty spirit before a fall.
-
-19It is better to be of a lowly spirit with the poor
-
-than to divide the spoil with the proud.
-
-20Whoever gives thought to the word[65] will discover good,
-
-and blessed is he who trusts in the LORD.
-
-21The wise of heart is called discerning,
-
-and sweetness of speech increases persuasiveness.
-
-22Good sense is a fountain of life to him who has it,
-
-but the instruction of fools is folly.
-
-23The heart of the wise makes his speech judicious
-
-and adds persuasiveness to his lips.
-
-24Gracious words are like a honeycomb,
-
-sweetness to the soul and health to the body.
-
-25There is a way that seems right to a man,
-
-but its end is the way to death.[66]
-
-26A worker's appetite works for him;
-
-his mouth urges him on.
-
-27A worthless man plots evil,
-
-and his speech[67] is like a scorching fire.
-
-28A dishonest man spreads strife,
-
-and a whisperer separates close friends.
-
-29A man of violence entices his neighbor
-
-and leads him in a way that is not good.
-
-30Whoever winks his eyes plans[68] dishonest things;
-
-he who purses his lips brings evil to pass.
-
-31Gray hair is a crown of glory;
-
-it is gained in a righteous life.
-
-32Whoever is slow to anger is better than the mighty,
-
-and he who rules his spirit than he who takes a city.
-
-33The lot is cast into the lap,
-
-but its every decision is from the LORD.
-
-
-
-
-
-17:1 Better is a dry morsel with quiet
-
-than a house full of feasting[69] with strife.
-
-2A servant who deals wisely will rule over a son who acts shamefully
-
-and will share the inheritance as one of the brothers.
-
-3The crucible is for silver, and the furnace is for gold,
-
-and the LORD tests hearts.
-
-4An evildoer listens to wicked lips,
-
-and a liar gives ear to a mischievous tongue.
-
-5Whoever mocks the poor insults his Maker;
-
-he who is glad at calamity will not go unpunished.
-
-6Grandchildren are the crown of the aged,
-
-and the glory of children is their fathers.
-
-7Fine speech is not becoming to a fool;
-
-still less is false speech to a prince.
-
-8A bribe is like a magic stone in the eyes of the one who gives it;
-
-wherever he turns he prospers.
-
-9Whoever covers an offense seeks love,
-
-but he who repeats a matter separates close friends.
-
-10A rebuke goes deeper into a man of understanding
-
-than a hundred blows into a fool.
-
-11An evil man seeks only rebellion,
-
-and a cruel messenger will be sent against him.
-
-12Let a man meet a she-bear robbed of her cubs
-
-rather than a fool in his folly.
-
-13If anyone returns evil for good,
-
-evil will not depart from his house.
-
-14The beginning of strife is like letting out water,
-
-so quit before the quarrel breaks out.
-
-15He who justifies the wicked and he who condemns the righteous
-
-are both alike an abomination to the LORD.
-
-16Why should a fool have money in his hand to buy wisdom
-
-when he has no sense?
-
-17A friend loves at all times,
-
-and a brother is born for adversity.
-
-18One who lacks sense gives a pledge
-
-and puts up security in the presence of his neighbor.
-
-19Whoever loves transgression loves strife;
-
-he who makes his door high seeks destruction.
-
-20A man of crooked heart does not discover good,
-
-and one with a dishonest tongue falls into calamity.
-
-21He who sires a fool gets himself sorrow,
-
-and the father of a fool has no joy.
-
-22A joyful heart is good medicine,
-
-but a crushed spirit dries up the bones.
-
-23The wicked accepts a bribe in secret[70]
-
-to pervert the ways of justice.
-
-24The discerning sets his face toward wisdom,
-
-but the eyes of a fool are on the ends of the earth.
-
-25A foolish son is a grief to his father
-
-and bitterness to her who bore him.
-
-26To impose a fine on a righteous man is not good,
-
-nor to strike the noble for their uprightness.
-
-27Whoever restrains his words has knowledge,
-
-and he who has a cool spirit is a man of understanding.
-
-28Even a fool who keeps silent is considered wise;
-
-when he closes his lips, he is deemed intelligent.
-
-
-
-
-
-18:1 Whoever isolates himself seeks his own desire;
-
-he breaks out against all sound judgment.
-
-2A fool takes no pleasure in understanding,
-
-but only in expressing his opinion.
-
-3When wickedness comes, contempt comes also,
-
-and with dishonor comes disgrace.
-
-4The words of a man's mouth are deep waters;
-
-the fountain of wisdom is a bubbling brook.
-
-5It is not good to be partial to[71] the wicked
-
-or to deprive the righteous of justice.
-
-6A fool's lips walk into a fight,
-
-and his mouth invites a beating.
-
-7A fool's mouth is his ruin,
-
-and his lips are a snare to his soul.
-
-8The words of a whisperer are like delicious morsels;
-
-they go down into the inner parts of the body.
-
-9Whoever is slack in his work
-
-is a brother to him who destroys.
-
-10The name of the LORD is a strong tower;
-
-the righteous man runs into it and is safe.
-
-11A rich man's wealth is his strong city,
-
-and like a high wall in his imagination.
-
-12Before destruction a man's heart is haughty,
-
-but humility comes before honor.
-
-13If one gives an answer before he hears,
-
-it is his folly and shame.
-
-14A man's spirit will endure sickness,
-
-but a crushed spirit who can bear?
-
-15An intelligent heart acquires knowledge,
-
-and the ear of the wise seeks knowledge.
-
-16A man's gift makes room for him
-
-and brings him before the great.
-
-17The one who states his case first seems right,
-
-until the other comes and examines him.
-
-18The lot puts an end to quarrels
-
-and decides between powerful contenders.
-
-19A brother offended is more unyielding than a strong city,
-
-and quarreling is like the bars of a castle.
-
-20From the fruit of a man's mouth his stomach is satisfied;
-
-he is satisfied by the yield of his lips.
-
-21Death and life are in the power of the tongue,
-
-and those who love it will eat its fruits.
-
-22He who finds a wife finds a good thing
-
-and obtains favor from the LORD.
-
-23The poor use entreaties,
-
-but the rich answer roughly.
-
-24A man of many companions may come to ruin,
-
-but there is a friend who sticks closer than a brother.
-
-
-
-
-
-19:1 Better is a poor person who walks in his integrity
-
-than one who is crooked in speech and is a fool.
-
-2Desire[72] without knowledge is not good,
-
-and whoever makes haste with his feet misses his way.
-
-3When a man's folly brings his way to ruin,
-
-his heart rages against the LORD.
-
-4Wealth brings many new friends,
-
-but a poor man is deserted by his friend.
-
-5A false witness will not go unpunished,
-
-and he who breathes out lies will not escape.
-
-6Many seek the favor of a generous man,[73]
-
-and everyone is a friend to a man who gives gifts.
-
-7All a poor man's brothers hate him;
-
-how much more do his friends go far from him!
-
-He pursues them with words, but does not have them.[74]
-
-8Whoever gets sense loves his own soul;
-
-he who keeps understanding will discover good.
-
-9A false witness will not go unpunished,
-
-and he who breathes out lies will perish.
-
-10It is not fitting for a fool to live in luxury,
-
-much less for a slave to rule over princes.
-
-11Good sense makes one slow to anger,
-
-and it is his glory to overlook an offense.
-
-12A king's wrath is like the growling of a lion,
-
-but his favor is like dew on the grass.
-
-13A foolish son is ruin to his father,
-
-and a wife's quarreling is a continual dripping of rain.
-
-14House and wealth are inherited from fathers,
-
-but a prudent wife is from the LORD.
-
-15Slothfulness casts into a deep sleep,
-
-and an idle person will suffer hunger.
-
-16Whoever keeps the commandment keeps his life;
-
-he who despises his ways will die.
-
-17Whoever is generous to the poor lends to the LORD,
-
-and he will repay him for his deed.
-
-18Discipline your son, for there is hope;
-
-do not set your heart on putting him to death.
-
-19A man of great wrath will pay the penalty,
-
-for if you deliver him, you will only have to do it again.
-
-20Listen to advice and accept instruction,
-
-that you may gain wisdom in the future.
-
-21Many are the plans in the mind of a man,
-
-but it is the purpose of the LORD that will stand.
-
-22What is desired in a man is steadfast love,
-
-and a poor man is better than a liar.
-
-23The fear of the LORD leads to life,
-
-and whoever has it rests satisfied;
-
-he will not be visited by harm.
-
-24The sluggard buries his hand in the dish
-
-and will not even bring it back to his mouth.
-
-25Strike a scoffer, and the simple will learn prudence;
-
-reprove a man of understanding, and he will gain knowledge.
-
-26He who does violence to his father and chases away his mother
-
-is a son who brings shame and reproach.
-
-27Cease to hear instruction, my son,
-
-and you will stray from the words of knowledge.
-
-28A worthless witness mocks at justice,
-
-and the mouth of the wicked devours iniquity.
-
-29Condemnation is ready for scoffers,
-
-and beating for the backs of fools.
-
-
-
-
-
-20:1 Wine is a mocker, strong drink a brawler,
-
-and whoever is led astray by it is not wise.[75]
-
-2The terror of a king is like the growling of a lion;
-
-whoever provokes him to anger forfeits his life.
-
-3It is an honor for a man to keep aloof from strife,
-
-but every fool will be quarreling.
-
-4The sluggard does not plow in the autumn;
-
-he will seek at harvest and have nothing.
-
-5The purpose in a man's heart is like deep water,
-
-but a man of understanding will draw it out.
-
-6Many a man proclaims his own steadfast love,
-
-but a faithful man who can find?
-
-7The righteous who walks in his integrity—
-
-blessed are his children after him!
-
-8A king who sits on the throne of judgment
-
-winnows all evil with his eyes.
-
-9Who can say, “I have made my heart pure;
-
-I am clean from my sin”?
-
-10Unequal[76] weights and unequal measures
-
-are both alike an abomination to the LORD.
-
-11Even a child makes himself known by his acts,
-
-by whether his conduct is pure and upright.[77]
-
-12The hearing ear and the seeing eye,
-
-the LORD has made them both.
-
-13Love not sleep, lest you come to poverty;
-
-open your eyes, and you will have plenty of bread.
-
-14“Bad, bad,” says the buyer,
-
-but when he goes away, then he boasts.
-
-15There is gold and abundance of costly stones,
-
-but the lips of knowledge are a precious jewel.
-
-16Take a man's garment when he has put up security for a stranger,
-
-and hold it in pledge when he puts up security for foreigners.[78]
-
-17Bread gained by deceit is sweet to a man,
-
-but afterward his mouth will be full of gravel.
-
-18Plans are established by counsel;
-
-by wise guidance wage war.
-
-19Whoever goes about slandering reveals secrets;
-
-therefore do not associate with a simple babbler.[79]
-
-20If one curses his father or his mother,
-
-his lamp will be put out in utter darkness.
-
-21An inheritance gained hastily in the beginning
-
-will not be blessed in the end.
-
-22Do not say, “I will repay evil”;
-
-wait for the LORD, and he will deliver you.
-
-23Unequal weights are an abomination to the LORD,
-
-and false scales are not good.
-
-24A man's steps are from the LORD;
-
-how then can man understand his way?
-
-25It is a snare to say rashly, “It is holy,”
-
-and to reflect only after making vows.
-
-26A wise king winnows the wicked
-
-and drives the wheel over them.
-
-27The spirit[80] of man is the lamp of the LORD,
-
-searching all his innermost parts.
-
-28Steadfast love and faithfulness preserve the king,
-
-and by steadfast love his throne is upheld.
-
-29The glory of young men is their strength,
-
-but the splendor of old men is their gray hair.
-
-30Blows that wound cleanse away evil;
-
-strokes make clean the innermost parts.
-
-
-
-
-
-21:1 The king's heart is a stream of water in the hand of the LORD;
-
-he turns it wherever he will.
-
-2Every way of a man is right in his own eyes,
-
-but the LORD weighs the heart.
-
-3To do righteousness and justice
-
-is more acceptable to the LORD than sacrifice.
-
-4Haughty eyes and a proud heart,
-
-the lamp[81] of the wicked, are sin.
-
-5The plans of the diligent lead surely to abundance,
-
-but everyone who is hasty comes only to poverty.
-
-6The getting of treasures by a lying tongue
-
-is a fleeting vapor and a snare of death.[82]
-
-7The violence of the wicked will sweep them away,
-
-because they refuse to do what is just.
-
-8The way of the guilty is crooked,
-
-but the conduct of the pure is upright.
-
-9It is better to live in a corner of the housetop
-
-than in a house shared with a quarrelsome wife.
-
-10The soul of the wicked desires evil;
-
-his neighbor finds no mercy in his eyes.
-
-11When a scoffer is punished, the simple becomes wise;
-
-when a wise man is instructed, he gains knowledge.
-
-12The Righteous One observes the house of the wicked;
-
-he throws the wicked down to ruin.
-
-13Whoever closes his ear to the cry of the poor
-
-will himself call out and not be answered.
-
-14A gift in secret averts anger,
-
-and a concealed bribe,[83] strong wrath.
-
-15When justice is done, it is a joy to the righteous
-
-but terror to evildoers.
-
-16One who wanders from the way of good sense
-
-will rest in the assembly of the dead.
-
-17Whoever loves pleasure will be a poor man;
-
-he who loves wine and oil will not be rich.
-
-18The wicked is a ransom for the righteous,
-
-and the traitor for the upright.
-
-19It is better to live in a desert land
-
-than with a quarrelsome and fretful woman.
-
-20Precious treasure and oil are in a wise man's dwelling,
-
-but a foolish man devours it.
-
-21Whoever pursues righteousness and kindness
-
-will find life, righteousness, and honor.
-
-22A wise man scales the city of the mighty
-
-and brings down the stronghold in which they trust.
-
-23Whoever keeps his mouth and his tongue
-
-keeps himself out of trouble.
-
-24“Scoffer” is the name of the arrogant, haughty man
-
-who acts with arrogant pride.
-
-25The desire of the sluggard kills him,
-
-for his hands refuse to labor.
-
-26All day long he craves and craves,
-
-but the righteous gives and does not hold back.
-
-27The sacrifice of the wicked is an abomination;
-
-how much more when he brings it with evil intent.
-
-28A false witness will perish,
-
-but the word of a man who hears will endure.
-
-29A wicked man puts on a bold face,
-
-but the upright gives thought to[84] his ways.
-
-30No wisdom, no understanding, no counsel
-
-can avail against the LORD.
-
-31The horse is made ready for the day of battle,
-
-but the victory belongs to the LORD.
-
-
-
-
-
-22:1 A good name is to be chosen rather than great riches,
-
-and favor is better than silver or gold.
-
-2The rich and the poor meet together;
-
-the LORD is the maker of them all.
-
-3The prudent sees danger and hides himself,
-
-but the simple go on and suffer for it.
-
-4The reward for humility and fear of the LORD
-
-is riches and honor and life.[85]
-
-5Thorns and snares are in the way of the crooked;
-
-whoever guards his soul will keep far from them.
-
-6Train up a child in the way he should go;
-
-even when he is old he will not depart from it.
-
-7The rich rules over the poor,
-
-and the borrower is the slave of the lender.
-
-8Whoever sows injustice will reap calamity,
-
-and the rod of his fury will fail.
-
-9Whoever has a bountiful[86] eye will be blessed,
-
-for he shares his bread with the poor.
-
-10Drive out a scoffer, and strife will go out,
-
-and quarreling and abuse will cease.
-
-11He who loves purity of heart,
-
-and whose speech is gracious, will have the king as his friend.
-
-12The eyes of the LORD keep watch over knowledge,
-
-but he overthrows the words of the traitor.
-
-13The sluggard says, “There is a lion outside!
-
-I shall be killed in the streets!”
-
-14The mouth of forbidden[87] women is a deep pit;
-
-he with whom the LORD is angry will fall into it.
-
-15Folly is bound up in the heart of a child,
-
-but the rod of discipline drives it far from him.
-
-16Whoever oppresses the poor to increase his own wealth,
-
-or gives to the rich, will only come to poverty.
-
-
-
-
-
-Words of the Wise
-
-
-17Incline your ear, and hear the words of the wise,
-
-and apply your heart to my knowledge,
-
-18for it will be pleasant if you keep them within you,
-
-if all of them are ready on your lips.
-
-19That your trust may be in the LORD,
-
-I have made them known to you today, even to you.
-
-20Have I not written for you thirty sayings
-
-of counsel and knowledge,
-
-21to make you know what is right and true,
-
-that you may give a true answer to those who sent you?
-
-22Do not rob the poor, because he is poor,
-
-or crush the afflicted at the gate,
-
-23for the LORD will plead their cause
-
-and rob of life those who rob them.
-
-24Make no friendship with a man given to anger,
-
-nor go with a wrathful man,
-
-25lest you learn his ways
-
-and entangle yourself in a snare.
-
-26Be not one of those who give pledges,
-
-who put up security for debts.
-
-27If you have nothing with which to pay,
-
-why should your bed be taken from under you?
-
-28Do not move the ancient landmark
-
-that your fathers have set.
-
-29Do you see a man skillful in his work?
-
-He will stand before kings;
-
-he will not stand before obscure men.
-
-
-
-
-
-23:1 When you sit down to eat with a ruler,
-
-observe carefully what[88] is before you,
-
-2and put a knife to your throat
-
-if you are given to appetite.
-
-3Do not desire his delicacies,
-
-for they are deceptive food.
-
-4Do not toil to acquire wealth;
-
-be discerning enough to desist.
-
-5When your eyes light on it, it is gone,
-
-for suddenly it sprouts wings,
-
-flying like an eagle toward heaven.
-
-6Do not eat the bread of a man who is stingy;[89]
-
-do not desire his delicacies,
-
-7for he is like one who is inwardly calculating.[90]
-
-“Eat and drink!” he says to you,
-
-but his heart is not with you.
-
-8You will vomit up the morsels that you have eaten,
-
-and waste your pleasant words.
-
-9Do not speak in the hearing of a fool,
-
-for he will despise the good sense of your words.
-
-10Do not move an ancient landmark
-
-or enter the fields of the fatherless,
-
-11for their Redeemer is strong;
-
-he will plead their cause against you.
-
-12Apply your heart to instruction
-
-and your ear to words of knowledge.
-
-13Do not withhold discipline from a child;
-
-if you strike him with a rod, he will not die.
-
-14If you strike him with the rod,
-
-you will save his soul from Sheol.
-
-15My son, if your heart is wise,
-
-my heart too will be glad.
-
-16My inmost being[91] will exult
-
-when your lips speak what is right.
-
-17Let not your heart envy sinners,
-
-but continue in the fear of the LORD all the day.
-
-18Surely there is a future,
-
-and your hope will not be cut off.
-
-19Hear, my son, and be wise,
-
-and direct your heart in the way.
-
-20Be not among drunkards[92]
-
-or among gluttonous eaters of meat,
-
-21for the drunkard and the glutton will come to poverty,
-
-and slumber will clothe them with rags.
-
-22Listen to your father who gave you life,
-
-and do not despise your mother when she is old.
-
-23Buy truth, and do not sell it;
-
-buy wisdom, instruction, and understanding.
-
-24The father of the righteous will greatly rejoice;
-
-he who fathers a wise son will be glad in him.
-
-25Let your father and mother be glad;
-
-let her who bore you rejoice.
-
-26My son, give me your heart,
-
-and let your eyes observe[93] my ways.
-
-27For a prostitute is a deep pit;
-
-an adulteress[94] is a narrow well.
-
-28She lies in wait like a robber
-
-and increases the traitors among mankind.
-
-29Who has woe? Who has sorrow?
-
-Who has strife? Who has complaining?
-
-Who has wounds without cause?
-
-Who has redness of eyes?
-
-30Those who tarry long over wine;
-
-those who go to try mixed wine.
-
-31Do not look at wine when it is red,
-
-when it sparkles in the cup
-
-and goes down smoothly.
-
-32In the end it bites like a serpent
-
-and stings like an adder.
-
-33Your eyes will see strange things,
-
-and your heart utter perverse things.
-
-34You will be like one who lies down in the midst of the sea,
-
-like one who lies on the top of a mast.[95]
-
-35“They struck me,” you will say,[96] “but I was not hurt;
-
-they beat me, but I did not feel it.
-
-When shall I awake?
-
-I must have another drink.”
-
-
-
-
-
-24:1 Be not envious of evil men,
-
-nor desire to be with them,
-
-2for their hearts devise violence,
-
-and their lips talk of trouble.
-
-3By wisdom a house is built,
-
-and by understanding it is established;
-
-4by knowledge the rooms are filled
-
-with all precious and pleasant riches.
-
-5A wise man is full of strength,
-
-and a man of knowledge enhances his might,
-
-6for by wise guidance you can wage your war,
-
-and in abundance of counselors there is victory.
-
-7Wisdom is too high for a fool;
-
-in the gate he does not open his mouth.
-
-8Whoever plans to do evil
-
-will be called a schemer.
-
-9The devising[97] of folly is sin,
-
-and the scoffer is an abomination to mankind.
-
-10If you faint in the day of adversity,
-
-your strength is small.
-
-11Rescue those who are being taken away to death;
-
-hold back those who are stumbling to the slaughter.
-
-12If you say, “Behold, we did not know this,”
-
-does not he who weighs the heart perceive it?
-
-Does not he who keeps watch over your soul know it,
-
-and will he not repay man according to his work?
-
-13My son, eat honey, for it is good,
-
-and the drippings of the honeycomb are sweet to your taste.
-
-14Know that wisdom is such to your soul;
-
-if you find it, there will be a future,
-
-and your hope will not be cut off.
-
-15Lie not in wait as a wicked man against the dwelling of the righteous;
-
-do no violence to his home;
-
-16for the righteous falls seven times and rises again,
-
-but the wicked stumble in times of calamity.
-
-17Do not rejoice when your enemy falls,
-
-and let not your heart be glad when he stumbles,
-
-18lest the LORD see it and be displeased,
-
-and turn away his anger from him.
-
-19Fret not yourself because of evildoers,
-
-and be not envious of the wicked,
-
-20for the evil man has no future;
-
-the lamp of the wicked will be put out.
-
-21My son, fear the LORD and the king,
-
-and do not join with those who do otherwise,
-
-22for disaster will arise suddenly from them,
-
-and who knows the ruin that will come from them both?
-
-
-
-
-
-More Sayings of the Wise
-
-
-23These also are sayings of the wise.
-
-Partiality in judging is not good.
-
-24Whoever says to the wicked, “You are in the right,”
-
-will be cursed by peoples, abhorred by nations,
-
-25but those who rebuke the wicked will have delight,
-
-and a good blessing will come upon them.
-
-26Whoever gives an honest answer
-
-kisses the lips.
-
-27Prepare your work outside;
-
-get everything ready for yourself in the field,
-
-and after that build your house.
-
-28Be not a witness against your neighbor without cause,
-
-and do not deceive with your lips.
-
-29Do not say, “I will do to him as he has done to me;
-
-I will pay the man back for what he has done.”
-
-30I passed by the field of a sluggard,
-
-by the vineyard of a man lacking sense,
-
-31and behold, it was all overgrown with thorns;
-
-the ground was covered with nettles,
-
-and its stone wall was broken down.
-
-32Then I saw and considered it;
-
-I looked and received instruction.
-
-33A little sleep, a little slumber,
-
-a little folding of the hands to rest,
-
-34and poverty will come upon you like a robber,
-
-and want like an armed man.
-
-
-
-
-
-More Proverbs of Solomon
-
-
-25:1 These also are proverbs of Solomon which the men of Hezekiah king of Judah copied.
-
-2It is the glory of God to conceal things,
-
-but the glory of kings is to search things out.
-
-3As the heavens for height, and the earth for depth,
-
-so the heart of kings is unsearchable.
-
-4Take away the dross from the silver,
-
-and the smith has material for a vessel;
-
-5take away the wicked from the presence of the king,
-
-and his throne will be established in righteousness.
-
-6Do not put yourself forward in the king's presence
-
-or stand in the place of the great,
-
-7for it is better to be told, “Come up here,”
-
-than to be put lower in the presence of a noble.
-
-What your eyes have seen
-
-8do not hastily bring into court,
-
-for[98] what will you do in the end,
-
-when your neighbor puts you to shame?
-
-9Argue your case with your neighbor himself,
-
-and do not reveal another's secret,
-
-10lest he who hears you bring shame upon you,
-
-and your ill repute have no end.
-
-11A word fitly spoken
-
-is like apples of gold in a setting of silver.
-
-12Like a gold ring or an ornament of gold
-
-is a wise reprover to a listening ear.
-
-13Like the cold of snow in the time of harvest
-
-is a faithful messenger to those who send him;
-
-he refreshes the soul of his masters.
-
-14Like clouds and wind without rain
-
-is a man who boasts of a gift he does not give.
-
-15With patience a ruler may be persuaded,
-
-and a soft tongue will break a bone.
-
-16If you have found honey, eat only enough for you,
-
-lest you have your fill of it and vomit it.
-
-17Let your foot be seldom in your neighbor's house,
-
-lest he have his fill of you and hate you.
-
-18A man who bears false witness against his neighbor
-
-is like a war club, or a sword, or a sharp arrow.
-
-19Trusting in a treacherous man in time of trouble
-
-is like a bad tooth or a foot that slips.
-
-20Whoever sings songs to a heavy heart
-
-is like one who takes off a garment on a cold day,
-
-and like vinegar on soda.
-
-21If your enemy is hungry, give him bread to eat,
-
-and if he is thirsty, give him water to drink,
-
-22for you will heap burning coals on his head,
-
-and the LORD will reward you.
-
-23The north wind brings forth rain,
-
-and a backbiting tongue, angry looks.
-
-24It is better to live in a corner of the housetop
-
-than in a house shared with a quarrelsome wife.
-
-25Like cold water to a thirsty soul,
-
-so is good news from a far country.
-
-26Like a muddied spring or a polluted fountain
-
-is a righteous man who gives way before the wicked.
-
-27It is not good to eat much honey,
-
-nor is it glorious to seek one's own glory.[99]
-
-28A man without self-control
-
-is like a city broken into and left without walls.
-
-
-
-
-
-26:1 Like snow in summer or rain in harvest,
-
-so honor is not fitting for a fool.
-
-2Like a sparrow in its flitting, like a swallow in its flying,
-
-a curse that is causeless does not alight.
-
-3A whip for the horse, a bridle for the donkey,
-
-and a rod for the back of fools.
-
-4Answer not a fool according to his folly,
-
-lest you be like him yourself.
-
-5Answer a fool according to his folly,
-
-lest he be wise in his own eyes.
-
-6Whoever sends a message by the hand of a fool
-
-cuts off his own feet and drinks violence.
-
-7Like a lame man's legs, which hang useless,
-
-is a proverb in the mouth of fools.
-
-8Like one who binds the stone in the sling
-
-is one who gives honor to a fool.
-
-9Like a thorn that goes up into the hand of a drunkard
-
-is a proverb in the mouth of fools.
-
-10Like an archer who wounds everyone
-
-is one who hires a passing fool or drunkard.[100]
-
-11Like a dog that returns to his vomit
-
-is a fool who repeats his folly.
-
-12Do you see a man who is wise in his own eyes?
-
-There is more hope for a fool than for him.
-
-13The sluggard says, “There is a lion in the road!
-
-There is a lion in the streets!”
-
-14As a door turns on its hinges,
-
-so does a sluggard on his bed.
-
-15The sluggard buries his hand in the dish;
-
-it wears him out to bring it back to his mouth.
-
-16The sluggard is wiser in his own eyes
-
-than seven men who can answer sensibly.
-
-17Whoever meddles in a quarrel not his own
-
-is like one who takes a passing dog by the ears.
-
-18Like a madman who throws firebrands, arrows, and death
-
-19is the man who deceives his neighbor
-
-and says, “I am only joking!”
-
-20For lack of wood the fire goes out,
-
-and where there is no whisperer, quarreling ceases.
-
-21As charcoal to hot embers and wood to fire,
-
-so is a quarrelsome man for kindling strife.
-
-22The words of a whisperer are like delicious morsels;
-
-they go down into the inner parts of the body.
-
-23Like the glaze[101] covering an earthen vessel
-
-are fervent lips with an evil heart.
-
-24Whoever hates disguises himself with his lips
-
-and harbors deceit in his heart;
-
-25when he speaks graciously, believe him not,
-
-for there are seven abominations in his heart;
-
-26though his hatred be covered with deception,
-
-his wickedness will be exposed in the assembly.
-
-27Whoever digs a pit will fall into it,
-
-and a stone will come back on him who starts it rolling.
-
-28A lying tongue hates its victims,
-
-and a flattering mouth works ruin.
-
-
-
-
-
-27:1 Do not boast about tomorrow,
-
-for you do not know what a day may bring.
-
-2Let another praise you, and not your own mouth;
-
-a stranger, and not your own lips.
-
-3A stone is heavy, and sand is weighty,
-
-but a fool's provocation is heavier than both.
-
-4Wrath is cruel, anger is overwhelming,
-
-but who can stand before jealousy?
-
-5Better is open rebuke
-
-than hidden love.
-
-6Faithful are the wounds of a friend;
-
-profuse are the kisses of an enemy.
-
-7One who is full loathes honey,
-
-but to one who is hungry everything bitter is sweet.
-
-8Like a bird that strays from its nest
-
-is a man who strays from his home.
-
-9Oil and perfume make the heart glad,
-
-and the sweetness of a friend comes from his earnest counsel.[102]
-
-10Do not forsake your friend and your father's friend,
-
-and do not go to your brother's house in the day of your calamity.
-
-Better is a neighbor who is near
-
-than a brother who is far away.
-
-11Be wise, my son, and make my heart glad,
-
-that I may answer him who reproaches me.
-
-12The prudent sees danger and hides himself,
-
-but the simple go on and suffer for it.
-
-13Take a man's garment when he has put up security for a stranger,
-
-and hold it in pledge when he puts up security for an adulteress.[103]
-
-14Whoever blesses his neighbor with a loud voice,
-
-rising early in the morning,
-
-will be counted as cursing.
-
-15A continual dripping on a rainy day
-
-and a quarrelsome wife are alike;
-
-16to restrain her is to restrain the wind
-
-or to grasp[104] oil in one's right hand.
-
-17Iron sharpens iron,
-
-and one man sharpens another.[105]
-
-18Whoever tends a fig tree will eat its fruit,
-
-and he who guards his master will be honored.
-
-19As in water face reflects face,
-
-so the heart of man reflects the man.
-
-20Sheol and Abaddon are never satisfied,
-
-and never satisfied are the eyes of man.
-
-21The crucible is for silver, and the furnace is for gold,
-
-and a man is tested by his praise.
-
-22Crush a fool in a mortar with a pestle
-
-along with crushed grain,
-
-yet his folly will not depart from him.
-
-23Know well the condition of your flocks,
-
-and give attention to your herds,
-
-24for riches do not last forever;
-
-and does a crown endure to all generations?
-
-25When the grass is gone and the new growth appears
-
-and the vegetation of the mountains is gathered,
-
-26the lambs will provide your clothing,
-
-and the goats the price of a field.
-
-27There will be enough goats' milk for your food,
-
-for the food of your household
-
-and maintenance for your girls.
-
-
-
-
-
-28:1 The wicked flee when no one pursues,
-
-but the righteous are bold as a lion.
-
-2When a land transgresses, it has many rulers,
-
-but with a man of understanding and knowledge,
-
-its stability will long continue.
-
-3A poor man who oppresses the poor
-
-is a beating rain that leaves no food.
-
-4Those who forsake the law praise the wicked,
-
-but those who keep the law strive against them.
-
-5Evil men do not understand justice,
-
-but those who seek the LORD understand it completely.
-
-6Better is a poor man who walks in his integrity
-
-than a rich man who is crooked in his ways.
-
-7The one who keeps the law is a son with understanding,
-
-but a companion of gluttons shames his father.
-
-8Whoever multiplies his wealth by interest and profit[106]
-
-gathers it for him who is generous to the poor.
-
-9If one turns away his ear from hearing the law,
-
-even his prayer is an abomination.
-
-10Whoever misleads the upright into an evil way
-
-will fall into his own pit,
-
-but the blameless will have a goodly inheritance.
-
-11A rich man is wise in his own eyes,
-
-but a poor man who has understanding will find him out.
-
-12When the righteous triumph, there is great glory,
-
-but when the wicked rise, people hide themselves.
-
-13Whoever conceals his transgressions will not prosper,
-
-but he who confesses and forsakes them will obtain mercy.
-
-14Blessed is the one who fears the LORD always,
-
-but whoever hardens his heart will fall into calamity.
-
-15Like a roaring lion or a charging bear
-
-is a wicked ruler over a poor people.
-
-16A ruler who lacks understanding is a cruel oppressor,
-
-but he who hates unjust gain will prolong his days.
-
-17If one is burdened with the blood of another,
-
-he will be a fugitive until death;[107]
-
-let no one help him.
-
-18Whoever walks in integrity will be delivered,
-
-but he who is crooked in his ways will suddenly fall.
-
-19Whoever works his land will have plenty of bread,
-
-but he who follows worthless pursuits will have plenty of poverty.
-
-20A faithful man will abound with blessings,
-
-but whoever hastens to be rich will not go unpunished.
-
-21To show partiality is not good,
-
-but for a piece of bread a man will do wrong.
-
-22A stingy man[108] hastens after wealth
-
-and does not know that poverty will come upon him.
-
-23Whoever rebukes a man will afterward find more favor
-
-than he who flatters with his tongue.
-
-24Whoever robs his father or his mother
-
-and says, “That is no transgression,”
-
-is a companion to a man who destroys.
-
-25A greedy man stirs up strife,
-
-but the one who trusts in the LORD will be enriched.
-
-26Whoever trusts in his own mind is a fool,
-
-but he who walks in wisdom will be delivered.
-
-27Whoever gives to the poor will not want,
-
-but he who hides his eyes will get many a curse.
-
-28When the wicked rise, people hide themselves,
-
-but when they perish, the righteous increase.
-
-
-
-
-
-29:1 He who is often reproved, yet stiffens his neck,
-
-will suddenly be broken beyond healing.
-
-2When the righteous increase, the people rejoice,
-
-but when the wicked rule, the people groan.
-
-3He who loves wisdom makes his father glad,
-
-but a companion of prostitutes squanders his wealth.
-
-4By justice a king builds up the land,
-
-but he who exacts gifts[109] tears it down.
-
-5A man who flatters his neighbor
-
-spreads a net for his feet.
-
-6An evil man is ensnared in his transgression,
-
-but a righteous man sings and rejoices.
-
-7A righteous man knows the rights of the poor;
-
-a wicked man does not understand such knowledge.
-
-8Scoffers set a city aflame,
-
-but the wise turn away wrath.
-
-9If a wise man has an argument with a fool,
-
-the fool only rages and laughs, and there is no quiet.
-
-10Bloodthirsty men hate one who is blameless
-
-and seek the life of the upright.[110]
-
-11A fool gives full vent to his spirit,
-
-but a wise man quietly holds it back.
-
-12If a ruler listens to falsehood,
-
-all his officials will be wicked.
-
-13The poor man and the oppressor meet together;
-
-the LORD gives light to the eyes of both.
-
-14If a king faithfully judges the poor,
-
-his throne will be established forever.
-
-15The rod and reproof give wisdom,
-
-but a child left to himself brings shame to his mother.
-
-16When the wicked increase, transgression increases,
-
-but the righteous will look upon their downfall.
-
-17Discipline your son, and he will give you rest;
-
-he will give delight to your heart.
-
-18Where there is no prophetic vision the people cast off restraint,[111]
-
-but blessed is he who keeps the law.
-
-19By mere words a servant is not disciplined,
-
-for though he understands, he will not respond.
-
-20Do you see a man who is hasty in his words?
-
-There is more hope for a fool than for him.
-
-21Whoever pampers his servant from childhood
-
-will in the end find him his heir.[112]
-
-22A man of wrath stirs up strife,
-
-and one given to anger causes much transgression.
-
-23One's pride will bring him low,
-
-but he who is lowly in spirit will obtain honor.
-
-24The partner of a thief hates his own life;
-
-he hears the curse, but discloses nothing.
-
-25The fear of man lays a snare,
-
-but whoever trusts in the LORD is safe.
-
-26Many seek the face of a ruler,
-
-but it is from the LORD that a man gets justice.
-
-27An unjust man is an abomination to the righteous,
-
-but one whose way is straight is an abomination to the wicked.
-
-
-
-
-
-The Words of Agur
-
-
-30:1 The words of Agur son of Jakeh. The oracle.[113]
-
-The man declares, I am weary, O God;
-
-I am weary, O God, and worn out.[114]
-
-2Surely I am too stupid to be a man.
-
-I have not the understanding of a man.
-
-3I have not learned wisdom,
-
-nor have I knowledge of the Holy One.
-
-4Who has ascended to heaven and come down?
-
-Who has gathered the wind in his fists?
-
-Who has wrapped up the waters in a garment?
-
-Who has established all the ends of the earth?
-
-What is his name, and what is his son's name?
-
-Surely you know!
-
-5Every word of God proves true;
-
-he is a shield to those who take refuge in him.
-
-6Do not add to his words,
-
-lest he rebuke you and you be found a liar.
-
-7Two things I ask of you;
-
-deny them not to me before I die:
-
-8Remove far from me falsehood and lying;
-
-give me neither poverty nor riches;
-
-feed me with the food that is needful for me,
-
-9lest I be full and deny you
-
-and say, “Who is the LORD?”
-
-or lest I be poor and steal
-
-and profane the name of my God.
-
-10Do not slander a servant to his master,
-
-lest he curse you, and you be held guilty.
-
-11There are those[115] who curse their fathers
-
-and do not bless their mothers.
-
-12There are those who are clean in their own eyes
-
-but are not washed of their filth.
-
-13There are those—how lofty are their eyes,
-
-how high their eyelids lift!
-
-14There are those whose teeth are swords,
-
-whose fangs are knives,
-
-to devour the poor from off the earth,
-
-the needy from among mankind.
-
-15The leech has two daughters:
-
-Give and Give.[116]
-
-Three things are never satisfied;
-
-four never say, “Enough”:
-
-16Sheol, the barren womb,
-
-the land never satisfied with water,
-
-and the fire that never says, “Enough.”
-
-17The eye that mocks a father
-
-and scorns to obey a mother
-
-will be picked out by the ravens of the valley
-
-and eaten by the vultures.
-
-18Three things are too wonderful for me;
-
-four I do not understand:
-
-19the way of an eagle in the sky,
-
-the way of a serpent on a rock,
-
-the way of a ship on the high seas,
-
-and the way of a man with a virgin.
-
-20This is the way of an adulteress:
-
-she eats and wipes her mouth
-
-and says, “I have done no wrong.”
-
-21Under three things the earth trembles;
-
-under four it cannot bear up:
-
-22a slave when he becomes king,
-
-and a fool when he is filled with food;
-
-23an unloved woman when she gets a husband,
-
-and a maidservant when she displaces her mistress.
-
-24Four things on earth are small,
-
-but they are exceedingly wise:
-
-25the ants are a people not strong,
-
-yet they provide their food in the summer;
-
-26the rock badgers are a people not mighty,
-
-yet they make their homes in the cliffs;
-
-27the locusts have no king,
-
-yet all of them march in rank;
-
-28the lizard you can take in your hands,
-
-yet it is in kings' palaces.
-
-29Three things are stately in their tread;
-
-four are stately in their stride:
-
-30the lion, which is mightiest among beasts
-
-and does not turn back before any;
-
-31the strutting rooster,[117] the he-goat,
-
-and a king whose army is with him.[118]
-
-32If you have been foolish, exalting yourself,
-
-or if you have been devising evil,
-
-put your hand on your mouth.
-
-33For pressing milk produces curds,
-
-pressing the nose produces blood,
-
-and pressing anger produces strife.
-
-
-
-
-
-The Words of King Lemuel
-
-
-31:1 The words of King Lemuel. An oracle that his mother taught him:
-
-2What are you doing, my son?[119] What are you doing, son of my womb?
-
-What are you doing, son of my vows?
-
-3Do not give your strength to women,
-
-your ways to those who destroy kings.
-
-4It is not for kings, O Lemuel,
-
-it is not for kings to drink wine,
-
-or for rulers to take strong drink,
-
-5lest they drink and forget what has been decreed
-
-and pervert the rights of all the afflicted.
-
-6Give strong drink to the one who is perishing,
-
-and wine to those in bitter distress;[120]
-
-7let them drink and forget their poverty
-
-and remember their misery no more.
-
-8Open your mouth for the mute,
-
-for the rights of all who are destitute.[121]
-
-9Open your mouth, judge righteously,
-
-defend the rights of the poor and needy.
-
-
-
-
-
-The Woman Who Fears the LORD
-
-
-10[122] An excellent wife who can find?
-
-She is far more precious than jewels.
-
-11The heart of her husband trusts in her,
-
-and he will have no lack of gain.
-
-12She does him good, and not harm,
-
-all the days of her life.
-
-13She seeks wool and flax,
-
-and works with willing hands.
-
-14She is like the ships of the merchant;
-
-she brings her food from afar.
-
-15She rises while it is yet night
-
-and provides food for her household
-
-and portions for her maidens.
-
-16She considers a field and buys it;
-
-with the fruit of her hands she plants a vineyard.
-
-17She dresses herself[123] with strength
-
-and makes her arms strong.
-
-18She perceives that her merchandise is profitable.
-
-Her lamp does not go out at night.
-
-19She puts her hands to the distaff,
-
-and her hands hold the spindle.
-
-20She opens her hand to the poor
-
-and reaches out her hands to the needy.
-
-21She is not afraid of snow for her household,
-
-for all her household are clothed in scarlet.[124]
-
-22She makes bed coverings for herself;
-
-her clothing is fine linen and purple.
-
-23Her husband is known in the gates
-
-when he sits among the elders of the land.
-
-24She makes linen garments and sells them;
-
-she delivers sashes to the merchant.
-
-25Strength and dignity are her clothing,
-
-and she laughs at the time to come.
-
-26She opens her mouth with wisdom,
-
-and the teaching of kindness is on her tongue.
-
-27She looks well to the ways of her household
-
-and does not eat the bread of idleness.
-
-28Her children rise up and call her blessed;
-
-her husband also, and he praises her:
-
-29“Many women have done excellently,
-
-but you surpass them all.”
-
-30Charm is deceitful, and beauty is vain,
-
-but a woman who fears the LORD is to be praised.
-
-31Give her of the fruit of her hands,
-
-and let her works praise her in the gates.
-
-
-
-
-
-Footnotes
-
-
-[1] 1:23 Or Will you turn away at my reproof?
-
-[2] 2:16 Hebrew strange
-
-[3] 2:16 Hebrew foreign woman
-
-[4] 2:18 Hebrew to the Rephaim
-
-[5] 3:4 Or repute
-
-[6] 3:8 Hebrew navel
-
-[7] 3:8 Or medicine
-
-[8] 3:25 Hebrew storm
-
-[9] 3:27 Hebrew Do not withhold good from its owners
-
-[10] 3:34 Or grace
-
-[11] 3:35 The meaning of the Hebrew word is uncertain
-
-[12] 4:1 Hebrew know
-
-[13] 4:22 Hebrew his
-
-[14] 4:26 Or Make level
-
-[15] 5:3 Hebrew strange; also verse 20
-
-[16] 5:3 Hebrew palate
-
-[17] 5:5 Hebrew lay hold of
-
-[18] 5:19 Hebrew be led astray; also verse 20
-
-[19] 5:20 Hebrew a foreign woman
-
-[20] 5:21 Or makes level
-
-[21] 6:3 Or humble yourself
-
-[22] 6:5 Hebrew lacks of the hunter
-
-[23] 6:13 Hebrew scrapes
-
-[24] 6:22 Hebrew it; three times in this verse
-
-[25] 6:24 Revocalization (compare Septuagint) yields from the wife of a neighbor
-
-[26] 6:24 Hebrew the foreign woman
-
-[27] 6:26 Or (compare Septuagint, Syriac, Vulgate) for a prostitute leaves a man with nothing but a loaf of bread
-
-[28] 6:26 Hebrew a man's wife
-
-[29] 7:5 Hebrew strange
-
-[30] 7:5 Hebrew the foreign woman
-
-[31] 7:10 Hebrew guarded in heart
-
-[32] 7:14 Hebrew peace offerings
-
-[33] 7:22 Probable reading (compare Septuagint, Vulgate, Syriac); Hebrew as an anklet for the discipline of a fool
-
-[34] 8:16 Most Hebrew manuscripts; many Hebrew manuscripts, Septuagint govern the earth
-
-[35] 8:22 Or fathered; Septuagint created
-
-[36] 8:22 Hebrew way
-
-[37] 8:28 The meaning of the Hebrew is uncertain
-
-[38] 8:30 Or daily filled with
-
-[39] 9:6 Or Leave the company of the simple
-
-[40] 9:9 Hebrew lacks instruction
-
-[41] 9:13 Or full of simpleness
-
-[42] 9:18 Hebrew Rephaim
-
-[43] 10:22 Or and toil adds nothing to it
-
-[44] 11:7 Or of his strength, or of iniquity
-
-[45] 11:27 Or acceptance
-
-[46] 12:17 Hebrew breathes out
-
-[47] 12:26 Or The righteous chooses his friends carefully
-
-[48] 12:27 Or but diligence is precious wealth
-
-[49] 13:5 Or stench
-
-[50] 13:11 Or by fraud
-
-[51] 13:15 Probable reading (compare Septuagint, Syriac, Vulgate); Hebrew is rugged, or is an enduring rut
-
-[52] 13:21 Or Evil
-
-[53] 13:24 Or who loves him disciplines him early
-
-[54] 14:3 Or In the mouth of a fool is a rod of pride
-
-[55] 14:9 Hebrew but among the upright is acceptance
-
-[56] 14:12 Hebrew ways of death
-
-[57] 14:16 Or fears [the LORD]
-
-[58] 14:22 Or show
-
-[59] 14:30 Or healing
-
-[60] 14:30 Or jealousy
-
-[61] 14:33 Or Wisdom rests quietly in the heart of a man of understanding, but makes itself known in the midst of fools
-
-[62] 15:4 Or healing
-
-[63] 15:7 Or the hearts of fools are not steadfast
-
-[64] 15:30 Hebrew makes fat
-
-[65] 16:20 Or to a matter
-
-[66] 16:25 Hebrew ways of death
-
-[67] 16:27 Hebrew what is on his lips
-
-[68] 16:30 Hebrew to plan
-
-[69] 17:1 Hebrew sacrifices
-
-[70] 17:23 Hebrew a bribe from the bosom
-
-[71] 18:5 Hebrew to lift the face of
-
-[72] 19:2 Or A soul
-
-[73] 19:6 Or of a noble
-
-[74] 19:7 The meaning of the Hebrew sentence is uncertain
-
-[75] 20:1 Or will not become wise
-
-[76] 20:10 Or Two kinds of; also verse 23
-
-[77] 20:11 Or Even a child can dissemble in his actions, though his conduct seems pure and upright
-
-[78] 20:16 Or for an adulteress (compare 27:13)
-
-[79] 20:19 Hebrew with one who is simple in his lips
-
-[80] 20:27 Hebrew breath
-
-[81] 21:4 Or the plowing
-
-[82] 21:6 Some Hebrew manuscripts, Septuagint, Latin; most Hebrew manuscripts vapor for those who seek death
-
-[83] 21:14 Hebrew a bribe in the bosom
-
-[84] 21:29 Or establishes
-
-[85] 22:4 Or The reward for humility is the fear of the LORD, riches and honor and life
-
-[86] 22:9 Hebrew good
-
-[87] 22:14 Hebrew strange
-
-[88] 23:1 Or who
-
-[89] 23:6 Hebrew whose eye is evil
-
-[90] 23:7 Or for as he calculates in his soul, so is he
-
-[91] 23:16 Hebrew My kidneys
-
-[92] 23:20 Hebrew those who drink too much wine
-
-[93] 23:26 Or delight in
-
-[94] 23:27 Hebrew a foreign woman
-
-[95] 23:34 Or of the rigging
-
-[96] 23:35 Hebrew lacks you will say
-
-[97] 24:9 Or scheming
-
-[98] 25:8 Hebrew or else
-
-[99] 25:27 The meaning of the Hebrew line is uncertain
-
-[100] 26:10 Or hires a fool or passersby
-
-[101] 26:23 By revocalization; Hebrew silver of dross
-
-[102] 27:9 Or and so does the sweetness of a friend that comes from his earnest counsel
-
-[103] 27:13 Hebrew a foreign woman; a slight emendation yields (compare Vulgate; see also 20:16) foreigners
-
-[104] 27:16 Hebrew to meet with
-
-[105] 27:17 Hebrew sharpens the face of another
-
-[106] 28:8 That is, profit that comes from charging interest to the poor
-
-[107] 28:17 Hebrew until the pit
-
-[108] 28:22 Hebrew A man whose eye is evil
-
-[109] 29:4 Or who taxes heavily
-
-[110] 29:10 Or but the upright seek his soul
-
-[111] 29:18 Or the people are discouraged
-
-[112] 29:21 The meaning of the Hebrew word rendered his heir is uncertain
-
-[113] 30:1 Or Jakeh, the man of Massa
-
-[114] 30:1 Revocalization; Hebrew The man declares to Ithiel, to Ithiel and Ucal
-
-[115] 30:11 Hebrew There is a generation; also verses 12, 13, 14
-
-[116] 30:15 Or “Give, give,” they cry
-
-[117] 30:31 Or the magpie, or the greyhound; Hebrew girt-of-loins
-
-[118] 30:31 Or against whom there is no rising up
-
-[119] 31:2 Hebrew What, my son?
-
-[120] 31:6 Hebrew those bitter in soul
-
-[121] 31:8 Hebrew are sons of passing away
-
-[122] 31:10 Verses 10-31 are an acrostic poem, each verse beginning with the successive letters of the Hebrew alphabet
-
-[123] 31:17 Hebrew She girds her loins
-
-[124] 31:21 Or in double thickness
-
-
-
-
-
-ECCLESIASTES
-
-
-Chapter 1
-
-Chapter 2
-
-Chapter 3
-
-Chapter 4
-
-Chapter 5
-
-Chapter 6
-
-Chapter 7
-
-Chapter 8
-
-Chapter 9
-
-Chapter 10
-
-Chapter 11
-
-Chapter 12
-
-
-
-
-
-All Is Vanity
-
-
-1:1 The words of the Preacher,[1] the son of David, king in Jerusalem.
-
-2Vanity[2] of vanities, says the Preacher,
-
-vanity of vanities! All is vanity.
-
-3What does man gain by all the toil
-
-at which he toils under the sun?
-
-4A generation goes, and a generation comes,
-
-but the earth remains forever.
-
-5The sun rises, and the sun goes down,
-
-and hastens[3] to the place where it rises.
-
-6The wind blows to the south
-
-and goes around to the north;
-
-around and around goes the wind,
-
-and on its circuits the wind returns.
-
-7All streams run to the sea,
-
-but the sea is not full;
-
-to the place where the streams flow,
-
-there they flow again.
-
-8All things are full of weariness;
-
-a man cannot utter it;
-
-the eye is not satisfied with seeing,
-
-nor the ear filled with hearing.
-
-9What has been is what will be,
-
-and what has been done is what will be done,
-
-and there is nothing new under the sun.
-
-10Is there a thing of which it is said,
-
-“See, this is new”?
-
-It has been already
-
-in the ages before us.
-
-11There is no remembrance of former things,[4]
-
-nor will there be any remembrance
-
-of later things[5] yet to be
-
-among those who come after.
-
-
-
-
-
-The Vanity of Wisdom
-
-
-12I the Preacher have been king over Israel in Jerusalem. 13And I applied my heart[6] to seek and to search out by wisdom all that is done under heaven. It is an unhappy business that God has given to the children of man to be busy with. 14I have seen everything that is done under the sun, and behold, all is vanity and a striving after wind.[7]
-
-15What is crooked cannot be made straight,
-
-and what is lacking cannot be counted.
-
-16I said in my heart, “I have acquired great wisdom, surpassing all who were over Jerusalem before me, and my heart has had great experience of wisdom and knowledge.” 17And I applied my heart to know wisdom and to know madness and folly. I perceived that this also is but a striving after wind.
-
-18For in much wisdom is much vexation,
-
-and he who increases knowledge increases sorrow.
-
-
-
-
-
-The Vanity of Self-Indulgence
-
-
-2:1 I said in my heart, “Come now, I will test you with pleasure; enjoy yourself.” But behold, this also was vanity. 2I said of laughter, “It is mad,” and of pleasure, “What use is it?” 3I searched with my heart how to cheer my body with wine—my heart still guiding me with wisdom—and how to lay hold on folly, till I might see what was good for the children of man to do under heaven during the few days of their life. 4I made great works. I built houses and planted vineyards for myself. 5I made myself gardens and parks, and planted in them all kinds of fruit trees. 6I made myself pools from which to water the forest of growing trees. 7I bought male and female slaves, and had slaves who were born in my house. I had also great possessions of herds and flocks, more than any who had been before me in Jerusalem. 8I also gathered for myself silver and gold and the treasure of kings and provinces. I got singers, both men and women, and many concubines,[8] the delight of the children of man.
-
-9So I became great and surpassed all who were before me in Jerusalem. Also my wisdom remained with me. 10And whatever my eyes desired I did not keep from them. I kept my heart from no pleasure, for my heart found pleasure in all my toil, and this was my reward for all my toil. 11Then I considered all that my hands had done and the toil I had expended in doing it, and behold, all was vanity and a striving after wind, and there was nothing to be gained under the sun.
-
-
-
-
-
-The Vanity of Living Wisely
-
-
-12So I turned to consider wisdom and madness and folly. For what can the man do who comes after the king? Only what has already been done. 13Then I saw that there is more gain in wisdom than in folly, as there is more gain in light than in darkness. 14The wise person has his eyes in his head, but the fool walks in darkness. And yet I perceived that the same event happens to all of them. 15Then I said in my heart, “What happens to the fool will happen to me also. Why then have I been so very wise?” And I said in my heart that this also is vanity. 16For of the wise as of the fool there is no enduring remembrance, seeing that in the days to come all will have been long forgotten. How the wise dies just like the fool! 17So I hated life, because what is done under the sun was grievous to me, for all is vanity and a striving after wind.
-
-
-
-
-
-The Vanity of Toil
-
-
-18I hated all my toil in which I toil under the sun, seeing that I must leave it to the man who will come after me, 19and who knows whether he will be wise or a fool? Yet he will be master of all for which I toiled and used my wisdom under the sun. This also is vanity. 20So I turned about and gave my heart up to despair over all the toil of my labors under the sun, 21because sometimes a person who has toiled with wisdom and knowledge and skill must leave everything to be enjoyed by someone who did not toil for it. This also is vanity and a great evil. 22What has a man from all the toil and striving of heart with which he toils beneath the sun? 23For all his days are full of sorrow, and his work is a vexation. Even in the night his heart does not rest. This also is vanity.
-
-24There is nothing better for a person than that he should eat and drink and find enjoyment[9] in his toil. This also, I saw, is from the hand of God, 25for apart from him[10] who can eat or who can have enjoyment? 26For to the one who pleases him God has given wisdom and knowledge and joy, but to the sinner he has given the business of gathering and collecting, only to give to one who pleases God. This also is vanity and a striving after wind.
-
-
-
-
-
-A Time for Everything
-
-
-3:1 For everything there is a season, and a time for every matter under heaven:
-
-2a time to be born, and a time to die;
-
-a time to plant, and a time to pluck up what is planted;
-
-3a time to kill, and a time to heal;
-
-a time to break down, and a time to build up;
-
-4a time to weep, and a time to laugh;
-
-a time to mourn, and a time to dance;
-
-5a time to cast away stones, and a time to gather stones together;
-
-a time to embrace, and a time to refrain from embracing;
-
-6a time to seek, and a time to lose;
-
-a time to keep, and a time to cast away;
-
-7a time to tear, and a time to sew;
-
-a time to keep silence, and a time to speak;
-
-8a time to love, and a time to hate;
-
-a time for war, and a time for peace.
-
-
-
-
-
-The God-Given Task
-
-
-9What gain has the worker from his toil? 10I have seen the business that God has given to the children of man to be busy with. 11He has made everything beautiful in its time. Also, he has put eternity into man's heart, yet so that he cannot find out what God has done from the beginning to the end. 12I perceived that there is nothing better for them than to be joyful and to do good as long as they live; 13also that everyone should eat and drink and take pleasure in all his toil—this is God's gift to man.
-
-14I perceived that whatever God does endures forever; nothing can be added to it, nor anything taken from it. God has done it, so that people fear before him. 15That which is, already has been; that which is to be, already has been; and God seeks what has been driven away.[11]
-
-
-
-
-
-From Dust to Dust
-
-
-16Moreover, I saw under the sun that in the place of justice, even there was wickedness, and in the place of righteousness, even there was wickedness. 17I said in my heart, God will judge the righteous and the wicked, for there is a time for every matter and for every work. 18I said in my heart with regard to the children of man that God is testing them that they may see that they themselves are but beasts. 19For what happens to the children of man and what happens to the beasts is the same; as one dies, so dies the other. They all have the same breath, and man has no advantage over the beasts, for all is vanity. 20All go to one place. All are from the dust, and to dust all return. 21Who knows whether the spirit of man goes upward and the spirit of the beast goes down into the earth? 22So I saw that there is nothing better than that a man should rejoice in his work, for that is his lot. Who can bring him to see what will be after him?
-
-
-
-
-
-Evil Under the Sun
-
-
-4:1 Again I saw all the oppressions that are done under the sun. And behold, the tears of the oppressed, and they had no one to comfort them! On the side of their oppressors there was power, and there was no one to comfort them. 2And I thought the dead who are already dead more fortunate than the living who are still alive. 3But better than both is he who has not yet been and has not seen the evil deeds that are done under the sun.
-
-4Then I saw that all toil and all skill in work come from a man's envy of his neighbor. This also is vanity and a striving after wind.
-
-5The fool folds his hands and eats his own flesh.
-
-6Better is a handful of quietness than two hands full of toil and a striving after wind.
-
-7Again, I saw vanity under the sun: 8one person who has no other, either son or brother, yet there is no end to all his toil, and his eyes are never satisfied with riches, so that he never asks, “For whom am I toiling and depriving myself of pleasure?” This also is vanity and an unhappy business.
-
-9Two are better than one, because they have a good reward for their toil. 10For if they fall, one will lift up his fellow. But woe to him who is alone when he falls and has not another to lift him up! 11Again, if two lie together, they keep warm, but how can one keep warm alone? 12And though a man might prevail against one who is alone, two will withstand him—a threefold cord is not quickly broken.
-
-13Better was a poor and wise youth than an old and foolish king who no longer knew how to take advice. 14For he went from prison to the throne, though in his own kingdom he had been born poor. 15I saw all the living who move about under the sun, along with that[12] youth who was to stand in the king's[13] place. 16There was no end of all the people, all of whom he led. Yet those who come later will not rejoice in him. Surely this also is vanity and a striving after wind.
-
-
-
-
-
-Fear God
-
-
-5:1 [14] Guard your steps when you go to the house of God. To draw near to listen is better than to offer the sacrifice of fools, for they do not know that they are doing evil. 2[15] Be not rash with your mouth, nor let your heart be hasty to utter a word before God, for God is in heaven and you are on earth. Therefore let your words be few. 3For a dream comes with much business, and a fool's voice with many words.
-
-4When you vow a vow to God, do not delay paying it, for he has no pleasure in fools. Pay what you vow. 5It is better that you should not vow than that you should vow and not pay. 6Let not your mouth lead you[16] into sin, and do not say before the messenger[17] that it was a mistake. Why should God be angry at your voice and destroy the work of your hands? 7For when dreams increase and words grow many, there is vanity;[18] but God is the one you must fear.
-
-
-
-
-
-The Vanity of Wealth and Honor
-
-
-8If you see in a province the oppression of the poor and the violation of justice and righteousness, do not be amazed at the matter, for the high official is watched by a higher, and there are yet higher ones over them. 9But this is gain for a land in every way: a king committed to cultivated fields.[19]
-
-10He who loves money will not be satisfied with money, nor he who loves wealth with his income; this also is vanity. 11When goods increase, they increase who eat them, and what advantage has their owner but to see them with his eyes? 12Sweet is the sleep of a laborer, whether he eats little or much, but the full stomach of the rich will not let him sleep.
-
-13There is a grievous evil that I have seen under the sun: riches were kept by their owner to his hurt, 14and those riches were lost in a bad venture. And he is father of a son, but he has nothing in his hand. 15As he came from his mother's womb he shall go again, naked as he came, and shall take nothing for his toil that he may carry away in his hand. 16This also is a grievous evil: just as he came, so shall he go, and what gain is there to him who toils for the wind? 17Moreover, all his days he eats in darkness in much vexation and sickness and anger.
-
-18Behold, what I have seen to be good and fitting is to eat and drink and find enjoyment[20] in all the toil with which one toils under the sun the few days of his life that God has given him, for this is his lot. 19Everyone also to whom God has given wealth and possessions and power to enjoy them, and to accept his lot and rejoice in his toil—this is the gift of God. 20For he will not much remember the days of his life because God keeps him occupied with joy in his heart.
-
-
-
-
-
-6:1 There is an evil that I have seen under the sun, and it lies heavy on mankind: 2a man to whom God gives wealth, possessions, and honor, so that he lacks nothing of all that he desires, yet God does not give him power to enjoy them, but a stranger enjoys them. This is vanity; it is a grievous evil. 3If a man fathers a hundred children and lives many years, so that the days of his years are many, but his soul is not satisfied with life's good things, and he also has no burial, I say that a stillborn child is better off than he. 4For it comes in vanity and goes in darkness, and in darkness its name is covered. 5Moreover, it has not seen the sun or known anything, yet it finds rest rather than he. 6Even though he should live a thousand years twice over, yet enjoy[21] no good—do not all go to the one place?
-
-7All the toil of man is for his mouth, yet his appetite is not satisfied.[22] 8For what advantage has the wise man over the fool? And what does the poor man have who knows how to conduct himself before the living? 9Better is the sight of the eyes than the wandering of the appetite: this also is vanity and a striving after wind.
-
-10Whatever has come to be has already been named, and it is known what man is, and that he is not able to dispute with one stronger than he. 11The more words, the more vanity, and what is the advantage to man? 12For who knows what is good for man while he lives the few days of his vain life, which he passes like a shadow? For who can tell man what will be after him under the sun?
-
-
-
-
-
-The Contrast of Wisdom and Folly
-
-
-7:1 A good name is better than precious ointment,
-
-and the day of death than the day of birth.
-
-2It is better to go to the house of mourning
-
-than to go to the house of feasting,
-
-for this is the end of all mankind,
-
-and the living will lay it to heart.
-
-3Sorrow is better than laughter,
-
-for by sadness of face the heart is made glad.
-
-4The heart of the wise is in the house of mourning,
-
-but the heart of fools is in the house of mirth.
-
-5It is better for a man to hear the rebuke of the wise
-
-than to hear the song of fools.
-
-6For as the crackling of thorns under a pot,
-
-so is the laughter of the fools;
-
-this also is vanity.
-
-7Surely oppression drives the wise into madness,
-
-and a bribe corrupts the heart.
-
-8Better is the end of a thing than its beginning,
-
-and the patient in spirit is better than the proud in spirit.
-
-9Be not quick in your spirit to become angry,
-
-for anger lodges in the bosom of fools.
-
-10Say not, “Why were the former days better than these?”
-
-For it is not from wisdom that you ask this.
-
-11Wisdom is good with an inheritance,
-
-an advantage to those who see the sun.
-
-12For the protection of wisdom is like the protection of money,
-
-and the advantage of knowledge is that wisdom preserves the life of him who has it.
-
-13Consider the work of God:
-
-who can make straight what he has made crooked?
-
-14In the day of prosperity be joyful, and in the day of adversity consider: God has made the one as well as the other, so that man may not find out anything that will be after him.
-
-15In my vain life I have seen everything. There is a righteous man who perishes in his righteousness, and there is a wicked man who prolongs his life in his evildoing. 16Be not overly righteous, and do not make yourself too wise. Why should you destroy yourself? 17Be not overly wicked, neither be a fool. Why should you die before your time? 18It is good that you should take hold of this, and from that withhold not your hand, for the one who fears God shall come out from both of them.
-
-19Wisdom gives strength to the wise man more than ten rulers who are in a city.
-
-20Surely there is not a righteous man on earth who does good and never sins.
-
-21Do not take to heart all the things that people say, lest you hear your servant cursing you. 22Your heart knows that many times you yourself have cursed others.
-
-23All this I have tested by wisdom. I said, “I will be wise,” but it was far from me. 24That which has been is far off, and deep, very deep; who can find it out?
-
-25I turned my heart to know and to search out and to seek wisdom and the scheme of things, and to know the wickedness of folly and the foolishness that is madness. 26And I find something more bitter than death: the woman whose heart is snares and nets, and whose hands are fetters. He who pleases God escapes her, but the sinner is taken by her. 27Behold, this is what I found, says the Preacher, while adding one thing to another to find the scheme of things— 28which my soul has sought repeatedly, but I have not found. One man among a thousand I found, but a woman among all these I have not found. 29See, this alone I found, that God made man upright, but they have sought out many schemes.
-
-
-
-
-
-Keep the King's Command
-
-
-8:1 Who is like the wise?
-
-And who knows the interpretation of a thing?
-
-A man's wisdom makes his face shine,
-
-and the hardness of his face is changed.
-
-2I say:[23] Keep the king's command, because of God's oath to him.[24] 3Be not hasty to go from his presence. Do not take your stand in an evil cause, for he does whatever he pleases. 4For the word of the king is supreme, and who may say to him, “What are you doing?” 5Whoever keeps a command will know no evil thing, and the wise heart will know the proper time and the just way. 6For there is a time and a way for everything, although man's trouble[25] lies heavy on him. 7For he does not know what is to be, for who can tell him how it will be? 8No man has power to retain the spirit, or power over the day of death. There is no discharge from war, nor will wickedness deliver those who are given to it. 9All this I observed while applying my heart to all that is done under the sun, when man had power over man to his hurt.
-
-
-
-
-
-Those Who Fear God Will Do Well
-
-
-10Then I saw the wicked buried. They used to go in and out of the holy place and were praised[26] in the city where they had done such things. This also is vanity. 11Because the sentence against an evil deed is not executed speedily, the heart of the children of man is fully set to do evil. 12Though a sinner does evil a hundred times and prolongs his life, yet I know that it will be well with those who fear God, because they fear before him. 13But it will not be well with the wicked, neither will he prolong his days like a shadow, because he does not fear before God.
-
-
-
-
-
-Man Cannot Know God's Ways
-
-
-14There is a vanity that takes place on earth, that there are righteous people to whom it happens according to the deeds of the wicked, and there are wicked people to whom it happens according to the deeds of the righteous. I said that this also is vanity. 15And I commend joy, for man has no good thing under the sun but to eat and drink and be joyful, for this will go with him in his toil through the days of his life that God has given him under the sun.
-
-16When I applied my heart to know wisdom, and to see the business that is done on earth, how neither day nor night do one's eyes see sleep, 17then I saw all the work of God, that man cannot find out the work that is done under the sun. However much man may toil in seeking, he will not find it out. Even though a wise man claims to know, he cannot find it out.
-
-
-
-
-
-Death Comes to All
-
-
-9:1 But all this I laid to heart, examining it all, how the righteous and the wise and their deeds are in the hand of God. Whether it is love or hate, man does not know; both are before him. 2It is the same for all, since the same event happens to the righteous and the wicked, to the good and the evil,[27] to the clean and the unclean, to him who sacrifices and him who does not sacrifice. As the good one is, so is the sinner, and he who swears is as he who shuns an oath. 3This is an evil in all that is done under the sun, that the same event happens to all. Also, the hearts of the children of man are full of evil, and madness is in their hearts while they live, and after that they go to the dead. 4But he who is joined with all the living has hope, for a living dog is better than a dead lion. 5For the living know that they will die, but the dead know nothing, and they have no more reward, for the memory of them is forgotten. 6Their love and their hate and their envy have already perished, and forever they have no more share in all that is done under the sun.
-
-
-
-
-
-Enjoy Life with the One You Love
-
-
-7Go, eat your bread with joy, and drink your wine with a merry heart, for God has already approved what you do.
-
-8Let your garments be always white. Let not oil be lacking on your head.
-
-9Enjoy life with the wife whom you love, all the days of your vain life that he has given you under the sun, because that is your portion in life and in your toil at which you toil under the sun. 10Whatever your hand finds to do, do it with your might,[28] for there is no work or thought or knowledge or wisdom in Sheol, to which you are going.
-
-
-
-
-
-Wisdom Better than Folly
-
-
-11Again I saw that under the sun the race is not to the swift, nor the battle to the strong, nor bread to the wise, nor riches to the intelligent, nor favor to those with knowledge, but time and chance happen to them all. 12For man does not know his time. Like fish that are taken in an evil net, and like birds that are caught in a snare, so the children of man are snared at an evil time, when it suddenly falls upon them.
-
-13I have also seen this example of wisdom under the sun, and it seemed great to me. 14There was a little city with few men in it, and a great king came against it and besieged it, building great siegeworks against it. 15But there was found in it a poor, wise man, and he by his wisdom delivered the city. Yet no one remembered that poor man. 16But I say that wisdom is better than might, though the poor man's wisdom is despised and his words are not heard.
-
-17The words of the wise heard in quiet are better than the shouting of a ruler among fools. 18Wisdom is better than weapons of war, but one sinner destroys much good.
-
-
-
-
-
-10:1 Dead flies make the perfumer's ointment give off a stench;
-
-so a little folly outweighs wisdom and honor.
-
-2A wise man's heart inclines him to the right,
-
-but a fool's heart to the left.
-
-3Even when the fool walks on the road, he lacks sense,
-
-and he says to everyone that he is a fool.
-
-4If the anger of the ruler rises against you, do not leave your place,
-
-for calmness[29] will lay great offenses to rest.
-
-5There is an evil that I have seen under the sun, as it were an error proceeding from the ruler: 6folly is set in many high places, and the rich sit in a low place. 7I have seen slaves on horses, and princes walking on the ground like slaves.
-
-8He who digs a pit will fall into it,
-
-and a serpent will bite him who breaks through a wall.
-
-9He who quarries stones is hurt by them,
-
-and he who splits logs is endangered by them.
-
-10If the iron is blunt, and one does not sharpen the edge,
-
-he must use more strength,
-
-but wisdom helps one to succeed.[30]
-
-11If the serpent bites before it is charmed,
-
-there is no advantage to the charmer.
-
-12The words of a wise man's mouth win him favor,[31]
-
-but the lips of a fool consume him.
-
-13The beginning of the words of his mouth is foolishness,
-
-and the end of his talk is evil madness.
-
-14A fool multiplies words,
-
-though no man knows what is to be,
-
-and who can tell him what will be after him?
-
-15The toil of a fool wearies him,
-
-for he does not know the way to the city.
-
-16Woe to you, O land, when your king is a child,
-
-and your princes feast in the morning!
-
-17Happy are you, O land, when your king is the son of the nobility,
-
-and your princes feast at the proper time,
-
-for strength, and not for drunkenness!
-
-18Through sloth the roof sinks in,
-
-and through indolence the house leaks.
-
-19Bread is made for laughter,
-
-and wine gladdens life,
-
-and money answers everything.
-
-20Even in your thoughts, do not curse the king,
-
-nor in your bedroom curse the rich,
-
-for a bird of the air will carry your voice,
-
-or some winged creature tell the matter.
-
-
-
-
-
-Cast Your Bread upon the Waters
-
-
-11:1 Cast your bread upon the waters,
-
-for you will find it after many days.
-
-2Give a portion to seven, or even to eight,
-
-for you know not what disaster may happen on earth.
-
-3If the clouds are full of rain,
-
-they empty themselves on the earth,
-
-and if a tree falls to the south or to the north,
-
-in the place where the tree falls, there it will lie.
-
-4He who observes the wind will not sow,
-
-and he who regards the clouds will not reap.
-
-5As you do not know the way the spirit comes to the bones in the womb[32] of a woman with child, so you do not know the work of God who makes everything.
-
-6In the morning sow your seed, and at evening withhold not your hand, for you do not know which will prosper, this or that, or whether both alike will be good.
-
-7Light is sweet, and it is pleasant for the eyes to see the sun.
-
-8So if a person lives many years, let him rejoice in them all; but let him remember that the days of darkness will be many. All that comes is vanity.
-
-9Rejoice, O young man, in your youth, and let your heart cheer you in the days of your youth. Walk in the ways of your heart and the sight of your eyes. But know that for all these things God will bring you into judgment.
-
-10Remove vexation from your heart, and put away pain[33] from your body, for youth and the dawn of life are vanity.
-
-
-
-
-
-Remember Your Creator in Your Youth
-
-
-12:1 Remember also your Creator in the days of your youth, before the evil days come and the years draw near of which you will say, “I have no pleasure in them”; 2before the sun and the light and the moon and the stars are darkened and the clouds return after the rain, 3in the day when the keepers of the house tremble, and the strong men are bent, and the grinders cease because they are few, and those who look through the windows are dimmed, 4and the doors on the street are shut—when the sound of the grinding is low, and one rises up at the sound of a bird, and all the daughters of song are brought low— 5they are afraid also of what is high, and terrors are in the way; the almond tree blossoms, the grasshopper drags itself along,[34] and desire fails, because man is going to his eternal home, and the mourners go about the streets— 6before the silver cord is snapped, or the golden bowl is broken, or the pitcher is shattered at the fountain, or the wheel broken at the cistern, 7and the dust returns to the earth as it was, and the spirit returns to God who gave it. 8Vanity of vanities, says the Preacher; all is vanity.
-
-
-
-
-
-Fear God and Keep His Commandments
-
-
-9Besides being wise, the Preacher also taught the people knowledge, weighing and studying and arranging many proverbs with great care. 10The Preacher sought to find words of delight, and uprightly he wrote words of truth.
-
-11The words of the wise are like goads, and like nails firmly fixed are the collected sayings; they are given by one Shepherd. 12My son, beware of anything beyond these. Of making many books there is no end, and much study is a weariness of the flesh.
-
-13The end of the matter; all has been heard. Fear God and keep his commandments, for this is the whole duty of man.[35] 14For God will bring every deed into judgment, with[36] every secret thing, whether good or evil.
-
-
-
-
-
-Footnotes
-
-
-[1] 1:1 Or Convener, or Collector; Hebrew Qoheleth (so throughout Ecclesiastes)
-
-[2] 1:2 Hebrew vapor (so throughout Ecclesiastes)
-
-[3] 1:5 Or and returns panting
-
-[4] 1:11 Or former people
-
-[5] 1:11 Or later people
-
-[6] 1:13 The Hebrew term denotes the center of one's inner life, including mind, will, and emotions
-
-[7] 1:14 Or a feeding on wind; compare Hosea 12:1 (so throughout Ecclesiastes)
-
-[8] 2:8 The meaning of the Hebrew word is uncertain
-
-[9] 2:24 Or and make his soul see good
-
-[10] 2:25 Some Hebrew manuscripts, Septuagint, Syriac; most Hebrew manuscripts apart from me
-
-[11] 3:15 Hebrew what has been pursued
-
-[12] 4:15 Hebrew the second
-
-[13] 4:15 Hebrew his
-
-[14] 5:1 Ch 4:17 in Hebrew
-
-[15] 5:2 Ch 5:1 in Hebrew
-
-[16] 5:6 Hebrew your flesh
-
-[17] 5:6 Or angel
-
-[18] 5:7 Or For when dreams and vanities increase, words also grow many
-
-[19] 5:9 The meaning of the Hebrew verse is uncertain
-
-[20] 5:18 Or and see good
-
-[21] 6:6 Or see
-
-[22] 6:7 Hebrew filled
-
-[23] 8:2 Hebrew lacks say
-
-[24] 8:2 Or because of your oath to God
-
-[25] 8:6 Or evil
-
-[26] 8:10 Some Hebrew manuscripts, Septuagint, Vulgate; most Hebrew manuscripts forgotten
-
-[27] 9:2 Septuagint, Syriac, Vulgate; Hebrew lacks and the evil
-
-[28] 9:10 Or finds to do with your might, do it
-
-[29] 10:4 Hebrew healing
-
-[30] 10:10 Or wisdom is an advantage for success
-
-[31] 10:12 Or are gracious
-
-[32] 11:5 Some Hebrew manuscripts, Targum; most Hebrew manuscripts As you do not know the way of the wind, or how the bones grow in the womb
-
-[33] 11:10 Or evil
-
-[34] 12:5 Or is a burden
-
-[35] 12:13 Or the duty of all mankind
-
-[36] 12:14 Or into the judgment on
-
-
-
-
-
-SONG OF SOLOMON
-
-
-Chapter 1
-
-Chapter 2
-
-Chapter 3
-
-Chapter 4
-
-Chapter 5
-
-Chapter 6
-
-Chapter 7
-
-Chapter 8
-
-
-
-
-
-1:1 The Song of Songs, which is Solomon's.
-
-
-
-
-
-The Bride Confesses Her Love
-
-
-She[1]
-
-
-2Let him kiss me with the kisses of his mouth!
-
-For your love is better than wine;
-
-3your anointing oils are fragrant;
-
-your name is oil poured out;
-
-therefore virgins love you.
-
-4Draw me after you; let us run.
-
-The king has brought me into his chambers.
-
-
-
-
-
-Others
-
-
-We will exult and rejoice in you;
-
-we will extol your love more than wine;
-
-rightly do they love you.
-
-
-
-
-
-She
-
-
-5I am very dark, but lovely,
-
-O daughters of Jerusalem,
-
-like the tents of Kedar,
-
-like the curtains of Solomon.
-
-6Do not gaze at me because I am dark,
-
-because the sun has looked upon me.
-
-My mother's sons were angry with me;
-
-they made me keeper of the vineyards,
-
-but my own vineyard I have not kept!
-
-7Tell me, you whom my soul loves,
-
-where you pasture your flock,
-
-where you make it lie down at noon;
-
-for why should I be like one who veils herself
-
-beside the flocks of your companions?
-
-
-
-
-
-Solomon and His Bride Delight in Each Other
-
-
-He
-
-
-8If you do not know,
-
-O most beautiful among women,
-
-follow in the tracks of the flock,
-
-and pasture your young goats
-
-beside the shepherds' tents.
-
-9I compare you, my love,
-
-to a mare among Pharaoh's chariots.
-
-10Your cheeks are lovely with ornaments,
-
-your neck with strings of jewels.
-
-
-
-
-
-Others
-
-
-11We will make for you[2] ornaments of gold,
-
-studded with silver.
-
-
-
-
-
-She
-
-
-12While the king was on his couch,
-
-my nard gave forth its fragrance.
-
-13My beloved is to me a sachet of myrrh
-
-that lies between my breasts.
-
-14My beloved is to me a cluster of henna blossoms
-
-in the vineyards of Engedi.
-
-
-
-
-
-He
-
-
-15Behold, you are beautiful, my love;
-
-behold, you are beautiful;
-
-your eyes are doves.
-
-
-
-
-
-She
-
-
-16Behold, you are beautiful, my beloved, truly delightful.
-
-Our couch is green;
-
-17the beams of our house are cedar;
-
-our rafters are pine.
-
-
-
-
-
-2:1 I am a rose[3] of Sharon,
-
-a lily of the valleys.
-
-
-
-
-
-He
-
-
-2As a lily among brambles,
-
-so is my love among the young women.
-
-
-
-
-
-She
-
-
-3As an apple tree among the trees of the forest,
-
-so is my beloved among the young men.
-
-With great delight I sat in his shadow,
-
-and his fruit was sweet to my taste.
-
-4He brought me to the banqueting house,[4]
-
-and his banner over me was love.
-
-5Sustain me with raisins;
-
-refresh me with apples,
-
-for I am sick with love.
-
-6His left hand is under my head,
-
-and his right hand embraces me!
-
-7I adjure you,[5] O daughters of Jerusalem,
-
-by the gazelles or the does of the field,
-
-that you not stir up or awaken love
-
-until it pleases.
-
-
-
-
-
-The Bride Adores Her Beloved
-
-
-8The voice of my beloved!
-
-Behold, he comes,
-
-leaping over the mountains,
-
-bounding over the hills.
-
-9My beloved is like a gazelle
-
-or a young stag.
-
-Behold, there he stands
-
-behind our wall,
-
-gazing through the windows,
-
-looking through the lattice.
-
-10My beloved speaks and says to me:
-
-“Arise, my love, my beautiful one,
-
-and come away,
-
-11for behold, the winter is past;
-
-the rain is over and gone.
-
-12The flowers appear on the earth,
-
-the time of singing[6] has come,
-
-and the voice of the turtledove
-
-is heard in our land.
-
-13The fig tree ripens its figs,
-
-and the vines are in blossom;
-
-they give forth fragrance.
-
-Arise, my love, my beautiful one,
-
-and come away.
-
-14O my dove, in the clefts of the rock,
-
-in the crannies of the cliff,
-
-let me see your face,
-
-let me hear your voice,
-
-for your voice is sweet,
-
-and your face is lovely.
-
-15Catch the foxes[7] for us,
-
-the little foxes
-
-that spoil the vineyards,
-
-for our vineyards are in blossom.”
-
-16My beloved is mine, and I am his;
-
-he grazes[8] among the lilies.
-
-17Until the day breathes
-
-and the shadows flee,
-
-turn, my beloved, be like a gazelle
-
-or a young stag on cleft mountains.[9]
-
-
-
-
-
-The Bride's Dream
-
-
-3:1 On my bed by night
-
-I sought him whom my soul loves;
-
-I sought him, but found him not.
-
-2I will rise now and go about the city,
-
-in the streets and in the squares;
-
-I will seek him whom my soul loves.
-
-I sought him, but found him not.
-
-3The watchmen found me
-
-as they went about in the city.
-
-“Have you seen him whom my soul loves?”
-
-4Scarcely had I passed them
-
-when I found him whom my soul loves.
-
-I held him, and would not let him go
-
-until I had brought him into my mother's house,
-
-and into the chamber of her who conceived me.
-
-5I adjure you, O daughters of Jerusalem,
-
-by the gazelles or the does of the field,
-
-that you not stir up or awaken love
-
-until it pleases.
-
-
-
-
-
-Solomon Arrives for the Wedding
-
-
-6What is that coming up from the wilderness
-
-like columns of smoke,
-
-perfumed with myrrh and frankincense,
-
-with all the fragrant powders of a merchant?
-
-7Behold, it is the litter[10] of Solomon!
-
-Around it are sixty mighty men,
-
-some of the mighty men of Israel,
-
-8all of them wearing swords
-
-and expert in war,
-
-each with his sword at his thigh,
-
-against terror by night.
-
-9King Solomon made himself a carriage[11]
-
-from the wood of Lebanon.
-
-10He made its posts of silver,
-
-its back of gold, its seat of purple;
-
-its interior was inlaid with love
-
-by the daughters of Jerusalem.
-
-11Go out, O daughters of Zion,
-
-and look upon King Solomon,
-
-with the crown with which his mother crowned him
-
-on the day of his wedding,
-
-on the day of the gladness of his heart.
-
-
-
-
-
-Solomon Admires His Bride's Beauty
-
-
-He
-
-
-4:1 Behold, you are beautiful, my love,
-
-behold, you are beautiful!
-
-Your eyes are doves
-
-behind your veil.
-
-Your hair is like a flock of goats
-
-leaping down the slopes of Gilead.
-
-2Your teeth are like a flock of shorn ewes
-
-that have come up from the washing,
-
-all of which bear twins,
-
-and not one among them has lost its young.
-
-3Your lips are like a scarlet thread,
-
-and your mouth is lovely.
-
-Your cheeks are like halves of a pomegranate
-
-behind your veil.
-
-4Your neck is like the tower of David,
-
-built in rows of stone;[12]
-
-on it hang a thousand shields,
-
-all of them shields of warriors.
-
-5Your two breasts are like two fawns,
-
-twins of a gazelle,
-
-that graze among the lilies.
-
-6Until the day breathes
-
-and the shadows flee,
-
-I will go away to the mountain of myrrh
-
-and the hill of frankincense.
-
-7You are altogether beautiful, my love;
-
-there is no flaw in you.
-
-8Come with me from Lebanon, my bride;
-
-come with me from Lebanon.
-
-Depart[13] from the peak of Amana,
-
-from the peak of Senir and Hermon,
-
-from the dens of lions,
-
-from the mountains of leopards.
-
-9You have captivated my heart, my sister, my bride;
-
-you have captivated my heart with one glance of your eyes,
-
-with one jewel of your necklace.
-
-10How beautiful is your love, my sister, my bride!
-
-How much better is your love than wine,
-
-and the fragrance of your oils than any spice!
-
-11Your lips drip nectar, my bride;
-
-honey and milk are under your tongue;
-
-the fragrance of your garments is like the fragrance of Lebanon.
-
-12A garden locked is my sister, my bride,
-
-a spring locked, a fountain sealed.
-
-13Your shoots are an orchard of pomegranates
-
-with all choicest fruits,
-
-henna with nard,
-
-14nard and saffron, calamus and cinnamon,
-
-with all trees of frankincense,
-
-myrrh and aloes,
-
-with all choice spices—
-
-15a garden fountain, a well of living water,
-
-and flowing streams from Lebanon.
-
-16Awake, O north wind,
-
-and come, O south wind!
-
-Blow upon my garden,
-
-let its spices flow.
-
-
-
-
-
-Together in the Garden of Love
-
-
-She
-
-
-Let my beloved come to his garden,
-
-and eat its choicest fruits.
-
-
-
-
-
-He
-
-
-5:1 I came to my garden, my sister, my bride,
-
-I gathered my myrrh with my spice,
-
-I ate my honeycomb with my honey,
-
-I drank my wine with my milk.
-
-
-
-
-
-Others
-
-
-Eat, friends, drink,
-
-and be drunk with love!
-
-
-
-
-
-The Bride Searches for Her Beloved
-
-
-She
-
-
-2I slept, but my heart was awake.
-
-A sound! My beloved is knocking.
-
-“Open to me, my sister, my love,
-
-my dove, my perfect one,
-
-for my head is wet with dew,
-
-my locks with the drops of the night.”
-
-3I had put off my garment;
-
-how could I put it on?
-
-I had bathed my feet;
-
-how could I soil them?
-
-4My beloved put his hand to the latch,
-
-and my heart was thrilled within me.
-
-5I arose to open to my beloved,
-
-and my hands dripped with myrrh,
-
-my fingers with liquid myrrh,
-
-on the handles of the bolt.
-
-6I opened to my beloved,
-
-but my beloved had turned and gone.
-
-My soul failed me when he spoke.
-
-I sought him, but found him not;
-
-I called him, but he gave no answer.
-
-7The watchmen found me
-
-as they went about in the city;
-
-they beat me, they bruised me,
-
-they took away my veil,
-
-those watchmen of the walls.
-
-8I adjure you, O daughters of Jerusalem,
-
-if you find my beloved,
-
-that you tell him
-
-I am sick with love.
-
-
-
-
-
-Others
-
-
-9What is your beloved more than another beloved,
-
-O most beautiful among women?
-
-What is your beloved more than another beloved,
-
-that you thus adjure us?
-
-
-
-
-
-The Bride Praises Her Beloved
-
-
-She
-
-
-10My beloved is radiant and ruddy,
-
-distinguished among ten thousand.
-
-11His head is the finest gold;
-
-his locks are wavy,
-
-black as a raven.
-
-12His eyes are like doves
-
-beside streams of water,
-
-bathed in milk,
-
-sitting beside a full pool.[14]
-
-13His cheeks are like beds of spices,
-
-mounds of sweet-smelling herbs.
-
-His lips are lilies,
-
-dripping liquid myrrh.
-
-14His arms are rods of gold,
-
-set with jewels.
-
-His body is polished ivory,[15]
-
-bedecked with sapphires.[16]
-
-15His legs are alabaster columns,
-
-set on bases of gold.
-
-His appearance is like Lebanon,
-
-choice as the cedars.
-
-16His mouth[17] is most sweet,
-
-and he is altogether desirable.
-
-This is my beloved and this is my friend,
-
-O daughters of Jerusalem.
-
-
-
-
-
-Others
-
-
-6:1 Where has your beloved gone,
-
-O most beautiful among women?
-
-Where has your beloved turned,
-
-that we may seek him with you?
-
-
-
-
-
-Together in the Garden of Love
-
-
-She
-
-
-2My beloved has gone down to his garden
-
-to the beds of spices,
-
-to graze[18] in the gardens
-
-and to gather lilies.
-
-3I am my beloved's and my beloved is mine;
-
-he grazes among the lilies.
-
-
-
-
-
-Solomon and His Bride Delight in Each Other
-
-
-He
-
-
-4You are beautiful as Tirzah, my love,
-
-lovely as Jerusalem,
-
-awesome as an army with banners.
-
-5Turn away your eyes from me,
-
-for they overwhelm me—
-
-Your hair is like a flock of goats
-
-leaping down the slopes of Gilead.
-
-6Your teeth are like a flock of ewes
-
-that have come up from the washing;
-
-all of them bear twins;
-
-not one among them has lost its young.
-
-7Your cheeks are like halves of a pomegranate
-
-behind your veil.
-
-8There are sixty queens and eighty concubines,
-
-and virgins without number.
-
-9My dove, my perfect one, is the only one,
-
-the only one of her mother,
-
-pure to her who bore her.
-
-The young women saw her and called her blessed;
-
-the queens and concubines also, and they praised her.
-
-10“Who is this who looks down like the dawn,
-
-beautiful as the moon, bright as the sun,
-
-awesome as an army with banners?”
-
-
-
-
-
-She
-
-
-11I went down to the nut orchard
-
-to look at the blossoms of the valley,
-
-to see whether the vines had budded,
-
-whether the pomegranates were in bloom.
-
-12Before I was aware, my desire set me
-
-among the chariots of my kinsman, a prince.[19]
-
-
-
-
-
-Others
-
-
-13[20] Return, return, O Shulammite,
-
-return, return, that we may look upon you.
-
-
-
-
-
-He
-
-
-Why should you look upon the Shulammite,
-
-as upon a dance before two armies?[21]
-
-
-
-
-
-7:1 How beautiful are your feet in sandals,
-
-O noble daughter!
-
-Your rounded thighs are like jewels,
-
-the work of a master hand.
-
-2Your navel is a rounded bowl
-
-that never lacks mixed wine.
-
-Your belly is a heap of wheat,
-
-encircled with lilies.
-
-3Your two breasts are like two fawns,
-
-twins of a gazelle.
-
-4Your neck is like an ivory tower.
-
-Your eyes are pools in Heshbon,
-
-by the gate of Bath-rabbim.
-
-Your nose is like a tower of Lebanon,
-
-which looks toward Damascus.
-
-5Your head crowns you like Carmel,
-
-and your flowing locks are like purple;
-
-a king is held captive in the tresses.
-
-6How beautiful and pleasant you are,
-
-O loved one, with all your delights![22]
-
-7Your stature is like a palm tree,
-
-and your breasts are like its clusters.
-
-8I say I will climb the palm tree
-
-and lay hold of its fruit.
-
-Oh may your breasts be like clusters of the vine,
-
-and the scent of your breath like apples,
-
-9and your mouth[23] like the best wine.
-
-
-
-
-
-She
-
-
-It goes down smoothly for my beloved,
-
-gliding over lips and teeth.[24]
-
-10I am my beloved's,
-
-and his desire is for me.
-
-
-
-
-
-The Bride Gives Her Love
-
-
-11Come, my beloved,
-
-let us go out into the fields
-
-and lodge in the villages;[25]
-
-12let us go out early to the vineyards
-
-and see whether the vines have budded,
-
-whether the grape blossoms have opened
-
-and the pomegranates are in bloom.
-
-There I will give you my love.
-
-13The mandrakes give forth fragrance,
-
-and beside our doors are all choice fruits,
-
-new as well as old,
-
-which I have laid up for you, O my beloved.
-
-
-
-
-
-Longing for Her Beloved
-
-
-8:1 Oh that you were like a brother to me
-
-who nursed at my mother's breasts!
-
-If I found you outside, I would kiss you,
-
-and none would despise me.
-
-2I would lead you and bring you
-
-into the house of my mother—
-
-she who used to teach me.
-
-I would give you spiced wine to drink,
-
-the juice of my pomegranate.
-
-3His left hand is under my head,
-
-and his right hand embraces me!
-
-4I adjure you, O daughters of Jerusalem,
-
-that you not stir up or awaken love
-
-until it pleases.
-
-5Who is that coming up from the wilderness,
-
-leaning on her beloved?
-
-Under the apple tree I awakened you.
-
-There your mother was in labor with you;
-
-there she who bore you was in labor.
-
-6Set me as a seal upon your heart,
-
-as a seal upon your arm,
-
-for love is strong as death,
-
-jealousy[26] is fierce as the grave.[27]
-
-Its flashes are flashes of fire,
-
-the very flame of the LORD.
-
-7Many waters cannot quench love,
-
-neither can floods drown it.
-
-If a man offered for love
-
-all the wealth of his house,
-
-he[28] would be utterly despised.
-
-
-
-
-
-Final Advice
-
-
-Others
-
-
-8We have a little sister,
-
-and she has no breasts.
-
-What shall we do for our sister
-
-on the day when she is spoken for?
-
-9If she is a wall,
-
-we will build on her a battlement of silver,
-
-but if she is a door,
-
-we will enclose her with boards of cedar.
-
-
-
-
-
-She
-
-
-10I was a wall,
-
-and my breasts were like towers;
-
-then I was in his eyes
-
-as one who finds[29] peace.
-
-11Solomon had a vineyard at Baal-hamon;
-
-he let out the vineyard to keepers;
-
-each one was to bring for its fruit a thousand pieces of silver.
-
-12My vineyard, my very own, is before me;
-
-you, O Solomon, may have the thousand,
-
-and the keepers of the fruit two hundred.
-
-
-
-
-
-He
-
-
-13O you who dwell in the gardens,
-
-with companions listening for your voice;
-
-let me hear it.
-
-
-
-
-
-She
-
-
-14Make haste, my beloved,
-
-and be like a gazelle
-
-or a young stag
-
-on the mountains of spices.
-
-
-
-
-
-Footnotes
-
-
-[1] 1:2 The translators have added speaker identifications based on the gender and number of the Hebrew words
-
-[2] 1:11 The Hebrew for you is feminine singular
-
-[3] 2:1 Probably a bulb, such as a crocus, asphodel, or narcissus
-
-[4] 2:4 Hebrew the house of wine
-
-[5] 2:7 That is, I put you on oath; so throughout the Song
-
-[6] 2:12 Or pruning
-
-[7] 2:15 Or jackals
-
-[8] 2:16 Or he pastures his flock
-
-[9] 2:17 Or mountains of Bether
-
-[10] 3:7 That is, the couch on which servants carry a king
-
-[11] 3:9 Or sedan chair
-
-[12] 4:4 The meaning of the Hebrew word is uncertain
-
-[13] 4:8 Or Look
-
-[14] 5:12 The meaning of the Hebrew is uncertain
-
-[15] 5:14 The meaning of the Hebrew word is uncertain
-
-[16] 5:14 Hebrew lapis lazuli
-
-[17] 5:16 Hebrew palate
-
-[18] 6:2 Or to pasture his flock; also verse 3
-
-[19] 6:12 Or chariots of Ammi-Nadib
-
-[20] 6:13 Ch 7:1 in Hebrew
-
-[21] 6:13 Or dance of Mahanaim
-
-[22] 7:6 Or among delights
-
-[23] 7:9 Hebrew palate
-
-[24] 7:9 Septuagint, Syriac, Vulgate; Hebrew causing the lips of sleepers to speak
-
-[25] 7:11 Or among the henna plants
-
-[26] 8:6 Or ardor
-
-[27] 8:6 Hebrew as Sheol
-
-[28] 8:7 Or it
-
-[29] 8:10 Or brings out
-
-
-
-
-
-ISAIAH
-
-
-Chapter 1
-
-Chapter 2
-
-Chapter 3
-
-Chapter 4
-
-Chapter 5
-
-Chapter 6
-
-Chapter 7
-
-Chapter 8
-
-Chapter 9
-
-Chapter 10
-
-Chapter 11
-
-Chapter 12
-
-Chapter 13
-
-Chapter 14
-
-Chapter 15
-
-Chapter 16
-
-Chapter 17
-
-Chapter 18
-
-Chapter 19
-
-Chapter 20
-
-Chapter 21
-
-Chapter 22
-
-Chapter 23
-
-Chapter 24
-
-Chapter 25
-
-Chapter 26
-
-Chapter 27
-
-Chapter 28
-
-Chapter 29
-
-Chapter 30
-
-Chapter 31
-
-Chapter 32
-
-Chapter 33
-
-Chapter 34
-
-Chapter 35
-
-Chapter 36
-
-Chapter 37
-
-Chapter 38
-
-Chapter 39
-
-Chapter 40
-
-Chapter 41
-
-Chapter 42
-
-Chapter 43
-
-Chapter 44
-
-Chapter 45
-
-Chapter 46
-
-Chapter 47
-
-Chapter 48
-
-Chapter 49
-
-Chapter 50
-
-Chapter 51
-
-Chapter 52
-
-Chapter 53
-
-Chapter 54
-
-Chapter 55
-
-Chapter 56
-
-Chapter 57
-
-Chapter 58
-
-Chapter 59
-
-Chapter 60
-
-Chapter 61
-
-Chapter 62
-
-Chapter 63
-
-Chapter 64
-
-Chapter 65
-
-Chapter 66
-
-
-
-
-
-1:1 The vision of Isaiah the son of Amoz, which he saw concerning Judah and Jerusalem in the days of Uzziah, Jotham, Ahaz, and Hezekiah, kings of Judah.
-
-
-
-
-
-The Wickedness of Judah
-
-
-2Hear, O heavens, and give ear, O earth;
-
-for the LORD has spoken:
-
-“Children[1] have I reared and brought up,
-
-but they have rebelled against me.
-
-3The ox knows its owner,
-
-and the donkey its master's crib,
-
-but Israel does not know,
-
-my people do not understand.”
-
-4Ah, sinful nation,
-
-a people laden with iniquity,
-
-offspring of evildoers,
-
-children who deal corruptly!
-
-They have forsaken the LORD,
-
-they have despised the Holy One of Israel,
-
-they are utterly estranged.
-
-5Why will you still be struck down?
-
-Why will you continue to rebel?
-
-The whole head is sick,
-
-and the whole heart faint.
-
-6From the sole of the foot even to the head,
-
-there is no soundness in it,
-
-but bruises and sores
-
-and raw wounds;
-
-they are not pressed out or bound up
-
-or softened with oil.
-
-7Your country lies desolate;
-
-your cities are burned with fire;
-
-in your very presence
-
-foreigners devour your land;
-
-it is desolate, as overthrown by foreigners.
-
-8And the daughter of Zion is left
-
-like a booth in a vineyard,
-
-like a lodge in a cucumber field,
-
-like a besieged city.
-
-9If the LORD of hosts
-
-had not left us a few survivors,
-
-we should have been like Sodom,
-
-and become like Gomorrah.
-
-10Hear the word of the LORD,
-
-you rulers of Sodom!
-
-Give ear to the teaching[2] of our God,
-
-you people of Gomorrah!
-
-11“What to me is the multitude of your sacrifices?
-
-says the LORD;
-
-I have had enough of burnt offerings of rams
-
-and the fat of well-fed beasts;
-
-I do not delight in the blood of bulls,
-
-or of lambs, or of goats.
-
-12“When you come to appear before me,
-
-who has required of you
-
-this trampling of my courts?
-
-13Bring no more vain offerings;
-
-incense is an abomination to me.
-
-New moon and Sabbath and the calling of convocations—
-
-I cannot endure iniquity and solemn assembly.
-
-14Your new moons and your appointed feasts
-
-my soul hates;
-
-they have become a burden to me;
-
-I am weary of bearing them.
-
-15When you spread out your hands,
-
-I will hide my eyes from you;
-
-even though you make many prayers,
-
-I will not listen;
-
-your hands are full of blood.
-
-16Wash yourselves; make yourselves clean;
-
-remove the evil of your deeds from before my eyes;
-
-cease to do evil,
-
-17learn to do good;
-
-seek justice,
-
-correct oppression;
-
-bring justice to the fatherless,
-
-plead the widow's cause.
-
-18“Come now, let us reason[3] together, says the LORD:
-
-though your sins are like scarlet,
-
-they shall be as white as snow;
-
-though they are red like crimson,
-
-they shall become like wool.
-
-19If you are willing and obedient,
-
-you shall eat the good of the land;
-
-20but if you refuse and rebel,
-
-you shall be eaten by the sword;
-
-for the mouth of the LORD has spoken.”
-
-
-
-
-
-The Unfaithful City
-
-
-21How the faithful city
-
-has become a whore,[4]
-
-she who was full of justice!
-
-Righteousness lodged in her,
-
-but now murderers.
-
-22Your silver has become dross,
-
-your best wine mixed with water.
-
-23Your princes are rebels
-
-and companions of thieves.
-
-Everyone loves a bribe
-
-and runs after gifts.
-
-They do not bring justice to the fatherless,
-
-and the widow's cause does not come to them.
-
-24Therefore the Lord declares,
-
-the LORD of hosts,
-
-the Mighty One of Israel:
-
-“Ah, I will get relief from my enemies
-
-and avenge myself on my foes.
-
-25I will turn my hand against you
-
-and will smelt away your dross as with lye
-
-and remove all your alloy.
-
-26And I will restore your judges as at the first,
-
-and your counselors as at the beginning.
-
-Afterward you shall be called the city of righteousness,
-
-the faithful city.”
-
-27Zion shall be redeemed by justice,
-
-and those in her who repent, by righteousness.
-
-28But rebels and sinners shall be broken together,
-
-and those who forsake the LORD shall be consumed.
-
-29For they[5] shall be ashamed of the oaks
-
-that you desired;
-
-and you shall blush for the gardens
-
-that you have chosen.
-
-30For you shall be like an oak
-
-whose leaf withers,
-
-and like a garden without water.
-
-31And the strong shall become tinder,
-
-and his work a spark,
-
-and both of them shall burn together,
-
-with none to quench them.
-
-
-
-
-
-The Mountain of the LORD
-
-
-2:1 The word that Isaiah the son of Amoz saw concerning Judah and Jerusalem.
-
-2It shall come to pass in the latter days
-
-that the mountain of the house of the LORD
-
-shall be established as the highest of the mountains,
-
-and shall be lifted up above the hills;
-
-and all the nations shall flow to it,
-
-3and many peoples shall come, and say:
-
-“Come, let us go up to the mountain of the LORD,
-
-to the house of the God of Jacob,
-
-that he may teach us his ways
-
-and that we may walk in his paths.”
-
-For out of Zion shall go the law,[6]
-
-and the word of the LORD from Jerusalem.
-
-4He shall judge between the nations,
-
-and shall decide disputes for many peoples;
-
-and they shall beat their swords into plowshares,
-
-and their spears into pruning hooks;
-
-nation shall not lift up sword against nation,
-
-neither shall they learn war anymore.
-
-5O house of Jacob,
-
-come, let us walk
-
-in the light of the LORD.
-
-
-
-
-
-The Day of the LORD
-
-
-6For you have rejected your people,
-
-the house of Jacob,
-
-because they are full of things from the east
-
-and of fortune-tellers like the Philistines,
-
-and they strike hands with the children of foreigners.
-
-7Their land is filled with silver and gold,
-
-and there is no end to their treasures;
-
-their land is filled with horses,
-
-and there is no end to their chariots.
-
-8Their land is filled with idols;
-
-they bow down to the work of their hands,
-
-to what their own fingers have made.
-
-9So man is humbled,
-
-and each one is brought low—
-
-do not forgive them!
-
-10Enter into the rock
-
-and hide in the dust
-
-from before the terror of the LORD,
-
-and from the splendor of his majesty.
-
-11The haughty looks of man shall be brought low,
-
-and the lofty pride of men shall be humbled,
-
-and the LORD alone will be exalted in that day.
-
-12For the LORD of hosts has a day
-
-against all that is proud and lofty,
-
-against all that is lifted up—and it shall be brought low;
-
-13against all the cedars of Lebanon,
-
-lofty and lifted up;
-
-and against all the oaks of Bashan;
-
-14against all the lofty mountains,
-
-and against all the uplifted hills;
-
-15against every high tower,
-
-and against every fortified wall;
-
-16against all the ships of Tarshish,
-
-and against all the beautiful craft.
-
-17And the haughtiness of man shall be humbled,
-
-and the lofty pride of men shall be brought low,
-
-and the LORD alone will be exalted in that day.
-
-18And the idols shall utterly pass away.
-
-19And people shall enter the caves of the rocks
-
-and the holes of the ground,[7]
-
-from before the terror of the LORD,
-
-and from the splendor of his majesty,
-
-when he rises to terrify the earth.
-
-20In that day mankind will cast away
-
-their idols of silver and their idols of gold,
-
-which they made for themselves to worship,
-
-to the moles and to the bats,
-
-21to enter the caverns of the rocks
-
-and the clefts of the cliffs,
-
-from before the terror of the LORD,
-
-and from the splendor of his majesty,
-
-when he rises to terrify the earth.
-
-22Stop regarding man
-
-in whose nostrils is breath,
-
-for of what account is he?
-
-
-
-
-
-Judgment on Judah and Jerusalem
-
-
-3:1 For behold, the Lord GOD of hosts
-
-is taking away from Jerusalem and from Judah
-
-support and supply,[8]
-
-all support of bread,
-
-and all support of water;
-
-2the mighty man and the soldier,
-
-the judge and the prophet,
-
-the diviner and the elder,
-
-3the captain of fifty
-
-and the man of rank,
-
-the counselor and the skillful magician
-
-and the expert in charms.
-
-4And I will make boys their princes,
-
-and infants[9] shall rule over them.
-
-5And the people will oppress one another,
-
-every one his fellow
-
-and every one his neighbor;
-
-the youth will be insolent to the elder,
-
-and the despised to the honorable.
-
-6For a man will take hold of his brother
-
-in the house of his father, saying:
-
-“You have a cloak;
-
-you shall be our leader,
-
-and this heap of ruins
-
-shall be under your rule”;
-
-7in that day he will speak out, saying:
-
-“I will not be a healer;[10]
-
-in my house there is neither bread nor cloak;
-
-you shall not make me
-
-leader of the people.”
-
-8For Jerusalem has stumbled,
-
-and Judah has fallen,
-
-because their speech and their deeds are against the LORD,
-
-defying his glorious presence.[11]
-
-9For the look on their faces bears witness against them;
-
-they proclaim their sin like Sodom;
-
-they do not hide it.
-
-Woe to them!
-
-For they have brought evil on themselves.
-
-10Tell the righteous that it shall be well with them,
-
-for they shall eat the fruit of their deeds.
-
-11Woe to the wicked! It shall be ill with him,
-
-for what his hands have dealt out shall be done to him.
-
-12My people—infants are their oppressors,
-
-and women rule over them.
-
-O my people, your guides mislead you
-
-and they have swallowed up[12] the course of your paths.
-
-13The LORD has taken his place to contend;
-
-he stands to judge peoples.
-
-14The LORD will enter into judgment
-
-with the elders and princes of his people:
-
-“It is you who have devoured[13] the vineyard,
-
-the spoil of the poor is in your houses.
-
-15What do you mean by crushing my people,
-
-by grinding the face of the poor?”
-
-declares the Lord GOD of hosts.
-
-16The LORD said:
-
-Because the daughters of Zion are haughty
-
-and walk with outstretched necks,
-
-glancing wantonly with their eyes,
-
-mincing along as they go,
-
-tinkling with their feet,
-
-17therefore the Lord will strike with a scab
-
-the heads of the daughters of Zion,
-
-and the LORD will lay bare their secret parts.
-
-18In that day the Lord will take away the finery of the anklets, the headbands, and the crescents; 19the pendants, the bracelets, and the scarves; 20the headdresses, the armlets, the sashes, the perfume boxes, and the amulets; 21the signet rings and nose rings; 22the festal robes, the mantles, the cloaks, and the handbags; 23the mirrors, the linen garments, the turbans, and the veils.
-
-24Instead of perfume there will be rottenness;
-
-and instead of a belt, a rope;
-
-and instead of well-set hair, baldness;
-
-and instead of a rich robe, a skirt of sackcloth;
-
-and branding instead of beauty.
-
-25Your men shall fall by the sword
-
-and your mighty men in battle.
-
-26And her gates shall lament and mourn;
-
-empty, she shall sit on the ground.
-
-
-
-
-
-4:1 And seven women shall take hold of one man in that day, saying, “We will eat our own bread and wear our own clothes, only let us be called by your name; take away our reproach.”
-
-
-
-
-
-The Branch of the LORD Glorified
-
-
-2In that day the branch of the LORD shall be beautiful and glorious, and the fruit of the land shall be the pride and honor of the survivors of Israel. 3And he who is left in Zion and remains in Jerusalem will be called holy, everyone who has been recorded for life in Jerusalem, 4when the Lord shall have washed away the filth of the daughters of Zion and cleansed the bloodstains of Jerusalem from its midst by a spirit of judgment and by a spirit of burning.[14] 5Then the LORD will create over the whole site of Mount Zion and over her assemblies a cloud by day, and smoke and the shining of a flaming fire by night; for over all the glory there will be a canopy. 6There will be a booth for shade by day from the heat, and for a refuge and a shelter from the storm and rain.
-
-
-
-
-
-The Vineyard of the LORD Destroyed
-
-
-5:1 Let me sing for my beloved
-
-my love song concerning his vineyard:
-
-My beloved had a vineyard
-
-on a very fertile hill.
-
-2He dug it and cleared it of stones,
-
-and planted it with choice vines;
-
-he built a watchtower in the midst of it,
-
-and hewed out a wine vat in it;
-
-and he looked for it to yield grapes,
-
-but it yielded wild grapes.
-
-3And now, O inhabitants of Jerusalem
-
-and men of Judah,
-
-judge between me and my vineyard.
-
-4What more was there to do for my vineyard,
-
-that I have not done in it?
-
-When I looked for it to yield grapes,
-
-why did it yield wild grapes?
-
-5And now I will tell you
-
-what I will do to my vineyard.
-
-I will remove its hedge,
-
-and it shall be devoured;[15]
-
-I will break down its wall,
-
-and it shall be trampled down.
-
-6I will make it a waste;
-
-it shall not be pruned or hoed,
-
-and briers and thorns shall grow up;
-
-I will also command the clouds
-
-that they rain no rain upon it.
-
-7For the vineyard of the LORD of hosts
-
-is the house of Israel,
-
-and the men of Judah
-
-are his pleasant planting;
-
-and he looked for justice,
-
-but behold, bloodshed;[16]
-
-for righteousness,
-
-but behold, an outcry![17]
-
-
-
-
-
-Woe to the Wicked
-
-
-8Woe to those who join house to house,
-
-who add field to field,
-
-until there is no more room,
-
-and you are made to dwell alone
-
-in the midst of the land.
-
-9The LORD of hosts has sworn in my hearing:
-
-“Surely many houses shall be desolate,
-
-large and beautiful houses, without inhabitant.
-
-10For ten acres[18] of vineyard shall yield but one bath,
-
-and a homer of seed shall yield but an ephah.”[19]
-
-11Woe to those who rise early in the morning,
-
-that they may run after strong drink,
-
-who tarry late into the evening
-
-as wine inflames them!
-
-12They have lyre and harp,
-
-tambourine and flute and wine at their feasts,
-
-but they do not regard the deeds of the LORD,
-
-or see the work of his hands.
-
-13Therefore my people go into exile
-
-for lack of knowledge;[20]
-
-their honored men go hungry,[21]
-
-and their multitude is parched with thirst.
-
-14Therefore Sheol has enlarged its appetite
-
-and opened its mouth beyond measure,
-
-and the nobility of Jerusalem[22] and her multitude will go down,
-
-her revelers and he who exults in her.
-
-15Man is humbled, and each one is brought low,
-
-and the eyes of the haughty[23] are brought low.
-
-16But the LORD of hosts is exalted[24] in justice,
-
-and the Holy God shows himself holy in righteousness.
-
-17Then shall the lambs graze as in their pasture,
-
-and nomads shall eat among the ruins of the rich.
-
-18Woe to those who draw iniquity with cords of falsehood,
-
-who draw sin as with cart ropes,
-
-19who say: “Let him be quick,
-
-let him speed his work
-
-that we may see it;
-
-let the counsel of the Holy One of Israel draw near,
-
-and let it come, that we may know it!”
-
-20Woe to those who call evil good
-
-and good evil,
-
-who put darkness for light
-
-and light for darkness,
-
-who put bitter for sweet
-
-and sweet for bitter!
-
-21Woe to those who are wise in their own eyes,
-
-and shrewd in their own sight!
-
-22Woe to those who are heroes at drinking wine,
-
-and valiant men in mixing strong drink,
-
-23who acquit the guilty for a bribe,
-
-and deprive the innocent of his right!
-
-24Therefore, as the tongue of fire devours the stubble,
-
-and as dry grass sinks down in the flame,
-
-so their root will be as rottenness,
-
-and their blossom go up like dust;
-
-for they have rejected the law of the LORD of hosts,
-
-and have despised the word of the Holy One of Israel.
-
-25Therefore the anger of the LORD was kindled against his people,
-
-and he stretched out his hand against them and struck them,
-
-and the mountains quaked;
-
-and their corpses were as refuse
-
-in the midst of the streets.
-
-For all this his anger has not turned away,
-
-and his hand is stretched out still.
-
-26He will raise a signal for nations far away,
-
-and whistle for them from the ends of the earth;
-
-and behold, quickly, speedily they come!
-
-27None is weary, none stumbles,
-
-none slumbers or sleeps,
-
-not a waistband is loose,
-
-not a sandal strap broken;
-
-28their arrows are sharp,
-
-all their bows bent,
-
-their horses' hoofs seem like flint,
-
-and their wheels like the whirlwind.
-
-29Their roaring is like a lion,
-
-like young lions they roar;
-
-they growl and seize their prey;
-
-they carry it off, and none can rescue.
-
-30They will growl over it on that day,
-
-like the growling of the sea.
-
-And if one looks to the land,
-
-behold, darkness and distress;
-
-and the light is darkened by its clouds.
-
-
-
-
-
-Isaiah's Vision of the Lord
-
-
-6:1 In the year that King Uzziah died I saw the Lord sitting upon a throne, high and lifted up; and the train[25] of his robe filled the temple. 2Above him stood the seraphim. Each had six wings: with two he covered his face, and with two he covered his feet, and with two he flew. 3And one called to another and said:
-
-“Holy, holy, holy is the LORD of hosts;
-
-the whole earth is full of his glory!”[26]
-
-4And the foundations of the thresholds shook at the voice of him who called, and the house was filled with smoke. 5And I said: “Woe is me! For I am lost; for I am a man of unclean lips, and I dwell in the midst of a people of unclean lips; for my eyes have seen the King, the LORD of hosts!”
-
-6Then one of the seraphim flew to me, having in his hand a burning coal that he had taken with tongs from the altar. 7And he touched my mouth and said: “Behold, this has touched your lips; your guilt is taken away, and your sin atoned for.”
-
-
-
-
-
-Isaiah's Commission from the LORD
-
-
-8And I heard the voice of the Lord saying, “Whom shall I send, and who will go for us?” Then I said, “Here am I! Send me.” 9And he said, “Go, and say to this people:
-
-“‘Keep on hearing,[27] but do not understand;
-
-keep on seeing,[28] but do not perceive.’
-
-10Make the heart of this people dull,[29]
-
-and their ears heavy,
-
-and blind their eyes;
-
-lest they see with their eyes,
-
-and hear with their ears,
-
-and understand with their hearts,
-
-and turn and be healed.”
-
-11Then I said, “How long, O Lord?”
-
-And he said:
-
-“Until cities lie waste
-
-without inhabitant,
-
-and houses without people,
-
-and the land is a desolate waste,
-
-12and the LORD removes people far away,
-
-and the forsaken places are many in the midst of the land.
-
-13And though a tenth remain in it,
-
-it will be burned[30] again,
-
-like a terebinth or an oak,
-
-whose stump remains
-
-when it is felled.”
-
-The holy seed[31] is its stump.
-
-
-
-
-
-Isaiah Sent to King Ahaz
-
-
-7:1 In the days of Ahaz the son of Jotham, son of Uzziah, king of Judah, Rezin the king of Syria and Pekah the son of Remaliah the king of Israel came up to Jerusalem to wage war against it, but could not yet mount an attack against it. 2When the house of David was told, “Syria is in league with[32] Ephraim,” the heart of Ahaz[33] and the heart of his people shook as the trees of the forest shake before the wind.
-
-3And the LORD said to Isaiah, “Go out to meet Ahaz, you and Shear-jashub[34] your son, at the end of the conduit of the upper pool on the highway to the Washer's Field. 4And say to him, ‘Be careful, be quiet, do not fear, and do not let your heart be faint because of these two smoldering stumps of firebrands, at the fierce anger of Rezin and Syria and the son of Remaliah. 5Because Syria, with Ephraim and the son of Remaliah, has devised evil against you, saying, 6“Let us go up against Judah and terrify it, and let us conquer it[35] for ourselves, and set up the son of Tabeel as king in the midst of it,” 7thus says the Lord GOD:
-
-“‘It shall not stand,
-
-and it shall not come to pass.
-
-8For the head of Syria is Damascus,
-
-and the head of Damascus is Rezin.
-
-And within sixty-five years
-
-Ephraim will be shattered from being a people.
-
-9And the head of Ephraim is Samaria,
-
-and the head of Samaria is the son of Remaliah.
-
-If you[36] are not firm in faith,
-
-you will not be firm at all.’”
-
-
-
-
-
-The Sign of Immanuel
-
-
-10Again the LORD spoke to Ahaz, 11“Ask a sign of the LORD your[37] God; let it be deep as Sheol or high as heaven.” 12But Ahaz said, “I will not ask, and I will not put the LORD to the test.” 13And he[38] said, “Hear then, O house of David! Is it too little for you to weary men, that you weary my God also? 14Therefore the Lord himself will give you a sign. Behold, the virgin shall conceive and bear a son, and shall call his name Immanuel.[39] 15He shall eat curds and honey when he knows how to refuse the evil and choose the good. 16For before the boy knows how to refuse the evil and choose the good, the land whose two kings you dread will be deserted. 17The LORD will bring upon you and upon your people and upon your father's house such days as have not come since the day that Ephraim departed from Judah—the king of Assyria.”
-
-18In that day the LORD will whistle for the fly that is at the end of the streams of Egypt, and for the bee that is in the land of Assyria. 19And they will all come and settle in the steep ravines, and in the clefts of the rocks, and on all the thornbushes, and on all the pastures.[40]
-
-20In that day the Lord will shave with a razor that is hired beyond the River—with the king of Assyria—the head and the hair of the feet, and it will sweep away the beard also.
-
-21In that day a man will keep alive a young cow and two sheep, 22and because of the abundance of milk that they give, he will eat curds, for everyone who is left in the land will eat curds and honey.
-
-23In that day every place where there used to be a thousand vines, worth a thousand shekels[41] of silver, will become briers and thorns. 24With bow and arrows a man will come there, for all the land will be briers and thorns. 25And as for all the hills that used to be hoed with a hoe, you will not come there for fear of briers and thorns, but they will become a place where cattle are let loose and where sheep tread.
-
-
-
-
-
-The Coming Assyrian Invasion
-
-
-8:1 Then the LORD said to me, “Take a large tablet and write on it in common characters,[42] ‘Belonging to Maher-shalal-hash-baz.’[43] 2And I will get reliable witnesses, Uriah the priest and Zechariah the son of Jeberechiah, to attest for me.”
-
-3And I went to the prophetess, and she conceived and bore a son. Then the LORD said to me, “Call his name Maher-shalal-hash-baz; 4for before the boy knows how to cry ‘My father’ or ‘My mother,’ the wealth of Damascus and the spoil of Samaria will be carried away before the king of Assyria.”
-
-5The LORD spoke to me again: 6“Because this people has refused the waters of Shiloah that flow gently, and rejoice over Rezin and the son of Remaliah, 7therefore, behold, the Lord is bringing up against them the waters of the River, mighty and many, the king of Assyria and all his glory. And it will rise over all its channels and go over all its banks, 8and it will sweep on into Judah, it will overflow and pass on, reaching even to the neck, and its outspread wings will fill the breadth of your land, O Immanuel.”
-
-9Be broken,[44] you peoples, and be shattered;[45]
-
-give ear, all you far countries;
-
-strap on your armor and be shattered;
-
-strap on your armor and be shattered.
-
-10Take counsel together, but it will come to nothing;
-
-speak a word, but it will not stand,
-
-for God is with us.[46]
-
-
-
-
-
-Fear God, Wait for the LORD
-
-
-11For the LORD spoke thus to me with his strong hand upon me, and warned me not to walk in the way of this people, saying: 12“Do not call conspiracy all that this people calls conspiracy, and do not fear what they fear, nor be in dread. 13But the LORD of hosts, him you shall honor as holy. Let him be your fear, and let him be your dread. 14And he will become a sanctuary and a stone of offense and a rock of stumbling to both houses of Israel, a trap and a snare to the inhabitants of Jerusalem. 15And many shall stumble on it. They shall fall and be broken; they shall be snared and taken.”
-
-16Bind up the testimony; seal the teaching[47] among my disciples. 17I will wait for the LORD, who is hiding his face from the house of Jacob, and I will hope in him. 18Behold, I and the children whom the LORD has given me are signs and portents in Israel from the LORD of hosts, who dwells on Mount Zion. 19And when they say to you, “Inquire of the mediums and the necromancers who chirp and mutter,” should not a people inquire of their God? Should they inquire of the dead on behalf of the living? 20To the teaching and to the testimony! If they will not speak according to this word, it is because they have no dawn. 21They will pass through the land,[48] greatly distressed and hungry. And when they are hungry, they will be enraged and will speak contemptuously against[49] their king and their God, and turn their faces upward. 22And they will look to the earth, but behold, distress and darkness, the gloom of anguish. And they will be thrust into thick darkness.
-
-
-
-
-
-For to Us a Child Is Born
-
-
-9:1 [50] But there will be no gloom for her who was in anguish. In the former time he brought into contempt the land of Zebulun and the land of Naphtali, but in the latter time he has made glorious the way of the sea, the land beyond the Jordan, Galilee of the nations.[51]
-
-2[52] The people who walked in darkness
-
-have seen a great light;
-
-those who dwelt in a land of deep darkness,
-
-on them has light shined.
-
-3You have multiplied the nation;
-
-you have increased its joy;
-
-they rejoice before you
-
-as with joy at the harvest,
-
-as they are glad when they divide the spoil.
-
-4For the yoke of his burden,
-
-and the staff for his shoulder,
-
-the rod of his oppressor,
-
-you have broken as on the day of Midian.
-
-5For every boot of the tramping warrior in battle tumult
-
-and every garment rolled in blood
-
-will be burned as fuel for the fire.
-
-6For to us a child is born,
-
-to us a son is given;
-
-and the government shall be upon[53] his shoulder,
-
-and his name shall be called[54]
-
-Wonderful Counselor, Mighty God,
-
-Everlasting Father, Prince of Peace.
-
-7Of the increase of his government and of peace
-
-there will be no end,
-
-on the throne of David and over his kingdom,
-
-to establish it and to uphold it
-
-with justice and with righteousness
-
-from this time forth and forevermore.
-
-The zeal of the LORD of hosts will do this.
-
-
-
-
-
-Judgment on Arrogance and Oppression
-
-
-8The Lord has sent a word against Jacob,
-
-and it will fall on Israel;
-
-9and all the people will know,
-
-Ephraim and the inhabitants of Samaria,
-
-who say in pride and in arrogance of heart:
-
-10“The bricks have fallen,
-
-but we will build with dressed stones;
-
-the sycamores have been cut down,
-
-but we will put cedars in their place.”
-
-11But the LORD raises the adversaries of Rezin against him,
-
-and stirs up his enemies.
-
-12The Syrians on the east and the Philistines on the west
-
-devour Israel with open mouth.
-
-For all this his anger has not turned away,
-
-and his hand is stretched out still.
-
-13The people did not turn to him who struck them,
-
-nor inquire of the LORD of hosts.
-
-14So the LORD cut off from Israel head and tail,
-
-palm branch and reed in one day—
-
-15the elder and honored man is the head,
-
-and the prophet who teaches lies is the tail;
-
-16for those who guide this people have been leading them astray,
-
-and those who are guided by them are swallowed up.
-
-17Therefore the Lord does not rejoice over their young men,
-
-and has no compassion on their fatherless and widows;
-
-for everyone is godless and an evildoer,
-
-and every mouth speaks folly.[55]
-
-For all this his anger has not turned away,
-
-and his hand is stretched out still.
-
-18For wickedness burns like a fire;
-
-it consumes briers and thorns;
-
-it kindles the thickets of the forest,
-
-and they roll upward in a column of smoke.
-
-19Through the wrath of the LORD of hosts
-
-the land is scorched,
-
-and the people are like fuel for the fire;
-
-no one spares another.
-
-20They slice meat on the right, but are still hungry,
-
-and they devour on the left, but are not satisfied;
-
-each devours the flesh of his own arm,
-
-21Manasseh devours Ephraim, and Ephraim devours Manasseh;
-
-together they are against Judah.
-
-For all this his anger has not turned away,
-
-and his hand is stretched out still.
-
-
-
-
-
-10:1 Woe to those who decree iniquitous decrees,
-
-and the writers who keep writing oppression,
-
-2to turn aside the needy from justice
-
-and to rob the poor of my people of their right,
-
-that widows may be their spoil,
-
-and that they may make the fatherless their prey!
-
-3What will you do on the day of punishment,
-
-in the ruin that will come from afar?
-
-To whom will you flee for help,
-
-and where will you leave your wealth?
-
-4Nothing remains but to crouch among the prisoners
-
-or fall among the slain.
-
-For all this his anger has not turned away,
-
-and his hand is stretched out still.
-
-
-
-
-
-Judgment on Arrogant Assyria
-
-
-5Ah, Assyria, the rod of my anger;
-
-the staff in their hands is my fury!
-
-6Against a godless nation I send him,
-
-and against the people of my wrath I command him,
-
-to take spoil and seize plunder,
-
-and to tread them down like the mire of the streets.
-
-7But he does not so intend,
-
-and his heart does not so think;
-
-but it is in his heart to destroy,
-
-and to cut off nations not a few;
-
-8for he says:
-
-“Are not my commanders all kings?
-
-9Is not Calno like Carchemish?
-
-Is not Hamath like Arpad?
-
-Is not Samaria like Damascus?
-
-10As my hand has reached to the kingdoms of the idols,
-
-whose carved images were greater than those of Jerusalem and Samaria,
-
-11shall I not do to Jerusalem and her idols
-
-as I have done to Samaria and her images?”
-
-12When the Lord has finished all his work on Mount Zion and on Jerusalem, he[56] will punish the speech of the arrogant heart of the king of Assyria and the boastful look in his eyes. 13For he says:
-
-“By the strength of my hand I have done it,
-
-and by my wisdom, for I have understanding;
-
-I remove the boundaries of peoples,
-
-and plunder their treasures;
-
-like a bull I bring down those who sit on thrones.
-
-14My hand has found like a nest
-
-the wealth of the peoples;
-
-and as one gathers eggs that have been forsaken,
-
-so I have gathered all the earth;
-
-and there was none that moved a wing
-
-or opened the mouth or chirped.”
-
-15Shall the axe boast over him who hews with it,
-
-or the saw magnify itself against him who wields it?
-
-As if a rod should wield him who lifts it,
-
-or as if a staff should lift him who is not wood!
-
-16Therefore the Lord GOD of hosts
-
-will send wasting sickness among his stout warriors,
-
-and under his glory a burning will be kindled,
-
-like the burning of fire.
-
-17The light of Israel will become a fire,
-
-and his Holy One a flame,
-
-and it will burn and devour
-
-his thorns and briers in one day.
-
-18The glory of his forest and of his fruitful land
-
-the LORD will destroy, both soul and body,
-
-and it will be as when a sick man wastes away.
-
-19The remnant of the trees of his forest will be so few
-
-that a child can write them down.
-
-
-
-
-
-The Remnant of Israel Will Return
-
-
-20In that day the remnant of Israel and the survivors of the house of Jacob will no more lean on him who struck them, but will lean on the LORD, the Holy One of Israel, in truth. 21A remnant will return, the remnant of Jacob, to the mighty God. 22For though your people Israel be as the sand of the sea, only a remnant of them will return. Destruction is decreed, overflowing with righteousness. 23For the Lord GOD of hosts will make a full end, as decreed, in the midst of all the earth.
-
-24Therefore thus says the Lord GOD of hosts: “O my people, who dwell in Zion, be not afraid of the Assyrians when they strike with the rod and lift up their staff against you as the Egyptians did. 25For in a very little while my fury will come to an end, and my anger will be directed to their destruction. 26And the LORD of hosts will wield against them a whip, as when he struck Midian at the rock of Oreb. And his staff will be over the sea, and he will lift it as he did in Egypt. 27And in that day his burden will depart from your shoulder, and his yoke from your neck; and the yoke will be broken because of the fat.”[57]
-
-28He has come to Aiath;
-
-he has passed through Migron;
-
-at Michmash he stores his baggage;
-
-29they have crossed over the pass;
-
-at Geba they lodge for the night;
-
-Ramah trembles;
-
-Gibeah of Saul has fled.
-
-30Cry aloud, O daughter of Gallim!
-
-Give attention, O Laishah!
-
-O poor Anathoth!
-
-31Madmenah is in flight;
-
-the inhabitants of Gebim flee for safety.
-
-32This very day he will halt at Nob;
-
-he will shake his fist
-
-at the mount of the daughter of Zion,
-
-the hill of Jerusalem.
-
-33Behold, the Lord GOD of hosts
-
-will lop the boughs with terrifying power;
-
-the great in height will be hewn down,
-
-and the lofty will be brought low.
-
-34He will cut down the thickets of the forest with an axe,
-
-and Lebanon will fall by the Majestic One.
-
-
-
-
-
-The Righteous Reign of the Branch
-
-
-11:1 There shall come forth a shoot from the stump of Jesse,
-
-and a branch from his roots shall bear fruit.
-
-2And the Spirit of the LORD shall rest upon him,
-
-the Spirit of wisdom and understanding,
-
-the Spirit of counsel and might,
-
-the Spirit of knowledge and the fear of the LORD.
-
-3And his delight shall be in the fear of the LORD.
-
-He shall not judge by what his eyes see,
-
-or decide disputes by what his ears hear,
-
-4but with righteousness he shall judge the poor,
-
-and decide with equity for the meek of the earth;
-
-and he shall strike the earth with the rod of his mouth,
-
-and with the breath of his lips he shall kill the wicked.
-
-5Righteousness shall be the belt of his waist,
-
-and faithfulness the belt of his loins.
-
-6The wolf shall dwell with the lamb,
-
-and the leopard shall lie down with the young goat,
-
-and the calf and the lion and the fattened calf together;
-
-and a little child shall lead them.
-
-7The cow and the bear shall graze;
-
-their young shall lie down together;
-
-and the lion shall eat straw like the ox.
-
-8The nursing child shall play over the hole of the cobra,
-
-and the weaned child shall put his hand on the adder's den.
-
-9They shall not hurt or destroy
-
-in all my holy mountain;
-
-for the earth shall be full of the knowledge of the LORD
-
-as the waters cover the sea.
-
-10In that day the root of Jesse, who shall stand as a signal for the peoples—of him shall the nations inquire, and his resting place shall be glorious.
-
-11In that day the Lord will extend his hand yet a second time to recover the remnant that remains of his people, from Assyria, from Egypt, from Pathros, from Cush,[58] from Elam, from Shinar, from Hamath, and from the coastlands of the sea.
-
-12He will raise a signal for the nations
-
-and will assemble the banished of Israel,
-
-and gather the dispersed of Judah
-
-from the four corners of the earth.
-
-13The jealousy of Ephraim shall depart,
-
-and those who harass Judah shall be cut off;
-
-Ephraim shall not be jealous of Judah,
-
-and Judah shall not harass Ephraim.
-
-14But they shall swoop down on the shoulder of the Philistines in the west,
-
-and together they shall plunder the people of the east.
-
-They shall put out their hand against Edom and Moab,
-
-and the Ammonites shall obey them.
-
-15And the LORD will utterly destroy[59]
-
-the tongue of the Sea of Egypt,
-
-and will wave his hand over the River
-
-with his scorching breath,[60]
-
-and strike it into seven channels,
-
-and he will lead people across in sandals.
-
-16And there will be a highway from Assyria
-
-for the remnant that remains of his people,
-
-as there was for Israel
-
-when they came up from the land of Egypt.
-
-
-
-
-
-The LORD Is My Strength and My Song
-
-
-12:1 You[61] will say in that day:
-
-“I will give thanks to you, O LORD,
-
-for though you were angry with me,
-
-your anger turned away,
-
-that you might comfort me.
-
-2“Behold, God is my salvation;
-
-I will trust, and will not be afraid;
-
-for the LORD GOD[62] is my strength and my song,
-
-and he has become my salvation.”
-
-3With joy you[63] will draw water from the wells of salvation. 4And you will say in that day:
-
-“Give thanks to the LORD,
-
-call upon his name,
-
-make known his deeds among the peoples,
-
-proclaim that his name is exalted.
-
-5“Sing praises to the LORD, for he has done gloriously;
-
-let this be made known[64] in all the earth.
-
-6Shout, and sing for joy, O inhabitant of Zion,
-
-for great in your[65] midst is the Holy One of Israel.”
-
-
-
-
-
-The Judgment of Babylon
-
-
-13:1 The oracle concerning Babylon which Isaiah the son of Amoz saw.
-
-2On a bare hill raise a signal;
-
-cry aloud to them;
-
-wave the hand for them to enter
-
-the gates of the nobles.
-
-3I myself have commanded my consecrated ones,
-
-and have summoned my mighty men to execute my anger,
-
-my proudly exulting ones.[66]
-
-4The sound of a tumult is on the mountains
-
-as of a great multitude!
-
-The sound of an uproar of kingdoms,
-
-of nations gathering together!
-
-The LORD of hosts is mustering
-
-a host for battle.
-
-5They come from a distant land,
-
-from the end of the heavens,
-
-the LORD and the weapons of his indignation,
-
-to destroy the whole land.[67]
-
-6Wail, for the day of the LORD is near;
-
-as destruction from the Almighty[68] it will come!
-
-7Therefore all hands will be feeble,
-
-and every human heart will melt.
-
-8They will be dismayed:
-
-pangs and agony will seize them;
-
-they will be in anguish like a woman in labor.
-
-They will look aghast at one another;
-
-their faces will be aflame.
-
-9Behold, the day of the LORD comes,
-
-cruel, with wrath and fierce anger,
-
-to make the land a desolation
-
-and to destroy its sinners from it.
-
-10For the stars of the heavens and their constellations
-
-will not give their light;
-
-the sun will be dark at its rising,
-
-and the moon will not shed its light.
-
-11I will punish the world for its evil,
-
-and the wicked for their iniquity;
-
-I will put an end to the pomp of the arrogant,
-
-and lay low the pompous pride of the ruthless.
-
-12I will make people more rare than fine gold,
-
-and mankind than the gold of Ophir.
-
-13Therefore I will make the heavens tremble,
-
-and the earth will be shaken out of its place,
-
-at the wrath of the LORD of hosts
-
-in the day of his fierce anger.
-
-14And like a hunted gazelle,
-
-or like sheep with none to gather them,
-
-each will turn to his own people,
-
-and each will flee to his own land.
-
-15Whoever is found will be thrust through,
-
-and whoever is caught will fall by the sword.
-
-16Their infants will be dashed in pieces
-
-before their eyes;
-
-their houses will be plundered
-
-and their wives ravished.
-
-17Behold, I am stirring up the Medes against them,
-
-who have no regard for silver
-
-and do not delight in gold.
-
-18Their bows will slaughter[69] the young men;
-
-they will have no mercy on the fruit of the womb;
-
-their eyes will not pity children.
-
-19And Babylon, the glory of kingdoms,
-
-the splendor and pomp of the Chaldeans,
-
-will be like Sodom and Gomorrah
-
-when God overthrew them.
-
-20It will never be inhabited
-
-or lived in for all generations;
-
-no Arab will pitch his tent there;
-
-no shepherds will make their flocks lie down there.
-
-21But wild animals will lie down there,
-
-and their houses will be full of howling creatures;
-
-there ostriches[70] will dwell,
-
-and there wild goats will dance.
-
-22Hyenas[71] will cry in its towers,
-
-and jackals in the pleasant palaces;
-
-its time is close at hand
-
-and its days will not be prolonged.
-
-
-
-
-
-The Restoration of Jacob
-
-
-14:1 For the LORD will have compassion on Jacob and will again choose Israel, and will set them in their own land, and sojourners will join them and will attach themselves to the house of Jacob. 2And the peoples will take them and bring them to their place, and the house of Israel will possess them in the LORD's land as male and female slaves. They will take captive those who were their captors, and rule over those who oppressed them.
-
-
-
-
-
-Israel's Remnant Taunts Babylon
-
-
-3When the LORD has given you rest from your pain and turmoil and the hard service with which you were made to serve, 4you will take up this taunt against the king of Babylon:
-
-“How the oppressor has ceased,
-
-the insolent fury[72] ceased!
-
-5The LORD has broken the staff of the wicked,
-
-the scepter of rulers,
-
-6that struck the peoples in wrath
-
-with unceasing blows,
-
-that ruled the nations in anger
-
-with unrelenting persecution.
-
-7The whole earth is at rest and quiet;
-
-they break forth into singing.
-
-8The cypresses rejoice at you,
-
-the cedars of Lebanon, saying,
-
-‘Since you were laid low,
-
-no woodcutter comes up against us.’
-
-9Sheol beneath is stirred up
-
-to meet you when you come;
-
-it rouses the shades to greet you,
-
-all who were leaders of the earth;
-
-it raises from their thrones
-
-all who were kings of the nations.
-
-10All of them will answer
-
-and say to you:
-
-‘You too have become as weak as we!
-
-You have become like us!’
-
-11Your pomp is brought down to Sheol,
-
-the sound of your harps;
-
-maggots are laid as a bed beneath you,
-
-and worms are your covers.
-
-12“How you are fallen from heaven,
-
-O Day Star, son of Dawn!
-
-How you are cut down to the ground,
-
-you who laid the nations low!
-
-13You said in your heart,
-
-‘I will ascend to heaven;
-
-above the stars of God
-
-I will set my throne on high;
-
-I will sit on the mount of assembly
-
-in the far reaches of the north;[73]
-
-14I will ascend above the heights of the clouds;
-
-I will make myself like the Most High.’
-
-15But you are brought down to Sheol,
-
-to the far reaches of the pit.
-
-16Those who see you will stare at you
-
-and ponder over you:
-
-‘Is this the man who made the earth tremble,
-
-who shook kingdoms,
-
-17who made the world like a desert
-
-and overthrew its cities,
-
-who did not let his prisoners go home?’
-
-18All the kings of the nations lie in glory,
-
-each in his own tomb;[74]
-
-19but you are cast out, away from your grave,
-
-like a loathed branch,
-
-clothed with the slain, those pierced by the sword,
-
-who go down to the stones of the pit,
-
-like a dead body trampled underfoot.
-
-20You will not be joined with them in burial,
-
-because you have destroyed your land,
-
-you have slain your people.
-
-“May the offspring of evildoers
-
-nevermore be named!
-
-21Prepare slaughter for his sons
-
-because of the guilt of their fathers,
-
-lest they rise and possess the earth,
-
-and fill the face of the world with cities.”
-
-22“I will rise up against them,” declares the LORD of hosts, “and will cut off from Babylon name and remnant, descendants and posterity,” declares the LORD. 23“And I will make it a possession of the hedgehog,[75] and pools of water, and I will sweep it with the broom of destruction,” declares the LORD of hosts.
-
-
-
-
-
-An Oracle Concerning Assyria
-
-
-24The LORD of hosts has sworn:
-
-“As I have planned,
-
-so shall it be,
-
-and as I have purposed,
-
-so shall it stand,
-
-25that I will break the Assyrian in my land,
-
-and on my mountains trample him underfoot;
-
-and his yoke shall depart from them,
-
-and his burden from their shoulder.”
-
-26This is the purpose that is purposed
-
-concerning the whole earth,
-
-and this is the hand that is stretched out
-
-over all the nations.
-
-27For the LORD of hosts has purposed,
-
-and who will annul it?
-
-His hand is stretched out,
-
-and who will turn it back?
-
-
-
-
-
-An Oracle Concerning Philistia
-
-
-28In the year that King Ahaz died came this oracle:
-
-29Rejoice not, O Philistia, all of you,
-
-that the rod that struck you is broken,
-
-for from the serpent's root will come forth an adder,
-
-and its fruit will be a flying fiery serpent.
-
-30And the firstborn of the poor will graze,
-
-and the needy lie down in safety;
-
-but I will kill your root with famine,
-
-and your remnant it will slay.
-
-31Wail, O gate; cry out, O city;
-
-melt in fear, O Philistia, all of you!
-
-For smoke comes out of the north,
-
-and there is no straggler in his ranks.
-
-32What will one answer the messengers of the nation?
-
-“The LORD has founded Zion,
-
-and in her the afflicted of his people find refuge.”
-
-
-
-
-
-An Oracle Concerning Moab
-
-
-15:1 An oracle concerning Moab.
-
-Because Ar of Moab is laid waste in a night,
-
-Moab is undone;
-
-because Kir of Moab is laid waste in a night,
-
-Moab is undone.
-
-2He has gone up to the temple,[76] and to Dibon,
-
-to the high places[77] to weep;
-
-over Nebo and over Medeba
-
-Moab wails.
-
-On every head is baldness;
-
-every beard is shorn;
-
-3in the streets they wear sackcloth;
-
-on the housetops and in the squares
-
-everyone wails and melts in tears.
-
-4Heshbon and Elealeh cry out;
-
-their voice is heard as far as Jahaz;
-
-therefore the armed men of Moab cry aloud;
-
-his soul trembles.
-
-5My heart cries out for Moab;
-
-her fugitives flee to Zoar,
-
-to Eglath-shelishiyah.
-
-For at the ascent of Luhith
-
-they go up weeping;
-
-on the road to Horonaim
-
-they raise a cry of destruction;
-
-6the waters of Nimrim
-
-are a desolation;
-
-the grass is withered, the vegetation fails,
-
-the greenery is no more.
-
-7Therefore the abundance they have gained
-
-and what they have laid up
-
-they carry away
-
-over the Brook of the Willows.
-
-8For a cry has gone
-
-around the land of Moab;
-
-her wailing reaches to Eglaim;
-
-her wailing reaches to Beer-elim.
-
-9For the waters of Dibon[78] are full of blood;
-
-for I will bring upon Dibon even more,
-
-a lion for those of Moab who escape,
-
-for the remnant of the land.
-
-
-
-
-
-16:1 Send the lamb to the ruler of the land,
-
-from Sela, by way of the desert,
-
-to the mount of the daughter of Zion.
-
-2Like fleeing birds,
-
-like a scattered nest,
-
-so are the daughters of Moab
-
-at the fords of the Arnon.
-
-3“Give counsel;
-
-grant justice;
-
-make your shade like night
-
-at the height of noon;
-
-shelter the outcasts;
-
-do not reveal the fugitive;
-
-4let the outcasts of Moab
-
-sojourn among you;
-
-be a shelter to them[79]
-
-from the destroyer.
-
-When the oppressor is no more,
-
-and destruction has ceased,
-
-and he who tramples underfoot has vanished from the land,
-
-5then a throne will be established in steadfast love,
-
-and on it will sit in faithfulness
-
-in the tent of David
-
-one who judges and seeks justice
-
-and is swift to do righteousness.”
-
-6We have heard of the pride of Moab—
-
-how proud he is!—
-
-of his arrogance, his pride, and his insolence;
-
-in his idle boasting he is not right.
-
-7Therefore let Moab wail for Moab,
-
-let everyone wail.
-
-Mourn, utterly stricken,
-
-for the raisin cakes of Kir-hareseth.
-
-8For the fields of Heshbon languish,
-
-and the vine of Sibmah;
-
-the lords of the nations
-
-have struck down its branches,
-
-which reached to Jazer
-
-and strayed to the desert;
-
-its shoots spread abroad
-
-and passed over the sea.
-
-9Therefore I weep with the weeping of Jazer
-
-for the vine of Sibmah;
-
-I drench you with my tears,
-
-O Heshbon and Elealeh;
-
-for over your summer fruit and your harvest
-
-the shout has ceased.
-
-10And joy and gladness are taken away from the fruitful field,
-
-and in the vineyards no songs are sung,
-
-no cheers are raised;
-
-no treader treads out wine in the presses;
-
-I have put an end to the shouting.
-
-11Therefore my inner parts moan like a lyre for Moab,
-
-and my inmost self for Kir-hareseth.
-
-12And when Moab presents himself, when he wearies himself on the high place, when he comes to his sanctuary to pray, he will not prevail.
-
-13This is the word that the LORD spoke concerning Moab in the past. 14But now the LORD has spoken, saying, “In three years, like the years of a hired worker, the glory of Moab will be brought into contempt, in spite of all his great multitude, and those who remain will be very few and feeble.”
-
-
-
-
-
-An Oracle Concerning Damascus
-
-
-17:1 An oracle concerning Damascus.
-
-Behold, Damascus will cease to be a city
-
-and will become a heap of ruins.
-
-2The cities of Aroer are deserted;
-
-they will be for flocks,
-
-which will lie down, and none will make them afraid.
-
-3The fortress will disappear from Ephraim,
-
-and the kingdom from Damascus;
-
-and the remnant of Syria will be
-
-like the glory of the children of Israel,
-
-declares the LORD of hosts.
-
-4And in that day the glory of Jacob will be brought low,
-
-and the fat of his flesh will grow lean.
-
-5And it shall be as when the reaper gathers standing grain
-
-and his arm harvests the ears,
-
-and as when one gleans the ears of grain
-
-in the Valley of Rephaim.
-
-6Gleanings will be left in it,
-
-as when an olive tree is beaten—
-
-two or three berries
-
-in the top of the highest bough,
-
-four or five
-
-on the branches of a fruit tree,
-
-declares the LORD God of Israel.
-
-7In that day man will look to his Maker, and his eyes will look on the Holy One of Israel. 8He will not look to the altars, the work of his hands, and he will not look on what his own fingers have made, either the Asherim or the altars of incense.
-
-9In that day their strong cities will be like the deserted places of the wooded heights and the hilltops, which they deserted because of the children of Israel, and there will be desolation.
-
-10For you have forgotten the God of your salvation
-
-and have not remembered the Rock of your refuge;
-
-therefore, though you plant pleasant plants
-
-and sow the vine-branch of a stranger,
-
-11though you make them grow[80] on the day that you plant them,
-
-and make them blossom in the morning that you sow,
-
-yet the harvest will flee away[81]
-
-in a day of grief and incurable pain.
-
-12Ah, the thunder of many peoples;
-
-they thunder like the thundering of the sea!
-
-Ah, the roar of nations;
-
-they roar like the roaring of mighty waters!
-
-13The nations roar like the roaring of many waters,
-
-but he will rebuke them, and they will flee far away,
-
-chased like chaff on the mountains before the wind
-
-and whirling dust before the storm.
-
-14At evening time, behold, terror!
-
-Before morning, they are no more!
-
-This is the portion of those who loot us,
-
-and the lot of those who plunder us.
-
-
-
-
-
-An Oracle Concerning Cush
-
-
-18:1 Ah, land of whirring wings
-
-that is beyond the rivers of Cush,[82]
-
-2which sends ambassadors by the sea,
-
-in vessels of papyrus on the waters!
-
-Go, you swift messengers,
-
-to a nation, tall and smooth,
-
-to a people feared near and far,
-
-a nation mighty and conquering,
-
-whose land the rivers divide.
-
-3All you inhabitants of the world,
-
-you who dwell on the earth,
-
-when a signal is raised on the mountains, look!
-
-When a trumpet is blown, hear!
-
-4For thus the LORD said to me:
-
-“I will quietly look from my dwelling
-
-like clear heat in sunshine,
-
-like a cloud of dew in the heat of harvest.”
-
-5For before the harvest, when the blossom is over,
-
-and the flower becomes a ripening grape,
-
-he cuts off the shoots with pruning hooks,
-
-and the spreading branches he lops off and clears away.
-
-6They shall all of them be left
-
-to the birds of prey of the mountains
-
-and to the beasts of the earth.
-
-And the birds of prey will summer on them,
-
-and all the beasts of the earth will winter on them.
-
-7At that time tribute will be brought to the LORD of hosts
-
-from a people tall and smooth,
-
-from a people feared near and far,
-
-a nation mighty and conquering,
-
-whose land the rivers divide,
-
-to Mount Zion, the place of the name of the LORD of hosts.
-
-
-
-
-
-An Oracle Concerning Egypt
-
-
-19:1 An oracle concerning Egypt.
-
-Behold, the LORD is riding on a swift cloud
-
-and comes to Egypt;
-
-and the idols of Egypt will tremble at his presence,
-
-and the heart of the Egyptians will melt within them.
-
-2And I will stir up Egyptians against Egyptians,
-
-and they will fight, each against another
-
-and each against his neighbor,
-
-city against city, kingdom against kingdom;
-
-3and the spirit of the Egyptians within them will be emptied out,
-
-and I will confound[83] their counsel;
-
-and they will inquire of the idols and the sorcerers,
-
-and the mediums and the necromancers;
-
-4and I will give over the Egyptians
-
-into the hand of a hard master,
-
-and a fierce king will rule over them,
-
-declares the Lord GOD of hosts.
-
-5And the waters of the sea will be dried up,
-
-and the river will be dry and parched,
-
-6and its canals will become foul,
-
-and the branches of Egypt's Nile will diminish and dry up,
-
-reeds and rushes will rot away.
-
-7There will be bare places by the Nile,
-
-on the brink of the Nile,
-
-and all that is sown by the Nile will be parched,
-
-will be driven away, and will be no more.
-
-8The fishermen will mourn and lament,
-
-all who cast a hook in the Nile;
-
-and they will languish
-
-who spread nets on the water.
-
-9The workers in combed flax will be in despair,
-
-and the weavers of white cotton.
-
-10Those who are the pillars of the land will be crushed,
-
-and all who work for pay will be grieved.
-
-11The princes of Zoan are utterly foolish;
-
-the wisest counselors of Pharaoh give stupid counsel.
-
-How can you say to Pharaoh,
-
-“I am a son of the wise,
-
-a son of ancient kings”?
-
-12Where then are your wise men?
-
-Let them tell you
-
-that they might know what the LORD of hosts has purposed against Egypt.
-
-13The princes of Zoan have become fools,
-
-and the princes of Memphis are deluded;
-
-those who are the cornerstones of her tribes
-
-have made Egypt stagger.
-
-14The LORD has mingled within her a spirit of confusion,
-
-and they will make Egypt stagger in all its deeds,
-
-as a drunken man staggers in his vomit.
-
-15And there will be nothing for Egypt
-
-that head or tail, palm branch or reed, may do.
-
-
-
-
-
-Egypt, Assyria, Israel Blessed
-
-
-16In that day the Egyptians will be like women, and tremble with fear before the hand that the LORD of hosts shakes over them. 17And the land of Judah will become a terror to the Egyptians. Everyone to whom it is mentioned will fear because of the purpose that the LORD of hosts has purposed against them.
-
-18In that day there will be five cities in the land of Egypt that speak the language of Canaan and swear allegiance to the LORD of hosts. One of these will be called the City of Destruction.[84]
-
-19In that day there will be an altar to the LORD in the midst of the land of Egypt, and a pillar to the LORD at its border. 20It will be a sign and a witness to the LORD of hosts in the land of Egypt. When they cry to the LORD because of oppressors, he will send them a savior and defender, and deliver them. 21And the LORD will make himself known to the Egyptians, and the Egyptians will know the LORD in that day and worship with sacrifice and offering, and they will make vows to the LORD and perform them. 22And the LORD will strike Egypt, striking and healing, and they will return to the LORD, and he will listen to their pleas for mercy and heal them.
-
-23In that day there will be a highway from Egypt to Assyria, and Assyria will come into Egypt, and Egypt into Assyria, and the Egyptians will worship with the Assyrians.
-
-24In that day Israel will be the third with Egypt and Assyria, a blessing in the midst of the earth, 25whom the LORD of hosts has blessed, saying, “Blessed be Egypt my people, and Assyria the work of my hands, and Israel my inheritance.”
-
-
-
-
-
-A Sign Against Egypt and Cush
-
-
-20:1 In the year that the commander in chief, who was sent by Sargon the king of Assyria, came to Ashdod and fought against it and captured it— 2at that time the LORD spoke by Isaiah the son of Amoz, saying, “Go, and loose the sackcloth from your waist and take off your sandals from your feet,” and he did so, walking naked and barefoot.
-
-3Then the LORD said, “As my servant Isaiah has walked naked and barefoot for three years as a sign and a portent against Egypt and Cush,[85] 4so shall the king of Assyria lead away the Egyptian captives and the Cushite exiles, both the young and the old, naked and barefoot, with buttocks uncovered, the nakedness of Egypt. 5Then they shall be dismayed and ashamed because of Cush their hope and of Egypt their boast. 6And the inhabitants of this coastland will say in that day, ‘Behold, this is what has happened to those in whom we hoped and to whom we fled for help to be delivered from the king of Assyria! And we, how shall we escape?’”
-
-
-
-
-
-Fallen, Fallen Is Babylon
-
-
-21:1 The oracle concerning the wilderness of the sea.
-
-As whirlwinds in the Negeb sweep on,
-
-it comes from the wilderness,
-
-from a terrible land.
-
-2A stern vision is told to me;
-
-the traitor betrays,
-
-and the destroyer destroys.
-
-Go up, O Elam;
-
-lay siege, O Media;
-
-all the sighing she has caused
-
-I bring to an end.
-
-3Therefore my loins are filled with anguish;
-
-pangs have seized me,
-
-like the pangs of a woman in labor;
-
-I am bowed down so that I cannot hear;
-
-I am dismayed so that I cannot see.
-
-4My heart staggers; horror has appalled me;
-
-the twilight I longed for
-
-has been turned for me into trembling.
-
-5They prepare the table,
-
-they spread the rugs,[86]
-
-they eat, they drink.
-
-Arise, O princes;
-
-oil the shield!
-
-6For thus the Lord said to me:
-
-“Go, set a watchman;
-
-let him announce what he sees.
-
-7When he sees riders, horsemen in pairs,
-
-riders on donkeys, riders on camels,
-
-let him listen diligently,
-
-very diligently.”
-
-8Then he who saw cried out:[87]
-
-“Upon a watchtower I stand, O Lord,
-
-continually by day,
-
-and at my post I am stationed
-
-whole nights.
-
-9And behold, here come riders,
-
-horsemen in pairs!”
-
-And he answered,
-
-“Fallen, fallen is Babylon;
-
-and all the carved images of her gods
-
-he has shattered to the ground.”
-
-10O my threshed and winnowed one,
-
-what I have heard from the LORD of hosts,
-
-the God of Israel, I announce to you.
-
-11The oracle concerning Dumah.
-
-One is calling to me from Seir,
-
-“Watchman, what time of the night?
-
-Watchman, what time of the night?”
-
-12The watchman says:
-
-“Morning comes, and also the night.
-
-If you will inquire, inquire;
-
-come back again.”
-
-13The oracle concerning Arabia.
-
-In the thickets in Arabia you will lodge,
-
-O caravans of Dedanites.
-
-14To the thirsty bring water;
-
-meet the fugitive with bread,
-
-O inhabitants of the land of Tema.
-
-15For they have fled from the swords,
-
-from the drawn sword,
-
-from the bent bow,
-
-and from the press of battle.
-
-16For thus the Lord said to me, “Within a year, according to the years of a hired worker, all the glory of Kedar will come to an end. 17And the remainder of the archers of the mighty men of the sons of Kedar will be few, for the LORD, the God of Israel, has spoken.”
-
-
-
-
-
-An Oracle Concerning Jerusalem
-
-
-22:1 The oracle concerning the valley of vision.
-
-What do you mean that you have gone up,
-
-all of you, to the housetops,
-
-2you who are full of shoutings,
-
-tumultuous city, exultant town?
-
-Your slain are not slain with the sword
-
-or dead in battle.
-
-3All your leaders have fled together;
-
-without the bow they were captured.
-
-All of you who were found were captured,
-
-though they had fled far away.
-
-4Therefore I said:
-
-“Look away from me;
-
-let me weep bitter tears;
-
-do not labor to comfort me
-
-concerning the destruction of the daughter of my people.”
-
-5For the Lord GOD of hosts has a day
-
-of tumult and trampling and confusion
-
-in the valley of vision,
-
-a battering down of walls
-
-and a shouting to the mountains.
-
-6And Elam bore the quiver
-
-with chariots and horsemen,
-
-and Kir uncovered the shield.
-
-7Your choicest valleys were full of chariots,
-
-and the horsemen took their stand at the gates.
-
-8He has taken away the covering of Judah.
-
-In that day you looked to the weapons of the House of the Forest, 9and you saw that the breaches of the city of David were many. You collected the waters of the lower pool, 10and you counted the houses of Jerusalem, and you broke down the houses to fortify the wall. 11You made a reservoir between the two walls for the water of the old pool. But you did not look to him who did it, or see him who planned it long ago.
-
-12In that day the Lord GOD of hosts
-
-called for weeping and mourning,
-
-for baldness and wearing sackcloth;
-
-13and behold, joy and gladness,
-
-killing oxen and slaughtering sheep,
-
-eating flesh and drinking wine.
-
-“Let us eat and drink,
-
-for tomorrow we die.”
-
-14The LORD of hosts has revealed himself in my ears:
-
-“Surely this iniquity will not be atoned for you until you die,”
-
-says the Lord GOD of hosts.
-
-15Thus says the Lord GOD of hosts, “Come, go to this steward, to Shebna, who is over the household, and say to him: 16What have you to do here, and whom have you here, that you have cut out here a tomb for yourself, you who cut out a tomb on the height and carve a dwelling for yourself in the rock? 17Behold, the LORD will hurl you away violently, O you strong man. He will seize firm hold on you 18and whirl you around and around, and throw you like a ball into a wide land. There you shall die, and there shall be your glorious chariots, you shame of your master's house. 19I will thrust you from your office, and you will be pulled down from your station. 20In that day I will call my servant Eliakim the son of Hilkiah, 21and I will clothe him with your robe, and will bind your sash on him, and will commit your authority to his hand. And he shall be a father to the inhabitants of Jerusalem and to the house of Judah. 22And I will place on his shoulder the key of the house of David. He shall open, and none shall shut; and he shall shut, and none shall open. 23And I will fasten him like a peg in a secure place, and he will become a throne of honor to his father's house. 24And they will hang on him the whole honor of his father's house, the offspring and issue, every small vessel, from the cups to all the flagons. 25In that day, declares the LORD of hosts, the peg that was fastened in a secure place will give way, and it will be cut down and fall, and the load that was on it will be cut off, for the LORD has spoken.”
-
-
-
-
-
-An Oracle Concerning Tyre and Sidon
-
-
-23:1 The oracle concerning Tyre.
-
-Wail, O ships of Tarshish,
-
-for Tyre is laid waste, without house or harbor!
-
-From the land of Cyprus[88]
-
-it is revealed to them.
-
-2Be still, O inhabitants of the coast;
-
-the merchants of Sidon, who cross the sea, have filled you.
-
-3And on many waters
-
-your revenue was the grain of Shihor,
-
-the harvest of the Nile;
-
-you were the merchant of the nations.
-
-4Be ashamed, O Sidon, for the sea has spoken,
-
-the stronghold of the sea, saying:
-
-“I have neither labored nor given birth,
-
-I have neither reared young men
-
-nor brought up young women.”
-
-5When the report comes to Egypt,
-
-they will be in anguish[89] over the report about Tyre.
-
-6Cross over to Tarshish;
-
-wail, O inhabitants of the coast!
-
-7Is this your exultant city
-
-whose origin is from days of old,
-
-whose feet carried her
-
-to settle far away?
-
-8Who has purposed this
-
-against Tyre, the bestower of crowns,
-
-whose merchants were princes,
-
-whose traders were the honored of the earth?
-
-9The LORD of hosts has purposed it,
-
-to defile the pompous pride of all glory,[90]
-
-to dishonor all the honored of the earth.
-
-10Cross over your land like the Nile,
-
-O daughter of Tarshish;
-
-there is no restraint anymore.
-
-11He has stretched out his hand over the sea;
-
-he has shaken the kingdoms;
-
-the LORD has given command concerning Canaan
-
-to destroy its strongholds.
-
-12And he said:
-
-“You will no more exult,
-
-O oppressed virgin daughter of Sidon;
-
-arise, cross over to Cyprus,
-
-even there you will have no rest.”
-
-13Behold the land of the Chaldeans! This is the people that was not;[91] Assyria destined it for wild beasts. They erected their siege towers, they stripped her palaces bare, they made her a ruin.
-
-14Wail, O ships of Tarshish,
-
-for your stronghold is laid waste.
-
-15In that day Tyre will be forgotten for seventy years, like the days[92] of one king. At the end of seventy years, it will happen to Tyre as in the song of the prostitute:
-
-16“Take a harp;
-
-go about the city,
-
-O forgotten prostitute!
-
-Make sweet melody;
-
-sing many songs,
-
-that you may be remembered.”
-
-17At the end of seventy years, the LORD will visit Tyre, and she will return to her wages and will prostitute herself with all the kingdoms of the world on the face of the earth. 18Her merchandise and her wages will be holy to the LORD. It will not be stored or hoarded, but her merchandise will supply abundant food and fine clothing for those who dwell before the LORD.
-
-
-
-
-
-Judgment on the Whole Earth
-
-
-24:1 Behold, the LORD will empty the earth[93] and make it desolate,
-
-and he will twist its surface and scatter its inhabitants.
-
-2And it shall be, as with the people, so with the priest;
-
-as with the slave, so with his master;
-
-as with the maid, so with her mistress;
-
-as with the buyer, so with the seller;
-
-as with the lender, so with the borrower;
-
-as with the creditor, so with the debtor.
-
-3The earth shall be utterly empty and utterly plundered;
-
-for the LORD has spoken this word.
-
-4The earth mourns and withers;
-
-the world languishes and withers;
-
-the highest people of the earth languish.
-
-5The earth lies defiled
-
-under its inhabitants;
-
-for they have transgressed the laws,
-
-violated the statutes,
-
-broken the everlasting covenant.
-
-6Therefore a curse devours the earth,
-
-and its inhabitants suffer for their guilt;
-
-therefore the inhabitants of the earth are scorched,
-
-and few men are left.
-
-7The wine mourns,
-
-the vine languishes,
-
-all the merry-hearted sigh.
-
-8The mirth of the tambourines is stilled,
-
-the noise of the jubilant has ceased,
-
-the mirth of the lyre is stilled.
-
-9No more do they drink wine with singing;
-
-strong drink is bitter to those who drink it.
-
-10The wasted city is broken down;
-
-every house is shut up so that none can enter.
-
-11There is an outcry in the streets for lack of wine;
-
-all joy has grown dark;
-
-the gladness of the earth is banished.
-
-12Desolation is left in the city;
-
-the gates are battered into ruins.
-
-13For thus it shall be in the midst of the earth
-
-among the nations,
-
-as when an olive tree is beaten,
-
-as at the gleaning when the grape harvest is done.
-
-14They lift up their voices, they sing for joy;
-
-over the majesty of the LORD they shout from the west.[94]
-
-15Therefore in the east[95] give glory to the LORD;
-
-in the coastlands of the sea, give glory to the name of the LORD, the God of Israel.
-
-16From the ends of the earth we hear songs of praise,
-
-of glory to the Righteous One.
-
-But I say, “I waste away,
-
-I waste away. Woe is me!
-
-For the traitors have betrayed,
-
-with betrayal the traitors have betrayed.”
-
-17Terror and the pit and the snare[96]
-
-are upon you, O inhabitant of the earth!
-
-18He who flees at the sound of the terror
-
-shall fall into the pit,
-
-and he who climbs out of the pit
-
-shall be caught in the snare.
-
-For the windows of heaven are opened,
-
-and the foundations of the earth tremble.
-
-19The earth is utterly broken,
-
-the earth is split apart,
-
-the earth is violently shaken.
-
-20The earth staggers like a drunken man;
-
-it sways like a hut;
-
-its transgression lies heavy upon it,
-
-and it falls, and will not rise again.
-
-21On that day the LORD will punish
-
-the host of heaven, in heaven,
-
-and the kings of the earth, on the earth.
-
-22They will be gathered together
-
-as prisoners in a pit;
-
-they will be shut up in a prison,
-
-and after many days they will be punished.
-
-23Then the moon will be confounded
-
-and the sun ashamed,
-
-for the LORD of hosts reigns
-
-on Mount Zion and in Jerusalem,
-
-and his glory will be before his elders.
-
-
-
-
-
-God Will Swallow Up Death Forever
-
-
-25:1 O LORD, you are my God;
-
-I will exalt you; I will praise your name,
-
-for you have done wonderful things,
-
-plans formed of old, faithful and sure.
-
-2For you have made the city a heap,
-
-the fortified city a ruin;
-
-the foreigners' palace is a city no more;
-
-it will never be rebuilt.
-
-3Therefore strong peoples will glorify you;
-
-cities of ruthless nations will fear you.
-
-4For you have been a stronghold to the poor,
-
-a stronghold to the needy in his distress,
-
-a shelter from the storm and a shade from the heat;
-
-for the breath of the ruthless is like a storm against a wall,
-
-5like heat in a dry place.
-
-You subdue the noise of the foreigners;
-
-as heat by the shade of a cloud,
-
-so the song of the ruthless is put down.
-
-6On this mountain the LORD of hosts will make for all peoples
-
-a feast of rich food, a feast of well-aged wine,
-
-of rich food full of marrow, of aged wine well refined.
-
-7And he will swallow up on this mountain
-
-the covering that is cast over all peoples,
-
-the veil that is spread over all nations.
-
-8He will swallow up death forever;
-
-and the Lord GOD will wipe away tears from all faces,
-
-and the reproach of his people he will take away from all the earth,
-
-for the LORD has spoken.
-
-9It will be said on that day,
-
-“Behold, this is our God; we have waited for him, that he might save us.
-
-This is the LORD; we have waited for him;
-
-let us be glad and rejoice in his salvation.”
-
-10For the hand of the LORD will rest on this mountain,
-
-and Moab shall be trampled down in his place,
-
-as straw is trampled down in a dunghill.[97]
-
-11And he will spread out his hands in the midst of it
-
-as a swimmer spreads his hands out to swim,
-
-but the LORD will lay low his pompous pride together with the skill[98] of his hands.
-
-12And the high fortifications of his walls he will bring down,
-
-lay low, and cast to the ground, to the dust.
-
-
-
-
-
-You Keep Him in Perfect Peace
-
-
-26:1 In that day this song will be sung in the land of Judah:
-
-“We have a strong city;
-
-he sets up salvation
-
-as walls and bulwarks.
-
-2Open the gates,
-
-that the righteous nation that keeps faith may enter in.
-
-3You keep him in perfect peace
-
-whose mind is stayed on you,
-
-because he trusts in you.
-
-4Trust in the LORD forever,
-
-for the LORD GOD is an everlasting rock.
-
-5For he has humbled
-
-the inhabitants of the height,
-
-the lofty city.
-
-He lays it low, lays it low to the ground,
-
-casts it to the dust.
-
-6The foot tramples it,
-
-the feet of the poor,
-
-the steps of the needy.”
-
-7The path of the righteous is level;
-
-you make level the way of the righteous.
-
-8In the path of your judgments,
-
-O LORD, we wait for you;
-
-your name and remembrance
-
-are the desire of our soul.
-
-9My soul yearns for you in the night;
-
-my spirit within me earnestly seeks you.
-
-For when your judgments are in the earth,
-
-the inhabitants of the world learn righteousness.
-
-10If favor is shown to the wicked,
-
-he does not learn righteousness;
-
-in the land of uprightness he deals corruptly
-
-and does not see the majesty of the LORD.
-
-11O LORD, your hand is lifted up,
-
-but they do not see it.
-
-Let them see your zeal for your people, and be ashamed.
-
-Let the fire for your adversaries consume them.
-
-12O LORD, you will ordain peace for us,
-
-for you have indeed done for us all our works.
-
-13O LORD our God,
-
-other lords besides you have ruled over us,
-
-but your name alone we bring to remembrance.
-
-14They are dead, they will not live;
-
-they are shades, they will not arise;
-
-to that end you have visited them with destruction
-
-and wiped out all remembrance of them.
-
-15But you have increased the nation, O LORD,
-
-you have increased the nation; you are glorified;
-
-you have enlarged all the borders of the land.
-
-16O LORD, in distress they sought you;
-
-they poured out a whispered prayer
-
-when your discipline was upon them.
-
-17Like a pregnant woman
-
-who writhes and cries out in her pangs
-
-when she is near to giving birth,
-
-so were we because of you, O LORD;
-
-18we were pregnant, we writhed,
-
-but we have given birth to wind.
-
-We have accomplished no deliverance in the earth,
-
-and the inhabitants of the world have not fallen.
-
-19Your dead shall live; their bodies shall rise.
-
-You who dwell in the dust, awake and sing for joy!
-
-For your dew is a dew of light,
-
-and the earth will give birth to the dead.
-
-20Come, my people, enter your chambers,
-
-and shut your doors behind you;
-
-hide yourselves for a little while
-
-until the fury has passed by.
-
-21For behold, the LORD is coming out from his place
-
-to punish the inhabitants of the earth for their iniquity,
-
-and the earth will disclose the blood shed on it,
-
-and will no more cover its slain.
-
-
-
-
-
-The Redemption of Israel
-
-
-27:1 In that day the LORD with his hard and great and strong sword will punish Leviathan the fleeing serpent, Leviathan the twisting serpent, and he will slay the dragon that is in the sea.
-
-2In that day,
-
-“A pleasant vineyard,[99] sing of it!
-
-3I, the LORD, am its keeper;
-
-every moment I water it.
-
-Lest anyone punish it,
-
-I keep it night and day;
-
-4I have no wrath.
-
-Would that I had thorns and briers to battle!
-
-I would march against them,
-
-I would burn them up together.
-
-5Or let them lay hold of my protection,
-
-let them make peace with me,
-
-let them make peace with me.”
-
-6In days to come[100] Jacob shall take root,
-
-Israel shall blossom and put forth shoots
-
-and fill the whole world with fruit.
-
-7Has he struck them as he struck those who struck them?
-
-Or have they been slain as their slayers were slain?
-
-8Measure by measure,[101] by exile you contended with them;
-
-he removed them with his fierce breath[102] in the day of the east wind.
-
-9Therefore by this the guilt of Jacob will be atoned for,
-
-and this will be the full fruit of the removal of his sin:[103]
-
-when he makes all the stones of the altars
-
-like chalkstones crushed to pieces,
-
-no Asherim or incense altars will remain standing.
-
-10For the fortified city is solitary,
-
-a habitation deserted and forsaken, like the wilderness;
-
-there the calf grazes;
-
-there it lies down and strips its branches.
-
-11When its boughs are dry, they are broken;
-
-women come and make a fire of them.
-
-For this is a people without discernment;
-
-therefore he who made them will not have compassion on them;
-
-he who formed them will show them no favor.
-
-12In that day from the river Euphrates to the Brook of Egypt the LORD will thresh out the grain, and you will be gleaned one by one, O people of Israel. 13And in that day a great trumpet will be blown, and those who were lost in the land of Assyria and those who were driven out to the land of Egypt will come and worship the LORD on the holy mountain at Jerusalem.
-
-
-
-
-
-Judgment on Ephraim and Jerusalem
-
-
-28:1 Ah, the proud crown of the drunkards of Ephraim,
-
-and the fading flower of its glorious beauty,
-
-which is on the head of the rich valley of those overcome with wine!
-
-2Behold, the Lord has one who is mighty and strong;
-
-like a storm of hail, a destroying tempest,
-
-like a storm of mighty, overflowing waters,
-
-he casts down to the earth with his hand.
-
-3The proud crown of the drunkards of Ephraim
-
-will be trodden underfoot;
-
-4and the fading flower of its glorious beauty,
-
-which is on the head of the rich valley,
-
-will be like a first-ripe fig before the summer:
-
-when someone sees it, he swallows it
-
-as soon as it is in his hand.
-
-5In that day the LORD of hosts will be a crown of glory,[104]
-
-and a diadem of beauty, to the remnant of his people,
-
-6and a spirit of justice to him who sits in judgment,
-
-and strength to those who turn back the battle at the gate.
-
-7These also reel with wine
-
-and stagger with strong drink;
-
-the priest and the prophet reel with strong drink,
-
-they are swallowed by[105] wine,
-
-they stagger with strong drink,
-
-they reel in vision,
-
-they stumble in giving judgment.
-
-8For all tables are full of filthy vomit,
-
-with no space left.
-
-9“To whom will he teach knowledge,
-
-and to whom will he explain the message?
-
-Those who are weaned from the milk,
-
-those taken from the breast?
-
-10For it is precept upon precept, precept upon precept,
-
-line upon line, line upon line,
-
-here a little, there a little.”
-
-11For by people of strange lips
-
-and with a foreign tongue
-
-the LORD will speak to this people,
-
-12to whom he has said,
-
-“This is rest;
-
-give rest to the weary;
-
-and this is repose”;
-
-yet they would not hear.
-
-13And the word of the LORD will be to them
-
-precept upon precept, precept upon precept,
-
-line upon line, line upon line,
-
-here a little, there a little,
-
-that they may go, and fall backward,
-
-and be broken, and snared, and taken.
-
-
-
-
-
-A Cornerstone in Zion
-
-
-14Therefore hear the word of the LORD, you scoffers,
-
-who rule this people in Jerusalem!
-
-15Because you have said, “We have made a covenant with death,
-
-and with Sheol we have an agreement,
-
-when the overwhelming whip passes through
-
-it will not come to us,
-
-for we have made lies our refuge,
-
-and in falsehood we have taken shelter”;
-
-16therefore thus says the Lord GOD,
-
-“Behold, I am the one who has laid[106] as a foundation in Zion,
-
-a stone, a tested stone,
-
-a precious cornerstone, of a sure foundation:
-
-‘Whoever believes will not be in haste.’
-
-17And I will make justice the line,
-
-and righteousness the plumb line;
-
-and hail will sweep away the refuge of lies,
-
-and waters will overwhelm the shelter.”
-
-18Then your covenant with death will be annulled,
-
-and your agreement with Sheol will not stand;
-
-when the overwhelming scourge passes through,
-
-you will be beaten down by it.
-
-19As often as it passes through it will take you;
-
-for morning by morning it will pass through,
-
-by day and by night;
-
-and it will be sheer terror to understand the message.
-
-20For the bed is too short to stretch oneself on,
-
-and the covering too narrow to wrap oneself in.
-
-21For the LORD will rise up as on Mount Perazim;
-
-as in the Valley of Gibeon he will be roused;
-
-to do his deed—strange is his deed!
-
-and to work his work—alien is his work!
-
-22Now therefore do not scoff,
-
-lest your bonds be made strong;
-
-for I have heard a decree of destruction
-
-from the Lord GOD of hosts against the whole land.
-
-23Give ear, and hear my voice;
-
-give attention, and hear my speech.
-
-24Does he who plows for sowing plow continually?
-
-Does he continually open and harrow his ground?
-
-25When he has leveled its surface,
-
-does he not scatter dill, sow cumin,
-
-and put in wheat in rows
-
-and barley in its proper place,
-
-and emmer[107] as the border?
-
-26For he is rightly instructed;
-
-his God teaches him.
-
-27Dill is not threshed with a threshing sledge,
-
-nor is a cart wheel rolled over cumin,
-
-but dill is beaten out with a stick,
-
-and cumin with a rod.
-
-28Does one crush grain for bread?
-
-No, he does not thresh it forever;[108]
-
-when he drives his cart wheel over it
-
-with his horses, he does not crush it.
-
-29This also comes from the LORD of hosts;
-
-he is wonderful in counsel
-
-and excellent in wisdom.
-
-
-
-
-
-The Siege of Jerusalem
-
-
-29:1 Ah, Ariel, Ariel,
-
-the city where David encamped!
-
-Add year to year;
-
-let the feasts run their round.
-
-2Yet I will distress Ariel,
-
-and there shall be moaning and lamentation,
-
-and she shall be to me like an Ariel.[109]
-
-3And I will encamp against you all around,
-
-and will besiege you with towers
-
-and I will raise siegeworks against you.
-
-4And you will be brought low; from the earth you shall speak,
-
-and from the dust your speech will be bowed down;
-
-your voice shall come from the ground like the voice of a ghost,
-
-and from the dust your speech shall whisper.
-
-5But the multitude of your foreign foes shall be like small dust,
-
-and the multitude of the ruthless like passing chaff.
-
-And in an instant, suddenly,
-
-6you will be visited by the LORD of hosts
-
-with thunder and with earthquake and great noise,
-
-with whirlwind and tempest, and the flame of a devouring fire.
-
-7And the multitude of all the nations that fight against Ariel,
-
-all that fight against her and her stronghold and distress her,
-
-shall be like a dream, a vision of the night.
-
-8As when a hungry man dreams he is eating
-
-and awakes with his hunger not satisfied,
-
-or as when a thirsty man dreams he is drinking
-
-and awakes faint, with his thirst not quenched,
-
-so shall the multitude of all the nations be
-
-that fight against Mount Zion.
-
-9Astonish yourselves[110] and be astonished;
-
-blind yourselves and be blind!
-
-Be drunk, but not with wine;
-
-stagger, but not with strong drink!
-
-10For the LORD has poured out upon you
-
-a spirit of deep sleep,
-
-and has closed your eyes (the prophets),
-
-and covered your heads (the seers).
-
-11And the vision of all this has become to you like the words of a book that is sealed. When men give it to one who can read, saying, “Read this,” he says, “I cannot, for it is sealed.” 12And when they give the book to one who cannot read, saying, “Read this,” he says, “I cannot read.”
-
-13And the Lord said:
-
-“Because this people draw near with their mouth
-
-and honor me with their lips,
-
-while their hearts are far from me,
-
-and their fear of me is a commandment taught by men,
-
-14therefore, behold, I will again
-
-do wonderful things with this people,
-
-with wonder upon wonder;
-
-and the wisdom of their wise men shall perish,
-
-and the discernment of their discerning men shall be hidden.”
-
-15Ah, you who hide deep from the LORD your counsel,
-
-whose deeds are in the dark,
-
-and who say, “Who sees us? Who knows us?”
-
-16You turn things upside down!
-
-Shall the potter be regarded as the clay,
-
-that the thing made should say of its maker,
-
-“He did not make me”;
-
-or the thing formed say of him who formed it,
-
-“He has no understanding”?
-
-17Is it not yet a very little while
-
-until Lebanon shall be turned into a fruitful field,
-
-and the fruitful field shall be regarded as a forest?
-
-18In that day the deaf shall hear
-
-the words of a book,
-
-and out of their gloom and darkness
-
-the eyes of the blind shall see.
-
-19The meek shall obtain fresh joy in the LORD,
-
-and the poor among mankind shall exult in the Holy One of Israel.
-
-20For the ruthless shall come to nothing
-
-and the scoffer cease,
-
-and all who watch to do evil shall be cut off,
-
-21who by a word make a man out to be an offender,
-
-and lay a snare for him who reproves in the gate,
-
-and with an empty plea turn aside him who is in the right.
-
-22Therefore thus says the LORD, who redeemed Abraham, concerning the house of Jacob:
-
-“Jacob shall no more be ashamed,
-
-no more shall his face grow pale.
-
-23For when he sees his children,
-
-the work of my hands, in his midst,
-
-they will sanctify my name;
-
-they will sanctify the Holy One of Jacob
-
-and will stand in awe of the God of Israel.
-
-24And those who go astray in spirit will come to understanding,
-
-and those who murmur will accept instruction.”
-
-
-
-
-
-Do Not Go Down to Egypt
-
-
-30:1 “Ah, stubborn children,” declares the LORD,
-
-“who carry out a plan, but not mine,
-
-and who make an alliance,[111] but not of my Spirit,
-
-that they may add sin to sin;
-
-2who set out to go down to Egypt,
-
-without asking for my direction,
-
-to take refuge in the protection of Pharaoh
-
-and to seek shelter in the shadow of Egypt!
-
-3Therefore shall the protection of Pharaoh turn to your shame,
-
-and the shelter in the shadow of Egypt to your humiliation.
-
-4For though his officials are at Zoan
-
-and his envoys reach Hanes,
-
-5everyone comes to shame
-
-through a people that cannot profit them,
-
-that brings neither help nor profit,
-
-but shame and disgrace.”
-
-6An oracle on the beasts of the Negeb.
-
-Through a land of trouble and anguish,
-
-from where come the lioness and the lion,
-
-the adder and the flying fiery serpent,
-
-they carry their riches on the backs of donkeys,
-
-and their treasures on the humps of camels,
-
-to a people that cannot profit them.
-
-7Egypt's help is worthless and empty;
-
-therefore I have called her
-
-“Rahab who sits still.”
-
-
-
-
-
-A Rebellious People
-
-
-8And now, go, write it before them on a tablet
-
-and inscribe it in a book,
-
-that it may be for the time to come
-
-as a witness forever.[112]
-
-9For they are a rebellious people,
-
-lying children,
-
-children unwilling to hear
-
-the instruction of the LORD;
-
-10who say to the seers, “Do not see,”
-
-and to the prophets, “Do not prophesy to us what is right;
-
-speak to us smooth things,
-
-prophesy illusions,
-
-11leave the way, turn aside from the path,
-
-let us hear no more about the Holy One of Israel.”
-
-12Therefore thus says the Holy One of Israel,
-
-“Because you despise this word
-
-and trust in oppression and perverseness
-
-and rely on them,
-
-13therefore this iniquity shall be to you
-
-like a breach in a high wall, bulging out, and about to collapse,
-
-whose breaking comes suddenly, in an instant;
-
-14and its breaking is like that of a potter's vessel
-
-that is smashed so ruthlessly
-
-that among its fragments not a shard is found
-
-with which to take fire from the hearth,
-
-or to dip up water out of the cistern.”
-
-15For thus said the Lord GOD, the Holy One of Israel,
-
-“In returning[113] and rest you shall be saved;
-
-in quietness and in trust shall be your strength.”
-
-But you were unwilling, 16and you said,
-
-“No! We will flee upon horses”;
-
-therefore you shall flee away;
-
-and, “We will ride upon swift steeds”;
-
-therefore your pursuers shall be swift.
-
-17A thousand shall flee at the threat of one;
-
-at the threat of five you shall flee,
-
-till you are left
-
-like a flagstaff on the top of a mountain,
-
-like a signal on a hill.
-
-
-
-
-
-The LORD Will Be Gracious
-
-
-18Therefore the LORD waits to be gracious to you,
-
-and therefore he exalts himself to show mercy to you.
-
-For the LORD is a God of justice;
-
-blessed are all those who wait for him.
-
-19For a people shall dwell in Zion, in Jerusalem; you shall weep no more. He will surely be gracious to you at the sound of your cry. As soon as he hears it, he answers you. 20And though the Lord give you the bread of adversity and the water of affliction, yet your Teacher will not hide himself anymore, but your eyes shall see your Teacher. 21And your ears shall hear a word behind you, saying, “This is the way, walk in it,” when you turn to the right or when you turn to the left. 22Then you will defile your carved idols overlaid with silver and your gold-plated metal images. You will scatter them as unclean things. You will say to them, “Be gone!”
-
-23And he will give rain for the seed with which you sow the ground, and bread, the produce of the ground, which will be rich and plenteous. In that day your livestock will graze in large pastures, 24and the oxen and the donkeys that work the ground will eat seasoned fodder, which has been winnowed with shovel and fork. 25And on every lofty mountain and every high hill there will be brooks running with water, in the day of the great slaughter, when the towers fall. 26Moreover, the light of the moon will be as the light of the sun, and the light of the sun will be sevenfold, as the light of seven days, in the day when the LORD binds up the brokenness of his people, and heals the wounds inflicted by his blow.
-
-27Behold, the name of the LORD comes from afar,
-
-burning with his anger, and in thick rising smoke;[114]
-
-his lips are full of fury,
-
-and his tongue is like a devouring fire;
-
-28his breath is like an overflowing stream
-
-that reaches up to the neck;
-
-to sift the nations with the sieve of destruction,
-
-and to place on the jaws of the peoples a bridle that leads astray.
-
-29You shall have a song as in the night when a holy feast is kept, and gladness of heart, as when one sets out to the sound of the flute to go to the mountain of the LORD, to the Rock of Israel. 30And the LORD will cause his majestic voice to be heard and the descending blow of his arm to be seen, in furious anger and a flame of devouring fire, with a cloudburst and storm and hailstones. 31The Assyrians will be terror-stricken at the voice of the LORD, when he strikes with his rod. 32And every stroke of the appointed staff that the LORD lays on them will be to the sound of tambourines and lyres. Battling with brandished arm, he will fight with them. 33For a burning place[115] has long been prepared; indeed, for the king it is made ready, its pyre made deep and wide, with fire and wood in abundance; the breath of the LORD, like a stream of sulfur, kindles it.
-
-
-
-
-
-Woe to Those Who Go Down to Egypt
-
-
-31:1 Woe to those who go down to Egypt for help
-
-and rely on horses,
-
-who trust in chariots because they are many
-
-and in horsemen because they are very strong,
-
-but do not look to the Holy One of Israel
-
-or consult the LORD!
-
-2And yet he is wise and brings disaster;
-
-he does not call back his words,
-
-but will arise against the house of the evildoers
-
-and against the helpers of those who work iniquity.
-
-3The Egyptians are man, and not God,
-
-and their horses are flesh, and not spirit.
-
-When the LORD stretches out his hand,
-
-the helper will stumble, and he who is helped will fall,
-
-and they will all perish together.
-
-4For thus the LORD said to me,
-
-“As a lion or a young lion growls over his prey,
-
-and when a band of shepherds is called out against him
-
-he is not terrified by their shouting
-
-or daunted at their noise,
-
-so the LORD of hosts will come down
-
-to fight[116] on Mount Zion and on its hill.
-
-5Like birds hovering, so the LORD of hosts
-
-will protect Jerusalem;
-
-he will protect and deliver it;
-
-he will spare and rescue it.”
-
-6Turn to him from whom people[117] have deeply revolted, O children of Israel. 7For in that day everyone shall cast away his idols of silver and his idols of gold, which your hands have sinfully made for you.
-
-8“And the Assyrian shall fall by a sword, not of man;
-
-and a sword, not of man, shall devour him;
-
-and he shall flee from the sword,
-
-and his young men shall be put to forced labor.
-
-9His rock shall pass away in terror,
-
-and his officers desert the standard in panic,”
-
-declares the LORD, whose fire is in Zion,
-
-and whose furnace is in Jerusalem.
-
-
-
-
-
-A King Will Reign in Righteousness
-
-
-32:1 Behold, a king will reign in righteousness,
-
-and princes will rule in justice.
-
-2Each will be like a hiding place from the wind,
-
-a shelter from the storm,
-
-like streams of water in a dry place,
-
-like the shade of a great rock in a weary land.
-
-3Then the eyes of those who see will not be closed,
-
-and the ears of those who hear will give attention.
-
-4The heart of the hasty will understand and know,
-
-and the tongue of the stammerers will hasten to speak distinctly.
-
-5The fool will no more be called noble,
-
-nor the scoundrel said to be honorable.
-
-6For the fool speaks folly,
-
-and his heart is busy with iniquity,
-
-to practice ungodliness,
-
-to utter error concerning the LORD,
-
-to leave the craving of the hungry unsatisfied,
-
-and to deprive the thirsty of drink.
-
-7As for the scoundrel—his devices are evil;
-
-he plans wicked schemes
-
-to ruin the poor with lying words,
-
-even when the plea of the needy is right.
-
-8But he who is noble plans noble things,
-
-and on noble things he stands.
-
-
-
-
-
-Complacent Women Warned of Disaster
-
-
-9Rise up, you women who are at ease, hear my voice;
-
-you complacent daughters, give ear to my speech.
-
-10In little more than a year
-
-you will shudder, you complacent women;
-
-for the grape harvest fails,
-
-the fruit harvest will not come.
-
-11Tremble, you women who are at ease,
-
-shudder, you complacent ones;
-
-strip, and make yourselves bare,
-
-and tie sackcloth around your waist.
-
-12Beat your breasts for the pleasant fields,
-
-for the fruitful vine,
-
-13for the soil of my people
-
-growing up in thorns and briers,
-
-yes, for all the joyous houses
-
-in the exultant city.
-
-14For the palace is forsaken,
-
-the populous city deserted;
-
-the hill and the watchtower
-
-will become dens forever,
-
-a joy of wild donkeys,
-
-a pasture of flocks;
-
-15until the Spirit is poured upon us from on high,
-
-and the wilderness becomes a fruitful field,
-
-and the fruitful field is deemed a forest.
-
-16Then justice will dwell in the wilderness,
-
-and righteousness abide in the fruitful field.
-
-17And the effect of righteousness will be peace,
-
-and the result of righteousness, quietness and trust[118] forever.
-
-18My people will abide in a peaceful habitation,
-
-in secure dwellings, and in quiet resting places.
-
-19And it will hail when the forest falls down,
-
-and the city will be utterly laid low.
-
-20Happy are you who sow beside all waters,
-
-who let the feet of the ox and the donkey range free.
-
-
-
-
-
-O LORD, Be Gracious to Us
-
-
-33:1 Ah, you destroyer,
-
-who yourself have not been destroyed,
-
-you traitor,
-
-whom none has betrayed!
-
-When you have ceased to destroy,
-
-you will be destroyed;
-
-and when you have finished betraying,
-
-they will betray you.
-
-2O LORD, be gracious to us; we wait for you.
-
-Be our arm every morning,
-
-our salvation in the time of trouble.
-
-3At the tumultuous noise peoples flee;
-
-when you lift yourself up, nations are scattered,
-
-4and your spoil is gathered as the caterpillar gathers;
-
-as locusts leap, it is leapt upon.
-
-5The LORD is exalted, for he dwells on high;
-
-he will fill Zion with justice and righteousness,
-
-6and he will be the stability of your times,
-
-abundance of salvation, wisdom, and knowledge;
-
-the fear of the LORD is Zion's[119] treasure.
-
-7Behold, their heroes cry in the streets;
-
-the envoys of peace weep bitterly.
-
-8The highways lie waste;
-
-the traveler ceases.
-
-Covenants are broken;
-
-cities[120] are despised;
-
-there is no regard for man.
-
-9The land mourns and languishes;
-
-Lebanon is confounded and withers away;
-
-Sharon is like a desert,
-
-and Bashan and Carmel shake off their leaves.
-
-10“Now I will arise,” says the LORD,
-
-“now I will lift myself up;
-
-now I will be exalted.
-
-11You conceive chaff; you give birth to stubble;
-
-your breath is a fire that will consume you.
-
-12And the peoples will be as if burned to lime,
-
-like thorns cut down, that are burned in the fire.”
-
-13Hear, you who are far off, what I have done;
-
-and you who are near, acknowledge my might.
-
-14The sinners in Zion are afraid;
-
-trembling has seized the godless:
-
-“Who among us can dwell with the consuming fire?
-
-Who among us can dwell with everlasting burnings?”
-
-15He who walks righteously and speaks uprightly,
-
-who despises the gain of oppressions,
-
-who shakes his hands, lest they hold a bribe,
-
-who stops his ears from hearing of bloodshed
-
-and shuts his eyes from looking on evil,
-
-16he will dwell on the heights;
-
-his place of defense will be the fortresses of rocks;
-
-his bread will be given him; his water will be sure.
-
-17Your eyes will behold the king in his beauty;
-
-they will see a land that stretches afar.
-
-18Your heart will muse on the terror:
-
-“Where is he who counted, where is he who weighed the tribute?
-
-Where is he who counted the towers?”
-
-19You will see no more the insolent people,
-
-the people of an obscure speech that you cannot comprehend,
-
-stammering in a tongue that you cannot understand.
-
-20Behold Zion, the city of our appointed feasts!
-
-Your eyes will see Jerusalem,
-
-an untroubled habitation, an immovable tent,
-
-whose stakes will never be plucked up,
-
-nor will any of its cords be broken.
-
-21But there the LORD in majesty will be for us
-
-a place of broad rivers and streams,
-
-where no galley with oars can go,
-
-nor majestic ship can pass.
-
-22For the LORD is our judge; the LORD is our lawgiver;
-
-the LORD is our king; he will save us.
-
-23Your cords hang loose;
-
-they cannot hold the mast firm in its place
-
-or keep the sail spread out.
-
-Then prey and spoil in abundance will be divided;
-
-even the lame will take the prey.
-
-24And no inhabitant will say, “I am sick”;
-
-the people who dwell there will be forgiven their iniquity.
-
-
-
-
-
-Judgment on the Nations
-
-
-34:1 Draw near, O nations, to hear,
-
-and give attention, O peoples!
-
-Let the earth hear, and all that fills it;
-
-the world, and all that comes from it.
-
-2For the LORD is enraged against all the nations,
-
-and furious against all their host;
-
-he has devoted them to destruction,[121] has given them over for slaughter.
-
-3Their slain shall be cast out,
-
-and the stench of their corpses shall rise;
-
-the mountains shall flow with their blood.
-
-4All the host of heaven shall rot away,
-
-and the skies roll up like a scroll.
-
-All their host shall fall,
-
-as leaves fall from the vine,
-
-like leaves falling from the fig tree.
-
-5For my sword has drunk its fill in the heavens;
-
-behold, it descends for judgment upon Edom,
-
-upon the people I have devoted to destruction.
-
-6The LORD has a sword; it is sated with blood;
-
-it is gorged with fat,
-
-with the blood of lambs and goats,
-
-with the fat of the kidneys of rams.
-
-For the LORD has a sacrifice in Bozrah,
-
-a great slaughter in the land of Edom.
-
-7Wild oxen shall fall with them,
-
-and young steers with the mighty bulls.
-
-Their land shall drink its fill of blood,
-
-and their soil shall be gorged with fat.
-
-8For the LORD has a day of vengeance,
-
-a year of recompense for the cause of Zion.
-
-9And the streams of Edom[122] shall be turned into pitch,
-
-and her soil into sulfur;
-
-her land shall become burning pitch.
-
-10Night and day it shall not be quenched;
-
-its smoke shall go up forever.
-
-From generation to generation it shall lie waste;
-
-none shall pass through it forever and ever.
-
-11But the hawk and the porcupine[123] shall possess it,
-
-the owl and the raven shall dwell in it.
-
-He shall stretch the line of confusion[124] over it,
-
-and the plumb line of emptiness.
-
-12Its nobles—there is no one there to call it a kingdom,
-
-and all its princes shall be nothing.
-
-13Thorns shall grow over its strongholds,
-
-nettles and thistles in its fortresses.
-
-It shall be the haunt of jackals,
-
-an abode for ostriches.[125]
-
-14And wild animals shall meet with hyenas;
-
-the wild goat shall cry to his fellow;
-
-indeed, there the night bird[126] settles
-
-and finds for herself a resting place.
-
-15There the owl nests and lays
-
-and hatches and gathers her young in her shadow;
-
-indeed, there the hawks are gathered,
-
-each one with her mate.
-
-16Seek and read from the book of the LORD:
-
-Not one of these shall be missing;
-
-none shall be without her mate.
-
-For the mouth of the LORD has commanded,
-
-and his Spirit has gathered them.
-
-17He has cast the lot for them;
-
-his hand has portioned it out to them with the line;
-
-they shall possess it forever;
-
-from generation to generation they shall dwell in it.
-
-
-
-
-
-The Ransomed Shall Return
-
-
-35:1 The wilderness and the dry land shall be glad;
-
-the desert shall rejoice and blossom like the crocus;
-
-2it shall blossom abundantly
-
-and rejoice with joy and singing.
-
-The glory of Lebanon shall be given to it,
-
-the majesty of Carmel and Sharon.
-
-They shall see the glory of the LORD,
-
-the majesty of our God.
-
-3Strengthen the weak hands,
-
-and make firm the feeble knees.
-
-4Say to those who have an anxious heart,
-
-“Be strong; fear not!
-
-Behold, your God
-
-will come with vengeance,
-
-with the recompense of God.
-
-He will come and save you.”
-
-5Then the eyes of the blind shall be opened,
-
-and the ears of the deaf unstopped;
-
-6then shall the lame man leap like a deer,
-
-and the tongue of the mute sing for joy.
-
-For waters break forth in the wilderness,
-
-and streams in the desert;
-
-7the burning sand shall become a pool,
-
-and the thirsty ground springs of water;
-
-in the haunt of jackals, where they lie down,
-
-the grass shall become reeds and rushes.
-
-8And a highway shall be there,
-
-and it shall be called the Way of Holiness;
-
-the unclean shall not pass over it.
-
-It shall belong to those who walk on the way;
-
-even if they are fools, they shall not go astray.[127]
-
-9No lion shall be there,
-
-nor shall any ravenous beast come up on it;
-
-they shall not be found there,
-
-but the redeemed shall walk there.
-
-10And the ransomed of the LORD shall return
-
-and come to Zion with singing;
-
-everlasting joy shall be upon their heads;
-
-they shall obtain gladness and joy,
-
-and sorrow and sighing shall flee away.
-
-
-
-
-
-Sennacherib Invades Judah
-
-
-36:1 In the fourteenth year of King Hezekiah, Sennacherib king of Assyria came up against all the fortified cities of Judah and took them. 2And the king of Assyria sent the Rabshakeh[128] from Lachish to King Hezekiah at Jerusalem, with a great army. And he stood by the conduit of the upper pool on the highway to the Washer's Field. 3And there came out to him Eliakim the son of Hilkiah, who was over the household, and Shebna the secretary, and Joah the son of Asaph, the recorder.
-
-4And the Rabshakeh said to them, “Say to Hezekiah, ‘Thus says the great king, the king of Assyria: On what do you rest this trust of yours? 5Do you think that mere words are strategy and power for war? In whom do you now trust, that you have rebelled against me? 6Behold, you are trusting in Egypt, that broken reed of a staff, which will pierce the hand of any man who leans on it. Such is Pharaoh king of Egypt to all who trust in him. 7But if you say to me, “We trust in the LORD our God,” is it not he whose high places and altars Hezekiah has removed, saying to Judah and to Jerusalem, “You shall worship before this altar”? 8Come now, make a wager with my master the king of Assyria: I will give you two thousand horses, if you are able on your part to set riders on them. 9How then can you repulse a single captain among the least of my master's servants, when you trust in Egypt for chariots and for horsemen? 10Moreover, is it without the LORD that I have come up against this land to destroy it? The LORD said to me, Go up against this land and destroy it.’”
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-11Then Eliakim, Shebna, and Joah said to the Rabshakeh, “Please speak to your servants in Aramaic, for we understand it. Do not speak to us in the language of Judah within the hearing of the people who are on the wall.” 12But the Rabshakeh said, “Has my master sent me to speak these words to your master and to you, and not to the men sitting on the wall, who are doomed with you to eat their own dung and drink their own urine?”
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-13Then the Rabshakeh stood and called out in a loud voice in the language of Judah: “Hear the words of the great king, the king of Assyria! 14Thus says the king: ‘Do not let Hezekiah deceive you, for he will not be able to deliver you. 15Do not let Hezekiah make you trust in the LORD by saying, “The LORD will surely deliver us. This city will not be given into the hand of the king of Assyria.” 16Do not listen to Hezekiah. For thus says the king of Assyria: Make your peace with me[129] and come out to me. Then each one of you will eat of his own vine, and each one of his own fig tree, and each one of you will drink the water of his own cistern, 17until I come and take you away to a land like your own land, a land of grain and wine, a land of bread and vineyards. 18Beware lest Hezekiah mislead you by saying, “The LORD will deliver us.” Has any of the gods of the nations delivered his land out of the hand of the king of Assyria? 19Where are the gods of Hamath and Arpad? Where are the gods of Sepharvaim? Have they delivered Samaria out of my hand? 20Who among all the gods of these lands have delivered their lands out of my hand, that the LORD should deliver Jerusalem out of my hand?’”
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-21But they were silent and answered him not a word, for the king's command was, “Do not answer him.” 22Then Eliakim the son of Hilkiah, who was over the household, and Shebna the secretary, and Joah the son of Asaph, the recorder, came to Hezekiah with their clothes torn, and told him the words of the Rabshakeh.
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-Hezekiah Seeks Isaiah's Help
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-
-37:1 As soon as King Hezekiah heard it, he tore his clothes and covered himself with sackcloth and went into the house of the LORD. 2And he sent Eliakim, who was over the household, and Shebna the secretary, and the senior priests, covered with sackcloth, to the prophet Isaiah the son of Amoz. 3They said to him, “Thus says Hezekiah, ‘This day is a day of distress, of rebuke, and of disgrace; children have come to the point of birth, and there is no strength to bring them forth. 4It may be that the LORD your God will hear the words of the Rabshakeh, whom his master the king of Assyria has sent to mock the living God, and will rebuke the words that the LORD your God has heard; therefore lift up your prayer for the remnant that is left.’”
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-5When the servants of King Hezekiah came to Isaiah, 6Isaiah said to them, “Say to your master, ‘Thus says the LORD: Do not be afraid because of the words that you have heard, with which the young men of the king of Assyria have reviled me. 7Behold, I will put a spirit in him, so that he shall hear a rumor and return to his own land, and I will make him fall by the sword in his own land.’”
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-8The Rabshakeh returned, and found the king of Assyria fighting against Libnah, for he had heard that the king had left Lachish. 9Now the king heard concerning Tirhakah king of Cush,[130] “He has set out to fight against you.” And when he heard it, he sent messengers to Hezekiah, saying, 10“Thus shall you speak to Hezekiah king of Judah: ‘Do not let your God in whom you trust deceive you by promising that Jerusalem will not be given into the hand of the king of Assyria. 11Behold, you have heard what the kings of Assyria have done to all lands, devoting them to destruction. And shall you be delivered? 12Have the gods of the nations delivered them, the nations that my fathers destroyed, Gozan, Haran, Rezeph, and the people of Eden who were in Telassar? 13Where is the king of Hamath, the king of Arpad, the king of the city of Sepharvaim, the king of Hena, or the king of Ivvah?’”
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-Hezekiah's Prayer for Deliverance
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-14Hezekiah received the letter from the hand of the messengers, and read it; and Hezekiah went up to the house of the LORD, and spread it before the LORD. 15And Hezekiah prayed to the LORD: 16“O LORD of hosts, God of Israel, enthroned above the cherubim, you are the God, you alone, of all the kingdoms of the earth; you have made heaven and earth. 17Incline your ear, O LORD, and hear; open your eyes, O LORD, and see; and hear all the words of Sennacherib, which he has sent to mock the living God. 18Truly, O LORD, the kings of Assyria have laid waste all the nations and their lands, 19and have cast their gods into the fire. For they were no gods, but the work of men's hands, wood and stone. Therefore they were destroyed. 20So now, O LORD our God, save us from his hand, that all the kingdoms of the earth may know that you alone are the LORD.”
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-Sennacherib's Fall
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-21Then Isaiah the son of Amoz sent to Hezekiah, saying, “Thus says the LORD, the God of Israel: Because you have prayed to me concerning Sennacherib king of Assyria, 22this is the word that the LORD has spoken concerning him:
-
-“‘She despises you, she scorns you—
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-the virgin daughter of Zion;
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-she wags her head behind you—
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-the daughter of Jerusalem.
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-23“‘Whom have you mocked and reviled?
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-Against whom have you raised your voice
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-and lifted your eyes to the heights?
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-Against the Holy One of Israel!
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-24By your servants you have mocked the Lord,
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-and you have said, With my many chariots
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-I have gone up the heights of the mountains,
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-to the far recesses of Lebanon,
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-to cut down its tallest cedars,
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-its choicest cypresses,
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-to come to its remotest height,
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-its most fruitful forest.
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-25I dug wells
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-and drank waters,
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-to dry up with the sole of my foot
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-all the streams of Egypt.
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-26“‘Have you not heard
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-that I determined it long ago?
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-I planned from days of old
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-what now I bring to pass,
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-that you should make fortified cities
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-crash into heaps of ruins,
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-27while their inhabitants, shorn of strength,
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-are dismayed and confounded,
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-and have become like plants of the field
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-and like tender grass,
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-like grass on the housetops,
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-blighted[131] before it is grown.
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-28“‘I know your sitting down
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-and your going out and coming in,
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-and your raging against me.
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-29Because you have raged against me
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-and your complacency has come to my ears,
-
-I will put my hook in your nose
-
-and my bit in your mouth,
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-and I will turn you back on the way
-
-by which you came.’
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-30“And this shall be the sign for you: this year you shall eat what grows of itself, and in the second year what springs from that. Then in the third year sow and reap, and plant vineyards, and eat their fruit. 31And the surviving remnant of the house of Judah shall again take root downward and bear fruit upward. 32For out of Jerusalem shall go a remnant, and out of Mount Zion a band of survivors. The zeal of the LORD of hosts will do this.
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-33“Therefore thus says the LORD concerning the king of Assyria: He shall not come into this city or shoot an arrow there or come before it with a shield or cast up a siege mound against it. 34By the way that he came, by the same he shall return, and he shall not come into this city, declares the LORD. 35For I will defend this city to save it, for my own sake and for the sake of my servant David.”
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-36And the angel of the LORD went out and struck down a hundred and eighty-five thousand in the camp of the Assyrians. And when people arose early in the morning, behold, these were all dead bodies. 37Then Sennacherib king of Assyria departed and returned home and lived at Nineveh. 38And as he was worshiping in the house of Nisroch his god, Adrammelech and Sharezer, his sons, struck him down with the sword. And after they escaped into the land of Ararat, Esarhaddon his son reigned in his place.
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-Hezekiah's Sickness and Recovery
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-38:1 In those days Hezekiah became sick and was at the point of death. And Isaiah the prophet the son of Amoz came to him, and said to him, “Thus says the LORD: Set your house in order, for you shall die, you shall not recover.”[132] 2Then Hezekiah turned his face to the wall and prayed to the LORD, 3and said, “Please, O LORD, remember how I have walked before you in faithfulness and with a whole heart, and have done what is good in your sight.” And Hezekiah wept bitterly.
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-4Then the word of the LORD came to Isaiah: 5“Go and say to Hezekiah, Thus says the LORD, the God of David your father: I have heard your prayer; I have seen your tears. Behold, I will add fifteen years to your life.[133] 6I will deliver you and this city out of the hand of the king of Assyria, and will defend this city.
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-7“This shall be the sign to you from the LORD, that the LORD will do this thing that he has promised: 8Behold, I will make the shadow cast by the declining sun on the dial of Ahaz turn back ten steps.” So the sun turned back on the dial the ten steps by which it had declined.[134]
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-9A writing of Hezekiah king of Judah, after he had been sick and had recovered from his sickness:
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-10I said, In the middle[135] of my days
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-I must depart;
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-I am consigned to the gates of Sheol
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-for the rest of my years.
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-11I said, I shall not see the LORD,
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-the LORD in the land of the living;
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-I shall look on man no more
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-among the inhabitants of the world.
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-12My dwelling is plucked up and removed from me
-
-like a shepherd's tent;
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-like a weaver I have rolled up my life;
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-he cuts me off from the loom;
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-from day to night you bring me to an end;
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-13I calmed myself[136] until morning;
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-like a lion he breaks all my bones;
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-from day to night you bring me to an end.
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-14Like a swallow or a crane I chirp;
-
-I moan like a dove.
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-My eyes are weary with looking upward.
-
-O Lord, I am oppressed; be my pledge of safety!
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-15What shall I say? For he has spoken to me,
-
-and he himself has done it.
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-I walk slowly all my years
-
-because of the bitterness of my soul.
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-16O Lord, by these things men live,
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-and in all these is the life of my spirit.
-
-Oh restore me to health and make me live!
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-17Behold, it was for my welfare
-
-that I had great bitterness;
-
-but in love you have delivered my life
-
-from the pit of destruction,
-
-for you have cast all my sins
-
-behind your back.
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-18For Sheol does not thank you;
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-death does not praise you;
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-those who go down to the pit do not hope
-
-for your faithfulness.
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-19The living, the living, he thanks you,
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-as I do this day;
-
-the father makes known to the children
-
-your faithfulness.
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-20The LORD will save me,
-
-and we will play my music on stringed instruments
-
-all the days of our lives,
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-at the house of the LORD.
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-21Now Isaiah had said, “Let them take a cake of figs and apply it to the boil, that he may recover.” 22Hezekiah also had said, “What is the sign that I shall go up to the house of the LORD?”
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-Envoys from Babylon
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-39:1 At that time Merodach-baladan the son of Baladan, king of Babylon, sent envoys with letters and a present to Hezekiah, for he heard that he had been sick and had recovered. 2And Hezekiah welcomed them gladly. And he showed them his treasure house, the silver, the gold, the spices, the precious oil, his whole armory, all that was found in his storehouses. There was nothing in his house or in all his realm that Hezekiah did not show them. 3Then Isaiah the prophet came to King Hezekiah, and said to him, “What did these men say? And from where did they come to you?” Hezekiah said, “They have come to me from a far country, from Babylon.” 4He said, “What have they seen in your house?” Hezekiah answered, “They have seen all that is in my house. There is nothing in my storehouses that I did not show them.”
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-5Then Isaiah said to Hezekiah, “Hear the word of the LORD of hosts: 6Behold, the days are coming, when all that is in your house, and that which your fathers have stored up till this day, shall be carried to Babylon. Nothing shall be left, says the LORD. 7And some of your own sons, who will come from you, whom you will father, shall be taken away, and they shall be eunuchs in the palace of the king of Babylon.” 8Then said Hezekiah to Isaiah, “The word of the LORD that you have spoken is good.” For he thought, “There will be peace and security in my days.”
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-Comfort for God's People
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-40:1 Comfort, comfort my people, says your God.
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-2Speak tenderly to Jerusalem,
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-and cry to her
-
-that her warfare[137] is ended,
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-that her iniquity is pardoned,
-
-that she has received from the LORD's hand
-
-double for all her sins.
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-3A voice cries:[138]
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-“In the wilderness prepare the way of the LORD;
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-make straight in the desert a highway for our God.
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-4Every valley shall be lifted up,
-
-and every mountain and hill be made low;
-
-the uneven ground shall become level,
-
-and the rough places a plain.
-
-5And the glory of the LORD shall be revealed,
-
-and all flesh shall see it together,
-
-for the mouth of the LORD has spoken.”
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-
-
-
-
-The Word of God Stands Forever
-
-
-6A voice says, “Cry!”
-
-And I said,[139] “What shall I cry?”
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-All flesh is grass,
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-and all its beauty[140] is like the flower of the field.
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-7The grass withers, the flower fades
-
-when the breath of the LORD blows on it;
-
-surely the people are grass.
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-8The grass withers, the flower fades,
-
-but the word of our God will stand forever.
-
-
-
-
-
-The Greatness of God
-
-
-9Get you up to a high mountain,
-
-O Zion, herald of good news;[141]
-
-lift up your voice with strength,
-
-O Jerusalem, herald of good news;[142]
-
-lift it up, fear not;
-
-say to the cities of Judah,
-
-“Behold your God!”
-
-10Behold, the Lord GOD comes with might,
-
-and his arm rules for him;
-
-behold, his reward is with him,
-
-and his recompense before him.
-
-11He will tend his flock like a shepherd;
-
-he will gather the lambs in his arms;
-
-he will carry them in his bosom,
-
-and gently lead those that are with young.
-
-12Who has measured the waters in the hollow of his hand
-
-and marked off the heavens with a span,
-
-enclosed the dust of the earth in a measure
-
-and weighed the mountains in scales
-
-and the hills in a balance?
-
-13Who has measured[143] the Spirit of the LORD,
-
-or what man shows him his counsel?
-
-14Whom did he consult,
-
-and who made him understand?
-
-Who taught him the path of justice,
-
-and taught him knowledge,
-
-and showed him the way of understanding?
-
-15Behold, the nations are like a drop from a bucket,
-
-and are accounted as the dust on the scales;
-
-behold, he takes up the coastlands like fine dust.
-
-16Lebanon would not suffice for fuel,
-
-nor are its beasts enough for a burnt offering.
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-17All the nations are as nothing before him,
-
-they are accounted by him as less than nothing and emptiness.
-
-18To whom then will you liken God,
-
-or what likeness compare with him?
-
-19An idol! A craftsman casts it,
-
-and a goldsmith overlays it with gold
-
-and casts for it silver chains.
-
-20He who is too impoverished for an offering
-
-chooses wood[144] that will not rot;
-
-he seeks out a skillful craftsman
-
-to set up an idol that will not move.
-
-21Do you not know? Do you not hear?
-
-Has it not been told you from the beginning?
-
-Have you not understood from the foundations of the earth?
-
-22It is he who sits above the circle of the earth,
-
-and its inhabitants are like grasshoppers;
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-who stretches out the heavens like a curtain,
-
-and spreads them like a tent to dwell in;
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-23who brings princes to nothing,
-
-and makes the rulers of the earth as emptiness.
-
-24Scarcely are they planted, scarcely sown,
-
-scarcely has their stem taken root in the earth,
-
-when he blows on them, and they wither,
-
-and the tempest carries them off like stubble.
-
-25To whom then will you compare me,
-
-that I should be like him? says the Holy One.
-
-26Lift up your eyes on high and see:
-
-who created these?
-
-He who brings out their host by number,
-
-calling them all by name,
-
-by the greatness of his might,
-
-and because he is strong in power
-
-not one is missing.
-
-27Why do you say, O Jacob,
-
-and speak, O Israel,
-
-“My way is hidden from the LORD,
-
-and my right is disregarded by my God”?
-
-28Have you not known? Have you not heard?
-
-The LORD is the everlasting God,
-
-the Creator of the ends of the earth.
-
-He does not faint or grow weary;
-
-his understanding is unsearchable.
-
-29He gives power to the faint,
-
-and to him who has no might he increases strength.
-
-30Even youths shall faint and be weary,
-
-and young men shall fall exhausted;
-
-31but they who wait for the LORD shall renew their strength;
-
-they shall mount up with wings like eagles;
-
-they shall run and not be weary;
-
-they shall walk and not faint.
-
-
-
-
-
-Fear Not, For I Am with You
-
-
-41:1 Listen to me in silence,
-
-O coastlands;
-
-let the peoples renew their strength;
-
-let them approach, then let them speak;
-
-let us together draw near for judgment.
-
-2Who stirred up one from the east
-
-whom victory meets at every step?[145]
-
-He gives up nations before him,
-
-so that he tramples kings underfoot;
-
-he makes them like dust with his sword,
-
-like driven stubble with his bow.
-
-3He pursues them and passes on safely,
-
-by paths his feet have not trod.
-
-4Who has performed and done this,
-
-calling the generations from the beginning?
-
-I, the LORD, the first,
-
-and with the last; I am he.
-
-5The coastlands have seen and are afraid;
-
-the ends of the earth tremble;
-
-they have drawn near and come.
-
-6Everyone helps his neighbor
-
-and says to his brother, “Be strong!”
-
-7The craftsman strengthens the goldsmith,
-
-and he who smooths with the hammer him who strikes the anvil,
-
-saying of the soldering, “It is good”;
-
-and they strengthen it with nails so that it cannot be moved.
-
-8But you, Israel, my servant,
-
-Jacob, whom I have chosen,
-
-the offspring of Abraham, my friend;
-
-9you whom I took from the ends of the earth,
-
-and called from its farthest corners,
-
-saying to you, “You are my servant,
-
-I have chosen you and not cast you off”;
-
-10fear not, for I am with you;
-
-be not dismayed, for I am your God;
-
-I will strengthen you, I will help you,
-
-I will uphold you with my righteous right hand.
-
-11Behold, all who are incensed against you
-
-shall be put to shame and confounded;
-
-those who strive against you
-
-shall be as nothing and shall perish.
-
-12You shall seek those who contend with you,
-
-but you shall not find them;
-
-those who war against you
-
-shall be as nothing at all.
-
-13For I, the LORD your God,
-
-hold your right hand;
-
-it is I who say to you, “Fear not,
-
-I am the one who helps you.”
-
-14Fear not, you worm Jacob,
-
-you men of Israel!
-
-I am the one who helps you, declares the LORD;
-
-your Redeemer is the Holy One of Israel.
-
-15Behold, I make of you a threshing sledge,
-
-new, sharp, and having teeth;
-
-you shall thresh the mountains and crush them,
-
-and you shall make the hills like chaff;
-
-16you shall winnow them, and the wind shall carry them away,
-
-and the tempest shall scatter them.
-
-And you shall rejoice in the LORD;
-
-in the Holy One of Israel you shall glory.
-
-17When the poor and needy seek water,
-
-and there is none,
-
-and their tongue is parched with thirst,
-
-I the LORD will answer them;
-
-I the God of Israel will not forsake them.
-
-18I will open rivers on the bare heights,
-
-and fountains in the midst of the valleys.
-
-I will make the wilderness a pool of water,
-
-and the dry land springs of water.
-
-19I will put in the wilderness the cedar,
-
-the acacia, the myrtle, and the olive.
-
-I will set in the desert the cypress,
-
-the plane and the pine together,
-
-20that they may see and know,
-
-may consider and understand together,
-
-that the hand of the LORD has done this,
-
-the Holy One of Israel has created it.
-
-
-
-
-
-The Futility of Idols
-
-
-21Set forth your case, says the LORD;
-
-bring your proofs, says the King of Jacob.
-
-22Let them bring them, and tell us
-
-what is to happen.
-
-Tell us the former things, what they are,
-
-that we may consider them,
-
-that we may know their outcome;
-
-or declare to us the things to come.
-
-23Tell us what is to come hereafter,
-
-that we may know that you are gods;
-
-do good, or do harm,
-
-that we may be dismayed and terrified.[146]
-
-24Behold, you are nothing,
-
-and your work is less than nothing;
-
-an abomination is he who chooses you.
-
-25I stirred up one from the north, and he has come,
-
-from the rising of the sun, and he shall call upon my name;
-
-he shall trample on rulers as on mortar,
-
-as the potter treads clay.
-
-26Who declared it from the beginning, that we might know,
-
-and beforehand, that we might say, “He is right”?
-
-There was none who declared it, none who proclaimed,
-
-none who heard your words.
-
-27I was the first to say[147] to Zion, “Behold, here they are!”
-
-and I give to Jerusalem a herald of good news.
-
-28But when I look, there is no one;
-
-among these there is no counselor
-
-who, when I ask, gives an answer.
-
-29Behold, they are all a delusion;
-
-their works are nothing;
-
-their metal images are empty wind.
-
-
-
-
-
-The LORD's Chosen Servant
-
-
-42:1 Behold my servant, whom I uphold,
-
-my chosen, in whom my soul delights;
-
-I have put my Spirit upon him;
-
-he will bring forth justice to the nations.
-
-2He will not cry aloud or lift up his voice,
-
-or make it heard in the street;
-
-3a bruised reed he will not break,
-
-and a faintly burning wick he will not quench;
-
-he will faithfully bring forth justice.
-
-4He will not grow faint or be discouraged[148]
-
-till he has established justice in the earth;
-
-and the coastlands wait for his law.
-
-5Thus says God, the LORD,
-
-who created the heavens and stretched them out,
-
-who spread out the earth and what comes from it,
-
-who gives breath to the people on it
-
-and spirit to those who walk in it:
-
-6“I am the LORD; I have called you in righteousness;
-
-I will take you by the hand and keep you;
-
-I will give you as a covenant for the people,
-
-a light for the nations,
-
-7to open the eyes that are blind,
-
-to bring out the prisoners from the dungeon,
-
-from the prison those who sit in darkness.
-
-8I am the LORD; that is my name;
-
-my glory I give to no other,
-
-nor my praise to carved idols.
-
-9Behold, the former things have come to pass,
-
-and new things I now declare;
-
-before they spring forth
-
-I tell you of them.”
-
-
-
-
-
-Sing to the LORD a New Song
-
-
-10Sing to the LORD a new song,
-
-his praise from the end of the earth,
-
-you who go down to the sea, and all that fills it,
-
-the coastlands and their inhabitants.
-
-11Let the desert and its cities lift up their voice,
-
-the villages that Kedar inhabits;
-
-let the habitants of Sela sing for joy,
-
-let them shout from the top of the mountains.
-
-12Let them give glory to the LORD,
-
-and declare his praise in the coastlands.
-
-13The LORD goes out like a mighty man,
-
-like a man of war he stirs up his zeal;
-
-he cries out, he shouts aloud,
-
-he shows himself mighty against his foes.
-
-14For a long time I have held my peace;
-
-I have kept still and restrained myself;
-
-now I will cry out like a woman in labor;
-
-I will gasp and pant.
-
-15I will lay waste mountains and hills,
-
-and dry up all their vegetation;
-
-I will turn the rivers into islands,[149]
-
-and dry up the pools.
-
-16And I will lead the blind
-
-in a way that they do not know,
-
-in paths that they have not known
-
-I will guide them.
-
-I will turn the darkness before them into light,
-
-the rough places into level ground.
-
-These are the things I do,
-
-and I do not forsake them.
-
-17They are turned back and utterly put to shame,
-
-who trust in carved idols,
-
-who say to metal images,
-
-“You are our gods.”
-
-
-
-
-
-Israel's Failure to Hear and See
-
-
-18Hear, you deaf,
-
-and look, you blind, that you may see!
-
-19Who is blind but my servant,
-
-or deaf as my messenger whom I send?
-
-Who is blind as my dedicated one,[150]
-
-or blind as the servant of the LORD?
-
-20He sees many things, but does not observe them;
-
-his ears are open, but he does not hear.
-
-21The LORD was pleased, for his righteousness' sake,
-
-to magnify his law and make it glorious.
-
-22But this is a people plundered and looted;
-
-they are all of them trapped in holes
-
-and hidden in prisons;
-
-they have become plunder with none to rescue,
-
-spoil with none to say, “Restore!”
-
-23Who among you will give ear to this,
-
-will attend and listen for the time to come?
-
-24Who gave up Jacob to the looter,
-
-and Israel to the plunderers?
-
-Was it not the LORD, against whom we have sinned,
-
-in whose ways they would not walk,
-
-and whose law they would not obey?
-
-25So he poured on him the heat of his anger
-
-and the might of battle;
-
-it set him on fire all around, but he did not understand;
-
-it burned him up, but he did not take it to heart.
-
-
-
-
-
-Israel's Only Savior
-
-
-43:1 But now thus says the LORD,
-
-he who created you, O Jacob,
-
-he who formed you, O Israel:
-
-“Fear not, for I have redeemed you;
-
-I have called you by name, you are mine.
-
-2When you pass through the waters, I will be with you;
-
-and through the rivers, they shall not overwhelm you;
-
-when you walk through fire you shall not be burned,
-
-and the flame shall not consume you.
-
-3For I am the LORD your God,
-
-the Holy One of Israel, your Savior.
-
-I give Egypt as your ransom,
-
-Cush and Seba in exchange for you.
-
-4Because you are precious in my eyes,
-
-and honored, and I love you,
-
-I give men in return for you,
-
-peoples in exchange for your life.
-
-5Fear not, for I am with you;
-
-I will bring your offspring from the east,
-
-and from the west I will gather you.
-
-6I will say to the north, Give up,
-
-and to the south, Do not withhold;
-
-bring my sons from afar
-
-and my daughters from the end of the earth,
-
-7everyone who is called by my name,
-
-whom I created for my glory,
-
-whom I formed and made.”
-
-8Bring out the people who are blind, yet have eyes,
-
-who are deaf, yet have ears!
-
-9All the nations gather together,
-
-and the peoples assemble.
-
-Who among them can declare this,
-
-and show us the former things?
-
-Let them bring their witnesses to prove them right,
-
-and let them hear and say, It is true.
-
-10“You are my witnesses,” declares the LORD,
-
-“and my servant whom I have chosen,
-
-that you may know and believe me
-
-and understand that I am he.
-
-Before me no god was formed,
-
-nor shall there be any after me.
-
-11I, I am the LORD,
-
-and besides me there is no savior.
-
-12I declared and saved and proclaimed,
-
-when there was no strange god among you;
-
-and you are my witnesses,” declares the LORD, “and I am God.
-
-13Also henceforth I am he;
-
-there is none who can deliver from my hand;
-
-I work, and who can turn it back?”
-
-14Thus says the LORD,
-
-your Redeemer, the Holy One of Israel:
-
-“For your sake I send to Babylon
-
-and bring them all down as fugitives,
-
-even the Chaldeans, in the ships in which they rejoice.
-
-15I am the LORD, your Holy One,
-
-the Creator of Israel, your King.”
-
-16Thus says the LORD,
-
-who makes a way in the sea,
-
-a path in the mighty waters,
-
-17who brings forth chariot and horse,
-
-army and warrior;
-
-they lie down, they cannot rise,
-
-they are extinguished, quenched like a wick:
-
-18“Remember not the former things,
-
-nor consider the things of old.
-
-19Behold, I am doing a new thing;
-
-now it springs forth, do you not perceive it?
-
-I will make a way in the wilderness
-
-and rivers in the desert.
-
-20The wild beasts will honor me,
-
-the jackals and the ostriches,
-
-for I give water in the wilderness,
-
-rivers in the desert,
-
-to give drink to my chosen people,
-
-21the people whom I formed for myself
-
-that they might declare my praise.
-
-22“Yet you did not call upon me, O Jacob;
-
-but you have been weary of me, O Israel!
-
-23You have not brought me your sheep for burnt offerings,
-
-or honored me with your sacrifices.
-
-I have not burdened you with offerings,
-
-or wearied you with frankincense.
-
-24You have not bought me sweet cane with money,
-
-or satisfied me with the fat of your sacrifices.
-
-But you have burdened me with your sins;
-
-you have wearied me with your iniquities.
-
-25“I, I am he
-
-who blots out your transgressions for my own sake,
-
-and I will not remember your sins.
-
-26Put me in remembrance; let us argue together;
-
-set forth your case, that you may be proved right.
-
-27Your first father sinned,
-
-and your mediators transgressed against me.
-
-28Therefore I will profane the princes of the sanctuary,
-
-and deliver Jacob to utter destruction
-
-and Israel to reviling.
-
-
-
-
-
-Israel the LORD's Chosen
-
-
-44:1 “But now hear, O Jacob my servant,
-
-Israel whom I have chosen!
-
-2Thus says the LORD who made you,
-
-who formed you from the womb and will help you:
-
-Fear not, O Jacob my servant,
-
-Jeshurun whom I have chosen.
-
-3For I will pour water on the thirsty land,
-
-and streams on the dry ground;
-
-I will pour my Spirit upon your offspring,
-
-and my blessing on your descendants.
-
-4They shall spring up among the grass
-
-like willows by flowing streams.
-
-5This one will say, ‘I am the LORD's,’
-
-another will call on the name of Jacob,
-
-and another will write on his hand, ‘The LORD's,’
-
-and name himself by the name of Israel.”
-
-
-
-
-
-Besides Me There Is No God
-
-
-6Thus says the LORD, the King of Israel
-
-and his Redeemer, the LORD of hosts:
-
-“I am the first and I am the last;
-
-besides me there is no god.
-
-7Who is like me? Let him proclaim it.[151]
-
-Let him declare and set it before me,
-
-since I appointed an ancient people.
-
-Let them declare what is to come, and what will happen.
-
-8Fear not, nor be afraid;
-
-have I not told you from of old and declared it?
-
-And you are my witnesses!
-
-Is there a God besides me?
-
-There is no Rock; I know not any.”
-
-
-
-
-
-The Folly of Idolatry
-
-
-9All who fashion idols are nothing, and the things they delight in do not profit. Their witnesses neither see nor know, that they may be put to shame. 10Who fashions a god or casts an idol that is profitable for nothing? 11Behold, all his companions shall be put to shame, and the craftsmen are only human. Let them all assemble, let them stand forth. They shall be terrified; they shall be put to shame together.
-
-12The ironsmith takes a cutting tool and works it over the coals. He fashions it with hammers and works it with his strong arm. He becomes hungry, and his strength fails; he drinks no water and is faint. 13The carpenter stretches a line; he marks it out with a pencil. He shapes it with planes and marks it with a compass. He shapes it into the figure of a man, with the beauty of a man, to dwell in a house. 14He cuts down cedars, or he chooses a cypress tree or an oak and lets it grow strong among the trees of the forest. He plants a cedar and the rain nourishes it. 15Then it becomes fuel for a man. He takes a part of it and warms himself; he kindles a fire and bakes bread. Also he makes a god and worships it; he makes it an idol and falls down before it. 16Half of it he burns in the fire. Over the half he eats meat; he roasts it and is satisfied. Also he warms himself and says, “Aha, I am warm, I have seen the fire!” 17And the rest of it he makes into a god, his idol, and falls down to it and worships it. He prays to it and says, “Deliver me, for you are my god!”
-
-18They know not, nor do they discern, for he has shut their eyes, so that they cannot see, and their hearts, so that they cannot understand. 19No one considers, nor is there knowledge or discernment to say, “Half of it I burned in the fire; I also baked bread on its coals; I roasted meat and have eaten. And shall I make the rest of it an abomination? Shall I fall down before a block of wood?” 20He feeds on ashes; a deluded heart has led him astray, and he cannot deliver himself or say, “Is there not a lie in my right hand?”
-
-
-
-
-
-The LORD Redeems Israel
-
-
-21Remember these things, O Jacob,
-
-and Israel, for you are my servant;
-
-I formed you; you are my servant;
-
-O Israel, you will not be forgotten by me.
-
-22I have blotted out your transgressions like a cloud
-
-and your sins like mist;
-
-return to me, for I have redeemed you.
-
-23Sing, O heavens, for the LORD has done it;
-
-shout, O depths of the earth;
-
-break forth into singing, O mountains,
-
-O forest, and every tree in it!
-
-For the LORD has redeemed Jacob,
-
-and will be glorified[152] in Israel.
-
-24Thus says the LORD, your Redeemer,
-
-who formed you from the womb:
-
-“I am the LORD, who made all things,
-
-who alone stretched out the heavens,
-
-who spread out the earth by myself,
-
-25who frustrates the signs of liars
-
-and makes fools of diviners,
-
-who turns wise men back
-
-and makes their knowledge foolish,
-
-26who confirms the word of his servant
-
-and fulfills the counsel of his messengers,
-
-who says of Jerusalem, ‘She shall be inhabited,’
-
-and of the cities of Judah, ‘They shall be built,
-
-and I will raise up their ruins’;
-
-27who says to the deep, ‘Be dry;
-
-I will dry up your rivers’;
-
-28who says of Cyrus, ‘He is my shepherd,
-
-and he shall fulfill all my purpose’;
-
-saying of Jerusalem, ‘She shall be built,’
-
-and of the temple, ‘Your foundation shall be laid.’”
-
-
-
-
-
-Cyrus, God's Instrument
-
-
-45:1 Thus says the LORD to his anointed, to Cyrus,
-
-whose right hand I have grasped,
-
-to subdue nations before him
-
-and to loose the belts of kings,
-
-to open doors before him
-
-that gates may not be closed:
-
-2“I will go before you
-
-and level the exalted places,[153]
-
-I will break in pieces the doors of bronze
-
-and cut through the bars of iron,
-
-3I will give you the treasures of darkness
-
-and the hoards in secret places,
-
-that you may know that it is I, the LORD,
-
-the God of Israel, who call you by your name.
-
-4For the sake of my servant Jacob,
-
-and Israel my chosen,
-
-I call you by your name,
-
-I name you, though you do not know me.
-
-5I am the LORD, and there is no other,
-
-besides me there is no God;
-
-I equip you, though you do not know me,
-
-6that people may know, from the rising of the sun
-
-and from the west, that there is none besides me;
-
-I am the LORD, and there is no other.
-
-7I form light and create darkness,
-
-I make well-being and create calamity,
-
-I am the LORD, who does all these things.
-
-8“Shower, O heavens, from above,
-
-and let the clouds rain down righteousness;
-
-let the earth open, that salvation and righteousness may bear fruit;
-
-let the earth cause them both to sprout;
-
-I the LORD have created it.
-
-9“Woe to him who strives with him who formed him,
-
-a pot among earthen pots!
-
-Does the clay say to him who forms it, ‘What are you making?’
-
-or ‘Your work has no handles’?
-
-10Woe to him who says to a father, ‘What are you begetting?’
-
-or to a woman, ‘With what are you in labor?’”
-
-11Thus says the LORD,
-
-the Holy One of Israel, and the one who formed him:
-
-“Ask me of things to come;
-
-will you command me concerning my children and the work of my hands?[154]
-
-12I made the earth
-
-and created man on it;
-
-it was my hands that stretched out the heavens,
-
-and I commanded all their host.
-
-13I have stirred him up in righteousness,
-
-and I will make all his ways level;
-
-he shall build my city
-
-and set my exiles free,
-
-not for price or reward,”
-
-says the LORD of hosts.
-
-
-
-
-
-The LORD, the Only Savior
-
-
-14Thus says the LORD:
-
-“The wealth of Egypt and the merchandise of Cush,
-
-and the Sabeans, men of stature,
-
-shall come over to you and be yours;
-
-they shall follow you;
-
-they shall come over in chains and bow down to you.
-
-They will plead with you, saying:
-
-‘Surely God is in you, and there is no other,
-
-no god besides him.’”
-
-15Truly, you are a God who hides himself,
-
-O God of Israel, the Savior.
-
-16All of them are put to shame and confounded;
-
-the makers of idols go in confusion together.
-
-17But Israel is saved by the LORD
-
-with everlasting salvation;
-
-you shall not be put to shame or confounded
-
-to all eternity.
-
-18For thus says the LORD,
-
-who created the heavens
-
-(he is God!),
-
-who formed the earth and made it
-
-(he established it;
-
-he did not create it empty,
-
-he formed it to be inhabited!):
-
-“I am the LORD, and there is no other.
-
-19I did not speak in secret,
-
-in a land of darkness;
-
-I did not say to the offspring of Jacob,
-
-‘Seek me in vain.’[155]
-
-I the LORD speak the truth;
-
-I declare what is right.
-
-20“Assemble yourselves and come;
-
-draw near together,
-
-you survivors of the nations!
-
-They have no knowledge
-
-who carry about their wooden idols,
-
-and keep on praying to a god
-
-that cannot save.
-
-21Declare and present your case;
-
-let them take counsel together!
-
-Who told this long ago?
-
-Who declared it of old?
-
-Was it not I, the LORD?
-
-And there is no other god besides me,
-
-a righteous God and a Savior;
-
-there is none besides me.
-
-22“Turn to me and be saved,
-
-all the ends of the earth!
-
-For I am God, and there is no other.
-
-23By myself I have sworn;
-
-from my mouth has gone out in righteousness
-
-a word that shall not return:
-
-‘To me every knee shall bow,
-
-every tongue shall swear allegiance.’[156]
-
-24“Only in the LORD, it shall be said of me,
-
-are righteousness and strength;
-
-to him shall come and be ashamed
-
-all who were incensed against him.
-
-25In the LORD all the offspring of Israel
-
-shall be justified and shall glory.”
-
-
-
-
-
-The Idols of Babylon and the One True God
-
-
-46:1 Bel bows down; Nebo stoops;
-
-their idols are on beasts and livestock;
-
-these things you carry are borne
-
-as burdens on weary beasts.
-
-2They stoop; they bow down together;
-
-they cannot save the burden,
-
-but themselves go into captivity.
-
-3“Listen to me, O house of Jacob,
-
-all the remnant of the house of Israel,
-
-who have been borne by me from before your birth,
-
-carried from the womb;
-
-4even to your old age I am he,
-
-and to gray hairs I will carry you.
-
-I have made, and I will bear;
-
-I will carry and will save.
-
-5“To whom will you liken me and make me equal,
-
-and compare me, that we may be alike?
-
-6Those who lavish gold from the purse,
-
-and weigh out silver in the scales,
-
-hire a goldsmith, and he makes it into a god;
-
-then they fall down and worship!
-
-7They lift it to their shoulders, they carry it,
-
-they set it in its place, and it stands there;
-
-it cannot move from its place.
-
-If one cries to it, it does not answer
-
-or save him from his trouble.
-
-8“Remember this and stand firm,
-
-recall it to mind, you transgressors,
-
-9remember the former things of old;
-
-for I am God, and there is no other;
-
-I am God, and there is none like me,
-
-10declaring the end from the beginning
-
-and from ancient times things not yet done,
-
-saying, ‘My counsel shall stand,
-
-and I will accomplish all my purpose,’
-
-11calling a bird of prey from the east,
-
-the man of my counsel from a far country.
-
-I have spoken, and I will bring it to pass;
-
-I have purposed, and I will do it.
-
-12“Listen to me, you stubborn of heart,
-
-you who are far from righteousness:
-
-13I bring near my righteousness; it is not far off,
-
-and my salvation will not delay;
-
-I will put salvation in Zion,
-
-for Israel my glory.”
-
-
-
-
-
-The Humiliation of Babylon
-
-
-47:1 Come down and sit in the dust,
-
-O virgin daughter of Babylon;
-
-sit on the ground without a throne,
-
-O daughter of the Chaldeans!
-
-For you shall no more be called
-
-tender and delicate.
-
-2Take the millstones and grind flour,
-
-put off your veil,
-
-strip off your robe, uncover your legs,
-
-pass through the rivers.
-
-3Your nakedness shall be uncovered,
-
-and your disgrace shall be seen.
-
-I will take vengeance,
-
-and I will spare no one.
-
-4Our Redeemer—the LORD of hosts is his name—
-
-is the Holy One of Israel.
-
-5Sit in silence, and go into darkness,
-
-O daughter of the Chaldeans;
-
-for you shall no more be called
-
-the mistress of kingdoms.
-
-6I was angry with my people;
-
-I profaned my heritage;
-
-I gave them into your hand;
-
-you showed them no mercy;
-
-on the aged you made your yoke exceedingly heavy.
-
-7You said, “I shall be mistress forever,”
-
-so that you did not lay these things to heart
-
-or remember their end.
-
-8Now therefore hear this, you lover of pleasures,
-
-who sit securely,
-
-who say in your heart,
-
-“I am, and there is no one besides me;
-
-I shall not sit as a widow
-
-or know the loss of children”:
-
-9These two things shall come to you
-
-in a moment, in one day;
-
-the loss of children and widowhood
-
-shall come upon you in full measure,
-
-in spite of your many sorceries
-
-and the great power of your enchantments.
-
-10You felt secure in your wickedness,
-
-you said, “No one sees me”;
-
-your wisdom and your knowledge led you astray,
-
-and you said in your heart,
-
-“I am, and there is no one besides me.”
-
-11But evil shall come upon you,
-
-which you will not know how to charm away;
-
-disaster shall fall upon you,
-
-for which you will not be able to atone;
-
-and ruin shall come upon you suddenly,
-
-of which you know nothing.
-
-12Stand fast in your enchantments
-
-and your many sorceries,
-
-with which you have labored from your youth;
-
-perhaps you may be able to succeed;
-
-perhaps you may inspire terror.
-
-13You are wearied with your many counsels;
-
-let them stand forth and save you,
-
-those who divide the heavens,
-
-who gaze at the stars,
-
-who at the new moons make known
-
-what shall come upon you.
-
-14Behold, they are like stubble;
-
-the fire consumes them;
-
-they cannot deliver themselves
-
-from the power of the flame.
-
-No coal for warming oneself is this,
-
-no fire to sit before!
-
-15Such to you are those with whom you have labored,
-
-who have done business with you from your youth;
-
-they wander about, each in his own direction;
-
-there is no one to save you.
-
-
-
-
-
-Israel Refined for God's Glory
-
-
-48:1 Hear this, O house of Jacob,
-
-who are called by the name of Israel,
-
-and who came from the waters of Judah,
-
-who swear by the name of the LORD
-
-and confess the God of Israel,
-
-but not in truth or right.
-
-2For they call themselves after the holy city,
-
-and stay themselves on the God of Israel;
-
-the LORD of hosts is his name.
-
-3“The former things I declared of old;
-
-they went out from my mouth, and I announced them;
-
-then suddenly I did them, and they came to pass.
-
-4Because I know that you are obstinate,
-
-and your neck is an iron sinew
-
-and your forehead brass,
-
-5I declared them to you from of old,
-
-before they came to pass I announced them to you,
-
-lest you should say, ‘My idol did them,
-
-my carved image and my metal image commanded them.’
-
-6“You have heard; now see all this;
-
-and will you not declare it?
-
-From this time forth I announce to you new things,
-
-hidden things that you have not known.
-
-7They are created now, not long ago;
-
-before today you have never heard of them,
-
-lest you should say, ‘Behold, I knew them.’
-
-8You have never heard, you have never known,
-
-from of old your ear has not been opened.
-
-For I knew that you would surely deal treacherously,
-
-and that from before birth you were called a rebel.
-
-9“For my name's sake I defer my anger,
-
-for the sake of my praise I restrain it for you,
-
-that I may not cut you off.
-
-10Behold, I have refined you, but not as silver;
-
-I have tried[157] you in the furnace of affliction.
-
-11For my own sake, for my own sake, I do it,
-
-for how should my name[158] be profaned?
-
-My glory I will not give to another.
-
-
-
-
-
-The LORD's Call to Israel
-
-
-12“Listen to me, O Jacob,
-
-and Israel, whom I called!
-
-I am he; I am the first,
-
-and I am the last.
-
-13My hand laid the foundation of the earth,
-
-and my right hand spread out the heavens;
-
-when I call to them,
-
-they stand forth together.
-
-14“Assemble, all of you, and listen!
-
-Who among them has declared these things?
-
-The LORD loves him;
-
-he shall perform his purpose on Babylon,
-
-and his arm shall be against the Chaldeans.
-
-15I, even I, have spoken and called him;
-
-I have brought him, and he will prosper in his way.
-
-16Draw near to me, hear this:
-
-from the beginning I have not spoken in secret,
-
-from the time it came to be I have been there.”
-
-And now the Lord GOD has sent me, and his Spirit.
-
-17Thus says the LORD,
-
-your Redeemer, the Holy One of Israel:
-
-“I am the LORD your God,
-
-who teaches you to profit,
-
-who leads you in the way you should go.
-
-18Oh that you had paid attention to my commandments!
-
-Then your peace would have been like a river,
-
-and your righteousness like the waves of the sea;
-
-19your offspring would have been like the sand,
-
-and your descendants like its grains;
-
-their name would never be cut off
-
-or destroyed from before me.”
-
-20Go out from Babylon, flee from Chaldea,
-
-declare this with a shout of joy, proclaim it,
-
-send it out to the end of the earth;
-
-say, “The LORD has redeemed his servant Jacob!”
-
-21They did not thirst when he led them through the deserts;
-
-he made water flow for them from the rock;
-
-he split the rock and the water gushed out.
-
-22“There is no peace,” says the LORD, “for the wicked.”
-
-
-
-
-
-The Servant of the LORD
-
-
-49:1 Listen to me, O coastlands,
-
-and give attention, you peoples from afar.
-
-The LORD called me from the womb,
-
-from the body of my mother he named my name.
-
-2He made my mouth like a sharp sword;
-
-in the shadow of his hand he hid me;
-
-he made me a polished arrow;
-
-in his quiver he hid me away.
-
-3And he said to me, “You are my servant,
-
-Israel, in whom I will be glorified.”[159]
-
-4But I said, “I have labored in vain;
-
-I have spent my strength for nothing and vanity;
-
-yet surely my right is with the LORD,
-
-and my recompense with my God.”
-
-5And now the LORD says,
-
-he who formed me from the womb to be his servant,
-
-to bring Jacob back to him;
-
-and that Israel might be gathered to him—
-
-for I am honored in the eyes of the LORD,
-
-and my God has become my strength—
-
-6he says:
-
-“It is too light a thing that you should be my servant
-
-to raise up the tribes of Jacob
-
-and to bring back the preserved of Israel;
-
-I will make you as a light for the nations,
-
-that my salvation may reach to the end of the earth.”
-
-7Thus says the LORD,
-
-the Redeemer of Israel and his Holy One,
-
-to one deeply despised, abhorred by the nation,
-
-the servant of rulers:
-
-“Kings shall see and arise;
-
-princes, and they shall prostrate themselves;
-
-because of the LORD, who is faithful,
-
-the Holy One of Israel, who has chosen you.”
-
-
-
-
-
-The Restoration of Israel
-
-
-8Thus says the LORD:
-
-“In a time of favor I have answered you;
-
-in a day of salvation I have helped you;
-
-I will keep you and give you
-
-as a covenant to the people,
-
-to establish the land,
-
-to apportion the desolate heritages,
-
-9saying to the prisoners, ‘Come out,’
-
-to those who are in darkness, ‘Appear.’
-
-They shall feed along the ways;
-
-on all bare heights shall be their pasture;
-
-10they shall not hunger or thirst,
-
-neither scorching wind nor sun shall strike them,
-
-for he who has pity on them will lead them,
-
-and by springs of water will guide them.
-
-11And I will make all my mountains a road,
-
-and my highways shall be raised up.
-
-12Behold, these shall come from afar,
-
-and behold, these from the north and from the west,[160]
-
-and these from the land of Syene.”[161]
-
-13Sing for joy, O heavens, and exult, O earth;
-
-break forth, O mountains, into singing!
-
-For the LORD has comforted his people
-
-and will have compassion on his afflicted.
-
-14But Zion said, “The LORD has forsaken me;
-
-my Lord has forgotten me.”
-
-15“Can a woman forget her nursing child,
-
-that she should have no compassion on the son of her womb?
-
-Even these may forget,
-
-yet I will not forget you.
-
-16Behold, I have engraved you on the palms of my hands;
-
-your walls are continually before me.
-
-17Your builders make haste;[162]
-
-your destroyers and those who laid you waste go out from you.
-
-18Lift up your eyes around and see;
-
-they all gather, they come to you.
-
-As I live, declares the LORD,
-
-you shall put them all on as an ornament;
-
-you shall bind them on as a bride does.
-
-19“Surely your waste and your desolate places
-
-and your devastated land—
-
-surely now you will be too narrow for your inhabitants,
-
-and those who swallowed you up will be far away.
-
-20The children of your bereavement
-
-will yet say in your ears:
-
-‘The place is too narrow for me;
-
-make room for me to dwell in.’
-
-21Then you will say in your heart:
-
-‘Who has borne me these?
-
-I was bereaved and barren,
-
-exiled and put away,
-
-but who has brought up these?
-
-Behold, I was left alone;
-
-from where have these come?’”
-
-22Thus says the Lord GOD:
-
-“Behold, I will lift up my hand to the nations,
-
-and raise my signal to the peoples;
-
-and they shall bring your sons in their bosom,
-
-and your daughters shall be carried on their shoulders.
-
-23Kings shall be your foster fathers,
-
-and their queens your nursing mothers.
-
-With their faces to the ground they shall bow down to you,
-
-and lick the dust of your feet.
-
-Then you will know that I am the LORD;
-
-those who wait for me shall not be put to shame.”
-
-24Can the prey be taken from the mighty,
-
-or the captives of a tyrant[163] be rescued?
-
-25For thus says the LORD:
-
-“Even the captives of the mighty shall be taken,
-
-and the prey of the tyrant be rescued,
-
-for I will contend with those who contend with you,
-
-and I will save your children.
-
-26I will make your oppressors eat their own flesh,
-
-and they shall be drunk with their own blood as with wine.
-
-Then all flesh shall know
-
-that I am the LORD your Savior,
-
-and your Redeemer, the Mighty One of Jacob.”
-
-
-
-
-
-Israel's Sin and the Servant's Obedience
-
-
-50:1 Thus says the LORD:
-
-“Where is your mother's certificate of divorce,
-
-with which I sent her away?
-
-Or which of my creditors is it
-
-to whom I have sold you?
-
-Behold, for your iniquities you were sold,
-
-and for your transgressions your mother was sent away.
-
-2Why, when I came, was there no man;
-
-why, when I called, was there no one to answer?
-
-Is my hand shortened, that it cannot redeem?
-
-Or have I no power to deliver?
-
-Behold, by my rebuke I dry up the sea,
-
-I make the rivers a desert;
-
-their fish stink for lack of water
-
-and die of thirst.
-
-3I clothe the heavens with blackness
-
-and make sackcloth their covering.”
-
-4The Lord GOD has given me
-
-the tongue of those who are taught,
-
-that I may know how to sustain with a word
-
-him who is weary.
-
-Morning by morning he awakens;
-
-he awakens my ear
-
-to hear as those who are taught.
-
-5The Lord GOD has opened my ear,
-
-and I was not rebellious;
-
-I turned not backward.
-
-6I gave my back to those who strike,
-
-and my cheeks to those who pull out the beard;
-
-I hid not my face
-
-from disgrace and spitting.
-
-7But the Lord GOD helps me;
-
-therefore I have not been disgraced;
-
-therefore I have set my face like a flint,
-
-and I know that I shall not be put to shame.
-
-8He who vindicates me is near.
-
-Who will contend with me?
-
-Let us stand up together.
-
-Who is my adversary?
-
-Let him come near to me.
-
-9Behold, the Lord GOD helps me;
-
-who will declare me guilty?
-
-Behold, all of them will wear out like a garment;
-
-the moth will eat them up.
-
-10Who among you fears the LORD
-
-and obeys the voice of his servant?
-
-Let him who walks in darkness
-
-and has no light
-
-trust in the name of the LORD
-
-and rely on his God.
-
-11Behold, all you who kindle a fire,
-
-who equip yourselves with burning torches!
-
-Walk by the light of your fire,
-
-and by the torches that you have kindled!
-
-This you have from my hand:
-
-you shall lie down in torment.
-
-
-
-
-
-The LORD's Comfort for Zion
-
-
-51:1 “Listen to me, you who pursue righteousness,
-
-you who seek the LORD:
-
-look to the rock from which you were hewn,
-
-and to the quarry from which you were dug.
-
-2Look to Abraham your father
-
-and to Sarah who bore you;
-
-for he was but one when I called him,
-
-that I might bless him and multiply him.
-
-3For the LORD comforts Zion;
-
-he comforts all her waste places
-
-and makes her wilderness like Eden,
-
-her desert like the garden of the LORD;
-
-joy and gladness will be found in her,
-
-thanksgiving and the voice of song.
-
-4“Give attention to me, my people,
-
-and give ear to me, my nation;
-
-for a law[164] will go out from me,
-
-and I will set my justice for a light to the peoples.
-
-5My righteousness draws near,
-
-my salvation has gone out,
-
-and my arms will judge the peoples;
-
-the coastlands hope for me,
-
-and for my arm they wait.
-
-6Lift up your eyes to the heavens,
-
-and look at the earth beneath;
-
-for the heavens vanish like smoke,
-
-the earth will wear out like a garment,
-
-and they who dwell in it will die in like manner;[165]
-
-but my salvation will be forever,
-
-and my righteousness will never be dismayed.
-
-7“Listen to me, you who know righteousness,
-
-the people in whose heart is my law;
-
-fear not the reproach of man,
-
-nor be dismayed at their revilings.
-
-8For the moth will eat them up like a garment,
-
-and the worm will eat them like wool;
-
-but my righteousness will be forever,
-
-and my salvation to all generations.”
-
-9Awake, awake, put on strength,
-
-O arm of the LORD;
-
-awake, as in days of old,
-
-the generations of long ago.
-
-Was it not you who cut Rahab in pieces,
-
-who pierced the dragon?
-
-10Was it not you who dried up the sea,
-
-the waters of the great deep,
-
-who made the depths of the sea a way
-
-for the redeemed to pass over?
-
-11And the ransomed of the LORD shall return
-
-and come to Zion with singing;
-
-everlasting joy shall be upon their heads;
-
-they shall obtain gladness and joy,
-
-and sorrow and sighing shall flee away.
-
-12“I, I am he who comforts you;
-
-who are you that you are afraid of man who dies,
-
-of the son of man who is made like grass,
-
-13and have forgotten the LORD, your Maker,
-
-who stretched out the heavens
-
-and laid the foundations of the earth,
-
-and you fear continually all the day
-
-because of the wrath of the oppressor,
-
-when he sets himself to destroy?
-
-And where is the wrath of the oppressor?
-
-14He who is bowed down shall speedily be released;
-
-he shall not die and go down to the pit,
-
-neither shall his bread be lacking.
-
-15I am the LORD your God,
-
-who stirs up the sea so that its waves roar—
-
-the LORD of hosts is his name.
-
-16And I have put my words in your mouth
-
-and covered you in the shadow of my hand,
-
-establishing[166] the heavens
-
-and laying the foundations of the earth,
-
-and saying to Zion, ‘You are my people.’”
-
-17Wake yourself, wake yourself,
-
-stand up, O Jerusalem,
-
-you who have drunk from the hand of the LORD
-
-the cup of his wrath,
-
-who have drunk to the dregs
-
-the bowl, the cup of staggering.
-
-18There is none to guide her
-
-among all the sons she has borne;
-
-there is none to take her by the hand
-
-among all the sons she has brought up.
-
-19These two things have happened to you—
-
-who will console you?—
-
-devastation and destruction, famine and sword;
-
-who will comfort you?[167]
-
-20Your sons have fainted;
-
-they lie at the head of every street
-
-like an antelope in a net;
-
-they are full of the wrath of the LORD,
-
-the rebuke of your God.
-
-21Therefore hear this, you who are afflicted,
-
-who are drunk, but not with wine:
-
-22Thus says your Lord, the LORD,
-
-your God who pleads the cause of his people:
-
-“Behold, I have taken from your hand the cup of staggering;
-
-the bowl of my wrath you shall drink no more;
-
-23and I will put it into the hand of your tormentors,
-
-who have said to you,
-
-‘Bow down, that we may pass over’;
-
-and you have made your back like the ground
-
-and like the street for them to pass over.”
-
-
-
-
-
-The LORD's Coming Salvation
-
-
-52:1 Awake, awake,
-
-put on your strength, O Zion;
-
-put on your beautiful garments,
-
-O Jerusalem, the holy city;
-
-for there shall no more come into you
-
-the uncircumcised and the unclean.
-
-2Shake yourself from the dust and arise;
-
-be seated, O Jerusalem;
-
-loose the bonds from your neck,
-
-O captive daughter of Zion.
-
-3For thus says the LORD: “You were sold for nothing, and you shall be redeemed without money.” 4For thus says the Lord GOD: “My people went down at the first into Egypt to sojourn there, and the Assyrian oppressed them for nothing. 5Now therefore what have I here,” declares the LORD, “seeing that my people are taken away for nothing? Their rulers wail,” declares the LORD, “and continually all the day my name is despised. 6Therefore my people shall know my name. Therefore in that day they shall know that it is I who speak; here am I.”
-
-7How beautiful upon the mountains
-
-are the feet of him who brings good news,
-
-who publishes peace, who brings good news of happiness,
-
-who publishes salvation,
-
-who says to Zion, “Your God reigns.”
-
-8The voice of your watchmen—they lift up their voice;
-
-together they sing for joy;
-
-for eye to eye they see
-
-the return of the LORD to Zion.
-
-9Break forth together into singing,
-
-you waste places of Jerusalem,
-
-for the LORD has comforted his people;
-
-he has redeemed Jerusalem.
-
-10The LORD has bared his holy arm
-
-before the eyes of all the nations,
-
-and all the ends of the earth shall see
-
-the salvation of our God.
-
-11Depart, depart, go out from there;
-
-touch no unclean thing;
-
-go out from the midst of her; purify yourselves,
-
-you who bear the vessels of the LORD.
-
-12For you shall not go out in haste,
-
-and you shall not go in flight,
-
-for the LORD will go before you,
-
-and the God of Israel will be your rear guard.
-
-
-
-
-
-He Was Wounded for Our Transgressions
-
-
-13Behold, my servant shall act wisely;[168]
-
-he shall be high and lifted up,
-
-and shall be exalted.
-
-14As many were astonished at you—
-
-his appearance was so marred, beyond human semblance,
-
-and his form beyond that of the children of mankind—
-
-15so shall he sprinkle[169] many nations;
-
-kings shall shut their mouths because of him;
-
-for that which has not been told them they see,
-
-and that which they have not heard they understand.
-
-
-
-
-
-53:1 Who has believed what he has heard from us?[170]
-
-And to whom has the arm of the LORD been revealed?
-
-2For he grew up before him like a young plant,
-
-and like a root out of dry ground;
-
-he had no form or majesty that we should look at him,
-
-and no beauty that we should desire him.
-
-3He was despised and rejected[171] by men;
-
-a man of sorrows,[172] and acquainted with[173] grief;[174]
-
-and as one from whom men hide their faces[175]
-
-he was despised, and we esteemed him not.
-
-4Surely he has borne our griefs
-
-and carried our sorrows;
-
-yet we esteemed him stricken,
-
-smitten by God, and afflicted.
-
-5But he was wounded for our transgressions;
-
-he was crushed for our iniquities;
-
-upon him was the chastisement that brought us peace,
-
-and with his stripes we are healed.
-
-6All we like sheep have gone astray;
-
-we have turned—every one—to his own way;
-
-and the LORD has laid on him
-
-the iniquity of us all.
-
-7He was oppressed, and he was afflicted,
-
-yet he opened not his mouth;
-
-like a lamb that is led to the slaughter,
-
-and like a sheep that before its shearers is silent,
-
-so he opened not his mouth.
-
-8By oppression and judgment he was taken away;
-
-and as for his generation, who considered
-
-that he was cut off out of the land of the living,
-
-stricken for the transgression of my people?
-
-9And they made his grave with the wicked
-
-and with a rich man in his death,
-
-although he had done no violence,
-
-and there was no deceit in his mouth.
-
-10Yet it was the will of the LORD to crush him;
-
-he has put him to grief;[176]
-
-when his soul makes[177] an offering for guilt,
-
-he shall see his offspring; he shall prolong his days;
-
-the will of the LORD shall prosper in his hand.
-
-11Out of the anguish of his soul he shall see[178] and be satisfied;
-
-by his knowledge shall the righteous one, my servant,
-
-make many to be accounted righteous,
-
-and he shall bear their iniquities.
-
-12Therefore I will divide him a portion with the many,[179]
-
-and he shall divide the spoil with the strong,[180]
-
-because he poured out his soul to death
-
-and was numbered with the transgressors;
-
-yet he bore the sin of many,
-
-and makes intercession for the transgressors.
-
-
-
-
-
-The Eternal Covenant of Peace
-
-
-54:1 “Sing, O barren one, who did not bear;
-
-break forth into singing and cry aloud,
-
-you who have not been in labor!
-
-For the children of the desolate one will be more
-
-than the children of her who is married,” says the LORD.
-
-2“Enlarge the place of your tent,
-
-and let the curtains of your habitations be stretched out;
-
-do not hold back; lengthen your cords
-
-and strengthen your stakes.
-
-3For you will spread abroad to the right and to the left,
-
-and your offspring will possess the nations
-
-and will people the desolate cities.
-
-4“Fear not, for you will not be ashamed;
-
-be not confounded, for you will not be disgraced;
-
-for you will forget the shame of your youth,
-
-and the reproach of your widowhood you will remember no more.
-
-5For your Maker is your husband,
-
-the LORD of hosts is his name;
-
-and the Holy One of Israel is your Redeemer,
-
-the God of the whole earth he is called.
-
-6For the LORD has called you
-
-like a wife deserted and grieved in spirit,
-
-like a wife of youth when she is cast off,
-
-says your God.
-
-7For a brief moment I deserted you,
-
-but with great compassion I will gather you.
-
-8In overflowing anger for a moment
-
-I hid my face from you,
-
-but with everlasting love I will have compassion on you,”
-
-says the LORD, your Redeemer.
-
-9“This is like the days of Noah[181] to me:
-
-as I swore that the waters of Noah
-
-should no more go over the earth,
-
-so I have sworn that I will not be angry with you,
-
-and will not rebuke you.
-
-10For the mountains may depart
-
-and the hills be removed,
-
-but my steadfast love shall not depart from you,
-
-and my covenant of peace shall not be removed,”
-
-says the LORD, who has compassion on you.
-
-11“O afflicted one, storm-tossed and not comforted,
-
-behold, I will set your stones in antimony,
-
-and lay your foundations with sapphires.[182]
-
-12I will make your pinnacles of agate,[183]
-
-your gates of carbuncles,[184]
-
-and all your wall of precious stones.
-
-13All your children shall be taught by the LORD,
-
-and great shall be the peace of your children.
-
-14In righteousness you shall be established;
-
-you shall be far from oppression, for you shall not fear;
-
-and from terror, for it shall not come near you.
-
-15If anyone stirs up strife,
-
-it is not from me;
-
-whoever stirs up strife with you
-
-shall fall because of you.
-
-16Behold, I have created the smith
-
-who blows the fire of coals
-
-and produces a weapon for its purpose.
-
-I have also created the ravager to destroy;
-
-17no weapon that is fashioned against you shall succeed,
-
-and you shall confute every tongue that rises against you in judgment.
-
-This is the heritage of the servants of the LORD
-
-and their vindication[185] from me, declares the LORD.”
-
-
-
-
-
-The Compassion of the LORD
-
-
-55:1 “Come, everyone who thirsts,
-
-come to the waters;
-
-and he who has no money,
-
-come, buy and eat!
-
-Come, buy wine and milk
-
-without money and without price.
-
-2Why do you spend your money for that which is not bread,
-
-and your labor for that which does not satisfy?
-
-Listen diligently to me, and eat what is good,
-
-and delight yourselves in rich food.
-
-3Incline your ear, and come to me;
-
-hear, that your soul may live;
-
-and I will make with you an everlasting covenant,
-
-my steadfast, sure love for David.
-
-4Behold, I made him a witness to the peoples,
-
-a leader and commander for the peoples.
-
-5Behold, you shall call a nation that you do not know,
-
-and a nation that did not know you shall run to you,
-
-because of the LORD your God, and of the Holy One of Israel,
-
-for he has glorified you.
-
-6“Seek the LORD while he may be found;
-
-call upon him while he is near;
-
-7let the wicked forsake his way,
-
-and the unrighteous man his thoughts;
-
-let him return to the LORD, that he may have compassion on him,
-
-and to our God, for he will abundantly pardon.
-
-8For my thoughts are not your thoughts,
-
-neither are your ways my ways, declares the LORD.
-
-9For as the heavens are higher than the earth,
-
-so are my ways higher than your ways
-
-and my thoughts than your thoughts.
-
-10“For as the rain and the snow come down from heaven
-
-and do not return there but water the earth,
-
-making it bring forth and sprout,
-
-giving seed to the sower and bread to the eater,
-
-11so shall my word be that goes out from my mouth;
-
-it shall not return to me empty,
-
-but it shall accomplish that which I purpose,
-
-and shall succeed in the thing for which I sent it.
-
-12“For you shall go out in joy
-
-and be led forth in peace;
-
-the mountains and the hills before you
-
-shall break forth into singing,
-
-and all the trees of the field shall clap their hands.
-
-13Instead of the thorn shall come up the cypress;
-
-instead of the brier shall come up the myrtle;
-
-and it shall make a name for the LORD,
-
-an everlasting sign that shall not be cut off.”
-
-
-
-
-
-Salvation for Foreigners
-
-
-56:1 Thus says the LORD:
-
-“Keep justice, and do righteousness,
-
-for soon my salvation will come,
-
-and my deliverance be revealed.
-
-2Blessed is the man who does this,
-
-and the son of man who holds it fast,
-
-who keeps the Sabbath, not profaning it,
-
-and keeps his hand from doing any evil.”
-
-3Let not the foreigner who has joined himself to the LORD say,
-
-“The LORD will surely separate me from his people”;
-
-and let not the eunuch say,
-
-“Behold, I am a dry tree.”
-
-4For thus says the LORD:
-
-“To the eunuchs who keep my Sabbaths,
-
-who choose the things that please me
-
-and hold fast my covenant,
-
-5I will give in my house and within my walls
-
-a monument and a name
-
-better than sons and daughters;
-
-I will give them an everlasting name
-
-that shall not be cut off.
-
-6“And the foreigners who join themselves to the LORD,
-
-to minister to him, to love the name of the LORD,
-
-and to be his servants,
-
-everyone who keeps the Sabbath and does not profane it,
-
-and holds fast my covenant—
-
-7these I will bring to my holy mountain,
-
-and make them joyful in my house of prayer;
-
-their burnt offerings and their sacrifices
-
-will be accepted on my altar;
-
-for my house shall be called a house of prayer
-
-for all peoples.”
-
-8The Lord GOD,
-
-who gathers the outcasts of Israel, declares,
-
-“I will gather yet others to him
-
-besides those already gathered.”
-
-
-
-
-
-Israel's Irresponsible Leaders
-
-
-9All you beasts of the field, come to devour—
-
-all you beasts in the forest.
-
-10His watchmen are blind;
-
-they are all without knowledge;
-
-they are all silent dogs;
-
-they cannot bark,
-
-dreaming, lying down,
-
-loving to slumber.
-
-11The dogs have a mighty appetite;
-
-they never have enough.
-
-But they are shepherds who have no understanding;
-
-they have all turned to their own way,
-
-each to his own gain, one and all.
-
-12“Come,” they say, “let me get wine;
-
-let us fill ourselves with strong drink;
-
-and tomorrow will be like this day,
-
-great beyond measure.”
-
-
-
-
-
-Israel's Futile Idolatry
-
-
-57:1 The righteous man perishes,
-
-and no one lays it to heart;
-
-devout men are taken away,
-
-while no one understands.
-
-For the righteous man is taken away from calamity;
-
-2he enters into peace;
-
-they rest in their beds
-
-who walk in their uprightness.
-
-3But you, draw near,
-
-sons of the sorceress,
-
-offspring of the adulterer and the loose woman.
-
-4Whom are you mocking?
-
-Against whom do you open your mouth wide
-
-and stick out your tongue?
-
-Are you not children of transgression,
-
-the offspring of deceit,
-
-5you who burn with lust among the oaks,[186]
-
-under every green tree,
-
-who slaughter your children in the valleys,
-
-under the clefts of the rocks?
-
-6Among the smooth stones of the valley is your portion;
-
-they, they, are your lot;
-
-to them you have poured out a drink offering,
-
-you have brought a grain offering.
-
-Shall I relent for these things?
-
-7On a high and lofty mountain
-
-you have set your bed,
-
-and there you went up to offer sacrifice.
-
-8Behind the door and the doorpost
-
-you have set up your memorial;
-
-for, deserting me, you have uncovered your bed,
-
-you have gone up to it,
-
-you have made it wide;
-
-and you have made a covenant for yourself with them,
-
-you have loved their bed,
-
-you have looked on nakedness.[187]
-
-9You journeyed to the king with oil
-
-and multiplied your perfumes;
-
-you sent your envoys far off,
-
-and sent down even to Sheol.
-
-10You were wearied with the length of your way,
-
-but you did not say, “It is hopeless”;
-
-you found new life for your strength,
-
-and so you were not faint.[188]
-
-11Whom did you dread and fear,
-
-so that you lied,
-
-and did not remember me,
-
-did not lay it to heart?
-
-Have I not held my peace, even for a long time,
-
-and you do not fear me?
-
-12I will declare your righteousness and your deeds,
-
-but they will not profit you.
-
-13When you cry out, let your collection of idols deliver you!
-
-The wind will carry them off,
-
-a breath will take them away.
-
-But he who takes refuge in me shall possess the land
-
-and shall inherit my holy mountain.
-
-
-
-
-
-Comfort for the Contrite
-
-
-14And it shall be said,
-
-“Build up, build up, prepare the way,
-
-remove every obstruction from my people's way.”
-
-15For thus says the One who is high and lifted up,
-
-who inhabits eternity, whose name is Holy:
-
-“I dwell in the high and holy place,
-
-and also with him who is of a contrite and lowly spirit,
-
-to revive the spirit of the lowly,
-
-and to revive the heart of the contrite.
-
-16For I will not contend forever,
-
-nor will I always be angry;
-
-for the spirit would grow faint before me,
-
-and the breath of life that I made.
-
-17Because of the iniquity of his unjust gain I was angry,
-
-I struck him; I hid my face and was angry,
-
-but he went on backsliding in the way of his own heart.
-
-18I have seen his ways, but I will heal him;
-
-I will lead him and restore comfort to him and his mourners,
-
-19creating the fruit of the lips.
-
-Peace, peace, to the far and to the near,” says the LORD,
-
-“and I will heal him.
-
-20But the wicked are like the tossing sea;
-
-for it cannot be quiet,
-
-and its waters toss up mire and dirt.
-
-21There is no peace,” says my God, “for the wicked.”
-
-
-
-
-
-True and False Fasting
-
-
-58:1 “Cry aloud; do not hold back;
-
-lift up your voice like a trumpet;
-
-declare to my people their transgression,
-
-to the house of Jacob their sins.
-
-2Yet they seek me daily
-
-and delight to know my ways,
-
-as if they were a nation that did righteousness
-
-and did not forsake the judgment of their God;
-
-they ask of me righteous judgments;
-
-they delight to draw near to God.
-
-3‘Why have we fasted, and you see it not?
-
-Why have we humbled ourselves, and you take no knowledge of it?’
-
-Behold, in the day of your fast you seek your own pleasure,[189]
-
-and oppress all your workers.
-
-4Behold, you fast only to quarrel and to fight
-
-and to hit with a wicked fist.
-
-Fasting like yours this day
-
-will not make your voice to be heard on high.
-
-5Is such the fast that I choose,
-
-a day for a person to humble himself?
-
-Is it to bow down his head like a reed,
-
-and to spread sackcloth and ashes under him?
-
-Will you call this a fast,
-
-and a day acceptable to the LORD?
-
-6“Is not this the fast that I choose:
-
-to loose the bonds of wickedness,
-
-to undo the straps of the yoke,
-
-to let the oppressed[190] go free,
-
-and to break every yoke?
-
-7Is it not to share your bread with the hungry
-
-and bring the homeless poor into your house;
-
-when you see the naked, to cover him,
-
-and not to hide yourself from your own flesh?
-
-8Then shall your light break forth like the dawn,
-
-and your healing shall spring up speedily;
-
-your righteousness shall go before you;
-
-the glory of the LORD shall be your rear guard.
-
-9Then you shall call, and the LORD will answer;
-
-you shall cry, and he will say, ‘Here I am.’
-
-If you take away the yoke from your midst,
-
-the pointing of the finger, and speaking wickedness,
-
-10if you pour yourself out for the hungry
-
-and satisfy the desire of the afflicted,
-
-then shall your light rise in the darkness
-
-and your gloom be as the noonday.
-
-11And the LORD will guide you continually
-
-and satisfy your desire in scorched places
-
-and make your bones strong;
-
-and you shall be like a watered garden,
-
-like a spring of water,
-
-whose waters do not fail.
-
-12And your ancient ruins shall be rebuilt;
-
-you shall raise up the foundations of many generations;
-
-you shall be called the repairer of the breach,
-
-the restorer of streets to dwell in.
-
-13“If you turn back your foot from the Sabbath,
-
-from doing your pleasure[191] on my holy day,
-
-and call the Sabbath a delight
-
-and the holy day of the LORD honorable;
-
-if you honor it, not going your own ways,
-
-or seeking your own pleasure,[192] or talking idly;[193]
-
-14then you shall take delight in the LORD,
-
-and I will make you ride on the heights of the earth;[194]
-
-I will feed you with the heritage of Jacob your father,
-
-for the mouth of the LORD has spoken.”
-
-
-
-
-
-Evil and Oppression
-
-
-59:1 Behold, the LORD's hand is not shortened, that it cannot save,
-
-or his ear dull, that it cannot hear;
-
-2but your iniquities have made a separation
-
-between you and your God,
-
-and your sins have hidden his face from you
-
-so that he does not hear.
-
-3For your hands are defiled with blood
-
-and your fingers with iniquity;
-
-your lips have spoken lies;
-
-your tongue mutters wickedness.
-
-4No one enters suit justly;
-
-no one goes to law honestly;
-
-they rely on empty pleas, they speak lies,
-
-they conceive mischief and give birth to iniquity.
-
-5They hatch adders' eggs;
-
-they weave the spider's web;
-
-he who eats their eggs dies,
-
-and from one that is crushed a viper is hatched.
-
-6Their webs will not serve as clothing;
-
-men will not cover themselves with what they make.
-
-Their works are works of iniquity,
-
-and deeds of violence are in their hands.
-
-7Their feet run to evil,
-
-and they are swift to shed innocent blood;
-
-their thoughts are thoughts of iniquity;
-
-desolation and destruction are in their highways.
-
-8The way of peace they do not know,
-
-and there is no justice in their paths;
-
-they have made their roads crooked;
-
-no one who treads on them knows peace.
-
-9Therefore justice is far from us,
-
-and righteousness does not overtake us;
-
-we hope for light, and behold, darkness,
-
-and for brightness, but we walk in gloom.
-
-10We grope for the wall like the blind;
-
-we grope like those who have no eyes;
-
-we stumble at noon as in the twilight,
-
-among those in full vigor we are like dead men.
-
-11We all growl like bears;
-
-we moan and moan like doves;
-
-we hope for justice, but there is none;
-
-for salvation, but it is far from us.
-
-12For our transgressions are multiplied before you,
-
-and our sins testify against us;
-
-for our transgressions are with us,
-
-and we know our iniquities:
-
-13transgressing, and denying the LORD,
-
-and turning back from following our God,
-
-speaking oppression and revolt,
-
-conceiving and uttering from the heart lying words.
-
-14Justice is turned back,
-
-and righteousness stands far away;
-
-for truth has stumbled in the public squares,
-
-and uprightness cannot enter.
-
-15Truth is lacking,
-
-and he who departs from evil makes himself a prey.
-
-
-
-
-
-Judgment and Redemption
-
-
-The LORD saw it, and it displeased him[195]
-
-that there was no justice.
-
-16He saw that there was no man,
-
-and wondered that there was no one to intercede;
-
-then his own arm brought him salvation,
-
-and his righteousness upheld him.
-
-17He put on righteousness as a breastplate,
-
-and a helmet of salvation on his head;
-
-he put on garments of vengeance for clothing,
-
-and wrapped himself in zeal as a cloak.
-
-18According to their deeds, so will he repay,
-
-wrath to his adversaries, repayment to his enemies;
-
-to the coastlands he will render repayment.
-
-19So they shall fear the name of the LORD from the west,
-
-and his glory from the rising of the sun;
-
-for he will come like a rushing stream,[196]
-
-which the wind of the LORD drives.
-
-20“And a Redeemer will come to Zion,
-
-to those in Jacob who turn from transgression,” declares the LORD.
-
-21“And as for me, this is my covenant with them,” says the LORD: “My Spirit that is upon you, and my words that I have put in your mouth, shall not depart out of your mouth, or out of the mouth of your offspring, or out of the mouth of your children's offspring,” says the LORD, “from this time forth and forevermore.”
-
-
-
-
-
-The Future Glory of Israel
-
-
-60:1 Arise, shine, for your light has come,
-
-and the glory of the LORD has risen upon you.
-
-2For behold, darkness shall cover the earth,
-
-and thick darkness the peoples;
-
-but the LORD will arise upon you,
-
-and his glory will be seen upon you.
-
-3And nations shall come to your light,
-
-and kings to the brightness of your rising.
-
-4Lift up your eyes all around, and see;
-
-they all gather together, they come to you;
-
-your sons shall come from afar,
-
-and your daughters shall be carried on the hip.
-
-5Then you shall see and be radiant;
-
-your heart shall thrill and exult,[197]
-
-because the abundance of the sea shall be turned to you,
-
-the wealth of the nations shall come to you.
-
-6A multitude of camels shall cover you,
-
-the young camels of Midian and Ephah;
-
-all those from Sheba shall come.
-
-They shall bring gold and frankincense,
-
-and shall bring good news, the praises of the LORD.
-
-7All the flocks of Kedar shall be gathered to you;
-
-the rams of Nebaioth shall minister to you;
-
-they shall come up with acceptance on my altar,
-
-and I will beautify my beautiful house.
-
-8Who are these that fly like a cloud,
-
-and like doves to their windows?
-
-9For the coastlands shall hope for me,
-
-the ships of Tarshish first,
-
-to bring your children from afar,
-
-their silver and gold with them,
-
-for the name of the LORD your God,
-
-and for the Holy One of Israel,
-
-because he has made you beautiful.
-
-10Foreigners shall build up your walls,
-
-and their kings shall minister to you;
-
-for in my wrath I struck you,
-
-but in my favor I have had mercy on you.
-
-11Your gates shall be open continually;
-
-day and night they shall not be shut,
-
-that people may bring to you the wealth of the nations,
-
-with their kings led in procession.
-
-12For the nation and kingdom
-
-that will not serve you shall perish;
-
-those nations shall be utterly laid waste.
-
-13The glory of Lebanon shall come to you,
-
-the cypress, the plane, and the pine,
-
-to beautify the place of my sanctuary,
-
-and I will make the place of my feet glorious.
-
-14The sons of those who afflicted you
-
-shall come bending low to you,
-
-and all who despised you
-
-shall bow down at your feet;
-
-they shall call you the City of the LORD,
-
-the Zion of the Holy One of Israel.
-
-15Whereas you have been forsaken and hated,
-
-with no one passing through,
-
-I will make you majestic forever,
-
-a joy from age to age.
-
-16You shall suck the milk of nations;
-
-you shall nurse at the breast of kings;
-
-and you shall know that I, the LORD, am your Savior
-
-and your Redeemer, the Mighty One of Jacob.
-
-17Instead of bronze I will bring gold,
-
-and instead of iron I will bring silver;
-
-instead of wood, bronze,
-
-instead of stones, iron.
-
-I will make your overseers peace
-
-and your taskmasters righteousness.
-
-18Violence shall no more be heard in your land,
-
-devastation or destruction within your borders;
-
-you shall call your walls Salvation,
-
-and your gates Praise.
-
-19The sun shall be no more
-
-your light by day,
-
-nor for brightness shall the moon
-
-give you light;[198]
-
-but the LORD will be your everlasting light,
-
-and your God will be your glory.[199]
-
-20Your sun shall no more go down,
-
-nor your moon withdraw itself;
-
-for the LORD will be your everlasting light,
-
-and your days of mourning shall be ended.
-
-21Your people shall all be righteous;
-
-they shall possess the land forever,
-
-the branch of my planting, the work of my hands,
-
-that I might be glorified.[200]
-
-22The least one shall become a clan,
-
-and the smallest one a mighty nation;
-
-I am the LORD;
-
-in its time I will hasten it.
-
-
-
-
-
-The Year of the LORD's Favor
-
-
-61:1 The Spirit of the Lord GOD is upon me,
-
-because the LORD has anointed me
-
-to bring good news to the poor;[201]
-
-he has sent me to bind up the brokenhearted,
-
-to proclaim liberty to the captives,
-
-and the opening of the prison to those who are bound;[202]
-
-2to proclaim the year of the LORD's favor,
-
-and the day of vengeance of our God;
-
-to comfort all who mourn;
-
-3to grant to those who mourn in Zion—
-
-to give them a beautiful headdress instead of ashes,
-
-the oil of gladness instead of mourning,
-
-the garment of praise instead of a faint spirit;
-
-that they may be called oaks of righteousness,
-
-the planting of the LORD, that he may be glorified.[203]
-
-4They shall build up the ancient ruins;
-
-they shall raise up the former devastations;
-
-they shall repair the ruined cities,
-
-the devastations of many generations.
-
-5Strangers shall stand and tend your flocks;
-
-foreigners shall be your plowmen and vinedressers;
-
-6but you shall be called the priests of the LORD;
-
-they shall speak of you as the ministers of our God;
-
-you shall eat the wealth of the nations,
-
-and in their glory you shall boast.
-
-7Instead of your shame there shall be a double portion;
-
-instead of dishonor they shall rejoice in their lot;
-
-therefore in their land they shall possess a double portion;
-
-they shall have everlasting joy.
-
-8For I the LORD love justice;
-
-I hate robbery and wrong;[204]
-
-I will faithfully give them their recompense,
-
-and I will make an everlasting covenant with them.
-
-9Their offspring shall be known among the nations,
-
-and their descendants in the midst of the peoples;
-
-all who see them shall acknowledge them,
-
-that they are an offspring the LORD has blessed.
-
-10I will greatly rejoice in the LORD;
-
-my soul shall exult in my God,
-
-for he has clothed me with the garments of salvation;
-
-he has covered me with the robe of righteousness,
-
-as a bridegroom decks himself like a priest with a beautiful headdress,
-
-and as a bride adorns herself with her jewels.
-
-11For as the earth brings forth its sprouts,
-
-and as a garden causes what is sown in it to sprout up,
-
-so the Lord GOD will cause righteousness and praise
-
-to sprout up before all the nations.
-
-
-
-
-
-Zion's Coming Salvation
-
-
-62:1 For Zion's sake I will not keep silent,
-
-and for Jerusalem's sake I will not be quiet,
-
-until her righteousness goes forth as brightness,
-
-and her salvation as a burning torch.
-
-2The nations shall see your righteousness,
-
-and all the kings your glory,
-
-and you shall be called by a new name
-
-that the mouth of the LORD will give.
-
-3You shall be a crown of beauty in the hand of the LORD,
-
-and a royal diadem in the hand of your God.
-
-4You shall no more be termed Forsaken,[205]
-
-and your land shall no more be termed Desolate,[206]
-
-but you shall be called My Delight Is in Her,[207]
-
-and your land Married;[208]
-
-for the LORD delights in you,
-
-and your land shall be married.
-
-5For as a young man marries a young woman,
-
-so shall your sons marry you,
-
-and as the bridegroom rejoices over the bride,
-
-so shall your God rejoice over you.
-
-6On your walls, O Jerusalem,
-
-I have set watchmen;
-
-all the day and all the night
-
-they shall never be silent.
-
-You who put the LORD in remembrance,
-
-take no rest,
-
-7and give him no rest
-
-until he establishes Jerusalem
-
-and makes it a praise in the earth.
-
-8The LORD has sworn by his right hand
-
-and by his mighty arm:
-
-“I will not again give your grain
-
-to be food for your enemies,
-
-and foreigners shall not drink your wine
-
-for which you have labored;
-
-9but those who garner it shall eat it
-
-and praise the LORD,
-
-and those who gather it shall drink it
-
-in the courts of my sanctuary.”[209]
-
-10Go through, go through the gates;
-
-prepare the way for the people;
-
-build up, build up the highway;
-
-clear it of stones;
-
-lift up a signal over the peoples.
-
-11Behold, the LORD has proclaimed
-
-to the end of the earth:
-
-Say to the daughter of Zion,
-
-“Behold, your salvation comes;
-
-behold, his reward is with him,
-
-and his recompense before him.”
-
-12And they shall be called The Holy People,
-
-The Redeemed of the LORD;
-
-and you shall be called Sought Out,
-
-A City Not Forsaken.
-
-
-
-
-
-The LORD's Day of Vengeance
-
-
-63:1 Who is this who comes from Edom,
-
-in crimsoned garments from Bozrah,
-
-he who is splendid in his apparel,
-
-marching in the greatness of his strength?
-
-“It is I, speaking in righteousness,
-
-mighty to save.”
-
-2Why is your apparel red,
-
-and your garments like his who treads in the winepress?
-
-3“I have trodden the winepress alone,
-
-and from the peoples no one was with me;
-
-I trod them in my anger
-
-and trampled them in my wrath;
-
-their lifeblood[210] spattered on my garments,
-
-and stained all my apparel.
-
-4For the day of vengeance was in my heart,
-
-and my year of redemption[211] had come.
-
-5I looked, but there was no one to help;
-
-I was appalled, but there was no one to uphold;
-
-so my own arm brought me salvation,
-
-and my wrath upheld me.
-
-6I trampled down the peoples in my anger;
-
-I made them drunk in my wrath,
-
-and I poured out their lifeblood on the earth.”
-
-
-
-
-
-The LORD's Mercy Remembered
-
-
-7I will recount the steadfast love of the LORD,
-
-the praises of the LORD,
-
-according to all that the LORD has granted us,
-
-and the great goodness to the house of Israel
-
-that he has granted them according to his compassion,
-
-according to the abundance of his steadfast love.
-
-8For he said, “Surely they are my people,
-
-children who will not deal falsely.”
-
-And he became their Savior.
-
-9In all their affliction he was afflicted,[212]
-
-and the angel of his presence saved them;
-
-in his love and in his pity he redeemed them;
-
-he lifted them up and carried them all the days of old.
-
-10But they rebelled
-
-and grieved his Holy Spirit;
-
-therefore he turned to be their enemy,
-
-and himself fought against them.
-
-11Then he remembered the days of old,
-
-of Moses and his people.[213]
-
-Where is he who brought them up out of the sea
-
-with the shepherds of his flock?
-
-Where is he who put in the midst of them
-
-his Holy Spirit,
-
-12who caused his glorious arm
-
-to go at the right hand of Moses,
-
-who divided the waters before them
-
-to make for himself an everlasting name,
-
-13who led them through the depths?
-
-Like a horse in the desert,
-
-they did not stumble.
-
-14Like livestock that go down into the valley,
-
-the Spirit of the LORD gave them rest.
-
-So you led your people,
-
-to make for yourself a glorious name.
-
-
-
-
-
-Prayer for Mercy
-
-
-15Look down from heaven and see,
-
-from your holy and beautiful[214] habitation.
-
-Where are your zeal and your might?
-
-The stirring of your inner parts and your compassion
-
-are held back from me.
-
-16For you are our Father,
-
-though Abraham does not know us,
-
-and Israel does not acknowledge us;
-
-you, O LORD, are our Father,
-
-our Redeemer from of old is your name.
-
-17O LORD, why do you make us wander from your ways
-
-and harden our heart, so that we fear you not?
-
-Return for the sake of your servants,
-
-the tribes of your heritage.
-
-18Your holy people held possession for a little while;[215]
-
-our adversaries have trampled down your sanctuary.
-
-19We have become like those over whom you have never ruled,
-
-like those who are not called by your name.
-
-
-
-
-
-64:1 Oh that you would rend the heavens and come down,
-
-that the mountains might quake at your presence—
-
-2[216] as when fire kindles brushwood
-
-and the fire causes water to boil—
-
-to make your name known to your adversaries,
-
-and that the nations might tremble at your presence!
-
-3When you did awesome things that we did not look for,
-
-you came down, the mountains quaked at your presence.
-
-4From of old no one has heard
-
-or perceived by the ear,
-
-no eye has seen a God besides you,
-
-who acts for those who wait for him.
-
-5You meet him who joyfully works righteousness,
-
-those who remember you in your ways.
-
-Behold, you were angry, and we sinned;
-
-in our sins we have been a long time, and shall we be saved?[217]
-
-6We have all become like one who is unclean,
-
-and all our righteous deeds are like a polluted garment.
-
-We all fade like a leaf,
-
-and our iniquities, like the wind, take us away.
-
-7There is no one who calls upon your name,
-
-who rouses himself to take hold of you;
-
-for you have hidden your face from us,
-
-and have made us melt in[218] the hand of our iniquities.
-
-8But now, O LORD, you are our Father;
-
-we are the clay, and you are our potter;
-
-we are all the work of your hand.
-
-9Be not so terribly angry, O LORD,
-
-and remember not iniquity forever.
-
-Behold, please look, we are all your people.
-
-10Your holy cities have become a wilderness;
-
-Zion has become a wilderness,
-
-Jerusalem a desolation.
-
-11Our holy and beautiful[219] house,
-
-where our fathers praised you,
-
-has been burned by fire,
-
-and all our pleasant places have become ruins.
-
-12Will you restrain yourself at these things, O LORD?
-
-Will you keep silent, and afflict us so terribly?
-
-
-
-
-
-Judgment and Salvation
-
-
-65:1 I was ready to be sought by those who did not ask for me;
-
-I was ready to be found by those who did not seek me.
-
-I said, “Here am I, here am I,”
-
-to a nation that was not called by[220] my name.
-
-2I spread out my hands all the day
-
-to a rebellious people,
-
-who walk in a way that is not good,
-
-following their own devices;
-
-3a people who provoke me
-
-to my face continually,
-
-sacrificing in gardens
-
-and making offerings on bricks;
-
-4who sit in tombs,
-
-and spend the night in secret places;
-
-who eat pig's flesh,
-
-and broth of tainted meat is in their vessels;
-
-5who say, “Keep to yourself,
-
-do not come near me, for I am too holy for you.”
-
-These are a smoke in my nostrils,
-
-a fire that burns all the day.
-
-6Behold, it is written before me:
-
-“I will not keep silent, but I will repay;
-
-I will indeed repay into their bosom
-
-7both your iniquities and your fathers' iniquities together,
-
-says the LORD;
-
-because they made offerings on the mountains
-
-and insulted me on the hills,
-
-I will measure into their bosom
-
-payment for their former deeds.”[221]
-
-8Thus says the LORD:
-
-“As the new wine is found in the cluster,
-
-and they say, ‘Do not destroy it,
-
-for there is a blessing in it,’
-
-so I will do for my servants' sake,
-
-and not destroy them all.
-
-9I will bring forth offspring from Jacob,
-
-and from Judah possessors of my mountains;
-
-my chosen shall possess it,
-
-and my servants shall dwell there.
-
-10Sharon shall become a pasture for flocks,
-
-and the Valley of Achor a place for herds to lie down,
-
-for my people who have sought me.
-
-11But you who forsake the LORD,
-
-who forget my holy mountain,
-
-who set a table for Fortune
-
-and fill cups of mixed wine for Destiny,
-
-12I will destine you to the sword,
-
-and all of you shall bow down to the slaughter,
-
-because, when I called, you did not answer;
-
-when I spoke, you did not listen,
-
-but you did what was evil in my eyes
-
-and chose what I did not delight in.”
-
-13Therefore thus says the Lord GOD:
-
-“Behold, my servants shall eat,
-
-but you shall be hungry;
-
-behold, my servants shall drink,
-
-but you shall be thirsty;
-
-behold, my servants shall rejoice,
-
-but you shall be put to shame;
-
-14behold, my servants shall sing for gladness of heart,
-
-but you shall cry out for pain of heart
-
-and shall wail for breaking of spirit.
-
-15You shall leave your name to my chosen for a curse,
-
-and the Lord GOD will put you to death,
-
-but his servants he will call by another name.
-
-16So that he who blesses himself in the land
-
-shall bless himself by the God of truth,
-
-and he who takes an oath in the land
-
-shall swear by the God of truth;
-
-because the former troubles are forgotten
-
-and are hidden from my eyes.
-
-
-
-
-
-New Heavens and a New Earth
-
-
-17“For behold, I create new heavens
-
-and a new earth,
-
-and the former things shall not be remembered
-
-or come into mind.
-
-18But be glad and rejoice forever
-
-in that which I create;
-
-for behold, I create Jerusalem to be a joy,
-
-and her people to be a gladness.
-
-19I will rejoice in Jerusalem
-
-and be glad in my people;
-
-no more shall be heard in it the sound of weeping
-
-and the cry of distress.
-
-20No more shall there be in it
-
-an infant who lives but a few days,
-
-or an old man who does not fill out his days,
-
-for the young man shall die a hundred years old,
-
-and the sinner a hundred years old shall be accursed.
-
-21They shall build houses and inhabit them;
-
-they shall plant vineyards and eat their fruit.
-
-22They shall not build and another inhabit;
-
-they shall not plant and another eat;
-
-for like the days of a tree shall the days of my people be,
-
-and my chosen shall long enjoy[222] the work of their hands.
-
-23They shall not labor in vain
-
-or bear children for calamity,[223]
-
-for they shall be the offspring of the blessed of the LORD,
-
-and their descendants with them.
-
-24Before they call I will answer;
-
-while they are yet speaking I will hear.
-
-25The wolf and the lamb shall graze together;
-
-the lion shall eat straw like the ox,
-
-and dust shall be the serpent's food.
-
-They shall not hurt or destroy
-
-in all my holy mountain,”
-
-says the LORD.
-
-
-
-
-
-The Humble and Contrite in Spirit
-
-
-66:1 Thus says the LORD:
-
-“Heaven is my throne,
-
-and the earth is my footstool;
-
-what is the house that you would build for me,
-
-and what is the place of my rest?
-
-2All these things my hand has made,
-
-and so all these things came to be,
-
-declares the LORD.
-
-But this is the one to whom I will look:
-
-he who is humble and contrite in spirit
-
-and trembles at my word.
-
-3“He who slaughters an ox is like one who kills a man;
-
-he who sacrifices a lamb, like one who breaks a dog's neck;
-
-he who presents a grain offering, like one who offers pig's blood;
-
-he who makes a memorial offering of frankincense, like one who blesses an idol.
-
-These have chosen their own ways,
-
-and their soul delights in their abominations;
-
-4I also will choose harsh treatment for them
-
-and bring their fears upon them,
-
-because when I called, no one answered,
-
-when I spoke, they did not listen;
-
-but they did what was evil in my eyes
-
-and chose that in which I did not delight.”
-
-5Hear the word of the LORD,
-
-you who tremble at his word:
-
-“Your brothers who hate you
-
-and cast you out for my name's sake
-
-have said, ‘Let the LORD be glorified,
-
-that we may see your joy’;
-
-but it is they who shall be put to shame.
-
-6“The sound of an uproar from the city!
-
-A sound from the temple!
-
-The sound of the LORD,
-
-rendering recompense to his enemies!
-
-
-
-
-
-Rejoice with Jerusalem
-
-
-7“Before she was in labor
-
-she gave birth;
-
-before her pain came upon her
-
-she delivered a son.
-
-8Who has heard such a thing?
-
-Who has seen such things?
-
-Shall a land be born in one day?
-
-Shall a nation be brought forth in one moment?
-
-For as soon as Zion was in labor
-
-she brought forth her children.
-
-9Shall I bring to the point of birth and not cause to bring forth?”
-
-says the LORD;
-
-“shall I, who cause to bring forth, shut the womb?”
-
-says your God.
-
-10“Rejoice with Jerusalem, and be glad for her,
-
-all you who love her;
-
-rejoice with her in joy,
-
-all you who mourn over her;
-
-11that you may nurse and be satisfied
-
-from her consoling breast;
-
-that you may drink deeply with delight
-
-from her glorious abundance.”[224]
-
-12For thus says the LORD:
-
-“Behold, I will extend peace to her like a river,
-
-and the glory of the nations like an overflowing stream;
-
-and you shall nurse, you shall be carried upon her hip,
-
-and bounced upon her knees.
-
-13As one whom his mother comforts,
-
-so I will comfort you;
-
-you shall be comforted in Jerusalem.
-
-14You shall see, and your heart shall rejoice;
-
-your bones shall flourish like the grass;
-
-and the hand of the LORD shall be known to his servants,
-
-and he shall show his indignation against his enemies.
-
-
-
-
-
-Final Judgment and Glory of the LORD
-
-
-15“For behold, the LORD will come in fire,
-
-and his chariots like the whirlwind,
-
-to render his anger in fury,
-
-and his rebuke with flames of fire.
-
-16For by fire will the LORD enter into judgment,
-
-and by his sword, with all flesh;
-
-and those slain by the LORD shall be many.
-
-17“Those who sanctify and purify themselves to go into the gardens, following one in the midst, eating pig's flesh and the abomination and mice, shall come to an end together, declares the LORD.
-
-18“For I know[225] their works and their thoughts, and the time is coming[226] to gather all nations and tongues. And they shall come and shall see my glory, 19and I will set a sign among them. And from them I will send survivors to the nations, to Tarshish, Pul, and Lud, who draw the bow, to Tubal and Javan, to the coastlands far away, that have not heard my fame or seen my glory. And they shall declare my glory among the nations. 20And they shall bring all your brothers from all the nations as an offering to the LORD, on horses and in chariots and in litters and on mules and on dromedaries, to my holy mountain Jerusalem, says the LORD, just as the Israelites bring their grain offering in a clean vessel to the house of the LORD. 21And some of them also I will take for priests and for Levites, says the LORD.
-
-22“For as the new heavens and the new earth
-
-that I make
-
-shall remain before me, says the LORD,
-
-so shall your offspring and your name remain.
-
-23From new moon to new moon,
-
-and from Sabbath to Sabbath,
-
-all flesh shall come to worship before me,
-
-declares the LORD.
-
-24“And they shall go out and look on the dead bodies of the men who have rebelled against me. For their worm shall not die, their fire shall not be quenched, and they shall be an abhorrence to all flesh.”
-
-
-
-
-
-Footnotes
-
-
-[1] 1:2 Or Sons; also verse 4
-
-[2] 1:10 Or law
-
-[3] 1:18 Or dispute
-
-[4] 1:21 Or become unchaste
-
-[5] 1:29 Some Hebrew manuscripts you
-
-[6] 2:3 Or teaching
-
-[7] 2:19 Hebrew dust
-
-[8] 3:1 Hebrew staff
-
-[9] 3:4 Or caprice
-
-[10] 3:7 Hebrew binder of wounds
-
-[11] 3:8 Hebrew the eyes of his glory
-
-[12] 3:12 Or they have confused
-
-[13] 3:14 Or grazed over; compare Exodus 22:5
-
-[14] 4:4 Or purging
-
-[15] 5:5 Or grazed over; compare Exodus 22:5
-
-[16] 5:7 The Hebrew words for justice and bloodshed sound alike
-
-[17] 5:7 The Hebrew words for righteous and outcry sound alike
-
-[18] 5:10 Hebrew ten yoke, the area ten yoke of oxen can plow in a day
-
-[19] 5:10 A bath was about 6 gallons or 22 liters; a homer was about 6 bushels or 220 liters; an ephah was about 3/5 bushel or 22 liters
-
-[20] 5:13 Or without their knowledge
-
-[21] 5:13 Or die of hunger
-
-[22] 5:14 Hebrew her nobility
-
-[23] 5:15 Hebrew high
-
-[24] 5:16 Hebrew high
-
-[25] 6:1 Or hem
-
-[26] 6:3 Or may his glory fill the whole earth
-
-[27] 6:9 Or Hear indeed
-
-[28] 6:9 Or see indeed
-
-[29] 6:10 Hebrew fat
-
-[30] 6:13 Or purged
-
-[31] 6:13 Or offspring
-
-[32] 7:2 Hebrew Syria has rested upon
-
-[33] 7:2 Hebrew his heart
-
-[34] 7:3 Shear-jashub means A remnant shall return
-
-[35] 7:6 Hebrew let us split it open
-
-[36] 7:9 The Hebrew for you is plural in verses 9, 13, 14
-
-[37] 7:11 The Hebrew for you and your is singular in verses 11, 16, 17
-
-[38] 7:13 That is, Isaiah
-
-[39] 7:14 Immanuel means God is with us
-
-[40] 7:19 Or watering holes, or brambles
-
-[41] 7:23 A shekel was about 2/5 ounce or 11 grams
-
-[42] 8:1 Hebrew with a man's stylus
-
-[43] 8:1 Maher-shalal-hash-baz means The spoil speeds, the prey hastens
-
-[44] 8:9 Or Be evil
-
-[45] 8:9 Or dismayed
-
-[46] 8:10 The Hebrew for God is with us is Immanuel
-
-[47] 8:16 Or law; also verse 20
-
-[48] 8:21 Hebrew it
-
-[49] 8:21 Or speak contemptuously by
-
-[50] 9:1 Ch 8:23 in Hebrew
-
-[51] 9:1 Or of the Gentiles
-
-[52] 9:2 Ch 9:1 in Hebrew
-
-[53] 9:6 Or is upon
-
-[54] 9:6 Or is called
-
-[55] 9:17 Or speaks disgraceful things
-
-[56] 10:12 Hebrew I
-
-[57] 10:27 The meaning of the Hebrew is uncertain
-
-[58] 11:11 Probably Nubia
-
-[59] 11:15 Hebrew devote to destruction
-
-[60] 11:15 Or wind
-
-[61] 12:1 The Hebrew for you is singular in verse 1
-
-[62] 12:2 Hebrew for Yah, the LORD
-
-[63] 12:3 The Hebrew for you is plural in verses 3, 4
-
-[64] 12:5 Or this is made known
-
-[65] 12:6 The Hebrew for your in verse 6 is singular, referring to the inhabitant of Zion
-
-[66] 13:3 Or those who exult in my majesty
-
-[67] 13:5 Or earth; also verse 9
-
-[68] 13:6 The Hebrew words for destruction and almighty sound alike
-
-[69] 13:18 Hebrew dash in pieces
-
-[70] 13:21 Or owls
-
-[71] 13:22 Or foxes
-
-[72] 14:4 Dead Sea Scroll (compare Septuagint, Syriac, Vulgate); the meaning of the word in the Masoretic Text is uncertain
-
-[73] 14:13 Or in the remote parts of Zaphon
-
-[74] 14:18 Hebrew house
-
-[75] 14:23 Possibly porcupine, or owl
-
-[76] 15:2 Hebrew the house
-
-[77] 15:2 Or temple, even Dibon to the high places
-
-[78] 15:9 Dead Sea Scroll, Vulgate (compare Syriac); Masoretic Text Dimon (twice in this verse)
-
-[79] 16:4 Some Hebrew manuscripts, Septuagint, Syriac; Masoretic Text let my outcasts sojourn among you; as for Moab, be a shelter to them
-
-[80] 17:11 Or though you carefully fence them
-
-[81] 17:11 Or will be a heap
-
-[82] 18:1 Probably Nubia
-
-[83] 19:3 Or I will swallow up
-
-[84] 19:18 Dead Sea Scroll and some other manuscripts City of the Sun
-
-[85] 20:3 Probably Nubia
-
-[86] 21:5 Or they set the watchman
-
-[87] 21:8 Dead Sea Scroll, Syriac; Masoretic Text Then a lion cried out, or Then he cried out like a lion
-
-[88] 23:1 Hebrew Kittim; also verse 12
-
-[89] 23:5 Hebrew they will have labor pains
-
-[90] 23:9 The Hebrew words for glory and hosts sound alike
-
-[91] 23:13 Or that has become nothing
-
-[92] 23:15 Or lifetime
-
-[93] 24:1 Or land; also throughout this chapter
-
-[94] 24:14 Hebrew from the sea
-
-[95] 24:15 Hebrew in the realm of light
-
-[96] 24:17 The Hebrew words for terror, pit, and snare sound alike
-
-[97] 25:10 The Hebrew words for dunghill and for the Moabite town Madmen (Jeremiah 48:2) sound alike
-
-[98] 25:11 Or in spite of the skill
-
-[99] 27:2 Many Hebrew manuscripts A vineyard of wine
-
-[100] 27:6 Hebrew In those to come
-
-[101] 27:8 Or By driving her away; the meaning of the Hebrew word is uncertain
-
-[102] 27:8 Or wind
-
-[103] 27:9 Septuagint and this is the blessing when I take away his sin
-
-[104] 28:5 The Hebrew words for glory and hosts sound alike
-
-[105] 28:7 Or confused by
-
-[106] 28:16 Dead Sea Scroll I am laying
-
-[107] 28:25 A type of wheat
-
-[108] 28:28 Or Grain is crushed for bread; he will surely thresh it, but not forever
-
-[109] 29:2 Ariel could mean lion of God, or hero (2 Samuel 23:20), or altar hearth (Ezekiel 43:15-16)
-
-[110] 29:9 Or Linger awhile
-
-[111] 30:1 Hebrew who weave a web
-
-[112] 30:8 Some Hebrew manuscripts, Syriac, Targum, Vulgate, and Greek versions; Masoretic Text forever and ever
-
-[113] 30:15 Or repentance
-
-[114] 30:27 Hebrew in weight of uplifted clouds
-
-[115] 30:33 Or For Topheth
-
-[116] 31:4 The Hebrew words for hosts and to fight sound alike
-
-[117] 31:6 Hebrew they
-
-[118] 32:17 Or security
-
-[119] 33:6 Hebrew his
-
-[120] 33:8 Masoretic Text; Dead Sea Scroll witnesses
-
-[121] 34:2 That is, set apart (devoted) as an offering to the Lord (for destruction); also verse 5
-
-[122] 34:9 Hebrew her streams
-
-[123] 34:11 The identity of the animals rendered hawk and porcupine is uncertain
-
-[124] 34:11 Hebrew formlessness
-
-[125] 34:13 Or owls
-
-[126] 34:14 Identity uncertain
-
-[127] 35:8 Or if they are fools, they shall not wander in it
-
-[128] 36:2 Rabshakeh is the title of a high-ranking Assyrian military officer
-
-[129] 36:16 Hebrew Make a blessing with me
-
-[130] 37:9 Probably Nubia
-
-[131] 37:27 Some Hebrew manuscripts and 2 Kings 19:26; most Hebrew manuscripts like a field
-
-[132] 38:1 Or live; also verses 9, 21
-
-[133] 38:5 Hebrew to your days
-
-[134] 38:8 The meaning of the Hebrew verse is uncertain
-
-[135] 38:10 Or In the quiet
-
-[136] 38:13 Or (with Targum) I cried for help
-
-[137] 40:2 Or time of service
-
-[138] 40:3 Or A voice of one crying
-
-[139] 40:6 Revocalization based on Dead Sea Scroll, Septuagint, Vulgate; Masoretic Text And someone says
-
-[140] 40:6 Or all its constancy
-
-[141] 40:9 Or O herald of good news to Zion
-
-[142] 40:9 Or O herald of good news to Jerusalem
-
-[143] 40:13 Or has directed
-
-[144] 40:20 Or He chooses valuable wood
-
-[145] 41:2 Or whom righteousness calls to follow?
-
-[146] 41:23 Or that we may both be dismayed and see
-
-[147] 41:27 Or Formerly I said
-
-[148] 42:4 Or bruised
-
-[149] 42:15 Or into coastlands
-
-[150] 42:19 Or as the one at peace with me
-
-[151] 44:7 Or Who like me can proclaim it?
-
-[152] 44:23 Or will display his beauty
-
-[153] 45:2 Masoretic Text; Dead Sea Scroll, Septuagint level the mountains
-
-[154] 45:11 A slight emendation yields will you question me about my children, or command me concerning the work of my hands?
-
-[155] 45:19 Hebrew in emptiness
-
-[156] 45:23 Septuagint every tongue shall confess to God
-
-[157] 48:10 Or I have chosen
-
-[158] 48:11 Hebrew lacks my name
-
-[159] 49:3 Or I will display my beauty
-
-[160] 49:12 Hebrew from the sea
-
-[161] 49:12 Dead Sea Scroll; Masoretic Text Sinim
-
-[162] 49:17 Dead Sea Scroll; Masoretic Text Your children make haste
-
-[163] 49:24 Dead Sea Scroll, Syriac, Vulgate (see also verse 25); Masoretic Text of a righteous man
-
-[164] 51:4 Or for teaching; also verse 7
-
-[165] 51:6 Or will die like gnats
-
-[166] 51:16 Or planting
-
-[167] 51:19 Dead Sea Scroll, Septuagint, Syriac, Vulgate; Masoretic Text how shall I comfort you
-
-[168] 52:13 Or shall prosper
-
-[169] 52:15 Or startle
-
-[170] 53:1 Or Who has believed what we have heard?
-
-[171] 53:3 Or forsaken
-
-[172] 53:3 Or pains; also verse 4
-
-[173] 53:3 Or and knowing
-
-[174] 53:3 Or sickness; also verse 4
-
-[175] 53:3 Or as one who hides his face from us
-
-[176] 53:10 Or he has made him sick
-
-[177] 53:10 Or when you make his soul
-
-[178] 53:11 Masoretic Text; Dead Sea Scroll he shall see light
-
-[179] 53:12 Or with the great
-
-[180] 53:12 Or with the numerous
-
-[181] 54:9 Some manuscripts For this is as the waters of Noah
-
-[182] 54:11 Or lapis lazuli
-
-[183] 54:12 Or jasper, or ruby
-
-[184] 54:12 Or crystal
-
-[185] 54:17 Or righteousness
-
-[186] 57:5 Or among the terebinths
-
-[187] 57:8 Or on a monument (see 56:5); Hebrew on a hand
-
-[188] 57:10 Hebrew and so you were not sick
-
-[189] 58:3 Or pursue your own business
-
-[190] 58:6 Or bruised
-
-[191] 58:13 Or business
-
-[192] 58:13 Or pursuing your own business
-
-[193] 58:13 Hebrew or speaking a word
-
-[194] 58:14 Or of the land
-
-[195] 59:15 Hebrew and it was evil in his eyes
-
-[196] 59:19 Hebrew a narrow river
-
-[197] 60:5 Hebrew your heart shall tremble and grow wide
-
-[198] 60:19 Masoretic Text; Dead Sea Scroll, Septuagint, Targum add by night
-
-[199] 60:19 Or your beauty
-
-[200] 60:21 Or that I might display my beauty
-
-[201] 61:1 Or afflicted
-
-[202] 61:1 Or the opening [of the eyes] to those who are blind; Septuagint and recovery of sight to the blind
-
-[203] 61:3 Or that he may display his beauty
-
-[204] 61:8 Or robbery with a burnt offering
-
-[205] 62:4 Hebrew Azubah
-
-[206] 62:4 Hebrew Shemamah
-
-[207] 62:4 Hebrew Hephzibah
-
-[208] 62:4 Hebrew Beulah
-
-[209] 62:9 Or in my holy courts
-
-[210] 63:3 Or their juice; also verse 6
-
-[211] 63:4 Or the year of my redeemed
-
-[212] 63:9 Or he did not afflict
-
-[213] 63:11 Or Then his people remembered the days of old, of Moses
-
-[214] 63:15 Or holy and glorious
-
-[215] 63:18 Or They have dispossessed your holy people for a little while
-
-[216] 64:2 Ch 64:1 in Hebrew
-
-[217] 64:5 Or in your ways is continuance, that we might be saved
-
-[218] 64:7 Masoretic Text; Septuagint, Syriac, Targum have delivered us into
-
-[219] 64:11 Or holy and glorious
-
-[220] 65:1 Or that did not call upon
-
-[221] 65:7 Or I will first measure their payment into their bosom
-
-[222] 65:22 Hebrew shall wear out
-
-[223] 65:23 Or for sudden terror
-
-[224] 66:11 Or breast
-
-[225] 66:18 Septuagint, Syriac; Hebrew lacks know
-
-[226] 66:18 Hebrew and it is coming
-
-
-
-
-
-JEREMIAH
-
-
-Chapter 1
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-Chapter 2
-
-Chapter 3
-
-Chapter 4
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-Chapter 5
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-Chapter 6
-
-Chapter 7
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-Chapter 8
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-Chapter 9
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-Chapter 10
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-Chapter 11
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-Chapter 12
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-Chapter 13
-
-Chapter 14
-
-Chapter 15
-
-Chapter 16
-
-Chapter 17
-
-Chapter 18
-
-Chapter 19
-
-Chapter 20
-
-Chapter 21
-
-Chapter 22
-
-Chapter 23
-
-Chapter 24
-
-Chapter 25
-
-Chapter 26
-
-Chapter 27
-
-Chapter 28
-
-Chapter 29
-
-Chapter 30
-
-Chapter 31
-
-Chapter 32
-
-Chapter 33
-
-Chapter 34
-
-Chapter 35
-
-Chapter 36
-
-Chapter 37
-
-Chapter 38
-
-Chapter 39
-
-Chapter 40
-
-Chapter 41
-
-Chapter 42
-
-Chapter 43
-
-Chapter 44
-
-Chapter 45
-
-Chapter 46
-
-Chapter 47
-
-Chapter 48
-
-Chapter 49
-
-Chapter 50
-
-Chapter 51
-
-Chapter 52
-
-
-
-
-
-1:1 The words of Jeremiah, the son of Hilkiah, one of the priests who were in Anathoth in the land of Benjamin, 2to whom the word of the LORD came in the days of Josiah the son of Amon, king of Judah, in the thirteenth year of his reign. 3It came also in the days of Jehoiakim the son of Josiah, king of Judah, and until the end of the eleventh year of Zedekiah, the son of Josiah, king of Judah, until the captivity of Jerusalem in the fifth month.
-
-
-
-
-
-The Call of Jeremiah
-
-
-4Now the word of the LORD came to me, saying,
-
-5“Before I formed you in the womb I knew you,
-
-and before you were born I consecrated you;
-
-I appointed you a prophet to the nations.”
-
-6Then I said, “Ah, Lord GOD! Behold, I do not know how to speak, for I am only a youth.” 7But the LORD said to me,
-
-“Do not say, ‘I am only a youth’;
-
-for to all to whom I send you, you shall go,
-
-and whatever I command you, you shall speak.
-
-8Do not be afraid of them,
-
-for I am with you to deliver you,
-
-declares the LORD.”
-
-9Then the LORD put out his hand and touched my mouth. And the LORD said to me,
-
-“Behold, I have put my words in your mouth.
-
-10See, I have set you this day over nations and over kingdoms,
-
-to pluck up and to break down,
-
-to destroy and to overthrow,
-
-to build and to plant.”
-
-11And the word of the LORD came to me, saying, “Jeremiah, what do you see?” And I said, “I see an almond[1] branch.” 12Then the LORD said to me, “You have seen well, for I am watching over my word to perform it.”
-
-13The word of the LORD came to me a second time, saying, “What do you see?” And I said, “I see a boiling pot, facing away from the north.” 14Then the LORD said to me, “Out of the north disaster[2] shall be let loose upon all the inhabitants of the land. 15For behold, I am calling all the tribes of the kingdoms of the north, declares the LORD, and they shall come, and every one shall set his throne at the entrance of the gates of Jerusalem, against all its walls all around and against all the cities of Judah. 16And I will declare my judgments against them, for all their evil in forsaking me. They have made offerings to other gods and worshiped the works of their own hands. 17But you, dress yourself for work;[3] arise, and say to them everything that I command you. Do not be dismayed by them, lest I dismay you before them. 18And I, behold, I make you this day a fortified city, an iron pillar, and bronze walls, against the whole land, against the kings of Judah, its officials, its priests, and the people of the land. 19They will fight against you, but they shall not prevail against you, for I am with you, declares the LORD, to deliver you.”
-
-
-
-
-
-Israel Forsakes the LORD
-
-
-2:1 The word of the LORD came to me, saying, 2“Go and proclaim in the hearing of Jerusalem, Thus says the LORD,
-
-“I remember the devotion of your youth,
-
-your love as a bride,
-
-how you followed me in the wilderness,
-
-in a land not sown.
-
-3Israel was holy to the LORD,
-
-the firstfruits of his harvest.
-
-All who ate of it incurred guilt;
-
-disaster came upon them,
-
-declares the LORD.”
-
-4Hear the word of the LORD, O house of Jacob, and all the clans of the house of Israel. 5Thus says the LORD:
-
-“What wrong did your fathers find in me
-
-that they went far from me,
-
-and went after worthlessness, and became worthless?
-
-6They did not say, ‘Where is the LORD
-
-who brought us up from the land of Egypt,
-
-who led us in the wilderness,
-
-in a land of deserts and pits,
-
-in a land of drought and deep darkness,
-
-in a land that none passes through,
-
-where no man dwells?’
-
-7And I brought you into a plentiful land
-
-to enjoy its fruits and its good things.
-
-But when you came in, you defiled my land
-
-and made my heritage an abomination.
-
-8The priests did not say, ‘Where is the LORD?’
-
-Those who handle the law did not know me;
-
-the shepherds[4] transgressed against me;
-
-the prophets prophesied by Baal
-
-and went after things that do not profit.
-
-9“Therefore I still contend with you,
-
-declares the LORD,
-
-and with your children's children I will contend.
-
-10For cross to the coasts of Cyprus and see,
-
-or send to Kedar and examine with care;
-
-see if there has been such a thing.
-
-11Has a nation changed its gods,
-
-even though they are no gods?
-
-But my people have changed their glory
-
-for that which does not profit.
-
-12Be appalled, O heavens, at this;
-
-be shocked, be utterly desolate,
-
-declares the LORD,
-
-13for my people have committed two evils:
-
-they have forsaken me,
-
-the fountain of living waters,
-
-and hewed out cisterns for themselves,
-
-broken cisterns that can hold no water.
-
-14“Is Israel a slave? Is he a homeborn servant?
-
-Why then has he become a prey?
-
-15The lions have roared against him;
-
-they have roared loudly.
-
-They have made his land a waste;
-
-his cities are in ruins, without inhabitant.
-
-16Moreover, the men of Memphis and Tahpanhes
-
-have shaved[5] the crown of your head.
-
-17Have you not brought this upon yourself
-
-by forsaking the LORD your God,
-
-when he led you in the way?
-
-18And now what do you gain by going to Egypt
-
-to drink the waters of the Nile?
-
-Or what do you gain by going to Assyria
-
-to drink the waters of the Euphrates?
-
-19Your evil will chastise you,
-
-and your apostasy will reprove you.
-
-Know and see that it is evil and bitter
-
-for you to forsake the LORD your God;
-
-the fear of me is not in you,
-
-declares the Lord GOD of hosts.
-
-20“For long ago I broke your yoke
-
-and burst your bonds;
-
-but you said, ‘I will not serve.’
-
-Yes, on every high hill
-
-and under every green tree
-
-you bowed down like a whore.
-
-21Yet I planted you a choice vine,
-
-wholly of pure seed.
-
-How then have you turned degenerate
-
-and become a wild vine?
-
-22Though you wash yourself with lye
-
-and use much soap,
-
-the stain of your guilt is still before me,
-
-declares the Lord GOD.
-
-23How can you say, ‘I am not unclean,
-
-I have not gone after the Baals’?
-
-Look at your way in the valley;
-
-know what you have done—
-
-a restless young camel running here and there,
-
-24a wild donkey used to the wilderness,
-
-in her heat sniffing the wind!
-
-Who can restrain her lust?
-
-None who seek her need weary themselves;
-
-in her month they will find her.
-
-25Keep your feet from going unshod
-
-and your throat from thirst.
-
-But you said, ‘It is hopeless,
-
-for I have loved foreigners,
-
-and after them I will go.’
-
-26“As a thief is shamed when caught,
-
-so the house of Israel shall be shamed:
-
-they, their kings, their officials,
-
-their priests, and their prophets,
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-27who say to a tree, ‘You are my father,’
-
-and to a stone, ‘You gave me birth.’
-
-For they have turned their back to me,
-
-and not their face.
-
-But in the time of their trouble they say,
-
-‘Arise and save us!’
-
-28But where are your gods
-
-that you made for yourself?
-
-Let them arise, if they can save you,
-
-in your time of trouble;
-
-for as many as your cities
-
-are your gods, O Judah.
-
-29“Why do you contend with me?
-
-You have all transgressed against me,
-
-declares the LORD.
-
-30In vain have I struck your children;
-
-they took no correction;
-
-your own sword devoured your prophets
-
-like a ravening lion.
-
-31And you, O generation, behold the word of the LORD.
-
-Have I been a wilderness to Israel,
-
-or a land of thick darkness?
-
-Why then do my people say, ‘We are free,
-
-we will come no more to you’?
-
-32Can a virgin forget her ornaments,
-
-or a bride her attire?
-
-Yet my people have forgotten me
-
-days without number.
-
-33“How well you direct your course
-
-to seek love!
-
-So that even to wicked women
-
-you have taught your ways.
-
-34Also on your skirts is found
-
-the lifeblood of the guiltless poor;
-
-you did not find them breaking in.
-
-Yet in spite of all these things
-
-35you say, ‘I am innocent;
-
-surely his anger has turned from me.’
-
-Behold, I will bring you to judgment
-
-for saying, ‘I have not sinned.’
-
-36How much you go about,
-
-changing your way!
-
-You shall be put to shame by Egypt
-
-as you were put to shame by Assyria.
-
-37From it too you will come away
-
-with your hands on your head,
-
-for the LORD has rejected those in whom you trust,
-
-and you will not prosper by them.
-
-
-
-
-
-3:1 “If[6] a man divorces his wife
-
-and she goes from him
-
-and becomes another man's wife,
-
-will he return to her?
-
-Would not that land be greatly polluted?
-
-You have played the whore with many lovers;
-
-and would you return to me?
-
-declares the LORD.
-
-2Lift up your eyes to the bare heights, and see!
-
-Where have you not been ravished?
-
-By the waysides you have sat awaiting lovers
-
-like an Arab in the wilderness.
-
-You have polluted the land
-
-with your vile whoredom.
-
-3Therefore the showers have been withheld,
-
-and the spring rain has not come;
-
-yet you have the forehead of a whore;
-
-you refuse to be ashamed.
-
-4Have you not just now called to me,
-
-‘My father, you are the friend of my youth—
-
-5will he be angry forever,
-
-will he be indignant to the end?’
-
-Behold, you have spoken,
-
-but you have done all the evil that you could.”
-
-
-
-
-
-Faithless Israel Called to Repentance
-
-
-6The LORD said to me in the days of King Josiah: “Have you seen what she did, that faithless one, Israel, how she went up on every high hill and under every green tree, and there played the whore? 7And I thought, ‘After she has done all this she will return to me,’ but she did not return, and her treacherous sister Judah saw it. 8She saw that for all the adulteries of that faithless one, Israel, I had sent her away with a decree of divorce. Yet her treacherous sister Judah did not fear, but she too went and played the whore. 9Because she took her whoredom lightly, she polluted the land, committing adultery with stone and tree. 10Yet for all this her treacherous sister Judah did not return to me with her whole heart, but in pretense, declares the LORD.”
-
-11And the LORD said to me, “Faithless Israel has shown herself more righteous than treacherous Judah. 12Go, and proclaim these words toward the north, and say,
-
-“‘Return, faithless Israel,
-
-declares the LORD.
-
-I will not look on you in anger,
-
-for I am merciful,
-
-declares the LORD;
-
-I will not be angry forever.
-
-13Only acknowledge your guilt,
-
-that you rebelled against the LORD your God
-
-and scattered your favors among foreigners under every green tree,
-
-and that you have not obeyed my voice,
-
-declares the LORD.
-
-14Return, O faithless children,
-
-declares the LORD;
-
-for I am your master;
-
-I will take you, one from a city and two from a family,
-
-and I will bring you to Zion.
-
-15“‘And I will give you shepherds after my own heart, who will feed you with knowledge and understanding. 16And when you have multiplied and increased in the land, in those days, declares the LORD, they shall no more say, “The ark of the covenant of the LORD.” It shall not come to mind or be remembered or missed; it shall not be made again. 17At that time Jerusalem shall be called the throne of the LORD, and all nations shall gather to it, to the presence of the LORD in Jerusalem, and they shall no more stubbornly follow their own evil heart. 18In those days the house of Judah shall join the house of Israel, and together they shall come from the land of the north to the land that I gave your fathers for a heritage.
-
-19“‘I said,
-
-How I would set you among my sons,
-
-and give you a pleasant land,
-
-a heritage most beautiful of all nations.
-
-And I thought you would call me, My Father,
-
-and would not turn from following me.
-
-20Surely, as a treacherous wife leaves her husband,
-
-so have you been treacherous to me, O house of Israel,
-
-declares the LORD.’”
-
-21A voice on the bare heights is heard,
-
-the weeping and pleading of Israel's sons
-
-because they have perverted their way;
-
-they have forgotten the LORD their God.
-
-22“Return, O faithless sons;
-
-I will heal your faithlessness.”
-
-“Behold, we come to you,
-
-for you are the LORD our God.
-
-23Truly the hills are a delusion,
-
-the orgies[7] on the mountains.
-
-Truly in the LORD our God
-
-is the salvation of Israel.
-
-24“But from our youth the shameful thing has devoured all for which our fathers labored, their flocks and their herds, their sons and their daughters. 25Let us lie down in our shame, and let our dishonor cover us. For we have sinned against the LORD our God, we and our fathers, from our youth even to this day, and we have not obeyed the voice of the LORD our God.”
-
-
-
-
-
-4:1 “If you return, O Israel,
-
-declares the LORD,
-
-to me you should return.
-
-If you remove your detestable things from my presence,
-
-and do not waver,
-
-2and if you swear, ‘As the LORD lives,’
-
-in truth, in justice, and in righteousness,
-
-then nations shall bless themselves in him,
-
-and in him shall they glory.”
-
-3For thus says the LORD to the men of Judah and Jerusalem:
-
-“Break up your fallow ground,
-
-and sow not among thorns.
-
-4Circumcise yourselves to the LORD;
-
-remove the foreskin of your hearts,
-
-O men of Judah and inhabitants of Jerusalem;
-
-lest my wrath go forth like fire,
-
-and burn with none to quench it,
-
-because of the evil of your deeds.”
-
-
-
-
-
-Disaster from the North
-
-
-5Declare in Judah, and proclaim in Jerusalem, and say,
-
-“Blow the trumpet through the land;
-
-cry aloud and say,
-
-‘Assemble, and let us go
-
-into the fortified cities!’
-
-6Raise a standard toward Zion,
-
-flee for safety, stay not,
-
-for I bring disaster from the north,
-
-and great destruction.
-
-7A lion has gone up from his thicket,
-
-a destroyer of nations has set out;
-
-he has gone out from his place
-
-to make your land a waste;
-
-your cities will be ruins
-
-without inhabitant.
-
-8For this put on sackcloth,
-
-lament and wail,
-
-for the fierce anger of the LORD
-
-has not turned back from us.”
-
-9“In that day, declares the LORD, courage shall fail both king and officials. The priests shall be appalled and the prophets astounded.” 10Then I said, “Ah, Lord GOD, surely you have utterly deceived this people and Jerusalem, saying, ‘It shall be well with you,’ whereas the sword has reached their very life.”
-
-11At that time it will be said to this people and to Jerusalem, “A hot wind from the bare heights in the desert toward the daughter of my people, not to winnow or cleanse, 12a wind too full for this comes for me. Now it is I who speak in judgment upon them.”
-
-13Behold, he comes up like clouds;
-
-his chariots like the whirlwind;
-
-his horses are swifter than eagles—
-
-woe to us, for we are ruined!
-
-14O Jerusalem, wash your heart from evil,
-
-that you may be saved.
-
-How long shall your wicked thoughts
-
-lodge within you?
-
-15For a voice declares from Dan
-
-and proclaims trouble from Mount Ephraim.
-
-16Warn the nations that he is coming;
-
-announce to Jerusalem,
-
-“Besiegers come from a distant land;
-
-they shout against the cities of Judah.
-
-17Like keepers of a field are they against her all around,
-
-because she has rebelled against me,
-
-declares the LORD.
-
-18Your ways and your deeds
-
-have brought this upon you.
-
-This is your doom, and it is bitter;
-
-it has reached your very heart.”
-
-
-
-
-
-Anguish over Judah's Desolation
-
-
-19My anguish, my anguish! I writhe in pain!
-
-Oh the walls of my heart!
-
-My heart is beating wildly;
-
-I cannot keep silent,
-
-for I hear the sound of the trumpet,
-
-the alarm of war.
-
-20Crash follows hard on crash;
-
-the whole land is laid waste.
-
-Suddenly my tents are laid waste,
-
-my curtains in a moment.
-
-21How long must I see the standard
-
-and hear the sound of the trumpet?
-
-22“For my people are foolish;
-
-they know me not;
-
-they are stupid children;
-
-they have no understanding.
-
-They are ‘wise’—in doing evil!
-
-But how to do good they know not.”
-
-23I looked on the earth, and behold, it was without form and void;
-
-and to the heavens, and they had no light.
-
-24I looked on the mountains, and behold, they were quaking,
-
-and all the hills moved to and fro.
-
-25I looked, and behold, there was no man,
-
-and all the birds of the air had fled.
-
-26I looked, and behold, the fruitful land was a desert,
-
-and all its cities were laid in ruins
-
-before the LORD, before his fierce anger.
-
-27For thus says the LORD, “The whole land shall be a desolation; yet I will not make a full end.
-
-28“For this the earth shall mourn,
-
-and the heavens above be dark;
-
-for I have spoken; I have purposed;
-
-I have not relented, nor will I turn back.”
-
-29At the noise of horseman and archer
-
-every city takes to flight;
-
-they enter thickets; they climb among rocks;
-
-all the cities are forsaken,
-
-and no man dwells in them.
-
-30And you, O desolate one,
-
-what do you mean that you dress in scarlet,
-
-that you adorn yourself with ornaments of gold,
-
-that you enlarge your eyes with paint?
-
-In vain you beautify yourself.
-
-Your lovers despise you;
-
-they seek your life.
-
-31For I heard a cry as of a woman in labor,
-
-anguish as of one giving birth to her first child,
-
-the cry of the daughter of Zion gasping for breath,
-
-stretching out her hands,
-
-“Woe is me! I am fainting before murderers.”
-
-
-
-
-
-Jerusalem Refused to Repent
-
-
-5:1 Run to and fro through the streets of Jerusalem,
-
-look and take note!
-
-Search her squares to see
-
-if you can find a man,
-
-one who does justice
-
-and seeks truth,
-
-that I may pardon her.
-
-2Though they say, “As the LORD lives,”
-
-yet they swear falsely.
-
-3O LORD, do not your eyes look for truth?
-
-You have struck them down,
-
-but they felt no anguish;
-
-you have consumed them,
-
-but they refused to take correction.
-
-They have made their faces harder than rock;
-
-they have refused to repent.
-
-4Then I said, “These are only the poor;
-
-they have no sense;
-
-for they do not know the way of the LORD,
-
-the justice of their God.
-
-5I will go to the great
-
-and will speak to them,
-
-for they know the way of the LORD,
-
-the justice of their God.”
-
-But they all alike had broken the yoke;
-
-they had burst the bonds.
-
-6Therefore a lion from the forest shall strike them down;
-
-a wolf from the desert shall devastate them.
-
-A leopard is watching their cities;
-
-everyone who goes out of them shall be torn in pieces,
-
-because their transgressions are many,
-
-their apostasies are great.
-
-7“How can I pardon you?
-
-Your children have forsaken me
-
-and have sworn by those who are no gods.
-
-When I fed them to the full,
-
-they committed adultery
-
-and trooped to the houses of whores.
-
-8They were well-fed, lusty stallions,
-
-each neighing for his neighbor's wife.
-
-9Shall I not punish them for these things?
-
-declares the LORD;
-
-and shall I not avenge myself
-
-on a nation such as this?
-
-10“Go up through her vine rows and destroy,
-
-but make not a full end;
-
-strip away her branches,
-
-for they are not the LORD's.
-
-11For the house of Israel and the house of Judah
-
-have been utterly treacherous to me,
-
-declares the LORD.
-
-12They have spoken falsely of the LORD
-
-and have said, ‘He will do nothing;
-
-no disaster will come upon us,
-
-nor shall we see sword or famine.
-
-13The prophets will become wind;
-
-the word is not in them.
-
-Thus shall it be done to them!’”
-
-
-
-
-
-The LORD Proclaims Judgment
-
-
-14Therefore thus says the LORD, the God of hosts:
-
-“Because you have spoken this word,
-
-behold, I am making my words in your mouth a fire,
-
-and this people wood, and the fire shall consume them.
-
-15Behold, I am bringing against you
-
-a nation from afar, O house of Israel,
-
-declares the LORD.
-
-It is an enduring nation;
-
-it is an ancient nation,
-
-a nation whose language you do not know,
-
-nor can you understand what they say.
-
-16Their quiver is like an open tomb;
-
-they are all mighty warriors.
-
-17They shall eat up your harvest and your food;
-
-they shall eat up your sons and your daughters;
-
-they shall eat up your flocks and your herds;
-
-they shall eat up your vines and your fig trees;
-
-your fortified cities in which you trust
-
-they shall beat down with the sword.”
-
-18“But even in those days, declares the LORD, I will not make a full end of you. 19And when your people say, ‘Why has the LORD our God done all these things to us?’ you shall say to them, ‘As you have forsaken me and served foreign gods in your land, so you shall serve foreigners in a land that is not yours.’”
-
-20Declare this in the house of Jacob;
-
-proclaim it in Judah:
-
-21“Hear this, O foolish and senseless people,
-
-who have eyes, but see not,
-
-who have ears, but hear not.
-
-22Do you not fear me? declares the LORD.
-
-Do you not tremble before me?
-
-I placed the sand as the boundary for the sea,
-
-a perpetual barrier that it cannot pass;
-
-though the waves toss, they cannot prevail;
-
-though they roar, they cannot pass over it.
-
-23But this people has a stubborn and rebellious heart;
-
-they have turned aside and gone away.
-
-24They do not say in their hearts,
-
-‘Let us fear the LORD our God,
-
-who gives the rain in its season,
-
-the autumn rain and the spring rain,
-
-and keeps for us
-
-the weeks appointed for the harvest.’
-
-25Your iniquities have turned these away,
-
-and your sins have kept good from you.
-
-26For wicked men are found among my people;
-
-they lurk like fowlers lying in wait.[8]
-
-They set a trap;
-
-they catch men.
-
-27Like a cage full of birds,
-
-their houses are full of deceit;
-
-therefore they have become great and rich;
-
-28they have grown fat and sleek.
-
-They know no bounds in deeds of evil;
-
-they judge not with justice
-
-the cause of the fatherless, to make it prosper,
-
-and they do not defend the rights of the needy.
-
-29Shall I not punish them for these things?
-
-declares the LORD,
-
-and shall I not avenge myself
-
-on a nation such as this?”
-
-30An appalling and horrible thing
-
-has happened in the land:
-
-31the prophets prophesy falsely,
-
-and the priests rule at their direction;
-
-my people love to have it so,
-
-but what will you do when the end comes?
-
-
-
-
-
-Impending Disaster for Jerusalem
-
-
-6:1 Flee for safety, O people of Benjamin,
-
-from the midst of Jerusalem!
-
-Blow the trumpet in Tekoa,
-
-and raise a signal on Beth-haccherem,
-
-for disaster looms out of the north,
-
-and great destruction.
-
-2The lovely and delicately bred I will destroy,
-
-the daughter of Zion.[9]
-
-3Shepherds with their flocks shall come against her;
-
-they shall pitch their tents around her;
-
-they shall pasture, each in his place.
-
-4“Prepare war against her;
-
-arise, and let us attack at noon!
-
-Woe to us, for the day declines,
-
-for the shadows of evening lengthen!
-
-5Arise, and let us attack by night
-
-and destroy her palaces!”
-
-6For thus says the LORD of hosts:
-
-“Cut down her trees;
-
-cast up a siege mound against Jerusalem.
-
-This is the city that must be punished;
-
-there is nothing but oppression within her.
-
-7As a well keeps its water fresh,
-
-so she keeps fresh her evil;
-
-violence and destruction are heard within her;
-
-sickness and wounds are ever before me.
-
-8Be warned, O Jerusalem,
-
-lest I turn from you in disgust,
-
-lest I make you a desolation,
-
-an uninhabited land.”
-
-9Thus says the LORD of hosts:
-
-“They shall glean thoroughly as a vine
-
-the remnant of Israel;
-
-like a grape-gatherer pass your hand again
-
-over its branches.”
-
-10To whom shall I speak and give warning,
-
-that they may hear?
-
-Behold, their ears are uncircumcised,
-
-they cannot listen;
-
-behold, the word of the LORD is to them an object of scorn;
-
-they take no pleasure in it.
-
-11Therefore I am full of the wrath of the LORD;
-
-I am weary of holding it in.
-
-“Pour it out upon the children in the street,
-
-and upon the gatherings of young men, also;
-
-both husband and wife shall be taken,
-
-the elderly and the very aged.
-
-12Their houses shall be turned over to others,
-
-their fields and wives together,
-
-for I will stretch out my hand
-
-against the inhabitants of the land,”
-
-declares the LORD.
-
-13“For from the least to the greatest of them,
-
-everyone is greedy for unjust gain;
-
-and from prophet to priest,
-
-everyone deals falsely.
-
-14They have healed the wound of my people lightly,
-
-saying, ‘Peace, peace,’
-
-when there is no peace.
-
-15Were they ashamed when they committed abomination?
-
-No, they were not at all ashamed;
-
-they did not know how to blush.
-
-Therefore they shall fall among those who fall;
-
-at the time that I punish them, they shall be overthrown,”
-
-says the LORD.
-
-16Thus says the LORD:
-
-“Stand by the roads, and look,
-
-and ask for the ancient paths,
-
-where the good way is; and walk in it,
-
-and find rest for your souls.
-
-But they said, ‘We will not walk in it.’
-
-17I set watchmen over you, saying,
-
-‘Pay attention to the sound of the trumpet!’
-
-But they said, ‘We will not pay attention.’
-
-18Therefore hear, O nations,
-
-and know, O congregation, what will happen to them.
-
-19Hear, O earth; behold, I am bringing disaster upon this people,
-
-the fruit of their devices,
-
-because they have not paid attention to my words;
-
-and as for my law, they have rejected it.
-
-20What use to me is frankincense that comes from Sheba,
-
-or sweet cane from a distant land?
-
-Your burnt offerings are not acceptable,
-
-nor your sacrifices pleasing to me.
-
-21Therefore thus says the LORD:
-
-‘Behold, I will lay before this people
-
-stumbling blocks against which they shall stumble;
-
-fathers and sons together,
-
-neighbor and friend shall perish.’”
-
-22Thus says the LORD:
-
-“Behold, a people is coming from the north country,
-
-a great nation is stirring from the farthest parts of the earth.
-
-23They lay hold on bow and javelin;
-
-they are cruel and have no mercy;
-
-the sound of them is like the roaring sea;
-
-they ride on horses,
-
-set in array as a man for battle,
-
-against you, O daughter of Zion!”
-
-24We have heard the report of it;
-
-our hands fall helpless;
-
-anguish has taken hold of us,
-
-pain as of a woman in labor.
-
-25Go not out into the field,
-
-nor walk on the road,
-
-for the enemy has a sword;
-
-terror is on every side.
-
-26O daughter of my people, put on sackcloth,
-
-and roll in ashes;
-
-make mourning as for an only son,
-
-most bitter lamentation,
-
-for suddenly the destroyer
-
-will come upon us.
-
-27“I have made you a tester of metals among my people,
-
-that you may know and test their ways.
-
-28They are all stubbornly rebellious,
-
-going about with slanders;
-
-they are bronze and iron;
-
-all of them act corruptly.
-
-29The bellows blow fiercely;
-
-the lead is consumed by the fire;
-
-in vain the refining goes on,
-
-for the wicked are not removed.
-
-30Rejected silver they are called,
-
-for the LORD has rejected them.”
-
-
-
-
-
-Evil in the Land
-
-
-7:1 The word that came to Jeremiah from the LORD: 2“Stand in the gate of the LORD's house, and proclaim there this word, and say, Hear the word of the LORD, all you men of Judah who enter these gates to worship the LORD. 3Thus says the LORD of hosts, the God of Israel: Amend your ways and your deeds, and I will let you dwell in this place. 4Do not trust in these deceptive words: ‘This is the temple of the LORD, the temple of the LORD, the temple of the LORD.’
-
-5“For if you truly amend your ways and your deeds, if you truly execute justice one with another, 6if you do not oppress the sojourner, the fatherless, or the widow, or shed innocent blood in this place, and if you do not go after other gods to your own harm, 7then I will let you dwell in this place, in the land that I gave of old to your fathers forever.
-
-8“Behold, you trust in deceptive words to no avail. 9Will you steal, murder, commit adultery, swear falsely, make offerings to Baal, and go after other gods that you have not known, 10and then come and stand before me in this house, which is called by my name, and say, ‘We are delivered!’—only to go on doing all these abominations? 11Has this house, which is called by my name, become a den of robbers in your eyes? Behold, I myself have seen it, declares the LORD. 12Go now to my place that was in Shiloh, where I made my name dwell at first, and see what I did to it because of the evil of my people Israel. 13And now, because you have done all these things, declares the LORD, and when I spoke to you persistently you did not listen, and when I called you, you did not answer, 14therefore I will do to the house that is called by my name, and in which you trust, and to the place that I gave to you and to your fathers, as I did to Shiloh. 15And I will cast you out of my sight, as I cast out all your kinsmen, all the offspring of Ephraim.
-
-16“As for you, do not pray for this people, or lift up a cry or prayer for them, and do not intercede with me, for I will not hear you. 17Do you not see what they are doing in the cities of Judah and in the streets of Jerusalem? 18The children gather wood, the fathers kindle fire, and the women knead dough, to make cakes for the queen of heaven. And they pour out drink offerings to other gods, to provoke me to anger. 19Is it I whom they provoke? declares the LORD. Is it not themselves, to their own shame? 20Therefore thus says the Lord GOD: behold, my anger and my wrath will be poured out on this place, upon man and beast, upon the trees of the field and the fruit of the ground; it will burn and not be quenched.”
-
-21Thus says the LORD of hosts, the God of Israel: “Add your burnt offerings to your sacrifices, and eat the flesh. 22For in the day that I brought them out of the land of Egypt, I did not speak to your fathers or command them concerning burnt offerings and sacrifices. 23But this command I gave them: ‘Obey my voice, and I will be your God, and you shall be my people. And walk in all the way that I command you, that it may be well with you.’ 24But they did not obey or incline their ear, but walked in their own counsels and the stubbornness of their evil hearts, and went backward and not forward. 25From the day that your fathers came out of the land of Egypt to this day, I have persistently sent all my servants the prophets to them, day after day. 26Yet they did not listen to me or incline their ear, but stiffened their neck. They did worse than their fathers.
-
-27“So you shall speak all these words to them, but they will not listen to you. You shall call to them, but they will not answer you. 28And you shall say to them, ‘This is the nation that did not obey the voice of the LORD their God, and did not accept discipline; truth has perished; it is cut off from their lips.
-
-29“‘Cut off your hair and cast it away;
-
-raise a lamentation on the bare heights,
-
-for the LORD has rejected and forsaken
-
-the generation of his wrath.’
-
-
-
-
-
-The Valley of Slaughter
-
-
-30“For the sons of Judah have done evil in my sight, declares the LORD. They have set their detestable things in the house that is called by my name, to defile it. 31And they have built the high places of Topheth, which is in the Valley of the Son of Hinnom, to burn their sons and their daughters in the fire, which I did not command, nor did it come into my mind. 32Therefore, behold, the days are coming, declares the LORD, when it will no more be called Topheth, or the Valley of the Son of Hinnom, but the Valley of Slaughter; for they will bury in Topheth, because there is no room elsewhere. 33And the dead bodies of this people will be food for the birds of the air, and for the beasts of the earth, and none will frighten them away. 34And I will silence in the cities of Judah and in the streets of Jerusalem the voice of mirth and the voice of gladness, the voice of the bridegroom and the voice of the bride, for the land shall become a waste.
-
-
-
-
-
-8:1 “At that time, declares the LORD, the bones of the kings of Judah, the bones of its officials, the bones of the priests, the bones of the prophets, and the bones of the inhabitants of Jerusalem shall be brought out of their tombs. 2And they shall be spread before the sun and the moon and all the host of heaven, which they have loved and served, which they have gone after, and which they have sought and worshiped. And they shall not be gathered or buried. They shall be as dung on the surface of the ground. 3Death shall be preferred to life by all the remnant that remains of this evil family in all the places where I have driven them, declares the LORD of hosts.
-
-
-
-
-
-Sin and Treachery
-
-
-4“You shall say to them, Thus says the LORD:
-
-When men fall, do they not rise again?
-
-If one turns away, does he not return?
-
-5Why then has this people turned away
-
-in perpetual backsliding?
-
-They hold fast to deceit;
-
-they refuse to return.
-
-6I have paid attention and listened,
-
-but they have not spoken rightly;
-
-no man relents of his evil,
-
-saying, ‘What have I done?’
-
-Everyone turns to his own course,
-
-like a horse plunging headlong into battle.
-
-7Even the stork in the heavens
-
-knows her times,
-
-and the turtledove, swallow, and crane[10]
-
-keep the time of their coming,
-
-but my people know not
-
-the rules[11] of the LORD.
-
-8“How can you say, ‘We are wise,
-
-and the law of the LORD is with us’?
-
-But behold, the lying pen of the scribes
-
-has made it into a lie.
-
-9The wise men shall be put to shame;
-
-they shall be dismayed and taken;
-
-behold, they have rejected the word of the LORD,
-
-so what wisdom is in them?
-
-10Therefore I will give their wives to others
-
-and their fields to conquerors,
-
-because from the least to the greatest
-
-everyone is greedy for unjust gain;
-
-from prophet to priest,
-
-everyone deals falsely.
-
-11They have healed the wound of my people lightly,
-
-saying, ‘Peace, peace,’
-
-when there is no peace.
-
-12Were they ashamed when they committed abomination?
-
-No, they were not at all ashamed;
-
-they did not know how to blush.
-
-Therefore they shall fall among the fallen;
-
-when I punish them, they shall be overthrown,
-
-says the LORD.
-
-13When I would gather them, declares the LORD,
-
-there are no grapes on the vine,
-
-nor figs on the fig tree;
-
-even the leaves are withered,
-
-and what I gave them has passed away from them.”[12]
-
-14Why do we sit still?
-
-Gather together; let us go into the fortified cities
-
-and perish there,
-
-for the LORD our God has doomed us to perish
-
-and has given us poisoned water to drink,
-
-because we have sinned against the LORD.
-
-15We looked for peace, but no good came;
-
-for a time of healing, but behold, terror.
-
-16“The snorting of their horses is heard from Dan;
-
-at the sound of the neighing of their stallions
-
-the whole land quakes.
-
-They come and devour the land and all that fills it,
-
-the city and those who dwell in it.
-
-17For behold, I am sending among you serpents,
-
-adders that cannot be charmed,
-
-and they shall bite you,”
-
-declares the LORD.
-
-
-
-
-
-Jeremiah Grieves for His People
-
-
-18My joy is gone; grief is upon me;[13]
-
-my heart is sick within me.
-
-19Behold, the cry of the daughter of my people
-
-from the length and breadth of the land:
-
-“Is the LORD not in Zion?
-
-Is her King not in her?”
-
-“Why have they provoked me to anger with their carved images
-
-and with their foreign idols?”
-
-20“The harvest is past, the summer is ended,
-
-and we are not saved.”
-
-21For the wound of the daughter of my people is my heart wounded;
-
-I mourn, and dismay has taken hold on me.
-
-22Is there no balm in Gilead?
-
-Is there no physician there?
-
-Why then has the health of the daughter of my people
-
-not been restored?
-
-
-
-
-
-9:1 [14] Oh that my head were waters,
-
-and my eyes a fountain of tears,
-
-that I might weep day and night
-
-for the slain of the daughter of my people!
-
-2[15] Oh that I had in the desert
-
-a travelers' lodging place,
-
-that I might leave my people
-
-and go away from them!
-
-For they are all adulterers,
-
-a company of treacherous men.
-
-3They bend their tongue like a bow;
-
-falsehood and not truth has grown strong[16] in the land;
-
-for they proceed from evil to evil,
-
-and they do not know me, declares the LORD.
-
-4Let everyone beware of his neighbor,
-
-and put no trust in any brother,
-
-for every brother is a deceiver,
-
-and every neighbor goes about as a slanderer.
-
-5Everyone deceives his neighbor,
-
-and no one speaks the truth;
-
-they have taught their tongue to speak lies;
-
-they weary themselves committing iniquity.
-
-6Heaping oppression upon oppression, and deceit upon deceit,
-
-they refuse to know me, declares the LORD.
-
-7Therefore thus says the LORD of hosts:
-
-“Behold, I will refine them and test them,
-
-for what else can I do, because of my people?
-
-8Their tongue is a deadly arrow;
-
-it speaks deceitfully;
-
-with his mouth each speaks peace to his neighbor,
-
-but in his heart he plans an ambush for him.
-
-9Shall I not punish them for these things? declares the LORD,
-
-and shall I not avenge myself
-
-on a nation such as this?
-
-10“I will take up weeping and wailing for the mountains,
-
-and a lamentation for the pastures of the wilderness,
-
-because they are laid waste so that no one passes through,
-
-and the lowing of cattle is not heard;
-
-both the birds of the air and the beasts
-
-have fled and are gone.
-
-11I will make Jerusalem a heap of ruins,
-
-a lair of jackals,
-
-and I will make the cities of Judah a desolation,
-
-without inhabitant.”
-
-12Who is the man so wise that he can understand this? To whom has the mouth of the LORD spoken, that he may declare it? Why is the land ruined and laid waste like a wilderness, so that no one passes through? 13And the LORD says: “Because they have forsaken my law that I set before them, and have not obeyed my voice or walked in accord with it, 14but have stubbornly followed their own hearts and have gone after the Baals, as their fathers taught them. 15Therefore thus says the LORD of hosts, the God of Israel: Behold, I will feed this people with bitter food, and give them poisonous water to drink. 16I will scatter them among the nations whom neither they nor their fathers have known, and I will send the sword after them, until I have consumed them.”
-
-17Thus says the LORD of hosts:
-
-“Consider, and call for the mourning women to come;
-
-send for the skillful women to come;
-
-18let them make haste and raise a wailing over us,
-
-that our eyes may run down with tears
-
-and our eyelids flow with water.
-
-19For a sound of wailing is heard from Zion:
-
-‘How we are ruined!
-
-We are utterly shamed,
-
-because we have left the land,
-
-because they have cast down our dwellings.’”
-
-20Hear, O women, the word of the LORD,
-
-and let your ear receive the word of his mouth;
-
-teach to your daughters a lament,
-
-and each to her neighbor a dirge.
-
-21For death has come up into our windows;
-
-it has entered our palaces,
-
-cutting off the children from the streets
-
-and the young men from the squares.
-
-22Speak, “Thus declares the LORD:
-
-‘The dead bodies of men shall fall
-
-like dung upon the open field,
-
-like sheaves after the reaper,
-
-and none shall gather them.’”
-
-23Thus says the LORD: “Let not the wise man boast in his wisdom, let not the mighty man boast in his might, let not the rich man boast in his riches, 24but let him who boasts boast in this, that he understands and knows me, that I am the LORD who practices steadfast love, justice, and righteousness in the earth. For in these things I delight, declares the LORD.”
-
-25“Behold, the days are coming, declares the LORD, when I will punish all those who are circumcised merely in the flesh— 26Egypt, Judah, Edom, the sons of Ammon, Moab, and all who dwell in the desert who cut the corners of their hair, for all these nations are uncircumcised, and all the house of Israel are uncircumcised in heart.”
-
-
-
-
-
-Idols and the Living God
-
-
-10:1 Hear the word that the LORD speaks to you, O house of Israel. 2Thus says the LORD:
-
-“Learn not the way of the nations,
-
-nor be dismayed at the signs of the heavens
-
-because the nations are dismayed at them,
-
-3for the customs of the peoples are vanity.[17]
-
-A tree from the forest is cut down
-
-and worked with an axe by the hands of a craftsman.
-
-4They decorate it with silver and gold;
-
-they fasten it with hammer and nails
-
-so that it cannot move.
-
-5Their idols[18] are like scarecrows in a cucumber field,
-
-and they cannot speak;
-
-they have to be carried,
-
-for they cannot walk.
-
-Do not be afraid of them,
-
-for they cannot do evil,
-
-neither is it in them to do good.”
-
-6There is none like you, O LORD;
-
-you are great, and your name is great in might.
-
-7Who would not fear you, O King of the nations?
-
-For this is your due;
-
-for among all the wise ones of the nations
-
-and in all their kingdoms
-
-there is none like you.
-
-8They are both stupid and foolish;
-
-the instruction of idols is but wood!
-
-9Beaten silver is brought from Tarshish,
-
-and gold from Uphaz.
-
-They are the work of the craftsman and of the hands of the goldsmith;
-
-their clothing is violet and purple;
-
-they are all the work of skilled men.
-
-10But the LORD is the true God;
-
-he is the living God and the everlasting King.
-
-At his wrath the earth quakes,
-
-and the nations cannot endure his indignation.
-
-11Thus shall you say to them: “The gods who did not make the heavens and the earth shall perish from the earth and from under the heavens.”[19]
-
-12It is he who made the earth by his power,
-
-who established the world by his wisdom,
-
-and by his understanding stretched out the heavens.
-
-13When he utters his voice, there is a tumult of waters in the heavens,
-
-and he makes the mist rise from the ends of the earth.
-
-He makes lightning for the rain,
-
-and he brings forth the wind from his storehouses.
-
-14Every man is stupid and without knowledge;
-
-every goldsmith is put to shame by his idols,
-
-for his images are false,
-
-and there is no breath in them.
-
-15They are worthless, a work of delusion;
-
-at the time of their punishment they shall perish.
-
-16Not like these is he who is the portion of Jacob,
-
-for he is the one who formed all things,
-
-and Israel is the tribe of his inheritance;
-
-the LORD of hosts is his name.
-
-17Gather up your bundle from the ground,
-
-O you who dwell under siege!
-
-18For thus says the LORD:
-
-“Behold, I am slinging out the inhabitants of the land
-
-at this time,
-
-and I will bring distress on them,
-
-that they may feel it.”
-
-19Woe is me because of my hurt!
-
-My wound is grievous.
-
-But I said, “Truly this is an affliction,
-
-and I must bear it.”
-
-20My tent is destroyed,
-
-and all my cords are broken;
-
-my children have gone from me,
-
-and they are not;
-
-there is no one to spread my tent again
-
-and to set up my curtains.
-
-21For the shepherds are stupid
-
-and do not inquire of the LORD;
-
-therefore they have not prospered,
-
-and all their flock is scattered.
-
-22A voice, a rumor! Behold, it comes!—
-
-a great commotion out of the north country
-
-to make the cities of Judah a desolation,
-
-a lair of jackals.
-
-23I know, O LORD, that the way of man is not in himself,
-
-that it is not in man who walks to direct his steps.
-
-24Correct me, O LORD, but in justice;
-
-not in your anger, lest you bring me to nothing.
-
-25Pour out your wrath on the nations that know you not,
-
-and on the peoples that call not on your name,
-
-for they have devoured Jacob;
-
-they have devoured him and consumed him,
-
-and have laid waste his habitation.
-
-
-
-
-
-The Broken Covenant
-
-
-11:1 The word that came to Jeremiah from the LORD: 2“Hear the words of this covenant, and speak to the men of Judah and the inhabitants of Jerusalem. 3You shall say to them, Thus says the LORD, the God of Israel: Cursed be the man who does not hear the words of this covenant 4that I commanded your fathers when I brought them out of the land of Egypt, from the iron furnace, saying, Listen to my voice, and do all that I command you. So shall you be my people, and I will be your God, 5that I may confirm the oath that I swore to your fathers, to give them a land flowing with milk and honey, as at this day.” Then I answered, “So be it, LORD.”
-
-6And the LORD said to me, “Proclaim all these words in the cities of Judah and in the streets of Jerusalem: Hear the words of this covenant and do them. 7For I solemnly warned your fathers when I brought them up out of the land of Egypt, warning them persistently, even to this day, saying, Obey my voice. 8Yet they did not obey or incline their ear, but everyone walked in the stubbornness of his evil heart. Therefore I brought upon them all the words of this covenant, which I commanded them to do, but they did not.”
-
-9Again the LORD said to me, “A conspiracy exists among the men of Judah and the inhabitants of Jerusalem. 10They have turned back to the iniquities of their forefathers, who refused to hear my words. They have gone after other gods to serve them. The house of Israel and the house of Judah have broken my covenant that I made with their fathers. 11Therefore, thus says the LORD, Behold, I am bringing disaster upon them that they cannot escape. Though they cry to me, I will not listen to them. 12Then the cities of Judah and the inhabitants of Jerusalem will go and cry to the gods to whom they make offerings, but they cannot save them in the time of their trouble. 13For your gods have become as many as your cities, O Judah, and as many as the streets of Jerusalem are the altars you have set up to shame, altars to make offerings to Baal.
-
-14“Therefore do not pray for this people, or lift up a cry or prayer on their behalf, for I will not listen when they call to me in the time of their trouble. 15What right has my beloved in my house, when she has done many vile deeds? Can even sacrificial flesh avert your doom? Can you then exult? 16The LORD once called you ‘a green olive tree, beautiful with good fruit.’ But with the roar of a great tempest he will set fire to it, and its branches will be consumed. 17The LORD of hosts, who planted you, has decreed disaster against you, because of the evil that the house of Israel and the house of Judah have done, provoking me to anger by making offerings to Baal.”
-
-18The LORD made it known to me and I knew;
-
-then you showed me their deeds.
-
-19But I was like a gentle lamb
-
-led to the slaughter.
-
-I did not know it was against me
-
-they devised schemes, saying,
-
-“Let us destroy the tree with its fruit,
-
-let us cut him off from the land of the living,
-
-that his name be remembered no more.”
-
-20But, O LORD of hosts, who judges righteously,
-
-who tests the heart and the mind,
-
-let me see your vengeance upon them,
-
-for to you have I committed my cause.
-
-21Therefore thus says the LORD concerning the men of Anathoth, who seek your life, and say, “Do not prophesy in the name of the LORD, or you will die by our hand”— 22therefore thus says the LORD of hosts: “Behold, I will punish them. The young men shall die by the sword, their sons and their daughters shall die by famine, 23and none of them shall be left. For I will bring disaster upon the men of Anathoth, the year of their punishment.”
-
-
-
-
-
-Jeremiah's Complaint
-
-
-12:1 Righteous are you, O LORD,
-
-when I complain to you;
-
-yet I would plead my case before you.
-
-Why does the way of the wicked prosper?
-
-Why do all who are treacherous thrive?
-
-2You plant them, and they take root;
-
-they grow and produce fruit;
-
-you are near in their mouth
-
-and far from their heart.
-
-3But you, O LORD, know me;
-
-you see me, and test my heart toward you.
-
-Pull them out like sheep for the slaughter,
-
-and set them apart for the day of slaughter.
-
-4How long will the land mourn
-
-and the grass of every field wither?
-
-For the evil of those who dwell in it
-
-the beasts and the birds are swept away,
-
-because they said, “He will not see our latter end.”
-
-
-
-
-
-The LORD Answers Jeremiah
-
-
-5“If you have raced with men on foot, and they have wearied you,
-
-how will you compete with horses?
-
-And if in a safe land you are so trusting,
-
-what will you do in the thicket of the Jordan?
-
-6For even your brothers and the house of your father,
-
-even they have dealt treacherously with you;
-
-they are in full cry after you;
-
-do not believe them,
-
-though they speak friendly words to you.”
-
-7“I have forsaken my house;
-
-I have abandoned my heritage;
-
-I have given the beloved of my soul
-
-into the hands of her enemies.
-
-8My heritage has become to me
-
-like a lion in the forest;
-
-she has lifted up her voice against me;
-
-therefore I hate her.
-
-9Is my heritage to me like a hyena's lair?
-
-Are the birds of prey against her all around?
-
-Go, assemble all the wild beasts;
-
-bring them to devour.
-
-10Many shepherds have destroyed my vineyard;
-
-they have trampled down my portion;
-
-they have made my pleasant portion
-
-a desolate wilderness.
-
-11They have made it a desolation;
-
-desolate, it mourns to me.
-
-The whole land is made desolate,
-
-but no man lays it to heart.
-
-12Upon all the bare heights in the desert
-
-destroyers have come,
-
-for the sword of the LORD devours
-
-from one end of the land to the other;
-
-no flesh has peace.
-
-13They have sown wheat and have reaped thorns;
-
-they have tired themselves out but profit nothing.
-
-They shall be ashamed of their[20] harvests
-
-because of the fierce anger of the LORD.”
-
-14Thus says the LORD concerning all my evil neighbors who touch the heritage that I have given my people Israel to inherit: “Behold, I will pluck them up from their land, and I will pluck up the house of Judah from among them. 15And after I have plucked them up, I will again have compassion on them, and I will bring them again each to his heritage and each to his land. 16And it shall come to pass, if they will diligently learn the ways of my people, to swear by my name, ‘As the LORD lives,’ even as they taught my people to swear by Baal, then they shall be built up in the midst of my people. 17But if any nation will not listen, then I will utterly pluck it up and destroy it, declares the LORD.”
-
-
-
-
-
-The Ruined Loincloth
-
-
-13:1 Thus says the LORD to me, “Go and buy a linen loincloth and put it around your waist, and do not dip it in water.” 2So I bought a loincloth according to the word of the LORD, and put it around my waist. 3And the word of the LORD came to me a second time, 4“Take the loincloth that you have bought, which is around your waist, and arise, go to the Euphrates and hide it there in a cleft of the rock.” 5So I went and hid it by the Euphrates, as the LORD commanded me. 6And after many days the LORD said to me, “Arise, go to the Euphrates, and take from there the loincloth that I commanded you to hide there.” 7Then I went to the Euphrates, and dug, and I took the loincloth from the place where I had hidden it. And behold, the loincloth was spoiled; it was good for nothing.
-
-8Then the word of the LORD came to me: 9“Thus says the LORD: Even so will I spoil the pride of Judah and the great pride of Jerusalem. 10This evil people, who refuse to hear my words, who stubbornly follow their own heart and have gone after other gods to serve them and worship them, shall be like this loincloth, which is good for nothing. 11For as the loincloth clings to the waist of a man, so I made the whole house of Israel and the whole house of Judah cling to me, declares the LORD, that they might be for me a people, a name, a praise, and a glory, but they would not listen.
-
-
-
-
-
-The Jars Filled with Wine
-
-
-12“You shall speak to them this word: ‘Thus says the LORD, the God of Israel, “Every jar shall be filled with wine.”’ And they will say to you, ‘Do we not indeed know that every jar will be filled with wine?’ 13Then you shall say to them, ‘Thus says the LORD: Behold, I will fill with drunkenness all the inhabitants of this land: the kings who sit on David's throne, the priests, the prophets, and all the inhabitants of Jerusalem. 14And I will dash them one against another, fathers and sons together, declares the LORD. I will not pity or spare or have compassion, that I should not destroy them.’”
-
-
-
-
-
-Exile Threatened
-
-
-15Hear and give ear; be not proud,
-
-for the LORD has spoken.
-
-16Give glory to the LORD your God
-
-before he brings darkness,
-
-before your feet stumble
-
-on the twilight mountains,
-
-and while you look for light
-
-he turns it into gloom
-
-and makes it deep darkness.
-
-17But if you will not listen,
-
-my soul will weep in secret for your pride;
-
-my eyes will weep bitterly and run down with tears,
-
-because the LORD's flock has been taken captive.
-
-18Say to the king and the queen mother:
-
-“Take a lowly seat,
-
-for your beautiful crown
-
-has come down from your head.”
-
-19The cities of the Negeb are shut up,
-
-with none to open them;
-
-all Judah is taken into exile,
-
-wholly taken into exile.
-
-20“Lift up your eyes and see
-
-those who come from the north.
-
-Where is the flock that was given you,
-
-your beautiful flock?
-
-21What will you say when they set as head over you
-
-those whom you yourself have taught to be friends to you?
-
-Will not pangs take hold of you
-
-like those of a woman in labor?
-
-22And if you say in your heart,
-
-‘Why have these things come upon me?’
-
-it is for the greatness of your iniquity
-
-that your skirts are lifted up
-
-and you suffer violence.
-
-23Can the Ethiopian change his skin
-
-or the leopard his spots?
-
-Then also you can do good
-
-who are accustomed to do evil.
-
-24I will scatter you[21] like chaff
-
-driven by the wind from the desert.
-
-25This is your lot,
-
-the portion I have measured out to you, declares the LORD,
-
-because you have forgotten me
-
-and trusted in lies.
-
-26I myself will lift up your skirts over your face,
-
-and your shame will be seen.
-
-27I have seen your abominations,
-
-your adulteries and neighings, your lewd whorings,
-
-on the hills in the field.
-
-Woe to you, O Jerusalem!
-
-How long will it be before you are made clean?”
-
-
-
-
-
-Famine, Sword, and Pestilence
-
-
-14:1 The word of the LORD that came to Jeremiah concerning the drought:
-
-2“Judah mourns,
-
-and her gates languish;
-
-her people lament on the ground,
-
-and the cry of Jerusalem goes up.
-
-3Her nobles send their servants for water;
-
-they come to the cisterns;
-
-they find no water;
-
-they return with their vessels empty;
-
-they are ashamed and confounded
-
-and cover their heads.
-
-4Because of the ground that is dismayed,
-
-since there is no rain on the land,
-
-the farmers are ashamed;
-
-they cover their heads.
-
-5Even the doe in the field forsakes her newborn fawn
-
-because there is no grass.
-
-6The wild donkeys stand on the bare heights;
-
-they pant for air like jackals;
-
-their eyes fail
-
-because there is no vegetation.
-
-7“Though our iniquities testify against us,
-
-act, O LORD, for your name's sake;
-
-for our backslidings are many;
-
-we have sinned against you.
-
-8O you hope of Israel,
-
-its savior in time of trouble,
-
-why should you be like a stranger in the land,
-
-like a traveler who turns aside to tarry for a night?
-
-9Why should you be like a man confused,
-
-like a mighty warrior who cannot save?
-
-Yet you, O LORD, are in the midst of us,
-
-and we are called by your name;
-
-do not leave us.”
-
-10Thus says the LORD concerning this people:
-
-“They have loved to wander thus;
-
-they have not restrained their feet;
-
-therefore the LORD does not accept them;
-
-now he will remember their iniquity
-
-and punish their sins.”
-
-11The LORD said to me: “Do not pray for the welfare of this people. 12Though they fast, I will not hear their cry, and though they offer burnt offering and grain offering, I will not accept them. But I will consume them by the sword, by famine, and by pestilence.”
-
-
-
-
-
-Lying Prophets
-
-
-13Then I said: “Ah, Lord GOD, behold, the prophets say to them, ‘You shall not see the sword, nor shall you have famine, but I will give you assured peace in this place.’” 14And the LORD said to me: “The prophets are prophesying lies in my name. I did not send them, nor did I command them or speak to them. They are prophesying to you a lying vision, worthless divination, and the deceit of their own minds. 15Therefore thus says the LORD concerning the prophets who prophesy in my name although I did not send them, and who say, ‘Sword and famine shall not come upon this land’: By sword and famine those prophets shall be consumed. 16And the people to whom they prophesy shall be cast out in the streets of Jerusalem, victims of famine and sword, with none to bury them—them, their wives, their sons, and their daughters. For I will pour out their evil upon them.
-
-17“You shall say to them this word:
-
-‘Let my eyes run down with tears night and day,
-
-and let them not cease,
-
-for the virgin daughter of my people is shattered with a great wound,
-
-with a very grievous blow.
-
-18If I go out into the field,
-
-behold, those pierced by the sword!
-
-And if I enter the city,
-
-behold, the diseases of famine!
-
-For both prophet and priest ply their trade through the land
-
-and have no knowledge.’”
-
-19Have you utterly rejected Judah?
-
-Does your soul loathe Zion?
-
-Why have you struck us down
-
-so that there is no healing for us?
-
-We looked for peace, but no good came;
-
-for a time of healing, but behold, terror.
-
-20We acknowledge our wickedness, O LORD,
-
-and the iniquity of our fathers,
-
-for we have sinned against you.
-
-21Do not spurn us, for your name's sake;
-
-do not dishonor your glorious throne;
-
-remember and do not break your covenant with us.
-
-22Are there any among the false gods of the nations that can bring rain?
-
-Or can the heavens give showers?
-
-Are you not he, O LORD our God?
-
-We set our hope on you,
-
-for you do all these things.
-
-
-
-
-
-The LORD Will Not Relent
-
-
-15:1 Then the LORD said to me, “Though Moses and Samuel stood before me, yet my heart would not turn toward this people. Send them out of my sight, and let them go! 2And when they ask you, ‘Where shall we go?’ you shall say to them, ‘Thus says the LORD:
-
-“‘Those who are for pestilence, to pestilence,
-
-and those who are for the sword, to the sword;
-
-those who are for famine, to famine,
-
-and those who are for captivity, to captivity.’
-
-3I will appoint over them four kinds of destroyers, declares the LORD: the sword to kill, the dogs to tear, and the birds of the air and the beasts of the earth to devour and destroy. 4And I will make them a horror to all the kingdoms of the earth because of what Manasseh the son of Hezekiah, king of Judah, did in Jerusalem.
-
-5“Who will have pity on you, O Jerusalem,
-
-or who will grieve for you?
-
-Who will turn aside
-
-to ask about your welfare?
-
-6You have rejected me, declares the LORD;
-
-you keep going backward,
-
-so I have stretched out my hand against you and destroyed you—
-
-I am weary of relenting.
-
-7I have winnowed them with a winnowing fork
-
-in the gates of the land;
-
-I have bereaved them; I have destroyed my people;
-
-they did not turn from their ways.
-
-8I have made their widows more in number
-
-than the sand of the seas;
-
-I have brought against the mothers of young men
-
-a destroyer at noonday;
-
-I have made anguish and terror
-
-fall upon them suddenly.
-
-9She who bore seven has grown feeble;
-
-she has fainted away;
-
-her sun went down while it was yet day;
-
-she has been shamed and disgraced.
-
-And the rest of them I will give to the sword
-
-before their enemies,
-
-declares the LORD.”
-
-
-
-
-
-Jeremiah's Complaint
-
-
-10Woe is me, my mother, that you bore me, a man of strife and contention to the whole land! I have not lent, nor have I borrowed, yet all of them curse me. 11The LORD said, “Have I not[22] set you free for their good? Have I not pleaded for you before the enemy in the time of trouble and in the time of distress? 12Can one break iron, iron from the north, and bronze?
-
-13“Your wealth and your treasures I will give as spoil, without price, for all your sins, throughout all your territory. 14I will make you serve your enemies in a land that you do not know, for in my anger a fire is kindled that shall burn forever.”
-
-15O LORD, you know;
-
-remember me and visit me,
-
-and take vengeance for me on my persecutors.
-
-In your forbearance take me not away;
-
-know that for your sake I bear reproach.
-
-16Your words were found, and I ate them,
-
-and your words became to me a joy
-
-and the delight of my heart,
-
-for I am called by your name,
-
-O LORD, God of hosts.
-
-17I did not sit in the company of revelers,
-
-nor did I rejoice;
-
-I sat alone, because your hand was upon me,
-
-for you had filled me with indignation.
-
-18Why is my pain unceasing,
-
-my wound incurable,
-
-refusing to be healed?
-
-Will you be to me like a deceitful brook,
-
-like waters that fail?
-
-19Therefore thus says the LORD:
-
-“If you return, I will restore you,
-
-and you shall stand before me.
-
-If you utter what is precious, and not what is worthless,
-
-you shall be as my mouth.
-
-They shall turn to you,
-
-but you shall not turn to them.
-
-20And I will make you to this people
-
-a fortified wall of bronze;
-
-they will fight against you,
-
-but they shall not prevail over you,
-
-for I am with you
-
-to save you and deliver you,
-
-declares the LORD.
-
-21I will deliver you out of the hand of the wicked,
-
-and redeem you from the grasp of the ruthless.”
-
-
-
-
-
-Famine, Sword, and Death
-
-
-16:1 The word of the LORD came to me: 2“You shall not take a wife, nor shall you have sons or daughters in this place. 3For thus says the LORD concerning the sons and daughters who are born in this place, and concerning the mothers who bore them and the fathers who fathered them in this land: 4They shall die of deadly diseases. They shall not be lamented, nor shall they be buried. They shall be as dung on the surface of the ground. They shall perish by the sword and by famine, and their dead bodies shall be food for the birds of the air and for the beasts of the earth.
-
-5“For thus says the LORD: Do not enter the house of mourning, or go to lament or grieve for them, for I have taken away my peace from this people, my steadfast love and mercy, declares the LORD. 6Both great and small shall die in this land. They shall not be buried, and no one shall lament for them or cut himself or make himself bald for them. 7No one shall break bread for the mourner, to comfort him for the dead, nor shall anyone give him the cup of consolation to drink for his father or his mother. 8You shall not go into the house of feasting to sit with them, to eat and drink. 9For thus says the LORD of hosts, the God of Israel: Behold, I will silence in this place, before your eyes and in your days, the voice of mirth and the voice of gladness, the voice of the bridegroom and the voice of the bride.
-
-10“And when you tell this people all these words, and they say to you, ‘Why has the LORD pronounced all this great evil against us? What is our iniquity? What is the sin that we have committed against the LORD our God?’ 11then you shall say to them: ‘Because your fathers have forsaken me, declares the LORD, and have gone after other gods and have served and worshiped them, and have forsaken me and have not kept my law, 12and because you have done worse than your fathers, for behold, every one of you follows his stubborn, evil will, refusing to listen to me. 13Therefore I will hurl you out of this land into a land that neither you nor your fathers have known, and there you shall serve other gods day and night, for I will show you no favor.’
-
-
-
-
-
-The LORD Will Restore Israel
-
-
-14“Therefore, behold, the days are coming, declares the LORD, when it shall no longer be said, ‘As the LORD lives who brought up the people of Israel out of the land of Egypt,’ 15but ‘As the LORD lives who brought up the people of Israel out of the north country and out of all the countries where he had driven them.’ For I will bring them back to their own land that I gave to their fathers.
-
-16“Behold, I am sending for many fishers, declares the LORD, and they shall catch them. And afterward I will send for many hunters, and they shall hunt them from every mountain and every hill, and out of the clefts of the rocks. 17For my eyes are on all their ways. They are not hidden from me, nor is their iniquity concealed from my eyes. 18But first I will doubly repay their iniquity and their sin, because they have polluted my land with the carcasses of their detestable idols, and have filled my inheritance with their abominations.”
-
-19O LORD, my strength and my stronghold,
-
-my refuge in the day of trouble,
-
-to you shall the nations come
-
-from the ends of the earth and say:
-
-“Our fathers have inherited nothing but lies,
-
-worthless things in which there is no profit.
-
-20Can man make for himself gods?
-
-Such are not gods!”
-
-21“Therefore, behold, I will make them know, this once I will make them know my power and my might, and they shall know that my name is the LORD.”
-
-
-
-
-
-The Sin of Judah
-
-
-17:1 “The sin of Judah is written with a pen of iron; with a point of diamond it is engraved on the tablet of their heart, and on the horns of their altars, 2while their children remember their altars and their Asherim, beside every green tree and on the high hills, 3on the mountains in the open country. Your wealth and all your treasures I will give for spoil as the price of your high places for sin throughout all your territory. 4You shall loosen your hand from your heritage that I gave to you, and I will make you serve your enemies in a land that you do not know, for in my anger a fire is kindled that shall burn forever.”
-
-5Thus says the LORD:
-
-“Cursed is the man who trusts in man
-
-and makes flesh his strength,[23]
-
-whose heart turns away from the LORD.
-
-6He is like a shrub in the desert,
-
-and shall not see any good come.
-
-He shall dwell in the parched places of the wilderness,
-
-in an uninhabited salt land.
-
-7“Blessed is the man who trusts in the LORD,
-
-whose trust is the LORD.
-
-8He is like a tree planted by water,
-
-that sends out its roots by the stream,
-
-and does not fear when heat comes,
-
-for its leaves remain green,
-
-and is not anxious in the year of drought,
-
-for it does not cease to bear fruit.”
-
-9The heart is deceitful above all things,
-
-and desperately sick;
-
-who can understand it?
-
-10“I the LORD search the heart
-
-and test the mind,[24]
-
-to give every man according to his ways,
-
-according to the fruit of his deeds.”
-
-11Like the partridge that gathers a brood that she did not hatch,
-
-so is he who gets riches but not by justice;
-
-in the midst of his days they will leave him,
-
-and at his end he will be a fool.
-
-12A glorious throne set on high from the beginning
-
-is the place of our sanctuary.
-
-13O LORD, the hope of Israel,
-
-all who forsake you shall be put to shame;
-
-those who turn away from you[25] shall be written in the earth,
-
-for they have forsaken the LORD, the fountain of living water.
-
-
-
-
-
-Jeremiah Prays for Deliverance
-
-
-14Heal me, O LORD, and I shall be healed;
-
-save me, and I shall be saved,
-
-for you are my praise.
-
-15Behold, they say to me,
-
-“Where is the word of the LORD?
-
-Let it come!”
-
-16I have not run away from being your shepherd,
-
-nor have I desired the day of sickness.
-
-You know what came out of my lips;
-
-it was before your face.
-
-17Be not a terror to me;
-
-you are my refuge in the day of disaster.
-
-18Let those be put to shame who persecute me,
-
-but let me not be put to shame;
-
-let them be dismayed,
-
-but let me not be dismayed;
-
-bring upon them the day of disaster;
-
-destroy them with double destruction!
-
-
-
-
-
-Keep the Sabbath Holy
-
-
-19Thus said the LORD to me: “Go and stand in the People's Gate, by which the kings of Judah enter and by which they go out, and in all the gates of Jerusalem, 20and say: ‘Hear the word of the LORD, you kings of Judah, and all Judah, and all the inhabitants of Jerusalem, who enter by these gates. 21Thus says the LORD: Take care for the sake of your lives, and do not bear a burden on the Sabbath day or bring it in by the gates of Jerusalem. 22And do not carry a burden out of your houses on the Sabbath or do any work, but keep the Sabbath day holy, as I commanded your fathers. 23Yet they did not listen or incline their ear, but stiffened their neck, that they might not hear and receive instruction.
-
-24“‘But if you listen to me, declares the LORD, and bring in no burden by the gates of this city on the Sabbath day, but keep the Sabbath day holy and do no work on it, 25then there shall enter by the gates of this city kings and princes who sit on the throne of David, riding in chariots and on horses, they and their officials, the men of Judah and the inhabitants of Jerusalem. And this city shall be inhabited forever. 26And people shall come from the cities of Judah and the places around Jerusalem, from the land of Benjamin, from the Shephelah, from the hill country, and from the Negeb, bringing burnt offerings and sacrifices, grain offerings and frankincense, and bringing thank offerings to the house of the LORD. 27But if you do not listen to me, to keep the Sabbath day holy, and not to bear a burden and enter by the gates of Jerusalem on the Sabbath day, then I will kindle a fire in its gates, and it shall devour the palaces of Jerusalem and shall not be quenched.’”
-
-
-
-
-
-The Potter and the Clay
-
-
-18:1 The word that came to Jeremiah from the LORD: 2“Arise, and go down to the potter's house, and there I will let you hear my words.” 3So I went down to the potter's house, and there he was working at his wheel. 4And the vessel he was making of clay was spoiled in the potter's hand, and he reworked it into another vessel, as it seemed good to the potter to do.
-
-5Then the word of the LORD came to me: 6“O house of Israel, can I not do with you as this potter has done? declares the LORD. Behold, like the clay in the potter's hand, so are you in my hand, O house of Israel. 7If at any time I declare concerning a nation or a kingdom, that I will pluck up and break down and destroy it, 8and if that nation, concerning which I have spoken, turns from its evil, I will relent of the disaster that I intended to do to it. 9And if at any time I declare concerning a nation or a kingdom that I will build and plant it, 10and if it does evil in my sight, not listening to my voice, then I will relent of the good that I had intended to do to it. 11Now, therefore, say to the men of Judah and the inhabitants of Jerusalem: ‘Thus says the LORD, Behold, I am shaping disaster against you and devising a plan against you. Return, every one from his evil way, and amend your ways and your deeds.’
-
-12“But they say, ‘That is in vain! We will follow our own plans, and will every one act according to the stubbornness of his evil heart.’
-
-13“Therefore thus says the LORD:
-
-Ask among the nations,
-
-Who has heard the like of this?
-
-The virgin Israel
-
-has done a very horrible thing.
-
-14Does the snow of Lebanon leave
-
-the crags of Sirion?[26]
-
-Do the mountain waters run dry,[27]
-
-the cold flowing streams?
-
-15But my people have forgotten me;
-
-they make offerings to false gods;
-
-they made them stumble in their ways,
-
-in the ancient roads,
-
-and to walk into side roads,
-
-not the highway,
-
-16making their land a horror,
-
-a thing to be hissed at forever.
-
-Everyone who passes by it is horrified
-
-and shakes his head.
-
-17Like the east wind I will scatter them
-
-before the enemy.
-
-I will show them my back, not my face,
-
-in the day of their calamity.”
-
-18Then they said, “Come, let us make plots against Jeremiah, for the law shall not perish from the priest, nor counsel from the wise, nor the word from the prophet. Come, let us strike him with the tongue, and let us not pay attention to any of his words.”
-
-19Hear me, O LORD,
-
-and listen to the voice of my adversaries.
-
-20Should good be repaid with evil?
-
-Yet they have dug a pit for my life.
-
-Remember how I stood before you
-
-to speak good for them,
-
-to turn away your wrath from them.
-
-21Therefore deliver up their children to famine;
-
-give them over to the power of the sword;
-
-let their wives become childless and widowed.
-
-May their men meet death by pestilence,
-
-their youths be struck down by the sword in battle.
-
-22May a cry be heard from their houses,
-
-when you bring the plunderer suddenly upon them!
-
-For they have dug a pit to take me
-
-and laid snares for my feet.
-
-23Yet you, O LORD, know
-
-all their plotting to kill me.
-
-Forgive not their iniquity,
-
-nor blot out their sin from your sight.
-
-Let them be overthrown before you;
-
-deal with them in the time of your anger.
-
-
-
-
-
-The Broken Flask
-
-
-19:1 Thus says the LORD, “Go, buy a potter's earthenware flask, and take some of the elders of the people and some of the elders of the priests, 2and go out to the Valley of the Son of Hinnom at the entry of the Potsherd Gate, and proclaim there the words that I tell you. 3You shall say, ‘Hear the word of the LORD, O kings of Judah and inhabitants of Jerusalem. Thus says the LORD of hosts, the God of Israel: Behold, I am bringing such disaster upon this place that the ears of everyone who hears of it will tingle. 4Because the people have forsaken me and have profaned this place by making offerings in it to other gods whom neither they nor their fathers nor the kings of Judah have known; and because they have filled this place with the blood of innocents, 5and have built the high places of Baal to burn their sons in the fire as burnt offerings to Baal, which I did not command or decree, nor did it come into my mind— 6therefore, behold, days are coming, declares the LORD, when this place shall no more be called Topheth, or the Valley of the Son of Hinnom, but the Valley of Slaughter. 7And in this place I will make void the plans of Judah and Jerusalem, and will cause their people to fall by the sword before their enemies, and by the hand of those who seek their life. I will give their dead bodies for food to the birds of the air and to the beasts of the earth. 8And I will make this city a horror, a thing to be hissed at. Everyone who passes by it will be horrified and will hiss because of all its wounds. 9And I will make them eat the flesh of their sons and their daughters, and everyone shall eat the flesh of his neighbor in the siege and in the distress, with which their enemies and those who seek their life afflict them.’
-
-10“Then you shall break the flask in the sight of the men who go with you, 11and shall say to them, ‘Thus says the LORD of hosts: So will I break this people and this city, as one breaks a potter's vessel, so that it can never be mended. Men shall bury in Topheth because there will be no place else to bury. 12Thus will I do to this place, declares the LORD, and to its inhabitants, making this city like Topheth. 13The houses of Jerusalem and the houses of the kings of Judah—all the houses on whose roofs offerings have been offered to all the host of heaven, and drink offerings have been poured out to other gods—shall be defiled like the place of Topheth.’”
-
-14Then Jeremiah came from Topheth, where the LORD had sent him to prophesy, and he stood in the court of the LORD's house and said to all the people: 15“Thus says the LORD of hosts, the God of Israel, behold, I am bringing upon this city and upon all its towns all the disaster that I have pronounced against it, because they have stiffened their neck, refusing to hear my words.”
-
-
-
-
-
-Jeremiah Persecuted by Pashhur
-
-
-20:1 Now Pashhur the priest, the son of Immer, who was chief officer in the house of the LORD, heard Jeremiah prophesying these things. 2Then Pashhur beat Jeremiah the prophet, and put him in the stocks that were in the upper Benjamin Gate of the house of the LORD. 3The next day, when Pashhur released Jeremiah from the stocks, Jeremiah said to him, “The LORD does not call your name Pashhur, but Terror On Every Side. 4For thus says the LORD: Behold, I will make you a terror to yourself and to all your friends. They shall fall by the sword of their enemies while you look on. And I will give all Judah into the hand of the king of Babylon. He shall carry them captive to Babylon, and shall strike them down with the sword. 5Moreover, I will give all the wealth of the city, all its gains, all its prized belongings, and all the treasures of the kings of Judah into the hand of their enemies, who shall plunder them and seize them and carry them to Babylon. 6And you, Pashhur, and all who dwell in your house, shall go into captivity. To Babylon you shall go, and there you shall die, and there you shall be buried, you and all your friends, to whom you have prophesied falsely.”
-
-7O LORD, you have deceived me,
-
-and I was deceived;
-
-you are stronger than I,
-
-and you have prevailed.
-
-I have become a laughingstock all the day;
-
-everyone mocks me.
-
-8For whenever I speak, I cry out,
-
-I shout, “Violence and destruction!”
-
-For the word of the LORD has become for me
-
-a reproach and derision all day long.
-
-9If I say, “I will not mention him,
-
-or speak any more in his name,”
-
-there is in my heart as it were a burning fire
-
-shut up in my bones,
-
-and I am weary with holding it in,
-
-and I cannot.
-
-10For I hear many whispering.
-
-Terror is on every side!
-
-“Denounce him! Let us denounce him!”
-
-say all my close friends,
-
-watching for my fall.
-
-“Perhaps he will be deceived;
-
-then we can overcome him
-
-and take our revenge on him.”
-
-11But the LORD is with me as a dread warrior;
-
-therefore my persecutors will stumble;
-
-they will not overcome me.
-
-They will be greatly shamed,
-
-for they will not succeed.
-
-Their eternal dishonor
-
-will never be forgotten.
-
-12O LORD of hosts, who tests the righteous,
-
-who sees the heart and the mind,[28]
-
-let me see your vengeance upon them,
-
-for to you have I committed my cause.
-
-13Sing to the LORD;
-
-praise the LORD!
-
-For he has delivered the life of the needy
-
-from the hand of evildoers.
-
-14Cursed be the day
-
-on which I was born!
-
-The day when my mother bore me,
-
-let it not be blessed!
-
-15Cursed be the man who brought the news to my father,
-
-“A son is born to you,”
-
-making him very glad.
-
-16Let that man be like the cities
-
-that the LORD overthrew without pity;
-
-let him hear a cry in the morning
-
-and an alarm at noon,
-
-17because he did not kill me in the womb;
-
-so my mother would have been my grave,
-
-and her womb forever great.
-
-18Why did I come out from the womb
-
-to see toil and sorrow,
-
-and spend my days in shame?
-
-
-
-
-
-Jerusalem Will Fall to Nebuchadnezzar
-
-
-21:1 This is the word that came to Jeremiah from the LORD, when King Zedekiah sent to him Pashhur the son of Malchiah and Zephaniah the priest, the son of Maaseiah, saying, 2“Inquire of the LORD for us, for Nebuchadnezzar[29] king of Babylon is making war against us. Perhaps the LORD will deal with us according to all his wonderful deeds and will make him withdraw from us.”
-
-3Then Jeremiah said to them: 4“Thus you shall say to Zedekiah, ‘Thus says the LORD, the God of Israel: Behold, I will turn back the weapons of war that are in your hands and with which you are fighting against the king of Babylon and against the Chaldeans who are besieging you outside the walls. And I will bring them together into the midst of this city. 5I myself will fight against you with outstretched hand and strong arm, in anger and in fury and in great wrath. 6And I will strike down the inhabitants of this city, both man and beast. They shall die of a great pestilence. 7Afterward, declares the LORD, I will give Zedekiah king of Judah and his servants and the people in this city who survive the pestilence, sword, and famine into the hand of Nebuchadnezzar king of Babylon and into the hand of their enemies, into the hand of those who seek their lives. He shall strike them down with the edge of the sword. He shall not pity them or spare them or have compassion.’
-
-8“And to this people you shall say: ‘Thus says the LORD: Behold, I set before you the way of life and the way of death. 9He who stays in this city shall die by the sword, by famine, and by pestilence, but he who goes out and surrenders to the Chaldeans who are besieging you shall live and shall have his life as a prize of war. 10For I have set my face against this city for harm and not for good, declares the LORD: it shall be given into the hand of the king of Babylon, and he shall burn it with fire.’
-
-
-
-
-
-Message to the House of David
-
-
-11“And to the house of the king of Judah say, ‘Hear the word of the LORD, 12O house of David! Thus says the LORD:
-
-“‘Execute justice in the morning,
-
-and deliver from the hand of the oppressor
-
-him who has been robbed,
-
-lest my wrath go forth like fire,
-
-and burn with none to quench it,
-
-because of your evil deeds.’”
-
-13“Behold, I am against you, O inhabitant of the valley,
-
-O rock of the plain,
-
-declares the LORD;
-
-you who say, ‘Who shall come down against us,
-
-or who shall enter our habitations?’
-
-14I will punish you according to the fruit of your deeds,
-
-declares the LORD;
-
-I will kindle a fire in her forest,
-
-and it shall devour all that is around her.”
-
-
-
-
-
-22:1 Thus says the LORD: “Go down to the house of the king of Judah and speak there this word, 2and say, ‘Hear the word of the LORD, O king of Judah, who sits on the throne of David, you, and your servants, and your people who enter these gates. 3Thus says the LORD: Do justice and righteousness, and deliver from the hand of the oppressor him who has been robbed. And do no wrong or violence to the resident alien, the fatherless, and the widow, nor shed innocent blood in this place. 4For if you will indeed obey this word, then there shall enter the gates of this house kings who sit on the throne of David, riding in chariots and on horses, they and their servants and their people. 5But if you will not obey these words, I swear by myself, declares the LORD, that this house shall become a desolation. 6For thus says the LORD concerning the house of the king of Judah:
-
-“‘You are like Gilead to me,
-
-like the summit of Lebanon,
-
-yet surely I will make you a desert,
-
-an uninhabited city.[30]
-
-7I will prepare destroyers against you,
-
-each with his weapons,
-
-and they shall cut down your choicest cedars
-
-and cast them into the fire.
-
-8“‘And many nations will pass by this city, and every man will say to his neighbor, “Why has the LORD dealt thus with this great city?” 9And they will answer, “Because they have forsaken the covenant of the LORD their God and worshiped other gods and served them.”’”
-
-10Weep not for him who is dead,
-
-nor grieve for him,
-
-but weep bitterly for him who goes away,
-
-for he shall return no more
-
-to see his native land.
-
-
-
-
-
-Message to the Sons of Josiah
-
-
-11For thus says the LORD concerning Shallum the son of Josiah, king of Judah, who reigned instead of Josiah his father, and who went away from this place: “He shall return here no more, 12but in the place where they have carried him captive, there shall he die, and he shall never see this land again.”
-
-13“Woe to him who builds his house by unrighteousness,
-
-and his upper rooms by injustice,
-
-who makes his neighbor serve him for nothing
-
-and does not give him his wages,
-
-14who says, ‘I will build myself a great house
-
-with spacious upper rooms,’
-
-who cuts out windows for it,
-
-paneling it with cedar
-
-and painting it with vermilion.
-
-15Do you think you are a king
-
-because you compete in cedar?
-
-Did not your father eat and drink
-
-and do justice and righteousness?
-
-Then it was well with him.
-
-16He judged the cause of the poor and needy;
-
-then it was well.
-
-Is not this to know me?
-
-declares the LORD.
-
-17But you have eyes and heart
-
-only for your dishonest gain,
-
-for shedding innocent blood,
-
-and for practicing oppression and violence.”
-
-18Therefore thus says the LORD concerning Jehoiakim the son of Josiah, king of Judah:
-
-“They shall not lament for him, saying,
-
-‘Ah, my brother!’ or ‘Ah, sister!’
-
-They shall not lament for him, saying,
-
-‘Ah, lord!’ or ‘Ah, his majesty!’
-
-19With the burial of a donkey he shall be buried,
-
-dragged and dumped beyond the gates of Jerusalem.”
-
-20“Go up to Lebanon, and cry out,
-
-and lift up your voice in Bashan;
-
-cry out from Abarim,
-
-for all your lovers are destroyed.
-
-21I spoke to you in your prosperity,
-
-but you said, ‘I will not listen.’
-
-This has been your way from your youth,
-
-that you have not obeyed my voice.
-
-22The wind shall shepherd all your shepherds,
-
-and your lovers shall go into captivity;
-
-then you will be ashamed and confounded
-
-because of all your evil.
-
-23O inhabitant of Lebanon,
-
-nested among the cedars,
-
-how you will be pitied when pangs come upon you,
-
-pain as of a woman in labor!”
-
-24“As I live, declares the LORD, though Coniah the son of Jehoiakim, king of Judah, were the signet ring on my right hand, yet I would tear you off 25and give you into the hand of those who seek your life, into the hand of those of whom you are afraid, even into the hand of Nebuchadnezzar king of Babylon and into the hand of the Chaldeans. 26I will hurl you and the mother who bore you into another country, where you were not born, and there you shall die. 27But to the land to which they will long to return, there they shall not return.”
-
-28Is this man Coniah a despised, broken pot,
-
-a vessel no one cares for?
-
-Why are he and his children hurled and cast
-
-into a land that they do not know?
-
-29O land, land, land,
-
-hear the word of the LORD!
-
-30Thus says the LORD:
-
-“Write this man down as childless,
-
-a man who shall not succeed in his days,
-
-for none of his offspring shall succeed
-
-in sitting on the throne of David
-
-and ruling again in Judah.”
-
-
-
-
-
-The Righteous Branch
-
-
-23:1 “Woe to the shepherds who destroy and scatter the sheep of my pasture!” declares the LORD. 2Therefore thus says the LORD, the God of Israel, concerning the shepherds who care for my people: “You have scattered my flock and have driven them away, and you have not attended to them. Behold, I will attend to you for your evil deeds, declares the LORD. 3Then I will gather the remnant of my flock out of all the countries where I have driven them, and I will bring them back to their fold, and they shall be fruitful and multiply. 4I will set shepherds over them who will care for them, and they shall fear no more, nor be dismayed, neither shall any be missing, declares the LORD.
-
-5“Behold, the days are coming, declares the LORD, when I will raise up for David a righteous Branch, and he shall reign as king and deal wisely, and shall execute justice and righteousness in the land. 6In his days Judah will be saved, and Israel will dwell securely. And this is the name by which he will be called: ‘The LORD is our righteousness.’
-
-7“Therefore, behold, the days are coming, declares the LORD, when they shall no longer say, ‘As the LORD lives who brought up the people of Israel out of the land of Egypt,’ 8but ‘As the LORD lives who brought up and led the offspring of the house of Israel out of the north country and out of all the countries where he[31] had driven them.’ Then they shall dwell in their own land.”
-
-
-
-
-
-Lying Prophets
-
-
-9Concerning the prophets:
-
-My heart is broken within me;
-
-all my bones shake;
-
-I am like a drunken man,
-
-like a man overcome by wine,
-
-because of the LORD
-
-and because of his holy words.
-
-10For the land is full of adulterers;
-
-because of the curse the land mourns,
-
-and the pastures of the wilderness are dried up.
-
-Their course is evil,
-
-and their might is not right.
-
-11“Both prophet and priest are ungodly;
-
-even in my house I have found their evil,
-
-declares the LORD.
-
-12Therefore their way shall be to them
-
-like slippery paths in the darkness,
-
-into which they shall be driven and fall,
-
-for I will bring disaster upon them
-
-in the year of their punishment,
-
-declares the LORD.
-
-13In the prophets of Samaria
-
-I saw an unsavory thing:
-
-they prophesied by Baal
-
-and led my people Israel astray.
-
-14But in the prophets of Jerusalem
-
-I have seen a horrible thing:
-
-they commit adultery and walk in lies;
-
-they strengthen the hands of evildoers,
-
-so that no one turns from his evil;
-
-all of them have become like Sodom to me,
-
-and its inhabitants like Gomorrah.”
-
-15Therefore thus says the LORD of hosts concerning the prophets:
-
-“Behold, I will feed them with bitter food
-
-and give them poisoned water to drink,
-
-for from the prophets of Jerusalem
-
-ungodliness has gone out into all the land.”
-
-16Thus says the LORD of hosts: “Do not listen to the words of the prophets who prophesy to you, filling you with vain hopes. They speak visions of their own minds, not from the mouth of the LORD. 17They say continually to those who despise the word of the LORD, ‘It shall be well with you’; and to everyone who stubbornly follows his own heart, they say, ‘No disaster shall come upon you.’”
-
-18For who among them has stood in the council of the LORD
-
-to see and to hear his word,
-
-or who has paid attention to his word and listened?
-
-19Behold, the storm of the LORD!
-
-Wrath has gone forth,
-
-a whirling tempest;
-
-it will burst upon the head of the wicked.
-
-20The anger of the LORD will not turn back
-
-until he has executed and accomplished
-
-the intents of his heart.
-
-In the latter days you will understand it clearly.
-
-21“I did not send the prophets,
-
-yet they ran;
-
-I did not speak to them,
-
-yet they prophesied.
-
-22But if they had stood in my council,
-
-then they would have proclaimed my words to my people,
-
-and they would have turned them from their evil way,
-
-and from the evil of their deeds.
-
-23“Am I a God at hand, declares the LORD, and not a God far away? 24Can a man hide himself in secret places so that I cannot see him? declares the LORD. Do I not fill heaven and earth? declares the LORD. 25I have heard what the prophets have said who prophesy lies in my name, saying, ‘I have dreamed, I have dreamed!’ 26How long shall there be lies in the heart of the prophets who prophesy lies, and who prophesy the deceit of their own heart, 27who think to make my people forget my name by their dreams that they tell one another, even as their fathers forgot my name for Baal? 28Let the prophet who has a dream tell the dream, but let him who has my word speak my word faithfully. What has straw in common with wheat? declares the LORD. 29Is not my word like fire, declares the LORD, and like a hammer that breaks the rock in pieces? 30Therefore, behold, I am against the prophets, declares the LORD, who steal my words from one another. 31Behold, I am against the prophets, declares the LORD, who use their tongues and declare, ‘declares the LORD.’ 32Behold, I am against those who prophesy lying dreams, declares the LORD, and who tell them and lead my people astray by their lies and their recklessness, when I did not send them or charge them. So they do not profit this people at all, declares the LORD.
-
-33“When one of this people, or a prophet or a priest asks you, ‘What is the burden of the LORD?’ you shall say to them, ‘You are the burden,[32] and I will cast you off, declares the LORD.’ 34And as for the prophet, priest, or one of the people who says, ‘The burden of the LORD,’ I will punish that man and his household. 35Thus shall you say, every one to his neighbor and every one to his brother, ‘What has the LORD answered?’ or ‘What has the LORD spoken?’ 36But ‘the burden of the LORD’ you shall mention no more, for the burden is every man's own word, and you pervert the words of the living God, the LORD of hosts, our God. 37Thus you shall say to the prophet, ‘What has the LORD answered you?’ or ‘What has the LORD spoken?’ 38But if you say, ‘The burden of the LORD,’ thus says the LORD, ‘Because you have said these words, “The burden of the LORD,” when I sent to you, saying, “You shall not say, ‘The burden of the LORD,’” 39therefore, behold, I will surely lift you up and cast you away from my presence, you and the city that I gave to you and your fathers. 40And I will bring upon you everlasting reproach and perpetual shame, which shall not be forgotten.’”
-
-
-
-
-
-The Good Figs and the Bad Figs
-
-
-24:1 After Nebuchadnezzar king of Babylon had taken into exile from Jerusalem Jeconiah the son of Jehoiakim, king of Judah, together with the officials of Judah, the craftsmen, and the metal workers, and had brought them to Babylon, the LORD showed me this vision: behold, two baskets of figs placed before the temple of the LORD. 2One basket had very good figs, like first-ripe figs, but the other basket had very bad figs, so bad that they could not be eaten. 3And the LORD said to me, “What do you see, Jeremiah?” I said, “Figs, the good figs very good, and the bad figs very bad, so bad that they cannot be eaten.”
-
-4Then the word of the LORD came to me: 5“Thus says the LORD, the God of Israel: Like these good figs, so I will regard as good the exiles from Judah, whom I have sent away from this place to the land of the Chaldeans. 6I will set my eyes on them for good, and I will bring them back to this land. I will build them up, and not tear them down; I will plant them, and not uproot them. 7I will give them a heart to know that I am the LORD, and they shall be my people and I will be their God, for they shall return to me with their whole heart.
-
-8“But thus says the LORD: Like the bad figs that are so bad they cannot be eaten, so will I treat Zedekiah the king of Judah, his officials, the remnant of Jerusalem who remain in this land, and those who dwell in the land of Egypt. 9I will make them a horror[33] to all the kingdoms of the earth, to be a reproach, a byword, a taunt, and a curse in all the places where I shall drive them. 10And I will send sword, famine, and pestilence upon them, until they shall be utterly destroyed from the land that I gave to them and their fathers.”
-
-
-
-
-
-Seventy Years of Captivity
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-25:1 The word that came to Jeremiah concerning all the people of Judah, in the fourth year of Jehoiakim the son of Josiah, king of Judah (that was the first year of Nebuchadnezzar king of Babylon), 2which Jeremiah the prophet spoke to all the people of Judah and all the inhabitants of Jerusalem: 3“For twenty-three years, from the thirteenth year of Josiah the son of Amon, king of Judah, to this day, the word of the LORD has come to me, and I have spoken persistently to you, but you have not listened. 4You have neither listened nor inclined your ears to hear, although the LORD persistently sent to you all his servants the prophets, 5saying, ‘Turn now, every one of you, from his evil way and evil deeds, and dwell upon the land that the LORD has given to you and your fathers from of old and forever. 6Do not go after other gods to serve and worship them, or provoke me to anger with the work of your hands. Then I will do you no harm.’ 7Yet you have not listened to me, declares the LORD, that you might provoke me to anger with the work of your hands to your own harm.
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-8“Therefore thus says the LORD of hosts: Because you have not obeyed my words, 9behold, I will send for all the tribes of the north, declares the LORD, and for Nebuchadnezzar the king of Babylon, my servant, and I will bring them against this land and its inhabitants, and against all these surrounding nations. I will devote them to destruction, and make them a horror, a hissing, and an everlasting desolation. 10Moreover, I will banish from them the voice of mirth and the voice of gladness, the voice of the bridegroom and the voice of the bride, the grinding of the millstones and the light of the lamp. 11This whole land shall become a ruin and a waste, and these nations shall serve the king of Babylon seventy years. 12Then after seventy years are completed, I will punish the king of Babylon and that nation, the land of the Chaldeans, for their iniquity, declares the LORD, making the land an everlasting waste. 13I will bring upon that land all the words that I have uttered against it, everything written in this book, which Jeremiah prophesied against all the nations. 14For many nations and great kings shall make slaves even of them, and I will recompense them according to their deeds and the work of their hands.”
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-The Cup of the LORD's Wrath
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-15Thus the LORD, the God of Israel, said to me: “Take from my hand this cup of the wine of wrath, and make all the nations to whom I send you drink it. 16They shall drink and stagger and be crazed because of the sword that I am sending among them.”
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-17So I took the cup from the LORD's hand, and made all the nations to whom the LORD sent me drink it: 18Jerusalem and the cities of Judah, its kings and officials, to make them a desolation and a waste, a hissing and a curse, as at this day; 19Pharaoh king of Egypt, his servants, his officials, all his people, 20and all the mixed tribes among them; all the kings of the land of Uz and all the kings of the land of the Philistines (Ashkelon, Gaza, Ekron, and the remnant of Ashdod); 21Edom, Moab, and the sons of Ammon; 22all the kings of Tyre, all the kings of Sidon, and the kings of the coastland across the sea; 23Dedan, Tema, Buz, and all who cut the corners of their hair; 24all the kings of Arabia and all the kings of the mixed tribes who dwell in the desert; 25all the kings of Zimri, all the kings of Elam, and all the kings of Media; 26all the kings of the north, far and near, one after another, and all the kingdoms of the world that are on the face of the earth. And after them the king of Babylon[34] shall drink.
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-27“Then you shall say to them, ‘Thus says the LORD of hosts, the God of Israel: Drink, be drunk and vomit, fall and rise no more, because of the sword that I am sending among you.’
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-28“And if they refuse to accept the cup from your hand to drink, then you shall say to them, ‘Thus says the LORD of hosts: You must drink! 29For behold, I begin to work disaster at the city that is called by my name, and shall you go unpunished? You shall not go unpunished, for I am summoning a sword against all the inhabitants of the earth, declares the LORD of hosts.’
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-30“You, therefore, shall prophesy against them all these words, and say to them:
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-“‘The LORD will roar from on high,
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-and from his holy habitation utter his voice;
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-he will roar mightily against his fold,
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-and shout, like those who tread grapes,
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-against all the inhabitants of the earth.
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-31The clamor will resound to the ends of the earth,
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-for the LORD has an indictment against the nations;
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-he is entering into judgment with all flesh,
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-and the wicked he will put to the sword,
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-declares the LORD.’
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-32“Thus says the LORD of hosts:
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-Behold, disaster is going forth
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-from nation to nation,
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-and a great tempest is stirring
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-from the farthest parts of the earth!
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-33“And those pierced by the LORD on that day shall extend from one end of the earth to the other. They shall not be lamented, or gathered, or buried; they shall be dung on the surface of the ground.
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-34“Wail, you shepherds, and cry out,
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-and roll in ashes, you lords of the flock,
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-for the days of your slaughter and dispersion have come,
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-and you shall fall like a choice vessel.
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-35No refuge will remain for the shepherds,
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-nor escape for the lords of the flock.
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-36A voice—the cry of the shepherds,
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-and the wail of the lords of the flock!
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-For the LORD is laying waste their pasture,
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-37and the peaceful folds are devastated
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-because of the fierce anger of the LORD.
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-38Like a lion he has left his lair,
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-for their land has become a waste
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-because of the sword of the oppressor,
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-and because of his fierce anger.”
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-Jeremiah Threatened with Death
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-26:1 In the beginning of the reign of Jehoiakim the son of Josiah, king of Judah, this word came from the LORD: 2“Thus says the LORD: Stand in the court of the LORD's house, and speak to all the cities of Judah that come to worship in the house of the LORD all the words that I command you to speak to them; do not hold back a word. 3It may be they will listen, and every one turn from his evil way, that I may relent of the disaster that I intend to do to them because of their evil deeds. 4You shall say to them, ‘Thus says the LORD: If you will not listen to me, to walk in my law that I have set before you, 5and to listen to the words of my servants the prophets whom I send to you urgently, though you have not listened, 6then I will make this house like Shiloh, and I will make this city a curse for all the nations of the earth.’”
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-7The priests and the prophets and all the people heard Jeremiah speaking these words in the house of the LORD. 8And when Jeremiah had finished speaking all that the LORD had commanded him to speak to all the people, then the priests and the prophets and all the people laid hold of him, saying, “You shall die! 9Why have you prophesied in the name of the LORD, saying, ‘This house shall be like Shiloh, and this city shall be desolate, without inhabitant’?” And all the people gathered around Jeremiah in the house of the LORD.
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-10When the officials of Judah heard these things, they came up from the king's house to the house of the LORD and took their seat in the entry of the New Gate of the house of the LORD. 11Then the priests and the prophets said to the officials and to all the people, “This man deserves the sentence of death, because he has prophesied against this city, as you have heard with your own ears.”
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-12Then Jeremiah spoke to all the officials and all the people, saying, “The LORD sent me to prophesy against this house and this city all the words you have heard. 13Now therefore mend your ways and your deeds, and obey the voice of the LORD your God, and the LORD will relent of the disaster that he has pronounced against you. 14But as for me, behold, I am in your hands. Do with me as seems good and right to you. 15Only know for certain that if you put me to death, you will bring innocent blood upon yourselves and upon this city and its inhabitants, for in truth the LORD sent me to you to speak all these words in your ears.”
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-Jeremiah Spared from Death
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-16Then the officials and all the people said to the priests and the prophets, “This man does not deserve the sentence of death, for he has spoken to us in the name of the LORD our God.” 17And certain of the elders of the land arose and spoke to all the assembled people, saying, 18“Micah of Moresheth prophesied in the days of Hezekiah king of Judah, and said to all the people of Judah: ‘Thus says the LORD of hosts,
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-“‘Zion shall be plowed as a field;
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-Jerusalem shall become a heap of ruins,
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-and the mountain of the house a wooded height.’
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-19Did Hezekiah king of Judah and all Judah put him to death? Did he not fear the LORD and entreat the favor of the LORD, and did not the LORD relent of the disaster that he had pronounced against them? But we are about to bring great disaster upon ourselves.”
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-20There was another man who prophesied in the name of the LORD, Uriah the son of Shemaiah from Kiriath-jearim. He prophesied against this city and against this land in words like those of Jeremiah. 21And when King Jehoiakim, with all his warriors and all the officials, heard his words, the king sought to put him to death. But when Uriah heard of it, he was afraid and fled and escaped to Egypt. 22Then King Jehoiakim sent to Egypt certain men, Elnathan the son of Achbor and others with him, 23and they took Uriah from Egypt and brought him to King Jehoiakim, who struck him down with the sword and dumped his dead body into the burial place of the common people.
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-24But the hand of Ahikam the son of Shaphan was with Jeremiah so that he was not given over to the people to be put to death.
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-The Yoke of Nebuchadnezzar
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-27:1 In the beginning of the reign of Zedekiah[35] the son of Josiah, king of Judah, this word came to Jeremiah from the LORD. 2Thus the LORD said to me: “Make yourself straps and yoke-bars, and put them on your neck. 3Send word[36] to the king of Edom, the king of Moab, the king of the sons of Ammon, the king of Tyre, and the king of Sidon by the hand of the envoys who have come to Jerusalem to Zedekiah king of Judah. 4Give them this charge for their masters: ‘Thus says the LORD of hosts, the God of Israel: This is what you shall say to your masters: 5“It is I who by my great power and my outstretched arm have made the earth, with the men and animals that are on the earth, and I give it to whomever it seems right to me. 6Now I have given all these lands into the hand of Nebuchadnezzar, the king of Babylon, my servant, and I have given him also the beasts of the field to serve him. 7All the nations shall serve him and his son and his grandson, until the time of his own land comes. Then many nations and great kings shall make him their slave.
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-8“‘“But if any nation or kingdom will not serve this Nebuchadnezzar king of Babylon, and put its neck under the yoke of the king of Babylon, I will punish that nation with the sword, with famine, and with pestilence, declares the LORD, until I have consumed it by his hand. 9So do not listen to your prophets, your diviners, your dreamers, your fortune-tellers, or your sorcerers, who are saying to you, ‘You shall not serve the king of Babylon.’ 10For it is a lie that they are prophesying to you, with the result that you will be removed far from your land, and I will drive you out, and you will perish. 11But any nation that will bring its neck under the yoke of the king of Babylon and serve him, I will leave on its own land, to work it and dwell there, declares the LORD.”’”
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-12To Zedekiah king of Judah I spoke in like manner: “Bring your necks under the yoke of the king of Babylon, and serve him and his people and live. 13Why will you and your people die by the sword, by famine, and by pestilence, as the LORD has spoken concerning any nation that will not serve the king of Babylon? 14Do not listen to the words of the prophets who are saying to you, ‘You shall not serve the king of Babylon,’ for it is a lie that they are prophesying to you. 15I have not sent them, declares the LORD, but they are prophesying falsely in my name, with the result that I will drive you out and you will perish, you and the prophets who are prophesying to you.”
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-16Then I spoke to the priests and to all this people, saying, “Thus says the LORD: Do not listen to the words of your prophets who are prophesying to you, saying, ‘Behold, the vessels of the LORD's house will now shortly be brought back from Babylon,’ for it is a lie that they are prophesying to you. 17Do not listen to them; serve the king of Babylon and live. Why should this city become a desolation? 18If they are prophets, and if the word of the LORD is with them, then let them intercede with the LORD of hosts, that the vessels that are left in the house of the LORD, in the house of the king of Judah, and in Jerusalem may not go to Babylon. 19For thus says the LORD of hosts concerning the pillars, the sea, the stands, and the rest of the vessels that are left in this city, 20which Nebuchadnezzar king of Babylon did not take away, when he took into exile from Jerusalem to Babylon Jeconiah the son of Jehoiakim, king of Judah, and all the nobles of Judah and Jerusalem— 21thus says the LORD of hosts, the God of Israel, concerning the vessels that are left in the house of the LORD, in the house of the king of Judah, and in Jerusalem: 22They shall be carried to Babylon and remain there until the day when I visit them, declares the LORD. Then I will bring them back and restore them to this place.”
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-Hananiah the False Prophet
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-28:1 In that same year, at the beginning of the reign of Zedekiah king of Judah, in the fifth month of the fourth year, Hananiah the son of Azzur, the prophet from Gibeon, spoke to me in the house of the LORD, in the presence of the priests and all the people, saying, 2“Thus says the LORD of hosts, the God of Israel: I have broken the yoke of the king of Babylon. 3Within two years I will bring back to this place all the vessels of the LORD's house, which Nebuchadnezzar king of Babylon took away from this place and carried to Babylon. 4I will also bring back to this place Jeconiah the son of Jehoiakim, king of Judah, and all the exiles from Judah who went to Babylon, declares the LORD, for I will break the yoke of the king of Babylon.”
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-5Then the prophet Jeremiah spoke to Hananiah the prophet in the presence of the priests and all the people who were standing in the house of the LORD, 6and the prophet Jeremiah said, “Amen! May the LORD do so; may the LORD make the words that you have prophesied come true, and bring back to this place from Babylon the vessels of the house of the LORD, and all the exiles. 7Yet hear now this word that I speak in your hearing and in the hearing of all the people. 8The prophets who preceded you and me from ancient times prophesied war, famine, and pestilence against many countries and great kingdoms. 9As for the prophet who prophesies peace, when the word of that prophet comes to pass, then it will be known that the LORD has truly sent the prophet.”
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-10Then the prophet Hananiah took the yoke-bars from the neck of Jeremiah the prophet and broke them. 11And Hananiah spoke in the presence of all the people, saying, “Thus says the LORD: Even so will I break the yoke of Nebuchadnezzar king of Babylon from the neck of all the nations within two years.” But Jeremiah the prophet went his way.
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-12Sometime after the prophet Hananiah had broken the yoke-bars from off the neck of Jeremiah the prophet, the word of the LORD came to Jeremiah: 13“Go, tell Hananiah, ‘Thus says the LORD: You have broken wooden bars, but you have made in their place bars of iron. 14For thus says the LORD of hosts, the God of Israel: I have put upon the neck of all these nations an iron yoke to serve Nebuchadnezzar king of Babylon, and they shall serve him, for I have given to him even the beasts of the field.’” 15And Jeremiah the prophet said to the prophet Hananiah, “Listen, Hananiah, the LORD has not sent you, and you have made this people trust in a lie. 16Therefore thus says the LORD: ‘Behold, I will remove you from the face of the earth. This year you shall die, because you have uttered rebellion against the LORD.’”
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-17In that same year, in the seventh month, the prophet Hananiah died.
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-Jeremiah's Letter to the Exiles
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-29:1 These are the words of the letter that Jeremiah the prophet sent from Jerusalem to the surviving elders of the exiles, and to the priests, the prophets, and all the people, whom Nebuchadnezzar had taken into exile from Jerusalem to Babylon. 2This was after King Jeconiah and the queen mother, the eunuchs, the officials of Judah and Jerusalem, the craftsmen, and the metal workers had departed from Jerusalem. 3The letter was sent by the hand of Elasah the son of Shaphan and Gemariah the son of Hilkiah, whom Zedekiah king of Judah sent to Babylon to Nebuchadnezzar king of Babylon. It said: 4“Thus says the LORD of hosts, the God of Israel, to all the exiles whom I have sent into exile from Jerusalem to Babylon: 5Build houses and live in them; plant gardens and eat their produce. 6Take wives and have sons and daughters; take wives for your sons, and give your daughters in marriage, that they may bear sons and daughters; multiply there, and do not decrease. 7But seek the welfare of the city where I have sent you into exile, and pray to the LORD on its behalf, for in its welfare you will find your welfare. 8For thus says the LORD of hosts, the God of Israel: Do not let your prophets and your diviners who are among you deceive you, and do not listen to the dreams that they dream,[37] 9for it is a lie that they are prophesying to you in my name; I did not send them, declares the LORD.
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-10“For thus says the LORD: When seventy years are completed for Babylon, I will visit you, and I will fulfill to you my promise and bring you back to this place. 11For I know the plans I have for you, declares the LORD, plans for welfare[38] and not for evil, to give you a future and a hope. 12Then you will call upon me and come and pray to me, and I will hear you. 13You will seek me and find me, when you seek me with all your heart. 14I will be found by you, declares the LORD, and I will restore your fortunes and gather you from all the nations and all the places where I have driven you, declares the LORD, and I will bring you back to the place from which I sent you into exile.
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-15“Because you have said, ‘The LORD has raised up prophets for us in Babylon,’ 16thus says the LORD concerning the king who sits on the throne of David, and concerning all the people who dwell in this city, your kinsmen who did not go out with you into exile: 17‘Thus says the LORD of hosts, behold, I am sending on them sword, famine, and pestilence, and I will make them like vile figs that are so rotten they cannot be eaten. 18I will pursue them with sword, famine, and pestilence, and will make them a horror to all the kingdoms of the earth, to be a curse, a terror, a hissing, and a reproach among all the nations where I have driven them, 19because they did not pay attention to my words, declares the LORD, that I persistently sent to you by my servants the prophets, but you would not listen, declares the LORD.’ 20Hear the word of the LORD, all you exiles whom I sent away from Jerusalem to Babylon: 21‘Thus says the LORD of hosts, the God of Israel, concerning Ahab the son of Kolaiah and Zedekiah the son of Maaseiah, who are prophesying a lie to you in my name: Behold, I will deliver them into the hand of Nebuchadnezzar king of Babylon, and he shall strike them down before your eyes. 22Because of them this curse shall be used by all the exiles from Judah in Babylon: “The LORD make you like Zedekiah and Ahab, whom the king of Babylon roasted in the fire,” 23because they have done an outrageous thing in Israel, they have committed adultery with their neighbors' wives, and they have spoken in my name lying words that I did not command them. I am the one who knows, and I am witness, declares the LORD.’”
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-Shemaiah's False Prophecy
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-24To Shemaiah of Nehelam you shall say: 25“Thus says the LORD of hosts, the God of Israel: You have sent letters in your name to all the people who are in Jerusalem, and to Zephaniah the son of Maaseiah the priest, and to all the priests, saying, 26‘The LORD has made you priest instead of Jehoiada the priest, to have charge in the house of the LORD over every madman who prophesies, to put him in the stocks and neck irons. 27Now why have you not rebuked Jeremiah of Anathoth who is prophesying to you? 28For he has sent to us in Babylon, saying, “Your exile will be long; build houses and live in them, and plant gardens and eat their produce.”’”
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-29Zephaniah the priest read this letter in the hearing of Jeremiah the prophet. 30Then the word of the LORD came to Jeremiah: 31“Send to all the exiles, saying, ‘Thus says the LORD concerning Shemaiah of Nehelam: Because Shemaiah had prophesied to you when I did not send him, and has made you trust in a lie, 32therefore thus says the LORD: Behold, I will punish Shemaiah of Nehelam and his descendants. He shall not have anyone living among this people, and he shall not see the good that I will do to my people, declares the LORD, for he has spoken rebellion against the LORD.’”
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-Restoration for Israel and Judah
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-30:1 The word that came to Jeremiah from the LORD: 2“Thus says the LORD, the God of Israel: Write in a book all the words that I have spoken to you. 3For behold, days are coming, declares the LORD, when I will restore the fortunes of my people, Israel and Judah, says the LORD, and I will bring them back to the land that I gave to their fathers, and they shall take possession of it.”
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-4These are the words that the LORD spoke concerning Israel and Judah:
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-5“Thus says the LORD:
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-We have heard a cry of panic,
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-of terror, and no peace.
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-6Ask now, and see,
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-can a man bear a child?
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-Why then do I see every man
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-with his hands on his stomach like a woman in labor?
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-Why has every face turned pale?
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-7Alas! That day is so great
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-there is none like it;
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-it is a time of distress for Jacob;
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-yet he shall be saved out of it.
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-8“And it shall come to pass in that day, declares the LORD of hosts, that I will break his yoke from off your neck, and I will burst your bonds, and foreigners shall no more make a servant of him.[39] 9But they shall serve the LORD their God and David their king, whom I will raise up for them.
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-10“Then fear not, O Jacob my servant, declares the LORD,
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-nor be dismayed, O Israel;
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-for behold, I will save you from far away,
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-and your offspring from the land of their captivity.
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-Jacob shall return and have quiet and ease,
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-and none shall make him afraid.
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-11For I am with you to save you,
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-declares the LORD;
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-I will make a full end of all the nations
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-among whom I scattered you,
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-but of you I will not make a full end.
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-I will discipline you in just measure,
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-and I will by no means leave you unpunished.
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-12“For thus says the LORD:
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-Your hurt is incurable,
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-and your wound is grievous.
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-13There is none to uphold your cause,
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-no medicine for your wound,
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-no healing for you.
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-14All your lovers have forgotten you;
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-they care nothing for you;
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-for I have dealt you the blow of an enemy,
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-the punishment of a merciless foe,
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-because your guilt is great,
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-because your sins are flagrant.
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-15Why do you cry out over your hurt?
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-Your pain is incurable.
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-Because your guilt is great,
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-because your sins are flagrant,
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-I have done these things to you.
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-16Therefore all who devour you shall be devoured,
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-and all your foes, every one of them, shall go into captivity;
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-those who plunder you shall be plundered,
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-and all who prey on you I will make a prey.
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-17For I will restore health to you,
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-and your wounds I will heal,
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-declares the LORD,
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-because they have called you an outcast:
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-‘It is Zion, for whom no one cares!’
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-18“Thus says the LORD:
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-Behold, I will restore the fortunes of the tents of Jacob
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-and have compassion on his dwellings;
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-the city shall be rebuilt on its mound,
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-and the palace shall stand where it used to be.
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-19Out of them shall come songs of thanksgiving,
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-and the voices of those who celebrate.
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-I will multiply them, and they shall not be few;
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-I will make them honored, and they shall not be small.
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-20Their children shall be as they were of old,
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-and their congregation shall be established before me,
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-and I will punish all who oppress them.
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-21Their prince shall be one of themselves;
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-their ruler shall come out from their midst;
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-I will make him draw near, and he shall approach me,
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-for who would dare of himself to approach me?
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-declares the LORD.
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-22And you shall be my people,
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-and I will be your God.”
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-23Behold the storm of the LORD!
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-Wrath has gone forth,
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-a whirling tempest;
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-it will burst upon the head of the wicked.
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-24The fierce anger of the LORD will not turn back
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-until he has executed and accomplished
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-the intentions of his mind.
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-In the latter days you will understand this.
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-The LORD Will Turn Mourning to Joy
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-31:1 “At that time, declares the LORD, I will be the God of all the clans of Israel, and they shall be my people.”
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-2Thus says the LORD:
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-“The people who survived the sword
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-found grace in the wilderness;
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-when Israel sought for rest,
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-3the LORD appeared to him[40] from far away.
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-I have loved you with an everlasting love;
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-therefore I have continued my faithfulness to you.
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-4Again I will build you, and you shall be built,
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-O virgin Israel!
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-Again you shall adorn yourself with tambourines
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-and shall go forth in the dance of the merrymakers.
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-5Again you shall plant vineyards
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-on the mountains of Samaria;
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-the planters shall plant
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-and shall enjoy the fruit.
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-6For there shall be a day when watchmen will call
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-in the hill country of Ephraim:
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-‘Arise, and let us go up to Zion,
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-to the LORD our God.’”
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-7For thus says the LORD:
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-“Sing aloud with gladness for Jacob,
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-and raise shouts for the chief of the nations;
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-proclaim, give praise, and say,
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-‘O LORD, save your people,
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-the remnant of Israel.’
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-8Behold, I will bring them from the north country
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-and gather them from the farthest parts of the earth,
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-among them the blind and the lame,
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-the pregnant woman and she who is in labor, together;
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-a great company, they shall return here.
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-9With weeping they shall come,
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-and with pleas for mercy I will lead them back,
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-I will make them walk by brooks of water,
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-in a straight path in which they shall not stumble,
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-for I am a father to Israel,
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-and Ephraim is my firstborn.
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-10“Hear the word of the LORD, O nations,
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-and declare it in the coastlands far away;
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-say, ‘He who scattered Israel will gather him,
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-and will keep him as a shepherd keeps his flock.’
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-11For the LORD has ransomed Jacob
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-and has redeemed him from hands too strong for him.
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-12They shall come and sing aloud on the height of Zion,
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-and they shall be radiant over the goodness of the LORD,
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-over the grain, the wine, and the oil,
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-and over the young of the flock and the herd;
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-their life shall be like a watered garden,
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-and they shall languish no more.
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-13Then shall the young women rejoice in the dance,
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-and the young men and the old shall be merry.
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-I will turn their mourning into joy;
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-I will comfort them, and give them gladness for sorrow.
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-14I will feast the soul of the priests with abundance,
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-and my people shall be satisfied with my goodness,
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-declares the LORD.”
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-15Thus says the LORD:
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-“A voice is heard in Ramah,
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-lamentation and bitter weeping.
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-Rachel is weeping for her children;
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-she refuses to be comforted for her children,
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-because they are no more.”
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-16Thus says the LORD:
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-“Keep your voice from weeping,
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-and your eyes from tears,
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-for there is a reward for your work,
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-declares the LORD,
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-and they shall come back from the land of the enemy.
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-17There is hope for your future,
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-declares the LORD,
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-and your children shall come back to their own country.
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-18I have heard Ephraim grieving,
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-‘You have disciplined me, and I was disciplined,
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-like an untrained calf;
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-bring me back that I may be restored,
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-for you are the LORD my God.
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-19For after I had turned away, I relented,
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-and after I was instructed, I struck my thigh;
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-I was ashamed, and I was confounded,
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-because I bore the disgrace of my youth.’
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-20Is Ephraim my dear son?
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-Is he my darling child?
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-For as often as I speak against him,
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-I do remember him still.
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-Therefore my heart[41] yearns for him;
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-I will surely have mercy on him,
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-declares the LORD.
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-21“Set up road markers for yourself;
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-make yourself guideposts;
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-consider well the highway,
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-the road by which you went.
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-Return, O virgin Israel,
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-return to these your cities.
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-22How long will you waver,
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-O faithless daughter?
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-For the LORD has created a new thing on the earth:
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-a woman encircles a man.”
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-23Thus says the LORD of hosts, the God of Israel: “Once more they shall use these words in the land of Judah and in its cities, when I restore their fortunes:
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-“‘The LORD bless you, O habitation of righteousness,
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-O holy hill!’
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-24And Judah and all its cities shall dwell there together, and the farmers and those who wander with their flocks. 25For I will satisfy the weary soul, and every languishing soul I will replenish.”
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-26At this I awoke and looked, and my sleep was pleasant to me.
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-27“Behold, the days are coming, declares the LORD, when I will sow the house of Israel and the house of Judah with the seed of man and the seed of beast. 28And it shall come to pass that as I have watched over them to pluck up and break down, to overthrow, destroy, and bring harm, so I will watch over them to build and to plant, declares the LORD. 29In those days they shall no longer say:
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-“‘The fathers have eaten sour grapes,
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-and the children's teeth are set on edge.’
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-30But everyone shall die for his own sin. Each man who eats sour grapes, his teeth shall be set on edge.
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-The New Covenant
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-31“Behold, the days are coming, declares the LORD, when I will make a new covenant with the house of Israel and the house of Judah, 32not like the covenant that I made with their fathers on the day when I took them by the hand to bring them out of the land of Egypt, my covenant that they broke, though I was their husband, declares the LORD. 33But this is the covenant that I will make with the house of Israel after those days, declares the LORD: I will put my law within them, and I will write it on their hearts. And I will be their God, and they shall be my people. 34And no longer shall each one teach his neighbor and each his brother, saying, ‘Know the LORD,’ for they shall all know me, from the least of them to the greatest, declares the LORD. For I will forgive their iniquity, and I will remember their sin no more.”
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-35Thus says the LORD,
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-who gives the sun for light by day
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-and the fixed order of the moon and the stars for light by night,
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-who stirs up the sea so that its waves roar—
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-the LORD of hosts is his name:
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-36“If this fixed order departs
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-from before me, declares the LORD,
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-then shall the offspring of Israel cease
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-from being a nation before me forever.”
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-37Thus says the LORD:
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-“If the heavens above can be measured,
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-and the foundations of the earth below can be explored,
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-then I will cast off all the offspring of Israel
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-for all that they have done,
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-declares the LORD.”
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-38“Behold, the days are coming, declares the LORD, when the city shall be rebuilt for the LORD from the Tower of Hananel to the Corner Gate. 39And the measuring line shall go out farther, straight to the hill Gareb, and shall then turn to Goah. 40The whole valley of the dead bodies and the ashes, and all the fields as far as the brook Kidron, to the corner of the Horse Gate toward the east, shall be sacred to the LORD. It shall not be uprooted or overthrown anymore forever.”
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-Jeremiah Buys a Field During the Siege
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-32:1 The word that came to Jeremiah from the LORD in the tenth year of Zedekiah king of Judah, which was the eighteenth year of Nebuchadnezzar. 2At that time the army of the king of Babylon was besieging Jerusalem, and Jeremiah the prophet was shut up in the court of the guard that was in the palace of the king of Judah. 3For Zedekiah king of Judah had imprisoned him, saying, “Why do you prophesy and say, ‘Thus says the LORD: Behold, I am giving this city into the hand of the king of Babylon, and he shall capture it; 4Zedekiah king of Judah shall not escape out of the hand of the Chaldeans, but shall surely be given into the hand of the king of Babylon, and shall speak with him face to face and see him eye to eye. 5And he shall take Zedekiah to Babylon, and there he shall remain until I visit him, declares the LORD. Though you fight against the Chaldeans, you shall not succeed’?”
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-6Jeremiah said, “The word of the LORD came to me: 7Behold, Hanamel the son of Shallum your uncle will come to you and say, ‘Buy my field that is at Anathoth, for the right of redemption by purchase is yours.’ 8Then Hanamel my cousin came to me in the court of the guard, in accordance with the word of the LORD, and said to me, ‘Buy my field that is at Anathoth in the land of Benjamin, for the right of possession and redemption is yours; buy it for yourself.’ Then I knew that this was the word of the LORD.
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-9“And I bought the field at Anathoth from Hanamel my cousin, and weighed out the money to him, seventeen shekels of silver. 10I signed the deed, sealed it, got witnesses, and weighed the money on scales. 11Then I took the sealed deed of purchase, containing the terms and conditions and the open copy. 12And I gave the deed of purchase to Baruch the son of Neriah son of Mahseiah, in the presence of Hanamel my cousin, in the presence of the witnesses who signed the deed of purchase, and in the presence of all the Judeans who were sitting in the court of the guard. 13I charged Baruch in their presence, saying, 14‘Thus says the LORD of hosts, the God of Israel: Take these deeds, both this sealed deed of purchase and this open deed, and put them in an earthenware vessel, that they may last for a long time. 15For thus says the LORD of hosts, the God of Israel: Houses and fields and vineyards shall again be bought in this land.’
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-Jeremiah Prays for Understanding
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-16“After I had given the deed of purchase to Baruch the son of Neriah, I prayed to the LORD, saying: 17‘Ah, Lord GOD! It is you who have made the heavens and the earth by your great power and by your outstretched arm! Nothing is too hard for you. 18You show steadfast love to thousands, but you repay the guilt of fathers to their children after them, O great and mighty God, whose name is the LORD of hosts, 19great in counsel and mighty in deed, whose eyes are open to all the ways of the children of man, rewarding each one according to his ways and according to the fruit of his deeds. 20You have shown signs and wonders in the land of Egypt, and to this day in Israel and among all mankind, and have made a name for yourself, as at this day. 21You brought your people Israel out of the land of Egypt with signs and wonders, with a strong hand and outstretched arm, and with great terror. 22And you gave them this land, which you swore to their fathers to give them, a land flowing with milk and honey. 23And they entered and took possession of it. But they did not obey your voice or walk in your law. They did nothing of all you commanded them to do. Therefore you have made all this disaster come upon them. 24Behold, the siege mounds have come up to the city to take it, and because of sword and famine and pestilence the city is given into the hands of the Chaldeans who are fighting against it. What you spoke has come to pass, and behold, you see it. 25Yet you, O Lord GOD, have said to me, “Buy the field for money and get witnesses”—though the city is given into the hands of the Chaldeans.’”
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-26The word of the LORD came to Jeremiah: 27“Behold, I am the LORD, the God of all flesh. Is anything too hard for me? 28Therefore, thus says the LORD: Behold, I am giving this city into the hands of the Chaldeans and into the hand of Nebuchadnezzar king of Babylon, and he shall capture it. 29The Chaldeans who are fighting against this city shall come and set this city on fire and burn it, with the houses on whose roofs offerings have been made to Baal and drink offerings have been poured out to other gods, to provoke me to anger. 30For the children of Israel and the children of Judah have done nothing but evil in my sight from their youth. The children of Israel have done nothing but provoke me to anger by the work of their hands, declares the LORD. 31This city has aroused my anger and wrath, from the day it was built to this day, so that I will remove it from my sight 32because of all the evil of the children of Israel and the children of Judah that they did to provoke me to anger—their kings and their officials, their priests and their prophets, the men of Judah and the inhabitants of Jerusalem. 33They have turned to me their back and not their face. And though I have taught them persistently, they have not listened to receive instruction. 34They set up their abominations in the house that is called by my name, to defile it. 35They built the high places of Baal in the Valley of the Son of Hinnom, to offer up their sons and daughters to Molech, though I did not command them, nor did it enter into my mind, that they should do this abomination, to cause Judah to sin.
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-They Shall Be My People; I Will Be Their God
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-36“Now therefore thus says the LORD, the God of Israel, concerning this city of which you say, ‘It is given into the hand of the king of Babylon by sword, by famine, and by pestilence’: 37Behold, I will gather them from all the countries to which I drove them in my anger and my wrath and in great indignation. I will bring them back to this place, and I will make them dwell in safety. 38And they shall be my people, and I will be their God. 39I will give them one heart and one way, that they may fear me forever, for their own good and the good of their children after them. 40I will make with them an everlasting covenant, that I will not turn away from doing good to them. And I will put the fear of me in their hearts, that they may not turn from me. 41I will rejoice in doing them good, and I will plant them in this land in faithfulness, with all my heart and all my soul.
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-42“For thus says the LORD: Just as I have brought all this great disaster upon this people, so I will bring upon them all the good that I promise them. 43Fields shall be bought in this land of which you are saying, ‘It is a desolation, without man or beast; it is given into the hand of the Chaldeans.’ 44Fields shall be bought for money, and deeds shall be signed and sealed and witnessed, in the land of Benjamin, in the places about Jerusalem, and in the cities of Judah, in the cities of the hill country, in the cities of the Shephelah, and in the cities of the Negeb; for I will restore their fortunes, declares the LORD.”
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-The LORD Promises Peace
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-33:1 The word of the LORD came to Jeremiah a second time, while he was still shut up in the court of the guard: 2“Thus says the LORD who made the earth,[42] the LORD who formed it to establish it—the LORD is his name: 3Call to me and I will answer you, and will tell you great and hidden things that you have not known. 4For thus says the LORD, the God of Israel, concerning the houses of this city and the houses of the kings of Judah that were torn down to make a defense against the siege mounds and against the sword: 5They are coming in to fight against the Chaldeans and to fill them[43] with the dead bodies of men whom I shall strike down in my anger and my wrath, for I have hidden my face from this city because of all their evil. 6Behold, I will bring to it health and healing, and I will heal them and reveal to them abundance of prosperity and security. 7I will restore the fortunes of Judah and the fortunes of Israel, and rebuild them as they were at first. 8I will cleanse them from all the guilt of their sin against me, and I will forgive all the guilt of their sin and rebellion against me. 9And this city[44] shall be to me a name of joy, a praise and a glory before all the nations of the earth who shall hear of all the good that I do for them. They shall fear and tremble because of all the good and all the prosperity I provide for it.
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-10“Thus says the LORD: In this place of which you say, ‘It is a waste without man or beast,’ in the cities of Judah and the streets of Jerusalem that are desolate, without man or inhabitant or beast, there shall be heard again 11the voice of mirth and the voice of gladness, the voice of the bridegroom and the voice of the bride, the voices of those who sing, as they bring thank offerings to the house of the LORD:
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-“‘Give thanks to the LORD of hosts,
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-for the LORD is good,
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-for his steadfast love endures forever!’
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-For I will restore the fortunes of the land as at first, says the LORD.
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-12“Thus says the LORD of hosts: In this place that is waste, without man or beast, and in all of its cities, there shall again be habitations of shepherds resting their flocks. 13In the cities of the hill country, in the cities of the Shephelah, and in the cities of the Negeb, in the land of Benjamin, the places about Jerusalem, and in the cities of Judah, flocks shall again pass under the hands of the one who counts them, says the LORD.
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-The LORD's Eternal Covenant with David
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-14“Behold, the days are coming, declares the LORD, when I will fulfill the promise I made to the house of Israel and the house of Judah. 15In those days and at that time I will cause a righteous Branch to spring up for David, and he shall execute justice and righteousness in the land. 16In those days Judah will be saved, and Jerusalem will dwell securely. And this is the name by which it will be called: ‘The LORD is our righteousness.’
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-17“For thus says the LORD: David shall never lack a man to sit on the throne of the house of Israel, 18and the Levitical priests shall never lack a man in my presence to offer burnt offerings, to burn grain offerings, and to make sacrifices forever.”
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-19The word of the LORD came to Jeremiah: 20“Thus says the LORD: If you can break my covenant with the day and my covenant with the night, so that day and night will not come at their appointed time, 21then also my covenant with David my servant may be broken, so that he shall not have a son to reign on his throne, and my covenant with the Levitical priests my ministers. 22As the host of heaven cannot be numbered and the sands of the sea cannot be measured, so I will multiply the offspring of David my servant, and the Levitical priests who minister to me.”
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-23The word of the LORD came to Jeremiah: 24“Have you not observed that these people are saying, ‘The LORD has rejected the two clans that he chose’? Thus they have despised my people so that they are no longer a nation in their sight. 25Thus says the LORD: If I have not established my covenant with day and night and the fixed order of heaven and earth, 26then I will reject the offspring of Jacob and David my servant and will not choose one of his offspring to rule over the offspring of Abraham, Isaac, and Jacob. For I will restore their fortunes and will have mercy on them.”
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-Zedekiah to Die in Babylon
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-34:1 The word that came to Jeremiah from the LORD, when Nebuchadnezzar king of Babylon and all his army and all the kingdoms of the earth under his dominion and all the peoples were fighting against Jerusalem and all of its cities: 2“Thus says the LORD, the God of Israel: Go and speak to Zedekiah king of Judah and say to him, ‘Thus says the LORD: Behold, I am giving this city into the hand of the king of Babylon, and he shall burn it with fire. 3You shall not escape from his hand but shall surely be captured and delivered into his hand. You shall see the king of Babylon eye to eye and speak with him face to face. And you shall go to Babylon.’ 4Yet hear the word of the LORD, O Zedekiah king of Judah! Thus says the LORD concerning you: ‘You shall not die by the sword. 5You shall die in peace. And as spices were burned for your fathers, the former kings who were before you, so people shall burn spices for you and lament for you, saying, “Alas, lord!”’ For I have spoken the word, declares the LORD.”
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-6Then Jeremiah the prophet spoke all these words to Zedekiah king of Judah, in Jerusalem, 7when the army of the king of Babylon was fighting against Jerusalem and against all the cities of Judah that were left, Lachish and Azekah, for these were the only fortified cities of Judah that remained.
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-8The word that came to Jeremiah from the LORD, after King Zedekiah had made a covenant with all the people in Jerusalem to make a proclamation of liberty to them, 9that everyone should set free his Hebrew slaves, male and female, so that no one should enslave a Jew, his brother. 10And they obeyed, all the officials and all the people who had entered into the covenant that everyone would set free his slave, male or female, so that they would not be enslaved again. They obeyed and set them free. 11But afterward they turned around and took back the male and female slaves they had set free, and brought them into subjection as slaves. 12The word of the LORD came to Jeremiah from the LORD: 13“Thus says the LORD, the God of Israel: I myself made a covenant with your fathers when I brought them out of the land of Egypt, out of the house of bondage, saying, 14‘At the end of seven years each of you must set free the fellow Hebrew who has been sold to you and has served you six years; you must set him free from your service.’ But your fathers did not listen to me or incline their ears to me. 15You recently repented and did what was right in my eyes by proclaiming liberty, each to his neighbor, and you made a covenant before me in the house that is called by my name, 16but then you turned around and profaned my name when each of you took back his male and female slaves, whom you had set free according to their desire, and you brought them into subjection to be your slaves.
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-17“Therefore, thus says the LORD: You have not obeyed me by proclaiming liberty, every one to his brother and to his neighbor; behold, I proclaim to you liberty to the sword, to pestilence, and to famine, declares the LORD. I will make you a horror to all the kingdoms of the earth. 18And the men who transgressed my covenant and did not keep the terms of the covenant that they made before me, I will make them like[45] the calf that they cut in two and passed between its parts— 19the officials of Judah, the officials of Jerusalem, the eunuchs, the priests, and all the people of the land who passed between the parts of the calf. 20And I will give them into the hand of their enemies and into the hand of those who seek their lives. Their dead bodies shall be food for the birds of the air and the beasts of the earth. 21And Zedekiah king of Judah and his officials I will give into the hand of their enemies and into the hand of those who seek their lives, into the hand of the army of the king of Babylon which has withdrawn from you. 22Behold, I will command, declares the LORD, and will bring them back to this city. And they will fight against it and take it and burn it with fire. I will make the cities of Judah a desolation without inhabitant.”
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-The Obedience of the Rechabites
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-35:1 The word that came to Jeremiah from the LORD in the days of Jehoiakim the son of Josiah, king of Judah: 2“Go to the house of the Rechabites and speak with them and bring them to the house of the LORD, into one of the chambers; then offer them wine to drink.” 3So I took Jaazaniah the son of Jeremiah, son of Habazziniah and his brothers and all his sons and the whole house of the Rechabites. 4I brought them to the house of the LORD into the chamber of the sons of Hanan the son of Igdaliah, the man of God, which was near the chamber of the officials, above the chamber of Maaseiah the son of Shallum, keeper of the threshold. 5Then I set before the Rechabites pitchers full of wine, and cups, and I said to them, “Drink wine.” 6But they answered, “We will drink no wine, for Jonadab the son of Rechab, our father, commanded us, ‘You shall not drink wine, neither you nor your sons forever. 7You shall not build a house; you shall not sow seed; you shall not plant or have a vineyard; but you shall live in tents all your days, that you may live many days in the land where you sojourn.’ 8We have obeyed the voice of Jonadab the son of Rechab, our father, in all that he commanded us, to drink no wine all our days, ourselves, our wives, our sons, or our daughters, 9and not to build houses to dwell in. We have no vineyard or field or seed, 10but we have lived in tents and have obeyed and done all that Jonadab our father commanded us. 11But when Nebuchadnezzar king of Babylon came up against the land, we said, ‘Come, and let us go to Jerusalem for fear of the army of the Chaldeans and the army of the Syrians.’ So we are living in Jerusalem.”
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-12Then the word of the LORD came to Jeremiah: 13“Thus says the LORD of hosts, the God of Israel: Go and say to the people of Judah and the inhabitants of Jerusalem, Will you not receive instruction and listen to my words? declares the LORD. 14The command that Jonadab the son of Rechab gave to his sons, to drink no wine, has been kept, and they drink none to this day, for they have obeyed their father's command. I have spoken to you persistently, but you have not listened to me. 15I have sent to you all my servants the prophets, sending them persistently, saying, ‘Turn now every one of you from his evil way, and amend your deeds, and do not go after other gods to serve them, and then you shall dwell in the land that I gave to you and your fathers.’ But you did not incline your ear or listen to me. 16The sons of Jonadab the son of Rechab have kept the command that their father gave them, but this people has not obeyed me. 17Therefore, thus says the LORD, the God of hosts, the God of Israel: Behold, I am bringing upon Judah and all the inhabitants of Jerusalem all the disaster that I have pronounced against them, because I have spoken to them and they have not listened, I have called to them and they have not answered.”
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-18But to the house of the Rechabites Jeremiah said, “Thus says the LORD of hosts, the God of Israel: Because you have obeyed the command of Jonadab your father and kept all his precepts and done all that he commanded you, 19therefore thus says the LORD of hosts, the God of Israel: Jonadab the son of Rechab shall never lack a man to stand before me.”
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-Jehoiakim Burns Jeremiah's Scroll
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-36:1 In the fourth year of Jehoiakim the son of Josiah, king of Judah, this word came to Jeremiah from the LORD: 2“Take a scroll and write on it all the words that I have spoken to you against Israel and Judah and all the nations, from the day I spoke to you, from the days of Josiah until today. 3It may be that the house of Judah will hear all the disaster that I intend to do to them, so that every one may turn from his evil way, and that I may forgive their iniquity and their sin.”
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-4Then Jeremiah called Baruch the son of Neriah, and Baruch wrote on a scroll at the dictation of Jeremiah all the words of the LORD that he had spoken to him. 5And Jeremiah ordered Baruch, saying, “I am banned from going to the house of the LORD, 6so you are to go, and on a day of fasting in the hearing of all the people in the LORD's house you shall read the words of the LORD from the scroll that you have written at my dictation. You shall read them also in the hearing of all the men of Judah who come out of their cities. 7It may be that their plea for mercy will come before the LORD, and that every one will turn from his evil way, for great is the anger and wrath that the LORD has pronounced against this people.” 8And Baruch the son of Neriah did all that Jeremiah the prophet ordered him about reading from the scroll the words of the LORD in the LORD's house.
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-9In the fifth year of Jehoiakim the son of Josiah, king of Judah, in the ninth month, all the people in Jerusalem and all the people who came from the cities of Judah to Jerusalem proclaimed a fast before the LORD. 10Then, in the hearing of all the people, Baruch read the words of Jeremiah from the scroll, in the house of the LORD, in the chamber of Gemariah the son of Shaphan the secretary, which was in the upper court, at the entry of the New Gate of the LORD's house.
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-11When Micaiah the son of Gemariah, son of Shaphan, heard all the words of the LORD from the scroll, 12he went down to the king's house, into the secretary's chamber, and all the officials were sitting there: Elishama the secretary, Delaiah the son of Shemaiah, Elnathan the son of Achbor, Gemariah the son of Shaphan, Zedekiah the son of Hananiah, and all the officials. 13And Micaiah told them all the words that he had heard, when Baruch read the scroll in the hearing of the people. 14Then all the officials sent Jehudi the son of Nethaniah, son of Shelemiah, son of Cushi, to say to Baruch, “Take in your hand the scroll that you read in the hearing of the people, and come.” So Baruch the son of Neriah took the scroll in his hand and came to them. 15And they said to him, “Sit down and read it.” So Baruch read it to them. 16When they heard all the words, they turned one to another in fear. And they said to Baruch, “We must report all these words to the king.” 17Then they asked Baruch, “Tell us, please, how did you write all these words? Was it at his dictation?” 18Baruch answered them, “He dictated all these words to me, while I wrote them with ink on the scroll.” 19Then the officials said to Baruch, “Go and hide, you and Jeremiah, and let no one know where you are.”
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-20So they went into the court to the king, having put the scroll in the chamber of Elishama the secretary, and they reported all the words to the king. 21Then the king sent Jehudi to get the scroll, and he took it from the chamber of Elishama the secretary. And Jehudi read it to the king and all the officials who stood beside the king. 22It was the ninth month, and the king was sitting in the winter house, and there was a fire burning in the fire pot before him. 23As Jehudi read three or four columns, the king would cut them off with a knife and throw them into the fire in the fire pot, until the entire scroll was consumed in the fire that was in the fire pot. 24Yet neither the king nor any of his servants who heard all these words was afraid, nor did they tear their garments. 25Even when Elnathan and Delaiah and Gemariah urged the king not to burn the scroll, he would not listen to them. 26And the king commanded Jerahmeel the king's son and Seraiah the son of Azriel and Shelemiah the son of Abdeel to seize Baruch the secretary and Jeremiah the prophet, but the LORD hid them.
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-27Now after the king had burned the scroll with the words that Baruch wrote at Jeremiah's dictation, the word of the LORD came to Jeremiah: 28“Take another scroll and write on it all the former words that were in the first scroll, which Jehoiakim the king of Judah has burned. 29And concerning Jehoiakim king of Judah you shall say, ‘Thus says the LORD, You have burned this scroll, saying, “Why have you written in it that the king of Babylon will certainly come and destroy this land, and will cut off from it man and beast?” 30Therefore thus says the LORD concerning Jehoiakim king of Judah: He shall have none to sit on the throne of David, and his dead body shall be cast out to the heat by day and the frost by night. 31And I will punish him and his offspring and his servants for their iniquity. I will bring upon them and upon the inhabitants of Jerusalem and upon the people of Judah all the disaster that I have pronounced against them, but they would not hear.’”
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-32Then Jeremiah took another scroll and gave it to Baruch the scribe, the son of Neriah, who wrote on it at the dictation of Jeremiah all the words of the scroll that Jehoiakim king of Judah had burned in the fire. And many similar words were added to them.
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-Jeremiah Warns Zedekiah
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-37:1 Zedekiah the son of Josiah, whom Nebuchadnezzar king of Babylon made king in the land of Judah, reigned instead of Coniah the son of Jehoiakim. 2But neither he nor his servants nor the people of the land listened to the words of the LORD that he spoke through Jeremiah the prophet.
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-3King Zedekiah sent Jehucal the son of Shelemiah, and Zephaniah the priest, the son of Maaseiah, to Jeremiah the prophet, saying, “Please pray for us to the LORD our God.” 4Now Jeremiah was still going in and out among the people, for he had not yet been put in prison. 5The army of Pharaoh had come out of Egypt. And when the Chaldeans who were besieging Jerusalem heard news about them, they withdrew from Jerusalem.
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-6Then the word of the LORD came to Jeremiah the prophet: 7“Thus says the LORD, God of Israel: Thus shall you say to the king of Judah who sent you to me to inquire of me, ‘Behold, Pharaoh's army that came to help you is about to return to Egypt, to its own land. 8And the Chaldeans shall come back and fight against this city. They shall capture it and burn it with fire. 9Thus says the LORD, Do not deceive yourselves, saying, “The Chaldeans will surely go away from us,” for they will not go away. 10For even if you should defeat the whole army of Chaldeans who are fighting against you, and there remained of them only wounded men, every man in his tent, they would rise up and burn this city with fire.’”
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-Jeremiah Imprisoned
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-11Now when the Chaldean army had withdrawn from Jerusalem at the approach of Pharaoh's army, 12Jeremiah set out from Jerusalem to go to the land of Benjamin to receive his portion there among the people. 13When he was at the Benjamin Gate, a sentry there named Irijah the son of Shelemiah, son of Hananiah, seized Jeremiah the prophet, saying, “You are deserting to the Chaldeans.” 14And Jeremiah said, “It is a lie; I am not deserting to the Chaldeans.” But Irijah would not listen to him, and seized Jeremiah and brought him to the officials. 15And the officials were enraged at Jeremiah, and they beat him and imprisoned him in the house of Jonathan the secretary, for it had been made a prison.
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-16When Jeremiah had come to the dungeon cells and remained there many days, 17King Zedekiah sent for him and received him. The king questioned him secretly in his house and said, “Is there any word from the LORD?” Jeremiah said, “There is.” Then he said, “You shall be delivered into the hand of the king of Babylon.” 18Jeremiah also said to King Zedekiah, “What wrong have I done to you or your servants or this people, that you have put me in prison? 19Where are your prophets who prophesied to you, saying, ‘The king of Babylon will not come against you and against this land’? 20Now hear, please, O my lord the king: let my humble plea come before you and do not send me back to the house of Jonathan the secretary, lest I die there.” 21So King Zedekiah gave orders, and they committed Jeremiah to the court of the guard. And a loaf of bread was given him daily from the bakers' street, until all the bread of the city was gone. So Jeremiah remained in the court of the guard.
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-Jeremiah Cast into the Cistern
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-38:1 Now Shephatiah the son of Mattan, Gedaliah the son of Pashhur, Jucal the son of Shelemiah, and Pashhur the son of Malchiah heard the words that Jeremiah was saying to all the people, 2“Thus says the LORD: He who stays in this city shall die by the sword, by famine, and by pestilence, but he who goes out to the Chaldeans shall live. He shall have his life as a prize of war, and live. 3Thus says the LORD: This city shall surely be given into the hand of the army of the king of Babylon and be taken.” 4Then the officials said to the king, “Let this man be put to death, for he is weakening the hands of the soldiers who are left in this city, and the hands of all the people, by speaking such words to them. For this man is not seeking the welfare of this people, but their harm.” 5King Zedekiah said, “Behold, he is in your hands, for the king can do nothing against you.” 6So they took Jeremiah and cast him into the cistern of Malchiah, the king's son, which was in the court of the guard, letting Jeremiah down by ropes. And there was no water in the cistern, but only mud, and Jeremiah sank in the mud.
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-Jeremiah Rescued from the Cistern
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-7When Ebed-melech the Ethiopian, a eunuch who was in the king's house, heard that they had put Jeremiah into the cistern—the king was sitting in the Benjamin Gate— 8Ebed-melech went from the king's house and said to the king, 9“My lord the king, these men have done evil in all that they did to Jeremiah the prophet by casting him into the cistern, and he will die there of hunger, for there is no bread left in the city.” 10Then the king commanded Ebed-melech the Ethiopian, “Take thirty men with you from here, and lift Jeremiah the prophet out of the cistern before he dies.” 11So Ebed-melech took the men with him and went to the house of the king, to a wardrobe in the storehouse, and took from there old rags and worn-out clothes, which he let down to Jeremiah in the cistern by ropes. 12Then Ebed-melech the Ethiopian said to Jeremiah, “Put the rags and clothes between your armpits and the ropes.” Jeremiah did so. 13Then they drew Jeremiah up with ropes and lifted him out of the cistern. And Jeremiah remained in the court of the guard.
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-Jeremiah Warns Zedekiah Again
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-14King Zedekiah sent for Jeremiah the prophet and received him at the third entrance of the temple of the LORD. The king said to Jeremiah, “I will ask you a question; hide nothing from me.” 15Jeremiah said to Zedekiah, “If I tell you, will you not surely put me to death? And if I give you counsel, you will not listen to me.” 16Then King Zedekiah swore secretly to Jeremiah, “As the LORD lives, who made our souls, I will not put you to death or deliver you into the hand of these men who seek your life.”
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-17Then Jeremiah said to Zedekiah, “Thus says the LORD, the God of hosts, the God of Israel: If you will surrender to the officials of the king of Babylon, then your life shall be spared, and this city shall not be burned with fire, and you and your house shall live. 18But if you do not surrender to the officials of the king of Babylon, then this city shall be given into the hand of the Chaldeans, and they shall burn it with fire, and you shall not escape from their hand.” 19King Zedekiah said to Jeremiah, “I am afraid of the Judeans who have deserted to the Chaldeans, lest I be handed over to them and they deal cruelly with me.” 20Jeremiah said, “You shall not be given to them. Obey now the voice of the LORD in what I say to you, and it shall be well with you, and your life shall be spared. 21But if you refuse to surrender, this is the vision which the LORD has shown to me: 22Behold, all the women left in the house of the king of Judah were being led out to the officials of the king of Babylon and were saying,
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-“‘Your trusted friends have deceived you
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-and prevailed against you;
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-now that your feet are sunk in the mud,
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-they turn away from you.’
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-23All your wives and your sons shall be led out to the Chaldeans, and you yourself shall not escape from their hand, but shall be seized by the king of Babylon, and this city shall be burned with fire.”
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-24Then Zedekiah said to Jeremiah, “Let no one know of these words, and you shall not die. 25If the officials hear that I have spoken with you and come to you and say to you, ‘Tell us what you said to the king and what the king said to you; hide nothing from us and we will not put you to death,’ 26then you shall say to them, ‘I made a humble plea to the king that he would not send me back to the house of Jonathan to die there.’” 27Then all the officials came to Jeremiah and asked him, and he answered them as the king had instructed him. So they stopped speaking with him, for the conversation had not been overheard. 28And Jeremiah remained in the court of the guard until the day that Jerusalem was taken.
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-The Fall of Jerusalem
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-39:1 In the ninth year of Zedekiah king of Judah, in the tenth month, Nebuchadnezzar king of Babylon and all his army came against Jerusalem and besieged it. 2In the eleventh year of Zedekiah, in the fourth month, on the ninth day of the month, a breach was made in the city. 3Then all the officials of the king of Babylon came and sat in the middle gate: Nergal-sar-ezer, Samgar-nebu, Sar-sekim the Rab-saris, Nergal-sar-ezer the Rab-mag, with all the rest of the officers of the king of Babylon. 4When Zedekiah king of Judah and all the soldiers saw them, they fled, going out of the city at night by way of the king's garden through the gate between the two walls; and they went toward the Arabah. 5But the army of the Chaldeans pursued them and overtook Zedekiah in the plains of Jericho. And when they had taken him, they brought him up to Nebuchadnezzar king of Babylon, at Riblah, in the land of Hamath; and he passed sentence on him. 6The king of Babylon slaughtered the sons of Zedekiah at Riblah before his eyes, and the king of Babylon slaughtered all the nobles of Judah. 7He put out the eyes of Zedekiah and bound him in chains to take him to Babylon. 8The Chaldeans burned the king's house and the house of the people, and broke down the walls of Jerusalem. 9Then Nebuzaradan, the captain of the guard, carried into exile to Babylon the rest of the people who were left in the city, those who had deserted to him, and the people who remained. 10Nebuzaradan, the captain of the guard, left in the land of Judah some of the poor people who owned nothing, and gave them vineyards and fields at the same time.
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-The LORD Delivers Jeremiah
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-11Nebuchadnezzar king of Babylon gave command concerning Jeremiah through Nebuzaradan, the captain of the guard, saying, 12“Take him, look after him well, and do him no harm, but deal with him as he tells you.” 13So Nebuzaradan the captain of the guard, Nebushazban the Rab-saris, Nergal-sar-ezer the Rab-mag, and all the chief officers of the king of Babylon 14sent and took Jeremiah from the court of the guard. They entrusted him to Gedaliah the son of Ahikam, son of Shaphan, that he should take him home. So he lived among the people.
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-15The word of the LORD came to Jeremiah while he was shut up in the court of the guard: 16“Go, and say to Ebed-melech the Ethiopian, ‘Thus says the LORD of hosts, the God of Israel: Behold, I will fulfill my words against this city for harm and not for good, and they shall be accomplished before you on that day. 17But I will deliver you on that day, declares the LORD, and you shall not be given into the hand of the men of whom you are afraid. 18For I will surely save you, and you shall not fall by the sword, but you shall have your life as a prize of war, because you have put your trust in me, declares the LORD.’”
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-Jeremiah Remains in Judah
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-40:1 The word that came to Jeremiah from the LORD after Nebuzaradan the captain of the guard had let him go from Ramah, when he took him bound in chains along with all the captives of Jerusalem and Judah who were being exiled to Babylon. 2The captain of the guard took Jeremiah and said to him, “The LORD your God pronounced this disaster against this place. 3The LORD has brought it about, and has done as he said. Because you sinned against the LORD and did not obey his voice, this thing has come upon you. 4Now, behold, I release you today from the chains on your hands. If it seems good to you to come with me to Babylon, come, and I will look after you well, but if it seems wrong to you to come with me to Babylon, do not come. See, the whole land is before you; go wherever you think it good and right to go. 5If you remain,[46] then return to Gedaliah the son of Ahikam, son of Shaphan, whom the king of Babylon appointed governor of the cities of Judah, and dwell with him among the people. Or go wherever you think it right to go.” So the captain of the guard gave him an allowance of food and a present, and let him go. 6Then Jeremiah went to Gedaliah the son of Ahikam, at Mizpah, and lived with him among the people who were left in the land.
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-7When all the captains of the forces in the open country and their men heard that the king of Babylon had appointed Gedaliah the son of Ahikam governor in the land and had committed to him men, women, and children, those of the poorest of the land who had not been taken into exile to Babylon, 8they went to Gedaliah at Mizpah—Ishmael the son of Nethaniah, Johanan the son of Kareah, Seraiah the son of Tanhumeth, the sons of Ephai the Netophathite, Jezaniah the son of the Maacathite, they and their men. 9Gedaliah the son of Ahikam, son of Shaphan, swore to them and their men, saying, “Do not be afraid to serve the Chaldeans. Dwell in the land and serve the king of Babylon, and it shall be well with you. 10As for me, I will dwell at Mizpah, to represent you before the Chaldeans who will come to us. But as for you, gather wine and summer fruits and oil, and store them in your vessels, and dwell in your cities that you have taken.” 11Likewise, when all the Judeans who were in Moab and among the Ammonites and in Edom and in other lands heard that the king of Babylon had left a remnant in Judah and had appointed Gedaliah the son of Ahikam, son of Shaphan, as governor over them, 12then all the Judeans returned from all the places to which they had been driven and came to the land of Judah, to Gedaliah at Mizpah. And they gathered wine and summer fruits in great abundance.
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-13Now Johanan the son of Kareah and all the leaders of the forces in the open country came to Gedaliah at Mizpah 14and said to him, “Do you know that Baalis the king of the Ammonites has sent Ishmael the son of Nethaniah to take your life?” But Gedaliah the son of Ahikam would not believe them. 15Then Johanan the son of Kareah spoke secretly to Gedaliah at Mizpah, “Please let me go and strike down Ishmael the son of Nethaniah, and no one will know it. Why should he take your life, so that all the Judeans who are gathered about you would be scattered, and the remnant of Judah would perish?” 16But Gedaliah the son of Ahikam said to Johanan the son of Kareah, “You shall not do this thing, for you are speaking falsely of Ishmael.”
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-Gedaliah Murdered
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-41:1 In the seventh month, Ishmael the son of Nethaniah, son of Elishama, of the royal family, one of the chief officers of the king, came with ten men to Gedaliah the son of Ahikam, at Mizpah. As they ate bread together there at Mizpah, 2Ishmael the son of Nethaniah and the ten men with him rose up and struck down Gedaliah the son of Ahikam, son of Shaphan, with the sword, and killed him, whom the king of Babylon had appointed governor in the land. 3Ishmael also struck down all the Judeans who were with Gedaliah at Mizpah, and the Chaldean soldiers who happened to be there.
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-4On the day after the murder of Gedaliah, before anyone knew of it, 5eighty men arrived from Shechem and Shiloh and Samaria, with their beards shaved and their clothes torn, and their bodies gashed, bringing grain offerings and incense to present at the temple of the LORD. 6And Ishmael the son of Nethaniah came out from Mizpah to meet them, weeping as he came. As he met them, he said to them, “Come in to Gedaliah the son of Ahikam.” 7When they came into the city, Ishmael the son of Nethaniah and the men with him slaughtered them and cast them into a cistern. 8But there were ten men among them who said to Ishmael, “Do not put us to death, for we have stores of wheat, barley, oil, and honey hidden in the fields.” So he refrained and did not put them to death with their companions.
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-9Now the cistern into which Ishmael had thrown all the bodies of the men whom he had struck down along with[47] Gedaliah was the large cistern that King Asa had made for defense against Baasha king of Israel; Ishmael the son of Nethaniah filled it with the slain. 10Then Ishmael took captive all the rest of the people who were in Mizpah, the king's daughters and all the people who were left at Mizpah, whom Nebuzaradan, the captain of the guard, had committed to Gedaliah the son of Ahikam. Ishmael the son of Nethaniah took them captive and set out to cross over to the Ammonites.
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-11But when Johanan the son of Kareah and all the leaders of the forces with him heard of all the evil that Ishmael the son of Nethaniah had done, 12they took all their men and went to fight against Ishmael the son of Nethaniah. They came upon him at the great pool that is in Gibeon. 13And when all the people who were with Ishmael saw Johanan the son of Kareah and all the leaders of the forces with him, they rejoiced. 14So all the people whom Ishmael had carried away captive from Mizpah turned around and came back, and went to Johanan the son of Kareah. 15But Ishmael the son of Nethaniah escaped from Johanan with eight men, and went to the Ammonites. 16Then Johanan the son of Kareah and all the leaders of the forces with him took from Mizpah all the rest of the people whom he had recovered from Ishmael the son of Nethaniah, after he had struck down Gedaliah the son of Ahikam—soldiers, women, children, and eunuchs, whom Johanan brought back from Gibeon. 17And they went and stayed at Geruth Chimham near Bethlehem, intending to go to Egypt 18because of the Chaldeans. For they were afraid of them, because Ishmael the son of Nethaniah had struck down Gedaliah the son of Ahikam, whom the king of Babylon had made governor over the land.
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-Warning Against Going to Egypt
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-42:1 Then all the commanders of the forces, and Johanan the son of Kareah and Jezaniah the son of Hoshaiah, and all the people from the least to the greatest, came near 2and said to Jeremiah the prophet, “Let our plea for mercy come before you, and pray to the LORD your God for us, for all this remnant—because we are left with but a few, as your eyes see us— 3that the LORD your God may show us the way we should go, and the thing that we should do.” 4Jeremiah the prophet said to them, “I have heard you. Behold, I will pray to the LORD your God according to your request, and whatever the LORD answers you I will tell you. I will keep nothing back from you.” 5Then they said to Jeremiah, “May the LORD be a true and faithful witness against us if we do not act according to all the word with which the LORD your God sends you to us. 6Whether it is good or bad, we will obey the voice of the LORD our God to whom we are sending you, that it may be well with us when we obey the voice of the LORD our God.”
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-7At the end of ten days the word of the LORD came to Jeremiah. 8Then he summoned Johanan the son of Kareah and all the commanders of the forces who were with him, and all the people from the least to the greatest, 9and said to them, “Thus says the LORD, the God of Israel, to whom you sent me to present your plea for mercy before him: 10If you will remain in this land, then I will build you up and not pull you down; I will plant you, and not pluck you up; for I relent of the disaster that I did to you. 11Do not fear the king of Babylon, of whom you are afraid. Do not fear him, declares the LORD, for I am with you, to save you and to deliver you from his hand. 12I will grant you mercy, that he may have mercy on you and let you remain in your own land. 13But if you say, ‘We will not remain in this land,’ disobeying the voice of the LORD your God 14and saying, ‘No, we will go to the land of Egypt, where we shall not see war or hear the sound of the trumpet or be hungry for bread, and we will dwell there,’ 15then hear the word of the LORD, O remnant of Judah. Thus says the LORD of hosts, the God of Israel: If you set your faces to enter Egypt and go to live there, 16then the sword that you fear shall overtake you there in the land of Egypt, and the famine of which you are afraid shall follow close after you to Egypt, and there you shall die. 17All the men who set their faces to go to Egypt to live there shall die by the sword, by famine, and by pestilence. They shall have no remnant or survivor from the disaster that I will bring upon them.
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-18“For thus says the LORD of hosts, the God of Israel: As my anger and my wrath were poured out on the inhabitants of Jerusalem, so my wrath will be poured out on you when you go to Egypt. You shall become an execration, a horror, a curse, and a taunt. You shall see this place no more. 19The LORD has said to you, O remnant of Judah, ‘Do not go to Egypt.’ Know for a certainty that I have warned you this day 20that you have gone astray at the cost of your lives. For you sent me to the LORD your God, saying, ‘Pray for us to the LORD our God, and whatever the LORD our God says declare to us and we will do it.’ 21And I have this day declared it to you, but you have not obeyed the voice of the LORD your God in anything that he sent me to tell you. 22Now therefore know for a certainty that you shall die by the sword, by famine, and by pestilence in the place where you desire to go to live.”
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-Jeremiah Taken to Egypt
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-43:1 When Jeremiah finished speaking to all the people all these words of the LORD their God, with which the LORD their God had sent him to them, 2Azariah the son of Hoshaiah and Johanan the son of Kareah and all the insolent men said to Jeremiah, “You are telling a lie. The LORD our God did not send you to say, ‘Do not go to Egypt to live there,’ 3but Baruch the son of Neriah has set you against us, to deliver us into the hand of the Chaldeans, that they may kill us or take us into exile in Babylon.” 4So Johanan the son of Kareah and all the commanders of the forces and all the people did not obey the voice of the LORD, to remain in the land of Judah. 5But Johanan the son of Kareah and all the commanders of the forces took all the remnant of Judah who had returned to live in the land of Judah from all the nations to which they had been driven— 6the men, the women, the children, the princesses, and every person whom Nebuzaradan the captain of the guard had left with Gedaliah the son of Ahikam, son of Shaphan; also Jeremiah the prophet and Baruch the son of Neriah. 7And they came into the land of Egypt, for they did not obey the voice of the LORD. And they arrived at Tahpanhes.
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-8Then the word of the LORD came to Jeremiah in Tahpanhes: 9“Take in your hands large stones and hide them in the mortar in the pavement that is at the entrance to Pharaoh's palace in Tahpanhes, in the sight of the men of Judah, 10and say to them, ‘Thus says the LORD of hosts, the God of Israel: Behold, I will send and take Nebuchadnezzar the king of Babylon, my servant, and I will set his throne above these stones that I have hidden, and he will spread his royal canopy over them. 11He shall come and strike the land of Egypt, giving over to the pestilence those who are doomed to the pestilence, to captivity those who are doomed to captivity, and to the sword those who are doomed to the sword. 12I shall kindle a fire in the temples of the gods of Egypt, and he shall burn them and carry them away captive. And he shall clean the land of Egypt as a shepherd cleans his cloak of vermin, and he shall go away from there in peace. 13He shall break the obelisks of Heliopolis, which is in the land of Egypt, and the temples of the gods of Egypt he shall burn with fire.’”
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-Judgment for Idolatry
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-44:1 The word that came to Jeremiah concerning all the Judeans who lived in the land of Egypt, at Migdol, at Tahpanhes, at Memphis, and in the land of Pathros, 2“Thus says the LORD of hosts, the God of Israel: You have seen all the disaster that I brought upon Jerusalem and upon all the cities of Judah. Behold, this day they are a desolation, and no one dwells in them, 3because of the evil that they committed, provoking me to anger, in that they went to make offerings and serve other gods that they knew not, neither they, nor you, nor your fathers. 4Yet I persistently sent to you all my servants the prophets, saying, ‘Oh, do not do this abomination that I hate!’ 5But they did not listen or incline their ear, to turn from their evil and make no offerings to other gods. 6Therefore my wrath and my anger were poured out and kindled in the cities of Judah and in the streets of Jerusalem, and they became a waste and a desolation, as at this day. 7And now thus says the LORD God of hosts, the God of Israel: Why do you commit this great evil against yourselves, to cut off from you man and woman, infant and child, from the midst of Judah, leaving you no remnant? 8Why do you provoke me to anger with the works of your hands, making offerings to other gods in the land of Egypt where you have come to live, so that you may be cut off and become a curse and a taunt among all the nations of the earth? 9Have you forgotten the evil of your fathers, the evil of the kings of Judah, the evil of their[48] wives, your own evil, and the evil of your wives, which they committed in the land of Judah and in the streets of Jerusalem? 10They have not humbled themselves even to this day, nor have they feared, nor walked in my law and my statutes that I set before you and before your fathers.
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-11“Therefore thus says the LORD of hosts, the God of Israel: Behold, I will set my face against you for harm, to cut off all Judah. 12I will take the remnant of Judah who have set their faces to come to the land of Egypt to live, and they shall all be consumed. In the land of Egypt they shall fall; by the sword and by famine they shall be consumed. From the least to the greatest, they shall die by the sword and by famine, and they shall become an oath, a horror, a curse, and a taunt. 13I will punish those who dwell in the land of Egypt, as I have punished Jerusalem, with the sword, with famine, and with pestilence, 14so that none of the remnant of Judah who have come to live in the land of Egypt shall escape or survive or return to the land of Judah, to which they desire to return to dwell there. For they shall not return, except some fugitives.”
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-15Then all the men who knew that their wives had made offerings to other gods, and all the women who stood by, a great assembly, all the people who lived in Pathros in the land of Egypt, answered Jeremiah: 16“As for the word that you have spoken to us in the name of the LORD, we will not listen to you. 17But we will do everything that we have vowed, make offerings to the queen of heaven and pour out drink offerings to her, as we did, both we and our fathers, our kings and our officials, in the cities of Judah and in the streets of Jerusalem. For then we had plenty of food, and prospered, and saw no disaster. 18But since we left off making offerings to the queen of heaven and pouring out drink offerings to her, we have lacked everything and have been consumed by the sword and by famine.” 19And the women said,[49] “When we made offerings to the queen of heaven and poured out drink offerings to her, was it without our husbands' approval that we made cakes for her bearing her image and poured out drink offerings to her?”
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-20Then Jeremiah said to all the people, men and women, all the people who had given him this answer: 21“As for the offerings that you offered in the cities of Judah and in the streets of Jerusalem, you and your fathers, your kings and your officials, and the people of the land, did not the LORD remember them? Did it not come into his mind? 22The LORD could no longer bear your evil deeds and the abominations that you committed. Therefore your land has become a desolation and a waste and a curse, without inhabitant, as it is this day. 23It is because you made offerings and because you sinned against the LORD and did not obey the voice of the LORD or walk in his law and in his statutes and in his testimonies that this disaster has happened to you, as at this day.”
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-24Jeremiah said to all the people and all the women, “Hear the word of the LORD, all you of Judah who are in the land of Egypt. 25Thus says the LORD of hosts, the God of Israel: You and your wives have declared with your mouths, and have fulfilled it with your hands, saying, ‘We will surely perform our vows that we have made, to make offerings to the queen of heaven and to pour out drink offerings to her.’ Then confirm your vows and perform your vows! 26Therefore hear the word of the LORD, all you of Judah who dwell in the land of Egypt: Behold, I have sworn by my great name, says the LORD, that my name shall no more be invoked by the mouth of any man of Judah in all the land of Egypt, saying, ‘As the Lord GOD lives.’ 27Behold, I am watching over them for disaster and not for good. All the men of Judah who are in the land of Egypt shall be consumed by the sword and by famine, until there is an end of them. 28And those who escape the sword shall return from the land of Egypt to the land of Judah, few in number; and all the remnant of Judah, who came to the land of Egypt to live, shall know whose word will stand, mine or theirs. 29This shall be the sign to you, declares the LORD, that I will punish you in this place, in order that you may know that my words will surely stand against you for harm: 30Thus says the LORD, Behold, I will give Pharaoh Hophra king of Egypt into the hand of his enemies and into the hand of those who seek his life, as I gave Zedekiah king of Judah into the hand of Nebuchadnezzar king of Babylon, who was his enemy and sought his life.”
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-Message to Baruch
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-45:1 The word that Jeremiah the prophet spoke to Baruch the son of Neriah, when he wrote these words in a book at the dictation of Jeremiah, in the fourth year of Jehoiakim the son of Josiah, king of Judah: 2“Thus says the LORD, the God of Israel, to you, O Baruch: 3You said, ‘Woe is me! For the LORD has added sorrow to my pain. I am weary with my groaning, and I find no rest.’ 4Thus shall you say to him, Thus says the LORD: Behold, what I have built I am breaking down, and what I have planted I am plucking up—that is, the whole land. 5And do you seek great things for yourself? Seek them not, for behold, I am bringing disaster upon all flesh, declares the LORD. But I will give you your life as a prize of war in all places to which you may go.”
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-Judgment on Egypt
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-46:1 The word of the LORD that came to Jeremiah the prophet concerning the nations.
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-2About Egypt. Concerning the army of Pharaoh Neco, king of Egypt, which was by the river Euphrates at Carchemish and which Nebuchadnezzar king of Babylon defeated in the fourth year of Jehoiakim the son of Josiah, king of Judah:
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-3“Prepare buckler and shield,
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-and advance for battle!
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-4Harness the horses;
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-mount, O horsemen!
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-Take your stations with your helmets,
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-polish your spears,
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-put on your armor!
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-5Why have I seen it?
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-They are dismayed
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-and have turned backward.
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-Their warriors are beaten down
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-and have fled in haste;
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-they look not back—
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-terror on every side!
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-declares the LORD.
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-6“The swift cannot flee away,
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-nor the warrior escape;
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-in the north by the river Euphrates
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-they have stumbled and fallen.
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-7“Who is this, rising like the Nile,
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-like rivers whose waters surge?
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-8Egypt rises like the Nile,
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-like rivers whose waters surge.
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-He said, ‘I will rise, I will cover the earth,
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-I will destroy cities and their inhabitants.’
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-9Advance, O horses,
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-and rage, O chariots!
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-Let the warriors go out:
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-men of Cush and Put who handle the shield,
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-men of Lud, skilled in handling the bow.
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-10That day is the day of the Lord GOD of hosts,
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-a day of vengeance,
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-to avenge himself on his foes.
-
-The sword shall devour and be sated
-
-and drink its fill of their blood.
-
-For the Lord GOD of hosts holds a sacrifice
-
-in the north country by the river Euphrates.
-
-11Go up to Gilead, and take balm,
-
-O virgin daughter of Egypt!
-
-In vain you have used many medicines;
-
-there is no healing for you.
-
-12The nations have heard of your shame,
-
-and the earth is full of your cry;
-
-for warrior has stumbled against warrior;
-
-they have both fallen together.”
-
-13The word that the LORD spoke to Jeremiah the prophet about the coming of Nebuchadnezzar king of Babylon to strike the land of Egypt:
-
-14“Declare in Egypt, and proclaim in Migdol;
-
-proclaim in Memphis and Tahpanhes;
-
-say, ‘Stand ready and be prepared,
-
-for the sword shall devour around you.’
-
-15Why are your mighty ones face down?
-
-They do not stand[50]
-
-because the LORD thrust them down.
-
-16He made many stumble, and they fell,
-
-and they said one to another,
-
-‘Arise, and let us go back to our own people
-
-and to the land of our birth,
-
-because of the sword of the oppressor.’
-
-17Call the name of Pharaoh, king of Egypt,
-
-‘Noisy one who lets the hour go by.’
-
-18“As I live, declares the King,
-
-whose name is the LORD of hosts,
-
-like Tabor among the mountains
-
-and like Carmel by the sea, shall one come.
-
-19Prepare yourselves baggage for exile,
-
-O inhabitants of Egypt!
-
-For Memphis shall become a waste,
-
-a ruin, without inhabitant.
-
-20“A beautiful heifer is Egypt,
-
-but a biting fly from the north has come upon her.
-
-21Even her hired soldiers in her midst
-
-are like fattened calves;
-
-yes, they have turned and fled together;
-
-they did not stand,
-
-for the day of their calamity has come upon them,
-
-the time of their punishment.
-
-22“She makes a sound like a serpent gliding away;
-
-for her enemies march in force
-
-and come against her with axes
-
-like those who fell trees.
-
-23They shall cut down her forest,
-
-declares the LORD,
-
-though it is impenetrable,
-
-because they are more numerous than locusts;
-
-they are without number.
-
-24The daughter of Egypt shall be put to shame;
-
-she shall be delivered into the hand of a people from the north.”
-
-25The LORD of hosts, the God of Israel, said: “Behold, I am bringing punishment upon Amon of Thebes, and Pharaoh and Egypt and her gods and her kings, upon Pharaoh and those who trust in him. 26I will deliver them into the hand of those who seek their life, into the hand of Nebuchadnezzar king of Babylon and his officers. Afterward Egypt shall be inhabited as in the days of old, declares the LORD.
-
-27“But fear not, O Jacob my servant,
-
-nor be dismayed, O Israel,
-
-for behold, I will save you from far away,
-
-and your offspring from the land of their captivity.
-
-Jacob shall return and have quiet and ease,
-
-and none shall make him afraid.
-
-28Fear not, O Jacob my servant,
-
-declares the LORD,
-
-for I am with you.
-
-I will make a full end of all the nations
-
-to which I have driven you,
-
-but of you I will not make a full end.
-
-I will discipline you in just measure,
-
-and I will by no means leave you unpunished.”
-
-
-
-
-
-Judgment on the Philistines
-
-
-47:1 The word of the LORD that came to Jeremiah the prophet concerning the Philistines, before Pharaoh struck down Gaza.
-
-2“Thus says the LORD:
-
-Behold, waters are rising out of the north,
-
-and shall become an overflowing torrent;
-
-they shall overflow the land and all that fills it,
-
-the city and those who dwell in it.
-
-Men shall cry out,
-
-and every inhabitant of the land shall wail.
-
-3At the noise of the stamping of the hoofs of his stallions,
-
-at the rushing of his chariots, at the rumbling of their wheels,
-
-the fathers look not back to their children,
-
-so feeble are their hands,
-
-4because of the day that is coming to destroy
-
-all the Philistines,
-
-to cut off from Tyre and Sidon
-
-every helper that remains.
-
-For the LORD is destroying the Philistines,
-
-the remnant of the coastland of Caphtor.
-
-5Baldness has come upon Gaza;
-
-Ashkelon has perished.
-
-O remnant of their valley,
-
-how long will you gash yourselves?
-
-6Ah, sword of the LORD!
-
-How long till you are quiet?
-
-Put yourself into your scabbard;
-
-rest and be still!
-
-7How can it[51] be quiet
-
-when the LORD has given it a charge?
-
-Against Ashkelon and against the seashore
-
-he has appointed it.”
-
-
-
-
-
-Judgment on Moab
-
-
-48:1 Concerning Moab.
-
-Thus says the LORD of hosts, the God of Israel:
-
-“Woe to Nebo, for it is laid waste!
-
-Kiriathaim is put to shame, it is taken;
-
-the fortress is put to shame and broken down;
-
-2the renown of Moab is no more.
-
-In Heshbon they planned disaster against her:
-
-‘Come, let us cut her off from being a nation!’
-
-You also, O Madmen, shall be brought to silence;
-
-the sword shall pursue you.
-
-3“A voice! A cry from Horonaim,
-
-‘Desolation and great destruction!’
-
-4Moab is destroyed;
-
-her little ones have made a cry.
-
-5For at the ascent of Luhith
-
-they go up weeping;[52]
-
-for at the descent of Horonaim
-
-they have heard the distressed cry[53] of destruction.
-
-6Flee! Save yourselves!
-
-You will be like a juniper in the desert!
-
-7For, because you trusted in your works and your treasures,
-
-you also shall be taken;
-
-and Chemosh shall go into exile
-
-with his priests and his officials.
-
-8The destroyer shall come upon every city,
-
-and no city shall escape;
-
-the valley shall perish,
-
-and the plain shall be destroyed,
-
-as the LORD has spoken.
-
-9“Give wings to Moab,
-
-for she would fly away;
-
-her cities shall become a desolation,
-
-with no inhabitant in them.
-
-10“Cursed is he who does the work of the LORD with slackness, and cursed is he who keeps back his sword from bloodshed.
-
-11“Moab has been at ease from his youth
-
-and has settled on his dregs;
-
-he has not been emptied from vessel to vessel,
-
-nor has he gone into exile;
-
-so his taste remains in him,
-
-and his scent is not changed.
-
-12“Therefore, behold, the days are coming, declares the LORD, when I shall send to him pourers who will pour him, and empty his vessels and break his[54] jars in pieces. 13Then Moab shall be ashamed of Chemosh, as the house of Israel was ashamed of Bethel, their confidence.
-
-14“How do you say, ‘We are heroes
-
-and mighty men of war’?
-
-15The destroyer of Moab and his cities has come up,
-
-and the choicest of his young men have gone down to slaughter,
-
-declares the King, whose name is the LORD of hosts.
-
-16The calamity of Moab is near at hand,
-
-and his affliction hastens swiftly.
-
-17Grieve for him, all you who are around him,
-
-and all who know his name;
-
-say, ‘How the mighty scepter is broken,
-
-the glorious staff.’
-
-18“Come down from your glory,
-
-and sit on the parched ground,
-
-O inhabitant of Dibon!
-
-For the destroyer of Moab has come up against you;
-
-he has destroyed your strongholds.
-
-19Stand by the way and watch,
-
-O inhabitant of Aroer!
-
-Ask him who flees and her who escapes;
-
-say, ‘What has happened?’
-
-20Moab is put to shame, for it is broken;
-
-wail and cry!
-
-Tell it beside the Arnon,
-
-that Moab is laid waste.
-
-21“Judgment has come upon the tableland, upon Holon, and Jahzah, and Mephaath, 22and Dibon, and Nebo, and Beth-diblathaim, 23and Kiriathaim, and Beth-gamul, and Beth-meon, 24and Kerioth, and Bozrah, and all the cities of the land of Moab, far and near. 25The horn of Moab is cut off, and his arm is broken, declares the LORD.
-
-26“Make him drunk, because he magnified himself against the LORD, so that Moab shall wallow in his vomit, and he too shall be held in derision. 27Was not Israel a derision to you? Was he found among thieves, that whenever you spoke of him you wagged your head?
-
-28“Leave the cities, and dwell in the rock,
-
-O inhabitants of Moab!
-
-Be like the dove that nests
-
-in the sides of the mouth of a gorge.
-
-29We have heard of the pride of Moab—
-
-he is very proud—
-
-of his loftiness, his pride, and his arrogance,
-
-and the haughtiness of his heart.
-
-30I know his insolence, declares the LORD;
-
-his boasts are false,
-
-his deeds are false.
-
-31Therefore I wail for Moab;
-
-I cry out for all Moab;
-
-for the men of Kir-hareseth I mourn.
-
-32More than for Jazer I weep for you,
-
-O vine of Sibmah!
-
-Your branches passed over the sea,
-
-reached to the Sea of Jazer;
-
-on your summer fruits and your grapes
-
-the destroyer has fallen.
-
-33Gladness and joy have been taken away
-
-from the fruitful land of Moab;
-
-I have made the wine cease from the winepresses;
-
-no one treads them with shouts of joy;
-
-the shouting is not the shout of joy.
-
-34“From the outcry at Heshbon even to Elealeh, as far as Jahaz they utter their voice, from Zoar to Horonaim and Eglath-shelishiyah. For the waters of Nimrim also have become desolate. 35And I will bring to an end in Moab, declares the LORD, him who offers sacrifice in the high place and makes offerings to his god. 36Therefore my heart moans for Moab like a flute, and my heart moans like a flute for the men of Kir-hareseth. Therefore the riches they gained have perished.
-
-37“For every head is shaved and every beard cut off. On all the hands are gashes, and around the waist is sackcloth. 38On all the housetops of Moab and in the squares there is nothing but lamentation, for I have broken Moab like a vessel for which no one cares, declares the LORD. 39How it is broken! How they wail! How Moab has turned his back in shame! So Moab has become a derision and a horror to all that are around him.”
-
-40For thus says the LORD:
-
-“Behold, one shall fly swiftly like an eagle
-
-and spread his wings against Moab;
-
-41the cities shall be taken
-
-and the strongholds seized.
-
-The heart of the warriors of Moab shall be in that day
-
-like the heart of a woman in her birth pains;
-
-42Moab shall be destroyed and be no longer a people,
-
-because he magnified himself against the LORD.
-
-43Terror, pit, and snare
-
-are before you, O inhabitant of Moab!
-
-declares the LORD.
-
-44He who flees from the terror
-
-shall fall into the pit,
-
-and he who climbs out of the pit
-
-shall be caught in the snare.
-
-For I will bring these things upon Moab,
-
-the year of their punishment,
-
-declares the LORD.
-
-45“In the shadow of Heshbon
-
-fugitives stop without strength,
-
-for fire came out from Heshbon,
-
-flame from the house of Sihon;
-
-it has destroyed the forehead of Moab,
-
-the crown of the sons of tumult.
-
-46Woe to you, O Moab!
-
-The people of Chemosh are undone,
-
-for your sons have been taken captive,
-
-and your daughters into captivity.
-
-47Yet I will restore the fortunes of Moab
-
-in the latter days, declares the LORD.”
-
-Thus far is the judgment on Moab.
-
-
-
-
-
-Judgment on Ammon
-
-
-49:1 Concerning the Ammonites.
-
-Thus says the LORD:
-
-“Has Israel no sons?
-
-Has he no heir?
-
-Why then has Milcom dispossessed Gad,
-
-and his people settled in its cities?
-
-2Therefore, behold, the days are coming,
-
-declares the LORD,
-
-when I will cause the battle cry to be heard
-
-against Rabbah of the Ammonites;
-
-it shall become a desolate mound,
-
-and its villages shall be burned with fire;
-
-then Israel shall dispossess those who dispossessed him,
-
-says the LORD.
-
-3“Wail, O Heshbon, for Ai is laid waste!
-
-Cry out, O daughters of Rabbah!
-
-Put on sackcloth,
-
-lament, and run to and fro among the hedges!
-
-For Milcom shall go into exile,
-
-with his priests and his officials.
-
-4Why do you boast of your valleys,[55]
-
-O faithless daughter,
-
-who trusted in her treasures, saying,
-
-‘Who will come against me?’
-
-5Behold, I will bring terror upon you,
-
-declares the Lord GOD of hosts,
-
-from all who are around you,
-
-and you shall be driven out, every man straight before him,
-
-with none to gather the fugitives.
-
-6“But afterward I will restore the fortunes of the Ammonites, declares the LORD.”
-
-
-
-
-
-Judgment on Edom
-
-
-7Concerning Edom.
-
-Thus says the LORD of hosts:
-
-“Is wisdom no more in Teman?
-
-Has counsel perished from the prudent?
-
-Has their wisdom vanished?
-
-8Flee, turn back, dwell in the depths,
-
-O inhabitants of Dedan!
-
-For I will bring the calamity of Esau upon him,
-
-the time when I punish him.
-
-9If grape-gatherers came to you,
-
-would they not leave gleanings?
-
-If thieves came by night,
-
-would they not destroy only enough for themselves?
-
-10But I have stripped Esau bare;
-
-I have uncovered his hiding places,
-
-and he is not able to conceal himself.
-
-His children are destroyed, and his brothers,
-
-and his neighbors; and he is no more.
-
-11Leave your fatherless children; I will keep them alive;
-
-and let your widows trust in me.”
-
-12For thus says the LORD: “If those who did not deserve to drink the cup must drink it, will you go unpunished? You shall not go unpunished, but you must drink. 13For I have sworn by myself, declares the LORD, that Bozrah shall become a horror, a taunt, a waste, and a curse, and all her cities shall be perpetual wastes.”
-
-14I have heard a message from the LORD,
-
-and an envoy has been sent among the nations:
-
-“Gather yourselves together and come against her,
-
-and rise up for battle!
-
-15For behold, I will make you small among the nations,
-
-despised among mankind.
-
-16The horror you inspire has deceived you,
-
-and the pride of your heart,
-
-you who live in the clefts of the rock,[56]
-
-who hold the height of the hill.
-
-Though you make your nest as high as the eagle's,
-
-I will bring you down from there,
-
-declares the LORD.
-
-17“Edom shall become a horror. Everyone who passes by it will be horrified and will hiss because of all its disasters. 18As when Sodom and Gomorrah and their neighboring cities were overthrown, says the LORD, no man shall dwell there, no man shall sojourn in her. 19Behold, like a lion coming up from the jungle of the Jordan against a perennial pasture, I will suddenly make him[57] run away from her. And I will appoint over her whomever I choose. For who is like me? Who will summon me? What shepherd can stand before me? 20Therefore hear the plan that the LORD has made against Edom and the purposes that he has formed against the inhabitants of Teman: Even the little ones of the flock shall be dragged away. Surely their fold shall be appalled at their fate. 21At the sound of their fall the earth shall tremble; the sound of their cry shall be heard at the Red Sea. 22Behold, one shall mount up and fly swiftly like an eagle and spread his wings against Bozrah, and the heart of the warriors of Edom shall be in that day like the heart of a woman in her birth pains.”
-
-
-
-
-
-Judgment on Damascus
-
-
-23Concerning Damascus:
-
-“Hamath and Arpad are confounded,
-
-for they have heard bad news;
-
-they melt in fear,
-
-they are troubled like the sea that cannot be quiet.
-
-24Damascus has become feeble, she turned to flee,
-
-and panic seized her;
-
-anguish and sorrows have taken hold of her,
-
-as of a woman in labor.
-
-25How is the famous city not forsaken,
-
-the city of my joy?
-
-26Therefore her young men shall fall in her squares,
-
-and all her soldiers shall be destroyed in that day,
-
-declares the LORD of hosts.
-
-27And I will kindle a fire in the wall of Damascus,
-
-and it shall devour the strongholds of Ben-hadad.”
-
-
-
-
-
-Judgment on Kedar and Hazor
-
-
-28Concerning Kedar and the kingdoms of Hazor that Nebuchadnezzar king of Babylon struck down.
-
-Thus says the LORD:
-
-“Rise up, advance against Kedar!
-
-Destroy the people of the east!
-
-29Their tents and their flocks shall be taken,
-
-their curtains and all their goods;
-
-their camels shall be led away from them,
-
-and men shall cry to them: ‘Terror on every side!’
-
-30Flee, wander far away, dwell in the depths,
-
-O inhabitants of Hazor!
-
-declares the LORD.
-
-For Nebuchadnezzar king of Babylon
-
-has made a plan against you
-
-and formed a purpose against you.
-
-31“Rise up, advance against a nation at ease,
-
-that dwells securely,
-
-declares the LORD,
-
-that has no gates or bars,
-
-that dwells alone.
-
-32Their camels shall become plunder,
-
-their herds of livestock a spoil.
-
-I will scatter to every wind
-
-those who cut the corners of their hair,
-
-and I will bring their calamity
-
-from every side of them,
-
-declares the LORD.
-
-33Hazor shall become a haunt of jackals,
-
-an everlasting waste;
-
-no man shall dwell there;
-
-no man shall sojourn in her.”
-
-
-
-
-
-Judgment on Elam
-
-
-34The word of the LORD that came to Jeremiah the prophet concerning Elam, in the beginning of the reign of Zedekiah king of Judah.
-
-35Thus says the LORD of hosts: “Behold, I will break the bow of Elam, the mainstay of their might. 36And I will bring upon Elam the four winds from the four quarters of heaven. And I will scatter them to all those winds, and there shall be no nation to which those driven out of Elam shall not come. 37I will terrify Elam before their enemies and before those who seek their life. I will bring disaster upon them, my fierce anger, declares the LORD. I will send the sword after them, until I have consumed them, 38and I will set my throne in Elam and destroy their king and officials, declares the LORD.
-
-39“But in the latter days I will restore the fortunes of Elam, declares the LORD.”
-
-
-
-
-
-Judgment on Babylon
-
-
-50:1 The word that the LORD spoke concerning Babylon, concerning the land of the Chaldeans, by Jeremiah the prophet:
-
-2“Declare among the nations and proclaim,
-
-set up a banner and proclaim,
-
-conceal it not, and say:
-
-‘Babylon is taken,
-
-Bel is put to shame,
-
-Merodach is dismayed.
-
-Her images are put to shame,
-
-her idols are dismayed.’
-
-3“For out of the north a nation has come up against her, which shall make her land a desolation, and none shall dwell in it; both man and beast shall flee away.
-
-4“In those days and in that time, declares the LORD, the people of Israel and the people of Judah shall come together, weeping as they come, and they shall seek the LORD their God. 5They shall ask the way to Zion, with faces turned toward it, saying, ‘Come, let us join ourselves to the LORD in an everlasting covenant that will never be forgotten.’
-
-6“My people have been lost sheep. Their shepherds have led them astray, turning them away on the mountains. From mountain to hill they have gone. They have forgotten their fold. 7All who found them have devoured them, and their enemies have said, ‘We are not guilty, for they have sinned against the LORD, their habitation of righteousness, the LORD, the hope of their fathers.’
-
-8“Flee from the midst of Babylon, and go out of the land of the Chaldeans, and be as male goats before the flock. 9For behold, I am stirring up and bringing against Babylon a gathering of great nations, from the north country. And they shall array themselves against her. From there she shall be taken. Their arrows are like a skilled warrior who does not return empty-handed. 10Chaldea shall be plundered; all who plunder her shall be sated, declares the LORD.
-
-11“Though you rejoice, though you exult,
-
-O plunderers of my heritage,
-
-though you frolic like a heifer in the pasture,
-
-and neigh like stallions,
-
-12your mother shall be utterly shamed,
-
-and she who bore you shall be disgraced.
-
-Behold, she shall be the last of the nations,
-
-a wilderness, a dry land, and a desert.
-
-13Because of the wrath of the LORD she shall not be inhabited
-
-but shall be an utter desolation;
-
-everyone who passes by Babylon shall be appalled,
-
-and hiss because of all her wounds.
-
-14Set yourselves in array against Babylon all around,
-
-all you who bend the bow;
-
-shoot at her, spare no arrows,
-
-for she has sinned against the LORD.
-
-15Raise a shout against her all around;
-
-she has surrendered;
-
-her bulwarks have fallen;
-
-her walls are thrown down.
-
-For this is the vengeance of the LORD:
-
-take vengeance on her;
-
-do to her as she has done.
-
-16Cut off from Babylon the sower,
-
-and the one who handles the sickle in time of harvest;
-
-because of the sword of the oppressor,
-
-every one shall turn to his own people,
-
-and every one shall flee to his own land.
-
-17“Israel is a hunted sheep driven away by lions. First the king of Assyria devoured him, and now at last Nebuchadnezzar king of Babylon has gnawed his bones. 18Therefore, thus says the LORD of hosts, the God of Israel: Behold, I am bringing punishment on the king of Babylon and his land, as I punished the king of Assyria. 19I will restore Israel to his pasture, and he shall feed on Carmel and in Bashan, and his desire shall be satisfied on the hills of Ephraim and in Gilead. 20In those days and in that time, declares the LORD, iniquity shall be sought in Israel, and there shall be none, and sin in Judah, and none shall be found, for I will pardon those whom I leave as a remnant.
-
-21“Go up against the land of Merathaim,[58]
-
-and against the inhabitants of Pekod.[59]
-
-Kill, and devote them to destruction,[60]
-
-declares the LORD,
-
-and do all that I have commanded you.
-
-22The noise of battle is in the land,
-
-and great destruction!
-
-23How the hammer of the whole earth
-
-is cut down and broken!
-
-How Babylon has become
-
-a horror among the nations!
-
-24I set a snare for you and you were taken, O Babylon,
-
-and you did not know it;
-
-you were found and caught,
-
-because you opposed the LORD.
-
-25The LORD has opened his armory
-
-and brought out the weapons of his wrath,
-
-for the Lord GOD of hosts has a work to do
-
-in the land of the Chaldeans.
-
-26Come against her from every quarter;
-
-open her granaries;
-
-pile her up like heaps of grain, and devote her to destruction;
-
-let nothing be left of her.
-
-27Kill all her bulls;
-
-let them go down to the slaughter.
-
-Woe to them, for their day has come,
-
-the time of their punishment.
-
-28“A voice! They flee and escape from the land of Babylon, to declare in Zion the vengeance of the LORD our God, vengeance for his temple.
-
-29“Summon archers against Babylon, all those who bend the bow. Encamp around her; let no one escape. Repay her according to her deeds; do to her according to all that she has done. For she has proudly defied the LORD, the Holy One of Israel. 30Therefore her young men shall fall in her squares, and all her soldiers shall be destroyed on that day, declares the LORD.
-
-31“Behold, I am against you, O proud one,
-
-declares the Lord GOD of hosts,
-
-for your day has come,
-
-the time when I will punish you.
-
-32The proud one shall stumble and fall,
-
-with none to raise him up,
-
-and I will kindle a fire in his cities,
-
-and it will devour all that is around him.
-
-33“Thus says the LORD of hosts: The people of Israel are oppressed, and the people of Judah with them. All who took them captive have held them fast; they refuse to let them go. 34Their Redeemer is strong; the LORD of hosts is his name. He will surely plead their cause, that he may give rest to the earth, but unrest to the inhabitants of Babylon.
-
-35“A sword against the Chaldeans, declares the LORD,
-
-and against the inhabitants of Babylon,
-
-and against her officials and her wise men!
-
-36A sword against the diviners,
-
-that they may become fools!
-
-A sword against her warriors,
-
-that they may be destroyed!
-
-37A sword against her horses and against her chariots,
-
-and against all the foreign troops in her midst,
-
-that they may become women!
-
-A sword against all her treasures,
-
-that they may be plundered!
-
-38A drought against her waters,
-
-that they may be dried up!
-
-For it is a land of images,
-
-and they are mad over idols.
-
-39“Therefore wild beasts shall dwell with hyenas in Babylon, and ostriches shall dwell in her. She shall never again have people, nor be inhabited for all generations. 40As when God overthrew Sodom and Gomorrah and their neighboring cities, declares the LORD, so no man shall dwell there, and no son of man shall sojourn in her.
-
-41“Behold, a people comes from the north;
-
-a mighty nation and many kings
-
-are stirring from the farthest parts of the earth.
-
-42They lay hold of bow and spear;
-
-they are cruel and have no mercy.
-
-The sound of them is like the roaring of the sea;
-
-they ride on horses,
-
-arrayed as a man for battle
-
-against you, O daughter of Babylon!
-
-43“The king of Babylon heard the report of them,
-
-and his hands fell helpless;
-
-anguish seized him,
-
-pain as of a woman in labor.
-
-44“Behold, like a lion coming up from the thicket of the Jordan against a perennial pasture, I will suddenly make them run away from her, and I will appoint over her whomever I choose. For who is like me? Who will summon me? What shepherd can stand before me? 45Therefore hear the plan that the LORD has made against Babylon, and the purposes that he has formed against the land of the Chaldeans: Surely the little ones of their flock shall be dragged away; surely their fold shall be appalled at their fate. 46At the sound of the capture of Babylon the earth shall tremble, and her cry shall be heard among the nations.”
-
-
-
-
-
-The Utter Destruction of Babylon
-
-
-51:1 Thus says the LORD:
-
-“Behold, I will stir up the spirit of a destroyer
-
-against Babylon,
-
-against the inhabitants of Leb-kamai,[61]
-
-2and I will send to Babylon winnowers,
-
-and they shall winnow her,
-
-and they shall empty her land,
-
-when they come against her from every side
-
-on the day of trouble.
-
-3Let not the archer bend his bow,
-
-and let him not stand up in his armor.
-
-Spare not her young men;
-
-devote to destruction[62] all her army.
-
-4They shall fall down slain in the land of the Chaldeans,
-
-and wounded in her streets.
-
-5For Israel and Judah have not been forsaken
-
-by their God, the LORD of hosts,
-
-but the land of the Chaldeans[63] is full of guilt
-
-against the Holy One of Israel.
-
-6“Flee from the midst of Babylon;
-
-let every one save his life!
-
-Be not cut off in her punishment,
-
-for this is the time of the LORD's vengeance,
-
-the repayment he is rendering her.
-
-7Babylon was a golden cup in the LORD's hand,
-
-making all the earth drunken;
-
-the nations drank of her wine;
-
-therefore the nations went mad.
-
-8Suddenly Babylon has fallen and been broken;
-
-wail for her!
-
-Take balm for her pain;
-
-perhaps she may be healed.
-
-9We would have healed Babylon,
-
-but she was not healed.
-
-Forsake her, and let us go
-
-each to his own country,
-
-for her judgment has reached up to heaven
-
-and has been lifted up even to the skies.
-
-10The LORD has brought about our vindication;
-
-come, let us declare in Zion
-
-the work of the LORD our God.
-
-11“Sharpen the arrows!
-
-Take up the shields!
-
-The LORD has stirred up the spirit of the kings of the Medes, because his purpose concerning Babylon is to destroy it, for that is the vengeance of the LORD, the vengeance for his temple.
-
-12“Set up a standard against the walls of Babylon;
-
-make the watch strong;
-
-set up watchmen;
-
-prepare the ambushes;
-
-for the LORD has both planned and done
-
-what he spoke concerning the inhabitants of Babylon.
-
-13O you who dwell by many waters,
-
-rich in treasures,
-
-your end has come;
-
-the thread of your life is cut.
-
-14The LORD of hosts has sworn by himself:
-
-Surely I will fill you with men, as many as locusts,
-
-and they shall raise the shout of victory over you.
-
-15“It is he who made the earth by his power,
-
-who established the world by his wisdom,
-
-and by his understanding stretched out the heavens.
-
-16When he utters his voice there is a tumult of waters in the heavens,
-
-and he makes the mist rise from the ends of the earth.
-
-He makes lightning for the rain,
-
-and he brings forth the wind from his storehouses.
-
-17Every man is stupid and without knowledge;
-
-every goldsmith is put to shame by his idols,
-
-for his images are false,
-
-and there is no breath in them.
-
-18They are worthless, a work of delusion;
-
-at the time of their punishment they shall perish.
-
-19Not like these is he who is the portion of Jacob,
-
-for he is the one who formed all things,
-
-and Israel is the tribe of his inheritance;
-
-the LORD of hosts is his name.
-
-20“You are my hammer and weapon of war:
-
-with you I break nations in pieces;
-
-with you I destroy kingdoms;
-
-21with you I break in pieces the horse and his rider;
-
-with you I break in pieces the chariot and the charioteer;
-
-22with you I break in pieces man and woman;
-
-with you I break in pieces the old man and the youth;
-
-with you I break in pieces the young man and the young woman;
-
-23with you I break in pieces the shepherd and his flock;
-
-with you I break in pieces the farmer and his team;
-
-with you I break in pieces governors and commanders.
-
-24“I will repay Babylon and all the inhabitants of Chaldea before your very eyes for all the evil that they have done in Zion, declares the LORD.
-
-25“Behold, I am against you, O destroying mountain,
-
-declares the LORD,
-
-which destroys the whole earth;
-
-I will stretch out my hand against you,
-
-and roll you down from the crags,
-
-and make you a burnt mountain.
-
-26No stone shall be taken from you for a corner
-
-and no stone for a foundation,
-
-but you shall be a perpetual waste,
-
-declares the LORD.
-
-27“Set up a standard on the earth;
-
-blow the trumpet among the nations;
-
-prepare the nations for war against her;
-
-summon against her the kingdoms,
-
-Ararat, Minni, and Ashkenaz;
-
-appoint a marshal against her;
-
-bring up horses like bristling locusts.
-
-28Prepare the nations for war against her,
-
-the kings of the Medes, with their governors and deputies,
-
-and every land under their dominion.
-
-29The land trembles and writhes in pain,
-
-for the LORD's purposes against Babylon stand,
-
-to make the land of Babylon a desolation,
-
-without inhabitant.
-
-30The warriors of Babylon have ceased fighting;
-
-they remain in their strongholds;
-
-their strength has failed;
-
-they have become women;
-
-her dwellings are on fire;
-
-her bars are broken.
-
-31One runner runs to meet another,
-
-and one messenger to meet another,
-
-to tell the king of Babylon
-
-that his city is taken on every side;
-
-32the fords have been seized,
-
-the marshes are burned with fire,
-
-and the soldiers are in panic.
-
-33For thus says the LORD of hosts, the God of Israel:
-
-The daughter of Babylon is like a threshing floor
-
-at the time when it is trodden;
-
-yet a little while
-
-and the time of her harvest will come.”
-
-34“Nebuchadnezzar the king of Babylon has devoured me;
-
-he has crushed me;
-
-he has made me an empty vessel;
-
-he has swallowed me like a monster;
-
-he has filled his stomach with my delicacies;
-
-he has rinsed me out.[64]
-
-35The violence done to me and to my kinsmen be upon Babylon,”
-
-let the inhabitant of Zion say.
-
-“My blood be upon the inhabitants of Chaldea,”
-
-let Jerusalem say.
-
-36Therefore thus says the LORD:
-
-“Behold, I will plead your cause
-
-and take vengeance for you.
-
-I will dry up her sea
-
-and make her fountain dry,
-
-37and Babylon shall become a heap of ruins,
-
-the haunt of jackals,
-
-a horror and a hissing,
-
-without inhabitant.
-
-38“They shall roar together like lions;
-
-they shall growl like lions' cubs.
-
-39While they are inflamed I will prepare them a feast
-
-and make them drunk, that they may become merry,
-
-then sleep a perpetual sleep
-
-and not wake, declares the LORD.
-
-40I will bring them down like lambs to the slaughter,
-
-like rams and male goats.
-
-41“How Babylon[65] is taken,
-
-the praise of the whole earth seized!
-
-How Babylon has become
-
-a horror among the nations!
-
-42The sea has come up on Babylon;
-
-she is covered with its tumultuous waves.
-
-43Her cities have become a horror,
-
-a land of drought and a desert,
-
-a land in which no one dwells,
-
-and through which no son of man passes.
-
-44And I will punish Bel in Babylon,
-
-and take out of his mouth what he has swallowed.
-
-The nations shall no longer flow to him;
-
-the wall of Babylon has fallen.
-
-45“Go out of the midst of her, my people!
-
-Let every one save his life
-
-from the fierce anger of the LORD!
-
-46Let not your heart faint, and be not fearful
-
-at the report heard in the land,
-
-when a report comes in one year
-
-and afterward a report in another year,
-
-and violence is in the land,
-
-and ruler is against ruler.
-
-47“Therefore, behold, the days are coming
-
-when I will punish the images of Babylon;
-
-her whole land shall be put to shame,
-
-and all her slain shall fall in the midst of her.
-
-48Then the heavens and the earth,
-
-and all that is in them,
-
-shall sing for joy over Babylon,
-
-for the destroyers shall come against them out of the north,
-
-declares the LORD.
-
-49Babylon must fall for the slain of Israel,
-
-just as for Babylon have fallen the slain of all the earth.
-
-50“You who have escaped from the sword,
-
-go, do not stand still!
-
-Remember the LORD from far away,
-
-and let Jerusalem come into your mind:
-
-51‘We are put to shame, for we have heard reproach;
-
-dishonor has covered our face,
-
-for foreigners have come
-
-into the holy places of the LORD's house.’
-
-52“Therefore, behold, the days are coming, declares the LORD,
-
-when I will execute judgment upon her images,
-
-and through all her land
-
-the wounded shall groan.
-
-53Though Babylon should mount up to heaven,
-
-and though she should fortify her strong height,
-
-yet destroyers would come from me against her,
-
-declares the LORD.
-
-54“A voice! A cry from Babylon!
-
-The noise of great destruction from the land of the Chaldeans!
-
-55For the LORD is laying Babylon waste
-
-and stilling her mighty voice.
-
-Their waves roar like many waters;
-
-the noise of their voice is raised,
-
-56for a destroyer has come upon her,
-
-upon Babylon;
-
-her warriors are taken;
-
-their bows are broken in pieces,
-
-for the LORD is a God of recompense;
-
-he will surely repay.
-
-57I will make drunk her officials and her wise men,
-
-her governors, her commanders, and her warriors;
-
-they shall sleep a perpetual sleep and not wake,
-
-declares the King, whose name is the LORD of hosts.
-
-58“Thus says the LORD of hosts:
-
-The broad wall of Babylon
-
-shall be leveled to the ground,
-
-and her high gates
-
-shall be burned with fire.
-
-The peoples labor for nothing,
-
-and the nations weary themselves only for fire.”
-
-59The word that Jeremiah the prophet commanded Seraiah the son of Neriah, son of Mahseiah, when he went with Zedekiah king of Judah to Babylon, in the fourth year of his reign. Seraiah was the quartermaster. 60Jeremiah wrote in a book all the disaster that should come upon Babylon, all these words that are written concerning Babylon. 61And Jeremiah said to Seraiah: “When you come to Babylon, see that you read all these words, 62and say, ‘O LORD, you have said concerning this place that you will cut it off, so that nothing shall dwell in it, neither man nor beast, and it shall be desolate forever.’ 63When you finish reading this book, tie a stone to it and cast it into the midst of the Euphrates, 64and say, ‘Thus shall Babylon sink, to rise no more, because of the disaster that I am bringing upon her, and they shall become exhausted.’”
-
-Thus far are the words of Jeremiah.
-
-
-
-
-
-The Fall of Jerusalem Recounted
-
-
-52:1 Zedekiah was twenty-one years old when he became king; and he reigned eleven years in Jerusalem. His mother's name was Hamutal the daughter of Jeremiah of Libnah. 2And he did what was evil in the sight of the LORD, according to all that Jehoiakim had done. 3For because of the anger of the LORD things came to the point in Jerusalem and Judah that he cast them out from his presence.
-
-And Zedekiah rebelled against the king of Babylon. 4And in the ninth year of his reign, in the tenth month, on the tenth day of the month, Nebuchadnezzar king of Babylon came with all his army against Jerusalem, and laid siege to it. And they built siegeworks all around it. 5So the city was besieged till the eleventh year of King Zedekiah. 6On the ninth day of the fourth month the famine was so severe in the city that there was no food for the people of the land. 7Then a breach was made in the city, and all the men of war fled and went out from the city by night by the way of a gate between the two walls, by the king's garden, while the Chaldeans were around the city. And they went in the direction of the Arabah. 8But the army of the Chaldeans pursued the king and overtook Zedekiah in the plains of Jericho. And all his army was scattered from him. 9Then they captured the king and brought him up to the king of Babylon at Riblah in the land of Hamath, and he passed sentence on him. 10The king of Babylon slaughtered the sons of Zedekiah before his eyes, and also slaughtered all the officials of Judah at Riblah. 11He put out the eyes of Zedekiah, and bound him in chains, and the king of Babylon took him to Babylon, and put him in prison till the day of his death.
-
-
-
-
-
-The Temple Burned
-
-
-12In the fifth month, on the tenth day of the month—that was the nineteenth year of King Nebuchadnezzar, king of Babylon—Nebuzaradan the captain of the bodyguard, who served the king of Babylon, entered Jerusalem. 13And he burned the house of the LORD, and the king's house and all the houses of Jerusalem; every great house he burned down. 14And all the army of the Chaldeans, who were with the captain of the guard, broke down all the walls around Jerusalem. 15And Nebuzaradan the captain of the guard carried away captive some of the poorest of the people and the rest of the people who were left in the city and the deserters who had deserted to the king of Babylon, together with the rest of the artisans. 16But Nebuzaradan the captain of the guard left some of the poorest of the land to be vinedressers and plowmen.
-
-17And the pillars of bronze that were in the house of the LORD, and the stands and the bronze sea that were in the house of the LORD, the Chaldeans broke in pieces, and carried all the bronze to Babylon. 18And they took away the pots and the shovels and the snuffers and the basins and the dishes for incense and all the vessels of bronze used in the temple service; 19also the small bowls and the fire pans and the basins and the pots and the lampstands and the dishes for incense and the bowls for drink offerings. What was of gold the captain of the guard took away as gold, and what was of silver, as silver. 20As for the two pillars, the one sea, the twelve bronze bulls that were under the sea,[66] and the stands, which Solomon the king had made for the house of the LORD, the bronze of all these things was beyond weight. 21As for the pillars, the height of the one pillar was eighteen cubits,[67] its circumference was twelve cubits, and its thickness was four fingers, and it was hollow. 22On it was a capital of bronze. The height of the one capital was five cubits. A network and pomegranates, all of bronze, were around the capital. And the second pillar had the same, with pomegranates. 23There were ninety-six pomegranates on the sides; all the pomegranates were a hundred upon the network all around.
-
-
-
-
-
-The People Exiled to Babylon
-
-
-24And the captain of the guard took Seraiah the chief priest, and Zephaniah the second priest, and the three keepers of the threshold; 25and from the city he took an officer who had been in command of the men of war, and seven men of the king's council, who were found in the city; and the secretary of the commander of the army who mustered the people of the land; and sixty men of the people of the land, who were found in the midst of the city. 26And Nebuzaradan the captain of the guard took them and brought them to the king of Babylon at Riblah. 27And the king of Babylon struck them down, and put them to death at Riblah in the land of Hamath. So Judah was taken into exile out of its land.
-
-28This is the number of the people whom Nebuchadnezzar carried away captive: in the seventh year, 3,023 Judeans; 29in the eighteenth year of Nebuchadnezzar he carried away captive from Jerusalem 832 persons; 30in the twenty-third year of Nebuchadnezzar, Nebuzaradan the captain of the guard carried away captive of the Judeans 745 persons; all the persons were 4,600.
-
-
-
-
-
-Jehoiachin Released from Prison
-
-
-31And in the thirty-seventh year of the exile of Jehoiachin king of Judah, in the twelfth month, on the twenty-fifth day of the month, Evil-merodach king of Babylon, in the year that he became king, graciously freed[68] Jehoiachin king of Judah and brought him out of prison. 32And he spoke kindly to him, and gave him a seat above the seats of the kings who were with him in Babylon. 33So Jehoiachin put off his prison garments. And every day of his life he dined regularly at the king's table, 34and for his allowance, a regular allowance was given him by the king according to his daily need, until the day of his death, as long as he lived.
-
-
-
-
-
-Footnotes
-
-
-[1] 1:11 Almond sounds like the Hebrew for watching (compare verse 12)
-
-[2] 1:14 The Hebrew word can mean evil, harm, or disaster, depending on the context; so throughout Jeremiah
-
-[3] 1:17 Hebrew gird up your loins
-
-[4] 2:8 Or rulers
-
-[5] 2:16 Hebrew grazed
-
-[6] 3:1 Septuagint, Syriac; Hebrew Saying, “If
-
-[7] 3:23 Hebrew commotion
-
-[8] 5:26 The meaning of the Hebrew is uncertain
-
-[9] 6:2 Or I have likened the daughter of Zion to the loveliest pasture
-
-[10] 8:7 The meaning of the Hebrew word is uncertain
-
-[11] 8:7 Or just decrees
-
-[12] 8:13 The meaning of the Hebrew is uncertain
-
-[13] 8:18 Compare Septuagint; the meaning of the Hebrew is uncertain
-
-[14] 9:1 Ch 8:23 in Hebrew
-
-[15] 9:2 Ch 9:1 in Hebrew
-
-[16] 9:3 Septuagint; Hebrew and not for truth they have grown strong
-
-[17] 10:3 Or vapor, or mist
-
-[18] 10:5 Hebrew They
-
-[19] 10:11 This verse is in Aramaic
-
-[20] 12:13 Hebrew your
-
-[21] 13:24 Hebrew them
-
-[22] 15:11 The meaning of the Hebrew is uncertain
-
-[23] 17:5 Hebrew arm
-
-[24] 17:10 Hebrew kidneys
-
-[25] 17:13 Hebrew me
-
-[26] 18:14 Hebrew of the field
-
-[27] 18:14 Hebrew Are foreign waters plucked up
-
-[28] 20:12 Hebrew kidneys
-
-[29] 21:2 Hebrew Nebuchadrezzar, another spelling for Nebuchadnezzar (king of Babylon) occurring frequently from Jeremiah 21–52; this latter spelling is used throughout Jeremiah for consistency
-
-[30] 22:6 Hebrew cities
-
-[31] 23:8 Septuagint; Hebrew I
-
-[32] 23:33 Septuagint, Vulgate; Hebrew What burden?
-
-[33] 24:9 Compare Septuagint; Hebrew horror for evil
-
-[34] 25:26 Hebrew Sheshach, a code name for Babylon
-
-[35] 27:1 Or Jehoiakim
-
-[36] 27:3 Hebrew Send them
-
-[37] 29:8 Hebrew your dreams, which you cause to dream
-
-[38] 29:11 Or peace
-
-[39] 30:8 Or serve him
-
-[40] 31:3 Septuagint; Hebrew me
-
-[41] 31:20 Hebrew bowels
-
-[42] 33:2 Septuagint; Hebrew it
-
-[43] 33:5 That is, the torn-down houses
-
-[44] 33:9 Hebrew And it
-
-[45] 34:18 Hebrew lacks them like
-
-[46] 40:5 Syriac; the meaning of the Hebrew phrase is uncertain
-
-[47] 41:9 Hebrew by the hand of
-
-[48] 44:9 Hebrew his
-
-[49] 44:19 Compare Syriac; Hebrew lacks And the women said
-
-[50] 46:15 Hebrew He does not stand
-
-[51] 47:7 Septuagint, Vulgate; Hebrew you
-
-[52] 48:5 Hebrew weeping goes up with weeping
-
-[53] 48:5 Septuagint (compare Isaiah 15:5) heard the cry
-
-[54] 48:12 Septuagint, Aquila; Hebrew their
-
-[55] 49:4 Hebrew boast of your valleys, your valley flows
-
-[56] 49:16 Or of Sela
-
-[57] 49:19 Septuagint, Syriac them
-
-[58] 50:21 Merathaim means double rebellion
-
-[59] 50:21 Pekod means punishment
-
-[60] 50:21 That is, set apart (devote) as an offering to the Lord (for destruction)
-
-[61] 51:1 A code name for Chaldea
-
-[62] 51:3 That is, set apart (devote) as an offering to the Lord (for destruction)
-
-[63] 51:5 Hebrew their land
-
-[64] 51:34 Or he has expelled me
-
-[65] 51:41 Hebrew Sheshach, a code name for Babylon
-
-[66] 52:20 Hebrew lacks the sea
-
-[67] 52:21 A cubit was about 18 inches or 45 centimeters
-
-[68] 52:31 Hebrew king, lifted up the head of
-
-
-
-
-
-LAMENTATIONS
-
-
-Chapter 1
-
-Chapter 2
-
-Chapter 3
-
-Chapter 4
-
-Chapter 5
-
-
-
-
-
-How Lonely Sits the City
-
-
-1:1 How lonely sits the city
-
-that was full of people!
-
-How like a widow has she become,
-
-she who was great among the nations!
-
-She who was a princess among the provinces
-
-has become a slave.
-
-2She weeps bitterly in the night,
-
-with tears on her cheeks;
-
-among all her lovers
-
-she has none to comfort her;
-
-all her friends have dealt treacherously with her;
-
-they have become her enemies.
-
-3Judah has gone into exile because of affliction
-
-and hard servitude;
-
-she dwells now among the nations,
-
-but finds no resting place;
-
-her pursuers have all overtaken her
-
-in the midst of her distress.[1]
-
-4The roads to Zion mourn,
-
-for none come to the festival;
-
-all her gates are desolate;
-
-her priests groan;
-
-her virgins have been afflicted,[2]
-
-and she herself suffers bitterly.
-
-5Her foes have become the head;
-
-her enemies prosper,
-
-because the LORD has afflicted her
-
-for the multitude of her transgressions;
-
-her children have gone away,
-
-captives before the foe.
-
-6From the daughter of Zion
-
-all her majesty has departed.
-
-Her princes have become like deer
-
-that find no pasture;
-
-they fled without strength
-
-before the pursuer.
-
-7Jerusalem remembers
-
-in the days of her affliction and wandering
-
-all the precious things
-
-that were hers from days of old.
-
-When her people fell into the hand of the foe,
-
-and there was none to help her,
-
-her foes gloated over her;
-
-they mocked at her downfall.
-
-8Jerusalem sinned grievously;
-
-therefore she became filthy;
-
-all who honored her despise her,
-
-for they have seen her nakedness;
-
-she herself groans
-
-and turns her face away.
-
-9Her uncleanness was in her skirts;
-
-she took no thought of her future;[3]
-
-therefore her fall is terrible;
-
-she has no comforter.
-
-“O LORD, behold my affliction,
-
-for the enemy has triumphed!”
-
-10The enemy has stretched out his hands
-
-over all her precious things;
-
-for she has seen the nations
-
-enter her sanctuary,
-
-those whom you forbade
-
-to enter your congregation.
-
-11All her people groan
-
-as they search for bread;
-
-they trade their treasures for food
-
-to revive their strength.
-
-“Look, O LORD, and see,
-
-for I am despised.”
-
-12“Is it nothing to you, all you who pass by?
-
-Look and see
-
-if there is any sorrow like my sorrow,
-
-which was brought upon me,
-
-which the LORD inflicted
-
-on the day of his fierce anger.
-
-13“From on high he sent fire;
-
-into my bones[4] he made it descend;
-
-he spread a net for my feet;
-
-he turned me back;
-
-he has left me stunned,
-
-faint all the day long.
-
-14“My transgressions were bound[5] into a yoke;
-
-by his hand they were fastened together;
-
-they were set upon my neck;
-
-he caused my strength to fail;
-
-the Lord gave me into the hands
-
-of those whom I cannot withstand.
-
-15“The Lord rejected
-
-all my mighty men in my midst;
-
-he summoned an assembly against me
-
-to crush my young men;
-
-the Lord has trodden as in a winepress
-
-the virgin daughter of Judah.
-
-16“For these things I weep;
-
-my eyes flow with tears;
-
-for a comforter is far from me,
-
-one to revive my spirit;
-
-my children are desolate,
-
-for the enemy has prevailed.”
-
-17Zion stretches out her hands,
-
-but there is none to comfort her;
-
-the LORD has commanded against Jacob
-
-that his neighbors should be his foes;
-
-Jerusalem has become
-
-a filthy thing among them.
-
-18“The LORD is in the right,
-
-for I have rebelled against his word;
-
-but hear, all you peoples,
-
-and see my suffering;
-
-my young women and my young men
-
-have gone into captivity.
-
-19“I called to my lovers,
-
-but they deceived me;
-
-my priests and elders
-
-perished in the city,
-
-while they sought food
-
-to revive their strength.
-
-20“Look, O LORD, for I am in distress;
-
-my stomach churns;
-
-my heart is wrung within me,
-
-because I have been very rebellious.
-
-In the street the sword bereaves;
-
-in the house it is like death.
-
-21“They heard[6] my groaning,
-
-yet there is no one to comfort me.
-
-All my enemies have heard of my trouble;
-
-they are glad that you have done it.
-
-You have brought[7] the day you announced;
-
-now let them be as I am.
-
-22“Let all their evildoing come before you,
-
-and deal with them
-
-as you have dealt with me
-
-because of all my transgressions;
-
-for my groans are many,
-
-and my heart is faint.”
-
-
-
-
-
-The Lord Has Destroyed Without Pity
-
-
-2:1 How the Lord in his anger
-
-has set the daughter of Zion under a cloud!
-
-He has cast down from heaven to earth
-
-the splendor of Israel;
-
-he has not remembered his footstool
-
-in the day of his anger.
-
-2The Lord has swallowed up without mercy
-
-all the habitations of Jacob;
-
-in his wrath he has broken down
-
-the strongholds of the daughter of Judah;
-
-he has brought down to the ground in dishonor
-
-the kingdom and its rulers.
-
-3He has cut down in fierce anger
-
-all the might of Israel;
-
-he has withdrawn from them his right hand
-
-in the face of the enemy;
-
-he has burned like a flaming fire in Jacob,
-
-consuming all around.
-
-4He has bent his bow like an enemy,
-
-with his right hand set like a foe;
-
-and he has killed all who were delightful in our eyes
-
-in the tent of the daughter of Zion;
-
-he has poured out his fury like fire.
-
-5The Lord has become like an enemy;
-
-he has swallowed up Israel;
-
-he has swallowed up all its palaces;
-
-he has laid in ruins its strongholds,
-
-and he has multiplied in the daughter of Judah
-
-mourning and lamentation.
-
-6He has laid waste his booth like a garden,
-
-laid in ruins his meeting place;
-
-the LORD has made Zion forget
-
-festival and Sabbath,
-
-and in his fierce indignation has spurned king and priest.
-
-7The Lord has scorned his altar,
-
-disowned his sanctuary;
-
-he has delivered into the hand of the enemy
-
-the walls of her palaces;
-
-they raised a clamor in the house of the LORD
-
-as on the day of festival.
-
-8The LORD determined to lay in ruins
-
-the wall of the daughter of Zion;
-
-he stretched out the measuring line;
-
-he did not restrain his hand from destroying;
-
-he caused rampart and wall to lament;
-
-they languished together.
-
-9Her gates have sunk into the ground;
-
-he has ruined and broken her bars;
-
-her king and princes are among the nations;
-
-the law is no more,
-
-and her prophets find
-
-no vision from the LORD.
-
-10The elders of the daughter of Zion
-
-sit on the ground in silence;
-
-they have thrown dust on their heads
-
-and put on sackcloth;
-
-the young women of Jerusalem
-
-have bowed their heads to the ground.
-
-11My eyes are spent with weeping;
-
-my stomach churns;
-
-my bile is poured out to the ground
-
-because of the destruction of the daughter of my people,
-
-because infants and babies faint
-
-in the streets of the city.
-
-12They cry to their mothers,
-
-“Where is bread and wine?”
-
-as they faint like a wounded man
-
-in the streets of the city,
-
-as their life is poured out
-
-on their mothers' bosom.
-
-13What can I say for you, to what compare you,
-
-O daughter of Jerusalem?
-
-What can I liken to you, that I may comfort you,
-
-O virgin daughter of Zion?
-
-For your ruin is vast as the sea;
-
-who can heal you?
-
-14Your prophets have seen for you
-
-false and deceptive visions;
-
-they have not exposed your iniquity
-
-to restore your fortunes,
-
-but have seen for you oracles
-
-that are false and misleading.
-
-15All who pass along the way
-
-clap their hands at you;
-
-they hiss and wag their heads
-
-at the daughter of Jerusalem:
-
-“Is this the city that was called
-
-the perfection of beauty,
-
-the joy of all the earth?”
-
-16All your enemies
-
-rail against you;
-
-they hiss, they gnash their teeth,
-
-they cry: “We have swallowed her!
-
-Ah, this is the day we longed for;
-
-now we have it; we see it!”
-
-17The LORD has done what he purposed;
-
-he has carried out his word,
-
-which he commanded long ago;
-
-he has thrown down without pity;
-
-he has made the enemy rejoice over you
-
-and exalted the might of your foes.
-
-18Their heart cried to the Lord.
-
-O wall of the daughter of Zion,
-
-let tears stream down like a torrent
-
-day and night!
-
-Give yourself no rest,
-
-your eyes no respite!
-
-19“Arise, cry out in the night,
-
-at the beginning of the night watches!
-
-Pour out your heart like water
-
-before the presence of the Lord!
-
-Lift your hands to him
-
-for the lives of your children,
-
-who faint for hunger
-
-at the head of every street.”
-
-20Look, O LORD, and see!
-
-With whom have you dealt thus?
-
-Should women eat the fruit of their womb,
-
-the children of their tender care?
-
-Should priest and prophet be killed
-
-in the sanctuary of the Lord?
-
-21In the dust of the streets
-
-lie the young and the old;
-
-my young women and my young men
-
-have fallen by the sword;
-
-you have killed them in the day of your anger,
-
-slaughtering without pity.
-
-22You summoned as if to a festival day
-
-my terrors on every side,
-
-and on the day of the anger of the LORD
-
-no one escaped or survived;
-
-those whom I held and raised
-
-my enemy destroyed.
-
-
-
-
-
-Great Is Your Faithfulness
-
-
-3:1 I am the man who has seen affliction
-
-under the rod of his wrath;
-
-2he has driven and brought me
-
-into darkness without any light;
-
-3surely against me he turns his hand
-
-again and again the whole day long.
-
-4He has made my flesh and my skin waste away;
-
-he has broken my bones;
-
-5he has besieged and enveloped me
-
-with bitterness and tribulation;
-
-6he has made me dwell in darkness
-
-like the dead of long ago.
-
-7He has walled me about so that I cannot escape;
-
-he has made my chains heavy;
-
-8though I call and cry for help,
-
-he shuts out my prayer;
-
-9he has blocked my ways with blocks of stones;
-
-he has made my paths crooked.
-
-10He is a bear lying in wait for me,
-
-a lion in hiding;
-
-11he turned aside my steps and tore me to pieces;
-
-he has made me desolate;
-
-12he bent his bow and set me
-
-as a target for his arrow.
-
-13He drove into my kidneys
-
-the arrows of his quiver;
-
-14I have become the laughingstock of all peoples,
-
-the object of their taunts all day long.
-
-15He has filled me with bitterness;
-
-he has sated me with wormwood.
-
-16He has made my teeth grind on gravel,
-
-and made me cower in ashes;
-
-17my soul is bereft of peace;
-
-I have forgotten what happiness[8] is;
-
-18so I say, “My endurance has perished;
-
-so has my hope from the LORD.”
-
-19Remember my affliction and my wanderings,
-
-the wormwood and the gall!
-
-20My soul continually remembers it
-
-and is bowed down within me.
-
-21But this I call to mind,
-
-and therefore I have hope:
-
-22The steadfast love of the LORD never ceases;[9]
-
-his mercies never come to an end;
-
-23they are new every morning;
-
-great is your faithfulness.
-
-24“The LORD is my portion,” says my soul,
-
-“therefore I will hope in him.”
-
-25The LORD is good to those who wait for him,
-
-to the soul who seeks him.
-
-26It is good that one should wait quietly
-
-for the salvation of the LORD.
-
-27It is good for a man that he bear
-
-the yoke in his youth.
-
-28Let him sit alone in silence
-
-when it is laid on him;
-
-29let him put his mouth in the dust—
-
-there may yet be hope;
-
-30let him give his cheek to the one who strikes,
-
-and let him be filled with insults.
-
-31For the Lord will not
-
-cast off forever,
-
-32but, though he cause grief, he will have compassion
-
-according to the abundance of his steadfast love;
-
-33for he does not willingly afflict
-
-or grieve the children of men.
-
-34To crush underfoot
-
-all the prisoners of the earth,
-
-35to deny a man justice
-
-in the presence of the Most High,
-
-36to subvert a man in his lawsuit,
-
-the Lord does not approve.
-
-37Who has spoken and it came to pass,
-
-unless the Lord has commanded it?
-
-38Is it not from the mouth of the Most High
-
-that good and bad come?
-
-39Why should a living man complain,
-
-a man, about the punishment of his sins?
-
-40Let us test and examine our ways,
-
-and return to the LORD!
-
-41Let us lift up our hearts and hands
-
-to God in heaven:
-
-42“We have transgressed and rebelled,
-
-and you have not forgiven.
-
-43“You have wrapped yourself with anger and pursued us,
-
-killing without pity;
-
-44you have wrapped yourself with a cloud
-
-so that no prayer can pass through.
-
-45You have made us scum and garbage
-
-among the peoples.
-
-46“All our enemies
-
-open their mouths against us;
-
-47panic and pitfall have come upon us,
-
-devastation and destruction;
-
-48my eyes flow with rivers of tears
-
-because of the destruction of the daughter of my people.
-
-49“My eyes will flow without ceasing,
-
-without respite,
-
-50until the LORD from heaven
-
-looks down and sees;
-
-51my eyes cause me grief
-
-at the fate of all the daughters of my city.
-
-52“I have been hunted like a bird
-
-by those who were my enemies without cause;
-
-53they flung me alive into the pit
-
-and cast stones on me;
-
-54water closed over my head;
-
-I said, ‘I am lost.’
-
-55“I called on your name, O LORD,
-
-from the depths of the pit;
-
-56you heard my plea, ‘Do not close
-
-your ear to my cry for help!’
-
-57You came near when I called on you;
-
-you said, ‘Do not fear!’
-
-58“You have taken up my cause, O Lord;
-
-you have redeemed my life.
-
-59You have seen the wrong done to me, O LORD;
-
-judge my cause.
-
-60You have seen all their vengeance,
-
-all their plots against me.
-
-61“You have heard their taunts, O LORD,
-
-all their plots against me.
-
-62The lips and thoughts of my assailants
-
-are against me all the day long.
-
-63Behold their sitting and their rising;
-
-I am the object of their taunts.
-
-64“You will repay them,[10] O LORD,
-
-according to the work of their hands.
-
-65You will give them[11] dullness of heart;
-
-your curse will be[12] on them.
-
-66You will pursue them[13] in anger and destroy them
-
-from under your heavens, O LORD.”[14]
-
-
-
-
-
-The Holy Stones Lie Scattered
-
-
-4:1 How the gold has grown dim,
-
-how the pure gold is changed!
-
-The holy stones lie scattered
-
-at the head of every street.
-
-2The precious sons of Zion,
-
-worth their weight in fine gold,
-
-how they are regarded as earthen pots,
-
-the work of a potter's hands!
-
-3Even jackals offer the breast;
-
-they nurse their young,
-
-but the daughter of my people has become cruel,
-
-like the ostriches in the wilderness.
-
-4The tongue of the nursing infant sticks
-
-to the roof of its mouth for thirst;
-
-the children beg for food,
-
-but no one gives to them.
-
-5Those who once feasted on delicacies
-
-perish in the streets;
-
-those who were brought up in purple
-
-embrace ash heaps.
-
-6For the chastisement[15] of the daughter of my people has been greater
-
-than the punishment[16] of Sodom,
-
-which was overthrown in a moment,
-
-and no hands were wrung for her.[17]
-
-7Her princes were purer than snow,
-
-whiter than milk;
-
-their bodies were more ruddy than coral,
-
-the beauty of their form[18] was like sapphire.[19]
-
-8Now their face is blacker than soot;
-
-they are not recognized in the streets;
-
-their skin has shriveled on their bones;
-
-it has become as dry as wood.
-
-9Happier were the victims of the sword
-
-than the victims of hunger,
-
-who wasted away, pierced
-
-by lack of the fruits of the field.
-
-10The hands of compassionate women
-
-have boiled their own children;
-
-they became their food
-
-during the destruction of the daughter of my people.
-
-11The LORD gave full vent to his wrath;
-
-he poured out his hot anger,
-
-and he kindled a fire in Zion
-
-that consumed its foundations.
-
-12The kings of the earth did not believe,
-
-nor any of the inhabitants of the world,
-
-that foe or enemy could enter
-
-the gates of Jerusalem.
-
-13This was for the sins of her prophets
-
-and the iniquities of her priests,
-
-who shed in the midst of her
-
-the blood of the righteous.
-
-14They wandered, blind, through the streets;
-
-they were so defiled with blood
-
-that no one was able to touch
-
-their garments.
-
-15“Away! Unclean!” people cried at them.
-
-“Away! Away! Do not touch!”
-
-So they became fugitives and wanderers;
-
-people said among the nations,
-
-“They shall stay with us no longer.”
-
-16The LORD himself[20] has scattered them;
-
-he will regard them no more;
-
-no honor was shown to the priests,
-
-no favor to the elders.
-
-17Our eyes failed, ever watching
-
-vainly for help;
-
-in our watching we watched
-
-for a nation which could not save.
-
-18They dogged our steps
-
-so that we could not walk in our streets;
-
-our end drew near; our days were numbered,
-
-for our end had come.
-
-19Our pursuers were swifter
-
-than the eagles in the heavens;
-
-they chased us on the mountains;
-
-they lay in wait for us in the wilderness.
-
-20The breath of our nostrils, the LORD's anointed,
-
-was captured in their pits,
-
-of whom we said, “Under his shadow
-
-we shall live among the nations.”
-
-21Rejoice and be glad, O daughter of Edom,
-
-you who dwell in the land of Uz;
-
-but to you also the cup shall pass;
-
-you shall become drunk and strip yourself bare.
-
-22The punishment of your iniquity, O daughter of Zion, is accomplished;
-
-he will keep you in exile no longer;[21]
-
-but your iniquity, O daughter of Edom, he will punish;
-
-he will uncover your sins.
-
-
-
-
-
-Restore Us to Yourself, O LORD
-
-
-5:1 Remember, O LORD, what has befallen us;
-
-look, and see our disgrace!
-
-2Our inheritance has been turned over to strangers,
-
-our homes to foreigners.
-
-3We have become orphans, fatherless;
-
-our mothers are like widows.
-
-4We must pay for the water we drink;
-
-the wood we get must be bought.
-
-5Our pursuers are at our necks;[22]
-
-we are weary; we are given no rest.
-
-6We have given the hand to Egypt, and to Assyria,
-
-to get bread enough.
-
-7Our fathers sinned, and are no more;
-
-and we bear their iniquities.
-
-8Slaves rule over us;
-
-there is none to deliver us from their hand.
-
-9We get our bread at the peril of our lives,
-
-because of the sword in the wilderness.
-
-10Our skin is hot as an oven
-
-with the burning heat of famine.
-
-11Women are raped in Zion,
-
-young women in the towns of Judah.
-
-12Princes are hung up by their hands;
-
-no respect is shown to the elders.
-
-13Young men are compelled to grind at the mill,
-
-and boys stagger under loads of wood.
-
-14The old men have left the city gate,
-
-the young men their music.
-
-15The joy of our hearts has ceased;
-
-our dancing has been turned to mourning.
-
-16The crown has fallen from our head;
-
-woe to us, for we have sinned!
-
-17For this our heart has become sick,
-
-for these things our eyes have grown dim,
-
-18for Mount Zion which lies desolate;
-
-jackals prowl over it.
-
-19But you, O LORD, reign forever;
-
-your throne endures to all generations.
-
-20Why do you forget us forever,
-
-why do you forsake us for so many days?
-
-21Restore us to yourself, O LORD, that we may be restored!
-
-Renew our days as of old—
-
-22unless you have utterly rejected us,
-
-and you remain exceedingly angry with us.
-
-
-
-
-
-Footnotes
-
-
-[1] 1:3 Or in the narrow passes
-
-[2] 1:4 Septuagint, Old Latin dragged away
-
-[3] 1:9 Or end
-
-[4] 1:13 Septuagint; Hebrew bones and
-
-[5] 1:14 The meaning of the Hebrew is uncertain
-
-[6] 1:21 Septuagint, Syriac Hear
-
-[7] 1:21 Syriac Bring
-
-[8] 3:17 Hebrew good
-
-[9] 3:22 Syriac, Targum; Hebrew Because of the steadfast love of the LORD, we are not cut off
-
-[10] 3:64 Or Repay them
-
-[11] 3:65 Or Give them
-
-[12] 3:65 Or place your curse
-
-[13] 3:66 Or Pursue them
-
-[14] 3:66 Syriac (compare Septuagint, Vulgate); Hebrew the heavens of the LORD
-
-[15] 4:6 Or iniquity
-
-[16] 4:6 Or sin
-
-[17] 4:6 The meaning of the Hebrew is uncertain
-
-[18] 4:7 The meaning of the Hebrew is uncertain
-
-[19] 4:7 Hebrew lapis lazuli
-
-[20] 4:16 Hebrew The face of the LORD
-
-[21] 4:22 Or he will not exile you again
-
-[22] 5:5 Symmachus With a yoke on our necks
-
-
-
-
-
-EZEKIEL
-
-
-Chapter 1
-
-Chapter 2
-
-Chapter 3
-
-Chapter 4
-
-Chapter 5
-
-Chapter 6
-
-Chapter 7
-
-Chapter 8
-
-Chapter 9
-
-Chapter 10
-
-Chapter 11
-
-Chapter 12
-
-Chapter 13
-
-Chapter 14
-
-Chapter 15
-
-Chapter 16
-
-Chapter 17
-
-Chapter 18
-
-Chapter 19
-
-Chapter 20
-
-Chapter 21
-
-Chapter 22
-
-Chapter 23
-
-Chapter 24
-
-Chapter 25
-
-Chapter 26
-
-Chapter 27
-
-Chapter 28
-
-Chapter 29
-
-Chapter 30
-
-Chapter 31
-
-Chapter 32
-
-Chapter 33
-
-Chapter 34
-
-Chapter 35
-
-Chapter 36
-
-Chapter 37
-
-Chapter 38
-
-Chapter 39
-
-Chapter 40
-
-Chapter 41
-
-Chapter 42
-
-Chapter 43
-
-Chapter 44
-
-Chapter 45
-
-Chapter 46
-
-Chapter 47
-
-Chapter 48
-
-
-
-
-
-Ezekiel in Babylon
-
-
-1:1 In the thirtieth year, in the fourth month, on the fifth day of the month, as I was among the exiles by the Chebar canal, the heavens were opened, and I saw visions of God.[1] 2On the fifth day of the month (it was the fifth year of the exile of King Jehoiachin), 3the word of the LORD came to Ezekiel the priest, the son of Buzi, in the land of the Chaldeans by the Chebar canal, and the hand of the LORD was upon him there.
-
-
-
-
-
-The Glory of the LORD
-
-
-4As I looked, behold, a stormy wind came out of the north, and a great cloud, with brightness around it, and fire flashing forth continually, and in the midst of the fire, as it were gleaming metal.[2] 5And from the midst of it came the likeness of four living creatures. And this was their appearance: they had a human likeness, 6but each had four faces, and each of them had four wings. 7Their legs were straight, and the soles of their feet were like the sole of a calf's foot. And they sparkled like burnished bronze. 8Under their wings on their four sides they had human hands. And the four had their faces and their wings thus: 9their wings touched one another. Each one of them went straight forward, without turning as they went. 10As for the likeness of their faces, each had a human face. The four had the face of a lion on the right side, the four had the face of an ox on the left side, and the four had the face of an eagle. 11Such were their faces. And their wings were spread out above. Each creature had two wings, each of which touched the wing of another, while two covered their bodies. 12And each went straight forward. Wherever the spirit would go, they went, without turning as they went. 13As for the likeness of the living creatures, their appearance was like burning coals of fire, like the appearance of torches moving to and fro among the living creatures. And the fire was bright, and out of the fire went forth lightning. 14And the living creatures darted to and fro, like the appearance of a flash of lightning.
-
-15Now as I looked at the living creatures, I saw a wheel on the earth beside the living creatures, one for each of the four of them.[3] 16As for the appearance of the wheels and their construction: their appearance was like the gleaming of beryl. And the four had the same likeness, their appearance and construction being as it were a wheel within a wheel. 17When they went, they went in any of their four directions[4] without turning as they went. 18And their rims were tall and awesome, and the rims of all four were full of eyes all around. 19And when the living creatures went, the wheels went beside them; and when the living creatures rose from the earth, the wheels rose. 20Wherever the spirit wanted to go, they went, and the wheels rose along with them, for the spirit of the living creatures[5] was in the wheels. 21When those went, these went; and when those stood, these stood; and when those rose from the earth, the wheels rose along with them, for the spirit of the living creatures was in the wheels.
-
-22Over the heads of the living creatures there was the likeness of an expanse, shining like awe-inspiring crystal, spread out above their heads. 23And under the expanse their wings were stretched out straight, one toward another. And each creature had two wings covering its body. 24And when they went, I heard the sound of their wings like the sound of many waters, like the sound of the Almighty, a sound of tumult like the sound of an army. When they stood still, they let down their wings. 25And there came a voice from above the expanse over their heads. When they stood still, they let down their wings.
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-26And above the expanse over their heads there was the likeness of a throne, in appearance like sapphire;[6] and seated above the likeness of a throne was a likeness with a human appearance. 27And upward from what had the appearance of his waist I saw as it were gleaming metal, like the appearance of fire enclosed all around. And downward from what had the appearance of his waist I saw as it were the appearance of fire, and there was brightness around him.[7] 28Like the appearance of the bow that is in the cloud on the day of rain, so was the appearance of the brightness all around.
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-Such was the appearance of the likeness of the glory of the LORD. And when I saw it, I fell on my face, and I heard the voice of one speaking.
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-Ezekiel's Call
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-2:1 And he said to me, “Son of man,[8] stand on your feet, and I will speak with you.” 2And as he spoke to me, the Spirit entered into me and set me on my feet, and I heard him speaking to me. 3And he said to me, “Son of man, I send you to the people of Israel, to nations of rebels, who have rebelled against me. They and their fathers have transgressed against me to this very day. 4The descendants also are impudent and stubborn: I send you to them, and you shall say to them, ‘Thus says the Lord GOD.’ 5And whether they hear or refuse to hear (for they are a rebellious house) they will know that a prophet has been among them. 6And you, son of man, be not afraid of them, nor be afraid of their words, though briers and thorns are with you and you sit on scorpions.[9] Be not afraid of their words, nor be dismayed at their looks, for they are a rebellious house. 7And you shall speak my words to them, whether they hear or refuse to hear, for they are a rebellious house.
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-8“But you, son of man, hear what I say to you. Be not rebellious like that rebellious house; open your mouth and eat what I give you.” 9And when I looked, behold, a hand was stretched out to me, and behold, a scroll of a book was in it. 10And he spread it before me. And it had writing on the front and on the back, and there were written on it words of lamentation and mourning and woe.
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-3:1 And he said to me, “Son of man, eat whatever you find here. Eat this scroll, and go, speak to the house of Israel.” 2So I opened my mouth, and he gave me this scroll to eat. 3And he said to me, “Son of man, feed your belly with this scroll that I give you and fill your stomach with it.” Then I ate it, and it was in my mouth as sweet as honey.
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-4And he said to me, “Son of man, go to the house of Israel and speak with my words to them. 5For you are not sent to a people of foreign speech and a hard language, but to the house of Israel— 6not to many peoples of foreign speech and a hard language, whose words you cannot understand. Surely, if I sent you to such, they would listen to you. 7But the house of Israel will not be willing to listen to you, for they are not willing to listen to me: because all the house of Israel have a hard forehead and a stubborn heart. 8Behold, I have made your face as hard as their faces, and your forehead as hard as their foreheads. 9Like emery harder than flint have I made your forehead. Fear them not, nor be dismayed at their looks, for they are a rebellious house.” 10Moreover, he said to me, “Son of man, all my words that I shall speak to you receive in your heart, and hear with your ears. 11And go to the exiles, to your people, and speak to them and say to them, ‘Thus says the Lord GOD,’ whether they hear or refuse to hear.”
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-12Then the Spirit[10] lifted me up, and I heard behind me the voice[11] of a great earthquake: “Blessed be the glory of the LORD from its place!” 13It was the sound of the wings of the living creatures as they touched one another, and the sound of the wheels beside them, and the sound of a great earthquake. 14The Spirit lifted me up and took me away, and I went in bitterness in the heat of my spirit, the hand of the LORD being strong upon me. 15And I came to the exiles at Tel-abib, who were dwelling by the Chebar canal, and I sat where they were dwelling.[12] And I sat there overwhelmed among them seven days.
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-A Watchman for Israel
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-16And at the end of seven days, the word of the LORD came to me: 17“Son of man, I have made you a watchman for the house of Israel. Whenever you hear a word from my mouth, you shall give them warning from me. 18If I say to the wicked, ‘You shall surely die,’ and you give him no warning, nor speak to warn the wicked from his wicked way, in order to save his life, that wicked person shall die for[13] his iniquity, but his blood I will require at your hand. 19But if you warn the wicked, and he does not turn from his wickedness, or from his wicked way, he shall die for his iniquity, but you will have delivered your soul. 20Again, if a righteous person turns from his righteousness and commits injustice, and I lay a stumbling block before him, he shall die. Because you have not warned him, he shall die for his sin, and his righteous deeds that he has done shall not be remembered, but his blood I will require at your hand. 21But if you warn the righteous person not to sin, and he does not sin, he shall surely live, because he took warning, and you will have delivered your soul.”
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-22And the hand of the LORD was upon me there. And he said to me, “Arise, go out into the valley,[14] and there I will speak with you.” 23So I arose and went out into the valley, and behold, the glory of the LORD stood there, like the glory that I had seen by the Chebar canal, and I fell on my face. 24But the Spirit entered into me and set me on my feet, and he spoke with me and said to me, “Go, shut yourself within your house. 25And you, O son of man, behold, cords will be placed upon you, and you shall be bound with them, so that you cannot go out among the people. 26And I will make your tongue cling to the roof of your mouth, so that you shall be mute and unable to reprove them, for they are a rebellious house. 27But when I speak with you, I will open your mouth, and you shall say to them, ‘Thus says the Lord GOD.’ He who will hear, let him hear; and he who will refuse to hear, let him refuse, for they are a rebellious house.
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-The Siege of Jerusalem Symbolized
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-4:1 “And you, son of man, take a brick and lay it before you, and engrave on it a city, even Jerusalem. 2And put siegeworks against it, and build a siege wall against it, and cast up a mound against it. Set camps also against it, and plant battering rams against it all around. 3And you, take an iron griddle, and place it as an iron wall between you and the city; and set your face toward it, and let it be in a state of siege, and press the siege against it. This is a sign for the house of Israel.
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-4“Then lie on your left side, and place the punishment[15] of the house of Israel upon it. For the number of the days that you lie on it, you shall bear their punishment. 5For I assign to you a number of days, 390 days, equal to the number of the years of their punishment. So long shall you bear the punishment of the house of Israel. 6And when you have completed these, you shall lie down a second time, but on your right side, and bear the punishment of the house of Judah. Forty days I assign you, a day for each year. 7And you shall set your face toward the siege of Jerusalem, with your arm bared, and you shall prophesy against the city. 8And behold, I will place cords upon you, so that you cannot turn from one side to the other, till you have completed the days of your siege.
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-9“And you, take wheat and barley, beans and lentils, millet and emmer,[16] and put them into a single vessel and make your bread from them. During the number of days that you lie on your side, 390 days, you shall eat it. 10And your food that you eat shall be by weight, twenty shekels[17] a day; from day to day[18] you shall eat it. 11And water you shall drink by measure, the sixth part of a hin;[19] from day to day you shall drink. 12And you shall eat it as a barley cake, baking it in their sight on human dung.” 13And the LORD said, “Thus shall the people of Israel eat their bread unclean, among the nations where I will drive them.” 14Then I said, “Ah, Lord GOD! Behold, I have never defiled myself.[20] From my youth up till now I have never eaten what died of itself or was torn by beasts, nor has tainted meat come into my mouth.” 15Then he said to me, “See, I assign to you cow's dung instead of human dung, on which you may prepare your bread.” 16Moreover, he said to me, “Son of man, behold, I will break the supply[21] of bread in Jerusalem. They shall eat bread by weight and with anxiety, and they shall drink water by measure and in dismay. 17I will do this that they may lack bread and water, and look at one another in dismay, and rot away because of their punishment.
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-Jerusalem Will Be Destroyed
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-5:1 “And you, O son of man, take a sharp sword. Use it as a barber's razor and pass it over your head and your beard. Then take balances for weighing and divide the hair. 2A third part you shall burn in the fire in the midst of the city, when the days of the siege are completed. And a third part you shall take and strike with the sword all around the city. And a third part you shall scatter to the wind, and I will unsheathe the sword after them. 3And you shall take from these a small number and bind them in the skirts of your robe. 4And of these again you shall take some and cast them into the midst of the fire and burn them in the fire. From there a fire will come out into all the house of Israel.
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-5“Thus says the Lord GOD: This is Jerusalem. I have set her in the center of the nations, with countries all around her. 6And she has rebelled against my rules by doing wickedness more than the nations, and against my statutes more than the countries all around her; for they have rejected my rules and have not walked in my statutes. 7Therefore thus says the Lord GOD: Because you are more turbulent than the nations that are all around you, and have not walked in my statutes or obeyed my rules, and have not[22] even acted according to the rules of the nations that are all around you, 8therefore thus says the Lord GOD: Behold, I, even I, am against you. And I will execute judgments[23] in your midst in the sight of the nations. 9And because of all your abominations I will do with you what I have never yet done, and the like of which I will never do again. 10Therefore fathers shall eat their sons in your midst, and sons shall eat their fathers. And I will execute judgments on you, and any of you who survive I will scatter to all the winds. 11Therefore, as I live, declares the Lord GOD, surely, because you have defiled my sanctuary with all your detestable things and with all your abominations, therefore I will withdraw.[24] My eye will not spare, and I will have no pity. 12A third part of you shall die of pestilence and be consumed with famine in your midst; a third part shall fall by the sword all around you; and a third part I will scatter to all the winds and will unsheathe the sword after them.
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-13“Thus shall my anger spend itself, and I will vent my fury upon them and satisfy myself. And they shall know that I am the LORD—that I have spoken in my jealousy—when I spend my fury upon them. 14Moreover, I will make you a desolation and an object of reproach among the nations all around you and in the sight of all who pass by. 15You shall be[25] a reproach and a taunt, a warning and a horror, to the nations all around you, when I execute judgments on you in anger and fury, and with furious rebukes—I am the LORD; I have spoken— 16when I send against you[26] the deadly arrows of famine, arrows for destruction, which I will send to destroy you, and when I bring more and more famine upon you and break your supply[27] of bread. 17I will send famine and wild beasts against you, and they will rob you of your children. Pestilence and blood shall pass through you, and I will bring the sword upon you. I am the LORD; I have spoken.”
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-Judgment Against Idolatry
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-6:1 The word of the LORD came to me: 2“Son of man, set your face toward the mountains of Israel, and prophesy against them, 3and say, You mountains of Israel, hear the word of the Lord GOD! Thus says the Lord GOD to the mountains and the hills, to the ravines and the valleys: Behold, I, even I, will bring a sword upon you, and I will destroy your high places. 4Your altars shall become desolate, and your incense altars shall be broken, and I will cast down your slain before your idols. 5And I will lay the dead bodies of the people of Israel before their idols, and I will scatter your bones around your altars. 6Wherever you dwell, the cities shall be waste and the high places ruined, so that your altars will be waste and ruined,[28] your idols broken and destroyed, your incense altars cut down, and your works wiped out. 7And the slain shall fall in your midst, and you shall know that I am the LORD.
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-8“Yet I will leave some of you alive. When you have among the nations some who escape the sword, and when you are scattered through the countries, 9then those of you who escape will remember me among the nations where they are carried captive, how I have been broken over their whoring heart that has departed from me and over their eyes that go whoring after their idols. And they will be loathsome in their own sight for the evils that they have committed, for all their abominations. 10And they shall know that I am the LORD. I have not said in vain that I would do this evil to them.”
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-11Thus says the Lord GOD: “Clap your hands and stamp your foot and say, Alas, because of all the evil abominations of the house of Israel, for they shall fall by the sword, by famine, and by pestilence. 12He who is far off shall die of pestilence, and he who is near shall fall by the sword, and he who is left and is preserved shall die of famine. Thus I will spend my fury upon them. 13And you shall know that I am the LORD, when their slain lie among their idols around their altars, on every high hill, on all the mountaintops, under every green tree, and under every leafy oak, wherever they offered pleasing aroma to all their idols. 14And I will stretch out my hand against them and make the land desolate and waste, in all their dwelling places, from the wilderness to Riblah.[29] Then they will know that I am the LORD.”
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-The Day of the Wrath of the LORD
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-7:1 The word of the LORD came to me: 2“And you, O son of man, thus says the Lord GOD to the land of Israel: An end! The end has come upon the four corners of the land.[30] 3Now the end is upon you, and I will send my anger upon you; I will judge you according to your ways, and I will punish you for all your abominations. 4And my eye will not spare you, nor will I have pity, but I will punish you for your ways, while your abominations are in your midst. Then you will know that I am the LORD.
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-5“Thus says the Lord GOD: Disaster after disaster![31] Behold, it comes. 6An end has come; the end has come; it has awakened against you. Behold, it comes. 7Your doom[32] has come to you, O inhabitant of the land. The time has come; the day is near, a day of tumult, and not of joyful shouting on the mountains. 8Now I will soon pour out my wrath upon you, and spend my anger against you, and judge you according to your ways, and I will punish you for all your abominations. 9And my eye will not spare, nor will I have pity. I will punish you according to your ways, while your abominations are in your midst. Then you will know that I am the LORD, who strikes.
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-10“Behold, the day! Behold, it comes! Your doom has come; the rod has blossomed; pride has budded. 11Violence has grown up into a rod of wickedness. None of them shall remain, nor their abundance, nor their wealth; neither shall there be preeminence among them.[33] 12The time has come; the day has arrived. Let not the buyer rejoice, nor the seller mourn, for wrath is upon all their multitude.[34] 13For the seller shall not return to what he has sold, while they live. For the vision concerns all their multitude; it shall not turn back; and because of his iniquity, none can maintain his life.[35]
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-14“They have blown the trumpet and made everything ready, but none goes to battle, for my wrath is upon all their multitude. 15The sword is without; pestilence and famine are within. He who is in the field dies by the sword, and him who is in the city famine and pestilence devour. 16And if any survivors escape, they will be on the mountains, like doves of the valleys, all of them moaning, each one over his iniquity. 17All hands are feeble, and all knees turn to water. 18They put on sackcloth, and horror covers them. Shame is on all faces, and baldness on all their heads. 19They cast their silver into the streets, and their gold is like an unclean thing. Their silver and gold are not able to deliver them in the day of the wrath of the LORD. They cannot satisfy their hunger or fill their stomachs with it. For it was the stumbling block of their iniquity. 20His beautiful ornament they used for pride, and they made their abominable images and their detestable things of it. Therefore I make it an unclean thing to them. 21And I will give it into the hands of foreigners for prey, and to the wicked of the earth for spoil, and they shall profane it. 22I will turn my face from them, and they shall profane my treasured[36] place. Robbers shall enter and profane it.
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-23“Forge a chain![37] For the land is full of bloody crimes and the city is full of violence. 24I will bring the worst of the nations to take possession of their houses. I will put an end to the pride of the strong, and their holy places[38] shall be profaned. 25When anguish comes, they will seek peace, but there shall be none. 26Disaster comes upon disaster; rumor follows rumor. They seek a vision from the prophet, while the law[39] perishes from the priest and counsel from the elders. 27The king mourns, the prince is wrapped in despair, and the hands of the people of the land are paralyzed by terror. According to their way I will do to them, and according to their judgments I will judge them, and they shall know that I am the LORD.”
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-Abominations in the Temple
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-8:1 In the sixth year, in the sixth month, on the fifth day of the month, as I sat in my house, with the elders of Judah sitting before me, the hand of the Lord GOD fell upon me there. 2Then I looked, and behold, a form that had the appearance of a man.[40] Below what appeared to be his waist was fire, and above his waist was something like the appearance of brightness, like gleaming metal.[41] 3He put out the form of a hand and took me by a lock of my head, and the Spirit lifted me up between earth and heaven and brought me in visions of God to Jerusalem, to the entrance of the gateway of the inner court that faces north, where was the seat of the image of jealousy, which provokes to jealousy. 4And behold, the glory of the God of Israel was there, like the vision that I saw in the valley.
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-5Then he said to me, “Son of man, lift up your eyes now toward the north.” So I lifted up my eyes toward the north, and behold, north of the altar gate, in the entrance, was this image of jealousy. 6And he said to me, “Son of man, do you see what they are doing, the great abominations that the house of Israel are committing here, to drive me far from my sanctuary? But you will see still greater abominations.”
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-7And he brought me to the entrance of the court, and when I looked, behold, there was a hole in the wall. 8Then he said to me, “Son of man, dig in the wall.” So I dug in the wall, and behold, there was an entrance. 9And he said to me, “Go in, and see the vile abominations that they are committing here.” 10So I went in and saw. And there, engraved on the wall all around, was every form of creeping things and loathsome beasts, and all the idols of the house of Israel. 11And before them stood seventy men of the elders of the house of Israel, with Jaazaniah the son of Shaphan standing among them. Each had his censer in his hand, and the smoke of the cloud of incense went up. 12Then he said to me, “Son of man, have you seen what the elders of the house of Israel are doing in the dark, each in his room of pictures? For they say, ‘The LORD does not see us, the LORD has forsaken the land.’” 13He said also to me, “You will see still greater abominations that they commit.”
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-14Then he brought me to the entrance of the north gate of the house of the LORD, and behold, there sat women weeping for Tammuz. 15Then he said to me, “Have you seen this, O son of man? You will see still greater abominations than these.”
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-16And he brought me into the inner court of the house of the LORD. And behold, at the entrance of the temple of the LORD, between the porch and the altar, were about twenty-five men, with their backs to the temple of the LORD, and their faces toward the east, worshiping the sun toward the east. 17Then he said to me, “Have you seen this, O son of man? Is it too light a thing for the house of Judah to commit the abominations that they commit here, that they should fill the land with violence and provoke me still further to anger? Behold, they put the branch to their[42] nose. 18Therefore I will act in wrath. My eye will not spare, nor will I have pity. And though they cry in my ears with a loud voice, I will not hear them.”
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-Idolaters Killed
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-9:1 Then he cried in my ears with a loud voice, saying, “Bring near the executioners of the city, each with his destroying weapon in his hand.” 2And behold, six men came from the direction of the upper gate, which faces north, each with his weapon for slaughter in his hand, and with them was a man clothed in linen, with a writing case at his waist. And they went in and stood beside the bronze altar.
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-3Now the glory of the God of Israel had gone up from the cherub on which it rested to the threshold of the house. And he called to the man clothed in linen, who had the writing case at his waist. 4And the LORD said to him, “Pass through the city, through Jerusalem, and put a mark on the foreheads of the men who sigh and groan over all the abominations that are committed in it.” 5And to the others he said in my hearing, “Pass through the city after him, and strike. Your eye shall not spare, and you shall show no pity. 6Kill old men outright, young men and maidens, little children and women, but touch no one on whom is the mark. And begin at my sanctuary.” So they began with the elders who were before the house. 7Then he said to them, “Defile the house, and fill the courts with the slain. Go out.” So they went out and struck in the city. 8And while they were striking, and I was left alone, I fell upon my face, and cried, “Ah, Lord GOD! Will you destroy all the remnant of Israel in the outpouring of your wrath on Jerusalem?”
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-9Then he said to me, “The guilt of the house of Israel and Judah is exceedingly great. The land is full of blood, and the city full of injustice. For they say, ‘The LORD has forsaken the land, and the LORD does not see.’ 10As for me, my eye will not spare, nor will I have pity; I will bring their deeds upon their heads.”
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-11And behold, the man clothed in linen, with the writing case at his waist, brought back word, saying, “I have done as you commanded me.”
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-The Glory of the LORD Leaves the Temple
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-10:1 Then I looked, and behold, on the expanse that was over the heads of the cherubim there appeared above them something like a sapphire,[43] in appearance like a throne. 2And he said to the man clothed in linen, “Go in among the whirling wheels underneath the cherubim. Fill your hands with burning coals from between the cherubim, and scatter them over the city.”
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-And he went in before my eyes. 3Now the cherubim were standing on the south side of the house, when the man went in, and a cloud filled the inner court. 4And the glory of the LORD went up from the cherub to the threshold of the house, and the house was filled with the cloud, and the court was filled with the brightness of the glory of the LORD. 5And the sound of the wings of the cherubim was heard as far as the outer court, like the voice of God Almighty when he speaks.
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-6And when he commanded the man clothed in linen, “Take fire from between the whirling wheels, from between the cherubim,” he went in and stood beside a wheel. 7And a cherub stretched out his hand from between the cherubim to the fire that was between the cherubim, and took some of it and put it into the hands of the man clothed in linen, who took it and went out. 8The cherubim appeared to have the form of a human hand under their wings.
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-9And I looked, and behold, there were four wheels beside the cherubim, one beside each cherub, and the appearance of the wheels was like sparkling beryl. 10And as for their appearance, the four had the same likeness, as if a wheel were within a wheel. 11When they went, they went in any of their four directions[44] without turning as they went, but in whatever direction the front wheel[45] faced, the others followed without turning as they went. 12And their whole body, their rims, and their spokes, their wings,[46] and the wheels were full of eyes all around—the wheels that the four of them had. 13As for the wheels, they were called in my hearing “the whirling wheels.” 14And every one had four faces: the first face was the face of the cherub, and the second face was a human face, and the third the face of a lion, and the fourth the face of an eagle.
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-15And the cherubim mounted up. These were the living creatures that I saw by the Chebar canal. 16And when the cherubim went, the wheels went beside them. And when the cherubim lifted up their wings to mount up from the earth, the wheels did not turn from beside them. 17When they stood still, these stood still, and when they mounted up, these mounted up with them, for the spirit of the living creatures[47] was in them.
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-18Then the glory of the LORD went out from the threshold of the house, and stood over the cherubim. 19And the cherubim lifted up their wings and mounted up from the earth before my eyes as they went out, with the wheels beside them. And they stood at the entrance of the east gate of the house of the LORD, and the glory of the God of Israel was over them.
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-20These were the living creatures that I saw underneath the God of Israel by the Chebar canal; and I knew that they were cherubim. 21Each had four faces, and each four wings, and underneath their wings the likeness of human hands. 22And as for the likeness of their faces, they were the same faces whose appearance I had seen by the Chebar canal. Each one of them went straight forward.
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-Judgment on Wicked Counselors
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-11:1 The Spirit lifted me up and brought me to the east gate of the house of the LORD, which faces east. And behold, at the entrance of the gateway there were twenty-five men. And I saw among them Jaazaniah the son of Azzur, and Pelatiah the son of Benaiah, princes of the people. 2And he said to me, “Son of man, these are the men who devise iniquity and who give wicked counsel in this city; 3who say, ‘The time is not near[48] to build houses. This city is the cauldron, and we are the meat.’ 4Therefore prophesy against them, prophesy, O son of man.”
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-5And the Spirit of the LORD fell upon me, and he said to me, “Say, Thus says the LORD: So you think, O house of Israel. For I know the things that come into your mind. 6You have multiplied your slain in this city and have filled its streets with the slain. 7Therefore thus says the Lord GOD: Your slain whom you have laid in the midst of it, they are the meat, and this city is the cauldron, but you shall be brought out of the midst of it. 8You have feared the sword, and I will bring the sword upon you, declares the Lord GOD. 9And I will bring you out of the midst of it, and give you into the hands of foreigners, and execute judgments upon you. 10You shall fall by the sword. I will judge you at the border of Israel, and you shall know that I am the LORD. 11This city shall not be your cauldron, nor shall you be the meat in the midst of it. I will judge you at the border of Israel, 12and you shall know that I am the LORD. For you have not walked in my statutes, nor obeyed my rules, but have acted according to the rules of the nations that are around you.”
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-13And it came to pass, while I was prophesying, that Pelatiah the son of Benaiah died. Then I fell down on my face and cried out with a loud voice and said, “Ah, Lord GOD! Will you make a full end of the remnant of Israel?”
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-Israel's New Heart and Spirit
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-14And the word of the LORD came to me: 15“Son of man, your brothers, even your brothers, your kinsmen,[49] the whole house of Israel, all of them, are those of whom the inhabitants of Jerusalem have said, ‘Go far from the LORD; to us this land is given for a possession.’ 16Therefore say, ‘Thus says the Lord GOD: Though I removed them far off among the nations, and though I scattered them among the countries, yet I have been a sanctuary to them for a while[50] in the countries where they have gone.’ 17Therefore say, ‘Thus says the Lord GOD: I will gather you from the peoples and assemble you out of the countries where you have been scattered, and I will give you the land of Israel.’ 18And when they come there, they will remove from it all its detestable things and all its abominations. 19And I will give them one heart, and a new spirit I will put within them. I will remove the heart of stone from their flesh and give them a heart of flesh, 20that they may walk in my statutes and keep my rules and obey them. And they shall be my people, and I will be their God. 21But as for those whose heart goes after their detestable things and their abominations, I will[51] bring their deeds upon their own heads, declares the Lord GOD.”
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-22Then the cherubim lifted up their wings, with the wheels beside them, and the glory of the God of Israel was over them. 23And the glory of the LORD went up from the midst of the city and stood on the mountain that is on the east side of the city. 24And the Spirit lifted me up and brought me in the vision by the Spirit of God into Chaldea, to the exiles. Then the vision that I had seen went up from me. 25And I told the exiles all the things that the LORD had shown me.
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-Judah's Captivity Symbolized
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-12:1 The word of the LORD came to me: 2“Son of man, you dwell in the midst of a rebellious house, who have eyes to see, but see not, who have ears to hear, but hear not, for they are a rebellious house. 3As for you, son of man, prepare for yourself an exile's baggage, and go into exile by day in their sight. You shall go like an exile from your place to another place in their sight. Perhaps they will understand, though[52] they are a rebellious house. 4You shall bring out your baggage by day in their sight, as baggage for exile, and you shall go out yourself at evening in their sight, as those do who must go into exile. 5In their sight dig through the wall, and bring your baggage out through it. 6In their sight you shall lift the baggage upon your shoulder and carry it out at dusk. You shall cover your face that you may not see the land, for I have made you a sign for the house of Israel.”
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-7And I did as I was commanded. I brought out my baggage by day, as baggage for exile, and in the evening I dug through the wall with my own hands. I brought out my baggage at dusk, carrying it on my shoulder in their sight.
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-8In the morning the word of the LORD came to me: 9“Son of man, has not the house of Israel, the rebellious house, said to you, ‘What are you doing?’ 10Say to them, ‘Thus says the Lord GOD: This oracle concerns[53] the prince in Jerusalem and all the house of Israel who are in it.’[54] 11Say, ‘I am a sign for you: as I have done, so shall it be done to them. They shall go into exile, into captivity.’ 12And the prince who is among them shall lift his baggage upon his shoulder at dusk, and shall go out. They shall dig through the wall to bring him out through it. He shall cover his face, that he may not see the land with his eyes. 13And I will spread my net over him, and he shall be taken in my snare. And I will bring him to Babylon, the land of the Chaldeans, yet he shall not see it, and he shall die there. 14And I will scatter toward every wind all who are around him, his helpers and all his troops, and I will unsheathe the sword after them. 15And they shall know that I am the LORD, when I disperse them among the nations and scatter them among the countries. 16But I will let a few of them escape from the sword, from famine and pestilence, that they may declare all their abominations among the nations where they go, and may know that I am the LORD.”
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-17And the word of the LORD came to me: 18“Son of man, eat your bread with quaking, and drink water with trembling and with anxiety. 19And say to the people of the land, Thus says the Lord GOD concerning the inhabitants of Jerusalem in the land of Israel: They shall eat their bread with anxiety, and drink water in dismay. In this way her land will be stripped of all it contains, on account of the violence of all those who dwell in it. 20And the inhabited cities shall be laid waste, and the land shall become a desolation; and you shall know that I am the LORD.”
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-21And the word of the LORD came to me: 22“Son of man, what is this proverb that you[55] have about the land of Israel, saying, ‘The days grow long, and every vision comes to nothing’? 23Tell them therefore, ‘Thus says the Lord GOD: I will put an end to this proverb, and they shall no more use it as a proverb in Israel.’ But say to them, The days are near, and the fulfillment[56] of every vision. 24For there shall be no more any false vision or flattering divination within the house of Israel. 25For I am the LORD; I will speak the word that I will speak, and it will be performed. It will no longer be delayed, but in your days, O rebellious house, I will speak the word and perform it, declares the Lord GOD.”
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-26And the word of the LORD came to me: 27“Son of man, behold, they of the house of Israel say, ‘The vision that he sees is for many days from now, and he prophesies of times far off.’ 28Therefore say to them, Thus says the Lord GOD: None of my words will be delayed any longer, but the word that I speak will be performed, declares the Lord GOD.”
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-False Prophets Condemned
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-13:1 The word of the LORD came to me: 2“Son of man, prophesy against the prophets of Israel, who are prophesying, and say to those who prophesy from their own hearts: ‘Hear the word of the LORD!’ 3Thus says the Lord GOD, Woe to the foolish prophets who follow their own spirit, and have seen nothing! 4Your prophets have been like jackals among ruins, O Israel. 5You have not gone up into the breaches, or built up a wall for the house of Israel, that it might stand in battle in the day of the LORD. 6They have seen false visions and lying divinations. They say, ‘Declares the LORD,’ when the LORD has not sent them, and yet they expect him to fulfill their word. 7Have you not seen a false vision and uttered a lying divination, whenever you have said, ‘Declares the LORD,’ although I have not spoken?”
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-8Therefore thus says the Lord GOD: “Because you have uttered falsehood and seen lying visions, therefore behold, I am against you, declares the Lord GOD. 9My hand will be against the prophets who see false visions and who give lying divinations. They shall not be in the council of my people, nor be enrolled in the register of the house of Israel, nor shall they enter the land of Israel. And you shall know that I am the Lord GOD. 10Precisely because they have misled my people, saying, ‘Peace,’ when there is no peace, and because, when the people build a wall, these prophets smear it with whitewash,[57] 11say to those who smear it with whitewash that it shall fall! There will be a deluge of rain, and you, O great hailstones, will fall, and a stormy wind break out. 12And when the wall falls, will it not be said to you, ‘Where is the coating with which you smeared it?’ 13Therefore thus says the Lord GOD: I will make a stormy wind break out in my wrath, and there shall be a deluge of rain in my anger, and great hailstones in wrath to make a full end. 14And I will break down the wall that you have smeared with whitewash, and bring it down to the ground, so that its foundation will be laid bare. When it falls, you shall perish in the midst of it, and you shall know that I am the LORD. 15Thus will I spend my wrath upon the wall and upon those who have smeared it with whitewash, and I will say to you, The wall is no more, nor those who smeared it, 16the prophets of Israel who prophesied concerning Jerusalem and saw visions of peace for her, when there was no peace, declares the Lord GOD.
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-17“And you, son of man, set your face against the daughters of your people, who prophesy out of their own minds. Prophesy against them 18and say, Thus says the Lord GOD: Woe to the women who sew magic bands upon all wrists, and make veils for the heads of persons of every stature, in the hunt for souls! Will you hunt down souls belonging to my people and keep your own souls alive? 19You have profaned me among my people for handfuls of barley and for pieces of bread, putting to death souls who should not die and keeping alive souls who should not live, by your lying to my people, who listen to lies.
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-20“Therefore thus says the Lord GOD: Behold, I am against your magic bands with which you hunt the souls like birds, and I will tear them from your arms, and I will let the souls whom you hunt go free, the souls like birds. 21Your veils also I will tear off and deliver my people out of your hand, and they shall be no more in your hand as prey, and you shall know that I am the LORD. 22Because you have disheartened the righteous falsely, although I have not grieved him, and you have encouraged the wicked, that he should not turn from his evil way to save his life, 23therefore you shall no more see false visions nor practice divination. I will deliver my people out of your hand. And you shall know that I am the LORD.”
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-Idolatrous Elders Condemned
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-14:1 Then certain of the elders of Israel came to me and sat before me. 2And the word of the LORD came to me: 3“Son of man, these men have taken their idols into their hearts, and set the stumbling block of their iniquity before their faces. Should I indeed let myself be consulted by them? 4Therefore speak to them and say to them, Thus says the Lord GOD: Any one of the house of Israel who takes his idols into his heart and sets the stumbling block of his iniquity before his face, and yet comes to the prophet, I the LORD will answer him as he comes with the multitude of his idols, 5that I may lay hold of the hearts of the house of Israel, who are all estranged from me through their idols.
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-6“Therefore say to the house of Israel, Thus says the Lord GOD: Repent and turn away from your idols, and turn away your faces from all your abominations. 7For any one of the house of Israel, or of the strangers who sojourn in Israel, who separates himself from me, taking his idols into his heart and putting the stumbling block of his iniquity before his face, and yet comes to a prophet to consult me through him, I the LORD will answer him myself. 8And I will set my face against that man; I will make him a sign and a byword and cut him off from the midst of my people, and you shall know that I am the LORD. 9And if the prophet is deceived and speaks a word, I, the LORD, have deceived that prophet, and I will stretch out my hand against him and will destroy him from the midst of my people Israel. 10And they shall bear their punishment[58]—the punishment of the prophet and the punishment of the inquirer shall be alike— 11that the house of Israel may no more go astray from me, nor defile themselves anymore with all their transgressions, but that they may be my people and I may be their God, declares the Lord GOD.”
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-Jerusalem Will Not Be Spared
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-12And the word of the LORD came to me: 13“Son of man, when a land sins against me by acting faithlessly, and I stretch out my hand against it and break its supply[59] of bread and send famine upon it, and cut off from it man and beast, 14even if these three men, Noah, Daniel, and Job, were in it, they would deliver but their own lives by their righteousness, declares the Lord GOD.
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-15“If I cause wild beasts to pass through the land, and they ravage it, and it be made desolate, so that no one may pass through because of the beasts, 16even if these three men were in it, as I live, declares the Lord GOD, they would deliver neither sons nor daughters. They alone would be delivered, but the land would be desolate.
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-17“Or if I bring a sword upon that land and say, Let a sword pass through the land, and I cut off from it man and beast, 18though these three men were in it, as I live, declares the Lord GOD, they would deliver neither sons nor daughters, but they alone would be delivered.
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-19“Or if I send a pestilence into that land and pour out my wrath upon it with blood, to cut off from it man and beast, 20even if Noah, Daniel, and Job were in it, as I live, declares the Lord GOD, they would deliver neither son nor daughter. They would deliver but their own lives by their righteousness.
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-21“For thus says the Lord GOD: How much more when I send upon Jerusalem my four disastrous acts of judgment, sword, famine, wild beasts, and pestilence, to cut off from it man and beast! 22But behold, some survivors will be left in it, sons and daughters who will be brought out; behold, when they come out to you, and you see their ways and their deeds, you will be consoled for the disaster that I have brought upon Jerusalem, for all that I have brought upon it. 23They will console you, when you see their ways and their deeds, and you shall know that I have not done without cause all that I have done in it, declares the Lord GOD.”
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-Jerusalem, a Useless Vine
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-15:1 And the word of the LORD came to me: 2“Son of man, how does the wood of the vine surpass any wood, the vine branch that is among the trees of the forest? 3Is wood taken from it to make anything? Do people take a peg from it to hang any vessel on it? 4Behold, it is given to the fire for fuel. When the fire has consumed both ends of it, and the middle of it is charred, is it useful for anything? 5Behold, when it was whole, it was used for nothing. How much less, when the fire has consumed it and it is charred, can it ever be used for anything! 6Therefore thus says the Lord GOD: Like the wood of the vine among the trees of the forest, which I have given to the fire for fuel, so have I given up the inhabitants of Jerusalem. 7And I will set my face against them. Though they escape from the fire, the fire shall yet consume them, and you will know that I am the LORD, when I set my face against them. 8And I will make the land desolate, because they have acted faithlessly, declares the Lord GOD.”
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-The LORD's Faithless Bride
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-16:1 Again the word of the LORD came to me: 2“Son of man, make known to Jerusalem her abominations, 3and say, Thus says the Lord GOD to Jerusalem: Your origin and your birth are of the land of the Canaanites; your father was an Amorite and your mother a Hittite. 4And as for your birth, on the day you were born your cord was not cut, nor were you washed with water to cleanse you, nor rubbed with salt, nor wrapped in swaddling cloths. 5No eye pitied you, to do any of these things to you out of compassion for you, but you were cast out on the open field, for you were abhorred, on the day that you were born.
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-6“And when I passed by you and saw you wallowing in your blood, I said to you in your blood, ‘Live!’ I said to you in your blood, ‘Live!’ 7I made you flourish like a plant of the field. And you grew up and became tall and arrived at full adornment. Your breasts were formed, and your hair had grown; yet you were naked and bare.
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-8“When I passed by you again and saw you, behold, you were at the age for love, and I spread the corner of my garment over you and covered your nakedness; I made my vow to you and entered into a covenant with you, declares the Lord GOD, and you became mine. 9Then I bathed you with water and washed off your blood from you and anointed you with oil. 10I clothed you also with embroidered cloth and shod you with fine leather. I wrapped you in fine linen and covered you with silk.[60] 11And I adorned you with ornaments and put bracelets on your wrists and a chain on your neck. 12And I put a ring on your nose and earrings in your ears and a beautiful crown on your head. 13Thus you were adorned with gold and silver, and your clothing was of fine linen and silk and embroidered cloth. You ate fine flour and honey and oil. You grew exceedingly beautiful and advanced to royalty. 14And your renown went forth among the nations because of your beauty, for it was perfect through the splendor that I had bestowed on you, declares the Lord GOD.
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-15“But you trusted in your beauty and played the whore[61] because of your renown and lavished your whorings[62] on any passerby; your beauty[63] became his. 16You took some of your garments and made for yourself colorful shrines, and on them played the whore. The like has never been, nor ever shall be.[64] 17You also took your beautiful jewels of my gold and of my silver, which I had given you, and made for yourself images of men, and with them played the whore. 18And you took your embroidered garments to cover them, and set my oil and my incense before them. 19Also my bread that I gave you—I fed you with fine flour and oil and honey—you set before them for a pleasing aroma; and so it was, declares the Lord GOD. 20And you took your sons and your daughters, whom you had borne to me, and these you sacrificed to them to be devoured. Were your whorings so small a matter 21that you slaughtered my children and delivered them up as an offering by fire to them? 22And in all your abominations and your whorings you did not remember the days of your youth, when you were naked and bare, wallowing in your blood.
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-23“And after all your wickedness (woe, woe to you! declares the Lord GOD), 24you built yourself a vaulted chamber and made yourself a lofty place in every square. 25At the head of every street you built your lofty place and made your beauty an abomination, offering yourself[65] to any passerby and multiplying your whoring. 26You also played the whore with the Egyptians, your lustful neighbors, multiplying your whoring, to provoke me to anger. 27Behold, therefore, I stretched out my hand against you and diminished your allotted portion and delivered you to the greed of your enemies, the daughters of the Philistines, who were ashamed of your lewd behavior. 28You played the whore also with the Assyrians, because you were not satisfied; yes, you played the whore with them, and still you were not satisfied. 29You multiplied your whoring also with the trading land of Chaldea, and even with this you were not satisfied.
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-30“How sick is your heart,[66] declares the Lord GOD, because you did all these things, the deeds of a brazen prostitute, 31building your vaulted chamber at the head of every street, and making your lofty place in every square. Yet you were not like a prostitute, because you scorned payment. 32Adulterous wife, who receives strangers instead of her husband! 33Men give gifts to all prostitutes, but you gave your gifts to all your lovers, bribing them to come to you from every side with your whorings. 34So you were different from other women in your whorings. No one solicited you to play the whore, and you gave payment, while no payment was given to you; therefore you were different.
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-35“Therefore, O prostitute, hear the word of the LORD: 36Thus says the Lord GOD, Because your lust was poured out and your nakedness uncovered in your whorings with your lovers, and with all your abominable idols, and because of the blood of your children that you gave to them, 37therefore, behold, I will gather all your lovers with whom you took pleasure, all those you loved and all those you hated. I will gather them against you from every side and will uncover your nakedness to them, that they may see all your nakedness. 38And I will judge you as women who commit adultery and shed blood are judged, and bring upon you the blood of wrath and jealousy. 39And I will give you into their hands, and they shall throw down your vaulted chamber and break down your lofty places. They shall strip you of your clothes and take your beautiful jewels and leave you naked and bare. 40They shall bring up a crowd against you, and they shall stone you and cut you to pieces with their swords. 41And they shall burn your houses and execute judgments upon you in the sight of many women. I will make you stop playing the whore, and you shall also give payment no more. 42So will I satisfy my wrath on you, and my jealousy shall depart from you. I will be calm and will no more be angry. 43Because you have not remembered the days of your youth, but have enraged me with all these things, therefore, behold, I have returned your deeds upon your head, declares the Lord GOD. Have you not committed lewdness in addition to all your abominations?
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-44“Behold, everyone who uses proverbs will use this proverb about you: ‘Like mother, like daughter.’ 45You are the daughter of your mother, who loathed her husband and her children; and you are the sister of your sisters, who loathed their husbands and their children. Your mother was a Hittite and your father an Amorite. 46And your elder sister is Samaria, who lived with her daughters to the north of you; and your younger sister, who lived to the south of you, is Sodom with her daughters. 47Not only did you walk in their ways and do according to their abominations; within a very little time you were more corrupt than they in all your ways. 48As I live, declares the Lord GOD, your sister Sodom and her daughters have not done as you and your daughters have done. 49Behold, this was the guilt of your sister Sodom: she and her daughters had pride, excess of food, and prosperous ease, but did not aid the poor and needy. 50They were haughty and did an abomination before me. So I removed them, when I saw it. 51Samaria has not committed half your sins. You have committed more abominations than they, and have made your sisters appear righteous by all the abominations that you have committed. 52Bear your disgrace, you also, for you have intervened on behalf of your sisters. Because of your sins in which you acted more abominably than they, they are more in the right than you. So be ashamed, you also, and bear your disgrace, for you have made your sisters appear righteous.
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-53“I will restore their fortunes, both the fortunes of Sodom and her daughters, and the fortunes of Samaria and her daughters, and I will restore your own fortunes in their midst, 54that you may bear your disgrace and be ashamed of all that you have done, becoming a consolation to them. 55As for your sisters, Sodom and her daughters shall return to their former state, and Samaria and her daughters shall return to their former state, and you and your daughters shall return to your former state. 56Was not your sister Sodom a byword in your mouth in the day of your pride, 57before your wickedness was uncovered? Now you have become an object of reproach for the daughters of Syria[67] and all those around her, and for the daughters of the Philistines, those all around who despise you. 58You bear the penalty of your lewdness and your abominations, declares the LORD.
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-The LORD's Everlasting Covenant
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-59“For thus says the Lord GOD: I will deal with you as you have done, you who have despised the oath in breaking the covenant, 60yet I will remember my covenant with you in the days of your youth, and I will establish for you an everlasting covenant. 61Then you will remember your ways and be ashamed when you take your sisters, both your elder and your younger, and I give them to you as daughters, but not on account of[68] the covenant with you. 62I will establish my covenant with you, and you shall know that I am the LORD, 63that you may remember and be confounded, and never open your mouth again because of your shame, when I atone for you for all that you have done, declares the Lord GOD.”
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-Parable of Two Eagles and a Vine
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-17:1 The word of the LORD came to me: 2“Son of man, propound a riddle, and speak a parable to the house of Israel; 3say, Thus says the Lord GOD: A great eagle with great wings and long pinions, rich in plumage of many colors, came to Lebanon and took the top of the cedar. 4He broke off the topmost of its young twigs and carried it to a land of trade and set it in a city of merchants. 5Then he took of the seed of the land and planted it in fertile soil.[69] He placed it beside abundant waters. He set it like a willow twig, 6and it sprouted and became a low spreading vine, and its branches turned toward him, and its roots remained where it stood. So it became a vine and produced branches and put out boughs.
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-7“And there was another great eagle with great wings and much plumage, and behold, this vine bent its roots toward him and shot forth its branches toward him from the bed where it was planted, that he might water it. 8It had been planted on good soil by abundant waters, that it might produce branches and bear fruit and become a noble vine.
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-9“Say, Thus says the Lord GOD: Will it thrive? Will he not pull up its roots and cut off its fruit, so that it withers, so that all its fresh sprouting leaves wither? It will not take a strong arm or many people to pull it from its roots. 10Behold, it is planted; will it thrive? Will it not utterly wither when the east wind strikes it—wither away on the bed where it sprouted?”
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-11Then the word of the LORD came to me: 12“Say now to the rebellious house, Do you not know what these things mean? Tell them, behold, the king of Babylon came to Jerusalem, and took her king and her princes and brought them to him to Babylon. 13And he took one of the royal offspring[70] and made a covenant with him, putting him under oath (the chief men of the land he had taken away), 14that the kingdom might be humble and not lift itself up, and keep his covenant that it might stand. 15But he rebelled against him by sending his ambassadors to Egypt, that they might give him horses and a large army. Will he thrive? Can one escape who does such things? Can he break the covenant and yet escape?
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-16“As I live, declares the Lord GOD, surely in the place where the king dwells who made him king, whose oath he despised, and whose covenant with him he broke, in Babylon he shall die. 17Pharaoh with his mighty army and great company will not help him in war, when mounds are cast up and siege walls built to cut off many lives. 18He despised the oath in breaking the covenant, and behold, he gave his hand and did all these things; he shall not escape. 19Therefore thus says the Lord GOD: As I live, surely it is my oath that he despised, and my covenant that he broke. I will return it upon his head. 20I will spread my net over him, and he shall be taken in my snare, and I will bring him to Babylon and enter into judgment with him there for the treachery he has committed against me. 21And all the pick[71] of his troops shall fall by the sword, and the survivors shall be scattered to every wind, and you shall know that I am the LORD; I have spoken.”
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-22Thus says the Lord GOD: “I myself will take a sprig from the lofty top of the cedar and will set it out. I will break off from the topmost of its young twigs a tender one, and I myself will plant it on a high and lofty mountain. 23On the mountain height of Israel will I plant it, that it may bear branches and produce fruit and become a noble cedar. And under it will dwell every kind of bird; in the shade of its branches birds of every sort will nest. 24And all the trees of the field shall know that I am the LORD; I bring low the high tree, and make high the low tree, dry up the green tree, and make the dry tree flourish. I am the LORD; I have spoken, and I will do it.”
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-The Soul Who Sins Shall Die
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-18:1 The word of the LORD came to me: 2“What do you[72] mean by repeating this proverb concerning the land of Israel, ‘The fathers have eaten sour grapes, and the children's teeth are set on edge’? 3As I live, declares the Lord GOD, this proverb shall no more be used by you in Israel. 4Behold, all souls are mine; the soul of the father as well as the soul of the son is mine: the soul who sins shall die.
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-5“If a man is righteous and does what is just and right— 6if he does not eat upon the mountains or lift up his eyes to the idols of the house of Israel, does not defile his neighbor's wife or approach a woman in her time of menstrual impurity, 7does not oppress anyone, but restores to the debtor his pledge, commits no robbery, gives his bread to the hungry and covers the naked with a garment, 8does not lend at interest or take any profit,[73] withholds his hand from injustice, executes true justice between man and man, 9walks in my statutes, and keeps my rules by acting faithfully—he is righteous; he shall surely live, declares the Lord GOD.
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-10“If he fathers a son who is violent, a shedder of blood, who does any of these things 11(though he himself did none of these things), who even eats upon the mountains, defiles his neighbor's wife, 12oppresses the poor and needy, commits robbery, does not restore the pledge, lifts up his eyes to the idols, commits abomination, 13lends at interest, and takes profit; shall he then live? He shall not live. He has done all these abominations; he shall surely die; his blood shall be upon himself.
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-14“Now suppose this man fathers a son who sees all the sins that his father has done; he sees, and does not do likewise: 15he does not eat upon the mountains or lift up his eyes to the idols of the house of Israel, does not defile his neighbor's wife, 16does not oppress anyone, exacts no pledge, commits no robbery, but gives his bread to the hungry and covers the naked with a garment, 17withholds his hand from iniquity,[74] takes no interest or profit, obeys my rules, and walks in my statutes; he shall not die for his father's iniquity; he shall surely live. 18As for his father, because he practiced extortion, robbed his brother, and did what is not good among his people, behold, he shall die for his iniquity.
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-19“Yet you say, ‘Why should not the son suffer for the iniquity of the father?’ When the son has done what is just and right, and has been careful to observe all my statutes, he shall surely live. 20The soul who sins shall die. The son shall not suffer for the iniquity of the father, nor the father suffer for the iniquity of the son. The righteousness of the righteous shall be upon himself, and the wickedness of the wicked shall be upon himself.
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-21“But if a wicked person turns away from all his sins that he has committed and keeps all my statutes and does what is just and right, he shall surely live; he shall not die. 22None of the transgressions that he has committed shall be remembered against him; for the righteousness that he has done he shall live. 23Have I any pleasure in the death of the wicked, declares the Lord GOD, and not rather that he should turn from his way and live? 24But when a righteous person turns away from his righteousness and does injustice and does the same abominations that the wicked person does, shall he live? None of the righteous deeds that he has done shall be remembered; for the treachery of which he is guilty and the sin he has committed, for them he shall die.
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-25“Yet you say, ‘The way of the Lord is not just.’ Hear now, O house of Israel: Is my way not just? Is it not your ways that are not just? 26When a righteous person turns away from his righteousness and does injustice, he shall die for it; for the injustice that he has done he shall die. 27Again, when a wicked person turns away from the wickedness he has committed and does what is just and right, he shall save his life. 28Because he considered and turned away from all the transgressions that he had committed, he shall surely live; he shall not die. 29Yet the house of Israel says, ‘The way of the Lord is not just.’ O house of Israel, are my ways not just? Is it not your ways that are not just?
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-30“Therefore I will judge you, O house of Israel, every one according to his ways, declares the Lord GOD. Repent and turn from all your transgressions, lest iniquity be your ruin.[75] 31Cast away from you all the transgressions that you have committed, and make yourselves a new heart and a new spirit! Why will you die, O house of Israel? 32For I have no pleasure in the death of anyone, declares the Lord GOD; so turn, and live.”
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-A Lament for the Princes of Israel
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-19:1 And you, take up a lamentation for the princes of Israel, 2and say:
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-What was your mother? A lioness!
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-Among lions she crouched;
-
-in the midst of young lions
-
-she reared her cubs.
-
-3And she brought up one of her cubs;
-
-he became a young lion,
-
-and he learned to catch prey;
-
-he devoured men.
-
-4The nations heard about him;
-
-he was caught in their pit,
-
-and they brought him with hooks
-
-to the land of Egypt.
-
-5When she saw that she waited in vain,
-
-that her hope was lost,
-
-she took another of her cubs
-
-and made him a young lion.
-
-6He prowled among the lions;
-
-he became a young lion,
-
-and he learned to catch prey;
-
-he devoured men,
-
-7and seized[76] their widows.
-
-He laid waste their cities,
-
-and the land was appalled and all who were in it
-
-at the sound of his roaring.
-
-8Then the nations set against him
-
-from provinces on every side;
-
-they spread their net over him;
-
-he was taken in their pit.
-
-9With hooks they put him in a cage[77]
-
-and brought him to the king of Babylon;
-
-they brought him into custody,
-
-that his voice should no more be heard
-
-on the mountains of Israel.
-
-10Your mother was like a vine in a vineyard[78]
-
-planted by the water,
-
-fruitful and full of branches
-
-by reason of abundant water.
-
-11Its strong stems became
-
-rulers' scepters;
-
-it towered aloft
-
-among the thick boughs;[79]
-
-it was seen in its height
-
-with the mass of its branches.
-
-12But the vine was plucked up in fury,
-
-cast down to the ground;
-
-the east wind dried up its fruit;
-
-they were stripped off and withered.
-
-As for its strong stem,
-
-fire consumed it.
-
-13Now it is planted in the wilderness,
-
-in a dry and thirsty land.
-
-14And fire has gone out from the stem of its shoots,
-
-has consumed its fruit,
-
-so that there remains in it no strong stem,
-
-no scepter for ruling.
-
-This is a lamentation and has become a lamentation.
-
-
-
-
-
-Israel's Continuing Rebellion
-
-
-20:1 In the seventh year, in the fifth month, on the tenth day of the month, certain of the elders of Israel came to inquire of the LORD, and sat before me. 2And the word of the LORD came to me: 3“Son of man, speak to the elders of Israel, and say to them, Thus says the Lord GOD, Is it to inquire of me that you come? As I live, declares the Lord GOD, I will not be inquired of by you. 4Will you judge them, son of man, will you judge them? Let them know the abominations of their fathers, 5and say to them, Thus says the Lord GOD: On the day when I chose Israel, I swore[80] to the offspring of the house of Jacob, making myself known to them in the land of Egypt; I swore to them, saying, I am the LORD your God. 6On that day I swore to them that I would bring them out of the land of Egypt into a land that I had searched out for them, a land flowing with milk and honey, the most glorious of all lands. 7And I said to them, Cast away the detestable things your eyes feast on, every one of you, and do not defile yourselves with the idols of Egypt; I am the LORD your God. 8But they rebelled against me and were not willing to listen to me. None of them cast away the detestable things their eyes feasted on, nor did they forsake the idols of Egypt.
-
-“Then I said I would pour out my wrath upon them and spend my anger against them in the midst of the land of Egypt. 9But I acted for the sake of my name, that it should not be profaned in the sight of the nations among whom they lived, in whose sight I made myself known to them in bringing them out of the land of Egypt. 10So I led them out of the land of Egypt and brought them into the wilderness. 11I gave them my statutes and made known to them my rules, by which, if a person does them, he shall live. 12Moreover, I gave them my Sabbaths, as a sign between me and them, that they might know that I am the LORD who sanctifies them. 13But the house of Israel rebelled against me in the wilderness. They did not walk in my statutes but rejected my rules, by which, if a person does them, he shall live; and my Sabbaths they greatly profaned.
-
-“Then I said I would pour out my wrath upon them in the wilderness, to make a full end of them. 14But I acted for the sake of my name, that it should not be profaned in the sight of the nations, in whose sight I had brought them out. 15Moreover, I swore to them in the wilderness that I would not bring them into the land that I had given them, a land flowing with milk and honey, the most glorious of all lands, 16because they rejected my rules and did not walk in my statutes, and profaned my Sabbaths; for their heart went after their idols. 17Nevertheless, my eye spared them, and I did not destroy them or make a full end of them in the wilderness.
-
-18“And I said to their children in the wilderness, Do not walk in the statutes of your fathers, nor keep their rules, nor defile yourselves with their idols. 19I am the LORD your God; walk in my statutes, and be careful to obey my rules, 20and keep my Sabbaths holy that they may be a sign between me and you, that you may know that I am the LORD your God. 21But the children rebelled against me. They did not walk in my statutes and were not careful to obey my rules, by which, if a person does them, he shall live; they profaned my Sabbaths.
-
-“Then I said I would pour out my wrath upon them and spend my anger against them in the wilderness. 22But I withheld my hand and acted for the sake of my name, that it should not be profaned in the sight of the nations, in whose sight I had brought them out. 23Moreover, I swore to them in the wilderness that I would scatter them among the nations and disperse them through the countries, 24because they had not obeyed my rules, but had rejected my statutes and profaned my Sabbaths, and their eyes were set on their fathers' idols. 25Moreover, I gave them statutes that were not good and rules by which they could not have life, 26and I defiled them through their very gifts in their offering up all their firstborn, that I might devastate them. I did it that they might know that I am the LORD.
-
-27“Therefore, son of man, speak to the house of Israel and say to them, Thus says the Lord GOD: In this also your fathers blasphemed me, by dealing treacherously with me. 28For when I had brought them into the land that I swore to give them, then wherever they saw any high hill or any leafy tree, there they offered their sacrifices and there they presented the provocation of their offering; there they sent up their pleasing aromas, and there they poured out their drink offerings. 29(I said to them, What is the high place to which you go? So its name is called Bamah[81] to this day.)
-
-30“Therefore say to the house of Israel, Thus says the Lord GOD: Will you defile yourselves after the manner of your fathers and go whoring after their detestable things? 31When you present your gifts and offer up your children in fire,[82] you defile yourselves with all your idols to this day. And shall I be inquired of by you, O house of Israel? As I live, declares the Lord GOD, I will not be inquired of by you.
-
-32“What is in your mind shall never happen—the thought, ‘Let us be like the nations, like the tribes of the countries, and worship wood and stone.’
-
-
-
-
-
-The LORD Will Restore Israel
-
-
-33“As I live, declares the Lord GOD, surely with a mighty hand and an outstretched arm and with wrath poured out I will be king over you. 34I will bring you out from the peoples and gather you out of the countries where you are scattered, with a mighty hand and an outstretched arm, and with wrath poured out. 35And I will bring you into the wilderness of the peoples, and there I will enter into judgment with you face to face. 36As I entered into judgment with your fathers in the wilderness of the land of Egypt, so I will enter into judgment with you, declares the Lord GOD. 37I will make you pass under the rod, and I will bring you into the bond of the covenant. 38I will purge out the rebels from among you, and those who transgress against me. I will bring them out of the land where they sojourn, but they shall not enter the land of Israel. Then you will know that I am the LORD.
-
-39“As for you, O house of Israel, thus says the Lord GOD: Go serve every one of you his idols, now and hereafter, if you will not listen to me; but my holy name you shall no more profane with your gifts and your idols.
-
-40“For on my holy mountain, the mountain height of Israel, declares the Lord GOD, there all the house of Israel, all of them, shall serve me in the land. There I will accept them, and there I will require your contributions and the choicest of your gifts, with all your sacred offerings. 41As a pleasing aroma I will accept you, when I bring you out from the peoples and gather you out of the countries where you have been scattered. And I will manifest my holiness among you in the sight of the nations. 42And you shall know that I am the LORD, when I bring you into the land of Israel, the country that I swore to give to your fathers. 43And there you shall remember your ways and all your deeds with which you have defiled yourselves, and you shall loathe yourselves for all the evils that you have committed. 44And you shall know that I am the LORD, when I deal with you for my name's sake, not according to your evil ways, nor according to your corrupt deeds, O house of Israel, declares the Lord GOD.”
-
-45[83] And the word of the LORD came to me: 46“Son of man, set your face toward the southland;[84] preach against the south, and prophesy against the forest land in the Negeb. 47Say to the forest of the Negeb, Hear the word of the LORD: Thus says the Lord GOD, Behold, I will kindle a fire in you, and it shall devour every green tree in you and every dry tree. The blazing flame shall not be quenched, and all faces from south to north shall be scorched by it. 48All flesh shall see that I the LORD have kindled it; it shall not be quenched.” 49Then I said, “Ah, Lord GOD! They are saying of me, ‘Is he not a maker of parables?’”
-
-
-
-
-
-The LORD Has Drawn His Sword
-
-
-21:1 [85] The word of the LORD came to me: 2“Son of man, set your face toward Jerusalem and preach against the sanctuaries.[86] Prophesy against the land of Israel 3and say to the land of Israel, Thus says the LORD: Behold, I am against you and will draw my sword from its sheath and will cut off from you both righteous and wicked. 4Because I will cut off from you both righteous and wicked, therefore my sword shall be drawn from its sheath against all flesh from south to north. 5And all flesh shall know that I am the LORD. I have drawn my sword from its sheath; it shall not be sheathed again.
-
-6“As for you, son of man, groan; with breaking heart and bitter grief, groan before their eyes. 7And when they say to you, ‘Why do you groan?’ you shall say, ‘Because of the news that it is coming. Every heart will melt, and all hands will be feeble; every spirit will faint, and all knees will be weak as water. Behold, it is coming, and it will be fulfilled,’” declares the Lord GOD.
-
-8And the word of the LORD came to me: 9“Son of man, prophesy and say, Thus says the Lord, say:
-
-“A sword, a sword is sharpened
-
-and also polished,
-
-10sharpened for slaughter,
-
-polished to flash like lightning!
-
-(Or shall we rejoice? You have despised the rod, my son, with everything of wood.)[87] 11So the sword is given to be polished, that it may be grasped in the hand. It is sharpened and polished to be given into the hand of the slayer. 12Cry out and wail, son of man, for it is against my people. It is against all the princes of Israel. They are delivered over to the sword with my people. Strike therefore upon your thigh. 13For it will not be a testing—what could it do if you despise the rod?”[88] declares the Lord GOD.
-
-14“As for you, son of man, prophesy. Clap your hands and let the sword come down twice, yes, three times,[89] the sword for those to be slain. It is the sword for the great slaughter, which surrounds them, 15that their hearts may melt, and many stumble.[90] At all their gates I have given the glittering sword. Ah, it is made like lightning; it is taken up[91] for slaughter. 16Cut sharply to the right; set yourself to the left, wherever your face is directed. 17I also will clap my hands, and I will satisfy my fury; I the LORD have spoken.”
-
-18The word of the LORD came to me again: 19“As for you, son of man, mark two ways for the sword of the king of Babylon to come. Both of them shall come from the same land. And make a signpost; make it at the head of the way to a city. 20Mark a way for the sword to come to Rabbah of the Ammonites and to Judah, into Jerusalem the fortified. 21For the king of Babylon stands at the parting of the way, at the head of the two ways, to use divination. He shakes the arrows; he consults the teraphim;[92] he looks at the liver. 22Into his right hand comes the divination for Jerusalem, to set battering rams, to open the mouth with murder, to lift up the voice with shouting, to set battering rams against the gates, to cast up mounds, to build siege towers. 23But to them it will seem like a false divination. They have sworn solemn oaths, but he brings their guilt to remembrance, that they may be taken.
-
-24“Therefore thus says the Lord GOD: Because you have made your guilt to be remembered, in that your transgressions are uncovered, so that in all your deeds your sins appear—because you have come to remembrance, you shall be taken in hand. 25And you, O profane[93] wicked one, prince of Israel, whose day has come, the time of your final punishment, 26thus says the Lord GOD: Remove the turban and take off the crown. Things shall not remain as they are. Exalt that which is low, and bring low that which is exalted. 27A ruin, ruin, ruin I will make it. This also shall not be, until he comes, the one to whom judgment belongs, and I will give it to him.
-
-28“And you, son of man, prophesy, and say, Thus says the Lord GOD concerning the Ammonites and concerning their reproach; say, A sword, a sword is drawn for the slaughter. It is polished to consume and to flash like lightning— 29while they see for you false visions, while they divine lies for you—to place you on the necks of the profane wicked, whose day has come, the time of their final punishment. 30Return it to its sheath. In the place where you were created, in the land of your origin, I will judge you. 31And I will pour out my indignation upon you; I will blow upon you with the fire of my wrath, and I will deliver you into the hands of brutish men, skillful to destroy. 32You shall be fuel for the fire. Your blood shall be in the midst of the land. You shall be no more remembered, for I the LORD have spoken.”
-
-
-
-
-
-Israel's Shedding of Blood
-
-
-22:1 And the word of the LORD came to me, saying, 2“And you, son of man, will you judge, will you judge the bloody city? Then declare to her all her abominations. 3You shall say, Thus says the Lord GOD: A city that sheds blood in her midst, so that her time may come, and that makes idols to defile herself! 4You have become guilty by the blood that you have shed, and defiled by the idols that you have made, and you have brought your days near, the appointed time of[94] your years has come. Therefore I have made you a reproach to the nations, and a mockery to all the countries. 5Those who are near and those who are far from you will mock you; your name is defiled; you are full of tumult.
-
-6“Behold, the princes of Israel in you, every one according to his power, have been bent on shedding blood. 7Father and mother are treated with contempt in you; the sojourner suffers extortion in your midst; the fatherless and the widow are wronged in you. 8You have despised my holy things and profaned my Sabbaths. 9There are men in you who slander to shed blood, and people in you who eat on the mountains; they commit lewdness in your midst. 10In you men uncover their fathers' nakedness; in you they violate women who are unclean in their menstrual impurity. 11One commits abomination with his neighbor's wife; another lewdly defiles his daughter-in-law; another in you violates his sister, his father's daughter. 12In you they take bribes to shed blood; you take interest and profit[95] and make gain of your neighbors by extortion; but me you have forgotten, declares the Lord GOD.
-
-13“Behold, I strike my hand at the dishonest gain that you have made, and at the blood that has been in your midst. 14Can your courage endure, or can your hands be strong, in the days that I shall deal with you? I the LORD have spoken, and I will do it. 15I will scatter you among the nations and disperse you through the countries, and I will consume your uncleanness out of you. 16And you shall be profaned by your own doing in the sight of the nations, and you shall know that I am the LORD.”
-
-17And the word of the LORD came to me: 18“Son of man, the house of Israel has become dross to me; all of them are bronze and tin and iron and lead in the furnace; they are dross of silver. 19Therefore thus says the Lord GOD: Because you have all become dross, therefore, behold, I will gather you into the midst of Jerusalem. 20As one gathers silver and bronze and iron and lead and tin into a furnace, to blow the fire on it in order to melt it, so I will gather you in my anger and in my wrath, and I will put you in and melt you. 21I will gather you and blow on you with the fire of my wrath, and you shall be melted in the midst of it. 22As silver is melted in a furnace, so you shall be melted in the midst of it, and you shall know that I am the LORD; I have poured out my wrath upon you.”
-
-23And the word of the LORD came to me: 24“Son of man, say to her, You are a land that is not cleansed or rained upon in the day of indignation. 25The conspiracy of her prophets in her midst is like a roaring lion tearing the prey; they have devoured human lives; they have taken treasure and precious things; they have made many widows in her midst. 26Her priests have done violence to my law and have profaned my holy things. They have made no distinction between the holy and the common, neither have they taught the difference between the unclean and the clean, and they have disregarded my Sabbaths, so that I am profaned among them. 27Her princes in her midst are like wolves tearing the prey, shedding blood, destroying lives to get dishonest gain. 28And her prophets have smeared whitewash for them, seeing false visions and divining lies for them, saying, ‘Thus says the Lord GOD,’ when the LORD has not spoken. 29The people of the land have practiced extortion and committed robbery. They have oppressed the poor and needy, and have extorted from the sojourner without justice. 30And I sought for a man among them who should build up the wall and stand in the breach before me for the land, that I should not destroy it, but I found none. 31Therefore I have poured out my indignation upon them. I have consumed them with the fire of my wrath. I have returned their way upon their heads, declares the Lord GOD.”
-
-
-
-
-
-Oholah and Oholibah
-
-
-23:1 The word of the LORD came to me: 2“Son of man, there were two women, the daughters of one mother. 3They played the whore in Egypt; they played the whore in their youth; there their breasts were pressed and their virgin bosoms[96] handled. 4Oholah was the name of the elder and Oholibah the name of her sister. They became mine, and they bore sons and daughters. As for their names, Oholah is Samaria, and Oholibah is Jerusalem.
-
-5“Oholah played the whore while she was mine, and she lusted after her lovers the Assyrians, warriors 6clothed in purple, governors and commanders, all of them desirable young men, horsemen riding on horses. 7She bestowed her whoring upon them, the choicest men of Assyria all of them, and she defiled herself with all the idols of everyone after whom she lusted. 8She did not give up her whoring that she had begun in Egypt; for in her youth men had lain with her and handled her virgin bosom and poured out their whoring lust upon her. 9Therefore I delivered her into the hands of her lovers, into the hands of the Assyrians, after whom she lusted. 10These uncovered her nakedness; they seized her sons and her daughters; and as for her, they killed her with the sword; and she became a byword among women, when judgment had been executed on her.
-
-11“Her sister Oholibah saw this, and she became more corrupt than her sister[97] in her lust and in her whoring, which was worse than that of her sister. 12She lusted after the Assyrians, governors and commanders, warriors clothed in full armor, horsemen riding on horses, all of them desirable young men. 13And I saw that she was defiled; they both took the same way. 14But she carried her whoring further. She saw men portrayed on the wall, the images of the Chaldeans portrayed in vermilion, 15wearing belts on their waists, with flowing turbans on their heads, all of them having the appearance of officers, a likeness of Babylonians whose native land was Chaldea. 16When she saw them, she lusted after them and sent messengers to them in Chaldea. 17And the Babylonians came to her into the bed of love, and they defiled her with their whoring lust. And after she was defiled by them, she turned from them in disgust. 18When she carried on her whoring so openly and flaunted her nakedness, I turned in disgust from her, as I had turned in disgust from her sister. 19Yet she increased her whoring, remembering the days of her youth, when she played the whore in the land of Egypt 20and lusted after her paramours there, whose members were like those of donkeys, and whose issue was like that of horses. 21Thus you longed for the lewdness of your youth, when the Egyptians handled your bosom and pressed[98] your young breasts.”
-
-22Therefore, O Oholibah, thus says the Lord GOD: “Behold, I will stir up against you your lovers from whom you turned in disgust, and I will bring them against you from every side: 23the Babylonians and all the Chaldeans, Pekod and Shoa and Koa, and all the Assyrians with them, desirable young men, governors and commanders all of them, officers and men of renown, all of them riding on horses. 24And they shall come against you from the north[99] with chariots and wagons and a host of peoples. They shall set themselves against you on every side with buckler, shield, and helmet; and I will commit the judgment to them, and they shall judge you according to their judgments. 25And I will direct my jealousy against you, that they may deal with you in fury. They shall cut off your nose and your ears, and your survivors shall fall by the sword. They shall seize your sons and your daughters, and your survivors shall be devoured by fire. 26They shall also strip you of your clothes and take away your beautiful jewels. 27Thus I will put an end to your lewdness and your whoring begun in the land of Egypt, so that you shall not lift up your eyes to them or remember Egypt anymore.
-
-28“For thus says the Lord GOD: Behold, I will deliver you into the hands of those whom you hate, into the hands of those from whom you turned in disgust, 29and they shall deal with you in hatred and take away all the fruit of your labor and leave you naked and bare, and the nakedness of your whoring shall be uncovered. Your lewdness and your whoring 30have brought this upon you, because you played the whore with the nations and defiled yourself with their idols. 31You have gone the way of your sister; therefore I will give her cup into your hand. 32Thus says the Lord GOD:
-
-“You shall drink your sister's cup
-
-that is deep and large;
-
-you shall be laughed at and held in derision,
-
-for it contains much;
-
-33you will be filled with drunkenness and sorrow.
-
-A cup of horror and desolation,
-
-the cup of your sister Samaria;
-
-34you shall drink it and drain it out,
-
-and gnaw its shards,
-
-and tear your breasts;
-
-for I have spoken, declares the Lord GOD. 35Therefore thus says the Lord GOD: Because you have forgotten me and cast me behind your back, you yourself must bear the consequences of your lewdness and whoring.”
-
-36The LORD said to me: “Son of man, will you judge Oholah and Oholibah? Declare to them their abominations. 37For they have committed adultery, and blood is on their hands. With their idols they have committed adultery, and they have even offered up[100] to them for food the children whom they had borne to me. 38Moreover, this they have done to me: they have defiled my sanctuary on the same day and profaned my Sabbaths. 39For when they had slaughtered their children in sacrifice to their idols, on the same day they came into my sanctuary to profane it. And behold, this is what they did in my house. 40They even sent for men to come from afar, to whom a messenger was sent; and behold, they came. For them you bathed yourself, painted your eyes, and adorned yourself with ornaments. 41You sat on a stately couch, with a table spread before it on which you had placed my incense and my oil. 42The sound of a carefree multitude was with her; and with men of the common sort, drunkards[101] were brought from the wilderness; and they put bracelets on the hands of the women, and beautiful crowns on their heads.
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-43“Then I said of her who was worn out by adultery, Now they will continue to use her for a whore, even her![102] 44For they have gone in to her, as men go in to a prostitute. Thus they went in to Oholah and to Oholibah, lewd women! 45But righteous men shall pass judgment on them with the sentence of adulteresses, and with the sentence of women who shed blood, because they are adulteresses, and blood is on their hands.”
-
-46For thus says the Lord GOD: “Bring up a vast host against them, and make them an object of terror and a plunder. 47And the host shall stone them and cut them down with their swords. They shall kill their sons and their daughters, and burn up their houses. 48Thus will I put an end to lewdness in the land, that all women may take warning and not commit lewdness as you have done. 49And they shall return your lewdness upon you, and you shall bear the penalty for your sinful idolatry, and you shall know that I am the Lord GOD.”
-
-
-
-
-
-The Siege of Jerusalem
-
-
-24:1 In the ninth year, in the tenth month, on the tenth day of the month, the word of the LORD came to me: 2“Son of man, write down the name of this day, this very day. The king of Babylon has laid siege to Jerusalem this very day. 3And utter a parable to the rebellious house and say to them, Thus says the Lord GOD:
-
-“Set on the pot, set it on;
-
-pour in water also;
-
-4put in it the pieces of meat,
-
-all the good pieces, the thigh and the shoulder;
-
-fill it with choice bones.
-
-5Take the choicest one of the flock;
-
-pile the logs[103] under it;
-
-boil it well;
-
-seethe also its bones in it.
-
-6“Therefore thus says the Lord GOD: Woe to the bloody city, to the pot whose corrosion is in it, and whose corrosion has not gone out of it! Take out of it piece after piece, without making any choice.[104] 7For the blood she has shed is in her midst; she put it on the bare rock; she did not pour it out on the ground to cover it with dust. 8To rouse my wrath, to take vengeance, I have set on the bare rock the blood she has shed, that it may not be covered. 9Therefore thus says the Lord GOD: Woe to the bloody city! I also will make the pile great. 10Heap on the logs, kindle the fire, boil the meat well, mix in the spices,[105] and let the bones be burned up. 11Then set it empty upon the coals, that it may become hot, and its copper may burn, that its uncleanness may be melted in it, its corrosion consumed. 12She has wearied herself with toil;[106] its abundant corrosion does not go out of it. Into the fire with its corrosion! 13On account of your unclean lewdness, because I would have cleansed you and you were not cleansed from your uncleanness, you shall not be cleansed anymore till I have satisfied my fury upon you. 14I am the LORD. I have spoken; it shall come to pass; I will do it. I will not go back; I will not spare; I will not relent; according to your ways and your deeds you will be judged, declares the Lord GOD.”
-
-
-
-
-
-Ezekiel's Wife Dies
-
-
-15The word of the LORD came to me: 16“Son of man, behold, I am about to take the delight of your eyes away from you at a stroke; yet you shall not mourn or weep, nor shall your tears run down. 17Sigh, but not aloud; make no mourning for the dead. Bind on your turban, and put your shoes on your feet; do not cover your lips, nor eat the bread of men.” 18So I spoke to the people in the morning, and at evening my wife died. And on the next morning I did as I was commanded.
-
-19And the people said to me, “Will you not tell us what these things mean for us, that you are acting thus?” 20Then I said to them, “The word of the LORD came to me: 21‘Say to the house of Israel, Thus says the Lord GOD: Behold, I will profane my sanctuary, the pride of your power, the delight of your eyes, and the yearning of your soul, and your sons and your daughters whom you left behind shall fall by the sword. 22And you shall do as I have done; you shall not cover your lips, nor eat the bread of men. 23Your turbans shall be on your heads and your shoes on your feet; you shall not mourn or weep, but you shall rot away in your iniquities and groan to one another. 24Thus shall Ezekiel be to you a sign; according to all that he has done you shall do. When this comes, then you will know that I am the Lord GOD.’
-
-25“As for you, son of man, surely on the day when I take from them their stronghold, their joy and glory, the delight of their eyes and their soul's desire, and also their sons and daughters, 26on that day a fugitive will come to you to report to you the news. 27On that day your mouth will be opened to the fugitive, and you shall speak and be no longer mute. So you will be a sign to them, and they will know that I am the LORD.”
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-
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-Prophecy Against Ammon
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-
-25:1 The word of the LORD came to me: 2“Son of man, set your face toward the Ammonites and prophesy against them. 3Say to the Ammonites, Hear the word of the Lord GOD: Thus says the Lord GOD, Because you said, ‘Aha!’ over my sanctuary when it was profaned, and over the land of Israel when it was made desolate, and over the house of Judah when they went into exile, 4therefore behold, I am handing you over to the people of the East for a possession, and they shall set their encampments among you and make their dwellings in your midst. They shall eat your fruit, and they shall drink your milk. 5I will make Rabbah a pasture for camels and Ammon[107] a fold for flocks. Then you will know that I am the LORD. 6For thus says the Lord GOD: Because you have clapped your hands and stamped your feet and rejoiced with all the malice within your soul against the land of Israel, 7therefore, behold, I have stretched out my hand against you, and will hand you over as plunder to the nations. And I will cut you off from the peoples and will make you perish out of the countries; I will destroy you. Then you will know that I am the LORD.
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-Prophecy Against Moab and Seir
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-8“Thus says the Lord GOD: Because Moab and Seir[108] said, ‘Behold, the house of Judah is like all the other nations,’ 9therefore I will lay open the flank of Moab from the cities, from its cities on its frontier, the glory of the country, Beth-jeshimoth, Baal-meon, and Kiriathaim. 10I will give it along with the Ammonites to the people of the East as a possession, that the Ammonites may be remembered no more among the nations, 11and I will execute judgments upon Moab. Then they will know that I am the LORD.
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-Prophecy Against Edom
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-12“Thus says the Lord GOD: Because Edom acted revengefully against the house of Judah and has grievously offended in taking vengeance on them, 13therefore thus says the Lord GOD, I will stretch out my hand against Edom and cut off from it man and beast. And I will make it desolate; from Teman even to Dedan they shall fall by the sword. 14And I will lay my vengeance upon Edom by the hand of my people Israel, and they shall do in Edom according to my anger and according to my wrath, and they shall know my vengeance, declares the Lord GOD.
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-Prophecy Against Philistia
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-15“Thus says the Lord GOD: Because the Philistines acted revengefully and took vengeance with malice of soul to destroy in never-ending enmity, 16therefore thus says the Lord GOD, Behold, I will stretch out my hand against the Philistines, and I will cut off the Cherethites and destroy the rest of the seacoast. 17I will execute great vengeance on them with wrathful rebukes. Then they will know that I am the LORD, when I lay my vengeance upon them.”
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-Prophecy Against Tyre
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-26:1 In the eleventh year, on the first day of the month, the word of the LORD came to me: 2“Son of man, because Tyre said concerning Jerusalem, ‘Aha, the gate of the peoples is broken; it has swung open to me. I shall be replenished, now that she is laid waste,’ 3therefore thus says the Lord GOD: Behold, I am against you, O Tyre, and will bring up many nations against you, as the sea brings up its waves. 4They shall destroy the walls of Tyre and break down her towers, and I will scrape her soil from her and make her a bare rock. 5She shall be in the midst of the sea a place for the spreading of nets, for I have spoken, declares the Lord GOD. And she shall become plunder for the nations, 6and her daughters on the mainland shall be killed by the sword. Then they will know that I am the LORD.
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-7“For thus says the Lord GOD: Behold, I will bring against Tyre from the north Nebuchadnezzar[109] king of Babylon, king of kings, with horses and chariots, and with horsemen and a host of many soldiers. 8He will kill with the sword your daughters on the mainland. He will set up a siege wall against you and throw up a mound against you, and raise a roof of shields against you. 9He will direct the shock of his battering rams against your walls, and with his axes he will break down your towers. 10His horses will be so many that their dust will cover you. Your walls will shake at the noise of the horsemen and wagons and chariots, when he enters your gates as men enter a city that has been breached. 11With the hoofs of his horses he will trample all your streets. He will kill your people with the sword, and your mighty pillars will fall to the ground. 12They will plunder your riches and loot your merchandise. They will break down your walls and destroy your pleasant houses. Your stones and timber and soil they will cast into the midst of the waters. 13And I will stop the music of your songs, and the sound of your lyres shall be heard no more. 14I will make you a bare rock. You shall be a place for the spreading of nets. You shall never be rebuilt, for I am the LORD; I have spoken, declares the Lord GOD.
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-15“Thus says the Lord GOD to Tyre: Will not the coastlands shake at the sound of your fall, when the wounded groan, when slaughter is made in your midst? 16Then all the princes of the sea will step down from their thrones and remove their robes and strip off their embroidered garments. They will clothe themselves with trembling; they will sit on the ground and tremble every moment and be appalled at you. 17And they will raise a lamentation over you and say to you,
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-“‘How you have perished,
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-you who were inhabited from the seas,
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-O city renowned,
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-who was mighty on the sea;
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-she and her inhabitants imposed their terror
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-on all her inhabitants!
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-18Now the coastlands tremble
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-on the day of your fall,
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-and the coastlands that are on the sea
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-are dismayed at your passing.’
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-19“For thus says the Lord GOD: When I make you a city laid waste, like the cities that are not inhabited, when I bring up the deep over you, and the great waters cover you, 20then I will make you go down with those who go down to the pit, to the people of old, and I will make you to dwell in the world below, among ruins from of old, with those who go down to the pit, so that you will not be inhabited; but I will set beauty in the land of the living. 21I will bring you to a dreadful end, and you shall be no more. Though you be sought for, you will never be found again, declares the Lord GOD.”
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-A Lament for Tyre
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-27:1 The word of the LORD came to me: 2“Now you, son of man, raise a lamentation over Tyre, 3and say to Tyre, who dwells at the entrances to the sea, merchant of the peoples to many coastlands, thus says the Lord GOD:
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-“O Tyre, you have said,
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-‘I am perfect in beauty.’
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-4Your borders are in the heart of the seas;
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-your builders made perfect your beauty.
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-5They made all your planks
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-of fir trees from Senir;
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-they took a cedar from Lebanon
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-to make a mast for you.
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-6Of oaks of Bashan
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-they made your oars;
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-they made your deck of pines
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-from the coasts of Cyprus,
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-inlaid with ivory.
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-7Of fine embroidered linen from Egypt
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-was your sail,
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-serving as your banner;
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-blue and purple from the coasts of Elishah
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-was your awning.
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-8The inhabitants of Sidon and Arvad
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-were your rowers;
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-your skilled men, O Tyre, were in you;
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-they were your pilots.
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-9The elders of Gebal and her skilled men were in you,
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-caulking your seams;
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-all the ships of the sea with their mariners were in you
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-to barter for your wares.
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-10“Persia and Lud and Put were in your army as your men of war. They hung the shield and helmet in you; they gave you splendor. 11Men of Arvad and Helech were on your walls all around, and men of Gamad were in your towers. They hung their shields on your walls all around; they made perfect your beauty.
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-12“Tarshish did business with you because of your great wealth of every kind; silver, iron, tin, and lead they exchanged for your wares. 13Javan, Tubal, and Meshech traded with you; they exchanged human beings and vessels of bronze for your merchandise. 14From Beth-togarmah they exchanged horses, war horses, and mules for your wares. 15The men of Dedan[110] traded with you. Many coastlands were your own special markets; they brought you in payment ivory tusks and ebony. 16Syria did business with you because of your abundant goods; they exchanged for your wares emeralds, purple, embroidered work, fine linen, coral, and ruby. 17Judah and the land of Israel traded with you; they exchanged for your merchandise wheat of Minnith, meal,[111] honey, oil, and balm. 18Damascus did business with you for your abundant goods, because of your great wealth of every kind; wine of Helbon and wool of Sahar 19and casks of wine[112] from Uzal they exchanged for your wares; wrought iron, cassia, and calamus were bartered for your merchandise. 20Dedan traded with you in saddlecloths for riding. 21Arabia and all the princes of Kedar were your favored dealers in lambs, rams, and goats; in these they did business with you. 22The traders of Sheba and Raamah traded with you; they exchanged for your wares the best of all kinds of spices and all precious stones and gold. 23Haran, Canneh, Eden, traders of Sheba, Asshur, and Chilmad traded with you. 24In your market these traded with you in choice garments, in clothes of blue and embroidered work, and in carpets of colored material, bound with cords and made secure. 25The ships of Tarshish traveled for you with your merchandise. So you were filled and heavily laden in the heart of the seas.
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-26“Your rowers have brought you out
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-into the high seas.
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-The east wind has wrecked you
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-in the heart of the seas.
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-27Your riches, your wares, your merchandise,
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-your mariners and your pilots,
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-your caulkers, your dealers in merchandise,
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-and all your men of war who are in you,
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-with all your crew
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-that is in your midst,
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-sink into the heart of the seas
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-on the day of your fall.
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-28At the sound of the cry of your pilots
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-the countryside shakes,
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-29and down from their ships
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-come all who handle the oar.
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-The mariners and all the pilots of the sea
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-stand on the land
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-30and shout aloud over you
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-and cry out bitterly.
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-They cast dust on their heads
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-and wallow in ashes;
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-31they make themselves bald for you
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-and put sackcloth on their waist,
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-and they weep over you in bitterness of soul,
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-with bitter mourning.
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-32In their wailing they raise a lamentation for you
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-and lament over you:
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-‘Who is like Tyre,
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-like one destroyed in the midst of the sea?
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-33When your wares came from the seas,
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-you satisfied many peoples;
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-with your abundant wealth and merchandise
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-you enriched the kings of the earth.
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-34Now you are wrecked by the seas,
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-in the depths of the waters;
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-your merchandise and all your crew in your midst
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-have sunk with you.
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-35All the inhabitants of the coastlands
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-are appalled at you,
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-and the hair of their kings bristles with horror;
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-their faces are convulsed.
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-36The merchants among the peoples hiss at you;
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-you have come to a dreadful end
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-and shall be no more forever.’”
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-Prophecy Against the Prince of Tyre
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-28:1 The word of the LORD came to me: 2“Son of man, say to the prince of Tyre, Thus says the Lord GOD:
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-“Because your heart is proud,
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-and you have said, ‘I am a god,
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-I sit in the seat of the gods,
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-in the heart of the seas,’
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-yet you are but a man, and no god,
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-though you make your heart like the heart of a god—
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-3you are indeed wiser than Daniel;
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-no secret is hidden from you;
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-4by your wisdom and your understanding
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-you have made wealth for yourself,
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-and have gathered gold and silver
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-into your treasuries;
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-5by your great wisdom in your trade
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-you have increased your wealth,
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-and your heart has become proud in your wealth—
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-6therefore thus says the Lord GOD:
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-Because you make your heart
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-like the heart of a god,
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-7therefore, behold, I will bring foreigners upon you,
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-the most ruthless of the nations;
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-and they shall draw their swords against the beauty of your wisdom
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-and defile your splendor.
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-8They shall thrust you down into the pit,
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-and you shall die the death of the slain
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-in the heart of the seas.
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-9Will you still say, ‘I am a god,’
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-in the presence of those who kill you,
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-though you are but a man, and no god,
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-in the hands of those who slay you?
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-10You shall die the death of the uncircumcised
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-by the hand of foreigners;
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-for I have spoken, declares the Lord GOD.”
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-A Lament over the King of Tyre
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-11Moreover, the word of the LORD came to me: 12“Son of man, raise a lamentation over the king of Tyre, and say to him, Thus says the Lord GOD:
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-“You were the signet of perfection,[113]
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-full of wisdom and perfect in beauty.
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-13You were in Eden, the garden of God;
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-every precious stone was your covering,
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-sardius, topaz, and diamond,
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-beryl, onyx, and jasper,
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-sapphire,[114] emerald, and carbuncle;
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-and crafted in gold were your settings
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-and your engravings.[115]
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-On the day that you were created
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-they were prepared.
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-14You were an anointed guardian cherub.
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-I placed you;[116] you were on the holy mountain of God;
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-in the midst of the stones of fire you walked.
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-15You were blameless in your ways
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-from the day you were created,
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-till unrighteousness was found in you.
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-16In the abundance of your trade
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-you were filled with violence in your midst, and you sinned;
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-so I cast you as a profane thing from the mountain of God,
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-and I destroyed you,[117] O guardian cherub,
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-from the midst of the stones of fire.
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-17Your heart was proud because of your beauty;
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-you corrupted your wisdom for the sake of your splendor.
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-I cast you to the ground;
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-I exposed you before kings,
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-to feast their eyes on you.
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-18By the multitude of your iniquities,
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-in the unrighteousness of your trade
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-you profaned your sanctuaries;
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-so I brought fire out from your midst;
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-it consumed you,
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-and I turned you to ashes on the earth
-
-in the sight of all who saw you.
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-19All who know you among the peoples
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-are appalled at you;
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-you have come to a dreadful end
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-and shall be no more forever.”
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-Prophecy Against Sidon
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-20The word of the LORD came to me: 21“Son of man, set your face toward Sidon, and prophesy against her 22and say, Thus says the Lord GOD:
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-“Behold, I am against you, O Sidon,
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-and I will manifest my glory in your midst.
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-And they shall know that I am the LORD
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-when I execute judgments in her
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-and manifest my holiness in her;
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-23for I will send pestilence into her,
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-and blood into her streets;
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-and the slain shall fall in her midst,
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-by the sword that is against her on every side.
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-Then they will know that I am the LORD.
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-24“And for the house of Israel there shall be no more a brier to prick or a thorn to hurt them among all their neighbors who have treated them with contempt. Then they will know that I am the Lord GOD.
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-Israel Gathered in Security
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-25“Thus says the Lord GOD: When I gather the house of Israel from the peoples among whom they are scattered, and manifest my holiness in them in the sight of the nations, then they shall dwell in their own land that I gave to my servant Jacob. 26And they shall dwell securely in it, and they shall build houses and plant vineyards. They shall dwell securely, when I execute judgments upon all their neighbors who have treated them with contempt. Then they will know that I am the LORD their God.”
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-Prophecy Against Egypt
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-29:1 In the tenth year, in the tenth month, on the twelfth day of the month, the word of the LORD came to me: 2“Son of man, set your face against Pharaoh king of Egypt, and prophesy against him and against all Egypt; 3speak, and say, Thus says the Lord GOD:
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-“Behold, I am against you,
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-Pharaoh king of Egypt,
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-the great dragon that lies
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-in the midst of his streams,
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-that says, ‘My Nile is my own;
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-I made it for myself.’
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-4I will put hooks in your jaws,
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-and make the fish of your streams stick to your scales;
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-and I will draw you up out of the midst of your streams,
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-with all the fish of your streams
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-that stick to your scales.
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-5And I will cast you out into the wilderness,
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-you and all the fish of your streams;
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-you shall fall on the open field,
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-and not be brought together or gathered.
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-To the beasts of the earth and to the birds of the heavens
-
-I give you as food.
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-6Then all the inhabitants of Egypt shall know that I am the LORD.
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-“Because you[118] have been a staff of reed to the house of Israel, 7when they grasped you with the hand, you broke and tore all their shoulders; and when they leaned on you, you broke and made all their loins to shake.[119] 8Therefore thus says the Lord GOD: Behold, I will bring a sword upon you, and will cut off from you man and beast, 9and the land of Egypt shall be a desolation and a waste. Then they will know that I am the LORD.
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-“Because you[120] said, ‘The Nile is mine, and I made it,’ 10therefore, behold, I am against you and against your streams, and I will make the land of Egypt an utter waste and desolation, from Migdol to Syene, as far as the border of Cush. 11No foot of man shall pass through it, and no foot of beast shall pass through it; it shall be uninhabited forty years. 12And I will make the land of Egypt a desolation in the midst of desolated countries, and her cities shall be a desolation forty years among cities that are laid waste. I will scatter the Egyptians among the nations, and disperse them through the countries.
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-13“For thus says the Lord GOD: At the end of forty years I will gather the Egyptians from the peoples among whom they were scattered, 14and I will restore the fortunes of Egypt and bring them back to the land of Pathros, the land of their origin, and there they shall be a lowly kingdom. 15It shall be the most lowly of the kingdoms, and never again exalt itself above the nations. And I will make them so small that they will never again rule over the nations. 16And it shall never again be the reliance of the house of Israel, recalling their iniquity, when they turn to them for aid. Then they will know that I am the Lord GOD.”
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-17In the twenty-seventh year, in the first month, on the first day of the month, the word of the LORD came to me: 18“Son of man, Nebuchadnezzar king of Babylon made his army labor hard against Tyre. Every head was made bald, and every shoulder was rubbed bare, yet neither he nor his army got anything from Tyre to pay for the labor that he had performed against her. 19Therefore thus says the Lord GOD: Behold, I will give the land of Egypt to Nebuchadnezzar king of Babylon; and he shall carry off its wealth[121] and despoil it and plunder it; and it shall be the wages for his army. 20I have given him the land of Egypt as his payment for which he labored, because they worked for me, declares the Lord GOD.
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-21“On that day I will cause a horn to spring up for the house of Israel, and I will open your lips among them. Then they will know that I am the LORD.”
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-A Lament for Egypt
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-30:1 The word of the LORD came to me: 2“Son of man, prophesy, and say, Thus says the Lord GOD:
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-“Wail, ‘Alas for the day!’
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-3For the day is near,
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-the day of the LORD is near;
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-it will be a day of clouds,
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-a time of doom for[122] the nations.
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-4A sword shall come upon Egypt,
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-and anguish shall be in Cush,
-
-when the slain fall in Egypt,
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-and her wealth[123] is carried away,
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-and her foundations are torn down.
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-5Cush, and Put, and Lud, and all Arabia, and Libya,[124] and the people of the land that is in league,[125] shall fall with them by the sword.
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-6“Thus says the LORD:
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-Those who support Egypt shall fall,
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-and her proud might shall come down;
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-from Migdol to Syene
-
-they shall fall within her by the sword,
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-declares the Lord GOD.
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-7And they shall be desolated in the midst of desolated countries,
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-and their cities shall be in the midst of cities that are laid waste.
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-8Then they will know that I am the LORD,
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-when I have set fire to Egypt,
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-and all her helpers are broken.
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-9“On that day messengers shall go out from me in ships to terrify the unsuspecting people of Cush, and anguish shall come upon them on the day of Egypt's doom;[126] for, behold, it comes!
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-10“Thus says the Lord GOD:
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-“I will put an end to the wealth of Egypt,
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-by the hand of Nebuchadnezzar king of Babylon.
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-11He and his people with him, the most ruthless of nations,
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-shall be brought in to destroy the land,
-
-and they shall draw their swords against Egypt
-
-and fill the land with the slain.
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-12And I will dry up the Nile
-
-and will sell the land into the hand of evildoers;
-
-I will bring desolation upon the land and everything in it,
-
-by the hand of foreigners;
-
-I am the LORD; I have spoken.
-
-13“Thus says the Lord GOD:
-
-“I will destroy the idols
-
-and put an end to the images in Memphis;
-
-there shall no longer be a prince from the land of Egypt;
-
-so I will put fear in the land of Egypt.
-
-14I will make Pathros a desolation
-
-and will set fire to Zoan
-
-and will execute judgments on Thebes.
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-15And I will pour out my wrath on Pelusium,
-
-the stronghold of Egypt,
-
-and cut off the multitude[127] of Thebes.
-
-16And I will set fire to Egypt;
-
-Pelusium shall be in great agony;
-
-Thebes shall be breached,
-
-and Memphis shall face enemies[128] by day.
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-17The young men of On and of Pi-beseth shall fall by the sword,
-
-and the women[129] shall go into captivity.
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-18At Tehaphnehes the day shall be dark,
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-when I break there the yoke bars of Egypt,
-
-and her proud might shall come to an end in her;
-
-she shall be covered by a cloud,
-
-and her daughters shall go into captivity.
-
-19Thus I will execute judgments on Egypt.
-
-Then they will know that I am the LORD.”
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-
-
-
-
-Egypt Shall Fall to Babylon
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-
-20In the eleventh year, in the first month, on the seventh day of the month, the word of the LORD came to me: 21“Son of man, I have broken the arm of Pharaoh king of Egypt, and behold, it has not been bound up, to heal it by binding it with a bandage, so that it may become strong to wield the sword. 22Therefore thus says the Lord GOD: Behold, I am against Pharaoh king of Egypt and will break his arms, both the strong arm and the one that was broken, and I will make the sword fall from his hand. 23I will scatter the Egyptians among the nations and disperse them through the countries. 24And I will strengthen the arms of the king of Babylon and put my sword in his hand, but I will break the arms of Pharaoh, and he will groan before him like a man mortally wounded. 25I will strengthen the arms of the king of Babylon, but the arms of Pharaoh shall fall. Then they shall know that I am the LORD, when I put my sword into the hand of the king of Babylon and he stretches it out against the land of Egypt. 26And I will scatter the Egyptians among the nations and disperse them throughout the countries. Then they will know that I am the LORD.”
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-
-
-
-
-Pharaoh to Be Slain
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-
-31:1 In the eleventh year, in the third month, on the first day of the month, the word of the LORD came to me: 2“Son of man, say to Pharaoh king of Egypt and to his multitude:
-
-“Whom are you like in your greatness?
-
-3Behold, Assyria was a cedar in Lebanon,
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-with beautiful branches and forest shade,
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-and of towering height,
-
-its top among the clouds.[130]
-
-4The waters nourished it;
-
-the deep made it grow tall,
-
-making its rivers flow
-
-around the place of its planting,
-
-sending forth its streams
-
-to all the trees of the field.
-
-5So it towered high
-
-above all the trees of the field;
-
-its boughs grew large
-
-and its branches long
-
-from abundant water in its shoots.
-
-6All the birds of the heavens
-
-made their nests in its boughs;
-
-under its branches all the beasts of the field
-
-gave birth to their young,
-
-and under its shadow
-
-lived all great nations.
-
-7It was beautiful in its greatness,
-
-in the length of its branches;
-
-for its roots went down
-
-to abundant waters.
-
-8The cedars in the garden of God could not rival it,
-
-nor the fir trees equal its boughs;
-
-neither were the plane trees
-
-like its branches;
-
-no tree in the garden of God
-
-was its equal in beauty.
-
-9I made it beautiful
-
-in the mass of its branches,
-
-and all the trees of Eden envied it,
-
-that were in the garden of God.
-
-10“Therefore thus says the Lord GOD: Because it[131] towered high and set its top among the clouds, and its heart was proud of its height, 11I will give it into the hand of a mighty one of the nations. He shall surely deal with it as its wickedness deserves. I have cast it out. 12Foreigners, the most ruthless of nations, have cut it down and left it. On the mountains and in all the valleys its branches have fallen, and its boughs have been broken in all the ravines of the land, and all the peoples of the earth have gone away from its shadow and left it. 13On its fallen trunk dwell all the birds of the heavens, and on its branches are all the beasts of the field. 14All this is in order that no trees by the waters may grow to towering height or set their tops among the clouds, and that no trees that drink water may reach up to them in height. For they are all given over to death, to the world below, among the children of man,[132] with those who go down to the pit.
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-15“Thus says the Lord GOD: On the day the cedar[133] went down to Sheol I caused mourning; I closed the deep over it, and restrained its rivers, and many waters were stopped. I clothed Lebanon in gloom for it, and all the trees of the field fainted because of it. 16I made the nations quake at the sound of its fall, when I cast it down to Sheol with those who go down to the pit. And all the trees of Eden, the choice and best of Lebanon, all that drink water, were comforted in the world below. 17They also went down to Sheol with it, to those who are slain by the sword; yes, those who were its arm, who lived under its shadow among the nations.
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-18“Whom are you thus like in glory and in greatness among the trees of Eden? You shall be brought down with the trees of Eden to the world below. You shall lie among the uncircumcised, with those who are slain by the sword.
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-“This is Pharaoh and all his multitude, declares the Lord GOD.”
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-A Lament over Pharaoh and Egypt
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-32:1 In the twelfth year, in the twelfth month, on the first day of the month, the word of the LORD came to me: 2“Son of man, raise a lamentation over Pharaoh king of Egypt and say to him:
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-“You consider yourself a lion of the nations,
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-but you are like a dragon in the seas;
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-you burst forth in your rivers,
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-trouble the waters with your feet,
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-and foul their rivers.
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-3Thus says the Lord GOD:
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-I will throw my net over you
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-with a host of many peoples,
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-and they will haul you up in my dragnet.
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-4And I will cast you on the ground;
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-on the open field I will fling you,
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-and will cause all the birds of the heavens to settle on you,
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-and I will gorge the beasts of the whole earth with you.
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-5I will strew your flesh upon the mountains
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-and fill the valleys with your carcass.[134]
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-6I will drench the land even to the mountains
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-with your flowing blood,
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-and the ravines will be full of you.
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-7When I blot you out, I will cover the heavens
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-and make their stars dark;
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-I will cover the sun with a cloud,
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-and the moon shall not give its light.
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-8All the bright lights of heaven
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-will I make dark over you,
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-and put darkness on your land,
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-declares the Lord GOD.
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-9“I will trouble the hearts of many peoples, when I bring your destruction among the nations, into the countries that you have not known. 10I will make many peoples appalled at you, and the hair of their kings shall bristle with horror because of you, when I brandish my sword before them. They shall tremble every moment, every one for his own life, on the day of your downfall.
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-11“For thus says the Lord GOD: The sword of the king of Babylon shall come upon you. 12I will cause your multitude to fall by the swords of mighty ones, all of them most ruthless of nations.
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-“They shall bring to ruin the pride of Egypt,
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-and all its multitude[135] shall perish.
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-13I will destroy all its beasts
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-from beside many waters;
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-and no foot of man shall trouble them anymore,
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-nor shall the hoofs of beasts trouble them.
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-14Then I will make their waters clear,
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-and cause their rivers to run like oil,
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-declares the Lord GOD.
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-15When I make the land of Egypt desolate,
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-and when the land is desolate of all that fills it,
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-when I strike down all who dwell in it,
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-then they will know that I am the LORD.
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-16This is a lamentation that shall be chanted; the daughters of the nations shall chant it; over Egypt, and over all her multitude, shall they chant it, declares the Lord GOD.”
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-17In the twelfth year, in the twelfth month,[136] on the fifteenth day of the month, the word of the LORD came to me: 18“Son of man, wail over the multitude of Egypt, and send them down, her and the daughters of majestic nations, to the world below, to those who have gone down to the pit:
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-19‘Whom do you surpass in beauty?
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-Go down and be laid to rest with the uncircumcised.’
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-20They shall fall amid those who are slain by the sword. Egypt[137] is delivered to the sword; drag her away, and all her multitudes. 21The mighty chiefs shall speak of them, with their helpers, out of the midst of Sheol: ‘They have come down, they lie still, the uncircumcised, slain by the sword.’
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-22“Assyria is there, and all her company, its graves all around it, all of them slain, fallen by the sword, 23whose graves are set in the uttermost parts of the pit; and her company is all around her grave, all of them slain, fallen by the sword, who spread terror in the land of the living.
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-24“Elam is there, and all her multitude around her grave; all of them slain, fallen by the sword, who went down uncircumcised into the world below, who spread their terror in the land of the living; and they bear their shame with those who go down to the pit. 25They have made her a bed among the slain with all her multitude, her graves all around it, all of them uncircumcised, slain by the sword; for terror of them was spread in the land of the living, and they bear their shame with those who go down to the pit; they are placed among the slain.
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-26“Meshech-Tubal is there, and all her multitude, her graves all around it, all of them uncircumcised, slain by the sword; for they spread their terror in the land of the living. 27And they do not lie with the mighty, the fallen from among the uncircumcised, who went down to Sheol with their weapons of war, whose swords were laid under their heads, and whose iniquities are upon their bones; for the terror of the mighty men was in the land of the living. 28But as for you, you shall be broken and lie among the uncircumcised, with those who are slain by the sword.
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-29“Edom is there, her kings and all her princes, who for all their might are laid with those who are killed by the sword; they lie with the uncircumcised, with those who go down to the pit.
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-30“The princes of the north are there, all of them, and all the Sidonians, who have gone down in shame with the slain, for all the terror that they caused by their might; they lie uncircumcised with those who are slain by the sword, and bear their shame with those who go down to the pit.
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-31“When Pharaoh sees them, he will be comforted for all his multitude, Pharaoh and all his army, slain by the sword, declares the Lord GOD. 32For I spread terror in the land of the living; and he shall be laid to rest among the uncircumcised, with those who are slain by the sword, Pharaoh and all his multitude, declares the Lord GOD.”
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-Ezekiel Is Israel's Watchman
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-33:1 The word of the LORD came to me: 2“Son of man, speak to your people and say to them, If I bring the sword upon a land, and the people of the land take a man from among them, and make him their watchman, 3and if he sees the sword coming upon the land and blows the trumpet and warns the people, 4then if anyone who hears the sound of the trumpet does not take warning, and the sword comes and takes him away, his blood shall be upon his own head. 5He heard the sound of the trumpet and did not take warning; his blood shall be upon himself. But if he had taken warning, he would have saved his life. 6But if the watchman sees the sword coming and does not blow the trumpet, so that the people are not warned, and the sword comes and takes any one of them, that person is taken away in his iniquity, but his blood I will require at the watchman's hand.
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-7“So you, son of man, I have made a watchman for the house of Israel. Whenever you hear a word from my mouth, you shall give them warning from me. 8If I say to the wicked, O wicked one, you shall surely die, and you do not speak to warn the wicked to turn from his way, that wicked person shall die in his iniquity, but his blood I will require at your hand. 9But if you warn the wicked to turn from his way, and he does not turn from his way, that person shall die in his iniquity, but you will have delivered your soul.
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-Why Will You Die, Israel?
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-10“And you, son of man, say to the house of Israel, Thus have you said: ‘Surely our transgressions and our sins are upon us, and we rot away because of them. How then can we live?’ 11Say to them, As I live, declares the Lord GOD, I have no pleasure in the death of the wicked, but that the wicked turn from his way and live; turn back, turn back from your evil ways, for why will you die, O house of Israel?
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-12“And you, son of man, say to your people, The righteousness of the righteous shall not deliver him when he transgresses, and as for the wickedness of the wicked, he shall not fall by it when he turns from his wickedness, and the righteous shall not be able to live by his righteousness[138] when he sins. 13Though I say to the righteous that he shall surely live, yet if he trusts in his righteousness and does injustice, none of his righteous deeds shall be remembered, but in his injustice that he has done he shall die. 14Again, though I say to the wicked, ‘You shall surely die,’ yet if he turns from his sin and does what is just and right, 15if the wicked restores the pledge, gives back what he has taken by robbery, and walks in the statutes of life, not doing injustice, he shall surely live; he shall not die. 16None of the sins that he has committed shall be remembered against him. He has done what is just and right; he shall surely live.
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-17“Yet your people say, ‘The way of the Lord is not just,’ when it is their own way that is not just. 18When the righteous turns from his righteousness and does injustice, he shall die for it. 19And when the wicked turns from his wickedness and does what is just and right, he shall live by this. 20Yet you say, ‘The way of the Lord is not just.’ O house of Israel, I will judge each of you according to his ways.”
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-Jerusalem Struck Down
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-21In the twelfth year of our exile, in the tenth month, on the fifth day of the month, a fugitive from Jerusalem came to me and said, “The city has been struck down.” 22Now the hand of the LORD had been upon me the evening before the fugitive came; and he had opened my mouth by the time the man came to me in the morning, so my mouth was opened, and I was no longer mute.
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-23The word of the LORD came to me: 24“Son of man, the inhabitants of these waste places in the land of Israel keep saying, ‘Abraham was only one man, yet he got possession of the land; but we are many; the land is surely given us to possess.’ 25Therefore say to them, Thus says the Lord GOD: You eat flesh with the blood and lift up your eyes to your idols and shed blood; shall you then possess the land? 26You rely on the sword, you commit abominations, and each of you defiles his neighbor's wife; shall you then possess the land? 27Say this to them, Thus says the Lord GOD: As I live, surely those who are in the waste places shall fall by the sword, and whoever is in the open field I will give to the beasts to be devoured, and those who are in strongholds and in caves shall die by pestilence. 28And I will make the land a desolation and a waste, and her proud might shall come to an end, and the mountains of Israel shall be so desolate that none will pass through. 29Then they will know that I am the LORD, when I have made the land a desolation and a waste because of all their abominations that they have committed.
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-30“As for you, son of man, your people who talk together about you by the walls and at the doors of the houses, say to one another, each to his brother, ‘Come, and hear what the word is that comes from the LORD.’ 31And they come to you as people come, and they sit before you as my people, and they hear what you say but they will not do it; for with lustful talk in their mouths they act; their heart is set on their gain. 32And behold, you are to them like one who sings lustful songs with a beautiful voice and plays[139] well on an instrument, for they hear what you say, but they will not do it. 33When this comes—and come it will!—then they will know that a prophet has been among them.”
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-Prophecy Against the Shepherds of Israel
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-34:1 The word of the LORD came to me: 2“Son of man, prophesy against the shepherds of Israel; prophesy, and say to them, even to the shepherds, Thus says the Lord GOD: Ah, shepherds of Israel who have been feeding yourselves! Should not shepherds feed the sheep? 3You eat the fat, you clothe yourselves with the wool, you slaughter the fat ones, but you do not feed the sheep. 4The weak you have not strengthened, the sick you have not healed, the injured you have not bound up, the strayed you have not brought back, the lost you have not sought, and with force and harshness you have ruled them. 5So they were scattered, because there was no shepherd, and they became food for all the wild beasts. 6My sheep were scattered; they wandered over all the mountains and on every high hill. My sheep were scattered over all the face of the earth, with none to search or seek for them.
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-7“Therefore, you shepherds, hear the word of the LORD: 8As I live, declares the Lord GOD, surely because my sheep have become a prey, and my sheep have become food for all the wild beasts, since there was no shepherd, and because my shepherds have not searched for my sheep, but the shepherds have fed themselves, and have not fed my sheep, 9therefore, you shepherds, hear the word of the LORD: 10Thus says the Lord GOD, Behold, I am against the shepherds, and I will require my sheep at their hand and put a stop to their feeding the sheep. No longer shall the shepherds feed themselves. I will rescue my sheep from their mouths, that they may not be food for them.
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-The Lord GOD Will Seek Them Out
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-11“For thus says the Lord GOD: Behold, I, I myself will search for my sheep and will seek them out. 12As a shepherd seeks out his flock when he is among his sheep that have been scattered, so will I seek out my sheep, and I will rescue them from all places where they have been scattered on a day of clouds and thick darkness. 13And I will bring them out from the peoples and gather them from the countries, and will bring them into their own land. And I will feed them on the mountains of Israel, by the ravines, and in all the inhabited places of the country. 14I will feed them with good pasture, and on the mountain heights of Israel shall be their grazing land. There they shall lie down in good grazing land, and on rich pasture they shall feed on the mountains of Israel. 15I myself will be the shepherd of my sheep, and I myself will make them lie down, declares the Lord GOD. 16I will seek the lost, and I will bring back the strayed, and I will bind up the injured, and I will strengthen the weak, and the fat and the strong I will destroy.[140] I will feed them in justice.
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-17“As for you, my flock, thus says the Lord GOD: Behold, I judge between sheep and sheep, between rams and male goats. 18Is it not enough for you to feed on the good pasture, that you must tread down with your feet the rest of your pasture; and to drink of clear water, that you must muddy the rest of the water with your feet? 19And must my sheep eat what you have trodden with your feet, and drink what you have muddied with your feet?
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-20“Therefore, thus says the Lord GOD to them: Behold, I, I myself will judge between the fat sheep and the lean sheep. 21Because you push with side and shoulder, and thrust at all the weak with your horns, till you have scattered them abroad, 22I will rescue[141] my flock; they shall no longer be a prey. And I will judge between sheep and sheep. 23And I will set up over them one shepherd, my servant David, and he shall feed them: he shall feed them and be their shepherd. 24And I, the LORD, will be their God, and my servant David shall be prince among them. I am the LORD; I have spoken.
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-The LORD's Covenant of Peace
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-25“I will make with them a covenant of peace and banish wild beasts from the land, so that they may dwell securely in the wilderness and sleep in the woods. 26And I will make them and the places all around my hill a blessing, and I will send down the showers in their season; they shall be showers of blessing. 27And the trees of the field shall yield their fruit, and the earth shall yield its increase, and they shall be secure in their land. And they shall know that I am the LORD, when I break the bars of their yoke, and deliver them from the hand of those who enslaved them. 28They shall no more be a prey to the nations, nor shall the beasts of the land devour them. They shall dwell securely, and none shall make them afraid. 29And I will provide for them renowned plantations so that they shall no more be consumed with hunger in the land, and no longer suffer the reproach of the nations. 30And they shall know that I am the LORD their God with them, and that they, the house of Israel, are my people, declares the Lord GOD. 31And you are my sheep, human sheep of my pasture, and I am your God, declares the Lord GOD.”
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-Prophecy Against Mount Seir
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-35:1 The word of the LORD came to me: 2“Son of man, set your face against Mount Seir, and prophesy against it, 3and say to it, Thus says the Lord GOD: Behold, I am against you, Mount Seir, and I will stretch out my hand against you, and I will make you a desolation and a waste. 4I will lay your cities waste, and you shall become a desolation, and you shall know that I am the LORD. 5Because you cherished perpetual enmity and gave over the people of Israel to the power of the sword at the time of their calamity, at the time of their final punishment, 6therefore, as I live, declares the Lord GOD, I will prepare you for blood, and blood shall pursue you; because you did not hate bloodshed, therefore blood shall pursue you. 7I will make Mount Seir a waste and a desolation, and I will cut off from it all who come and go. 8And I will fill its mountains with the slain. On your hills and in your valleys and in all your ravines those slain with the sword shall fall. 9I will make you a perpetual desolation, and your cities shall not be inhabited. Then you will know that I am the LORD.
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-10“Because you said, ‘These two nations and these two countries shall be mine, and we will take possession of them’—although the LORD was there— 11therefore, as I live, declares the Lord GOD, I will deal with you according to the anger and envy that you showed because of your hatred against them. And I will make myself known among them, when I judge you. 12And you shall know that I am the LORD.
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-“I have heard all the revilings that you uttered against the mountains of Israel, saying, ‘They are laid desolate; they are given us to devour.’ 13And you magnified yourselves against me with your mouth, and multiplied your words against me; I heard it. 14Thus says the Lord GOD: While the whole earth rejoices, I will make you desolate. 15As you rejoiced over the inheritance of the house of Israel, because it was desolate, so I will deal with you; you shall be desolate, Mount Seir, and all Edom, all of it. Then they will know that I am the LORD.
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-Prophecy to the Mountains of Israel
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-36:1 “And you, son of man, prophesy to the mountains of Israel, and say, O mountains of Israel, hear the word of the LORD. 2Thus says the Lord GOD: Because the enemy said of you, ‘Aha!’ and, ‘The ancient heights have become our possession,’ 3therefore prophesy, and say, Thus says the Lord GOD: Precisely because they made you desolate and crushed you from all sides, so that you became the possession of the rest of the nations, and you became the talk and evil gossip of the people, 4therefore, O mountains of Israel, hear the word of the Lord GOD: Thus says the Lord GOD to the mountains and the hills, the ravines and the valleys, the desolate wastes and the deserted cities, which have become a prey and derision to the rest of the nations all around, 5therefore thus says the Lord GOD: Surely I have spoken in my hot jealousy against the rest of the nations and against all Edom, who gave my land to themselves as a possession with wholehearted joy and utter contempt, that they might make its pasturelands a prey. 6Therefore prophesy concerning the land of Israel, and say to the mountains and hills, to the ravines and valleys, Thus says the Lord GOD: Behold, I have spoken in my jealous wrath, because you have suffered the reproach of the nations. 7Therefore thus says the Lord GOD: I swear that the nations that are all around you shall themselves suffer reproach.
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-8“But you, O mountains of Israel, shall shoot forth your branches and yield your fruit to my people Israel, for they will soon come home. 9For behold, I am for you, and I will turn to you, and you shall be tilled and sown. 10And I will multiply people on you, the whole house of Israel, all of it. The cities shall be inhabited and the waste places rebuilt. 11And I will multiply on you man and beast, and they shall multiply and be fruitful. And I will cause you to be inhabited as in your former times, and will do more good to you than ever before. Then you will know that I am the LORD. 12I will let people walk on you, even my people Israel. And they shall possess you, and you shall be their inheritance, and you shall no longer bereave them of children. 13Thus says the Lord GOD: Because they say to you, ‘You devour people, and you bereave your nation of children,’ 14therefore you shall no longer devour people and no longer bereave your nation of children, declares the Lord GOD. 15And I will not let you hear anymore the reproach of the nations, and you shall no longer bear the disgrace of the peoples and no longer cause your nation to stumble, declares the Lord GOD.”
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-The LORD's Concern for His Holy Name
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-16The word of the LORD came to me: 17“Son of man, when the house of Israel lived in their own land, they defiled it by their ways and their deeds. Their ways before me were like the uncleanness of a woman in her menstrual impurity. 18So I poured out my wrath upon them for the blood that they had shed in the land, for the idols with which they had defiled it. 19I scattered them among the nations, and they were dispersed through the countries. In accordance with their ways and their deeds I judged them. 20But when they came to the nations, wherever they came, they profaned my holy name, in that people said of them, ‘These are the people of the LORD, and yet they had to go out of his land.’ 21But I had concern for my holy name, which the house of Israel had profaned among the nations to which they came.
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-I Will Put My Spirit Within You
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-22“Therefore say to the house of Israel, Thus says the Lord GOD: It is not for your sake, O house of Israel, that I am about to act, but for the sake of my holy name, which you have profaned among the nations to which you came. 23And I will vindicate the holiness of my great name, which has been profaned among the nations, and which you have profaned among them. And the nations will know that I am the LORD, declares the Lord GOD, when through you I vindicate my holiness before their eyes. 24I will take you from the nations and gather you from all the countries and bring you into your own land. 25I will sprinkle clean water on you, and you shall be clean from all your uncleannesses, and from all your idols I will cleanse you. 26And I will give you a new heart, and a new spirit I will put within you. And I will remove the heart of stone from your flesh and give you a heart of flesh. 27And I will put my Spirit within you, and cause you to walk in my statutes and be careful to obey my rules.[142] 28You shall dwell in the land that I gave to your fathers, and you shall be my people, and I will be your God. 29And I will deliver you from all your uncleannesses. And I will summon the grain and make it abundant and lay no famine upon you. 30I will make the fruit of the tree and the increase of the field abundant, that you may never again suffer the disgrace of famine among the nations. 31Then you will remember your evil ways, and your deeds that were not good, and you will loathe yourselves for your iniquities and your abominations. 32It is not for your sake that I will act, declares the Lord GOD; let that be known to you. Be ashamed and confounded for your ways, O house of Israel.
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-33“Thus says the Lord GOD: On the day that I cleanse you from all your iniquities, I will cause the cities to be inhabited, and the waste places shall be rebuilt. 34And the land that was desolate shall be tilled, instead of being the desolation that it was in the sight of all who passed by. 35And they will say, ‘This land that was desolate has become like the garden of Eden, and the waste and desolate and ruined cities are now fortified and inhabited.’ 36Then the nations that are left all around you shall know that I am the LORD; I have rebuilt the ruined places and replanted that which was desolate. I am the LORD; I have spoken, and I will do it.
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-37“Thus says the Lord GOD: This also I will let the house of Israel ask me to do for them: to increase their people like a flock. 38Like the flock for sacrifices,[143] like the flock at Jerusalem during her appointed feasts, so shall the waste cities be filled with flocks of people. Then they will know that I am the LORD.”
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-The Valley of Dry Bones
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-37:1 The hand of the LORD was upon me, and he brought me out in the Spirit of the LORD and set me down in the middle of the valley;[144] it was full of bones. 2And he led me around among them, and behold, there were very many on the surface of the valley, and behold, they were very dry. 3And he said to me, “Son of man, can these bones live?” And I answered, “O Lord GOD, you know.” 4Then he said to me, “Prophesy over these bones, and say to them, O dry bones, hear the word of the LORD. 5Thus says the Lord GOD to these bones: Behold, I will cause breath[145] to enter you, and you shall live. 6And I will lay sinews upon you, and will cause flesh to come upon you, and cover you with skin, and put breath in you, and you shall live, and you shall know that I am the LORD.”
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-7So I prophesied as I was commanded. And as I prophesied, there was a sound, and behold, a rattling,[146] and the bones came together, bone to its bone. 8And I looked, and behold, there were sinews on them, and flesh had come upon them, and skin had covered them. But there was no breath in them. 9Then he said to me, “Prophesy to the breath; prophesy, son of man, and say to the breath, Thus says the Lord GOD: Come from the four winds, O breath, and breathe on these slain, that they may live.” 10So I prophesied as he commanded me, and the breath came into them, and they lived and stood on their feet, an exceedingly great army.
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-11Then he said to me, “Son of man, these bones are the whole house of Israel. Behold, they say, ‘Our bones are dried up, and our hope is lost; we are indeed cut off.’ 12Therefore prophesy, and say to them, Thus says the Lord GOD: Behold, I will open your graves and raise you from your graves, O my people. And I will bring you into the land of Israel. 13And you shall know that I am the LORD, when I open your graves, and raise you from your graves, O my people. 14And I will put my Spirit within you, and you shall live, and I will place you in your own land. Then you shall know that I am the LORD; I have spoken, and I will do it, declares the LORD.”
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-I Will Be Their God, They Shall Be My People
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-15The word of the LORD came to me: 16“Son of man, take a stick[147] and write on it, ‘For Judah, and the people of Israel associated with him’; then take another stick and write on it, ‘For Joseph (the stick of Ephraim) and all the house of Israel associated with him.’ 17And join them one to another into one stick, that they may become one in your hand. 18And when your people say to you, ‘Will you not tell us what you mean by these?’ 19say to them, Thus says the Lord GOD: Behold, I am about to take the stick of Joseph (that is in the hand of Ephraim) and the tribes of Israel associated with him. And I will join with it the stick of Judah,[148] and make them one stick, that they may be one in my hand. 20When the sticks on which you write are in your hand before their eyes, 21then say to them, Thus says the Lord GOD: Behold, I will take the people of Israel from the nations among which they have gone, and will gather them from all around, and bring them to their own land. 22And I will make them one nation in the land, on the mountains of Israel. And one king shall be king over them all, and they shall be no longer two nations, and no longer divided into two kingdoms. 23They shall not defile themselves anymore with their idols and their detestable things, or with any of their transgressions. But I will save them from all the backslidings[149] in which they have sinned, and will cleanse them; and they shall be my people, and I will be their God.
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-24“My servant David shall be king over them, and they shall all have one shepherd. They shall walk in my rules and be careful to obey my statutes. 25They shall dwell in the land that I gave to my servant Jacob, where your fathers lived. They and their children and their children's children shall dwell there forever, and David my servant shall be their prince forever. 26I will make a covenant of peace with them. It shall be an everlasting covenant with them. And I will set them in their land[150] and multiply them, and will set my sanctuary in their midst forevermore. 27My dwelling place shall be with them, and I will be their God, and they shall be my people. 28Then the nations will know that I am the LORD who sanctifies Israel, when my sanctuary is in their midst forevermore.”
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-Prophecy Against Gog
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-38:1 The word of the LORD came to me: 2“Son of man, set your face toward Gog, of the land of Magog, the chief prince of Meshech[151] and Tubal, and prophesy against him 3and say, Thus says the Lord GOD: Behold, I am against you, O Gog, chief prince of Meshech[152] and Tubal. 4And I will turn you about and put hooks into your jaws, and I will bring you out, and all your army, horses and horsemen, all of them clothed in full armor, a great host, all of them with buckler and shield, wielding swords. 5Persia, Cush, and Put are with them, all of them with shield and helmet; 6Gomer and all his hordes; Beth-togarmah from the uttermost parts of the north with all his hordes—many peoples are with you.
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-7“Be ready and keep ready, you and all your hosts that are assembled about you, and be a guard for them. 8After many days you will be mustered. In the latter years you will go against the land that is restored from war, the land whose people were gathered from many peoples upon the mountains of Israel, which had been a continual waste. Its people were brought out from the peoples and now dwell securely, all of them. 9You will advance, coming on like a storm. You will be like a cloud covering the land, you and all your hordes, and many peoples with you.
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-10“Thus says the Lord GOD: On that day, thoughts will come into your mind, and you will devise an evil scheme 11and say, ‘I will go up against the land of unwalled villages. I will fall upon the quiet people who dwell securely, all of them dwelling without walls, and having no bars or gates,’ 12to seize spoil and carry off plunder, to turn your hand against the waste places that are now inhabited, and the people who were gathered from the nations, who have acquired livestock and goods, who dwell at the center of the earth. 13Sheba and Dedan and the merchants of Tarshish and all its leaders[153] will say to you, ‘Have you come to seize spoil? Have you assembled your hosts to carry off plunder, to carry away silver and gold, to take away livestock and goods, to seize great spoil?’
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-14“Therefore, son of man, prophesy, and say to Gog, Thus says the Lord GOD: On that day when my people Israel are dwelling securely, will you not know it? 15You will come from your place out of the uttermost parts of the north, you and many peoples with you, all of them riding on horses, a great host, a mighty army. 16You will come up against my people Israel, like a cloud covering the land. In the latter days I will bring you against my land, that the nations may know me, when through you, O Gog, I vindicate my holiness before their eyes.
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-17“Thus says the Lord GOD: Are you he of whom I spoke in former days by my servants the prophets of Israel, who in those days prophesied for years that I would bring you against them? 18But on that day, the day that Gog shall come against the land of Israel, declares the Lord GOD, my wrath will be roused in my anger. 19For in my jealousy and in my blazing wrath I declare, On that day there shall be a great earthquake in the land of Israel. 20The fish of the sea and the birds of the heavens and the beasts of the field and all creeping things that creep on the ground, and all the people who are on the face of the earth, shall quake at my presence. And the mountains shall be thrown down, and the cliffs shall fall, and every wall shall tumble to the ground. 21I will summon a sword against Gog[154] on all my mountains, declares the Lord GOD. Every man's sword will be against his brother. 22With pestilence and bloodshed I will enter into judgment with him, and I will rain upon him and his hordes and the many peoples who are with him torrential rains and hailstones, fire and sulfur. 23So I will show my greatness and my holiness and make myself known in the eyes of many nations. Then they will know that I am the LORD.
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-39:1 “And you, son of man, prophesy against Gog and say, Thus says the Lord GOD: Behold, I am against you, O Gog, chief prince of Meshech[155] and Tubal. 2And I will turn you about and drive you forward, and bring you up from the uttermost parts of the north, and lead you against the mountains of Israel. 3Then I will strike your bow from your left hand, and will make your arrows drop out of your right hand. 4You shall fall on the mountains of Israel, you and all your hordes and the peoples who are with you. I will give you to birds of prey of every sort and to the beasts of the field to be devoured. 5You shall fall in the open field, for I have spoken, declares the Lord GOD. 6I will send fire on Magog and on those who dwell securely in the coastlands, and they shall know that I am the LORD.
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-7“And my holy name I will make known in the midst of my people Israel, and I will not let my holy name be profaned anymore. And the nations shall know that I am the LORD, the Holy One in Israel. 8Behold, it is coming and it will be brought about, declares the Lord GOD. That is the day of which I have spoken.
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-9“Then those who dwell in the cities of Israel will go out and make fires of the weapons and burn them, shields and bucklers, bow and arrows, clubs[156] and spears; and they will make fires of them for seven years, 10so that they will not need to take wood out of the field or cut down any out of the forests, for they will make their fires of the weapons. They will seize the spoil of those who despoiled them, and plunder those who plundered them, declares the Lord GOD.
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-11“On that day I will give to Gog a place for burial in Israel, the Valley of the Travelers, east of the sea. It will block the travelers, for there Gog and all his multitude will be buried. It will be called the Valley of Hamon-gog.[157] 12For seven months the house of Israel will be burying them, in order to cleanse the land. 13All the people of the land will bury them, and it will bring them renown on the day that I show my glory, declares the Lord GOD. 14They will set apart men to travel through the land regularly and bury those travelers remaining on the face of the land, so as to cleanse it. At[158] the end of seven months they will make their search. 15And when these travel through the land and anyone sees a human bone, then he shall set up a sign by it, till the buriers have buried it in the Valley of Hamon-gog. 16(Hamonah[159] is also the name of the city.) Thus shall they cleanse the land.
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-17“As for you, son of man, thus says the Lord GOD: Speak to the birds of every sort and to all beasts of the field, ‘Assemble and come, gather from all around to the sacrificial feast that I am preparing for you, a great sacrificial feast on the mountains of Israel, and you shall eat flesh and drink blood. 18You shall eat the flesh of the mighty, and drink the blood of the princes of the earth—of rams, of lambs, and of he-goats, of bulls, all of them fat beasts of Bashan. 19And you shall eat fat till you are filled, and drink blood till you are drunk, at the sacrificial feast that I am preparing for you. 20And you shall be filled at my table with horses and charioteers, with mighty men and all kinds of warriors,’ declares the Lord GOD.
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-21“And I will set my glory among the nations, and all the nations shall see my judgment that I have executed, and my hand that I have laid on them. 22The house of Israel shall know that I am the LORD their God, from that day forward. 23And the nations shall know that the house of Israel went into captivity for their iniquity, because they dealt so treacherously with me that I hid my face from them and gave them into the hand of their adversaries, and they all fell by the sword. 24I dealt with them according to their uncleanness and their transgressions, and hid my face from them.
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-The LORD Will Restore Israel
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-25“Therefore thus says the Lord GOD: Now I will restore the fortunes of Jacob and have mercy on the whole house of Israel, and I will be jealous for my holy name. 26They shall forget their shame and all the treachery they have practiced against me, when they dwell securely in their land with none to make them afraid, 27when I have brought them back from the peoples and gathered them from their enemies' lands, and through them have vindicated my holiness in the sight of many nations. 28Then they shall know that I am the LORD their God, because I sent them into exile among the nations and then assembled them into their own land. I will leave none of them remaining among the nations anymore. 29And I will not hide my face anymore from them, when I pour out my Spirit upon the house of Israel, declares the Lord GOD.”
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-Vision of the New Temple
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-40:1 In the twenty-fifth year of our exile, at the beginning of the year, on the tenth day of the month, in the fourteenth year after the city was struck down, on that very day, the hand of the LORD was upon me, and he brought me to the city.[160] 2In visions of God he brought me to the land of Israel, and set me down on a very high mountain, on which was a structure like a city to the south. 3When he brought me there, behold, there was a man whose appearance was like bronze, with a linen cord and a measuring reed in his hand. And he was standing in the gateway. 4And the man said to me, “Son of man, look with your eyes, and hear with your ears, and set your heart upon all that I shall show you, for you were brought here in order that I might show it to you. Declare all that you see to the house of Israel.”
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-The East Gate to the Outer Court
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-5And behold, there was a wall all around the outside of the temple area, and the length of the measuring reed in the man's hand was six long cubits, each being a cubit and a handbreadth[161] in length. So he measured the thickness of the wall, one reed; and the height, one reed. 6Then he went into the gateway facing east, going up its steps, and measured the threshold of the gate, one reed deep.[162] 7And the side rooms, one reed long and one reed broad; and the space between the side rooms, five cubits; and the threshold of the gate by the vestibule of the gate at the inner end, one reed. 8Then he measured the vestibule of the gateway, on the inside, one reed. 9Then he measured the vestibule of the gateway, eight cubits; and its jambs, two cubits; and the vestibule of the gate was at the inner end. 10And there were three side rooms on either side of the east gate. The three were of the same size, and the jambs on either side were of the same size. 11Then he measured the width of the opening of the gateway, ten cubits; and the length of the gateway, thirteen cubits. 12There was a barrier before the side rooms, one cubit on either side. And the side rooms were six cubits on either side. 13Then he measured the gate from the ceiling of the one side room to the ceiling of the other, a breadth of twenty-five cubits; the openings faced each other. 14He measured also the vestibule, twenty cubits. And around the vestibule of the gateway was the court.[163] 15From the front of the gate at the entrance to the front of the inner vestibule of the gate was fifty cubits. 16And the gateway had windows all around, narrowing inwards toward the side rooms and toward their jambs, and likewise the vestibule had windows all around inside, and on the jambs were palm trees.
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-The Outer Court
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-17Then he brought me into the outer court. And behold, there were chambers and a pavement, all around the court. Thirty chambers faced the pavement. 18And the pavement ran along the side of the gates, corresponding to the length of the gates. This was the lower pavement. 19Then he measured the distance from the inner front of the lower gate to the outer front of the inner court,[164] a hundred cubits on the east side and on the north side.[165]
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-The North Gate
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-20As for the gate that faced toward the north, belonging to the outer court, he measured its length and its breadth. 21Its side rooms, three on either side, and its jambs and its vestibule were of the same size as those of the first gate. Its length was fifty cubits, and its breadth twenty-five cubits. 22And its windows, its vestibule, and its palm trees were of the same size as those of the gate that faced toward the east. And by seven steps people would go up to it, and find its vestibule before them. 23And opposite the gate on the north, as on the east, was a gate to the inner court. And he measured from gate to gate, a hundred cubits.
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-The South Gate
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-24And he led me toward the south, and behold, there was a gate on the south. And he measured its jambs and its vestibule; they had the same size as the others. 25Both it and its vestibule had windows all around, like the windows of the others. Its length was fifty cubits, and its breadth twenty-five cubits. 26And there were seven steps leading up to it, and its vestibule was before them, and it had palm trees on its jambs, one on either side. 27And there was a gate on the south of the inner court. And he measured from gate to gate toward the south, a hundred cubits.
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-The Inner Court
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-28Then he brought me to the inner court through the south gate, and he measured the south gate. It was of the same size as the others. 29Its side rooms, its jambs, and its vestibule were of the same size as the others, and both it and its vestibule had windows all around. Its length was fifty cubits, and its breadth twenty-five cubits. 30And there were vestibules all around, twenty-five cubits long and five cubits broad. 31Its vestibule faced the outer court, and palm trees were on its jambs, and its stairway had eight steps.
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-32Then he brought me to the inner court on the east side, and he measured the gate. It was of the same size as the others. 33Its side rooms, its jambs, and its vestibule were of the same size as the others, and both it and its vestibule had windows all around. Its length was fifty cubits, and its breadth twenty-five cubits. 34Its vestibule faced the outer court, and it had palm trees on its jambs, on either side, and its stairway had eight steps.
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-35Then he brought me to the north gate, and he measured it. It had the same size as the others. 36Its side rooms, its jambs, and its vestibule were of the same size as the others,[166] and it had windows all around. Its length was fifty cubits, and its breadth twenty-five cubits. 37Its vestibule[167] faced the outer court, and it had palm trees on its jambs, on either side, and its stairway had eight steps.
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-38There was a chamber with its door in the vestibule of the gate,[168] where the burnt offering was to be washed. 39And in the vestibule of the gate were two tables on either side, on which the burnt offering and the sin offering and the guilt offering were to be slaughtered. 40And off to the side, on the outside as one goes up to the entrance of the north gate, were two tables; and off to the other side of the vestibule of the gate were two tables. 41Four tables were on either side of the gate, eight tables, on which to slaughter. 42And there were four tables of hewn stone for the burnt offering, a cubit and a half long, and a cubit and a half broad, and one cubit high, on which the instruments were to be laid with which the burnt offerings and the sacrifices were slaughtered. 43And hooks,[169] a handbreadth long, were fastened all around within. And on the tables the flesh of the offering was to be laid.
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-Chambers for the Priests
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-44On the outside of the inner gateway there were two chambers[170] in the inner court, one[171] at the side of the north gate facing south, the other at the side of the south[172] gate facing north. 45And he said to me, This chamber that faces south is for the priests who have charge of the temple, 46and the chamber that faces north is for the priests who have charge of the altar. These are the sons of Zadok, who alone[173] among the sons of Levi may come near to the LORD to minister to him. 47And he measured the court, a hundred cubits long and a hundred cubits broad, a square. And the altar was in front of the temple.
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-The Vestibule of the Temple
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-48Then he brought me to the vestibule of the temple and measured the jambs of the vestibule, five cubits on either side. And the breadth of the gate was fourteen cubits, and the sidewalls of the gate[174] were three cubits on either side. 49The length of the vestibule was twenty cubits, and the breadth twelve[175] cubits, and people would go up to it by ten steps.[176] And there were pillars beside the jambs, one on either side.
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-The Inner Temple
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-41:1 Then he brought me to the nave and measured the jambs. On each side six cubits[177] was the breadth of the jambs.[178] 2And the breadth of the entrance was ten cubits, and the sidewalls of the entrance were five cubits on either side. And he measured the length of the nave,[179] forty cubits, and its breadth, twenty cubits. 3Then he went into the inner room and measured the jambs of the entrance, two cubits; and the entrance, six cubits; and the sidewalls on either side[180] of the entrance, seven cubits. 4And he measured the length of the room, twenty cubits, and its breadth, twenty cubits, across the nave. And he said to me, “This is the Most Holy Place.”
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-5Then he measured the wall of the temple, six cubits thick, and the breadth of the side chambers, four cubits, all around the temple. 6And the side chambers were in three stories, one over another, thirty in each story. There were offsets[181] all around the wall of the temple to serve as supports for the side chambers, so that they should not be supported by the wall of the temple. 7And it became broader as it wound upward to the side chambers, because the temple was enclosed upward all around the temple. Thus the temple had a broad area upward, and so one went up from the lowest story to the top story through the middle story. 8I saw also that the temple had a raised platform all around; the foundations of the side chambers measured a full reed of six long cubits. 9The thickness of the outer wall of the side chambers was five cubits. The free space between the side chambers of the temple and the 10other chambers was a breadth of twenty cubits all around the temple on every side. 11And the doors of the side chambers opened on the free space, one door toward the north, and another door toward the south. And the breadth of the free space was five cubits all around.
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-12The building that was facing the separate yard on the west side was seventy cubits broad, and the wall of the building was five cubits thick all around, and its length ninety cubits.
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-13Then he measured the temple, a hundred cubits long; and the yard and the building with its walls, a hundred cubits long; 14also the breadth of the east front of the temple and the yard, a hundred cubits.
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-15Then he measured the length of the building facing the yard that was at the back and its galleries[182] on either side, a hundred cubits.
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-The inside of the nave and the vestibules of the court, 16the thresholds and the narrow windows and the galleries all around the three of them, opposite the threshold, were paneled with wood all around, from the floor up to the windows (now the windows were covered), 17to the space above the door, even to the inner room, and on the outside. And on all the walls all around, inside and outside, was a measured pattern.[183] 18It was carved of cherubim and palm trees, a palm tree between cherub and cherub. Every cherub had two faces: 19a human face toward the palm tree on the one side, and the face of a young lion toward the palm tree on the other side. They were carved on the whole temple all around. 20From the floor to above the door, cherubim and palm trees were carved; similarly the wall of the nave.
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-21The doorposts of the nave were squared, and in front of the Holy Place was something resembling 22an altar of wood, three cubits high, two cubits long, and two cubits broad.[184] Its corners, its base,[185] and its walls were of wood. He said to me, “This is the table that is before the LORD.” 23The nave and the Holy Place had each a double door. 24The double doors had two leaves apiece, two swinging leaves for each door. 25And on the doors of the nave were carved cherubim and palm trees, such as were carved on the walls. And there was a canopy[186] of wood in front of the vestibule outside. 26And there were narrow windows and palm trees on either side, on the sidewalls of the vestibule, the side chambers of the temple, and the canopies.
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-The Temple's Chambers
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-42:1 Then he led me out into the outer court, toward the north, and he brought me to the chambers that were opposite the separate yard and opposite the building on the north. 2The length of the building whose door faced north was a hundred cubits,[187] and the breadth fifty cubits. 3Facing the twenty cubits that belonged to the inner court, and facing the pavement that belonged to the outer court, was gallery[188] against gallery in three stories. 4And before the chambers was a passage inward, ten cubits wide and a hundred cubits long,[189] and their doors were on the north. 5Now the upper chambers were narrower, for the galleries took more away from them than from the lower and middle chambers of the building. 6For they were in three stories, and they had no pillars like the pillars of the courts. Thus the upper chambers were set back from the ground more than the lower and the middle ones. 7And there was a wall outside parallel to the chambers, toward the outer court, opposite the chambers, fifty cubits long. 8For the chambers on the outer court were fifty cubits long, while those opposite the nave[190] were a hundred cubits long. 9Below these chambers was an entrance on the east side, as one enters them from the outer court.
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-10In the thickness of the wall of the court, on the south[191] also, opposite the yard and opposite the building, there were chambers 11with a passage in front of them. They were similar to the chambers on the north, of the same length and breadth, with the same exits[192] and arrangements and doors, 12as were the entrances of the chambers on the south. There was an entrance at the beginning of the passage, the passage before the corresponding wall on the east as one enters them.[193]
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-13Then he said to me, “The north chambers and the south chambers opposite the yard are the holy chambers, where the priests who approach the LORD shall eat the most holy offerings. There they shall put the most holy offerings—the grain offering, the sin offering, and the guilt offering—for the place is holy. 14When the priests enter the Holy Place, they shall not go out of it into the outer court without laying there the garments in which they minister, for these are holy. They shall put on other garments before they go near to that which is for the people.”
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-15Now when he had finished measuring the interior of the temple area, he led me out by the gate that faced east, and measured the temple area all around. 16He measured the east side with the measuring reed, 500 cubits by the measuring reed all around. 17He measured the north side, 500 cubits by the measuring reed all around. 18He measured the south side, 500 cubits by the measuring reed. 19Then he turned to the west side and measured, 500 cubits by the measuring reed. 20He measured it on the four sides. It had a wall around it, 500 cubits long and 500 cubits broad, to make a separation between the holy and the common.
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-The Glory of the LORD Fills the Temple
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-43:1 Then he led me to the gate, the gate facing east. 2And behold, the glory of the God of Israel was coming from the east. And the sound of his coming was like the sound of many waters, and the earth shone with his glory. 3And the vision I saw was just like the vision that I had seen when he[194] came to destroy the city, and just like the vision that I had seen by the Chebar canal. And I fell on my face. 4As the glory of the LORD entered the temple by the gate facing east, 5the Spirit lifted me up and brought me into the inner court; and behold, the glory of the LORD filled the temple.
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-6While the man was standing beside me, I heard one speaking to me out of the temple, 7and he said to me, “Son of man, this is the place of my throne and the place of the soles of my feet, where I will dwell in the midst of the people of Israel forever. And the house of Israel shall no more defile my holy name, neither they, nor their kings, by their whoring and by the dead bodies[195] of their kings at their high places,[196] 8by setting their threshold by my threshold and their doorposts beside my doorposts, with only a wall between me and them. They have defiled my holy name by their abominations that they have committed, so I have consumed them in my anger. 9Now let them put away their whoring and the dead bodies of their kings far from me, and I will dwell in their midst forever.
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-10“As for you, son of man, describe to the house of Israel the temple, that they may be ashamed of their iniquities; and they shall measure the plan. 11And if they are ashamed of all that they have done, make known to them the design of the temple, its arrangement, its exits and its entrances, that is, its whole design; and make known to them as well all its statutes and its whole design and all its laws, and write it down in their sight, so that they may observe all its laws and all its statutes and carry them out. 12This is the law of the temple: the whole territory on the top of the mountain all around shall be most holy. Behold, this is the law of the temple.
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-The Altar
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-13“These are the measurements of the altar by cubits (the cubit being a cubit and a handbreadth):[197] its base shall be one cubit high[198] and one cubit broad, with a rim of one span[199] around its edge. And this shall be the height of the altar: 14from the base on the ground to the lower ledge, two cubits, with a breadth of one cubit; and from the smaller ledge to the larger ledge, four cubits, with a breadth of one cubit; 15and the altar hearth, four cubits; and from the altar hearth projecting upward, four horns. 16The altar hearth shall be square, twelve cubits long by twelve broad. 17The ledge also shall be square, fourteen cubits long by fourteen broad, with a rim around it half a cubit broad, and its base one cubit all around. The steps of the altar shall face east.”
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-18And he said to me, “Son of man, thus says the Lord GOD: These are the ordinances for the altar: On the day when it is erected for offering burnt offerings upon it and for throwing blood against it, 19you shall give to the Levitical priests of the family of Zadok, who draw near to me to minister to me, declares the Lord GOD, a bull from the herd for a sin offering. 20And you shall take some of its blood and put it on the four horns of the altar and on the four corners of the ledge and upon the rim all around. Thus you shall purify the altar and make atonement for it. 21You shall also take the bull of the sin offering, and it shall be burned in the appointed place belonging to the temple, outside the sacred area. 22And on the second day you shall offer a male goat without blemish for a sin offering; and the altar shall be purified, as it was purified with the bull. 23When you have finished purifying it, you shall offer a bull from the herd without blemish and a ram from the flock without blemish. 24You shall present them before the LORD, and the priests shall sprinkle salt on them and offer them up as a burnt offering to the LORD. 25For seven days you shall provide daily a male goat for a sin offering; also, a bull from the herd and a ram from the flock, without blemish, shall be provided. 26Seven days shall they make atonement for the altar and cleanse it, and so consecrate it.[200] 27And when they have completed these days, then from the eighth day onward the priests shall offer on the altar your burnt offerings and your peace offerings, and I will accept you, declares the Lord GOD.”
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-The Gate for the Prince
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-44:1 Then he brought me back to the outer gate of the sanctuary, which faces east. And it was shut. 2And the LORD said to me, “This gate shall remain shut; it shall not be opened, and no one shall enter by it, for the LORD, the God of Israel, has entered by it. Therefore it shall remain shut. 3Only the prince may sit in it to eat bread before the LORD. He shall enter by way of the vestibule of the gate, and shall go out by the same way.”
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-4Then he brought me by way of the north gate to the front of the temple, and I looked, and behold, the glory of the LORD filled the temple of the LORD. And I fell on my face. 5And the LORD said to me, “Son of man, mark well, see with your eyes, and hear with your ears all that I shall tell you concerning all the statutes of the temple of the LORD and all its laws. And mark well the entrance to the temple and all the exits from the sanctuary. 6And say to the rebellious house,[201] to the house of Israel, Thus says the Lord GOD: O house of Israel, enough of all your abominations, 7in admitting foreigners, uncircumcised in heart and flesh, to be in my sanctuary, profaning my temple, when you offer to me my food, the fat and the blood. You[202] have broken my covenant, in addition to all your abominations. 8And you have not kept charge of my holy things, but you have set others to keep my charge for you in my sanctuary.
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-9“Thus says the Lord GOD: No foreigner, uncircumcised in heart and flesh, of all the foreigners who are among the people of Israel, shall enter my sanctuary. 10But the Levites who went far from me, going astray from me after their idols when Israel went astray, shall bear their punishment.[203] 11They shall be ministers in my sanctuary, having oversight at the gates of the temple and ministering in the temple. They shall slaughter the burnt offering and the sacrifice for the people, and they shall stand before the people, to minister to them. 12Because they ministered to them before their idols and became a stumbling block of iniquity to the house of Israel, therefore I have sworn concerning them, declares the Lord GOD, and they shall bear their punishment. 13They shall not come near to me, to serve me as priest, nor come near any of my holy things and the things that are most holy, but they shall bear their shame and the abominations that they have committed. 14Yet I will appoint them to keep charge of the temple, to do all its service and all that is to be done in it.
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-Rules for Levitical Priests
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-15“But the Levitical priests, the sons of Zadok, who kept the charge of my sanctuary when the people of Israel went astray from me, shall come near to me to minister to me. And they shall stand before me to offer me the fat and the blood, declares the Lord GOD. 16They shall enter my sanctuary, and they shall approach my table, to minister to me, and they shall keep my charge. 17When they enter the gates of the inner court, they shall wear linen garments. They shall have nothing of wool on them, while they minister at the gates of the inner court, and within. 18They shall have linen turbans on their heads, and linen undergarments around their waists. They shall not bind themselves with anything that causes sweat. 19And when they go out into the outer court to the people, they shall put off the garments in which they have been ministering and lay them in the holy chambers. And they shall put on other garments, lest they transmit holiness to the people with their garments. 20They shall not shave their heads or let their locks grow long; they shall surely trim the hair of their heads. 21No priest shall drink wine when he enters the inner court. 22They shall not marry a widow or a divorced woman, but only virgins of the offspring of the house of Israel, or a widow who is the widow of a priest. 23They shall teach my people the difference between the holy and the common, and show them how to distinguish between the unclean and the clean. 24In a dispute, they shall act as judges, and they shall judge it according to my judgments. They shall keep my laws and my statutes in all my appointed feasts, and they shall keep my Sabbaths holy. 25They shall not defile themselves by going near to a dead person. However, for father or mother, for son or daughter, for brother or unmarried sister they may defile themselves. 26After he has become clean, they shall count seven days for him. 27And on the day that he goes into the Holy Place, into the inner court, to minister in the Holy Place, he shall offer his sin offering, declares the Lord GOD.
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-28“This shall be their inheritance: I am their inheritance: and you shall give them no possession in Israel; I am their possession. 29They shall eat the grain offering, the sin offering, and the guilt offering, and every devoted thing in Israel shall be theirs. 30And the first of all the firstfruits of all kinds, and every offering of all kinds from all your offerings, shall belong to the priests. You shall also give to the priests the first of your dough, that a blessing may rest on your house. 31The priests shall not eat of anything, whether bird or beast, that has died of itself or is torn by wild animals.
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-The Holy District
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-45:1 “When you allot the land as an inheritance, you shall set apart for the LORD a portion of the land as a holy district, 25,000 cubits[204] long and 20,000[205] cubits broad. It shall be holy throughout its whole extent. 2Of this a square plot of 500 by 500 cubits shall be for the sanctuary, with fifty cubits for an open space around it. 3And from this measured district you shall measure off a section 25,000 cubits long and 10,000 broad, in which shall be the sanctuary, the Most Holy Place. 4It shall be the holy portion of the land. It shall be for the priests, who minister in the sanctuary and approach the LORD to minister to him, and it shall be a place for their houses and a holy place for the sanctuary. 5Another section, 25,000 cubits long and 10,000 cubits broad, shall be for the Levites who minister at the temple, as their possession for cities to live in.[206]
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-6“Alongside the portion set apart as the holy district you shall assign for the property of the city an area 5,000 cubits broad and 25,000 cubits long. It shall belong to the whole house of Israel.
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-The Portion for the Prince
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-7“And to the prince shall belong the land on both sides of the holy district and the property of the city, alongside the holy district and the property of the city, on the west and on the east, corresponding in length to one of the tribal portions, and extending from the western to the eastern boundary 8of the land. It is to be his property in Israel. And my princes shall no more oppress my people, but they shall let the house of Israel have the land according to their tribes.
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-9“Thus says the Lord GOD: Enough, O princes of Israel! Put away violence and oppression, and execute justice and righteousness. Cease your evictions of my people, declares the Lord GOD.
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-10“You shall have just balances, a just ephah, and a just bath.[207] 11The ephah and the bath shall be of the same measure, the bath containing one tenth of a homer,[208] and the ephah one tenth of a homer; the homer shall be the standard measure. 12The shekel shall be twenty gerahs;[209] twenty shekels plus twenty-five shekels plus fifteen shekels shall be your mina.[210]
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-13“This is the offering that you shall make: one sixth of an ephah from each homer of wheat, and one sixth of an ephah from each homer of barley, 14and as the fixed portion of oil, measured in baths, one tenth of a bath from each cor[211] (the cor, like the homer, contains ten baths).[212] 15And one sheep from every flock of two hundred, from the watering places of Israel for grain offering, burnt offering, and peace offerings, to make atonement for them, declares the Lord GOD. 16All the people of the land shall be obliged to give this offering to the prince in Israel. 17It shall be the prince's duty to furnish the burnt offerings, grain offerings, and drink offerings, at the feasts, the new moons, and the Sabbaths, all the appointed feasts of the house of Israel: he shall provide the sin offerings, grain offerings, burnt offerings, and peace offerings, to make atonement on behalf of the house of Israel.
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-18“Thus says the Lord GOD: In the first month, on the first day of the month, you shall take a bull from the herd without blemish, and purify the sanctuary. 19The priest shall take some of the blood of the sin offering and put it on the doorposts of the temple, the four corners of the ledge of the altar, and the posts of the gate of the inner court. 20You shall do the same on the seventh day of the month for anyone who has sinned through error or ignorance; so you shall make atonement for the temple.
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-21“In the first month, on the fourteenth day of the month, you shall celebrate the Feast of the Passover, and for seven days unleavened bread shall be eaten. 22On that day the prince shall provide for himself and all the people of the land a young bull for a sin offering. 23And on the seven days of the festival he shall provide as a burnt offering to the LORD seven young bulls and seven rams without blemish, on each of the seven days; and a male goat daily for a sin offering. 24And he shall provide as a grain offering an ephah for each bull, an ephah for each ram, and a hin[213] of oil to each ephah. 25In the seventh month, on the fifteenth day of the month and for the seven days of the feast, he shall make the same provision for sin offerings, burnt offerings, and grain offerings, and for the oil.
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-The Prince and the Feasts
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-46:1 “Thus says the Lord GOD: The gate of the inner court that faces east shall be shut on the six working days, but on the Sabbath day it shall be opened, and on the day of the new moon it shall be opened. 2The prince shall enter by the vestibule of the gate from outside, and shall take his stand by the post of the gate. The priests shall offer his burnt offering and his peace offerings, and he shall worship at the threshold of the gate. Then he shall go out, but the gate shall not be shut until evening. 3The people of the land shall bow down at the entrance of that gate before the LORD on the Sabbaths and on the new moons. 4The burnt offering that the prince offers to the LORD on the Sabbath day shall be six lambs without blemish and a ram without blemish. 5And the grain offering with the ram shall be an ephah,[214] and the grain offering with the lambs shall be as much as he is able, together with a hin[215] of oil to each ephah. 6On the day of the new moon he shall offer a bull from the herd without blemish, and six lambs and a ram, which shall be without blemish. 7As a grain offering he shall provide an ephah with the bull and an ephah with the ram, and with the lambs as much as he is able, together with a hin of oil to each ephah. 8When the prince enters, he shall enter by the vestibule of the gate, and he shall go out by the same way.
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-9“When the people of the land come before the LORD at the appointed feasts, he who enters by the north gate to worship shall go out by the south gate, and he who enters by the south gate shall go out by the north gate: no one shall return by way of the gate by which he entered, but each shall go out straight ahead. 10When they enter, the prince shall enter with them, and when they go out, he shall go out.
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-11“At the feasts and the appointed festivals, the grain offering with a young bull shall be an ephah, and with a ram an ephah, and with the lambs as much as one is able to give, together with a hin of oil to an ephah. 12When the prince provides a freewill offering, either a burnt offering or peace offerings as a freewill offering to the LORD, the gate facing east shall be opened for him. And he shall offer his burnt offering or his peace offerings as he does on the Sabbath day. Then he shall go out, and after he has gone out the gate shall be shut.
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-13“You shall provide a lamb a year old without blemish for a burnt offering to the LORD daily; morning by morning you shall provide it. 14And you shall provide a grain offering with it morning by morning, one sixth of an ephah, and one third of a hin of oil to moisten the flour, as a grain offering to the LORD. This is a perpetual statute. 15Thus the lamb and the meal offering and the oil shall be provided, morning by morning, for a regular burnt offering.
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-16“Thus says the Lord GOD: If the prince makes a gift to any of his sons as his inheritance, it shall belong to his sons. It is their property by inheritance. 17But if he makes a gift out of his inheritance to one of his servants, it shall be his to the year of liberty. Then it shall revert to the prince; surely it is his inheritance—it shall belong to his sons. 18The prince shall not take any of the inheritance of the people, thrusting them out of their property. He shall give his sons their inheritance out of his own property, so that none of my people shall be scattered from his property.”
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-Boiling Places for Offerings
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-19Then he brought me through the entrance, which was at the side of the gate, to the north row of the holy chambers for the priests, and behold, a place was there at the extreme western end of them. 20And he said to me, “This is the place where the priests shall boil the guilt offering and the sin offering, and where they shall bake the grain offering, in order not to bring them out into the outer court and so transmit holiness to the people.”
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-21Then he brought me out to the outer court and led me around to the four corners of the court. And behold, in each corner of the court there was another court— 22in the four corners of the court were small[216] courts, forty cubits[217] long and thirty broad; the four were of the same size. 23On the inside, around each of the four courts was a row of masonry, with hearths made at the bottom of the rows all around. 24Then he said to me, “These are the kitchens where those who minister at the temple shall boil the sacrifices of the people.”
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-Water Flowing from the Temple
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-47:1 Then he brought me back to the door of the temple, and behold, water was issuing from below the threshold of the temple toward the east (for the temple faced east). The water was flowing down from below the south end of the threshold of the temple, south of the altar. 2Then he brought me out by way of the north gate and led me around on the outside to the outer gate that faces toward the east; and behold, the water was trickling out on the south side.
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-3Going on eastward with a measuring line in his hand, the man measured a thousand cubits,[218] and then led me through the water, and it was ankle-deep. 4Again he measured a thousand, and led me through the water, and it was knee-deep. Again he measured a thousand, and led me through the water, and it was waist-deep. 5Again he measured a thousand, and it was a river that I could not pass through, for the water had risen. It was deep enough to swim in, a river that could not be passed through. 6And he said to me, “Son of man, have you seen this?”
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-Then he led me back to the bank of the river. 7As I went back, I saw on the bank of the river very many trees on the one side and on the other. 8And he said to me, “This water flows toward the eastern region and goes down into the Arabah, and enters the sea;[219] when the water flows into the sea, the water will become fresh.[220] 9And wherever the river goes,[221] every living creature that swarms will live, and there will be very many fish. For this water goes there, that the waters of the sea[222] may become fresh; so everything will live where the river goes. 10Fishermen will stand beside the sea. From Engedi to Eneglaim it will be a place for the spreading of nets. Its fish will be of very many kinds, like the fish of the Great Sea.[223] 11But its swamps and marshes will not become fresh; they are to be left for salt. 12And on the banks, on both sides of the river, there will grow all kinds of trees for food. Their leaves will not wither, nor their fruit fail, but they will bear fresh fruit every month, because the water for them flows from the sanctuary. Their fruit will be for food, and their leaves for healing.”
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-Division of the Land
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-13Thus says the Lord GOD: “This is the boundary[224] by which you shall divide the land for inheritance among the twelve tribes of Israel. Joseph shall have two portions. 14And you shall divide equally what I swore to give to your fathers. This land shall fall to you as your inheritance.
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-15“This shall be the boundary of the land: On the north side, from the Great Sea by way of Hethlon to Lebo-hamath, and on to Zedad,[225] 16Berothah, Sibraim (which lies on the border between Damascus and Hamath), as far as Hazer-hatticon, which is on the border of Hauran. 17So the boundary shall run from the sea to Hazar-enan, which is on the northern border of Damascus, with the border of Hamath to the north.[226] This shall be the north side.[227]
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-18“On the east side, the boundary shall run between Hauran and Damascus; along the Jordan between Gilead and the land of Israel; to the eastern sea and as far as Tamar.[228] This shall be the east side.
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-19“On the south side, it shall run from Tamar as far as the waters of Meribah-kadesh, from there along the Brook of Egypt[229] to the Great Sea. This shall be the south side.
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-20“On the west side, the Great Sea shall be the boundary to a point opposite Lebo-hamath. This shall be the west side.
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-21“So you shall divide this land among you according to the tribes of Israel. 22You shall allot it as an inheritance for yourselves and for the sojourners who reside among you and have had children among you. They shall be to you as native-born children of Israel. With you they shall be allotted an inheritance among the tribes of Israel. 23In whatever tribe the sojourner resides, there you shall assign him his inheritance, declares the Lord GOD.
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-48:1 “These are the names of the tribes: Beginning at the northern extreme, beside the way of Hethlon to Lebo-hamath, as far as Hazar-enan (which is on the northern border of Damascus over against Hamath), and[230] extending from the east side to the west,[231] Dan, one portion. 2Adjoining the territory of Dan, from the east side to the west, Asher, one portion. 3Adjoining the territory of Asher, from the east side to the west, Naphtali, one portion. 4Adjoining the territory of Naphtali, from the east side to the west, Manasseh, one portion. 5Adjoining the territory of Manasseh, from the east side to the west, Ephraim, one portion. 6Adjoining the territory of Ephraim, from the east side to the west, Reuben, one portion. 7Adjoining the territory of Reuben, from the east side to the west, Judah, one portion.
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-8“Adjoining the territory of Judah, from the east side to the west, shall be the portion which you shall set apart, 25,000 cubits[232] in breadth, and in length equal to one of the tribal portions, from the east side to the west, with the sanctuary in the midst of it. 9The portion that you shall set apart for the LORD shall be 25,000 cubits in length, and 20,000[233] in breadth. 10These shall be the allotments of the holy portion: the priests shall have an allotment measuring 25,000 cubits on the northern side, 10,000 cubits in breadth on the western side, 10,000 in breadth on the eastern side, and 25,000 in length on the southern side, with the sanctuary of the LORD in the midst of it. 11This shall be for the consecrated priests, the sons of Zadok, who kept my charge, who did not go astray when the people of Israel went astray, as the Levites did. 12And it shall belong to them as a special portion from the holy portion of the land, a most holy place, adjoining the territory of the Levites. 13And alongside the territory of the priests, the Levites shall have an allotment 25,000 cubits in length and 10,000 in breadth. The whole length shall be 25,000 cubits and the breadth 20,000.[234] 14They shall not sell or exchange any of it. They shall not alienate this choice portion of the land, for it is holy to the LORD.
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-15“The remainder, 5,000 cubits in breadth and 25,000 in length, shall be for common use for the city, for dwellings and for open country. In the midst of it shall be the city, 16and these shall be its measurements: the north side 4,500 cubits, the south side 4,500, the east side 4,500, and the west side 4,500. 17And the city shall have open land: on the north 250 cubits, on the south 250, on the east 250, and on the west 250. 18The remainder of the length alongside the holy portion shall be 10,000 cubits to the east, and 10,000 to the west, and it shall be alongside the holy portion. Its produce shall be food for the workers of the city. 19And the workers of the city, from all the tribes of Israel, shall till it. 20The whole portion that you shall set apart shall be 25,000 cubits square, that is, the holy portion together with the property of the city.
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-21“What remains on both sides of the holy portion and of the property of the city shall belong to the prince. Extending from the 25,000 cubits of the holy portion to the east border, and westward from the 25,000 cubits to the west border, parallel to the tribal portions, it shall belong to the prince. The holy portion with the sanctuary of the temple shall be in its midst. 22It shall be separate from the property of the Levites and the property of the city, which are in the midst of that which belongs to the prince. The portion of the prince shall lie between the territory of Judah and the territory of Benjamin.
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-23“As for the rest of the tribes: from the east side to the west, Benjamin, one portion. 24Adjoining the territory of Benjamin, from the east side to the west, Simeon, one portion. 25Adjoining the territory of Simeon, from the east side to the west, Issachar, one portion. 26Adjoining the territory of Issachar, from the east side to the west, Zebulun, one portion. 27Adjoining the territory of Zebulun, from the east side to the west, Gad, one portion. 28And adjoining the territory of Gad to the south, the boundary shall run from Tamar to the waters of Meribah-kadesh, from there along the Brook of Egypt[235] to the Great Sea.[236] 29This is the land that you shall allot as an inheritance among the tribes of Israel, and these are their portions, declares the Lord GOD.
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-The Gates of the City
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-30“These shall be the exits of the city: On the north side, which is to be 4,500 cubits by measure, 31three gates, the gate of Reuben, the gate of Judah, and the gate of Levi, the gates of the city being named after the tribes of Israel. 32On the east side, which is to be 4,500 cubits, three gates, the gate of Joseph, the gate of Benjamin, and the gate of Dan. 33On the south side, which is to be 4,500 cubits by measure, three gates, the gate of Simeon, the gate of Issachar, and the gate of Zebulun. 34On the west side, which is to be 4,500 cubits, three gates,[237] the gate of Gad, the gate of Asher, and the gate of Naphtali. 35The circumference of the city shall be 18,000 cubits. And the name of the city from that time on shall be, The LORD Is There.”
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-Footnotes
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-[1] 1:1 Or from God
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-[2] 1:4 Or amber; also verse 27
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-[3] 1:15 Hebrew of their faces
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-[4] 1:17 Hebrew on their four sides
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-[5] 1:20 Or the spirit of life; also verse 21
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-[6] 1:26 Or lapis lazuli
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-[7] 1:27 Or it
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-[8] 2:1 Or Son of Adam; so throughout Ezekiel
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-[9] 2:6 Or on scorpion plants
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-[10] 3:12 Or the wind; also verse 14
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-[11] 3:12 Or sound
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-[12] 3:15 Or Chebar, and to where they dwelt
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-[13] 3:18 Or in; also verses 19, 20
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-[14] 3:22 Or plain; also verse 23
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-[15] 4:4 Or iniquity; also verses 5, 6, 17
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-[16] 4:9 A type of wheat
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-[17] 4:10 A shekel was about 2/5 ounce or 11 grams
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-[18] 4:10 Or at a set time daily; also verse 11
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-[19] 4:11 A hin was about 4 quarts or 3.5 liters
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-[20] 4:14 Hebrew my soul (or throat) has never been made unclean
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-[21] 4:16 Hebrew staff
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-[22] 5:7 Some Hebrew manuscripts and Syriac lack not
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-[23] 5:8 The same Hebrew expression can mean obey rules, or execute judgments, depending on the context
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-[24] 5:11 Some Hebrew manuscripts I will cut you down
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-[25] 5:15 Dead Sea Scroll, Septuagint, Syriac, Vulgate, Targum; Masoretic Text And it shall be
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-[26] 5:16 Hebrew them
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-[27] 5:16 Hebrew staff
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-[28] 6:6 Or and punished
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-[29] 6:14 Some Hebrew manuscripts; most Hebrew manuscripts Diblah
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-[30] 7:2 Or earth
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-[31] 7:5 Some Hebrew manuscripts (compare Syriac, Targum); most Hebrew manuscripts Disaster! A unique disaster!
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-[32] 7:7 The meaning of the Hebrew word is uncertain; also verse 10
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-[33] 7:11 The meaning of this last Hebrew sentence is uncertain
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-[34] 7:12 Or abundance; also verses 13, 14
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-[35] 7:13 The meaning of this last Hebrew sentence is uncertain
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-[36] 7:22 Or secret
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-[37] 7:23 Probably refers to an instrument of captivity
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-[38] 7:24 By revocalization (compare Septuagint); Hebrew and those who sanctify them
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-[39] 7:26 Or instruction
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-[40] 8:2 By revocalization (compare Septuagint); Hebrew of fire
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-[41] 8:2 Or amber
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-[42] 8:17 Or my
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-[43] 10:1 Or lapis lazuli
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-[44] 10:11 Hebrew to their four sides
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-[45] 10:11 Hebrew the head
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-[46] 10:12 Or their whole body, their backs, their hands, and their wings
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-[47] 10:17 Or spirit of life
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-[48] 11:3 Or Is not the time near . . . ?
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-[49] 11:15 Hebrew the men of your redemption
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-[50] 11:16 Or in small measure
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-[51] 11:21 Hebrew To the heart of their detestable things and their abominations their heart goes; I will
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-[52] 12:3 Or will see that
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-[53] 12:10 Or This burden is
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-[54] 12:10 Hebrew in the midst of them
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-[55] 12:22 The Hebrew for you is plural
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-[56] 12:23 Hebrew word
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-[57] 13:10 Or plaster; also verses 11, 14, 15
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-[58] 14:10 Or iniquity; three times in this verse
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-[59] 14:13 Hebrew staff
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-[60] 16:10 Or with rich fabric
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-[61] 16:15 Or were unfaithful; also verses 16, 17, 26, 28
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-[62] 16:15 Or unfaithfulness; also verses 20, 22, 25, 26, 29, 33, 34, 36
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-[63] 16:15 Hebrew it
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-[64] 16:16 The meaning of this Hebrew sentence is uncertain
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-[65] 16:25 Hebrew spreading your legs
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-[66] 16:30 Revocalization yields How I am filled with anger against you
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-[67] 16:57 Some manuscripts (compare Syriac) of Edom
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-[68] 16:61 Or not apart from
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-[69] 17:5 Hebrew in a field of seed
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-[70] 17:13 Hebrew seed
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-[71] 17:21 Some Hebrew manuscripts, Syriac, Targum; most Hebrew manuscripts all the fugitives
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-[72] 18:2 The Hebrew for you is plural
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-[73] 18:8 That is, profit that comes from charging interest to the poor; also verses 13, 17 (compare Leviticus 25:36)
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-[74] 18:17 Septuagint; Hebrew from the poor
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-[75] 18:30 Or lest iniquity be your stumbling block
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-[76] 19:7 Hebrew knew
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-[77] 19:9 Or in a wooden collar
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-[78] 19:10 Some Hebrew manuscripts; most Hebrew manuscripts in your blood
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-[79] 19:11 Or the clouds
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-[80] 20:5 Hebrew I lifted my hand; twice in this verse; also verses 6, 15, 23, 28, 42
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-[81] 20:29 Bamah means high place
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-[82] 20:31 Hebrew and make your children pass through the fire
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-[83] 20:45 Ch 21:1 in Hebrew
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-[84] 20:46 Or toward Teman
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-[85] 21:1 Ch 21:6 in Hebrew
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-[86] 21:2 Some Hebrew manuscripts, compare Septuagint, Syriac against their sanctuary
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-[87] 21:10 Probable reading; Hebrew The rod of my son despises everything of wood
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-[88] 21:13 Or For it is a testing; and what if even the rod despises? It shall not be!
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-[89] 21:14 Hebrew its third
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-[90] 21:15 Hebrew many stumbling blocks
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-[91] 21:15 The meaning of the Hebrew word rendered taken up is uncertain
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-[92] 21:21 Or household idols
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-[93] 21:25 Or slain; also verse 29
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-[94] 22:4 Some Hebrew manuscripts, Septuagint, Syriac, Vulgate, Targum; most Hebrew manuscripts until
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-[95] 22:12 That is, profit that comes from charging interest to the poor (compare Leviticus 25:36)
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-[96] 23:3 Hebrew nipples; also verses 8, 21
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-[97] 23:11 Hebrew than she
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-[98] 23:21 Vulgate, Syriac; Hebrew bosom for the sake of
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-[99] 23:24 Septuagint; the meaning of the Hebrew word is unknown
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-[100] 23:37 Or have even made pass through the fire
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-[101] 23:42 Or Sabeans
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-[102] 23:43 The meaning of the Hebrew verse is uncertain
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-[103] 24:5 Compare verse 10; Hebrew the bones
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-[104] 24:6 Hebrew no lot has fallen upon it
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-[105] 24:10 Or empty out the broth
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-[106] 24:12 The meaning of the Hebrew is uncertain
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-[107] 25:5 Hebrew and the Ammonites
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-[108] 25:8 Septuagint lacks and Seir
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-[109] 26:7 Hebrew Nebuchadrezzar; so throughout Ezekiel
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-[110] 27:15 Hebrew; Septuagint Rhodes
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-[111] 27:17 The meaning of the Hebrew word is unknown
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-[112] 27:19 Probable reading; Hebrew wool of Sahar, Vedan, and Javan
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-[113] 28:12 The meaning of the Hebrew phrase is uncertain
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-[114] 28:13 Or lapis lazuli
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-[115] 28:13 The meaning of the Hebrew phrase is uncertain
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-[116] 28:14 The meaning of the Hebrew phrase is uncertain
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-[117] 28:16 Or banished you
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-[118] 29:6 Hebrew they
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-[119] 29:7 Syriac (compare Psalm 69:23); Hebrew to stand
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-[120] 29:9 Hebrew he
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-[121] 29:19 Or multitude
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-[122] 30:3 Hebrew lacks doom for
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-[123] 30:4 Or multitude; also verse 10
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-[124] 30:5 With Septuagint; Hebrew Cub
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-[125] 30:5 Hebrew and the sons of the land of the covenant
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-[126] 30:9 Hebrew the day of Egypt
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-[127] 30:15 Or wealth
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-[128] 30:16 Or distress
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-[129] 30:17 Or the cities; Hebrew they
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-[130] 31:3 Or its top went through the thick boughs; also verses 10, 14
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-[131] 31:10 Syriac, Vulgate; Hebrew you
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-[132] 31:14 Or of Adam
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-[133] 31:15 Hebrew it
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-[134] 32:5 Hebrew your height
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-[135] 32:12 Or wealth
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-[136] 32:17 Hebrew lacks in the twelfth month
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-[137] 32:20 Hebrew She
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-[138] 33:12 Hebrew by it
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-[139] 33:32 Hebrew like the singing of lustful songs with a beautiful voice and one who plays
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-[140] 34:16 Septuagint, Syriac, Vulgate I will watch over
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-[141] 34:22 Or save
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-[142] 36:27 Or my just decrees
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-[143] 36:38 Hebrew flock of holy things
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-[144] 37:1 Or plain; also verse 2
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-[145] 37:5 Or spirit; also verses 6, 9, 10
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-[146] 37:7 Or an earthquake (compare 3:12, 13)
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-[147] 37:16 Or one piece of wood; also verses 17, 19, 20
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-[148] 37:19 Hebrew And I will place them on it, the stick of Judah
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-[149] 37:23 Many Hebrew manuscripts; other Hebrew manuscripts dwellings
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-[150] 37:26 Hebrew lacks in their land
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-[151] 38:2 Or Magog, the prince of Rosh, Meshech
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-[152] 38:3 Or Gog, prince of Rosh, Meshech
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-[153] 38:13 Hebrew young lions
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-[154] 38:21 Hebrew against him
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-[155] 39:1 Or Gog, prince of Rosh, Meshech
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-[156] 39:9 Or javelins
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-[157] 39:11 Hamon-gog means the multitude of Gog
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-[158] 39:14 Or Until
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-[159] 39:16 Hamonah means multitude
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-[160] 40:1 Hebrew brought me there
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-[161] 40:5 A cubit was about 18 inches or 45 centimeters; a handbreadth was about 3 inches or 7.5 centimeters
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-[162] 40:6 Hebrew deep, and one threshold, one reed deep
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-[163] 40:14 Text uncertain; Hebrew And he made the jambs sixty cubits, and to the jamb of the court was the gateway all around
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-[164] 40:19 Hebrew distance from before the low gate before the inner court to the outside
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-[165] 40:19 Or cubits. So far the eastern gate; now to the northern gate.
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-[166] 40:36 One manuscript (compare verses 29 and 33); most manuscripts lack were of the same size as the others
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-[167] 40:37 Septuagint, Vulgate (compare verses 26, 31, 34); Hebrew jambs
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-[168] 40:38 Hebrew at the jambs, the gates
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-[169] 40:43 Or shelves
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-[170] 40:44 Septuagint; Hebrew were chambers for singers
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-[171] 40:44 Hebrew lacks one
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-[172] 40:44 Septuagint; Hebrew east
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-[173] 40:46 Hebrew lacks alone
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-[174] 40:48 Septuagint; Hebrew lacks was fourteen cubits, and the sidewalls of the gate
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-[175] 40:49 Septuagint; Hebrew eleven
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-[176] 40:49 Septuagint; Hebrew and by steps that would go up to it
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-[177] 41:1 A cubit was about 18 inches or 45 centimeters
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-[178] 41:1 Compare Septuagint; Hebrew tent
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-[179] 41:2 Hebrew its length
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-[180] 41:3 Septuagint; Hebrew and the breadth
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-[181] 41:6 Septuagint, compare 1 Kings 6:6; the meaning of the Hebrew word is uncertain
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-[182] 41:15 The meaning of the Hebrew term is unknown; also verse 16
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-[183] 41:17 Hebrew were measurements
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-[184] 41:22 Septuagint; Hebrew lacks two cubits broad
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-[185] 41:22 Septuagint; Hebrew length
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-[186] 41:25 The meaning of the Hebrew word is unknown; also verse 26
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-[187] 42:2 A cubit was about 18 inches or 45 centimeters
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-[188] 42:3 The meaning of the Hebrew word is unknown; also verse 5
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-[189] 42:4 Septuagint, Syriac; Hebrew and a way of one cubit
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-[190] 42:8 Or temple
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-[191] 42:10 Septuagint; Hebrew east
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-[192] 42:11 Hebrew and all their exits
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-[193] 42:12 The meaning of the Hebrew verse is uncertain
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-[194] 43:3 Some Hebrew manuscripts and Vulgate; most Hebrew manuscripts when I
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-[195] 43:7 Or the monuments; also verse 9
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-[196] 43:7 Or at their deaths
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-[197] 43:13 A cubit was about 18 inches or 45 centimeters; a handbreadth was about 3 inches or 7.5 centimeters
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-[198] 43:13 Or its gutter shall be one cubit deep
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-[199] 43:13 A span was about 9 inches or 22 centimeters
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-[200] 43:26 Hebrew fill its hand
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-[201] 44:6 Septuagint; Hebrew lacks house
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-[202] 44:7 Septuagint, Syriac, Vulgate; Hebrew They
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-[203] 44:10 Or iniquity; also verse 12
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-[204] 45:1 A cubit was about 18 inches or 45 centimeters
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-[205] 45:1 Septuagint; Hebrew ten
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-[206] 45:5 Septuagint; Hebrew as their possession, twenty chambers
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-[207] 45:10 An ephah was about 3/5 of a bushel or 22 liters; a bath was about 6 gallons or 22 liters
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-[208] 45:11 A homer was about 6 bushels or 220 liters
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-[209] 45:12 A shekel was about 2/5 ounce or 11 grams; a gerah was about 1/50 ounce or 0.6 gram
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-[210] 45:12 A mina was about 1 1/4 pounds or 0.6 kilogram
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-[211] 45:14 A cor was about 6 bushels or 220 liters
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-[212] 45:14 See Vulgate; Hebrew (ten baths are a homer, for ten baths are a homer)
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-[213] 45:24 A hin was about 4 quarts or 3.5 liters
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-[214] 46:5 An ephah was about 3/5 bushel or 22 liters
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-[215] 46:5 A hin was about 4 quarts or 3.5 liters
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-[216] 46:22 Septuagint, Syriac, Vulgate; the meaning of the Hebrew word is uncertain
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-[217] 46:22 A cubit was about 18 inches or 45 centimeters
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-[218] 47:3 A cubit was about 18 inches or 45 centimeters
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-[219] 47:8 That is, the Dead Sea
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-[220] 47:8 Hebrew will be healed; also verses 9, 11
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-[221] 47:9 Septuagint, Syriac, Vulgate, Targum; Hebrew the two rivers go
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-[222] 47:9 Hebrew lacks the waters of the sea
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-[223] 47:10 That is, the Mediterranean Sea; also verses 15, 19, 20
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-[224] 47:13 Probable reading; Hebrew The valley of the boundary
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-[225] 47:15 Septuagint; Hebrew the entrance of Zedad, Hamath
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-[226] 47:17 The meaning of the Hebrew is uncertain
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-[227] 47:17 Probable reading; Hebrew and as for the north side
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-[228] 47:18 Compare Syriac; Hebrew to the eastern sea you shall measure
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-[229] 47:19 Hebrew lacks of Egypt
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-[230] 48:1 Probable reading; Hebrew and they shall be his
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-[231] 48:1 Septuagint (compare verses 2-8); Hebrew the east side the west
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-[232] 48:8 A cubit was about 18 inches or 45 centimeters
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-[233] 48:9 Compare 45:1; Hebrew ten
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-[234] 48:13 Septuagint; Hebrew 10,000
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-[235] 48:28 Hebrew lacks of Egypt
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-[236] 48:28 That is, the Mediterranean Sea
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-[237] 48:34 One Hebrew manuscript, Syriac (compare Septuagint); most Hebrew manuscripts their gates three
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-DANIEL
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-Chapter 1
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-Chapter 2
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-Chapter 3
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-Chapter 4
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-Chapter 5
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-Chapter 6
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-Chapter 7
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-Chapter 8
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-Chapter 9
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-Chapter 10
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-Chapter 11
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-Chapter 12
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-Daniel Taken to Babylon
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-1:1 In the third year of the reign of Jehoiakim king of Judah, Nebuchadnezzar king of Babylon came to Jerusalem and besieged it. 2And the Lord gave Jehoiakim king of Judah into his hand, with some of the vessels of the house of God. And he brought them to the land of Shinar, to the house of his god, and placed the vessels in the treasury of his god. 3Then the king commanded Ashpenaz, his chief eunuch, to bring some of the people of Israel, both of the royal family[1] and of the nobility, 4youths without blemish, of good appearance and skillful in all wisdom, endowed with knowledge, understanding learning, and competent to stand in the king's palace, and to teach them the literature and language of the Chaldeans. 5The king assigned them a daily portion of the food that the king ate, and of the wine that he drank. They were to be educated for three years, and at the end of that time they were to stand before the king. 6Among these were Daniel, Hananiah, Mishael, and Azariah of the tribe of Judah. 7And the chief of the eunuchs gave them names: Daniel he called Belteshazzar, Hananiah he called Shadrach, Mishael he called Meshach, and Azariah he called Abednego.
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-Daniel's Faithfulness
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-8But Daniel resolved that he would not defile himself with the king's food, or with the wine that he drank. Therefore he asked the chief of the eunuchs to allow him not to defile himself. 9And God gave Daniel favor and compassion in the sight of the chief of the eunuchs, 10and the chief of the eunuchs said to Daniel, “I fear my lord the king, who assigned your food and your drink; for why should he see that you were in worse condition than the youths who are of your own age? So you would endanger my head with the king.” 11Then Daniel said to the steward whom the chief of the eunuchs had assigned over Daniel, Hananiah, Mishael, and Azariah, 12“Test your servants for ten days; let us be given vegetables to eat and water to drink. 13Then let our appearance and the appearance of the youths who eat the king's food be observed by you, and deal with your servants according to what you see.” 14So he listened to them in this matter, and tested them for ten days. 15At the end of ten days it was seen that they were better in appearance and fatter in flesh than all the youths who ate the king's food. 16So the steward took away their food and the wine they were to drink, and gave them vegetables.
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-17As for these four youths, God gave them learning and skill in all literature and wisdom, and Daniel had understanding in all visions and dreams. 18At the end of the time, when the king had commanded that they should be brought in, the chief of the eunuchs brought them in before Nebuchadnezzar. 19And the king spoke with them, and among all of them none was found like Daniel, Hananiah, Mishael, and Azariah. Therefore they stood before the king. 20And in every matter of wisdom and understanding about which the king inquired of them, he found them ten times better than all the magicians and enchanters that were in all his kingdom. 21And Daniel was there until the first year of King Cyrus.
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-Nebuchadnezzar's Dream
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-2:1 In the second year of the reign of Nebuchadnezzar, Nebuchadnezzar had dreams; his spirit was troubled, and his sleep left him. 2Then the king commanded that the magicians, the enchanters, the sorcerers, and the Chaldeans be summoned to tell the king his dreams. So they came in and stood before the king. 3And the king said to them, “I had a dream, and my spirit is troubled to know the dream.” 4Then the Chaldeans said to the king in Aramaic,[2] “O king, live forever! Tell your servants the dream, and we will show the interpretation.” 5The king answered and said to the Chaldeans, “The word from me is firm: if you do not make known to me the dream and its interpretation, you shall be torn limb from limb, and your houses shall be laid in ruins. 6But if you show the dream and its interpretation, you shall receive from me gifts and rewards and great honor. Therefore show me the dream and its interpretation.” 7They answered a second time and said, “Let the king tell his servants the dream, and we will show its interpretation.” 8The king answered and said, “I know with certainty that you are trying to gain time, because you see that the word from me is firm— 9if you do not make the dream known to me, there is but one sentence for you. You have agreed to speak lying and corrupt words before me till the times change. Therefore tell me the dream, and I shall know that you can show me its interpretation.” 10The Chaldeans answered the king and said, “There is not a man on earth who can meet the king's demand, for no great and powerful king has asked such a thing of any magician or enchanter or Chaldean. 11The thing that the king asks is difficult, and no one can show it to the king except the gods, whose dwelling is not with flesh.”
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-12Because of this the king was angry and very furious, and commanded that all the wise men of Babylon be destroyed. 13So the decree went out, and the wise men were about to be killed; and they sought Daniel and his companions, to kill them. 14Then Daniel replied with prudence and discretion to Arioch, the captain of the king's guard, who had gone out to kill the wise men of Babylon. 15He declared[3] to Arioch, the king's captain, “Why is the decree of the king so urgent?” Then Arioch made the matter known to Daniel. 16And Daniel went in and requested the king to appoint him a time, that he might show the interpretation to the king.
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-God Reveals Nebuchadnezzar's Dream
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-17Then Daniel went to his house and made the matter known to Hananiah, Mishael, and Azariah, his companions, 18and told them to seek mercy from the God of heaven concerning this mystery, so that Daniel and his companions might not be destroyed with the rest of the wise men of Babylon. 19Then the mystery was revealed to Daniel in a vision of the night. Then Daniel blessed the God of heaven. 20Daniel answered and said:
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-“Blessed be the name of God forever and ever,
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-to whom belong wisdom and might.
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-21He changes times and seasons;
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-he removes kings and sets up kings;
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-he gives wisdom to the wise
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-and knowledge to those who have understanding;
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-22he reveals deep and hidden things;
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-he knows what is in the darkness,
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-and the light dwells with him.
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-23To you, O God of my fathers,
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-I give thanks and praise,
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-for you have given me wisdom and might,
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-and have now made known to me what we asked of you,
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-for you have made known to us the king's matter.”
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-24Therefore Daniel went in to Arioch, whom the king had appointed to destroy the wise men of Babylon. He went and said thus to him: “Do not destroy the wise men of Babylon; bring me in before the king, and I will show the king the interpretation.”
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-25Then Arioch brought in Daniel before the king in haste and said thus to him: “I have found among the exiles from Judah a man who will make known to the king the interpretation.” 26The king declared to Daniel, whose name was Belteshazzar, “Are you able to make known to me the dream that I have seen and its interpretation?” 27Daniel answered the king and said, “No wise men, enchanters, magicians, or astrologers can show to the king the mystery that the king has asked, 28but there is a God in heaven who reveals mysteries, and he has made known to King Nebuchadnezzar what will be in the latter days. Your dream and the visions of your head as you lay in bed are these: 29To you, O king, as you lay in bed came thoughts of what would be after this, and he who reveals mysteries made known to you what is to be. 30But as for me, this mystery has been revealed to me, not because of any wisdom that I have more than all the living, but in order that the interpretation may be made known to the king, and that you may know the thoughts of your mind.
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-Daniel Interprets the Dream
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-31“You saw, O king, and behold, a great image. This image, mighty and of exceeding brightness, stood before you, and its appearance was frightening. 32The head of this image was of fine gold, its chest and arms of silver, its middle and thighs of bronze, 33its legs of iron, its feet partly of iron and partly of clay. 34As you looked, a stone was cut out by no human hand, and it struck the image on its feet of iron and clay, and broke them in pieces. 35Then the iron, the clay, the bronze, the silver, and the gold, all together were broken in pieces, and became like the chaff of the summer threshing floors; and the wind carried them away, so that not a trace of them could be found. But the stone that struck the image became a great mountain and filled the whole earth.
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-36“This was the dream. Now we will tell the king its interpretation. 37You, O king, the king of kings, to whom the God of heaven has given the kingdom, the power, and the might, and the glory, 38and into whose hand he has given, wherever they dwell, the children of man, the beasts of the field, and the birds of the heavens, making you rule over them all—you are the head of gold. 39Another kingdom inferior to you shall arise after you, and yet a third kingdom of bronze, which shall rule over all the earth. 40And there shall be a fourth kingdom, strong as iron, because iron breaks to pieces and shatters all things. And like iron that crushes, it shall break and crush all these. 41And as you saw the feet and toes, partly of potter's clay and partly of iron, it shall be a divided kingdom, but some of the firmness of iron shall be in it, just as you saw iron mixed with the soft clay. 42And as the toes of the feet were partly iron and partly clay, so the kingdom shall be partly strong and partly brittle. 43As you saw the iron mixed with soft clay, so they will mix with one another in marriage,[4] but they will not hold together, just as iron does not mix with clay. 44And in the days of those kings the God of heaven will set up a kingdom that shall never be destroyed, nor shall the kingdom be left to another people. It shall break in pieces all these kingdoms and bring them to an end, and it shall stand forever, 45just as you saw that a stone was cut from a mountain by no human hand, and that it broke in pieces the iron, the bronze, the clay, the silver, and the gold. A great God has made known to the king what shall be after this. The dream is certain, and its interpretation sure.”
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-Daniel Is Promoted
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-46Then King Nebuchadnezzar fell upon his face and paid homage to Daniel, and commanded that an offering and incense be offered up to him. 47The king answered and said to Daniel, “Truly, your God is God of gods and Lord of kings, and a revealer of mysteries, for you have been able to reveal this mystery.” 48Then the king gave Daniel high honors and many great gifts, and made him ruler over the whole province of Babylon and chief prefect over all the wise men of Babylon. 49Daniel made a request of the king, and he appointed Shadrach, Meshach, and Abednego over the affairs of the province of Babylon. But Daniel remained at the king's court.
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-Nebuchadnezzar's Golden Image
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-3:1 King Nebuchadnezzar made an image of gold, whose height was sixty cubits[5] and its breadth six cubits. He set it up on the plain of Dura, in the province of Babylon. 2Then King Nebuchadnezzar sent to gather the satraps, the prefects, and the governors, the counselors, the treasurers, the justices, the magistrates, and all the officials of the provinces to come to the dedication of the image that King Nebuchadnezzar had set up. 3Then the satraps, the prefects, and the governors, the counselors, the treasurers, the justices, the magistrates, and all the officials of the provinces gathered for the dedication of the image that King Nebuchadnezzar had set up. And they stood before the image that Nebuchadnezzar had set up. 4And the herald proclaimed aloud, “You are commanded, O peoples, nations, and languages, 5that when you hear the sound of the horn, pipe, lyre, trigon, harp, bagpipe, and every kind of music, you are to fall down and worship the golden image that King Nebuchadnezzar has set up. 6And whoever does not fall down and worship shall immediately be cast into a burning fiery furnace.” 7Therefore, as soon as all the peoples heard the sound of the horn, pipe, lyre, trigon, harp, bagpipe, and every kind of music, all the peoples, nations, and languages fell down and worshiped the golden image that King Nebuchadnezzar had set up.
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-The Fiery Furnace
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-8Therefore at that time certain Chaldeans came forward and maliciously accused the Jews. 9They declared[6] to King Nebuchadnezzar, “O king, live forever! 10You, O king, have made a decree, that every man who hears the sound of the horn, pipe, lyre, trigon, harp, bagpipe, and every kind of music, shall fall down and worship the golden image. 11And whoever does not fall down and worship shall be cast into a burning fiery furnace. 12There are certain Jews whom you have appointed over the affairs of the province of Babylon: Shadrach, Meshach, and Abednego. These men, O king, pay no attention to you; they do not serve your gods or worship the golden image that you have set up.”
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-13Then Nebuchadnezzar in furious rage commanded that Shadrach, Meshach, and Abednego be brought. So they brought these men before the king. 14Nebuchadnezzar answered and said to them, “Is it true, O Shadrach, Meshach, and Abednego, that you do not serve my gods or worship the golden image that I have set up? 15Now if you are ready when you hear the sound of the horn, pipe, lyre, trigon, harp, bagpipe, and every kind of music, to fall down and worship the image that I have made, well and good.[7] But if you do not worship, you shall immediately be cast into a burning fiery furnace. And who is the god who will deliver you out of my hands?”
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-16Shadrach, Meshach, and Abednego answered and said to the king, “O Nebuchadnezzar, we have no need to answer you in this matter. 17If this be so, our God whom we serve is able to deliver us from the burning fiery furnace, and he will deliver us out of your hand, O king.[8] 18But if not, be it known to you, O king, that we will not serve your gods or worship the golden image that you have set up.”
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-19Then Nebuchadnezzar was filled with fury, and the expression of his face was changed against Shadrach, Meshach, and Abednego. He ordered the furnace heated seven times more than it was usually heated. 20And he ordered some of the mighty men of his army to bind Shadrach, Meshach, and Abednego, and to cast them into the burning fiery furnace. 21Then these men were bound in their cloaks, their tunics,[9] their hats, and their other garments, and they were thrown into the burning fiery furnace. 22Because the king's order was urgent and the furnace overheated, the flame of the fire killed those men who took up Shadrach, Meshach, and Abednego. 23And these three men, Shadrach, Meshach, and Abednego, fell bound into the burning fiery furnace.
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-24Then King Nebuchadnezzar was astonished and rose up in haste. He declared to his counselors, “Did we not cast three men bound into the fire?” They answered and said to the king, “True, O king.” 25He answered and said, “But I see four men unbound, walking in the midst of the fire, and they are not hurt; and the appearance of the fourth is like a son of the gods.”
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-26Then Nebuchadnezzar came near to the door of the burning fiery furnace; he declared, “Shadrach, Meshach, and Abednego, servants of the Most High God, come out, and come here!” Then Shadrach, Meshach, and Abednego came out from the fire. 27And the satraps, the prefects, the governors, and the king's counselors gathered together and saw that the fire had not had any power over the bodies of those men. The hair of their heads was not singed, their cloaks were not harmed, and no smell of fire had come upon them. 28Nebuchadnezzar answered and said, “Blessed be the God of Shadrach, Meshach, and Abednego, who has sent his angel and delivered his servants, who trusted in him, and set aside[10] the king's command, and yielded up their bodies rather than serve and worship any god except their own God. 29Therefore I make a decree: Any people, nation, or language that speaks anything against the God of Shadrach, Meshach, and Abednego shall be torn limb from limb, and their houses laid in ruins, for there is no other god who is able to rescue in this way.” 30Then the king promoted Shadrach, Meshach, and Abednego in the province of Babylon.
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-Nebuchadnezzar Praises God
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-4:1 [11] King Nebuchadnezzar to all peoples, nations, and languages, that dwell in all the earth: Peace be multiplied to you! 2It has seemed good to me to show the signs and wonders that the Most High God has done for me.
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-3How great are his signs,
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-how mighty his wonders!
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-His kingdom is an everlasting kingdom,
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-and his dominion endures from generation to generation.
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-Nebuchadnezzar's Second Dream
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-4[12] I, Nebuchadnezzar, was at ease in my house and prospering in my palace. 5I saw a dream that made me afraid. As I lay in bed the fancies and the visions of my head alarmed me. 6So I made a decree that all the wise men of Babylon should be brought before me, that they might make known to me the interpretation of the dream. 7Then the magicians, the enchanters, the Chaldeans, and the astrologers came in, and I told them the dream, but they could not make known to me its interpretation. 8At last Daniel came in before me—he who was named Belteshazzar after the name of my god, and in whom is the spirit of the holy gods[13]—and I told him the dream, saying, 9“O Belteshazzar, chief of the magicians, because I know that the spirit of the holy gods is in you and that no mystery is too difficult for you, tell me the visions of my dream that I saw and their interpretation. 10The visions of my head as I lay in bed were these: I saw, and behold, a tree in the midst of the earth, and its height was great. 11The tree grew and became strong, and its top reached to heaven, and it was visible to the end of the whole earth. 12Its leaves were beautiful and its fruit abundant, and in it was food for all. The beasts of the field found shade under it, and the birds of the heavens lived in its branches, and all flesh was fed from it.
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-13“I saw in the visions of my head as I lay in bed, and behold, a watcher, a holy one, came down from heaven. 14He proclaimed aloud and said thus: ‘Chop down the tree and lop off its branches, strip off its leaves and scatter its fruit. Let the beasts flee from under it and the birds from its branches. 15But leave the stump of its roots in the earth, bound with a band of iron and bronze, amid the tender grass of the field. Let him be wet with the dew of heaven. Let his portion be with the beasts in the grass of the earth. 16Let his mind be changed from a man's, and let a beast's mind be given to him; and let seven periods of time pass over him. 17The sentence is by the decree of the watchers, the decision by the word of the holy ones, to the end that the living may know that the Most High rules the kingdom of men and gives it to whom he will and sets over it the lowliest of men.’ 18This dream I, King Nebuchadnezzar, saw. And you, O Belteshazzar, tell me the interpretation, because all the wise men of my kingdom are not able to make known to me the interpretation, but you are able, for the spirit of the holy gods is in you.”
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-Daniel Interprets the Second Dream
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-19Then Daniel, whose name was Belteshazzar, was dismayed for a while, and his thoughts alarmed him. The king answered and said, “Belteshazzar, let not the dream or the interpretation alarm you.” Belteshazzar answered and said, “My lord, may the dream be for those who hate you and its interpretation for your enemies! 20The tree you saw, which grew and became strong, so that its top reached to heaven, and it was visible to the end of the whole earth, 21whose leaves were beautiful and its fruit abundant, and in which was food for all, under which beasts of the field found shade, and in whose branches the birds of the heavens lived— 22it is you, O king, who have grown and become strong. Your greatness has grown and reaches to heaven, and your dominion to the ends of the earth. 23And because the king saw a watcher, a holy one, coming down from heaven and saying, ‘Chop down the tree and destroy it, but leave the stump of its roots in the earth, bound with a band of iron and bronze, in the tender grass of the field, and let him be wet with the dew of heaven, and let his portion be with the beasts of the field, till seven periods of time pass over him,’ 24this is the interpretation, O king: It is a decree of the Most High, which has come upon my lord the king, 25that you shall be driven from among men, and your dwelling shall be with the beasts of the field. You shall be made to eat grass like an ox, and you shall be wet with the dew of heaven, and seven periods of time shall pass over you, till you know that the Most High rules the kingdom of men and gives it to whom he will. 26And as it was commanded to leave the stump of the roots of the tree, your kingdom shall be confirmed for you from the time that you know that Heaven rules. 27Therefore, O king, let my counsel be acceptable to you: break off your sins by practicing righteousness, and your iniquities by showing mercy to the oppressed, that there may perhaps be a lengthening of your prosperity.”
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-Nebuchadnezzar's Humiliation
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-28All this came upon King Nebuchadnezzar. 29At the end of twelve months he was walking on the roof of the royal palace of Babylon, 30and the king answered and said, “Is not this great Babylon, which I have built by my mighty power as a royal residence and for the glory of my majesty?” 31While the words were still in the king's mouth, there fell a voice from heaven, “O King Nebuchadnezzar, to you it is spoken: The kingdom has departed from you, 32and you shall be driven from among men, and your dwelling shall be with the beasts of the field. And you shall be made to eat grass like an ox, and seven periods of time shall pass over you, until you know that the Most High rules the kingdom of men and gives it to whom he will.” 33Immediately the word was fulfilled against Nebuchadnezzar. He was driven from among men and ate grass like an ox, and his body was wet with the dew of heaven till his hair grew as long as eagles' feathers, and his nails were like birds' claws.
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-Nebuchadnezzar Restored
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-34At the end of the days I, Nebuchadnezzar, lifted my eyes to heaven, and my reason returned to me, and I blessed the Most High, and praised and honored him who lives forever,
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-for his dominion is an everlasting dominion,
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-and his kingdom endures from generation to generation;
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-35all the inhabitants of the earth are accounted as nothing,
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-and he does according to his will among the host of heaven
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-and among the inhabitants of the earth;
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-and none can stay his hand
-
-or say to him, “What have you done?”
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-36At the same time my reason returned to me, and for the glory of my kingdom, my majesty and splendor returned to me. My counselors and my lords sought me, and I was established in my kingdom, and still more greatness was added to me. 37Now I, Nebuchadnezzar, praise and extol and honor the King of heaven, for all his works are right and his ways are just; and those who walk in pride he is able to humble.
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-The Handwriting on the Wall
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-
-5:1 King Belshazzar made a great feast for a thousand of his lords and drank wine in front of the thousand.
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-2Belshazzar, when he tasted the wine, commanded that the vessels of gold and of silver that Nebuchadnezzar his father[14] had taken out of the temple in Jerusalem be brought, that the king and his lords, his wives, and his concubines might drink from them. 3Then they brought in the golden vessels that had been taken out of the temple, the house of God in Jerusalem, and the king and his lords, his wives, and his concubines drank from them. 4They drank wine and praised the gods of gold and silver, bronze, iron, wood, and stone.
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-5Immediately the fingers of a human hand appeared and wrote on the plaster of the wall of the king's palace, opposite the lampstand. And the king saw the hand as it wrote. 6Then the king's color changed, and his thoughts alarmed him; his limbs gave way, and his knees knocked together. 7The king called loudly to bring in the enchanters, the Chaldeans, and the astrologers. The king declared[15] to the wise men of Babylon, “Whoever reads this writing, and shows me its interpretation, shall be clothed with purple and have a chain of gold around his neck and shall be the third ruler in the kingdom.” 8Then all the king's wise men came in, but they could not read the writing or make known to the king the interpretation. 9Then King Belshazzar was greatly alarmed, and his color changed, and his lords were perplexed.
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-10The queen,[16] because of the words of the king and his lords, came into the banqueting hall, and the queen declared, “O king, live forever! Let not your thoughts alarm you or your color change. 11There is a man in your kingdom in whom is the spirit of the holy gods.[17] In the days of your father, light and understanding and wisdom like the wisdom of the gods were found in him, and King Nebuchadnezzar, your father—your father the king—made him chief of the magicians, enchanters, Chaldeans, and astrologers, 12because an excellent spirit, knowledge, and understanding to interpret dreams, explain riddles, and solve problems were found in this Daniel, whom the king named Belteshazzar. Now let Daniel be called, and he will show the interpretation.”
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-Daniel Interprets the Handwriting
-
-
-13Then Daniel was brought in before the king. The king answered and said to Daniel, “You are that Daniel, one of the exiles of Judah, whom the king my father brought from Judah. 14I have heard of you that the spirit of the gods[18] is in you, and that light and understanding and excellent wisdom are found in you. 15Now the wise men, the enchanters, have been brought in before me to read this writing and make known to me its interpretation, but they could not show the interpretation of the matter. 16But I have heard that you can give interpretations and solve problems. Now if you can read the writing and make known to me its interpretation, you shall be clothed with purple and have a chain of gold around your neck and shall be the third ruler in the kingdom.”
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-17Then Daniel answered and said before the king, “Let your gifts be for yourself, and give your rewards to another. Nevertheless, I will read the writing to the king and make known to him the interpretation. 18O king, the Most High God gave Nebuchadnezzar your father kingship and greatness and glory and majesty. 19And because of the greatness that he gave him, all peoples, nations, and languages trembled and feared before him. Whom he would, he killed, and whom he would, he kept alive; whom he would, he raised up, and whom he would, he humbled. 20But when his heart was lifted up and his spirit was hardened so that he dealt proudly, he was brought down from his kingly throne, and his glory was taken from him. 21He was driven from among the children of mankind, and his mind was made like that of a beast, and his dwelling was with the wild donkeys. He was fed grass like an ox, and his body was wet with the dew of heaven, until he knew that the Most High God rules the kingdom of mankind and sets over it whom he will. 22And you his son,[19] Belshazzar, have not humbled your heart, though you knew all this, 23but you have lifted up yourself against the Lord of heaven. And the vessels of his house have been brought in before you, and you and your lords, your wives, and your concubines have drunk wine from them. And you have praised the gods of silver and gold, of bronze, iron, wood, and stone, which do not see or hear or know, but the God in whose hand is your breath, and whose are all your ways, you have not honored.
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-24“Then from his presence the hand was sent, and this writing was inscribed. 25And this is the writing that was inscribed: MENE, MENE, TEKEL, and PARSIN. 26This is the interpretation of the matter: MENE, God has numbered[20] the days of your kingdom and brought it to an end; 27TEKEL, you have been weighed[21] in the balances and found wanting; 28PERES, your kingdom is divided and given to the Medes and Persians.”[22]
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-29Then Belshazzar gave the command, and Daniel was clothed with purple, a chain of gold was put around his neck, and a proclamation was made about him, that he should be the third ruler in the kingdom.
-
-30That very night Belshazzar the Chaldean king was killed. 31[23] And Darius the Mede received the kingdom, being about sixty-two years old.
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-Daniel and the Lions' Den
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-6:1 It pleased Darius to set over the kingdom 120 satraps, to be throughout the whole kingdom; 2and over them three presidents, of whom Daniel was one, to whom these satraps should give account, so that the king might suffer no loss. 3Then this Daniel became distinguished above all the other presidents and satraps, because an excellent spirit was in him. And the king planned to set him over the whole kingdom. 4Then the presidents and the satraps sought to find a ground for complaint against Daniel with regard to the kingdom, but they could find no ground for complaint or any fault, because he was faithful, and no error or fault was found in him. 5Then these men said, “We shall not find any ground for complaint against this Daniel unless we find it in connection with the law of his God.”
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-6Then these presidents and satraps came by agreement[24] to the king and said to him, “O King Darius, live forever! 7All the presidents of the kingdom, the prefects and the satraps, the counselors and the governors are agreed that the king should establish an ordinance and enforce an injunction, that whoever makes petition to any god or man for thirty days, except to you, O king, shall be cast into the den of lions. 8Now, O king, establish the injunction and sign the document, so that it cannot be changed, according to the law of the Medes and the Persians, which cannot be revoked.” 9Therefore King Darius signed the document and injunction.
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-10When Daniel knew that the document had been signed, he went to his house where he had windows in his upper chamber open toward Jerusalem. He got down on his knees three times a day and prayed and gave thanks before his God, as he had done previously. 11Then these men came by agreement and found Daniel making petition and plea before his God. 12Then they came near and said before the king, concerning the injunction, “O king! Did you not sign an injunction, that anyone who makes petition to any god or man within thirty days except to you, O king, shall be cast into the den of lions?” The king answered and said, “The thing stands fast, according to the law of the Medes and Persians, which cannot be revoked.” 13Then they answered and said before the king, “Daniel, who is one of the exiles from Judah, pays no attention to you, O king, or the injunction you have signed, but makes his petition three times a day.”
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-14Then the king, when he heard these words, was much distressed and set his mind to deliver Daniel. And he labored till the sun went down to rescue him. 15Then these men came by agreement to the king and said to the king, “Know, O king, that it is a law of the Medes and Persians that no injunction or ordinance that the king establishes can be changed.”
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-16Then the king commanded, and Daniel was brought and cast into the den of lions. The king declared[25] to Daniel, “May your God, whom you serve continually, deliver you!” 17And a stone was brought and laid on the mouth of the den, and the king sealed it with his own signet and with the signet of his lords, that nothing might be changed concerning Daniel. 18Then the king went to his palace and spent the night fasting; no diversions were brought to him, and sleep fled from him.
-
-19Then, at break of day, the king arose and went in haste to the den of lions. 20As he came near to the den where Daniel was, he cried out in a tone of anguish. The king declared to Daniel, “O Daniel, servant of the living God, has your God, whom you serve continually, been able to deliver you from the lions?” 21Then Daniel said to the king, “O king, live forever! 22My God sent his angel and shut the lions' mouths, and they have not harmed me, because I was found blameless before him; and also before you, O king, I have done no harm.” 23Then the king was exceedingly glad, and commanded that Daniel be taken up out of the den. So Daniel was taken up out of the den, and no kind of harm was found on him, because he had trusted in his God. 24And the king commanded, and those men who had maliciously accused Daniel were brought and cast into the den of lions—they, their children, and their wives. And before they reached the bottom of the den, the lions overpowered them and broke all their bones in pieces.
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-25Then King Darius wrote to all the peoples, nations, and languages that dwell in all the earth: “Peace be multiplied to you. 26I make a decree, that in all my royal dominion people are to tremble and fear before the God of Daniel,
-
-for he is the living God,
-
-enduring forever;
-
-his kingdom shall never be destroyed,
-
-and his dominion shall be to the end.
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-27He delivers and rescues;
-
-he works signs and wonders
-
-in heaven and on earth,
-
-he who has saved Daniel
-
-from the power of the lions.”
-
-28So this Daniel prospered during the reign of Darius and the reign of Cyrus the Persian.
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-Daniel's Vision of the Four Beasts
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-
-7:1 In the first year of Belshazzar king of Babylon, Daniel saw a dream and visions of his head as he lay in his bed. Then he wrote down the dream and told the sum of the matter. 2Daniel declared,[26] “I saw in my vision by night, and behold, the four winds of heaven were stirring up the great sea. 3And four great beasts came up out of the sea, different from one another. 4The first was like a lion and had eagles' wings. Then as I looked its wings were plucked off, and it was lifted up from the ground and made to stand on two feet like a man, and the mind of a man was given to it. 5And behold, another beast, a second one, like a bear. It was raised up on one side. It had three ribs in its mouth between its teeth; and it was told, ‘Arise, devour much flesh.’ 6After this I looked, and behold, another, like a leopard, with four wings of a bird on its back. And the beast had four heads, and dominion was given to it. 7After this I saw in the night visions, and behold, a fourth beast, terrifying and dreadful and exceedingly strong. It had great iron teeth; it devoured and broke in pieces and stamped what was left with its feet. It was different from all the beasts that were before it, and it had ten horns. 8I considered the horns, and behold, there came up among them another horn, a little one, before which three of the first horns were plucked up by the roots. And behold, in this horn were eyes like the eyes of a man, and a mouth speaking great things.
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-
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-The Ancient of Days Reigns
-
-
-9“As I looked,
-
-thrones were placed,
-
-and the Ancient of Days took his seat;
-
-his clothing was white as snow,
-
-and the hair of his head like pure wool;
-
-his throne was fiery flames;
-
-its wheels were burning fire.
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-10A stream of fire issued
-
-and came out from before him;
-
-a thousand thousands served him,
-
-and ten thousand times ten thousand stood before him;
-
-the court sat in judgment,
-
-and the books were opened.
-
-11“I looked then because of the sound of the great words that the horn was speaking. And as I looked, the beast was killed, and its body destroyed and given over to be burned with fire. 12As for the rest of the beasts, their dominion was taken away, but their lives were prolonged for a season and a time.
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-The Son of Man Is Given Dominion
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-
-13“I saw in the night visions,
-
-and behold, with the clouds of heaven
-
-there came one like a son of man,
-
-and he came to the Ancient of Days
-
-and was presented before him.
-
-14And to him was given dominion
-
-and glory and a kingdom,
-
-that all peoples, nations, and languages
-
-should serve him;
-
-his dominion is an everlasting dominion,
-
-which shall not pass away,
-
-and his kingdom one
-
-that shall not be destroyed.
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-
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-Daniel's Vision Interpreted
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-
-15“As for me, Daniel, my spirit within me[27] was anxious, and the visions of my head alarmed me. 16I approached one of those who stood there and asked him the truth concerning all this. So he told me and made known to me the interpretation of the things. 17‘These four great beasts are four kings who shall arise out of the earth. 18But the saints of the Most High shall receive the kingdom and possess the kingdom forever, forever and ever.’
-
-19“Then I desired to know the truth about the fourth beast, which was different from all the rest, exceedingly terrifying, with its teeth of iron and claws of bronze, and which devoured and broke in pieces and stamped what was left with its feet, 20and about the ten horns that were on its head, and the other horn that came up and before which three of them fell, the horn that had eyes and a mouth that spoke great things, and that seemed greater than its companions. 21As I looked, this horn made war with the saints and prevailed over them, 22until the Ancient of Days came, and judgment was given for the saints of the Most High, and the time came when the saints possessed the kingdom.
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-23“Thus he said: ‘As for the fourth beast,
-
-there shall be a fourth kingdom on earth,
-
-which shall be different from all the kingdoms,
-
-and it shall devour the whole earth,
-
-and trample it down, and break it to pieces.
-
-24As for the ten horns,
-
-out of this kingdom ten kings shall arise,
-
-and another shall arise after them;
-
-he shall be different from the former ones,
-
-and shall put down three kings.
-
-25He shall speak words against the Most High,
-
-and shall wear out the saints of the Most High,
-
-and shall think to change the times and the law;
-
-and they shall be given into his hand
-
-for a time, times, and half a time.
-
-26But the court shall sit in judgment,
-
-and his dominion shall be taken away,
-
-to be consumed and destroyed to the end.
-
-27And the kingdom and the dominion
-
-and the greatness of the kingdoms under the whole heaven
-
-shall be given to the people of the saints of the Most High;
-
-their kingdom shall be an everlasting kingdom,
-
-and all dominions shall serve and obey them.’[28]
-
-28“Here is the end of the matter. As for me, Daniel, my thoughts greatly alarmed me, and my color changed, but I kept the matter in my heart.”
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-
-Daniel's Vision of the Ram and the Goat
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-
-8:1 In the third year of the reign of King Belshazzar a vision appeared to me, Daniel, after that which appeared to me at the first. 2And I saw in the vision; and when I saw, I was in Susa the capital,[29] which is in the province of Elam. And I saw in the vision, and I was at the Ulai canal. 3I raised my eyes and saw, and behold, a ram standing on the bank of the canal. It had two horns, and both horns were high, but one was higher than the other, and the higher one came up last. 4I saw the ram charging westward and northward and southward. No beast could stand before him, and there was no one who could rescue from his power. He did as he pleased and became great.
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-5As I was considering, behold, a male goat came from the west across the face of the whole earth, without touching the ground. And the goat had a conspicuous horn between his eyes. 6He came to the ram with the two horns, which I had seen standing on the bank of the canal, and he ran at him in his powerful wrath. 7I saw him come close to the ram, and he was enraged against him and struck the ram and broke his two horns. And the ram had no power to stand before him, but he cast him down to the ground and trampled on him. And there was no one who could rescue the ram from his power. 8Then the goat became exceedingly great, but when he was strong, the great horn was broken, and instead of it there came up four conspicuous horns toward the four winds of heaven.
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-9Out of one of them came a little horn, which grew exceedingly great toward the south, toward the east, and toward the glorious land. 10It grew great, even to the host of heaven. And some of the host and some[30] of the stars it threw down to the ground and trampled on them. 11It became great, even as great as the Prince of the host. And the regular burnt offering was taken away from him, and the place of his sanctuary was overthrown. 12And a host will be given over to it together with the regular burnt offering because of transgression,[31] and it will throw truth to the ground, and it will act and prosper. 13Then I heard a holy one speaking, and another holy one said to the one who spoke, “For how long is the vision concerning the regular burnt offering, the transgression that makes desolate, and the giving over of the sanctuary and host to be trampled underfoot?” 14And he said to me,[32] “For 2,300 evenings and mornings. Then the sanctuary shall be restored to its rightful state.”
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-
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-
-The Interpretation of the Vision
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-
-15When I, Daniel, had seen the vision, I sought to understand it. And behold, there stood before me one having the appearance of a man. 16And I heard a man's voice between the banks of the Ulai, and it called, “Gabriel, make this man understand the vision.” 17So he came near where I stood. And when he came, I was frightened and fell on my face. But he said to me, “Understand, O son of man, that the vision is for the time of the end.”
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-18And when he had spoken to me, I fell into a deep sleep with my face to the ground. But he touched me and made me stand up. 19He said, “Behold, I will make known to you what shall be at the latter end of the indignation, for it refers to the appointed time of the end. 20As for the ram that you saw with the two horns, these are the kings of Media and Persia. 21And the goat[33] is the king of Greece. And the great horn between his eyes is the first king. 22As for the horn that was broken, in place of which four others arose, four kingdoms shall arise from his[34] nation, but not with his power. 23And at the latter end of their kingdom, when the transgressors have reached their limit, a king of bold face, one who understands riddles, shall arise. 24His power shall be great—but not by his own power; and he shall cause fearful destruction and shall succeed in what he does, and destroy mighty men and the people who are the saints. 25By his cunning he shall make deceit prosper under his hand, and in his own mind he shall become great. Without warning he shall destroy many. And he shall even rise up against the Prince of princes, and he shall be broken—but by no human hand. 26The vision of the evenings and the mornings that has been told is true, but seal up the vision, for it refers to many days from now.”
-
-27And I, Daniel, was overcome and lay sick for some days. Then I rose and went about the king's business, but I was appalled by the vision and did not understand it.
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-
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-
-Daniel's Prayer for His People
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-
-9:1 In the first year of Darius the son of Ahasuerus, by descent a Mede, who was made king over the realm of the Chaldeans— 2in the first year of his reign, I, Daniel, perceived in the books the number of years that, according to the word of the LORD to Jeremiah the prophet, must pass before the end of the desolations of Jerusalem, namely, seventy years.
-
-3Then I turned my face to the Lord God, seeking him by prayer and pleas for mercy with fasting and sackcloth and ashes. 4I prayed to the LORD my God and made confession, saying, “O Lord, the great and awesome God, who keeps covenant and steadfast love with those who love him and keep his commandments, 5we have sinned and done wrong and acted wickedly and rebelled, turning aside from your commandments and rules. 6We have not listened to your servants the prophets, who spoke in your name to our kings, our princes, and our fathers, and to all the people of the land. 7To you, O Lord, belongs righteousness, but to us open shame, as at this day, to the men of Judah, to the inhabitants of Jerusalem, and to all Israel, those who are near and those who are far away, in all the lands to which you have driven them, because of the treachery that they have committed against you. 8To us, O LORD, belongs open shame, to our kings, to our princes, and to our fathers, because we have sinned against you. 9To the Lord our God belong mercy and forgiveness, for we have rebelled against him 10and have not obeyed the voice of the LORD our God by walking in his laws, which he set before us by his servants the prophets. 11All Israel has transgressed your law and turned aside, refusing to obey your voice. And the curse and oath that are written in the Law of Moses the servant of God have been poured out upon us, because we have sinned against him. 12He has confirmed his words, which he spoke against us and against our rulers who ruled us,[35] by bringing upon us a great calamity. For under the whole heaven there has not been done anything like what has been done against Jerusalem. 13As it is written in the Law of Moses, all this calamity has come upon us; yet we have not entreated the favor of the LORD our God, turning from our iniquities and gaining insight by your truth. 14Therefore the LORD has kept ready the calamity and has brought it upon us, for the LORD our God is righteous in all the works that he has done, and we have not obeyed his voice. 15And now, O Lord our God, who brought your people out of the land of Egypt with a mighty hand, and have made a name for yourself, as at this day, we have sinned, we have done wickedly.
-
-16“O Lord, according to all your righteous acts, let your anger and your wrath turn away from your city Jerusalem, your holy hill, because for our sins, and for the iniquities of our fathers, Jerusalem and your people have become a byword among all who are around us. 17Now therefore, O our God, listen to the prayer of your servant and to his pleas for mercy, and for your own sake, O Lord,[36] make your face to shine upon your sanctuary, which is desolate. 18O my God, incline your ear and hear. Open your eyes and see our desolations, and the city that is called by your name. For we do not present our pleas before you because of our righteousness, but because of your great mercy. 19O Lord, hear; O Lord, forgive. O Lord, pay attention and act. Delay not, for your own sake, O my God, because your city and your people are called by your name.”
-
-
-
-
-
-Gabriel Brings an Answer
-
-
-20While I was speaking and praying, confessing my sin and the sin of my people Israel, and presenting my plea before the LORD my God for the holy hill of my God, 21while I was speaking in prayer, the man Gabriel, whom I had seen in the vision at the first, came to me in swift flight at the time of the evening sacrifice. 22He made me understand, speaking with me and saying, “O Daniel, I have now come out to give you insight and understanding. 23At the beginning of your pleas for mercy a word went out, and I have come to tell it to you, for you are greatly loved. Therefore consider the word and understand the vision.
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-
-
-
-
-The Seventy Weeks
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-24“Seventy weeks[37] are decreed about your people and your holy city, to finish the transgression, to put an end to sin, and to atone for iniquity, to bring in everlasting righteousness, to seal both vision and prophet, and to anoint a most holy place.[38] 25Know therefore and understand that from the going out of the word to restore and build Jerusalem to the coming of an anointed one, a prince, there shall be seven weeks. Then for sixty-two weeks it shall be built again with squares and moat, but in a troubled time. 26And after the sixty-two weeks, an anointed one shall be cut off and shall have nothing. And the people of the prince who is to come shall destroy the city and the sanctuary. Its[39] end shall come with a flood, and to the end there shall be war. Desolations are decreed. 27And he shall make a strong covenant with many for one week,[40] and for half of the week he shall put an end to sacrifice and offering. And on the wing of abominations shall come one who makes desolate, until the decreed end is poured out on the desolator.”
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-
-
-
-Daniel's Terrifying Vision of a Man
-
-
-10:1 In the third year of Cyrus king of Persia a word was revealed to Daniel, who was named Belteshazzar. And the word was true, and it was a great conflict.[41] And he understood the word and had understanding of the vision.
-
-2In those days I, Daniel, was mourning for three weeks. 3I ate no delicacies, no meat or wine entered my mouth, nor did I anoint myself at all, for the full three weeks. 4On the twenty-fourth day of the first month, as I was standing on the bank of the great river (that is, the Tigris) 5I lifted up my eyes and looked, and behold, a man clothed in linen, with a belt of fine gold from Uphaz around his waist. 6His body was like beryl, his face like the appearance of lightning, his eyes like flaming torches, his arms and legs like the gleam of burnished bronze, and the sound of his words like the sound of a multitude. 7And I, Daniel, alone saw the vision, for the men who were with me did not see the vision, but a great trembling fell upon them, and they fled to hide themselves. 8So I was left alone and saw this great vision, and no strength was left in me. My radiant appearance was fearfully changed,[42] and I retained no strength. 9Then I heard the sound of his words, and as I heard the sound of his words, I fell on my face in deep sleep with my face to the ground.
-
-10And behold, a hand touched me and set me trembling on my hands and knees. 11And he said to me, “O Daniel, man greatly loved, understand the words that I speak to you, and stand upright, for now I have been sent to you.” And when he had spoken this word to me, I stood up trembling. 12Then he said to me, “Fear not, Daniel, for from the first day that you set your heart to understand and humbled yourself before your God, your words have been heard, and I have come because of your words. 13The prince of the kingdom of Persia withstood me twenty-one days, but Michael, one of the chief princes, came to help me, for I was left there with the kings of Persia, 14and came to make you understand what is to happen to your people in the latter days. For the vision is for days yet to come.”
-
-15When he had spoken to me according to these words, I turned my face toward the ground and was mute. 16And behold, one in the likeness of the children of man touched my lips. Then I opened my mouth and spoke. I said to him who stood before me, “O my lord, by reason of the vision pains have come upon me, and I retain no strength. 17How can my lord's servant talk with my lord? For now no strength remains in me, and no breath is left in me.”
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-18Again one having the appearance of a man touched me and strengthened me. 19And he said, “O man greatly loved, fear not, peace be with you; be strong and of good courage.” And as he spoke to me, I was strengthened and said, “Let my lord speak, for you have strengthened me.” 20Then he said, “Do you know why I have come to you? But now I will return to fight against the prince of Persia; and when I go out, behold, the prince of Greece will come. 21But I will tell you what is inscribed in the book of truth: there is none who contends by my side against these except Michael, your prince.
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-
-
-
-
-The Kings of the South and the North
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-
-11:1 “And as for me, in the first year of Darius the Mede, I stood up to confirm and strengthen him.
-
-2“And now I will show you the truth. Behold, three more kings shall arise in Persia, and a fourth shall be far richer than all of them. And when he has become strong through his riches, he shall stir up all against the kingdom of Greece. 3Then a mighty king shall arise, who shall rule with great dominion and do as he wills. 4And as soon as he has arisen, his kingdom shall be broken and divided toward the four winds of heaven, but not to his posterity, nor according to the authority with which he ruled, for his kingdom shall be plucked up and go to others besides these.
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-5“Then the king of the south shall be strong, but one of his princes shall be stronger than he and shall rule, and his authority shall be a great authority. 6After some years they shall make an alliance, and the daughter of the king of the south shall come to the king of the north to make an agreement. But she shall not retain the strength of her arm, and he and his arm shall not endure, but she shall be given up, and her attendants, he who fathered her, and he who supported[43] her in those times.
-
-7“And from a branch from her roots one shall arise in his place. He shall come against the army and enter the fortress of the king of the north, and he shall deal with them and shall prevail. 8He shall also carry off to Egypt their gods with their metal images and their precious vessels of silver and gold, and for some years he shall refrain from attacking the king of the north. 9Then the latter shall come into the realm of the king of the south but shall return to his own land.
-
-10“His sons shall wage war and assemble a multitude of great forces, which shall keep coming and overflow and pass through, and again shall carry the war as far as his fortress. 11Then the king of the south, moved with rage, shall come out and fight against the king of the north. And he shall raise a great multitude, but it shall be given into his hand. 12And when the multitude is taken away, his heart shall be exalted, and he shall cast down tens of thousands, but he shall not prevail. 13For the king of the north shall again raise a multitude, greater than the first. And after some years[44] he shall come on with a great army and abundant supplies.
-
-14“In those times many shall rise against the king of the south, and the violent among your own people shall lift themselves up in order to fulfill the vision, but they shall fail. 15Then the king of the north shall come and throw up siegeworks and take a well-fortified city. And the forces of the south shall not stand, or even his best troops, for there shall be no strength to stand. 16But he who comes against him shall do as he wills, and none shall stand before him. And he shall stand in the glorious land, with destruction in his hand. 17He shall set his face to come with the strength of his whole kingdom, and he shall bring terms of an agreement and perform them. He shall give him the daughter of women to destroy the kingdom,[45] but it shall not stand or be to his advantage. 18Afterward he shall turn his face to the coastlands and shall capture many of them, but a commander shall put an end to his insolence. Indeed,[46] he shall turn his insolence back upon him. 19Then he shall turn his face back toward the fortresses of his own land, but he shall stumble and fall, and shall not be found.
-
-20“Then shall arise in his place one who shall send an exactor of tribute for the glory of the kingdom. But within a few days he shall be broken, neither in anger nor in battle. 21In his place shall arise a contemptible person to whom royal majesty has not been given. He shall come in without warning and obtain the kingdom by flatteries. 22Armies shall be utterly swept away before him and broken, even the prince of the covenant. 23And from the time that an alliance is made with him he shall act deceitfully, and he shall become strong with a small people. 24Without warning he shall come into the richest parts[47] of the province, and he shall do what neither his fathers nor his fathers' fathers have done, scattering among them plunder, spoil, and goods. He shall devise plans against strongholds, but only for a time. 25And he shall stir up his power and his heart against the king of the south with a great army. And the king of the south shall wage war with an exceedingly great and mighty army, but he shall not stand, for plots shall be devised against him. 26Even those who eat his food shall break him. His army shall be swept away, and many shall fall down slain. 27And as for the two kings, their hearts shall be bent on doing evil. They shall speak lies at the same table, but to no avail, for the end is yet to be at the time appointed. 28And he shall return to his land with great wealth, but his heart shall be set against the holy covenant. And he shall work his will and return to his own land.
-
-29“At the time appointed he shall return and come into the south, but it shall not be this time as it was before. 30For ships of Kittim shall come against him, and he shall be afraid and withdraw, and shall turn back and be enraged and take action against the holy covenant. He shall turn back and pay attention to those who forsake the holy covenant. 31Forces from him shall appear and profane the temple and fortress, and shall take away the regular burnt offering. And they shall set up the abomination that makes desolate. 32He shall seduce with flattery those who violate the covenant, but the people who know their God shall stand firm and take action. 33And the wise among the people shall make many understand, though for some days they shall stumble by sword and flame, by captivity and plunder. 34When they stumble, they shall receive a little help. And many shall join themselves to them with flattery, 35and some of the wise shall stumble, so that they may be refined, purified, and made white, until the time of the end, for it still awaits the appointed time.
-
-36“And the king shall do as he wills. He shall exalt himself and magnify himself above every god, and shall speak astonishing things against the God of gods. He shall prosper till the indignation is accomplished; for what is decreed shall be done. 37He shall pay no attention to the gods of his fathers, or to the one beloved by women. He shall not pay attention to any other god, for he shall magnify himself above all. 38He shall honor the god of fortresses instead of these. A god whom his fathers did not know he shall honor with gold and silver, with precious stones and costly gifts. 39He shall deal with the strongest fortresses with the help of a foreign god. Those who acknowledge him he shall load with honor. He shall make them rulers over many and shall divide the land for a price.[48]
-
-40“At the time of the end, the king of the south shall attack[49] him, but the king of the north shall rush upon him like a whirlwind, with chariots and horsemen, and with many ships. And he shall come into countries and shall overflow and pass through. 41He shall come into the glorious land. And tens of thousands shall fall, but these shall be delivered out of his hand: Edom and Moab and the main part of the Ammonites. 42He shall stretch out his hand against the countries, and the land of Egypt shall not escape. 43He shall become ruler of the treasures of gold and of silver, and all the precious things of Egypt, and the Libyans and the Cushites shall follow in his train. 44But news from the east and the north shall alarm him, and he shall go out with great fury to destroy and devote many to destruction. 45And he shall pitch his palatial tents between the sea and the glorious holy mountain. Yet he shall come to his end, with none to help him.
-
-
-
-
-
-The Time of the End
-
-
-12:1 “At that time shall arise Michael, the great prince who has charge of your people. And there shall be a time of trouble, such as never has been since there was a nation till that time. But at that time your people shall be delivered, everyone whose name shall be found written in the book. 2And many of those who sleep in the dust of the earth shall awake, some to everlasting life, and some to shame and everlasting contempt. 3And those who are wise shall shine like the brightness of the sky above;[50] and those who turn many to righteousness, like the stars forever and ever. 4But you, Daniel, shut up the words and seal the book, until the time of the end. Many shall run to and fro, and knowledge shall increase.”
-
-5Then I, Daniel, looked, and behold, two others stood, one on this bank of the stream and one on that bank of the stream. 6And someone said to the man clothed in linen, who was above the waters of the stream,[51] “How long shall it be till the end of these wonders?” 7And I heard the man clothed in linen, who was above the waters of the stream; he raised his right hand and his left hand toward heaven and swore by him who lives forever that it would be for a time, times, and half a time, and that when the shattering of the power of the holy people comes to an end all these things would be finished. 8I heard, but I did not understand. Then I said, “O my lord, what shall be the outcome of these things?” 9He said, “Go your way, Daniel, for the words are shut up and sealed until the time of the end. 10Many shall purify themselves and make themselves white and be refined, but the wicked shall act wickedly. And none of the wicked shall understand, but those who are wise shall understand. 11And from the time that the regular burnt offering is taken away and the abomination that makes desolate is set up, there shall be 1,290 days. 12Blessed is he who waits and arrives at the 1,335 days. 13But go your way till the end. And you shall rest and shall stand in your allotted place at the end of the days.”
-
-
-
-
-
-Footnotes
-
-
-[1] 1:3 Hebrew of the seed of the kingdom
-
-[2] 2:4 The text from this point to the end of chapter 7 is in Aramaic
-
-[3] 2:15 Aramaic answered and said; also verse 26
-
-[4] 2:43 Aramaic by the seed of men
-
-[5] 3:1 A cubit was about 18 inches or 45 centimeters
-
-[6] 3:9 Aramaic answered and said; also verses 24, 26
-
-[7] 3:15 Aramaic lacks well and good
-
-[8] 3:17 Or If our God whom we serve is able to deliver us, he will deliver us from the burning fiery furnace and out of your hand, O king.
-
-[9] 3:21 The meaning of the Aramaic words rendered cloaks and tunics is uncertain; also verse 27
-
-[10] 3:28 Aramaic and changed
-
-[11] 4:1 Ch 3:31 in Aramaic
-
-[12] 4:4 Ch 4:1 in Aramaic
-
-[13] 4:8 Or Spirit of the holy God; also verses 9, 18
-
-[14] 5:2 Or predecessor; also verses 11, 13, 18
-
-[15] 5:7 Aramaic answered and said; also verse 10
-
-[16] 5:10 Or queen mother; twice in this verse
-
-[17] 5:11 Or Spirit of the holy God
-
-[18] 5:14 Or Spirit of God
-
-[19] 5:22 Or successor
-
-[20] 5:26 MENE sounds like the Aramaic for numbered
-
-[21] 5:27 TEKEL sounds like the Aramaic for weighed
-
-[22] 5:28 PERES (the singular of Parsin) sounds like the Aramaic for divided and for Persia
-
-[23] 5:31 Ch 6:1 in Aramaic
-
-[24] 6:6 Or came thronging; also verses 11, 15
-
-[25] 6:16 Aramaic answered and said; also verse 20
-
-[26] 7:2 Aramaic answered and said
-
-[27] 7:15 Aramaic within its sheath
-
-[28] 7:27 Or his kingdom shall be an everlasting kingdom, and all dominions shall serve and obey him
-
-[29] 8:2 Or the fortified city
-
-[30] 8:10 Or host, that is, some
-
-[31] 8:12 Or in an act of rebellion
-
-[32] 8:14 Hebrew; Septuagint, Theodotion, Vulgate to him
-
-[33] 8:21 Or the shaggy goat
-
-[34] 8:22 Theodotion, Septuagint, Vulgate; Hebrew the
-
-[35] 9:12 Or our judges who judged us
-
-[36] 9:17 Hebrew for the Lord's sake
-
-[37] 9:24 Or sevens; also twice in verse 25 and once in verse 26
-
-[38] 9:24 Or thing, or one
-
-[39] 9:26 Or His
-
-[40] 9:27 Or seven; twice in this verse
-
-[41] 10:1 Or and it was about a great conflict
-
-[42] 10:8 Hebrew My splendor was changed to ruin
-
-[43] 11:6 Or obtained
-
-[44] 11:13 Hebrew at the end of the times
-
-[45] 11:17 Hebrew her, or it
-
-[46] 11:18 The meaning of the Hebrew is uncertain
-
-[47] 11:24 Or among the richest men
-
-[48] 11:39 Or land as payment
-
-[49] 11:40 Hebrew thrust at
-
-[50] 12:3 Hebrew the expanse; compare Genesis 1:6-8
-
-[51] 12:6 Or who was upstream; also verse 7
-
-
-
-
-
-HOSEA
-
-
-Chapter 1
-
-Chapter 2
-
-Chapter 3
-
-Chapter 4
-
-Chapter 5
-
-Chapter 6
-
-Chapter 7
-
-Chapter 8
-
-Chapter 9
-
-Chapter 10
-
-Chapter 11
-
-Chapter 12
-
-Chapter 13
-
-Chapter 14
-
-
-
-
-
-1:1 The word of the LORD that came to Hosea, the son of Beeri, in the days of Uzziah, Jotham, Ahaz, and Hezekiah, kings of Judah, and in the days of Jeroboam the son of Joash, king of Israel.
-
-
-
-
-
-Hosea's Wife and Children
-
-
-2When the LORD first spoke through Hosea, the LORD said to Hosea, “Go, take to yourself a wife of whoredom and have children of whoredom, for the land commits great whoredom by forsaking the LORD.” 3So he went and took Gomer, the daughter of Diblaim, and she conceived and bore him a son.
-
-4And the LORD said to him, “Call his name Jezreel, for in just a little while I will punish the house of Jehu for the blood of Jezreel, and I will put an end to the kingdom of the house of Israel. 5And on that day I will break the bow of Israel in the Valley of Jezreel.”
-
-6She conceived again and bore a daughter. And the LORD said to him, “Call her name No Mercy,[1] for I will no more have mercy on the house of Israel, to forgive them at all. 7But I will have mercy on the house of Judah, and I will save them by the LORD their God. I will not save them by bow or by sword or by war or by horses or by horsemen.”
-
-8When she had weaned No Mercy, she conceived and bore a son. 9And the LORD said, “Call his name Not My People,[2] for you are not my people, and I am not your God.”[3]
-
-10[4] Yet the number of the children of Israel shall be like the sand of the sea, which cannot be measured or numbered. And in the place where it was said to them, “You are not my people,” it shall be said to them, “Children[5] of the living God.” 11And the children of Judah and the children of Israel shall be gathered together, and they shall appoint for themselves one head. And they shall go up from the land, for great shall be the day of Jezreel.
-
-
-
-
-
-Israel's Unfaithfulness Punished
-
-
-2:1 [6] Say to your brothers, “You are my people,”[7] and to your sisters, “You have received mercy.”[8]
-
-2“Plead with your mother, plead—
-
-for she is not my wife,
-
-and I am not her husband—
-
-that she put away her whoring from her face,
-
-and her adultery from between her breasts;
-
-3lest I strip her naked
-
-and make her as in the day she was born,
-
-and make her like a wilderness,
-
-and make her like a parched land,
-
-and kill her with thirst.
-
-4Upon her children also I will have no mercy,
-
-because they are children of whoredom.
-
-5For their mother has played the whore;
-
-she who conceived them has acted shamefully.
-
-For she said, ‘I will go after my lovers,
-
-who give me my bread and my water,
-
-my wool and my flax, my oil and my drink.’
-
-6Therefore I will hedge up her[9] way with thorns,
-
-and I will build a wall against her,
-
-so that she cannot find her paths.
-
-7She shall pursue her lovers
-
-but not overtake them,
-
-and she shall seek them
-
-but shall not find them.
-
-Then she shall say,
-
-‘I will go and return to my first husband,
-
-for it was better for me then than now.’
-
-8And she did not know
-
-that it was I who gave her
-
-the grain, the wine, and the oil,
-
-and who lavished on her silver and gold,
-
-which they used for Baal.
-
-9Therefore I will take back
-
-my grain in its time,
-
-and my wine in its season,
-
-and I will take away my wool and my flax,
-
-which were to cover her nakedness.
-
-10Now I will uncover her lewdness
-
-in the sight of her lovers,
-
-and no one shall rescue her out of my hand.
-
-11And I will put an end to all her mirth,
-
-her feasts, her new moons, her Sabbaths,
-
-and all her appointed feasts.
-
-12And I will lay waste her vines and her fig trees,
-
-of which she said,
-
-‘These are my wages,
-
-which my lovers have given me.’
-
-I will make them a forest,
-
-and the beasts of the field shall devour them.
-
-13And I will punish her for the feast days of the Baals
-
-when she burned offerings to them
-
-and adorned herself with her ring and jewelry,
-
-and went after her lovers
-
-and forgot me, declares the LORD.
-
-
-
-
-
-The LORD's Mercy on Israel
-
-
-14“Therefore, behold, I will allure her,
-
-and bring her into the wilderness,
-
-and speak tenderly to her.
-
-15And there I will give her her vineyards
-
-and make the Valley of Achor[10] a door of hope.
-
-And there she shall answer as in the days of her youth,
-
-as at the time when she came out of the land of Egypt.
-
-16“And in that day, declares the LORD, you will call me ‘My Husband,’ and no longer will you call me ‘My Baal.’ 17For I will remove the names of the Baals from her mouth, and they shall be remembered by name no more. 18And I will make for them a covenant on that day with the beasts of the field, the birds of the heavens, and the creeping things of the ground. And I will abolish[11] the bow, the sword, and war from the land, and I will make you lie down in safety. 19And I will betroth you to me forever. I will betroth you to me in righteousness and in justice, in steadfast love and in mercy. 20I will betroth you to me in faithfulness. And you shall know the LORD.
-
-21“And in that day I will answer, declares the LORD,
-
-I will answer the heavens,
-
-and they shall answer the earth,
-
-22and the earth shall answer the grain, the wine, and the oil,
-
-and they shall answer Jezreel,[12]
-
-23and I will sow her for myself in the land.
-
-And I will have mercy on No Mercy,[13]
-
-and I will say to Not My People,[14] ‘You are my people’;
-
-and he shall say, ‘You are my God.’”
-
-
-
-
-
-Hosea Redeems His Wife
-
-
-3:1 And the LORD said to me, “Go again, love a woman who is loved by another man and is an adulteress, even as the LORD loves the children of Israel, though they turn to other gods and love cakes of raisins.” 2So I bought her for fifteen shekels of silver and a homer and a lethech[15] of barley. 3And I said to her, “You must dwell as mine for many days. You shall not play the whore, or belong to another man; so will I also be to you.” 4For the children of Israel shall dwell many days without king or prince, without sacrifice or pillar, without ephod or household gods. 5Afterward the children of Israel shall return and seek the LORD their God, and David their king, and they shall come in fear to the LORD and to his goodness in the latter days.
-
-
-
-
-
-The LORD Accuses Israel
-
-
-4:1 Hear the word of the LORD, O children of Israel,
-
-for the LORD has a controversy with the inhabitants of the land.
-
-There is no faithfulness or steadfast love,
-
-and no knowledge of God in the land;
-
-2there is swearing, lying, murder, stealing, and committing adultery;
-
-they break all bounds, and bloodshed follows bloodshed.
-
-3Therefore the land mourns,
-
-and all who dwell in it languish,
-
-and also the beasts of the field
-
-and the birds of the heavens,
-
-and even the fish of the sea are taken away.
-
-4Yet let no one contend,
-
-and let none accuse,
-
-for with you is my contention, O priest.[16]
-
-5You shall stumble by day;
-
-the prophet also shall stumble with you by night;
-
-and I will destroy your mother.
-
-6My people are destroyed for lack of knowledge;
-
-because you have rejected knowledge,
-
-I reject you from being a priest to me.
-
-And since you have forgotten the law of your God,
-
-I also will forget your children.
-
-7The more they increased,
-
-the more they sinned against me;
-
-I will change their glory into shame.
-
-8They feed on the sin[17] of my people;
-
-they are greedy for their iniquity.
-
-9And it shall be like people, like priest;
-
-I will punish them for their ways
-
-and repay them for their deeds.
-
-10They shall eat, but not be satisfied;
-
-they shall play the whore, but not multiply,
-
-because they have forsaken the LORD
-
-to cherish 11whoredom, wine, and new wine,
-
-which take away the understanding.
-
-12My people inquire of a piece of wood,
-
-and their walking staff gives them oracles.
-
-For a spirit of whoredom has led them astray,
-
-and they have left their God to play the whore.
-
-13They sacrifice on the tops of the mountains
-
-and burn offerings on the hills,
-
-under oak, poplar, and terebinth,
-
-because their shade is good.
-
-Therefore your daughters play the whore,
-
-and your brides commit adultery.
-
-14I will not punish your daughters when they play the whore,
-
-nor your brides when they commit adultery;
-
-for the men themselves go aside with prostitutes
-
-and sacrifice with cult prostitutes,
-
-and a people without understanding shall come to ruin.
-
-15Though you play the whore, O Israel,
-
-let not Judah become guilty.
-
-Enter not into Gilgal,
-
-nor go up to Beth-aven,
-
-and swear not, “As the LORD lives.”
-
-16Like a stubborn heifer,
-
-Israel is stubborn;
-
-can the LORD now feed them
-
-like a lamb in a broad pasture?
-
-17Ephraim is joined to idols;
-
-leave him alone.
-
-18When their drink is gone, they give themselves to whoring;
-
-their rulers[18] dearly love shame.
-
-19A wind has wrapped them[19] in its wings,
-
-and they shall be ashamed because of their sacrifices.
-
-
-
-
-
-Punishment Coming for Israel and Judah
-
-
-5:1 Hear this, O priests!
-
-Pay attention, O house of Israel!
-
-Give ear, O house of the king!
-
-For the judgment is for you;
-
-for you have been a snare at Mizpah
-
-and a net spread upon Tabor.
-
-2And the revolters have gone deep into slaughter,
-
-but I will discipline all of them.
-
-3I know Ephraim,
-
-and Israel is not hidden from me;
-
-for now, O Ephraim, you have played the whore;
-
-Israel is defiled.
-
-4Their deeds do not permit them
-
-to return to their God.
-
-For the spirit of whoredom is within them,
-
-and they know not the LORD.
-
-5The pride of Israel testifies to his face;[20]
-
-Israel and Ephraim shall stumble in his guilt;
-
-Judah also shall stumble with them.
-
-6With their flocks and herds they shall go
-
-to seek the LORD,
-
-but they will not find him;
-
-he has withdrawn from them.
-
-7They have dealt faithlessly with the LORD;
-
-for they have borne alien children.
-
-Now the new moon shall devour them with their fields.
-
-8Blow the horn in Gibeah,
-
-the trumpet in Ramah.
-
-Sound the alarm at Beth-aven;
-
-we follow you,[21] O Benjamin!
-
-9Ephraim shall become a desolation
-
-in the day of punishment;
-
-among the tribes of Israel
-
-I make known what is sure.
-
-10The princes of Judah have become
-
-like those who move the landmark;
-
-upon them I will pour out
-
-my wrath like water.
-
-11Ephraim is oppressed, crushed in judgment,
-
-because he was determined to go after filth.[22]
-
-12But I am like a moth to Ephraim,
-
-and like dry rot to the house of Judah.
-
-13When Ephraim saw his sickness,
-
-and Judah his wound,
-
-then Ephraim went to Assyria,
-
-and sent to the great king.[23]
-
-But he is not able to cure you
-
-or heal your wound.
-
-14For I will be like a lion to Ephraim,
-
-and like a young lion to the house of Judah.
-
-I, even I, will tear and go away;
-
-I will carry off, and no one shall rescue.
-
-15I will return again to my place,
-
-until they acknowledge their guilt and seek my face,
-
-and in their distress earnestly seek me.
-
-
-
-
-
-Israel and Judah Are Unrepentant
-
-
-6:1 “Come, let us return to the LORD;
-
-for he has torn us, that he may heal us;
-
-he has struck us down, and he will bind us up.
-
-2After two days he will revive us;
-
-on the third day he will raise us up,
-
-that we may live before him.
-
-3Let us know; let us press on to know the LORD;
-
-his going out is sure as the dawn;
-
-he will come to us as the showers,
-
-as the spring rains that water the earth.”
-
-4What shall I do with you, O Ephraim?
-
-What shall I do with you, O Judah?
-
-Your love is like a morning cloud,
-
-like the dew that goes early away.
-
-5Therefore I have hewn them by the prophets;
-
-I have slain them by the words of my mouth,
-
-and my judgment goes forth as the light.
-
-6For I desire steadfast love[24] and not sacrifice,
-
-the knowledge of God rather than burnt offerings.
-
-7But like Adam they transgressed the covenant;
-
-there they dealt faithlessly with me.
-
-8Gilead is a city of evildoers,
-
-tracked with blood.
-
-9As robbers lie in wait for a man,
-
-so the priests band together;
-
-they murder on the way to Shechem;
-
-they commit villainy.
-
-10In the house of Israel I have seen a horrible thing;
-
-Ephraim's whoredom is there; Israel is defiled.
-
-11For you also, O Judah, a harvest is appointed,
-
-when I restore the fortunes of my people.
-
-
-
-
-
-7:1 When I would heal Israel,
-
-the iniquity of Ephraim is revealed,
-
-and the evil deeds of Samaria;
-
-for they deal falsely;
-
-the thief breaks in,
-
-and the bandits raid outside.
-
-2But they do not consider
-
-that I remember all their evil.
-
-Now their deeds surround them;
-
-they are before my face.
-
-3By their evil they make the king glad,
-
-and the princes by their treachery.
-
-4They are all adulterers;
-
-they are like a heated oven
-
-whose baker ceases to stir the fire,
-
-from the kneading of the dough
-
-until it is leavened.
-
-5On the day of our king, the princes
-
-became sick with the heat of wine;
-
-he stretched out his hand with mockers.
-
-6For with hearts like an oven they approach their intrigue;
-
-all night their anger smolders;
-
-in the morning it blazes like a flaming fire.
-
-7All of them are hot as an oven,
-
-and they devour their rulers.
-
-All their kings have fallen,
-
-and none of them calls upon me.
-
-8Ephraim mixes himself with the peoples;
-
-Ephraim is a cake not turned.
-
-9Strangers devour his strength,
-
-and he knows it not;
-
-gray hairs are sprinkled upon him,
-
-and he knows it not.
-
-10The pride of Israel testifies to his face;[25]
-
-yet they do not return to the LORD their God,
-
-nor seek him, for all this.
-
-11Ephraim is like a dove,
-
-silly and without sense,
-
-calling to Egypt, going to Assyria.
-
-12As they go, I will spread over them my net;
-
-I will bring them down like birds of the heavens;
-
-I will discipline them according to the report made to their congregation.
-
-13Woe to them, for they have strayed from me!
-
-Destruction to them, for they have rebelled against me!
-
-I would redeem them,
-
-but they speak lies against me.
-
-14They do not cry to me from the heart,
-
-but they wail upon their beds;
-
-for grain and wine they gash themselves;
-
-they rebel against me.
-
-15Although I trained and strengthened their arms,
-
-yet they devise evil against me.
-
-16They return, but not upward;[26]
-
-they are like a treacherous bow;
-
-their princes shall fall by the sword
-
-because of the insolence of their tongue.
-
-This shall be their derision in the land of Egypt.
-
-
-
-
-
-Israel Will Reap the Whirlwind
-
-
-8:1 Set the trumpet to your lips!
-
-One like a vulture is over the house of the LORD,
-
-because they have transgressed my covenant
-
-and rebelled against my law.
-
-2To me they cry,
-
-“My God, we—Israel—know you.”
-
-3Israel has spurned the good;
-
-the enemy shall pursue him.
-
-4They made kings, but not through me.
-
-They set up princes, but I knew it not.
-
-With their silver and gold they made idols
-
-for their own destruction.
-
-5I have[27] spurned your calf, O Samaria.
-
-My anger burns against them.
-
-How long will they be incapable of innocence?
-
-6For it is from Israel;
-
-a craftsman made it;
-
-it is not God.
-
-The calf of Samaria
-
-shall be broken to pieces.[28]
-
-7For they sow the wind,
-
-and they shall reap the whirlwind.
-
-The standing grain has no heads;
-
-it shall yield no flour;
-
-if it were to yield,
-
-strangers would devour it.
-
-8Israel is swallowed up;
-
-already they are among the nations
-
-as a useless vessel.
-
-9For they have gone up to Assyria,
-
-a wild donkey wandering alone;
-
-Ephraim has hired lovers.
-
-10Though they hire allies among the nations,
-
-I will soon gather them up.
-
-And the king and princes shall soon writhe
-
-because of the tribute.
-
-11Because Ephraim has multiplied altars for sinning,
-
-they have become to him altars for sinning.
-
-12Were I to write for him my laws by the ten thousands,
-
-they would be regarded as a strange thing.
-
-13As for my sacrificial offerings,
-
-they sacrifice meat and eat it,
-
-but the LORD does not accept them.
-
-Now he will remember their iniquity
-
-and punish their sins;
-
-they shall return to Egypt.
-
-14For Israel has forgotten his Maker
-
-and built palaces,
-
-and Judah has multiplied fortified cities;
-
-so I will send a fire upon his cities,
-
-and it shall devour her strongholds.
-
-
-
-
-
-The LORD Will Punish Israel
-
-
-9:1 Rejoice not, O Israel!
-
-Exult not like the peoples;
-
-for you have played the whore, forsaking your God.
-
-You have loved a prostitute's wages
-
-on all threshing floors.
-
-2Threshing floor and wine vat shall not feed them,
-
-and the new wine shall fail them.
-
-3They shall not remain in the land of the LORD,
-
-but Ephraim shall return to Egypt,
-
-and they shall eat unclean food in Assyria.
-
-4They shall not pour drink offerings of wine to the LORD,
-
-and their sacrifices shall not please him.
-
-It shall be like mourners' bread to them;
-
-all who eat of it shall be defiled;
-
-for their bread shall be for their hunger only;
-
-it shall not come to the house of the LORD.
-
-5What will you do on the day of the appointed festival,
-
-and on the day of the feast of the LORD?
-
-6For behold, they are going away from destruction;
-
-but Egypt shall gather them;
-
-Memphis shall bury them.
-
-Nettles shall possess their precious things of silver;
-
-thorns shall be in their tents.
-
-7The days of punishment have come;
-
-the days of recompense have come;
-
-Israel shall know it.
-
-The prophet is a fool;
-
-the man of the spirit is mad,
-
-because of your great iniquity
-
-and great hatred.
-
-8The prophet is the watchman of Ephraim with my God;
-
-yet a fowler's snare is on all his ways,
-
-and hatred in the house of his God.
-
-9They have deeply corrupted themselves
-
-as in the days of Gibeah:
-
-he will remember their iniquity;
-
-he will punish their sins.
-
-10Like grapes in the wilderness,
-
-I found Israel.
-
-Like the first fruit on the fig tree
-
-in its first season,
-
-I saw your fathers.
-
-But they came to Baal-peor
-
-and consecrated themselves to the thing of shame,
-
-and became detestable like the thing they loved.
-
-11Ephraim's glory shall fly away like a bird—
-
-no birth, no pregnancy, no conception!
-
-12Even if they bring up children,
-
-I will bereave them till none is left.
-
-Woe to them
-
-when I depart from them!
-
-13Ephraim, as I have seen, was like a young palm[29] planted in a meadow;
-
-but Ephraim must lead his children out to slaughter.[30]
-
-14Give them, O LORD—
-
-what will you give?
-
-Give them a miscarrying womb
-
-and dry breasts.
-
-15Every evil of theirs is in Gilgal;
-
-there I began to hate them.
-
-Because of the wickedness of their deeds
-
-I will drive them out of my house.
-
-I will love them no more;
-
-all their princes are rebels.
-
-16Ephraim is stricken;
-
-their root is dried up;
-
-they shall bear no fruit.
-
-Even though they give birth,
-
-I will put their beloved children to death.
-
-17My God will reject them
-
-because they have not listened to him;
-
-they shall be wanderers among the nations.
-
-
-
-
-
-10:1 Israel is a luxuriant vine
-
-that yields its fruit.
-
-The more his fruit increased,
-
-the more altars he built;
-
-as his country improved,
-
-he improved his pillars.
-
-2Their heart is false;
-
-now they must bear their guilt.
-
-The LORD[31] will break down their altars
-
-and destroy their pillars.
-
-3For now they will say:
-
-“We have no king,
-
-for we do not fear the LORD;
-
-and a king—what could he do for us?”
-
-4They utter mere words;
-
-with empty oaths they make covenants;
-
-so judgment springs up like poisonous weeds
-
-in the furrows of the field.
-
-5The inhabitants of Samaria tremble
-
-for the calf[32] of Beth-aven.
-
-Its people mourn for it, and so do its idolatrous priests—
-
-those who rejoiced over it and over its glory—
-
-for it has departed[33] from them.
-
-6The thing itself shall be carried to Assyria
-
-as tribute to the great king.[34]
-
-Ephraim shall be put to shame,
-
-and Israel shall be ashamed of his idol.[35]
-
-7Samaria's king shall perish
-
-like a twig on the face of the waters.
-
-8The high places of Aven, the sin of Israel,
-
-shall be destroyed.
-
-Thorn and thistle shall grow up
-
-on their altars,
-
-and they shall say to the mountains, “Cover us,”
-
-and to the hills, “Fall on us.”
-
-9From the days of Gibeah, you have sinned, O Israel;
-
-there they have continued.
-
-Shall not the war against the unjust[36] overtake them in Gibeah?
-
-10When I please, I will discipline them,
-
-and nations shall be gathered against them
-
-when they are bound up for their double iniquity.
-
-11Ephraim was a trained calf
-
-that loved to thresh,
-
-and I spared her fair neck;
-
-but I will put Ephraim to the yoke;
-
-Judah must plow;
-
-Jacob must harrow for himself.
-
-12Sow for yourselves righteousness;
-
-reap steadfast love;
-
-break up your fallow ground,
-
-for it is the time to seek the LORD,
-
-that he may come and rain righteousness upon you.
-
-13You have plowed iniquity;
-
-you have reaped injustice;
-
-you have eaten the fruit of lies.
-
-Because you have trusted in your own way
-
-and in the multitude of your warriors,
-
-14therefore the tumult of war shall arise among your people,
-
-and all your fortresses shall be destroyed,
-
-as Shalman destroyed Beth-arbel on the day of battle;
-
-mothers were dashed in pieces with their children.
-
-15Thus it shall be done to you, O Bethel,
-
-because of your great evil.
-
-At dawn the king of Israel
-
-shall be utterly cut off.
-
-
-
-
-
-The LORD's Love for Israel
-
-
-11:1 When Israel was a child, I loved him,
-
-and out of Egypt I called my son.
-
-2The more they were called,
-
-the more they went away;
-
-they kept sacrificing to the Baals
-
-and burning offerings to idols.
-
-3Yet it was I who taught Ephraim to walk;
-
-I took them up by their arms,
-
-but they did not know that I healed them.
-
-4I led them with cords of kindness,[37]
-
-with the bands of love,
-
-and I became to them as one who eases the yoke on their jaws,
-
-and I bent down to them and fed them.
-
-5They shall not[38] return to the land of Egypt,
-
-but Assyria shall be their king,
-
-because they have refused to return to me.
-
-6The sword shall rage against their cities,
-
-consume the bars of their gates,
-
-and devour them because of their own counsels.
-
-7My people are bent on turning away from me,
-
-and though they call out to the Most High,
-
-he shall not raise them up at all.
-
-8How can I give you up, O Ephraim?
-
-How can I hand you over, O Israel?
-
-How can I make you like Admah?
-
-How can I treat you like Zeboiim?
-
-My heart recoils within me;
-
-my compassion grows warm and tender.
-
-9I will not execute my burning anger;
-
-I will not again destroy Ephraim;
-
-for I am God and not a man,
-
-the Holy One in your midst,
-
-and I will not come in wrath.[39]
-
-10They shall go after the LORD;
-
-he will roar like a lion;
-
-when he roars,
-
-his children shall come trembling from the west;
-
-11they shall come trembling like birds from Egypt,
-
-and like doves from the land of Assyria,
-
-and I will return them to their homes, declares the LORD.
-
-12[40] Ephraim has surrounded me with lies,
-
-and the house of Israel with deceit,
-
-but Judah still walks with God
-
-and is faithful to the Holy One.
-
-
-
-
-
-12:1 Ephraim feeds on the wind
-
-and pursues the east wind all day long;
-
-they multiply falsehood and violence;
-
-they make a covenant with Assyria,
-
-and oil is carried to Egypt.
-
-
-
-
-
-The LORD's Indictment of Israel and Judah
-
-
-2The LORD has an indictment against Judah
-
-and will punish Jacob according to his ways;
-
-he will repay him according to his deeds.
-
-3In the womb he took his brother by the heel,
-
-and in his manhood he strove with God.
-
-4He strove with the angel and prevailed;
-
-he wept and sought his favor.
-
-He met God[41] at Bethel,
-
-and there God spoke with us—
-
-5the LORD, the God of hosts,
-
-the LORD is his memorial name:
-
-6“So you, by the help of your God, return,
-
-hold fast to love and justice,
-
-and wait continually for your God.”
-
-7A merchant, in whose hands are false balances,
-
-he loves to oppress.
-
-8Ephraim has said, “Ah, but I am rich;
-
-I have found wealth for myself;
-
-in all my labors they cannot find in me iniquity or sin.”
-
-9I am the LORD your God
-
-from the land of Egypt;
-
-I will again make you dwell in tents,
-
-as in the days of the appointed feast.
-
-10I spoke to the prophets;
-
-it was I who multiplied visions,
-
-and through the prophets gave parables.
-
-11If there is iniquity in Gilead,
-
-they shall surely come to nothing:
-
-in Gilgal they sacrifice bulls;
-
-their altars also are like stone heaps
-
-on the furrows of the field.
-
-12Jacob fled to the land of Aram;
-
-there Israel served for a wife,
-
-and for a wife he guarded sheep.
-
-13By a prophet the LORD brought Israel up from Egypt,
-
-and by a prophet he was guarded.
-
-14Ephraim has given bitter provocation;
-
-so his Lord will leave his bloodguilt on him
-
-and will repay him for his disgraceful deeds.
-
-
-
-
-
-The LORD's Relentless Judgment on Israel
-
-
-13:1 When Ephraim spoke, there was trembling;
-
-he was exalted in Israel,
-
-but he incurred guilt through Baal and died.
-
-2And now they sin more and more,
-
-and make for themselves metal images,
-
-idols skillfully made of their silver,
-
-all of them the work of craftsmen.
-
-It is said of them,
-
-“Those who offer human sacrifice kiss calves!”
-
-3Therefore they shall be like the morning mist
-
-or like the dew that goes early away,
-
-like the chaff that swirls from the threshing floor
-
-or like smoke from a window.
-
-4But I am the LORD your God
-
-from the land of Egypt;
-
-you know no God but me,
-
-and besides me there is no savior.
-
-5It was I who knew you in the wilderness,
-
-in the land of drought;
-
-6but when they had grazed,[42] they became full,
-
-they were filled, and their heart was lifted up;
-
-therefore they forgot me.
-
-7So I am to them like a lion;
-
-like a leopard I will lurk beside the way.
-
-8I will fall upon them like a bear robbed of her cubs;
-
-I will tear open their breast,
-
-and there I will devour them like a lion,
-
-as a wild beast would rip them open.
-
-9He destroys[43] you, O Israel,
-
-for you are against me, against your helper.
-
-10Where now is your king, to save you in all your cities?
-
-Where are all your rulers—
-
-those of whom you said,
-
-“Give me a king and princes”?
-
-11I gave you a king in my anger,
-
-and I took him away in my wrath.
-
-12The iniquity of Ephraim is bound up;
-
-his sin is kept in store.
-
-13The pangs of childbirth come for him,
-
-but he is an unwise son,
-
-for at the right time he does not present himself
-
-at the opening of the womb.
-
-14Shall I ransom them from the power of Sheol?
-
-Shall I redeem them from Death?
-
-O Death, where are your plagues?
-
-O Sheol, where is your sting?
-
-Compassion is hidden from my eyes.
-
-15Though he may flourish among his brothers,
-
-the east wind, the wind of the LORD, shall come,
-
-rising from the wilderness,
-
-and his fountain shall dry up;
-
-his spring shall be parched;
-
-it shall strip his treasury
-
-of every precious thing.
-
-16[44] Samaria shall bear her guilt,
-
-because she has rebelled against her God;
-
-they shall fall by the sword;
-
-their little ones shall be dashed in pieces,
-
-and their pregnant women ripped open.
-
-
-
-
-
-A Plea to Return to the LORD
-
-
-14:1 Return, O Israel, to the LORD your God,
-
-for you have stumbled because of your iniquity.
-
-2Take with you words
-
-and return to the LORD;
-
-say to him,
-
-“Take away all iniquity;
-
-accept what is good,
-
-and we will pay with bulls
-
-the vows[45] of our lips.
-
-3Assyria shall not save us;
-
-we will not ride on horses;
-
-and we will say no more, ‘Our God,’
-
-to the work of our hands.
-
-In you the orphan finds mercy.”
-
-4I will heal their apostasy;
-
-I will love them freely,
-
-for my anger has turned from them.
-
-5I will be like the dew to Israel;
-
-he shall blossom like the lily;
-
-he shall take root like the trees of Lebanon;
-
-6his shoots shall spread out;
-
-his beauty shall be like the olive,
-
-and his fragrance like Lebanon.
-
-7They shall return and dwell beneath my[46] shadow;
-
-they shall flourish like the grain;
-
-they shall blossom like the vine;
-
-their fame shall be like the wine of Lebanon.
-
-8O Ephraim, what have I to do with idols?
-
-It is I who answer and look after you.[47]
-
-I am like an evergreen cypress;
-
-from me comes your fruit.
-
-9Whoever is wise, let him understand these things;
-
-whoever is discerning, let him know them;
-
-for the ways of the LORD are right,
-
-and the upright walk in them,
-
-but transgressors stumble in them.
-
-
-
-
-
-Footnotes
-
-
-[1] 1:6 Hebrew Lo-ruhama, which means she has not received mercy
-
-[2] 1:9 Hebrew Lo-ammi, which means not my people
-
-[3] 1:9 Hebrew I am not yours
-
-[4] 1:10 Ch 2:1 in Hebrew
-
-[5] 1:10 Or Sons
-
-[6] 2:1 Ch 2:3 in Hebrew
-
-[7] 2:1 Hebrew ammi, which means my people
-
-[8] 2:1 Hebrew ruhama, which means she has received mercy
-
-[9] 2:6 Hebrew your
-
-[10] 2:15 Achor means trouble; compare Joshua 7:26
-
-[11] 2:18 Hebrew break
-
-[12] 2:22 Jezreel means God will sow
-
-[13] 2:23 Hebrew Lo-ruhama
-
-[14] 2:23 Hebrew Lo-ammi
-
-[15] 3:2 A shekel was about 2/5 ounce or 11 grams; a homer was about 6 bushels or 220 liters; a lethech was about 3 bushels or 110 liters
-
-[16] 4:4 Or for your people are like those who contend with the priest
-
-[17] 4:8 Or sin offering
-
-[18] 4:18 Hebrew shields
-
-[19] 4:19 Hebrew her
-
-[20] 5:5 Or in his presence
-
-[21] 5:8 Or after you
-
-[22] 5:11 Or to follow human precepts
-
-[23] 5:13 Or to King Jareb
-
-[24] 6:6 Septuagint mercy
-
-[25] 7:10 Or in his presence
-
-[26] 7:16 Or to the Most High
-
-[27] 8:5 Hebrew He has
-
-[28] 8:6 Or shall go up in flames
-
-[29] 9:13 Or like Tyre
-
-[30] 9:13 Hebrew to him who slaughters
-
-[31] 10:2 Hebrew He
-
-[32] 10:5 Or calves
-
-[33] 10:5 Or has gone into exile
-
-[34] 10:6 Or to King Jareb
-
-[35] 10:6 Or counsel
-
-[36] 10:9 Hebrew the children of injustice
-
-[37] 11:4 Or humaneness; Hebrew man
-
-[38] 11:5 Or surely
-
-[39] 11:9 Or into the city
-
-[40] 11:12 Ch 12:1 in Hebrew
-
-[41] 12:4 Hebrew him
-
-[42] 13:6 Hebrew according to their pasture
-
-[43] 13:9 Or I will destroy
-
-[44] 13:16 Ch 14:1 in Hebrew
-
-[45] 14:2 Septuagint, Syriac pay the fruit
-
-[46] 14:7 Hebrew his
-
-[47] 14:8 Hebrew him
-
-
-
-
-
-JOEL
-
-
-Chapter 1
-
-Chapter 2
-
-Chapter 3
-
-
-
-
-
-1:1 The word of the LORD that came to Joel, the son of Pethuel:
-
-
-
-
-
-An Invasion of Locusts
-
-
-2Hear this, you elders;
-
-give ear, all inhabitants of the land!
-
-Has such a thing happened in your days,
-
-or in the days of your fathers?
-
-3Tell your children of it,
-
-and let your children tell their children,
-
-and their children to another generation.
-
-4What the cutting locust left,
-
-the swarming locust has eaten.
-
-What the swarming locust left,
-
-the hopping locust has eaten,
-
-and what the hopping locust left,
-
-the destroying locust has eaten.
-
-5Awake, you drunkards, and weep,
-
-and wail, all you drinkers of wine,
-
-because of the sweet wine,
-
-for it is cut off from your mouth.
-
-6For a nation has come up against my land,
-
-powerful and beyond number;
-
-its teeth are lions' teeth,
-
-and it has the fangs of a lioness.
-
-7It has laid waste my vine
-
-and splintered my fig tree;
-
-it has stripped off their bark and thrown it down;
-
-their branches are made white.
-
-8Lament like a virgin[1] wearing sackcloth
-
-for the bridegroom of her youth.
-
-9The grain offering and the drink offering are cut off
-
-from the house of the LORD.
-
-The priests mourn,
-
-the ministers of the LORD.
-
-10The fields are destroyed,
-
-the ground mourns,
-
-because the grain is destroyed,
-
-the wine dries up,
-
-the oil languishes.
-
-11Be ashamed,[2] O tillers of the soil;
-
-wail, O vinedressers,
-
-for the wheat and the barley,
-
-because the harvest of the field has perished.
-
-12The vine dries up;
-
-the fig tree languishes.
-
-Pomegranate, palm, and apple,
-
-all the trees of the field are dried up,
-
-and gladness dries up
-
-from the children of man.
-
-
-
-
-
-A Call to Repentance
-
-
-13Put on sackcloth and lament, O priests;
-
-wail, O ministers of the altar.
-
-Go in, pass the night in sackcloth,
-
-O ministers of my God!
-
-Because grain offering and drink offering
-
-are withheld from the house of your God.
-
-14Consecrate a fast;
-
-call a solemn assembly.
-
-Gather the elders
-
-and all the inhabitants of the land
-
-to the house of the LORD your God,
-
-and cry out to the LORD.
-
-15Alas for the day!
-
-For the day of the LORD is near,
-
-and as destruction from the Almighty[3] it comes.
-
-16Is not the food cut off
-
-before our eyes,
-
-joy and gladness
-
-from the house of our God?
-
-17The seed shrivels under the clods;[4]
-
-the storehouses are desolate;
-
-the granaries are torn down
-
-because the grain has dried up.
-
-18How the beasts groan!
-
-The herds of cattle are perplexed
-
-because there is no pasture for them;
-
-even the flocks of sheep suffer.[5]
-
-19To you, O LORD, I call.
-
-For fire has devoured
-
-the pastures of the wilderness,
-
-and flame has burned
-
-all the trees of the field.
-
-20Even the beasts of the field pant for you
-
-because the water brooks are dried up,
-
-and fire has devoured
-
-the pastures of the wilderness.
-
-
-
-
-
-The Day of the LORD
-
-
-2:1 Blow a trumpet in Zion;
-
-sound an alarm on my holy mountain!
-
-Let all the inhabitants of the land tremble,
-
-for the day of the LORD is coming; it is near,
-
-2a day of darkness and gloom,
-
-a day of clouds and thick darkness!
-
-Like blackness there is spread upon the mountains
-
-a great and powerful people;
-
-their like has never been before,
-
-nor will be again after them
-
-through the years of all generations.
-
-3Fire devours before them,
-
-and behind them a flame burns.
-
-The land is like the garden of Eden before them,
-
-but behind them a desolate wilderness,
-
-and nothing escapes them.
-
-4Their appearance is like the appearance of horses,
-
-and like war horses they run.
-
-5As with the rumbling of chariots,
-
-they leap on the tops of the mountains,
-
-like the crackling of a flame of fire
-
-devouring the stubble,
-
-like a powerful army
-
-drawn up for battle.
-
-6Before them peoples are in anguish;
-
-all faces grow pale.
-
-7Like warriors they charge;
-
-like soldiers they scale the wall.
-
-They march each on his way;
-
-they do not swerve from their paths.
-
-8They do not jostle one another;
-
-each marches in his path;
-
-they burst through the weapons
-
-and are not halted.
-
-9They leap upon the city,
-
-they run upon the walls,
-
-they climb up into the houses,
-
-they enter through the windows like a thief.
-
-10The earth quakes before them;
-
-the heavens tremble.
-
-The sun and the moon are darkened,
-
-and the stars withdraw their shining.
-
-11The LORD utters his voice
-
-before his army,
-
-for his camp is exceedingly great;
-
-he who executes his word is powerful.
-
-For the day of the LORD is great and very awesome;
-
-who can endure it?
-
-
-
-
-
-Return to the LORD
-
-
-12“Yet even now,” declares the LORD,
-
-“return to me with all your heart,
-
-with fasting, with weeping, and with mourning;
-
-13and rend your hearts and not your garments.”
-
-Return to the LORD your God,
-
-for he is gracious and merciful,
-
-slow to anger, and abounding in steadfast love;
-
-and he relents over disaster.
-
-14Who knows whether he will not turn and relent,
-
-and leave a blessing behind him,
-
-a grain offering and a drink offering
-
-for the LORD your God?
-
-15Blow the trumpet in Zion;
-
-consecrate a fast;
-
-call a solemn assembly;
-
-16gather the people.
-
-Consecrate the congregation;
-
-assemble the elders;
-
-gather the children,
-
-even nursing infants.
-
-Let the bridegroom leave his room,
-
-and the bride her chamber.
-
-17Between the vestibule and the altar
-
-let the priests, the ministers of the LORD, weep
-
-and say, “Spare your people, O LORD,
-
-and make not your heritage a reproach,
-
-a byword among the nations.[6]
-
-Why should they say among the peoples,
-
-‘Where is their God?’”
-
-
-
-
-
-The LORD Had Pity
-
-
-18Then the LORD became jealous for his land
-
-and had pity on his people.
-
-19The LORD answered and said to his people,
-
-“Behold, I am sending to you
-
-grain, wine, and oil,
-
-and you will be satisfied;
-
-and I will no more make you
-
-a reproach among the nations.
-
-20“I will remove the northerner far from you,
-
-and drive him into a parched and desolate land,
-
-his vanguard[7] into the eastern sea,
-
-and his rear guard[8] into the western sea;
-
-the stench and foul smell of him will rise,
-
-for he has done great things.
-
-21“Fear not, O land;
-
-be glad and rejoice,
-
-for the LORD has done great things!
-
-22Fear not, you beasts of the field,
-
-for the pastures of the wilderness are green;
-
-the tree bears its fruit;
-
-the fig tree and vine give their full yield.
-
-23“Be glad, O children of Zion,
-
-and rejoice in the LORD your God,
-
-for he has given the early rain for your vindication;
-
-he has poured down for you abundant rain,
-
-the early and the latter rain, as before.
-
-24“The threshing floors shall be full of grain;
-
-the vats shall overflow with wine and oil.
-
-25I will restore to you the years
-
-that the swarming locust has eaten,
-
-the hopper, the destroyer, and the cutter,
-
-my great army, which I sent among you.
-
-26“You shall eat in plenty and be satisfied,
-
-and praise the name of the LORD your God,
-
-who has dealt wondrously with you.
-
-And my people shall never again be put to shame.
-
-27You shall know that I am in the midst of Israel,
-
-and that I am the LORD your God and there is none else.
-
-And my people shall never again be put to shame.
-
-
-
-
-
-The LORD Will Pour Out His Spirit
-
-
-28[9] “And it shall come to pass afterward,
-
-that I will pour out my Spirit on all flesh;
-
-your sons and your daughters shall prophesy,
-
-your old men shall dream dreams,
-
-and your young men shall see visions.
-
-29Even on the male and female servants
-
-in those days I will pour out my Spirit.
-
-30“And I will show wonders in the heavens and on the earth, blood and fire and columns of smoke. 31The sun shall be turned to darkness, and the moon to blood, before the great and awesome day of the LORD comes. 32And it shall come to pass that everyone who calls on the name of the LORD shall be saved. For in Mount Zion and in Jerusalem there shall be those who escape, as the LORD has said, and among the survivors shall be those whom the LORD calls.
-
-
-
-
-
-The LORD Judges the Nations
-
-
-3:1 [10] “For behold, in those days and at that time, when I restore the fortunes of Judah and Jerusalem, 2I will gather all the nations and bring them down to the Valley of Jehoshaphat. And I will enter into judgment with them there, on behalf of my people and my heritage Israel, because they have scattered them among the nations and have divided up my land, 3and have cast lots for my people, and have traded a boy for a prostitute, and have sold a girl for wine and have drunk it.
-
-4“What are you to me, O Tyre and Sidon, and all the regions of Philistia? Are you paying me back for something? If you are paying me back, I will return your payment on your own head swiftly and speedily. 5For you have taken my silver and my gold, and have carried my rich treasures into your temples.[11] 6You have sold the people of Judah and Jerusalem to the Greeks in order to remove them far from their own border. 7Behold, I will stir them up from the place to which you have sold them, and I will return your payment on your own head. 8I will sell your sons and your daughters into the hand of the people of Judah, and they will sell them to the Sabeans, to a nation far away, for the LORD has spoken.”
-
-9Proclaim this among the nations:
-
-Consecrate for war;[12]
-
-stir up the mighty men.
-
-Let all the men of war draw near;
-
-let them come up.
-
-10Beat your plowshares into swords,
-
-and your pruning hooks into spears;
-
-let the weak say, “I am a warrior.”
-
-11Hasten and come,
-
-all you surrounding nations,
-
-and gather yourselves there.
-
-Bring down your warriors, O LORD.
-
-12Let the nations stir themselves up
-
-and come up to the Valley of Jehoshaphat;
-
-for there I will sit to judge
-
-all the surrounding nations.
-
-13Put in the sickle,
-
-for the harvest is ripe.
-
-Go in, tread,
-
-for the winepress is full.
-
-The vats overflow,
-
-for their evil is great.
-
-14Multitudes, multitudes,
-
-in the valley of decision!
-
-For the day of the LORD is near
-
-in the valley of decision.
-
-15The sun and the moon are darkened,
-
-and the stars withdraw their shining.
-
-16The LORD roars from Zion,
-
-and utters his voice from Jerusalem,
-
-and the heavens and the earth quake.
-
-But the LORD is a refuge to his people,
-
-a stronghold to the people of Israel.
-
-
-
-
-
-The Glorious Future of Judah
-
-
-17“So you shall know that I am the LORD your God,
-
-who dwells in Zion, my holy mountain.
-
-And Jerusalem shall be holy,
-
-and strangers shall never again pass through it.
-
-18“And in that day
-
-the mountains shall drip sweet wine,
-
-and the hills shall flow with milk,
-
-and all the streambeds of Judah
-
-shall flow with water;
-
-and a fountain shall come forth from the house of the LORD
-
-and water the Valley of Shittim.
-
-19“Egypt shall become a desolation
-
-and Edom a desolate wilderness,
-
-for the violence done to the people of Judah,
-
-because they have shed innocent blood in their land.
-
-20But Judah shall be inhabited forever,
-
-and Jerusalem to all generations.
-
-21I will avenge their blood,
-
-blood I have not avenged,[13]
-
-for the LORD dwells in Zion.”
-
-
-
-
-
-Footnotes
-
-
-[1] 1:8 Or young woman
-
-[2] 1:11 The Hebrew words for dry up and be ashamed in verses 10-12, 17 sound alike
-
-[3] 1:15 Destruction sounds like the Hebrew for Almighty
-
-[4] 1:17 The meaning of the Hebrew line is uncertain
-
-[5] 1:18 Or are made desolate
-
-[6] 2:17 Or reproach, that the nations should rule over them
-
-[7] 2:20 Hebrew face
-
-[8] 2:20 Hebrew his end
-
-[9] 2:28 Ch 3:1 in Hebrew
-
-[10] 3:1 Ch 4:1 in Hebrew
-
-[11] 3:5 Or palaces
-
-[12] 3:9 Or Consecrate a war
-
-[13] 3:21 Or I will acquit their bloodguilt that I have not acquitted
-
-
-
-
-
-AMOS
-
-
-Chapter 1
-
-Chapter 2
-
-Chapter 3
-
-Chapter 4
-
-Chapter 5
-
-Chapter 6
-
-Chapter 7
-
-Chapter 8
-
-Chapter 9
-
-
-
-
-
-1:1 The words of Amos, who was among the shepherds[1] of Tekoa, which he saw concerning Israel in the days of Uzziah king of Judah and in the days of Jeroboam the son of Joash, king of Israel, two years[2] before the earthquake.
-
-
-
-
-
-Judgment on Israel's Neighbors
-
-
-2And he said:
-
-“The LORD roars from Zion
-
-and utters his voice from Jerusalem;
-
-the pastures of the shepherds mourn,
-
-and the top of Carmel withers.”
-
-3Thus says the LORD:
-
-“For three transgressions of Damascus,
-
-and for four, I will not revoke the punishment,[3]
-
-because they have threshed Gilead
-
-with threshing sledges of iron.
-
-4So I will send a fire upon the house of Hazael,
-
-and it shall devour the strongholds of Ben-hadad.
-
-5I will break the gate-bar of Damascus,
-
-and cut off the inhabitants from the Valley of Aven,[4]
-
-and him who holds the scepter from Beth-eden;
-
-and the people of Syria shall go into exile to Kir,”
-
-says the LORD.
-
-6Thus says the LORD:
-
-“For three transgressions of Gaza,
-
-and for four, I will not revoke the punishment,
-
-because they carried into exile a whole people
-
-to deliver them up to Edom.
-
-7So I will send a fire upon the wall of Gaza,
-
-and it shall devour her strongholds.
-
-8I will cut off the inhabitants from Ashdod,
-
-and him who holds the scepter from Ashkelon;
-
-I will turn my hand against Ekron,
-
-and the remnant of the Philistines shall perish,”
-
-says the Lord GOD.
-
-9Thus says the LORD:
-
-“For three transgressions of Tyre,
-
-and for four, I will not revoke the punishment,
-
-because they delivered up a whole people to Edom,
-
-and did not remember the covenant of brotherhood.
-
-10So I will send a fire upon the wall of Tyre,
-
-and it shall devour her strongholds.”
-
-11Thus says the LORD:
-
-“For three transgressions of Edom,
-
-and for four, I will not revoke the punishment,
-
-because he pursued his brother with the sword
-
-and cast off all pity,
-
-and his anger tore perpetually,
-
-and he kept his wrath forever.
-
-12So I will send a fire upon Teman,
-
-and it shall devour the strongholds of Bozrah.”
-
-13Thus says the LORD:
-
-“For three transgressions of the Ammonites,
-
-and for four, I will not revoke the punishment,
-
-because they have ripped open pregnant women in Gilead,
-
-that they might enlarge their border.
-
-14So I will kindle a fire in the wall of Rabbah,
-
-and it shall devour her strongholds,
-
-with shouting on the day of battle,
-
-with a tempest in the day of the whirlwind;
-
-15and their king shall go into exile,
-
-he and his princes[5] together,”
-
-says the LORD.
-
-
-
-
-
-2:1 Thus says the LORD:
-
-“For three transgressions of Moab,
-
-and for four, I will not revoke the punishment,[6]
-
-because he burned to lime
-
-the bones of the king of Edom.
-
-2So I will send a fire upon Moab,
-
-and it shall devour the strongholds of Kerioth,
-
-and Moab shall die amid uproar,
-
-amid shouting and the sound of the trumpet;
-
-3I will cut off the ruler from its midst,
-
-and will kill all its princes[7] with him,”
-
-says the LORD.
-
-
-
-
-
-Judgment on Judah
-
-
-4Thus says the LORD:
-
-“For three transgressions of Judah,
-
-and for four, I will not revoke the punishment,
-
-because they have rejected the law of the LORD,
-
-and have not kept his statutes,
-
-but their lies have led them astray,
-
-those after which their fathers walked.
-
-5So I will send a fire upon Judah,
-
-and it shall devour the strongholds of Jerusalem.”
-
-
-
-
-
-Judgment on Israel
-
-
-6Thus says the LORD:
-
-“For three transgressions of Israel,
-
-and for four, I will not revoke the punishment,
-
-because they sell the righteous for silver,
-
-and the needy for a pair of sandals—
-
-7those who trample the head of the poor into the dust of the earth
-
-and turn aside the way of the afflicted;
-
-a man and his father go in to the same girl,
-
-so that my holy name is profaned;
-
-8they lay themselves down beside every altar
-
-on garments taken in pledge,
-
-and in the house of their God they drink
-
-the wine of those who have been fined.
-
-9“Yet it was I who destroyed the Amorite before them,
-
-whose height was like the height of the cedars
-
-and who was as strong as the oaks;
-
-I destroyed his fruit above
-
-and his roots beneath.
-
-10Also it was I who brought you up out of the land of Egypt
-
-and led you forty years in the wilderness,
-
-to possess the land of the Amorite.
-
-11And I raised up some of your sons for prophets,
-
-and some of your young men for Nazirites.
-
-Is it not indeed so, O people of Israel?”
-
-declares the LORD.
-
-12“But you made the Nazirites drink wine,
-
-and commanded the prophets,
-
-saying, ‘You shall not prophesy.’
-
-13“Behold, I will press you down in your place,
-
-as a cart full of sheaves presses down.
-
-14Flight shall perish from the swift,
-
-and the strong shall not retain his strength,
-
-nor shall the mighty save his life;
-
-15he who handles the bow shall not stand,
-
-and he who is swift of foot shall not save himself,
-
-nor shall he who rides the horse save his life;
-
-16and he who is stout of heart among the mighty
-
-shall flee away naked in that day,”
-
-declares the LORD.
-
-
-
-
-
-Israel's Guilt and Punishment
-
-
-3:1 Hear this word that the LORD has spoken against you, O people of Israel, against the whole family that I brought up out of the land of Egypt:
-
-2“You only have I known
-
-of all the families of the earth;
-
-therefore I will punish you
-
-for all your iniquities.
-
-3“Do two walk together,
-
-unless they have agreed to meet?
-
-4Does a lion roar in the forest,
-
-when he has no prey?
-
-Does a young lion cry out from his den,
-
-if he has taken nothing?
-
-5Does a bird fall in a snare on the earth,
-
-when there is no trap for it?
-
-Does a snare spring up from the ground,
-
-when it has taken nothing?
-
-6Is a trumpet blown in a city,
-
-and the people are not afraid?
-
-Does disaster come to a city,
-
-unless the LORD has done it?
-
-7“For the Lord GOD does nothing
-
-without revealing his secret
-
-to his servants the prophets.
-
-8The lion has roared;
-
-who will not fear?
-
-The Lord GOD has spoken;
-
-who can but prophesy?”
-
-9Proclaim to the strongholds in Ashdod
-
-and to the strongholds in the land of Egypt,
-
-and say, “Assemble yourselves on the mountains of Samaria,
-
-and see the great tumults within her,
-
-and the oppressed in her midst.”
-
-10“They do not know how to do right,” declares the LORD,
-
-“those who store up violence and robbery in their strongholds.”
-
-11Therefore thus says the Lord GOD:
-
-“An adversary shall surround the land
-
-and bring down[8] your defenses from you,
-
-and your strongholds shall be plundered.”
-
-12Thus says the LORD: “As the shepherd rescues from the mouth of the lion two legs, or a piece of an ear, so shall the people of Israel who dwell in Samaria be rescued, with the corner of a couch and part[9] of a bed.
-
-13“Hear, and testify against the house of Jacob,”
-
-declares the Lord GOD, the God of hosts,
-
-14“that on the day I punish Israel for his transgressions,
-
-I will punish the altars of Bethel,
-
-and the horns of the altar shall be cut off
-
-and fall to the ground.
-
-15I will strike the winter house along with the summer house,
-
-and the houses of ivory shall perish,
-
-and the great houses[10] shall come to an end,”
-
-declares the LORD.
-
-
-
-
-
-4:1 “Hear this word, you cows of Bashan,
-
-who are on the mountain of Samaria,
-
-who oppress the poor, who crush the needy,
-
-who say to your husbands, ‘Bring, that we may drink!’
-
-2The Lord GOD has sworn by his holiness
-
-that, behold, the days are coming upon you,
-
-when they shall take you away with hooks,
-
-even the last of you with fishhooks.
-
-3And you shall go out through the breaches,
-
-each one straight ahead;
-
-and you shall be cast out into Harmon,”
-
-declares the LORD.
-
-4“Come to Bethel, and transgress;
-
-to Gilgal, and multiply transgression;
-
-bring your sacrifices every morning,
-
-your tithes every three days;
-
-5offer a sacrifice of thanksgiving of that which is leavened,
-
-and proclaim freewill offerings, publish them;
-
-for so you love to do, O people of Israel!”
-
-declares the Lord GOD.
-
-
-
-
-
-Israel Has Not Returned to the LORD
-
-
-6“I gave you cleanness of teeth in all your cities,
-
-and lack of bread in all your places,
-
-yet you did not return to me,”
-
-declares the LORD.
-
-7“I also withheld the rain from you
-
-when there were yet three months to the harvest;
-
-I would send rain on one city,
-
-and send no rain on another city;
-
-one field would have rain,
-
-and the field on which it did not rain would wither;
-
-8so two or three cities would wander to another city
-
-to drink water, and would not be satisfied;
-
-yet you did not return to me,”
-
-declares the LORD.
-
-9“I struck you with blight and mildew;
-
-your many gardens and your vineyards,
-
-your fig trees and your olive trees the locust devoured;
-
-yet you did not return to me,”
-
-declares the LORD.
-
-10“I sent among you a pestilence after the manner of Egypt;
-
-I killed your young men with the sword,
-
-and carried away your horses,[11]
-
-and I made the stench of your camp go up into your nostrils;
-
-yet you did not return to me,”
-
-declares the LORD.
-
-11“I overthrew some of you,
-
-as when God overthrew Sodom and Gomorrah,
-
-and you were as a brand[12] plucked out of the burning;
-
-yet you did not return to me,”
-
-declares the LORD.
-
-12“Therefore thus I will do to you, O Israel;
-
-because I will do this to you,
-
-prepare to meet your God, O Israel!”
-
-13For behold, he who forms the mountains and creates the wind,
-
-and declares to man what is his thought,
-
-who makes the morning darkness,
-
-and treads on the heights of the earth—
-
-the LORD, the God of hosts, is his name!
-
-
-
-
-
-Seek the LORD and Live
-
-
-5:1 Hear this word that I take up over you in lamentation, O house of Israel:
-
-2“Fallen, no more to rise,
-
-is the virgin Israel;
-
-forsaken on her land,
-
-with none to raise her up.”
-
-3For thus says the Lord GOD:
-
-“The city that went out a thousand
-
-shall have a hundred left,
-
-and that which went out a hundred
-
-shall have ten left
-
-to the house of Israel.”
-
-4For thus says the LORD to the house of Israel:
-
-“Seek me and live;
-
-5but do not seek Bethel,
-
-and do not enter into Gilgal
-
-or cross over to Beersheba;
-
-for Gilgal shall surely go into exile,
-
-and Bethel shall come to nothing.”
-
-6Seek the LORD and live,
-
-lest he break out like fire in the house of Joseph,
-
-and it devour, with none to quench it for Bethel,
-
-7O you who turn justice to wormwood[13]
-
-and cast down righteousness to the earth!
-
-8He who made the Pleiades and Orion,
-
-and turns deep darkness into the morning
-
-and darkens the day into night,
-
-who calls for the waters of the sea
-
-and pours them out on the surface of the earth,
-
-the LORD is his name;
-
-9who makes destruction flash forth against the strong,
-
-so that destruction comes upon the fortress.
-
-10They hate him who reproves in the gate,
-
-and they abhor him who speaks the truth.
-
-11Therefore because you trample on[14] the poor
-
-and you exact taxes of grain from him,
-
-you have built houses of hewn stone,
-
-but you shall not dwell in them;
-
-you have planted pleasant vineyards,
-
-but you shall not drink their wine.
-
-12For I know how many are your transgressions
-
-and how great are your sins—
-
-you who afflict the righteous, who take a bribe,
-
-and turn aside the needy in the gate.
-
-13Therefore he who is prudent will keep silent in such a time,
-
-for it is an evil time.
-
-14Seek good, and not evil,
-
-that you may live;
-
-and so the LORD, the God of hosts, will be with you,
-
-as you have said.
-
-15Hate evil, and love good,
-
-and establish justice in the gate;
-
-it may be that the LORD, the God of hosts,
-
-will be gracious to the remnant of Joseph.
-
-16Therefore thus says the LORD, the God of hosts, the Lord:
-
-“In all the squares there shall be wailing,
-
-and in all the streets they shall say, ‘Alas! Alas!’
-
-They shall call the farmers to mourning
-
-and to wailing those who are skilled in lamentation,
-
-17and in all vineyards there shall be wailing,
-
-for I will pass through your midst,”
-
-says the LORD.
-
-
-
-
-
-Let Justice Roll Down
-
-
-18Woe to you who desire the day of the LORD!
-
-Why would you have the day of the LORD?
-
-It is darkness, and not light,
-
-19as if a man fled from a lion,
-
-and a bear met him,
-
-or went into the house and leaned his hand against the wall,
-
-and a serpent bit him.
-
-20Is not the day of the LORD darkness, and not light,
-
-and gloom with no brightness in it?
-
-21“I hate, I despise your feasts,
-
-and I take no delight in your solemn assemblies.
-
-22Even though you offer me your burnt offerings and grain offerings,
-
-I will not accept them;
-
-and the peace offerings of your fattened animals,
-
-I will not look upon them.
-
-23Take away from me the noise of your songs;
-
-to the melody of your harps I will not listen.
-
-24But let justice roll down like waters,
-
-and righteousness like an ever-flowing stream.
-
-25“Did you bring to me sacrifices and offerings during the forty years in the wilderness, O house of Israel? 26You shall take up Sikkuth your king, and Kiyyun your star-god—your images that you made for yourselves, 27and I will send you into exile beyond Damascus,” says the LORD, whose name is the God of hosts.
-
-
-
-
-
-Woe to Those at Ease in Zion
-
-
-6:1 “Woe to those who are at ease in Zion,
-
-and to those who feel secure on the mountain of Samaria,
-
-the notable men of the first of the nations,
-
-to whom the house of Israel comes!
-
-2Pass over to Calneh, and see,
-
-and from there go to Hamath the great;
-
-then go down to Gath of the Philistines.
-
-Are you better than these kingdoms?
-
-Or is their territory greater than your territory,
-
-3O you who put far away the day of disaster
-
-and bring near the seat of violence?
-
-4“Woe to those who lie on beds of ivory
-
-and stretch themselves out on their couches,
-
-and eat lambs from the flock
-
-and calves from the midst of the stall,
-
-5who sing idle songs to the sound of the harp
-
-and like David invent for themselves instruments of music,
-
-6who drink wine in bowls
-
-and anoint themselves with the finest oils,
-
-but are not grieved over the ruin of Joseph!
-
-7Therefore they shall now be the first of those who go into exile,
-
-and the revelry of those who stretch themselves out shall pass away.”
-
-8The Lord GOD has sworn by himself, declares the LORD, the God of hosts:
-
-“I abhor the pride of Jacob
-
-and hate his strongholds,
-
-and I will deliver up the city and all that is in it.”
-
-9And if ten men remain in one house, they shall die. 10And when one's relative, the one who anoints him for burial, shall take him up to bring the bones out of the house, and shall say to him who is in the innermost parts of the house, “Is there still anyone with you?” he shall say, “No”; and he shall say, “Silence! We must not mention the name of the LORD.”
-
-11For behold, the LORD commands,
-
-and the great house shall be struck down into fragments,
-
-and the little house into bits.
-
-12Do horses run on rocks?
-
-Does one plow there[15] with oxen?
-
-But you have turned justice into poison
-
-and the fruit of righteousness into wormwood[16]—
-
-13you who rejoice in Lo-debar,[17]
-
-who say, “Have we not by our own strength
-
-captured Karnaim[18] for ourselves?”
-
-14“For behold, I will raise up against you a nation,
-
-O house of Israel,” declares the LORD, the God of hosts;
-
-“and they shall oppress you from Lebo-hamath
-
-to the Brook of the Arabah.”
-
-
-
-
-
-Warning Visions
-
-
-7:1 This is what the Lord GOD showed me: behold, he was forming locusts when the latter growth was just beginning to sprout, and behold, it was the latter growth after the king's mowings. 2When they had finished eating the grass of the land, I said,
-
-“O Lord GOD, please forgive!
-
-How can Jacob stand?
-
-He is so small!”
-
-3The LORD relented concerning this:
-
-“It shall not be,” said the LORD.
-
-4This is what the Lord GOD showed me: behold, the Lord GOD was calling for a judgment by fire, and it devoured the great deep and was eating up the land. 5Then I said,
-
-“O Lord GOD, please cease!
-
-How can Jacob stand?
-
-He is so small!”
-
-6The LORD relented concerning this:
-
-“This also shall not be,” said the Lord GOD.
-
-7This is what he showed me: behold, the Lord was standing beside a wall built with a plumb line, with a plumb line in his hand. 8And the LORD said to me, “Amos, what do you see?” And I said, “A plumb line.” Then the Lord said,
-
-“Behold, I am setting a plumb line
-
-in the midst of my people Israel;
-
-I will never again pass by them;
-
-9the high places of Isaac shall be made desolate,
-
-and the sanctuaries of Israel shall be laid waste,
-
-and I will rise against the house of Jeroboam with the sword.”
-
-
-
-
-
-Amos Accused
-
-
-10Then Amaziah the priest of Bethel sent to Jeroboam king of Israel, saying, “Amos has conspired against you in the midst of the house of Israel. The land is not able to bear all his words. 11For thus Amos has said,
-
-“‘Jeroboam shall die by the sword,
-
-and Israel must go into exile
-
-away from his land.’”
-
-12And Amaziah said to Amos, “O seer, go, flee away to the land of Judah, and eat bread there, and prophesy there, 13but never again prophesy at Bethel, for it is the king's sanctuary, and it is a temple of the kingdom.”
-
-14Then Amos answered and said to Amaziah, “I was[19] no prophet, nor a prophet's son, but I was a herdsman and a dresser of sycamore figs. 15But the LORD took me from following the flock, and the LORD said to me, ‘Go, prophesy to my people Israel.’ 16Now therefore hear the word of the LORD.
-
-“You say, ‘Do not prophesy against Israel,
-
-and do not preach against the house of Isaac.’
-
-17Therefore thus says the LORD:
-
-“‘Your wife shall be a prostitute in the city,
-
-and your sons and your daughters shall fall by the sword,
-
-and your land shall be divided up with a measuring line;
-
-you yourself shall die in an unclean land,
-
-and Israel shall surely go into exile away from its land.’”
-
-
-
-
-
-The Coming Day of Bitter Mourning
-
-
-8:1 This is what the Lord GOD showed me: behold, a basket of summer fruit. 2And he said, “Amos, what do you see?” And I said, “A basket of summer fruit.” Then the LORD said to me,
-
-“The end[20] has come upon my people Israel;
-
-I will never again pass by them.
-
-3The songs of the temple[21] shall become wailings[22] in that day,”
-
-declares the Lord GOD.
-
-“So many dead bodies!”
-
-“They are thrown everywhere!”
-
-“Silence!”
-
-4Hear this, you who trample on the needy
-
-and bring the poor of the land to an end,
-
-5saying, “When will the new moon be over,
-
-that we may sell grain?
-
-And the Sabbath,
-
-that we may offer wheat for sale,
-
-that we may make the ephah small and the shekel[23] great
-
-and deal deceitfully with false balances,
-
-6that we may buy the poor for silver
-
-and the needy for a pair of sandals
-
-and sell the chaff of the wheat?”
-
-7The LORD has sworn by the pride of Jacob:
-
-“Surely I will never forget any of their deeds.
-
-8Shall not the land tremble on this account,
-
-and everyone mourn who dwells in it,
-
-and all of it rise like the Nile,
-
-and be tossed about and sink again, like the Nile of Egypt?”
-
-9“And on that day,” declares the Lord GOD,
-
-“I will make the sun go down at noon
-
-and darken the earth in broad daylight.
-
-10I will turn your feasts into mourning
-
-and all your songs into lamentation;
-
-I will bring sackcloth on every waist
-
-and baldness on every head;
-
-I will make it like the mourning for an only son
-
-and the end of it like a bitter day.
-
-11“Behold, the days are coming,” declares the Lord GOD,
-
-“when I will send a famine on the land—
-
-not a famine of bread, nor a thirst for water,
-
-but of hearing the words of the LORD.
-
-12They shall wander from sea to sea,
-
-and from north to east;
-
-they shall run to and fro, to seek the word of the LORD,
-
-but they shall not find it.
-
-13“In that day the lovely virgins and the young men
-
-shall faint for thirst.
-
-14Those who swear by the Guilt of Samaria,
-
-and say, ‘As your god lives, O Dan,’
-
-and, ‘As the Way of Beersheba lives,’
-
-they shall fall, and never rise again.”
-
-
-
-
-
-The Destruction of Israel
-
-
-9:1 I saw the Lord standing beside[24] the altar, and he said:
-
-“Strike the capitals until the thresholds shake,
-
-and shatter them on the heads of all the people;[25]
-
-and those who are left of them I will kill with the sword;
-
-not one of them shall flee away;
-
-not one of them shall escape.
-
-2“If they dig into Sheol,
-
-from there shall my hand take them;
-
-if they climb up to heaven,
-
-from there I will bring them down.
-
-3If they hide themselves on the top of Carmel,
-
-from there I will search them out and take them;
-
-and if they hide from my sight at the bottom of the sea,
-
-there I will command the serpent, and it shall bite them.
-
-4And if they go into captivity before their enemies,
-
-there I will command the sword, and it shall kill them;
-
-and I will fix my eyes upon them
-
-for evil and not for good.”
-
-5The Lord GOD of hosts,
-
-he who touches the earth and it melts,
-
-and all who dwell in it mourn,
-
-and all of it rises like the Nile,
-
-and sinks again, like the Nile of Egypt;
-
-6who builds his upper chambers in the heavens
-
-and founds his vault upon the earth;
-
-who calls for the waters of the sea
-
-and pours them out upon the surface of the earth—
-
-the LORD is his name.
-
-7“Are you not like the Cushites to me,
-
-O people of Israel?” declares the LORD.
-
-“Did I not bring up Israel from the land of Egypt,
-
-and the Philistines from Caphtor and the Syrians from Kir?
-
-8Behold, the eyes of the Lord GOD are upon the sinful kingdom,
-
-and I will destroy it from the surface of the ground,
-
-except that I will not utterly destroy the house of Jacob,”
-
-declares the LORD.
-
-9“For behold, I will command,
-
-and shake the house of Israel among all the nations
-
-as one shakes with a sieve,
-
-but no pebble shall fall to the earth.
-
-10All the sinners of my people shall die by the sword,
-
-who say, ‘Disaster shall not overtake or meet us.’
-
-
-
-
-
-The Restoration of Israel
-
-
-11“In that day I will raise up
-
-the booth of David that is fallen
-
-and repair its breaches,
-
-and raise up its ruins
-
-and rebuild it as in the days of old,
-
-12that they may possess the remnant of Edom
-
-and all the nations who are called by my name,”[26]
-
-declares the LORD who does this.
-
-13“Behold, the days are coming,” declares the LORD,
-
-“when the plowman shall overtake the reaper
-
-and the treader of grapes him who sows the seed;
-
-the mountains shall drip sweet wine,
-
-and all the hills shall flow with it.
-
-14I will restore the fortunes of my people Israel,
-
-and they shall rebuild the ruined cities and inhabit them;
-
-they shall plant vineyards and drink their wine,
-
-and they shall make gardens and eat their fruit.
-
-15I will plant them on their land,
-
-and they shall never again be uprooted
-
-out of the land that I have given them,”
-
-says the LORD your God.
-
-
-
-
-
-Footnotes
-
-
-[1] 1:1 Or sheep breeders
-
-[2] 1:1 Or during two years
-
-[3] 1:3 Hebrew I will not turn it back; also verses 6, 9, 11, 13
-
-[4] 1:5 Or On
-
-[5] 1:15 Or officials
-
-[6] 2:1 Hebrew I will not turn it back; also verses 4, 6
-
-[7] 2:3 Or officials
-
-[8] 3:11 Hebrew An adversary, one who surrounds the land—he shall bring down
-
-[9] 3:12 The meaning of the Hebrew word is uncertain
-
-[10] 3:15 Or and many houses
-
-[11] 4:10 Hebrew along with the captivity of your horses
-
-[12] 4:11 That is, a burning stick
-
-[13] 5:7 Or to bitter fruit
-
-[14] 5:11 Or you tax
-
-[15] 6:12 Or the sea
-
-[16] 6:12 Or into bitter fruit
-
-[17] 6:13 Lo-debar means nothing
-
-[18] 6:13 Karnaim means horns (a symbol of strength)
-
-[19] 7:14 Or am; twice in this verse
-
-[20] 8:2 The Hebrew words for end and summer fruit sound alike
-
-[21] 8:3 Or palace
-
-[22] 8:3 Or The singing women of the palace shall wail
-
-[23] 8:5 An ephah was about 3/5 bushel or 22 liters; a shekel was about 2/5 ounce or 11 grams
-
-[24] 9:1 Or on
-
-[25] 9:1 Hebrew all of them
-
-[26] 9:12 Hebrew; Septuagint (compare Acts 15:17) that the remnant of mankind and all the nations who are called by my name may seek the Lord
-
-
-
-
-
-OBADIAH
-
-
-1 The vision of Obadiah.
-
-
-
-
-
-Edom Will Be Humbled
-
-
-Thus says the Lord GOD concerning Edom:
-
-We have heard a report from the LORD,
-
-and a messenger has been sent among the nations:
-
-“Rise up! Let us rise against her for battle!”
-
-2Behold, I will make you small among the nations;
-
-you shall be utterly despised.[1]
-
-3The pride of your heart has deceived you,
-
-you who live in the clefts of the rock,[2]
-
-in your lofty dwelling,
-
-who say in your heart,
-
-“Who will bring me down to the ground?”
-
-4Though you soar aloft like the eagle,
-
-though your nest is set among the stars,
-
-from there I will bring you down,
-
-declares the LORD.
-
-5If thieves came to you,
-
-if plunderers came by night—
-
-how you have been destroyed!—
-
-would they not steal only enough for themselves?
-
-If grape gatherers came to you,
-
-would they not leave gleanings?
-
-6How Esau has been pillaged,
-
-his treasures sought out!
-
-7All your allies have driven you to your border;
-
-those at peace with you have deceived you;
-
-they have prevailed against you;
-
-those who eat your bread[3] have set a trap beneath you—
-
-you have[4] no understanding.
-
-8Will I not on that day, declares the LORD,
-
-destroy the wise men out of Edom,
-
-and understanding out of Mount Esau?
-
-9And your mighty men shall be dismayed, O Teman,
-
-so that every man from Mount Esau will be cut off by slaughter.
-
-
-
-
-
-Edom's Violence Against Jacob
-
-
-10Because of the violence done to your brother Jacob,
-
-shame shall cover you,
-
-and you shall be cut off forever.
-
-11On the day that you stood aloof,
-
-on the day that strangers carried off his wealth
-
-and foreigners entered his gates
-
-and cast lots for Jerusalem,
-
-you were like one of them.
-
-12But do not gloat over the day of your brother
-
-in the day of his misfortune;
-
-do not rejoice over the people of Judah
-
-in the day of their ruin;
-
-do not boast[5]
-
-in the day of distress.
-
-13Do not enter the gate of my people
-
-in the day of their calamity;
-
-do not gloat over his disaster
-
-in the day of his calamity;
-
-do not loot his wealth
-
-in the day of his calamity.
-
-14Do not stand at the crossroads
-
-to cut off his fugitives;
-
-do not hand over his survivors
-
-in the day of distress.
-
-
-
-
-
-The Day of the LORD Is Near
-
-
-15For the day of the LORD is near upon all the nations.
-
-As you have done, it shall be done to you;
-
-your deeds shall return on your own head.
-
-16For as you have drunk on my holy mountain,
-
-so all the nations shall drink continually;
-
-they shall drink and swallow,
-
-and shall be as though they had never been.
-
-17But in Mount Zion there shall be those who escape,
-
-and it shall be holy,
-
-and the house of Jacob shall possess their own possessions.
-
-18The house of Jacob shall be a fire,
-
-and the house of Joseph a flame,
-
-and the house of Esau stubble;
-
-they shall burn them and consume them,
-
-and there shall be no survivor for the house of Esau,
-
-for the LORD has spoken.
-
-
-
-
-
-The Kingdom of the LORD
-
-
-19Those of the Negeb shall possess Mount Esau,
-
-and those of the Shephelah shall possess the land of the Philistines;
-
-they shall possess the land of Ephraim and the land of Samaria,
-
-and Benjamin shall possess Gilead.
-
-20The exiles of this host of the people of Israel
-
-shall possess the land of the Canaanites as far as Zarephath,
-
-and the exiles of Jerusalem who are in Sepharad
-
-shall possess the cities of the Negeb.
-
-21Saviors shall go up to Mount Zion
-
-to rule Mount Esau,
-
-and the kingdom shall be the LORD's.
-
-
-
-
-
-Footnotes
-
-
-[1] 1:2 Or Behold, I have made you small among the nations; you are utterly despised
-
-[2] 1:3 Or Sela
-
-[3] 1:7 Hebrew lacks those who eat
-
-[4] 1:7 Hebrew he has
-
-[5] 1:12 Hebrew do not enlarge your mouth
-
-
-
-
-
-JONAH
-
-
-Chapter 1
-
-Chapter 2
-
-Chapter 3
-
-Chapter 4
-
-
-
-
-
-Jonah Flees the Presence of the LORD
-
-
-1:1 Now the word of the LORD came to Jonah the son of Amittai, saying, 2“Arise, go to Nineveh, that great city, and call out against it, for their evil[1] has come up before me.” 3But Jonah rose to flee to Tarshish from the presence of the LORD. He went down to Joppa and found a ship going to Tarshish. So he paid the fare and went on board, to go with them to Tarshish, away from the presence of the LORD.
-
-4But the LORD hurled a great wind upon the sea, and there was a mighty tempest on the sea, so that the ship threatened to break up. 5Then the mariners were afraid, and each cried out to his god. And they hurled the cargo that was in the ship into the sea to lighten it for them. But Jonah had gone down into the inner part of the ship and had lain down and was fast asleep. 6So the captain came and said to him, “What do you mean, you sleeper? Arise, call out to your god! Perhaps the god will give a thought to us, that we may not perish.”
-
-
-
-
-
-Jonah Is Thrown into the Sea
-
-
-7And they said to one another, “Come, let us cast lots, that we may know on whose account this evil has come upon us.” So they cast lots, and the lot fell on Jonah. 8Then they said to him, “Tell us on whose account this evil has come upon us. What is your occupation? And where do you come from? What is your country? And of what people are you?” 9And he said to them, “I am a Hebrew, and I fear the LORD, the God of heaven, who made the sea and the dry land.” 10Then the men were exceedingly afraid and said to him, “What is this that you have done!” For the men knew that he was fleeing from the presence of the LORD, because he had told them.
-
-11Then they said to him, “What shall we do to you, that the sea may quiet down for us?” For the sea grew more and more tempestuous. 12He said to them, “Pick me up and hurl me into the sea; then the sea will quiet down for you, for I know it is because of me that this great tempest has come upon you.” 13Nevertheless, the men rowed hard[2] to get back to dry land, but they could not, for the sea grew more and more tempestuous against them. 14Therefore they called out to the LORD, “O LORD, let us not perish for this man's life, and lay not on us innocent blood, for you, O LORD, have done as it pleased you.” 15So they picked up Jonah and hurled him into the sea, and the sea ceased from its raging. 16Then the men feared the LORD exceedingly, and they offered a sacrifice to the LORD and made vows.
-
-
-
-
-
-A Great Fish Swallows Jonah
-
-
-17[3] And the LORD appointed[4] a great fish to swallow up Jonah. And Jonah was in the belly of the fish three days and three nights.
-
-
-
-
-
-Jonah's Prayer
-
-
-2:1 Then Jonah prayed to the LORD his God from the belly of the fish, 2saying,
-
-“I called out to the LORD, out of my distress,
-
-and he answered me;
-
-out of the belly of Sheol I cried,
-
-and you heard my voice.
-
-3For you cast me into the deep,
-
-into the heart of the seas,
-
-and the flood surrounded me;
-
-all your waves and your billows
-
-passed over me.
-
-4Then I said, ‘I am driven away
-
-from your sight;
-
-yet I shall again look
-
-upon your holy temple.’
-
-5The waters closed in over me to take my life;
-
-the deep surrounded me;
-
-weeds were wrapped about my head
-
-6at the roots of the mountains.
-
-I went down to the land
-
-whose bars closed upon me forever;
-
-yet you brought up my life from the pit,
-
-O LORD my God.
-
-7When my life was fainting away,
-
-I remembered the LORD,
-
-and my prayer came to you,
-
-into your holy temple.
-
-8Those who pay regard to vain idols
-
-forsake their hope of steadfast love.
-
-9But I with the voice of thanksgiving
-
-will sacrifice to you;
-
-what I have vowed I will pay.
-
-Salvation belongs to the LORD!”
-
-10And the LORD spoke to the fish, and it vomited Jonah out upon the dry land.
-
-
-
-
-
-Jonah Goes to Nineveh
-
-
-3:1 Then the word of the LORD came to Jonah the second time, saying, 2“Arise, go to Nineveh, that great city, and call out against it the message that I tell you.” 3So Jonah arose and went to Nineveh, according to the word of the LORD. Now Nineveh was an exceedingly great city,[5] three days' journey in breadth.[6] 4Jonah began to go into the city, going a day's journey. And he called out, “Yet forty days, and Nineveh shall be overthrown!” 5And the people of Nineveh believed God. They called for a fast and put on sackcloth, from the greatest of them to the least of them.
-
-
-
-
-
-The People of Nineveh Repent
-
-
-6The word reached[7] the king of Nineveh, and he arose from his throne, removed his robe, covered himself with sackcloth, and sat in ashes. 7And he issued a proclamation and published through Nineveh, “By the decree of the king and his nobles: Let neither man nor beast, herd nor flock, taste anything. Let them not feed or drink water, 8but let man and beast be covered with sackcloth, and let them call out mightily to God. Let everyone turn from his evil way and from the violence that is in his hands. 9Who knows? God may turn and relent and turn from his fierce anger, so that we may not perish.”
-
-10When God saw what they did, how they turned from their evil way, God relented of the disaster that he had said he would do to them, and he did not do it.
-
-
-
-
-
-Jonah's Anger and the LORD's Compassion
-
-
-4:1 But it displeased Jonah exceedingly,[8] and he was angry. 2And he prayed to the LORD and said, “O LORD, is not this what I said when I was yet in my country? That is why I made haste to flee to Tarshish; for I knew that you are a gracious God and merciful, slow to anger and abounding in steadfast love, and relenting from disaster. 3Therefore now, O LORD, please take my life from me, for it is better for me to die than to live.” 4And the LORD said, “Do you do well to be angry?”
-
-5Jonah went out of the city and sat to the east of the city and made a booth for himself there. He sat under it in the shade, till he should see what would become of the city. 6Now the LORD God appointed a plant[9] and made it come up over Jonah, that it might be a shade over his head, to save him from his discomfort.[10] So Jonah was exceedingly glad because of the plant. 7But when dawn came up the next day, God appointed a worm that attacked the plant, so that it withered. 8When the sun rose, God appointed a scorching east wind, and the sun beat down on the head of Jonah so that he was faint. And he asked that he might die and said, “It is better for me to die than to live.” 9But God said to Jonah, “Do you do well to be angry for the plant?” And he said, “Yes, I do well to be angry, angry enough to die.” 10And the LORD said, “You pity the plant, for which you did not labor, nor did you make it grow, which came into being in a night and perished in a night. 11And should not I pity Nineveh, that great city, in which there are more than 120,000 persons who do not know their right hand from their left, and also much cattle?”
-
-
-
-
-
-Footnotes
-
-
-[1] 1:2 The same Hebrew word can mean evil or disaster, depending on the context; so throughout Jonah
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-[2] 1:13 Hebrew the men dug in [their oars]
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-[3] 1:17 Ch 2:1 in Hebrew
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-[4] 1:17 Or had appointed
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-[5] 3:3 Hebrew a great city to God
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-[6] 3:3 Or a visit was a three days' journey
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-[7] 3:6 Or had reached
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-[8] 4:1 Hebrew it was exceedingly evil to Jonah
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-[9] 4:6 Hebrew qiqayon, probably the castor oil plant; also verses 7, 9, 10
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-[10] 4:6 Or his evil
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-MICAH
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-Chapter 1
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-Chapter 2
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-Chapter 3
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-Chapter 4
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-Chapter 5
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-Chapter 6
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-Chapter 7
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-1:1 The word of the LORD that came to Micah of Moresheth in the days of Jotham, Ahaz, and Hezekiah, kings of Judah, which he saw concerning Samaria and Jerusalem.
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-The Coming Destruction
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-2Hear, you peoples, all of you;[1]
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-pay attention, O earth, and all that is in it,
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-and let the Lord GOD be a witness against you,
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-the Lord from his holy temple.
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-3For behold, the LORD is coming out of his place,
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-and will come down and tread upon the high places of the earth.
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-4And the mountains will melt under him,
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-and the valleys will split open,
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-like wax before the fire,
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-like waters poured down a steep place.
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-5All this is for the transgression of Jacob
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-and for the sins of the house of Israel.
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-What is the transgression of Jacob?
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-Is it not Samaria?
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-And what is the high place of Judah?
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-Is it not Jerusalem?
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-6Therefore I will make Samaria a heap in the open country,
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-a place for planting vineyards,
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-and I will pour down her stones into the valley
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-and uncover her foundations.
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-7All her carved images shall be beaten to pieces,
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-all her wages shall be burned with fire,
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-and all her idols I will lay waste,
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-for from the fee of a prostitute she gathered them,
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-and to the fee of a prostitute they shall return.
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-8For this I will lament and wail;
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-I will go stripped and naked;
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-I will make lamentation like the jackals,
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-and mourning like the ostriches.
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-9For her wound is incurable,
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-and it has come to Judah;
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-it has reached to the gate of my people,
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-to Jerusalem.
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-10Tell it not in Gath;
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-weep not at all;
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-in Beth-le-aphrah
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-roll yourselves in the dust.
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-11Pass on your way,
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-inhabitants of Shaphir,
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-in nakedness and shame;
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-the inhabitants of Zaanan
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-do not come out;
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-the lamentation of Beth-ezel
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-shall take away from you its standing place.
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-12For the inhabitants of Maroth
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-wait anxiously for good,
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-because disaster has come down from the LORD
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-to the gate of Jerusalem.
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-13Harness the steeds to the chariots,
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-inhabitants of Lachish;
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-it was the beginning of sin
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-to the daughter of Zion,
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-for in you were found
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-the transgressions of Israel.
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-14Therefore you shall give parting gifts[2]
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-to Moresheth-gath;
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-the houses of Achzib shall be a deceitful thing
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-to the kings of Israel.
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-15I will again bring a conqueror to you,
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-inhabitants of Mareshah;
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-the glory of Israel
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-shall come to Adullam.
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-16Make yourselves bald and cut off your hair,
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-for the children of your delight;
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-make yourselves as bald as the eagle,
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-for they shall go from you into exile.
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-Woe to the Oppressors
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-2:1 Woe to those who devise wickedness
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-and work evil on their beds!
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-When the morning dawns, they perform it,
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-because it is in the power of their hand.
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-2They covet fields and seize them,
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-and houses, and take them away;
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-they oppress a man and his house,
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-a man and his inheritance.
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-3Therefore thus says the LORD:
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-behold, against this family I am devising disaster,[3]
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-from which you cannot remove your necks,
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-and you shall not walk haughtily,
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-for it will be a time of disaster.
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-4In that day they shall take up a taunt song against you
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-and moan bitterly,
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-and say, “We are utterly ruined;
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-he changes the portion of my people;
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-how he removes it from me!
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-To an apostate he allots our fields.”
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-5Therefore you will have none to cast the line by lot
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-in the assembly of the LORD.
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-6“Do not preach”—thus they preach—
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-“one should not preach of such things;
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-disgrace will not overtake us.”
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-7Should this be said, O house of Jacob?
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-Has the LORD grown impatient?[4]
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-Are these his deeds?
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-Do not my words do good
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-to him who walks uprightly?
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-8But lately my people have risen up as an enemy;
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-you strip the rich robe from those who pass by trustingly
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-with no thought of war.[5]
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-9The women of my people you drive out
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-from their delightful houses;
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-from their young children you take away
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-my splendor forever.
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-10Arise and go,
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-for this is no place to rest,
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-because of uncleanness that destroys
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-with a grievous destruction.
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-11If a man should go about and utter wind and lies,
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-saying, “I will preach to you of wine and strong drink,”
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-he would be the preacher for this people!
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-12I will surely assemble all of you, O Jacob;
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-I will gather the remnant of Israel;
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-I will set them together
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-like sheep in a fold,
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-like a flock in its pasture,
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-a noisy multitude of men.
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-13He who opens the breach goes up before them;
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-they break through and pass the gate,
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-going out by it.
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-Their king passes on before them,
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-the LORD at their head.
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-Rulers and Prophets Denounced
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-3:1 And I said:
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-Hear, you heads of Jacob
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-and rulers of the house of Israel!
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-Is it not for you to know justice?—
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-2you who hate the good and love the evil,
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-who tear the skin from off my people[6]
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-and their flesh from off their bones,
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-3who eat the flesh of my people,
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-and flay their skin from off them,
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-and break their bones in pieces
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-and chop them up like meat in a pot,
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-like flesh in a cauldron.
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-4Then they will cry to the LORD,
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-but he will not answer them;
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-he will hide his face from them at that time,
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-because they have made their deeds evil.
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-5Thus says the LORD concerning the prophets
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-who lead my people astray,
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-who cry “Peace”
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-when they have something to eat,
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-but declare war against him
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-who puts nothing into their mouths.
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-6Therefore it shall be night to you, without vision,
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-and darkness to you, without divination.
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-The sun shall go down on the prophets,
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-and the day shall be black over them;
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-7the seers shall be disgraced,
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-and the diviners put to shame;
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-they shall all cover their lips,
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-for there is no answer from God.
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-8But as for me, I am filled with power,
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-with the Spirit of the LORD,
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-and with justice and might,
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-to declare to Jacob his transgression
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-and to Israel his sin.
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-9Hear this, you heads of the house of Jacob
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-and rulers of the house of Israel,
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-who detest justice
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-and make crooked all that is straight,
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-10who build Zion with blood
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-and Jerusalem with iniquity.
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-11Its heads give judgment for a bribe;
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-its priests teach for a price;
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-its prophets practice divination for money;
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-yet they lean on the LORD and say,
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-“Is not the LORD in the midst of us?
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-No disaster shall come upon us.”
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-12Therefore because of you
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-Zion shall be plowed as a field;
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-Jerusalem shall become a heap of ruins,
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-and the mountain of the house a wooded height.
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-The Mountain of the LORD
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-4:1 It shall come to pass in the latter days
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-that the mountain of the house of the LORD
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-shall be established as the highest of the mountains,
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-and it shall be lifted up above the hills;
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-and peoples shall flow to it,
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-2and many nations shall come, and say:
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-“Come, let us go up to the mountain of the LORD,
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-to the house of the God of Jacob,
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-that he may teach us his ways
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-and that we may walk in his paths.”
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-For out of Zion shall go forth the law,[7]
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-and the word of the LORD from Jerusalem.
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-3He shall judge between many peoples,
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-and shall decide for strong nations far away;
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-and they shall beat their swords into plowshares,
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-and their spears into pruning hooks;
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-nation shall not lift up sword against nation,
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-neither shall they learn war anymore;
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-4but they shall sit every man under his vine and under his fig tree,
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-and no one shall make them afraid,
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-for the mouth of the LORD of hosts has spoken.
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-5For all the peoples walk
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-each in the name of its god,
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-but we will walk in the name of the LORD our God
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-forever and ever.
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-The LORD Shall Rescue Zion
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-6In that day, declares the LORD,
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-I will assemble the lame
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-and gather those who have been driven away
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-and those whom I have afflicted;
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-7and the lame I will make the remnant,
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-and those who were cast off, a strong nation;
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-and the LORD will reign over them in Mount Zion
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-from this time forth and forevermore.
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-8And you, O tower of the flock,
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-hill of the daughter of Zion,
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-to you shall it come,
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-the former dominion shall come,
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-kingship for the daughter of Jerusalem.
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-9Now why do you cry aloud?
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-Is there no king in you?
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-Has your counselor perished,
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-that pain seized you like a woman in labor?
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-10Writhe and groan,[8] O daughter of Zion,
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-like a woman in labor,
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-for now you shall go out from the city
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-and dwell in the open country;
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-you shall go to Babylon.
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-There you shall be rescued;
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-there the LORD will redeem you
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-from the hand of your enemies.
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-11Now many nations
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-are assembled against you,
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-saying, “Let her be defiled,
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-and let our eyes gaze upon Zion.”
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-12But they do not know
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-the thoughts of the LORD;
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-they do not understand his plan,
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-that he has gathered them as sheaves to the threshing floor.
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-13Arise and thresh,
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-O daughter of Zion,
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-for I will make your horn iron,
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-and I will make your hoofs bronze;
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-you shall beat in pieces many peoples;
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-and shall devote[9] their gain to the LORD,
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-their wealth to the Lord of the whole earth.
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-The Ruler to Be Born in Bethlehem
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-5:1 [10] Now muster your troops, O daughter[11] of troops;
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-siege is laid against us;
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-with a rod they strike the judge of Israel
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-on the cheek.
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-2[12] But you, O Bethlehem Ephrathah,
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-who are too little to be among the clans of Judah,
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-from you shall come forth for me
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-one who is to be ruler in Israel,
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-whose coming forth is from of old,
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-from ancient days.
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-3Therefore he shall give them up until the time
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-when she who is in labor has given birth;
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-then the rest of his brothers shall return
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-to the people of Israel.
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-4And he shall stand and shepherd his flock in the strength of the LORD,
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-in the majesty of the name of the LORD his God.
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-And they shall dwell secure, for now he shall be great
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-to the ends of the earth.
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-5And he shall be their peace.
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-When the Assyrian comes into our land
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-and treads in our palaces,
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-then we will raise against him seven shepherds
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-and eight princes of men;
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-6they shall shepherd the land of Assyria with the sword,
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-and the land of Nimrod at its entrances;
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-and he shall deliver us from the Assyrian
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-when he comes into our land
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-and treads within our border.
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-A Remnant Shall Be Delivered
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-7Then the remnant of Jacob shall be
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-in the midst of many peoples
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-like dew from the LORD,
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-like showers on the grass,
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-which delay not for a man
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-nor wait for the children of man.
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-8And the remnant of Jacob shall be among the nations,
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-in the midst of many peoples,
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-like a lion among the beasts of the forest,
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-like a young lion among the flocks of sheep,
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-which, when it goes through, treads down
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-and tears in pieces, and there is none to deliver.
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-9Your hand shall be lifted up over your adversaries,
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-and all your enemies shall be cut off.
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-10And in that day, declares the LORD,
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-I will cut off your horses from among you
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-and will destroy your chariots;
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-11and I will cut off the cities of your land
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-and throw down all your strongholds;
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-12and I will cut off sorceries from your hand,
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-and you shall have no more tellers of fortunes;
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-13and I will cut off your carved images
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-and your pillars from among you,
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-and you shall bow down no more
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-to the work of your hands;
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-14and I will root out your Asherah images from among you
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-and destroy your cities.
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-15And in anger and wrath I will execute vengeance
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-on the nations that did not obey.
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-The Indictment of the LORD
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-6:1 Hear what the LORD says:
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-Arise, plead your case before the mountains,
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-and let the hills hear your voice.
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-2Hear, you mountains, the indictment of the LORD,
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-and you enduring foundations of the earth,
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-for the LORD has an indictment against his people,
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-and he will contend with Israel.
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-3“O my people, what have I done to you?
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-How have I wearied you? Answer me!
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-4For I brought you up from the land of Egypt
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-and redeemed you from the house of slavery,
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-and I sent before you Moses,
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-Aaron, and Miriam.
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-5O my people, remember what Balak king of Moab devised,
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-and what Balaam the son of Beor answered him,
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-and what happened from Shittim to Gilgal,
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-that you may know the saving acts of the LORD.”
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-What Does the LORD Require?
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-6“With what shall I come before the LORD,
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-and bow myself before God on high?
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-Shall I come before him with burnt offerings,
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-with calves a year old?
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-7Will the LORD be pleased with[13] thousands of rams,
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-with ten thousands of rivers of oil?
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-Shall I give my firstborn for my transgression,
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-the fruit of my body for the sin of my soul?”
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-8He has told you, O man, what is good;
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-and what does the LORD require of you
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-but to do justice, and to love kindness,[14]
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-and to walk humbly with your God?
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-
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-Destruction of the Wicked
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-9The voice of the LORD cries to the city—
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-and it is sound wisdom to fear your name:
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-“Hear of the rod and of him who appointed it![15]
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-10Can I forget any longer the treasures[16] of wickedness in the house of the wicked,
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-and the scant measure that is accursed?
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-11Shall I acquit the man with wicked scales
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-and with a bag of deceitful weights?
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-12Your[17] rich men are full of violence;
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-your inhabitants speak lies,
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-and their tongue is deceitful in their mouth.
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-13Therefore I strike you with a grievous blow,
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-making you desolate because of your sins.
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-14You shall eat, but not be satisfied,
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-and there shall be hunger within you;
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-you shall put away, but not preserve,
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-and what you preserve I will give to the sword.
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-15You shall sow, but not reap;
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-you shall tread olives, but not anoint yourselves with oil;
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-you shall tread grapes, but not drink wine.
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-16For you have kept the statutes of Omri,[18]
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-and all the works of the house of Ahab;
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-and you have walked in their counsels,
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-that I may make you a desolation, and your[19] inhabitants a hissing;
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-so you shall bear the scorn of my people.”
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-Wait for the God of Salvation
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-7:1 Woe is me! For I have become
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-as when the summer fruit has been gathered,
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-as when the grapes have been gleaned:
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-there is no cluster to eat,
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-no first-ripe fig that my soul desires.
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-2The godly has perished from the earth,
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-and there is no one upright among mankind;
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-they all lie in wait for blood,
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-and each hunts the other with a net.
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-3Their hands are on what is evil, to do it well;
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-the prince and the judge ask for a bribe,
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-and the great man utters the evil desire of his soul;
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-thus they weave it together.
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-4The best of them is like a brier,
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-the most upright of them a thorn hedge.
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-The day of your watchmen, of your punishment, has come;
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-now their confusion is at hand.
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-5Put no trust in a neighbor;
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-have no confidence in a friend;
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-guard the doors of your mouth
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-from her who lies in your arms;[20]
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-6for the son treats the father with contempt,
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-the daughter rises up against her mother,
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-the daughter-in-law against her mother-in-law;
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-a man's enemies are the men of his own house.
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-7But as for me, I will look to the LORD;
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-I will wait for the God of my salvation;
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-my God will hear me.
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-8Rejoice not over me, O my enemy;
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-when I fall, I shall rise;
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-when I sit in darkness,
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-the LORD will be a light to me.
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-9I will bear the indignation of the LORD
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-because I have sinned against him,
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-until he pleads my cause
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-and executes judgment for me.
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-He will bring me out to the light;
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-I shall look upon his vindication.
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-10Then my enemy will see,
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-and shame will cover her who said to me,
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-“Where is the LORD your God?”
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-My eyes will look upon her;
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-now she will be trampled down
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-like the mire of the streets.
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-11A day for the building of your walls!
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-In that day the boundary shall be far extended.
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-12In that day they[21] will come to you,
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-from Assyria and the cities of Egypt,
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-and from Egypt to the River,
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-from sea to sea and from mountain to mountain.
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-13But the earth will be desolate
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-because of its inhabitants,
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-for the fruit of their deeds.
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-14Shepherd your people with your staff,
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-the flock of your inheritance,
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-who dwell alone in a forest
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-in the midst of a garden land;[22]
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-let them graze in Bashan and Gilead
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-as in the days of old.
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-15As in the days when you came out of the land of Egypt,
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-I will show them[23] marvelous things.
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-16The nations shall see and be ashamed of all their might;
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-they shall lay their hands on their mouths;
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-their ears shall be deaf;
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-17they shall lick the dust like a serpent,
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-like the crawling things of the earth;
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-they shall come trembling out of their strongholds;
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-they shall turn in dread to the LORD our God,
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-and they shall be in fear of you.
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-
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-God's Steadfast Love and Compassion
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-18Who is a God like you, pardoning iniquity
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-and passing over transgression
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-for the remnant of his inheritance?
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-He does not retain his anger forever,
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-because he delights in steadfast love.
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-19He will again have compassion on us;
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-he will tread our iniquities underfoot.
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-You will cast all our[24] sins
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-into the depths of the sea.
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-20You will show faithfulness to Jacob
-
-and steadfast love to Abraham,
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-as you have sworn to our fathers
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-from the days of old.
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-
-
-
-
-Footnotes
-
-
-[1] 1:2 Hebrew all of them
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-[2] 1:14 Or give dowry
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-[3] 2:3 The same Hebrew word can mean evil or disaster, depending on the context
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-[4] 2:7 Hebrew Has the spirit of the LORD grown short?
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-[5] 2:8 Or returning from war
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-[6] 3:2 Hebrew from off them
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-[7] 4:2 Or teaching
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-[8] 4:10 Or push
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-[9] 4:13 Hebrew devote to destruction
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-[10] 5:1 Ch 4:14 in Hebrew
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-[11] 5:1 That is, city
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-[12] 5:2 Ch 5:1 in Hebrew
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-[13] 6:7 Or Will the LORD accept
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-[14] 6:8 Or steadfast love
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-[15] 6:9 The meaning of the Hebrew is uncertain
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-[16] 6:10 Or Are there still treasures
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-[17] 6:12 Hebrew whose
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-[18] 6:16 Hebrew For the statutes of Omri are kept
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-[19] 6:16 Hebrew its
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-[20] 7:5 Hebrew bosom
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-[21] 7:12 Hebrew he
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-[22] 7:14 Hebrew of Carmel
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-[23] 7:15 Hebrew him
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-[24] 7:19 Hebrew their
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-
-
-
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-NAHUM
-
-
-Chapter 1
-
-Chapter 2
-
-Chapter 3
-
-
-
-
-
-1:1 An oracle concerning Nineveh. The book of the vision of Nahum of Elkosh.
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-
-
-
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-God's Wrath Against Nineveh
-
-
-2The LORD is a jealous and avenging God;
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-the LORD is avenging and wrathful;
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-the LORD takes vengeance on his adversaries
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-and keeps wrath for his enemies.
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-3The LORD is slow to anger and great in power,
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-and the LORD will by no means clear the guilty.
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-His way is in whirlwind and storm,
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-and the clouds are the dust of his feet.
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-4He rebukes the sea and makes it dry;
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-he dries up all the rivers;
-
-Bashan and Carmel wither;
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-the bloom of Lebanon withers.
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-5The mountains quake before him;
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-the hills melt;
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-the earth heaves before him,
-
-the world and all who dwell in it.
-
-6Who can stand before his indignation?
-
-Who can endure the heat of his anger?
-
-His wrath is poured out like fire,
-
-and the rocks are broken into pieces by him.
-
-7The LORD is good,
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-a stronghold in the day of trouble;
-
-he knows those who take refuge in him.
-
-8But with an overflowing flood
-
-he will make a complete end of the adversaries,[1]
-
-and will pursue his enemies into darkness.
-
-9What do you plot against the LORD?
-
-He will make a complete end;
-
-trouble will not rise up a second time.
-
-10For they are like entangled thorns,
-
-like drunkards as they drink;
-
-they are consumed like stubble fully dried.
-
-11From you came one
-
-who plotted evil against the LORD,
-
-a worthless counselor.
-
-12Thus says the LORD,
-
-“Though they are at full strength and many,
-
-they will be cut down and pass away.
-
-Though I have afflicted you,
-
-I will afflict you no more.
-
-13And now I will break his yoke from off you
-
-and will burst your bonds apart.”
-
-14The LORD has given commandment about you:
-
-“No more shall your name be perpetuated;
-
-from the house of your gods I will cut off
-
-the carved image and the metal image.
-
-I will make your grave, for you are vile.”
-
-15[2] Behold, upon the mountains, the feet of him
-
-who brings good news,
-
-who publishes peace!
-
-Keep your feasts, O Judah;
-
-fulfill your vows,
-
-for never again shall the worthless pass through you;
-
-he is utterly cut off.
-
-
-
-
-
-The Destruction of Nineveh
-
-
-2:1 The scatterer has come up against you.
-
-Man the ramparts;
-
-watch the road;
-
-dress for battle;[3]
-
-collect all your strength.
-
-2For the LORD is restoring the majesty of Jacob
-
-as the majesty of Israel,
-
-for plunderers have plundered them
-
-and ruined their branches.
-
-3The shield of his mighty men is red;
-
-his soldiers are clothed in scarlet.
-
-The chariots come with flashing metal
-
-on the day he musters them;
-
-the cypress spears are brandished.
-
-4The chariots race madly through the streets;
-
-they rush to and fro through the squares;
-
-they gleam like torches;
-
-they dart like lightning.
-
-5He remembers his officers;
-
-they stumble as they go,
-
-they hasten to the wall;
-
-the siege tower[4] is set up.
-
-6The river gates are opened;
-
-the palace melts away;
-
-7its mistress[5] is stripped;[6] she is carried off,
-
-her slave girls lamenting,
-
-moaning like doves
-
-and beating their breasts.
-
-8Nineveh is like a pool
-
-whose waters run away.[7]
-
-“Halt! Halt!” they cry,
-
-but none turns back.
-
-9Plunder the silver,
-
-plunder the gold!
-
-There is no end of the treasure
-
-or of the wealth of all precious things.
-
-10Desolate! Desolation and ruin!
-
-Hearts melt and knees tremble;
-
-anguish is in all loins;
-
-all faces grow pale!
-
-11Where is the lions' den,
-
-the feeding place of the young lions,
-
-where the lion and lioness went,
-
-where his cubs were, with none to disturb?
-
-12The lion tore enough for his cubs
-
-and strangled prey for his lionesses;
-
-he filled his caves with prey
-
-and his dens with torn flesh.
-
-13Behold, I am against you, declares the LORD of hosts, and I will burn your[8] chariots in smoke, and the sword shall devour your young lions. I will cut off your prey from the earth, and the voice of your messengers shall no longer be heard.
-
-
-
-
-
-Woe to Nineveh
-
-
-3:1 Woe to the bloody city,
-
-all full of lies and plunder—
-
-no end to the prey!
-
-2The crack of the whip, and rumble of the wheel,
-
-galloping horse and bounding chariot!
-
-3Horsemen charging,
-
-flashing sword and glittering spear,
-
-hosts of slain,
-
-heaps of corpses,
-
-dead bodies without end—
-
-they stumble over the bodies!
-
-4And all for the countless whorings of the prostitute,
-
-graceful and of deadly charms,
-
-who betrays nations with her whorings,
-
-and peoples with her charms.
-
-5Behold, I am against you,
-
-declares the LORD of hosts,
-
-and will lift up your skirts over your face;
-
-and I will make nations look at your nakedness
-
-and kingdoms at your shame.
-
-6I will throw filth at you
-
-and treat you with contempt
-
-and make you a spectacle.
-
-7And all who look at you will shrink from you and say,
-
-Wasted is Nineveh; who will grieve for her?
-
-Where shall I seek comforters for you?
-
-8Are you better than Thebes[9]
-
-that sat by the Nile,
-
-with water around her,
-
-her rampart a sea,
-
-and water her wall?
-
-9Cush was her strength;
-
-Egypt too, and that without limit;
-
-Put and the Libyans were her[10] helpers.
-
-10Yet she became an exile;
-
-she went into captivity;
-
-her infants were dashed in pieces
-
-at the head of every street;
-
-for her honored men lots were cast,
-
-and all her great men were bound in chains.
-
-11You also will be drunken;
-
-you will go into hiding;
-
-you will seek a refuge from the enemy.
-
-12All your fortresses are like fig trees
-
-with first-ripe figs—
-
-if shaken they fall
-
-into the mouth of the eater.
-
-13Behold, your troops
-
-are women in your midst.
-
-The gates of your land
-
-are wide open to your enemies;
-
-fire has devoured your bars.
-
-14Draw water for the siege;
-
-strengthen your forts;
-
-go into the clay;
-
-tread the mortar;
-
-take hold of the brick mold!
-
-15There will the fire devour you;
-
-the sword will cut you off.
-
-It will devour you like the locust.
-
-Multiply yourselves like the locust;
-
-multiply like the grasshopper!
-
-16You increased your merchants
-
-more than the stars of the heavens.
-
-The locust spreads its wings and flies away.
-
-17Your princes are like grasshoppers,
-
-your scribes[11] like clouds of locusts
-
-settling on the fences
-
-in a day of cold—
-
-when the sun rises, they fly away;
-
-no one knows where they are.
-
-18Your shepherds are asleep,
-
-O king of Assyria;
-
-your nobles slumber.
-
-Your people are scattered on the mountains
-
-with none to gather them.
-
-19There is no easing your hurt;
-
-your wound is grievous.
-
-All who hear the news about you
-
-clap their hands over you.
-
-For upon whom has not come
-
-your unceasing evil?
-
-
-
-
-
-Footnotes
-
-
-[1] 1:8 Hebrew of her place
-
-[2] 1:15 Ch 2:1 in Hebrew
-
-[3] 2:1 Hebrew gird your loins
-
-[4] 2:5 Or the mantelet
-
-[5] 2:7 The meaning of the Hebrew word rendered its mistress is uncertain
-
-[6] 2:7 Or exiled
-
-[7] 2:8 Compare Septuagint; the meaning of the Hebrew is uncertain
-
-[8] 2:13 Hebrew her
-
-[9] 3:8 Hebrew No-amon
-
-[10] 3:9 Hebrew your
-
-[11] 3:17 Or marshals
-
-
-
-
-
-HABAKKUK
-
-
-Chapter 1
-
-Chapter 2
-
-Chapter 3
-
-
-
-
-
-1:1 The oracle that Habakkuk the prophet saw.
-
-
-
-
-
-Habakkuk's Complaint
-
-
-2O LORD, how long shall I cry for help,
-
-and you will not hear?
-
-Or cry to you “Violence!”
-
-and you will not save?
-
-3Why do you make me see iniquity,
-
-and why do you idly look at wrong?
-
-Destruction and violence are before me;
-
-strife and contention arise.
-
-4So the law is paralyzed,
-
-and justice never goes forth.
-
-For the wicked surround the righteous;
-
-so justice goes forth perverted.
-
-
-
-
-
-The LORD's Answer
-
-
-5“Look among the nations, and see;
-
-wonder and be astounded.
-
-For I am doing a work in your days
-
-that you would not believe if told.
-
-6For behold, I am raising up the Chaldeans,
-
-that bitter and hasty nation,
-
-who march through the breadth of the earth,
-
-to seize dwellings not their own.
-
-7They are dreaded and fearsome;
-
-their justice and dignity go forth from themselves.
-
-8Their horses are swifter than leopards,
-
-more fierce than the evening wolves;
-
-their horsemen press proudly on.
-
-Their horsemen come from afar;
-
-they fly like an eagle swift to devour.
-
-9They all come for violence,
-
-all their faces forward.
-
-They gather captives like sand.
-
-10At kings they scoff,
-
-and at rulers they laugh.
-
-They laugh at every fortress,
-
-for they pile up earth and take it.
-
-11Then they sweep by like the wind and go on,
-
-guilty men, whose own might is their god!”
-
-
-
-
-
-Habakkuk's Second Complaint
-
-
-12Are you not from everlasting,
-
-O LORD my God, my Holy One?
-
-We shall not die.
-
-O LORD, you have ordained them as a judgment,
-
-and you, O Rock, have established them for reproof.
-
-13You who are of purer eyes than to see evil
-
-and cannot look at wrong,
-
-why do you idly look at traitors
-
-and remain silent when the wicked swallows up
-
-the man more righteous than he?
-
-14You make mankind like the fish of the sea,
-
-like crawling things that have no ruler.
-
-15He brings all of them up with a hook;
-
-he drags them out with his net;
-
-he gathers them in his dragnet;
-
-so he rejoices and is glad.
-
-16Therefore he sacrifices to his net
-
-and makes offerings to his dragnet;
-
-for by them he lives in luxury,[1]
-
-and his food is rich.
-
-17Is he then to keep on emptying his net
-
-and mercilessly killing nations forever?
-
-
-
-
-
-2:1 I will take my stand at my watchpost
-
-and station myself on the tower,
-
-and look out to see what he will say to me,
-
-and what I will answer concerning my complaint.
-
-
-
-
-
-The Righteous Shall Live by His Faith
-
-
-2And the LORD answered me:
-
-“Write the vision;
-
-make it plain on tablets,
-
-so he may run who reads it.
-
-3For still the vision awaits its appointed time;
-
-it hastens to the end—it will not lie.
-
-If it seems slow, wait for it;
-
-it will surely come; it will not delay.
-
-4“Behold, his soul is puffed up; it is not upright within him,
-
-but the righteous shall live by his faith.[2]
-
-5“Moreover, wine[3] is a traitor,
-
-an arrogant man who is never at rest.[4]
-
-His greed is as wide as Sheol;
-
-like death he has never enough.
-
-He gathers for himself all nations
-
-and collects as his own all peoples.”
-
-
-
-
-
-Woe to the Chaldeans
-
-
-6Shall not all these take up their taunt against him, with scoffing and riddles for him, and say,
-
-“Woe to him who heaps up what is not his own—
-
-for how long?—
-
-and loads himself with pledges!”
-
-7Will not your debtors suddenly arise,
-
-and those awake who will make you tremble?
-
-Then you will be spoil for them.
-
-8Because you have plundered many nations,
-
-all the remnant of the peoples shall plunder you,
-
-for the blood of man and violence to the earth,
-
-to cities and all who dwell in them.
-
-9“Woe to him who gets evil gain for his house,
-
-to set his nest on high,
-
-to be safe from the reach of harm!
-
-10You have devised shame for your house
-
-by cutting off many peoples;
-
-you have forfeited your life.
-
-11For the stone will cry out from the wall,
-
-and the beam from the woodwork respond.
-
-12“Woe to him who builds a town with blood
-
-and founds a city on iniquity!
-
-13Behold, is it not from the LORD of hosts
-
-that peoples labor merely for fire,
-
-and nations weary themselves for nothing?
-
-14For the earth will be filled
-
-with the knowledge of the glory of the LORD
-
-as the waters cover the sea.
-
-15“Woe to him who makes his neighbors drink—
-
-you pour out your wrath and make them drunk,
-
-in order to gaze at their nakedness!
-
-16You will have your fill of shame instead of glory.
-
-Drink, yourself, and show your uncircumcision!
-
-The cup in the LORD's right hand
-
-will come around to you,
-
-and utter shame will come upon your glory!
-
-17The violence done to Lebanon will overwhelm you,
-
-as will the destruction of the beasts that terrified them,
-
-for the blood of man and violence to the earth,
-
-to cities and all who dwell in them.
-
-18“What profit is an idol
-
-when its maker has shaped it,
-
-a metal image, a teacher of lies?
-
-For its maker trusts in his own creation
-
-when he makes speechless idols!
-
-19Woe to him who says to a wooden thing, Awake;
-
-to a silent stone, Arise!
-
-Can this teach?
-
-Behold, it is overlaid with gold and silver,
-
-and there is no breath at all in it.
-
-20But the LORD is in his holy temple;
-
-let all the earth keep silence before him.”
-
-
-
-
-
-Habakkuk's Prayer
-
-
-3:1 A prayer of Habakkuk the prophet, according to Shigionoth.
-
-2O LORD, I have heard the report of you,
-
-and your work, O LORD, do I fear.
-
-In the midst of the years revive it;
-
-in the midst of the years make it known;
-
-in wrath remember mercy.
-
-3God came from Teman,
-
-and the Holy One from Mount Paran.
-
-His splendor covered the heavens,
-
-and the earth was full of his praise. Selah
-
-4His brightness was like the light;
-
-rays flashed from his hand;
-
-and there he veiled his power.
-
-5Before him went pestilence,
-
-and plague followed at his heels.[5]
-
-6He stood and measured the earth;
-
-he looked and shook the nations;
-
-then the eternal mountains were scattered;
-
-the everlasting hills sank low.
-
-His were the everlasting ways.
-
-7I saw the tents of Cushan in affliction;
-
-the curtains of the land of Midian did tremble.
-
-8Was your wrath against the rivers, O LORD?
-
-Was your anger against the rivers,
-
-or your indignation against the sea,
-
-when you rode on your horses,
-
-on your chariot of salvation?
-
-9You stripped the sheath from your bow,
-
-calling for many arrows.[6] Selah
-
-You split the earth with rivers.
-
-10The mountains saw you and writhed;
-
-the raging waters swept on;
-
-the deep gave forth its voice;
-
-it lifted its hands on high.
-
-11The sun and moon stood still in their place
-
-at the light of your arrows as they sped,
-
-at the flash of your glittering spear.
-
-12You marched through the earth in fury;
-
-you threshed the nations in anger.
-
-13You went out for the salvation of your people,
-
-for the salvation of your anointed.
-
-You crushed the head of the house of the wicked,
-
-laying him bare from thigh to neck.[7] Selah
-
-14You pierced with his own arrows the heads of his warriors,
-
-who came like a whirlwind to scatter me,
-
-rejoicing as if to devour the poor in secret.
-
-15You trampled the sea with your horses,
-
-the surging of mighty waters.
-
-16I hear, and my body trembles;
-
-my lips quiver at the sound;
-
-rottenness enters into my bones;
-
-my legs tremble beneath me.
-
-Yet I will quietly wait for the day of trouble
-
-to come upon people who invade us.
-
-
-
-
-
-Habakkuk Rejoices in the LORD
-
-
-17Though the fig tree should not blossom,
-
-nor fruit be on the vines,
-
-the produce of the olive fail
-
-and the fields yield no food,
-
-the flock be cut off from the fold
-
-and there be no herd in the stalls,
-
-18yet I will rejoice in the LORD;
-
-I will take joy in the God of my salvation.
-
-19GOD, the Lord, is my strength;
-
-he makes my feet like the deer's;
-
-he makes me tread on my high places.
-
-To the choirmaster: with stringed[8] instruments.
-
-
-
-
-
-Footnotes
-
-
-[1] 1:16 Hebrew his portion is fat
-
-[2] 2:4 Or faithfulness
-
-[3] 2:5 Masoretic Text; Dead Sea Scroll wealth
-
-[4] 2:5 The meaning of the Hebrew of these two lines is uncertain
-
-[5] 3:5 Hebrew feet
-
-[6] 3:9 The meaning of the Hebrew line is uncertain
-
-[7] 3:13 The meaning of the Hebrew line is uncertain
-
-[8] 3:19 Hebrew my stringed
-
-
-
-
-
-ZEPHANIAH
-
-
-Chapter 1
-
-Chapter 2
-
-Chapter 3
-
-
-
-
-
-1:1 The word of the LORD that came to Zephaniah the son of Cushi, son of Gedaliah, son of Amariah, son of Hezekiah, in the days of Josiah the son of Amon, king of Judah.
-
-
-
-
-
-The Coming Judgment on Judah
-
-
-2“I will utterly sweep away everything
-
-from the face of the earth,” declares the LORD.
-
-3“I will sweep away man and beast;
-
-I will sweep away the birds of the heavens
-
-and the fish of the sea,
-
-and the rubble[1] with the wicked.
-
-I will cut off mankind
-
-from the face of the earth,” declares the LORD.
-
-4“I will stretch out my hand against Judah
-
-and against all the inhabitants of Jerusalem;
-
-and I will cut off from this place the remnant of Baal
-
-and the name of the idolatrous priests along with the priests,
-
-5those who bow down on the roofs
-
-to the host of the heavens,
-
-those who bow down and swear to the LORD
-
-and yet swear by Milcom,
-
-6those who have turned back from following the LORD,
-
-who do not seek the LORD or inquire of him.”
-
-
-
-
-
-The Day of the LORD Is Near
-
-
-7Be silent before the Lord GOD!
-
-For the day of the LORD is near;
-
-the LORD has prepared a sacrifice
-
-and consecrated his guests.
-
-8And on the day of the LORD's sacrifice—
-
-“I will punish the officials and the king's sons
-
-and all who array themselves in foreign attire.
-
-9On that day I will punish
-
-everyone who leaps over the threshold,
-
-and those who fill their master's[2] house
-
-with violence and fraud.
-
-10“On that day,” declares the LORD,
-
-“a cry will be heard from the Fish Gate,
-
-a wail from the Second Quarter,
-
-a loud crash from the hills.
-
-11Wail, O inhabitants of the Mortar!
-
-For all the traders[3] are no more;
-
-all who weigh out silver are cut off.
-
-12At that time I will search Jerusalem with lamps,
-
-and I will punish the men
-
-who are complacent,[4]
-
-those who say in their hearts,
-
-‘The LORD will not do good,
-
-nor will he do ill.’
-
-13Their goods shall be plundered,
-
-and their houses laid waste.
-
-Though they build houses,
-
-they shall not inhabit them;
-
-though they plant vineyards,
-
-they shall not drink wine from them.”
-
-14The great day of the LORD is near,
-
-near and hastening fast;
-
-the sound of the day of the LORD is bitter;
-
-the mighty man cries aloud there.
-
-15A day of wrath is that day,
-
-a day of distress and anguish,
-
-a day of ruin and devastation,
-
-a day of darkness and gloom,
-
-a day of clouds and thick darkness,
-
-16a day of trumpet blast and battle cry
-
-against the fortified cities
-
-and against the lofty battlements.
-
-17I will bring distress on mankind,
-
-so that they shall walk like the blind,
-
-because they have sinned against the LORD;
-
-their blood shall be poured out like dust,
-
-and their flesh like dung.
-
-18Neither their silver nor their gold
-
-shall be able to deliver them
-
-on the day of the wrath of the LORD.
-
-In the fire of his jealousy,
-
-all the earth shall be consumed;
-
-for a full and sudden end
-
-he will make of all the inhabitants of the earth.
-
-
-
-
-
-Judgment on Judah's Enemies
-
-
-2:1 Gather together, yes, gather,
-
-O shameless nation,
-
-2before the decree takes effect[5]
-
-—before the day passes away like chaff—
-
-before there comes upon you
-
-the burning anger of the LORD,
-
-before there comes upon you
-
-the day of the anger of the LORD.
-
-3Seek the LORD, all you humble of the land,
-
-who do his just commands;[6]
-
-seek righteousness; seek humility;
-
-perhaps you may be hidden
-
-on the day of the anger of the LORD.
-
-4For Gaza shall be deserted,
-
-and Ashkelon shall become a desolation;
-
-Ashdod's people shall be driven out at noon,
-
-and Ekron shall be uprooted.
-
-5Woe to you inhabitants of the seacoast,
-
-you nation of the Cherethites!
-
-The word of the LORD is against you,
-
-O Canaan, land of the Philistines;
-
-and I will destroy you until no inhabitant is left.
-
-6And you, O seacoast, shall be pastures,
-
-with meadows[7] for shepherds
-
-and folds for flocks.
-
-7The seacoast shall become the possession
-
-of the remnant of the house of Judah,
-
-on which they shall graze,
-
-and in the houses of Ashkelon
-
-they shall lie down at evening.
-
-For the LORD their God will be mindful of them
-
-and restore their fortunes.
-
-8“I have heard the taunts of Moab
-
-and the revilings of the Ammonites,
-
-how they have taunted my people
-
-and made boasts against their territory.
-
-9Therefore, as I live,” declares the LORD of hosts,
-
-the God of Israel,
-
-“Moab shall become like Sodom,
-
-and the Ammonites like Gomorrah,
-
-a land possessed by nettles and salt pits,
-
-and a waste forever.
-
-The remnant of my people shall plunder them,
-
-and the survivors of my nation shall possess them.”
-
-10This shall be their lot in return for their pride,
-
-because they taunted and boasted
-
-against the people of the LORD of hosts.
-
-11The LORD will be awesome against them;
-
-for he will famish all the gods of the earth,
-
-and to him shall bow down,
-
-each in its place,
-
-all the lands of the nations.
-
-12You also, O Cushites,
-
-shall be slain by my sword.
-
-13And he will stretch out his hand against the north
-
-and destroy Assyria,
-
-and he will make Nineveh a desolation,
-
-a dry waste like the desert.
-
-14Herds shall lie down in her midst,
-
-all kinds of beasts;[8]
-
-even the owl and the hedgehog[9]
-
-shall lodge in her capitals;
-
-a voice shall hoot in the window;
-
-devastation will be on the threshold;
-
-for her cedar work will be laid bare.
-
-15This is the exultant city
-
-that lived securely,
-
-that said in her heart,
-
-“I am, and there is no one else.”
-
-What a desolation she has become,
-
-a lair for wild beasts!
-
-Everyone who passes by her
-
-hisses and shakes his fist.
-
-
-
-
-
-Judgment on Jerusalem and the Nations
-
-
-3:1 Woe to her who is rebellious and defiled,
-
-the oppressing city!
-
-2She listens to no voice;
-
-she accepts no correction.
-
-She does not trust in the LORD;
-
-she does not draw near to her God.
-
-3Her officials within her
-
-are roaring lions;
-
-her judges are evening wolves
-
-that leave nothing till the morning.
-
-4Her prophets are fickle, treacherous men;
-
-her priests profane what is holy;
-
-they do violence to the law.
-
-5The LORD within her is righteous;
-
-he does no injustice;
-
-every morning he shows forth his justice;
-
-each dawn he does not fail;
-
-but the unjust knows no shame.
-
-6“I have cut off nations;
-
-their battlements are in ruins;
-
-I have laid waste their streets
-
-so that no one walks in them;
-
-their cities have been made desolate,
-
-without a man, without an inhabitant.
-
-7I said, ‘Surely you will fear me;
-
-you will accept correction.
-
-Then your[10] dwelling would not be cut off
-
-according to all that I have appointed against you.’[11]
-
-But all the more they were eager
-
-to make all their deeds corrupt.
-
-8“Therefore wait for me,” declares the LORD,
-
-“for the day when I rise up to seize the prey.
-
-For my decision is to gather nations,
-
-to assemble kingdoms,
-
-to pour out upon them my indignation,
-
-all my burning anger;
-
-for in the fire of my jealousy
-
-all the earth shall be consumed.
-
-
-
-
-
-The Conversion of the Nations
-
-
-9“For at that time I will change the speech of the peoples
-
-to a pure speech,
-
-that all of them may call upon the name of the LORD
-
-and serve him with one accord.
-
-10From beyond the rivers of Cush
-
-my worshipers, the daughter of my dispersed ones,
-
-shall bring my offering.
-
-11“On that day you shall not be put to shame
-
-because of the deeds by which you have rebelled against me;
-
-for then I will remove from your midst
-
-your proudly exultant ones,
-
-and you shall no longer be haughty
-
-in my holy mountain.
-
-12But I will leave in your midst
-
-a people humble and lowly.
-
-They shall seek refuge in the name of the LORD,
-
-13those who are left in Israel;
-
-they shall do no injustice
-
-and speak no lies,
-
-nor shall there be found in their mouth
-
-a deceitful tongue.
-
-For they shall graze and lie down,
-
-and none shall make them afraid.”
-
-
-
-
-
-Israel's Joy and Restoration
-
-
-14Sing aloud, O daughter of Zion;
-
-shout, O Israel!
-
-Rejoice and exult with all your heart,
-
-O daughter of Jerusalem!
-
-15The LORD has taken away the judgments against you;
-
-he has cleared away your enemies.
-
-The King of Israel, the LORD, is in your midst;
-
-you shall never again fear evil.
-
-16On that day it shall be said to Jerusalem:
-
-“Fear not, O Zion;
-
-let not your hands grow weak.
-
-17The LORD your God is in your midst,
-
-a mighty one who will save;
-
-he will rejoice over you with gladness;
-
-he will quiet you by his love;
-
-he will exult over you with loud singing.
-
-18I will gather those of you who mourn for the festival,
-
-so that you will no longer suffer reproach.[12]
-
-19Behold, at that time I will deal
-
-with all your oppressors.
-
-And I will save the lame
-
-and gather the outcast,
-
-and I will change their shame into praise
-
-and renown in all the earth.
-
-20At that time I will bring you in,
-
-at the time when I gather you together;
-
-for I will make you renowned and praised
-
-among all the peoples of the earth,
-
-when I restore your fortunes
-
-before your eyes,” says the LORD.
-
-
-
-
-
-Footnotes
-
-
-[1] 1:3 Or stumbling blocks (that is, idols)
-
-[2] 1:9 Or their Lord's
-
-[3] 1:11 Or all the people of Canaan
-
-[4] 1:12 Hebrew are thickening on the dregs [of their wine]
-
-[5] 2:2 Hebrew gives birth
-
-[6] 2:3 Or who carry out his judgment
-
-[7] 2:6 Or caves
-
-[8] 2:14 Hebrew beasts of every nation
-
-[9] 2:14 The identity of the animals rendered owl and hedgehog is uncertain
-
-[10] 3:7 Hebrew her
-
-[11] 3:7 Hebrew her
-
-[12] 3:18 The meaning of the Hebrew is uncertain
-
-
-
-
-
-HAGGAI
-
-
-Chapter 1
-
-Chapter 2
-
-
-
-
-
-The Command to Rebuild the Temple
-
-
-1:1 In the second year of Darius the king, in the sixth month, on the first day of the month, the word of the LORD came by the hand of Haggai the prophet to Zerubbabel the son of Shealtiel, governor of Judah, and to Joshua the son of Jehozadak, the high priest: 2“Thus says the LORD of hosts: These people say the time has not yet come to rebuild the house of the LORD.” 3Then the word of the LORD came by the hand of Haggai the prophet, 4“Is it a time for you yourselves to dwell in your paneled houses, while this house lies in ruins? 5Now, therefore, thus says the LORD of hosts: Consider your ways. 6You have sown much, and harvested little. You eat, but you never have enough; you drink, but you never have your fill. You clothe yourselves, but no one is warm. And he who earns wages does so to put them into a bag with holes.
-
-7“Thus says the LORD of hosts: Consider your ways. 8Go up to the hills and bring wood and build the house, that I may take pleasure in it and that I may be glorified, says the LORD. 9You looked for much, and behold, it came to little. And when you brought it home, I blew it away. Why? declares the LORD of hosts. Because of my house that lies in ruins, while each of you busies himself with his own house. 10Therefore the heavens above you have withheld the dew, and the earth has withheld its produce. 11And I have called for a drought on the land and the hills, on the grain, the new wine, the oil, on what the ground brings forth, on man and beast, and on all their labors.”
-
-
-
-
-
-The People Obey the LORD
-
-
-12Then Zerubbabel the son of Shealtiel, and Joshua the son of Jehozadak, the high priest, with all the remnant of the people, obeyed the voice of the LORD their God, and the words of Haggai the prophet, as the LORD their God had sent him. And the people feared the LORD. 13Then Haggai, the messenger of the LORD, spoke to the people with the LORD's message, “I am with you, declares the LORD.” 14And the LORD stirred up the spirit of Zerubbabel the son of Shealtiel, governor of Judah, and the spirit of Joshua the son of Jehozadak, the high priest, and the spirit of all the remnant of the people. And they came and worked on the house of the LORD of hosts, their God, 15on the twenty-fourth day of the month, in the sixth month, in the second year of Darius the king.
-
-
-
-
-
-The Coming Glory of the Temple
-
-
-2:1 In the seventh month, on the twenty-first day of the month, the word of the LORD came by the hand of Haggai the prophet, 2“Speak now to Zerubbabel the son of Shealtiel, governor of Judah, and to Joshua the son of Jehozadak, the high priest, and to all the remnant of the people, and say, 3‘Who is left among you who saw this house in its former glory? How do you see it now? Is it not as nothing in your eyes? 4Yet now be strong, O Zerubbabel, declares the LORD. Be strong, O Joshua, son of Jehozadak, the high priest. Be strong, all you people of the land, declares the LORD. Work, for I am with you, declares the LORD of hosts, 5according to the covenant that I made with you when you came out of Egypt. My Spirit remains in your midst. Fear not. 6For thus says the LORD of hosts: Yet once more, in a little while, I will shake the heavens and the earth and the sea and the dry land. 7And I will shake all nations, so that the treasures of all nations shall come in, and I will fill this house with glory, says the LORD of hosts. 8The silver is mine, and the gold is mine, declares the LORD of hosts. 9The latter glory of this house shall be greater than the former, says the LORD of hosts. And in this place I will give peace, declares the LORD of hosts.’”
-
-
-
-
-
-Blessings for a Defiled People
-
-
-10On the twenty-fourth day of the ninth month, in the second year of Darius, the word of the LORD came by Haggai the prophet, 11“Thus says the LORD of hosts: Ask the priests about the law: 12‘If someone carries holy meat in the fold of his garment and touches with his fold bread or stew or wine or oil or any kind of food, does it become holy?’” The priests answered and said, “No.” 13Then Haggai said, “If someone who is unclean by contact with a dead body touches any of these, does it become unclean?” The priests answered and said, “It does become unclean.” 14Then Haggai answered and said, “So is it with this people, and with this nation before me, declares the LORD, and so with every work of their hands. And what they offer there is unclean. 15Now then, consider from this day onward.[1] Before stone was placed upon stone in the temple of the LORD, 16how did you fare? When[2] one came to a heap of twenty measures, there were but ten. When one came to the wine vat to draw fifty measures, there were but twenty. 17I struck you and all the products of your toil with blight and with mildew and with hail, yet you did not turn to me, declares the LORD. 18Consider from this day onward, from the twenty-fourth day of the ninth month. Since the day that the foundation of the LORD's temple was laid, consider: 19Is the seed yet in the barn? Indeed, the vine, the fig tree, the pomegranate, and the olive tree have yielded nothing. But from this day on I will bless you.”
-
-
-
-
-
-Zerubbabel Chosen as a Signet
-
-
-20The word of the LORD came a second time to Haggai on the twenty-fourth day of the month, 21“Speak to Zerubbabel, governor of Judah, saying, I am about to shake the heavens and the earth, 22and to overthrow the throne of kingdoms. I am about to destroy the strength of the kingdoms of the nations, and overthrow the chariots and their riders. And the horses and their riders shall go down, every one by the sword of his brother. 23On that day, declares the LORD of hosts, I will take you, O Zerubbabel my servant, the son of Shealtiel, declares the LORD, and make you like a[3] signet ring, for I have chosen you, declares the LORD of hosts.”
-
-
-
-
-
-Footnotes
-
-
-[1] 2:15 Or backward; also verse 18
-
-[2] 2:16 Probable reading (compare Septuagint); Hebrew LORD, since they were. When
-
-[3] 2:23 Hebrew the
-
-
-
-
-
-ZECHARIAH
-
-
-Chapter 1
-
-Chapter 2
-
-Chapter 3
-
-Chapter 4
-
-Chapter 5
-
-Chapter 6
-
-Chapter 7
-
-Chapter 8
-
-Chapter 9
-
-Chapter 10
-
-Chapter 11
-
-Chapter 12
-
-Chapter 13
-
-Chapter 14
-
-
-
-
-
-A Call to Return to the LORD
-
-
-1:1 In the eighth month, in the second year of Darius, the word of the LORD came to the prophet Zechariah, the son of Berechiah, son of Iddo, saying, 2“The LORD was very angry with your fathers. 3Therefore say to them, Thus declares the LORD of hosts: Return to me, says the LORD of hosts, and I will return to you, says the LORD of hosts. 4Do not be like your fathers, to whom the former prophets cried out, ‘Thus says the LORD of hosts, Return from your evil ways and from your evil deeds.’ But they did not hear or pay attention to me, declares the LORD. 5Your fathers, where are they? And the prophets, do they live forever? 6But my words and my statutes, which I commanded my servants the prophets, did they not overtake your fathers? So they repented and said, As the LORD of hosts purposed to deal with us for our ways and deeds, so has he dealt with us.”
-
-
-
-
-
-A Vision of a Horseman
-
-
-7On the twenty-fourth day of the eleventh month, which is the month of Shebat, in the second year of Darius, the word of the LORD came to the prophet Zechariah, the son of Berechiah, son of Iddo, saying, 8“I saw in the night, and behold, a man riding on a red horse! He was standing among the myrtle trees in the glen, and behind him were red, sorrel, and white horses. 9Then I said, ‘What are these, my lord?’ The angel who talked with me said to me, ‘I will show you what they are.’ 10So the man who was standing among the myrtle trees answered, ‘These are they whom the LORD has sent to patrol the earth.’ 11And they answered the angel of the LORD who was standing among the myrtle trees, and said, ‘We have patrolled the earth, and behold, all the earth remains at rest.’ 12Then the angel of the LORD said, ‘O LORD of hosts, how long will you have no mercy on Jerusalem and the cities of Judah, against which you have been angry these seventy years?’ 13And the LORD answered gracious and comforting words to the angel who talked with me. 14So the angel who talked with me said to me, ‘Cry out, Thus says the LORD of hosts: I am exceedingly jealous for Jerusalem and for Zion. 15And I am exceedingly angry with the nations that are at ease; for while I was angry but a little, they furthered the disaster. 16Therefore, thus says the LORD, I have returned to Jerusalem with mercy; my house shall be built in it, declares the LORD of hosts, and the measuring line shall be stretched out over Jerusalem. 17Cry out again, Thus says the LORD of hosts: My cities shall again overflow with prosperity, and the LORD will again comfort Zion and again choose Jerusalem.’”
-
-
-
-
-
-A Vision of Horns and Craftsmen
-
-
-18[1] And I lifted my eyes and saw, and behold, four horns! 19And I said to the angel who talked with me, “What are these?” And he said to me, “These are the horns that have scattered Judah, Israel, and Jerusalem.” 20Then the LORD showed me four craftsmen. 21And I said, “What are these coming to do?” He said, “These are the horns that scattered Judah, so that no one raised his head. And these have come to terrify them, to cast down the horns of the nations who lifted up their horns against the land of Judah to scatter it.”
-
-
-
-
-
-A Vision of a Man with a Measuring Line
-
-
-2:1 [2] And I lifted my eyes and saw, and behold, a man with a measuring line in his hand! 2Then I said, “Where are you going?” And he said to me, “To measure Jerusalem, to see what is its width and what is its length.” 3And behold, the angel who talked with me came forward, and another angel came forward to meet him 4and said to him, “Run, say to that young man, ‘Jerusalem shall be inhabited as villages without walls, because of the multitude of people and livestock in it. 5And I will be to her a wall of fire all around, declares the LORD, and I will be the glory in her midst.’”
-
-6Up! Up! Flee from the land of the north, declares the LORD. For I have spread you abroad as the four winds of the heavens, declares the LORD. 7Up! Escape to Zion, you who dwell with the daughter of Babylon. 8For thus said the LORD of hosts, after his glory sent me[3] to the nations who plundered you, for he who touches you touches the apple of his eye: 9“Behold, I will shake my hand over them, and they shall become plunder for those who served them. Then you will know that the LORD of hosts has sent me. 10Sing and rejoice, O daughter of Zion, for behold, I come and I will dwell in your midst, declares the LORD. 11And many nations shall join themselves to the LORD in that day, and shall be my people. And I will dwell in your midst, and you shall know that the LORD of hosts has sent me to you. 12And the LORD will inherit Judah as his portion in the holy land, and will again choose Jerusalem.”
-
-13Be silent, all flesh, before the LORD, for he has roused himself from his holy dwelling.
-
-
-
-
-
-A Vision of Joshua the High Priest
-
-
-3:1 Then he showed me Joshua the high priest standing before the angel of the LORD, and Satan[4] standing at his right hand to accuse him. 2And the LORD said to Satan, “The LORD rebuke you, O Satan! The LORD who has chosen Jerusalem rebuke you! Is not this a brand[5] plucked from the fire?” 3Now Joshua was standing before the angel, clothed with filthy garments. 4And the angel said to those who were standing before him, “Remove the filthy garments from him.” And to him he said, “Behold, I have taken your iniquity away from you, and I will clothe you with pure vestments.” 5And I said, “Let them put a clean turban on his head.” So they put a clean turban on his head and clothed him with garments. And the angel of the LORD was standing by.
-
-6And the angel of the LORD solemnly assured Joshua, 7“Thus says the LORD of hosts: If you will walk in my ways and keep my charge, then you shall rule my house and have charge of my courts, and I will give you the right of access among those who are standing here. 8Hear now, O Joshua the high priest, you and your friends who sit before you, for they are men who are a sign: behold, I will bring my servant the Branch. 9For behold, on the stone that I have set before Joshua, on a single stone with seven eyes,[6] I will engrave its inscription, declares the LORD of hosts, and I will remove the iniquity of this land in a single day. 10In that day, declares the LORD of hosts, every one of you will invite his neighbor to come under his vine and under his fig tree.”
-
-
-
-
-
-A Vision of a Golden Lampstand
-
-
-4:1 And the angel who talked with me came again and woke me, like a man who is awakened out of his sleep. 2And he said to me, “What do you see?” I said, “I see, and behold, a lampstand all of gold, with a bowl on the top of it, and seven lamps on it, with seven lips on each of the lamps that are on the top of it. 3And there are two olive trees by it, one on the right of the bowl and the other on its left.” 4And I said to the angel who talked with me, “What are these, my lord?” 5Then the angel who talked with me answered and said to me, “Do you not know what these are?” I said, “No, my lord.” 6Then he said to me, “This is the word of the LORD to Zerubbabel: Not by might, nor by power, but by my Spirit, says the LORD of hosts. 7Who are you, O great mountain? Before Zerubbabel you shall become a plain. And he shall bring forward the top stone amid shouts of ‘Grace, grace to it!’”
-
-8Then the word of the LORD came to me, saying, 9“The hands of Zerubbabel have laid the foundation of this house; his hands shall also complete it. Then you will know that the LORD of hosts has sent me to you. 10For whoever has despised the day of small things shall rejoice, and shall see the plumb line in the hand of Zerubbabel.
-
-“These seven are the eyes of the LORD, which range through the whole earth.” 11Then I said to him, “What are these two olive trees on the right and the left of the lampstand?” 12And a second time I answered and said to him, “What are these two branches of the olive trees, which are beside the two golden pipes from which the golden oil[7] is poured out?” 13He said to me, “Do you not know what these are?” I said, “No, my lord.” 14Then he said, “These are the two anointed ones[8] who stand by the Lord of the whole earth.”
-
-
-
-
-
-A Vision of a Flying Scroll
-
-
-5:1 Again I lifted my eyes and saw, and behold, a flying scroll! 2And he said to me, “What do you see?” I answered, “I see a flying scroll. Its length is twenty cubits, and its width ten cubits.”[9] 3Then he said to me, “This is the curse that goes out over the face of the whole land. For everyone who steals shall be cleaned out according to what is on one side, and everyone who swears falsely[10] shall be cleaned out according to what is on the other side. 4I will send it out, declares the LORD of hosts, and it shall enter the house of the thief, and the house of him who swears falsely by my name. And it shall remain in his house and consume it, both timber and stones.”
-
-
-
-
-
-A Vision of a Woman in a Basket
-
-
-5Then the angel who talked with me came forward and said to me, “Lift your eyes and see what this is that is going out.” 6And I said, “What is it?” He said, “This is the basket[11] that is going out.” And he said, “This is their iniquity[12] in all the land.” 7And behold, the leaden cover was lifted, and there was a woman sitting in the basket! 8And he said, “This is Wickedness.” And he thrust her back into the basket, and thrust down the leaden weight on its opening.
-
-9Then I lifted my eyes and saw, and behold, two women coming forward! The wind was in their wings. They had wings like the wings of a stork, and they lifted up the basket between earth and heaven. 10Then I said to the angel who talked with me, “Where are they taking the basket?” 11He said to me, “To the land of Shinar, to build a house for it. And when this is prepared, they will set the basket down there on its base.”
-
-
-
-
-
-A Vision of Four Chariots
-
-
-6:1 Again I lifted my eyes and saw, and behold, four chariots came out from between two mountains. And the mountains were mountains of bronze. 2The first chariot had red horses, the second black horses, 3the third white horses, and the fourth chariot dappled horses—all of them strong.[13] 4Then I answered and said to the angel who talked with me, “What are these, my lord?” 5And the angel answered and said to me, “These are going out to the four winds of heaven, after presenting themselves before the LORD of all the earth. 6The chariot with the black horses goes toward the north country, the white ones go after them, and the dappled ones go toward the south country.” 7When the strong horses came out, they were impatient to go and patrol the earth. And he said, “Go, patrol the earth.” So they patrolled the earth. 8Then he cried to me, “Behold, those who go toward the north country have set my Spirit at rest in the north country.”
-
-
-
-
-
-The Crown and the Temple
-
-
-9And the word of the LORD came to me: 10“Take from the exiles Heldai, Tobijah, and Jedaiah, who have arrived from Babylon, and go the same day to the house of Josiah, the son of Zephaniah. 11Take from them silver and gold, and make a crown, and set it on the head of Joshua, the son of Jehozadak, the high priest. 12And say to him, ‘Thus says the LORD of hosts, “Behold, the man whose name is the Branch: for he shall branch out from his place, and he shall build the temple of the LORD. 13It is he who shall build the temple of the LORD and shall bear royal honor, and shall sit and rule on his throne. And there shall be a priest on his throne, and the counsel of peace shall be between them both.”’ 14And the crown shall be in the temple of the LORD as a reminder to Helem,[14] Tobijah, Jedaiah, and Hen the son of Zephaniah.
-
-15“And those who are far off shall come and help to build the temple of the LORD. And you shall know that the LORD of hosts has sent me to you. And this shall come to pass, if you will diligently obey the voice of the LORD your God.”
-
-
-
-
-
-A Call for Justice and Mercy
-
-
-7:1 In the fourth year of King Darius, the word of the LORD came to Zechariah on the fourth day of the ninth month, which is Chislev. 2Now the people of Bethel had sent Sharezer and Regem-melech and their men to entreat the favor of the LORD, 3saying to the priests of the house of the LORD of hosts and the prophets, “Should I weep and abstain in the fifth month, as I have done for so many years?”
-
-4Then the word of the LORD of hosts came to me: 5“Say to all the people of the land and the priests, When you fasted and mourned in the fifth month and in the seventh, for these seventy years, was it for me that you fasted? 6And when you eat and when you drink, do you not eat for yourselves and drink for yourselves? 7Were not these the words that the LORD proclaimed by the former prophets, when Jerusalem was inhabited and prosperous, with her cities around her, and the South and the lowland were inhabited?”
-
-8And the word of the LORD came to Zechariah, saying, 9“Thus says the LORD of hosts, Render true judgments, show kindness and mercy to one another, 10do not oppress the widow, the fatherless, the sojourner, or the poor, and let none of you devise evil against another in your heart.” 11But they refused to pay attention and turned a stubborn shoulder and stopped their ears that they might not hear.[15] 12They made their hearts diamond-hard lest they should hear the law and the words that the LORD of hosts had sent by his Spirit through the former prophets. Therefore great anger came from the LORD of hosts. 13“As I[16] called, and they would not hear, so they called, and I would not hear,” says the LORD of hosts, 14“and I scattered them with a whirlwind among all the nations that they had not known. Thus the land they left was desolate, so that no one went to and fro, and the pleasant land was made desolate.”
-
-
-
-
-
-The Coming Peace and Prosperity of Zion
-
-
-8:1 And the word of the LORD of hosts came, saying, 2“Thus says the LORD of hosts: I am jealous for Zion with great jealousy, and I am jealous for her with great wrath. 3Thus says the LORD: I have returned to Zion and will dwell in the midst of Jerusalem, and Jerusalem shall be called the faithful city, and the mountain of the LORD of hosts, the holy mountain. 4Thus says the LORD of hosts: Old men and old women shall again sit in the streets of Jerusalem, each with staff in hand because of great age. 5And the streets of the city shall be full of boys and girls playing in its streets. 6Thus says the LORD of hosts: If it is marvelous in the sight of the remnant of this people in those days, should it also be marvelous in my sight, declares the LORD of hosts? 7Thus says the LORD of hosts: behold, I will save my people from the east country and from the west country, 8and I will bring them to dwell in the midst of Jerusalem. And they shall be my people, and I will be their God, in faithfulness and in righteousness.”
-
-9Thus says the LORD of hosts: “Let your hands be strong, you who in these days have been hearing these words from the mouth of the prophets who were present on the day that the foundation of the house of the LORD of hosts was laid, that the temple might be built. 10For before those days there was no wage for man or any wage for beast, neither was there any safety from the foe for him who went out or came in, for I set every man against his neighbor. 11But now I will not deal with the remnant of this people as in the former days, declares the LORD of hosts. 12For there shall be a sowing of peace. The vine shall give its fruit, and the ground shall give its produce, and the heavens shall give their dew. And I will cause the remnant of this people to possess all these things. 13And as you have been a byword of cursing among the nations, O house of Judah and house of Israel, so will I save you, and you shall be a blessing. Fear not, but let your hands be strong.”
-
-14For thus says the LORD of hosts: “As I purposed to bring disaster to you when your fathers provoked me to wrath, and I did not relent, says the LORD of hosts, 15so again have I purposed in these days to bring good to Jerusalem and to the house of Judah; fear not. 16These are the things that you shall do: Speak the truth to one another; render in your gates judgments that are true and make for peace; 17do not devise evil in your hearts against one another, and love no false oath, for all these things I hate, declares the LORD.”
-
-18And the word of the LORD of hosts came to me, saying, 19“Thus says the LORD of hosts: The fast of the fourth month and the fast of the fifth and the fast of the seventh and the fast of the tenth shall be to the house of Judah seasons of joy and gladness and cheerful feasts. Therefore love truth and peace.
-
-20“Thus says the LORD of hosts: Peoples shall yet come, even the inhabitants of many cities. 21The inhabitants of one city shall go to another, saying, ‘Let us go at once to entreat the favor of the LORD and to seek the LORD of hosts; I myself am going.’ 22Many peoples and strong nations shall come to seek the LORD of hosts in Jerusalem and to entreat the favor of the LORD. 23Thus says the LORD of hosts: In those days ten men from the nations of every tongue shall take hold of the robe of a Jew, saying, ‘Let us go with you, for we have heard that God is with you.’”
-
-
-
-
-
-Judgment on Israel's Enemies
-
-
-9:1 The burden of the word of the LORD is against the land of Hadrach
-
-and Damascus is its resting place.
-
-For the LORD has an eye on mankind
-
-and on all the tribes of Israel,[17]
-
-2and on Hamath also, which borders on it,
-
-Tyre and Sidon, though they are very wise.
-
-3Tyre has built herself a rampart
-
-and heaped up silver like dust,
-
-and fine gold like the mud of the streets.
-
-4But behold, the Lord will strip her of her possessions
-
-and strike down her power on the sea,
-
-and she shall be devoured by fire.
-
-5Ashkelon shall see it, and be afraid;
-
-Gaza too, and shall writhe in anguish;
-
-Ekron also, because its hopes are confounded.
-
-The king shall perish from Gaza;
-
-Ashkelon shall be uninhabited;
-
-6a mixed people[18] shall dwell in Ashdod,
-
-and I will cut off the pride of Philistia.
-
-7I will take away its blood from its mouth,
-
-and its abominations from between its teeth;
-
-it too shall be a remnant for our God;
-
-it shall be like a clan in Judah,
-
-and Ekron shall be like the Jebusites.
-
-8Then I will encamp at my house as a guard,
-
-so that none shall march to and fro;
-
-no oppressor shall again march over them,
-
-for now I see with my own eyes.
-
-
-
-
-
-The Coming King of Zion
-
-
-9Rejoice greatly, O daughter of Zion!
-
-Shout aloud, O daughter of Jerusalem!
-
-Behold, your king is coming to you;
-
-righteous and having salvation is he,
-
-humble and mounted on a donkey,
-
-on a colt, the foal of a donkey.
-
-10I will cut off the chariot from Ephraim
-
-and the war horse from Jerusalem;
-
-and the battle bow shall be cut off,
-
-and he shall speak peace to the nations;
-
-his rule shall be from sea to sea,
-
-and from the River to the ends of the earth.
-
-11As for you also, because of the blood of my covenant with you,
-
-I will set your prisoners free from the waterless pit.
-
-12Return to your stronghold, O prisoners of hope;
-
-today I declare that I will restore to you double.
-
-13For I have bent Judah as my bow;
-
-I have made Ephraim its arrow.
-
-I will stir up your sons, O Zion,
-
-against your sons, O Greece,
-
-and wield you like a warrior's sword.
-
-
-
-
-
-The LORD Will Save His People
-
-
-14Then the LORD will appear over them,
-
-and his arrow will go forth like lightning;
-
-the Lord GOD will sound the trumpet
-
-and will march forth in the whirlwinds of the south.
-
-15The LORD of hosts will protect them,
-
-and they shall devour, and tread down the sling stones,
-
-and they shall drink and roar as if drunk with wine,
-
-and be full like a bowl,
-
-drenched like the corners of the altar.
-
-16On that day the LORD their God will save them,
-
-as the flock of his people;
-
-for like the jewels of a crown
-
-they shall shine on his land.
-
-17For how great is his goodness, and how great his beauty!
-
-Grain shall make the young men flourish,
-
-and new wine the young women.
-
-
-
-
-
-The Restoration for Judah and Israel
-
-
-10:1 Ask rain from the LORD
-
-in the season of the spring rain,
-
-from the LORD who makes the storm clouds,
-
-and he will give them showers of rain,
-
-to everyone the vegetation in the field.
-
-2For the household gods utter nonsense,
-
-and the diviners see lies;
-
-they tell false dreams
-
-and give empty consolation.
-
-Therefore the people wander like sheep;
-
-they are afflicted for lack of a shepherd.
-
-3“My anger is hot against the shepherds,
-
-and I will punish the leaders;[19]
-
-for the LORD of hosts cares for his flock, the house of Judah,
-
-and will make them like his majestic steed in battle.
-
-4From him shall come the cornerstone,
-
-from him the tent peg,
-
-from him the battle bow,
-
-from him every ruler—all of them together.
-
-5They shall be like mighty men in battle,
-
-trampling the foe in the mud of the streets;
-
-they shall fight because the LORD is with them,
-
-and they shall put to shame the riders on horses.
-
-6“I will strengthen the house of Judah,
-
-and I will save the house of Joseph.
-
-I will bring them back because I have compassion on them,
-
-and they shall be as though I had not rejected them,
-
-for I am the LORD their God and I will answer them.
-
-7Then Ephraim shall become like a mighty warrior,
-
-and their hearts shall be glad as with wine.
-
-Their children shall see it and be glad;
-
-their hearts shall rejoice in the LORD.
-
-8“I will whistle for them and gather them in,
-
-for I have redeemed them,
-
-and they shall be as many as they were before.
-
-9Though I scattered them among the nations,
-
-yet in far countries they shall remember me,
-
-and with their children they shall live and return.
-
-10I will bring them home from the land of Egypt,
-
-and gather them from Assyria,
-
-and I will bring them to the land of Gilead and to Lebanon,
-
-till there is no room for them.
-
-11He shall pass through the sea of troubles
-
-and strike down the waves of the sea,
-
-and all the depths of the Nile shall be dried up.
-
-The pride of Assyria shall be laid low,
-
-and the scepter of Egypt shall depart.
-
-12I will make them strong in the LORD,
-
-and they shall walk in his name,”
-
-declares the LORD.
-
-
-
-
-
-The Flock Doomed to Slaughter
-
-
-11:1 Open your doors, O Lebanon,
-
-that the fire may devour your cedars!
-
-2Wail, O cypress, for the cedar has fallen,
-
-for the glorious trees are ruined!
-
-Wail, oaks of Bashan,
-
-for the thick forest has been felled!
-
-3The sound of the wail of the shepherds,
-
-for their glory is ruined!
-
-The sound of the roar of the lions,
-
-for the thicket of the Jordan is ruined!
-
-4Thus said the LORD my God: “Become shepherd of the flock doomed to slaughter. 5Those who buy them slaughter them and go unpunished, and those who sell them say, ‘Blessed be the LORD, I have become rich,’ and their own shepherds have no pity on them. 6For I will no longer have pity on the inhabitants of this land, declares the LORD. Behold, I will cause each of them to fall into the hand of his neighbor, and each into the hand of his king, and they shall crush the land, and I will deliver none from their hand.”
-
-7So I became the shepherd of the flock doomed to be slaughtered by the sheep traders. And I took two staffs, one I named Favor, the other I named Union. And I tended the sheep. 8In one month I destroyed the three shepherds. But I became impatient with them, and they also detested me. 9So I said, “I will not be your shepherd. What is to die, let it die. What is to be destroyed, let it be destroyed. And let those who are left devour the flesh of one another.” 10And I took my staff Favor, and I broke it, annulling the covenant that I had made with all the peoples. 11So it was annulled on that day, and the sheep traders, who were watching me, knew that it was the word of the LORD. 12Then I said to them, “If it seems good to you, give me my wages; but if not, keep them.” And they weighed out as my wages thirty pieces of silver. 13Then the LORD said to me, “Throw it to the potter”—the lordly price at which I was priced by them. So I took the thirty pieces of silver and threw them into the house of the LORD, to the potter. 14Then I broke my second staff Union, annulling the brotherhood between Judah and Israel.
-
-15Then the LORD said to me, “Take once more the equipment of a foolish shepherd. 16For behold, I am raising up in the land a shepherd who does not care for those being destroyed, or seek the young or heal the maimed or nourish the healthy, but devours the flesh of the fat ones, tearing off even their hoofs.
-
-17“Woe to my worthless shepherd,
-
-who deserts the flock!
-
-May the sword strike his arm
-
-and his right eye!
-
-Let his arm be wholly withered,
-
-his right eye utterly blinded!”
-
-
-
-
-
-The LORD Will Give Salvation
-
-
-12:1 The burden of the word of the LORD concerning Israel: Thus declares the LORD, who stretched out the heavens and founded the earth and formed the spirit of man within him: 2“Behold, I am about to make Jerusalem a cup of staggering to all the surrounding peoples. The siege of Jerusalem will also be against Judah. 3On that day I will make Jerusalem a heavy stone for all the peoples. All who lift it will surely hurt themselves. And all the nations of the earth will gather against it. 4On that day, declares the LORD, I will strike every horse with panic, and its rider with madness. But for the sake of the house of Judah I will keep my eyes open, when I strike every horse of the peoples with blindness. 5Then the clans of Judah shall say to themselves, ‘The inhabitants of Jerusalem have strength through the LORD of hosts, their God.’
-
-6“On that day I will make the clans of Judah like a blazing pot in the midst of wood, like a flaming torch among sheaves. And they shall devour to the right and to the left all the surrounding peoples, while Jerusalem shall again be inhabited in its place, in Jerusalem.
-
-7“And the LORD will give salvation to the tents of Judah first, that the glory of the house of David and the glory of the inhabitants of Jerusalem may not surpass that of Judah. 8On that day the LORD will protect the inhabitants of Jerusalem, so that the feeblest among them on that day shall be like David, and the house of David shall be like God, like the angel of the LORD, going before them. 9And on that day I will seek to destroy all the nations that come against Jerusalem.
-
-
-
-
-
-Him Whom They Have Pierced
-
-
-10“And I will pour out on the house of David and the inhabitants of Jerusalem a spirit of grace and pleas for mercy, so that, when they look on me, on him whom they have pierced, they shall mourn for him, as one mourns for an only child, and weep bitterly over him, as one weeps over a firstborn. 11On that day the mourning in Jerusalem will be as great as the mourning for Hadad-rimmon in the plain of Megiddo. 12The land shall mourn, each family[20] by itself: the family of the house of David by itself, and their wives by themselves; the family of the house of Nathan by itself, and their wives by themselves; 13the family of the house of Levi by itself, and their wives by themselves; the family of the Shimeites by itself, and their wives by themselves; 14and all the families that are left, each by itself, and their wives by themselves.
-
-
-
-
-
-13:1 “On that day there shall be a fountain opened for the house of David and the inhabitants of Jerusalem, to cleanse them from sin and uncleanness.
-
-
-
-
-
-Idolatry Cut Off
-
-
-2“And on that day, declares the LORD of hosts, I will cut off the names of the idols from the land, so that they shall be remembered no more. And also I will remove from the land the prophets and the spirit of uncleanness. 3And if anyone again prophesies, his father and mother who bore him will say to him, ‘You shall not live, for you speak lies in the name of the LORD.’ And his father and mother who bore him shall pierce him through when he prophesies.
-
-4“On that day every prophet will be ashamed of his vision when he prophesies. He will not put on a hairy cloak in order to deceive, 5but he will say, ‘I am no prophet, I am a worker of the soil, for a man sold me in my youth.’[21] 6And if one asks him, ‘What are these wounds on your back?’[22] he will say, ‘The wounds I received in the house of my friends.’
-
-
-
-
-
-The Shepherd Struck
-
-
-7“Awake, O sword, against my shepherd,
-
-against the man who stands next to me,”
-
-declares the LORD of hosts.
-
-“Strike the shepherd, and the sheep will be scattered;
-
-I will turn my hand against the little ones.
-
-8In the whole land, declares the LORD,
-
-two thirds shall be cut off and perish,
-
-and one third shall be left alive.
-
-9And I will put this third into the fire,
-
-and refine them as one refines silver,
-
-and test them as gold is tested.
-
-They will call upon my name,
-
-and I will answer them.
-
-I will say, ‘They are my people’;
-
-and they will say, ‘The LORD is my God.’”
-
-
-
-
-
-The Coming Day of the LORD
-
-
-14:1 Behold, a day is coming for the LORD, when the spoil taken from you will be divided in your midst. 2For I will gather all the nations against Jerusalem to battle, and the city shall be taken and the houses plundered and the women raped. Half of the city shall go out into exile, but the rest of the people shall not be cut off from the city. 3Then the LORD will go out and fight against those nations as when he fights on a day of battle. 4On that day his feet shall stand on the Mount of Olives that lies before Jerusalem on the east, and the Mount of Olives shall be split in two from east to west by a very wide valley, so that one half of the Mount shall move northward, and the other half southward. 5And you shall flee to the valley of my mountains, for the valley of the mountains shall reach to Azal. And you shall flee as you fled from the earthquake in the days of Uzziah king of Judah. Then the LORD my God will come, and all the holy ones with him.
-
-6On that day there shall be no light, cold, or frost.[23] 7And there shall be a unique[24] day, which is known to the LORD, neither day nor night, but at evening time there shall be light.
-
-8On that day living waters shall flow out from Jerusalem, half of them to the eastern sea[25] and half of them to the western sea.[26] It shall continue in summer as in winter.
-
-9And the LORD will be king over all the earth. On that day the LORD will be one and his name one.
-
-10The whole land shall be turned into a plain from Geba to Rimmon south of Jerusalem. But Jerusalem shall remain aloft on its site from the Gate of Benjamin to the place of the former gate, to the Corner Gate, and from the Tower of Hananel to the king's winepresses. 11And it shall be inhabited, for there shall never again be a decree of utter destruction.[27] Jerusalem shall dwell in security.
-
-12And this shall be the plague with which the LORD will strike all the peoples that wage war against Jerusalem: their flesh will rot while they are still standing on their feet, their eyes will rot in their sockets, and their tongues will rot in their mouths.
-
-13And on that day a great panic from the LORD shall fall on them, so that each will seize the hand of another, and the hand of the one will be raised against the hand of the other. 14Even Judah will fight at Jerusalem. And the wealth of all the surrounding nations shall be collected, gold, silver, and garments in great abundance. 15And a plague like this plague shall fall on the horses, the mules, the camels, the donkeys, and whatever beasts may be in those camps.
-
-16Then everyone who survives of all the nations that have come against Jerusalem shall go up year after year to worship the King, the LORD of hosts, and to keep the Feast of Booths. 17And if any of the families of the earth do not go up to Jerusalem to worship the King, the LORD of hosts, there will be no rain on them. 18And if the family of Egypt does not go up and present themselves, then on them there shall be no rain;[28] there shall be the plague with which the LORD afflicts the nations that do not go up to keep the Feast of Booths. 19This shall be the punishment to Egypt and the punishment to all the nations that do not go up to keep the Feast of Booths.
-
-20And on that day there shall be inscribed on the bells of the horses, “Holy to the LORD.” And the pots in the house of the LORD shall be as the bowls before the altar. 21And every pot in Jerusalem and Judah shall be holy to the LORD of hosts, so that all who sacrifice may come and take of them and boil the meat of the sacrifice in them. And there shall no longer be a trader[29] in the house of the LORD of hosts on that day.
-
-
-
-
-
-Footnotes
-
-
-[1] 1:18 Ch 2:1 in Hebrew
-
-[2] 2:1 Ch 2:5 in Hebrew
-
-[3] 2:8 Or he sent me after glory
-
-[4] 3:1 Satan means the accuser
-
-[5] 3:2 That is, a burning stick
-
-[6] 3:9 Or facets
-
-[7] 4:12 Hebrew lacks oil
-
-[8] 4:14 Hebrew two sons of new oil
-
-[9] 5:2 A cubit was about 18 inches or 45 centimeters
-
-[10] 5:3 Hebrew lacks falsely (supplied from verse 4)
-
-[11] 5:6 Hebrew ephah; also verses 7-11. An ephah was about 3/5 bushel or 22 liters
-
-[12] 5:6 One Hebrew manuscript, Septuagint, Syriac; most Hebrew manuscripts eye
-
-[13] 6:3 Or and the fourth chariot strong dappled horses
-
-[14] 6:14 An alternate spelling of Heldai (verse 10)
-
-[15] 7:11 Hebrew and made their ears too heavy to hear
-
-[16] 7:13 Hebrew he
-
-[17] 9:1 A slight emendation yields For to the LORD belongs the capital of Syria and all the tribes of Israel
-
-[18] 9:6 Or a foreign people; Hebrew a bastard
-
-[19] 10:3 Hebrew the male goats
-
-[20] 12:12 Or clan; also verses 13, 14
-
-[21] 13:5 Or for the land has been my possession since my youth
-
-[22] 13:6 Or on your chest; Hebrew wounds between your hands
-
-[23] 14:6 Compare Septuagint, Syriac, Vulgate, Targum; the meaning of the Hebrew is uncertain
-
-[24] 14:7 Hebrew one
-
-[25] 14:8 That is, the Dead Sea
-
-[26] 14:8 That is, the Mediterranean Sea
-
-[27] 14:11 The Hebrew term rendered decree of utter destruction refers to things devoted (or set apart) to the Lord (or by the Lord) for destruction
-
-[28] 14:18 Hebrew lacks rain
-
-[29] 14:21 Or Canaanite
-
-
-
-
-
-MALACHI
-
-
-Chapter 1
-
-Chapter 2
-
-Chapter 3
-
-Chapter 4
-
-
-
-
-
-1:1 The oracle of the word of the LORD to Israel by Malachi.[1]
-
-
-
-
-
-The LORD's Love for Israel
-
-
-2“I have loved you,” says the LORD. But you say, “How have you loved us?” “Is not Esau Jacob's brother?” declares the LORD. “Yet I have loved Jacob 3but Esau I have hated. I have laid waste his hill country and left his heritage to jackals of the desert.” 4If Edom says, “We are shattered but we will rebuild the ruins,” the LORD of hosts says, “They may build, but I will tear down, and they will be called ‘the wicked country,’ and ‘the people with whom the LORD is angry forever.’” 5Your own eyes shall see this, and you shall say, “Great is the LORD beyond the border of Israel!”
-
-
-
-
-
-The Priests' Polluted Offerings
-
-
-6“A son honors his father, and a servant his master. If then I am a father, where is my honor? And if I am a master, where is my fear? says the LORD of hosts to you, O priests, who despise my name. But you say, ‘How have we despised your name?’ 7By offering polluted food upon my altar. But you say, ‘How have we polluted you?’ By saying that the LORD's table may be despised. 8When you offer blind animals in sacrifice, is that not evil? And when you offer those that are lame or sick, is that not evil? Present that to your governor; will he accept you or show you favor? says the LORD of hosts. 9And now entreat the favor of God, that he may be gracious to us. With such a gift from your hand, will he show favor to any of you? says the LORD of hosts. 10Oh that there were one among you who would shut the doors, that you might not kindle fire on my altar in vain! I have no pleasure in you, says the LORD of hosts, and I will not accept an offering from your hand. 11For from the rising of the sun to its setting my name will be[2] great among the nations, and in every place incense will be offered to my name, and a pure offering. For my name will be great among the nations, says the LORD of hosts. 12But you profane it when you say that the Lord's table is polluted, and its fruit, that is, its food may be despised. 13But you say, ‘What a weariness this is,’ and you snort at it, says the LORD of hosts. You bring what has been taken by violence or is lame or sick, and this you bring as your offering! Shall I accept that from your hand? says the LORD. 14Cursed be the cheat who has a male in his flock, and vows it, and yet sacrifices to the Lord what is blemished. For I am a great King, says the LORD of hosts, and my name will be feared among the nations.
-
-
-
-
-
-The LORD Rebukes the Priests
-
-
-2:1 “And now, O priests, this command is for you. 2If you will not listen, if you will not take it to heart to give honor to my name, says the LORD of hosts, then I will send the curse upon you and I will curse your blessings. Indeed, I have already cursed them, because you do not lay it to heart. 3Behold, I will rebuke your offspring,[3] and spread dung on your faces, the dung of your offerings, and you shall be taken away with it.[4] 4So shall you know that I have sent this command to you, that my covenant with Levi may stand, says the LORD of hosts. 5My covenant with him was one of life and peace, and I gave them to him. It was a covenant of fear, and he feared me. He stood in awe of my name. 6True instruction[5] was in his mouth, and no wrong was found on his lips. He walked with me in peace and uprightness, and he turned many from iniquity. 7For the lips of a priest should guard knowledge, and people[6] should seek instruction from his mouth, for he is the messenger of the LORD of hosts. 8But you have turned aside from the way. You have caused many to stumble by your instruction. You have corrupted the covenant of Levi, says the LORD of hosts, 9and so I make you despised and abased before all the people, inasmuch as you do not keep my ways but show partiality in your instruction.”
-
-
-
-
-
-Judah Profaned the Covenant
-
-
-10Have we not all one Father? Has not one God created us? Why then are we faithless to one another, profaning the covenant of our fathers? 11Judah has been faithless, and abomination has been committed in Israel and in Jerusalem. For Judah has profaned the sanctuary of the LORD, which he loves, and has married the daughter of a foreign god. 12May the LORD cut off from the tents of Jacob any descendant[7] of the man who does this, who brings an offering to the LORD of hosts!
-
-13And this second thing you do. You cover the LORD's altar with tears, with weeping and groaning because he no longer regards the offering or accepts it with favor from your hand. 14But you say, “Why does he not?” Because the LORD was witness between you and the wife of your youth, to whom you have been faithless, though she is your companion and your wife by covenant. 15Did he not make them one, with a portion of the Spirit in their union?[8] And what was the one God[9] seeking?[10] Godly offspring. So guard yourselves[11] in your spirit, and let none of you be faithless to the wife of your youth. 16“For the man who does not love his wife but divorces her,[12] says the LORD, the God of Israel, covers[13] his garment with violence, says the LORD of hosts. So guard yourselves in your spirit, and do not be faithless.”
-
-
-
-
-
-The Messenger of the LORD
-
-
-17You have wearied the LORD with your words. But you say, “How have we wearied him?” By saying, “Everyone who does evil is good in the sight of the LORD, and he delights in them.” Or by asking, “Where is the God of justice?”
-
-
-
-
-
-3:1 “Behold, I send my messenger, and he will prepare the way before me. And the Lord whom you seek will suddenly come to his temple; and the messenger of the covenant in whom you delight, behold, he is coming, says the LORD of hosts. 2But who can endure the day of his coming, and who can stand when he appears? For he is like a refiner's fire and like fullers' soap. 3He will sit as a refiner and purifier of silver, and he will purify the sons of Levi and refine them like gold and silver, and they will bring offerings in righteousness to the LORD.[14] 4Then the offering of Judah and Jerusalem will be pleasing to the LORD as in the days of old and as in former years.
-
-5“Then I will draw near to you for judgment. I will be a swift witness against the sorcerers, against the adulterers, against those who swear falsely, against those who oppress the hired worker in his wages, the widow and the fatherless, against those who thrust aside the sojourner, and do not fear me, says the LORD of hosts.
-
-
-
-
-
-Robbing God
-
-
-6“For I the LORD do not change; therefore you, O children of Jacob, are not consumed. 7From the days of your fathers you have turned aside from my statutes and have not kept them. Return to me, and I will return to you, says the LORD of hosts. But you say, ‘How shall we return?’ 8Will man rob God? Yet you are robbing me. But you say, ‘How have we robbed you?’ In your tithes and contributions. 9You are cursed with a curse, for you are robbing me, the whole nation of you. 10Bring the full tithe into the storehouse, that there may be food in my house. And thereby put me to the test, says the LORD of hosts, if I will not open the windows of heaven for you and pour down for you a blessing until there is no more need. 11I will rebuke the devourer[15] for you, so that it will not destroy the fruits of your soil, and your vine in the field shall not fail to bear, says the LORD of hosts. 12Then all nations will call you blessed, for you will be a land of delight, says the LORD of hosts.
-
-13“Your words have been hard against me, says the LORD. But you say, ‘How have we spoken against you?’ 14You have said, ‘It is vain to serve God. What is the profit of our keeping his charge or of walking as in mourning before the LORD of hosts? 15And now we call the arrogant blessed. Evildoers not only prosper but they put God to the test and they escape.’”
-
-
-
-
-
-The Book of Remembrance
-
-
-16Then those who feared the LORD spoke with one another. The LORD paid attention and heard them, and a book of remembrance was written before him of those who feared the LORD and esteemed his name. 17“They shall be mine, says the LORD of hosts, in the day when I make up my treasured possession, and I will spare them as a man spares his son who serves him. 18Then once more you shall see the distinction between the righteous and the wicked, between one who serves God and one who does not serve him.
-
-
-
-
-
-The Great Day of the LORD
-
-
-4:1 [16] “For behold, the day is coming, burning like an oven, when all the arrogant and all evildoers will be stubble. The day that is coming shall set them ablaze, says the LORD of hosts, so that it will leave them neither root nor branch. 2But for you who fear my name, the sun of righteousness shall rise with healing in its wings. You shall go out leaping like calves from the stall. 3And you shall tread down the wicked, for they will be ashes under the soles of your feet, on the day when I act, says the LORD of hosts.
-
-4“Remember the law of my servant Moses, the statutes and rules[17] that I commanded him at Horeb for all Israel.
-
-5“Behold, I will send you Elijah the prophet before the great and awesome day of the LORD comes. 6And he will turn the hearts of fathers to their children and the hearts of children to their fathers, lest I come and strike the land with a decree of utter destruction.”[18]
-
-
-
-
-
-Footnotes
-
-
-[1] 1:1 Malachi means my messenger
-
-[2] 1:11 Or is (three times in verse 11; also verse 14)
-
-[3] 2:3 Hebrew seed
-
-[4] 2:3 Or to it
-
-[5] 2:6 Or law; also verses 7, 8, 9
-
-[6] 2:7 Hebrew they
-
-[7] 2:12 Hebrew any who wakes and answers
-
-[8] 2:15 Hebrew in it
-
-[9] 2:15 Hebrew the one
-
-[10] 2:15 Or And not one has done this who has a portion of the Spirit. And what was that one seeking?
-
-[11] 2:15 Or So take care; also verse 16
-
-[12] 2:16 Hebrew who hates and divorces
-
-[13] 2:16 Probable meaning (compare Septuagint and Deuteronomy 24:1-4); or “The LORD, the God of Israel, says that he hates divorce, and him who covers
-
-[14] 3:3 Or and they will belong to the LORD, bringers of an offering in righteousness
-
-[15] 3:11 Probably a name for some crop-destroying pest or pests
-
-[16] 4:1 Ch 4:1-6 is ch 3:19-24 in the Hebrew
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-[17] 4:4 Or and just decrees
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-[18] 4:6 The Hebrew term rendered decree of utter destruction refers to things devoted (or set apart) to the Lord (or by the Lord) for destruction
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-MATTHEW
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-Chapter 1
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-Chapter 2
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-Chapter 3
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-Chapter 4
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-Chapter 5
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-Chapter 6
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-Chapter 7
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-Chapter 8
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-Chapter 9
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-Chapter 10
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-Chapter 11
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-Chapter 12
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-Chapter 13
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-Chapter 14
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-Chapter 15
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-Chapter 16
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-Chapter 17
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-Chapter 18
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-Chapter 19
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-Chapter 20
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-Chapter 21
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-Chapter 22
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-Chapter 23
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-Chapter 24
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-Chapter 25
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-Chapter 26
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-Chapter 27
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-Chapter 28
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-The Genealogy of Jesus Christ
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-1:1 The book of the genealogy of Jesus Christ, the son of David, the son of Abraham.
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-2Abraham was the father of Isaac, and Isaac the father of Jacob, and Jacob the father of Judah and his brothers, 3and Judah the father of Perez and Zerah by Tamar, and Perez the father of Hezron, and Hezron the father of Ram,[1] 4and Ram the father of Amminadab, and Amminadab the father of Nahshon, and Nahshon the father of Salmon, 5and Salmon the father of Boaz by Rahab, and Boaz the father of Obed by Ruth, and Obed the father of Jesse, 6and Jesse the father of David the king.
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-And David was the father of Solomon by the wife of Uriah, 7and Solomon the father of Rehoboam, and Rehoboam the father of Abijah, and Abijah the father of Asaph,[2] 8and Asaph the father of Jehoshaphat, and Jehoshaphat the father of Joram, and Joram the father of Uzziah, 9and Uzziah the father of Jotham, and Jotham the father of Ahaz, and Ahaz the father of Hezekiah, 10and Hezekiah the father of Manasseh, and Manasseh the father of Amos,[3] and Amos the father of Josiah, 11and Josiah the father of Jechoniah and his brothers, at the time of the deportation to Babylon.
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-12And after the deportation to Babylon: Jechoniah was the father of Shealtiel,[4] and Shealtiel the father of Zerubbabel, 13and Zerubbabel the father of Abiud, and Abiud the father of Eliakim, and Eliakim the father of Azor, 14and Azor the father of Zadok, and Zadok the father of Achim, and Achim the father of Eliud, 15and Eliud the father of Eleazar, and Eleazar the father of Matthan, and Matthan the father of Jacob, 16and Jacob the father of Joseph the husband of Mary, of whom Jesus was born, who is called Christ.
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-17So all the generations from Abraham to David were fourteen generations, and from David to the deportation to Babylon fourteen generations, and from the deportation to Babylon to the Christ fourteen generations.
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-The Birth of Jesus Christ
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-18Now the birth of Jesus Christ[5] took place in this way. When his mother Mary had been betrothed[6] to Joseph, before they came together she was found to be with child from the Holy Spirit. 19And her husband Joseph, being a just man and unwilling to put her to shame, resolved to divorce her quietly. 20But as he considered these things, behold, an angel of the Lord appeared to him in a dream, saying, “Joseph, son of David, do not fear to take Mary as your wife, for that which is conceived in her is from the Holy Spirit. 21She will bear a son, and you shall call his name Jesus, for he will save his people from their sins.” 22All this took place to fulfill what the Lord had spoken by the prophet:
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-23“Behold, the virgin shall conceive and bear a son,
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-and they shall call his name Immanuel”
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-(which means, God with us). 24When Joseph woke from sleep, he did as the angel of the Lord commanded him: he took his wife, 25but knew her not until she had given birth to a son. And he called his name Jesus.
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-The Visit of the Wise Men
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-2:1 Now after Jesus was born in Bethlehem of Judea in the days of Herod the king, behold, wise men[7] from the east came to Jerusalem, 2saying, “Where is he who has been born king of the Jews? For we saw his star when it rose[8] and have come to worship him.” 3When Herod the king heard this, he was troubled, and all Jerusalem with him; 4and assembling all the chief priests and scribes of the people, he inquired of them where the Christ was to be born. 5They told him, “In Bethlehem of Judea, for so it is written by the prophet:
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-6“‘And you, O Bethlehem, in the land of Judah,
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-are by no means least among the rulers of Judah;
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-for from you shall come a ruler
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-who will shepherd my people Israel.’”
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-7Then Herod summoned the wise men secretly and ascertained from them what time the star had appeared. 8And he sent them to Bethlehem, saying, “Go and search diligently for the child, and when you have found him, bring me word, that I too may come and worship him.” 9After listening to the king, they went on their way. And behold, the star that they had seen when it rose went before them until it came to rest over the place where the child was. 10When they saw the star, they rejoiced exceedingly with great joy. 11And going into the house they saw the child with Mary his mother, and they fell down and worshiped him. Then, opening their treasures, they offered him gifts, gold and frankincense and myrrh. 12And being warned in a dream not to return to Herod, they departed to their own country by another way.
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-The Flight to Egypt
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-13Now when they had departed, behold, an angel of the Lord appeared to Joseph in a dream and said, “Rise, take the child and his mother, and flee to Egypt, and remain there until I tell you, for Herod is about to search for the child, to destroy him.” 14And he rose and took the child and his mother by night and departed to Egypt 15and remained there until the death of Herod. This was to fulfill what the Lord had spoken by the prophet, “Out of Egypt I called my son.”
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-Herod Kills the Children
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-16Then Herod, when he saw that he had been tricked by the wise men, became furious, and he sent and killed all the male children in Bethlehem and in all that region who were two years old or under, according to the time that he had ascertained from the wise men. 17Then was fulfilled what was spoken by the prophet Jeremiah:
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-18“A voice was heard in Ramah,
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-weeping and loud lamentation,
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-Rachel weeping for her children;
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-she refused to be comforted, because they are no more.”
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-The Return to Nazareth
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-19But when Herod died, behold, an angel of the Lord appeared in a dream to Joseph in Egypt, 20saying, “Rise, take the child and his mother and go to the land of Israel, for those who sought the child's life are dead.” 21And he rose and took the child and his mother and went to the land of Israel. 22But when he heard that Archelaus was reigning over Judea in place of his father Herod, he was afraid to go there, and being warned in a dream he withdrew to the district of Galilee. 23And he went and lived in a city called Nazareth, that what was spoken by the prophets might be fulfilled: “He shall be called a Nazarene.”
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-John the Baptist Prepares the Way
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-3:1 In those days John the Baptist came preaching in the wilderness of Judea, 2“Repent, for the kingdom of heaven is at hand.” 3For this is he who was spoken of by the prophet Isaiah when he said,
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-“The voice of one crying in the wilderness:
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-‘Prepare[9] the way of the Lord;
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-make his paths straight.’”
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-4Now John wore a garment of camel's hair and a leather belt around his waist, and his food was locusts and wild honey. 5Then Jerusalem and all Judea and all the region about the Jordan were going out to him, 6and they were baptized by him in the river Jordan, confessing their sins.
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-7But when he saw many of the Pharisees and Sadducees coming to his baptism, he said to them, “You brood of vipers! Who warned you to flee from the wrath to come? 8Bear fruit in keeping with repentance. 9And do not presume to say to yourselves, ‘We have Abraham as our father,’ for I tell you, God is able from these stones to raise up children for Abraham. 10Even now the axe is laid to the root of the trees. Every tree therefore that does not bear good fruit is cut down and thrown into the fire.
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-11“I baptize you with water for repentance, but he who is coming after me is mightier than I, whose sandals I am not worthy to carry. He will baptize you with the Holy Spirit and fire. 12His winnowing fork is in his hand, and he will clear his threshing floor and gather his wheat into the barn, but the chaff he will burn with unquenchable fire.”
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-The Baptism of Jesus
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-13Then Jesus came from Galilee to the Jordan to John, to be baptized by him. 14John would have prevented him, saying, “I need to be baptized by you, and do you come to me?” 15But Jesus answered him, “Let it be so now, for thus it is fitting for us to fulfill all righteousness.” Then he consented. 16And when Jesus was baptized, immediately he went up from the water, and behold, the heavens were opened to him,[10] and he saw the Spirit of God descending like a dove and coming to rest on him; 17and behold, a voice from heaven said, “This is my beloved Son,[11] with whom I am well pleased.”
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-The Temptation of Jesus
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-4:1 Then Jesus was led up by the Spirit into the wilderness to be tempted by the devil. 2And after fasting forty days and forty nights, he was hungry. 3And the tempter came and said to him, “If you are the Son of God, command these stones to become loaves of bread.” 4But he answered, “It is written,
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-“‘Man shall not live by bread alone,
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-but by every word that comes from the mouth of God.’”
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-5Then the devil took him to the holy city and set him on the pinnacle of the temple 6and said to him, “If you are the Son of God, throw yourself down, for it is written,
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-“‘He will command his angels concerning you,’
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-and
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-“‘On their hands they will bear you up,
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-lest you strike your foot against a stone.’”
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-7Jesus said to him, “Again it is written, ‘You shall not put the Lord your God to the test.’” 8Again, the devil took him to a very high mountain and showed him all the kingdoms of the world and their glory. 9And he said to him, “All these I will give you, if you will fall down and worship me.” 10Then Jesus said to him, “Be gone, Satan! For it is written,
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-“‘You shall worship the Lord your God
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-and him only shall you serve.’”
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-11Then the devil left him, and behold, angels came and were ministering to him.
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-Jesus Begins His Ministry
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-12Now when he heard that John had been arrested, he withdrew into Galilee. 13And leaving Nazareth he went and lived in Capernaum by the sea, in the territory of Zebulun and Naphtali, 14so that what was spoken by the prophet Isaiah might be fulfilled:
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-15“The land of Zebulun and the land of Naphtali,
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-the way of the sea, beyond the Jordan, Galilee of the Gentiles—
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-16the people dwelling in darkness
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-have seen a great light,
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-and for those dwelling in the region and shadow of death,
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-on them a light has dawned.”
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-17From that time Jesus began to preach, saying, “Repent, for the kingdom of heaven is at hand.”
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-Jesus Calls the First Disciples
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-18While walking by the Sea of Galilee, he saw two brothers, Simon (who is called Peter) and Andrew his brother, casting a net into the sea, for they were fishermen. 19And he said to them, “Follow me, and I will make you fishers of men.” 20Immediately they left their nets and followed him. 21And going on from there he saw two other brothers, James the son of Zebedee and John his brother, in the boat with Zebedee their father, mending their nets, and he called them. 22Immediately they left the boat and their father and followed him.
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-Jesus Ministers to Great Crowds
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-23And he went throughout all Galilee, teaching in their synagogues and proclaiming the gospel of the kingdom and healing every disease and every affliction among the people. 24So his fame spread throughout all Syria, and they brought him all the sick, those afflicted with various diseases and pains, those oppressed by demons, epileptics, and paralytics, and he healed them. 25And great crowds followed him from Galilee and the Decapolis, and from Jerusalem and Judea, and from beyond the Jordan.
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-The Sermon on the Mount
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-5:1 Seeing the crowds, he went up on the mountain, and when he sat down, his disciples came to him.
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-The Beatitudes
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-2And he opened his mouth and taught them, saying:
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-3“Blessed are the poor in spirit, for theirs is the kingdom of heaven.
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-4“Blessed are those who mourn, for they shall be comforted.
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-5“Blessed are the meek, for they shall inherit the earth.
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-6“Blessed are those who hunger and thirst for righteousness, for they shall be satisfied.
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-7“Blessed are the merciful, for they shall receive mercy.
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-8“Blessed are the pure in heart, for they shall see God.
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-9“Blessed are the peacemakers, for they shall be called sons[12] of God.
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-10“Blessed are those who are persecuted for righteousness' sake, for theirs is the kingdom of heaven.
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-11“Blessed are you when others revile you and persecute you and utter all kinds of evil against you falsely on my account. 12Rejoice and be glad, for your reward is great in heaven, for so they persecuted the prophets who were before you.
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-Salt and Light
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-13“You are the salt of the earth, but if salt has lost its taste, how shall its saltiness be restored? It is no longer good for anything except to be thrown out and trampled under people's feet.
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-14“You are the light of the world. A city set on a hill cannot be hidden. 15Nor do people light a lamp and put it under a basket, but on a stand, and it gives light to all in the house. 16In the same way, let your light shine before others, so that they may see your good works and give glory to your Father who is in heaven.
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-Christ Came to Fulfill the Law
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-17“Do not think that I have come to abolish the Law or the Prophets; I have not come to abolish them but to fulfill them. 18For truly, I say to you, until heaven and earth pass away, not an iota, not a dot, will pass from the Law until all is accomplished. 19Therefore whoever relaxes one of the least of these commandments and teaches others to do the same will be called least in the kingdom of heaven, but whoever does them and teaches them will be called great in the kingdom of heaven. 20For I tell you, unless your righteousness exceeds that of the scribes and Pharisees, you will never enter the kingdom of heaven.
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-Anger
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-21“You have heard that it was said to those of old, ‘You shall not murder; and whoever murders will be liable to judgment.’ 22But I say to you that everyone who is angry with his brother[13] will be liable to judgment; whoever insults[14] his brother will be liable to the council; and whoever says, ‘You fool!’ will be liable to the hell[15] of fire. 23So if you are offering your gift at the altar and there remember that your brother has something against you, 24leave your gift there before the altar and go. First be reconciled to your brother, and then come and offer your gift. 25Come to terms quickly with your accuser while you are going with him to court, lest your accuser hand you over to the judge, and the judge to the guard, and you be put in prison. 26Truly, I say to you, you will never get out until you have paid the last penny.[16]
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-Lust
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-27“You have heard that it was said, ‘You shall not commit adultery.’ 28But I say to you that everyone who looks at a woman with lustful intent has already committed adultery with her in his heart. 29If your right eye causes you to sin, tear it out and throw it away. For it is better that you lose one of your members than that your whole body be thrown into hell. 30And if your right hand causes you to sin, cut it off and throw it away. For it is better that you lose one of your members than that your whole body go into hell.
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-Divorce
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-31“It was also said, ‘Whoever divorces his wife, let him give her a certificate of divorce.’ 32But I say to you that everyone who divorces his wife, except on the ground of sexual immorality, makes her commit adultery, and whoever marries a divorced woman commits adultery.
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-Oaths
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-33“Again you have heard that it was said to those of old, ‘You shall not swear falsely, but shall perform to the Lord what you have sworn.’ 34But I say to you, Do not take an oath at all, either by heaven, for it is the throne of God, 35or by the earth, for it is his footstool, or by Jerusalem, for it is the city of the great King. 36And do not take an oath by your head, for you cannot make one hair white or black. 37Let what you say be simply ‘Yes’ or ‘No’; anything more than this comes from evil.[17]
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-Retaliation
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-38“You have heard that it was said, ‘An eye for an eye and a tooth for a tooth.’ 39But I say to you, Do not resist the one who is evil. But if anyone slaps you on the right cheek, turn to him the other also. 40And if anyone would sue you and take your tunic,[18] let him have your cloak as well. 41And if anyone forces you to go one mile, go with him two miles. 42Give to the one who begs from you, and do not refuse the one who would borrow from you.
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-Love Your Enemies
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-43“You have heard that it was said, ‘You shall love your neighbor and hate your enemy.’ 44But I say to you, Love your enemies and pray for those who persecute you, 45so that you may be sons of your Father who is in heaven. For he makes his sun rise on the evil and on the good, and sends rain on the just and on the unjust. 46For if you love those who love you, what reward do you have? Do not even the tax collectors do the same? 47And if you greet only your brothers,[19] what more are you doing than others? Do not even the Gentiles do the same? 48You therefore must be perfect, as your heavenly Father is perfect.
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-Giving to the Needy
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-6:1 “Beware of practicing your righteousness before other people in order to be seen by them, for then you will have no reward from your Father who is in heaven.
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-2“Thus, when you give to the needy, sound no trumpet before you, as the hypocrites do in the synagogues and in the streets, that they may be praised by others. Truly, I say to you, they have received their reward. 3But when you give to the needy, do not let your left hand know what your right hand is doing, 4so that your giving may be in secret. And your Father who sees in secret will reward you.
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-The Lord's Prayer
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-5“And when you pray, you must not be like the hypocrites. For they love to stand and pray in the synagogues and at the street corners, that they may be seen by others. Truly, I say to you, they have received their reward. 6But when you pray, go into your room and shut the door and pray to your Father who is in secret. And your Father who sees in secret will reward you.
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-7“And when you pray, do not heap up empty phrases as the Gentiles do, for they think that they will be heard for their many words. 8Do not be like them, for your Father knows what you need before you ask him. 9Pray then like this:
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-“Our Father in heaven,
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-hallowed be your name.[20]
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-10Your kingdom come,
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-your will be done,[21]
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-on earth as it is in heaven.
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-11Give us this day our daily bread,[22]
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-12and forgive us our debts,
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-as we also have forgiven our debtors.
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-13And lead us not into temptation,
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-but deliver us from evil.[23]
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-14For if you forgive others their trespasses, your heavenly Father will also forgive you, 15but if you do not forgive others their trespasses, neither will your Father forgive your trespasses.
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-Fasting
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-16“And when you fast, do not look gloomy like the hypocrites, for they disfigure their faces that their fasting may be seen by others. Truly, I say to you, they have received their reward. 17But when you fast, anoint your head and wash your face, 18that your fasting may not be seen by others but by your Father who is in secret. And your Father who sees in secret will reward you.
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-Lay Up Treasures in Heaven
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-19“Do not lay up for yourselves treasures on earth, where moth and rust[24] destroy and where thieves break in and steal, 20but lay up for yourselves treasures in heaven, where neither moth nor rust destroys and where thieves do not break in and steal. 21For where your treasure is, there your heart will be also.
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-22“The eye is the lamp of the body. So, if your eye is healthy, your whole body will be full of light, 23but if your eye is bad, your whole body will be full of darkness. If then the light in you is darkness, how great is the darkness!
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-24“No one can serve two masters, for either he will hate the one and love the other, or he will be devoted to the one and despise the other. You cannot serve God and money.[25]
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-Do Not Be Anxious
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-25“Therefore I tell you, do not be anxious about your life, what you will eat or what you will drink, nor about your body, what you will put on. Is not life more than food, and the body more than clothing? 26Look at the birds of the air: they neither sow nor reap nor gather into barns, and yet your heavenly Father feeds them. Are you not of more value than they? 27And which of you by being anxious can add a single hour to his span of life?[26] 28And why are you anxious about clothing? Consider the lilies of the field, how they grow: they neither toil nor spin, 29yet I tell you, even Solomon in all his glory was not arrayed like one of these. 30But if God so clothes the grass of the field, which today is alive and tomorrow is thrown into the oven, will he not much more clothe you, O you of little faith? 31Therefore do not be anxious, saying, ‘What shall we eat?’ or ‘What shall we drink?’ or ‘What shall we wear?’ 32For the Gentiles seek after all these things, and your heavenly Father knows that you need them all. 33But seek first the kingdom of God and his righteousness, and all these things will be added to you.
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-34“Therefore do not be anxious about tomorrow, for tomorrow will be anxious for itself. Sufficient for the day is its own trouble.
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-Judging Others
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-7:1 “Judge not, that you be not judged. 2For with the judgment you pronounce you will be judged, and with the measure you use it will be measured to you. 3Why do you see the speck that is in your brother's eye, but do not notice the log that is in your own eye? 4Or how can you say to your brother, ‘Let me take the speck out of your eye,’ when there is the log in your own eye? 5You hypocrite, first take the log out of your own eye, and then you will see clearly to take the speck out of your brother's eye.
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-6“Do not give dogs what is holy, and do not throw your pearls before pigs, lest they trample them underfoot and turn to attack you.
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-Ask, and It Will Be Given
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-7“Ask, and it will be given to you; seek, and you will find; knock, and it will be opened to you. 8For everyone who asks receives, and the one who seeks finds, and to the one who knocks it will be opened. 9Or which one of you, if his son asks him for bread, will give him a stone? 10Or if he asks for a fish, will give him a serpent? 11If you then, who are evil, know how to give good gifts to your children, how much more will your Father who is in heaven give good things to those who ask him!
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-The Golden Rule
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-12“So whatever you wish that others would do to you, do also to them, for this is the Law and the Prophets.
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-13“Enter by the narrow gate. For the gate is wide and the way is easy[27] that leads to destruction, and those who enter by it are many. 14For the gate is narrow and the way is hard that leads to life, and those who find it are few.
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-A Tree and Its Fruit
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-15“Beware of false prophets, who come to you in sheep's clothing but inwardly are ravenous wolves. 16You will recognize them by their fruits. Are grapes gathered from thornbushes, or figs from thistles? 17So, every healthy tree bears good fruit, but the diseased tree bears bad fruit. 18A healthy tree cannot bear bad fruit, nor can a diseased tree bear good fruit. 19Every tree that does not bear good fruit is cut down and thrown into the fire. 20Thus you will recognize them by their fruits.
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-I Never Knew You
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-21“Not everyone who says to me, ‘Lord, Lord,’ will enter the kingdom of heaven, but the one who does the will of my Father who is in heaven. 22On that day many will say to me, ‘Lord, Lord, did we not prophesy in your name, and cast out demons in your name, and do many mighty works in your name?’ 23And then will I declare to them, ‘I never knew you; depart from me, you workers of lawlessness.’
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-Build Your House on the Rock
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-24“Everyone then who hears these words of mine and does them will be like a wise man who built his house on the rock. 25And the rain fell, and the floods came, and the winds blew and beat on that house, but it did not fall, because it had been founded on the rock. 26And everyone who hears these words of mine and does not do them will be like a foolish man who built his house on the sand. 27And the rain fell, and the floods came, and the winds blew and beat against that house, and it fell, and great was the fall of it.”
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-The Authority of Jesus
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-28And when Jesus finished these sayings, the crowds were astonished at his teaching, 29for he was teaching them as one who had authority, and not as their scribes.
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-Jesus Cleanses a Leper
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-8:1 When he came down from the mountain, great crowds followed him. 2And behold, a leper[28] came to him and knelt before him, saying, “Lord, if you will, you can make me clean.” 3And Jesus[29] stretched out his hand and touched him, saying, “I will; be clean.” And immediately his leprosy was cleansed. 4And Jesus said to him, “See that you say nothing to anyone, but go, show yourself to the priest and offer the gift that Moses commanded, for a proof to them.”
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-The Faith of a Centurion
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-5When he entered Capernaum, a centurion came forward to him, appealing to him, 6“Lord, my servant is lying paralyzed at home, suffering terribly.” 7And he said to him, “I will come and heal him.” 8But the centurion replied, “Lord, I am not worthy to have you come under my roof, but only say the word, and my servant will be healed. 9For I too am a man under authority, with soldiers under me. And I say to one, ‘Go,’ and he goes, and to another, ‘Come,’ and he comes, and to my servant,[30] ‘Do this,’ and he does it.” 10When Jesus heard this, he marveled and said to those who followed him, “Truly, I tell you, with no one in Israel[31] have I found such faith. 11I tell you, many will come from east and west and recline at table with Abraham, Isaac, and Jacob in the kingdom of heaven, 12while the sons of the kingdom will be thrown into the outer darkness. In that place there will be weeping and gnashing of teeth.” 13And to the centurion Jesus said, “Go; let it be done for you as you have believed.” And the servant was healed at that very moment.
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-Jesus Heals Many
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-14And when Jesus entered Peter's house, he saw his mother-in-law lying sick with a fever. 15He touched her hand, and the fever left her, and she rose and began to serve him. 16That evening they brought to him many who were oppressed by demons, and he cast out the spirits with a word and healed all who were sick. 17This was to fulfill what was spoken by the prophet Isaiah: “He took our illnesses and bore our diseases.”
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-The Cost of Following Jesus
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-18Now when Jesus saw a crowd around him, he gave orders to go over to the other side. 19And a scribe came up and said to him, “Teacher, I will follow you wherever you go.” 20And Jesus said to him, “Foxes have holes, and birds of the air have nests, but the Son of Man has nowhere to lay his head.” 21Another of the disciples said to him, “Lord, let me first go and bury my father.” 22And Jesus said to him, “Follow me, and leave the dead to bury their own dead.”
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-Jesus Calms a Storm
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-23And when he got into the boat, his disciples followed him. 24And behold, there arose a great storm on the sea, so that the boat was being swamped by the waves; but he was asleep. 25And they went and woke him, saying, “Save us, Lord; we are perishing.” 26And he said to them, “Why are you afraid, O you of little faith?” Then he rose and rebuked the winds and the sea, and there was a great calm. 27And the men marveled, saying, “What sort of man is this, that even winds and sea obey him?”
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-Jesus Heals Two Men with Demons
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-28And when he came to the other side, to the country of the Gadarenes,[32] two demon-possessed[33] men met him, coming out of the tombs, so fierce that no one could pass that way. 29And behold, they cried out, “What have you to do with us, O Son of God? Have you come here to torment us before the time?” 30Now a herd of many pigs was feeding at some distance from them. 31And the demons begged him, saying, “If you cast us out, send us away into the herd of pigs.” 32And he said to them, “Go.” So they came out and went into the pigs, and behold, the whole herd rushed down the steep bank into the sea and drowned in the waters. 33The herdsmen fled, and going into the city they told everything, especially what had happened to the demon-possessed men. 34And behold, all the city came out to meet Jesus, and when they saw him, they begged him to leave their region.
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-Jesus Heals a Paralytic
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-9:1 And getting into a boat he crossed over and came to his own city. 2And behold, some people brought to him a paralytic, lying on a bed. And when Jesus saw their faith, he said to the paralytic, “Take heart, my son; your sins are forgiven.” 3And behold, some of the scribes said to themselves, “This man is blaspheming.” 4But Jesus, knowing[34] their thoughts, said, “Why do you think evil in your hearts? 5For which is easier, to say, ‘Your sins are forgiven,’ or to say, ‘Rise and walk’? 6But that you may know that the Son of Man has authority on earth to forgive sins”—he then said to the paralytic—“Rise, pick up your bed and go home.” 7And he rose and went home. 8When the crowds saw it, they were afraid, and they glorified God, who had given such authority to men.
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-Jesus Calls Matthew
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-9As Jesus passed on from there, he saw a man called Matthew sitting at the tax booth, and he said to him, “Follow me.” And he rose and followed him.
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-10And as Jesus[35] reclined at table in the house, behold, many tax collectors and sinners came and were reclining with Jesus and his disciples. 11And when the Pharisees saw this, they said to his disciples, “Why does your teacher eat with tax collectors and sinners?” 12But when he heard it, he said, “Those who are well have no need of a physician, but those who are sick. 13Go and learn what this means, ‘I desire mercy, and not sacrifice.’ For I came not to call the righteous, but sinners.”
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-A Question About Fasting
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-14Then the disciples of John came to him, saying, “Why do we and the Pharisees fast,[36] but your disciples do not fast?” 15And Jesus said to them, “Can the wedding guests mourn as long as the bridegroom is with them? The days will come when the bridegroom is taken away from them, and then they will fast. 16No one puts a piece of unshrunk cloth on an old garment, for the patch tears away from the garment, and a worse tear is made. 17Neither is new wine put into old wineskins. If it is, the skins burst and the wine is spilled and the skins are destroyed. But new wine is put into fresh wineskins, and so both are preserved.”
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-A Girl Restored to Life and a Woman Healed
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-18While he was saying these things to them, behold, a ruler came in and knelt before him, saying, “My daughter has just died, but come and lay your hand on her, and she will live.” 19And Jesus rose and followed him, with his disciples. 20And behold, a woman who had suffered from a discharge of blood for twelve years came up behind him and touched the fringe of his garment, 21for she said to herself, “If I only touch his garment, I will be made well.” 22Jesus turned, and seeing her he said, “Take heart, daughter; your faith has made you well.” And instantly[37] the woman was made well. 23And when Jesus came to the ruler's house and saw the flute players and the crowd making a commotion, 24he said, “Go away, for the girl is not dead but sleeping.” And they laughed at him. 25But when the crowd had been put outside, he went in and took her by the hand, and the girl arose. 26And the report of this went through all that district.
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-Jesus Heals Two Blind Men
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-27And as Jesus passed on from there, two blind men followed him, crying aloud, “Have mercy on us, Son of David.” 28When he entered the house, the blind men came to him, and Jesus said to them, “Do you believe that I am able to do this?” They said to him, “Yes, Lord.” 29Then he touched their eyes, saying, “According to your faith be it done to you.” 30And their eyes were opened. And Jesus sternly warned them, “See that no one knows about it.” 31But they went away and spread his fame through all that district.
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-Jesus Heals a Man Unable to Speak
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-32As they were going away, behold, a demon-oppressed man who was mute was brought to him. 33And when the demon had been cast out, the mute man spoke. And the crowds marveled, saying, “Never was anything like this seen in Israel.” 34But the Pharisees said, “He casts out demons by the prince of demons.”
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-The Harvest Is Plentiful, the Laborers Few
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-35And Jesus went throughout all the cities and villages, teaching in their synagogues and proclaiming the gospel of the kingdom and healing every disease and every affliction. 36When he saw the crowds, he had compassion for them, because they were harassed and helpless, like sheep without a shepherd. 37Then he said to his disciples, “The harvest is plentiful, but the laborers are few; 38therefore pray earnestly to the Lord of the harvest to send out laborers into his harvest.”
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-The Twelve Apostles
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-10:1 And he called to him his twelve disciples and gave them authority over unclean spirits, to cast them out, and to heal every disease and every affliction. 2The names of the twelve apostles are these: first, Simon, who is called Peter, and Andrew his brother; James the son of Zebedee, and John his brother; 3Philip and Bartholomew; Thomas and Matthew the tax collector; James the son of Alphaeus, and Thaddaeus;[38] 4Simon the Cananaean, and Judas Iscariot, who betrayed him.
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-Jesus Sends Out the Twelve Apostles
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-5These twelve Jesus sent out, instructing them, “Go nowhere among the Gentiles and enter no town of the Samaritans, 6but go rather to the lost sheep of the house of Israel. 7And proclaim as you go, saying, ‘The kingdom of heaven is at hand.’ 8Heal the sick, raise the dead, cleanse lepers,[39] cast out demons. You received without paying; give without pay. 9Acquire no gold nor silver nor copper for your belts, 10no bag for your journey, nor two tunics[40] nor sandals nor a staff, for the laborer deserves his food. 11And whatever town or village you enter, find out who is worthy in it and stay there until you depart. 12As you enter the house, greet it. 13And if the house is worthy, let your peace come upon it, but if it is not worthy, let your peace return to you. 14And if anyone will not receive you or listen to your words, shake off the dust from your feet when you leave that house or town. 15Truly, I say to you, it will be more bearable on the day of judgment for the land of Sodom and Gomorrah than for that town.
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-Persecution Will Come
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-16“Behold, I am sending you out as sheep in the midst of wolves, so be wise as serpents and innocent as doves. 17Beware of men, for they will deliver you over to courts and flog you in their synagogues, 18and you will be dragged before governors and kings for my sake, to bear witness before them and the Gentiles. 19When they deliver you over, do not be anxious how you are to speak or what you are to say, for what you are to say will be given to you in that hour. 20For it is not you who speak, but the Spirit of your Father speaking through you. 21Brother will deliver brother over to death, and the father his child, and children will rise against parents and have them put to death, 22and you will be hated by all for my name's sake. But the one who endures to the end will be saved. 23When they persecute you in one town, flee to the next, for truly, I say to you, you will not have gone through all the towns of Israel before the Son of Man comes.
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-24“A disciple is not above his teacher, nor a servant[41] above his master. 25It is enough for the disciple to be like his teacher, and the servant like his master. If they have called the master of the house Beelzebul, how much more will they malign[42] those of his household.
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-Have No Fear
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-26“So have no fear of them, for nothing is covered that will not be revealed, or hidden that will not be known. 27What I tell you in the dark, say in the light, and what you hear whispered, proclaim on the housetops. 28And do not fear those who kill the body but cannot kill the soul. Rather fear him who can destroy both soul and body in hell.[43] 29Are not two sparrows sold for a penny?[44] And not one of them will fall to the ground apart from your Father. 30But even the hairs of your head are all numbered. 31Fear not, therefore; you are of more value than many sparrows. 32So everyone who acknowledges me before men, I also will acknowledge before my Father who is in heaven, 33but whoever denies me before men, I also will deny before my Father who is in heaven.
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-Not Peace, but a Sword
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-34“Do not think that I have come to bring peace to the earth. I have not come to bring peace, but a sword. 35For I have come to set a man against his father, and a daughter against her mother, and a daughter-in-law against her mother-in-law. 36And a person's enemies will be those of his own household. 37Whoever loves father or mother more than me is not worthy of me, and whoever loves son or daughter more than me is not worthy of me. 38And whoever does not take his cross and follow me is not worthy of me. 39Whoever finds his life will lose it, and whoever loses his life for my sake will find it.
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-Rewards
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-40“Whoever receives you receives me, and whoever receives me receives him who sent me. 41The one who receives a prophet because he is a prophet will receive a prophet's reward, and the one who receives a righteous person because he is a righteous person will receive a righteous person's reward. 42And whoever gives one of these little ones even a cup of cold water because he is a disciple, truly, I say to you, he will by no means lose his reward.”
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-Messengers from John the Baptist
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-11:1 When Jesus had finished instructing his twelve disciples, he went on from there to teach and preach in their cities.
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-2Now when John heard in prison about the deeds of the Christ, he sent word by his disciples 3and said to him, “Are you the one who is to come, or shall we look for another?” 4And Jesus answered them, “Go and tell John what you hear and see: 5the blind receive their sight and the lame walk, lepers[45] are cleansed and the deaf hear, and the dead are raised up, and the poor have good news preached to them. 6And blessed is the one who is not offended by me.”
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-7As they went away, Jesus began to speak to the crowds concerning John: “What did you go out into the wilderness to see? A reed shaken by the wind? 8What then did you go out to see? A man[46] dressed in soft clothing? Behold, those who wear soft clothing are in kings' houses. 9What then did you go out to see? A prophet?[47] Yes, I tell you, and more than a prophet. 10This is he of whom it is written,
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-“‘Behold, I send my messenger before your face,
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-who will prepare your way before you.’
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-11Truly, I say to you, among those born of women there has arisen no one greater than John the Baptist. Yet the one who is least in the kingdom of heaven is greater than he. 12From the days of John the Baptist until now the kingdom of heaven has suffered violence,[48] and the violent take it by force. 13For all the Prophets and the Law prophesied until John, 14and if you are willing to accept it, he is Elijah who is to come. 15He who has ears to hear,[49] let him hear.
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-16“But to what shall I compare this generation? It is like children sitting in the marketplaces and calling to their playmates,
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-17“‘We played the flute for you, and you did not dance;
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-we sang a dirge, and you did not mourn.’
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-18For John came neither eating nor drinking, and they say, ‘He has a demon.’ 19The Son of Man came eating and drinking, and they say, ‘Look at him! A glutton and a drunkard, a friend of tax collectors and sinners!’ Yet wisdom is justified by her deeds.”[50]
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-Woe to Unrepentant Cities
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-20Then he began to denounce the cities where most of his mighty works had been done, because they did not repent. 21“Woe to you, Chorazin! Woe to you, Bethsaida! For if the mighty works done in you had been done in Tyre and Sidon, they would have repented long ago in sackcloth and ashes. 22But I tell you, it will be more bearable on the day of judgment for Tyre and Sidon than for you. 23And you, Capernaum, will you be exalted to heaven? You will be brought down to Hades. For if the mighty works done in you had been done in Sodom, it would have remained until this day. 24But I tell you that it will be more tolerable on the day of judgment for the land of Sodom than for you.”
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-Come to Me, and I Will Give You Rest
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-25At that time Jesus declared, “I thank you, Father, Lord of heaven and earth, that you have hidden these things from the wise and understanding and revealed them to little children; 26yes, Father, for such was your gracious will.[51] 27All things have been handed over to me by my Father, and no one knows the Son except the Father, and no one knows the Father except the Son and anyone to whom the Son chooses to reveal him. 28Come to me, all who labor and are heavy laden, and I will give you rest. 29Take my yoke upon you, and learn from me, for I am gentle and lowly in heart, and you will find rest for your souls. 30For my yoke is easy, and my burden is light.”
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-Jesus Is Lord of the Sabbath
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-12:1 At that time Jesus went through the grainfields on the Sabbath. His disciples were hungry, and they began to pluck heads of grain and to eat. 2But when the Pharisees saw it, they said to him, “Look, your disciples are doing what is not lawful to do on the Sabbath.” 3He said to them, “Have you not read what David did when he was hungry, and those who were with him: 4how he entered the house of God and ate the bread of the Presence, which it was not lawful for him to eat nor for those who were with him, but only for the priests? 5Or have you not read in the Law how on the Sabbath the priests in the temple profane the Sabbath and are guiltless? 6I tell you, something greater than the temple is here. 7And if you had known what this means, ‘I desire mercy, and not sacrifice,’ you would not have condemned the guiltless. 8For the Son of Man is lord of the Sabbath.”
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-A Man with a Withered Hand
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-9He went on from there and entered their synagogue. 10And a man was there with a withered hand. And they asked him, “Is it lawful to heal on the Sabbath?”—so that they might accuse him. 11He said to them, “Which one of you who has a sheep, if it falls into a pit on the Sabbath, will not take hold of it and lift it out? 12Of how much more value is a man than a sheep! So it is lawful to do good on the Sabbath.” 13Then he said to the man, “Stretch out your hand.” And the man stretched it out, and it was restored, healthy like the other. 14But the Pharisees went out and conspired against him, how to destroy him.
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-God's Chosen Servant
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-15Jesus, aware of this, withdrew from there. And many followed him, and he healed them all 16and ordered them not to make him known. 17This was to fulfill what was spoken by the prophet Isaiah:
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-18“Behold, my servant whom I have chosen,
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-my beloved with whom my soul is well pleased.
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-I will put my Spirit upon him,
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-and he will proclaim justice to the Gentiles.
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-19He will not quarrel or cry aloud,
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-nor will anyone hear his voice in the streets;
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-20a bruised reed he will not break,
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-and a smoldering wick he will not quench,
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-until he brings justice to victory;
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-21and in his name the Gentiles will hope.”
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-Blasphemy Against the Holy Spirit
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-22Then a demon-oppressed man who was blind and mute was brought to him, and he healed him, so that the man spoke and saw. 23And all the people were amazed, and said, “Can this be the Son of David?” 24But when the Pharisees heard it, they said, “It is only by Beelzebul, the prince of demons, that this man casts out demons.” 25Knowing their thoughts, he said to them, “Every kingdom divided against itself is laid waste, and no city or house divided against itself will stand. 26And if Satan casts out Satan, he is divided against himself. How then will his kingdom stand? 27And if I cast out demons by Beelzebul, by whom do your sons cast them out? Therefore they will be your judges. 28But if it is by the Spirit of God that I cast out demons, then the kingdom of God has come upon you. 29Or how can someone enter a strong man's house and plunder his goods, unless he first binds the strong man? Then indeed he may plunder his house. 30Whoever is not with me is against me, and whoever does not gather with me scatters. 31Therefore I tell you, every sin and blasphemy will be forgiven people, but the blasphemy against the Spirit will not be forgiven. 32And whoever speaks a word against the Son of Man will be forgiven, but whoever speaks against the Holy Spirit will not be forgiven, either in this age or in the age to come.
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-A Tree Is Known by Its Fruit
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-33“Either make the tree good and its fruit good, or make the tree bad and its fruit bad, for the tree is known by its fruit. 34You brood of vipers! How can you speak good, when you are evil? For out of the abundance of the heart the mouth speaks. 35The good person out of his good treasure brings forth good, and the evil person out of his evil treasure brings forth evil. 36I tell you, on the day of judgment people will give account for every careless word they speak, 37for by your words you will be justified, and by your words you will be condemned.”
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-The Sign of Jonah
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-38Then some of the scribes and Pharisees answered him, saying, “Teacher, we wish to see a sign from you.” 39But he answered them, “An evil and adulterous generation seeks for a sign, but no sign will be given to it except the sign of the prophet Jonah. 40For just as Jonah was three days and three nights in the belly of the great fish, so will the Son of Man be three days and three nights in the heart of the earth. 41The men of Nineveh will rise up at the judgment with this generation and condemn it, for they repented at the preaching of Jonah, and behold, something greater than Jonah is here. 42The queen of the South will rise up at the judgment with this generation and condemn it, for she came from the ends of the earth to hear the wisdom of Solomon, and behold, something greater than Solomon is here.
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-Return of an Unclean Spirit
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-43“When the unclean spirit has gone out of a person, it passes through waterless places seeking rest, but finds none. 44Then it says, ‘I will return to my house from which I came.’ And when it comes, it finds the house empty, swept, and put in order. 45Then it goes and brings with it seven other spirits more evil than itself, and they enter and dwell there, and the last state of that person is worse than the first. So also will it be with this evil generation.”
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-Jesus' Mother and Brothers
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-46While he was still speaking to the people, behold, his mother and his brothers stood outside, asking to speak to him.[52] 48But he replied to the man who told him, “Who is my mother, and who are my brothers?” 49And stretching out his hand toward his disciples, he said, “Here are my mother and my brothers! 50For whoever does the will of my Father in heaven is my brother and sister and mother.”
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-The Parable of the Sower
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-13:1 That same day Jesus went out of the house and sat beside the sea. 2And great crowds gathered about him, so that he got into a boat and sat down. And the whole crowd stood on the beach. 3And he told them many things in parables, saying: “A sower went out to sow. 4And as he sowed, some seeds fell along the path, and the birds came and devoured them. 5Other seeds fell on rocky ground, where they did not have much soil, and immediately they sprang up, since they had no depth of soil, 6but when the sun rose they were scorched. And since they had no root, they withered away. 7Other seeds fell among thorns, and the thorns grew up and choked them. 8Other seeds fell on good soil and produced grain, some a hundredfold, some sixty, some thirty. 9He who has ears,[53] let him hear.”
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-The Purpose of the Parables
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-10Then the disciples came and said to him, “Why do you speak to them in parables?” 11And he answered them, “To you it has been given to know the secrets of the kingdom of heaven, but to them it has not been given. 12For to the one who has, more will be given, and he will have an abundance, but from the one who has not, even what he has will be taken away. 13This is why I speak to them in parables, because seeing they do not see, and hearing they do not hear, nor do they understand. 14Indeed, in their case the prophecy of Isaiah is fulfilled that says:
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-“‘You will indeed hear but never understand,
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-and you will indeed see but never perceive.
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-15For this people's heart has grown dull,
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-and with their ears they can barely hear,
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-and their eyes they have closed,
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-lest they should see with their eyes
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-and hear with their ears
-
-and understand with their heart
-
-and turn, and I would heal them.’
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-16But blessed are your eyes, for they see, and your ears, for they hear. 17For truly, I say to you, many prophets and righteous people longed to see what you see, and did not see it, and to hear what you hear, and did not hear it.
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-The Parable of the Sower Explained
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-18“Hear then the parable of the sower: 19When anyone hears the word of the kingdom and does not understand it, the evil one comes and snatches away what has been sown in his heart. This is what was sown along the path. 20As for what was sown on rocky ground, this is the one who hears the word and immediately receives it with joy, 21yet he has no root in himself, but endures for a while, and when tribulation or persecution arises on account of the word, immediately he falls away.[54] 22As for what was sown among thorns, this is the one who hears the word, but the cares of the world and the deceitfulness of riches choke the word, and it proves unfruitful. 23As for what was sown on good soil, this is the one who hears the word and understands it. He indeed bears fruit and yields, in one case a hundredfold, in another sixty, and in another thirty.”
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-The Parable of the Weeds
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-24He put another parable before them, saying, “The kingdom of heaven may be compared to a man who sowed good seed in his field, 25but while his men were sleeping, his enemy came and sowed weeds[55] among the wheat and went away. 26So when the plants came up and bore grain, then the weeds appeared also. 27And the servants[56] of the master of the house came and said to him, ‘Master, did you not sow good seed in your field? How then does it have weeds?’ 28He said to them, ‘An enemy has done this.’ So the servants said to him, ‘Then do you want us to go and gather them?’ 29But he said, ‘No, lest in gathering the weeds you root up the wheat along with them. 30Let both grow together until the harvest, and at harvest time I will tell the reapers, Gather the weeds first and bind them in bundles to be burned, but gather the wheat into my barn.’”
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-The Mustard Seed and the Leaven
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-31He put another parable before them, saying, “The kingdom of heaven is like a grain of mustard seed that a man took and sowed in his field. 32It is the smallest of all seeds, but when it has grown it is larger than all the garden plants and becomes a tree, so that the birds of the air come and make nests in its branches.”
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-33He told them another parable. “The kingdom of heaven is like leaven that a woman took and hid in three measures of flour, till it was all leavened.”
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-Prophecy and Parables
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-34All these things Jesus said to the crowds in parables; indeed, he said nothing to them without a parable. 35This was to fulfill what was spoken by the prophet:[57]
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-“I will open my mouth in parables;
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-I will utter what has been hidden since the foundation of the world.”
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-The Parable of the Weeds Explained
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-36Then he left the crowds and went into the house. And his disciples came to him, saying, “Explain to us the parable of the weeds of the field.” 37He answered, “The one who sows the good seed is the Son of Man. 38The field is the world, and the good seed is the sons of the kingdom. The weeds are the sons of the evil one, 39and the enemy who sowed them is the devil. The harvest is the close of the age, and the reapers are angels. 40Just as the weeds are gathered and burned with fire, so will it be at the close of the age. 41The Son of Man will send his angels, and they will gather out of his kingdom all causes of sin and all law-breakers, 42and throw them into the fiery furnace. In that place there will be weeping and gnashing of teeth. 43Then the righteous will shine like the sun in the kingdom of their Father. He who has ears, let him hear.
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-The Parable of the Hidden Treasure
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-44“The kingdom of heaven is like treasure hidden in a field, which a man found and covered up. Then in his joy he goes and sells all that he has and buys that field.
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-The Parable of the Pearl of Great Value
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-45“Again, the kingdom of heaven is like a merchant in search of fine pearls, 46who, on finding one pearl of great value, went and sold all that he had and bought it.
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-The Parable of the Net
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-47“Again, the kingdom of heaven is like a net that was thrown into the sea and gathered fish of every kind. 48When it was full, men drew it ashore and sat down and sorted the good into containers but threw away the bad. 49So it will be at the close of the age. The angels will come out and separate the evil from the righteous 50and throw them into the fiery furnace. In that place there will be weeping and gnashing of teeth.
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-New and Old Treasures
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-51“Have you understood all these things?” They said to him, “Yes.” 52And he said to them, “Therefore every scribe who has been trained for the kingdom of heaven is like a master of a house, who brings out of his treasure what is new and what is old.”
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-Jesus Rejected at Nazareth
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-53And when Jesus had finished these parables, he went away from there, 54and coming to his hometown he taught them in their synagogue, so that they were astonished, and said, “Where did this man get this wisdom and these mighty works? 55Is not this the carpenter's son? Is not his mother called Mary? And are not his brothers James and Joseph and Simon and Judas? 56And are not all his sisters with us? Where then did this man get all these things?” 57And they took offense at him. But Jesus said to them, “A prophet is not without honor except in his hometown and in his own household.” 58And he did not do many mighty works there, because of their unbelief.
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-The Death of John the Baptist
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-14:1 At that time Herod the tetrarch heard about the fame of Jesus, 2and he said to his servants, “This is John the Baptist. He has been raised from the dead; that is why these miraculous powers are at work in him.” 3For Herod had seized John and bound him and put him in prison for the sake of Herodias, his brother Philip's wife,[58] 4because John had been saying to him, “It is not lawful for you to have her.” 5And though he wanted to put him to death, he feared the people, because they held him to be a prophet. 6But when Herod's birthday came, the daughter of Herodias danced before the company and pleased Herod, 7so that he promised with an oath to give her whatever she might ask. 8Prompted by her mother, she said, “Give me the head of John the Baptist here on a platter.” 9And the king was sorry, but because of his oaths and his guests he commanded it to be given. 10He sent and had John beheaded in the prison, 11and his head was brought on a platter and given to the girl, and she brought it to her mother. 12And his disciples came and took the body and buried it, and they went and told Jesus.
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-Jesus Feeds the Five Thousand
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-13Now when Jesus heard this, he withdrew from there in a boat to a desolate place by himself. But when the crowds heard it, they followed him on foot from the towns. 14When he went ashore he saw a great crowd, and he had compassion on them and healed their sick. 15Now when it was evening, the disciples came to him and said, “This is a desolate place, and the day is now over; send the crowds away to go into the villages and buy food for themselves.” 16But Jesus said, “They need not go away; you give them something to eat.” 17They said to him, “We have only five loaves here and two fish.” 18And he said, “Bring them here to me.” 19Then he ordered the crowds to sit down on the grass, and taking the five loaves and the two fish, he looked up to heaven and said a blessing. Then he broke the loaves and gave them to the disciples, and the disciples gave them to the crowds. 20And they all ate and were satisfied. And they took up twelve baskets full of the broken pieces left over. 21And those who ate were about five thousand men, besides women and children.
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-Jesus Walks on the Water
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-22Immediately he made the disciples get into the boat and go before him to the other side, while he dismissed the crowds. 23And after he had dismissed the crowds, he went up on the mountain by himself to pray. When evening came, he was there alone, 24but the boat by this time was a long way[59] from the land,[60] beaten by the waves, for the wind was against them. 25And in the fourth watch of the night he came to them, walking on the sea. 26But when the disciples saw him walking on the sea, they were terrified, and said, “It is a ghost!” and they cried out in fear. 27But immediately Jesus spoke to them, saying, “Take heart; it is I. Do not be afraid.”
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-28And Peter answered him, “Lord, if it is you, command me to come to you on the water.” 29He said, “Come.” So Peter got out of the boat and walked on the water and came to Jesus. 30But when he saw the wind,[61] he was afraid, and beginning to sink he cried out, “Lord, save me.” 31Jesus immediately reached out his hand and took hold of him, saying to him, “O you of little faith, why did you doubt?” 32And when they got into the boat, the wind ceased. 33And those in the boat worshiped him, saying, “Truly you are the Son of God.”
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-Jesus Heals the Sick in Gennesaret
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-34And when they had crossed over, they came to land at Gennesaret. 35And when the men of that place recognized him, they sent around to all that region and brought to him all who were sick 36and implored him that they might only touch the fringe of his garment. And as many as touched it were made well.
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-Traditions and Commandments
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-15:1 Then Pharisees and scribes came to Jesus from Jerusalem and said, 2“Why do your disciples break the tradition of the elders? For they do not wash their hands when they eat.” 3He answered them, “And why do you break the commandment of God for the sake of your tradition? 4For God commanded, ‘Honor your father and your mother,’ and, ‘Whoever reviles father or mother must surely die.’ 5But you say, ‘If anyone tells his father or his mother, “What you would have gained from me is given to God,”[62] 6he need not honor his father.’ So for the sake of your tradition you have made void the word[63] of God. 7You hypocrites! Well did Isaiah prophesy of you, when he said:
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-8“‘This people honors me with their lips,
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-but their heart is far from me;
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-9in vain do they worship me,
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-teaching as doctrines the commandments of men.’”
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-What Defiles a Person
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-10And he called the people to him and said to them, “Hear and understand: 11it is not what goes into the mouth that defiles a person, but what comes out of the mouth; this defiles a person.” 12Then the disciples came and said to him, “Do you know that the Pharisees were offended when they heard this saying?” 13He answered, “Every plant that my heavenly Father has not planted will be rooted up. 14Let them alone; they are blind guides.[64] And if the blind lead the blind, both will fall into a pit.” 15But Peter said to him, “Explain the parable to us.” 16And he said, “Are you also still without understanding? 17Do you not see that whatever goes into the mouth passes into the stomach and is expelled?[65] 18But what comes out of the mouth proceeds from the heart, and this defiles a person. 19For out of the heart come evil thoughts, murder, adultery, sexual immorality, theft, false witness, slander. 20These are what defile a person. But to eat with unwashed hands does not defile anyone.”
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-The Faith of a Canaanite Woman
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-21And Jesus went away from there and withdrew to the district of Tyre and Sidon. 22And behold, a Canaanite woman from that region came out and was crying, “Have mercy on me, O Lord, Son of David; my daughter is severely oppressed by a demon.” 23But he did not answer her a word. And his disciples came and begged him, saying, “Send her away, for she is crying out after us.” 24He answered, “I was sent only to the lost sheep of the house of Israel.” 25But she came and knelt before him, saying, “Lord, help me.” 26And he answered, “It is not right to take the children's bread and throw it to the dogs.” 27She said, “Yes, Lord, yet even the dogs eat the crumbs that fall from their masters' table.” 28Then Jesus answered her, “O woman, great is your faith! Be it done for you as you desire.” And her daughter was healed instantly.[66]
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-Jesus Heals Many
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-29Jesus went on from there and walked beside the Sea of Galilee. And he went up on the mountain and sat down there. 30And great crowds came to him, bringing with them the lame, the blind, the crippled, the mute, and many others, and they put them at his feet, and he healed them, 31so that the crowd wondered, when they saw the mute speaking, the crippled healthy, the lame walking, and the blind seeing. And they glorified the God of Israel.
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-Jesus Feeds the Four Thousand
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-32Then Jesus called his disciples to him and said, “I have compassion on the crowd because they have been with me now three days and have nothing to eat. And I am unwilling to send them away hungry, lest they faint on the way.” 33And the disciples said to him, “Where are we to get enough bread in such a desolate place to feed so great a crowd?” 34And Jesus said to them, “How many loaves do you have?” They said, “Seven, and a few small fish.” 35And directing the crowd to sit down on the ground, 36he took the seven loaves and the fish, and having given thanks he broke them and gave them to the disciples, and the disciples gave them to the crowds. 37And they all ate and were satisfied. And they took up seven baskets full of the broken pieces left over. 38Those who ate were four thousand men, besides women and children. 39And after sending away the crowds, he got into the boat and went to the region of Magadan.
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-The Pharisees and Sadducees Demand Signs
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-16:1 And the Pharisees and Sadducees came, and to test him they asked him to show them a sign from heaven. 2He answered them,[67] “When it is evening, you say, ‘It will be fair weather, for the sky is red.’ 3And in the morning, ‘It will be stormy today, for the sky is red and threatening.’ You know how to interpret the appearance of the sky, but you cannot interpret the signs of the times. 4An evil and adulterous generation seeks for a sign, but no sign will be given to it except the sign of Jonah.” So he left them and departed.
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-The Leaven of the Pharisees and Sadducees
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-5When the disciples reached the other side, they had forgotten to bring any bread. 6Jesus said to them, “Watch and beware of the leaven of the Pharisees and Sadducees.” 7And they began discussing it among themselves, saying, “We brought no bread.” 8But Jesus, aware of this, said, “O you of little faith, why are you discussing among yourselves the fact that you have no bread? 9Do you not yet perceive? Do you not remember the five loaves for the five thousand, and how many baskets you gathered? 10Or the seven loaves for the four thousand, and how many baskets you gathered? 11How is it that you fail to understand that I did not speak about bread? Beware of the leaven of the Pharisees and Sadducees.” 12Then they understood that he did not tell them to beware of the leaven of bread, but of the teaching of the Pharisees and Sadducees.
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-Peter Confesses Jesus as the Christ
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-13Now when Jesus came into the district of Caesarea Philippi, he asked his disciples, “Who do people say that the Son of Man is?” 14And they said, “Some say John the Baptist, others say Elijah, and others Jeremiah or one of the prophets.” 15He said to them, “But who do you say that I am?” 16Simon Peter replied, “You are the Christ, the Son of the living God.” 17And Jesus answered him, “Blessed are you, Simon Bar-Jonah! For flesh and blood has not revealed this to you, but my Father who is in heaven. 18And I tell you, you are Peter, and on this rock[68] I will build my church, and the gates of hell[69] shall not prevail against it. 19I will give you the keys of the kingdom of heaven, and whatever you bind on earth shall be bound in heaven, and whatever you loose on earth shall be loosed[70] in heaven.” 20Then he strictly charged the disciples to tell no one that he was the Christ.
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-Jesus Foretells His Death and Resurrection
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-21From that time Jesus began to show his disciples that he must go to Jerusalem and suffer many things from the elders and chief priests and scribes, and be killed, and on the third day be raised. 22And Peter took him aside and began to rebuke him, saying, “Far be it from you, Lord![71] This shall never happen to you.” 23But he turned and said to Peter, “Get behind me, Satan! You are a hindrance[72] to me. For you are not setting your mind on the things of God, but on the things of man.”
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-Take Up Your Cross and Follow Jesus
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-24Then Jesus told his disciples, “If anyone would come after me, let him deny himself and take up his cross and follow me. 25For whoever would save his life[73] will lose it, but whoever loses his life for my sake will find it. 26For what will it profit a man if he gains the whole world and forfeits his soul? Or what shall a man give in return for his soul? 27For the Son of Man is going to come with his angels in the glory of his Father, and then he will repay each person according to what he has done. 28Truly, I say to you, there are some standing here who will not taste death until they see the Son of Man coming in his kingdom.”
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-The Transfiguration
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-17:1 And after six days Jesus took with him Peter and James, and John his brother, and led them up a high mountain by themselves. 2And he was transfigured before them, and his face shone like the sun, and his clothes became white as light. 3And behold, there appeared to them Moses and Elijah, talking with him. 4And Peter said to Jesus, “Lord, it is good that we are here. If you wish, I will make three tents here, one for you and one for Moses and one for Elijah.” 5He was still speaking when, behold, a bright cloud overshadowed them, and a voice from the cloud said, “This is my beloved Son,[74] with whom I am well pleased; listen to him.” 6When the disciples heard this, they fell on their faces and were terrified. 7But Jesus came and touched them, saying, “Rise, and have no fear.” 8And when they lifted up their eyes, they saw no one but Jesus only.
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-9And as they were coming down the mountain, Jesus commanded them, “Tell no one the vision, until the Son of Man is raised from the dead.” 10And the disciples asked him, “Then why do the scribes say that first Elijah must come?” 11He answered, “Elijah does come, and he will restore all things. 12But I tell you that Elijah has already come, and they did not recognize him, but did to him whatever they pleased. So also the Son of Man will certainly suffer at their hands.” 13Then the disciples understood that he was speaking to them of John the Baptist.
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-Jesus Heals a Boy with a Demon
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-14And when they came to the crowd, a man came up to him and, kneeling before him, 15said, “Lord, have mercy on my son, for he is an epileptic and he suffers terribly. For often he falls into the fire, and often into the water. 16And I brought him to your disciples, and they could not heal him.” 17And Jesus answered, “O faithless and twisted generation, how long am I to be with you? How long am I to bear with you? Bring him here to me.” 18And Jesus rebuked the demon,[75] and it[76] came out of him, and the boy was healed instantly.[77] 19Then the disciples came to Jesus privately and said, “Why could we not cast it out?” 20He said to them, “Because of your little faith. For truly, I say to you, if you have faith like a grain of mustard seed, you will say to this mountain, ‘Move from here to there,’ and it will move, and nothing will be impossible for you.”[78]
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-Jesus Again Foretells Death, Resurrection
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-22As they were gathering[79] in Galilee, Jesus said to them, “The Son of Man is about to be delivered into the hands of men, 23and they will kill him, and he will be raised on the third day.” And they were greatly distressed.
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-The Temple Tax
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-24When they came to Capernaum, the collectors of the two-drachma tax went up to Peter and said, “Does your teacher not pay the tax?” 25He said, “Yes.” And when he came into the house, Jesus spoke to him first, saying, “What do you think, Simon? From whom do kings of the earth take toll or tax? From their sons or from others?” 26And when he said, “From others,” Jesus said to him, “Then the sons are free. 27However, not to give offense to them, go to the sea and cast a hook and take the first fish that comes up, and when you open its mouth you will find a shekel.[80] Take that and give it to them for me and for yourself.”
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-Who Is the Greatest?
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-18:1 At that time the disciples came to Jesus, saying, “Who is the greatest in the kingdom of heaven?” 2And calling to him a child, he put him in the midst of them 3and said, “Truly, I say to you, unless you turn and become like children, you will never enter the kingdom of heaven. 4Whoever humbles himself like this child is the greatest in the kingdom of heaven.
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-5“Whoever receives one such child in my name receives me, 6but whoever causes one of these little ones who believe in me to sin,[81] it would be better for him to have a great millstone fastened around his neck and to be drowned in the depth of the sea.
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-Temptations to Sin
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-7“Woe to the world for temptations to sin![82] For it is necessary that temptations come, but woe to the one by whom the temptation comes! 8And if your hand or your foot causes you to sin, cut it off and throw it away. It is better for you to enter life crippled or lame than with two hands or two feet to be thrown into the eternal fire. 9And if your eye causes you to sin, tear it out and throw it away. It is better for you to enter life with one eye than with two eyes to be thrown into the hell[83] of fire.
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-The Parable of the Lost Sheep
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-10“See that you do not despise one of these little ones. For I tell you that in heaven their angels always see the face of my Father who is in heaven.[84] 12What do you think? If a man has a hundred sheep, and one of them has gone astray, does he not leave the ninety-nine on the mountains and go in search of the one that went astray? 13And if he finds it, truly, I say to you, he rejoices over it more than over the ninety-nine that never went astray. 14So it is not the will of my[85] Father who is in heaven that one of these little ones should perish.
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-If Your Brother Sins Against You
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-15“If your brother sins against you, go and tell him his fault, between you and him alone. If he listens to you, you have gained your brother. 16But if he does not listen, take one or two others along with you, that every charge may be established by the evidence of two or three witnesses. 17If he refuses to listen to them, tell it to the church. And if he refuses to listen even to the church, let him be to you as a Gentile and a tax collector. 18Truly, I say to you, whatever you bind on earth shall be bound in heaven, and whatever you loose on earth shall be loosed[86] in heaven. 19Again I say to you, if two of you agree on earth about anything they ask, it will be done for them by my Father in heaven. 20For where two or three are gathered in my name, there am I among them.”
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-The Parable of the Unforgiving Servant
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-21Then Peter came up and said to him, “Lord, how often will my brother sin against me, and I forgive him? As many as seven times?” 22Jesus said to him, “I do not say to you seven times, but seventy times seven.[87]
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-23“Therefore the kingdom of heaven may be compared to a king who wished to settle accounts with his servants.[88] 24When he began to settle, one was brought to him who owed him ten thousand talents.[89] 25And since he could not pay, his master ordered him to be sold, with his wife and children and all that he had, and payment to be made. 26So the servant[90] fell on his knees, imploring him, ‘Have patience with me, and I will pay you everything.’ 27And out of pity for him, the master of that servant released him and forgave him the debt. 28But when that same servant went out, he found one of his fellow servants who owed him a hundred denarii,[91] and seizing him, he began to choke him, saying, ‘Pay what you owe.’ 29So his fellow servant fell down and pleaded with him, ‘Have patience with me, and I will pay you.’ 30He refused and went and put him in prison until he should pay the debt. 31When his fellow servants saw what had taken place, they were greatly distressed, and they went and reported to their master all that had taken place. 32Then his master summoned him and said to him, ‘You wicked servant! I forgave you all that debt because you pleaded with me. 33And should not you have had mercy on your fellow servant, as I had mercy on you?’ 34And in anger his master delivered him to the jailers,[92] until he should pay all his debt. 35So also my heavenly Father will do to every one of you, if you do not forgive your brother from your heart.”
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-Teaching About Divorce
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-19:1 Now when Jesus had finished these sayings, he went away from Galilee and entered the region of Judea beyond the Jordan. 2And large crowds followed him, and he healed them there.
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-3And Pharisees came up to him and tested him by asking, “Is it lawful to divorce one's wife for any cause?” 4He answered, “Have you not read that he who created them from the beginning made them male and female, 5and said, ‘Therefore a man shall leave his father and his mother and hold fast to his wife, and the two shall become one flesh’? 6So they are no longer two but one flesh. What therefore God has joined together, let not man separate.” 7They said to him, “Why then did Moses command one to give a certificate of divorce and to send her away?” 8He said to them, “Because of your hardness of heart Moses allowed you to divorce your wives, but from the beginning it was not so. 9And I say to you: whoever divorces his wife, except for sexual immorality, and marries another, commits adultery.”[93]
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-10The disciples said to him, “If such is the case of a man with his wife, it is better not to marry.” 11But he said to them, “Not everyone can receive this saying, but only those to whom it is given. 12For there are eunuchs who have been so from birth, and there are eunuchs who have been made eunuchs by men, and there are eunuchs who have made themselves eunuchs for the sake of the kingdom of heaven. Let the one who is able to receive this receive it.”
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-Let the Children Come to Me
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-13Then children were brought to him that he might lay his hands on them and pray. The disciples rebuked the people, 14but Jesus said, “Let the little children come to me and do not hinder them, for to such belongs the kingdom of heaven.” 15And he laid his hands on them and went away.
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-The Rich Young Man
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-16And behold, a man came up to him, saying, “Teacher, what good deed must I do to have eternal life?” 17And he said to him, “Why do you ask me about what is good? There is only one who is good. If you would enter life, keep the commandments.” 18He said to him, “Which ones?” And Jesus said, “You shall not murder, You shall not commit adultery, You shall not steal, You shall not bear false witness, 19Honor your father and mother, and, You shall love your neighbor as yourself.” 20The young man said to him, “All these I have kept. What do I still lack?” 21Jesus said to him, “If you would be perfect, go, sell what you possess and give to the poor, and you will have treasure in heaven; and come, follow me.” 22When the young man heard this he went away sorrowful, for he had great possessions.
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-23And Jesus said to his disciples, “Truly, I say to you, only with difficulty will a rich person enter the kingdom of heaven. 24Again I tell you, it is easier for a camel to go through the eye of a needle than for a rich person to enter the kingdom of God.” 25When the disciples heard this, they were greatly astonished, saying, “Who then can be saved?” 26But Jesus looked at them and said, “With man this is impossible, but with God all things are possible.” 27Then Peter said in reply, “See, we have left everything and followed you. What then will we have?” 28Jesus said to them, “Truly, I say to you, in the new world,[94] when the Son of Man will sit on his glorious throne, you who have followed me will also sit on twelve thrones, judging the twelve tribes of Israel. 29And everyone who has left houses or brothers or sisters or father or mother or children or lands, for my name's sake, will receive a hundredfold[95] and will inherit eternal life. 30But many who are first will be last, and the last first.
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-Laborers in the Vineyard
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-20:1 “For the kingdom of heaven is like a master of a house who went out early in the morning to hire laborers for his vineyard. 2After agreeing with the laborers for a denarius[96] a day, he sent them into his vineyard. 3And going out about the third hour he saw others standing idle in the marketplace, 4and to them he said, ‘You go into the vineyard too, and whatever is right I will give you.’ 5So they went. Going out again about the sixth hour and the ninth hour, he did the same. 6And about the eleventh hour he went out and found others standing. And he said to them, ‘Why do you stand here idle all day?’ 7They said to him, ‘Because no one has hired us.’ He said to them, ‘You go into the vineyard too.’ 8And when evening came, the owner of the vineyard said to his foreman, ‘Call the laborers and pay them their wages, beginning with the last, up to the first.’ 9And when those hired about the eleventh hour came, each of them received a denarius. 10Now when those hired first came, they thought they would receive more, but each of them also received a denarius. 11And on receiving it they grumbled at the master of the house, 12saying, ‘These last worked only one hour, and you have made them equal to us who have borne the burden of the day and the scorching heat.’ 13But he replied to one of them, ‘Friend, I am doing you no wrong. Did you not agree with me for a denarius? 14Take what belongs to you and go. I choose to give to this last worker as I give to you. 15Am I not allowed to do what I choose with what belongs to me? Or do you begrudge my generosity?’[97] 16So the last will be first, and the first last.”
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-Jesus Foretells His Death a Third Time
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-17And as Jesus was going up to Jerusalem, he took the twelve disciples aside, and on the way he said to them, 18“See, we are going up to Jerusalem. And the Son of Man will be delivered over to the chief priests and scribes, and they will condemn him to death 19and deliver him over to the Gentiles to be mocked and flogged and crucified, and he will be raised on the third day.”
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-A Mother's Request
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-20Then the mother of the sons of Zebedee came up to him with her sons, and kneeling before him she asked him for something. 21And he said to her, “What do you want?” She said to him, “Say that these two sons of mine are to sit, one at your right hand and one at your left, in your kingdom.” 22Jesus answered, “You do not know what you are asking. Are you able to drink the cup that I am to drink?” They said to him, “We are able.” 23He said to them, “You will drink my cup, but to sit at my right hand and at my left is not mine to grant, but it is for those for whom it has been prepared by my Father.” 24And when the ten heard it, they were indignant at the two brothers. 25But Jesus called them to him and said, “You know that the rulers of the Gentiles lord it over them, and their great ones exercise authority over them. 26It shall not be so among you. But whoever would be great among you must be your servant,[98] 27and whoever would be first among you must be your slave,[99] 28even as the Son of Man came not to be served but to serve, and to give his life as a ransom for many.”
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-Jesus Heals Two Blind Men
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-29And as they went out of Jericho, a great crowd followed him. 30And behold, there were two blind men sitting by the roadside, and when they heard that Jesus was passing by, they cried out, “Lord,[100] have mercy on us, Son of David!” 31The crowd rebuked them, telling them to be silent, but they cried out all the more, “Lord, have mercy on us, Son of David!” 32And stopping, Jesus called them and said, “What do you want me to do for you?” 33They said to him, “Lord, let our eyes be opened.” 34And Jesus in pity touched their eyes, and immediately they recovered their sight and followed him.
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-The Triumphal Entry
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-21:1 Now when they drew near to Jerusalem and came to Bethphage, to the Mount of Olives, then Jesus sent two disciples, 2saying to them, “Go into the village in front of you, and immediately you will find a donkey tied, and a colt with her. Untie them and bring them to me. 3If anyone says anything to you, you shall say, ‘The Lord needs them,’ and he will send them at once.” 4This took place to fulfill what was spoken by the prophet, saying,
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-5“Say to the daughter of Zion,
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-‘Behold, your king is coming to you,
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-humble, and mounted on a donkey,
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-and[101] on a colt, the foal of a beast of burden.’”
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-6The disciples went and did as Jesus had directed them. 7They brought the donkey and the colt and put on them their cloaks, and he sat on them. 8Most of the crowd spread their cloaks on the road, and others cut branches from the trees and spread them on the road. 9And the crowds that went before him and that followed him were shouting, “Hosanna to the Son of David! Blessed is he who comes in the name of the Lord! Hosanna in the highest!” 10And when he entered Jerusalem, the whole city was stirred up, saying, “Who is this?” 11And the crowds said, “This is the prophet Jesus, from Nazareth of Galilee.”
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-Jesus Cleanses the Temple
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-12And Jesus entered the temple[102] and drove out all who sold and bought in the temple, and he overturned the tables of the money-changers and the seats of those who sold pigeons. 13He said to them, “It is written, ‘My house shall be called a house of prayer,’ but you make it a den of robbers.”
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-14And the blind and the lame came to him in the temple, and he healed them. 15But when the chief priests and the scribes saw the wonderful things that he did, and the children crying out in the temple, “Hosanna to the Son of David!” they were indignant, 16and they said to him, “Do you hear what these are saying?” And Jesus said to them, “Yes; have you never read,
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-“‘Out of the mouth of infants and nursing babies
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-you have prepared praise’?”
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-17And leaving them, he went out of the city to Bethany and lodged there.
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-Jesus Curses the Fig Tree
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-18In the morning, as he was returning to the city, he became hungry. 19And seeing a fig tree by the wayside, he went to it and found nothing on it but only leaves. And he said to it, “May no fruit ever come from you again!” And the fig tree withered at once.
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-20When the disciples saw it, they marveled, saying, “How did the fig tree wither at once?” 21And Jesus answered them, “Truly, I say to you, if you have faith and do not doubt, you will not only do what has been done to the fig tree, but even if you say to this mountain, ‘Be taken up and thrown into the sea,’ it will happen. 22And whatever you ask in prayer, you will receive, if you have faith.”
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-The Authority of Jesus Challenged
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-23And when he entered the temple, the chief priests and the elders of the people came up to him as he was teaching, and said, “By what authority are you doing these things, and who gave you this authority?” 24Jesus answered them, “I also will ask you one question, and if you tell me the answer, then I also will tell you by what authority I do these things. 25The baptism of John, from where did it come? From heaven or from man?” And they discussed it among themselves, saying, “If we say, ‘From heaven,’ he will say to us, ‘Why then did you not believe him?’ 26But if we say, ‘From man,’ we are afraid of the crowd, for they all hold that John was a prophet.” 27So they answered Jesus, “We do not know.” And he said to them, “Neither will I tell you by what authority I do these things.
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-The Parable of the Two Sons
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-28“What do you think? A man had two sons. And he went to the first and said, ‘Son, go and work in the vineyard today.’ 29And he answered, ‘I will not,’ but afterward he changed his mind and went. 30And he went to the other son and said the same. And he answered, ‘I go, sir,’ but did not go. 31Which of the two did the will of his father?” They said, “The first.” Jesus said to them, “Truly, I say to you, the tax collectors and the prostitutes go into the kingdom of God before you. 32For John came to you in the way of righteousness, and you did not believe him, but the tax collectors and the prostitutes believed him. And even when you saw it, you did not afterward change your minds and believe him.
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-The Parable of the Tenants
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-33“Hear another parable. There was a master of a house who planted a vineyard and put a fence around it and dug a winepress in it and built a tower and leased it to tenants, and went into another country. 34When the season for fruit drew near, he sent his servants[103] to the tenants to get his fruit. 35And the tenants took his servants and beat one, killed another, and stoned another. 36Again he sent other servants, more than the first. And they did the same to them. 37Finally he sent his son to them, saying, ‘They will respect my son.’ 38But when the tenants saw the son, they said to themselves, ‘This is the heir. Come, let us kill him and have his inheritance.’ 39And they took him and threw him out of the vineyard and killed him. 40When therefore the owner of the vineyard comes, what will he do to those tenants?” 41They said to him, “He will put those wretches to a miserable death and let out the vineyard to other tenants who will give him the fruits in their seasons.”
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-42Jesus said to them, “Have you never read in the Scriptures:
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-“‘The stone that the builders rejected
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-has become the cornerstone;[104]
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-this was the Lord's doing,
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-and it is marvelous in our eyes’?
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-43Therefore I tell you, the kingdom of God will be taken away from you and given to a people producing its fruits. 44And the one who falls on this stone will be broken to pieces; and when it falls on anyone, it will crush him.”[105]
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-45When the chief priests and the Pharisees heard his parables, they perceived that he was speaking about them. 46And although they were seeking to arrest him, they feared the crowds, because they held him to be a prophet.
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-The Parable of the Wedding Feast
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-22:1 And again Jesus spoke to them in parables, saying, 2“The kingdom of heaven may be compared to a king who gave a wedding feast for his son, 3and sent his servants[106] to call those who were invited to the wedding feast, but they would not come. 4Again he sent other servants, saying, ‘Tell those who are invited, See, I have prepared my dinner, my oxen and my fat calves have been slaughtered, and everything is ready. Come to the wedding feast.’ 5But they paid no attention and went off, one to his farm, another to his business, 6while the rest seized his servants, treated them shamefully, and killed them. 7The king was angry, and he sent his troops and destroyed those murderers and burned their city. 8Then he said to his servants, ‘The wedding feast is ready, but those invited were not worthy. 9Go therefore to the main roads and invite to the wedding feast as many as you find.’ 10And those servants went out into the roads and gathered all whom they found, both bad and good. So the wedding hall was filled with guests.
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-11“But when the king came in to look at the guests, he saw there a man who had no wedding garment. 12And he said to him, ‘Friend, how did you get in here without a wedding garment?’ And he was speechless. 13Then the king said to the attendants, ‘Bind him hand and foot and cast him into the outer darkness. In that place there will be weeping and gnashing of teeth.’ 14For many are called, but few are chosen.”
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-Paying Taxes to Caesar
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-15Then the Pharisees went and plotted how to entangle him in his words. 16And they sent their disciples to him, along with the Herodians, saying, “Teacher, we know that you are true and teach the way of God truthfully, and you do not care about anyone's opinion, for you are not swayed by appearances.[107] 17Tell us, then, what you think. Is it lawful to pay taxes to Caesar, or not?” 18But Jesus, aware of their malice, said, “Why put me to the test, you hypocrites? 19Show me the coin for the tax.” And they brought him a denarius.[108] 20And Jesus said to them, “Whose likeness and inscription is this?” 21They said, “Caesar's.” Then he said to them, “Therefore render to Caesar the things that are Caesar's, and to God the things that are God's.” 22When they heard it, they marveled. And they left him and went away.
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-Sadducees Ask About the Resurrection
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-23The same day Sadducees came to him, who say that there is no resurrection, and they asked him a question, 24saying, “Teacher, Moses said, ‘If a man dies having no children, his brother must marry the widow and raise up children for his brother.’ 25Now there were seven brothers among us. The first married and died, and having no children left his wife to his brother. 26So too the second and third, down to the seventh. 27After them all, the woman died. 28In the resurrection, therefore, of the seven, whose wife will she be? For they all had her.”
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-29But Jesus answered them, “You are wrong, because you know neither the Scriptures nor the power of God. 30For in the resurrection they neither marry nor are given in marriage, but are like angels in heaven. 31And as for the resurrection of the dead, have you not read what was said to you by God: 32‘I am the God of Abraham, and the God of Isaac, and the God of Jacob’? He is not God of the dead, but of the living.” 33And when the crowd heard it, they were astonished at his teaching.
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-The Great Commandment
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-34But when the Pharisees heard that he had silenced the Sadducees, they gathered together. 35And one of them, a lawyer, asked him a question to test him. 36“Teacher, which is the great commandment in the Law?” 37And he said to him, “You shall love the Lord your God with all your heart and with all your soul and with all your mind. 38This is the great and first commandment. 39And a second is like it: You shall love your neighbor as yourself. 40On these two commandments depend all the Law and the Prophets.”
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-Whose Son Is the Christ?
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-41Now while the Pharisees were gathered together, Jesus asked them a question, 42saying, “What do you think about the Christ? Whose son is he?” They said to him, “The son of David.” 43He said to them, “How is it then that David, in the Spirit, calls him Lord, saying,
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-44“‘The Lord said to my Lord,
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-Sit at my right hand,
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-until I put your enemies under your feet’?
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-45If then David calls him Lord, how is he his son?” 46And no one was able to answer him a word, nor from that day did anyone dare to ask him any more questions.
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-Seven Woes to the Scribes and Pharisees
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-23:1 Then Jesus said to the crowds and to his disciples, 2“The scribes and the Pharisees sit on Moses' seat, 3so practice and observe whatever they tell you—but not what they do. For they preach, but do not practice. 4They tie up heavy burdens, hard to bear,[109] and lay them on people's shoulders, but they themselves are not willing to move them with their finger. 5They do all their deeds to be seen by others. For they make their phylacteries broad and their fringes long, 6and they love the place of honor at feasts and the best seats in the synagogues 7and greetings in the marketplaces and being called rabbi[110] by others. 8But you are not to be called rabbi, for you have one teacher, and you are all brothers.[111] 9And call no man your father on earth, for you have one Father, who is in heaven. 10Neither be called instructors, for you have one instructor, the Christ. 11The greatest among you shall be your servant. 12Whoever exalts himself will be humbled, and whoever humbles himself will be exalted.
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-13“But woe to you, scribes and Pharisees, hypocrites! For you shut the kingdom of heaven in people's faces. For you neither enter yourselves nor allow those who would enter to go in.[112] 15Woe to you, scribes and Pharisees, hypocrites! For you travel across sea and land to make a single proselyte, and when he becomes a proselyte, you make him twice as much a child of hell[113] as yourselves.
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-16“Woe to you, blind guides, who say, ‘If anyone swears by the temple, it is nothing, but if anyone swears by the gold of the temple, he is bound by his oath.’ 17You blind fools! For which is greater, the gold or the temple that has made the gold sacred? 18And you say, ‘If anyone swears by the altar, it is nothing, but if anyone swears by the gift that is on the altar, he is bound by his oath.’ 19You blind men! For which is greater, the gift or the altar that makes the gift sacred? 20So whoever swears by the altar swears by it and by everything on it. 21And whoever swears by the temple swears by it and by him who dwells in it. 22And whoever swears by heaven swears by the throne of God and by him who sits upon it.
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-23“Woe to you, scribes and Pharisees, hypocrites! For you tithe mint and dill and cumin, and have neglected the weightier matters of the law: justice and mercy and faithfulness. These you ought to have done, without neglecting the others. 24You blind guides, straining out a gnat and swallowing a camel!
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-25“Woe to you, scribes and Pharisees, hypocrites! For you clean the outside of the cup and the plate, but inside they are full of greed and self-indulgence. 26You blind Pharisee! First clean the inside of the cup and the plate, that the outside also may be clean.
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-27“Woe to you, scribes and Pharisees, hypocrites! For you are like whitewashed tombs, which outwardly appear beautiful, but within are full of dead people's bones and all uncleanness. 28So you also outwardly appear righteous to others, but within you are full of hypocrisy and lawlessness.
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-29“Woe to you, scribes and Pharisees, hypocrites! For you build the tombs of the prophets and decorate the monuments of the righteous, 30saying, ‘If we had lived in the days of our fathers, we would not have taken part with them in shedding the blood of the prophets.’ 31Thus you witness against yourselves that you are sons of those who murdered the prophets. 32Fill up, then, the measure of your fathers. 33You serpents, you brood of vipers, how are you to escape being sentenced to hell? 34Therefore I send you prophets and wise men and scribes, some of whom you will kill and crucify, and some you will flog in your synagogues and persecute from town to town, 35so that on you may come all the righteous blood shed on earth, from the blood of innocent Abel to the blood of Zechariah the son of Barachiah,[114] whom you murdered between the sanctuary and the altar. 36Truly, I say to you, all these things will come upon this generation.
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-Lament over Jerusalem
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-37“O Jerusalem, Jerusalem, the city that kills the prophets and stones those who are sent to it! How often would I have gathered your children together as a hen gathers her brood under her wings, and you would not! 38See, your house is left to you desolate. 39For I tell you, you will not see me again, until you say, ‘Blessed is he who comes in the name of the Lord.’”
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-Jesus Foretells Destruction of the Temple
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-24:1 Jesus left the temple and was going away, when his disciples came to point out to him the buildings of the temple. 2But he answered them, “You see all these, do you not? Truly, I say to you, there will not be left here one stone upon another that will not be thrown down.”
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-Signs of the Close of the Age
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-3As he sat on the Mount of Olives, the disciples came to him privately, saying, “Tell us, when will these things be, and what will be the sign of your coming and of the close of the age?” 4And Jesus answered them, “See that no one leads you astray. 5For many will come in my name, saying, ‘I am the Christ,’ and they will lead many astray. 6And you will hear of wars and rumors of wars. See that you are not alarmed, for this must take place, but the end is not yet. 7For nation will rise against nation, and kingdom against kingdom, and there will be famines and earthquakes in various places. 8All these are but the beginning of the birth pains.
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-9“Then they will deliver you up to tribulation and put you to death, and you will be hated by all nations for my name's sake. 10And then many will fall away[115] and betray one another and hate one another. 11And many false prophets will arise and lead many astray. 12And because lawlessness will be increased, the love of many will grow cold. 13But the one who endures to the end will be saved. 14And this gospel of the kingdom will be proclaimed throughout the whole world as a testimony to all nations, and then the end will come.
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-The Abomination of Desolation
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-15“So when you see the abomination of desolation spoken of by the prophet Daniel, standing in the holy place (let the reader understand), 16then let those who are in Judea flee to the mountains. 17Let the one who is on the housetop not go down to take what is in his house, 18and let the one who is in the field not turn back to take his cloak. 19And alas for women who are pregnant and for those who are nursing infants in those days! 20Pray that your flight may not be in winter or on a Sabbath. 21For then there will be great tribulation, such as has not been from the beginning of the world until now, no, and never will be. 22And if those days had not been cut short, no human being would be saved. But for the sake of the elect those days will be cut short. 23Then if anyone says to you, ‘Look, here is the Christ!’ or ‘There he is!’ do not believe it. 24For false christs and false prophets will arise and perform great signs and wonders, so as to lead astray, if possible, even the elect. 25See, I have told you beforehand. 26So, if they say to you, ‘Look, he is in the wilderness,’ do not go out. If they say, ‘Look, he is in the inner rooms,’ do not believe it. 27For as the lightning comes from the east and shines as far as the west, so will be the coming of the Son of Man. 28Wherever the corpse is, there the vultures will gather.
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-The Coming of the Son of Man
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-29“Immediately after the tribulation of those days the sun will be darkened, and the moon will not give its light, and the stars will fall from heaven, and the powers of the heavens will be shaken. 30Then will appear in heaven the sign of the Son of Man, and then all the tribes of the earth will mourn, and they will see the Son of Man coming on the clouds of heaven with power and great glory. 31And he will send out his angels with a loud trumpet call, and they will gather his elect from the four winds, from one end of heaven to the other.
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-The Lesson of the Fig Tree
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-32“From the fig tree learn its lesson: as soon as its branch becomes tender and puts out its leaves, you know that summer is near. 33So also, when you see all these things, you know that he is near, at the very gates. 34Truly, I say to you, this generation will not pass away until all these things take place. 35Heaven and earth will pass away, but my words will not pass away.
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-No One Knows That Day and Hour
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-36“But concerning that day and hour no one knows, not even the angels of heaven, nor the Son,[116] but the Father only. 37For as were the days of Noah, so will be the coming of the Son of Man. 38For as in those days before the flood they were eating and drinking, marrying and giving in marriage, until the day when Noah entered the ark, 39and they were unaware until the flood came and swept them all away, so will be the coming of the Son of Man. 40Then two men will be in the field; one will be taken and one left. 41Two women will be grinding at the mill; one will be taken and one left. 42Therefore, stay awake, for you do not know on what day your Lord is coming. 43But know this, that if the master of the house had known in what part of the night the thief was coming, he would have stayed awake and would not have let his house be broken into. 44Therefore you also must be ready, for the Son of Man is coming at an hour you do not expect.
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-45“Who then is the faithful and wise servant,[117] whom his master has set over his household, to give them their food at the proper time? 46Blessed is that servant whom his master will find so doing when he comes. 47Truly, I say to you, he will set him over all his possessions. 48But if that wicked servant says to himself, ‘My master is delayed,’ 49and begins to beat his fellow servants[118] and eats and drinks with drunkards, 50the master of that servant will come on a day when he does not expect him and at an hour he does not know 51and will cut him in pieces and put him with the hypocrites. In that place there will be weeping and gnashing of teeth.
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-The Parable of the Ten Virgins
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-25:1 “Then the kingdom of heaven will be like ten virgins who took their lamps[119] and went to meet the bridegroom.[120] 2Five of them were foolish, and five were wise. 3For when the foolish took their lamps, they took no oil with them, 4but the wise took flasks of oil with their lamps. 5As the bridegroom was delayed, they all became drowsy and slept. 6But at midnight there was a cry, ‘Here is the bridegroom! Come out to meet him.’ 7Then all those virgins rose and trimmed their lamps. 8And the foolish said to the wise, ‘Give us some of your oil, for our lamps are going out.’ 9But the wise answered, saying, ‘Since there will not be enough for us and for you, go rather to the dealers and buy for yourselves.’ 10And while they were going to buy, the bridegroom came, and those who were ready went in with him to the marriage feast, and the door was shut. 11Afterward the other virgins came also, saying, ‘Lord, lord, open to us.’ 12But he answered, ‘Truly, I say to you, I do not know you.’ 13Watch therefore, for you know neither the day nor the hour.
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-The Parable of the Talents
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-14“For it will be like a man going on a journey, who called his servants[121] and entrusted to them his property. 15To one he gave five talents,[122] to another two, to another one, to each according to his ability. Then he went away. 16He who had received the five talents went at once and traded with them, and he made five talents more. 17So also he who had the two talents made two talents more. 18But he who had received the one talent went and dug in the ground and hid his master's money. 19Now after a long time the master of those servants came and settled accounts with them. 20And he who had received the five talents came forward, bringing five talents more, saying, ‘Master, you delivered to me five talents; here I have made five talents more.’ 21His master said to him, ‘Well done, good and faithful servant.[123] You have been faithful over a little; I will set you over much. Enter into the joy of your master.’ 22And he also who had the two talents came forward, saying, ‘Master, you delivered to me two talents; here I have made two talents more.’ 23His master said to him, ‘Well done, good and faithful servant. You have been faithful over a little; I will set you over much. Enter into the joy of your master.’ 24He also who had received the one talent came forward, saying, ‘Master, I knew you to be a hard man, reaping where you did not sow, and gathering where you scattered no seed, 25so I was afraid, and I went and hid your talent in the ground. Here you have what is yours.’ 26But his master answered him, ‘You wicked and slothful servant! You knew that I reap where I have not sown and gather where I scattered no seed? 27Then you ought to have invested my money with the bankers, and at my coming I should have received what was my own with interest. 28So take the talent from him and give it to him who has the ten talents. 29For to everyone who has will more be given, and he will have an abundance. But from the one who has not, even what he has will be taken away. 30And cast the worthless servant into the outer darkness. In that place there will be weeping and gnashing of teeth.’
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-The Final Judgment
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-31“When the Son of Man comes in his glory, and all the angels with him, then he will sit on his glorious throne. 32Before him will be gathered all the nations, and he will separate people one from another as a shepherd separates the sheep from the goats. 33And he will place the sheep on his right, but the goats on the left. 34Then the King will say to those on his right, ‘Come, you who are blessed by my Father, inherit the kingdom prepared for you from the foundation of the world. 35For I was hungry and you gave me food, I was thirsty and you gave me drink, I was a stranger and you welcomed me, 36I was naked and you clothed me, I was sick and you visited me, I was in prison and you came to me.’ 37Then the righteous will answer him, saying, ‘Lord, when did we see you hungry and feed you, or thirsty and give you drink? 38And when did we see you a stranger and welcome you, or naked and clothe you? 39And when did we see you sick or in prison and visit you?’ 40And the King will answer them, ‘Truly, I say to you, as you did it to one of the least of these my brothers,[124] you did it to me.’
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-41“Then he will say to those on his left, ‘Depart from me, you cursed, into the eternal fire prepared for the devil and his angels. 42For I was hungry and you gave me no food, I was thirsty and you gave me no drink, 43I was a stranger and you did not welcome me, naked and you did not clothe me, sick and in prison and you did not visit me.’ 44Then they also will answer, saying, ‘Lord, when did we see you hungry or thirsty or a stranger or naked or sick or in prison, and did not minister to you?’ 45Then he will answer them, saying, ‘Truly, I say to you, as you did not do it to one of the least of these, you did not do it to me.’ 46And these will go away into eternal punishment, but the righteous into eternal life.”
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-The Plot to Kill Jesus
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-26:1 When Jesus had finished all these sayings, he said to his disciples, 2“You know that after two days the Passover is coming, and the Son of Man will be delivered up to be crucified.”
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-3Then the chief priests and the elders of the people gathered in the palace of the high priest, whose name was Caiaphas, 4and plotted together in order to arrest Jesus by stealth and kill him. 5But they said, “Not during the feast, lest there be an uproar among the people.”
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-Jesus Anointed at Bethany
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-6Now when Jesus was at Bethany in the house of Simon the leper,[125] 7a woman came up to him with an alabaster flask of very expensive ointment, and she poured it on his head as he reclined at table. 8And when the disciples saw it, they were indignant, saying, “Why this waste? 9For this could have been sold for a large sum and given to the poor.” 10But Jesus, aware of this, said to them, “Why do you trouble the woman? For she has done a beautiful thing to me. 11For you always have the poor with you, but you will not always have me. 12In pouring this ointment on my body, she has done it to prepare me for burial. 13Truly, I say to you, wherever this gospel is proclaimed in the whole world, what she has done will also be told in memory of her.”
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-Judas to Betray Jesus
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-14Then one of the twelve, whose name was Judas Iscariot, went to the chief priests 15and said, “What will you give me if I deliver him over to you?” And they paid him thirty pieces of silver. 16And from that moment he sought an opportunity to betray him.
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-The Passover with the Disciples
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-17Now on the first day of Unleavened Bread the disciples came to Jesus, saying, “Where will you have us prepare for you to eat the Passover?” 18He said, “Go into the city to a certain man and say to him, ‘The Teacher says, My time is at hand. I will keep the Passover at your house with my disciples.’” 19And the disciples did as Jesus had directed them, and they prepared the Passover.
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-20When it was evening, he reclined at table with the twelve.[126] 21And as they were eating, he said, “Truly, I say to you, one of you will betray me.” 22And they were very sorrowful and began to say to him one after another, “Is it I, Lord?” 23He answered, “He who has dipped his hand in the dish with me will betray me. 24The Son of Man goes as it is written of him, but woe to that man by whom the Son of Man is betrayed! It would have been better for that man if he had not been born.” 25Judas, who would betray him, answered, “Is it I, Rabbi?” He said to him, “You have said so.”
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-Institution of the Lord's Supper
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-26Now as they were eating, Jesus took bread, and after blessing it broke it and gave it to the disciples, and said, “Take, eat; this is my body.” 27And he took a cup, and when he had given thanks he gave it to them, saying, “Drink of it, all of you, 28for this is my blood of the[127] covenant, which is poured out for many for the forgiveness of sins. 29I tell you I will not drink again of this fruit of the vine until that day when I drink it new with you in my Father's kingdom.”
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-Jesus Foretells Peter's Denial
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-30And when they had sung a hymn, they went out to the Mount of Olives. 31Then Jesus said to them, “You will all fall away because of me this night. For it is written, ‘I will strike the shepherd, and the sheep of the flock will be scattered.’ 32But after I am raised up, I will go before you to Galilee.” 33Peter answered him, “Though they all fall away because of you, I will never fall away.” 34Jesus said to him, “Truly, I tell you, this very night, before the rooster crows, you will deny me three times.” 35Peter said to him, “Even if I must die with you, I will not deny you!” And all the disciples said the same.
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-Jesus Prays in Gethsemane
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-36Then Jesus went with them to a place called Gethsemane, and he said to his disciples, “Sit here, while I go over there and pray.” 37And taking with him Peter and the two sons of Zebedee, he began to be sorrowful and troubled. 38Then he said to them, “My soul is very sorrowful, even to death; remain here, and watch[128] with me.” 39And going a little farther he fell on his face and prayed, saying, “My Father, if it be possible, let this cup pass from me; nevertheless, not as I will, but as you will.” 40And he came to the disciples and found them sleeping. And he said to Peter, “So, could you not watch with me one hour? 41Watch and pray that you may not enter into temptation. The spirit indeed is willing, but the flesh is weak.” 42Again, for the second time, he went away and prayed, “My Father, if this cannot pass unless I drink it, your will be done.” 43And again he came and found them sleeping, for their eyes were heavy. 44So, leaving them again, he went away and prayed for the third time, saying the same words again. 45Then he came to the disciples and said to them, “Sleep and take your rest later on.[129] See, the hour is at hand, and the Son of Man is betrayed into the hands of sinners. 46Rise, let us be going; see, my betrayer is at hand.”
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-Betrayal and Arrest of Jesus
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-47While he was still speaking, Judas came, one of the twelve, and with him a great crowd with swords and clubs, from the chief priests and the elders of the people. 48Now the betrayer had given them a sign, saying, “The one I will kiss is the man; seize him.” 49And he came up to Jesus at once and said, “Greetings, Rabbi!” And he kissed him. 50Jesus said to him, “Friend, do what you came to do.”[130] Then they came up and laid hands on Jesus and seized him. 51And behold, one of those who were with Jesus stretched out his hand and drew his sword and struck the servant[131] of the high priest and cut off his ear. 52Then Jesus said to him, “Put your sword back into its place. For all who take the sword will perish by the sword. 53Do you think that I cannot appeal to my Father, and he will at once send me more than twelve legions of angels? 54But how then should the Scriptures be fulfilled, that it must be so?” 55At that hour Jesus said to the crowds, “Have you come out as against a robber, with swords and clubs to capture me? Day after day I sat in the temple teaching, and you did not seize me. 56But all this has taken place that the Scriptures of the prophets might be fulfilled.” Then all the disciples left him and fled.
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-Jesus Before Caiaphas and the Council
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-57Then those who had seized Jesus led him to Caiaphas the high priest, where the scribes and the elders had gathered. 58And Peter was following him at a distance, as far as the courtyard of the high priest, and going inside he sat with the guards to see the end. 59Now the chief priests and the whole Council[132] were seeking false testimony against Jesus that they might put him to death, 60but they found none, though many false witnesses came forward. At last two came forward 61and said, “This man said, ‘I am able to destroy the temple of God, and to rebuild it in three days.’” 62And the high priest stood up and said, “Have you no answer to make? What is it that these men testify against you?”[133] 63But Jesus remained silent. And the high priest said to him, “I adjure you by the living God, tell us if you are the Christ, the Son of God.” 64Jesus said to him, “You have said so. But I tell you, from now on you will see the Son of Man seated at the right hand of Power and coming on the clouds of heaven.” 65Then the high priest tore his robes and said, “He has uttered blasphemy. What further witnesses do we need? You have now heard his blasphemy. 66What is your judgment?” They answered, “He deserves death.” 67Then they spit in his face and struck him. And some slapped him, 68saying, “Prophesy to us, you Christ! Who is it that struck you?”
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-Peter Denies Jesus
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-
-69Now Peter was sitting outside in the courtyard. And a servant girl came up to him and said, “You also were with Jesus the Galilean.” 70But he denied it before them all, saying, “I do not know what you mean.” 71And when he went out to the entrance, another servant girl saw him, and she said to the bystanders, “This man was with Jesus of Nazareth.” 72And again he denied it with an oath: “I do not know the man.” 73After a little while the bystanders came up and said to Peter, “Certainly you too are one of them, for your accent betrays you.” 74Then he began to invoke a curse on himself and to swear, “I do not know the man.” And immediately the rooster crowed. 75And Peter remembered the saying of Jesus, “Before the rooster crows, you will deny me three times.” And he went out and wept bitterly.
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-Jesus Delivered to Pilate
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-27:1 When morning came, all the chief priests and the elders of the people took counsel against Jesus to put him to death. 2And they bound him and led him away and delivered him over to Pilate the governor.
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-Judas Hangs Himself
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-3Then when Judas, his betrayer, saw that Jesus[134] was condemned, he changed his mind and brought back the thirty pieces of silver to the chief priests and the elders, 4saying, “I have sinned by betraying innocent blood.” They said, “What is that to us? See to it yourself.” 5And throwing down the pieces of silver into the temple, he departed, and he went and hanged himself. 6But the chief priests, taking the pieces of silver, said, “It is not lawful to put them into the treasury, since it is blood money.” 7So they took counsel and bought with them the potter's field as a burial place for strangers. 8Therefore that field has been called the Field of Blood to this day. 9Then was fulfilled what had been spoken by the prophet Jeremiah, saying, “And they took the thirty pieces of silver, the price of him on whom a price had been set by some of the sons of Israel, 10and they gave them for the potter's field, as the Lord directed me.”
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-Jesus Before Pilate
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-11Now Jesus stood before the governor, and the governor asked him, “Are you the King of the Jews?” Jesus said, “You have said so.” 12But when he was accused by the chief priests and elders, he gave no answer. 13Then Pilate said to him, “Do you not hear how many things they testify against you?” 14But he gave him no answer, not even to a single charge, so that the governor was greatly amazed.
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-The Crowd Chooses Barabbas
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-15Now at the feast the governor was accustomed to release for the crowd any one prisoner whom they wanted. 16And they had then a notorious prisoner called Barabbas. 17So when they had gathered, Pilate said to them, “Whom do you want me to release for you: Barabbas, or Jesus who is called Christ?” 18For he knew that it was out of envy that they had delivered him up. 19Besides, while he was sitting on the judgment seat, his wife sent word to him, “Have nothing to do with that righteous man, for I have suffered much because of him today in a dream.” 20Now the chief priests and the elders persuaded the crowd to ask for Barabbas and destroy Jesus. 21The governor again said to them, “Which of the two do you want me to release for you?” And they said, “Barabbas.” 22Pilate said to them, “Then what shall I do with Jesus who is called Christ?” They all said, “Let him be crucified!” 23And he said, “Why, what evil has he done?” But they shouted all the more, “Let him be crucified!”
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-Pilate Delivers Jesus to Be Crucified
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-24So when Pilate saw that he was gaining nothing, but rather that a riot was beginning, he took water and washed his hands before the crowd, saying, “I am innocent of this man's blood;[135] see to it yourselves.” 25And all the people answered, “His blood be on us and on our children!” 26Then he released for them Barabbas, and having scourged[136] Jesus, delivered him to be crucified.
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-Jesus Is Mocked
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-27Then the soldiers of the governor took Jesus into the governor's headquarters,[137] and they gathered the whole battalion[138] before him. 28And they stripped him and put a scarlet robe on him, 29and twisting together a crown of thorns, they put it on his head and put a reed in his right hand. And kneeling before him, they mocked him, saying, “Hail, King of the Jews!” 30And they spit on him and took the reed and struck him on the head. 31And when they had mocked him, they stripped him of the robe and put his own clothes on him and led him away to crucify him.
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-The Crucifixion
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-32As they went out, they found a man of Cyrene, Simon by name. They compelled this man to carry his cross. 33And when they came to a place called Golgotha (which means Place of a Skull), 34they offered him wine to drink, mixed with gall, but when he tasted it, he would not drink it. 35And when they had crucified him, they divided his garments among them by casting lots. 36Then they sat down and kept watch over him there. 37And over his head they put the charge against him, which read, “This is Jesus, the King of the Jews.” 38Then two robbers were crucified with him, one on the right and one on the left. 39And those who passed by derided him, wagging their heads 40and saying, “You who would destroy the temple and rebuild it in three days, save yourself! If you are the Son of God, come down from the cross.” 41So also the chief priests, with the scribes and elders, mocked him, saying, 42“He saved others; he cannot save himself. He is the King of Israel; let him come down now from the cross, and we will believe in him. 43He trusts in God; let God deliver him now, if he desires him. For he said, ‘I am the Son of God.’” 44And the robbers who were crucified with him also reviled him in the same way.
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-
-
-The Death of Jesus
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-45Now from the sixth hour[139] there was darkness over all the land[140] until the ninth hour.[141] 46And about the ninth hour Jesus cried out with a loud voice, saying, “Eli, Eli, lema sabachthani?” that is, “My God, my God, why have you forsaken me?” 47And some of the bystanders, hearing it, said, “This man is calling Elijah.” 48And one of them at once ran and took a sponge, filled it with sour wine, and put it on a reed and gave it to him to drink. 49But the others said, “Wait, let us see whether Elijah will come to save him.” 50And Jesus cried out again with a loud voice and yielded up his spirit.
-
-51And behold, the curtain of the temple was torn in two, from top to bottom. And the earth shook, and the rocks were split. 52The tombs also were opened. And many bodies of the saints who had fallen asleep were raised, 53and coming out of the tombs after his resurrection they went into the holy city and appeared to many. 54When the centurion and those who were with him, keeping watch over Jesus, saw the earthquake and what took place, they were filled with awe and said, “Truly this was the Son[142] of God!”
-
-55There were also many women there, looking on from a distance, who had followed Jesus from Galilee, ministering to him, 56among whom were Mary Magdalene and Mary the mother of James and Joseph and the mother of the sons of Zebedee.
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-Jesus Is Buried
-
-
-57When it was evening, there came a rich man from Arimathea, named Joseph, who also was a disciple of Jesus. 58He went to Pilate and asked for the body of Jesus. Then Pilate ordered it to be given to him. 59And Joseph took the body and wrapped it in a clean linen shroud 60and laid it in his own new tomb, which he had cut in the rock. And he rolled a great stone to the entrance of the tomb and went away. 61Mary Magdalene and the other Mary were there, sitting opposite the tomb.
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-
-
-
-
-The Guard at the Tomb
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-
-62The next day, that is, after the day of Preparation, the chief priests and the Pharisees gathered before Pilate 63and said, “Sir, we remember how that impostor said, while he was still alive, ‘After three days I will rise.’ 64Therefore order the tomb to be made secure until the third day, lest his disciples go and steal him away and tell the people, ‘He has risen from the dead,’ and the last fraud will be worse than the first.” 65Pilate said to them, “You have a guard[143] of soldiers. Go, make it as secure as you can.” 66So they went and made the tomb secure by sealing the stone and setting a guard.
-
-
-
-
-
-The Resurrection
-
-
-28:1 Now after the Sabbath, toward the dawn of the first day of the week, Mary Magdalene and the other Mary went to see the tomb. 2And behold, there was a great earthquake, for an angel of the Lord descended from heaven and came and rolled back the stone and sat on it. 3His appearance was like lightning, and his clothing white as snow. 4And for fear of him the guards trembled and became like dead men. 5But the angel said to the women, “Do not be afraid, for I know that you seek Jesus who was crucified. 6He is not here, for he has risen, as he said. Come, see the place where he[144] lay. 7Then go quickly and tell his disciples that he has risen from the dead, and behold, he is going before you to Galilee; there you will see him. See, I have told you.” 8So they departed quickly from the tomb with fear and great joy, and ran to tell his disciples. 9And behold, Jesus met them and said, “Greetings!” And they came up and took hold of his feet and worshiped him. 10Then Jesus said to them, “Do not be afraid; go and tell my brothers to go to Galilee, and there they will see me.”
-
-
-
-
-
-The Report of the Guard
-
-
-11While they were going, behold, some of the guard went into the city and told the chief priests all that had taken place. 12And when they had assembled with the elders and taken counsel, they gave a sufficient sum of money to the soldiers 13and said, “Tell people, ‘His disciples came by night and stole him away while we were asleep.’ 14And if this comes to the governor's ears, we will satisfy him and keep you out of trouble.” 15So they took the money and did as they were directed. And this story has been spread among the Jews to this day.
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-
-
-
-
-The Great Commission
-
-
-16Now the eleven disciples went to Galilee, to the mountain to which Jesus had directed them. 17And when they saw him they worshiped him, but some doubted. 18And Jesus came and said to them, “All authority in heaven and on earth has been given to me. 19Go therefore and make disciples of all nations, baptizing them in[145] the name of the Father and of the Son and of the Holy Spirit, 20teaching them to observe all that I have commanded you. And behold, I am with you always, to the end of the age.”
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-
-
-
-
-Footnotes
-
-
-[1] 1:3 Greek Aram; also verse 4
-
-[2] 1:7 Asaph is probably an alternate spelling for Asa; some manuscripts read Asa; also verse 8
-
-[3] 1:10 Amos is probably an alternate spelling for Amon; some manuscripts read Amon; twice in this verse
-
-[4] 1:12 Greek Salathiel; twice in this verse
-
-[5] 1:18 Some manuscripts of the Christ
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-[6] 1:18 That is, legally pledged to be married
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-[7] 2:1 Greek magi; also verses 7, 16
-
-[8] 2:2 Or in the east; also verse 9
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-[9] 3:3 Or crying: Prepare in the wilderness
-
-[10] 3:16 Some manuscripts omit to him
-
-[11] 3:17 Or my Son, my (or the) Beloved
-
-[12] 5:9 Greek huioi; see preface
-
-[13] 5:22 Some manuscripts insert without cause
-
-[14] 5:22 Greek says Raca to (a term of abuse)
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-[15] 5:22 Greek Gehenna; also verses 29, 30
-
-[16] 5:26 Greek kodrantes, Roman copper coin (Latin quadrans) worth about 1/64 of a denarius (which was a day's wage for a laborer)
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-[17] 5:37 Or the evil one
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-[18] 5:40 Greek chiton, a long garment worn under the cloak next to the skin
-
-[19] 5:47 Or brothers and sisters. The plural Greek word adelphoi (translated “brothers”) refers to siblings in a family. In New Testament usage, depending on the context, adelphoi may refer either to brothers or to brothers and sisters
-
-[20] 6:9 Or Let your name be kept holy, or Let your name be treated with reverence
-
-[21] 6:10 Or Let your kingdom come, let your will be done
-
-[22] 6:11 Or our bread for tomorrow
-
-[23] 6:13 Or the evil one; some manuscripts add For yours is the kingdom and the power and the glory, forever. Amen
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-[24] 6:19 Or worm; also verse 20
-
-[25] 6:24 Greek mammon, a Semitic word for money or possessions
-
-[26] 6:27 Or a single cubit to his stature; a cubit was about 18 inches or 45 centimeters
-
-[27] 7:13 Some manuscripts For the way is wide and easy
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-[28] 8:2 Leprosy was a term for several skin diseases; see Leviticus 13
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-[29] 8:3 Greek he
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-[30] 8:9 Greek bondservant
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-[31] 8:10 Some manuscripts not even in Israel
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-[32] 8:28 Some manuscripts Gergesenes; some Gerasenes
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-[33] 8:28 Greek daimonizomai; also verse 33; elsewhere rendered oppressed by demons
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-[34] 9:4 Some manuscripts perceiving
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-[35] 9:10 Greek he
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-[36] 9:14 Some manuscripts add much, or often
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-[37] 9:22 Greek from that hour
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-[38] 10:3 Some manuscripts Lebbaeus, or Lebbaeus called Thaddaeus
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-[39] 10:8 Leprosy was a term for several skin diseases; see Leviticus 13
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-[40] 10:10 Greek chiton, a long garment worn under the cloak next to the skin
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-[41] 10:24 Greek bondservant; also verse 25
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-[42] 10:25 Greek lacks will they malign
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-[43] 10:28 Greek Gehenna
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-[44] 10:29 Greek assarion, Roman copper coin (Latin quadrans) worth about 1/16 of a denarius (which was a day's wage for a laborer)
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-[45] 11:5 Leprosy was a term for several skin diseases; see Leviticus 13
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-[46] 11:8 Or Why then did you go out? To see a man . . .
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-[47] 11:9 Some manuscripts Why then did you go out? To see a prophet?
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-[48] 11:12 Or has been coming violently
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-[49] 11:15 Some manuscripts omit to hear
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-[50] 11:19 Some manuscripts children (compare Luke 7:35)
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-[51] 11:26 Or for so it pleased you well
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-[52] 12:46 Some manuscripts insert verse 47: Someone told him, “Your mother and your brothers are standing outside, asking to speak to you”
-
-[53] 13:9 Some manuscripts add here and in verse 43 to hear
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-[54] 13:21 Or stumbles
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-[55] 13:25 Probably darnel, a wheat-like weed
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-[56] 13:27 Greek bondservants; also verse 28
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-[57] 13:35 Some manuscripts Isaiah the prophet
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-[58] 14:3 Some manuscripts his brother's wife
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-[59] 14:24 Greek many stadia, a stadion was about 607 feet or 185 meters
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-[60] 14:24 Some manuscripts was out on the sea
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-[61] 14:30 Some manuscripts strong wind
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-[62] 15:5 Or is an offering
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-[63] 15:6 Some manuscripts law
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-[64] 15:14 Some manuscripts add of the blind
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-[65] 15:17 Greek is expelled into the latrine
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-[66] 15:28 Greek from that hour
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-[67] 16:2 Some manuscripts omit the following words to the end of verse 3
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-[68] 16:18 The Greek words for Peter and rock sound similar
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-[69] 16:18 Greek the gates of Hades
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-[70] 16:19 Or shall have been bound . . . shall have been loosed
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-[71] 16:22 Or “[May God be] merciful to you, Lord!”
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-[72] 16:23 Greek stumbling block
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-[73] 16:25 The same Greek word can mean either soul or life, depending on the context; twice in this verse and twice in verse 26
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-[74] 17:5 Or my Son, my (or the) Beloved
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-[75] 17:18 Greek it
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-[76] 17:18 Greek the demon
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-[77] 17:18 Greek from that hour
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-[78] 17:20 Some manuscripts insert verse 21: But this kind never comes out except by prayer and fasting
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-[79] 17:22 Some manuscripts remained
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-[80] 17:27 Greek stater, a silver coin worth four drachmas or approximately one shekel
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-[81] 18:6 Greek causes . . . to stumble; also verses 8, 9
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-[82] 18:7 Greek stumbling blocks
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-[83] 18:9 Greek Gehenna
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-[84] 18:10 Some manuscripts add verse 11: For the Son of Man came to save the lost
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-[85] 18:14 Some manuscripts your
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-[86] 18:18 Or shall have been bound . . . shall have been loosed
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-[87] 18:22 Or seventy-seven times
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-[88] 18:23 Greek bondservants; also verses 28, 31
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-[89] 18:24 A talent was a monetary unit worth about twenty years' wages for a laborer
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-[90] 18:26 Greek bondservant; also verses 27, 28, 29, 32, 33
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-[91] 18:28 A denarius was a day's wage for a laborer
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-[92] 18:34 Greek torturers
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-[93] 19:9 Some manuscripts add and whoever marries a divorced woman commits adultery; other manuscripts except for sexual immorality, makes her commit adultery, and whoever marries a divorced woman commits adultery
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-[94] 19:28 Greek in the regeneration
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-[95] 19:29 Some manuscripts manifold
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-[96] 20:2 A denarius was a day's wage for a laborer
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-[97] 20:15 Or is your eye bad because I am good?
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-[98] 20:26 Greek diakonos
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-[99] 20:27 Greek bondservant (doulos)
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-[100] 20:30 Some manuscripts omit Lord
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-[101] 21:5 Or even
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-[102] 21:12 Some manuscripts add of God
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-[103] 21:34 Greek bondservants; also verses 35, 36
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-[104] 21:42 Greek the head of the corner
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-[105] 21:44 Some manuscripts omit verse 44
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-[106] 22:3 Greek bondservants; also verses 4, 6, 8, 10
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-[107] 22:16 Greek for you do not look at people's faces
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-[108] 22:19 A denarius was a day's wage for a laborer
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-[109] 23:4 Some manuscripts omit hard to bear
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-[110] 23:7 Rabbi means my teacher, or my master; also verse 8
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-[111] 23:8 Or brothers and sisters
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-[112] 23:13 Some manuscripts add here (or after verse 12) verse 14: Woe to you, scribes and Pharisees, hypocrites! For you devour widows' houses and for a pretense you make long prayers; therefore you will receive the greater condemnation
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-[113] 23:15 Greek Gehenna; also verse 33
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-[114] 23:35 Some manuscripts omit the son of Barachiah
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-[115] 24:10 Or stumble
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-[116] 24:36 Some manuscripts omit nor the Son
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-[117] 24:45 Greek bondservant; also verses 46, 48, 50
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-[118] 24:49 Greek bondservants
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-[119] 25:1 Or torches
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-[120] 25:1 Some manuscripts add and the bride
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-[121] 25:14 Greek bondservants; also verse 19
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-[122] 25:15 A talent was a monetary unit worth about twenty years' wages for a laborer
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-[123] 25:21 Greek bondservant; also verses 23, 26, 30
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-[124] 25:40 Or brothers and sisters
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-[125] 26:6 Leprosy was a term for several skin diseases; see Leviticus 13
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-[126] 26:20 Some manuscripts add disciples
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-[127] 26:28 Some manuscripts insert new
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-[128] 26:38 Or keep awake; also verses 40, 41
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-[129] 26:45 Or Are you still sleeping and taking your rest?
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-[130] 26:50 Or Friend, why are you here?
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-[131] 26:51 Greek bondservant
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-[132] 26:59 Greek Sanhedrin
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-[133] 26:62 Or Have you no answer to what these men testify against you?
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-[134] 27:3 Greek he
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-[135] 27:24 Some manuscripts this righteous blood, or this righteous man's blood
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-[136] 27:26 A Roman judicial penalty, consisting of a severe beating with a multi-lashed whip containing imbedded pieces of bone and metal
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-[137] 27:27 Greek the praetorium
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-[138] 27:27 Greek cohort; a tenth of a Roman legion, usually about 600 men
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-[139] 27:45 That is, noon
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-[140] 27:45 Or earth
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-[141] 27:45 That is, 3 P.M.
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-[142] 27:54 Or a son
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-[143] 27:65 Or Take a guard
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-[144] 28:6 Some manuscripts the Lord
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-[145] 28:19 Or into
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-
-
-
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-MARK
-
-
-Chapter 1
-
-Chapter 2
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-Chapter 3
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-Chapter 4
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-Chapter 5
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-Chapter 6
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-Chapter 7
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-Chapter 8
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-Chapter 9
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-Chapter 10
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-Chapter 11
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-Chapter 12
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-Chapter 13
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-Chapter 14
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-Chapter 15
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-Chapter 16
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-
-
-
-
-John the Baptist Prepares the Way
-
-
-1:1 The beginning of the gospel of Jesus Christ, the Son of God.[1]
-
-2As it is written in Isaiah the prophet,[2]
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-“Behold, I send my messenger before your face,
-
-who will prepare your way,
-
-3the voice of one crying in the wilderness:
-
-‘Prepare[3] the way of the Lord,
-
-make his paths straight,’”
-
-4John appeared, baptizing in the wilderness and proclaiming a baptism of repentance for the forgiveness of sins. 5And all the country of Judea and all Jerusalem were going out to him and were being baptized by him in the river Jordan, confessing their sins. 6Now John was clothed with camel's hair and wore a leather belt around his waist and ate locusts and wild honey. 7And he preached, saying, “After me comes he who is mightier than I, the strap of whose sandals I am not worthy to stoop down and untie. 8I have baptized you with water, but he will baptize you with the Holy Spirit.”
-
-
-
-
-
-The Baptism of Jesus
-
-
-9In those days Jesus came from Nazareth of Galilee and was baptized by John in the Jordan. 10And when he came up out of the water, immediately he saw the heavens being torn open and the Spirit descending on him like a dove. 11And a voice came from heaven, “You are my beloved Son;[4] with you I am well pleased.”
-
-
-
-
-
-The Temptation of Jesus
-
-
-12The Spirit immediately drove him out into the wilderness. 13And he was in the wilderness forty days, being tempted by Satan. And he was with the wild animals, and the angels were ministering to him.
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-
-
-
-
-Jesus Begins His Ministry
-
-
-14Now after John was arrested, Jesus came into Galilee, proclaiming the gospel of God, 15and saying, “The time is fulfilled, and the kingdom of God is at hand; repent and believe in the gospel.”
-
-
-
-
-
-Jesus Calls the First Disciples
-
-
-16Passing alongside the Sea of Galilee, he saw Simon and Andrew the brother of Simon casting a net into the sea, for they were fishermen. 17And Jesus said to them, “Follow me, and I will make you become fishers of men.” 18And immediately they left their nets and followed him. 19And going on a little farther, he saw James the son of Zebedee and John his brother, who were in their boat mending the nets. 20And immediately he called them, and they left their father Zebedee in the boat with the hired servants and followed him.
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-
-
-
-
-Jesus Heals a Man with an Unclean Spirit
-
-
-21And they went into Capernaum, and immediately on the Sabbath he entered the synagogue and was teaching. 22And they were astonished at his teaching, for he taught them as one who had authority, and not as the scribes. 23And immediately there was in their synagogue a man with an unclean spirit. And he cried out, 24“What have you to do with us, Jesus of Nazareth? Have you come to destroy us? I know who you are—the Holy One of God.” 25But Jesus rebuked him, saying, “Be silent, and come out of him!” 26And the unclean spirit, convulsing him and crying out with a loud voice, came out of him. 27And they were all amazed, so that they questioned among themselves, saying, “What is this? A new teaching with authority! He commands even the unclean spirits, and they obey him.” 28And at once his fame spread everywhere throughout all the surrounding region of Galilee.
-
-
-
-
-
-Jesus Heals Many
-
-
-29And immediately he[5] left the synagogue and entered the house of Simon and Andrew, with James and John. 30Now Simon's mother-in-law lay ill with a fever, and immediately they told him about her. 31And he came and took her by the hand and lifted her up, and the fever left her, and she began to serve them.
-
-32That evening at sundown they brought to him all who were sick or oppressed by demons. 33And the whole city was gathered together at the door. 34And he healed many who were sick with various diseases, and cast out many demons. And he would not permit the demons to speak, because they knew him.
-
-
-
-
-
-Jesus Preaches in Galilee
-
-
-35And rising very early in the morning, while it was still dark, he departed and went out to a desolate place, and there he prayed. 36And Simon and those who were with him searched for him, 37and they found him and said to him, “Everyone is looking for you.” 38And he said to them, “Let us go on to the next towns, that I may preach there also, for that is why I came out.” 39And he went throughout all Galilee, preaching in their synagogues and casting out demons.
-
-
-
-
-
-Jesus Cleanses a Leper
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-40And a leper[6] came to him, imploring him, and kneeling said to him, “If you will, you can make me clean.” 41Moved with pity, he stretched out his hand and touched him and said to him, “I will; be clean.” 42And immediately the leprosy left him, and he was made clean. 43And Jesus[7] sternly charged him and sent him away at once, 44and said to him, “See that you say nothing to anyone, but go, show yourself to the priest and offer for your cleansing what Moses commanded, for a proof to them.” 45But he went out and began to talk freely about it, and to spread the news, so that Jesus could no longer openly enter a town, but was out in desolate places, and people were coming to him from every quarter.
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-Jesus Heals a Paralytic
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-2:1 And when he returned to Capernaum after some days, it was reported that he was at home. 2And many were gathered together, so that there was no more room, not even at the door. And he was preaching the word to them. 3And they came, bringing to him a paralytic carried by four men. 4And when they could not get near him because of the crowd, they removed the roof above him, and when they had made an opening, they let down the bed on which the paralytic lay. 5And when Jesus saw their faith, he said to the paralytic, “Son, your sins are forgiven.” 6Now some of the scribes were sitting there, questioning in their hearts, 7“Why does this man speak like that? He is blaspheming! Who can forgive sins but God alone?” 8And immediately Jesus, perceiving in his spirit that they thus questioned within themselves, said to them, “Why do you question these things in your hearts? 9Which is easier, to say to the paralytic, ‘Your sins are forgiven,’ or to say, ‘Rise, take up your bed and walk’? 10But that you may know that the Son of Man has authority on earth to forgive sins”—he said to the paralytic— 11“I say to you, rise, pick up your bed, and go home.” 12And he rose and immediately picked up his bed and went out before them all, so that they were all amazed and glorified God, saying, “We never saw anything like this!”
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-Jesus Calls Levi
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-13He went out again beside the sea, and all the crowd was coming to him, and he was teaching them. 14And as he passed by, he saw Levi the son of Alphaeus sitting at the tax booth, and he said to him, “Follow me.” And he rose and followed him.
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-15And as he reclined at table in his house, many tax collectors and sinners were reclining with Jesus and his disciples, for there were many who followed him. 16And the scribes of[8] the Pharisees, when they saw that he was eating with sinners and tax collectors, said to his disciples, “Why does he eat[9] with tax collectors and sinners?” 17And when Jesus heard it, he said to them, “Those who are well have no need of a physician, but those who are sick. I came not to call the righteous, but sinners.”
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-A Question About Fasting
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-18Now John's disciples and the Pharisees were fasting. And people came and said to him, “Why do John's disciples and the disciples of the Pharisees fast, but your disciples do not fast?” 19And Jesus said to them, “Can the wedding guests fast while the bridegroom is with them? As long as they have the bridegroom with them, they cannot fast. 20The days will come when the bridegroom is taken away from them, and then they will fast in that day. 21No one sews a piece of unshrunk cloth on an old garment. If he does, the patch tears away from it, the new from the old, and a worse tear is made. 22And no one puts new wine into old wineskins. If he does, the wine will burst the skins—and the wine is destroyed, and so are the skins. But new wine is for fresh wineskins.”[10]
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-Jesus Is Lord of the Sabbath
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-23One Sabbath he was going through the grainfields, and as they made their way, his disciples began to pluck heads of grain. 24And the Pharisees were saying to him, “Look, why are they doing what is not lawful on the Sabbath?” 25And he said to them, “Have you never read what David did, when he was in need and was hungry, he and those who were with him: 26how he entered the house of God, in the time of Abiathar the high priest, and ate the bread of the Presence, which it is not lawful for any but the priests to eat, and also gave it to those who were with him?” 27And he said to them, “The Sabbath was made for man, not man for the Sabbath. 28So the Son of Man is lord even of the Sabbath.”
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-A Man with a Withered Hand
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-3:1 Again he entered the synagogue, and a man was there with a withered hand. 2And they watched Jesus,[11] to see whether he would heal him on the Sabbath, so that they might accuse him. 3And he said to the man with the withered hand, “Come here.” 4And he said to them, “Is it lawful on the Sabbath to do good or to do harm, to save life or to kill?” But they were silent. 5And he looked around at them with anger, grieved at their hardness of heart, and said to the man, “Stretch out your hand.” He stretched it out, and his hand was restored. 6The Pharisees went out and immediately held counsel with the Herodians against him, how to destroy him.
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-A Great Crowd Follows Jesus
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-7Jesus withdrew with his disciples to the sea, and a great crowd followed, from Galilee and Judea 8and Jerusalem and Idumea and from beyond the Jordan and from around Tyre and Sidon. When the great crowd heard all that he was doing, they came to him. 9And he told his disciples to have a boat ready for him because of the crowd, lest they crush him, 10for he had healed many, so that all who had diseases pressed around him to touch him. 11And whenever the unclean spirits saw him, they fell down before him and cried out, “You are the Son of God.” 12And he strictly ordered them not to make him known.
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-The Twelve Apostles
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-13And he went up on the mountain and called to him those whom he desired, and they came to him. 14And he appointed twelve (whom he also named apostles) so that they might be with him and he might send them out to preach 15and have authority to cast out demons. 16He appointed the twelve: Simon (to whom he gave the name Peter); 17James the son of Zebedee and John the brother of James (to whom he gave the name Boanerges, that is, Sons of Thunder); 18Andrew, and Philip, and Bartholomew, and Matthew, and Thomas, and James the son of Alphaeus, and Thaddaeus, and Simon the Cananaean, 19and Judas Iscariot, who betrayed him.
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-20Then he went home, and the crowd gathered again, so that they could not even eat. 21And when his family heard it, they went out to seize him, for they were saying, “He is out of his mind.”
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-Blasphemy Against the Holy Spirit
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-22And the scribes who came down from Jerusalem were saying, “He is possessed by Beelzebul,” and “by the prince of demons he casts out the demons.” 23And he called them to him and said to them in parables, “How can Satan cast out Satan? 24If a kingdom is divided against itself, that kingdom cannot stand. 25And if a house is divided against itself, that house will not be able to stand. 26And if Satan has risen up against himself and is divided, he cannot stand, but is coming to an end. 27But no one can enter a strong man's house and plunder his goods, unless he first binds the strong man. Then indeed he may plunder his house.
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-28“Truly, I say to you, all sins will be forgiven the children of man, and whatever blasphemies they utter, 29but whoever blasphemes against the Holy Spirit never has forgiveness, but is guilty of an eternal sin”— 30for they were saying, “He has an unclean spirit.”
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-Jesus' Mother and Brothers
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-31And his mother and his brothers came, and standing outside they sent to him and called him. 32And a crowd was sitting around him, and they said to him, “Your mother and your brothers[12] are outside, seeking you.” 33And he answered them, “Who are my mother and my brothers?” 34And looking about at those who sat around him, he said, “Here are my mother and my brothers! 35For whoever does the will of God, he is my brother and sister and mother.”
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-The Parable of the Sower
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-4:1 Again he began to teach beside the sea. And a very large crowd gathered about him, so that he got into a boat and sat in it on the sea, and the whole crowd was beside the sea on the land. 2And he was teaching them many things in parables, and in his teaching he said to them: 3“Listen! A sower went out to sow. 4And as he sowed, some seed fell along the path, and the birds came and devoured it. 5Other seed fell on rocky ground, where it did not have much soil, and immediately it sprang up, since it had no depth of soil. 6And when the sun rose, it was scorched, and since it had no root, it withered away. 7Other seed fell among thorns, and the thorns grew up and choked it, and it yielded no grain. 8And other seeds fell into good soil and produced grain, growing up and increasing and yielding thirtyfold and sixtyfold and a hundredfold.” 9And he said, “He who has ears to hear, let him hear.”
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-The Purpose of the Parables
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-10And when he was alone, those around him with the twelve asked him about the parables. 11And he said to them, “To you has been given the secret of the kingdom of God, but for those outside everything is in parables, 12so that
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-“they may indeed see but not perceive,
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-and may indeed hear but not understand,
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-lest they should turn and be forgiven.”
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-13And he said to them, “Do you not understand this parable? How then will you understand all the parables? 14The sower sows the word. 15And these are the ones along the path, where the word is sown: when they hear, Satan immediately comes and takes away the word that is sown in them. 16And these are the ones sown on rocky ground: the ones who, when they hear the word, immediately receive it with joy. 17And they have no root in themselves, but endure for a while; then, when tribulation or persecution arises on account of the word, immediately they fall away.[13] 18And others are the ones sown among thorns. They are those who hear the word, 19but the cares of the world and the deceitfulness of riches and the desires for other things enter in and choke the word, and it proves unfruitful. 20But those that were sown on the good soil are the ones who hear the word and accept it and bear fruit, thirtyfold and sixtyfold and a hundredfold.”
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-A Lamp Under a Basket
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-21And he said to them, “Is a lamp brought in to be put under a basket, or under a bed, and not on a stand? 22For nothing is hidden except to be made manifest; nor is anything secret except to come to light. 23If anyone has ears to hear, let him hear.” 24And he said to them, “Pay attention to what you hear: with the measure you use, it will be measured to you, and still more will be added to you. 25For to the one who has, more will be given, and from the one who has not, even what he has will be taken away.”
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-The Parable of the Seed Growing
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-26And he said, “The kingdom of God is as if a man should scatter seed on the ground. 27He sleeps and rises night and day, and the seed sprouts and grows; he knows not how. 28The earth produces by itself, first the blade, then the ear, then the full grain in the ear. 29But when the grain is ripe, at once he puts in the sickle, because the harvest has come.”
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-The Parable of the Mustard Seed
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-30And he said, “With what can we compare the kingdom of God, or what parable shall we use for it? 31It is like a grain of mustard seed, which, when sown on the ground, is the smallest of all the seeds on earth, 32yet when it is sown it grows up and becomes larger than all the garden plants and puts out large branches, so that the birds of the air can make nests in its shade.”
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-33With many such parables he spoke the word to them, as they were able to hear it. 34He did not speak to them without a parable, but privately to his own disciples he explained everything.
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-Jesus Calms a Storm
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-35On that day, when evening had come, he said to them, “Let us go across to the other side.” 36And leaving the crowd, they took him with them in the boat, just as he was. And other boats were with him. 37And a great windstorm arose, and the waves were breaking into the boat, so that the boat was already filling. 38But he was in the stern, asleep on the cushion. And they woke him and said to him, “Teacher, do you not care that we are perishing?” 39And he awoke and rebuked the wind and said to the sea, “Peace! Be still!” And the wind ceased, and there was a great calm. 40He said to them, “Why are you so afraid? Have you still no faith?” 41And they were filled with great fear and said to one another, “Who then is this, that even the wind and the sea obey him?”
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-Jesus Heals a Man with a Demon
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-5:1 They came to the other side of the sea, to the country of the Gerasenes.[14] 2And when Jesus[15] had stepped out of the boat, immediately there met him out of the tombs a man with an unclean spirit. 3He lived among the tombs. And no one could bind him anymore, not even with a chain, 4for he had often been bound with shackles and chains, but he wrenched the chains apart, and he broke the shackles in pieces. No one had the strength to subdue him. 5Night and day among the tombs and on the mountains he was always crying out and cutting himself with stones. 6And when he saw Jesus from afar, he ran and fell down before him. 7And crying out with a loud voice, he said, “What have you to do with me, Jesus, Son of the Most High God? I adjure you by God, do not torment me.” 8For he was saying to him, “Come out of the man, you unclean spirit!” 9And Jesus asked him, “What is your name?” He replied, “My name is Legion, for we are many.” 10And he begged him earnestly not to send them out of the country. 11Now a great herd of pigs was feeding there on the hillside, 12and they begged him, saying, “Send us to the pigs; let us enter them.” 13So he gave them permission. And the unclean spirits came out, and entered the pigs, and the herd, numbering about two thousand, rushed down the steep bank into the sea and were drowned in the sea.
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-14The herdsmen fled and told it in the city and in the country. And people came to see what it was that had happened. 15And they came to Jesus and saw the demon-possessed[16] man, the one who had had the legion, sitting there, clothed and in his right mind, and they were afraid. 16And those who had seen it described to them what had happened to the demon-possessed man and to the pigs. 17And they began to beg Jesus[17] to depart from their region. 18As he was getting into the boat, the man who had been possessed with demons begged him that he might be with him. 19And he did not permit him but said to him, “Go home to your friends and tell them how much the Lord has done for you, and how he has had mercy on you.” 20And he went away and began to proclaim in the Decapolis how much Jesus had done for him, and everyone marveled.
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-Jesus Heals a Woman and Jairus's Daughter
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-21And when Jesus had crossed again in the boat to the other side, a great crowd gathered about him, and he was beside the sea. 22Then came one of the rulers of the synagogue, Jairus by name, and seeing him, he fell at his feet 23and implored him earnestly, saying, “My little daughter is at the point of death. Come and lay your hands on her, so that she may be made well and live.” 24And he went with him.
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-And a great crowd followed him and thronged about him. 25And there was a woman who had had a discharge of blood for twelve years, 26and who had suffered much under many physicians, and had spent all that she had, and was no better but rather grew worse. 27She had heard the reports about Jesus and came up behind him in the crowd and touched his garment. 28For she said, “If I touch even his garments, I will be made well.” 29And immediately the flow of blood dried up, and she felt in her body that she was healed of her disease. 30And Jesus, perceiving in himself that power had gone out from him, immediately turned about in the crowd and said, “Who touched my garments?” 31And his disciples said to him, “You see the crowd pressing around you, and yet you say, ‘Who touched me?’” 32And he looked around to see who had done it. 33But the woman, knowing what had happened to her, came in fear and trembling and fell down before him and told him the whole truth. 34And he said to her, “Daughter, your faith has made you well; go in peace, and be healed of your disease.”
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-35While he was still speaking, there came from the ruler's house some who said, “Your daughter is dead. Why trouble the Teacher any further?” 36But overhearing[18] what they said, Jesus said to the ruler of the synagogue, “Do not fear, only believe.” 37And he allowed no one to follow him except Peter and James and John the brother of James. 38They came to the house of the ruler of the synagogue, and Jesus[19] saw a commotion, people weeping and wailing loudly. 39And when he had entered, he said to them, “Why are you making a commotion and weeping? The child is not dead but sleeping.” 40And they laughed at him. But he put them all outside and took the child's father and mother and those who were with him and went in where the child was. 41Taking her by the hand he said to her, “Talitha cumi,” which means, “Little girl, I say to you, arise.” 42And immediately the girl got up and began walking (for she was twelve years of age), and they were immediately overcome with amazement. 43And he strictly charged them that no one should know this, and told them to give her something to eat.
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-Jesus Rejected at Nazareth
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-6:1 He went away from there and came to his hometown, and his disciples followed him. 2And on the Sabbath he began to teach in the synagogue, and many who heard him were astonished, saying, “Where did this man get these things? What is the wisdom given to him? How are such mighty works done by his hands? 3Is not this the carpenter, the son of Mary and brother of James and Joses and Judas and Simon? And are not his sisters here with us?” And they took offense at him. 4And Jesus said to them, “A prophet is not without honor, except in his hometown and among his relatives and in his own household.” 5And he could do no mighty work there, except that he laid his hands on a few sick people and healed them. 6And he marveled because of their unbelief.
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-And he went about among the villages teaching.
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-Jesus Sends Out the Twelve Apostles
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-7And he called the twelve and began to send them out two by two, and gave them authority over the unclean spirits. 8He charged them to take nothing for their journey except a staff—no bread, no bag, no money in their belts— 9but to wear sandals and not put on two tunics.[20] 10And he said to them, “Whenever you enter a house, stay there until you depart from there. 11And if any place will not receive you and they will not listen to you, when you leave, shake off the dust that is on your feet as a testimony against them.” 12So they went out and proclaimed that people should repent. 13And they cast out many demons and anointed with oil many who were sick and healed them.
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-The Death of John the Baptist
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-14King Herod heard of it, for Jesus'[21] name had become known. Some[22] said, “John the Baptist[23] has been raised from the dead. That is why these miraculous powers are at work in him.” 15But others said, “He is Elijah.” And others said, “He is a prophet, like one of the prophets of old.” 16But when Herod heard of it, he said, “John, whom I beheaded, has been raised.” 17For it was Herod who had sent and seized John and bound him in prison for the sake of Herodias, his brother Philip's wife, because he had married her. 18For John had been saying to Herod, “It is not lawful for you to have your brother's wife.” 19And Herodias had a grudge against him and wanted to put him to death. But she could not, 20for Herod feared John, knowing that he was a righteous and holy man, and he kept him safe. When he heard him, he was greatly perplexed, and yet he heard him gladly.
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-21But an opportunity came when Herod on his birthday gave a banquet for his nobles and military commanders and the leading men of Galilee. 22For when Herodias's daughter came in and danced, she pleased Herod and his guests. And the king said to the girl, “Ask me for whatever you wish, and I will give it to you.” 23And he vowed to her, “Whatever you ask me, I will give you, up to half of my kingdom.” 24And she went out and said to her mother, “For what should I ask?” And she said, “The head of John the Baptist.” 25And she came in immediately with haste to the king and asked, saying, “I want you to give me at once the head of John the Baptist on a platter.” 26And the king was exceedingly sorry, but because of his oaths and his guests he did not want to break his word to her. 27And immediately the king sent an executioner with orders to bring John's[24] head. He went and beheaded him in the prison 28and brought his head on a platter and gave it to the girl, and the girl gave it to her mother. 29When his disciples heard of it, they came and took his body and laid it in a tomb.
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-Jesus Feeds the Five Thousand
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-30The apostles returned to Jesus and told him all that they had done and taught. 31And he said to them, “Come away by yourselves to a desolate place and rest a while.” For many were coming and going, and they had no leisure even to eat. 32And they went away in the boat to a desolate place by themselves. 33Now many saw them going and recognized them, and they ran there on foot from all the towns and got there ahead of them. 34When he went ashore he saw a great crowd, and he had compassion on them, because they were like sheep without a shepherd. And he began to teach them many things. 35And when it grew late, his disciples came to him and said, “This is a desolate place, and the hour is now late. 36Send them away to go into the surrounding countryside and villages and buy themselves something to eat.” 37But he answered them, “You give them something to eat.” And they said to him, “Shall we go and buy two hundred denarii[25] worth of bread and give it to them to eat?” 38And he said to them, “How many loaves do you have? Go and see.” And when they had found out, they said, “Five, and two fish.” 39Then he commanded them all to sit down in groups on the green grass. 40So they sat down in groups, by hundreds and by fifties. 41And taking the five loaves and the two fish he looked up to heaven and said a blessing and broke the loaves and gave them to the disciples to set before the people. And he divided the two fish among them all. 42And they all ate and were satisfied. 43And they took up twelve baskets full of broken pieces and of the fish. 44And those who ate the loaves were five thousand men.
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-Jesus Walks on the Water
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-45Immediately he made his disciples get into the boat and go before him to the other side, to Bethsaida, while he dismissed the crowd. 46And after he had taken leave of them, he went up on the mountain to pray. 47And when evening came, the boat was out on the sea, and he was alone on the land. 48And he saw that they were making headway painfully, for the wind was against them. And about the fourth watch of the night[26] he came to them, walking on the sea. He meant to pass by them, 49but when they saw him walking on the sea they thought it was a ghost, and cried out, 50for they all saw him and were terrified. But immediately he spoke to them and said, “Take heart; it is I. Do not be afraid.” 51And he got into the boat with them, and the wind ceased. And they were utterly astounded, 52for they did not understand about the loaves, but their hearts were hardened.
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-Jesus Heals the Sick in Gennesaret
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-53When they had crossed over, they came to land at Gennesaret and moored to the shore. 54And when they got out of the boat, the people immediately recognized him 55and ran about the whole region and began to bring the sick people on their beds to wherever they heard he was. 56And wherever he came, in villages, cities, or countryside, they laid the sick in the marketplaces and implored him that they might touch even the fringe of his garment. And as many as touched it were made well.
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-Traditions and Commandments
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-7:1 Now when the Pharisees gathered to him, with some of the scribes who had come from Jerusalem, 2they saw that some of his disciples ate with hands that were defiled, that is, unwashed. 3(For the Pharisees and all the Jews do not eat unless they wash[27] their hands, holding to the tradition of the elders, 4and when they come from the marketplace, they do not eat unless they wash.[28] And there are many other traditions that they observe, such as the washing of cups and pots and copper vessels and dining couches.[29]) 5And the Pharisees and the scribes asked him, “Why do your disciples not walk according to the tradition of the elders, but eat with defiled hands?” 6And he said to them, “Well did Isaiah prophesy of you hypocrites, as it is written,
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-“‘This people honors me with their lips,
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-but their heart is far from me;
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-7in vain do they worship me,
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-teaching as doctrines the commandments of men.’
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-8You leave the commandment of God and hold to the tradition of men.”
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-9And he said to them, “You have a fine way of rejecting the commandment of God in order to establish your tradition! 10For Moses said, ‘Honor your father and your mother’; and, ‘Whoever reviles father or mother must surely die.’ 11But you say, ‘If a man tells his father or his mother, “Whatever you would have gained from me is Corban”’ (that is, given to God)[30]— 12then you no longer permit him to do anything for his father or mother, 13thus making void the word of God by your tradition that you have handed down. And many such things you do.”
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-What Defiles a Person
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-14And he called the people to him again and said to them, “Hear me, all of you, and understand: 15There is nothing outside a person that by going into him can defile him, but the things that come out of a person are what defile him.”[31] 17And when he had entered the house and left the people, his disciples asked him about the parable. 18And he said to them, “Then are you also without understanding? Do you not see that whatever goes into a person from outside cannot defile him, 19since it enters not his heart but his stomach, and is expelled?”[32] (Thus he declared all foods clean.) 20And he said, “What comes out of a person is what defiles him. 21For from within, out of the heart of man, come evil thoughts, sexual immorality, theft, murder, adultery, 22coveting, wickedness, deceit, sensuality, envy, slander, pride, foolishness. 23All these evil things come from within, and they defile a person.”
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-The Syrophoenician Woman's Faith
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-24And from there he arose and went away to the region of Tyre and Sidon.[33] And he entered a house and did not want anyone to know, yet he could not be hidden. 25But immediately a woman whose little daughter had an unclean spirit heard of him and came and fell down at his feet. 26Now the woman was a Gentile, a Syrophoenician by birth. And she begged him to cast the demon out of her daughter. 27And he said to her, “Let the children be fed first, for it is not right to take the children's bread and throw it to the dogs.” 28But she answered him, “Yes, Lord; yet even the dogs under the table eat the children's crumbs.” 29And he said to her, “For this statement you may go your way; the demon has left your daughter.” 30And she went home and found the child lying in bed and the demon gone.
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-Jesus Heals a Deaf Man
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-31Then he returned from the region of Tyre and went through Sidon to the Sea of Galilee, in the region of the Decapolis. 32And they brought to him a man who was deaf and had a speech impediment, and they begged him to lay his hand on him. 33And taking him aside from the crowd privately, he put his fingers into his ears, and after spitting touched his tongue. 34And looking up to heaven, he sighed and said to him, “Ephphatha,” that is, “Be opened.” 35And his ears were opened, his tongue was released, and he spoke plainly. 36And Jesus[34] charged them to tell no one. But the more he charged them, the more zealously they proclaimed it. 37And they were astonished beyond measure, saying, “He has done all things well. He even makes the deaf hear and the mute speak.”
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-Jesus Feeds the Four Thousand
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-8:1 In those days, when again a great crowd had gathered, and they had nothing to eat, he called his disciples to him and said to them, 2“I have compassion on the crowd, because they have been with me now three days and have nothing to eat. 3And if I send them away hungry to their homes, they will faint on the way. And some of them have come from far away.” 4And his disciples answered him, “How can one feed these people with bread here in this desolate place?” 5And he asked them, “How many loaves do you have?” They said, “Seven.” 6And he directed the crowd to sit down on the ground. And he took the seven loaves, and having given thanks, he broke them and gave them to his disciples to set before the people; and they set them before the crowd. 7And they had a few small fish. And having blessed them, he said that these also should be set before them. 8And they ate and were satisfied. And they took up the broken pieces left over, seven baskets full. 9And there were about four thousand people. And he sent them away. 10And immediately he got into the boat with his disciples and went to the district of Dalmanutha.[35]
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-The Pharisees Demand a Sign
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-11The Pharisees came and began to argue with him, seeking from him a sign from heaven to test him. 12And he sighed deeply in his spirit and said, “Why does this generation seek a sign? Truly, I say to you, no sign will be given to this generation.” 13And he left them, got into the boat again, and went to the other side.
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-The Leaven of the Pharisees and Herod
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-14Now they had forgotten to bring bread, and they had only one loaf with them in the boat. 15And he cautioned them, saying, “Watch out; beware of the leaven of the Pharisees and the leaven of Herod.”[36] 16And they began discussing with one another the fact that they had no bread. 17And Jesus, aware of this, said to them, “Why are you discussing the fact that you have no bread? Do you not yet perceive or understand? Are your hearts hardened? 18Having eyes do you not see, and having ears do you not hear? And do you not remember? 19When I broke the five loaves for the five thousand, how many baskets full of broken pieces did you take up?” They said to him, “Twelve.” 20“And the seven for the four thousand, how many baskets full of broken pieces did you take up?” And they said to him, “Seven.” 21And he said to them, “Do you not yet understand?”
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-Jesus Heals a Blind Man at Bethsaida
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-22And they came to Bethsaida. And some people brought to him a blind man and begged him to touch him. 23And he took the blind man by the hand and led him out of the village, and when he had spit on his eyes and laid his hands on him, he asked him, “Do you see anything?” 24And he looked up and said, “I see men, but they look like trees, walking.” 25Then Jesus[37] laid his hands on his eyes again; and he opened his eyes, his sight was restored, and he saw everything clearly. 26And he sent him to his home, saying, “Do not even enter the village.”
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-Peter Confesses Jesus as the Christ
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-27And Jesus went on with his disciples to the villages of Caesarea Philippi. And on the way he asked his disciples, “Who do people say that I am?” 28And they told him, “John the Baptist; and others say, Elijah; and others, one of the prophets.” 29And he asked them, “But who do you say that I am?” Peter answered him, “You are the Christ.” 30And he strictly charged them to tell no one about him.
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-Jesus Foretells His Death and Resurrection
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-31And he began to teach them that the Son of Man must suffer many things and be rejected by the elders and the chief priests and the scribes and be killed, and after three days rise again. 32And he said this plainly. And Peter took him aside and began to rebuke him. 33But turning and seeing his disciples, he rebuked Peter and said, “Get behind me, Satan! For you are not setting your mind on the things of God, but on the things of man.”
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-34And calling the crowd to him with his disciples, he said to them, “If anyone would come after me, let him deny himself and take up his cross and follow me. 35For whoever would save his life[38] will lose it, but whoever loses his life for my sake and the gospel's will save it. 36For what does it profit a man to gain the whole world and forfeit his soul? 37For what can a man give in return for his soul? 38For whoever is ashamed of me and of my words in this adulterous and sinful generation, of him will the Son of Man also be ashamed when he comes in the glory of his Father with the holy angels.”
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-9:1 And he said to them, “Truly, I say to you, there are some standing here who will not taste death until they see the kingdom of God after it has come with power.”
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-The Transfiguration
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-2And after six days Jesus took with him Peter and James and John, and led them up a high mountain by themselves. And he was transfigured before them, 3and his clothes became radiant, intensely white, as no one[39] on earth could bleach them. 4And there appeared to them Elijah with Moses, and they were talking with Jesus. 5And Peter said to Jesus, “Rabbi,[40] it is good that we are here. Let us make three tents, one for you and one for Moses and one for Elijah.” 6For he did not know what to say, for they were terrified. 7And a cloud overshadowed them, and a voice came out of the cloud, “This is my beloved Son;[41] listen to him.” 8And suddenly, looking around, they no longer saw anyone with them but Jesus only.
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-9And as they were coming down the mountain, he charged them to tell no one what they had seen, until the Son of Man had risen from the dead. 10So they kept the matter to themselves, questioning what this rising from the dead might mean. 11And they asked him, “Why do the scribes say that first Elijah must come?” 12And he said to them, “Elijah does come first to restore all things. And how is it written of the Son of Man that he should suffer many things and be treated with contempt? 13But I tell you that Elijah has come, and they did to him whatever they pleased, as it is written of him.”
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-Jesus Heals a Boy with an Unclean Spirit
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-14And when they came to the disciples, they saw a great crowd around them, and scribes arguing with them. 15And immediately all the crowd, when they saw him, were greatly amazed and ran up to him and greeted him. 16And he asked them, “What are you arguing about with them?” 17And someone from the crowd answered him, “Teacher, I brought my son to you, for he has a spirit that makes him mute. 18And whenever it seizes him, it throws him down, and he foams and grinds his teeth and becomes rigid. So I asked your disciples to cast it out, and they were not able.” 19And he answered them, “O faithless generation, how long am I to be with you? How long am I to bear with you? Bring him to me.” 20And they brought the boy to him. And when the spirit saw him, immediately it convulsed the boy, and he fell on the ground and rolled about, foaming at the mouth. 21And Jesus asked his father, “How long has this been happening to him?” And he said, “From childhood. 22And it has often cast him into fire and into water, to destroy him. But if you can do anything, have compassion on us and help us.” 23And Jesus said to him, “‘If you can’! All things are possible for one who believes.” 24Immediately the father of the child cried out[42] and said, “I believe; help my unbelief!” 25And when Jesus saw that a crowd came running together, he rebuked the unclean spirit, saying to it, “You mute and deaf spirit, I command you, come out of him and never enter him again.” 26And after crying out and convulsing him terribly, it came out, and the boy was like a corpse, so that most of them said, “He is dead.” 27But Jesus took him by the hand and lifted him up, and he arose. 28And when he had entered the house, his disciples asked him privately, “Why could we not cast it out?” 29And he said to them, “This kind cannot be driven out by anything but prayer.”[43]
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-Jesus Again Foretells Death, Resurrection
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-30They went on from there and passed through Galilee. And he did not want anyone to know, 31for he was teaching his disciples, saying to them, “The Son of Man is going to be delivered into the hands of men, and they will kill him. And when he is killed, after three days he will rise.” 32But they did not understand the saying, and were afraid to ask him.
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-Who Is the Greatest?
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-33And they came to Capernaum. And when he was in the house he asked them, “What were you discussing on the way?” 34But they kept silent, for on the way they had argued with one another about who was the greatest. 35And he sat down and called the twelve. And he said to them, “If anyone would be first, he must be last of all and servant of all.” 36And he took a child and put him in the midst of them, and taking him in his arms, he said to them, 37“Whoever receives one such child in my name receives me, and whoever receives me, receives not me but him who sent me.”
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-Anyone Not Against Us Is for Us
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-38John said to him, “Teacher, we saw someone casting out demons in your name,[44] and we tried to stop him, because he was not following us.” 39But Jesus said, “Do not stop him, for no one who does a mighty work in my name will be able soon afterward to speak evil of me. 40For the one who is not against us is for us. 41For truly, I say to you, whoever gives you a cup of water to drink because you belong to Christ will by no means lose his reward.
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-Temptations to Sin
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-42“Whoever causes one of these little ones who believe in me to sin,[45] it would be better for him if a great millstone were hung around his neck and he were thrown into the sea. 43And if your hand causes you to sin, cut it off. It is better for you to enter life crippled than with two hands to go to hell,[46] to the unquenchable fire.[47] 45And if your foot causes you to sin, cut it off. It is better for you to enter life lame than with two feet to be thrown into hell. 47And if your eye causes you to sin, tear it out. It is better for you to enter the kingdom of God with one eye than with two eyes to be thrown into hell, 48‘where their worm does not die and the fire is not quenched.’ 49For everyone will be salted with fire.[48] 50Salt is good, but if the salt has lost its saltiness, how will you make it salty again? Have salt in yourselves, and be at peace with one another.”
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-Teaching About Divorce
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-10:1 And he left there and went to the region of Judea and beyond the Jordan, and crowds gathered to him again. And again, as was his custom, he taught them.
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-2And Pharisees came up and in order to test him asked, “Is it lawful for a man to divorce his wife?” 3He answered them, “What did Moses command you?” 4They said, “Moses allowed a man to write a certificate of divorce and to send her away.” 5And Jesus said to them, “Because of your hardness of heart he wrote you this commandment. 6But from the beginning of creation, ‘God made them male and female.’ 7‘Therefore a man shall leave his father and mother and hold fast to his wife,[49] 8and the two shall become one flesh.’ So they are no longer two but one flesh. 9What therefore God has joined together, let not man separate.”
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-10And in the house the disciples asked him again about this matter. 11And he said to them, “Whoever divorces his wife and marries another commits adultery against her, 12and if she divorces her husband and marries another, she commits adultery.”
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-Let the Children Come to Me
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-13And they were bringing children to him that he might touch them, and the disciples rebuked them. 14But when Jesus saw it, he was indignant and said to them, “Let the children come to me; do not hinder them, for to such belongs the kingdom of God. 15Truly, I say to you, whoever does not receive the kingdom of God like a child shall not enter it.” 16And he took them in his arms and blessed them, laying his hands on them.
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-The Rich Young Man
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-17And as he was setting out on his journey, a man ran up and knelt before him and asked him, “Good Teacher, what must I do to inherit eternal life?” 18And Jesus said to him, “Why do you call me good? No one is good except God alone. 19You know the commandments: ‘Do not murder, Do not commit adultery, Do not steal, Do not bear false witness, Do not defraud, Honor your father and mother.’” 20And he said to him, “Teacher, all these I have kept from my youth.” 21And Jesus, looking at him, loved him, and said to him, “You lack one thing: go, sell all that you have and give to the poor, and you will have treasure in heaven; and come, follow me.” 22Disheartened by the saying, he went away sorrowful, for he had great possessions.
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-23And Jesus looked around and said to his disciples, “How difficult it will be for those who have wealth to enter the kingdom of God!” 24And the disciples were amazed at his words. But Jesus said to them again, “Children, how difficult it is[50] to enter the kingdom of God! 25It is easier for a camel to go through the eye of a needle than for a rich person to enter the kingdom of God.” 26And they were exceedingly astonished, and said to him,[51] “Then who can be saved?” 27Jesus looked at them and said, “With man it is impossible, but not with God. For all things are possible with God.” 28Peter began to say to him, “See, we have left everything and followed you.” 29Jesus said, “Truly, I say to you, there is no one who has left house or brothers or sisters or mother or father or children or lands, for my sake and for the gospel, 30who will not receive a hundredfold now in this time, houses and brothers and sisters and mothers and children and lands, with persecutions, and in the age to come eternal life. 31But many who are first will be last, and the last first.”
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-Jesus Foretells His Death a Third Time
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-32And they were on the road, going up to Jerusalem, and Jesus was walking ahead of them. And they were amazed, and those who followed were afraid. And taking the twelve again, he began to tell them what was to happen to him, 33saying, “See, we are going up to Jerusalem, and the Son of Man will be delivered over to the chief priests and the scribes, and they will condemn him to death and deliver him over to the Gentiles. 34And they will mock him and spit on him, and flog him and kill him. And after three days he will rise.”
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-The Request of James and John
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-35And James and John, the sons of Zebedee, came up to him and said to him, “Teacher, we want you to do for us whatever we ask of you.” 36And he said to them, “What do you want me to do for you?” 37And they said to him, “Grant us to sit, one at your right hand and one at your left, in your glory.” 38Jesus said to them, “You do not know what you are asking. Are you able to drink the cup that I drink, or to be baptized with the baptism with which I am baptized?” 39And they said to him, “We are able.” And Jesus said to them, “The cup that I drink you will drink, and with the baptism with which I am baptized, you will be baptized, 40but to sit at my right hand or at my left is not mine to grant, but it is for those for whom it has been prepared.” 41And when the ten heard it, they began to be indignant at James and John. 42And Jesus called them to him and said to them, “You know that those who are considered rulers of the Gentiles lord it over them, and their great ones exercise authority over them. 43But it shall not be so among you. But whoever would be great among you must be your servant,[52] 44and whoever would be first among you must be slave[53] of all. 45For even the Son of Man came not to be served but to serve, and to give his life as a ransom for many.”
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-Jesus Heals Blind Bartimaeus
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-46And they came to Jericho. And as he was leaving Jericho with his disciples and a great crowd, Bartimaeus, a blind beggar, the son of Timaeus, was sitting by the roadside. 47And when he heard that it was Jesus of Nazareth, he began to cry out and say, “Jesus, Son of David, have mercy on me!” 48And many rebuked him, telling him to be silent. But he cried out all the more, “Son of David, have mercy on me!” 49And Jesus stopped and said, “Call him.” And they called the blind man, saying to him, “Take heart. Get up; he is calling you.” 50And throwing off his cloak, he sprang up and came to Jesus. 51And Jesus said to him, “What do you want me to do for you?” And the blind man said to him, “Rabbi, let me recover my sight.” 52And Jesus said to him, “Go your way; your faith has made you well.” And immediately he recovered his sight and followed him on the way.
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-The Triumphal Entry
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-11:1 Now when they drew near to Jerusalem, to Bethphage and Bethany, at the Mount of Olives, Jesus[54] sent two of his disciples 2and said to them, “Go into the village in front of you, and immediately as you enter it you will find a colt tied, on which no one has ever sat. Untie it and bring it. 3If anyone says to you, ‘Why are you doing this?’ say, ‘The Lord has need of it and will send it back here immediately.’” 4And they went away and found a colt tied at a door outside in the street, and they untied it. 5And some of those standing there said to them, “What are you doing, untying the colt?” 6And they told them what Jesus had said, and they let them go. 7And they brought the colt to Jesus and threw their cloaks on it, and he sat on it. 8And many spread their cloaks on the road, and others spread leafy branches that they had cut from the fields. 9And those who went before and those who followed were shouting, “Hosanna! Blessed is he who comes in the name of the Lord! 10Blessed is the coming kingdom of our father David! Hosanna in the highest!”
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-11And he entered Jerusalem and went into the temple. And when he had looked around at everything, as it was already late, he went out to Bethany with the twelve.
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-Jesus Curses the Fig Tree
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-12On the following day, when they came from Bethany, he was hungry. 13And seeing in the distance a fig tree in leaf, he went to see if he could find anything on it. When he came to it, he found nothing but leaves, for it was not the season for figs. 14And he said to it, “May no one ever eat fruit from you again.” And his disciples heard it.
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-Jesus Cleanses the Temple
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-15And they came to Jerusalem. And he entered the temple and began to drive out those who sold and those who bought in the temple, and he overturned the tables of the money-changers and the seats of those who sold pigeons. 16And he would not allow anyone to carry anything through the temple. 17And he was teaching them and saying to them, “Is it not written, ‘My house shall be called a house of prayer for all the nations’? But you have made it a den of robbers.” 18And the chief priests and the scribes heard it and were seeking a way to destroy him, for they feared him, because all the crowd was astonished at his teaching. 19And when evening came they[55] went out of the city.
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-The Lesson from the Withered Fig Tree
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-20As they passed by in the morning, they saw the fig tree withered away to its roots. 21And Peter remembered and said to him, “Rabbi, look! The fig tree that you cursed has withered.” 22And Jesus answered them, “Have faith in God. 23Truly, I say to you, whoever says to this mountain, ‘Be taken up and thrown into the sea,’ and does not doubt in his heart, but believes that what he says will come to pass, it will be done for him. 24Therefore I tell you, whatever you ask in prayer, believe that you have received[56] it, and it will be yours. 25And whenever you stand praying, forgive, if you have anything against anyone, so that your Father also who is in heaven may forgive you your trespasses.”[57]
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-The Authority of Jesus Challenged
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-27And they came again to Jerusalem. And as he was walking in the temple, the chief priests and the scribes and the elders came to him, 28and they said to him, “By what authority are you doing these things, or who gave you this authority to do them?” 29Jesus said to them, “I will ask you one question; answer me, and I will tell you by what authority I do these things. 30Was the baptism of John from heaven or from man? Answer me.” 31And they discussed it with one another, saying, “If we say, ‘From heaven,’ he will say, ‘Why then did you not believe him?’ 32But shall we say, ‘From man’?”—they were afraid of the people, for they all held that John really was a prophet. 33So they answered Jesus, “We do not know.” And Jesus said to them, “Neither will I tell you by what authority I do these things.”
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-The Parable of the Tenants
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-12:1 And he began to speak to them in parables. “A man planted a vineyard and put a fence around it and dug a pit for the winepress and built a tower, and leased it to tenants and went into another country. 2When the season came, he sent a servant[58] to the tenants to get from them some of the fruit of the vineyard. 3And they took him and beat him and sent him away empty-handed. 4Again he sent to them another servant, and they struck him on the head and treated him shamefully. 5And he sent another, and him they killed. And so with many others: some they beat, and some they killed. 6He had still one other, a beloved son. Finally he sent him to them, saying, ‘They will respect my son.’ 7But those tenants said to one another, ‘This is the heir. Come, let us kill him, and the inheritance will be ours.’ 8And they took him and killed him and threw him out of the vineyard. 9What will the owner of the vineyard do? He will come and destroy the tenants and give the vineyard to others. 10Have you not read this Scripture:
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-“‘The stone that the builders rejected
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-has become the cornerstone;[59]
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-11this was the Lord's doing,
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-and it is marvelous in our eyes’?”
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-12And they were seeking to arrest him but feared the people, for they perceived that he had told the parable against them. So they left him and went away.
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-Paying Taxes to Caesar
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-13And they sent to him some of the Pharisees and some of the Herodians, to trap him in his talk. 14And they came and said to him, “Teacher, we know that you are true and do not care about anyone's opinion. For you are not swayed by appearances,[60] but truly teach the way of God. Is it lawful to pay taxes to Caesar, or not? Should we pay them, or should we not?” 15But, knowing their hypocrisy, he said to them, “Why put me to the test? Bring me a denarius[61] and let me look at it.” 16And they brought one. And he said to them, “Whose likeness and inscription is this?” They said to him, “Caesar's.” 17Jesus said to them, “Render to Caesar the things that are Caesar's, and to God the things that are God's.” And they marveled at him.
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-The Sadducees Ask About the Resurrection
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-18And Sadducees came to him, who say that there is no resurrection. And they asked him a question, saying, 19“Teacher, Moses wrote for us that if a man's brother dies and leaves a wife, but leaves no child, the man[62] must take the widow and raise up offspring for his brother. 20There were seven brothers; the first took a wife, and when he died left no offspring. 21And the second took her, and died, leaving no offspring. And the third likewise. 22And the seven left no offspring. Last of all the woman also died. 23In the resurrection, when they rise again, whose wife will she be? For the seven had her as wife.”
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-24Jesus said to them, “Is this not the reason you are wrong, because you know neither the Scriptures nor the power of God? 25For when they rise from the dead, they neither marry nor are given in marriage, but are like angels in heaven. 26And as for the dead being raised, have you not read in the book of Moses, in the passage about the bush, how God spoke to him, saying, ‘I am the God of Abraham, and the God of Isaac, and the God of Jacob’? 27He is not God of the dead, but of the living. You are quite wrong.”
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-The Great Commandment
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-28And one of the scribes came up and heard them disputing with one another, and seeing that he answered them well, asked him, “Which commandment is the most important of all?” 29Jesus answered, “The most important is, ‘Hear, O Israel: The Lord our God, the Lord is one. 30And you shall love the Lord your God with all your heart and with all your soul and with all your mind and with all your strength.’ 31The second is this: ‘You shall love your neighbor as yourself.’ There is no other commandment greater than these.” 32And the scribe said to him, “You are right, Teacher. You have truly said that he is one, and there is no other besides him. 33And to love him with all the heart and with all the understanding and with all the strength, and to love one's neighbor as oneself, is much more than all whole burnt offerings and sacrifices.” 34And when Jesus saw that he answered wisely, he said to him, “You are not far from the kingdom of God.” And after that no one dared to ask him any more questions.
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-Whose Son Is the Christ?
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-35And as Jesus taught in the temple, he said, “How can the scribes say that the Christ is the son of David? 36David himself, in the Holy Spirit, declared,
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-“‘The Lord said to my Lord,
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-Sit at my right hand,
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-until I put your enemies under your feet.’
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-37David himself calls him Lord. So how is he his son?” And the great throng heard him gladly.
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-Beware of the Scribes
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-38And in his teaching he said, “Beware of the scribes, who like to walk around in long robes and like greetings in the marketplaces 39and have the best seats in the synagogues and the places of honor at feasts, 40who devour widows' houses and for a pretense make long prayers. They will receive the greater condemnation.”
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-The Widow's Offering
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-41And he sat down opposite the treasury and watched the people putting money into the offering box. Many rich people put in large sums. 42And a poor widow came and put in two small copper coins, which make a penny.[63] 43And he called his disciples to him and said to them, “Truly, I say to you, this poor widow has put in more than all those who are contributing to the offering box. 44For they all contributed out of their abundance, but she out of her poverty has put in everything she had, all she had to live on.”
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-Jesus Foretells Destruction of the Temple
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-13:1 And as he came out of the temple, one of his disciples said to him, “Look, Teacher, what wonderful stones and what wonderful buildings!” 2And Jesus said to him, “Do you see these great buildings? There will not be left here one stone upon another that will not be thrown down.”
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-Signs of the Close of the Age
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-3And as he sat on the Mount of Olives opposite the temple, Peter and James and John and Andrew asked him privately, 4“Tell us, when will these things be, and what will be the sign when all these things are about to be accomplished?” 5And Jesus began to say to them, “See that no one leads you astray. 6Many will come in my name, saying, ‘I am he!’ and they will lead many astray. 7And when you hear of wars and rumors of wars, do not be alarmed. This must take place, but the end is not yet. 8For nation will rise against nation, and kingdom against kingdom. There will be earthquakes in various places; there will be famines. These are but the beginning of the birth pains.
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-9“But be on your guard. For they will deliver you over to councils, and you will be beaten in synagogues, and you will stand before governors and kings for my sake, to bear witness before them. 10And the gospel must first be proclaimed to all nations. 11And when they bring you to trial and deliver you over, do not be anxious beforehand what you are to say, but say whatever is given you in that hour, for it is not you who speak, but the Holy Spirit. 12And brother will deliver brother over to death, and the father his child, and children will rise against parents and have them put to death. 13And you will be hated by all for my name's sake. But the one who endures to the end will be saved.
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-The Abomination of Desolation
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-14“But when you see the abomination of desolation standing where he ought not to be (let the reader understand), then let those who are in Judea flee to the mountains. 15Let the one who is on the housetop not go down, nor enter his house, to take anything out, 16and let the one who is in the field not turn back to take his cloak. 17And alas for women who are pregnant and for those who are nursing infants in those days! 18Pray that it may not happen in winter. 19For in those days there will be such tribulation as has not been from the beginning of the creation that God created until now, and never will be. 20And if the Lord had not cut short the days, no human being would be saved. But for the sake of the elect, whom he chose, he shortened the days. 21And then if anyone says to you, ‘Look, here is the Christ!’ or ‘Look, there he is!’ do not believe it. 22For false christs and false prophets will arise and perform signs and wonders, to lead astray, if possible, the elect. 23But be on guard; I have told you all things beforehand.
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-The Coming of the Son of Man
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-24“But in those days, after that tribulation, the sun will be darkened, and the moon will not give its light, 25and the stars will be falling from heaven, and the powers in the heavens will be shaken. 26And then they will see the Son of Man coming in clouds with great power and glory. 27And then he will send out the angels and gather his elect from the four winds, from the ends of the earth to the ends of heaven.
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-The Lesson of the Fig Tree
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-28“From the fig tree learn its lesson: as soon as its branch becomes tender and puts out its leaves, you know that summer is near. 29So also, when you see these things taking place, you know that he is near, at the very gates. 30Truly, I say to you, this generation will not pass away until all these things take place. 31Heaven and earth will pass away, but my words will not pass away.
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-No One Knows That Day or Hour
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-32“But concerning that day or that hour, no one knows, not even the angels in heaven, nor the Son, but only the Father. 33Be on guard, keep awake.[64] For you do not know when the time will come. 34It is like a man going on a journey, when he leaves home and puts his servants[65] in charge, each with his work, and commands the doorkeeper to stay awake. 35Therefore stay awake—for you do not know when the master of the house will come, in the evening, or at midnight, or when the rooster crows,[66] or in the morning— 36lest he come suddenly and find you asleep. 37And what I say to you I say to all: Stay awake.”
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-The Plot to Kill Jesus
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-14:1 It was now two days before the Passover and the Feast of Unleavened Bread. And the chief priests and the scribes were seeking how to arrest him by stealth and kill him, 2for they said, “Not during the feast, lest there be an uproar from the people.”
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-Jesus Anointed at Bethany
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-3And while he was at Bethany in the house of Simon the leper,[67] as he was reclining at table, a woman came with an alabaster flask of ointment of pure nard, very costly, and she broke the flask and poured it over his head. 4There were some who said to themselves indignantly, “Why was the ointment wasted like that? 5For this ointment could have been sold for more than three hundred denarii[68] and given to the poor.” And they scolded her. 6But Jesus said, “Leave her alone. Why do you trouble her? She has done a beautiful thing to me. 7For you always have the poor with you, and whenever you want, you can do good for them. But you will not always have me. 8She has done what she could; she has anointed my body beforehand for burial. 9And truly, I say to you, wherever the gospel is proclaimed in the whole world, what she has done will be told in memory of her.”
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-Judas to Betray Jesus
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-10Then Judas Iscariot, who was one of the twelve, went to the chief priests in order to betray him to them. 11And when they heard it, they were glad and promised to give him money. And he sought an opportunity to betray him.
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-The Passover with the Disciples
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-12And on the first day of Unleavened Bread, when they sacrificed the Passover lamb, his disciples said to him, “Where will you have us go and prepare for you to eat the Passover?” 13And he sent two of his disciples and said to them, “Go into the city, and a man carrying a jar of water will meet you. Follow him, 14and wherever he enters, say to the master of the house, ‘The Teacher says, Where is my guest room, where I may eat the Passover with my disciples?’ 15And he will show you a large upper room furnished and ready; there prepare for us.” 16And the disciples set out and went to the city and found it just as he had told them, and they prepared the Passover.
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-17And when it was evening, he came with the twelve. 18And as they were reclining at table and eating, Jesus said, “Truly, I say to you, one of you will betray me, one who is eating with me.” 19They began to be sorrowful and to say to him one after another, “Is it I?” 20He said to them, “It is one of the twelve, one who is dipping bread into the dish with me. 21For the Son of Man goes as it is written of him, but woe to that man by whom the Son of Man is betrayed! It would have been better for that man if he had not been born.”
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-Institution of the Lord's Supper
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-22And as they were eating, he took bread, and after blessing it broke it and gave it to them, and said, “Take; this is my body.” 23And he took a cup, and when he had given thanks he gave it to them, and they all drank of it. 24And he said to them, “This is my blood of the[69] covenant, which is poured out for many. 25Truly, I say to you, I will not drink again of the fruit of the vine until that day when I drink it new in the kingdom of God.”
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-Jesus Foretells Peter's Denial
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-26And when they had sung a hymn, they went out to the Mount of Olives. 27And Jesus said to them, “You will all fall away, for it is written, ‘I will strike the shepherd, and the sheep will be scattered.’ 28But after I am raised up, I will go before you to Galilee.” 29Peter said to him, “Even though they all fall away, I will not.” 30And Jesus said to him, “Truly, I tell you, this very night, before the rooster crows twice, you will deny me three times.” 31But he said emphatically, “If I must die with you, I will not deny you.” And they all said the same.
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-Jesus Prays in Gethsemane
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-32And they went to a place called Gethsemane. And he said to his disciples, “Sit here while I pray.” 33And he took with him Peter and James and John, and began to be greatly distressed and troubled. 34And he said to them, “My soul is very sorrowful, even to death. Remain here and watch.”[70] 35And going a little farther, he fell on the ground and prayed that, if it were possible, the hour might pass from him. 36And he said, “Abba, Father, all things are possible for you. Remove this cup from me. Yet not what I will, but what you will.” 37And he came and found them sleeping, and he said to Peter, “Simon, are you asleep? Could you not watch one hour? 38Watch and pray that you may not enter into temptation. The spirit indeed is willing, but the flesh is weak.” 39And again he went away and prayed, saying the same words. 40And again he came and found them sleeping, for their eyes were very heavy, and they did not know what to answer him. 41And he came the third time and said to them, “Are you still sleeping and taking your rest? It is enough; the hour has come. The Son of Man is betrayed into the hands of sinners. 42Rise, let us be going; see, my betrayer is at hand.”
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-Betrayal and Arrest of Jesus
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-43And immediately, while he was still speaking, Judas came, one of the twelve, and with him a crowd with swords and clubs, from the chief priests and the scribes and the elders. 44Now the betrayer had given them a sign, saying, “The one I will kiss is the man. Seize him and lead him away under guard.” 45And when he came, he went up to him at once and said, “Rabbi!” And he kissed him. 46And they laid hands on him and seized him. 47But one of those who stood by drew his sword and struck the servant[71] of the high priest and cut off his ear. 48And Jesus said to them, “Have you come out as against a robber, with swords and clubs to capture me? 49Day after day I was with you in the temple teaching, and you did not seize me. But let the Scriptures be fulfilled.” 50And they all left him and fled.
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-A Young Man Flees
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-51And a young man followed him, with nothing but a linen cloth about his body. And they seized him, 52but he left the linen cloth and ran away naked.
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-Jesus Before the Council
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-53And they led Jesus to the high priest. And all the chief priests and the elders and the scribes came together. 54And Peter had followed him at a distance, right into the courtyard of the high priest. And he was sitting with the guards and warming himself at the fire. 55Now the chief priests and the whole Council[72] were seeking testimony against Jesus to put him to death, but they found none. 56For many bore false witness against him, but their testimony did not agree. 57And some stood up and bore false witness against him, saying, 58“We heard him say, ‘I will destroy this temple that is made with hands, and in three days I will build another, not made with hands.’” 59Yet even about this their testimony did not agree. 60And the high priest stood up in the midst and asked Jesus, “Have you no answer to make? What is it that these men testify against you?”[73] 61But he remained silent and made no answer. Again the high priest asked him, “Are you the Christ, the Son of the Blessed?” 62And Jesus said, “I am, and you will see the Son of Man seated at the right hand of Power, and coming with the clouds of heaven.” 63And the high priest tore his garments and said, “What further witnesses do we need? 64You have heard his blasphemy. What is your decision?” And they all condemned him as deserving death. 65And some began to spit on him and to cover his face and to strike him, saying to him, “Prophesy!” And the guards received him with blows.
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-Peter Denies Jesus
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-66And as Peter was below in the courtyard, one of the servant girls of the high priest came, 67and seeing Peter warming himself, she looked at him and said, “You also were with the Nazarene, Jesus.” 68But he denied it, saying, “I neither know nor understand what you mean.” And he went out into the gateway[74] and the rooster crowed.[75] 69And the servant girl saw him and began again to say to the bystanders, “This man is one of them.” 70But again he denied it. And after a little while the bystanders again said to Peter, “Certainly you are one of them, for you are a Galilean.” 71But he began to invoke a curse on himself and to swear, “I do not know this man of whom you speak.” 72And immediately the rooster crowed a second time. And Peter remembered how Jesus had said to him, “Before the rooster crows twice, you will deny me three times.” And he broke down and wept.[76]
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-Jesus Delivered to Pilate
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-15:1 And as soon as it was morning, the chief priests held a consultation with the elders and scribes and the whole Council. And they bound Jesus and led him away and delivered him over to Pilate. 2And Pilate asked him, “Are you the King of the Jews?” And he answered him, “You have said so.” 3And the chief priests accused him of many things. 4And Pilate again asked him, “Have you no answer to make? See how many charges they bring against you.” 5But Jesus made no further answer, so that Pilate was amazed.
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-Pilate Delivers Jesus to Be Crucified
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-6Now at the feast he used to release for them one prisoner for whom they asked. 7And among the rebels in prison, who had committed murder in the insurrection, there was a man called Barabbas. 8And the crowd came up and began to ask Pilate to do as he usually did for them. 9And he answered them, saying, “Do you want me to release for you the King of the Jews?” 10For he perceived that it was out of envy that the chief priests had delivered him up. 11But the chief priests stirred up the crowd to have him release for them Barabbas instead. 12And Pilate again said to them, “Then what shall I do with the man you call the King of the Jews?” 13And they cried out again, “Crucify him.” 14And Pilate said to them, “Why, what evil has he done?” But they shouted all the more, “Crucify him.” 15So Pilate, wishing to satisfy the crowd, released for them Barabbas, and having scourged[77] Jesus, he delivered him to be crucified.
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-Jesus Is Mocked
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-16And the soldiers led him away inside the palace (that is, the governor's headquarters),[78] and they called together the whole battalion.[79] 17And they clothed him in a purple cloak, and twisting together a crown of thorns, they put it on him. 18And they began to salute him, “Hail, King of the Jews!” 19And they were striking his head with a reed and spitting on him and kneeling down in homage to him. 20And when they had mocked him, they stripped him of the purple cloak and put his own clothes on him. And they led him out to crucify him.
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-The Crucifixion
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-21And they compelled a passerby, Simon of Cyrene, who was coming in from the country, the father of Alexander and Rufus, to carry his cross. 22And they brought him to the place called Golgotha (which means Place of a Skull). 23And they offered him wine mixed with myrrh, but he did not take it. 24And they crucified him and divided his garments among them, casting lots for them, to decide what each should take. 25And it was the third hour[80] when they crucified him. 26And the inscription of the charge against him read, “The King of the Jews.” 27And with him they crucified two robbers, one on his right and one on his left.[81] 29And those who passed by derided him, wagging their heads and saying, “Aha! You who would destroy the temple and rebuild it in three days, 30save yourself, and come down from the cross!” 31So also the chief priests with the scribes mocked him to one another, saying, “He saved others; he cannot save himself. 32Let the Christ, the King of Israel, come down now from the cross that we may see and believe.” Those who were crucified with him also reviled him.
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-The Death of Jesus
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-33And when the sixth hour[82] had come, there was darkness over the whole land until the ninth hour.[83] 34And at the ninth hour Jesus cried with a loud voice, “Eloi, Eloi, lema sabachthani?” which means, “My God, my God, why have you forsaken me?” 35And some of the bystanders hearing it said, “Behold, he is calling Elijah.” 36And someone ran and filled a sponge with sour wine, put it on a reed and gave it to him to drink, saying, “Wait, let us see whether Elijah will come to take him down.” 37And Jesus uttered a loud cry and breathed his last. 38And the curtain of the temple was torn in two, from top to bottom. 39And when the centurion, who stood facing him, saw that in this way he[84] breathed his last, he said, “Truly this man was the Son[85] of God!”
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-40There were also women looking on from a distance, among whom were Mary Magdalene, and Mary the mother of James the younger and of Joses, and Salome. 41When he was in Galilee, they followed him and ministered to him, and there were also many other women who came up with him to Jerusalem.
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-Jesus Is Buried
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-42And when evening had come, since it was the day of Preparation, that is, the day before the Sabbath, 43Joseph of Arimathea, a respected member of the Council, who was also himself looking for the kingdom of God, took courage and went to Pilate and asked for the body of Jesus. 44Pilate was surprised to hear that he should have already died.[86] And summoning the centurion, he asked him whether he was already dead. 45And when he learned from the centurion that he was dead, he granted the corpse to Joseph. 46And Joseph[87] bought a linen shroud, and taking him down, wrapped him in the linen shroud and laid him in a tomb that had been cut out of the rock. And he rolled a stone against the entrance of the tomb. 47Mary Magdalene and Mary the mother of Joses saw where he was laid.
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-The Resurrection
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-16:1 When the Sabbath was past, Mary Magdalene and Mary the mother of James and Salome bought spices, so that they might go and anoint him. 2And very early on the first day of the week, when the sun had risen, they went to the tomb. 3And they were saying to one another, “Who will roll away the stone for us from the entrance of the tomb?” 4And looking up, they saw that the stone had been rolled back—it was very large. 5And entering the tomb, they saw a young man sitting on the right side, dressed in a white robe, and they were alarmed. 6And he said to them, “Do not be alarmed. You seek Jesus of Nazareth, who was crucified. He has risen; he is not here. See the place where they laid him. 7But go, tell his disciples and Peter that he is going before you to Galilee. There you will see him, just as he told you.” 8And they went out and fled from the tomb, for trembling and astonishment had seized them, and they said nothing to anyone, for they were afraid.
-
-[Some of the earliest manuscripts do not include 16:9-20.][88]
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-Jesus Appears to Mary Magdalene
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-9[[Now when he rose early on the first day of the week, he appeared first to Mary Magdalene, from whom he had cast out seven demons. 10She went and told those who had been with him, as they mourned and wept. 11But when they heard that he was alive and had been seen by her, they would not believe it.
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-Jesus Appears to Two Disciples
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-12After these things he appeared in another form to two of them, as they were walking into the country. 13And they went back and told the rest, but they did not believe them.
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-The Great Commission
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-14Afterward he appeared to the eleven themselves as they were reclining at table, and he rebuked them for their unbelief and hardness of heart, because they had not believed those who saw him after he had risen. 15And he said to them, “Go into all the world and proclaim the gospel to the whole creation. 16Whoever believes and is baptized will be saved, but whoever does not believe will be condemned. 17And these signs will accompany those who believe: in my name they will cast out demons; they will speak in new tongues; 18they will pick up serpents with their hands; and if they drink any deadly poison, it will not hurt them; they will lay their hands on the sick, and they will recover.”
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-19So then the Lord Jesus, after he had spoken to them, was taken up into heaven and sat down at the right hand of God. 20And they went out and preached everywhere, while the Lord worked with them and confirmed the message by accompanying signs.]]
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-Footnotes
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-[1] 1:1 Some manuscripts omit the Son of God
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-[2] 1:2 Some manuscripts in the prophets
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-[3] 1:3 Or crying: Prepare in the wilderness
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-[4] 1:11 Or my Son, my (or the) Beloved
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-[5] 1:29 Some manuscripts they
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-[6] 1:40 Leprosy was a term for several skin diseases; see Leviticus 13
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-[7] 1:43 Greek he; also verse 45
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-[8] 2:16 Some manuscripts and
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-[9] 2:16 Some manuscripts add and drink
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-[10] 2:22 Some manuscripts omit But new wine is for fresh wineskins
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-[11] 3:2 Greek him
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-[12] 3:32 Other early manuscripts add and your sisters
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-[13] 4:17 Or stumble
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-[14] 5:1 Some manuscripts Gergesenes; some Gadarenes
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-[15] 5:2 Greek he; also verse 9
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-[16] 5:15 Greek daimonizomai; also verses 16, 18; elsewhere rendered oppressed by demons
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-[17] 5:17 Greek him
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-[18] 5:36 Or ignoring; some manuscripts hearing
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-[19] 5:38 Greek he
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-[20] 6:9 Greek chiton, a long garment worn under the cloak next to the skin
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-[21] 6:14 Greek his
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-[22] 6:14 Some manuscripts He
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-[23] 6:14 Greek baptizer; also verse 24
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-[24] 6:27 Greek his
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-[25] 6:37 A denarius was a day's wage for a laborer
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-[26] 6:48 That is, between 3 A.M. and 6 A.M.
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-[27] 7:3 Greek unless they wash with a fist, probably indicating a kind of ceremonial washing
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-[28] 7:4 Greek unless they baptize; some manuscripts unless they purify themselves
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-[29] 7:4 Some manuscripts omit and dining couches
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-[30] 7:11 Or an offering
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-[31] 7:15 Some manuscripts add verse 16: If anyone has ears to hear, let him hear
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-[32] 7:19 Greek goes out into the latrine
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-[33] 7:24 Some manuscripts omit and Sidon
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-[34] 7:36 Greek he
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-[35] 8:10 Some manuscripts Magadan, or Magdala
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-[36] 8:15 Some manuscripts the Herodians
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-[37] 8:25 Greek he
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-[38] 8:35 The same Greek word can mean either soul or life, depending on the context; twice in this verse and once in verse 36 and once in verse 37
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-[39] 9:3 Greek no cloth refiner
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-[40] 9:5 Rabbi means my teacher, or my master
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-[41] 9:7 Or my Son, my (or the) Beloved
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-[42] 9:24 Some manuscripts add with tears
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-[43] 9:29 Some manuscripts add and fasting
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-[44] 9:38 Some manuscripts add who does not follow us
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-[45] 9:42 Greek to stumble; also verses 43, 45, 47
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-[46] 9:43 Greek Gehenna; also verse 47
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-[47] 9:43 Some manuscripts add verses 44 and 46 (which are identical with verse 48)
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-[48] 9:49 Some manuscripts add and every sacrifice will be salted with salt
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-[49] 10:7 Some manuscripts omit and hold fast to his wife
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-[50] 10:24 Some manuscripts add for those who trust in riches
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-[51] 10:26 Some manuscripts to one another
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-[52] 10:43 Greek diakonos
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-[53] 10:44 Greek bondservant (doulos)
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-[54] 11:1 Greek he
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-[55] 11:19 Some manuscripts he
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-[56] 11:24 Some manuscripts are receiving
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-[57] 11:25 Some manuscripts add verse 26: But if you do not forgive, neither will your Father who is in heaven forgive your trespasses
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-[58] 12:2 Greek bondservant; also verse 4
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-[59] 12:10 Greek the head of the corner
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-[60] 12:14 Greek you do not look at people's faces
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-[61] 12:15 A denarius was a day's wage for a laborer
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-[62] 12:19 Greek his brother
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-[63] 12:42 Greek two lepta, which make a kodrantes; a kodrantes (Latin quadrans) was a Roman copper coin worth about 1/64 of a denarius (which was a day's wage for a laborer)
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-[64] 13:33 Some manuscripts add and pray
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-[65] 13:34 Greek bondservants
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-[66] 13:35 That is, the third watch of the night, between midnight and 3 A.M.
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-[67] 14:3 Leprosy was a term for several skin diseases; see Leviticus 13
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-[68] 14:5 A denarius was a day's wage for a laborer
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-[69] 14:24 Some manuscripts insert new
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-[70] 14:34 Or keep awake; also verses 37, 38
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-[71] 14:47 Greek bondservant
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-[72] 14:55 Greek Sanhedrin
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-[73] 14:60 Or Have you no answer to what these men testify against you?
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-[74] 14:68 Or forecourt
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-[75] 14:68 Some manuscripts omit and the rooster crowed
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-[76] 14:72 Or And when he had thought about it, he wept
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-[77] 15:15 A Roman judicial penalty, consisting of a severe beating with a multi-lashed whip containing imbedded pieces of bone and metal
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-[78] 15:16 Greek the praetorium
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-[79] 15:16 Greek cohort; a tenth of a Roman legion, usually about 600 men
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-[80] 15:25 That is, 9 A.M.
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-[81] 15:27 Some manuscripts insert verse 28: And the Scripture was fulfilled that says, “He was numbered with the transgressors”
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-[82] 15:33 That is, noon
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-[83] 15:33 That is, 3 P.M.
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-[84] 15:39 Some manuscripts insert cried out and
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-[85] 15:39 Or a son
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-[86] 15:44 Or Pilate wondered whether he had already died
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-[87] 15:46 Greek he
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-[88] 16:9 Some manuscripts end the book with 16:8; others include verses 9-20 immediately after verse 8. A few manuscripts insert additional material after verse 14; one Latin manuscript adds after verse 8 the following: But they reported briefly to Peter and those with him all that they had been told. And after this, Jesus himself sent out by means of them, from east to west, the sacred and imperishable proclamation of eternal salvation. Other manuscripts include this same wording after verse 8, then continue with verses 9-20
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-LUKE
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-Chapter 1
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-Chapter 2
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-Chapter 3
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-Chapter 4
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-Chapter 5
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-Chapter 6
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-Chapter 7
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-Chapter 8
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-Chapter 9
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-Chapter 10
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-Chapter 11
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-Chapter 12
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-Chapter 13
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-Chapter 14
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-Chapter 15
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-Chapter 16
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-Chapter 17
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-Chapter 18
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-Chapter 19
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-Chapter 20
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-Chapter 21
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-Chapter 22
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-Chapter 23
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-Chapter 24
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-Dedication to Theophilus
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-1:1 Inasmuch as many have undertaken to compile a narrative of the things that have been accomplished among us, 2just as those who from the beginning were eyewitnesses and ministers of the word have delivered them to us, 3it seemed good to me also, having followed all things closely for some time past, to write an orderly account for you, most excellent Theophilus, 4that you may have certainty concerning the things you have been taught.
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-Birth of John the Baptist Foretold
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-5In the days of Herod, king of Judea, there was a priest named Zechariah,[1] of the division of Abijah. And he had a wife from the daughters of Aaron, and her name was Elizabeth. 6And they were both righteous before God, walking blamelessly in all the commandments and statutes of the Lord. 7But they had no child, because Elizabeth was barren, and both were advanced in years.
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-8Now while he was serving as priest before God when his division was on duty, 9according to the custom of the priesthood, he was chosen by lot to enter the temple of the Lord and burn incense. 10And the whole multitude of the people were praying outside at the hour of incense. 11And there appeared to him an angel of the Lord standing on the right side of the altar of incense. 12And Zechariah was troubled when he saw him, and fear fell upon him. 13But the angel said to him, “Do not be afraid, Zechariah, for your prayer has been heard, and your wife Elizabeth will bear you a son, and you shall call his name John. 14And you will have joy and gladness, and many will rejoice at his birth, 15for he will be great before the Lord. And he must not drink wine or strong drink, and he will be filled with the Holy Spirit, even from his mother's womb. 16And he will turn many of the children of Israel to the Lord their God, 17and he will go before him in the spirit and power of Elijah, to turn the hearts of the fathers to the children, and the disobedient to the wisdom of the just, to make ready for the Lord a people prepared.”
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-18And Zechariah said to the angel, “How shall I know this? For I am an old man, and my wife is advanced in years.” 19And the angel answered him, “I am Gabriel. I stand in the presence of God, and I was sent to speak to you and to bring you this good news. 20And behold, you will be silent and unable to speak until the day that these things take place, because you did not believe my words, which will be fulfilled in their time.” 21And the people were waiting for Zechariah, and they were wondering at his delay in the temple. 22And when he came out, he was unable to speak to them, and they realized that he had seen a vision in the temple. And he kept making signs to them and remained mute. 23And when his time of service was ended, he went to his home.
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-24After these days his wife Elizabeth conceived, and for five months she kept herself hidden, saying, 25“Thus the Lord has done for me in the days when he looked on me, to take away my reproach among people.”
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-Birth of Jesus Foretold
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-26In the sixth month the angel Gabriel was sent from God to a city of Galilee named Nazareth, 27to a virgin betrothed[2] to a man whose name was Joseph, of the house of David. And the virgin's name was Mary. 28And he came to her and said, “Greetings, O favored one, the Lord is with you!”[3] 29But she was greatly troubled at the saying, and tried to discern what sort of greeting this might be. 30And the angel said to her, “Do not be afraid, Mary, for you have found favor with God. 31And behold, you will conceive in your womb and bear a son, and you shall call his name Jesus. 32He will be great and will be called the Son of the Most High. And the Lord God will give to him the throne of his father David, 33and he will reign over the house of Jacob forever, and of his kingdom there will be no end.”
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-34And Mary said to the angel, “How will this be, since I am a virgin?”[4]
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-35And the angel answered her, “The Holy Spirit will come upon you, and the power of the Most High will overshadow you; therefore the child to be born[5] will be called holy—the Son of God. 36And behold, your relative Elizabeth in her old age has also conceived a son, and this is the sixth month with her who was called barren. 37For nothing will be impossible with God.” 38And Mary said, “Behold, I am the servant[6] of the Lord; let it be to me according to your word.” And the angel departed from her.
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-Mary Visits Elizabeth
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-39In those days Mary arose and went with haste into the hill country, to a town in Judah, 40and she entered the house of Zechariah and greeted Elizabeth. 41And when Elizabeth heard the greeting of Mary, the baby leaped in her womb. And Elizabeth was filled with the Holy Spirit, 42and she exclaimed with a loud cry, “Blessed are you among women, and blessed is the fruit of your womb! 43And why is this granted to me that the mother of my Lord should come to me? 44For behold, when the sound of your greeting came to my ears, the baby in my womb leaped for joy. 45And blessed is she who believed that there would be[7] a fulfillment of what was spoken to her from the Lord.”
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-Mary's Song of Praise: The Magnificat
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-46And Mary said,
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-“My soul magnifies the Lord,
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-47and my spirit rejoices in God my Savior,
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-48for he has looked on the humble estate of his servant.
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-For behold, from now on all generations will call me blessed;
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-49for he who is mighty has done great things for me,
-
-and holy is his name.
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-50And his mercy is for those who fear him
-
-from generation to generation.
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-51He has shown strength with his arm;
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-he has scattered the proud in the thoughts of their hearts;
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-52he has brought down the mighty from their thrones
-
-and exalted those of humble estate;
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-53he has filled the hungry with good things,
-
-and the rich he has sent away empty.
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-54He has helped his servant Israel,
-
-in remembrance of his mercy,
-
-55as he spoke to our fathers,
-
-to Abraham and to his offspring forever.”
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-56And Mary remained with her about three months and returned to her home.
-
-
-
-
-
-The Birth of John the Baptist
-
-
-57Now the time came for Elizabeth to give birth, and she bore a son. 58And her neighbors and relatives heard that the Lord had shown great mercy to her, and they rejoiced with her. 59And on the eighth day they came to circumcise the child. And they would have called him Zechariah after his father, 60but his mother answered, “No; he shall be called John.” 61And they said to her, “None of your relatives is called by this name.” 62And they made signs to his father, inquiring what he wanted him to be called. 63And he asked for a writing tablet and wrote, “His name is John.” And they all wondered. 64And immediately his mouth was opened and his tongue loosed, and he spoke, blessing God. 65And fear came on all their neighbors. And all these things were talked about through all the hill country of Judea, 66and all who heard them laid them up in their hearts, saying, “What then will this child be?” For the hand of the Lord was with him.
-
-
-
-
-
-Zechariah's Prophecy
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-
-67And his father Zechariah was filled with the Holy Spirit and prophesied, saying,
-
-68“Blessed be the Lord God of Israel,
-
-for he has visited and redeemed his people
-
-69and has raised up a horn of salvation for us
-
-in the house of his servant David,
-
-70as he spoke by the mouth of his holy prophets from of old,
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-71that we should be saved from our enemies
-
-and from the hand of all who hate us;
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-72to show the mercy promised to our fathers
-
-and to remember his holy covenant,
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-73the oath that he swore to our father Abraham, to grant us
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-74that we, being delivered from the hand of our enemies,
-
-might serve him without fear,
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-75in holiness and righteousness before him all our days.
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-76And you, child, will be called the prophet of the Most High;
-
-for you will go before the Lord to prepare his ways,
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-77to give knowledge of salvation to his people
-
-in the forgiveness of their sins,
-
-78because of the tender mercy of our God,
-
-whereby the sunrise shall visit us[8] from on high
-
-79to give light to those who sit in darkness and in the shadow of death,
-
-to guide our feet into the way of peace.”
-
-80And the child grew and became strong in spirit, and he was in the wilderness until the day of his public appearance to Israel.
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-
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-
-The Birth of Jesus Christ
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-
-2:1 In those days a decree went out from Caesar Augustus that all the world should be registered. 2This was the first registration when[9] Quirinius was governor of Syria. 3And all went to be registered, each to his own town. 4And Joseph also went up from Galilee, from the town of Nazareth, to Judea, to the city of David, which is called Bethlehem, because he was of the house and lineage of David, 5to be registered with Mary, his betrothed,[10] who was with child. 6And while they were there, the time came for her to give birth. 7And she gave birth to her firstborn son and wrapped him in swaddling cloths and laid him in a manger, because there was no place for them in the inn.
-
-
-
-
-
-The Shepherds and the Angels
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-
-8And in the same region there were shepherds out in the field, keeping watch over their flock by night. 9And an angel of the Lord appeared to them, and the glory of the Lord shone around them, and they were filled with fear. 10And the angel said to them, “Fear not, for behold, I bring you good news of great joy that will be for all the people. 11For unto you is born this day in the city of David a Savior, who is Christ the Lord. 12And this will be a sign for you: you will find a baby wrapped in swaddling cloths and lying in a manger.” 13And suddenly there was with the angel a multitude of the heavenly host praising God and saying,
-
-14“Glory to God in the highest,
-
-and on earth peace among those with whom he is pleased!”[11]
-
-15When the angels went away from them into heaven, the shepherds said to one another, “Let us go over to Bethlehem and see this thing that has happened, which the Lord has made known to us.” 16And they went with haste and found Mary and Joseph, and the baby lying in a manger. 17And when they saw it, they made known the saying that had been told them concerning this child. 18And all who heard it wondered at what the shepherds told them. 19But Mary treasured up all these things, pondering them in her heart. 20And the shepherds returned, glorifying and praising God for all they had heard and seen, as it had been told them.
-
-21And at the end of eight days, when he was circumcised, he was called Jesus, the name given by the angel before he was conceived in the womb.
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-
-
-
-
-Jesus Presented at the Temple
-
-
-22And when the time came for their purification according to the Law of Moses, they brought him up to Jerusalem to present him to the Lord 23(as it is written in the Law of the Lord, “Every male who first opens the womb shall be called holy to the Lord”) 24and to offer a sacrifice according to what is said in the Law of the Lord, “a pair of turtledoves, or two young pigeons.” 25Now there was a man in Jerusalem, whose name was Simeon, and this man was righteous and devout, waiting for the consolation of Israel, and the Holy Spirit was upon him. 26And it had been revealed to him by the Holy Spirit that he would not see death before he had seen the Lord's Christ. 27And he came in the Spirit into the temple, and when the parents brought in the child Jesus, to do for him according to the custom of the Law, 28he took him up in his arms and blessed God and said,
-
-29“Lord, now you are letting your servant[12] depart in peace,
-
-according to your word;
-
-30for my eyes have seen your salvation
-
-31that you have prepared in the presence of all peoples,
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-32a light for revelation to the Gentiles,
-
-and for glory to your people Israel.”
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-33And his father and his mother marveled at what was said about him. 34And Simeon blessed them and said to Mary his mother, “Behold, this child is appointed for the fall and rising of many in Israel, and for a sign that is opposed 35(and a sword will pierce through your own soul also), so that thoughts from many hearts may be revealed.”
-
-36And there was a prophetess, Anna, the daughter of Phanuel, of the tribe of Asher. She was advanced in years, having lived with her husband seven years from when she was a virgin, 37and then as a widow until she was eighty-four.[13] She did not depart from the temple, worshiping with fasting and prayer night and day. 38And coming up at that very hour she began to give thanks to God and to speak of him to all who were waiting for the redemption of Jerusalem.
-
-
-
-
-
-The Return to Nazareth
-
-
-39And when they had performed everything according to the Law of the Lord, they returned into Galilee, to their own town of Nazareth. 40And the child grew and became strong, filled with wisdom. And the favor of God was upon him.
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-
-
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-
-The Boy Jesus in the Temple
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-
-41Now his parents went to Jerusalem every year at the Feast of the Passover. 42And when he was twelve years old, they went up according to custom. 43And when the feast was ended, as they were returning, the boy Jesus stayed behind in Jerusalem. His parents did not know it, 44but supposing him to be in the group they went a day's journey, but then they began to search for him among their relatives and acquaintances, 45and when they did not find him, they returned to Jerusalem, searching for him. 46After three days they found him in the temple, sitting among the teachers, listening to them and asking them questions. 47And all who heard him were amazed at his understanding and his answers. 48And when his parents[14] saw him, they were astonished. And his mother said to him, “Son, why have you treated us so? Behold, your father and I have been searching for you in great distress.” 49And he said to them, “Why were you looking for me? Did you not know that I must be in my Father's house?”[15] 50And they did not understand the saying that he spoke to them. 51And he went down with them and came to Nazareth and was submissive to them. And his mother treasured up all these things in her heart.
-
-52And Jesus increased in wisdom and in stature[16] and in favor with God and man.
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-
-
-
-
-John the Baptist Prepares the Way
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-
-3:1 In the fifteenth year of the reign of Tiberius Caesar, Pontius Pilate being governor of Judea, and Herod being tetrarch of Galilee, and his brother Philip tetrarch of the region of Ituraea and Trachonitis, and Lysanias tetrarch of Abilene, 2during the high priesthood of Annas and Caiaphas, the word of God came to John the son of Zechariah in the wilderness. 3And he went into all the region around the Jordan, proclaiming a baptism of repentance for the forgiveness of sins. 4As it is written in the book of the words of Isaiah the prophet,
-
-“The voice of one crying in the wilderness:
-
-‘Prepare the way of the Lord,[17]
-
-make his paths straight.
-
-5Every valley shall be filled,
-
-and every mountain and hill shall be made low,
-
-and the crooked shall become straight,
-
-and the rough places shall become level ways,
-
-6and all flesh shall see the salvation of God.’”
-
-7He said therefore to the crowds that came out to be baptized by him, “You brood of vipers! Who warned you to flee from the wrath to come? 8Bear fruits in keeping with repentance. And do not begin to say to yourselves, ‘We have Abraham as our father.’ For I tell you, God is able from these stones to raise up children for Abraham. 9Even now the axe is laid to the root of the trees. Every tree therefore that does not bear good fruit is cut down and thrown into the fire.”
-
-10And the crowds asked him, “What then shall we do?” 11And he answered them, “Whoever has two tunics[18] is to share with him who has none, and whoever has food is to do likewise.” 12Tax collectors also came to be baptized and said to him, “Teacher, what shall we do?” 13And he said to them, “Collect no more than you are authorized to do.” 14Soldiers also asked him, “And we, what shall we do?” And he said to them, “Do not extort money from anyone by threats or by false accusation, and be content with your wages.”
-
-15As the people were in expectation, and all were questioning in their hearts concerning John, whether he might be the Christ, 16John answered them all, saying, “I baptize you with water, but he who is mightier than I is coming, the strap of whose sandals I am not worthy to untie. He will baptize you with the Holy Spirit and with fire. 17His winnowing fork is in his hand, to clear his threshing floor and to gather the wheat into his barn, but the chaff he will burn with unquenchable fire.”
-
-18So with many other exhortations he preached good news to the people. 19But Herod the tetrarch, who had been reproved by him for Herodias, his brother's wife, and for all the evil things that Herod had done, 20added this to them all, that he locked up John in prison.
-
-21Now when all the people were baptized, and when Jesus also had been baptized and was praying, the heavens were opened, 22and the Holy Spirit descended on him in bodily form, like a dove; and a voice came from heaven, “You are my beloved Son;[19] with you I am well pleased.”[20]
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-
-
-
-
-The Genealogy of Jesus Christ
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-
-23Jesus, when he began his ministry, was about thirty years of age, being the son (as was supposed) of Joseph, the son of Heli, 24the son of Matthat, the son of Levi, the son of Melchi, the son of Jannai, the son of Joseph, 25the son of Mattathias, the son of Amos, the son of Nahum, the son of Esli, the son of Naggai, 26the son of Maath, the son of Mattathias, the son of Semein, the son of Josech, the son of Joda, 27the son of Joanan, the son of Rhesa, the son of Zerubbabel, the son of Shealtiel,[21] the son of Neri, 28the son of Melchi, the son of Addi, the son of Cosam, the son of Elmadam, the son of Er, 29the son of Joshua, the son of Eliezer, the son of Jorim, the son of Matthat, the son of Levi, 30the son of Simeon, the son of Judah, the son of Joseph, the son of Jonam, the son of Eliakim, 31the son of Melea, the son of Menna, the son of Mattatha, the son of Nathan, the son of David, 32the son of Jesse, the son of Obed, the son of Boaz, the son of Sala, the son of Nahshon, 33the son of Amminadab, the son of Admin, the son of Arni, the son of Hezron, the son of Perez, the son of Judah, 34the son of Jacob, the son of Isaac, the son of Abraham, the son of Terah, the son of Nahor, 35the son of Serug, the son of Reu, the son of Peleg, the son of Eber, the son of Shelah, 36the son of Cainan, the son of Arphaxad, the son of Shem, the son of Noah, the son of Lamech, 37the son of Methuselah, the son of Enoch, the son of Jared, the son of Mahalaleel, the son of Cainan, 38the son of Enos, the son of Seth, the son of Adam, the son of God.
-
-
-
-
-
-The Temptation of Jesus
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-
-4:1 And Jesus, full of the Holy Spirit, returned from the Jordan and was led by the Spirit in the wilderness 2for forty days, being tempted by the devil. And he ate nothing during those days. And when they were ended, he was hungry. 3The devil said to him, “If you are the Son of God, command this stone to become bread.” 4And Jesus answered him, “It is written, ‘Man shall not live by bread alone.’” 5And the devil took him up and showed him all the kingdoms of the world in a moment of time, 6and said to him, “To you I will give all this authority and their glory, for it has been delivered to me, and I give it to whom I will. 7If you, then, will worship me, it will all be yours.” 8And Jesus answered him, “It is written,
-
-“‘You shall worship the Lord your God,
-
-and him only shall you serve.’”
-
-9And he took him to Jerusalem and set him on the pinnacle of the temple and said to him, “If you are the Son of God, throw yourself down from here, 10for it is written,
-
-“‘He will command his angels concerning you,
-
-to guard you,’
-
-11and
-
-“‘On their hands they will bear you up,
-
-lest you strike your foot against a stone.’”
-
-12And Jesus answered him, “It is said, ‘You shall not put the Lord your God to the test.’” 13And when the devil had ended every temptation, he departed from him until an opportune time.
-
-
-
-
-
-Jesus Begins His Ministry
-
-
-14And Jesus returned in the power of the Spirit to Galilee, and a report about him went out through all the surrounding country. 15And he taught in their synagogues, being glorified by all.
-
-
-
-
-
-Jesus Rejected at Nazareth
-
-
-16And he came to Nazareth, where he had been brought up. And as was his custom, he went to the synagogue on the Sabbath day, and he stood up to read. 17And the scroll of the prophet Isaiah was given to him. He unrolled the scroll and found the place where it was written,
-
-18“The Spirit of the Lord is upon me,
-
-because he has anointed me
-
-to proclaim good news to the poor.
-
-He has sent me to proclaim liberty to the captives
-
-and recovering of sight to the blind,
-
-to set at liberty those who are oppressed,
-
-19to proclaim the year of the Lord's favor.”
-
-20And he rolled up the scroll and gave it back to the attendant and sat down. And the eyes of all in the synagogue were fixed on him. 21And he began to say to them, “Today this Scripture has been fulfilled in your hearing.” 22And all spoke well of him and marveled at the gracious words that were coming from his mouth. And they said, “Is not this Joseph's son?” 23And he said to them, “Doubtless you will quote to me this proverb, ‘Physician, heal yourself.’ What we have heard you did at Capernaum, do here in your hometown as well.” 24And he said, “Truly, I say to you, no prophet is acceptable in his hometown. 25But in truth, I tell you, there were many widows in Israel in the days of Elijah, when the heavens were shut up three years and six months, and a great famine came over all the land, 26and Elijah was sent to none of them but only to Zarephath, in the land of Sidon, to a woman who was a widow. 27And there were many lepers[22] in Israel in the time of the prophet Elisha, and none of them was cleansed, but only Naaman the Syrian.” 28When they heard these things, all in the synagogue were filled with wrath. 29And they rose up and drove him out of the town and brought him to the brow of the hill on which their town was built, so that they could throw him down the cliff. 30But passing through their midst, he went away.
-
-
-
-
-
-Jesus Heals a Man with an Unclean Demon
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-
-31And he went down to Capernaum, a city of Galilee. And he was teaching them on the Sabbath, 32and they were astonished at his teaching, for his word possessed authority. 33And in the synagogue there was a man who had the spirit of an unclean demon, and he cried out with a loud voice, 34“Ha![23] What have you to do with us, Jesus of Nazareth? Have you come to destroy us? I know who you are—the Holy One of God.” 35But Jesus rebuked him, saying, “Be silent and come out of him!” And when the demon had thrown him down in their midst, he came out of him, having done him no harm. 36And they were all amazed and said to one another, “What is this word? For with authority and power he commands the unclean spirits, and they come out!” 37And reports about him went out into every place in the surrounding region.
-
-
-
-
-
-Jesus Heals Many
-
-
-38And he arose and left the synagogue and entered Simon's house. Now Simon's mother-in-law was ill with a high fever, and they appealed to him on her behalf. 39And he stood over her and rebuked the fever, and it left her, and immediately she rose and began to serve them.
-
-40Now when the sun was setting, all those who had any who were sick with various diseases brought them to him, and he laid his hands on every one of them and healed them. 41And demons also came out of many, crying, “You are the Son of God!” But he rebuked them and would not allow them to speak, because they knew that he was the Christ.
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-
-
-
-
-Jesus Preaches in Synagogues
-
-
-42And when it was day, he departed and went into a desolate place. And the people sought him and came to him, and would have kept him from leaving them, 43but he said to them, “I must preach the good news of the kingdom of God to the other towns as well; for I was sent for this purpose.” 44And he was preaching in the synagogues of Judea.[24]
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-
-
-
-
-Jesus Calls the First Disciples
-
-
-5:1 On one occasion, while the crowd was pressing in on him to hear the word of God, he was standing by the lake of Gennesaret, 2and he saw two boats by the lake, but the fishermen had gone out of them and were washing their nets. 3Getting into one of the boats, which was Simon's, he asked him to put out a little from the land. And he sat down and taught the people from the boat. 4And when he had finished speaking, he said to Simon, “Put out into the deep and let down your nets for a catch.” 5And Simon answered, “Master, we toiled all night and took nothing! But at your word I will let down the nets.” 6And when they had done this, they enclosed a large number of fish, and their nets were breaking. 7They signaled to their partners in the other boat to come and help them. And they came and filled both the boats, so that they began to sink. 8But when Simon Peter saw it, he fell down at Jesus' knees, saying, “Depart from me, for I am a sinful man, O Lord.” 9For he and all who were with him were astonished at the catch of fish that they had taken, 10and so also were James and John, sons of Zebedee, who were partners with Simon. And Jesus said to Simon, “Do not be afraid; from now on you will be catching men.” 11And when they had brought their boats to land, they left everything and followed him.
-
-
-
-
-
-Jesus Cleanses a Leper
-
-
-12While he was in one of the cities, there came a man full of leprosy.[25] And when he saw Jesus, he fell on his face and begged him, “Lord, if you will, you can make me clean.” 13And Jesus[26] stretched out his hand and touched him, saying, “I will; be clean.” And immediately the leprosy left him. 14And he charged him to tell no one, but “go and show yourself to the priest, and make an offering for your cleansing, as Moses commanded, for a proof to them.” 15But now even more the report about him went abroad, and great crowds gathered to hear him and to be healed of their infirmities. 16But he would withdraw to desolate places and pray.
-
-
-
-
-
-Jesus Heals a Paralytic
-
-
-17On one of those days, as he was teaching, Pharisees and teachers of the law were sitting there, who had come from every village of Galilee and Judea and from Jerusalem. And the power of the Lord was with him to heal.[27] 18And behold, some men were bringing on a bed a man who was paralyzed, and they were seeking to bring him in and lay him before Jesus, 19but finding no way to bring him in, because of the crowd, they went up on the roof and let him down with his bed through the tiles into the midst before Jesus. 20And when he saw their faith, he said, “Man, your sins are forgiven you.” 21And the scribes and the Pharisees began to question, saying, “Who is this who speaks blasphemies? Who can forgive sins but God alone?” 22When Jesus perceived their thoughts, he answered them, “Why do you question in your hearts? 23Which is easier, to say, ‘Your sins are forgiven you,’ or to say, ‘Rise and walk’? 24But that you may know that the Son of Man has authority on earth to forgive sins”—he said to the man who was paralyzed—“I say to you, rise, pick up your bed and go home.” 25And immediately he rose up before them and picked up what he had been lying on and went home, glorifying God. 26And amazement seized them all, and they glorified God and were filled with awe, saying, “We have seen extraordinary things today.”
-
-
-
-
-
-Jesus Calls Levi
-
-
-27After this he went out and saw a tax collector named Levi, sitting at the tax booth. And he said to him, “Follow me.” 28And leaving everything, he rose and followed him.
-
-29And Levi made him a great feast in his house, and there was a large company of tax collectors and others reclining at table with them. 30And the Pharisees and their scribes grumbled at his disciples, saying, “Why do you eat and drink with tax collectors and sinners?” 31And Jesus answered them, “Those who are well have no need of a physician, but those who are sick. 32I have not come to call the righteous but sinners to repentance.”
-
-
-
-
-
-A Question About Fasting
-
-
-33And they said to him, “The disciples of John fast often and offer prayers, and so do the disciples of the Pharisees, but yours eat and drink.” 34And Jesus said to them, “Can you make wedding guests fast while the bridegroom is with them? 35The days will come when the bridegroom is taken away from them, and then they will fast in those days.” 36He also told them a parable: “No one tears a piece from a new garment and puts it on an old garment. If he does, he will tear the new, and the piece from the new will not match the old. 37And no one puts new wine into old wineskins. If he does, the new wine will burst the skins and it will be spilled, and the skins will be destroyed. 38But new wine must be put into fresh wineskins. 39And no one after drinking old wine desires new, for he says, ‘The old is good.’”[28]
-
-
-
-
-
-Jesus Is Lord of the Sabbath
-
-
-6:1 On a Sabbath,[29] while he was going through the grainfields, his disciples plucked and ate some heads of grain, rubbing them in their hands. 2But some of the Pharisees said, “Why are you doing what is not lawful to do on the Sabbath?” 3And Jesus answered them, “Have you not read what David did when he was hungry, he and those who were with him: 4how he entered the house of God and took and ate the bread of the Presence, which is not lawful for any but the priests to eat, and also gave it to those with him?” 5And he said to them, “The Son of Man is lord of the Sabbath.”
-
-
-
-
-
-A Man with a Withered Hand
-
-
-6On another Sabbath, he entered the synagogue and was teaching, and a man was there whose right hand was withered. 7And the scribes and the Pharisees watched him, to see whether he would heal on the Sabbath, so that they might find a reason to accuse him. 8But he knew their thoughts, and he said to the man with the withered hand, “Come and stand here.” And he rose and stood there. 9And Jesus said to them, “I ask you, is it lawful on the Sabbath to do good or to do harm, to save life or to destroy it?” 10And after looking around at them all he said to him, “Stretch out your hand.” And he did so, and his hand was restored. 11But they were filled with fury and discussed with one another what they might do to Jesus.
-
-
-
-
-
-The Twelve Apostles
-
-
-12In these days he went out to the mountain to pray, and all night he continued in prayer to God. 13And when day came, he called his disciples and chose from them twelve, whom he named apostles: 14Simon, whom he named Peter, and Andrew his brother, and James and John, and Philip, and Bartholomew, 15and Matthew, and Thomas, and James the son of Alphaeus, and Simon who was called the Zealot, 16and Judas the son of James, and Judas Iscariot, who became a traitor.
-
-
-
-
-
-Jesus Ministers to a Great Multitude
-
-
-17And he came down with them and stood on a level place, with a great crowd of his disciples and a great multitude of people from all Judea and Jerusalem and the seacoast of Tyre and Sidon, 18who came to hear him and to be healed of their diseases. And those who were troubled with unclean spirits were cured. 19And all the crowd sought to touch him, for power came out from him and healed them all.
-
-
-
-
-
-The Beatitudes
-
-
-20And he lifted up his eyes on his disciples, and said:
-
-“Blessed are you who are poor, for yours is the kingdom of God.
-
-21“Blessed are you who are hungry now, for you shall be satisfied.
-
-“Blessed are you who weep now, for you shall laugh.
-
-22“Blessed are you when people hate you and when they exclude you and revile you and spurn your name as evil, on account of the Son of Man! 23Rejoice in that day, and leap for joy, for behold, your reward is great in heaven; for so their fathers did to the prophets.
-
-
-
-
-
-Jesus Pronounces Woes
-
-
-24“But woe to you who are rich, for you have received your consolation.
-
-25“Woe to you who are full now, for you shall be hungry.
-
-“Woe to you who laugh now, for you shall mourn and weep.
-
-26“Woe to you, when all people speak well of you, for so their fathers did to the false prophets.
-
-
-
-
-
-Love Your Enemies
-
-
-27“But I say to you who hear, Love your enemies, do good to those who hate you, 28bless those who curse you, pray for those who abuse you. 29To one who strikes you on the cheek, offer the other also, and from one who takes away your cloak do not withhold your tunic[30] either. 30Give to everyone who begs from you, and from one who takes away your goods do not demand them back. 31And as you wish that others would do to you, do so to them.
-
-32“If you love those who love you, what benefit is that to you? For even sinners love those who love them. 33And if you do good to those who do good to you, what benefit is that to you? For even sinners do the same. 34And if you lend to those from whom you expect to receive, what credit is that to you? Even sinners lend to sinners, to get back the same amount. 35But love your enemies, and do good, and lend, expecting nothing in return, and your reward will be great, and you will be sons of the Most High, for he is kind to the ungrateful and the evil. 36Be merciful, even as your Father is merciful.
-
-
-
-
-
-Judging Others
-
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-37“Judge not, and you will not be judged; condemn not, and you will not be condemned; forgive, and you will be forgiven; 38give, and it will be given to you. Good measure, pressed down, shaken together, running over, will be put into your lap. For with the measure you use it will be measured back to you.”
-
-39He also told them a parable: “Can a blind man lead a blind man? Will they not both fall into a pit? 40A disciple is not above his teacher, but everyone when he is fully trained will be like his teacher. 41Why do you see the speck that is in your brother's eye, but do not notice the log that is in your own eye? 42How can you say to your brother, ‘Brother, let me take out the speck that is in your eye,’ when you yourself do not see the log that is in your own eye? You hypocrite, first take the log out of your own eye, and then you will see clearly to take out the speck that is in your brother's eye.
-
-
-
-
-
-A Tree and Its Fruit
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-43“For no good tree bears bad fruit, nor again does a bad tree bear good fruit, 44for each tree is known by its own fruit. For figs are not gathered from thornbushes, nor are grapes picked from a bramble bush. 45The good person out of the good treasure of his heart produces good, and the evil person out of his evil treasure produces evil, for out of the abundance of the heart his mouth speaks.
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-Build Your House on the Rock
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-46“Why do you call me ‘Lord, Lord,’ and not do what I tell you? 47Everyone who comes to me and hears my words and does them, I will show you what he is like: 48he is like a man building a house, who dug deep and laid the foundation on the rock. And when a flood arose, the stream broke against that house and could not shake it, because it had been well built.[31] 49But the one who hears and does not do them is like a man who built a house on the ground without a foundation. When the stream broke against it, immediately it fell, and the ruin of that house was great.”
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-Jesus Heals a Centurion's Servant
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-7:1 After he had finished all his sayings in the hearing of the people, he entered Capernaum. 2Now a centurion had a servant[32] who was sick and at the point of death, who was highly valued by him. 3When the centurion[33] heard about Jesus, he sent to him elders of the Jews, asking him to come and heal his servant. 4And when they came to Jesus, they pleaded with him earnestly, saying, “He is worthy to have you do this for him, 5for he loves our nation, and he is the one who built us our synagogue.” 6And Jesus went with them. When he was not far from the house, the centurion sent friends, saying to him, “Lord, do not trouble yourself, for I am not worthy to have you come under my roof. 7Therefore I did not presume to come to you. But say the word, and let my servant be healed. 8For I too am a man set under authority, with soldiers under me: and I say to one, ‘Go,’ and he goes; and to another, ‘Come,’ and he comes; and to my servant, ‘Do this,’ and he does it.” 9When Jesus heard these things, he marveled at him, and turning to the crowd that followed him, said, “I tell you, not even in Israel have I found such faith.” 10And when those who had been sent returned to the house, they found the servant well.
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-Jesus Raises a Widow's Son
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-11Soon afterward[34] he went to a town called Nain, and his disciples and a great crowd went with him. 12As he drew near to the gate of the town, behold, a man who had died was being carried out, the only son of his mother, and she was a widow, and a considerable crowd from the town was with her. 13And when the Lord saw her, he had compassion on her and said to her, “Do not weep.” 14Then he came up and touched the bier, and the bearers stood still. And he said, “Young man, I say to you, arise.” 15And the dead man sat up and began to speak, and Jesus[35] gave him to his mother. 16Fear seized them all, and they glorified God, saying, “A great prophet has arisen among us!” and “God has visited his people!” 17And this report about him spread through the whole of Judea and all the surrounding country.
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-Messengers from John the Baptist
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-18The disciples of John reported all these things to him. And John, 19calling two of his disciples to him, sent them to the Lord, saying, “Are you the one who is to come, or shall we look for another?” 20And when the men had come to him, they said, “John the Baptist has sent us to you, saying, ‘Are you the one who is to come, or shall we look for another?’” 21In that hour he healed many people of diseases and plagues and evil spirits, and on many who were blind he bestowed sight. 22And he answered them, “Go and tell John what you have seen and heard: the blind receive their sight, the lame walk, lepers[36] are cleansed, and the deaf hear, the dead are raised up, the poor have good news preached to them. 23And blessed is the one who is not offended by me.”
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-24When John's messengers had gone, Jesus[37] began to speak to the crowds concerning John: “What did you go out into the wilderness to see? A reed shaken by the wind? 25What then did you go out to see? A man dressed in soft clothing? Behold, those who are dressed in splendid clothing and live in luxury are in kings' courts. 26What then did you go out to see? A prophet? Yes, I tell you, and more than a prophet. 27This is he of whom it is written,
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-“‘Behold, I send my messenger before your face,
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-who will prepare your way before you.’
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-28I tell you, among those born of women none is greater than John. Yet the one who is least in the kingdom of God is greater than he.” 29(When all the people heard this, and the tax collectors too, they declared God just,[38] having been baptized with the baptism of John, 30but the Pharisees and the lawyers rejected the purpose of God for themselves, not having been baptized by him.)
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-31“To what then shall I compare the people of this generation, and what are they like? 32They are like children sitting in the marketplace and calling to one another,
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-“‘We played the flute for you, and you did not dance;
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-we sang a dirge, and you did not weep.’
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-33For John the Baptist has come eating no bread and drinking no wine, and you say, ‘He has a demon.’ 34The Son of Man has come eating and drinking, and you say, ‘Look at him! A glutton and a drunkard, a friend of tax collectors and sinners!’ 35Yet wisdom is justified by all her children.”
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-A Sinful Woman Forgiven
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-36One of the Pharisees asked him to eat with him, and he went into the Pharisee's house and took his place at the table. 37And behold, a woman of the city, who was a sinner, when she learned that he was reclining at table in the Pharisee's house, brought an alabaster flask of ointment, 38and standing behind him at his feet, weeping, she began to wet his feet with her tears and wiped them with the hair of her head and kissed his feet and anointed them with the ointment. 39Now when the Pharisee who had invited him saw this, he said to himself, “If this man were a prophet, he would have known who and what sort of woman this is who is touching him, for she is a sinner.” 40And Jesus answering said to him, “Simon, I have something to say to you.” And he answered, “Say it, Teacher.”
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-41“A certain moneylender had two debtors. One owed five hundred denarii, and the other fifty. 42When they could not pay, he cancelled the debt of both. Now which of them will love him more?” 43Simon answered, “The one, I suppose, for whom he cancelled the larger debt.” And he said to him, “You have judged rightly.” 44Then turning toward the woman he said to Simon, “Do you see this woman? I entered your house; you gave me no water for my feet, but she has wet my feet with her tears and wiped them with her hair. 45You gave me no kiss, but from the time I came in she has not ceased to kiss my feet. 46You did not anoint my head with oil, but she has anointed my feet with ointment. 47Therefore I tell you, her sins, which are many, are forgiven—for she loved much. But he who is forgiven little, loves little.” 48And he said to her, “Your sins are forgiven.” 49Then those who were at table with him began to say among[39] themselves, “Who is this, who even forgives sins?” 50And he said to the woman, “Your faith has saved you; go in peace.”
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-Women Accompanying Jesus
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-8:1 Soon afterward he went on through cities and villages, proclaiming and bringing the good news of the kingdom of God. And the twelve were with him, 2and also some women who had been healed of evil spirits and infirmities: Mary, called Magdalene, from whom seven demons had gone out, 3and Joanna, the wife of Chuza, Herod's household manager, and Susanna, and many others, who provided for them[40] out of their means.
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-The Parable of the Sower
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-4And when a great crowd was gathering and people from town after town came to him, he said in a parable: 5“A sower went out to sow his seed. And as he sowed, some fell along the path and was trampled underfoot, and the birds of the air devoured it. 6And some fell on the rock, and as it grew up, it withered away, because it had no moisture. 7And some fell among thorns, and the thorns grew up with it and choked it. 8And some fell into good soil and grew and yielded a hundredfold.” As he said these things, he called out, “He who has ears to hear, let him hear.”
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-The Purpose of the Parables
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-9And when his disciples asked him what this parable meant, 10he said, “To you it has been given to know the secrets of the kingdom of God, but for others they are in parables, so that ‘seeing they may not see, and hearing they may not understand.’ 11Now the parable is this: The seed is the word of God. 12The ones along the path are those who have heard; then the devil comes and takes away the word from their hearts, so that they may not believe and be saved. 13And the ones on the rock are those who, when they hear the word, receive it with joy. But these have no root; they believe for a while, and in time of testing fall away. 14And as for what fell among the thorns, they are those who hear, but as they go on their way they are choked by the cares and riches and pleasures of life, and their fruit does not mature. 15As for that in the good soil, they are those who, hearing the word, hold it fast in an honest and good heart, and bear fruit with patience.
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-A Lamp Under a Jar
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-16“No one after lighting a lamp covers it with a jar or puts it under a bed, but puts it on a stand, so that those who enter may see the light. 17For nothing is hidden that will not be made manifest, nor is anything secret that will not be known and come to light. 18Take care then how you hear, for to the one who has, more will be given, and from the one who has not, even what he thinks that he has will be taken away.”
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-Jesus' Mother and Brothers
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-19Then his mother and his brothers came to him, but they could not reach him because of the crowd. 20And he was told, “Your mother and your brothers are standing outside, desiring to see you.” 21But he answered them, “My mother and my brothers are those who hear the word of God and do it.”
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-Jesus Calms a Storm
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-22One day he got into a boat with his disciples, and he said to them, “Let us go across to the other side of the lake.” So they set out, 23and as they sailed he fell asleep. And a windstorm came down on the lake, and they were filling with water and were in danger. 24And they went and woke him, saying, “Master, Master, we are perishing!” And he awoke and rebuked the wind and the raging waves, and they ceased, and there was a calm. 25He said to them, “Where is your faith?” And they were afraid, and they marveled, saying to one another, “Who then is this, that he commands even winds and water, and they obey him?”
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-Jesus Heals a Man with a Demon
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-26Then they sailed to the country of the Gerasenes,[41] which is opposite Galilee. 27When Jesus[42] had stepped out on land, there met him a man from the city who had demons. For a long time he had worn no clothes, and he had not lived in a house but among the tombs. 28When he saw Jesus, he cried out and fell down before him and said with a loud voice, “What have you to do with me, Jesus, Son of the Most High God? I beg you, do not torment me.” 29For he had commanded the unclean spirit to come out of the man. (For many a time it had seized him. He was kept under guard and bound with chains and shackles, but he would break the bonds and be driven by the demon into the desert.) 30Jesus then asked him, “What is your name?” And he said, “Legion,” for many demons had entered him. 31And they begged him not to command them to depart into the abyss. 32Now a large herd of pigs was feeding there on the hillside, and they begged him to let them enter these. So he gave them permission. 33Then the demons came out of the man and entered the pigs, and the herd rushed down the steep bank into the lake and were drowned.
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-34When the herdsmen saw what had happened, they fled and told it in the city and in the country. 35Then people went out to see what had happened, and they came to Jesus and found the man from whom the demons had gone, sitting at the feet of Jesus, clothed and in his right mind, and they were afraid. 36And those who had seen it told them how the demon-possessed[43] man had been healed. 37Then all the people of the surrounding country of the Gerasenes asked him to depart from them, for they were seized with great fear. So he got into the boat and returned. 38The man from whom the demons had gone begged that he might be with him, but Jesus sent him away, saying, 39“Return to your home, and declare how much God has done for you.” And he went away, proclaiming throughout the whole city how much Jesus had done for him.
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-Jesus Heals a Woman and Jairus's Daughter
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-40Now when Jesus returned, the crowd welcomed him, for they were all waiting for him. 41And there came a man named Jairus, who was a ruler of the synagogue. And falling at Jesus' feet, he implored him to come to his house, 42for he had an only daughter, about twelve years of age, and she was dying.
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-As Jesus went, the people pressed around him. 43And there was a woman who had had a discharge of blood for twelve years, and though she had spent all her living on physicians,[44] she could not be healed by anyone. 44She came up behind him and touched the fringe of his garment, and immediately her discharge of blood ceased. 45And Jesus said, “Who was it that touched me?” When all denied it, Peter[45] said, “Master, the crowds surround you and are pressing in on you!” 46But Jesus said, “Someone touched me, for I perceive that power has gone out from me.” 47And when the woman saw that she was not hidden, she came trembling, and falling down before him declared in the presence of all the people why she had touched him, and how she had been immediately healed. 48And he said to her, “Daughter, your faith has made you well; go in peace.”
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-49While he was still speaking, someone from the ruler's house came and said, “Your daughter is dead; do not trouble the Teacher any more.” 50But Jesus on hearing this answered him, “Do not fear; only believe, and she will be well.” 51And when he came to the house, he allowed no one to enter with him, except Peter and John and James, and the father and mother of the child. 52And all were weeping and mourning for her, but he said, “Do not weep, for she is not dead but sleeping.” 53And they laughed at him, knowing that she was dead. 54But taking her by the hand he called, saying, “Child, arise.” 55And her spirit returned, and she got up at once. And he directed that something should be given her to eat. 56And her parents were amazed, but he charged them to tell no one what had happened.
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-Jesus Sends Out the Twelve Apostles
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-9:1 And he called the twelve together and gave them power and authority over all demons and to cure diseases, 2and he sent them out to proclaim the kingdom of God and to heal. 3And he said to them, “Take nothing for your journey, no staff, nor bag, nor bread, nor money; and do not have two tunics.[46] 4And whatever house you enter, stay there, and from there depart. 5And wherever they do not receive you, when you leave that town shake off the dust from your feet as a testimony against them.” 6And they departed and went through the villages, preaching the gospel and healing everywhere.
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-Herod Is Perplexed by Jesus
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-7Now Herod the tetrarch heard about all that was happening, and he was perplexed, because it was said by some that John had been raised from the dead, 8by some that Elijah had appeared, and by others that one of the prophets of old had risen. 9Herod said, “John I beheaded, but who is this about whom I hear such things?” And he sought to see him.
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-Jesus Feeds the Five Thousand
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-10On their return the apostles told him all that they had done. And he took them and withdrew apart to a town called Bethsaida. 11When the crowds learned it, they followed him, and he welcomed them and spoke to them of the kingdom of God and cured those who had need of healing. 12Now the day began to wear away, and the twelve came and said to him, “Send the crowd away to go into the surrounding villages and countryside to find lodging and get provisions, for we are here in a desolate place.” 13But he said to them, “You give them something to eat.” They said, “We have no more than five loaves and two fish—unless we are to go and buy food for all these people.” 14For there were about five thousand men. And he said to his disciples, “Have them sit down in groups of about fifty each.” 15And they did so, and had them all sit down. 16And taking the five loaves and the two fish, he looked up to heaven and said a blessing over them. Then he broke the loaves and gave them to the disciples to set before the crowd. 17And they all ate and were satisfied. And what was left over was picked up, twelve baskets of broken pieces.
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-Peter Confesses Jesus as the Christ
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-18Now it happened that as he was praying alone, the disciples were with him. And he asked them, “Who do the crowds say that I am?” 19And they answered, “John the Baptist. But others say, Elijah, and others, that one of the prophets of old has risen.” 20Then he said to them, “But who do you say that I am?” And Peter answered, “The Christ of God.”
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-Jesus Foretells His Death
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-21And he strictly charged and commanded them to tell this to no one, 22saying, “The Son of Man must suffer many things and be rejected by the elders and chief priests and scribes, and be killed, and on the third day be raised.”
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-Take Up Your Cross and Follow Jesus
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-23And he said to all, “If anyone would come after me, let him deny himself and take up his cross daily and follow me. 24For whoever would save his life will lose it, but whoever loses his life for my sake will save it. 25For what does it profit a man if he gains the whole world and loses or forfeits himself? 26For whoever is ashamed of me and of my words, of him will the Son of Man be ashamed when he comes in his glory and the glory of the Father and of the holy angels. 27But I tell you truly, there are some standing here who will not taste death until they see the kingdom of God.”
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-The Transfiguration
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-28Now about eight days after these sayings he took with him Peter and John and James and went up on the mountain to pray. 29And as he was praying, the appearance of his face was altered, and his clothing became dazzling white. 30And behold, two men were talking with him, Moses and Elijah, 31who appeared in glory and spoke of his departure,[47] which he was about to accomplish at Jerusalem. 32Now Peter and those who were with him were heavy with sleep, but when they became fully awake they saw his glory and the two men who stood with him. 33And as the men were parting from him, Peter said to Jesus, “Master, it is good that we are here. Let us make three tents, one for you and one for Moses and one for Elijah”—not knowing what he said. 34As he was saying these things, a cloud came and overshadowed them, and they were afraid as they entered the cloud. 35And a voice came out of the cloud, saying, “This is my Son, my Chosen One;[48] listen to him!” 36And when the voice had spoken, Jesus was found alone. And they kept silent and told no one in those days anything of what they had seen.
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-Jesus Heals a Boy with an Unclean Spirit
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-37On the next day, when they had come down from the mountain, a great crowd met him. 38And behold, a man from the crowd cried out, “Teacher, I beg you to look at my son, for he is my only child. 39And behold, a spirit seizes him, and he suddenly cries out. It convulses him so that he foams at the mouth, and shatters him, and will hardly leave him. 40And I begged your disciples to cast it out, but they could not.” 41Jesus answered, “O faithless and twisted generation, how long am I to be with you and bear with you? Bring your son here.” 42While he was coming, the demon threw him to the ground and convulsed him. But Jesus rebuked the unclean spirit and healed the boy, and gave him back to his father. 43And all were astonished at the majesty of God.
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-Jesus Again Foretells His Death
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-But while they were all marveling at everything he was doing, Jesus[49] said to his disciples, 44“Let these words sink into your ears: The Son of Man is about to be delivered into the hands of men.” 45But they did not understand this saying, and it was concealed from them, so that they might not perceive it. And they were afraid to ask him about this saying.
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-Who Is the Greatest?
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-46An argument arose among them as to which of them was the greatest. 47But Jesus, knowing the reasoning of their hearts, took a child and put him by his side 48and said to them, “Whoever receives this child in my name receives me, and whoever receives me receives him who sent me. For he who is least among you all is the one who is great.”
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-Anyone Not Against Us Is For Us
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-49John answered, “Master, we saw someone casting out demons in your name, and we tried to stop him, because he does not follow with us.” 50But Jesus said to him, “Do not stop him, for the one who is not against you is for you.”
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-A Samaritan Village Rejects Jesus
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-51When the days drew near for him to be taken up, he set his face to go to Jerusalem. 52And he sent messengers ahead of him, who went and entered a village of the Samaritans, to make preparations for him. 53But the people did not receive him, because his face was set toward Jerusalem. 54And when his disciples James and John saw it, they said, “Lord, do you want us to tell fire to come down from heaven and consume them?”[50] 55But he turned and rebuked them.[51] 56And they went on to another village.
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-The Cost of Following Jesus
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-57As they were going along the road, someone said to him, “I will follow you wherever you go.” 58And Jesus said to him, “Foxes have holes, and birds of the air have nests, but the Son of Man has nowhere to lay his head.” 59To another he said, “Follow me.” But he said, “Lord, let me first go and bury my father.” 60And Jesus[52] said to him, “Leave the dead to bury their own dead. But as for you, go and proclaim the kingdom of God.” 61Yet another said, “I will follow you, Lord, but let me first say farewell to those at my home.” 62Jesus said to him, “No one who puts his hand to the plow and looks back is fit for the kingdom of God.”
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-Jesus Sends Out the Seventy-Two
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-10:1 After this the Lord appointed seventy-two[53] others and sent them on ahead of him, two by two, into every town and place where he himself was about to go. 2And he said to them, “The harvest is plentiful, but the laborers are few. Therefore pray earnestly to the Lord of the harvest to send out laborers into his harvest. 3Go your way; behold, I am sending you out as lambs in the midst of wolves. 4Carry no moneybag, no knapsack, no sandals, and greet no one on the road. 5Whatever house you enter, first say, ‘Peace be to this house!’ 6And if a son of peace is there, your peace will rest upon him. But if not, it will return to you. 7And remain in the same house, eating and drinking what they provide, for the laborer deserves his wages. Do not go from house to house. 8Whenever you enter a town and they receive you, eat what is set before you. 9Heal the sick in it and say to them, ‘The kingdom of God has come near to you.’ 10But whenever you enter a town and they do not receive you, go into its streets and say, 11‘Even the dust of your town that clings to our feet we wipe off against you. Nevertheless know this, that the kingdom of God has come near.’ 12I tell you, it will be more bearable on that day for Sodom than for that town.
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-Woe to Unrepentant Cities
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-13“Woe to you, Chorazin! Woe to you, Bethsaida! For if the mighty works done in you had been done in Tyre and Sidon, they would have repented long ago, sitting in sackcloth and ashes. 14But it will be more bearable in the judgment for Tyre and Sidon than for you. 15And you, Capernaum, will you be exalted to heaven? You shall be brought down to Hades.
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-16“The one who hears you hears me, and the one who rejects you rejects me, and the one who rejects me rejects him who sent me.”
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-The Return of the Seventy-Two
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-17The seventy-two returned with joy, saying, “Lord, even the demons are subject to us in your name!” 18And he said to them, “I saw Satan fall like lightning from heaven. 19Behold, I have given you authority to tread on serpents and scorpions, and over all the power of the enemy, and nothing shall hurt you. 20Nevertheless, do not rejoice in this, that the spirits are subject to you, but rejoice that your names are written in heaven.”
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-Jesus Rejoices in the Father's Will
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-21In that same hour he rejoiced in the Holy Spirit and said, “I thank you, Father, Lord of heaven and earth, that you have hidden these things from the wise and understanding and revealed them to little children; yes, Father, for such was your gracious will.[54] 22All things have been handed over to me by my Father, and no one knows who the Son is except the Father, or who the Father is except the Son and anyone to whom the Son chooses to reveal him.”
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-23Then turning to the disciples he said privately, “Blessed are the eyes that see what you see! 24For I tell you that many prophets and kings desired to see what you see, and did not see it, and to hear what you hear, and did not hear it.”
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-The Parable of the Good Samaritan
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-25And behold, a lawyer stood up to put him to the test, saying, “Teacher, what shall I do to inherit eternal life?” 26He said to him, “What is written in the Law? How do you read it?” 27And he answered, “You shall love the Lord your God with all your heart and with all your soul and with all your strength and with all your mind, and your neighbor as yourself.” 28And he said to him, “You have answered correctly; do this, and you will live.”
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-29But he, desiring to justify himself, said to Jesus, “And who is my neighbor?” 30Jesus replied, “A man was going down from Jerusalem to Jericho, and he fell among robbers, who stripped him and beat him and departed, leaving him half dead. 31Now by chance a priest was going down that road, and when he saw him he passed by on the other side. 32So likewise a Levite, when he came to the place and saw him, passed by on the other side. 33But a Samaritan, as he journeyed, came to where he was, and when he saw him, he had compassion. 34He went to him and bound up his wounds, pouring on oil and wine. Then he set him on his own animal and brought him to an inn and took care of him. 35And the next day he took out two denarii[55] and gave them to the innkeeper, saying, ‘Take care of him, and whatever more you spend, I will repay you when I come back.’ 36Which of these three, do you think, proved to be a neighbor to the man who fell among the robbers?” 37He said, “The one who showed him mercy.” And Jesus said to him, “You go, and do likewise.”
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-Martha and Mary
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-38Now as they went on their way, Jesus[56] entered a village. And a woman named Martha welcomed him into her house. 39And she had a sister called Mary, who sat at the Lord's feet and listened to his teaching. 40But Martha was distracted with much serving. And she went up to him and said, “Lord, do you not care that my sister has left me to serve alone? Tell her then to help me.” 41But the Lord answered her, “Martha, Martha, you are anxious and troubled about many things, 42but one thing is necessary.[57] Mary has chosen the good portion, which will not be taken away from her.”
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-The Lord's Prayer
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-11:1 Now Jesus[58] was praying in a certain place, and when he finished, one of his disciples said to him, “Lord, teach us to pray, as John taught his disciples.” 2And he said to them, “When you pray, say:
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-“Father, hallowed be your name.
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-Your kingdom come.
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-3Give us each day our daily bread,[59]
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-4and forgive us our sins,
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-for we ourselves forgive everyone who is indebted to us.
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-And lead us not into temptation.”
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-5And he said to them, “Which of you who has a friend will go to him at midnight and say to him, ‘Friend, lend me three loaves, 6for a friend of mine has arrived on a journey, and I have nothing to set before him’; 7and he will answer from within, ‘Do not bother me; the door is now shut, and my children are with me in bed. I cannot get up and give you anything’? 8I tell you, though he will not get up and give him anything because he is his friend, yet because of his impudence[60] he will rise and give him whatever he needs. 9And I tell you, ask, and it will be given to you; seek, and you will find; knock, and it will be opened to you. 10For everyone who asks receives, and the one who seeks finds, and to the one who knocks it will be opened. 11What father among you, if his son asks for[61] a fish, will instead of a fish give him a serpent; 12or if he asks for an egg, will give him a scorpion? 13If you then, who are evil, know how to give good gifts to your children, how much more will the heavenly Father give the Holy Spirit to those who ask him!”
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-Jesus and Beelzebul
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-14Now he was casting out a demon that was mute. When the demon had gone out, the mute man spoke, and the people marveled. 15But some of them said, “He casts out demons by Beelzebul, the prince of demons,” 16while others, to test him, kept seeking from him a sign from heaven. 17But he, knowing their thoughts, said to them, “Every kingdom divided against itself is laid waste, and a divided household falls. 18And if Satan also is divided against himself, how will his kingdom stand? For you say that I cast out demons by Beelzebul. 19And if I cast out demons by Beelzebul, by whom do your sons cast them out? Therefore they will be your judges. 20But if it is by the finger of God that I cast out demons, then the kingdom of God has come upon you. 21When a strong man, fully armed, guards his own palace, his goods are safe; 22but when one stronger than he attacks him and overcomes him, he takes away his armor in which he trusted and divides his spoil. 23Whoever is not with me is against me, and whoever does not gather with me scatters.
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-Return of an Unclean Spirit
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-24“When the unclean spirit has gone out of a person, it passes through waterless places seeking rest, and finding none it says, ‘I will return to my house from which I came.’ 25And when it comes, it finds the house swept and put in order. 26Then it goes and brings seven other spirits more evil than itself, and they enter and dwell there. And the last state of that person is worse than the first.”
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-True Blessedness
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-27As he said these things, a woman in the crowd raised her voice and said to him, “Blessed is the womb that bore you, and the breasts at which you nursed!” 28But he said, “Blessed rather are those who hear the word of God and keep it!”
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-The Sign of Jonah
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-29When the crowds were increasing, he began to say, “This generation is an evil generation. It seeks for a sign, but no sign will be given to it except the sign of Jonah. 30For as Jonah became a sign to the people of Nineveh, so will the Son of Man be to this generation. 31The queen of the South will rise up at the judgment with the men of this generation and condemn them, for she came from the ends of the earth to hear the wisdom of Solomon, and behold, something greater than Solomon is here. 32The men of Nineveh will rise up at the judgment with this generation and condemn it, for they repented at the preaching of Jonah, and behold, something greater than Jonah is here.
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-The Light in You
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-33“No one after lighting a lamp puts it in a cellar or under a basket, but on a stand, so that those who enter may see the light. 34Your eye is the lamp of your body. When your eye is healthy, your whole body is full of light, but when it is bad, your body is full of darkness. 35Therefore be careful lest the light in you be darkness. 36If then your whole body is full of light, having no part dark, it will be wholly bright, as when a lamp with its rays gives you light.”
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-Woes to the Pharisees and Lawyers
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-37While Jesus[62] was speaking, a Pharisee asked him to dine with him, so he went in and reclined at table. 38The Pharisee was astonished to see that he did not first wash before dinner. 39And the Lord said to him, “Now you Pharisees cleanse the outside of the cup and of the dish, but inside you are full of greed and wickedness. 40You fools! Did not he who made the outside make the inside also? 41But give as alms those things that are within, and behold, everything is clean for you.
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-42“But woe to you Pharisees! For you tithe mint and rue and every herb, and neglect justice and the love of God. These you ought to have done, without neglecting the others. 43Woe to you Pharisees! For you love the best seat in the synagogues and greetings in the marketplaces. 44Woe to you! For you are like unmarked graves, and people walk over them without knowing it.”
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-45One of the lawyers answered him, “Teacher, in saying these things you insult us also.” 46And he said, “Woe to you lawyers also! For you load people with burdens hard to bear, and you yourselves do not touch the burdens with one of your fingers. 47Woe to you! For you build the tombs of the prophets whom your fathers killed. 48So you are witnesses and you consent to the deeds of your fathers, for they killed them, and you build their tombs. 49Therefore also the Wisdom of God said, ‘I will send them prophets and apostles, some of whom they will kill and persecute,’ 50so that the blood of all the prophets, shed from the foundation of the world, may be charged against this generation, 51from the blood of Abel to the blood of Zechariah, who perished between the altar and the sanctuary. Yes, I tell you, it will be required of this generation. 52Woe to you lawyers! For you have taken away the key of knowledge. You did not enter yourselves, and you hindered those who were entering.”
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-53As he went away from there, the scribes and the Pharisees began to press him hard and to provoke him to speak about many things, 54lying in wait for him, to catch him in something he might say.
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-Beware of the Leaven of the Pharisees
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-12:1 In the meantime, when so many thousands of the people had gathered together that they were trampling one another, he began to say to his disciples first, “Beware of the leaven of the Pharisees, which is hypocrisy. 2Nothing is covered up that will not be revealed, or hidden that will not be known. 3Therefore whatever you have said in the dark shall be heard in the light, and what you have whispered in private rooms shall be proclaimed on the housetops.
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-Have No Fear
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-4“I tell you, my friends, do not fear those who kill the body, and after that have nothing more that they can do. 5But I will warn you whom to fear: fear him who, after he has killed, has authority to cast into hell.[63] Yes, I tell you, fear him! 6Are not five sparrows sold for two pennies?[64] And not one of them is forgotten before God. 7Why, even the hairs of your head are all numbered. Fear not; you are of more value than many sparrows.
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-Acknowledge Christ Before Men
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-8“And I tell you, everyone who acknowledges me before men, the Son of Man also will acknowledge before the angels of God, 9but the one who denies me before men will be denied before the angels of God. 10And everyone who speaks a word against the Son of Man will be forgiven, but the one who blasphemes against the Holy Spirit will not be forgiven. 11And when they bring you before the synagogues and the rulers and the authorities, do not be anxious about how you should defend yourself or what you should say, 12for the Holy Spirit will teach you in that very hour what you ought to say.”
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-The Parable of the Rich Fool
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-13Someone in the crowd said to him, “Teacher, tell my brother to divide the inheritance with me.” 14But he said to him, “Man, who made me a judge or arbitrator over you?” 15And he said to them, “Take care, and be on your guard against all covetousness, for one's life does not consist in the abundance of his possessions.” 16And he told them a parable, saying, “The land of a rich man produced plentifully, 17and he thought to himself, ‘What shall I do, for I have nowhere to store my crops?’ 18And he said, ‘I will do this: I will tear down my barns and build larger ones, and there I will store all my grain and my goods. 19And I will say to my soul, Soul, you have ample goods laid up for many years; relax, eat, drink, be merry.’ 20But God said to him, ‘Fool! This night your soul is required of you, and the things you have prepared, whose will they be?’ 21So is the one who lays up treasure for himself and is not rich toward God.”
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-Do Not Be Anxious
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-22And he said to his disciples, “Therefore I tell you, do not be anxious about your life, what you will eat, nor about your body, what you will put on. 23For life is more than food, and the body more than clothing. 24Consider the ravens: they neither sow nor reap, they have neither storehouse nor barn, and yet God feeds them. Of how much more value are you than the birds! 25And which of you by being anxious can add a single hour to his span of life?[65] 26If then you are not able to do as small a thing as that, why are you anxious about the rest? 27Consider the lilies, how they grow: they neither toil nor spin,[66] yet I tell you, even Solomon in all his glory was not arrayed like one of these. 28But if God so clothes the grass, which is alive in the field today, and tomorrow is thrown into the oven, how much more will he clothe you, O you of little faith! 29And do not seek what you are to eat and what you are to drink, nor be worried. 30For all the nations of the world seek after these things, and your Father knows that you need them. 31Instead, seek his[67] kingdom, and these things will be added to you.
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-32“Fear not, little flock, for it is your Father's good pleasure to give you the kingdom. 33Sell your possessions, and give to the needy. Provide yourselves with moneybags that do not grow old, with a treasure in the heavens that does not fail, where no thief approaches and no moth destroys. 34For where your treasure is, there will your heart be also.
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-You Must Be Ready
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-35“Stay dressed for action[68] and keep your lamps burning, 36and be like men who are waiting for their master to come home from the wedding feast, so that they may open the door to him at once when he comes and knocks. 37Blessed are those servants[69] whom the master finds awake when he comes. Truly, I say to you, he will dress himself for service and have them recline at table, and he will come and serve them. 38If he comes in the second watch, or in the third, and finds them awake, blessed are those servants! 39But know this, that if the master of the house had known at what hour the thief was coming, he[70] would not have left his house to be broken into. 40You also must be ready, for the Son of Man is coming at an hour you do not expect.”
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-41Peter said, “Lord, are you telling this parable for us or for all?” 42And the Lord said, “Who then is the faithful and wise manager, whom his master will set over his household, to give them their portion of food at the proper time? 43Blessed is that servant[71] whom his master will find so doing when he comes. 44Truly, I say to you, he will set him over all his possessions. 45But if that servant says to himself, ‘My master is delayed in coming,’ and begins to beat the male and female servants, and to eat and drink and get drunk, 46the master of that servant will come on a day when he does not expect him and at an hour he does not know, and will cut him in pieces and put him with the unfaithful. 47And that servant who knew his master's will but did not get ready or act according to his will, will receive a severe beating. 48But the one who did not know, and did what deserved a beating, will receive a light beating. Everyone to whom much was given, of him much will be required, and from him to whom they entrusted much, they will demand the more.
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-Not Peace, but Division
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-49“I came to cast fire on the earth, and would that it were already kindled! 50I have a baptism to be baptized with, and how great is my distress until it is accomplished! 51Do you think that I have come to give peace on earth? No, I tell you, but rather division. 52For from now on in one house there will be five divided, three against two and two against three. 53They will be divided, father against son and son against father, mother against daughter and daughter against mother, mother-in-law against her daughter-in-law and daughter-in-law against mother-in-law.”
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-Interpreting the Time
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-54He also said to the crowds, “When you see a cloud rising in the west, you say at once, ‘A shower is coming.’ And so it happens. 55And when you see the south wind blowing, you say, ‘There will be scorching heat,’ and it happens. 56You hypocrites! You know how to interpret the appearance of earth and sky, but why do you not know how to interpret the present time?
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-Settle with Your Accuser
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-57“And why do you not judge for yourselves what is right? 58As you go with your accuser before the magistrate, make an effort to settle with him on the way, lest he drag you to the judge, and the judge hand you over to the officer, and the officer put you in prison. 59I tell you, you will never get out until you have paid the very last penny.”[72]
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-Repent or Perish
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-13:1 There were some present at that very time who told him about the Galileans whose blood Pilate had mingled with their sacrifices. 2And he answered them, “Do you think that these Galileans were worse sinners than all the other Galileans, because they suffered in this way? 3No, I tell you; but unless you repent, you will all likewise perish. 4Or those eighteen on whom the tower in Siloam fell and killed them: do you think that they were worse offenders than all the others who lived in Jerusalem? 5No, I tell you; but unless you repent, you will all likewise perish.”
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-The Parable of the Barren Fig Tree
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-6And he told this parable: “A man had a fig tree planted in his vineyard, and he came seeking fruit on it and found none. 7And he said to the vinedresser, ‘Look, for three years now I have come seeking fruit on this fig tree, and I find none. Cut it down. Why should it use up the ground?’ 8And he answered him, ‘Sir, let it alone this year also, until I dig around it and put on manure. 9Then if it should bear fruit next year, well and good; but if not, you can cut it down.’”
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-A Woman with a Disabling Spirit
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-10Now he was teaching in one of the synagogues on the Sabbath. 11And there was a woman who had had a disabling spirit for eighteen years. She was bent over and could not fully straighten herself. 12When Jesus saw her, he called her over and said to her, “Woman, you are freed from your disability.” 13And he laid his hands on her, and immediately she was made straight, and she glorified God. 14But the ruler of the synagogue, indignant because Jesus had healed on the Sabbath, said to the people, “There are six days in which work ought to be done. Come on those days and be healed, and not on the Sabbath day.” 15Then the Lord answered him, “You hypocrites! Does not each of you on the Sabbath untie his ox or his donkey from the manger and lead it away to water it? 16And ought not this woman, a daughter of Abraham whom Satan bound for eighteen years, be loosed from this bond on the Sabbath day?” 17As he said these things, all his adversaries were put to shame, and all the people rejoiced at all the glorious things that were done by him.
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-The Mustard Seed and the Leaven
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-18He said therefore, “What is the kingdom of God like? And to what shall I compare it? 19It is like a grain of mustard seed that a man took and sowed in his garden, and it grew and became a tree, and the birds of the air made nests in its branches.”
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-20And again he said, “To what shall I compare the kingdom of God? 21It is like leaven that a woman took and hid in three measures of flour, until it was all leavened.”
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-The Narrow Door
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-22He went on his way through towns and villages, teaching and journeying toward Jerusalem. 23And someone said to him, “Lord, will those who are saved be few?” And he said to them, 24“Strive to enter through the narrow door. For many, I tell you, will seek to enter and will not be able. 25When once the master of the house has risen and shut the door, and you begin to stand outside and to knock at the door, saying, ‘Lord, open to us,’ then he will answer you, ‘I do not know where you come from.’ 26Then you will begin to say, ‘We ate and drank in your presence, and you taught in our streets.’ 27But he will say, ‘I tell you, I do not know where you come from. Depart from me, all you workers of evil!’ 28In that place there will be weeping and gnashing of teeth, when you see Abraham and Isaac and Jacob and all the prophets in the kingdom of God but you yourselves cast out. 29And people will come from east and west, and from north and south, and recline at table in the kingdom of God. 30And behold, some are last who will be first, and some are first who will be last.”
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-Lament over Jerusalem
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-31At that very hour some Pharisees came and said to him, “Get away from here, for Herod wants to kill you.” 32And he said to them, “Go and tell that fox, ‘Behold, I cast out demons and perform cures today and tomorrow, and the third day I finish my course. 33Nevertheless, I must go on my way today and tomorrow and the day following, for it cannot be that a prophet should perish away from Jerusalem.’ 34O Jerusalem, Jerusalem, the city that kills the prophets and stones those who are sent to it! How often would I have gathered your children together as a hen gathers her brood under her wings, and you would not! 35Behold, your house is forsaken. And I tell you, you will not see me until you say, ‘Blessed is he who comes in the name of the Lord!’”
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-Healing of a Man on the Sabbath
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-14:1 One Sabbath, when he went to dine at the house of a ruler of the Pharisees, they were watching him carefully. 2And behold, there was a man before him who had dropsy. 3And Jesus responded to the lawyers and Pharisees, saying, “Is it lawful to heal on the Sabbath, or not?” 4But they remained silent. Then he took him and healed him and sent him away. 5And he said to them, “Which of you, having a son[73] or an ox that has fallen into a well on a Sabbath day, will not immediately pull him out?” 6And they could not reply to these things.
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-The Parable of the Wedding Feast
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-7Now he told a parable to those who were invited, when he noticed how they chose the places of honor, saying to them, 8“When you are invited by someone to a wedding feast, do not sit down in a place of honor, lest someone more distinguished than you be invited by him, 9and he who invited you both will come and say to you, ‘Give your place to this person,’ and then you will begin with shame to take the lowest place. 10But when you are invited, go and sit in the lowest place, so that when your host comes he may say to you, ‘Friend, move up higher.’ Then you will be honored in the presence of all who sit at table with you. 11For everyone who exalts himself will be humbled, and he who humbles himself will be exalted.”
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-The Parable of the Great Banquet
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-12He said also to the man who had invited him, “When you give a dinner or a banquet, do not invite your friends or your brothers[74] or your relatives or rich neighbors, lest they also invite you in return and you be repaid. 13But when you give a feast, invite the poor, the crippled, the lame, the blind, 14and you will be blessed, because they cannot repay you. For you will be repaid at the resurrection of the just.”
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-15When one of those who reclined at table with him heard these things, he said to him, “Blessed is everyone who will eat bread in the kingdom of God!” 16But he said to him, “A man once gave a great banquet and invited many. 17And at the time for the banquet he sent his servant[75] to say to those who had been invited, ‘Come, for everything is now ready.’ 18But they all alike began to make excuses. The first said to him, ‘I have bought a field, and I must go out and see it. Please have me excused.’ 19And another said, ‘I have bought five yoke of oxen, and I go to examine them. Please have me excused.’ 20And another said, ‘I have married a wife, and therefore I cannot come.’ 21So the servant came and reported these things to his master. Then the master of the house became angry and said to his servant, ‘Go out quickly to the streets and lanes of the city, and bring in the poor and crippled and blind and lame.’ 22And the servant said, ‘Sir, what you commanded has been done, and still there is room.’ 23And the master said to the servant, ‘Go out to the highways and hedges and compel people to come in, that my house may be filled. 24For I tell you,[76] none of those men who were invited shall taste my banquet.’”
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-The Cost of Discipleship
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-25Now great crowds accompanied him, and he turned and said to them, 26“If anyone comes to me and does not hate his own father and mother and wife and children and brothers and sisters, yes, and even his own life, he cannot be my disciple. 27Whoever does not bear his own cross and come after me cannot be my disciple. 28For which of you, desiring to build a tower, does not first sit down and count the cost, whether he has enough to complete it? 29Otherwise, when he has laid a foundation and is not able to finish, all who see it begin to mock him, 30saying, ‘This man began to build and was not able to finish.’ 31Or what king, going out to encounter another king in war, will not sit down first and deliberate whether he is able with ten thousand to meet him who comes against him with twenty thousand? 32And if not, while the other is yet a great way off, he sends a delegation and asks for terms of peace. 33So therefore, any one of you who does not renounce all that he has cannot be my disciple.
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-Salt Without Taste Is Worthless
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-34“Salt is good, but if salt has lost its taste, how shall its saltiness be restored? 35It is of no use either for the soil or for the manure pile. It is thrown away. He who has ears to hear, let him hear.”
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-The Parable of the Lost Sheep
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-15:1 Now the tax collectors and sinners were all drawing near to hear him. 2And the Pharisees and the scribes grumbled, saying, “This man receives sinners and eats with them.”
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-3So he told them this parable: 4“What man of you, having a hundred sheep, if he has lost one of them, does not leave the ninety-nine in the open country, and go after the one that is lost, until he finds it? 5And when he has found it, he lays it on his shoulders, rejoicing. 6And when he comes home, he calls together his friends and his neighbors, saying to them, ‘Rejoice with me, for I have found my sheep that was lost.’ 7Just so, I tell you, there will be more joy in heaven over one sinner who repents than over ninety-nine righteous persons who need no repentance.
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-The Parable of the Lost Coin
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-8“Or what woman, having ten silver coins,[77] if she loses one coin, does not light a lamp and sweep the house and seek diligently until she finds it? 9And when she has found it, she calls together her friends and neighbors, saying, ‘Rejoice with me, for I have found the coin that I had lost.’ 10Just so, I tell you, there is joy before the angels of God over one sinner who repents.”
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-The Parable of the Prodigal Son
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-11And he said, “There was a man who had two sons. 12And the younger of them said to his father, ‘Father, give me the share of property that is coming to me.’ And he divided his property between them. 13Not many days later, the younger son gathered all he had and took a journey into a far country, and there he squandered his property in reckless living. 14And when he had spent everything, a severe famine arose in that country, and he began to be in need. 15So he went and hired himself out to[78] one of the citizens of that country, who sent him into his fields to feed pigs. 16And he was longing to be fed with the pods that the pigs ate, and no one gave him anything.
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-17“But when he came to himself, he said, ‘How many of my father's hired servants have more than enough bread, but I perish here with hunger! 18I will arise and go to my father, and I will say to him, “Father, I have sinned against heaven and before you. 19I am no longer worthy to be called your son. Treat me as one of your hired servants.”’ 20And he arose and came to his father. But while he was still a long way off, his father saw him and felt compassion, and ran and embraced him and kissed him. 21And the son said to him, ‘Father, I have sinned against heaven and before you. I am no longer worthy to be called your son.’[79] 22But the father said to his servants,[80] ‘Bring quickly the best robe, and put it on him, and put a ring on his hand, and shoes on his feet. 23And bring the fattened calf and kill it, and let us eat and celebrate. 24For this my son was dead, and is alive again; he was lost, and is found.’ And they began to celebrate.
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-25“Now his older son was in the field, and as he came and drew near to the house, he heard music and dancing. 26And he called one of the servants and asked what these things meant. 27And he said to him, ‘Your brother has come, and your father has killed the fattened calf, because he has received him back safe and sound.’ 28But he was angry and refused to go in. His father came out and entreated him, 29but he answered his father, ‘Look, these many years I have served you, and I never disobeyed your command, yet you never gave me a young goat, that I might celebrate with my friends. 30But when this son of yours came, who has devoured your property with prostitutes, you killed the fattened calf for him!’ 31And he said to him, ‘Son, you are always with me, and all that is mine is yours. 32It was fitting to celebrate and be glad, for this your brother was dead, and is alive; he was lost, and is found.’”
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-The Parable of the Dishonest Manager
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-16:1 He also said to the disciples, “There was a rich man who had a manager, and charges were brought to him that this man was wasting his possessions. 2And he called him and said to him, ‘What is this that I hear about you? Turn in the account of your management, for you can no longer be manager.’ 3And the manager said to himself, ‘What shall I do, since my master is taking the management away from me? I am not strong enough to dig, and I am ashamed to beg. 4I have decided what to do, so that when I am removed from management, people may receive me into their houses.’ 5So, summoning his master's debtors one by one, he said to the first, ‘How much do you owe my master?’ 6He said, ‘A hundred measures[81] of oil.’ He said to him, ‘Take your bill, and sit down quickly and write fifty.’ 7Then he said to another, ‘And how much do you owe?’ He said, ‘A hundred measures[82] of wheat.’ He said to him, ‘Take your bill, and write eighty.’ 8The master commended the dishonest manager for his shrewdness. For the sons of this world[83] are more shrewd in dealing with their own generation than the sons of light. 9And I tell you, make friends for yourselves by means of unrighteous wealth,[84] so that when it fails they may receive you into the eternal dwellings.
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-10“One who is faithful in a very little is also faithful in much, and one who is dishonest in a very little is also dishonest in much. 11If then you have not been faithful in the unrighteous wealth, who will entrust to you the true riches? 12And if you have not been faithful in that which is another's, who will give you that which is your own? 13No servant can serve two masters, for either he will hate the one and love the other, or he will be devoted to the one and despise the other. You cannot serve God and money.”
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-The Law and the Kingdom of God
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-14The Pharisees, who were lovers of money, heard all these things, and they ridiculed him. 15And he said to them, “You are those who justify yourselves before men, but God knows your hearts. For what is exalted among men is an abomination in the sight of God.
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-16“The Law and the Prophets were until John; since then the good news of the kingdom of God is preached, and everyone forces his way into it.[85] 17But it is easier for heaven and earth to pass away than for one dot of the Law to become void.
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-Divorce and Remarriage
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-18“Everyone who divorces his wife and marries another commits adultery, and he who marries a woman divorced from her husband commits adultery.
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-The Rich Man and Lazarus
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-19“There was a rich man who was clothed in purple and fine linen and who feasted sumptuously every day. 20And at his gate was laid a poor man named Lazarus, covered with sores, 21who desired to be fed with what fell from the rich man's table. Moreover, even the dogs came and licked his sores. 22The poor man died and was carried by the angels to Abraham's side.[86] The rich man also died and was buried, 23and in Hades, being in torment, he lifted up his eyes and saw Abraham far off and Lazarus at his side. 24And he called out, ‘Father Abraham, have mercy on me, and send Lazarus to dip the end of his finger in water and cool my tongue, for I am in anguish in this flame.’ 25But Abraham said, ‘Child, remember that you in your lifetime received your good things, and Lazarus in like manner bad things; but now he is comforted here, and you are in anguish. 26And besides all this, between us and you a great chasm has been fixed, in order that those who would pass from here to you may not be able, and none may cross from there to us.’ 27And he said, ‘Then I beg you, father, to send him to my father's house— 28for I have five brothers[87]—so that he may warn them, lest they also come into this place of torment.’ 29But Abraham said, ‘They have Moses and the Prophets; let them hear them.’ 30And he said, ‘No, father Abraham, but if someone goes to them from the dead, they will repent.’ 31He said to him, ‘If they do not hear Moses and the Prophets, neither will they be convinced if someone should rise from the dead.’”
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-Temptations to Sin
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-17:1 And he said to his disciples, “Temptations to sin[88] are sure to come, but woe to the one through whom they come! 2It would be better for him if a millstone were hung around his neck and he were cast into the sea than that he should cause one of these little ones to sin.[89] 3Pay attention to yourselves! If your brother sins, rebuke him, and if he repents, forgive him, 4and if he sins against you seven times in the day, and turns to you seven times, saying, ‘I repent,’ you must forgive him.”
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-Increase Our Faith
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-5The apostles said to the Lord, “Increase our faith!” 6And the Lord said, “If you had faith like a grain of mustard seed, you could say to this mulberry tree, ‘Be uprooted and planted in the sea,’ and it would obey you.
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-Unworthy Servants
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-7“Will any one of you who has a servant[90] plowing or keeping sheep say to him when he has come in from the field, ‘Come at once and recline at table’? 8Will he not rather say to him, ‘Prepare supper for me, and dress properly,[91] and serve me while I eat and drink, and afterward you will eat and drink’? 9Does he thank the servant because he did what was commanded? 10So you also, when you have done all that you were commanded, say, ‘We are unworthy servants;[92] we have only done what was our duty.’”
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-Jesus Cleanses Ten Lepers
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-11On the way to Jerusalem he was passing along between Samaria and Galilee. 12And as he entered a village, he was met by ten lepers,[93] who stood at a distance 13and lifted up their voices, saying, “Jesus, Master, have mercy on us.” 14When he saw them he said to them, “Go and show yourselves to the priests.” And as they went they were cleansed. 15Then one of them, when he saw that he was healed, turned back, praising God with a loud voice; 16and he fell on his face at Jesus' feet, giving him thanks. Now he was a Samaritan. 17Then Jesus answered, “Were not ten cleansed? Where are the nine? 18Was no one found to return and give praise to God except this foreigner?” 19And he said to him, “Rise and go your way; your faith has made you well.”[94]
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-The Coming of the Kingdom
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-20Being asked by the Pharisees when the kingdom of God would come, he answered them, “The kingdom of God is not coming with signs to be observed, 21nor will they say, ‘Look, here it is!’ or ‘There!’ for behold, the kingdom of God is in the midst of you.”[95]
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-22And he said to the disciples, “The days are coming when you will desire to see one of the days of the Son of Man, and you will not see it. 23And they will say to you, ‘Look, there!’ or ‘Look, here!’ Do not go out or follow them. 24For as the lightning flashes and lights up the sky from one side to the other, so will the Son of Man be in his day.[96] 25But first he must suffer many things and be rejected by this generation. 26Just as it was in the days of Noah, so will it be in the days of the Son of Man. 27They were eating and drinking and marrying and being given in marriage, until the day when Noah entered the ark, and the flood came and destroyed them all. 28Likewise, just as it was in the days of Lot—they were eating and drinking, buying and selling, planting and building, 29but on the day when Lot went out from Sodom, fire and sulfur rained from heaven and destroyed them all— 30so will it be on the day when the Son of Man is revealed. 31On that day, let the one who is on the housetop, with his goods in the house, not come down to take them away, and likewise let the one who is in the field not turn back. 32Remember Lot's wife. 33Whoever seeks to preserve his life will lose it, but whoever loses his life will keep it. 34I tell you, in that night there will be two in one bed. One will be taken and the other left. 35There will be two women grinding together. One will be taken and the other left.”[97] 37And they said to him, “Where, Lord?” He said to them, “Where the corpse[98] is, there the vultures[99] will gather.”
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-The Parable of the Persistent Widow
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-18:1 And he told them a parable to the effect that they ought always to pray and not lose heart. 2He said, “In a certain city there was a judge who neither feared God nor respected man. 3And there was a widow in that city who kept coming to him and saying, ‘Give me justice against my adversary.’ 4For a while he refused, but afterward he said to himself, ‘Though I neither fear God nor respect man, 5yet because this widow keeps bothering me, I will give her justice, so that she will not beat me down by her continual coming.’” 6And the Lord said, “Hear what the unrighteous judge says. 7And will not God give justice to his elect, who cry to him day and night? Will he delay long over them? 8I tell you, he will give justice to them speedily. Nevertheless, when the Son of Man comes, will he find faith on earth?”
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-The Pharisee and the Tax Collector
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-9He also told this parable to some who trusted in themselves that they were righteous, and treated others with contempt: 10“Two men went up into the temple to pray, one a Pharisee and the other a tax collector. 11The Pharisee, standing by himself, prayed[100] thus: ‘God, I thank you that I am not like other men, extortioners, unjust, adulterers, or even like this tax collector. 12I fast twice a week; I give tithes of all that I get.’ 13But the tax collector, standing far off, would not even lift up his eyes to heaven, but beat his breast, saying, ‘God, be merciful to me, a sinner!’ 14I tell you, this man went down to his house justified, rather than the other. For everyone who exalts himself will be humbled, but the one who humbles himself will be exalted.”
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-Let the Children Come to Me
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-15Now they were bringing even infants to him that he might touch them. And when the disciples saw it, they rebuked them. 16But Jesus called them to him, saying, “Let the children come to me, and do not hinder them, for to such belongs the kingdom of God. 17Truly, I say to you, whoever does not receive the kingdom of God like a child shall not enter it.”
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-The Rich Ruler
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-18And a ruler asked him, “Good Teacher, what must I do to inherit eternal life?” 19And Jesus said to him, “Why do you call me good? No one is good except God alone. 20You know the commandments: ‘Do not commit adultery, Do not murder, Do not steal, Do not bear false witness, Honor your father and mother.’” 21And he said, “All these I have kept from my youth.” 22When Jesus heard this, he said to him, “One thing you still lack. Sell all that you have and distribute to the poor, and you will have treasure in heaven; and come, follow me.” 23But when he heard these things, he became very sad, for he was extremely rich. 24Jesus, seeing that he had become sad, said, “How difficult it is for those who have wealth to enter the kingdom of God! 25For it is easier for a camel to go through the eye of a needle than for a rich person to enter the kingdom of God.” 26Those who heard it said, “Then who can be saved?” 27But he said, “What is impossible with men is possible with God.” 28And Peter said, “See, we have left our homes and followed you.” 29And he said to them, “Truly, I say to you, there is no one who has left house or wife or brothers[101] or parents or children, for the sake of the kingdom of God, 30who will not receive many times more in this time, and in the age to come eternal life.”
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-Jesus Foretells His Death a Third Time
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-31And taking the twelve, he said to them, “See, we are going up to Jerusalem, and everything that is written about the Son of Man by the prophets will be accomplished. 32For he will be delivered over to the Gentiles and will be mocked and shamefully treated and spit upon. 33And after flogging him, they will kill him, and on the third day he will rise.” 34But they understood none of these things. This saying was hidden from them, and they did not grasp what was said.
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-Jesus Heals a Blind Beggar
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-35As he drew near to Jericho, a blind man was sitting by the roadside begging. 36And hearing a crowd going by, he inquired what this meant. 37They told him, “Jesus of Nazareth is passing by.” 38And he cried out, “Jesus, Son of David, have mercy on me!” 39And those who were in front rebuked him, telling him to be silent. But he cried out all the more, “Son of David, have mercy on me!” 40And Jesus stopped and commanded him to be brought to him. And when he came near, he asked him, 41“What do you want me to do for you?” He said, “Lord, let me recover my sight.” 42And Jesus said to him, “Recover your sight; your faith has made you well.” 43And immediately he recovered his sight and followed him, glorifying God. And all the people, when they saw it, gave praise to God.
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-Jesus and Zacchaeus
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-19:1 He entered Jericho and was passing through. 2And there was a man named Zacchaeus. He was a chief tax collector and was rich. 3And he was seeking to see who Jesus was, but on account of the crowd he could not, because he was small of stature. 4So he ran on ahead and climbed up into a sycamore tree to see him, for he was about to pass that way. 5And when Jesus came to the place, he looked up and said to him, “Zacchaeus, hurry and come down, for I must stay at your house today.” 6So he hurried and came down and received him joyfully. 7And when they saw it, they all grumbled, “He has gone in to be the guest of a man who is a sinner.” 8And Zacchaeus stood and said to the Lord, “Behold, Lord, the half of my goods I give to the poor. And if I have defrauded anyone of anything, I restore it fourfold.” 9And Jesus said to him, “Today salvation has come to this house, since he also is a son of Abraham. 10For the Son of Man came to seek and to save the lost.”
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-The Parable of the Ten Minas
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-11As they heard these things, he proceeded to tell a parable, because he was near to Jerusalem, and because they supposed that the kingdom of God was to appear immediately. 12He said therefore, “A nobleman went into a far country to receive for himself a kingdom and then return. 13Calling ten of his servants,[102] he gave them ten minas,[103] and said to them, ‘Engage in business until I come.’ 14But his citizens hated him and sent a delegation after him, saying, ‘We do not want this man to reign over us.’ 15When he returned, having received the kingdom, he ordered these servants to whom he had given the money to be called to him, that he might know what they had gained by doing business. 16The first came before him, saying, ‘Lord, your mina has made ten minas more.’ 17And he said to him, ‘Well done, good servant![104] Because you have been faithful in a very little, you shall have authority over ten cities.’ 18And the second came, saying, ‘Lord, your mina has made five minas.’ 19And he said to him, ‘And you are to be over five cities.’ 20Then another came, saying, ‘Lord, here is your mina, which I kept laid away in a handkerchief; 21for I was afraid of you, because you are a severe man. You take what you did not deposit, and reap what you did not sow.’ 22He said to him, ‘I will condemn you with your own words, you wicked servant! You knew that I was a severe man, taking what I did not deposit and reaping what I did not sow? 23Why then did you not put my money in the bank, and at my coming I might have collected it with interest?’ 24And he said to those who stood by, ‘Take the mina from him, and give it to the one who has the ten minas.’ 25And they said to him, ‘Lord, he has ten minas!’ 26‘I tell you that to everyone who has, more will be given, but from the one who has not, even what he has will be taken away. 27But as for these enemies of mine, who did not want me to reign over them, bring them here and slaughter them before me.’”
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-The Triumphal Entry
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-28And when he had said these things, he went on ahead, going up to Jerusalem. 29When he drew near to Bethphage and Bethany, at the mount that is called Olivet, he sent two of the disciples, 30saying, “Go into the village in front of you, where on entering you will find a colt tied, on which no one has ever yet sat. Untie it and bring it here. 31If anyone asks you, ‘Why are you untying it?’ you shall say this: ‘The Lord has need of it.’” 32So those who were sent went away and found it just as he had told them. 33And as they were untying the colt, its owners said to them, “Why are you untying the colt?” 34And they said, “The Lord has need of it.” 35And they brought it to Jesus, and throwing their cloaks on the colt, they set Jesus on it. 36And as he rode along, they spread their cloaks on the road. 37As he was drawing near—already on the way down the Mount of Olives—the whole multitude of his disciples began to rejoice and praise God with a loud voice for all the mighty works that they had seen, 38saying, “Blessed is the King who comes in the name of the Lord! Peace in heaven and glory in the highest!” 39And some of the Pharisees in the crowd said to him, “Teacher, rebuke your disciples.” 40He answered, “I tell you, if these were silent, the very stones would cry out.”
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-Jesus Weeps over Jerusalem
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-41And when he drew near and saw the city, he wept over it, 42saying, “Would that you, even you, had known on this day the things that make for peace! But now they are hidden from your eyes. 43For the days will come upon you, when your enemies will set up a barricade around you and surround you and hem you in on every side 44and tear you down to the ground, you and your children within you. And they will not leave one stone upon another in you, because you did not know the time of your visitation.”
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-Jesus Cleanses the Temple
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-45And he entered the temple and began to drive out those who sold, 46saying to them, “It is written, ‘My house shall be a house of prayer,’ but you have made it a den of robbers.”
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-47And he was teaching daily in the temple. The chief priests and the scribes and the principal men of the people were seeking to destroy him, 48but they did not find anything they could do, for all the people were hanging on his words.
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-The Authority of Jesus Challenged
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-20:1 One day, as Jesus[105] was teaching the people in the temple and preaching the gospel, the chief priests and the scribes with the elders came up 2and said to him, “Tell us by what authority you do these things, or who it is that gave you this authority.” 3He answered them, “I also will ask you a question. Now tell me, 4was the baptism of John from heaven or from man?” 5And they discussed it with one another, saying, “If we say, ‘From heaven,’ he will say, ‘Why did you not believe him?’ 6But if we say, ‘From man,’ all the people will stone us to death, for they are convinced that John was a prophet.” 7So they answered that they did not know where it came from. 8And Jesus said to them, “Neither will I tell you by what authority I do these things.”
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-The Parable of the Wicked Tenants
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-9And he began to tell the people this parable: “A man planted a vineyard and let it out to tenants and went into another country for a long while. 10When the time came, he sent a servant[106] to the tenants, so that they would give him some of the fruit of the vineyard. But the tenants beat him and sent him away empty-handed. 11And he sent another servant. But they also beat and treated him shamefully, and sent him away empty-handed. 12And he sent yet a third. This one also they wounded and cast out. 13Then the owner of the vineyard said, ‘What shall I do? I will send my beloved son; perhaps they will respect him.’ 14But when the tenants saw him, they said to themselves, ‘This is the heir. Let us kill him, so that the inheritance may be ours.’ 15And they threw him out of the vineyard and killed him. What then will the owner of the vineyard do to them? 16He will come and destroy those tenants and give the vineyard to others.” When they heard this, they said, “Surely not!” 17But he looked directly at them and said, “What then is this that is written:
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-“‘The stone that the builders rejected
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-has become the cornerstone’?[107]
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-18Everyone who falls on that stone will be broken to pieces, and when it falls on anyone, it will crush him.”
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-Paying Taxes to Caesar
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-19The scribes and the chief priests sought to lay hands on him at that very hour, for they perceived that he had told this parable against them, but they feared the people. 20So they watched him and sent spies, who pretended to be sincere, that they might catch him in something he said, so as to deliver him up to the authority and jurisdiction of the governor. 21So they asked him, “Teacher, we know that you speak and teach rightly, and show no partiality,[108] but truly teach the way of God. 22Is it lawful for us to give tribute to Caesar, or not?” 23But he perceived their craftiness, and said to them, 24“Show me a denarius.[109] Whose likeness and inscription does it have?” They said, “Caesar's.” 25He said to them, “Then render to Caesar the things that are Caesar's, and to God the things that are God's.” 26And they were not able in the presence of the people to catch him in what he said, but marveling at his answer they became silent.
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-Sadducees Ask About the Resurrection
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-27There came to him some Sadducees, those who deny that there is a resurrection, 28and they asked him a question, saying, “Teacher, Moses wrote for us that if a man's brother dies, having a wife but no children, the man[110] must take the widow and raise up offspring for his brother. 29Now there were seven brothers. The first took a wife, and died without children. 30And the second 31and the third took her, and likewise all seven left no children and died. 32Afterward the woman also died. 33In the resurrection, therefore, whose wife will the woman be? For the seven had her as wife.”
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-34And Jesus said to them, “The sons of this age marry and are given in marriage, 35but those who are considered worthy to attain to that age and to the resurrection from the dead neither marry nor are given in marriage, 36for they cannot die anymore, because they are equal to angels and are sons of God, being sons[111] of the resurrection. 37But that the dead are raised, even Moses showed, in the passage about the bush, where he calls the Lord the God of Abraham and the God of Isaac and the God of Jacob. 38Now he is not God of the dead, but of the living, for all live to him.” 39Then some of the scribes answered, “Teacher, you have spoken well.” 40For they no longer dared to ask him any question.
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-Whose Son Is the Christ?
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-41But he said to them, “How can they say that the Christ is David's son? 42For David himself says in the Book of Psalms,
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-“‘The Lord said to my Lord,
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-Sit at my right hand,
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-43until I make your enemies your footstool.’
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-44David thus calls him Lord, so how is he his son?”
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-Beware of the Scribes
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-45And in the hearing of all the people he said to his disciples, 46“Beware of the scribes, who like to walk around in long robes, and love greetings in the marketplaces and the best seats in the synagogues and the places of honor at feasts, 47who devour widows' houses and for a pretense make long prayers. They will receive the greater condemnation.”
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-The Widow's Offering
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-21:1 Jesus[112] looked up and saw the rich putting their gifts into the offering box, 2and he saw a poor widow put in two small copper coins.[113] 3And he said, “Truly, I tell you, this poor widow has put in more than all of them. 4For they all contributed out of their abundance, but she out of her poverty put in all she had to live on.”
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-Jesus Foretells Destruction of the Temple
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-5And while some were speaking of the temple, how it was adorned with noble stones and offerings, he said, 6“As for these things that you see, the days will come when there will not be left here one stone upon another that will not be thrown down.” 7And they asked him, “Teacher, when will these things be, and what will be the sign when these things are about to take place?” 8And he said, “See that you are not led astray. For many will come in my name, saying, ‘I am he!’ and, ‘The time is at hand!’ Do not go after them. 9And when you hear of wars and tumults, do not be terrified, for these things must first take place, but the end will not be at once.”
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-Jesus Foretells Wars and Persecution
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-10Then he said to them, “Nation will rise against nation, and kingdom against kingdom. 11There will be great earthquakes, and in various places famines and pestilences. And there will be terrors and great signs from heaven. 12But before all this they will lay their hands on you and persecute you, delivering you up to the synagogues and prisons, and you will be brought before kings and governors for my name's sake. 13This will be your opportunity to bear witness. 14Settle it therefore in your minds not to meditate beforehand how to answer, 15for I will give you a mouth and wisdom, which none of your adversaries will be able to withstand or contradict. 16You will be delivered up even by parents and brothers[114] and relatives and friends, and some of you they will put to death. 17You will be hated by all for my name's sake. 18But not a hair of your head will perish. 19By your endurance you will gain your lives.
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-Jesus Foretells Destruction of Jerusalem
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-20“But when you see Jerusalem surrounded by armies, then know that its desolation has come near. 21Then let those who are in Judea flee to the mountains, and let those who are inside the city depart, and let not those who are out in the country enter it, 22for these are days of vengeance, to fulfill all that is written. 23Alas for women who are pregnant and for those who are nursing infants in those days! For there will be great distress upon the earth and wrath against this people. 24They will fall by the edge of the sword and be led captive among all nations, and Jerusalem will be trampled underfoot by the Gentiles, until the times of the Gentiles are fulfilled.
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-The Coming of the Son of Man
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-25“And there will be signs in sun and moon and stars, and on the earth distress of nations in perplexity because of the roaring of the sea and the waves, 26people fainting with fear and with foreboding of what is coming on the world. For the powers of the heavens will be shaken. 27And then they will see the Son of Man coming in a cloud with power and great glory. 28Now when these things begin to take place, straighten up and raise your heads, because your redemption is drawing near.”
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-The Lesson of the Fig Tree
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-29And he told them a parable: “Look at the fig tree, and all the trees. 30As soon as they come out in leaf, you see for yourselves and know that the summer is already near. 31So also, when you see these things taking place, you know that the kingdom of God is near. 32Truly, I say to you, this generation will not pass away until all has taken place. 33Heaven and earth will pass away, but my words will not pass away.
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-Watch Yourselves
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-34“But watch yourselves lest your hearts be weighed down with dissipation and drunkenness and cares of this life, and that day come upon you suddenly like a trap. 35For it will come upon all who dwell on the face of the whole earth. 36But stay awake at all times, praying that you may have strength to escape all these things that are going to take place, and to stand before the Son of Man.”
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-37And every day he was teaching in the temple, but at night he went out and lodged on the mount called Olivet. 38And early in the morning all the people came to him in the temple to hear him.
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-The Plot to Kill Jesus
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-22:1 Now the Feast of Unleavened Bread drew near, which is called the Passover. 2And the chief priests and the scribes were seeking how to put him to death, for they feared the people.
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-Judas to Betray Jesus
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-3Then Satan entered into Judas called Iscariot, who was of the number of the twelve. 4He went away and conferred with the chief priests and officers how he might betray him to them. 5And they were glad, and agreed to give him money. 6So he consented and sought an opportunity to betray him to them in the absence of a crowd.
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-The Passover with the Disciples
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-7Then came the day of Unleavened Bread, on which the Passover lamb had to be sacrificed. 8So Jesus[115] sent Peter and John, saying, “Go and prepare the Passover for us, that we may eat it.” 9They said to him, “Where will you have us prepare it?” 10He said to them, “Behold, when you have entered the city, a man carrying a jar of water will meet you. Follow him into the house that he enters 11and tell the master of the house, ‘The Teacher says to you, Where is the guest room, where I may eat the Passover with my disciples?’ 12And he will show you a large upper room furnished; prepare it there.” 13And they went and found it just as he had told them, and they prepared the Passover.
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-Institution of the Lord's Supper
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-14And when the hour came, he reclined at table, and the apostles with him. 15And he said to them, “I have earnestly desired to eat this Passover with you before I suffer. 16For I tell you I will not eat it[116] until it is fulfilled in the kingdom of God.” 17And he took a cup, and when he had given thanks he said, “Take this, and divide it among yourselves. 18For I tell you that from now on I will not drink of the fruit of the vine until the kingdom of God comes.” 19And he took bread, and when he had given thanks, he broke it and gave it to them, saying, “This is my body, which is given for you. Do this in remembrance of me.” 20And likewise the cup after they had eaten, saying, “This cup that is poured out for you is the new covenant in my blood.[117] 21But behold, the hand of him who betrays me is with me on the table. 22For the Son of Man goes as it has been determined, but woe to that man by whom he is betrayed!” 23And they began to question one another, which of them it could be who was going to do this.
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-Who Is the Greatest?
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-24A dispute also arose among them, as to which of them was to be regarded as the greatest. 25And he said to them, “The kings of the Gentiles exercise lordship over them, and those in authority over them are called benefactors. 26But not so with you. Rather, let the greatest among you become as the youngest, and the leader as one who serves. 27For who is the greater, one who reclines at table or one who serves? Is it not the one who reclines at table? But I am among you as the one who serves.
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-28“You are those who have stayed with me in my trials, 29and I assign to you, as my Father assigned to me, a kingdom, 30that you may eat and drink at my table in my kingdom and sit on thrones judging the twelve tribes of Israel.
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-Jesus Foretells Peter's Denial
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-31“Simon, Simon, behold, Satan demanded to have you,[118] that he might sift you like wheat, 32but I have prayed for you that your faith may not fail. And when you have turned again, strengthen your brothers.” 33Peter[119] said to him, “Lord, I am ready to go with you both to prison and to death.” 34Jesus[120] said, “I tell you, Peter, the rooster will not crow this day, until you deny three times that you know me.”
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-Scripture Must Be Fulfilled in Jesus
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-35And he said to them, “When I sent you out with no moneybag or knapsack or sandals, did you lack anything?” They said, “Nothing.” 36He said to them, “But now let the one who has a moneybag take it, and likewise a knapsack. And let the one who has no sword sell his cloak and buy one. 37For I tell you that this Scripture must be fulfilled in me: ‘And he was numbered with the transgressors.’ For what is written about me has its fulfillment.” 38And they said, “Look, Lord, here are two swords.” And he said to them, “It is enough.”
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-Jesus Prays on the Mount of Olives
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-39And he came out and went, as was his custom, to the Mount of Olives, and the disciples followed him. 40And when he came to the place, he said to them, “Pray that you may not enter into temptation.” 41And he withdrew from them about a stone's throw, and knelt down and prayed, 42saying, “Father, if you are willing, remove this cup from me. Nevertheless, not my will, but yours, be done.” 43And there appeared to him an angel from heaven, strengthening him. 44And being in an agony he prayed more earnestly; and his sweat became like great drops of blood falling down to the ground.[121] 45And when he rose from prayer, he came to the disciples and found them sleeping for sorrow, 46and he said to them, “Why are you sleeping? Rise and pray that you may not enter into temptation.”
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-Betrayal and Arrest of Jesus
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-47While he was still speaking, there came a crowd, and the man called Judas, one of the twelve, was leading them. He drew near to Jesus to kiss him, 48but Jesus said to him, “Judas, would you betray the Son of Man with a kiss?” 49And when those who were around him saw what would follow, they said, “Lord, shall we strike with the sword?” 50And one of them struck the servant[122] of the high priest and cut off his right ear. 51But Jesus said, “No more of this!” And he touched his ear and healed him. 52Then Jesus said to the chief priests and officers of the temple and elders, who had come out against him, “Have you come out as against a robber, with swords and clubs? 53When I was with you day after day in the temple, you did not lay hands on me. But this is your hour, and the power of darkness.”
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-Peter Denies Jesus
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-54Then they seized him and led him away, bringing him into the high priest's house, and Peter was following at a distance. 55And when they had kindled a fire in the middle of the courtyard and sat down together, Peter sat down among them. 56Then a servant girl, seeing him as he sat in the light and looking closely at him, said, “This man also was with him.” 57But he denied it, saying, “Woman, I do not know him.” 58And a little later someone else saw him and said, “You also are one of them.” But Peter said, “Man, I am not.” 59And after an interval of about an hour still another insisted, saying, “Certainly this man also was with him, for he too is a Galilean.” 60But Peter said, “Man, I do not know what you are talking about.” And immediately, while he was still speaking, the rooster crowed. 61And the Lord turned and looked at Peter. And Peter remembered the saying of the Lord, how he had said to him, “Before the rooster crows today, you will deny me three times.” 62And he went out and wept bitterly.
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-Jesus Is Mocked
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-63Now the men who were holding Jesus in custody were mocking him as they beat him. 64They also blindfolded him and kept asking him, “Prophesy! Who is it that struck you?” 65And they said many other things against him, blaspheming him.
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-Jesus Before the Council
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-66When day came, the assembly of the elders of the people gathered together, both chief priests and scribes. And they led him away to their council, and they said, 67“If you are the Christ, tell us.” But he said to them, “If I tell you, you will not believe, 68and if I ask you, you will not answer. 69But from now on the Son of Man shall be seated at the right hand of the power of God.” 70So they all said, “Are you the Son of God, then?” And he said to them, “You say that I am.” 71Then they said, “What further testimony do we need? We have heard it ourselves from his own lips.”
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-Jesus Before Pilate
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-23:1 Then the whole company of them arose and brought him before Pilate. 2And they began to accuse him, saying, “We found this man misleading our nation and forbidding us to give tribute to Caesar, and saying that he himself is Christ, a king.” 3And Pilate asked him, “Are you the King of the Jews?” And he answered him, “You have said so.” 4Then Pilate said to the chief priests and the crowds, “I find no guilt in this man.” 5But they were urgent, saying, “He stirs up the people, teaching throughout all Judea, from Galilee even to this place.”
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-Jesus Before Herod
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-6When Pilate heard this, he asked whether the man was a Galilean. 7And when he learned that he belonged to Herod's jurisdiction, he sent him over to Herod, who was himself in Jerusalem at that time. 8When Herod saw Jesus, he was very glad, for he had long desired to see him, because he had heard about him, and he was hoping to see some sign done by him. 9So he questioned him at some length, but he made no answer. 10The chief priests and the scribes stood by, vehemently accusing him. 11And Herod with his soldiers treated him with contempt and mocked him. Then, arraying him in splendid clothing, he sent him back to Pilate. 12And Herod and Pilate became friends with each other that very day, for before this they had been at enmity with each other.
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-13Pilate then called together the chief priests and the rulers and the people, 14and said to them, “You brought me this man as one who was misleading the people. And after examining him before you, behold, I did not find this man guilty of any of your charges against him. 15Neither did Herod, for he sent him back to us. Look, nothing deserving death has been done by him. 16I will therefore punish and release him.”[123]
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-Pilate Delivers Jesus to Be Crucified
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-18But they all cried out together, “Away with this man, and release to us Barabbas”— 19a man who had been thrown into prison for an insurrection started in the city and for murder. 20Pilate addressed them once more, desiring to release Jesus, 21but they kept shouting, “Crucify, crucify him!” 22A third time he said to them, “Why, what evil has he done? I have found in him no guilt deserving death. I will therefore punish and release him.” 23But they were urgent, demanding with loud cries that he should be crucified. And their voices prevailed. 24So Pilate decided that their demand should be granted. 25He released the man who had been thrown into prison for insurrection and murder, for whom they asked, but he delivered Jesus over to their will.
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-The Crucifixion
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-26And as they led him away, they seized one Simon of Cyrene, who was coming in from the country, and laid on him the cross, to carry it behind Jesus. 27And there followed him a great multitude of the people and of women who were mourning and lamenting for him. 28But turning to them Jesus said, “Daughters of Jerusalem, do not weep for me, but weep for yourselves and for your children. 29For behold, the days are coming when they will say, ‘Blessed are the barren and the wombs that never bore and the breasts that never nursed!’ 30Then they will begin to say to the mountains, ‘Fall on us,’ and to the hills, ‘Cover us.’ 31For if they do these things when the wood is green, what will happen when it is dry?”
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-32Two others, who were criminals, were led away to be put to death with him. 33And when they came to the place that is called The Skull, there they crucified him, and the criminals, one on his right and one on his left. 34And Jesus said, “Father, forgive them, for they know not what they do.”[124] And they cast lots to divide his garments. 35And the people stood by, watching, but the rulers scoffed at him, saying, “He saved others; let him save himself, if he is the Christ of God, his Chosen One!” 36The soldiers also mocked him, coming up and offering him sour wine 37and saying, “If you are the King of the Jews, save yourself!” 38There was also an inscription over him,[125] “This is the King of the Jews.”
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-39One of the criminals who were hanged railed at him,[126] saying, “Are you not the Christ? Save yourself and us!” 40But the other rebuked him, saying, “Do you not fear God, since you are under the same sentence of condemnation? 41And we indeed justly, for we are receiving the due reward of our deeds; but this man has done nothing wrong.” 42And he said, “Jesus, remember me when you come into your kingdom.” 43And he said to him, “Truly, I say to you, today you will be with me in Paradise.”
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-The Death of Jesus
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-44It was now about the sixth hour,[127] and there was darkness over the whole land until the ninth hour,[128] 45while the sun's light failed. And the curtain of the temple was torn in two. 46Then Jesus, calling out with a loud voice, said, “Father, into your hands I commit my spirit!” And having said this he breathed his last. 47Now when the centurion saw what had taken place, he praised God, saying, “Certainly this man was innocent!” 48And all the crowds that had assembled for this spectacle, when they saw what had taken place, returned home beating their breasts. 49And all his acquaintances and the women who had followed him from Galilee stood at a distance watching these things.
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-Jesus Is Buried
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-50Now there was a man named Joseph, from the Jewish town of Arimathea. He was a member of the council, a good and righteous man, 51who had not consented to their decision and action; and he was looking for the kingdom of God. 52This man went to Pilate and asked for the body of Jesus. 53Then he took it down and wrapped it in a linen shroud and laid him in a tomb cut in stone, where no one had ever yet been laid. 54It was the day of Preparation, and the Sabbath was beginning.[129] 55The women who had come with him from Galilee followed and saw the tomb and how his body was laid. 56Then they returned and prepared spices and ointments.
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-On the Sabbath they rested according to the commandment.
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-The Resurrection
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-24:1 But on the first day of the week, at early dawn, they went to the tomb, taking the spices they had prepared. 2And they found the stone rolled away from the tomb, 3but when they went in they did not find the body of the Lord Jesus. 4While they were perplexed about this, behold, two men stood by them in dazzling apparel. 5And as they were frightened and bowed their faces to the ground, the men said to them, “Why do you seek the living among the dead? 6He is not here, but has risen. Remember how he told you, while he was still in Galilee, 7that the Son of Man must be delivered into the hands of sinful men and be crucified and on the third day rise.” 8And they remembered his words, 9and returning from the tomb they told all these things to the eleven and to all the rest. 10Now it was Mary Magdalene and Joanna and Mary the mother of James and the other women with them who told these things to the apostles, 11but these words seemed to them an idle tale, and they did not believe them. 12But Peter rose and ran to the tomb; stooping and looking in, he saw the linen cloths by themselves; and he went home marveling at what had happened.
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-On the Road to Emmaus
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-13That very day two of them were going to a village named Emmaus, about seven miles[130] from Jerusalem, 14and they were talking with each other about all these things that had happened. 15While they were talking and discussing together, Jesus himself drew near and went with them. 16But their eyes were kept from recognizing him. 17And he said to them, “What is this conversation that you are holding with each other as you walk?” And they stood still, looking sad. 18Then one of them, named Cleopas, answered him, “Are you the only visitor to Jerusalem who does not know the things that have happened there in these days?” 19And he said to them, “What things?” And they said to him, “Concerning Jesus of Nazareth, a man who was a prophet mighty in deed and word before God and all the people, 20and how our chief priests and rulers delivered him up to be condemned to death, and crucified him. 21But we had hoped that he was the one to redeem Israel. Yes, and besides all this, it is now the third day since these things happened. 22Moreover, some women of our company amazed us. They were at the tomb early in the morning, 23and when they did not find his body, they came back saying that they had even seen a vision of angels, who said that he was alive. 24Some of those who were with us went to the tomb and found it just as the women had said, but him they did not see.” 25And he said to them, “O foolish ones, and slow of heart to believe all that the prophets have spoken! 26Was it not necessary that the Christ should suffer these things and enter into his glory?” 27And beginning with Moses and all the Prophets, he interpreted to them in all the Scriptures the things concerning himself.
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-28So they drew near to the village to which they were going. He acted as if he were going farther, 29but they urged him strongly, saying, “Stay with us, for it is toward evening and the day is now far spent.” So he went in to stay with them. 30When he was at table with them, he took the bread and blessed and broke it and gave it to them. 31And their eyes were opened, and they recognized him. And he vanished from their sight. 32They said to each other, “Did not our hearts burn within us while he talked to us on the road, while he opened to us the Scriptures?” 33And they rose that same hour and returned to Jerusalem. And they found the eleven and those who were with them gathered together, 34saying, “The Lord has risen indeed, and has appeared to Simon!” 35Then they told what had happened on the road, and how he was known to them in the breaking of the bread.
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-Jesus Appears to His Disciples
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-36As they were talking about these things, Jesus himself stood among them, and said to them, “Peace to you!” 37But they were startled and frightened and thought they saw a spirit. 38And he said to them, “Why are you troubled, and why do doubts arise in your hearts? 39See my hands and my feet, that it is I myself. Touch me, and see. For a spirit does not have flesh and bones as you see that I have.” 40And when he had said this, he showed them his hands and his feet. 41And while they still disbelieved for joy and were marveling, he said to them, “Have you anything here to eat?” 42They gave him a piece of broiled fish,[131] 43and he took it and ate before them.
-
-44Then he said to them, “These are my words that I spoke to you while I was still with you, that everything written about me in the Law of Moses and the Prophets and the Psalms must be fulfilled.” 45Then he opened their minds to understand the Scriptures, 46and said to them, “Thus it is written, that the Christ should suffer and on the third day rise from the dead, 47and that repentance and forgiveness of sins should be proclaimed in his name to all nations, beginning from Jerusalem. 48You are witnesses of these things. 49And behold, I am sending the promise of my Father upon you. But stay in the city until you are clothed with power from on high.”
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-The Ascension
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-
-50Then he led them out as far as Bethany, and lifting up his hands he blessed them. 51While he blessed them, he parted from them and was carried up into heaven. 52And they worshiped him and returned to Jerusalem with great joy, 53and were continually in the temple blessing God.
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-Footnotes
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-
-[1] 1:5 Greek Zacharias
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-[2] 1:27 That is, legally pledged to be married
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-[3] 1:28 Some manuscripts add Blessed are you among women!
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-[4] 1:34 Greek since I do not know a man
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-[5] 1:35 Some manuscripts add of you
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-[6] 1:38 Greek bondservant; also verse 48
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-[7] 1:45 Or believed, for there will be
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-[8] 1:78 Or when the sunrise shall dawn upon us; some manuscripts since the sunrise has visited us
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-[9] 2:2 Or This was the registration before
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-[10] 2:5 That is, one legally pledged to be married
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-[11] 2:14 Some manuscripts peace, good will among men
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-[12] 2:29 Greek bondservant
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-[13] 2:37 Or as a widow for eighty-four years
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-[14] 2:48 Greek they
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-[15] 2:49 Or about my Father's business
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-[16] 2:52 Or years
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-[17] 3:4 Or crying, Prepare in the wilderness the way of the Lord
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-[18] 3:11 Greek chiton, a long garment worn under the cloak next to the skin
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-[19] 3:22 Or my Son, my (or the) Beloved
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-[20] 3:22 Some manuscripts beloved Son; today I have begotten you
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-[21] 3:27 Greek Salathiel
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-[22] 4:27 Leprosy was a term for several skin diseases; see Leviticus 13
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-[23] 4:34 Or Leave us alone
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-[24] 4:44 Some manuscripts Galilee
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-[25] 5:12 Leprosy was a term for several skin diseases; see Leviticus 13
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-[26] 5:13 Greek he
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-[27] 5:17 Some manuscripts was present to heal them
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-[28] 5:39 Some manuscripts better
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-[29] 6:1 Some manuscripts On the second first Sabbath (that is, on the second Sabbath after the first)
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-[30] 6:29 Greek chiton, a long garment worn under the cloak next to the skin
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-[31] 6:48 Some manuscripts founded upon the rock
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-[32] 7:2 Greek bondservant; also verses 3, 8, 10
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-[33] 7:3 Greek he
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-[34] 7:11 Some manuscripts The next day
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-[35] 7:15 Greek he
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-[36] 7:22 Leprosy was a term for several skin diseases; see Leviticus 13
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-[37] 7:24 Greek he
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-[38] 7:29 Greek they justified God
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-[39] 7:49 Or to
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-[40] 8:3 Some manuscripts him
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-[41] 8:26 Some manuscripts Gadarenes; others Gergesenes; also verse 37
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-[42] 8:27 Greek he; also verses 38, 42
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-[43] 8:36 Greek daimonizomai; elsewhere rendered oppressed by demons
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-[44] 8:43 Some manuscripts omit and though she had spent all her living on physicians,
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-[45] 8:45 Some manuscripts add and those who were with him
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-[46] 9:3 Greek chiton, a long garment worn under the cloak next to the skin
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-[47] 9:31 Greek exodus
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-[48] 9:35 Some manuscripts my Beloved
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-[49] 9:43 Greek he
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-[50] 9:54 Some manuscripts add as Elijah did
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-[51] 9:55 Some manuscripts add and he said, “You do not know what manner of spirit you are of; for the Son of Man came not to destroy people's lives but to save them”
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-[52] 9:60 Greek he
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-[53] 10:1 Some manuscripts seventy; also verse 17
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-[54] 10:21 Or for so it pleased you well
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-[55] 10:35 A denarius was a day's wage for a laborer
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-[56] 10:38 Greek he
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-[57] 10:42 Some manuscripts few things are necessary, or only one
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-[58] 11:1 Greek he
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-[59] 11:3 Or our bread for tomorrow
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-[60] 11:8 Or persistence
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-[61] 11:11 Some manuscripts insert bread, will give him a stone; or if he asks for
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-[62] 11:37 Greek he
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-[63] 12:5 Greek Gehenna
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-[64] 12:6 Greek two assaria; an assarion was a Roman copper coin worth about 1/16 of a denarius (which was a day's wage for a laborer)
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-[65] 12:25 Or a single cubit to his stature; a cubit was about 18 inches or 45 centimeters
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-[66] 12:27 Some manuscripts Consider the lilies; they neither spin nor weave
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-[67] 12:31 Some manuscripts God's
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-[68] 12:35 Greek Let your loins stay girded; compare Exodus 12:11
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-[69] 12:37 Greek bondservants
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-[70] 12:39 Some manuscripts add would have stayed awake and
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-[71] 12:43 Greek bondservant; also verses 45, 46, 47
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-[72] 12:59 Greek lepton, a Jewish bronze or copper coin worth about 1/128 of a denarius (which was a day's wage for a laborer)
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-[73] 14:5 Some manuscripts a donkey
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-[74] 14:12 Or your brothers and sisters. The plural Greek word adelphoi (translated “brothers”) refers to siblings in a family. In New Testament usage, depending on the context, adelphoi may refer either to brothers or to brothers and sisters
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-[75] 14:17 Greek bondservant; also verses 21, 22, 23
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-[76] 14:24 The Greek word for you here is plural
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-[77] 15:8 Greek ten drachmas; a drachma was a Greek coin approximately equal in value to a Roman denarius, worth about a day's wage for a laborer
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-[78] 15:15 Greek joined himself to
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-[79] 15:21 Some manuscripts add treat me as one of your hired servants
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-[80] 15:22 Greek bondservants
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-[81] 16:6 About 875 gallons
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-[82] 16:7 Between 1,000 and 1,200 bushels
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-[83] 16:8 Greek age
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-[84] 16:9 Greek mammon, a Semitic word for money or possessions; also verse 11; rendered money in verse 13
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-[85] 16:16 Or everyone is forcefully urged into it
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-[86] 16:22 Greek bosom; also verse 23
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-[87] 16:28 Or brothers and sisters
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-[88] 17:1 Greek Stumbling blocks
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-[89] 17:2 Greek stumble
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-[90] 17:7 Greek bondservant; also verse 9
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-[91] 17:8 Greek gird yourself
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-[92] 17:10 Greek bondservants
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-[93] 17:12 Leprosy was a term for several skin diseases; see Leviticus 13
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-[94] 17:19 Or has saved you
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-[95] 17:21 Or within you, or within your grasp
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-[96] 17:24 Some manuscripts omit in his day
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-[97] 17:35 Some manuscripts add verse 36: Two men will be in the field; one will be taken and the other left
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-[98] 17:37 Greek body
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-[99] 17:37 Or eagles
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-[100] 18:11 Or standing, prayed to himself
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-[101] 18:29 Or wife or brothers and sisters
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-[102] 19:13 Greek bondservants; also verse 15
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-[103] 19:13 A mina was about three months' wages for a laborer
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-[104] 19:17 Greek bondservant; also verse 22
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-[105] 20:1 Greek he
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-[106] 20:10 Greek bondservant; also verse 11
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-[107] 20:17 Greek the head of the corner
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-[108] 20:21 Greek and do not receive a face
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-[109] 20:24 A denarius was a day's wage for a laborer
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-[110] 20:28 Greek his brother
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-[111] 20:36 Greek huioi; see preface
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-[112] 21:1 Greek He
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-[113] 21:2 Greek two lepta; a lepton was a Jewish bronze or copper coin worth about 1/128 of a denarius (which was a day's wage for a laborer)
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-[114] 21:16 Or parents and brothers and sisters
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-[115] 22:8 Greek he
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-[116] 22:16 Some manuscripts never eat it again
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-[117] 22:20 Some manuscripts omit, in whole or in part, verses 19b-20 (which is given . . . in my blood)
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-[118] 22:31 The Greek word for you (twice in this verse) is plural; in verse 32, all four instances are singular
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-[119] 22:33 Greek He
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-[120] 22:34 Greek He
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-[121] 22:44 Some manuscripts omit verses 43 and 44
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-[122] 22:50 Greek bondservant
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-[123] 23:16 Here, or after verse 19, some manuscripts add verse 17: Now he was obliged to release one man to them at the festival
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-[124] 23:34 Some manuscripts omit the sentence And Jesus . . . what they do
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-[125] 23:38 Some manuscripts add in letters of Greek and Latin and Hebrew
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-[126] 23:39 Or blasphemed him
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-[127] 23:44 That is, noon
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-[128] 23:44 That is, 3 P.M.
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-[129] 23:54 Greek was dawning
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-[130] 24:13 Greek sixty stadia; a stadion was about 607 feet or 185 meters
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-[131] 24:42 Some manuscripts add and some honeycomb
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-JOHN
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-Chapter 1
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-Chapter 2
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-Chapter 3
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-Chapter 4
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-Chapter 5
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-Chapter 6
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-Chapter 7
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-Chapter 8
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-Chapter 9
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-Chapter 10
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-Chapter 11
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-Chapter 12
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-Chapter 13
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-Chapter 14
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-Chapter 15
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-Chapter 16
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-Chapter 17
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-Chapter 18
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-Chapter 19
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-Chapter 20
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-Chapter 21
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-The Word Became Flesh
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-1:1 In the beginning was the Word, and the Word was with God, and the Word was God. 2He was in the beginning with God. 3All things were made through him, and without him was not any thing made that was made. 4In him was life,[1] and the life was the light of men. 5The light shines in the darkness, and the darkness has not overcome it.
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-6There was a man sent from God, whose name was John. 7He came as a witness, to bear witness about the light, that all might believe through him. 8He was not the light, but came to bear witness about the light.
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-9The true light, which enlightens everyone, was coming into the world. 10He was in the world, and the world was made through him, yet the world did not know him. 11He came to his own,[2] and his own people[3] did not receive him. 12But to all who did receive him, who believed in his name, he gave the right to become children of God, 13who were born, not of blood nor of the will of the flesh nor of the will of man, but of God.
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-14And the Word became flesh and dwelt among us, and we have seen his glory, glory as of the only Son from the Father, full of grace and truth. 15(John bore witness about him, and cried out, “This was he of whom I said, ‘He who comes after me ranks before me, because he was before me.’”) 16And from his fullness we have all received, grace upon grace. 17For the law was given through Moses; grace and truth came through Jesus Christ. 18No one has ever seen God; the only God,[4] who is at the Father's side,[5] he has made him known.
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-
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-The Testimony of John the Baptist
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-19And this is the testimony of John, when the Jews sent priests and Levites from Jerusalem to ask him, “Who are you?” 20He confessed, and did not deny, but confessed, “I am not the Christ.” 21And they asked him, “What then? Are you Elijah?” He said, “I am not.” “Are you the Prophet?” And he answered, “No.” 22So they said to him, “Who are you? We need to give an answer to those who sent us. What do you say about yourself?” 23He said, “I am the voice of one crying out in the wilderness, ‘Make straight[6] the way of the Lord,’ as the prophet Isaiah said.”
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-24(Now they had been sent from the Pharisees.) 25They asked him, “Then why are you baptizing, if you are neither the Christ, nor Elijah, nor the Prophet?” 26John answered them, “I baptize with water, but among you stands one you do not know, 27even he who comes after me, the strap of whose sandal I am not worthy to untie.” 28These things took place in Bethany across the Jordan, where John was baptizing.
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-Behold, the Lamb of God
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-29The next day he saw Jesus coming toward him, and said, “Behold, the Lamb of God, who takes away the sin of the world! 30This is he of whom I said, ‘After me comes a man who ranks before me, because he was before me.’ 31I myself did not know him, but for this purpose I came baptizing with water, that he might be revealed to Israel.” 32And John bore witness: “I saw the Spirit descend from heaven like a dove, and it remained on him. 33I myself did not know him, but he who sent me to baptize with water said to me, ‘He on whom you see the Spirit descend and remain, this is he who baptizes with the Holy Spirit.’ 34And I have seen and have borne witness that this is the Son of God.”
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-
-
-
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-Jesus Calls the First Disciples
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-35The next day again John was standing with two of his disciples, 36and he looked at Jesus as he walked by and said, “Behold, the Lamb of God!” 37The two disciples heard him say this, and they followed Jesus. 38Jesus turned and saw them following and said to them, “What are you seeking?” And they said to him, “Rabbi” (which means Teacher), “where are you staying?” 39He said to them, “Come and you will see.” So they came and saw where he was staying, and they stayed with him that day, for it was about the tenth hour.[7] 40One of the two who heard John speak and followed Jesus[8] was Andrew, Simon Peter's brother. 41He first found his own brother Simon and said to him, “We have found the Messiah” (which means Christ). 42He brought him to Jesus. Jesus looked at him and said, “So you are Simon the son of John? You shall be called Cephas” (which means Peter[9]).
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-
-
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-Jesus Calls Philip and Nathanael
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-43The next day Jesus decided to go to Galilee. He found Philip and said to him, “Follow me.” 44Now Philip was from Bethsaida, the city of Andrew and Peter. 45Philip found Nathanael and said to him, “We have found him of whom Moses in the Law and also the prophets wrote, Jesus of Nazareth, the son of Joseph.” 46Nathanael said to him, “Can anything good come out of Nazareth?” Philip said to him, “Come and see.” 47Jesus saw Nathanael coming toward him and said of him, “Behold, an Israelite indeed, in whom there is no deceit!” 48Nathanael said to him, “How do you know me?” Jesus answered him, “Before Philip called you, when you were under the fig tree, I saw you.” 49Nathanael answered him, “Rabbi, you are the Son of God! You are the King of Israel!” 50Jesus answered him, “Because I said to you, ‘I saw you under the fig tree,’ do you believe? You will see greater things than these.” 51And he said to him, “Truly, truly, I say to you,[10] you will see heaven opened, and the angels of God ascending and descending on the Son of Man.”
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-
-
-
-
-The Wedding at Cana
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-2:1 On the third day there was a wedding at Cana in Galilee, and the mother of Jesus was there. 2Jesus also was invited to the wedding with his disciples. 3When the wine ran out, the mother of Jesus said to him, “They have no wine.” 4And Jesus said to her, “Woman, what does this have to do with me? My hour has not yet come.” 5His mother said to the servants, “Do whatever he tells you.”
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-6Now there were six stone water jars there for the Jewish rites of purification, each holding twenty or thirty gallons.[11] 7Jesus said to the servants, “Fill the jars with water.” And they filled them up to the brim. 8And he said to them, “Now draw some out and take it to the master of the feast.” So they took it. 9When the master of the feast tasted the water now become wine, and did not know where it came from (though the servants who had drawn the water knew), the master of the feast called the bridegroom 10and said to him, “Everyone serves the good wine first, and when people have drunk freely, then the poor wine. But you have kept the good wine until now.” 11This, the first of his signs, Jesus did at Cana in Galilee, and manifested his glory. And his disciples believed in him.
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-12After this he went down to Capernaum, with his mother and his brothers[12] and his disciples, and they stayed there for a few days.
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-Jesus Cleanses the Temple
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-13The Passover of the Jews was at hand, and Jesus went up to Jerusalem. 14In the temple he found those who were selling oxen and sheep and pigeons, and the money-changers sitting there. 15And making a whip of cords, he drove them all out of the temple, with the sheep and oxen. And he poured out the coins of the money-changers and overturned their tables. 16And he told those who sold the pigeons, “Take these things away; do not make my Father's house a house of trade.” 17His disciples remembered that it was written, “Zeal for your house will consume me.”
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-18So the Jews said to him, “What sign do you show us for doing these things?” 19Jesus answered them, “Destroy this temple, and in three days I will raise it up.” 20The Jews then said, “It has taken forty-six years to build this temple, and will you raise it up in three days?” 21But he was speaking about the temple of his body. 22When therefore he was raised from the dead, his disciples remembered that he had said this, and they believed the Scripture and the word that Jesus had spoken.
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-Jesus Knows What Is in Man
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-23Now when he was in Jerusalem at the Passover Feast, many believed in his name when they saw the signs that he was doing. 24But Jesus on his part did not entrust himself to them, because he knew all people 25and needed no one to bear witness about man, for he himself knew what was in man.
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-You Must Be Born Again
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-3:1 Now there was a man of the Pharisees named Nicodemus, a ruler of the Jews. 2This man came to Jesus[13] by night and said to him, “Rabbi, we know that you are a teacher come from God, for no one can do these signs that you do unless God is with him.” 3Jesus answered him, “Truly, truly, I say to you, unless one is born again[14] he cannot see the kingdom of God.” 4Nicodemus said to him, “How can a man be born when he is old? Can he enter a second time into his mother's womb and be born?” 5Jesus answered, “Truly, truly, I say to you, unless one is born of water and the Spirit, he cannot enter the kingdom of God. 6That which is born of the flesh is flesh, and that which is born of the Spirit is spirit.[15] 7Do not marvel that I said to you, ‘You[16] must be born again.’ 8The wind[17] blows where it wishes, and you hear its sound, but you do not know where it comes from or where it goes. So it is with everyone who is born of the Spirit.”
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-9Nicodemus said to him, “How can these things be?” 10Jesus answered him, “Are you the teacher of Israel and yet you do not understand these things? 11Truly, truly, I say to you, we speak of what we know, and bear witness to what we have seen, but you[18] do not receive our testimony. 12If I have told you earthly things and you do not believe, how can you believe if I tell you heavenly things? 13No one has ascended into heaven except he who descended from heaven, the Son of Man.[19] 14And as Moses lifted up the serpent in the wilderness, so must the Son of Man be lifted up, 15that whoever believes in him may have eternal life.[20]
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-For God So Loved the World
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-16“For God so loved the world,[21] that he gave his only Son, that whoever believes in him should not perish but have eternal life. 17For God did not send his Son into the world to condemn the world, but in order that the world might be saved through him. 18Whoever believes in him is not condemned, but whoever does not believe is condemned already, because he has not believed in the name of the only Son of God. 19And this is the judgment: the light has come into the world, and people loved the darkness rather than the light because their works were evil. 20For everyone who does wicked things hates the light and does not come to the light, lest his works should be exposed. 21But whoever does what is true comes to the light, so that it may be clearly seen that his works have been carried out in God.”
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-John the Baptist Exalts Christ
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-22After this Jesus and his disciples went into the Judean countryside, and he remained there with them and was baptizing. 23John also was baptizing at Aenon near Salim, because water was plentiful there, and people were coming and being baptized 24(for John had not yet been put in prison).
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-25Now a discussion arose between some of John's disciples and a Jew over purification. 26And they came to John and said to him, “Rabbi, he who was with you across the Jordan, to whom you bore witness—look, he is baptizing, and all are going to him.” 27John answered, “A person cannot receive even one thing unless it is given him from heaven. 28You yourselves bear me witness, that I said, ‘I am not the Christ, but I have been sent before him.’ 29The one who has the bride is the bridegroom. The friend of the bridegroom, who stands and hears him, rejoices greatly at the bridegroom's voice. Therefore this joy of mine is now complete. 30He must increase, but I must decrease.”[22]
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-31He who comes from above is above all. He who is of the earth belongs to the earth and speaks in an earthly way. He who comes from heaven is above all. 32He bears witness to what he has seen and heard, yet no one receives his testimony. 33Whoever receives his testimony sets his seal to this, that God is true. 34For he whom God has sent utters the words of God, for he gives the Spirit without measure. 35The Father loves the Son and has given all things into his hand. 36Whoever believes in the Son has eternal life; whoever does not obey the Son shall not see life, but the wrath of God remains on him.
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-Jesus and the Woman of Samaria
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-4:1 Now when Jesus learned that the Pharisees had heard that Jesus was making and baptizing more disciples than John 2(although Jesus himself did not baptize, but only his disciples), 3he left Judea and departed again for Galilee. 4And he had to pass through Samaria. 5So he came to a town of Samaria called Sychar, near the field that Jacob had given to his son Joseph. 6Jacob's well was there; so Jesus, wearied as he was from his journey, was sitting beside the well. It was about the sixth hour.[23]
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-7A woman from Samaria came to draw water. Jesus said to her, “Give me a drink.” 8(For his disciples had gone away into the city to buy food.) 9The Samaritan woman said to him, “How is it that you, a Jew, ask for a drink from me, a woman of Samaria?” (For Jews have no dealings with Samaritans.) 10Jesus answered her, “If you knew the gift of God, and who it is that is saying to you, ‘Give me a drink,’ you would have asked him, and he would have given you living water.” 11The woman said to him, “Sir, you have nothing to draw water with, and the well is deep. Where do you get that living water? 12Are you greater than our father Jacob? He gave us the well and drank from it himself, as did his sons and his livestock.” 13Jesus said to her, “Everyone who drinks of this water will be thirsty again, 14but whoever drinks of the water that I will give him will never be thirsty again.[24] The water that I will give him will become in him a spring of water welling up to eternal life.” 15The woman said to him, “Sir, give me this water, so that I will not be thirsty or have to come here to draw water.”
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-16Jesus said to her, “Go, call your husband, and come here.” 17The woman answered him, “I have no husband.” Jesus said to her, “You are right in saying, ‘I have no husband’; 18for you have had five husbands, and the one you now have is not your husband. What you have said is true.” 19The woman said to him, “Sir, I perceive that you are a prophet. 20Our fathers worshiped on this mountain, but you say that in Jerusalem is the place where people ought to worship.” 21Jesus said to her, “Woman, believe me, the hour is coming when neither on this mountain nor in Jerusalem will you worship the Father. 22You worship what you do not know; we worship what we know, for salvation is from the Jews. 23But the hour is coming, and is now here, when the true worshipers will worship the Father in spirit and truth, for the Father is seeking such people to worship him. 24God is spirit, and those who worship him must worship in spirit and truth.” 25The woman said to him, “I know that Messiah is coming (he who is called Christ). When he comes, he will tell us all things.” 26Jesus said to her, “I who speak to you am he.”
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-27Just then his disciples came back. They marveled that he was talking with a woman, but no one said, “What do you seek?” or, “Why are you talking with her?” 28So the woman left her water jar and went away into town and said to the people, 29“Come, see a man who told me all that I ever did. Can this be the Christ?” 30They went out of the town and were coming to him.
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-31Meanwhile the disciples were urging him, saying, “Rabbi, eat.” 32But he said to them, “I have food to eat that you do not know about.” 33So the disciples said to one another, “Has anyone brought him something to eat?” 34Jesus said to them, “My food is to do the will of him who sent me and to accomplish his work. 35Do you not say, ‘There are yet four months, then comes the harvest’? Look, I tell you, lift up your eyes, and see that the fields are white for harvest. 36Already the one who reaps is receiving wages and gathering fruit for eternal life, so that sower and reaper may rejoice together. 37For here the saying holds true, ‘One sows and another reaps.’ 38I sent you to reap that for which you did not labor. Others have labored, and you have entered into their labor.”
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-39Many Samaritans from that town believed in him because of the woman's testimony, “He told me all that I ever did.” 40So when the Samaritans came to him, they asked him to stay with them, and he stayed there two days. 41And many more believed because of his word. 42They said to the woman, “It is no longer because of what you said that we believe, for we have heard for ourselves, and we know that this is indeed the Savior of the world.”
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-43After the two days he departed for Galilee. 44(For Jesus himself had testified that a prophet has no honor in his own hometown.) 45So when he came to Galilee, the Galileans welcomed him, having seen all that he had done in Jerusalem at the feast. For they too had gone to the feast.
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-Jesus Heals an Official's Son
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-46So he came again to Cana in Galilee, where he had made the water wine. And at Capernaum there was an official whose son was ill. 47When this man heard that Jesus had come from Judea to Galilee, he went to him and asked him to come down and heal his son, for he was at the point of death. 48So Jesus said to him, “Unless you see signs and wonders you will not believe.” 49The official said to him, “Sir, come down before my child dies.” 50Jesus said to him, “Go; your son will live.” The man believed the word that Jesus spoke to him and went on his way. 51As he was going down, his servants[25] met him and told him that his son was recovering. 52So he asked them the hour when he began to get better, and they said to him, “Yesterday at the seventh hour[26] the fever left him.” 53The father knew that was the hour when Jesus had said to him, “Your son will live.” And he himself believed, and all his household. 54This was now the second sign that Jesus did when he had come from Judea to Galilee.
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-The Healing at the Pool on the Sabbath
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-5:1 After this there was a feast of the Jews, and Jesus went up to Jerusalem.
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-2Now there is in Jerusalem by the Sheep Gate a pool, in Aramaic[27] called Bethesda,[28] which has five roofed colonnades. 3In these lay a multitude of invalids—blind, lame, and paralyzed.[29] 5One man was there who had been an invalid for thirty-eight years. 6When Jesus saw him lying there and knew that he had already been there a long time, he said to him, “Do you want to be healed?” 7The sick man answered him, “Sir, I have no one to put me into the pool when the water is stirred up, and while I am going another steps down before me.” 8Jesus said to him, “Get up, take up your bed, and walk.” 9And at once the man was healed, and he took up his bed and walked.
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-Now that day was the Sabbath. 10So the Jews said to the man who had been healed, “It is the Sabbath, and it is not lawful for you to take up your bed.” 11But he answered them, “The man who healed me, that man said to me, ‘Take up your bed, and walk.’” 12They asked him, “Who is the man who said to you, ‘Take up your bed and walk’?” 13Now the man who had been healed did not know who it was, for Jesus had withdrawn, as there was a crowd in the place. 14Afterward Jesus found him in the temple and said to him, “See, you are well! Sin no more, that nothing worse may happen to you.” 15The man went away and told the Jews that it was Jesus who had healed him. 16And this was why the Jews were persecuting Jesus, because he was doing these things on the Sabbath. 17But Jesus answered them, “My Father is working until now, and I am working.”
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-Jesus Is Equal with God
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-18This was why the Jews were seeking all the more to kill him, because not only was he breaking the Sabbath, but he was even calling God his own Father, making himself equal with God.
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-The Authority of the Son
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-19So Jesus said to them, “Truly, truly, I say to you, the Son can do nothing of his own accord, but only what he sees the Father doing. For whatever the Father[30] does, that the Son does likewise. 20For the Father loves the Son and shows him all that he himself is doing. And greater works than these will he show him, so that you may marvel. 21For as the Father raises the dead and gives them life, so also the Son gives life to whom he will. 22The Father judges no one, but has given all judgment to the Son, 23that all may honor the Son, just as they honor the Father. Whoever does not honor the Son does not honor the Father who sent him. 24Truly, truly, I say to you, whoever hears my word and believes him who sent me has eternal life. He does not come into judgment, but has passed from death to life.
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-25“Truly, truly, I say to you, an hour is coming, and is now here, when the dead will hear the voice of the Son of God, and those who hear will live. 26For as the Father has life in himself, so he has granted the Son also to have life in himself. 27And he has given him authority to execute judgment, because he is the Son of Man. 28Do not marvel at this, for an hour is coming when all who are in the tombs will hear his voice 29and come out, those who have done good to the resurrection of life, and those who have done evil to the resurrection of judgment.
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-Witnesses to Jesus
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-30“I can do nothing on my own. As I hear, I judge, and my judgment is just, because I seek not my own will but the will of him who sent me. 31If I alone bear witness about myself, my testimony is not deemed true. 32There is another who bears witness about me, and I know that the testimony that he bears about me is true. 33You sent to John, and he has borne witness to the truth. 34Not that the testimony that I receive is from man, but I say these things so that you may be saved. 35He was a burning and shining lamp, and you were willing to rejoice for a while in his light. 36But the testimony that I have is greater than that of John. For the works that the Father has given me to accomplish, the very works that I am doing, bear witness about me that the Father has sent me. 37And the Father who sent me has himself borne witness about me. His voice you have never heard, his form you have never seen, 38and you do not have his word abiding in you, for you do not believe the one whom he has sent. 39You search the Scriptures because you think that in them you have eternal life; and it is they that bear witness about me, 40yet you refuse to come to me that you may have life. 41I do not receive glory from people. 42But I know that you do not have the love of God within you. 43I have come in my Father's name, and you do not receive me. If another comes in his own name, you will receive him. 44How can you believe, when you receive glory from one another and do not seek the glory that comes from the only God? 45Do not think that I will accuse you to the Father. There is one who accuses you: Moses, on whom you have set your hope. 46For if you believed Moses, you would believe me; for he wrote of me. 47But if you do not believe his writings, how will you believe my words?”
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-Jesus Feeds the Five Thousand
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-6:1 After this Jesus went away to the other side of the Sea of Galilee, which is the Sea of Tiberias. 2And a large crowd was following him, because they saw the signs that he was doing on the sick. 3Jesus went up on the mountain, and there he sat down with his disciples. 4Now the Passover, the feast of the Jews, was at hand. 5Lifting up his eyes, then, and seeing that a large crowd was coming toward him, Jesus said to Philip, “Where are we to buy bread, so that these people may eat?” 6He said this to test him, for he himself knew what he would do. 7Philip answered him, “Two hundred denarii[31] would not buy enough bread for each of them to get a little.” 8One of his disciples, Andrew, Simon Peter's brother, said to him, 9“There is a boy here who has five barley loaves and two fish, but what are they for so many?” 10Jesus said, “Have the people sit down.” Now there was much grass in the place. So the men sat down, about five thousand in number. 11Jesus then took the loaves, and when he had given thanks, he distributed them to those who were seated. So also the fish, as much as they wanted. 12And when they had eaten their fill, he told his disciples, “Gather up the leftover fragments, that nothing may be lost.” 13So they gathered them up and filled twelve baskets with fragments from the five barley loaves left by those who had eaten. 14When the people saw the sign that he had done, they said, “This is indeed the Prophet who is to come into the world!”
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-15Perceiving then that they were about to come and take him by force to make him king, Jesus withdrew again to the mountain by himself.
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-Jesus Walks on Water
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-16When evening came, his disciples went down to the sea, 17got into a boat, and started across the sea to Capernaum. It was now dark, and Jesus had not yet come to them. 18The sea became rough because a strong wind was blowing. 19When they had rowed about three or four miles,[32] they saw Jesus walking on the sea and coming near the boat, and they were frightened. 20But he said to them, “It is I; do not be afraid.” 21Then they were glad to take him into the boat, and immediately the boat was at the land to which they were going.
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-I Am the Bread of Life
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-22On the next day the crowd that remained on the other side of the sea saw that there had been only one boat there, and that Jesus had not entered the boat with his disciples, but that his disciples had gone away alone. 23Other boats from Tiberias came near the place where they had eaten the bread after the Lord had given thanks. 24So when the crowd saw that Jesus was not there, nor his disciples, they themselves got into the boats and went to Capernaum, seeking Jesus.
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-25When they found him on the other side of the sea, they said to him, “Rabbi, when did you come here?” 26Jesus answered them, “Truly, truly, I say to you, you are seeking me, not because you saw signs, but because you ate your fill of the loaves. 27Do not labor for the food that perishes, but for the food that endures to eternal life, which the Son of Man will give to you. For on him God the Father has set his seal.” 28Then they said to him, “What must we do, to be doing the works of God?” 29Jesus answered them, “This is the work of God, that you believe in him whom he has sent.” 30So they said to him, “Then what sign do you do, that we may see and believe you? What work do you perform? 31Our fathers ate the manna in the wilderness; as it is written, ‘He gave them bread from heaven to eat.’” 32Jesus then said to them, “Truly, truly, I say to you, it was not Moses who gave you the bread from heaven, but my Father gives you the true bread from heaven. 33For the bread of God is he who comes down from heaven and gives life to the world.” 34They said to him, “Sir, give us this bread always.”
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-35Jesus said to them, “I am the bread of life; whoever comes to me shall not hunger, and whoever believes in me shall never thirst. 36But I said to you that you have seen me and yet do not believe. 37All that the Father gives me will come to me, and whoever comes to me I will never cast out. 38For I have come down from heaven, not to do my own will but the will of him who sent me. 39And this is the will of him who sent me, that I should lose nothing of all that he has given me, but raise it up on the last day. 40For this is the will of my Father, that everyone who looks on the Son and believes in him should have eternal life, and I will raise him up on the last day.”
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-41So the Jews grumbled about him, because he said, “I am the bread that came down from heaven.” 42They said, “Is not this Jesus, the son of Joseph, whose father and mother we know? How does he now say, ‘I have come down from heaven’?” 43Jesus answered them, “Do not grumble among yourselves. 44No one can come to me unless the Father who sent me draws him. And I will raise him up on the last day. 45It is written in the Prophets, ‘And they will all be taught by God.’ Everyone who has heard and learned from the Father comes to me— 46not that anyone has seen the Father except he who is from God; he has seen the Father. 47Truly, truly, I say to you, whoever believes has eternal life. 48I am the bread of life. 49Your fathers ate the manna in the wilderness, and they died. 50This is the bread that comes down from heaven, so that one may eat of it and not die. 51I am the living bread that came down from heaven. If anyone eats of this bread, he will live forever. And the bread that I will give for the life of the world is my flesh.”
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-52The Jews then disputed among themselves, saying, “How can this man give us his flesh to eat?” 53So Jesus said to them, “Truly, truly, I say to you, unless you eat the flesh of the Son of Man and drink his blood, you have no life in you. 54Whoever feeds on my flesh and drinks my blood has eternal life, and I will raise him up on the last day. 55For my flesh is true food, and my blood is true drink. 56Whoever feeds on my flesh and drinks my blood abides in me, and I in him. 57As the living Father sent me, and I live because of the Father, so whoever feeds on me, he also will live because of me. 58This is the bread that came down from heaven, not like the bread[33] the fathers ate and died. Whoever feeds on this bread will live forever.” 59Jesus[34] said these things in the synagogue, as he taught at Capernaum.
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-The Words of Eternal Life
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-60When many of his disciples heard it, they said, “This is a hard saying; who can listen to it?” 61But Jesus, knowing in himself that his disciples were grumbling about this, said to them, “Do you take offense at this? 62Then what if you were to see the Son of Man ascending to where he was before? 63It is the Spirit who gives life; the flesh is no help at all. The words that I have spoken to you are spirit and life. 64But there are some of you who do not believe.” (For Jesus knew from the beginning who those were who did not believe, and who it was who would betray him.) 65And he said, “This is why I told you that no one can come to me unless it is granted him by the Father.”
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-66After this many of his disciples turned back and no longer walked with him. 67So Jesus said to the Twelve, “Do you want to go away as well?” 68Simon Peter answered him, “Lord, to whom shall we go? You have the words of eternal life, 69and we have believed, and have come to know, that you are the Holy One of God.” 70Jesus answered them, “Did I not choose you, the Twelve? And yet one of you is a devil.” 71He spoke of Judas the son of Simon Iscariot, for he, one of the Twelve, was going to betray him.
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-Jesus at the Feast of Booths
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-7:1 After this Jesus went about in Galilee. He would not go about in Judea, because the Jews[35] were seeking to kill him. 2Now the Jews' Feast of Booths was at hand. 3So his brothers[36] said to him, “Leave here and go to Judea, that your disciples also may see the works you are doing. 4For no one works in secret if he seeks to be known openly. If you do these things, show yourself to the world.” 5For not even his brothers believed in him. 6Jesus said to them, “My time has not yet come, but your time is always here. 7The world cannot hate you, but it hates me because I testify about it that its works are evil. 8You go up to the feast. I am not[37] going up to this feast, for my time has not yet fully come.” 9After saying this, he remained in Galilee.
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-10But after his brothers had gone up to the feast, then he also went up, not publicly but in private. 11The Jews were looking for him at the feast, and saying, “Where is he?” 12And there was much muttering about him among the people. While some said, “He is a good man,” others said, “No, he is leading the people astray.” 13Yet for fear of the Jews no one spoke openly of him.
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-14About the middle of the feast Jesus went up into the temple and began teaching. 15The Jews therefore marveled, saying, “How is it that this man has learning,[38] when he has never studied?” 16So Jesus answered them, “My teaching is not mine, but his who sent me. 17If anyone's will is to do God's[39] will, he will know whether the teaching is from God or whether I am speaking on my own authority. 18The one who speaks on his own authority seeks his own glory; but the one who seeks the glory of him who sent him is true, and in him there is no falsehood. 19Has not Moses given you the law? Yet none of you keeps the law. Why do you seek to kill me?” 20The crowd answered, “You have a demon! Who is seeking to kill you?” 21Jesus answered them, “I did one work, and you all marvel at it. 22Moses gave you circumcision (not that it is from Moses, but from the fathers), and you circumcise a man on the Sabbath. 23If on the Sabbath a man receives circumcision, so that the law of Moses may not be broken, are you angry with me because on the Sabbath I made a man's whole body well? 24Do not judge by appearances, but judge with right judgment.”
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-Can This Be the Christ?
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-25Some of the people of Jerusalem therefore said, “Is not this the man whom they seek to kill? 26And here he is, speaking openly, and they say nothing to him! Can it be that the authorities really know that this is the Christ? 27But we know where this man comes from, and when the Christ appears, no one will know where he comes from.” 28So Jesus proclaimed, as he taught in the temple, “You know me, and you know where I come from? But I have not come of my own accord. He who sent me is true, and him you do not know. 29I know him, for I come from him, and he sent me.” 30So they were seeking to arrest him, but no one laid a hand on him, because his hour had not yet come. 31Yet many of the people believed in him. They said, “When the Christ appears, will he do more signs than this man has done?”
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-Officers Sent to Arrest Jesus
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-32The Pharisees heard the crowd muttering these things about him, and the chief priests and Pharisees sent officers to arrest him. 33Jesus then said, “I will be with you a little longer, and then I am going to him who sent me. 34You will seek me and you will not find me. Where I am you cannot come.” 35The Jews said to one another, “Where does this man intend to go that we will not find him? Does he intend to go to the Dispersion among the Greeks and teach the Greeks? 36What does he mean by saying, ‘You will seek me and you will not find me,’ and, ‘Where I am you cannot come’?”
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-Rivers of Living Water
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-37On the last day of the feast, the great day, Jesus stood up and cried out, “If anyone thirsts, let him come to me and drink. 38Whoever believes in me, as[40] the Scripture has said, ‘Out of his heart will flow rivers of living water.’” 39Now this he said about the Spirit, whom those who believed in him were to receive, for as yet the Spirit had not been given, because Jesus was not yet glorified.
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-Division Among the People
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-40When they heard these words, some of the people said, “This really is the Prophet.” 41Others said, “This is the Christ.” But some said, “Is the Christ to come from Galilee? 42Has not the Scripture said that the Christ comes from the offspring of David, and comes from Bethlehem, the village where David was?” 43So there was a division among the people over him. 44Some of them wanted to arrest him, but no one laid hands on him.
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-45The officers then came to the chief priests and Pharisees, who said to them, “Why did you not bring him?” 46The officers answered, “No one ever spoke like this man!” 47The Pharisees answered them, “Have you also been deceived? 48Have any of the authorities or the Pharisees believed in him? 49But this crowd that does not know the law is accursed.” 50Nicodemus, who had gone to him before, and who was one of them, said to them, 51“Does our law judge a man without first giving him a hearing and learning what he does?” 52They replied, “Are you from Galilee too? Search and see that no prophet arises from Galilee.”
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-[The earliest manuscripts do not include 7:53–8:11.][41]
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-The Woman Caught in Adultery
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-53[[They went each to his own house,
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-8:1 but Jesus went to the Mount of Olives. 2Early in the morning he came again to the temple. All the people came to him, and he sat down and taught them. 3The scribes and the Pharisees brought a woman who had been caught in adultery, and placing her in the midst 4they said to him, “Teacher, this woman has been caught in the act of adultery. 5Now in the Law Moses commanded us to stone such women. So what do you say?” 6This they said to test him, that they might have some charge to bring against him. Jesus bent down and wrote with his finger on the ground. 7And as they continued to ask him, he stood up and said to them, “Let him who is without sin among you be the first to throw a stone at her.” 8And once more he bent down and wrote on the ground. 9But when they heard it, they went away one by one, beginning with the older ones, and Jesus was left alone with the woman standing before him. 10Jesus stood up and said to her, “Woman, where are they? Has no one condemned you?” 11She said, “No one, Lord.” And Jesus said, “Neither do I condemn you; go, and from now on sin no more.”]]
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-I Am the Light of the World
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-12Again Jesus spoke to them, saying, “I am the light of the world. Whoever follows me will not walk in darkness, but will have the light of life.” 13So the Pharisees said to him, “You are bearing witness about yourself; your testimony is not true.” 14Jesus answered, “Even if I do bear witness about myself, my testimony is true, for I know where I came from and where I am going, but you do not know where I come from or where I am going. 15You judge according to the flesh; I judge no one. 16Yet even if I do judge, my judgment is true, for it is not I alone who judge, but I and the Father[42] who sent me. 17In your Law it is written that the testimony of two people is true. 18I am the one who bears witness about myself, and the Father who sent me bears witness about me.” 19They said to him therefore, “Where is your Father?” Jesus answered, “You know neither me nor my Father. If you knew me, you would know my Father also.” 20These words he spoke in the treasury, as he taught in the temple; but no one arrested him, because his hour had not yet come.
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-21So he said to them again, “I am going away, and you will seek me, and you will die in your sin. Where I am going, you cannot come.” 22So the Jews said, “Will he kill himself, since he says, ‘Where I am going, you cannot come’?” 23He said to them, “You are from below; I am from above. You are of this world; I am not of this world. 24I told you that you would die in your sins, for unless you believe that I am he you will die in your sins.” 25So they said to him, “Who are you?” Jesus said to them, “Just what I have been telling you from the beginning. 26I have much to say about you and much to judge, but he who sent me is true, and I declare to the world what I have heard from him.” 27They did not understand that he had been speaking to them about the Father. 28So Jesus said to them, “When you have lifted up the Son of Man, then you will know that I am he, and that I do nothing on my own authority, but speak just as the Father taught me. 29And he who sent me is with me. He has not left me alone, for I always do the things that are pleasing to him.” 30As he was saying these things, many believed in him.
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-The Truth Will Set You Free
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-31So Jesus said to the Jews who had believed in him, “If you abide in my word, you are truly my disciples, 32and you will know the truth, and the truth will set you free.” 33They answered him, “We are offspring of Abraham and have never been enslaved to anyone. How is it that you say, ‘You will become free’?”
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-34Jesus answered them, “Truly, truly, I say to you, everyone who commits sin is a slave[43] to sin. 35The slave does not remain in the house forever; the son remains forever. 36So if the Son sets you free, you will be free indeed. 37I know that you are offspring of Abraham; yet you seek to kill me because my word finds no place in you. 38I speak of what I have seen with my Father, and you do what you have heard from your father.”
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-You Are of Your Father the Devil
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-39They answered him, “Abraham is our father.” Jesus said to them, “If you were Abraham's children, you would be doing the works Abraham did, 40but now you seek to kill me, a man who has told you the truth that I heard from God. This is not what Abraham did. 41You are doing the works your father did.” They said to him, “We were not born of sexual immorality. We have one Father—even God.” 42Jesus said to them, “If God were your Father, you would love me, for I came from God and I am here. I came not of my own accord, but he sent me. 43Why do you not understand what I say? It is because you cannot bear to hear my word. 44You are of your father the devil, and your will is to do your father's desires. He was a murderer from the beginning, and has nothing to do with the truth, because there is no truth in him. When he lies, he speaks out of his own character, for he is a liar and the father of lies. 45But because I tell the truth, you do not believe me. 46Which one of you convicts me of sin? If I tell the truth, why do you not believe me? 47Whoever is of God hears the words of God. The reason why you do not hear them is that you are not of God.”
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-Before Abraham Was, I Am
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-48The Jews answered him, “Are we not right in saying that you are a Samaritan and have a demon?” 49Jesus answered, “I do not have a demon, but I honor my Father, and you dishonor me. 50Yet I do not seek my own glory; there is One who seeks it, and he is the judge. 51Truly, truly, I say to you, if anyone keeps my word, he will never see death.” 52The Jews said to him, “Now we know that you have a demon! Abraham died, as did the prophets, yet you say, ‘If anyone keeps my word, he will never taste death.’ 53Are you greater than our father Abraham, who died? And the prophets died! Who do you make yourself out to be?” 54Jesus answered, “If I glorify myself, my glory is nothing. It is my Father who glorifies me, of whom you say, ‘He is our God.’[44] 55But you have not known him. I know him. If I were to say that I do not know him, I would be a liar like you, but I do know him and I keep his word. 56Your father Abraham rejoiced that he would see my day. He saw it and was glad.” 57So the Jews said to him, “You are not yet fifty years old, and have you seen Abraham?”[45] 58Jesus said to them, “Truly, truly, I say to you, before Abraham was, I am.” 59So they picked up stones to throw at him, but Jesus hid himself and went out of the temple.
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-Jesus Heals a Man Born Blind
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-9:1 As he passed by, he saw a man blind from birth. 2And his disciples asked him, “Rabbi, who sinned, this man or his parents, that he was born blind?” 3Jesus answered, “It was not that this man sinned, or his parents, but that the works of God might be displayed in him. 4We must work the works of him who sent me while it is day; night is coming, when no one can work. 5As long as I am in the world, I am the light of the world.” 6Having said these things, he spat on the ground and made mud with the saliva. Then he anointed the man's eyes with the mud 7and said to him, “Go, wash in the pool of Siloam” (which means Sent). So he went and washed and came back seeing.
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-8The neighbors and those who had seen him before as a beggar were saying, “Is this not the man who used to sit and beg?” 9Some said, “It is he.” Others said, “No, but he is like him.” He kept saying, “I am the man.” 10So they said to him, “Then how were your eyes opened?” 11He answered, “The man called Jesus made mud and anointed my eyes and said to me, ‘Go to Siloam and wash.’ So I went and washed and received my sight.” 12They said to him, “Where is he?” He said, “I do not know.”
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-13They brought to the Pharisees the man who had formerly been blind. 14Now it was a Sabbath day when Jesus made the mud and opened his eyes. 15So the Pharisees again asked him how he had received his sight. And he said to them, “He put mud on my eyes, and I washed, and I see.” 16Some of the Pharisees said, “This man is not from God, for he does not keep the Sabbath.” But others said, “How can a man who is a sinner do such signs?” And there was a division among them. 17So they said again to the blind man, “What do you say about him, since he has opened your eyes?” He said, “He is a prophet.”
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-18The Jews did not believe that he had been blind and had received his sight, until they called the parents of the man who had received his sight 19and asked them, “Is this your son, who you say was born blind? How then does he now see?” 20His parents answered, “We know that this is our son and that he was born blind. 21But how he now sees we do not know, nor do we know who opened his eyes. Ask him; he is of age. He will speak for himself.” 22(His parents said these things because they feared the Jews, for the Jews had already agreed that if anyone should confess Jesus[46] to be Christ, he was to be put out of the synagogue.) 23Therefore his parents said, “He is of age; ask him.”
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-24So for the second time they called the man who had been blind and said to him, “Give glory to God. We know that this man is a sinner.” 25He answered, “Whether he is a sinner I do not know. One thing I do know, that though I was blind, now I see.” 26They said to him, “What did he do to you? How did he open your eyes?” 27He answered them, “I have told you already, and you would not listen. Why do you want to hear it again? Do you also want to become his disciples?” 28And they reviled him, saying, “You are his disciple, but we are disciples of Moses. 29We know that God has spoken to Moses, but as for this man, we do not know where he comes from.” 30The man answered, “Why, this is an amazing thing! You do not know where he comes from, and yet he opened my eyes. 31We know that God does not listen to sinners, but if anyone is a worshiper of God and does his will, God listens to him. 32Never since the world began has it been heard that anyone opened the eyes of a man born blind. 33If this man were not from God, he could do nothing.” 34They answered him, “You were born in utter sin, and would you teach us?” And they cast him out.
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-35Jesus heard that they had cast him out, and having found him he said, “Do you believe in the Son of Man?”[47] 36He answered, “And who is he, sir, that I may believe in him?” 37Jesus said to him, “You have seen him, and it is he who is speaking to you.” 38He said, “Lord, I believe,” and he worshiped him. 39Jesus said, “For judgment I came into this world, that those who do not see may see, and those who see may become blind.” 40Some of the Pharisees near him heard these things, and said to him, “Are we also blind?” 41Jesus said to them, “If you were blind, you would have no guilt;[48] but now that you say, ‘We see,’ your guilt remains.
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-I Am the Good Shepherd
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-10:1 “Truly, truly, I say to you, he who does not enter the sheepfold by the door but climbs in by another way, that man is a thief and a robber. 2But he who enters by the door is the shepherd of the sheep. 3To him the gatekeeper opens. The sheep hear his voice, and he calls his own sheep by name and leads them out. 4When he has brought out all his own, he goes before them, and the sheep follow him, for they know his voice. 5A stranger they will not follow, but they will flee from him, for they do not know the voice of strangers.” 6This figure of speech Jesus used with them, but they did not understand what he was saying to them.
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-7So Jesus again said to them, “Truly, truly, I say to you, I am the door of the sheep. 8All who came before me are thieves and robbers, but the sheep did not listen to them. 9I am the door. If anyone enters by me, he will be saved and will go in and out and find pasture. 10The thief comes only to steal and kill and destroy. I came that they may have life and have it abundantly. 11I am the good shepherd. The good shepherd lays down his life for the sheep. 12He who is a hired hand and not a shepherd, who does not own the sheep, sees the wolf coming and leaves the sheep and flees, and the wolf snatches them and scatters them. 13He flees because he is a hired hand and cares nothing for the sheep. 14I am the good shepherd. I know my own and my own know me, 15just as the Father knows me and I know the Father; and I lay down my life for the sheep. 16And I have other sheep that are not of this fold. I must bring them also, and they will listen to my voice. So there will be one flock, one shepherd. 17For this reason the Father loves me, because I lay down my life that I may take it up again. 18No one takes it from me, but I lay it down of my own accord. I have authority to lay it down, and I have authority to take it up again. This charge I have received from my Father.”
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-19There was again a division among the Jews because of these words. 20Many of them said, “He has a demon, and is insane; why listen to him?” 21Others said, “These are not the words of one who is oppressed by a demon. Can a demon open the eyes of the blind?”
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-I and the Father Are One
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-22At that time the Feast of Dedication took place at Jerusalem. It was winter, 23and Jesus was walking in the temple, in the colonnade of Solomon. 24So the Jews gathered around him and said to him, “How long will you keep us in suspense? If you are the Christ, tell us plainly.” 25Jesus answered them, “I told you, and you do not believe. The works that I do in my Father's name bear witness about me, 26but you do not believe because you are not part of my flock. 27My sheep hear my voice, and I know them, and they follow me. 28I give them eternal life, and they will never perish, and no one will snatch them out of my hand. 29My Father, who has given them to me,[49] is greater than all, and no one is able to snatch them out of the Father's hand. 30I and the Father are one.”
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-31The Jews picked up stones again to stone him. 32Jesus answered them, “I have shown you many good works from the Father; for which of them are you going to stone me?” 33The Jews answered him, “It is not for a good work that we are going to stone you but for blasphemy, because you, being a man, make yourself God.” 34Jesus answered them, “Is it not written in your Law, ‘I said, you are gods’? 35If he called them gods to whom the word of God came—and Scripture cannot be broken— 36do you say of him whom the Father consecrated and sent into the world, ‘You are blaspheming,’ because I said, ‘I am the Son of God’? 37If I am not doing the works of my Father, then do not believe me; 38but if I do them, even though you do not believe me, believe the works, that you may know and understand that the Father is in me and I am in the Father.” 39Again they sought to arrest him, but he escaped from their hands.
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-40He went away again across the Jordan to the place where John had been baptizing at first, and there he remained. 41And many came to him. And they said, “John did no sign, but everything that John said about this man was true.” 42And many believed in him there.
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-The Death of Lazarus
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-11:1 Now a certain man was ill, Lazarus of Bethany, the village of Mary and her sister Martha. 2It was Mary who anointed the Lord with ointment and wiped his feet with her hair, whose brother Lazarus was ill. 3So the sisters sent to him, saying, “Lord, he whom you love is ill.” 4But when Jesus heard it he said, “This illness does not lead to death. It is for the glory of God, so that the Son of God may be glorified through it.”
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-5Now Jesus loved Martha and her sister and Lazarus. 6So, when he heard that Lazarus[50] was ill, he stayed two days longer in the place where he was. 7Then after this he said to the disciples, “Let us go to Judea again.” 8The disciples said to him, “Rabbi, the Jews were just now seeking to stone you, and are you going there again?” 9Jesus answered, “Are there not twelve hours in the day? If anyone walks in the day, he does not stumble, because he sees the light of this world. 10But if anyone walks in the night, he stumbles, because the light is not in him.” 11After saying these things, he said to them, “Our friend Lazarus has fallen asleep, but I go to awaken him.” 12The disciples said to him, “Lord, if he has fallen asleep, he will recover.” 13Now Jesus had spoken of his death, but they thought that he meant taking rest in sleep. 14Then Jesus told them plainly, “Lazarus has died, 15and for your sake I am glad that I was not there, so that you may believe. But let us go to him.” 16So Thomas, called the Twin,[51] said to his fellow disciples, “Let us also go, that we may die with him.”
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-I Am the Resurrection and the Life
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-17Now when Jesus came, he found that Lazarus had already been in the tomb four days. 18Bethany was near Jerusalem, about two miles[52] off, 19and many of the Jews had come to Martha and Mary to console them concerning their brother. 20So when Martha heard that Jesus was coming, she went and met him, but Mary remained seated in the house. 21Martha said to Jesus, “Lord, if you had been here, my brother would not have died. 22But even now I know that whatever you ask from God, God will give you.” 23Jesus said to her, “Your brother will rise again.” 24Martha said to him, “I know that he will rise again in the resurrection on the last day.” 25Jesus said to her, “I am the resurrection and the life.[53] Whoever believes in me, though he die, yet shall he live, 26and everyone who lives and believes in me shall never die. Do you believe this?” 27She said to him, “Yes, Lord; I believe that you are the Christ, the Son of God, who is coming into the world.”
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-Jesus Weeps
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-28When she had said this, she went and called her sister Mary, saying in private, “The Teacher is here and is calling for you.” 29And when she heard it, she rose quickly and went to him. 30Now Jesus had not yet come into the village, but was still in the place where Martha had met him. 31When the Jews who were with her in the house, consoling her, saw Mary rise quickly and go out, they followed her, supposing that she was going to the tomb to weep there. 32Now when Mary came to where Jesus was and saw him, she fell at his feet, saying to him, “Lord, if you had been here, my brother would not have died.” 33When Jesus saw her weeping, and the Jews who had come with her also weeping, he was deeply moved in his spirit and greatly troubled. 34And he said, “Where have you laid him?” They said to him, “Lord, come and see.” 35Jesus wept. 36So the Jews said, “See how he loved him!” 37But some of them said, “Could not he who opened the eyes of the blind man also have kept this man from dying?”
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-Jesus Raises Lazarus
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-38Then Jesus, deeply moved again, came to the tomb. It was a cave, and a stone lay against it. 39Jesus said, “Take away the stone.” Martha, the sister of the dead man, said to him, “Lord, by this time there will be an odor, for he has been dead four days.” 40Jesus said to her, “Did I not tell you that if you believed you would see the glory of God?” 41So they took away the stone. And Jesus lifted up his eyes and said, “Father, I thank you that you have heard me. 42I knew that you always hear me, but I said this on account of the people standing around, that they may believe that you sent me.” 43When he had said these things, he cried out with a loud voice, “Lazarus, come out.” 44The man who had died came out, his hands and feet bound with linen strips, and his face wrapped with a cloth. Jesus said to them, “Unbind him, and let him go.”
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-The Plot to Kill Jesus
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-45Many of the Jews therefore, who had come with Mary and had seen what he did, believed in him, 46but some of them went to the Pharisees and told them what Jesus had done. 47So the chief priests and the Pharisees gathered the Council and said, “What are we to do? For this man performs many signs. 48If we let him go on like this, everyone will believe in him, and the Romans will come and take away both our place and our nation.” 49But one of them, Caiaphas, who was high priest that year, said to them, “You know nothing at all. 50Nor do you understand that it is better for you that one man should die for the people, not that the whole nation should perish.” 51He did not say this of his own accord, but being high priest that year he prophesied that Jesus would die for the nation, 52and not for the nation only, but also to gather into one the children of God who are scattered abroad. 53So from that day on they made plans to put him to death.
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-54Jesus therefore no longer walked openly among the Jews, but went from there to the region near the wilderness, to a town called Ephraim, and there he stayed with the disciples.
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-55Now the Passover of the Jews was at hand, and many went up from the country to Jerusalem before the Passover to purify themselves. 56They were looking for[54] Jesus and saying to one another as they stood in the temple, “What do you think? That he will not come to the feast at all?” 57Now the chief priests and the Pharisees had given orders that if anyone knew where he was, he should let them know, so that they might arrest him.
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-Mary Anoints Jesus at Bethany
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-12:1 Six days before the Passover, Jesus therefore came to Bethany, where Lazarus was, whom Jesus had raised from the dead. 2So they gave a dinner for him there. Martha served, and Lazarus was one of those reclining with him at table. 3Mary therefore took a pound[55] of expensive ointment made from pure nard, and anointed the feet of Jesus and wiped his feet with her hair. The house was filled with the fragrance of the perfume. 4But Judas Iscariot, one of his disciples (he who was about to betray him), said, 5“Why was this ointment not sold for three hundred denarii[56] and given to the poor?” 6He said this, not because he cared about the poor, but because he was a thief, and having charge of the moneybag he used to help himself to what was put into it. 7Jesus said, “Leave her alone, so that she may keep it[57] for the day of my burial. 8For the poor you always have with you, but you do not always have me.”
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-The Plot to Kill Lazarus
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-9When the large crowd of the Jews learned that Jesus[58] was there, they came, not only on account of him but also to see Lazarus, whom he had raised from the dead. 10So the chief priests made plans to put Lazarus to death as well, 11because on account of him many of the Jews were going away and believing in Jesus.
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-The Triumphal Entry
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-12The next day the large crowd that had come to the feast heard that Jesus was coming to Jerusalem. 13So they took branches of palm trees and went out to meet him, crying out, “Hosanna! Blessed is he who comes in the name of the Lord, even the King of Israel!” 14And Jesus found a young donkey and sat on it, just as it is written,
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-15“Fear not, daughter of Zion;
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-behold, your king is coming,
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-sitting on a donkey's colt!”
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-16His disciples did not understand these things at first, but when Jesus was glorified, then they remembered that these things had been written about him and had been done to him. 17The crowd that had been with him when he called Lazarus out of the tomb and raised him from the dead continued to bear witness. 18The reason why the crowd went to meet him was that they heard he had done this sign. 19So the Pharisees said to one another, “You see that you are gaining nothing. Look, the world has gone after him.”
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-Some Greeks Seek Jesus
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-20Now among those who went up to worship at the feast were some Greeks. 21So these came to Philip, who was from Bethsaida in Galilee, and asked him, “Sir, we wish to see Jesus.” 22Philip went and told Andrew; Andrew and Philip went and told Jesus. 23And Jesus answered them, “The hour has come for the Son of Man to be glorified. 24Truly, truly, I say to you, unless a grain of wheat falls into the earth and dies, it remains alone; but if it dies, it bears much fruit. 25Whoever loves his life loses it, and whoever hates his life in this world will keep it for eternal life. 26If anyone serves me, he must follow me; and where I am, there will my servant be also. If anyone serves me, the Father will honor him.
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-The Son of Man Must Be Lifted Up
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-27“Now is my soul troubled. And what shall I say? ‘Father, save me from this hour’? But for this purpose I have come to this hour. 28Father, glorify your name.” Then a voice came from heaven: “I have glorified it, and I will glorify it again.” 29The crowd that stood there and heard it said that it had thundered. Others said, “An angel has spoken to him.” 30Jesus answered, “This voice has come for your sake, not mine. 31Now is the judgment of this world; now will the ruler of this world be cast out. 32And I, when I am lifted up from the earth, will draw all people to myself.” 33He said this to show by what kind of death he was going to die. 34So the crowd answered him, “We have heard from the Law that the Christ remains forever. How can you say that the Son of Man must be lifted up? Who is this Son of Man?” 35So Jesus said to them, “The light is among you for a little while longer. Walk while you have the light, lest darkness overtake you. The one who walks in the darkness does not know where he is going. 36While you have the light, believe in the light, that you may become sons of light.”
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-The Unbelief of the People
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-When Jesus had said these things, he departed and hid himself from them. 37Though he had done so many signs before them, they still did not believe in him, 38so that the word spoken by the prophet Isaiah might be fulfilled:
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-“Lord, who has believed what he heard from us,
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-and to whom has the arm of the Lord been revealed?”
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-39Therefore they could not believe. For again Isaiah said,
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-40“He has blinded their eyes
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-and hardened their heart,
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-lest they see with their eyes,
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-and understand with their heart, and turn,
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-and I would heal them.”
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-41Isaiah said these things because he saw his glory and spoke of him. 42Nevertheless, many even of the authorities believed in him, but for fear of the Pharisees they did not confess it, so that they would not be put out of the synagogue; 43for they loved the glory that comes from man more than the glory that comes from God.
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-Jesus Came to Save the World
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-44And Jesus cried out and said, “Whoever believes in me, believes not in me but in him who sent me. 45And whoever sees me sees him who sent me. 46I have come into the world as light, so that whoever believes in me may not remain in darkness. 47If anyone hears my words and does not keep them, I do not judge him; for I did not come to judge the world but to save the world. 48The one who rejects me and does not receive my words has a judge; the word that I have spoken will judge him on the last day. 49For I have not spoken on my own authority, but the Father who sent me has himself given me a commandment—what to say and what to speak. 50And I know that his commandment is eternal life. What I say, therefore, I say as the Father has told me.”
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-Jesus Washes the Disciples' Feet
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-13:1 Now before the Feast of the Passover, when Jesus knew that his hour had come to depart out of this world to the Father, having loved his own who were in the world, he loved them to the end. 2During supper, when the devil had already put it into the heart of Judas Iscariot, Simon's son, to betray him, 3Jesus, knowing that the Father had given all things into his hands, and that he had come from God and was going back to God, 4rose from supper. He laid aside his outer garments, and taking a towel, tied it around his waist. 5Then he poured water into a basin and began to wash the disciples' feet and to wipe them with the towel that was wrapped around him. 6He came to Simon Peter, who said to him, “Lord, do you wash my feet?” 7Jesus answered him, “What I am doing you do not understand now, but afterward you will understand.” 8Peter said to him, “You shall never wash my feet.” Jesus answered him, “If I do not wash you, you have no share with me.” 9Simon Peter said to him, “Lord, not my feet only but also my hands and my head!” 10Jesus said to him, “The one who has bathed does not need to wash, except for his feet,[59] but is completely clean. And you[60] are clean, but not every one of you.” 11For he knew who was to betray him; that was why he said, “Not all of you are clean.”
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-12When he had washed their feet and put on his outer garments and resumed his place, he said to them, “Do you understand what I have done to you? 13You call me Teacher and Lord, and you are right, for so I am. 14If I then, your Lord and Teacher, have washed your feet, you also ought to wash one another's feet. 15For I have given you an example, that you also should do just as I have done to you. 16Truly, truly, I say to you, a servant[61] is not greater than his master, nor is a messenger greater than the one who sent him. 17If you know these things, blessed are you if you do them. 18I am not speaking of all of you; I know whom I have chosen. But the Scripture will be fulfilled,[62] ‘He who ate my bread has lifted his heel against me.’ 19I am telling you this now, before it takes place, that when it does take place you may believe that I am he. 20Truly, truly, I say to you, whoever receives the one I send receives me, and whoever receives me receives the one who sent me.”
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-One of You Will Betray Me
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-21After saying these things, Jesus was troubled in his spirit, and testified, “Truly, truly, I say to you, one of you will betray me.” 22The disciples looked at one another, uncertain of whom he spoke. 23One of his disciples, whom Jesus loved, was reclining at table close to Jesus,[63] 24so Simon Peter motioned to him to ask Jesus[64] of whom he was speaking. 25So that disciple, leaning back against Jesus, said to him, “Lord, who is it?” 26Jesus answered, “It is he to whom I will give this morsel of bread when I have dipped it.” So when he had dipped the morsel, he gave it to Judas, the son of Simon Iscariot. 27Then after he had taken the morsel, Satan entered into him. Jesus said to him, “What you are going to do, do quickly.” 28Now no one at the table knew why he said this to him. 29Some thought that, because Judas had the moneybag, Jesus was telling him, “Buy what we need for the feast,” or that he should give something to the poor. 30So, after receiving the morsel of bread, he immediately went out. And it was night.
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-A New Commandment
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-31When he had gone out, Jesus said, “Now is the Son of Man glorified, and God is glorified in him. 32If God is glorified in him, God will also glorify him in himself, and glorify him at once. 33Little children, yet a little while I am with you. You will seek me, and just as I said to the Jews, so now I also say to you, ‘Where I am going you cannot come.’ 34A new commandment I give to you, that you love one another: just as I have loved you, you also are to love one another. 35By this all people will know that you are my disciples, if you have love for one another.”
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-Jesus Foretells Peter's Denial
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-36Simon Peter said to him, “Lord, where are you going?” Jesus answered him, “Where I am going you cannot follow me now, but you will follow afterward.” 37Peter said to him, “Lord, why can I not follow you now? I will lay down my life for you.” 38Jesus answered, “Will you lay down your life for me? Truly, truly, I say to you, the rooster will not crow till you have denied me three times.
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-I Am the Way, and the Truth, and the Life
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-14:1 “Let not your hearts be troubled. Believe in God;[65] believe also in me. 2In my Father's house are many rooms. If it were not so, would I have told you that I go to prepare a place for you?[66] 3And if I go and prepare a place for you, I will come again and will take you to myself, that where I am you may be also. 4And you know the way to where I am going.”[67] 5Thomas said to him, “Lord, we do not know where you are going. How can we know the way?” 6Jesus said to him, “I am the way, and the truth, and the life. No one comes to the Father except through me. 7If you had known me, you would have known my Father also.[68] From now on you do know him and have seen him.”
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-8Philip said to him, “Lord, show us the Father, and it is enough for us.” 9Jesus said to him, “Have I been with you so long, and you still do not know me, Philip? Whoever has seen me has seen the Father. How can you say, ‘Show us the Father’? 10Do you not believe that I am in the Father and the Father is in me? The words that I say to you I do not speak on my own authority, but the Father who dwells in me does his works. 11Believe me that I am in the Father and the Father is in me, or else believe on account of the works themselves.
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-12“Truly, truly, I say to you, whoever believes in me will also do the works that I do; and greater works than these will he do, because I am going to the Father. 13Whatever you ask in my name, this I will do, that the Father may be glorified in the Son. 14If you ask me[69] anything in my name, I will do it.
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-Jesus Promises the Holy Spirit
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-15“If you love me, you will keep my commandments. 16And I will ask the Father, and he will give you another Helper,[70] to be with you forever, 17even the Spirit of truth, whom the world cannot receive, because it neither sees him nor knows him. You know him, for he dwells with you and will be in you.
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-18“I will not leave you as orphans; I will come to you. 19Yet a little while and the world will see me no more, but you will see me. Because I live, you also will live. 20In that day you will know that I am in my Father, and you in me, and I in you. 21Whoever has my commandments and keeps them, he it is who loves me. And he who loves me will be loved by my Father, and I will love him and manifest myself to him.” 22Judas (not Iscariot) said to him, “Lord, how is it that you will manifest yourself to us, and not to the world?” 23Jesus answered him, “If anyone loves me, he will keep my word, and my Father will love him, and we will come to him and make our home with him. 24Whoever does not love me does not keep my words. And the word that you hear is not mine but the Father's who sent me.
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-25“These things I have spoken to you while I am still with you. 26But the Helper, the Holy Spirit, whom the Father will send in my name, he will teach you all things and bring to your remembrance all that I have said to you. 27Peace I leave with you; my peace I give to you. Not as the world gives do I give to you. Let not your hearts be troubled, neither let them be afraid. 28You heard me say to you, ‘I am going away, and I will come to you.’ If you loved me, you would have rejoiced, because I am going to the Father, for the Father is greater than I. 29And now I have told you before it takes place, so that when it does take place you may believe. 30I will no longer talk much with you, for the ruler of this world is coming. He has no claim on me, 31but I do as the Father has commanded me, so that the world may know that I love the Father. Rise, let us go from here.
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-I Am the True Vine
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-15:1 “I am the true vine, and my Father is the vinedresser. 2Every branch in me that does not bear fruit he takes away, and every branch that does bear fruit he prunes, that it may bear more fruit. 3Already you are clean because of the word that I have spoken to you. 4Abide in me, and I in you. As the branch cannot bear fruit by itself, unless it abides in the vine, neither can you, unless you abide in me. 5I am the vine; you are the branches. Whoever abides in me and I in him, he it is that bears much fruit, for apart from me you can do nothing. 6If anyone does not abide in me he is thrown away like a branch and withers; and the branches are gathered, thrown into the fire, and burned. 7If you abide in me, and my words abide in you, ask whatever you wish, and it will be done for you. 8By this my Father is glorified, that you bear much fruit and so prove to be my disciples. 9As the Father has loved me, so have I loved you. Abide in my love. 10If you keep my commandments, you will abide in my love, just as I have kept my Father's commandments and abide in his love. 11These things I have spoken to you, that my joy may be in you, and that your joy may be full.
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-12“This is my commandment, that you love one another as I have loved you. 13Greater love has no one than this, that someone lay down his life for his friends. 14You are my friends if you do what I command you. 15No longer do I call you servants,[71] for the servant[72] does not know what his master is doing; but I have called you friends, for all that I have heard from my Father I have made known to you. 16You did not choose me, but I chose you and appointed you that you should go and bear fruit and that your fruit should abide, so that whatever you ask the Father in my name, he may give it to you. 17These things I command you, so that you will love one another.
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-The Hatred of the World
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-18“If the world hates you, know that it has hated me before it hated you. 19If you were of the world, the world would love you as its own; but because you are not of the world, but I chose you out of the world, therefore the world hates you. 20Remember the word that I said to you: ‘A servant is not greater than his master.’ If they persecuted me, they will also persecute you. If they kept my word, they will also keep yours. 21But all these things they will do to you on account of my name, because they do not know him who sent me. 22If I had not come and spoken to them, they would not have been guilty of sin,[73] but now they have no excuse for their sin. 23Whoever hates me hates my Father also. 24If I had not done among them the works that no one else did, they would not be guilty of sin, but now they have seen and hated both me and my Father. 25But the word that is written in their Law must be fulfilled: ‘They hated me without a cause.’
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-26“But when the Helper comes, whom I will send to you from the Father, the Spirit of truth, who proceeds from the Father, he will bear witness about me. 27And you also will bear witness, because you have been with me from the beginning.
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-16:1 “I have said all these things to you to keep you from falling away. 2They will put you out of the synagogues. Indeed, the hour is coming when whoever kills you will think he is offering service to God. 3And they will do these things because they have not known the Father, nor me. 4But I have said these things to you, that when their hour comes you may remember that I told them to you.
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-The Work of the Holy Spirit
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-“I did not say these things to you from the beginning, because I was with you. 5But now I am going to him who sent me, and none of you asks me, ‘Where are you going?’ 6But because I have said these things to you, sorrow has filled your heart. 7Nevertheless, I tell you the truth: it is to your advantage that I go away, for if I do not go away, the Helper will not come to you. But if I go, I will send him to you. 8And when he comes, he will convict the world concerning sin and righteousness and judgment: 9concerning sin, because they do not believe in me; 10concerning righteousness, because I go to the Father, and you will see me no longer; 11concerning judgment, because the ruler of this world is judged.
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-12“I still have many things to say to you, but you cannot bear them now. 13When the Spirit of truth comes, he will guide you into all the truth, for he will not speak on his own authority, but whatever he hears he will speak, and he will declare to you the things that are to come. 14He will glorify me, for he will take what is mine and declare it to you. 15All that the Father has is mine; therefore I said that he will take what is mine and declare it to you.
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-Your Sorrow Will Turn into Joy
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-16“A little while, and you will see me no longer; and again a little while, and you will see me.” 17So some of his disciples said to one another, “What is this that he says to us, ‘A little while, and you will not see me, and again a little while, and you will see me’; and, ‘because I am going to the Father’?” 18So they were saying, “What does he mean by ‘a little while’? We do not know what he is talking about.” 19Jesus knew that they wanted to ask him, so he said to them, “Is this what you are asking yourselves, what I meant by saying, ‘A little while and you will not see me, and again a little while and you will see me’? 20Truly, truly, I say to you, you will weep and lament, but the world will rejoice. You will be sorrowful, but your sorrow will turn into joy. 21When a woman is giving birth, she has sorrow because her hour has come, but when she has delivered the baby, she no longer remembers the anguish, for joy that a human being has been born into the world. 22So also you have sorrow now, but I will see you again, and your hearts will rejoice, and no one will take your joy from you. 23In that day you will ask nothing of me. Truly, truly, I say to you, whatever you ask of the Father in my name, he will give it to you. 24Until now you have asked nothing in my name. Ask, and you will receive, that your joy may be full.
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-I Have Overcome the World
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-25“I have said these things to you in figures of speech. The hour is coming when I will no longer speak to you in figures of speech but will tell you plainly about the Father. 26In that day you will ask in my name, and I do not say to you that I will ask the Father on your behalf; 27for the Father himself loves you, because you have loved me and have believed that I came from God.[74] 28I came from the Father and have come into the world, and now I am leaving the world and going to the Father.”
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-29His disciples said, “Ah, now you are speaking plainly and not using figurative speech! 30Now we know that you know all things and do not need anyone to question you; this is why we believe that you came from God.” 31Jesus answered them, “Do you now believe? 32Behold, the hour is coming, indeed it has come, when you will be scattered, each to his own home, and will leave me alone. Yet I am not alone, for the Father is with me. 33I have said these things to you, that in me you may have peace. In the world you will have tribulation. But take heart; I have overcome the world.”
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-The High Priestly Prayer
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-17:1 When Jesus had spoken these words, he lifted up his eyes to heaven, and said, “Father, the hour has come; glorify your Son that the Son may glorify you, 2since you have given him authority over all flesh, to give eternal life to all whom you have given him. 3And this is eternal life, that they know you the only true God, and Jesus Christ whom you have sent. 4I glorified you on earth, having accomplished the work that you gave me to do. 5And now, Father, glorify me in your own presence with the glory that I had with you before the world existed.
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-6“I have manifested your name to the people whom you gave me out of the world. Yours they were, and you gave them to me, and they have kept your word. 7Now they know that everything that you have given me is from you. 8For I have given them the words that you gave me, and they have received them and have come to know in truth that I came from you; and they have believed that you sent me. 9I am praying for them. I am not praying for the world but for those whom you have given me, for they are yours. 10All mine are yours, and yours are mine, and I am glorified in them. 11And I am no longer in the world, but they are in the world, and I am coming to you. Holy Father, keep them in your name, which you have given me, that they may be one, even as we are one. 12While I was with them, I kept them in your name, which you have given me. I have guarded them, and not one of them has been lost except the son of destruction, that the Scripture might be fulfilled. 13But now I am coming to you, and these things I speak in the world, that they may have my joy fulfilled in themselves. 14I have given them your word, and the world has hated them because they are not of the world, just as I am not of the world. 15I do not ask that you take them out of the world, but that you keep them from the evil one.[75] 16They are not of the world, just as I am not of the world. 17Sanctify them[76] in the truth; your word is truth. 18As you sent me into the world, so I have sent them into the world. 19And for their sake I consecrate myself,[77] that they also may be sanctified[78] in truth.
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-20“I do not ask for these only, but also for those who will believe in me through their word, 21that they may all be one, just as you, Father, are in me, and I in you, that they also may be in us, so that the world may believe that you have sent me. 22The glory that you have given me I have given to them, that they may be one even as we are one, 23I in them and you in me, that they may become perfectly one, so that the world may know that you sent me and loved them even as you loved me. 24Father, I desire that they also, whom you have given me, may be with me where I am, to see my glory that you have given me because you loved me before the foundation of the world. 25O righteous Father, even though the world does not know you, I know you, and these know that you have sent me. 26I made known to them your name, and I will continue to make it known, that the love with which you have loved me may be in them, and I in them.”
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-Betrayal and Arrest of Jesus
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-18:1 When Jesus had spoken these words, he went out with his disciples across the Kidron Valley, where there was a garden, which he and his disciples entered. 2Now Judas, who betrayed him, also knew the place, for Jesus often met there with his disciples. 3So Judas, having procured a band of soldiers and some officers from the chief priests and the Pharisees, went there with lanterns and torches and weapons. 4Then Jesus, knowing all that would happen to him, came forward and said to them, “Whom do you seek?” 5They answered him, “Jesus of Nazareth.” Jesus said to them, “I am he.”[79] Judas, who betrayed him, was standing with them. 6When Jesus[80] said to them, “I am he,” they drew back and fell to the ground. 7So he asked them again, “Whom do you seek?” And they said, “Jesus of Nazareth.” 8Jesus answered, “I told you that I am he. So, if you seek me, let these men go.” 9This was to fulfill the word that he had spoken: “Of those whom you gave me I have lost not one.” 10Then Simon Peter, having a sword, drew it and struck the high priest's servant[81] and cut off his right ear. (The servant's name was Malchus.) 11So Jesus said to Peter, “Put your sword into its sheath; shall I not drink the cup that the Father has given me?”
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-Jesus Faces Annas and Caiaphas
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-12So the band of soldiers and their captain and the officers of the Jews arrested Jesus and bound him. 13First they led him to Annas, for he was the father-in-law of Caiaphas, who was high priest that year. 14It was Caiaphas who had advised the Jews that it would be expedient that one man should die for the people.
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-Peter Denies Jesus
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-15Simon Peter followed Jesus, and so did another disciple. Since that disciple was known to the high priest, he entered with Jesus into the court of the high priest, 16but Peter stood outside at the door. So the other disciple, who was known to the high priest, went out and spoke to the servant girl who kept watch at the door, and brought Peter in. 17The servant girl at the door said to Peter, “You also are not one of this man's disciples, are you?” He said, “I am not.” 18Now the servants[82] and officers had made a charcoal fire, because it was cold, and they were standing and warming themselves. Peter also was with them, standing and warming himself.
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-The High Priest Questions Jesus
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-19The high priest then questioned Jesus about his disciples and his teaching. 20Jesus answered him, “I have spoken openly to the world. I have always taught in synagogues and in the temple, where all Jews come together. I have said nothing in secret. 21Why do you ask me? Ask those who have heard me what I said to them; they know what I said.” 22When he had said these things, one of the officers standing by struck Jesus with his hand, saying, “Is that how you answer the high priest?” 23Jesus answered him, “If what I said is wrong, bear witness about the wrong; but if what I said is right, why do you strike me?” 24Annas then sent him bound to Caiaphas the high priest.
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-Peter Denies Jesus Again
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-25Now Simon Peter was standing and warming himself. So they said to him, “You also are not one of his disciples, are you?” He denied it and said, “I am not.” 26One of the servants of the high priest, a relative of the man whose ear Peter had cut off, asked, “Did I not see you in the garden with him?” 27Peter again denied it, and at once a rooster crowed.
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-Jesus Before Pilate
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-28Then they led Jesus from the house of Caiaphas to the governor's headquarters.[83] It was early morning. They themselves did not enter the governor's headquarters, so that they would not be defiled, but could eat the Passover. 29So Pilate went outside to them and said, “What accusation do you bring against this man?” 30They answered him, “If this man were not doing evil, we would not have delivered him over to you.” 31Pilate said to them, “Take him yourselves and judge him by your own law.” The Jews said to him, “It is not lawful for us to put anyone to death.” 32This was to fulfill the word that Jesus had spoken to show by what kind of death he was going to die.
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-My Kingdom Is Not of This World
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-33So Pilate entered his headquarters again and called Jesus and said to him, “Are you the King of the Jews?” 34Jesus answered, “Do you say this of your own accord, or did others say it to you about me?” 35Pilate answered, “Am I a Jew? Your own nation and the chief priests have delivered you over to me. What have you done?” 36Jesus answered, “My kingdom is not of this world. If my kingdom were of this world, my servants would have been fighting, that I might not be delivered over to the Jews. But my kingdom is not from the world.” 37Then Pilate said to him, “So you are a king?” Jesus answered, “You say that I am a king. For this purpose I was born and for this purpose I have come into the world—to bear witness to the truth. Everyone who is of the truth listens to my voice.” 38Pilate said to him, “What is truth?”
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-After he had said this, he went back outside to the Jews and told them, “I find no guilt in him. 39But you have a custom that I should release one man for you at the Passover. So do you want me to release to you the King of the Jews?” 40They cried out again, “Not this man, but Barabbas!” Now Barabbas was a robber.[84]
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-Jesus Delivered to Be Crucified
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-19:1 Then Pilate took Jesus and flogged him. 2And the soldiers twisted together a crown of thorns and put it on his head and arrayed him in a purple robe. 3They came up to him, saying, “Hail, King of the Jews!” and struck him with their hands. 4Pilate went out again and said to them, “See, I am bringing him out to you that you may know that I find no guilt in him.” 5So Jesus came out, wearing the crown of thorns and the purple robe. Pilate said to them, “Behold the man!” 6When the chief priests and the officers saw him, they cried out, “Crucify him, crucify him!” Pilate said to them, “Take him yourselves and crucify him, for I find no guilt in him.” 7The Jews answered him, “We have a law, and according to that law he ought to die because he has made himself the Son of God.” 8When Pilate heard this statement, he was even more afraid. 9He entered his headquarters again and said to Jesus, “Where are you from?” But Jesus gave him no answer. 10So Pilate said to him, “You will not speak to me? Do you not know that I have authority to release you and authority to crucify you?” 11Jesus answered him, “You would have no authority over me at all unless it had been given you from above. Therefore he who delivered me over to you has the greater sin.”
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-12From then on Pilate sought to release him, but the Jews cried out, “If you release this man, you are not Caesar's friend. Everyone who makes himself a king opposes Caesar.” 13So when Pilate heard these words, he brought Jesus out and sat down on the judgment seat at a place called The Stone Pavement, and in Aramaic[85] Gabbatha. 14Now it was the day of Preparation of the Passover. It was about the sixth hour.[86] He said to the Jews, “Behold your King!” 15They cried out, “Away with him, away with him, crucify him!” Pilate said to them, “Shall I crucify your King?” The chief priests answered, “We have no king but Caesar.” 16So he delivered him over to them to be crucified.
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-The Crucifixion
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-So they took Jesus, 17and he went out, bearing his own cross, to the place called The Place of a Skull, which in Aramaic is called Golgotha. 18There they crucified him, and with him two others, one on either side, and Jesus between them. 19Pilate also wrote an inscription and put it on the cross. It read, “Jesus of Nazareth, the King of the Jews.” 20Many of the Jews read this inscription, for the place where Jesus was crucified was near the city, and it was written in Aramaic, in Latin, and in Greek. 21So the chief priests of the Jews said to Pilate, “Do not write, ‘The King of the Jews,’ but rather, ‘This man said, I am King of the Jews.’” 22Pilate answered, “What I have written I have written.”
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-23When the soldiers had crucified Jesus, they took his garments and divided them into four parts, one part for each soldier; also his tunic.[87] But the tunic was seamless, woven in one piece from top to bottom, 24so they said to one another, “Let us not tear it, but cast lots for it to see whose it shall be.” This was to fulfill the Scripture which says,
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-“They divided my garments among them,
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-and for my clothing they cast lots.”
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-So the soldiers did these things, 25but standing by the cross of Jesus were his mother and his mother's sister, Mary the wife of Clopas, and Mary Magdalene. 26When Jesus saw his mother and the disciple whom he loved standing nearby, he said to his mother, “Woman, behold, your son!” 27Then he said to the disciple, “Behold, your mother!” And from that hour the disciple took her to his own home.
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-The Death of Jesus
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-28After this, Jesus, knowing that all was now finished, said (to fulfill the Scripture), “I thirst.” 29A jar full of sour wine stood there, so they put a sponge full of the sour wine on a hyssop branch and held it to his mouth. 30When Jesus had received the sour wine, he said, “It is finished,” and he bowed his head and gave up his spirit.
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-Jesus' Side Is Pierced
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-31Since it was the day of Preparation, and so that the bodies would not remain on the cross on the Sabbath (for that Sabbath was a high day), the Jews asked Pilate that their legs might be broken and that they might be taken away. 32So the soldiers came and broke the legs of the first, and of the other who had been crucified with him. 33But when they came to Jesus and saw that he was already dead, they did not break his legs. 34But one of the soldiers pierced his side with a spear, and at once there came out blood and water. 35He who saw it has borne witness—his testimony is true, and he knows that he is telling the truth—that you also may believe. 36For these things took place that the Scripture might be fulfilled: “Not one of his bones will be broken.” 37And again another Scripture says, “They will look on him whom they have pierced.”
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-Jesus Is Buried
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-38After these things Joseph of Arimathea, who was a disciple of Jesus, but secretly for fear of the Jews, asked Pilate that he might take away the body of Jesus, and Pilate gave him permission. So he came and took away his body. 39Nicodemus also, who earlier had come to Jesus[88] by night, came bringing a mixture of myrrh and aloes, about seventy-five pounds[89] in weight. 40So they took the body of Jesus and bound it in linen cloths with the spices, as is the burial custom of the Jews. 41Now in the place where he was crucified there was a garden, and in the garden a new tomb in which no one had yet been laid. 42So because of the Jewish day of Preparation, since the tomb was close at hand, they laid Jesus there.
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-The Resurrection
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-20:1 Now on the first day of the week Mary Magdalene came to the tomb early, while it was still dark, and saw that the stone had been taken away from the tomb. 2So she ran and went to Simon Peter and the other disciple, the one whom Jesus loved, and said to them, “They have taken the Lord out of the tomb, and we do not know where they have laid him.” 3So Peter went out with the other disciple, and they were going toward the tomb. 4Both of them were running together, but the other disciple outran Peter and reached the tomb first. 5And stooping to look in, he saw the linen cloths lying there, but he did not go in. 6Then Simon Peter came, following him, and went into the tomb. He saw the linen cloths lying there, 7and the face cloth, which had been on Jesus'[90] head, not lying with the linen cloths but folded up in a place by itself. 8Then the other disciple, who had reached the tomb first, also went in, and he saw and believed; 9for as yet they did not understand the Scripture, that he must rise from the dead. 10Then the disciples went back to their homes.
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-Jesus Appears to Mary Magdalene
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-11But Mary stood weeping outside the tomb, and as she wept she stooped to look into the tomb. 12And she saw two angels in white, sitting where the body of Jesus had lain, one at the head and one at the feet. 13They said to her, “Woman, why are you weeping?” She said to them, “They have taken away my Lord, and I do not know where they have laid him.” 14Having said this, she turned around and saw Jesus standing, but she did not know that it was Jesus. 15Jesus said to her, “Woman, why are you weeping? Whom are you seeking?” Supposing him to be the gardener, she said to him, “Sir, if you have carried him away, tell me where you have laid him, and I will take him away.” 16Jesus said to her, “Mary.” She turned and said to him in Aramaic,[91] “Rabboni!” (which means Teacher). 17Jesus said to her, “Do not cling to me, for I have not yet ascended to the Father; but go to my brothers and say to them, ‘I am ascending to my Father and your Father, to my God and your God.’” 18Mary Magdalene went and announced to the disciples, “I have seen the Lord”—and that he had said these things to her.
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-Jesus Appears to the Disciples
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-19On the evening of that day, the first day of the week, the doors being locked where the disciples were for fear of the Jews, Jesus came and stood among them and said to them, “Peace be with you.” 20When he had said this, he showed them his hands and his side. Then the disciples were glad when they saw the Lord. 21Jesus said to them again, “Peace be with you. As the Father has sent me, even so I am sending you.” 22And when he had said this, he breathed on them and said to them, “Receive the Holy Spirit. 23If you forgive the sins of any, they are forgiven them; if you withhold forgiveness from any, it is withheld.”
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-Jesus and Thomas
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-
-24Now Thomas, one of the Twelve, called the Twin,[92] was not with them when Jesus came. 25So the other disciples told him, “We have seen the Lord.” But he said to them, “Unless I see in his hands the mark of the nails, and place my finger into the mark of the nails, and place my hand into his side, I will never believe.”
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-26Eight days later, his disciples were inside again, and Thomas was with them. Although the doors were locked, Jesus came and stood among them and said, “Peace be with you.” 27Then he said to Thomas, “Put your finger here, and see my hands; and put out your hand, and place it in my side. Do not disbelieve, but believe.” 28Thomas answered him, “My Lord and my God!” 29Jesus said to him, “Have you believed because you have seen me? Blessed are those who have not seen and yet have believed.”
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-
-The Purpose of This Book
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-
-30Now Jesus did many other signs in the presence of the disciples, which are not written in this book; 31but these are written so that you may believe that Jesus is the Christ, the Son of God, and that by believing you may have life in his name.
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-Jesus Appears to Seven Disciples
-
-
-21:1 After this Jesus revealed himself again to the disciples by the Sea of Tiberias, and he revealed himself in this way. 2Simon Peter, Thomas (called the Twin), Nathanael of Cana in Galilee, the sons of Zebedee, and two others of his disciples were together. 3Simon Peter said to them, “I am going fishing.” They said to him, “We will go with you.” They went out and got into the boat, but that night they caught nothing.
-
-4Just as day was breaking, Jesus stood on the shore; yet the disciples did not know that it was Jesus. 5Jesus said to them, “Children, do you have any fish?” They answered him, “No.” 6He said to them, “Cast the net on the right side of the boat, and you will find some.” So they cast it, and now they were not able to haul it in, because of the quantity of fish. 7That disciple whom Jesus loved therefore said to Peter, “It is the Lord!” When Simon Peter heard that it was the Lord, he put on his outer garment, for he was stripped for work, and threw himself into the sea. 8The other disciples came in the boat, dragging the net full of fish, for they were not far from the land, but about a hundred yards[93] off.
-
-9When they got out on land, they saw a charcoal fire in place, with fish laid out on it, and bread. 10Jesus said to them, “Bring some of the fish that you have just caught.” 11So Simon Peter went aboard and hauled the net ashore, full of large fish, 153 of them. And although there were so many, the net was not torn. 12Jesus said to them, “Come and have breakfast.” Now none of the disciples dared ask him, “Who are you?” They knew it was the Lord. 13Jesus came and took the bread and gave it to them, and so with the fish. 14This was now the third time that Jesus was revealed to the disciples after he was raised from the dead.
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-Jesus and Peter
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-15When they had finished breakfast, Jesus said to Simon Peter, “Simon, son of John, do you love me more than these?” He said to him, “Yes, Lord; you know that I love you.” He said to him, “Feed my lambs.” 16He said to him a second time, “Simon, son of John, do you love me?” He said to him, “Yes, Lord; you know that I love you.” He said to him, “Tend my sheep.” 17He said to him the third time, “Simon, son of John, do you love me?” Peter was grieved because he said to him the third time, “Do you love me?” and he said to him, “Lord, you know everything; you know that I love you.” Jesus said to him, “Feed my sheep. 18Truly, truly, I say to you, when you were young, you used to dress yourself and walk wherever you wanted, but when you are old, you will stretch out your hands, and another will dress you and carry you where you do not want to go.” 19(This he said to show by what kind of death he was to glorify God.) And after saying this he said to him, “Follow me.”
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-Jesus and the Beloved Apostle
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-20Peter turned and saw the disciple whom Jesus loved following them, the one who had been reclining at table close to him and had said, “Lord, who is it that is going to betray you?” 21When Peter saw him, he said to Jesus, “Lord, what about this man?” 22Jesus said to him, “If it is my will that he remain until I come, what is that to you? You follow me!” 23So the saying spread abroad among the brothers[94] that this disciple was not to die; yet Jesus did not say to him that he was not to die, but, “If it is my will that he remain until I come, what is that to you?”
-
-24This is the disciple who is bearing witness about these things, and who has written these things, and we know that his testimony is true.
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-25Now there are also many other things that Jesus did. Were every one of them to be written, I suppose that the world itself could not contain the books that would be written.
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-Footnotes
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-
-[1] 1:4 Or was not any thing made. That which has been made was life in him
-
-[2] 1:11 Greek to his own things; that is, to his own domain, or to his own people
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-[3] 1:11 People is implied in Greek
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-[4] 1:18 Or the only One, who is God; some manuscripts the only Son
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-[5] 1:18 Greek in the bosom of the Father
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-[6] 1:23 Or crying out, ‘In the wilderness make straight
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-[7] 1:39 That is, about 4 P.M.
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-[8] 1:40 Greek him
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-[9] 1:42 Cephas and Peter are from the word for rock in Aramaic and Greek, respectively
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-[10] 1:51 The Greek for you is plural; twice in this verse
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-[11] 2:6 Greek two or three measures (metretas); a metretes was about 10 gallons or 35 liters
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-[12] 2:12 Or brothers and sisters. The plural Greek word adelphoi (translated “brothers”) refers to siblings in a family. In New Testament usage, depending on the context, adelphoi may refer either to brothers or to brothers and sisters
-
-[13] 3:2 Greek him
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-[14] 3:3 Or from above; the Greek is purposely ambiguous and can mean both again and from above; also verse 7
-
-[15] 3:6 The same Greek word means both wind and spirit
-
-[16] 3:7 The Greek for you is plural here
-
-[17] 3:8 The same Greek word means both wind and spirit
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-[18] 3:11 The Greek for you is plural here; also four times in verse 12
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-[19] 3:13 Some manuscripts add who is in heaven
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-[20] 3:15 Some interpreters hold that the quotation ends at verse 15
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-[21] 3:16 Or For this is how God loved the world
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-[22] 3:30 Some interpreters hold that the quotation continues through verse 36
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-[23] 4:6 That is, about noon
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-[24] 4:14 Greek forever
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-[25] 4:51 Greek bondservants
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-[26] 4:52 That is, at 1 P.M.
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-[27] 5:2 Or Hebrew
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-[28] 5:2 Some manuscripts Bethsaida
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-[29] 5:3 Some manuscripts insert, wholly or in part, waiting for the moving of the water; 4for an angel of the Lord went down at certain seasons into the pool, and stirred the water: whoever stepped in first after the stirring of the water was healed of whatever disease he had
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-[30] 5:19 Greek he
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-[31] 6:7 A denarius was a day's wage for a laborer
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-[32] 6:19 Greek twenty-five or thirty stadia; a stadion was about 607 feet or 185 meters
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-[33] 6:58 Greek lacks the bread
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-[34] 6:59 Greek He
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-[35] 7:1 Or Judeans
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-[36] 7:3 Or brothers and sisters; also verses 5, 10
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-[37] 7:8 Some manuscripts add yet
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-[38] 7:15 Or this man knows his letters
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-[39] 7:17 Greek his
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-[40] 7:38 Or let him come to me, and let him who believes in me drink. As
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-[41] 7:53 Some manuscripts do not include 7:53–8:11; others add the passage here or after 7:36 or after 21:25 or after Luke 21:38, with variations in the text
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-[42] 8:16 Some manuscripts he
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-[43] 8:34 Greek bondservant; also verse 35
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-[44] 8:54 Some manuscripts your God
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-[45] 8:57 Some manuscripts has Abraham seen you?
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-[46] 9:22 Greek him
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-[47] 9:35 Some manuscripts the Son of God
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-[48] 9:41 Greek you would not have sin
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-[49] 10:29 Some manuscripts What my Father has given to me
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-[50] 11:6 Greek he; also verse 17
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-[51] 11:16 Greek Didymus
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-[52] 11:18 Greek fifteen stadia; a stadion was about 607 feet or 185 meters
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-[53] 11:25 Some manuscripts omit and the life
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-[54] 11:56 Greek were seeking for
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-[55] 12:3 Greek litra; a litra (or Roman pound) was equal to about 11 1/2 ounces or 327 grams
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-[56] 12:5 A denarius was a day's wage for a laborer
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-[57] 12:7 Or Leave her alone; she intended to keep it
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-[58] 12:9 Greek he
-
-[59] 13:10 Some manuscripts omit except for his feet
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-[60] 13:10 The Greek words for you in this verse are plural
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-[61] 13:16 Greek bondservant
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-[62] 13:18 Greek But in order that the Scripture may be fulfilled
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-[63] 13:23 Greek in the bosom of Jesus
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-[64] 13:24 Greek lacks Jesus
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-[65] 14:1 Or You believe in God
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-[66] 14:2 Or In my Father's house are many rooms; if it were not so, I would have told you; for I go to prepare a place for you
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-[67] 14:4 Some manuscripts Where I am going you know, and the way you know
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-[68] 14:7 Or If you know me, you will know my Father also, or If you have known me, you will know my Father also
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-[69] 14:14 Some manuscripts omit me
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-[70] 14:16 Or Advocate, or Counselor; also 14:26; 15:26; 16:7
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-[71] 15:15 Greek bondservants
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-[72] 15:15 Greek bondservant; also verse 20
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-[73] 15:22 Greek they would not have sin; also verse 24
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-[74] 16:27 Some manuscripts from the Father
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-[75] 17:15 Or from evil
-
-[76] 17:17 Greek Set them apart (for holy service to God)
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-[77] 17:19 Or I sanctify myself; or I set myself apart (for holy service to God)
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-[78] 17:19 Greek may be set apart (for holy service to God)
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-[79] 18:5 Greek I am; also verses 6, 8
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-[80] 18:6 Greek he
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-[81] 18:10 Greek bondservant; twice in this verse
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-[82] 18:18 Greek bondservants; also verse 26
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-[83] 18:28 Greek the praetorium
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-[84] 18:40 Or an insurrectionist
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-[85] 19:13 Or Hebrew; also verses 17, 20
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-[86] 19:14 That is, about noon
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-[87] 19:23 Greek chiton, a long garment worn under the cloak next to the skin
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-[88] 19:39 Greek him
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-[89] 19:39 Greek one hundred litras; a litra (or Roman pound) was equal to about 11 1/2 ounces or 327 grams
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-[90] 20:7 Greek his
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-[91] 20:16 Or Hebrew
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-[92] 20:24 Greek Didymus
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-[93] 21:8 Greek two hundred cubits; a cubit was about 18 inches or 45 centimeters
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-[94] 21:23 Or brothers and sisters
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-
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-
-
-ACTS
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-
-Chapter 1
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-Chapter 2
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-Chapter 3
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-Chapter 4
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-Chapter 5
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-Chapter 6
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-Chapter 7
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-Chapter 8
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-Chapter 9
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-Chapter 10
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-Chapter 11
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-Chapter 12
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-Chapter 13
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-Chapter 14
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-Chapter 15
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-Chapter 16
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-Chapter 17
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-Chapter 18
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-Chapter 19
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-Chapter 20
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-Chapter 21
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-Chapter 22
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-Chapter 23
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-Chapter 24
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-Chapter 25
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-Chapter 26
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-Chapter 27
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-Chapter 28
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-
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-
-
-The Promise of the Holy Spirit
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-
-1:1 In the first book, O Theophilus, I have dealt with all that Jesus began to do and teach, 2until the day when he was taken up, after he had given commands through the Holy Spirit to the apostles whom he had chosen. 3He presented himself alive to them after his suffering by many proofs, appearing to them during forty days and speaking about the kingdom of God.
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-4And while staying[1] with them he ordered them not to depart from Jerusalem, but to wait for the promise of the Father, which, he said, “you heard from me; 5for John baptized with water, but you will be baptized with[2] the Holy Spirit not many days from now.”
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-
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-
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-The Ascension
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-
-6So when they had come together, they asked him, “Lord, will you at this time restore the kingdom to Israel?” 7He said to them, “It is not for you to know times or seasons that the Father has fixed by his own authority. 8But you will receive power when the Holy Spirit has come upon you, and you will be my witnesses in Jerusalem and in all Judea and Samaria, and to the end of the earth.” 9And when he had said these things, as they were looking on, he was lifted up, and a cloud took him out of their sight. 10And while they were gazing into heaven as he went, behold, two men stood by them in white robes, 11and said, “Men of Galilee, why do you stand looking into heaven? This Jesus, who was taken up from you into heaven, will come in the same way as you saw him go into heaven.”
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-
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-Matthias Chosen to Replace Judas
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-12Then they returned to Jerusalem from the mount called Olivet, which is near Jerusalem, a Sabbath day's journey away. 13And when they had entered, they went up to the upper room, where they were staying, Peter and John and James and Andrew, Philip and Thomas, Bartholomew and Matthew, James the son of Alphaeus and Simon the Zealot and Judas the son of James. 14All these with one accord were devoting themselves to prayer, together with the women and Mary the mother of Jesus, and his brothers.[3]
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-15In those days Peter stood up among the brothers (the company of persons was in all about 120) and said, 16“Brothers, the Scripture had to be fulfilled, which the Holy Spirit spoke beforehand by the mouth of David concerning Judas, who became a guide to those who arrested Jesus. 17For he was numbered among us and was allotted his share in this ministry.” 18(Now this man acquired a field with the reward of his wickedness, and falling headlong[4] he burst open in the middle and all his bowels gushed out. 19And it became known to all the inhabitants of Jerusalem, so that the field was called in their own language Akeldama, that is, Field of Blood.) 20“For it is written in the Book of Psalms,
-
-“‘May his camp become desolate,
-
-and let there be no one to dwell in it’;
-
-and
-
-“‘Let another take his office.’
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-21So one of the men who have accompanied us during all the time that the Lord Jesus went in and out among us, 22beginning from the baptism of John until the day when he was taken up from us—one of these men must become with us a witness to his resurrection.” 23And they put forward two, Joseph called Barsabbas, who was also called Justus, and Matthias. 24And they prayed and said, “You, Lord, who know the hearts of all, show which one of these two you have chosen 25to take the place in this ministry and apostleship from which Judas turned aside to go to his own place.” 26And they cast lots for them, and the lot fell on Matthias, and he was numbered with the eleven apostles.
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-
-
-
-
-The Coming of the Holy Spirit
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-
-2:1 When the day of Pentecost arrived, they were all together in one place. 2And suddenly there came from heaven a sound like a mighty rushing wind, and it filled the entire house where they were sitting. 3And divided tongues as of fire appeared to them and rested[5] on each one of them. 4And they were all filled with the Holy Spirit and began to speak in other tongues as the Spirit gave them utterance.
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-5Now there were dwelling in Jerusalem Jews, devout men from every nation under heaven. 6And at this sound the multitude came together, and they were bewildered, because each one was hearing them speak in his own language. 7And they were amazed and astonished, saying, “Are not all these who are speaking Galileans? 8And how is it that we hear, each of us in his own native language? 9Parthians and Medes and Elamites and residents of Mesopotamia, Judea and Cappadocia, Pontus and Asia, 10Phrygia and Pamphylia, Egypt and the parts of Libya belonging to Cyrene, and visitors from Rome, 11both Jews and proselytes, Cretans and Arabians—we hear them telling in our own tongues the mighty works of God.” 12And all were amazed and perplexed, saying to one another, “What does this mean?” 13But others mocking said, “They are filled with new wine.”
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-Peter's Sermon at Pentecost
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-14But Peter, standing with the eleven, lifted up his voice and addressed them: “Men of Judea and all who dwell in Jerusalem, let this be known to you, and give ear to my words. 15For these people are not drunk, as you suppose, since it is only the third hour of the day.[6] 16But this is what was uttered through the prophet Joel:
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-17“‘And in the last days it shall be, God declares,
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-that I will pour out my Spirit on all flesh,
-
-and your sons and your daughters shall prophesy,
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-and your young men shall see visions,
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-and your old men shall dream dreams;
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-18even on my male servants[7] and female servants
-
-in those days I will pour out my Spirit, and they shall prophesy.
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-19And I will show wonders in the heavens above
-
-and signs on the earth below,
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-blood, and fire, and vapor of smoke;
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-20the sun shall be turned to darkness
-
-and the moon to blood,
-
-before the day of the Lord comes, the great and magnificent day.
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-21And it shall come to pass that everyone who calls upon the name of the Lord shall be saved.’
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-22“Men of Israel, hear these words: Jesus of Nazareth, a man attested to you by God with mighty works and wonders and signs that God did through him in your midst, as you yourselves know— 23this Jesus, delivered up according to the definite plan and foreknowledge of God, you crucified and killed by the hands of lawless men. 24God raised him up, loosing the pangs of death, because it was not possible for him to be held by it. 25For David says concerning him,
-
-“‘I saw the Lord always before me,
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-for he is at my right hand that I may not be shaken;
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-26therefore my heart was glad, and my tongue rejoiced;
-
-my flesh also will dwell in hope.
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-27For you will not abandon my soul to Hades,
-
-or let your Holy One see corruption.
-
-28You have made known to me the paths of life;
-
-you will make me full of gladness with your presence.’
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-29“Brothers, I may say to you with confidence about the patriarch David that he both died and was buried, and his tomb is with us to this day. 30Being therefore a prophet, and knowing that God had sworn with an oath to him that he would set one of his descendants on his throne, 31he foresaw and spoke about the resurrection of the Christ, that he was not abandoned to Hades, nor did his flesh see corruption. 32This Jesus God raised up, and of that we all are witnesses. 33Being therefore exalted at the right hand of God, and having received from the Father the promise of the Holy Spirit, he has poured out this that you yourselves are seeing and hearing. 34For David did not ascend into the heavens, but he himself says,
-
-“‘The Lord said to my Lord,
-
-Sit at my right hand,
-
-35until I make your enemies your footstool.’
-
-36Let all the house of Israel therefore know for certain that God has made him both Lord and Christ, this Jesus whom you crucified.”
-
-37Now when they heard this they were cut to the heart, and said to Peter and the rest of the apostles, “Brothers, what shall we do?” 38And Peter said to them, “Repent and be baptized every one of you in the name of Jesus Christ for the forgiveness of your sins, and you will receive the gift of the Holy Spirit. 39For the promise is for you and for your children and for all who are far off, everyone whom the Lord our God calls to himself.” 40And with many other words he bore witness and continued to exhort them, saying, “Save yourselves from this crooked generation.” 41So those who received his word were baptized, and there were added that day about three thousand souls.
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-
-
-
-
-The Fellowship of the Believers
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-
-42And they devoted themselves to the apostles' teaching and the fellowship, to the breaking of bread and the prayers. 43And awe[8] came upon every soul, and many wonders and signs were being done through the apostles. 44And all who believed were together and had all things in common. 45And they were selling their possessions and belongings and distributing the proceeds to all, as any had need. 46And day by day, attending the temple together and breaking bread in their homes, they received their food with glad and generous hearts, 47praising God and having favor with all the people. And the Lord added to their number day by day those who were being saved.
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-
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-
-
-The Lame Beggar Healed
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-
-3:1 Now Peter and John were going up to the temple at the hour of prayer, the ninth hour.[9] 2And a man lame from birth was being carried, whom they laid daily at the gate of the temple that is called the Beautiful Gate to ask alms of those entering the temple. 3Seeing Peter and John about to go into the temple, he asked to receive alms. 4And Peter directed his gaze at him, as did John, and said, “Look at us.” 5And he fixed his attention on them, expecting to receive something from them. 6But Peter said, “I have no silver and gold, but what I do have I give to you. In the name of Jesus Christ of Nazareth, rise up and walk!” 7And he took him by the right hand and raised him up, and immediately his feet and ankles were made strong. 8And leaping up he stood and began to walk, and entered the temple with them, walking and leaping and praising God. 9And all the people saw him walking and praising God, 10and recognized him as the one who sat at the Beautiful Gate of the temple, asking for alms. And they were filled with wonder and amazement at what had happened to him.
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-Peter Speaks in Solomon's Portico
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-11While he clung to Peter and John, all the people, utterly astounded, ran together to them in the portico called Solomon's. 12And when Peter saw it he addressed the people: “Men of Israel, why do you wonder at this, or why do you stare at us, as though by our own power or piety we have made him walk? 13The God of Abraham, the God of Isaac, and the God of Jacob, the God of our fathers, glorified his servant[10] Jesus, whom you delivered over and denied in the presence of Pilate, when he had decided to release him. 14But you denied the Holy and Righteous One, and asked for a murderer to be granted to you, 15and you killed the Author of life, whom God raised from the dead. To this we are witnesses. 16And his name—by faith in his name—has made this man strong whom you see and know, and the faith that is through Jesus[11] has given the man this perfect health in the presence of you all.
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-17“And now, brothers, I know that you acted in ignorance, as did also your rulers. 18But what God foretold by the mouth of all the prophets, that his Christ would suffer, he thus fulfilled. 19Repent therefore, and turn again, that your sins may be blotted out, 20that times of refreshing may come from the presence of the Lord, and that he may send the Christ appointed for you, Jesus, 21whom heaven must receive until the time for restoring all the things about which God spoke by the mouth of his holy prophets long ago. 22Moses said, ‘The Lord God will raise up for you a prophet like me from your brothers. You shall listen to him in whatever he tells you. 23And it shall be that every soul who does not listen to that prophet shall be destroyed from the people.’ 24And all the prophets who have spoken, from Samuel and those who came after him, also proclaimed these days. 25You are the sons of the prophets and of the covenant that God made with your fathers, saying to Abraham, ‘And in your offspring shall all the families of the earth be blessed.’ 26God, having raised up his servant, sent him to you first, to bless you by turning every one of you from your wickedness.”
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-Peter and John Before the Council
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-
-4:1 And as they were speaking to the people, the priests and the captain of the temple and the Sadducees came upon them, 2greatly annoyed because they were teaching the people and proclaiming in Jesus the resurrection from the dead. 3And they arrested them and put them in custody until the next day, for it was already evening. 4But many of those who had heard the word believed, and the number of the men came to about five thousand.
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-5On the next day their rulers and elders and scribes gathered together in Jerusalem, 6with Annas the high priest and Caiaphas and John and Alexander, and all who were of the high-priestly family. 7And when they had set them in the midst, they inquired, “By what power or by what name did you do this?” 8Then Peter, filled with the Holy Spirit, said to them, “Rulers of the people and elders, 9if we are being examined today concerning a good deed done to a crippled man, by what means this man has been healed, 10let it be known to all of you and to all the people of Israel that by the name of Jesus Christ of Nazareth, whom you crucified, whom God raised from the dead—by him this man is standing before you well. 11This Jesus[12] is the stone that was rejected by you, the builders, which has become the cornerstone.[13] 12And there is salvation in no one else, for there is no other name under heaven given among men by which we must be saved.”
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-13Now when they saw the boldness of Peter and John, and perceived that they were uneducated, common men, they were astonished. And they recognized that they had been with Jesus. 14But seeing the man who was healed standing beside them, they had nothing to say in opposition. 15But when they had commanded them to leave the council, they conferred with one another, 16saying, “What shall we do with these men? For that a notable sign has been performed through them is evident to all the inhabitants of Jerusalem, and we cannot deny it. 17But in order that it may spread no further among the people, let us warn them to speak no more to anyone in this name.” 18So they called them and charged them not to speak or teach at all in the name of Jesus. 19But Peter and John answered them, “Whether it is right in the sight of God to listen to you rather than to God, you must judge, 20for we cannot but speak of what we have seen and heard.” 21And when they had further threatened them, they let them go, finding no way to punish them, because of the people, for all were praising God for what had happened. 22For the man on whom this sign of healing was performed was more than forty years old.
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-The Believers Pray for Boldness
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-23When they were released, they went to their friends and reported what the chief priests and the elders had said to them. 24And when they heard it, they lifted their voices together to God and said, “Sovereign Lord, who made the heaven and the earth and the sea and everything in them, 25who through the mouth of our father David, your servant,[14] said by the Holy Spirit,
-
-“‘Why did the Gentiles rage,
-
-and the peoples plot in vain?
-
-26The kings of the earth set themselves,
-
-and the rulers were gathered together,
-
-against the Lord and against his Anointed’[15]—
-
-27for truly in this city there were gathered together against your holy servant Jesus, whom you anointed, both Herod and Pontius Pilate, along with the Gentiles and the peoples of Israel, 28to do whatever your hand and your plan had predestined to take place. 29And now, Lord, look upon their threats and grant to your servants[16] to continue to speak your word with all boldness, 30while you stretch out your hand to heal, and signs and wonders are performed through the name of your holy servant Jesus.” 31And when they had prayed, the place in which they were gathered together was shaken, and they were all filled with the Holy Spirit and continued to speak the word of God with boldness.
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-
-
-
-
-They Had Everything in Common
-
-
-32Now the full number of those who believed were of one heart and soul, and no one said that any of the things that belonged to him was his own, but they had everything in common. 33And with great power the apostles were giving their testimony to the resurrection of the Lord Jesus, and great grace was upon them all. 34There was not a needy person among them, for as many as were owners of lands or houses sold them and brought the proceeds of what was sold 35and laid it at the apostles' feet, and it was distributed to each as any had need. 36Thus Joseph, who was also called by the apostles Barnabas (which means son of encouragement), a Levite, a native of Cyprus, 37sold a field that belonged to him and brought the money and laid it at the apostles' feet.
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-Ananias and Sapphira
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-5:1 But a man named Ananias, with his wife Sapphira, sold a piece of property, 2and with his wife's knowledge he kept back for himself some of the proceeds and brought only a part of it and laid it at the apostles' feet. 3But Peter said, “Ananias, why has Satan filled your heart to lie to the Holy Spirit and to keep back for yourself part of the proceeds of the land? 4While it remained unsold, did it not remain your own? And after it was sold, was it not at your disposal? Why is it that you have contrived this deed in your heart? You have not lied to men but to God.” 5When Ananias heard these words, he fell down and breathed his last. And great fear came upon all who heard of it. 6The young men rose and wrapped him up and carried him out and buried him.
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-7After an interval of about three hours his wife came in, not knowing what had happened. 8And Peter said to her, “Tell me whether you[17] sold the land for so much.” And she said, “Yes, for so much.” 9But Peter said to her, “How is it that you have agreed together to test the Spirit of the Lord? Behold, the feet of those who have buried your husband are at the door, and they will carry you out.” 10Immediately she fell down at his feet and breathed her last. When the young men came in they found her dead, and they carried her out and buried her beside her husband. 11And great fear came upon the whole church and upon all who heard of these things.
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-Many Signs and Wonders Done
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-12Now many signs and wonders were regularly done among the people by the hands of the apostles. And they were all together in Solomon's Portico. 13None of the rest dared join them, but the people held them in high esteem. 14And more than ever believers were added to the Lord, multitudes of both men and women, 15so that they even carried out the sick into the streets and laid them on cots and mats, that as Peter came by at least his shadow might fall on some of them. 16The people also gathered from the towns around Jerusalem, bringing the sick and those afflicted with unclean spirits, and they were all healed.
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-The Apostles Arrested and Freed
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-17But the high priest rose up, and all who were with him (that is, the party of the Sadducees), and filled with jealousy 18they arrested the apostles and put them in the public prison. 19But during the night an angel of the Lord opened the prison doors and brought them out, and said, 20“Go and stand in the temple and speak to the people all the words of this Life.” 21And when they heard this, they entered the temple at daybreak and began to teach.
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-Now when the high priest came, and those who were with him, they called together the council and all the senate of the people of Israel and sent to the prison to have them brought. 22But when the officers came, they did not find them in the prison, so they returned and reported, 23“We found the prison securely locked and the guards standing at the doors, but when we opened them we found no one inside.” 24Now when the captain of the temple and the chief priests heard these words, they were greatly perplexed about them, wondering what this would come to. 25And someone came and told them, “Look! The men whom you put in prison are standing in the temple and teaching the people.” 26Then the captain with the officers went and brought them, but not by force, for they were afraid of being stoned by the people.
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-27And when they had brought them, they set them before the council. And the high priest questioned them, 28saying, “We strictly charged you not to teach in this name, yet here you have filled Jerusalem with your teaching, and you intend to bring this man's blood upon us.” 29But Peter and the apostles answered, “We must obey God rather than men. 30The God of our fathers raised Jesus, whom you killed by hanging him on a tree. 31God exalted him at his right hand as Leader and Savior, to give repentance to Israel and forgiveness of sins. 32And we are witnesses to these things, and so is the Holy Spirit, whom God has given to those who obey him.”
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-33When they heard this, they were enraged and wanted to kill them. 34But a Pharisee in the council named Gamaliel, a teacher of the law held in honor by all the people, stood up and gave orders to put the men outside for a little while. 35And he said to them, “Men of Israel, take care what you are about to do with these men. 36For before these days Theudas rose up, claiming to be somebody, and a number of men, about four hundred, joined him. He was killed, and all who followed him were dispersed and came to nothing. 37After him Judas the Galilean rose up in the days of the census and drew away some of the people after him. He too perished, and all who followed him were scattered. 38So in the present case I tell you, keep away from these men and let them alone, for if this plan or this undertaking is of man, it will fail; 39but if it is of God, you will not be able to overthrow them. You might even be found opposing God!” So they took his advice, 40and when they had called in the apostles, they beat them and charged them not to speak in the name of Jesus, and let them go. 41Then they left the presence of the council, rejoicing that they were counted worthy to suffer dishonor for the name. 42And every day, in the temple and from house to house, they did not cease teaching and preaching Jesus as the Christ.
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-Seven Chosen to Serve
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-6:1 Now in these days when the disciples were increasing in number, a complaint by the Hellenists[18] arose against the Hebrews because their widows were being neglected in the daily distribution. 2And the twelve summoned the full number of the disciples and said, “It is not right that we should give up preaching the word of God to serve tables. 3Therefore, brothers,[19] pick out from among you seven men of good repute, full of the Spirit and of wisdom, whom we will appoint to this duty. 4But we will devote ourselves to prayer and to the ministry of the word.” 5And what they said pleased the whole gathering, and they chose Stephen, a man full of faith and of the Holy Spirit, and Philip, and Prochorus, and Nicanor, and Timon, and Parmenas, and Nicolaus, a proselyte of Antioch. 6These they set before the apostles, and they prayed and laid their hands on them.
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-7And the word of God continued to increase, and the number of the disciples multiplied greatly in Jerusalem, and a great many of the priests became obedient to the faith.
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-Stephen Is Seized
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-8And Stephen, full of grace and power, was doing great wonders and signs among the people. 9Then some of those who belonged to the synagogue of the Freedmen (as it was called), and of the Cyrenians, and of the Alexandrians, and of those from Cilicia and Asia, rose up and disputed with Stephen. 10But they could not withstand the wisdom and the Spirit with which he was speaking. 11Then they secretly instigated men who said, “We have heard him speak blasphemous words against Moses and God.” 12And they stirred up the people and the elders and the scribes, and they came upon him and seized him and brought him before the council, 13and they set up false witnesses who said, “This man never ceases to speak words against this holy place and the law, 14for we have heard him say that this Jesus of Nazareth will destroy this place and will change the customs that Moses delivered to us.” 15And gazing at him, all who sat in the council saw that his face was like the face of an angel.
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-Stephen's Speech
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-7:1 And the high priest said, “Are these things so?” 2And Stephen said:
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-“Brothers and fathers, hear me. The God of glory appeared to our father Abraham when he was in Mesopotamia, before he lived in Haran, 3and said to him, ‘Go out from your land and from your kindred and go into the land that I will show you.’ 4Then he went out from the land of the Chaldeans and lived in Haran. And after his father died, God removed him from there into this land in which you are now living. 5Yet he gave him no inheritance in it, not even a foot's length, but promised to give it to him as a possession and to his offspring after him, though he had no child. 6And God spoke to this effect—that his offspring would be sojourners in a land belonging to others, who would enslave them and afflict them four hundred years. 7‘But I will judge the nation that they serve,’ said God, ‘and after that they shall come out and worship me in this place.’ 8And he gave him the covenant of circumcision. And so Abraham became the father of Isaac, and circumcised him on the eighth day, and Isaac became the father of Jacob, and Jacob of the twelve patriarchs.
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-9“And the patriarchs, jealous of Joseph, sold him into Egypt; but God was with him 10and rescued him out of all his afflictions and gave him favor and wisdom before Pharaoh, king of Egypt, who made him ruler over Egypt and over all his household. 11Now there came a famine throughout all Egypt and Canaan, and great affliction, and our fathers could find no food. 12But when Jacob heard that there was grain in Egypt, he sent out our fathers on their first visit. 13And on the second visit Joseph made himself known to his brothers, and Joseph's family became known to Pharaoh. 14And Joseph sent and summoned Jacob his father and all his kindred, seventy-five persons in all. 15And Jacob went down into Egypt, and he died, he and our fathers, 16and they were carried back to Shechem and laid in the tomb that Abraham had bought for a sum of silver from the sons of Hamor in Shechem.
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-17“But as the time of the promise drew near, which God had granted to Abraham, the people increased and multiplied in Egypt 18until there arose over Egypt another king who did not know Joseph. 19He dealt shrewdly with our race and forced our fathers to expose their infants, so that they would not be kept alive. 20At this time Moses was born; and he was beautiful in God's sight. And he was brought up for three months in his father's house, 21and when he was exposed, Pharaoh's daughter adopted him and brought him up as her own son. 22And Moses was instructed in all the wisdom of the Egyptians, and he was mighty in his words and deeds.
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-23“When he was forty years old, it came into his heart to visit his brothers, the children of Israel. 24And seeing one of them being wronged, he defended the oppressed man and avenged him by striking down the Egyptian. 25He supposed that his brothers would understand that God was giving them salvation by his hand, but they did not understand. 26And on the following day he appeared to them as they were quarreling and tried to reconcile them, saying, ‘Men, you are brothers. Why do you wrong each other?’ 27But the man who was wronging his neighbor thrust him aside, saying, ‘Who made you a ruler and a judge over us? 28Do you want to kill me as you killed the Egyptian yesterday?’ 29At this retort Moses fled and became an exile in the land of Midian, where he became the father of two sons.
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-30“Now when forty years had passed, an angel appeared to him in the wilderness of Mount Sinai, in a flame of fire in a bush. 31When Moses saw it, he was amazed at the sight, and as he drew near to look, there came the voice of the Lord: 32‘I am the God of your fathers, the God of Abraham and of Isaac and of Jacob.’ And Moses trembled and did not dare to look. 33Then the Lord said to him, ‘Take off the sandals from your feet, for the place where you are standing is holy ground. 34I have surely seen the affliction of my people who are in Egypt, and have heard their groaning, and I have come down to deliver them. And now come, I will send you to Egypt.’
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-35“This Moses, whom they rejected, saying, ‘Who made you a ruler and a judge?’—this man God sent as both ruler and redeemer by the hand of the angel who appeared to him in the bush. 36This man led them out, performing wonders and signs in Egypt and at the Red Sea and in the wilderness for forty years. 37This is the Moses who said to the Israelites, ‘God will raise up for you a prophet like me from your brothers.’ 38This is the one who was in the congregation in the wilderness with the angel who spoke to him at Mount Sinai, and with our fathers. He received living oracles to give to us. 39Our fathers refused to obey him, but thrust him aside, and in their hearts they turned to Egypt, 40saying to Aaron, ‘Make for us gods who will go before us. As for this Moses who led us out from the land of Egypt, we do not know what has become of him.’ 41And they made a calf in those days, and offered a sacrifice to the idol and were rejoicing in the works of their hands. 42But God turned away and gave them over to worship the host of heaven, as it is written in the book of the prophets:
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-“‘Did you bring to me slain beasts and sacrifices,
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-during the forty years in the wilderness, O house of Israel?
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-43You took up the tent of Moloch
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-and the star of your god Rephan,
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-the images that you made to worship;
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-and I will send you into exile beyond Babylon.’
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-44“Our fathers had the tent of witness in the wilderness, just as he who spoke to Moses directed him to make it, according to the pattern that he had seen. 45Our fathers in turn brought it in with Joshua when they dispossessed the nations that God drove out before our fathers. So it was until the days of David, 46who found favor in the sight of God and asked to find a dwelling place for the God of Jacob.[20] 47But it was Solomon who built a house for him. 48Yet the Most High does not dwell in houses made by hands, as the prophet says,
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-49“‘Heaven is my throne,
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-and the earth is my footstool.
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-What kind of house will you build for me, says the Lord,
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-or what is the place of my rest?
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-50Did not my hand make all these things?’
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-51“You stiff-necked people, uncircumcised in heart and ears, you always resist the Holy Spirit. As your fathers did, so do you. 52Which of the prophets did your fathers not persecute? And they killed those who announced beforehand the coming of the Righteous One, whom you have now betrayed and murdered, 53you who received the law as delivered by angels and did not keep it.”
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-The Stoning of Stephen
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-54Now when they heard these things they were enraged, and they ground their teeth at him. 55But he, full of the Holy Spirit, gazed into heaven and saw the glory of God, and Jesus standing at the right hand of God. 56And he said, “Behold, I see the heavens opened, and the Son of Man standing at the right hand of God.” 57But they cried out with a loud voice and stopped their ears and rushed together[21] at him. 58Then they cast him out of the city and stoned him. And the witnesses laid down their garments at the feet of a young man named Saul. 59And as they were stoning Stephen, he called out, “Lord Jesus, receive my spirit.” 60And falling to his knees he cried out with a loud voice, “Lord, do not hold this sin against them.” And when he had said this, he fell asleep.
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-Saul Ravages the Church
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-8:1 And Saul approved of his execution.
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-And there arose on that day a great persecution against the church in Jerusalem, and they were all scattered throughout the regions of Judea and Samaria, except the apostles. 2Devout men buried Stephen and made great lamentation over him. 3But Saul was ravaging the church, and entering house after house, he dragged off men and women and committed them to prison.
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-Philip Proclaims Christ in Samaria
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-4Now those who were scattered went about preaching the word. 5Philip went down to the city[22] of Samaria and proclaimed to them the Christ. 6And the crowds with one accord paid attention to what was being said by Philip when they heard him and saw the signs that he did. 7For unclean spirits, crying out with a loud voice, came out of many who had them, and many who were paralyzed or lame were healed. 8So there was much joy in that city.
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-Simon the Magician Believes
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-9But there was a man named Simon, who had previously practiced magic in the city and amazed the people of Samaria, saying that he himself was somebody great. 10They all paid attention to him, from the least to the greatest, saying, “This man is the power of God that is called Great.” 11And they paid attention to him because for a long time he had amazed them with his magic. 12But when they believed Philip as he preached good news about the kingdom of God and the name of Jesus Christ, they were baptized, both men and women. 13Even Simon himself believed, and after being baptized he continued with Philip. And seeing signs and great miracles[23] performed, he was amazed.
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-14Now when the apostles at Jerusalem heard that Samaria had received the word of God, they sent to them Peter and John, 15who came down and prayed for them that they might receive the Holy Spirit, 16for he had not yet fallen on any of them, but they had only been baptized in the name of the Lord Jesus. 17Then they laid their hands on them and they received the Holy Spirit. 18Now when Simon saw that the Spirit was given through the laying on of the apostles' hands, he offered them money, 19saying, “Give me this power also, so that anyone on whom I lay my hands may receive the Holy Spirit.” 20But Peter said to him, “May your silver perish with you, because you thought you could obtain the gift of God with money! 21You have neither part nor lot in this matter, for your heart is not right before God. 22Repent, therefore, of this wickedness of yours, and pray to the Lord that, if possible, the intent of your heart may be forgiven you. 23For I see that you are in the gall[24] of bitterness and in the bond of iniquity.” 24And Simon answered, “Pray for me to the Lord, that nothing of what you have said may come upon me.”
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-25Now when they had testified and spoken the word of the Lord, they returned to Jerusalem, preaching the gospel to many villages of the Samaritans.
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-Philip and the Ethiopian Eunuch
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-26Now an angel of the Lord said to Philip, “Rise and go toward the south[25] to the road that goes down from Jerusalem to Gaza.” This is a desert place. 27And he rose and went. And there was an Ethiopian, a eunuch, a court official of Candace, queen of the Ethiopians, who was in charge of all her treasure. He had come to Jerusalem to worship 28and was returning, seated in his chariot, and he was reading the prophet Isaiah. 29And the Spirit said to Philip, “Go over and join this chariot.” 30So Philip ran to him and heard him reading Isaiah the prophet and asked, “Do you understand what you are reading?” 31And he said, “How can I, unless someone guides me?” And he invited Philip to come up and sit with him. 32Now the passage of the Scripture that he was reading was this:
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-“Like a sheep he was led to the slaughter
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-and like a lamb before its shearer is silent,
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-so he opens not his mouth.
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-33In his humiliation justice was denied him.
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-Who can describe his generation?
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-For his life is taken away from the earth.”
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-34And the eunuch said to Philip, “About whom, I ask you, does the prophet say this, about himself or about someone else?” 35Then Philip opened his mouth, and beginning with this Scripture he told him the good news about Jesus. 36And as they were going along the road they came to some water, and the eunuch said, “See, here is water! What prevents me from being baptized?”[26] 38And he commanded the chariot to stop, and they both went down into the water, Philip and the eunuch, and he baptized him. 39And when they came up out of the water, the Spirit of the Lord carried Philip away, and the eunuch saw him no more, and went on his way rejoicing. 40But Philip found himself at Azotus, and as he passed through he preached the gospel to all the towns until he came to Caesarea.
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-The Conversion of Saul
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-9:1 But Saul, still breathing threats and murder against the disciples of the Lord, went to the high priest 2and asked him for letters to the synagogues at Damascus, so that if he found any belonging to the Way, men or women, he might bring them bound to Jerusalem. 3Now as he went on his way, he approached Damascus, and suddenly a light from heaven flashed around him. 4And falling to the ground he heard a voice saying to him, “Saul, Saul, why are you persecuting me?” 5And he said, “Who are you, Lord?” And he said, “I am Jesus, whom you are persecuting. 6But rise and enter the city, and you will be told what you are to do.” 7The men who were traveling with him stood speechless, hearing the voice but seeing no one. 8Saul rose from the ground, and although his eyes were opened, he saw nothing. So they led him by the hand and brought him into Damascus. 9And for three days he was without sight, and neither ate nor drank.
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-10Now there was a disciple at Damascus named Ananias. The Lord said to him in a vision, “Ananias.” And he said, “Here I am, Lord.” 11And the Lord said to him, “Rise and go to the street called Straight, and at the house of Judas look for a man of Tarsus named Saul, for behold, he is praying, 12and he has seen in a vision a man named Ananias come in and lay his hands on him so that he might regain his sight.” 13But Ananias answered, “Lord, I have heard from many about this man, how much evil he has done to your saints at Jerusalem. 14And here he has authority from the chief priests to bind all who call on your name.” 15But the Lord said to him, “Go, for he is a chosen instrument of mine to carry my name before the Gentiles and kings and the children of Israel. 16For I will show him how much he must suffer for the sake of my name.” 17So Ananias departed and entered the house. And laying his hands on him he said, “Brother Saul, the Lord Jesus who appeared to you on the road by which you came has sent me so that you may regain your sight and be filled with the Holy Spirit.” 18And immediately something like scales fell from his eyes, and he regained his sight. Then he rose and was baptized; 19and taking food, he was strengthened.
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-Saul Proclaims Jesus in Synagogues
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-For some days he was with the disciples at Damascus. 20And immediately he proclaimed Jesus in the synagogues, saying, “He is the Son of God.” 21And all who heard him were amazed and said, “Is not this the man who made havoc in Jerusalem of those who called upon this name? And has he not come here for this purpose, to bring them bound before the chief priests?” 22But Saul increased all the more in strength, and confounded the Jews who lived in Damascus by proving that Jesus was the Christ.
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-Saul Escapes from Damascus
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-23When many days had passed, the Jews plotted to kill him, 24but their plot became known to Saul. They were watching the gates day and night in order to kill him, 25but his disciples took him by night and let him down through an opening in the wall,[27] lowering him in a basket.
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-Saul in Jerusalem
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-26And when he had come to Jerusalem, he attempted to join the disciples. And they were all afraid of him, for they did not believe that he was a disciple. 27But Barnabas took him and brought him to the apostles and declared to them how on the road he had seen the Lord, who spoke to him, and how at Damascus he had preached boldly in the name of Jesus. 28So he went in and out among them at Jerusalem, preaching boldly in the name of the Lord. 29And he spoke and disputed against the Hellenists.[28] But they were seeking to kill him. 30And when the brothers learned this, they brought him down to Caesarea and sent him off to Tarsus.
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-31So the church throughout all Judea and Galilee and Samaria had peace and was being built up. And walking in the fear of the Lord and in the comfort of the Holy Spirit, it multiplied.
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-The Healing of Aeneas
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-32Now as Peter went here and there among them all, he came down also to the saints who lived at Lydda. 33There he found a man named Aeneas, bedridden for eight years, who was paralyzed. 34And Peter said to him, “Aeneas, Jesus Christ heals you; rise and make your bed.” And immediately he rose. 35And all the residents of Lydda and Sharon saw him, and they turned to the Lord.
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-Dorcas Restored to Life
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-36Now there was in Joppa a disciple named Tabitha, which, translated, means Dorcas.[29] She was full of good works and acts of charity. 37In those days she became ill and died, and when they had washed her, they laid her in an upper room. 38Since Lydda was near Joppa, the disciples, hearing that Peter was there, sent two men to him, urging him, “Please come to us without delay.” 39So Peter rose and went with them. And when he arrived, they took him to the upper room. All the widows stood beside him weeping and showing tunics[30] and other garments that Dorcas made while she was with them. 40But Peter put them all outside, and knelt down and prayed; and turning to the body he said, “Tabitha, arise.” And she opened her eyes, and when she saw Peter she sat up. 41And he gave her his hand and raised her up. Then calling the saints and widows, he presented her alive. 42And it became known throughout all Joppa, and many believed in the Lord. 43And he stayed in Joppa for many days with one Simon, a tanner.
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-Peter and Cornelius
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-10:1 At Caesarea there was a man named Cornelius, a centurion of what was known as the Italian Cohort, 2a devout man who feared God with all his household, gave alms generously to the people, and prayed continually to God. 3About the ninth hour of the day[31] he saw clearly in a vision an angel of God come in and say to him, “Cornelius.” 4And he stared at him in terror and said, “What is it, Lord?” And he said to him, “Your prayers and your alms have ascended as a memorial before God. 5And now send men to Joppa and bring one Simon who is called Peter. 6He is lodging with one Simon, a tanner, whose house is by the sea.” 7When the angel who spoke to him had departed, he called two of his servants and a devout soldier from among those who attended him, 8and having related everything to them, he sent them to Joppa.
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-Peter's Vision
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-9The next day, as they were on their journey and approaching the city, Peter went up on the housetop about the sixth hour[32] to pray. 10And he became hungry and wanted something to eat, but while they were preparing it, he fell into a trance 11and saw the heavens opened and something like a great sheet descending, being let down by its four corners upon the earth. 12In it were all kinds of animals and reptiles and birds of the air. 13And there came a voice to him: “Rise, Peter; kill and eat.” 14But Peter said, “By no means, Lord; for I have never eaten anything that is common or unclean.” 15And the voice came to him again a second time, “What God has made clean, do not call common.” 16This happened three times, and the thing was taken up at once to heaven.
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-17Now while Peter was inwardly perplexed as to what the vision that he had seen might mean, behold, the men who were sent by Cornelius, having made inquiry for Simon's house, stood at the gate 18and called out to ask whether Simon who was called Peter was lodging there. 19And while Peter was pondering the vision, the Spirit said to him, “Behold, three men are looking for you. 20Rise and go down and accompany them without hesitation, for I have sent them.” 21And Peter went down to the men and said, “I am the one you are looking for. What is the reason for your coming?” 22And they said, “Cornelius, a centurion, an upright and God-fearing man, who is well spoken of by the whole Jewish nation, was directed by a holy angel to send for you to come to his house and to hear what you have to say.” 23So he invited them in to be his guests.
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-The next day he rose and went away with them, and some of the brothers from Joppa accompanied him. 24And on the following day they entered Caesarea. Cornelius was expecting them and had called together his relatives and close friends. 25When Peter entered, Cornelius met him and fell down at his feet and worshiped him. 26But Peter lifted him up, saying, “Stand up; I too am a man.” 27And as he talked with him, he went in and found many persons gathered. 28And he said to them, “You yourselves know how unlawful it is for a Jew to associate with or to visit anyone of another nation, but God has shown me that I should not call any person common or unclean. 29So when I was sent for, I came without objection. I ask then why you sent for me.”
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-30And Cornelius said, “Four days ago, about this hour, I was praying in my house at the ninth hour,[33] and behold, a man stood before me in bright clothing 31and said, ‘Cornelius, your prayer has been heard and your alms have been remembered before God. 32Send therefore to Joppa and ask for Simon who is called Peter. He is lodging in the house of Simon, a tanner, by the sea.’ 33So I sent for you at once, and you have been kind enough to come. Now therefore we are all here in the presence of God to hear all that you have been commanded by the Lord.”
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-Gentiles Hear the Good News
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-34So Peter opened his mouth and said: “Truly I understand that God shows no partiality, 35but in every nation anyone who fears him and does what is right is acceptable to him. 36As for the word that he sent to Israel, preaching good news of peace through Jesus Christ (he is Lord of all), 37you yourselves know what happened throughout all Judea, beginning from Galilee after the baptism that John proclaimed: 38how God anointed Jesus of Nazareth with the Holy Spirit and with power. He went about doing good and healing all who were oppressed by the devil, for God was with him. 39And we are witnesses of all that he did both in the country of the Jews and in Jerusalem. They put him to death by hanging him on a tree, 40but God raised him on the third day and made him to appear, 41not to all the people but to us who had been chosen by God as witnesses, who ate and drank with him after he rose from the dead. 42And he commanded us to preach to the people and to testify that he is the one appointed by God to be judge of the living and the dead. 43To him all the prophets bear witness that everyone who believes in him receives forgiveness of sins through his name.”
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-The Holy Spirit Falls on the Gentiles
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-44While Peter was still saying these things, the Holy Spirit fell on all who heard the word. 45And the believers from among the circumcised who had come with Peter were amazed, because the gift of the Holy Spirit was poured out even on the Gentiles. 46For they were hearing them speaking in tongues and extolling God. Then Peter declared, 47“Can anyone withhold water for baptizing these people, who have received the Holy Spirit just as we have?” 48And he commanded them to be baptized in the name of Jesus Christ. Then they asked him to remain for some days.
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-Peter Reports to the Church
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-11:1 Now the apostles and the brothers[34] who were throughout Judea heard that the Gentiles also had received the word of God. 2So when Peter went up to Jerusalem, the circumcision party criticized him, saying, 3“You went to uncircumcised men and ate with them.” 4But Peter began and explained it to them in order: 5“I was in the city of Joppa praying, and in a trance I saw a vision, something like a great sheet descending, being let down from heaven by its four corners, and it came down to me. 6Looking at it closely, I observed animals and beasts of prey and reptiles and birds of the air. 7And I heard a voice saying to me, ‘Rise, Peter; kill and eat.’ 8But I said, ‘By no means, Lord; for nothing common or unclean has ever entered my mouth.’ 9But the voice answered a second time from heaven, ‘What God has made clean, do not call common.’ 10This happened three times, and all was drawn up again into heaven. 11And behold, at that very moment three men arrived at the house in which we were, sent to me from Caesarea. 12And the Spirit told me to go with them, making no distinction. These six brothers also accompanied me, and we entered the man's house. 13And he told us how he had seen the angel stand in his house and say, ‘Send to Joppa and bring Simon who is called Peter; 14he will declare to you a message by which you will be saved, you and all your household.’ 15As I began to speak, the Holy Spirit fell on them just as on us at the beginning. 16And I remembered the word of the Lord, how he said, ‘John baptized with water, but you will be baptized with the Holy Spirit.’ 17If then God gave the same gift to them as he gave to us when we believed in the Lord Jesus Christ, who was I that I could stand in God's way?” 18When they heard these things they fell silent. And they glorified God, saying, “Then to the Gentiles also God has granted repentance that leads to life.”
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-The Church in Antioch
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-19Now those who were scattered because of the persecution that arose over Stephen traveled as far as Phoenicia and Cyprus and Antioch, speaking the word to no one except Jews. 20But there were some of them, men of Cyprus and Cyrene, who on coming to Antioch spoke to the Hellenists[35] also, preaching the Lord Jesus. 21And the hand of the Lord was with them, and a great number who believed turned to the Lord. 22The report of this came to the ears of the church in Jerusalem, and they sent Barnabas to Antioch. 23When he came and saw the grace of God, he was glad, and he exhorted them all to remain faithful to the Lord with steadfast purpose, 24for he was a good man, full of the Holy Spirit and of faith. And a great many people were added to the Lord. 25So Barnabas went to Tarsus to look for Saul, 26and when he had found him, he brought him to Antioch. For a whole year they met with the church and taught a great many people. And in Antioch the disciples were first called Christians.
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-27Now in these days prophets came down from Jerusalem to Antioch. 28And one of them named Agabus stood up and foretold by the Spirit that there would be a great famine over all the world (this took place in the days of Claudius). 29So the disciples determined, everyone according to his ability, to send relief to the brothers[36] living in Judea. 30And they did so, sending it to the elders by the hand of Barnabas and Saul.
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-James Killed and Peter Imprisoned
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-12:1 About that time Herod the king laid violent hands on some who belonged to the church. 2He killed James the brother of John with the sword, 3and when he saw that it pleased the Jews, he proceeded to arrest Peter also. This was during the days of Unleavened Bread. 4And when he had seized him, he put him in prison, delivering him over to four squads of soldiers to guard him, intending after the Passover to bring him out to the people. 5So Peter was kept in prison, but earnest prayer for him was made to God by the church.
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-Peter Is Rescued
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-6Now when Herod was about to bring him out, on that very night, Peter was sleeping between two soldiers, bound with two chains, and sentries before the door were guarding the prison. 7And behold, an angel of the Lord stood next to him, and a light shone in the cell. He struck Peter on the side and woke him, saying, “Get up quickly.” And the chains fell off his hands. 8And the angel said to him, “Dress yourself and put on your sandals.” And he did so. And he said to him, “Wrap your cloak around you and follow me.” 9And he went out and followed him. He did not know that what was being done by the angel was real, but thought he was seeing a vision. 10When they had passed the first and the second guard, they came to the iron gate leading into the city. It opened for them of its own accord, and they went out and went along one street, and immediately the angel left him. 11When Peter came to himself, he said, “Now I am sure that the Lord has sent his angel and rescued me from the hand of Herod and from all that the Jewish people were expecting.”
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-12When he realized this, he went to the house of Mary, the mother of John whose other name was Mark, where many were gathered together and were praying. 13And when he knocked at the door of the gateway, a servant girl named Rhoda came to answer. 14Recognizing Peter's voice, in her joy she did not open the gate but ran in and reported that Peter was standing at the gate. 15They said to her, “You are out of your mind.” But she kept insisting that it was so, and they kept saying, “It is his angel!” 16But Peter continued knocking, and when they opened, they saw him and were amazed. 17But motioning to them with his hand to be silent, he described to them how the Lord had brought him out of the prison. And he said, “Tell these things to James and to the brothers.”[37] Then he departed and went to another place.
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-18Now when day came, there was no little disturbance among the soldiers over what had become of Peter. 19And after Herod searched for him and did not find him, he examined the sentries and ordered that they should be put to death. Then he went down from Judea to Caesarea and spent time there.
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-The Death of Herod
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-20Now Herod was angry with the people of Tyre and Sidon, and they came to him with one accord, and having persuaded Blastus, the king's chamberlain, they asked for peace, because their country depended on the king's country for food. 21On an appointed day Herod put on his royal robes, took his seat upon the throne, and delivered an oration to them. 22And the people were shouting, “The voice of a god, and not of a man!” 23Immediately an angel of the Lord struck him down, because he did not give God the glory, and he was eaten by worms and breathed his last.
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-24But the word of God increased and multiplied.
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-25And Barnabas and Saul returned from[38] Jerusalem when they had completed their service, bringing with them John, whose other name was Mark.
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-Barnabas and Saul Sent Off
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-13:1 Now there were in the church at Antioch prophets and teachers, Barnabas, Simeon who was called Niger,[39] Lucius of Cyrene, Manaen a member of the court of Herod the tetrarch, and Saul. 2While they were worshiping the Lord and fasting, the Holy Spirit said, “Set apart for me Barnabas and Saul for the work to which I have called them.” 3Then after fasting and praying they laid their hands on them and sent them off.
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-Barnabas and Saul on Cyprus
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-4So, being sent out by the Holy Spirit, they went down to Seleucia, and from there they sailed to Cyprus. 5When they arrived at Salamis, they proclaimed the word of God in the synagogues of the Jews. And they had John to assist them. 6When they had gone through the whole island as far as Paphos, they came upon a certain magician, a Jewish false prophet named Bar-Jesus. 7He was with the proconsul, Sergius Paulus, a man of intelligence, who summoned Barnabas and Saul and sought to hear the word of God. 8But Elymas the magician (for that is the meaning of his name) opposed them, seeking to turn the proconsul away from the faith. 9But Saul, who was also called Paul, filled with the Holy Spirit, looked intently at him 10and said, “You son of the devil, you enemy of all righteousness, full of all deceit and villainy, will you not stop making crooked the straight paths of the Lord? 11And now, behold, the hand of the Lord is upon you, and you will be blind and unable to see the sun for a time.” Immediately mist and darkness fell upon him, and he went about seeking people to lead him by the hand. 12Then the proconsul believed, when he saw what had occurred, for he was astonished at the teaching of the Lord.
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-Paul and Barnabas at Antioch in Pisidia
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-13Now Paul and his companions set sail from Paphos and came to Perga in Pamphylia. And John left them and returned to Jerusalem, 14but they went on from Perga and came to Antioch in Pisidia. And on the Sabbath day they went into the synagogue and sat down. 15After the reading from the Law and the Prophets, the rulers of the synagogue sent a message to them, saying, “Brothers, if you have any word of encouragement for the people, say it.” 16So Paul stood up, and motioning with his hand said:
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-“Men of Israel and you who fear God, listen. 17The God of this people Israel chose our fathers and made the people great during their stay in the land of Egypt, and with uplifted arm he led them out of it. 18And for about forty years he put up with[40] them in the wilderness. 19And after destroying seven nations in the land of Canaan, he gave them their land as an inheritance. 20All this took about 450 years. And after that he gave them judges until Samuel the prophet. 21Then they asked for a king, and God gave them Saul the son of Kish, a man of the tribe of Benjamin, for forty years. 22And when he had removed him, he raised up David to be their king, of whom he testified and said, ‘I have found in David the son of Jesse a man after my heart, who will do all my will.’ 23Of this man's offspring God has brought to Israel a Savior, Jesus, as he promised. 24Before his coming, John had proclaimed a baptism of repentance to all the people of Israel. 25And as John was finishing his course, he said, ‘What do you suppose that I am? I am not he. No, but behold, after me one is coming, the sandals of whose feet I am not worthy to untie.’
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-26“Brothers, sons of the family of Abraham, and those among you who fear God, to us has been sent the message of this salvation. 27For those who live in Jerusalem and their rulers, because they did not recognize him nor understand the utterances of the prophets, which are read every Sabbath, fulfilled them by condemning him. 28And though they found in him no guilt worthy of death, they asked Pilate to have him executed. 29And when they had carried out all that was written of him, they took him down from the tree and laid him in a tomb. 30But God raised him from the dead, 31and for many days he appeared to those who had come up with him from Galilee to Jerusalem, who are now his witnesses to the people. 32And we bring you the good news that what God promised to the fathers, 33this he has fulfilled to us their children by raising Jesus, as also it is written in the second Psalm,
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-“‘You are my Son,
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-today I have begotten you.’
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-34And as for the fact that he raised him from the dead, no more to return to corruption, he has spoken in this way,
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-“‘I will give you the holy and sure blessings of David.’
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-35Therefore he says also in another psalm,
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-“‘You will not let your Holy One see corruption.’
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-36For David, after he had served the purpose of God in his own generation, fell asleep and was laid with his fathers and saw corruption, 37but he whom God raised up did not see corruption. 38Let it be known to you therefore, brothers, that through this man forgiveness of sins is proclaimed to you, 39and by him everyone who believes is freed[41] from everything from which you could not be freed by the law of Moses. 40Beware, therefore, lest what is said in the Prophets should come about:
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-41“‘Look, you scoffers,
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-be astounded and perish;
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-for I am doing a work in your days,
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-a work that you will not believe, even if one tells it to you.’”
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-42As they went out, the people begged that these things might be told them the next Sabbath. 43And after the meeting of the synagogue broke up, many Jews and devout converts to Judaism followed Paul and Barnabas, who, as they spoke with them, urged them to continue in the grace of God.
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-44The next Sabbath almost the whole city gathered to hear the word of the Lord. 45But when the Jews saw the crowds, they were filled with jealousy and began to contradict what was spoken by Paul, reviling him. 46And Paul and Barnabas spoke out boldly, saying, “It was necessary that the word of God be spoken first to you. Since you thrust it aside and judge yourselves unworthy of eternal life, behold, we are turning to the Gentiles. 47For so the Lord has commanded us, saying,
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-“‘I have made you a light for the Gentiles,
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-that you may bring salvation to the ends of the earth.’”
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-48And when the Gentiles heard this, they began rejoicing and glorifying the word of the Lord, and as many as were appointed to eternal life believed. 49And the word of the Lord was spreading throughout the whole region. 50But the Jews incited the devout women of high standing and the leading men of the city, stirred up persecution against Paul and Barnabas, and drove them out of their district. 51But they shook off the dust from their feet against them and went to Iconium. 52And the disciples were filled with joy and with the Holy Spirit.
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-Paul and Barnabas at Iconium
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-14:1 Now at Iconium they entered together into the Jewish synagogue and spoke in such a way that a great number of both Jews and Greeks believed. 2But the unbelieving Jews stirred up the Gentiles and poisoned their minds against the brothers.[42] 3So they remained for a long time, speaking boldly for the Lord, who bore witness to the word of his grace, granting signs and wonders to be done by their hands. 4But the people of the city were divided; some sided with the Jews and some with the apostles. 5When an attempt was made by both Gentiles and Jews, with their rulers, to mistreat them and to stone them, 6they learned of it and fled to Lystra and Derbe, cities of Lycaonia, and to the surrounding country, 7and there they continued to preach the gospel.
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-Paul and Barnabas at Lystra
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-8Now at Lystra there was a man sitting who could not use his feet. He was crippled from birth and had never walked. 9He listened to Paul speaking. And Paul, looking intently at him and seeing that he had faith to be made well,[43] 10said in a loud voice, “Stand upright on your feet.” And he sprang up and began walking. 11And when the crowds saw what Paul had done, they lifted up their voices, saying in Lycaonian, “The gods have come down to us in the likeness of men!” 12Barnabas they called Zeus, and Paul, Hermes, because he was the chief speaker. 13And the priest of Zeus, whose temple was at the entrance to the city, brought oxen and garlands to the gates and wanted to offer sacrifice with the crowds. 14But when the apostles Barnabas and Paul heard of it, they tore their garments and rushed out into the crowd, crying out, 15“Men, why are you doing these things? We also are men, of like nature with you, and we bring you good news, that you should turn from these vain things to a living God, who made the heaven and the earth and the sea and all that is in them. 16In past generations he allowed all the nations to walk in their own ways. 17Yet he did not leave himself without witness, for he did good by giving you rains from heaven and fruitful seasons, satisfying your hearts with food and gladness.” 18Even with these words they scarcely restrained the people from offering sacrifice to them.
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-Paul Stoned at Lystra
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-19But Jews came from Antioch and Iconium, and having persuaded the crowds, they stoned Paul and dragged him out of the city, supposing that he was dead. 20But when the disciples gathered about him, he rose up and entered the city, and on the next day he went on with Barnabas to Derbe. 21When they had preached the gospel to that city and had made many disciples, they returned to Lystra and to Iconium and to Antioch, 22strengthening the souls of the disciples, encouraging them to continue in the faith, and saying that through many tribulations we must enter the kingdom of God. 23And when they had appointed elders for them in every church, with prayer and fasting they committed them to the Lord in whom they had believed.
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-Paul and Barnabas Return to Antioch in Syria
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-24Then they passed through Pisidia and came to Pamphylia. 25And when they had spoken the word in Perga, they went down to Attalia, 26and from there they sailed to Antioch, where they had been commended to the grace of God for the work that they had fulfilled. 27And when they arrived and gathered the church together, they declared all that God had done with them, and how he had opened a door of faith to the Gentiles. 28And they remained no little time with the disciples.
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-The Jerusalem Council
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-15:1 But some men came down from Judea and were teaching the brothers, “Unless you are circumcised according to the custom of Moses, you cannot be saved.” 2And after Paul and Barnabas had no small dissension and debate with them, Paul and Barnabas and some of the others were appointed to go up to Jerusalem to the apostles and the elders about this question. 3So, being sent on their way by the church, they passed through both Phoenicia and Samaria, describing in detail the conversion of the Gentiles, and brought great joy to all the brothers.[44] 4When they came to Jerusalem, they were welcomed by the church and the apostles and the elders, and they declared all that God had done with them. 5But some believers who belonged to the party of the Pharisees rose up and said, “It is necessary to circumcise them and to order them to keep the law of Moses.”
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-6The apostles and the elders were gathered together to consider this matter. 7And after there had been much debate, Peter stood up and said to them, “Brothers, you know that in the early days God made a choice among you, that by my mouth the Gentiles should hear the word of the gospel and believe. 8And God, who knows the heart, bore witness to them, by giving them the Holy Spirit just as he did to us, 9and he made no distinction between us and them, having cleansed their hearts by faith. 10Now, therefore, why are you putting God to the test by placing a yoke on the neck of the disciples that neither our fathers nor we have been able to bear? 11But we believe that we will be saved through the grace of the Lord Jesus, just as they will.”
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-12And all the assembly fell silent, and they listened to Barnabas and Paul as they related what signs and wonders God had done through them among the Gentiles. 13After they finished speaking, James replied, “Brothers, listen to me. 14Simeon has related how God first visited the Gentiles, to take from them a people for his name. 15And with this the words of the prophets agree, just as it is written,
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-16“‘After this I will return,
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-and I will rebuild the tent of David that has fallen;
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-I will rebuild its ruins,
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-and I will restore it,
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-17that the remnant[45] of mankind may seek the Lord,
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-and all the Gentiles who are called by my name,
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-says the Lord, who makes these things 18known from of old.’
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-19Therefore my judgment is that we should not trouble those of the Gentiles who turn to God, 20but should write to them to abstain from the things polluted by idols, and from sexual immorality, and from what has been strangled, and from blood. 21For from ancient generations Moses has had in every city those who proclaim him, for he is read every Sabbath in the synagogues.”
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-The Council's Letter to Gentile Believers
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-22Then it seemed good to the apostles and the elders, with the whole church, to choose men from among them and send them to Antioch with Paul and Barnabas. They sent Judas called Barsabbas, and Silas, leading men among the brothers, 23with the following letter: “The brothers, both the apostles and the elders, to the brothers[46] who are of the Gentiles in Antioch and Syria and Cilicia, greetings. 24Since we have heard that some persons have gone out from us and troubled you[47] with words, unsettling your minds, although we gave them no instructions, 25it has seemed good to us, having come to one accord, to choose men and send them to you with our beloved Barnabas and Paul, 26men who have risked their lives for the sake of our Lord Jesus Christ. 27We have therefore sent Judas and Silas, who themselves will tell you the same things by word of mouth. 28For it has seemed good to the Holy Spirit and to us to lay on you no greater burden than these requirements: 29that you abstain from what has been sacrificed to idols, and from blood, and from what has been strangled, and from sexual immorality. If you keep yourselves from these, you will do well. Farewell.”
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-30So when they were sent off, they went down to Antioch, and having gathered the congregation together, they delivered the letter. 31And when they had read it, they rejoiced because of its encouragement. 32And Judas and Silas, who were themselves prophets, encouraged and strengthened the brothers with many words. 33And after they had spent some time, they were sent off in peace by the brothers to those who had sent them.[48] 35But Paul and Barnabas remained in Antioch, teaching and preaching the word of the Lord, with many others also.
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-Paul and Barnabas Separate
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-36And after some days Paul said to Barnabas, “Let us return and visit the brothers in every city where we proclaimed the word of the Lord, and see how they are.” 37Now Barnabas wanted to take with them John called Mark. 38But Paul thought best not to take with them one who had withdrawn from them in Pamphylia and had not gone with them to the work. 39And there arose a sharp disagreement, so that they separated from each other. Barnabas took Mark with him and sailed away to Cyprus, 40but Paul chose Silas and departed, having been commended by the brothers to the grace of the Lord. 41And he went through Syria and Cilicia, strengthening the churches.
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-Timothy Joins Paul and Silas
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-16:1 Paul[49] came also to Derbe and to Lystra. A disciple was there, named Timothy, the son of a Jewish woman who was a believer, but his father was a Greek. 2He was well spoken of by the brothers[50] at Lystra and Iconium. 3Paul wanted Timothy to accompany him, and he took him and circumcised him because of the Jews who were in those places, for they all knew that his father was a Greek. 4As they went on their way through the cities, they delivered to them for observance the decisions that had been reached by the apostles and elders who were in Jerusalem. 5So the churches were strengthened in the faith, and they increased in numbers daily.
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-The Macedonian Call
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-6And they went through the region of Phrygia and Galatia, having been forbidden by the Holy Spirit to speak the word in Asia. 7And when they had come up to Mysia, they attempted to go into Bithynia, but the Spirit of Jesus did not allow them. 8So, passing by Mysia, they went down to Troas. 9And a vision appeared to Paul in the night: a man of Macedonia was standing there, urging him and saying, “Come over to Macedonia and help us.” 10And when Paul[51] had seen the vision, immediately we sought to go on into Macedonia, concluding that God had called us to preach the gospel to them.
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-The Conversion of Lydia
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-11So, setting sail from Troas, we made a direct voyage to Samothrace, and the following day to Neapolis, 12and from there to Philippi, which is a leading city of the[52] district of Macedonia and a Roman colony. We remained in this city some days. 13And on the Sabbath day we went outside the gate to the riverside, where we supposed there was a place of prayer, and we sat down and spoke to the women who had come together. 14One who heard us was a woman named Lydia, from the city of Thyatira, a seller of purple goods, who was a worshiper of God. The Lord opened her heart to pay attention to what was said by Paul. 15And after she was baptized, and her household as well, she urged us, saying, “If you have judged me to be faithful to the Lord, come to my house and stay.” And she prevailed upon us.
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-Paul and Silas in Prison
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-16As we were going to the place of prayer, we were met by a slave girl who had a spirit of divination and brought her owners much gain by fortune-telling. 17She followed Paul and us, crying out, “These men are servants[53] of the Most High God, who proclaim to you the way of salvation.” 18And this she kept doing for many days. Paul, having become greatly annoyed, turned and said to the spirit, “I command you in the name of Jesus Christ to come out of her.” And it came out that very hour.
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-19But when her owners saw that their hope of gain was gone, they seized Paul and Silas and dragged them into the marketplace before the rulers. 20And when they had brought them to the magistrates, they said, “These men are Jews, and they are disturbing our city. 21They advocate customs that are not lawful for us as Romans to accept or practice.” 22The crowd joined in attacking them, and the magistrates tore the garments off them and gave orders to beat them with rods. 23And when they had inflicted many blows upon them, they threw them into prison, ordering the jailer to keep them safely. 24Having received this order, he put them into the inner prison and fastened their feet in the stocks.
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-The Philippian Jailer Converted
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-25About midnight Paul and Silas were praying and singing hymns to God, and the prisoners were listening to them, 26and suddenly there was a great earthquake, so that the foundations of the prison were shaken. And immediately all the doors were opened, and everyone's bonds were unfastened. 27When the jailer woke and saw that the prison doors were open, he drew his sword and was about to kill himself, supposing that the prisoners had escaped. 28But Paul cried with a loud voice, “Do not harm yourself, for we are all here.” 29And the jailer[54] called for lights and rushed in, and trembling with fear he fell down before Paul and Silas. 30Then he brought them out and said, “Sirs, what must I do to be saved?” 31And they said, “Believe in the Lord Jesus, and you will be saved, you and your household.” 32And they spoke the word of the Lord to him and to all who were in his house. 33And he took them the same hour of the night and washed their wounds; and he was baptized at once, he and all his family. 34Then he brought them up into his house and set food before them. And he rejoiced along with his entire household that he had believed in God.
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-35But when it was day, the magistrates sent the police, saying, “Let those men go.” 36And the jailer reported these words to Paul, saying, “The magistrates have sent to let you go. Therefore come out now and go in peace.” 37But Paul said to them, “They have beaten us publicly, uncondemned, men who are Roman citizens, and have thrown us into prison; and do they now throw us out secretly? No! Let them come themselves and take us out.” 38The police reported these words to the magistrates, and they were afraid when they heard that they were Roman citizens. 39So they came and apologized to them. And they took them out and asked them to leave the city. 40So they went out of the prison and visited Lydia. And when they had seen the brothers, they encouraged them and departed.
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-Paul and Silas in Thessalonica
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-17:1 Now when they had passed through Amphipolis and Apollonia, they came to Thessalonica, where there was a synagogue of the Jews. 2And Paul went in, as was his custom, and on three Sabbath days he reasoned with them from the Scriptures, 3explaining and proving that it was necessary for the Christ to suffer and to rise from the dead, and saying, “This Jesus, whom I proclaim to you, is the Christ.” 4And some of them were persuaded and joined Paul and Silas, as did a great many of the devout Greeks and not a few of the leading women. 5But the Jews were jealous, and taking some wicked men of the rabble, they formed a mob, set the city in an uproar, and attacked the house of Jason, seeking to bring them out to the crowd. 6And when they could not find them, they dragged Jason and some of the brothers before the city authorities, shouting, “These men who have turned the world upside down have come here also, 7and Jason has received them, and they are all acting against the decrees of Caesar, saying that there is another king, Jesus.” 8And the people and the city authorities were disturbed when they heard these things. 9And when they had taken money as security from Jason and the rest, they let them go.
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-Paul and Silas in Berea
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-10The brothers[55] immediately sent Paul and Silas away by night to Berea, and when they arrived they went into the Jewish synagogue. 11Now these Jews were more noble than those in Thessalonica; they received the word with all eagerness, examining the Scriptures daily to see if these things were so. 12Many of them therefore believed, with not a few Greek women of high standing as well as men. 13But when the Jews from Thessalonica learned that the word of God was proclaimed by Paul at Berea also, they came there too, agitating and stirring up the crowds. 14Then the brothers immediately sent Paul off on his way to the sea, but Silas and Timothy remained there. 15Those who conducted Paul brought him as far as Athens, and after receiving a command for Silas and Timothy to come to him as soon as possible, they departed.
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-Paul in Athens
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-16Now while Paul was waiting for them at Athens, his spirit was provoked within him as he saw that the city was full of idols. 17So he reasoned in the synagogue with the Jews and the devout persons, and in the marketplace every day with those who happened to be there. 18Some of the Epicurean and Stoic philosophers also conversed with him. And some said, “What does this babbler wish to say?” Others said, “He seems to be a preacher of foreign divinities”—because he was preaching Jesus and the resurrection. 19And they took him and brought him to the Areopagus, saying, “May we know what this new teaching is that you are presenting? 20For you bring some strange things to our ears. We wish to know therefore what these things mean.” 21Now all the Athenians and the foreigners who lived there would spend their time in nothing except telling or hearing something new.
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-Paul Addresses the Areopagus
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-22So Paul, standing in the midst of the Areopagus, said: “Men of Athens, I perceive that in every way you are very religious. 23For as I passed along and observed the objects of your worship, I found also an altar with this inscription, ‘To the unknown god.’ What therefore you worship as unknown, this I proclaim to you. 24The God who made the world and everything in it, being Lord of heaven and earth, does not live in temples made by man,[56] 25nor is he served by human hands, as though he needed anything, since he himself gives to all mankind life and breath and everything. 26And he made from one man every nation of mankind to live on all the face of the earth, having determined allotted periods and the boundaries of their dwelling place, 27that they should seek God, in the hope that they might feel their way toward him and find him. Yet he is actually not far from each one of us, 28for
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-“‘In him we live and move and have our being’;[57]
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-as even some of your own poets have said,
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-“‘For we are indeed his offspring.’[58]
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-29Being then God's offspring, we ought not to think that the divine being is like gold or silver or stone, an image formed by the art and imagination of man. 30The times of ignorance God overlooked, but now he commands all people everywhere to repent, 31because he has fixed a day on which he will judge the world in righteousness by a man whom he has appointed; and of this he has given assurance to all by raising him from the dead.”
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-32Now when they heard of the resurrection of the dead, some mocked. But others said, “We will hear you again about this.” 33So Paul went out from their midst. 34But some men joined him and believed, among whom also were Dionysius the Areopagite and a woman named Damaris and others with them.
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-Paul in Corinth
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-18:1 After this Paul[59] left Athens and went to Corinth. 2And he found a Jew named Aquila, a native of Pontus, recently come from Italy with his wife Priscilla, because Claudius had commanded all the Jews to leave Rome. And he went to see them, 3and because he was of the same trade he stayed with them and worked, for they were tentmakers by trade. 4And he reasoned in the synagogue every Sabbath, and tried to persuade Jews and Greeks.
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-5When Silas and Timothy arrived from Macedonia, Paul was occupied with the word, testifying to the Jews that the Christ was Jesus. 6And when they opposed and reviled him, he shook out his garments and said to them, “Your blood be on your own heads! I am innocent. From now on I will go to the Gentiles.” 7And he left there and went to the house of a man named Titius Justus, a worshiper of God. His house was next door to the synagogue. 8Crispus, the ruler of the synagogue, believed in the Lord, together with his entire household. And many of the Corinthians hearing Paul believed and were baptized. 9And the Lord said to Paul one night in a vision, “Do not be afraid, but go on speaking and do not be silent, 10for I am with you, and no one will attack you to harm you, for I have many in this city who are my people.” 11And he stayed a year and six months, teaching the word of God among them.
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-12But when Gallio was proconsul of Achaia, the Jews made a united attack on Paul and brought him before the tribunal, 13saying, “This man is persuading people to worship God contrary to the law.” 14But when Paul was about to open his mouth, Gallio said to the Jews, “If it were a matter of wrongdoing or vicious crime, O Jews, I would have reason to accept your complaint. 15But since it is a matter of questions about words and names and your own law, see to it yourselves. I refuse to be a judge of these things.” 16And he drove them from the tribunal. 17And they all seized Sosthenes, the ruler of the synagogue, and beat him in front of the tribunal. But Gallio paid no attention to any of this.
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-Paul Returns to Antioch
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-18After this, Paul stayed many days longer and then took leave of the brothers[60] and set sail for Syria, and with him Priscilla and Aquila. At Cenchreae he had cut his hair, for he was under a vow. 19And they came to Ephesus, and he left them there, but he himself went into the synagogue and reasoned with the Jews. 20When they asked him to stay for a longer period, he declined. 21But on taking leave of them he said, “I will return to you if God wills,” and he set sail from Ephesus.
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-22When he had landed at Caesarea, he went up and greeted the church, and then went down to Antioch. 23After spending some time there, he departed and went from one place to the next through the region of Galatia and Phrygia, strengthening all the disciples.
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-Apollos Speaks Boldly in Ephesus
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-24Now a Jew named Apollos, a native of Alexandria, came to Ephesus. He was an eloquent man, competent in the Scriptures. 25He had been instructed in the way of the Lord. And being fervent in spirit,[61] he spoke and taught accurately the things concerning Jesus, though he knew only the baptism of John. 26He began to speak boldly in the synagogue, but when Priscilla and Aquila heard him, they took him and explained to him the way of God more accurately. 27And when he wished to cross to Achaia, the brothers encouraged him and wrote to the disciples to welcome him. When he arrived, he greatly helped those who through grace had believed, 28for he powerfully refuted the Jews in public, showing by the Scriptures that the Christ was Jesus.
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-Paul in Ephesus
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-19:1 And it happened that while Apollos was at Corinth, Paul passed through the inland[62] country and came to Ephesus. There he found some disciples. 2And he said to them, “Did you receive the Holy Spirit when you believed?” And they said, “No, we have not even heard that there is a Holy Spirit.” 3And he said, “Into what then were you baptized?” They said, “Into John's baptism.” 4And Paul said, “John baptized with the baptism of repentance, telling the people to believe in the one who was to come after him, that is, Jesus.” 5On hearing this, they were baptized in[63] the name of the Lord Jesus. 6And when Paul had laid his hands on them, the Holy Spirit came on them, and they began speaking in tongues and prophesying. 7There were about twelve men in all.
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-8And he entered the synagogue and for three months spoke boldly, reasoning and persuading them about the kingdom of God. 9But when some became stubborn and continued in unbelief, speaking evil of the Way before the congregation, he withdrew from them and took the disciples with him, reasoning daily in the hall of Tyrannus.[64] 10This continued for two years, so that all the residents of Asia heard the word of the Lord, both Jews and Greeks.
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-The Sons of Sceva
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-11And God was doing extraordinary miracles by the hands of Paul, 12so that even handkerchiefs or aprons that had touched his skin were carried away to the sick, and their diseases left them and the evil spirits came out of them. 13Then some of the itinerant Jewish exorcists undertook to invoke the name of the Lord Jesus over those who had evil spirits, saying, “I adjure you by the Jesus whom Paul proclaims.” 14Seven sons of a Jewish high priest named Sceva were doing this. 15But the evil spirit answered them, “Jesus I know, and Paul I recognize, but who are you?” 16And the man in whom was the evil spirit leaped on them, mastered all[65] of them and overpowered them, so that they fled out of that house naked and wounded. 17And this became known to all the residents of Ephesus, both Jews and Greeks. And fear fell upon them all, and the name of the Lord Jesus was extolled. 18Also many of those who were now believers came, confessing and divulging their practices. 19And a number of those who had practiced magic arts brought their books together and burned them in the sight of all. And they counted the value of them and found it came to fifty thousand pieces of silver. 20So the word of the Lord continued to increase and prevail mightily.
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-A Riot at Ephesus
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-21Now after these events Paul resolved in the Spirit to pass through Macedonia and Achaia and go to Jerusalem, saying, “After I have been there, I must also see Rome.” 22And having sent into Macedonia two of his helpers, Timothy and Erastus, he himself stayed in Asia for a while.
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-23About that time there arose no little disturbance concerning the Way. 24For a man named Demetrius, a silversmith, who made silver shrines of Artemis, brought no little business to the craftsmen. 25These he gathered together, with the workmen in similar trades, and said, “Men, you know that from this business we have our wealth. 26And you see and hear that not only in Ephesus but in almost all of Asia this Paul has persuaded and turned away a great many people, saying that gods made with hands are not gods. 27And there is danger not only that this trade of ours may come into disrepute but also that the temple of the great goddess Artemis may be counted as nothing, and that she may even be deposed from her magnificence, she whom all Asia and the world worship.”
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-28When they heard this they were enraged and were crying out, “Great is Artemis of the Ephesians!” 29So the city was filled with the confusion, and they rushed together into the theater, dragging with them Gaius and Aristarchus, Macedonians who were Paul's companions in travel. 30But when Paul wished to go in among the crowd, the disciples would not let him. 31And even some of the Asiarchs,[66] who were friends of his, sent to him and were urging him not to venture into the theater. 32Now some cried out one thing, some another, for the assembly was in confusion, and most of them did not know why they had come together. 33Some of the crowd prompted Alexander, whom the Jews had put forward. And Alexander, motioning with his hand, wanted to make a defense to the crowd. 34But when they recognized that he was a Jew, for about two hours they all cried out with one voice, “Great is Artemis of the Ephesians!”
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-35And when the town clerk had quieted the crowd, he said, “Men of Ephesus, who is there who does not know that the city of the Ephesians is temple keeper of the great Artemis, and of the sacred stone that fell from the sky?[67] 36Seeing then that these things cannot be denied, you ought to be quiet and do nothing rash. 37For you have brought these men here who are neither sacrilegious nor blasphemers of our goddess. 38If therefore Demetrius and the craftsmen with him have a complaint against anyone, the courts are open, and there are proconsuls. Let them bring charges against one another. 39But if you seek anything further,[68] it shall be settled in the regular assembly. 40For we really are in danger of being charged with rioting today, since there is no cause that we can give to justify this commotion.” 41And when he had said these things, he dismissed the assembly.
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-Paul in Macedonia and Greece
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-20:1 After the uproar ceased, Paul sent for the disciples, and after encouraging them, he said farewell and departed for Macedonia. 2When he had gone through those regions and had given them much encouragement, he came to Greece. 3There he spent three months, and when a plot was made against him by the Jews as he was about to set sail for Syria, he decided to return through Macedonia. 4Sopater the Berean, son of Pyrrhus, accompanied him; and of the Thessalonians, Aristarchus and Secundus; and Gaius of Derbe, and Timothy; and the Asians, Tychicus and Trophimus. 5These went on ahead and were waiting for us at Troas, 6but we sailed away from Philippi after the days of Unleavened Bread, and in five days we came to them at Troas, where we stayed for seven days.
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-Eutychus Raised from the Dead
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-7On the first day of the week, when we were gathered together to break bread, Paul talked with them, intending to depart on the next day, and he prolonged his speech until midnight. 8There were many lamps in the upper room where we were gathered. 9And a young man named Eutychus, sitting at the window, sank into a deep sleep as Paul talked still longer. And being overcome by sleep, he fell down from the third story and was taken up dead. 10But Paul went down and bent over him, and taking him in his arms, said, “Do not be alarmed, for his life is in him.” 11And when Paul had gone up and had broken bread and eaten, he conversed with them a long while, until daybreak, and so departed. 12And they took the youth away alive, and were not a little comforted.
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-13But going ahead to the ship, we set sail for Assos, intending to take Paul aboard there, for so he had arranged, intending himself to go by land. 14And when he met us at Assos, we took him on board and went to Mitylene. 15And sailing from there we came the following day opposite Chios; the next day we touched at Samos; and[69] the day after that we went to Miletus. 16For Paul had decided to sail past Ephesus, so that he might not have to spend time in Asia, for he was hastening to be at Jerusalem, if possible, on the day of Pentecost.
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-Paul Speaks to the Ephesian Elders
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-17Now from Miletus he sent to Ephesus and called the elders of the church to come to him. 18And when they came to him, he said to them:
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-“You yourselves know how I lived among you the whole time from the first day that I set foot in Asia, 19serving the Lord with all humility and with tears and with trials that happened to me through the plots of the Jews; 20how I did not shrink from declaring to you anything that was profitable, and teaching you in public and from house to house, 21testifying both to Jews and to Greeks of repentance toward God and of faith in our Lord Jesus Christ. 22And now, behold, I am going to Jerusalem, constrained by[70] the Spirit, not knowing what will happen to me there, 23except that the Holy Spirit testifies to me in every city that imprisonment and afflictions await me. 24But I do not account my life of any value nor as precious to myself, if only I may finish my course and the ministry that I received from the Lord Jesus, to testify to the gospel of the grace of God. 25And now, behold, I know that none of you among whom I have gone about proclaiming the kingdom will see my face again. 26Therefore I testify to you this day that I am innocent of the blood of all of you, 27for I did not shrink from declaring to you the whole counsel of God. 28Pay careful attention to yourselves and to all the flock, in which the Holy Spirit has made you overseers, to care for the church of God,[71] which he obtained with his own blood.[72] 29I know that after my departure fierce wolves will come in among you, not sparing the flock; 30and from among your own selves will arise men speaking twisted things, to draw away the disciples after them. 31Therefore be alert, remembering that for three years I did not cease night or day to admonish everyone with tears. 32And now I commend you to God and to the word of his grace, which is able to build you up and to give you the inheritance among all those who are sanctified. 33I coveted no one's silver or gold or apparel. 34You yourselves know that these hands ministered to my necessities and to those who were with me. 35In all things I have shown you that by working hard in this way we must help the weak and remember the words of the Lord Jesus, how he himself said, ‘It is more blessed to give than to receive.’”
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-36And when he had said these things, he knelt down and prayed with them all. 37And there was much weeping on the part of all; they embraced Paul and kissed him, 38being sorrowful most of all because of the word he had spoken, that they would not see his face again. And they accompanied him to the ship.
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-Paul Goes to Jerusalem
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-21:1 And when we had parted from them and set sail, we came by a straight course to Cos, and the next day to Rhodes, and from there to Patara.[73] 2And having found a ship crossing to Phoenicia, we went aboard and set sail. 3When we had come in sight of Cyprus, leaving it on the left we sailed to Syria and landed at Tyre, for there the ship was to unload its cargo. 4And having sought out the disciples, we stayed there for seven days. And through the Spirit they were telling Paul not to go on to Jerusalem. 5When our days there were ended, we departed and went on our journey, and they all, with wives and children, accompanied us until we were outside the city. And kneeling down on the beach, we prayed 6and said farewell to one another. Then we went on board the ship, and they returned home.
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-7When we had finished the voyage from Tyre, we arrived at Ptolemais, and we greeted the brothers[74] and stayed with them for one day. 8On the next day we departed and came to Caesarea, and we entered the house of Philip the evangelist, who was one of the seven, and stayed with him. 9He had four unmarried daughters, who prophesied. 10While we were staying for many days, a prophet named Agabus came down from Judea. 11And coming to us, he took Paul's belt and bound his own feet and hands and said, “Thus says the Holy Spirit, ‘This is how the Jews at Jerusalem will bind the man who owns this belt and deliver him into the hands of the Gentiles.’” 12When we heard this, we and the people there urged him not to go up to Jerusalem. 13Then Paul answered, “What are you doing, weeping and breaking my heart? For I am ready not only to be imprisoned but even to die in Jerusalem for the name of the Lord Jesus.” 14And since he would not be persuaded, we ceased and said, “Let the will of the Lord be done.”
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-15After these days we got ready and went up to Jerusalem. 16And some of the disciples from Caesarea went with us, bringing us to the house of Mnason of Cyprus, an early disciple, with whom we should lodge.
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-Paul Visits James
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-17When we had come to Jerusalem, the brothers received us gladly. 18On the following day Paul went in with us to James, and all the elders were present. 19After greeting them, he related one by one the things that God had done among the Gentiles through his ministry. 20And when they heard it, they glorified God. And they said to him, “You see, brother, how many thousands there are among the Jews of those who have believed. They are all zealous for the law, 21and they have been told about you that you teach all the Jews who are among the Gentiles to forsake Moses, telling them not to circumcise their children or walk according to our customs. 22What then is to be done? They will certainly hear that you have come. 23Do therefore what we tell you. We have four men who are under a vow; 24take these men and purify yourself along with them and pay their expenses, so that they may shave their heads. Thus all will know that there is nothing in what they have been told about you, but that you yourself also live in observance of the law. 25But as for the Gentiles who have believed, we have sent a letter with our judgment that they should abstain from what has been sacrificed to idols, and from blood, and from what has been strangled,[75] and from sexual immorality.” 26Then Paul took the men, and the next day he purified himself along with them and went into the temple, giving notice when the days of purification would be fulfilled and the offering presented for each one of them.
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-Paul Arrested in the Temple
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-27When the seven days were almost completed, the Jews from Asia, seeing him in the temple, stirred up the whole crowd and laid hands on him, 28crying out, “Men of Israel, help! This is the man who is teaching everyone everywhere against the people and the law and this place. Moreover, he even brought Greeks into the temple and has defiled this holy place.” 29For they had previously seen Trophimus the Ephesian with him in the city, and they supposed that Paul had brought him into the temple. 30Then all the city was stirred up, and the people ran together. They seized Paul and dragged him out of the temple, and at once the gates were shut. 31And as they were seeking to kill him, word came to the tribune of the cohort that all Jerusalem was in confusion. 32He at once took soldiers and centurions and ran down to them. And when they saw the tribune and the soldiers, they stopped beating Paul. 33Then the tribune came up and arrested him and ordered him to be bound with two chains. He inquired who he was and what he had done. 34Some in the crowd were shouting one thing, some another. And as he could not learn the facts because of the uproar, he ordered him to be brought into the barracks. 35And when he came to the steps, he was actually carried by the soldiers because of the violence of the crowd, 36for the mob of the people followed, crying out, “Away with him!”
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-Paul Speaks to the People
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-37As Paul was about to be brought into the barracks, he said to the tribune, “May I say something to you?” And he said, “Do you know Greek? 38Are you not the Egyptian, then, who recently stirred up a revolt and led the four thousand men of the Assassins out into the wilderness?” 39Paul replied, “I am a Jew, from Tarsus in Cilicia, a citizen of no obscure city. I beg you, permit me to speak to the people.” 40And when he had given him permission, Paul, standing on the steps, motioned with his hand to the people. And when there was a great hush, he addressed them in the Hebrew language,[76] saying:
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-22:1 “Brothers and fathers, hear the defense that I now make before you.”
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-2And when they heard that he was addressing them in the Hebrew language, they became even more quiet. And he said:
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-3“I am a Jew, born in Tarsus in Cilicia, but brought up in this city, educated at the feet of Gamaliel[77] according to the strict manner of the law of our fathers, being zealous for God as all of you are this day. 4I persecuted this Way to the death, binding and delivering to prison both men and women, 5as the high priest and the whole council of elders can bear me witness. From them I received letters to the brothers, and I journeyed toward Damascus to take those also who were there and bring them in bonds to Jerusalem to be punished.
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-6“As I was on my way and drew near to Damascus, about noon a great light from heaven suddenly shone around me. 7And I fell to the ground and heard a voice saying to me, ‘Saul, Saul, why are you persecuting me?’ 8And I answered, ‘Who are you, Lord?’ And he said to me, ‘I am Jesus of Nazareth, whom you are persecuting.’ 9Now those who were with me saw the light but did not understand[78] the voice of the one who was speaking to me. 10And I said, ‘What shall I do, Lord?’ And the Lord said to me, ‘Rise, and go into Damascus, and there you will be told all that is appointed for you to do.’ 11And since I could not see because of the brightness of that light, I was led by the hand by those who were with me, and came into Damascus.
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-12“And one Ananias, a devout man according to the law, well spoken of by all the Jews who lived there, 13came to me, and standing by me said to me, ‘Brother Saul, receive your sight.’ And at that very hour I received my sight and saw him. 14And he said, ‘The God of our fathers appointed you to know his will, to see the Righteous One and to hear a voice from his mouth; 15for you will be a witness for him to everyone of what you have seen and heard. 16And now why do you wait? Rise and be baptized and wash away your sins, calling on his name.’
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-17“When I had returned to Jerusalem and was praying in the temple, I fell into a trance 18and saw him saying to me, ‘Make haste and get out of Jerusalem quickly, because they will not accept your testimony about me.’ 19And I said, ‘Lord, they themselves know that in one synagogue after another I imprisoned and beat those who believed in you. 20And when the blood of Stephen your witness was being shed, I myself was standing by and approving and watching over the garments of those who killed him.’ 21And he said to me, ‘Go, for I will send you far away to the Gentiles.’”
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-Paul and the Roman Tribune
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-22Up to this word they listened to him. Then they raised their voices and said, “Away with such a fellow from the earth! For he should not be allowed to live.” 23And as they were shouting and throwing off their cloaks and flinging dust into the air, 24the tribune ordered him to be brought into the barracks, saying that he should be examined by flogging, to find out why they were shouting against him like this. 25But when they had stretched him out for the whips,[79] Paul said to the centurion who was standing by, “Is it lawful for you to flog a man who is a Roman citizen and uncondemned?” 26When the centurion heard this, he went to the tribune and said to him, “What are you about to do? For this man is a Roman citizen.” 27So the tribune came and said to him, “Tell me, are you a Roman citizen?” And he said, “Yes.” 28The tribune answered, “I bought this citizenship for a large sum.” Paul said, “But I am a citizen by birth.” 29So those who were about to examine him withdrew from him immediately, and the tribune also was afraid, for he realized that Paul was a Roman citizen and that he had bound him.
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-Paul Before the Council
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-30But on the next day, desiring to know the real reason why he was being accused by the Jews, he unbound him and commanded the chief priests and all the council to meet, and he brought Paul down and set him before them.
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-23:1 And looking intently at the council, Paul said, “Brothers, I have lived my life before God in all good conscience up to this day.” 2And the high priest Ananias commanded those who stood by him to strike him on the mouth. 3Then Paul said to him, “God is going to strike you, you whitewashed wall! Are you sitting to judge me according to the law, and yet contrary to the law you order me to be struck?” 4Those who stood by said, “Would you revile God's high priest?” 5And Paul said, “I did not know, brothers, that he was the high priest, for it is written, ‘You shall not speak evil of a ruler of your people.’”
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-6Now when Paul perceived that one part were Sadducees and the other Pharisees, he cried out in the council, “Brothers, I am a Pharisee, a son of Pharisees. It is with respect to the hope and the resurrection of the dead that I am on trial.” 7And when he had said this, a dissension arose between the Pharisees and the Sadducees, and the assembly was divided. 8For the Sadducees say that there is no resurrection, nor angel, nor spirit, but the Pharisees acknowledge them all. 9Then a great clamor arose, and some of the scribes of the Pharisees' party stood up and contended sharply, “We find nothing wrong in this man. What if a spirit or an angel spoke to him?” 10And when the dissension became violent, the tribune, afraid that Paul would be torn to pieces by them, commanded the soldiers to go down and take him away from among them by force and bring him into the barracks.
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-11The following night the Lord stood by him and said, “Take courage, for as you have testified to the facts about me in Jerusalem, so you must testify also in Rome.”
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-A Plot to Kill Paul
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-12When it was day, the Jews made a plot and bound themselves by an oath neither to eat nor drink till they had killed Paul. 13There were more than forty who made this conspiracy. 14They went to the chief priests and elders and said, “We have strictly bound ourselves by an oath to taste no food till we have killed Paul. 15Now therefore you, along with the council, give notice to the tribune to bring him down to you, as though you were going to determine his case more exactly. And we are ready to kill him before he comes near.”
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-16Now the son of Paul's sister heard of their ambush, so he went and entered the barracks and told Paul. 17Paul called one of the centurions and said, “Take this young man to the tribune, for he has something to tell him.” 18So he took him and brought him to the tribune and said, “Paul the prisoner called me and asked me to bring this young man to you, as he has something to say to you.” 19The tribune took him by the hand, and going aside asked him privately, “What is it that you have to tell me?” 20And he said, “The Jews have agreed to ask you to bring Paul down to the council tomorrow, as though they were going to inquire somewhat more closely about him. 21But do not be persuaded by them, for more than forty of their men are lying in ambush for him, who have bound themselves by an oath neither to eat nor drink till they have killed him. And now they are ready, waiting for your consent.” 22So the tribune dismissed the young man, charging him, “Tell no one that you have informed me of these things.”
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-Paul Sent to Felix the Governor
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-23Then he called two of the centurions and said, “Get ready two hundred soldiers, with seventy horsemen and two hundred spearmen to go as far as Caesarea at the third hour of the night.[80] 24Also provide mounts for Paul to ride and bring him safely to Felix the governor.” 25And he wrote a letter to this effect:
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-26“Claudius Lysias, to his Excellency the governor Felix, greetings. 27This man was seized by the Jews and was about to be killed by them when I came upon them with the soldiers and rescued him, having learned that he was a Roman citizen. 28And desiring to know the charge for which they were accusing him, I brought him down to their council. 29I found that he was being accused about questions of their law, but charged with nothing deserving death or imprisonment. 30And when it was disclosed to me that there would be a plot against the man, I sent him to you at once, ordering his accusers also to state before you what they have against him.”
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-31So the soldiers, according to their instructions, took Paul and brought him by night to Antipatris. 32And on the next day they returned to the barracks, letting the horsemen go on with him. 33When they had come to Caesarea and delivered the letter to the governor, they presented Paul also before him. 34On reading the letter, he asked what province he was from. And when he learned that he was from Cilicia, 35he said, “I will give you a hearing when your accusers arrive.” And he commanded him to be guarded in Herod's praetorium.
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-Paul Before Felix at Caesarea
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-24:1 And after five days the high priest Ananias came down with some elders and a spokesman, one Tertullus. They laid before the governor their case against Paul. 2And when he had been summoned, Tertullus began to accuse him, saying:
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-“Since through you we enjoy much peace, and since by your foresight, most excellent Felix, reforms are being made for this nation, 3in every way and everywhere we accept this with all gratitude. 4But, to detain[81] you no further, I beg you in your kindness to hear us briefly. 5For we have found this man a plague, one who stirs up riots among all the Jews throughout the world and is a ringleader of the sect of the Nazarenes. 6He even tried to profane the temple, but we seized him.[82] 8By examining him yourself you will be able to find out from him about everything of which we accuse him.”
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-9The Jews also joined in the charge, affirming that all these things were so.
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-10And when the governor had nodded to him to speak, Paul replied:
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-“Knowing that for many years you have been a judge over this nation, I cheerfully make my defense. 11You can verify that it is not more than twelve days since I went up to worship in Jerusalem, 12and they did not find me disputing with anyone or stirring up a crowd, either in the temple or in the synagogues or in the city. 13Neither can they prove to you what they now bring up against me. 14But this I confess to you, that according to the Way, which they call a sect, I worship the God of our fathers, believing everything laid down by the Law and written in the Prophets, 15having a hope in God, which these men themselves accept, that there will be a resurrection of both the just and the unjust. 16So I always take pains to have a clear conscience toward both God and man. 17Now after several years I came to bring alms to my nation and to present offerings. 18While I was doing this, they found me purified in the temple, without any crowd or tumult. But some Jews from Asia— 19they ought to be here before you and to make an accusation, should they have anything against me. 20Or else let these men themselves say what wrongdoing they found when I stood before the council, 21other than this one thing that I cried out while standing among them: ‘It is with respect to the resurrection of the dead that I am on trial before you this day.’”
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-
-
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-
-Paul Kept in Custody
-
-
-22But Felix, having a rather accurate knowledge of the Way, put them off, saying, “When Lysias the tribune comes down, I will decide your case.” 23Then he gave orders to the centurion that he should be kept in custody but have some liberty, and that none of his friends should be prevented from attending to his needs.
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-24After some days Felix came with his wife Drusilla, who was Jewish, and he sent for Paul and heard him speak about faith in Christ Jesus. 25And as he reasoned about righteousness and self-control and the coming judgment, Felix was alarmed and said, “Go away for the present. When I get an opportunity I will summon you.” 26At the same time he hoped that money would be given him by Paul. So he sent for him often and conversed with him. 27When two years had elapsed, Felix was succeeded by Porcius Festus. And desiring to do the Jews a favor, Felix left Paul in prison.
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-Paul Appeals to Caesar
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-25:1 Now three days after Festus had arrived in the province, he went up to Jerusalem from Caesarea. 2And the chief priests and the principal men of the Jews laid out their case against Paul, and they urged him, 3asking as a favor against Paul[83] that he summon him to Jerusalem—because they were planning an ambush to kill him on the way. 4Festus replied that Paul was being kept at Caesarea and that he himself intended to go there shortly. 5“So,” said he, “let the men of authority among you go down with me, and if there is anything wrong about the man, let them bring charges against him.”
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-6After he stayed among them not more than eight or ten days, he went down to Caesarea. And the next day he took his seat on the tribunal and ordered Paul to be brought. 7When he had arrived, the Jews who had come down from Jerusalem stood around him, bringing many and serious charges against him that they could not prove. 8Paul argued in his defense, “Neither against the law of the Jews, nor against the temple, nor against Caesar have I committed any offense.” 9But Festus, wishing to do the Jews a favor, said to Paul, “Do you wish to go up to Jerusalem and there be tried on these charges before me?” 10But Paul said, “I am standing before Caesar's tribunal, where I ought to be tried. To the Jews I have done no wrong, as you yourself know very well. 11If then I am a wrongdoer and have committed anything for which I deserve to die, I do not seek to escape death. But if there is nothing to their charges against me, no one can give me up to them. I appeal to Caesar.” 12Then Festus, when he had conferred with his council, answered, “To Caesar you have appealed; to Caesar you shall go.”
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-
-
-Paul Before Agrippa and Bernice
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-
-13Now when some days had passed, Agrippa the king and Bernice arrived at Caesarea and greeted Festus. 14And as they stayed there many days, Festus laid Paul's case before the king, saying, “There is a man left prisoner by Felix, 15and when I was at Jerusalem, the chief priests and the elders of the Jews laid out their case against him, asking for a sentence of condemnation against him. 16I answered them that it was not the custom of the Romans to give up anyone before the accused met the accusers face to face and had opportunity to make his defense concerning the charge laid against him. 17So when they came together here, I made no delay, but on the next day took my seat on the tribunal and ordered the man to be brought. 18When the accusers stood up, they brought no charge in his case of such evils as I supposed. 19Rather they had certain points of dispute with him about their own religion and about a certain Jesus, who was dead, but whom Paul asserted to be alive. 20Being at a loss how to investigate these questions, I asked whether he wanted to go to Jerusalem and be tried there regarding them. 21But when Paul had appealed to be kept in custody for the decision of the emperor, I ordered him to be held until I could send him to Caesar.” 22Then Agrippa said to Festus, “I would like to hear the man myself.” “Tomorrow,” said he, “you will hear him.”
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-23So on the next day Agrippa and Bernice came with great pomp, and they entered the audience hall with the military tribunes and the prominent men of the city. Then, at the command of Festus, Paul was brought in. 24And Festus said, “King Agrippa and all who are present with us, you see this man about whom the whole Jewish people petitioned me, both in Jerusalem and here, shouting that he ought not to live any longer. 25But I found that he had done nothing deserving death. And as he himself appealed to the emperor, I decided to go ahead and send him. 26But I have nothing definite to write to my lord about him. Therefore I have brought him before you all, and especially before you, King Agrippa, so that, after we have examined him, I may have something to write. 27For it seems to me unreasonable, in sending a prisoner, not to indicate the charges against him.”
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-
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-Paul's Defense Before Agrippa
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-26:1 So Agrippa said to Paul, “You have permission to speak for yourself.” Then Paul stretched out his hand and made his defense:
-
-2“I consider myself fortunate that it is before you, King Agrippa, I am going to make my defense today against all the accusations of the Jews, 3especially because you are familiar with all the customs and controversies of the Jews. Therefore I beg you to listen to me patiently.
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-4“My manner of life from my youth, spent from the beginning among my own nation and in Jerusalem, is known by all the Jews. 5They have known for a long time, if they are willing to testify, that according to the strictest party of our religion I have lived as a Pharisee. 6And now I stand here on trial because of my hope in the promise made by God to our fathers, 7to which our twelve tribes hope to attain, as they earnestly worship night and day. And for this hope I am accused by Jews, O king! 8Why is it thought incredible by any of you that God raises the dead?
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-9“I myself was convinced that I ought to do many things in opposing the name of Jesus of Nazareth. 10And I did so in Jerusalem. I not only locked up many of the saints in prison after receiving authority from the chief priests, but when they were put to death I cast my vote against them. 11And I punished them often in all the synagogues and tried to make them blaspheme, and in raging fury against them I persecuted them even to foreign cities.
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-
-
-
-Paul Tells of His Conversion
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-12“In this connection I journeyed to Damascus with the authority and commission of the chief priests. 13At midday, O king, I saw on the way a light from heaven, brighter than the sun, that shone around me and those who journeyed with me. 14And when we had all fallen to the ground, I heard a voice saying to me in the Hebrew language,[84] ‘Saul, Saul, why are you persecuting me? It is hard for you to kick against the goads.’ 15And I said, ‘Who are you, Lord?’ And the Lord said, ‘I am Jesus whom you are persecuting. 16But rise and stand upon your feet, for I have appeared to you for this purpose, to appoint you as a servant and witness to the things in which you have seen me and to those in which I will appear to you, 17delivering you from your people and from the Gentiles—to whom I am sending you 18to open their eyes, so that they may turn from darkness to light and from the power of Satan to God, that they may receive forgiveness of sins and a place among those who are sanctified by faith in me.’
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-19“Therefore, O King Agrippa, I was not disobedient to the heavenly vision, 20but declared first to those in Damascus, then in Jerusalem and throughout all the region of Judea, and also to the Gentiles, that they should repent and turn to God, performing deeds in keeping with their repentance. 21For this reason the Jews seized me in the temple and tried to kill me. 22To this day I have had the help that comes from God, and so I stand here testifying both to small and great, saying nothing but what the prophets and Moses said would come to pass: 23that the Christ must suffer and that, by being the first to rise from the dead, he would proclaim light both to our people and to the Gentiles.”
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-24And as he was saying these things in his defense, Festus said with a loud voice, “Paul, you are out of your mind; your great learning is driving you out of your mind.” 25But Paul said, “I am not out of my mind, most excellent Festus, but I am speaking true and rational words. 26For the king knows about these things, and to him I speak boldly. For I am persuaded that none of these things has escaped his notice, for this has not been done in a corner. 27King Agrippa, do you believe the prophets? I know that you believe.” 28And Agrippa said to Paul, “In a short time would you persuade me to be a Christian?”[85] 29And Paul said, “Whether short or long, I would to God that not only you but also all who hear me this day might become such as I am—except for these chains.”
-
-30Then the king rose, and the governor and Bernice and those who were sitting with them. 31And when they had withdrawn, they said to one another, “This man is doing nothing to deserve death or imprisonment.” 32And Agrippa said to Festus, “This man could have been set free if he had not appealed to Caesar.”
-
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-
-Paul Sails for Rome
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-27:1 And when it was decided that we should sail for Italy, they delivered Paul and some other prisoners to a centurion of the Augustan Cohort named Julius. 2And embarking in a ship of Adramyttium, which was about to sail to the ports along the coast of Asia, we put to sea, accompanied by Aristarchus, a Macedonian from Thessalonica. 3The next day we put in at Sidon. And Julius treated Paul kindly and gave him leave to go to his friends and be cared for. 4And putting out to sea from there we sailed under the lee of Cyprus, because the winds were against us. 5And when we had sailed across the open sea along the coast of Cilicia and Pamphylia, we came to Myra in Lycia. 6There the centurion found a ship of Alexandria sailing for Italy and put us on board. 7We sailed slowly for a number of days and arrived with difficulty off Cnidus, and as the wind did not allow us to go farther, we sailed under the lee of Crete off Salmone. 8Coasting along it with difficulty, we came to a place called Fair Havens, near which was the city of Lasea.
-
-9Since much time had passed, and the voyage was now dangerous because even the Fast[86] was already over, Paul advised them, 10saying, “Sirs, I perceive that the voyage will be with injury and much loss, not only of the cargo and the ship, but also of our lives.” 11But the centurion paid more attention to the pilot and to the owner of the ship than to what Paul said. 12And because the harbor was not suitable to spend the winter in, the majority decided to put out to sea from there, on the chance that somehow they could reach Phoenix, a harbor of Crete, facing both southwest and northwest, and spend the winter there.
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-
-
-
-
-The Storm at Sea
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-13Now when the south wind blew gently, supposing that they had obtained their purpose, they weighed anchor and sailed along Crete, close to the shore. 14But soon a tempestuous wind, called the northeaster, struck down from the land. 15And when the ship was caught and could not face the wind, we gave way to it and were driven along. 16Running under the lee of a small island called Cauda,[87] we managed with difficulty to secure the ship's boat. 17After hoisting it up, they used supports to undergird the ship. Then, fearing that they would run aground on the Syrtis, they lowered the gear,[88] and thus they were driven along. 18Since we were violently storm-tossed, they began the next day to jettison the cargo. 19And on the third day they threw the ship's tackle overboard with their own hands. 20When neither sun nor stars appeared for many days, and no small tempest lay on us, all hope of our being saved was at last abandoned.
-
-21Since they had been without food for a long time, Paul stood up among them and said, “Men, you should have listened to me and not have set sail from Crete and incurred this injury and loss. 22Yet now I urge you to take heart, for there will be no loss of life among you, but only of the ship. 23For this very night there stood before me an angel of the God to whom I belong and whom I worship, 24and he said, ‘Do not be afraid, Paul; you must stand before Caesar. And behold, God has granted you all those who sail with you.’ 25So take heart, men, for I have faith in God that it will be exactly as I have been told. 26But we must run aground on some island.”
-
-27When the fourteenth night had come, as we were being driven across the Adriatic Sea, about midnight the sailors suspected that they were nearing land. 28So they took a sounding and found twenty fathoms.[89] A little farther on they took a sounding again and found fifteen fathoms.[90] 29And fearing that we might run on the rocks, they let down four anchors from the stern and prayed for day to come. 30And as the sailors were seeking to escape from the ship, and had lowered the ship's boat into the sea under pretense of laying out anchors from the bow, 31Paul said to the centurion and the soldiers, “Unless these men stay in the ship, you cannot be saved.” 32Then the soldiers cut away the ropes of the ship's boat and let it go.
-
-33As day was about to dawn, Paul urged them all to take some food, saying, “Today is the fourteenth day that you have continued in suspense and without food, having taken nothing. 34Therefore I urge you to take some food. For it will give you strength, for not a hair is to perish from the head of any of you.” 35And when he had said these things, he took bread, and giving thanks to God in the presence of all he broke it and began to eat. 36Then they all were encouraged and ate some food themselves. 37(We were in all 276[91] persons in the ship.) 38And when they had eaten enough, they lightened the ship, throwing out the wheat into the sea.
-
-
-
-
-
-The Shipwreck
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-39Now when it was day, they did not recognize the land, but they noticed a bay with a beach, on which they planned if possible to run the ship ashore. 40So they cast off the anchors and left them in the sea, at the same time loosening the ropes that tied the rudders. Then hoisting the foresail to the wind they made for the beach. 41But striking a reef,[92] they ran the vessel aground. The bow stuck and remained immovable, and the stern was being broken up by the surf. 42The soldiers' plan was to kill the prisoners, lest any should swim away and escape. 43But the centurion, wishing to save Paul, kept them from carrying out their plan. He ordered those who could swim to jump overboard first and make for the land, 44and the rest on planks or on pieces of the ship. And so it was that all were brought safely to land.
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-
-
-
-
-Paul on Malta
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-
-28:1 After we were brought safely through, we then learned that the island was called Malta. 2The native people[93] showed us unusual kindness, for they kindled a fire and welcomed us all, because it had begun to rain and was cold. 3When Paul had gathered a bundle of sticks and put them on the fire, a viper came out because of the heat and fastened on his hand. 4When the native people saw the creature hanging from his hand, they said to one another, “No doubt this man is a murderer. Though he has escaped from the sea, Justice[94] has not allowed him to live.” 5He, however, shook off the creature into the fire and suffered no harm. 6They were waiting for him to swell up or suddenly fall down dead. But when they had waited a long time and saw no misfortune come to him, they changed their minds and said that he was a god.
-
-7Now in the neighborhood of that place were lands belonging to the chief man of the island, named Publius, who received us and entertained us hospitably for three days. 8It happened that the father of Publius lay sick with fever and dysentery. And Paul visited him and prayed, and putting his hands on him healed him. 9And when this had taken place, the rest of the people on the island who had diseases also came and were cured. 10They also honored us greatly,[95] and when we were about to sail, they put on board whatever we needed.
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-
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-
-Paul Arrives at Rome
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-
-11After three months we set sail in a ship that had wintered in the island, a ship of Alexandria, with the twin gods[96] as a figurehead. 12Putting in at Syracuse, we stayed there for three days. 13And from there we made a circuit and arrived at Rhegium. And after one day a south wind sprang up, and on the second day we came to Puteoli. 14There we found brothers[97] and were invited to stay with them for seven days. And so we came to Rome. 15And the brothers there, when they heard about us, came as far as the Forum of Appius and Three Taverns to meet us. On seeing them, Paul thanked God and took courage. 16And when we came into Rome, Paul was allowed to stay by himself, with the soldier that guarded him.
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-Paul in Rome
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-
-17After three days he called together the local leaders of the Jews, and when they had gathered, he said to them, “Brothers, though I had done nothing against our people or the customs of our fathers, yet I was delivered as a prisoner from Jerusalem into the hands of the Romans. 18When they had examined me, they wished to set me at liberty, because there was no reason for the death penalty in my case. 19But because the Jews objected, I was compelled to appeal to Caesar—though I had no charge to bring against my nation. 20For this reason, therefore, I have asked to see you and speak with you, since it is because of the hope of Israel that I am wearing this chain.” 21And they said to him, “We have received no letters from Judea about you, and none of the brothers coming here has reported or spoken any evil about you. 22But we desire to hear from you what your views are, for with regard to this sect we know that everywhere it is spoken against.”
-
-23When they had appointed a day for him, they came to him at his lodging in greater numbers. From morning till evening he expounded to them, testifying to the kingdom of God and trying to convince them about Jesus both from the Law of Moses and from the Prophets. 24And some were convinced by what he said, but others disbelieved. 25And disagreeing among themselves, they departed after Paul had made one statement: “The Holy Spirit was right in saying to your fathers through Isaiah the prophet:
-
-26“‘Go to this people, and say,
-
-You will indeed hear but never understand,
-
-and you will indeed see but never perceive.
-
-27For this people's heart has grown dull,
-
-and with their ears they can barely hear,
-
-and their eyes they have closed;
-
-lest they should see with their eyes
-
-and hear with their ears
-
-and understand with their heart
-
-and turn, and I would heal them.’
-
-28Therefore let it be known to you that this salvation of God has been sent to the Gentiles; they will listen.”[98]
-
-30He lived there two whole years at his own expense,[99] and welcomed all who came to him, 31proclaiming the kingdom of God and teaching about the Lord Jesus Christ with all boldness and without hindrance.
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-
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-
-Footnotes
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-
-[1] 1:4 Or eating
-
-[2] 1:5 Or in
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-[3] 1:14 Or brothers and sisters. The plural Greek word adelphoi (translated “brothers”) refers to siblings in a family. In New Testament usage, depending on the context, adelphoi may refer either to men or to both men and women who are siblings (brothers and sisters) in God's family, the church; also verse 15
-
-[4] 1:18 Or swelling up
-
-[5] 2:3 Or And tongues as of fire appeared to them, distributed among them, and rested
-
-[6] 2:15 That is, 9 A.M.
-
-[7] 2:18 Greek bondservants; twice in this verse
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-[8] 2:43 Or fear
-
-[9] 3:1 That is, 3 P.M.
-
-[10] 3:13 Or child; also verse 26
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-[11] 3:16 Greek him
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-[12] 4:11 Greek This one
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-[13] 4:11 Greek the head of the corner
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-[14] 4:25 Or child; also verses 27, 30
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-[15] 4:26 Or Christ
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-[16] 4:29 Greek bondservants
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-[17] 5:8 The Greek for you is plural here
-
-[18] 6:1 That is, Greek-speaking Jews
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-[19] 6:3 Or brothers and sisters
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-[20] 7:46 Some manuscripts for the house of Jacob
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-[21] 7:57 Or rushed with one mind
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-[22] 8:5 Some manuscripts a city
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-[23] 8:13 Greek works of power
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-[24] 8:23 That is, a bitter fluid secreted by the liver; bile
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-[25] 8:26 Or go at about noon
-
-[26] 8:36 Some manuscripts add all or most of verse 37: And Philip said, “If you believe with all your heart, you may.” And he replied, “I believe that Jesus Christ is the Son of God.”
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-[27] 9:25 Greek through the wall
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-[28] 9:29 That is, Greek-speaking Jews
-
-[29] 9:36 The Aramaic name Tabitha and the Greek name Dorcas both mean gazelle
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-[30] 9:39 Greek chiton, a long garment worn under the cloak next to the skin
-
-[31] 10:3 That is, 3 P.M.
-
-[32] 10:9 That is, noon
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-[33] 10:30 That is, 3 P.M.
-
-[34] 11:1 Or brothers and sisters
-
-[35] 11:20 Or Greeks (that is, Greek-speaking non-Jews)
-
-[36] 11:29 Or brothers and sisters
-
-[37] 12:17 Or brothers and sisters
-
-[38] 12:25 Some manuscripts to
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-[39] 13:1 Niger is a Latin word meaning black, or dark
-
-[40] 13:18 Some manuscripts he carried (compare Deuteronomy 1:31)
-
-[41] 13:39 Greek justified; twice in this verse
-
-[42] 14:2 Or brothers and sisters
-
-[43] 14:9 Or be saved
-
-[44] 15:3 Or brothers and sisters; also verse 22
-
-[45] 15:17 Or rest
-
-[46] 15:23 Or brothers and sisters; also verses 32, 33, 36
-
-[47] 15:24 Some manuscripts some persons from us have troubled you
-
-[48] 15:33 Some manuscripts insert verse 34: But it seemed good to Silas to remain there
-
-[49] 16:1 Greek He
-
-[50] 16:2 Or brothers and sisters; also verse 40
-
-[51] 16:10 Greek he
-
-[52] 16:12 Or that
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-[53] 16:17 Greek bondservants
-
-[54] 16:29 Greek he
-
-[55] 17:10 Or brothers and sisters; also verse 14
-
-[56] 17:24 Greek made by hands
-
-[57] 17:28 Probably from Epimenides of Crete
-
-[58] 17:28 From Aratus's poem “Phainomena”
-
-[59] 18:1 Greek he
-
-[60] 18:18 Or brothers and sisters; also verse 27
-
-[61] 18:25 Or in the Spirit
-
-[62] 19:1 Greek upper (that is, highland)
-
-[63] 19:5 Or into
-
-[64] 19:9 Some manuscripts add from the fifth hour to the tenth (that is, from 11 A.M. to 4 P.M.)
-
-[65] 19:16 Or both
-
-[66] 19:31 That is, high-ranking officers of the province of Asia
-
-[67] 19:35 The meaning of the Greek is uncertain
-
-[68] 19:39 Some manuscripts seek about other matters
-
-[69] 20:15 Some manuscripts add after remaining at Trogyllium
-
-[70] 20:22 Or bound in
-
-[71] 20:28 Some manuscripts of the Lord
-
-[72] 20:28 Or with the blood of his Own
-
-[73] 21:1 Some manuscripts add and Myra
-
-[74] 21:7 Or brothers and sisters; also verse 17
-
-[75] 21:25 Some manuscripts omit and from what has been strangled
-
-[76] 21:40 Or the Hebrew dialect (that is, Aramaic); also 22:2
-
-[77] 22:3 Or city at the feet of Gamaliel, educated
-
-[78] 22:9 Or hear with understanding
-
-[79] 22:25 Or when they had tied him up with leather strips
-
-[80] 23:23 That is, 9 P.M.
-
-[81] 24:4 Or weary
-
-[82] 24:6 Some manuscripts add and we would have judged him according to our law. 7But the chief captain Lysias came and with great violence took him out of our hands, 8commanding his accusers to come before you.
-
-[83] 25:3 Greek him
-
-[84] 26:14 Or the Hebrew dialect (that is, Aramaic)
-
-[85] 26:28 Or In a short time you would persuade me to act like a Christian!
-
-[86] 27:9 That is, the Day of Atonement
-
-[87] 27:16 Some manuscripts Clauda
-
-[88] 27:17 That is, the sea-anchor (or possibly the mainsail)
-
-[89] 27:28 About 120 feet; a fathom (Greek orguia) was about 6 feet or 2 meters
-
-[90] 27:28 About 90 feet (see previous note)
-
-[91] 27:37 Some manuscripts seventy-six, or about seventy-six
-
-[92] 27:41 Or sandbank, or crosscurrent; Greek place between two seas
-
-[93] 28:2 Greek barbaroi (that is, non–Greek speakers); also verse 4
-
-[94] 28:4 Or justice
-
-[95] 28:10 Greek honored us with many honors
-
-[96] 28:11 That is, the Greek gods Castor and Pollux
-
-[97] 28:14 Or brothers and sisters; also verses 15, 21
-
-[98] 28:28 Some manuscripts add verse 29: And when he had said these words, the Jews departed, having much dispute among themselves
-
-[99] 28:30 Or in his own hired dwelling
-
-
-
-
-
-ROMANS
-
-
-Chapter 1
-
-Chapter 2
-
-Chapter 3
-
-Chapter 4
-
-Chapter 5
-
-Chapter 6
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-Chapter 7
-
-Chapter 8
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-Chapter 9
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-Chapter 10
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-Chapter 11
-
-Chapter 12
-
-Chapter 13
-
-Chapter 14
-
-Chapter 15
-
-Chapter 16
-
-
-
-
-
-Greeting
-
-
-1:1 Paul, a servant[1] of Christ Jesus, called to be an apostle, set apart for the gospel of God, 2which he promised beforehand through his prophets in the holy Scriptures, 3concerning his Son, who was descended from David[2] according to the flesh 4and was declared to be the Son of God in power according to the Spirit of holiness by his resurrection from the dead, Jesus Christ our Lord, 5through whom we have received grace and apostleship to bring about the obedience of faith for the sake of his name among all the nations, 6including you who are called to belong to Jesus Christ,
-
-7To all those in Rome who are loved by God and called to be saints:
-
-Grace to you and peace from God our Father and the Lord Jesus Christ.
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-
-
-
-
-Longing to Go to Rome
-
-
-8First, I thank my God through Jesus Christ for all of you, because your faith is proclaimed in all the world. 9For God is my witness, whom I serve with my spirit in the gospel of his Son, that without ceasing I mention you 10always in my prayers, asking that somehow by God's will I may now at last succeed in coming to you. 11For I long to see you, that I may impart to you some spiritual gift to strengthen you— 12that is, that we may be mutually encouraged by each other's faith, both yours and mine. 13I want you to know, brothers,[3] that I have often intended to come to you (but thus far have been prevented), in order that I may reap some harvest among you as well as among the rest of the Gentiles. 14I am under obligation both to Greeks and to barbarians,[4] both to the wise and to the foolish. 15So I am eager to preach the gospel to you also who are in Rome.
-
-
-
-
-
-The Righteous Shall Live by Faith
-
-
-16For I am not ashamed of the gospel, for it is the power of God for salvation to everyone who believes, to the Jew first and also to the Greek. 17For in it the righteousness of God is revealed from faith for faith,[5] as it is written, “The righteous shall live by faith.”[6]
-
-
-
-
-
-God's Wrath on Unrighteousness
-
-
-18For the wrath of God is revealed from heaven against all ungodliness and unrighteousness of men, who by their unrighteousness suppress the truth. 19For what can be known about God is plain to them, because God has shown it to them. 20For his invisible attributes, namely, his eternal power and divine nature, have been clearly perceived, ever since the creation of the world, in the things that have been made. So they are without excuse. 21For although they knew God, they did not honor him as God or give thanks to him, but they became futile in their thinking, and their foolish hearts were darkened. 22Claiming to be wise, they became fools, 23and exchanged the glory of the immortal God for images resembling mortal man and birds and animals and creeping things.
-
-24Therefore God gave them up in the lusts of their hearts to impurity, to the dishonoring of their bodies among themselves, 25because they exchanged the truth about God for a lie and worshiped and served the creature rather than the Creator, who is blessed forever! Amen.
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-26For this reason God gave them up to dishonorable passions. For their women exchanged natural relations for those that are contrary to nature; 27and the men likewise gave up natural relations with women and were consumed with passion for one another, men committing shameless acts with men and receiving in themselves the due penalty for their error.
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-28And since they did not see fit to acknowledge God, God gave them up to a debased mind to do what ought not to be done. 29They were filled with all manner of unrighteousness, evil, covetousness, malice. They are full of envy, murder, strife, deceit, maliciousness. They are gossips, 30slanderers, haters of God, insolent, haughty, boastful, inventors of evil, disobedient to parents, 31foolish, faithless, heartless, ruthless. 32Though they know God's decree that those who practice such things deserve to die, they not only do them but give approval to those who practice them.
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-God's Righteous Judgment
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-2:1 Therefore you have no excuse, O man, every one of you who judges. For in passing judgment on another you condemn yourself, because you, the judge, practice the very same things. 2We know that the judgment of God rightly falls on those who practice such things. 3Do you suppose, O man—you who judge those who practice such things and yet do them yourself—that you will escape the judgment of God? 4Or do you presume on the riches of his kindness and forbearance and patience, not knowing that God's kindness is meant to lead you to repentance? 5But because of your hard and impenitent heart you are storing up wrath for yourself on the day of wrath when God's righteous judgment will be revealed.
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-6He will render to each one according to his works: 7to those who by patience in well-doing seek for glory and honor and immortality, he will give eternal life; 8but for those who are self-seeking[7] and do not obey the truth, but obey unrighteousness, there will be wrath and fury. 9There will be tribulation and distress for every human being who does evil, the Jew first and also the Greek, 10but glory and honor and peace for everyone who does good, the Jew first and also the Greek. 11For God shows no partiality.
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-God's Judgment and the Law
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-12For all who have sinned without the law will also perish without the law, and all who have sinned under the law will be judged by the law. 13For it is not the hearers of the law who are righteous before God, but the doers of the law who will be justified. 14For when Gentiles, who do not have the law, by nature do what the law requires, they are a law to themselves, even though they do not have the law. 15They show that the work of the law is written on their hearts, while their conscience also bears witness, and their conflicting thoughts accuse or even excuse them 16on that day when, according to my gospel, God judges the secrets of men by Christ Jesus.
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-17But if you call yourself a Jew and rely on the law and boast in God 18and know his will and approve what is excellent, because you are instructed from the law; 19and if you are sure that you yourself are a guide to the blind, a light to those who are in darkness, 20an instructor of the foolish, a teacher of children, having in the law the embodiment of knowledge and truth— 21you then who teach others, do you not teach yourself? While you preach against stealing, do you steal? 22You who say that one must not commit adultery, do you commit adultery? You who abhor idols, do you rob temples? 23You who boast in the law dishonor God by breaking the law. 24For, as it is written, “The name of God is blasphemed among the Gentiles because of you.”
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-25For circumcision indeed is of value if you obey the law, but if you break the law, your circumcision becomes uncircumcision. 26So, if a man who is uncircumcised keeps the precepts of the law, will not his uncircumcision be regarded[8] as circumcision? 27Then he who is physically uncircumcised but keeps the law will condemn you who have the written code[9] and circumcision but break the law. 28For no one is a Jew who is merely one outwardly, nor is circumcision outward and physical. 29But a Jew is one inwardly, and circumcision is a matter of the heart, by the Spirit, not by the letter. His praise is not from man but from God.
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-God's Righteousness Upheld
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-3:1 Then what advantage has the Jew? Or what is the value of circumcision? 2Much in every way. To begin with, the Jews were entrusted with the oracles of God. 3What if some were unfaithful? Does their faithlessness nullify the faithfulness of God? 4By no means! Let God be true though every one were a liar, as it is written,
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-“That you may be justified in your words,
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-and prevail when you are judged.”
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-5But if our unrighteousness serves to show the righteousness of God, what shall we say? That God is unrighteous to inflict wrath on us? (I speak in a human way.) 6By no means! For then how could God judge the world? 7But if through my lie God's truth abounds to his glory, why am I still being condemned as a sinner? 8And why not do evil that good may come?—as some people slanderously charge us with saying. Their condemnation is just.
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-No One Is Righteous
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-9What then? Are we Jews[10] any better off?[11] No, not at all. For we have already charged that all, both Jews and Greeks, are under sin, 10as it is written:
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-“None is righteous, no, not one;
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-11no one understands;
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-no one seeks for God.
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-12All have turned aside; together they have become worthless;
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-no one does good,
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-not even one.”
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-13“Their throat is an open grave;
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-they use their tongues to deceive.”
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-“The venom of asps is under their lips.”
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-14“Their mouth is full of curses and bitterness.”
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-15“Their feet are swift to shed blood;
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-16in their paths are ruin and misery,
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-17and the way of peace they have not known.”
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-18“There is no fear of God before their eyes.”
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-19Now we know that whatever the law says it speaks to those who are under the law, so that every mouth may be stopped, and the whole world may be held accountable to God. 20For by works of the law no human being[12] will be justified in his sight, since through the law comes knowledge of sin.
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-The Righteousness of God Through Faith
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-21But now the righteousness of God has been manifested apart from the law, although the Law and the Prophets bear witness to it— 22the righteousness of God through faith in Jesus Christ for all who believe. For there is no distinction: 23for all have sinned and fall short of the glory of God, 24and are justified by his grace as a gift, through the redemption that is in Christ Jesus, 25whom God put forward as a propitiation by his blood, to be received by faith. This was to show God's righteousness, because in his divine forbearance he had passed over former sins. 26It was to show his righteousness at the present time, so that he might be just and the justifier of the one who has faith in Jesus.
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-27Then what becomes of our boasting? It is excluded. By what kind of law? By a law of works? No, but by the law of faith. 28For we hold that one is justified by faith apart from works of the law. 29Or is God the God of Jews only? Is he not the God of Gentiles also? Yes, of Gentiles also, 30since God is one—who will justify the circumcised by faith and the uncircumcised through faith. 31Do we then overthrow the law by this faith? By no means! On the contrary, we uphold the law.
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-Abraham Justified by Faith
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-4:1 What then shall we say was gained by[13] Abraham, our forefather according to the flesh? 2For if Abraham was justified by works, he has something to boast about, but not before God. 3For what does the Scripture say? “Abraham believed God, and it was counted to him as righteousness.” 4Now to the one who works, his wages are not counted as a gift but as his due. 5And to the one who does not work but believes in[14] him who justifies the ungodly, his faith is counted as righteousness, 6just as David also speaks of the blessing of the one to whom God counts righteousness apart from works:
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-7“Blessed are those whose lawless deeds are forgiven,
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-and whose sins are covered;
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-8blessed is the man against whom the Lord will not count his sin.”
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-9Is this blessing then only for the circumcised, or also for the uncircumcised? We say that faith was counted to Abraham as righteousness. 10How then was it counted to him? Was it before or after he had been circumcised? It was not after, but before he was circumcised. 11He received the sign of circumcision as a seal of the righteousness that he had by faith while he was still uncircumcised. The purpose was to make him the father of all who believe without being circumcised, so that righteousness would be counted to them as well, 12and to make him the father of the circumcised who are not merely circumcised but who also walk in the footsteps of the faith that our father Abraham had before he was circumcised.
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-The Promise Realized Through Faith
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-13For the promise to Abraham and his offspring that he would be heir of the world did not come through the law but through the righteousness of faith. 14For if it is the adherents of the law who are to be the heirs, faith is null and the promise is void. 15For the law brings wrath, but where there is no law there is no transgression.
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-16That is why it depends on faith, in order that the promise may rest on grace and be guaranteed to all his offspring—not only to the adherent of the law but also to the one who shares the faith of Abraham, who is the father of us all, 17as it is written, “I have made you the father of many nations”—in the presence of the God in whom he believed, who gives life to the dead and calls into existence the things that do not exist. 18In hope he believed against hope, that he should become the father of many nations, as he had been told, “So shall your offspring be.” 19He did not weaken in faith when he considered his own body, which was as good as dead (since he was about a hundred years old), or when he considered the barrenness of Sarah's womb. 20No distrust made him waver concerning the promise of God, but he grew strong in his faith as he gave glory to God, 21fully convinced that God was able to do what he had promised. 22That is why his faith was “counted to him as righteousness.” 23But the words “it was counted to him” were not written for his sake alone, 24but for ours also. It will be counted to us who believe in him who raised from the dead Jesus our Lord, 25who was delivered up for our trespasses and raised for our justification.
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-Peace with God Through Faith
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-5:1 Therefore, since we have been justified by faith, we[15] have peace with God through our Lord Jesus Christ. 2Through him we have also obtained access by faith[16] into this grace in which we stand, and we[17] rejoice[18] in hope of the glory of God. 3More than that, we rejoice in our sufferings, knowing that suffering produces endurance, 4and endurance produces character, and character produces hope, 5and hope does not put us to shame, because God's love has been poured into our hearts through the Holy Spirit who has been given to us.
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-6For while we were still weak, at the right time Christ died for the ungodly. 7For one will scarcely die for a righteous person—though perhaps for a good person one would dare even to die— 8but God shows his love for us in that while we were still sinners, Christ died for us. 9Since, therefore, we have now been justified by his blood, much more shall we be saved by him from the wrath of God. 10For if while we were enemies we were reconciled to God by the death of his Son, much more, now that we are reconciled, shall we be saved by his life. 11More than that, we also rejoice in God through our Lord Jesus Christ, through whom we have now received reconciliation.
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-Death in Adam, Life in Christ
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-12Therefore, just as sin came into the world through one man, and death through sin, and so death spread to all men because all sinned— 13for sin indeed was in the world before the law was given, but sin is not counted where there is no law. 14Yet death reigned from Adam to Moses, even over those whose sinning was not like the transgression of Adam, who was a type of the one who was to come.
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-15But the free gift is not like the trespass. For if many died through one man's trespass, much more have the grace of God and the free gift by the grace of that one man Jesus Christ abounded for many. 16And the free gift is not like the result of that one man's sin. For the judgment following one trespass brought condemnation, but the free gift following many trespasses brought justification. 17For if, because of one man's trespass, death reigned through that one man, much more will those who receive the abundance of grace and the free gift of righteousness reign in life through the one man Jesus Christ.
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-18Therefore, as one trespass[19] led to condemnation for all men, so one act of righteousness[20] leads to justification and life for all men. 19For as by the one man's disobedience the many were made sinners, so by the one man's obedience the many will be made righteous. 20Now the law came in to increase the trespass, but where sin increased, grace abounded all the more, 21so that, as sin reigned in death, grace also might reign through righteousness leading to eternal life through Jesus Christ our Lord.
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-Dead to Sin, Alive to God
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-6:1 What shall we say then? Are we to continue in sin that grace may abound? 2By no means! How can we who died to sin still live in it? 3Do you not know that all of us who have been baptized into Christ Jesus were baptized into his death? 4We were buried therefore with him by baptism into death, in order that, just as Christ was raised from the dead by the glory of the Father, we too might walk in newness of life.
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-5For if we have been united with him in a death like his, we shall certainly be united with him in a resurrection like his. 6We know that our old self[21] was crucified with him in order that the body of sin might be brought to nothing, so that we would no longer be enslaved to sin. 7For one who has died has been set free[22] from sin. 8Now if we have died with Christ, we believe that we will also live with him. 9We know that Christ, being raised from the dead, will never die again; death no longer has dominion over him. 10For the death he died he died to sin, once for all, but the life he lives he lives to God. 11So you also must consider yourselves dead to sin and alive to God in Christ Jesus.
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-12Let not sin therefore reign in your mortal body, to make you obey its passions. 13Do not present your members to sin as instruments for unrighteousness, but present yourselves to God as those who have been brought from death to life, and your members to God as instruments for righteousness. 14For sin will have no dominion over you, since you are not under law but under grace.
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-Slaves to Righteousness
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-15What then? Are we to sin because we are not under law but under grace? By no means! 16Do you not know that if you present yourselves to anyone as obedient slaves,[23] you are slaves of the one whom you obey, either of sin, which leads to death, or of obedience, which leads to righteousness? 17But thanks be to God, that you who were once slaves of sin have become obedient from the heart to the standard of teaching to which you were committed, 18and, having been set free from sin, have become slaves of righteousness. 19I am speaking in human terms, because of your natural limitations. For just as you once presented your members as slaves to impurity and to lawlessness leading to more lawlessness, so now present your members as slaves to righteousness leading to sanctification.
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-20For when you were slaves of sin, you were free in regard to righteousness. 21But what fruit were you getting at that time from the things of which you are now ashamed? For the end of those things is death. 22But now that you have been set free from sin and have become slaves of God, the fruit you get leads to sanctification and its end, eternal life. 23For the wages of sin is death, but the free gift of God is eternal life in Christ Jesus our Lord.
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-Released from the Law
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-7:1 Or do you not know, brothers[24]—for I am speaking to those who know the law—that the law is binding on a person only as long as he lives? 2For a married woman is bound by law to her husband while he lives, but if her husband dies she is released from the law of marriage.[25] 3Accordingly, she will be called an adulteress if she lives with another man while her husband is alive. But if her husband dies, she is free from that law, and if she marries another man she is not an adulteress.
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-4Likewise, my brothers, you also have died to the law through the body of Christ, so that you may belong to another, to him who has been raised from the dead, in order that we may bear fruit for God. 5For while we were living in the flesh, our sinful passions, aroused by the law, were at work in our members to bear fruit for death. 6But now we are released from the law, having died to that which held us captive, so that we serve in the new way of the Spirit and not in the old way of the written code.[26]
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-The Law and Sin
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-7What then shall we say? That the law is sin? By no means! Yet if it had not been for the law, I would not have known sin. For I would not have known what it is to covet if the law had not said, “You shall not covet.” 8But sin, seizing an opportunity through the commandment, produced in me all kinds of covetousness. For apart from the law, sin lies dead. 9I was once alive apart from the law, but when the commandment came, sin came alive and I died. 10The very commandment that promised life proved to be death to me. 11For sin, seizing an opportunity through the commandment, deceived me and through it killed me. 12So the law is holy, and the commandment is holy and righteous and good.
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-13Did that which is good, then, bring death to me? By no means! It was sin, producing death in me through what is good, in order that sin might be shown to be sin, and through the commandment might become sinful beyond measure. 14For we know that the law is spiritual, but I am of the flesh, sold under sin. 15For I do not understand my own actions. For I do not do what I want, but I do the very thing I hate. 16Now if I do what I do not want, I agree with the law, that it is good. 17So now it is no longer I who do it, but sin that dwells within me. 18For I know that nothing good dwells in me, that is, in my flesh. For I have the desire to do what is right, but not the ability to carry it out. 19For I do not do the good I want, but the evil I do not want is what I keep on doing. 20Now if I do what I do not want, it is no longer I who do it, but sin that dwells within me.
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-21So I find it to be a law that when I want to do right, evil lies close at hand. 22For I delight in the law of God, in my inner being, 23but I see in my members another law waging war against the law of my mind and making me captive to the law of sin that dwells in my members. 24Wretched man that I am! Who will deliver me from this body of death? 25Thanks be to God through Jesus Christ our Lord! So then, I myself serve the law of God with my mind, but with my flesh I serve the law of sin.
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-Life in the Spirit
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-8:1 There is therefore now no condemnation for those who are in Christ Jesus.[27] 2For the law of the Spirit of life has set you[28] free in Christ Jesus from the law of sin and death. 3For God has done what the law, weakened by the flesh, could not do. By sending his own Son in the likeness of sinful flesh and for sin,[29] he condemned sin in the flesh, 4in order that the righteous requirement of the law might be fulfilled in us, who walk not according to the flesh but according to the Spirit. 5For those who live according to the flesh set their minds on the things of the flesh, but those who live according to the Spirit set their minds on the things of the Spirit. 6For to set the mind on the flesh is death, but to set the mind on the Spirit is life and peace. 7For the mind that is set on the flesh is hostile to God, for it does not submit to God's law; indeed, it cannot. 8Those who are in the flesh cannot please God.
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-9You, however, are not in the flesh but in the Spirit, if in fact the Spirit of God dwells in you. Anyone who does not have the Spirit of Christ does not belong to him. 10But if Christ is in you, although the body is dead because of sin, the Spirit is life because of righteousness. 11If the Spirit of him who raised Jesus from the dead dwells in you, he who raised Christ Jesus from the dead will also give life to your mortal bodies through his Spirit who dwells in you.
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-Heirs with Christ
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-12So then, brothers,[30] we are debtors, not to the flesh, to live according to the flesh. 13For if you live according to the flesh you will die, but if by the Spirit you put to death the deeds of the body, you will live. 14For all who are led by the Spirit of God are sons[31] of God. 15For you did not receive the spirit of slavery to fall back into fear, but you have received the Spirit of adoption as sons, by whom we cry, “Abba! Father!” 16The Spirit himself bears witness with our spirit that we are children of God, 17and if children, then heirs—heirs of God and fellow heirs with Christ, provided we suffer with him in order that we may also be glorified with him.
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-Future Glory
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-18For I consider that the sufferings of this present time are not worth comparing with the glory that is to be revealed to us. 19For the creation waits with eager longing for the revealing of the sons of God. 20For the creation was subjected to futility, not willingly, but because of him who subjected it, in hope 21that the creation itself will be set free from its bondage to corruption and obtain the freedom of the glory of the children of God. 22For we know that the whole creation has been groaning together in the pains of childbirth until now. 23And not only the creation, but we ourselves, who have the firstfruits of the Spirit, groan inwardly as we wait eagerly for adoption as sons, the redemption of our bodies. 24For in this hope we were saved. Now hope that is seen is not hope. For who hopes for what he sees? 25But if we hope for what we do not see, we wait for it with patience.
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-26Likewise the Spirit helps us in our weakness. For we do not know what to pray for as we ought, but the Spirit himself intercedes for us with groanings too deep for words. 27And he who searches hearts knows what is the mind of the Spirit, because[32] the Spirit intercedes for the saints according to the will of God. 28And we know that for those who love God all things work together for good,[33] for those who are called according to his purpose. 29For those whom he foreknew he also predestined to be conformed to the image of his Son, in order that he might be the firstborn among many brothers. 30And those whom he predestined he also called, and those whom he called he also justified, and those whom he justified he also glorified.
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-God's Everlasting Love
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-31What then shall we say to these things? If God is for us, who can be[34] against us? 32He who did not spare his own Son but gave him up for us all, how will he not also with him graciously give us all things? 33Who shall bring any charge against God's elect? It is God who justifies. 34Who is to condemn? Christ Jesus is the one who died—more than that, who was raised—who is at the right hand of God, who indeed is interceding for us.[35] 35Who shall separate us from the love of Christ? Shall tribulation, or distress, or persecution, or famine, or nakedness, or danger, or sword? 36As it is written,
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-“For your sake we are being killed all the day long;
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-we are regarded as sheep to be slaughtered.”
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-37No, in all these things we are more than conquerors through him who loved us. 38For I am sure that neither death nor life, nor angels nor rulers, nor things present nor things to come, nor powers, 39nor height nor depth, nor anything else in all creation, will be able to separate us from the love of God in Christ Jesus our Lord.
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-God's Sovereign Choice
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-9:1 I am speaking the truth in Christ—I am not lying; my conscience bears me witness in the Holy Spirit— 2that I have great sorrow and unceasing anguish in my heart. 3For I could wish that I myself were accursed and cut off from Christ for the sake of my brothers,[36] my kinsmen according to the flesh. 4They are Israelites, and to them belong the adoption, the glory, the covenants, the giving of the law, the worship, and the promises. 5To them belong the patriarchs, and from their race, according to the flesh, is the Christ who is God over all, blessed forever. Amen.
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-6But it is not as though the word of God has failed. For not all who are descended from Israel belong to Israel, 7and not all are children of Abraham because they are his offspring, but “Through Isaac shall your offspring be named.” 8This means that it is not the children of the flesh who are the children of God, but the children of the promise are counted as offspring. 9For this is what the promise said: “About this time next year I will return, and Sarah shall have a son.” 10And not only so, but also when Rebekah had conceived children by one man, our forefather Isaac, 11though they were not yet born and had done nothing either good or bad—in order that God's purpose of election might continue, not because of works but because of him who calls— 12she was told, “The older will serve the younger.” 13As it is written, “Jacob I loved, but Esau I hated.”
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-14What shall we say then? Is there injustice on God's part? By no means! 15For he says to Moses, “I will have mercy on whom I have mercy, and I will have compassion on whom I have compassion.” 16So then it depends not on human will or exertion,[37] but on God, who has mercy. 17For the Scripture says to Pharaoh, “For this very purpose I have raised you up, that I might show my power in you, and that my name might be proclaimed in all the earth.” 18So then he has mercy on whomever he wills, and he hardens whomever he wills.
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-19You will say to me then, “Why does he still find fault? For who can resist his will?” 20But who are you, O man, to answer back to God? Will what is molded say to its molder, “Why have you made me like this?” 21Has the potter no right over the clay, to make out of the same lump one vessel for honorable use and another for dishonorable use? 22What if God, desiring to show his wrath and to make known his power, has endured with much patience vessels of wrath prepared for destruction, 23in order to make known the riches of his glory for vessels of mercy, which he has prepared beforehand for glory— 24even us whom he has called, not from the Jews only but also from the Gentiles? 25As indeed he says in Hosea,
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-“Those who were not my people I will call ‘my people,’
-
-and her who was not beloved I will call ‘beloved.’”
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-26“And in the very place where it was said to them, ‘You are not my people,’
-
-there they will be called ‘sons of the living God.’”
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-27And Isaiah cries out concerning Israel: “Though the number of the sons of Israel[38] be as the sand of the sea, only a remnant of them will be saved, 28for the Lord will carry out his sentence upon the earth fully and without delay.” 29And as Isaiah predicted,
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-“If the Lord of hosts had not left us offspring,
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-we would have been like Sodom
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-and become like Gomorrah.”
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-Israel's Unbelief
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-30What shall we say, then? That Gentiles who did not pursue righteousness have attained it, that is, a righteousness that is by faith; 31but that Israel who pursued a law that would lead to righteousness[39] did not succeed in reaching that law. 32Why? Because they did not pursue it by faith, but as if it were based on works. They have stumbled over the stumbling stone, 33as it is written,
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-“Behold, I am laying in Zion a stone of stumbling, and a rock of offense;
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-and whoever believes in him will not be put to shame.”
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-10:1 Brothers,[40] my heart's desire and prayer to God for them is that they may be saved. 2For I bear them witness that they have a zeal for God, but not according to knowledge. 3For, being ignorant of the righteousness of God, and seeking to establish their own, they did not submit to God's righteousness. 4For Christ is the end of the law for righteousness to everyone who believes.[41]
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-The Message of Salvation to All
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-5For Moses writes about the righteousness that is based on the law, that the person who does the commandments shall live by them. 6But the righteousness based on faith says, “Do not say in your heart, ‘Who will ascend into heaven?’” (that is, to bring Christ down) 7or “‘Who will descend into the abyss?’” (that is, to bring Christ up from the dead). 8But what does it say? “The word is near you, in your mouth and in your heart” (that is, the word of faith that we proclaim); 9because, if you confess with your mouth that Jesus is Lord and believe in your heart that God raised him from the dead, you will be saved. 10For with the heart one believes and is justified, and with the mouth one confesses and is saved. 11For the Scripture says, “Everyone who believes in him will not be put to shame.” 12For there is no distinction between Jew and Greek; for the same Lord is Lord of all, bestowing his riches on all who call on him. 13For “everyone who calls on the name of the Lord will be saved.”
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-14How then will they call on him in whom they have not believed? And how are they to believe in him of whom they have never heard?[42] And how are they to hear without someone preaching? 15And how are they to preach unless they are sent? As it is written, “How beautiful are the feet of those who preach the good news!” 16But they have not all obeyed the gospel. For Isaiah says, “Lord, who has believed what he has heard from us?” 17So faith comes from hearing, and hearing through the word of Christ.
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-18But I ask, have they not heard? Indeed they have, for
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-“Their voice has gone out to all the earth,
-
-and their words to the ends of the world.”
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-19But I ask, did Israel not understand? First Moses says,
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-“I will make you jealous of those who are not a nation;
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-with a foolish nation I will make you angry.”
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-20Then Isaiah is so bold as to say,
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-“I have been found by those who did not seek me;
-
-I have shown myself to those who did not ask for me.”
-
-21But of Israel he says, “All day long I have held out my hands to a disobedient and contrary people.”
-
-
-
-
-
-The Remnant of Israel
-
-
-11:1 I ask, then, has God rejected his people? By no means! For I myself am an Israelite, a descendant of Abraham,[43] a member of the tribe of Benjamin. 2God has not rejected his people whom he foreknew. Do you not know what the Scripture says of Elijah, how he appeals to God against Israel? 3“Lord, they have killed your prophets, they have demolished your altars, and I alone am left, and they seek my life.” 4But what is God's reply to him? “I have kept for myself seven thousand men who have not bowed the knee to Baal.” 5So too at the present time there is a remnant, chosen by grace. 6But if it is by grace, it is no longer on the basis of works; otherwise grace would no longer be grace.
-
-7What then? Israel failed to obtain what it was seeking. The elect obtained it, but the rest were hardened, 8as it is written,
-
-“God gave them a spirit of stupor,
-
-eyes that would not see
-
-and ears that would not hear,
-
-down to this very day.”
-
-9And David says,
-
-“Let their table become a snare and a trap,
-
-a stumbling block and a retribution for them;
-
-10let their eyes be darkened so that they cannot see,
-
-and bend their backs forever.”
-
-
-
-
-
-Gentiles Grafted In
-
-
-11So I ask, did they stumble in order that they might fall? By no means! Rather through their trespass salvation has come to the Gentiles, so as to make Israel jealous. 12Now if their trespass means riches for the world, and if their failure means riches for the Gentiles, how much more will their full inclusion[44] mean!
-
-13Now I am speaking to you Gentiles. Inasmuch then as I am an apostle to the Gentiles, I magnify my ministry 14in order somehow to make my fellow Jews jealous, and thus save some of them. 15For if their rejection means the reconciliation of the world, what will their acceptance mean but life from the dead? 16If the dough offered as firstfruits is holy, so is the whole lump, and if the root is holy, so are the branches.
-
-17But if some of the branches were broken off, and you, although a wild olive shoot, were grafted in among the others and now share in the nourishing root[45] of the olive tree, 18do not be arrogant toward the branches. If you are, remember it is not you who support the root, but the root that supports you. 19Then you will say, “Branches were broken off so that I might be grafted in.” 20That is true. They were broken off because of their unbelief, but you stand fast through faith. So do not become proud, but fear. 21For if God did not spare the natural branches, neither will he spare you. 22Note then the kindness and the severity of God: severity toward those who have fallen, but God's kindness to you, provided you continue in his kindness. Otherwise you too will be cut off. 23And even they, if they do not continue in their unbelief, will be grafted in, for God has the power to graft them in again. 24For if you were cut from what is by nature a wild olive tree, and grafted, contrary to nature, into a cultivated olive tree, how much more will these, the natural branches, be grafted back into their own olive tree.
-
-
-
-
-
-The Mystery of Israel's Salvation
-
-
-25Lest you be wise in your own sight, I want you to understand this mystery, brothers:[46] a partial hardening has come upon Israel, until the fullness of the Gentiles has come in. 26And in this way all Israel will be saved, as it is written,
-
-“The Deliverer will come from Zion,
-
-he will banish ungodliness from Jacob”;
-
-27“and this will be my covenant with them
-
-when I take away their sins.”
-
-28As regards the gospel, they are enemies of God for your sake. But as regards election, they are beloved for the sake of their forefathers. 29For the gifts and the calling of God are irrevocable. 30For just as you were at one time disobedient to God but now have received mercy because of their disobedience, 31so they too have now been disobedient in order that by the mercy shown to you they also may now[47] receive mercy. 32For God has consigned all to disobedience, that he may have mercy on all.
-
-33Oh, the depth of the riches and wisdom and knowledge of God! How unsearchable are his judgments and how inscrutable his ways!
-
-34“For who has known the mind of the Lord,
-
-or who has been his counselor?”
-
-35“Or who has given a gift to him
-
-that he might be repaid?”
-
-36For from him and through him and to him are all things. To him be glory forever. Amen.
-
-
-
-
-
-A Living Sacrifice
-
-
-12:1 I appeal to you therefore, brothers,[48] by the mercies of God, to present your bodies as a living sacrifice, holy and acceptable to God, which is your spiritual worship.[49] 2Do not be conformed to this world,[50] but be transformed by the renewal of your mind, that by testing you may discern what is the will of God, what is good and acceptable and perfect.[51]
-
-
-
-
-
-Gifts of Grace
-
-
-3For by the grace given to me I say to everyone among you not to think of himself more highly than he ought to think, but to think with sober judgment, each according to the measure of faith that God has assigned. 4For as in one body we have many members,[52] and the members do not all have the same function, 5so we, though many, are one body in Christ, and individually members one of another. 6Having gifts that differ according to the grace given to us, let us use them: if prophecy, in proportion to our faith; 7if service, in our serving; the one who teaches, in his teaching; 8the one who exhorts, in his exhortation; the one who contributes, in generosity; the one who leads,[53] with zeal; the one who does acts of mercy, with cheerfulness.
-
-
-
-
-
-Marks of the True Christian
-
-
-9Let love be genuine. Abhor what is evil; hold fast to what is good. 10Love one another with brotherly affection. Outdo one another in showing honor. 11Do not be slothful in zeal, be fervent in spirit,[54] serve the Lord. 12Rejoice in hope, be patient in tribulation, be constant in prayer. 13Contribute to the needs of the saints and seek to show hospitality.
-
-14Bless those who persecute you; bless and do not curse them. 15Rejoice with those who rejoice, weep with those who weep. 16Live in harmony with one another. Do not be haughty, but associate with the lowly.[55] Never be wise in your own sight. 17Repay no one evil for evil, but give thought to do what is honorable in the sight of all. 18If possible, so far as it depends on you, live peaceably with all. 19Beloved, never avenge yourselves, but leave it[56] to the wrath of God, for it is written, “Vengeance is mine, I will repay, says the Lord.” 20To the contrary, “if your enemy is hungry, feed him; if he is thirsty, give him something to drink; for by so doing you will heap burning coals on his head.” 21Do not be overcome by evil, but overcome evil with good.
-
-
-
-
-
-Submission to the Authorities
-
-
-13:1 Let every person be subject to the governing authorities. For there is no authority except from God, and those that exist have been instituted by God. 2Therefore whoever resists the authorities resists what God has appointed, and those who resist will incur judgment. 3For rulers are not a terror to good conduct, but to bad. Would you have no fear of the one who is in authority? Then do what is good, and you will receive his approval, 4for he is God's servant for your good. But if you do wrong, be afraid, for he does not bear the sword in vain. For he is the servant of God, an avenger who carries out God's wrath on the wrongdoer. 5Therefore one must be in subjection, not only to avoid God's wrath but also for the sake of conscience. 6For because of this you also pay taxes, for the authorities are ministers of God, attending to this very thing. 7Pay to all what is owed to them: taxes to whom taxes are owed, revenue to whom revenue is owed, respect to whom respect is owed, honor to whom honor is owed.
-
-
-
-
-
-Fulfilling the Law Through Love
-
-
-8Owe no one anything, except to love each other, for the one who loves another has fulfilled the law. 9For the commandments, “You shall not commit adultery, You shall not murder, You shall not steal, You shall not covet,” and any other commandment, are summed up in this word: “You shall love your neighbor as yourself.” 10Love does no wrong to a neighbor; therefore love is the fulfilling of the law.
-
-11Besides this you know the time, that the hour has come for you to wake from sleep. For salvation is nearer to us now than when we first believed. 12The night is far gone; the day is at hand. So then let us cast off the works of darkness and put on the armor of light. 13Let us walk properly as in the daytime, not in orgies and drunkenness, not in sexual immorality and sensuality, not in quarreling and jealousy. 14But put on the Lord Jesus Christ, and make no provision for the flesh, to gratify its desires.
-
-
-
-
-
-Do Not Pass Judgment on One Another
-
-
-14:1 As for the one who is weak in faith, welcome him, but not to quarrel over opinions. 2One person believes he may eat anything, while the weak person eats only vegetables. 3Let not the one who eats despise the one who abstains, and let not the one who abstains pass judgment on the one who eats, for God has welcomed him. 4Who are you to pass judgment on the servant of another? It is before his own master[57] that he stands or falls. And he will be upheld, for the Lord is able to make him stand.
-
-5One person esteems one day as better than another, while another esteems all days alike. Each one should be fully convinced in his own mind. 6The one who observes the day, observes it in honor of the Lord. The one who eats, eats in honor of the Lord, since he gives thanks to God, while the one who abstains, abstains in honor of the Lord and gives thanks to God. 7For none of us lives to himself, and none of us dies to himself. 8For if we live, we live to the Lord, and if we die, we die to the Lord. So then, whether we live or whether we die, we are the Lord's. 9For to this end Christ died and lived again, that he might be Lord both of the dead and of the living.
-
-10Why do you pass judgment on your brother? Or you, why do you despise your brother? For we will all stand before the judgment seat of God; 11for it is written,
-
-“As I live, says the Lord, every knee shall bow to me,
-
-and every tongue shall confess[58] to God.”
-
-12So then each of us will give an account of himself to God.
-
-
-
-
-
-Do Not Cause Another to Stumble
-
-
-13Therefore let us not pass judgment on one another any longer, but rather decide never to put a stumbling block or hindrance in the way of a brother. 14I know and am persuaded in the Lord Jesus that nothing is unclean in itself, but it is unclean for anyone who thinks it unclean. 15For if your brother is grieved by what you eat, you are no longer walking in love. By what you eat, do not destroy the one for whom Christ died. 16So do not let what you regard as good be spoken of as evil. 17For the kingdom of God is not a matter of eating and drinking but of righteousness and peace and joy in the Holy Spirit. 18Whoever thus serves Christ is acceptable to God and approved by men. 19So then let us pursue what makes for peace and for mutual upbuilding.
-
-20Do not, for the sake of food, destroy the work of God. Everything is indeed clean, but it is wrong for anyone to make another stumble by what he eats. 21It is good not to eat meat or drink wine or do anything that causes your brother to stumble.[59] 22The faith that you have, keep between yourself and God. Blessed is the one who has no reason to pass judgment on himself for what he approves. 23But whoever has doubts is condemned if he eats, because the eating is not from faith. For whatever does not proceed from faith is sin.[60]
-
-
-
-
-
-The Example of Christ
-
-
-15:1 We who are strong have an obligation to bear with the failings of the weak, and not to please ourselves. 2Let each of us please his neighbor for his good, to build him up. 3For Christ did not please himself, but as it is written, “The reproaches of those who reproached you fell on me.” 4For whatever was written in former days was written for our instruction, that through endurance and through the encouragement of the Scriptures we might have hope. 5May the God of endurance and encouragement grant you to live in such harmony with one another, in accord with Christ Jesus, 6that together you may with one voice glorify the God and Father of our Lord Jesus Christ. 7Therefore welcome one another as Christ has welcomed you, for the glory of God.
-
-
-
-
-
-Christ the Hope of Jews and Gentiles
-
-
-8For I tell you that Christ became a servant to the circumcised to show God's truthfulness, in order to confirm the promises given to the patriarchs, 9and in order that the Gentiles might glorify God for his mercy. As it is written,
-
-“Therefore I will praise you among the Gentiles,
-
-and sing to your name.”
-
-10And again it is said,
-
-“Rejoice, O Gentiles, with his people.”
-
-11And again,
-
-“Praise the Lord, all you Gentiles,
-
-and let all the peoples extol him.”
-
-12And again Isaiah says,
-
-“The root of Jesse will come,
-
-even he who arises to rule the Gentiles;
-
-in him will the Gentiles hope.”
-
-13May the God of hope fill you with all joy and peace in believing, so that by the power of the Holy Spirit you may abound in hope.
-
-
-
-
-
-Paul the Minister to the Gentiles
-
-
-14I myself am satisfied about you, my brothers,[61] that you yourselves are full of goodness, filled with all knowledge and able to instruct one another. 15But on some points I have written to you very boldly by way of reminder, because of the grace given me by God 16to be a minister of Christ Jesus to the Gentiles in the priestly service of the gospel of God, so that the offering of the Gentiles may be acceptable, sanctified by the Holy Spirit. 17In Christ Jesus, then, I have reason to be proud of my work for God. 18For I will not venture to speak of anything except what Christ has accomplished through me to bring the Gentiles to obedience—by word and deed, 19by the power of signs and wonders, by the power of the Spirit of God—so that from Jerusalem and all the way around to Illyricum I have fulfilled the ministry of the gospel of Christ; 20and thus I make it my ambition to preach the gospel, not where Christ has already been named, lest I build on someone else's foundation, 21but as it is written,
-
-“Those who have never been told of him will see,
-
-and those who have never heard will understand.”
-
-
-
-
-
-Paul's Plan to Visit Rome
-
-
-22This is the reason why I have so often been hindered from coming to you. 23But now, since I no longer have any room for work in these regions, and since I have longed for many years to come to you, 24I hope to see you in passing as I go to Spain, and to be helped on my journey there by you, once I have enjoyed your company for a while. 25At present, however, I am going to Jerusalem bringing aid to the saints. 26For Macedonia and Achaia have been pleased to make some contribution for the poor among the saints at Jerusalem. 27For they were pleased to do it, and indeed they owe it to them. For if the Gentiles have come to share in their spiritual blessings, they ought also to be of service to them in material blessings. 28When therefore I have completed this and have delivered to them what has been collected,[62] I will leave for Spain by way of you. 29I know that when I come to you I will come in the fullness of the blessing[63] of Christ.
-
-30I appeal to you, brothers, by our Lord Jesus Christ and by the love of the Spirit, to strive together with me in your prayers to God on my behalf, 31that I may be delivered from the unbelievers in Judea, and that my service for Jerusalem may be acceptable to the saints, 32so that by God's will I may come to you with joy and be refreshed in your company. 33May the God of peace be with you all. Amen.
-
-
-
-
-
-Personal Greetings
-
-
-16:1 I commend to you our sister Phoebe, a servant[64] of the church at Cenchreae, 2that you may welcome her in the Lord in a way worthy of the saints, and help her in whatever she may need from you, for she has been a patron of many and of myself as well.
-
-3Greet Prisca and Aquila, my fellow workers in Christ Jesus, 4who risked their necks for my life, to whom not only I give thanks but all the churches of the Gentiles give thanks as well. 5Greet also the church in their house. Greet my beloved Epaenetus, who was the first convert[65] to Christ in Asia. 6Greet Mary, who has worked hard for you. 7Greet Andronicus and Junia,[66] my kinsmen and my fellow prisoners. They are well known to the apostles,[67] and they were in Christ before me. 8Greet Ampliatus, my beloved in the Lord. 9Greet Urbanus, our fellow worker in Christ, and my beloved Stachys. 10Greet Apelles, who is approved in Christ. Greet those who belong to the family of Aristobulus. 11Greet my kinsman Herodion. Greet those in the Lord who belong to the family of Narcissus. 12Greet those workers in the Lord, Tryphaena and Tryphosa. Greet the beloved Persis, who has worked hard in the Lord. 13Greet Rufus, chosen in the Lord; also his mother, who has been a mother to me as well. 14Greet Asyncritus, Phlegon, Hermes, Patrobas, Hermas, and the brothers[68] who are with them. 15Greet Philologus, Julia, Nereus and his sister, and Olympas, and all the saints who are with them. 16Greet one another with a holy kiss. All the churches of Christ greet you.
-
-
-
-
-
-Final Instructions and Greetings
-
-
-17I appeal to you, brothers, to watch out for those who cause divisions and create obstacles contrary to the doctrine that you have been taught; avoid them. 18For such persons do not serve our Lord Christ, but their own appetites,[69] and by smooth talk and flattery they deceive the hearts of the naive. 19For your obedience is known to all, so that I rejoice over you, but I want you to be wise as to what is good and innocent as to what is evil. 20The God of peace will soon crush Satan under your feet. The grace of our Lord Jesus Christ be with you.
-
-21Timothy, my fellow worker, greets you; so do Lucius and Jason and Sosipater, my kinsmen.
-
-22I Tertius, who wrote this letter, greet you in the Lord.
-
-23Gaius, who is host to me and to the whole church, greets you. Erastus, the city treasurer, and our brother Quartus, greet you.[70]
-
-
-
-
-
-Doxology
-
-
-25Now to him who is able to strengthen you according to my gospel and the preaching of Jesus Christ, according to the revelation of the mystery that was kept secret for long ages 26but has now been disclosed and through the prophetic writings has been made known to all nations, according to the command of the eternal God, to bring about the obedience of faith— 27to the only wise God be glory forevermore through Jesus Christ! Amen.
-
-
-
-
-
-Footnotes
-
-
-[1] 1:1 Or slave; Greek bondservant
-
-[2] 1:3 Or who came from the offspring of David
-
-[3] 1:13 Or brothers and sisters. The plural Greek word adelphoi (translated “brothers”) refers to siblings in a family. In New Testament usage, depending on the context, adelphoi may refer either to men or to both men and women who are siblings (brothers and sisters) in God's family, the church
-
-[4] 1:14 That is, non-Greeks
-
-[5] 1:17 Or beginning and ending in faith
-
-[6] 1:17 Or The one who by faith is righteous shall live
-
-[7] 2:8 Or contentious
-
-[8] 2:26 Or counted
-
-[9] 2:27 Or the letter
-
-[10] 3:9 Greek Are we
-
-[11] 3:9 Or at any disadvantage?
-
-[12] 3:20 Greek flesh
-
-[13] 4:1 Some manuscripts say about
-
-[14] 4:5 Or but trusts; compare verse 24
-
-[15] 5:1 Some manuscripts let us
-
-[16] 5:2 Some manuscripts omit by faith
-
-[17] 5:2 Or let us; also verse 3
-
-[18] 5:2 Or boast; also verses 3, 11
-
-[19] 5:18 Or the trespass of one
-
-[20] 5:18 Or the act of righteousness of one
-
-[21] 6:6 Greek man
-
-[22] 6:7 Greek has been justified
-
-[23] 6:16 Greek bondservants. Twice in this verse and verse 19; also once in verses 17, 20
-
-[24] 7:1 Or brothers and sisters; also verse 4
-
-[25] 7:2 Greek law concerning the husband
-
-[26] 7:6 Greek of the letter
-
-[27] 8:1 Some manuscripts add who walk not according to the flesh (but according to the Spirit)
-
-[28] 8:2 Some manuscripts me
-
-[29] 8:3 Or and as a sin offering
-
-[30] 8:12 Or brothers and sisters; also verse 29
-
-[31] 8:14 See discussion on “sons” in the preface
-
-[32] 8:27 Or that
-
-[33] 8:28 Some manuscripts God works all things together for good, or God works in all things for the good
-
-[34] 8:31 Or who is
-
-[35] 8:34 Or Is it Christ Jesus who died . . . for us?
-
-[36] 9:3 Or brothers and sisters
-
-[37] 9:16 Greek not of him who wills or runs
-
-[38] 9:27 Or children of Israel
-
-[39] 9:31 Greek a law of righteousness
-
-[40] 10:1 Or Brothers and sisters
-
-[41] 10:4 Or end of the law, that everyone who believes may be justified
-
-[42] 10:14 Or him whom they have never heard
-
-[43] 11:1 Or one of the offspring of Abraham
-
-[44] 11:12 Greek their fullness
-
-[45] 11:17 Greek root of richness; some manuscripts richness
-
-[46] 11:25 Or brothers and sisters
-
-[47] 11:31 Some manuscripts omit now
-
-[48] 12:1 Or brothers and sisters
-
-[49] 12:1 Or your rational service
-
-[50] 12:2 Greek age
-
-[51] 12:2 Or what is the good and acceptable and perfect will of God
-
-[52] 12:4 Greek parts; also verse 5
-
-[53] 12:8 Or gives aid
-
-[54] 12:11 Or fervent in the Spirit
-
-[55] 12:16 Or give yourselves to humble tasks
-
-[56] 12:19 Greek give place
-
-[57] 14:4 Or lord
-
-[58] 14:11 Or shall give praise
-
-[59] 14:21 Some manuscripts add or be hindered or be weakened
-
-[60] 14:23 Some manuscripts insert here 16:25-27
-
-[61] 15:14 Or brothers and sisters; also verse 30
-
-[62] 15:28 Greek sealed to them this fruit
-
-[63] 15:29 Some manuscripts insert of the gospel
-
-[64] 16:1 Or deaconess
-
-[65] 16:5 Greek firstfruit
-
-[66] 16:7 Or Junias
-
-[67] 16:7 Or messengers
-
-[68] 16:14 Or brothers and sisters; also verse 17
-
-[69] 16:18 Greek their own belly
-
-[70] 16:23 Some manuscripts insert verse 24: The grace of our Lord Jesus Christ be with you all. Amen.
-
-
-
-
-
-1 CORINTHIANS
-
-
-Chapter 1
-
-Chapter 2
-
-Chapter 3
-
-Chapter 4
-
-Chapter 5
-
-Chapter 6
-
-Chapter 7
-
-Chapter 8
-
-Chapter 9
-
-Chapter 10
-
-Chapter 11
-
-Chapter 12
-
-Chapter 13
-
-Chapter 14
-
-Chapter 15
-
-Chapter 16
-
-
-
-
-
-Greeting
-
-
-1:1 Paul, called by the will of God to be an apostle of Christ Jesus, and our brother Sosthenes,
-
-2To the church of God that is in Corinth, to those sanctified in Christ Jesus, called to be saints together with all those who in every place call upon the name of our Lord Jesus Christ, both their Lord and ours:
-
-3Grace to you and peace from God our Father and the Lord Jesus Christ.
-
-
-
-
-
-Thanksgiving
-
-
-4I give thanks to my God always for you because of the grace of God that was given you in Christ Jesus, 5that in every way you were enriched in him in all speech and all knowledge— 6even as the testimony about Christ was confirmed among you— 7so that you are not lacking in any spiritual gift, as you wait for the revealing of our Lord Jesus Christ, 8who will sustain you to the end, guiltless in the day of our Lord Jesus Christ. 9God is faithful, by whom you were called into the fellowship of his Son, Jesus Christ our Lord.
-
-
-
-
-
-Divisions in the Church
-
-
-10I appeal to you, brothers,[1] by the name of our Lord Jesus Christ, that all of you agree, and that there be no divisions among you, but that you be united in the same mind and the same judgment. 11For it has been reported to me by Chloe's people that there is quarreling among you, my brothers. 12What I mean is that each one of you says, “I follow Paul,” or “I follow Apollos,” or “I follow Cephas,” or “I follow Christ.” 13Is Christ divided? Was Paul crucified for you? Or were you baptized in the name of Paul? 14I thank God that I baptized none of you except Crispus and Gaius, 15so that no one may say that you were baptized in my name. 16(I did baptize also the household of Stephanas. Beyond that, I do not know whether I baptized anyone else.) 17For Christ did not send me to baptize but to preach the gospel, and not with words of eloquent wisdom, lest the cross of Christ be emptied of its power.
-
-
-
-
-
-Christ the Wisdom and Power of God
-
-
-18For the word of the cross is folly to those who are perishing, but to us who are being saved it is the power of God. 19For it is written,
-
-“I will destroy the wisdom of the wise,
-
-and the discernment of the discerning I will thwart.”
-
-20Where is the one who is wise? Where is the scribe? Where is the debater of this age? Has not God made foolish the wisdom of the world? 21For since, in the wisdom of God, the world did not know God through wisdom, it pleased God through the folly of what we preach to save those who believe. 22For Jews demand signs and Greeks seek wisdom, 23but we preach Christ crucified, a stumbling block to Jews and folly to Gentiles, 24but to those who are called, both Jews and Greeks, Christ the power of God and the wisdom of God. 25For the foolishness of God is wiser than men, and the weakness of God is stronger than men.
-
-26For consider your calling, brothers: not many of you were wise according to worldly standards,[2] not many were powerful, not many were of noble birth. 27But God chose what is foolish in the world to shame the wise; God chose what is weak in the world to shame the strong; 28God chose what is low and despised in the world, even things that are not, to bring to nothing things that are, 29so that no human being[3] might boast in the presence of God. 30And because of him[4] you are in Christ Jesus, who became to us wisdom from God, righteousness and sanctification and redemption, 31so that, as it is written, “Let the one who boasts, boast in the Lord.”
-
-
-
-
-
-Proclaiming Christ Crucified
-
-
-2:1 And I, when I came to you, brothers,[5] did not come proclaiming to you the testimony[6] of God with lofty speech or wisdom. 2For I decided to know nothing among you except Jesus Christ and him crucified. 3And I was with you in weakness and in fear and much trembling, 4and my speech and my message were not in plausible words of wisdom, but in demonstration of the Spirit and of power, 5that your faith might not rest in the wisdom of men but in the power of God.
-
-
-
-
-
-Wisdom from the Spirit
-
-
-6Yet among the mature we do impart wisdom, although it is not a wisdom of this age or of the rulers of this age, who are doomed to pass away. 7But we impart a secret and hidden wisdom of God, which God decreed before the ages for our glory. 8None of the rulers of this age understood this, for if they had, they would not have crucified the Lord of glory. 9But, as it is written,
-
-“What no eye has seen, nor ear heard,
-
-nor the heart of man imagined,
-
-what God has prepared for those who love him”—
-
-10these things God has revealed to us through the Spirit. For the Spirit searches everything, even the depths of God. 11For who knows a person's thoughts except the spirit of that person, which is in him? So also no one comprehends the thoughts of God except the Spirit of God. 12Now we have received not the spirit of the world, but the Spirit who is from God, that we might understand the things freely given us by God. 13And we impart this in words not taught by human wisdom but taught by the Spirit, interpreting spiritual truths to those who are spiritual.[7]
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-14The natural person does not accept the things of the Spirit of God, for they are folly to him, and he is not able to understand them because they are spiritually discerned. 15The spiritual person judges all things, but is himself to be judged by no one. 16“For who has understood the mind of the Lord so as to instruct him?” But we have the mind of Christ.
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-Divisions in the Church
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-3:1 But I, brothers,[8] could not address you as spiritual people, but as people of the flesh, as infants in Christ. 2I fed you with milk, not solid food, for you were not ready for it. And even now you are not yet ready, 3for you are still of the flesh. For while there is jealousy and strife among you, are you not of the flesh and behaving only in a human way? 4For when one says, “I follow Paul,” and another, “I follow Apollos,” are you not being merely human?
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-5What then is Apollos? What is Paul? Servants through whom you believed, as the Lord assigned to each. 6I planted, Apollos watered, but God gave the growth. 7So neither he who plants nor he who waters is anything, but only God who gives the growth. 8He who plants and he who waters are one, and each will receive his wages according to his labor. 9For we are God's fellow workers. You are God's field, God's building.
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-10According to the grace of God given to me, like a skilled master builder I laid a foundation, and someone else is building upon it. Let each one take care how he builds upon it. 11For no one can lay a foundation other than that which is laid, which is Jesus Christ. 12Now if anyone builds on the foundation with gold, silver, precious stones, wood, hay, straw— 13each one's work will become manifest, for the Day will disclose it, because it will be revealed by fire, and the fire will test what sort of work each one has done. 14If the work that anyone has built on the foundation survives, he will receive a reward. 15If anyone's work is burned up, he will suffer loss, though he himself will be saved, but only as through fire.
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-16Do you not know that you[9] are God's temple and that God's Spirit dwells in you? 17If anyone destroys God's temple, God will destroy him. For God's temple is holy, and you are that temple.
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-18Let no one deceive himself. If anyone among you thinks that he is wise in this age, let him become a fool that he may become wise. 19For the wisdom of this world is folly with God. For it is written, “He catches the wise in their craftiness,” 20and again, “The Lord knows the thoughts of the wise, that they are futile.” 21So let no one boast in men. For all things are yours, 22whether Paul or Apollos or Cephas or the world or life or death or the present or the future—all are yours, 23and you are Christ's, and Christ is God's.
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-The Ministry of Apostles
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-4:1 This is how one should regard us, as servants of Christ and stewards of the mysteries of God. 2Moreover, it is required of stewards that they be found trustworthy. 3But with me it is a very small thing that I should be judged by you or by any human court. In fact, I do not even judge myself. 4For I am not aware of anything against myself, but I am not thereby acquitted. It is the Lord who judges me. 5Therefore do not pronounce judgment before the time, before the Lord comes, who will bring to light the things now hidden in darkness and will disclose the purposes of the heart. Then each one will receive his commendation from God.
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-6I have applied all these things to myself and Apollos for your benefit, brothers,[10] that you may learn by us not to go beyond what is written, that none of you may be puffed up in favor of one against another. 7For who sees anything different in you? What do you have that you did not receive? If then you received it, why do you boast as if you did not receive it?
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-8Already you have all you want! Already you have become rich! Without us you have become kings! And would that you did reign, so that we might share the rule with you! 9For I think that God has exhibited us apostles as last of all, like men sentenced to death, because we have become a spectacle to the world, to angels, and to men. 10We are fools for Christ's sake, but you are wise in Christ. We are weak, but you are strong. You are held in honor, but we in disrepute. 11To the present hour we hunger and thirst, we are poorly dressed and buffeted and homeless, 12and we labor, working with our own hands. When reviled, we bless; when persecuted, we endure; 13when slandered, we entreat. We have become, and are still, like the scum of the world, the refuse of all things.
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-14I do not write these things to make you ashamed, but to admonish you as my beloved children. 15For though you have countless guides in Christ, you do not have many fathers. For I became your father in Christ Jesus through the gospel. 16I urge you, then, be imitators of me. 17That is why I sent[11] you Timothy, my beloved and faithful child in the Lord, to remind you of my ways in Christ,[12] as I teach them everywhere in every church. 18Some are arrogant, as though I were not coming to you. 19But I will come to you soon, if the Lord wills, and I will find out not the talk of these arrogant people but their power. 20For the kingdom of God does not consist in talk but in power. 21What do you wish? Shall I come to you with a rod, or with love in a spirit of gentleness?
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-Sexual Immorality Defiles the Church
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-5:1 It is actually reported that there is sexual immorality among you, and of a kind that is not tolerated even among pagans, for a man has his father's wife. 2And you are arrogant! Ought you not rather to mourn? Let him who has done this be removed from among you.
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-3For though absent in body, I am present in spirit; and as if present, I have already pronounced judgment on the one who did such a thing. 4When you are assembled in the name of the Lord Jesus and my spirit is present, with the power of our Lord Jesus, 5you are to deliver this man to Satan for the destruction of the flesh, so that his spirit may be saved in the day of the Lord.[13]
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-6Your boasting is not good. Do you not know that a little leaven leavens the whole lump? 7Cleanse out the old leaven that you may be a new lump, as you really are unleavened. For Christ, our Passover lamb, has been sacrificed. 8Let us therefore celebrate the festival, not with the old leaven, the leaven of malice and evil, but with the unleavened bread of sincerity and truth.
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-9I wrote to you in my letter not to associate with sexually immoral people— 10not at all meaning the sexually immoral of this world, or the greedy and swindlers, or idolaters, since then you would need to go out of the world. 11But now I am writing to you not to associate with anyone who bears the name of brother if he is guilty of sexual immorality or greed, or is an idolater, reviler, drunkard, or swindler—not even to eat with such a one. 12For what have I to do with judging outsiders? Is it not those inside the church whom you are to judge? 13God judges[14] those outside. “Purge the evil person from among you.”
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-Lawsuits Against Believers
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-6:1 When one of you has a grievance against another, does he dare go to law before the unrighteous instead of the saints? 2Or do you not know that the saints will judge the world? And if the world is to be judged by you, are you incompetent to try trivial cases? 3Do you not know that we are to judge angels? How much more, then, matters pertaining to this life! 4So if you have such cases, why do you lay them before those who have no standing in the church? 5I say this to your shame. Can it be that there is no one among you wise enough to settle a dispute between the brothers, 6but brother goes to law against brother, and that before unbelievers? 7To have lawsuits at all with one another is already a defeat for you. Why not rather suffer wrong? Why not rather be defrauded? 8But you yourselves wrong and defraud—even your own brothers![15]
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-9Or do you not know that the unrighteous[16] will not inherit the kingdom of God? Do not be deceived: neither the sexually immoral, nor idolaters, nor adulterers, nor men who practice homosexuality,[17] 10nor thieves, nor the greedy, nor drunkards, nor revilers, nor swindlers will inherit the kingdom of God. 11And such were some of you. But you were washed, you were sanctified, you were justified in the name of the Lord Jesus Christ and by the Spirit of our God.
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-Flee Sexual Immorality
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-12“All things are lawful for me,” but not all things are helpful. “All things are lawful for me,” but I will not be enslaved by anything. 13“Food is meant for the stomach and the stomach for food”—and God will destroy both one and the other. The body is not meant for sexual immorality, but for the Lord, and the Lord for the body. 14And God raised the Lord and will also raise us up by his power. 15Do you not know that your bodies are members of Christ? Shall I then take the members of Christ and make them members of a prostitute? Never! 16Or do you not know that he who is joined[18] to a prostitute becomes one body with her? For, as it is written, “The two will become one flesh.” 17But he who is joined to the Lord becomes one spirit with him. 18Flee from sexual immorality. Every other sin[19] a person commits is outside the body, but the sexually immoral person sins against his own body. 19Or do you not know that your body is a temple of the Holy Spirit within you, whom you have from God? You are not your own, 20for you were bought with a price. So glorify God in your body.
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-Principles for Marriage
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-7:1 Now concerning the matters about which you wrote: “It is good for a man not to have sexual relations with a woman.” 2But because of the temptation to sexual immorality, each man should have his own wife and each woman her own husband. 3The husband should give to his wife her conjugal rights, and likewise the wife to her husband. 4For the wife does not have authority over her own body, but the husband does. Likewise the husband does not have authority over his own body, but the wife does. 5Do not deprive one another, except perhaps by agreement for a limited time, that you may devote yourselves to prayer; but then come together again, so that Satan may not tempt you because of your lack of self-control.
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-6Now as a concession, not a command, I say this.[20] 7I wish that all were as I myself am. But each has his own gift from God, one of one kind and one of another.
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-8To the unmarried and the widows I say that it is good for them to remain single as I am. 9But if they cannot exercise self-control, they should marry. For it is better to marry than to burn with passion.
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-10To the married I give this charge (not I, but the Lord): the wife should not separate from her husband 11(but if she does, she should remain unmarried or else be reconciled to her husband), and the husband should not divorce his wife.
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-12To the rest I say (I, not the Lord) that if any brother has a wife who is an unbeliever, and she consents to live with him, he should not divorce her. 13If any woman has a husband who is an unbeliever, and he consents to live with her, she should not divorce him. 14For the unbelieving husband is made holy because of his wife, and the unbelieving wife is made holy because of her husband. Otherwise your children would be unclean, but as it is, they are holy. 15But if the unbelieving partner separates, let it be so. In such cases the brother or sister is not enslaved. God has called you[21] to peace. 16For how do you know, wife, whether you will save your husband? Or how do you know, husband, whether you will save your wife?
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-Live as You Are Called
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-17Only let each person lead the life that the Lord has assigned to him, and to which God has called him. This is my rule in all the churches. 18Was anyone at the time of his call already circumcised? Let him not seek to remove the marks of circumcision. Was anyone at the time of his call uncircumcised? Let him not seek circumcision. 19For neither circumcision counts for anything nor uncircumcision, but keeping the commandments of God. 20Each one should remain in the condition in which he was called. 21Were you a slave[22] when called? Do not be concerned about it. (But if you can gain your freedom, avail yourself of the opportunity.) 22For he who was called in the Lord as a slave is a freedman of the Lord. Likewise he who was free when called is a slave of Christ. 23You were bought with a price; do not become slaves of men. 24So, brothers,[23] in whatever condition each was called, there let him remain with God.
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-The Unmarried and the Widowed
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-25Now concerning[24] the betrothed,[25] I have no command from the Lord, but I give my judgment as one who by the Lord's mercy is trustworthy. 26I think that in view of the present[26] distress it is good for a person to remain as he is. 27Are you bound to a wife? Do not seek to be free. Are you free from a wife? Do not seek a wife. 28But if you do marry, you have not sinned, and if a betrothed woman[27] marries, she has not sinned. Yet those who marry will have worldly troubles, and I would spare you that. 29This is what I mean, brothers: the appointed time has grown very short. From now on, let those who have wives live as though they had none, 30and those who mourn as though they were not mourning, and those who rejoice as though they were not rejoicing, and those who buy as though they had no goods, 31and those who deal with the world as though they had no dealings with it. For the present form of this world is passing away.
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-32I want you to be free from anxieties. The unmarried man is anxious about the things of the Lord, how to please the Lord. 33But the married man is anxious about worldly things, how to please his wife, 34and his interests are divided. And the unmarried or betrothed woman is anxious about the things of the Lord, how to be holy in body and spirit. But the married woman is anxious about worldly things, how to please her husband. 35I say this for your own benefit, not to lay any restraint upon you, but to promote good order and to secure your undivided devotion to the Lord.
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-36If anyone thinks that he is not behaving properly toward his betrothed,[28] if his[29] passions are strong, and it has to be, let him do as he wishes: let them marry—it is no sin. 37But whoever is firmly established in his heart, being under no necessity but having his desire under control, and has determined this in his heart, to keep her as his betrothed, he will do well. 38So then he who marries his betrothed does well, and he who refrains from marriage will do even better.
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-39A wife is bound to her husband as long as he lives. But if her husband dies, she is free to be married to whom she wishes, only in the Lord. 40Yet in my judgment she is happier if she remains as she is. And I think that I too have the Spirit of God.
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-Food Offered to Idols
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-8:1 Now concerning[30] food offered to idols: we know that “all of us possess knowledge.” This “knowledge” puffs up, but love builds up. 2If anyone imagines that he knows something, he does not yet know as he ought to know. 3But if anyone loves God, he is known by God.[31]
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-4Therefore, as to the eating of food offered to idols, we know that “an idol has no real existence,” and that “there is no God but one.” 5For although there may be so-called gods in heaven or on earth—as indeed there are many “gods” and many “lords”— 6yet for us there is one God, the Father, from whom are all things and for whom we exist, and one Lord, Jesus Christ, through whom are all things and through whom we exist.
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-7However, not all possess this knowledge. But some, through former association with idols, eat food as really offered to an idol, and their conscience, being weak, is defiled. 8Food will not commend us to God. We are no worse off if we do not eat, and no better off if we do. 9But take care that this right of yours does not somehow become a stumbling block to the weak. 10For if anyone sees you who have knowledge eating[32] in an idol's temple, will he not be encouraged,[33] if his conscience is weak, to eat food offered to idols? 11And so by your knowledge this weak person is destroyed, the brother for whom Christ died. 12Thus, sinning against your brothers[34] and wounding their conscience when it is weak, you sin against Christ. 13Therefore, if food makes my brother stumble, I will never eat meat, lest I make my brother stumble.
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-Paul Surrenders His Rights
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-9:1 Am I not free? Am I not an apostle? Have I not seen Jesus our Lord? Are not you my workmanship in the Lord? 2If to others I am not an apostle, at least I am to you, for you are the seal of my apostleship in the Lord.
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-3This is my defense to those who would examine me. 4Do we not have the right to eat and drink? 5Do we not have the right to take along a believing wife,[35] as do the other apostles and the brothers of the Lord and Cephas? 6Or is it only Barnabas and I who have no right to refrain from working for a living? 7Who serves as a soldier at his own expense? Who plants a vineyard without eating any of its fruit? Or who tends a flock without getting some of the milk?
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-8Do I say these things on human authority? Does not the Law say the same? 9For it is written in the Law of Moses, “You shall not muzzle an ox when it treads out the grain.” Is it for oxen that God is concerned? 10Does he not speak entirely for our sake? It was written for our sake, because the plowman should plow in hope and the thresher thresh in hope of sharing in the crop. 11If we have sown spiritual things among you, is it too much if we reap material things from you? 12If others share this rightful claim on you, do not we even more?
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-Nevertheless, we have not made use of this right, but we endure anything rather than put an obstacle in the way of the gospel of Christ. 13Do you not know that those who are employed in the temple service get their food from the temple, and those who serve at the altar share in the sacrificial offerings? 14In the same way, the Lord commanded that those who proclaim the gospel should get their living by the gospel.
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-15But I have made no use of any of these rights, nor am I writing these things to secure any such provision. For I would rather die than have anyone deprive me of my ground for boasting. 16For if I preach the gospel, that gives me no ground for boasting. For necessity is laid upon me. Woe to me if I do not preach the gospel! 17For if I do this of my own will, I have a reward, but if not of my own will, I am still entrusted with a stewardship. 18What then is my reward? That in my preaching I may present the gospel free of charge, so as not to make full use of my right in the gospel.
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-19For though I am free from all, I have made myself a servant to all, that I might win more of them. 20To the Jews I became as a Jew, in order to win Jews. To those under the law I became as one under the law (though not being myself under the law) that I might win those under the law. 21To those outside the law I became as one outside the law (not being outside the law of God but under the law of Christ) that I might win those outside the law. 22To the weak I became weak, that I might win the weak. I have become all things to all people, that by all means I might save some. 23I do it all for the sake of the gospel, that I may share with them in its blessings.
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-24Do you not know that in a race all the runners run, but only one receives the prize? So run that you may obtain it. 25Every athlete exercises self-control in all things. They do it to receive a perishable wreath, but we an imperishable. 26So I do not run aimlessly; I do not box as one beating the air. 27But I discipline my body and keep it under control,[36] lest after preaching to others I myself should be disqualified.
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-Warning Against Idolatry
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-10:1 For I want you to know, brothers,[37] that our fathers were all under the cloud, and all passed through the sea, 2and all were baptized into Moses in the cloud and in the sea, 3and all ate the same spiritual food, 4and all drank the same spiritual drink. For they drank from the spiritual Rock that followed them, and the Rock was Christ. 5Nevertheless, with most of them God was not pleased, for they were overthrown in the wilderness.
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-6Now these things took place as examples for us, that we might not desire evil as they did. 7Do not be idolaters as some of them were; as it is written, “The people sat down to eat and drink and rose up to play.” 8We must not indulge in sexual immorality as some of them did, and twenty-three thousand fell in a single day. 9We must not put Christ[38] to the test, as some of them did and were destroyed by serpents, 10nor grumble, as some of them did and were destroyed by the Destroyer. 11Now these things happened to them as an example, but they were written down for our instruction, on whom the end of the ages has come. 12Therefore let anyone who thinks that he stands take heed lest he fall. 13No temptation has overtaken you that is not common to man. God is faithful, and he will not let you be tempted beyond your ability, but with the temptation he will also provide the way of escape, that you may be able to endure it.
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-14Therefore, my beloved, flee from idolatry. 15I speak as to sensible people; judge for yourselves what I say. 16The cup of blessing that we bless, is it not a participation in the blood of Christ? The bread that we break, is it not a participation in the body of Christ? 17Because there is one bread, we who are many are one body, for we all partake of the one bread. 18Consider the people of Israel:[39] are not those who eat the sacrifices participants in the altar? 19What do I imply then? That food offered to idols is anything, or that an idol is anything? 20No, I imply that what pagans sacrifice they offer to demons and not to God. I do not want you to be participants with demons. 21You cannot drink the cup of the Lord and the cup of demons. You cannot partake of the table of the Lord and the table of demons. 22Shall we provoke the Lord to jealousy? Are we stronger than he?
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-Do All to the Glory of God
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-23“All things are lawful,” but not all things are helpful. “All things are lawful,” but not all things build up. 24Let no one seek his own good, but the good of his neighbor. 25Eat whatever is sold in the meat market without raising any question on the ground of conscience. 26For “the earth is the Lord's, and the fullness thereof.” 27If one of the unbelievers invites you to dinner and you are disposed to go, eat whatever is set before you without raising any question on the ground of conscience. 28But if someone says to you, “This has been offered in sacrifice,” then do not eat it, for the sake of the one who informed you, and for the sake of conscience— 29I do not mean your conscience, but his. For why should my liberty be determined by someone else's conscience? 30If I partake with thankfulness, why am I denounced because of that for which I give thanks?
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-31So, whether you eat or drink, or whatever you do, do all to the glory of God. 32Give no offense to Jews or to Greeks or to the church of God, 33just as I try to please everyone in everything I do, not seeking my own advantage, but that of many, that they may be saved.
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-11:1 Be imitators of me, as I am of Christ.
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-Head Coverings
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-2Now I commend you because you remember me in everything and maintain the traditions even as I delivered them to you. 3But I want you to understand that the head of every man is Christ, the head of a wife[40] is her husband, and the head of Christ is God. 4Every man who prays or prophesies with his head covered dishonors his head, 5but every wife[41] who prays or prophesies with her head uncovered dishonors her head, since it is the same as if her head were shaven. 6For if a wife will not cover her head, then she should cut her hair short. But since it is disgraceful for a wife to cut off her hair or shave her head, let her cover her head. 7For a man ought not to cover his head, since he is the image and glory of God, but woman is the glory of man. 8For man was not made from woman, but woman from man. 9Neither was man created for woman, but woman for man. 10That is why a wife ought to have a symbol of authority on her head, because of the angels.[42] 11Nevertheless, in the Lord woman is not independent of man nor man of woman; 12for as woman was made from man, so man is now born of woman. And all things are from God. 13Judge for yourselves: is it proper for a wife to pray to God with her head uncovered? 14Does not nature itself teach you that if a man wears long hair it is a disgrace for him, 15but if a woman has long hair, it is her glory? For her hair is given to her for a covering. 16If anyone is inclined to be contentious, we have no such practice, nor do the churches of God.
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-The Lord's Supper
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-17But in the following instructions I do not commend you, because when you come together it is not for the better but for the worse. 18For, in the first place, when you come together as a church, I hear that there are divisions among you. And I believe it in part,[43] 19for there must be factions among you in order that those who are genuine among you may be recognized. 20When you come together, it is not the Lord's supper that you eat. 21For in eating, each one goes ahead with his own meal. One goes hungry, another gets drunk. 22What! Do you not have houses to eat and drink in? Or do you despise the church of God and humiliate those who have nothing? What shall I say to you? Shall I commend you in this? No, I will not.
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-23For I received from the Lord what I also delivered to you, that the Lord Jesus on the night when he was betrayed took bread, 24and when he had given thanks, he broke it, and said, “This is my body which is for[44] you. Do this in remembrance of me.”[45] 25In the same way also he took the cup, after supper, saying, “This cup is the new covenant in my blood. Do this, as often as you drink it, in remembrance of me.” 26For as often as you eat this bread and drink the cup, you proclaim the Lord's death until he comes.
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-27Whoever, therefore, eats the bread or drinks the cup of the Lord in an unworthy manner will be guilty concerning the body and blood of the Lord. 28Let a person examine himself, then, and so eat of the bread and drink of the cup. 29For anyone who eats and drinks without discerning the body eats and drinks judgment on himself. 30That is why many of you are weak and ill, and some have died.[46] 31But if we judged[47] ourselves truly, we would not be judged. 32But when we are judged by the Lord, we are disciplined[48] so that we may not be condemned along with the world.
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-33So then, my brothers,[49] when you come together to eat, wait for[50] one another— 34if anyone is hungry, let him eat at home—so that when you come together it will not be for judgment. About the other things I will give directions when I come.
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-Spiritual Gifts
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-12:1 Now concerning[51] spiritual gifts,[52] brothers,[53] I do not want you to be uninformed. 2You know that when you were pagans you were led astray to mute idols, however you were led. 3Therefore I want you to understand that no one speaking in the Spirit of God ever says “Jesus is accursed!” and no one can say “Jesus is Lord” except in the Holy Spirit.
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-4Now there are varieties of gifts, but the same Spirit; 5and there are varieties of service, but the same Lord; 6and there are varieties of activities, but it is the same God who empowers them all in everyone. 7To each is given the manifestation of the Spirit for the common good. 8For to one is given through the Spirit the utterance of wisdom, and to another the utterance of knowledge according to the same Spirit, 9to another faith by the same Spirit, to another gifts of healing by the one Spirit, 10to another the working of miracles, to another prophecy, to another the ability to distinguish between spirits, to another various kinds of tongues, to another the interpretation of tongues. 11All these are empowered by one and the same Spirit, who apportions to each one individually as he wills.
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-One Body with Many Members
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-12For just as the body is one and has many members, and all the members of the body, though many, are one body, so it is with Christ. 13For in one Spirit we were all baptized into one body—Jews or Greeks, slaves[54] or free—and all were made to drink of one Spirit.
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-14For the body does not consist of one member but of many. 15If the foot should say, “Because I am not a hand, I do not belong to the body,” that would not make it any less a part of the body. 16And if the ear should say, “Because I am not an eye, I do not belong to the body,” that would not make it any less a part of the body. 17If the whole body were an eye, where would be the sense of hearing? If the whole body were an ear, where would be the sense of smell? 18But as it is, God arranged the members in the body, each one of them, as he chose. 19If all were a single member, where would the body be? 20As it is, there are many parts,[55] yet one body.
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-21The eye cannot say to the hand, “I have no need of you,” nor again the head to the feet, “I have no need of you.” 22On the contrary, the parts of the body that seem to be weaker are indispensable, 23and on those parts of the body that we think less honorable we bestow the greater honor, and our unpresentable parts are treated with greater modesty, 24which our more presentable parts do not require. But God has so composed the body, giving greater honor to the part that lacked it, 25that there may be no division in the body, but that the members may have the same care for one another. 26If one member suffers, all suffer together; if one member is honored, all rejoice together.
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-27Now you are the body of Christ and individually members of it. 28And God has appointed in the church first apostles, second prophets, third teachers, then miracles, then gifts of healing, helping, administrating, and various kinds of tongues. 29Are all apostles? Are all prophets? Are all teachers? Do all work miracles? 30Do all possess gifts of healing? Do all speak with tongues? Do all interpret? 31But earnestly desire the higher gifts.
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-And I will show you a still more excellent way.
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-The Way of Love
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-13:1 If I speak in the tongues of men and of angels, but have not love, I am a noisy gong or a clanging cymbal. 2And if I have prophetic powers, and understand all mysteries and all knowledge, and if I have all faith, so as to remove mountains, but have not love, I am nothing. 3If I give away all I have, and if I deliver up my body to be burned,[56] but have not love, I gain nothing.
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-4Love is patient and kind; love does not envy or boast; it is not arrogant 5or rude. It does not insist on its own way; it is not irritable or resentful;[57] 6it does not rejoice at wrongdoing, but rejoices with the truth. 7Love bears all things, believes all things, hopes all things, endures all things.
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-8Love never ends. As for prophecies, they will pass away; as for tongues, they will cease; as for knowledge, it will pass away. 9For we know in part and we prophesy in part, 10but when the perfect comes, the partial will pass away. 11When I was a child, I spoke like a child, I thought like a child, I reasoned like a child. When I became a man, I gave up childish ways. 12For now we see in a mirror dimly, but then face to face. Now I know in part; then I shall know fully, even as I have been fully known.
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-13So now faith, hope, and love abide, these three; but the greatest of these is love.
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-Prophecy and Tongues
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-14:1 Pursue love, and earnestly desire the spiritual gifts, especially that you may prophesy. 2For one who speaks in a tongue speaks not to men but to God; for no one understands him, but he utters mysteries in the Spirit. 3On the other hand, the one who prophesies speaks to people for their upbuilding and encouragement and consolation. 4The one who speaks in a tongue builds up himself, but the one who prophesies builds up the church. 5Now I want you all to speak in tongues, but even more to prophesy. The one who prophesies is greater than the one who speaks in tongues, unless someone interprets, so that the church may be built up.
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-6Now, brothers,[58] if I come to you speaking in tongues, how will I benefit you unless I bring you some revelation or knowledge or prophecy or teaching? 7If even lifeless instruments, such as the flute or the harp, do not give distinct notes, how will anyone know what is played? 8And if the bugle gives an indistinct sound, who will get ready for battle? 9So with yourselves, if with your tongue you utter speech that is not intelligible, how will anyone know what is said? For you will be speaking into the air. 10There are doubtless many different languages in the world, and none is without meaning, 11but if I do not know the meaning of the language, I will be a foreigner to the speaker and the speaker a foreigner to me. 12So with yourselves, since you are eager for manifestations of the Spirit, strive to excel in building up the church.
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-13Therefore, one who speaks in a tongue should pray for the power to interpret. 14For if I pray in a tongue, my spirit prays but my mind is unfruitful. 15What am I to do? I will pray with my spirit, but I will pray with my mind also; I will sing praise with my spirit, but I will sing with my mind also. 16Otherwise, if you give thanks with your spirit, how can anyone in the position of an outsider[59] say “Amen” to your thanksgiving when he does not know what you are saying? 17For you may be giving thanks well enough, but the other person is not being built up. 18I thank God that I speak in tongues more than all of you. 19Nevertheless, in church I would rather speak five words with my mind in order to instruct others, than ten thousand words in a tongue.
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-20Brothers, do not be children in your thinking. Be infants in evil, but in your thinking be mature. 21In the Law it is written, “By people of strange tongues and by the lips of foreigners will I speak to this people, and even then they will not listen to me, says the Lord.” 22Thus tongues are a sign not for believers but for unbelievers, while prophecy is a sign[60] not for unbelievers but for believers. 23If, therefore, the whole church comes together and all speak in tongues, and outsiders or unbelievers enter, will they not say that you are out of your minds? 24But if all prophesy, and an unbeliever or outsider enters, he is convicted by all, he is called to account by all, 25the secrets of his heart are disclosed, and so, falling on his face, he will worship God and declare that God is really among you.
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-Orderly Worship
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-26What then, brothers? When you come together, each one has a hymn, a lesson, a revelation, a tongue, or an interpretation. Let all things be done for building up. 27If any speak in a tongue, let there be only two or at most three, and each in turn, and let someone interpret. 28But if there is no one to interpret, let each of them keep silent in church and speak to himself and to God. 29Let two or three prophets speak, and let the others weigh what is said. 30If a revelation is made to another sitting there, let the first be silent. 31For you can all prophesy one by one, so that all may learn and all be encouraged, 32and the spirits of prophets are subject to prophets. 33For God is not a God of confusion but of peace.
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-As in all the churches of the saints, 34the women should keep silent in the churches. For they are not permitted to speak, but should be in submission, as the Law also says. 35If there is anything they desire to learn, let them ask their husbands at home. For it is shameful for a woman to speak in church.
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-36Or was it from you that the word of God came? Or are you the only ones it has reached? 37If anyone thinks that he is a prophet, or spiritual, he should acknowledge that the things I am writing to you are a command of the Lord. 38If anyone does not recognize this, he is not recognized. 39So, my brothers, earnestly desire to prophesy, and do not forbid speaking in tongues. 40But all things should be done decently and in order.
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-The Resurrection of Christ
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-15:1 Now I would remind you, brothers,[61] of the gospel I preached to you, which you received, in which you stand, 2and by which you are being saved, if you hold fast to the word I preached to you—unless you believed in vain.
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-3For I delivered to you as of first importance what I also received: that Christ died for our sins in accordance with the Scriptures, 4that he was buried, that he was raised on the third day in accordance with the Scriptures, 5and that he appeared to Cephas, then to the twelve. 6Then he appeared to more than five hundred brothers at one time, most of whom are still alive, though some have fallen asleep. 7Then he appeared to James, then to all the apostles. 8Last of all, as to one untimely born, he appeared also to me. 9For I am the least of the apostles, unworthy to be called an apostle, because I persecuted the church of God. 10But by the grace of God I am what I am, and his grace toward me was not in vain. On the contrary, I worked harder than any of them, though it was not I, but the grace of God that is with me. 11Whether then it was I or they, so we preach and so you believed.
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-The Resurrection of the Dead
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-12Now if Christ is proclaimed as raised from the dead, how can some of you say that there is no resurrection of the dead? 13But if there is no resurrection of the dead, then not even Christ has been raised. 14And if Christ has not been raised, then our preaching is in vain and your faith is in vain. 15We are even found to be misrepresenting God, because we testified about God that he raised Christ, whom he did not raise if it is true that the dead are not raised. 16For if the dead are not raised, not even Christ has been raised. 17And if Christ has not been raised, your faith is futile and you are still in your sins. 18Then those also who have fallen asleep in Christ have perished. 19If in Christ we have hope[62] in this life only, we are of all people most to be pitied.
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-20But in fact Christ has been raised from the dead, the firstfruits of those who have fallen asleep. 21For as by a man came death, by a man has come also the resurrection of the dead. 22For as in Adam all die, so also in Christ shall all be made alive. 23But each in his own order: Christ the firstfruits, then at his coming those who belong to Christ. 24Then comes the end, when he delivers the kingdom to God the Father after destroying every rule and every authority and power. 25For he must reign until he has put all his enemies under his feet. 26The last enemy to be destroyed is death. 27For “God[63] has put all things in subjection under his feet.” But when it says, “all things are put in subjection,” it is plain that he is excepted who put all things in subjection under him. 28When all things are subjected to him, then the Son himself will also be subjected to him who put all things in subjection under him, that God may be all in all.
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-29Otherwise, what do people mean by being baptized on behalf of the dead? If the dead are not raised at all, why are people baptized on their behalf? 30Why are we in danger every hour? 31I protest, brothers, by my pride in you, which I have in Christ Jesus our Lord, I die every day! 32What do I gain if, humanly speaking, I fought with beasts at Ephesus? If the dead are not raised, “Let us eat and drink, for tomorrow we die.” 33Do not be deceived: “Bad company ruins good morals.”[64] 34Wake up from your drunken stupor, as is right, and do not go on sinning. For some have no knowledge of God. I say this to your shame.
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-The Resurrection Body
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-35But someone will ask, “How are the dead raised? With what kind of body do they come?” 36You foolish person! What you sow does not come to life unless it dies. 37And what you sow is not the body that is to be, but a bare kernel, perhaps of wheat or of some other grain. 38But God gives it a body as he has chosen, and to each kind of seed its own body. 39For not all flesh is the same, but there is one kind for humans, another for animals, another for birds, and another for fish. 40There are heavenly bodies and earthly bodies, but the glory of the heavenly is of one kind, and the glory of the earthly is of another. 41There is one glory of the sun, and another glory of the moon, and another glory of the stars; for star differs from star in glory.
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-42So is it with the resurrection of the dead. What is sown is perishable; what is raised is imperishable. 43It is sown in dishonor; it is raised in glory. It is sown in weakness; it is raised in power. 44It is sown a natural body; it is raised a spiritual body. If there is a natural body, there is also a spiritual body. 45Thus it is written, “The first man Adam became a living being”;[65] the last Adam became a life-giving spirit. 46But it is not the spiritual that is first but the natural, and then the spiritual. 47The first man was from the earth, a man of dust; the second man is from heaven. 48As was the man of dust, so also are those who are of the dust, and as is the man of heaven, so also are those who are of heaven. 49Just as we have borne the image of the man of dust, we shall[66] also bear the image of the man of heaven.
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-Mystery and Victory
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-50I tell you this, brothers: flesh and blood cannot inherit the kingdom of God, nor does the perishable inherit the imperishable. 51Behold! I tell you a mystery. We shall not all sleep, but we shall all be changed, 52in a moment, in the twinkling of an eye, at the last trumpet. For the trumpet will sound, and the dead will be raised imperishable, and we shall be changed. 53For this perishable body must put on the imperishable, and this mortal body must put on immortality. 54When the perishable puts on the imperishable, and the mortal puts on immortality, then shall come to pass the saying that is written:
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-“Death is swallowed up in victory.”
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-55“O death, where is your victory?
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-O death, where is your sting?”
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-56The sting of death is sin, and the power of sin is the law. 57But thanks be to God, who gives us the victory through our Lord Jesus Christ.
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-58Therefore, my beloved brothers, be steadfast, immovable, always abounding in the work of the Lord, knowing that in the Lord your labor is not in vain.
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-The Collection for the Saints
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-16:1 Now concerning[67] the collection for the saints: as I directed the churches of Galatia, so you also are to do. 2On the first day of every week, each of you is to put something aside and store it up, as he may prosper, so that there will be no collecting when I come. 3And when I arrive, I will send those whom you accredit by letter to carry your gift to Jerusalem. 4If it seems advisable that I should go also, they will accompany me.
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-Plans for Travel
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-5I will visit you after passing through Macedonia, for I intend to pass through Macedonia, 6and perhaps I will stay with you or even spend the winter, so that you may help me on my journey, wherever I go. 7For I do not want to see you now just in passing. I hope to spend some time with you, if the Lord permits. 8But I will stay in Ephesus until Pentecost, 9for a wide door for effective work has opened to me, and there are many adversaries.
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-10When Timothy comes, see that you put him at ease among you, for he is doing the work of the Lord, as I am. 11So let no one despise him. Help him on his way in peace, that he may return to me, for I am expecting him with the brothers.
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-Final Instructions
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-12Now concerning our brother Apollos, I strongly urged him to visit you with the other brothers, but it was not at all his will[68] to come now. He will come when he has opportunity.
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-13Be watchful, stand firm in the faith, act like men, be strong. 14Let all that you do be done in love.
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-15Now I urge you, brothers[69]—you know that the household[70] of Stephanas were the first converts in Achaia, and that they have devoted themselves to the service of the saints— 16be subject to such as these, and to every fellow worker and laborer. 17I rejoice at the coming of Stephanas and Fortunatus and Achaicus, because they have made up for your absence, 18for they refreshed my spirit as well as yours. Give recognition to such men.
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-Greetings
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-19The churches of Asia send you greetings. Aquila and Prisca, together with the church in their house, send you hearty greetings in the Lord. 20All the brothers send you greetings. Greet one another with a holy kiss.
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-21I, Paul, write this greeting with my own hand. 22If anyone has no love for the Lord, let him be accursed. Our Lord, come![71] 23The grace of the Lord Jesus be with you. 24My love be with you all in Christ Jesus. Amen.
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-Footnotes
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-[1] 1:10 Or brothers and sisters. The plural Greek word adelphoi (translated “brothers”) refers to siblings in a family. In New Testament usage, depending on the context, adelphoi may refer either to men or to both men and women who are siblings (brothers and sisters) in God's family, the church; also verses 11, 26
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-[2] 1:26 Greek according to the flesh
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-[3] 1:29 Greek no flesh
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-[4] 1:30 Greek And from him
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-[5] 2:1 Or brothers and sisters
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-[6] 2:1 Some manuscripts mystery (or secret)
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-[7] 2:13 Or interpreting spiritual truths in spiritual language, or comparing spiritual things with spiritual
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-[8] 3:1 Or brothers and sisters
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-[9] 3:16 The Greek for you is plural in verses 16 and 17
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-[10] 4:6 Or brothers and sisters
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-[11] 4:17 Or am sending
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-[12] 4:17 Some manuscripts add Jesus
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-[13] 5:5 Some manuscripts add Jesus
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-[14] 5:13 Or will judge
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-[15] 6:8 Or brothers and sisters
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-[16] 6:9 Or wrongdoers
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-[17] 6:9 The two Greek terms translated by this phrase refer to the passive and active partners in consensual homosexual acts
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-[18] 6:16 Or who holds fast (compare Genesis 2:24 and Deuteronomy 10:20); also verse 17
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-[19] 6:18 Or Every sin
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-[20] 7:6 Or I say this:
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-[21] 7:15 Some manuscripts us
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-[22] 7:21 Greek bondservant; also twice in verse 22 and once in verse 23 (plural)
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-[23] 7:24 Or brothers and sisters; also verse 29
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-[24] 7:25 The expression Now concerning introduces a reply to a question in the Corinthians' letter; see 7:1
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-[25] 7:25 Greek virgins
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-[26] 7:26 Or impending
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-[27] 7:28 Greek virgin; also verse 34
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-[28] 7:36 Greek virgin; also verses 37, 38
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-[29] 7:36 Or her
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-[30] 8:1 The expression Now concerning introduces a reply to a question in the Corinthians' letter; see 7:1
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-[31] 8:3 Greek him
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-[32] 8:10 Greek reclining at table
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-[33] 8:10 Or fortified; Greek built up
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-[34] 8:12 Or brothers and sisters
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-[35] 9:5 Greek a sister as wife
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-[36] 9:27 Greek I pummel my body and make it a slave
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-[37] 10:1 Or brothers and sisters
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-[38] 10:9 Some manuscripts the Lord
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-[39] 10:18 Greek Consider Israel according to the flesh
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-[40] 11:3 Greek gune. This term may refer to a woman or a wife, depending on the context
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-[41] 11:5 In verses 5-13, the Greek word gune is translated wife in verses that deal with wearing a veil, a sign of being married in first-century culture
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-[42] 11:10 Or messengers, that is, people sent to observe and report
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-[43] 11:18 Or I believe a certain report
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-[44] 11:24 Some manuscripts broken for
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-[45] 11:24 Or as my memorial; also verse 25
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-[46] 11:30 Greek have fallen asleep (as in 15:6, 20)
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-[47] 11:31 Or discerned
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-[48] 11:32 Or when we are judged we are being disciplined by the Lord
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-[49] 11:33 Or brothers and sisters
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-[50] 11:33 Or share with
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-[51] 12:1 The expression Now concerning introduces a reply to a question in the Corinthians' letter; see 7:1
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-[52] 12:1 Or spiritual persons
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-[53] 12:1 Or brothers and sisters
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-[54] 12:13 Or servants; Greek bondservants
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-[55] 12:20 Or members; also verse 22
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-[56] 13:3 Some manuscripts deliver up my body [to death] that I may boast
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-[57] 13:5 Greek irritable and does not count up wrongdoing
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-[58] 14:6 Or brothers and sisters; also verses 20, 26, 39
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-[59] 14:16 Or of him that is without gifts
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-[60] 14:22 Greek lacks a sign
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-[61] 15:1 Or brothers and sisters; also verses 6, 31, 50, 58
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-[62] 15:19 Or we have hoped
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-[63] 15:27 Greek he
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-[64] 15:33 Probably from Menander's comedy Thais
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-[65] 15:45 Greek a living soul
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-[66] 15:49 Some manuscripts let us
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-[67] 16:1 The expression Now concerning introduces a reply to a question in the Corinthians' letter; see 7:1; also verse 12
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-[68] 16:12 Or God's will for him
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-[69] 16:15 Or brothers and sisters; also verse 20
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-[70] 16:15 Greek house
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-[71] 16:22 Greek Maranatha (a transliteration of Aramaic)
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-2 CORINTHIANS
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-Chapter 1
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-Chapter 2
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-Chapter 3
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-Chapter 4
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-Chapter 5
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-Chapter 6
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-Chapter 7
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-Chapter 8
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-Chapter 9
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-Chapter 10
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-Chapter 11
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-Chapter 12
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-Chapter 13
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-Greeting
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-1:1 Paul, an apostle of Christ Jesus by the will of God, and Timothy our brother,
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-To the church of God that is at Corinth, with all the saints who are in the whole of Achaia:
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-2Grace to you and peace from God our Father and the Lord Jesus Christ.
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-God of All Comfort
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-3Blessed be the God and Father of our Lord Jesus Christ, the Father of mercies and God of all comfort, 4who comforts us in all our affliction, so that we may be able to comfort those who are in any affliction, with the comfort with which we ourselves are comforted by God. 5For as we share abundantly in Christ's sufferings, so through Christ we share abundantly in comfort too.[1] 6If we are afflicted, it is for your comfort and salvation; and if we are comforted, it is for your comfort, which you experience when you patiently endure the same sufferings that we suffer. 7Our hope for you is unshaken, for we know that as you share in our sufferings, you will also share in our comfort.
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-8For we do not want you to be ignorant, brothers,[2] of the affliction we experienced in Asia. For we were so utterly burdened beyond our strength that we despaired of life itself. 9Indeed, we felt that we had received the sentence of death. But that was to make us rely not on ourselves but on God who raises the dead. 10He delivered us from such a deadly peril, and he will deliver us. On him we have set our hope that he will deliver us again. 11You also must help us by prayer, so that many will give thanks on our behalf for the blessing granted us through the prayers of many.
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-Paul's Change of Plans
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-12For our boast is this, the testimony of our conscience, that we behaved in the world with simplicity[3] and godly sincerity, not by earthly wisdom but by the grace of God, and supremely so toward you. 13For we are not writing to you anything other than what you read and acknowledge[4] and I hope you will fully acknowledge— 14just as you did partially acknowledge us—that on the day of our Lord Jesus you will boast of us as we will boast of you.
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-15Because I was sure of this, I wanted to come to you first, so that you might have a second experience of grace. 16I wanted to visit you on my way to Macedonia, and to come back to you from Macedonia and have you send me on my way to Judea. 17Was I vacillating when I wanted to do this? Do I make my plans according to the flesh, ready to say “Yes, yes” and “No, no” at the same time? 18As surely as God is faithful, our word to you has not been Yes and No. 19For the Son of God, Jesus Christ, whom we proclaimed among you, Silvanus and Timothy and I, was not Yes and No, but in him it is always Yes. 20For all the promises of God find their Yes in him. That is why it is through him that we utter our Amen to God for his glory. 21And it is God who establishes us with you in Christ, and has anointed us, 22and who has also put his seal on us and given us his Spirit in our hearts as a guarantee.[5]
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-23But I call God to witness against me—it was to spare you that I refrained from coming again to Corinth. 24Not that we lord it over your faith, but we work with you for your joy, for you stand firm in your faith.
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-2:1 For I made up my mind not to make another painful visit to you. 2For if I cause you pain, who is there to make me glad but the one whom I have pained? 3And I wrote as I did, so that when I came I might not suffer pain from those who should have made me rejoice, for I felt sure of all of you, that my joy would be the joy of you all. 4For I wrote to you out of much affliction and anguish of heart and with many tears, not to cause you pain but to let you know the abundant love that I have for you.
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-Forgive the Sinner
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-5Now if anyone has caused pain, he has caused it not to me, but in some measure—not to put it too severely—to all of you. 6For such a one, this punishment by the majority is enough, 7so you should rather turn to forgive and comfort him, or he may be overwhelmed by excessive sorrow. 8So I beg you to reaffirm your love for him. 9For this is why I wrote, that I might test you and know whether you are obedient in everything. 10Anyone whom you forgive, I also forgive. Indeed, what I have forgiven, if I have forgiven anything, has been for your sake in the presence of Christ, 11so that we would not be outwitted by Satan; for we are not ignorant of his designs.
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-Triumph in Christ
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-12When I came to Troas to preach the gospel of Christ, even though a door was opened for me in the Lord, 13my spirit was not at rest because I did not find my brother Titus there. So I took leave of them and went on to Macedonia.
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-14But thanks be to God, who in Christ always leads us in triumphal procession, and through us spreads the fragrance of the knowledge of him everywhere. 15For we are the aroma of Christ to God among those who are being saved and among those who are perishing, 16to one a fragrance from death to death, to the other a fragrance from life to life. Who is sufficient[6] for these things? 17For we are not, like so many, peddlers of God's word, but as men of sincerity, as commissioned by God, in the sight of God we speak in Christ.
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-Ministers of the New Covenant
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-3:1 Are we beginning to commend ourselves again? Or do we need, as some do, letters of recommendation to you, or from you? 2You yourselves are our letter of recommendation, written on our[7] hearts, to be known and read by all. 3And you show that you are a letter from Christ delivered by us, written not with ink but with the Spirit of the living God, not on tablets of stone but on tablets of human hearts.[8]
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-4Such is the confidence that we have through Christ toward God. 5Not that we are sufficient in ourselves to claim anything as coming from us, but our sufficiency is from God, 6who has made us competent[9] to be ministers of a new covenant, not of the letter but of the Spirit. For the letter kills, but the Spirit gives life.
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-7Now if the ministry of death, carved in letters on stone, came with such glory that the Israelites could not gaze at Moses' face because of its glory, which was being brought to an end, 8will not the ministry of the Spirit have even more glory? 9For if there was glory in the ministry of condemnation, the ministry of righteousness must far exceed it in glory. 10Indeed, in this case, what once had glory has come to have no glory at all, because of the glory that surpasses it. 11For if what was being brought to an end came with glory, much more will what is permanent have glory.
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-12Since we have such a hope, we are very bold, 13not like Moses, who would put a veil over his face so that the Israelites might not gaze at the outcome of what was being brought to an end. 14But their minds were hardened. For to this day, when they read the old covenant, that same veil remains unlifted, because only through Christ is it taken away. 15Yes, to this day whenever Moses is read a veil lies over their hearts. 16But when one[10] turns to the Lord, the veil is removed. 17Now the Lord[11] is the Spirit, and where the Spirit of the Lord is, there is freedom. 18And we all, with unveiled face, beholding the glory of the Lord,[12] are being transformed into the same image from one degree of glory to another. For this comes from the Lord who is the Spirit.
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-The Light of the Gospel
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-4:1 Therefore, having this ministry by the mercy of God,[13] we do not lose heart. 2But we have renounced disgraceful, underhanded ways. We refuse to practice cunning or to tamper with God's word, but by the open statement of the truth we would commend ourselves to everyone's conscience in the sight of God. 3And even if our gospel is veiled, it is veiled only to those who are perishing. 4In their case the god of this world has blinded the minds of the unbelievers, to keep them from seeing the light of the gospel of the glory of Christ, who is the image of God. 5For what we proclaim is not ourselves, but Jesus Christ as Lord, with ourselves as your servants[14] for Jesus' sake. 6For God, who said, “Let light shine out of darkness,” has shone in our hearts to give the light of the knowledge of the glory of God in the face of Jesus Christ.
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-Treasure in Jars of Clay
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-7But we have this treasure in jars of clay, to show that the surpassing power belongs to God and not to us. 8We are afflicted in every way, but not crushed; perplexed, but not driven to despair; 9persecuted, but not forsaken; struck down, but not destroyed; 10always carrying in the body the death of Jesus, so that the life of Jesus may also be manifested in our bodies. 11For we who live are always being given over to death for Jesus' sake, so that the life of Jesus also may be manifested in our mortal flesh. 12So death is at work in us, but life in you.
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-13Since we have the same spirit of faith according to what has been written, “I believed, and so I spoke,” we also believe, and so we also speak, 14knowing that he who raised the Lord Jesus will raise us also with Jesus and bring us with you into his presence. 15For it is all for your sake, so that as grace extends to more and more people it may increase thanksgiving, to the glory of God.
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-16So we do not lose heart. Though our outer self[15] is wasting away, our inner self is being renewed day by day. 17For this light momentary affliction is preparing for us an eternal weight of glory beyond all comparison, 18as we look not to the things that are seen but to the things that are unseen. For the things that are seen are transient, but the things that are unseen are eternal.
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-Our Heavenly Dwelling
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-5:1 For we know that if the tent that is our earthly home is destroyed, we have a building from God, a house not made with hands, eternal in the heavens. 2For in this tent we groan, longing to put on our heavenly dwelling, 3if indeed by putting it on[16] we may not be found naked. 4For while we are still in this tent, we groan, being burdened—not that we would be unclothed, but that we would be further clothed, so that what is mortal may be swallowed up by life. 5He who has prepared us for this very thing is God, who has given us the Spirit as a guarantee.
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-6So we are always of good courage. We know that while we are at home in the body we are away from the Lord, 7for we walk by faith, not by sight. 8Yes, we are of good courage, and we would rather be away from the body and at home with the Lord. 9So whether we are at home or away, we make it our aim to please him. 10For we must all appear before the judgment seat of Christ, so that each one may receive what is due for what he has done in the body, whether good or evil.
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-The Ministry of Reconciliation
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-11Therefore, knowing the fear of the Lord, we persuade others. But what we are is known to God, and I hope it is known also to your conscience. 12We are not commending ourselves to you again but giving you cause to boast about us, so that you may be able to answer those who boast about outward appearance and not about what is in the heart. 13For if we are beside ourselves, it is for God; if we are in our right mind, it is for you. 14For the love of Christ controls us, because we have concluded this: that one has died for all, therefore all have died; 15and he died for all, that those who live might no longer live for themselves but for him who for their sake died and was raised.
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-16From now on, therefore, we regard no one according to the flesh. Even though we once regarded Christ according to the flesh, we regard him thus no longer. 17Therefore, if anyone is in Christ, he is a new creation.[17] The old has passed away; behold, the new has come. 18All this is from God, who through Christ reconciled us to himself and gave us the ministry of reconciliation; 19that is, in Christ God was reconciling[18] the world to himself, not counting their trespasses against them, and entrusting to us the message of reconciliation. 20Therefore, we are ambassadors for Christ, God making his appeal through us. We implore you on behalf of Christ, be reconciled to God. 21For our sake he made him to be sin who knew no sin, so that in him we might become the righteousness of God.
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-6:1 Working together with him, then, we appeal to you not to receive the grace of God in vain. 2For he says,
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-“In a favorable time I listened to you,
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-and in a day of salvation I have helped you.”
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-Behold, now is the favorable time; behold, now is the day of salvation. 3We put no obstacle in anyone's way, so that no fault may be found with our ministry, 4but as servants of God we commend ourselves in every way: by great endurance, in afflictions, hardships, calamities, 5beatings, imprisonments, riots, labors, sleepless nights, hunger; 6by purity, knowledge, patience, kindness, the Holy Spirit, genuine love; 7by truthful speech, and the power of God; with the weapons of righteousness for the right hand and for the left; 8through honor and dishonor, through slander and praise. We are treated as impostors, and yet are true; 9as unknown, and yet well known; as dying, and behold, we live; as punished, and yet not killed; 10as sorrowful, yet always rejoicing; as poor, yet making many rich; as having nothing, yet possessing everything.
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-11We have spoken freely to you,[19] Corinthians; our heart is wide open. 12You are not restricted by us, but you are restricted in your own affections. 13In return (I speak as to children) widen your hearts also.
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-The Temple of the Living God
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-14Do not be unequally yoked with unbelievers. For what partnership has righteousness with lawlessness? Or what fellowship has light with darkness? 15What accord has Christ with Belial?[20] Or what portion does a believer share with an unbeliever? 16What agreement has the temple of God with idols? For we are the temple of the living God; as God said,
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-“I will make my dwelling among them and walk among them,
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-and I will be their God,
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-and they shall be my people.
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-17Therefore go out from their midst,
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-and be separate from them, says the Lord,
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-and touch no unclean thing;
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-then I will welcome you,
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-18and I will be a father to you,
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-and you shall be sons and daughters to me,
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-says the Lord Almighty.”
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-7:1 Since we have these promises, beloved, let us cleanse ourselves from every defilement of body[21] and spirit, bringing holiness to completion in the fear of God.
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-Paul's Joy
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-2Make room in your hearts[22] for us. We have wronged no one, we have corrupted no one, we have taken advantage of no one. 3I do not say this to condemn you, for I said before that you are in our hearts, to die together and to live together. 4I am acting with great boldness toward you; I have great pride in you; I am filled with comfort. In all our affliction, I am overflowing with joy.
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-5For even when we came into Macedonia, our bodies had no rest, but we were afflicted at every turn—fighting without and fear within. 6But God, who comforts the downcast, comforted us by the coming of Titus, 7and not only by his coming but also by the comfort with which he was comforted by you, as he told us of your longing, your mourning, your zeal for me, so that I rejoiced still more. 8For even if I made you grieve with my letter, I do not regret it—though I did regret it, for I see that that letter grieved you, though only for a while. 9As it is, I rejoice, not because you were grieved, but because you were grieved into repenting. For you felt a godly grief, so that you suffered no loss through us.
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-10For godly grief produces a repentance that leads to salvation without regret, whereas worldly grief produces death. 11For see what earnestness this godly grief has produced in you, but also what eagerness to clear yourselves, what indignation, what fear, what longing, what zeal, what punishment! At every point you have proved yourselves innocent in the matter. 12So although I wrote to you, it was not for the sake of the one who did the wrong, nor for the sake of the one who suffered the wrong, but in order that your earnestness for us might be revealed to you in the sight of God. 13Therefore we are comforted.
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-And besides our own comfort, we rejoiced still more at the joy of Titus, because his spirit has been refreshed by you all. 14For whatever boasts I made to him about you, I was not put to shame. But just as everything we said to you was true, so also our boasting before Titus has proved true. 15And his affection for you is even greater, as he remembers the obedience of you all, how you received him with fear and trembling. 16I rejoice, because I have perfect confidence in you.
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-Encouragement to Give Generously
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-8:1 We want you to know, brothers,[23] about the grace of God that has been given among the churches of Macedonia, 2for in a severe test of affliction, their abundance of joy and their extreme poverty have overflowed in a wealth of generosity on their part. 3For they gave according to their means, as I can testify, and beyond their means, of their own accord, 4begging us earnestly for the favor[24] of taking part in the relief of the saints— 5and this, not as we expected, but they gave themselves first to the Lord and then by the will of God to us. 6Accordingly, we urged Titus that as he had started, so he should complete among you this act of grace. 7But as you excel in everything—in faith, in speech, in knowledge, in all earnestness, and in our love for you[25]—see that you excel in this act of grace also.
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-8I say this not as a command, but to prove by the earnestness of others that your love also is genuine. 9For you know the grace of our Lord Jesus Christ, that though he was rich, yet for your sake he became poor, so that you by his poverty might become rich. 10And in this matter I give my judgment: this benefits you, who a year ago started not only to do this work but also to desire to do it. 11So now finish doing it as well, so that your readiness in desiring it may be matched by your completing it out of what you have. 12For if the readiness is there, it is acceptable according to what a person has, not according to what he does not have. 13For I do not mean that others should be eased and you burdened, but that as a matter of fairness 14your abundance at the present time should supply their need, so that their abundance may supply your need, that there may be fairness. 15As it is written, “Whoever gathered much had nothing left over, and whoever gathered little had no lack.”
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-Commendation of Titus
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-16But thanks be to God, who put into the heart of Titus the same earnest care I have for you. 17For he not only accepted our appeal, but being himself very earnest he is going[26] to you of his own accord. 18With him we are sending[27] the brother who is famous among all the churches for his preaching of the gospel. 19And not only that, but he has been appointed by the churches to travel with us as we carry out this act of grace that is being ministered by us, for the glory of the Lord himself and to show our good will. 20We take this course so that no one should blame us about this generous gift that is being administered by us, 21for we aim at what is honorable not only in the Lord's sight but also in the sight of man. 22And with them we are sending our brother whom we have often tested and found earnest in many matters, but who is now more earnest than ever because of his great confidence in you. 23As for Titus, he is my partner and fellow worker for your benefit. And as for our brothers, they are messengers[28] of the churches, the glory of Christ. 24So give proof before the churches of your love and of our boasting about you to these men.
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-The Collection for Christians in Jerusalem
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-9:1 Now it is superfluous for me to write to you about the ministry for the saints, 2for I know your readiness, of which I boast about you to the people of Macedonia, saying that Achaia has been ready since last year. And your zeal has stirred up most of them. 3But I am sending[29] the brothers so that our boasting about you may not prove empty in this matter, so that you may be ready, as I said you would be. 4Otherwise, if some Macedonians come with me and find that you are not ready, we would be humiliated—to say nothing of you—for being so confident. 5So I thought it necessary to urge the brothers to go on ahead to you and arrange in advance for the gift[30] you have promised, so that it may be ready as a willing gift, not as an exaction.[31]
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-The Cheerful Giver
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-6The point is this: whoever sows sparingly will also reap sparingly, and whoever sows bountifully[32] will also reap bountifully. 7Each one must give as he has decided in his heart, not reluctantly or under compulsion, for God loves a cheerful giver. 8And God is able to make all grace abound to you, so that having all sufficiency[33] in all things at all times, you may abound in every good work. 9As it is written,
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-“He has distributed freely, he has given to the poor;
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-his righteousness endures forever.”
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-10He who supplies seed to the sower and bread for food will supply and multiply your seed for sowing and increase the harvest of your righteousness. 11You will be enriched in every way to be generous in every way, which through us will produce thanksgiving to God. 12For the ministry of this service is not only supplying the needs of the saints but is also overflowing in many thanksgivings to God. 13By their approval of this service, they[34] will glorify God because of your submission flowing from your confession of the gospel of Christ, and the generosity of your contribution for them and for all others, 14while they long for you and pray for you, because of the surpassing grace of God upon you. 15Thanks be to God for his inexpressible gift!
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-Paul Defends His Ministry
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-10:1 I, Paul, myself entreat you, by the meekness and gentleness of Christ—I who am humble when face to face with you, but bold toward you when I am away!— 2I beg of you that when I am present I may not have to show boldness with such confidence as I count on showing against some who suspect us of walking according to the flesh. 3For though we walk in the flesh, we are not waging war according to the flesh. 4For the weapons of our warfare are not of the flesh but have divine power to destroy strongholds. 5We destroy arguments and every lofty opinion raised against the knowledge of God, and take every thought captive to obey Christ, 6being ready to punish every disobedience, when your obedience is complete.
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-7Look at what is before your eyes. If anyone is confident that he is Christ's, let him remind himself that just as he is Christ's, so also are we. 8For even if I boast a little too much of our authority, which the Lord gave for building you up and not for destroying you, I will not be ashamed. 9I do not want to appear to be frightening you with my letters. 10For they say, “His letters are weighty and strong, but his bodily presence is weak, and his speech of no account.” 11Let such a person understand that what we say by letter when absent, we do when present. 12Not that we dare to classify or compare ourselves with some of those who are commending themselves. But when they measure themselves by one another and compare themselves with one another, they are without understanding.
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-13But we will not boast beyond limits, but will boast only with regard to the area of influence God assigned to us, to reach even to you. 14For we are not overextending ourselves, as though we did not reach you. For we were the first to come all the way to you with the gospel of Christ. 15We do not boast beyond limit in the labors of others. But our hope is that as your faith increases, our area of influence among you may be greatly enlarged, 16so that we may preach the gospel in lands beyond you, without boasting of work already done in another's area of influence. 17“Let the one who boasts, boast in the Lord.” 18For it is not the one who commends himself who is approved, but the one whom the Lord commends.
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-Paul and the False Apostles
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-11:1 I wish you would bear with me in a little foolishness. Do bear with me! 2For I feel a divine jealousy for you, since I betrothed you to one husband, to present you as a pure virgin to Christ. 3But I am afraid that as the serpent deceived Eve by his cunning, your thoughts will be led astray from a sincere and pure devotion to Christ. 4For if someone comes and proclaims another Jesus than the one we proclaimed, or if you receive a different spirit from the one you received, or if you accept a different gospel from the one you accepted, you put up with it readily enough. 5Indeed, I consider that I am not in the least inferior to these super-apostles. 6Even if I am unskilled in speaking, I am not so in knowledge; indeed, in every way we have made this plain to you in all things.
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-7Or did I commit a sin in humbling myself so that you might be exalted, because I preached God's gospel to you free of charge? 8I robbed other churches by accepting support from them in order to serve you. 9And when I was with you and was in need, I did not burden anyone, for the brothers who came from Macedonia supplied my need. So I refrained and will refrain from burdening you in any way. 10As the truth of Christ is in me, this boasting of mine will not be silenced in the regions of Achaia. 11And why? Because I do not love you? God knows I do!
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-12And what I do I will continue to do, in order to undermine the claim of those who would like to claim that in their boasted mission they work on the same terms as we do. 13For such men are false apostles, deceitful workmen, disguising themselves as apostles of Christ. 14And no wonder, for even Satan disguises himself as an angel of light. 15So it is no surprise if his servants, also, disguise themselves as servants of righteousness. Their end will correspond to their deeds.
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-Paul's Sufferings as an Apostle
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-16I repeat, let no one think me foolish. But even if you do, accept me as a fool, so that I too may boast a little. 17What I am saying with this boastful confidence, I say not with the Lord's authority but as a fool. 18Since many boast according to the flesh, I too will boast. 19For you gladly bear with fools, being wise yourselves! 20For you bear it if someone makes slaves of you, or devours you, or takes advantage of you, or puts on airs, or strikes you in the face. 21To my shame, I must say, we were too weak for that!
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-But whatever anyone else dares to boast of—I am speaking as a fool—I also dare to boast of that. 22Are they Hebrews? So am I. Are they Israelites? So am I. Are they offspring of Abraham? So am I. 23Are they servants of Christ? I am a better one—I am talking like a madman—with far greater labors, far more imprisonments, with countless beatings, and often near death. 24Five times I received at the hands of the Jews the forty lashes less one. 25Three times I was beaten with rods. Once I was stoned. Three times I was shipwrecked; a night and a day I was adrift at sea; 26on frequent journeys, in danger from rivers, danger from robbers, danger from my own people, danger from Gentiles, danger in the city, danger in the wilderness, danger at sea, danger from false brothers; 27in toil and hardship, through many a sleepless night, in hunger and thirst, often without food,[35] in cold and exposure. 28And, apart from other things, there is the daily pressure on me of my anxiety for all the churches. 29Who is weak, and I am not weak? Who is made to fall, and I am not indignant?
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-30If I must boast, I will boast of the things that show my weakness. 31The God and Father of the Lord Jesus, he who is blessed forever, knows that I am not lying. 32At Damascus, the governor under King Aretas was guarding the city of Damascus in order to seize me, 33but I was let down in a basket through a window in the wall and escaped his hands.
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-Paul's Visions and His Thorn
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-12:1 I must go on boasting. Though there is nothing to be gained by it, I will go on to visions and revelations of the Lord. 2I know a man in Christ who fourteen years ago was caught up to the third heaven—whether in the body or out of the body I do not know, God knows. 3And I know that this man was caught up into paradise—whether in the body or out of the body I do not know, God knows— 4and he heard things that cannot be told, which man may not utter. 5On behalf of this man I will boast, but on my own behalf I will not boast, except of my weaknesses. 6Though if I should wish to boast, I would not be a fool, for I would be speaking the truth. But I refrain from it, so that no one may think more of me than he sees in me or hears from me. 7So to keep me from becoming conceited because of the surpassing greatness of the revelations,[36] a thorn was given me in the flesh, a messenger of Satan to harass me, to keep me from becoming conceited. 8Three times I pleaded with the Lord about this, that it should leave me. 9But he said to me, “My grace is sufficient for you, for my power is made perfect in weakness.” Therefore I will boast all the more gladly of my weaknesses, so that the power of Christ may rest upon me. 10For the sake of Christ, then, I am content with weaknesses, insults, hardships, persecutions, and calamities. For when I am weak, then I am strong.
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-Concern for the Corinthian Church
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-11I have been a fool! You forced me to it, for I ought to have been commended by you. For I was not at all inferior to these super-apostles, even though I am nothing. 12The signs of a true apostle were performed among you with utmost patience, with signs and wonders and mighty works. 13For in what were you less favored than the rest of the churches, except that I myself did not burden you? Forgive me this wrong!
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-14Here for the third time I am ready to come to you. And I will not be a burden, for I seek not what is yours but you. For children are not obligated to save up for their parents, but parents for their children. 15I will most gladly spend and be spent for your souls. If I love you more, am I to be loved less? 16But granting that I myself did not burden you, I was crafty, you say, and got the better of you by deceit. 17Did I take advantage of you through any of those whom I sent to you? 18I urged Titus to go, and sent the brother with him. Did Titus take advantage of you? Did we not act in the same spirit? Did we not take the same steps?
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-19Have you been thinking all along that we have been defending ourselves to you? It is in the sight of God that we have been speaking in Christ, and all for your upbuilding, beloved. 20For I fear that perhaps when I come I may find you not as I wish, and that you may find me not as you wish—that perhaps there may be quarreling, jealousy, anger, hostility, slander, gossip, conceit, and disorder. 21I fear that when I come again my God may humble me before you, and I may have to mourn over many of those who sinned earlier and have not repented of the impurity, sexual immorality, and sensuality that they have practiced.
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-Final Warnings
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-13:1 This is the third time I am coming to you. Every charge must be established by the evidence of two or three witnesses. 2I warned those who sinned before and all the others, and I warn them now while absent, as I did when present on my second visit, that if I come again I will not spare them— 3since you seek proof that Christ is speaking in me. He is not weak in dealing with you, but is powerful among you. 4For he was crucified in weakness, but lives by the power of God. For we also are weak in him, but in dealing with you we will live with him by the power of God.
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-5Examine yourselves, to see whether you are in the faith. Test yourselves. Or do you not realize this about yourselves, that Jesus Christ is in you?—unless indeed you fail to meet the test! 6I hope you will find out that we have not failed the test. 7But we pray to God that you may not do wrong—not that we may appear to have met the test, but that you may do what is right, though we may seem to have failed. 8For we cannot do anything against the truth, but only for the truth. 9For we are glad when we are weak and you are strong. Your restoration is what we pray for. 10For this reason I write these things while I am away from you, that when I come I may not have to be severe in my use of the authority that the Lord has given me for building up and not for tearing down.
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-Final Greetings
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-11Finally, brothers,[37] rejoice. Aim for restoration, comfort one another,[38] agree with one another, live in peace; and the God of love and peace will be with you. 12Greet one another with a holy kiss. 13All the saints greet you.
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-14The grace of the Lord Jesus Christ and the love of God and the fellowship of the Holy Spirit be with you all.
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-Footnotes
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-[1] 1:5 Or For as the sufferings of Christ abound for us, so also our comfort abounds through Christ
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-[2] 1:8 Or brothers and sisters. The plural Greek word adelphoi (translated “brothers”) refers to siblings in a family. In New Testament usage, depending on the context, adelphoi may refer either to men or to both men and women who are siblings (brothers and sisters) in God's family, the church
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-[3] 1:12 Some manuscripts holiness
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-[4] 1:13 Or understand; twice in this verse; also verse 14
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-[5] 1:22 Or down payment
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-[6] 2:16 Or competent
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-[7] 3:2 Some manuscripts your
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-[8] 3:3 Greek fleshly hearts
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-[9] 3:6 Or sufficient
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-[10] 3:16 Greek he
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-[11] 3:17 Or this Lord
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-[12] 3:18 Or reflecting the glory of the Lord
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-[13] 4:1 Greek as we have received mercy
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-[14] 4:5 Greek bondservants
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-[15] 4:16 Greek man
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-[16] 5:3 Some manuscripts putting it off
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-[17] 5:17 Or creature
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-[18] 5:19 Or God was in Christ, reconciling
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-[19] 6:11 Greek Our mouth is open to you
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-[20] 6:15 Greek Beliar
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-[21] 7:1 Greek flesh
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-[22] 7:2 Greek lacks in your hearts
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-[23] 8:1 Or brothers and sisters
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-[24] 8:4 The Greek word charis can mean favor or grace or thanks, depending on the context
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-[25] 8:7 Some manuscripts in your love for us
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-[26] 8:17 Or he went
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-[27] 8:18 Or we sent; also verse 22
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-[28] 8:23 Greek apostles
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-[29] 9:3 Or I have sent
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-[30] 9:5 Greek blessing; twice in this verse
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-[31] 9:5 Or a gift expecting something in return; Greek greed
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-[32] 9:6 Greek with blessings; twice in this verse
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-[33] 9:8 Or all contentment
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-[34] 9:13 Or you
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-[35] 11:27 Or often in fasting
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-[36] 12:7 Or hears from me, even because of the surpassing greatness of the revelations. So to keep me from becoming conceited
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-[37] 13:11 Or brothers and sisters
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-[38] 13:11 Or listen to my appeal
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-GALATIANS
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-Chapter 1
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-Chapter 2
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-Chapter 3
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-Chapter 4
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-Chapter 5
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-Chapter 6
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-Greeting
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-1:1 Paul, an apostle—not from men nor through man, but through Jesus Christ and God the Father, who raised him from the dead— 2and all the brothers[1] who are with me,
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-To the churches of Galatia:
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-3Grace to you and peace from God our Father and the Lord Jesus Christ, 4who gave himself for our sins to deliver us from the present evil age, according to the will of our God and Father, 5to whom be the glory forever and ever. Amen.
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-No Other Gospel
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-6I am astonished that you are so quickly deserting him who called you in the grace of Christ and are turning to a different gospel— 7not that there is another one, but there are some who trouble you and want to distort the gospel of Christ. 8But even if we or an angel from heaven should preach to you a gospel contrary to the one we preached to you, let him be accursed. 9As we have said before, so now I say again: If anyone is preaching to you a gospel contrary to the one you received, let him be accursed.
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-10For am I now seeking the approval of man, or of God? Or am I trying to please man? If I were still trying to please man, I would not be a servant[2] of Christ.
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-Paul Called by God
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-11For I would have you know, brothers, that the gospel that was preached by me is not man's gospel.[3] 12For I did not receive it from any man, nor was I taught it, but I received it through a revelation of Jesus Christ. 13For you have heard of my former life in Judaism, how I persecuted the church of God violently and tried to destroy it. 14And I was advancing in Judaism beyond many of my own age among my people, so extremely zealous was I for the traditions of my fathers. 15But when he who had set me apart before I was born,[4] and who called me by his grace, 16was pleased to reveal his Son to[5] me, in order that I might preach him among the Gentiles, I did not immediately consult with anyone;[6] 17nor did I go up to Jerusalem to those who were apostles before me, but I went away into Arabia, and returned again to Damascus.
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-18Then after three years I went up to Jerusalem to visit Cephas and remained with him fifteen days. 19But I saw none of the other apostles except James the Lord's brother. 20(In what I am writing to you, before God, I do not lie!) 21Then I went into the regions of Syria and Cilicia. 22And I was still unknown in person to the churches of Judea that are in Christ. 23They only were hearing it said, “He who used to persecute us is now preaching the faith he once tried to destroy.” 24And they glorified God because of me.
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-Paul Accepted by the Apostles
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-2:1 Then after fourteen years I went up again to Jerusalem with Barnabas, taking Titus along with me. 2I went up because of a revelation and set before them (though privately before those who seemed influential) the gospel that I proclaim among the Gentiles, in order to make sure I was not running or had not run in vain. 3But even Titus, who was with me, was not forced to be circumcised, though he was a Greek. 4Yet because of false brothers secretly brought in—who slipped in to spy out our freedom that we have in Christ Jesus, so that they might bring us into slavery— 5to them we did not yield in submission even for a moment, so that the truth of the gospel might be preserved for you. 6And from those who seemed to be influential (what they were makes no difference to me; God shows no partiality)—those, I say, who seemed influential added nothing to me. 7On the contrary, when they saw that I had been entrusted with the gospel to the uncircumcised, just as Peter had been entrusted with the gospel to the circumcised 8(for he who worked through Peter for his apostolic ministry to the circumcised worked also through me for mine to the Gentiles), 9and when James and Cephas and John, who seemed to be pillars, perceived the grace that was given to me, they gave the right hand of fellowship to Barnabas and me, that we should go to the Gentiles and they to the circumcised. 10Only, they asked us to remember the poor, the very thing I was eager to do.
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-Paul Opposes Peter
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-11But when Cephas came to Antioch, I opposed him to his face, because he stood condemned. 12For before certain men came from James, he was eating with the Gentiles; but when they came he drew back and separated himself, fearing the circumcision party. 13And the rest of the Jews acted hypocritically along with him, so that even Barnabas was led astray by their hypocrisy. 14But when I saw that their conduct was not in step with the truth of the gospel, I said to Cephas before them all, “If you, though a Jew, live like a Gentile and not like a Jew, how can you force the Gentiles to live like Jews?”
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-Justified by Faith
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-15We ourselves are Jews by birth and not Gentile sinners; 16yet we know that a person is not justified[7] by works of the law but through faith in Jesus Christ, so we also have believed in Christ Jesus, in order to be justified by faith in Christ and not by works of the law, because by works of the law no one will be justified.
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-17But if, in our endeavor to be justified in Christ, we too were found to be sinners, is Christ then a servant of sin? Certainly not! 18For if I rebuild what I tore down, I prove myself to be a transgressor. 19For through the law I died to the law, so that I might live to God. 20I have been crucified with Christ. It is no longer I who live, but Christ who lives in me. And the life I now live in the flesh I live by faith in the Son of God, who loved me and gave himself for me. 21I do not nullify the grace of God, for if righteousness[8] were through the law, then Christ died for no purpose.
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-By Faith, or by Works of the Law?
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-3:1 O foolish Galatians! Who has bewitched you? It was before your eyes that Jesus Christ was publicly portrayed as crucified. 2Let me ask you only this: Did you receive the Spirit by works of the law or by hearing with faith? 3Are you so foolish? Having begun by the Spirit, are you now being perfected by[9] the flesh? 4Did you suffer[10] so many things in vain—if indeed it was in vain? 5Does he who supplies the Spirit to you and works miracles among you do so by works of the law, or by hearing with faith— 6just as Abraham “believed God, and it was counted to him as righteousness”?
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-7Know then that it is those of faith who are the sons of Abraham. 8And the Scripture, foreseeing that God would justify[11] the Gentiles by faith, preached the gospel beforehand to Abraham, saying, “In you shall all the nations be blessed.” 9So then, those who are of faith are blessed along with Abraham, the man of faith.
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-The Righteous Shall Live by Faith
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-10For all who rely on works of the law are under a curse; for it is written, “Cursed be everyone who does not abide by all things written in the Book of the Law, and do them.” 11Now it is evident that no one is justified before God by the law, for “The righteous shall live by faith.”[12] 12But the law is not of faith, rather “The one who does them shall live by them.” 13Christ redeemed us from the curse of the law by becoming a curse for us—for it is written, “Cursed is everyone who is hanged on a tree”— 14so that in Christ Jesus the blessing of Abraham might come to the Gentiles, so that we might receive the promised Spirit[13] through faith.
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-The Law and the Promise
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-15To give a human example, brothers:[14] even with a man-made covenant, no one annuls it or adds to it once it has been ratified. 16Now the promises were made to Abraham and to his offspring. It does not say, “And to offsprings,” referring to many, but referring to one, “And to your offspring,” who is Christ. 17This is what I mean: the law, which came 430 years afterward, does not annul a covenant previously ratified by God, so as to make the promise void. 18For if the inheritance comes by the law, it no longer comes by promise; but God gave it to Abraham by a promise.
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-19Why then the law? It was added because of transgressions, until the offspring should come to whom the promise had been made, and it was put in place through angels by an intermediary. 20Now an intermediary implies more than one, but God is one.
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-21Is the law then contrary to the promises of God? Certainly not! For if a law had been given that could give life, then righteousness would indeed be by the law. 22But the Scripture imprisoned everything under sin, so that the promise by faith in Jesus Christ might be given to those who believe.
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-23Now before faith came, we were held captive under the law, imprisoned until the coming faith would be revealed. 24So then, the law was our guardian until Christ came, in order that we might be justified by faith. 25But now that faith has come, we are no longer under a guardian, 26for in Christ Jesus you are all sons of God, through faith. 27For as many of you as were baptized into Christ have put on Christ. 28There is neither Jew nor Greek, there is neither slave[15] nor free, there is no male and female, for you are all one in Christ Jesus. 29And if you are Christ's, then you are Abraham's offspring, heirs according to promise.
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-Sons and Heirs
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-4:1 I mean that the heir, as long as he is a child, is no different from a slave,[16] though he is the owner of everything, 2but he is under guardians and managers until the date set by his father. 3In the same way we also, when we were children, were enslaved to the elementary principles[17] of the world. 4But when the fullness of time had come, God sent forth his Son, born of woman, born under the law, 5to redeem those who were under the law, so that we might receive adoption as sons. 6And because you are sons, God has sent the Spirit of his Son into our hearts, crying, “Abba! Father!” 7So you are no longer a slave, but a son, and if a son, then an heir through God.
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-Paul's Concern for the Galatians
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-8Formerly, when you did not know God, you were enslaved to those that by nature are not gods. 9But now that you have come to know God, or rather to be known by God, how can you turn back again to the weak and worthless elementary principles of the world, whose slaves you want to be once more? 10You observe days and months and seasons and years! 11I am afraid I may have labored over you in vain.
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-12Brothers,[18] I entreat you, become as I am, for I also have become as you are. You did me no wrong. 13You know it was because of a bodily ailment that I preached the gospel to you at first, 14and though my condition was a trial to you, you did not scorn or despise me, but received me as an angel of God, as Christ Jesus. 15What then has become of the blessing you felt? For I testify to you that, if possible, you would have gouged out your eyes and given them to me. 16Have I then become your enemy by telling you the truth?[19] 17They make much of you, but for no good purpose. They want to shut you out, that you may make much of them. 18It is always good to be made much of for a good purpose, and not only when I am present with you, 19my little children, for whom I am again in the anguish of childbirth until Christ is formed in you! 20I wish I could be present with you now and change my tone, for I am perplexed about you.
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-Example of Hagar and Sarah
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-21Tell me, you who desire to be under the law, do you not listen to the law? 22For it is written that Abraham had two sons, one by a slave woman and one by a free woman. 23But the son of the slave was born according to the flesh, while the son of the free woman was born through promise. 24Now this may be interpreted allegorically: these women are two covenants. One is from Mount Sinai, bearing children for slavery; she is Hagar. 25Now Hagar is Mount Sinai in Arabia;[20] she corresponds to the present Jerusalem, for she is in slavery with her children. 26But the Jerusalem above is free, and she is our mother. 27For it is written,
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-“Rejoice, O barren one who does not bear;
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-break forth and cry aloud, you who are not in labor!
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-For the children of the desolate one will be more
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-than those of the one who has a husband.”
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-28Now you,[21] brothers, like Isaac, are children of promise. 29But just as at that time he who was born according to the flesh persecuted him who was born according to the Spirit, so also it is now. 30But what does the Scripture say? “Cast out the slave woman and her son, for the son of the slave woman shall not inherit with the son of the free woman.” 31So, brothers, we are not children of the slave but of the free woman.
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-Christ Has Set Us Free
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-5:1 For freedom Christ has set us free; stand firm therefore, and do not submit again to a yoke of slavery.
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-2Look: I, Paul, say to you that if you accept circumcision, Christ will be of no advantage to you. 3I testify again to every man who accepts circumcision that he is obligated to keep the whole law. 4You are severed from Christ, you who would be justified[22] by the law; you have fallen away from grace. 5For through the Spirit, by faith, we ourselves eagerly wait for the hope of righteousness. 6For in Christ Jesus neither circumcision nor uncircumcision counts for anything, but only faith working through love.
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-7You were running well. Who hindered you from obeying the truth? 8This persuasion is not from him who calls you. 9A little leaven leavens the whole lump. 10I have confidence in the Lord that you will take no other view than mine, and the one who is troubling you will bear the penalty, whoever he is. 11But if I, brothers,[23] still preach[24] circumcision, why am I still being persecuted? In that case the offense of the cross has been removed. 12I wish those who unsettle you would emasculate themselves!
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-13For you were called to freedom, brothers. Only do not use your freedom as an opportunity for the flesh, but through love serve one another. 14For the whole law is fulfilled in one word: “You shall love your neighbor as yourself.” 15But if you bite and devour one another, watch out that you are not consumed by one another.
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-Walk by the Spirit
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-16But I say, walk by the Spirit, and you will not gratify the desires of the flesh. 17For the desires of the flesh are against the Spirit, and the desires of the Spirit are against the flesh, for these are opposed to each other, to keep you from doing the things you want to do. 18But if you are led by the Spirit, you are not under the law. 19Now the works of the flesh are evident: sexual immorality, impurity, sensuality, 20idolatry, sorcery, enmity, strife, jealousy, fits of anger, rivalries, dissensions, divisions, 21envy,[25] drunkenness, orgies, and things like these. I warn you, as I warned you before, that those who do such things will not inherit the kingdom of God. 22But the fruit of the Spirit is love, joy, peace, patience, kindness, goodness, faithfulness, 23gentleness, self-control; against such things there is no law. 24And those who belong to Christ Jesus have crucified the flesh with its passions and desires.
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-25If we live by the Spirit, let us also walk by the Spirit. 26Let us not become conceited, provoking one another, envying one another.
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-Bear One Another's Burdens
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-6:1 Brothers,[26] if anyone is caught in any transgression, you who are spiritual should restore him in a spirit of gentleness. Keep watch on yourself, lest you too be tempted. 2Bear one another's burdens, and so fulfill the law of Christ. 3For if anyone thinks he is something, when he is nothing, he deceives himself. 4But let each one test his own work, and then his reason to boast will be in himself alone and not in his neighbor. 5For each will have to bear his own load.
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-6One who is taught the word must share all good things with the one who teaches. 7Do not be deceived: God is not mocked, for whatever one sows, that will he also reap. 8For the one who sows to his own flesh will from the flesh reap corruption, but the one who sows to the Spirit will from the Spirit reap eternal life. 9And let us not grow weary of doing good, for in due season we will reap, if we do not give up. 10So then, as we have opportunity, let us do good to everyone, and especially to those who are of the household of faith.
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-Final Warning and Benediction
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-11See with what large letters I am writing to you with my own hand. 12It is those who want to make a good showing in the flesh who would force you to be circumcised, and only in order that they may not be persecuted for the cross of Christ. 13For even those who are circumcised do not themselves keep the law, but they desire to have you circumcised that they may boast in your flesh. 14But far be it from me to boast except in the cross of our Lord Jesus Christ, by which[27] the world has been crucified to me, and I to the world. 15For neither circumcision counts for anything, nor uncircumcision, but a new creation. 16And as for all who walk by this rule, peace and mercy be upon them, and upon the Israel of God.
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-17From now on let no one cause me trouble, for I bear on my body the marks of Jesus.
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-18The grace of our Lord Jesus Christ be with your spirit, brothers. Amen.
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-Footnotes
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-[1] 1:2 Or brothers and sisters. The plural Greek word adelphoi (translated “brothers”) refers to siblings in a family. In New Testament usage, depending on the context, adelphoi may refer either to men or to both men and women who are siblings (brothers and sisters) in God's family, the church; also verse 11
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-[2] 1:10 Or slave; Greek bondservant
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-[3] 1:11 Greek not according to man
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-[4] 1:15 Greek set me apart from my mother's womb
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-[5] 1:16 Greek in
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-[6] 1:16 Greek with flesh and blood
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-[7] 2:16 Or counted righteous (three times in verse 16); also verse 17
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-[8] 2:21 Or justification
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-[9] 3:3 Or now ending with
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-[10] 3:4 Or experience
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-[11] 3:8 Or count righteous; also verses 11, 24
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-[12] 3:11 Or The one who by faith is righteous will live
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-[13] 3:14 Greek receive the promise of the Spirit
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-[14] 3:15 Or brothers and sisters
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-[15] 3:28 Greek bondservant
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-[16] 4:1 Greek bondservant; also verse 7
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-[17] 4:3 Or elemental spirits; also verse 9
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-[18] 4:12 Or Brothers and sisters; also verses 28, 31
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-[19] 4:16 Or by dealing truthfully with you
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-[20] 4:25 Some manuscripts For Sinai is a mountain in Arabia
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-[21] 4:28 Some manuscripts we
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-[22] 5:4 Or counted righteous
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-[23] 5:11 Or brothers and sisters; also verse 13
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-[24] 5:11 Greek proclaim
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-[25] 5:21 Some manuscripts add murder
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-[26] 6:1 Or Brothers and sisters; also verse 18
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-[27] 6:14 Or through whom
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-EPHESIANS
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-Chapter 1
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-Chapter 2
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-Chapter 3
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-Chapter 4
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-Chapter 5
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-Chapter 6
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-Greeting
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-1:1 Paul, an apostle of Christ Jesus by the will of God,
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-To the saints who are in Ephesus, and are faithful[1] in Christ Jesus:
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-2Grace to you and peace from God our Father and the Lord Jesus Christ.
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-Spiritual Blessings in Christ
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-3Blessed be the God and Father of our Lord Jesus Christ, who has blessed us in Christ with every spiritual blessing in the heavenly places, 4even as he chose us in him before the foundation of the world, that we should be holy and blameless before him. In love 5he predestined us[2] for adoption as sons through Jesus Christ, according to the purpose of his will, 6to the praise of his glorious grace, with which he has blessed us in the Beloved. 7In him we have redemption through his blood, the forgiveness of our trespasses, according to the riches of his grace, 8which he lavished upon us, in all wisdom and insight 9making known[3] to us the mystery of his will, according to his purpose, which he set forth in Christ 10as a plan for the fullness of time, to unite all things in him, things in heaven and things on earth.
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-11In him we have obtained an inheritance, having been predestined according to the purpose of him who works all things according to the counsel of his will, 12so that we who were the first to hope in Christ might be to the praise of his glory. 13In him you also, when you heard the word of truth, the gospel of your salvation, and believed in him, were sealed with the promised Holy Spirit, 14who is the guarantee[4] of our inheritance until we acquire possession of it,[5] to the praise of his glory.
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-Thanksgiving and Prayer
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-15For this reason, because I have heard of your faith in the Lord Jesus and your love[6] toward all the saints, 16I do not cease to give thanks for you, remembering you in my prayers, 17that the God of our Lord Jesus Christ, the Father of glory, may give you a spirit of wisdom and of revelation in the knowledge of him, 18having the eyes of your hearts enlightened, that you may know what is the hope to which he has called you, what are the riches of his glorious inheritance in the saints, 19and what is the immeasurable greatness of his power toward us who believe, according to the working of his great might 20that he worked in Christ when he raised him from the dead and seated him at his right hand in the heavenly places, 21far above all rule and authority and power and dominion, and above every name that is named, not only in this age but also in the one to come. 22And he put all things under his feet and gave him as head over all things to the church, 23which is his body, the fullness of him who fills all in all.
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-By Grace Through Faith
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-2:1 And you were dead in the trespasses and sins 2in which you once walked, following the course of this world, following the prince of the power of the air, the spirit that is now at work in the sons of disobedience— 3among whom we all once lived in the passions of our flesh, carrying out the desires of the body[7] and the mind, and were by nature children of wrath, like the rest of mankind. 4But[8] God, being rich in mercy, because of the great love with which he loved us, 5even when we were dead in our trespasses, made us alive together with Christ—by grace you have been saved— 6and raised us up with him and seated us with him in the heavenly places in Christ Jesus, 7so that in the coming ages he might show the immeasurable riches of his grace in kindness toward us in Christ Jesus. 8For by grace you have been saved through faith. And this is not your own doing; it is the gift of God, 9not a result of works, so that no one may boast. 10For we are his workmanship, created in Christ Jesus for good works, which God prepared beforehand, that we should walk in them.
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-One in Christ
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-11Therefore remember that at one time you Gentiles in the flesh, called “the uncircumcision” by what is called the circumcision, which is made in the flesh by hands— 12remember that you were at that time separated from Christ, alienated from the commonwealth of Israel and strangers to the covenants of promise, having no hope and without God in the world. 13But now in Christ Jesus you who once were far off have been brought near by the blood of Christ. 14For he himself is our peace, who has made us both one and has broken down in his flesh the dividing wall of hostility 15by abolishing the law of commandments expressed in ordinances, that he might create in himself one new man in place of the two, so making peace, 16and might reconcile us both to God in one body through the cross, thereby killing the hostility. 17And he came and preached peace to you who were far off and peace to those who were near. 18For through him we both have access in one Spirit to the Father. 19So then you are no longer strangers and aliens,[9] but you are fellow citizens with the saints and members of the household of God, 20built on the foundation of the apostles and prophets, Christ Jesus himself being the cornerstone, 21in whom the whole structure, being joined together, grows into a holy temple in the Lord. 22In him you also are being built together into a dwelling place for God by[10] the Spirit.
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-The Mystery of the Gospel Revealed
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-3:1 For this reason I, Paul, a prisoner for Christ Jesus on behalf of you Gentiles— 2assuming that you have heard of the stewardship of God's grace that was given to me for you, 3how the mystery was made known to me by revelation, as I have written briefly. 4When you read this, you can perceive my insight into the mystery of Christ, 5which was not made known to the sons of men in other generations as it has now been revealed to his holy apostles and prophets by the Spirit. 6This mystery is[11] that the Gentiles are fellow heirs, members of the same body, and partakers of the promise in Christ Jesus through the gospel.
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-7Of this gospel I was made a minister according to the gift of God's grace, which was given me by the working of his power. 8To me, though I am the very least of all the saints, this grace was given, to preach to the Gentiles the unsearchable riches of Christ, 9and to bring to light for everyone what is the plan of the mystery hidden for ages in[12] God who created all things, 10so that through the church the manifold wisdom of God might now be made known to the rulers and authorities in the heavenly places. 11This was according to the eternal purpose that he has realized in Christ Jesus our Lord, 12in whom we have boldness and access with confidence through our faith in him. 13So I ask you not to lose heart over what I am suffering for you, which is your glory.
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-Prayer for Spiritual Strength
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-14For this reason I bow my knees before the Father, 15from whom every family[13] in heaven and on earth is named, 16that according to the riches of his glory he may grant you to be strengthened with power through his Spirit in your inner being, 17so that Christ may dwell in your hearts through faith—that you, being rooted and grounded in love, 18may have strength to comprehend with all the saints what is the breadth and length and height and depth, 19and to know the love of Christ that surpasses knowledge, that you may be filled with all the fullness of God.
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-20Now to him who is able to do far more abundantly than all that we ask or think, according to the power at work within us, 21to him be glory in the church and in Christ Jesus throughout all generations, forever and ever. Amen.
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-Unity in the Body of Christ
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-4:1 I therefore, a prisoner for the Lord, urge you to walk in a manner worthy of the calling to which you have been called, 2with all humility and gentleness, with patience, bearing with one another in love, 3eager to maintain the unity of the Spirit in the bond of peace. 4There is one body and one Spirit—just as you were called to the one hope that belongs to your call— 5one Lord, one faith, one baptism, 6one God and Father of all, who is over all and through all and in all. 7But grace was given to each one of us according to the measure of Christ's gift. 8Therefore it says,
-
-“When he ascended on high he led a host of captives,
-
-and he gave gifts to men.”
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-9(In saying, “He ascended,” what does it mean but that he had also descended into the lower regions, the earth?[14] 10He who descended is the one who also ascended far above all the heavens, that he might fill all things.) 11And he gave the apostles, the prophets, the evangelists, the shepherds[15] and teachers,[16] 12to equip the saints for the work of ministry, for building up the body of Christ, 13until we all attain to the unity of the faith and of the knowledge of the Son of God, to mature manhood,[17] to the measure of the stature of the fullness of Christ, 14so that we may no longer be children, tossed to and fro by the waves and carried about by every wind of doctrine, by human cunning, by craftiness in deceitful schemes. 15Rather, speaking the truth in love, we are to grow up in every way into him who is the head, into Christ, 16from whom the whole body, joined and held together by every joint with which it is equipped, when each part is working properly, makes the body grow so that it builds itself up in love.
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-The New Life
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-17Now this I say and testify in the Lord, that you must no longer walk as the Gentiles do, in the futility of their minds. 18They are darkened in their understanding, alienated from the life of God because of the ignorance that is in them, due to their hardness of heart. 19They have become callous and have given themselves up to sensuality, greedy to practice every kind of impurity. 20But that is not the way you learned Christ!— 21assuming that you have heard about him and were taught in him, as the truth is in Jesus, 22to put off your old self,[18] which belongs to your former manner of life and is corrupt through deceitful desires, 23and to be renewed in the spirit of your minds, 24and to put on the new self, created after the likeness of God in true righteousness and holiness.
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-25Therefore, having put away falsehood, let each one of you speak the truth with his neighbor, for we are members one of another. 26Be angry and do not sin; do not let the sun go down on your anger, 27and give no opportunity to the devil. 28Let the thief no longer steal, but rather let him labor, doing honest work with his own hands, so that he may have something to share with anyone in need. 29Let no corrupting talk come out of your mouths, but only such as is good for building up, as fits the occasion, that it may give grace to those who hear. 30And do not grieve the Holy Spirit of God, by whom you were sealed for the day of redemption. 31Let all bitterness and wrath and anger and clamor and slander be put away from you, along with all malice. 32Be kind to one another, tenderhearted, forgiving one another, as God in Christ forgave you.
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-Walk in Love
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-5:1 Therefore be imitators of God, as beloved children. 2And walk in love, as Christ loved us and gave himself up for us, a fragrant offering and sacrifice to God.
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-3But sexual immorality and all impurity or covetousness must not even be named among you, as is proper among saints. 4Let there be no filthiness nor foolish talk nor crude joking, which are out of place, but instead let there be thanksgiving. 5For you may be sure of this, that everyone who is sexually immoral or impure, or who is covetous (that is, an idolater), has no inheritance in the kingdom of Christ and God. 6Let no one deceive you with empty words, for because of these things the wrath of God comes upon the sons of disobedience. 7Therefore do not become partners with them; 8for at one time you were darkness, but now you are light in the Lord. Walk as children of light 9(for the fruit of light is found in all that is good and right and true), 10and try to discern what is pleasing to the Lord. 11Take no part in the unfruitful works of darkness, but instead expose them. 12For it is shameful even to speak of the things that they do in secret. 13But when anything is exposed by the light, it becomes visible, 14for anything that becomes visible is light. Therefore it says,
-
-“Awake, O sleeper,
-
-and arise from the dead,
-
-and Christ will shine on you.”
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-15Look carefully then how you walk, not as unwise but as wise, 16making the best use of the time, because the days are evil. 17Therefore do not be foolish, but understand what the will of the Lord is. 18And do not get drunk with wine, for that is debauchery, but be filled with the Spirit, 19addressing one another in psalms and hymns and spiritual songs, singing and making melody to the Lord with your heart, 20giving thanks always and for everything to God the Father in the name of our Lord Jesus Christ, 21submitting to one another out of reverence for Christ.
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-Wives and Husbands
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-22Wives, submit to your own husbands, as to the Lord. 23For the husband is the head of the wife even as Christ is the head of the church, his body, and is himself its Savior. 24Now as the church submits to Christ, so also wives should submit in everything to their husbands.
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-25Husbands, love your wives, as Christ loved the church and gave himself up for her, 26that he might sanctify her, having cleansed her by the washing of water with the word, 27so that he might present the church to himself in splendor, without spot or wrinkle or any such thing, that she might be holy and without blemish.[19] 28In the same way husbands should love their wives as their own bodies. He who loves his wife loves himself. 29For no one ever hated his own flesh, but nourishes and cherishes it, just as Christ does the church, 30because we are members of his body. 31“Therefore a man shall leave his father and mother and hold fast to his wife, and the two shall become one flesh.” 32This mystery is profound, and I am saying that it refers to Christ and the church. 33However, let each one of you love his wife as himself, and let the wife see that she respects her husband.
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-Children and Parents
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-6:1 Children, obey your parents in the Lord, for this is right. 2“Honor your father and mother” (this is the first commandment with a promise), 3“that it may go well with you and that you may live long in the land.” 4Fathers, do not provoke your children to anger, but bring them up in the discipline and instruction of the Lord.
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-Slaves and Masters
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-5Slaves,[20] obey your earthly masters[21] with fear and trembling, with a sincere heart, as you would Christ, 6not by the way of eye-service, as people-pleasers, but as servants[22] of Christ, doing the will of God from the heart, 7rendering service with a good will as to the Lord and not to man, 8knowing that whatever good anyone does, this he will receive back from the Lord, whether he is a slave or free. 9Masters, do the same to them, and stop your threatening, knowing that he who is both their Master[23] and yours is in heaven, and that there is no partiality with him.
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-The Whole Armor of God
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-10Finally, be strong in the Lord and in the strength of his might. 11Put on the whole armor of God, that you may be able to stand against the schemes of the devil. 12For we do not wrestle against flesh and blood, but against the rulers, against the authorities, against the cosmic powers over this present darkness, against the spiritual forces of evil in the heavenly places. 13Therefore take up the whole armor of God, that you may be able to withstand in the evil day, and having done all, to stand firm. 14Stand therefore, having fastened on the belt of truth, and having put on the breastplate of righteousness, 15and, as shoes for your feet, having put on the readiness given by the gospel of peace. 16In all circumstances take up the shield of faith, with which you can extinguish all the flaming darts of the evil one; 17and take the helmet of salvation, and the sword of the Spirit, which is the word of God, 18praying at all times in the Spirit, with all prayer and supplication. To that end keep alert with all perseverance, making supplication for all the saints, 19and also for me, that words may be given to me in opening my mouth boldly to proclaim the mystery of the gospel, 20for which I am an ambassador in chains, that I may declare it boldly, as I ought to speak.
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-
-Final Greetings
-
-
-21So that you also may know how I am and what I am doing, Tychicus the beloved brother and faithful minister in the Lord will tell you everything. 22I have sent him to you for this very purpose, that you may know how we are, and that he may encourage your hearts.
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-23Peace be to the brothers,[24] and love with faith, from God the Father and the Lord Jesus Christ. 24Grace be with all who love our Lord Jesus Christ with love incorruptible.
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-
-Footnotes
-
-
-[1] 1:1 Some manuscripts saints who are also faithful (omitting in Ephesus)
-
-[2] 1:5 Or before him in love, having predestined us
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-[3] 1:9 Or he lavished upon us in all wisdom and insight, making known . . .
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-[4] 1:14 Or down payment
-
-[5] 1:14 Or until God redeems his possession
-
-[6] 1:15 Some manuscripts omit your love
-
-[7] 2:3 Greek flesh
-
-[8] 2:4 Or And
-
-[9] 2:19 Or sojourners
-
-[10] 2:22 Or in
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-[11] 3:6 The words This mystery is are inferred from verse 4
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-[12] 3:9 Or by
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-[13] 3:15 Or fatherhood; the Greek word patria is closely related to the word for Father in verse 14
-
-[14] 4:9 Or the lower parts of the earth?
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-[15] 4:11 Or pastors
-
-[16] 4:11 Or the shepherd-teachers
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-[17] 4:13 Greek to a full-grown man
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-[18] 4:22 Greek man; also verse 24
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-[19] 5:27 Or holy and blameless
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-[20] 6:5 Or servants; Greek bondservants; similarly verse 8
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-[21] 6:5 Or your masters according to the flesh
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-[22] 6:6 Or slaves; Greek bondservants
-
-[23] 6:9 Greek Lord
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-[24] 6:23 Or brothers and sisters
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-
-PHILIPPIANS
-
-
-Chapter 1
-
-Chapter 2
-
-Chapter 3
-
-Chapter 4
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-
-
-
-
-Greeting
-
-
-1:1 Paul and Timothy, servants[1] of Christ Jesus,
-
-To all the saints in Christ Jesus who are at Philippi, with the overseers[2] and deacons:[3]
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-2Grace to you and peace from God our Father and the Lord Jesus Christ.
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-Thanksgiving and Prayer
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-3I thank my God in all my remembrance of you, 4always in every prayer of mine for you all making my prayer with joy, 5because of your partnership in the gospel from the first day until now. 6And I am sure of this, that he who began a good work in you will bring it to completion at the day of Jesus Christ. 7It is right for me to feel this way about you all, because I hold you in my heart, for you are all partakers with me of grace,[4] both in my imprisonment and in the defense and confirmation of the gospel. 8For God is my witness, how I yearn for you all with the affection of Christ Jesus. 9And it is my prayer that your love may abound more and more, with knowledge and all discernment, 10so that you may approve what is excellent, and so be pure and blameless for the day of Christ, 11filled with the fruit of righteousness that comes through Jesus Christ, to the glory and praise of God.
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-
-The Advance of the Gospel
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-12I want you to know, brothers,[5] that what has happened to me has really served to advance the gospel, 13so that it has become known throughout the whole imperial guard[6] and to all the rest that my imprisonment is for Christ. 14And most of the brothers, having become confident in the Lord by my imprisonment, are much more bold to speak the word[7] without fear.
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-15Some indeed preach Christ from envy and rivalry, but others from good will. 16The latter do it out of love, knowing that I am put here for the defense of the gospel. 17The former proclaim Christ out of rivalry, not sincerely but thinking to afflict me in my imprisonment. 18What then? Only that in every way, whether in pretense or in truth, Christ is proclaimed, and in that I rejoice.
-
-
-
-
-
-To Live Is Christ
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-
-Yes, and I will rejoice, 19for I know that through your prayers and the help of the Spirit of Jesus Christ this will turn out for my deliverance, 20as it is my eager expectation and hope that I will not be at all ashamed, but that with full courage now as always Christ will be honored in my body, whether by life or by death. 21For to me to live is Christ, and to die is gain. 22If I am to live in the flesh, that means fruitful labor for me. Yet which I shall choose I cannot tell. 23I am hard pressed between the two. My desire is to depart and be with Christ, for that is far better. 24But to remain in the flesh is more necessary on your account. 25Convinced of this, I know that I will remain and continue with you all, for your progress and joy in the faith, 26so that in me you may have ample cause to glory in Christ Jesus, because of my coming to you again.
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-27Only let your manner of life be worthy[8] of the gospel of Christ, so that whether I come and see you or am absent, I may hear of you that you are standing firm in one spirit, with one mind striving side by side for the faith of the gospel, 28and not frightened in anything by your opponents. This is a clear sign to them of their destruction, but of your salvation, and that from God. 29For it has been granted to you that for the sake of Christ you should not only believe in him but also suffer for his sake, 30engaged in the same conflict that you saw I had and now hear that I still have.
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-
-
-
-
-Christ's Example of Humility
-
-
-2:1 So if there is any encouragement in Christ, any comfort from love, any participation in the Spirit, any affection and sympathy, 2complete my joy by being of the same mind, having the same love, being in full accord and of one mind. 3Do nothing from rivalry or conceit, but in humility count others more significant than yourselves. 4Let each of you look not only to his own interests, but also to the interests of others. 5Have this mind among yourselves, which is yours in Christ Jesus,[9] 6who, though he was in the form of God, did not count equality with God a thing to be grasped, 7but made himself nothing, taking the form of a servant,[10] being born in the likeness of men. 8And being found in human form, he humbled himself by becoming obedient to the point of death, even death on a cross. 9Therefore God has highly exalted him and bestowed on him the name that is above every name, 10so that at the name of Jesus every knee should bow, in heaven and on earth and under the earth, 11and every tongue confess that Jesus Christ is Lord, to the glory of God the Father.
-
-
-
-
-
-Lights in the World
-
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-12Therefore, my beloved, as you have always obeyed, so now, not only as in my presence but much more in my absence, work out your own salvation with fear and trembling, 13for it is God who works in you, both to will and to work for his good pleasure.
-
-14Do all things without grumbling or questioning, 15that you may be blameless and innocent, children of God without blemish in the midst of a crooked and twisted generation, among whom you shine as lights in the world, 16holding fast to the word of life, so that in the day of Christ I may be proud that I did not run in vain or labor in vain. 17Even if I am to be poured out as a drink offering upon the sacrificial offering of your faith, I am glad and rejoice with you all. 18Likewise you also should be glad and rejoice with me.
-
-
-
-
-
-Timothy and Epaphroditus
-
-
-19I hope in the Lord Jesus to send Timothy to you soon, so that I too may be cheered by news of you. 20For I have no one like him, who will be genuinely concerned for your welfare. 21For they all seek their own interests, not those of Jesus Christ. 22But you know Timothy's[11] proven worth, how as a son[12] with a father he has served with me in the gospel. 23I hope therefore to send him just as soon as I see how it will go with me, 24and I trust in the Lord that shortly I myself will come also.
-
-25I have thought it necessary to send to you Epaphroditus my brother and fellow worker and fellow soldier, and your messenger and minister to my need, 26for he has been longing for you all and has been distressed because you heard that he was ill. 27Indeed he was ill, near to death. But God had mercy on him, and not only on him but on me also, lest I should have sorrow upon sorrow. 28I am the more eager to send him, therefore, that you may rejoice at seeing him again, and that I may be less anxious. 29So receive him in the Lord with all joy, and honor such men, 30for he nearly died for the work of Christ, risking his life to complete what was lacking in your service to me.
-
-
-
-
-
-Righteousness Through Faith in Christ
-
-
-3:1 Finally, my brothers,[13] rejoice in the Lord. To write the same things to you is no trouble to me and is safe for you.
-
-2Look out for the dogs, look out for the evildoers, look out for those who mutilate the flesh. 3For we are the circumcision, who worship by the Spirit of God[14] and glory in Christ Jesus and put no confidence in the flesh— 4though I myself have reason for confidence in the flesh also. If anyone else thinks he has reason for confidence in the flesh, I have more: 5circumcised on the eighth day, of the people of Israel, of the tribe of Benjamin, a Hebrew of Hebrews; as to the law, a Pharisee; 6as to zeal, a persecutor of the church; as to righteousness under the law,[15] blameless. 7But whatever gain I had, I counted as loss for the sake of Christ. 8Indeed, I count everything as loss because of the surpassing worth of knowing Christ Jesus my Lord. For his sake I have suffered the loss of all things and count them as rubbish, in order that I may gain Christ 9and be found in him, not having a righteousness of my own that comes from the law, but that which comes through faith in Christ, the righteousness from God that depends on faith— 10that I may know him and the power of his resurrection, and may share his sufferings, becoming like him in his death, 11that by any means possible I may attain the resurrection from the dead.
-
-
-
-
-
-Straining Toward the Goal
-
-
-12Not that I have already obtained this or am already perfect, but I press on to make it my own, because Christ Jesus has made me his own. 13Brothers, I do not consider that I have made it my own. But one thing I do: forgetting what lies behind and straining forward to what lies ahead, 14I press on toward the goal for the prize of the upward call of God in Christ Jesus. 15Let those of us who are mature think this way, and if in anything you think otherwise, God will reveal that also to you. 16Only let us hold true to what we have attained.
-
-17Brothers, join in imitating me, and keep your eyes on those who walk according to the example you have in us. 18For many, of whom I have often told you and now tell you even with tears, walk as enemies of the cross of Christ. 19Their end is destruction, their god is their belly, and they glory in their shame, with minds set on earthly things. 20But our citizenship is in heaven, and from it we await a Savior, the Lord Jesus Christ, 21who will transform our lowly body to be like his glorious body, by the power that enables him even to subject all things to himself.
-
-
-
-
-
-4:1 Therefore, my brothers,[16] whom I love and long for, my joy and crown, stand firm thus in the Lord, my beloved.
-
-
-
-
-
-Exhortation, Encouragement, and Prayer
-
-
-2I entreat Euodia and I entreat Syntyche to agree in the Lord. 3Yes, I ask you also, true companion,[17] help these women, who have labored side by side with me in the gospel together with Clement and the rest of my fellow workers, whose names are in the book of life.
-
-4Rejoice in the Lord always; again I will say, Rejoice. 5Let your reasonableness be known to everyone. The Lord is at hand; 6do not be anxious about anything, but in everything by prayer and supplication with thanksgiving let your requests be made known to God. 7And the peace of God, which surpasses all understanding, will guard your hearts and your minds in Christ Jesus.
-
-8Finally, brothers, whatever is true, whatever is honorable, whatever is just, whatever is pure, whatever is lovely, whatever is commendable, if there is any excellence, if there is anything worthy of praise, think about these things. 9What you have learned and received and heard and seen in me—practice these things, and the God of peace will be with you.
-
-
-
-
-
-God's Provision
-
-
-10I rejoiced in the Lord greatly that now at length you have revived your concern for me. You were indeed concerned for me, but you had no opportunity. 11Not that I am speaking of being in need, for I have learned in whatever situation I am to be content. 12I know how to be brought low, and I know how to abound. In any and every circumstance, I have learned the secret of facing plenty and hunger, abundance and need. 13I can do all things through him who strengthens me.
-
-14Yet it was kind of you to share[18] my trouble. 15And you Philippians yourselves know that in the beginning of the gospel, when I left Macedonia, no church entered into partnership with me in giving and receiving, except you only. 16Even in Thessalonica you sent me help for my needs once and again. 17Not that I seek the gift, but I seek the fruit that increases to your credit.[19] 18I have received full payment, and more. I am well supplied, having received from Epaphroditus the gifts you sent, a fragrant offering, a sacrifice acceptable and pleasing to God. 19And my God will supply every need of yours according to his riches in glory in Christ Jesus. 20To our God and Father be glory forever and ever. Amen.
-
-
-
-
-
-Final Greetings
-
-
-21Greet every saint in Christ Jesus. The brothers who are with me greet you. 22All the saints greet you, especially those of Caesar's household.
-
-23The grace of the Lord Jesus Christ be with your spirit.
-
-
-
-
-
-Footnotes
-
-
-[1] 1:1 Or slaves; Greek bondservants
-
-[2] 1:1 Or bishops; Greek episkopoi
-
-[3] 1:1 Or servants, or ministers; Greek diakonoi
-
-[4] 1:7 Or you all have fellowship with me in grace
-
-[5] 1:12 Or brothers and sisters. The plural Greek word adelphoi (translated “brothers”) refers to siblings in a family. In New Testament usage, depending on the context, adelphoi may refer either to men or to both men and women who are siblings (brothers and sisters) in God's family, the church; also verse 14
-
-[6] 1:13 Greek in the whole praetorium
-
-[7] 1:14 Some manuscripts add of God
-
-[8] 1:27 Greek Only behave as citizens worthy
-
-[9] 2:5 Or which was also in Christ Jesus
-
-[10] 2:7 Greek bondservant
-
-[11] 2:22 Greek his
-
-[12] 2:22 Greek child
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-[13] 3:1 Or brothers and sisters; also verses 13, 17
-
-[14] 3:3 Some manuscripts God in spirit
-
-[15] 3:6 Greek in the law
-
-[16] 4:1 Or brothers and sisters; also verses 8, 21
-
-[17] 4:3 Or loyal Syzygus; Greek true yokefellow
-
-[18] 4:14 Or have fellowship in
-
-[19] 4:17 Or I seek the profit that accrues to your account
-
-
-
-
-
-COLOSSIANS
-
-
-Chapter 1
-
-Chapter 2
-
-Chapter 3
-
-Chapter 4
-
-
-
-
-
-Greeting
-
-
-1:1 Paul, an apostle of Christ Jesus by the will of God, and Timothy our brother,
-
-2To the saints and faithful brothers[1] in Christ at Colossae:
-
-Grace to you and peace from God our Father.
-
-
-
-
-
-Thanksgiving and Prayer
-
-
-3We always thank God, the Father of our Lord Jesus Christ, when we pray for you, 4since we heard of your faith in Christ Jesus and of the love that you have for all the saints, 5because of the hope laid up for you in heaven. Of this you have heard before in the word of the truth, the gospel, 6which has come to you, as indeed in the whole world it is bearing fruit and growing—as it also does among you, since the day you heard it and understood the grace of God in truth, 7just as you learned it from Epaphras our beloved fellow servant.[2] He is a faithful minister of Christ on your[3] behalf 8and has made known to us your love in the Spirit.
-
-9And so, from the day we heard, we have not ceased to pray for you, asking that you may be filled with the knowledge of his will in all spiritual wisdom and understanding, 10so as to walk in a manner worthy of the Lord, fully pleasing to him, bearing fruit in every good work and increasing in the knowledge of God. 11May you be strengthened with all power, according to his glorious might, for all endurance and patience with joy, 12giving thanks[4] to the Father, who has qualified you[5] to share in the inheritance of the saints in light. 13He has delivered us from the domain of darkness and transferred us to the kingdom of his beloved Son, 14in whom we have redemption, the forgiveness of sins.
-
-
-
-
-
-The Preeminence of Christ
-
-
-15He is the image of the invisible God, the firstborn of all creation. 16For by[6] him all things were created, in heaven and on earth, visible and invisible, whether thrones or dominions or rulers or authorities—all things were created through him and for him. 17And he is before all things, and in him all things hold together. 18And he is the head of the body, the church. He is the beginning, the firstborn from the dead, that in everything he might be preeminent. 19For in him all the fullness of God was pleased to dwell, 20and through him to reconcile to himself all things, whether on earth or in heaven, making peace by the blood of his cross.
-
-21And you, who once were alienated and hostile in mind, doing evil deeds, 22he has now reconciled in his body of flesh by his death, in order to present you holy and blameless and above reproach before him, 23if indeed you continue in the faith, stable and steadfast, not shifting from the hope of the gospel that you heard, which has been proclaimed in all creation[7] under heaven, and of which I, Paul, became a minister.
-
-
-
-
-
-Paul's Ministry to the Church
-
-
-24Now I rejoice in my sufferings for your sake, and in my flesh I am filling up what is lacking in Christ's afflictions for the sake of his body, that is, the church, 25of which I became a minister according to the stewardship from God that was given to me for you, to make the word of God fully known, 26the mystery hidden for ages and generations but now revealed to his saints. 27To them God chose to make known how great among the Gentiles are the riches of the glory of this mystery, which is Christ in you, the hope of glory. 28Him we proclaim, warning everyone and teaching everyone with all wisdom, that we may present everyone mature in Christ. 29For this I toil, struggling with all his energy that he powerfully works within me.
-
-
-
-
-
-2:1 For I want you to know how great a struggle I have for you and for those at Laodicea and for all who have not seen me face to face, 2that their hearts may be encouraged, being knit together in love, to reach all the riches of full assurance of understanding and the knowledge of God's mystery, which is Christ, 3in whom are hidden all the treasures of wisdom and knowledge. 4I say this in order that no one may delude you with plausible arguments. 5For though I am absent in body, yet I am with you in spirit, rejoicing to see your good order and the firmness of your faith in Christ.
-
-
-
-
-
-Alive in Christ
-
-
-6Therefore, as you received Christ Jesus the Lord, so walk in him, 7rooted and built up in him and established in the faith, just as you were taught, abounding in thanksgiving.
-
-8See to it that no one takes you captive by philosophy and empty deceit, according to human tradition, according to the elemental spirits[8] of the world, and not according to Christ. 9For in him the whole fullness of deity dwells bodily, 10and you have been filled in him, who is the head of all rule and authority. 11In him also you were circumcised with a circumcision made without hands, by putting off the body of the flesh, by the circumcision of Christ, 12having been buried with him in baptism, in which you were also raised with him through faith in the powerful working of God, who raised him from the dead. 13And you, who were dead in your trespasses and the uncircumcision of your flesh, God made alive together with him, having forgiven us all our trespasses, 14by canceling the record of debt that stood against us with its legal demands. This he set aside, nailing it to the cross. 15He disarmed the rulers and authorities[9] and put them to open shame, by triumphing over them in him.[10]
-
-
-
-
-
-Let No One Disqualify You
-
-
-16Therefore let no one pass judgment on you in questions of food and drink, or with regard to a festival or a new moon or a Sabbath. 17These are a shadow of the things to come, but the substance belongs to Christ. 18Let no one disqualify you, insisting on asceticism and worship of angels, going on in detail about visions,[11] puffed up without reason by his sensuous mind, 19and not holding fast to the Head, from whom the whole body, nourished and knit together through its joints and ligaments, grows with a growth that is from God.
-
-20If with Christ you died to the elemental spirits of the world, why, as if you were still alive in the world, do you submit to regulations— 21“Do not handle, Do not taste, Do not touch” 22(referring to things that all perish as they are used)—according to human precepts and teachings? 23These have indeed an appearance of wisdom in promoting self-made religion and asceticism and severity to the body, but they are of no value in stopping the indulgence of the flesh.
-
-
-
-
-
-Put On the New Self
-
-
-3:1 If then you have been raised with Christ, seek the things that are above, where Christ is, seated at the right hand of God. 2Set your minds on things that are above, not on things that are on earth. 3For you have died, and your life is hidden with Christ in God. 4When Christ who is your[12] life appears, then you also will appear with him in glory.
-
-5Put to death therefore what is earthly in you:[13] sexual immorality, impurity, passion, evil desire, and covetousness, which is idolatry. 6On account of these the wrath of God is coming.[14] 7In these you too once walked, when you were living in them. 8But now you must put them all away: anger, wrath, malice, slander, and obscene talk from your mouth. 9Do not lie to one another, seeing that you have put off the old self[15] with its practices 10and have put on the new self, which is being renewed in knowledge after the image of its creator. 11Here there is not Greek and Jew, circumcised and uncircumcised, barbarian, Scythian, slave,[16] free; but Christ is all, and in all.
-
-12Put on then, as God's chosen ones, holy and beloved, compassionate hearts, kindness, humility, meekness, and patience, 13bearing with one another and, if one has a complaint against another, forgiving each other; as the Lord has forgiven you, so you also must forgive. 14And above all these put on love, which binds everything together in perfect harmony. 15And let the peace of Christ rule in your hearts, to which indeed you were called in one body. And be thankful. 16Let the word of Christ dwell in you richly, teaching and admonishing one another in all wisdom, singing psalms and hymns and spiritual songs, with thankfulness in your hearts to God. 17And whatever you do, in word or deed, do everything in the name of the Lord Jesus, giving thanks to God the Father through him.
-
-
-
-
-
-Rules for Christian Households
-
-
-18Wives, submit to your husbands, as is fitting in the Lord. 19Husbands, love your wives, and do not be harsh with them. 20Children, obey your parents in everything, for this pleases the Lord. 21Fathers, do not provoke your children, lest they become discouraged. 22Slaves,[17] obey in everything those who are your earthly masters,[18] not by way of eye-service, as people-pleasers, but with sincerity of heart, fearing the Lord. 23Whatever you do, work heartily, as for the Lord and not for men, 24knowing that from the Lord you will receive the inheritance as your reward. You are serving the Lord Christ. 25For the wrongdoer will be paid back for the wrong he has done, and there is no partiality.
-
-
-
-
-
-4:1 Masters, treat your slaves[19] justly and fairly, knowing that you also have a Master in heaven.
-
-
-
-
-
-Further Instructions
-
-
-2Continue steadfastly in prayer, being watchful in it with thanksgiving. 3At the same time, pray also for us, that God may open to us a door for the word, to declare the mystery of Christ, on account of which I am in prison— 4that I may make it clear, which is how I ought to speak.
-
-5Walk in wisdom toward outsiders, making the best use of the time. 6Let your speech always be gracious, seasoned with salt, so that you may know how you ought to answer each person.
-
-
-
-
-
-Final Greetings
-
-
-7Tychicus will tell you all about my activities. He is a beloved brother and faithful minister and fellow servant[20] in the Lord. 8I have sent him to you for this very purpose, that you may know how we are and that he may encourage your hearts, 9and with him Onesimus, our faithful and beloved brother, who is one of you. They will tell you of everything that has taken place here.
-
-10Aristarchus my fellow prisoner greets you, and Mark the cousin of Barnabas (concerning whom you have received instructions—if he comes to you, welcome him), 11and Jesus who is called Justus. These are the only men of the circumcision among my fellow workers for the kingdom of God, and they have been a comfort to me. 12Epaphras, who is one of you, a servant of Christ Jesus, greets you, always struggling on your behalf in his prayers, that you may stand mature and fully assured in all the will of God. 13For I bear him witness that he has worked hard for you and for those in Laodicea and in Hierapolis. 14Luke the beloved physician greets you, as does Demas. 15Give my greetings to the brothers[21] at Laodicea, and to Nympha and the church in her house. 16And when this letter has been read among you, have it also read in the church of the Laodiceans; and see that you also read the letter from Laodicea. 17And say to Archippus, “See that you fulfill the ministry that you have received in the Lord.”
-
-18I, Paul, write this greeting with my own hand. Remember my chains. Grace be with you.
-
-
-
-
-
-Footnotes
-
-
-[1] 1:2 Or brothers and sisters. The plural Greek word adelphoi (translated “brothers”) refers to siblings in a family. In New Testament usage, depending on the context, adelphoi may refer either to men or to both men and women who are siblings (brothers and sisters) in God's family, the church
-
-[2] 1:7 Greek fellow bondservant
-
-[3] 1:7 Some manuscripts our
-
-[4] 1:12 Or patience, with joy giving thanks
-
-[5] 1:12 Some manuscripts us
-
-[6] 1:16 That is, by means of; or in
-
-[7] 1:23 Or to every creature
-
-[8] 2:8 Or elementary principles; also verse 20
-
-[9] 2:15 Probably demonic rulers and authorities
-
-[10] 2:15 Or in it (that is, the cross)
-
-[11] 2:18 Or about the things he has seen
-
-[12] 3:4 Some manuscripts our
-
-[13] 3:5 Greek therefore your members that are on the earth
-
-[14] 3:6 Some manuscripts add upon the sons of disobedience
-
-[15] 3:9 Greek man; also as supplied in verse 10
-
-[16] 3:11 Greek bondservant
-
-[17] 3:22 Or Servants; Greek Bondservants
-
-[18] 3:22 Or your masters according to the flesh
-
-[19] 4:1 Or servants; Greek bondservants
-
-[20] 4:7 Greek fellow bondservant; also verse 12
-
-[21] 4:15 Or brothers and sisters
-
-
-
-
-
-1 THESSALONIANS
-
-
-Chapter 1
-
-Chapter 2
-
-Chapter 3
-
-Chapter 4
-
-Chapter 5
-
-
-
-
-
-Greeting
-
-
-1:1 Paul, Silvanus, and Timothy,
-
-To the church of the Thessalonians in God the Father and the Lord Jesus Christ:
-
-Grace to you and peace.
-
-
-
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-The Thessalonians' Faith and Example
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-2We give thanks to God always for all of you, constantly[1] mentioning you in our prayers, 3remembering before our God and Father your work of faith and labor of love and steadfastness of hope in our Lord Jesus Christ. 4For we know, brothers[2] loved by God, that he has chosen you, 5because our gospel came to you not only in word, but also in power and in the Holy Spirit and with full conviction. You know what kind of men we proved to be among you for your sake. 6And you became imitators of us and of the Lord, for you received the word in much affliction, with the joy of the Holy Spirit, 7so that you became an example to all the believers in Macedonia and in Achaia. 8For not only has the word of the Lord sounded forth from you in Macedonia and Achaia, but your faith in God has gone forth everywhere, so that we need not say anything. 9For they themselves report concerning us the kind of reception we had among you, and how you turned to God from idols to serve the living and true God, 10and to wait for his Son from heaven, whom he raised from the dead, Jesus who delivers us from the wrath to come.
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-Paul's Ministry to the Thessalonians
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-2:1 For you yourselves know, brothers,[3] that our coming to you was not in vain. 2But though we had already suffered and been shamefully treated at Philippi, as you know, we had boldness in our God to declare to you the gospel of God in the midst of much conflict. 3For our appeal does not spring from error or impurity or any attempt to deceive, 4but just as we have been approved by God to be entrusted with the gospel, so we speak, not to please man, but to please God who tests our hearts. 5For we never came with words of flattery,[4] as you know, nor with a pretext for greed—God is witness. 6Nor did we seek glory from people, whether from you or from others, though we could have made demands as apostles of Christ. 7But we were gentle[5] among you, like a nursing mother taking care of her own children. 8So, being affectionately desirous of you, we were ready to share with you not only the gospel of God but also our own selves, because you had become very dear to us.
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-9For you remember, brothers, our labor and toil: we worked night and day, that we might not be a burden to any of you, while we proclaimed to you the gospel of God. 10You are witnesses, and God also, how holy and righteous and blameless was our conduct toward you believers. 11For you know how, like a father with his children, 12we exhorted each one of you and encouraged you and charged you to walk in a manner worthy of God, who calls you into his own kingdom and glory.
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-13And we also thank God constantly[6] for this, that when you received the word of God, which you heard from us, you accepted it not as the word of men but as what it really is, the word of God, which is at work in you believers. 14For you, brothers, became imitators of the churches of God in Christ Jesus that are in Judea. For you suffered the same things from your own countrymen as they did from the Jews, 15who killed both the Lord Jesus and the prophets, and drove us out, and displease God and oppose all mankind 16by hindering us from speaking to the Gentiles that they might be saved—so as always to fill up the measure of their sins. But God's wrath has come upon them at last![7]
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-Paul's Longing to See Them Again
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-17But since we were torn away from you, brothers, for a short time, in person not in heart, we endeavored the more eagerly and with great desire to see you face to face, 18because we wanted to come to you—I, Paul, again and again—but Satan hindered us. 19For what is our hope or joy or crown of boasting before our Lord Jesus at his coming? Is it not you? 20For you are our glory and joy.
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-3:1 Therefore when we could bear it no longer, we were willing to be left behind at Athens alone, 2and we sent Timothy, our brother and God's coworker[8] in the gospel of Christ, to establish and exhort you in your faith, 3that no one be moved by these afflictions. For you yourselves know that we are destined for this. 4For when we were with you, we kept telling you beforehand that we were to suffer affliction, just as it has come to pass, and just as you know. 5For this reason, when I could bear it no longer, I sent to learn about your faith, for fear that somehow the tempter had tempted you and our labor would be in vain.
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-Timothy's Encouraging Report
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-6But now that Timothy has come to us from you, and has brought us the good news of your faith and love and reported that you always remember us kindly and long to see us, as we long to see you— 7for this reason, brothers,[9] in all our distress and affliction we have been comforted about you through your faith. 8For now we live, if you are standing fast in the Lord. 9For what thanksgiving can we return to God for you, for all the joy that we feel for your sake before our God, 10as we pray most earnestly night and day that we may see you face to face and supply what is lacking in your faith?
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-11Now may our God and Father himself, and our Lord Jesus, direct our way to you, 12and may the Lord make you increase and abound in love for one another and for all, as we do for you, 13so that he may establish your hearts blameless in holiness before our God and Father, at the coming of our Lord Jesus with all his saints.
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-A Life Pleasing to God
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-4:1 Finally, then, brothers,[10] we ask and urge you in the Lord Jesus, that as you received from us how you ought to walk and to please God, just as you are doing, that you do so more and more. 2For you know what instructions we gave you through the Lord Jesus. 3For this is the will of God, your sanctification:[11] that you abstain from sexual immorality; 4that each one of you know how to control his own body[12] in holiness and honor, 5not in the passion of lust like the Gentiles who do not know God; 6that no one transgress and wrong his brother in this matter, because the Lord is an avenger in all these things, as we told you beforehand and solemnly warned you. 7For God has not called us for impurity, but in holiness. 8Therefore whoever disregards this, disregards not man but God, who gives his Holy Spirit to you.
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-9Now concerning brotherly love you have no need for anyone to write to you, for you yourselves have been taught by God to love one another, 10for that indeed is what you are doing to all the brothers throughout Macedonia. But we urge you, brothers, to do this more and more, 11and to aspire to live quietly, and to mind your own affairs, and to work with your hands, as we instructed you, 12so that you may walk properly before outsiders and be dependent on no one.
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-The Coming of the Lord
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-13But we do not want you to be uninformed, brothers, about those who are asleep, that you may not grieve as others do who have no hope. 14For since we believe that Jesus died and rose again, even so, through Jesus, God will bring with him those who have fallen asleep. 15For this we declare to you by a word from the Lord,[13] that we who are alive, who are left until the coming of the Lord, will not precede those who have fallen asleep. 16For the Lord himself will descend from heaven with a cry of command, with the voice of an archangel, and with the sound of the trumpet of God. And the dead in Christ will rise first. 17Then we who are alive, who are left, will be caught up together with them in the clouds to meet the Lord in the air, and so we will always be with the Lord. 18Therefore encourage one another with these words.
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-The Day of the Lord
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-5:1 Now concerning the times and the seasons, brothers,[14] you have no need to have anything written to you. 2For you yourselves are fully aware that the day of the Lord will come like a thief in the night. 3While people are saying, “There is peace and security,” then sudden destruction will come upon them as labor pains come upon a pregnant woman, and they will not escape. 4But you are not in darkness, brothers, for that day to surprise you like a thief. 5For you are all children[15] of light, children of the day. We are not of the night or of the darkness. 6So then let us not sleep, as others do, but let us keep awake and be sober. 7For those who sleep, sleep at night, and those who get drunk, are drunk at night. 8But since we belong to the day, let us be sober, having put on the breastplate of faith and love, and for a helmet the hope of salvation. 9For God has not destined us for wrath, but to obtain salvation through our Lord Jesus Christ, 10who died for us so that whether we are awake or asleep we might live with him. 11Therefore encourage one another and build one another up, just as you are doing.
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-Final Instructions and Benediction
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-12We ask you, brothers, to respect those who labor among you and are over you in the Lord and admonish you, 13and to esteem them very highly in love because of their work. Be at peace among yourselves. 14And we urge you, brothers, admonish the idle,[16] encourage the fainthearted, help the weak, be patient with them all. 15See that no one repays anyone evil for evil, but always seek to do good to one another and to everyone. 16Rejoice always, 17pray without ceasing, 18give thanks in all circumstances; for this is the will of God in Christ Jesus for you. 19Do not quench the Spirit. 20Do not despise prophecies, 21but test everything; hold fast what is good. 22Abstain from every form of evil.
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-23Now may the God of peace himself sanctify you completely, and may your whole spirit and soul and body be kept blameless at the coming of our Lord Jesus Christ. 24He who calls you is faithful; he will surely do it.
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-25Brothers, pray for us.
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-26Greet all the brothers with a holy kiss.
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-27I put you under oath before the Lord to have this letter read to all the brothers.
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-28The grace of our Lord Jesus Christ be with you.
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-Footnotes
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-[1] 1:2 Or without ceasing
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-[2] 1:4 Or brothers and sisters. The plural Greek word adelphoi (translated “brothers”) refers to siblings in a family. In New Testament usage, depending on the context, adelphoi may refer either to men or to both men and women who are siblings (brothers and sisters) in God's family, the church
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-[3] 2:1 Or brothers and sisters; also verses 9, 14, 17
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-[4] 2:5 Or with a flattering speech
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-[5] 2:7 Some manuscripts infants
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-[6] 2:13 Or without ceasing
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-[7] 2:16 Or completely, or forever
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-[8] 3:2 Some manuscripts servant
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-[9] 3:7 Or brothers and sisters
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-[10] 4:1 Or brothers and sisters; also verses 10, 13
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-[11] 4:3 Or your holiness
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-[12] 4:4 Or how to take a wife for himself; Greek how to possess his own vessel
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-[13] 4:15 Or by the word of the Lord
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-[14] 5:1 Or brothers and sisters; also verses 4, 12, 14, 25, 26, 27
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-[15] 5:5 Or sons; twice in this verse
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-[16] 5:14 Or disorderly, or undisciplined
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-2 THESSALONIANS
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-Chapter 1
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-Chapter 2
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-Chapter 3
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-Greeting
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-1:1 Paul, Silvanus, and Timothy,
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-To the church of the Thessalonians in God our Father and the Lord Jesus Christ:
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-2Grace to you and peace from God our Father and the Lord Jesus Christ.
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-Thanksgiving
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-3We ought always to give thanks to God for you, brothers,[1] as is right, because your faith is growing abundantly, and the love of every one of you for one another is increasing. 4Therefore we ourselves boast about you in the churches of God for your steadfastness and faith in all your persecutions and in the afflictions that you are enduring.
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-The Judgment at Christ's Coming
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-5This is evidence of the righteous judgment of God, that you may be considered worthy of the kingdom of God, for which you are also suffering— 6since indeed God considers it just to repay with affliction those who afflict you, 7and to grant relief to you who are afflicted as well as to us, when the Lord Jesus is revealed from heaven with his mighty angels 8in flaming fire, inflicting vengeance on those who do not know God and on those who do not obey the gospel of our Lord Jesus. 9They will suffer the punishment of eternal destruction, away from[2] the presence of the Lord and from the glory of his might, 10when he comes on that day to be glorified in his saints, and to be marveled at among all who have believed, because our testimony to you was believed. 11To this end we always pray for you, that our God may make you worthy of his calling and may fulfill every resolve for good and every work of faith by his power, 12so that the name of our Lord Jesus may be glorified in you, and you in him, according to the grace of our God and the Lord Jesus Christ.
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-The Man of Lawlessness
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-2:1 Now concerning the coming of our Lord Jesus Christ and our being gathered together to him, we ask you, brothers,[3] 2not to be quickly shaken in mind or alarmed, either by a spirit or a spoken word, or a letter seeming to be from us, to the effect that the day of the Lord has come. 3Let no one deceive you in any way. For that day will not come, unless the rebellion comes first, and the man of lawlessness[4] is revealed, the son of destruction,[5] 4who opposes and exalts himself against every so-called god or object of worship, so that he takes his seat in the temple of God, proclaiming himself to be God. 5Do you not remember that when I was still with you I told you these things? 6And you know what is restraining him now so that he may be revealed in his time. 7For the mystery of lawlessness is already at work. Only he who now restrains it will do so until he is out of the way. 8And then the lawless one will be revealed, whom the Lord Jesus will kill with the breath of his mouth and bring to nothing by the appearance of his coming. 9The coming of the lawless one is by the activity of Satan with all power and false signs and wonders, 10and with all wicked deception for those who are perishing, because they refused to love the truth and so be saved. 11Therefore God sends them a strong delusion, so that they may believe what is false, 12in order that all may be condemned who did not believe the truth but had pleasure in unrighteousness.
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-Stand Firm
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-13But we ought always to give thanks to God for you, brothers beloved by the Lord, because God chose you as the firstfruits[6] to be saved, through sanctification by the Spirit and belief in the truth. 14To this he called you through our gospel, so that you may obtain the glory of our Lord Jesus Christ. 15So then, brothers, stand firm and hold to the traditions that you were taught by us, either by our spoken word or by our letter.
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-16Now may our Lord Jesus Christ himself, and God our Father, who loved us and gave us eternal comfort and good hope through grace, 17comfort your hearts and establish them in every good work and word.
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-Pray for Us
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-3:1 Finally, brothers,[7] pray for us, that the word of the Lord may speed ahead and be honored,[8] as happened among you, 2and that we may be delivered from wicked and evil men. For not all have faith. 3But the Lord is faithful. He will establish you and guard you against the evil one.[9] 4And we have confidence in the Lord about you, that you are doing and will do the things that we command. 5May the Lord direct your hearts to the love of God and to the steadfastness of Christ.
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-Warning Against Idleness
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-6Now we command you, brothers, in the name of our Lord Jesus Christ, that you keep away from any brother who is walking in idleness and not in accord with the tradition that you received from us. 7For you yourselves know how you ought to imitate us, because we were not idle when we were with you, 8nor did we eat anyone's bread without paying for it, but with toil and labor we worked night and day, that we might not be a burden to any of you. 9It was not because we do not have that right, but to give you in ourselves an example to imitate. 10For even when we were with you, we would give you this command: If anyone is not willing to work, let him not eat. 11For we hear that some among you walk in idleness, not busy at work, but busybodies. 12Now such persons we command and encourage in the Lord Jesus Christ to do their work quietly and to earn their own living.[10]
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-13As for you, brothers, do not grow weary in doing good. 14If anyone does not obey what we say in this letter, take note of that person, and have nothing to do with him, that he may be ashamed. 15Do not regard him as an enemy, but warn him as a brother.
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-Benediction
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-16Now may the Lord of peace himself give you peace at all times in every way. The Lord be with you all.
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-17I, Paul, write this greeting with my own hand. This is the sign of genuineness in every letter of mine; it is the way I write. 18The grace of our Lord Jesus Christ be with you all.
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-Footnotes
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-[1] 1:3 Or brothers and sisters. The plural Greek word adelphoi (translated “brothers”) refers to siblings in a family. In New Testament usage, depending on the context, adelphoi may refer either to men or to both men and women who are siblings (brothers and sisters) in God's family, the church
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-[2] 1:9 Or destruction that comes from
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-[3] 2:1 Or brothers and sisters; also verses 13, 15
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-[4] 2:3 Some manuscripts sin
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-[5] 2:3 Greek the son of perdition (a Hebrew idiom)
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-[6] 2:13 Some manuscripts chose you from the beginning
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-[7] 3:1 Or brothers and sisters; also verses 6, 13
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-[8] 3:1 Or glorified
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-[9] 3:3 Or evil
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-[10] 3:12 Greek eat their own bread
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-1 TIMOTHY
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-Chapter 1
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-Chapter 2
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-Chapter 3
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-Chapter 4
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-Chapter 5
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-Chapter 6
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-Greeting
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-1:1 Paul, an apostle of Christ Jesus by command of God our Savior and of Christ Jesus our hope,
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-2To Timothy, my true child in the faith:
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-Grace, mercy, and peace from God the Father and Christ Jesus our Lord.
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-Warning Against False Teachers
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-3As I urged you when I was going to Macedonia, remain at Ephesus so that you may charge certain persons not to teach any different doctrine, 4nor to devote themselves to myths and endless genealogies, which promote speculations rather than the stewardship[1] from God that is by faith. 5The aim of our charge is love that issues from a pure heart and a good conscience and a sincere faith. 6Certain persons, by swerving from these, have wandered away into vain discussion, 7desiring to be teachers of the law, without understanding either what they are saying or the things about which they make confident assertions.
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-8Now we know that the law is good, if one uses it lawfully, 9understanding this, that the law is not laid down for the just but for the lawless and disobedient, for the ungodly and sinners, for the unholy and profane, for those who strike their fathers and mothers, for murderers, 10the sexually immoral, men who practice homosexuality, enslavers,[2] liars, perjurers, and whatever else is contrary to sound[3] doctrine, 11in accordance with the gospel of the glory of the blessed God with which I have been entrusted.
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-Christ Jesus Came to Save Sinners
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-12I thank him who has given me strength, Christ Jesus our Lord, because he judged me faithful, appointing me to his service, 13though formerly I was a blasphemer, persecutor, and insolent opponent. But I received mercy because I had acted ignorantly in unbelief, 14and the grace of our Lord overflowed for me with the faith and love that are in Christ Jesus. 15The saying is trustworthy and deserving of full acceptance, that Christ Jesus came into the world to save sinners, of whom I am the foremost. 16But I received mercy for this reason, that in me, as the foremost, Jesus Christ might display his perfect patience as an example to those who were to believe in him for eternal life. 17To the King of ages, immortal, invisible, the only God, be honor and glory forever and ever.[4] Amen.
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-18This charge I entrust to you, Timothy, my child, in accordance with the prophecies previously made about you, that by them you may wage the good warfare, 19holding faith and a good conscience. By rejecting this, some have made shipwreck of their faith, 20among whom are Hymenaeus and Alexander, whom I have handed over to Satan that they may learn not to blaspheme.
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-Pray for All People
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-2:1 First of all, then, I urge that supplications, prayers, intercessions, and thanksgivings be made for all people, 2for kings and all who are in high positions, that we may lead a peaceful and quiet life, godly and dignified in every way. 3This is good, and it is pleasing in the sight of God our Savior, 4who desires all people to be saved and to come to the knowledge of the truth. 5For there is one God, and there is one mediator between God and men, the man[5] Christ Jesus, 6who gave himself as a ransom for all, which is the testimony given at the proper time. 7For this I was appointed a preacher and an apostle (I am telling the truth, I am not lying), a teacher of the Gentiles in faith and truth.
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-8I desire then that in every place the men should pray, lifting holy hands without anger or quarreling; 9likewise also that women should adorn themselves in respectable apparel, with modesty and self-control, not with braided hair and gold or pearls or costly attire, 10but with what is proper for women who profess godliness—with good works. 11Let a woman learn quietly with all submissiveness. 12I do not permit a woman to teach or to exercise authority over a man; rather, she is to remain quiet. 13For Adam was formed first, then Eve; 14and Adam was not deceived, but the woman was deceived and became a transgressor. 15Yet she will be saved through childbearing—if they continue in faith and love and holiness, with self-control.
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-Qualifications for Overseers
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-3:1 The saying is trustworthy: If anyone aspires to the office of overseer, he desires a noble task. 2Therefore an overseer[6] must be above reproach, the husband of one wife,[7] sober-minded, self-controlled, respectable, hospitable, able to teach, 3not a drunkard, not violent but gentle, not quarrelsome, not a lover of money. 4He must manage his own household well, with all dignity keeping his children submissive, 5for if someone does not know how to manage his own household, how will he care for God's church? 6He must not be a recent convert, or he may become puffed up with conceit and fall into the condemnation of the devil. 7Moreover, he must be well thought of by outsiders, so that he may not fall into disgrace, into a snare of the devil.
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-Qualifications for Deacons
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-8Deacons likewise must be dignified, not double-tongued,[8] not addicted to much wine, not greedy for dishonest gain. 9They must hold the mystery of the faith with a clear conscience. 10And let them also be tested first; then let them serve as deacons if they prove themselves blameless. 11Their wives likewise must[9] be dignified, not slanderers, but sober-minded, faithful in all things. 12Let deacons each be the husband of one wife, managing their children and their own households well. 13For those who serve well as deacons gain a good standing for themselves and also great confidence in the faith that is in Christ Jesus.
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-The Mystery of Godliness
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-14I hope to come to you soon, but I am writing these things to you so that, 15if I delay, you may know how one ought to behave in the household of God, which is the church of the living God, a pillar and buttress of the truth. 16Great indeed, we confess, is the mystery of godliness:
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-He[10] was manifested in the flesh,
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-vindicated[11] by the Spirit,[12]
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-seen by angels,
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-proclaimed among the nations,
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-believed on in the world,
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-taken up in glory.
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-Some Will Depart from the Faith
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-4:1 Now the Spirit expressly says that in later times some will depart from the faith by devoting themselves to deceitful spirits and teachings of demons, 2through the insincerity of liars whose consciences are seared, 3who forbid marriage and require abstinence from foods that God created to be received with thanksgiving by those who believe and know the truth. 4For everything created by God is good, and nothing is to be rejected if it is received with thanksgiving, 5for it is made holy by the word of God and prayer.
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-A Good Servant of Christ Jesus
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-6If you put these things before the brothers,[13] you will be a good servant of Christ Jesus, being trained in the words of the faith and of the good doctrine that you have followed. 7Have nothing to do with irreverent, silly myths. Rather train yourself for godliness; 8for while bodily training is of some value, godliness is of value in every way, as it holds promise for the present life and also for the life to come. 9The saying is trustworthy and deserving of full acceptance. 10For to this end we toil and strive,[14] because we have our hope set on the living God, who is the Savior of all people, especially of those who believe.
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-11Command and teach these things. 12Let no one despise you for your youth, but set the believers an example in speech, in conduct, in love, in faith, in purity. 13Until I come, devote yourself to the public reading of Scripture, to exhortation, to teaching. 14Do not neglect the gift you have, which was given you by prophecy when the council of elders laid their hands on you. 15Practice these things, immerse yourself in them,[15] so that all may see your progress. 16Keep a close watch on yourself and on the teaching. Persist in this, for by so doing you will save both yourself and your hearers.
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-Instructions for the Church
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-5:1 Do not rebuke an older man but encourage him as you would a father, younger men as brothers, 2older women as mothers, younger women as sisters, in all purity.
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-3Honor widows who are truly widows. 4But if a widow has children or grandchildren, let them first learn to show godliness to their own household and to make some return to their parents, for this is pleasing in the sight of God. 5She who is truly a widow, left all alone, has set her hope on God and continues in supplications and prayers night and day, 6but she who is self-indulgent is dead even while she lives. 7Command these things as well, so that they may be without reproach. 8But if anyone does not provide for his relatives, and especially for members of his household, he has denied the faith and is worse than an unbeliever.
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-9Let a widow be enrolled if she is not less than sixty years of age, having been the wife of one husband,[16] 10and having a reputation for good works: if she has brought up children, has shown hospitality, has washed the feet of the saints, has cared for the afflicted, and has devoted herself to every good work. 11But refuse to enroll younger widows, for when their passions draw them away from Christ, they desire to marry 12and so incur condemnation for having abandoned their former faith. 13Besides that, they learn to be idlers, going about from house to house, and not only idlers, but also gossips and busybodies, saying what they should not. 14So I would have younger widows marry, bear children, manage their households, and give the adversary no occasion for slander. 15For some have already strayed after Satan. 16If any believing woman has relatives who are widows, let her care for them. Let the church not be burdened, so that it may care for those who are truly widows.
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-17Let the elders who rule well be considered worthy of double honor, especially those who labor in preaching and teaching. 18For the Scripture says, “You shall not muzzle an ox when it treads out the grain,” and, “The laborer deserves his wages.” 19Do not admit a charge against an elder except on the evidence of two or three witnesses. 20As for those who persist in sin, rebuke them in the presence of all, so that the rest may stand in fear. 21In the presence of God and of Christ Jesus and of the elect angels I charge you to keep these rules without prejudging, doing nothing from partiality. 22Do not be hasty in the laying on of hands, nor take part in the sins of others; keep yourself pure. 23(No longer drink only water, but use a little wine for the sake of your stomach and your frequent ailments.) 24The sins of some men are conspicuous, going before them to judgment, but the sins of others appear later. 25So also good works are conspicuous, and even those that are not cannot remain hidden.
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-6:1 Let all who are under a yoke as slaves[17] regard their own masters as worthy of all honor, so that the name of God and the teaching may not be reviled. 2Those who have believing masters must not be disrespectful on the ground that they are brothers; rather they must serve all the better since those who benefit by their good service are believers and beloved.
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-False Teachers and True Contentment
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-Teach and urge these things. 3If anyone teaches a different doctrine and does not agree with the sound[18] words of our Lord Jesus Christ and the teaching that accords with godliness, 4he is puffed up with conceit and understands nothing. He has an unhealthy craving for controversy and for quarrels about words, which produce envy, dissension, slander, evil suspicions, 5and constant friction among people who are depraved in mind and deprived of the truth, imagining that godliness is a means of gain. 6Now there is great gain in godliness with contentment, 7for we brought nothing into the world, and[19] we cannot take anything out of the world. 8But if we have food and clothing, with these we will be content. 9But those who desire to be rich fall into temptation, into a snare, into many senseless and harmful desires that plunge people into ruin and destruction. 10For the love of money is a root of all kinds of evils. It is through this craving that some have wandered away from the faith and pierced themselves with many pangs.
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-Fight the Good Fight of Faith
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-11But as for you, O man of God, flee these things. Pursue righteousness, godliness, faith, love, steadfastness, gentleness. 12Fight the good fight of the faith. Take hold of the eternal life to which you were called and about which you made the good confession in the presence of many witnesses. 13I charge you in the presence of God, who gives life to all things, and of Christ Jesus, who in his testimony before[20] Pontius Pilate made the good confession, 14to keep the commandment unstained and free from reproach until the appearing of our Lord Jesus Christ, 15which he will display at the proper time—he who is the blessed and only Sovereign, the King of kings and Lord of lords, 16who alone has immortality, who dwells in unapproachable light, whom no one has ever seen or can see. To him be honor and eternal dominion. Amen.
-
-17As for the rich in this present age, charge them not to be haughty, nor to set their hopes on the uncertainty of riches, but on God, who richly provides us with everything to enjoy. 18They are to do good, to be rich in good works, to be generous and ready to share, 19thus storing up treasure for themselves as a good foundation for the future, so that they may take hold of that which is truly life.
-
-20O Timothy, guard the deposit entrusted to you. Avoid the irreverent babble and contradictions of what is falsely called “knowledge,” 21for by professing it some have swerved from the faith.
-
-Grace be with you.[21]
-
-
-
-
-
-Footnotes
-
-
-[1] 1:4 Or good order
-
-[2] 1:10 That is, those who take someone captive in order to sell him into slavery
-
-[3] 1:10 Or healthy
-
-[4] 1:17 Greek to the ages of ages
-
-[5] 2:5 men and man render the same Greek word that is translated people in verses 1 and 4
-
-[6] 3:2 Or bishop; Greek episkopos; a similar term occurs in verse 1
-
-[7] 3:2 Or a man of one woman; also verse 12
-
-[8] 3:8 Or devious in speech
-
-[9] 3:11 Or Wives, likewise, must, or Women, likewise, must
-
-[10] 3:16 Greek Who; some manuscripts God; others Which
-
-[11] 3:16 Or justified
-
-[12] 3:16 Or vindicated in spirit
-
-[13] 4:6 Or brothers and sisters. The plural Greek word adelphoi (translated “brothers”) refers to siblings in a family. In New Testament usage, depending on the context, adelphoi may refer either to men or to both men and women who are siblings (brothers and sisters) in God's family, the church
-
-[14] 4:10 Some manuscripts and suffer reproach
-
-[15] 4:15 Greek be in them
-
-[16] 5:9 Or a woman of one man
-
-[17] 6:1 Greek bondservants
-
-[18] 6:3 Or healthy
-
-[19] 6:7 Greek for; some manuscripts insert [it is] certain [that]
-
-[20] 6:13 Or in the time of
-
-[21] 6:21 The Greek for you is plural
-
-
-
-
-
-2 TIMOTHY
-
-
-Chapter 1
-
-Chapter 2
-
-Chapter 3
-
-Chapter 4
-
-
-
-
-
-Greeting
-
-
-1:1 Paul, an apostle of Christ Jesus by the will of God according to the promise of the life that is in Christ Jesus,
-
-2To Timothy, my beloved child:
-
-Grace, mercy, and peace from God the Father and Christ Jesus our Lord.
-
-
-
-
-
-Guard the Deposit Entrusted to You
-
-
-3I thank God whom I serve, as did my ancestors, with a clear conscience, as I remember you constantly in my prayers night and day. 4As I remember your tears, I long to see you, that I may be filled with joy. 5I am reminded of your sincere faith, a faith that dwelt first in your grandmother Lois and your mother Eunice and now, I am sure, dwells in you as well. 6For this reason I remind you to fan into flame the gift of God, which is in you through the laying on of my hands, 7for God gave us a spirit not of fear but of power and love and self-control.
-
-8Therefore do not be ashamed of the testimony about our Lord, nor of me his prisoner, but share in suffering for the gospel by the power of God, 9who saved us and called us to[1] a holy calling, not because of our works but because of his own purpose and grace, which he gave us in Christ Jesus before the ages began,[2] 10and which now has been manifested through the appearing of our Savior Christ Jesus, who abolished death and brought life and immortality to light through the gospel, 11for which I was appointed a preacher and apostle and teacher, 12which is why I suffer as I do. But I am not ashamed, for I know whom I have believed, and I am convinced that he is able to guard until that Day what has been entrusted to me.[3] 13Follow the pattern of the sound[4] words that you have heard from me, in the faith and love that are in Christ Jesus. 14By the Holy Spirit who dwells within us, guard the good deposit entrusted to you.
-
-15You are aware that all who are in Asia turned away from me, among whom are Phygelus and Hermogenes. 16May the Lord grant mercy to the household of Onesiphorus, for he often refreshed me and was not ashamed of my chains, 17but when he arrived in Rome he searched for me earnestly and found me— 18may the Lord grant him to find mercy from the Lord on that Day!—and you well know all the service he rendered at Ephesus.
-
-
-
-
-
-A Good Soldier of Christ Jesus
-
-
-2:1 You then, my child, be strengthened by the grace that is in Christ Jesus, 2and what you have heard from me in the presence of many witnesses entrust to faithful men who will be able to teach others also. 3Share in suffering as a good soldier of Christ Jesus. 4No soldier gets entangled in civilian pursuits, since his aim is to please the one who enlisted him. 5An athlete is not crowned unless he competes according to the rules. 6It is the hard-working farmer who ought to have the first share of the crops. 7Think over what I say, for the Lord will give you understanding in everything.
-
-8Remember Jesus Christ, risen from the dead, the offspring of David, as preached in my gospel, 9for which I am suffering, bound with chains as a criminal. But the word of God is not bound! 10Therefore I endure everything for the sake of the elect, that they also may obtain the salvation that is in Christ Jesus with eternal glory. 11The saying is trustworthy, for:
-
-If we have died with him, we will also live with him;
-
-12if we endure, we will also reign with him;
-
-if we deny him, he also will deny us;
-
-13if we are faithless, he remains faithful—
-
-for he cannot deny himself.
-
-
-
-
-
-A Worker Approved by God
-
-
-14Remind them of these things, and charge them before God[5] not to quarrel about words, which does no good, but only ruins the hearers. 15Do your best to present yourself to God as one approved,[6] a worker who has no need to be ashamed, rightly handling the word of truth. 16But avoid irreverent babble, for it will lead people into more and more ungodliness, 17and their talk will spread like gangrene. Among them are Hymenaeus and Philetus, 18who have swerved from the truth, saying that the resurrection has already happened. They are upsetting the faith of some. 19But God's firm foundation stands, bearing this seal: “The Lord knows those who are his,” and, “Let everyone who names the name of the Lord depart from iniquity.”
-
-20Now in a great house there are not only vessels of gold and silver but also of wood and clay, some for honorable use, some for dishonorable. 21Therefore, if anyone cleanses himself from what is dishonorable,[7] he will be a vessel for honorable use, set apart as holy, useful to the master of the house, ready for every good work.
-
-22So flee youthful passions and pursue righteousness, faith, love, and peace, along with those who call on the Lord from a pure heart. 23Have nothing to do with foolish, ignorant controversies; you know that they breed quarrels. 24And the Lord's servant[8] must not be quarrelsome but kind to everyone, able to teach, patiently enduring evil, 25correcting his opponents with gentleness. God may perhaps grant them repentance leading to a knowledge of the truth, 26and they may come to their senses and escape from the snare of the devil, after being captured by him to do his will.
-
-
-
-
-
-Godlessness in the Last Days
-
-
-3:1 But understand this, that in the last days there will come times of difficulty. 2For people will be lovers of self, lovers of money, proud, arrogant, abusive, disobedient to their parents, ungrateful, unholy, 3heartless, unappeasable, slanderous, without self-control, brutal, not loving good, 4treacherous, reckless, swollen with conceit, lovers of pleasure rather than lovers of God, 5having the appearance of godliness, but denying its power. Avoid such people. 6For among them are those who creep into households and capture weak women, burdened with sins and led astray by various passions, 7always learning and never able to arrive at a knowledge of the truth. 8Just as Jannes and Jambres opposed Moses, so these men also oppose the truth, men corrupted in mind and disqualified regarding the faith. 9But they will not get very far, for their folly will be plain to all, as was that of those two men.
-
-
-
-
-
-All Scripture Is Breathed Out by God
-
-
-10You, however, have followed my teaching, my conduct, my aim in life, my faith, my patience, my love, my steadfastness, 11my persecutions and sufferings that happened to me at Antioch, at Iconium, and at Lystra—which persecutions I endured; yet from them all the Lord rescued me. 12Indeed, all who desire to live a godly life in Christ Jesus will be persecuted, 13while evil people and impostors will go on from bad to worse, deceiving and being deceived. 14But as for you, continue in what you have learned and have firmly believed, knowing from whom[9] you learned it 15and how from childhood you have been acquainted with the sacred writings, which are able to make you wise for salvation through faith in Christ Jesus. 16All Scripture is breathed out by God and profitable for teaching, for reproof, for correction, and for training in righteousness, 17that the man of God[10] may be competent, equipped for every good work.
-
-
-
-
-
-Preach the Word
-
-
-4:1 I charge you in the presence of God and of Christ Jesus, who is to judge the living and the dead, and by his appearing and his kingdom: 2preach the word; be ready in season and out of season; reprove, rebuke, and exhort, with complete patience and teaching. 3For the time is coming when people will not endure sound[11] teaching, but having itching ears they will accumulate for themselves teachers to suit their own passions, 4and will turn away from listening to the truth and wander off into myths. 5As for you, always be sober-minded, endure suffering, do the work of an evangelist, fulfill your ministry.
-
-6For I am already being poured out as a drink offering, and the time of my departure has come. 7I have fought the good fight, I have finished the race, I have kept the faith. 8Henceforth there is laid up for me the crown of righteousness, which the Lord, the righteous judge, will award to me on that Day, and not only to me but also to all who have loved his appearing.
-
-
-
-
-
-Personal Instructions
-
-
-9Do your best to come to me soon. 10For Demas, in love with this present world, has deserted me and gone to Thessalonica. Crescens has gone to Galatia,[12] Titus to Dalmatia. 11Luke alone is with me. Get Mark and bring him with you, for he is very useful to me for ministry. 12Tychicus I have sent to Ephesus. 13When you come, bring the cloak that I left with Carpus at Troas, also the books, and above all the parchments. 14Alexander the coppersmith did me great harm; the Lord will repay him according to his deeds. 15Beware of him yourself, for he strongly opposed our message. 16At my first defense no one came to stand by me, but all deserted me. May it not be charged against them! 17But the Lord stood by me and strengthened me, so that through me the message might be fully proclaimed and all the Gentiles might hear it. So I was rescued from the lion's mouth. 18The Lord will rescue me from every evil deed and bring me safely into his heavenly kingdom. To him be the glory forever and ever. Amen.
-
-
-
-
-
-Final Greetings
-
-
-19Greet Prisca and Aquila, and the household of Onesiphorus. 20Erastus remained at Corinth, and I left Trophimus, who was ill, at Miletus. 21Do your best to come before winter. Eubulus sends greetings to you, as do Pudens and Linus and Claudia and all the brothers.[13]
-
-22The Lord be with your spirit. Grace be with you.[14]
-
-
-
-
-
-Footnotes
-
-
-[1] 1:9 Or with
-
-[2] 1:9 Greek before times eternal
-
-[3] 1:12 Or what I have entrusted to him; Greek my deposit
-
-[4] 1:13 Or healthy
-
-[5] 2:14 Some manuscripts the Lord
-
-[6] 2:15 That is, one approved after being tested
-
-[7] 2:21 Greek from these things
-
-[8] 2:24 Greek bondservant
-
-[9] 3:14 The Greek for whom is plural
-
-[10] 3:17 That is, a messenger of God (the phrase echoes a common Old Testament expression)
-
-[11] 4:3 Or healthy
-
-[12] 4:10 Some manuscripts Gaul
-
-[13] 4:21 Or brothers and sisters. The plural Greek word adelphoi (translated “brothers”) refers to siblings in a family. In New Testament usage, depending on the context, adelphoi may refer either to men or to both men and women who are siblings (brothers and sisters) in God's family, the church
-
-[14] 4:22 The Greek for you is plural
-
-
-
-
-
-TITUS
-
-
-Chapter 1
-
-Chapter 2
-
-Chapter 3
-
-
-
-
-
-Greeting
-
-
-1:1 Paul, a servant[1] of God and an apostle of Jesus Christ, for the sake of the faith of God's elect and their knowledge of the truth, which accords with godliness, 2in hope of eternal life, which God, who never lies, promised before the ages began[2] 3and at the proper time manifested in his word through the preaching with which I have been entrusted by the command of God our Savior;
-
-4To Titus, my true child in a common faith:
-
-Grace and peace from God the Father and Christ Jesus our Savior.
-
-
-
-
-
-Qualifications for Elders
-
-
-5This is why I left you in Crete, so that you might put what remained into order, and appoint elders in every town as I directed you— 6if anyone is above reproach, the husband of one wife,[3] and his children are believers and not open to the charge of debauchery or insubordination. 7For an overseer,[4] as God's steward, must be above reproach. He must not be arrogant or quick-tempered or a drunkard or violent or greedy for gain, 8but hospitable, a lover of good, self-controlled, upright, holy, and disciplined. 9He must hold firm to the trustworthy word as taught, so that he may be able to give instruction in sound[5] doctrine and also to rebuke those who contradict it.
-
-10For there are many who are insubordinate, empty talkers and deceivers, especially those of the circumcision party. 11They must be silenced, since they are upsetting whole families by teaching for shameful gain what they ought not to teach. 12One of the Cretans,[6] a prophet of their own, said, “Cretans are always liars, evil beasts, lazy gluttons.”[7] 13This testimony is true. Therefore rebuke them sharply, that they may be sound in the faith, 14not devoting themselves to Jewish myths and the commands of people who turn away from the truth. 15To the pure, all things are pure, but to the defiled and unbelieving, nothing is pure; but both their minds and their consciences are defiled. 16They profess to know God, but they deny him by their works. They are detestable, disobedient, unfit for any good work.
-
-
-
-
-
-Teach Sound Doctrine
-
-
-2:1 But as for you, teach what accords with sound[8] doctrine. 2Older men are to be sober-minded, dignified, self-controlled, sound in faith, in love, and in steadfastness. 3Older women likewise are to be reverent in behavior, not slanderers or slaves to much wine. They are to teach what is good, 4and so train the young women to love their husbands and children, 5to be self-controlled, pure, working at home, kind, and submissive to their own husbands, that the word of God may not be reviled. 6Likewise, urge the younger men to be self-controlled. 7Show yourself in all respects to be a model of good works, and in your teaching show integrity, dignity, 8and sound speech that cannot be condemned, so that an opponent may be put to shame, having nothing evil to say about us. 9Slaves[9] are to be submissive to their own masters in everything; they are to be well-pleasing, not argumentative, 10not pilfering, but showing all good faith, so that in everything they may adorn the doctrine of God our Savior.
-
-11For the grace of God has appeared, bringing salvation for all people, 12training us to renounce ungodliness and worldly passions, and to live self-controlled, upright, and godly lives in the present age, 13waiting for our blessed hope, the appearing of the glory of our great God and Savior Jesus Christ, 14who gave himself for us to redeem us from all lawlessness and to purify for himself a people for his own possession who are zealous for good works.
-
-15Declare these things; exhort and rebuke with all authority. Let no one disregard you.
-
-
-
-
-
-Be Ready for Every Good Work
-
-
-3:1 Remind them to be submissive to rulers and authorities, to be obedient, to be ready for every good work, 2to speak evil of no one, to avoid quarreling, to be gentle, and to show perfect courtesy toward all people. 3For we ourselves were once foolish, disobedient, led astray, slaves to various passions and pleasures, passing our days in malice and envy, hated by others and hating one another. 4But when the goodness and loving kindness of God our Savior appeared, 5he saved us, not because of works done by us in righteousness, but according to his own mercy, by the washing of regeneration and renewal of the Holy Spirit, 6whom he poured out on us richly through Jesus Christ our Savior, 7so that being justified by his grace we might become heirs according to the hope of eternal life. 8The saying is trustworthy, and I want you to insist on these things, so that those who have believed in God may be careful to devote themselves to good works. These things are excellent and profitable for people. 9But avoid foolish controversies, genealogies, dissensions, and quarrels about the law, for they are unprofitable and worthless. 10As for a person who stirs up division, after warning him once and then twice, have nothing more to do with him, 11knowing that such a person is warped and sinful; he is self-condemned.
-
-
-
-
-
-Final Instructions and Greetings
-
-
-12When I send Artemas or Tychicus to you, do your best to come to me at Nicopolis, for I have decided to spend the winter there. 13Do your best to speed Zenas the lawyer and Apollos on their way; see that they lack nothing. 14And let our people learn to devote themselves to good works, so as to help cases of urgent need, and not be unfruitful.
-
-15All who are with me send greetings to you. Greet those who love us in the faith.
-
-Grace be with you all.
-
-
-
-
-
-Footnotes
-
-
-[1] 1:1 Or slave; Greek bondservant
-
-[2] 1:2 Greek before times eternal
-
-[3] 1:6 Or a man of one woman
-
-[4] 1:7 Or bishop; Greek episkopos
-
-[5] 1:9 Or healthy; also verse 13
-
-[6] 1:12 Greek One of them
-
-[7] 1:12 Probably from Epimenides of Crete
-
-[8] 2:1 Or healthy; also verses 2, 8
-
-[9] 2:9 Or servants; Greek bondservants
-
-
-
-
-
-PHILEMON
-
-
-Greeting
-
-
-1 Paul, a prisoner for Christ Jesus, and Timothy our brother,
-
-To Philemon our beloved fellow worker 2and Apphia our sister and Archippus our fellow soldier, and the church in your house:
-
-3Grace to you and peace from God our Father and the Lord Jesus Christ.
-
-
-
-
-
-Philemon's Love and Faith
-
-
-4I thank my God always when I remember you in my prayers, 5because I hear of your love and of the faith that you have toward the Lord Jesus and for all the saints, 6and I pray that the sharing of your faith may become effective for the full knowledge of every good thing that is in us for the sake of Christ.[1] 7For I have derived much joy and comfort from your love, my brother, because the hearts of the saints have been refreshed through you.
-
-
-
-
-
-Paul's Plea for Onesimus
-
-
-8Accordingly, though I am bold enough in Christ to command you to do what is required, 9yet for love's sake I prefer to appeal to you—I, Paul, an old man and now a prisoner also for Christ Jesus— 10I appeal to you for my child, Onesimus,[2] whose father I became in my imprisonment. 11(Formerly he was useless to you, but now he is indeed useful to you and to me.) 12I am sending him back to you, sending my very heart. 13I would have been glad to keep him with me, in order that he might serve me on your behalf during my imprisonment for the gospel, 14but I preferred to do nothing without your consent in order that your goodness might not be by compulsion but of your own accord. 15For this perhaps is why he was parted from you for a while, that you might have him back forever, 16no longer as a slave[3] but more than a slave, as a beloved brother—especially to me, but how much more to you, both in the flesh and in the Lord.
-
-17So if you consider me your partner, receive him as you would receive me. 18If he has wronged you at all, or owes you anything, charge that to my account. 19I, Paul, write this with my own hand: I will repay it—to say nothing of your owing me even your own self. 20Yes, brother, I want some benefit from you in the Lord. Refresh my heart in Christ.
-
-21Confident of your obedience, I write to you, knowing that you will do even more than I say. 22At the same time, prepare a guest room for me, for I am hoping that through your prayers I will be graciously given to you.
-
-
-
-
-
-Final Greetings
-
-
-23Epaphras, my fellow prisoner in Christ Jesus, sends greetings to you, 24and so do Mark, Aristarchus, Demas, and Luke, my fellow workers.
-
-25The grace of the Lord Jesus Christ be with your spirit.
-
-
-
-
-
-Footnotes
-
-
-[1] 1:6 Or for Christ's service
-
-[2] 1:10 Onesimus means useful (see verse 11) or beneficial (see verse 20)
-
-[3] 1:16 Greek bondservant; twice in this verse
-
-
-
-
-
-HEBREWS
-
-
-Chapter 1
-
-Chapter 2
-
-Chapter 3
-
-Chapter 4
-
-Chapter 5
-
-Chapter 6
-
-Chapter 7
-
-Chapter 8
-
-Chapter 9
-
-Chapter 10
-
-Chapter 11
-
-Chapter 12
-
-Chapter 13
-
-
-
-
-
-The Supremacy of God's Son
-
-
-1:1 Long ago, at many times and in many ways, God spoke to our fathers by the prophets, 2but in these last days he has spoken to us by his Son, whom he appointed the heir of all things, through whom also he created the world. 3He is the radiance of the glory of God and the exact imprint of his nature, and he upholds the universe by the word of his power. After making purification for sins, he sat down at the right hand of the Majesty on high, 4having become as much superior to angels as the name he has inherited is more excellent than theirs.
-
-5For to which of the angels did God ever say,
-
-“You are my Son,
-
-today I have begotten you”?
-
-Or again,
-
-“I will be to him a father,
-
-and he shall be to me a son”?
-
-6And again, when he brings the firstborn into the world, he says,
-
-“Let all God's angels worship him.”
-
-7Of the angels he says,
-
-“He makes his angels winds,
-
-and his ministers a flame of fire.”
-
-8But of the Son he says,
-
-“Your throne, O God, is forever and ever,
-
-the scepter of uprightness is the scepter of your kingdom.
-
-9You have loved righteousness and hated wickedness;
-
-therefore God, your God, has anointed you
-
-with the oil of gladness beyond your companions.”
-
-10And,
-
-“You, Lord, laid the foundation of the earth in the beginning,
-
-and the heavens are the work of your hands;
-
-11they will perish, but you remain;
-
-they will all wear out like a garment,
-
-12like a robe you will roll them up,
-
-like a garment they will be changed.[1]
-
-But you are the same,
-
-and your years will have no end.”
-
-13And to which of the angels has he ever said,
-
-“Sit at my right hand
-
-until I make your enemies a footstool for your feet”?
-
-14Are they not all ministering spirits sent out to serve for the sake of those who are to inherit salvation?
-
-
-
-
-
-Warning Against Neglecting Salvation
-
-
-2:1 Therefore we must pay much closer attention to what we have heard, lest we drift away from it. 2For since the message declared by angels proved to be reliable, and every transgression or disobedience received a just retribution, 3how shall we escape if we neglect such a great salvation? It was declared at first by the Lord, and it was attested to us by those who heard, 4while God also bore witness by signs and wonders and various miracles and by gifts of the Holy Spirit distributed according to his will.
-
-
-
-
-
-The Founder of Salvation
-
-
-5Now it was not to angels that God subjected the world to come, of which we are speaking. 6It has been testified somewhere,
-
-“What is man, that you are mindful of him,
-
-or the son of man, that you care for him?
-
-7You made him for a little while lower than the angels;
-
-you have crowned him with glory and honor,[2]
-
-8putting everything in subjection under his feet.”
-
-Now in putting everything in subjection to him, he left nothing outside his control. At present, we do not yet see everything in subjection to him. 9But we see him who for a little while was made lower than the angels, namely Jesus, crowned with glory and honor because of the suffering of death, so that by the grace of God he might taste death for everyone.
-
-10For it was fitting that he, for whom and by whom all things exist, in bringing many sons to glory, should make the founder of their salvation perfect through suffering. 11For he who sanctifies and those who are sanctified all have one source.[3] That is why he is not ashamed to call them brothers,[4] 12saying,
-
-“I will tell of your name to my brothers;
-
-in the midst of the congregation I will sing your praise.”
-
-13And again,
-
-“I will put my trust in him.”
-
-And again,
-
-“Behold, I and the children God has given me.”
-
-14Since therefore the children share in flesh and blood, he himself likewise partook of the same things, that through death he might destroy the one who has the power of death, that is, the devil, 15and deliver all those who through fear of death were subject to lifelong slavery. 16For surely it is not angels that he helps, but he helps the offspring of Abraham. 17Therefore he had to be made like his brothers in every respect, so that he might become a merciful and faithful high priest in the service of God, to make propitiation for the sins of the people. 18For because he himself has suffered when tempted, he is able to help those who are being tempted.
-
-
-
-
-
-Jesus Greater Than Moses
-
-
-3:1 Therefore, holy brothers,[5] you who share in a heavenly calling, consider Jesus, the apostle and high priest of our confession, 2who was faithful to him who appointed him, just as Moses also was faithful in all God's[6] house. 3For Jesus has been counted worthy of more glory than Moses—as much more glory as the builder of a house has more honor than the house itself. 4(For every house is built by someone, but the builder of all things is God.) 5Now Moses was faithful in all God's house as a servant, to testify to the things that were to be spoken later, 6but Christ is faithful over God's house as a son. And we are his house if indeed we hold fast our confidence and our boasting in our hope.[7]
-
-
-
-
-
-A Rest for the People of God
-
-
-7Therefore, as the Holy Spirit says,
-
-“Today, if you hear his voice,
-
-8do not harden your hearts as in the rebellion,
-
-on the day of testing in the wilderness,
-
-9where your fathers put me to the test
-
-and saw my works for forty years.
-
-10Therefore I was provoked with that generation,
-
-and said, ‘They always go astray in their heart;
-
-they have not known my ways.’
-
-11As I swore in my wrath,
-
-‘They shall not enter my rest.’”
-
-12Take care, brothers, lest there be in any of you an evil, unbelieving heart, leading you to fall away from the living God. 13But exhort one another every day, as long as it is called “today,” that none of you may be hardened by the deceitfulness of sin. 14For we have come to share in Christ, if indeed we hold our original confidence firm to the end. 15As it is said,
-
-“Today, if you hear his voice,
-
-do not harden your hearts as in the rebellion.”
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-16For who were those who heard and yet rebelled? Was it not all those who left Egypt led by Moses? 17And with whom was he provoked for forty years? Was it not with those who sinned, whose bodies fell in the wilderness? 18And to whom did he swear that they would not enter his rest, but to those who were disobedient? 19So we see that they were unable to enter because of unbelief.
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-4:1 Therefore, while the promise of entering his rest still stands, let us fear lest any of you should seem to have failed to reach it. 2For good news came to us just as to them, but the message they heard did not benefit them, because they were not united by faith with those who listened.[8] 3For we who have believed enter that rest, as he has said,
-
-“As I swore in my wrath,
-
-‘They shall not enter my rest,’”
-
-although his works were finished from the foundation of the world. 4For he has somewhere spoken of the seventh day in this way: “And God rested on the seventh day from all his works.” 5And again in this passage he said,
-
-“They shall not enter my rest.”
-
-6Since therefore it remains for some to enter it, and those who formerly received the good news failed to enter because of disobedience, 7again he appoints a certain day, “Today,” saying through David so long afterward, in the words already quoted,
-
-“Today, if you hear his voice,
-
-do not harden your hearts.”
-
-8For if Joshua had given them rest, God[9] would not have spoken of another day later on. 9So then, there remains a Sabbath rest for the people of God, 10for whoever has entered God's rest has also rested from his works as God did from his.
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-11Let us therefore strive to enter that rest, so that no one may fall by the same sort of disobedience. 12For the word of God is living and active, sharper than any two-edged sword, piercing to the division of soul and of spirit, of joints and of marrow, and discerning the thoughts and intentions of the heart. 13And no creature is hidden from his sight, but all are naked and exposed to the eyes of him to whom we must give account.
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-Jesus the Great High Priest
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-14Since then we have a great high priest who has passed through the heavens, Jesus, the Son of God, let us hold fast our confession. 15For we do not have a high priest who is unable to sympathize with our weaknesses, but one who in every respect has been tempted as we are, yet without sin. 16Let us then with confidence draw near to the throne of grace, that we may receive mercy and find grace to help in time of need.
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-5:1 For every high priest chosen from among men is appointed to act on behalf of men in relation to God, to offer gifts and sacrifices for sins. 2He can deal gently with the ignorant and wayward, since he himself is beset with weakness. 3Because of this he is obligated to offer sacrifice for his own sins just as he does for those of the people. 4And no one takes this honor for himself, but only when called by God, just as Aaron was.
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-5So also Christ did not exalt himself to be made a high priest, but was appointed by him who said to him,
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-“You are my Son,
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-today I have begotten you”;
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-6as he says also in another place,
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-“You are a priest forever,
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-after the order of Melchizedek.”
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-7In the days of his flesh, Jesus[10] offered up prayers and supplications, with loud cries and tears, to him who was able to save him from death, and he was heard because of his reverence. 8Although he was a son, he learned obedience through what he suffered. 9And being made perfect, he became the source of eternal salvation to all who obey him, 10being designated by God a high priest after the order of Melchizedek.
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-Warning Against Apostasy
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-11About this we have much to say, and it is hard to explain, since you have become dull of hearing. 12For though by this time you ought to be teachers, you need someone to teach you again the basic principles of the oracles of God. You need milk, not solid food, 13for everyone who lives on milk is unskilled in the word of righteousness, since he is a child. 14But solid food is for the mature, for those who have their powers of discernment trained by constant practice to distinguish good from evil.
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-
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-6:1 Therefore let us leave the elementary doctrine of Christ and go on to maturity, not laying again a foundation of repentance from dead works and of faith toward God, 2and of instruction about washings,[11] the laying on of hands, the resurrection of the dead, and eternal judgment. 3And this we will do if God permits. 4For it is impossible, in the case of those who have once been enlightened, who have tasted the heavenly gift, and have shared in the Holy Spirit, 5and have tasted the goodness of the word of God and the powers of the age to come, 6and then have fallen away, to restore them again to repentance, since they are crucifying once again the Son of God to their own harm and holding him up to contempt. 7For land that has drunk the rain that often falls on it, and produces a crop useful to those for whose sake it is cultivated, receives a blessing from God. 8But if it bears thorns and thistles, it is worthless and near to being cursed, and its end is to be burned.
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-9Though we speak in this way, yet in your case, beloved, we feel sure of better things—things that belong to salvation. 10For God is not unjust so as to overlook your work and the love that you have shown for his name in serving the saints, as you still do. 11And we desire each one of you to show the same earnestness to have the full assurance of hope until the end, 12so that you may not be sluggish, but imitators of those who through faith and patience inherit the promises.
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-The Certainty of God's Promise
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-13For when God made a promise to Abraham, since he had no one greater by whom to swear, he swore by himself, 14saying, “Surely I will bless you and multiply you.” 15And thus Abraham,[12] having patiently waited, obtained the promise. 16For people swear by something greater than themselves, and in all their disputes an oath is final for confirmation. 17So when God desired to show more convincingly to the heirs of the promise the unchangeable character of his purpose, he guaranteed it with an oath, 18so that by two unchangeable things, in which it is impossible for God to lie, we who have fled for refuge might have strong encouragement to hold fast to the hope set before us. 19We have this as a sure and steadfast anchor of the soul, a hope that enters into the inner place behind the curtain, 20where Jesus has gone as a forerunner on our behalf, having become a high priest forever after the order of Melchizedek.
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-The Priestly Order of Melchizedek
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-7:1 For this Melchizedek, king of Salem, priest of the Most High God, met Abraham returning from the slaughter of the kings and blessed him, 2and to him Abraham apportioned a tenth part of everything. He is first, by translation of his name, king of righteousness, and then he is also king of Salem, that is, king of peace. 3He is without father or mother or genealogy, having neither beginning of days nor end of life, but resembling the Son of God he continues a priest forever.
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-4See how great this man was to whom Abraham the patriarch gave a tenth of the spoils! 5And those descendants of Levi who receive the priestly office have a commandment in the law to take tithes from the people, that is, from their brothers,[13] though these also are descended from Abraham. 6But this man who does not have his descent from them received tithes from Abraham and blessed him who had the promises. 7It is beyond dispute that the inferior is blessed by the superior. 8In the one case tithes are received by mortal men, but in the other case, by one of whom it is testified that he lives. 9One might even say that Levi himself, who receives tithes, paid tithes through Abraham, 10for he was still in the loins of his ancestor when Melchizedek met him.
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-Jesus Compared to Melchizedek
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-11Now if perfection had been attainable through the Levitical priesthood (for under it the people received the law), what further need would there have been for another priest to arise after the order of Melchizedek, rather than one named after the order of Aaron? 12For when there is a change in the priesthood, there is necessarily a change in the law as well. 13For the one of whom these things are spoken belonged to another tribe, from which no one has ever served at the altar. 14For it is evident that our Lord was descended from Judah, and in connection with that tribe Moses said nothing about priests.
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-15This becomes even more evident when another priest arises in the likeness of Melchizedek, 16who has become a priest, not on the basis of a legal requirement concerning bodily descent, but by the power of an indestructible life. 17For it is witnessed of him,
-
-“You are a priest forever,
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-after the order of Melchizedek.”
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-18For on the one hand, a former commandment is set aside because of its weakness and uselessness 19(for the law made nothing perfect); but on the other hand, a better hope is introduced, through which we draw near to God.
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-20And it was not without an oath. For those who formerly became priests were made such without an oath, 21but this one was made a priest with an oath by the one who said to him:
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-“The Lord has sworn
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-and will not change his mind,
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-‘You are a priest forever.’”
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-22This makes Jesus the guarantor of a better covenant.
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-23The former priests were many in number, because they were prevented by death from continuing in office, 24but he holds his priesthood permanently, because he continues forever. 25Consequently, he is able to save to the uttermost[14] those who draw near to God through him, since he always lives to make intercession for them.
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-26For it was indeed fitting that we should have such a high priest, holy, innocent, unstained, separated from sinners, and exalted above the heavens. 27He has no need, like those high priests, to offer sacrifices daily, first for his own sins and then for those of the people, since he did this once for all when he offered up himself. 28For the law appoints men in their weakness as high priests, but the word of the oath, which came later than the law, appoints a Son who has been made perfect forever.
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-Jesus, High Priest of a Better Covenant
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-8:1 Now the point in what we are saying is this: we have such a high priest, one who is seated at the right hand of the throne of the Majesty in heaven, 2a minister in the holy places, in the true tent[15] that the Lord set up, not man. 3For every high priest is appointed to offer gifts and sacrifices; thus it is necessary for this priest also to have something to offer. 4Now if he were on earth, he would not be a priest at all, since there are priests who offer gifts according to the law. 5They serve a copy and shadow of the heavenly things. For when Moses was about to erect the tent, he was instructed by God, saying, “See that you make everything according to the pattern that was shown you on the mountain.” 6But as it is, Christ[16] has obtained a ministry that is as much more excellent than the old as the covenant he mediates is better, since it is enacted on better promises. 7For if that first covenant had been faultless, there would have been no occasion to look for a second.
-
-8For he finds fault with them when he says:[17]
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-“Behold, the days are coming, declares the Lord,
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-when I will establish a new covenant with the house of Israel
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-and with the house of Judah,
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-9not like the covenant that I made with their fathers
-
-on the day when I took them by the hand to bring them out of the land of Egypt.
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-For they did not continue in my covenant,
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-and so I showed no concern for them, declares the Lord.
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-10For this is the covenant that I will make with the house of Israel
-
-after those days, declares the Lord:
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-I will put my laws into their minds,
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-and write them on their hearts,
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-and I will be their God,
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-and they shall be my people.
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-11And they shall not teach, each one his neighbor
-
-and each one his brother, saying, ‘Know the Lord,’
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-for they shall all know me,
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-from the least of them to the greatest.
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-12For I will be merciful toward their iniquities,
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-and I will remember their sins no more.”
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-13In speaking of a new covenant, he makes the first one obsolete. And what is becoming obsolete and growing old is ready to vanish away.
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-
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-The Earthly Holy Place
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-9:1 Now even the first covenant had regulations for worship and an earthly place of holiness. 2For a tent[18] was prepared, the first section, in which were the lampstand and the table and the bread of the Presence.[19] It is called the Holy Place. 3Behind the second curtain was a second section[20] called the Most Holy Place, 4having the golden altar of incense and the ark of the covenant covered on all sides with gold, in which was a golden urn holding the manna, and Aaron's staff that budded, and the tablets of the covenant. 5Above it were the cherubim of glory overshadowing the mercy seat. Of these things we cannot now speak in detail.
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-6These preparations having thus been made, the priests go regularly into the first section, performing their ritual duties, 7but into the second only the high priest goes, and he but once a year, and not without taking blood, which he offers for himself and for the unintentional sins of the people. 8By this the Holy Spirit indicates that the way into the holy places is not yet opened as long as the first section is still standing 9(which is symbolic for the present age).[21] According to this arrangement, gifts and sacrifices are offered that cannot perfect the conscience of the worshiper, 10but deal only with food and drink and various washings, regulations for the body imposed until the time of reformation.
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-
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-
-Redemption Through the Blood of Christ
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-11But when Christ appeared as a high priest of the good things that have come,[22] then through the greater and more perfect tent (not made with hands, that is, not of this creation) 12he entered once for all into the holy places, not by means of the blood of goats and calves but by means of his own blood, thus securing an eternal redemption. 13For if the blood of goats and bulls, and the sprinkling of defiled persons with the ashes of a heifer, sanctify[23] for the purification of the flesh, 14how much more will the blood of Christ, who through the eternal Spirit offered himself without blemish to God, purify our[24] conscience from dead works to serve the living God.
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-15Therefore he is the mediator of a new covenant, so that those who are called may receive the promised eternal inheritance, since a death has occurred that redeems them from the transgressions committed under the first covenant.[25] 16For where a will is involved, the death of the one who made it must be established. 17For a will takes effect only at death, since it is not in force as long as the one who made it is alive. 18Therefore not even the first covenant was inaugurated without blood. 19For when every commandment of the law had been declared by Moses to all the people, he took the blood of calves and goats, with water and scarlet wool and hyssop, and sprinkled both the book itself and all the people, 20saying, “This is the blood of the covenant that God commanded for you.” 21And in the same way he sprinkled with the blood both the tent and all the vessels used in worship. 22Indeed, under the law almost everything is purified with blood, and without the shedding of blood there is no forgiveness of sins.
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-23Thus it was necessary for the copies of the heavenly things to be purified with these rites, but the heavenly things themselves with better sacrifices than these. 24For Christ has entered, not into holy places made with hands, which are copies of the true things, but into heaven itself, now to appear in the presence of God on our behalf. 25Nor was it to offer himself repeatedly, as the high priest enters the holy places every year with blood not his own, 26for then he would have had to suffer repeatedly since the foundation of the world. But as it is, he has appeared once for all at the end of the ages to put away sin by the sacrifice of himself. 27And just as it is appointed for man to die once, and after that comes judgment, 28so Christ, having been offered once to bear the sins of many, will appear a second time, not to deal with sin but to save those who are eagerly waiting for him.
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-Christ's Sacrifice Once for All
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-
-10:1 For since the law has but a shadow of the good things to come instead of the true form of these realities, it can never, by the same sacrifices that are continually offered every year, make perfect those who draw near. 2Otherwise, would they not have ceased to be offered, since the worshipers, having once been cleansed, would no longer have any consciousness of sins? 3But in these sacrifices there is a reminder of sins every year. 4For it is impossible for the blood of bulls and goats to take away sins.
-
-5Consequently, when Christ[26] came into the world, he said,
-
-“Sacrifices and offerings you have not desired,
-
-but a body have you prepared for me;
-
-6in burnt offerings and sin offerings
-
-you have taken no pleasure.
-
-7Then I said, ‘Behold, I have come to do your will, O God,
-
-as it is written of me in the scroll of the book.’”
-
-8When he said above, “You have neither desired nor taken pleasure in sacrifices and offerings and burnt offerings and sin offerings” (these are offered according to the law), 9then he added, “Behold, I have come to do your will.” He does away with the first in order to establish the second. 10And by that will we have been sanctified through the offering of the body of Jesus Christ once for all.
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-11And every priest stands daily at his service, offering repeatedly the same sacrifices, which can never take away sins. 12But when Christ[27] had offered for all time a single sacrifice for sins, he sat down at the right hand of God, 13waiting from that time until his enemies should be made a footstool for his feet. 14For by a single offering he has perfected for all time those who are being sanctified.
-
-15And the Holy Spirit also bears witness to us; for after saying,
-
-16“This is the covenant that I will make with them
-
-after those days, declares the Lord:
-
-I will put my laws on their hearts,
-
-and write them on their minds,”
-
-17then he adds,
-
-“I will remember their sins and their lawless deeds no more.”
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-18Where there is forgiveness of these, there is no longer any offering for sin.
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-
-
-
-
-The Full Assurance of Faith
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-
-19Therefore, brothers,[28] since we have confidence to enter the holy places by the blood of Jesus, 20by the new and living way that he opened for us through the curtain, that is, through his flesh, 21and since we have a great priest over the house of God, 22let us draw near with a true heart in full assurance of faith, with our hearts sprinkled clean from an evil conscience and our bodies washed with pure water. 23Let us hold fast the confession of our hope without wavering, for he who promised is faithful. 24And let us consider how to stir up one another to love and good works, 25not neglecting to meet together, as is the habit of some, but encouraging one another, and all the more as you see the Day drawing near.
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-26For if we go on sinning deliberately after receiving the knowledge of the truth, there no longer remains a sacrifice for sins, 27but a fearful expectation of judgment, and a fury of fire that will consume the adversaries. 28Anyone who has set aside the law of Moses dies without mercy on the evidence of two or three witnesses. 29How much worse punishment, do you think, will be deserved by the one who has spurned the Son of God, and has profaned the blood of the covenant by which he was sanctified, and has outraged the Spirit of grace? 30For we know him who said, “Vengeance is mine; I will repay.” And again, “The Lord will judge his people.” 31It is a fearful thing to fall into the hands of the living God.
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-32But recall the former days when, after you were enlightened, you endured a hard struggle with sufferings, 33sometimes being publicly exposed to reproach and affliction, and sometimes being partners with those so treated. 34For you had compassion on those in prison, and you joyfully accepted the plundering of your property, since you knew that you yourselves had a better possession and an abiding one. 35Therefore do not throw away your confidence, which has a great reward. 36For you have need of endurance, so that when you have done the will of God you may receive what is promised. 37For,
-
-“Yet a little while,
-
-and the coming one will come and will not delay;
-
-38but my righteous one shall live by faith,
-
-and if he shrinks back,
-
-my soul has no pleasure in him.”
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-39But we are not of those who shrink back and are destroyed, but of those who have faith and preserve their souls.
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-
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-
-By Faith
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-
-11:1 Now faith is the assurance of things hoped for, the conviction of things not seen. 2For by it the people of old received their commendation. 3By faith we understand that the universe was created by the word of God, so that what is seen was not made out of things that are visible.
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-4By faith Abel offered to God a more acceptable sacrifice than Cain, through which he was commended as righteous, God commending him by accepting his gifts. And through his faith, though he died, he still speaks. 5By faith Enoch was taken up so that he should not see death, and he was not found, because God had taken him. Now before he was taken he was commended as having pleased God. 6And without faith it is impossible to please him, for whoever would draw near to God must believe that he exists and that he rewards those who seek him. 7By faith Noah, being warned by God concerning events as yet unseen, in reverent fear constructed an ark for the saving of his household. By this he condemned the world and became an heir of the righteousness that comes by faith.
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-8By faith Abraham obeyed when he was called to go out to a place that he was to receive as an inheritance. And he went out, not knowing where he was going. 9By faith he went to live in the land of promise, as in a foreign land, living in tents with Isaac and Jacob, heirs with him of the same promise. 10For he was looking forward to the city that has foundations, whose designer and builder is God. 11By faith Sarah herself received power to conceive, even when she was past the age, since she considered him faithful who had promised. 12Therefore from one man, and him as good as dead, were born descendants as many as the stars of heaven and as many as the innumerable grains of sand by the seashore.
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-13These all died in faith, not having received the things promised, but having seen them and greeted them from afar, and having acknowledged that they were strangers and exiles on the earth. 14For people who speak thus make it clear that they are seeking a homeland. 15If they had been thinking of that land from which they had gone out, they would have had opportunity to return. 16But as it is, they desire a better country, that is, a heavenly one. Therefore God is not ashamed to be called their God, for he has prepared for them a city.
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-17By faith Abraham, when he was tested, offered up Isaac, and he who had received the promises was in the act of offering up his only son, 18of whom it was said, “Through Isaac shall your offspring be named.” 19He considered that God was able even to raise him from the dead, from which, figuratively speaking, he did receive him back. 20By faith Isaac invoked future blessings on Jacob and Esau. 21By faith Jacob, when dying, blessed each of the sons of Joseph, bowing in worship over the head of his staff. 22By faith Joseph, at the end of his life, made mention of the exodus of the Israelites and gave directions concerning his bones.
-
-23By faith Moses, when he was born, was hidden for three months by his parents, because they saw that the child was beautiful, and they were not afraid of the king's edict. 24By faith Moses, when he was grown up, refused to be called the son of Pharaoh's daughter, 25choosing rather to be mistreated with the people of God than to enjoy the fleeting pleasures of sin. 26He considered the reproach of Christ greater wealth than the treasures of Egypt, for he was looking to the reward. 27By faith he left Egypt, not being afraid of the anger of the king, for he endured as seeing him who is invisible. 28By faith he kept the Passover and sprinkled the blood, so that the Destroyer of the firstborn might not touch them.
-
-29By faith the people crossed the Red Sea as on dry land, but the Egyptians, when they attempted to do the same, were drowned. 30By faith the walls of Jericho fell down after they had been encircled for seven days. 31By faith Rahab the prostitute did not perish with those who were disobedient, because she had given a friendly welcome to the spies.
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-32And what more shall I say? For time would fail me to tell of Gideon, Barak, Samson, Jephthah, of David and Samuel and the prophets— 33who through faith conquered kingdoms, enforced justice, obtained promises, stopped the mouths of lions, 34quenched the power of fire, escaped the edge of the sword, were made strong out of weakness, became mighty in war, put foreign armies to flight. 35Women received back their dead by resurrection. Some were tortured, refusing to accept release, so that they might rise again to a better life. 36Others suffered mocking and flogging, and even chains and imprisonment. 37They were stoned, they were sawn in two,[29] they were killed with the sword. They went about in skins of sheep and goats, destitute, afflicted, mistreated— 38of whom the world was not worthy—wandering about in deserts and mountains, and in dens and caves of the earth.
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-39And all these, though commended through their faith, did not receive what was promised, 40since God had provided something better for us, that apart from us they should not be made perfect.
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-
-
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-
-Jesus, Founder and Perfecter of Our Faith
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-
-12:1 Therefore, since we are surrounded by so great a cloud of witnesses, let us also lay aside every weight, and sin which clings so closely, and let us run with endurance the race that is set before us, 2looking to Jesus, the founder and perfecter of our faith, who for the joy that was set before him endured the cross, despising the shame, and is seated at the right hand of the throne of God.
-
-
-
-
-
-Do Not Grow Weary
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-
-3Consider him who endured from sinners such hostility against himself, so that you may not grow weary or fainthearted. 4In your struggle against sin you have not yet resisted to the point of shedding your blood. 5And have you forgotten the exhortation that addresses you as sons?
-
-“My son, do not regard lightly the discipline of the Lord,
-
-nor be weary when reproved by him.
-
-6For the Lord disciplines the one he loves,
-
-and chastises every son whom he receives.”
-
-7It is for discipline that you have to endure. God is treating you as sons. For what son is there whom his father does not discipline? 8If you are left without discipline, in which all have participated, then you are illegitimate children and not sons. 9Besides this, we have had earthly fathers who disciplined us and we respected them. Shall we not much more be subject to the Father of spirits and live? 10For they disciplined us for a short time as it seemed best to them, but he disciplines us for our good, that we may share his holiness. 11For the moment all discipline seems painful rather than pleasant, but later it yields the peaceful fruit of righteousness to those who have been trained by it.
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-12Therefore lift your drooping hands and strengthen your weak knees, 13and make straight paths for your feet, so that what is lame may not be put out of joint but rather be healed. 14Strive for peace with everyone, and for the holiness without which no one will see the Lord. 15See to it that no one fails to obtain the grace of God; that no “root of bitterness” springs up and causes trouble, and by it many become defiled; 16that no one is sexually immoral or unholy like Esau, who sold his birthright for a single meal. 17For you know that afterward, when he desired to inherit the blessing, he was rejected, for he found no chance to repent, though he sought it with tears.
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-
-
-
-
-A Kingdom That Cannot Be Shaken
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-
-18For you have not come to what may be touched, a blazing fire and darkness and gloom and a tempest 19and the sound of a trumpet and a voice whose words made the hearers beg that no further messages be spoken to them. 20For they could not endure the order that was given, “If even a beast touches the mountain, it shall be stoned.” 21Indeed, so terrifying was the sight that Moses said, “I tremble with fear.” 22But you have come to Mount Zion and to the city of the living God, the heavenly Jerusalem, and to innumerable angels in festal gathering, 23and to the assembly[30] of the firstborn who are enrolled in heaven, and to God, the judge of all, and to the spirits of the righteous made perfect, 24and to Jesus, the mediator of a new covenant, and to the sprinkled blood that speaks a better word than the blood of Abel.
-
-25See that you do not refuse him who is speaking. For if they did not escape when they refused him who warned them on earth, much less will we escape if we reject him who warns from heaven. 26At that time his voice shook the earth, but now he has promised, “Yet once more I will shake not only the earth but also the heavens.” 27This phrase, “Yet once more,” indicates the removal of things that are shaken—that is, things that have been made—in order that the things that cannot be shaken may remain. 28Therefore let us be grateful for receiving a kingdom that cannot be shaken, and thus let us offer to God acceptable worship, with reverence and awe, 29for our God is a consuming fire.
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-
-Sacrifices Pleasing to God
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-
-13:1 Let brotherly love continue. 2Do not neglect to show hospitality to strangers, for thereby some have entertained angels unawares. 3Remember those who are in prison, as though in prison with them, and those who are mistreated, since you also are in the body. 4Let marriage be held in honor among all, and let the marriage bed be undefiled, for God will judge the sexually immoral and adulterous. 5Keep your life free from love of money, and be content with what you have, for he has said, “I will never leave you nor forsake you.” 6So we can confidently say,
-
-“The Lord is my helper;
-
-I will not fear;
-
-what can man do to me?”
-
-7Remember your leaders, those who spoke to you the word of God. Consider the outcome of their way of life, and imitate their faith. 8Jesus Christ is the same yesterday and today and forever. 9Do not be led away by diverse and strange teachings, for it is good for the heart to be strengthened by grace, not by foods, which have not benefited those devoted to them. 10We have an altar from which those who serve the tent have no right to eat. 11For the bodies of those animals whose blood is brought into the holy places by the high priest as a sacrifice for sin are burned outside the camp. 12So Jesus also suffered outside the gate in order to sanctify the people through his own blood. 13Therefore let us go to him outside the camp and bear the reproach he endured. 14For here we have no lasting city, but we seek the city that is to come. 15Through him then let us continually offer up a sacrifice of praise to God, that is, the fruit of lips that acknowledge his name. 16Do not neglect to do good and to share what you have, for such sacrifices are pleasing to God.
-
-17Obey your leaders and submit to them, for they are keeping watch over your souls, as those who will have to give an account. Let them do this with joy and not with groaning, for that would be of no advantage to you.
-
-18Pray for us, for we are sure that we have a clear conscience, desiring to act honorably in all things. 19I urge you the more earnestly to do this in order that I may be restored to you the sooner.
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-
-
-
-
-Benediction
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-20Now may the God of peace who brought again from the dead our Lord Jesus, the great shepherd of the sheep, by the blood of the eternal covenant, 21equip you with everything good that you may do his will, working in us[31] that which is pleasing in his sight, through Jesus Christ, to whom be glory forever and ever. Amen.
-
-
-
-
-
-Final Greetings
-
-
-22I appeal to you, brothers,[32] bear with my word of exhortation, for I have written to you briefly. 23You should know that our brother Timothy has been released, with whom I shall see you if he comes soon. 24Greet all your leaders and all the saints. Those who come from Italy send you greetings. 25Grace be with all of you.
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-
-
-
-
-Footnotes
-
-
-[1] 1:12 Some manuscripts omit like a garment
-
-[2] 2:7 Some manuscripts insert and set him over the works of your hands
-
-[3] 2:11 Greek all are of one
-
-[4] 2:11 Or brothers and sisters. The plural Greek word adelphoi (translated “brothers”) refers to siblings in a family. In New Testament usage, depending on the context, adelphoi may refer either to men or to both men and women who are siblings (brothers and sisters) in God's family, the church; also verse 12
-
-[5] 3:1 Or brothers and sisters; also verse 12
-
-[6] 3:2 Greek his; also verses 5, 6
-
-[7] 3:6 Some manuscripts insert firm to the end
-
-[8] 4:2 Some manuscripts it did not meet with faith in the hearers
-
-[9] 4:8 Greek he
-
-[10] 5:7 Greek he
-
-[11] 6:2 Or baptisms (that is, cleansing rites)
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-[12] 6:15 Greek he
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-[13] 7:5 Or brothers and sisters
-
-[14] 7:25 That is, completely; or at all times
-
-[15] 8:2 Or tabernacle; also verse 5
-
-[16] 8:6 Greek he
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-[17] 8:8 Some manuscripts For finding fault with it he says to them
-
-[18] 9:2 Or tabernacle; also verses 11, 21
-
-[19] 9:2 Greek the presentation of the loaves
-
-[20] 9:3 Greek tent; also verses 6, 8
-
-[21] 9:9 Or which is symbolic for the age then present
-
-[22] 9:11 Some manuscripts good things to come
-
-[23] 9:13 Or For if the blood of goats and bulls, and the sprinkling of defiled persons with the ashes of a heifer, sanctifies
-
-[24] 9:14 Some manuscripts your
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-[25] 9:15 The Greek word means both covenant and will; also verses 16, 17
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-[26] 10:5 Greek he
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-[27] 10:12 Greek this one
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-[28] 10:19 Or brothers and sisters
-
-[29] 11:37 Some manuscripts add they were tempted
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-[30] 12:23 Or church
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-[31] 13:21 Some manuscripts you
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-[32] 13:22 Or brothers and sisters
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-
-JAMES
-
-
-Chapter 1
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-Chapter 2
-
-Chapter 3
-
-Chapter 4
-
-Chapter 5
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-
-
-
-
-Greeting
-
-
-1:1 James, a servant[1] of God and of the Lord Jesus Christ,
-
-To the twelve tribes in the Dispersion:
-
-Greetings.
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-
-
-
-
-Testing of Your Faith
-
-
-2Count it all joy, my brothers,[2] when you meet trials of various kinds, 3for you know that the testing of your faith produces steadfastness. 4And let steadfastness have its full effect, that you may be perfect and complete, lacking in nothing.
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-5If any of you lacks wisdom, let him ask God, who gives generously to all without reproach, and it will be given him. 6But let him ask in faith, with no doubting, for the one who doubts is like a wave of the sea that is driven and tossed by the wind. 7For that person must not suppose that he will receive anything from the Lord; 8he is a double-minded man, unstable in all his ways.
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-9Let the lowly brother boast in his exaltation, 10and the rich in his humiliation, because like a flower of the grass[3] he will pass away. 11For the sun rises with its scorching heat and withers the grass; its flower falls, and its beauty perishes. So also will the rich man fade away in the midst of his pursuits.
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-12Blessed is the man who remains steadfast under trial, for when he has stood the test he will receive the crown of life, which God has promised to those who love him. 13Let no one say when he is tempted, “I am being tempted by God,” for God cannot be tempted with evil, and he himself tempts no one. 14But each person is tempted when he is lured and enticed by his own desire. 15Then desire when it has conceived gives birth to sin, and sin when it is fully grown brings forth death.
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-16Do not be deceived, my beloved brothers. 17Every good gift and every perfect gift is from above, coming down from the Father of lights with whom there is no variation or shadow due to change.[4] 18Of his own will he brought us forth by the word of truth, that we should be a kind of firstfruits of his creatures.
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-
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-Hearing and Doing the Word
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-19Know this, my beloved brothers: let every person be quick to hear, slow to speak, slow to anger; 20for the anger of man does not produce the righteousness of God. 21Therefore put away all filthiness and rampant wickedness and receive with meekness the implanted word, which is able to save your souls.
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-22But be doers of the word, and not hearers only, deceiving yourselves. 23For if anyone is a hearer of the word and not a doer, he is like a man who looks intently at his natural face in a mirror. 24For he looks at himself and goes away and at once forgets what he was like. 25But the one who looks into the perfect law, the law of liberty, and perseveres, being no hearer who forgets but a doer who acts, he will be blessed in his doing.
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-26If anyone thinks he is religious and does not bridle his tongue but deceives his heart, this person's religion is worthless. 27Religion that is pure and undefiled before God, the Father, is this: to visit orphans and widows in their affliction, and to keep oneself unstained from the world.
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-
-
-
-
-The Sin of Partiality
-
-
-2:1 My brothers,[5] show no partiality as you hold the faith in our Lord Jesus Christ, the Lord of glory. 2For if a man wearing a gold ring and fine clothing comes into your assembly, and a poor man in shabby clothing also comes in, 3and if you pay attention to the one who wears the fine clothing and say, “You sit here in a good place,” while you say to the poor man, “You stand over there,” or, “Sit down at my feet,” 4have you not then made distinctions among yourselves and become judges with evil thoughts? 5Listen, my beloved brothers, has not God chosen those who are poor in the world to be rich in faith and heirs of the kingdom, which he has promised to those who love him? 6But you have dishonored the poor man. Are not the rich the ones who oppress you, and the ones who drag you into court? 7Are they not the ones who blaspheme the honorable name by which you were called?
-
-8If you really fulfill the royal law according to the Scripture, “You shall love your neighbor as yourself,” you are doing well. 9But if you show partiality, you are committing sin and are convicted by the law as transgressors. 10For whoever keeps the whole law but fails in one point has become accountable for all of it. 11For he who said, “Do not commit adultery,” also said, “Do not murder.” If you do not commit adultery but do murder, you have become a transgressor of the law. 12So speak and so act as those who are to be judged under the law of liberty. 13For judgment is without mercy to one who has shown no mercy. Mercy triumphs over judgment.
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-
-
-
-
-Faith Without Works Is Dead
-
-
-14What good is it, my brothers, if someone says he has faith but does not have works? Can that faith save him? 15If a brother or sister is poorly clothed and lacking in daily food, 16and one of you says to them, “Go in peace, be warmed and filled,” without giving them the things needed for the body, what good[6] is that? 17So also faith by itself, if it does not have works, is dead.
-
-18But someone will say, “You have faith and I have works.” Show me your faith apart from your works, and I will show you my faith by my works. 19You believe that God is one; you do well. Even the demons believe—and shudder! 20Do you want to be shown, you foolish person, that faith apart from works is useless? 21Was not Abraham our father justified by works when he offered up his son Isaac on the altar? 22You see that faith was active along with his works, and faith was completed by his works; 23and the Scripture was fulfilled that says, “Abraham believed God, and it was counted to him as righteousness”—and he was called a friend of God. 24You see that a person is justified by works and not by faith alone. 25And in the same way was not also Rahab the prostitute justified by works when she received the messengers and sent them out by another way? 26For as the body apart from the spirit is dead, so also faith apart from works is dead.
-
-
-
-
-
-Taming the Tongue
-
-
-3:1 Not many of you should become teachers, my brothers, for you know that we who teach will be judged with greater strictness. 2For we all stumble in many ways. And if anyone does not stumble in what he says, he is a perfect man, able also to bridle his whole body. 3If we put bits into the mouths of horses so that they obey us, we guide their whole bodies as well. 4Look at the ships also: though they are so large and are driven by strong winds, they are guided by a very small rudder wherever the will of the pilot directs. 5So also the tongue is a small member, yet it boasts of great things.
-
-How great a forest is set ablaze by such a small fire! 6And the tongue is a fire, a world of unrighteousness. The tongue is set among our members, staining the whole body, setting on fire the entire course of life,[7] and set on fire by hell.[8] 7For every kind of beast and bird, of reptile and sea creature, can be tamed and has been tamed by mankind, 8but no human being can tame the tongue. It is a restless evil, full of deadly poison. 9With it we bless our Lord and Father, and with it we curse people who are made in the likeness of God. 10From the same mouth come blessing and cursing. My brothers,[9] these things ought not to be so. 11Does a spring pour forth from the same opening both fresh and salt water? 12Can a fig tree, my brothers, bear olives, or a grapevine produce figs? Neither can a salt pond yield fresh water.
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-
-
-
-
-Wisdom from Above
-
-
-13Who is wise and understanding among you? By his good conduct let him show his works in the meekness of wisdom. 14But if you have bitter jealousy and selfish ambition in your hearts, do not boast and be false to the truth. 15This is not the wisdom that comes down from above, but is earthly, unspiritual, demonic. 16For where jealousy and selfish ambition exist, there will be disorder and every vile practice. 17But the wisdom from above is first pure, then peaceable, gentle, open to reason, full of mercy and good fruits, impartial and sincere. 18And a harvest of righteousness is sown in peace by those who make peace.
-
-
-
-
-
-Warning Against Worldliness
-
-
-4:1 What causes quarrels and what causes fights among you? Is it not this, that your passions[10] are at war within you?[11] 2You desire and do not have, so you murder. You covet and cannot obtain, so you fight and quarrel. You do not have, because you do not ask. 3You ask and do not receive, because you ask wrongly, to spend it on your passions. 4You adulterous people![12] Do you not know that friendship with the world is enmity with God? Therefore whoever wishes to be a friend of the world makes himself an enemy of God. 5Or do you suppose it is to no purpose that the Scripture says, “He yearns jealously over the spirit that he has made to dwell in us”? 6But he gives more grace. Therefore it says, “God opposes the proud, but gives grace to the humble.” 7Submit yourselves therefore to God. Resist the devil, and he will flee from you. 8Draw near to God, and he will draw near to you. Cleanse your hands, you sinners, and purify your hearts, you double-minded. 9Be wretched and mourn and weep. Let your laughter be turned to mourning and your joy to gloom. 10Humble yourselves before the Lord, and he will exalt you.
-
-11Do not speak evil against one another, brothers.[13] The one who speaks against a brother or judges his brother, speaks evil against the law and judges the law. But if you judge the law, you are not a doer of the law but a judge. 12There is only one lawgiver and judge, he who is able to save and to destroy. But who are you to judge your neighbor?
-
-
-
-
-
-Boasting About Tomorrow
-
-
-13Come now, you who say, “Today or tomorrow we will go into such and such a town and spend a year there and trade and make a profit”— 14yet you do not know what tomorrow will bring. What is your life? For you are a mist that appears for a little time and then vanishes. 15Instead you ought to say, “If the Lord wills, we will live and do this or that.” 16As it is, you boast in your arrogance. All such boasting is evil. 17So whoever knows the right thing to do and fails to do it, for him it is sin.
-
-
-
-
-
-Warning to the Rich
-
-
-5:1 Come now, you rich, weep and howl for the miseries that are coming upon you. 2Your riches have rotted and your garments are moth-eaten. 3Your gold and silver have corroded, and their corrosion will be evidence against you and will eat your flesh like fire. You have laid up treasure in the last days. 4Behold, the wages of the laborers who mowed your fields, which you kept back by fraud, are crying out against you, and the cries of the harvesters have reached the ears of the Lord of hosts. 5You have lived on the earth in luxury and in self-indulgence. You have fattened your hearts in a day of slaughter. 6You have condemned and murdered the righteous person. He does not resist you.
-
-
-
-
-
-Patience in Suffering
-
-
-7Be patient, therefore, brothers,[14] until the coming of the Lord. See how the farmer waits for the precious fruit of the earth, being patient about it, until it receives the early and the late rains. 8You also, be patient. Establish your hearts, for the coming of the Lord is at hand. 9Do not grumble against one another, brothers, so that you may not be judged; behold, the Judge is standing at the door. 10As an example of suffering and patience, brothers, take the prophets who spoke in the name of the Lord. 11Behold, we consider those blessed who remained steadfast. You have heard of the steadfastness of Job, and you have seen the purpose of the Lord, how the Lord is compassionate and merciful.
-
-12But above all, my brothers, do not swear, either by heaven or by earth or by any other oath, but let your “yes” be yes and your “no” be no, so that you may not fall under condemnation.
-
-
-
-
-
-The Prayer of Faith
-
-
-13Is anyone among you suffering? Let him pray. Is anyone cheerful? Let him sing praise. 14Is anyone among you sick? Let him call for the elders of the church, and let them pray over him, anointing him with oil in the name of the Lord. 15And the prayer of faith will save the one who is sick, and the Lord will raise him up. And if he has committed sins, he will be forgiven. 16Therefore, confess your sins to one another and pray for one another, that you may be healed. The prayer of a righteous person has great power as it is working.[15] 17Elijah was a man with a nature like ours, and he prayed fervently that it might not rain, and for three years and six months it did not rain on the earth. 18Then he prayed again, and heaven gave rain, and the earth bore its fruit.
-
-19My brothers, if anyone among you wanders from the truth and someone brings him back, 20let him know that whoever brings back a sinner from his wandering will save his soul from death and will cover a multitude of sins.
-
-
-
-
-
-Footnotes
-
-
-[1] 1:1 Or slave; Greek bondservant
-
-[2] 1:2 Or brothers and sisters. The plural Greek word adelphoi (translated “brothers”) refers to siblings in a family. In New Testament usage, depending on the context, adelphoi may refer either to men or to both men and women who are siblings (brothers and sisters) in God's family, the church; also verses 16, 19
-
-[3] 1:10 Or a wild flower
-
-[4] 1:17 Some manuscripts variation due to a shadow of turning
-
-[5] 2:1 Or brothers and sisters; also verses 5, 14
-
-[6] 2:16 Or benefit
-
-[7] 3:6 Or wheel of birth
-
-[8] 3:6 Greek Gehenna
-
-[9] 3:10 Or brothers and sisters; also verse 12
-
-[10] 4:1 Greek pleasures; also verse 3
-
-[11] 4:1 Greek in your members
-
-[12] 4:4 Greek You adulteresses!
-
-[13] 4:11 Or brothers and sisters
-
-[14] 5:7 Or brothers and sisters; also verses 9, 10, 12, 19
-
-[15] 5:16 Or The effective prayer of a righteous person has great power
-
-
-
-
-
-1 PETER
-
-
-Chapter 1
-
-Chapter 2
-
-Chapter 3
-
-Chapter 4
-
-Chapter 5
-
-
-
-
-
-Greeting
-
-
-1:1 Peter, an apostle of Jesus Christ,
-
-To those who are elect exiles of the dispersion in Pontus, Galatia, Cappadocia, Asia, and Bithynia, 2according to the foreknowledge of God the Father, in the sanctification of the Spirit, for obedience to Jesus Christ and for sprinkling with his blood:
-
-May grace and peace be multiplied to you.
-
-
-
-
-
-Born Again to a Living Hope
-
-
-3Blessed be the God and Father of our Lord Jesus Christ! According to his great mercy, he has caused us to be born again to a living hope through the resurrection of Jesus Christ from the dead, 4to an inheritance that is imperishable, undefiled, and unfading, kept in heaven for you, 5who by God's power are being guarded through faith for a salvation ready to be revealed in the last time. 6In this you rejoice, though now for a little while, if necessary, you have been grieved by various trials, 7so that the tested genuineness of your faith—more precious than gold that perishes though it is tested by fire—may be found to result in praise and glory and honor at the revelation of Jesus Christ. 8Though you have not seen him, you love him. Though you do not now see him, you believe in him and rejoice with joy that is inexpressible and filled with glory, 9obtaining the outcome of your faith, the salvation of your souls.
-
-10Concerning this salvation, the prophets who prophesied about the grace that was to be yours searched and inquired carefully, 11inquiring what person or time the Spirit of Christ in them was indicating when he predicted the sufferings of Christ and the subsequent glories. 12It was revealed to them that they were serving not themselves but you, in the things that have now been announced to you through those who preached the good news to you by the Holy Spirit sent from heaven, things into which angels long to look.
-
-
-
-
-
-Called to Be Holy
-
-
-13Therefore, preparing your minds for action,[1] and being sober-minded, set your hope fully on the grace that will be brought to you at the revelation of Jesus Christ. 14As obedient children, do not be conformed to the passions of your former ignorance, 15but as he who called you is holy, you also be holy in all your conduct, 16since it is written, “You shall be holy, for I am holy.” 17And if you call on him as Father who judges impartially according to each one's deeds, conduct yourselves with fear throughout the time of your exile, 18knowing that you were ransomed from the futile ways inherited from your forefathers, not with perishable things such as silver or gold, 19but with the precious blood of Christ, like that of a lamb without blemish or spot. 20He was foreknown before the foundation of the world but was made manifest in the last times for the sake of you 21who through him are believers in God, who raised him from the dead and gave him glory, so that your faith and hope are in God.
-
-22Having purified your souls by your obedience to the truth for a sincere brotherly love, love one another earnestly from a pure heart, 23since you have been born again, not of perishable seed but of imperishable, through the living and abiding word of God; 24for
-
-“All flesh is like grass
-
-and all its glory like the flower of grass.
-
-The grass withers,
-
-and the flower falls,
-
-25but the word of the Lord remains forever.”
-
-And this word is the good news that was preached to you.
-
-
-
-
-
-A Living Stone and a Holy People
-
-
-2:1 So put away all malice and all deceit and hypocrisy and envy and all slander. 2Like newborn infants, long for the pure spiritual milk, that by it you may grow up into salvation— 3if indeed you have tasted that the Lord is good.
-
-4As you come to him, a living stone rejected by men but in the sight of God chosen and precious, 5you yourselves like living stones are being built up as a spiritual house, to be a holy priesthood, to offer spiritual sacrifices acceptable to God through Jesus Christ. 6For it stands in Scripture:
-
-“Behold, I am laying in Zion a stone,
-
-a cornerstone chosen and precious,
-
-and whoever believes in him will not be put to shame.”
-
-7So the honor is for you who believe, but for those who do not believe,
-
-“The stone that the builders rejected
-
-has become the cornerstone,”[2]
-
-8and
-
-“A stone of stumbling,
-
-and a rock of offense.”
-
-They stumble because they disobey the word, as they were destined to do.
-
-9But you are a chosen race, a royal priesthood, a holy nation, a people for his own possession, that you may proclaim the excellencies of him who called you out of darkness into his marvelous light. 10Once you were not a people, but now you are God's people; once you had not received mercy, but now you have received mercy.
-
-11Beloved, I urge you as sojourners and exiles to abstain from the passions of the flesh, which wage war against your soul. 12Keep your conduct among the Gentiles honorable, so that when they speak against you as evildoers, they may see your good deeds and glorify God on the day of visitation.
-
-
-
-
-
-Submission to Authority
-
-
-13Be subject for the Lord's sake to every human institution,[3] whether it be to the emperor[4] as supreme, 14or to governors as sent by him to punish those who do evil and to praise those who do good. 15For this is the will of God, that by doing good you should put to silence the ignorance of foolish people. 16Live as people who are free, not using your freedom as a cover-up for evil, but living as servants[5] of God. 17Honor everyone. Love the brotherhood. Fear God. Honor the emperor.
-
-18Servants, be subject to your masters with all respect, not only to the good and gentle but also to the unjust. 19For this is a gracious thing, when, mindful of God, one endures sorrows while suffering unjustly. 20For what credit is it if, when you sin and are beaten for it, you endure? But if when you do good and suffer for it you endure, this is a gracious thing in the sight of God. 21For to this you have been called, because Christ also suffered for you, leaving you an example, so that you might follow in his steps. 22He committed no sin, neither was deceit found in his mouth. 23When he was reviled, he did not revile in return; when he suffered, he did not threaten, but continued entrusting himself to him who judges justly. 24He himself bore our sins in his body on the tree, that we might die to sin and live to righteousness. By his wounds you have been healed. 25For you were straying like sheep, but have now returned to the Shepherd and Overseer of your souls.
-
-
-
-
-
-Wives and Husbands
-
-
-3:1 Likewise, wives, be subject to your own husbands, so that even if some do not obey the word, they may be won without a word by the conduct of their wives, 2when they see your respectful and pure conduct. 3Do not let your adorning be external—the braiding of hair and the putting on of gold jewelry, or the clothing you wear— 4but let your adorning be the hidden person of the heart with the imperishable beauty of a gentle and quiet spirit, which in God's sight is very precious. 5For this is how the holy women who hoped in God used to adorn themselves, by submitting to their own husbands, 6as Sarah obeyed Abraham, calling him lord. And you are her children, if you do good and do not fear anything that is frightening.
-
-7Likewise, husbands, live with your wives in an understanding way, showing honor to the woman as the weaker vessel, since they are heirs with you[6] of the grace of life, so that your prayers may not be hindered.
-
-
-
-
-
-Suffering for Righteousness' Sake
-
-
-8Finally, all of you, have unity of mind, sympathy, brotherly love, a tender heart, and a humble mind. 9Do not repay evil for evil or reviling for reviling, but on the contrary, bless, for to this you were called, that you may obtain a blessing. 10For
-
-“Whoever desires to love life
-
-and see good days,
-
-let him keep his tongue from evil
-
-and his lips from speaking deceit;
-
-11let him turn away from evil and do good;
-
-let him seek peace and pursue it.
-
-12For the eyes of the Lord are on the righteous,
-
-and his ears are open to their prayer.
-
-But the face of the Lord is against those who do evil.”
-
-13Now who is there to harm you if you are zealous for what is good? 14But even if you should suffer for righteousness' sake, you will be blessed. Have no fear of them, nor be troubled, 15but in your hearts honor Christ the Lord as holy, always being prepared to make a defense to anyone who asks you for a reason for the hope that is in you; yet do it with gentleness and respect, 16having a good conscience, so that, when you are slandered, those who revile your good behavior in Christ may be put to shame. 17For it is better to suffer for doing good, if that should be God's will, than for doing evil.
-
-18For Christ also suffered[7] once for sins, the righteous for the unrighteous, that he might bring us to God, being put to death in the flesh but made alive in the spirit, 19in which[8] he went and proclaimed[9] to the spirits in prison, 20because[10] they formerly did not obey, when God's patience waited in the days of Noah, while the ark was being prepared, in which a few, that is, eight persons, were brought safely through water. 21Baptism, which corresponds to this, now saves you, not as a removal of dirt from the body but as an appeal to God for a good conscience, through the resurrection of Jesus Christ, 22who has gone into heaven and is at the right hand of God, with angels, authorities, and powers having been subjected to him.
-
-
-
-
-
-Stewards of God's Grace
-
-
-4:1 Since therefore Christ suffered in the flesh,[11] arm yourselves with the same way of thinking, for whoever has suffered in the flesh has ceased from sin, 2so as to live for the rest of the time in the flesh no longer for human passions but for the will of God. 3For the time that is past suffices for doing what the Gentiles want to do, living in sensuality, passions, drunkenness, orgies, drinking parties, and lawless idolatry. 4With respect to this they are surprised when you do not join them in the same flood of debauchery, and they malign you; 5but they will give account to him who is ready to judge the living and the dead. 6For this is why the gospel was preached even to those who are dead, that though judged in the flesh the way people are, they might live in the spirit the way God does.
-
-7The end of all things is at hand; therefore be self-controlled and sober-minded for the sake of your prayers. 8Above all, keep loving one another earnestly, since love covers a multitude of sins. 9Show hospitality to one another without grumbling. 10As each has received a gift, use it to serve one another, as good stewards of God's varied grace: 11whoever speaks, as one who speaks oracles of God; whoever serves, as one who serves by the strength that God supplies—in order that in everything God may be glorified through Jesus Christ. To him belong glory and dominion forever and ever. Amen.
-
-
-
-
-
-Suffering as a Christian
-
-
-12Beloved, do not be surprised at the fiery trial when it comes upon you to test you, as though something strange were happening to you. 13But rejoice insofar as you share Christ's sufferings, that you may also rejoice and be glad when his glory is revealed. 14If you are insulted for the name of Christ, you are blessed, because the Spirit of glory[12] and of God rests upon you. 15But let none of you suffer as a murderer or a thief or an evildoer or as a meddler. 16Yet if anyone suffers as a Christian, let him not be ashamed, but let him glorify God in that name. 17For it is time for judgment to begin at the household of God; and if it begins with us, what will be the outcome for those who do not obey the gospel of God? 18And
-
-“If the righteous is scarcely saved,
-
-what will become of the ungodly and the sinner?”[13]
-
-19Therefore let those who suffer according to God's will entrust their souls to a faithful Creator while doing good.
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-
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-Shepherd the Flock of God
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-
-5:1 So I exhort the elders among you, as a fellow elder and a witness of the sufferings of Christ, as well as a partaker in the glory that is going to be revealed: 2shepherd the flock of God that is among you, exercising oversight,[14] not under compulsion, but willingly, as God would have you;[15] not for shameful gain, but eagerly; 3not domineering over those in your charge, but being examples to the flock. 4And when the chief Shepherd appears, you will receive the unfading crown of glory. 5Likewise, you who are younger, be subject to the elders. Clothe yourselves, all of you, with humility toward one another, for “God opposes the proud but gives grace to the humble.”
-
-6Humble yourselves, therefore, under the mighty hand of God so that at the proper time he may exalt you, 7casting all your anxieties on him, because he cares for you. 8Be sober-minded; be watchful. Your adversary the devil prowls around like a roaring lion, seeking someone to devour. 9Resist him, firm in your faith, knowing that the same kinds of suffering are being experienced by your brotherhood throughout the world. 10And after you have suffered a little while, the God of all grace, who has called you to his eternal glory in Christ, will himself restore, confirm, strengthen, and establish you. 11To him be the dominion forever and ever. Amen.
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-
-
-
-
-Final Greetings
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-
-12By Silvanus, a faithful brother as I regard him, I have written briefly to you, exhorting and declaring that this is the true grace of God. Stand firm in it. 13She who is at Babylon, who is likewise chosen, sends you greetings, and so does Mark, my son. 14Greet one another with the kiss of love.
-
-Peace to all of you who are in Christ.
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-
-
-
-
-Footnotes
-
-
-[1] 1:13 Greek girding up the loins of your mind
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-[2] 2:7 Greek the head of the corner
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-[3] 2:13 Or every institution ordained for people
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-[4] 2:13 Or king; also verse 17
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-[5] 2:16 Greek bondservants
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-[6] 3:7 Some manuscripts since you are joint heirs
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-[7] 3:18 Some manuscripts died
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-[8] 3:19 Or the Spirit, in whom
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-[9] 3:19 Or preached
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-[10] 3:20 Or when
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-[11] 4:1 Some manuscripts add for us; some for you
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-[12] 4:14 Some manuscripts insert and of power
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-[13] 4:18 Greek where will the ungodly and sinner appear?
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-[14] 5:2 Some manuscripts omit exercising oversight
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-[15] 5:2 Some manuscripts omit as God would have you
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-
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-2 PETER
-
-
-Chapter 1
-
-Chapter 2
-
-Chapter 3
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-
-
-
-
-Greeting
-
-
-1:1 Simeon[1] Peter, a servant[2] and apostle of Jesus Christ,
-
-To those who have obtained a faith of equal standing with ours by the righteousness of our God and Savior Jesus Christ:
-
-2May grace and peace be multiplied to you in the knowledge of God and of Jesus our Lord.
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-
-
-
-
-Make Your Calling and Election Sure
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-
-3His divine power has granted to us all things that pertain to life and godliness, through the knowledge of him who called us to[3] his own glory and excellence,[4] 4by which he has granted to us his precious and very great promises, so that through them you may become partakers of the divine nature, having escaped from the corruption that is in the world because of sinful desire. 5For this very reason, make every effort to supplement your faith with virtue,[5] and virtue with knowledge, 6and knowledge with self-control, and self-control with steadfastness, and steadfastness with godliness, 7and godliness with brotherly affection, and brotherly affection with love. 8For if these qualities[6] are yours and are increasing, they keep you from being ineffective or unfruitful in the knowledge of our Lord Jesus Christ. 9For whoever lacks these qualities is so nearsighted that he is blind, having forgotten that he was cleansed from his former sins. 10Therefore, brothers,[7] be all the more diligent to make your calling and election sure, for if you practice these qualities you will never fall. 11For in this way there will be richly provided for you an entrance into the eternal kingdom of our Lord and Savior Jesus Christ.
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-12Therefore I intend always to remind you of these qualities, though you know them and are established in the truth that you have. 13I think it right, as long as I am in this body,[8] to stir you up by way of reminder, 14since I know that the putting off of my body will be soon, as our Lord Jesus Christ made clear to me. 15And I will make every effort so that after my departure you may be able at any time to recall these things.
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-
-
-
-
-Christ's Glory and the Prophetic Word
-
-
-16For we did not follow cleverly devised myths when we made known to you the power and coming of our Lord Jesus Christ, but we were eyewitnesses of his majesty. 17For when he received honor and glory from God the Father, and the voice was borne to him by the Majestic Glory, “This is my beloved Son,[9] with whom I am well pleased,” 18we ourselves heard this very voice borne from heaven, for we were with him on the holy mountain. 19And we have something more sure, the prophetic word, to which you will do well to pay attention as to a lamp shining in a dark place, until the day dawns and the morning star rises in your hearts, 20knowing this first of all, that no prophecy of Scripture comes from someone's own interpretation. 21For no prophecy was ever produced by the will of man, but men spoke from God as they were carried along by the Holy Spirit.
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-
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-
-False Prophets and Teachers
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-
-2:1 But false prophets also arose among the people, just as there will be false teachers among you, who will secretly bring in destructive heresies, even denying the Master who bought them, bringing upon themselves swift destruction. 2And many will follow their sensuality, and because of them the way of truth will be blasphemed. 3And in their greed they will exploit you with false words. Their condemnation from long ago is not idle, and their destruction is not asleep.
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-4For if God did not spare angels when they sinned, but cast them into hell[10] and committed them to chains[11] of gloomy darkness to be kept until the judgment; 5if he did not spare the ancient world, but preserved Noah, a herald of righteousness, with seven others, when he brought a flood upon the world of the ungodly; 6if by turning the cities of Sodom and Gomorrah to ashes he condemned them to extinction, making them an example of what is going to happen to the ungodly;[12] 7and if he rescued righteous Lot, greatly distressed by the sensual conduct of the wicked 8(for as that righteous man lived among them day after day, he was tormenting his righteous soul over their lawless deeds that he saw and heard); 9then the Lord knows how to rescue the godly from trials,[13] and to keep the unrighteous under punishment until the day of judgment, 10and especially those who indulge in the lust of defiling passion and despise authority.
-
-Bold and willful, they do not tremble as they blaspheme the glorious ones, 11whereas angels, though greater in might and power, do not pronounce a blasphemous judgment against them before the Lord. 12But these, like irrational animals, creatures of instinct, born to be caught and destroyed, blaspheming about matters of which they are ignorant, will also be destroyed in their destruction, 13suffering wrong as the wage for their wrongdoing. They count it pleasure to revel in the daytime. They are blots and blemishes, reveling in their deceptions,[14] while they feast with you. 14They have eyes full of adultery, insatiable for sin. They entice unsteady souls. They have hearts trained in greed. Accursed children! 15Forsaking the right way, they have gone astray. They have followed the way of Balaam, the son of Beor, who loved gain from wrongdoing, 16but was rebuked for his own transgression; a speechless donkey spoke with human voice and restrained the prophet's madness.
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-17These are waterless springs and mists driven by a storm. For them the gloom of utter darkness has been reserved. 18For, speaking loud boasts of folly, they entice by sensual passions of the flesh those who are barely escaping from those who live in error. 19They promise them freedom, but they themselves are slaves[15] of corruption. For whatever overcomes a person, to that he is enslaved. 20For if, after they have escaped the defilements of the world through the knowledge of our Lord and Savior Jesus Christ, they are again entangled in them and overcome, the last state has become worse for them than the first. 21For it would have been better for them never to have known the way of righteousness than after knowing it to turn back from the holy commandment delivered to them. 22What the true proverb says has happened to them: “The dog returns to its own vomit, and the sow, after washing herself, returns to wallow in the mire.”
-
-
-
-
-
-The Day of the Lord Will Come
-
-
-3:1 This is now the second letter that I am writing to you, beloved. In both of them I am stirring up your sincere mind by way of reminder, 2that you should remember the predictions of the holy prophets and the commandment of the Lord and Savior through your apostles, 3knowing this first of all, that scoffers will come in the last days with scoffing, following their own sinful desires. 4They will say, “Where is the promise of his coming? For ever since the fathers fell asleep, all things are continuing as they were from the beginning of creation.” 5For they deliberately overlook this fact, that the heavens existed long ago, and the earth was formed out of water and through water by the word of God, 6and that by means of these the world that then existed was deluged with water and perished. 7But by the same word the heavens and earth that now exist are stored up for fire, being kept until the day of judgment and destruction of the ungodly.
-
-8But do not overlook this one fact, beloved, that with the Lord one day is as a thousand years, and a thousand years as one day. 9The Lord is not slow to fulfill his promise as some count slowness, but is patient toward you,[16] not wishing that any should perish, but that all should reach repentance. 10But the day of the Lord will come like a thief, and then the heavens will pass away with a roar, and the heavenly bodies[17] will be burned up and dissolved, and the earth and the works that are done on it will be exposed.[18]
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-11Since all these things are thus to be dissolved, what sort of people ought you to be in lives of holiness and godliness, 12waiting for and hastening the coming of the day of God, because of which the heavens will be set on fire and dissolved, and the heavenly bodies will melt as they burn! 13But according to his promise we are waiting for new heavens and a new earth in which righteousness dwells.
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-
-
-
-
-Final Words
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-
-14Therefore, beloved, since you are waiting for these, be diligent to be found by him without spot or blemish, and at peace. 15And count the patience of our Lord as salvation, just as our beloved brother Paul also wrote to you according to the wisdom given him, 16as he does in all his letters when he speaks in them of these matters. There are some things in them that are hard to understand, which the ignorant and unstable twist to their own destruction, as they do the other Scriptures. 17You therefore, beloved, knowing this beforehand, take care that you are not carried away with the error of lawless people and lose your own stability. 18But grow in the grace and knowledge of our Lord and Savior Jesus Christ. To him be the glory both now and to the day of eternity. Amen.
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-
-
-
-
-Footnotes
-
-
-[1] 1:1 Some manuscripts Simon
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-[2] 1:1 Or slave; Greek bondservant
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-[3] 1:3 Or by
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-[4] 1:3 Or virtue
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-[5] 1:5 Or excellence; twice in this verse
-
-[6] 1:8 Greek these things; also verses 9, 10, 12
-
-[7] 1:10 Or brothers and sisters. The plural Greek word adelphoi (translated “brothers”) refers to siblings in a family. In New Testament usage, depending on the context, adelphoi may refer either to men or to both men and women who are siblings (brothers and sisters) in God's family, the church
-
-[8] 1:13 Greek tent; also verse 14
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-[9] 1:17 Or my Son, my (or the) Beloved
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-[10] 2:4 Greek Tartarus
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-[11] 2:4 Some manuscripts pits
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-[12] 2:6 Some manuscripts an example to those who were to be ungodly
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-[13] 2:9 Or temptations
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-[14] 2:13 Some manuscripts love feasts
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-[15] 2:19 Greek bondservants
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-[16] 3:9 Some manuscripts on your account
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-[17] 3:10 Or elements; also verse 12
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-[18] 3:10 Greek found; some manuscripts will be burned up
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-
-
-
-
-1 JOHN
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-
-Chapter 1
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-Chapter 2
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-Chapter 3
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-Chapter 4
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-Chapter 5
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-
-
-
-
-The Word of Life
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-
-1:1 That which was from the beginning, which we have heard, which we have seen with our eyes, which we looked upon and have touched with our hands, concerning the word of life— 2the life was made manifest, and we have seen it, and testify to it and proclaim to you the eternal life, which was with the Father and was made manifest to us— 3that which we have seen and heard we proclaim also to you, so that you too may have fellowship with us; and indeed our fellowship is with the Father and with his Son Jesus Christ. 4And we are writing these things so that our[1] joy may be complete.
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-
-
-
-
-Walking in the Light
-
-
-5This is the message we have heard from him and proclaim to you, that God is light, and in him is no darkness at all. 6If we say we have fellowship with him while we walk in darkness, we lie and do not practice the truth. 7But if we walk in the light, as he is in the light, we have fellowship with one another, and the blood of Jesus his Son cleanses us from all sin. 8If we say we have no sin, we deceive ourselves, and the truth is not in us. 9If we confess our sins, he is faithful and just to forgive us our sins and to cleanse us from all unrighteousness. 10If we say we have not sinned, we make him a liar, and his word is not in us.
-
-
-
-
-
-Christ Our Advocate
-
-
-2:1 My little children, I am writing these things to you so that you may not sin. But if anyone does sin, we have an advocate with the Father, Jesus Christ the righteous. 2He is the propitiation for our sins, and not for ours only but also for the sins of the whole world. 3And by this we know that we have come to know him, if we keep his commandments. 4Whoever says “I know him” but does not keep his commandments is a liar, and the truth is not in him, 5but whoever keeps his word, in him truly the love of God is perfected. By this we may know that we are in him: 6whoever says he abides in him ought to walk in the same way in which he walked.
-
-
-
-
-
-The New Commandment
-
-
-7Beloved, I am writing you no new commandment, but an old commandment that you had from the beginning. The old commandment is the word that you have heard. 8At the same time, it is a new commandment that I am writing to you, which is true in him and in you, because[2] the darkness is passing away and the true light is already shining. 9Whoever says he is in the light and hates his brother is still in darkness. 10Whoever loves his brother abides in the light, and in him[3] there is no cause for stumbling. 11But whoever hates his brother is in the darkness and walks in the darkness, and does not know where he is going, because the darkness has blinded his eyes.
-
-12I am writing to you, little children,
-
-because your sins are forgiven for his name's sake.
-
-13I am writing to you, fathers,
-
-because you know him who is from the beginning.
-
-I am writing to you, young men,
-
-because you have overcome the evil one.
-
-I write to you, children,
-
-because you know the Father.
-
-14I write to you, fathers,
-
-because you know him who is from the beginning.
-
-I write to you, young men,
-
-because you are strong,
-
-and the word of God abides in you,
-
-and you have overcome the evil one.
-
-
-
-
-
-Do Not Love the World
-
-
-15Do not love the world or the things in the world. If anyone loves the world, the love of the Father is not in him. 16For all that is in the world—the desires of the flesh and the desires of the eyes and pride in possessions—is not from the Father but is from the world. 17And the world is passing away along with its desires, but whoever does the will of God abides forever.
-
-
-
-
-
-Warning Concerning Antichrists
-
-
-18Children, it is the last hour, and as you have heard that antichrist is coming, so now many antichrists have come. Therefore we know that it is the last hour. 19They went out from us, but they were not of us; for if they had been of us, they would have continued with us. But they went out, that it might become plain that they all are not of us. 20But you have been anointed by the Holy One, and you all have knowledge.[4] 21I write to you, not because you do not know the truth, but because you know it, and because no lie is of the truth. 22Who is the liar but he who denies that Jesus is the Christ? This is the antichrist, he who denies the Father and the Son. 23No one who denies the Son has the Father. Whoever confesses the Son has the Father also. 24Let what you heard from the beginning abide in you. If what you heard from the beginning abides in you, then you too will abide in the Son and in the Father. 25And this is the promise that he made to us[5]—eternal life.
-
-26I write these things to you about those who are trying to deceive you. 27But the anointing that you received from him abides in you, and you have no need that anyone should teach you. But as his anointing teaches you about everything, and is true, and is no lie—just as it has taught you, abide in him.
-
-
-
-
-
-Children of God
-
-
-28And now, little children, abide in him, so that when he appears we may have confidence and not shrink from him in shame at his coming. 29If you know that he is righteous, you may be sure that everyone who practices righteousness has been born of him.
-
-
-
-
-
-3:1 See what kind of love the Father has given to us, that we should be called children of God; and so we are. The reason why the world does not know us is that it did not know him. 2Beloved, we are God's children now, and what we will be has not yet appeared; but we know that when he appears[6] we shall be like him, because we shall see him as he is. 3And everyone who thus hopes in him purifies himself as he is pure.
-
-4Everyone who makes a practice of sinning also practices lawlessness; sin is lawlessness. 5You know that he appeared to take away sins, and in him there is no sin. 6No one who abides in him keeps on sinning; no one who keeps on sinning has either seen him or known him. 7Little children, let no one deceive you. Whoever practices righteousness is righteous, as he is righteous. 8Whoever makes a practice of sinning is of the devil, for the devil has been sinning from the beginning. The reason the Son of God appeared was to destroy the works of the devil. 9No one born of God makes a practice of sinning, for God's[7] seed abides in him, and he cannot keep on sinning because he has been born of God. 10By this it is evident who are the children of God, and who are the children of the devil: whoever does not practice righteousness is not of God, nor is the one who does not love his brother.
-
-
-
-
-
-Love One Another
-
-
-11For this is the message that you have heard from the beginning, that we should love one another. 12We should not be like Cain, who was of the evil one and murdered his brother. And why did he murder him? Because his own deeds were evil and his brother's righteous. 13Do not be surprised, brothers,[8] that the world hates you. 14We know that we have passed out of death into life, because we love the brothers. Whoever does not love abides in death. 15Everyone who hates his brother is a murderer, and you know that no murderer has eternal life abiding in him.
-
-16By this we know love, that he laid down his life for us, and we ought to lay down our lives for the brothers. 17But if anyone has the world's goods and sees his brother in need, yet closes his heart against him, how does God's love abide in him? 18Little children, let us not love in word or talk but in deed and in truth.
-
-19By this we shall know that we are of the truth and reassure our heart before him; 20for whenever our heart condemns us, God is greater than our heart, and he knows everything. 21Beloved, if our heart does not condemn us, we have confidence before God; 22and whatever we ask we receive from him, because we keep his commandments and do what pleases him. 23And this is his commandment, that we believe in the name of his Son Jesus Christ and love one another, just as he has commanded us. 24Whoever keeps his commandments abides in God,[9] and God[10] in him. And by this we know that he abides in us, by the Spirit whom he has given us.
-
-
-
-
-
-Test the Spirits
-
-
-4:1 Beloved, do not believe every spirit, but test the spirits to see whether they are from God, for many false prophets have gone out into the world. 2By this you know the Spirit of God: every spirit that confesses that Jesus Christ has come in the flesh is from God, 3and every spirit that does not confess Jesus is not from God. This is the spirit of the antichrist, which you heard was coming and now is in the world already. 4Little children, you are from God and have overcome them, for he who is in you is greater than he who is in the world. 5They are from the world; therefore they speak from the world, and the world listens to them. 6We are from God. Whoever knows God listens to us; whoever is not from God does not listen to us. By this we know the Spirit of truth and the spirit of error.
-
-
-
-
-
-God Is Love
-
-
-7Beloved, let us love one another, for love is from God, and whoever loves has been born of God and knows God. 8Anyone who does not love does not know God, because God is love. 9In this the love of God was made manifest among us, that God sent his only Son into the world, so that we might live through him. 10In this is love, not that we have loved God but that he loved us and sent his Son to be the propitiation for our sins. 11Beloved, if God so loved us, we also ought to love one another. 12No one has ever seen God; if we love one another, God abides in us and his love is perfected in us.
-
-13By this we know that we abide in him and he in us, because he has given us of his Spirit. 14And we have seen and testify that the Father has sent his Son to be the Savior of the world. 15Whoever confesses that Jesus is the Son of God, God abides in him, and he in God. 16So we have come to know and to believe the love that God has for us. God is love, and whoever abides in love abides in God, and God abides in him. 17By this is love perfected with us, so that we may have confidence for the day of judgment, because as he is so also are we in this world. 18There is no fear in love, but perfect love casts out fear. For fear has to do with punishment, and whoever fears has not been perfected in love. 19We love because he first loved us. 20If anyone says, “I love God,” and hates his brother, he is a liar; for he who does not love his brother whom he has seen cannot[11] love God whom he has not seen. 21And this commandment we have from him: whoever loves God must also love his brother.
-
-
-
-
-
-Overcoming the World
-
-
-5:1 Everyone who believes that Jesus is the Christ has been born of God, and everyone who loves the Father loves whoever has been born of him. 2By this we know that we love the children of God, when we love God and obey his commandments. 3For this is the love of God, that we keep his commandments. And his commandments are not burdensome. 4For everyone who has been born of God overcomes the world. And this is the victory that has overcome the world—our faith. 5Who is it that overcomes the world except the one who believes that Jesus is the Son of God?
-
-
-
-
-
-Testimony Concerning the Son of God
-
-
-6This is he who came by water and blood—Jesus Christ; not by the water only but by the water and the blood. And the Spirit is the one who testifies, because the Spirit is the truth. 7For there are three that testify: 8the Spirit and the water and the blood; and these three agree. 9If we receive the testimony of men, the testimony of God is greater, for this is the testimony of God that he has borne concerning his Son. 10Whoever believes in the Son of God has the testimony in himself. Whoever does not believe God has made him a liar, because he has not believed in the testimony that God has borne concerning his Son. 11And this is the testimony, that God gave us eternal life, and this life is in his Son. 12Whoever has the Son has life; whoever does not have the Son of God does not have life.
-
-
-
-
-
-That You May Know
-
-
-13I write these things to you who believe in the name of the Son of God that you may know that you have eternal life. 14And this is the confidence that we have toward him, that if we ask anything according to his will he hears us. 15And if we know that he hears us in whatever we ask, we know that we have the requests that we have asked of him.
-
-16If anyone sees his brother committing a sin not leading to death, he shall ask, and God[12] will give him life—to those who commit sins that do not lead to death. There is sin that leads to death; I do not say that one should pray for that. 17All wrongdoing is sin, but there is sin that does not lead to death.
-
-18We know that everyone who has been born of God does not keep on sinning, but he who was born of God protects him, and the evil one does not touch him.
-
-19We know that we are from God, and the whole world lies in the power of the evil one.
-
-20And we know that the Son of God has come and has given us understanding, so that we may know him who is true; and we are in him who is true, in his Son Jesus Christ. He is the true God and eternal life. 21Little children, keep yourselves from idols.
-
-
-
-
-
-Footnotes
-
-
-[1] 1:4 Some manuscripts your
-
-[2] 2:8 Or that
-
-[3] 2:10 Or it
-
-[4] 2:20 Some manuscripts you know everything
-
-[5] 2:25 Some manuscripts you
-
-[6] 3:2 Or when it appears
-
-[7] 3:9 Greek his
-
-[8] 3:13 Or brothers and sisters. The plural Greek word adelphoi (translated “brothers”) refers to siblings in a family. In New Testament usage, depending on the context, adelphoi may refer either to men or to both men and women who are siblings (brothers and sisters) in God's family, the church; also verses 14, 16
-
-[9] 3:24 Greek him
-
-[10] 3:24 Greek he
-
-[11] 4:20 Some manuscripts how can he
-
-[12] 5:16 Greek he
-
-
-
-
-
-2 JOHN
-
-
-Greeting
-
-
-1 The elder to the elect lady and her children, whom I love in truth, and not only I, but also all who know the truth, 2because of the truth that abides in us and will be with us forever:
-
-3Grace, mercy, and peace will be with us, from God the Father and from Jesus Christ the Father's Son, in truth and love.
-
-
-
-
-
-Walking in Truth and Love
-
-
-4I rejoiced greatly to find some of your children walking in the truth, just as we were commanded by the Father. 5And now I ask you, dear lady—not as though I were writing you a new commandment, but the one we have had from the beginning—that we love one another. 6And this is love, that we walk according to his commandments; this is the commandment, just as you have heard from the beginning, so that you should walk in it. 7For many deceivers have gone out into the world, those who do not confess the coming of Jesus Christ in the flesh. Such a one is the deceiver and the antichrist. 8Watch yourselves, so that you may not lose what we[1] have worked for, but may win a full reward. 9Everyone who goes on ahead and does not abide in the teaching of Christ, does not have God. Whoever abides in the teaching has both the Father and the Son. 10If anyone comes to you and does not bring this teaching, do not receive him into your house or give him any greeting, 11for whoever greets him takes part in his wicked works.
-
-
-
-
-
-Final Greetings
-
-
-12Though I have much to write to you, I would rather not use paper and ink. Instead I hope to come to you and talk face to face, so that our joy may be complete.
-
-13The children of your elect sister greet you.
-
-
-
-
-
-Footnotes
-
-
-[1] 1:8 Some manuscripts you
-
-
-
-
-
-3 JOHN
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-Greeting
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-1 The elder to the beloved Gaius, whom I love in truth.
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-2Beloved, I pray that all may go well with you and that you may be in good health, as it goes well with your soul. 3For I rejoiced greatly when the brothers[1] came and testified to your truth, as indeed you are walking in the truth. 4I have no greater joy than to hear that my children are walking in the truth.
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-Support and Opposition
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-5Beloved, it is a faithful thing you do in all your efforts for these brothers, strangers as they are, 6who testified to your love before the church. You will do well to send them on their journey in a manner worthy of God. 7For they have gone out for the sake of the name, accepting nothing from the Gentiles. 8Therefore we ought to support people like these, that we may be fellow workers for the truth.
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-9I have written something to the church, but Diotrephes, who likes to put himself first, does not acknowledge our authority. 10So if I come, I will bring up what he is doing, talking wicked nonsense against us. And not content with that, he refuses to welcome the brothers, and also stops those who want to and puts them out of the church.
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-11Beloved, do not imitate evil but imitate good. Whoever does good is from God; whoever does evil has not seen God. 12Demetrius has received a good testimony from everyone, and from the truth itself. We also add our testimony, and you know that our testimony is true.
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-Final Greetings
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-13I had much to write to you, but I would rather not write with pen and ink. 14I hope to see you soon, and we will talk face to face.
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-15Peace be to you. The friends greet you. Greet the friends, every one of them.
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-Footnotes
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-[1] 1:3 Or brothers and sisters. The plural Greek word adelphoi (translated “brothers”) refers to siblings in a family. In New Testament usage, depending on the context, adelphoi may refer either to men or to both men and women who are siblings (brothers and sisters) in God's family, the church; also verses 5, 10
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-JUDE
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-Greeting
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-1 Jude, a servant[1] of Jesus Christ and brother of James,
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-To those who are called, beloved in God the Father and kept for[2] Jesus Christ:
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-2May mercy, peace, and love be multiplied to you.
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-Judgment on False Teachers
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-3Beloved, although I was very eager to write to you about our common salvation, I found it necessary to write appealing to you to contend for the faith that was once for all delivered to the saints. 4For certain people have crept in unnoticed who long ago were designated for this condemnation, ungodly people, who pervert the grace of our God into sensuality and deny our only Master and Lord, Jesus Christ.
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-5Now I want to remind you, although you once fully knew it, that Jesus, who saved[3] a people out of the land of Egypt, afterward destroyed those who did not believe. 6And the angels who did not stay within their own position of authority, but left their proper dwelling, he has kept in eternal chains under gloomy darkness until the judgment of the great day— 7just as Sodom and Gomorrah and the surrounding cities, which likewise indulged in sexual immorality and pursued unnatural desire,[4] serve as an example by undergoing a punishment of eternal fire.
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-8Yet in like manner these people also, relying on their dreams, defile the flesh, reject authority, and blaspheme the glorious ones. 9But when the archangel Michael, contending with the devil, was disputing about the body of Moses, he did not presume to pronounce a blasphemous judgment, but said, “The Lord rebuke you.” 10But these people blaspheme all that they do not understand, and they are destroyed by all that they, like unreasoning animals, understand instinctively. 11Woe to them! For they walked in the way of Cain and abandoned themselves for the sake of gain to Balaam's error and perished in Korah's rebellion. 12These are hidden reefs[5] at your love feasts, as they feast with you without fear, shepherds feeding themselves; waterless clouds, swept along by winds; fruitless trees in late autumn, twice dead, uprooted; 13wild waves of the sea, casting up the foam of their own shame; wandering stars, for whom the gloom of utter darkness has been reserved forever.
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-14It was also about these that Enoch, the seventh from Adam, prophesied, saying, “Behold, the Lord comes with ten thousands of his holy ones, 15to execute judgment on all and to convict all the ungodly of all their deeds of ungodliness that they have committed in such an ungodly way, and of all the harsh things that ungodly sinners have spoken against him.” 16These are grumblers, malcontents, following their own sinful desires; they are loud-mouthed boasters, showing favoritism to gain advantage.
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-A Call to Persevere
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-17But you must remember, beloved, the predictions of the apostles of our Lord Jesus Christ. 18They[6] said to you, “In the last time there will be scoffers, following their own ungodly passions.” 19It is these who cause divisions, worldly people, devoid of the Spirit. 20But you, beloved, building yourselves up in your most holy faith and praying in the Holy Spirit, 21keep yourselves in the love of God, waiting for the mercy of our Lord Jesus Christ that leads to eternal life. 22And have mercy on those who doubt; 23save others by snatching them out of the fire; to others show mercy with fear, hating even the garment[7] stained by the flesh.
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-Doxology
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-24Now to him who is able to keep you from stumbling and to present you blameless before the presence of his glory with great joy, 25to the only God, our Savior, through Jesus Christ our Lord, be glory, majesty, dominion, and authority, before all time and now and forever. Amen.
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-Footnotes
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-[1] 1:1 Or slave; Greek bondservant
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-[2] 1:1 Or by
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-[3] 1:5 Some manuscripts although you fully knew it, that the Lord who once saved
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-[4] 1:7 Greek other flesh
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-[5] 1:12 Or are blemishes
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-[6] 1:18 Or Christ, because they
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-[7] 1:23 Greek chiton, a long garment worn under the cloak next to the skin
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-REVELATION
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-Chapter 1
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-Chapter 2
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-Chapter 3
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-Chapter 4
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-Chapter 5
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-Chapter 6
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-Chapter 7
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-Chapter 8
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-Chapter 9
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-Chapter 10
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-Chapter 11
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-Chapter 12
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-Chapter 13
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-Chapter 14
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-Chapter 15
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-Chapter 16
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-Chapter 17
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-Chapter 18
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-Chapter 19
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-Chapter 20
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-Chapter 21
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-Chapter 22
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-Prologue
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-1:1 The revelation of Jesus Christ, which God gave him to show to his servants[1] the things that must soon take place. He made it known by sending his angel to his servant[2] John, 2who bore witness to the word of God and to the testimony of Jesus Christ, even to all that he saw. 3Blessed is the one who reads aloud the words of this prophecy, and blessed are those who hear, and who keep what is written in it, for the time is near.
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-Greeting to the Seven Churches
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-4John to the seven churches that are in Asia:
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-Grace to you and peace from him who is and who was and who is to come, and from the seven spirits who are before his throne, 5and from Jesus Christ the faithful witness, the firstborn of the dead, and the ruler of kings on earth.
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-To him who loves us and has freed us from our sins by his blood 6and made us a kingdom, priests to his God and Father, to him be glory and dominion forever and ever. Amen. 7Behold, he is coming with the clouds, and every eye will see him, even those who pierced him, and all tribes of the earth will wail[3] on account of him. Even so. Amen.
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-8“I am the Alpha and the Omega,” says the Lord God, “who is and who was and who is to come, the Almighty.”
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-Vision of the Son of Man
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-9I, John, your brother and partner in the tribulation and the kingdom and the patient endurance that are in Jesus, was on the island called Patmos on account of the word of God and the testimony of Jesus. 10I was in the Spirit on the Lord's day, and I heard behind me a loud voice like a trumpet 11saying, “Write what you see in a book and send it to the seven churches, to Ephesus and to Smyrna and to Pergamum and to Thyatira and to Sardis and to Philadelphia and to Laodicea.”
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-12Then I turned to see the voice that was speaking to me, and on turning I saw seven golden lampstands, 13and in the midst of the lampstands one like a son of man, clothed with a long robe and with a golden sash around his chest. 14The hairs of his head were white, like white wool, like snow. His eyes were like a flame of fire, 15his feet were like burnished bronze, refined in a furnace, and his voice was like the roar of many waters. 16In his right hand he held seven stars, from his mouth came a sharp two-edged sword, and his face was like the sun shining in full strength.
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-17When I saw him, I fell at his feet as though dead. But he laid his right hand on me, saying, “Fear not, I am the first and the last, 18and the living one. I died, and behold I am alive forevermore, and I have the keys of Death and Hades. 19Write therefore the things that you have seen, those that are and those that are to take place after this. 20As for the mystery of the seven stars that you saw in my right hand, and the seven golden lampstands, the seven stars are the angels of the seven churches, and the seven lampstands are the seven churches.
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-To the Church in Ephesus
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-2:1 “To the angel of the church in Ephesus write: ‘The words of him who holds the seven stars in his right hand, who walks among the seven golden lampstands.
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-2“‘I know your works, your toil and your patient endurance, and how you cannot bear with those who are evil, but have tested those who call themselves apostles and are not, and found them to be false. 3I know you are enduring patiently and bearing up for my name's sake, and you have not grown weary. 4But I have this against you, that you have abandoned the love you had at first. 5Remember therefore from where you have fallen; repent, and do the works you did at first. If not, I will come to you and remove your lampstand from its place, unless you repent. 6Yet this you have: you hate the works of the Nicolaitans, which I also hate. 7He who has an ear, let him hear what the Spirit says to the churches. To the one who conquers I will grant to eat of the tree of life, which is in the paradise of God.’
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-To the Church in Smyrna
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-8“And to the angel of the church in Smyrna write: ‘The words of the first and the last, who died and came to life.
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-9“‘I know your tribulation and your poverty (but you are rich) and the slander[4] of those who say that they are Jews and are not, but are a synagogue of Satan. 10Do not fear what you are about to suffer. Behold, the devil is about to throw some of you into prison, that you may be tested, and for ten days you will have tribulation. Be faithful unto death, and I will give you the crown of life. 11He who has an ear, let him hear what the Spirit says to the churches. The one who conquers will not be hurt by the second death.’
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-To the Church in Pergamum
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-12“And to the angel of the church in Pergamum write: ‘The words of him who has the sharp two-edged sword.
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-13“‘I know where you dwell, where Satan's throne is. Yet you hold fast my name, and you did not deny my faith[5] even in the days of Antipas my faithful witness, who was killed among you, where Satan dwells. 14But I have a few things against you: you have some there who hold the teaching of Balaam, who taught Balak to put a stumbling block before the sons of Israel, so that they might eat food sacrificed to idols and practice sexual immorality. 15So also you have some who hold the teaching of the Nicolaitans. 16Therefore repent. If not, I will come to you soon and war against them with the sword of my mouth. 17He who has an ear, let him hear what the Spirit says to the churches. To the one who conquers I will give some of the hidden manna, and I will give him a white stone, with a new name written on the stone that no one knows except the one who receives it.’
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-To the Church in Thyatira
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-18“And to the angel of the church in Thyatira write: ‘The words of the Son of God, who has eyes like a flame of fire, and whose feet are like burnished bronze.
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-19“‘I know your works, your love and faith and service and patient endurance, and that your latter works exceed the first. 20But I have this against you, that you tolerate that woman Jezebel, who calls herself a prophetess and is teaching and seducing my servants[6] to practice sexual immorality and to eat food sacrificed to idols. 21I gave her time to repent, but she refuses to repent of her sexual immorality. 22Behold, I will throw her onto a sickbed, and those who commit adultery with her I will throw into great tribulation, unless they repent of her works, 23and I will strike her children dead. And all the churches will know that I am he who searches mind and heart, and I will give to each of you according to your works. 24But to the rest of you in Thyatira, who do not hold this teaching, who have not learned what some call the deep things of Satan, to you I say, I do not lay on you any other burden. 25Only hold fast what you have until I come. 26The one who conquers and who keeps my works until the end, to him I will give authority over the nations, 27and he will rule them with a rod of iron, as when earthen pots are broken in pieces, even as I myself have received authority from my Father. 28And I will give him the morning star. 29He who has an ear, let him hear what the Spirit says to the churches.’
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-To the Church in Sardis
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-3:1 “And to the angel of the church in Sardis write: ‘The words of him who has the seven spirits of God and the seven stars.
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-“‘I know your works. You have the reputation of being alive, but you are dead. 2Wake up, and strengthen what remains and is about to die, for I have not found your works complete in the sight of my God. 3Remember, then, what you received and heard. Keep it, and repent. If you will not wake up, I will come like a thief, and you will not know at what hour I will come against you. 4Yet you have still a few names in Sardis, people who have not soiled their garments, and they will walk with me in white, for they are worthy. 5The one who conquers will be clothed thus in white garments, and I will never blot his name out of the book of life. I will confess his name before my Father and before his angels. 6He who has an ear, let him hear what the Spirit says to the churches.’
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-To the Church in Philadelphia
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-7“And to the angel of the church in Philadelphia write: ‘The words of the holy one, the true one, who has the key of David, who opens and no one will shut, who shuts and no one opens.
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-8“‘I know your works. Behold, I have set before you an open door, which no one is able to shut. I know that you have but little power, and yet you have kept my word and have not denied my name. 9Behold, I will make those of the synagogue of Satan who say that they are Jews and are not, but lie—behold, I will make them come and bow down before your feet and they will learn that I have loved you. 10Because you have kept my word about patient endurance, I will keep you from the hour of trial that is coming on the whole world, to try those who dwell on the earth. 11I am coming soon. Hold fast what you have, so that no one may seize your crown. 12The one who conquers, I will make him a pillar in the temple of my God. Never shall he go out of it, and I will write on him the name of my God, and the name of the city of my God, the new Jerusalem, which comes down from my God out of heaven, and my own new name. 13He who has an ear, let him hear what the Spirit says to the churches.’
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-To the Church in Laodicea
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-14“And to the angel of the church in Laodicea write: ‘The words of the Amen, the faithful and true witness, the beginning of God's creation.
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-15“‘I know your works: you are neither cold nor hot. Would that you were either cold or hot! 16So, because you are lukewarm, and neither hot nor cold, I will spit you out of my mouth. 17For you say, I am rich, I have prospered, and I need nothing, not realizing that you are wretched, pitiable, poor, blind, and naked. 18I counsel you to buy from me gold refined by fire, so that you may be rich, and white garments so that you may clothe yourself and the shame of your nakedness may not be seen, and salve to anoint your eyes, so that you may see. 19Those whom I love, I reprove and discipline, so be zealous and repent. 20Behold, I stand at the door and knock. If anyone hears my voice and opens the door, I will come in to him and eat with him, and he with me. 21The one who conquers, I will grant him to sit with me on my throne, as I also conquered and sat down with my Father on his throne. 22He who has an ear, let him hear what the Spirit says to the churches.’”
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-The Throne in Heaven
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-4:1 After this I looked, and behold, a door standing open in heaven! And the first voice, which I had heard speaking to me like a trumpet, said, “Come up here, and I will show you what must take place after this.” 2At once I was in the Spirit, and behold, a throne stood in heaven, with one seated on the throne. 3And he who sat there had the appearance of jasper and carnelian, and around the throne was a rainbow that had the appearance of an emerald. 4Around the throne were twenty-four thrones, and seated on the thrones were twenty-four elders, clothed in white garments, with golden crowns on their heads. 5From the throne came flashes of lightning, and rumblings[7] and peals of thunder, and before the throne were burning seven torches of fire, which are the seven spirits of God, 6and before the throne there was as it were a sea of glass, like crystal.
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-And around the throne, on each side of the throne, are four living creatures, full of eyes in front and behind: 7the first living creature like a lion, the second living creature like an ox, the third living creature with the face of a man, and the fourth living creature like an eagle in flight. 8And the four living creatures, each of them with six wings, are full of eyes all around and within, and day and night they never cease to say,
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-“Holy, holy, holy, is the Lord God Almighty,
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-who was and is and is to come!”
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-9And whenever the living creatures give glory and honor and thanks to him who is seated on the throne, who lives forever and ever, 10the twenty-four elders fall down before him who is seated on the throne and worship him who lives forever and ever. They cast their crowns before the throne, saying,
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-11“Worthy are you, our Lord and God,
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-to receive glory and honor and power,
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-for you created all things,
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-and by your will they existed and were created.”
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-The Scroll and the Lamb
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-5:1 Then I saw in the right hand of him who was seated on the throne a scroll written within and on the back, sealed with seven seals. 2And I saw a strong angel proclaiming with a loud voice, “Who is worthy to open the scroll and break its seals?” 3And no one in heaven or on earth or under the earth was able to open the scroll or to look into it, 4and I began to weep loudly because no one was found worthy to open the scroll or to look into it. 5And one of the elders said to me, “Weep no more; behold, the Lion of the tribe of Judah, the Root of David, has conquered, so that he can open the scroll and its seven seals.”
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-6And between the throne and the four living creatures and among the elders I saw a Lamb standing, as though it had been slain, with seven horns and with seven eyes, which are the seven spirits of God sent out into all the earth. 7And he went and took the scroll from the right hand of him who was seated on the throne. 8And when he had taken the scroll, the four living creatures and the twenty-four elders fell down before the Lamb, each holding a harp, and golden bowls full of incense, which are the prayers of the saints. 9And they sang a new song, saying,
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-“Worthy are you to take the scroll
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-and to open its seals,
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-for you were slain, and by your blood you ransomed people for God
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-from every tribe and language and people and nation,
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-10and you have made them a kingdom and priests to our God,
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-and they shall reign on the earth.”
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-11Then I looked, and I heard around the throne and the living creatures and the elders the voice of many angels, numbering myriads of myriads and thousands of thousands, 12saying with a loud voice, “Worthy is the Lamb who was slain, to receive power and wealth and wisdom and might and honor and glory and blessing!” 13And I heard every creature in heaven and on earth and under the earth and in the sea, and all that is in them, saying, “To him who sits on the throne and to the Lamb be blessing and honor and glory and might forever and ever!” 14And the four living creatures said, “Amen!” and the elders fell down and worshiped.
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-The Seven Seals
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-6:1 Now I watched when the Lamb opened one of the seven seals, and I heard one of the four living creatures say with a voice like thunder, “Come!” 2And I looked, and behold, a white horse! And its rider had a bow, and a crown was given to him, and he came out conquering, and to conquer.
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-3When he opened the second seal, I heard the second living creature say, “Come!” 4And out came another horse, bright red. Its rider was permitted to take peace from the earth, so that people should slay one another, and he was given a great sword.
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-5When he opened the third seal, I heard the third living creature say, “Come!” And I looked, and behold, a black horse! And its rider had a pair of scales in his hand. 6And I heard what seemed to be a voice in the midst of the four living creatures, saying, “A quart[8] of wheat for a denarius,[9] and three quarts of barley for a denarius, and do not harm the oil and wine!”
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-7When he opened the fourth seal, I heard the voice of the fourth living creature say, “Come!” 8And I looked, and behold, a pale horse! And its rider's name was Death, and Hades followed him. And they were given authority over a fourth of the earth, to kill with sword and with famine and with pestilence and by wild beasts of the earth.
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-9When he opened the fifth seal, I saw under the altar the souls of those who had been slain for the word of God and for the witness they had borne. 10They cried out with a loud voice, “O Sovereign Lord, holy and true, how long before you will judge and avenge our blood on those who dwell on the earth?” 11Then they were each given a white robe and told to rest a little longer, until the number of their fellow servants[10] and their brothers[11] should be complete, who were to be killed as they themselves had been.
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-12When he opened the sixth seal, I looked, and behold, there was a great earthquake, and the sun became black as sackcloth, the full moon became like blood, 13and the stars of the sky fell to the earth as the fig tree sheds its winter fruit when shaken by a gale. 14The sky vanished like a scroll that is being rolled up, and every mountain and island was removed from its place. 15Then the kings of the earth and the great ones and the generals and the rich and the powerful, and everyone, slave[12] and free, hid themselves in the caves and among the rocks of the mountains, 16calling to the mountains and rocks, “Fall on us and hide us from the face of him who is seated on the throne, and from the wrath of the Lamb, 17for the great day of their wrath has come, and who can stand?”
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-The 144,000 of Israel Sealed
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-7:1 After this I saw four angels standing at the four corners of the earth, holding back the four winds of the earth, that no wind might blow on earth or sea or against any tree. 2Then I saw another angel ascending from the rising of the sun, with the seal of the living God, and he called with a loud voice to the four angels who had been given power to harm earth and sea, 3saying, “Do not harm the earth or the sea or the trees, until we have sealed the servants[13] of our God on their foreheads.” 4And I heard the number of the sealed, 144,000, sealed from every tribe of the sons of Israel:
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-512,000 from the tribe of Judah were sealed,
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-12,000 from the tribe of Reuben,
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-12,000 from the tribe of Gad,
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-612,000 from the tribe of Asher,
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-12,000 from the tribe of Naphtali,
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-12,000 from the tribe of Manasseh,
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-712,000 from the tribe of Simeon,
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-12,000 from the tribe of Levi,
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-12,000 from the tribe of Issachar,
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-812,000 from the tribe of Zebulun,
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-12,000 from the tribe of Joseph,
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-12,000 from the tribe of Benjamin were sealed.
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-A Great Multitude from Every Nation
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-9After this I looked, and behold, a great multitude that no one could number, from every nation, from all tribes and peoples and languages, standing before the throne and before the Lamb, clothed in white robes, with palm branches in their hands, 10and crying out with a loud voice, “Salvation belongs to our God who sits on the throne, and to the Lamb!” 11And all the angels were standing around the throne and around the elders and the four living creatures, and they fell on their faces before the throne and worshiped God, 12saying, “Amen! Blessing and glory and wisdom and thanksgiving and honor and power and might be to our God forever and ever! Amen.”
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-13Then one of the elders addressed me, saying, “Who are these, clothed in white robes, and from where have they come?” 14I said to him, “Sir, you know.” And he said to me, “These are the ones coming out of the great tribulation. They have washed their robes and made them white in the blood of the Lamb.
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-15“Therefore they are before the throne of God,
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-and serve him day and night in his temple;
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-and he who sits on the throne will shelter them with his presence.
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-16They shall hunger no more, neither thirst anymore;
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-the sun shall not strike them,
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-nor any scorching heat.
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-17For the Lamb in the midst of the throne will be their shepherd,
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-and he will guide them to springs of living water,
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-and God will wipe away every tear from their eyes.”
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-The Seventh Seal and the Golden Censer
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-8:1 When the Lamb opened the seventh seal, there was silence in heaven for about half an hour. 2Then I saw the seven angels who stand before God, and seven trumpets were given to them. 3And another angel came and stood at the altar with a golden censer, and he was given much incense to offer with the prayers of all the saints on the golden altar before the throne, 4and the smoke of the incense, with the prayers of the saints, rose before God from the hand of the angel. 5Then the angel took the censer and filled it with fire from the altar and threw it on the earth, and there were peals of thunder, rumblings,[14] flashes of lightning, and an earthquake.
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-The Seven Trumpets
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-6Now the seven angels who had the seven trumpets prepared to blow them.
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-7The first angel blew his trumpet, and there followed hail and fire, mixed with blood, and these were thrown upon the earth. And a third of the earth was burned up, and a third of the trees were burned up, and all green grass was burned up.
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-8The second angel blew his trumpet, and something like a great mountain, burning with fire, was thrown into the sea, and a third of the sea became blood. 9A third of the living creatures in the sea died, and a third of the ships were destroyed.
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-10The third angel blew his trumpet, and a great star fell from heaven, blazing like a torch, and it fell on a third of the rivers and on the springs of water. 11The name of the star is Wormwood.[15] A third of the waters became wormwood, and many people died from the water, because it had been made bitter.
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-12The fourth angel blew his trumpet, and a third of the sun was struck, and a third of the moon, and a third of the stars, so that a third of their light might be darkened, and a third of the day might be kept from shining, and likewise a third of the night.
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-13Then I looked, and I heard an eagle crying with a loud voice as it flew directly overhead, “Woe, woe, woe to those who dwell on the earth, at the blasts of the other trumpets that the three angels are about to blow!”
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-9:1 And the fifth angel blew his trumpet, and I saw a star fallen from heaven to earth, and he was given the key to the shaft of the bottomless pit.[16] 2He opened the shaft of the bottomless pit, and from the shaft rose smoke like the smoke of a great furnace, and the sun and the air were darkened with the smoke from the shaft. 3Then from the smoke came locusts on the earth, and they were given power like the power of scorpions of the earth. 4They were told not to harm the grass of the earth or any green plant or any tree, but only those people who do not have the seal of God on their foreheads. 5They were allowed to torment them for five months, but not to kill them, and their torment was like the torment of a scorpion when it stings someone. 6And in those days people will seek death and will not find it. They will long to die, but death will flee from them.
-
-7In appearance the locusts were like horses prepared for battle: on their heads were what looked like crowns of gold; their faces were like human faces, 8their hair like women's hair, and their teeth like lions' teeth; 9they had breastplates like breastplates of iron, and the noise of their wings was like the noise of many chariots with horses rushing into battle. 10They have tails and stings like scorpions, and their power to hurt people for five months is in their tails. 11They have as king over them the angel of the bottomless pit. His name in Hebrew is Abaddon, and in Greek he is called Apollyon.[17]
-
-12The first woe has passed; behold, two woes are still to come.
-
-13Then the sixth angel blew his trumpet, and I heard a voice from the four horns of the golden altar before God, 14saying to the sixth angel who had the trumpet, “Release the four angels who are bound at the great river Euphrates.” 15So the four angels, who had been prepared for the hour, the day, the month, and the year, were released to kill a third of mankind. 16The number of mounted troops was twice ten thousand times ten thousand; I heard their number. 17And this is how I saw the horses in my vision and those who rode them: they wore breastplates the color of fire and of sapphire[18] and of sulfur, and the heads of the horses were like lions' heads, and fire and smoke and sulfur came out of their mouths. 18By these three plagues a third of mankind was killed, by the fire and smoke and sulfur coming out of their mouths. 19For the power of the horses is in their mouths and in their tails, for their tails are like serpents with heads, and by means of them they wound.
-
-20The rest of mankind, who were not killed by these plagues, did not repent of the works of their hands nor give up worshiping demons and idols of gold and silver and bronze and stone and wood, which cannot see or hear or walk, 21nor did they repent of their murders or their sorceries or their sexual immorality or their thefts.
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-
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-The Angel and the Little Scroll
-
-
-10:1 Then I saw another mighty angel coming down from heaven, wrapped in a cloud, with a rainbow over his head, and his face was like the sun, and his legs like pillars of fire. 2He had a little scroll open in his hand. And he set his right foot on the sea, and his left foot on the land, 3and called out with a loud voice, like a lion roaring. When he called out, the seven thunders sounded. 4And when the seven thunders had sounded, I was about to write, but I heard a voice from heaven saying, “Seal up what the seven thunders have said, and do not write it down.” 5And the angel whom I saw standing on the sea and on the land raised his right hand to heaven 6and swore by him who lives forever and ever, who created heaven and what is in it, the earth and what is in it, and the sea and what is in it, that there would be no more delay, 7but that in the days of the trumpet call to be sounded by the seventh angel, the mystery of God would be fulfilled, just as he announced to his servants[19] the prophets.
-
-8Then the voice that I had heard from heaven spoke to me again, saying, “Go, take the scroll that is open in the hand of the angel who is standing on the sea and on the land.” 9So I went to the angel and told him to give me the little scroll. And he said to me, “Take and eat it; it will make your stomach bitter, but in your mouth it will be sweet as honey.” 10And I took the little scroll from the hand of the angel and ate it. It was sweet as honey in my mouth, but when I had eaten it my stomach was made bitter. 11And I was told, “You must again prophesy about many peoples and nations and languages and kings.”
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-The Two Witnesses
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-11:1 Then I was given a measuring rod like a staff, and I was told, “Rise and measure the temple of God and the altar and those who worship there, 2but do not measure the court outside the temple; leave that out, for it is given over to the nations, and they will trample the holy city for forty-two months. 3And I will grant authority to my two witnesses, and they will prophesy for 1,260 days, clothed in sackcloth.”
-
-4These are the two olive trees and the two lampstands that stand before the Lord of the earth. 5And if anyone would harm them, fire pours from their mouth and consumes their foes. If anyone would harm them, this is how he is doomed to be killed. 6They have the power to shut the sky, that no rain may fall during the days of their prophesying, and they have power over the waters to turn them into blood and to strike the earth with every kind of plague, as often as they desire. 7And when they have finished their testimony, the beast that rises from the bottomless pit[20] will make war on them and conquer them and kill them, 8and their dead bodies will lie in the street of the great city that symbolically[21] is called Sodom and Egypt, where their Lord was crucified. 9For three and a half days some from the peoples and tribes and languages and nations will gaze at their dead bodies and refuse to let them be placed in a tomb, 10and those who dwell on the earth will rejoice over them and make merry and exchange presents, because these two prophets had been a torment to those who dwell on the earth. 11But after the three and a half days a breath of life from God entered them, and they stood up on their feet, and great fear fell on those who saw them. 12Then they heard a loud voice from heaven saying to them, “Come up here!” And they went up to heaven in a cloud, and their enemies watched them. 13And at that hour there was a great earthquake, and a tenth of the city fell. Seven thousand people were killed in the earthquake, and the rest were terrified and gave glory to the God of heaven.
-
-14The second woe has passed; behold, the third woe is soon to come.
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-
-
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-
-The Seventh Trumpet
-
-
-15Then the seventh angel blew his trumpet, and there were loud voices in heaven, saying, “The kingdom of the world has become the kingdom of our Lord and of his Christ, and he shall reign forever and ever.” 16And the twenty-four elders who sit on their thrones before God fell on their faces and worshiped God, 17saying,
-
-“We give thanks to you, Lord God Almighty,
-
-who is and who was,
-
-for you have taken your great power
-
-and begun to reign.
-
-18The nations raged,
-
-but your wrath came,
-
-and the time for the dead to be judged,
-
-and for rewarding your servants,[22] the prophets and saints,
-
-and those who fear your name,
-
-both small and great,
-
-and for destroying the destroyers of the earth.”
-
-19Then God's temple in heaven was opened, and the ark of his covenant was seen within his temple. There were flashes of lightning, rumblings,[23] peals of thunder, an earthquake, and heavy hail.
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-
-The Woman and the Dragon
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-
-12:1 And a great sign appeared in heaven: a woman clothed with the sun, with the moon under her feet, and on her head a crown of twelve stars. 2She was pregnant and was crying out in birth pains and the agony of giving birth. 3And another sign appeared in heaven: behold, a great red dragon, with seven heads and ten horns, and on his heads seven diadems. 4His tail swept down a third of the stars of heaven and cast them to the earth. And the dragon stood before the woman who was about to give birth, so that when she bore her child he might devour it. 5She gave birth to a male child, one who is to rule all the nations with a rod of iron, but her child was caught up to God and to his throne, 6and the woman fled into the wilderness, where she has a place prepared by God, in which she is to be nourished for 1,260 days.
-
-
-
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-
-Satan Thrown Down to Earth
-
-
-7Now war arose in heaven, Michael and his angels fighting against the dragon. And the dragon and his angels fought back, 8but he was defeated, and there was no longer any place for them in heaven. 9And the great dragon was thrown down, that ancient serpent, who is called the devil and Satan, the deceiver of the whole world—he was thrown down to the earth, and his angels were thrown down with him. 10And I heard a loud voice in heaven, saying, “Now the salvation and the power and the kingdom of our God and the authority of his Christ have come, for the accuser of our brothers[24] has been thrown down, who accuses them day and night before our God. 11And they have conquered him by the blood of the Lamb and by the word of their testimony, for they loved not their lives even unto death. 12Therefore, rejoice, O heavens and you who dwell in them! But woe to you, O earth and sea, for the devil has come down to you in great wrath, because he knows that his time is short!”
-
-13And when the dragon saw that he had been thrown down to the earth, he pursued the woman who had given birth to the male child. 14But the woman was given the two wings of the great eagle so that she might fly from the serpent into the wilderness, to the place where she is to be nourished for a time, and times, and half a time. 15The serpent poured water like a river out of his mouth after the woman, to sweep her away with a flood. 16But the earth came to the help of the woman, and the earth opened its mouth and swallowed the river that the dragon had poured from his mouth. 17Then the dragon became furious with the woman and went off to make war on the rest of her offspring, on those who keep the commandments of God and hold to the testimony of Jesus. And he stood[25] on the sand of the sea.
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-
-
-
-
-The First Beast
-
-
-13:1 And I saw a beast rising out of the sea, with ten horns and seven heads, with ten diadems on its horns and blasphemous names on its heads. 2And the beast that I saw was like a leopard; its feet were like a bear's, and its mouth was like a lion's mouth. And to it the dragon gave his power and his throne and great authority. 3One of its heads seemed to have a mortal wound, but its mortal wound was healed, and the whole earth marveled as they followed the beast. 4And they worshiped the dragon, for he had given his authority to the beast, and they worshiped the beast, saying, “Who is like the beast, and who can fight against it?”
-
-5And the beast was given a mouth uttering haughty and blasphemous words, and it was allowed to exercise authority for forty-two months. 6It opened its mouth to utter blasphemies against God, blaspheming his name and his dwelling,[26] that is, those who dwell in heaven. 7Also it was allowed to make war on the saints and to conquer them.[27] And authority was given it over every tribe and people and language and nation, 8and all who dwell on earth will worship it, everyone whose name has not been written before the foundation of the world in the book of life of the Lamb who was slain. 9If anyone has an ear, let him hear:
-
-10If anyone is to be taken captive,
-
-to captivity he goes;
-
-if anyone is to be slain with the sword,
-
-with the sword must he be slain.
-
-Here is a call for the endurance and faith of the saints.
-
-
-
-
-
-The Second Beast
-
-
-11Then I saw another beast rising out of the earth. It had two horns like a lamb and it spoke like a dragon. 12It exercises all the authority of the first beast in its presence,[28] and makes the earth and its inhabitants worship the first beast, whose mortal wound was healed. 13It performs great signs, even making fire come down from heaven to earth in front of people, 14and by the signs that it is allowed to work in the presence of[29] the beast it deceives those who dwell on earth, telling them to make an image for the beast that was wounded by the sword and yet lived. 15And it was allowed to give breath to the image of the beast, so that the image of the beast might even speak and might cause those who would not worship the image of the beast to be slain. 16Also it causes all, both small and great, both rich and poor, both free and slave,[30] to be marked on the right hand or the forehead, 17so that no one can buy or sell unless he has the mark, that is, the name of the beast or the number of its name. 18This calls for wisdom: let the one who has understanding calculate the number of the beast, for it is the number of a man, and his number is 666.[31]
-
-
-
-
-
-The Lamb and the 144,000
-
-
-14:1 Then I looked, and behold, on Mount Zion stood the Lamb, and with him 144,000 who had his name and his Father's name written on their foreheads. 2And I heard a voice from heaven like the roar of many waters and like the sound of loud thunder. The voice I heard was like the sound of harpists playing on their harps, 3and they were singing a new song before the throne and before the four living creatures and before the elders. No one could learn that song except the 144,000 who had been redeemed from the earth. 4It is these who have not defiled themselves with women, for they are virgins. It is these who follow the Lamb wherever he goes. These have been redeemed from mankind as firstfruits for God and the Lamb, 5and in their mouth no lie was found, for they are blameless.
-
-
-
-
-
-The Messages of the Three Angels
-
-
-6Then I saw another angel flying directly overhead, with an eternal gospel to proclaim to those who dwell on earth, to every nation and tribe and language and people. 7And he said with a loud voice, “Fear God and give him glory, because the hour of his judgment has come, and worship him who made heaven and earth, the sea and the springs of water.”
-
-8Another angel, a second, followed, saying, “Fallen, fallen is Babylon the great, she who made all nations drink the wine of the passion[32] of her sexual immorality.”
-
-9And another angel, a third, followed them, saying with a loud voice, “If anyone worships the beast and its image and receives a mark on his forehead or on his hand, 10he also will drink the wine of God's wrath, poured full strength into the cup of his anger, and he will be tormented with fire and sulfur in the presence of the holy angels and in the presence of the Lamb. 11And the smoke of their torment goes up forever and ever, and they have no rest, day or night, these worshipers of the beast and its image, and whoever receives the mark of its name.”
-
-12Here is a call for the endurance of the saints, those who keep the commandments of God and their faith in Jesus.[33]
-
-13And I heard a voice from heaven saying, “Write this: Blessed are the dead who die in the Lord from now on.” “Blessed indeed,” says the Spirit, “that they may rest from their labors, for their deeds follow them!”
-
-
-
-
-
-The Harvest of the Earth
-
-
-14Then I looked, and behold, a white cloud, and seated on the cloud one like a son of man, with a golden crown on his head, and a sharp sickle in his hand. 15And another angel came out of the temple, calling with a loud voice to him who sat on the cloud, “Put in your sickle, and reap, for the hour to reap has come, for the harvest of the earth is fully ripe.” 16So he who sat on the cloud swung his sickle across the earth, and the earth was reaped.
-
-17Then another angel came out of the temple in heaven, and he too had a sharp sickle. 18And another angel came out from the altar, the angel who has authority over the fire, and he called with a loud voice to the one who had the sharp sickle, “Put in your sickle and gather the clusters from the vine of the earth, for its grapes are ripe.” 19So the angel swung his sickle across the earth and gathered the grape harvest of the earth and threw it into the great winepress of the wrath of God. 20And the winepress was trodden outside the city, and blood flowed from the winepress, as high as a horse's bridle, for 1,600 stadia.[34]
-
-
-
-
-
-The Seven Angels with Seven Plagues
-
-
-15:1 Then I saw another sign in heaven, great and amazing, seven angels with seven plagues, which are the last, for with them the wrath of God is finished.
-
-2And I saw what appeared to be a sea of glass mingled with fire—and also those who had conquered the beast and its image and the number of its name, standing beside the sea of glass with harps of God in their hands. 3And they sing the song of Moses, the servant[35] of God, and the song of the Lamb, saying,
-
-“Great and amazing are your deeds,
-
-O Lord God the Almighty!
-
-Just and true are your ways,
-
-O King of the nations![36]
-
-4Who will not fear, O Lord,
-
-and glorify your name?
-
-For you alone are holy.
-
-All nations will come
-
-and worship you,
-
-for your righteous acts have been revealed.”
-
-5After this I looked, and the sanctuary of the tent[37] of witness in heaven was opened, 6and out of the sanctuary came the seven angels with the seven plagues, clothed in pure, bright linen, with golden sashes around their chests. 7And one of the four living creatures gave to the seven angels seven golden bowls full of the wrath of God who lives forever and ever, 8and the sanctuary was filled with smoke from the glory of God and from his power, and no one could enter the sanctuary until the seven plagues of the seven angels were finished.
-
-
-
-
-
-The Seven Bowls of God's Wrath
-
-
-16:1 Then I heard a loud voice from the temple telling the seven angels, “Go and pour out on the earth the seven bowls of the wrath of God.”
-
-2So the first angel went and poured out his bowl on the earth, and harmful and painful sores came upon the people who bore the mark of the beast and worshiped its image.
-
-3The second angel poured out his bowl into the sea, and it became like the blood of a corpse, and every living thing died that was in the sea.
-
-4The third angel poured out his bowl into the rivers and the springs of water, and they became blood. 5And I heard the angel in charge of the waters[38] say,
-
-“Just are you, O Holy One, who is and who was,
-
-for you brought these judgments.
-
-6For they have shed the blood of saints and prophets,
-
-and you have given them blood to drink.
-
-It is what they deserve!”
-
-7And I heard the altar saying,
-
-“Yes, Lord God the Almighty,
-
-true and just are your judgments!”
-
-8The fourth angel poured out his bowl on the sun, and it was allowed to scorch people with fire. 9They were scorched by the fierce heat, and they cursed[39] the name of God who had power over these plagues. They did not repent and give him glory.
-
-10The fifth angel poured out his bowl on the throne of the beast, and its kingdom was plunged into darkness. People gnawed their tongues in anguish 11and cursed the God of heaven for their pain and sores. They did not repent of their deeds.
-
-12The sixth angel poured out his bowl on the great river Euphrates, and its water was dried up, to prepare the way for the kings from the east. 13And I saw, coming out of the mouth of the dragon and out of the mouth of the beast and out of the mouth of the false prophet, three unclean spirits like frogs. 14For they are demonic spirits, performing signs, who go abroad to the kings of the whole world, to assemble them for battle on the great day of God the Almighty. 15(“Behold, I am coming like a thief! Blessed is the one who stays awake, keeping his garments on, that he may not go about naked and be seen exposed!”) 16And they assembled them at the place that in Hebrew is called Armageddon.
-
-
-
-
-
-The Seventh Bowl
-
-
-17The seventh angel poured out his bowl into the air, and a loud voice came out of the temple, from the throne, saying, “It is done!” 18And there were flashes of lightning, rumblings,[40] peals of thunder, and a great earthquake such as there had never been since man was on the earth, so great was that earthquake. 19The great city was split into three parts, and the cities of the nations fell, and God remembered Babylon the great, to make her drain the cup of the wine of the fury of his wrath. 20And every island fled away, and no mountains were to be found. 21And great hailstones, about one hundred pounds[41] each, fell from heaven on people; and they cursed God for the plague of the hail, because the plague was so severe.
-
-
-
-
-
-The Great Prostitute and the Beast
-
-
-17:1 Then one of the seven angels who had the seven bowls came and said to me, “Come, I will show you the judgment of the great prostitute who is seated on many waters, 2with whom the kings of the earth have committed sexual immorality, and with the wine of whose sexual immorality the dwellers on earth have become drunk.” 3And he carried me away in the Spirit into a wilderness, and I saw a woman sitting on a scarlet beast that was full of blasphemous names, and it had seven heads and ten horns. 4The woman was arrayed in purple and scarlet, and adorned with gold and jewels and pearls, holding in her hand a golden cup full of abominations and the impurities of her sexual immorality. 5And on her forehead was written a name of mystery: “Babylon the great, mother of prostitutes and of earth's abominations.” 6And I saw the woman, drunk with the blood of the saints, the blood of the martyrs of Jesus.[42]
-
-When I saw her, I marveled greatly. 7But the angel said to me, “Why do you marvel? I will tell you the mystery of the woman, and of the beast with seven heads and ten horns that carries her. 8The beast that you saw was, and is not, and is about to rise from the bottomless pit[43] and go to destruction. And the dwellers on earth whose names have not been written in the book of life from the foundation of the world will marvel to see the beast, because it was and is not and is to come. 9This calls for a mind with wisdom: the seven heads are seven mountains on which the woman is seated; 10they are also seven kings, five of whom have fallen, one is, the other has not yet come, and when he does come he must remain only a little while. 11As for the beast that was and is not, it is an eighth but it belongs to the seven, and it goes to destruction. 12And the ten horns that you saw are ten kings who have not yet received royal power, but they are to receive authority as kings for one hour, together with the beast. 13These are of one mind, and they hand over their power and authority to the beast. 14They will make war on the Lamb, and the Lamb will conquer them, for he is Lord of lords and King of kings, and those with him are called and chosen and faithful.”
-
-15And the angel[44] said to me, “The waters that you saw, where the prostitute is seated, are peoples and multitudes and nations and languages. 16And the ten horns that you saw, they and the beast will hate the prostitute. They will make her desolate and naked, and devour her flesh and burn her up with fire, 17for God has put it into their hearts to carry out his purpose by being of one mind and handing over their royal power to the beast, until the words of God are fulfilled. 18And the woman that you saw is the great city that has dominion over the kings of the earth.”
-
-
-
-
-
-The Fall of Babylon
-
-
-18:1 After this I saw another angel coming down from heaven, having great authority, and the earth was made bright with his glory. 2And he called out with a mighty voice,
-
-“Fallen, fallen is Babylon the great!
-
-She has become a dwelling place for demons,
-
-a haunt for every unclean spirit,
-
-a haunt for every unclean bird,
-
-a haunt for every unclean and detestable beast.
-
-3For all nations have drunk[45]
-
-the wine of the passion of her sexual immorality,
-
-and the kings of the earth have committed immorality with her,
-
-and the merchants of the earth have grown rich from the power of her luxurious living.”
-
-4Then I heard another voice from heaven saying,
-
-“Come out of her, my people,
-
-lest you take part in her sins,
-
-lest you share in her plagues;
-
-5for her sins are heaped high as heaven,
-
-and God has remembered her iniquities.
-
-6Pay her back as she herself has paid back others,
-
-and repay her double for her deeds;
-
-mix a double portion for her in the cup she mixed.
-
-7As she glorified herself and lived in luxury,
-
-so give her a like measure of torment and mourning,
-
-since in her heart she says,
-
-‘I sit as a queen,
-
-I am no widow,
-
-and mourning I shall never see.’
-
-8For this reason her plagues will come in a single day,
-
-death and mourning and famine,
-
-and she will be burned up with fire;
-
-for mighty is the Lord God who has judged her.”
-
-9And the kings of the earth, who committed sexual immorality and lived in luxury with her, will weep and wail over her when they see the smoke of her burning. 10They will stand far off, in fear of her torment, and say,
-
-“Alas! Alas! You great city,
-
-you mighty city, Babylon!
-
-For in a single hour your judgment has come.”
-
-11And the merchants of the earth weep and mourn for her, since no one buys their cargo anymore, 12cargo of gold, silver, jewels, pearls, fine linen, purple cloth, silk, scarlet cloth, all kinds of scented wood, all kinds of articles of ivory, all kinds of articles of costly wood, bronze, iron and marble, 13cinnamon, spice, incense, myrrh, frankincense, wine, oil, fine flour, wheat, cattle and sheep, horses and chariots, and slaves, that is, human souls.[46]
-
-14“The fruit for which your soul longed
-
-has gone from you,
-
-and all your delicacies and your splendors
-
-are lost to you,
-
-never to be found again!”
-
-15The merchants of these wares, who gained wealth from her, will stand far off, in fear of her torment, weeping and mourning aloud,
-
-16“Alas, alas, for the great city
-
-that was clothed in fine linen,
-
-in purple and scarlet,
-
-adorned with gold,
-
-with jewels, and with pearls!
-
-17For in a single hour all this wealth has been laid waste.”
-
-And all shipmasters and seafaring men, sailors and all whose trade is on the sea, stood far off 18and cried out as they saw the smoke of her burning,
-
-“What city was like the great city?”
-
-19And they threw dust on their heads as they wept and mourned, crying out,
-
-“Alas, alas, for the great city
-
-where all who had ships at sea
-
-grew rich by her wealth!
-
-For in a single hour she has been laid waste.
-
-20Rejoice over her, O heaven,
-
-and you saints and apostles and prophets,
-
-for God has given judgment for you against her!”
-
-21Then a mighty angel took up a stone like a great millstone and threw it into the sea, saying,
-
-“So will Babylon the great city be thrown down with violence,
-
-and will be found no more;
-
-22and the sound of harpists and musicians, of flute players and trumpeters,
-
-will be heard in you no more,
-
-and a craftsman of any craft
-
-will be found in you no more,
-
-and the sound of the mill
-
-will be heard in you no more,
-
-23and the light of a lamp
-
-will shine in you no more,
-
-and the voice of bridegroom and bride
-
-will be heard in you no more,
-
-for your merchants were the great ones of the earth,
-
-and all nations were deceived by your sorcery.
-
-24And in her was found the blood of prophets and of saints,
-
-and of all who have been slain on earth.”
-
-
-
-
-
-Rejoicing in Heaven
-
-
-19:1 After this I heard what seemed to be the loud voice of a great multitude in heaven, crying out,
-
-“Hallelujah!
-
-Salvation and glory and power belong to our God,
-
-2for his judgments are true and just;
-
-for he has judged the great prostitute
-
-who corrupted the earth with her immorality,
-
-and has avenged on her the blood of his servants.”[47]
-
-3Once more they cried out,
-
-“Hallelujah!
-
-The smoke from her goes up forever and ever.”
-
-4And the twenty-four elders and the four living creatures fell down and worshiped God who was seated on the throne, saying, “Amen. Hallelujah!” 5And from the throne came a voice saying,
-
-“Praise our God,
-
-all you his servants,
-
-you who fear him,
-
-small and great.”
-
-
-
-
-
-The Marriage Supper of the Lamb
-
-
-6Then I heard what seemed to be the voice of a great multitude, like the roar of many waters and like the sound of mighty peals of thunder, crying out,
-
-“Hallelujah!
-
-For the Lord our God
-
-the Almighty reigns.
-
-7Let us rejoice and exult
-
-and give him the glory,
-
-for the marriage of the Lamb has come,
-
-and his Bride has made herself ready;
-
-8it was granted her to clothe herself
-
-with fine linen, bright and pure”—
-
-for the fine linen is the righteous deeds of the saints.
-
-9And the angel said[48] to me, “Write this: Blessed are those who are invited to the marriage supper of the Lamb.” And he said to me, “These are the true words of God.” 10Then I fell down at his feet to worship him, but he said to me, “You must not do that! I am a fellow servant[49] with you and your brothers who hold to the testimony of Jesus. Worship God.” For the testimony of Jesus is the spirit of prophecy.
-
-
-
-
-
-The Rider on a White Horse
-
-
-11Then I saw heaven opened, and behold, a white horse! The one sitting on it is called Faithful and True, and in righteousness he judges and makes war. 12His eyes are like a flame of fire, and on his head are many diadems, and he has a name written that no one knows but himself. 13He is clothed in a robe dipped in[50] blood, and the name by which he is called is The Word of God. 14And the armies of heaven, arrayed in fine linen, white and pure, were following him on white horses. 15From his mouth comes a sharp sword with which to strike down the nations, and he will rule them with a rod of iron. He will tread the winepress of the fury of the wrath of God the Almighty. 16On his robe and on his thigh he has a name written, King of kings and Lord of lords.
-
-17Then I saw an angel standing in the sun, and with a loud voice he called to all the birds that fly directly overhead, “Come, gather for the great supper of God, 18to eat the flesh of kings, the flesh of captains, the flesh of mighty men, the flesh of horses and their riders, and the flesh of all men, both free and slave,[51] both small and great.” 19And I saw the beast and the kings of the earth with their armies gathered to make war against him who was sitting on the horse and against his army. 20And the beast was captured, and with it the false prophet who in its presence[52] had done the signs by which he deceived those who had received the mark of the beast and those who worshiped its image. These two were thrown alive into the lake of fire that burns with sulfur. 21And the rest were slain by the sword that came from the mouth of him who was sitting on the horse, and all the birds were gorged with their flesh.
-
-
-
-
-
-The Thousand Years
-
-
-20:1 Then I saw an angel coming down from heaven, holding in his hand the key to the bottomless pit[53] and a great chain. 2And he seized the dragon, that ancient serpent, who is the devil and Satan, and bound him for a thousand years, 3and threw him into the pit, and shut it and sealed it over him, so that he might not deceive the nations any longer, until the thousand years were ended. After that he must be released for a little while.
-
-4Then I saw thrones, and seated on them were those to whom the authority to judge was committed. Also I saw the souls of those who had been beheaded for the testimony of Jesus and for the word of God, and those who had not worshiped the beast or its image and had not received its mark on their foreheads or their hands. They came to life and reigned with Christ for a thousand years. 5The rest of the dead did not come to life until the thousand years were ended. This is the first resurrection. 6Blessed and holy is the one who shares in the first resurrection! Over such the second death has no power, but they will be priests of God and of Christ, and they will reign with him for a thousand years.
-
-
-
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-
-The Defeat of Satan
-
-
-7And when the thousand years are ended, Satan will be released from his prison 8and will come out to deceive the nations that are at the four corners of the earth, Gog and Magog, to gather them for battle; their number is like the sand of the sea. 9And they marched up over the broad plain of the earth and surrounded the camp of the saints and the beloved city, but fire came down from heaven[54] and consumed them, 10and the devil who had deceived them was thrown into the lake of fire and sulfur where the beast and the false prophet were, and they will be tormented day and night forever and ever.
-
-
-
-
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-Judgment Before the Great White Throne
-
-
-11Then I saw a great white throne and him who was seated on it. From his presence earth and sky fled away, and no place was found for them. 12And I saw the dead, great and small, standing before the throne, and books were opened. Then another book was opened, which is the book of life. And the dead were judged by what was written in the books, according to what they had done. 13And the sea gave up the dead who were in it, Death and Hades gave up the dead who were in them, and they were judged, each one of them, according to what they had done. 14Then Death and Hades were thrown into the lake of fire. This is the second death, the lake of fire. 15And if anyone's name was not found written in the book of life, he was thrown into the lake of fire.
-
-
-
-
-
-The New Heaven and the New Earth
-
-
-21:1 Then I saw a new heaven and a new earth, for the first heaven and the first earth had passed away, and the sea was no more. 2And I saw the holy city, new Jerusalem, coming down out of heaven from God, prepared as a bride adorned for her husband. 3And I heard a loud voice from the throne saying, “Behold, the dwelling place[55] of God is with man. He will dwell with them, and they will be his people,[56] and God himself will be with them as their God.[57] 4He will wipe away every tear from their eyes, and death shall be no more, neither shall there be mourning, nor crying, nor pain anymore, for the former things have passed away.”
-
-5And he who was seated on the throne said, “Behold, I am making all things new.” Also he said, “Write this down, for these words are trustworthy and true.” 6And he said to me, “It is done! I am the Alpha and the Omega, the beginning and the end. To the thirsty I will give from the spring of the water of life without payment. 7The one who conquers will have this heritage, and I will be his God and he will be my son. 8But as for the cowardly, the faithless, the detestable, as for murderers, the sexually immoral, sorcerers, idolaters, and all liars, their portion will be in the lake that burns with fire and sulfur, which is the second death.”
-
-
-
-
-
-The New Jerusalem
-
-
-9Then came one of the seven angels who had the seven bowls full of the seven last plagues and spoke to me, saying, “Come, I will show you the Bride, the wife of the Lamb.” 10And he carried me away in the Spirit to a great, high mountain, and showed me the holy city Jerusalem coming down out of heaven from God, 11having the glory of God, its radiance like a most rare jewel, like a jasper, clear as crystal. 12It had a great, high wall, with twelve gates, and at the gates twelve angels, and on the gates the names of the twelve tribes of the sons of Israel were inscribed— 13on the east three gates, on the north three gates, on the south three gates, and on the west three gates. 14And the wall of the city had twelve foundations, and on them were the twelve names of the twelve apostles of the Lamb.
-
-15And the one who spoke with me had a measuring rod of gold to measure the city and its gates and walls. 16The city lies foursquare, its length the same as its width. And he measured the city with his rod, 12,000 stadia.[58] Its length and width and height are equal. 17He also measured its wall, 144 cubits[59] by human measurement, which is also an angel's measurement. 18The wall was built of jasper, while the city was pure gold, clear as glass. 19The foundations of the wall of the city were adorned with every kind of jewel. The first was jasper, the second sapphire, the third agate, the fourth emerald, 20the fifth onyx, the sixth carnelian, the seventh chrysolite, the eighth beryl, the ninth topaz, the tenth chrysoprase, the eleventh jacinth, the twelfth amethyst. 21And the twelve gates were twelve pearls, each of the gates made of a single pearl, and the street of the city was pure gold, transparent as glass.
-
-22And I saw no temple in the city, for its temple is the Lord God the Almighty and the Lamb. 23And the city has no need of sun or moon to shine on it, for the glory of God gives it light, and its lamp is the Lamb. 24By its light will the nations walk, and the kings of the earth will bring their glory into it, 25and its gates will never be shut by day—and there will be no night there. 26They will bring into it the glory and the honor of the nations. 27But nothing unclean will ever enter it, nor anyone who does what is detestable or false, but only those who are written in the Lamb's book of life.
-
-
-
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-
-The River of Life
-
-
-22:1 Then the angel[60] showed me the river of the water of life, bright as crystal, flowing from the throne of God and of the Lamb 2through the middle of the street of the city; also, on either side of the river, the tree of life[61] with its twelve kinds of fruit, yielding its fruit each month. The leaves of the tree were for the healing of the nations. 3No longer will there be anything accursed, but the throne of God and of the Lamb will be in it, and his servants[62] will worship him. 4They will see his face, and his name will be on their foreheads. 5And night will be no more. They will need no light of lamp or sun, for the Lord God will be their light, and they will reign forever and ever.
-
-
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-Jesus Is Coming
-
-
-6And he said to me, “These words are trustworthy and true. And the Lord, the God of the spirits of the prophets, has sent his angel to show his servants what must soon take place.”
-
-7“And behold, I am coming soon. Blessed is the one who keeps the words of the prophecy of this book.”
-
-8I, John, am the one who heard and saw these things. And when I heard and saw them, I fell down to worship at the feet of the angel who showed them to me, 9but he said to me, “You must not do that! I am a fellow servant[63] with you and your brothers the prophets, and with those who keep the words of this book. Worship God.”
-
-10And he said to me, “Do not seal up the words of the prophecy of this book, for the time is near. 11Let the evildoer still do evil, and the filthy still be filthy, and the righteous still do right, and the holy still be holy.”
-
-12“Behold, I am coming soon, bringing my recompense with me, to repay everyone for what he has done. 13I am the Alpha and the Omega, the first and the last, the beginning and the end.”
-
-14Blessed are those who wash their robes,[64] so that they may have the right to the tree of life and that they may enter the city by the gates. 15Outside are the dogs and sorcerers and the sexually immoral and murderers and idolaters, and everyone who loves and practices falsehood.
-
-16“I, Jesus, have sent my angel to testify to you about these things for the churches. I am the root and the descendant of David, the bright morning star.”
-
-17The Spirit and the Bride say, “Come.” And let the one who hears say, “Come.” And let the one who is thirsty come; let the one who desires take the water of life without price.
-
-18I warn everyone who hears the words of the prophecy of this book: if anyone adds to them, God will add to him the plagues described in this book, 19and if anyone takes away from the words of the book of this prophecy, God will take away his share in the tree of life and in the holy city, which are described in this book.
-
-20He who testifies to these things says, “Surely I am coming soon.” Amen. Come, Lord Jesus!
-
-21The grace of the Lord Jesus be with all.[65] Amen.
-
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-
-Footnotes
-
-
-[1] 1:1 Greek bondservants
-
-[2] 1:1 Greek bondservant
-
-[3] 1:7 Or mourn
-
-[4] 2:9 Greek blasphemy
-
-[5] 2:13 Or your faith in me
-
-[6] 2:20 Greek bondservants
-
-[7] 4:5 Or voices, or sounds
-
-[8] 6:6 Greek choinix, a dry measure equal to about a quart
-
-[9] 6:6 A denarius was a day's wage for a laborer
-
-[10] 6:11 Greek fellow bondservants
-
-[11] 6:11 Or brothers and sisters. The plural Greek word adelphoi (translated “brothers”) refers to siblings in a family. In New Testament usage, depending on the context, adelphoi may refer either to men or to both men and women who are siblings (brothers and sisters) in God's family, the church
-
-[12] 6:15 Or servant; Greek bondservant
-
-[13] 7:3 Greek bondservants
-
-[14] 8:5 Or voices, or sounds
-
-[15] 8:11 Wormwood is the name of a plant and of the bitter-tasting extract derived from it
-
-[16] 9:1 Greek the abyss; also verses 2, 11
-
-[17] 9:11 Abaddon means destruction; Apollyon means destroyer
-
-[18] 9:17 Greek hyacinth
-
-[19] 10:7 Greek bondservants
-
-[20] 11:7 Or the abyss
-
-[21] 11:8 Greek spiritually
-
-[22] 11:18 Greek bondservants
-
-[23] 11:19 Or voices, or sounds
-
-[24] 12:10 Or brothers and sisters
-
-[25] 12:17 Some manuscripts And I stood, connecting the sentence with 13:1
-
-[26] 13:6 Or tabernacle
-
-[27] 13:7 Some manuscripts omit this sentence
-
-[28] 13:12 Or on its behalf
-
-[29] 13:14 Or on behalf of
-
-[30] 13:16 Greek bondservant
-
-[31] 13:18 Some manuscripts 616
-
-[32] 14:8 Or wrath
-
-[33] 14:12 Greek and the faith of Jesus
-
-[34] 14:20 About 184 miles; a stadion was about 607 feet or 185 meters
-
-[35] 15:3 Greek bondservant
-
-[36] 15:3 Some manuscripts the ages
-
-[37] 15:5 Or tabernacle
-
-[38] 16:5 Greek angel of the waters
-
-[39] 16:9 Greek blasphemed; also verses 11, 21
-
-[40] 16:18 Or voices, or sounds
-
-[41] 16:21 Greek a talent in weight
-
-[42] 17:6 Greek the witnesses to Jesus
-
-[43] 17:8 Greek the abyss
-
-[44] 17:15 Greek he
-
-[45] 18:3 Some manuscripts fallen by
-
-[46] 18:13 Or and slaves, and human lives
-
-[47] 19:2 Greek bondservants; also verse 5
-
-[48] 19:9 Greek he said
-
-[49] 19:10 Greek fellow bondservant
-
-[50] 19:13 Some manuscripts sprinkled with
-
-[51] 19:18 Greek bondservant
-
-[52] 19:20 Or on its behalf
-
-[53] 20:1 Greek the abyss; also verse 3
-
-[54] 20:9 Some manuscripts from God, out of heaven, or out of heaven from God
-
-[55] 21:3 Or tabernacle
-
-[56] 21:3 Some manuscripts peoples
-
-[57] 21:3 Some manuscripts omit as their God
-
-[58] 21:16 About 1,380 miles; a stadion was about 607 feet or 185 meters
-
-[59] 21:17 A cubit was about 18 inches or 45 centimeters
-
-[60] 22:1 Greek he
-
-[61] 22:2 Or the Lamb. In the midst of the street of the city, and on either side of the river, was the tree of life
-
-[62] 22:3 Greek bondservants; also verse 6
-
-[63] 22:9 Greek fellow bondservant
-
-[64] 22:14 Some manuscripts do his commandments
-
-[65] 22:21 Some manuscripts all the saints
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+
+Stephen Hawking
+CHAPTER 1
+OUR PICTURE OF
+THE UNIVERSE
+A
+ well-known scientist (some say it was Bertrand Russell) once gave a public lecture on astronomy. He described how the earth orbits around the sun and how the sun, in turn, orbits around the center of a vast collection of stars called our galaxy. At the end of the lecture, a little old lady at the back of the room got up and said: "What you have told us is rubbish. The world is really a flat plate supported on the back of a giant tortoise." The scientist gave a superior smile before replying, "What is the tortoise standing on?" "You're very clever, young man, very clever," said the old lady. "But it's turtles all the way down!"
+  Most people would find the picture of our universe as an infinite tower of tortoises rather ridiculous, but why do we think we know better? What do we know about the universe, and how do we know it? Where did the universe come from, and where is it going? Did the universe have a beginning, and if so, what happened before then? What is the nature of time? Will it ever come to an end? Can we go back in time? Recent breakthroughs in physics, made possible in part by fantastic new technologies, suggest answers to some of these longstanding questions. Someday these answers may seem as obvious to us as the earth orbiting the sun-or perhaps as ridiculous as a tower of tortoises. Only time (whatever that may be) will tell.
+  As long ago as 340 B.C. the Greek philosopher Aristotle, in his book On the Heavens, was able to put forward two good arguments for believing that the earth was a round sphere rather than a flat plate. First, he realized that eclipses of the moon were caused by the earth coming between the sun and the moon. The earth's shadow on the moon was always round, which would be true only if the earth was spherical. If the earth had been a flat disk, the shadow would have been elongated and elliptical, unless the eclipse always occurred at a time when the sun was directly under the center of the disk. Second, the Greeks knew from their travels that the North Star appeared lower in the sky when viewed in the south than it did in more northerly regions. (Since the North Star lies over the North Pole, it appears to be directly above an observer at the North Pole, but to someone looking from the equator, it appears to lie just at the horizon. From the difference in the apparent position of the North Star in Egypt and Greece, Aristotle even quoted an estimate that the distance around the earth was 400,000 stadia. It is not known exactly what length a stadium was, but it may have been about 200 yards, which would make Aristotle's estimate about twice the currently accepted figure. The Greeks even had a third argument that the earth must be round, for why else does one first see the sails of a ship coming over the horizon, and only later see the hull?
+  Aristotle thought the earth was stationary and that the sun, the moon, the planets, and the stars moved in circular orbits about the earth. He believed this because he felt, for mystical reasons, that the earth was the center of the universe, and that circular motion was the most perfect. This idea was elaborated by Ptolemy in the second century A.D. into a complete cosmological model. The earth stood at the center, surrounded by eight spheres that carried the moon, the sun, the stars, and the five planets known at the time, Mercury, Venus, Mars, Jupiter, and Saturn (Fig. 1.1). The planets themselves moved on smaller circles attached to their respective spheres in order to account for their rather complicated observed paths in the sky. The outermost sphere carried the so-called fixed stars, which always stay in the same positions relative to each other but which rotate together across the sky. What lay beyond the last sphere was never made very clear, but it certainly was not part of mankind's observable universe.
+  Ptolemy's model provided a reasonably accurate system for predicting the positions of heavenly bodies in the sky. But in order to predict these positions correctly, Ptolemy had to make an assumption that the moon followed a path that sometimes brought it twice as close to the earth as at other times. And that meant that the moon ought sometimes to appear twice as big as at other times! Ptolemy recognized this flaw, but nevertheless his model was generally, although not universally, accepted. It was adopted by the Christian church as the picture of the universe that was in accordance with Scripture, for it had the great advantage that it left lots of room outside the sphere of fixed stars for heaven and hell.
+
+FIGURE 1.1
+  A simpler model, however, was proposed in 1514 by a Polish priest, Nicholas Copernicus. (At first, perhaps for fear of being branded a heretic by his church, Copernicus circulated his model anonymously.) His idea was that the sun was stationary at the center and that the earth and the planets moved in circular orbits around the sun. Nearly a century passed before this idea was taken seriously. Then two astronomers-the German, Johannes Kepler, and the Italian, Galileo Galilei-started publicly to support the Copernican theory, despite the fact that the orbits it predicted did not quite match the ones observed. The death blow to the Aristotelian/Ptolemaic theory came in 1609. In that year, Galileo started observing the night sky with a telescope, which had just been invented. When he looked at the planet Jupiter, Galileo found that it was accompanied by several small satellites or moons that orbited around it. This implied that everything did not have to orbit directly around the earth, as Aristotle and Ptolemy had thought. (It was, of course, still possible to believe that the earth was stationary at the center of the universe and that the moons of Jupiter moved on extremely complicated paths around the earth, giving the appearance that they orbited Jupiter. However, Copernicus's theory was much simpler.) At the same time, Johannes Kepler had modified Copernicus's theory, suggesting that the planets moved not in circles but in ellipses (an ellipse is an elongated circle). The predictions now finally matched the observations.
+  As far as Kepler was concerned, elliptical orbits were merely an ad hoc hypothesis, and a rather repugnant one at that, because ellipses were clearly less perfect than circles. Having discovered almost by accident that elliptical orbits fit the observations well, he could not reconcile them with his idea that the planets were made to orbit the sun by magnetic forces. An explanation was provided only much later, in 1687, when Sir Isaac Newton published his Philosophiae Naturalis Principia Mathematica, probably the most important single work ever published in the physical sciences. In it Newton not only put forward a theory of how bodies move in space and time, but he also developed the complicated mathematics needed to analyze those motions. In addition, Newton postulated a law of universal gravitation according to which each body in the universe was attracted toward every other body by a force that was stronger the more massive the bodies and the closer they were to each other. It was this same force that caused objects to fall to the ground. (The story that Newton was inspired by an apple hitting his head is almost certainly apocryphal. All Newton himself ever said was that the idea of gravity came to him as he sat "in a contemplative mood" and "was occasioned by the fall of an apple.") Newton went on to show that, according to his law, gravity causes the moon to move in an elliptical orbit around the earth and causes the earth and the planets to follow elliptical paths around the sun.
+  The Copernican model got rid of Ptolemy's celestial spheres, and with them, the idea that the universe had a natural boundary. Since "fixed stars" did not appear to change their positions apart from a rotation across the sky caused by the earth spinning on its axis, it became natural to suppose that the fixed stars were objects like our sun but very much farther away.
+  Newton realized that, according to his theory of gravity, the stars should attract each other, so it seemed they could not remain essentially motionless. Would they not all fall together at some point? In a letter in 1691 to Richard Bentley, another leading thinker of his day, Newton argued that this would indeed happen if there were only a finite number of stars distributed over a finite region of space. But he reasoned that if, on the other hand, there were an infinite number of stars, distributed more or less uniformly over infinite space, this would not happen, because there would not be any central point for them to fall to.
+  This argument is an instance of the pitfalls that you can encounter in talking about infinity. In an infinite universe, every point can be regarded as the center, because every point has an infinite number of stars on each side of it. The correct approach, it was realized only much later, is to consider the finite situation, in which the stars all fall in on each other, and then to ask how things change if one adds more stars roughly uniformly distributed outside this region. According to Newton's law, the extra stars would make no difference at all to the original ones on average, so the stars would fall in just as fast. We can add as many stars as we like, but they will still always collapse in on themselves. We now know it is impossible to have an infinite static model of the universe in which gravity is always attractive.
+  It is an interesting reflection on the general climate of thought before the twentieth century that no one had suggested that the universe was expanding or contracting. It was generally accepted that either the universe had existed forever in an unchanging state, or that it had been created at a finite time in the past more or less as we observe it today. In part this may have been due to people's tendency to believe in eternal truths, as well as the comfort they found in the thought that even though they may grow old and die, the universe is eternal and unchanging.
+  Even those who realized that Newton's theory of gravity showed that the universe could not be static did not think to suggest that it might be expanding. Instead, they attempted to modify the theory by making the gravitational force repulsive at very large distances. This did not significantly affect their predictions of the motions of the planets, but it allowed an infinite distribution of stars to remain in equilibrium-with the attractive forces between nearby stars balanced by the repulsive forces from those that were farther away. However, we now believe such an equilibrium would be unstable: if the stars in some region got only slightly nearer each other, the attractive forces between them would become stronger and dominate over the repulsive forces so that the stars would continue to fall toward each other. On the other hand, if the stars got a bit farther away from each other, the repulsive forces would dominate and drive them farther apart.
+  Another objection to an infinite static universe is normally ascribed to the German philosopher Heinrich Olbers, who wrote about this theory in 1823. In fact, various contemporaries of Newton had raised the problem, and the Olbers article was not even the first to contain plausible arguments against it. It was, however, the first to be widely noted. The difficulty is that in an infinite static universe nearly every line of sight would end on the surface of a star. Thus one would expect that the whole sky would be as bright as the sun, even at night. Olbers's counterargument was that the light from distant stars would be dimmed by absorption by intervening matter. However, if that happened the intervening matter would eventually heat up until it glowed as brightly as the stars. The only way of avoiding the conclusion that the whole of the night sky should be as bright as the surface of the sun would be to assume that the stars had not been shining forever but had turned on at some finite time in the past. In that case the absorbing matter might not have heated up yet or the light from distant stars might not yet have reached us. And that brings us to the question of what could have caused the stars to have turned on in the first place.
+  The beginning of the universe had, of course, been discussed long before this. According to a number of early cosmologies and the Jewish/Christian/Muslim tradition, the universe started at a finite, and not very distant, time in the past. One argument for such a beginning was the feeling that it was necessary to have "First Cause" to explain the existence of the universe. (Within the universe, you always explained one event as being caused by some earlier event, but the existence of the universe itself could be explained in this way only if it had some beginning.) Another argument was put forward by St. Augustine in his book The City of God. He pointed out that civilization is progressing and we remember who performed this deed or developed that technique. Thus man, and so also perhaps the universe, could not have been around all that long. St. Augustine accepted a date of about 5000 B.C. for the Creation of the universe according to the book of Genesis. (It is interesting that this is not so far from the end of the last Ice Age, about 10,000 B.C., which is when archaeologists tell us that civilization really began.)
+  Aristotle, and most of the other Greek philosophers, on the other hand, did not like the idea of a creation because it smacked too much of divine intervention. They believed, therefore, that the human race and the world around it had existed, and would exist, forever. The ancients had already considered the argument about progress described above, and answered it by saying that there had been periodic floods or other disasters that repeatedly set the human race right back to the beginning of civilization.
+  The questions of whether the universe had a beginning in time and whether it is limited in space were later extensively examined by the philosopher Immanuel Kant in his monumental (and very obscure) work Critique of Pure Reason, published in 1781. He called these questions antinomies (that is, contradictions) of pure reason because he felt that there were equally compelling arguments for believing the thesis, that the universe had a beginning, and the antithesis, that it had existed forever. His argument for the thesis was that if the universe did not have a beginning, there would be an infinite period of time before any event, which he considered absurd. The argument for the antithesis was that if the universe had a beginning, there would be an infinite period of time before it, so why should the universe begin at any one particular time? In fact, his cases for both the thesis and the antithesis are really the same argument. They are both based on his unspoken assumption that time continues back forever, whether or not the universe had existed forever. As we shall see, the concept of time has no meaning before the beginning of the universe. This was first pointed out by St. Augustine. When asked: "What did God do before he created the universe?" Augustine didn't reply: "He was preparing Hell for people who asked such questions." Instead, he said that time was a property of the universe that God created, and that time did not exist before the beginning of the universe.
+  When most people believed in an essentially static and unchanging universe, the question of whether or not it had a beginning was really one of metaphysics or theology. One could account for what was observed equally well on the theory that the universe had existed forever or on the theory that it was set in motion at some finite time in such a manner as to look as though it had existed forever. But in 1929, Edwin Hubble made the landmark observation that wherever you look, distant galaxies are moving rapidly away from us. In other words, the universe is expanding. This means that at earlier times objects would have been closer together. In fact, it seemed that there was a time, about ten or twenty thousand million years ago, when they were all at exactly the same place and when, therefore, the density of the universe was infinite. This discovery finally brought the question of the beginning of the universe into the realm of science.
+  Hubble's observations suggested that there was a time, called the big bang, when the universe was infinitesimally small and infinitely dense. Under such conditions all the laws of science, and therefore all ability to predict the future, would break down. If there were events earlier than this time, then they could not affect what happens at the present time. Their existence can be ignored because it would have no observational consequences. One may say that time had a beginning at the big bang, in the sense that earlier times simply would not be defined. It should be emphasized that this beginning in time is very different from those that had been considered previously. In an unchanging universe a beginning in time is something that has to be imposed by some being outside the universe; there is no physical necessity for a beginning. One can imagine that God created the universe at literally any time in the past. On the other hand, if the universe is expanding, there may be physical reasons why there had to be a beginning. One could still imagine that God created the universe at the instant of the big bang, or even afterwards in just such a way as to make it look as though there had been a big bang, but it would be meaningless to suppose that it was created before the big bang. An expanding universe does not preclude a creator, but it does place limits on when he might have carried out his job!
+  In order to talk about the nature of the universe and to discuss questions such as whether it has a beginning or an end, you have to be clear about what a scientific theory is. I shall take the simpleminded view that a theory is just a model of the universe, or a restricted part of it, and a set of rules that relate quantities in the model to observations that we make. It exists only in our minds and does not have any other reality (whatever that might mean). A theory is a good theory if it satisfies two requirements. It must accurately describe a large class of observations on the basis of a model that contains only a few arbitrary elements, and it must make definite predictions about the results of future observations. For example, Aristotle believed Empedocles's theory that everything was made out of four elements, earth, air, fire, and water. This was simple enough, but did not make any definite predictions. On the other hand, Newton's theory of gravity was based on an even simpler model, in which bodies attracted each other with a force that was proportional to a quantity called their mass and inversely proportional to the square of the distance between them. Yet it predicts the motions of the sun, the moon, and the planets to a high degree of accuracy.
+  Any physical theory is always provisional, in the sense that it is only a hypothesis: you can never prove it. No matter how many times the results of experiments agree with some theory, you can never be sure that the next time the result will not contradict the theory. On the other hand, you can disprove a theory by finding even a single observation that disagrees with the predictions of the theory. As philosopher of science Karl Popper has emphasized, a good theory is characterized by the fact that it makes a number of predictions that could in principle be disproved or falsified by observation. Each time new experiments are observed to agree with the predictions the theory survives, and our confidence in it is increased; but if ever a new observation is found to disagree, we have to abandon or modify the theory.
+  At least that is what is supposed to happen, but you can always question the competence of the person who carried out the observation.
+  In practice, what often happens is that a new theory is devised that is really an extension of the previous theory. For example, very accurate observations of the planet Mercury revealed a small difference between its motion and the predictions of Newton's theory of gravity. Einstein's general theory of relativity predicted a slightly different motion from Newton's theory. The fact that Einstein's predictions matched what was seen, while Newton's did not, was one of the crucial confirmations of the new theory. However, we still use Newton's theory for all practical purposes because the difference between its predictions and those of general relativity is very small in the situations that we normally deal with. (Newton's theory also has the great advantage that it is much simpler to work with than Einstein's!)
+  The eventual goal of science is to provide a single theory that describes the whole universe. However, the approach most scientists actually follow is to separate the problem into two parts. First, there are the laws that tell us how the universe changes with time. (If we know what the universe is like at any one time, these physical laws tell us how it will look at any later time.) Second, there is the question of the initial state of the universe. Some people feel that science should be concerned with only the first part; they regard the question of the initial situation as a matter for metaphysics or religion. They would say that God, being omnipotent, could have started the universe off any way he wanted. That may be so, but in that case he also could have made it develop in a completely arbitrary way. Yet it appears that he chose to make it evolve in a very regular way according to certain laws. It therefore seems equally reasonable to suppose that there are also laws governing the initial state.
+  It turns out to be very difficult to devise a theory to describe the universe all in one go. Instead, we break the problem up into bits and invent a number of partial theories. Each of these partial theories describes and predicts a certain limited class of observations, neglecting the effects of other quantities, or representing them by simple sets of numbers. It may be that this approach is completely wrong. If everything in the universe depends on everything else in a fundamental way, it might be impossible to get close to a full solution by investigating parts of the problem in isolation. Nevertheless, it is certainly the way that we have made progress in the past. The classic example again is the Newtonian theory of gravity, which tells us that the gravitational force between two bodies depends only on one number associated with each body, its mass, but is otherwise independent of what the bodies are made of. Thus one does not need to have a theory of the structure and constitution of the sun and the planets in order to calculate their orbits.
+  Today scientists describe the universe in terms of two basic partial theories-the general theory of relativity and quantum mechanics. They are the great intellectual achievements of the first half of this century. The general theory of relativity describes the force of gravity and the large-scale structure of the universe, that is, the structure on scales from only a few miles to as large as a million million million million (1 with twenty-four zeros after it) miles, the size of the observable universe. Quantum mechanics, on the other hand, deals with phenomena on extremely small scales, such as a millionth of a millionth of an inch. Unfortunately, however, these two theories are known to be inconsistent with each other-they cannot both be correct. One of the major endeavors in physics today, and the major theme of this book, is the search for a new theory that will incorporate them both-a quantum theory of gravity. We do not yet have such a theory, and we may still be a long way from having one, but we do already know many of the properties that it must have. And we shall see, in later chapters, that we already know a fair amount about the predictions a quantum theory of gravity must make.
+  Now, if you believe that the universe is not arbitrary, but is governed by definite laws, you ultimately have to combine the partial theories into a complete unified theory that will describe everything in the universe. But there is a fundamental paradox in the search for such a complete unified theory. The ideas about scientific theories outlined above assume we are rational beings who are free to observe the universe as we want and to draw logical deductions from what we see. In such a scheme it is reasonable to suppose that we might progress ever closer toward the laws that govern our universe. Yet if there really is a complete unified theory, it would also presumably determine our actions. And so the theory itself would determine the outcome of our search for it! And why should it determine that we come to the right conclusions from the evidence? Might it not equally well determine that we draw the wrong conclusion? Or no conclusion at all?
+  The only answer that I can give to this problem is based on Darwin's principle of natural selection. The idea is that in any population of self-reproducing organisms, there will be variations in the genetic material and upbringing that different individuals have. These differences will mean that some individuals are better able than others to draw the right conclusions about the world around them and to act accordingly. These individuals will be more likely to survive and reproduce and so their pattern of behavior and thought will come to dominate. It has certainly been true in the past that what we call intelligence and scientific discovery have conveyed a survival advantage. It is not so clear that this is still the case: our scientific discoveries may well destroy us all, and even if they don't, a complete unified theory may not make much difference to our chances of survival. However, provided the universe has evolved in a regular way, we might expect that the reasoning abilities that natural selection has given us would be valid also in our search for a complete unified theory, and so would not lead us to the wrong conclusions.
+  Because the partial theories that we already have are sufficient to make accurate predictions in all but the most extreme situations, the search for the ultimate theory of the universe seems difficult to justify on practical grounds. (It is worth noting, though, that similar arguments could have been used against both relativity and quantum mechanics, and these theories have given us both nuclear energy and the microelectronics revolution!) The discovery of a complete unified theory, therefore, may not aid the survival of our species. It may not even affect our life-style. But ever since the dawn of civilization, people have not been content to see events as unconnected and inexplicable. They have craved an understanding of the underlying order in the world. Today we still yearn to know why we are here and where we came from. Humanity's deepest desire for knowledge is justification enough for our continuing quest. And our goal is nothing less than a complete description of the universe we live in.
+CHAPTER 2
+SPACE AND TIME
+O
+ur present ideas about the motion of bodies date back to Galileo and Newton. Before them people believed Aristotle, who said that the natural state of a body was to be at rest and that it moved only if driven by a force or impulse. It followed that a heavy body should fall faster than a light one, because it would have a greater pull toward the earth.
+  The Aristotelian tradition also held that one could work out all the laws that govern the universe by pure thought: it was not necessary to check by observation. So no one until Galileo bothered to see whether bodies of different weight did in fact fall at different speeds. It is said that Galileo demonstrated that Aristotle's belief was false by dropping weights from the leaning tower of Pisa. The story is almost certainly untrue, but Galileo did do something equivalent: he rolled balls of different weights down a smooth slope. The situation is similar to that of heavy bodies falling vertically, but it is easier to observe because the speeds are smaller. Galileo's measurements indicated that each body increased its speed at the same rate, no matter what its weight. For example, if you let go of a ball on a slope that drops by one meter for every ten meters you go along, the ball will be traveling down the slope at a speed of about one meter per second after one second, two meters per second after two seconds, and so on, however heavy the ball. Of course a lead weight would fall faster than a feather, but that is only because a feather is slowed down by air resistance. If one drops two bodies that don't have much air resistance, such as two different lead weights, they fall at the same rate. On the moon, where there is no air to slow things down, the astronaut David R. Scott performed the feather and lead weight experiment and found that indeed they did hit the ground at the same time.
+  Galileo's measurements were used by Newton as the basis of his laws of motion. In Galileo's experiments, as a body rolled down the slope it was always acted on by the same force (its weight), and the effect was to make it constantly speed up. This showed that the real effect of a force is always to change the speed of a body, rather than just to set it moving, as was previously thought. It also meant that whenever a body is not acted on by any force, it will keep on moving in a straight line at the same speed. This idea was first stated explicitly in Newton's Principia Mathematica, published in 1687, and is known as Newton's first law. What happens to a body when a force does act on it is given by Newton's second law. This states that the body will accelerate, or change its speed, at a rate that is proportional to the force. (For example, the acceleration is twice as great if the force is twice as great.) The acceleration is also smaller the greater the mass (or quantity of matter) of the body. (The same force acting on a body of twice the mass will produce half the acceleration.) A familiar example is provided by a car: the more powerful the engine, the greater the acceleration, but the heavier the car, the smaller the acceleration for the same engine. In addition to his laws of motion, Newton discovered a law to describe the force of gravity, which states that every body attracts every other body with a force that is proportional to the mass of each body. Thus the force between two bodies would be twice as strong if one of the bodies (say, body A) had its mass doubled. This is what you might expect because one could think of the new body A as being made of two bodies with the original mass. Each would attract body B with the original force. Thus the total force between A and B would be twice the original force. And if, say, one of the bodies had twice the mass, and the other had three times the mass, then the force would be six times as strong. One can now see why all bodies fall at the same rate: a body of twice the weight will have twice the force of gravity pulling it down, but it will also have twice the mass. According to Newton's second law, these two effects will exactly cancel each other, so the acceleration will be the same in all cases.
+  Newton's law of gravity also tells us that the farther apart the bodies, the smaller the force. Newton's law of gravity says that the gravitational attraction of a star is exactly one quarter that of a similar star at half the distance. This law predicts the orbits of the earth, the moon, and the planets with great accuracy. If the law were that the gravitational attraction of a star went down faster or increased more rapidly with distance, the orbits of the planets would not be elliptical, they would either spiral in to the sun or escape from the sun.
+  The big difference between the ideas of Aristotle and those of Galileo and Newton is that Aristotle believed in a preferred state of rest, which any body would take up if it were not driven by some force or impulse. In particular, he thought that the earth was at rest. But it follows from Newton's laws that there is no unique standard of rest. One could equally well say that body A was at rest and body B was moving at constant speed with respect to body A, or that body B was at rest and body A was moving. For example, if one sets aside for a moment the rotation of the earth and its orbit round the sun, one could say that the earth was at rest and that a train on it was traveling north at ninety miles per hour or that the train was at rest and the earth was moving south at ninety miles per hour. If one carried out experiments with moving bodies on the train, all Newton's laws would still hold. For instance, playing Ping-Pong on the train, one would find that the ball obeyed Newton's laws just like a ball on a table by the track. So there is no way to tell whether it is the train or the earth that is moving.
+  The lack of an absolute standard of rest meant that one could not determine whether two events that took place at different times occurred in the same position in space. For example, suppose our Ping-Pong ball on the train bounces straight up and down, hitting the table twice on the same spot one second apart. To someone on the track, the two bounces would seem to take place about forty meters apart, because the train would have traveled that far down the track between the bounces. The nonexistence of absolute rest therefore meant that one could not give an event an absolute position in space, as Aristotle had believed. The positions of events and the distances between them would be different for a person on the train and one on the track, and there would be no reason to prefer one person's position to the other's.
+  Newton was very worried by this lack of absolute position, or absolute space, as it was called, because it did not accord with his idea of an absolute God. In fact, he refused to accept lack of absolute space, even though it was implied by his laws. He was severely criticized for this irrational belief by many people, most notably by Bishop Berkeley, a philosopher who believed that all material objects and space and time are an illusion. When the famous Dr. Johnson was told of Berkeley's opinion, he cried, "I refute it thus!" and stubbed his toe on a large stone.
+  Both Aristotle and Newton believed in absolute time. That is, they believed that one could unambiguously measure the interval of time between two events, and that this time would be the same whoever measured it, provided they used a good clock. Time was completely separate from and independent of space. This is what most people would take to be the commonsense view. However, we have had to change our ideas about space and time. Although our apparently commonsense notions work well when dealing with things like apples, or planets that travel comparatively slowly, they don't work at all for things moving at or near the speed of light.
+  The fact that light travels at a finite, but very high, speed was first discovered in 1676 by the Danish astronomer Ole Christensen Roemer. He observed that the times at which the moons of Jupiter appeared to pass behind Jupiter were not evenly spaced, as one would expect if the moons went round Jupiter at a constant rate. As the earth and Jupiter orbit around the sun, the distance between them varies. Roemer noticed that eclipses of Jupiter's moons appeared later the farther we were from Jupiter. He argued that this was because the light from the moons took longer to reach us when we were farther away. His measurements of the variations in the distance of the earth from Jupiter were, however, not very accurate, and so his value for the speed of light was 140,000 miles per second, compared to the modern value of 186,000 miles per second. Nevertheless, Roemer's achievement, in not only proving that light travels at a finite speed, but also in measuring that speed, was remarkable-coming as it did eleven years before Newton's publication of Principia Mathematica.
+  A proper theory of the propagation of light didn't come until 1865, when the British physicist James Clerk Maxwell succeeded in unifying the partial theories that up to then had been used to describe the forces of electricity and magnetism. Maxwell's equations predicted that there could be wavelike disturbances in the combined electromagnetic field, and that these would travel at a fixed speed, like ripples on a pond. If the wavelength of these waves (the distance between one wave crest and the next) is a meter or more, they are what we now call radio waves. Shorter wavelengths are known as microwaves (a few centimeters) or infrared (more than a ten-thousandth of a centimeter). Visible light has a wavelength of between only forty and eighty millionths of a centimeter. Even shorter wavelengths are known as ultraviolet, X rays, and gamma rays.
+  Maxwell's theory predicted that radio or light waves should travel at a certain fixed speed. But Newton's theory had got rid of the idea of absolute rest, so if light was supposed to travel at a fixed speed, one would have to say what that fixed speed was to be measured relative to. It was therefore suggested that there was a substance called the "ether" that was present everywhere, even in "empty" space. Light waves should travel through the ether as sound waves travel through air, and their speed should therefore be relative to the ether. Different observers, moving relative to the ether, would see light coming toward them at different speeds, but light's speed relative to the ether would remain fixed. In particular, as the earth was moving through the ether on its orbit round the sun, the speed of light measured in the direction of the earth's motion through the ether (when we were moving toward the source of the light) should be higher than the speed of light at right angles to that motion (when we are not moving toward the source). In 1887 Albert Michelson (who later became the first American to receive the Nobel Prize for physics) and Edward Morley carried out a very careful experiment at the Case School of Applied Science in Cleveland. They compared the speed of light in the direction of the earth's motion with that at right angles to the earth's motion. To their great surprise, they found they were exactly the same!
+  Between 1887 and 1905 there were several attempts, most notably by the Dutch physicist Hendrik Lorentz, to explain the result of the Michelson-Morley experiment in terms of objects contracting and clocks slowing down when they moved through the ether. However, in a famous paper in 1905, a hitherto unknown clerk in the Swiss patent office, Albert Einstein, pointed out that the whole idea of an ether was unnecessary, providing one was willing to abandon the idea of absolute time. A similar point was made a few weeks later by a leading French mathematician, Henri Poincaré. Einstein's arguments were closer to physics than those of Poincaré, who regarded this problem as mathematical. Einstein is usually given the credit for the new theory, but Poincaré is remembered by having his name attached to an important part of it.
+  The fundamental postulate of the theory of relativity, as it was called, was that the laws of science should be the same for all freely moving observers, no matter what their speed. This was true for Newton's laws of motion, but now the idea was extended to include Maxwell's theory and the speed of light: all observers should measure the same speed of light, no matter how fast they are moving. This simple idea has some remarkable consequences. Perhaps the best known are the equivalence of mass and energy, summed up in Einstein's famous equation E=mc2 (where E is energy, m is mass, and c is the speed of light), and the law that nothing may travel faster than the speed of light. Because of the equivalence of energy and mass, the energy which an object has due to its motion will add to its mass. In other words, it will make it harder to increase its speed. This effect is only really significant for objects moving at speeds close to the speed of light. For example, at 10 percent of the speed of light an object's mass is only 0.5 percent more than normal, while at 90 percent of the speed of light it would be more than twice its normal mass. As an object approaches the speed of light, its mass rises ever more quickly, so it takes more and more energy to speed it up further. It can in fact never reach the speed of light, because by then its mass would have become infinite, and by the equivalence of mass and energy, it would have taken an infinite amount of energy to get it there. For this reason, any normal object is forever confined by relativity to move at speeds slower than the speed of light. Only light, or other waves that have no intrinsic mass, can move at the speed of light.
+  An equally remarkable consequence of relativity is the way it has revolutionized our ideas of space and time. In Newton's theory, if a pulse of light is sent from one place to another, different observers would agree on the time that the journey took (since time is absolute), but will not always agree on how far the light traveled (since space is not absolute). Since the speed of the light is just the distance it has traveled divided by the time it has taken, different observers would measure different speeds for the light. In relativity, on the other hand, all observers must agree on how fast light travels. They still, however, do not agree on the distance the light has traveled, so they must therefore now also disagree over the time it has taken. (The time taken is the distance the light has traveled-which the observers do not agree on-divided by the light's speed-which they do agree on.) In other words, the theory of relativity put an end to the idea of absolute time! It appeared that each observer must have his own measure of time, as recorded by a clock carried with him, and that identical clocks carried by different observers would not necessarily agree.
+  Each observer could use radar to say where and when an event took place by sending out a pulse of light or radio waves. Part of the pulse is reflected back at the event and the observer measures the time at which he receives the echo. The time of the event is then said to be the time halfway between when the pulse was sent and the time when the reflection was received back: the distance of the event is half the time taken for this round trip, multiplied by the speed of light. (An event, in this sense, is something that takes place at a single point in space, at a specified point in time.) This idea is shown in Fig. 2.1, which is an example of a space-time diagram. Using this procedure, observers who are moving relative to each other will assign different times and positions to the same event. No particular observer's measurements are any more correct than any other observer's, but all the measurements are related. Any observer can work out precisely what time and position any other observer will assign to an event, provided he knows the other observer's relative velocity.
+  Nowadays we use just this method to measure distances precisely, because we can measure time more accurately than length. In effect, the meter is defined to be the distance traveled by light in 0.000000003335640952 second, as measured by a cesium clock. (The reason for that particular number is that it corresponds to the historical definition of the meter-in terms of two marks on a particular platinum bar kept in Paris.) Equally, we can use a more convenient, new unit of length called a light-second. This is simply defined as the distance that light travels in one second. In the theory of relativity, we now define distance in terms of time and the speed of light, so it follows automatically that every observer will measure light to have the same speed (by definition, 1 meter per 0.000000003335640952 second). There is no need to introduce the idea of an ether, whose presence anyway cannot be detected, as the Michelson-Morley experiment showed. The theory of relativity does, however, force us to change fundamentally our ideas of space and time. We must accept that time is not completely separate from and independent of space, but is combined with it to form an object called space-time.
+
+FIGURE 2.1 Time is measured vertically, and the distance from the observer is measured horizontally. The observer's path through space and time is shown as the vertical line on the left. The paths of light rays to and from the event are the diagonal lines.
+  It is a matter of common experience that one can describe the position of a point in space by three numbers, or coordinates. For instance, one can say that a point in a room is seven feet from one wall, three feet from another, and five feet above the floor. Or one could specify that a point was at a certain latitude and longitude and a certain height above sea level. One is free to use any three suitable coordinates, although they have only a limited range of validity. One would not specify the position of the moon in terms of miles north and miles west of Piccadilly Circus and feet above sea level. Instead, one might describe it in terms of distance from the sun, distance from the plane of the orbits of the planets, and the angle between the line joining the moon to the sun and the line joining the sun to a nearby star such as Alpha Centauri. Even these coordinates would not be of much use in describing the position of the sun in our galaxy or the position of our galaxy in the local group of galaxies. In fact, one may describe the whole universe in terms of a collection of overlapping patches. In each patch, one can use a different set of three coordinates to specify the position of a point.
+  An event is something that happens at a particular point in space and at a particular time. So one can specify it by four numbers or coordinates. Again, the choice of coordinates is arbitrary; one can use any three well-defined spatial coordinates and any measure of time. In relativity, there is no real distinction between the space and time coordinates, just as there is no real difference between any two space coordinates. One could choose a new set of coordinates in which, say, the first space coordinate was a combination of the old first and second space coordinates. For instance, instead of measuring the position of a point on the earth in miles north of Piccadilly and miles west of Piccadilly, one could use miles northeast of Piccadilly, and miles northwest of Piccadilly. Similarly, in relativity, one could use a new time coordinate that was the old time (in seconds) plus the distance (in light-seconds) north of Piccadilly.
+  It is often helpful to think of the four coordinates of an event as specifying its position in a four-dimensional space called space-time. It is impossible to imagine a four-dimensional space. I personally find it hard enough to visualize three-dimensional space! However, it is easy to draw diagrams of two-dimensional spaces, such as the surface of the earth. (The surface of the earth is two-dimensional because the position of a point can be specified by two coordinates, latitude and longitude.) I shall generally use diagrams in which time increases upward and one of the spatial dimensions is shown horizontally. The other two spatial dimensions are ignored or, sometimes, one of them is indicated by perspective. (These are called space-time diagrams, like Fig. 2.1.) For example, in Fig. 2.2 time is measured upward in years and the distance along the line from the sun to Alpha Centauri is measured horizontally in miles. The paths of the sun and of Alpha Centauri through space-time are shown as the vertical lines on the left and right of the diagram. A ray of light from the sun follows the diagonal line, and takes four years to get from the sun to Alpha Centauri.
+  As we have seen, Maxwell's equations predicted that the speed of light should be the same whatever the speed of the source, and this has been confirmed by accurate measurements. It follows from this that if a pulse of light is emitted at a particular time at a particular point in space, then as time goes on it will spread out as a sphere of light whose size and position are independent of the speed of the source. After one millionth of a second the light will have spread out to form a sphere with a radius of 300 meters; after two millionths of a second, the radius will be 600 meters; and so on. It will be like the ripples that spread out on the surface of a pond when a stone is thrown in. The ripples spread out as a circle that gets bigger as time goes on. If one stacks snapshots of the ripples at different times one above the other, the expanding circle of ripples will mark out a cone whose tip is at the place and time at which the stone hit the water (Fig. 2.3). Similarly, the light spreading out from an event forms a (three-dimensional) cone in (the four-dimensional) space-time. This cone is called the future light cone of the event. In the same way we can draw another cone, called the past light cone, which is the set of events from which a pulse of light is able to reach the given event (Fig. 2.4).
+
+FIGURE 2.2
+
+FIGURE 2.3
+
+FIGURE 2.4
+  Given an event P, one can divide the other events in the universe into three classes. Those events that can be reached from the event P by a particle or wave traveling at or below the speed of light are said to be in the future of P. They will lie within or on the expanding sphere of light emitted from the event P. Thus they will lie within or on the future light cone of P in the space-time diagram. Only events in the future of P can be affected by what happens at P because nothing can travel faster than light.
+  Similarly, the past of P can be defined as the set of all events from which it is possible to reach the event P traveling at or below the speed of light. It is thus the set of events that can affect what happens at P. The events that do not lie in the future or past of P are said to lie in the elsewhere of P (Fig. 2.5). What happens at such events can neither affect nor be affected by what happens at P. For example, if the sun were to cease to shine at this very moment, it would not affect things on earth at the present time because they would be in the elsewhere of the event when the sun went out (Fig. 2.6). We would know about it only after eight minutes, the time it takes light to reach us from the sun. Only then would events on earth lie in the future light cone of the event at which the sun went out. Similarly, we do not know what is happening at the moment farther away in the universe: the light that we see from distant galaxies left them millions of years ago, and in the case of the most distant object that we have seen, the light left some eight thousand million years ago. Thus, when we look at the universe, we are seeing it as it was in the past.
+
+FIGURE 2.5
+  If one neglects gravitational effects, as Einstein and Poincaré did in 1905, one has what is called the special theory of relativity. For every event in space-time we may construct a light cone (the set of all possible paths of light in space-time emitted at that event), and since the speed of light is the same at every event and in every direction, all the light cones will be identical and will all point in the same direction. The theory also tells us that nothing can travel faster than light. This means that the path of any object through space and time must be represented by a line that lies within the light cone at each event on it (Fig. 2.7). The special theory of relativity was very successful in explaining that the speed of light appears the same to all observers (as shown by the Michelson-Morley experiment) and in describing what happens when things move at speeds close to the speed of light. However, it was inconsistent with the Newtonian theory of gravity, which said that objects attracted each other with a force that depended on the distance between them. This meant that if one moved one of the objects, the force on the other one would change instantaneously. Or in other words, gravitational effects should travel with infinite velocity, instead of at or below the speed of light, as the special theory of relativity required. Einstein made a number of unsuccessful attempts between 1908 and 1914 to find a theory of gravity that was consistent with special relativity. Finally, in 1915, he proposed what we now call the general theory of relativity.
+
+FIGURE 2.6
+
+FIGURE 2.7
+  Einstein made the revolutionary suggestion that gravity is not a force like other forces, but is a consequence of the fact that space-time is not flat, as had been previously assumed: it is curved, or "warped," by the distribution of mass and energy in it. Bodies like the earth are not made to move on curved orbits by a force called gravity; instead, they follow the nearest thing to a straight path in a curved space, which is called a geodesic. A geodesic is the shortest (or longest) path between two nearby points. For example, the surface of the earth is a two-dimensional curved space. A geodesic on the earth is called a great circle, and is the shortest route between two points (Fig. 2.8). As the geodesic is the shortest path between any two airports, this is the route an airline navigator will tell the pilot to fly along. In general relativity, bodies always follow straight lines in four-dimensional space-time, but they nevertheless appear to us to move along curved paths in our three-dimensional space. (This is rather like watching an airplane flying over hilly ground. Although it follows a straight line in three-dimensional space, its shadow follows a curved path on the two-dimensional ground.)
+
+FIGURE 2.8
+  The mass of the sun curves space-time in such a way that although the earth follows a straight path in four-dimensional space-time, it appears to us to move along a circular orbit in three-dimensional space. In fact, the orbits of the planets predicted by general relativity are almost exactly the same as those predicted by the Newtonian theory of gravity. However, in the case of Mercury, which, being the nearest planet to the sun, feels the strongest gravitational effects, and has a rather elongated orbit, general relativity predicts that the long axis of the ellipse should rotate about the sun at a rate of about one degree in ten thousand years. Small though this effect is, it had been noticed before 1915 and served as one of the first confirmations of Einstein's theory. In recent years the even smaller deviations of the orbits of the other planets from the Newtonian predictions have been measured by radar and found to agree with the predictions of general relativity.
+  Light rays too must follow geodesics in space-time. Again, the fact that space is curved means that light no longer appears to travel in straight lines in space. So general relativity predicts that light should be bent by gravitational fields. For example, the theory predicts that the light cones of points near the sun would be slightly bent inward, on account of the mass of the sun. This means that light from a distant star that happened to pass near the sun would be deflected through a small angle, causing the star to appear in a different position to an observer on the earth (Fig. 2.9). Of course, if the light from the star always passed close to the sun, we would not be able to tell whether the light was being deflected or if instead the star was really where we see it. However, as the earth orbits around the sun, different stars appear to pass behind the sun and have their light deflected. They therefore change their apparent position relative to other stars.
+
+FIGURE 2.9
+  It is normally very difficult to see this effect, because the light from the sun makes it impossible to observe stars that appear near to the sun in the sky. However, it is possible to do so during an eclipse of the sun, when the sun's light is blocked out by the moon. Einstein's prediction of light deflection could not be tested immediately in 1915, because the First World War was in progress, and it was not until 1919 that a British expedition, observing an eclipse from West Africa, showed that light was indeed deflected by the sun, just as predicted by the theory. This proof of a German theory by British scientists was hailed as a great act of reconciliation between the two countries after the war. It is ironic, therefore, that later examination of the photographs taken on that expedition showed the errors were as great as the effect they were trying to measure. Their measurement had been sheer luck, or a case of knowing the result they wanted to get, not an uncommon occurrence in science. The light deflection has, however, been accurately confirmed by a number of later observations.
+  Another prediction of general relativity is that time should appear to run slower near a massive body like the earth. This is because there is a relation between the energy of light and its frequency (that is, the number of waves of light per second): the greater the energy, the higher the frequency. As light travels upward in the earth's gravitational field, it loses energy, and so its frequency goes down. (This means that the length of time between one wave crest and the next goes up.) To someone high up, it would appear that everything down below was taking longer to happen. This prediction was tested in 1962, using a pair of very accurate clocks mounted at the top and bottom of a water tower. The clock at the bottom, which was nearer the earth, was found to run slower, in exact agreement with general relativity. The difference in the speed of clocks at different heights above the earth is now of considerable practical importance, with the advent of very accurate navigation systems based on signals from satellites. If one ignored the predictions of general relativity, the position that one calculated would be wrong by several miles!
+  Newton's laws of motion put an end to the idea of absolute position in space. The theory of relativity gets rid of absolute time. Consider a pair of twins. Suppose that one twin goes to live on the top of a mountain while the other stays at sea level. The first twin would age faster than the second. Thus, if they met again, one would be older than the other. In this case, the difference in ages would be very small, but it would be much larger if one of the twins went for a long trip in a spaceship at nearly the speed of light. When he returned, he would be much younger than the one who stayed on earth. This is known as the twins paradox, but it is a paradox only if one has the idea of absolute time at the back of one's mind. In the theory of relativity there is no unique absolute time, but instead each individual has his own personal measure of time that depends on where he is and how he is moving.
+  Before 1915, space and time were thought of as a fixed arena in which events took place, but which was not affected by what happened in it. This was true even of the special theory of relativity. Bodies moved, forces attracted and repelled, but time and space simply continued, unaffected. It was natural to think that space and time went on forever.
+  The situation, however, is quite different in the general theory of relativity. Space and time are now dynamic quantities: when a body moves, or a force acts, it affects the curvature of space and time-and in turn the structure of space-time affects the way in which bodies move and forces act. Space and time not only affect but also are affected by everything that happens in the universe. Just as one cannot talk about events in the universe without the notions of space and time, so in general relativity it became meaningless to talk about space and time outside the limits of the universe.
+  In the following decades this new understanding of space and time was to revolutionize our view of the universe. The old idea of an essentially unchanging universe that could have existed, and could continue to exist, forever was replaced by the notion of a dynamic, expanding universe that seemed to have begun a finite time ago, and that might end at a finite time in the future. That revolution forms the subject of the next chapter. And years later, it was also to be the starting point for my work in theoretical physics. Roger Penrose and I showed that Einstein's general theory of relativity implied that the universe must have a beginning and, possibly, an end.
+CHAPTER 3
+THE EXPANDING
+UNIVERSE
+I
+f one looks at the sky on a clear, moonless night, the brightest objects one sees are likely to be the planets Venus, Mars, Jupiter, and Saturn. There will also be a very large number of stars, which are just like our own sun but much farther from us. Some of these fixed stars do, in fact, appear to change very slightly their positions relative to each other as the earth orbits around the sun: they are not really fixed at all! This is because they are comparatively near to us. As the earth goes round the sun, we see them from different positions against the background of more distant stars. This is fortunate, because it enables us to measure directly the distance of these stars from us: the nearer they are, the more they appear to move. The nearest star, called Proxima Centauri, is found to be about four light-years away (the light from it takes about four years to reach earth), or about twenty-three million million miles. Most of the other stars that are visible to the naked eye lie within a few hundred light-years of us. Our sun, for comparison, is a mere eight light-minutes away! The visible stars appear spread all over the night sky, but are particularly concentrated in one band, which we call the Milky Way. As long ago as 1750, some astronomers were suggesting that the appearance of the Milky Way could be explained if most of the visible stars lie in a single disklike configuration, one example of what we now call a spiral galaxy. Only a few decades later, the astronomer Sir William Herschel confirmed this idea by painstakingly cataloging the positions and distances of vast numbers of stars. Even so, the idea gained complete acceptance only early this century.
+  Our modern picture of the universe dates back to only 1924, when the American astronomer Edwin Hubble demonstrated that ours was not the only galaxy. There were in fact many others, with vast tracts of empty space between them. In order to prove this, he needed to determine the distances to these other galaxies, which are so far away that, unlike nearby stars, they really do appear fixed. Hubble was forced, therefore, to use indirect methods to measure the distances. Now, the apparent brightness of a star depends on two factors: how much light it radiates (its luminosity), and how far it is from us. For nearby stars, we can measure their apparent brightness and their distance, and so we can work out their luminosity. Conversely, if we knew the luminosity of stars in other galaxies, we could work out their distance by measuring their apparent brightness. Hubble noted that certain types of stars always have the same luminosity when they are near enough for us to measure; therefore, he argued, if we found such stars in another galaxy, we could assume that they had the same luminosity-and so calculate the distance to that galaxy. If we could do this for a number of stars in the same galaxy, and our calculations always gave the same distance, we could be fairly confident of our estimate.
+  In this way, Edwin Hubble worked out the distances to nine different galaxies. We now know that our galaxy is only one of some hundred thousand million that can be seen using modern telescopes, each galaxy itself containing some hundred thousand million stars. Fig. 3.1 shows a picture of one spiral galaxy that is similar to what we think ours must look like to someone living in another galaxy. We live in a galaxy that is about one hundred thousand light-years across and is slowly rotating; the stars in its spiral arms orbit around its center about once every several hundred million years. Our sun is just an ordinary, average-sized, yellow star, near the inner edge of one of the spiral arms. We have certainly come a long way since Aristotle and Ptolemy, when we thought that the earth was the center of the universe!
+
+FIGURE 3.1
+  Stars are so far away that they appear to us to be just pinpoints of light. We cannot see their size or shape. So how can we tell different types of stars apart? For the vast majority of stars, there is only one characteristic feature that we can observe-the color of their light. Newton discovered that if light from the sun passes through a triangular-shaped piece of glass, called a prism, it breaks up into its component colors (its spectrum) as in a rainbow. By focusing a telescope on an individual star or galaxy, one can similarly observe the spectrum of the light from that star or galaxy. Different stars have different spectra, but the relative brightness of the different colors is always exactly what one would expect to find in the light emitted by an object that is glowing red hot. (In fact, the light emitted by any opaque object that is glowing red hot has a characteristic spectrum that depends only on its temperature-a thermal spectrum. This means that we can tell a star's temperature from the spectrum of its light.) Moreover, we find that certain very specific colors are missing from stars' spectra, and these missing colors may vary from star to star. Since we know that each chemical element absorbs a characteristic set of very specific colors, by matching these to those that are missing from a star's spectrum, we can determine exactly which elements are present in the star's atmosphere.
+  In the 1920s, when astronomers began to look at the spectra of stars in other galaxies, they found something most peculiar: there were the same characteristic sets of missing colors as for stars in our own galaxy, but they were all shifted by the same relative amount toward the red end of the spectrum. To understand the implications of this, we must first understand the Doppler effect. As we have seen, visible light consists of fluctuations, or waves, in the electromagnetic field. The wavelength (or distance from one wave crest to the next) of light is extremely small, ranging from four to seven ten-millionths of a meter. The different wavelengths of light are what the human eye sees as different colors, with the longest wavelengths appearing at the red end of the spectrum and the shortest wavelengths at the blue end. Now imagine a source of light at a constant distance from us, such as a star, emitting waves of light at a constant wavelength. Obviously the wavelength of the waves we receive will be the same as the wavelength at which they are emitted (the gravitational field of the galaxy will not be large enough to have a significant effect). Suppose now that the source starts moving toward us. When the source emits the next wave crest it will be nearer to us, so the distance between wave crests will be smaller than when the star was stationary. This means that the wavelength of the waves we receive is shorter than when the star was stationary. Correspondingly, if the source is moving away from us, the wavelength of the waves we receive will be longer. In the case of light, therefore, this means that stars moving away from us will have their spectra shifted toward the red end of the spectrum (red-shifted) and those moving toward us will have their spectra blue-shifted. This relationship between wavelength and speed, which is called the Doppler effect, is an everyday experience. Listen to a car passing on the road: as the car is approaching, its engine sounds at a higher pitch (corresponding to a shorter wavelength and higher frequency of sound waves), and when it passes and goes away, it sounds at a lower pitch. The behavior of light or radio waves is similar. Indeed, the police make use of the Doppler effect to measure the speed of cars by measuring the wavelength of pulses of radio waves reflected off them.
+  In the years following his proof of the existence of other galaxies, Hubble spent his time cataloging their distances and observing their spectra. At that time most people expected the galaxies to be moving around quite randomly, and so expected to find as many blue-shifted spectra as red-shifted ones. It was quite a surprise, therefore, to find that most galaxies appeared red-shifted: nearly all were moving away from us! More surprising still was the finding that Hubble published in 1929: even the size of a galaxy's red shift is not random, but is directly proportional to the galaxy's distance from us. Or, in other words, the farther a galaxy is, the faster it is moving away! And that meant that the universe could not be static, as everyone previously had thought, but is in fact expanding; the distance between the different galaxies is growing all the time.
+  The discovery that the universe is expanding was one of the great intellectual revolutions of the twentieth century. With hindsight, it is easy to wonder why no one had thought of it before. Newton, and others, should have realized that a static universe would soon start to contract under the influence of gravity. But suppose instead that the universe is expanding. If it was expanding fairly slowly, the force of gravity would cause it eventually to stop expanding and then to start contracting. However, if it was expanding at more than a certain critical rate, gravity would never be strong enough to stop it, and the universe would continue to expand forever. This is a bit like what happens when one fires a rocket upward from the surface of the earth. If it has a fairly low speed, gravity will eventually stop the rocket and it will start falling back. On the other hand, if the rocket has more than a certain critical speed (about seven miles per second), gravity will not be strong enough to pull it back, so it will keep going away from the earth forever. This behavior of the universe could have been predicted from Newton's theory of gravity at any time in the nineteenth, the eighteenth, or even the late seventeenth century. Yet so strong was the belief in a static universe that it persisted into the early twentieth century. Even Einstein, when he formulated the general theory of relativity in 1915, was so sure that the universe had to be static that he modified his theory to make this possible, introducing a so-called cosmological constant into his equations. Einstein introduced a new "antigravity" force, which, unlike other forces, did not come from any particular source but was built into the very fabric of space-time. He claimed that space-time had an inbuilt tendency to expand, and this could be made to balance exactly the attraction of all the matter in the universe, so that a static universe would result. Only one man, it seems, was willing to take general relativity at face value, and while Einstein and other physicists were looking for ways of avoiding general relativity's prediction of a nonstatic universe, the Russian physicist and mathematician Alexander Friedmann instead set about explaining it.
+  Friedmann made two very simple assumptions about the universe: that the universe looks identical in whichever direction we look, and that this would also be true if we were observing the universe from anywhere else. From these two ideas alone, Friedmann showed that we should not expect the universe to be static. In fact, in 1922, several years before Edwin Hubble's discovery, Friedmann predicted exactly what Hubble found!
+  The assumption that the universe looks the same in every direction is clearly not true in reality. For example, as we have seen, the other stars in our galaxy form a distinct band of light across the night sky, called the Milky Way. But if we look at distant galaxies, there seems to be more or less the same number of them. So the universe does seem to be roughly the same in every direction, provided one views it on a large scale compared to the distance between galaxies, and ignores the differences on small scales. For a long time, this was sufficient justification for Friedmann's assumption-as a rough approximation to the real universe. But more recently a lucky accident uncovered the fact that Friedmann's assumption is in fact a remarkably accurate description of our universe.
+  In 1965 two American physicists at the Bell Telephone Laboratories in New Jersey, Arno Penzias and Robert Wilson, were testing a very sensitive microwave detector. (Microwaves are just like light waves, but with a wavelength of around a centimeter.) Penzias and Wilson were worried when they found that their detector was picking up more noise than it ought to. The noise did not appear to be coming from any particular direction. First they discovered bird droppings in their detector and checked for other possible malfunctions, but soon ruled these out. They knew that any noise from within the atmosphere would be stronger when the detector was not pointing straight up than when it was, because light rays travel through much more atmosphere when received from near the horizon than when received from directly overhead. The extra noise was the same whichever direction the detector was pointed, so it must come from outside the atmosphere. It was also the same day and night and throughout the year, even though the earth was rotating on its axis and orbiting around the sun. This showed that the radiation must come from beyond the Solar System, and even from beyond the galaxy, as otherwise it would vary as the movement of earth pointed the detector in different directions.
+  In fact, we know that the radiation must have traveled to us across most of the observable universe, and since it appears to be the same in different directions, the universe must also be the same in every direction, if only on a large scale. We now know that whichever direction we look, this noise never varies by more than a tiny fraction: so Penzias and Wilson had unwittingly stumbled across a remarkably accurate confirmation of Friedmann's first assumption. However, because the universe is not exactly the same in every direction, but only on average on a large scale, the microwaves cannot be exactly the same in every direction either. There have to be slight variations between different directions. These were first detected in 1992 by the Cosmic Background Explorer satellite, or COBE, at a level of about one part in a hundred thousand. Small though these variations are, they are very important, as will be explained in Chapter 8.
+  At roughly the same time as Penzias and Wilson were investigating noise in their detector, two American physicists at nearby Princeton University, Bob Dicke and Jim Peebles, were also taking an interest in microwaves. They were working on a suggestion, made by George Gamow (once a student of Alexander Friedmann), that the early universe should have been very hot and dense, glowing white hot. Dicke and Peebles argued that we should still be able to see the glow of the early universe, because light from very distant parts of it would only just be reaching us now. However, the expansion of the universe meant that this light should be so greatly red-shifted that it would appear to us now as microwave radiation. Dicke and Peebles were preparing to look for this radiation when Penzias and Wilson heard about their work and realized that they had already found it. For this, Penzias and Wilson were awarded the Nobel Prize in 1978 (which seems a bit hard on Dicke and Peebles, not to mention Gamow!).
+  Now at first sight, all this evidence that the universe looks the same whichever direction we look in might seem to suggest there is something special about our place in the universe. In particular, it might seem that if we observe all other galaxies to be moving away from us, then we must be at the center of the universe. There is, however, an alternate explanation: the universe might look the same in every direction as seen from any other galaxy too. This, as we have seen, was Friedmann's second assumption. We have no scientific evidence for, or against, this assumption. We believe it only on grounds of modesty: it would be most remarkable if the universe looked the same in every direction around us, but not around other points in the universe! In Friedmann's model, all the galaxies are moving directly away from each other. The situation is rather like a balloon with a number of spots painted on it being steadily blown up. As the balloon expands, the distance between any two spots increases, but there is no spot that can be said to be the center of the expansion. Moreover, the farther apart the spots are, the faster they will be moving apart. Similarly, in Friedmann's model the speed at which any two galaxies are moving apart is proportional to the distance between them. So it predicted that the red shift of a galaxy should be directly proportional to its distance from us, exactly as Hubble found. Despite the success of his model and his prediction of Hubble's observations, Friedmann's work remained largely unknown in the West until similar models were discovered in 1935 by the American physicist Howard Robertson and the British mathematician Arthur Walker, in response to Hubble's discovery of the uniform expansion of the universe.
+  Although Friedmann found only one, there are in fact three different kinds of models that obey Friedmann's two fundamental assumptions. In the first kind (which Friedmann found) the universe is expanding sufficiently slowly that the gravitational attraction between the different galaxies causes the expansion to slow down and eventually to stop. The galaxies then start to move toward each other and the universe contracts. Fig. 3.2 shows how the distance between two neighboring galaxies changes as time increases. It starts at zero, increases to a maximum, and then decreases to zero again. In the second kind of solution, the universe is expanding so rapidly that the gravitational attraction can never stop it, though it does slow it down a bit. Fig. 3.3 shows the separation between neighboring galaxies in this model. It starts at zero and eventually the galaxies are moving apart at a steady speed. Finally, there is a third kind of solution, in which the universe is expanding only just fast enough to avoid recollapse. In this case the separation, shown in Fig. 3.4, also starts at zero and increases forever. However, the speed at which the galaxies are moving apart gets smaller and smaller, although it never quite reaches zero.
+
+FIGURE 3.2
+
+FIGURE 3.3
+
+FIGURE 3.4
+  A remarkable feature of the first kind of Friedmann model is that in it the universe is not infinite in space, but neither does space have any boundary. Gravity is so strong that space is bent round onto itself, making it rather like the surface of the earth. If one keeps traveling in a certain direction on the surface of the earth, one never comes up against an impassable barrier or falls over the edge, but eventually comes back to where one started. In the first Friedmann model, space is just like this, but with three dimensions instead of two for the earth's surface. The fourth dimension, time, is also finite in extent, but it is like a line with two ends or boundaries, a beginning and an end. We shall see later that when one combines general relativity with the uncertainty principle of quantum mechanics, it is possible for both space and time to be finite without any edges or boundaries.
+  The idea that one could go right round the universe and end up where one started makes good science fiction, but it doesn't have much practical significance, because it can be shown that the universe would recollapse to zero size before one could get round. You would need to travel faster than light in order to end up where you started before the universe came to an end-and that is not allowed!
+  In the first kind of Friedmann model, which expands and recollapses, space is bent in on itself, like the surface of the earth. It is therefore finite in extent. In the second kind of model, which expands forever, space is bent the other way, like the surface of a saddle. So in this case space is infinite. Finally, in the third kind of Friedmann model, with just the critical rate of expansion, space is flat (and therefore is also infinite).
+  But which Friedmann model describes our universe? Will the universe eventually stop expanding and start contracting, or will it expand forever? To answer this question we need to know the present rate of expansion of the universe and its present average density. If the density is less than a certain critical value, determined by the rate of expansion, the gravitational attraction will be too weak to halt the expansion. If the density is greater than the critical value, gravity will stop the expansion at some time in the future and cause the universe to recollapse.
+  We can determine the present rate of expansion by measuring the velocities at which other galaxies are moving away from us, using the Doppler effect. This can be done very accurately. However, the distances to the galaxies are not very well known because we can only measure them indirectly. So all we know is that the universe is expanding by between 5 percent and 10 percent every thousand million years. However, our uncertainty about the present average density of the universe is even greater. If we add up the masses of all the stars that we can see in our galaxy and other galaxies, the total is less than one hundredth of the amount required to halt the expansion of the universe, even for the lowest estimate of the rate of expansion. Our galaxy and other galaxies, however, must contain a large amount of "dark matter" that we cannot see directly, but which we know must be there because of the influence of its gravitational attraction on the orbits of stars in the galaxies. Moreover, most galaxies are found in clusters, and we can similarly infer the presence of yet more dark matter in between the galaxies in these clusters by its effect on the motion of the galaxies. When we add up all this dark matter, we still get only about one tenth of the amount required to halt the expansion. However, we cannot exclude the possibility that there might be some other form of matter, distributed almost uniformly throughout the universe, that we have not yet detected and that might still raise the average density of the universe up to the critical value needed to halt the expansion. The present evidence therefore suggests that the universe will probably expand forever, but all we can really be sure of is that even if the universe is going to recollapse, it won't do so for at least another ten thousand million years, since it has already been expanding for at least that long. This should not unduly worry us: by that time, unless we have colonized beyond the Solar System, mankind will long since have died out, extinguished along with our sun!
+  All of the Friedmann solutions have the feature that at some time in the past (between ten and twenty thousand million years ago) the distance between neighboring galaxies must have been zero. At that time, which we call the big bang, the density of the universe and the curvature of space-time would have been infinite. Because mathematics cannot really handle infinite numbers, this means that the general theory of relativity (on which Friedmann's solutions are based) predicts that there is a point in the universe where the theory itself breaks down. Such a point is an example of what mathematicians call a singularity. In fact, all our theories of science are formulated on the assumption that space-time is smooth and nearly flat, so they break down at the big bang singularity, where the curvature of space-time is infinite. This means that even if there were events before the big bang, one could not use them to determine what would happen afterward, because predictability would break down at the big bang.
+  Correspondingly, if, as is the case, we know only what has happened since the big bang, we could not determine what happened beforehand. As far as we are concerned, events before the big bang can have no consequences, so they should not form part of a scientific model of the universe. We should therefore cut them out of the model and say that time had a beginning at the big bang.
+  Many people do not like the idea that time has a beginning, probably because it smacks of divine intervention. (The Catholic Church, on the other hand, seized on the big bang model and in 1951 officially pronounced it to be in accordance with the Bible.) There were therefore a number of attempts to avoid the conclusion that there had been a big bang. The proposal that gained widest support was called the steady state theory. It was suggested in 1948 by two refugees from Nazi-occupied Austria, Hermann Bondi and Thomas Gold, together with a Briton, Fred Hoyle, who had worked with them on the development of radar during the war. The idea was that as the galaxies moved away from each other, new galaxies were continually forming in the gaps in between, from new matter that was being continually created. The universe would therefore look roughly the same at all times as well as at all points of space. The steady state theory required a modification of general relativity to allow for the continual creation of matter, but the rate that was involved was so low (about one particle per cubic kilometer per year) that it was not in conflict with experiment. The theory was a good scientific theory, in the sense described in Chapter 1: it was simple and it made definite predictions that could be tested by observation. One of these predictions was that the number of galaxies or similar objects in any given volume of space should be the same wherever and whenever we look in the universe. In the late 1950s and early 1960s a survey of sources of radio waves from outer space was carried out at Cambridge by a group of astronomers led by Martin Ryle (who had also worked with Bondi, Gold, and Hoyle on radar during the war). The Cambridge group showed that most of these radio sources must lie outside our galaxy (indeed many of them could be identified with other galaxies) and also that there were many more weak sources than strong ones. They interpreted the weak sources as being the more distant ones, and the stronger ones as being nearer. Then there appeared to be less common sources per unit volume of space for the nearby sources than for the distant ones. This could mean that we are at the center of a great region in the universe in which the sources are fewer than elsewhere. Alternatively, it could mean that the sources were more numerous in the past, at the time that the radio waves left on their journey to us, than they are now. Either explanation contradicted the predictions of the steady state theory. Moreover, the discovery of the microwave radiation by Penzias and Wilson in 1965 also indicated that the universe must have been much denser in the past. The steady state theory therefore had to be abandoned.
+  Another attempt to avoid the conclusion that there must have been a big bang, and therefore a beginning of time, was made by two Russian scientists, Evgenii Lifshitz and Isaac Khalatnikov, in 1963. They suggested that the big bang might be a peculiarity of Friedmann's models alone, which after all were only approximations to the real universe. Perhaps, of all the models that were roughly like the real universe, only Friedmann's would contain a big bang singularity. In Friedmann's models, the galaxies are all moving directly away from each other-so it is not surprising that at some time in the past they were all at the same place. In the real universe, however, the galaxies are not just moving directly away from each other-they also have small sideways velocities. So in reality they need never have been all at exactly the same place, only very close together. Perhaps then the current expanding universe resulted not from a big bang singularity, but from an earlier contracting phase; as the universe had collapsed the particles in it might not have all collided, but had flown past and then away from each other, producing the present expansion of the universe. How then could we tell whether the real universe should have started out with a big bang? What Lifshitz and Khalatnikov did was to study models of the universe that were roughly like Friedmann's models but took account of the irregularities and random velocities of galaxies in the real universe. They showed that such models could start with a big bang, even though the galaxies were no longer always moving directly away from each other, but they claimed that this was still only possible in certain exceptional models in which the galaxies were all moving in just the right way. They argued that since there seemed to be infinitely more Friedmann-like models without a big bang singularity than there were with one, we should conclude that there had not in reality been a big bang. They later realized, however, that there was a much more general class of Friedmann-like models that did have singularities, and in which the galaxies did not have to be moving any special way. They therefore withdrew their claim in 1970.
+  The work of Lifshitz and Khalatnikov was valuable because it showed that the universe could have had a singularity, a big bang, if the general theory of relativity was correct. However, it did not resolve the crucial question: Does general relativity predict that our universe should have had a big bang, a beginning of time? The answer to this came out of a completely different approach introduced by a British mathematician and physicist, Roger Penrose, in 1965. Using the way light cones behave in general relativity, together with the fact that gravity is always attractive, he showed that a star collapsing under its own gravity is trapped in a region whose surface eventually shrinks to zero size. And, since the surface of the region shrinks to zero, so too must its volume. All the matter in the star will be compressed into a region of zero volume, so the density of matter and the curvature of space-time become infinite. In other words, one has a singularity contained within a region of space-time known as a black hole.
+  At first sight, Penrose's result applied only to stars; it didn't have anything to say about the question of whether the entire universe had a big bang singularity in its past. However, at the time that Penrose produced his theorem, I was a research student desperately looking for a problem with which to complete my Ph.D. thesis. Two years before, I had been diagnosed as suffering from ALS, commonly known as Lou Gehrig's disease, or motor neuron disease, and given to understand that I had only one or two more years to live. In these circumstances there had not seemed much point in working on my Ph.D.-I did not expect to survive that long. Yet two years had gone by and I was not that much worse. In fact, things were going rather well for me and I had gotten engaged to a very nice girl, Jane Wilde. But in order to get married, I needed a job, and in order to get a job, I needed a Ph.D.
+  In 1965 I read about Penrose's theorem that any body undergoing gravitational collapse must eventually form a singularity. I soon realized that if one reversed the direction of time in Penrose's theorem, so that the collapse became an expansion, the conditions of his theorem would still hold, provided the universe were roughly like a Friedmann model on large scales at the present time. Penrose's theorem had shown that any collapsing star must end in a singularity; the time-reversed argument showed that any Friedmann-like expanding universe must have begun with a singularity. For technical reasons, Penrose's theorem required that the universe be infinite in space. So I could in fact use it to prove that there should be a singularity only if the universe was expanding fast enough to avoid collapsing again (since only those Friedmann models were infinite in space).
+  During the next few years I developed new mathematical techniques to remove this and other technical conditions from the theorems that proved that singularities must occur. The final result was a joint paper by Penrose and myself in 1970, which at last proved that there must have been a big bang singularity provided only that general relativity is correct and the universe contains as much matter as we observe. There was a lot of opposition to our work, partly from the Russians because of their Marxist belief in scientific determinism, and partly from people who felt that the whole idea of singularities was repugnant and spoiled the beauty of Einstein's theory. However, one cannot really argue with a mathematical theorem. So in the end our work became generally accepted and nowadays nearly everyone assumes that the universe started with a big bang singularity. It is perhaps ironic that, having changed my mind, I am now trying to convince other physicists that there was in fact no singularity at the beginning of the universe-as we shall see later, it can disappear once quantum effects are taken into account.
+  We have seen in this chapter how, in less than half a century, man's view of the universe, formed over millennia, has been transformed. Hubble's discovery that the universe was expanding, and the realization of the insignificance of our own planet in the vastness of the universe, were just the starting point. As experimental and theoretical evidence mounted, it became more and more clear that the universe must have had a beginning in time, until in 1970 this was finally proved by Penrose and myself, on the basis of Einstein's general theory of relativity. That proof showed that general relativity is only an incomplete theory: it cannot tell us how the universe started off, because it predicts that all physical theories, including itself, break down at the beginning of the universe. However, general relativity claims to be only a partial theory, so what the singularity theorems really show is that there must have been a time in the very early universe when the universe was so small that one could no longer ignore the small-scale effects of the other great partial theory of the twentieth century, quantum mechanics. At the start of the 1970s, then, we were forced to turn our search for an understanding of the universe from our theory of the extraordinarily vast to our theory of the extraordinarily tiny. That theory, quantum mechanics, will be described next, before we turn to the efforts to combine the two partial theories into a single quantum theory of gravity.
+CHAPTER 4
+THE
+UNCERTAINTY
+PRINCIPLE
+T
+he success of scientific theories, particularly Newton's theory of gravity, led the French scientist the Marquis de Laplace at the beginning of the nineteenth century to argue that the universe was completely deterministic. Laplace suggested that there should be a set of scientific laws that would allow us to predict everything that would happen in the universe, if only we knew the complete state of the universe at one time. For example, if we knew the positions and speeds of the sun and the planets at one time, then we could use Newton's laws to calculate the state of the Solar System at any other time. Determinism seems fairly obvious in this case, but Laplace went further to assume that there were similar laws governing everything else, including human behavior.
+  The doctrine of scientific determinism was strongly resisted by many people, who felt that it infringed God's freedom to intervene in the world, but it remained the standard assumption of science until the early years of this century. One of the first indications that this belief would have to be abandoned came when calculations by the British scientists Lord Rayleigh and Sir James Jeans suggested that a hot object, or body, such as a star, must radiate energy at an infinite rate. According to the laws we believed at the time, a hot body ought to give off electromagnetic waves (such as radio waves, visible light, or X rays) equally at all frequencies. For example, a hot body should radiate the same amount of energy in waves with frequencies between one and two million million waves a second as in waves with frequencies between two and three million million waves a second. Now since the number of waves a second is unlimited, this would mean that the total energy radiated would be infinite.
+  In order to avoid this obviously ridiculous result, the German scientist Max Planck suggested in 1900 that light, X rays, and other waves could not be emitted at an arbitrary rate, but only in certain packets that he called quanta. Moreover, each quantum had a certain amount of energy that was greater the higher the frequency of the waves, so at a high enough frequency the emission of a single quantum would require more energy than was available. Thus the radiation at high frequencies would be reduced, and so the rate at which the body lost energy would be finite.
+  The quantum hypothesis explained the observed rate of emission of radiation from hot bodies very well, but its implications for determinism were not realized until 1926, when another German scientist, Werner Heisenberg, formulated his famous uncertainty principle. In order to predict the future position and velocity of a particle, one has to be able to measure its present position and velocity accurately. The obvious way to do this is to shine light on the particle. Some of the waves of light will be scattered by the particle and this will indicate its position. However, one will not be able to determine the position of the particle more accurately than the distance between the wave crests of light, so one needs to use light of a short wavelength in order to measure the position of the particle precisely. Now, by Planck's quantum hypothesis, one cannot use an arbitrarily small amount of light; one has to use at least one quantum. This quantum will disturb the particle and change its velocity in a way that cannot be predicted. Moreover, the more accurately one measures the position, the shorter the wavelength of the light that one needs and hence the higher the energy of a single quantum. So the velocity of the particle will be disturbed by a larger amount. In other words, the more accurately you try to measure the position of the particle, the less accurately you can measure its speed, and vice versa. Heisenberg showed that the uncertainty in the position of the particle times the uncertainty in its velocity times the mass of the particle can never be smaller than a certain quantity, which is known as Planck's constant. Moreover, this limit does not depend on the way in which one tries to measure the position or velocity of the particle, or on the type of particle: Heisenberg's uncertainty principle is a fundamental, inescapable property of the world.
+  The uncertainty principle had profound implications for the way in which we view the world. Even after more than seventy years they have not been fully appreciated by many philosophers, and are still the subject of much controversy. The uncertainty principle signaled an end to Laplace's dream of a theory of science, a model of the universe that would be completely deterministic: one certainly cannot predict future events exactly if one cannot even measure the present state of the universe precisely! We could still imagine that there is a set of laws that determine events completely for some supernatural being, who could observe the present state of the universe without disturbing it. However, such models of the universe are not of much interest to us ordinary mortals. It seems better to employ the principle of economy known as Occam's razor and cut out all the features of the theory that cannot be observed. This approach led Heisenberg, Erwin Schrödinger, and Paul Dirac in the 1920s to reformulate mechanics into a new theory called quantum mechanics, based on the uncertainty principle. In this theory particles no longer had separate, well-defined positions and velocities that could not be observed. Instead, they had a quantum state, which was a combination of position and velocity.
+  In general, quantum mechanics does not predict a single definite result for an observation. Instead, it predicts a number of different possible outcomes and tells us how likely each of these is. That is to say, if one made the same measurement on a large number of similar systems, each of which started off in the same way, one would find that the result of the measurement would be A in a certain number of cases, B in a different number, and so on. One could predict the approximate number of times that the result would be A or B, but one could not predict the specific result of an individual measurement. Quantum mechanics therefore introduces an unavoidable element of unpredictability or randomness into science. Einstein objected to this very strongly, despite the important role he had played in the development of these ideas. Einstein was awarded the Nobel Prize for his contribution to quantum theory. Nevertheless, Einstein never accepted that the universe was governed by chance; his feelings were summed up in his famous statement "God does not play dice." Most other scientists, however, were willing to accept quantum mechanics because it agreed perfectly with experiment. Indeed, it has been an outstandingly successful theory and underlies nearly all of modern science and technology. It governs the behavior of transistors and integrated circuits, which are the essential components of electronic devices such as televisions and computers, and is also the basis of modern chemistry and biology. The only areas of physical science into which quantum mechanics has not yet been properly incorporated are gravity and the large-scale structure of the universe.
+  Although light is made up of waves, Planck's quantum hypothesis tells us that in some ways it behaves as if it were composed of particles: it can be emitted or absorbed only in packets, or quanta. Equally, Heisenberg's uncertainty principle implies that particles behave in some respects like waves: they do not have a definite position but are "smeared out" with a certain probability distribution. The theory of quantum mechanics is based on an entirely new type of mathematics that no longer describes the real world in terms of particles and waves; it is only the observations of the world that may be described in those terms. There is thus a duality between waves and particles in quantum mechanics: for some purposes it is helpful to think of particles as waves and for other purposes it is better to think of waves as particles. An important consequence of this is that one can observe what is called interference between two sets of waves or particles. That is to say, the crests of one set of waves may coincide with the troughs of the other set. The two sets of waves then cancel each other out rather than adding up to a stronger wave as one might expect (Fig. 4.1). A familiar example of interference in the case of light is the colors that are often seen in soap bubbles. These are caused by reflection of light from the two sides of the thin film of water forming the bubble. White light consists of light waves of all different wavelengths, or colors. For certain wavelengths the crests of the waves reflected from one side of the soap film coincide with the troughs reflected from the other side. The colors corresponding to these wavelengths are absent from the reflected light, which therefore appears to be colored.
+  Interference can also occur for particles, because of the duality introduced by quantum mechanics. A famous example is the so-called two-slit experiment (Fig. 4.2). Consider a partition with two narrow parallel slits in it. On one side of the partition one places a source of light of a particular color (that is, of a particular wavelength). Most of the light will hit the partition, but a small amount will go through the slits. Now suppose one places a screen on the far side of the partition from the light. Any point on the screen will receive waves from the two slits. However, in general, the distance the light has to travel from the source to the screen via the two slits will be different. This will mean that the waves from the slits will not be in phase with each other when they arrive at the screen: in some places the waves will cancel each other out, and in others they will reinforce each other. The result is a characteristic pattern of light and dark fringes.
+
+FIGURE 4.1
+
+FIGURE 4.2
+  The remarkable thing is that one gets exactly the same kind of fringes if one replaces the source of light by a source of particles such as electrons with a definite speed (this means that the corresponding waves have a definite length). It seems the more peculiar because if one only has one slit, one does not get any fringes, just a uniform distribution of electrons across the screen. One might therefore think that opening another slit would just increase the number of electrons hitting each point of the screen, but, because of interference, it actually decreases it in some places. If electrons are sent through the slits one at a time, one would expect each to pass through one slit or the other, and so behave just as if the slit it passed through were the only one there-giving a uniform distribution on the screen. In reality, however, even when the electrons are sent one at a time, the fringes still appear. Each electron, therefore, must be passing through both slits at the same time!
+  The phenomenon of interference between particles has been crucial to our understanding of the structure of atoms, the basic units of chemistry and biology and the building blocks out of which we, and everything around us, are made. At the beginning of this century it was thought that atoms were rather like the planets orbiting the sun, with electrons (particles of negative electricity) orbiting around a central nucleus, which carried positive electricity. The attraction between the positive and negative electricity was supposed to keep the electrons in their orbits in the same way that the gravitational attraction between the sun and the planets keeps the planets in their orbits. The trouble with this was that the laws of mechanics and electricity, before quantum mechanics, predicted that the electrons would lose energy and so spiral inward until they collided with the nucleus. This would mean that the atom, and indeed all matter, should rapidly collapse to a state of very high density. A partial solution to this problem was found by the Danish scientist Niels Bohr in 1913. He suggested that maybe the electrons were not able to orbit at just any distance from the central nucleus but only at certain specified distances. If one also supposed that only one or two electrons could orbit at any one of these distances, this would solve the problem of the collapse of the atom, because the electrons could not spiral in any farther than to fill up the orbits with the least distances and energies.
+  This model explained quite well the structure of the simplest atom, hydrogen, which has only one electron orbiting around the nucleus. But it was not clear how one ought to extend it to more complicated atoms. Moreover, the idea of a limited set of allowed orbits seemed very arbitrary. The new theory of quantum mechanics resolved this difficulty. It revealed that an electron orbiting around the nucleus could be thought of as a wave, with a wavelength that depended on its velocity. For certain orbits, the length of the orbit would correspond to a whole number (as opposed to a fractional number) of wavelengths of the electron. For these orbits the wave crest would be in the same position each time round, so the waves would add up: these orbits would correspond to Bohr's allowed orbits. However, for orbits whose lengths were not a whole number of wavelengths, each wave crest would eventually be canceled out by a trough as the electrons went round; these orbits would not be allowed.
+  A nice way of visualizing the wave/particle duality is the so-called sum over histories introduced by the American scientist Richard Feynman. In this approach the particle is not supposed to have a single history or path in space-time, as it would in a classical, nonquantum theory. Instead it is supposed to go from A to B by every possible path. With each path there are associated a couple of numbers: one represents the size of a wave and the other represents the position in the cycle (i.e., whether it is at a crest or a trough). The probability of going from A to B is found by adding up the waves for all the paths. In general, if one compares a set of neighboring paths, the phases or positions in the cycle will differ greatly. This means that the waves associated with these paths will almost exactly cancel each other out. However, for some sets of neighboring paths the phase will not vary much between paths. The waves for these paths will not cancel out. Such paths correspond to Bohr's allowed orbits.
+  With these ideas, in concrete mathematical form, it was relatively straightforward to calculate the allowed orbits in more complicated atoms and even in molecules, which are made up of a number of atoms held together by electrons in orbits that go round more than one nucleus. Since the structure of molecules and their reactions with each other underlie all of chemistry and biology, quantum mechanics allows us in principle to predict nearly everything we see around us, within the limits set by the uncertainty principle. (In practice, however, the calculations required for systems containing more than a few electrons are so complicated that we cannot do them.)
+  Einstein's general theory of relativity seems to govern the large-scale structure of the universe. It is what is called a classical theory; that is, it does not take account of the uncertainty principle of quantum mechanics, as it should for consistency with other theories. The reason that this does not lead to any discrepancy with observation is that all the gravitational fields that we normally experience are very weak. However, the singularity theorems discussed earlier indicate that the gravitational field should get very strong in at least two situations, black holes and the big bang. In such strong fields the effects of quantum mechanics should be important. Thus, in a sense, classical general relativity, by predicting points of infinite density, predicts its own downfall, just as classical (that is, nonquantum) mechanics predicted its downfall by suggesting that atoms should collapse to infinite density. We do not yet have a complete consistent theory that unifies general relativity and quantum mechanics, but we do know a number of the features it should have. The consequences that these would have for black holes and the big bang will be described in later chapters. For the moment, however, we shall turn to the recent attempts to bring together our understanding of the other forces of nature into a single, unified quantum theory.
+CHAPTER 5
+ELEMENTARY
+PARTICLES AND
+THE FORCES OF
+NATURE
+A
+ristotle believed that all the matter in the universe was made up of four basic elements-earth, air, fire, and water. These elements were acted on by two forces: gravity, the tendency for earth and water to sink, and levity, the tendency for air and fire to rise. This division of the contents of the universe into matter and forces is still used today.
+  Aristotle believed that matter was continuous, that is, one could divide a piece of matter into smaller and smaller bits without any limit: one never came up against a grain of matter that could not be divided further. A few Greeks, however, such as Democritus, held that matter was inherently grainy and that everything was made up of large numbers of various different kinds of atoms. (The word atom means "indivisible" in Greek.) For centuries the argument continued without any real evidence on either side, but in 1803 the British chemist and physicist John Dalton pointed out that the fact that chemical compounds always combined in certain proportions could be explained by the grouping together of atoms to form units called molecules. However, the argument between the two schools of thought was not finally settled in favor of the atomists until the early years of this century. One of the important pieces of physical evidence was provided by Einstein. In a paper written in 1905, a few weeks before the famous paper on special relativity, Einstein pointed out that what was called Brownian motion-the irregular, random motion of small particles of dust suspended in a liquid-could be explained as the effect of atoms of the liquid colliding with the dust particles.
+  By this time there were already suspicions that these atoms were not, after all, indivisible. Several years previously a fellow of Trinity College, Cambridge, J. J. Thomson, had demonstrated the existence of a particle of matter, called the electron, that had a mass less than one thousandth of that of the lightest atom. He used a setup rather like a modern TV picture tube: a red-hot metal filament gave off the electrons, and because these have a negative electric charge, an electric field could be used to accelerate them toward a phosphor-coated screen. When they hit the screen, flashes of light were generated. Soon it was realized that these electrons must be coming from within the atoms themselves, and in 1911 the New Zealand physicist Ernest Rutherford finally showed that the atoms of matter do have internal structure: they are made up of an extremely tiny, positively charged nucleus, around which a number of electrons orbit. He deduced this by analyzing the way in which alpha-particles, which are positively charged particles given off by radioactive atoms, are deflected when they collide with atoms.
+  At first it was thought that the nucleus of the atom was made up of electrons and different numbers of a positively charged particle called the proton, from the Greek word meaning "first," because it was believed to be the fundamental unit from which matter was made. However, in 1932 a colleague of Rutherford's at Cambridge, James Chadwick, discovered that the nucleus contained another particle, called the neutron, which had almost the same mass as a proton but no electrical charge. Chadwick received the Nobel Prize for his discovery, and was elected Master of Gonville and Caius College, Cambridge (the college of which I am now a fellow). He later resigned as Master because of disagreements with the Fellows. There had been a bitter dispute in the college ever since a group of young Fellows returning after the war had voted many of the old Fellows out of the college offices they had held for a long time. This was before my time; I joined the college in 1965 at the tail end of the bitterness, when similar disagreements forced another Nobel Prize-winning Master, Sir Nevill Mott, to resign.
+  Up to about thirty years ago, it was thought that protons and neutrons were "elementary" particles, but experiments in which protons were collided with other protons or electrons at high speeds indicated that they were in fact made up of smaller particles. These particles were named quarks by the Caltech physicist Murray Gell-Mann, who won the Nobel Prize in 1969 for his work on them. The origin of the name is an enigmatic quotation from James Joyce: "Three quarks for Muster Mark!" The word quark is supposed to be pronounced like quart, but with a k at the end instead of a t, but is usually pronounced to rhyme with lark.
+  There are a number of different varieties of quarks: there are six "flavors," which we call up, down, strange, charmed, bottom, and top. The first three flavors had been known since the 1960s but the charmed quark was discovered only in 1974, the bottom in 1977, and the top in 1995. Each flavor comes in three "colors," red, green, and blue. (It should be emphasized that these terms are just labels: quarks are much smaller than the wavelength of visible light and so do not have any color in the normal sense. It is just that modern physicists seem to have more imaginative ways of naming new particles and phenomena-they no longer restrict themselves to Greek!) A proton or neutron is made up of three quarks, one of each color. A proton contains two up quarks and one down quark; a neutron contains two down and one up. We can create particles made up of the other quarks (strange, charmed, bottom, and top), but these all have a much greater mass and decay very rapidly into protons and neutrons.
+  We now know that neither the atoms nor the protons and neutrons within them are indivisible. So the question is: what are the truly elementary particles, the basic building blocks from which everything is made? Since the wavelength of light is much larger than the size of an atom, we cannot hope to "look" at the parts of an atom in the ordinary way. We need to use something with a much smaller wavelength. As we saw in the last chapter, quantum mechanics tells us that all particles are in fact waves, and that the higher the energy of a particle, the smaller the wavelength of the corresponding wave. So the best answer we can give to our question depends on how high a particle energy we have at our disposal, because this determines on how small a length scale we can look. These particle energies are usually measured in units called electron volts. (In Thomson's experiments with electrons, we saw that he used an electric field to accelerate the electrons. The energy that an electron gains from an electric field of one volt is what is known as an electron volt.) In the nineteenth century, when the only particle energies that people knew how to use were the low energies of a few electron volts generated by chemical reactions such as burning, it was thought that atoms were the smallest unit. In Rutherford's experiment, the alpha-particles had energies of millions of electron volts. More recently, we have learned how to use electromagnetic fields to give particles energies of at first millions and then thousands of millions of electron volts. And so we know that particles that were thought to be "elementary" thirty years ago are, in fact, made up of smaller particles. May these, as we go to still higher energies, in turn be found to be made from still smaller particles? This is certainly possible, but we do have some theoretical reasons for believing that we have, or are very near to, a knowledge of the ultimate building blocks of nature.
+  Using the wave/particle duality discussed in the last chapter, everything in the universe, including light and gravity, can be described in terms of particles. These particles have a property called spin. One way of thinking of spin is to imagine the particles as little tops spinning about an axis. However, this can be misleading, because quantum mechanics tells us that the particles do not have any well-defined axis. What the spin of a particle really tells us is what the particle looks like from different directions. A particle of spin 0 is like a dot: it looks the same from every direction (Fig. 5.1-i). On the other hand, a particle of spin 1 is like an arrow: it looks different from different directions (Fig. 5.1-ii). Only if one turns it round a complete revolution (360 degrees) does the particle look the same. A particle of spin 2 is like a double-headed arrow (Fig. 5.1-iii): it looks the same if one turns it round half a revolution (180 degrees). Similarly, higher spin particles look the same if one turns them through smaller fractions of a complete revolution. All this seems fairly straightforward, but the remarkable fact is that there are particles that do not look the same if one turns them through just one revolution: you have to turn them through two complete revolutions! Such particles are said to have spin 1/2.
+  All the known particles in the universe can be divided into two groups: particles of spin 1/2, which make up the matter in the universe, and particles of spin 0, 1, and 2, which, as we shall see, give rise to forces between the matter particles. The matter particles obey what is called Pauli's exclusion principle. This was discovered in 1925 by an Austrian physicist, Wolfgang Pauli-for which he received the Nobel Prize in 1945. He was the archetypal theoretical physicist: it was said of him that even his presence in the same town would make experiments go wrong! Pauli's exclusion principle says that two similar particles cannot exist in the same state; that is, they cannot have both the same position and the same velocity, within the limits given by the uncertainty principle. The exclusion principle is crucial because it explains why matter particles do not collapse to a state of very high density under the influence of the forces produced by the particles of spin 0, 1, and 2: if the matter particles have very nearly the same positions, they must have different velocities, which means that they will not stay in the same position for long. If the world had been created without the exclusion principle, quarks would not form separate, well-defined protons and neutrons. Nor would these, together with electrons, form separate, well-defined atoms. They would all collapse to form a roughly uniform, dense "soup."
+
+FIGURE 5.1
+  A proper understanding of the electron and other spin-1/2 particles did not come until 1928, when a theory was proposed by Paul Dirac, who later was elected to the Lucasian Professorship of Mathematics at Cambridge (the same professorship that Newton had once held and that I now hold). Dirac's theory was the first of its kind that was consistent with both quantum mechanics and the special theory of relativity. It explained mathematically why the electron had spin 1/2; that is, why it didn't look the same if you turned it through only one complete revolution, but did if you turned it through two revolutions. It also predicted that the electron should have a partner: an antielectron, or positron. The discovery of the positron in 1932 confirmed Dirac's theory and led to his being awarded the Nobel Prize for physics in 1933. We now know that every particle has an antiparticle, with which it can annihilate. (In the case of the force-carrying particles, the antiparticles are the same as the particles themselves.) There could be whole antiworlds and antipeople made out of antiparticles. However, if you meet your antiself, don't shake hands! You would both vanish in a great flash of light. The question of why there seem to be so many more particles than antiparticles around us is extremely important, and I shall return to it later in the chapter.
+  In quantum mechanics, the forces or interactions between matter particles are all supposed to be carried by particles of integer spin-0, 1, or 2. What happens is that a matter particle, such as an electron or a quark, emits a force-carrying particle. The recoil from this emission changes the velocity of the matter particle. The force-carrying particle then collides with another matter particle and is absorbed. This collision changes the velocity of the second particle, just as if there had been a force between the two matter particles. It is an important property of the force-carrying particles that they do not obey the exclusion principle. This means that there is no limit to the number that can be exchanged, and so they can give rise to a strong force. However, if the force-carrying particles have a high mass, it will be difficult to produce and exchange them over a large distance. So the forces that they carry will have only a short range. On the other hand, if the force-carrying particles have no mass of their own, the forces will be long range. The force-carrying particles exchanged between matter particles are said to be virtual particles because, unlike "real" particles, they cannot be directly detected by a particle detector. We know they exist, however, because they do have a measurable effect: they give rise to forces between matter particles. Particles of spin 0, 1, or 2 do also exist in some circumstances as real particles, when they can be directly detected. They then appear to us as what a classical physicist would call waves, such as waves of light or gravitational waves. They may sometimes be emitted when matter particles interact with each other by exchanging virtual force-carrying particles. (For example, the electric repulsive force between two electrons is due to the exchange of virtual photons, which can never be directly detected; but if one electron moves past another, real photons may be given off, which we detect as light waves.)
+  Force-carrying particles can be grouped into four categories according to the strength of the force that they carry and the particles with which they interact. It should be emphasized that this division into four classes is man-made; it is convenient for the construction of partial theories, but it may not correspond to anything deeper. Ultimately, most physicists hope to find a unified theory that will explain all four forces as different aspects of a single force. Indeed, many would say this is the prime goal of physics today. Recently, successful attempts have been made to unify three of the four categories of force-and I shall describe these in this chapter. The question of the unification of the remaining category, gravity, we shall leave till later.
+  The first category is the gravitational force. This force is universal, that is, every particle feels the force of gravity, according to its mass or energy. Gravity is the weakest of the four forces by a long way; it is so weak that we would not notice it at all were it not for two special properties that it has: it can act over large distances, and it is always attractive. This means that the very weak gravitational forces between the individual particles in two large bodies, such as the earth and the sun, can all add up to produce a significant force. The other three forces are either short range, or are sometimes attractive and sometimes repulsive, so they tend to cancel out. In the quantum mechanical way of looking at the gravitational field, the force between two matter particles is pictured as being carried by a particle of spin 2 called the graviton. This has no mass of its own, so the force that it carries is long range. The gravitational force between the sun and the earth is ascribed to the exchange of gravitons between the particles that make up these two bodies. Although the exchanged particles are virtual, they certainly do produce a measurable effect-they make the earth orbit the sun! Real gravitons make up what classical physicists would call gravitational waves, which are very weak-and so difficult to detect that they have not yet been observed.
+  The next category is the electromagnetic force, which interacts with electrically charged particles like electrons and quarks, but not with uncharged particles such as gravitons. It is much stronger than the gravitational force: the electromagnetic force between two electrons is about a million million million million million million million (1 with forty-two zeros after it) times bigger than the gravitational force. However, there are two kinds of electric charge, positive and negative. The force between two positive charges is repulsive, as is the force between two negative charges, but the force is attractive between a positive and a negative charge. A large body, such as the earth or the sun, contains nearly equal numbers of positive and negative charges. Thus the attractive and repulsive forces between the individual particles nearly cancel each other out, and there is very little net electromagnetic force. However, on the small scales of atoms and molecules, electromagnetic forces dominate. The electromagnetic attraction between negatively charged electrons and positively charged protons in the nucleus causes the electrons to orbit the nucleus of the atom, just as gravitational attraction causes the earth to orbit the sun. The electromagnetic attraction is pictured as being caused by the exchange of large numbers of virtual massless particles of spin 1, called photons. Again, the photons that are exchanged are virtual particles. However, when an electron changes from one allowed orbit to another one nearer to the nucleus, energy is released and a real photon is emitted-which can be observed as visible light by the human eye, if it has the right wavelength, or by a photon detector such as photographic film. Equally, if a real photon collides with an atom, it may move an electron from an orbit nearer the nucleus to one farther away. This uses up the energy of the photon, so it is absorbed.
+  The third category is called the weak nuclear force, which is responsible for radioactivity and which acts on all matter particles of spin 1/2, but not on particles of spin 0, 1, or 2, such as photons and gravitons. The weak nuclear force was not well understood until 1967, when Abdus Salam at Imperial College, London, and Steven Weinberg at Harvard both proposed theories that unified this interaction with the electromagnetic force, just as Maxwell had unified electricity and magnetism about a hundred years earlier. They suggested that in addition to the photon, there were three other spin-1 particles, known collectively as massive vector bosons, that carried the weak force. These were called W+ (pronounced W plus), W- (pronounced W minus), and Z° (pronounced Z naught), and each had a mass of around 100 GeV (GeV stands for gigaelectron-volt, or one thousand million electron volts). The Weinberg-Salam theory exhibits a property known as spontaneous symmetry breaking. This means that what appear to be a number of completely different particles at low energies are in fact found to be all the same type of particle, only in different states. At high energies all these particles behave similarly. The effect is rather like the behavior of a roulette ball on a roulette wheel. At high energies (when the wheel is spun quickly) the ball behaves in essentially only one way-it rolls round and round. But as the wheel slows, the energy of the ball decreases, and eventually the ball drops into one of the thirty-seven slots in the wheel. In other words, at low energies there are thirty-seven different states in which the ball can exist. If, for some reason, we could only observe the ball at low energies, we would then think that there were thirty-seven different types of ball!
+  In the Weinberg-Salam theory, at energies much greater than 100 GeV, the three new particles and the photon would all behave in a similar manner. But at the lower particle energies that occur in most normal situations, this symmetry between the particles would be broken. W+, W-, and Z° would acquire large masses, making the forces they carry have a very short range. At the time that Salam and Weinberg proposed their theory, few people believed them, and particle accelerators were not powerful enough to reach the energies of 100 GeV required to produce real W+, W-, or Z° particles. However, over the next ten years or so, the other predictions of the theory at lower energies agreed so well with experiment that, in 1979, Salam and Weinberg were awarded the Nobel Prize for physics, together with Sheldon Glashow, also at Harvard, who had suggested similar unified theories of the electromagnetic and weak nuclear forces. The Nobel committee was spared the embarrassment of having made a mistake by the discovery in 1983 at CERN (European Centre for Nuclear Research) of the three massive partners of the photon, with the correct predicted masses and other properties. Carlo Rubbia, who led the team of several hundred physicists that made the discovery, received the Nobel Prize in 1984, along with Simon van der Meer, the CERN engineer who developed the antimatter storage system employed. (It is very difficult to make a mark in experimental physics these days unless you are already at the top!)
+  The fourth category is the strong nuclear force, which holds the quarks together in the proton and neutron, and holds the protons and neutrons together in the nucleus of an atom. It is believed that this force is carried by another spin-1 particle, called the gluon, which interacts only with itself and with the quarks. The strong nuclear force has a curious property called confinement: it always binds particles together into combinations that have no color. One cannot have a single quark on its own because it would have a color (red, green, or blue). Instead, a red quark has to be joined to a green and a blue quark by a "string" of gluons (red + green + blue = white). Such a triplet constitutes a proton or a neutron. Another possibility is a pair consisting of a quark and an antiquark (red + antired, or green + antigreen, or blue + antiblue = white). Such combinations make up the particles known as mesons, which are unstable because the quark and antiquark can annihilate each other, producing electrons and other particles. Similarly, confinement prevents one having a single gluon on its own, because gluons also have color. Instead, one has to have a collection of gluons whose colors add up to white. Such a collection forms an unstable particle called a glueball.
+  The fact that confinement prevents one from observing an isolated quark or gluon might seem to make the whole notion of quarks and gluons as particles somewhat metaphysical. However, there is another property of the strong nuclear force, called asymptotic freedom, that makes the concept of quarks and gluons well defined. At normal energies, the strong nuclear force is indeed strong, and it binds the quarks tightly together. However, experiments with large particle accelerators indicate that at high energies the strong force becomes much weaker, and the quarks and gluons behave almost like free particles. Fig. 5.2 shows a photograph of a collision between a high-energy proton and antiproton. The success of the unification of the electromagnetic and weak nuclear forces led to a number of attempts to combine these two forces with the strong nuclear force into what is called a grand unified theory (or GUT). This title is rather an exaggeration: the resultant theories are not all that grand, nor are they fully unified, as they do not include gravity. Nor are they really complete theories, because they contain a number of parameters whose values cannot be predicted from the theory but have to be chosen to fit in with experiment. Nevertheless, they may be a step toward a complete, fully unified theory. The basic idea of GUTs is as follows: as was mentioned above, the strong nuclear force gets weaker at high energies. On the other hand, the electromagnetic and weak forces, which are not asymptotically free, get stronger at high energies. At some very high energy, called the grand unification energy, these three forces would all have the same strength and so could just be different aspects of a single force. The GUTs also predict that at this energy the different spin-1/2 matter particles, like quarks and electrons, would also all be essentially the same, thus achieving another unification.
+  The value of the grand unification energy is not very well known, but it would probably have to be at least a thousand million million GeV. The present generation of particle accelerators can collide particles at energies of about one hundred GeV, and machines are planned that would raise this to a few thousand GeV. But a machine that was powerful enough to accelerate particles to the grand unification energy would have to be as big as the Solar System-and would be unlikely to be funded in the present economic climate. Thus it is impossible to test grand unified theories directly in the laboratory. However, just as in the case of the electromagnetic and weak unified theory, there are low-energy consequences of the theory that can be tested.
+
+FIGURE 5.2 A proton and an antiproton collide at high energy, producing a couple of almost free quarks.
+  The most interesting of these is the prediction that protons, which make up much of the mass of ordinary matter, can spontaneously decay into lighter particles such as antielectrons. The reason this is possible is that at the grand unification energy there is no essential difference between a quark and an antielectron. The three quarks inside a proton normally do not have enough energy to change into antielectrons, but very occasionally one of them may acquire sufficient energy to make the transition because the uncertainty principle means that the energy of the quarks inside the proton cannot be fixed exactly. The proton would then decay. The probability of a quark gaining sufficient energy is so low that one is likely to have to wait at least a million million million million million years (1 followed by thirty zeros). This is much longer than the time since the big bang, which is a mere ten thousand million years or so (1 followed by ten zeros). Thus one might think that the possibility of spontaneous proton decay could not be tested experimentally. However, one can increase one's chances of detecting a decay by observing a large amount of matter containing a very large number of protons. (If, for example, one observed a number of protons equal to 1 followed by thirty-one zeros for a period of one year, one would expect, according to the simplest GUT, to observe more than one proton decay.)
+  A number of such experiments have been carried out, but none have yielded definite evidence of proton or neutron decay. One experiment used eight thousand tons of water and was performed in the Morton Salt Mine in Ohio (to avoid other events taking place, caused by cosmic rays, that might be confused with proton decay). Since no spontaneous proton decay had been observed during the experiment, one can calculate that the probable life of the proton must be greater than ten million million million million million years (1 with thirty-one zeros). This is longer than the lifetime predicted by the simplest grand unified theory, but there are more elaborate theories in which the predicted lifetimes are longer. Still more sensitive experiments involving even larger quantities of matter will be needed to test them.
+  Even though it is very difficult to observe spontaneous proton decay, it may be that our very existence is a consequence of the reverse process, the production of protons, or more simply, of quarks, from an initial situation in which there were no more quarks than antiquarks, which is the most natural way to imagine the universe starting out. Matter on the earth is made up mainly of protons and neutrons, which in turn are made up of quarks. There are no antiprotons or antineutrons, made up from antiquarks, except for a few that physicists produce in large particle accelerators. We have evidence from cosmic rays that the same is true for all the matter in our galaxy: there are no antiprotons or antineutrons apart from a small number that are produced as particle/antiparticle pairs in high-energy collisions. If there were large regions of antimatter in our galaxy, we would expect to observe large quantities of radiation from the borders between the regions of matter and antimatter, where many particles would be colliding with their antiparticles, annihilating each other and giving off high-energy radiation.
+  We have no direct evidence as to whether the matter in other galaxies is made up of protons and neutrons or antiprotons and antineutrons, but it must be one or the other: there cannot be a mixture in a single galaxy because in that case we would again observe a lot of radiation from annihilations. We therefore believe that all galaxies are composed of quarks rather than antiquarks; it seems implausible that some galaxies should be matter and some antimatter.
+  Why should there be so many more quarks than antiquarks? Why are there not equal numbers of each? It is certainly fortunate for us that the numbers are unequal because, if they had been the same, nearly all the quarks and antiquarks would have annihilated each other in the early universe and left a universe filled with radiation but hardly any matter. There would then have been no galaxies, stars, or planets on which human life could have developed. Luckily, grand unified theories may provide an explanation of why the universe should now contain more quarks than antiquarks, even if it started out with equal numbers of each. As we have seen, GUTs allow quarks to change into antielectrons at high energy. They also allow the reverse processes, antiquarks turning into electrons, and electrons and antielectrons turning into antiquarks and quarks. There was a time in the very early universe when it was so hot that the particle energies would have been high enough for these transformations to take place. But why should that lead to more quarks than antiquarks? The reason is that the laws of physics are not quite the same for particles and antiparticles.
+  Up to 1956 it was believed that the laws of physics obeyed each of three separate symmetries called C, P, and T. The symmetry C means that the laws are the same for particles and antiparticles. The symmetry P means that the laws are the same for any situation and its mirror image (the mirror image of a particle spinning in a right-handed direction is one spinning in a left-handed direction). The symmetry T means that if you reverse the direction of motion of all particles and antiparticles, the system should go back to what it was at earlier times; in other words, the laws are the same in the forward and backward directions of time. In 1956 two American physicists, Tsung-Dao Lee and Chen Ning Yang, suggested that the weak force does not in fact obey the symmetry P. In other words, the weak force would make the universe develop in a different way from the way in which the mirror image of the universe would develop. The same year, a colleague, Chien-Shiung Wu, proved their prediction correct. She did this by lining up the nuclei of radioactive atoms in a magnetic field, so that they were all spinning in the same direction, and showed that the electrons were given off more in one direction than another. The following year, Lee and Yang received the Nobel Prize for their idea. It was also found that the weak force did not obey the symmetry C. That is, it would cause a universe composed of antiparticles to behave differently from our universe. Nevertheless, it seemed that the weak force did obey the combined symmetry CP. That is, the universe would develop in the same way as its mirror image if, in addition, every particle was swapped with its antiparticle! However, in 1964 two more Americans, J. W. Cronin and Val Fitch, discovered that even the CP symmetry was not obeyed in the decay of certain particles called K-mesons. Cronin and Fitch eventually received the Nobel Prize for their work in 1980. (A lot of prizes have been awarded for showing that the universe is not as simple as we might have thought!)
+  There is a mathematical theorem that says that any theory that obeys quantum mechanics and relativity must always obey the combined symmetry CPT. In other words, the universe would have to behave the same if one replaced particles by antiparticles, took the mirror image, and also reversed the direction of time. But Cronin and Fitch showed that if one replaces particles by antiparticles and takes the mirror image, but does not reverse the direction of time, then the universe does not behave the same. The laws of physics, therefore, must change if one reverses the direction of time-they do not obey the symmetry T.
+  Certainly the early universe does not obey the symmetry T: as time runs forward the universe expands-if it ran backward, the universe would be contracting. And since there are forces that do not obey the symmetry T, it follows that as the universe expands, these forces could cause more antielectrons to turn into quarks than electrons into antiquarks. Then, as the universe expanded and cooled, the antiquarks would annihilate with the quarks, but since there would be more quarks than antiquarks, a small excess of quarks would remain. It is these that make up the matter we see today and out of which we ourselves are made. Thus our very existence could be regarded as a confirmation of grand unified theories, though a qualitative one only; the uncertainties are such that one cannot predict the numbers of quarks that will be left after the annihilation, or even whether it would be quarks or antiquarks that would remain. (Had it been an excess of antiquarks, however, we would simply have named antiquarks quarks, and quarks antiquarks.)
+  Grand unified theories do not include the force of gravity. This does not matter too much, because gravity is such a weak force that its effects can usually be neglected when we are dealing with elementary particles or atoms. However, the fact that it is both long range and always attractive means that its effects all add up. So for a sufficiently large number of matter particles, gravitational forces can dominate over all other forces. This is why it is gravity that determines the evolution of the universe. Even for objects the size of stars, the attractive force of gravity can win over all the other forces and cause the star to collapse. My work in the 1970s focused on the black holes that can result from such stellar collapse and the intense gravitational fields around them. It was this that led to the first hints of how the theories of quantum mechanics and general relativity might affect each other-a glimpse of the shape of a quantum theory of gravity yet to come.
+CHAPTER 6
+BLACK HOLES
+T
+he term black hole is of very recent origin. It was coined in 1969 by the American scientist John Wheeler as a graphic description of an idea that goes back at least two hundred years, to a time when there were two theories about light: one, which Newton favored, was that it was composed of particles; the other was that it was made of waves. We now know that really both theories are correct. By the wave/particle duality of quantum mechanics, light can be regarded as both a wave and a particle. Under the theory that light is made up of waves, it was not clear how it would respond to gravity. But if light is composed of particles, one might expect them to be affected by gravity in the same way that cannonballs, rockets, and planets are. At first people thought that particles of light traveled infinitely fast, so gravity would not have been able to slow them down, but the discovery by Roemer that light travels at a finite speed meant that gravity might have an important effect.
+  On this assumption, a Cambridge don, John Michell, wrote a paper in 1783 in the Philosophical Transactions of the Royal Society of London in which he pointed out that a star that was sufficiently massive and compact would have such a strong gravitational field that light could not escape: any light emitted from the surface of the star would be dragged back by the star's gravitational attraction before it could get very far. Michell suggested that there might be a large number of stars like this. Although we would not be able to see them because the light from them would not reach us, we would still feel their gravitational attraction. Such objects are what we now call black holes, because that is what they are: black voids in space. A similar suggestion was made a few years later by the French scientist the Marquis de Laplace, apparently independently of Michell. Interestingly enough, Laplace included it in only the first and second editions of his book The System of the World, and left it out of later editions; perhaps he decided that it was a crazy idea. (Also, the particle theory of light went out of favor during the nineteenth century; it seemed that everything could be explained by the wave theory, and according to the wave theory, it was not clear that light would be affected by gravity at all.)
+  In fact, it is not really consistent to treat light like cannonballs in Newton's theory of gravity because the speed of light is fixed. (A cannonball fired upward from the earth will be slowed down by gravity and will eventually stop and fall back; a photon, however, must continue upward at a constant speed. How then can Newtonian gravity affect light?) A consistent theory of how gravity affects light did not come along until Einstein proposed general relativity in 1915. And even then it was a long time before the implications of the theory for massive stars were understood.
+  To understand how a black hole might be formed, we first need an understanding of the life cycle of a star. A star is formed when a large amount of gas (mostly hydrogen) starts to collapse in on itself due to its gravitational attraction. As it contracts, the atoms of the gas collide with each other more and more frequently and at greater and greater speeds-the gas heats up. Eventually, the gas will be so hot that when the hydrogen atoms collide they no longer bounce off each other, but instead coalesce to form helium. The heat released in this reaction, which is like a controlled hydrogen bomb explosion, is what makes the star shine. This additional heat also increases the pressure of the gas until it is sufficient to balance the gravitational attraction, and the gas stops contracting. It is a bit like a balloon-there is a balance between the pressure of the air inside, which is trying to make the balloon expand, and the tension in the rubber, which is trying to make the balloon smaller. Stars will remain stable like this for a long time, with heat from the nuclear reactions balancing the gravitational attraction. Eventually, however, the star will run out of its hydrogen and other nuclear fuels. Paradoxically, the more fuel a star starts off with, the sooner it runs out. This is because the more massive the star is, the hotter it needs to be to balance its gravitational attraction. And the hotter it is, the faster it will use up its fuel. Our sun has probably got enough fuel for another five thousand million years or so, but more massive stars can use up their fuel in as little as one hundred million years, much less than the age of the universe. When a star runs out of fuel, it starts to cool off and so to contract. What might happen to it then was first understood only at the end of the 1920s.
+  In 1928 an Indian graduate student, Subrahmanyan Chandrasekhar, set sail for England to study at Cambridge with the British astronomer Sir Arthur Eddington, an expert on general relativity. (According to some accounts, a journalist told Eddington in the early 1920s that he had heard there were only three people in the world who understood general relativity. Eddington paused, then replied, "I am trying to think who the third person is.") During his voyage from India, Chandrasekhar worked out how big a star could be and still support itself against its own gravity after it had used up all its fuel. The idea was this: when the star becomes small, the matter particles get very near each other, and so according to the Pauli exclusion principle, they must have very different velocities. This makes them move away from each other and so tends to make the star expand. A star can therefore maintain itself at a constant radius by a balance between the attraction of gravity and the repulsion that arises from the exclusion principle, just as earlier in its life gravity was balanced by the heat.
+  Chandrasekhar realized, however, that there is a limit to the repulsion that the exclusion principle can provide. The theory of relativity limits the maximum difference in the velocities of the matter particles in the star to the speed of light. This means that when the star got sufficiently dense, the repulsion caused by the exclusion principle would be less than the attraction of gravity. Chandrasekhar calculated that a cold star of more than about one and a half times the mass of the sun would not be able to support itself against its own gravity. (This mass is now known as the Chandrasekhar limit.) A similar discovery was made about the same time by the Russian scientist Lev Davidovich Landau.
+  This had serious implications for the ultimate fate of massive stars. If a star's mass is less than the Chandrasekhar limit, it can eventually stop contracting and settle down to a possible final state as a "white dwarf" with a radius of a few thousand miles and a density of hundreds of tons per cubic inch. A white dwarf is supported by the exclusion principle repulsion between the electrons in its matter. We observe a large number of these white dwarf stars. One of the first to be discovered is a star that is orbiting around Sirius, the brightest star in the night sky.
+  Landau pointed out that there was another possible final state for a star, also with a limiting mass of about one or two times the mass of the sun but much smaller even than a white dwarf. These stars would be supported by the exclusion principle repulsion between neutrons and protons, rather than between electrons. They were therefore called neutron stars. They would have a radius of only ten miles or so and a density of hundreds of millions of tons per cubic inch. At the time they were first predicted, there was no way that neutron stars could be observed. They were not actually detected until much later.
+  Stars with masses above the Chandrasekhar limit, on the other hand, have a big problem when they come to the end of their fuel. In some cases they may explode or manage to throw off enough matter to reduce their mass below the limit and so avoid catastrophic gravitational collapse, but it was difficult to believe that this always happened, no matter how big the star. How would it know that it had to lose weight? And even if every star managed to lose enough mass to avoid collapse, what would happen if you added more mass to a white dwarf or neutron star to take it over the limit? Would it collapse to infinite density? Eddington was shocked by that implication, and he refused to believe Chandrasekhar's result. Eddington thought it was simply not possible that a star could collapse to a point. This was the view of most scientists: Einstein himself wrote a paper in which he claimed that stars would not shrink to zero size. The hostility of other scientists, particularly Eddington, his former teacher and the leading authority on the structure of stars, persuaded Chandrasekhar to abandon this line of work and turn instead to other problems in astronomy, such as the motion of star clusters. However, when he was awarded the Nobel Prize in 1983, it was, at least in part, for his early work on the limiting mass of cold stars.
+  Chandrasekhar had shown that the exclusion principle could not halt the collapse of a star more massive than the Chandrasekhar limit, but the problem of understanding what would happen to such a star, according to general relativity, was first solved by a young American, Robert Oppenheimer, in 1939. His result, however, suggested that there would be no observational consequences that could be detected by the telescopes of the day. Then World War II intervened and Oppenheimer himself became closely involved in the atom bomb project. After the war the problem of gravitational collapse was largely forgotten as most scientists became caught up in what happens on the scale of the atom and its nucleus. In the 1960s, however, interest in the large-scale problems of astronomy and cosmology was revived by a great increase in the number and range of astronomical observations brought about by the application of modern technology. Oppenheimer's work was then rediscovered and extended by a number of people.
+  The picture that we now have from Oppenheimer's work is as follows. The gravitational field of the star changes the paths of light rays in space-time from what they would have been had the star not been present. The light cones, which indicate the paths followed in space and time by flashes of light emitted from their tips, are bent slightly inward near the surface of the star. This can be seen in the bending of light from distant stars observed during an eclipse of the sun. As the star contracts, the gravitational field at its surface gets stronger and the light cones get bent inward more. This makes it more difficult for light from the star to escape, and the light appears dimmer and redder to an observer at a distance. Eventually, when the star has shrunk to a certain critical radius, the gravitational field at the surface becomes so strong that the light cones are bent inward so much that light can no longer escape (Fig. 6.1). According to the theory of relativity, nothing can travel faster than light. Thus if light cannot escape, neither can anything else; everything is dragged back by the gravitational field. So one has a set of events, a region of space-time, from which it is not possible to escape to reach a distant observer. This region is what we now call a black hole. Its boundary is called the event horizon and it coincides with the paths of light rays that just fail to escape from the black hole.
+  In order to understand what you would see if you were watching a star collapse to form a black hole, one has to remember that in the theory of relativity there is no absolute time. Each observer has his own measure of time. The time for someone on a star will be different from that for someone at a distance, because of the gravitational field of the star. Suppose an intrepid astronaut on the surface of the collapsing star, collapsing inward with it, sent a signal every second, according to his watch, to his spaceship orbiting about the star. At some time on his watch, say 11:00, the star would shrink below the critical radius at which the gravitational field becomes so strong nothing can escape, and his signals would no longer reach the spaceship. As 11:00 approached, his companions watching from the spaceship would find the intervals between successive signals from the astronaut getting longer and longer, but this effect would be very small before 10:59:59. They would have to wait only very slightly more than a second between the astronaut's 10:59:58 signal and the one that he sent when his watch read 10:59:59, but they would have to wait forever for the 11:00 signal. The light waves emitted from the surface of the star between 10:59:59 and 11:00, by the astronaut's watch, would be spread out over an infinite period of time, as seen from the spaceship. The time interval between the arrival of successive waves at the spaceship would get longer and longer, so the light from the star would appear redder and redder and fainter and fainter. Eventually, the star would be so dim that it could no longer be seen from the spaceship: all that would be left would be a black hole in space. The star would, however, continue to exert the same gravitational force on the spaceship, which would continue to orbit the black hole. This scenario is not entirely realistic, however, because of the following problem. Gravity gets weaker the farther you are from the star, so the gravitational force on our intrepid astronaut's feet would always be greater than the force on his head. This difference in the forces would stretch our astronaut out like spaghetti or tear him apart before the star had contracted to the critical radius at which the event horizon formed! However, we believe that there are much larger objects in the universe, like the central regions of galaxies, that can also undergo gravitational collapse to produce black holes; an astronaut on one of these would not be torn apart before the black hole formed. He would not, in fact, feel anything special as he reached the critical radius, and could pass the point of no return without noticing it. However, within just a few hours, as the region continued to collapse, the difference in the gravitational forces on his head and his feet would become so strong that again it would tear him apart.
+
+FIGURE 6.1
+  The work that Roger Penrose and I did between 1965 and 1970 showed that, according to general relativity, there must be a singularity of infinite density and space-time curvature within a black hole. This is rather like the big bang at the beginning of time, only it would be an end of time for the collapsing body and the astronaut. At this singularity the laws of science and our ability to predict the future would break down. However, any observer who remained outside the black hole would not be affected by this failure of predictability, because neither light nor any other signal could reach him from the singularity. This remarkable fact led Roger Penrose to propose the cosmic censorship hypothesis, which might be paraphrased as "God abhors a naked singularity." In other words, the singularities produced by gravitational collapse occur only in places, like black holes, where they are decently hidden from outside view by an event horizon. Strictly, this is what is known as the weak cosmic censorship hypothesis: it protects observers who remain outside the black hole from the consequences of the breakdown of predictability that occurs at the singularity, but it does nothing at all for the poor unfortunate astronaut who falls into the hole.
+  There are some solutions of the equations of general relativity in which it is possible for our astronaut to see a naked singularity: he may be able to avoid hitting the singularity and instead fall through a "wormhole" and come out in another region of the universe. This would offer great possibilities for travel in space and time, but unfortunately it seems that these solutions may all be highly unstable; the least disturbance, such as the presence of an astronaut, may change them so that the astronaut could not see the singularity until he hit it and his time came to an end. In other words, the singularity would always lie in his future and never in his past. The strong version of the cosmic censorship hypothesis states that in a realistic solution, the singularities would always lie either entirely in the future (like the singularities of gravitational collapse) or entirely in the past (like the big bang). I strongly believe in cosmic censorship so I bet Kip Thorne and John Preskill of Cal Tech that it would always hold. I lost the bet on a technicality because examples were produced of solutions with a singularity that was visible from a long way away. So I had to pay up, which according to the terms of the bet meant I had to clothe their nakedness. But I can claim a moral victory. The naked singularities were unstable: the least disturbance would cause them either to disappear or to be hidden behind an event horizon. So they would not occur in realistic situations.
+  The event horizon, the boundary of the region of space-time from which it is not possible to escape, acts rather like a one-way membrane around the black hole: objects, such as unwary astronauts, can fall through the event horizon into the black hole, but nothing can ever get out of the black hole through the event horizon. (Remember that the event horizon is the path in space-time of light that is trying to escape from the black hole, and nothing can travel faster than light.) One could well say of the event horizon what the poet Dante said of the entrance to Hell: "All hope abandon, ye who enter here." Anything or anyone who falls through the event horizon will soon reach the region of infinite density and the end of time.
+  General relativity predicts that heavy objects that are moving will cause the emission of gravitational waves, ripples in the curvature of space that travel at the speed of light. These are similar to light waves, which are ripples of the electromagnetic field, but they are much harder to detect. They can be observed by the very slight change in separation they produce between neighboring freely moving objects. A number of detectors are being built in the United States, Europe, and Japan that will measure displacements of one part in a thousand million million million (1 with twenty-one zeros after it), or less than the nucleus of an atom over a distance of ten miles.
+  Like light, gravitational waves carry energy away from the objects that emit them. One would therefore expect a system of massive objects to settle down eventually to a stationary state, because the energy in any movement would be carried away by the emission of gravitational waves. (It is rather like dropping a cork into water: at first it bobs up and down a great deal, but as the ripples carry away its energy, it eventually settles down to a stationary state.) For example, the movement of the earth in its orbit round the sun produces gravitational waves. The effect of the energy loss will be to change the orbit of the earth so that gradually it gets nearer and nearer to the sun, eventually collides with it, and settles down to a stationary state. The rate of energy loss in the case of the earth and the sun is very low-about enough to run a small electric heater. This means it will take about a thousand million million million million years for the earth to run into the sun, so there's no immediate cause for worry! The change in the orbit of the earth is too slow to be observed, but this same effect has been observed over the past few years occurring in the system called PSR 1913 + 16 (PSR stands for "pulsar," a special type of neutron star that emits regular pulses of radio waves). This system contains two neutron stars orbiting each other, and the energy they are losing by the emission of gravitational waves is causing them to spiral in toward each other. This confirmation of general relativity won J. H. Taylor and R. A. Hulse the Nobel Prize in 1993. It will take about three hundred million years for them to collide. Just before they do, they will be orbiting so fast that they will emit enough gravitational waves for detectors like LIGO to pick up.
+  During the gravitational collapse of a star to form a black hole, the movements would be much more rapid, so the rate at which energy is carried away would be much higher. It would therefore not be too long before it settled down to a stationary state. What would this final stage look like? One might suppose that it would depend on all the complex features of the star from which it had formed-not only its mass and rate of rotation, but also the different densities of various parts of the star, and the complicated movements of the gases within the star. And if black holes were as varied as the objects that collapsed to form them, it might be very difficult to make any predictions about black holes in general.
+  In 1967, however, the study of black holes was revolutionized by Werner Israel, a Canadian scientist (who was born in Berlin, brought up in South Africa, and took his doctoral degree in Ireland). Israel showed that, according to general relativity, non-rotating black holes must be very simple; they were perfectly spherical, their size depended only on their mass, and any two such black holes with the same mass were identical. They could, in fact, be described by a particular solution of Einstein's equations that had been known since 1917, found by Karl Schwarzschild shortly after the discovery of general relativity. At first many people, including Israel himself, argued that since black holes had to be perfectly spherical, a black hole could only form from the collapse of a perfectly spherical object. Any real star-which would never be perfectly spherical-could therefore only collapse to form a naked singularity.
+  There was, however, a different interpretation of Israel's result, which was advocated by Roger Penrose and John Wheeler in particular. They argued that the rapid movements involved in a star's collapse would mean that the gravitational waves it gave off would make it ever more spherical, and by the time it had settled down to a stationary state, it would be precisely spherical. According to this view, any non-rotating star, however complicated its shape and internal structure, would end up after gravitational collapse as a perfectly spherical black hole, whose size would depend only on its mass. Further calculations supported this view, and it soon came to be adopted generally.
+  Israel's result dealt with the case of black holes formed from non-rotating bodies only. In 1963, Roy Kerr, a New Zealander, found a set of solutions of the equations of general relativity that described rotating black holes. These "Kerr" black holes rotate at a constant rate, their size and shape depending only on their mass and rate of rotation. If the rotation is zero, the black hole is perfectly round and the solution is identical to the Schwarzschild solution. If the rotation is non-zero, the black hole bulges outward near its equator (just as the earth or the sun bulge due to their rotation), and the faster it rotates, the more it bulges. So, to extend Israel's result to include rotating bodies, it was conjectured that any rotating body that collapsed to form a black hole would eventually settle down to a stationary state described by the Kerr solution.
+  In 1970 a colleague and fellow research student of mine at Cambridge, Brandon Carter, took the first step toward proving this conjecture. He showed that, provided a stationary rotating black hole had an axis of symmetry, like a spinning top, its size and shape would depend only on its mass and rate of rotation. Then, in 1971, I proved that any stationary rotating black hole would indeed have such an axis of symmetry. Finally, in 1973, David Robinson at Kings College, London, used Carter's and my results to show that the conjecture had been correct: such a black hole had indeed to be the Kerr solution. So after gravitational collapse a black hole must settle down into a state in which it could be rotating, but not pulsating. Moreover, its size and shape would depend only on its mass and rate of rotation, and not on the nature of the body that had collapsed to form it. This result became known by the maxim: "A black hole has no hair." The "no hair" theorem is of great practical importance, because it so greatly restricts the possible types of black holes. One can therefore make detailed models of objects that might contain black holes and compare the predictions of the models with observations. It also means that a very large amount of information about the body that has collapsed must be lost when a black hole is formed, because afterward all we can possibly measure about the body is its mass and rate of rotation. The significance of this will be seen in the next chapter.
+  Black holes are one of only a fairly small number of cases in the history of science in which a theory was developed in great detail as a mathematical model before there was any evidence from observations that it was correct. Indeed, this used to be the main argument of opponents of black holes: how could one believe in objects for which the only evidence was calculations based on the dubious theory of general relativity? In 1963, however, Maarten Schmidt, an astronomer at the Palomar Observatory in California, measured the red shift of a faint starlike object in the direction of the source of radio waves called 3C273 (that is, source number 273 in the third Cambridge catalogue of radio sources). He found it was too large to be caused by a gravitational field: if it had been a gravitational red shift, the object would have to be so massive and so near to us that it would disturb the orbits of planets in the Solar System. This suggested that the red shift was instead caused by the expansion of the universe, which, in turn, meant that the object was a very long distance away. And to be visible at such a great distance, the object must be very bright, must, in other words, be emitting a huge amount of energy. The only mechanism that people could think of that would produce such large quantities of energy seemed to be the gravitational collapse not just of a star but of a whole central region of a galaxy. A number of other similar "quasi-stellar objects," or quasars, have been discovered, all with large red shifts. But they are all too far away and therefore too difficult to observe to provide conclusive evidence of black holes.
+  Further encouragement for the existence of black holes came in 1967 with the discovery by a research student at Cambridge, Jocelyn Bell-Burnell, of objects in the sky that were emitting regular pulses of radio waves. At first Bell and her supervisor, Antony Hewish, thought they might have made contact with an alien civilization in the galaxy! Indeed, at the seminar at which they announced their discovery, I remember that they called the first four sources to be found LGM 1-4, LGM standing for "Little Green Men." In the end, however, they and everyone else came to the less romantic conclusion that these objects, which were given the name pulsars, were in fact rotating neutron stars that were emitting pulses of radio waves because of a complicated interaction between their magnetic fields and surrounding matter. This was bad news for writers of space westerns, but very hopeful for the small number of us who believed in black holes at that time: it was the first positive evidence that neutron stars existed. A neutron star has a radius of about ten miles, only a few times the critical radius at which a star becomes a black hole. If a star could collapse to such a small size, it is not unreasonable to expect that other stars could collapse to even smaller size and become black holes.
+  How could we hope to detect a black hole, as by its very definition it does not emit any light? It might seem a bit like looking for a black cat in a coal cellar. Fortunately, there is a way. As John Michell pointed out in his pioneering paper in 1783, a black hole still exerts a gravitational force on nearby objects. Astronomers have observed many systems in which two stars orbit around each other, attracted toward each other by gravity. They also observe systems in which there is only one visible star that is orbiting around some unseen companion. One cannot, of course, immediately conclude that the companion is a black hole: it might merely be a star that is too faint to be seen. However, some of these systems, like the one called Cygnus X-l (Fig. 6.2), are also strong sources of X rays. The best explanation for this phenomenon is that matter has been blown off the surface of the visible star. As it falls toward the unseen companion, it develops a spiral motion (rather like water running out of a bath), and it gets very hot, emitting X rays (Fig. 6.3). For this mechanism to work, the unseen object has to be very small, like a white dwarf, neutron star, or black hole. From the observed orbit of the visible star, one can determine the lowest possible mass of the unseen object. In the case of Cygnus X-l, this is about six times the mass of the sun, which, according to Chandrasekhar's result, is too great for the unseen object to be a white dwarf. It is also too large a mass to be a neutron star. It seems, therefore, that it must be a black hole.
+  There are other models to explain Cygnus X-l that do not include a black hole, but they are all rather far-fetched. A black hole seems to be the only really natural explanation of the observations. Despite this, I had a bet with Kip Thorne of the California Institute of Technology that in fact Cygnus X-l does not contain a black hole! This was a form of insurance policy for me. I have done a lot of work on black holes, and it would all be wasted if it turned out that black holes do not exist. But in that case, I would have the consolation of winning my bet, which would bring me four years of the magazine Private Eye. In fact, although the situation with Cygnus X-l has not changed much since we made the bet in 1975, there is now so much other observational evidence in favor of black holes that I have conceded the bet. I paid the specified penalty, which was a one-year subscription to Penthouse, to the outrage of Kip's liberated wife.
+
+FIGURE 6.2 The brighter of the two stars near the center of the photograph is Cygnus X-l, which is thought to consist of a black hole and a normal star, orbiting around each other.
+  We also now have evidence for several other black holes in systems like Cygnus X-l in our galaxy and in two neighboring galaxies called the Magellanic Clouds. The number of black holes, however, is almost certainly very much higher; in the long history of the universe, many stars must have burned all their nuclear fuel and have had to collapse. The number of black holes may well be greater even than the number of visible stars, which totals about a hundred thousand million in our galaxy alone. The extra gravitational attraction of such a large number of black holes could explain why our galaxy rotates at the rate it does: the mass of the visible stars is insufficient to account for this. We also have some evidence that there is a much larger black hole, with a mass of about a hundred thousand times that of the sun, at the center of our galaxy. Stars in the galaxy that come too near this black hole will be torn apart by the difference in the gravitational forces on their near and far sides. Their remains, and gas that is thrown off other stars, will fall toward the black hole. As in the case of Cygnus X-l, the gas will spiral inward and will heat up, though not as much as in that case. It will not get hot enough to emit X rays, but it could account for the very compact source of radio waves and infrared rays that is observed at the galactic center.
+
+FIGURE 6.3
+  It is thought that similar but even larger black holes, with masses of about a hundred million times the mass of the sun, occur at the centers of quasars. For example, observations with the Hubble telescope of the galaxy known as M87 reveal that it contains a disk of gas 130 light-years across rotating about a central object two thousand million times the mass of the sun. This can only be a black hole. Matter falling into such a supermassive black hole would provide the only source of power great enough to explain the enormous amounts of energy that these objects are emitting. As the matter spirals into the black hole, it would make the black hole rotate in the same direction, causing it to develop a magnetic field rather like that of the earth. Very high-energy particles would be generated near the black hole by the in-falling matter. The magnetic field would be so strong that it could focus these particles into jets ejected outward along the axis of rotation of the black hole, that is, in the directions of its north and south poles. Such jets are indeed observed in a number of galaxies and quasars. One can also consider the possibility that there might be black holes with masses much less than that of the sun. Such black holes could not be formed by gravitational collapse, because their masses are below the Chandrasekhar mass limit: stars of this low mass can support themselves against the force of gravity even when they have exhausted their nuclear fuel. Low-mass black holes could form only if matter was compressed to enormous densities by very large external pressures. Such conditions could occur in a very big hydrogen bomb: the physicist John Wheeler once calculated that if one took all the heavy water in all the oceans of the world, one could build a hydrogen bomb that would compress matter at the center so much that a black hole would be created. (Of course, there would be no one left to observe it!) A more practical possibility is that such low-mass black holes might have been formed in the high temperatures and pressures of the very early universe. Black holes would have been formed only if the early universe had not been perfectly smooth and uniform, because only a small region that was denser than average could be compressed in this way to form a black hole. But we know that there must have been some irregularities, because otherwise the matter in the universe would still be perfectly uniformly distributed at the present epoch, instead of being clumped together in stars and galaxies.
+  Whether the irregularities required to account for stars and galaxies would have led to the formation of a significant number of "primordial" black holes clearly depends on the details of the conditions in the early universe. So if we could determine how many primordial black holes there are now, we would learn a lot about the very early stages of the universe. Primordial black holes with masses more than a thousand million tons (the mass of a large mountain) could be detected only by their gravitational influence on other, visible matter or on the expansion of the universe. However, as we shall learn in the next chapter, black holes are not really black after all: they glow like a hot body, and the smaller they are, the more they glow. So, paradoxically, smaller black holes might actually turn out to be easier to detect than large ones!
+CHAPTER 7
+BLACK HOLES
+AIN'T SO BLACK
+B
+efore 1970, my research on general relativity had concentrated mainly on the question of whether or not there had been a big bang singularity. However, one evening in November that year, shortly after the birth of my daughter, Lucy, I started to think about black holes as I was getting into bed. My disability makes this rather a slow process, so I had plenty of time. At that date there was no precise definition of which points in space-time lay inside a black hole and which lay outside. I had already discussed with Roger Penrose the idea of defining a black hole as the set of events from which it was not possible to escape to a large distance, which is now the generally accepted definition. It means that the boundary of the black hole, the event horizon, is formed by the light rays that just fail to escape from the black hole, hovering forever just on the edge (Fig. 7.1). It is a bit like running away from the police and just managing to keep one step ahead but not being able to get clear away!
+  Suddenly I realized that the paths of these light rays could never approach one another. If they did, they must eventually run into one another. It would be like meeting someone else running away from the police in the opposite direction-you would both be caught! (Or, in this case, fall into a black hole.) But if these light rays were swallowed up by the black hole, then they could not have been on the boundary of the black hole. So the paths of light rays in the event horizon had always to be moving parallel to, or away from, each other. Another way of seeing this is that the event horizon, the boundary of the black hole, is like the edge of a shadow-the shadow of impending doom. If you look at the shadow cast by a source at a great distance, such as the sun, you will see that the rays of light in the edge are not approaching each other.
+
+FIGURE 7.1
+  If the rays of light that form the event horizon, the boundary of the black hole, can never approach each other, the area of the event horizon might stay the same or increase with time, but it could never decrease because that would mean that at least some of the rays of light in the boundary would have to be approaching each other. In fact, the area would increase whenever matter or radiation fell into the black hole (Fig. 7.2). Or if two black holes collided and merged together to form a single black hole, the area of the event horizon of the final black hole would be greater than or equal to the sum of the areas of the event horizons of the original black holes (Fig. 7.3). This nondecreasing property of the event horizon's area placed an important restriction on the possible behavior of black holes. I was so excited with my discovery that I did not get much sleep that night. The next day I rang up Roger Penrose. He agreed with me. I think, in fact, that he had been aware of this property of the area. However, he had been using a slightly different definition of a black hole. He had not realized that the boundaries of the black hole according to the two definitions would be the same, and hence so would their areas, provided the black hole had settled down to a state in which it was not changing with time.
+
+FIGURE 7.2 AND FIGURE 7.3
+  The nondecreasing behavior of a black hole's area was very reminiscent of the behavior of a physical quantity called entropy, which measures the degree of disorder of a system. It is a matter of common experience that disorder will tend to increase if things are left to themselves. (One has only to stop making repairs around the house to see that!) One can create order out of disorder (for example, one can paint the house), but that requires expenditure of effort or energy and so decreases the amount of ordered energy available.
+  A precise statement of this idea is known as the second law of thermodynamics. It states that the entropy of an isolated system always increases, and that when two systems are joined together, the entropy of the combined system is greater than the sum of the entropies of the individual systems. For example, consider a system of gas molecules in a box. The molecules can be thought of as little billiard balls continually colliding with each other and bouncing off the walls of the box. The higher the temperature of the gas, the faster the molecules move, and so the more frequently and harder they collide with the walls of the box and the greater the outward pressure they exert on the walls. Suppose that initially the molecules are all confined to the left-hand side of the box by a partition. If the partition is then removed, the molecules will tend to spread out and occupy both halves of the box. At some later time they could, by chance, all be in the right half or back in the left half, but it is overwhelmingly more probable that there will be roughly equal numbers in the two halves. Such a state is less ordered, or more disordered, than the original state in which all the molecules were in one half. One therefore says that the entropy of the gas has gone up. Similarly, suppose one starts with two boxes, one containing oxygen molecules and the other containing nitrogen molecules. If one joins the boxes together and removes the intervening wall, the oxygen and the nitrogen molecules will start to mix. At a later time the most probable state would be a fairly uniform mixture of oxygen and nitrogen molecules throughout the two boxes. This state would be less ordered, and hence have more entropy, than the initial state of two separate boxes.
+  The second law of thermodynamics has a rather different status than that of other laws of science, such as Newton's law of gravity, for example, because it does not hold always, just in the vast majority of cases. The probability of all the gas molecules in our first box being found in one half of the box at a later time is many millions of millions to one, but it can happen. However, if one has a black hole around, there seems to be a rather easier way of violating the second law: just throw some matter with a lot of entropy, such as a box of gas, down the black hole. The total entropy of matter outside the black hole would go down. One could, of course, still say that the total entropy, including the entropy inside the black hole, has not gone down-but since there is no way to look inside the black hole, we cannot see how much entropy the matter inside it has. It would be nice, then, if there was some feature of the black hole by which observers outside the black hole could tell its entropy, and which would increase whenever matter carrying entropy fell into the black hole. Following the discovery, described above, that the area of the event horizon increased whenever matter fell into a black hole, a research student at Princeton named Jacob Bekenstein suggested that the area of the event horizon was a measure of the entropy of the black hole. As matter carrying entropy fell into a black hole, the area of its event horizon would go up, so that the sum of the entropy of matter outside black holes and the area of the horizons would never go down.
+  This suggestion seemed to prevent the second law of thermodynamics from being violated in most situations. However, there was one fatal flaw. If a black hole has entropy, then it ought also to have a temperature. But a body with a particular temperature must emit radiation at a certain rate. It is a matter of common experience that if one heats up a poker in a fire it glows red hot and emits radiation, but bodies at lower temperatures emit radiation too; one just does not normally notice it because the amount is fairly small. This radiation is required in order to prevent violation of the second law. So black holes ought to emit radiation. But by their very definition, black holes are objects that are not supposed to emit anything. It therefore seemed that the area of the event horizon of a black hole could not be regarded as its entropy. In 1972 I wrote a paper with Brandon Carter and an American colleague, Jim Bardeen, in which we pointed out that although there were many similarities between entropy and the area of the event horizon, there was this apparently fatal difficulty. I must admit that in writing this paper I was motivated partly by irritation with Bekenstein, who, I felt, had misused my discovery of the increase of the area of the event horizon. However, it turned out in the end that he was basically correct, though in a manner he had certainly not expected.
+  In September 1973, while I was visiting Moscow, I discussed black holes with two leading Soviet experts, Yakov Zeldovich and Alexander Starobinsky. They convinced me that, according to the quantum mechanical uncertainty principle, rotating black holes should create and emit particles. I believed their arguments on physical grounds, but I did not like the mathematical way in which they calculated the emission. I therefore set about devising a better mathematical treatment, which I described at an informal seminar in Oxford at the end of November 1973. At that time I had not done the calculations to find out how much would actually be emitted. I was expecting to discover just the radiation that Zeldovich and Starobinsky had predicted from rotating black holes. However, when I did the calculation, I found, to my surprise and annoyance, that even non-rotating black holes should apparently create and emit particles at a steady rate. At first I thought that this emission indicated that one of the approximations I had used was not valid. I was afraid that if Bekenstein found out about it, he would use it as a further argument to support his ideas about the entropy of black holes, which I still did not like. However, the more I thought about it, the more it seemed that the approximations really ought to hold. But what finally convinced me that the emission was real was that the spectrum of the emitted particles was exactly that which would be emitted by a hot body, and that the black hole was emitting particles at exactly the correct rate to prevent violations of the second law. Since then the calculations have been repeated in a number of different forms by other people. They all confirm that a black hole ought to emit particles and radiation as if it were a hot body with a temperature that depends only on the black hole's mass: the higher the mass, the lower the temperature.
+  How is it possible that a black hole appears to emit particles when we know that nothing can escape from within its event horizon? The answer, quantum theory tells us, is that the particles do not come from within the black hole, but from the "empty" space just outside the black hole's event horizon! We can understand this in the following way: what we think of as "empty" space cannot be completely empty because that would mean that all the fields, such as the gravitational and electromagnetic fields, would have to be exactly zero. However, the value of a field and its rate of change with time are like the position and velocity of a particle: the uncertainty principle implies that the more accurately one knows one of these quantities, the less accurately one can know the other. So in empty space the field cannot be fixed at exactly zero, because then it would have both a precise value (zero) and a precise rate of change (also zero). There must be a certain minimum amount of uncertainty, or quantum fluctuations, in the value of the field. One can think of these fluctuations as pairs of particles of light or gravity that appear together at some time, move apart, and then come together again and annihilate each other. These particles are virtual particles like the particles that carry the gravitational force of the sun: unlike real particles, they cannot be observed directly with a particle detector. However, their indirect effects, such as small changes in the energy of electron orbits in atoms, can be measured and agree with the theoretical predictions to a remarkable degree of accuracy. The uncertainty principle also predicts that there will be similar virtual pairs of matter particles, such as electrons or quarks. In this case, however, one member of the pair will be a particle and the other an antiparticle (the antiparticles of light and gravity are the same as the particles).
+  Because energy cannot be created out of nothing, one of the partners in a particle/antiparticle pair will have positive energy, and the other partner negative energy. The one with negative energy is condemned to be a short-lived virtual particle because real particles always have positive energy in normal situations. It must therefore seek out its partner and annihilate with it. However, a real particle close to a massive body has less energy than if it were far away, because it would take energy to lift it far away against the gravitational attraction of the body. Normally, the energy of the particle is still positive, but the gravitational field inside a black hole is so strong that even a real particle can have negative energy there. It is therefore possible, if a black hole is present, for the virtual particle with negative energy to fall into the black hole and become a real particle or antiparticle. In this case it no longer has to annihilate with its partner. Its forsaken partner may fall into the black hole as well. Or, having positive energy, it might also escape from the vicinity of the black hole as a real particle or antiparticle (Fig. 7.4). To an observer at a distance, it will appear to have been emitted from the black hole. The smaller the black hole, the shorter the distance the particle with negative energy will have to go before it becomes a real particle, and thus the greater the rate of emission, and the apparent temperature, of the black hole.
+  The positive energy of the outgoing radiation would be balanced by a flow of negative energy particles into the black hole. By Einstein's equation E = mc2 (where E is energy, m is mass, and c is the speed of light), energy is proportional to mass. A flow of negative energy into the black hole therefore reduces its mass. As the black hole loses mass, the area of its event horizon gets smaller, but this decrease in the entropy of the black hole is more than compensated for by the entropy of the emitted radiation, so the second law is never violated.
+  Moreover, the lower the mass of the black hole, the higher its temperature. So as the black hole loses mass, its temperature and rate of emission increase, so it loses mass more quickly. What happens when the mass of the black hole eventually becomes extremely small is not quite clear, but the most reasonable guess is that it would disappear completely in a tremendous final burst of emission, equivalent to the explosion of millions of H-bombs.
+
+FIGURE 7.4
+  A black hole with a mass a few times that of the sun would have a temperature of only one ten millionth of a degree above absolute zero. This is much less than the temperature of the microwave radiation that fills the universe (about 2.7° above absolute zero), so such black holes would emit even less than they absorb. If the universe is destined to go on expanding forever, the temperature of the microwave radiation will eventually decrease to less than that of such a black hole, which will then begin to lose mass. But, even then, its temperature would be so low that it would take about a million million million million million million million million million million million years (1 with sixty-six zeros after it) to evaporate completely. This is much longer than the age of the universe, which is only about ten or twenty thousand million years (1 or 2 with ten zeros after it). On the other hand, as mentioned in Chapter 6, there might be primordial black holes with a very much smaller mass that were made by the collapse of irregularities in the very early stages of the universe. Such black holes would have a much higher temperature and would be emitting radiation at a much greater rate. A primordial black hole with an initial mass of a thousand million tons would have a lifetime roughly equal to the age of the universe. Primordial black holes with initial masses less than this figure would already have completely evaporated, but those with slightly greater masses would still be emitting radiation in the form of X rays and gamma rays. These X rays and gamma rays are like waves of light, but with a much shorter wavelength. Such holes hardly deserve the epithet black: they really are white hot and are emitting energy at a rate of about ten thousand megawatts.
+  One such black hole could run ten large power stations, if only we could harness its power. This would be rather difficult, however: the black hole would have the mass of a mountain compressed into less than a million millionth of an inch, the size of the nucleus of an atom! If you had one of these black holes on the surface of the earth, there would be no way to stop it from falling through the floor to the center of the earth. It would oscillate through the earth and back, until eventually it settled down at the center. So the only place to put such a black hole, in which one might use the energy that it emitted, would be in orbit around the earth-and the only way that one could get it to orbit the earth would be to attract it there by towing a large mass in front of it, rather like a carrot in front of a donkey. This does not sound like a very practical proposition, at least not in the immediate future.
+  But even if we cannot harness the emission from these primordial black holes, what are our chances of observing them? We could look for the gamma rays that the primordial black holes emit during most of their lifetime. Although the radiation from most would be very weak because they are far away, the total from all of them might be detectable. We do observe such a background of gamma rays: Fig. 7.5 shows how the observed intensity differs at different frequencies (the number of waves per second). However, this background could have been, and probably was, generated by processes other than primordial black holes. The dotted line in Fig. 7.5 shows how the intensity should vary with frequency for gamma rays given off by primordial black holes, if there were on average 300 per cubic light-year. One can therefore say that the observations of the gamma ray background do not provide any positive evidence for primordial black holes, but they do tell us that on average there cannot be more than 300 in every cubic light-year in the universe. This limit means that primordial black holes could make up at most one millionth of the matter in the universe.
+  With primordial black holes being so scarce, it might seem unlikely that there would be one near enough for us to observe as an individual source of gamma rays. But since gravity would draw primordial black holes toward any matter, they should be much more common in and around galaxies. So although the gamma ray background tells us that there can be no more than 300 primordial black holes per cubic light-year on average, it tells us nothing about how common they might be in our own galaxy. If they were, say, a million times more common than this, then the nearest black hole to us would probably be at a distance of about a thousand million kilometers, or about as far away as Pluto, the farthest known planet. At this distance it would still be very difficult to detect the steady emission of a black hole, even if it was ten thousand megawatts. In order to observe a primordial black hole one would have to detect several gamma ray quanta coming from the same direction within a reasonable space of time, such as a week. Otherwise, they might simply be part of the background. But Planck's quantum principle tells us that each gamma ray quantum has a very high energy, because gamma rays have a very high frequency, so it would not take many quanta to radiate even ten thousand megawatts. And to observe these few coming from the distance of Pluto would require a larger gamma ray detector than any that have been constructed so far. Moreover, the detector would have to be in space, because gamma rays cannot penetrate the atmosphere.
+
+FIGURE 7.5
+  Of course, if a black hole as close as Pluto were to reach the end of its life and blow up, it would be easy to detect the final burst of emission. But if the black hole has been emitting for the last ten or twenty thousand million years, the chance of it reaching the end of its life within the next few years, rather than several million years in the past or future, is really rather small! So in order to have a reasonable chance of seeing an explosion before your research grant ran out, you would have to find a way to detect any explosions within a distance of about one light-year. In fact bursts of gamma rays from space have been detected by satellites originally constructed to look for violations of the Test Ban Treaty. These seem to occur about sixteen times a month and to be roughly uniformly distributed in direction across the sky. This indicates that they come from outside the Solar System since otherwise we would expect them to be concentrated toward the plane of the orbits of the planets. The uniform distribution also indicates that the sources are either fairly near to us in our galaxy or right outside it at cosmological distances because otherwise, again, they would be concentrated toward the plane of the galaxy. In the latter case, the energy required to account for the bursts would be far too high to have been produced by tiny black holes, but if the sources were close in galactic terms, it might be possible that they were exploding black holes. I would very much like this to be the case but I have to recognize that there are other possible explanations for the gamma ray bursts, such as colliding neutron stars. New observations in the next few years, particularly by gravitational wave detectors like LIGO, should enable us to discover the origin of the gamma ray bursts.
+  Even if the search for primordial black holes proves negative, as it seems it may, it will still give us important information about the very early stages of the universe. If the early universe had been chaotic or irregular, or if the pressure of matter had been low, one would have expected it to produce many more primordial black holes than the limit already set by our observations of the gamma ray background. Only if the early universe was very smooth and uniform, with a high pressure, can one explain the absence of observable numbers of primordial black holes.
+  The idea of radiation from black holes was the first example of a prediction that depended in an essential way on both the great theories of this century, general relativity and quantum mechanics. It aroused a lot of opposition initially because it upset the existing viewpoint: "How can a black hole emit anything?" When I first announced the results of my calculations at a conference at the Rutherford-Appleton Laboratory near Oxford, I was greeted with general incredulity. At the end of my talk the chairman of the session, John G. Taylor from Kings College, London, claimed it was all nonsense. He even wrote a paper to that effect. However, in the end most people, including John Taylor, have come to the conclusion that black holes must radiate like hot bodies if our other ideas about general relativity and quantum mechanics are correct. Thus, even though we have not yet managed to find a primordial black hole, there is fairly general agreement that if we did, it would have to be emitting a lot of gamma rays and X rays.
+  The existence of radiation from black holes seems to imply that gravitational collapse is not as final and irreversible as we once thought. If an astronaut falls into a black hole, its mass will increase, but eventually the energy equivalent of that extra mass will be returned to the universe in the form of radiation. Thus, in a sense, the astronaut will be "recycled." It would be a poor sort of immortality, however, because any personal concept of time for the astronaut would almost certainly come to an end as he was torn apart inside the black hole! Even the types of particles that were eventually emitted by the black hole would in general be different from those that made up the astronaut: the only feature of the astronaut that would survive would be his mass or energy.
+  The approximations I used to derive the emission from black holes should work well when the black hole has a mass greater than a fraction of a gram. However, they will break down at the end of the black hole's life when its mass gets very small. The most likely outcome seems to be that the black hole will just disappear, at least from our region of the universe, taking with it the astronaut and any singularity there might be inside it, if indeed there is one. This was the first indication that quantum mechanics might remove the singularities that were predicted by general relativity. However, the methods that I and other people were using in 1974 were not able to answer questions such as whether singularities would occur in quantum gravity. From 1975 onward I therefore started to develop a more powerful approach to quantum gravity based on Richard Feynman's idea of a sum over histories. The answers that this approach suggests for the origin and fate of the universe and its contents, such as astronauts, will be described in the next two chapters. We shall see that although the uncertainty principle places limitations on the accuracy of all our predictions, it may at the same time remove the fundamental unpredictability that occurs at a space-time singularity.
+CHAPTER 8
+THE ORIGIN AND
+FATE OF THE
+UNIVERSE
+E
+instein's general theory of relativity, on its own, predicted that space-time began at the big bang singularity and would come to an end either at the big crunch singularity (if the whole universe recollapsed), or at a singularity inside a black hole (if a local region, such as a star, were to collapse). Any matter that fell into the hole would be destroyed at the singularity, and only the gravitational effect of its mass would continue to be felt outside. On the other hand, when quantum effects were taken into account, it seemed that the mass or energy of the matter would eventually be returned to the rest of the universe, and that the black hole, along with any singularity inside it, would evaporate away and finally disappear. Could quantum mechanics have an equally dramatic effect on the big bang and big crunch singularities? What really happens during the very early or late stages of the universe, when gravitational fields are so strong that quantum effects cannot be ignored? Does the universe in fact have a beginning or an end? And if so, what are they like?
+  Throughout the 1970s I had been mainly studying black holes, but in 1981 my interest in questions about the origin and fate of the universe was reawakened when I attended a conference on cosmology organized by the Jesuits in the Vatican. The Catholic Church had made a bad mistake with Galileo when it tried to lay down the law on a question of science, declaring that the sun went round the earth. Now, centuries later, it had decided to invite a number of experts to advise it on cosmology. At the end of the conference the participants were granted an audience with the Pope. He told us that it was all right to study the evolution of the universe after the big bang, but we should not inquire into the big bang itself because that was the moment of Creation and therefore the work of God. I was glad then that he did not know the subject of the talk I had just given at the conference-the possibility that space-time was finite but had no boundary, which means that it had no beginning, no moment of Creation. I had no desire to share the fate of Galileo, with whom I feel a strong sense of identity, partly because of the coincidence of having been born exactly 300 years after his death!
+  In order to explain the ideas that I and other people have had about how quantum mechanics may affect the origin and fate of the universe, it is necessary first to understand the generally accepted history of the universe, according to what is known as the "hot big bang model." This assumes that the universe is described by a Friedmann model, right back to the big bang. In such models one finds that as the universe expands, any matter or radiation in it gets cooler. (When the universe doubles in size, its temperature falls by half.) Since temperature is simply a measure of the average energy-or speed-of the particles, this cooling of the universe would have a major effect on the matter in it. At very high temperatures, particles would be moving around so fast that they could escape any attraction toward each other due to nuclear or electromagnetic forces, but as they cooled off one would expect particles that attract each other to start to clump together. Moreover, even the types of particles that exist in the universe would depend on the temperature. At high enough temperatures, particles have so much energy that whenever they collide many different particle/antiparticle pairs would be produced-and although some of these particles would annihilate on hitting antiparticles, they would be produced more rapidly than they could annihilate. At lower temperatures, however, when colliding particles have less energy, particle/antiparticle pairs would be produced less quickly-and annihilation would become faster than production.
+  At the big bang itself the universe is thought to have had zero size, and so to have been infinitely hot. But as the universe expanded, the temperature of the radiation decreased. One second after the big bang, it would have fallen to about ten thousand million degrees. This is about a thousand times the temperature at the center of the sun, but temperatures as high as this are reached in H-bomb explosions. At this time the universe would have contained mostly photons, electrons, and neutrinos (extremely light particles that are affected only by the weak force and gravity) and their antiparticles, together with some protons and neutrons. As the universe continued to expand and the temperature to drop, the rate at which electron/antielectron pairs were being produced in collisions would have fallen below the rate at which they were being destroyed by annihilation. So most of the electrons and antielectrons would have annihilated with each other to produce more photons, leaving only a few electrons left over. The neutrinos and antineutrinos, however, would not have annihilated with each other, because these particles interact with themselves and with other particles only very weakly. So they should still be around today. If we could observe them, it would provide a good test of this picture of a very hot early stage of the universe. Unfortunately, their energies nowadays would be too low for us to observe them directly. However, if neutrinos are not massless, but have a small mass of their own, as suggested by some recent experiments, we might be able to detect them indirectly: they could be a form of "dark matter," like that mentioned earlier, with sufficient gravitational attraction to stop the expansion of the universe and cause it to collapse again.
+  About one hundred seconds after the big bang, the temperature would have fallen to one thousand million degrees, the temperature inside the hottest stars. At this temperature protons and neutrons would no longer have sufficient energy to escape the attraction of the strong nuclear force, and would have started to combine together to produce the nuclei of atoms of deuterium (heavy hydrogen), which contain one proton and one neutron. The deuterium nuclei would then have combined with more protons and neutrons to make helium nuclei, which contain two protons and two neutrons, and also small amounts of a couple of heavier elements, lithium and beryllium. One can calculate that in the hot big bang model about a quarter of the protons and neutrons would have been converted into helium nuclei, along with a small amount of heavy hydrogen and other elements. The remaining neutrons would have decayed into protons, which are the nuclei of ordinary hydrogen atoms.
+  This picture of a hot early stage of the universe was first put forward by the scientist George Gamow in a famous paper written in 1948 with a student of his, Ralph Alpher. Gamow had quite a sense of humor-he persuaded the nuclear scientist Hans Bethe to add his name to the paper to make the list of authors "Alpher, Bethe, Gamow," like the first three letters of the Greek alphabet, alpha, beta, gamma: particularly appropriate for a paper on the beginning of the universe! In this paper they made the remarkable prediction that radiation (in the form of photons) from the very hot early stages of the universe should still be around today, but with its temperature reduced to only a few degrees above absolute zero (-273°C). It was this radiation that Penzias and Wilson found in 1965. At the time that Alpher, Bethe, and Gamow wrote their paper, not much was known about the nuclear reactions of protons and neutrons. Predictions made for the proportions of various elements in the early universe were therefore rather inaccurate, but these calculations have been repeated in the light of better knowledge and now agree very well with what we observe. It is, moreover, very difficult to explain in any other way why there should be so much helium in the universe. We are therefore fairly confident that we have the right picture, at least back to about one second after the big bang.
+  Within only a few hours of the big bang, the production of helium and other elements would have stopped. And after that, for the next million years or so, the universe would have just continued expanding, without anything much happening. Eventually, once the temperature had dropped to a few thousand degrees, and electrons and nuclei no longer had enough energy to overcome the electromagnetic attraction between them, they would have started combining to form atoms. The universe as a whole would have continued expanding and cooling, but in regions that were slightly denser than average, the expansion would have been slowed down by the extra gravitational attraction. This would eventually stop expansion in some regions and cause them to start to recollapse. As they were collapsing, the gravitational pull of matter outside these regions might start them rotating slightly. As the collapsing region got smaller, it would spin faster-just as skaters spinning on ice spin faster as they draw in their arms. Eventually, when the region got small enough, it would be spinning fast enough to balance the attraction of gravity, and in this way disklike rotating galaxies were born. Other regions, which did not happen to pick up a rotation, would become oval-shaped objects called elliptical galaxies. In these, the region would stop collapsing because individual parts of the galaxy would be orbiting stably round its center, but the galaxy would have no overall rotation.
+  As time went on, the hydrogen and helium gas in the galaxies would break up into smaller clouds that would collapse under their own gravity. As these contracted, and the atoms within them collided with one another, the temperature of the gas would increase, until eventually it became hot enough to start nuclear fusion reactions. These would convert the hydrogen into more helium, and the heat given off would raise the pressure, and so stop the clouds from contracting any further. They would remain stable in this state for a long time as stars like our sun, burning hydrogen into helium and radiating the resulting energy as heat and light. More massive stars would need to be hotter to balance their stronger gravitational attraction, making the nuclear fusion reactions proceed so much more rapidly that they would use up their hydrogen in as little as a hundred million years. They would then contract slightly, and as they heated up further, would start to convert helium into heavier elements like carbon or oxygen. This, however, would not release much more energy, so a crisis would occur, as was described in the chapter on black holes. What happens next is not completely clear, but it seems likely that the central regions of the star would collapse to a very dense state, such as a neutron star or black hole. The outer regions of the star may sometimes get blown off in a tremendous explosion called a supernova, which would outshine all the other stars in its galaxy. Some of the heavier elements produced near the end of the star's life would be flung back into the gas in the galaxy, and would provide some of the raw material for the next generation of stars. Our own sun contains about 2 percent of these heavier elements, because it is a second-or third-generation star, formed some five thousand million years ago out of a cloud of rotating gas containing the debris of earlier supernovas. Most of the gas in that cloud went to form the sun or got blown away, but a small amount of the heavier elements collected together to form the bodies that now orbit the sun as planets like the earth.
+  The earth was initially very hot and without an atmosphere. In the course of time it cooled and acquired an atmosphere from the emission of gases from the rocks. This early atmosphere was not one in which we could have survived. It contained no oxygen, but a lot of other gases that are poisonous to us, such as hydrogen sulfide (the gas that gives rotten eggs their smell). There are, however, other primitive forms of life that can flourish under such conditions. It is thought that they developed in the oceans, possibly as a result of chance combinations of atoms into large structures, called macromolecules, which were capable of assembling other atoms in the ocean into similar structures. They would thus have reproduced themselves and multiplied. In some cases there would be errors in the reproduction. Mostly these errors would have been such that the new macromolecule could not reproduce itself and eventually would have been destroyed. However, a few of the errors would have produced new macromolecules that were even better at reproducing themselves. They would have therefore had an advantage and would have tended to replace the original macromolecules. In this way a process of evolution was started that led to the development of more and more complicated, self-reproducing organisms. The first primitive forms of life consumed various materials, including hydrogen sulfide, and released oxygen. This gradually changed the atmosphere to the composition that it has today, and allowed the development of higher forms of life such as fish, reptiles, mammals, and ultimately the human race.
+  This picture of a universe that started off very hot and cooled as it expanded is in agreement with all the observational evidence that we have today. Nevertheless, it leaves a number of important questions unanswered:
+1. Why was the early universe so hot?
+2. Why is the universe so uniform on a large scale? Why does it look the same at all points of space and in all directions? In particular, why is the temperature of the microwave background radiation so nearly the same when we look in different directions? It is a bit like asking a number of students an exam question. If they all give exactly the same answer, you can be pretty sure they have communicated with each other. Yet, in the model described above, there would not have been time since the big bang for light to get from one distant region to another, even though the regions were close together in the early universe. According to the theory of relativity, if light cannot get from one region to another, no other information can. So there would be no way in which different regions in the early universe could have come to have the same temperature as each other, unless for some unexplained reason they happened to start out with the same temperature.
+3. Why did the universe start out with so nearly the critical rate of expansion that separates models that recollapse from those that go on expanding forever, that even now, ten thousand million years later, it is still expanding at nearly the critical rate? If the rate of expansion one second after the big bang had been smaller by even one part in a hundred thousand million million, the universe would have recollapsed before it ever reached its present size.
+4. Despite the fact that the universe is so uniform and homogeneous on a large scale, it contains local irregularities, such as stars and galaxies. These are thought to have developed from small differences in the density of the early universe from one region to another. What was the origin of these density fluctuations?
+  The general theory of relativity, on its own, cannot explain these features or answer these questions because of its prediction that the universe started off with infinite density at the big bang singularity. At the singularity, general relativity and all other physical laws would break down: one couldn't predict what would come out of the singularity. As explained before, this means that one might as well cut the big bang, and any events before it, out of the theory, because they can have no effect on what we observe. Space-time would have a boundary-a beginning at the big bang.
+  Science seems to have uncovered a set of laws that, within the limits set by the uncertainty principle, tell us how the universe will develop with time, if we know its state at any one time. These laws may have originally been decreed by God, but it appears that he has since left the universe to evolve according to them and does not now intervene in it. But how did he choose the initial state or configuration of the universe? What were the "boundary conditions" at the beginning of time?
+  One possible answer is to say that God chose the initial configuration of the universe for reasons that we cannot hope to understand. This would certainly have been within the power of an omnipotent being, but if he had started it off in such an incomprehensible way, why did he choose to let it evolve according to laws that we could understand? The whole history of science has been the gradual realization that events do not happen in an arbitrary manner, but that they reflect a certain underlying order, which may or may not be divinely inspired. It would be only natural to suppose that this order should apply not only to the laws, but also to the conditions at the boundary of space-time that specify the initial state of the universe. There may be a large number of models of the universe with different initial conditions that all obey the laws. There ought to be some principle that picks out one initial state, and hence one model, to represent our universe.
+  One such possibility is what are called chaotic boundary conditions. These implicitly assume either that the universe is spatially infinite or that there are infinitely many universes. Under chaotic boundary conditions, the probability of finding any particular region of space in any given configuration just after the big bang is the same, in some sense, as the probability of finding it in any other configuration: the initial state of the universe is chosen purely randomly. This would mean that the early universe would have probably been very chaotic and irregular because there are many more chaotic and disordered configurations for the universe than there are smooth and ordered ones. (If each configuration is equally probable, it is likely that the universe started out in a chaotic and disordered state, simply because there are so many more of them.) It is difficult to see how such chaotic initial conditions could have given rise to a universe that is so smooth and regular on a large scale as ours is today. One would also have expected the density fluctuations in such a model to have led to the formation of many more primordial black holes than the upper limit that has been set by observations of the gamma ray background.
+  If the universe is indeed spatially infinite, or if there are infinitely many universes, there would probably be some large regions somewhere that started out in a smooth and uniform manner. It is a bit like the well-known horde of monkeys hammering away on typewriters-most of what they write will be garbage, but very occasionally by pure chance they will type out one of Shakespeare's sonnets. Similarly, in the case of the universe, could it be that we are living in a region that just happens by chance to be smooth and uniform? At first sight this might seem very improbable, because such smooth regions would be heavily outnumbered by chaotic and irregular regions. However, suppose that only in the smooth regions were galaxies and stars formed and were conditions right for the development of complicated self-replicating organisms like ourselves who were capable of asking the question: why is the universe so smooth? This is an example of the application of what is known as the anthropic principle, which can be paraphrased as "We see the universe the way it is because we exist."
+  There are two versions of the anthropic principle, the weak and the strong. The weak anthropic principle states that in a universe that is large or infinite in space and/or time, the conditions necessary for the development of intelligent life will be met only in certain regions that are limited in space and time. The intelligent beings in these regions should therefore not be surprised if they observe that their locality in the universe satisfies the conditions that are necessary for their existence. It is a bit like a rich person living in a wealthy neighborhood not seeing any poverty.
+  One example of the use of the weak anthropic principle is to "explain" why the big bang occurred about ten thousand million years ago-it takes about that long for intelligent beings to evolve. As explained above, an early generation of stars first had to form. These stars converted some of the original hydrogen and helium into elements like carbon and oxygen, out of which we are made. The stars then exploded as supernovas, and their debris went to form other stars and planets, among them those of our Solar System, which is about five thousand million years old. The first one or two thousand million years of the earth's existence were too hot for the development of anything complicated. The remaining three thousand million years or so have been taken up by the slow process of biological evolution, which has led from the simplest organisms to beings who are capable of measuring time back to the big bang.
+  Few people would quarrel with the validity or utility of the weak anthropic principle. Some, however, go much further and propose a strong version of the principle. According to this theory, there are either many different universes or many different regions of a single universe, each with its own initial configuration and, perhaps, with its own set of laws of science. In most of these universes the conditions would not be right for the development of complicated organisms; only in the few universes that are like ours would intelligent beings develop and ask the question, "Why is the universe the way we see it?" The answer is then simple: if it had been different, we would not be here!
+  The laws of science, as we know them at present, contain many fundamental numbers, like the size of the electric charge of the electron and the ratio of the masses of the proton and the electron. We cannot, at the moment at least, predict the values of these numbers from theory-we have to find them by observation. It may be that one day we shall discover a complete unified theory that predicts them all, but it is also possible that some or all of them vary from universe to universe or within a single universe. The remarkable fact is that the values of these numbers seem to have been very finely adjusted to make possible the development of life. For example, if the electric charge of the electron had been only slightly different, stars either would have been unable to burn hydrogen and helium, or else they would not have exploded. Of course, there might be other forms of intelligent life, not dreamed of even by writers of science fiction, that did not require the light of a star like the sun or the heavier chemical elements that are made in stars and are flung back into space when the stars explode. Nevertheless, it seems clear that there are relatively few ranges of values for the numbers that would allow the development of any form of intelligent life. Most sets of values would give rise to universes that, although they might be very beautiful, would contain no one able to wonder at that beauty. One can take this either as evidence of a divine purpose in Creation and the choice of the laws of science or as support for the strong anthropic principle.
+  There are a number of objections that one can raise to the strong anthropic principle as an explanation of the observed state of the universe. First, in what sense can all these different universes be said to exist? If they are really separate from each other, what happens in another universe can have no observable consequences in our own universe. We should therefore use the principle of economy and cut them out of the theory. If, on the other hand, they are just different regions of a single universe, the laws of science would have to be the same in each region, because otherwise one could not move continuously from one region to another. In this case the only difference between the regions would be their initial configurations and so the strong anthropic principle would reduce to the weak one.
+  A second objection to the strong anthropic principle is that it runs against the tide of the whole history of science. We have developed from the geocentric cosmologies of Ptolemy and his forebears, through the heliocentric cosmology of Copernicus and Galileo, to the modern picture in which the earth is a medium-sized planet orbiting around an average star in the outer suburbs of an ordinary spiral galaxy, which is itself only one of about a million million galaxies in the observable universe. Yet the strong anthropic principle would claim that this whole vast construction exists simply for our sake. This is very hard to believe. Our Solar System is certainly a prerequisite for our existence, and one might extend this to the whole of our galaxy to allow for an earlier generation of stars that created the heavier elements. But there does not seem to be any need for all those other galaxies, nor for the universe to be so uniform and similar in every direction on the large scale.
+  One would feel happier about the anthropic principle, at least in its weak version, if one could show that quite a number of different initial configurations for the universe would have evolved to produce a universe like the one we observe. If this is the case, a universe that developed from some sort of random initial conditions should contain a number of regions that are smooth and uniform and are suitable for the evolution of intelligent life. On the other hand, if the initial state of the universe had to be chosen extremely carefully to lead to something like what we see around us, the universe would be unlikely to contain any region in which life would appear. In the hot big bang model described above, there was not enough time in the early universe for heat to have flowed from one region to another. This means that the initial state of the universe would have to have had exactly the same temperature everywhere in order to account for the fact that the microwave background has the same temperature in every direction we look. The initial rate of expansion also would have had to be chosen very precisely for the rate of expansion still to be so close to the critical rate needed to avoid recollapse. This means that the initial state of the universe must have been very carefully chosen indeed if the hot big bang model was correct right back to the beginning of time. It would be very difficult to explain why the universe should have begun in just this way, except as the act of a God who intended to create beings like us.
+  In an attempt to find a model of the universe in which many different initial configurations could have evolved to something like the present universe, a scientist at the Massachusetts Institute of Technology, Alan Guth, suggested that the early universe might have gone through a period of very rapid expansion. This expansion is said to be "inflationary," meaning that the universe at one time expanded at an increasing rate rather than the decreasing rate that it does today. According to Guth, the radius of the universe increased by a million million million million million (1 with thirty zeros after it) times in only a tiny fraction of a second.
+  Guth suggested that the universe started out from the big bang in a very hot, but rather chaotic, state. These high temperatures would have meant that the particles in the universe would be moving very fast and would have high energies. As we discussed earlier, one would expect that at such high temperatures the strong and weak nuclear forces and the electromagnetic force would all be unified into a single force. As the universe expanded, it would cool, and particle energies would go down. Eventually there would be what is called a phase transition and the symmetry between the forces would be broken: the strong force would become different from the weak and electromagnetic forces. One common example of a phase transition is the freezing of water when you cool it down. Liquid water is symmetrical, the same at every point and in every direction. However, when ice crystals form, they will have definite positions and will be lined up in some direction. This breaks water's symmetry.
+  In the case of water, if one is careful, one can "supercool" it: that is, one can reduce the temperature below the freezing point (0°C) without ice forming. Guth suggested that the universe might behave in a similar way: the temperature might drop below the critical value without the symmetry between the forces being broken. If this happened, the universe would be in an unstable state, with more energy than if the symmetry had been broken. This special extra energy can be shown to have an antigravitational effect: it would have acted just like the cosmological constant that Einstein introduced into general relativity when he was trying to construct a static model of the universe. Since the universe would already be expanding just as in the hot big bang model, the repulsive effect of this cosmological constant would therefore have made the universe expand at an ever-increasing rate. Even in regions where there were more matter particles than average, the gravitational attraction of the matter would have been outweighed by the repulsion of the effective cosmological constant. Thus these regions would also expand in an accelerating inflationary manner. As they expanded and the matter particles got farther apart, one would be left with an expanding universe that contained hardly any particles and was still in the supercooled state. Any irregularities in the universe would simply have been smoothed out by the expansion, as the wrinkles in a balloon are smoothed away when you blow it up. Thus the present smooth and uniform state of the universe could have evolved from many different non-uniform initial states.
+  In such a universe, in which the expansion was accelerated by a cosmological constant rather than slowed down by the gravitational attraction of matter, there would be enough time for light to travel from one region to another in the early universe. This could provide a solution to the problem, raised earlier, of why different regions in the early universe have the same properties. Moreover, the rate of expansion of the universe would automatically become very close to the critical rate determined by the energy density of the universe. This could then explain why the rate of expansion is still so close to the critical rate, without having to assume that the initial rate of expansion of the universe was very carefully chosen.
+  The idea of inflation could also explain why there is so much matter in the universe. There are something like ten million million million million million million million million million million million million million million (1 with eighty zeros after it) particles in the region of the universe that we can observe. Where did they all come from? The answer is that, in quantum theory, particles can be created out of energy in the form of particle/antiparticle pairs. But that just raises the question of where the energy came from. The answer is that the total energy of the universe is exactly zero. The matter in the universe is made out of positive energy. However, the matter is all attracting itself by gravity. Two pieces of matter that are close to each other have less energy than the same two pieces a long way apart, because you have to expend energy to separate them against the gravitational force that is pulling them together. Thus, in a sense, the gravitational field has negative energy. In the case of a universe that is approximately uniform in space, one can show that this negative gravitational energy exactly cancels the positive energy represented by the matter. So the total energy of the universe is zero.
+  Now twice zero is also zero. Thus the universe can double the amount of positive matter energy and also double the negative gravitational energy without violation of the conservation of energy. This does not happen in the normal expansion of the universe in which the matter energy density goes down as the universe gets bigger. It does happen, however, in the inflationary expansion because the energy density of the supercooled state remains constant while the universe expands: when the universe doubles in size, the positive matter energy and the negative gravitational energy both double, so the total energy remains zero. During the inflationary phase, the universe increases its size by a very large amount. Thus the total amount of energy available to make particles becomes very large. As Guth has remarked, "It is said that there's no such thing as a free lunch. But the universe is the ultimate free lunch."
+  The universe is not expanding in an inflationary way today. Thus there has to be some mechanism that would eliminate the very large effective cosmological constant and so change the rate of expansion from an accelerated one to one that is slowed down by gravity, as we have today. In the inflationary expansion one might expect that eventually the symmetry between the forces would be broken, just as supercooled water always freezes in the end. The extra energy of the unbroken symmetry state would then be released and would reheat the universe to a temperature just below the critical temperature for symmetry between the forces. The universe would then go on to expand and cool just like the hot big bang model, but there would now be an explanation of why the universe was expanding at exactly the critical rate and why different regions had the same temperature.
+  In Guth's original proposal the phase transition was supposed to occur suddenly, rather like the appearance of ice crystals in very cold water. The idea was that "bubbles" of the new phase of broken symmetry would have formed in the old phase, like bubbles of steam surrounded by boiling water. The bubbles were supposed to expand and meet up with each other until the whole universe was in the new phase. The trouble was, as I and several other people pointed out, that the universe was expanding so fast that even if the bubbles grew at the speed of light, they would be moving away from each other and so could not join up. The universe would be left in a very non-uniform state, with some regions still having symmetry between the different forces. Such a model of the universe would not correspond to what we see.
+  In October 1981, I went to Moscow for a conference on quantum gravity. After the conference I gave a seminar on the inflationary model and its problems at the Sternberg Astronomical Institute. Before this, I had got someone else to give my lectures for me, because most people could not understand my voice. But there was not time to prepare this seminar, so I gave it myself, with one of my graduate students repeating my words. It worked well, and gave me much more contact with my audience. In the audience was a young Russian, Andrei Linde, from the Lebedev Institute in Moscow. He said that the difficulty with the bubbles not joining up could be avoided if the bubbles were so big that our region of the universe is all contained inside a single bubble. In order for this to work, the change from symmetry to broken symmetry must have taken place very slowly inside the bubble, but this is quite possible according to grand unified theories. Linde's idea of a slow breaking of symmetry was very good, but I later realized that his bubbles would have to have been bigger than the size of the universe at the time! I showed that instead the symmetry would have broken everywhere at the same time, rather than just inside bubbles. This would lead to a uniform universe, as we observe. I was very excited by this idea and discussed it with one of my students, Ian Moss. As a friend of Linde's, I was rather embarrassed, however, when I was later sent his paper by a scientific journal and asked whether it was suitable for publication. I replied that there was this flaw about the bubbles being bigger than the universe, but that the basic idea of a slow breaking of symmetry was very good. I recommended that the paper be published as it was because it would take Linde several months to correct it, since anything he sent to the West would have to be passed by Soviet censorship, which was neither very skillful nor very quick with scientific papers. Instead, I wrote a short paper with Ian Moss in the same journal in which we pointed out this problem with the bubble and showed how it could be resolved.
+  The day after I got back from Moscow I set out for Philadelphia, where I was due to receive a medal from the Franklin Institute. My secretary, Judy Fella, had used her not inconsiderable charm to persuade British Airways to give herself and me free seats on a Concorde as a publicity venture. However, I was held up on my way to the airport by heavy rain and I missed the plane. Nevertheless, I got to Philadelphia in the end and received my medal. I was then asked to give a seminar on the inflationary universe at Drexel University in Philadelphia. I gave the same seminar about the problems of the inflationary universe, just as in Moscow.
+  A very similar idea to Linde's was put forth independently a few months later by Paul Steinhardt and Andreas Albrecht of the University of Pennsylvania. They are now given joint credit with Linde for what is called "the new inflationary model," based on the idea of a slow breaking of symmetry. (The old inflationary model was Guth's original suggestion of fast symmetry breaking with the formation of bubbles.)
+  The new inflationary model was a good attempt to explain why the universe is the way it is. However, I and several other people showed that, at least in its original form, it predicted much greater variations in the temperature of the microwave background radiation than are observed. Later work has also cast doubt on whether there could be a phase transition in the very early universe of the kind required. In my personal opinion, the new inflationary model is now dead as a scientific theory, although a lot of people do not seem to have heard of its demise and are still writing papers as if it were viable. A better model, called the chaotic inflationary model, was put forward by Linde in 1983. In this there is no phase transition or supercooling. Instead, there is a spin 0 field, which, because of quantum fluctuations, would have large values in some regions of the early universe. The energy of the field in those regions would behave like a cosmological constant. It would have a repulsive gravitational effect, and thus make those regions expand in an inflationary manner. As they expanded, the energy of the field in them would slowly decrease until the inflationary expansion changed to an expansion like that in the hot big bang model. One of these regions would become what we now see as the observable universe. This model has all the advantages of the earlier inflationary models, but it does not depend on a dubious phase transition, and it can moreover give a reasonable size for the fluctuations in the temperature of the microwave background that agrees with observation.
+  This work on inflationary models showed that the present state of the universe could have arisen from quite a large number of different initial configurations. This is important, because it shows that the initial state of the part of the universe that we inhabit did not have to be chosen with great care. So we may, if we wish, use the weak anthropic principle to explain why the universe looks the way it does now. It cannot be the case, however, that every initial configuration would have led to a universe like the one we observe. One can show this by considering a very different state for the universe at the present time, say, a very lumpy and irregular one. One could use the laws of science to evolve the universe back in time to determine its configuration at earlier times. According to the singularity theorems of classical general relativity, there would still have been a big bang singularity. If you evolve such a universe forward in time according to the laws of science, you will end up with the lumpy and irregular state you started with. Thus there must have been initial configurations that would not have given rise to a universe like the one we see today. So even the inflationary model does not tell us why the initial configuration was not such as to produce something very different from what we observe. Must we turn to the anthropic principle for an explanation? Was it all just a lucky chance? That would seem a counsel of despair, a negation of all our hopes of understanding the underlying order of the universe.
+  In order to predict how the universe should have started off, one needs laws that hold at the beginning of time. If the classical theory of general relativity was correct, the singularity theorems that Roger Penrose and I proved show that the beginning of time would have been a point of infinite density and infinite curvature of space-time. All the known laws of science would break down at such a point. One might suppose that there were new laws that held at singularities, but it would be very difficult even to formulate such laws at such badly behaved points, and we would have no guide from observations as to what those laws might be. However, what the singularity theorems really indicate is that the gravitational field becomes so strong that quantum gravitational effects become important: classical theory is no longer a good description of the universe. So one has to use a quantum theory of gravity to discuss the very early stages of the universe. As we shall see, it is possible in the quantum theory for the ordinary laws of science to hold everywhere, including at the beginning of time: it is not necessary to postulate new laws for singularities, because there need not be any singularities in the quantum theory.
+  We don't yet have a complete and consistent theory that combines quantum mechanics and gravity. However, we are fairly certain of some features that such a unified theory should have. One is that it should incorporate Feynman's proposal to formulate quantum theory in terms of a sum over histories. In this approach, a particle does not have just a single history, as it would in a classical theory. Instead, it is supposed to follow every possible path in space-time, and with each of these histories there are associated a couple of numbers, one representing the size of a wave and the other representing its position in the cycle (its phase). The probability that the particle, say, passes through some particular point is found by adding up the waves associated with every possible history that passes through that point. When one actually tries to perform these sums, however, one runs into severe technical problems. The only way around these is the following peculiar prescription: one must add up the waves for particle histories that are not in the "real" time that you and I experience but take place in what is called imaginary time. Imaginary time may sound like science fiction but it is in fact a well-defined mathematical concept. If we take any ordinary (or "real") number and multiply it by itself, the result is a positive number. (For example, 2 times 2 is 4, but so is−2 times−2.) There are, however, special numbers (called imaginary numbers) that give negative numbers when multiplied by themselves. (The one called i, when multiplied by itself, gives −1, 2i multiplied by itself gives −4, and so on.)
+  One can picture real and imaginary numbers in the following way: The real numbers can be represented by a line going from left to right, with zero in the middle, negative numbers like −1, −2, etc. on the left, and positive numbers, 1, 2, etc. on the right. Then imaginary numbers are represented by a line going up and down the page, with i, 2i, etc. above the middle, and −i, −2i, etc. below. Thus imaginary numbers are in a sense numbers at right angles to ordinary real numbers.
+  To avoid the technical difficulties with Feynman's sum over histories, one must use imaginary time. That is to say, for the purposes of the calculation one must measure time using imaginary numbers, rather than real ones. This has an interesting effect on space-time: the distinction between time and space disappears completely. A space-time in which events have imaginary values of the time coordinate is said to be Euclidean, after the ancient Greek Euclid, who founded the study of the geometry of two-dimensional surfaces. What we now call Euclidean space-time is very similar except that it has four dimensions instead of two. In Euclidean space-time there is no difference between the time direction and directions in space. On the other hand, in real space-time, in which events are labeled by ordinary, real values of the time coordinate, it is easy to tell the difference-the time direction at all points lies within the light cone, and space directions lie outside. In any case, as far as everyday quantum mechanics is concerned, we may regard our use of imaginary time and Euclidean space-time as merely a mathematical device (or trick) to calculate answers about real space-time.
+  A second feature that we believe must be part of any ultimate theory is Einstein's idea that the gravitational field is represented by curved space-time: particles try to follow the nearest thing to a straight path in a curved space, but because space-time is not flat their paths appear to be bent, as if by a gravitational field. When we apply Feynman's sum over histories to Einstein's view of gravity, the analogue of the history of a particle is now a complete curved space-time that represents the history of the whole universe. To avoid the technical difficulties in actually performing the sum over histories, these curved space-times must be taken to be Euclidean. That is, time is imaginary and is indistinguishable from directions in space. To calculate the probability of finding a real space-time with some certain property, such as looking the same at every point and in every direction, one adds up the waves associated with all the histories that have that property.
+  In the classical theory of general relativity, there are many different possible curved space-times, each corresponding to a different initial state of the universe. If we knew the initial state of our universe, we would know its entire history. Similarly, in the quantum theory of gravity, there are many different possible quantum states for the universe. Again, if we knew how the Euclidean curved space-times in the sum over histories behaved at early times, we would know the quantum state of the universe.
+  In the classical theory of gravity, which is based on real space-time, there are only two possible ways the universe can behave: either it has existed for an infinite time, or else it had a beginning at a singularity at some finite time in the past. In the quantum theory of gravity, on the other hand, a third possibility arises. Because one is using Euclidean space-times, in which the time direction is on the same footing as directions in space, it is possible for space-time to be finite in extent and yet to have no singularities that formed a boundary or edge. Space-time would be like the surface of the earth, only with two more dimensions. The surface of the earth is finite in extent but it doesn't have a boundary or edge: if you sail off into the sunset, you don't fall off the edge or run into a singularity. (I know, because I have been round the world!)
+  If Euclidean space-time stretches back to infinite imaginary time, or else starts at a singularity in imaginary time, we have the same problem as in the classical theory of specifying the initial state of the universe: God may know how the universe began, but we cannot give any particular reason for thinking it began one way rather than another. On the other hand, the quantum theory of gravity has opened up a new possibility, in which there would be no boundary to space-time and so there would be no need to specify the behavior at the boundary. There would be no singularities at which the laws of science broke down, and no edge of space-time at which one would have to appeal to God or some new law to set the boundary conditions for space-time. One could say: "The boundary condition of the universe is that it has no boundary." The universe would be completely self-contained and not affected by anything outside itself. It would neither be created nor destroyed. It would just BE.
+  It was at the conference in the Vatican mentioned earlier that I first put forward the suggestion that maybe time and space together formed a surface that was finite in size but did not have any boundary or edge. My paper was rather mathematical, however, so its implications for the role of God in the creation of the universe were not generally recognized at the time (just as well for me). At the time of the Vatican conference, I did not know how to use the "no boundary" idea to make predictions about the universe. However, I spent the following summer at the University of California, Santa Barbara. There a friend and colleague of mine, Jim Hartle, worked out with me what conditions the universe must satisfy if space-time had no boundary. When I returned to Cambridge, I continued this work with two of my research students, Julian Luttrel and Jonathan Halliwell.
+  I'd like to emphasize that this idea that time and space should be finite "without boundary" is just a proposal: it cannot be deduced from some other principle. Like any other scientific theory, it may initially be put forward for aesthetic or metaphysical reasons, but the real test is whether it makes predictions that agree with observation. This, however, is difficult to determine in the case of quantum gravity, for two reasons. First, as will be explained in Chapter 11, we are not yet sure exactly which theory successfully combines general relativity and quantum mechanics, though we know quite a lot about the form such a theory must have. Second, any model that described the whole universe in detail would be much too complicated mathematically for us to be able to calculate exact predictions. One therefore has to make simplifying assumptions and approximations-and even then, the problem of extracting predictions remains a formidable one.
+  Each history in the sum over histories will describe not only the space-time but everything in it as well, including any complicated organisms like human beings who can observe the history of the universe. This may provide another justification for the anthropic principle, for if all the histories are possible, then so long as we exist in one of the histories, we may use the anthropic principle to explain why the universe is found to be the way it is. Exactly what meaning can be attached to the other histories, in which we do not exist, is not clear. This view of a quantum theory of gravity would be much more satisfactory, however, if one could show that, using the sum over histories, our universe is not just one of the possible histories but one of the most probable ones. To do this, we must perform the sum over histories for all possible Euclidean space-times that have no boundary.
+  Under the "no boundary" proposal one learns that the chance of the universe being found to be following most of the possible histories is negligible, but there is a particular family of histories that are much more probable than the others. These histories may be pictured as being like the surface of the earth, with the distance from the North Pole representing imaginary time and the size of a circle of constant distance from the North Pole representing the spatial size of the universe. The universe starts at the North Pole as a single point. As one moves south, the circles of latitude at constant distance from the North Pole get bigger, corresponding to the universe expanding with imaginary time (Fig. 8.1). The universe would reach a maximum size at the equator and would contract with increasing imaginary time to a single point at the South Pole. Even though the universe would have zero size at the North and South Poles, these points would not be singularities, any more than the North and South Poles on the earth are singular. The laws of science will hold at them, just as they do at the North and South Poles on the earth.
+  The history of the universe in real time, however, would look very different. At about ten or twenty thousand million years ago, it would have a minimum size, which was equal to the maximum radius of the history in imaginary time. At later real times, the universe would expand like the chaotic inflationary model proposed by Linde (but one would not now have to assume that the universe was created somehow in the right sort of state). The universe would expand to a very large size (Fig. 8.1) and eventually it would collapse again into what looks like a singularity in real time. Thus, in a sense, we are still all doomed, even if we keep away from black holes. Only if we could picture the universe in terms of imaginary time would there be no singularities.
+  If the universe really is in such a quantum state, there would be no singularities in the history of the universe in imaginary time. It might seem therefore that my more recent work had completely undone the results of my earlier work on singularities. But, as indicated above, the real importance of the singularity theorems was that they showed that the gravitational field must become so strong that quantum gravitational effects could not be ignored. This in turn led to the idea that the universe could be finite in imaginary time but without boundaries or singularities. When one goes back to the real time in which we live, however, there will still appear to be singularities. The poor astronaut who falls into a black hole will still come to a sticky end; only if he lived in imaginary time would he encounter no singularities.
+
+FIGURE 8.1
+  This might suggest that the so-called imaginary time is really the real time, and that what we call real time is just a figment of our imaginations. In real time, the universe has a beginning and an end at singularities that form a boundary to space-time and at which the laws of science break down. But in imaginary time, there are no singularities or boundaries. So maybe what we call imaginary time is really more basic, and what we call real is just an idea that we invent to help us describe what we think the universe is like. But according to the approach I described in Chapter 1, a scientific theory is just a mathematical model we make to describe our observations: it exists only in our minds. So it is meaningless to ask: which is real, "real" or "imaginary" time? It is simply a matter of which is the more useful description.
+  One can also use the sum over histories, along with the no boundary proposal, to find which properties of the universe are likely to occur together. For example, one can calculate the probability that the universe is expanding at nearly the same rate in all different directions at a time when the density of the universe has its present value. In the simplified models that have been examined so far, this probability turns out to be high; that is, the proposed no boundary condition leads to the prediction that it is extremely probable that the present rate of expansion of the universe is almost the same in each direction. This is consistent with the observations of the microwave background radiation, which show that it has almost exactly the same intensity in any direction. If the universe were expanding faster in some directions than in others, the intensity of the radiation in those directions would be reduced by an additional red shift.
+  Further predictions of the no boundary condition are currently being worked out. A particularly interesting problem is the size of the small departures from uniform density in the early universe that caused the formation first of the galaxies, then of stars, and finally of us. The uncertainty principle implies that the early universe cannot have been completely uniform because there must have been some uncertainties or fluctuations in the positions and velocities of the particles. Using the no boundary condition, we find that the universe must in fact have started off with just the minimum possible non-uniformity allowed by the uncertainty principle. The universe would have then undergone a period of rapid expansion, as in the inflationary models. During this period, the initial non-uniformities would have been amplified until they were big enough to explain the origin of the structures we observe around us. In 1992 the Cosmic Background Explorer satellite (COBE) first detected very slight variations in the intensity of the microwave background with direction. The way these non-uniformities depend on direction seems to agree with the predictions of the inflationary model and the no boundary proposal. Thus the no boundary proposal is a good scientific theory in the sense of Karl Popper: it could have been falsified by observations but instead its predictions have been confirmed. In an expanding universe in which the density of matter varied slightly from place to place, gravity would have caused the denser regions to slow down their expansion and start contracting. This would lead to the formation of galaxies, stars, and eventually even insignificant creatures like ourselves. Thus all the complicated structures that we see in the universe might be explained by the no boundary condition for the universe together with the uncertainty principle of quantum mechanics.
+  The idea that space and time may form a closed surface without boundary also has profound implications for the role of God in the affairs of the universe. With the success of scientific theories in describing events, most people have come to believe that God allows the universe to evolve according to a set of laws and does not intervene in the universe to break these laws. However, the laws do not tell us what the universe should have looked like when it started-it would still be up to God to wind up the clockwork and choose how to start it off. So long as the universe had a beginning, we could suppose it had a creator. But if the universe is really completely self-contained, having no boundary or edge, it would have neither beginning nor end: it would simply be. What place, then, for a creator?
+CHAPTER 9
+THE ARROW
+OF TIME
+I
+n previous chapters we have seen how our views of the nature of time have changed over the years. Up to the beginning of this century people believed in an absolute time. That is, each event could be labeled by a number called "time" in a unique way, and all good clocks would agree on the time interval between two events. However, the discovery that the speed of light appeared the same to every observer, no matter how he was moving, led to the theory of relativity-and in that one had to abandon the idea that there was a unique absolute time. Instead, each observer would have his own measure of time as recorded by a clock that he carried: clocks carried by different observers would not necessarily agree. Thus time became a more personal concept, relative to the observer who measured it.
+  When one tried to unify gravity with quantum mechanics, one had to introduce the idea of "imaginary" time. Imaginary time is indistinguishable from directions in space. If one can go north, one can turn around and head south; equally, if one can go forward in imaginary time, one ought to be able to turn round and go backward. This means that there can be no important difference between the forward and backward directions of imaginary time. On the other hand, when one looks at "real" time, there's a very big difference between the forward and backward directions, as we all know. Where does this difference between the past and the future come from? Why do we remember the past but not the future?
+  The laws of science do not distinguish between the past and the future. More precisely, as explained earlier, the laws of science are unchanged under the combination of operations (or symmetries) known as C, P, and T. (C means changing particles for antiparticles. P means taking the mirror image, so left and right are interchanged. And T means reversing the direction of motion of all particles: in effect, running the motion backward.) The laws of science that govern the behavior of matter under all normal situations are unchanged under the combination of the two operations C and P on their own. In other words, life would be just the same for the inhabitants of another planet who were both mirror images of us and who were made of antimatter, rather than matter.
+  If the laws of science are unchanged by the combination of operations C and P, and also by the combination C, P, and T, they must also be unchanged under the operation T alone. Yet there is a big difference between the forward and backward directions of real time in ordinary life. Imagine a cup of water falling off a table and breaking into pieces on the floor. If you take a film of this, you can easily tell whether it is being run forward or backward. If you run it backward you will see the pieces suddenly gather themselves together off the floor and jump back to form a whole cup on the table. You can tell that the film is being run backward because this kind of behavior is never observed in ordinary life. If it were, crockery manufacturers would go out of business.
+  The explanation that is usually given as to why we don't see broken cups gathering themselves together off the floor and jumping back onto the table is that it is forbidden by the second law of thermodynamics. This says that in any closed system disorder, or entropy, always increases with time. In other words, it is a form of Murphy's law: things always tend to go wrong! An intact cup on the table is a state of high order, but a broken cup on the floor is a disordered state. One can go readily from the cup on the table in the past to the broken cup on the floor in the future, but not the other way round.
+  The increase of disorder or entropy with time is one example of what is called an arrow of time, something that distinguishes the past from the future, giving a direction to time. There are at least three different arrows of time. First, there is the thermodynamic arrow of time, the direction of time in which disorder or entropy increases. Then, there is the psychological arrow of time. This is the direction in which we feel time passes, the direction in which we remember the past but not the future. Finally, there is the cosmological arrow of time. This is the direction of time in which the universe is expanding rather than contracting.
+  In this chapter I shall argue that the no boundary condition for the universe, together with the weak anthropic principle, can explain why all three arrows point in the same direction-and moreover, why a well-defined arrow of time should exist at all. I shall argue that the psychological arrow is determined by the thermodynamic arrow, and that these two arrows necessarily always point in the same direction. If one assumes the no boundary condition for the universe, we shall see that there must be well-defined thermodynamic and cosmological arrows of time, but they will not point in the same direction for the whole history of the universe. However, I shall argue that it is only when they do point in the same direction that conditions are suitable for the development of intelligent beings who can ask the question: why does disorder increase in the same direction of time as that in which the universe expands?
+  I shall discuss first the thermodynamic arrow of time. The second law of thermodynamics results from the fact that there are always many more disordered states than there are ordered ones. For example, consider the pieces of a jigsaw in a box. There is one, and only one, arrangement in which the pieces make a complete picture. On the other hand, there are a very large number of arrangements in which the pieces are disordered and don't make a picture.
+  Suppose a system starts out in one of the small number of ordered states. As time goes by, the system will evolve according to the laws of science and its state will change. At a later time, it is more probable that the system will be in a disordered state than in an ordered one because there are more disordered states. Thus disorder will tend to increase with time if the system obeys an initial condition of high order.
+  Suppose the pieces of the jigsaw start off in a box in the ordered arrangement in which they form a picture. If you shake the box, the pieces will take up another arrangement. This will probably be a disordered arrangement in which the pieces don't form a proper picture, simply because there are so many more disordered arrangements. Some groups of pieces may still form parts of the picture, but the more you shake the box, the more likely it is that these groups will get broken up and the pieces will be in a completely jumbled state in which they don't form any sort of picture. So the disorder of the pieces will probably increase with time if the pieces obey the initial condition that they start off in a condition of high order.
+  Suppose, however, that God decided that the universe should finish up in a state of high order but that it didn't matter what state it started in. At early times the universe would probably be in a disordered state. This would mean that disorder would decrease with time. You would see broken cups gathering themselves together and jumping back onto the table. However, any human beings who were observing the cups would be living in a universe in which disorder decreased with time. I shall argue that such beings would have a psychological arrow of time that was backward. That is, they would remember events in the future, and not remember events in their past. When the cup was broken, they would remember it being on the table, but when it was on the table, they would not remember it being on the floor.
+  It is rather difficult to talk about human memory because we don't know how the brain works in detail. We do, however, know all about how computer memories work. I shall therefore discuss the psychological arrow of time for computers. I think it is reasonable to assume that the arrow for computers is the same as that for humans. If it were not, one could make a killing on the stock exchange by having a computer that would remember tomorrow's prices! A computer memory is basically a device containing elements that can exist in either of two states. A simple example is an abacus. In its simplest form, this consists of a number of wires; on each wire there are a number of beads that can be put in one of two positions. Before an item is recorded in a computer's memory, the memory is in a disordered state, with equal probabilities for the two possible states. (The abacus beads are scattered randomly on the wires of the abacus.) After the memory interacts with the system to be remembered, it will definitely be in one state or the other, according to the state of the system. (Each abacus bead will be at either the left or the right of the abacus wire.) So the memory has passed from a disordered state to an ordered one. However, in order to make sure that the memory is in the right state, it is necessary to use a certain amount of energy (to move the bead or to power the computer, for example). This energy is dissipated as heat, and increases the amount of disorder in the universe. One can show that this increase in disorder is always greater than the increase in the order of the memory itself. Thus the heat expelled by the computer's cooling fan means that when a computer records an item in memory, the total amount of disorder in the universe still goes up. The direction of time in which a computer remembers the past is the same as that in which disorder increases.
+  Our subjective sense of the direction of time, the psychological arrow of time, is therefore determined within our brain by the thermodynamic arrow of time. Just like a computer, we must remember things in the order in which entropy increases. This makes the second law of thermodynamics almost trivial. Disorder increases with time because we measure time in the direction in which disorder increases. You can't have a safer bet than that!
+  But why should the thermodynamic arrow of time exist at all? Or, in other words, why should the universe be in a state of high order at one end of time, the end that we call the past? Why is it not in a state of complete disorder at all times? After all, this might seem more probable. And why is the direction of time in which disorder increases the same as that in which the universe expands?
+  In the classical theory of general relativity one cannot predict how the universe would have begun because all the known laws of science would have broken down at the big bang singularity. The universe could have started out in a very smooth and ordered state. This would have led to well-defined thermodynamic and cosmological arrows of time, as we observe. But it could equally well have started out in a very lumpy and disordered state. In that case, the universe would already be in a state of complete disorder, so disorder could not increase with time. It would either stay constant, in which case there would be no well-defined thermodynamic arrow of time, or it would decrease, in which case the thermodynamic arrow of time would point in the opposite direction to the cosmological arrow. Neither of these possibilities agrees with what we observe. However, as we have seen, classical general relativity predicts its own downfall. When the curvature of space-time becomes large, quantum gravitational effects will become important and the classical theory will cease to be a good description of the universe. One has to use a quantum theory of gravity to understand how the universe began.
+  In a quantum theory of gravity, as we saw in the last chapter, in order to specify the state of the universe one would still have to say how the possible histories of the universe would behave at the boundary of space-time in the past. One could avoid this difficulty of having to describe what we do not and cannot know only if the histories satisfy the no boundary condition: they are finite in extent but have no boundaries, edges, or singularities. In that case, the beginning of time would be a regular, smooth point of space-time and the universe would have begun its expansion in a very smooth and ordered state. It could not have been completely uniform, because that would violate the uncertainty principle of quantum theory. There had to be small fluctuations in the density and velocities of particles. The no boundary condition, however, implied that these fluctuations were as small as they could be, consistent with the uncertainty principle.
+  The universe would have started off with a period of exponential or "inflationary" expansion in which it would have increased its size by a very large factor. During this expansion, the density fluctuations would have remained small at first, but later would have started to grow. Regions in which the density was slightly higher than average would have had their expansion slowed down by the gravitational attraction of the extra mass. Eventually, such regions would stop expanding and collapse to form galaxies, stars, and beings like us. The universe would have started in a smooth and ordered state, and would become lumpy and disordered as time went on. This would explain the existence of the thermodynamic arrow of time.
+  But what would happen if and when the universe stopped expanding and began to contract? Would the thermodynamic arrow reverse and disorder begin to decrease with time? This would lead to all sorts of science-fiction-like possibilities for people who survived from the expanding to the contracting phase. Would they see broken cups gathering themselves together off the floor and jumping back onto the table? Would they be able to remember tomorrow's prices and make a fortune on the stock market? It might seem a bit academic to worry about what will happen when the universe collapses again, as it will not start to contract for at least another ten thousand million years. But there is a quicker way to find out what will happen: jump into a black hole. The collapse of a star to form a black hole is rather like the later stages of the collapse of the whole universe. So if disorder were to decrease in the contracting phase of the universe, one might also expect it to decrease inside a black hole. So perhaps an astronaut who fell into a black hole would be able to make money at roulette by remembering where the ball went before he placed his bet. (Unfortunately, however, he would not have long to play before he was turned to spaghetti. Nor would he be able to let us know about the reversal of the thermodynamic arrow, or even bank his winnings, because he would be trapped behind the event horizon of the black hole.)
+  At first, I believed that disorder would decrease when the universe recollapsed. This was because I thought that the universe had to return to a smooth and ordered state when it became small again. This would mean that the contracting phase would be like the time reverse of the expanding phase. People in the contracting phase would live their lives backward: they would die before they were born and get younger as the universe contracted.
+  This idea is attractive because it would mean a nice symmetry between the expanding and contracting phases. However, one cannot adopt it on its own, independent of other ideas about the universe. The question is: is it implied by the no boundary condition, or is it inconsistent with that condition? As I said, I thought at first that the no boundary condition did indeed imply that disorder would decrease in the contracting phase. I was misled partly by the analogy with the surface of the earth. If one took the beginning of the universe to correspond to the North Pole, then the end of the universe should be similar to the beginning, just as the South Pole is similar to the North. However, the North and South Poles correspond to the beginning and end of the universe in imaginary time. The beginning and end in real time can be very different from each other. I was also misled by work I had done on a simple model of the universe in which the collapsing phase looked like the time reverse of the expanding phase. However, a colleague of mine, Don Page, of Penn State University, pointed out that the no boundary condition did not require the contracting phase necessarily to be the time reverse of the expanding phase. Further, one of my students, Raymond Laflamme, found that in a slightly more complicated model, the collapse of the universe was very different from the expansion. I realized that I had made a mistake: the no boundary condition implied that disorder would in fact continue to increase during the contraction. The thermodynamic and psychological arrows of time would not reverse when the universe begins to recontract, or inside black holes.
+  What should you do when you find you have made a mistake like that? Some people never admit that they are wrong and continue to find new, and often mutually inconsistent, arguments to support their case-as Eddington did in opposing black hole theory. Others claim to have never really supported the incorrect view in the first place or, if they did, it was only to show that it was inconsistent. It seems to me much better and less confusing if you admit in print that you were wrong. A good example of this was Einstein, who called the cosmological constant, which he introduced when he was trying to make a static model of the universe, the biggest mistake of his life.
+  To return to the arrow of time, there remains the question: why do we observe that the thermodynamic and cosmological arrows point in the same direction? Or in other words, why does disorder increase in the same direction of time as that in which the universe expands? If one believes that the universe will expand and then contract again, as the no boundary proposal seems to imply, this becomes a question of why we should be in the expanding phase rather than the contracting phase.
+  One can answer this on the basis of the weak anthropic principle. Conditions in the contracting phase would not be suitable for the existence of intelligent beings who could ask the question: why is disorder increasing in the same direction of time as that in which the universe is expanding? The inflation in the early stages of the universe, which the no boundary proposal predicts, means that the universe must be expanding at very close to the critical rate at which it would just avoid recollapse, and so will not recollapse for a very long time. By then all the stars will have burned out and the protons and neutrons in them will probably have decayed into light particles and radiation. The universe would be in a state of almost complete disorder. There would be no strong thermodynamic arrow of time. Disorder couldn't increase much because the universe would be in a state of almost complete disorder already. However, a strong thermodynamic arrow is necessary for intelligent life to operate. In order to survive, human beings have to consume food, which is an ordered form of energy, and convert it into heat, which is a disordered form of energy. Thus intelligent life could not exist in the contracting phase of the universe. This is the explanation of why we observe that the thermodynamic and cosmological arrows of time point in the same direction. It is not that the expansion of the universe causes disorder to increase. Rather, it is that the no boundary condition causes disorder to increase and the conditions to be suitable for intelligent life only in the expanding phase.
+  To summarize, the laws of science do not distinguish between the forward and backward directions of time. However, there are at least three arrows of time that do distinguish the past from the future. They are the thermodynamic arrow, the direction of time in which disorder increases; the psychological arrow, the direction of time in which we remember the past and not the future; and the cosmological arrow, the direction of time in which the universe expands rather than contracts. I have shown that the psychological arrow is essentially the same as the thermodynamic arrow, so that the two would always point in the same direction. The no boundary proposal for the universe predicts the existence of a well-defined thermodynamic arrow of time because the universe must start off in a smooth and ordered state. And the reason we observe this thermodynamic arrow to agree with the cosmological arrow is that intelligent beings can exist only in the expanding phase. The contracting phase will be unsuitable because it has no strong thermodynamic arrow of time.
+  The progress of the human race in understanding the universe has established a small corner of order in an increasingly disordered universe. If you remember every word in this book, your memory will have recorded about two million pieces of information: the order in your brain will have increased by about two million units. However, while you have been reading the book, you will have converted at least a thousand calories of ordered energy, in the form of food, into disordered energy, in the form of heat that you lose to the air around you by convection and sweat. This will increase the disorder of the universe by about twenty million million million million units-or about ten million million million times the increase in order in your brain-and that's if you remember everything in this book. In the next chapter but one I will try to increase the order in our neck of the woods a little further by explaining how people are trying to fit together the partial theories I have described to form a complete unified theory that would cover everything in the universe.
+CHAPTER 10
+WORMHOLES AND
+TIME TRAVEL
+T
+he last chapter discussed why we see time go forward: why disorder increases and why we remember the past but not the future. Time was treated as if it were a straight railway line on which one could only go one way or the other.
+  But what if the railway line had loops and branches so that a train could keep going forward but come back to a station it had already passed? In other words, might it be possible for someone to travel into the future or the past?
+  H. G. Wells in The Time Machine explored these possibilities as have countless other writers of science fiction. Yet many of the ideas of science fiction, like submarines and travel to the moon, have become matters of science fact. So what are the prospects for time travel?
+  The first indication that the laws of physics might really allow people to travel in time came in 1949 when Kurt Gödel discovered a new space-time allowed by general relativity. Gödel was a mathematician who was famous for proving that it is impossible to prove all true statements, even if you limit yourself to trying to prove all the true statements in a subject as apparently cut and dried as arithmetic. Like the uncertainty principle, Gödel's incompleteness theorem may be a fundamental limitation on our ability to understand and predict the universe, but so far at least it hasn't seemed to be an obstacle in our search for a complete unified theory.
+  Gödel got to know about general relativity when he and Einstein spent their later years at the Institute for Advanced Study in Princeton. His space-time had the curious property that the whole universe was rotating. One might ask: "Rotating with respect to what?" The answer is that distant matter would be rotating with respect to directions that little tops or gyroscopes point in.
+  This had the side effect that it would be possible for someone to go off in a rocket ship and return to earth before he set out. This property really upset Einstein, who had thought that general relativity wouldn't allow time travel. However, given Einstein's record of ill-founded opposition to gravitational collapse and the uncertainty principle, maybe this was an encouraging sign. The solution Gödel found doesn't correspond to the universe we live in because we can show that the universe is not rotating. It also had a non-zero value of the cosmological constant that Einstein introduced when he thought the universe was unchanging. After Hubble discovered the expansion of the universe, there was no need for a cosmological constant and it is now generally believed to be zero. However, other more reasonable space-times that are allowed by general relativity and which permit travel into the past have since been found. One is in the interior of a rotating black hole. Another is a space-time that contains two cosmic strings moving past each other at high speed. As their name suggests, cosmic strings are objects that are like string in that they have length but a tiny cross section. Actually, they are more like rubber bands because they are under enormous tension, something like a million million million million tons. A cosmic string attached to the earth could accelerate it from 0 to 60 mph in 1/30th of a second. Cosmic strings may sound like pure science fiction but there are reasons to believe they could have formed in the early universe as a result of symmetry-breaking of the kind discussed in Chapter 5. Because they would be under enormous tension and could start in any configuration, they might accelerate to very high speeds when they straighten out.
+  The Gödel solution and the cosmic string space-time start out so distorted that travel into the past was always possible. God might have created such a warped universe but we have no reason to believe he did. Observations of the microwave background and of the abundances of the light elements indicate that the early universe did not have the kind of curvature required to allow time travel. The same conclusion follows on theoretical grounds if the no boundary proposal is correct. So the question is: if the universe starts out without the kind of curvature required for time travel, can we subsequently warp local regions of space-time sufficiently to allow it?
+  A closely related problem that is also of concern to writers of science fiction is rapid interstellar or intergalactic travel. According to relativity, nothing can travel faster than light. If we therefore sent a spaceship to our nearest neighboring star, Alpha Centauri, which is about four light-years away, it would take at least eight years before we could expect the travelers to return and tell us what they had found. If the expedition were to the center of our galaxy, it would be at least a hundred thousand years before it came back. The theory of relativity does allow one consolation. This is the so-called twins paradox mentioned in Chapter 2.
+  Because there is no unique standard of time, but rather observers each have their own time as measured by clocks that they carry with them, it is possible for the journey to seem to be much shorter for the space travelers than for those who remain on earth. But there would not be much joy in returning from a space voyage a few years older to find that everyone you had left behind was dead and gone thousands of years ago. So in order to have any human interest in their stories, science fiction writers had to suppose that we would one day discover how to travel faster than light. What most of these authors don't seem to have realized is that if you can travel faster than light, the theory of relativity implies you can also travel back in time, as the following limerick says:
+There was a young lady of Wight
+Who travelled much faster than light.
+She departed one day,
+In a relative way,
+And arrived on the previous night.
+  The point is that the theory of relativity says that there is no unique measure of time that all observers will agree on. Rather, each observer has his or her own measure of time. If it is possible for a rocket traveling below the speed of light to get from event A (say, the final of the 100-meter race of the Olympic Games in 2012) to event B (say, the opening of the 100,004th meeting of the Congress of Alpha Centauri), then all observers will agree that event A happened before event B according to their times. Suppose, however, that the spaceship would have to travel faster than light to carry the news of the race to the Congress. Then observers moving at different speeds can disagree about whether event A occurred before B or vice versa. According to the time of an observer who is at rest with respect to the earth, it may be that the Congress opened after the race. Thus this observer would think that a spaceship could get from A to B in time if only it could ignore the speed-of-light speed limit. However, to an observer at Alpha Centauri moving away from the earth at nearly the speed of light, it would appear that event B, the opening of the Congress, would occur before event A, the 100-meter race. The theory of relativity says that the laws of physics appear the same to observers moving at different speeds.
+  This has been well tested by experiment and is likely to remain a feature even if we find a more advanced theory to replace relativity. Thus the moving observer would say that if faster-than-light travel is possible, it should be possible to get from event B, the opening of the Congress, to event A, the 100-meter race. If one went slightly faster, one could even get back before the race and place a bet on it in the sure knowledge that one would win.
+  There is a problem with breaking the speed-of-light barrier. The theory of relativity says that the rocket power needed to accelerate a spaceship gets greater and greater the nearer it gets to the speed of light. We have experimental evidence for this, not with spaceships but with elementary particles in particle accelerators like those at Fermilab or CERN (European Centre for Nuclear Research). We can accelerate particles to 99.99 percent of the speed of light, but however much power we feed in, we can't get them beyond the speed-of-light barrier. Similarly with spaceships: no matter how much rocket power they have, they can't accelerate beyond the speed of light.
+  That might seem to rule out both rapid space travel and travel back in time. However, there is a possible way out. It might be that one could warp space-time so that there was a shortcut between A and B. One way of doing this would be to create a wormhole between A and B. As its name suggests, a wormhole is a thin tube of space-time which can connect two nearly flat regions far apart.
+  There need be no relation between the distance through the wormhole and the separation of its ends in the nearly flat background. Thus one could imagine that one could create or find a wormhole that would lead from the vicinity of the Solar System to Alpha Centauri. The distance through the wormhole might be only a few million miles even though earth and Alpha Centauri are twenty million million miles apart in ordinary space. This would allow news of the 100-meter race to reach the opening of the Congress. But then an observer moving toward the earth should also be able to find another wormhole that would enable him to get from the opening of the Congress on Alpha Centauri back to earth before the start of the race. So wormholes, like any other possible form of travel faster than light, would allow one to travel into the past.
+  The idea of wormholes between different regions of space-time was not an invention of science fiction writers but came from a very respectable source.
+  In 1935, Einstein and Nathan Rosen wrote a paper in which they showed that general relativity allowed what they called "bridges," but which are now known as wormholes. The Einstein-Rosen bridges didn't last long enough for a spaceship to get through: the ship would run into a singularity as the wormhole pinched off. However, it has been suggested that it might be possible for an advanced civilization to keep a wormhole open. To do this, or to warp space-time in any other way so as to permit time travel, one can show that one needs a region of space-time with negative curvature, like the surface of a saddle. Ordinary matter, which has a positive energy density, gives space-time a positive curvature, like the surface of a sphere. So what one needs, in order to warp space-time in a way that will allow travel into the past, is matter with negative energy density.
+  Energy is a bit like money: if you have a positive balance, you can distribute it in various ways, but according to the classical laws that were believed at the beginning of the century, you weren't allowed to be overdrawn. So these classical laws would have ruled out any possibility of time travel. However, as has been described in earlier chapters, the classical laws were superseded by quantum laws based on the uncertainty principle. The quantum laws are more liberal and allow you to be overdrawn on one or two accounts provided the total balance is positive. In other words, quantum theory allows the energy density to be negative in some places, provided that this is made up for by positive energy densities in other places, so that the total energy remains positive. An example of how quantum theory can allow negative energy densities is provided by what is called the Casimir effect. As we saw in Chapter 7, even what we think of as "empty" space is filled with pairs of virtual particles and antiparticles that appear together, move apart, and come back together and annihilate each other. Now, suppose one has two parallel metal plates a short distance apart. The plates will act like mirrors for the virtual photons or particles of light. In fact they will form a cavity between them, a bit like an organ pipe that will resonate only at certain notes. This means that virtual photons can occur in the space between the plates only if their wavelengths (the distance between the crest of one wave and the next) fit a whole number of times into the gap between the plates. If the width of a cavity is a whole number of wavelengths plus a fraction of a wavelength, then after some reflections backward and forward between the plates, the crests of one wave will coincide with the troughs of another and the waves will cancel out.
+  Because the virtual photons between the plates can have only the resonant wavelengths, there will be slightly fewer of them than in the region outside the plates where virtual photons can have any wavelength. Thus there will be slightly fewer virtual photons hitting the inside surfaces of the plates than the outside surfaces. One would therefore expect a force on the plates, pushing them toward each other. This force has actually been detected and has the predicted value. Thus we have experimental evidence that virtual particles exist and have real effects.
+  The fact that there are fewer virtual photons between the plates means that their energy density will be less than elsewhere. But the total energy density in "empty" space far away from the plates must be zero, because otherwise the energy density would warp the space and it would not be almost flat. So, if the energy density between the plates is less than the energy density far away, it must be negative.
+  We thus have experimental evidence both that space-time can be warped (from the bending of light during eclipses) and that it can be curved in the way necessary to allow time travel (from the Casimir effect). One might hope therefore that as we advance in science and technology, we would eventually manage to build a time machine. But if so, why hasn't anyone come back from the future and told us how to do it? There might be good reasons why it would be unwise to give us the secret of time travel at our present primitive state of development, but unless human nature changes radically, it is difficult to believe that some visitor from the future wouldn't spill the beans. Of course, some people would claim that sightings of UFOs are evidence that we are being visited either by aliens or by people from the future. (If the aliens were to get here in reasonable time, they would need faster-than-light travel, so the two possibilities may be equivalent.)
+  However, I think that any visit by aliens or people from the future would be much more obvious and, probably, much more unpleasant. If they are going to reveal themselves at all, why do so only to those who are not regarded as reliable witnesses? If they are trying to warn us of some great danger, they are not being very effective.
+  A possible way to explain the absence of visitors from the future would be to say that the past is fixed because we have observed it and seen that it does not have the kind of warping needed to allow travel back from the future. On the other hand, the future is unknown and open, so it might well have the curvature required. This would mean that any time travel would be confined to the future. There would be no chance of Captain Kirk and the Starship Enterprise turning up at the present time.
+  This might explain why we have not yet been overrun by tourists from the future, but it would not avoid the problems that would arise if one were able to go back and change history. Suppose, for example, you went back and killed your great-great-grandfather while he was still a child. There are many versions of this paradox but they are essentially equivalent: one would get contradictions if one were free to change the past.
+  There seem to be two possible resolutions to the paradoxes posed by time travel. One I shall call the consistent histories approach. It says that even if space-time is warped so that it would be possible to travel into the past, what happens in space-time must be a consistent solution of the laws of physics. According to this viewpoint, you could not go back in time unless history showed that you had already arrived in the past and, while there, had not killed your great-great-grandfather or committed any other acts that would conflict with your current situation in the present. Moreover, when you did go back, you wouldn't be able to change recorded history. That means you wouldn't have free will to do what you wanted. Of course, one could say that free will is an illusion anyway. If there really is a complete unified theory that governs everything, it presumably also determines your actions. But it does so in a way that is impossible to calculate for an organism that is as complicated as a human being. The reason we say that humans have free will is because we can't predict what they will do. However, if the human then goes off in a rocket ship and comes back before he or she set off, we will be able to predict what he or she will do because it will be part of recorded history. Thus, in that situation, the time traveler would have no free will.
+  The other possible way to resolve the paradoxes of time travel might be called the alternative histories hypothesis. The idea here is that when time travelers go back to the past, they enter alternative histories which differ from recorded history. Thus they can act freely, without the constraint of consistency with their previous history. Steven Spielberg had fun with this notion in the Back to the Future films: Marty McFly was able to go back and change his parents' courtship to a more satisfactory history.
+  The alternative histories hypothesis sounds rather like Richard Feynman's way of expressing quantum theory as a sum over histories, which was described in Chapters 4 and 8. This said that the universe didn't just have a single history: rather it had every possible history, each with its own probability. However, there seems to be an important difference between Feynman's proposal and alternative histories. In Feynman's sum, each history comprises a complete space-time and everything in it. The space-time may be so warped that it is possible to travel in a rocket into the past. But the rocket would remain in the same space-time and therefore the same history, which would have to be consistent. Thus Feynman's sum over histories proposal seems to support the consistent histories hypothesis rather than the alternative histories.
+  The Feynman sum over histories does allow travel into the past on a microscopic scale. In Chapter 9 we saw that the laws of science are unchanged by combinations of the operations C, P, and T. This means that an antiparticle spinning in the anticlockwise direction and moving from A to B can also be viewed as an ordinary particle spinning clockwise and moving backward in time from B to A. Similarly, an ordinary particle moving forward in time is equivalent to an antiparticle moving backward in time. As has been discussed in this chapter and Chapter 7, "empty" space is filled with pairs of virtual particles and antiparticles that appear together, move apart, and then come back together and annihilate each other.
+  So, one can regard the pair of particles as a single particle moving on a closed loop in space-time. When the pair is moving forward in time (from the event at which it appears to that at which it annihilates), it is called a particle. But when the particle is traveling back in time (from the event at which the pair annihilates to that at which it appears), it is said to be an antiparticle traveling forward in time.
+  The explanation of how black holes can emit particles and radiation (given in Chapter 7) was that one member of a virtual particle/antiparticle pair (say, the antiparticle) might fall into the black hole, leaving the other member without a partner with which to annihilate. The forsaken particle might fall into the hole as well, but it might also escape from the vicinity of the black hole. If so, to an observer at a distance it would appear to be a particle emitted by the black hole.
+  One can, however, have a different but equivalent intuitive picture of the mechanism for emission from black holes. One can regard the member of the virtual pair that fell into the black hole (say, the antiparticle) as a particle traveling backward in time out of the hole. When it gets to the point at which the virtual particle/antiparticle pair appeared together, it is scattered by the gravitational field into a particle traveling forward in time and escaping from the black hole. If, instead, it were the particle member of the virtual pair that fell into the hole, one could regard it as an antiparticle traveling back in time and coming out of the black hole. Thus the radiation by black holes shows that quantum theory allows travel back in time on a microscopic scale and that such time travel can produce observable effects.
+  One can therefore ask: does quantum theory allow time travel on a macroscopic scale, which people could use? At first sight, it seems it should. The Feynman sum over histories proposal is supposed to be over all histories. Thus it should include histories in which space-time is so warped that it is possible to travel into the past. Why then aren't we in trouble with history? Suppose, for example, someone had gone back and given the Nazis the secret of the atom bomb?
+  One would avoid these problems if what I call the chronology protection conjecture holds. This says that the laws of physics conspire to prevent macroscopic bodies from carrying information into the past. Like the cosmic censorship conjecture, it has not been proved but there are reasons to believe it is true.
+  The reason to believe that chronology protection operates is that when space-time is warped enough to make travel into the past possible, virtual particles moving on closed loops in space-time can become real particles traveling forward in time at or below the speed of light. As these particles can go round the loop any number of times, they pass each point on their route many times. Thus their energy is counted over and over again and the energy density will become very large. This could give space-time a positive curvature that would not allow travel into the past. It is not yet clear whether these particles would cause positive or negative curvature or whether the curvature produced by some kinds of virtual particles might cancel that produced by other kinds. Thus the possibility of time travel remains open. But I'm not going to bet on it. My opponent might have the unfair advantage of knowing the future.
+CHAPTER 11
+THE UNIFICATION
+OF PHYSICS
+A
+s was explained in the first chapter, it would be very difficult to construct a complete unified theory of everything in the universe all at one go. So instead we have made progress by finding partial theories that describe a limited range of happenings and by neglecting other effects or approximating them by certain numbers. (Chemistry, for example, allows us to calculate the interactions of atoms, without knowing the internal structure of an atom's nucleus.) Ultimately, however, one would hope to find a complete, consistent, unified theory that would include all these partial theories as approximations, and that did not need to be adjusted to fit the facts by picking the values of certain arbitrary numbers in the theory. The quest for such a theory is known as "the unification of physics." Einstein spent most of his later years unsuccessfully searching for a unified theory, but the time was not ripe: there were partial theories for gravity and the electromagnetic force, but very little was known about the nuclear forces. Moreover, Einstein refused to believe in the reality of quantum mechanics, despite the important role he had played in its development. Yet it seems that the uncertainty principle is a fundamental feature of the universe we live in. A successful unified theory must, therefore, necessarily incorporate this principle.
+  As I shall describe, the prospects for finding such a theory seem to be much better now because we know so much more about the universe. But we must beware of overconfidence-we have had false dawns before! At the beginning of this century, for example, it was thought that everything could be explained in terms of the properties of continuous matter, such as elasticity and heat conduction. The discovery of atomic structure and the uncertainty principle put an emphatic end to that. Then again, in 1928, physicist and Nobel Prize winner Max Born told a group of visitors to Göttingen University, "Physics, as we know it, will be over in six months." His confidence was based on the recent discovery by Dirac of the equation that governed the electron. It was thought that a similar equation would govern the proton, which was the only other particle known at the time, and that would be the end of theoretical physics. However, the discovery of the neutron and of nuclear forces knocked that one on the head too. Having said this, I still believe there are grounds for cautious optimism that we may now be near the end of the search for the ultimate laws of nature.
+  In previous chapters I have described general relativity, the partial theory of gravity, and the partial theories that govern the weak, the strong, and the electromagnetic forces. The last three may be combined in so-called grand unified theories, or GUTs, which are not very satisfactory because they do not include gravity and because they contain a number of quantities, like the relative masses of different particles, that cannot be predicted from the theory but have to be chosen to fit observations. The main difficulty in finding a theory that unifies gravity with the other forces is that general relativity is a "classical" theory; that is, it does not incorporate the uncertainty principle of quantum mechanics. On the other hand, the other partial theories depend on quantum mechanics in an essential way. A necessary first step, therefore, is to combine general relativity with the uncertainty principle. As we have seen, this can produce some remarkable consequences, such as black holes not being black, and the universe not having any singularities but being completely self-contained and without a boundary. The trouble is, as explained in Chapter 7, that the uncertainty principle means that even "empty" space is filled with pairs of virtual particles and antiparticles. These pairs would have an infinite amount of energy and, therefore, by Einstein's famous equation E = mc2, they would have an infinite amount of mass. Their gravitational attraction would thus curve up the universe to infinitely small size.
+  Rather similar, seemingly absurd infinities occur in the other partial theories, but in all these cases the infinities can be canceled out by a process called renormalization. This involves canceling the infinities by introducing other infinities. Although this technique is rather dubious mathematically, it does seem to work in practice, and has been used with these theories to make predictions that agree with observations to an extraordinary degree of accuracy. Renormalization, however, does have a serious drawback from the point of view of trying to find a complete theory, because it means that the actual values of the masses and the strengths of the forces cannot be predicted from the theory, but have to be chosen to fit the observations.
+  In attempting to incorporate the uncertainty principle into general relativity, one has only two quantities that can be adjusted: the strength of gravity and the value of the cosmological constant. But adjusting these is not sufficient to remove all the infinities. One therefore has a theory that seems to predict that certain quantities, such as the curvature of space-time, are really infinite, yet these quantities can be observed and measured to be perfectly finite! This problem in combining general relativity and the uncertainty principle had been suspected for some time, but was finally confirmed by detailed calculations in 1972. Four years later, a possible solution, called "supergravity," was suggested. The idea was to combine the spin-2 particle called the graviton, which carries the gravitational force, with certain other particles of spin 3/2, 1, 1/2, and 0. In a sense, all these particles could then be regarded as different aspects of the same "superparticle," thus unifying the matter particles with spin 1/2 and 3/2 with the force-carrying particles of spin 0, 1, and 2. The virtual particle/antiparticle pairs of spin 1/2 and 3/2 would have negative energy, and so would tend to cancel out the positive energy of the spin 2, 1, and 0 virtual pairs. This would cause many of the possible infinities to cancel out, but it was suspected that some infinities might still remain. However, the calculations required to find out whether or not there were any infinities left uncanceled were so long and difficult that no one was prepared to undertake them. Even with a computer it was reckoned it would take at least four years, and the chances were very high that one would make at least one mistake, probably more. So one would know one had the right answer only if someone else repeated the calculation and got the same answer, and that did not seem very likely!
+  Despite these problems, and the fact that the particles in the supergravity theories did not seem to match the observed particles, most scientists believed that supergravity was probably the right answer to the problem of the unification of physics. It seemed the best way of unifying gravity with the other forces. However, in 1984 there was a remarkable change of opinion in favor of what are called string theories. In these theories the basic objects are not particles, which occupy a single point of space, but things that have a length but no other dimension, like an infinitely thin piece of string. These strings may have ends (the so-called open strings) or they may be joined up with themselves in closed loops (closed strings) (Fig. 11.1 and Fig. 11.2). A particle occupies one point of space at each instant of time. Thus its history can be represented by a line in space-time (the "world-line"). A string, on the other hand, occupies a line in space at each moment of time. So its history in space-time is a two-dimensional surface called the world-sheet. (Any point on such a world-sheet can be described by two numbers, one specifying the time and the other the position of the point on the string.) The world-sheet of an open string is a strip: its edges represent the paths through space-time of the ends of the string (Fig. 11.1). The world-sheet of a closed string is a cylinder or tube (Fig. 11.2): a slice through the tube is a circle, which represents the position of the string at one particular time.
+  Two pieces of string can join together to form a single string; in the case of open strings they simply join at the ends (Fig. 11.3), while in the case of closed strings it is like the two legs joining on a pair of trousers (Fig. 11.4). Similarly, a single piece of string can divide into two strings. In string theories, what were previously thought of as particles are now pictured as waves traveling down the string, like waves on a vibrating kite string. The emission or absorption of one particle by another corresponds to the dividing or joining together of strings. For example, the gravitational force of the sun on the earth was pictured in particle theories as being caused by the emission of a graviton by a particle in the sun and its absorption by a particle in the earth (Fig. 11.5). In string theory, this process corresponds to an H-shaped tube or pipe (Fig. 11.6) (string theory is rather like plumbing, in a way). The two vertical sides of the H correspond to the particles in the sun and the earth, and the horizontal crossbar corresponds to the graviton that travels between them.
+
+FIGURE 11.1 AND FIGURE 11.2
+
+FIGURE 11.3
+  String theory has a curious history. It was originally invented in the late 1960s in an attempt to find a theory to describe the strong force. The idea was that particles like the proton and the neutron could be regarded as waves on a string. The strong forces between the particles would correspond to pieces of string that went between other bits of string, as in a spiders web. For this theory to give the observed value of the strong force between particles, the strings had to be like rubber bands with a pull of about ten tons.
+
+FIGURE 11.4
+  In 1974 Joël Scherk from Paris and John Schwarz from the California Institute of Technology published a paper in which they showed that string theory could describe the gravitational force, but only if the tension in the string were very much higher, about a thousand million million million million million million tons (1 with thirty-nine zeros after it). The predictions of the string theory would be just the same as those of general relativity on normal length scales, but they would differ at very small distances, less than a thousand million million million million millionth of a centimeter (a centimeter divided by 1 with thirty-three zeros after it). Their work did not receive much attention, however, because at just about that time most people abandoned the original string theory of the strong force in favor of the theory based on quarks and gluons, which seemed to fit much better with observations. Scherk died in tragic circumstances (he suffered from diabetes and went into a coma when no one was around to give him an injection of insulin). So Schwarz was left alone as almost the only supporter of string theory, but now with the much higher proposed value of the string tension.
+
+FIGURE 11.5 AND FIGURE 11.6
+  In 1984 interest in strings suddenly revived, apparently for two reasons. One was that people were not really making much progress toward showing that supergravity was finite or that it could explain the kinds of particles that we observe. The other was the publication of a paper by John Schwarz and Mike Green of Queen Mary College, London, that showed that string theory might be able to explain the existence of particles that have a built-in left-handedness, like some of the particles that we observe. Whatever the reasons, a large number of people soon began to work on string theory and a new version was developed, the so-called heterotic string, which seemed as if it might be able to explain the types of particles that we observe.
+  String theories also lead to infinities, but it is thought they will all cancel out in versions like the heterotic string (though this is not yet known for certain). String theories, however, have a bigger problem: they seem to be consistent only if space-time has either ten or twenty-six dimensions, instead of the usual four! Of course, extra space-time dimensions are a commonplace of science fiction indeed, they provide an ideal way of overcoming the normal restriction of general relativity that one cannot travel faster than light or back in time (see Chapter 10). The idea is to take a shortcut through the extra dimensions. One can picture this in the following way. Imagine that the space we live in has only two dimensions and is curved like the surface of an anchor ring or torus (Fig. 11.7). If you were on one side of the inside edge of the ring and you wanted to get to a point on the other side, you would have to go round the inner edge of the ring. However, if you were able to travel in the third dimension, you could cut straight across.
+
+FIGURE 11.7
+  Why don't we notice all these extra dimensions, if they are really there? Why do we see only three space dimensions and one time dimension? The suggestion is that the other dimensions are curved up into a space of very small size, something like a million million million million millionth of an inch. This is so small that we just don't notice it: we see only one time dimension and three space dimensions, in which space-time is fairly flat. It is like the surface of a straw. If you look at it closely, you see it is two-dimensional (the position of a point on the straw is described by two numbers, the length along the straw and the distance round the circular direction). But if you look at it from a distance, you don't see the thickness of the straw and it looks one-dimensional (the position of a point is specified only by the length along the straw). So it is with space-time: on a very small scale it is ten-dimensional and highly curved, but on bigger scales you don't see the curvature or the extra dimensions. If this picture is correct, it spells bad news for would-be space travelers: the extra dimensions would be far too small to allow a spaceship through. However, it raises another major problem. Why should some, but not all, of the dimensions be curled up into a small ball? Presumably, in the very early universe all the dimensions would have been very curved. Why did one time dimension and three space dimensions flatten out, while the other dimensions remain tightly curled up?
+  One possible answer is the anthropic principle. Two space dimensions do not seem to be enough to allow for the development of complicated beings like us. For example, two-dimensional animals living on a one-dimensional earth would have to climb over each other in order to get past each other. If a two-dimensional creature ate something it could not digest completely, it would have to bring up the remains the same way it swallowed them, because if there were a passage right through its body, it would divide the creature into two separate halves: our two-dimensional being would fall apart (Fig. 11.8). Similarly, it is difficult to see how there could be any circulation of the blood in a two-dimensional creature.
+  There would also be problems with more than three space dimensions. The gravitational force between two bodies would decrease more rapidly with distance than it does in three dimensions. (In three dimensions, the gravitational force drops to 1/4 if one doubles the distance. In four dimensions it would drop to ⅛, in five dimensions to 1/16, and so on.) The significance of this is that the orbits of planets, like the earth, around the sun would be unstable: the least disturbance from a circular orbit (such as would be caused by the gravitational attraction of other planets) would result in the earth spiraling away from or into the sun. We would either freeze or be burned up. In fact, the same behavior of gravity with distance in more than three space dimensions means that the sun would not be able to exist in a stable state with pressure balancing gravity. It would either fall apart or it would collapse to form a black hole. In either case, it would not be of much use as a source of heat and light for life on earth. On a smaller scale, the electrical forces that cause the electrons to orbit round the nucleus in an atom would behave in the same way as gravitational forces. Thus the electrons would either escape from the atom altogether or would spiral into the nucleus. In either case, one could not have atoms as we know them.
+
+FIGURE 11.8
+  It seems clear then that life, at least as we know it, can exist only in regions of space-time in which one time dimension and three space dimensions are not curled up small. This would mean that one could appeal to the weak anthropic principle, provided one could show that string theory does at least allow there to be such regions of the universe-and it seems that indeed string theory does. There may well be other regions of the universe, or other universes (whatever that may mean), in which all the dimensions are curled up small or in which more than four dimensions are nearly flat, but there would be no intelligent beings in such regions to observe the different number of effective dimensions.
+  Another problem is that there are at least four different string theories (open strings and three different closed string theories) and millions of ways in which the extra dimensions predicted by string theory could be curled up. Why should just one string theory and one kind of curling up be picked out? For a time there seemed no answer, and progress got bogged down. Then, from about 1994, people started discovering what are called dualities: different string theories and different ways of curling up the extra dimensions could lead to the same results in four dimensions. Moreover, as well as particles, which occupy a single point of space, and strings, which are lines, there were found to be other objects called p-branes, which occupied two-dimensional or higher-dimensional volumes in space. (A particle can be regarded as a 0-brane and a string as a 1-brane but there were also p-branes for p=2 to p=9.) What this seems to indicate is that there is a sort of democracy among supergravity, string, and p-brane theories: they seem to fit together but none can be said to be more fundamental than the others. They appear to be different approximations to some fundamental theory that are valid in different situations.
+  People have searched for this underlying theory, but without any success so far. However, I believe there may not be any single formulation of the fundamental theory any more than, as Gödel showed, one could formulate arithmetic in terms of a single set of axioms. Instead it may be like maps-you can't use a single map to describe the surface of the earth or an anchor ring: you need at least two maps in the case of the earth and four for the anchor ring to cover every point. Each map is valid only in a limited region, but different maps will have a region of overlap. The collection of maps provides a complete description of the surface. Similarly, in physics it may be necessary to use different formulations in different situations, but two different formulations would agree in situations where they can both be applied. The whole collection of different formulations could be regarded as a complete unified theory, though one that could not be expressed in terms of a single set of postulates.
+  But can there really be such a unified theory? Or are we perhaps just chasing a mirage? There seem to be three possibilities:
+1. There really is a complete unified theory (or a collection of overlapping formulations), which we will someday discover if we are smart enough.
+2. There is no ultimate theory of the universe, just an infinite sequence of theories that describe the universe more and more accurately.
+3. There is no theory of the universe: events cannot be predicted beyond a certain extent but occur in a random and arbitrary manner.
+  Some would argue for the third possibility on the grounds that if there were a complete set of laws, that would infringe God's freedom to change his mind and intervene in the world. It's a bit like the old paradox: can God make a stone so heavy that he can't lift it? But the idea that God might want to change his mind is an example of the fallacy, pointed out by St. Augustine, of imagining God as a being existing in time: time is a property only of the universe that God created. Presumably, he knew what he intended when he set it up!
+  With the advent of quantum mechanics, we have come to recognize that events cannot be predicted with complete accuracy but that there is always a degree of uncertainty. If one likes, one could ascribe this randomness to the intervention of God, but it would be a very strange kind of intervention: there is no evidence that it is directed toward any purpose. Indeed, if it were, it would by definition not be random. In modern times, we have effectively removed the third possibility above by redefining the goal of science: our aim is to formulate a set of laws that enables us to predict events only up to the limit set by the uncertainty principle.
+  The second possibility, that there is an infinite sequence of more and more refined theories, is in agreement with all our experience so far. On many occasions we have increased the sensitivity of our measurements or made a new class of observations, only to discover new phenomena that were not predicted by the existing theory, and to account for these we have had to develop a more advanced theory. It would therefore not be very surprising if the present generation of grand unified theories was wrong in claiming that nothing essentially new will happen between the electroweak unification energy of about 100 GeV and the grand unification energy of about a thousand million million GeV. We might indeed expect to find several new layers of structure more basic than the quarks and electrons that we now regard as "elementary" particles.
+  However, it seems that gravity may provide a limit to this sequence of "boxes within boxes." If one had a particle with an energy above what is called the Planck energy, ten million million million GeV (1 followed by nineteen zeros), its mass would be so concentrated that it would cut itself off from the rest of the universe and form a little black hole. Thus it does seem that the sequence of more and more refined theories should have some limit as we go to higher and higher energies, so that there should be some ultimate theory of the universe. Of course, the Planck energy is a very long way from the energies of around a hundred GeV, which are the most that we can produce in the laboratory at the present time. We shall not bridge that gap with particle accelerators in the foreseeable future! The very early stages of the universe, however, are an arena where such energies must have occurred. I think that there is a good chance that the study of the early universe and the requirements of mathematical consistency will lead us to a complete unified theory within the lifetime of some of us who are around today, always presuming we don't blow ourselves up first.
+  What would it mean if we actually did discover the ultimate theory of the universe? As was explained in Chapter 1, we could never be quite sure that we had indeed found the correct theory, since theories can't be proved. But if the theory was mathematically consistent and always gave predictions that agreed with observations, we could be reasonably confident that it was the right one. It would bring to an end a long and glorious chapter in the history of humanity's intellectual struggle to understand the universe. But it would also revolutionize the ordinary person's understanding of the laws that govern the universe. In Newton's time it was possible for an educated person to have a grasp of the whole of human knowledge, at least in outline. But since then, the pace of the development of science has made this impossible. Because theories are always being changed to account for new observations, they are never properly digested or simplified so that ordinary people can understand them. You have to be a specialist, and even then you can only hope to have a proper grasp of a small proportion of the scientific theories. Further, the rate of progress is so rapid that what one learns at school or university is always a bit out of date. Only a few people can keep up with the rapidly advancing frontier of knowledge, and they have to devote their whole time to it and specialize in a small area. The rest of the population has little idea of the advances that are being made or the excitement they are generating. Seventy years ago, if Eddington is to be believed, only two people understood the general theory of relativity. Nowadays tens of thousands of university graduates do, and many millions of people are at least familiar with the idea. If a complete unified theory was discovered, it would only be a matter of time before it was digested and simplified in the same way and taught in schools, at least in outline. We would then all be able to have some understanding of the laws that govern the universe and are responsible for our existence.
+  Even if we do discover a complete unified theory, it would not mean that we would be able to predict events in general, for two reasons. The first is the limitation that the uncertainty principle of quantum mechanics sets on our powers of prediction. There is nothing we can do to get around that. In practice, however, this first limitation is less restrictive than the second one. It arises from the fact that we could not solve the equations of the theory exactly, except in very simple situations. (We cannot even solve exactly for the motion of three bodies in Newton's theory of gravity, and the difficulty increases with the number of bodies and the complexity of the theory.) We already know the laws that govern the behavior of matter under all but the most extreme conditions. In particular, we know the basic laws that underlie all of chemistry and biology. Yet we have certainly not reduced these subjects to the status of solved problems: we have, as yet, had little success in predicting human behavior from mathematical equations! So even if we do find a complete set of basic laws, there will still be in the years ahead the intellectually challenging task of developing better approximation methods, so that we can make useful predictions of the probable outcomes in complicated and realistic situations. A complete, consistent, unified theory is only the first step: our goal is a complete understanding of the events around us, and of our own existence.
+CHAPTER 12
+CONCLUSION
+W
+e find ourselves in a bewildering world. We want to make sense of what we see around us and to ask: What is the nature of the universe? What is our place in it and where did it and we come from? Why is it the way it is?
+  To try to answer these questions we adopt some "world picture." Just as an infinite tower of tortoises supporting the flat earth is such a picture, so is the theory of superstrings. Both are theories of the universe, though the latter is much more mathematical and precise than the former. Both theories lack observational evidence: no one has ever seen a giant tortoise with the earth on its back, but then, no one has seen a superstring either. However, the tortoise theory fails to be a good scientific theory because it predicts that people should be able to fall off the edge of the world. This has not been found to agree with experience, unless that turns out to be the explanation for the people who are supposed to have disappeared in the Bermuda Triangle!
+  The earliest theoretical attempts to describe and explain the universe involved the idea that events and natural phenomena were controlled by spirits with human emotions who acted in a very humanlike and unpredictable manner. These spirits inhabited natural objects, like rivers and mountains, including celestial bodies, like the sun and moon. They had to be placated and their favor sought in order to ensure the fertility of the soil and the rotation of the seasons. Gradually, however, it must have been noticed that there were certain regularities: the sun always rose in the east and set in the west, whether or not a sacrifice had been made to the sun god. Further, the sun, the moon, and the planets followed precise paths across the sky that could be predicted in advance with considerable accuracy. The sun and the moon might still be gods, but they were gods who obeyed strict laws, apparently without any exceptions, if one discounts stories like that of the sun stopping for Joshua.
+  At first, these regularities and laws were obvious only in astronomy and a few other situations. However, as civilization developed, and particularly in the last 300 years, more and more regularities and laws were discovered. The success of these laws led Laplace at the beginning of the nineteenth century to postulate scientific determinism; that is, he suggested that there would be a set of laws that would determine the evolution of the universe precisely, given its configuration at one time.
+  Laplace's determinism was incomplete in two ways. It did not say how the laws should be chosen and it did not specify the initial configuration of the universe. These were left to God. God would choose how the universe began and what laws it obeyed, but he would not intervene in the universe once it had started. In effect, God was confined to the areas that nineteenth-century science did not understand.
+  We now know that Laplace's hopes of determinism cannot be realized, at least in the terms he had in mind. The uncertainty principle of quantum mechanics implies that certain pairs of quantities, such as the position and velocity of a particle, cannot both be predicted with complete accuracy. Quantum mechanics deals with this situation via a class of quantum theories in which particles don't have well-defined positions and velocities but are represented by a wave. These quantum theories are deterministic in the sense that they give laws for the evolution of the wave with time. Thus if one knows the wave at one time, one can calculate it at any other time. The unpredictable, random element comes in only when we try to interpret the wave in terms of the positions and velocities of particles. But maybe that is our mistake: maybe there are no particle positions and velocities, but only waves. It is just that we try to fit the waves to our preconceived ideas of positions and velocities. The resulting mismatch is the cause of the apparent unpredictability.
+  In effect, we have redefined the task of science to be the discovery of laws that will enable us to predict events up to the limits set by the uncertainty principle. The question remains, however: how or why were the laws and the initial state of the universe chosen?
+  In this book I have given special prominence to the laws that govern gravity, because it is gravity that shapes the large-scale structure of the universe, even though it is the weakest of the four categories of forces. The laws of gravity were incompatible with the view held until quite recently that the universe is unchanging in time: the fact that gravity is always attractive implies that the universe must be either expanding or contracting. According to the general theory of relativity, there must have been a state of infinite density in the past, the big bang, which would have been an effective beginning of time. Similarly, if the whole universe recollapsed, there must be another state of infinite density in the future, the big crunch, which would be an end of time. Even if the whole universe did not recollapse, there would be singularities in any localized regions that collapsed to form black holes. These singularities would be an end of time for anyone who fell into the black hole. At the big bang and other singularities, all the laws would have broken down, so God would still have had complete freedom to choose what happened and how the universe began.
+  When we combine quantum mechanics with general relativity, there seems to be a new possibility that did not arise before: that space and time together might form a finite, four-dimensional space without singularities or boundaries, like the surface of the earth but with more dimensions. It seems that this idea could explain many of the observed features of the universe, such as its large-scale uniformity and also the smaller-scale departures from homogeneity, like galaxies, stars, and even human beings. It could even account for the arrow of time that we observe. But if the universe is completely self-contained, with no singularities or boundaries, and completely described by a unified theory, that has profound implications for the role of God as Creator.
+  Einstein once asked the question: "How much choice did God have in constructing the universe?" If the no boundary proposal is correct, he had no freedom at all to choose initial conditions. He would, of course, still have had the freedom to choose the laws that the universe obeyed. This, however, may not really have been all that much of a choice; there may well be only one, or a small number, of complete unified theories, such as the heterotic string theory, that are self-consistent and allow the existence of structures as complicated as human beings who can investigate the laws of the universe and ask about the nature of God.
+  Even if there is only one possible unified theory, it is just a set of rules and equations. What is it that breathes fire into the equations and makes a universe for them to describe? The usual approach of science of constructing a mathematical model cannot answer the questions of why there should be a universe for the model to describe. Why does the universe go to all the bother of existing? Is the unified theory so compelling that it brings about its own existence? Or does it need a creator, and, if so, does he have any other effect on the universe? And who created him?
+  Up to now, most scientists have been too occupied with the development of new theories that describe what the universe is to ask the question why. On the other hand, the people whose business it is to ask why, the philosophers, have not been able to keep up with the advance of scientific theories. In the eighteenth century, philosophers considered the whole of human knowledge, including science, to be their field and discussed questions such as: did the universe have a beginning? However, in the nineteenth and twentieth centuries, science became too technical and mathematical for the philosophers, or anyone else except a few specialists. Philosophers reduced the scope of their inquiries so much that Wittgenstein, the most famous philosopher of this century, said, "The sole remaining task for philosophy is the analysis of language." What a comedown from the great tradition of philosophy from Aristotle to Kant!
+  However, if we do discover a complete theory, it should in time be understandable in broad principle by everyone, not just a few scientists. Then we shall all, philosophers, scientists, and just ordinary people, be able to take part in the discussion of the question of why it is that we and the universe exist. If we find the answer to that, it would be the ultimate triumph of human reason-for then we would know the mind of God.
+ALBERT EINSTEIN
+E
+instein's connection with the politics of the nuclear bomb is well known: he signed the famous letter to President Franklin Roosevelt that persuaded the United States to take the idea seriously, and he engaged in postwar efforts to prevent nuclear war. But these were not just the isolated actions of a scientist dragged into the world of politics. Einstein's life was, in fact, to use his own words, "divided between politics and equations."
+  Einstein's earliest political activity came during the First World War, when he was a professor in Berlin. Sickened by what he saw as the waste of human lives, he became involved in antiwar demonstrations. His advocacy of civil disobedience and public encouragement of people to refuse conscription did little to endear him to his colleagues. Then, following the war, he directed his efforts toward reconciliation and improving international relations. This too did not make him popular, and soon his politics were making it difficult for him to visit the United States, even to give lectures.
+  Einstein's second great cause was Zionism. Although he was Jewish by descent, Einstein rejected the biblical idea of God. However, a growing awareness of anti-Semitism, both before and during the First World War, led him gradually to identify with the Jewish community, and later to become an outspoken supporter of Zionism. Once more unpopularity did not stop him from speaking his mind. His theories came under attack; an anti-Einstein organization was even set up. One man was convicted of inciting others to murder Einstein (and fined a mere six dollars). But Einstein was phlegmatic. When a book was published entitled 100 Authors Against Einstein, he retorted, "If I were wrong, then one would have been enough!"
+  In 1933, Hitler came to power. Einstein was in America, and declared he would not return to Germany. Then, while Nazi militia raided his house and confiscated his bank account, a Berlin newspaper displayed the headline "Good News from Einstein-He's Not Coming Back." In the face of the Nazi threat, Einstein renounced pacifism, and eventually, fearing that German scientists would build a nuclear bomb, proposed that the United States should develop its own. But even before the first atomic bomb had been detonated, he was publicly warning of the dangers of nuclear war and proposing international control of nuclear weaponry.
+  Throughout his life, Einstein's efforts toward peace probably achieved little that would last-and certainly won him few friends. His vocal support of the Zionist cause, however, was duly recognized in 1952, when he was offered the presidency of Israel. He declined, saying he thought he was too naive in politics. But perhaps his real reason was different: to quote him again, "Equations are more important to me, because politics is for the present, but an equation is something for eternity."
+GALILEO GALILEI
+G
+alileo, perhaps more than any other single person, was responsible for the birth of modern science. His renowned conflict with the Catholic Church was central to his philosophy, for Galileo was one of the first to argue that man could hope to understand how the world works, and, moreover, that we could do this by observing the real world.
+  Galileo had believed Copernican theory (that the planets orbited the sun) since early on, but it was only when he found the evidence needed to support the idea that he started to publicly support it. He wrote about Copernicus's theory in Italian (not the usual academic Latin), and soon his views became widely supported outside the universities. This annoyed the Aristotelian professors, who united against him seeking to persuade the Catholic Church to ban Copernicanism.
+  Galileo, worried by this, traveled to Rome to speak to the ecclesiastical authorities. He argued that the Bible was not intended to tell us anything about scientific theories, and that it was usual to assume that, where the Bible conflicted with common sense, it was being allegorical. But the Church was afraid of a scandal that might undermine its fight against Protestantism, and so took repressive measures. It declared Copernicanism "false and erroneous" in 1616, and commanded Galileo never again to "defend or hold" the doctrine. Galileo acquiesced.
+  In 1623, a longtime friend of Galileo's became the Pope. Immediately Galileo tried to get the 1616 decree revoked. He failed, but he did manage to get permission to write a book discussing both Aristotelian and Copernican theories, on two conditions: he would not take sides and would come to the conclusion that man could in any case not determine how the world worked because God could bring about the same effects in ways unimagined by man, who could not place restrictions on God's omnipotence.
+  The book, Dialogue Concerning the Two Chief World Systems, was completed and published in 1632, with the full backing of the censors-and was immediately greeted throughout Europe as a literary and philosophical masterpiece. Soon the Pope, realizing that people were seeing the book as a convincing argument in favor of Copernicanism, regretted having allowed its publication. The Pope argued that although the book had the official blessing of the censors, Galileo had nevertheless contravened the 1616 decree. He brought Galileo before the Inquisition, who sentenced him to house arrest for life and commanded him to publicly renounce Copernicanism. For a second time, Galileo acquiesced.
+  Galileo remained a faithful Catholic, but his belief in the independence of science had not been crushed. Four years before his death in 1642, while he was still under house arrest, the manuscript of his second major book was smuggled to a publisher in Holland. It was this work, referred to as Two New Sciences, even more than his support for Copernicus, that was to be the genesis of modern physics.
+ISAAC NEWTON
+I
+saac Newton was not a pleasant man. His relations with other academics were notorious, with most of his later life spent embroiled in heated disputes. Following publication of Principia Mathematica-surely the most influential book ever written in physics-Newton had risen rapidly into public prominence. He was appointed president of the Royal Society and became the first scientist ever to be knighted.
+  Newton soon clashed with the Astronomer Royal, John Flamsteed, who had earlier provided Newton with much-needed data for Principia, but was now withholding information that Newton wanted. Newton would not take no for an answer: he had himself appointed to the governing body of the Royal Observatory and then tried to force immediate publication of the data. Eventually he arranged for Flamsteed's work to be seized and prepared for publication by Flamsteed's mortal enemy, Edmond Halley. But Flamsteed took the case to court and, in the nick of time, won a court order preventing distribution of the stolen work. Newton was incensed and sought his revenge by systematically deleting all references to Flamsteed in later editions of Principia.
+  A more serious dispute arose with the German philosopher Gottfried Leibniz. Both Leibniz and Newton had independently developed a branch of mathematics called calculus, which underlies most of modern physics. Although we now know that Newton discovered calculus years before Leibniz, he published his work much later. A major row ensued over who had been first, with scientists vigorously defending both contenders. It is remarkable, however, that most of the articles appearing in defense of Newton were originally written by his own hand-and only published in the name of friends! As the row grew, Leibniz made the mistake of appealing to the Royal Society to resolve the dispute. Newton, as president, appointed an "impartial" committee to investigate, coincidentally consisting entirely of Newton's friends! But that was not all: Newton then wrote the committee's report himself and had the Royal Society publish it, officially accusing Leibniz of plagiarism. Still unsatisfied, he then wrote an anonymous review of the report in the Royal Society's own periodical. Following the death of Leibniz, Newton is reported to have declared that he had taken great satisfaction in "breaking Leibniz's heart."
+  During the period of these two disputes, Newton had already left Cambridge and academe. He had been active in anti-Catholic politics at Cambridge, and later in Parliament, and was rewarded eventually with the lucrative post of Warden of the Royal Mint. Here he used his talents for deviousness and vitriol in a more socially acceptable way, successfully conducting a major campaign against counterfeiting, even sending several men to their death on the gallows.
+GLOSSARY
+Absolute zero: The lowest possible temperature, at which substances contain no heat energy.
+Acceleration: The rate at which the speed of an object is changing.
+Anthropic principle: We see the universe the way it is because if it were different we would not be here to observe it.
+Antiparticle: Each type of matter particle has a corresponding antiparticle. When a particle collides with its antiparticle, they annihilate, leaving only energy.
+Atom: The basic unit of ordinary matter, made up of a tiny nucleus (consisting of protons and neutrons) surrounded by orbiting electrons.
+Big bang: The singularity at the beginning of the universe.
+Big crunch: The singularity at the end of the universe.
+Black hole: A region of space-time from which nothing, not even light, can escape, because gravity is so strong.
+Casimir effect: The attractive pressure between two flat, parallel metal plates placed very near to each other in a vacuum. The pressure is due to a reduction in the usual number of virtual particles in the space between the plates.
+Chandrasekhar limit: The maximum possible mass of a stable cold star, above which it must collapse into a black hole.
+Conservation of energy: The law of science that states that energy (or its equivalent in mass) can neither be created nor destroyed.
+Coordinates: Numbers that specify the position of a point in space and time.
+Cosmological constant: A mathematical device used by Einstein to give space-time an inbuilt tendency to expand.
+Cosmology: The study of the universe as a whole.
+Dark matter: Matter in galaxies, clusters, and possibly between clusters, that can not be observed directly but can be detected by its gravitational effect. As much as 90 percent of the mass of the universe may be in the form of dark matter.
+Duality: A correspondence between apparently different theories that lead to the same physical results.
+Einstein-Rosen bridge: A thin tube of space-time linking two black holes. Also see Wormhole.
+Electric charge: A property of a particle by which it may repel (or attract) other particles that have a charge of similar (or opposite) sign.
+Electromagnetic force: The force that arises between particles with electric charge; the second strongest of the four fundamental forces.
+Electron: A particle with negative electric charge that orbits the nucleus of an atom.
+Electroweak unification energy: The energy (around 100 GeV) above which the distinction between the electromagnetic force and the weak force disappears.
+Elementary particle: A particle that, it is believed, cannot be subdivided.
+Event: A point in space-time, specified by its time and place.
+Event horizon: The boundary of a black hole.
+Exclusion principle: The idea that two identical spin-1/2 particles cannot have (within the limits set by the uncertainty principle) both the same position and the same velocity.
+Field: Something that exists throughout space and time, as opposed to a particle that exists at only one point at a time.
+Frequency: For a wave, the number of complete cycles per second.
+Gamma rays: Electromagnetic rays of very short wavelength, produced in radioactive decay or by collisions of elementary particles.
+General relativity: Einstein's theory based on the idea that the laws of science should be the same for all observers, no matter how they are moving. It explains the force of gravity in terms of the curvature of a four-dimensional space-time.
+Geodesic: The shortest (or longest) path between two points.
+Grand unification energy: The energy above which, it is believed, the electromagnetic force, weak force, and strong force become indistinguishable from each other.
+Grand unified theory (GUT): A theory which unifies the electromagnetic, strong, and weak forces.
+Imaginary time: Time measured using imaginary numbers.
+Light cone: A surface in space-time that marks out the possible directions for light rays passing through a given event.
+Light-second (light-year): The distance traveled by light in one second (year).
+Magnetic field: The field responsible for magnetic forces, now incorporated along with the electric field, into the electromagnetic field.
+Mass: The quantity of matter in a body; its inertia, or resistance to acceleration.
+Microwave background radiation: The radiation from the glowing of the hot early universe, now so greatly red-shifted that it appears not as light but as microwaves (radio waves with a wavelength of a few centimeters). Also see COBE, on this page.
+Naked singularity: A space-time singularity not surrounded by a black hole.
+Neutrino: An extremely light (possibly massless) particle that is affected only by the weak force and gravity.
+Neutron: An uncharged particle, very similar to the proton, which accounts for roughly half the particles in an atomic nucleus.
+Neutron star: A cold star, supported by the exclusion principle repulsion between neutrons.
+No boundary condition: The idea that the universe is finite but has no boundary (in imaginary time).
+Nuclear fusion: The process by which two nuclei collide and coalesce to form a single, heavier nucleus.
+Nucleus: The central part of an atom, consisting only of protons and neutrons, held together by the strong force.
+Particle accelerator: A machine that, using electromagnets, can accelerate moving charged particles, giving them more energy.
+Phase: For a wave, the position in its cycle at a specified time: a measure of whether it is at a crest, a trough, or somewhere in between.
+Photon: A quantum of light.
+Planck's quantum principle: The idea that light (or any other classical waves) can be emitted or absorbed only in discrete quanta, whose energy is proportional to their wavelength.
+Positron: The (positively charged) antiparticle of the electron.
+Primordial black hole: A black hole created in the very early universe.
+Proportional: 'X is proportional to Y' means that when Y is multiplied by any number, so is X. 'X is inversely proportional to Y' means that when Y is multiplied by any number, X is divided by that number.
+Proton: A positively charged particle, very similar to the neutron, that accounts for roughly half the particles in the nucleus of most atoms.
+Pulsar: A rotating neutron star that emits regular pulses of radio waves.
+Quantum: The indivisible unit in which waves may be emitted or absorbed.
+Quantum chromodynamics (QCD): The theory that describes the interactions of quarks and gluons.
+Quantum mechanics: The theory developed from Planck's quantum principle and Heisenberg's uncertainty principle.
+Quark: A (charged) elementary particle that feels the strong force. Protons and neutrons are each composed of three quarks.
+Radar: A system using pulsed radio waves to detect the position of objects by measuring the time it takes a single pulse to reach the object and be reflected back.
+Radioactivity: The spontaneous breakdown of one type of atomic nucleus into another.
+Red shift: The reddening of light from a star that is moving away from us, due to the Doppler effect.
+Singularity: A point in space-time at which the space-time curvature becomes infinite.
+Singularity theorem: A theorem that shows that a singularity must exist under certain circumstances-in particular, that the universe must have started with a singularity.
+Space-time: The four-dimensional space whose points are events.
+Spatial dimension: Any of the three dimensions that are spacelike-that is, any except the time dimension.
+Special relativity: Einstein's theory based on the idea that the laws of science should be the same for all observers, no matter how they are moving, in the absence of gravitational phenomena.
+Spectrum: The component frequencies that make up a wave. The visible part of the sun's spectrum can be seen in a rainbow.
+Spin: An internal property of elementary particles, related to, but not identical to, the everyday concept of spin.
+Stationary state: One that is not changing with time: a sphere spinning at a constant rate is stationary because it looks identical at any given instant.
+String theory: A theory of physics in which particles are described as waves on strings. Strings have length but no other dimension.
+Strong force: The strongest of the four fundamental forces, with the shortest range of all. It holds the quarks together within protons and neutrons, and holds the protons and neutrons together to form atoms.
+Uncertainty principle: The principle, formulated by Heisenberg, that one can never be exactly sure of both the position and the velocity of a particle; the more accurately one knows the one, the less accurately one can know the other.
+Virtual particle: In quantum mechanics, a particle that can never be directly detected, but whose existence does have measurable effects.
+Wave/particle duality: The concept in quantum mechanics that there is no distinction between waves and particles; particles may sometimes behave like waves, and waves like particles.
+Wavelength: For a wave, the distance between two adjacent troughs or two adjacent crests.
+Weak force: The second weakest of the four fundamental forces, with a very short range. It affects all matter particles, but not force-carrying particles.
+Weight: The force exerted on a body by a gravitational field. It is proportional to, but not the same as, its mass.
+White dwarf: A stable cold star, supported by the exclusion principle repulsion between electrons.
+Wormhole: A thin tube of space-time connecting distant regions of the universe. Wormholes might also link to parallel or baby universes and could provide the possibility of time travel.
+ACKNOWLEDGMENTS
+Many people have helped me in writing this book. My scientific colleagues have without exception been inspiring. Over the years my principal associates and collaborators were Roger Penrose, Robert Geroch, Brandon Carter, George Ellis, Gary Gibbons, Don Page, and Jim Hartle. I owe a lot to them, and to my research students, who have always given me help when needed.
+  One of my students, Brian Whitt, gave me a lot of help writing the first edition of this book. My editor at Bantam Books, Peter Guzzardi, made innumerable comments which improved the book considerably. In addition, for this edition, I would like to thank Andrew Dunn, who helped me revise the text.
+  I could not have written this book without my communication system. The software, called Equalizer, was donated by Walt Waltosz of Words Plus Inc., in Lancaster, California. My speech synthesizer was donated by Speech Plus, of Sunnyvale, California. The synthesizer and laptop computer were mounted on my wheelchair by David Mason, of Cambridge Adaptive Communication Ltd. With this system I can communicate better now than before I lost my voice.
+  I have had a number of secretaries and assistants over the years in which I wrote and revised this book. On the secretarial side, I'm very grateful to Judy Fella, Ann Ralph, Laura Gentry, Cheryl Billington, and Sue Masey. My assistants have been Colin Williams, David Thomas, and Raymond Laflamme, Nick Phillips, Andrew Dunn, Stuart Jamieson, Jonathan Brenchley, Tim Hunt, Simon Gill, Jon Rogers, and Tom Kendall. They, my nurses, colleagues, friends, and family have enabled me to live a very full life and to pursue my research despite my disability.
+
+Stephen Hawking
+ABOUT THE AUTHOR
+
+STEPHEN HAWKING was the Lucasian Professor of Mathematics at the University of Cambridge for thirty years, and has been the recipient of numerous awards and honors including, most recently, the Presidential Medal of Freedom. His books for the general reader include the classic A Brief History of Time, the essay collection Black Holes and Baby Universes, The Universe in a Nutshell, A Briefer History of Time and The Grand Design.
+ 
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+ Preface
+During the last thirty years of his life, Albert Einstein sought relentlessly for a so-called unified field theory-a theory capable of describing nature's forces within a single, all-encompassing, coherent framework. Einstein was not motivated by the things we often associate with scientific undertakings, such as trying to explain this or that piece of experimental data. Instead, he was driven by a passionate belief that the deepest understanding of the universe would reveal its truest wonder: the simplicity and power of the principles on which it is based. Einstein wanted to illuminate the workings of the universe with a clarity never before achieved, allowing us all to stand in awe of its sheer beauty and elegance.
+Einstein never realized this dream, in large part because the deck was stacked against him: In his day, a number of essential features of matter and the forces of nature were either unknown or, at best, poorly understood. But during the past half-century, physicists of each new generation-through fits and starts, and diversions down blind alleys-have been building steadily on the discoveries of their predecessors to piece together an ever fuller understanding of how the universe works. And now, long after Einstein articulated his quest for a unified theory but came up empty-handed, physicists believe they have finally found a framework for stitching these insights together into a seamless whole-a single theory that, in principle, is capable of describing all physical phenomena. The theory, superstring theory, is the subject of this book. I wrote The Elegant Universe in an attempt to make the remarkable insights emerging from the forefront of physics research accessible to a broad spectrum of readers, especially those with no training in mathematics or physics. Through public lectures on superstring theory I have given over the past few years, I have witnessed a widespread yearning to understand what current research says about the fundamental laws of the universe, how these laws require a monumental restructuring of our conception of the cosmos, and what challenges lie ahead in the ongoing quest for the ultimate theory. I hope that, by explaining the major achievements of physics going back to Einstein and Heisenberg, and describing how their discoveries have grandly flowered through the breakthroughs of our age, this book will both enrich and satisfy this curiosity.
+I also hope that The Elegant Universe will be of interest to readers who do have some scientific background. For science students and teachers, I hope this book will crystallize some of the foundational material of modern physics, such as special relativity, general relativity, and quantum mechanics, while conveying the contagious excitement of researchers closing in on the long-sought unified theory. For the avid reader of popular science, I have tried to explain many of the exhilarating advances in our understanding of the cosmos that have come to light during the last decade. And for my colleagues in other scientific disciplines, I hope this book will give an honest and balanced sense of why string theorists are so enthusiastic about the progress being made in the search for the ultimate theory of nature.
+Superstring theory casts a wide net. It is a broad and deep subject that draws on many of the central discoveries in physics. Since the theory unifies the laws of the large and of the small, laws that govern physics out to the farthest reaches of the cosmos and down to the smallest speck of matter, there are many avenues by which one can approach the subject. I have chosen to focus on our evolving understanding of space and time. I find this to be an especially gripping developmental path, one that cuts a rich and fascinating swath through the essential new insights. Einstein showed the world that space and time behave in astoundingly unfamiliar ways. Now, cutting-edge research has integrated his discoveries into a quantum universe with numerous hidden dimensions coiled into the fabric of the cosmos-dimensions whose lavishly entwined geometry may well bold the key to some of the most profound questions ever posed. Although some of these concepts are subtle, we will see that they can be grasped through down-to-earth analogies. And when these ideas are understood, they provide a startling and revolutionary perspective on the universe.
+Throughout this book, I have tried to stay close to the science while giving the reader an intuitive understanding-often through analogy and metaphor-of how scientists have reached the current conception of the cosmos. Although I avoid technical language and equations, because of the radically new concepts involved the reader may need to pause now and then, to mull over a section here or ponder an explanation there, in order to follow the progression of ideas fully. A few sections of Part IV (focusing on the most recent developments) are a bit more abstract than the rest; I have taken care to forewarn the reader about these sections and to structure the text so that they can be skimmed or skipped with minimal impact on the book's logical flow. I have included a glossary of scientific terms for an easy and accessible reminder of ideas introduced in the main text. Although the more casual reader may wish to skip the endnotes completely, the more diligent reader will find in the notes amplifications of points made in the text, clarifications of ideas that have been simplified in the text, as well as a few technical excursions for those with mathematical training.
+I owe thanks to many people for their help during the writing of this book. David Steinhardt read the manuscript with great care and generously provided sharp editorial insights and invaluable encouragement. David Morrison, Ken Vineberg, Raphael Kasper, Nicholas Boles, Steven Carlip, Arthur Greenspoon, David Mermin, Michael Popowits, and Shani Offen read the manuscript closely and offered detailed reactions and suggestions that greatly enhanced the presentation. Others who read all or part of the manuscript and offered advice and encouragement are Paul Aspinwall, Persis Drell, Michael Duff, Kurt Gottfried, Joshua Greene, Teddy Jefferson, Marc Kam'ionkowskil Yakov Kanter, Andras Kovacs, David Lee, Megan McEwen, Nari Mistry, Hasan Padamsee, Ronen Plesser, Massimo Poratti, Fred Sherry, Lars Straeter, Steven Strogatz, Andrew Strominger, Henry Tye, Cumrun Vafa, and Gabriele Veneziano. I owe special thanks to Raphael Gunner for, among many other things, his insightful criticisms at an early stage of writing that helped to shape the overall form of the book, and to Robert Malley for his gentle but persistent encouragement to go beyond thinking about the book and to put "pen to paper." Steven Weinberg and Sidney Coleman offered valuable advice and assistance, and it is a pleasure to acknowledge many helpful interactions with Carol Archer, Vicky Carstens, David Cassel, Anne Coyle, Michael Duncan, Jane Forman, Erik Jendresen, Gary Kass, Shiva Kumar, Robert Mawhinney, Pam Morehouse, Pierre Ramond, Amanda Salles, and Eero Simoncelli. I am indebted to Costas Efthimiou for his help in fact-checking and reference-finding, and for turning my initial sketches into line drawings from which Tom Rockwell created-with the patience of a saint and a masterful artistic eye-the figures that illustrate the text. I also thank Andrew Hanson and Jim Sethna for their help in preparing a few of the specialized figures.
+For agreeing to be interviewed and to lend their personal perspectives on various topics covered I thank Howard Georgi, Sheldon Glashow, Michael Green, John Schwarz, John Wheeler, Edward Witten, and, again, Andrew Strominger, Cumrun Vafa, and Gabriele Veneziano.
+I am happy to acknowledge the penetrating insights and invaluable suggestions of Angela Von der Lippe and the sharp sensitivity to detail of Traci Nagle, my editors at W. W. Norton, both of whom significantly enhanced the clarity of the presentation. I also thank my literary agents, John Brockman and Katinka Matson, for their expert guidance in shepherding the book from inception to publication.
+For generously supporting my research in theoretical physics for more than a decade and a half, I gratefully acknowledge the National Science Foundation, the Alfred P. Sloan Foundation, and the U.S. Department of Energy. It is perhaps not surprising that my own research has focused on the impact superstring theory has on our conception of space and time, and in a couple of the later chapters I describe some of the discoveries in which I had the fortune to take part. Although I hope the reader will enjoy reading these "inside" accounts, I realize that they may leave an exaggerated impression of the role I have played in the development of superstring theory. So let me take this opportunity to acknowledge the more than one thousand physicists around the world who are crucial and dedicated participants in the effort to fashion the ultimate theory of the universe. I apologize to all whose work is not included in this account; this merely reflects the thematic perspective I have chosen and the length limitations of a general presentation.
+Finally, I owe heartfelt thanks to Ellen Archer for her unwavering love and support, without which this book would not have been written.
+Part I: The Edge of Knowledge
+
+Chapter 1
+Tied Up With String
+Calling it a cover-up would be far too dramatic. But for more than half a century-even in the midst of some of the greatest scientific achievements in history-physicists have been quietly aware of a dark cloud looming on a distant horizon. The problem is this: There are two foundational pillars upon which modern physics rests. One is Albert Einstein's general relativity, which provides a theoretical framework for understanding the universe on the largest of scales: stars, galaxies, clusters of galaxies, and beyond to the immense expanse of the universe itself. The other is quantum mechanics, which provides a theoretical framework for understanding the universe on the smallest of scales: molecules, atoms, and all the way down to subatomic particles like electrons and quarks. Through years of research, physicists have experimentally confirmed to almost unimaginable accuracy virtually all predictions made by each of these theories. But these same theoretical tools inexorably lead to another disturbing conclusion: As they are currently formulated, general relativity and quantum mechanics cannot both be right. The two theories underlying the tremendous progress of physics during the last hundred years-progress that has explained the expansion of the heavens and the fundamental structure of matter-are mutually incompatible.
+If you have not heard previously about this ferocious antagonism you may be wondering why. The answer is not hard to come by. In all but the most extreme situations, physicists study things that are either small and light (like atoms and their constituents) or things that are huge and heavy (like stars and galaxies), but not both. This means that they need use only quantum mechanics or only general relativity and can, with a furtive glance, shrug off the barking admonition of the other. For fifty years this approach has not been quite as blissful as ignorance, but it has been pretty close.
+But the universe can be extreme. In the central depths of a black hole an enormous mass is crushed to a minuscule size. At the moment of the big bang the whole of the universe erupted from a microscopic nugget whose size makes a grain of sand look colossal. These are realms that are tiny and yet incredibly massive, therefore requiring that both quantum mechanics and general relativity simultaneously be brought to bear. For reasons that will become increasingly clear as we proceed, the equations of general relativity and quantum mechanics, when combined, begin to shake, rattle, and gush with steam like a red-lined automobile. Put less figuratively, well-posed physical questions elicit nonsensical answers from the unhappy amalgam of these two theories. Even if you are willing to keep the deep interior of a black hole and the beginning of the universe shrouded in mystery, you can't help feeling that the hostility between quantum mechanics and general relativity cries out for a deeper level of understanding. Can it really be that the universe at its most fundamental level is divided, requiring one set of laws when things are large and a different, incompatible set when things are small?
+Superstring theory, a young upstart compared with the venerable edifices of quantum mechanics and general relativity, answers with a resounding no. Intense research over the past decade by physicists and mathematicians around the world has revealed that this new approach to describing matter at its most fundamental level resolves the tension between general relativity and quantum mechanics. In fact, superstring theory shows more: Within this new framework, general relativity and quantum mechanics require one another for the theory to make sense. According to superstring theory, the marriage of the laws of the large and the small is not only happy but inevitable.
+That's part of the good news. But superstring theory-string theory, for short-takes this union one giant step further. For three decades, Einstein sought a unified theory of physics, one that would interweave all of nature's forces and material constituents within a single theoretical tapestry. He failed. Now, at the dawn of the new millennium, proponents of string theory claim that the threads of this elusive unified tapestry finally have been revealed. String theory has the potential to show that all of the wondrous happenings in the universe-from the frantic dance of subatomic quarks to the stately waltz of orbiting binary stars, from the primordial fireball of the big bang to the majestic swirl of heavenly galaxies-are reflections of one grand physical principle, one master equation.
+Because these features of string theory require that we drastically change our understanding of space, time, and matter, they will take some time to get used to, to sink in at a comfortable level. But as shall become clear, when seen in its proper context, string theory emerges as a dramatic yet natural outgrowth of the revolutionary discoveries of physics during the past hundred years. In fact, we shall see that the conflict between general relativity and quantum mechanics is actually not the first, but the third in a sequence of pivotal conflicts encountered during the past century, each of whose resolution has resulted in a stunning revision of our understanding of the universe.
+The Three Conflicts
+The first conflict, recognized as far back as the late 1800s, concerns puzzling properties of the motion of light. Briefly put, according to Isaac Newton's laws of motion, if you run fast enough you can catch up with a departing beam of light, whereas according to James Clerk Maxwell's laws of electromagnetism, you can't. As we will discuss in Chapter 2, Einstein resolved this conflict through his theory of special relativity, and in so doing completely overturned our understanding of space and time. According to special relativity, no longer can space and time be thought of as universal concepts set in stone, experienced identically by everyone. Rather, space and time emerged from Einstein's reworking as malleable constructs whose form and appearance depend on one's state of motion.
+The development of special relativity immediately set the stage for the second conflict. One conclusion of Einstein's work is that no object-in fact, no influence or disturbance of any sort-can travel faster than the speed of light. But, as we shall discuss in Chapter 3, Newton's experimentally successful and intuitively pleasing universal theory of gravitation involves influences that are transmitted over vast distances of space instantaneously. It was Einstein, again, who stepped in and resolved the conflict by offering a new conception of gravity with his 1915 general theory of relativity. Just as special relativity overturned previous conceptions of space and time, so too did general relativity. Not only are space and time influenced by one's state of motion, but they can warp and curve in response to the presence of matter or energy. Such distortions to the fabric of space and time, as we shall see, transmit the force of gravity from one place to another. Space and time, therefore, can no longer to be thought of as an inert backdrop on which the events of the universe play themselves out; rather, through special and then general relativity, they are intimate players in the events themselves.
+Once again the pattern repeated itself: The discovery of general relativity, while resolving one conflict, led to another. Over the course of the three decades beginning in 1900, physicists developed quantum mechanics (discussed in Chapter 4) in response to a number of glaring problems that arose when nineteenth-century conceptions of physics were applied to the microscopic world. And as mentioned above, the third and deepest conflict arises from the incompatibility between quantum mechanics and general relativity. As we will see in Chapter 5, the gently curving geometrical form of space emerging from general relativity is at loggerheads with the frantic, roiling, microscopic behavior of the universe implied by quantum mechanics. As it was not until the mid-1980s that string theory offered a resolution, this conflict is rightly called the central problem of modern physics. Moreover, building on special and general relativity, string theory requires its own severe revamping of our conceptions of space and time. For example, most of us take for granted that our universe has three spatial dimensions. But this is not so according to string theory, which claims that our universe has many more dimensions than meet the eye-dimensions that are tightly curled into the folded fabric of the cosmos. So central are these remarkable insights into the nature of space and time that we shall use them as a guiding theme in all that follows. String theory, in a real sense, is the story of space and time since Einstein.
+To appreciate what string theory actually is, we need to take a step back and briefly describe what we have learned during the last century about the microscopic structure of the universe.
+The Universe at Its Smallest: What We Know about Matter
+The ancient Greeks surmised that the stuff of the universe was made up of tiny "uncuttable" ingredients that they called atoms. Just as the enormous number of words in an alphabetic language is built up from the wealth of combinations of a small number of letters, they guessed that the vast range of material objects might also result from combinations of a small number of distinct, elementary building blocks. It was a prescient guess. More than 2,000 years later we still believe it to be true, although the identity of the most fundamental units has gone through numerous revisions. In the nineteenth century scientists showed that many familiar substances such as oxygen and carbon had a smallest recognizable constituent; following in the tradition laid down by the Greeks, they called them atoms. The name stuck, but history has shown it to be a misnomer, since atoms surely are "cuttable." By the early 1930s the collective works of J. J. Thomson, Ernest Rutherford, Niels Bohr, and James Chadwick had established the solar systemÐlike atomic model with which most of us are familiar. Far from being the most elementary material constituent, atoms consist of a nucleus, containing protons and neutrons, that is surrounded by a swarm of orbiting electrons.
+For a while many physicists thought that protons, neutrons, and electrons were the Greeks' "atoms." But in 1968 experimenters at the Stanford Linear Accelerator Center, making use of the increased capacity of technology to probe the microscopic depths of matter, found that protons and neutrons are not fundamental, either. Instead they showed that each consists of three smaller particles, called quarks-a whimsical name taken from a passage in James Joyce's Finnegan's Wake by the theoretical physicist Murray Gell-Mann, who previously had surmised their existence. The experimenters confirmed that quarks themselves come in two varieties, which were named, a bit less creatively, up and down. A proton consists of two up-quarks and a down-quark; a neutron consists of two down-quarks and an up-quark.
+Everything you see in the terrestrial world and the heavens above appears to be made from combinations of electrons, up-quarks, and down-quarks. No experimental evidence indicates that any of these three particles is built up from something smaller. But a great deal of evidence indicates that the universe itself has additional particulate ingredients. In the mid-1950s, Frederick Reines and Clyde Cowan found conclusive experimental evidence for a fourth kind of fundamental particle called a neutrino-a particle whose existence was predicted in the early 1930s by Wolfgang Pauli. Neutrinos proved very difficult to find because they are ghostly particles that only rarely interact with other matter: an average-energy neutrino can easily pass right through many trillion miles of lead without the slightest effect on its motion. This should give you significant relief, because right now as you read this, billions of neutrinos ejected into space by the sun are passing through your body and the earth as well, as part of their lonely journey through the cosmos. In the late 1930s, another particle called a muon-identical to an electron except that a muon is about 200 times heavier-was discovered by physicists studying cosmic rays (showers of particles that bombard earth from outer space). Because there was nothing in the cosmic order, no unsolved puzzle, no tailor-made niche, that necessitated the muon's existence, the Nobel PrizeÐwinning particle physicist Isidor Isaac Rabi greeted the discovery of the muon with a less than enthusiastic "Who ordered that?" Nevertheless, there it was. And more was to follow.
+Using ever more powerful technology, physicists have continued to slam bits of matter together with ever increasing energy, momentarily recreating conditions unseen since the big bang. In the debris they have searched for new fundamental ingredients to add to the growing list of particles. Here is what they have found: four more quarks-charm, strange, bottom, and top-and another even heavier cousin of the electron, called a tau, as well as two other particles with properties similar to the neutrino (called the muon-neutrino and tau-neutrino to distinguish them from the original neutrino, now called the electron-neutrino). These particles are produced through high-energy collisions and exist only ephemerally; they are not constituents of anything we typically encounter. But even this is not quite the end of the story. Each of these particles has an antiparticle partner-a particle of identical mass but opposite in certain other respects such as its electric charge (as well as its charges with respect to other forces discussed below). For instance, the antiparticle of an electron is called a positron-it has exactly the same mass as an electron, but its electric charge is +1 whereas the electric charge of the electron is -1. When in contact, matter and antimatter can annihilate one another to produce pure energy-that's why there is extremely little naturally occurring antimatter in the world around us.
+Physicists have recognized a pattern among these particles, displayed in Table 1.1. The matter particles neatly fall into three groups, which are often called families. Each family contains two of the quarks, an electron or one of its cousins, and one of the neutrino species. The corresponding particle types across the three families have identical properties except for their mass, which grows larger in each successive family. The upshot is that physicists have now probed the structure of matter to scales of about a billionth of a billionth of a meter and shown that everything encountered to date-whether it occurs naturally or is produced artificially with giant atom-smashers-consists of some combination of particles from these three families and their antimatter partners.
+A glance at Table 1.1 will no doubt leave you with an even stronger sense of Rabi's bewilderment at the discovery of the muon. The arrangement into families at least gives some semblance of order, but innumerable "whys" leap to the fore. Why are there so many fundamental particles, especially when it seems that the great majority of things in the world around us need only electrons, up-quarks, and down-quarks? Why are there three families? Why not one family or four families or any other number? Why do the particles have a seemingly random spread of masses-why, for instance, does the tau weigh about 3,520 times as much as an electron? Why does the top quark weigh about 40,200 times as much an up-quark? These are such strange, seemingly random numbers. Did they occur by chance, by some divine choice, or is there a comprehensible scientific explanation for these fundamental features of our universe?
+The Forces, or, Where's the Photon?
+Things only become more complicated when we consider the forces of nature. The world around us is replete with means of exerting influence: balls can be hit with bats, bungee enthusiasts can throw themselves earthward from high platforms, magnets can keep superfast trains suspended just above metallic tracks, Geiger counters can tick in response to radioactive material, nuclear bombs can explode. We can influence objects by vigorously pushing, pulling, or shaking them; by hurling or firing other objects into them; by stretching, twisting, or crushing them; or by freezing, heating, or burning them. During the past hundred years physicists have accumulated mounting evidence that all of these interactions between various objects and materials, as well as any of the millions upon millions of others encountered daily, can be reduced to combinations of four fundamental forces. One of these is the gravitational force. The other three are the electromagnetic force, the weak force, and the strong force.
+Gravity is the most familiar of the forces, being responsible for keeping us in orbit around the sun as well as for keeping our feet firmly planted on earth. The mass of an object measures how much gravitational force it can exert as well as feel. The electromagnetic force is the next most familiar of the four. It is the force driving all of the conveniences of modern life-lights, computers, TVs, telephones-and underlies the awesome might of lightning storms and the gentle touch of a human hand. Microscopically, the electric charge of a particle plays the same role for the electromagnetic force as mass does for gravity: it determines how strongly the particle can exert as well as respond electromagnetically.
+The strong and the weak forces are less familiar because their strength rapidly diminishes over all but subatomic distance scales; they are the nuclear forces. This is why these two forces were discovered only much more recently. The strong force is responsible for keeping quarks "glued" together inside of protons and neutrons and keeping protons and neutrons tightly crammed together inside atomic nuclei. The weak force is best known as the force responsible for the radioactive decay of substances such as uranium and cobalt.
+During the past century, physicists have found two features common to all these forces. First, as we will discuss in Chapter 5, at a microscopic level all the forces have an associated particle that you can think of as being the smallest packet or bundle of the force. If you fire a laser beam-an "electromagnetic ray gun"-you are firing a stream of photons, the smallest bundles of the electromagnetic force. Similarly, the smallest constituents of weak and strong force fields are particles called weak gauge bosons and gluons. (The name gluon is particularly descriptive: You can think of gluons as the microscopic ingredient in the strong glue holding atomic nuclei together.) By 1984 experimenters had definitively established the existence and the detailed properties of these three kinds of force particles, recorded in Table 1.2. Physicists believe that the gravitational force also has an associated particle-the graviton-but its existence has yet to be confirmed experimentally.
+The second common feature of the forces is that just as mass determines how gravity affects a particle, and electric charge determines how the electromagnetic force affects it, particles are endowed with certain amounts of "strong charge" and "weak charge" that determine how they are affected by the strong and weak forces. (These properties are detailed in the table in the endnotes to this chapter.1) But as with particle masses, beyond the fact that experimental physicists have carefully measured these properties, no one has any explanation of why our universe is composed of these particular particles, with these particular masses and force charges.
+Notwithstanding their common features, an examination of the fundamental forces themselves serves only to compound the questions. Why, for instance, are there four fundamental forces? Why not five or three or perhaps only one? Why do the forces have such different properties? Why are the strong and weak forces confined to operate on microscopic scales while gravity and the electromagnetic force have an unlimited range of influence? And why is there such an enormous spread in the intrinsic strength of these forces?
+To appreciate this last question, imagine holding an electron in your left hand and another electron in your right hand and bringing these two identical electrically charged particles close together. Their mutual gravitational attraction will favor their getting closer while their electromagnetic repulsion will try to drive them apart. Which is stronger? There is no contest: The electromagnetic repulsion is about a million billion billion billion billion (10 to the 42th) times stronger! If your right bicep represents the strength of the gravitational force, then your left bicep would have to extend beyond the edge of the known universe to represent the strength of the electromagnetic force. The only reason the electromagnetic force does not completely overwhelm gravity in the world around us is that most things are composed of an equal amount of positive and negative electric charges whose forces cancel each other out. On the other hand, since gravity is always attractive, there are no analogous cancellations-more stuff means greater gravitational force. But fundamentally speaking, gravity is an extremely feeble force. (This fact accounts for the difficulty in experimentally confirming the existence of the graviton. Searching for the smallest bundle of the feeblest force is quite a challenge.) Experiments also have shown that the strong force is about one hundred times as strong as the electromagnetic force and about one hundred thousand times as strong as the weak force. But where is the rationale-the raison d'etre-for our universe having these features?
+This is not a question borne of idle philosophizing about why certain details happen to be one way instead of another; the universe would be a vastly different place if the properties of the matter and force particles were even moderately changed. For example, the existence of the stable nuclei forming the hundred or so elements of the periodic table hinges delicately on the ratio between the strengths of the strong and electromagnetic forces. The protons crammed together in atomic nuclei all repel one another electromagnetically; the strong force acting among their constituent quarks, thankfully, overcomes this repulsion and tethers the protons tightly together. But a rather small change in the relative strengths of these two forces would easily disrupt the balance between them, and would cause most atomic nuclei to disintegrate. Furthermore, were the mass of the electron a few times greater than it is, electrons and protons would tend to combine to form neutrons, gobbling up the nuclei of hydrogen (the simplest element in the cosmos, with a nucleus containing a single proton) and, again, disrupting the production of more complex elements. Stars rely upon fusion between stable nuclei and would not form with such alterations to fundamental physics. The strength of the gravitational force also plays a formative role. The crushing density of matter in a star's central core powers its nuclear furnace and underlies the resulting blaze of starlight. If the strength of the gravitational force were increased, the stellar clump would bind more strongly, causing a significant increase in the rate of nuclear reactions. But just as a brilliant flare exhausts its fuel much faster than a slow-burning candle, an increase in the nuclear reaction rate would cause stars like the sun to burn out far more quickly, having a devastating effect on the formation of life as we know it. On the other hand, were the strength of the gravitational force significantly decreased, matter would not clump together at all, thereby preventing the formation of stars and galaxies.
+We could go on, but the idea is clear: the universe is the way it is because the matter and the force particles have the properties they do. But is there a scientific explanation for why they have these properties?
+String Theory: The Basic Idea
+String theory offers a powerful conceptual paradigm in which, for the first time, a framework for answering these questions has emerged. Let's first get the basic idea.
+The particles in Table 1.1 are the "letters" of all matter. Just like their linguistic counterparts, they appear to have no further internal substructure. String theory proclaims otherwise. According to string theory, if we could examine these particles with even greater precision-a precision many orders of magnitude beyond our present technological capacity-we would find that each is not pointlike, but instead consists of a tiny one-dimensional loop. Like an infinitely thin rubber band, each particle contains a vibrating, oscillating, dancing filament that physicists, lacking Gell-Mann's literary flair, have named a string. In Figure 1.1 we illustrate this essential idea of string theory by starting with an ordinary piece of matter, an apple, and repeatedly magnifying its structure to reveal its ingredients on ever smaller scales. String theory adds the new microscopic layer of a vibrating loop to the previously known progression from atoms through protons, neutrons, electrons and quarks.2
+Although it is by no means obvious, we will see in Chapter 6 that this simple replacement of point-particle material constituents with strings resolves the incompatibility between quantum mechanics and general relativity. String theory thereby unravels the central Gordian knot of contemporary theoretical physics. This is a tremendous achievement, but it is only part of the reason string theory has generated such excitement.
+String Theory as the Unified Theory of Everything
+In Einstein's day, the strong and the weak forces had not yet been discovered, but he found the existence of even two distinct forces-gravity and electromagnetism-deeply troubling. Einstein did not accept that nature is founded on such an extravagant design. This launched his thirty-year voyage in search of the so-called unified field theory that he hoped would show that these two forces are really manifestations of one grand underlying principle. This quixotic quest isolated Einstein from the mainstream of physics, which, understandably, was far more excited about delving into the newly emerging framework of quantum mechanics. He wrote to a friend in the early 1940s, "I have become a lonely old chap who is mainly known because he doesn't wear socks and who is exhibited as a curiosity on special occasions."3
+Einstein was simply ahead of his time. More than half a century later, his dream of a unified theory has become the Holy Grail of modern physics. And a sizeable part of the physics and mathematics community is becoming increasingly convinced that string theory may provide the answer. From one principle-that everything at its most microscopic level consists of combinations of vibrating strands-string theory provides a single explanatory framework capable of encompassing all forces and all matter.
+String theory proclaims, for instance, that the observed particle properties, the data summarized in Tables 1.1 and 1.2, are a reflection of the various ways in which a string can vibrate. Just as the strings on a violin or on a piano have resonant frequencies at which they prefer to vibrate-patterns that our ears sense as various musical notes and their higher harmonics-the same holds true for the loops of string theory. But we will see that, rather than producing musical notes, each of the preferred patterns of vibration of a string in string theory appears as a particle whose mass and force charges are determined by the string's oscillatory pattern. The electron is a string vibrating one way, the up-quark is a string vibrating another way, and so on. Far from being a collection of chaotic experimental facts, particle properties in string theory are the manifestation of one and the same physical feature: the resonant patterns of vibration-the music, so to speak-of fundamental loops of string. The same idea applies to the forces of nature as well. We will see that force particles are also associated with particular patterns of string vibration and hence everything, all matter and all forces, is unified under the same rubric of microscopic string oscillations-the "notes" that strings can play.
+For the first time in the history of physics we therefore have a framework with the capacity to explain every fundamental feature upon which the universe is constructed. For this reason string theory is sometimes described as possibly being the "theory of everything" (T.O.E.) or the "ultimate" or "final" theory. These grandiose descriptive terms are meant to signify the deepest possible theory of physics-a theory that underlies all others, one that does not require or even allow for a deeper explanatory base. In practice, many string theorists take a more down-to-earth approach and think of a T.O.E. in the more limited sense of a theory that can explain the properties of the fundamental particles and the properties of the forces by which they interact and influence one another. A staunch reductionist would claim that this is no limitation at all, and that in principle absolutely everything, from the big bang to daydreams, can be described in terms of underlying microscopic physical processes involving the fundamental constituents of matter. If you understand everything about the ingredients, the reductionist argues, you understand everything.
+The reductionist philosophy easily ignites heated debate. Many find it fatuous and downright repugnant to claim that the wonders of life and the universe are mere reflections of microscopic particles engaged in a pointless dance fully choreographed by the laws of physics. Is it really the case that feelings of joy, sorrow, or boredom are nothing but chemical reactions in the brain-reactions between molecules and atoms that, even more microscopically, are reactions between some of the particles in Table 1.1, which are really just vibrating strings? In response to this line of criticism, Nobel laureate Steven Weinberg cautions in Dreams of a Final Theory,
+At the other end of the spectrum are the opponents of reductionism who are appalled by what they feel to be the bleakness of modern science. To whatever extent they and their world can be reduced to a matter of particles or fields and their interactions, they feel diminished by that knowledge. . . . I would not try to answer these critics with a pep talk about the beauties of modern science. The reductionist worldview is chilling and impersonal. It has to be accepted as it is, not because we like it, but because that is the way the world works.4
+Some agree with this stark view, some don't.
+Others have tried to argue that developments such as chaos theory tell us that new kinds of laws come into play when the level of complexity of a system increases. Understanding the behavior of an electron or a quark is one thing; using this knowledge to understand the behavior of a tornado is quite another. On this point, most agree. But opinions diverge on whether the diverse and often unexpected phenomena that can occur in systems more complex than individual particles truly represent new physical principles at work, or whether the principles involved are derivative, relying, albeit in a terribly complicated way, on the physical principles governing the enormously large number of elementary constituents. My own feeling is that they do not represent new and independent laws of physics. Although it would be hard to explain the properties of a tornado in terms of the physics of electrons and quarks, I see this as a matter of calculational impasse, not an indicator of the need for new physical laws. But again, there are some who disagree with this view.
+What is largely beyond question, and is of primary importance to the journey described in this book, is that even if one accepts the debatable reasoning of the staunch reductionist, principle is one thing and practice quite another. Almost everyone agrees that finding the T.O.E. would in no way mean that psychology, biology, geology, chemistry, or even physics had been solved or in some sense subsumed. The universe is such a wonderfully rich and complex place that the discovery of the final theory, in the sense we are describing here, would not spell the end of science. Quite the contrary: The discovery of the T.O.E.-the ultimate explanation of the universe at its most microscopic level, a theory that does not rely on any deeper explanation-would provide the firmest foundation on which to build our understanding of the world. Its discovery would mark a beginning, not an end. The ultimate theory would provide an unshakable pillar of coherence forever assuring us that the universe is a comprehensible place.
+The State of String Theory
+The central concern of this book is to explain the workings of the universe according to string theory, with a primary emphasis on the implications that these results have for our understanding of space and time. Unlike many other exposés of scientific developments, the one given here does not address itself to a theory that has been completely worked out, confirmed by vigorous experimental tests, and fully accepted by the scientific community. The reason for this, as we will discuss in subsequent chapters, is that string theory is such a deep and sophisticated theoretical structure that even with the impressive progress that has been made over the last two decades, we still have far to go before we can claim to have achieved full mastery.
+And so string theory should be viewed as a work in progress whose partial completion has already revealed astonishing insights into the nature of space, time, and matter. The harmonious union of general relativity and quantum mechanics is a major success. Furthermore, unlike any previous theory, string theory has the capacity to answer primordial questions having to do with nature's most fundamental constituents and forces. Of equal importance, although somewhat harder to convey, is the remarkable elegance of both the answers and the framework for answers that string theory proposes. For instance, in string theory many aspects of nature that might appear to be arbitrary technical details-such as the number of distinct fundamental particle ingredients and their respective properties-are found to arise from essential and tangible aspects of the geometry of the universe. If string theory is right, the microscopic fabric of our universe is a richly intertwined multidimensional labyrinth within which the strings of the universe endlessly twist and vibrate, rhythmically beating out the laws of the cosmos. Far from being accidental details, the properties of nature's basic building blocks are deeply entwined with the fabric of space and time.
+In the final analysis, though, nothing is a substitute for definitive, testable predictions that can determine whether string theory has truly lifted the veil of mystery hiding the deepest truths of our universe. It may be some time before our level of comprehension has reached sufficient depth to achieve this aim, although, as we will discuss in Chapter 9, experimental tests could provide strong circumstantial support for string theory within the next ten years or so. Moreover, in Chapter 13 we will see that string theory has recently solved a central puzzle concerning black holes, associated with the so-called Bekenstein-Hawking entropy, that has stubbornly resisted resolution by more conventional means for more than twenty-five years. This success has convinced many that string theory is in the process of giving us our deepest understanding of how the universe works.
+Edward Witten, one of the pioneers and leading experts in string theory, summarizes the situation by saying that "string theory is a part of twenty-first-century physics that fell by chance into the twentieth century," an assessment first articulated by the celebrated Italian physicist Danielle Amati.5 In a sense, then, it is as if our forebears in the late nineteenth century had been presented with a modern-day supercomputer, without the operating instructions. Through inventive trial and error, hints of the supercomputer's power would have become evident, but it would have taken vigorous and prolonged effort to gain true mastery. The hints of the computer's potential, like our glimpses of string theory's explanatory power, would have provided extremely strong motivation for obtaining complete facility. A similar motivation today energizes a generation of theoretical physicists to pursue a full and precise analytic understanding of string theory.
+Witten's remark and those of other experts in the field indicate that it could be decades or even centuries before string theory is fully developed and understood. This may well be true. In fact, the mathematics of string theory is so complicated that, to date, no one even knows the exact equations of the theory. Instead, physicists know only approximations to these equations, and even the approximate equations are so complicated that they as yet have been only partially solved. Nevertheless, an inspiring set of breakthroughs in the latter half of the 1990s-breakthroughs that have answered theoretical questions of hitherto unimaginable difficulty-may well indicate that complete quantitative understanding of string theory is much closer than initially thought. Physicists worldwide are developing powerful new techniques to transcend the numerous approximate methods so far used, collectively piecing together disparate elements of the string theory puzzle at an exhilarating rate.
+Surprisingly, these developments are providing new vantage points for reinterpreting some of the basic aspects of the theory that have been in place for some time. For instance, a natural question that may have occurred to you in looking at Figure 1.1 is, Why strings? Why not little frisbee disks? Or microscopic bloblike nuggets? Or a combination of all of these possibilities? As we shall see in Chapter 12, the most recent insights show that these other kinds of ingredients do have an important role in string theory, and have revealed that string theory is actually part of an even grander synthesis currently (and mysteriously) named M-theory. These latest developments will be the subject of the final chapters of this book.
+Progress in science proceeds in fits and starts. Some periods are filled with great breakthroughs; at other times researchers experience dry spells. Scientists put forward results, both theoretical and experimental. The results are debated by the community, sometimes they are discarded, sometimes they are modified, and sometimes they provide inspirational jumping-off points for new and more accurate ways of understanding the physical universe. In other words, science proceeds along a zig-zag path toward what we hope will be ultimate truth, a path that began with humanity's earliest attempts to fathom the cosmos and whose end we cannot predict. Whether string theory is an incidental rest stop along this path, a landmark turning point, or in fact the final destination we do not know. But the last two decades of research by hundreds of dedicated physicists and mathematicians from numerous countries have given us well-founded hope that we are on the right and possibly final track.
+It is a telling testament of the rich and far-reaching nature of string theory that even our present level of understanding has allowed us to gain striking new insights into the workings of the universe. A central thread in what follows will be those developments that carry forward the revolution in our understanding of space and time initiated by Einstein's special and general theories of relativity. We will see that if string theory is correct, the fabric of our universe has properties that would likely have dazzled even Einstein.
+Part II: The Dilemma of Space, Time, and the Quanta
+
+Chapter 2
+Space, Time, and the Eye of the Beholder
+In June 1905, twenty-six-year-old Albert Einstein submitted a technical article to the Annals of Physics in which he came to grips with a paradox about light that had first troubled him as a teenager, some ten years earlier. Upon turning the final page of Einstein's manuscript, the editor of the journal, Max Planck, realized that the accepted scientific order had been overthrown. Without hoopla or fanfare, a patent clerk from Bern, Switzerland, had completely overturned the traditional notions of space and time and replaced them with a new conception whose properties fly in the face of everything we are familiar with from common experience.
+The paradox that had troubled Einstein for a decade was this. In the mid-1800s, after a close study of the experimental work of the English physicist Michael Faraday, the Scottish physicist James Clerk Maxwell succeeded in uniting electricity and magnetism in the framework of the electromagnetic field. If you've ever been on a mountaintop just before a severe thunderstorm or stood close to a Van de Graaf generator, you have a visceral sense of what an electromagnetic field is, because you've felt it. In case you haven't, it is somewhat like a tide of electric and magnetic lines of force that permeate a region of space through which they pass. When you sprinkle iron filings near a magnet, for example, the orderly pattern they form traces out some of the invisible lines of magnetic force. When you take off a wool sweater on an especially dry day and hear a crackling sound and perhaps feel a momentary shock or two, you are witnessing evidence of electric lines of force generated by electric charges swept up by the fibers in your sweater. Beyond uniting these and all other electric and magnetic phenomena in one mathematical framework, Maxwell's theory showed-quite unexpectedly-that electromagnetic disturbances travel at a fixed and never-changing speed, a speed that turns out to equal that of light. From this, Maxwell realized that visible light itself is nothing but a particular kind of electromagnetic wave, one that is now understood to interact with chemicals in the retina, giving rise to the sensation of sight. Moreover (and this is crucial), Maxwell's theory also showed that all electromagnetic waves-visible light among them-are the epitome of the peripatetic traveler. They never stop. They never slow down. Light always travels at light speed.
+All is well and good until we ask, as the sixteen-year-old Einstein did, What happens if we chase after a beam of light, at light speed? Intuitive reasoning, rooted in Newton's laws of motion, tells us that we will catch up with the light waves and so they will appear stationary; light will stand still. But according to Maxwell's theory, and all reliable observations, there is simply no such thing as stationary light: no one has ever held a stationary clump of light in the palm of his or her hand. Hence the problem. Luckily, Einstein was unaware that many of the world's leading physicists were struggling with this question (and were heading down many a spurious path) and pondered the paradox of Maxwell and Newton largely in the pristine privacy of his own thoughts.
+In this chapter we discuss how Einstein resolved the conflict through his special theory of relativity, and in so doing forever changed our conceptions of space and time. It is perhaps surprising that the essential concern of special relativity is to understand precisely how the world appears to individuals, often called "observers," who are moving relative to one another. At first, this might seem to be an intellectual exercise of minimal importance. Quite the contrary: In the hands of Einstein, with his imaginings of observers chasing after light beams, there are profound implications to grasping fully how even the most mundane situations appear to individuals in relative motion.
+Intuition and Its Flaws
+Common experience highlights certain ways in which observations by such individuals differ. Trees alongside a highway, for example, appear to be moving from the viewpoint of a driver but appear stationary to a hitchhiker sitting on a guardrail. Similarly, the dashboard of the automobile does not appear to be moving from the viewpoint of the driver (one hopes!), but like the rest of the car, it does appear to be moving from the viewpoint of the hitchhiker. These are such basic and intuitive properties of how the world works that we hardly take note of them.
+Special relativity, however, proclaims that the differences in observations between two such individuals are more subtle and profound. It makes the strange claim that observers in relative motion will have different perceptions of distance and of time. This means, as we shall see, that identical wristwatches worn by two individuals in relative motion will tick at different rates and hence will not agree on the amount of time that elapses between chosen events. Special relativity demonstrates that this statement does not slander the accuracy of the wristwatches involved; rather, it is a true statement about time itself.
+Similarly, observers in relative motion carrying identical tape measures will not agree on the lengths of distances measured. Again, this is not due to inaccuracies in the measuring devices or to errors in how they are used. The most accurate measuring devices in the world confirm that space and time-as measured by distances and durations-are not experienced identically by everyone. In the precise way delineated by Einstein, special relativity resolves the conflict between our intuition about motion and the properties of light, but there is a price: individuals who are moving with respect to each other will not agree on their observations of either space or time.
+It has been almost a century since Einstein informed the world of his dramatic discovery, yet most of us still see space and time in absolute terms. Special relativity is not in our bones-we do not feel it. Its implications are not a central part of our intuition. The reason for this is quite simple: The effects of special relativity depend upon how fast one moves, and at the speeds of cars, planes, or even space shuttles, these effects are minuscule. Differences in perceptions of space and of time between individuals planted on the earth and those traveling in cars or planes do occur, but they are so small that they go unnoticed. However, were one to take a trip in a futuristic space vehicle traveling at a substantial fraction of light speed, the effects of relativity would become plainly obvious. This, of course, is still in the realm of science fiction. Nevertheless, as we shall discuss in later sections, clever experiments allow clear and precise observation of the relative properties of space and time predicted by Einstein's theory.
+To get a sense of the scales involved, imagine that the year is 1970 and big, fast cars are in. Slim, having just spent all his savings on a new Trans Am, goes with his brother Jim to the local drag strip to give the car the kind of test-drive forbidden by the dealer. After revving up the car, Slim streaks down the mile-long strip at 120 miles per hour while Jim stands on the sideline and times him. Wanting an independent confirmation, Slim also uses a stopwatch to determine how long it takes his new car to traverse the track. Prior to Einstein's work, no one would have questioned that if both Slim and Jim have properly functioning stopwatches, each will measure the identical elapsed time. But according to special relativity, while Jim will measure an elapsed time of 30 seconds, Slim's stopwatch will record an elapsed time of 29.99999999999952 seconds-a tiny bit less. Of course, this difference is so small that it could be detected only through a measurement whose accuracy is well beyond the capacity of hand-held stopwatches run by the press of a finger, Olympic-quality timing systems, or even the most precisely engineered atomic clocks. It is no wonder that our everyday experiences do not reveal the fact that the passage of time depends upon our state of motion.
+There will be a similar disagreement on measurements of length. For example, on another test run Jim uses a clever trick to measure the length of Slim's new car: he starts his stopwatch just as the front of the car reaches him and he stops it just as the back of the car passes. Since Jim knows that Slim is speeding along at 120 miles per hour, he is able to figure out the length of the car by multiplying this speed by the elapsed time on his stopwatch. Again, prior to Einstein, no one would have questioned that the length Jim measures in this indirect way would agree exactly with the length Slim carefully measured when the car sat motionless on the showroom floor. Special relativity proclaims, on the contrary, that if Slim and Jim carry out precise measurements in this manner and Slim finds the car to be, say, exactly 16 feet long, then Jim's measurement will find the car to be 15.99999999999974 feet long-a tiny bit less. As with the measurement of time, this is such a minuscule difference that ordinary instruments are just not accurate enough to detect it.
+Although the differences are extremely small, they show a fatal flaw in the commonly held conception of universal and immutable space and time. As the relative velocity of individuals such as Slim and Jim gets larger, this flaw becomes increasingly apparent. To achieve noticeable differences, the speeds involved must be a sizeable fraction of the maximum possible speed-that of light-which Maxwell's theory and experimental measurements show to be about 186,000 miles per second, or about 670 million miles per hour. This is fast enough to circle the earth more than seven times in a second. If Slim, for example, were to travel not at 120 miles per hour but at 580 million miles per hour (about 87 percent of light speed), the mathematics of special relativity predicts that Jim would measure the length of the car to be about eight feet, which is substantially different from Slim's measurement (as well as the specifications in the owner's manual). Similarly, the time to traverse the drag strip according to Jim will be about twice as long as the time measured by Slim.
+Since such enormous speeds are far beyond anything currently attainable, the effects of "time dilation" and "Lorentz contraction," as these phenomena are technically called, are extremely small in day-to-day life. If we happened to live in a world in which things typically traveled at speeds close to that of light, these properties of space and time would be so completely intuitive-since we would experience them constantly-that they would deserve no more discussion than the apparent motion of trees on the side of the road mentioned at the outset of this chapter. But since we don't live in such a world, these features are unfamiliar. As we shall see, understanding and accepting them requires that we subject our worldview to a thorough makeover.
+The Principle of Relativity
+There are two simple yet deeply rooted structures that form the foundation of special relativity. As mentioned, one concerns properties of light; we shall discuss this more fully in the next section. The other is more abstract. It is concerned not with any specific physical law but rather with all physical laws, and is known as the principle of relativity The principle of relativity rests on a simple fact: Whenever we discuss speed or velocity (an object's speed and its direction of motion), we must specify precisely who or what is doing the measuring. Understanding the meaning and importance of this statement is easily accomplished by contemplating the following situation.
+Imagine that George, who is wearing a spacesuit with a small, red flashing light, is floating in the absolute darkness of completely empty space, far away from any planets, stars, or galaxies. From George's perspective, he is completely stationary, engulfed in the uniform, still blackness of the cosmos. Off in the distance, George catches sight of a tiny, green flashing light that appears to be coming closer and closer. Finally, it gets close enough for George to see that the light is attached to the spacesuit of another space-dweller, Gracie, who is slowly floating by. She waves as she passes, as does George, and she recedes into the distance. This story can be told with equal validity from Gracie's perspective. It begins in the same manner with Gracie completely alone in the immense still darkness of outer space. Off in the distance, Gracie sees a red flashing light, which appears to be coming closer and closer. Finally, it gets close enough for Gracie to see that it is attached to the spacesuit of another being, George, who is slowly floating by. He waves as he passes, as does Gracie, and he recedes into the distance.
+The two stories describe one and the same situation from two distinct but equally valid points of view. Each observer feels stationary and perceives the other as moving. Each perspective is understandable and justifiable. As there is symmetry between the two space-dwellers, there is, on quite fundamental grounds, no way of saying one perspective is "right" and the other "wrong." Each perspective has an equal claim on truth.
+This example captures the meaning of the principle of relativity: The concept of motion is relative. We can speak about the motion of an object, but only relative to or by comparison with another. There is thus no meaning to the statement "George is traveling at 10 miles per hour," as we have not specified any other object for comparison. There is meaning to the statement "George is traveling at 10 miles per hour past Gracie," as we have now specified Gracie as the benchmark. As our example shows, this last statement is completely equivalent to "Gracie is traveling at 10 miles per hour past George (in the opposite direction)." In other words, there is no "absolute" notion of motion. Motion is relative.
+A key element of this story is that neither George nor Gracie is being pushed, pulled, or in any other way acted upon by a force or influence that could disturb their serene state of force-free, constant-velocity motion. Thus, a more precise statement is that force-free motion has meaning only by comparison with other objects. This is an important clarification, because if forces are involved, they cause changes in the velocity of the observers-changes to their speed and/or their direction of motion-and these changes can be felt. For instance, if George were wearing a jet-pack firing away from his back, he would definitely feel that he was moving. This feeling is intrinsic. If the jet-pack is firing away, George knows he is moving, even if his eyes are closed and therefore can make no comparisons with other objects. Even without such comparisons, he would no longer claim that he was stationary while "the rest of the world was moving by him." Constant-velocity motion is relative; not so for non-constant-velocity motion, or, equivalently, accelerated motion. (We will re-examine this statement in the next chapter when we take up accelerated motion and discuss Einstein's general theory of relativity.)
+Setting these stories in the darkness of empty space aids understanding by removing such familiar things as streets and buildings, which we typically, although unjustifiably, accord the special status of "stationary." Nonetheless, the same principle applies to terrestrial settings, and in fact is commonly experienced.1 For example, imagine that after you have fallen asleep on a train, you awake just as your train is passing another on adjacent parallel tracks. With your view through the window completely blocked by the other train, thereby preventing you from seeing any other objects, you may temporarily be uncertain as to whether your train is moving, the other train is moving, or both. Of course, if your train shakes or jostles, or if the train changes direction by rounding a bend, you can feel that you are moving. But if the ride is perfectly smooth-if the train's velocity remains constant-you will observe relative motion between the trains without being able to tell for certain which is moving.
+Let's take this one step further. Imagine you are on such a train and that you pull down the shades so that the windows are fully covered. Without the ability to see anything outside your own compartment, and assuming that the train moves at absolutely constant velocity, there will be no way for you to determine your state of motion. The compartment around you will look precisely the same regardless of whether the train is sitting still on the tracks or moving at high speed. Einstein formalized this idea, one that actually goes back to insights of Galileo, by proclaiming that it is impossible for you or any fellow traveler to perform an experiment within the closed compartment that will determine whether or not the train is moving. This again captures the principle of relativity: since all force-free motion is relative, it has meaning only by comparison with other objects or individuals also undergoing force-free motion. There is no way for you to determine anything about your state of motion without making some direct or indirect comparison with "outside" objects. There simply is no notion of "absolute" constant-velocity motion; only comparisons have any physical meaning.
+In fact, Einstein realized that the principle of relativity makes an even grander claim: the laws of physics-whatever they may be-must be absolutely identical for all observers undergoing constant-velocity motion. If George and Gracie are not just floating solo in space, but, rather, are each conducting the same set of experiments in their respective floating space-stations, the results they find will be identical. Once again, each is perfectly justified in believing that his or her station is at rest, even though the two stations are in relative motion. If all of their equipment is identical, there is nothing distinguishing the two experimental setups-they are completely symmetric. The laws of physics that each deduces from the experiments will likewise be identical. Neither they nor their experiments can feel-that is, depend upon in any way-constant-velocity travel. It is this simple concept that establishes complete symmetry between such observers; it is this concept that is embodied in the principle of relativity. We shall shortly make use of this principle to profound effect.
+The Speed of Light
+The second key ingredient in special relativity has to do with light and properties of its motion. Contrary to our claim that there is no meaning to the statement "George is traveling at 10 miles per hour" without a specified benchmark for comparison, almost a century of effort by a series of dedicated experimental physicists has shown that any and all observers will agree that light travels at 670 million miles per hour regardless of benchmarks for comparison.
+This fact has required a revolution in our view of the universe. Let's first gain an understanding of its meaning by contrasting it with similar statements applied to more common objects. Imagine it's a nice, sunny day and you go outside to play a game of catch with a friend. For a while, you both leisurely throw the ball back and forth with a speed of, say, 20 feet per second, when suddenly an unexpected electrical storm stirs overhead, sending you both running for cover. After it passes, you rejoin to resume your game of catch but you notice that something has changed. Your friend's hair has become wild and spiky, and her eyes have grown severe and crazed, When you look at her hand, you are stunned to see that she is no longer planning to play catch with a baseball, but instead is about to toss you a hand grenade. Understandably, your enthusiasm for playing catch diminishes substantially; you turn to run. When your companion throws the grenade, it will still fly toward you, but because you are running, the speed with which it approaches you will be less than 20 feet per second. In fact, common experience tells us that if you can run at, say, 12 feet per second then the hand-grenade will approach you at (20 - 12 =) 8 feet per second. As another example, if you are in the mountains and an avalanche of snow is rumbling toward you, your inclination is to turn and run because this will cause the speed with which the snow approaches you to decrease-and this, generally, is a good thing. Again, a stationary individual perceives the speed of the approaching snow to be greater than that perceived by someone in retreat.
+Now, let's compare these basic observations about baseballs, grenades, and avalanches to those about light. To make the comparisons tighter, think about a light beam as composed of tiny "packets" or "bundles" known as photons (a feature of light we will discuss more fully in Chapter 4). When we turn on a flashlight or a laser beam we are, in effect, shooting a stream of photons in whatever direction we point the device. As we did for grenades and avalanches, let's consider how the motion of a photon appears to someone who is moving. Imagine that your crazed friend has swapped her grenade for a powerful laser. If she fires the laser toward you-and if you had the appropriate measuring equipment-you would find that the speed of approach of the photons in the beam is 670 million miles per hour. But what if you run away, as you did when faced with the prospect of playing catch with a hand grenade? What speed will you now measure for the approaching photons? To make things more compelling, imagine that you can hitch a ride on the starship Enterprise and zip away from your friend at, say, 100 million miles per hour. Following the reasoning based on the traditional Newtonian worldview, since you are now speeding away, you would expect to measure a slower speed for the oncoming photons. Specifically, you would expect to find them approaching you at (670 million miles per hour - 100 million miles per hour =) 570 million miles per hour.
+Mounting evidence from a variety of experiments dating back as far as the 1880s, as well as careful analysis and interpretation of Maxwell's electromagnetic theory of light, slowly convinced the scientific community that, in fact, this is not what you will see. Even though you are retreating, you will still measure the speed of the approaching photons as 670 million miles per hour, not a bit less. Although at first it sounds completely ridiculous, unlike what happens if one runs from an oncoming baseball, grenade, or avalanche, the speed of approaching photons is always 670 million miles per hour. The same is true if you run toward oncoming photons or chase after them-their speed of approach or recession is completely unchanged; they still appear to travel at 670 million miles per hour. Regardless of relative motion between the source of photons and the observer, the speed of light is always the same.
+Technological limitations are such that the "experiments" with light, as described, cannot actually be carried out. However, comparable experiments can. For instance, in 1913 the Dutch physicist Willem de Sitter suggested that fast-moving binary stars (two stars that orbit one another) could be used to measure the effect of a moving source on the speed of light. Various experiments of this sort over the past eight decades have verified that the speed of light received from a moving star is the same as that from a stationary star-670 million miles per hour-to within the impressive accuracy of ever more refined measuring devices. Moreover, a wealth of other detailed experiments has been carried out during the past century-experiments that directly measure the speed of light in various circumstances, as well as test many of the implications arising from this characteristic of light, as discussed shortly-and all have confirmed the constancy of the speed of light.
+If you find this property of light hard to swallow, you are not alone. At the turn of the century physicists went to great length to refute it. They couldn't. Einstein, to the contrary, embraced the constancy of the speed of light, for here was the answer to the paradox that had troubled him since he was a teenager: No matter how hard you chase after a light beam, it still retreats from you at light speed. You can't make the apparent speed with which light departs one iota less than 670 million miles per hour, let alone slow it down to the point of appearing stationary. Case closed. But this triumph over paradox was no small victory. Einstein realized that the constancy of light's speed spelled the downfall of Newtonian physics.
+Truth and Consequences
+Speed is a measure of how far an object can travel in a given duration of time. If we are in a car going 65 miles per hour, this means of course that we will travel 65 miles if we persist in this state of motion for an hour. Phrased in this manner, speed is a rather mundane concept, and you may wonder about the fuss we have made regarding the speed of baseballs, snowballs, and photons. However, let's note that distance is a notion about space-in particular it is a measure of how much space there is between two points. Also note that duration is a notion about time-how much time elapses between two events. Speed, therefore, is intimately connected with our notions of space and time. When we phrase it this way, we see that any experimental fact that defies our common conception about speed, such as the constancy of the speed of light, has the potential to defy our common conceptions of space and time themselves. It is for this reason that the strange fact about the speed of light deserves detailed scrutiny-scrutiny given to it by Einstein, leading him to remarkable conclusions.
+The Effect on Time: Part I
+With minimal effort, we can make use of the constancy of the speed of light to show that the familiar everyday conception of time is plain wrong. Imagine that the leaders of two warring nations, sitting at opposite ends of a long negotiating table, have just concluded an agreement for a cease-fire, but neither wants to sign the accord before the other. The secretary-general of the United Nations comes up with a brilliant resolution. A light bulb, initially turned off, will be placed midway between the two presidents. When it is turned on, the light it emits will reach each of the presidents simultaneously, since they are equidistant from the bulb. Each president agrees to sign a copy of the accord when he or she sees the light. The plan is carried out and the agreement is signed to the satisfaction of both sides.
+Flushed with success, the secretary-general makes use of the same approach with two other embattled nations that have also reached a peace agreement. The only difference is that the presidents involved in this negotiation are sitting at opposite ends of a table inside a train traveling along at constant velocity. Fittingly, the president of Forwardland is facing in the direction of the train's motion while the president of Backwardland is facing in the opposite direction. Familiar with the fact that the laws of physics take precisely the same form regardless of one's state of motion so long as this motion is unchanging, the secretary-general takes no heed of this difference, and carries out the light bulb-initiated signing ceremony as before. Both presidents sign the agreement, and along with their entourage of advisers, celebrate the end of hostilities.
+Just then, word arrives that fighting has broken out between people from each country who had been watching the signing ceremony from the platform outside the moving train. All those on the negotiation train are dismayed to hear that the reason for the renewed hostilities is the claim by people from Forwardland that they have been duped, as their president signed the agreement before the president of Backwardland. As everyone on the train-from both sides-agrees that the accord was signed simultaneously, how can it be that the outside observers watching the ceremony think otherwise?
+Let's consider in more detail the perspective of an observer on the platform. Initially the bulb on the train is dark, and then at a particular moment it illuminates, sending beams of light speeding toward both presidents. From the perspective of a person on the platform, the president of Forwardland is heading toward the emitted light while the president of Backwardland is retreating. This means, to the platform observers, that the light beam does not have to travel as far to reach the president of Forwardland, who moves toward the approaching light, as it does to reach the president of Backwardland, who moves away from it. This is not a statement about the speed of the light as it travels toward the two presidents-we have already noted that regardless of the state of motion of the source or the observer, the speed of light is always the same. Instead, we are describing only how far, from the vantage point of the platform observers, the initial flash of light must travel to reach each of the presidents. Since this distance is less for the president of Forwardland than it is for the president of Backwardland, and since the speed of light toward each is the same, the light will reach the president of Forwardland first. This is why the citizens of Forwardland claim to have been duped.
+When CNN broadcasts the eyewitness account, the secretary-general, the two presidents, and all of their advisers can't believe their ears. They all agree that the light bulb was secured firmly, exactly midway between the two presidents and that therefore, without further ado, the light it emitted traveled the same distance to reach each of them. Since the speed of the emitted light to the left and to the right is the same, they believe, and in fact observed, that the light clearly reached each president simultaneously.
+Who is right, those on or off the train? The observations of each group and their supporting explanations are impeccable. The answer is that both are right. Like our two space inhabitants George and Gracie, each perspective has an equal claim on truth. The only subtlety here is that the respective truths seem to be contradictory. An important political issue is at stake: Did the presidents sign the agreement simultaneously? The observations and reasoning above ineluctably lead us to the conclusion that according to those on the train they did while according to those on the platform they did not. In other words, things that are simultaneous from the viewpoint of some observers will not be simultaneous from the viewpoint of others, if the two groups are in relative motion.
+This is a startling conclusion. It is one of the deepest insights into the nature of reality ever discovered. Nevertheless, if long after you set down this book you remember nothing of this chapter except for the ill-fated attempt at détente, you will have retained the essence of Einstein's discovery. Without highbrow mathematics or a convoluted chain of logic, this completely unexpected feature of time follows directly from the constancy of the speed of light, as the scenario illustrates. Notice that if the speed of light were not constant but behaved according to our intuition based on slow-moving baseballs and snowballs, the platform observers would agree with those on the train. A platform observer would still claim that the photons have to travel farther to reach the president of Backwardland than they do to reach the president of Forwardland. However, usual intuition implies that the light approaching the president of Backwardland would be moving more quickly, having received a "kick" from the forward-moving train. Similarly, these observers would see that the light approaching the president of Forwardland would be moving more slowly, being "dragged" back by the train's motion. When these (erroneous) effects were considered, the observers on the platform would see that that the light beams reached each president simultaneously. However, in the real world light does not speed up or slow down, it cannot be kicked to a higher speed or dragged to a slower one. Platform observers will therefore justifiably claim that the light reached the president of Forwardland first.
+The constancy of the speed of light requires that we give up the age-old notion that simultaneity is a universal concept that everyone, regardless of their state of motion, agrees upon. The universal clock previously envisioned to dispassionately tick off identical seconds here on earth and on Mars and on Jupiter and in the Andromeda galaxy and in each and every nook and cranny of the cosmos does not exist. On the contrary, observers in relative motion will not agree on which events occur at the same time. Once again, the reason that this conclusion-a bona fide characteristic of the world we inhabit-is so unfamiliar is that the effects are extremely small when the speeds involved are those commonly encountered in everyday experience. If the negotiating table were 100 feet long and the train were moving at 10 miles per hour, platform observers would "see" that the light reached the president of Forwardland about a millionth of a billionth of a second before it reached the president of Backwardland. Although this represents a genuine difference, it is so tiny that it cannot be detected directly by human senses. If the train were moving considerably faster, say at 600 million miles per hour, from the perspective of someone on the platform the light would take almost 20 times as long to reach the president of Backwardland compared with the time to reach the president of Forwardland. At high speeds, the startling effects of special relativity become increasingly pronounced.
+The Effect on Time: Part II
+It is difficult to give an abstract definition of time-attempts to do so often wind up invoking the word "time" itself, or else go through linguistic contortions simply to avoid doing so. Rather than proceeding down such a path, we can take a pragmatic viewpoint and define time to be that which is measured by clocks. Of course, this shifts the burden of definition to the word "clock"; here we can somewhat loosely think of a clock as a device that undergoes perfectly regular cycles of motion. We will measure time by counting the number of cycles our clock goes through. A familiar clock such as a wristwatch meets this definition; it has hands that move in regular cycles of motion and we do indeed measure elapsed time by counting the number of cycles (or fractions thereof) that the hands swing through between chosen events.
+Of course, the meaning of "perfectly regular cycles of motion" implicitly involves a notion of time, since "regular" refers to equal time durations elapsing for each cycle. From a practical standpoint we address this by building clocks out of simple physical components that, on fundamental grounds, we expect to undergo repetitive cyclical evolutions that do not change in any manner from one cycle to the next. Grandfather clocks with pendulums that swing back and forth and atomic clocks based on repetitive atomic processes provide simple examples.
+Our goal is to understand how motion affects the passage of time, and since we have defined time operationally in terms of clocks, we can translate our question into how motion affects the "ticking" of clocks. It is crucial to emphasize at the outset that our discussion is not concerned with how the mechanical elements of a particular clock happen to respond to shaking or jostling that might result from bumpy motion. In fact, we will consider only the simplest and most serene kind of motion-motion at absolutely constant velocity-and therefore there will not be any shaking or jostling at all. Rather, we are interested in the universal question of how motion affects the passage of time and therefore how it fundamentally affects the ticking of any and all clocks regardless of their particular design or construction.
+For this purpose we introduce the world's conceptually simplest (yet most impractical) clock. It is known as a "light clock" and consists of two small mirrors mounted on a bracket facing one another, with a single photon of light bouncing back and forth between them (see Figure 2.1). If the mirrors are about six inches apart, it will take the photon about a billionth of a second to complete one round-trip journey. "Ticks" on the light clock may be thought of as occurring every time the photon completes a round-trip-a billion ticks means that one second has elapsed.
+We can use the light clock like a stopwatch to measure the time elapsed between events: We simply count how many ticks occur during the period of interest and multiply by the time corresponding to one tick. For instance, if we are timing a horse race and count that between the start and finish the number of round-trip photon journeys is 55 billion, we can conclude that the race took 55 seconds.
+The reason we use the light clock in our discussion is that its mechanical simplicity pares away extraneous details and therefore provides us with the clearest insight into how motion affects the passage of time. To see this, imagine that we are idly watching the passage of time by looking at a ticking light clock placed on a nearby table. Then, all of sudden, a second light clock slides by on the table, moving at constant velocity (see Figure 2.2) The question we ask is whether the moving light clock will tick at the same rate as the stationary light clock?
+To answer the question, let's consider the path, from our perspective, that the photon in the sliding clock must take in order for it to result in a tick. The photon starts at the base of the sliding clock, as in Figure 2.2, and first travels to the upper mirror. Since, from our perspective, the clock is moving, the photon must travel at an angle, as shown in Figure 2.3. If the photon did not travel along this path, it would miss the upper mirror and fly off into space. As the sliding clock has every right to claim that it's stationary and everything else is moving, we know that the photon will hit the upper mirror and hence the path we have drawn is correct. The photon bounces off the upper mirror and again travels a diagonal path to hit the lower mirror, and the sliding clock ticks. The simple but essential point is that the double diagonal path that we see the photon traverse is longer than the straight up-and-down path taken by the photon in the stationary clock; in addition to traversing the up-and-down distance, the photon in the sliding clock must also travel to the right, from our perspective. Moreover, the constancy of the speed of light tells us that the sliding clock's photon travels at exactly the same speed as the stationary clock's photon. But since it must travel farther to achieve one tick it will tick less frequently. This simple argument establishes that the moving light clock, from our perspective, ticks more slowly than the stationary light clock. And since we have agreed that the number of ticks directly reflects how much time has passed, we see that the passage of time has slowed down for the moving clock.
+You might wonder whether this merely reflects some special feature of light clocks and would not apply to grandfather clocks or Rolex watches. Would time as measured by these more familiar clocks also slow down? The answer is a resounding yes, as can be seen by an application of the principle of relativity. Let's attach a Rolex watch to the top of each of our light clocks, and rerun the preceding experiment. As discussed, a stationary light clock and its attached Rolex measure identical time durations, with a billion ticks on the light clock occurring for every one second of elapsed time on the Rolex. But what about the moving light clock and its attached Rolex? Does the rate of ticking on the moving Rolex slow down so that it stays synchronized with the light clock to which it is attached? Well, to make the point most forcefully, imagine that the light clock-Rolex watch combination is moving because it is bolted to the floor of a windowless train compartment gliding along perfectly straight and smooth tracks at constant speed. By the principle of relativity, there is no way for an observer on this train to detect any influence of the train's motion. But if the light clock and Rolex were to fall out of synchronization, this would be a noticeable influence indeed. And so the moving light clock and its attached Rolex must still measure equal time durations; the Rolex must slow down in exactly the same way that the light clock does. Regardless of brand, type, or construction, clocks that are moving relative to one another record the passage of time at different rates.
+The light clock discussion also makes clear that the precise time difference between stationary and moving clocks depends on how much farther the sliding clock's photon must travel to complete each round-trip journey This in turn depends on how quickly the sliding clock is moving-from the viewpoint of a stationary observer, the faster the clock is sliding, the farther the photon must travel to the right. We conclude that in comparison to a stationary clock, the rate of ticking of the sliding clock becomes slower and slower as it moves faster and faster.2
+To get a sense of scale, note that the photon traverses one round-trip in about a billionth of a second. For the clock to be able to travel an appreciable distance during the time for one tick it must therefore be traveling enormously quickly-that is, some significant fraction of the speed of light. If it is traveling at more commonplace speeds like 10 miles per hour, the distance it can move to the right before one tick is completed is minuscule-just about 15 billionths of a foot. The extra distance that the sliding photon must travel is tiny and it has a correspondingly tiny effect on the rate of ticking of the moving clock. And again, by the principle of relativity, this is true for all clocks-that is, for time itself. This is why beings such as ourselves who travel relative to one another at such slow speeds are generally unaware of the distortions in the passage of time. The effects, although present to be sure, are incredibly small. If, on the other hand, we were able to grab hold of the sliding clock and move with it at, say, three-quarters the speed of light, the equations of special relativity can be used to show that stationary observers would see our moving clock ticking at just about two-thirds the rate of their own. A significant effect, indeed.
+Life on the Run
+We have seen that the constancy of the speed of light implies that a moving light clock ticks more slowly than a stationary light clock. And by the principle of relativity, this must be true not only for light clocks but also for any clock-it must be true of time itself. Time elapses more slowly for an individual in motion than it does for a stationary individual. If the fairly simple reasoning that has led us to this conclusion is correct, then, for instance, shouldn't one be able to live longer by being in motion rather than staying stationary? After all, if time elapses more slowly for an individual in motion than for an individual at rest, then this disparity should apply not just to time as measured by watches but also to time as measured by heartbeats and the decay of body parts. This is the case, as has been directly confirmed-not with the life expectancy of humans, but with certain particles from the microworld: muons. There is one important catch, however, that prevents us from proclaiming a newfound fountain of youth.
+When sitting at rest in the laboratory, muons disintegrate by a process closely akin to radioactive decay, in an average of about two millionths of a second. This disintegration is an experimental fact supported by an enormous amount of evidence. It's as if a muon lives its life with a gun to its head; when it reaches two millionths of a second in age, it pulls the trigger and explodes apart into electrons and neutrinos. But if these muons are not sitting at rest in the laboratory and instead are traveling through a piece of equipment known as a particle accelerator that boosts them to just shy of light-speed, their average life expectancy as measured by scientists in the laboratory increases dramatically. This really happens. At 667 million miles per hour (about 99.5 percent of light speed), the muon lifetime is seen to increase by a factor of about ten. The explanation, according to special relativity, is that "wristwatches" worn by the muons tick much more slowly than the clocks in the laboratory, so long after the laboratory clocks say that the muons should have pulled their triggers and exploded, the watches on the fast-moving muons have yet to reach doom time. This is a very direct and dramatic demonstration of the effect of motion on the passage of time. If people were to zip around as quickly as these muons, their life expectancy would also increase by the same factor. Rather than living seventy years, people would live 700 years.3
+Now for the catch. Although laboratory observers see fast-moving muons living far longer than their stationary brethren, this is due to time elapsing more slowly for the muons in motion. This slowing of time applies not just to the watches worn by the muons but also to all activities they might undertake. For instance, if a stationary muon can read 100 books in its short lifetime, its fast-moving cousin will also be able to read the same 100 books, because although it appears to live longer than the stationary muon, its rate of reading-as well as everything else in its life-has slowed down as well. From the laboratory perspective, it's as if the moving muon is living its life in slow motion; from this viewpoint the moving muon will live longer than a stationary one, but the "amount of life" the muon will experience is precisely the same. The same conclusion, of course, holds true for the fast-moving people with a life expectancy of centuries. From their perspective, it's life as usual. From our perspective they are living life in hyper-slow motion and therefore one of their normal life cycles takes an enormous amount of our time.
+Who Is Moving, Anyway?
+The relativity of motion is both the key to understanding Einstein's theory and a potential source of confusion. You may have noticed that a reversal of perspective interchanges the roles of the "moving" muons, whose watches we have argued run slowly, and their "stationary" counterparts. Just as both George and Gracie had an equal right to declare that they were stationary and that the other was moving, the muons we have described as being in motion are fully justified in proclaiming that, from their perspective, they are motionless and that it is the "stationary" muons that are moving, in the opposite direction. The arguments presented can be applied equally well from this perspective, leading to the seemingly opposite conclusion that watches worn by the muons we christened as stationary are running slow compared with those worn by the muons we described as moving.
+We have already met a situation, the signing ceremony with the light bulb, in which different viewpoints lead to results that seem to be completely at odds. In that case we were forced by the basic reasoning of special relativity to give up the ingrained idea that everyone, regardless of state of motion, agrees about which events happen at the same time. The present incongruity, though, appears to be worse. How can two observers each claim that the other's watch is running slower? More dramatically, the different but equally valid muon perspectives seem to lead us to the conclusion that each group will claim that it is the other group that dies first. We are learning that the world can have some unexpectedly strange features, but we would hope that it does not cross into the realm of logical absurdity. So what's going on?
+As with all apparent paradoxes arising from special relativity, under close examination these logical dilemmas resolve to reveal new insights into the workings of the universe. To avoid ever more severe anthropomorphizing, let's switch from muons back to George and Gracie, who now, in addition to their flashing lights, have bright digital clocks on their spacesuits. From George's perspective, he is stationary while Gracie with her flashing green light and large digital clock appears in the distance and then passes him in the blackness of empty space. He notices that Gracie's clock is running slow in comparison to his (with the rate of slowdown depending on how fast they pass one another). Were he a bit more astute, he would also note that in addition to the passage of time on her clock, everything about Gracie-the way she waves as she passes, the speed with which she blinks her eyes, and so on-is occurring in slow motion. From Gracie's perspective, exactly the same observations apply to George.
+Although this seems paradoxical, let's try to pinpoint a precise experiment that would reveal a logical absurdity. The simplest possibility is to arrange things so that when George and Gracie pass one another they both set their clocks to read 12:00. As they travel apart, each claims that the other's clock is running slower. To confront this disagreement head on, George and Gracie must rejoin each other and directly compare the time elapsed on their clocks. But how can they do this? Well, George has a jetpack that he can use, from his perspective, to catch up with Gracie. But if he does this, the symmetry of their two perspectives, which is the cause of the apparent paradox, is broken since George will have undergone accelerated, non-force-free motion. When they rejoin in this manner, less time will indeed have elapsed on George's clock as he can now definitively say that he was in motion, since he could feel it. No longer are George's and Gracie's perspectives on equal footing. By turning on the jet-pack, George relinquishes his claim to being at rest.
+If George chases after Gracie in this manner, the time difference that their clocks will show depends on their relative velocity and the details of how George uses his jet-pack. As is by now familiar, if the speeds involved are small, the difference will be minuscule. But if substantial fractions of light speed are involved, the differences can be minutes, days, years, centuries, or more. As one concrete example, imagine that the relative speed of George and Gracie when they pass and are moving apart is 99.5 percent of light speed. Further, let's say that George waits 3 years, according to his clock, before firing up his jet-pack for a momentary blast that sends him closing in on Gracie at the same speed that they were previously moving apart, 99.5 percent of light speed. When he reaches Gracie, 6 years will have elapsed on his clock since it will take him 3 years to catch her. However, the mathematics of special relativity shows that 60 years will have elapsed on her clock. This is no sleight of hand: Gracie will have to search her distant memory, some 60 years before, to recall passing George in space. For George, on the other hand, it was a mere 6 years ago. In a real sense, George's motion has made him a time traveler, albeit in a very precise sense: He has traveled into Gracie's future.
+Getting the two clocks back together for direct comparison might seem to be merely a logistical nuisance, but it is really at the heart of the matter. We can imagine a variety of tricks to circumvent this chink in the paradox armor, but all ultimately fail. For instance, rather than bringing the clocks back together, what if George and Gracie compare their clocks by cellular telephone communication? If such communication were instantaneous, we would be faced with an insurmountable inconsistency: reasoning from Gracie's perspective, George's clock is running slow and hence he must communicate less elapsed time; reasoning from George's perspective, Gracie's clock is running slow and hence she must communicate less elapsed time. They both can't be right, and we would be sunk. The key point of course is that cell phones, like all forms of communication, do not transmit their signals instantaneously. Cell phones operate with radio waves, a form of light, and the signal they transmit therefore travels at light speed. This means that it takes time for the signals to be received-just enough time delay, in fact, to make each perspective compatible with the other.
+Let's see this, first, from George's perspective. Imagine that every hour, on the hour, George recites into his cell phone, "It's twelve o'clock and all is well," "It's one o'clock and all is well," and so forth. Since from his perspective Gracie's clock runs slow, at first blush he thinks that Gracie will receive these messages prior to her clock's reaching the appointed hour. In this way, he concludes, Gracie will have to agree that hers is the slow clock. But then he rethinks it: "Since Gracie is receding from me, the signal I send to her by cell phone must travel ever longer distances to reach her. Maybe this additional travel time compensates for the slowness of her clock." George's realization that there are competing effects-the slowness of Gracie's clock vs. the travel time of his signal-inspires him to sit down and quantitatively work out their combined effect. The result he finds is that the travel time effect more than compensates for the slowness of Gracie's clock. He comes to the surprising conclusion that Gracie will receive his signals proclaiming the passing of an hour on his clock after the appointed hour has passed on hers. In fact, since George is aware of Gracie's expertise in physics, he knows that she will take the signal's travel time into account when drawing conclusions about his clock based on his cell phone communications. A little more calculation quantitatively shows that even taking the travel time into account, Gracie's analysis of his signals will lead her to the conclusion that George's clock ticks more slowly than hers.
+Exactly the same reasoning applies when we take Gracie's perspective, with her sending out hourly signals to George. At first the slowness of George's clock from her perspective leads her to think that he will receive her hourly messages prior to broadcasting his own. But when she takes into account the ever longer distances her signal must travel to catch George as he recedes into the darkness, she realizes that George will actually receive them after sending out his own. Once again, she realizes that even if George takes the travel time into account, he will conclude from Gracie's cell phone communications that her clock is running slower than his.
+So long as neither George nor Gracie accelerates, their perspectives are on precisely equal footing. Even though it seems paradoxical, in this way they both realize that it is perfectly consistent for each to think the other's clock is running slow.
+Motion's Effect on Space
+The preceding discussion reveals that observers see moving clocks ticking more slowly than their own-that is, time is affected by motion. It is a short step to see that motion has an equally dramatic effect on space. Let's return to Slim and Jim on the drag strip. While in the showroom, as we mentioned, Slim had carefully measured the length of his new car with a tape measure. As Slim is speeding along the drag strip, Jim cannot apply this method to measure the length of the car, so he must proceed in an indirect manner. One such approach, as we indicated earlier, is this: Jim starts his stopwatch just when the front bumper of the car reaches him and stops it just as the rear bumper passes. By multiplying the elapsed time by the speed of the car, Jim can determine the car's length.
+Using our newfound appreciation of the subtleties of time, we realize that from Slim's perspective he is stationary while Jim is moving, and hence Slim sees Jim's clock as running slow. As a result, Slim realizes that Jim's indirect measurement of the car's length will yield a shorter result than he measured in the showroom, since in Jim's calculation (length equals speed multiplied by elapsed time) Jim measures the elapsed time on a watch that is running slow. If it runs slow, the elapsed time he finds will be less and the result of his calculation will be a shorter length.
+Thus Jim will perceive the length of Slim's car, when it is in motion, to be less than its length when measured at rest. This is an example of the general phenomenon that observers perceive a moving object as being shortened along the direction of its motion. For instance, the equations of special relativity show that if an object is moving at about 98 percent of light speed, then a stationary observer will view it as being 80 percent shorter than if it were at rest. This phenomenon is illustrated in Figure 2.4.4
+Motion through Spacetime
+The constancy of the speed of light has resulted in a replacement of the traditional view of space and time as rigid and objective structures with a new conception in which they depend intimately on the relative motion between observer and observed. We could end our discussion here, having realized that moving objects evolve in slow motion and are foreshortened. Special relativity, though, provides a more deeply unified perspective to encompass these phenomena.
+To understand this perspective, let's imagine a rather impractical automobile that rapidly attains its cruising speed of 100 miles per hour and sticks to this speed, no more, no less, until it is shut off and rolls to a halt.
+Let's also imagine that, due to his growing reputation as a skilled driver, Slim is asked to test-drive the vehicle on a long, straight, and wide track in the middle of a flat stretch of desert. As the distance between the start and finish lines is 10 miles, the car should cover this distance in one-tenth of an hour, or six minutes. Jim, who moonlights as an automobile engineer, inspects the data recorded from dozens of test-drives and is disturbed to see that although most were timed to be six minutes, the last few are a good deal longer: 6.5, 7, and even 7.5 minutes. At first he suspects a mechanical problem, since those times seem to indicate that the car was traveling slower than 100 miles per hour on the last three runs. Yet after examining the car extensively he convinces himself that it is in perfect condition. Unable to explain the anomalously long times, he consults Slim and asks him about the final few runs. Slim has a simple explanation. He tells Jim that, since the track runs from east to west, as it got later in the day, the sun was glaring into his view. During the last three runs it was so bad that he drove from one end of the track to the other at a slight angle. He draws a rough sketch of the path he took on the last three runs, and it is shown in Figure 2.5. The explanation for the three longer times is now perfectly clear: the path from start to finish is longer when traveling at an angle and therefore, at the same speed of 100 miles per hour, it will take more time to cover. Put another way, when traveling at an angle, part of the 100 miles per hour is expended on going from south to north, leaving a bit less to accomplish the trip from east to west. This implies that it will take a little longer to traverse the strip.
+As stated, Slim's explanation is easy to understand; however, it is worth rephrasing it slightly for the conceptual leap we are about to take. The north-south and east-west directions are two independent spatial dimensions in which a car can move. (It can also move vertically, when traversing a mountain pass, for example, but we will not need that ability here.) Slim's explanation illustrates that even though the car was traveling at 100 miles per hour on each and every run, during the last few runs it shared this speed between the two dimensions and hence appeared to be going slower than 100 miles per hour in the east-west direction. During the previous runs, all 100 miles per hour were devoted to purely east-west motion; during the last three, part of this speed was used for north-south motion as well.
+Einstein found that precisely this idea-the sharing of motion between different dimensions-underlies all of the remarkable physics of special relativity, so long as we realize that not only can spatial dimensions share an object's motion, but the time dimension can share this motion as well. In fact, in the majority of circumstances, most of an object's motion is through time, not space. Let's see what this means.
+Motion through space is a concept we learn about early in life. Although we often don't think of things in such terms, we also learn that we, our friends, our belongings, and so forth all move through time, as well. When we look at a clock or a wristwatch, even while we idly sit and watch TV, the reading on the watch is constantly changing, constantly "moving forward in time." We and everything around us are aging, inevitably passing from one moment in time to the next. In fact, the mathematician Hermann Minkowski, and ultimately Einstein as well, advocated thinking about time as another dimension of the universe-the fourth dimension-in some ways quite similar to the three spatial dimensions in which we find ourselves immersed. Although it sounds abstract, the notion of time as a dimension is actually concrete. When we want to meet someone, we tell them where "in space" we will expect to see them-for instance, the 9th floor of the building on the corner of 53rd Street and 7th Avenue. There are three pieces of information here (9th floor, 53rd Street, 7th Avenue) reflecting a particular location in the three spatial dimensions of the universe. Equally important, however, is our specification of when we expect to meet them-for instance, at 3 P.M. This piece of information tells us where "in time" our meeting will take place. Events are therefore specified by four pieces of information: three in space and one in time. Such data, it is said, specifies the location of the event in space and in time, or in spacetime, for short. In this sense, time is another dimension.
+Since this view proclaims that space and time are simply different examples of dimensions, can we speak of an object's speed through time in a manner resembling the concept of its speed through space? We can.
+A big clue for how to do this comes from a central piece of information we have already encountered. When an object moves through space relative to us, its clock runs slow compared to ours. That is, the speed of its motion through time slows down. Here's the leap: Einstein proclaimed that all objects in the universe are always traveling through spacetime at one fixed speed-that of light. This is a strange idea; we are used to the notion that objects travel at speeds considerably less than that of light. We have repeatedly emphasized this as the reason relativistic effects are so unfamiliar in the everyday world. All of this is true. We are presently talking about an object's combined speed through all four dimensions-three space and one time-and it is the object's speed in this generalized sense that is equal to that of light. To understand this more fully and to reveal its importance, we note that like the impractical single-speed car discussed above, this one fixed speed can be shared between the different dimensions-different space and time dimensions, that is. If an object is sitting still (relative to us) and consequently does not move through space at all, then in analogy to the first runs of the car, all of the object's motion is used to travel through one dimension-in this case, the time dimension. Moreover, all objects that are at rest relative to us and to each other move through time-they age-at exactly the same rate or speed. If an object does move through space, however, this means that some of the previous motion through time must be diverted. Like the car traveling at an angle, this sharing of motion implies that the object will travel more slowly through time than its stationary counterparts, since some of its motion is now being used to move through space. That is, its clock will tick more slowly if it moves through space. This is exactly what we found earlier. We now see that time slows down when an object moves relative to us because this diverts some of its motion through time into motion through space. The speed of an object through space is thus merely a reflection of how much of its motion through time is diverted.5
+We also see that this framework immediately incorporates the fact that there is a limit to an object's spatial velocity: the maximum speed through space occurs if all of an object's motion through time is diverted to motion through space. This occurs when all of its previous light-speed motion through time is diverted to light-speed motion through space. But having used up all of its motion through time, this is the fastest speed through space that the object-any object-can possibly achieve. This is analogous to our car being test-driven directly in the north-south direction. just as the car will have no speed left for motion in the east-west dimension, something traveling at light speed through space will have no speed left for motion through time. Thus light does not get old; a photon that emerged from the big bang is the same age today as it was then. There is no passage of time at light speed.
+What about E = mc
+2?
+Although Einstein did not advocate calling his theory "relativity" (suggesting instead the name "invariance" theory to reflect the unchanging character of the speed of light, among other things), the meaning of the term is now clear. Einstein's work showed that concepts such as space and time, which had previously seemed to be separate and absolute, are actually interwoven and relative. Einstein went on to show that other physical properties of the world are unexpectedly interwoven as well. His most famous equation provides one of the most important examples. In it, Einstein asserted that the energy (E) of an object and its mass (m) are not independent concepts; we can determine the energy from knowledge of the mass (by multiplying the latter twice by the speed of light, c
+2) or we can determine the mass from knowledge of the energy (by dividing the latter twice by the speed of light). In other words, energy and mass-like dollars and francs-are convertible currencies. Unlike money, however, the exchange rate given by two factors of the speed of light is always and forever fixed. Since this exchange-rate factor is so large (c
+2 is a big number), a little mass goes an extremely long way in producing energy. The world grasped the devastating destructive power arising from the conversion of less than 1 percent of two pounds of uranium into energy at Hiroshima; one day, through fusion power plants, we may productively use Einstein's formula to meet the energy demands of the whole world with our endless supply of seawater.
+From the viewpoint of the concepts we have emphasized in this chapter, Einstein's equation gives us the most concrete explanation for the central fact that nothing can travel faster than light speed. You may have wondered, for instance, why we can't take some object, a muon say, that an accelerator has boosted up to 667 million miles per hour-99.5 percent of light speed-and "push it a bit harder," getting it to 99.9 percent of light speed, and then "really push it harder" impelling it to cross the light-speed barrier. Einstein's formula explains why such efforts will never succeed. The faster something moves the more energy it has and from Einstein's formula we see that the more energy something has the more massive it becomes. Muons traveling at 99.9 percent of light speed, for example, weigh a lot more than their stationary cousins. In fact, they are about 22 times as heavy-literally. (The masses recorded in Table 1.1 are for particles at rest.) But the more massive an object is, the harder it is to increase its speed. Pushing a child on a bicycle is one thing, pushing a Mack truck is quite another. So, as a muon moves more quickly it gets ever more difficult to further increase its speed. At 99.999 percent of light speed the mass of a muon has increased by a factor of 224; at 99.99999999 percent of light speed it has increased by a factor of more than 70,000. Since the mass of the muon increases without limit as its speed approaches that of light, it would require a push with an infinite amount of energy to reach or to cross the light barrier. This, of course, is impossible and hence absolutely nothing can travel faster than the speed of light.
+As we shall see in the next chapter, this conclusion plants the seeds for the second major conflict faced by physics during the past century and ultimately spells doom for another venerable and cherished theory-Newton's universal theory of gravity.
+
+Chapter 3
+Of Warps and Ripples
+Through special relativity Einstein resolved the conflict between the "age-old intuition" about motion and the constancy of the speed of light. In short, the solution is that our intuition is wrong-it is informed by motion that typically is extremely slow compared to the speed of light, and such low speeds obscure the true character of space and time. Special relativity reveals their nature and shows them to differ radically from previous conceptions. Tinkering with our understanding of the foundations of space and time, though, was no small undertaking. Einstein soon realized that of the numerous reverberations following from the revelations of special relativity, one was especially profound: The dictum that nothing can outrun light proves to be incompatible with Newton's revered universal theory of gravity, proposed in the latter half of the seventeenth century. And so, while resolving one conflict, special relativity gave rise to another. After a decade of intense, sometimes tormented study, Einstein resolved the dilemma with his general theory of relativity. In this theory, Einstein once again revolutionized our understanding of space and time by showing that they warp and distort to communicate the force of gravity.
+Newton's View of Gravity
+Isaac Newton, born in 1642 in Lincolnshire, England, changed the face of scientific research by bringing the full force of mathematics to the service of physical inquiry. Newton's was such a monumental intellect that, for example, when he found that the mathematics required for some of his investigations did not exist, he invented it. Nearly three centuries would pass before the world would host a comparable scientific genius. Of Newton's numerous profound insights into the workings of the universe, the one that primarily concerns us here is his universal theory of gravity.
+The force of gravity pervades everyday life. It keeps us and all of the objects around us fixed to the earth's surface; it keeps the air we breathe from escaping to outer space; it keeps the moon in orbit around the earth and it keeps the earth bound in orbit around the sun. Gravity dictates the rhythm of the cosmic dance that is tirelessly and meticulously executed by billions upon billions of cosmic inhabitants, from asteroids to planets to stars to galaxies. More than three centuries of Newton's influence causes us to take for granted that a single force-gravity-is responsible for this wealth of terrestrial and extraterrestrial happenings. But before Newton there was no understanding that an apple falling to earth from a tree bore witness to the same physical principle that keeps the planets revolving around the sun. With an audacious step in the service of scientific hegemony, Newton united the physics governing both heaven and earth and declared the force of gravity to be the invisible hand at work in each realm.
+Newton's view of gravity might be called the great equalizer. He declared that absolutely everything exerts an attractive gravitational force on absolutely everything else. Regardless of physical composition, everything exerts as well as feels the force of gravity. Based on a close study of Johannes Kepler's analysis of planetary motion, Newton deduced that the strength of the gravitational attraction between two bodies depends on precisely two things: the amount of stuff composing each of the bodies and the distance between them. "Stuff" means matter-this comprises the total number of protons, neutrons, and electrons, which in turn determines the mass of the object. Newton's universal theory of gravity asserts that the strength of attraction between two objects is larger for larger-mass objects and smaller for smaller-mass objects; it also asserts that the strength of attraction is larger for smaller separations between the objects and smaller for larger separations.
+Newton went much further than this qualitative description and wrote down equations that quantitatively describe the strength of the gravitational force between two objects. In words, these equations state that the gravitational force between two bodies is proportional to the product of their masses and inversely proportional to the square of the distance between them. This "law of gravity" can be used to predict the motion of planets and comets around the sun, the moon about the earth, and rockets heading off for planetary explorations, as well as more earthbound applications such as baseballs flying through the air and divers spiraling poolward from springboards. The agreement between the predictions and the actual observed motion of such objects is spectacular. This success gave Newton's theory unequivocal support until the early part of the twentieth century. Einstein's discovery of special relativity, however, raised what proved to be an insurmountable obstacle for Newton's theory.
+The Incompatibility of Newtonian Gravity and Special Relativity
+A central feature of special relativity is the absolute speed barrier set by light. It is important to realize that this limit applies not only to material objects but also to signals and influences of any kind. There is simply no way to communicate information or a disturbance from one place to another at faster than light speed. Of course, the world is full of ways for transmitting disturbances at slower than the speed of light. Your speech and all other sounds, for example, are carried by vibrations that travel at about 700 miles per hour through air, a feeble rate compared with light's 670 million miles per hour. This speed difference becomes obvious when you watch a baseball game, for instance, from seats that are far from home plate. When a batter hits the ball, the sound reaches you moments after you see the ball being hit. A similar thing happens in a thunderstorm. Although lightning and thunder are produced simultaneously, you see the lightning before hearing the thunder. Again, this reflects the substantial speed difference between light and sound. The success of special relativity informs us that the reverse situation, in which some signal reaches us before the light it emits, is just not possible. Nothing outruns photons.
+Here's the rub. In Newton's theory of gravity, one body exerts a gravitational pull on another with a strength determined solely by the mass of the objects involved and the magnitude of their separation. The strength has nothing to do with how long the objects have been in each other's presence. This means that if their mass or their separation should change, the objects will, according to Newton, immediately feel a change in their mutual gravitational attraction. For instance, Newton's theory of gravity claims that if the sun were suddenly to explode, the earth-some 93 million miles away-would instantaneously suffer a departure from its usual elliptical orbit. Even though it would take light from the explosion eight minutes to travel from the sun to the earth, in Newton's theory knowledge that the sun had exploded would be instantaneously transmitted to the earth through the sudden change in the gravitational force governing its motion.
+This conclusion is in direct conflict with special relativity, since the latter ensures that no information can be transmitted faster than the speed of light-instantaneous transmission violates this precept maximally.
+In the early part of the twentieth century, therefore, Einstein realized that the tremendously successful Newtonian theory of gravity was in conflict with his special theory of relativity. Confident in the veracity of special relativity and notwithstanding the mountain of experimental support for Newton's theory, Einstein sought a new theory of gravity compatible with special relativity. This ultimately led him to the discovery of general relativity, in which the character of space and time again went through a remarkable transformation.
+Einstein's Happiest Thought
+Even before the discovery of special relativity, Newton's theory of gravity was lacking in one important respect. Although it can be used to make highly accurate predictions about how objects will move under the influence of gravity, it offers no insight into what gravity is. That is, how is it that two bodies that are physically separate from another, possibly hundreds of millions of miles apart if not more, nonetheless influence each other's motion? By what means does gravity execute its mission? This is a problem of which Newton himself was well aware. In his own words,
+It is inconceivable, that inanimate brute matter, should, without the mediation of something else, which is not material, operate upon and affect other matter without mutual contact. That Gravity should be innate, inherent and essential to matter so that one body may act upon another at a distance thro' a vacuum without the mediation of anything else, by and through which their action and force may be conveyed, from one to another, is to me so great an absurdity that I believe no Man who has in philosophical matters a competent faculty of thinking can ever fall into it. Gravity must be caused by an agent acting constantly according to certain laws; but whether this agent be material or immaterial, I have left to the consideration of my readers.1
+That is, Newton accepted the existence of gravity and went on to develop equations that accurately describe its effects, but he never offered any insight into how it actually works. He gave the world an "owner's manual" for gravity which delineated how to "use" it-instructions that physicists, astronomers, and engineers have exploited successfully to plot the course of rockets to the moon, Mars, and other planets in the solar system; to predict solar and lunar eclipses; to predict the motion of comets, and so on. But he left the inner workings-the contents of the "black box" of gravity-a complete mystery. When you use your CD player or your personal computer, you may find yourself in a similar state of ignorance regarding how it works internally. So long as you know how to operate the equipment neither you nor anyone else needs to know how it accomplishes the tasks you set for it. But if your CD player or personal computer breaks, its repair relies crucially on knowledge of its internal workings. Similarly, Einstein realized that hundreds of years of experimental confirmation notwithstanding, special relativity implied that in some subtle way Newton's theory was "broken" and that its repair required coming to grips with the question of the true and full nature of gravity.
+In 1907, while pondering these issues at his desk in the patent office in Bern, Switzerland, Einstein had the central insight that, through fits and starts, would eventually lead him to a radically new theory of gravity-an approach that would not merely fill in the gap in Newton's theory, but, rather, would completely reformulate thinking about gravity and, of utmost importance, would do so in a manner fully consistent with special relativity.
+The insight Einstein had is relevant for a question that may have troubled you in Chapter 2. There we emphasized that we were interested in understanding how the world appears to individuals undergoing constant-velocity relative motion. By carefully comparing the observations of such individuals, we found some dramatic implications for the nature of space and time. But what about individuals who are experiencing accelerated motion? The observations of such individuals will be more complicated to analyze than those of constant-velocity observers, whose motion is more serene, but nevertheless we can ask whether there is some way of taming this complexity and bringing accelerated motion squarely into our newfound understanding of space and time.
+Einstein's "happiest thought" showed how to do so. To understand his insight, imagine the year is 2050, you are the FBI's chief explosives expert, and you have just received a frantic call to investigate what appears to be a sophisticated bomb planted in the heart of Washington, D.C. After rushing to the scene and examining the device, your worst nightmare is confirmed: The bomb is nuclear and of such powerful design that even if it were buried deeply in the earth's crust or submerged in an ocean's depth, the damage from its blast would be devastating. After gingerly studying the bomb's detonation mechanism you realize that there is no hope to disarm it and, furthermore, you see that it has a novel booby-trap feature. The bomb is mounted on a scale. Should the reading on the scale deviate from its present value by more than 50 percent, the bomb will detonate. According to the timing mechanism, you see that you have but one week and counting. The fate of millions of people rests on your shoulders-what do you do?
+Well, having determined that there is no safe place anywhere on or in the earth to detonate the device, you appear to have only one option: You must launch the device into the depths of outer space where its explosion will cause no damage. You present this idea to a meeting of your team at the FBI and almost immediately your plan is dashed by a young assistant. "There is a serious problem with your plan," your assistant Isaac begins. "As the device gets farther from the earth, its weight will decrease, since its gravitational attraction with the earth will diminish. This means that the reading on the scale inside the device will decrease, causing detonation well before reaching the safety of deep space." Before you have time to fully contemplate this criticism, another young assistant pipes up: "In fact, come to think of it, there is even another problem," your assistant Albert says. "This problem is as important as Isaac's objection but somewhat more subtle, so bear with me as I explain it." Wanting a moment to think through Isaac's objection, you try to hush Albert, but as usual, once he begins there is no stopping him.
+"In order to launch the device into outer space we will have to mount it on a rocket. As the rocket accelerates upward in order to penetrate outer space, the reading on the scale will increase, again causing the device to detonate prematurely. You see, the base of the bomb-which rests on the scale-will push harder on the scale than when the device is at rest in the same way that your body is squeezed back into the seat of an accelerating car. The bomb will 'squeeze' the scale just as your back squeezes the cushion in the car seat. When a scale is squeezed, of course, its reading increases-and this will cause the bomb to detonate if the resulting increase is more than 50 percent."
+You thank Albert for his comment but, having tuned out his explanation to mentally confirm Isaac's remark, you dejectedly proclaim that it takes only one fatal blow to kill an idea, and Isaac's obviously correct observation has definitively done that. Feeling somewhat hopeless you ask for new suggestions. At that moment, Albert has a stunning revelation: "On second thought," he continues, "I do not think that your idea is dead at all. Isaac's observation that gravity diminishes as the device is lifted into space means that the reading on the scale will go down. My observation that the upward acceleration of the rocket will cause the device to push harder against the scale means that the reading will go up. Taken together, this means that if we carefully adjust the precise moment-to-moment acceleration of the rocket as it moves upward, these two effects can cancel each other out! Specifically, in the early stages of liftoff, when the rocket still feels the full force of the earth's gravity, it can accelerate, just not too severely, so that we stay within the 50 percent window. As the rocket gets farther and farther from the earth-and therefore feels the earth's gravity less and less-we need to increase its upward acceleration to compensate. The increase in the reading from upward acceleration can exactly equal the decrease in the reading from the diminishing gravitational attraction, so, in fact, we can keep the actual reading on the scale from changing at all!"
+Albert's suggestion slowly begins to make sense. "In other words," you respond, "an upward acceleration can provide a stand-in or a substitute for gravity. We can imitate the effect of gravity through suitably accelerated motion."
+"Exactly," responds Albert.
+"So," you continue, "we can launch the bomb into space and by judiciously adjusting the acceleration of the rocket we can ensure that the reading on the scale does not change, thus avoiding detonation until it is a safe distance from earth." And so by playing off gravity and accelerated motion-using the precision of twenty-first-century rocket science-you are able to stave off disaster.
+The recognition that gravity and accelerated motion are profoundly interwoven is the key insight that Einstein had one happy day in the Bern patent office. Although the bomb experience highlights the essence of his idea, it is worth rephrasing it in a framework closer to that of Chapter 2. For this purpose, recall that if you are put into a sealed, windowless compartment that is not accelerating, there is no way for you to determine your speed. The compartment looks the same and any experiments you do yield identical results regardless of how fast you are moving. More fundamentally, without outside benchmarks for comparison there is no way that a velocity can even be assigned to your state of motion. On the other hand, if you are accelerating, then even with your perceptions limited to the confines of your sealed compartment, you will feel a force on your body. For instance, if your forward-facing chair is bolted to the floor and your compartment is being accelerated forward, you will feel the force of your seat on your back just as with the car described by Albert. Similarly, if your compartment is being accelerated upward you will feel the force of the floor on your feet. Einstein's realization was that within the confines of your tiny compartment, you will not be able to distinguish these accelerated situations from ones without acceleration but with gravity: When their magnitudes are judiciously adjusted, the force you feel from a gravitational field or from accelerated motion are indistinguishable. If your compartment is placidly sitting upright on the earth's surface, you will feel the familiar force of the floor on your feet, just as in the scenario of upward acceleration; this is exactly the same equivalence Albert exploited in his solution for launching the terrorist bomb into space. If your compartment is resting on its back end you will feel the force of your seat on your back (preventing you from falling), just as when you were accelerating horizontally. Einstein called the indistinguishability between accelerated motion and gravity the equivalence principle.
+2
+This description shows that general relativity finishes a job initiated by special relativity. Through its principle of relativity, the special theory of relativity declares a democracy of observational vantage points: the laws of physics appear identical to all observers undergoing constant-velocity motion. But this is limited democracy indeed, for it excludes an enormous number of other viewpoints-those of individuals who are accelerating. Einstein's 1907 insight now shows us how to embrace all points of view-constant velocity and accelerating-within one egalitarian framework. Since there is no difference between an accelerated vantage point without a gravitational field and a nonaccelerated vantage point with a gravitational field, we can invoke the latter perspective and declare that all observers, regardless of their state of motion, may proclaim that they are stationary and "the rest of the world is moving by them," so long as they include a suitable gravitational field in the description of their own surroundings. In this sense, through the inclusion of gravity, general relativity ensures that all possible observational vantage points are on equal footing. (As we shall see later, this means that distinctions between observers in Chapter 2 that relied on accelerated motion-as when George chased after Gracie by turning on his jet-pack and aged less than she-admit an equivalent description without acceleration, but with gravity.)
+This deep connection between gravity and accelerated motion is certainly a remarkable realization, but why did it make Einstein so happy? The reason, simply put, is that gravity is mysterious. It is a grand force permeating the life of the cosmos, but it is elusive and ethereal. On the other hand, accelerated motion, although somewhat more complicated than constant-velocity motion, is concrete and tangible. By finding a fundamental link between the two, Einstein realized that he could use his understanding of motion as a powerful tool toward gaining a similar understanding of gravity. Putting this strategy into practice was no small task, even for the genius of Einstein, but ultimately this approach bore the fruit of general relativity. Achieving this end required that Einstein forge a second link in the chain uniting gravity and accelerated motion: the curvature of space and time, to which we now turn.
+Acceleration and the Warping of Space and Time
+Einstein worked on the problem of understanding gravity with extreme, almost obsessive, intensity About five years after his happy revelation in the Bern patent office, he wrote to the physicist Arnold Sommerfeld, "I am now working exclusively on the gravity problem.... [O]ne thing is certain-that never in my life have I tormented myself anything like this. . . . Compared to this problem the original [i.e., special] relativity theory is child's play."3
+He appears to have made the next key breakthrough, a simple yet subtle consequence of applying special relativity to the link between gravity and accelerated motion, in 1912. To understand this step in Einstein's reasoning it is easiest to focus, as apparently he did, on a particular example of accelerated motion.4 Recall that an object is accelerating if either the speed or the direction of its motion changes. For simplicity we will focus on accelerated motion in which only the direction of our object's motion changes while its speed stays fixed. Specifically, we consider motion in a circle such as what one experiences on the Tornado ride in an amusement park. In case you have never tested the stability of your constitution on this ride, you stand with your back against the inside of a circular Plexiglas structure that spins at a high speed. Like all accelerated motion, you can feel this motion-you feel your body being pulled radially away from the ride's center and you feel the circular wall of Plexiglas pressing on your back, keeping you moving in a circle. (In fact, although not relevant for the present discussion, the spinning motion "pins" your body to the Plexiglas with such a force that when the ledge on which you are standing drops away you do not slip downward.) If the ride is extremely smooth and you close your eyes, the pressure of the ride on your back-like the support of a bed-can almost make you feel that you are lying down. The "almost" comes from the fact that you still feel ordinary "vertical" gravity, so your brain cannot be fully fooled. But if you were to ride the Tornado in outer space, and if it were to spin at just the right rate, it would feel just like lying in a stationary bed on earth. Moreover, were you to "get up" and walk along the interior of the spinning Plexiglas, your feet would press against it just as they do against an earthbound floor. In fact, space stations are designed to spin in this manner to create an artificial feeling of gravity in outer space.
+Having used the accelerated motion of the spinning Tornado to imitate gravity, we can now follow Einstein and set out to see how space and time appear to someone on the ride. His reasoning, adapted to this situation, went as follows. We stationary observers can easily measure the circumference and the radius of the spinning ride. For instance, to measure the circumference we can carefully lay out a ruler-head to tail-alongside the ride's spinning girth; for its radius we can similarly use the head-to-tail method working our way from the central axle of the ride to its outer rim. As we anticipate from high-school geometry, we find that their ratio is two times the number pi-about 6.28-just as it is for any circle drawn on a flat sheet of paper. But what do things look like from the perspective of someone on the ride itself?
+To find out, we ask Slim and Jim, who are currently enjoying a spin on the Tornado, to take a few measurements for us. We toss one of our rulers to Slim, who sets out to measure the circumference of the ride, and another to Jim, who sets out to measure the radius. To get the clearest perspective, let's take a bird's-eye view of the ride, as in Figure 3.1. We have adorned this snapshot of the ride with an arrow that indicates the momentary direction of motion at each point. As Slim begins to measure the circumference, we immediately see from our bird's-eye perspective that he is going to get a different answer than we did. As he lays the ruler out along the circumference, we notice that the ruler's length is shortened. This is nothing but the Lorentz contraction discussed in Chapter 2, in which the length of an object appears shortened along the direction of its motion. A shorter ruler means that he will have to lay it out-head to tail-more times to traverse the whole circumference. Since he still considers the ruler to be one foot long (since there is no relative motion between Slim and his ruler, he perceives it as having its usual length of one foot), this means that Slim will measure a longer circumference than did we.
+What about the radius? Well, Jim also uses the head-to-tail method to find the length of a radial strut, and from our bird's-eye view we see that he is going to find the same answer as we did. The reason is that the ruler is not pointing along the instantaneous direction of the motion of the ride (as it is when measuring the circumference). Instead, it is pointed at a ninety-degree angle to the motion, and therefore it is not contracted along its length. Jim will therefore find exactly the same radial length as we did.
+But now, when Slim and Jim calculate the ratio of the circumference of the ride to its radius they will get a number that is larger than our answer of two times pi, since the circumference is longer but the radius is the same. This is weird. How in the world can something in the shape of a circle violate the ancient Greek realization that for any circle this ratio is exactly two times pi?
+Here is Einstein's explanation. The ancient Greek result holds true for circles drawn on a flat surface. But just as the warped or curved mirrors in an amusement park fun-house distort the normal spatial relationships of your reflection, if a circle is drawn on a warped or curved surface, its usual spatial relationships will also be distorted: the ratio of its circumference to its radius will generally not be two times pi.
+For instance, Figure 3.2 compares three circles whose radii are identical. Notice, however, that their circumferences are not the same. The circumference of the circle in (b), drawn on the curved surface of a sphere, is less than the circumference of the circle drawn on the flat surface in (a), even though they have the same radius. The curved nature of the sphere's surface causes the radial lines of the circle to converge toward each other slightly, resulting in a small decrease in the circle's circumference. The circumference of the circle in (c), again drawn on a curved surface-a saddle shape-is greater than that drawn on a flat surface; the curved nature of the saddle's surface causes the radial lines of the circle to splay outward from each other slightly, resulting in a small increase in the circle's circumference. These observations imply that the ratio of the circumference to the radius of the circle in (b) will be less than two times pi, while the same ratio in (c) will be greater than two times pi. But this deviation from two times pi, especially the larger value found in (c), is just what we found for the spinning Tornado ride. This led Einstein to propose an idea-the curving of space-as an explanation for the violation of "ordinary," Euclidean geometry. The flat geometry of the Greeks, taught to schoolchildren for thousands of years, simply does not apply to someone on the spinning ride. Rather, its curved space generalization as schematically drawn in part (c) of Figure 3.4 takes its place.5
+And so Einstein realized that the familiar geometrical spatial relationships codified by the Greeks, relationships that pertain to "flat" space figures like a circle on a flat table, do not hold from the perspective of an accelerated observer. Of course, we have discussed only one particular kind of accelerated motion, but Einstein showed that a similar result-the warping of space-holds in all instances of accelerated motion.
+In fact, accelerated motion not only results in a warping of space, it also results in an analogous warping of time. (Historically, Einstein first focused on the warping of time and subsequently realized the importance of the warping of space.6) On one level, it should not be too surprising that time is also affected, since we have already seen in Chapter 2 that special relativity articulates a union between space and time. This merger was summarized by the poetic words of Minkowski, who during a lecture on special relativity in 1908 said, "Henceforward space on its own and time on its own will decline into mere shadows, and only a kind of union between the two will preserve its independence."7 In more down-to-earth but similarly imprecise language, by knitting space and time together into the unified structure of spacetime, special relativity declares, "What's true for space is true for time." But this raises a question: Whereas we can picture warped space by its having a curved shape, what do we really mean by warped time?
+To get a feel for the answer, let's once again impose upon Slim and Jim on the Tornado ride and ask them to carry out the following experiment. Slim will stand with his back against the ride, at the far end of one of the ride's radial struts, while Jim will slowly crawl toward him along the strut, starting from the ride's center. Every few feet, Jim will stop his crawling and the two brothers are to compare the readings on their watches. What will they find? From our stationary, bird's-eye perspective, we can again predict the answer: Their watches will not agree. We come to this conclusion because we realize that Slim and Jim are travelling at different speeds-on the Tornado ride, the farther out along a radial strut you are, the farther you must travel to complete one rotation, and therefore the faster you must go. But from special relativity, the faster you go, the slower your watch ticks, and hence we realize that Slim's watch will tick more slowly than Jim's. Furthermore, Slim and Jim will find that, as Jim gets closer to Slim, the ticking rate of Jim's watch will slow down, approaching that of Slim's. This reflects the fact that as Jim gets farther out along the strut, his circular speed increases toward that of Slim.
+We conclude that to observers on the spinning ride, such as Slim and Jim, the rate of passage of time depends upon their precise position-in this case, their distance from the center of the ride. This is an illustration of what we mean by warped time: Time is warped if its rate of passage differs from one location to another. And of particular importance to our present discussion, Jim will also notice something else as he crawls out along the strut. He will feel an increasingly strong outward pull because not only does speed increase, but his acceleration increases as well, the farther he is from the spinning ride's center. On the Tornado ride, then, we see that greater acceleration is tied up with slower clocks-that is, greater acceleration results in a more significant warping of time.
+These observations took Einstein to the final leap. Since he had already shown gravity and accelerated motion to be effectively indistinguishable, and since he now had shown that accelerated motion is associated with the warping of space and time, he made the following proposal for the innards of the "black box" of gravity-the mechanism by which gravity operates. Gravity, according to Einstein, is the warping of space and time. Let's see what this means.
+The Basics of General Relativity
+To get a feel for this new view of gravity, let's consider the prototypical situation of a planet, such as the earth, revolving around a star, such as the sun. In Newtonian gravity the sun keeps the earth in orbit with an unidentified gravitational "tether" that somehow instantaneously reaches out across vast distances of space and grabs hold of the earth (and, similarly, the earth reaches out and grabs hold of the sun). Einstein provided a new conception of what actually happens. It will aid in our discussion of Einstein's approach to have a concrete visual model of spacetime that we can conveniently manipulate. To do so, we will simplify things in two ways. First, for the moment, we will ignore time and focus solely on a visual model of space. We will reincorporate time in our discussion shortly. Second, in order to allow us to draw and manipulate visual images on the pages of this book, we will often refer to a two-dimensional analog of three-dimensional space. Most of the insight we gain from thinking in terms of this lower-dimensional model is directly applicable to the physical three-dimensional setting, so the simpler model provides a powerful pedagogical device.
+In Figure 3.3, we make use of these simplifications and draw a two-dimensional model of a spatial region of our universe. The grid-like structure indicates a convenient means of specifying positions just as a street grid gives a means of specifying locations in a city In a city, of course, one gives an address by specifying a location on the two-dimensional street grid and also giving a location in the vertical direction, such as a floor number. It is the latter information, location in the third spatial dimension, that our two-dimensional analogy suppresses for visual clarity.
+In the absence of any matter or energy, Einstein envisioned that space would be flat. In our two-dimensional model, this means that the "shape" of space should be like the surface of a smooth table, as drawn in Figure 3.3. This is the image of our spatial universe commonly held for thousands of years. But what happens to space if a massive object like the sun is present? Before Einstein the answer was nothing; space (and time) were thought to provide an inert theater, merely setting the stage on which the events of the universe play themselves out. The chain of Einstein's reasoning that we have been following, however, leads to a different conclusion.
+A massive body like the sun, and indeed any body, exerts a gravitational force on other objects. In the example of the terrorist bomb, we learned that gravitational forces are indistinguishable from accelerated motion. In the example of the Tornado ride, we learned that a mathematical description of accelerated motion requires the relations of curved space. These links between gravity, accelerated motion, and curved space led Einstein to the remarkable suggestion that the presence of mass, such as the sun, causes the fabric of space around it to warp, as shown in Figure 3.4. A useful, and oft-quoted, analogy is that much like a rubber membrane on which a bowling ball has been placed, the fabric of space becomes distorted due to the presence of a massive object like the sun.
+According to this radical proposal, space is not merely a passive forum providing the arena for the events of the universe; rather, the shape of space responds to objects in the environment.
+This warping, in turn, affects other objects moving in the vicinity of the sun, as they now must traverse the distorted spatial fabric. Using the rubber membrane-bowling ball analogy, if we place a small ball-bearing on the membrane and set it off with some initial velocity, the path it will follow depends on whether or not the bowling ball is sitting in the center. If the bowling ball is absent, the rubber membrane will be flat and the ball bearing will travel along a straight line. If the bowling ball is present and thereby warps the membrane, the ball bearing will travel along a curved path. In fact, ignoring friction, if we set the ball bearing moving with just the right speed in just the right direction, it will continue to move in a recurring curved path around the bowling ball-in effect, it will "go into orbit." Our language presages the application of this analogy to gravity.
+The sun, like the bowling ball, warps the fabric of space surrounding it, and the earth's motion, like that of the ball bearing, is determined by the shape of the warp. The earth, like the ball bearing, will move in orbit around the sun if its speed and orientation have suitable values. This effect on the motion of the earth is what we normally would refer to as the gravitational influence of the sun, and is illustrated in Figure 3.5. The difference, now, is that unlike Newton, Einstein has specified the mechanism by which gravity is transmitted: the warping of space. In Einstein's view, the gravitational tether holding the earth in orbit is not some mysterious instantaneous action of the sun; rather, it is the warping of the spatial fabric caused by the sun's presence.
+This picture allows us to understand the two essential features of gravity in a new way. First, the more massive the bowling ball, the greater the distortion it causes in the rubber membrane; similarly, in Einstein's description of gravity the more massive an object is, the greater the distortion it causes in the surrounding space. This implies that the more massive an object, the greater the gravitational influence it can exert on other bodies, precisely in accord with our experiences. Second, just as the distortion of the rubber membrane due to the bowling ball gets smaller as one gets farther from it, the amount of spatial warping due to a massive body such as the sun decreases as one's distance from it increases. This, again, jibes with our understanding of gravity, whose influence becomes weaker as the distance between objects becomes larger.
+An important point to note is that the ball bearing itself warps the rubber membrane, although only slightly. Similarly, the earth, being a massive body in its own right, also warps the fabric of space, although far less than the sun. This is how, in the language of general relativity, the earth keeps the moon in orbit, and it is also how the earth keeps each of us bound to its surface. As a skydiver plunges earthward, he or she is sliding down a depression in the spatial fabric caused by the earth's mass. Moreover, each of us-like any massive object-also warps the spatial fabric in close proximity to our bodies, although the comparatively small mass of a human body makes this a minuscule indentation.
+In summary then, Einstein fully agreed with Newton's statement that "Gravity must be caused by an agent" and rose to Newton's challenge in which the identity of the agent was left "to the consideration of my readers." The agent of gravity, according to Einstein, is the fabric of the cosmos.
+A Few Caveats
+The rubber membrane-bowling ball analogy is valuable because it gives us a visual image with which we can grasp tangibly what we mean by a warp in the spatial fabric of the universe. Physicists often use this and similar analogies to guide their own intuition regarding gravitation and curvature However, its usefulness notwithstanding, the rubber membrane-bowling ball analogy is not perfect and for clarity we call attention to a few of its shortcomings.
+First, when the sun causes the fabric of space around it to warp this is not due to its "being pulled downward" by gravity as in the case of the bowling ball, which warps the rubber membrane because it is pulled earthward by gravity. In the case of the sun, there is no other object to "do the pulling." Instead, Einstein has taught us that the warping of space is gravity. The mere presence of an object with mass causes space to respond by warping. Similarly, the earth is not kept in orbit because the gravitational pull of some other external object guides it along the valleys in the warped spatial environment, as occurs for a ball bearing on the warped rubber membrane. Instead, Einstein showed that objects move through space (spacetime, more precisely) along the shortest possible paths-the "easiest possible paths" or the "paths of least resistance." If the space is warped such paths will be curved. And so, although the rubber membrane-bowling ball model provides a good visual analogy of how an object such as the sun warps the space around it and thereby influences the motion of other bodies, the physical mechanism by which these distortions occur is totally different. The former appeals to our intuition about gravity in the traditional Newtonian framework, whereas the latter expresses a reformulation of gravity in terms of curved space.
+A second shortcoming of the analogy stems from the rubber membrane's being two-dimensional. In reality, although harder to visualize, the sun (and all other massive objects) actually warps the three-dimensional space surrounding it. Figure 3.6 is a rough attempt to depict this; all of the space surrounding the sun-"below," "on the sides," on "top"-suffers the same kind of distortion, and Figure 3.6 schematically shows a partial sampling. A body, like the earth, travels through the three-dimensional warped spatial environment caused by the sun's presence. You may find this figure troubling-why doesn't the earth slam into the "vertical part" of curved space in the image? Bear in mind, though, that space, unlike the rubber membrane, is not a solid barrier. Instead, the warped grids in the image are but a couple of thin slices through the full three-dimensional warped space in which you, the earth, and everything else are immersed fully and move freely. Perhaps you find that this only makes the problem seem worse: Why don't we feel space if we are immersed within its fabric? But we do. We feet gravity, and space is the medium by which the gravitational force is communicated. As the eminent physicist John Wheeler has often said in describing gravity, "mass grips space by telling it how to curve, space grips mass by telling it how to move."8
+A third, related shortcoming of the analogy is that we have suppressed the time dimension. We have done this for visual clarity because, notwithstanding the declaration of special relativity that we should think of the time dimension on par with the three familiar spatial dimensions, it is significantly harder to "see" time. But, as illustrated by the example of the Tornado ride, acceleration-and hence gravity-warps both space and time. (In fact, the mathematics of general relativity shows that in the case of a relatively slow-moving body like the earth revolving around a typical star like the sun, the warping of time actually has a far more significant impact on the earth's motion than does the warping of space.) We will return to a discussion of the warping of time after the next section.
+Important as these three caveats are, so long as you hold them in the back of your mind, it is perfectly acceptable to invoke the warped-space image provided by the bowling ball on the rubber membrane as an intuitive summary of Einstein's new view of gravity.
+Conflict Resolution
+By introducing space and time as dynamic players, Einstein provided a clear conceptual image of how gravity works. The central question, though, is whether this reformulation of the gravitational force resolves the conflict with special relativity that afflicts Newton's theory of gravity. It does. Again, the rubber membrane analogy gives the essential idea. Imagine that we have a ball bearing rolling in a straight line along the flat membrane in the absence of the bowling ball. As we place the bowling ball on the membrane the motion of the ball bearing will be affected, but not instantaneously. If we were to film this sequence of events and view it in slow motion we would see that the disturbance caused by the introduction of the bowling ball spreads like ripples in a pond and eventually reaches the position of the ball bearing. After a short time, transitory oscillations along the rubber surface would settle down, leaving us with a static warped membrane.
+The same is true for the fabric of space. When no mass is present, space is flat, and a small object will blissfully be at rest or will travel at a constant velocity. If a large mass comes on the scene, space will warp-but as in the case of the membrane, the distortion will not be instantaneous. Rather, it will spread outward from the massive body, ultimately settling down into a warped shape that communicates the gravitational pull of the new body. In our analogy, disturbances to the rubber membrane travel along its extent at a speed dictated by its particular material composition. In the real setting of general relativity, Einstein was able to calculate how fast disturbances to the fabric of the universe travel and he found that they travel at precisely the speed of light. This means, for instance, that in the hypothetical example discussed earlier in which the demise of the sun affects the earth by virtue of changes in their mutual gravitational attraction, the influence will not be instantaneously communicated. Rather, as an object changes its position or even blows apart, it causes a change in the distortion of the spacetime fabric that spreads outward at light speed, precisely in keeping with the cosmic speed limit of special relativity. Thus, we on earth would visually learn of the sun's destruction at the same moment that we would feel the gravitational consequences-about eight minutes after it explodes. Einstein's formulation thereby resolves the conflict; gravitational disturbances keep pace with, but do not outrun, photons.
+The Warping of Time, Revisited
+Illustrations such as those of Figures 3.2, 3.4, and 3.6 capture the essence of what "warped space" means. A warp distorts the shape of space. Physicists have invented analogous images to try to convey the meaning of "warped time," but they are significantly more difficult to decipher, so we will not introduce them here. Instead, let's follow up the example of Slim and Jim on the Tornado ride, and try to get a sense of the experience of gravitationally induced warped time.
+To do so, we revisit George and Gracie, no longer in the deep darkness of empty space, but floating near the outskirts of the solar system. They are still each wearing large digital clocks on their space suits that are initially synchronized. To keep things simple, we ignore the effects of the planets and consider only the gravitational field of the sun. Let's further imagine that a spaceship hovering near George and Gracie has reeled out a long cable extending all the way down to the vicinity of the sun's surface. George uses this cable to slowly lower himself toward the sun. As he does so, he periodically stops so that he and Gracie can compare the rate at which time is elapsing on their clocks. The warping of time predicted by Einstein's general relativity implies that George's clock will run slower and slower compared with Gracie's as the gravitational field he experiences gets stronger and stronger. That is, the closer he gets to the sun the slower his clock will run. It is in this sense that gravity distorts time as well as space.
+You should note that unlike the case in Chapter 2 in which George and Gracie were in empty space moving relative to each other with constant velocity, in the present setting there is no symmetry between them. George, unlike Gracie, feels the force of gravity getting stronger and stronger-he has to hold the cable tighter and tighter as he gets closer to the sun to avoid being pulled in. Each of them agrees that George's clock is running slow. There is no "equally valid perspective" that exchanges their roles and reverses this conclusion. This is, in fact, what we found in Chapter 2 when George experienced an acceleration by turning on his jetpack to catch up with Gracie. The acceleration George felt resulted in his clock definitively running slow relative to Gracie's. Since we now know that feeling accelerated motion is the same as feeling a gravitational force, the present situation of George on the cable involves the same principle, and once again we see that George's clock, and everything else in his life, runs in slow motion compared with Gracie's.
+In a gravitational field such as that at the surface of an ordinary star like the sun, the slowing of clocks is quite small. If Gracie stays put at a billion miles from the sun, then when George has climbed to within a few miles of its surface, the rate of ticking of his clock will be about 99.9998 percent of Gracie's. Slower, but not by much.9 If, however, George lowered himself on a cable so that he hovered just above the surface of a neutron star whose mass, roughly equal to that of the sun, is crushed to a density some million billion times that of solar density, the larger gravitational field would cause his clock to tick at about 76 percent of the rate of Gracie's. Stronger gravitational fields, such as those just outside a black hole (as discussed below), cause the flow of time to slow even further; stronger gravitational fields cause a more severe warping of time.
+Experimental Verification of General Relativity
+Most people who study general relativity are captivated by its aesthetic elegance. By replacing the cold, mechanistic Newtonian view of space, time, and gravity with a dynamic and geometric description involving curved spacetime, Einstein wove gravity into the basic fabric of the universe. Rather than being imposed as an additional structure, gravity becomes part and parcel of the universe at its most fundamental level. Breathing life into space and time by allowing them to curve, warp, and ripple results in what we commonly refer to as gravity.
+Aesthetics aside, the ultimate test of a physical theory is its ability to explain and predict physical phenomena accurately. Since its inception in the late 1600s until the beginning of this century, Newton's theory of gravity passed this test with flying colors. Whether applied to balls thrown up in the air, objects dropped from leaning towers, comets whirling around the sun, or planets going about their solar orbits, Newton's theory provides extremely accurate explanations of all observations as well as predictions that have been verified innumerable times in a wealth of situations. The motivation for questioning this experimentally successful theory, as we have emphasized, was its property of instantaneous transmission of the gravitational force, in conflict with special relativity.
+The effects of special relativity, although central to a fundamental understanding of space, time, and motion, are extremely small in the slow-velocity world we typically inhabit. Similarly, the deviations between Einstein's general relativity-a theory of gravity compatible with special relativity-and Newton's theory of gravity are also extremely small in most common situations. This is both good and bad. It is good because any theory purporting to supplant Newton's theory of gravity had better closely agree with it when applied in those arenas in which Newton's theory has been experimentally verified. It is bad because it makes it difficult to adjudicate between the two theories experimentally. Distinguishing between Newton's and Einstein's theories requires extremely precise measurements applied to experiments that are very sensitive to the ways in which the two theories differ. If you throw a baseball, Newtonian and Einsteinian gravity can be used to predict where it will land, and the answers will be different, but the differences will be so slight that they are generally beyond our capacity to detect experimentally. A more clever experiment is called for, and Einstein suggested one.10
+We see stars at night, but of course they are also there during the day. We usually don't see them because their distant, pinpoint light is overwhelmed by the light emitted by the sun. During a solar eclipse, however, the moon temporarily blocks the light of the sun and distant stars become visible. Nevertheless, the presence of the sun still has an effect. Light from some of the distant stars must pass close to the sun on the way to earth. Einstein's general relativity predicts that the sun will cause the surrounding space and time to warp and such distortion will influence the path taken by the starlight. After all, the photons of distant origin travel along the fabric of the universe; if the fabric is warped, the motion of the photons will be affected much as for a material body. The bending of the path of light is greatest for those light signals that just graze the sun on their way to earth. A solar eclipse makes it possible to see such sun-grazing starlight without its being completely obscured by sunlight itself.
+The angle through which the light path is bent can be measured in a simple way. The bending of the starlight's path results in a shift in the apparent position of the star. The shift can be accurately measured by comparing this apparent position with the star's actual location known from observations of the star at night (in the absence of the sun's warping influence), carried out when the earth is at an appropriate position, some six months earlier or later. In November of 1915, Einstein used his new understanding of gravity to calculate the angle through which starlight signals that just graze the sun would be bent and found the answer to be about .00049 of a degree (1.75 arcseconds, where an arcsecond is 1/3600 of a degree). This tiny angle is equal to that subtended by a quarter placed upright and viewed from nearly two miles away. The detection of such a small angle was, however, within reach of the technology of the day. At the urging of Sir Frank Dyson, director of the Greenwich observatory, Sir Arthur Eddington, a well-known astronomer and secretary of the Royal Astronomical Society in England, organized an expedition to the island of Principe off the coast of West Africa to test Einstein's prediction during the solar eclipse of May 29, 1919.
+On November 6, 1919, after some five months of analysis of the photographs taken during the eclipse at Principe (and of other photographs of the eclipse taken by a second British team led by Charles Davidson and Andrew Crommelin in Sobral, Brazil), it was announced at a joint meeting of the Royal Society and the Royal Astronomical Society that Einstein's prediction based on general relativity had been confirmed. It took little time for word of this success-a complete overturning of previous conceptions of space and time-to spread well beyond the confines of the physics community, making Einstein a celebrated figure worldwide. On November 7, 1919, the headline in the London Times read "REVOLUTION IN SCIENCE-NEW THEORY OF THE UNIVERSE-NEWTONIAN IDEAS OVERTHROWN."11 This was Einstein's moment of glory.
+In the years following this experiment, Eddington's confirmation of general relativity came under some critical scrutiny. Numerous difficult and subtle aspects of the measurement made it hard to reproduce and raised some questions regarding the trustworthiness of the original experiment. Nevertheless, in the last 40 years a variety of experiments making use of technological advancements have tested numerous aspects of general relativity with great precision. The predictions of general relativity have been uniformly confirmed. There is no longer any doubt that Einstein's description of gravity is not only compatible with special relativity, but yields predictions closer to experimental results than those of Newton's theory.
+Black Holes, the Big Bang, and the Expansion of Space
+Whereas special relativity is most manifest when things are moving fast, general relativity comes into its own when things are very massive and the warps in space and time are correspondingly severe. Let's describe two examples.
+The first is a discovery made by the German astronomer Karl Schwarzschild while studying Einstein's revelations on gravity in between his own calculations of artillery trajectories at the Russian front during World War I in 1916. Remarkably, just months after Einstein had put the finishing touches on general relativity, Schwarzschild was able to use the theory to gain a complete and exact understanding of the way space and time warp in the vicinity of a perfectly spherical star. Schwarzschild sent his results from the Russian front to Einstein, who presented them on Schwarzschild's behalf to the Prussian Academy.
+Beyond confirming and making mathematically precise the warping that was schematically illustrated in Figure 3.5, Schwarzschild's work-which has now come to be known as "Schwarzschild's solution"-revealed a stunning implication of general relativity. He showed that if the mass of a star is concentrated in a small enough spherical region, so that its mass divided by its radius exceeds a particular critical value, the resulting spacetime warp is so radical that anything, including light, that gets too close to the star will be unable to escape its gravitational grip. Since not even light can escape such "compressed stars," they were initially called dark or frozen stars. A more catchy name was coined years later by John Wheeler, who called them black holes-black because they cannot emit light, holes because anything getting too close falls into them, never to return. The name stuck.
+We illustrate Schwarzschild's solution in Figure 3.7. Although black holes have a reputation for rapacity, objects that pass by them at a "safe" distance are deflected in much the same way that they would be by an ordinary star, and can proceed on their merry way. But objects of any composition whatsoever that get too close-closer than what has been termed the black hole's event horizon-are doomed: they will be drawn inexorably toward the center of the black hole and subject to an ever increasing and ultimately destructive gravitational strain. For example, if you dropped feet first through the event horizon, as you approached the black hole's center you would find yourself getting increasingly uncomfortable. The gravitational force of the black hole would increase so dramatically that its pull on your feet would be much stronger than its pull on your head (since in a feet-first fall your feet are always a bit closer than your head to the black hole's center); so much stronger, in fact, that you would be stretched with a force that would quickly tear your body to shreds.
+If, on the contrary, you were more prudent in your wanderings near a black hole and took great care not to trespass beyond the event horizon, you could make use of the black hole for a rather amazing feat. Imagine, for example, that you were to discover a black hole whose mass was about 1,000 times the mass of the sun, and that you were to lower yourself on a cable, much as George did near the sun, to about an inch above the black hole's event horizon. As we have discussed, gravitational fields cause a warping of time, and this means that your passage through time would slow down. In fact, since black holes have such strong gravitational fields, your passage through time would slow way down. Your watch would tick about ten thousand times more slowly than those of your friends back on earth. If you were to hover just above the black hole's event horizon in this manner for a year, and then climb up the cable to your waiting starship for a short, yet leisurely, journey home, upon arrival at earth you would find that more than ten thousand years had passed since your initial departure. You would have successfully used the black hole as a kind of time machine, allowing you to travel to earth's distant future.
+To get a sense of the extreme scales involved, a star with the mass of the sun would be a black hole if its radius were not its actual value (about 450,000 miles), but, instead, just under 2 miles. Imagine: The whole of the sun squeezed to fit comfortably within upper Manhattan. A teaspoonful of such a compressed sun would weigh about as much as Mount Everest. To make a black hole out of the earth we would need to crush it into a sphere whose radius is less than half an inch. For a long time physicists were skeptical about whether such extreme configurations of matter could ever actually occur, and many thought that black holes were merely a reflection of an overworked theoretician's imagination.
+Nevertheless, during the last decade, an increasingly convincing body of experimental evidence for the existence of black holes has accumulated. Of course, since they are black, they cannot be observed directly by scanning the sky with telescopes. Instead, astronomers search for black holes by seeking anomalous behavior of other more ordinary light-emitting stars that may be positioned just outside a black hole's event horizon. For instance, as dust and gas from the outer layers of nearby ordinary stars fall toward the event horizon of a black hole, they are accelerated to nearly the speed of light. At such speeds, friction within the maelstrom of downward-swirling material generates an enormous amount of heat, causing the dust-gas mixture to "glow," giving off both ordinary visible light and X rays. Since this radiation is produced just outside the event horizon, it can escape the black hole and travel through space to be observed and studied directly. General relativity makes detailed predictions about properties that such X ray emissions will have; observation of these predicted properties gives strong, albeit indirect, evidence for the existence of black holes. For example, mounting evidence indicates that there is a very massive black hole, some two and a half million times as massive as the sun, sitting in the center of our own Milky Way galaxy. And even this seemingly gargantuan black hole pales in comparison to what astronomers believe to reside in the core of the astonishingly luminous quasars that are scattered throughout the cosmos: black holes whose masses may well be billions of times that of the sun.
+Schwarzschild died only a few months after finding his solution, from a skin disease he contracted at the Russian front. He was 42. His tragically brief encounter with Einstein's theory of gravity uncovered one of the most striking and mysterious facets of the natural world.
+The second example in which general relativity flexes its muscle concerns the origin and evolution of the whole universe. As we have seen, Einstein showed that space and time respond to the presence of mass and energy. This distortion of spacetime affects the motion of other cosmic bodies moving in the vicinity of the resulting warps. In turn, the precise way in which these bodies move, by virtue of their own mass and energy, has a further effect on the warping of spacetime, which further affects the motion of the bodies, and on and on the interconnected cosmic dance goes. Through the equations of general relativity, equations rooted in geometrical insights into curved space spearheaded by the great nineteenth-century mathematician Georg Bernhard Riemann (more about Riemann later), Einstein was able to describe the mutual evolution of space, time, and matter quantitatively. To his great surprise, when the equations are applied beyond an isolated context within the universe, such as a planet or a comet orbiting a star, to the universe as a whole, a remarkable conclusion is reached: the overall size of the spatial universe must be changing in time. That is, either the fabric of the universe is stretching or it is shrinking, but it is not simply staying put. The equations of general relativity show this explicitly.
+This conclusion was too much even for Einstein. He had overturned the collective intuition regarding the nature of space and time built up through everyday experiences over thousands of years, but the notion of an always existing, never changing universe was too ingrained for even this radical thinker to abandon. For this reason, Einstein revisited his equations and modified them by introducing something known as a cosmological constant, an additional term that allowed him to avoid this prediction and once again bask in the comfort of a static universe. However, 12 years later, through detailed measurements of distant galaxies, the American astronomer Edwin Hubble experimentally established that the universe is expanding. In a now-famous story in the annals of science, Einstein then returned to the original form of his equations, citing his temporary modification of them as the biggest blunder of his life.12 His initial unwillingness to accept the conclusion notwithstanding, Einstein's theory predicted the expansion of the universe. In fact, in the early 1920s-years before Hubble's measurements-the Russian meteorologist Alexander Friedmann had used Einstein's original equations to show, in some detail, that all galaxies would be carried along on the substrate of stretching spatial fabric, thereby speedily moving away from all others. Hubble's observations and numerous subsequent ones have thoroughly verified this astonishing conclusion of general relativity. By offering the explanation for the expansion of the universe, Einstein achieved one of the greatest intellectual feats of all time.
+If the fabric of space is stretching, thereby increasing the distance between galaxies that are carried along on the cosmic flow, we can imagine running the evolution backward in time to learn about the origin of the universe. In reverse, the fabric of space shrinks, bringing all galaxies closer and closer to each other. Like the contents of a pressure cooker, as the shrinking universe compresses the galaxies together, the temperature dramatically increases, stars disintegrate and a hot plasma of matter's elementary constituents is formed. As the fabric continues to shrink, the temperature rises unabated, as does the density of the primordial plasma. As we imagine running the clock backward from the age of the presently observed universe, about 15 billion years, the universe as we know it is crushed to an ever smaller size. The matter making up everything-every car, house, building, mountain on earth; the earth itself; the moon; Saturn, Jupiter, and every other planet; the sun and every other star in the Milky Way; the Andromeda galaxy with its 100 billion stars and each and every other of the more than 100 billion galaxies-is squeezed by a cosmic vise to astounding density. And as the clock is turned back to ever earlier times, the whole of the cosmos is compressed to the size of an orange, a lemon, a pea, a grain of sand, and to yet tinier size still. Extrapolating all the way back to "the beginning," the universe would appear to have begun as a point-an image we will critically re-examine in later chapters-in which all matter and energy is squeezed together to unimaginable density and temperature. It is believed that a cosmic fireball, the big bang, erupted from this volatile mixture spewing forth the seeds from which the universe as we know it evolved.
+The image of the big bang as a cosmic explosion ejecting the material contents of the universe like shrapnel from an exploding bomb is a useful one to bear in mind, but it is a little misleading. When a bomb explodes, it does so at a particular location in space and at a particular moment in time. Its contents are ejected into the surrounding space. In the big bang, there is no surrounding space. As we devolve the universe backward toward the beginning, the squeezing together of all material content occurs because all of space is shrinking. The orange-size, the pea-size, the grain of sand-size devolution describes the whole of the universe-not something within the universe. Carrying on to the beginning, there is simply no space outside the primordial pinpoint grenade. Instead, the big bang is the eruption of compressed space whose unfurling, like a tidal wave, carries along matter and energy even to this day.
+Is General Relativity Right?
+No deviations from the predictions of general relativity have been found in experiments performed with our present level of technology. Only time will tell if greater experimental precision will ultimately uncover some, thereby showing this theory, too, to be only an approximate description of how nature actually works. The systematic testing of theories to greater and greater levels of accuracy is, certainly, one of the ways science progresses, but it is not the only way. In fact, we have already seen this: The search for a new theory of gravity was initiated, not by an experimental refutation of Newton's theory, but rather by the conflict of Newtonian gravity with another theory-special relativity. It was only after the discovery of general relativity as a competing theory of gravity that experimental flaws in Newton's theory were identified by seeking out tiny but measurable ways in which the two theories differ. Thus, internal theoretical inconsistencies can play as pivotal a role in driving progress as do experimental data.
+For the last half century, physics has been faced with still another theoretical conflict whose severity is on par with that between special relativity and Newtonian gravity. General relativity appears to be fundamentally incompatible with another extremely well-tested theory: quantum mechanics. Regarding the material covered in this chapter, the conflict prevents physicists from understanding what really happens to space, time, and matter when crushed together fully at the moment of the big bang or at the central point of a black hole. But more generally, the conflict alerts us to a fundamental deficiency in our conception of nature. The resolution of this conflict has eluded attempts by some of the greatest theoretical physicists, giving it a well-deserved reputation as the central problem of modern theoretical physics. Understanding the conflict requires familiarity with some basic features of quantum theory, to which we now turn.
+
+Chapter 4
+Microscopic Weirdness
+Abit worn out from their trans-solar-system expedition, George and Gracie return to earth and head over to the H-Bar for some post-space-sojourning refreshments. George orders the usual-papaya juice on the rocks for himself and a vodka tonic for Gracie-and kicks back in his chair, hands clasped behind his head, to enjoy a freshly lit cigar. Just as he prepares to inhale, though, he is stunned to find that the cigar has vanished from between his teeth. Thinking that the cigar must somehow have slipped from his mouth, George sits forward expecting to find it burning a hole in his shirt or trousers. But it is not there. The cigar is not to be found. Gracie, roused by George's frantic movement, glances over and spots the cigar lying on the counter directly behind George's chair. "Strange," George says, "how in the heck could it have fallen over there? It's as if it went right through my head-but my tongue isn't burned and I don't seem to have any new holes." Gracie examines George and reluctantly confirms that his tongue and head appear to be perfectly normal. As the drinks have just arrived, George and Gracie shrug their shoulders and chalk up the fallen cigar to one of life's little mysteries. But the weirdness at the H-Bar continues.
+George looks into his papaya juice and notices that the ice cubes are incessantly rattling around-bouncing off of each other and the sides of the glass like overcharged automobiles in a bumper-car arena. And this time he is not alone. Gracie holds up her glass, which is about half the size of George's, and both of them see that her ice cubes are bouncing around even more frantically. They can hardly make out the individual cubes as they all blur together into an icy mass. But none of this compares to what happens next. As George and Gracie stare at her rattling drink with wide-eyed wonderment, they see a single ice cube pass through the side of her glass and drop down to the bar. They grab the glass and see that it is fully intact; somehow the ice cube went right through the solid glass without causing any damage. "Must be post-space-walk hallucinations," says George. They each fight off the frenzy of careening ice cubes to down their drinks in one go, and head home to recover. Little do George and Gracie realize that in their haste to leave, they mistook a decorative door painted on a wall of the bar for the real thing. The patrons of the H-Bar, though, are well accustomed to people passing through walls and hardly take note of George and Gracie's abrupt departure.
+A century ago, while Conrad and Freud were illuminating the heart and the soul of darkness, the German physicist Max Planck shed the first ray of light on quantum mechanics, a conceptual framework that proclaims, among other things, that the H-Bar experiences of George and Gracie-when scaled down to the microscopic realm-need not be attributed to clouded faculties. Such unfamiliar and bizarre happenings are typical of how our universe, on extremely small scales, actually behaves.
+The Quantum Framework
+Quantum mechanics is a conceptual framework for understanding the microscopic properties of the universe. And just as special relativity and general relativity require dramatic changes in our worldview when things are moving very quickly or when they are very massive, quantum mechanics reveals that the universe has equally if not more startling properties when examined on atomic and subatomic distance scales. In 1965, Richard Feynman, one of the greatest practitioners of quantum mechanics, wrote,
+There was a time when the newspapers said that only twelve men understood the theory of relativity. I do not believe there ever was such a time. There might have been a time when only one man did because he was the only guy who caught on, before he wrote his paper. But after people read the paper a lot of people understood the theory of relativity in one way or other, certainly more than twelve. On the other hand I think I can safely say that nobody understands quantum mechanics.1
+Although Feynman expressed this view more than three decades ago, it applies equally well today What he meant is that although the special and general theories of relativity require a drastic revision of previous ways of seeing the world, when one fully accepts the basic principles underlying them, the new and unfamiliar implications for space and time follow directly from careful logical reasoning. If you ponder the descriptions of Einstein's work in the preceding two chapters with adequate intensity, you will-if even for just a moment-recognize the inevitability of the conclusions we have drawn. Quantum mechanics is different. By 1928 or so, many of the mathematical formulas and rules of quantum mechanics had been put in place and, ever since, it has been used to make the most precise and successful numerical predictions in the history of science. But in a real sense those who use quantum mechanics find themselves following rules and formulas laid down by the "founding fathers" of the theory-calculational procedures that are straightforward to carry out-without really understanding why the procedures work or what they really mean. Unlike relativity, few if any people ever grasp quantum mechanics at a "soulful" level.
+What are we to make of this? Does it mean that on a microscopic level the universe operates in ways so obscure and unfamiliar that the human mind, evolved over eons to cope with phenomena on familiar everyday scales, is unable to fully grasp "what really goes on"? Or, might it be that through historical accident physicists have constructed an extremely awkward formulation of quantum mechanics that, although quantitatively successful, obfuscates the true nature of reality? No one knows. Maybe some time in the future some clever person will see clear to a new formulation that will fully reveal the "whys" and the "whats" of quantum mechanics. And then again, maybe not. The only thing we know with certainty is that quantum mechanics absolutely and unequivocally shows us that a number of basic concepts essential to our understanding of the familiar everyday world fail to have any meaning when our focus narrows to the microscopic realm. As a result, we must significantly modify both our language and our reasoning when attempting to understand and explain the universe on atomic and subatomic scales.
+In the following sections we will develop the basics of this language and describe a number of the remarkable surprises it entails. If along the way quantum mechanics seems to you to be altogether bizarre or even ludicrous, you should bear in mind two things. First, beyond the fact that it is a mathematically coherent theory, the only reason we believe in quantum mechanics is because it yields predictions that have been verified to astounding accuracy. If someone can tell you volumes of intimate details of your childhood in excruciating detail, it's hard not to believe their claim of being your long-lost sibling. Second, you are not alone in having this reaction to quantum mechanics. It is a view held to a greater or lesser extent by some of the most revered physicists of all time. Einstein refused to accept quantum mechanics fully. And even Niels Bohr, one of the central pioneers of quantum theory and one of its strongest proponents, once remarked that if you do not get dizzy sometimes when you think about quantum mechanics, then you have not really understood it.
+It's Too Hot in the Kitchen
+The road to quantum mechanics began with a puzzling problem. Imagine that your oven at home is perfectly insulated, that you set it to some temperature, say 400 degrees Fahrenheit, and you give it enough time to heat up. Even if you had sucked all the air from the oven before turning it on, by heating its walls you generate waves of radiation in its interior. This is the same kind of radiation-heat and light in the form of electromagnetic waves-that is emitted by the surface of the sun, or a glowing-hot iron poker.
+Here's the problem. Electromagnetic waves carry energy-life on earth, for example, relies crucially on solar energy transmitted from the sun to the earth by electromagnetic waves. At the beginning of the twentieth century, physicists calculated the total energy carried by all of the electromagnetic radiation inside an oven at a chosen temperature. Using well-established calculational procedures they came up with a ridiculous answer: For any chosen temperature, the total energy in the oven is infinite.
+It was clear to everyone that this was nonsense-a hot oven can embody significant energy but surely not an infinite amount. To understand the resolution proposed by Planck it is worth understanding the problem in a bit more detail. It turns out that when Maxwell's electromagnetic theory is applied to the radiation in an oven it shows that the waves generated by the hot walls must have a whole number of peaks and troughs that fit perfectly between opposite surfaces. Some examples are shown in Figure 4.1. Physicists use three terms to describe these waves: wavelength, frequency, and amplitude. The wavelength is the distance between successive peaks or successive troughs of the waves, as illustrated in Figure 4.2. More peaks and troughs mean a shorter wavelength, as they must all be crammed in between the fixed walls of the oven. The frequency refers to the number of up-and-down cycles of oscillation that a wave completes every second. It turns out that the frequency is determined by the wavelength and vice versa: longer wavelengths imply lower frequency; shorter wavelengths imply higher frequency. To see why, think of what happens when you produce waves by shaking a long rope that is tied down at one end. To generate a long wavelength, you leisurely shake your end up and down. The frequency of the waves matches the number of cycles per second your arm goes through and is consequently fairly low. But to generate short wavelengths you shake your end more frantically-more frequently, so to speak-and this yields a higher-frequency wave. Finally, physicists use the term amplitude to describe the maximum height or depth of a wave, as also illustrated in Figure 4.2.
+In case you find electromagnetic waves a bit abstract, another good analogy to keep in mind are the waves that are produced by plucking a violin string. Different wave frequencies correspond to different musical notes: the higher the frequency, the higher the note. The amplitude of a wave on a violin string is determined by how hard you pluck it. A harder pluck means that you put more energy into the wave disturbance; more energy therefore corresponds to a larger amplitude. You can hear this, as the resulting tone is louder. Similarly, less energy corresponds to a smaller amplitude and a lower volume of sound.
+By making use of nineteenth-century thermodynamics, physicists were able to determine how much energy the hot walls of the oven would pump into electromagnetic waves of each allowed wavelength-how hard the walls would, in effect, "pluck" each wave. The result they found is simple to state: Each of the allowed waves-regardless of its wavelength-carries the same amount of energy (with the precise amount determined by the temperature of the oven). In other words, all of the possible wave patterns within the oven are on completely equal footing when it comes to the amount of energy they embody.
+At first this seems like an interesting, albeit innocuous, result. It isn't. It spells the downfall of what has come to be known as classical physics. The reason is this: Even though requiring that all waves have a whole number of peaks and troughs rules out an enormous variety of conceivable wave patterns in the oven, there are still an infinite number that are possible-those with ever more peaks and troughs. Since each wave pattern carries the same amount of energy, an infinite number of them translates into an infinite amount of energy. At the turn of the century, there was a gargantuan fly in the theoretical ointment.
+Making Lumps at the Turn of the Century
+In 1900 Planck made an inspired guess that allowed a way out of this puzzle and would earn him the 1918 Nobel Prize in physics.2 To get a feel for his resolution, imagine that you and a huge crowd of people-"infinite" in number-are crammed into a large, cold warehouse run by a miserly landlord. There is a fancy digital thermostat on the wall that controls the temperature but you are shocked when you discover the charges that the landlord levies for heat. If the thermostat is set to 50 degrees Fahrenheit everyone must give the landlord $50. If it is set to 55 degrees everyone must pay $55, and so on. You realize that since you are sharing the warehouse with an infinite number of companions, the landlord will earn an infinite amount of money if you turn on the heat at all.
+But on closer reading of the landlord's rules of payment you see a loophole. Because the landlord is a very busy man he does not want to give change, especially not to an infinite number of individual tenants. So he works on an honor system. Those who can pay exactly what they owe, do so. Otherwise, they pay only as much as they can without requiring change. And so, wanting to involve everyone but wanting to avoid the exorbitant charges for heat, you compel your comrades to organize the wealth of the group in the following manner: One person carries all of the pennies, one person carries all of the nickels, one carries all of the dimes, one carries all of the quarters, and so on through dollar bills, five-dollar bills, ten-dollar bills, twenties, fifties, hundreds, thousands, and ever larger (and unfamiliar) denominations. You brazenly set the thermostat to 80 degrees and await the landlord's arrival. When he does come, the person carrying pennies goes to pay first and turns over 8,000. The person carrying nickels then turns over 1,600 of them, the person carrying dimes turns over 800, the person with quarters turns over 320, the person with dollars gives the landlord 80, the person with five-dollar bills turns over 16, the person with ten-dollar bills gives him 8, the person with twenties gives him 4, and the person with fifties hands over one (since 2 fifty-dollar bills would exceed the necessary payment, thereby requiring change). But everyone else carries only a denomination-a minimal "lump" of money-that exceeds the required payment. Therefore they cannot pay the landlord and hence rather than getting the infinite amount of money he expected, the landlord leaves with the paltry sum of $690.
+Planck made use of a very similar strategy to reduce the ridiculous result of infinite energy in an oven to one that is finite. Here's how. Planck boldly guessed that the energy carried by an electromagnetic wave in the oven, like money, comes in lumps. The energy can be one times some fundamental "energy denomination," or two times it, or three times it, and so forth-but that's it. Just as you can't have one-third of a penny or two and a half quarters, Planck declared that when it comes to energy, no fractions are allowed. Now, our monetary denominations are determined by the United States Treasury. Seeking a more fundamental explanation, Planck suggested that the energy denomination of a wave-the minimal lump of energy that it can have-is determined by its frequency. Specifically, he posited that the minimum energy a wave can have is proportional to its frequency: larger frequency (shorter wavelength) implies larger minimum energy; smaller frequency (longer wavelength) implies smaller minimum energy. Roughly speaking, just as gentle ocean waves are long and luxurious while harsh ones are short and choppy, long-wavelength radiation is intrinsically less energetic than short-wavelength radiation.
+Here's the punch line: Planck's calculations showed that this lumpiness of the allowed energy in each wave cured the previous ridiculous result of infinite total energy. It's not hard to see why. When an oven is heated to some chosen temperature, the calculations based on nineteenth-century thermodynamics predicted the common energy that each and every wave would supposedly contribute to the total. But like those comrades who cannot contribute the common amount of money they each owe the landlord because the monetary denomination they carry is too large, if the minimum energy a particular wave can carry exceeds the energy it is supposed to contribute, it can't contribute and instead lies dormant. Since, according to Planck, the minimum energy a wave can carry is proportional to its frequency, as we examine waves in the oven of ever larger frequency (shorter wavelength), sooner or later the minimum energy they can carry is bigger than the expected energy contribution. Like the comrades in the warehouse entrusted with denominations larger than fifty-dollar bills, these waves with ever-larger frequencies cannot contribute the amount of energy demanded by nineteenth-century physics. And so, just as only a finite number of comrades are able to contribute to the total heat payment-leading to a finite amount of total money-only a finite number of waves are able to contribute to the oven's total energy-again leading to a finite amount of total energy. Be it energy or money the lumpiness of the fundamental units-and the ever increasing size of these lumps as we go to higher frequencies or to larger monetary denominations-changes an infinite answer to one that is finite.3
+By eliminating the manifest nonsense of an infinite result, Planck had taken an important step. But what really made people believe that his guess had validity is that the finite answer that his new approach gave for the energy in an oven agreed spectacularly with experimental measurements. Specifically, Planck found that by adjusting one parameter that entered into his new calculations, he could predict accurately the measured energy of an oven for any selected temperature. This one parameter is the proportionality factor between the frequency of a wave and the minimal lump of energy it can have. Planck found that this proportionality factor-now known as Planck's constant and denoted ħ (pronounced "h-bar")-is about a billionth of a billionth of a billionth in everyday units.4 The tiny value of Planck's constant means that the size of the energy lumps are typically very small. This is why, for example, it seems to us that we can cause the energy of a wave on a violin string-and hence the volume of sound it produces-to change continuously. In reality, though, the energy of the wave passes through discrete steps, à la Planck, but the size of the steps is so small that the discrete jumps from one volume to another appear to be smooth. According to Planck's assertion, the size of these jumps in energy grows as the frequency of the waves gets higher and higher (while wavelengths get shorter and shorter). This is the crucial ingredient that resolves the infinite-energy paradox.
+As we shall see, Planck's quantum hypothesis does far more than allow us to understand the energy content of an oven. It overturns much about the world that we hold to be self-evident. The smallness of ħ confines most of these radical departures from life-as-usual to the microscopic realm, but if ħ happened to be much larger than it is, the strange happenings at the H-Bar would actually be commonplace. As we shall see, their microscopic counterparts certainly are.
+What Are the Lumps?
+Planck had no justification for his pivotal introduction of lumpy energy. Beyond the fact that it worked, neither he nor anyone else could give a compelling reason for why it should be true. As the physicist George Gamow once said, it was as if nature allowed one to drink a whole pint of beer or no beer at all, but nothing in between.5 In 1905, Einstein found an explanation and for this insight he was awarded the 1921 Nobel Prize in physics.
+Einstein came up with his explanation by puzzling over something known as the photoelectric effect. The German physicist Heinrich Hertz in 1887 was the first to find that when electromagnetic radiation-light-shines on certain metals, they emit electrons. By itself this is not particularly remarkable. Metals have the property that some of their electrons are only loosely bound within atoms (which is why they are such good conductors of electricity). When light strikes the metallic surface it relinquishes its energy, much as it does when it strikes the surface of your skin, causing you to feel warmer. This transferred energy can agitate electrons in the metal, and some of the loosely bound ones can be knocked clear off the surface.
+But the strange features of the photoelectric effect become apparent when one studies more detailed properties of the ejected electrons. At first sight you would think that as the intensity of the light-its brightness-is increased, the speed of the ejected electrons will also increase, since the impinging electromagnetic wave has more energy. But this does not happen. Rather, the number of ejected electrons increases, but their speed stays fixed. On the other hand, it has been experimentally observed that the speed of the ejected electrons does increase if the frequency of the impinging light is increased, and, equivalently, their speed decreases if the frequency of the light is decreased. (For electromagnetic waves in the visible part of the spectrum, an increase in frequency corresponds to a change in color from red to orange to yellow to green to blue to indigo and finally to violet. Frequencies higher than that of violet are not visible and correspond to ultraviolet and, subsequently, X rays; frequencies lower than that of red are also not visible, and correspond to infrared radiation.) In fact, as the frequency of the light used is decreased, there comes a point when the speed of the emitted electrons drops to zero and they stop being ejected from the surface, regardless of the possibly blinding intensity of the light source. For some unknown reason, the color of the impinging light beam-not its total energy-controls whether or not electrons are ejected, and if they are, the energy they have.
+To understand how Einstein explained these puzzling facts, let's go back to the warehouse, which has now heated up to a balmy 80 degrees. Imagine that the landlord, who hates children, requires everyone under the age of fifteen to live in the sunken basement of the warehouse, which the adults can view from a huge wraparound balcony. Moreover, the only way any of the enormous number of basement-bound children can leave the warehouse is if they can pay the guard an 85-cent exit fee. (This landlord is such an ogre.) The adults, who at your urging have arranged the collective wealth by denomination as described above, can give money to the children only by throwing it down to them from the balcony. Let's see what happens.
+The person carrying pennies begins by tossing a few down, but this is far too meagre a sum for any of the children to be able to afford the departure fee. And because there is an essentially "infinite" sea of children all ferociously fighting in a turbulent tumult for the falling money, even if the penny-entrusted adult throws enormous numbers down, no individual child will come anywhere near collecting the 85 he or she needs to pay the guard. The same is true for the adults carrying nickels, dimes, and quarters. Although each tosses down a staggeringly large total amount of money, any single child is lucky if he or she gets even one coin (most get nothing at all) and certainly no child collects the 85 cents necessary to leave. But then, when the adult carrying dollars starts throwing them down-even comparatively tiny sums, dollar by single dollar-those lucky children who catch a single bill are able to leave immediately. Notice, though, that even as this adult loosens up and throws down barrels of dollar bills, the number of children who are able to leave increases enormously, but each has exactly 15 cents left after paying the guard. This is true regardless of the total number of dollars tossed.
+Here is what all this has to do with the photoelectric effect. Based on the experimental data reviewed above, Einstein suggested incorporating Planck's lumpy picture of wave energy into a new description of light. A light beam, according to Einstein, should actually be thought of as a stream of tiny packets-tiny particles of light-which were ultimately christened photons by the chemist Gilbert Lewis (an idea we made use of in our example of the light clock of Chapter 2). To get a sense of scale, according to this particle view of light, a typical one-hundred-watt bulb emits about a hundred billion billion (1020) photons per second. Einstein used this new conception to suggest a microscopic mechanism underlying the photoelectric effect: An electron is knocked off a metallic surface, he proposed, if it gets hit by a sufficiently energetic photon. And what determines the energy of an individual photon? To explain the experimental data, Einstein followed Planck's lead and proposed that the energy of each photon is proportional to the frequency of the light wave (with the proportionality factor being Planck's constant).
+Now, like the children's minimum departure fee, the electrons in a metal must be jostled by a photon possessing a certain minimum energy in order to be kicked off the surface. (As with the children fighting for money, it is extremely unlikely that any one electron gets hit by more than one photon-most don't get hit at all.) But if the impinging light beam's frequency is too low, its individual photons will lack the punch necessary to eject electrons. Just as no children can afford to leave regardless of the huge total number of coins the adults shower upon them, no electrons are jostled free regardless of the huge total energy embodied in the impinging light beam, if its frequency (and thus the energy of its individual photons) is too low.
+But just as children are able to leave the warehouse as soon as the monetary denomination showered upon them gets large enough, electrons will be knocked off the surface as soon as the frequency of the light shone on them-its energy denomination-gets high enough. Moreover, just as the dollar-entrusted adult increases the total money thrown down by increasing the number of individual bills tossed, the total intensity of a light beam of a chosen frequency is increased by increasing the number of photons it contains. And just as more dollars result in more children being able to leave, more photons result in more electrons being hit and knocked clear off the surface. But notice that the leftover energy that each of these electrons has after ripping free of the surface depends solely on the energy of the photon that hits it-and this is determined by the frequency of the light beam, not its total intensity. Just as children leave the basement with 15 cents no matter how many dollar bills are thrown down, each electron leaves the surface with the same energy-and hence the same speed-regardless of the total intensity of the impinging light. More total money simply means more children can leave; more total energy in the light beam simply means more electrons are knocked free. If we want children to leave the basement with more money, we must increase the monetary denomination tossed down; if we want electrons to leave the surface with greater speed, we must increase the frequency of the impinging light beam-that is, we must increase the energy denomination of the photons we shine on the metallic surface.
+This is precisely in accord with the experimental data. The frequency of the light (its color) determines the speed of the ejected electrons; the total intensity of the light determines the number of ejected electrons. And so Einstein showed that Planck's guess of lumpy energy actually reflects a fundamental feature of electromagnetic waves: They are composed of particles-photons-that are little bundles, or quanta, of light. The lumpiness of the energy embodied by such waves is due to their being composed of lumps.
+Einstein's insight represented great progress. But, as we shall now see, the story is not as tidy as it might appear.
+Is It a Wave or Is It a Particle?
+Everyone knows that water-and hence water waves-are composed of a huge number of water molecules. So is it really surprising that light waves are also composed of a huge number of particles, namely photons? It is. But the surprise is in the details. You see, more than three hundred years ago Newton proclaimed that light consisted of a stream of particles, so the idea is not exactly new. However, some of Newton's colleagues, most notably the Dutch physicist Christian Huygens, disagreed with him and argued that light is a wave. The debate raged but ultimately experiments carried out by the English physicist Thomas Young in the early 1800s showed that Newton was wrong.
+A version of Young's experimental setup-known as the double-slit experiment-is schematically illustrated in Figure 4.3. Feynman was fond of saying that all of quantum mechanics can be gleaned from carefully thinking through the implications of this single experiment, so it's well worth discussing. As we see from Figure 4.3, light is shone on a thin solid barrier in which two slits are cut. A photographic plate records the light that gets through the slits-brighter areas of the photograph indicate more incident light. The experiment consists of comparing the images on photographic plates that result when either or both of the slits in the barrier are kept open and the light source is turned on.
+If the left slit is covered and the right slit is open, the photograph looks like that shown in Figure 4.4. This makes good sense, since the light that hits the photographic plate must pass through the only open slit and will therefore be concentrated around the right part of the photograph. Similarly, if the right slit is covered and the left slit open, the photograph will look like that in Figure 4.5. If both slits are open, Newton's particle picture of light leads to the prediction that the photographic plate will look like that in Figure 4.6, an amalgam of Figures 4.4 and 4.5. In essence, if you think of Newton's corpuscles of light as if they were little pellets you fire at the wall, the ones that get through will be concentrated in the two areas that line up with the two slits. The wave picture of light, on the contrary, leads to a very different prediction for what happens when both slits are open. Let's see this.
+Imagine for a moment that rather than dealing with light waves we use water waves. The result we will find is the same, but water is easier to think about. When water waves strike the barrier, outgoing circular water waves emerge from each slit, much like those created by throwing a pebble into a pond, as illustrated in Figure 4.7. (It is simple to try this using a cardboard barrier with two slits in a pan of water.) As the waves emerging from each slit overlap with each other, something quite interesting happens. If two wave peaks overlap, the height of the water wave at that point increases: It's the sum of the heights of the two individual peaks. If two wave troughs overlap, the depth of the water depression at that point is similarly increased. And finally, if a wave peak emerging from one slit overlaps with a wave trough emerging from the other, they cancel each other out. (In fact, this is the idea behind fancy noise-eliminating headphones-they measure the shape of the incoming sound wave and then produce another whose shape is exactly "opposite," leading to a cancellation of the undesired noise.) In between these extreme overlaps-peaks with peaks, troughs with troughs, and peaks with troughs-are a host of partial height augmentations and cancellations. If you and a slew of companions form a line of little boats parallel to the barrier and you each declare how severely you are jostled by the resulting water wave as it passes, the result will look something like that shown on the far right of Figure 4.7. Locations of significant jostling are where wave peaks (or troughs) from each slit coincide. Regions of minimal or no jostling are where peaks from one slit coincide with troughs from the other, resulting in a cancellation.
+Since the photographic plate records how much it is "Jostled" by the incoming light, exactly the same reasoning applied to the wave picture of a light beam tells us that when both slits are open the photograph will look like that in Figure 4.8. The brightest areas in Figure 4.8 are where light-wave peaks (or troughs) from each slit coincide. Dark areas are where wave peaks from one slit coincide with wave troughs from the other, resulting in a cancellation. The sequence of light and dark bands is known as an interference pattern. This photograph is significantly different from that shown in Figure 4.6, and hence there is a concrete experiment to distinguish between the particle and the wave pictures of light. Young carried out a version of this experiment and his results matched Figure 4.8, thereby confirming the wave picture. Newton's corpuscular view was defeated (although it took quite some time before physicists accepted this). The prevailing wave view of light was subsequently put on a mathematically firm foundation by Maxwell.
+But Einstein, the man who brought down Newton's revered theory of gravity, seems now to have resurrected Newton's particle model of light by his introduction of photons. Of course, we still face the same question: How can a particle perspective account for the interference pattern shown in Figure 4.8? At first blush you might make the following suggestion. Water is composed of H2O molecules-the "particles" of water. Nevertheless, when a lot of these molecules stream along with one another they can produce water waves, with the attendant interference properties illustrated in Figure 4.7. And so, it might seem reasonable to guess that wave properties, such as interference patterns, can arise from a particle picture of light provided a huge number of photons, the particles of light, are involved.
+In reality, though, the microscopic world is far more subtle. Even if the intensity of the light source in Figure 4.8 is turned down and down finally to the point where individual photons are being fired one by one at the barrier-say at the rate of one every ten seconds-the resulting photographic plate will still look like that in Figure 4.8: So long as we wait long enough for a huge number of these separate bundles of light to make it through the slits and to each be recorded by a single dot where they hit the photographic plate, these dots will build up to form the image of an interference pattern, the image in Figure 4.8. This is astounding. How can individual photon particles that sequentially pass through the screen and separately hit the photographic plate conspire to produce the bright and dark bands of interfering waves? Conventional reasoning tells us that each and every photon passes through either the left slit or the right slit and we would therefore expect to find the pattern shown in Figure 4.6. But we don't.
+If you are not bowled over by this fact of nature, it means that either you have seen it before and have become blasé or the description so far has not been sufficiently vivid. So, in case it's the latter, let's describe it again, but in a slightly different way. You close off the left slit and fire the photons one by one at the barrier. Some get through, some don't. The ones that do create an image on the photographic plate, dot by single dot, which looks like that in Figure 4.4. You then run the experiment again with a new photographic plate, but this time you open both slits. Naturally enough, you think that this will only increase the number of photons that pass through the slits in the barrier and hit the photographic plate, thereby exposing the film to more total light than in your first run of the experiment. But when you later examine the image produced, you find that not only are there places on the photographic plate that were dark in the first experiment and are now bright, as expected, there are also places on the photographic plate that were bright in your first experiment but are now dark, as in Figure 4.8. By increasing the number of individual photons that hit the photographic plate you have decreased the brightness in, certain areas. Somehow, temporally separated, individual particulate photons are able to cancel each other out. Think about how crazy this is: Photons that would have passed through the right slit and hit the film in one of the dark bands in Figure 4.8 fail to do so when the left slit is opened (which is why the band is now dark). But how in the world can a tiny bundle of light that passes through one slit be at all affected by whether or not the other slit is open? As Feynman noted, it's as strange as if you fire a machine gun at the screen, and when both slits are open, independent, separately fired bullets somehow cancel one another out, leaving a pattern of unscathed positions on the target-positions that are hit when only one slit in the barrier is open.
+Such experiments show that Einstein's particles of light are quite different from Newton's. Somehow photons-although they are particles-embody wave-like features of light as well. The fact that the energy of these particles is determined by a wave-like feature-frequency-is the first clue that a strange union is occurring. But the photoelectric effect and the double-slit experiment really bring the lesson home. The photoelectric effect shows that light has particle properties. The double-slit experiment shows that light manifests the interference properties of waves. Together they show that light has both wave-like and particle-like properties. The microscopic world demands that we shed our intuition that something is either a wave or a particle and embrace the possibility that it is both. It is here that Feynman's pronouncement that "nobody understands quantum mechanics" comes to the fore. We can utter words such as "wave-particle duality." We can translate these words into a mathematical formalism that describes real-world experiments with amazing accuracy. But it is extremely hard to understand at a deep, intuitive level this dazzling feature of the microscopic world.
+Matter Particles Are Also Waves
+In the first few decades of the twentieth century, many of the greatest theoretical physicists grappled tirelessly to develop a mathematically sound and physically sensible understanding of these hitherto hidden microscopic features of reality. Under the leadership of Niels Bohr in Copenhagen, for example, substantial progress was made in explaining the properties of light emitted by glowing-hot hydrogen atoms. But this and other work prior to the mid-1920s was more a makeshift union of nineteenth-century ideas with newfound quantum concepts than a coherent framework for understanding the physical universe. Compared with the clear, logical framework of Newton's laws of motion or Maxwell's electromagnetic theory, the partially developed quantum theory was in a chaotic state.
+In 1923, the young French nobleman Prince Louis de Broglie added a new element to the quantum fray, one that would shortly help to usher in the mathematical framework of modern quantum mechanics and that earned him the 1929 Nobel Prize in physics. Inspired by a chain of reasoning rooted in Einstein's special relativity, de Broglie suggested that the wave-particle duality applied not only to light but to matter as well. He reasoned, roughly speaking, that Einstein's E = mc
+2 relates mass to energy, that Planck and Einstein had related energy to the frequency of waves, and therefore, by combining the two, mass should have a wave-like incarnation as well. After carefully working through this line of thought, he suggested that just as light is a wave phenomenon that quantum theory shows to have an equally valid particle description, an electron-which we normally think of as being a particle-might have an equally valid description in terms of waves. Einstein immediately took to de Broglie's idea, as it was a natural outgrowth of his own contributions of relativity and of photons. Even so, nothing is a substitute for experimental proof. Such proof was soon to come from the work of Clinton Davisson and Lester Germer.
+In the mid-1920s, Davisson and Germer, experimental physicists at the Bell telephone company, were studying how a beam of electrons bounces off of a chunk of nickel. The only detail that matters for us is that the nickel crystals in such an experiment act very much like the two slits in the experiment illustrated by the figures of the last section-in fact, it's perfectly OK to think of this experiment as being the same one illustrated there, except that a beam of electrons is used in place of a beam of light. We will adopt this point of view. When Davisson and Germer examined electrons making it through the two slits in the barrier by allowing them to hit a phosphorescent screen that recorded the location of impact of each electron by a bright dot-essentially what happens inside a television-they found something remarkable. A pattern very much akin to that of Figure 4.8 emerged. Their experiment therefore showed that electrons exhibit interference phenomena, the telltale sign of waves. At dark spots on the phosphorescent screen, electrons were somehow "canceling each other out" just like the overlapping peak and trough of water waves. Even if the beam of fired electrons was "thinned" so that, for instance, only one electron was emitted every ten seconds, the individual electrons still built up the bright and dark bands-one spot at a time. Somehow, as with photons, individual electrons "interfere" with themselves in the sense that individual electrons, over time, reconstruct the interference pattern associated with waves. We are inescapably forced to conclude that each electron embodies a wave-like character in conjunction with its more familiar depiction as a particle.
+Although we have described this in the case of electrons, similar experiments lead to the conclusion that all matter has a wave-like character. But how does this jibe with our real-world experience of matter as being solid and sturdy, and in no way wave-like? Well, de Broglie set down a formula for the wavelength of matter waves, and it shows that the wavelength is proportional to Planck's constant ħ. (More precisely, the wavelength is given by ħ divided by the material body's momentum.) Since ħ is so small, the resulting wavelengths are similarly minuscule compared with everyday scales. This is why the wave-like character of matter becomes directly apparent only upon careful microscopic investigation. just as the large value of c, the speed of light, obscures much of the true nature of space and time, the smallness of ħ obscures the wave-like aspects of matter in the day-to-day world.
+Waves of What?
+The interference phenomenon found by Davisson and Germer made the wave-like nature of electrons tangibly evident. But waves of what? One early suggestion made by Austrian physicist Erwin Schrödinger was that the waves were "smeared-out" electrons. This captured some of the "feeling" of an electron wave, but it was too rough. When you smear something out, part of it is here and part of it is there. However, one never encounters half of an electron or a third of an electron or any other fraction, for that matter. This makes it hard to grasp what a smeared electron actually is. As an alternative, in 1926 German physicist Max Born sharply refined Schrödinger's interpretation of an electron wave, and it is his interpretation-amplified by Bohr and his colleagues-that is still with us today. Born's suggestion is one of the strangest features of quantum theory, but is supported nonetheless by an enormous amount of experimental data. He asserted that an electron wave must be interpreted from the standpoint of probability. Places where the magnitude (a bit more correctly, the square of magnitude) of the wave is large are places where the electron is more likely to be found; places where the magnitude is small are places where the electron is less likely to be found. An example is illustrated in Figure 4.9.
+This is truly a peculiar idea. What business does probability have in the formulation of fundamental physics? We are accustomed to probability showing up in horse races, in coin tosses, and at the roulette table, but in those cases it merely reflects our incomplete knowledge. If we knew precisely the speed of the roulette wheel, the weight and hardness of the white marble, the location and speed of the marble when it drops to the wheel, the exact specifications of the material constituting the cubicles and so on, and if we made use of sufficiently powerful computers to carry out our calculations we would, according to classical physics, be able to predict with certainty where the marble would settle. Gambling casinos rely on your inability to ascertain all of this information and to do the necessary calculations prior to placing your bet. But we see that probability as encountered at the roulette table does not reflect anything particularly fundamental about how the world works. Quantum mechanics, on the contrary, injects the concept of probability into the universe at a far deeper level. According to Born and more than half a century of subsequent experiments, the wave nature of matter implies that matter itself must be described fundamentally in a probabilistic manner. For macroscopic objects like a coffee cup or the roulette wheel, de Broglie's rule shows that the wave-like character is virtually unnoticeable and for most ordinary purposes the associated quantum-mechanical probability can be completely ignored. But at a microscopic level we learn that the best we can ever do is say that an electron has a particular probability of being found at any given location.
+The probabilistic interpretation has the virtue that if an electron wave does what other waves can do-for instance, slam into some obstacle and develop all sorts of distinct ripples-it does not mean that the electron itself has shattered into separate pieces. Rather, it means that there are now a number of locations where the electron might be found with a non-negligible probability. In practice this means that if a particular experiment involving an electron is repeated over and over again in an absolutely identical manner, the same answer for, say, the measured position of an electron will not be found over and over again. Rather, the subsequent repeats of the experiment will yield a variety of different results with the property that the number of times the electron is found at any given location is governed by the shape of the electron's probability wave. If the probability wave (more precisely, the square of the probability wave) is twice as large at location A than at location B, then the theory predicts that in a sequence of many repeats of the experiment the electron will be found at location A twice as often as at location B. Exact outcomes of experiments cannot be predicted; the best we can do is predict the probability that any given outcome may occur.
+Even so, as long as we can determine mathematically the precise form of probability waves, their probabilistic predictions can be tested by repeating a given experiment numerous times, thereby experimentally measuring the likelihood of getting one particular result or another. Just a few months after de Broglie's suggestion, Schrödinger took the decisive step toward this end by determining an equation that governs the shape and the evolution of probability waves, or as they came to be known, wave functions. It was not long before Schrödinger's equation and the probabilistic interpretation were being used to make wonderfully accurate predictions. By 1927, therefore, classical innocence had been lost. Gone were the days of a clockwork universe whose individual constituents were set in motion at some moment in the past and obediently fulfilled their inescapable, uniquely determined destiny. According to quantum mechanics, the universe evolves according to a rigorous and precise mathematical formalism, but this framework determines only the probability that any particular future will happen-not which future actually ensues.
+Many find this conclusion troubling or even downright unacceptable. Einstein was one. In one of physics' most time-honored utterances, Einstein admonished the quantum stalwarts that "God does not play dice with the Universe." He felt that probability was turning up in fundamental physics because of a subtle version of the reason it turns up at the roulette wheel: some basic incompleteness in our understanding. The universe, in Einstein's view, had no room for a future whose precise form involves an element of chance. Physics should predict how the universe evolves, not merely the likelihood that any particular evolution might occur. But experiment after experiment-some of the most convincing ones being carried out after his death-convincingly confirm that Einstein was wrong. As the British theoretical physicist Stephen Hawking has said, on this point "Einstein was confused, not the quantum theory."6
+Nevertheless, the debate about what quantum mechanics really means continues unabated. Everyone agrees on how to use the equations of quantum theory to make accurate predictions. But there is no consensus on what it really means to have probability waves, nor on how a particle "chooses" which of its many possible futures to follow, nor even on whether it really does choose or instead splits off like a branching tributary to live out all possible futures in an ever-expanding arena of parallel universes. These interpretational issues are worthy of a book-length discussion in their own right, and, in fact, there are many excellent books that espouse one or another way of thinking about quantum theory. But what appears certain is that no matter how you interpret quantum mechanics, it undeniably shows that the universe is founded on principles that, from the standpoint of our day-to-day experiences, are bizarre.
+The meta-lesson of both relativity and quantum mechanics is that when we deeply probe the fundamental workings of the universe we may come upon aspects that are vastly different from our expectations. The boldness of asking deep questions may require unforeseen flexibility if we are to accept the answers.
+Feynman's Perspective
+Richard Feynman was one of the greatest theoretical physicists since Einstein. He fully accepted the probabilistic core of quantum mechanics, but in the years following World War II he offered a powerful new way of thinking about the theory. From the standpoint of numerical predictions, Feynman's perspective agrees exactly with all that went before. But its formulation is quite different. Let's describe it in the context of the electron two-slit experiment.
+The troubling thing about Figure 4.8 is that we envision each electron as passing through either the left slit or the right slit and therefore we expect the union of Figures 4.4 and 4.5, as in Figure 4.6, to represent the resulting data accurately. An electron that passes through the right slit should not care that there also happens to be a left slit, and vice versa. But somehow it does. The interference pattern generated requires an overlapping and an intermingling between something sensitive to both slits, even if we fire electrons one by one. Schrödinger de Broglie, and Born explained this phenomenon by associating a probability wave to each electron. Like the water waves in Figure 4.7, the electron's probability wave "sees" both slits and is subject to the same kind of interference from intermingling. Places where the probability wave is augmented by the intermingling, like the places of significant jostling in Figure 4.7, are locations where the electron is likely to be found; places where the probability wave is diminished by the intermingling, like the places of minimal or no jostling in Figure 4.7, are locations where the electron is unlikely or never to be found. Electrons hit the phosphorescent screen one by one, distributed according to this probability profile, and thereby build up an interference pattern like that in Figure 4.8.
+Feynman took a different tack. He challenged the basic classical assumption that each electron either goes through the left slit or the right slit. You might think this to be such a basic property of how things work that challenging it is fatuous. After all, can't you look in the region between the slits and the phosphorescent screen to determine through which slit each electron passes? You can. But now you have changed the experiment. To see the electron you must do something to it-for instance, you can shine light on it, that is, bounce photons off it. Now, on everyday scales photons act as negligible little probes that bounce off trees, paintings, and people with essentially no effect on the state of motion of these comparatively large material bodies. But electrons are little wisps of matter. Regardless of how gingerly you carry out your determination of the slit through which it passed, photons that bounce off the electron necessarily affect its subsequent motion. And this change in motion changes the results of our experiment. If you disturb the experiment just enough to determine the slit through which each electron passes, experiments show that the results change from that of Figure 4.8 and become like that of Figure 4.6! The quantum world ensures that once it has been established that each electron has gone through either the left slit or the right slit, the interference between the two slits disappears.
+And so Feynman was justified in leveling his challenge since-although our experience in the world seems to require that each electron pass through one or the other of the slits-by the late 1920s physicists realized that any attempt to verify this seemingly basic quality of reality ruins the experiment.
+Feynman proclaimed that each electron that makes it through to the phosphorescent screen actually goes through both slits. It sounds crazy, but hang on: Things get even more wild. Feynman argued that in traveling from the source to a given point on the phosphorescent screen each individual electron actually traverses every possible trajectory simultaneously; a few of the trajectories are illustrated in Figure 4.10. It goes in a nice orderly way through the left slit. It simultaneously also goes in a nice orderly way through the right slit. It heads toward the left slit, but suddenly changes course and heads through the right. It meanders back and forth, finally passing through the left slit. It goes on a long journey to the Andromeda galaxy before turning back and passing through the left slit on its way to the screen. And on and on it goes-the electron, according to Feynman, simultaneously "sniffs" out every possible path connecting its starting location with its final destination.
+Feynman showed that he could assign a number to each of these paths in such a way that their combined average yields exactly the same result for the probability calculated using the wave-function approach. And so from Feynman's perspective no probability wave needs to be associated with the electron. Instead, we have to imagine something equally if not more bizarre. The probability that the electron-always viewed as a particle through and through-arrives at any chosen point on the screen is built up from the combined effect of every possible way of getting there. This is known as Feynman's "sum-over-paths" approach to quantum mechanics.7
+At this point your classical upbringing is balking: How can one electron simultaneously take different paths-and no less than an infinite number of them? This seems like a defensible objection, but quantum mechanics-the physics of our world-requires that you hold such pedestrian complaints in abeyance. The result of calculations using Feynman's approach agree with those of the wave function method, which agree with experiments. You must allow nature to dictate what is and what is not sensible. As Feynman once wrote, "[Quantum mechanics] describes nature as absurd from the point of view of common sense. And it fully agrees with experiment. So I hope you can accept nature as She is-absurd."8
+But no matter how absurd nature is when examined on microscopic scales, things must conspire so that we recover the familiar prosaic happenings of the world experienced on everyday scales. To this end, Feynman showed that if you examine the motion of large objects-like baseballs, airplanes, or planets, all large in comparison with subatomic particles-his rule for assigning numbers to each path ensures that all paths but one cancel each other out when their contributions are combined. In effect, only one of the infinity of paths matters as far as the motion of the object is concerned. And this trajectory is precisely the one emerging from Newton's laws of motion. This is why in the everyday world it seems to us that objects-like a ball tossed in the air-follow a single, unique, and predictable trajectory from their origin to their destination. But for microscopic objects, Feynman's rule for assigning numbers to paths shows that many different paths can and often do contribute to an object's motion. In the double-slit experiment, for example, some of these paths pass through different slits, giving rise to the interference pattern observed. In the microscopic realm we therefore cannot assert that an electron passes through only one slit or the other. The interference pattern and Feynman's alternative formulation of quantum mechanics emphatically attest to the contrary.
+Just as we may find that varying interpretations of a book or a film can be more or less helpful in aiding our understanding of different aspects of the work, the same is true of the different approaches to quantum mechanics. Although their predictions always agree completely, the wave function approach and Feynman's sum-over-paths approach give us different ways of thinking about what's going on. As we shall see later on, for some applications, one or the other approach can provide an invaluable explanatory framework.
+Quantum Weirdness
+By now you should have some sense of the dramatically new way that the universe works according to quantum mechanics. If you have not as yet fallen victim to Bohr's dizziness dictum, the quantum weirdness we now discuss should at least make you feel a bit lightheaded.
+Even more so than with the theories of relativity, it is hard to embrace quantum mechanics viscerally-to think like a miniature person born and raised in the microscopic realm. There is, though, one aspect of the theory that can act as a guidepost for your intuition, as it is the hallmark feature that fundamentally differentiates quantum from classical reasoning. It is the uncertainty principle, discovered by the German physicist Werner Heisenberg in 1927.
+This principle grows out of an objection that may have occurred to you earlier. We noted that the act of determining the slit through which each electron passes (its position) necessarily disturbs its subsequent motion (its velocity). But just as we can assure ourselves of someone's presence either by gently touching them or by giving them an overzealous slap on the back, why can't we determine the electron's position with an "ever gentler" light source in order to have an ever decreasing impact on its motion? From the standpoint of nineteenth-century physics we can. By using an ever dimmer lamp (and an ever more sensitive light detector) we can have a vanishingly small impact on the electron's motion. But quantum mechanics itself illuminates a flaw in this reasoning. As we turn down the intensity of the light source we now know that we are decreasing the number of photons it emits. Once we get down to emitting individual photons we cannot dim the light any further without actually turning it off. There is a fundamental quantum-mechanical limit to the "gentleness" of our probe. And hence, there is always a minimal disruption that we cause to the electron's velocity through our measurement of its position.
+Well, that's almost correct. Planck's law tells us that the energy of a single photon is proportional to its frequency (inversely proportional to its wavelength). By using light of lower and lower frequency (larger and larger wavelength) we can therefore produce ever gentler individual photons. But here's the catch. When we bounce a wave off of an object, the information we receive is only enough to determine the object's position to within a margin of error equal to the wave's wavelength. To get an intuitive feel for this important fact, imagine trying to pinpoint the location of a large, slightly submerged rock by the way it affects passing ocean waves. As the waves approach the rock, they form a nice orderly train of one up-and-down wave cycle followed by another. After passing by the rock, the individual wave cycles are distorted-the telltale sign of the submerged rock's presence. But like the finest set of tick marks on a ruler, the individual up-and-down wave cycles are the finest units making up the wave-train, and therefore by examining solely how they are disrupted we can determine the rock's location only to within a margin of error equal to the length of the wave cycles, that is, the wave's wavelength. In the case of light, the constituent photons are, roughly speaking, the individual wave cycles (with the height of the wave cycles being determined by the number of photons); a photon, therefore, can be used to pinpoint an object's location only to within a precision of one wavelength.
+And so we are faced with a quantum-mechanical balancing act. If we use high-frequency (short wavelength) light we can locate an electron with greater precision. But high-frequency photons are very energetic and therefore sharply disturb the electron's velocity. If we use low-frequency (long wavelength) light we minimize the impact on the electron's motion, since the constituent photons have comparatively low energy, but we sacrifice precision in determining the electron's position. Heisenberg quantified this competition and found a mathematical relationship between the precision with which one measures the electron's position and the precision with which one measures its velocity. He found-in line with our discussion-that each is inversely proportional to the other: Greater precision in a position measurement necessarily entails greater imprecision in a velocity measurement, and vice versa. And of utmost importance, although we have tied our discussion to one particular means for determining the electron's whereabouts, Heisenberg showed that the trade-off between the precision of position and velocity measurements is a fundamental fact that holds true regardless of the equipment used or the procedure employed. Unlike the framework of Newton or even of Einstein, in which the motion of a particle is described by giving its location and its velocity, quantum mechanics shows that at a microscopic level you cannot possibly know both of these features with total precision. Moreover, the more precisely you know one, the less precisely you know the other. And although we have described this for electrons, the ideas directly apply to all constituents of nature.
+Einstein tried to minimize this departure from classical physics by arguing that although quantum reasoning certainly does appear to limit one's knowledge of the position and velocity, the electron still has a definite position and velocity exactly as we have always thought. But during the last couple of decades theoretical progress spearheaded by the late Irish physicist John Bell and the experimental results of Alain Aspect and his collaborators have shown convincingly that Einstein was wrong. Electrons-and everything else for that matter-cannot be described as simultaneously being at such-and-such location and having such-and-such speed. Quantum mechanics shows that not only could such a statement never be experimentally verified-as explained above-but it directly contradicts other, more recently established experimental results.
+In fact, if you were to capture a single electron in a big, solid box and then slowly crush the sides to pinpoint its position with ever greater precision, you would find the electron getting more and more frantic. Almost as if it were overcome with claustrophobia, the electron will go increasingly haywire-bouncing off of the walls of the box with increasingly frenetic and unpredictable speed. Nature does not allow its constituents to be cornered. In the H-Bar, where we imagine ħ to be much larger than in the real world, thereby making everyday objects directly subject to quantum effects, the ice cubes in George's and Gracie's drinks frantically rattle around as they too suffer from quantum claustrophobia. Although the H-Bar is a fantasyland-in reality, ħ is terribly small-precisely this kind of quantum claustrophobia is a pervasive feature of the microscopic realm. The motion of microscopic particles becomes increasingly wild when they are examined and confined to ever smaller regions of space.
+The uncertainty principle also gives rise to a striking effect known as quantum tunneling. If you fire a plastic pellet against a ten-foot-thick concrete wall, classical physics confirms what your instincts tell you will happen: The pellet will bounce back at you. The reason is that the pellet simply does not have enough energy to penetrate such a formidable obstacle. But at the level of fundamental particles, quantum mechanics shows unequivocally that the wave functions-that is, the probability waves-of the particles making up the pellet all have a tiny piece that spills out through the wall. This means that there is a small-but not zero-chance that the pellet actually can penetrate the wall and emerge on the other side. How can this be? The reason comes down, once again, to Heisenberg's uncertainty principle.
+To see this, imagine that you are completely destitute and suddenly learn that a distant relative has passed on in a far-off land, leaving you a tremendous fortune to claim. The only problem is that you don't have the money to buy a plane ticket to get there. You explain the situation to your friends: if only they will allow you to surmount the barrier between you and your new fortune by temporarily lending you the money for a ticket, you can pay them back handsomely after your return. But no one has the money to lend. You remember, though, that an old friend of yours works for an airline and you implore him with the same request. Again, he cannot afford to lend you the money but he does offer a solution. The accounting system of the airline is such that if you wire the ticket payment within 24 hours of arrival at your destination, no one will ever know that it was not paid for prior to departure. In this way you are able to claim your inheritance.
+The accounting procedures of quantum mechanics are quite similar. Just as Heisenberg showed that there is a trade-off between the precision of measurements of position and velocity, he also showed that there is a similar trade-off in the precision of energy measurements and how long one takes to do the measurement. Quantum mechanics asserts that you can't say that a particle has precisely such-and-such energy at precisely such-and-such moment in time. Ever increasing precision of energy measurements require ever longer durations to carry them out. Roughly speaking, this means that the energy a particle has can wildly fluctuate so long as this fluctuation is over a short enough time scale. So, just as the accounting system of the airline "allows" you to "borrow" the money for a plane ticket provided you pay it back quickly enough, quantum mechanics allows a particle to "borrow" energy so long as it can relinquish it within a time frame determined by Heisenberg's uncertainty principle.
+The mathematics of quantum mechanics shows that the greater the energy barrier, the lower the probability that this creative microscopic accounting will actually occur. But for microscopic particles facing a concrete slab, they can and sometimes do borrow enough energy to do what is impossible from the standpoint of classical physics-momentarily penetrate and tunnel through a region that they do not initially have enough energy to enter. As the objects we study become increasingly complicated, consisting of more and more particle constituents, such quantum tunneling can still occur, but it becomes very unlikely since all of the individual particles must be lucky enough to tunnel together. But the shocking episodes of George's disappearing cigar, of an ice cube passing right through the wall of a glass, and of George and Gracie's passing right through a wall of the bar, can happen. In a fantasy land such as the H-Bar, in which we imagine that ħ is large, such quantum tunneling is commonplace. But the probability rules of quantum mechanics-and, in particular, the actual smallness of ħ in the real world-show that if you walked into a solid wall every second, you would have to wait longer than the current age of the universe to have a good chance of passing through it on one of your attempts. With eternal patience (and longevity), though, you could-sooner or later-emerge on the other side.
+The uncertainty principle captures the heart of quantum mechanics. Features that we normally think of as being so basic as to be beyond question-that objects have definite positions and speeds and that they have definite energies at definite moments-are now seen as mere artifacts of Planck's constant being so tiny on the scales of the everyday world. Of prime importance is that when this quantum realization is applied to the fabric of spacetime, it shows fatal imperfections in the "stitches of gravity" and leads us to the third and primary conflict physics has faced during the past century.
+
+Chapter 5
+The Need for a New Theory: General Relativity vs. Quantum Mechanics
+Our understanding of the physical universe has deepened profoundly during the past century. The theoretical tools of quantum mechanics and general relativity allow us to understand and make testable predictions about physical happenings from the atomic and subatomic realms all the way through phenomena occurring on the scales of galaxies, clusters of galaxies, and beyond to the structure of the whole universe itself. This is a monumental achievement. It is truly inspiring that beings confined to one planet orbiting a run-of-the-mill star in the far edges of a fairly ordinary galaxy have been able, through thought and experiment, to ascertain and comprehend some of the most mysterious characteristics of the physical universe. Nevertheless, physicists by their nature will not be satisfied until they feel that the deepest and most fundamental understanding of the universe has been unveiled. This is what Stephen Hawking has alluded to as a first step toward knowing "the mind of God."1
+There is ample evidence that quantum mechanics and general relativity do not provide this deepest level of understanding. Since their usual domains of applicability are so different, most situations require the use of quantum mechanics or general relativity, but not both. Under certain extreme conditions, however, where things are very massive and very small-near the central point of black holes or the whole universe at the moment of the big bang, to name two examples-we require both general relativity and quantum mechanics for proper understanding. But like the mixing of fire and gunpowder, when we try to combine quantum mechanics and general relativity, their union brings violent catastrophe. Well-formulated physical problems elicit nonsensical answers when the equations of both these theories are commingled. The nonsense often takes the form of a prediction that the quantum-mechanical probability for some process is not 20 percent or 73 percent or 91 percent but infinity. What in the world does a probability greater than one mean, let alone one that is infinite? We are forced to conclude that there is something seriously wrong. By closely examining the basic properties of general relativity and quantum mechanics, we can identify what that something is.
+The Heart of Quantum Mechanics
+When Heisenberg discovered the uncertainty principle, physics turned a sharp corner, never to retrace its steps. Probabilities, wave functions, interference, and quanta all involve radically new ways of seeing reality. Nevertheless, a die-hard "classical" physicist might still have hung on to a thread of hope that when all was said and done these departures would add up to a framework not too distant from old ways of thinking. But the uncertainty principle cleanly and definitively undercut any attempt to cling to the past.
+The uncertainty principle tells us that the universe is a frenetic place when examined on smaller and smaller distances and shorter and shorter time scales. We saw some evidence of this in our attempt, described in the preceding chapter, to pinpoint the location of elementary particles such as electrons: By shining light of ever higher frequency on electrons, we measure their position with ever greater precision, but at a cost, since our observations become ever more disruptive. High-frequency photons have a lot of energy and therefore give the electrons a sharp "kick," significantly changing their velocities. Like the frenzy in a room full of children all of whose momentary positions you know with great accuracy but over whose velocities-the speeds and directions in which they are moving-you have almost no control, this inability to know both the positions and velocities of elementary particles implies that the microscopic realm is intrinsically turbulent.
+Although this example conveys the basic relationship between uncertainty and frenzy, it actually reveals only part of the story. It might lead you to think, for instance, that uncertainty arises only when we clumsy observers of nature stumble onto the scene. This is not true. The example of an electron violently reacting to being confined in a small box by rattling around at high speed takes us a bit closer to the truth. Even without "direct hits" from an experimenter's disruptive photon, the electron's velocity severely and unpredictably changes from one moment to the next. But even this example does not fully reveal the stunning microscopic features of nature entailed by Heisenberg's discovery. Even in the most quiescent setting imaginable, such as an empty region of space, the uncertainty principle tells us that from a microscopic vantage point there is a tremendous amount of activity. And this activity gets increasingly agitated on ever smaller distance and time scales.
+Quantum accounting is essential to understand this. We saw in the preceding chapter that just as you might temporarily borrow money to overcome an important financial obstacle, a particle such as an electron can temporarily borrow energy to overcome a literal physical barrier. This is true. But quantum mechanics forces us to take the analogy one important step further. Imagine someone who is a compulsive borrower and goes from friend to friend asking for money. The shorter the time for which a friend can lend him money, the larger the loan he seeks. Borrow and return, borrow and return-over and over again with unflagging intensity he takes in money only to give it back in short order. Like stock prices on a wild, roller-coaster day on Wall Street, the amount of money the compulsive borrower possesses at any given moment goes through extreme fluctuations, but when all is said and done, an accounting of his finances shows that he is no better off than when he began.
+Heisenberg's uncertainty principle asserts that a similar frantic shifting back and forth of energy and momentum is occurring perpetually in the universe on microscopic distance and time intervals. Even in an empty region of space-inside an empty box, for example-the uncertainty principle says that the energy and momentum are uncertain: They fluctuate between extremes that get larger as the size of the box and the time scale over which it is examined get smaller and smaller. It's as if the region of space inside the box is a compulsive "borrower" of energy and momentum, constantly extracting "loans" from the universe and subsequently "paying" them back. But what participates in these exchanges in, for instance, a quiet empty region of space? Everything. Literally. Energy (and momentum as well) is the ultimate convertible currency. E = mc
+2 tells us that energy can be turned into matter and vice versa. Thus if an energy fluctuation is big enough it can momentarily cause, for instance, an electron and its antimatter companion the positron to erupt into existence, even if the region was initially empty! Since this energy must be quickly repaid, these particles will annihilate one another after an instant, relinquishing the energy borrowed in their creation. And the same is true for all of the other forms that energy and momentum can take-other particle eruptions and annihilations, wild electromagnetic-field oscillations, weak and strong force-field fluctuations-quantum-mechanical uncertainty tells us the universe is a teeming, chaotic, frenzied arena on microscopic scales. As Feynman once jested, "Created and annihilated, created and annihilated-what a waste of time."2 Since the borrowing and repaying on average cancel each other out, an empty region of space looks calm and placid when examined with all but microscopic precision. The uncertainty principle, however, reveals that macroscopic averaging obscures a wealth of microscopic activity.3 As we will see shortly, this frenzy is the obstacle to merging general relativity and quantum mechanics.
+Quantum Field Theory
+Over the course of the 1930s and 1940s theoretical physicists, led by the likes of Paul Dirac, Wolfgang Pauli, Julian Schwinger, Freeman Dyson, Sin-Itiro Tomonaga, and Feynman, to name a few, struggled relentlessly to find a mathematical formalism capable of dealing with this microscopic obstreperousness. They found that Schrödinger's quantum wave equation (mentioned in Chapter 4) was actually only an approximate description of microscopic physics-an approximation that works extremely well when one does not probe too deeply into the microscopic frenzy (either experimentally or theoretically), but that certainly fails if one does.
+The central piece of physics that Schrödinger ignored in his formulation of quantum mechanics is special relativity. In fact, Schrödinger did try to incorporate special relativity initially, but the quantum equation to which this led him made predictions that proved to be at odds with experimental measurements of hydrogen. This inspired Schrödinger to adopt the time-honored tradition in physics of divide and conquer: Rather than trying, through one leap, to incorporate all we know about the physical universe in developing a new theory, it is often far more profitable to take many small steps that sequentially include the newest discoveries from the forefront of research. Schrödinger sought and found a mathematical framework encompassing the experimentally discovered wave-particle duality, but he did not, at that early stage of understanding, incorporate special relativity.4
+But physicists soon realized that special relativity was central to a proper quantum-mechanical framework. This is because the microscopic frenzy requires that we recognize that energy can manifest itself in a huge variety of ways-a notion that comes from the special relativistic declaration E = mc
+2. By ignoring special relativity, Schrödinger's approach ignored the malleability of matter, energy, and motion.
+Physicists focused their initial pathbreaking efforts to merge special relativity with quantum concepts on the electromagnetic force and its interactions with matter. Through a series of inspirational developments, they created quantum electrodynamics. This is an example of what has come to be called a relativistic quantum field theory, or a quantum field theory, for short. It's quantum because all of the probabilistic and uncertainty issues are incorporated from the outset; it's a field theory because it merges the quantum principles into the previous classical notion of a force field-in this case, Maxwell's electromagnetic field. And finally, it's relativistic because special relativity is also incorporated from the outset. (If you'd like a visual metaphor for a quantum field, you can pretty much invoke the image of a classical field-say, as an ocean of invisible field lines permeating space-but you should refine this image in two ways. First, you should envision a quantum field as composed of particulate ingredients, such as photons for the electromagnetic field. Second, you should imagine energy, in the form of particles' masses and their motion, endlessly shifting back and forth from one quantum field to another as they continually vibrate through space and time.)
+Quantum electrodynamics is arguably the most precise theory of natural phenomena ever advanced. An illustration of its precision can be found in the work of Toichiro Kinoshita, a particle physicist from Cornell University, who has, over the last 30 years, painstakingly used quantum electrodynamics to calculate certain detailed properties of electrons. Kinoshita's calculations fill thousands of pages and have ultimately required the most powerful computers in the world to complete. But the effort has been well worth it: the calculations yield predictions about electrons that have been experimentally verified to an accuracy of better than one part in a billion. This is an absolutely astonishing agreement between abstract theoretical calculation and the real world. Through quantum electrodynamics, physicists have been able to solidify the role of photons as the "smallest possible bundles of light" and to reveal their interactions with electrically charged particles such as electrons, in a mathematically complete, predictive, and convincing framework.
+The success of quantum electrodynamics inspired other physicists in the 1960s and 1970s to try an analogous approach for developing a quantum-mechanical understanding of the weak, the strong, and the gravitational forces. For the weak and the strong forces, this proved to be an immensely fruitful line of attack. In analogy with quantum electrodynamics, physicists were able to construct quantum field theories for the strong and the weak forces, called quantum chromodynamics and quantum electroweak theory. "Quantum chromodynamics" is a more colorful name than the more logical "quantum strong dynamics," but it is just a name without any deeper meaning; on the other hand, the name "electroweak" does summarize an important milestone in our understanding of the forces of nature.
+Through their Nobel Prize-winning work, Sheldon Glashow, Abdus Salam, and Steven Weinberg showed that the weak and electromagnetic forces are naturally united by their quantum field-theoretic description even though their manifestations seem to be utterly distinct in the world around us. After all, weak force fields diminish to almost vanishing strength on all but subatomic distance scales, whereas electromagnetic fields-visible light, radio and TV signals, X-rays-have an indisputable macroscopic presence. Nevertheless, Glashow, Salam, and Weinberg showed, in essence, that at high enough energy and temperature-such as occurred a mere fraction of a second after the big bang-electromagnetic and weak force fields dissolve into one another, take on indistinguishable characteristics, and are more accurately called electroweak fields. When the temperature drops, as it has done steadily since the big bang, the electromagnetic and weak forces crystallize out in a different manner from their common high-temperature form-through a process known as symmetry breaking that we will describe later-and therefore appear to be distinct in the cold universe we currently inhabit.
+And so, if you are keeping score, by the 1970s physicists had developed a sensible and successful quantum-mechanical description of three of the four forces (strong, weak, electromagnetic) and had shown that two of the three (weak and electromagnetic) actually share a common origin (the electroweak force). During the past two decades, physicists have subjected this quantum-mechanical treatment of the three nongravitational forces-as they act among themselves and the matter particles introduced in Chapter 1-to an enormous amount of experimental scrutiny The theory has met all such challenges with aplomb. Once experimentalists measure some 19 parameters (the masses of the particles in Table 1.1, their force charges as recorded in the table in endnote 1 to Chapter 1, the strengths of the three nongravitational forces in Table 1.2, as well as a few other numbers we need not discuss), and theorists input these numbers into the quantum field theories of the matter particles and the strong, weak, and electromagnetic forces, the subsequent predictions of the theory regarding the microcosmos agree spectacularly with experimental results. This is true up to the energies capable of pulverizing matter into bits as small as a billionth of a billionth of a meter, the current technological limit. For this reason, physicists call the theory of the three nongravitational forces and the three families of matter particles the standard theory, or (more often) the standard model of particle physics.
+Messenger Particles
+According to the standard model, just as the photon is the smallest constituent of an electromagnetic field, the strong and the weak force fields have smallest constituents as well. As we discussed briefly in Chapter 1, the smallest bundles of the strong force are known as gluons, and those of the weak force are known as weak gauge bosons (or more precisely, the W and Z bosons). The standard model instructs us to think of these force particles as having no internal structure-in this framework they are every bit as elementary as the particles in the three families of matter.
+The photons, gluons, and weak gauge bosons provide the microscopic mechanism for transmitting the forces they constitute. For example, when one electrically charged particle repels another of like electric charge, you can think of it roughly in terms of each particle being surrounded by an electric field-a "cloud" or "mist" of "electric-essence"-and the force each particle feels arises from the repulsion between their respective force fields. The more precise microscopic description of how they repel each other, though, is somewhat different. An electromagnetic field is composed of a swarm of photons; the interaction between two charged particles actually arises from their "shooting" photons back and forth between themselves. In rough analogy to the way in which you can affect a fellow ice-skater's motion and your own by hurling a barrage of bowling balls at him or her, two electrically charged particles influence each other by exchanging these smallest bundles of light.
+An important failing of the ice-skater analogy is that the exchange of bowling balls is always "repulsive"-it always drives the skaters apart. On the contrary, two oppositely charged particles also interact through the exchange of photons, although the resulting electromagnetic force is attractive. It's as if the photon is not so much the transmitter of the force per se, but rather the transmitter of a message of how the recipient must respond to the force in question. For like-charged particles, the photon carries the message "move apart," while for oppositely charged particles it carries the message "come together." For this reason the photon is sometimes referred to as the messenger particle for the electromagnetic force. Similarly, the gluons and weak gauge bosons are the messenger particles for the strong and weak nuclear forces. The strong force, which keeps quarks locked up inside of protons and neutrons, arises from individual quarks exchanging gluons. The gluons, so to speak, provide the "glue" that keeps these subatomic particles stuck together. The weak force, which is responsible for certain kinds of particle transmutations involved in radioactive decay, is mediated by the weak gauge bosons.
+Gauge Symmetry
+You may have realized that the odd man out in our discussion of the quantum theory of the forces of nature is gravity. Given the successful approach physicists have used with the other three forces, you might suggest that physicists seek a quantum field theory of the gravitational force-a theory in which the smallest bundle of a gravitational force field, the graviton, would be its messenger particle. At first sight, as we now note, this suggestion would appear to be particularly apt because the quantum field theory of the three nongravitational forces reveals that there is a tantalizing similarity between them and an aspect of the gravitational force we encountered in Chapter 3.
+Recall that the gravitational force allows us to declare that all observers-regardless of their state of motion-are on absolutely equal footing. Even those whom we would normally think of as accelerating may claim to be at rest, since they can attribute the force they feel to their being immersed in a gravitational field. In this sense, gravity enforces the symmetry: it ensures the equal validity of all possible observational points of view, all possible frames of reference. The similarity with the strong, weak, and electromagnetic forces is that they too are all connected with enforcing symmetries, albeit ones that are significantly more abstract than the one associated with gravity.
+To get a rough feel for these rather subtle symmetry principles, let's consider one important example. As we recorded in the table in endnote 1 of Chapter 1, each quark comes in three "colors" (fancifully called red, green, and blue, although these are merely labels and have no relation to color in the usual visual sense), which determine how it responds to the strong force in much the same way that its electric charge determines how it responds to the electromagnetic force. All the data that have been collected establish that there is a symmetry among the quarks in the sense that the interactions between any two like-colored quarks (red with red, green with green, or blue with blue) are all identical, and similarly, the interactions between any two unlike-colored quarks (red with green, green with blue, or blue with red) are also identical. In fact, the data support something even more striking. If the three colors-the three different strong charges-that a quark can carry were all shifted in a particular manner (roughly speaking, in our fanciful chromatic language, if red, green, and blue were shifted, for instance, to yellow, indigo, and violet), and even if the details of this shift were to change from moment to moment or from place to place, the interactions between the quarks would be, again, completely unchanged. For this reason, just as we say that a sphere exemplifies rotational symmetry because it looks the same regardless of how we rotate it around in our hands or how we shift the angle from which we view it, we say that the universe exemplifies strong force symmetry: Physics is unchanged by-it is completely insensitive to-these force-charge shifts. For historical reasons, physicists also say that the strong force symmetry is an example of a gauge symmetry.
+5
+Here is the essential point. Just as the symmetry between all possible observational vantage points in general relativity requires the existence of the gravitational force, developments relying on work of Hermann Weyl in the 1920s and Chen-Ning Yang and Robert Mills in the 1950s showed that gauge symmetries require the existence of yet other forces. Much like a sensitive environmental-control system that keeps temperature, air pressure, and humidity in an area completely constant by compensating perfectly for any exterior influences, certain kinds of force fields, according to Yang and Mills, will provide perfect compensation for shifts in force charges, thereby keeping the physical interactions between the particles completely unchanged. For the case of the gauge symmetry associated with shifting quark-color charges, the required force is none other than the strong force itself. That is, without the strong force, physics would change under the kinds of shifts of color charges indicated above. This realization shows that, although the gravitational force and the strong force have vastly different properties (recall, for example, that gravity is far feebler than the strong force and operates over enormously larger distances), they do have a somewhat similar heritage: they are each required in order that the universe embody particular symmetries. Moreover, a similar discussion applies to the weak and electromagnetic forces, showing that their existence, too, is bound up with yet other gauge symmetries-the so-called weak and electromagnetic gauge symmetries. And hence, all four forces are directly associated with principles of symmetry.
+This common feature of the four forces would seem to bode well for the suggestion made at the beginning of this section. Namely, in our effort to incorporate quantum mechanics into general relativity we should seek a quantum field theory of the gravitational force, much as physicists have discovered successful quantum field theories of the other three forces. Over the years, such reasoning has inspired a prodigious and distinguished group of physicists to follow this path vigorously, but the terrain has proven to be fraught with danger, and no one has succeeded in traversing it completely. Let's see why.
+General Relativity vs. Quantum Mechanics
+The usual realm of applicability of general relativity is that of large, astronomical distance scales. On such distances Einstein's theory implies that the absence of mass means that space is flat, as illustrated in Figure 3.3. In seeking to merge general relativity with quantum mechanics we must now change our focus sharply and examine the microscopic properties of space. We illustrate this in Figure 5.1 by zooming in and sequentially magnifying ever smaller regions of the spatial fabric. At first, as we zoom in, not much happens; as we see in the first three levels of magnification in Figure 5.1, the structure of space retains the same basic form. Reasoning from a purely classical standpoint, we would expect this placid and flat image of space to persist all the way to arbitrarily small length scales. But quantum mechanics changes this conclusion radically. Everything is subject to the quantum fluctuations inherent in the uncertainty principle-even the gravitational field. Although classical reasoning implies that empty space has zero gravitational field, quantum mechanics shows that on average it is zero, but that its actual value undulates up and down due to quantum fluctuations. Moreover, the uncertainty principle tells us that the size of the undulations of the gravitational field gets larger as we focus our attention on smaller regions of space. Quantum mechanics shows that nothing likes to be cornered; narrowing the spatial focus leads to ever larger undulations.
+As gravitational fields are reflected by curvature, these quantum fluctuations manifest themselves as increasingly violent distortions of the surrounding space. We see the glimmers of such distortions emerging in the fourth level of magnification in Figure 5.1. By probing to even smaller distance scales, as we do in the fifth level of Figure 5.1, we see that the random quantum mechanical undulations in the gravitational field correspond to such severe warpings of space that it no longer resembles a gently curving geometrical object such as the rubber-membrane analogy used in our discussion in Chapter 3. Rather, it takes on the frothing, turbulent, twisted form illustrated in the uppermost part of the figure. John Wheeler coined the term quantum foam to describe the frenzy revealed by such an ultramicroscopic examination of space (and time)-it describes an unfamiliar arena of the universe in which the conventional notions of left and right, back and forth, up and down (and even of before and after) lose their meaning. It is on such short distance scales that we encounter the fundamental incompatibility between general relativity and quantum mechanics. The notion of a smooth spatial geometry, the central principle of general relativity, is destroyed by the violent fluctuations of the quantum world on short distance scales. On ultramicroscopic scales, the central feature of quantum mechanics-the uncertainty principle-is in direct conflict with the central feature of general relativity-the smooth geometrical model of space (and of spacetime).
+In practice, this conflict rears its head in a very concrete manner. Calculations that merge the equations of general relativity and those of quantum mechanics typically yield one and the same ridiculous answer: infinity. Like a sharp rap on the wrist from an old-time schoolteacher, an infinite answer is nature's way of telling us that we are doing something that is quite wrong.6 The equations of general relativity cannot handle the roiling frenzy of quantum foam.
+Notice, however, that as we recede to more ordinary distances (following the sequence of drawings in Figure 5.1 in reverse), the random, violent small-scale undulations cancel each other out-in much the same way that, on average, our compulsive borrower's bank account shows no evidence of his compulsion-and the concept of a smooth geometry for the fabric of the universe once again becomes accurate. It's like what you experience when you look at a dot-matrix picture: From far away the dots that compose the picture blend together and create the impression of a smooth image whose variations in lightness seamlessly and gently change from one area to another. When you inspect the picture on finer distance scales you realize, however, that it markedly differs from its smooth, long-distance appearance. It is nothing but a collection of discrete dots, each quite separate from the others. But note that you become aware of the discrete nature of the picture only when you examine it on the smallest of scales; from far away it looks smooth. Similarly, the fabric of spacetime appears to be smooth except when examined with ultramicroscopic precision. This is why general relativity works on large enough distance (and time) scales-the scales relevant for many typical astronomical applications-but is rendered inconsistent on short distance (and time) scales. The central tenet of a smooth and gently curving geometry is justified in the large but breaks down due to quantum fluctuations when pushed to the small.
+The basic principles of general relativity and quantum mechanics allow us to calculate the approximate distance scales below which one would have to shrink in order for the pernicious phenomenon of Figure 5.1 to become apparent. The smallness of Planck's constant-which governs the strength of quantum effects-and the intrinsic weakness of the gravitational force team up to yield a result called the Planck length, which is small almost beyond imagination: a millionth of a billionth of a billionth of a billionth of a centimeter (10-33 centimeter).7 The fifth level in Figure 5.1 thus schematically depicts the ultramicroscopic, sub-Planck length landscape of the universe. To get a sense of scale, if we were to magnify an atom to the size of the known universe, the Planck length would barely expand to the height of an average tree.
+And so we see that the incompatability between general relativity and quantum mechanics becomes apparent only in a rather esoteric realm of the universe. For this reason you might well ask whether it's worth worrying about. In fact, the physics community does not speak with a unified voice when addressing this issue. There are those physicists who are willing to note the problem, but happily go about using quantum mechanics and general relativity for problems whose typical lengths far exceed the Planck length, as their research requires. There are other physicists, however, who are deeply unsettled by the fact that the two foundational pillars of physics as we know it are at their core fundamentally incompatible, regardless of the ultramicroscopic distances that must be probed to expose the problem. The incompatibility, they argue, points to an essential flaw in our understanding of the physical universe. This opinion rests on an unprovable but profoundly felt view that the universe, if understood at its deepest and most elementary level, can be described by a logically sound theory whose parts are harmoniously united. And surely, regardless of how central this incompatibility is to their own research, most physicists find it hard to believe that, at rock bottom, our deepest theoretical understanding of the universe will be composed of a mathematically inconsistent patchwork of two powerful yet conflicting explanatory frameworks.
+Physicists have made numerous attempts at modifying either general relativity or quantum mechanics in some manner so as to avoid the conflict, but the attempts, although often bold and ingenious, have met with failure after failure.
+That is, until the discovery of superstring theory.8
+Part III: The Cosmic Symphony
+
+Chapter 6
+Nothing but Music: The Essentials of Superstring Theory
+Music has long since provided the metaphors of choice for those puzzling over questions of cosmic concern. From the ancient Pythagorean "music of the spheres" to the "harmonies of nature" that have guided inquiry through the ages, we have collectively sought the song of nature in the gentle wanderings of celestial bodies and the riotous fulminations of subatomic particles. With the discovery of superstring theory, musical metaphors take on a startling reality, for the theory suggests that the microscopic landscape is suffused with tiny strings whose vibrational patterns orchestrate the evolution of the cosmos. The winds of change, according to superstring theory, gust through an aeolian universe.
+By contrast, the standard model views the elementary constituents of the universe as pointlike ingredients with no internal structure. As powerful as this approach is (as we have mentioned, essentially every prediction about the microworld made by the standard model has been verified down to about a billionth of a billionth of a meter, the present-day technological limit), the standard model cannot be a complete or final theory because it does not include gravity. Moreover, attempts to incorporate gravity into its quantum-mechanical framework have failed due to the violent fluctuations in the spatial fabric that appear at ultramicroscopic distances-that is, distances shorter than the Planck length. The unresolved conflict has impelled a search for an even deeper understanding of nature. In 1984, the physicists Michael Green, then of Queen Mary College, and John Schwarz of the California Institute of Technology provided the first piece of convincing evidence that superstring theory (or string theory, for short) might well provide this understanding.
+String theory offers a novel and profound modification to our theoretical description of the ultramicroscopic properties of the universe-a modification that, physicists slowly realized, alters Einstein's general relativity in just the right way to make it fully compatible with the laws of quantum mechanics. According to string theory, the elementary ingredients of the universe are not point particles. Rather, they are tiny, one-dimensional filaments somewhat like infinitely thin rubber bands, vibrating to and fro. But don't let the name fool you: Unlike an ordinary piece of string, which is itself composed of molecules and atoms, the strings of string theory are purported to lie deeply within the heart of matter. The theory proposes that they are ultramicroscopic ingredients making up the particles out of which atoms themselves are made. The strings of string theory are so small-on average they are about as long as the Planck length-that they appear pointlike even when examined with our most powerful equipment.
+Yet the simple replacement of point particles with strands of string as the fundamental ingredients of everything has far-reaching consequences. First and foremost, string theory appears to resolve the conflict between general relativity and quantum mechanics. As we shall see, the spatially extended nature of a string is the crucial new element allowing for a single harmonious framework incorporating both theories. Second, string theory provides a truly unified theory, since all matter and all forces are proposed to arise from one basic ingredient: oscillating strings. Finally, as discussed more fully in subsequent chapters, beyond these remarkable achievements, string theory once again radically changes our understanding of spacetime.1
+A Brief History of String Theory
+In 1968, a young theoretical physicist named Gabriele Veneziano was struggling to make sense of various experimentally observed properties of the strong nuclear force. Veneziano, then a research fellow at CERN, the European accelerator laboratory in Geneva, Switzerland, had worked on aspects of this problem for a number of years, until one day he came upon a striking revelation. Much to his surprise, he realized that an esoteric formula concocted for purely mathematical pursuits by the renowned Swiss mathematician Leonhard Euler some two hundred years earlier-the so-called Euler beta-function-seemed to describe numerous properties of strongly interacting particles in one fell swoop. Veneziano's observation provided a powerful mathematical encapsulation of many features of the strong force and it launched an intense flurry of research aimed at using Euler's beta-function, and various generalizations, to describe the surfeit of data being collected at various atom smashers around the world. Nevertheless, there was a sense in which Veneziano's observation was incomplete. Like memorized formulae used by a student who does not understand their meaning or justification, Euler's beta-function seemed to work, but no one knew why. It was a formula in search of an explanation. This changed in 1970 when the works of Yoichiro Nambu of the University of Chicago, Holger Nielsen of the Niels Bohr Institute, and Leonard Susskind of Stanford University revealed the hitherto-unknown physics lurking behind Euler's formula. These physicists showed that if one modeled elementary particles as little, vibrating, one-dimensional strings, their nuclear interactions could be described exactly by Euler's function. If the pieces of string were small enough, they reasoned, they would still look like point particles, and hence could be consistent with experimental observations.
+Although this provided an intuitively simple and pleasing theory, it was not long before the string description of the strong force was shown to fail. During the early 1970s, high-energy experiments capable of probing the subatomic world more deeply showed that the string model made a number of predictions that were in direct conflict with observations. At the same time, the point-particle quantum field theory of quantum chromodynamics was being developed, and its overwhelming success in describing the strong force led to the dismissal of string theory.
+Most particle physicists thought that string theory had been relegated to the dustbin of science, but a few dedicated researchers kept at it. Schwarz, for instance, felt that "the mathematical structure of string theory was so beautiful and had so many miraculous properties that it had to be pointing toward something deep."2 One of the problems physicists found with string theory was that it seemed to have a true embarrassment of riches. The theory contained configurations of vibrating string that had properties akin to those of gluons, substantiating its early claim of being a theory of the strong force. But beyond these it contained additional messenger-like particles that did not appear to have any relevance to experimental observations of the strong force. In 1974, Schwarz and Joël Scherk of the Ecole Normale Supérieure made a bold leap that transformed this apparent vice into a virtue. After studying the puzzling messenger-like patterns of string vibration, they realized that their properties matched perfectly those of the hypothesized messenger particle of the gravitational force-the graviton. Although these "smallest bundles" of the gravitational force have, as yet, never been seen, theorists can confidently predict certain basic features that they must possess, and Scherk and Schwarz found these properties to be realized exactly by certain vibrational patterns. Based on this, Scherk and Schwarz suggested that string theory had failed in its initial attempt because physicists had unduly constrained its scope. String theory is not just a theory of the strong force, they proclaimed; it is a quantum theory that includes gravity as well.3
+The physics community did not receive this suggestion with unbridled enthusiasm. In fact, Schwarz recounts that "our work was universally ignored."4 The path of progress was already littered with numerous failed attempts to unite gravity and quantum mechanics. String theory had been shown wrong in its initial effort to describe the strong force, and it seemed to many that it was senseless to try to use the theory to pursue an even grander goal. Even more devastating, subsequent studies during the late 1970s and early 1980s showed that string theory and quantum mechanics suffered from their own subtle conflicts. It appeared that the gravitational force had, once again, resisted incorporation into the microscopic description of the universe.
+Such was the case until 1984. In a landmark paper culminating more than a dozen years of intense research that had been largely ignored and often outright dismissed by most physicists, Green and Schwarz established that the subtle quantum conflict afflicting string theory could be resolved. Moreover, they showed that the resulting theory had sufficient breadth to encompass all of the four forces and all of matter as well. As word of this result spread throughout the worldwide physics community, particle physicists by the hundreds dropped their research projects to launch a full-scale assault on what appeared to be the last theoretical battleground in the ancient quest to understand the deepest workings of the universe.
+I began graduate school at Oxford University in October 1984. Although I was excited to be learning about the likes of quantum field theory, gauge theory, and general relativity, there was a pervasive feeling among the older graduate students that there was little or no future for particle physics. The standard model was in place and its remarkable success at predicting experimental outcomes indicated that its verification was merely a matter of time and details. Going beyond its limits to include gravity and possibly to explain the experimental input on which it relies the 19 numbers summarizing the elementary particle masses, their force charges, and the relative strengths of the forces, numbers that are known from experiment but are not understood theoretically-was so daunting a task that all but the most courageous physicists recoiled at the challenge. But six months later the mood had swung completely around. The success of Green and Schwarz finally trickled down even to first-year graduate students, and an electrifying sense of being on the inside of a profound moment in the history of physics displaced the previous ennui. A number of us consistently worked deep into the night to try to master the vast areas of theoretical physics and abstract mathematics that are required to understand string theory.
+The period from 1984 to 1986 has come to be known as the "first superstring revolution." During those three years more than a thousand research papers on string theory were written by physicists from around the world. These works showed conclusively that numerous features of the standard model-features that had been painstakingly discovered over the course of decades of research-emerged naturally and simply from the grand structure of string theory. As Michael Green has said, "The moment you encounter string theory and realize that almost all of the major developments in physics over the last hundred years emerge-and emerge with such elegance-from such a simple starting point, you realize that this incredibly compelling theory is in a class of its own."5 Moreover, for many of these features, as we shall discuss, string theory offers a far fuller and more satisfying explanation than is found in the standard model. These developments convinced many physicists that string theory was well on its way to fulfilling its promise of being the ultimate unified theory.
+Nonetheless, over and over again string theorists encountered a significant stumbling block. In theoretical physics research, one is frequently confronted with equations that are just too hard to understand or to analyze. Typically, physicists don't give up, but try to solve the equations approximately. The situation in string theory is even more difficult. Even determining the equations themselves has proved to be so difficult that only approximate versions of them have so far been deduced. String theorists have thereby been limited to finding approximate solutions to approximate equations. After the few years of dramatic progress during the first superstring revolution, physicists found that the approximations being used were inadequate to answer a number of essential questions hindering further developments. With no concrete proposals for going beyond the approximate methods, many physicists working on string theory grew frustrated and returned to their previous lines of research. For those who remained, the late 1980s and early 1990s were trying times. Like a golden treasure securely locked in a safe and visible only through a tiny, tantalizing peephole, the beauty and promise of string theory beckoned, but no one had the key to unlock its power. Long dry spells were periodically punctuated by important discoveries, but it was clear to everyone in the field that new methods with the power to go beyond the previous approximations were required.
+Then, in a breathtaking lecture at the Strings 1995 conference held at the University of Southern California-a lecture that stunned a packed audience of the world's top physicists-Edward Witten announced a plan for taking the next step, thereby igniting the "second superstring revolution." String theorists, as of this writing, are working vigorously to sharpen a set of new methods that promise to overcome the theoretical obstacles previously encountered. The difficulties that lie ahead will severely test the technical might of the world's superstring theorists, but the light at the end of the tunnel, although still distant, may finally be becoming visible.
+In this chapter and a number that follow, we shall describe the understanding of string theory that emerged from the first superstring revolution and subsequent work prior to the second superstring revolution. From time to time we will indicate new insights stemming from the latter; our discussion of these most recent advances will come in Chapters 12 and 13.
+The Greeks' Atoms, Again?
+As we mentioned at the outset of this chapter and as illustrated in Figure 1.1, string theory claims that if the presumed point-particles of the standard model could be examined with a precision significantly beyond our present capacity, each would be seen to be made of a single, tiny, oscillating loop of string.
+For reasons that will become Clear, the length of a typical string loop is about the Planck length, about a hundred billion billion (1020) times smaller than an atomic nucleus. It is no wonder that our present-day experiments are unable to resolve the microscopic stringy nature of matter: strings are minute even on the scales set by subatomic particles. We would need an accelerator to slam matter together with energies some million billion times more powerful than any previously constructed in order to reveal directly that a string is not a point-particle.
+We will describe shortly the stunning implications that follow from replacing point-particles by strings, but let's first address a more basic question: What are strings made of?
+There are two possible answers to this question. First, strings are truly fundamental-they are "atoms," uncuttable constituents, in the truest sense of the ancient Greeks. As the absolute smallest constituents of anything and everything, they represent the end of the line-the last of the Russian matrioshka dolls-in the numerous layers of substructure in the microscopic world. From this perspective, even though strings have spatial extent, the question of their composition is without any content. Were strings to be made of something smaller they would not be fundamental. Instead, whatever strings were composed of would immediately displace them and lay claim to being an even more basic constituent of the universe. Using our linguistic analogy, paragraphs are made of sentences, sentences are made of words, and words are made of letters. What makes up a letter? From a linguistic standpoint, that's the end of the line. Letters are letters-they are the fundamental building blocks of written language; there is no further substructure. Questioning their composition has no meaning. Similarly, a string is simply a string-as there is nothing more fundamental, it can't be described as being composed of any other substance. That's the first answer. The second answer is based on the simple fact that as yet we do not know if string theory is a correct or final theory of nature. If string theory is truly off the mark, then, well, we can forget strings and the irrelevant question of their composition. Although this is a possibility, research since the mid-1980s overwhelmingly points toward its being extremely unlikely. But history surely has taught us that every time our understanding of the universe deepens, we find yet smaller microscopic ingredients constituting a finer level of matter. And so another possibility, should strings fail to be the final theory, is that they are one more layer in the cosmic onion, a layer that becomes visible at the Planck length, although not the final layer. In this case, strings could be made up of yet-smaller structures. String theorists have raised and continue to pursue this possibility. To date there are intriguing hints in theoretical studies that strings may have further substructure, but there is as yet no definitive evidence. Only time and intense research will supply the final word on this question.
+Aside from a few speculations in Chapters 12 and 15, for our discussion here we approach strings in the manner proposed in the first answer-that is, we will take strings to be nature's most fundamental ingredient.
+Unification through String Theory
+Besides its inability to incorporate the gravitational force, the standard model has another shortcoming: There is no explanation for the details of its construction. Why did nature select the particular list of particles and forces outlined in previous chapters and recorded in Tables 1.1 and 1.2? Why do the 19 parameters that describe these ingredients quantitatively have the values that they do? You can't help feeling that their number and detailed properties seem so arbitrary. Is there a deeper understanding lurking behind these seemingly random ingredients, or were the detailed physical properties of the universe "chosen" by happenstance?
+The standard model itself cannot possibly offer an explanation since it takes the list of particles and their properties as experimentally measured input. Just as the performance of the stock market cannot be used to determine the value of your portfolio without the input data of your initial investments, the standard model cannot be used to make any predictions without the input data of the fundamental particle properties.6 After experimental particle physicists fastidiously measure these data, theorists can then use the standard model to make testable predictions, such as what should happen when particular particles are slammed together in an accelerator. But the standard model can no more explain the fundamental particle properties of Tables 1.1 and 1.2 than the Dow Jones average today can explain your initial investment in stocks ten years ago.
+In fact, had experiments revealed a somewhat different particle content in the microscopic world, possibly interacting with somewhat different forces, these changes could have been fairly easily incorporated in the standard model by providing the theory with different input parameters. The structure of the standard model, in this sense, is too flexible to be able to explain the properties of the elementary particles, as it could have accommodated a range of possibilities.
+String theory is dramatically different. It is a unique and inflexible theoretical edifice. It requires no input beyond a single number, described below, that sets the benchmark scale for measurements. All properties of the microworld are within the realm of its explanatory power. To understand this, let's first think about more familiar strings, such as those on a violin. Each such string can undergo a huge variety (in fact, infinite in number) of different vibrational patterns known as resonances, such as those shown in Figure 6.1. These are the wave patterns whose peaks and troughs are evenly spaced and fit perfectly between the string's two fixed endpoints. Our ears sense these different resonant vibrational patterns as different musical notes. The strings in string theory have similar properties. There are resonant vibrational patterns that the string can support by virtue of their evenly spaced peaks and troughs exactly fitting along its spatial extent. Some examples are given in Figure 6.2. Here's the central fact: Just as the different vibrational patterns of a violin string give rise to different musical notes, the different vibrational patterns of a fundamental string give rise to different masses and force charges. As this is a crucial point, let's say it again. According to string theory, the properties of an elementary "particle"-its mass and its various force charges-are determined by the precise resonant pattern of vibration that its internal string executes.
+It's easiest to understand this association for a particle's mass. The energy of a particular vibrational string pattern depends on its amplitude-the maximum displacement between peaks and troughs-and its wavelength-the separation between one peak and the next. The greater the amplitude and the shorter the wavelength, the greater the energy. This reflects what you would expect intuitively-more frantic vibrational patterns have more energy, while less frantic ones have less energy. We give a couple of examples in Figure 6.3. This is again familiar, as violin strings that are plucked more vigorously will vibrate more wildly, while those plucked more gingerly will vibrate more gently. Now, from special relativity we know that energy and mass are two sides of the same coin: Greater energy means greater mass, and vice versa. Thus, according to string theory, the mass of an elementary particle is determined by the energy of the vibrational pattern of its internal string. Heavier particles have internal strings that vibrate more energetically, while lighter particles have internal strings that vibrate less energetically.
+Since the mass of a particle determines its gravitational properties, we see that there is a direct association between the pattern of string vibration and a particle's response to the gravitational force. Although the reasoning involved is somewhat more abstract, physicists have found that a similar alignment exists between other detailed aspects of a string's pattern of vibration and its properties vis à vis other forces. The electric charge, the weak charge, and the strong charge carried by a particular string, for instance, are determined by the precise way it vibrates. Moreover, exactly the same idea holds for the messenger particles themselves. Particles like photons, weak gauge bosons, and gluons are yet other resonant patterns of string vibration. And of particular importance, among the vibrational string patterns, one matches perfectly the properties of the graviton, ensuring that gravity is an integral part of string theory.7
+So we see that, according to string theory, the observed properties of each elementary particle arise because its internal string undergoes a particular resonant vibrational pattern. This perspective differs sharply from that espoused by physicists before the discovery of string theory; in the earlier perspective the differences among the fundamental particles were explained by saying that, in effect, each particle species was "cut from a different fabric." Although each particle was viewed as elementary, the kind of "stuff" each embodied was thought to be different. Electron "stuff," for example, had negative electric charge, while neutrino "stuff' had no electric charge. String theory alters this picture radically by declaring that the "stuff" of all matter and all forces is the same. Each elementary particle is composed of a single string-that is, each particle is a single string-and all strings are absolutely identical. Differences between the particles arise because their respective strings undergo different resonant vibrational patterns. What appear to be different elementary particles are actually different "notes" on a fundamental string. The universe-being composed of an enormous number of these vibrating strings-is akin to a cosmic symphony.
+This overview shows how string theory offers a truly wonderful unifying framework. Every particle of matter and every transmitter of force consists of a string whose pattern of vibration is its "fingerprint." Because every physical event, process, or occurrence in the universe is, at its most elementary level, describable in terms of forces acting between these elementary material constituents, string theory provides the promise of a single, all-inclusive, unified description of the physical universe: a theory of everything (T.O.E.).
+The Music of String Theory
+Even though string theory does away with the previous concept of structureless elementary particles, old language dies hard, especially when it provides an accurate description of reality down to the most minute of distance scales. Following the common practice of the field we shall therefore continue to refer to "elementary particles," yet we will always mean "what appear to be elementary particles but are actually tiny pieces of vibrating string." In the preceding section we proposed that the masses and the force charges of such elementary particles are the result of the way in which their respective strings are vibrating. This leads us to the following realization: If we can work out precisely the allowed resonant vibrational patterns of fundamental strings-the "notes," so to speak, that they can play-we should be able to explain the observed properties of the elementary particles. For the first time, therefore, string theory sets up a framework for explaining the properties of the particles observed in nature.
+At this stage, then, we should "grab hold" of a string and "pluck" it in all sorts of ways to determine the possible resonant patterns of vibration. If string theory is right, we should find that the possible patterns yield exactly the observed properties of the matter and force particles in Tables 1.1 and 1.2. Of course, a string is too small to carry out this experiment literally as described. Rather, by using mathematical descriptions we can theoretically pluck a string. In the mid-1980s, many string adherents believed that the mathematical analysis required for doing this was on the verge of being able to explain every detailed property of the universe on its most microscopic level. Some enthusiastic physicists declared that the T.O.E. had finally been discovered. More than a decade of hindsight has shown that the euphoria generated by this belief was premature. String theory has the makings of a T.O.E., but a number of hurdles remain, preventing us from deducing the spectrum of string vibrations with the precision necessary to compare with experimental results. At the present time, therefore, we do not know if the fundamental characteristics of our universe, summarized in Tables 1.1 and 1.2, can be explained by string theory. As we will discuss in Chapter 9, under certain assumptions that we will clearly state, string theory can give rise to a universe with properties that are in qualitative agreement with the known particle and force data, but extracting detailed numerical predictions from the theory is currently beyond our abilities. And so, although the framework of string theory, unlike that of the point-particle standard model, is capable of giving an explanation for why the particles and forces have the properties they do, we have not, as yet, been able to extract it. But remarkably, string theory is so rich and far-reaching that, even though we cannot yet determine its most detailed properties, we are able to gain insight into a wealth of the new physical phenomena that follow from the theory, as we will see in subsequent chapters.
+In the following chapters we shall also discuss the status of the hurdles in some detail, but it is instructive first to understand them at a general level. Strings in the world around us come with a variety of tensions. The string laced through a pair of shoes, for example, is usually quite slack compared to the string stretched from one end of a violin to another. Both of these, in turn, are under far less tension than the steel strings of a piano. The one number that string theory requires in order to set its overall scale is the corresponding tension on its loops. How is this tension determined? Well, if we could pluck a fundamental string we would learn about its stiffness, and in this way we could measure its tension much as is done to measure the tension of more familiar everyday strings. But since fundamental strings are so tiny, this approach cannot be carried out and a more indirect method is called for. In 1974, when Scherk and Schwarz proposed that one particular pattern of string vibration was the graviton particle, they were able to exploit such an indirect approach and thereby predict the tension on the strings of string theory. Their calculations revealed that the strength of the force transmitted by the proposed graviton pattern of string vibration is inversely proportional to the string's tension. And since the graviton is supposed to transmit the gravitational force-a force that is intrinsically quite feeble-they found that this implies a colossal tension of a thousand billion billion billion billion (1039) tons, the so-called Planck tension. Fundamental strings are therefore extremely stiff compared with more familiar examples. This has three important consequences.
+Three Consequences of Stiff Strings
+First, whereas the ends of a violin or a piano string are pinned down, ensuring that they have a fixed length, no analogous constraining frame pins down the size of a fundamental string. Instead, the huge string tension causes the loops of string theory to contract to a minuscule size. Detailed calculation reveals that being under Planck tension translates into a typical string having Planck length-10-33 centimeters-as previously mentioned.8
+Second, because of the enormous tension, the typical energy of a vibrating loop in string theory is extremely high. To understand this, we note that the greater the tension a string is under, the harder it is to get it to vibrate. For instance, it's far easier to pluck a violin string and set it vibrating than it is to pluck a piano string. Two strings, therefore, that are under different tension and are vibrating in precisely the same way will not have the same energy. The string with higher tension will have more energy than the string with lower tension, since more energy must be exerted to set it in motion.
+This alerts us to the fact that the energy of a vibrating string is determined by two things: the precise manner in which it vibrates (more frantic patterns corresponding to higher energies) and the tension of the string (higher tension corresponding to higher energy). At first, this description might lead you to think that by taking on ever gentler vibrational patterns-patterns with ever smaller amplitudes and fewer peaks and troughs-a string can embody less and less energy. But as we found in Chapter 4 in a different context, quantum mechanics tells us that this reasoning is not right. Like all vibrations or wavelike disturbances, quantum mechanics implies that they can exist only in discrete units. Roughly speaking, just as the money carried by a comrade in the warehouse is a whole number multiple of the monetary denomination with which he or she is entrusted, the energy embodied in a string vibrational pattern is a whole number multiple of a minimal energy denomination. In particular, this minimal energy denomination is proportional to the tension of the string (and it is also proportional to the number of peaks and troughs in the particular vibrational pattern), while the whole number multiple is determined by the amplitude of the vibrational pattern.
+The key point for the present discussion is this: Since the minimal energy denominations are proportional to the string's tension, and since this tension is enormous, the fundamental minimal energies are, on the usual scales of elementary particle physics, similarly huge. They are multiples of what is known as the Planck energy. To get a sense of scale, if we translate the Planck energy into a mass using Einstein's famous conversion formula E = mc
+2, they correspond to masses that are on the order of ten billion billion (1019) times that of a proton. This gargantuan mass-by elementary particle standards-is known as the Planck mass; it's about equal to the mass of a grain of dust or a collection of a million average bacteria. And so, the typical mass-equivalent of a vibrating loop in string theory is generally some whole number (1, 2, 3, ...) times the Planck mass. Physicists often express this by saying that the "natural" or "typical" energy scale (and hence mass scale) of string theory is the Planck scale.
+This raises a crucial question directly related to the goal of reproducing the particle properties in Tables 1.1 and 1.2: If the "natural" energy scale of string theory is some ten billion billion times that of a proton, how can it possibly account for the far-lighter particles-electrons, quarks, photons, and so on-making up the world around us?
+The answer, once again, comes from quantum mechanics. The uncertainty principle ensures that nothing is ever perfectly at rest. All objects undergo quantum jitter, for if they didn't we would know where they were and how fast they were moving with complete precision, in violation of Heisenberg's dictum. This holds true for the loops in string theory as well; no matter how placid a string appears it will always experience some amount of quantum vibration. The remarkable thing, as originally worked out in the 1970s, is that there can be energy cancellations between these quantum jitters and the more intuitive kind of string vibrations discussed above and illustrated in Figures 6.2 and 6.3. In effect, through the weirdness of quantum mechanics, the energy associated with the quantum jitters of a string is negative, and this reduces the overall energy content of a vibrating string by an amount that is roughly equal to Planck energy. This means that the lowest-energy vibrational string patterns, whose energies we would naively expect to be about equal to the Planck energy (i.e., 1 times the Planck energy), are largely canceled, thereby yielding relatively low net-energy vibrations-energies whose corresponding mass-equivalents are in the neighborhood of the matter and force particle masses shown in Tables 1.1 and 1.2. It is these lowest energy vibrational patterns, therefore, that should provide contact between the theoretical description of strings and the experimentally accessible world of particle physics. As an important example, Scherk and Schwarz found that for the vibrational pattern whose properties make it a candidate for the graviton messenger particle, the energy cancellations are perfect, resulting in a zero-mass gravitational-force particle. This is precisely what is expected for the graviton; the gravitational force is transmitted at light speed and only massless particles travel at this maximal velocity. But low-energy vibrational combinations are very much the exception rather than the rule. The more typical vibrating fundamental string corresponds to a particle whose mass is billions upon billions times greater than that of the proton.
+This tells us that the comparatively light fundamental particles of Tables 1.1 and 1.2 should arise, in a sense, from the fine mist above the roaring ocean of energetic strings. Even a particle as heavy as the top quark, with a mass about 189 times that of the proton, can arise from a vibrating string only if the string's enormous characteristic Planck-scale energy is canceled by the jitters of quantum uncertainty to better than one part in a hundred million billion. It's as if you were playing The Price Is Right and Bob Barker gives you ten billion billion dollars and challenges you to purchase products that will cost-cancel, so to speak-all but 189 of the dollars, not a dollar more or less. Coming up with such an enormous yet precise expenditure, without being privy to the exact prices of the individual items, would severely tax the acumen of even the world's most expert shoppers. In string theory, where the currency is energy as opposed to money, approximate calculations have conclusively shown that analogous energy cancellations certainly can occur, but for reasons that will become increasingly clear in subsequent chapters, verifying the cancellations to such a high level of precision is generally beyond our theoretical ken at present. Even so, as indicated before, we shall see that many other properties of string theory that are less sensitive to these finest of details can be extracted and understood with confidence.
+This takes us to the third consequence of the enormous value of the string tension. Strings can execute an infinite number of different vibrational patterns. For instance, in Figure 6.2 we showed the beginnings of a never-ending sequence of possibilities characterized by an ever greater number of peaks and troughs. Doesn't this mean that there would have to be a corresponding never-ending sequence of elementary particles, seemingly in conflict with the experimental situation summarized in Tables 1.1 and 1.2?
+The answer is yes: If string theory is right, each of the infinitely many resonant patterns of string vibration should correspond to an elementary particle. An essential point, however, is that the high string tension ensures that all but a few of these vibrational patterns will correspond to extremely heavy particles (the few being the lowest-energy vibrations that have near-perfect cancellations with quantum string jitters). And again, the term "heavy" here means many times heavier than the Planck mass. As our most powerful particle accelerators can reach energies only on the order of a thousand times the proton mass, less than a millionth of a billionth of the Planck energy, we are very far from being able to search in the laboratory for any of these new particles predicted by string theory.
+There are more indirect approaches by which we could search for them, though. For instance, the energies involved at the birth of the universe would have been high enough to produce these particles copiously. In general one would not expect them to survive to the present day, as such super-heavy particles are usually unstable, relinquishing their enormous mass by decaying into a cascade of ever lighter particles, ending with the familiar, relatively light particles in the world around us. However, it is possible that such a super-heavy vibrational string state-a relic from the big bang-did survive to the present. Finding such particles, as we discuss more fully in Chapter 9, would be a monumental discovery, to say the least.
+Gravity and Quantum Mechanics in String Theory
+The unified framework that string theory presents is compelling. But its real attraction is the ability to ameliorate the hostilities between the gravitational force and quantum mechanics. Recall that the problem in merging general relativity and quantum mechanics turns up when the central tenet of the former-that space and time constitute a smoothly curving geometrical structure-confronts the essential feature of the latter-that everything in the universe, including the fabric of space and time, undergoes quantum fluctuations that become increasingly turbulent when probed on smaller and smaller distance scales. On sub-Planck-scale distances, the quantum undulations are so violent that they destroy the notion of a smoothly curving geometrical space; this means that general relativity breaks down.
+String theory softens the violent quantum undulations by "smearing" out the short-distance properties of space. There is a rough and a more precise answer to the question of what this really means and how it resolves the conflict. We discuss each in turn.
+The Rough Answer
+Although it sounds unsophisticated, one way that we learn about the structure of an object is by hurling other things at it and observing the precise way in which they are deflected. We are able to see things, for example, because our eyes collect and our brains decode information carried by photons as they bounce off of objects being viewed. Particle accelerators are based on the same principle: They hurl bits of matter such as electrons and protons at each other as well as at other targets, and elaborate detectors analyze the resulting spray of debris to determine the architecture of the objects involved.
+As a general rule, the size of the probe particle that we use sets a lower limit to the length scale to which we are sensitive. To get a feel for what this important statement means, imagine that Slim and Jim decide to get some culture by enrolling in a drawing class. As the semester progresses, Jim becomes increasingly irritated by Slim's growing proficiency as an artist and challenges him to an unusual contest. He proposes that they each take a peach pit, secure it in a vise, and draw their most accurate "still life" renditions. The unusual feature of Jim's challenge is that neither he nor Slim will be allowed to look at the peach pits. Instead, each is allowed to learn about the size, shape, and features of his peach pit only by shooting things (other than photons!) at the pit and observing how they are deflected, as illustrated in Figure 6.4. Unbeknownst to Slim, Jim fills Slim's "shooter" with marbles (as in Figure 6.4(a)) but fills his own shooter with far smaller five-millimeter plastic pellets (as in Figure 6.4(b)). They both turn on their shooters, and the competition begins.
+After a while, the best drawing Slim can come up with is that in Figure 6.4(a). By observing the trajectories of the deflected marbles he was able to learn that the pit is a small, hard-surfaced mass. But that's all he could learn. Marbles are just too large to be sensitive to the finer corrugated structure of the peach pit. When Slim takes a look at Jim's drawing (Figure 6.4(b)), he is surprised to see that he has been outdone. A momentary glance at Jim's shooter, though, reveals the trick: The smaller probe particles used by Jim are fine enough to have their angle of deflection affected by some of the largest features adorning the pit's surface. And so, by shooting many five-millimeter pellets at the pit and observing their deflected trajectories, Jim was able to draw a more detailed image. Slim, not to be outdone, goes back to his shooter, fills it with even smaller probe particles-half-millimeter pellets-that are tiny enough to enter and hence be deflected by the finest corrugations on the pit's surface. By observing how these impinging probe particles are deflected, he is able to draw the winning rendition shown in Figure 6.4(c).
+The lesson taught by this little competition is clear: Useful probe particles cannot be substantially larger than the physical features being examined; otherwise, they will be insensitive to the structures of interest.
+The same reasoning holds, of course, if one wants to probe the pit even more deeply to determine its atomic and subatomic structure. Half-millimeter pellets will not provide any useful information; they are clearly too big to have any sensitivity to structure on atomic scales. This is why particle accelerators use protons or electrons as probes, since their small size makes them much better suited to the task. On subatomic scales, where quantum concepts replace classical reasoning, the most appropriate measure of a particle's probing sensitivity is its quantum wavelength, which indicates the window of uncertainty in its position. This fact reflects our discussion of Heisenberg's uncertainty principle in Chapter 4, in which we found that the margin of error incurred when using a point particle as a probe (we focused on photon probes but the discussion applies to all other particles) is about equal to the probe particle's quantum wavelength. In somewhat looser language, the probing sensitivity of a point particle is smeared out by the jitteriness of quantum mechanics, in much the same way that the precision of a surgeon's scalpel is compromised if he or she has hands that shake. But recall that in Chapter 4 we also noted the important fact that a particle's quantum wavelength is inversely proportional to its momentum, which, roughly speaking, is its energy. And so, by increasing a point particle's energy, its quantum wavelength can be made shorter and shorter-quantum smearing can be decreased further and further-and hence we can use it to probe ever finer physical structures. Intuitively, higher-energy particles have greater penetrating power and are therefore able to probe more minute features.
+In this regard, the distinction between point particles and strands of string becomes manifest. Just as was the case for plastic pellets probing the surface features of a peach pit, the string's inherent spatial extent prevents it from probing the structure of anything substantially smaller than its own size-in this case structures arising on length scales shorter than the Planck length. Somewhat more precisely, in 1988 David Gross, then of Princeton University, and his student Paul Mende showed that when quantum mechanics is taken into account, continually increasing the energy of a string does not continually increase its ability to probe finer structures, in direct contrast with what happens for a point particle. They found that when the energy of a string is increased, it is at first able to probe shorter-scale structures, just like an energetic point particle. But when its energy is increased beyond the value required for probing structures on the scale of the Planck length, the additional energy does not sharpen the string probe. Rather, the energy causes the string to grow in size, thereby diminishing its short-distance sensitivity. In fact, although the size of a typical string is the Planck length, if we pumped enough energy into a string-an amount of energy beyond our wildest imaginings but one that would likely have been attained by the big bang-we could cause it to grow to a macroscopic size, a clumsy probe of the microcosmos indeed! It's as if a string, unlike a point particle, has two sources of smearing: quantum jitters, as for a point particle, and also its own inherent spatial extent. Increasing a string's energy decreases the smearing from the first source but ultimately increases the smearing from the second. The upshot is that no matter how hard you try, the extended nature of a string prevents you from using it to probe phenomena on sub-Planck-length distances.
+But the whole conflict between general relativity and quantum mechanics arises from the sub-Planck-length properties of the spatial fabric. If the elementary constituent of the universe cannot probe sub-Planck-scale distances, then neither it nor anything made from it can be affected by the supposedly disastrous short-distance quantum undulations. This is similar to what happens as we draw our hand across a highly polished granite surface. Although at a microscopic level the granite is discrete, grainy, and bumpy, our fingers are unable to detect these short-scale variations and the surface feels perfectly smooth. Our stumpy, extended fingers "smear" out the microscopic discreteness. Similarly, since the string has spatial extent, it also has limits on its short-distance sensitivity. It cannot detect variations on sub-Planck-distance scales. Like our fingers on granite, the string smears out the jittery ultramicroscopic fluctuations of the gravitational field. Although the resulting fluctuations are still substantial, this smearing smooths them out just enough to cure the incompatibility between general relativity and quantum mechanics. And, in particular, the pernicious infinities (discussed in the preceding chapter) that arise in the point-particle approach to forming a quantum theory of gravity are done away with by string theory.
+An essential difference between the granite analogy and our real concern with the spatial fabric is that there are ways in which the microscopic discreteness of the granite's surface can be exposed: Finer, more precise probes than our fingers can be used. An electron microscope has the ability to resolve surface features to less than a millionth of a centimeter; this is sufficiently small to reveal the numerous surface imperfections. By contrast, in string theory there is no way to expose the sub-Planck-scale "imperfections" in the fabric of space. In a universe governed by the laws of string theory, the conventional notion that we can always dissect nature on ever smaller distances, without limit, is not true. There is a limit, and it comes into play before we encounter the devastating quantum foam of Figure 5.1. Therefore, in a sense that will be made more precise in later chapters, one can even say that the supposed tempestuous sub-Planckian quantum undulations do not exist. A positivist would say that something exists only if it can-at least in principle-be probed and measured. Since the string is supposed to be the most elementary object in the universe and since it is too large to be affected by the violent sub-Planck-length undulations of the spatial fabric, these fluctuations cannot be measured and hence, according to string theory, do not actually arise.
+A Sleight of Hand?
+This discussion may leave you feeling dissatisfied. Instead of showing that string theory tames the sub-Planck-length quantum undulations of space, we seem to have used the string's nonzero size to skirt the whole issue completely. Have we actually solved anything? We have. The following two points will serve to emphasize this.
+First, what the preceding argument implies is that the supposedly problematic sub-Planck-length spatial fluctuations are an artifact of formulating general relativity and quantum mechanics in a point-particle framework. In a sense, therefore, the central conflict of contemporary theoretical physics has been a problem of our own making. Because we previously envisioned all matter particles and all force particles to be pointlike objects with literally no spatial extent, we were obligated to consider properties of the universe on arbitrarily short distance scales. And on the tiniest of distances we ran into seemingly insurmountable problems. String theory tells us that we encountered these problems only because we did not understand the true rules of the game; the new rules tell us that there is a limit to how finely we can probe the universe-and, in a real sense, a limit to how finely our conventional notion of distance can even be applied to the ultramicroscopic structure of the cosmos. The supposed pernicious spatial fluctuations are now seen to have arisen in our theories because we were unaware of these limits and were thus led by a point-particle approach to grossly overstep the bounds of physical reality.
+Given the apparent simplicity of this solution for overcoming the problem between general relativity and quantum mechanics, you might wonder why it took so long for someone to suggest that the point-particle description is merely an idealization and that in the real world elementary particles do have some spatial extent. This takes us to our second point. Long ago, some of the greatest minds in theoretical physics, such as Pauli, Heisenberg, Dirac, and Feynman, did suggest that nature's constituents might not actually be points but rather small undulating "blobs" or "nuggets." They and others found, however, that it is very hard to construct a theory, whose fundamental constituent is not a point particle, that is nonetheless consistent with the most basic of physical principles such as conservation of quantum-mechanical probability (so that physical objects do not suddenly vanish from the universe, without a trace) and the impossibility of faster-than-light-speed transmission of information. From a variety of perspectives, their research showed time and again that one or both of these principles were violated when the point-particle paradigm was discarded. For a long time, therefore, it seemed impossible to find a sensible quantum theory based on anything but point particles. The truly impressive feature of string theory is that more than twenty years of exacting research has shown that although certain features are unfamiliar, string theory does respect all of the requisite properties inherent in any sensible physical theory. And furthermore, through its graviton pattern of vibration, string theory is a quantum theory containing gravity.
+The More Precise Answer
+The rough answer captures the essence of why string theory prevails where previous point-particle theories failed. And so, if you like, you can go on to the next section without losing the logical flow of our discussion. But having developed the essential ideas of special relativity in Chapter 2, we already have the necessary tools for describing more accurately how string theory calms the violent quantum jitters.
+In the more precise answer, we rely upon the same core idea as in the rough answer, but we express it directly at the level of strings. We do this by comparing, in some detail, point-particle and string probes. We will see how the extended nature of the string smears out the information that would be obtainable by point-particle probes, and therefore, again, how it happily does away with the ultra-short-distance behavior responsible for the central dilemma of contemporary physics.
+We first consider the way in which point particles would interact, if they were actually to exist, and hence how they could be used as physical probes. The most basic interaction is between two point particles moving on a collision course so that their trajectories will intersect, as in Figure 6.5. If these particles were billiard balls they would collide, and each would be deflected onto a new trajectory. Point-particle quantum field theory shows that essentially the same thing happens when elementary particles collide-they scatter off one another and continue on deflected trajectories-but the details are a little different.
+For concreteness and simplicity, imagine that one of the two particles is an electron and the other is its antiparticle, the positron. When matter and antimatter collide, they can. annihilate in a flash of pure energy, producing, for example, a photon.9 To distinguish the ensuing trajectory of the photon from the previous trajectories of the electron and positron, we follow a traditional physics convention and draw it with a wiggly line. The photon will typically travel for a bit and then release the energy derived from the initial electron-positron pair by producing another electron-positron pair with trajectories as indicated on the far right of Figure 6.6. In the end, two particles are fired at each other, they interact through the electromagnetic force, and finally they emerge on deflected trajectories, a sequence of events that bears some similarity to our description of colliding billiard balls.
+We are concerned with the details of the interaction-specifically, the point where the initial electron and positron annihilate and produce the photon. The central fact, as will become apparent, is that there is an unambiguous, completely identifiable time and place where this happens: It is marked in Figure 6.6.
+How does this description change if, when we closely examine the objects we thought were zero-dimensional points, they turn out to be one-dimensional strings? The basic process of interaction is the same, but now the objects on a collision course are oscillating loops, as shown in Figure 6.7. If these loops are vibrating in just the right resonance patterns, they will correspond to an electron and a positron on collision course, just as in Figure 6.6. Only when examined at the most minute distance scales, far smaller than anything our present technology can access, is their true stringlike character apparent. As in the point-particle case, the two strings collide and again annihilate each other in a flash. The flash, a photon, is itself a string in a particular vibrational pattern. Thus, the two incoming strings interact by merging together and producing a third string, as shown in Figure 6.7. Just as in our point-particle description, this string travels a bit, and then releases the energy derived from the two initial strings by dissociating into two strings that travel onward. Again, from any but the most microscopic perspective, this will look just like the point-particle interaction of Figure 6.6.
+There is, however, a crucial difference between the two descriptions. We emphasized that the point-particle interaction occurs at an identifiable point in space and time, a location that all observers can agree on. As we shall now see, this is not true for interactions between strings. We will show this by comparing how George and Gracie, two observers in relative motion as in Chapter 2, would describe the interaction. We will see that they do not agree on where and when the two strings touch for the first time.
+To do so, imagine that we view the interaction between two strings with a camera whose shutter is kept open so that the whole history of the process is captured on one piece of film.10 We show the result-known as a string world-sheet-in Figure 6.7(c). By "slicing" the world-sheet into parallel pieces-much as one slices a loaf of bread-the moment-by-moment history of the string interaction can be recovered. We show an example of this slicing in Figure 6.8. Specifically, in Figure 6.8(a) we show George, intently focused on the two incoming strings, together with an attached plane that slices through all events in space that occur at the same time, according to his perspective. As we have done often in previous chapters, we have suppressed one spatial dimension in this diagram for visual clarity. In reality, of course, there is a three-dimensional array of events that occur at the same time according to any observer. Figures 6.8(b) and 6.8(c) give a couple of snapshots at subsequent times-subsequent "slices" of the world-sheet-showing how George sees the two strings approach each other. Of central importance, in Figure 6.8(c) we show the instant in time, according to George, when the two strings first touch and merge together, producing the third string.
+Let's now do the same for Gracie. As discussed in Chapter 2, the relative motion of George and Gracie implies that they do not agree on what events occur at the same time. From Gracie's perspective the events in space that occur simultaneously lie on a different plane, as shown in Figure 6.9. That is, from Gracie's perspective, the world-sheet of Figure 6.7(c) must be "sliced" into pieces at a different angle in order to reveal the moment-by-moment progression of the interaction.
+In Figures 6.9(b) and 6.9(c) we show subsequent moments in time, now according to Gracie, including the moment when she sees the two incoming strings touch and produce the third string.
+By comparing Figures 6.8 (c) and 6.9 (c), as we do in Figure 6.10, we see that George and Gracie do not agree on when and where the two initial strings first touch-where they interact. The string, being an extended object, ensures that there is no unambiguous location in space or moment in time when the strings first interact-rather, it depends upon the state of motion of the observer.
+If we apply exactly the same reasoning to the interaction of point particles, as summarized in Figure 6.11, we recover the conclusion stated earlier -there is a definite point in space and moment in time when the point particles interact. Point particles cram all of their interaction into a definite point. When the force involved in an interaction is the gravitational force-that is, when the messenger particle involved in the interaction is the graviton instead of the photon-this complete packing of the force's punch into a single point leads to disastrous results, such as the infinite answers we alluded to earlier. Strings, by contrast, "smear" out the place where interactions occur. Because different observers perceive that the interaction takes place at various locations along the left part of the surface of Figure 6.10, in a real sense this means that the interaction location is smeared out among all of them. This spreads out the force's punch and, in the case of the gravitational force, this smearing significantly dilutes its ultramicroscopic properties-so much so that calculations yield well-behaved finite answers in place of the previous infinities. This is a more precise version of the smearing encountered in the rough answer of the last section. And once again, this smearing results in a smoothing of the ultramicroscopic jitteriness of space as sub-Planck-length distances are blurred together.
+Like viewing the world through glasses that are too weak or too strong, fine sub-Planckian details that would be accessible to a point-particle probe are smeared together by string theory and rendered harmless. And unlike the case with poor eyesight, if string theory is the ultimate description of the universe, there is no corrective lens to bring the supposed sub-Planck-scale fluctuations into sharp focus. The incompatibility of general relativity and quantum mechanics-which would become apparent only on sub-Planck-scale distances-is avoided in a universe that has a lower limit on the distances that can be accessed, or even said to exist, in the conventional sense. Such is the universe described by string theory, in which we see that the laws of the large and the small can be harmoniously merged together as the supposed catastrophe arising on ultramicroscopic distances is summarily done away with.
+Beyond Strings?
+Strings are special for two reasons. First, even though they are spatially extended they can be described consistently in the framework of quantum mechanics. Second, among the resonant vibrational patterns there is one that has the exact properties of the graviton, thus ensuring that the gravitational force is an intrinsic part of its structure. But just as string theory shows that the conventional notion of zero-dimensional point particles appears to be a mathematical idealization that is not realized in the real world, might it also be the case that an infinitely thin one-dimensional strand is similarly a mathematical idealization? Might it actually be the case that strings have some thickness-like the surface of a two-dimensional bicycle-tire inner tube or, even more realistically, like a thin three-dimensional doughnut? The seemingly insurmountable difficulties found by Heisenberg, Dirac, and others in their attempts to construct a quantum theory of three-dimensional nuggets have repeatedly stymied researchers following this natural chain of reasoning.
+Quite unexpectedly, though, during the mid-1990s, string theorists realized, through indirect and rather shrewd reasoning, that such higher-dimensional fundamental objects actually do play an important and subtle role in string theory itself. Researchers have gradually realized that string theory is not a theory that contains only strings. A crucial observation, central to the second superstring revolution initiated by Witten and others in 1995, is that string theory actually includes ingredients with a variety of different dimensions: two-dimensional Frisbee-like constituents, three-dimensional blob-like constituents, and even more exotic possibilities to boot. These most recent realizations will be taken up in Chapters 12 and 13. For now we continue to follow the path of history and further explore the striking new properties of a universe built out of one-dimensional strings instead of zero-dimensional point-particles.
+
+Chapter 7
+The "Super" in Superstrings
+When the success of Eddington's 1919 expedition to measure Einstein's prediction of the bending of starlight by the sun had been established, the Dutch physicist Hendrik Lorentz sent Einstein a telegram informing him of the good news. As word of the telegram's confirmation of general relativity spread, a student asked Einstein about what he would have thought if Eddington's experiment had not found the predicted bending of starlight. Einstein replied, "Then I would have been sorry for the dear Lord, for the theory is correct."1
+Of course, had experiments truly failed to confirm Einstein's predictions, the theory would not be correct and general relativity would not have become a pillar of modern physics. But what Einstein meant is that general relativity describes gravity with such a deep inner elegance, with such simple yet powerful ideas, that he found it hard to imagine that nature could pass it by. General relativity, in Einstein's view, was almost too beautiful to be wrong.
+Aesthetic judgments do not arbitrate scientific discourse, however. Ultimately, theories are judged by how they fare when faced with cold, hard, experimental facts. But this last remark is subject to an immensely important qualification. While a theory is being constructed, its incomplete state of development often prevents its detailed experimental consequences from being assessed. Nevertheless, physicists must make choices and exercise judgments about the research direction in which to take their partially completed theory. Some of these decisions are dictated by internal logical consistency; we certainly require that any sensible theory avoid logical absurdities. Other decisions are guided by a sense of the qualitative experimental implications of one theoretical construct relative to another; we are generally not interested in a theory if it has no capacity to resemble anything we encounter in the world around us. But it is certainly the case that some decisions made by theoretical physicists are founded upon an aesthetic sense-a sense of which theories have an elegance and beauty of structure on par with the world we experience. Of course, nothing ensures that this strategy leads to truth. Maybe, deep down, the universe has a less elegant structure than our experiences have led us to believe, or maybe we will find that our current aesthetic criteria need significant refining when applied in ever less familiar contexts. Nevertheless, especially as we enter an era in which our theories describe realms of the universe that are increasingly difficult to probe experimentally, physicists do rely on such an aesthetic to help them steer clear of blind alleys and dead-end roads that they might otherwise pursue. So far, this approach has provided a powerful and insightful guide.
+In physics, as in art, symmetry is a key part of aesthetics. But unlike the case in art, symmetry in physics has a very concrete and precise meaning. In fact, by diligently following this precise notion of symmetry to its mathematical conclusion, physicists during the last few decades have found theories in which matter particles and messenger particles are far more closely intertwined than anyone previously thought possible. Such theories, which unite not only the forces of nature but also the material constituents, have the greatest possible symmetry and for this reason have been called supersymmetric. Superstring theory, as we shall see, is both the progenitor and the pinnacle example of a supersymmetric framework.
+The Nature of Physical Law
+Imagine a universe in which the laws of physics are as ephemeral as the tastes of fashion-changing from year to year, from week to week, or even from moment to moment. In such a world, assuming that the changes do not disrupt basic life processes, you would never experience a dull moment, to say the least. The simplest acts would be an adventure, since random variations would prevent you or anyone else from using past experience to predict anything about future outcomes.
+Such a universe is a physicist's nightmare. Physicists-and most everyone else as well-rely crucially upon the stability of the universe: The laws that are true today were true yesterday and will still be true tomorrow (even if we have not been clever enough to have figured them all out). After all, what meaning can we give to the term "law" if it can abruptly change? This does not mean that the universe is static; the universe certainly changes in innumerable ways from each moment to the next. Rather, it means that the laws governing such evolution are fixed and unchanging. You might ask whether we really know this to be true. In fact, we don't. But our success in describing numerous features of the universe, from a brief moment after the big bang right through to the present, assures us that if the laws are changing they must be doing so very slowly. The simplest assumption that is consistent with all that we know is that the laws are fixed.
+Now imagine a universe in which the laws of physics are as parochial as local culture-changing unpredictably from place to place and defiantly resisting any outside influence to conform. Like the adventures of Gulliver, travels in such a world would expose you to an enormously rich array of unpredictable experiences. But from a physicist's perspective, this is yet another nightmare. It's hard enough, for instance, to live with the fact that laws that are valid in one country-or even one state-may not be valid in another. But imagine what things would be like if the laws of nature were as varied. In such a world experiments carried out in one locale would have no bearing on the physical laws relevant somewhere else. Instead, physicists would have to redo experiments over and over again in different locations to probe the local laws of nature that hold in each. Thankfully, everything we know points toward the laws of physics being the same everywhere. All experiments the world over converge on the same set of underlying physical explanations. Moreover, our ability to explain a vast number of astrophysical observations of far-flung regions of the cosmos using one, fixed set of physical principles leads us to believe that the same laws do hold true everywhere. Having never traveled to the opposite end of the universe, we can't definitively rule out the possibility that a whole new kind of physics prevails elsewhere, but everything points to the contrary.
+Again, this does not mean that the universe looks the same-or has the same detailed properties-in different locations. An astronaut jumping on a pogo stick on the moon can do all sorts of things that are impossible to do on earth. But we recognize that the difference arises because the moon is far less massive than the earth; it does not mean that the law of gravity is somehow changing from place to place. Newton's, or more precisely, Einstein's, law of gravity is the same on earth as it is on the moon. The difference in the astronaut's experience is one of change in environmental detail, not variation of physical law.
+Physicists describe these two properties of physical laws-that they do not depend on when or where you use them-as symmetries of nature. By this usage physicists mean that nature treats every moment in time and every location in space identically-symmetrically-by ensuring that the same fundamental laws are in operation. Much in the same manner that they affect art and music, such symmetries are deeply satisfying; they highlight an order and a coherence in the workings of nature. The elegance of rich, complex, and diverse phenomena emerging from a simple set of universal laws is at least part of what physicists mean when they invoke the term "beautiful."
+In our discussions of the special and general theories of relativity, we came upon yet other symmetries of nature. Recall that the principle of relativity, which lies at the heart of special relativity, tells us that all physical laws must be the same regardless of the constant-velocity relative motion that individual observers might experience. This is a symmetry because it means that nature treats all such observers identically-symmetrically. Each such observer is justified in considering himself or herself to be at rest. Again, it's not that observers in relative motion will make identical observations; as we have seen earlier, there are all sorts of stunning differences in their observations. Instead, like the disparate experiences of the pogo-stick enthusiast on the earth and on the moon, the differences in observations reflect environmental details-the observers are in relative motion-even though their observations are governed by identical laws.
+Through the equivalence principle of general relativity, Einstein significantly extended this symmetry by showing that the laws of physics are actually identical for all observers, even if they are undergoing complicated accelerated motion. Recall that Einstein accomplished this by realizing that an accelerated observer is also perfectly justified in declaring himself or herself to be at rest, and in claiming that the force he or she feels is due to a gravitational field. Once gravity is included in the framework, all possible observational vantage points are on a completely equal footing. Beyond the intrinsic aesthetic appeal of this egalitarian treatment of all motion, we have seen that these symmetry principles played a pivotal role in the stunning conclusions regarding gravity that Einstein found.
+Are there any other symmetry principles having to do with space, time, and motion that the laws of nature should respect? If you think about this you might come up with one more possibility. The laws of physics should not care about the angle from which you make your observations. For instance, if you perform some experiment and then decide to rotate all of your equipment and do the experiment again, the same laws should apply. This is known as rotational symmetry, and it means that the laws of physics treat all possible orientations on equal footing. It is a symmetry principle that is on par with the previous ones discussed.
+Are there others? Have we overlooked any symmetries? You might suggest the gauge symmetries associated with the nongravitational forces, as discussed in Chapter 5. These are certainly symmetries of nature, but they are of a more abstract sort; our focus here is on symmetries that have a direct link to space, time, or motion. With this stipulation, it's now likely that you can't think of any other possibilities. In fact, in 1967 physicists Sidney Coleman and Jeffrey Mandula were able to prove that no other symmetries associated with space, time, or motion could be combined with those just discussed and result in a theory bearing any resemblance to our world.
+Subsequently, though, close examination of this theorem, based on insights of a number of physicists revealed precisely one subtle loophole: The Coleman-Mandula result did not exploit fully symmetries sensitive to something known as spin.
+Spin
+An elementary particle such as an electron can orbit an atomic nucleus in somewhat the same way that the earth orbits the sun. But, in the traditional point-particle description of an electron, it would appear that there is no analog of the earth's spinning around on its axis. When any object spins, points on the axis of rotation itself-like the central point of a spinning Frisbee-do not move. If something is truly pointlike, though, it has no "other points" that lie off of any purported spin axis. And so it would appear that there simply is no notion of a point object spinning. Many years ago, such reasoning fell prey to yet another quantum-mechanical surprise.
+In 1925, the Dutch physicists George Uhlenbeck and Samuel Goudsmit realized that a wealth of puzzling data having to do with properties of light emitted and absorbed by atoms could be explained if electrons were assumed to have very particular magnetic properties. Some hundred years earlier, the Frenchman André-Marie Ampère had shown that magnetism arises from the motion of electric charge. Uhlenbeck and Goudsmit followed this lead and found that only one specific sort of electron motion could give rise to the magnetic properties suggested by the data: rotational motion-that is, spin. And so, contrary to classical expectations, Uhlenbeck and Goudsmit proclaimed that, somewhat like the earth, electrons both revolve and rotate.
+Did Uhlenbeck and Goudsmit literally mean that the electron is spinning? Yes and no. What their work really showed is that there is a quantum-mechanical notion of spin that is somewhat akin to the usual image but inherently quantum mechanical in nature. It's one of those properties of the microscopic world that brushes up against classical ideas but injects an experimentally verified quantum twist. For instance, picture a spinning skater. As she pulls her arms in she spins more quickly; as she stretches out her arms she spins more slowly. And sooner or later, depending on how vigorously she threw herself into the spin, she will slow down and stop. Not so for the kind of spin revealed by Uhlenbeck and Goudsmit. According to their work and subsequent studies, every electron in the universe, always and forever, spins at one fixed and never changing rate. The spin of an electron is not a transitory state of motion as for more familiar objects that, for some reason or other, happen to be spinning. Instead, the spin of an electron is an intrinsic property, much like its mass or its electric charge. If an electron were not spinning, it would not be an electron.
+Although early work focused on the electron, physicists have subsequently shown that these ideas about spin apply equally well to all of the matter particles that fill out the three families of Table 1.1. This is true down to the last detail: All of the matter particles (and their antimatter partners as well) have spin equal to that of the electron. In the language of the trade, physicists say that matter particles all have "spin-1/2," where the value 1/2 is, roughly speaking, a quantum-mechanical measure of how quickly electrons rotate.2 Moreover, physicists have shown that the nongravitational force carriers-photons, weak gauge bosons, and gluons-also possess an intrinsic spinning characteristic that turns out to be twice that of the matter particles. They all have "spin-1."
+What about gravity? Well, even before string theory, physicists were able to determine what spin the hypothesized graviton must have to be the transmitter of the gravitational force. The answer: twice the spin of photons, weak gauge bosons, and gluons-i.e., "spin-2."
+In the context of string theory, spin-just like mass and force charges-is associated with the pattern of vibration that a string executes. As with point particles, it's a bit misleading to think of the spin carried by a string as arising from its spinning literally around in space, but this image does give a loose picture to have in mind. By the way, we can now clarify an important issue we encountered earlier. In 1974, when Scherk and Schwarz proclaimed that string theory should be thought of as a quantum theory incorporating the gravitational force, they did so because they had found that strings necessarily have a vibrational pattern in their repertoire that is massless and has spin-2-the hallmark features of the graviton. Where there is a graviton there is also gravity.
+With this background on the concept of spin, let's now turn to the role it plays in revealing the loophole in the Coleman-Mandula result concerning the possible symmetries of nature, mentioned in the preceding section.
+Supersymmetry and Superpartners
+As we have emphasized, the concept of spin, although superficially akin to the image of a spinning top, differs in substantial ways that are rooted in quantum mechanics. Its discovery in 1925 revealed that there is another kind of rotational motion that simply would not exist in a purely classical universe.
+This suggests the following question: just as ordinary rotational motion allows for the symmetry principle of rotational invariance ("physics treats all spatial orientations on an equal footing"), could it be that the more subtle rotational motion associated with spin leads to another possible symmetry of the laws of nature? By 1971 or so, physicists showed that the answer to this question was yes. Although the full story is quite involved, the basic idea is that when spin is considered, there is precisely one more symmetry of the laws of nature that is mathematically possible. It is known as supersymmetry.
+3
+Supersymmetry cannot be associated with a simple and intuitive change in observational vantage point; shifts in time, in spatial location, in angular orientation, and in velocity of motion exhaust these possibilities. But just as spin is "like rotational motion, with a quantum-mechanical twist," supersymmetry can be associated with a change in observational vantage point in a "quantum-mechanical extension of space and time." These quotes are especially important, as the last sentence is only meant to give a rough sense of where supersymmetry fits into the larger framework of symmetry principles.4 Nevertheless, although understanding the origin of supersymmetry is rather subtle, we will focus on one of its primary implications-should the laws of nature incorporate its principles-and this is far easier to grasp.
+In the early 1970s, physicists realized that if the universe is supersymmetric, the particles of nature must come in pairs whose respective spins differ by half a unit. Such pairs of particles-regardless of whether they are thought of as pointlike (as in the standard model) or as tiny vibrating loops-are called superpartners. Since matter particles have spin-1/2 while some of the messenger particles have spin-1, supersymmetry appears to result in a pairing-a partnering-of matter and force particles. As such, it seems like a wonderful unifying concept. The problem comes in the details.
+By the mid-1970s, when physicists sought to incorporate supersymmetry into the standard model, they found that none of the known particles-those of Tables 1.1 and 1.2-could be superpartners of one another. Instead, detailed theoretical analysis showed that if the universe incorporates supersymmetry, then every known particle must have an as-yet-undiscovered superpartner particle, whose spin is half a unit less than its known counterpart. For instance, there should be a spin-0 partner of the electron; this hypothetical particle has been named the selectron (a contraction of supersymmetric-electron). The same should also be true for the other matter particles, with, for example, the hypothetical spin-0 superpartners of neutrinos and quarks being called sneutrinos and squarks. Similarly, the force particles should have spin-1/2 superpartners: For photons there should be photinos, for the gluons there should be gluinos, for the W and Z bosons there should be winos and zinos.
+On closer inspection, then, supersymmetry seems to be a terribly uneconomical feature; it requires a whole slew of additional particles that wind up doubling the list of fundamental ingredients. Since none of the superpartner particles has ever been detected, you would be justified to take Rabi's remark from Chapter 1 regarding the discovery of the muon one step further, declare that "nobody ordered supersymmetry," and summarily reject this symmetry principle. For three reasons, however, many physicists believe strongly that such an out-of-hand dismissal of supersymmetry would be quite premature. Let's discuss these reasons.
+The Case for Supersymmetry: Prior to String Theory
+First, from an aesthetic standpoint, physicists find it hard to believe that nature would respect almost, but not quite all of the symmetries that are mathematically possible. Of course, it is possible that an incomplete utilization of symmetry is what actually occurs, but it would be such a shame. It would be as if Bach, after developing numerous intertwining voices to fill out an ingenious pattern of musical symmetry, left out the final, resolving measure.
+Second, even within the standard model, a theory that ignores gravity, thorny technical issues that are associated with quantum processes are swiftly solved if the theory is supersymmetric. The basic problem is that every distinct particle species makes its own contribution to the microscopic quantum-mechanical frenzy. Physicists have found that in the bath of this frenzy, certain processes involving particle interactions remain consistent only if numerical parameters in the standard model are fine-tuned-to better than one part in a million billion-to cancel out the most pernicious quantum effects. Such precision is on par with adjusting the launch angle of a bullet fired from an enormously powerful rifle, so that it hits a specified target on the moon with a margin of error no greater than the thickness of an amoeba. Although numerical adjustments of an analogous precision can be made within the standard model, many physicists are quite suspect of a theory that is so delicately constructed that it falls apart if a number on which it depends is changed in the fifteenth digit after the decimal point.5
+Supersymmetry changes this drastically because bosons-particles whose spin is a whole number (named after the Indian physicist Satyendra Bose)-and fermions-particles whose spin is half of a whole (odd) number (named after the Italian physicist Enrico Fermi)-tend to give cancelling quantum-mechanical contributions. Like opposite ends of a seesaw, when the quantum jitters of a boson are positive, those of a fermion tend to be negative, and vice versa. Since supersymmetry ensures that bosons and fermions occur in pairs, substantial cancellations occur from the outset-cancellations that significantly calm some of the frenzied quantum effects. It turns out that the consistency of the supersymmetric standard model-the standard model augmented by all of the superpartner particles-no longer relies upon the uncomfortably delicate numerical adjustments of the ordinary standard model. Although this is a highly technical issue, many particle physicists find that this realization makes supersymmetry very attractive.
+The third piece of circumstantial evidence for supersymmetry comes from the notion of grand unification. One of the puzzling features of nature's four forces is the huge range in their intrinsic strengths. The electromagnetic force has less than 1 percent of the strength of the strong force, the weak force is some thousand times feebler than that, and the gravitational force is some hundred million billion billion billion (10-35) times weaker still. Following the pathbreaking and ultimately Nobel Prize-winning work of Glashow, Salam, and Weinberg that established a deep connection between the electromagnetic and weak forces (discussed in Chapter 5), in 1974 Glashow, together with his Harvard colleague Howard Georgi, suggested that an analogous connection might be forged with the strong force. Their work, which proposed a "grand unification" of three of the four forces, differed in one essential way from that of the electroweak theory: Whereas the electromagnetic and weak forces crystallized out of a more symmetric union when the temperature of the universe dropped to about a million billion degrees above absolute zero (1015 Kelvin), Georgi and Glashow showed that the union with the strong force would have been apparent only at a temperature some ten trillion times higher-around ten billion billion billion degrees above absolute zero (1028 Kelvin). From the point of view of energy, this is about a million billion times the mass of the proton, or about four orders of magnitude less than the Planck mass. Georgi and Glashow boldly took theoretical physics into an energy realm many orders of magnitude beyond that which anyone had previously dared explore.
+Subsequent work at Harvard by Georgi, Helen Quinn, and Weinberg in 1974 made the potential unity of the nongravitational forces within the grand unified framework even more manifest. As their contribution continues to play an important role in unifying the forces and in assessing the relevance of supersymmetry to the natural world, let's spend a moment explaining it.
+We are all aware that the electrical attraction between two oppositely charged particles or the gravitational attraction between two massive bodies gets stronger as the distance between the objects decreases. These are simple and well-known features of classical physics. There is a surprise, though, when we study the effect that quantum physics has on force strengths. Why should quantum mechanics have any effect at all? The answer, once again, lies in quantum fluctuations. When we examine the electric force field of an electron, for example, we are actually examining it through the "mist" of momentary particle-antiparticle eruptions and annihilations that are occurring all through the region of space surrounding it. Physicists some time ago realized that this seething mist of microscopic fluctuations obscures the full strength of the electron's force field, somewhat as a thin fog partially obscures the beacon of a lighthouse. But notice that as we get closer to the electron, we will have penetrated more of the cloaking particle-antiparticle mist and hence will be less subject to its diminishing influence. This implies that the strength of an electron's electric field will increase as we get closer to it.
+Physicists distinguish this quantum-mechanical increase in strength as we get closer to the electron from that known in classical physics by saying that the intrinsic strength of the electromagnetic force increases on shorter distance scales. This reflects that the strength increases not merely because we are closer to the electron but also because more of the electron's intrinsic electric field becomes visible. In fact, although we have focused on the electron, this discussion applies equally well to all electrically charged particles and is summarized by saying that quantum effects drive the strength of the electromagnetic force to get larger when examined on shorter distance scales.
+What about the other forces of the standard model? How do their intrinsic strengths vary with distance? In 1973, Gross and Frank Wilczek at Princeton, and, independently, David Politzer at Harvard, studied this question and found a surprising answer: The quantum cloud of particle eruptions and annihilations amplifies the strengths of the strong and weak forces. This implies that as we examine them on shorter distances, we penetrate more of this seething cloud and hence are subject to less of its amplification. And so, the strengths of these forces get weaker when they are probed on shorter distances.
+Georgi, Quinn, and Weinberg took this realization and ran with it to a remarkable end. They showed that when these effects of the quantum frenzy are carefully accounted for, the net result is that the strengths of all three nongravitational forces are driven together. Whereas the strengths of these forces are very different on scales accessible to current technology, Georgi, Quinn, and Weinberg argued that this difference is actually due to the different effect that the haze of microscopic quantum activity has on each force. Their calculations showed that if this haze is penetrated by examining the forces not on everyday scales but as they act on distances of about a hundredth of a billionth of a billionth of a billionth(10-29) of a centimeter (a mere factor of ten thousand larger than the Planck length), the three nongravitational force strengths appear to become equal.
+Although far removed from the realm of common experience, the high energy necessary to be sensitive to such small distances was characteristic of the roiling, hot early universe when it was about a thousandth of a trillionth of a trillionth of a trillionth (10-39) of a second old-when its temperature was on the order of 1028 Kelvin mentioned earlier. In somewhat the same way that a collection of disparate ingredients-pieces of metal, wood, rocks, minerals, and so on-all melt together and become a uniform, homogeneous plasma when heated to sufficiently high temperature, these theoretical works suggested that the strong, weak, and electromagnetic forces all merge into one grand force at such immense temperatures. This is shown schematically in Figure 7.1.6
+Although we do not have the technology to probe such minute distance scales or to produce such scorching temperatures, since 1974 experimentalists have significantly refined the measured strengths of the three nongravitational forces under everyday conditions. These data-the starting points for the three force-strength curves in Figure 7.1-are the input data for the quantum-mechanical extrapolations of Georgi, Quinn, and Weinberg. In 199 1, Ugo Amaldi of CERN, Wim de Boer and Hermann Fürstenau of the University of Karlsruhe, Germany, recalculated the Georgi, Quinn, and Weinberg extrapolations making use of these experimental refinements and showed two significant things. First, the strengths of the three nongravitational forces almost agree, but not quite at tiny distance scales (equivalently, high energy/high temperature) as shown in Figure 7.2. Second, this tiny but undeniable discrepancy in their strengths vanishes if supersymmetry is incorporated. The reason is that the new superpartner particles required by supersymmetry contribute additional quantum fluctuations, and these fluctuations are just right to nudge the strengths of the forces to converge with one another.
+To many physicists, it is extremely difficult to believe that nature would choose the forces so that they almost, but not quite, have strengths that microscopically unify-microscopically become equal. It's like putting together a jigsaw puzzle in which the final piece is slightly misshapen and won't cleanly fit into its appointed position. Supersymmetry deftly refines its shape so that all pieces firmly lock into place.
+Another aspect of this latter realization is that it provides a possible answer to the question, Why haven't we discovered any of the superpartner particles? The calculations that lead to the convergence of the force strengths, as well as other considerations studied by a number of physicists, indicate that the superpartner particles must be a good deal heavier than the known particles. Although no definitive predictions can be made, studies show that the superpartner particles might be a thousand times as massive as a proton, if not heavier. As even our state-of-the-art accelerators cannot quite reach such energies, this provides an explanation for why these particles have not, as yet, been discovered. In Chapter 9, we will return to a discussion of the experimental prospects for determining in the near future whether supersymmetry truly is a property of our world.
+Of course, the reasons we have given for believing in-or at least not yet rejecting-supersymmetry are far from airtight. We have described how supersymmetry elevates our theories to their most symmetric form-but you might suggest that the universe does not care about attaining the most symmetric form that is mathematically possible. We have noted the important technical point that supersymmetry relieves us from the delicate task of tuning numerical parameters in the standard model to avoid subtle quantum problems-but you might argue that the true theory describing nature may very well walk the fine edge between self-consistency and self-destruction. We have discussed how supersymmetry modifies the intrinsic strengths of the three nongravitational forces at tiny distances in just the right way for them to merge together into a grand unified force-but you might argue, again, that nothing in the design of nature dictates that these force strengths must exactly match on microscopic scales. And finally, you might suggest that a simpler explanation for why the superpartner particles have never been found is that our universe is not supersymmetric and, therefore, the superpartners do not exist.
+No one can refute any of these responses. But the case for supersymmetry is strengthened immensely when we consider its role in string theory.
+Supersymmetry in String Theory
+The original string theory that emerged from Veneziano's work in the late 1960s incorporated all of the symmetries discussed at the beginning of this chapter, but it did not incorporate supersymmetry (which had not yet been discovered). This first theory based on the string concept was, more precisely, called the bosonic string theory. The name bosonic indicates that all of the vibrational patterns of the bosonic string have spins that are a whole number-there are no fermionic patterns, that is, no patterns with spins differing from a whole number by a half unit. This led to two problems.
+First, if string theory was to describe all forces and all matter, it would somehow have to incorporate fermionic vibrational patterns, since the known matter particles all have spin-1/2. Second, and far more troubling, was the realization that there was one pattern of vibration in bosonic string theory whose mass (more precisely, whose mass squared) was negative-a so-called tachyon. Even before string theory, physicists had studied the possibility that our world might have tachyon particles, in addition to the familiar particles that all have positive masses, but their efforts showed that it is difficult if not impossible for such a theory to be logically sensible. Similarly, in the context of bosonic string theory, physicists tried all sorts of fancy footwork to make sense of the bizarre prediction of a tachyon vibrational pattern, but to no avail. These features made it increasingly clear that although it was an interesting theory, the bosonic string was missing something essential.
+In 1971, Pierre Ramond of the University of Florida took up the challenge of modifying the bosonic string theory to include fermionic patterns of vibration. Through his work and subsequent results of Schwarz and André Neveu, a new version of string theory began to emerge. And much to everyone's surprise, the bosonic and the fermionic patterns of vibration of this new theory appeared to come in pairs. For each bosonic pattern there was a fermionic pattern, and vice versa. By 1977, insights of Ferdinando Gliozzi of the University of Turin, Scherk, and David Olive of Imperial College put this pairing into the proper light. The new string theory incorporated supersymmetry, and the observed pairing of bosonic and fermionic vibrational patterns reflected this highly symmetric character. Supersymmetric string theory-superstring theory; that is-had been born. Moreover, the work of Gliozzi, Scherk, and Olive had one other crucial result: They showed that the troublesome tachyon vibration of the bosonic string does not afflict the superstring. Slowly, the pieces of the string puzzle were falling into place.
+Nevertheless, the major initial impact of the work of Ramond, and also of Neveu and Schwarz, was not actually in string theory. By 1973, the physicists Julian Wess and Bruno Zumino realized that supersymmetry-the new symmetry emerging from the reformulation of string theory-was applicable even to theories based on point particles. They rapidly made important strides toward incorporating supersymmetry into the framework of point-particle quantum field theory. And since, at the time, quantum field theory was the central rage of the mainstream particle-physics community-with string theory increasingly becoming a subject on the fringe-the insights of Wess and Zumino launched a tremendous amount of subsequent research on what has come to be called supersymmetric quantum field theory. The supersymmetric standard model, discussed in the preceding section, is one of the crowning theoretical achievements of these pursuits; we now see that, through historical twists and turns, even this point-particle theory owes a great debt to string theory.
+With the resurgence of superstring theory in the mid-1980s, supersymmetry has re-emerged in the context of its original discovery. And in this framework, the case for supersymmetry goes well beyond that presented in the preceding section. String theory is the only way we know of to merge general relativity and quantum mechanics. But it's only the supersymmetric version of string theory that avoids the pernicious tachyon problem and that has fermionic vibrational patterns that can account for the matter particles constituting the world around us. Supersymmetry therefore comes hand-in-hand with string theory's proposal for a quantum theory of gravity, as well as with its grand claim of uniting all forces and all of matter. If string theory is right, physicists expect that so is supersymmetry.
+Until the mid-1990s, however, one particularly troublesome aspect plagued supersymmetric string theory.
+A Super-Embarrassment of Riches
+If someone tells you that they have solved the mystery of Amelia Earhart's fate, you might be skeptical at first, but if they have a well-documented, thoroughly pondered explanation, you would probably hear them out and, who knows, you might even be convinced. But what if, in the next breath, they tell you that they actually have a second explanation as well. You listen patiently and are surprised to find the alternate explanation to be as well documented and thought through as the first. And after finishing the second explanation, you are presented with a third, a fourth, and even a fifth explanation-each different from the others and yet equally convincing. No doubt, by the end of the experience you would feel no closer to Amelia Earhart's true fate than you did at the outset. In the arena of fundamental explanations, more is definitely less.
+By 1985, string theory-notwithstanding the justified excitement it was engendering-was starting to sound like our overzealous Earhart expert. The reason is that by 1985 physicists realized that supersymmetry by then a central element in the structure of string theory, could actually be incorporated into string theory in not one but five different ways. Each method results in a pairing of bosonic and fermionic vibrational patterns, but the details of this pairing as well as numerous other properties of the resulting theories differ substantially. Although their names are not all that important, it's worth recording that these five supersymmetric string theories are called the Type I theory, the Type IIA theory, the Type IIB theory, the Heterotic type O(32) theory (pronounced "oh-thirty-two"), and the Heterotic type E8 × E8 theory (pronounced "e-eight times e-eight"). All the features of string theory that we have discussed to this point are valid for each of these theories-they differ only in the finer details.
+Having five different versions of what is supposedly the T.O.E.-possibly the ultimate unified theory-was quite an embarrassment for string theorists. Just as there is only one true explanation for whatever happened to Amelia Earhart (regardless of whether we will ever find it), we expect the same to be true regarding the deepest, most fundamental understanding of how the world works. We live in one universe; we expect one explanation.
+One suggestion for resolving this problem might be that although there are five different superstring theories, four might be ruled out simply by experiment, leaving one true and relevant explanatory framework. But even if this were the case, we would still be left with the nagging question of why the other theories exist in the first place. In the wry words of Witten, "If one of the five theories describes our universe, who lives in the other four worlds?"7 A physicist's dream is that the search for the ultimate answers will lead to a single, unique, absolutely inevitable conclusion. Ideally, the final theory-whether string theory or something else-should be the way it is because there simply is no other possibility. If we were to discover that there is only one logically sound theory incorporating the basic ingredients of relativity and quantum mechanics, many feel that we would have reached the deepest understanding of why the universe has the properties it does. In short, this would be unified-theory paradise.8
+As we will see in Chapter 12, recent research has taken superstring theory one giant step closer to this unified utopia by showing that the five different theories are, remarkably, actually five different ways of describing one and the same overarching theory. Superstring theory has the uniqueness pedigree.
+Things seem to be falling into place, but, as we will discuss in the next chapter, unification through string theory does require one more significant departure from conventional wisdom.
+
+Chapter 8
+More Dimensions Than Meet the Eye
+Einstein resolved two of the major scientific conflicts of the past hundred years through special and then general relativity. Although the initial problems that motivated his work did not portend the outcome, each of these resolutions completely transformed our understanding of space and time. String theory resolves the third major scientific conflict of the past century and, in a manner that even Einstein would likely have found remarkable, it requires that we subject our conceptions of space and time to yet another radical revision. String theory so thoroughly shakes the foundations of modern physics that even the generally accepted number of dimensions in our universe-something so basic that you might think it beyond questioning-is dramatically and convincingly overthrown.
+The Illusion of the Familiar
+Experience informs intuition. But it does more than that: Experience sets the frame within which we analyze and interpret what we perceive. You would no doubt expect, for instance, that the "wild child" raised by a pack of wolves would interpret the world from a perspective that differs substantially from your own. Even less extreme comparisons, such as those between people raised in very different cultural traditions, serve to underscore the degree to which our experiences determine our interpretive mindset.
+Yet there are certain things that we all experience. And it is often the beliefs and expectations that follow from these universal experiences that can be the hardest to identify and the most difficult to challenge. A simple but profound example is the following. If you were to get up from reading this book, you could move in three independent directions-that is, through three independent, spatial dimensions. Absolutely any path you follow-regardless of how complicated-results from some combination of motion through what we might call the "left-right dimension," the "back-forth dimension," and the "up-down dimension." Every time you take a step you implicitly make three separate choices that determine how you move through these three dimensions.
+An equivalent statement, as encountered in our discussion of special relativity, is that any location in the universe can be fully specified by giving three pieces of data: where it is relative to these three spatial dimensions. In familiar language, you can specify a city address, say, by giving a street (location in the "left-right dimension"), a cross street or an avenue (location in the "back-forth dimension"), and a floor number (location in the "up-down dimension"). And from a more modern perspective, we have seen that Einstein's work encourages us to think about time as another dimension (the "future-past dimension"), giving us a total of four dimensions (three space dimensions and one time dimension). You specify events in the universe by telling where and when they occur.
+This feature of the universe is so basic, so consistent, and so thoroughly pervasive that it really does seem beyond questioning. In 1919, however, a little-known Polish mathematician named Theodor Kaluza from the University of Königsberg had the temerity to challenge the obvious-he suggested that the universe might not actually have three spatial dimensions; it might have more. Sometimes silly-sounding suggestions are plain silly. Sometimes they rock the foundations of physics. Although it took quite some time to percolate, Kaluza's suggestion has revolutionized our formulation of physical law. We are still feeling the aftershocks of his astonishingly prescient insight.
+Kaluza's Idea and Klein's Refinement
+The suggestion that our universe might have more than three spatial dimensions may well sound fatuous, bizarre, or mystical. In reality, though, it is concrete and thoroughly plausible. To see this, it's easiest to shift our sights temporarily from the whole universe and think about a more familiar object, such as a long, thin garden hose.
+Imagine that a few hundred feet of garden hose is stretched across a canyon, and you view it from, say, a quarter of a mile away, as in Figure 8.1(a). From this distance, you will easily perceive the long, unfurled, horizontal extent of the hose, but unless you have uncanny eyesight, the thickness of the hose will be difficult to discern. From your distant vantage point, you would think that if an ant were constrained to live on the hose, it would have only one dimension in which to walk: the left-right dimension along the hose's length. If someone asked you to specify where the ant was at a given moment, you would need to give only one piece of data: the distance of the ant from the left (or the right) end of the hose. The upshot is that from a quarter of a mile away, a long piece of garden hose appears to be a one-dimensional object.
+In reality, we know that the hose does have thickness. You might have trouble resolving this from a quarter mile, but by using a pair of binoculars you can zoom in on the hose and observe its girth directly, as shown in Figure 8.1(b). From this magnified perspective, you see that a little ant living on the hose actually has two independent directions in which it can walk: along the left-right dimension spanning the length of the hose as already identified, and along the "clockwise-counterclockwise dimension" around the circular part of the hose. You now realize that to specify where the tiny ant is at any given instant, you must actually give two pieces of data: where the ant is along the length of the hose, and where the ant is along its circular girth. This reflects the fact the surface of the garden hose is two-dimensional.1
+Nonetheless, there is a clear difference between these two dimensions. The direction along the length of the hose is long, extended, and easily visible. The direction circling around the thickness of the hose is short, "curled up," and harder to see. To become aware of the circular dimension, you have to examine the hose with significantly greater precision.
+This example underscores a subtle and important feature of spatial dimensions: they come in two varieties. They can be large, extended, and therefore directly manifest, or they can be small, curled up, and much more difficult to detect. Of course, in this example you did not have to exert a great deal of effort to reveal the "curled-up" dimension encircling the thickness of the hose. You merely had to use a pair of binoculars. However, if you had a very thin garden hose-as thin as a hair or a capillary-detecting its curled-up dimension would be more difficult.
+In a paper he sent to Einstein in 1919, Kaluza made an astounding suggestion. He proposed that the spatial fabric of the universe might possess more than the three dimensions of common experience. The motivation for this radical thesis, as we will discuss shortly, was Kaluza's realization that it provided an elegant and compelling framework for weaving together Einstein's general relativity and Maxwell's electromagnetic theory into a single, unified conceptual framework. But, more immediately, how can this proposal be squared with the apparent fact that we see precisely three spatial dimensions?
+The answer, implicit in Kaluza's work and subsequently made explicit and refined by the Swedish mathematician Oskar Klein in 1926, is that the spatial fabric of our universe may have both extended and curled-up dimensions. That is, just like the horizontal extent of the garden hose, our universe has dimensions that are large, extended, and easily visible-the three spatial dimensions of common experience. But like the circular girth of a garden hose, the universe may also have additional spatial dimensions that are tightly curled up into a tiny space-a space so tiny that it has so far eluded detection by even our most refined experimental equipment.
+To gain a clearer image of this remarkable proposal, let's reconsider the garden hose for a moment. Imagine that the hose is painted with closely spaced black circles along its girth. From far away, as before, the garden hose looks like a thin, one-dimensional line. But if you zoom in with binoculars, you can detect the curled-up dimension, even more easily after our paint job, and you see the image illustrated in Figure 8.2. This figure emphasizes that the surface of the garden hose is two-dimensional, with one large, extended dimension and one small, circular dimension. Kaluza and Klein proposed that our spatial universe is similar, but that it has three large, extended spatial dimensions and one small, circular dimension-for a total of four spatial dimensions. It is difficult to draw something with that many dimensions, so for visualization purposes we must settle for an illustration incorporating two large dimensions and one small, circular dimension. We illustrate this in Figure 8.3, in which we magnify the fabric of space in much the same way that we zoomed in on the surface of the garden hose.
+The lowest image in the figure shows the apparent structure of space-the ordinary world around us-on familiar distance scales such as meters. These distances are represented by the largest set of grid lines. In the subsequent images, we zoom in on the fabric of space by focusing our attention on ever smaller regions, which we sequentially magnify in order to make them easily visible. At first as we examine the fabric of space on shorter distance scales, not much happens; it appears to retain the same basic form as it has on larger scales, as we see in the first three levels of magnification. However, as we continue on our journey toward the most microscopic examination of space-the fourth level of magnification in Figure 8.3-a new, curled-up, circular dimension becomes apparent, much like the circular loops of thread making up the pile of a tightly woven piece of carpet. Kaluza and Klein suggested that the extra circular dimension exists at every point in the extended dimensions, just as the circular girth of the garden hose exists at every point along its unfurled, horizontal extent. (For visual clarity, we have drawn only an illustrative sample of the circular dimension at regularly spaced points in the extended dimensions.) We show a close-up of the Kaluza-Klein vision of the microscopic structure of the spatial fabric in Figure 8.4.
+The similarity with the garden hose is manifest, although there are some important differences. The universe has three large, extended space dimensions (only two of which we have actually drawn), compared with the garden hose's one, and, more important, we are now describing the spatial fabric of the universe itself, not just an object, like the garden hose, that exists within the universe. But the basic idea is the same: Like the circular girth of the garden hose, if the additional curled-up, circular dimension of the universe is extremely small, it is much harder to detect than the manifest, large, extended dimensions. In fact, if its size is small enough, it will be beyond detection by even our most powerful magnifying instruments. And, of utmost importance, the circular dimension is not merely a circular bump within the familiar extended dimensions as the illustration might lead you to believe. Rather, the circular dimension is a new dimension, one that exists at every point in the familiar extended dimensions just as each of the up-down, left-right, and back-forth dimensions exists at every point as well. It is a new and independent direction in which an ant, if it were small enough, could move. To specify the spatial location of such a microscopic ant, we would need to say where it is in the three familiar extended dimensions (represented by the grid) and also where it is in the circular dimension. We would need four pieces of spatial information; if we add in time, we get a total of five pieces of spacetime information-one more than we normally would expect.
+And so, rather surprisingly, we see that although we are aware of only three extended spatial dimensions, Kaluza's and Klein's reasoning shows that this does not preclude the existence of additional curled-up dimensions, at least if they are very small. The universe may very well have more dimensions than meet the eye.
+How small is "small?" Cutting-edge equipment can detect structures as small as a billionth of a billionth of a meter. So long as an extra dimension is curled up to a size less than this tiny distance, it is too small for us to detect. In 1926 Klein combined Kaluza's initial suggestion with some ideas from the emerging field of quantum mechanics. His calculations indicated that the additional circular dimension might be as small as the Planck length, far shorter than experimental accessibility. Since then, physicists have called the possibility of extra tiny space dimensions Kaluza-Klein theory.
+2
+Comings and Goings on a Garden Hose
+The tangible example of the garden hose and the illustration in Figure 8.3 are meant to give you some sense of how it is possible that our universe has extra spatial dimensions. But even for researchers in the field, it is quite difficult to visualize a universe with more than three spatial dimensions. For this reason, physicists often hone their intuition about these extra dimensions by contemplating what life would be like if we lived in an imaginary lower- dimensional universe-following the lead of Edwin Abbott's enchanting 1884 classic popularization Flatland3-in which we slowly realize that the universe has more dimensions than those of which we are directly aware. Let's try this by imagining a two-dimensional universe shaped like our garden hose. Doing so requires that you relinquish an "outsider's" perspective that views the garden hose as an object in our universe. Rather, you must leave the world as we know it and enter a new Garden-hose universe in which the surface of a very long garden hose (you can think of it as being infinitely long) is all there is as far as spatial extent. Imagine that you are a tiny ant living your life on its surface.
+Let's start by making things even a little more extreme. Imagine that the length of the circular dimension of the Garden-hose universe is very short-so short that neither you nor any of your fellow Hose-dwellers are even aware of its existence. Instead, you and everyone else living in the Hose universe take one basic fact of life to be so evident as to be beyond questioning: the universe has one spatial dimension. (If the Garden-hose universe had produced its own ant-Einstein, Hose-dwellers would say that the universe has one spatial and one time dimension.) In fact, this feature is so self-evident that Hose-dwellers have named their home Lineland, directly emphasizing its having one spatial dimension.
+Life in Lineland is very different from life as we know it. For example, the body with which you are familiar cannot fit in Lineland. No matter how much effort you may put into body reshaping, one thing you can't get around is that you definitely have length, width, and breadth-spatial extent in three dimensions. In Lineland there is no room for such an extravagant design. Remember, although your mental image of Lineland may still be tied to a long, threadlike object existing in our space, you really need to think of Lineland as a universe-all there is. As an inhabitant of Lineland you must fit within its spatial extent. Try to imagine it. Even if you take on an ant's body, you still will not fit. You must squeeze your ant body to look more like a worm, and then further squeeze it until you have no thickness at all. To fit in Lineland you must be a being that has only length.
+Imagine further that you have an eye on each end of your body. Unlike your human eyes, which can swivel around to look in all three dimensions, your eyes as a Linebeing are forever locked into position, each staring off into the one-dimensional distance. This is not an anatomical limitation of your new body. Instead, you and all other Linebeings recognize that since Lineland has but one dimension, there simply isn't another direction in which your eyes can look. Forward and backward exhaust the extent of Lineland.
+We can try to go further in imagining life in Lineland, but we quickly realize that there's not much more to it. For instance, if another Linebeing is on one or the other side of you, picture how it will appear: you will see one of her eyes-the one facing you-but unlike human eyes, hers will be a single dot. Eyes in Lineland have no features and display no emotion-there is just no room for these familiar characteristics. Moreover, you will be forever stuck with this dotlike image of your neighbor's eye. If you wanted to pass her and explore the realm of Lineland on the other side of her body, you would be in for a great disappointment. You can't pass by her. She is fully "blocking the road," and there is no space in Lineland to go around her. The order of Linebeings as they are sprinkled along the extent of Lineland is fixed and unchanging. What drudgery.
+A few thousand years after a religous epiphany in Lineland, a Linebeing named Kaluza K. Line offers some hope for the downtrodden Linedwellers. Either from divine inspiration or from the sheer exasperation of years of staring at his neighbor's dot-eye, he suggests that Lineland may not be one-dimensional after all. What if, he theorizes, Lineland is actually two-dimensional, with the second space dimension being a very small circular direction that has, as yet, evaded direct detection because of its tiny spatial extent. He goes on to paint a picture of a vastly new life, if only this curled-up space direction would expand in size-something that is at least possible according to the recent work of his colleague, Linestein. Kaluza K. Line describes a universe that amazes you and your comrades and fills everyone with hope-a universe in which Linebeings can move freely past one another by making use of the second dimension: the end of spatial enslavement. We realize that Kaluza K. Line is describing life in a "thickened" Garden-hose universe.
+In fact, if the circular dimension were to grow, "inflating" Lineland into the Garden-hose universe, your life would change in profound ways. Take your body, for example. As a Linebeing, anything between your two eyes constitutes the interior of your body. Your eyes, therefore, play the same role for your linebody as skin plays for an ordinary human body: They constitute the barrier between the inside of your body and the outside world. A doctor in Lineland can access the interior of your linebody only by puncturing its surface-in other words, "surgery" in Lineland takes place through the eyes.
+But now imagine what happens if Lineland does, à la Kaluza K. Line, have a secret, curled-up dimension, and if this dimension expands to an observably large size. Now one Linebeing can view your body at an angle and thereby directly see into its interior, as we illustrate in Figure 8.5. Using this second dimension, a doctor can operate on your body by reaching directly inside your exposed interior. Weird! In time, Linebeings, no doubt, would develop a skinlike cover to shield the newly exposed interior of their bodies from contact with the outside world. And moreover, they would undoubtedly evolve into beings with length as well as breadth: Flatbeings sliding along the two-dimensional Garden-hose universe as illustrated in Figure 8.6. If the circular dimension were to grow very large indeed, this two-dimensional universe would be closely akin to Abbott's Flatland-an imaginary two-dimensional world Abbott suffused with a rich cultural heritage and even a satirical caste system based upon one's geometrical shape. Whereas it's hard to imagine anything interesting happening in Lineland-there is just not enough room-life on a Garden-hose becomes replete with possibilities. The evolution from one to two observably large space dimensions is dramatic.
+And now the refrain: Why stop there? The two-dimensional universe might itself have a curled-up dimension and therefore secretly be three-dimensional. We can illustrate this with Figure 8.4, so long as we recognize that we are now imagining that there are only two extended space dimensions (whereas when we first introduced this figure we were imagining the flat grid to represent three extended dimensions). If the circular dimension should expand, a two-dimensional being would find itself in a vastly new world in which movement is not limited just to left-right and back-forth along the extended dimensions. Now, a being can also move in a third dimension-the "up-down" direction along the circle. In fact, if the circular dimension were to grow to a large enough size, this could be our three-dimensional universe. We do not know at present whether any of our three spatial dimensions extends outward forever, or in fact curls back on itself in the shape of a giant circle, beyond the range of our most powerful telescopes. If the circular dimension in Figure 8.4 got big enough-billions of light-years in extent-the figure could very well be a drawing of our world.
+But the refrain replays: Why stop there? This takes us to Kaluza's and Klein's vision: that our three-dimensional universe might have a previously unanticipated curled-up fourth spatial dimension. If this striking possibility, or its generalization to numerous curled-up dimensions (to be discussed shortly) is true, and if these curled-up dimensions were themselves to expand to a macroscopic size, the lower-dimensional examples discussed make it clear that life as we know it would change immensely.
+Surprisingly, though, even if they should always stay curled up and small, the existence of extra curled-up dimensions has profound implications.
+Unification in Higher Dimensions
+Although Kaluza's 1919 suggestion that our universe might have more spatial dimensions than those of which we are directly aware was a remarkable possibility in its own right, something else really made it compelling. Einstein had formulated general relativity in the familiar setting of a universe with three spatial dimensions and one time dimension. The mathematical formalism of his theory, however, could be extended fairly directly to write down analogous equations for a universe with additional space dimensions. Under the "modest" assumption of one extra space dimension, Kaluza carried out the mathematical analysis and explicitly derived the new equations.
+He found that in the revised formulation the equations pertaining to the three ordinary dimensions were essentially identical to Einstein's. But because he included an extra space dimension, not surprisingly Kaluza found extra equations beyond those Einstein originally derived. After studying the extra equations associated with the new dimension, Kaluza realized that something amazing was going on. The extra equations were none other than those Maxwell had written down in the 1880s for describing the electromagnetic force! By adding another space dimension, Kaluza had united Einstein's theory of gravity with Maxwell's theory of light.
+Before Kaluza's suggestion, gravity and electromagnetism were thought of as two unrelated forces; nothing had even hinted that there might be a relation between them. By having the bold creativity to imagine that our universe has an additional space dimension, Kaluza suggested that there was a deep connection, indeed. His theory argued that both gravity and electromagnetism are associated with ripples in the fabric of space. Gravity is carried by ripples in the familiar three space dimensions, while electromagnetism is carried by ripples involving the new, curled-up dimension.
+Kaluza sent his paper to Einstein, and at first Einstein was quite intrigued. On April 21, 1919, Einstein wrote back to Kaluza and told him that it had never occurred to him that unification might be achieved "through a five-dimensional [four space and one time] cylinder-world." He added, "At first glance, I like your idea enormously."4 About a week later, though, Einstein wrote Kaluza again, this time with some skepticism: "I have read through your paper and find it really interesting. Nowhere, so far, can I see an impossibility. On the other hand, I have to admit that the arguments brought forward so far do not appear convincing enough."5 But then, on October 14, 1921, more than two years later, Einstein wrote to Kaluza again, having had time to digest Kaluza's novel approach more fully: "I am having second thoughts about having restrained you from publishing your idea on a unification of gravitation and electricity two years ago.... If you wish, I shall present your paper to the academy after all."6 Belatedly, Kaluza had received the master's stamp of approval.
+Although it was a beautiful idea, subsequent detailed study of Kaluza's proposal, augmented by Klein's contributions, showed that it was in serious conflict with experimental data. The simplest attempts to incorporate the electron into the theory predicted relations between its mass and its charge that were vastly different from their measured values. Because there did not seem to be any obvious way of getting around this problem, many of the physicists who had taken notice of Kaluza's idea lost interest. Einstein and others continued, now and then, to dabble with the possibility of extra curled-up dimensions, but it quickly came to be an enterprise on the outskirts of theoretical physics.
+In a real sense, Kaluza's idea was way ahead of its time. The 1920s marked the start of a bull market for theoretical and experimental physics concerned with understanding the basic laws of the microworld. Theorists had their hands full as they sought to develop the structure of quantum mechanics and quantum field theory. Experimentalists had the detailed properties of the atom as well as numerous other elementary material constituents to discover. Theory guided experiment and experiment refined theory as physicists pushed forward for half a century, ultimately to reveal the standard model. It is no wonder that speculations on extra dimensions took a distant backseat during these productive and heady times. With physicists exploring powerful quantum methods, the implications of which gave rise to experimentally testable predictions, there was little interest in the mere possibility that the universe might be a vastly different place on length scales far too small to be probed by even the most powerful of instruments.
+But sooner or later, bull markets lose steam. By the late 1960s and early 1970s the theoretical structure of the standard model was in place. By the late 1970s and early 1980s many of its predictions had been verified experimentally, and most particle physicists concluded that it was just a matter of time before the rest were confirmed as well. Although a few important details remained unresolved, many felt that the major questions concerning the strong, weak, and electromagnetic forces had been answered.
+The time was finally ripe to return to the grandest question of all: the enigmatic conflict between general relativity and quantum mechanics. The success in formulating a quantum theory of three of nature's forces emboldened physicists to try to bring the fourth, gravity, into the fold. Having pursued numerous ideas that all ultimately failed, the mind-set of the community became more open to comparatively radical approaches. After being left for dead in the late 1920s, Kaluza-Klein theory was resuscitated.
+Modern Kaluza-Klein Theory
+The understanding of physics had significantly changed and substantially deepened in the six decades since Kaluza's original proposal. Quantum mechanics had been fully formulated and experimentally verified. The strong and the weak forces, unknown in the 1920s, had been discovered and were largely understood. Some physicists suggested that Kaluza's original proposal had failed because he was unaware of these other forces and had therefore been too conservative in his revamping of space. More forces meant the need for even more dimensions. It was argued that a single new, circular dimension, although able to show hints of a connection between general relativity and electromagnetism, was just not enough.
+By the mid-1970s, an intense research effort was underway, focusing on higher-dimensional theories with numerous curled-up spatial directions. Figure 8.7 illustrates an example with two extra dimensions that are curled up into the surface of a ball-that is, a sphere. As in the case of the single circular dimension, these extra dimensions are tacked on to every point of the familiar extended dimensions. (For visual clarity we again have drawn only an illustrative sample of the spherical dimensions at regularly spaced grid points in the extended dimensions.) Beyond proposing a different number of extra dimensions, one can also imagine other shapes for the extra dimensions. For instance, in Figure 8.8 we illustrate a possibility in which there are again two extra dimensions, now in the shape of a hollow doughnut-that is, a torus. Although they are beyond our ability to draw, more complicated possibilities can be imagined in which there are three, four, five, essentially any number of extra spatial dimensions, curled up into a wide spectrum of exotic shapes, The essential requirement, again, is that all of these dimensions have a spatial extent smaller than the smallest length scales we can probe, since no experiment has yet revealed their existence,
+The most promising of the higher-dimensional proposals were those that also incorporated supersymmetry. Physicists hoped that the partial cancelling of the most severe quantum fluctuations, arising from the pairing of superpartner particles, would help to soften the hostilities between gravity and quantum mechanics. They coined the name higher-dimensional supergravity to describe those theories encompassing gravity, extra dimensions, and supersymmetry.
+As had been the case with Kaluza's original attempt, various versions of higher-dimensional supergravity looked quite promising at first. The new equations resulting from the extra dimensions were strikingly reminiscent of those used in the description of electromagnetism, and the strong and the weak forces. But detailed scrutiny showed that the old conundrums persisted. Most importantly, the pernicious short-distance quantum undulations of space were lessened by supersymmetry, but not sufficiently to yield a sensible theory. Physicists also found it difficult to find a single, sensible, higher-dimensional theory incorporating all features of forces and matter.7 It gradually became clear that bits and pieces of a unified theory were surfacing, but that a crucial element capable of tying them all together in a quantum-mechanically consistent manner was missing. In 1984 this missing piece-string theory-dramatically entered the story and took center stage.
+More Dimensions and String Theory
+By now you should be convinced that our universe may have additional curled-up spatial dimensions; certainly, so long as they are small enough, nothing rules them out. But extra dimensions may strike you as an artifice. Our inability to probe distances smaller than a billionth of a billionth of a meter permits not only extra tiny dimensions but all manner of whimsical possibilities as well-even a microscopic civilization populated by even tinier green people. While the former certainly seems more rationally motivated than the latter, the act of postulating either of these experimentally untested-and, at present, untestable-possibilities might seem equally arbitrary.
+Such was the case until string theory. Here is a theory that resolves the central dilemma confronting contemporary physics-the incompatibility between quantum mechanics and general relativity-and that unifies our understanding of all of nature's fundamental material constituents and forces. But to accomplish these feats, it turns out that string theory requires that the universe have extra space dimensions.
+Here's why. One of the main insights of quantum mechanics is that our predictive power is fundamentally limited to asserting that such-and-such outcome will occur with such-and-such probability. Although Einstein felt that this was a distasteful feature of our modern understanding, and you may agree, it certainly appears to be fact. Let's accept it. Now, we all know that probabilities are always numbers between 0 and 1-equivalently, when expressed as percentages, probabilities are numbers between 0 and 100. Physicists have found that a key signal that a quantum-mechanical theory has gone haywire is that particular calculations yield "probabilities" that are not within this acceptable range. For instance, we mentioned earlier that a sign of the grinding incompatibility between general relativity and quantum mechanics in a point-particle framework is that calculations result in infinite probabilities. As we have discussed, string theory cures these infinities. But what we have not as yet mentioned is that a residual, somewhat more subtle problem still remains. In the early days of string theory physicists found that certain calculations yielded negative probabilities, which are also outside of the acceptable range. So, at first sight, string theory appeared to be awash in its own quantum-mechanical hot water.
+With stubborn determination, physicists sought and found the cause of this unacceptable feature. The explanation begins with a simple observation. If a string is constrained to lie on a two-dimensional surface-such as the surface of a table or a garden hose-the number of independent directions in which it can vibrate is reduced to two: the left-right and back-forth dimensions along the surface. Any vibrational pattern that remains on the surface involves some combination of vibrations in these two directions. Correspondingly, we see that this also means that a string in Flatland, the Garden-hose universe, or in any other two-dimensional universe, is also constrained to vibrate in a total of two independent spatial directions. If, however, the string is allowed to leave the surface, the number of independent vibrational directions increases to three, since the string then can also oscillate in the up-down direction. Equivalently, in a universe with three spatial dimensions, a string can vibrate in three independent directions. Although it gets harder to envision, the pattern continues: In a universe with ever more spatial dimensions, there are ever more independent directions in which it can vibrate.
+We emphasize this fact of string vibrations because physicists found that the troublesome calculations were highly sensitive to the number of independent directions in which a string can vibrate. The negative probabilities arose from a mismatch between what the theory required and what reality seemed to impose: The calculations showed that if strings could vibrate in nine independent spatial directions, all of the negative probabilities would cancel out. Well, that's great in theory, but so what? If string theory is meant to describe our world with three spatial dimensions, we still seem to be in trouble.
+But are we? Taking a more than half-century-old lead, we see that Kaluza and Klein provide a loophole. Since strings are so small, not only can they vibrate in large, extended dimensions, they can also vibrate in ones that are tiny and curled up. And so we can meet the nine-space-dimension requirement of string theory in our universe, by assuming-à la Kaluza and Klein-that in addition to our familiar three extended spatial dimensions there are six other curled-up spatial dimensions. In this manner, string theory, which appeared to be on the brink of elimination from the realm of physical relevance, is saved. Moreover, rather than just postulating the existence of extra dimensions, as had been done by Kaluza, Klein, and their followers, string theory requires them. For string theory to make sense, the universe should have nine space dimensions and one time dimension, for a total of ten dimensions. In this way, Kaluza's 1919 proposal finds its most convincing and powerful forum.
+Some Questions
+This raises a number of questions. First, why does string theory require the particular number of nine space dimensions to avoid nonsensical probability values? This is probably the hardest question in string theory to answer without appealing to mathematical formalism. A straightforward string theory calculation reveals this answer, but no one has an intuitive, nontechnical explanation for the particular number that emerges. The physicist Ernest Rutherford once said, in essence, that if you can't explain a result in simple, nontechnical terms, then you don't really understand it. He wasn't saying that this means your result is wrong; rather, he was saying that it means you do not fully understand its origin, meaning, or implications. Perhaps this is true regarding the extradimensional character of string theory. (In fact, let's take this opportunity to brace-parenthetically-for a central aspect of the second superstring revolution that we will discuss in Chapter 12. The calculation underlying the conclusion that there are ten spacetime dimensions-nine space and one time-turns out to be approximate. In the mid-1990s, Witten, based on his own insights and previous work by Michael Duff from Texas A&M University and Chris Hull and Paul Townsend from Cambridge University, gave convincing evidence that the approximate calculation actually misses one space dimension: String theory, he argued to most string theorists' amazement, actually requires ten space dimensions and one time dimension, for a total of eleven dimensions. We will ignore this important result until Chapter 12, as it will have little direct bearing on the material we develop before then.)
+Second, if the equations of string theory (or, more precisely, the approximate equations guiding our pre-Chapter 12 discussion) show that the universe has nine space dimensions and one time dimension, why is it that three space (and one time) dimensions are large and extended while all of the others are tiny and curled up? Why aren't they all extended, or all curled up, or some other possibility in between? At present no one knows the answer to this question. If string theory is right, we should eventually be able to extract the answer, but as yet our understanding of the theory is not refined enough to reach this goal. That's not to say that there haven't been valiant attempts to explain it. For instance, from a cosmological perspective, we can imagine that all of the dimensions start out being tightly curled up and then, in a big bang-like explosion, three spatial dimensions and one time dimension unfurl and expand to their present large extent while the other spatial dimensions remain small. Rough arguments have been put forward as to why only three space dimensions grow large, as we will discuss in Chapter 14, but it's fair to say that these explanations are only in the formative stages, In what follows, we will assume that all but three space dimensions are curled up, in accordance with what we see around us. A primary goal of modern research is to establish that this assumption emerges from the theory itself.
+Third, given the requirement of numerous extra dimensions, is it possible that some are additional time dimensions, as opposed to additional space dimensions? If you think about this for a moment, you will see that it's a truly bizarre possibility. We all have a visceral understanding of what it means for the universe to have multiple space dimensions, since we live in a world in which we constantly deal with a plurality-three. But what would it mean to have multiple times? Would one align with time as we presently experience it psychologically while the other would somehow be "different?"
+It gets even stranger when you think about a curled-up time dimension. For instance, if a tiny ant walks around an extra space dimension that is curled up like a circle, it will find itself returning to the same position over and over again as it traverses complete circuits. This holds little mystery as we are familiar with the ability to return, should we so choose, to the same location in space as often as we like. But, if a curled-up dimension is a time dimension, traversing it means returning, after a temporal lapse, to a prior instant in time. This, of course, is well beyond the realm of our experience. Time, as we know it, is a dimension we can traverse in only one direction with absolute inevitability, never being able to return to an instant after it has passed. Of course, it might be that curled-up time dimensions have vastly different properties from the familiar, vast time dimension that we imagine reaching back to the creation of the universe and forward to the present moment. But, in contrast to extra spatial dimensions, new and previously unknown time dimensions would clearly require an even more monumental restructuring of our intuition. Some theorists have been exploring the possibility of incorporating extra time dimensions into string theory, but as yet the situation is inconclusive. In our discussion of string theory, we will stick to the more "conventional" approach in which all of the curled-up dimensions are space dimensions, but the intriguing possibility of new time dimensions could well play a role in future developments.
+The Physical Implications of Extra Dimensions
+Years of research, dating hack to Kaluza's original paper, have shown that even though any extra dimensions that physicists propose must be smaller than we or our equipment can directly "see" (since we haven't seen them), they do have important indirect effects on the physics that we observe. In string theory, this connection between the microscopic properties of space and the physics we observe is particularly transparent.
+To understand this, you need to recall that masses and charges of particles in string theory are determined by the possible resonant vibrational string patterns. Picture a tiny string as it moves and oscillates, and you will realize that the resonant patterns are influenced by its spatial surroundings. Think, for example, of ocean waves. Out in the grand expanse of the open ocean, isolated wave patterns are relatively free to form and travel this way or that. This is much like the vibrational patterns of a string as it moves through large, extended spatial dimensions. As in Chapter 6, such a string is equally free to oscillate in any of the extended directions at any moment. But if an ocean wave passes through a more cramped spatial environment, the detailed form of its wave motion will surely be affected by, for example, the depth of the water, the placement and shape of the rocks encountered, the canals through which the water is channeled, and so on. Or, think of an organ pipe or a French horn. The sounds that each of these instruments can produce are a direct consequence of the resonant patterns of vibrating air streams in their interior; these are determined by the precise size and shape of the spatial surroundings within the instrument through which the air streams are channeled. Curled-up spatial dimensions have a similar impact on the possible vibrational patterns of a string. Since tiny strings vibrate through all of the spatial dimensions, the precise way in which the extra dimensions are twisted up and curled back on each other strongly influences and tightly constrains the possible resonant vibrational patterns. These patterns, largely determined by the extradimensional geometry, constitute the array of possible particle properties observed in the familiar extended dimensions. This means that extradimensional geometry determines fundamental physical attributes like particle masses and charges that we ovserve in the usual three large space dimensions of common experience.
+This is such a deep and important point that we say it once again, with feeling. According to string theory, the universe is made up of tiny strings whose resonant patterns of vibration are the microscopic origin of particle masses and force charges. String theory also requires extra space dimensions that must be curled up to a very small size to be consistent with our never having seen them. But a tiny string can probe a tiny space. As a string moves about, oscillating as it travels, the geometrical form of the extra dimensions plays a critical role in determining resonant patterns of vibration. Because the patterns of string vibrations appear to us as the masses and charges of the elementary particles, we conclude that these fundamental properties of the universe are determined, in large measure, by the geometrical size and shape of the extra dimensions. That's one of the most far-reaching insights of string theory.
+Since the extra dimensions so profoundly influence basic physical properties of the universe, we should now seek-with unbridled vigor-an understanding of what these curled-up dimensions look like.
+What Do the Curled-Up Dimensions Look Like?
+The extra spatial dimensions of string theory cannot be "crumpled" up any which way; the equations that emerge from the theory severely restrict the geometrical form that they can take. In 1984, Philip Candelas of the University of Texas at Austin, Gary Horowitz and Andrew Strominger of the University of California at Santa Barbara, and Edward Witten showed that a particular class of six-dimensional geometrical shapes can meet these conditions. They are known as Calabi-Yau spaces (or Calabi-Yau shapes) in honor of two mathematicians, Eugenio Calabi from the University of Pennsylvania and Shing-Tung Yau from Harvard University, whose research in a related context, but prior to string theory, plays a central role in understanding these spaces.
+Although the mathematics describing Calabi-Yau spaces is intricate and subtle, we can get an idea of what they look like with a picture.8
+In Figure 8.9 we show an example of a Calabi-Yau space.9 As you view this figure, you must bear in mind that the image has built-in limitations. We are trying to represent a six-dimensional shape on a two-dimensional piece of paper, and this introduces significant distortions. Nevertheless, the image does convey the rough idea of what a Calabi-Yau space looks like.10 The shape in Figure 8.9 is but one of many tens of thousands of examples of Calabi-Yau shapes that meet the stringent requirements for the extra dimensions that emerge from string theory. Although belonging to a club with tens of thousands of members might not sound very exclusive, you must compare it with the infinite number of shapes that are mathematically possible; by this measure Calabi-Yau spaces are rare indeed.
+To put it all together, you should now imagine replacing each of the spheres in Figure 8.7-which represented two curled-up dimensions-with a Calabi-Yau space. That is, at every point in the three familiar extended dimensions, string theory claims that there are six hitherto unanticipated dimensions, tightly curled up into one of these rather complicated-looking shapes, as illustrated in Figure 8.10. These dimensions are an integral and ubiquitous part of the spatial fabric; they exist everywhere. For instance, if you sweep your hand in a large arc, you are moving not only through the three extended dimensions, but also through these curled-up dimensions. Of course, because the curled-up dimensions are so small, as you move your hand you circumnavigate them an enormous number of times, repeatedly returning to your starting point. Their tiny extent means that there is not much room for a large object like your hand to move-it all averages out so that after sweeping your arm, you are completely unaware of the journey you took through the curled-up Calabi-Yau dimensions.
+This is a stunning feature of string theory. But if you are practically minded, you are bound to bring the discussion back to an essential and concrete issue. Now that we have a better sense of what the extra dimensions look like, what are the physical properties that emerge from strings that vibrate through them, and how do these properties compare with experimental observations? This is string theory's $64,000 question.
+
+Chapter 9
+The Smoking Gun: Experimental Signatures
+Nothing would please string theorists more than to proudly present the world with a list of detailed, experimentally testable predictions. Certainly, there is no way to establish that any theory describes our world without subjecting its predictions to experimental verification. And no matter how compelling a picture string theory paints, if it does not accurately describe our universe, it will be no more relevant than an elaborate game of Dungeons and Dragons.
+Edward Witten is fond of declaring that string theory has already made a dramatic and experimentally confirmed prediction: "String theory has the remarkable property of predicting gravity."
+1
+What Witten means by this is that both Newton and Einstein developed theories of gravity because their observations of the world clearly showed them that gravity exists, and that, therefore, it required an accurate and consistent explanation. On the contrary, a physicist studying string theory-even if he or she was completely unaware of general relativity-would be inexorably led to it by the string framework. Through its massless spin-2 graviton pattern of vibration, string theory has gravity thoroughly sewn into its theoretical fabric. As Witten has said, "the fact that gravity is a consequence of string theory is one of the greatest theoretical insights ever."2 In acknowledging that this "prediction" is more precisely labeled a "postdiction" because physicists had discovered theoretical descriptions of gravity before they knew of string theory, Witten points out that this is a mere accident of history on earth. In other advanced civilizations in the universe, Witten fancifully argues, it is quite possible that string theory was discovered first, and a theory of gravity found as a stunning consequence.
+Since we are bound to the history of science on our planet, there are many who find this postdiction of gravity unconvincing experimental confirmation of string theory. Most physicists would be far happier with one of two things: a bona fide prediction from string theory that experimentalists could confirm, or a postdiction of some property of the world (like the mass of the electron or the existence of three families of particles) for which there is currently no explanation. In this chapter we will discuss how far string theorists have gone toward reaching these goals.
+Ironically, we will see that although string theory has the potential to be the most predictive theory that physicists have ever studied-a theory that has the capacity to explain the most fundamental of nature's properties-physicists have not as yet been able to make predictions with the precision necessary to confront experimental data. Like a child who receives his or her dream gift for Christmas but can't quite get it to work because a few pages of the instructions are missing, today's physicists are in possession of what may well be the Holy Grail of modern science, but they can't unleash its full predictive power until they succeed in writing the full instruction manual. Nevertheless, as we discuss in this chapter, with a bit of luck, one central feature of string theory could receive experimental verification within the next decade. And with a good deal more luck, indirect fingerprints of the theory could be confirmed at any moment.
+Crossfire
+Is string theory right? We don't know. If you share the belief that the laws of physics should not be fragmented into those that govern the large and those that govern the small, and if you also believe that we should not rest until we have a theory whose range of applicability is limitless, string theory is the only game in town. You might well argue, though, that this highlights only physicists' lack of imagination rather than some fundamental uniqueness of string theory. Perhaps. You might further argue that, like the man searching for his lost keys solely under a street light, physicists are huddled around string theory merely because the vagaries of scientific history have shed one random ray of insight in this direction. Maybe. And, if you're either relatively conservative or fond of playing devil's advocate, you might even say that physicists have no business wasting time on a theory that postulates a new feature of nature some hundred million billion times smaller than anything we can directly probe experimentally.
+If you voiced these complaints in the 1980s when string theory first made its splash, you would have been joined by some of the most respected physicists of our age. For instance, in the mid-1980s Nobel Prize-winning Harvard physicist Sheldon Glashow, together with physicist Paul Ginsparg, then also at Harvard, publicly disparaged string theory's lack of experimental accessibility:
+In lieu of the traditional confrontation between theory and experiment, superstring theorists pursue an inner harmony, where elegance, uniqueness and beauty define truth. The theory depends for its existence upon magical coincidences, miraculous cancellations and relations among seemingly unrelated (and possibly undiscovered) fields of mathematics. Are these properties reasons to accept the reality of superstrings? Do mathematics and aesthetics supplant and transcend mere experiment?3
+Elsewhere, Glashow went on to say,
+Superstring theory is so ambitious that it can only be totally right, or totally wrong. The only problem is that the mathematics is so new and difficult that we won't know which for decades to come.4
+And he even questioned whether string theorists should "be paid by physics departments and allowed to pervert impressionable students," warning that string theory was undermining science, much as medieval theology did during the Middle Ages.5
+Richard Feynman, shortly before he died, made it clear that he did not believe that string theory was the unique cure for the problems-the pernicious infinities, in particular-be setting a harmonious merger of gravity and quantum mechanics:
+My feeling has been-and I could be wrong-that there is more than one way to skin a cat. I don't think that there's only one way to get rid of the infinities. The fact that a theory gets rid of infinities is to me not a sufficient reason to believe its uniqueness.6
+And Howard Georgi, Glashow's eminent Harvard colleague and collaborator, was also a vociferous string critic in the late 1980s:
+If we allow ourselves to be beguiled by the siren call of the "ultimate" unification at distances so small that our experimental friends cannot help us, then we are in trouble, because we will lose that crucial process of pruning of irrelevant ideas which distinguishes physics from so many other less interesting human activities.7
+As with many issues of great importance, for each of these naysayers, there is an enthusiastic supporter. Witten has said that when he learned how string theory incorporates gravity and quantum mechanics, it was "the greatest intellectual thrill" of his life.8 Cumrun Vafa, a leading string theorist from Harvard University, has said that "string theory is definitely revealing the deepest understanding of the universe which we have ever had."9 And Nobel Prize-winner Murray Gell-Mann has said that string theory is "a fantastic thing" and that he expects that some version of string theory will someday be the theory of the whole world.10
+As you can see, the debate is fueled in part by physics and in part by distinct philosophies about how physics should be done. The "traditionalists" want theoretical work to be closely tied to experimental observation, largely in the successful research mold of the last few centuries. But others think that we are ready to tackle questions that are beyond our present technological ability to test directly.
+Different philosophies notwithstanding, during the past decade much of the criticism of string theory has subsided. Glashow attributes this to two things. First, he notes that in the mid-1980s,
+String theorists were enthusiastically and exuberantly proclaiming that they would shortly answer all questions in physics. As they are now more prudent with their enthusiasm, much of my criticism in the 1980s is no longer that relevant.11
+Second, he also points out,
+We non-string theorists have not made any progress whatsoever in the last decade. So the argument that string theory is the only game in town is a very strong and powerful one. There are questions that will not be answered in the framework of conventional quantum field theory. That much is clear. They may be answered by something else, and the only something else I know of is string theory.12
+Georgi reflects back on the 1980s in much the same way:
+At various times in its early history, string theory has gotten oversold. In the intervening years I have found that some of the ideas of string theory have led to interesting ways of thinking about physics which have been useful to me in my own work. I am much happier now to see people spending their time on string theory since I can now see how something useful will come out of it.13
+Theorist David Gross, a leader in both conventional and string physics, has eloquently summed up the situation in the following way:
+It used to be that as we were climbing the mountain of nature the experimentalists would lead the way. We lazy theorists would lag behind. Every once in a while they would kick down an experimental stone which would bounce off our heads. Eventually we would get the idea and we would follow the path that was broken by the experimentalists. Once we joined our friends we would explain to them what the view was and how they got there. That was the old and easy way (at least for theorists) to climb the mountain. We all long for the return of those days. But now we theorists might have to take the lead. This is a much more lonely enterprise.14
+String theorists have no desire for a solo trek to the upper reaches of Mount Nature; they would far prefer to share the burden and the excitement with experimental colleagues. It is merely a technological mismatch in our current situation-a historical asynchrony-that the theoretical ropes and crampons for the final push to the top have at least been partially fashioned, while the experimental ones do not yet exist. But this does not mean that string theory is fundamentally divorced from experiment. Rather, string theorists have high hopes of "kicking down a theoretical stone" from the ultra-high-energy mountaintop to experimentalists working at a lower base camp. This is a prime goal of present-day research in string theory. No stones have as yet been dislodged from the summit to be sent hurtling down, but, as we now discuss, a few tantalizing and promising pebbles certainly have.
+The Road to Experiment
+Without monumental technological breakthroughs, we will never be able to focus on the tiny length scales necessary to see a string directly. Physicists can probe down to a billionth of a billionth of a meter with accelerators that are roughly a few miles in size. Probing smaller distances requires higher energies and this means larger machines capable of focusing that energy on a single particle. As the Planck length is some 17 orders of magnitude smaller than what we can currently access, using today's technology we would need an accelerator the size of the galaxy to see individual strings. In fact, Shmuel Nussinov of Tel Aviv University has shown that this rough estimate based on straightforward scaling is likely to be overly optimistic; his more careful study indicates that we would require an accelerator the size of the whole universe. (The energy required to probe matter at the Planck length is roughly equal to a thousand kilowatt-hours-the energy needed to run an average air conditioner for about one hundred hours-and so is not particularly outlandish. The seemingly insurmountable technological challenge is to focus all of this energy on a single particle, that is, on a single string.) As the U.S. Congress ultimately canceled funding for the Superconducting Supercollider-an accelerator a "mere" 54 miles in circumference-don't hold your breath while waiting for the money for a Planck-probing accelerator. If we are going to test string theory experimentally, it will have to be in an indirect manner. We will have to determine physical implications of string theory that can be observed on length scales that are far larger than the size of a string itself.15
+In their groundbreaking paper, Candelas, Horowitz, Strominger, and Witten took the first steps toward this goal. They not only found that the extra dimensions in string theory must be curled up into a Calabi-Yau shape, but they also worked out some of the implications this has on the possible patterns of string vibrations. One central result they found highlights the amazingly unexpected solutions string theory offers to longstanding particle-physics problems.
+Recall that the elementary particles that physicists have found fall into three families of identical organization, with the particles in each successive family being increasingly massive. The puzzling question for which there was no insight prior to string theory is, Why families and why three? Here is string theory's proposal. A typical Calabi-Yau shape contains holes that are analogous to those found at the center of a phonograph record, or a doughnut, or a "multidoughnut", as shown in Figure 9.1. In the higher-dimensional Calabi-Yau context, there are actually a variety of different types of holes that can arise-holes which themselves can have a variety of dimensions ("multidimensional holes")-but Figure 9.1 conveys the basic idea. Candelas, Horowitz, Strominger, and Witten closely examined the effect that these holes have on the possible patterns of string vibration, and here is what they found.
+There is a family of lowest-energy string vibrations associated with each hole in the Calabi-Yau portion of space. Because the familiar elementary particles should correspond to the lowest-energy oscillatory patterns, the existence of multiple holes-somewhat like those in the multidoughnut-means that the patterns of string vibrations will fall into multiple families. If the curled-up Calabi-Yau has three holes, then we will find three families of elementary particles.16 And so, string theory proclaims that the family organization observed experimentally, rather than being some unexplainable feature of either random or divine origin, is a reflection of the number of holes in the geometrical shape comprising the extra dimensions! This is the kind of result that makes a physicist's heart skip a beat.
+You might think that the number of holes in the curled-up Planck-sized dimensions-mountaintop physics par excellence-has now kicked an experimentally testable stone down to accessible energies. After all, experimentalists can establish-in fact, already have established-the number of particle families: 3. Unfortunately, the number of holes contained in each of the tens of thousands of known Calabi-Yau shapes spans a wide range. Some have 3. But others have 4, 5, 25, and so on-some even have as many as 480 holes. The problem is that at present no one knows how to deduce from the equations of string theory which of the Calabi-Yau shapes constitutes the extra spatial dimensions. If we could find the principle that allows the selection of one Calabi-Yau shape from the numerous possibilities, then indeed a stone from the mountaintop would go tumbling down into the experimentalists' camp. If the particular Calabi-Yau shape singled out by the equations of the theory were to have three holes, we would have found an impressive postdiction from string theory explaining a known feature of the world that is otherwise completely mysterious. But finding the principle for choosing among Calabi-Yau shapes is a problem that as yet remains unsolved. Nevertheless-and this is the important point-we see that string theory provides the potential for answering this basic puzzle of particle physics, and this in itself is substantial progress.
+The number of families is but one experimental consequence of the geometrical form of the extra dimensions. Through their effect on possible patterns of string vibrations, other consequences of the extra dimensions include the detailed properties of the force and matter particles. As one primary example, subsequent work by Strominger and Witten showed that the masses of the particles in each family depend upon-hang on, this is a bit tricky-the way in which the boundaries of the various multidimensional holes in the Calabi-Yau shape intersect and overlap with one another. It's hard to visualize, but the idea is that as strings vibrate through the extra curled-up dimensions, the precise arrangement of the various holes and the way in which the Calabi-Yau shape folds around them has a direct impact on the possible resonant patterns of vibration. Although the details get difficult to follow and are really not all that essential, what is important is that, as with the number of families, string theory can provide us with a framework for answering questions-such as why the electron and other particles have the masses they do-on which previous theories are completely silent. Once again, though, carrying through with such calculations requires that we know which Calabi-Yau space to take for the extra dimensions.
+The preceding discussion gives some idea of how string theory may one day explain the properties of the matter particles recorded in Table 1.1. String theorists believe that a similar story will one day also explain the properties of the messenger particles of the fundamental forces, listed in Table 1.2. That is, as strings twist and vibrate while meandering through the extended and curled-up dimensions, a small subset of their vast oscillatory repertoire consists of vibrations with spin equal to 1 or 2. These are the candidate force-carrying string-vibrational states. Regardless of the shape of the Calabi-Yau space, there is always one vibrational pattern that is massless and has spin-2; we identify this pattern as the graviton. The precise list of spin-1 messenger particles-their number, the strength of the force they convey, the gauge symmetries they respect-though, does depend crucially on the precise geometrical form of the curled-up dimensions. And so, once again, we come to realize that string theory provides a framework for explaining the observed messenger-particle content of our universe, that is, for explaining the properties of the fundamental forces, but that without knowing exactly which Calabi-Yau shape the extra dimensions are curled into, we cannot make any definitive predictions or postdictions (beyond Witten's remark regarding the postdiction of gravity).
+Why can't we figure out which is the "right" Calabi-Yau shape? Most string theorists blame this on the inadequacy of the theoretical tools currently being used to analyze string theory. As we shall discuss in some detail in Chapter 12, the mathematical framework of string theory is so complicated that physicists have been able to perform only approximate calculations through a formalism known as perturbation theory. In this approximation scheme, each possible Calabi-Yau shape appears to be on equal footing with every other; none is fundamentally singled out by the equations. And since the physical consequences of string theory depend sensitively on the precise form of the curled-up dimensions, without the ability to select one Calabi-Yau space from the many, no definitive experimentally testable conclusions can be drawn. A driving force behind present-day research is to develop theoretical methods that transcend the approximate approach in the hope that, among other benefits, we will be led to a unique Calabi-Yau shape for the extra dimensions. We will discuss progress along these lines in Chapter 13.
+Exhausting Possibilities
+So you might ask: Even though we can't as yet figure out which Calabi-Yau shape string theory selects, does any choice yield physical properties that agree with what we observe? In other words, if we were to work out the corresponding physical properties associated with each and every CalabiYau shape and collect them in a giant catalog, would we find any that match reality? This is an important question, but, for two main reasons, it is also a hard one to answer fully.
+A sensible start is to focus only on those Calabi-Yau shapes that yield three families. This cuts down the list of viable choices considerably, although many still remain. In fact, notice that we can deform a multihandled doughnut from one shape to a slew of others-an infinite variety, in fact-without changing the number of holes it contains. In Figure 9.2 we illustrate one such deformation of the bottom shape from Figure 9.1. In much the same way, we can start with a three-holed Calabi-Yau space and smoothly deform its shape without changing the number of holes, again through what amounts to an infinite sequence of shapes. (When we mentioned earlier that there were tens of thousands of Calabi-Yau shapes, we were already grouping together all those shapes that can be changed into one another by such smooth deformations, and we were counting the whole group as one Calabi-Yau space.) The problem is that the detailed physical properties of string vibrations, their masses and their response to forces, are very much affected by such detailed changes in shape, but once again, we have no means of selecting one possibility over any other. And no matter how many graduate students physics professors might set to work, it's just not possible to figure out the physics corresponding to an infinite list of different shapes.
+This realization has led string theorists to examine the physics resulting from a sample of possible Calabi-Yau shapes. Even here, however, life is not completely smooth sailing. The approximate equations that string theorists currently use are not powerful enough to work out the resulting physics fully for any given choice of Calabi-Yau shape. They can take us a long way toward understanding, in the sense of a ballpark estimate, the properties of the string vibrations that we hope will align with the particles we observe. But precise and definitive physical conclusions, such as the mass of the electron or the strength of the weak force, require equations that are far more exact than the present approximate framework. Recall from Chapter 6-and the Price is Right example-that the "natural" energy scale of string theory is the Planck energy, and it is only through extremely delicate cancellations that string theory yields vibrational patterns with masses in the vicinity of those of the known matter and force particles. Delicate cancellations require precise calculations because even small errors have a profound impact on accuracy. As we will discuss in Chapter 12, during the mid-1990s physicists have made significant progress toward transcending the present approximate equations, although there is still far to go.
+So where do we stand? Well, even with the stumbling block of having no fundamental criteria by which to select one Calabi-Yau shape over any other, as well as not having all the theoretical tools necessary to extract the observable consequences of such a choice fully, we can still ask whether any of the choices in the Calabi-Yau catalog gives rise to a world that is in even rough agreement with observation. The answer to this question is quite encouraging. Although most of the entries in the Calabi-Yau catalog yield observable consequences significantly different from our world (different numbers of particle families, different number and types of fundamental forces, among other substantial deviations), a few entries in the catalog yield physics that is qualitatively close to what we actually observe. That is, there are examples of Calabi-Yau spaces that, when chosen for the curled-up dimensions required by string theory, give rise to string vibrations that are closely akin to the particles of the standard model. And, of prime importance, string theory successfully stitches the gravitational force into this quantum-mechanical framework.
+With our present level of understanding, this situation is the best we could have hoped for. If many of the Calabi-Yau shapes were in rough agreement with experiment, the link between a specific choice and the physics we observe would be less compelling. Many choices could fit the bill and hence none would appear to be singled out, even from an experimental perspective. On the other hand, if none of the Calabi-Yau shapes came even remotely close to yielding observed physical properties, it would seem that string theory; although a beautiful theoretical framework, could have no relevance for our universe. Finding a small number of Calabi-Yau shapes that, with our present, fairly coarse ability to determine detailed physical implications, appear to be well within the ballpark of acceptability is an extremely encouraging outcome.
+Explaining the elementary matter and force particle properties would be among the greatest-if not the greatest-of scientific achievements. Nevertheless, you might ask whether there are any string theoretic predictions-as opposed to postdictions-that experimental physicists could attempt to confirm, either now or in the foreseeable future. There are.
+Superparticles
+The theoretical hurdles currently preventing us from extracting detailed string predictions force us to search for generic, rather than specific, aspects of a universe consisting of strings. Generic in this context refers to characteristics that are so fundamental to string theory that they are fairly insensitive to, if not completely independent of, those detailed properties of the theory that are now beyond our theoretical purview. Such characteristics can be discussed with confidence, even with an incomplete understanding of the full theory In subsequent chapters we shall return to other examples, but for now we focus on one: supersymmetry.
+As we have discussed, a fundamental property of string theory is that it is highly symmetric, incorporating not only intuitive symmetry principles but respecting, as well, the maximal mathematical extension of these principles, supersymmetry. This means, as discussed in Chapter 7, that patterns of string vibrations come in pairs-superpartner pairs-differing from each other by a half unit of spin. If string theory is right, then some of the string vibrations will correspond to the known elementary particles. And due to the supersymmetric pairing, string theory makes the prediction that each such known particle will have a superpartner. We can determine the force charges that each of these superpartner particles should carry, but we do not currently have the ability to predict their masses. Even so, the prediction that superpartners exist is a generic feature of string theory; it is a property of string theory that is true, independent of those aspects of the theory we haven't yet figured out.
+No superpartners of the known elementary particles have ever been observed. This might mean that they do not exist and that string theory is wrong. But many particle physicists feel that it means that the superpartners are very heavy and are thus beyond our current capacity to observe experimentally. Physicists are now constructing a mammoth accelerator in Geneva, Switzerland, called the Large Hadron Collider. Hopes run high that this machine will be powerful enough to find the superpartner particles. The accelerator should be ready for operation before 2010, and shortly thereafter supersymmetry may be confirmed experimentally. As Schwarz has said, "Supersymmetry ought to be discovered before too long. And when that happens, it's going to be dramatic."17
+You should bear in mind two things, though. Even if superpartner particles are found, this fact alone will not establish that string theory is correct. As we have seen, although supersymmetry was discovered by studying string theory, it has also been successfully incorporated into point-particle theories and is therefore not unique to its stringy origins. Conversely, even if superpartner particles are not found by the Large Hadron Collider, this fact alone will not rule out string theory, since it might be that the superpartners are so heavy that they are beyond the reach of this machine as well.
+Having said this, if in fact the superpartner particles are found, it will most definitely be strong and exciting circumstantial evidence for string theory.
+Fractionally Charged Particles
+Another experimental signature of string theory, having to do with electric charge, is somewhat less generic than superpartner particles but equally dramatic. The elementary particles of the standard model have a very limited assortment of electric charges: The quarks and antiquarks have electric charges of one-third or two-thirds, and their negatives, while the other particles have electric charges of zero, one, or negative one. Combinations of these particles account for all known matter in the universe. In string theory, however, it is possible for there to be resonant vibrational patterns corresponding to particles of significantly different electric charges. For instance, the electric charge of a particle can take on exotic fractional values such as 1/5, 1/11, 1/13, or 1/53, among a variety of other possibilities. These unusual charges can arise if the curled-up dimensions have a certain geometrical property: Holes with the peculiar property that strings encircling them can disentangle themselves only by wrapping around a specified number of times.18 The details are not particularly important, but it turns out that the number of windings required to get disentangled manifests itself in the allowed patterns of vibration by determining the denominator of the fractional charges.
+Some Calabi-Yau shapes have this geometrical property while others do not, and for this reason the possibility of unusual electric-charge fractions is not as generic as the existence of superpartner particles. On the other hand, whereas the prediction of superpartners is not a unique property of string theory, decades of experience have shown that there is no compelling reason for such exotic electric-charge fractions to exist in any point-particle theory. They can be forced into a point-particle theory, but doing so would be as natural as the proverbial bull in a china shop. Their possible emergence from simple geometrical properties that the extra dimensions can have makes these unusual electric charges a natural experimental signature for string theory.
+As with the situation with superpartners, no such exotically charged particles have ever been observed, and our understanding of string theory does not allow for a definitive prediction of their masses should the extra dimensions have the correct properties to generate them. One explanation for not seeing them, again, is that if they do exist, their masses must be beyond our present technological means-in fact, it is likely that their masses would be on the order of the Planck mass. But should a future experiment come across such exotic electric charges, it would constitute very strong evidence for string theory.
+Some Longer Shots
+There are yet other ways in which evidence for string theory might be found. For example, Witten has pointed out the long-shot possibility that astronomers might one day see a direct signature of string theory in the data they collect from observing the heavens. As encountered in Chapter 6, the size of a string is typically the Planck length, but strings that are more energetic can grow substantially larger. The energy of the big bang, in fact, would have been high enough to produce a few macroscopically large strings that, through cosmic expansion, might have grown to astronomical scales. We can imagine that now or sometime in the future, a string of this sort might sweep across the night sky, leaving an unmistakable and measurable imprint on data collected by astronomers (such as a small shift in the cosmic microwave background temperature; see Chapter 14). As Witten says, "Although somewhat fanciful, this is my favorite scenario for confirming string theory as nothing would settle the issue quite as dramatically as seeing a string in a telescope."19
+Closer to earth, there are other possible experimental signatures of string theory that have been put forward. Here are five examples. First, in Table 1.1 we noted that we do not know if neutrinos are just very light, or if in fact they are exactly massless. According to the standard model, they are massless, but not for any particularly deep reason. A challenge to string theory is to provide a compelling explanation of present and future neutrino data, especially if experiments ultimately show that neutrinos do have a tiny but nonzero mass. Second, there are certain hypothetical processes that are forbidden by the standard model, but that may be allowed by string theory. Among these are the possible disintegration of the proton (don't worry, such disintegration, if true, would happen very slowly) and the possible transmutations and decays of various combinations of quarks, in violation of certain long-established properties of point-particle quantum field theory.20 These kinds of processes are especially interesting because their absence from conventional theory makes them sensitive signals of physics that cannot be accounted for without invoking new theoretical principles. If observed, any one of these processes would provide fertile ground for string theory to offer an explanation. Third, for certain choices of the Calabi-Yau shape there are particular patterns of string vibration that can effectively contribute new, tiny, long-range force fields. Should the effects of any such new forces be discovered, they might well reflect some of the new physics of string theory. Fourth, as we note in the next chapter, astronomers have collected evidence that our galaxy and possibly the whole of the universe is immersed in a bath of dark matter, the identity of which has yet to be determined. Through its many possible patterns of resonant vibration, string theory suggests a number of candidates for the dark matter; the verdict on these candidates must await future experimental results establishing the detailed properties of the dark matter.
+And finally, a fifth possible means of connecting string theory to observations involves the cosmological constant-remember, as discussed in Chapter 3, this is the modification Einstein temporarily imposed on his original equations of general relativity to ensure a static universe. Although the subsequent discovery that the universe is expanding led Einstein to retract the modification, physicists have since realized that there is no explanation for why the cosmological constant should be zero. In fact, the cosmological constant can be interpreted as a kind of overall energy stored in the vacuum of space, and hence its value should be theoretically calculable and experimentally measurable. But, to date, such calculations and measurements lead to a colossal mismatch: Observations show that the cosmological constant is either zero (as Einstein ultimately suggested) or quite small; calculations indicate that quantum-mechanical fluctuations in the vacuum of empty space tend to generate a nonzero cosmological constant whose value is some 120 orders of magnitude (a 1 followed by 120 zeros) larger than experiment allows! This presents a wonderful challenge and opportunity for string theorists: Can calculations in string theory improve on this mismatch and explain why the cosmological constant is zero, or if experiments do ultimately establish that its value is small but nonzero, can string theory provide an explanation? Should string theorists be able to rise to this challenge-as yet they have not-it would provide a compelling piece of evidence in support of the theory.
+An Appraisal
+The history of physics is filled with ideas that when first presented seemed completely untestable but, through various unforeseen developments, were ultimately brought within the realm of experimental verifiability. The notion that matter is made of atoms, Pauli's hypothesis that there are ghostly neutrino particles, and the possibility that the heavens are dotted with neutron stars and black holes are three prominent ideas of precisely this sort-ideas that we now embrace fully but that, at their inception, seemed more like musings of science fiction than aspects of science fact.
+The motivation for introducing string theory is at least as compelling as any of these three ideas-in fact, string theory has been hailed as the most important and exciting development in theoretical physics since the discovery of quantum mechanics. This comparison is particularly apt because the history of quantum mechanics teaches us that revolutions in physics can easily take many decades to reach maturity. And compared to today's string theorists, the physicists working out quantum mechanics had a great advantage: Quantum mechanics, even when only partially formulated, could make direct contact with experimental results. Even so, it took close to 30 years for the logical structure of quantum mechanics to be worked out, and about another 20 years to incorporate special relativity fully into the theory. We are now incorporating general relativity, a far more challenging task, and, moreover, one that makes contact with experiment much more difficult. Unlike those who worked out quantum theory, today's string theorists do not have the shining light of nature-through detailed experimental results-to guide them from one step to the next.
+This means that it's conceivable that one or more generations of physicists will devote their lives to the investigation and development of string theory without getting a shred of experimental feedback. The substantial number of physicists the world over who are vigorously pursuing string theory know that they are taking a risk: that a lifetime of effort might result in an inconclusive outcome. Undoubtedly, significant theoretical progress will continue, but will it be sufficient to overcome present hurdles and yield definitive, experimentally testable predictions? Will the indirect tests we have discussed above result in a true smoking gun for string theory? These questions are of central concern to all string theorists, but they are also questions about which nothing can really be said. Only the passage of time will reveal the answers. The beautiful simplicity of string theory, the way in which it tames the conflict between gravity and quantum mechanics, its ability to unify all of nature's ingredients, and its potential of limitless predictive power all serve to provide rich inspiration that makes the risk worth taking.
+These lofty considerations have been continually reinforced by the ability of string theory to uncover remarkably new physical characteristics of a string-based universe-characteristics that reveal a subtle and deep coherence in the workings of nature. In the language introduced above, many of these are generic features that, regardless of currently unknown details, will be basic properties of a universe built of strings. Of these, the most astonishing have had a profound effect on our ever evolving understanding of space and time.
+Part IV. String Theory and the Fabric of Spacetime
+
+Chapter 10
+Quantum Geometry
+In the course of about a decade, Einstein singlehandedly overthrew the centuries-old Newtonian framework and gave the world a radically new and demonstrably deeper understanding of gravity. It does not take much to get experts and nonexperts alike to gush over the sheer brilliance and monumental originality of Einstein's accomplishment in fashioning general relativity. Nevertheless, we should not lose sight of the favorable historical circumstances that strongly contributed to Einstein's success. Foremost among these are the nineteenth-century mathematical insights of Georg Bernhard Riemann that firmly established the geometrical apparatus for describing curved spaces of arbitrary dimension. In his famous 1854 inaugural lecture at the University of Göttingen, Riemann broke the chains of flat-space Euclidean thought and paved the way for a democratic mathematical treatment of geometry on all varieties of curved surfaces. It is Riemann's insights that provide the mathematics for quantitatively analyzing warped spaces such as those illustrated in Figures 3.4 and 3.6. Einstein's genius lay in recognizing that this body of mathematics was tailor-made for implementing his new view of the gravitational force. He boldly declared that the mathematics of Riemann's geometry aligns perfectly with the physics of gravity.
+But now, almost a century after Einstein's tour-de-force, string theory gives us a quantum-mechanical description of gravity that, by necessity, modifies general relativity when the distances involved become as short as the Planck length. Since Riemannian geometry is the mathematical core of general relativity, this means that it too must be modified in order to reflect faithfully the new short-distance physics of string theory. Whereas general relativity asserts that the curved properties of the universe are described by Riemannian geometry, string theory asserts that this is true only if we examine the fabric of the universe on large enough scales. On scales as small as the Planck length a new kind of geometry must emerge, one that aligns with the new physics of string theory. This new geometrical framework is called quantum geometry.
+Unlike the case of Riemannian geometry, there is no ready-made geometrical opus sitting on some mathematician's shelf that string theorists can adopt and put in the service of quantum geometry. Instead, physicists and mathematicians are now vigorously studying string theory and, little by little, piecing together a new branch of physics and mathematics. Although the full story has yet to be written, these investigations have already uncovered many new geometrical properties of spacetime entailed by string theory-properties that would almost certainly have thrilled even Einstein.
+The Heart of Riemannian Geometry
+If you jump on a trampoline, the weight of your body causes it to warp by stretching its elastic fibers. This stretching is most severe right under your body and becomes less noticeable toward the trampoline's edge. You can see this clearly if a familiar image such as the Mona Lisa is painted on the trampoline. When the trampoline is not supporting any weight, the Mona Lisa looks normal. But when you stand on the trampoline, the image of the Mona Lisa becomes distorted, especially the part directly under your body, as illustrated in Figure 10.1.
+This example cuts to the heart of Riemann's mathematical framework for describing warped shapes. Riemann, building on earlier insights of the mathematicians Carl Friedrich Gauss, Nikolai Lobachevsky, Janos Bolyai, and others, showed that a careful analysis of the distances between all locations on or in an object provides a means of quantifying the extent of its curvature. Roughly speaking, the greater the (nonuniform) stretching-the greater the deviation from the distance relations on a flat shape-the greater the curvature of the object. For example, the trampoline is most significantly stretched right under your body and therefore the distance relations between points in this area are most severely distorted. This region of the trampoline, therefore, has the largest amount of curvature, in line with what you expect, since this is where the Mona Lisa suffers the greatest distortion, yielding the hint of a grimace at the corner of her customary enigmatic smile.
+Einstein adopted Riemann's mathematical discoveries by giving them a precise physical interpretation. He showed, as we discussed in Chapter 3, that the curvature of spacetime embodies the gravitational force. But let's now think about this interpretation a little more closely. Mathematically, the curvature of spacetime-like the curvature of the trampoline-reflects the distorted distance relations between its points. Physically, the gravitational force felt by an object is a direct reflection of this distortion. In fact, by making the object smaller and smaller, the physics and the mathematics align ever more precisely as we get closer and closer to physically realizing the abstract mathematical concept of a point. But string theory limits how precisely Riemann's geometrical formalism can be realized by the physics of gravity, because there is a limit to how small we can make any object. Once you get down to strings, you can't go any further. The traditional notion of a point particle does not exist in string theory-an essential element in its ability to give us a quantum theory of gravity. This concretely shows us that Riemann's geometrical framework, which relies fundamentally upon distances between points, is modified on microscopic scales by string theory.
+This observation has a very small effect on ordinary macroscopic applications of general relativity. In cosmological studies, for example, physicists routinely model whole galaxies as if they are points, since their size, in relation to the whole of the universe, is extremely tiny. For this reason, implementing Riemann's geometrical framework in this crude manner proves to be a very accurate approximation, as evidenced by the success of general relativity in a cosmological context. But in the ultramicroscopic realm, the extended nature of the string ensures that Riemann's geometry simply will not be the right mathematical formalism. Instead, as we will, now see, it must be replaced by the quantum geometry of string theory, leading to dramatically new and unexpected properties.
+A Cosmological Playground
+According to the big bang model of cosmology, the whole of the universe violently emerged from a singular cosmic explosion, some 15 or so billion years ago. Today, as originally discovered by Hubble, we can see that the "debris" from this explosion, in the form of many billions of galaxies, is still streaming outward. The universe is expanding. We do not know whether this cosmic growth will continue forever or if there will come a time when the expansion slows to a halt and then reverses itself, leading to a cosmic implosion. Astronomers and astrophysicists are trying to settle this question experimentally, since the answer turns on something that in principle can be measured: the average density of matter in the universe.
+If the average matter density exceeds a so-called critical density of about a hundredth of a billionth of a billionth of a billionth (10-29) of a gram per cubic centimeter-about five hydrogen atoms for every cubic meter of the universe-then a large enough gravitational force will permeate the cosmos to halt and reverse the expansion. If the average matter density is less than the critical value, the gravitational attraction will be too weak to stop the expansion, which will continue forever. (Based upon your own observations of the world, you might think that the average mass density of the universe greatly exceeds the critical value. But bear in mind that matter-like money-tends to clump. Using the average mass density of the earth, or the solar system, or even the Milky Way galaxy as an indicator for that of the whole universe would be like using Bill Gates's net worth as an indicator of the average earthling's finances. Just as there are many people whose net worth pales in comparison to that of Bill Gates, thereby diminishing the average enormously, there is a lot of nearly empty space between the galaxies that drastically lowers the overall average matter density.)
+By carefully studying the distribution of galaxies throughout space, astronomers can get a pretty good handle on the average amount of visible matter in the universe. This turns out to be significantly less than the critical value. But there is strong evidence, of both theoretical and experimental origin, that the universe is permeated with dark matter. This is matter that does not participate in the processes of nuclear fusion that powers stars and hence does not give off light; it is therefore invisible to the astronomer's telescope. No one has figured out the identity of the dark matter, let alone the precise amount that exists. The fate of our presently expanding universe, therefore, is as yet unclear.
+Just for argument's sake, let's assume that the mass density does exceed the critical value and that someday in the distant future the expansion will stop and the universe will begin to collapse upon itself. All galaxies will start to approach one another slowly, and then as time goes by, their speed of approach will increase until they rush together at blinding speed. You need to picture the whole of the universe squeezing together into an ever shrinking cosmic mass. As in Chapter 3, from a maximum size of many billions of light-years, the universe will shrink to millions of light-years, every moment gaining speed as everything is crushed together to the size of a single galaxy, and then to the size of a single star, a planet, and down to the size of an orange, a pea, a grain of sand, and further, according to general relativity, to the size of a molecule, an atom, and in a final inexorable cosmic crunch to no size at all. According to conventional theory, the universe began with a bang from an initial state of zero size, and if it has enough mass, it will end with a crunch to a similar state of ultimate cosmic compression.
+But when the distance scales involved are around the Planck length or less, quantum mechanics invalidates the equations of general relativity, as we are now well aware. We must instead make use of string theory. And so, whereas Einstein's general relativity allows the geometrical form of the universe to get arbitrarily small-in exactly the same way that the mathematics of Riemannian geometry allows an abstract shape to take on as small a size as the intellect can imagine-we are led to ask how string theory modifies the picture. As we shall now see, there is evidence that string theory once again sets a lower limit to physically accessible distance scales and, in a remarkably novel way, proclaims that the universe cannot be squeezed to a size shorter than the Planck length in any of its spatial dimensions.
+Based on the familiarity you now have with string theory, you might be tempted to hazard a guess as to how this comes about. After all, you might argue that no matter how many points you pile up on top of each other-point particles that is-their combined volume is still zero. By contrast, if these particles are really strings, collapsed together in completely random orientations, they will fill out a nonzero-sized blob, roughly like a Planck-sized ball of entangled rubber bands. If you made this argument, you would be on the right track, but you would be missing significant, subtle features that string theory elegantly employs to suggest a minimum size to the universe. These features serve to emphasize, in a concrete manner, the new stringy physics that comes into play and its resultant impact on the geometry of spacetime.
+To explain these important aspects, let's first call upon an example that pares away extraneous details without sacrificing the new physics. Instead of considering all ten of the spacetime dimensions of string theory-or even the four extended spacetime dimensions we are familiar with-let's go back to the Garden-hose universe. We originally introduced this two-spatial-dimension universe in Chapter 8 in a prestring context to explain aspects of Kaluza's and Klein's insights in the 1920s. Let's now use it as a "cosmological playground" to explore the properties of string theory in a simple setting; we will shortly use the insights we gain to better understand all of the spatial dimensions string theory requires. Toward this end, we imagine that the circular dimension of the Garden-hose universe starts out nice and plump but then shrinks to shorter and shorter size, approaching the form of Lineland-a simplified, partial version of the big crunch.
+The question we seek to answer is whether the geometrical and physical properties of this cosmic collapse have features that markedly differ between a universe based on strings and one based on point particles.
+The Essential New Feature
+We do not have to search far to find the essential new string physics. A point particle moving in this two-dimensional universe can execute the kinds of motion illustrated in Figure 10.2: It can move along the extended dimension of the Garden-hose, it can move along the curled-up part of the Garden-hose, or any combination of the two. A loop of string can undergo similar motion, with one difference being that it oscillates as it moves around on the surface, as shown in Figure 10.3(a). This is a distinction we have already discussed in some detail: The oscillations of the string imbue it with characteristics such as mass and force charges. Although a crucial aspect of string theory, this is not our present focus, since we already understand its physical implications.
+Instead, our present interest is in another difference between point-particle and string motion, a difference directly dependent on the shape of the space through which the string is moving. Since the string is an extended object, there is another possible configuration beyond those already mentioned: It can wrap around-lasso, so to speak-the circular part of the Garden-hose universe, as shown in Figure 10.3(b).1 The string will continue to slide around and oscillate, but it will do so in this extended configuration. In fact, the string can wrap around the circular part of the space any number of times, as also shown in Figure 10.3(b), and again will execute oscillatory motion as it slides around. When a string is in such a wrapped configuration, we say that it is in a winding mode of motion. Clearly, being in a winding mode is a possibility inherent to strings. There is no point-particle counterpart. We now seek to understand the implications of this qualitatively new kind of string motion on the string itself as well as on the geometrical properties of the dimension it wraps.
+Throughout our previous discussion of string motion, we have focused on unwound strings. Strings that wrap around a circular component of space share almost all of the same properties as the strings we have studied. Their oscillations, just as those of their unwound counterparts, contribute strongly to their observed properties. The essential difference is that a wrapped string has a minimum mass, determined by the size of the circular dimension and the number of times it wraps around. The string's oscillatory motion determines a contribution in excess of this minimum.
+It is not difficult to understand the origin of this minimum mass. A wound string has a minimum length determined by the circumference of the circular dimension and the number of times the string encircles it. The minimum length of a string determines its minimum mass: The longer this length, the greater the mass, since there is more of it. Since the circumference of a circle is proportional to its radius, the minimum winding-mode masses are proportional to the radius of the circle being wrapped. By using Einstein's E = mc
+2 relating mass to energy, we can also say that the energy bound in a wound string is proportional to the radius of the circular dimension. (Unwrapped strings also have a tiny minimum length since if they didn't, we would be back in the realm of point particles. The same reasoning might lead to the conclusion that even unwrapped strings have a minuscule yet nonzero minimum mass. In a sense this is true, but the quantum-mechanical effects encountered in Chapter 6-remember The Price Is Right, again-are able to exactly cancel this contribution to the mass. This is how, we recall, unwrapped strings can yield the zero-mass photon, graviton, and the other massless or near-massless particles, for example. Wrapped strings are different in this regard.)
+How does the existence of wrapped string configurations affect the geometrical properties of the dimension around which the strings wind? The answer, first recognized in 1984 by the Japanese physicists Keiji Kikkawa and Masami Yamasaki, is bizarre and remarkable.
+Let's consider the last cataclysmic stages of our variant on the big crunch in the Garden-hose universe. As the radius of the circular dimension shrinks to the Planck length and, in the mold of general relativity, continues to shrink to yet smaller lengths, string theory insists upon a radical reinterpretation of what actually happens. String theory claims that all physical processes in the Garden-hose universe in which the radius of the circular dimension is shorter than the Planck length and is decreasing are absolutely identical to physical processes in which the circular dimension is longer than the Planck length and increasing! This means that as the circular dimension tries to collapse through the Planck length and head toward ever smaller size, its attempts are made futile by string theory, which turns the tables on geometry. String theory shows that this evolution can be rephrased-exactly reinterpreted-as the circular dimension shrinking down to the Planck length and then proceeding to expand. String theory rewrites the laws of short-distance geometry so that what previously appeared to be complete cosmic collapse is now seen to be a cosmic bounce. The circular dimension can shrink to the Planck-length. But because of the winding modes, attempts to shrink further actually result in expansion. Let's see why.
+The Spectrum of String States*
+*Some of the ideas in this and the next few sections are rather subtle, so don't be put off if you have trouble following every link in the explanatory chain-especially in a single reading.
+The new possibility of wound-string configurations implies that the energy of a string in the Garden-hose universe comes from two sources: vibrational motion and winding energy. From the legacy of Kaluza and Klein, each depends on the geometry of the hose, that is, on the radius of its curled-up circular component, but with a distinctly stringy twist, since point particles cannot wrap around dimensions. Our first task, then, will be to determine precisely how the winding and vibrational contributions to the energy of a string depend on the size of the circular dimension. For this purpose, it proves convenient to separate the vibrational motion of strings into two categories: uniform and ordinary vibrations. Ordinary vibrations refer to the usual oscillations we have discussed repeatedly, such as those illustrated in Figure 6.2; uniform vibrations refer to even simpler motion: the overall motion of string as it slides from one position to another without changing its shape. All string motion is a combination of sliding and oscillating-of uniform and ordinary vibrations-but for the present discussion it is easier to separate them in this manner. In fact, the ordinary vibrations will not play a central part in our reasoning, and we will therefore include their effects only after we have finished giving the gist of the argument.
+Here are the two essential observations. First, uniform vibrational excitations of a string have energies that are inversely proportional to the radius of the circular dimension. This is a direct consequence of the quantum-mechanical uncertainty principle: A smaller radius more strictly confines a string and therefore, through quantum-mechanical claustrophobia, increases the amount of energy in its motion. So, as the radius of the circular dimension decreases, the energy of motion of the string necessarily increases-the hallmark feature of an inverse proportionality. Second, as found in the preceding section, the winding mode energies are directly-not inversely-proportional to the radius. Remember, this is because the minimum length of wound strings, and hence their minimum energy, is proportional to the radius. These two observations establish that large values of the radius imply large winding energies and small vibration energies, whereas small values of the radius imply small winding energies and large vibration energies.
+This leads us to the key fact: For any large circular radius of the Garden-hose universe, there is a corresponding small circular radius for which the winding energies of strings in the former universe equal the vibration energies of strings in the latter, and vibration energies of strings in the former equal winding energies of strings in the latter. As physical properties are sensitive to the total energy of a string configuration-and not to how the energy is divided between vibration and winding contributions-there is no physical distinction between these geometrically distinct forms for the Garden-hose universe. And so, strangely enough, string theory claims that there is no difference whatsoever between a "fat" Garden-hose universe and a "thin" one.
+It's a cosmic hedging of bets, somewhat akin to what you, as a smart investor, should do if faced with the following puzzle. Imagine you learn that the fate of two stocks trading on Wall Street-say, a company making fitness machines and a company making heart-bypass valves-are inextricably connected. They each closed trading today valued at one dollar per share, and you are told by a reliable source that if one company's stock goes up the other's will go down, and vice versa. Moreover, your source-who is completely trustworthy (but whose guidance might be crossing over legal boundaries)-tells you that the next day's closing prices of these two companies are absolutely certain to be inversely related to one another. That is, if one stock closes at $2 per share, the other will close at $1/2 (50 cents) per share; if one stock closes at $10 per share, the other will close at $1/10 (10 cents) per share, and so on. But the one thing your source can't tell you is which stock will close high and which will close low. What do you do?
+Well, you immediately invest all of your money in the stock market, equally divided between the shares of these two companies. As you can easily check by working out a few examples, no matter what happens on the next day, your investment cannot lose value. At worse it can remain the same (if both companies again close at $1), but any movement of share prices-consistent with your insider information-will increase your holdings. For instance, if the fitness company closes at $4 and the heart-valve company closes at $1/4 (25 cents), their combined value is $4.25 (for each pair of shares), compared with $2 the previous day Furthermore, from the perspective of net worth, it does not matter one bit whether the fitness company closes high and the heart-valve company low, or vice versa. If you care only about the total amount of money, these two distinct circumstances are financially indistinguishable.
+The situation in string theory is analogous in that the energy in string configurations comes from two sources-vibrations and windings-whose contributions to the total energy of a string are generally different. But, as we shall see in more detail below, certain pairs of distinct geometrical circumstances-leading to high-winding-energy/low-vibration-energy or low-winding-energy/high-vibration-energy-are physically indistinguishable. And, unlike the financial analogy for which considerations beyond total wealth can distinguish between the two types of stock holdings, there is absolutely no physical distinction between the two string scenarios.
+Actually, we shall see that to make the analogy with string theory tighter, we should consider what would happen if you did not divide your money equally between the two companies in your initial investment, but bought, say, 1,000 shares of the fitness company and 3,000 shares of the heart-valve company. Now the total value of your holdings does depend on which company closes high and which closes low. For instance, if the stocks close at $10 (fitness) and 10 cents (heart-valve), your initial investment of $4,000 will now be worth $10,300. If the reverse happens-the stocks close at 10 cents (fitness) and $10 (heart-valve)-your holdings will be worth $30,100 -significantly more.
+Nevertheless, the inverse relationship between the closing stock prices does ensure the following. If a friend of yours invests exactly "opposite" to you-3,000 shares of the fitness company and 1,000 shares of the heart-valve company-then the value of her holdings will be $10,300 if stocks close valves-high/fitness-low (the same as your holdings in the fitness-high/valves-low closing) and $30,100 if they close with fitness-high/valves-low (again, the same as your holdings in the reciprocal situation). That is, from the point of view of total stock value, interchanging which stock closes high and which closes low is exactly compensated by interchanging the number of shares you own of each company.
+Hold this last observation in mind as we now return to string theory and think about the possible string energies in a specific example. Imagine that the radius of the circular Garden-hose dimension is, say, ten times the Planck length. We will write this as R = 10. A string can wrap around this circular dimension one time, two times, three times, and so forth. The number of times a string wraps around the circular dimension is called its winding number. The energy from winding, being determined by the length of wound string, is proportional to the product of the radius and the winding number. Additionally, for any amount of winding, the string can undergo vibrational motion. As the uniform vibrations we are currently focusing on have energies that are inversely dependent on the radius, they are proportional to whole-number multiples of the reciprocal of the radius-1/R-which in this case is one-tenth of the Planck length. We call this whole number multiple the vibration number.
+2
+As you can see, this situation is very similar to what we encountered on Wall Street, with the winding and vibration numbers being direct analogs of the shares held in the two companies, while R and 1/R are the analogs of the closing prices per share in each. Now, just as you can easily calculate the total value of your investment from the number of shares held in each company and the closing prices, we can calculate the total energy carried by a string in terms of its vibration number, its winding number, and the radius. In Table 10.1 we give a partial list of these total energies for various string configurations, which we specify by their winding and vibration numbers, in a Garden-hose universe with radius R = 10.
+A complete table would be infinitely long, since the winding and vibration numbers can take on arbitrary whole-number values, but this representative piece of the table is adequate for our discussion. We see from the table and our remarks that we are in a high-winding-energy/low-vibration-energy situation: Winding energies come in multiples of 10, while vibrational energies come in multiples of the smaller number 1/10.
+Now imagine that the radius of the circular dimension shrinks, say, from 10 to 9.2 to 7.1 and on down to 3.4, 2.2, 1.1, .7, all the way to .1 (1/10), where, for our present discussion, it stops. In this geometrically distinct form of the Garden-hose universe we can compile an analogous table of string energies: Winding energies are now multiples of 1/10 while vibration energies are multiples of its reciprocal, 10. The results are shown in Table 10.2.
+At first glance, the two tables might appear to be different. But closer inspection reveals that although arranged in a different order, the "total energy" columns of both tables have identical entries. To find the corresponding entry in Table 10.2 for a chosen entry in Table 10.1, one must simply interchange the vibration and winding numbers. That is, vibration and winding contributions play complementary roles when the radius of the circular dimension changes from 10 to 1/10. And so, as far as total string energies go, there is no distinction between these different sizes for the circular dimension. just as the interchange of fitness-high/valves-low with valves-high/fitness-low is exactly compensated by an interchange of the number of shares held in each company, interchange of radius 10 and radius 1/10 is exactly compensated by the interchange of vibration and winding numbers. Moreover, while for simplicity we have focused on an initial radius of R = 10 and its reciprocal 1/10, the conclusions drawn are the same for any choice of the radius and its reciprocal.3
+Tables 10.1 and 10.2 are incomplete for two reasons. First, as mentioned, we have listed only a few of the infinite possibilities for winding/vibration numbers that a string can assume. This, of course, poses no problem-we could make the tables as long as our patience allows and would find that the relation between them will continue to hold. Second, beyond winding energy, we have so far considered only energy contributions arising from the uniform-vibrational motion of a string. We should now include the ordinary vibrations as well, since these give additional contributions to the string's total energy and also determine the force charges it carries. The important point, however, is that investigations have revealed that these contributions do not depend on the size of the radius. Thus, even if we were to include these more detailed features of string attributes in Tables 10.1 and 10.2, the tables would still correspond exactly, since the ordinary vibrational contributions affect each table identically. We therefore conclude that the masses and the charges of particles in a Garden-hose universe with radius R are completely identical to those in a Garden-hose universe with radius 1/R. And since these masses and force charges govern fundamental physics, there is no way to distinguish physically these two geometrically distinct universes. Any experiment done in one such universe has a corresponding experiment that can be done in the other, leading to exactly the same results.
+A Debate
+George and Gracie, after being flattened out into two-dimensional beings, take up residence as physics professors in the Garden-hose universe. After setting up their competing laboratories, each claims to have determined the size of the circular dimension. Surprisingly, although each has a reputation for carrying out research with great precision, their conclusions do not agree. George claims that the circular radius is R = 10 times the Planck length, while Gracie claims that the circular radius is R = 1/10 times the Planck length.
+"Gracie," says George, "based on my string theory calculations, I know that if the circular dimension has radius 10, then I should expect to see strings whose energies are listed in Table 10.1. I have done extensive experiments using the new Planck energy accelerator and they have revealed that this prediction is precisely confirmed. Therefore, with confidence, I claim that the circular dimension has radius R = 10." Gracie, in defense of her claims, makes exactly the same remarks except for her conclusion that the list of energies in Table 10.2 is found, confirming that the radius is R = 1/10.
+In a flash of insight, Gracie shows George that the two tables, although arranged differently, are actually identical. Now George, who, as is well known, reasons a bit more slowly than Gracie, replies, "How can this be? I know that different values for the radius give rise, through basic quantum mechanics and the properties of wound strings, to different possible values for string energies and string charges. If we agree on the latter, then we must agree on the radius."
+Gracie, using her newfound insight into string physics replies, "What you say is almost, but not quite, correct. It is usually true that two different values for the radius give rise to different allowed energies. However, in the special circumstance when the two values for the radius are inversely related to one another-like 10 and 1/10-then the allowed energies and charges are actually identical. You see, what you would call a winding mode 1 would call a vibration mode, and what you would call a vibration mode 1 would call a winding mode. But nature does not care about the language we use. Instead, physics is governed by the properties of the fundamental ingredients-the particle masses (energies) and the force charges they carry. And whether the radius is R or 1/R, the complete list of these properties for the fundamental ingredients in string theory is identical."
+In a moment of bold comprehension, George responds, "I think I understand. Although the detailed description you and I might give for strings may differ-whether they are wound around the circular dimension, or the particulars of their vibrational behavior-the complete list of physical characteristics they can attain is the same. Therefore, since the physical properties of the universe depend upon these properties of the basic constituents, there is no distinction, no way to differentiate, between radii that are inversely related to one another." Exactly.
+Three Questions
+At this point you might say, "Look, if I was a little being in the Garden-hose universe I would simply measure the circumference of the hose with a tape measure and thereby unambiguously determine the radius no ifs, ands, or buts. So what is this nonsense about two indistinguishable possibilities with different radii? Furthermore, doesn't string theory do away with sub-Planck distances, so why are we even talking about circular dimensions with radii that are a fraction of the Planck length? And finally, while we are at it, who really cares about the two-dimensional Garden-hose universe-what does all this add up to when we include all dimensions?"
+Let's begin with the last question, as the answer will force us to come face to face with the first two.
+Although our discussion has taken place in the Garden-hose universe, we restricted ourselves to one extended and one curled-up spatial dimension merely for simplicity. If we have three extended spatial dimensions and six circular dimensions-the latter being the simplest of all Calabi-Yau spaces-the conclusion is exactly the same. Each of the circles has a radius that, if interchanged with its reciprocal, yields a physically identical universe.
+We can even take this conclusion one giant step further. In our universe, we observe three spatial dimensions, each of which, according to astronomical observations, appears to extend for about 15 billion light-years (a light-year is about 6 trillion miles, so this distance is about 90 billion trillion miles). As mentioned in Chapter 8, nothing tells us what happens after that. We do not know whether they continue on indefinitely or perhaps curve back on themselves in the shape of an enormous circle, beyond the visual sensitivity of state-of-the-art telescopes. If the latter is the case, an astronaut travelling out into space, continuously going in a fixed direction, would ultimately circle around the universe-like Magellan travelling around the earth-and wind up back at the initial starting point.
+The familiar extended dimensions, therefore, may very well also be in the shape of circles and hence subject to the R and 1/R physical identification of string theory. To put some rough numbers in, if the familiar dimensions are circular then their radii must be about as large as the 15 billion light-years mentioned above, which is about ten trillion trillion trillion trillion trillion (R = 1061) times the Planck length, and growing as the universe expands. If string theory is right, this is physically identical to the familiar dimensions being circular with incredibly tiny radii of about 1/R=1/1061 = 10-61 times the Planck length! These are our well-known familiar dimensions in an alternate description provided by string theory. In fact, in this reciprocal language, these tiny circles are getting ever smaller as time goes by, since as R grows, 1/R shrinks. Now we seem to have really gone off the deep end. How can this possibly be true? How can a six-foot tall human being "fit" inside such an unbelievably microscopic universe? How can such a speck of a universe be physically identical to the great expanse we view in the heavens? Furthermore, we are now led forcefully to the second of our initial three questions: String theory was supposed to eliminate the ability to probe sub-Planck distances. But if a circular dimension has radius R whose length is larger than the Planck length, its reciprocal 1/R is necessarily a fraction of the Planck length. So what is going on? The answer, which will also address the first of our three questions, highlights an important and subtle aspect of space and distance.
+Two Interrelated Notions of Distance in String Theory
+Distance is such a basic concept in our understanding of the world that it is easy to underestimate the depth of its subtlety. With the surprising effects that special and general relativity have had on our notions of space and time, and the new features arising from string theory, we are led to be a bit more careful even in our definition of distance. The most meaningful definitions in physics are those that are operational-that is, definitions that provide a means, at least in principle, for measuring whatever is being defined. After all, no matter how abstract a concept is, having an operational definition allows us to boil down its meaning to an experimental procedure for measuring its value.
+How can we give an operational definition of the concept of distance? The answer to this question in the context of string theory is rather surprising. In 1988, the physicists Robert Brandenberger of Brown University and Cumrun Vafa of Harvard University pointed out that if the spatial shape of a dimension is circular, there are two different yet related operational definitions of distance in string theory. Each lays out a distinct experimental procedure for measuring distance and is based, roughly speaking, on the simple principle that if a probe travels at a fixed and known speed then we can measure a given distance by determining how long the probe takes to traverse it. The difference between the two procedures is the choice of probe used. The first definition uses strings that are not wound around a circular dimension, whereas the second definition uses strings that are wound. We see that the extended nature of the fundamental probe is responsible for there being two natural operational definitions of distance in string theory. In a point-particle theory, for which there is no notion of winding, there would be only one such definition.
+How do the results of each procedure differ? The answer found by Brandenberger and Vafa is as surprising as it is subtle. The rough idea underlying the result can be understood by appealing to the uncertainty principle. Unwound strings can move around freely and probe the full circumference of the circle, a length proportional to R. By the uncertainty principle, their energies are proportional to 1/R (recall from Chapter 6 the inverse relation between the energy of a probe and the distances to which it is sensitive). On the other hand, we have seen that wound strings have minimum energy proportional to R; as probes of distances the uncertainty principle tells us that they are therefore sensitive to the reciprocal of this value, 1/R. The mathematical embodiment of this idea shows that if each is used to measure the radius of a circular dimension of space, unwound string probes will measure R while wound strings will measure 1/R, where, as before, we are measuring distances in multiples of the Planck length. The result of each experiment has an equal claim to being the radius of the circle-what we learn from string theory is that using different probes to measure distance can result in different answers. In fact, this property extends to all measurements of lengths and distances, not just to determining the size of a circular dimension. The results obtained by wound and unwound string probes will be inversely related to one another.4
+If string theory describes our universe, why have we not encountered these two possible notions of distance in any of our day-to-day or scientific endeavors? Any time we talk about distance, we do so in a manner that conforms to our experience of there being one concept of distance without any hint of there being a second notion. Why have we missed the alternative possibility? The answer is that although there is a high degree of symmetry in our discussion, whenever R (and hence 1/R as well) differ significantly from the value 1 (meaning, again, 1 times the Planck length), then one of our operational definitions proves extremely difficult to carry out while the other proves extremely easy to carry out. In essence, we have always carried out the easy approach, completely unaware of there being another possibility.
+The discrepancy in difficulty between the two approaches is due to the very different masses of the probes used-high-winding-energy/low-vibration-energy, and vice versa-if the radius R (and hence 1/R as well) differs significantly from the Planck length (that is, R = 1). "High" energy here, for radii that are vastly different from the Planck length, corresponds to incredibly massive probes-billions and billions of times heavier than the proton, for instance-while "low" energy corresponds to probe masses at most a speck above zero. In such circumstances, there is a monumental difference in difficulty between the two approaches, since even producing the heavy-string configurations is an undertaking that, at present, is beyond our technological prowess. In practice, then, only one of the two approaches is technologically feasible-the one involving the lighter of the two types of string configurations. This is the one used implicitly in all of our discussions involving distance encountered to this point. This is the one that informs and hence meshes with our intuition.
+Putting issues of practicality aside, in a universe governed by string theory one is free to measure distances using either of the two approaches. When astronomers measure the "size of the universe" they do so by examining photons that have traveled across the cosmos and have happened to enter their telescopes. No pun intended, photons are the light string modes in this situation. The result obtained is the 1061 times the Planck length quoted earlier. If the three familiar spatial dimensions are in fact circular and string theory is right, astronomers using vastly different (and currently nonexistent) equipment, in principle, should be able to measure the extent of the heavens with heavy wound-string modes and find a result that is the reciprocal of this huge distance. It is in this sense that we can think of the universe as being either huge, as we normally do, or terribly minute. According to the light string modes, the universe is large and expanding; according to the heavy modes it is tiny and contracting. There is no contradiction here; instead, we have two distinct but equally sensible definitions of distance. We are far more familiar with the first definition due to technological limitations, but, nevertheless, each is an equally valid concept.
+Now we can answer our earlier question about big humans in a little universe. When we measure the height of a human and find six feet, for instance, we necessarily use the light string modes. To compare their size to that of the universe, we must use the same measuring procedure and, as above, this yields 15 billion light-years for the size of the universe, a result that is much larger than six feet. Asking how such a person can fit into the "tiny" universe as measured by the heavy string modes is asking a meaningless question-it's comparing apples and oranges. Since we now have two concepts of distance-using light or heavy string probes-we must compare measurements made in the same manner.
+A Minimum Size
+It's been a bit of a trek, but we are now set for the key point. If one does stick to measuring distances "the easy way"-that is, using the lightest of the string modes instead of the heavy ones-the results obtained will always be larger than the Planck length. To see this, let's think through the hypothetical big crunch for the three extended dimensions, assuming them to be circular. For argument's sake, let's say that at the beginning of our thought experiment, unwound string modes are the light ones and by using them it is determined that the universe has an enormously large radius and that it is shrinking in time. As it shrinks, these unwound modes get heavier and the winding modes get lighter. When the radius shrinks all the way to the Planck length-that is, when R takes on the value 1-the winding and vibration modes have comparable mass. The two approaches to measuring distance become equally difficult to carry out and, moreover, each would yield the same result since 1 is its own reciprocal.
+As the radius continues to shrink, the winding modes become lighter than the unwound modes and hence, since we are always opting for the "easier approach," they should now be used to measure distances. According to this method of measurement, which yields the reciprocal of that measured by the unwound modes, the radius is larger than one times the Planck length and increasing. This simply reflects that as R-the quantity measured by unwound strings-shrinks to 1 and continues to get smaller, 1/R-the quantity measured by wound strings-grows to 1 and gets larger. Therefore, if one takes care to always use the light string modes-the "easy" approach to measuring distance-the minimal value encountered is the Planck length.
+In particular, a big crunch to zero size is avoided, as the radius of the universe as measured using light string-mode probes is always larger than the Planck length. Rather than heading through the Planck length on to ever smaller size, the radius, as measured by the lightest string modes, decreases to the Planck length and then immediately starts to increase. The crunch is replaced by a bounce.
+Using light string modes to measure distances aligns with our conventional notion of length-the one that was around long before the discovery of string theory. It is according to this notion of distance, as seen in Chapter 5, that we encountered insurmountable problems with violent quantum undulations if sub-Planck-scale distances play a physical role. We once again see, from this complementary perspective, that the ultrashort distances are avoided by string theory. In the physical framework of general relativity and in the corresponding mathematical framework of Riemannian geometry there is a single concept of distance, and it can acquire arbitrarily small values. In the physical framework of string theory, and, correspondingly, in the realm of the emerging discipline of quantum geometry, there are two notions of distance. By judiciously making use of both we find a concept of distance that meshes with both our intuition and with general relativity when distance scales are large, but that differs from them dramatically when distance scales get small. Specifically, sub-Planck-scale distances are inaccessible.
+As this discussion is quite subtle, let's re-emphasize one central point. If we were to spurn the distinction between "easy" and "hard" approaches to measuring length and, say, continue to use the unwound modes as R shrinks through the Planck length, it might seem that we would indeed be able to encounter a sub-Planck-length distance. But the paragraphs above inform us that the word "distance" in the last sentence must be carefully interpreted, since it can have two different meanings, only one of which conforms to our traditional notion. And in this case, when R shrinks to sub-Planck length but we continue to use the unwound strings (even though they have now become heavier than the wound strings), we are employing the "hard" approach to measuring distance, and hence the meaning of "distance" does not conform to our standard usage. However, the discussion is far more than one of semantics or even of convenience or practicality of measurement. Even if we choose to use the nonstandard notion of distance and thereby describe the radius as being shorter than the Planck length, the physics we encounter-as discussed in previous sections-will be identical to that of a universe in which the radius, in the conventional sense of distance, is larger than the Planck length (as attested to, for example, by the exact correspondence between Tables 10.1 and 10.2). And it is physics, not language, that really matters.
+Brandenberger, Vafa, and other physicists have made use of these ideas to suggest a rewriting of the laws of cosmology in which both the big bang and the possible big crunch do not involve a zero-size universe, but rather one that is Planck-length in all dimensions. This is certainly a very appealing proposal for avoiding the mathematical, physical, and logical conundrums of a universe that emanates from or collapses to an infinitely dense point. Although it is conceptually difficult to imagine the whole of the universe compressed together into a tiny Planck-sized nugget, it is truly beyond the pale to imagine it crushed to a point of no size at all. String cosmology, as we shall discuss in Chapter 14, is a field very much in its infancy but one that holds great promise, and may very well provide us with this easier-to-swallow alternative to the standard big bang model.
+How General Is This Conclusion?
+What if the spatial dimensions are not circular in shape? Do these remarkable conclusions about minimum spatial extent in string theory still hold? No one knows for sure. The essential aspect of circular dimensions is that they permit the possibility of wound strings. As long as the spatial dimensions-regardless of the details of their shape-allow strings to wind around them, most of the conclusions we have drawn should still apply. But what if, say, two of the dimensions are in the shape of a sphere? In this case, strings cannot get "trapped" in a wound configuration, because they can always "slip off" much as a stretched rubber band can pop off a basketball. Does string theory nevertheless limit the size to which these dimensions can shrink?
+Numerous investigations seem to show that the answer depends on whether a full spatial dimension is being shrunk (as in the examples in this chapter) or (as we shall encounter and explain in Chapters 11 and 13) an isolated "chunk" of space is collapsing. The general belief among string theorists is that, regardless of shape, there is a minimum limiting size, much as in the case of circular dimensions, so long as we are shrinking a full spatial dimension. Establishing this expectation is an important goal for further research because it has a direct impact on a number of aspects of string theory, including its implications for cosmology.
+Mirror Symmetry
+Through general relativity, Einstein forged a link between the physics of gravity and the geometry of spacetime. At first blush, string theory strengthens and broadens the link between physics and geometry, since the properties of vibrating strings-their mass and the force charges they carry-are largely determined by the properties of the curled-up component of space. We have just seen, though, that quantum geometry-the geometry-physics association in string theory-has some surprising twists. In general relativity, and in "conventional" geometry, a circle of radius R is different from one whose radius is 1/R, pure and simple; yet, in string theory they are physically indistinguishable. This leads us to be bold enough to go further and ask whether there might be geometrical forms of space that differ in more drastic ways-not just in overall size, but possibly also in shape-but that are nevertheless physically indistinguishable in string theory.
+In 1988, Lance Dixon of the Stanford Linear Accelerator Center made a pivotal observation in this regard that was further amplified by Wolfgang Lerche of CERN, Vafa at Harvard, and Nicholas Warner, then of the Massachusetts Institute of Technology. Based upon aesthetic arguments rooted in considerations of symmetry, these physicists made the audacious suggestion that it might be possible for two different Calabi-Yau shapes, chosen for the extra curled-up dimensions in string theory, to give rise to identical physics.
+To give you an idea of how this rather far-fetched possibility might actually occur, recall that the number of holes in the extra Calabi-Yau dimensions determines the number of families into which string excitations will arrange themselves. These holes are analogous to the holes one finds in a torus or its multihandled cousins, as illustrated in Figure 9.1. One deficiency of the two-dimensional figure that we must show on the printed page is that it cannot show that a six-dimensional Calabi-Yau space can have holes of a variety of dimensions. Although such holes are harder to picture, they can be described with well-understood mathematics. A key fact is that the number of families of particles arising from string vibrations is sensitive only to the total number of holes, not to the number of holes of each particular dimension (that's why, for instance, we did not worry about drawing distinctions between the different types of holes in our discussion in Chapter 9). Imagine, then, two Calabi-Yau spaces in which the number of holes in various dimensions differs, but in which the total number of holes is the same. Since the number of holes in each dimension is not the same, the two Calabi-Yaus have different shapes. But since they have the same total number of holes, each yields a universe with the same number of families. This, of course, is but one physical property. Agreement on all physical properties is a far more restrictive requirement, but this at least gives the flavor of how the Dixon-Lerche-Vafa-Warner conjecture could possibly be true.
+In the fall of 1987, I joined the physics department at Harvard as a postdoctoral fellow and my office was just down the hall from Vafa's. As my thesis research had focused on the physical and mathematical properties of curled-up Calabi-Yau dimensions in string theory, Vafa kept me closely apprised of his work in this area. When he stopped by my office in the fall of 1988 and told me of the conjecture that he, Lerche, and Warner had come upon, I was intrigued but also skeptical. The intrigue arose from the realization that if their conjecture was true, it might open a new avenue of research on string theory; the skepticism arose from the realization that guesses are one thing, established properties of a theory are quite another.
+During the following months, I thought frequently about their conjecture and, frankly, half convinced myself that it wasn't true. Surprisingly, though, a seemingly unrelated research project I had undertaken in collaboration with Ronen Plesser, then a graduate student at Harvard and now on the faculty of the Weizmarm Institute and Duke University, was soon to change my mind completely. Plesser and I had become interested in developing methods for starting with an initial Calabi-Yau shape and mathematically manipulating it to produce hitherto unknown Calabi-Yau shapes. We were particularly drawn to a technique known as orbifolding, which was pioneered by Dixon, Jeffrey Harvey of the University of Chicago, Vafa, and Witten in the mid-1980s. Roughly speaking, this is a procedure in which different points on an initial Calabi-Yau shape are glued together according to mathematical rules that ensure that a new Calabi-Yau shape is produced. This is schematically illustrated in Figure 10.4. The mathematics underlying the manipulations illustrated in Figure 10.4 is formidable, and for this reason string theorists had thoroughly investigated this procedure only as applied to the simplest of shapes-higher-dimensional versions of the doughnut shapes shown in Figure 9.1. Plesser and I realized, though, that some beautiful new insights of Doron Gepner, then of Princeton University, might give a powerful theoretical framework for applying the orbifolding technique to full-fledged CalabiYau shapes, such as the one in Figure 8.9.
+After a few months of intensive pursuit of this idea we came to a surprising realization. If we glued particular groups of points together in just the right way, the Calabi-Yau shape we produced differed from the one we started with in a startling manner: The number of odd-dimensional holes in the new Calabi-Yau shape equaled the number of even-dimensional holes in the original, and vice versa. In particular, this means that the total number of holes-and therefore the number of particle families-in each is the same even though the even-odd interchange means that their shapes and fundamental geometrical structures are quite different.5
+Excited by the apparent contact we had made with the Dixon-Lerche-Vafa-Warner guess, Plesser and I pressed on to the linchpin question: Beyond the number of families of particles, do the two different Calabi-Yau spaces agree on the rest of their physical properties? After a couple more months of detailed and arduous mathematical analysis during which we received valuable inspiration and encouragement from Graham Ross, my thesis advisor at Oxford, and also from Vafa, Plesser and I were able to argue that the answer was, most definitely, yes. For mathematical reasons having to do with the even-odd interchange, Plesser and I coined the term mirror manifolds to describe the physically equivalent yet geometrically distinct Calabi-Yau spaces.6 The individual spaces in a mirror pair of Calabi-Yau spaces are not literally mirror images of one another, in the sense of everyday usage. But even though they have different geometrical properties, they give rise to one and the same physical universe when used for the extra dimensions in string theory.
+The weeks after finding this result were an extremely anxious time. Plesser and I knew that we were sitting on an important new piece of string physics. We had shown that the tight association between geometry and physics originally set down by Einstein was substantially modified by string theory: Drastically different geometrical shapes that would imply different physical properties in general relativity were giving rise to identical physics in string theory. But what if we had made a mistake? What if their physical implications did differ in some subtle way that we had missed? When we showed our results to Yau, for example, he politely but firmly claimed that we must have made an error; he asserted that from a mathematical standpoint our results were far too outlandish to be true. His assessment gave us substantial pause. It's one thing to make a mistake in a small or modest claim that attracts little attention. Our result, though, was suggesting an unexpected step in a new direction that would certainly engender a strong response. If it were wrong, everyone would know.
+Finally, after much checking and rechecking, our confidence grew and we sent our paper off for publication. A few days later, I was sitting in my office at Harvard and the phone rang. It was Philip Candelas from the University of Texas, and he immediately asked me if I was seated. I was.
+He then told me that he and two of his students, Monika Lynker and Rolf Schimmrigk, had found something that was going to knock me off of my chair. By carefully examining a huge sample set of Calabi-Yau spaces that they had generated by computer, they found that almost all came in pairs differing precisely by the interchange of the number of even and odd holes. I told him that I was still seated-that Plesser and I had found the same result. Candelas's and our work turned out to be complementary; we had gone one step further by showing that all of the resulting physics in a mirror pair was identical, whereas Candelas and his students had shown that a significantly larger sample of Calabi-Yau shapes fell into mirror pairs. Through the two papers, we had discovered the mirror symmetry of string theory.7
+The Physics and the Mathematics of Mirror Symmetry
+The loosening of Einstein's rigid and unique association between the geometry of space and observed physics is one of the striking paradigm shifts of string theory. But these developments entail far more than a change in philosophical stance. Mirror symmetry, in particular, provides a powerful tool for understanding both the physics of string theory and the mathematics of Calabi-Yau spaces.
+Mathematicians working in a field called algebraic geometry had been studying Calabi-Yau spaces for purely mathematical reasons long before string theory was discovered. They had worked out many of the detailed properties of these geometrical spaces without an inkling of a future physical application. Certain aspects of Calabi-Yau spaces, however, had proven difficult-essentially impossible-for mathematicians to unravel fully. But the discovery of mirror symmetry in string theory changed this significantly. In essence, mirror symmetry proclaims that particular pairs of Calabi-Yau spaces, pairs that were previously thought to be completely unrelated, are now intimately connected by string theory. They are linked by the common physical universe each implies if either is the one selected for the extra curled-up dimensions. This previously unsuspected interconnection provides an incisive new physical and mathematical tool.
+Imagine, for instance, that you are busily calculating the physical properties-particle masses and force charges-associated with one possible Calabi-Yau choice for the extra dimensions. You are not particularly concerned with matching your detailed results with experiment, since as we have seen a number of theoretical and technological obstacles make doing this quite difficult at present. Instead, you are working through a thought experiment concerned with what the world would look like if a particular Calabi-Yau space were selected. For a while, everything is going along fine, but then, in the midst of your work, you come upon a mathematical calculation of insurmountable difficulty. No one, not even the world's most expert mathematicians, can figure out how to proceed. You are stuck. But then you realize that this Calabi-Yau has a mirror partner. Since the resulting string physics associated with each member of a mirror pair is identical, you recognize that you are free to do your calculations making use of either. And so, you rephrase the difficult calculation on the original Calabi-Yau space in terms of a calculation on its mirror, assured that the result of the calculation-the physics-will be the same. At first sight you might think that the rephrased version of the calculation will be as difficult as the original. But here you come upon a pleasant and powerful surprise: You discover that although the result will be the same, the detailed form of the calculation is very different, and in some cases the horribly difficult calculation you started with turns into an extremely easy calculation on the mirror Calabi-Yau space. There is no simple explanation for why this happens, but-at least for certain calculations-it most definitely does, and the decrease in level of difficulty can be dramatic. The implication, of course, is clear: You are no longer stuck.
+It's somewhat as if someone requires you to count exactly the number of oranges that are haphazardly jumbled together in an enormous bin, some 50 feet on each side and 10 feet deep. You start to count them one by one, but soon realize that the task is just too laborious. Luckily, though, a friend comes along who was present when the oranges were delivered. He tells you that they arrived neatly packed in smaller boxes (one of which he just happens to be holding) that when stacked were 20 boxes long, by 20 boxes deep, by 20 boxes high. You quickly calculate that they arrived in 8,000 boxes, and that all you need to do is figure out how many oranges are packed in each. This you easily do by borrowing your friend's box and filling it with oranges, allowing you to finish your huge counting task with almost no effort. In essence, by cleverly reorganizing the calculation, you were able to make it substantially easier to accomplish.
+The situation with numerous calculations in string theory is similar. From the perspective of one Calabi-Yau space, a calculation might involve an enormous number of difficult mathematical steps. By translating the calculation to its mirror, though, the calculation is reorganized in a far more efficient manner, allowing it to be completed with relative ease. This point was made by Plesser and me, and was impressively put into practice in subsequent work by Candelas with his collaborators Xenia de la Ossa and Linda Parkes, from the University of Texas, and Paul Green, from the University of Maryland. They showed that calculations of almost unimaginable difficulty could be accomplished by using the mirror perspective, with a few pages of algebra and a desktop computer.
+This was an especially exciting development for mathematicians, because some of these calculations were precisely the ones they had been stuck on for many years. String theory-or so the physicists claimed-had beaten them to the solution.
+Now you should bear in mind that there is a good deal of healthy and generally good-natured competition between mathematicians and physicists. And as it turns out, two Norwegian mathematicians-Geir Ellingsrud and Stein Arilde Strømme-happened to be working on one of numerous calculations that Candelas and his collaborators had successfully conquered with mirror symmetry. Roughly speaking, it amounted to calculating the number of spheres that could be "packed" inside a particular Calabi-Yau space, somewhat like our analogy of counting oranges in a large bin. At a meeting of physicists and mathematicians in Berkeley in 1991, Candelas announced the result reached by his group using string theory and mirror symmetry: 317,206,375. Ellingsrud and Strømme announced the result of their very difficult mathematical calculation: 2,682,549,425. For days, mathematicians and physicists debated: Who was right? The question turned into a real litmus test of the quantitative reliability of string theory. A number of people even commented-somewhat in jest-that this test was the next best thing to being able to compare string theory with experiment. Moreover, Candelas's results went far beyond the single numerical result that Ellingsrud and Strømme claimed to have calculated. He and his collaborators claimed to have also answered many other questions that were tremendously more difficult-so difficult in fact, that no mathematician had ever even attempted to address them. But could the string theory results be trusted? The meeting ended with a great deal of fruitful exchange between mathematicians and physicists, but no resolution of the discrepancy.
+About a month later, an e-mail message was widely circulated among participants in the Berkeley meeting with the subject heading Physics Wins! Ellingsrud and Strømme had found an error in their computer code that, when corrected, confirmed Candelas's result. Since then, there have been many mathematical checks on the quantitative reliability of the mirror symmetry of string theory: It has passed all with flying colors. Even more recently, almost a decade after physicists discovered mirror symmetry, mathematicians have made great progress in revealing its inherent mathematical foundations. By utilizing substantial contributions of the mathematicians Maxim Kontsevich, Yuri Manin, Gang Tian, Jun Li, and Alexander Givental, Yau and his collaborators Bong Lian and Kefeng Liu have finally found a rigorous mathematical proof of the formulas used to count spheres inside Calabi-Yau spaces, thereby solving problems that have puzzled mathematicians for hundreds of years.
+Beyond the particulars of this success, what these developments really highlight is the role that physics has begun to play in modern mathematics. For quite some time, physicists have "mined" mathematical archives in search of tools for constructing and analyzing models of the physical world. Now, through the discovery of string theory, physics is beginning to repay the debt and to provide mathematicians with powerful new approaches to their unsolved problems. String theory not only provides a unifying framework for physics, but it may well forge an equally deep union with mathematics as well.
+
+Chapter 11
+Tearing the Fabric of Space
+If you relentlessly stretch a rubber membrane, sooner or later it will tear. This simple fact has inspired numerous physicists over the years to ask whether the same might be true of the spatial fabric making up the universe. That is, can the fabric of space rip apart, or is this merely a misguided notion that arises from taking the rubber membrane analogy too seriously?
+Einstein's general relativity says no, the fabric of space cannot tear.1 The equations of general relativity are firmly rooted in Riemannian geometry and, as we noted in the preceding chapter, this is a framework that analyzes distortions in the distance relations between nearby locations in space. In order to speak meaningfully about these distance relations, the underlying mathematical formalism requires that the substrate of space is smooth-a term with a technical mathematical meaning, but whose everyday usage captures its essence: no creases, no punctures, no separate pieces "stuck" together, and no tears. Were the fabric of space to develop such irregularities, the equations of general relativity would break down, signaling some or other variety of cosmic catastrophe-a disastrous outcome that our apparently well-behaved universe avoids.
+This has not kept imaginative theorists over the years from pondering the possibility that a new formulation of physics that goes beyond Einstein's classical theory and incorporates quantum physics might show that rips, tears, and mergers of the spatial fabric can occur. In fact, the realization that quantum physics leads to violent short-distance undulations led some to speculate that rips and tears might be a commonplace microscopic feature of the spatial fabric. The concept of wormholes (a notion with which any fan of Star Trek: Deep Space Nine is familiar) makes use of such musings. The idea is simple: Imagine you're the CEO of a major corporation with headquarters on the ninetieth floor of one of New York City's World Trade Center towers. Through the vagaries of corporate history, an arm of your company with which you need to have ever increasing contact is ensconced on the ninetieth floor of the other tower. As it is impractical to move either office, you come up with a natural suggestion: Build a bridge from one office to the other, connecting the two towers. This allows employees to move freely between the offices without having to go down and then up ninety floors.
+A wormhole plays a similar role: It is a bridge or tunnel that provides a shortcut from one region of the universe to another. Using a two-dimensional model, imagine that a universe is shaped as in Figure 11.1.
+If your corporate headquarters are located near the lower circle in 11.1 (a), you can get to your field office, located near the upper circle, only by traversing the entire U-shaped path, taking you from one end of the universe to another. But if the fabric of space can tear, developing punctures as in 11.1(b), and if these punctures can "grow" tentacles that merge together as in 11.1(c), a spatial bridge would connect the previously remote regions. This is a wormhole. You should note that the wormhole has some similarity to the World Trade Center bridge, but there is one essential difference: The World Trade Center bridge would traverse a region of existing space-the space between the two towers. On the contrary, the wormhole creates a new region of space, since the curved two-dimensional space in Figure 11.1(a) is all there is (in the setting of our two-dimensional analogy). Regions lying off of the membrane merely reflect the inadequacy of the illustration, which depicts the U-shaped universe as if it were an object within our higher-dimensional universe. The wormhole creates new space and therefore blazes new spatial territory
+Do wormholes exist in the universe? No one knows. And if they do, it is far from clear whether they would take on only a microscopic form or if they could span vast regions of the universe (as in Deep Space Nine). But one essential element in assessing whether they are fact or fiction is determining whether or not the fabric of space can tear.
+Black holes provide another compelling example in which the fabric of space is stretched to its limits. In Figure 3.7, we saw that the enormous gravitational field of a black hole results in such extreme curvature that the fabric of space appears to be pinched or punctured at the black hole's center. Unlike in the case of wormholes, there is strong experimental evidence supporting the existence of black holes, so the question of what really happens at their central point is one of science, not speculation. Once again, the equations of general relativity break down under such extreme conditions. Some physicists have suggested that there really is a puncture, but that we are protected from this cosmic "singularity" by the event horizon of the black hole, which prevents anything from escaping its gravitational grip. This reasoning led Roger Penrose of Oxford University to speculate on a "cosmic censorship hypothesis" that allows these kinds of spatial irregularities to occur only if they are deeply hidden from our view behind the shroud of an event horizon. On the other hand, prior to the discovery of string theory, some physicists surmised that a proper merger of quantum mechanics and general relativity would show that the apparent puncture of space is actually smoothed out-"sewn up," so to speak-by quantum considerations.
+With the discovery of string theory and the harmonious merger of quantum mechanics and gravity, we are finally poised to study these issues. As yet, string theorists have not been able to answer them fully, but during the last few years closely related issues have been solved. In this chapter we discuss how string theory, for the first time, definitively shows that there are physical circumstances-differing from wormholes and black holes in certain ways-in which the fabric of space can tear.
+A Tantalizing Possibility
+In 1987, Shing-Tung Yau and his student Gang Tian, now at the Massachusetts Institute of Technology, made an interesting mathematical observation. They found, using a well-known mathematical procedure, that certain Calabi-Yau shapes could be transformed into others by puncturing their surface and then sewing up the resulting hole according to a precise mathematical pattern.2 Roughly speaking, they identified a particular kind of two-dimensional sphere-like the surface of a beach ball-sitting inside an initial Calabi-Yau space, as in Figure 11.2. (A beach ball, like all familiar objects, is three-dimensional. Here, however, we are referring solely to its surface; we are ignoring the thickness of the material from which it is made as well as the interior space it encloses. Points on the beach ball's surface can be located by giving two numbers-"latitude" and "longitude"-much as we locate points on the earth's surface. This is why the surface of the beach ball, like the surface of the garden hose discussed in preceding chapters, is two-dimensional.) They then considered shrinking the sphere until it is pinched down to a single point, as we illustrate with the sequence of shapes in Figure 11.3. This figure, and subsequent ones in this chapter, have been simplified by focusing in on the most relevant "piece" of the Calabi-Yau shape, but in the back of your mind you should note that these shape transformations are occuring within a somewhat larger Calabi-Yau space, as in Figure 11.2. And finally, Tian and Yau imagined slightly tearing the Calabi-Yau space at the pinch (Figure 11.4(a)), opening it up and gluing in another beach ball-like shape (Figure 11.4(b)), which they could then reinflate to a nice plump form (Figures 11.4(c) and 11.4(d)).
+Mathematicians call this sequence of manipulations a flop-transition. It's as if the original beach ball shape is "flopped" over into a new orientation within the overall Calabi-Yau shape. Yau, Tian, and others noted that under certain circumstances, the new Calabi-Yau shape produced by a flop, as in Figure 11.4(d), is topologically distinct from the initial Calabi-Yau shape in Figure 11.3(a). This is a fancy way of saying that there is absolutely no way to deform the initial Calabi-Yau space in Figure 11.3(a) into the final Calabi-Yau space shown in Figure 11.4(d) without tearing the fabric of the Calabi-Yau space at some intermediate stage.
+From a mathematical standpoint, this procedure of Yau and Tian is of interest because it provides a way to produce new Calabi-Yau spaces from ones that are known. But its real potential lies in the realm of physics, where it raises a tantalizing question: Could it be that, beyond its being an abstract mathematical procedure, the sequence displayed from Figure 11.3(a) through Figure 11.4(d) might actually occur in nature? Might it be that, contrary to Einstein's expectations, the fabric of space can tear apart and subsequently be repaired in the manner described?
+The Mirror Perspective
+For a couple of years after their 1987 observation, Yau would, every so often, encourage me to think about the possible physical incarnation of these flop transitions. I didn't. To me it seemed that flop transitions were merely a piece of abstract mathematics without any bearing on the physics of string theory. In fact, based on the discussion in Chapter 10 in which we found that circular dimensions have a minimum radius, one might be tempted to say that string theory does not allow the sphere in Figure 11.3 to shrink all the way down to a pinched point. But remember, as also noted in Chapter 10, that if a chunk of space collapses-in this case, a spherical piece of a Calabi-Yau shape-as opposed to the collapse of a complete spatial dimension, the argument identifying small and large radii is not directly applicable. Nevertheless, even though this idea for ruling out flop transitions does not stand up to scrutiny, the possibility that the fabric of space could tear still seemed rather unlikely.
+But then, in 1991 the Norwegian physicist Andy Lütken together with Paul Aspinwall, a graduate-school classmate of mine from Oxford and now a professor at Duke University, asked themselves what proved to be a very interesting question: If the spatial fabric of the Calabi-Yau portion of our universe were to undergo a space-tearing flop transition, what would it look like from the perspective of the mirror Calabi-Yau space? To understand the motivation for this question, you must recall that the physics emerging from either member of a mirror pair of Calabi-Yau shapes (if selected for the extra dimensions) is identical, but the complexity of the mathematics that a physicist must employ to extract the physics can differ significantly between the two. Aspinwall and Lütken speculated that the mathematically complicated flop transition of Figures 11.3 and 11.4 might have a far simpler mirror description-one that might give a more transparent view on the associated physics.
+At the time of their work, mirror symmetry was not understood at the depth required to answer the question they posed. However, Aspinwall and Lütken noted that there did not seem to be anything in the mirror description that would indicate a disastrous physical consequence associated with the spatial tears of flop transitions. Around the same time, the work Plesser and I had done in finding mirror pairs of Calabi-Yau shapes (see Chapter 10) unexpectedly led us to think about flop transitions as well. It is a well-known mathematical fact that gluing various points together as in Figure 10.4-the procedure we had used to construct mirror pairs-leads to geometrical situations that are identical to the pinch and puncture in Figures 11.3 and 11.4. Physically, though, Plesser and I could find no associated calamity. Moreover, inspired by the observations of Aspinwall and Lütken (as well as a previous paper of theirs with Graham Ross), Plesser and I realized that we could repair the pinch mathematically in two different ways. One way led to the Calabi-Yau shape in Figure 11.3(a) while the other led to that in Figure 11.4(d). This suggested to us that the evolution from Figure 11.3(a) through Figure 11.4(d) was something that could actually occur in nature.
+By late 1991, then, at least a few string theorists had a strong feeling that the fabric of space can tear. But no one had the technical facility to definitively establish or refute this striking possibility.
+Inching Forward
+Off and on during 1992, Plesser and I tried to show that the fabric of space can undergo space-tearing flop transitions. Our calculations yielded bits and pieces of supporting circumstantial evidence, but we could not find definitive proof. Sometime during the spring, Plesser visited the Institute for Advanced Study in Princeton to give a talk, and privately told Witten about our recent attempts to realize the mathematics of space-tearing flop transitions within the physics of string theory. After summarizing our ideas, Plesser waited for Witten's response. Witten turned from the blackboard and stared out of his office window. After a minute of silence, maybe two, he turned back to Plesser and told him that if our ideas worked out, "it would be spectacular." This rekindled our efforts. But after a while, with our progress stalled, each of us turned to working on other string theory projects.
+Even so, I found myself mulling over the possibility of space-tearing flop transitions. As the months went by, I felt increasingly sure that they had to be part and parcel of string theory. The preliminary calculations Plesser and I had done, together with insightful discussions with David Morrison, a mathematician from Duke University, made it seem that this was the only conclusion that mirror symmetry naturally supported. In fact, during a visit to Duke, Morrison and I, together with some helpful observations from Sheldon Katz of Oklahoma State University, who was also visiting Duke at the time, outlined a strategy for proving that flop transitions can occur in string theory. But when we sat down to do the required calculations, we found that they were extraordinarily intensive. Even on the world's fastest computer, they would take more than a century to complete. We had made progress, but we clearly needed a new idea, one that could greatly enhance the efficiency of our calculational method. Unwittingly, Victor Batyrev, a mathematician from the University of Essen, revealed such an idea through a pair of papers released in the spring and summer of 1992, Batyrev had become very interested in mirror symmetry, especially in the wake of the success of Candelas and his collaborators in using it to solve the sphere-counting problem described at the end of Chapter 10.
+With a mathematician's perspective, though, Batyrev was unsettled by the methods Plesser and I had invoked to find mirror pairs of Calabi-Yau spaces. Although our approach used tools familiar to string theorists, Batyrev later told me that our paper seemed to him to be "black magic." This reflects the large cultural divide between the disciplines of physics and mathematics, and as string theory blurs their borders, the vast differences in language, methods, and styles of each field become increasingly apparent. Physicists are more like avant-garde composers, willing to bend traditional rules and brush the edge of acceptability in the search for solutions. Mathematicians are more like classical composers, typically working within a much tighter framework, reluctant to go to the next step until all previous ones have been established with due rigor. Each approach has its advantages as well as drawbacks; each provides a unique outlet for creative discovery. Like modern and classical music, it's not that one approach is right and the other wrong-the methods one chooses to use are largely a matter of taste and training.
+Batyrev set out to recast the construction of mirror manifolds in a more conventional mathematical framework, and he succeeded. Inspired by earlier work of Shi-Shyr Roan, a mathematician from Taiwan, he found a systematic mathematical procedure for producing pairs of Calabi-Yau spaces that are mirrors of one another. His construction reduces to the procedure Plesser and I had found in the examples we had considered, but offers a more general framework that is phrased in a manner more familiar to mathematicians.
+The flip side is that Batyrev's papers invoked areas of mathematics that most physicists had never previously encountered. I, for example, could extract the gist of his arguments, but had significant difficulty in understanding many crucial details. One thing, however, was clear: The methods of his paper, if properly understood and applied, could very well open a new line of attack on the issue of space-tearing flop transitions.
+By late summer, energized by these developments, I decided that I wanted to return to the problem of flops with full and undistracted intensity. I had learned from Morrison that he was going on leave from Duke to spend a year at the Institute for Advanced Study, and I knew that Aspinwall would also be there, as a postdoctoral fellow. After a few phone calls and e-mails, I arranged to take leave from Cornell University and spend the fall of 1992 at the Institute as well.
+A Strategy Emerges
+One would be hard pressed to think of a more ideal place for long hours of intense concentration than the Institute for Advanced Study. Founded in 1930, it is set within gently rolling fields on the border of an idyllic forest a few miles from the campus of Princeton University. It is said that you can't get distracted from your work at the Institute, because, well, there aren't any distractions.
+After leaving Germany in 1933, Einstein joined the Institute and remained there for the duration of his life. It takes little imagination to picture him pondering unified field theory in the Institute's quiet, lonely, almost ascetic surroundings. The legacy of deep thought infuses the atmosphere, which, depending on your own immediate state of progress, can be either exciting or oppressive.
+Shortly after arriving at the Institute, Aspinwall and I were walking down Nassau Street (the main commercial street in the town of Princeton) trying to agree on a place to have dinner. This was no small task since Paul is as devout a meat eater as I am a vegetarian. In the midst of catching up on each other's lives as we were walking along, he asked me if I had any ideas about new things to work on. I told him I did, and recounted my take on the importance of establishing that the universe, if truly described by string theory, can undergo space-tearing flop transitions. I also outlined the strategy I had been pursuing, as well as my newfound hope that Batyrev's work might allow us to fill in the missing pieces. I thought that I was preaching to the converted, and that Paul would be excited by this prospect. He wasn't. In retrospect, his reticence was due largely to our good-natured and long-standing intellectual joust in which we each play devil's advocate to the other's ideas. Within days, he came around and we turned our full attention to flops.
+By then, Morrison had also arrived, and the three of us met in the Institute's tea-room to formulate a strategy. We agreed that the central goal was to determine whether the evolution from Figure 11.3(a) to Figure 11.4(d) can actually occur in our universe. But a direct attack on the question was forbidding, because the equations describing this evolution are extremely difficult, especially when the spatial tear occurs. Instead, we chose to rephrase the issue using the mirror description, hoping that the equations involved might be more manageable. This is schematically illustrated in Figure 11.5, in which the top row is the original evolution from Figure 11.3(a) to Figure 11.4(d), and the bottom row is the same evolution from the perspective of the mirror Calabi-Yau shapes. As a number of us had already realized, it turns out that in the mirror rephrasing it appears that string physics is perfectly well behaved and encounters no catastrophes. As you can see, there does not seem to he any pinching or tearing in the bottom row in Figure 11.5. However, the real question this observation raised for us was this: Were we pushing mirror symmetry beyond the bounds of its applicability? Although the upper and lower Calabi-Yau shapes drawn on the far left-hand side of Figure 11.5 yield identical physics, is it true that at every step in the evolution to the right-hand side of Figure 11.5-necessarily passing through the pinch-tear-repair stage in the middle-the physical properties of the original and mirror perspective are identical?
+Although we had solid reason to believe that the powerful mirror relationship holds for the shape progression leading to the tear in the upper Calabi-Yau shape in Figure 11.5, we realized that no one knew whether the upper and lower Calabi-Yau shapes in Figure 11.5 continue to be mirrors after the tear has occurred. This is a crucial question, because if they are, then the absence of a catastrophe in the mirror perspective would mean an absence in the original, and we would have demonstrated that space can tear in string theory. We realized that this question could be reduced to a calculation: Extract the physical properties of the universe for the upper Calabi-Yau shape after the tear (using, say, the upper-right Calabi-Yau shape in Figure 11.5) and for its supposed mirror (the lower-right Calabi-Yau shape in Figure 11.5), and see if they are identical.
+It was this calculation to which Aspinwall, Morrison, and I devoted ourselves in the fall of 1992.
+Late Nights at Einstein's Final Stomping Ground
+Edward Witten's razor-sharp intellect is clothed in a soft-spoken demeanor that often has a wry, almost ironic, edge. He is widely regarded as Einstein's successor in the role of the world's greatest living physicist. Some would go even further and describe him as the greatest physicist of all time. He has an insatiable appetite for cutting-edge physics problems and he wields tremendous influence in setting the direction of research in string theory.
+The breadth and depth of Witten's productivity is legendary. His wife, Chiara Nappi, who is also a physicist at the Institute, paints a picture of Witten sitting at their kitchen table, mentally probing the edge of string theory knowledge, and only now and then returning to pick up pen and paper to verify an elusive detail or two.3 Another story is told by a postdoctoral fellow who, one summer, had an office next to Witten's. He describes the unsettling juxtaposition of laboriously struggling with complex string theory calculations at his desk while hearing the incessant rhythmic patter of Witten's keyboard, as paper after groundbreaking paper poured forth directly from mind to computer file.
+A week or so after I arrived, Witten and I were chatting in the Institute's courtyard, and he asked about my research plans. I told him about the space-tearing flops and the strategy we were planning to pursue. He lit up upon hearing the ideas, but cautioned that he thought the calculations would be horrendously difficult. He also pointed out a potential weak link in the strategy I described, having to do with some work I had done a few years earlier with Vafa and Warner. The issue be raised turned out to be only tangential to our approach for understanding flops, but it started him thinking about what ultimately turned out to be related and complementary issues.
+Aspinwall, Morrison, and I decided to split our calculation in two pieces. At first a natural division might have seemed to involve first extracting the physics associated with the final Calabi-Yau shape from the upper row of Figure 11.5, and then doing the same for the final Calabi-Yau shape from the lower row of Figure 11.5. If the mirror relationship is not shattered by the tear in the upper Calabi-Yau, then these two final Calabi-Yau shapes should yield identical physics, just like the two initial Calabi-Yau shapes from which they evolved. (This way of phrasing the problem avoids doing any of the very difficult calculations involving the upper Calabi-Yau shape just when it tears.) It turns out, though, that calculating the physics associated with the final Calabi-Yau shape in the upper row is pretty straightforward. The real difficulty in carrying out this program lies in first figuring out the precise shape of the final Calabi-Yau space in the lower row of Figure 11.5-the putative mirror of the upper Calabi-Yau-and then in extracting the associated physics.
+A procedure for accomplishing the second task-extracting the physical features of the final Calabi-Yau space in the lower row, once its shape was precisely known-had been worked out a few years earlier by Candelas. His approach, however, was calculationally intensive and we realized that it would require a clever computer program to carry it out in our explicit example. Aspinwall, who in addition to being a renowned physicist is a crackerjack programmer, took on this task. Morrison and I set out to accomplish the first task, namely, to identify the precise shape of the candidate mirror Calabi-Yau space.
+It was here that we felt Batyrev's work could provide us some important clues. Once again, though, the cultural divide between mathematics and physics-in this case, between Morrison and me-started to impede progress. We needed to join the power of the two fields to find the mathematical form of the lower Calabi-Yau shapes that should correspond to the same physical universe as the upper Calabi-Yau shapes, if flop tears are within nature's repertoire. But neither of us was sufficiently conversant in the other's language to see clear to reaching this end. It became obvious to both of us that we needed to bite the bullet: Each of us needed to take a crash course in the other's field of expertise. And so, we decided to spend our days pushing forward as best we could on the calculation, while spending evenings being both professor and student in a class of one: I would lecture to Morrison for an hour or two on the relevant physics; he would then lecture to me for an hour or two on the relevant mathematics. School would typically let out at about 11 P.M.
+We stuck to the program, day in and day out. Progress was slow, but we could sense that things were starting to fall into place. Meanwhile, Witten was making significant headway on reformulating the weak link he had earlier identified. His work was establishing a new and more powerful method of translation between the physics of string theory and the mathematics of the Calabi-Yau spaces. Aspinwall, Morrison, and I had almost daily impromptu meetings with Witten at which he would show us new insights following from his approach. As the weeks went by, it gradually became clear that unexpectedly, his work, from a vantage point completely different from our own, was converging on the issue of flop transitions. Aspinwall, Morrison, and I realized that if we didn't complete our calculation soon, Witten would beat us to the punch.
+Of Six-Packs and Working Weekends
+Nothing focuses the mind of a physicist like a healthy dose of competition. Aspinwall, Morrison, and I went into high gear. It's important to note that this meant one thing to Morrison and me, and quite another to Aspinwall. Aspinwall is a curious mixture of upper-class British sensibility, largely a reflection of the decade he spent at Oxford as both an undergraduate and a graduate student, infused ever so slightly with a prankster's roguishness. As far as work habits go, he is perhaps the most civilized physicist I know. While many of us work deep into the evening, he never works past 5 P.M. While many of us work weekends, Aspinwall does not. He gets away with this because he is both sharp and efficient. Going into high gear for him merely amounts to notching up his efficiency level to even greater heights.
+By this time, it was early December. Morrison and I had been lecturing to one another for several months and it was starting to pay off. We were very close to being able to identify the precise shape of the Calabi-Yau space we were seeking. Moreover, Aspinwall had just about finished his computer code, and he now awaited our result, which would be the required input for his program. It was a Thursday night when Morrison and I finally had confidence that we knew how to identify the sought-after Calabi-Yau shape. That, too, boiled down to a procedure that required its own, fairly simple, computer code. By Friday afternoon we had written the program and debugged it; by late Friday night we had our result.
+But it was after 5 P.M. and it was Friday. Aspinwall had gone home and would not return until Monday. There was nothing we could do without his computer code. Neither Morrison nor I could imagine waiting out the whole weekend. We were on the verge of answering the long-pondered question of spatial tears in the fabric of the cosmos, and the suspense was too much to bear. We called Aspinwall at home. At first he refused to come to work the next morning as we asked. But then, after much groaning, he consented to join us, as long as we bought him a six-pack of beer. We agreed.
+A Moment of Truth
+We all met at the Institute Saturday morning as planned. It was a bright sunny morning, and the atmosphere was jokingly relaxed. I, for one, half expected that Aspinwall would not show up; once he did, I spent 15 minutes extolling the import of this first weekend he had come into the office. He assured me it wouldn't happen again.
+We all huddled around Morrison's computer in the office he and I shared. Aspinwall told Morrison how to bring his program up on the screen and showed us the precise form for the required input. Morrison appropriately formatted the results we had generated the previous night, and we were set to go.
+The particular calculation we were performing amounts, roughly speaking, to determining the mass of a certain particle species-a specific vibrational pattern of a string-when moving through a universe whose Calabi-Yau component we had spent all fall identifying. We hoped, in line with the strategy discussed earlier, that this mass would agree identically with a similar calculation done on the Calabi-Yau shape emerging from the space-tearing flop transition. The latter was the relatively easy calculation, and we had completed it weeks before; the answer turned out to be 3, in the particular units we were using. Since we were now doing the purported mirror calculation numerically on a computer, we expected to get something extremely close to but not exactly 3, something like 3.000001 or 2.999999, with the tiny difference arising from rounding errors.
+Morrison sat at the computer with his finger hovering over the enter button. With the tension mounting he said, "Here goes," and set the calculation in motion. In a couple of seconds the computer returned its answer: 8.999999. My heart sank. Could it be that space-tearing flop transitions shatter the mirror relation, likely indicating that they cannot actually occur? Almost immediately, though, we all realized that something funny must be going on. If there was a real mismatch in the physics following from the two shapes, it was extremely unlikely that the computer calculation should yield an answer so close to a whole number. If our ideas were wrong, there was no reason in the world to expect anything but a random collection of digits. We had gotten a wrong answer, but one that suggested, perhaps, that we had just made some simple arithmetic error. Aspinwall and I went to the blackboard, and in a moment we found our mistake: we had dropped a factor of 3 in the "simpler" calculation we had done weeks before; the true result was 9. The computer answer was therefore just what we wanted.
+Of course, the after-the-fact agreement was only marginally convincing. When you know the answer you want, it is often all too easy to figure out a way of getting it. We needed to do another example. Having already written all of the necessary computer code, this was not hard to do. We calculated another particle mass on the upper Calabi-Yau shape, being careful this time to make no errors. We found the answer: 12. Once again, we huddled around the computer and set it on its way. Seconds later it returned 11.999999. Agreement. We had shown that the supposed mirror is the mirror, and hence space-tearing flop transitions are part of the physics of string theory.
+At this I jumped out of my chair and ran an unrestrained victory lap around the office. Morrison beamed from behind the computer. Aspinwall's reaction, though, was rather different. "That's great, but I knew it would work," he calmly said. "And where's my beer?"
+Witten's Approach
+That Monday, we triumphantly went to Witten and told him of our success. He was very pleased with our result. And, as it turned out, he too had just found a way of establishing that flop transitions occur in string theory. His argument was quite different from ours, and it significantly illuminates the microscopic understanding of why the spatial tears do not have any catastrophic consequences.
+His approach highlights the difference between a point-particle theory and string theory when such tears occur. The key distinction is that there are two types of string motion near the tear, but only one kind of point-particle motion. Namely, a string can travel adjacent to the tear, like a point particle does, but it can also encircle the tear as it moves forward, as illustrated in Figure 11.6. In essence, Witten's analysis reveals that strings which encircle the tear, something that cannot happen in a point-particle theory, shield the surrounding universe from the catastrophic effects that would otherwise be encountered. It's as if the world-sheet of the string-recall from Chapter 6 that this is a two-dimensional surface that a string sweeps out as it moves through space-provides a protective barrier that precisely cancels out the calamitous aspects of the geometrical degeneration of the spatial fabric.
+You might well ask, What if such a tear should occur, and it just so happens that there are no strings in the vicinity to shield it? Moreover, you might also be concerned that at the instant in time that a tear occurs, a string-an infinitely thin loop-would provide as effective a barrier as shielding yourself from a cluster bomb by hiding behind a hula hoop. The resolution to both of these issues relies on a central feature of quantum mechanics that we discussed in Chapter 4. There we saw that in Feynman's formulation of quantum mechanics, an object, be it a particle or a string, travels from one location to another by "sniffing out" all possible trajectories. The resulting motion that is observed is a combination of all possibilities, with the relative contributions of each possible trajectory precisely determined by the mathematics of quantum mechanics. Should a tear in the fabric of space occur, then among the possible trajectories of travelling strings are those that encircle the tear-trajectories such as those in Figure 11.6. Even if no strings seem to be near the tear when it occurs, quantum mechanics takes account of physical effects from all possible string trajectories and among these are numerous (infinite, in fact) protective paths that encircle the tear. It is these contributions that Witten showed precisely to cancel out the cosmic calamity that the tear would otherwise create.
+In January 1993, Witten and the three of us released our papers simultaneously to the electronic Internet archive through which physics papers are immediately made available worldwide. The two papers described, from our widely different perspectives, the first examples of topology-changing transitions-the technical name for the space-tearing processes we had found. The long-standing question about whether the fabric of space can tear had been settled quantitatively by string theory.
+Consequences
+We have made much of the realization that spatial tears can occur without physical calamity But what does happen when the spatial fabric rips? What are the observable consequences? We have seen that many properties of the world around us depend upon the detailed structure of the curled-up dimensions. And so, you would think that the fairly drastic transformation from one Calabi-Yau to another as shown in Figure 11.5, would have a significant physical impact. In fact, though, the lower-dimensional drawings that we use to visualize the spaces make the transformation appear to be somewhat more complicated than it actually is. If we could visualize six-dimensional geometry, we would see that, yes, the fabric is tearing, but it does so in a fairly mild way. It's more like the handiwork of a moth on wool than that of a deep knee bend on shrunken trousers.
+Our work and that of Witten show that physical characteristics such as the number of families of string vibrations and the types of particles within each family are unaffected by these processes. As the Calabi-Yau space evolves through a tear, what can be affected are the precise values of the masses of the individual particles-the energies of the possible patterns of string vibrations. Our papers showed that these masses will vary continuously in response to the changing geometrical form of the Calabi-Yau component of space, some going up while others go down. Of primary importance, though, is the fact that there is no catastrophic jump, spike, or any unusual feature of these varying masses as the tear actually occurs. From the point of view of physics, the moment of tearing has no distinguishing characteristics.
+This point raises two issues. First, we have focused on tears in the spatial fabric that occur in the extra six-dimensional Calabi-Yau component of the universe. Can such tears also occur in the more familiar three extended spatial dimensions? The answer, almost certainly, is yes. After all, space is space-regardless of whether it is tightly curled up into a Calabi-Yau shape or is unfurled into the grand expanse of the universe we perceive on a clear, starry night. In fact, we have seen earlier that the familiar spatial dimensions might themselves actually be curled up into the form of a giant shape that curves back on itself, way on the other side of the universe, and that therefore even the distinction between which dimensions are curled up and which are unfurled is somewhat artificial. Although our and Witten's analyses did rely on special mathematical features of Calabi-Yau shapes, the result-that the fabric of space can tear-is certainly of wider applicability.
+Second, could such a topology-changing tear happen today or tomorrow? Could it have happened in the past? Yes. Experimental measurements of elementary particle masses show their values to be quite stable over time. But if we head back to the earliest epochs following the big bang, even non-string-based theories invoke important periods during which elementary particle masses do change over time. These periods, from a string-theoretic perspective, could certainly have involved the topology-changing tears discussed in this chapter. Closer to the present, the observed stability of elementary particle masses implies that if the universe is currently undergoing a topology-changing spatial tear, it must be doing it exceedingly slowly-so slowly that its effect on elementary particle masses is smaller than our present experimental sensitivity. Remarkably, so long as this condition is met, the universe could currently be in the midst of a spatial rupture. If it were occurring slowly enough, we would not even know it was happening. This is one of those rare instances in physics in which the lack of a striking observable phenomenon is cause for great excitement. The absence of an observable calamitous consequence from such an exotic geometrical evolution is testament to how far beyond Einstein's expectations string theory has gone.
+
+Chapter 12
+Beyond Strings: In Search of M-Theory
+In his long search for a unified theory, Einstein reflected on whether "God could have made the Universe in a different way; that is, whether the necessity of logical simplicity leaves any freedom at all."1
+With this remark, Einstein articulated the nascent form of a view that is currently shared by many physicists: If there is a final theory of nature, one of the most convincing arguments in support of its particular form would be that the theory couldn't be otherwise. The ultimate theory should take the form that it does because it is the unique explanatory framework capable of describing the universe without running up against any internal inconsistencies or logical absurdities. Such a theory would declare that things are the way they are because they have to be that way. Any and all variations, no matter how small, lead to a theory that-like the phrase "This sentence is a lie"-sows the seeds of its own destruction.
+Establishing such inevitability in the structure of the universe would take us a long way toward coming to grips with some of the deepest questions of the ages. These questions emphasize the mystery surrounding who or what made the seemingly innumerable choices apparently required to design our universe. Inevitability answers these questions by erasing the options. Inevitability means that, in actuality, there are no choices. Inevitability declares that the universe could not have been different. As we will discuss in Chapter 14, nothing ensures that the universe is so tightly constructed. Nevertheless, the pursuit of such rigidity in the laws of nature lies at the heart of the unification program in modern physics.
+By the late 1980s, it appeared to physicists that although string theory came close to providing a unique picture of the universe, it did not quite make the grade. There were two reasons for this. First, as briefly noted in Chapter 7, physicists found that there were actually five different versions of string theory. You may recall that they are called the Type I, Type IIA, Type IIB, Heterotic O(32) (Heterotic-O, for short), and Heterotic E8 × E8 (Heterotic-E, for short) theories. They all share many basic features-their vibrational patterns determine the possible mass and force charges, they require a total of 10 spacetime dimensions, their curled-up dimensions must be in one of the Calabi-Yau shapes, etc.-and for this reason we have not emphasized their differences in previous chapters. Nevertheless, analyses in the 1980s showed that they do differ. You can read more about their properties in the endnotes, but it's enough to know that they differ in how they incorporate supersymmetry as well as in significant details of the vibrational patterns they support.2 (Type I string theory, for example, has open strings with two loose ends in addition to the closed loops we have focused on.) This has been an embarrassment for string theorists because although it's impressive to have a serious proposal for the final unified theory, having five proposals takes significant wind from the sails of each.
+The second deviation from inevitability is more subtle. To fully appreciate it, you must recognize that all physical theories consist of two parts. The first part is the collection of fundamental ideas of the theory, which are usually expressed by mathematical equations. The second part of a theory comprises the solutions to its equations. Generally speaking, some equations have one and only one solution while others have more than one solution (possibly many more). (For a simple example, the equation "2 times a particular number equals 10″ has one solution: 5. But the equation "0 times a particular number equals 0″ has infinitely many solutions, since 0 times any number is 0.) And so, even if research leads to a unique theory with unique equations, it might be that inevitability is compromised because the equations have many different possible solutions. By the late 1980s, it appeared that this was the case with string theory. When physicists studied the equations of any one of the five string theories, they found that they do have many solutions-for example, many different possible ways to curl up the extra dimensions-with each solution corresponding to a universe with different properties. Most of these universes, although emerging as valid solutions to the equations of string theory, appear to be irrelevant to the world as we know it.
+These deviations from inevitability might seem to be unfortunate fundamental characteristics of string theory. But research since the mid-1990s has given us dramatic new hope that these features may be merely reflections of the way string theorists have been analyzing the theory. Briefly put, the equations of string theory are so complicated that no one knows their exact form. Physicists have managed to write down only approximate versions of the equations. It is these approximate equations that differ significantly from one string theory to the next. And it is these approximate equations, within the context of any one of the five string theories, that give rise to an abundance of solutions, a cornucopia of unwanted universes.
+Since 1995 (the start of the second superstring revolution), there has been a growing body of evidence that the exact equations, whose precise form is still beyond our reach, may resolve these problems, thereby helping to give string theory the stamp of inevitability. In fact, it has already been established to the satisfaction of most string theorists that, when the exact equations are understood, they will show that all five string theories are actually intimately related. Like the appendages on a starfish, they are all part of one connected entity whose detailed properties are currently under intense investigation. Rather than having five distinct string theories, physicists are now convinced that there is one theory that sews all five into a unique theoretical framework, And like the clarity that emerges when hitherto hidden relationships are revealed, this union is providing a powerful new vantage point for understanding the universe according to string theory.
+To explain these insights we must engage some of the most difficult, cutting-edge developments in string theory. We must understand the nature of the approximations used in studying string theory and their inherent limitations. We must gain some familiarity with the clever techniques-collectively called dualities-that physicists have invoked to circumvent some of these approximations. And then we must follow the subtle reasoning that makes use of these techniques to find the remarkable insights alluded to above. But don't worry. The really hard work has already been done by string theorists and we will content ourselves here with explaining their results.
+Nevertheless, as there are many seemingly separate pieces that we must develop and assemble, in this chapter it is especially easy to lose the forest for the trees. And so, if at any time in this chapter the discussion gets a little too involved and you feel compelled to rush on to black holes (Chapter 13) or cosmology (Chapter 14), take a quick glance back at the following section, which summarizes the key insights of the second superstring revolution.
+A Summary of the Second Superstring Revolution
+The primary insight of the second superstring revolution is summarized by Figures 12.1 and 12.2. In Figure 12.1 we see the situation prior to the recent ability to go (partially) beyond the approximation methods physicists have traditionally used to analyze string theory. We see that the five string theories were thought of as being completely separate. But, with the newfound insights emerging from recent research, as indicated in Figure 12.2, we see that, like the starfish's five arms, all of the string theories are now viewed as a single, all-encompassing framework. (In fact, by the end of this chapter we will see that even a sixth theory-a sixth arm-will be merged into this union.) This overarching framework has provisionally been called M-theory, for reasons that will become clear as we proceed. Figure 12.2 represents a landmark achievement in the quest for the ultimate theory~ Seemingly disconnected threads of research in string theory have now been woven together into a single tapestry-a unique, all-encompassing theory that may well be the long-sought theory of everything.
+Although much work remains to be done, there are two essential features of M-theory that physicists have already uncovered. First, M-theory has eleven dimensions (ten space and one time). Somewhat as Kaluza found that one additional spatial dimension allowed for an unexpected merger of general relativity and electromagnetism, string theorists have realized that one additional spatial dimension in string theory-beyond the nine space and one time dimensions discussed in preceding chapters-allows for a deeply satisfying synthesis of all five versions of the theory. Moreover, this extra spatial dimension is not pulled out of thin air; rather, string theorists have realized that the reasoning of the 1970s and 1980s that led to one time and nine space dimensions was approximate, and that exact calculations, which can now be completed, show that one spatial dimension had hitherto been overlooked.
+The second feature of M-theory that has been discovered is that it contains vibrating strings, but it also includes other objects: vibrating two-dimensional membranes, undulating three-dimensional blobs (called "three-branes"), and a host of other ingredients as well. As with the eleventh dimension, this feature of M-theory emerges when calculations are freed from reliance on the approximations used prior to the mid-1990s.
+Beyond these and a variety of other insights attained over the last few years, much of the true nature of M-theory remains mysterious-one suggested meaning for the "M." Physicists worldwide are working with great vigor to acquire a full understanding of M-theory, and this may well constitute the central problem of twenty-first-century physics.
+An Approximation Method
+The limitations of the methods physicists have been using to analyze string theory are bound up with something called perturbation theory. Perturbation theory is an elaborate name for making an approximation to try to give a rough answer to a question, and then systematically improving this approximation by paying closer attention to fine details initially ignored. It plays an important part in many areas of scientific research, has been an essential element in understanding string theory, and, as we now illustrate, is also something we encounter frequently in our day-to-day lives.
+Imagine that one day your car is acting up, so you go see a mechanic to have it checked out. After giving your car a once-over, he gives you the bad news. The car needs a new engine block, for which parts and labor typically run in the $900 range. This is a ballpark approximation that you expect to be refined as the finer details of the work required become apparent. A few days later, having had time to run additional tests on the car, the mechanic gives you a more precise estimate, $950. He explains that you also need a new regulator, which with parts and labor costs about $50. Finally, when you go to pick up the car, he has added together all of the detailed contributions and presents you with a bill of $987.93. This, he explains, includes the $950 for the engine block and regulator, an additional $27 covering a fan belt, $10 for a battery cable, and $.93 for an insulated bolt. The initial approximate figure of $900 has been refined by including more and more details. In physics terms, these details are referred to as perturbations to the initial estimate.
+When perturbation theory is properly and effectively applied, the initial estimate will be reasonably close to the final answer; when incorporated, the fine details ignored in the initial estimate make small differences in the final result. But sometimes when you go to pay a final bill it is shockingly different from the initial estimate. Although you might use other, more emotive terms, technically this is called a failure of perturbation theory. This means that the initial approximation was not a good guide to the final answer because the "refinements," rather than causing relatively small deviations, resulted in large changes to the ballpark estimate.
+As indicated briefly in earlier chapters, our discussion of string theory to this point has relied on a perturbative approach somewhat analogous to that used by the mechanic. The "incomplete understanding" of string theory that we have referred to from time to time has its roots, in one way or another, in this approximation method. Let's build up to an understanding of this important remark by discussing perturbation theory in a context that is less abstract than string theory but closer to its string theory application than the example of the mechanic.
+A Classical Example of Perturbation Theory
+Understanding the motion of the earth through the solar system provides a classic example of using a perturbative approach. On such large distance scales, we need consider only the gravitational force, but unless further approximations are made, the equations encountered are extremely complicated. Remember that according to both Newton and Einstein, everything exerts a gravitational influence on everything else, and this quickly leads to a complex and mathematically intractable gravitational tug-of-war involving the earth, the sun, the moon, the other planets, and, in principle, all other heavenly bodies as well. As you can imagine, it is impossible to take all of these influences into account and determine the exact motion of the earth. In fact, even if there were only three heavenly participants, the equations become so complicated that no one has been able to solve them in full.3
+Nevertheless, we can predict the motion of the earth through the solar system with great accuracy by making use of a perturbative approach. The enormous mass of the sun, in comparison to that of every other member of our solar system, and its proximity to the earth, in comparison to that of every other star, makes it by far the dominant influence on the earth's motion. And so, we can get a ballpark estimate by considering only the sun's gravitational influence. For many purposes this is perfectly adequate. If necessary, we can refine this approximation by sequentially including the gravitational effects of the next-most-relevant bodies, such as the moon and whichever planets are passing closest by at the moment. The calculations can start to become difficult as the emerging web of gravitational influences gets complicated, but don't let this obscure the perturbative philosophy: The sun-earth gravitational interaction gives us an approximate explanation of the earth's motion, while the remaining complex of other gravitational influences offers a sequence of ever smaller refinements.
+A perturbative approach works in this example because there is a dominant physical influence that admits a relatively simple theoretical description. This is not always the case. For example, if we are interested in the motion of three comparable-mass stars orbiting one another in a trinary system, there is no single gravitational relationship whose influence dwarfs the others. Correspondingly, there is no single dominant interaction that provides a ballpark estimate, with the other effects yielding small refinements. If we tried to use a perturbative approach by, say, singling out the gravitational attraction between two stars and using it to determine our ballpark approximation, we would quickly find that our approach had failed. Our calculations would reveal that the "refinement" to the predicted motion arising from the inclusion of the third star is not small, but in fact is as significant as the supposed ballpark approximation. This is familiar: The motion of three people dancing the hora bears little resemblance to two people dancing the tango. A large refinement means that the initial approximation was way off the mark and the whole scheme was built on a house of cards. You should note that it is not simply a matter of including the large refinement due to the third star. There is a domino effect: The large refinement has a significant impact on the motion of the other two stars, which in turn has a large impact on the motion of the third star, which then has a substantial impact on the other two, and so on. All strands in the gravitational web are equally important and must be dealt with simultaneously. Oftentimes, in such cases, our only recourse is to make use of the brute power of computers to simulate the resulting motion.
+This example highlights the importance, when using a perturbative approach, of determining whether the supposedly ballpark estimate really is in the ballpark, and if it is, which and how many of the finer details must be included in order to achieve a desired level of accuracy. As we now discuss, these issues are particularly crucial for applying perturbative tools to physical processes in the microworld.
+A Perturbative Approach to String Theory
+Physical processes in string theory are built up from the basic interactions between vibrating strings. As we discussed toward the end of Chapter 6,* these interactions involve the splitting apart and joining together of string loops, such as in Figure 6.7, which we reproduce in Figure 12.3 for convenience. String theorists have shown how a precise mathematical formula can be associated with the schematic portrayal of Figure 12.3-a formula that expresses the influence that each incoming string has on the resulting motion of the other. (The details of the formula differ among the five string theories, but for the time being we will ignore such subtle features.) If it weren't for quantum mechanics, this formula would be the end of the story of how the strings interact. But the microscopic frenzy dictated by the uncertainty principle implies that string/antistring pairs (two strings executing opposite vibrational patterns) can momentarily erupt into existence, borrowing energy from the universe, so long as they annihilate one another with sufficient haste, thereby repaying the energy loan. Such pairs of strings, born of the quantum frenzy but which live on borrowed energy and hence must shortly recombine into a single loop, are known as virtual string pairs. And even though it is only momentary, the transient presence of these additional virtual string pairs affects the detailed properties of the interaction.
+*Those readers who skipped over the "More Precise Answer" section of Chapter 6 might find it helpful to skim the beginning part of that section.
+This is schematically depicted in Figure 12.4. The two initial strings slam together at the point marked (a), where they merge together into a single loop. This loop travels a bit, but at (b) frenzied quantum fluctuations result in the creation of a virtual string pair that travels along and then subsequently annihilates at (c), producing, once again, a single string. Finally, at (d), this string gives up its energy by dissociating into a pair of strings that head off in new directions. Because of the single loop in the center of Figure 12.4, physicists call this a "one-loop" process. As with the interaction depicted in Figure 12.3, a precise mathematical formula can be associated with this diagram to summarize the effect the virtual string pair has on the motion of the two original strings.
+But that's not the end of the story either, because quantum jitters can cause momentary virtual string eruptions to occur any number of times, producing a sequence of virtual string pairs. This gives rise to diagrams with more and more loops, as illustrated in Figure 12.5. Each of these diagrams provides a handy and simple way of depicting the physical processes involved: The incoming strings merge together, quantum jitters cause the resulting loop to split apart into a virtual string pair, these travel along and then annihilate one another by merging together into a single loop, which travels along and produces another virtual string pair, and on and on. As with the other diagrams, there is a corresponding mathematical formula for each of these processes that summarizes the effect on the motion of the original pair of strings.4
+Moreover, just as the mechanic determined your final car-repair bill through a refinement of his original estimate of $900 by adding to it $50, $27, $10, and $.93, and just as we arrived at an ever more precise understanding of the motion of the earth through a refinement of the sun's influence by including the smaller effects of the moon and other planets, string theorists have shown that we can understand the interaction between two strings by adding together the mathematical expressions for diagrams with no loops (no virtual string pairs), with one loop (one pair of virtual strings), with two loops (two pairs of virtual strings), and so forth, as illustrated in Figure 12.6.
+An exact calculation requires that we add together the mathematical expressions associated with each of these diagrams, with an increasingly large number of loops. But, since there are an infinite number of such diagrams and the mathematical calculations associated with each get increasingly difficult as the number of loops grows, this is an impossible task. Instead, string theorists have cast these calculations into a perturbative framework based on the expectation that a reasonable ballpark estimate is given by the zero-loop processes, with the loop diagrams resulting in refinements that get smaller as the number of loops increases.
+In fact, almost everything we know about string theory-including much of the material covered in previous chapters-has been discovered by physicists performing detailed and elaborate calculations using this perturbative approach. But to trust the accuracy of the results found, one must determine whether the supposedly ballpark approximations that ignore all but the first few diagrams in Figure 12.6 are really in the ballpark. This leads us to ask the crucial question: Are we in the ballpark?
+Is the Ballpark in the Ballpark?
+It depends. Although the mathematical formula associated with each diagram becomes very complicated as the number of loops grows, string theorists have recognized one basic and essential feature. Somewhat as the strength of a rope determines the likelihood that vigorous pulling and shaking will cause it to tear into two pieces, there is a number that determines the likelihood that quantum fluctuations will cause a single string to split into two strings, momentarily yielding a virtual pair. This number is known as the string coupling constant (more precisely, each of the five string theories has its own string coupling constant, as we will discuss shortly). The name is quite descriptive: The size of the string coupling constant describes how strongly the quantum jitters of three strings (the initial loop and the two virtual loops into which it splits) are related-how tightly, so to speak, they are coupled to one another. The calculational formalism shows that the larger the string coupling constant, the more likely it is that quantum jitters will cause an initial string to split apart (and subsequently rejoin); the smaller the string coupling constant, the less likely it is for such virtual strings to erupt momentarily into existence.
+We will shortly take up the question of determining the value of the string coupling constant within any of the five string theories, but first, what do we really mean by "small" or "large" when assessing its size? Well, the mathematics underlying string theory shows that the dividing line between "small" and "large" is the number 1, in the following sense. If the string coupling constant has a value less than 1, then-like multiple strikes of lightning-larger numbers of virtual string pairs are increasingly unlikely to erupt momentarily into existence. If the coupling constant is 1 or greater, however, it is increasingly likely that ever-larger numbers of such virtual pairs will momentarily burst on the scene.5 The upshot is that if the string coupling constant is less than 1, the loop diagram contributions become ever smaller as the number of loops grows. This is just what is needed for the perturbative framework, since it indicates that we will get reasonably accurate results even if we ignore all processes except for those with just a few loops. But if the string coupling constant is not less than 1, the loop diagram contributions become more important as the number of loops increases. As in the case of a trinary star system, this invalidates a perturbative approach. The supposed ballpark approximation-the process with no loops-is not in the ballpark. (This discussion applies equally well to each of the five string theories-with the value of the string coupling constant in any given theory determining the efficacy of the perturbative approximation scheme.)
+This realization leads us to the next crucial question: What is the value of the string coupling constant (or, more precisely, what are the values of the string coupling constants in each of the five string theories)? At present, no one has been able to answer this question. It is one of the most important unresolved issues in string theory We can be sure that conclusions based on a perturbative framework are justified only if the string coupling constant is less than 1. Moreover, the precise value of the string coupling constant has a direct impact on the masses and charges carried by the various string vibrational patterns. Thus, we see that much physics hinges on the value of the string coupling constant. And so, let's take a closer look at why the important question of its value-in any of the five string theories-remains unanswered.
+The Equations of String Theory
+The perturbative approach for determining how strings interact with one another can also be used to determine the fundamental equations of string theory. In essence, the equations of string theory determine how strings interact and, conversely, the way strings interact directly determine the equations of the theory.
+As a prime example, in each of the five string theories there is an equation that is meant to determine the value of the theory's coupling constant. Currently, however, physicists have been able to find only an approximation to this equation, in each of the five string theories, by mathematically evaluating a small number of relevant string diagrams using a perturbative approach. Here is what the approximate equations say: In any of the five string theories, the string coupling constant takes on a value such that if it is multiplied by zero the result is zero. This is a terribly disappointing equation; since any number times zero yields zero, the equation can be solved with any value of the string coupling constant. Thus, in any of the five string theories, the approximate equation for its string coupling constant gives us no information about its value.
+While we are at it, in each of the five string theories there is another equation that is supposed to determine the precise form of both the extended and the curled-up spacetime dimensions. The approximate version of this equation that we currently have is far more restrictive than the one dealing with the string coupling constant, but it still admits many solutions. For instance, four extended spacetime dimensions together with any curled-up, six-dimensional Calabi-Yau space provide a whole class of solutions, but even this does not exhaust the possibilities, which also allow for a different split between the number of extended and curled-up dimensions.6
+What can we make of these results? There are three possibilities. First, starting with the most pessimistic possibility, although each string theory comes equipped with equations to determine the value of its coupling constant as well as the dimensionality and precise geometrical form of space time-something no other theory can claim-even the as-yet-unknown exact form of these equations may admit a vast spectrum of solutions, substantially weakening their predictive power. If true, this would be a setback, since the promise of string theory is that it will be able to explain these features of the cosmos, rather than require us to determine them from experimental observation and, more or less arbitrarily, insert them into the theory. We will return to this possibility in Chapter 15. Second, the unwanted flexibility in the approximate string equations may be an indication of a subtle flaw in our reasoning. We are attempting to use a perturbative approach to determine the value of the string coupling constant itself. But, as discussed, perturbative methods are sensible only if the coupling constant is less than 1, and hence our calculation may be making an unjustified assumption about its own answer-namely, that the result will be smaller than 1. Our failure could well indicate that this assumption is wrong and that, perhaps, the coupling in any one of the five string theories is greater than 1. Third, the unwanted flexibility may merely be due to our use of approximate rather than exact equations. For instance, even though the coupling constant in a given string theory might be less than 1, the equations of the theory may still depend sensitively on the contributions from all diagrams. That is, the accumulated small refinements from diagrams with ever more loops might be essential for modifying the approximate equations-which admit many solutions-into exact equations that are far more restrictive.
+By the early 1990s, the latter two possibilities made it clear to most string theorists that complete reliance on the perturbative framework was standing squarely in the way of progress. The next breakthrough, most everyone in the field agreed, would require a nonperturbative approach-an approach that was not shackled to approximate calculational techniques and could therefore reach well beyond the limitations of the perturbative framework. As of 1994, finding such a means seemed like a pipe dream. Sometimes, though, pipe dreams spill over into reality.
+Duality
+Hundreds of string theorists from around the world gather together annually for a conference devoted to recapping the past year's results and assessing the relative merit of various possible research directions. Depending on the state of progress in a given year, one can usually predict the level of interest and excitement among the participants. In the mid- 1980s, the heyday of the first superstring revolution, the meetings were filled with unrestrained euphoria. Physicists had widespread hope that they would shortly understand string theory completely, and that they would reveal it to be the ultimate theory of the universe. In retrospect this was naive. The intervening years have shown that there are many deep and subtle aspects of string theory that will undoubtedly take prolonged and dedicated effort to understand. The early, unrealistic expectations resulted in a backlash; when everything did not immediately fall into place, many researchers were crestfallen. The string conferences of the late 1980s reflected the low-level disillusionment-physicists presented interesting results, but the atmosphere lacked inspiration. Some even suggested that the community stop holding an annual strings conference. But things picked up in the early 1990s. Through various breakthroughs, some of which we have discussed in previous chapters, string theory was rebuilding its momentum and researchers were regaining their excitement and optimism. But very little presaged what happened at the strings conference in March 1995 at the University of Southern California.
+When his appointed hour to speak had arrived, Edward Witten strode to the podium and delivered a lecture that ignited the second superstring revolution. Inspired by earlier works of Duff, Hull, Townsend, and building on insights of Schwarz, the Indian physicist Ashok Sen, and others, Witten announced a strategy for transcending the perturbative understanding of string theory. A central part of the plan involves the concept of duality.
+Physicists use the term duality to describe theoretical models that appear to be different but nevertheless can be shown to describe exactly the same physics. There are "trivial" examples of dualities in which ostensibly different theories are actually identical and appear to be different only because of the way in which they happen to be presented. To someone who knows only English, general relativity might not immediately be recognized as Einstein's theory if presented in Chinese. A physicist fluent in both languages, though, can easily perform a translation from one to the other, establishing their equivalence. We call this example "trivial" because nothing is gained, from the point of view of physics, by such a translation. If someone who is fluent in English and Chinese were studying a difficult problem in general relativity, it would be equally challenging regardless of the language used to expressed it. A switch from English to Chinese, or vice versa, brings no new physical insight.
+Nontrivial examples of duality are those in which distinct descriptions of the same physical situation do yield different and complementary physical insights and mathematical methods of analysis. In fact, we have already encountered two examples of duality. In Chapter 10, we discussed how string theory in a universe that has a circular dimension of radius R can equally well be described as a universe with a circular dimension of radius 1/R. These are distinct geometrical situations that, through the properties of string theory, are actually physically identical. Mirror symmetry is a second example. Here two different Calabi-Yau shapes of the extra six spatial dimensions-universes that at first sight would appear to be completely distinct-yield exactly the same physical properties. They give dual descriptions of a single universe. Of crucial importance, unlike the case of English versus Chinese, there are important physical insights that follow from using these dual descriptions, such as a minimum size for circular dimensions and topology-changing processes in string theory.
+In his lecture at Strings '95, Witten gave evidence for a new, profound kind of duality. As briefly outlined at the beginning of this chapter, he suggested that the five string theories, although apparently different in their basic construction, are all just different ways of describing the same underlying physics. Rather than having five different string theories, then, we would simply have five different windows onto this single underlying theoretical framework.
+Before the developments of the mid-1990s, the possibility of such a grand version of duality was one of those wishful ideas that physicists might harbor, but about which they would rarely if ever speak, since it seems so outlandish. If two string theories differ with regard to significant details of their construction, it's hard to imagine how they could merely be different descriptions of the same underlying physics. Nonetheless, through the subtle power of string theory, there is mounting evidence that all five string theories are dual. And furthermore, as we will discuss, Witten gave evidence that even a sixth theory gets mixed into the stew.
+These developments are intimately entwined with the issues regarding the applicability of perturbative methods we encountered at the end of the preceding section. The reason is that the five string theories are manifestly different when each is weakly coupled-a term of the trade meaning that the coupling constant of a theory is less than 1. Because of their reliance on perturbative methods, physicists have been unable for some time to address the question of what properties any one of the string theories would have if its coupling constant should be larger than 1-the so-called strongly coupled behavior. The claim of Witten and others, as we now discuss, is that this crucial question can now be answered. Their results convincingly suggest that, together with a sixth theory we have yet to describe, the strong coupling behavior of any of these theories has a dual description in terms of the weak coupling behavior of another, and vice versa.
+To gain a more tangible sense of what this means, you might want to keep the following analogy in mind. Imagine two rather sheltered individuals. One loves ice but, strangely enough, has never seen water (in its liquid form). The other loves water but, equally strangely, has never seen ice. Through a chance meeting, they decide to team up for a camping trip in the desert. When they set out to leave, each is fascinated by the other's gear. The ice-lover is captivated by the water-lover's silky smooth transparent liquid, and the water-lover is strangely drawn to the remarkable solid crystal cubes brought by the ice-lover. Neither has any inkling that there is actually a deep relationship between water and ice; to them, they are two completely different substances. But as they head out into the scorching heat of the desert, they are shocked to find that the ice slowly begins to turn into water. And, in the frigid cold of the desert night, they are equally shocked to find that the liquid water slowly begins to turn into solid ice. They realize that these two substances-which they initially thought to be completely unrelated-are intimately connected.
+The duality among the five string theories is somewhat similar: Roughly speaking, the string coupling constants play a role analogous to temperature in our desert analogy. Like ice and water, any two of the five string theories, at first sight, appear to be completely distinct. But as we vary their respective coupling constants, the theories transmute among themselves. Just as ice transmutes into water as we raise its temperature, one string theory can transmute into another as we increase the value of its coupling constant. This takes us a long way toward showing that all of the string theories are dual descriptions of one single underlying structure-the analog of H2O for water and ice.
+The reasoning underlying these results relies almost entirely on the use of arguments rooted in principles of symmetry Let's discuss this.
+The Power of Symmetry
+Over the years, no one even attempted to study the properties of any of the five string theories for large values of their string coupling constants because no one had any idea how to proceed without the perturbative framework. However, during the late 1980s and early 1990s, physicists made slow but steady progress in identifying certain special properties-including certain masses and force charges-that are part of the strong-coupling physics of a given string theory, and yet are still within our ability to calculate. The calculation of these properties, which necessarily transcends the perturbative framework, has played a central role in driving the progress of the second superstring revolution and is firmly rooted in the power of symmetry.
+Symmetry principles provide insightful tools for understanding a great many things about the physical world. We have discussed, for instance, that the well-supported belief that the laws of physics do not treat any place in the universe or moment in time as special allows us to argue that the laws governing the here and now are the same ones at work everywhere and everywhen. This is a grandiose example, but symmetry principles can be equally important in less all-encompassing circumstances, For instance, if you witness a crime but were able to catch only a glimpse of the right side of the perpetrator's face, a police artist can nonetheless use your information to sketch the whole face. Symmetry is why. Although there are differences between the left and right sides of a person's face, most are symmetric enough that an image of one side can be flipped over to get a good approximation of the other.
+In each of these widely different applications, the power of symmetry is its ability to nail down properties in an indirect manner-something that is often far easier than a more direct approach. We could learn about fundamental physics in the Andromeda galaxy by going there, finding a planet around some star, building accelerators, and performing the kinds of experiments carried out on earth. But the indirect approach of invoking symmetry under changes of locale is far easier. We could also learn about features on the left side of the perpetrator's face by tracking him down and examining it. But it is often far easier to invoke the left-right symmetry of faces.7
+Supersymmetry is a more abstract symmetry principle that relates physical properties of elementary constituents that carry different amounts of spin. At best there are only hints from experimental results that the microworld incorporates this symmetry, but, for reasons discussed earlier, there is a strong belief that it does. It is certainly an integral part of string theory. In the 1990s, led by the pioneering work of Nathan Seiberg of the Institute for Advanced Study, physicists have realized that supersymmetry provides a sharp and incisive tool that can answer some very difficult and important questions by indirect means.
+Even without understanding intricate details of a theory, the fact that it has supersymmetry built in allows us to place significant constraints on the properties it can have. Using a linguistic analogy, imagine that we are told that a sequence of letters has been written on a slip of paper, that the sequence has exactly three occurrences, say, of the letter "y," and that the paper has been hidden within a sealed envelope. If we are given no further information, then there is no way that we can guess the sequence-for all we know it might be a random assortment of letters with three y's like mvcfojziyxidqfqzyycdi or any one of the infinitely many other possibilities. But imagine that we are subsequently given two further clues: The hidden sequence of letters spells out an English word and it has the minimum number of letters consistent with the first clue of having three y's. From the infinite number of letter sequences at the outset, these clues reduce the possibilities to one word-to the shortest English word containing three y's: syzygy.
+Supersymmetry supplies similar constraining clues for those theories that incorporate its symmetry principles. To get a feel for this, imagine that we are presented with a physics puzzle analogous to the linguistic puzzle just described. Hidden inside a box there is something-its identity is left unspecified-that has a certain force charge. The charge might be electric, magnetic, or any of the other generalizations, but to be concrete let's say it has three units of electric charge. Without further information, the identity of the contents cannot be determined. It might be three particles of charge 1, like positrons or protons; it might be four particles of charge 1 and one particle of charge -1 (like the electron), as this combination still has a net charge of three; it might be nine particles of charge one-third (like the up-quark) or it might be the same nine particles accompanied by any number of chargeless particles (such as photons). As was the case with the hidden sequence of letters when we only had the clue about the three y's, the possibilities for the contents of the box are endless.
+But let's now imagine that, as in the case of the linguistic puzzle, we are given two further clues: The theory describing the world-and hence the contents of the box-is supersymmetric, and the content of the box has the minimum mass consistent with the first clue of having three units of charge. Based on the insights of E. Bogomoln'yi, Manoj Prasad, and Charles Sommerfeld, physicists have shown that this specification of a tight organizational framework (the framework of supersymmetry, the analog of the English language) and a "minimality constraint" (minimum mass for a chosen amount of electric charge, the analog of a minimum word length for a chosen number of y's) implies that the identity of the hidden contents is nailed down uniquely. That is, merely by ensuring that the contents of the box is the lightest it could possibly be and still have the specified charge, physicists showed that its identity is fully established. Constituents of minimum mass for a chosen value of charge are known as BPS states, in honor of their three discoverers.8
+The important thing about BPS states is that their properties are uniquely, easily, and exactly determined without resort to a perturbative calculation. This is true regardless of the value of the coupling constants. That is, even if the string coupling constant is large, implying that the perturbative approach is invalid, we are still able to deduce the exact properties of the BPS configurations. The properties are often called nonperturbative masses and charges since their values transcend the perturbative approximation scheme. For this reason, you can also think of BPS as standing for "beyond perturbative states."
+The BPS properties exhaust only a small part of the full physics of a chosen string theory when its coupling constant is large, but they nonetheless give us a tangible grip on some of its strong coupling characteristics. As the coupling constant in a chosen string theory is increased beyond the realm accessible to perturbation theory, we anchor our limited understanding in the BPS states. Like a few choice words in a foreign tongue, we will find that they will take us quite far.
+Duality in String Theory
+Following Witten, let's start with one of the five string theories, say the Type I string, and imagine that all of its nine space dimensions are flat and unfurled. This, of course, is not at all realistic, but it makes the discussion simpler; we will return to curled-up dimensions shortly. We begin by assuming that the string coupling constant is much less than 1. In this case, perturbative tools are valid, and hence many of the detailed properties of the theory can and have been worked out with accuracy. If we increase the value of the coupling constant but still keep it a good deal less than 1, perturbative methods can still be used. The detailed properties of the theory will change somewhat-for instance, the numerical values associated with the scattering of one string off another will be a bit different because the multiple loop processes of Figure 12.6 make greater contributions when the coupling constant increases. But beyond these changes in detailed numerical properties, the overall physical content of the theory remains the same, so long as the coupling constant stays in the perturbative realm.
+As we increase the Type I string coupling constant beyond the value 1, perturbative methods become invalid and so we focus only on the limited set of nonperturbative masses and charges-the BPS states-that are still within our ability to understand. Here is what Witten argued, and later confirmed through joint work with Joe Polchinski of the University of California at Santa Barbara: These strong coupling characteristics of Type I string theory exactly agree with known properties of Heterotic-O string theory, when the latter has a small value for its string coupling constant. That is, when the coupling constant of the Type I string is large, the particular masses and charges that we know how to extract are precisely equal to those of the Heterotic-O string when its coupling constant is small. This gives us a strong indication that these two string theories, which at first sight, like water and ice, seem totally different, are actually dual. It persuasively suggests that the physics of the Type I theory for large values of its coupling constant is identical to the physics of the Heterotic-O theory for small values of its coupling constant. Related arguments gave equally persuasive evidence that the reverse is also true: The physics of the Type I theory for small values of its coupling constant is identical to that of the Heterotic-O theory for large values of its coupling constant.9 Although the two string theories appear to be unrelated when analyzed using the perturbative approximation scheme, we now see that each transforms into the other-somewhat like the transmutation between water and ice-as their coupling constants are varied in value.
+This central new kind of result, in which the strong coupling physics of one theory is described by the weak coupling physics of another theory, is known as strong-weak duality. As with the other dualities discussed previously, it tells us that the two theories involved are not actually distinct. Rather, they give two dissimilar descriptions of the same underlying theory. Unlike the English-Chinese trivial duality, strong-weak coupling duality is powerful. When the coupling constant of one member of a dual pair of theories is small, we can analyze its physical properties using well-developed perturbative tools. If the coupling constant of the theory is large, however, and thus the perturbative methods break down, we now know that we can use the dual description-a description in which the relevant coupling constant is small-and return to the use of perturbative tools. The translation has resulted in our having quantitative methods to analyze a theory we initially thought to be beyond our theoretical abilities.
+Actually proving that the strong coupling physics of the Type I string theory is identical to the weak coupling physics of the Heterotic-O theory, and vice versa, is an extremely difficult task that has not yet been achieved. The reason is simple. One member of the pair of the supposedly dual theories is not amenable to perturbative analysis, as its coupling constant is too big. This prevents direct calculations of many of its physical properties. In fact, it is precisely this point that makes the proposed duality so potent, for, if true, it provides a new tool for analyzing a strongly coupled theory: Use perturbative methods on its weakly coupled dual description.
+But even if we cannot prove that the two theories are dual, the perfect alignment between those properties we can extract with confidence provides extremely compelling evidence that the conjectured strong-weak coupling relationship between the Type I and Heterotic-O string theories is correct. In fact, increasingly clever calculations that have been performed to test the proposed duality have all resulted in positive results. Most string theorists are convinced that the duality is true.
+Following the same approach, one can study the strong coupling properties of another of the remaining string theories, say, the Type IIB string. As originally conjectured by Hull and Townsend and supported by the research of a number of physicists, something equally remarkable appears to occur. As the coupling constant of the Type IIB string gets larger and larger, the physical properties that we are still able to understand appear to match up exactly with that of the weakly coupled Type IIB string itself. In other words, the Type IIB string is self-dual.
+10
+Specifically, detailed analysis persuasively suggests that if the Type IIB coupling constant were larger than 1, and if we were to change its value to its reciprocal (whose value, therefore, is less than 1), the resulting theory is absolutely identical to the one we started with. Similar to what we found in trying to squeeze a circular dimension to a sub-Planck-scale length, if we try to increase the Type IIB coupling to a value larger than 1, the self-duality shows that the resulting theory is precisely equivalent to the Type IIB string with a coupling smaller than 1.
+A Summary, So Far
+Let's see where we are. By the mid-1980s, physicists had constructed five different superstring theories. In the approximation scheme of perturbation theory, they all appear to be distinct. But this approximation method is valid only if the string coupling constant in a given string theory is less than 1. The expectation has been that physicists should be able to calculate the precise value of the string coupling constant in any given string theory, but the form of the approximate equations currently available makes this impossible. For this reason, physicists aim to study each of the five string theories for a range of possible values of their respective coupling constants, both less than and greater than 1-i.e., both weak and strong coupling. But traditional perturbative methods give no insight into the strong coupling characteristics of any of the string theories.
+Recently, by making use of the power of supersymmetry, physicists have learned how to calculate some of the strong coupling properties of a given string theory. And to the surprise of most everyone in the field, the strong coupling properties of the Heterotic-O string appear to be identical to the weak coupling properties of the Type I string, and vice versa. Moreover, the strong coupling physics of the Type IIB string is identical to its own properties when its coupling is weak. These unexpected links encourage us to follow Witten and press on to the other two string theories, Type IIA and Heterotic-E, to see how they fit into the overall picture. Here we will find even more exotic surprises. To prepare ourselves, we need a brief historical digression.
+Supergravity
+In the late 1970s and early 1980s, before the surge of interest in string theory, many theoretical physicists sought a unified theory of quantum mechanics, gravity, and the other forces in the framework of point-particle quantum field theory. The hope was that the inconsistencies between point-particle theories involving gravity and quantum mechanics would be overcome by studying theories with a great deal of symmetry. In 1976 Daniel Freedman, Sergio Ferrara, and Peter Van Nieuwenhuizen, all then of the State University of New York at Stony Brook, discovered that the most promising were those involving supersymmetry, since the tendency of bosons and fermions to give cancelling quantum fluctuations helps to calm the violent microscopic frenzy. The authors coined the term supergravity to describe supersymmetric quantum field theories that try to incorporate general relativity. Such attempts to merge general relativity with quantum mechanics ultimately met with failure. Nevertheless, as mentioned in Chapter 8, there was a prescient lesson to be learned from these investigations, one that presaged the development of string theory.
+The lesson, which perhaps became most clear through the work of Eugene Cremmer, Bernard Julia, and Scherk, all of the Ecole Normale Supérieure in 1978, was that the attempts that came closest to success were supergravity theories formulated not in four dimensions, but in more. Specifically, the most promising were the versions calling for ten or eleven dimensions, with eleven dimensions, it turns out, being the maximal possible.11 Contact with four observed dimensions was accomplished in the framework, once again, of Kaluza and Klein: The extra dimensions were curled up. In the ten-dimensional theories, as in string theory, six dimensions were curled up, while seven were curled up for the eleven-dimensional theory.
+When string theory took physicists by storm in 1984, the perspective on point-particle supergravity theories changed dramatically. As emphasized repeatedly, if we examine a string with the precision available currently and for the foreseeable future, it looks like a point particle. We can make this informal remark precise: When studying low-energy processes in string theory-those processes that do not have enough energy to probe the ultramicroscopic, extended nature of the string-we can approximate a string by a structureless point particle, using the framework of point-particle quantum field theory. We cannot use this approximation when dealing with short-distance or high-energy processes because we know that the extended nature of the string is crucial to its ability to resolve the conflicts between general relativity and quantum mechanics that a point-particle theory cannot. But at low enough energies-large enough distances-these problems are not encountered, and such an approximation is often made for the sake of calculational convenience.
+The quantum field theory that most closely approximates string theory in this manner is none other than ten-dimensional supergravity. The special properties of ten-dimensional supergravity discovered in the 1970s and 1980s are now understood to be low-energy relics of the underlying power of string theory. Researchers studying ten-dimensional supergravity had uncovered the tip of a very deep iceberg-the rich structure of superstring theory. In fact, it turns out that there are four different ten-dimensional supergravity theories that differ in details regarding the precise way in which supersymmetry is incorporated. Three of these turn out to be the low-energy point-particle approximations to the Type IIA string, the Type IIB string, and the Heterotic-E string. The fourth gives the the low-energy point-particle approximation to both the Type I string and the Heterotic-O string; in retrospect, this was the first indication of the close connection between these two string theories.
+This is a very tidy story except that eleven-dimensional supergravity seems to have been left out in the cold. String theory, formulated in ten dimensions, appears to have no room for an eleven-dimensional theory. For a number of years, the general view held by most but not all string theorists was that eleven-dimensional supergravity was a mathematical oddity without any connection to the physics of string theory.12
+Glimmers of M-Theory
+The view now is very different. At Strings '95, Witten argued that if we start with the Type IIA string and increase its coupling constant from a value much less than 1 to a value much greater than 1, the physics we are still able to analyze (essentially that of the BPS saturated configurations) has a low-energy approximation that is eleven-dimensional supergravity.
+When Witten announced this discovery, it stunned the audience and it has since rocked the string theory community. For almost everyone in the field, it was a completely unexpected development. Your first reaction to this result may echo that of most experts in the field: How can a theory specific to eleven dimensions be relevant to a different theory in ten?
+The answer is of deep significance. To understand it, we must describe Witten's result more precisely. Actually, it's easier first to illustrate a closely related result discovered later by Witten and a postdoctoral fellow at Princeton University, Petr Hořava, that focuses on the Heterotic-E string. They found that the strongly coupled Heterotic-E string also has an eleven-dimensional description, and Figure 12.7 shows why. In the leftmost part of the figure, we take the Heterotic-E string coupling constant to be much smaller than 1. This is the realm that we have been describing in previous chapters and that string theorists have studied for well over a decade. As we move to the right in Figure 12.7, we sequentially increase the size of the coupling constant. Prior to 1995, string theorists knew that this would make the loop processes (see Figure 12.6) increasingly important and, as the coupling constant got larger, would ultimately invalidate the whole perturbative framework. But what no one suspected is that as the coupling constant is made larger, a new dimension becomes visible! This is the "vertical" dimension shown in Figure 12.7. Bear in mind that in this figure the two-dimensional grid with which we begin represents all nine spatial dimensions of the Heterotic-E string. Thus, the new, vertical dimension represents a tenth spatial dimension, which, together with time, takes us to a total of eleven spacetime dimensions.
+Moreover, Figure 12.7 illustrates a profound consequence of this new dimension. The structure of the Heterotic-E string changes as this dimension grows. It is stretched from a one-dimensional loop into a ribbon and then a deformed cylinder as we increase the size of the coupling constant! In other words, the Heterotic-E string is actually a two-dimensional membrane whose width (the vertical extent in Figure 12.7) is controlled by the size of the coupling constant. For over a decade, string theorists have always used perturbative methods that are firmly rooted in the assumption that the coupling constant is very small. As argued by Witten, this assumption has made the fundamental ingredients look and behave like one-dimensional strings even though they actually have a hidden, second spatial dimension. By relaxing the assumption that the coupling constant is very small and considering the physics of the Heterotic-E string when the coupling constant is large, the second dimension becomes manifest.
+This realization does not invalidate any of the conclusions we have drawn in previous chapters, but it does force us to see them within a new framework. For instance, how does this all mesh with the one time and nine space dimensions required by string theory? Well, recall from Chapter 8 that this constraint arises from counting the number of independent directions in which a string can vibrate, and requiring that this number be just right to ensure that quantum-mechanical probabilities have sensible values. The new dimension we have just uncovered is not one in which a Heterotic-E string can vibrate, since it is a dimension that is locked within the structure of the "strings" themselves. Put another way, the perturbative framework that physicists used in deriving the requirement of a ten-dimensional spacetime assumed from the outset that the Heterotic-E coupling constant is small. Although it was not recognized until much later, this implicitly enforced two mutually consistent approximations: that the width of the membrane in Figure 12.7 is small, making it look like a string, and that the eleventh dimension is so small that it is beyond the sensitivity of the perturbative equations. Within this approximation scheme, we are led to envision a ten-dimensional universe filled with one-dimensional strings. Now we see that this is but an approximation to an eleven-dimensional universe containing two-dimensional membranes.
+For technical reasons, Witten first came upon the eleventh dimension in his studies of the strong coupling properties of the Type I IA string, and there the story is quite similar. As in the Heterotic-E example, there is an eleventh dimension whose size is controlled by the Type IIA coupling constant. When its value is increased, the new dimension grows. As it does, Witten argued, the Type IIA string, rather than stretching into a ribbon as in the Heterotic-E case, expands into an "inner tube," as illustrated in Figure 12.8. Once again, Witten argued that although theorists have always viewed Type IIA strings as one-dimensional objects, having only length but no thickness, this view is a reflection of the perturbative approximation scheme in which the string coupling constant is assumed to be small. If nature does require a small value of this coupling constant then it is a trustworthy approximation. Nevertheless, Witten's arguments and those of other physicists during the second superstring revolution do give strong evidence that the Type IIA and Heterotic-E "strings" are, fundamentally, two-dimensional membranes living in an eleven-dimensional universe.
+But what is this eleven-dimensional theory? At low energies (low compared to the Planck energy), Witten and others argued, it is approximated by the long-neglected eleven-dimensional supergravity quantum field theory. But for higher energies, how can we describe this theory? This topic is currently under intense scrutiny. We know from Figures 12.7 and 12.8 that the eleven-dimensional theory contains two-dimensional extended objects-two-dimensional membranes. And as we shall soon discuss, extended objects of other dimensions play an important role as well. But beyond a hodgepodge of properties, no one knows what this eleven-dimensional theory is. Are membranes its fundamental ingredients? What are its defining properties? How does it purport to make contact with physics as we know it? If the respective coupling constants are small, our best current answers to these questions are described in previous chapters, since at small coupling constants we are led back to the theory of strings. But if the coupling constants are not small, no one currently knows the answers.
+Whatever the eleven-dimensional theory is, Witten has provisionally named it M-theory. The name stands for as many things as people you poll. Some samples: Mystery Theory, Mother Theory (as in "Mother of all Theories"), Membrane Theory (since, whatever it is, membranes seem to be part of the story), Matrix Theory (after some recent work by Tom Banks of Rutgers University, Willy Fischler of the University of Texas at Austin, Stephen Shenker of Rutgers University, and Susskind that offers a novel interpretation of the theory). But even without having a firm grasp on its name or its properties, it is already clear that M-theory provides a unifying substrate for pulling together all five string theories.
+M-Theory and the Web of Interconnections
+There is an old proverb about three blind men and an elephant. The first blind man grabs hold of the elephant's ivory tusk and describes the smooth, hard surface that he feels. The second blind man grabs hold of one of the elephant's legs. He describes the tough, muscular girth that he feels. The third blind man grabs hold of the elephant's tail and describes the slender and sinewy appendage that he feels. Since their mutual descriptions are so different, and since none of the men can see the others, each thinks that he has grabbed hold of a different animal. For many years, physicists were as much in the dark as the blind men, thinking that the different string theories were very different. But now, through the insights of the second superstring revolution, physicists have realized that M-theory is the unifying pachyderm of the five string theories.
+In this chapter we have discussed changes in our understanding of string theory that arise when we venture beyond the domain of the perturbative framework-a framework implicitly in use prior to this chapter. Figure 12.9 summarizes the interrelations we have found so far, with arrows to indicate dual theories. As you can see, we have a web of connections, but it is not yet complete. By also including the dualities of Chapter 10, we can finish the job.
+Recall the large/small circular radius duality that interchanges a circular dimension of radius R with one whose radius is 1/R. Previously, we glossed over one aspect of this duality, which we now must clarify. In Chapter 10, we discussed the properties of strings in a universe with a circular dimension without carefully specifying which of the five string formulations we were working with. We argued that the interchange of winding and vibration modes of a string allows us to rephrase exactly the string theoretic description of a universe with a circular dimension of radius 1/R in terms of one in which the radius is R. The point we glossed over is that the Type IIA and Type IIB string theories actually get exchanged by this duality, as do the Heterotic-O and Heterotic-E strings. That is, the more precise statement of the large/small radius duality is this: The physics of the Type IIA string in a universe with a circular dimension of radius R is absolutely identical to the physics of the Type IIB string in a universe with a circular dimension of radius 1/R (a similar statement holds for the Heterotic-E and Heterotic-O strings). This refinement of the large/small radius duality has no significant effect on the conclusions of Chapter 10, but it does have an important impact on the present discussion.
+The reason is that by providing a link between the Type IIA and Type IIB string theories, as well as between the Heterotic-O and Heterotic-E theories, the large/small radius duality completes the web of connections, as illustrated by the dotted lines in Figure 12.10. This figure shows that all five string theories, together with M-theory, are dual to one another. They are all sewn together into a single theoretical framework; they provide five different approaches to describing one and the same underlying physics. For some or other application, one phrasing may be far more effective than another. For instance, it's far easier to work with the weakly coupled Heterotic-O theory than it is to work with the strongly coupled Type I string. Nevertheless, they describe exactly the same physics.
+The Overall Picture
+We can now more fully understand the two figures-Figures 12.1 and 12.2-that we introduced in the beginning of this chapter to summarize the essential points. In Figure 12.1 we see that prior to 1995, without taking any dualities into account, we had five apparently distinct string theories. Various physicists worked on each, but without an understanding of the dualities they appeared to be different theories. Each of the theories had variable features such as the size of their coupling constant and the geometrical form and sizes of curled-up dimensions. The hope was (and still is) that these defining properties would be determined by the theory itself, but without the ability to determine them with the current approximate equations, physicists have naturally studied the physics that follows from a range of possibilities. This is represented in Figure 12.1 by the shaded regions-each point in such a region denotes one specific choice for the coupling constant and the curled-up geometry. Without invoking any dualities, we still have five disjointed (collections of) theories.
+But now, if we apply all of the dualities we have discussed, then as we vary the coupling and geometric parameters, we can pass from any one theory to any other, so long as we also include the unifying central region of M-theory; this is shown in Figure 12.2. Even though we have only a scant understanding of M-theory, these indirect arguments lend strong support to the claim that it provides a unifying substrate for our five naively distinct string theories. Moreover, we have learned that M-theory is closely related to yet a sixth theory-eleven-dimensional supergravity-and this is recorded in Figure 12.11, a more precise version of Figure 12.2.13
+Figure 12.11 illustrates that the fundamental ideas and equations of M-theory, although only partially understood at the moment, unify those of all of the formulations of string theory. M-theory is the theoretical elephant that has opened the eyes of string theorists to a far grander unifying framework.
+A Surprising Feature of M-Theory: Democracy in Extension
+When the string coupling constant is small in any of the upper five peninsular regions of the theory map in Figure 12.11, the fundamental ingredient of the theory appears to be a one-dimensional string. We have, however, just gained a new perspective on this observation. If we start in either the Heterotic-E or Type IIA regions and turn the value of the respective string coupling constants up, we migrate toward the center of the map in Figure 12.11, and what appeared to be one-dimensional strings stretch into two-dimensional membranes. Moreover, through a more or less intricate sequence of duality relations involving both the string coupling constants and the detailed form of the curled-up spatial dimensions, we can smoothly and continuously move from any point in Figure 12.11 to any other. Since the two-dimensional membranes we have come upon from the Heterotic-E and Type IIA perspectives can be followed as we migrate to any of the three other string formulations in Figure 12.11, we learn that each of the five string formulations involves two-dimensional membranes as well.
+This raises two questions. First, are two-dimensional membranes the true fundamental ingredient of string theory? And second, having made the bold leap in the 1970s and early 1980s from zero-dimensional point particles to one-dimensional strings, and having now seen that string theory actually involves two-dimensional membranes, might it be that there are even higher-dimensional ingredients in the theory as well? As of this writing, the answers to these questions are not fully known, but the situation appears to be the following.
+We relied heavily on supersymmetry to give us some understanding of each formulation of string theory beyond the domain of validity of perturbative approximation methods. In particular, the properties of BPS states, their masses and their force charges, are uniquely determined by supersymmetry, and this allowed us to understand some of their strongly coupled characteristics without having to perform direct calculations of unimaginable difficulty. In fact, through the initial efforts of Horowitz and Strominger, and through subsequent groundbreaking work of Polchinski, we now know even more about these BPS states. In particular, not only do we know their masses and the force charges they carry, but we also have a clear understanding of what they look like. And the picture is, perhaps, the most surprising development of all. Some of the BPS states are one-dimensional strings. Others are two-dimensional membranes. By now, these shapes are familiar. But, the surprise is that yet others are three-dimensional, four-dimensional-in fact, the range of possibilities encompasses every spatial dimension up to and including nine. String theory or M-theory, or whatever it is finally called, actually contains extended objects of a whole slew of different spatial dimensions. Physicists have coined the term three-brane to describe extended objects with three spatial dimensions, four-brane for those with four spatial dimensions, and so on up to nine-branes (and, more generally, for an object with p space dimensions, where p represents a whole number, physicists have coined the far from euphonious terminology p-brane). Sometimes, using this terminology, strings are described as one-branes, and membranes as two-branes. The fact that all of these extended objects are actually part of the theory has led Paul Townsend to declare a "democracy of branes."
+Notwithstanding brane democracy, strings-one-dimensional extended objects-are special for the following reason. Physicists have shown that the mass of the extended objects of every dimension except for one-dimensional strings is inversely proportional to the value of the associated string coupling constant when we are in any of the five string regions of Figure 12.11. This means that with weak string coupling, in any of the five formulations, all but the strings will be enormously massive-orders of magnitude heavier than the Planck mass. Because they are so heavy and, therefore, from E = mc
+2, require such unimaginably high energy to be produced, branes have only a small effect on much of physics (but not on all, as we shall see in the next chapter). However, when we venture outside the peninsular regions of Figure 12.11, the higher-dimensional branes become lighter and hence increasingly important.14
+And so, the image you should have in mind is the following. In the central region of Figure 12.11, we have a theory whose fundamental ingredients are not just strings or membranes, but rather "branes" of a variety of dimensions, all more or less on equal footing. Currently, we do not have a firm grasp on many essential features of this full theory. But one thing we do know is that as we move from the central region to any of the peninsular regions, only the strings (or membranes curled up to look ever more like strings, as in Figures 12.7 and 12.8) are light enough to make contact with physics as we know it-the particles of Table 1.1 and the four forces through which they interact. The perturbative analyses string theorists have made use of for close to two decades have not been refined enough to discover even the existence of the super-massive extended objects of other dimensions; strings dominated the analyses and the theory was given the far-from-democratic name of string theory. Again, in these regions of Figure 12.11 we are justified, for most considerations, in ignoring all but the strings. In essence, this is what we have done so far in this book. We see now, though, that in actuality the theory is more rich than anyone previously imagined.
+Does Any of This Solve the Unanswered Questions in String Theory?
+Yes and no. We have managed to deepen our understanding by breaking free of certain conclusions that, in retrospect, were a consequence of perturbative approximate analyses rather than true string physics. But the current scope of our nonperturbative tools is quite limited. The discovery of the remarkable web of duality relations affords us far greater insight into string theory, but many issues remain unresolved. At present, for example, we do not know how to go beyond the approximate equations for the value of the string coupling constant-equations that, as we have seen, are too coarse to give us any useful information. Nor do we have any greater insight into why there are precisely three extended spatial dimensions, or how to choose the detailed form for the curled-up dimensions. These questions require more sharply honed nonperturbative methods than we currently possess.
+What we do have is a far deeper understanding of the logical structure and theoretical reach of string theory. Prior to the realizations summarized in Figure 12.11, the strong coupling behavior of each string theory was a black box, a complete mystery. As on maps of old, the realm of strong coupling was uncharted territory, potentially filled with dragons and sea monsters. But now we see that although the journey to strong coupling may take us through unfamiliar regions of M-theory, it ultimately lands us back in the comfortable surrounds of weak coupling-albeit in the dual language of what was once thought to be a different string theory.
+Duality and M-theory unite the five string theories and they suggest an important conclusion. It may well be that there aren't other surprises, on par with the ones just discussed, that are awaiting our discovery. Once a cartographer can fill in every region on a spherical globe of the earth, the map is done and geographical knowledge is complete. That's not to say explorations in Antarctica or on an isolated island in Micronesia are without scientific or cultural merit. It only means that the age of geographic discovery is over. The absence of blank spots on the globe ensures this. The "theory map" of Figure 12.11 plays a similar role for string theorists. It covers the entire range of theories that can be reached by setting sail from any one of the five string constructions. Although we are far from a full understanding of the terra incognita of M-theory, there are no blank regions on the map. Like the cartographer, the string theorist can now claim with guarded optimism that the spectrum of logically sound theories incorporating the essential discoveries of the past century-special and general relativity; quantum mechanics; gauge theories of the strong, weak, and electromagnetic forces; supersymmetry; extra dimensions of Kaluza and Klein-is fully mapped out by Figure 12.11.
+The challenge to the string theorist-or perhaps we should say the M-theorist-is to show that some point on the theory map of Figure 12.11 actually describes our universe. To do this requires finding the full and exact equations whose solution will pick out this elusive point on the map, and then understanding the corresponding physics with sufficient precision to allow comparisons with experiment. As Witten has said, "Understanding what M-theory really is-the physics it embodies-would transform our understanding of nature at least as radically as occurred in any of the major scientific upheavals of the past."15 This is the program for unification in the twenty-first century.
+
+Chapter 13
+Black Holes: A String/M-Theory Perspective
+The pre-string theory conflict between general relativity and quantum mechanics was an affront to our visceral sense that the laws of nature should fit together in a seamless, coherent whole. But this antagonism was more than a towering abstract disjunction. The extreme physical conditions that occurred at the moment of the big bang and that prevail within black holes cannot be understood without a quantum mechanical formulation of the gravitational force. With the discovery of string theory, we now have a hope of solving these deep mysteries. In this and the next chapter, we describe how far string theorists have gone toward understanding black holes and the origin of the universe.
+Black Holes and Elementary Particles
+At first sight it's hard to imagine any two things more radically different than black holes and elementary particles. We usually picture black holes as the most gargantuan of heavenly bodies, whereas elementary particles are the most minute specks of matter. But the research of a number of physicists during the late 1960s and early 1970s, including Demetrios Christodoulou, Werner Israel, Richard Price, Brandon Carter, Roy Kerr, David Robinson, Hawking, and Penrose, showed that black holes and elementary particles are perhaps not as different as one might think. These physicists found increasingly persuasive evidence for what John Wheeler has summarized by the statement "black holes have no hair." By this, Wheeler meant that except for a small number of distinguishing features, all black holes appear to be alike. The distinguishing features? One, of course, is the black hole's mass. What are the others? Research has revealed that they are the electric and certain other force charges a black hole can carry, as well as the rate at which it spins. And that's it. Any two black holes with the same mass, force charges, and spin are completely identical. Black holes do not have fancy "hairdos"-that is, other intrinsic traits-that distinguish one from another. This should ring a loud bell. Recall that it is precisely such properties-mass, force charges, and spin-that distinguish one elementary particle from another. The similarity of the defining traits has led a number of physicists over the years to the strange speculation that black holes might actually be gigantic elementary particles.
+In fact, according to Einstein's theory, there is no minimum mass for a black hole. If we crush a chunk of matter of any mass to a small enough size, a straightforward application of general relativity shows that it will become a black hole. (The lighter the mass, the smaller we must crush it.) And so, we can imagine a thought experiment in which we start with ever-lighter blobs of matter, crush them into ever-smaller black holes, and compare the properties of the resulting black holes with the properties of elementary particles. Wheeler's no-hair statement leads us to conclude that for small enough masses the black holes we form in this manner will look very much like elementary particles. Both will look like tiny bundles characterized completely by their mass, force charges, and spin.
+But there is a catch. Astrophysical black holes, with masses many times that of the sun, are so large and heavy that quantum mechanics is largely irrelevant and only the equations of general relativity need be used to understand their properties. (We are here discussing the overall structure of the black hole, not the singular central point of collapse within a black hole, whose tiny size most certainly requires a quantum-mechanical description.) As we try to make ever less massive black holes, however, there comes a point when they are so light and small that quantum mechanics does comes into play. This happens if the total mass of the black hole is about the Planck mass or less. (From the point of view of elementary particle physics, the Planck mass is huge-some ten billion billion times the mass of a proton. From the point of view of black holes, though, the Planck mass, being equal to that of an average grain of dust, is quite tiny) And so, physicists who speculated that tiny black holes and elementary particles might be closely related immediately ran up against the incompatibility between general relativity-the theoretical heart of black holes-and quantum mechanics. In the past, the incompatibility stymied all progress in this intriguing direction.
+Does String Theory Allow Us to Go Forward?
+It does. Through a fairly unexpected and sophisticated realization of black holes, string theory provides the first theoretically sound connection between black holes and elementary particles. The road to this connection is a bit circuitous, but it takes us through some of the most interesting developments in string theory, making it a journey well worth taking.
+It begins with a seemingly unrelated question that string theorists have kicked around since the late 1980s. Mathematicians and physicists have long known that when six spatial dimensions are curled up into a CalabiYau shape, there are generally two kinds of spheres that are embedded within the shape's fabric. One kind are the two-dimensional spheres, like the surface of a beach ball, that played a vital role in the space-tearing flop transitions of Chapter 11. The other kind are harder to picture but they are equally prevalent. They are three-dimensional spheres-like the surfaces of beach balls adorning the sandy ocean shores of a universe with four extended space dimensions. Of course, as we discussed in Chapter 11, an ordinary beach ball in our world is itself a three-dimensional object, but its surface, just like the surface of a garden hose, is two-dimensional: You need only two numbers-latitude and longitude, for instance-to locate any position on its surface. But we are now imagining having one more space dimension: a four-dimensional beach ball whose surface is three-dimensional. As it's pretty close to impossible to picture such a beach ball in your mind's eye, for the most part we will appeal to lower-dimensional analogs that are more easily visualized. But, as we shall now see, one aspect of the three-dimensional nature of the spherical surfaces is of prime importance.
+By studying the equations of string theory, physicists realized that it is possible, and even likely, that as time evolves, these three-dimensional spheres will shrink-collapse-to vanishingly small volume. But what would happen, string theorists asked, if the fabric of space were to collapse in this manner? Will there be some catastrophic effect from this kind of pinching of the spatial fabric? This is much like the question we posed and resolved in Chapter 11, but here we are focusing on collapsing three-dimensional spheres, whereas in Chapter 11 we focused solely on collapsing two-dimensional spheres. (As in Chapter 11, since we are envisioning that a piece of a Calabi-Yau shape is shrinking, as opposed to the whole Calabi-Yau shape itself, the small radius/large radius identification of Chapter 10 does not apply.) Here is the essential qualitative difference arising from the change in dimension.1 We recall from Chapter 11 that a pivotal realization is that strings, as they move through space, can lasso a two-dimensional sphere. That is, their two-dimensional worldsheet can fully surround a two-dimensional sphere, as in Figure 11.6. This proves to be just enough protection to keep a collapsing, pinching two-dimensional sphere from causing physical catastrophes. But now we are looking at the other kind of sphere inside a Calabi-Yau space, and it has too many dimensions for it to be surrounded by a moving string. If you have trouble seeing this, it is perfectly okay to think of the analogy obtained by lowering all dimensions by one. You can picture three-dimensional spheres as if they are two-dimensional surfaces of ordinary beach balls, so long as you also picture one-dimensional strings as if they are zero-dimensional point particles. Then, in analogy with the fact that a zero-dimensional point-particle cannot lasso anything, let alone a two-dimensional sphere, a one-dimensional string cannot lasso a three-dimensional sphere.
+Such reasoning led string theorists to speculate that if a three-dimensional sphere inside a Calabi-Yau space were to collapse, something that the approximate equations showed to be a perfectly possible if not commonplace evolution in string theory, it might yield a cataclysmic result. In fact, the approximate equations of string theory developed prior to the mid-1990s seemed to indicate that the workings of the universe would grind to a halt if such a collapse were to occur; they indicated that certain of the infinities tamed by string theory would be unleashed by such a pinching of the spatial fabric. For a number of years, string theorists had to live with this disturbing, albeit inconclusive, state of understanding. But in 1995, Andrew Strominger showed that these doomsaying speculations were wrong.
+Strominger, following earlier groundbreaking work of Witten and Seiberg, made use of the realization that string theory, when analyzed with the newfound precision of the second superstring revolution, is not just a theory of one-dimensional strings. He reasoned as follows. A one-dimensional string-a one-brane in the newer language of the field-can completely surround a one-dimensional piece of space, like a circle, as we illustrate in Figure 13.1. (Notice that this is different from Figure 11.6, in which a one-dimensional string, as it moves through time, lassos a two-dimensional sphere. Figure 13.1 should be viewed as a snapshot taken at one instant in time.) Similarly, in Figure 13.1 we see that a two-dimensional membrane-a two-brane-can wrap around and completely cover a two-dimensional sphere, much as a piece of plastic wrap can be tightly wrapped around the surface of an orange. Although it's harder to visualize, Strominger followed the pattern and realized that the newly discovered three-dimensional ingredients in string theory-the three-branes-can wrap around and completely cover a three-dimensional sphere. Having seen clear to this insight, Strominger then showed, with a simple and standard physics calculation, that the wrapped three-brane provides a tailor-made shield that exactly cancels all of the potentially cataclysmic effects that string theorists had previously feared would occur if a three-dimensional sphere were to collapse.
+This was a wonderful and important insight. But its full power was not revealed until a short time later.
+Tearing the Fabric of Space-with Conviction
+One of the most exciting things about physics is how the state of knowledge can change literally overnight. The morning after Strominger posted his paper on the electronic Internet archive, I read it in my office at Cornell after having retrieved it from the World Wide Web. In one stroke, Strominger had made use of the exciting new insights of string theory to resolve one of the thorniest issues surrounding the curling up of extra dimensions into a Calabi-Yau space. But as I pondered his paper, it struck me that he might have worked out only half of the story.
+In the earlier space-tearing flop-transition work described in Chapter 11, we had studied a two-part process in which a two-dimensional sphere pinches down to a point, causing the fabric of space to tear, and then the two-dimensional sphere reinflates in a new way, thereby repairing the tear. In Strominger's paper, he had studied what happens when a three-dimensional sphere pinches down to a point, and had shown that the newfound extended objects in string theory ensure that physics continues to be perfectly well behaved. But that's where his paper stopped. Might it be that there was another half to the story, involving, once again, the tearing of space and its subsequent repair through the reinflation of spheres?
+Dave Morrison was visiting me at Cornell during the spring term of 1995, and that afternoon we got together to discuss Strominger's paper. Within a couple of hours we had an outline of what the "second half of the story" might look like. Drawing on some insights from the late 1980s of the mathematicians Herb Clemens of the University of Utah, Robert Friedman of Columbia University, and Miles Reid of the University of Warwick, as applied by Candelas, Green, and Tristan Hübsch, then of the University of Texas at Austin, we realized that when a three-dimensional sphere collapses, it may be possible for the Calabi-Yau space to tear and subsequently repair itself by reinflating the sphere. But there is an important surprise. Whereas the sphere that collapsed had three dimensions, the one that reinflates has only two. It's hard to picture what this looks like, but we can get an idea by focusing on a lower-dimensional analogy. Rather than the hard-to-picture case of a three-dimensional sphere collapsing and being replaced by a two-dimensional sphere, let's imagine a one-dimensional sphere collapsing and being replaced by a zero-dimensional sphere.
+First of all, what are one- and zero-dimensional spheres? Well, let's reason by analogy. A two-dimensional sphere is the collection of points in three-dimensional space that are the same distance from a chosen center, as shown in Figure 13.2(a). By following the same idea, a one-dimensional sphere is the collection of points in two-dimensional space (the surface of this page, for example) that are the same distance from a chosen center. As shown in Figure 13.2(b), this is nothing but a circle. Finally, following the pattern, a zero-dimensional sphere is the collection of points in a one-dimensional space (a line) that are the same distance from a chosen center. As shown in Figure 13.2(c), this amounts to two points, with the "radius" of the zero-dimensional sphere equal to the distance each point is from their common center. And so, the lower-dimensional analogy alluded to in the preceding paragraph involves a circle (a one-dimensional sphere) pinching down, followed by space tearing, and then being replaced by a zero-dimensional sphere (two points). Figure 13.3 puts this abstract idea into practice.
+We imagine beginning with the surface of a doughnut, in which a one-dimensional sphere (a circle) is embedded, as highlighted in Figure 13.3. Now, let's imagine that as time goes by, the highlighted circle collapses, causing the fabric of space to pinch. We can repair the pinch by allowing the fabric to momentarily tear, and then replacing the pinched one-dimensional sphere-the collapsed circle-with a zero-dimensional sphere-two points-plugging the holes in the upper and lower portions of the shape arising from the tear. As shown in Figure 13.3, the resulting shape looks like a warped banana, which through gentle deformation (non-space tearing) can be reshaped smoothly into the surface of a beach ball. We see, therefore, that when a one-dimensional sphere collapses and is replaced by a zero-dimensional sphere, the topology of the original doughnut, that is, its fundamental shape, is drastically altered, In the context of the curled-up spatial dimensions, the space-tearing progression of Figure 13.3 would result in the universe depicted in Figure 8.8 evolving into that depicted in Figure 8.7.
+Although this is a lower-dimensional analogy, it captures the essential features of what Morrison and I foresaw for the second half of Strominger's story. After the collapse of a three-dimensional sphere inside a Calabi-Yau space, it seemed to us that space could tear and subsequently repair itself by growing a two-dimensional sphere, leading to far more drastic changes in topology than Witten and we had found in our earlier work (discussed in Chapter 11). In this way, one Calabi-Yau shape could, in essence, transform itself into a completely different Calabi-Yau shape-much like the doughnut transforming into the beach ball in Figure 13.3-while string physics remained perfectly well behaved. Although a picture was starting to emerge, we knew that there were significant aspects that we would need to work out before we could establish that our second half of the story did not introduce any singularities-that is, pernicious and physically unacceptable consequences. We each went home that evening with the tentative elation that we were sitting on a major new insight.
+A Flurry of E-Mail
+The next morning I received an e-mail from Strominger asking me for any comments or reactions to his paper. He mentioned that "it should tie in somehow with your work with Aspinwall and Morrison," because, as it turned out, he too had been exploring a possible connection to the phenomenon of topology change. I immediately sent him an e-mail describing the rough outline Morrison and I had come up with. When he responded, it was clear that his level of excitement matched what Morrison and I had been riding since the preceding day.
+During the next few days a continuous stream of e-mail messages circulated between the three of us as we sought feverishly to put quantitative rigor behind our idea of drastic space-tearing topology change. Slowly but surely, all the details fell into place. By the following Wednesday, a week after Strominger posted his initial insight, we had a draft of a joint paper spelling out the dramatic new transformation of the spatial fabric that can follow the collapse of a three-dimensional sphere.
+Strominger was scheduled to give a seminar at Harvard the next day, and so left Santa Barbara in the early morning. We agreed that Morrison and I would continue to fine-tune the paper and then submit it to the electronic archive that evening. By 11:45 P.M., we had checked and rechecked our calculations and everything seemed to hang together perfectly. And so, we electronically submitted our paper and headed out of the physics building. As Morrison and I walked toward my car (I was going to drive him to the house he had rented for the term) our discussion turned to one of devil's advocacy, in which we imagined the harshest criticisms that someone determined not to accept our results might level. As we drove out of the parking lot and left the campus, we realized that although our arguments were strong and convincing, they were not thoroughly airtight. Neither of us felt that there was any real chance that our work was wrong, but we did recognize that the strength of our claims and the particular wording we had chosen at a few points in the paper might leave the ideas open to rancorous debate, potentially obscuring the importance of the results. We agreed that it might have been better had we written the paper in a somewhat lower key, underplaying the depth of the claims, and allowing the physics community to judge the paper on its merits, rather than possibly reacting to the form of its presentation.
+As we drove on, Morrison reminded me that under the rules of the electronic archive we could revise our paper until 2 A.M., when it would then be released for public Internet access. I immediately turned the car around and we drove back to the physics building, retrieved our initial submission, and set to work on toning down the prose. Thankfully, it was quite easy to do. A few word changes in critical paragraphs softened the edge of our claims without compromising the technical content. Within an hour, we resubmitted the paper, and agreed not to talk about it at all during the drive to Morrison's house.
+By early the next afternoon it was evident that the response to our paper was enthusiastic. Among the many e-mail responses was one from Plesser, who gave us one of the highest compliments one physicist can give another by declaring, "I wish that I had thought of that!" Notwithstanding our fears the previous night, we had convinced the string theory community that not only can the fabric of space undergo the mild tears discovered earlier (Chapter 11), but that far more drastic rips, roughly illustrated by Figure 13.3, can occur as well.
+Returning to Black Holes and Elementary Particles
+What does this have to do with black holes and elementary particles? A lot. To see this, we must ask ourselves the same question we posed in Chapter 11. What are the observable physical consequences of such tears in the fabric of space? For flop transitions, as we have seen, the surprising answer to this question was that not much happens at all. For conifold transitions-the technical name for the drastic space-tearing transitions we had now found-there is, once again, no physical catastrophe (as there would be in conventional general relativity), but there are more pronounced observable consequences.
+Two related notions underlie these observable consequences; we will explain each in turn. First, as we have discussed, Strominger's initial breakthrough was his realization that a three-dimensional sphere inside a Calabi-Yau space can collapse without an ensuing disaster, because a three-brane wrapped around it provides a perfect protective shield. But what does such a wrapped-brane configuration look like? The answer comes from earlier work of Horowitz and Strominger, which showed that to persons such as ourselves who are directly cognizant only of the three extended spatial dimensions, the three-brane "smeared" around the three-dimensional sphere will set up a gravitational field that looks like that of a black hole.2 This is not obvious and becomes clear only from a detailed study of the equations governing the branes. Again, it's hard to draw such higher-dimensional configurations accurately on a page, but Figure 13.4 conveys the rough idea with a lower-dimensional analogy involving twodimensional spheres. We see that a two-dimensional membrane can smear itself around a two-dimensional sphere (which itself is sitting inside a Calabi-Yau space positioned at some location in the extended dimensions). Someone looking through the extended dimensions toward this location will sense the wrapped brane by its mass and the force charges it carries, properties that Horowitz and Strominger had shown would look just like those of a black hole. Moreover, in Strominger's 1995 breakthrough paper, he argued that the mass of the three-brane-the mass of the black hole, that is-is proportional to the volume of the three-dimensional sphere it wraps: The bigger the volume of the sphere, the bigger the three-brane must be in order to wrap around it, and the more massive it becomes. Similarly, the smaller the volume of the sphere, the smaller the mass of the three-brane that wraps it. As this sphere collapses, then, a three-brane that wraps around the sphere, which is perceived as a black hole, appears to become ever lighter. When the three-dimensional sphere has collapsed to a pinched point, the corresponding black hole-brace yourself-is massless. Although it sounds completely mysterious-what in the world is a massless black hole?-we will soon connect this enigma with more familiar string physics.
+The second ingredient we need to recall is that the number of holes in a Calabi-Yau shape, as discussed in Chapter 9, determines the number of low-energy, and hence low-mass, vibrational string patterns, the patterns that can possibly account for the particles in Table 1.1 as well as the force carriers. Since the space-tearing conifold transitions change the number of holes (as, for example in Figure 13.3, in which the hole of the doughnut is eliminated by the tearing/repairing process), we expect a change in the number of low-mass vibrational patterns. Indeed, when Morrison, Strominger, and I studied this in detail, we found that as a new two-dimensional sphere replaces the pinched three-dimensional sphere in the curled-up Calabi-Yau dimensions, the number of massless string vibrational patterns increases by exactly one. (The example of the doughnut turning into a beach ball in Figure 13.3 would lead you to believe that the number of holes-and thus the number of patterns-decreases, but this proves to be a misleading property of the lower-dimensional analogy.)
+To combine the observations of the preceding two paragraphs, imagine a sequence of snapshots of a Calabi-Yau space in which the size of a particular three-dimensional sphere gets smaller and smaller. The first observation implies that a three-brane wrapping around this three-dimensional sphere-which appears to us as a black hole-will have ever smaller mass until, at the final point of collapse, it will be massless. But, as we asked above, what does this mean? The answer became clear to us by invoking the second observation. Our work showed that the new massless pattern of string vibration arising from the space-tearing conifold transition is the microscopic description of a massless particle into which the black hole has transmuted. We concluded that as a Calabi-Yau shape goes through a space-tearing conifold transition, an initially massive black hole becomes ever lighter until it is massless and then it transmutes into a massless particle-such as a massless photon-which in string theory is nothing but a single string executing a particular vibrational pattern. In this way, for the first time, string theory explicitly establishes a direct, concrete, and quantitatively unassailable connection between black holes and elementary particles.
+"Melting" Black Holes
+The connection between black holes and elementary particles which we found is closely akin to something we are all familiar with from day-to-day life, known technically as a phase transition. A simple example of a phase transition is the one we mentioned in the last chapter: water can exist as a solid (ice), as a liquid (liquid water), and a gas (steam). These are known as the phases of water, and the transformation from one form to another is called a phase transition. Morrison, Strominger, and I showed that there is a tight mathematical and physical analogy between such phase transitions and the space-tearing conifold transitions from one Calabi-Yau shape to another. Again, just as someone who has never before encountered liquid water or solid ice would not immediately recognize that they are two phases of the same underlying substance, physicists had not realized previously that the kinds of black holes we were studying and elementary particles are actually two phases of the same underlying stringy material. Whereas the surrounding temperature determines the phase in which water will exist, the topological form-the shape-of the extra Calabi-Yau dimensions determines whether certain physical configurations within string theory appear as black holes or elementary particles. That is, in the first phase, the initial Calabi-Yau shape (the analog of the ice phase, say), we find that there are certain black holes present. In the second phase, the second Calabi-Yau shape (the analog of the liquid water phase), these black holes have gone through a phase transition-they have "melted" so to speak-into fundamental vibrational string patterns. The tearing of space through conifold transitions takes us from one Calabi-Yau phase to the other. In so doing, we see that black holes and elementary particles, like water and ice, are two sides of the same coin. We see that black holes snugly fit within the framework of string theory.
+We have purposely used the same water analogy for these drastic space-tearing transmutations and for the transmutations from one of the five formulations of string theory to another (Chapter 12) because they are deeply connected. Recall that we expressed through Figure 12.11 that the five string theories are dual to one another and thereby are unified under the rubric of a single overarching theory. But does the ability to move continuously from one description to another-to set sail from any point on the map of Figure 12.11 and reach any other-persist even after we allow the extra dimensions to curl up into some Calabi-Yau shape or another? Prior to the discovery of the drastic topology-changing results, the anticipated answer was no, since there was no known way to continuously deform one Calabi-Yau shape into any other. But now we see that the answer is yes: Through these physically sensible space-tearing conifold transitions, we can continuously change any given Calabi-Yau space into any other. By varying coupling constants and curled-up Calabi-Yau geometry, we see that all string constructions are, once again, different phases of a single theory. Even after curling up all extra dimensions, the unity of Figure 12.11 firmly holds.
+Black Hole Entropy
+For many years, some of the most accomplished theoretical physicists speculated about the possibility of space-tearing processes and of a connection between black holes and elementary particles. Although such speculations might have sounded like science fiction at first, the discovery of string theory, with its ability to merge general relativity and quantum mechanics, has allowed us now to plant these possibilities firmly at the forefront of cutting-edge science. This success emboldens us to ask whether any of the other mysterious properties of our universe that have stubbornly resisted resolution for decades might also succumb to the powers of string theory. Foremost among these is the notion of black hole entropy. This is the arena in which string theory has most impressively flexed its muscles, successfully solving a quarter-century-old problem of profound significance.
+Entropy is a measure of disorder or randomness. For instance, if your desk is cluttered high with layer upon layer of open books, half-read articles, old newspapers, and junk mail, it is in a state of high disorder, or high entropy. On the other hand, if it is fully organized with articles in alphabetized folders, newspapers neatly stacked in chronological order, books arranged in alphabetical order by author, and pens placed in their designated holders, your desk is in state of high order or, equivalently, low entropy. This example illustrates the essential idea, but physicists have given a fully quantitative definition to entropy that allows one to describe something's entropy by using a definite numerical value: Larger numbers mean greater entropy, smaller numbers mean less entropy. Although the details are a little complicated, this number, roughly speaking, counts the possible rearrangements of the ingredients in a given physical system that leave its overall appearance intact. When your desk is neat and clean, almost any rearrangement-changing the order of the newspapers, books, or articles, moving the pens from their holders-will disturb its highly ordered organization. This accounts for its having low entropy. On the contrary, when your desk is a mess, numerous rearrangements of the newspapers, articles, and junk mail will leave it a mess and therefore will not disturb its overall appearance. This accounts for its having high entropy.
+Of course, a description of rearranging books, articles, and newspapers on a desktop-and deciding which rearrangements "leave its overall appearance intact"-lacks scientific precision. The rigorous definition of entropy actually involves counting or calculating the number of possible rearrangements of the microscopic quantum-mechanical properties of the elementary constituents of a physical system that do not affect its gross macroscopic properties (such as its energy or pressure). The details are not essential so long as you realize that entropy is a fully quantitative quantum-mechanical concept that precisely measures the overall disorder of a physical system.
+In 1970, Jacob Bekenstein, then a graduate student of John Wheeler's at Princeton, made an audacious suggestion. He put forward the remarkable idea that black holes might have entropy-and a huge amount of it. Bekenstein was motivated by the venerable and well-tested second law of thermodynamics, which declares that the entropy of a system always increases: Everything tends toward greater disorder. Even if you clean your cluttered desk, decreasing its entropy, the total entropy, including that of your body and the air in the room, actually increases. You see, to clean your desk you have to expend energy; you have to disrupt some of the orderly molecules of fat in your body to create this energy for your muscles, and as you clean, your body gives off heat, which jostles the surrounding air molecules into a higher state of agitation and disorder. When all of these effects are accounted for, they more than compensate for your desk's decrease in entropy, and thus the total entropy increases.
+But what happens, Bekenstein in effect asked, if you clean your desk near the event horizon of a black hole and you set up a vacuum pump to suck all of the newly agitated air molecules from the room into the hidden depths of the black hole's interior? We can be even more extreme: What if the vacuum pumps all the air, and all the contents on the desk, and even the desk itself into the black hole, leaving you in a cold, airless, thoroughly ordered room? Since the entropy in your room has certainly decreased, Bekenstein reasoned that the only way to satisfy the second law of thermodynamics would be for the black hole to have entropy, and for this entropy to sufficiently increase as matter is pumped into it to offset the observed entropic decrease outside the black hole's exterior.
+In fact, Bekenstein was able to draw on a famous result of Stephen Hawking's to strengthen his case. Hawking had shown that the area of the event horizon of a black hole-recall, this is the surface of no return that enshrouds every black hole-always increases in any physical interaction. Hawking demonstrated that if an asteroid falls into a black hole, or if some of the surface gas of a nearby star accretes onto the black hole, or if two black holes collide and combine-in any of these processes and all others as well, the total area of the event horizon of a black hole always increases. To Bekenstein, the inexorable evolution to greater total area suggested a link with the inexorable evolution to greater total entropy embodied in the second law of thermodynamics. He proposed that the area of the event horizon of a black hole provides a precise measure of its entropy.
+On closer inspection, though, there are two reasons why most physicists thought that Bekenstein's idea could not be right. First, black holes would seem to be among the most ordered and organized objects in the whole universe. Once one measures the black hole's mass, the force charges it carries, and its spin, its identity has been nailed down precisely. With so few defining features, a black hole appears to lack sufficient structure to allow for disorder. Just as there is little havoc one can wreak on a desktop that holds solely a book and a pencil, black holes seem too simple to support disorder. The second reason that Bekenstein's proposal was hard to swallow is that entropy, as we have discussed it here, is a quantum mechanical concept, whereas black holes, until recently, were firmly entrenched in the antagonistic camp of classical general relativity. In the early 1970s, without a way to merge general relativity and quantum mechanics, it seemed awkward, at best, to discuss the possible entropy of a black hole.
+How Black Is Black?
+As it turns out, Hawking too had thought of the analogy between his black hole area-increase law and the law of inevitable increase of entropy, but he dismissed it as nothing more than a coincidence. After all, Hawking argued, based upon his area-increase law and other results he had found with James Bardeen and Brandon Carter, if one did take the analogy between the laws of black holes and the laws of thermodynamics seriously, not only would one be forced to identify the area of the black hole's event horizon with entropy, but it turns out that one would also have to assign a temperature to the black hole (with the precise value determined by the strength of the black hole's gravitational field at its event horizon). But if a black hole has a nonzero temperature-no matter how small-the most basic and well-established physical principles would require it to emit radiation, much like a glowing poker. But black holes, as everyone knows, are black; they supposedly do not emit anything. Hawking and most everyone else agreed that this definitively ruled out Bekenstein's suggestion. Instead, Hawking was willing to accept that if matter carrying entropy is dropped into a black hole, this entropy is lost, plain and simple. So much for the second law of thermodynamics.
+This was the case until Hawking, in 1974, discovered something truly amazing. Black holes, Hawking announced, are not completely black. If one ignores quantum mechanics and invokes only the laws of classical general relativity, then as originally found some six decades previously, black holes certainly do not allow anything-not even light-to escape their gravitational grip. But the inclusion of quantum mechanics modifies this conclusion in a profound way. Even though he was not in possession of a quantum-mechanical version of general relativity, Hawking was able to finesse a partial union of these two theoretical tools that yielded some limited yet reliable results. And the most important result he found was that black holes do emit radiation, quantum mechanically.
+The calculations are long and arduous, but Hawking's basic idea is simple. We have seen that the uncertainty principle ensures that even the vacuum of empty space is a teeming, roiling frenzy of virtual particles momentarily erupting into existence and subsequently annihilating one another. This jittery quantum behavior also occurs in the region of space just outside the event horizon of a black hole. Hawking realized, however, that the gravitational might of the black hole can inject energy into a pair of virtual photons, say, that tears them just far enough apart so that one gets sucked into the hole. With its partner having disappeared into the abyss of the hole, the other photon of the pair no longer has a partner with which to annihilate. Instead, Hawking showed that the remaining photon gets an energy boost from the gravitational force of the black hole and, as its partner falls inward, it gets shot outward, away from the black hole. Hawking realized that to someone looking at the black hole from the safety of afar, the combined effect of this tearing apart of virtual photon pairs, happening over and over again all around the horizon of the black hole, will appear as a steady stream of outgoing radiation. Black holes glow.
+Moreover, Hawking was able to calculate the temperature that a far-off observer would associate with the emitted radiation and found that it is given by the strength of the gravitational field at the black hole's horizon, exactly as the analogy between the laws of black hole physics and the laws of thermodynamics suggested.3 Bekenstein was right: Hawking's results showed that the analogy should be taken seriously. In fact, these results showed that it is much more than an analogy-it is an identity. A black hole has entropy. A black hole has temperature. And the gravitational laws of black hole physics are nothing but a rewriting of the laws of thermodynamics in an extremely exotic gravitational context. This was Hawking's 1974 bombshell.
+To give you a sense of the scales involved, it turns out that when one carefully accounts for all of the details, a black hole whose mass is about three times that of the sun has a temperature of about a hundred-millionth of a degree above absolute zero. It's not zero, but only just. Black holes are not black, but only barely. Unfortunately, this makes a black hole's emitted radiation meager, and impossible to detect experimentally. There is, however, an exception. Hawking's calculations also showed that the less massive a black hole is, the higher its temperature and the greater the radiation it emits. For instance, a black hole as light as a small asteroid would emit about as much radiation as a million-megaton hydrogen bomb, with radiation concentrated in the gamma-ray part of the electromagnetic spectrum. Astronomers have searched the night sky for such radiation, but except for a few long-shot possibilities they have come up empty-handed, a likely indication that such low-mass black holes, if they exist, are very rare.4 As Hawking often jokingly points out, this is too bad, for if the black hole radiation that his work predicts were to be detected, he would undoubtedly win a Nobel Prize.5
+By contrast with its tiny, sub-millionth of a degree temperature, when one calculates the entropy of, say, a three-solar-mass black hole, the result is an absolutely enormous number: a one followed by about 78 zeros! And the more massive the hole, the greater the entropy. The success of Hawking's calculations unequivocally established that this truly reflects the enormous amount of disorder embodied by a black hole.
+But disorder of what? As we have seen, black holes appear to be terribly simple objects, so what is the source of this overwhelming disorder? On this question, Hawking's calculations were completely silent. His partial merger of general relativity and quantum mechanics could be used to find the numerical value of a black hole's entropy, but offered no insight into its microscopic meaning. For nearly a quarter of a century, some of the greatest physicists tried to understand what possible microscopic properties of black holes could account for their entropy. But without a fully trustworthy amalgam of quantum mechanics and general relativity, glimpses of an answer may have been uncovered, but the mystery remained unsolved.
+Enter String Theory
+Or, it did until January 1996, when Strominger and Vafa-building on earlier insights of Susskind and Sen-released a paper to the electronic physics archive entitled "Microscopic Origin of the Beckenstein-Hawking Entropy." In this work, Strominger and Vafa were able to use string theory to identify the microscopic constituents of a certain class of black holes and to calculate precisely their associated entropy. Their work relied on the newfound ability to partially circumvent the perturbative approximations in use during the 1980s and early 1990s, and the result they found agreed exactly with that predicted by Bekenstein and Hawking, finally completing a picture partially painted more than two decades previously.
+Strominger and Vafa focused on the class of so-called extremal black holes. These are black holes that are imbued with charge-you can think of it as electric charge-and that, moreover, have the minimal possible mass consistent with the charge they carry. As can be seen from this definition, they are closely related to the BPS states discussed in Chapter 12. In fact, Strominger and Vafa exploited this similarity to the hilt. They showed that they could build-theoretically, of course-certain extremal black holes by starting with a particular collection of BPS branes (of certain specified dimensions) and binding them together according to a precise mathematical blueprint. In much the same way that an atom can be built-theoretically, again-by starting with a bunch of quarks and electrons and then precisely arranging them into protons and neutrons, surrounded by orbiting electrons, Strominger and Vafa showed how some of the newfound ingredients in string theory could similarly be molded together to yield particular black holes.
+In actuality, black holes are one possible end product of stellar evolution. After a star has burned all its nuclear fuel through billions of years of atomic fusion, it no longer has the strength-the outward-directed pressure-to withstand the enormous inward force of gravity. Under a broad spectrum of conditions, this results in a cataclysmic implosion of the star's enormous mass; it violently collapses under its own tremendous weight, forming a black hole. Contrary to this realistic means of formation, Strominger and Vafa advocated "designer" black holes. They turned the tables on black hole formation by showing how they could be systematically constructed-in a theorist's imagination-by carefully, slowly, and meticulously weaving together a precise combination of the branes that had emerged from the second superstring revolution.
+The power of this approach became immediately clear. By maintaining full theoretical control over the microscopic construction of their black holes, Strominger and Vafa could easily and directly count the number of rearrangements of the black hole's microscopic constituents that would leave its overall observable properties, its mass and force charges, unchanged. They could then compare this number with the area of the black hole's horizon-the entropy predicted by Bekenstein and Hawking. When Strominger and Vafa did so, they found perfect agreement. At least for the class of extremal black holes, they had succeeded in using string theory to account for the microscopic constituents and the associated entropy precisely. A quarter-century-old puzzle had been solved.6
+Many string theorists view this success as an important and convincing piece of evidence in support of the theory. Our understanding of string theory is still too coarse to be able to make direct and precise contact with experimental observations of, say, the mass of a quark or an electron. But we now see that string theory has provided the first fundamental explanation of a long-established property of black holes that has stumped physicists using more conventional theories for many years. And this property of black holes is intimately tied up with Hawking's prediction that they should radiate, a prediction that, in principle, should be experimentally measurable. Of course, this requires that we definitively find a black hole in the heavens and then construct equipment sensitive enough to detect the radiation that it emits. If the black hole were light enough, the latter step is well within the reach of current technology. Even though this experimental program has not as yet met with success, it does re-emphasize that the chasm between string theory and definitive physical statements about the natural world can be bridged. Even Sheldon Glashow-the archrival of string theory through the 1980s-has said recently, "when string theorists talk about black holes they are almost talking about observable phenomena-and that is impressive."7
+The Remaining Mysteries of Black Holes
+Even with these impressive developments, there are still two central mysteries surrounding black holes. The first surrounds the impact black holes have on the concept of determinism. In the beginning of the nineteenth century the French mathematician Pierre-Simon de Laplace enunciated the strictest and most far-reaching consequence of the clockwork universe that followed from Newton's laws of motion:
+An intelligence that, at a given instant, could comprehend all the forces by which nature is animated and the respective situation of the beings that make it up, if moreover it were vast enough to submit these data to analysis, would encompass in the same formula the movements of the greatest bodies of the universe and those of the lightest atoms. For such an intelligence nothing would be uncertain, and the future, like the past, would be open to its eyes.8
+In other words, if at some instant you know the positions and velocities of every particle in the universe, you can use Newton's laws of motion to determine-at least in principle-their positions and velocities at any other prior or future time. From this perspective, any and all occurrences, from the formation of the sun to the crucifixion of Christ, to the motion of your eyes across this word, strictly follow from the precise positions and velocities of the particulate ingredients of the universe a moment after the big bang. This rigid lock-step view of the unfolding of the universe raises all sorts of perplexing philosophical dilemmas surrounding the question of free will, but its import was substantially diminished by the discovery of quantum mechanics. We have seen that Heisenberg's uncertainty principle undercuts Laplacian determinism because we fundamentally cannot know the precise positions and velocities of the constituents of the universe. Instead, these classical properties are replaced by quantum wave functions, which tell us only the probability that any given particle is here or there, or that it has this or that velocity.
+The downfall of Laplace's vision, however, does not leave the concept of determinism in total ruins. Wave functions-the probability waves of quantum mechanics-evolve in time according to precise mathematical rules, such as the Schrödinger equation (or its more precise relativistic counterparts, such as the Dirac equation and the Klein-Gordon equation). This informs us that quantum determinism replaces Laplace's classical determinism: Knowledge of the wave functions of all of the fundamental ingredients of the universe at some moment in time allows a "vast enough" intelligence to determine the wave functions at any prior or future time. Quantum determinism tells us that the probability that any particular event will occur at some chosen time in the future is fully determined by knowledge of the wave functions at any prior time. The probabilistic aspect of quantum mechanics significantly softens Laplacian determinism by shifting inevitability from outcomes to outcome-likelihoods, but the latter are fully determined within the conventional framework of quantum theory.
+In 1976, Hawking declared that even this softer form of determinism is violated by the presence of black holes. Once again, the calculations behind this declaration are formidable, but the essential idea is fairly straightforward. When anything falls into a black hole, its wave function gets sucked in as well. But this means that in the quest to work out wave functions at all future times, our "vast enough" intelligence will be irreparably shortchanged. To predict the future fully we need to know all wave functions fully today. But, if some have escaped down the abyss of black holes, the information they contain is lost.
+At first sight, this complication arising from black holes may not seem worth worrying about. Since everything behind the event horizon of a black hole is cut off from the rest of the universe, can't we just completely ignore anything that is unfortunate enough to have fallen in? Philosophically, moreover, can't we tell ourselves that the universe has not really lost the information carried by the stuff that has fallen into the black hole; it is simply locked within a region of space that we rational beings choose to avoid at all costs? Prior to Hawking's realization that black holes are not completely black, the answer to these questions was yes. But once Hawking informed the world that black holes radiate, the story changed. Radiation carries energy and so, as a black hole radiates, its mass slowly decreases-it slowly evaporates. As it does so, the distance from the center of the hole to the event horizon slowly shrinks, and as this shroud recedes, regions of space that were previously cut off re-enter the cosmic arena. Now our philosophical musings must face the music: Does the information contained in the things swallowed by the black hole-the data we imagined existing within the black hole's interior-re-emerge as the black hole evaporates? This is the information required for quantum determinism to hold, and so this question goes to the heart of whether black holes imbue the evolution of our universe with an even deeper element of happenstance.
+As of this writing, there is no consensus among physicists regarding the answer to this question. For many years, Hawking has strongly claimed that the information does not re-emerge-that black holes destroy information thereby "introducing a new level of uncertainty into physics, over and above the usual uncertainty associated with quantum theory"9 In fact, Hawking, together with Kip Thorne of the California Institute of Technology, has a bet with John Preskill, also of the California Institute of Technology, regarding what happens to the information captured by a black hole: Hawking and Thorne bet that the information is forever lost, while Preskill has taken the opposite position and bet that the information re-emerges as the black hole radiates and shrinks. The wager? Information itself: "The loser(s) will reward the winner(s) with an encyclopedia of the winner's choice."
+The bet remains unsettled, but Hawking has recently acknowledged that the newfound understanding of black holes from string theory, as discussed above, shows that there might be a way for the information to re-emerge.10 The new idea is that for the kind of black holes studied by Strominger and Vafa, and by many other physicists since their initial paper, information can be stored and recovered from the constituent branes. This insight, Strominger recently said, "has led some string theorists to want to claim victory-to claim that the information is recovered as black holes evaporate. In my opinion this conclusion is premature; there is still much work to be done in order to see if this is true."11 Vafa concurs, saying that he "is agnostic on this question-it could still turn out either way."12 Answering this question is a central goal of current research. As Hawking has put it,
+Most physicists want to believe that information is not lost, as this would make the world safe and predictable. But I believe that if one takes Einstein's general relativity seriously, one must allow for the possibility that spacetime ties itself in knots and that information gets lost in the folds. Determining whether or not information actually does get lost is one of the major questions in theoretical physics today.13
+The second unresolved black hole mystery concerns the nature of spacetime at the central point of the hole.14 A straightforward application of general relativity, going all the way back to Schwarzschild in 1916, shows that the enormous mass and energy crushed together at the black hole's center causes the fabric of spacetime to suffer a devastating rift, to be radically warped into a state of infinite curvature-to be punctured by a spacetime singularity. One conclusion that physicists drew from this is that since all of the matter that has crossed the event horizon is inexorably drawn to the center of the black hole, and since once there the matter has no future, time itself comes to an end at the heart of a black hole. Other physicists, who over the years have explored the properties of the black hole's core using Einstein's equations, revealed the wild possibility that it might be a gateway to another universe that tenuously attaches to ours only at a black hole's center. Roughly speaking, where time in our universe comes to an end, time in the attached universe just begins.
+We will take up some of the implications of this mind-boggling possibility in the next chapter, but for now we want to stress one important point. We must recall the central lesson: Extremes of huge mass and small size leading to unimaginably large density invalidate the sole use of Einstein's classical theory and require that quantum mechanics be brought to bear as well. This leads us to ask, What does string theory have to say about the spacetime singularity at the center of a black hole? This is a topic of intense current research, but as with the question of information loss, it has not yet been settled. String theory deftly deals with a variety of other singularities-the rips and tears in space discussed in Chapter 11 and in the first part of this chapter.15 But if you have seen one singularity you have not seen them all. The fabric of our universe can be ripped, punctured, and torn in many different ways. String theory has given us profound insights into some of these singularities, but others, the black hole singularity among them, have so far eluded the string theorists' reach. The essential reason for this, once again, is the reliance on perturbative tools in string theory whose approximations, in this case, cloud our ability to analyze reliably and fully what happens at the deep interior point of a black hole.
+However, given the recent tremendous progress in nonperturbative methods and their successful application to other aspects of black holes, string theorists have high hopes that it won't be long before the mysteries residing at the center of black holes start to unravel.
+
+Chapter 14
+Reflections on Cosmology
+Humans throughout history have had a passionate drive to understand the origin of the universe. There is, perhaps, no single question that so transcends cultural and temporal divides, inspiring the imagination of our ancient forebears as well as the research of the modern cosmologist. At a deep level, there is a collective longing for an explanation of why there is a universe, how it has come to take the form we witness, and for the rationale-the principle-that drives its evolution. The astounding thing is that humanity has now come to a point where a framework is emerging for answering some of these questions scientifically.
+The currently accepted scientific theory of creation declares that the universe experienced the most extreme of conditions-enormous energy, temperature, and density-during its earliest moments. These conditions, as is by now familiar, require that both quantum mechanics and gravity be taken into account, and hence the birth of the universe provides a profound arena for exercising the insights of superstring theory. We will discuss these nascent insights shortly, but first, we briefly recount the pre-string theory cosmological story, which is often referred to as the standard model of cosmology.
+The Standard Model of Cosmology
+The modern theory of cosmic origins dates from the decade and a half after Einstein's completion of general relativity. Although Einstein refused to take his own theory at face value and accept that it implies that the universe is neither eternal nor static, Alexander Friedmann did. And as we discussed in Chapter 3, Friedmann found what is now known as the big bang solution to Einstein's equations-a solution that declares that the universe violently emerged from a state of infinite compression, and is currently in the expanding aftermath of that primeval explosion. So certain was Einstein that such time-varying solutions were not a result of his theory that he published a short article claiming to have found a fatal flaw in Friedmann's work. Some eight months later, however, Friedmann succeeded in convincing Einstein that there was, in fact, no flaw; Einstein publicly but curtly retracted his objection. Nevertheless, it is clear that Einstein did not think Friedmann's results had any relevance to the universe. But about five years later, Hubble's detailed observations of a few dozen galaxies with the hundred-inch telescope at Mount Wilson Observatory confirmed that, indeed, the universe is expanding. Friedmann's work, refashioned in a more systematic and efficient form by the physicists Howard Robertson and Arthur Walker, still forms the foundation of modern cosmology.
+In a little more detail, the modern theory of cosmic origins goes like this. Some 15 billion or so years ago, the universe erupted from an enormously energetic, singular event, which spewed forth all of space and all of matter. (You don't have to search far to locate where the big bang occurred, for it took place where you are now as well as everywhere else; in the beginning, all locations we now see as separate were the same location.) The temperature of the universe a mere 10-43 seconds after the bang, the so-called Planck time, is calculated to have been about 1032 Kelvin, some 10 trillion trillion times hotter than the deep interior of the sun. As time passed, the universe expanded and cooled, and as it did, the initial homogeneous, roiling hot, primordial cosmic plasma began to form eddies and clumps. At about a hundred-thousandth of a second after the bang, things had cooled sufficiently (to about 10 trillion Kelvin-about a million times hotter than the sun's interior) for quarks to clump together in groups of three, forming protons and neutrons. About a hundredth of a second later, conditions were right for the nuclei of some of the lightest elements in the periodic table to start congealing out of the cooling plasma of particles. For the next three minutes, as the simmering universe cooled to about a billion degrees, the predominant nuclei that emerged were those of hydrogen and helium, along with trace amounts of deuterium ("heavy" hydrogen) and lithium. This is known as the period of primordial nucleosynthesis.
+Not a whole lot happened for the next few hundred thousand years, other than further expansion and cooling. But then, when the temperature had dropped to a few thousand degrees, wildly streaming electrons slowed down to the point where atomic nuclei, mostly hydrogen and helium, could capture them, forming the first electrically neutral atoms. This was a pivotal moment: from this point forward the universe, by and large, became transparent. Prior to the era of electron capture, the universe was filled with a dense plasma of electrically charged particles-some with positive charges like nuclei and others with negative charges, like electrons. Photons, which interact only with electrically charged objects, were bumped and jostled incessantly by the thick bath of charged particles, traversing hardly any distance before being deflected or absorbed. The charged-particle barrier to the free motion of photons would have made the universe appear almost completely opaque, much like what you may have experienced in a dense morning fog or a blinding, gusty snowstorm. But when negatively charged electrons were brought into orbit around positively charged nuclei, yielding electrically neutral atoms, the charged obstructions disappeared and the dense fog lifted. From that time onward, photons from the big bang have traveled unhindered and the full expanse of the universe gradually came into view.
+About a billion years later, with the universe having substantially calmed down from its frenetic beginnings, galaxies, stars, and ultimately planets began to emerge as gravitationally bound clumps of the primordial elements. Today, some 15 billion or so years after the bang, we can marvel at both the magnificence of the cosmos and at our collective ability to have pieced together a reasonable and experimentally testable theory of cosmic origin.
+But how much faith should we really have in the big bang theory?
+Putting the Big Bang to the Test
+By looking out into the universe with their most powerful telescopes, astronomers can see light that was emitted from galaxies and quasars just a few billion years after the big bang. This allows them to verify the expansion of the universe predicted by the big bang theory back to this early phase of the universe, and everything checks out to a "T." To test the theory to yet earlier times, physicists and astronomers must make use of more indirect methods. One of the most refined approaches involves something known as cosmic background radiation.
+If you've ever felt a bicycle tire after vigorously pumping it full of air, you know that it is warm to the touch. This is because when things are compressed they heat up-this is the principle, for example, behind pressure cookers, in which air is tightly compressed within a sealed pot in order for unusually high cooking temperatures to be readily achieved. The reverse is also true: When pressure is released and things are allowed to expand, they cool. If you remove the lid on a pressure cooker-or, more spectacularly, should it blow off-the air it contains will expand to its ordinary density while cooling to standard room temperature. This is the science underlying the phrase "blow off steam," a familiar approach to "cool down" a heated situation. It turns out that these simple terrestrial observations have a profound incarnation within the cosmos.
+We saw above that after electrons and nuclei join together to form atoms, photons are free to travel unimpeded through the universe, much like atoms of air in a hot but otherwise empty pressure cooker. And just as air in the pressure cooker cools down when the lid is removed and it is allowed to expand, the same is true for the "gas" of photons streaming through the universe as it expands. In fact, physicists as far back as George Gamow and his students Ralph Alpher and Robert Hermann in the 1950s, and Robert Dicke and Jim Peebles in the mid-1960s, realized that the present-day universe should be permeated by an almost uniform bath of these primordial photons, which, through the last 15 billion years of cosmic expansion, have cooled to a mere handful of degrees above absolute zero.1 In 1965, Arno Penzias and Robert Wilson of Bell Laboratories in New Jersey accidently made one of the most important discoveries of our age when they detected this afterglow of the big bang while working on an antenna intended for use with communication satellites. Subsequent research has refined both theory and experiment, culminating in measurements taken by NASA's COBE (Cosmic Background Explorer) satellite in the early 1990s. With these data, physicists and astronomers have confirmed to high precision that the universe is filled with microwave radiation (if our eyes were sensitive to microwaves, we would see a diffuse glow in the world around us) whose temperature is about 2.7 degrees above absolute zero, exactly in keeping with the expectation of the big bang theory. In concrete terms, in every cubic meter of the universe-including the one you now occupy-there are, on average, about 400 million photons that collectively compose the vast cosmic sea of microwave radiation, an echo of creation. A percentage of the "snow" you see on your television screen when you disconnect the cable feed and tune to a station that has ceased its scheduled broadcasts is, in fact, due to this dim aftermath of the big bang. This match between theory and experiment confirms the big bang picture of cosmology as far back as the time that photons first moved freely through the universe, about a few hundred thousand years after the bang (ATB).
+Can we push further in our tests of the big bang theory to even earlier times? We can. By using standard principles of nuclear theory and thermodynamics, physicists can make definite predictions about the relative abundance of the light elements produced during the period of primordial nucleosynthesis, between a hundredth of a second and a few minutes ATB. According to theory, for example, about 23 percent of the universe should be composed of helium. By measuring the helium abundance in stars and nebulae, astronomers have amassed impressive support that, indeed, this prediction is right on the mark. Perhaps even more impressive is the prediction and confirmation regarding deuterium abundance, since there is essentially no astrophysical process, other than the big bang, that can account for its small but definite presence throughout the cosmos. The confirmation of these abundances, and more recently that of lithium, is a sensitive test of our understanding of early universe physics back to the time of their primordial synthesis.
+This is impressive almost to the point of hubris. All the data we possess confirm a theory of cosmology capable of describing the universe from about a hundredth of a second ATB to the present, some 15 billion years later. Nevertheless, one should not lose sight of the fact that the newborn universe evolved with phenomenal haste. Tiny fractions of a second-fractions much smaller than a hundredth of a second-form cosmic epochs during which long-lasting features of the world were first imprinted. And so, physicists have continued to push onward, trying to explain the universe at ever earlier times. Since the universe gets ever smaller, hotter, and denser as we push back, an accurate quantum-mechanical description of matter and the forces becomes increasingly important. As we have seen from other viewpoints in earlier chapters, point-particle quantum field theory works until typical particle energies are around the Planck energy. In a cosmological context, this occurred when the whole of the known universe fit within a Planck-sized nugget, yielding a density so great that it strains one's ability to find a fitting metaphor or an enlightening analogy: the density of the universe at the Planck time was simply colossal. At such energies and densities gravity and quantum mechanics can no longer be treated as two separate entities as they are in point-particle quantum field theory. Instead, the central message of this book is that at and beyond these enormous energies we must invoke string theory. In temporal terms, we encounter these energies and densities when we probe earlier than the Planck time of 10-41 seconds ATB, and hence this earliest epoch is the cosmological arena of string theory.
+Let's head toward this era by first seeing what the standard cosmological theory tells us about the universe before a hundredth of a second ATB, but after the Planck time.
+From the Planck Time to a Hundredth of a Second ATB
+Recall from Chapter 7 (especially Figure 7.1) that the three nongravitational forces appear to merge together in the intensely hot environment of the early universe. Physicists' calculations of how the strengths of these forces vary with energy and temperature show that prior to about 10-35 seconds ATB, the strong, weak, and electromagnetic forces were all one "grand unified" or "super" force. In this state the universe was far more symmetric than it is today. Like the homogeneity that follows when a collection of disparate metals is heated to a smooth molten liquid, the significant differences between the forces as we now observe them were all erased by the extremes of energy and temperature encountered in the very early universe. But as time went by and the universe expanded and cooled, the formalism of quantum field theory shows that this symmetry would have been sharply reduced through a number of rather abrupt steps, ultimately leading to the comparatively asymmetric form with which we are familiar.
+It's not hard to understand the physics behind such reduction of symmetry, or symmetry breaking, as it is more precisely called. Picture a large container filled with water. The molecules of H2O are uniformly spread throughout the container and regardless of the angle from which you view it, the water looks the same. Now watch the container as you lower the temperature. At first not much happens. On microscopic scales, the average speed of the water molecules decreases, but that's about all. When you decrease the temperature to 0 degrees Celsius, however, you suddenly see that something drastic occurs. The liquid water begins to freeze and turn into solid ice. As discussed in the preceding chapter, this is a simple example of a phase transition. For our present purpose, the important thing to note is that the phase transition results in a decrease in the amount of symmetry displayed by the H2O molecules. Whereas liquid water looks the same regardless of the angle from which it is viewed-it appears to be rotationally symmetric-solid ice is different. It has a crystalline block structure, which means that if you examine it with adequate precision, it will, like any crystal, look different from different angles. The phase transition has resulted in a decrease in the amount of rotational symmetry that is manifest.
+Although we have discussed only one familiar example, the point is true more generally: as we lower the temperature of many physical systems, at some point they undergo a phase transition that typically results in a decrease or a "breaking" of some of their previous symmetries. In fact, a system can go through a series of phase transitions if its temperature is varied over a wide enough range. Water, again, provides a simple example. If we start with H2O above 100 degrees Celsius, it is a gas: steam. In this form, the system has even more symmetry than in the liquid phase since now the individual H2O molecules have been liberated from their congested, stuck-together liquid form. Instead, they all zip around the container on completely equal footing, without forming any clumps or "cliques" in which groups of molecules single each other out for a close association at the expense of others. Molecular democracy prevails at high enough temperatures. As we lower the temperature below 100 degrees, of course, water droplets do form as we pass through a gas-liquid phase transition, and the symmetry is reduced. Continuing on to yet lower temperatures, nothing too dramatic happens until we pass through 0 degrees Celsius, when, as above, the liquid-water/solid-ice phase transition results in another abrupt decrease in symmetry.
+Physicists believe that between the Planck time and a hundredth of a second ATB, the universe behaved in a very similar way, passing through at least two analogous phase transitions. At temperatures above 1028 Kelvin, the three nongravitational forces appeared as one, as symmetric as they could possibly be. (At the end of this chapter we will discuss string theory's inclusion of the gravitational force into this high-temperature merger.) But as the temperature dropped below 1028 Kelvin, the universe underwent a phase transition in which the three forces crystallized out from their common union in different ways. Their relative strengths and the details of how they act on matter began to diverge. And so, the symmetry among the forces evident at higher temperatures was broken as the universe cooled. Nevertheless, the work of Glashow, Salam, and Weinberg (see Chapter 5) shows that not all of the high-temperature symmetry was erased: The weak and electromagnetic forces were still deeply interwoven. As the universe further expanded and cooled, nothing much happened until things simmered down to 1015 Kelvin-about 100 million times the sun's core temperature-when the universe went through another phase transition that affected the electromagnetic and weak forces. At this temperature, they too crystallized out from their previous, more symmetric union, and as the universe continued to cool, their differences became magnified. The two phase transitions are responsible for the three apparently distinct nongravitational forces at work in the world, even though this review of cosmic history shows that the forces, in fact, are deeply related.
+A Cosmological Puzzle
+This post-Planck era cosmology provides an elegant, consistent, and calculationally tractable framework for understanding the universe as far back as the briefest moments after the bang. But, as with most successful theories, our new insights raise yet more detailed questions. And it turns out that some of these questions, while not invalidating the standard cosmological scenario as presented, do highlight awkward aspects that point toward the need for a deeper theory. Let's focus on one. It is called the horizon problem, and it is one of the most important issues in modern cosmology.
+Detailed studies of the cosmic background radiation have shown that regardless of which direction in the sky one points the measuring antenna, the temperature of the radiation is the same, to about one part in 100,000. If you think about it for a moment, you will realize that this is quite strange. Why should different locations in the universe, separated by enormous distances, have temperatures that are so finely matched? A seemingly natural resolution to this puzzle is to note that, yes, two diametrically opposite places in the heavens are far apart today, but like twins separated at birth, during the earliest moments of the universe they (and everything else) were very close together. Since they emerged from a common starting point, you might suggest that it's not at all surprising that they share common physical traits such as their temperature.
+In the standard big bang cosmology this suggestion fails. Here's why. A bowl of hot soup gradually cools to room temperature because it is in contact with the colder surrounding air. If you wait long enough, the temperature of the soup and the air will, through their mutual contact, become the same. But if the soup is in a thermos, of course, it retains its heat for much longer, since there is far less communication with the outside environment. This reflects that the homogenization of temperature between two bodies relies on their having prolonged and unimpaired communication. To test the suggestion that positions in space that are currently separated by vast distances share the same temperature because of their initial contact, we must therefore examine the efficacy of information exchange between them in the early universe. At first you might think that since the positions were closer together at earlier times, communication was ever easier. But spatial proximity is only one part of the story. The other part is temporal duration.
+To examine this more fully, let's imagine studying a "film" of the cosmic expansion, but let's review it in reverse, running the film backward in time from today toward the moment of the big bang. Since the speed of light sets a limit to how fast any signal or information of any kind can travel, matter in two regions of space can exchange heat energy and thereby have a chance of coming to a common temperature only if the distance between them at a given moment is less than the distance light can have traveled since the time of the big bang. And so, as we roll the film backward in time we see that there is a competition between how close together our spatial regions become versus how far back we have to turn the clock for them to get there. For instance, if in order for the separation of our two spatial locations to be 186,000 miles, we have to run the film back to less than a second ATB, then even though they are much closer, there is still no way for them to have any influence on each other since light would require a whole second to travel the distance between them.2 If in order for their separation to be much less, say 186 miles, we have to run the film back to less than a thousandth of a second ATB, then, again, the same conclusion follows: They can't influence each other since in less than a thousandth of a second light can't travel the 186 miles separating them. Carrying on in the same vein, if we have to run the film back to less than a billionth of a second ATB in order for these regions to be within one foot of each other, they still cannot influence each other since there is just not enough time since the bang for light to have traveled the 12 inches between them. This shows that just because two points in the universe get closer and closer as we head back to the bang, it is not necessarily the case that they can have had the thermal contact-like that between soup and air-necessary to bring them to the same temperature.
+Physicists have shown that precisely this problem arises in the standard big bang model. Detailed calculations show that there is no way for regions of space that are currently widely separated to have had the exchange of heat energy that would explain their having the same temperature. As the word horizon refers to how far we can see-how far light can travel, so to speak-physicists call the unexplained uniformity of temperature throughout the vast expanse of the cosmos the "horizon problem." The puzzle does not mean the standard cosmological theory is wrong. But the uniformity of temperature does strongly suggest that we are missing an important part of the cosmological story. In 1979, the physicist Alan Guth, now of the Massachusetts Institute of Technology, wrote the missing chapter.
+Inflation
+The root of the horizon problem is that in order to get two widely separated regions of the universe close together, we have to run the cosmic film way back toward the beginning of time. So far back, in fact, that there is not enough time for any physical influence to have traveled from one region to the other. The difficulty, therefore, is that as we run the cosmological film backward and approach the big bang, the universe does not shrink at a fast enough rate.
+Well, that's the rough idea, but it's worthwhile sharpening the description a bit. The horizon problem stems from the fact that like a ball tossed upward, the dragging pull of gravity causes the expansion rate of the universe to slow down. This means that, for example, to halve the separation between two locations in the cosmos we must run the film back more than halfway toward its beginning. In turn, we see that to halve the separation we must more than halve the time since the big bang. Less time since the bang-proportionally speaking-means it is harder for the two regions to communicate, even though they get closer.
+Guth's resolution of the horizon problem is now simple to state. He found another solution to Einstein's equations in which the very early universe undergoes a brief period of enormously fast expansion-a period during which, in fact, it "inflates" in size at an unheralded exponential expansion rate. Unlike the case of a ball that slows down after being tossed upward, exponential expansion gets faster as it proceeds. When we run the cosmic film in reverse, rapid accelerating expansion turns into rapid decelerating contraction. This means that to halve the separation between two locations in the cosmos (during the exponential epoch) we need run the film back less than halfway-much less, in fact. Running the film back less implies that the two regions will have had more time to communicate thermally and, like hot soup and air, they will have had ample time to come to the same temperature.
+Through Guth's discovery and later important refinements made by André Linde, now of Stanford University, Paul Steinhardt and Andreas Albrecht, then of the University of Pennsylvania, and many others, the standard cosmological model was revamped into the inflationary cosmological model. In this framework, the standard cosmological model is modified during a tiny window of time-around 10-36 to 10-34 seconds ATB-in which the universe expanded by a colossal factor of at least 1030, compared with a factor of about a hundred during the same time interval in the standard scenario. This means that in a brief flicker of time, about a trillionth of a trillionth of a trillionth of a second ATB, the size of the universe increased by a greater percentage than it has in the 15 billion years since. Before this expansion, matter that is now in far-flung regions of the cosmos was much closer together than in the standard cosmological model, making it possible for a common temperature to be easily established. Then, through Guth's momentary burst of cosmological inflation-followed by the more usual expansion of the standard cosmological model-these regions of space were able to become separated by the vast distances we witness currently. And so, the brief but profound inflationary modification of the standard cosmological model solves the horizon problem (as well as a number of other important problems we have not discussed) and has gained wide acceptance among cosmologists.3
+We summarize the history of the universe from just after the Planck time to the present, according to the current theory, in Figure 14.1.
+Cosmology and Superstring Theory
+There remains a sliver of Figure 14.1, between the big bang and the Planck time, that we have not yet discussed. By blindly applying the equations of general relativity to that region, physicists have found that the universe continues to get ever smaller, ever hotter, and ever denser, as we move backward in time toward the bang. At time zero, as the size of the universe vanishes, the temperature and density soar to infinity, giving us the most extreme signal that this theoretical model of the universe, firmly rooted in the classical gravitational framework of general relativity, has completely broken down.
+Nature is telling us emphatically that under such conditions we must merge general relativity and quantum mechanics-in other words, we must make use of string theory. Currently, research on the implications of string theory for cosmology is at an early stage of development. Perturbative methods can, at best, give skeletal insights, since the extremes of energy, temperature, and density require precision analysis. Although the second superstring revolution has provided some nonperturbative techniques, it will be some time before they are honed for the kinds of calculations required in a cosmological setting. Nevertheless, as we now discuss, during the last decade or so, physicists have taken the first steps toward understanding string cosmology. Here is what they have found.
+It appears that there are three essential ways in which string theory modifies the standard cosmological model. First, in a manner that current research continues to clarify, string theory implies that the universe has what amounts to a smallest possible size. This has profound consequences for our understanding of the universe at the moment of the bang itself, when the standard theory claims that its size has shrunk all the way to zero. Second, string theory has a small-radius/large-radius duality (intimately related to its having a smallest possible size), which also has deep cosmological significance, as we will see in a moment. Finally, string theory has more than four spacetime dimensions, and from a cosmological standpoint, we must address the evolution of them all. Let's discuss these points in greater detail.
+In the Beginning There Was a Planck-Sized Nugget
+In the late 1980s, Robert Brandenberger and Cumrun Vafa made the first important strides toward understanding how the application of these string theoretic features modifies the conclusions of the standard cosmological framework. They came to two important realizations. First, as we run the clock backward in time toward the beginning, the temperature continues to rise until the size of the universe is about the Planck length in all directions. But then, the temperature hits a maximum and begins to decrease. The intuitive reason behind this is not hard to come by. Imagine for simplicity (as Brandenberger and Vafa did) that all of the space dimensions of the universe are circular. As we run the clock backward and the radius of each of these circles shrinks, the temperature of the universe increases. But as each of the radii collapses toward and then through the Planck length, we know that, within string theory, this is physically identical to the radii shrinking to the Planck length and then bouncing back toward increasing size. Since temperature goes down as the universe expands, we would expect that the futile attempt to squeeze the universe to sub-Planck size means that the temperature stops rising, hits a maximum, and then begins to decrease. Through detailed calculations, Brandenberger and Vafa explicitly verified that indeed this is the case.
+This led Brandenberger and Vafa to the following cosmological picture. In the beginning, all of the spatial dimensions of string theory are tightly curled up to their smallest possible extent, which is roughly the Planck length. The temperature and energy are high, but not infinite, since string theory has avoided the conundrums of an infinitely compressed zero-size starting point. At this beginning moment of the universe, all the spatial dimensions of string theory are on completely equal footing-they are completely symmetric-all curled up into a multidimensional, Planck-sized nugget. Then, according to Brandenberger and Vafa, the universe goes through its first stage of symmetry reduction when, at about the Planck time, three of the spatial dimensions are singled out for expansion, while all others retain their initial Planck-scale size. These three space dimensions are then identified with those in the inflationary cosmological scenario, the post-Planck-time evolution summarized in Figure 14.1 takes over, and these three dimensions expand to their currently observed form.
+Why Three?
+An immediate question is, What drives the symmetry reduction that singles out precisely three spatial dimensions for expansion? That is, beyond the experimental fact that only three of the space dimensions have expanded to observably large size, does string theory provide a fundamental reason for why some other number (four, five, six, and so on) or, even more symmetrically, all of the space dimensions don't expand as well? Brandenberger and Vafa came up with a possible explanation. Remember that the small-radius/large-radius duality of string theory rests upon the fact that when a dimension is curled up like a circle, a string can wrap around it. Brandenberger and Vafa realized that, like rubber bands wrapped around a bicycle tire inner tube, such wrapped strings tend to constrict the dimensions they encircle, keeping them from expanding. At first sight, this would seem to mean that each of the dimensions will be constricted, since the strings can and do wrap them all. The loophole is that if a wrapped string and its antistring partner (roughly, a string that wraps the dimension in the opposite direction) should come into contact, they will swiftly annihilate one other, producing an unwrapped string. If these processes happen with sufficient rapidity and efficiency, enough of the rubber band-like constriction will be eliminated, allowing the dimensions to expand. Brandenberger and Vafa suggested that this reduction in the choking effect of wrapped strings will happen in only three of the spatial dimensions. Here's why.
+Imagine two point particles rolling along a one-dimensional line such as the spatial extent of Lineland. Unless they happen to have identical velocities, sooner or later one will overtake the other, and they will collide. Notice, however, that if these same point particles are randomly rolling around on a two-dimensional plane such as the spatial extent of Flatland, it is likely that they will never collide. The second spatial dimension opens up a new world of trajectories for each particle, most of which do not cross each other at the same point at the same time. In three, four, or any higher number of dimensions, it gets increasingly unlikely that the two particles will ever meet. Brandenberger and Vafa realized that an analogous idea holds if we replace point particles with loops of string, wrapped around spatial dimensions. Although it's significantly harder to see, if there are three (or fewer) circular spatial dimensions, two wrapped strings will likely collide with one another-the analog of what happens for two particles moving in one dimension. But in four or more space dimensions, wrapped strings are less and less likely ever to collide-the analog of what happens for point particles in two or more dimensions.4
+And so we have the following picture. In the first moment of the universe, the tumult from the high, but finite, temperature drives all of the circular dimensions to try to expand. As they do, the wrapped strings constrict the expansion, driving the dimensions back to their original Planck-size radii. But, sooner or later a random thermal fluctuation will drive three dimensions momentarily to grow larger than the others, and our discussion then shows that strings which wrap these dimensions are highly likely to collide. About half of the collisions will involve string/antistring pairs, leading to annihilations that continually lessen the constriction, allowing these three dimensions to continue to expand. The more they expand, the less likely it is for other strings to get entangled around them since it takes more energy for a string to wrap around a larger dimension. And so, the expansion feeds on itself, becoming ever less constricted as the dimensions get ever larger. We can now imagine that these three spatial dimensions continue to evolve in the manner described in the previous sections, and expand to a size as large as or larger than the currently observable universe.
+Cosmology and Calabi-Yau Shapes
+For simplicity, Brandenberger and Vafa imagined that all of the spatial dimensions are circular. In fact, as noted in Chapter 8, so long as the circular dimensions are large enough that they curve back on themselves only beyond the range of our current observational capacity, a circular shape is consistent with the universe we observe. But for dimensions that stay small, a more realistic scenario is one in which they are curled up into a more intricate Calabi-Yau space. Of course, the key question is, Which Calabi-Yau space? How is this particular space determined? No one has been able to answer this question. But by combining the drastic topology-changing results described in the preceding chapter with these cosmological insights, we can suggest a framework for doing so. Through the space-tearing conifold transitions, we now know that any Calabi-Yau shape can evolve into any other. So, we can imagine that in the tumultuous, hot moments after the bang, the curled-up Calabi-Yau component of space stays small, but goes through a frenetic dance in which its fabric rips apart and reconnects over and over again, rapidly taking us through a long sequence of different Calabi-Yau shapes. As the universe cools and three of the spatial dimensions get large, the transitions from one Calabi-Yau to another slow down, with the extra dimensions ultimately settling into a Calabi-Yau shape that, optimistically, gives rise to the physical features we observe in the world around us. The challenge facing physicists is to understand, in detail, the evolution of the Calabi-Yau component of space so that its present form can be predicted from theoretical principles. With the newfound ability of one Calabi-Yau to change smoothly into another, we see that the issue of selecting one, Calabi-Yau shape from the many may in fact be reduced to a problem of cosmology.5
+Before the Beginning?
+Lacking the exact equations of string theory, Brandenberger and Vafa were forced to make numerous approximations and assumptions in their cosmological studies. As Vafa recently said,
+Our work highlights the new way in which string theory allows us to start addressing persistent problems in the standard approach to cosmology. We see, for example, that the whole notion of an initial singularity may be completely avoided by string theory. But, because of difficulties in performing fully trustworthy calculations in such extreme situations with our present understanding of string theory, our work only provides a first look into string cosmology, and is very far from the final word.6
+Since their work, physicists have made steady progress in furthering the understanding of string cosmology, spearheaded by, among others, Gabriele Veneziano and his collaborator Maurizio Gasperini of the University of Torino. Gasperini and Veneziano have, in fact, come up with their own intriguing version of string cosmology that shares certain features with the scenario described above, but also differs in significant ways. As in the Brandenberger and Vafa work, they too rely on string theory's having a minimal length in order to avoid the infinite temperature and energy density that arises in the standard and inflationary cosmological theories. But rather than concluding that this means the universe begins as an extremely hot Planck-size nugget, Gasperini and Veneziano suggest that there may be a whole prehistory to the universe-starting long before what we have so far been calling time zero-that leads up to the Planckian cosmic embryo.
+In this so-called pre-big bang scenario, the universe began in a vastly different state than it does in the big bang framework. Gasperini and Veneziano's work suggests that rather than being enormously hot and tightly curled into a tiny spatial speck, the universe started out as cold and essentially infinite in spatial extent. The equations of string theory then indicate that-somewhat as in Guth's inflationary epoch-an instability kicked in, driving every point in the universe to rush rapidly away from every other. Gasperini and Veneziano show that this caused space to become increasingly curved and results in a dramatic increase in temperature and energy density.7 After some time, a millimeter-sized three-dimensional region within this vast expanse could look just like the superhot and dense patch emerging from Guth's inflationary expansion. Then, through the standard expansion of ordinary big bang cosmology, this patch can account for the whole of the universe with which we are familiar. Moreover, because the pre-big bang epoch involves its own inflationary expansion, Guth's solution to the horizon problem is automatically built into the pre-big bang cosmological scenario. As Veneziano has said, "String theory offers us a version of inflationary cosmology on a silver platter."8
+The study of superstring cosmology is rapidly becoming an active and fertile arena of research. The pre-big bang scenario, for example, has already generated a significant amount of heated, yet fruitful debate, and it is far from clear what role it will have in the cosmological framework that will ultimately emerge from string theory. Achieving these cosmological insights will, no doubt, rely heavily on the ability of physicists to come to grips with all aspects of the second superstring revolution. What, for example, are the cosmological consequences of the existence of fundamental higher-dimensional branes? How do the cosmological properties we have discussed change if string theory happens to have a coupling constant whose value places us more toward the center of Figure 12.11 rather than in one of the peninsular regions? That is, what is the impact of full-fledged M-theory on the earliest moments of the universe? These central questions are now being studied vigorously. Already, one important insight has emerged.
+M-Theory and the Merging of All Forces
+In Figure 7.1 we showed how the strengths of the three nongravitational couplings merge together when the temperature of the universe is high enough. How does the strength of the gravitational force fit into this picture? Before the emergence of M-theory, string theorists were able to show that with the simplest of choices for the Calabi-Yau component of space, the gravitational force almost, but not quite, merges with the other three, as shown in Figure 14.2. String theorists found that the mismatch could be avoided by carefully molding the shape of the chosen Calabi-Yau, among other tricks of the trade, but such after-the-fact fine tuning always makes a physicist uncomfortable. Since no one currently knows how to predict the precise form of the Calabi-Yau dimensions, it seems dangerous to rely upon solutions to problems that hinge so delicately on the fine details of their shape.
+Witten has shown, however, that the second superstring revolution provides a far more robust solution. By investigating how the strengths of the forces vary when the string coupling constant is not necessarily small, Witten found that the gravitational force curve can be gently nudged to merge with the other forces, as in Figure 14.2, without any special molding of the Calabi-Yau portion of space. Although it is far too early to tell, this may indicate that cosmological unity is more easily achieved by making use of the larger framework of M-theory.
+The developments discussed in this and the previous sections represent the first, somewhat tentative steps toward understanding the cosmological implications of string/M-theory. During the coming years, as the nonperturbative tools of string/M-theory are sharpened, physicists anticipate that some of the most profound insights will emerge from their application to cosmological questions.
+But without currently having methods that are sufficiently powerful to understand cosmology according to string theory fully, it is worthwhile to think about some general considerations concerning the possible role of cosmology in the search for the ultimate theory. We caution that some of these ideas are of a more speculative nature than much of what we have discussed previously, but they do raise issues that any purported final theory may one day have to address.
+Cosmological Speculation and the Ultimate Theory
+Cosmology has the ability to grab hold of us at a deep, visceral level because an understanding of how things began feels-at least to some-like the closest we may ever come to understanding why they began. That is not to say that modern science provides a connection between the question of how and the question of why-it doesn't-and it may well be that no such scientific connection is ever found. But the study of cosmology does hold the promise of giving us our most complete understanding of the arena of the why-the birth of the universe-and this at least allows for a scientifically informed view of the frame within which the questions are asked. Sometimes attaining the deepest familiarity with a question is our best substitute for actually having the answer.
+In the context of searching for the ultimate theory, these lofty reflections on cosmology give way to far more concrete considerations. The way things in the universe appear to us today-way on the far right-hand side of the time line in Figure 14.1-depends upon the fundamental laws of physics, to be sure, but it may also depend on aspects of cosmological evolution, from the far left-hand side of the time line, that potentially lie outside the scope of even the deepest theory.
+It's not hard to imagine how this might be. Think of what happens, for example, when you toss a ball in the air. The laws of gravity govern the ball's subsequent motion, but we can't predict where the ball will land exclusively from those laws. We must also know the velocity of the ball-its speed and direction-as it left your hand. That is, we must know the initial conditions of the ball's motion. Similarly, there are features of the universe that also have a historical contingency-the reason why a star formed here or a planet there depends upon a complicated chain of events that, at least in principle, we can imagine tracing back to some feature of how the universe was when it all began. But it is possible that even more basic features of the universe, perhaps even the properties of the fundamental matter and force particles, also have a direct dependence on historical evolution-evolution that itself is contingent upon the initial conditions of the universe.
+In fact, we've already noted one possible incarnation of this idea in string theory: As the hot, early universe evolved, the extra dimensions may have transmuted from shape to shape, ultimately settling down to one particular Calabi-Yau space once things had cooled off sufficiently. But, like a ball tossed in the air, the result of that journey through numerous Calabi-Yau shapes may well depend on details of how the journey got started in the first place. And through the influence of the resulting Calabi-Yau shape on particle masses and on properties of forces, we see that cosmological evolution and the state of the universe when it began can have a profound impact on the physics we currently observe.
+We don't know what the initial conditions of the universe were, or even the ideas, concepts, and language that should be used to describe them. We believe that the outrageous initial state of infinite energy, density, and temperature that arises in the standard and inflationary cosmological models is a signal that these theories have broken down rather than a correct description of the physical conditions that actually existed. String theory offers an improvement by showing how such infinite extremes might be avoided; nevertheless, no one has any insight on the question of how things actually did begin. In fact, our ignorance persists on an even higher plane: We don't know whether the question of determining the initial conditions is one that is even sensible to ask or whether-like asking general relativity to give insight into how hard you happened to toss a ball in the air-it is a question that lies forever beyond the grasp of any theory. Valiant attempts by physicists such as Hawking and James Hartle of the University of California at Santa Barbara have tried to bring the question of cosmological initial conditions within the umbrella of physical theory, but all such attempts remain inconclusive. In the context of string/M-theory, our cosmological understanding is, at present, just too primitive to determine whether our candidate "theory of everything" truly lives up to its name and determines its own cosmological initial conditions, thereby elevating them to the status of physical law. This is a prime question for future research.
+But even beyond the issue of initial conditions and their impact on the ensuing historical twists and turns of cosmic evolution, some recent and highly speculative proposals have argued for yet other potential limits on the explanatory power of any final theory. No one knows if these ideas are right or wrong, and certainly they currently lie on the outskirts of mainstream science. But they do highlight-albeit in a rather provocative and speculative manner-an obstacle that any proposed final theory may encounter.
+The basic idea rests upon the following possibility. Imagine that what we call the universe is actually only one tiny part of a vastly larger cosmological expanse, one of an enormous number of island universes scattered across a grand cosmological archipelago. Although this might sound rather far-fetched-and in the end it may well be-André Linde has suggested a concrete mechanism that might lead to such a gargantuan universe. Linde has found that the brief but crucial burst of inflationary expansion discussed earlier may not have been a unique, one-time event. Instead, he argues, the conditions for inflationary expansion may happen repeatedly in isolated regions peppered throughout the cosmos, which then undergo their own inflationary ballooning in size, evolving into new, separate universes. And in each of these universes, the process continues, with new universes sprouting from far-flung regions in the old, generating a never ending web of ballooning cosmic expanses. The terminology gets a little cumbersome, but let's follow fashion and call this greatly expanded notion of the universe the multiverse, with each of the constituent parts being called a universe.
+The central observation is that whereas in Chapter 7 we noted that everything we know points toward a consistent and uniform physics throughout our universe, this may have no bearing on the physical attributes in these other universes so long as they are separate from us, or at least so far away that their light has not had time to reach us. And so we can imagine that physics varies from one universe to another. In some, the differences may be subtle: For example, the electron mass or the strength of the strong force might be a thousandth of a percent larger or smaller than in our universe. In others, physics may differ in more pronounced ways: The up-quark might weigh ten times what it weighs in our universe, or the strength of the electromagnetic force might be ten times the value we measure, with all the profound implications that this has on stars and on life as we know it (as indicated in Chapter 1). And in other universes, physics may differ in still more dramatic ways: The list of elementary particles and forces may be completely distinct from ours, or, taking a cue from string theory, even the number of extended dimensions may differ, with some cramped universes having as few as zero or one large spatial dimension, while other expansive universes possess eight, nine, or even ten extended spatial dimensions. If we let our imaginations run free, even the laws themselves can drastically differ from universe to universe. The range of possibilities is endless.
+Here's the point. If we scan through this huge maze of universes, the vast majority will not have conditions hospitable to life, or at least to anything remotely akin to life as we know it. For drastic changes in familiar physics, this is clear: If our universe truly looked like the Garden-hose universe, life as we know it would not exist. But even rather conservative changes to physics would interfere with the formation of stars, for example, disrupting their ability to act as cosmic furnaces that synthesize complex life-supporting atoms such as carbon and oxygen that, normally, are spewed throughout the universe by supernova explosions. In light of the sensitive dependence of life on the details of physics, if we now ask, for instance, why the forces and particles of nature have the particular properties we observe, a possible answer emerges: Across the entire multiverse, these features vary widely; their properties can be different and are different in other universes. What's special about the particular combination of particle and force properties we observe is that, clearly, they allow life to form. And life, intelligent life in particular, is a prerequisite even to ask the question of why our universe has the properties it does. In plain language, things are the way they are in our universe because if they weren't, we wouldn't be here to notice. Like the winners of a mass game of Russian roulette, whose surprise at surviving is tempered by the realization that had they not won, they wouldn't have been able not to feel surprised, the multiverse hypothesis has the capacity to lessen our insistence on explaining why our universe appears as it does.
+This line of argument is a version of an idea with a long history known as the anthropic principle. As presented, it is a perspective that is diametrically opposed to the dream of a rigid, fully predictive, unified theory in which things are the way they are because the universe could not be otherwise. Rather than being the epitome of poetic grace in which everything fits together with inflexible elegance, the multiverse and the anthropic principle paint a picture of a wildly excessive collection of universes with an insatiable appetite for variety. It will be extremely hard, if not impossible, for us ever to know if the multiverse picture is true. Even if there are other universes, we can imagine that we will never come into contact with any of them. But by vastly increasing the scope of "what's out there"-in a manner that dwarfs Hubble's realization that the Milky Way is but one galaxy among many-the concept of the multiverse does at least alert us to the possibility that we may be asking too much of an ultimate theory.
+We should require that our ultimate theory give a quantum-mechanically consistent description of all forces and all matter. We should require that our ultimate theory give a cogent cosmology within our universe. However, if the multiverse picture is correct-a huge if-it may be asking too much for our theory to explain, as well, the detailed properties of the particle masses, charges, and the force strengths.
+But we must emphasize that even if we accept the speculative premise of the multiverse, the conclusion that this compromises our predictive power is far from airtight. The reason, simply put, is that if we unleash our imaginations and allow ourselves to contemplate a multiverse, we should also unleash our theoretical musings and contemplate ways in which the apparent randomness of the multiverse can be tamed. For one relatively conservative musing, we can imagine that-were the multiverse picture true-we would be able to extend our ultimate theory to its full sprawling expanse, and that our "extended ultimate theory" might tell us precisely why and how the values of the fundamental parameters are sprinkled across the constituent universes.
+A more radical musing comes from a proposal of Lee Smolin of Penn State University, who, inspired by the similarity between conditions at the big bang and at the centers of black holes-each being characterized by a colossal density of crushed matter-has suggested that every black hole is the seed for a new universe that erupts into existence through a big bang-like explosion, but is forever hidden from our view by the black hole's event horizon. Beyond proposing another mechanism for generating a multiverse, Smolin has injected a new element-a cosmic version of genetic mutation-that does an end run around the scientific limitations associated with the anthropic principle.9 Imagine, he suggests, that when a universe sprouts from the core of a black hole, its physical attributes, such as particle masses and force strengths, are close, but not identical, to those of its parent universe. Since black holes arise from extinguished stars, and star formation depends upon the precise values of the particle masses and force strengths, the fecundity of any given universe-the number of black hole progeny it can produce-depends sensitively on these parameters. Small variations in the parameters of the progeny universes will therefore lead to some that are even more optimized for black hole production than their parent universe, and have an even greater number of offspring universes of their own.10 After many "generations," the descendants of universes optimized for producing black holes will thus be so numerous that they will overwhelm the population of the multiverse. And so, rather than invoking the anthropic principle, Smolin's suggestion provides a dynamic mechanism that, on average, drives the parameters of each next-generation universe ever closer to particular values-those that are optimum for black hole production.
+This approach gives another method, even in the context of the multiverse, in which the fundamental matter and force parameters can be explained. If Smolin's theory is right, and if we are a typical member of a mature multiverse (these are big "ifs" and can be debated on many fronts, of course), the parameters of the particles and forces that we measure should be optimized for black hole production. That is, any fiddling with these parameters of our universe should make it harder for black holes to form. Physicists have begun to investigate this prediction; at present there is no consensus on its validity. But even if Smolin's specific proposal turns out to be wrong, it does present yet another shape that the ultimate theory might take. The ultimate theory may, at first sight, appear to lack rigidity. We may find that it can describe a wealth of universes, most of which have no relevance to the one we inhabit. And moreover, we can imagine that this wealth of universes may be physically realized, leading to a multiverse-something that, at first sight, forever limits our predictive power. In fact, however, this discussion illustrates that an ultimate explanation can yet be achieved, so long as we grasp not only the ultimate laws but also their implications for cosmological evolution on an unexpectedly grand scale.
+Undoubtedly, the cosmological implications of string/M-theory will be a major field of study well into the twenty-first century. Without accelerators capable of producing Planck-scale energies, we will increasingly have to rely on the cosmological accelerator of the big bang, and the relics it has left for us throughout the universe, for our experimental data. With luck and perseverance, we may finally be able to answer questions such as how the universe began, and why it has evolved to the form we behold in the heavens and on earth. There is, of course, much uncharted territory between where we are and where full answers to these fundamental questions lie. But the development of a quantum theory of gravity through superstring theory lends credence to the hope that we now possess theoretical tools for pushing into the vast regions of the unknown, and, no doubt after many a struggle, possibly emerging with answers to some of the deepest questions ever posed.
+Part V: Unification in the Twenty-First Century
+
+Chapter 15
+Prospects
+Centuries from now, superstring theory, or its evolution within M-theory, may have developed so far beyond our current formulation that it might be unrecognizable even to today's leading researchers. As we continue to seek the ultimate theory, we may well find that string theory is but one of many pivotal steps on a path toward a far grander conception of the cosmos-a conception that involves ideas that differ radically from anything we have previously encountered. The history of science teaches us that each time we think that we have it all figured out, nature has a radical surprise in store for us that requires significant and sometimes drastic changes in how we think the world works. Then again, in a bit of brash posturing, we can also imagine, as others before us have perhaps naively done, that we are living through a landmark period in humanity's history in which the search for the ultimate laws of the universe will finally draw to a close. As Edward Witten has said,
+I feel that we are so close with string theory that-in my moments of greatest optimism-I imagine that any day, the final form of the theory might drop out of the sky and land in someone's lap. But more realistically, I feel that we are now in the process of constructing a much deeper theory than anything we have had before and that well into the twenty-first century, when I am too old to have any useful thoughts on the subject, younger physicists will have to decide whether we have in fact found the final theory.1
+Although we are still feeling the aftershocks of the second superstring revolution and absorbing the panoply of new insights that it has engendered, most string theorists agree that it will likely take a third and maybe a fourth such theoretical upheaval before the full power of string theory is unleashed and its possible role as the final theory assessed. As we have seen, string theory has already painted a remarkable new picture of how the universe works, but there are significant hurdles and loose ends that will no doubt be the primary focus of string theorists in the twenty-first century. And so, in this last chapter we will not be able to finish telling the story of humanity's search for the deepest laws of the universe, because the search continues. Instead, let's guide our gaze into the future of string theory by discussing five central questions string theorists will face as they continue the pursuit of the ultimate theory.
+What Is the Fundamental Principle Underlying String Theory?
+One overarching lesson we have learned during the past hundred years is that the known laws of physics are associated with principles of symmetry. Special relativity is based on the symmetry embodied in the principle of relativity-the symmetry between all constant-velocity vantage points. The gravitational force, as embodied in the general theory of relativity, is based on the equivalence principle-the extension of the principle of relativity to embrace all possible vantage points regardless of the complexity of their states of motion. And the strong, weak, and electromagnetic forces are based on the more abstract gauge symmetry principles.
+Physicists, as we have discussed, tend to elevate symmetry principles to a place of prominence by putting them squarely on the pedestal of explanation. Gravity, in this view, exists in order that all possible observational vantage points are on completely equal footing-i.e., so that the equivalence principle holds. Similarly, the nongravitational forces exist in order that nature respect their associated gauge symmetries. Of course, this approach shifts the question of why a certain force exists to why nature respects its associated symmetry principle. But this certainly feels like progress, especially when the symmetry in question is one that seems eminently natural. For example, why should one observer's frame of reference be treated differently from another's? It seems far more natural for the laws of the universe to treat all observational vantage points equally; this is accomplished through the equivalence principle and the introduction of gravity into the structure of the cosmos. Although it requires some mathematical background to appreciate fully, as we indicated in Chapter 5, there is a similar rationale behind the gauge symmetries underlying the three nongravitational forces.
+String theory takes us down another notch on the scale of explanatory depth because all of these symmetry principles, as well as another-supersymmetry-emerge from its structure. In fact, had history followed a different course-and had physicists come upon string theory some hundred years earlier-we can imagine that these symmetry principles would have all been discovered by studying its properties. But bear in mind that whereas the equivalence principle gives us some understanding of why gravity exists, and the gauge symmetries give us some sense of why the nongravitational forces exist, in the context of string theory these symmetries are consequences; although their importance is in no way diminished, they are part of the end product of a much larger theoretical structure.
+This discussion brings the following question into sharp relief: Is string theory itself an inevitable consequence of some broader principle-possibly but not necessarily a symmetry principle-in much the same way that the equivalence principle inexorably leads to general relativity or that gauge symmetries lead to the nongravitational forces? As of this writing, no one has any insight into the answer to this question. To appreciate its importance, we need only imagine Einstein trying to formulate general relativity without having had the happy thought he experienced in the Bern patent office in 1907 that led him to the principle of equivalence. It would not have been impossible to formulate general relativity without first having this key insight, but it certainly would have been extremely difficult. The equivalence principle provides a succinct, systematic, and powerful organizational framework for analyzing the gravitational force. The description of general relativity we gave in Chapter 3, for example, relied centrally on the equivalence principle, and its role in the full mathematical formalism of the theory is even more crucial.
+Currently, string theorists are in a position analogous to an Einstein bereft of the equivalence principle. Since Veneziano's insightful guess in 1968, the theory has been pieced together, discovery by discovery, revolution by revolution. But a central organizing principle that embraces these discoveries and all other features of the theory within one overarching and systematic framework-a framework that makes the existence of each individual ingredient absolutely inevitable-is still missing. The discovery of this principle would mark a pivotal moment in the development of string theory, as it would likely expose the theory's inner workings with unforeseen clarity There is, of course, no guarantee that such a fundamental principle exists, but the evolution of physics during the last hundred years encourages string theorists to have high hopes that it does. As we look to the next stage in the development of string theory, finding its "principle of inevitability"-that underlying idea from which the whole theory necessarily springs forth-is of the highest priority.2
+What Are Space and Time, Really, and Can We Do without Them?
+In many of the preceding chapters, we have freely made use of the concepts of space and of spacetime. In Chapter 2 we described Einstein's realization that space and time are inextricably interwoven by the unexpected fact that an object's motion through space has an influence on its passage through time. In Chapter 3, we deepened our understanding of spacetime's role in the unfolding of the cosmos through general relativity, which shows that the detailed shape of the spacetime fabric communicates the force of gravity from one place to another. The violent quantum undulations in the microscopic structure of the fabric, as discussed in Chapters 4 and 5, established the need for a new theory, leading us to string theory. And finally, in a number of the chapters that followed, we have seen that string theory proclaims that the universe has many more dimensions than we are aware of, some of which are curled up into tiny but complicated shapes that can undergo wondrous transformations in which their fabric punctures, tears, and then repairs itself.
+Through graphic representations such as Figures 3.4, 3.6, and 8.10, we have tried to illustrate these ideas by envisioning the fabric of space and spacetime as if it were somewhat like a piece of material out of which the universe is tailored. These images have considerable explanatory power; they are used regularly by physicists as a visual guide in their own technical work. Although staring at figures such as the ones just mentioned gives a gradual impression of meaning, one can still be left asking, What do we really mean by the fabric of the universe?
+This is a profound question that has, in one form or another, been the subject of debate for hundreds of years. Newton declared space and time to be eternal and immutable ingredients in the makeup of the cosmos, pristine structures lying beyond the bounds of question and explanation. As he wrote in the Principia, "Absolute space, in its own nature, without relation to anything external, remains always similar and immovable. Absolute, true, and mathematical time, of itself, and from its own nature, flows equably without relation to anything external."3 Gottfried Leibniz and others vociferously disagreed, claiming that space and time are merely bookkeeping devices for conveniently summarizing relationships between objects and events within the universe. The location of an object in space and in time has meaning only in comparison with another. Space and time are the vocabulary of these relations, but nothing more. Although Newton's view, supported by his experimentally successful three laws of motion, held sway for more than two hundred years, Leibniz's conception, further developed by the Austrian physicist Ernst Mach, is much closer to our current picture. As we have seen, Einstein's special and general theories of relativity firmly did away with the concept of an absolute and universal notion of space and time. But we can still ask whether the geometrical model of spacetime that plays such a pivotal role in general relativity and in string theory is solely a convenient shorthand for the spatial and temporal relations between various locations, or whether we should view ourselves as truly being embedded in something when we refer to our immersion within the spacetime fabric.
+Although we are heading into speculative territory, string theory does suggest an answer to this question. The graviton, the smallest bundle of gravitational force, is one particular pattern of string vibration. And just as an electromagnetic field such as visible light is composed of an enormous number of photons, a gravitational field is composed of an enormous number of gravitons-that is, an enormous number of strings executing the graviton vibrational pattern. Gravitational fields, in turn, are encoded in the warping of the spacetime fabric, and hence we are led to identify the fabric of spacetime itself with a colossal number of strings all undergoing the same, orderly, graviton pattern of vibration. In the language of the field, such an enormous, organized array of similarly vibrating strings is known as a coherent state of strings. It's a rather poetic image-the strings of string theory as the threads of the spacetime fabric-but we should note that its rigorous meaning has yet to be worked out completely.
+Nevertheless, describing the spacetime fabric in this string-stitched form does lead us to contemplate the following question. An ordinary piece of fabric is the end product of someone having carefully woven together individual threads, the raw material of common textiles. Similarly, we can ask ourselves whether there is a raw precursor to the fabric of spacetime-a configuration of the strings of the cosmic fabric in which they have not yet coalesced into the organized form that we recognize as spacetime. Notice that it is somewhat inaccurate to picture this state as a jumbled mass of individual vibrating strings that have yet to stitch themselves together into an ordered whole because, in our usual way of thinking, this presupposes a notion of both space and time-the space in which a string vibrates and the progression of time that allows us to follow its changes in shape from one moment to the next. But in the raw state, before the strings that make up the cosmic fabric engage in the orderly, coherent vibrational dance we are discussing, there is no realization of space or time. Even our language is too coarse to handle these ideas, for, in fact, there is even no notion of before. In a sense, it's as if individual strings are "shards" of space and time, and only when they appropriately undergo sympathetic vibrations do the conventional notions of space and time emerge.
+Imagining such a structureless, primal state of existence, one in which there is no notion of space or time as we know it, pushes most people's powers of comprehension to their limit (it certainly pushes mine). Like the Stephen Wright one-liner about the photographer who is obsessed with getting a close-up shot of the horizon, we run up against a clash of paradigms when we try to envision a universe that is, but that somehow does not invoke the concepts of space or time. Nevertheless, it is likely that we will need to come to terms with such ideas and understand their implementation before we can fully assess string theory. The reason is that our present formulation of string theory presupposes the existence of space and time within which strings (and the other ingredients found in M-theory) move about and vibrate. This allows us to deduce the physical properties of string theory in a universe with one time dimension, a certain number of extended space dimensions (usually taken to be three), and additional dimensions that are curled up into one of the shapes allowed by the equations of the theory. But this is somewhat like assessing an artist's creative talent by requiring that she work from a paint-by-number kit. She will, undoubtedly, add a personal flair here or there, but by so tightly constraining the format of her work, we are blinding ourselves to all but a slender view of her abilities. Similarly, since the triumph of string theory is its natural incorporation of quantum mechanics and gravity, and since gravity is bound up with the form of space and time, we should not constrain the theory by forcing it to operate within an already existing spacetime framework. Rather, just as we should allow our artist to work from a blank canvas, we should allow string theory to create its own spacetime arena by starting in a spaceless and timeless configuration.
+The hope is that from this blank slate starting point-possibly in an era that existed before the big bang or the pre-big bang (if we can use temporal terms, for lack of any other linguistic framework)-the theory will describe a universe that evolves to a form in which a background of coherent string vibrations emerges, yielding the conventional notions of space and time. Such a framework, if realized, would show that space, time, and, by association, dimension are not essential defining elements of the universe. Rather, they are convenient notions that emerge from a more basic, atavistic, and primary state.
+Already, cutting-edge research on aspects of M-theory, spearheaded by Stephen Shenker, Edward Witten, Tom Banks, Willy Fischler, Leonard Susskind, and others too numerous to name, has shown that something known as a zero-brane-possibly the most fundamental ingredient in M-theory, an object that behaves somewhat like a point particle at large distances but has drastically different properties at short ones-may give us a glimpse of the spaceless and timeless realm. Their work has revealed that whereas strings show us that conventional notions of space cease to have relevance below the Planck scale, the zero-branes give essentially the same conclusion but also provide a tiny window on the new unconventional framework that takes over. Studies with these zero-branes indicate that ordinary geometry is replaced by something known as noncommutative geometry, an area of mathematics developed in large part by the French mathematician Alain Connes.4 In this geometrical framework, the conventional notions of space and of distance between points melt away, leaving us in a vastly different conceptual landscape. Nevertheless, as we focus our attention on scales larger than the Planck length, physicists have shown that our conventional notion of space does re-emerge. It is likely that the framework of noncommutative geometry is still some significant steps away from the blank-slate state anticipated above, but it does give us a hint of what the more complete framework for incorporating space and time may involve.
+Finding the correct mathematical apparatus for formulating string theory without recourse to a pre-existing notion of space and time is one of the most important issues facing string theorists. An understanding of how space and time emerge would take us a huge step closer to answering the crucial question of which geometrical form actually does emerge.
+Will String Theory Lead to a Reformulation of Quantum Mechanics?
+The universe is governed by the principles of quantum mechanics to fantastic accuracy. Even so, in formulating theories over the past half century, physicists have followed a strategy that, structurally speaking, places quantum mechanics in a somewhat secondary position. In devising theories, physicists often start by working in a purely classical language that ignores quantum probabilities, wave functions, and so forth-a language that would be perfectly intelligible to physicists in the age of Maxwell and even in the age of Newton-and then, subsequently, overlaying quantum concepts upon the classical framework. This approach is not particularly surprising, since it directly mirrors our experiences. At first blush, the universe appears to be governed by laws rooted in classical concepts such as a particle having a definite position and a definite velocity at any given moment in time. It is only after detailed microscopic scrutiny that we realize that we must modify such familiar classical ideas. Our process of discovery has gone from a classical framework to one that is modified by quantum revelations, and this progression is echoed in the way that physicists, to this day, go about constructing their theories.
+This is certainly the case with string theory. The mathematical formalism describing string theory begins with equations that describe the motion of a tiny, infinitely thin piece of classical thread-equations that, to a large extent, Newton could have written down some three hundred years ago. These equations are then quantized. That is, in a systematic manner developed by physicists over the course of more than 50 years, the classical equations are converted into a quantum-mechanical framework in which probabilities, uncertainty, quantum jitters, and so on are directly incorporated. In fact, in Chapter 12 we have seen this procedure in action: The loop processes (see Figure 12.6) incorporate quantum concepts-in this case, the momentary quantum-mechanical creation of virtual string pairs-with the number of loops determining the precision with which quantum-mechanical effects are accounted for.
+The strategy of beginning with a theoretical description that is classical and then subsequently including the features of quantum mechanics has been extremely fruitful for many years. It underlies, for example, the standard model of particle physics. But it is possible, and there is growing evidence that it is likely, that this method is too conservative for dealing with theories that are as far-reaching as string theory and M-theory. The reason is that once we realize that the universe is governed by quantum-mechanical principles, our theories really should be quantum mechanical from the start. We have successfully gotten away with starting from a classical perspective until now because we have not been probing the universe at a deep enough level for this coarse approach to mislead us. But with the depth of string/M-theory, we may well have come to the end of the line for this battle-tested strategy.
+We can find specific evidence for this by reconsidering some of the insights emerging from the second superstring revolution (as summarized, for example, by Figure 12.11). As we discussed in Chapter 12, the dualities underlying the unity of the five string theories show us that physical processes that occur in any one string formulation can be reinterpreted in the dual language of any of the others. This rephrasing will at first appear to have little to do with the original description, but, in fact, this is simply the power of duality at work: Through duality, one physical process can be described in a number of vastly different ways. These results are both subtle and remarkable, but we have not yet mentioned what may well be their most important feature.
+The duality translations often take a process, described in one of the five string theories, that is strongly dependent on quantum mechanics (for example, a process involving string interactions that would not happen if the world were governed by classical, as opposed to quantum, physics) and reformulate it as a process that is weakly dependent on quantum mechanics from the perspective of one of the other string theories (for example, a process whose detailed numerical properties are influenced by quantum considerations but whose qualitative form is similar to what it would be in a purely classical world). This means that quantum mechanics is thoroughly intertwined within the duality symmetries underlying string/M-theory: They are inherently quantum-mechanical symmetries, since one of the dual descriptions is strongly influenced by quantum considerations. This indicates forcefully that the complete formulation of string/M-theory-a formulation that fundamentally incorporates the newfound duality symmetries-cannot begin classically and then undergo quantization, in the traditional mold. A classical starting point will necessarily omit the duality symmetries, since they hold true only when quantum mechanics is taken into account. Rather, it appears that the complete formulation of string/M-theory must break the traditional mold and spring into existence as a full-fledged quantum-mechanical theory.
+Currently, no one knows how to do this. But many string theorists foresee a reformulation of how quantum principles are incorporated into our theoretical description of the universe as the next major upheaval in our understanding. For example, as Cumrun Vafa has said, "I think that a reformulation of quantum mechanics which will resolve many of its puzzles is just around the corner. I think many share the view that the recently uncovered dualities point toward a new, more geometrical framework for quantum mechanics, in which space, time, and quantum properties will be inseparably joined together."5 And according to Edward Witten, "I believe the logical status of quantum mechanics is going to change in a manner that is similar to the way that the logical status of gravity changed when Einstein discovered the equivalence principle. This process is far from complete with quantum mechanics, but I think that people will one day look back on our epoch as the period when it began."6
+With guarded optimism, we can envision that a reframing of the principles of quantum mechanics within string theory may yield a more powerful formalism that is capable of giving us an answer to the question of how the universe began and why there are such things as space and time-a formalism that will take us one step closer to answering Leibniz's question of why there is something rather than nothing.
+Can String Theory Be Experimentally Tested?
+Among the many features of string theory that we have discussed in the preceding chapters, the following three are perhaps the most important ones to keep firmly in mind. First, gravity and quantum mechanics are part and parcel of how the universe works and therefore any purported unified theory must incorporate both. String theory accomplishes this. Second, studies by physicists over the past century have revealed that there are other key ideas-many of which have been experimentally confirmed-that appear central to our understanding of the universe. These include the concepts of spin, the family structure of matter particles, messenger particles, gauge symmetry, the equivalence principle, symmetry breaking, and supersymmetry, to name a few. All of these concepts emerge naturally from string theory. Third, unlike more conventional theories such as the standard model, which has 19 free parameters that can be adjusted to ensure agreement with experimental measurements, string theory has no adjustable parameters. In principle, its implications should be thoroughly definitive-they should provide an unambiguous test of whether the theory is right or wrong.
+The road from this "in principle" ratiocination to an "in practice" fact is encumbered by many hurdles. In Chapter 9 we described some of the technical obstacles, such as determining the form of the extra dimensions, that currently stand in our way. In Chapters 12 and 13 we placed these and other obstacles in the broader context of our need for an exact understanding of string theory, which, as we have seen, naturally leads us to the consideration of M-theory. No doubt, achieving a full understanding of string/M-theory will require a great deal of hard work and an equal amount of ingenuity.
+At every step of the way, string theorists have sought and will continue to seek experimentally observable consequences of the theory. We must not lose sight of the long-shot possibilities for finding evidence of string theory discussed in Chapter 9. Furthermore, as our understanding deepens there will, no doubt, be other rare processes or features of string theory that will suggest yet other indirect experimental signatures.
+But most notably, the confirmation of supersymmetry, through the discovery of superpartner particles as discussed in Chapter 9, would be a major milestone for string theory. We recall that supersymmetry was discovered in the course of theoretical investigations of string theory, and that it is a central part of the theory. Its experimental confirmation would be a compelling, albeit circumstantial, piece of evidence for strings. Moreover, finding the superpartner particles would provide a welcome challenge, since the discovery of supersymmetry would do far more than merely answer the yes-no question of its relevance to our world. The masses and charges of the superpartner particles would reveal the detailed way in which supersymmetry is incorporated into the laws of nature. String theorists would then face the challenge of seeing whether this implementation can be fully realized or explained by string theory. Of course, we can be even more optimistic and hope that within the next decade-before the Large Hadron Collider in Geneva comes on-line-the understanding of string theory will have progressed sufficiently for detailed predictions about the superpartners to be made prior to their hoped-for discovery. Confirmation of such predictions would be a monumental moment in the history of science.
+Are There Limits to Explanation?
+Explaining everything, even in the circumscribed sense of understanding all aspects of the forces and the elementary constituents of the universe, is one of the greatest challenges science has ever faced. And for the first time, superstring theory gives us a framework that appears to have sufficient depth to meet the challenge. But will we ever realize the promise of the theory fully and, for example, calculate the masses of the quarks or the strength of the electromagnetic force, numbers whose precise values dictate so much about the universe? As in the previous sections, we will have to surmount numerous theoretical hurdles on the way to these goals-currently, the most prominent is achieving a full nonperturbative formulation of string/M-theory.
+But is it possible that even if we had an exact understanding of string/M-theory, framed within a new and far more transparent formulation of quantum mechanics, we could still fail in our quest to calculate particle masses and force strength? Is it possible that we would still have to resort to experimental measurements, rather than theoretical calculations, for their values? And, moreover, might it be that this failing does not mean that we need to look for an even deeper theory, but simply reflects that there is no explanation for these observed properties of reality?
+One immediate answer to all these questions is yes. As Einstein said some time ago, "The most incomprehensible thing about the universe is that it is comprehensible."7 The astonishment at our ability to understand the universe at all is easily lost sight of in an age of rapid and impressive progress. However, maybe there is a limit to comprehensibility. Maybe we have to accept that after reaching the deepest possible level of understanding science can offer, there will nevertheless be aspects of the universe that remain unexplained. Maybe we will have to accept that certain features of the universe are the way they are because of happenstance, accident, or divine choice. The success of the scientific method in the past has encouraged us to think that with enough time and effort we can unravel nature's mysteries. But hitting the absolute limit of scientific explanation-not a technological obstacle or the current but progressing edge of human understanding-would be a singular event, one for which past experience could not prepare us.
+Although of great relevance to our quest for the ultimate theory, this is an issue we cannot yet resolve; indeed, the possibility that there are limits to scientific explanation, in the broad way we have stated it, is an issue that may never be resolved. We have seen, for instance, that even the speculative notion of the multiverse, which at first sight appears to present a definite limit to scientific explanation, can be dealt with by dreaming up equally speculative theories that, at least in principle, can restore predictive power.
+One highlight emerging from these considerations is the role of cosmology in determining the implications of an ultimate theory. As we have discussed, superstring cosmology is a young field, even by the youthful standards set by string theory itself. It will, undoubtedly, be an area of primary research focus for years to come, and it is likely to be one of the major growth areas of the field. As we continue to gain new insight into the properties of string/M-theory, our ability to assess the cosmological implications of this rich attempt at a unified theory will become ever sharper. It is possible, of course, that such studies may one day convince us that, indeed, there is a limit to scientific explanation. But it is also possible, to the contrary, that they will usher in a new era-an era in which we can declare that a fundamental explanation of the universe has finally been found.
+Reaching for the Stars
+Although we are technologically bound to the earth and its immediate neighbors in the solar system, through the power of thought and experiment we have probed the far reaches of both inner and outer space. During the last hundred years in particular, the collective effort of numerous physicists has revealed some of nature's best-kept secrets. And once revealed, these explanatory gems have opened vistas on a world we thought we knew, but whose splendor we had not even come close to imagining. One measure of the depth of a physical theory is the extent to which it poses serious challenges to aspects of our worldview that had previously seemed immutable. By this measure, quantum mechanics and the theories of relativity are deep beyond anyone's wildest expectations: Wave functions, probabilities, quantum tunneling, the ceaseless roiling energy fluctuations of the vacuum, the smearing together of space and time, the relative nature of simultaneity, the warping of the spacetime fabric, black holes, the big bang. Who could have guessed that the intuitive, mechanical, clockwork Newtonian perspective would turn out to be so thoroughly parochial-that there was a whole new mind-boggling world lying just beneath the surface of things as they are ordinarily experienced?
+But even these paradigm-shaking discoveries are only part of a larger, all-encompassing story. With solid faith that laws of the large and the small should fit together into a coherent whole, physicists are relentlessly hunting down the elusive unified theory. The search is not over, but through superstring theory and its evolution into M-theory, a cogent framework for merging quantum mechanics, general relativity, and the strong, weak, and electromagnetic forces has finally emerged. And the challenges these developments pose to our previous way of seeing the world are monumental: loops of strings and oscillating globules, uniting all of creation into vibrational patterns that are meticulously executed in a universe with numerous hidden dimensions capable of undergoing extreme contortions in which their spatial fabric tears apart and then repairs itself. Who could have guessed that the merging of gravity and quantum mechanics into a unified theory of all matter and all forces would yield such a revolution in our understanding of how the universe works?
+No doubt, there are even grander surprises in store for us as we continue to seek a full and calculationally tractable understanding of superstring theory. Already, through studies in M-theory, we have seen glimpses of a strange new domain of the universe lurking beneath the Planck length, possibly one in which there is no notion of time or space. At the opposite extreme, we have also seen that our universe may merely be one of the innumerable frothing bubbles on the surface of a vast and turbulent cosmic ocean called the multiverse. These ideas are at the current edge of speculation, but they may presage the next leap in our understanding of the universe.
+As we fix our sight on the future and anticipate all the wonders yet in store for us, we should also reflect back and marvel at the journey we have taken so far. The search for the fundamental laws of the universe is a distinctly human drama, one that has stretched the mind and enriched the spirit. Einstein's vivid description of his own quest to understand gravity-"the years of anxious searching in the dark, with their intense longing, their alternations of confidence and exhaustion, and final emergence into the light"8-encompasses, surely, the whole human struggle. We are all, each in our own way, seekers of the truth and we each long for an answer to why we are here. As we collectively scale the mountain of explanation, each generation stands firmly on the shoulders of the previous, bravely reaching for the peak. Whether any of our descendants will ever take in the view from the summit and gaze out on the vast and elegant universe with a perspective of infinite clarity, we cannot predict. But as each generation climbs a little higher, we realize Jacob Bronowski's pronouncement that "in every age there is a turning point, a new way of seeing and asserting the coherence of the world."9 And as our generation marvels at our new view of the universe-our new way of asserting the world's coherence-we are fulfilling our part, contributing our rung to the human ladder reaching for the stars.
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+Space and time capture the imagination like no other scientific subject. For good reason. They form the arena of reality, the very fabric of the cosmos. Our entire existence-everything we do, think, and experience- takes place in some region of space during some interval of time. Yet science is still struggling to understand what space and time actually are. Are they real physical entities or simply useful ideas? If they're real, are they fundamental, or do they emerge from more basic constituents? What does it mean for space to be empty? Does time have a beginning? Does it have an arrow, flowing inexorably from past to future, as common experience would indicate? Can we manipulate space and time? In this book, we follow three hundred years of passionate scientific investigation seeking answers, or at least glimpses of answers, to such basic but deep questions about the nature of the universe.
+  Our journey also brings us repeatedly to another, tightly related question, as encompassing as it is elusive: What is reality? We humans only have access to the internal experiences of perception and thought, so how can we be sure they truly reflect an external world? Philosophers have long recognized this problem. Filmmakers have popularized it through story lines involving artificial worlds, generated by finely tuned neurological stimulation that exist solely within the minds of their protagonists. And physicists such as myself are acutely aware that the reality we observe-matter evolving on the stage of space and time-may have little to do with the reality, if any, that's out there. Nevertheless, because observations are all we have, we take them seriously. We choose hard data and the framework of mathematics as our guides, not unrestrained imagination or unrelenting skepticism, and seek the simplest yet most wide-reaching theories capable of explaining and predicting the outcome of today's and future experiments. This severely restricts the theories we pursue. (In this book, for example, we won't find a hint that I'm floating in a tank, connected to thousands of brain-stimulating wires, making me merely think that I'm now writing this text.) But during the last hundred years, discoveries in physics have suggested revisions to our everyday sense of reality that are as dramatic, as mind-bending, and as paradigm-shaking as the most imaginative science fiction. These revolutionary upheavals will frame our passage through the pages that follow.
+  Many of the questions we explore are the same ones that, in various guises, furrowed the brows of Aristotle, Galileo, Newton, Einstein, and countless others through the ages. And because this book seeks to convey science in the making, we follow these questions as they've been declared answered by one generation, overturned by their successors, and refined and reinterpreted by scientists in the centuries that followed.
+  For example, on the perplexing question of whether completely empty space is, like a blank canvas, a real entity or merely an abstract idea, we follow the pendulum of scientific opinion as it swings between Isaac Newton's seventeenth-century declaration that space is real, Ernst Mach's conclusion in the nineteenth century that it isn't, and Einstein's twentieth-century dramatic reformulation of the question itself, in which he merged space and time, and largely refuted Mach. We then encounter subsequent discoveries that transformed the question once again by redefining the meaning of "empty," envisioning that space is unavoidably suffused with what are called quantum fields and possibly a diffuse uniform energy called a cosmological constant-modern echoes of the old and discredited notion of a space-filling aether. What's more, we then describe how upcoming space-based experiments may confirm particular features of Mach's conclusions that happen to agree with Einstein's general relativity, illustrating well the fascinating and tangled web of scientific development.
+  In our own era we encounter inflationary cosmology's gratifying insights into time's arrow, string theory's rich assortment of extra spatial dimensions, M-theory's radical suggestion that the space we inhabit may be but a sliver floating in a grander cosmos, and the current wild speculation that the universe we see may be nothing more than a cosmic hologram. We don't yet know if the more recent of these theoretical proposals are right. But outrageous as they sound, we investigate them thoroughly because they are where our dogged search for the deepest laws of the universe leads. Not only can a strange and unfamiliar reality arise from the fertile imagination of science fiction, but one may also emerge from the cutting-edge findings of modern physics.
+  The Fabric of the Cosmos is intended primarily for the general reader who has little or no formal training in the sciences but whose desire to understand the workings of the universe provides incentive to grapple with a number of complex and challenging concepts. As in my first book,  The Elegant Universe, I've stayed close to the core scientific ideas throughout, while stripping away the mathematical details in favor of metaphors, analogies, stories, and illustrations. When we reach the book's most difficult sections, I forewarn the reader and provide brief summaries for those who decide to skip or skim these more involved discussions. In this way, the reader should be able to walk the path of discovery and gain not just knowledge of physics' current worldview, but an understanding of how and why that worldview has gained prominence.
+  Students, avid readers of general-level science, teachers, and professionals should also find much of interest in the book. Although the initial chapters cover the necessary but standard background material in relativity and quantum mechanics, the focus on the corporeality of space and time is somewhat unconventional in its approach. Subsequent chapters cover a wide range of topics-Bell's theorem, delayed choice experiments, quantum measurement, accelerated expansion, the possibility of producing black holes in the next generation of particle accelerators, fanciful wormhole time machines, to name a few-and so will bring such readers up to date on a number of the most tantalizing and debated advances.
+  Some of the material I cover is controversial. For those issues that remain up in the air, I've discussed the leading viewpoints in the main text. For the points of contention that I feel have achieved more of a consensus, I've relegated differing viewpoints to the notes. Some scientists, especially those holding minority views, may take exception to some of my judgments, but through the main text and the notes, I've striven for a balanced treatment. In the notes, the particularly diligent reader will also find more complete explanations, clarifications, and caveats relevant to points I've simplified, as well as (for those so inclined) brief mathematical counterparts to the equation-free approach taken in the main text. A short glossary provides a quick reference for some of the more specialized scientific terms.
+  Even a book of this length can't exhaust the vast subject of space and time. I've focused on those features I find both exciting and essential to forming a full picture of the reality painted by modern science. No doubt, many of these choices reflect personal taste, and so I apologize to those who feel their own work or favorite area of study is not given adequate attention.
+  While writing The Fabric of the Cosmos, I've been fortunate to receive valuable feedback from a number of dedicated readers. Raphael Kasper, Lubos Motl, David Steinhardt, and Ken Vineberg read various versions of the entire manuscript, sometimes repeatedly, and offered numerous, detailed, and insightful suggestions that substantially enhanced both the clarity and the accuracy of the presentation. I offer them heartfelt thanks. David Albert, Ted Baltz, Nicholas Boles, Tracy Day, Peter Demchuk, Richard Easther, Anna Hall, Keith Goldsmith, Shelley Goldstein, Michael Gordin, Joshua Greene, Arthur Greenspoon, Gavin Guerra, Sandra Kauffman, Edward Kastenmeier, Robert Krulwich, Andrei Linde, Shani Offen, Maulik Parikh, Michael Popowits, Marlin Scully, John Stachel, and Lars Straeter read all or part of the manuscript, and their comments were extremely useful. I benefited from conversations with Andreas Albrecht, Michael Bassett, Sean Carrol, Andrea Cross, Rita Greene, Wendy Greene, Susan Greene, Alan Guth, Mark Jackson, Daniel Kabat, Will Kinney, Justin Khoury, Hiranya Peiris, Saul Perlmutter, Koenraad Schalm, Paul Steinhardt, Leonard Susskind, Neil Turok, Henry Tye, William Warmus, and Erick Weinberg. I owe special thanks to Raphael Gunner, whose keen sense of the genuine argument and whose willingness to critique various of my attempts proved invaluable. Eric Martinez provided critical and tireless assistance in the production phase of the book, and Jason Severs did a stellar job of creating the illustrations. I thank my agents, Katinka Matson and John Brockman. And I owe a great debt of gratitude to my editor, Marty Asher, for providing a wellspring of encouragement, advice, and sharp insight that substantially improved the quality of the presentation.
+  During the course of my career, my scientific research has been funded by the Department of Energy, the National Science Foundation, and the Alfred P. Sloan Foundation. I gratefully acknowledge their support.
+I
+REALITY'S ARENA
+1
+Roads to Reality
+SPACE, TIME, AND WHY THINGS ARE AS THEY ARE
+None of the books in my father's dusty old bookcase were forbidden. Yet while I was growing up, I never saw anyone take one down. Most were massive tomes-a comprehensive history of civilization, matching volumes of the great works of western literature, numerous others I can no longer recall-that seemed almost fused to shelves that bowed slightly from decades of steadfast support. But way up on the highest shelf was a thin little text that, every now and then, would catch my eye because it seemed so out of place, like Gulliver among the Brobdingnagians. In hindsight, I'm not quite sure why I waited so long before taking a look. Perhaps, as the years went by, the books seemed less like material you read and more like family heirlooms you admire from afar. Ultimately, such reverence gave way to teenage brashness. I reached up for the little text, dusted it off, and opened to page one. The first few lines were, to say the least, startling.
+  "There is but one truly philosophical problem, and that is suicide," the text began. I winced. "Whether or not the world has three dimensions or the mind nine or twelve categories," it continued, "comes afterward"; such questions, the text explained, were part of the game humanity played, but they deserved attention only after the one true issue had been settled. The book was The Myth of Sisyphus and was written by the Algerian-born philosopher and Nobel laureate Albert Camus. After a moment, the iciness of his words melted under the light of comprehension. Yes, of course, I thought. You can ponder this or analyze that till the cows come home, but the real question is whether all your ponderings and analyses will convince you that life is worth living. That's what it all comes down to. Everything else is detail.
+  My chance encounter with Camus' book must have occurred during an especially impressionable phase because, more than anything else I'd read, his words stayed with me. Time and again I'd imagine how various people I'd met, or heard about, or had seen on television would answer this primary of all questions. In retrospect, though, it was his second assertion-regarding the role of scientific progress-that, for me, proved particularly challenging. Camus acknowledged value in understanding the structure of the universe, but as far as I could tell, he rejected the possibility that such understanding could make any difference to our assessment of life's worth. Now, certainly, my teenage reading of existential philosophy was about as sophisticated as Bart Simpson's reading of Romantic poetry, but even so, Camus' conclusion struck me as off the mark. To this aspiring physicist, it seemed that an informed appraisal of life absolutely required a full understanding of life's arena-the universe. I remember thinking that if our species dwelled in cavernous outcroppings buried deep underground and so had yet to discover the earth's surface, brilliant sunlight, an ocean breeze, and the stars that lie beyond, or if evolution had proceeded along a different pathway and we had yet to acquire any but the sense of touch, so everything we knew came only from our tactile impressions of our immediate environment, or if human mental faculties stopped developing during early childhood so our emotional and analytical skills never progressed beyond those of a five-year-old-in short, if our experiences painted but a paltry portrait of reality-our appraisal of life would be thoroughly compromised. When we finally found our way to earth's surface, or when we finally gained the ability to see, hear, smell, and taste, or when our minds were finally freed to develop as they ordinarily do, our collective view of life and the cosmos would, of necessity, change radically. Our previously compromised grasp of reality would have shed a very different light on that most fundamental of all philosophical questions.
+  But, you might ask, what of it? Surely, any sober assessment would conclude that although we might not understand everything about the universe-every aspect of how matter behaves or life functions-we are privy to the defining, broad-brush strokes gracing nature's canvas. Surely, as Camus intimated, progress in physics, such as understanding the number of space dimensions; or progress in neuropsychology, such as understanding all the organizational structures in the brain; or, for that matter, progress in any number of other scientific undertakings may fill in important details, but their impact on our evaluation of life and reality would be minimal. Surely, reality is what we think it is; reality is revealed to us by our experiences.
+  To one extent or another, this view of reality is one many of us hold, if only implicitly. I certainly find myself thinking this way in day-to-day life; it's easy to be seduced by the face nature reveals directly to our senses. Yet, in the decades since first encountering Camus' text, I've learned that modern science tells a very different story. The overarching lesson that has emerged from scientific inquiry over the last century is that human experience is often a misleading guide to the true nature of reality. Lying just beneath the surface of the everyday is a world we'd hardly recognize. Followers of the occult, devotees of astrology, and those who hold to religious principles that speak to a reality beyond experience have, from widely varying perspectives, long since arrived at a similar conclusion. But that's not what I have in mind. I'm referring to the work of ingenious innovators and tireless researchers-the men and women of science-who have peeled back layer after layer of the cosmic onion, enigma by enigma, and revealed a universe that is at once surprising, unfamiliar, exciting, elegant, and thoroughly unlike what anyone ever expected.
+  These developments are anything but details. Breakthroughs in physics have forced, and continue to force, dramatic revisions to our conception of the cosmos. I remain as convinced now as I did decades ago that Camus rightly chose life's value as the ultimate question, but the insights of modern physics have persuaded me that assessing life through the lens of everyday experience is like gazing at a van Gogh through an empty Coke bottle. Modern science has spearheaded one assault after another on evidence gathered from our rudimentary perceptions, showing that they often yield a clouded conception of the world we inhabit. And so whereas Camus separated out physical questions and labeled them secondary, I've become convinced that they're primary. For me, physical reality both sets the arena and provides the illumination for grappling with Camus' question. Assessing existence while failing to embrace the insights of modern physics would be like wrestling in the dark with an unknown opponent. By deepening our understanding of the true nature of physical reality, we profoundly reconfigure our sense of ourselves and our experience of the universe.
+  The central concern of this book is to explain some of the most prominent and pivotal of these revisions to our picture of reality, with an intense focus on those that affect our species' long-term project to understand space and time. From Aristotle to Einstein, from the astrolabe to the Hubble Space Telescope, from the pyramids to mountaintop observatories, space and time have framed thinking since thinking began. With the advent of the modern scientific age, their importance has only been heightened. Over the last three centuries, developments in physics have revealed space and time as the most baffling and most compelling concepts, and as those most instrumental in our scientific analysis of the universe. Such developments have also shown that space and time top the list of age-old scientific constructs that are being fantastically revised by cutting-edge research.
+  To Isaac Newton, space and time simply were-they formed an inert, universal cosmic stage on which the events of the universe played themselves out. To his contemporary and frequent rival Gottfried Wilhelm von Leibniz, "space" and "time" were merely the vocabulary of relations between where objects were and when events took place. Nothing more. But to Albert Einstein, space and time were the raw material underlying reality. Through his theories of relativity, Einstein jolted our thinking about space and time and revealed the principal part they play in the evolution of the universe. Ever since, space and time have been the sparkling jewels of physics. They are at once familiar and mystifying; fully understanding space and time has become physics' most daunting challenge and sought-after prize.
+  The developments we'll cover in this book interweave the fabric of space and time in various ways. Some ideas will challenge features of space and time so basic that for centuries, if not millennia, they've seemed beyond questioning. Others will seek the link between our theoretical understanding of space and time and the traits we commonly experience. Yet others will raise questions unfathomable within the limited confines of ordinary perceptions.
+  We will speak only minimally of philosophy (and not at all about suicide and the meaning of life). But in our scientific quest to solve the mysteries of space and time, we will be unrestrained. From the universe's smallest speck and earliest moments to its farthest reaches and most distant future, we will examine space and time in environments familiar and far-flung, with an unflinching eye seeking their true nature. As the story of space and time has yet to be fully written, we won't arrive at any final assessments. But we will encounter a series of developments-some intensely strange, some deeply satisfying, some experimentally verified, some thoroughly speculative-that will show how close we've come to wrapping our minds around the fabric of the cosmos and touching the true texture of reality.
+Classical Reality
+Historians differ on exactly when the modern scientific age began, but certainly by the time Galileo Galilei, René Descartes, and Isaac Newton had had their say, it was briskly under way. In those days, the new scientific mind-set was being steadily forged, as patterns found in terrestrial and astronomical data made it increasingly clear that there is an order to all the comings and goings of the cosmos, an order accessible to careful reasoning and mathematical analysis. These early pioneers of modern scientific thought argued that, when looked at the right way, the happenings in the universe not only are explicable but predictable. The power of science to foretell aspects of the future-consistently and quantitatively-had been revealed.
+  Early scientific study focused on the kinds of things one might see or experience in everyday life. Galileo dropped weights from a leaning tower (or so legend has it) and watched balls rolling down inclined surfaces; Newton studied falling apples (or so legend has it) and the orbit of the moon. The goal of these investigations was to attune the nascent scientific ear to nature's harmonies. To be sure, physical reality was the stuff of experience, but the challenge was to hear the rhyme and reason behind the rhythm and regularity. Many sung and unsung heroes contributed to the rapid and impressive progress that was made, but Newton stole the show. With a handful of mathematical equations, he synthesized everything known about motion on earth and in the heavens, and in so doing, composed the score for what has come to be known as classical physics.
+  In the decades following Newton's work, his equations were developed into an elaborate mathematical structure that significantly extended both their reach and their practical utility. Classical physics gradually became a sophisticated and mature scientific discipline. But shining clearly through all these advances was the beacon of Newton's original insights. Even today, more than three hundred years later, you can see Newton's equations scrawled on introductory-physics chalkboards worldwide, printed on NASA flight plans computing spacecraft trajectories, and embedded within the complex calculations of forefront research. Newton brought a wealth of physical phenomena within a single theoretical framework.
+  But while formulating his laws of motion, Newton encountered a critical stumbling block, one that is of particular importance to our story (Chapter 2). Everyone knew that things could move, but what about the arena within which the motion took place? Well, that's space, we'd all answer. But, Newton would reply, what is space? Is space a real physical entity or is it an abstract idea born of the human struggle to comprehend the cosmos? Newton realized that this key question had to be answered, because without taking a stand on the meaning of space and time, his equations describing motion would prove meaningless. Understanding requires context; insight must be anchored.
+  And so, with a few brief sentences in his Principia Mathematica,  Newton articulated a conception of space and time, declaring them absolute and immutable entities that provided the universe with a rigid, unchangeable arena. According to Newton, space and time supplied an invisible scaffolding that gave the universe shape and structure.
+  Not everyone agreed. Some argued persuasively that it made little sense to ascribe existence to something you can't feel, grasp, or affect. But the explanatory and predictive power of Newton's equations quieted the critics. For the next two hundred years, his absolute conception of space and time was dogma.
+Relativistic Reality
+The classical Newtonian worldview was pleasing. Not only did it describe natural phenomena with striking accuracy, but the details of the description-the mathematics-aligned tightly with experience. If you push something, it speeds up. The harder you throw a ball, the more impact it has when it smacks into a wall. If you press against something, you feel it pressing back against you. The more massive something is, the stronger its gravitational pull. These are among the most basic properties of the natural world, and when you learn Newton's framework, you see them represented in his equations, clear as day. Unlike a crystal ball's inscrutable hocus-pocus, the workings of Newton's laws were on display for all with minimal mathematical training to take in fully. Classical physics provided a rigorous grounding for human intuition.
+  Newton had included the force of gravity in his equations, but it was not until the 1860s that the Scottish scientist James Clerk Maxwell extended the framework of classical physics to take account of electrical and magnetic forces. Maxwell needed additional equations to do so and the mathematics he employed required a higher level of training to grasp fully. But his new equations were every bit as successful at explaining electrical and magnetic phenomena as Newton's were at describing motion. By the late 1800s, it was evident that the universe's secrets were proving no match for the power of human intellectual might.
+  Indeed, with the successful incorporation of electricity and magnetism, there was a growing sense that theoretical physics would soon be complete. Physics, some suggested, was rapidly becoming a finished subject and its laws would shortly be chiseled in stone. In 1894, the renowned experimental physicist Albert Michelson remarked that "most of the grand underlying principles have been firmly established" and he quoted an "eminent scientist"-most believe it was the British physicist Lord Kelvin-as saying that all that remained were details of determining some numbers to a greater number of decimal places.1 In 1900, Kelvin himself did note that "two clouds" were hovering on the horizon, one to do with properties of light's motion and the other with aspects of the radiation objects emit when heated,2 but there was a general feeling that these were mere details, which, no doubt, would soon be addressed.
+  Within a decade, everything changed. As anticipated, the two problems Kelvin had raised were promptly addressed, but they proved anything but minor. Each ignited a revolution, and each required a fundamental rewriting of nature's laws. The classical conceptions of space, time, and reality-the ones that for hundreds of years had not only worked but also concisely expressed our intuitive sense of the world- were overthrown.
+  The relativity revolution, which addressed the first of Kelvin's "clouds," dates from 1905 and 1915, when Albert Einstein completed his special and general theories of relativity (Chapter 3). While struggling with puzzles involving electricity, magnetism, and light's motion, Einstein realized that Newton's conception of space and time, the corner-stone of classical physics, was flawed. Over the course of a few intense weeks in the spring of 1905, he determined that space and time are not independent and absolute, as Newton had thought, but are enmeshed and relative in a manner that flies in the face of common experience. Some ten years later, Einstein hammered a final nail in the Newtonian coffin by rewriting the laws of gravitational physics. This time, not only did Einstein show that space and time are part of a unified whole, he also showed that by warping and curving they participate in cosmic evolution. Far from being the rigid, unchanging structures envisioned by Newton, space and time in Einstein's reworking are flexible and dynamic.
+  The two theories of relativity are among humankind's most precious achievements, and with them Einstein toppled Newton's conception of reality. Even though Newtonian physics seemed to capture mathematically much of what we experience physically, the reality it describes turns out not to be the reality of our world. Ours is a relativistic reality. Yet, because the deviation between classical and relativistic reality is manifest only under extreme conditions (such as extremes of speed and gravity), Newtonian physics still provides an approximation that proves extremely accurate and useful in many circumstances. But utility and reality are very different standards. As we will see, features of space and time that for many of us are second nature have turned out to be figments of a false Newtonian perspective.
+Quantum Reality
+The second anomaly to which Lord Kelvin referred led to the quantum revolution, one of the greatest upheavals to which modern human understanding has ever been subjected. By the time the fires subsided and the smoke cleared, the veneer of classical physics had been singed off the newly emerging framework of quantum reality.
+  A core feature of classical physics is that if you know the positions and velocities of all objects at a particular moment, Newton's equations, together with their Maxwellian updating, can tell you their positions and velocities at any other moment, past or future. Without equivocation, classical physics declares that the past and future are etched into the present. This feature is also shared by both special and general relativity. Although the relativistic concepts of past and future are subtler than their familiar classical counterparts (Chapters 3 and 5), the equations of relativity, together with a complete assessment of the present, determine them just as completely.
+  By the 1930s, however, physicists were forced to introduce a whole new conceptual schema called quantum mechanics. Quite unexpectedly, they found that only quantum laws were capable of resolving a host of puzzles and explaining a variety of data newly acquired from the atomic and subatomic realm. But according to the quantum laws, even if you make the most perfect measurements possible of how things are today, the best you can ever hope to do is predict the probability that things will be one way or another at some chosen time in the future, or that things were one way or another at some chosen time in the past. The universe, according to quantum mechanics, is not etched into the present; the universe, according to quantum mechanics, participates in a game of chance.
+  Although there is still controversy over precisely how these developments should be interpreted, most physicists agree that probability is deeply woven into the fabric of quantum reality. Whereas human intuition, and its embodiment in classical physics, envision a reality in which things are always definitely one way or another, quantum mechanics describes a reality in which things sometimes hover in a haze of being partly one way and partly another. Things become definite only when a suitable observation forces them to relinquish quantum possibilities and settle on a specific outcome. The outcome that's realized, though, cannot be predicted-we can predict only the odds that things will turn out one way or another.
+  This, plainly speaking, is weird. We are unused to a reality that remains ambiguous until perceived. But the oddity of quantum mechanics does not stop here. At least as astounding is a feature that goes back to a paper Einstein wrote in 1935 with two younger colleagues, Nathan Rosen and Boris Podolsky, that was intended as an attack on quantum theory.3 With the ensuing twists of scientific progress, Einstein's paper can now be viewed as among the first to point out that quantum mechanics- if taken at face value-implies that something you do over here can be instantaneously linked to something happening over there, regardless of distance. Einstein considered such instantaneous connections ludicrous and interpreted their emergence from the mathematics of quantum theory as evidence that the theory was in need of much development before it would attain an acceptable form. But by the 1980s, when both theoretical and technological developments brought experimental scrutiny to bear on these purported quantum absurdities, researchers confirmed that there can be an instantaneous bond between what happens at widely separated locations. Under pristine laboratory conditions, what Einstein thought absurd really happens (Chapter 4).
+  The implications of these features of quantum mechanics for our picture of reality are a subject of ongoing research. Many scientists, myself included, view them as part of a radical quantum updating of the meaning and properties of space. Normally, spatial separation implies physical independence. If you want to control what's happening on the other side of a football field, you have to go there, or, at the very least, you have to send someone or something (the assistant coach, bouncing air molecules conveying speech, a flash of light to get someone's attention, etc.) across the field to convey your influence. If you don't-if you remain spatially isolated-you will have no impact, since intervening space ensures the absence of a physical connection. Quantum mechanics challenges this view by revealing, at least in certain circumstances, a capacity to transcend space; long-range quantum connections can bypass spatial separation. Two objects can be far apart in space, but as far as quantum mechanics is concerned, it's as if they're a single entity. Moreover, because of the tight link between space and time found by Einstein, the quantum connections also have temporal tentacles. We'll shortly encounter some clever and truly wondrous experiments that have recently explored a number of the startling spatio-temporal interconnections entailed by quantum mechanics and, as we'll see, they forcefully challenge the classical, intuitive worldview many of us hold.
+  Despite these many impressive insights, there remains one very basic feature of time-that it seems to have a direction pointing from past to future-for which neither relativity nor quantum mechanics has provided an explanation. Instead, the only convincing progress has come from research in an area of physics called cosmology.
+Cosmological Reality
+To open our eyes to the true nature of the universe has always been one of physics' primary purposes. It's hard to imagine a more mind-stretching experience than learning, as we have over the last century, that the reality we experience is but a glimmer of the reality that is. But physics also has the equally important charge of explaining the elements of reality that we actually do experience. From our rapid march through the history of physics, it might seem as if this has already been achieved, as if ordinary experience is addressed by pre-twentieth-century advances in physics. To some extent, this is true. But even when it comes to the everyday, we are far from a full understanding. And among the features of common experience that have resisted complete explanation is one that taps into one of the deepest unresolved mysteries in modern physics-the mystery that the great British physicist Sir Arthur Eddington called the arrow of time.4
+  We take for granted that there is a direction to the way things unfold in time. Eggs break, but they don't unbreak; candles melt, but they don't unmelt; memories are of the past, never of the future; people age, but they don't unage. These asymmetries govern our lives; the distinction between forward and backward in time is a prevailing element of experiential reality. If forward and backward in time exhibited the same symmetry we witness between left and right, or back and forth, the world would be unrecognizable. Eggs would unbreak as often as they broke; candles would unmelt as often as they melted; we'd remember as much about the future as we do about the past; people would unage as often as they aged. Certainly, such a time-symmetric reality is not our reality. But where does time's asymmetry come from? What is responsible for this most basic of all time's properties?
+  It turns out that the known and accepted laws of physics show no such asymmetry (Chapter 6): each direction in time, forward and backward, is treated by the laws without distinction. And that's the origin of a huge puzzle.Nothing in the equations of fundamental physics shows any sign of treating one direction in time differently from the other, and that is totally at odds with everything we experience.5
+  Surprisingly, even though we are focusing on a familiar feature of everyday life, the most convincing resolution of this mismatch between fundamental physics and basic experience requires us to contemplate the most unfamiliar of events-the beginning of the universe. This realization has its roots in the work of the great nineteenth-century physicist Ludwig Boltzmann, and in the years since has been elaborated on by many researchers, most notably the British mathematician Roger Penrose. As we will see, special physical conditions at the universe's inception (a highly ordered environment at or just after the big bang) may have imprinted a direction on time, rather as winding up a clock, twisting its spring into a highly ordered initial state, allows it to tick forward. Thus, in a sense we'll make precise, the breaking-as opposed to the unbreaking- of an egg bears witness to conditions at the birth of the universe some 14 billion years ago.
+  This unexpected link between everyday experience and the early universe provides insight into why events unfold one way in time and never the reverse, but it does not fully solve the mystery of time's arrow. Instead, it shifts the puzzle to the realm of cosmology-the study of the origin and evolution of the entire cosmos-and compels us to find out whether the universe actually had the highly ordered beginning that this explanation of time's arrow requires.
+  Cosmology is among the oldest subjects to captivate our species. And it's no wonder. We're storytellers, and what story could be more grand than the story of creation? Over the last few millennia, religious and philosophical traditions worldwide have weighed in with a wealth of versions of how everything-the universe-got started. Science, too, over its long history, has tried its hand at cosmology. But it was Einstein's discovery of general relativity that marked the birth of modern scientific cosmology.
+  Shortly after Einstein published his theory of general relativity, both he and others applied it to the universe as a whole. Within a few decades, their research led to the tentative framework for what is now called the  big bang theory, an approach that successfully explained many features of astronomical observations (Chapter 8). In the mid-1960s, evidence in support of big bang cosmology mounted further, as observations revealed a nearly uniform haze of microwave radiation permeating space-invisible to the naked eye but readily measured by microwave detectors-that was predicted by the theory. And certainly by the 1970s, after a decade of closer scrutiny and substantial progress in determining how basic ingredients in the cosmos respond to extreme changes in heat and temperature, the big bang theory secured its place as the leading cosmological theory (Chapter 9).
+  Its successes notwithstanding, the theory suffered significant shortcomings. It had trouble explaining why space has the overall shape revealed by detailed astronomical observations, and it offered no explanation for why the temperature of the microwave radiation, intently studied ever since its discovery, appears thoroughly uniform across the sky. Moreover, what is of primary concern to the story we're telling, the big bang theory provided no compelling reason why the universe might have been highly ordered near the very beginning, as required by the explanation for time's arrow.
+  These and other open issues inspired a major breakthrough in the late 1970s and early 1980s, known as inflationary cosmology (Chapter 10). Inflationary cosmology modifies the big bang theory by inserting an extremely brief burst of astoundingly rapid expansion during the universe's earliest moments (in this approach, the size of the universe increased by a factor larger than a million trillion trillion in less than a millionth of a trillionth of a trillionth of a second). As will become clear, this stupendous growth of the young universe goes a long way toward filling in the gaps left by the big bang model-of explaining the shape of space and the uniformity of the microwave radiation, and also of suggesting why the early universe might have been highly ordered-thus providing significant progress toward explaining both astronomical observations and the arrow of time we all experience (Chapter 11).
+  Yet, despite these mounting successes, for two decades inflationary cosmology has been harboring its own embarrassing secret. Like the standard big bang theory it modified, inflationary cosmology rests on the equations Einstein discovered with his general theory of relativity. Although volumes of research articles attest to the power of Einstein's equations to accurately describe large and massive objects, physicists have long known that an accurate theoretical analysis of small objects-such as the observable universe when it was a mere fraction of a second old- requires the use of quantum mechanics. The problem, though, is that when the equations of general relativity commingle with those of quantum mechanics, the result is disastrous. The equations break down entirely, and this prevents us from determining how the universe was born and whether at its birth it realized the conditions necessary to explain time's arrow.
+  It's not an overstatement to describe this situation as a theoretician's nightmare: the absence of mathematical tools with which to analyze a vital realm that lies beyond experimental accessibility. And since space and time are so thoroughly entwined with this particular inaccessible realm-the origin of the universe-understanding space and time fully requires us to find equations that can cope with the extreme conditions of huge density, energy, and temperature characteristic of the universe's earliest moments. This is an absolutely essential goal, and one that many physicists believe requires developing a so-called unified theory.
+Unified Reality
+Over the past few centuries, physicists have sought to consolidate our understanding of the natural world by showing that diverse and apparently distinct phenomena are actually governed by a single set of physical laws. To Einstein, this goal of unification-of explaining the widest array of phenomena with the fewest physical principles-became a lifelong passion. With his two theories of relativity, Einstein united space, time, and gravity. But this success only encouraged him to think bigger. He dreamed of finding a single, all-encompassing framework capable of embracing all of nature's laws; he called that framework a unified theory. Although now and then rumors spread that Einstein had found a unified theory, all such claims turned out to be baseless; Einstein's dream went unfulfilled.
+  Einstein's focus on a unified theory during the last thirty years of his life distanced him from mainstream physics. Many younger scientists viewed his single-minded search for the grandest of all theories as the ravings of a great man who, in his later years, had turned down the wrong path. But in the decades since Einstein's passing, a growing number of physicists have taken up his unfinished quest. Today, developing a unified theory ranks among the most important problems in theoretical physics.
+  For many years, physicists found that the central obstacle to realizing a unified theory was the fundamental conflict between the two major breakthroughs of twentieth-century physics: general relativity and quantum mechanics. Although these two frameworks are typically applied in vastly different realms-general relativity to big things like stars and galaxies, quantum mechanics to small things like molecules and atoms-each theory claims to be universal, to work in all realms. However, as mentioned above, whenever the theories are used in conjunction, their combined equations produce nonsensical answers. For instance, when quantum mechanics is used with general relativity to calculate the probability that some process or other involving gravity will take place, the answer that's often found is not something like a probability of 24 percent or 63 percent or 91 percent; instead, out of the combined mathematics pops an infinite probability. That doesn't mean a probability so high that you should put all your money on it because it's a shoo-in. Probabilities bigger than 100 percent are meaningless. Calculations that produce an infinite probability simply show that the combined equations of general relativity and quantum mechanics have gone haywire.
+  Scientists have been aware of the tension between general relativity and quantum mechanics for more than half a century, but for a long time relatively few felt compelled to search for a resolution. Instead, most researchers used general relativity solely for analyzing large and massive objects, while reserving quantum mechanics solely for analyzing small and light objects, carefully keeping each theory a safe distance from the other so their mutual hostility would be held in check. Over the years, this approach to détente has allowed for stunning advances in our understanding of each domain, but it does not yield a lasting peace.
+  A very few realms-extreme physical situations that are both massive and tiny-fall squarely in the demilitarized zone, requiring that general relativity and quantum mechanics simultaneously be brought to bear. The center of a black hole, in which an entire star has been crushed by its own weight to a minuscule point, and the big bang, in which the entire observable universe is imagined to have been compressed to a nugget far smaller than a single atom, provide the two most familiar examples. Without a successful union between general relativity and quantum mechanics, the end of collapsing stars and the origin of the universe would remain forever mysterious. Many scientists were willing to set aside these realms, or at least defer thinking about them until other, more tractable problems had been overcome.
+  But a few researchers couldn't wait. A conflict in the known laws of physics means a failure to grasp a deep truth and that was enough to keep these scientists from resting easy. Those who plunged in, though, found the waters deep and the currents rough. For long stretches of time, research made little progress; things looked bleak. Even so, the tenacity of those who had the determination to stay the course and keep alive the dream of uniting general relativity and quantum mechanics is being rewarded. Scientists are now charging down paths blazed by those explorers and are closing in on a harmonious merger of the laws of the large and small. The approach that many agree is a leading contender is superstring theory (Chapter 12).
+  As we will see, superstring theory starts off by proposing a new answer to an old question: what are the smallest, indivisible constituents of matter? For many decades, the conventional answer has been that matter is composed of particles-electrons and quarks-that can be modeled as dots that are indivisible and that have no size and no internal structure. Conventional theory claims, and experiments confirm, that these particles combine in various ways to produce protons, neutrons, and the wide variety of atoms and molecules making up everything we've ever encountered. Superstring theory tells a different story. It does not deny the key role played by electrons, quarks, and the other particle species revealed by experiment, but it does claim that these particles are not dots. Instead, according to superstring theory, every particle is composed of a tiny filament of energy, some hundred billion billion times smaller than a single atomic nucleus (much smaller than we can currently probe), which is shaped like a little string. And just as a violin string can vibrate in different patterns, each of which produces a different musical tone, the filaments of superstring theory can also vibrate in different patterns. These vibrations, though, don't produce different musical notes; remarkably, the theory claims that they produce different particle properties. A tiny string vibrating in one pattern would have the mass and the electric charge of an electron; according to the theory, such a vibrating string would be what we have traditionally called an electron. A tiny string vibrating in a different pattern would have the requisite properties to identify it as a quark, a neutrino, or any other kind of particle. All species of particles are unified in superstring theory since each arises from a different vibrational pattern executed by the same underlying entity.
+  Going from dots to strings-so-small-they-look-like-dots might not seem like a terribly significant change in perspective. But it is. From such humble beginnings, superstring theory combines general relativity and quantum mechanics into a single, consistent theory, banishing the perniciously infinite probabilities afflicting previously attempted unions. And as if that weren't enough, superstring theory has revealed the breadth necessary to stitch all of nature's forces and all of matter into the same theoretical tapestry. In short, superstring theory is a prime candidate for Einstein's unified theory.
+  These are grand claims and, if correct, represent a monumental step forward. But the most stunning feature of superstring theory, one that I have little doubt would have set Einstein's heart aflutter, is its profound impact on our understanding of the fabric of the cosmos. As we will see, superstring theory's proposed fusion of general relativity and quantum mechanics is mathematically sensible only if we subject our conception of spacetime to yet another upheaval. Instead of the three spatial dimensions and one time dimension of common experience, superstring theory requires nine spatial dimensions and one time dimension. And, in a more robust incarnation of superstring theory known as M-theory, unification requires ten space dimensions and one time dimension-a cosmic substrate composed of a total of eleven spacetime dimensions. As we don't see these extra dimensions, superstring theory is telling us that we've so far glimpsed but a meager slice of reality.
+  Of course, the lack of observational evidence for extra dimensions might also mean they don't exist and that superstring theory is wrong. However, drawing that conclusion would be extremely hasty. Even decades before superstring theory's discovery, visionary scientists, including Einstein, pondered the idea of spatial dimensions beyond the ones we see, and suggested possibilities for where they might be hiding. String theorists have substantially refined these ideas and have found that extra dimensions might be so tightly crumpled that they're too small for us or any of our existing equipment to see (Chapter 12), or they might be large but invisible to the ways we probe the universe (Chapter 13). Either scenario comes with profound implications. Through their impact on string vibrations, the geometrical shapes of tiny crumpled dimensions might hold answers to some of the most basic questions, like why our universe has stars and planets. And the room provided by large extra space dimensions might allow for something even more remarkable: other, nearby worlds-not nearby in ordinary space, but nearby in the extra dimensions-of which we've so far been completely unaware.
+  Although a bold idea, the existence of extra dimensions is not just theoretical pie in the sky. It may shortly be testable. If they exist, extra dimensions may lead to spectacular results with the next generation of atom smashers, like the first human synthesis of a microscopic black hole, or the production of a huge variety of new, never before discovered species of particles (Chapter 13). These and other exotic results may provide the first evidence for dimensions beyond those directly visible, taking us one step closer to establishing superstring theory as the long-sought unified theory.
+  If superstring theory is proven correct, we will be forced to accept that the reality we have known is but a delicate chiffon draped over a thick and richly textured cosmic fabric. Camus' declaration notwithstanding, determining the number of space dimensions-and, in particular, finding that there aren't just three-would provide far more than a scientifically interesting but ultimately inconsequential detail. The discovery of extra dimensions would show that the entirety of human experience had left us completely unaware of a basic and essential aspect of the universe. It would forcefully argue that even those features of the cosmos that we have thought to be readily accessible to human senses need not be.
+Past and Future Reality
+With the development of superstring theory, researchers are optimistic that we finally have a framework that will not break down under any conditions, no matter how extreme, allowing us one day to peer back with our equations and learn what things were like at the very moment when the universe as we know it got started. To date, no one has gained sufficient dexterity with the theory to apply it unequivocally to the big bang, but understanding cosmology according to superstring theory has become one of the highest priorities of current research. Over the past few years, vigorous worldwide research programs in superstring cosmology have yielded novel cosmological frameworks (Chapter 13), suggested new ways to test superstring theory using astrophysical observations (Chapter 14), and provided some of the first insights into the role the theory may play in explaining time's arrow.
+  The arrow of time, through the defining role it plays in everyday life and its intimate link with the origin of the universe, lies at a singular threshold between the reality we experience and the more refined reality cutting-edge science seeks to uncover. As such, the question of time's arrow provides a common thread that runs through many of the developments we'll discuss, and it will surface repeatedly in the chapters that follow. This is fitting. Of the many factors that shape the lives we lead, time is among the most dominant. As we continue to gain facility with superstring theory and its extension, M-theory, our cosmological insights will deepen, bringing both time's origin and its arrow into ever-sharper focus. If we let our imaginations run wild, we can even envision that the depth of our understanding will one day allow us to navigate spacetime and hence explore realms that, to this point in our experience, remain well beyond our ability to access (Chapter 15).
+  Of course, it is extremely unlikely that we will ever achieve such power. But even if we never gain the ability to control space and time, deep understanding yields its own empowerment. Our grasp of the true nature of space and time would be a testament to the capacity of the human intellect. We would finally come to know space and time-the silent, ever-present markers delineating the outermost boundaries of human experience.
+Coming of Age in Space and Time
+When I turned the last page of The Myth of Sisyphus many years ago, I was surprised by the text's having achieved an overarching feeling of optimism. After all, a man condemned to pushing a rock up a hill with full knowledge that it will roll back down, requiring him to start pushing anew, is not the sort of story that you'd expect to have a happy ending. Yet Camus found much hope in the ability of Sisyphus to exert free will, to press on against insurmountable obstacles, and to assert his choice to survive even when condemned to an absurd task within an indifferent universe. By relinquishing everything beyond immediate experience, and ceasing to search for any kind of deeper understanding or deeper meaning, Sisyphus, Camus argued, triumphs.
+  I was struck by Camus' ability to discern hope where most others would see only despair. But as a teenager, and only more so in the decades since, I found that I couldn't embrace Camus' assertion that a deeper understanding of the universe would fail to make life more rich or worthwhile. Whereas Sisyphus was Camus' hero, the greatest of scientists- Newton, Einstein, Niels Bohr, and Richard Feynman-became mine. And when I read Feynman's description of a rose-in which he explained how he could experience the fragrance and beauty of the flower as fully as anyone, but how his knowledge of physics enriched the experience enormously because he could also take in the wonder and magnificence of the underlying molecular, atomic, and subatomic processes-I was hooked for good. I wanted what Feynman described: to assess life and to experience the universe on all possible levels, not just those that happened to be accessible to our frail human senses. The search for the deepest understanding of the cosmos became my lifeblood.
+  As a professional physicist, I have long since realized that there was much naïveté in my high school infatuation with physics. Physicists generally do not spend their working days contemplating flowers in a state of cosmic awe. Instead, we devote much of our time to grappling with complex mathematical equations scrawled across well-scored chalkboards. Progress can be slow. Promising ideas, more often than not, lead nowhere. That's the nature of scientific research. Yet, even during periods of minimal progress, I've found that the effort spent puzzling and calculating has only made me feel a closer connection to the cosmos. I've found that you can come to know the universe not only by resolving its mysteries, but also by immersing yourself within them. Answers are great. Answers confirmed by experiment are greater still. But even answers that are ultimately proven wrong represent the result of a deep engagement with the cosmos-an engagement that sheds intense illumination on the questions, and hence on the universe itself. Even when the rock associated with a particular scientific exploration happens to roll back to square one, we nevertheless learn something and our experience of the cosmos is enriched.
+  Of course, the history of science reveals that the rock of our collective scientific inquiry-with contributions from innumerable scientists across the continents and through the centuries-does not roll down the mountain. Unlike Sisyphus, we don't begin from scratch. Each generation takes over from the previous, pays homage to its predecessors' hard work, insight, and creativity, and pushes up a little further. New theories and more refined measurements are the mark of scientific progress, and such progress builds on what came before, almost never wiping the slate clean. Because this is the case, our task is far from absurd or pointless. In pushing the rock up the mountain, we undertake the most exquisite and noble of tasks: to unveil this place we call home, to revel in the wonders we discover, and to hand off our knowledge to those who follow.
+  For a species that, by cosmic time scales, has only just learned to walk upright, the challenges are staggering. Yet, over the last three hundred years, as we've progressed from classical to relativistic and then to quantum reality, and have now moved on to explorations of unified reality, our minds and instruments have swept across the grand expanse of space and time, bringing us closer than ever to a world that has proved a deft master of disguise. And as we've continued to slowly unmask the cosmos, we've gained the intimacy that comes only from closing in on the clarity of truth. The explorations have far to go, but to many it feels as though our species is finally reaching childhood's end.
+  To be sure, our coming of age here on the outskirts of the Milky Way6 has been a long time in the making. In one way or another, we've been exploring our world and contemplating the cosmos for thousands of years. But for most of that time we made only brief forays into the unknown, each time returning home somewhat wiser but largely unchanged. It took the brashness of a Newton to plant the flag of modern scientific inquiry and never turn back. We've been heading higher ever since. And all our travels began with a simple question.
+  What is space?
+2
+The Universe and the Bucket
+IS SPACE A HUMAN ABSTRACTION OR A PHYSICAL ENTITY?
+It's not often that a bucket of water is the central character in a three-hundred-year-long debate. But a bucket that belonged to Sir Isaac Newton is no ordinary bucket, and a little experiment he described in 1689 has deeply influenced some of the world's greatest physicists ever since. The experiment is this: Take a bucket filled with water, hang it by a rope, twist the rope tightly so that it's ready to unwind, and let it go. At first, the bucket starts to spin but the water inside remains fairly stationary; the surface of the stationary water stays nice and flat. As the bucket picks up speed, little by little its motion is communicated to the water by friction, and the water starts to spin too. As it does, the water's surface takes on a concave shape, higher at the rim and lower in the center, as in Figure 2.1.
+  That's the experiment-not quite something that gets the heart racing. But a little thought will show that this bucket of spinning water is extremely puzzling. And coming to grips with it, as we have not yet done in over three centuries, ranks among the most important steps toward grasping the structure of the universe. Understanding why will take some background, but it is well worth the effort.
+
+Figure 2.1 The surface of the water starts out flat and remains so as the bucket starts to spin. Subsequently, as the water also starts to spin, its surface becomes concave, and it remains concave while the water spins, even as the bucket slows and stops.
+Relativity Before Einstein
+"Relativity" is a word we associate with Einstein, but the concept goes much further back. Galileo, Newton, and many others were well aware that velocity-the speed and direction of an object's motion-is relative. In modern terms, from the batter's point of view, a well-pitched fastball might be approaching at 100 miles per hour. From the baseball's point of view, it's the batter who is approaching at 100 miles per hour. Both descriptions are accurate; it's just a matter of perspective. Motion has meaning only in a relational sense: An object's velocity can be specified only in relation to that of another object. You've probably experienced this. When the train you are on is next to another and you see relative motion, you can't immediately tell which train is actually moving on the tracks. Galileo described this effect using the transport of his day, boats. Drop a coin on a smoothly sailing ship, Galileo said, and it will hit your foot just as it would on dry land. From your perspective, you are justified in declaring that you are stationary and it's the water that is rushing by the ship's hull. And since from this point of view you are not moving, the coin's motion relative to your foot will be exactly what it would have been before you embarked.
+  Of course, there are circumstances under which your motion seems intrinsic, when you can feel it and you seem able to declare, without recourse to external comparisons, that you are definitely moving. This is the case with accelerated motion, motion in which your speed and/or your direction changes. If the boat you are on suddenly lurches one way or another, or slows down or speeds up, or changes direction by rounding a bend, or gets caught in a whirlpool and spins around and around, you know that you are moving. And you realize this without looking out and comparing your motion with some chosen point of reference. Even if your eyes are closed, you know you're moving, because you feel it. Thus, while you can't feel motion with constant speed that heads in an unchanging straight-line trajectory -constant velocity motion, it's called-you can feel  changes to your velocity.
+  But if you think about it for a moment, there is something odd about this. What is it about changes in velocity that allows them to stand alone, to have intrinsic meaning? If velocity is something that makes sense only by comparisons-by saying that this is moving with respect to  that-how is it that changes in velocity are somehow different, and don't also require comparisons to give them meaning? In fact, could it be that they actually do require a comparison to be made? Could it be that there is some implicit or hidden comparison that is actually at work every time we refer to or experience accelerated motion? This is a central question we're heading toward because, perhaps surprisingly, it touches on the deepest issues surrounding the meaning of space and time.
+  Galileo's insights about motion, most notably his assertion that the earth itself moves, brought upon him the wrath of the Inquisition. A more cautious Descartes, in his Principia Philosophiae, sought to avoid a similar fate and couched his understanding of motion in an equivocating framework that could not stand up to the close scrutiny Newton gave it some thirty years later. Descartes spoke about objects' having a resistance to changes to their state of motion: something that is motionless will stay motionless unless someone or something forces it to move; something that is moving in a straight line at constant speed will maintain that motion until someone or something forces it to change. But what, Newton asked, do these notions of "motionless" or "straight line at constant speed" really mean? Motionless or constant speed with respect to what? Motionless or constant speed from whose viewpoint? If velocity is not constant, with respect to what or from whose viewpoint is it not constant? Descartes correctly teased out aspects of motion's meaning, but Newton realized that he left key questions unanswered.
+  Newton-a man so driven by the pursuit of truth that he once shoved a blunt needle between his eye and the socket bone to study ocular anatomy and, later in life as Master of the Mint, meted out the harshest of punishments to counterfeiters, sending more than a hundred to the gallows-had no tolerance for false or incomplete reasoning. So he decided to set the record straight. This led him to introduce the bucket.1
+The Bucket
+When we left the bucket, both it and the water within were spinning, with the water's surface forming a concave shape. The issue Newton raised is, Why does the water's surface take this shape? Well, because it's spinning, you say, and just as we feel pressed against the side of a car when it takes a sharp turn, the water gets pressed against the side of the bucket as it spins. And the only place for the pressed water to go is upward. This reasoning is sound, as far as it goes, but it misses the real intent of Newton's question. He wanted to know what it means to say that the water is spinning: spinning with respect to what? Newton was grappling with the very foundation of motion and was far from ready to accept that accelerated motion such as spinning-is somehow beyond the need for external comparisons.1
+  A natural suggestion is to use the bucket itself as the object of reference. As Newton argued, however, this fails. You see, at first when we let the bucket start to spin, there is definitely relative motion between the bucket and the water, because the water does not immediately move. Even so, the surface of the water stays flat. Then, a little later, when the water is spinning and there isn't relative motion between the bucket and the water, the surface of the water is concave. So, with the bucket as our object of reference, we get exactly the opposite of what we expect: when there is relative motion, the water's surface is flat; and when there is no relative motion, the surface is concave.
+  In fact, we can take Newton's bucket experiment one small step further. As the bucket continues to spin, the rope will twist again (in the other direction), causing the bucket to slow down and momentarily come to rest, while the water inside continues to spin. At this point, the relative motion between the water and the bucket is the same as it was near the very beginning of the experiment (except for the inconsequential difference of clockwise vs. counterclockwise motion), but the shape of the water's surface is different (previously being flat, now being concave); this shows conclusively that the relative motion cannot explain the surface's shape.
+  Having ruled out the bucket as a relevant reference for the motion of the water, Newton boldly took the next step. Imagine, he suggested, another version of the spinning bucket experiment carried out in deep, cold, completely empty space. We can't run exactly the same experiment, since the shape of the water's surface depended in part on the pull of earth's gravity, and in this version the earth is absent. So, to create a more workable example, let's imagine we have a huge bucket-one as large as any amusement park ride-that is floating in the darkness of empty space, and imagine that a fearless astronaut, Homer, is strapped to the bucket's interior wall. (Newton didn't actually use this example; he suggested using two rocks tied together by a rope, but the point is the same.) The telltale sign that the bucket is spinning, the analog of the water being pushed outward yielding a concave surface, is that Homer will feel pressed against the inside of the bucket, his facial skin pulling taut, his stomach slightly compressing, and his hair (both strands) straining back toward the bucket wall. Here is the question: in totally empty space-no sun, no earth, no air, no doughnuts, no anything-what could possibly serve as the "something" with respect to which the bucket is spinning? At first, since we are imagining space is completely empty except for the bucket and its contents, it looks as if there simply isn't anything else to serve as the something. Newton disagreed.
+  He answered by fixing on the ultimate container as the relevant frame of reference: space itself. He proposed that the transparent, empty arena in which we are all immersed and within which all motion takes place exists as a real, physical entity, which he called absolute space.2 We can't grab or clutch absolute space, we can't taste or smell or hear absolute space, but nevertheless Newton declared that absolute space is a something. It's the something, he proposed, that provides the truest reference for describing motion. An object is truly at rest when it is at rest with respect to absolute space. An object is truly moving when it is moving with respect to absolute space. And, most important, Newton concluded, an object is truly accelerating when it is accelerating with respect to absolute space.
+  Newton used this proposal to explain the terrestrial bucket experiment in the following way. At the beginning of the experiment, the bucket is spinning with respect to absolute space, but the water is stationary with respect to absolute space. That's why the water's surface is flat. As the water catches up with the bucket, it is now spinning with respect to absolute space, and that's why its surface becomes concave. As the bucket slows because of the tightening rope, the water continues to spin-spinning with respect to absolute space-and that's why its surface continues to be concave. And so, whereas relative motion between the water and the bucket cannot account for the observations, relative motion between the water and absolute space can. Space itself provides the true frame of reference for defining motion.
+  The bucket is but an example; the reasoning is of course far more general. According to Newton's perspective, when you round the bend in a car, you feel the change in your velocity because you are accelerating with respect to absolute space. When the plane you are on is gearing up for takeoff, you feel pressed back in your seat because you are accelerating with respect to absolute space. When you spin around on ice skates, you feel your arms being flung outward because you are accelerating with respect to absolute space. By contrast, if someone were able to spin the entire ice arena while you stood still (assuming the idealized situation of frictionless skates)-giving rise to the same relative motion between you and the ice-you would not feel your arms flung outward, because you would not be accelerating with respect to absolute space. And, just to make sure you don't get sidetracked by the irrelevant details of examples that use the human body, when Newton's two rocks tied together by a rope twirl around in empty space, the rope pulls taut because the rocks are accelerating with respect to absolute space. Absolute space has the final word on what it means to move.
+  But what is absolute space, really? In dealing with this question, Newton responded with a bit of fancy footwork and the force of fiat. He first wrote in the Principia "I do not define time, space, place, and motion, as [they] are well known to all,"3 sidestepping any attempt to describe these concepts with rigor or precision. His next words have become famous: "Absolute space, in its own nature, without reference to anything external, remains always similar and unmovable." That is, absolute space just is, and is forever. Period. But there are glimmers that Newton was not completely comfortable with simply declaring the existence and importance of something that you can't directly see, measure, or affect. He wrote,
+It is indeed a matter of great difficulty to discover and effectually to distinguish the true motions of particular bodies from the apparent, because the parts of that immovable space in which those motions are performed do by no means come under the observations of our senses.4
+  So Newton leaves us in a somewhat awkward position. He puts absolute space front and center in the description of the most basic and essential element of physics-motion-but he leaves its definition vague and acknowledges his own discomfort about placing such an important egg in such an elusive basket. Many others have shared this discomfort.
+Space Jam
+Einstein once said that if someone uses words like "red," "hard," or "disappointed," we all basically know what is meant. But as for the word "space," "whose relation with psychological experience is less direct, there exists a far-reaching uncertainty of interpretation."5 This uncertainty reaches far back: the struggle to come to grips with the meaning of space is an ancient one. Democritus, Epicurus, Lucretius, Pythagoras, Plato, Aristotle, and many of their followers through the ages wrestled in one way or another with the meaning of "space." Is there a difference between space and matter? Does space have an existence independent of the presence of material objects? Is there such a thing as empty space? Are space and matter mutually exclusive? Is space finite or infinite?
+  For millennia, the philosophical parsings of space often arose in tandem with theological inquiries. God, according to some, is omnipresent, an idea that gives space a divine character. This line of reasoning was advanced by Henry More, a seventeenth-century theologian/philosopher who, some think, may have been one of Newton's mentors.6 He believed that if space were empty it would not exist, but he also argued that this is an irrelevant observation because, even when devoid of material objects, space is filled with spirit, so it is never truly empty. Newton himself took on a version of this idea, allowing space to be filled by "spiritual substance" as well as material substance, but he was careful to add that such spiritual stuff "can be no obstacle to the motion of matter; no more than if nothing were in its way."7 Absolute space, Newton declared, is the sensorium of God.
+  Such philosophical and religious musings on space can be compelling and provocative, yet, as in Einstein's cautionary remark above, they lack a critical sharpness of description. But there is a fundamental and precisely framed question that emerges from such discourse: should we ascribe an independent reality to space, as we do for other, more ordinary material objects like the book you are now holding, or should we think of space as merely a language for describing relationships between ordinary material objects?
+  The great German philosopher Gottfried Wilhelm von Leibniz, who was Newton's contemporary, firmly believed that space does not exist in any conventional sense. Talk of space, he claimed, is nothing more than an easy and convenient way of encoding where things are relative to one another. Without the objects in space, Leibniz declared, space itself has no independent meaning or existence. Think of the English alphabet. It provides an order for twenty-six letters-it provides relations such as a is next to b, d is six letters before j, x is three letters after u, and so on. But without the letters, the alphabet has no meaning-it has no "supra-letter," independent existence. Instead, the alphabet comes into being with the letters whose lexicographic relations it supplies. Leibniz claimed that the same is true for space: Space has no meaning beyond providing the natural language for discussing the relationship between one object's location and another. According to Leibniz, if all objects were removed from space-if space were completely empty-it would be as meaningless as an alphabet that's missing its letters.
+  Leibniz put forward a number of arguments in support of this so-called  relationist position. For example, he argued that if space really exists as an entity, as a background substance, God would have had to choose where in this substance to place the universe. But how could God, whose decisions all have sound justification and are never random or haphazard, have possibly distinguished one location in the uniform void of empty space from another, as they are all alike? To the scientifically receptive ear, this argument sounds tinny. However, if we remove the theological element, as Leibniz himself did in other arguments he put forward, we are left with thorny issues: What is the location of the universe within space? If the universe were to move as a whole-leaving all relative positions of material objects intact-ten feet to the left or right, how would we know? What is the speed of the entire universe through the substance of space? If we are fundamentally unable to detect space, or changes within space, how can we claim it actually exists?
+  It is here that Newton stepped in with his bucket and dramatically changed the character of the debate. While Newton agreed that certain features of absolute space seem difficult or perhaps impossible to detect directly, he argued that the existence of absolute space does have consequences that are observable: accelerations, such as those at play in the rotating bucket, are accelerations with respect to absolute space. Thus, the concave shape of the water, according to Newton, is a consequence of the existence of absolute space. And Newton argued that once one has any solid evidence for something's existence, no matter how indirect, that ends the discussion. In one clever stroke, Newton shifted the debate about space from philosophical ponderings to scientifically verifiable data. The effect was palpable. In due course, Leibniz was forced to admit, "I grant there is a difference between absolute true motion of a body and a mere relative change of its situation with respect to another body."8 This was not a capitulation to Newton's absolute space, but it was a strong blow to the firm relationist position.
+  During the next two hundred years, the arguments of Leibniz and others against assigning space an independent reality generated hardly an echo in the scientific community.9 Instead, the pendulum had clearly swung to Newton's view of space; his laws of motion, founded on his concept of absolute space, took center stage. Certainly, the success of these laws in describing observations was the essential reason for their acceptance. It's striking to note, however, that Newton himself viewed all of his achievements in physics as merely forming the solid foundation to support what he considered his really important discovery: absolute space. For Newton, it was all about space.10
+Mach and the Meaning of Space
+When I was growing up, I used to play a game with my father as we walked down the streets of Manhattan. One of us would look around, secretly fix on something that was happening-a bus rushing by, a pigeon landing on a windowsill, a man accidentally dropping a coin-and describe how it would look from an unusual perspective such as the wheel of the bus, the pigeon in flight, or the quarter falling earthward. The challenge was to take an unfamiliar description like "I'm walking on a dark, cylindrical surface surrounded by low, textured walls, and an unruly bunch of thick white tendrils is descending from the sky," and figure out that it was the view of an ant walking on a hot dog that a street vendor was garnishing with sauerkraut. Although we stopped playing years before I took my first physics course, the game is at least partly to blame for my having a fair amount of distress when I encountered Newton's laws.
+  The game encouraged seeing the world from different vantage points and emphasized that each was as valid as any other. But according to Newton, while you are certainly free to contemplate the world from any perspective you choose, the different vantage points are by no means on an equal footing. From the viewpoint of an ant on an ice skater's boot, it is the ice and the arena that are spinning; from the viewpoint of a spectator in the stands, it is the ice skater that is spinning. The two vantage points seem to be equally valid, they seem to be on an equal footing, they seem to stand in the symmetric relationship of each spinning with respect to the other. Yet, according to Newton, one of these perspectives is more right than the other since if it really is the ice skater that is spinning, his or her arms will splay outward, whereas if it really is the arena that is spinning, his or her arms will not. Accepting Newton's absolute space meant accepting an absolute conception of acceleration, and, in particular, accepting an absolute answer regarding who or what is really spinning. I struggled to understand how this could possibly be true. Every source I consulted-textbooks and teachers alike-agreed that only relative motion had relevance when considering constant velocity motion, so why in the world, I endlessly puzzled, would accelerated motion be so different? Why wouldn't relative acceleration, like relative velocity, be the only thing that's relevant when considering motion at velocity that isn't constant? The existence of absolute space decreed otherwise, but to me this seemed thoroughly peculiar.
+  Much later I learned that over the last few hundred years many physicists and philosophers-sometimes loudly, sometimes quietly-had struggled with the very same issue. Although Newton's bucket seemed to show definitively that absolute space is what selects one perspective over another (if someone or something is spinning with respect to absolute space then they are really spinning; otherwise they are not), this resolution left many people who mull over these issues unsatisfied. Beyond the intuitive sense that no perspective should be "more right" than any other, and beyond the eminently reasonable proposal of Leibniz that only relative motion between material objects has meaning, the concept of absolute space left many wondering how absolute space can allow us to identify true accelerated motion, as with the bucket, while it cannot provide a way to identify true constant velocity motion. After all, if absolute space really exists, it should provide a benchmark for all motion, not just accelerated motion. If absolute space really exists, why doesn't it provide a way of identifying where we are located in an absolute sense, one that need not use our position relative to other material objects as a reference point? And, if absolute space really exists, how come it can affect us (causing our arms to splay if we spin, for example) while we apparently have no way to affect it?
+  In the centuries since Newton's work, these questions were sometimes debated, but it wasn't until the mid-1800s, when the Austrian physicist and philosopher Ernst Mach came on the scene, that a bold, prescient, and extremely influential new view about space was suggested-a view that, among other things, would in due course have a deep impact on Albert Einstein.
+  To understand Mach's insight-or, more precisely, one modern reading of ideas often attributed to Mach2-let's go back to the bucket for a moment. There is something odd about Newton's argument. The bucket experiment challenges us to explain why the surface of the water is flat in one situation and concave in another. In hunting for explanations, we examined the two situations and realized that the key difference between them was whether or not the water was spinning. Unsurprisingly, we tried to explain the shape of the water's surface by appealing to its state of motion. But here's the thing: before introducing absolute space, Newton focused solely on the bucket as the possible reference for determining the motion of the water and, as we saw, that approach fails. There are other references, however, that we could naturally use to gauge the water's motion, such as the laboratory in which the experiment takes place-its floor, ceiling, and walls. Or if we happened to perform the experiment on a sunny day in an open field, the surrounding buildings or trees, or the ground under our feet, would provide the "stationary" reference to determine whether the water was spinning. And if we happened to perform this experiment while floating in outer space, we would invoke the distant stars as our stationary reference.
+  This leads to the following question. Might Newton have kicked the bucket aside with such ease that he skipped too quickly over the relative motion we are apt to invoke in real life, such as between the water and the laboratory, or the water and the earth, or the water and the fixed stars in the sky? Might it be that such relative motion can account for the shape of the water's surface, eliminating the need to introduce the concept of absolute space? That was the line of questioning raised by Mach in the 1870s.
+  To understand Mach's point more fully, imagine you're floating in outer space, feeling calm, motionless, and weightless. You look out and you can see the distant stars, and they too appear to be perfectly stationary. (It's a real Zen moment.) Just then, someone floats by, grabs hold of you, and sets you spinning around. You will notice two things. First, your arms and legs will feel pulled from your body and if you let them go they will splay outward. Second, as you gaze out toward the stars, they will no longer appear stationary. Instead, they will seem to be spinning in great circular arcs across the distant heavens. Your experience thus reveals a close association between feeling a force on your body and witnessing motion with respect to the distant stars. Hold this in mind as we try the experiment again but in a different environment.
+  Imagine now that you are immersed in the blackness of completely  empty space: no stars, no galaxies, no planets, no air, nothing but total blackness. (A real existential moment.) This time, if you start spinning, will you feel it? Will your arms and legs feel pulled outward? Our experiences in day-to-day life lead us to answer yes: any time we change from not spinning (a state in which we feel nothing) to spinning, we feel the difference as our appendages are pulled outward. But the current example is unlike anything any of us has ever experienced. In the universe as we know it, there are always other material objects, either nearby or, at the very least, far away (such as the distant stars), that can serve as a reference for our various states of motion. In this example, however, there is absolutely no way for you to distinguish "not spinning" from "spinning" by comparisons with other material objects; there aren't any other material objects. Mach took this observation to heart and extended it one giant step further. He suggested that in this case there might also be no way to feel a difference between various states of spinning. More precisely, Mach argued that in an otherwise empty universe there is no distinction between spinning and not spinning-there is no conception of motion or acceleration if there are no benchmarks for comparison-and so spinning and not spinning are the same. If Newton's two rocks tied together by a rope were set spinning in an otherwise empty universe, Mach reasoned that the rope would remain slack. If you spun around in an otherwise empty universe, your arms and legs would not splay outward, and the fluid in your ears would be unaffected; you'd feel nothing.
+  This is a deep and subtle suggestion. To really absorb it, you need to put yourself into the example earnestly and fully imagine the black, uniform stillness of totally empty space. It's not like a dark room in which you feel the floor under your feet or in which your eyes slowly adjust to the tiny amount of light seeping in from outside the door or window; instead, we are imagining that there are no things, so there is no floor and there is absolutely no light to adjust to. Regardless of where you reach or look, you feel and see absolutely nothing at all. You are engulfed in a cocoon of unvarying blackness, with no material benchmarks for comparison. And without such benchmarks, Mach argued, the very concepts of motion and acceleration cease to have meaning. It's not just that you won't feel anything if you spin; it's more basic. In an otherwise empty universe, standing perfectly motionless and spinning uniformly are indistinguishable.3
+  Newton, of course, would have disagreed. He claimed that even completely empty space still has space. And, although space is not tangible or directly graspable, Newton argued that it still provides a something with respect to which material objects can be said to move. But remember how Newton came to this conclusion: He pondered rotating motion and assumed that the results familiar from the laboratory (the water's surface becomes concave; Homer feels pressed against the bucket wall; your arms splay outward when you spin around; the rope tied between two spinning rocks becomes taut) would hold true if the experiment were carried out in empty space. This assumption led him to search for something in empty space relative to which the motion could be defined, and the something he came up with was space itself. Mach strongly challenged the key assumption: He argued that what happens in the laboratory is not what would happen in completely empty space.
+  Mach's was the first significant challenge to Newton's work in more than two centuries, and for years it sent shock waves through the physics community (and beyond: in 1909, while living in London, Vladimir Lenin wrote a philosophical pamphlet that, among other things, discussed aspects of Mach's work11). But if Mach was right and there was no notion of spinning in an otherwise empty universe-a state of affairs that would eliminate Newton's justification for absolute space-that still leaves the problem of explaining the terrestrial bucket experiment, in which the water certainly does take on a concave shape. Without invoking absolute space-if absolute space is not a something-how would Mach explain the water's shape? The answer emerges from thinking about a simple objection to Mach's reasoning.
+Mach, Motion, and the Stars
+Imagine a universe that is not completely empty, as Mach envisioned, but, instead, one that has just a handful of stars sprinkled across the sky. If you perform the outer-space-spinning experiment now, the stars-even if they appear as mere pinpricks of light coming from enormous distance- provide a means of gauging your state of motion. If you start to spin, the distant pinpoints of light will appear to circle around you. And since the stars provide a visual reference that allows you to distinguish spinning from not spinning, you would expect to be able to feel it, too. But how can a few distant stars make such a difference, their presence or absence somehow acting as a switch that turns on or off the sensation of spinning (or more generally, the sensation of accelerated motion)? If you can feel spinning motion in a universe with merely a few distant stars, perhaps that means Mach's idea is just wrong-perhaps, as assumed by Newton, in an empty universe you would still feel the sensation of spinning.
+  Mach offered an answer to this objection. In an empty universe, according to Mach, you feel nothing if you spin (more precisely, there is not even a concept of spinning vs. nonspinning). At the other end of the spectrum, in a universe populated by all the stars and other material objects existing in our real universe, the splaying force on your arms and legs is what you experience when you actually spin. (Try it.) And-here is the point-in a universe that is not empty but that has less matter than ours, Mach suggested that the force you would feel from spinning would lie between nothing and what you would feel in our universe. That is, the force you feel is proportional to the amount of matter in the universe. In a universe with a single star, you would feel a minuscule force on your body if you started spinning. With two stars, the force would get a bit stronger, and so on and so on, until you got to a universe with the material content of our own, in which you feel the full familiar force of spinning. In this approach, the force you feel from acceleration arises as a collective effect, a collective influence of all the other matter in the universe.
+  Again, the proposal holds for all kinds of accelerated motion, not just spinning. When the airplane you are on is accelerating down the runway, when the car you are in screeches to a halt, when the elevator you are in starts to climb, Mach's ideas imply that the force you feel represents the combined influence of all the other matter making up the universe. If there were more matter, you would feel greater force. If there were less matter, you would feel less force. And if there were no matter, you wouldn't feel anything at all. So, in Mach's way of thinking, only relative motion and relative acceleration matter. You feel acceleration only when  you accelerate relative to the average distribution of other material inhabiting the cosmos. Without other material-without any benchmarks for comparison-Mach claimed there would be no way to experience acceleration.
+  For many physicists, this is one of the most seductive proposals about the cosmos put forward during the last century and a half. Generations of physicists have found it deeply unsettling to imagine that the untouchable, ungraspable, unclutchable fabric of space is really a something-a something substantial enough to provide the ultimate, absolute benchmark for motion. To many it has seemed absurd, or at least scientifically irresponsible, to base an understanding of motion on something so thoroughly imperceptible, so completely beyond our senses, that it borders on the mystical. Yet these same physicists were dogged by the question of how else to explain Newton's bucket. Mach's insights generated excitement because they raised the possibility of a new answer, one in which space is not a something, an answer that points back toward the relationist conception of space advocated by Leibniz. Space, in Mach's view, is very much as Leibniz imagined-it's the language for expressing the relationship between one object's position and another's. But, like an alphabet without letters, space does not enjoy an independent existence.
+Mach vs. Newton
+I learned of Mach's ideas when I was an undergraduate, and they were a godsend. Here, finally, was a theory of space and motion that put all perspectives back on an equal footing, since only relative motion and relative acceleration had meaning. Rather than the Newtonian benchmark for motion-an invisible thing called absolute space-Mach's proposed benchmark is out in the open for all to see-the matter that is distributed throughout the cosmos. I felt sure Mach's had to be the answer. I also learned that I was not alone in having this reaction; I was following a long line of physicists, including Albert Einstein, who had been swept away when they first encountered Mach's ideas.
+  Is Mach right? Did Newton get so caught up in the swirl of his bucket that he came to a wishy-washy conclusion regarding space? Does Newton's absolute space exist, or had the pendulum firmly swung back to the relationist perspective? During the first few decades after Mach introduced his ideas, these questions couldn't be answered. For the most part, the reason was that Mach's suggestion was not a complete theory or description, since he never specified how the matter content of the universe would exert the proposed influence. If his ideas were right, how do the distant stars and the house next door contribute to your feeling that you are spinning when you spin around? Without specifying a physical mechanism to realize his proposal, it was hard to investigate Mach's ideas with any precision.
+  From our modern vantage point, a reasonable guess is that gravity might have something to do with the influences involved in Mach's suggestion. In the following decades, this possibility caught Einstein's attention and he drew much inspiration from Mach's proposal while developing his own theory of gravity, the general theory of relativity. When the dust of relativity had finally settled, the question of whether space is a something-of whether the absolutist or relationist view of space is correct-was transformed in a manner that shattered all previous ways of looking at the universe.
+3
+Relativity and the Absolute
+IS SPACETIME AN EINSTEINIAN ABSTRACTION 
+ OR A PHYSICAL ENTITY?
+Some discoveries provide answers to questions. Other discoveries are so deep that they cast questions in a whole new light, showing that previous mysteries were misperceived through lack of knowledge. You could spend a lifetime-in antiquity, some did-wondering what happens when you reach earth's edge, or trying to figure out who or what lives on earth's underbelly. But when you learn that the earth is round, you see that the previous mysteries are not solved; instead, they're rendered irrelevant.
+  During the first decades of the twentieth century, Albert Einstein made two deep discoveries. Each caused a radical upheaval in our understanding of space and time. Einstein dismantled the rigid, absolute structures that Newton had erected, and built his own tower, synthesizing space and time in a manner that was completely unanticipated. When he was done, time had become so enmeshed with space that the reality of one could no longer be pondered separately from the other. And so, by the third decade of the twentieth century the question of the corporeality of space was outmoded; its Einsteinian reframing, as we'll talk about shortly, became: Is spacetime a something? With that seemingly slight modification, our understanding of reality's arena was transformed.
+Is Empty Space Empty?
+Light was the primary actor in the relativity drama written by Einstein in the early years of the twentieth century. And it was the work of James Clerk Maxwell that set the stage for Einstein's insights. In the mid-1800s, Maxwell discovered four powerful equations that, for the first time, set out a rigorous theoretical framework for understanding electricity, magnetism, and their intimate relationship.1 Maxwell developed these equations by carefully studying the work of the English physicist Michael Faraday, who in the early 1800s had carried out tens of thousands of experiments that exposed hitherto unknown features of electricity and magnetism. Faraday's key breakthrough was the concept of the field. Later expanded on by Maxwell and many others, this concept has had an enormous influence on the development of physics during the last two centuries, and underlies many of the little mysteries we encounter in everyday life. When you go through airport security, how is it that a machine that doesn't touch you can determine whether you're carrying metallic objects? When you have an MRI, how is it that a device that remains outside your body can take a detailed picture of your insides? When you look at a compass, how is it that the needle swings around and points north even though nothing seems to nudge it? The familiar answer to the last question invokes the earth's magnetic field, and the concept of magnetic fields helps to explain the previous two examples as well.
+  I've never seen a better way to get a visceral sense of a magnetic field than the elementary school demonstration in which iron filings are sprinkled in the vicinity of a bar magnet. After a little shaking, the iron filings align themselves in an orderly pattern of arcs that begin at the magnet's north pole and swing up and around, to end at the magnet's south pole, as in Figure 3.1. The pattern traced by the iron filings is direct evidence that the magnet creates an invisible something that permeates the space around it-a something that can, for example, exert a force on shards of metal. The invisible something is the magnetic field and, to our intuition, it resembles a mist or essence that can fill a region of space and thereby exert a force beyond the physical extent of the magnet itself. A magnetic field provides a magnet what an army provides a dictator and what auditors provide the IRS: influence beyond their physical boundaries, which allows force to be exerted out in the "field." That is why a magnetic field is also called a force field.
+
+Figure 3.1 Iron filings sprinkled near a bar magnet trace out its magnetic field.
+  It is the pervasive, space-filling capability of magnetic fields that makes them so useful. An airport metal detector's magnetic field seeps through your clothes and causes metallic objects to give off their own magnetic fields-fields that then exert an influence back on the detector, causing its alarm to sound. An MRI's magnetic field seeps into your body, causing particular atoms to gyrate in just the right way to generate their own magnetic fields-fields that the machine can detect and decode into a picture of internal tissues. The earth's magnetic field seeps through the compass casing and turns the needle, causing it to point along an arc that, as a result of eons-long geophysical processes, is aligned in a nearly south-north direction.
+  Magnetic fields are one familiar kind of field, but Faraday also analyzed another: the electric field. This is the field that causes your wool scarf to crackle, zaps your hand in a carpeted room when you touch a metal doorknob, and makes your skin tingle when you're up in the mountains during a powerful lightning storm. And if you happened to examine a compass during such a storm, the way its magnetic needle deflected this way and that as the bolts of electric lightning flashed nearby would have given you a hint of a deep interconnection between electric and magnetic fields-something first discovered by the Danish physicist Hans Oersted and investigated thoroughly by Faraday through painstaking experimentation. Just as developments in the stock market can affect the bond market which can then affect the stock market, and so on, these scientists found that changes in an electric field can produce changes in a nearby magnetic field, which can then cause changes in the electric field, and so on. Maxwell found the mathematical underpinnings of these interrelationships, and because his equations showed that electric and magnetic fields are as entwined as the fibers in a Rastafarian's dreadlocks, they were eventually christened electromagnetic fields, and the influence they exert the electromagnetic force.
+  Today, we are constantly immersed in a sea of electromagnetic fields. Your cellular telephone and car radio work over enormous expanses because the electromagnetic fields broadcast by telephone companies and radio stations suffuse impressively wide regions of space. The same goes for wireless Internet connections; computers can pluck the entire World Wide Web from electromagnetic fields that are vibrating all around us-in fact, right through us. Of course, in Maxwell's day, electromagnetic technology was less developed, but among scientists his feat was no less recognized: through the language of fields, Maxwell had shown that electricity and magnetism, although initially viewed as distinct, are really just different aspects of a single physical entity.
+  Later on, we'll encounter other kinds of fields-gravitational fields, nuclear fields, Higgs fields, and so on-and it will become increasingly clear that the field concept is central to our modern formulation of physical law. But for now the critical next step in our story is also due to Maxwell. Upon further analyzing his equations, he found that changes or disturbances to electromagnetic fields travel in a wavelike manner at a particular speed: 670 million miles per hour. As this is precisely the value other experiments had found for the speed of light, Maxwell realized that light must be nothing other than an electromagnetic wave, one that has the right properties to interact with chemicals in our retinas and give us the sensation of sight. This achievement made Maxwell's already towering discoveries all the more remarkable: he had linked the force produced by magnets, the influence exerted by electrical charges, and the light we use to see the universe-but it also raised a deep question.
+  When we say that the speed of light is 670 million miles per hour, experience, and our discussion so far, teach us this is a meaningless statement if we don't specify relative to what this speed is being measured. The funny thing was that Maxwell's equations just gave this number, 670 million miles per hour, without specifying or apparently relying on any such reference. It was as if someone gave the location for a party as 22 miles north without specifying the reference location, without specifying north of what. Most physicists, including Maxwell, attempted to explain the speed his equations gave in the following way: Familiar waves such as ocean waves or sound waves are carried by a substance, a medium. Ocean waves are carried by water. Sound waves are carried by air. And the speeds of these waves are specified with respect to the medium. When we talk about the speed of sound at room temperature being 767 miles per hour (also known as Mach 1, after the same Ernst Mach encountered earlier), we mean that sound waves travel through otherwise still air at this speed. Naturally, then, physicists surmised that light waves-electromagnetic waves-must also travel through some particular medium, one that had never been seen or detected but that must exist. To give this unseen light-carrying stuff due respect, it was given a name: the luminiferous aether, or the  aether for short, the latter being an ancient term that Aristotle used to describe the magical catchall substance of which heavenly bodies were imagined to be made. And, to square this proposal with Maxwell's results, it was suggested that his equations implicitly took the perspective of someone at rest with respect to the aether. The 670 million miles per hour his equations came up with, then, was the speed of light relative to the stationary aether.
+  As you can see, there is a striking similarity between the luminiferous aether and Newton's absolute space. They both originated in attempts to provide a reference for defining motion; accelerated motion led to absolute space, light's motion led to the luminiferous aether. In fact, many physicists viewed the aether as a down-to-earth stand-in for the divine spirit that Henry More, Newton, and others had envisioned permeating absolute space. (Newton and others in his age had even used the term "aether" in their descriptions of absolute space.) But what actually is the aether? What is it made of? Where did it come from? Does it exist everywhere?
+  These questions about the aether are the same ones that for centuries had been asked about absolute space. But whereas the full Machian test for absolute space involved spinning around in a completely empty universe, physicists were able to propose doable experiments to determine whether the aether really existed. For example, if you swim through water toward an oncoming water wave, the wave approaches you more quickly; if you swim away from the wave, it approaches you more slowly. Similarly, if you move through the supposed aether toward or away from an oncoming light wave, the light wave's approach should, by the same reasoning, be faster or slower than 670 million miles per hour. In 1887, however, when Albert Michelson and Edward Morley measured the speed of light, time and time again they found exactly the same speed of 670 million miles per hour regardless of their motion or that of the light's source. All sorts of clever arguments were devised to explain these results. Maybe, some suggested, the experimenters were unwittingly dragging the aether along with them as they moved. Maybe, a few ventured, the equipment was being warped as it moved through the aether, corrupting the measurements. But it was not until Einstein had his revolutionary insight that the explanation finally became clear.
+Relative Space, Relative Time
+In June 1905, Einstein wrote a paper with the unassuming title "On the Electrodynamics of Moving Bodies," which once and for all spelled the end of the luminiferous aether. In one stroke, it also changed forever our understanding of space and time. Einstein formulated the ideas in the paper over an intense five-week period in April and May 1905, but the issues it finally laid to rest had been gnawing at him for over a decade. As a teenager, Einstein struggled with the question of what a light wave would look like if you were to chase after it at exactly light speed. Since you and the light wave would be zipping through the aether at exactly the same speed, you would be keeping perfect pace with the light. And so, Einstein concluded, from your perspective the light should appear as though it wasn't moving. You should be able to reach out and grab a handful of motionless light just as you can scoop up a handful of newly fallen snow.
+  But here's the problem. It turns out that Maxwell's equations do not allow light to appear stationary-to look as if it's standing still. And certainly, there is no reliable report of anyone's ever actually catching hold of a stationary clump of light. So, the teenage Einstein asked, what are we to make of this apparent paradox?
+  Ten years later, Einstein gave the world his answer with his special theory of relativity. There has been much debate regarding the intellectual roots of Einstein's discovery, but there is no doubt that his unshakable belief in simplicity played a critical role. Einstein was aware of at least some experiments that had failed to detect evidence for the existence of the aether.2 So why dance around trying to find fault with the experiments? Instead, Einstein declared, take the simple approach: The experiments were failing to find the aether because there is no aether. And since Maxwell's equations describing the motion of light-the motion of electromagnetic waves-do not invoke any such medium, both experiment and theory would converge on the same conclusion: light, unlike any other kind of wave ever encountered, does not need a medium to carry it along. Light is a lone traveler. Light can travel through empty space.
+  But what, then, are we to make of Maxwell's equation giving light a speed of 670 million miles per hour? If there is no aether to provide the standard of rest, what is the what with respect to which this speed is to be interpreted? Again, Einstein bucked convention and answered with ultimate simplicity. If Maxwell's theory does not invoke any particular standard of rest, the most direct interpretation is that we don't need one. The  speed of light, Einstein declared, is 670 million miles per hour relative to anything and everything.
+  Well, this is certainly a simple statement; it fit well a maxim often attributed to Einstein: "Make everything as simple as possible, but no simpler." The problem is that it also seems crazy. If you run after a departing beam of light, common sense dictates that from your perspective the speed of the departing light has to be less than 670 million miles per hour. If you run toward an approaching beam of light, common sense dictates that from your perspective the speed of the approaching light will be greater than 670 million miles per hour. Throughout his life, Einstein challenged common sense, and this time was no exception. He forcefully argued that regardless of how fast you move toward or away from a beam of light, you will always measure its speed to be 670 million miles per hour-not a bit faster, not a bit slower, no matter what. This would certainly solve the paradox that stumped him as a teenager: Maxwell's theory does not allow for stationary light because light never is stationary; regardless of your state of motion, whether you chase a light beam, or run from it, or just stand still, the light retains its one fixed and never changing speed of 670 million miles per hour. But, we naturally ask, how can light possibly behave in such a strange manner?
+  Think about speed for a moment. Speed is measured by how far something goes divided by how long it takes to get there. It is a measure of space (the distance traveled) divided by a measure of time (the duration of the journey). Ever since Newton, space had been thought of as absolute, as being out there, as existing "without reference to anything external." Measurements of space and spatial separations must therefore also be absolute: regardless of who measures the distance between two things in space, if the measurements are done with adequate care, the answers will always agree. And although we have not yet discussed it directly, Newton declared the same to be true of time. His description of time in the Principia echoes the language he used for space: "Time exists in and of itself and flows equably without reference to anything external." In other words, according to Newton, there is a universal, absolute conception of time that applies everywhere and everywhen. In a Newtonian universe, regardless of who measures how much time it takes for something to happen, if the measurements are done accurately, the answers will always agree.
+  These assumptions about space and time comport with our daily experiences and for that reason are the basis of our commonsense conclusion that light should appear to travel more slowly if we run after it. To see this, imagine that Bart, who's just received a new nuclear-powered skateboard, decides to take on the ultimate challenge and race a beam of light. Although he is a bit disappointed to see that the skateboard's top speed is only 500 million miles per hour, he is determined to give it his best shot. His sister Lisa stands ready with a laser; she counts down from 11 (her hero Schopenhauer's favorite number) and when she reaches 0, Bart and the laser light streak off into the distance. What does Lisa see? Well, for every hour that passes, Lisa sees the light travel 670 million miles while Bart travels only 500 million miles, so Lisa rightly concludes that the light is speeding away from Bart at 170 million miles per hour. Now let's bring Newton into the story. His ideas dictate that Lisa's observations about space and time are absolute and universal in the sense that anyone else performing these measurements would get the same answers. To Newton, such facts about motion through space and time were as objective as two plus two equaling four. According to Newton, then, Bart will agree with Lisa and will report that the light beam was speeding away from him at 170 million miles per hour.
+  But when Bart returns, he doesn't agree at all. Instead, he dejectedly claims that no matter what he did-no matter how much he pushed the skateboard's limit-he saw the light speed away at 670 million miles per hour, not a bit less.3 And if for some reason you don't trust Bart, bear in mind that thousands of meticulous experiments carried out during the last hundred years, which have measured the speed of light using moving sources and receivers, support his observations with precision.
+  How can this be?
+  Einstein figured it out, and the answer he found is a logical yet profound extension of our discussion so far. It must be that Bart's measurements of distances and durations, the input that he uses to figure out how fast the light is receding from him, are different from Lisa's measurements. Think about it. Since speed is nothing but distance divided by time, there is no other way for Bart to have found a different answer from Lisa's for how fast the light was outrunning him. So, Einstein concluded, Newton's ideas of absolute space and absolute time were wrong. Einstein realized that experimenters who are moving relative to each other, like Bart and Lisa, will not find identical values for measurements of distances and durations. The puzzling experimental data on the speed of light can be explained only if their perceptions of space and time are different.
+Subtle but Not Malicious
+The relativity of space and of time is a startling conclusion. I have known about it for more than twenty-five years, but even so, whenever I quietly sit and think it through, I am amazed. From the well-worn statement that the speed of light is constant, we conclude that space and time are in the eye of the beholder. Each of us carries our own clock, our own monitor of the passage of time. Each clock is equally precise, yet when we move relative to one another, these clocks do not agree. They fall out of synchronization; they measure different amounts of elapsed time between two chosen events. The same is true of distance. Each of us carries our own yardstick, our own monitor of distance in space. Each yardstick is equally precise, yet when we move relative to one another, these yardsticks do not agree; they measure different distances between the locations of two specified events. If space and time did not behave this way, the speed of light would not be constant and would depend on the observer's state of motion. But it is constant; space and time do behave this way. Space and time adjust themselves in an exactly compensating manner so that observations of light's speed yield the same result, regardless of the observer's velocity.
+  Getting the quantitative details of precisely how the measurements of space and time differ is more involved, but requires only high school algebra. It is not the depth of mathematics that makes Einstein's special relativity challenging. It is the degree to which the ideas are foreign and apparently inconsistent with our everyday experiences. But once Einstein had the key insight-the realization that he needed to break with the more than two-hundred-year-old Newtonian perspective on space and time-it was not hard to fill in the details. He was able to show precisely how one person's measurements of distances and durations must differ from those of another in order to ensure that each measures an identical value for the speed of light.4
+  To get a fuller sense of what Einstein found, imagine that Bart, with heavy heart, has carried out the mandatory retrofitting of his skateboard, which now has a maximum speed of 65 miles per hour. If he heads due north at top speed-reading, whistling, yawning, and occasionally glancing at the road-and then merges onto a highway pointing in a northeasterly direction, his speed in the northward direction will be less than 65 miles per hour. The reason is clear. Initially, all his speed was devoted to northward motion, but when he shifted direction some of that speed was diverted into eastward motion, leaving a little less for heading north. This extremely simple idea actually allows us to capture the core insight of special relativity. Here's how:
+  We are used to the fact that objects can move through space, but there is another kind of motion that is equally important: objects also move through time. Right now, the watch on your wrist and the clock on the wall are ticking away, showing that you and everything around you are relentlessly moving through time, relentlessly moving from one second to the next and the next. Newton thought that motion through time was totally separate from motion through space-he thought these two kinds of motion had nothing to do with each other. But Einstein found that they are intimately linked. In fact, the revolutionary discovery of special relativity is this: When you look at something like a parked car, which from your viewpoint is stationary-not moving through space, that is-all of its motion is through time. The car, its driver, the street, you, your clothes are all moving through time in perfect synch: second followed by second, ticking away uniformly. But if the car speeds away, some of its motion through time is diverted into motion through space. And just as Bart's speed in the northward direction slowed down when he diverted some of his northward motion into eastward motion, the speed of the car through time slows down when it diverts some of its motion through time into motion through  space. This means that the car's progress through time slows down and therefore time elapses more slowly for the moving car and its driver than it elapses for you and everything else that remains stationary.
+  That, in a nutshell, is special relativity. In fact, we can be a bit more precise and take the description one step further. Because of the retrofitting, Bart had no choice but to limit his top speed to 65 miles per hour. This is important to the story, because if he sped up enough when he angled northeast, he could have compensated for the speed diversion and thereby maintained the same net speed toward the north. But with the retrofitting, no matter how hard he revved the skateboard's engine, his total speed-the combination of his speed toward the north and his speed toward the east-remained fixed at the maximum of 65 miles per hour. And so when he shifted his direction a bit toward the east, he necessarily caused a decreased northward speed.
+  Special relativity declares a similar law for all motion: the combined speed of any object's motion through space and its motion through time is always precisely equal to the speed of light. At first, you may instinctively recoil from this statement since we are all used to the idea that nothing but light can travel at light speed. But that familiar idea refers solely to motion through space. We are now talking about something related, yet richer: an object's combined motion through space and time. The key fact, Einstein discovered, is that these two kinds of motion are always complementary. When the parked car you were looking at speeds away, what really happens is that some of its light-speed motion is diverted from motion through time into motion through space,  keeping their combined total unchanged. Such diversion unassailably means that the car's motion through time slows down.
+  As an example, if Lisa had been able to see Bart's watch as he sped along at 500 million miles per hour, she would have seen that it was ticking about two-thirds as fast as her own. For every three hours that passed on Lisa's watch, she would see that only two had passed on Bart's. His rapid motion through space would have proved a significant drain on his speed through time.
+  Moreover, the maximum speed through space is reached when all light-speed motion through time is fully diverted into light-speed motion through space-one way of understanding why it is impossible to go through space at greater than light speed. Light, which always travels at light speed through space, is special in that it always achieves such total diversion. And just as driving due east leaves no motion for traveling north, moving at light speed through space leaves no motion for traveling through time! Time stops when traveling at the speed of light through space. A watch worn by a particle of light would not tick at all. Light realizes the dreams of Ponce de León and the cosmetics industry: it doesn't age.5
+  As this description makes clear, the effects of special relativity are most pronounced when speeds (through space) are a significant fraction of light speed. But the unfamiliar, complementary nature of motion through space and time always applies. The lesser the speed, the smaller the deviation from prerelativity physics-from common sense, that is- but the deviation is still there, to be sure.
+  Truly. This is not dexterous wordplay, sleight of hand, or psychological illusion. This is how the universe works.
+  In 1971, Joseph Hafele and Richard Keating flew state-of-the-art cesium-beam atomic clocks around the world on a commercial Pan Am jet. When they compared the clocks flown on the plane with identical clocks left stationary on the ground, they found that less time had elapsed on the moving clocks. The difference was tiny-a few hundred billionths of a second-but it was precisely in accord with Einstein's discoveries. You can't get much more nuts-and-bolts than that.
+  In 1908, word began to spread that newer, more refined experiments were finding evidence for the aether.6 If that had been so, it would have meant that there was an absolute standard of rest and that Einstein's special relativity was wrong. On hearing this rumor, Einstein replied, "Subtle is the Lord, malicious He is not." Peering deeply into the workings of nature to tease out insights into space and time was a profound challenge, one that had gotten the better of everyone until Einstein. But to allow such a startling and beautiful theory to exist, and yet to make it irrelevant to the workings of the universe, that would be malicious. Einstein would have none of it; he dismissed the new experiments. His confidence was well placed. The experiments were ultimately shown to be wrong, and the luminiferous aether evaporated from scientific discourse.
+But What About the Bucket?
+This is certainly a tidy story for light. Theory and experiment agree that light needs no medium to carry its waves and that regardless of the motion of either the source of light or the person observing, its speed is fixed and unchanging. Every vantage point is on an equal footing with every other. There is no absolute or preferred standard of rest. Great. But what about the bucket?
+  Remember, while many viewed the luminiferous aether as the physical substance giving credibility to Newton's absolute space, it had nothing to do with why Newton introduced absolute space. Instead, after wrangling with accelerated motion such as the spinning bucket, Newton saw no option but to invoke some invisible background stuff with respect to which motion could be unambiguously defined. Doing away with the aether did not do away with the bucket, so how did Einstein and his special theory of relativity cope with the issue?
+  Well, truth be told, in special relativity, Einstein's main focus was on a special kind of motion: constant-velocity motion. It was not until 1915, some ten years later, that he fully came to grips with more general, accelerated motion, through his general theory of relativity. Even so, Einstein and others repeatedly considered the question of rotating motion using the insights of special relativity; they concluded, like Newton and unlike Mach, that even in an otherwise completely empty universe you would feel the outward pull from spinning-Homer would feel pressed against the inner wall of a spinning bucket; the rope between the two twirling rocks would pull taut.7 Having dismantled Newton's absolute space and absolute time, how did Einstein explain this?
+  The answer is surprising. Its name notwithstanding, Einstein's theory does not proclaim that everything is relative. Special relativity does claim that some things are relative: velocities are relative; distances across space are relative; durations of elapsed time are relative. But the theory actually introduces a grand, new, sweepingly absolute concept:  absolute spacetime.Absolute spacetime is as absolute for special relativity as absolute space and absolute time were for Newton, and partly for this reason Einstein did not suggest or particularly like the name "relativity theory." Instead, he and other physicists suggested invariance theory, stressing that the theory, at its core, involves something that everyone agrees on, something that is not relative.8
+  Absolute spacetime is the vital next chapter in the story of the bucket, because, even if devoid of all material benchmarks for defining motion, the absolute spacetime of special relativity provides a something with respect to which objects can be said to accelerate.
+Carving Space and Time
+To see this, imagine that Marge and Lisa, seeking some quality together-time, enroll in a Burns Institute extension course on urban renewal. For their first assignment, they are asked to redesign the street and avenue layout of Springfield, subject to two requirements: first, the street/avenue grid must be configured so that the Soaring Nuclear Monument is located right at the grid's center, at 5th Street and 5th Avenue, and, second, the designs must use streets 100 meters long, and avenues, which run perpendicular to streets, that are also 100 meters long. Just before class, Marge and Lisa compare their designs and realize that something is terribly wrong. After appropriately configuring her grid so that the Monument lies in the center, Marge finds that Kwik-E-Mart is at 8th Street and 5th Avenue and the nuclear power plant is at 3rd Street and 5th Avenue, as shown in Figure 3.2a. But in Lisa's design, the addresses are completely different: the Kwik-E-Mart is near the corner of 7th Street and 3rd Avenue, while the power plant is at 4th Street and 7th Avenue, as in Figure 3.2b. Clearly, someone has made a mistake.
+  After a moment's thought, though, Lisa realizes what's going on. There are no mistakes. She and Marge are both right. They merely chose different orientations for their street and avenue grids. Marge's streets and avenues run at an angle relative to Lisa's; their grids are rotated relative to each other; they have sliced up Springfield into streets and avenues in two different ways (see Figure 3.2c). The lesson here is simple, yet important. There is freedom in how Springfield-a region of space-can be organized by streets and avenues. There are no "absolute" streets or "absolute" avenues. Marge's choice is as valid as Lisa's-or any other possible orientation, for that matter.
+  Hold this idea in mind as we paint time into the picture. We are used to thinking about space as the arena of the universe, but physical processes occur in some region of space during some interval of time. As an example, imagine that Itchy and Scratchy are having a duel, as illustrated in Figure 3.3a, and the events are recorded moment by moment in the fashion of one of those old-time flip books. Each page is a "time slice"-like a still frame in a filmstrip-that shows what happened in a region of space at one moment of time. To see what happened at a different moment of time you flip to a different page.4 (Of course, space is three-dimensional while the pages are two-dimensional, but let's make this simplification for ease of thinking and drawing figures. It won't compromise any of our conclusions.) By way of terminology, a region of space considered over an interval of time is called a region of spacetime; you can think of a region of spacetime as a record of all things that happen in some region of space during a particular span of time.
+
+Figure 3.2 (a) Marge's street design. (b) Lisa's street design.
+
+Figure 3.2 (c) Overview of Marge's and Lisa's street/avenue designs. Their grids differ by a rotation.
+  Now, following the insight of Einstein's mathematics professor Hermann Minkowski (who once called his young student a lazy dog), consider the region of spacetime as an entity unto itself: consider the complete flip book as an object in its own right. To do so, imagine that, as in Figure 3.3b, we expand the binding of the flip-card book and then imagine that, as in Figure 3.3c, all the pages are completely transparent, so when you look at the book you see one continuous block containing all the events that happened during a given time interval. From this perspective, the pages should be thought of as simply providing a convenient way of organizing the content of the block-that is, of organizing the events of spacetime. Just as a street/avenue grid allows us to specify locations in a city easily, by giving their street and avenue address, the division of the spacetime block into pages allows us to easily specify an event (Itchy shooting his gun, Scratchy being hit, and so on) by giving the time when the event occurred-the page on which it appears-and the location within the region of space depicted on the pages.
+
+Figure 3.3 (a) Flip book of duel. (b) Flip book with expanded binding.
+  Here is the key point: Just as Lisa realized that there are different, equally valid ways to slice up a region of space into streets and avenues,
+
+Figure 3.3 (c) Block of spacetime containing the duel. Pages, or "time slices," organize the events in the block. The spaces between slices are for visual clarity only; they are not meant to suggest that time is discrete, a question we discuss later.
+Einstein realized that there are different, equally valid ways to slice up a region of spacetime-a block like that in Figure 3.3c-into regions of space at moments of time. The pages in Figures 3.3a, b, and c-with, again, each page denoting one moment of time-provide but one of the many possible slicings. This may sound like only a minor extension of what we know intuitively about space, but it's the basis for overturning some of the most basic intuitions that we've held for thousands of years. Until 1905, it was thought that everyone experiences the passage of time identically, that everyone agrees on what events occur at a given moment of time, and hence, that everyone would concur on what belongs on a given page in the flip book of spacetime. But when Einstein realized that two observers in relative motion have clocks that tick off time differently, this all changed. Clocks that are moving relative to each other fall out of synchronization and therefore give different notions of simultaneity. Each page in Figure 3.3b is but one observer's view of the events in space taking place at a given moment of his or her time. Another observer, moving relative to the first, will declare that the events on a single one of these pages do not all happen at the same time.
+  This is known as the relativity of simultaneity, and we can see it directly. Imagine that Itchy and Scratchy, pistols in paws, are now facing each other on opposite ends of a long, moving railway car with one referee on the train and another officiating from the platform. To make the duel as fair as possible, all parties have agreed to forgo the three-step rule, and instead, the duelers will draw when a small pile of gunpowder, set midway between them, explodes. The first referee, Apu, lights the fuse, takes a sip of his refreshing Chutney Squishee, and steps back. The gunpowder flares, and both Itchy and Scratchy draw and fire. Since Itchy and Scratchy are the same distance from the gunpowder, Apu is certain that light from the flare reaches them simultaneously, so he raises the green flag and declares it a fair draw. But the second referee, Martin, who was watching from the platform, wildly squeals foul play, claiming that Itchy got the light signal from the explosion before Scratchy did. He explains that because the train was moving forward, Itchy was heading toward the light while Scratchy was moving away from it. This means that the light did not have to travel quite as far to reach Itchy, since he moved closer to it; moreover, the light had to travel farther to reach Scratchy, since he moved away from it. Since the speed of light, moving left or right from anyone's perspective, is constant, Martin claims that it took the light longer to reach Scratchy since it had to travel farther, rendering the duel unfair.
+  Who is right, Apu or Martin? Einstein's unexpected answer is that they both are. Although the conclusions of our two referees differ, the observations and the reasoning of each are flawless. Like the bat and the baseball, they simply have different perspectives on the same sequence of events. The shocking thing that Einstein revealed is that their different perspectives yield different but equally valid claims of what events happen at the same time. Of course, at everyday speeds like that of the train, the disparity is small-Martin claims that Scratchy got the light less than a trillionth of a second after Itchy-but were the train moving faster, near light speed, the time difference would be substantial.
+  Think about what this means for the flip-book pages slicing up a region of spacetime. Since observers moving relative to each other do not agree on what things happen simultaneously, the way each of them will slice a block of spacetime into pages-with each page containing all events that happen at a given moment from each observer's perspective- will not agree, either. Instead, observers moving relative to each other cut a block of spacetime up into pages, into time slices, in different but equally valid ways. What Lisa and Marge found for space, Einstein found for spacetime.
+Angling the Slices
+The analogy between street/avenue grids and time slicings can be taken even further. Just as Marge's and Lisa's designs differed by a rotation, Apu's and Martin's time slicings, their flip-book pages, also differ by a rotation, but one that involves both space and time. This is illustrated in Figures 3.4a and 3.4b, in which we see that Martin's slices are rotated relative to Apu's, leading him to conclude that the duel was unfair. A critical difference of detail, though, is that whereas the rotation angle between Marge's and Lisa's schemes was merely a design choice, the rotation angle between Apu's and Martin's slicings is determined by their relative speed. With minimal effort, we can see why.
+  Imagine that Itchy and Scratchy have reconciled. Instead of trying to shoot each other, they just want to ensure that clocks on the front and back of the train are perfectly synchronized. Since they are still equidistant from the gunpowder, they come up with the following plan. They agree to set their clocks to noon just as they see the light from the flaring gunpowder. From their perspective, the light has to travel the same distance to reach either of them, and since light's speed is constant, it will reach them simultaneously. But, by the same reasoning as before, Martin and anyone else viewing from the platform will say that Itchy is heading toward the emitted light while Scratchy is moving away from it, and so Itchy will receive the light signal a little before Scratchy does. Platform observers will therefore conclude that Itchy set his clock to 12:00 before Scratchy and will therefore claim that Itchy's clock is set a bit ahead of Scratchy's. For example, to a platform observer like Martin, when it's 12:06 on Itchy's clock, it may be only 12:04 on Scratchy's (the precise numbers depend on the length and the speed of the train; the longer and faster it is, the greater the discrepancy). Yet, from the viewpoint of Apu and everyone on the train, Itchy and Scratchy performed the synchronization perfectly. Again, although it's hard to accept at a gut level, there is no paradox here: observers in relative motion do not agree on simultaneity-they do not agree on what things happen at the same time.
+
+Figure 3.4 Time slicings according to (a) Apu and (b ) Martin, who are in relative motion. Their slices differ by a rotation through space and time. According to Apu, who is on the train, the duel is fair; according to Martin, who is on the platform, it isn't. Both views are equally valid. In (b), the different angle of their slices through spacetime is emphasized.
+  This means that one page in the flip book as seen from the perspective of those on the train, a page containing events they consider simultaneous-such as Itchy's and Scratchy's setting their clocks- contains events that lie on different pages from the perspective of those observing from the platform (according to platform observers, Itchy set his clock before Scratchy, so these two events are on different pages from the platform observer's perspective). And there we have it. A single page from the perspective of those on the train contains events that lie on earlier and later pages of a platform observer. This is why Martin's and Apu's slices in Figure 3.4 are rotated relative to each other: what is a single time slice, from one perspective, cuts across many time slices, from the other perspective.
+  If Newton's conception of absolute space and absolute time were correct, everyone would agree on a single slicing of spacetime. Each slice would represent absolute space as viewed at a given moment of absolute time. This, however, is not how the world works, and the shift from rigid Newtonian time to the newfound Einsteinian flexibility inspires a shift in our metaphor. Rather than viewing spacetime as a rigid flip book, it will sometimes be useful to think of it as a huge, fresh loaf of bread. In place of the fixed pages that make up a book-the fixed Newtonian time slices- think of the variety of angles at which you can slice a loaf into parallel pieces of bread, as in Figure 3.5a. Each piece of bread represents space at one moment of time from one observer's perspective. But as illustrated in Figure 3.5b, another observer, moving relative to the first, will slice the spacetime loaf at a different angle. The greater the relative velocity of the two observers, the larger the angle between their respective parallel slices (as explained in the endnotes, the speed limit set by light translates into a maximum 45° rotation angle for these slicings9) and the greater the discrepancy between what the observers will report as having happened at the same moment.
+The Bucket, According to Special Relativity
+The relativity of time and space requires a dramatic change in our thinking. Yet there is an important point, mentioned earlier and illustrated now by the loaf of bread, which often gets lost: not everything in relativity is relative.Even if you and I were to imagine slicing up a loaf of bread in two different ways, there is still something that we would fully agree upon: the totality of the loaf itself. Although our slices would differ, if I were to imagine putting all of my slices together and you were to imagine doing the same for all of your slices, we would reconstitute the same loaf of bread. How could it be otherwise? We both imagined cutting up the same loaf.
+  Similarly, the totality of all the slices of space at successive moments of time, from any single observer's perspective (see Figure 3.4), collectively yield the same region of spacetime. Different observers slice up a region of spacetime in different ways, but the region itself, like the loaf of bread, has an independent existence. Thus, although Newton definitely got it wrong, his intuition that there was something absolute, something that everyone would agree upon, was not fully debunked by special relativity. Absolute space does not exist. Absolute time does not exist. But according to special relativity, absolute spacetime does exist. With this observation, let's visit the bucket once again.
+
+Figure 3.5 Just as one loaf of bread can be sliced at different angles, a block of spacetime is "time sliced" at different angles by observers in relative motion. The greater the relative speed, the greater the angle (with a maximum angle of 45˚ corresponding to the maximum speed set by light).
+  In an otherwise empty universe, with respect to what is the bucket spinning? According to Newton, the answer is absolute space. According to Mach, there is no sense in which the bucket can even be said to spin. According to Einstein's special relativity, the answer is absolute spacetime.
+  To understand this, let's look again at the proposed street and avenue layouts for Springfield. Remember that Marge and Lisa disagreed on the street and avenue address of the Kwik-E-Mart and the nuclear plant because their grids were rotated relative to each other. Even so, regardless of how each chose to lay out the grid, there are some things they definitely still agree on. For example, if in the interest of increasing worker efficiency during lunchtime, a trail is painted on the ground from the nuclear plant straight to the Kwik-E-Mart, Marge and Lisa will not agree on the streets and avenues through which the trail passes, as you can see in Figure 3.6. But they will certainly agree on the shape of the trail: they will agree that it is a straight line. The geometrical shape of the painted trail is independent of the particular street/avenue grid one happens to use.
+  Einstein realized that something similar holds for spacetime. Even though two observers in relative motion slice up spacetime in different ways, there are things they still agree on. As a prime example, consider a straight line not just through space, but through spacetime. Although the inclusion of time makes such a trajectory less familiar, a moment's thought reveals its meaning. For an object's trajectory through spacetime to be straight, the object must not only move in a straight line through space, but its motion must also be uniform through time; that is, both its speed and direction must be unchanging and hence it must be moving with constant velocity. Now, even though different observers slice up the spacetime loaf at different angles and thus will not agree on how much time has elapsed or how much distance is covered between various points on a trajectory, such observers will, like Marge and Lisa, still agree on whether a trajectory through spacetime is a straight line. Just as the geometrical shape of the painted trail to the Kwik-E-Mart is independent of the street/avenue slicing one uses, so the geometrical shapes of trajectories in spacetime are independent of the time slicing one uses.10
+  This is a simple yet critical realization, because with it special relativity provided an absolute criterion-one that all observers, regardless of their constant relative velocities, would agree on-for deciding whether or not something is accelerating. If the trajectory an object follows through spacetime is a straight line, like that of the gently resting astronaut (a) in Figure 3.7, it is not accelerating. If the trajectory an object follows has any other shape but a straight line through spacetime, it is accelerating. For example, should the astronaut fire up her jetpack and fly around in a circle over and over again, like astronaut (b) in Figure 3.7, or should she zip out toward deep space at ever increasing speed, like astronaut (c), her trajectory through spacetime will be curved-the telltale sign of acceleration. And so, with these developments we learn that geometricalshapes of trajectories in spacetime provide the absolute standard that determines whether something is accelerating. Spacetime, not space alone, provides the benchmark.
+
+Figure 3.6 Regardless of which street grid is used, everyone agrees on the shape of a trail, in this case, a straight line.
+  In this sense, then, special relativity tells us that spacetime itself is the ultimate arbiter of accelerated motion. Spacetime provides the backdrop with respect to which something, like a spinning bucket, can be said to accelerate even in an otherwise empty universe. With this insight, the pendulum swung back again: from Leibniz the relationist to Newton the absolutist to Mach the relationist, and now back to Einstein, whose special relativity showed once again that the arena of reality-viewed as spacetime, not as space-is enough of a something to provide the ultimate benchmark for motion.11
+
+Figure 3.7 The paths through spacetime followed by three astronauts. Astronaut (a) does not accelerate and so follows a straight line through spacetime. Astronaut (b) flies repeatedly in a circle, and so follows a spiral through spacetime. Astronaut (c) accelerates into deep space, and so follows another curved trajectory in spacetime.
+Gravity and the Age-old Question
+At this point you might think we've reached the end of the bucket story, with Mach's ideas having been discredited and Einstein's radical updating of Newton's absolute conceptions of space and time having won the day. The truth, though, is more subtle and more interesting. But if you're new to the ideas we've covered so far, you may need a break before pressing on to the last sections of this chapter. In Table 3.1 you'll find a summary to refresh your memory when you've geared up to reengage.
+  Okay. If you're reading these words, I gather you're ready for the next major step in spacetime's story, a step catalyzed in large part by none other than Ernst Mach. Although special relativity, unlike Mach's theory, concludes that even in an otherwise empty universe you would feel pressed against the inside wall of a spinning bucket and that the rope tied between two twirling rocks would pull taut, Einstein remained deeply fascinated by Mach's ideas. He realized, however, that serious consideration of these ideas required significantly extending them. Mach never really specified a mechanism whereby distant stars and other matter in the universe might play a role in how strongly your arms splay outward when you spin or how forcefully you feel pressed against the inner wall of a spinning bucket. Einstein began to suspect that if there were such a mechanism it might have something to do with gravity.
+  This realization had a particular allure for Einstein because in special relativity, to keep the analysis tractable, he had completely ignored gravity.
+
+Maybe, he speculated, a more robust theory, which embraced both special relativity and gravity, would come to a different conclusion regarding Mach's ideas. Maybe, he surmised, a generalization of special relativity that incorporated gravity would show that matter, both near and far, determines the force we feel when we accelerate.
+  Einstein also had a second, somewhat more pressing, reason for turning his attention to gravity. He realized that special relativity, with its central dictum that the speed of light is the fastest that anything or any disturbance can travel, was in direct conflict with Newton's universal law of gravity, the monumental achievement that had for over two hundred years predicted with fantastic precision the motion of the moon, the planets, comets, and all things tossed skyward. The experimental success of Newton's law notwithstanding, Einstein realized that according to Newton, gravity exerts its influence from place to place, from the sun to the earth, from the earth to the moon, from any-here to any-there, instantaneously, in no time at all, much faster than light. And that directly contradicted special relativity.
+  To illustrate the contradiction, imagine you've had a really disappointing evening (hometown ball club lost, no one remembered your birthday, someone ate the last chunk of Velveeta) and need a little time alone, so you take the family skiff out for some relaxing midnight boating. With the moon overhead, the water is at high tide (it's the moon's gravity pulling up on bodies of water that creates the tides), and beautiful moonlight reflections dance on its waving surface. But then, as if your night hadn't already been irritating enough, hostile aliens zap the moon and beam it clear across to the other side of the galaxy. Now, certainly, the moon's sudden disappearance would be odd, but if Newton's law of gravity was right, the episode would demonstrate something odder still. Newton's law predicts that the water would start to recede from high tide, because of the loss of the moon's gravitational pull, about a second and a half before you saw the moon disappear from the sky. Like a sprinter jumping the gun, the water would seem to retreat a second and a half  too soon.
+  The reason is that, according to Newton, at the very moment the moon disappears its gravitational pull would instantaneously disappear too, and without the moon's gravity, the tides would immediately start to diminish. Yet, since it takes light a second and a half to travel the quarter million miles between the moon and the earth, you wouldn't immediately see that the moon had disappeared; for a second and a half, it would seem that the tides were receding from a moon that was still shining high overhead as usual. Thus, according to Newton's approach, gravity can affect us before light-gravity can outrun light-and this, Einstein felt certain, was wrong.12
+  And so, around 1907, Einstein became obsessed with the goal of formulating a new theory of gravity, one that would be at least as accurate as Newton's but would not conflict with the special theory of relativity. This turned out to be a challenge beyond all others. Einstein's formidable intellect had finally met its match. His notebook from this period is filled with half-formulated ideas, near misses in which small errors resulted in long wanderings down spurious paths, and exclamations that he had cracked the problem only to realize shortly afterward that he'd made another mistake. Finally, by 1915, Einstein emerged into the light. Although Einstein did have help at critical junctures, most notably from the mathematician Marcel Grossmann, the discovery of general relativity was the rare heroic struggle of a single mind to master the universe. The result is the crowning jewel of pre-quantum physics.
+  Einstein's journey toward general relativity began with a key question that Newton, rather sheepishly, had sidestepped two centuries earlier. How does gravity exert its influence over immense stretches of space? How does the vastly distant sun affect earth's motion? The sun doesn't touch the earth, so how does it do that? In short, how does gravity get the job done? Although Newton discovered an equation that described the effect of gravity with great accuracy, he fully recognized that he had left unanswered the important question of how gravity actually works. In his Principia, Newton wryly wrote, "I leave this problem to the consideration of the reader."13 As you can see, there is a similarity between this problem and the one Faraday and Maxwell solved in the 1800s, using the idea of a magnetic field, regarding the way a magnet exerts influence on things that it doesn't literally touch. So you might suggest a similar answer: gravity exerts its influence by another field, the gravitational field. And, broadly speaking, this is the right suggestion. But realizing this answer in a manner that does not conflict with special relativity is easier said than done.
+  Much easier. It was this task to which Einstein boldly dedicated himself, and with the dazzling framework he developed after close to a decade of searching in the dark, Einstein overthrew Newton's revered theory of gravity. What is equally dazzling, the story comes full circle because Einstein's key breakthrough was tightly linked to the very issue Newton highlighted with the bucket: What is the true nature of accelerated motion?
+The Equivalence of Gravity and Acceleration
+In special relativity, Einstein's main focus was on observers who move with constant velocity-observers who feel no motion and hence are all justified in proclaiming that they are stationary and that the rest of the world moves by them. Itchy, Scratchy, and Apu on the train do not feel any motion. From their perspective, it's Martin and everyone else on the platform who are moving. Martin also feels no motion. To him, it's the train and its passengers that are in motion. Neither perspective is more correct than the other. But accelerated motion is different, because you can feel it. You feel squeezed back into a car seat as it accelerates forward, you feel pushed sideways as a train rounds a sharp bend, you feel pressed against the floor of an elevator that accelerates upward.
+  Nevertheless, the forces you'd feel struck Einstein as very familiar. As you approach a sharp bend, for example, your body tightens as you brace for the sideways push, because the impending force is inevitable. There is no way to shield yourself from its influence. The only way to avoid the force is to change your plans and not take the bend. This rang a loud bell for Einstein. He recognized that exactly the same features characterize the gravitational force. If you're standing on planet earth you are subject to planet earth's gravitational pull. It's inevitable. There is no way around it. While you can shield yourself from electromagnetic and nuclear forces, there is no way to shield yourself from gravity. And one day in 1907, Einstein realized that this was no mere analogy. In one of those flashes of insight that scientists spend a lifetime longing for, Einstein realized that gravity and accelerated motion are two sides of the same coin.
+  Just as by changing your planned motion (to avoid accelerating) you can avoid feeling squeezed back in your car seat or feeling pushed sideways on the train, Einstein understood that by suitably changing your motion you can also avoid feeling the usual sensations associated with gravity's pull. The idea is wonderfully simple. To understand it, imagine that Barney is desperately trying to win the Springfield Challenge, a monthlong competition among all belt-size-challenged males to see who can shed the greatest number of inches. But after two weeks on a liquid diet (Duff Beer), when he still has an obstructed view of the bathroom scale, he loses all hope. And so, in a fit of frustration, with the scale stuck to his feet, he leaps from the bathroom window. On his way down, just before plummeting into his neighbor's pool, Barney looks at the scale's reading and what does he see? Well, Einstein was the first person to realize, and realize fully, that Barney will see the scale's reading drop to zero. The scale falls at exactly the same rate as Barney does, so his feet don't press against it at all. In free fall, Barney experiences the same weightlessnessthat astronauts experience in outer space.
+  Indeed, if we imagine that Barney jumps out his window into a large shaft from which all air has been evacuated, then on his way down not only would air resistance be eliminated, but because every atom of his body would be falling at exactly the same rate, all the usual external bodily stresses and strains-his feet pushing up against his ankles, his legs pushing into his hips, his arms pulling down on his shoulders-would be eliminated as well.14 By closing his eyes during the descent, Barney would feel exactly what he would if he were floating in the darkness of deep space. (And, again, in case you're happier with nonhuman examples: if you drop two rocks tied by a rope into the evacuated shaft, the rope will remain slack, just as it would if the rocks were floating in outer space.) Thus, by changing his state of motion-by fully "giving in to gravity"- Barney is able to simulate a gravity-free environment. (As a matter of fact, NASA trains astronauts for the gravity-free environment of outer space by having them ride in a modified 707 airplane, nicknamed the Vomit  Comet, that periodically goes into a state of free fall toward earth.)
+  Similarly, by a suitable change in motion you can create a force that is essentially identical to gravity. For example, imagine that Barney joins astronauts floating weightless in their space capsule, with the bathroom scale still stuck to his feet and still reading zero. If the capsule should fire up its boosters and accelerate, things will change significantly. Barney will feel pressed to the capsule's floor, just as you feel pressed to the floor of an upward accelerating elevator. And since Barney's feet are now pressing against the scale, its reading is no longer zero. If the captain fires the boosters with just the right oomph, the reading on the scale will agree precisely with what Barney saw in the bathroom. Through appropriate acceleration, Barney is now experiencing a force that is indistinguishable from gravity.
+  The same is true of other kinds of accelerated motion. Should Barney join Homer in the outer space bucket, and, as the bucket spins, stand at a right angle to Homer-feet and scale against the inner bucket wall-the scale will register a nonzero reading since his feet will press against it. If the bucket spins at just the right rate, the scale will give the same reading Barney found earlier in the bathroom: the acceleration of the spinning bucket can also simulate earth's gravity.
+  All this led Einstein to conclude that the force one feels from gravity and the force one feels from acceleration are the same. They are equivalent. Einstein called this the principle of equivalence.
+  Take a look at what it means. Right now you feel gravity's influence. If you are standing, your feet feel the floor supporting your weight. If you are sitting, you feel the support somewhere else. And unless you are reading in a plane or a car, you probably also think that you are stationary-that you are not accelerating or even moving at all. But according to Einstein you actually are accelerating. Since you're sitting still this sounds a little silly, but don't forget to ask the usual question: Accelerating according to what benchmark? Accelerating from whose viewpoint?
+  With special relativity, Einstein proclaimed that absolute spacetime provides the benchmark, but special relativity does not take account of gravity. Then, through the equivalence principle, Einstein supplied a more robust benchmark that does include the effects of gravity. And this entailed a radical change in perspective. Since gravity and acceleration  are equivalent, if you feel gravity's influence, you must be accelerating. Einstein argued that only those observers who feel no force at all-including the force of gravity-are justified in declaring that they are not accelerating. Such force-free observers provide the true reference points for discussing motion, and it's this recognition that requires a major turnabout in the way we usually think about such things. When Barney jumps from his window into the evacuated shaft, we would ordinarily describe him as accelerating down toward the earth's surface. But this is not a description Einstein would agree with. According to Einstein, Barney is not accelerating.  He feels no force. He is weightless. He feels as he would floating in the deep darkness of empty space. He provides the standard against which all motion should be compared. And by this comparison, when you are calmly reading at home, you are accelerating. From Barney's perspective as he freely falls by your window-the perspective, according to Einstein, of a true benchmark for motion-you and the earth and all the other things we usually think of as stationary are accelerating upward. Einstein would argue that it was Newton's head that rushed up to meet the apple, not the other way around.
+  Clearly, this is a radically different way of thinking about motion. But it's anchored in the simple recognition that you feel gravity's influence only when you resist it. By contrast, when you fully give in to gravity you don't feel it. Assuming you are not subject to any other influences (such as air resistance), when you give in to gravity and allow yourself to fall freely, you feel as you would if you were freely floating in empty space-a perspective which, unhesitatingly, we consider to be unaccelerated.
+  In sum, only those individuals who are freely floating, regardless of whether they are in the depths of outer space or on a collision course with the earth's surface, are justified in claiming that they are experiencing no acceleration. If you pass by such an observer and there is relative acceleration between the two of you, then according to Einstein, you are accelerating.
+  As a matter of fact, notice that neither Itchy, nor Scratchy, nor Apu, nor Martin was truly justified in saying that he was stationary during the duel, since they all felt the downward pull of gravity. This has no bearing on our earlier discussion, because there, we were concerned only with horizontal motion, motion that was unaffected by the vertical gravity experienced by all participants. But as an important point of principle, the link Einstein found between gravity and acceleration means, once again, that we are justified only in considering stationary those observers who feel no forces whatsoever.
+  Having forged the link between gravity and acceleration, Einstein was now ready to take up Newton's challenge and seek an explanation of how gravity exerts its influence.
+Warps, Curves, and Gravity
+Through special relativity, Einstein showed that every observer cuts up spacetime into parallel slices that he or she considers to be all of space at successive instants of time, with the unexpected twist that observers moving relative to one another at constant velocity will cut through spacetime at different angles. If one such observer should start accelerating, you might guess that the moment-to-moment changes in his speed and/or direction of motion would result in moment-to-moment changes in the angle and orientation of his slices. Roughly speaking, this is what happens. Einstein (using geometrical insights articulated by Carl Friedrich Gauss, Georg Bernhard Riemann, and other mathematicians in the nineteenth century) developed this idea-by fits and starts-and showed that the differently angled cuts through the spacetime loaf smoothly merge into slices that are curved but fit together as perfectly as spoons in a silver-ware tray, as schematically illustrated in Figure 3.8. An accelerated observer carves spatial slices that are warped.
+  With this insight, Einstein was able to invoke the equivalence principle to profound effect. Since gravity and acceleration are equivalent, Einstein understood that gravity itself must be nothing but warps and curves in the fabric of spacetime. Let's see what this means.
+  If you roll a marble along a smooth wooden floor, it will travel in a straight line. But if you've recently had a terrible flood and the floor dried with all sorts of bumps and warps, a rolling marble will no longer travel along the same path. Instead, it will be guided this way and that by the warps and curves on the floor's surface. Einstein applied this simple idea to the fabric of the universe. He imagined that in the absence of matter or energy-no sun, no earth, no stars-spacetime, like the smooth wooden floor, has no warps or curves. It's flat. This is schematically illustrated in Figure 3.9a, in which we focus on one slice of space. Of course, space is really three dimensional, and so Figure 3.9b is a more accurate depiction, but drawings that illustrate two dimensions are easier to understand, so we'll continue to use them. Einstein then imagined that the presence of matter or energy has an effect on space much like the effect the flood had on the floor. Matter and energy, like the sun, cause space (and spacetime5) to warp and curve as illustrated in Figures 3.10a and 3.10b. And just as a marble rolling on the warped floor travels along a curved path, Einstein showed that anything moving through warped space-such as the earth moving in the vicinity of the sun-will travel along a curved trajectory, as illustrated in Figure 3.11a and Figure 3.11b.
+  It's as if matter and energy imprint a network of chutes and valleys along which objects are guided by the invisible hand of the spacetime fabric. That, according to Einstein, is how gravity exerts its influence. The same idea also applies closer to home. Right now, your body would like to slide down an indentation in the spacetime fabric caused by the earth's presence. But your motion is being blocked by the surface on which you're sitting or standing. The upward push you feel almost every moment of your life-be it from the ground, the floor of your house, the corner easy chair, or your kingsize bed-is acting to stop you from sliding down a valley in spacetime. By contrast, should you throw yourself off the high diving board, you are giving in to gravity by allowing your body to move freely along one of its spacetime chutes.
+
+Figure 3.8 According to general relativity, not only will the spacetime loaf be sliced into space at moments of time at different angles (by observers in relative motion), but the slices themselves will be warped or curved by the presence of matter or energy.
+  Figures 3.9, 3.10, and 3.11 schematically illustrate the triumph of Einstein's ten-year struggle. Much of his work during these years aimed at determining the precise shape and size of the warping that would be caused by a given amount of matter or energy. The mathematical result Einstein found underlies these figures and is embodied in what are called the Einstein field equations. As the name indicates, Einstein viewed the warping of spacetime as the manifestation-the geometrical embodiment-of a gravitational field. By framing the problem geometrically,
+
+Figure 3.9 (a) Flat space (2-d version). (b) Flat space (3-d version).
+
+Figure 3.10 (a) The sun warping space (2-d version).  (b) The sun warping space (3-d version).
+Einstein was able to find equations that do for gravity what Maxwell's equations did for electromagnetism.16 And by using these equations, Einstein and many others made predictions for the path that would be followed by this or that planet, or even by light emitted by a distant star, as it moves through curved spacetime. Not only have these predictions been confirmed to a high level of accuracy, but in head-to-head competition with the predictions of Newton's theory, Einstein's theory consistently matches reality with finer fidelity.
+  Of equal importance, since general relativity specifies the detailed mechanism by which gravity works, it provides a mathematical framework for determining how fast it transmits its influence. The speed of transmission comes down to the question of how fast the shape of space can change in time. That is, how quickly can warps and ripples-ripples like those on the surface of a pond caused by a plunging pebble-race from place to place through space? Einstein was able to work this out, and the answer he came to was enormously gratifying. He found that warps and ripples-gravity, that is-do not travel from place to place instantaneously, as they do in Newtonian calculations of gravity. Instead, they  travel at exactly the speed of light. Not a bit faster or slower, fully in keeping with the speed limit set by special relativity. If aliens plucked the moon from its orbit, the tides would recede a second and a half later, at the exact same moment we'd see that the moon had vanished. Where Newton's theory failed, Einstein's general relativity prevailed.
+
+Figure 3.11 The earth stays in orbit around the sun because it follows curves in the spacetime fabric caused by the sun's presence. (a ) 2-d version. (b) 3-d version.
+General Relativity and the Bucket
+Beyond giving the world a mathematically elegant, conceptually powerful, and, for the first time, fully consistent theory of gravity, the general theory of relativity also thoroughly reshaped our view of space and time. In both Newton's conception and that of special relativity, space and time provided an unchanging stage for the events of the universe. Even though the slicing of the cosmos into space at successive moments has a flexibility in special relativity unfathomable in Newton's age, space and time do not respond to happenings in the universe. Spacetime-the loaf, as we've been calling it-is taken as a given, once and for all. In general relativity, all this changes. Space and time become players in the evolving cosmos. They come alive. Matter here causes space to warp there, which causes matter over there to move, which causes space way over there to warp even more, and so on. General relativity provides the choreography for an entwined cosmic dance of space, time, matter, and energy.
+  This is a stunning development. But we now come back to our central theme: What about the bucket? Does general relativity provide the physical basis for Mach's relationist ideas, as Einstein hoped it would?
+  Over the years, this question has generated much controversy. Initially, Einstein thought that general relativity fully incorporated Mach's perspective, a viewpoint he considered so important that he christened it Mach's principle. In fact, in 1913, as Einstein was furiously working to put the final pieces of general relativity in place, he wrote Mach an enthusiastic letter in which he described how general relativity would confirm Mach's analysis of Newton's bucket experiment.17 And in 1918, when Einstein wrote an article enumerating the three essential ideas behind general relativity, the third point in his list was Mach's principle. But general relativity is subtle and it had features that took many years for physicists, including Einstein himself, to appreciate completely. As these aspects were better understood, Einstein found it increasingly difficult to fully incorporate Mach's principle into general relativity. Little by little, he grew disillusioned with Mach's ideas and by the later years of his life came to renounce them.18
+  With an additional half century of research and hindsight, we can consider anew the extent to which general relativity conforms to Mach's reasoning. Although there is still some controversy, I think the most accurate statement is that in some respects general relativity has a distinctly Machian flavor, but it does not conform to the fully relationist perspective Mach advocated. Here's what I mean.
+  Mach argued19 that when the spinning water's surface becomes concave, or when you feel your arms splay outward, or when the rope tied between the two rocks pulls taut, this has nothing to do with some hypothetical-and, in his view, thoroughly misguided-notion of absolute space (or absolute spacetime, in our more modern understanding). Instead, he argued that it's evidence of accelerated motion with respect to all the matter that's spread throughout the cosmos. Were there no matter, there'd be no notion of acceleration and none of the enumerated physical effects (concave water, splaying arms, rope pulling taut) would happen.
+  What does general relativity say?
+  According to general relativity, the benchmarks for all motion, and accelerated motion in particular, are freely falling observers-observers who have fully given in to gravity and are being acted on by no other forces. Now, a key point is that the gravitational force to which a freely falling observer acquiesces arises from all the matter (and energy) spread throughout the cosmos. The earth, the moon, the distant planets, stars, gas clouds, quasars, and galaxies all contribute to the gravitational field (in geometrical language, to the curvature of spacetime) right where you're now sitting. Things that are more massive and less distant exert a greater gravitational influence, but the gravitational field you feel represents the combined influence of the matter that's out there.20 The path you'd take were you to give in to gravity fully and assume free-fall motion-the benchmark you'd become for judging whether some other object is accelerating -would be influenced by all matter in the cosmos, by the stars in the heavens and by the house next door. Thus, in general relativity, when an object is said to be accelerating, it means the object is accelerating with respect to a benchmark determined by matter spread throughout the universe. That's a conclusion which has the feel of what Mach advocated. So, in this sense, general relativity does incorporate some of Mach's thinking.
+  Nevertheless, general relativity does not confirm all of Mach's reasoning, as we can see directly by considering, once again, the spinning bucket in an otherwise empty universe. In an empty unchanging universe-no stars, no planets, no anything at all-there is no gravity.21 And without gravity, spacetime is not warped-it takes the simple, uncurved shape shown in Figure 3.9b-and that means we are back in the simpler setting of special relativity. (Remember, Einstein ignored gravity while developing special relativity. General relativity made up for this deficiency by incorporating gravity, but when the universe is empty and unchanging there is no gravity, and so general relativity reduces to special relativity.) If we now introduce the bucket into this empty universe, it has such a tiny mass that its presence hardly affects the shape of space at all. And so the discussion we had earlier for the bucket in special relativity applies equally well to general relativity. In contradiction to what Mach would have predicted, general relativity comes to the same answer as special relativity, and proclaims that even in an otherwise empty universe, you will feel pressed against the inner wall of the spinning bucket; in an otherwise empty universe, your arms will feel pulled outward if you spin around; in an otherwise empty universe, the rope tied between two twirling rocks will become taut. The conclusion we draw is that even in general relativity, empty spacetime provides a benchmark for accelerated motion.
+  Hence, although general relativity incorporates some elements of Mach's thinking, it does not subscribe to the completely relative conception of motion Mach advocated.22 Mach's principle is an example of a provocative idea that provided inspiration for a revolutionary discovery even though that discovery ultimately failed to fully embrace the idea that inspired it.
+Spacetime in the Third Millennium
+The spinning bucket has had a long run. From Newton's absolute space and absolute time, to Leibniz's and then Mach's relational conceptions, to Einstein's realization in special relativity that space and time are relative and yet in their union fill out absolute spacetime, to his subsequent discovery in general relativity that spacetime is a dynamic player in the unfolding cosmos, the bucket has always been there. Twirling in the back of the mind, it has provided a simple and quiet test for whether the invisible, the abstract, the untouchable stuff of space-and spacetime, more generally-is substantial enough to provide the ultimate reference for motion. The verdict? Although the issue is still debated, as we've now seen, the most straightforward reading of Einstein and his general relativity is that spacetime can provide such a benchmark: spacetime is a something.23
+  Notice, though, that this conclusion is also cause for celebration among supporters of a more broadly defined relationist outlook. In Newton's view and subsequently that of special relativity, space and then spacetime were invoked as entities that provide the reference for defining accelerated motion. And since, according to these perspectives, space and spacetime are absolutely unchangeable, this notion of acceleration is absolute. In general relativity, though, the character of spacetime is completely different. Space and time are dynamic in general relativity: they are mutable; they respond to the presence of mass and energy; they are not absolute. Spacetime and, in particular, the way it warps and curves, is an embodiment of the gravitational field. Thus, in general relativity, acceleration relative to spacetime is a far cry from the absolute, staunchly un-relational conception invoked by previous theories. Instead, as Einstein argued eloquently a few years before he died,24 acceleration relative to general relativity's spacetime  is relational. It is not acceleration relative to material objects like stones or stars, but it is acceleration relative to something just as real, tangible, and changeable: a field-the gravitational field.6 In this sense, spacetime-by being the incarnation of gravity-is  so real in general relativity that the benchmark it provides is one that many relationists can comfortably accept.
+  Debate on the issues discussed in this chapter will no doubt continue as we grope to understand what space, time, and spacetime actually are. With the development of quantum mechanics, the plot only thickens. The concepts of empty space and of nothingness take on a whole new meaning when quantum uncertainty takes the stage. Indeed, since 1905, when Einstein did away with the luminiferous aether, the idea that space is filled with invisible substances has waged a vigorous comeback. As we will see in later chapters, key developments in modern physics have reinstituted various forms of an aetherlike entity, none of which set an absolute standard for motion like the original luminiferous aether, but all of which thoroughly challenge the naïve conception of what it means for spacetime to be empty. Moreover, as we will now see,  the most basic role that space plays in a classical universe-as the medium that separates one object from another, as the intervening stuff that allows us to declare definitively that one object is distinct and independent from another-is thoroughly challenged by startling quantum connections.
+4
+Entangling Space
+WHAT DOES IT MEAN TO BE SEPARATE 
+IN A QUANTUM UNIVERSE? 
+To accept special and general relativity is to abandon Newtonian absolute space and absolute time. While it's not easy, you can train your mind to do this. Whenever you move around, imagine your now shifting away from the nows experienced by all others not moving with you. While you are driving along a highway, imagine your watch ticking away at a different rate compared with timepieces in the homes you are speeding past. While you are gazing out from a mountaintop, imagine that because of the warping of spacetime, time passes more quickly for you than for those subject to stronger gravity on the ground far below. I say "imagine" because in ordinary circumstances such as these, the effects of relativity are so tiny that they go completely unnoticed. Everyday experience thus fails to reveal how the universe really works, and that's why a hundred years after Einstein, almost no one, not even professional physicists, feels relativity in their bones. This isn't surprising; one is hard pressed to find the survival advantage offered by a solid grasp of relativity. Newton's flawed conceptions of absolute space and absolute time work wonderfully well at the slow speeds and moderate gravity we encounter in daily life, so our senses are under no evolutionary pressure to develop relativistic acumen. Deep awareness and true understanding therefore require that we diligently use our intellect to fill in the gaps left by our senses.
+  While relativity represented a monumental break with traditional ideas about the universe, between 1900 and 1930 another revolution was also turning physics upside down. It started at the turn of the twentieth century with a couple of papers on properties of radiation, one by Max Planck and the other by Einstein; these, after three decades of intense research, led to the formulation of quantum mechanics. As with relativity, whose effects become significant under extremes of speed or gravity, the new physics of quantum mechanics reveals itself abundantly only in another extreme situation: the realm of the extremely tiny. But there is a sharp distinction between the upheavals of relativity and those of quantum mechanics. The weirdness of relativity arises because our personal experience of space and time differs from the experience of others. It is a weirdness born of comparison. We are forced to concede that our view of reality is but one among many-an infinite number, in fact-which all fit together within the seamless whole of spacetime.
+  Quantum mechanics is different. Its weirdness is evident without comparison. It is harder to train your mind to have quantum mechanical intuition, because quantum mechanics shatters our own personal, individual conception of reality.
+The World According to the Quantum
+Every age develops its stories or metaphors for how the universe was conceived and structured. According to an ancient Indian creation myth, the universe was created when the gods dismembered the primordial giant Purusa, whose head became the sky, whose feet became the earth, and whose breath became the wind. To Aristotle, the universe was a collection of fifty-five concentric crystalline spheres, the outermost being heaven, surrounding those of the planets, earth and its elements, and finally the seven circles of hell.1 With Newton and his precise, deterministic mathematical formulation of motion, the description changed again. The universe was likened to an enormous, grand clockwork: after being wound and set into its initial state, the clockwork universe ticks from one moment to the next with complete regularity and predictability.
+  Special and general relativity pointed out important subtleties of the clockwork metaphor: there is no single, preferred, universal clock; there is no consensus on what constitutes a moment, what constitutes a  now. Even so, you can still tell a clockworklike story about the evolving universe. The clock is your clock. The story is your story. But the universe unfolds with the same regularity and predictability as in the Newtonian framework. If by some means you know the state of the universe right now-if you know where every particle is and how fast and in what direction each is moving-then, Newton and Einstein agree, you can, in principle, use the laws of physics to predict everything about the universe arbitrarily far into the future or to figure out what it was like arbitrarily far into the past.2
+  Quantum mechanics breaks with this tradition. We can't ever know the exact location and exact velocity of even a single particle. We  can't predict with total certainty the outcome of even the simplest of experiments, let alone the evolution of the entire cosmos. Quantum mechanics shows that the best we can ever do is predict the probability that an experiment will turn out this way or that. And as quantum mechanics has been verified through decades of fantastically accurate experiments, the Newtonian cosmic clock, even with its Einsteinian updating, is an untenable metaphor; it is demonstrably not how the world works.
+  But the break with the past is yet more complete. Even though Newton's and Einstein's theories differ sharply on the nature of space and time, they do agree on certain basic facts, certain truths that appear to be self-evident. If there is space between two objects-if there are two birds in the sky and one is way off to your right and the other is way off to your left-we can and do consider the two objects to be independent. We regard them as separate and distinct entities. Space, whatever it is fundamentally, provides the medium that separates and distinguishes one object from another. That is what space does. Things occupying different locations in space are different things. Moreover, in order for one object to influence another, it must in some way negotiate the space that separates them. One bird can fly to the other, traversing the space between them, and then peck or nudge its companion. One person can influence another by shooting a slingshot, causing a pebble to traverse the space between them, or by yelling, causing a domino effect of bouncing air molecules, one jostling the next until some bang into the recipient's eardrum. Being yet more sophisticated, one can exert influence on another by firing a laser, causing an electromagnetic wave-a beam of light-to traverse the intervening space; or, being more ambitious (like the extraterrestrial pranksters of last chapter) one can shake or move a massive body (like the moon) sending a gravitational disturbance speeding from one location to another. To be sure, if we are over here we can influence someone over there, but no matter how we do it, the procedure always involves someone or something traveling from here to there, and only when the someone or something gets there can the influence be exerted.
+  Physicists call this feature of the universe locality, emphasizing the point that you can directly affect only things that are next to you, that are local. Voodoo contravenes locality, since it involves doing something over here and affecting something over there without the need for anything to travel from here to there, but common experience leads us to think that verifiable, repeatable experiments would confirm locality.3 And most do.
+  But a class of experiments performed during the last couple of decades has shown that something we do over here (such as measuring certain properties of a particle) can be subtly entwined with something that happens over there (such as the outcome of measuring certain properties of another distant particle), without anything being sent from here to there. While intuitively baffling, this phenomenon fully conforms to the laws of quantum mechanics, and was predicted using quantum mechanics long before the technology existed to do the experiment and observe, remarkably, that the prediction is correct. This sounds like voodoo; Einstein, who was among the first physicists to recognize-and sharply criticize-this possible feature of quantum mechanics, called it "spooky." But as we shall see, the long-distance links these experiments confirm are extremely delicate and are, in a precise sense, fundamentally beyond our ability to control.
+  Nevertheless, these results, coming from both theoretical and experimental considerations, strongly support the conclusion that the universe admits interconnections that are not local.4 Something that happens over here can be entwined with something that happens over there even if nothing travels from here to there-and even if there isn't enough time for anything, even light, to travel between the events. This means that space cannot be thought of as it once was: intervening space, regardless of how much there is, does not ensure that two objects are separate, since quantum mechanics allows an entanglement, a kind of connection, to exist between them. A particle, like one of the countless number that make up you or me, can run but it can't hide. According to quantum theory and the many experiments that bear out its predictions, the quantum connection between two particles can persist even if they are on opposite sides of the universe. From the standpoint of their entanglement, notwithstanding the many trillions of miles of space between them, it's as if they are right on top of each other.
+  Numerous assaults on our conception of reality are emerging from modern physics; we will encounter many in the following chapters. But of those that have been experimentally verified, I find none more mind-boggling than the recent realization that our universe is not local.
+The Red and the Blue
+To get a feel for the kind of nonlocality emerging from quantum mechanics, imagine that Agent Scully, long overdue for a vacation, retreats to her family's estate in Provence. Before she's had time to unpack, the phone rings. It's Agent Mulder calling from America.
+  "Did you get the box-the one wrapped in red and blue paper?"
+  Scully, who has dumped all her mail in a pile by the door, looks over and sees the package. "Mulder, please, I didn't come all the way to Aix just to deal with another stack of files."
+  "No, no, the package is not from me. I got one too, and inside there are these little lightproof titanium boxes, numbered from 1 to 1,000, and a letter saying that you would be receiving an identical package."
+  "Yes, so?" Scully slowly responds, beginning to fear that the titanium boxes may somehow wind up cutting her vacation short.
+  "Well," Mulder continues, "the letter says that each titanium box contains an alien sphere that will flash red or blue the moment the little door on its side is opened."
+  "Mulder, am I supposed to be impressed?"
+  "Well, not yet, but listen. The letter says that before any given box is opened, the sphere has the capacity to flash either red or blue, and it randomlydecides between the two colors at the moment the door is opened. But here's the strange part. The letter says that although your boxes work exactly the same way as mine-even though the spheres inside each one of our boxes randomly choose between flashing red or blue-our boxes somehow work in tandem. The letter claims that there is a mysterious connection, so that if there is a blue flash when I open my box 1, you will also find a blue flash when you open your box 1; if I see a red flash when I open box 2, you will also see a red flash in your box 2, and so on."
+  "Mulder, I'm really exhausted; let's let the parlor tricks wait till I get back."
+  "Scully, please. I know you're on vacation, but we can't just let this go. We'll only need a few minutes to see if it's true."
+  Reluctantly, Scully realizes that resistance is futile, so she goes along and opens her little boxes. And on comparing the colors that flash inside each box, Scully and Mulder do indeed find the agreement predicted in the letter. Sometimes the sphere in a box flashes red, sometimes blue, but on opening boxes with the same number, Scully and Mulder always see the same color flash. Mulder grows increasingly excited and agitated by the alien spheres but Scully is thoroughly unimpressed.
+  "Mulder," Scully sternly says into the phone, " you really need a vacation. This is silly. Obviously, the sphere inside each of our boxes has been programmed to flash red or it has been programmed to flash blue when the door to its box is opened. And whoever sent us this nonsense programmed our boxes identically so that you and I find the same color flash in boxes with the same number."
+  "But no, Scully, the letter says each alien sphere randomly chooses between flashing blue and red when the door is opened, not that the sphere has been preprogrammed to choose one color or the other."
+  "Mulder," Scully sighs, "my explanation makes perfect sense and it fits all the data. What more do you want? And look here, at the bottom of the letter. Here's the biggest laugh of all. The 'alien' small print informs us that not only will opening the door to a box cause the sphere inside to flash, but any other tampering with the box to figure out how it works- for example, if we try to examine the sphere's color composition or chemical makeup before the door is opened-will also cause it to flash. In other words, we can't analyze the supposed random selection of red or blue because any such attempt will contaminate the very experiment we are trying to carry out. It's as if I told you I'm really a blonde, but I become a redhead whenever you or anyone or anything looks at my hair or analyzes it in any way. How could you ever prove me wrong? Your tiny green men are pretty clever-they've set things up so their ruse can't be unmasked. Now, go and play with your little boxes while I enjoy a little peace and quiet."
+  It would seem that Scully has this one soundly wrapped up on the side of science. Yet, here's the thing. Quantum mechanicians-scientists, not aliens-have for nearly eighty years been making claims about how the universe works that closely parallel those described in the letter. And the rub is that there is now strong scientific evidence that a viewpoint along the lines of Mulder's-not Scully's-is supported by the data. For instance, according to quantum mechanics, a particle can hang in a state of limbo between having one or another particular property-like an "alien" sphere hovering between flashing red and flashing blue before the door to its box is opened-and only when the particle is looked at (measured) does it randomly commit to one definite property or another. As if this weren't strange enough, quantum mechanics also predicts that there can be connections between particles, similar to those claimed to exist between the alien spheres. Two particles can be so entwined by quantum effects that their random selection of one property or another is correlated: just as each of the alien spheres chooses randomly between red and blue and yet, somehow, the colors chosen by spheres in boxes with the same number are correlated (both flashing red or both flashing blue), the properties chosen randomly by two particles, even if they are far apart in space, can similarly be aligned perfectly. Roughly speaking, even though the two particles are widely separated, quantum mechanics shows that whatever one particle does, the other will do too.
+  As a concrete example, if you are wearing a pair of sunglasses, quantum mechanics shows that there is a 50-50 chance that a particular photon-like one that is reflected toward you from the surface of a lake or from an asphalt roadway-will make it through your glare-reducing polarized lenses: when the photon hits the glass, it randomly "chooses" between reflecting back and passing through. The astounding thing is that such a photon can have a partner photon that has sped miles away in the opposite direction and yet, when confronted with the same 50-50 probability of passing through another polarized sunglass lens, will somehow do whatever the initial photon does. Even though each outcome is determined randomly and even though the photons are far apart in space, if one photon passes through, so will the other. This is the kind of nonlocality predicted by quantum mechanics.
+  Einstein, who was never a great fan of quantum mechanics, was loath to accept that the universe operated according to such bizarre rules. He championed more conventional explanations that did away with the notion that particles randomly select attributes and outcomes when measured. Instead, Einstein argued that if two widely separated particles are observed to share certain attributes, this is not evidence of some mysterious quantum connection instantaneously correlating their properties. Rather, just as Scully argued that the spheres do not randomly choose between red and blue, but instead are programmed to flash one particular color when observed, Einstein claimed that particles do not randomly choose between having one feature or another but, instead, are similarly "programmed" to have one particular, definite feature when suitably measured. The correlation between the behavior of widely separated photons is evidence, Einstein claimed, that the photons were endowed with identical properties when emitted, not that they are subject to some bizarre long-distance quantum entanglement.
+  For close to five decades, the issue of who was right-Einstein or the supporters of quantum mechanics-was left unresolved because, as we shall see, the debate became much like that between Scully and Mulder: any attempt to disprove the proposed strange quantum mechanical connections and leave intact Einstein's more conventional view ran afoul of the claim that the experiments themselves would necessarily contaminate the very features they were trying to study. All this changed in the 1960s. With a stunning insight, the Irish physicist John Bell showed that the issue could be settled experimentally, and by the 1980s it was. The most straightforward reading of the data is that Einstein was wrong and there can be strange, weird, and "spooky" quantum connections between things over here and things over there.5
+  The reasoning behind this conclusion is so subtle that it took physicists more than three decades to appreciate fully. But after covering the essential features of quantum mechanics we will see that the core of the argument reduces to nothing more complex than a Click and Clack puzzler.
+Casting a Wave
+If you shine a laser pointer on a little piece of black, overexposed 35mm film from which you have scratched away the emulsion in two extremely close and narrow lines, you will see direct evidence that light is a wave. If you've never done this, it's worth a try (you can use many things in place of the film, such as the wire mesh in a fancy coffee plunger). The image you will see when the laser light passes through the slits on the film and hits a screen consists of light and dark bands, as in Figure 4.1, and the explanation for this pattern relies on a basic feature of waves. Water waves are easiest to visualize, so let's first explain the essential point with waves on a large, placid lake, and then apply our understanding to light.
+  A water wave disturbs the flat surface of a lake by creating regions where the water level is higher than usual and regions where it is lower than usual. The highest part of a wave is called its peak and the lowest part is called its trough. A typical wave involves a periodic succession: peak followed by trough followed by peak, and so forth. If two waves head toward each other-if, for example, you and I each drop a pebble into the lake at nearby locations, producing outward-moving waves that run into each other-when they cross there results an important effect known as interference, illustrated in Figure 4.2a. When a peak of one wave and a peak of the other cross, the height of the water is even greater, being the sum of the two peak heights. Similarly, when a trough of one wave and a trough of the other cross, the depression in the water is even deeper, being the sum of the two depressions. And here is the most important combination: when a peak of one wave crosses the trough of another, they tend to cancel each other out, as the peak tries to make the water go up while the trough tries to drag it down. If the height of one wave's peak equals the depth of the other's trough, there will be perfect cancellation when they cross, so the water at that location will not move at all.
+
+Figure 4.1 Laser light passing through two slits etched on a piece of black film yields an interference pattern on a detector screen, showing that light is a wave.
+  The same principle explains the pattern that light forms when it passes through the two slits in Figure 4.1. Light is an electromagnetic wave; when it passes through the two slits, it splits into two waves that head toward the screen. Like the two water waves just discussed, the two light waves interfere with each other. When they hit various points on the screen, sometimes both waves are at their peaks, making the screen bright; sometimes both waves are at their troughs, also making it bright; but sometimes one wave is at its peak and the other is at its trough and they cancel, making that point on the screen dark. We illustrate this in Figure 4.2b.
+  When the wave motion is analyzed in mathematical detail, including the cases of partial cancellations between waves at various stages between peaks and troughs, one can show that the bright and dark spots fill out the bands seen in Figure 4.1. The bright and dark bands are therefore a telltale sign that light is a wave, an issue that had been hotly debated ever since Newton claimed that light is not a wave but instead is made up of a stream of particles (more on this in a moment). Moreover, this analysis applies equally well to any kind of wave (light wave, water wave, sound wave, you name it) and thus, interference patterns provide the metaphorical smoking gun: you know you are dealing with a wave if, when it is forced to pass through two slits of the right size (determined by the distance between the wave's peaks and troughs), the resulting intensity pattern looks like that in Figure 4.1 (with bright regions representing high intensity and dark regions being low intensity).
+
+Figure 4.2 (a) Overlapping water waves produce an interference pattern. (b) Overlapping light waves produce an interference pattern.
+  In 1927, Clinton Davisson and Lester Germer fired a beam of electrons-particulate entities without any apparent connection to waves-at a piece of nickel crystal; the details need not concern us, but what does matter is that this experiment is equivalent to firing a beam of electrons at a barrier with two slits. When the experimenters allowed the electrons that passed through the slits to travel onward to a phosphor screen where their impact location was recorded by a tiny flash (the same kind of flashes responsible for the picture on your television screen), the results were astonishing. Thinking of the electrons as little pellets or bullets, you'd naturally expect their impact positions to line up with the two slits, as in Figure 4.3a. But that's not what Davisson and Germer found. Their experiment produced data schematically illustrated in Figure 4.3b: the electron impact positions filled out an interference pattern characteristic of waves. Davisson and Germer had found the smoking gun. They had shown that the beam of particulate electrons must, unexpectedly, be some kind of wave.
+
+Figure 4.3 (a) Classical physics predicts that electrons fired at a barrier with two slits will produce two bright stripes on a detector.  (b) Quantum physics predicts, and experiments confirm, that electrons will produce an interference pattern, showing that they embody wavelike features.
+  Now, you might not think this is particularly surprising. Water is made of H2O molecules, and a water wave arises when many molecules move in a coordinated pattern. One group of H2O molecules goes up in one location, while another group goes down in a nearby location. Perhaps the data illustrated in Figure 4.3 show that electrons, like H2O molecules, sometimes move in concert, creating a wavelike pattern in their overall, macroscopic motion. While at first blush this might seem to be a reasonable suggestion, the actual story is far more unexpected.
+  We initially imagined that a flood of electrons was fired continuously from the electron gun in Figure 4.3. But we can tune the gun so that it fires fewer and fewer electrons every second; in fact, we can tune it all the way down so that it fires, say, only one electron every ten seconds. With enough patience, we can run this experiment over a long period of time and record the impact position of each individual electron that passes through the slits. Figures 4.4a-4.4c show the resulting cumulative data after an hour, half a day, and a full day. In the 1920s, images like these rocked the foundations of physics. We see that even individual, particulate electrons, moving to the screen independently, separately, one by one, build up the interference pattern characteristic of waves.
+  This is as if an individual H2O molecule could still embody something akin to a water wave. But how in the world could that be? Wave motion seems to be a collective property that has no meaning when applied to separate, particulate ingredients. If every few minutes individual spectators in the bleachers get up and sit down separately, independently, they are  not doing the wave. More than that, wave interference seems to require a wave from here to cross a wave from there. So how can interference be at all relevant to single, individual, particulate ingredients? But somehow, as attested by the interference data in Figure 4.4, even though individual electrons are tiny particles of matter, each and every one also embodies a wavelike character.
+
+Figure 4.4 Electrons fired one by one toward slits build up an interference pattern dot by dot. In (a)-(c) we illustrate the pattern forming over time.
+Probability and the Laws of Physics
+If an individual electron is also a wave, what is it that is waving? Erwin Schrödinger weighed in with the first guess: maybe the stuff of which electrons are made can be smeared out in space and it's this smeared electron essence that does the waving. An electron particle, from this point of view, would be a sharp spike in an electron mist. It was quickly realized, though, that this suggestion couldn't be correct because even a sharply spiked wave shape-such as a giant tidal wave-ultimately spreads out. And if the spiked electron wave were to spread we would expect to find part of a single electron's electric charge over here or part of its mass over there. But we never do. When we locate an electron, we always find all of its mass and all of its charge concentrated in one tiny, pointlike region. In 1927, Max Born put forward a different suggestion, one that turned out to be the decisive step that forced physics to enter a radically new realm. The wave, he claimed, is not a smeared-out electron, nor is it anything ever previously encountered in science. The wave, Born proposed, is a probability wave.
+  To understand what this means, picture a snapshot of a water wave that shows regions of high intensity (near the peaks and troughs) and regions of low intensity (near the flatter transition regions between peaks and troughs). The higher the intensity, the greater the potential the water wave has for exerting force on nearby ships or on coastline structures. The probability waves envisioned by Born also have regions of high and low intensity, but the meaning he ascribed to these wave shapes was unexpected: the size of a wave at a given point in space is proportional to the probability that the electron is located at that point in space. Places where the probability wave is large are locations where the electron is most likely to be found. Places where the probability wave is small are locations where the electron is unlikely to be found. And places where the probability wave is zero are locations where the electron will not be found.
+  Figure 4.5 gives a "snapshot" of a probability wave with the labels emphasizing Born's probabilistic interpretation. Unlike a photograph of water waves, though, this image could not actually have been made with a camera. No one has ever directly seen a probability wave, and conventional quantum mechanical reasoning says that no one ever will. Instead, we use mathematical equations (developed by Schrödinger, Niels Bohr, Werner Heisenberg, Paul Dirac, and others) to figure out what the probability wave should look like in a given situation. We then test such theoretical calculations by comparing them with experimental results in the following way. After calculating the purported probability wave for the electron in a given experimental setup, we carry out identical versions of the experiment over and over again from scratch, each time recording the measured position of the electron.  In contrast to what Newton would have expected, identical experiments and starting conditions do not necessarily lead to identical measurements. Instead, our measurements yield a variety of measured locations. Sometimes we find the electron here, sometimes there, and every so often we find it  way over there. If quantum mechanics is right, the number of times we find the electron at a given point should be proportional to the size (actually, the square of the size), at that point, of the probability wave that we calculated. Eight decades of experiments have shown that the predictions of quantum mechanics are confirmed to spectacular precision.
+
+Figure 4.5 The probability wave of a particle, such as an electron, tells us the likelihood of finding the particle at one location or another.
+  Only a portion of an electron's probability wave is shown in Figure 4.5: according to quantum mechanics, every probability wave extends throughout all of space, throughout the entire universe.6 In many circumstances, though, a particle's probability wave quickly drops very close to zero outside some small region, indicating the overwhelming likelihood that the particle is in that region. In such cases, the part of the probability wave left out of Figure 4.5 (the part extending throughout the rest of the universe) looks very much like the part near the edges of the figure: quite flat and near the value zero. Nevertheless, so long as the probability wave somewhere in the Andromeda galaxy has a nonzero value, no matter how small, there is a tiny but genuine-nonzero-chance that the electron could be found there.
+  Thus, the success of quantum mechanics forces us to accept that the electron, a constituent of matter that we normally envision as occupying a tiny, pointlike region of space, also has a description involving a wave that, to the contrary, is spread through the entire universe. Moreover, according to quantum mechanics this particle-wave fusion holds for all of nature's constituents, not just electrons: protons are both particlelike and wavelike; neutrons are both particlelike and wavelike, and experiments in the early 1900s even established that light-which demonstrably behaves like a wave, as in Figure 4.1-can also be described in terms of particulate ingredients, the little "bundles of light" called photons mentioned earlier.7 The familiar electromagnetic waves emitted by a hundred-watt bulb, for example, can equally well be described in terms of the bulb's emitting about a hundred billion billion photons each second. In the quantum world, we've learned that everything has both particlelike and wavelike attributes.
+  Over the last eight decades, the ubiquity and utility of quantum mechanical probability waves to predict and explain experimental results has been established beyond any doubt. Yet there is still no universally agreed-upon way to envision what quantum mechanical probability waves actually are. Whether we should say that an electron's probability wave is the electron, or that it's associated with the electron, or that it's a mathematical device for describing the electron's motion, or that it's the embodiment of what we can know about the electron is still debated. What is clear, though, is that through these waves, quantum mechanics injects probability into the laws of physics in a manner that no one had anticipated. Meteorologists use probability to predict the likelihood of rain. Casinos use probability to predict the likelihood you'll throw snake eyes. But probability plays a role in these examples because we haven't all of the information necessary to make definitive predictions. According to Newton, if we knew in complete detail the state of the environment (the positions and velocities of every one of its particulate ingredients), we would be able to predict (given sufficient calculational prowess) with certainty whether it will rain at 4:07 p.m. tomorrow; if we knew all the physical details of relevance to a craps game (the precise shape and composition of the dice, their speed and orientation as they left your hand, the composition of the table and its surface, and so on), we would be able to predict with certainty how the dice will land. Since, in practice, we can't gather all this information (and, even if we could, we do not yet have sufficiently powerful computers to perform the calculations required to make such predictions), we set our sights lower and predict only the probability of a given outcome in the weather or at the casino, making reasonable guesses about the data we don't have.
+  The probability introduced by quantum mechanics is of a different, more fundamental character. Regardless of improvements in data collection or in computer power, the best we can ever do, according to quantum mechanics, is predict the probability of this or that outcome. The best we can ever do is predict the probability that an electron, or a proton, or a neutron, or any other of nature's constituents, will be found here or there. Probability reigns supreme in the microcosmos.
+  As an example, the explanation quantum mechanics gives for individual electrons, one by one, over time, building up the pattern of light and dark bands in Figure 4.4, is now clear. Each individual electron is described by its probability wave. When an electron is fired, its probability wave flows through both slits. And just as with light waves and water waves, the probability waves emanating from the two slits interfere with each other. At some points on the detector screen the two probability waves reinforce and the resulting intensity is large. At other points the waves partially cancel and the intensity is small. At still other points the peaks and troughs of the probability waves completely cancel and the resulting wave intensity is exactly zero. That is, there are points on the screen where it is very likely an electron will land, points where it is far less likely that it will land, and places where there is no chance at all that an electron will land. Over time, the electrons' landing positions are distributed according to this probability profile, and hence we get some bright, some dimmer, and some completely dark regions on the screen. Detailed analysis shows that these light and dark regions will look exactly as they do in Figure 4.4.
+Einstein and Quantum Mechanics
+Because of its inherently probabilistic nature, quantum mechanics differs sharply from any previous fundamental description of the universe, qualitative or quantitative. Since its inception last century, physicists have struggled to mesh this strange and unexpected framework with the common worldview; the struggle is still very much under way. The problem lies in reconciling the macroscopic experience of day-to-day life with the microscopic reality revealed by quantum mechanics. We are used to living in a world that, while admittedly subject to the vagaries of economic or political happenstance, appears stable and reliable at least as far as its physical properties are concerned. You do not worry that the atomic constituents of the air you are now breathing will suddenly disband, leaving you gasping for breath as they manifest their quantum wavelike character by rematerializing, willy-nilly, on the dark side of the moon. And you are right not to fret about this outcome, because according to quantum mechanics the probability of its happening, while not zero, is absurdly small. But what makes the probability so small?
+  There are two main reasons. First, on a scale set by atoms, the moon is enormously far away. And, as mentioned, in many circumstances (although by no means all), the quantum equations show that a probability wave typically has an appreciable value in some small region of space and quickly drops nearly to zero as you move away from this region (as in Figure 4.5). So the likelihood that even a single electron that you expect to be in the same room as you-such as one of those that you just exhaled-will be found in a moment or two on the dark side of the moon, while not zero, is extremely small. So small, that it makes the probability that you will marry Nicole Kidman or Antonio Banderas seem enormous by comparison. Second, there are a lot of electrons, as well as protons and neutrons, making up the air in your room. The likelihood that all of these particles will do what is extremely unlikely even for one is so small that it's hardly worth a moment's thought. It would be like not only marrying your movie-star heartthrob but then also winning every state lottery every week for, well, a length of time that would make the current age of the universe seem a mere cosmic flicker.
+  This gives some sense of why we do not directly encounter the probabilistic aspects of quantum mechanics in day-to-day life. Nevertheless, because experiments confirm that quantum mechanics does describe fundamental physics, it presents a frontal assault on our basic beliefs as to what constitutes reality. Einstein, in particular, was deeply troubled by the probabilistic character of quantum theory. Physics, he would emphasize again and again, is in the business of determining with certainty what has happened, what is happening, and what will happen in the world around us. Physicists are not bookies, and physics is not the business of calculating odds. But Einstein could not deny that quantum mechanics was enormously successful in explaining and predicting, albeit in a statistical framework, experimental observations of the microworld. And so rather than attempting to show that quantum mechanics was wrong, a task that still looks like a fool's errand in light of its unparalleled successes, Einstein expended much effort on trying to show that quantum mechanics was not the final word on how the universe works. Even though he could not say what it was, Einstein wanted to convince everyone that there was a deeper and less bizarre description of the universe yet to be found.
+  Over the course of many years, Einstein mounted a series of ever more sophisticated challenges aimed at revealing gaps in the structure of quantum mechanics. One such challenge, raised in 1927 at the Fifth Physical Conference of the Solvay Institute,8 concerns the fact that even though an electron's probability wave might look like that in Figure 4.5, whenever we measure the electron's whereabouts we always find it at one definite position or another. So, Einstein asked, doesn't that mean that the probability wave is merely a temporary stand-in for a more precise description-one yet to be discovered-that would predict the electron's position with certainty? After all, if the electron is found at X, doesn't that mean, in reality, it was at or very near X a moment before the measurement was carried out? And if so, Einstein prodded, doesn't quantum mechanics' reliance on the probability wave-a wave that, in this example, says the electron had some probability to have been far from X- reflect the theory's inadequacy to describe the true underlying reality?
+  Einstein's viewpoint is simple and compelling. What could be more natural than to expect a particle to be located at, or, at the very least, near where it's found a moment later? If that's the case, a deeper understanding of physics should provide that information and dispense with the coarser framework of probabilities. But the Danish physicist Niels Bohr and his entourage of quantum mechanics defenders disagreed. Such reasoning, they argued, is rooted in conventional thinking, according to which each electron follows a single, definite path as it wanders to and fro. And this thinking is strongly challenged by Figure 4.4, since if each electron did follow one definite path-like the classical image of a bullet fired from a gun-it would be extremely hard to explain the observed interference pattern: what would be interfering with what? Ordinary bullets fired one by one from a single gun certainly can't interfere with each other, so if electrons did travel like bullets, how would we explain the pattern in Figure 4.4?
+  Instead, according to Bohr and the Copenhagen interpretation of quantum mechanics he forcefully championed, before one measures the electron's position there is no sense in even asking where it is. It does not have a definite position. The probability wave encodes the likelihood that the electron, when examined suitably, will be found here or there, and that truly is all that can be said about its position. Period. The electron has a definite position in the usual intuitive sense only at the moment we "look" at it-at the moment when we measure its position-identifying its location with certainty. But before (and after) we do that, all it has are potential positions described by a probability wave that, like any wave, is subject to interference effects. It's not that the electron has a position and that we don't know the position before we do our measurement. Rather, contrary to what you'd expect, the electron simply  does not have a definite position before the measurement is taken.
+  This is a radically strange reality. In this view, when we measure the electron's position we are not measuring an objective, preexisting feature of reality. Rather, the act of measurement is deeply enmeshed in creating the very reality it is measuring. Scaling this up from electrons to everyday life, Einstein quipped, "Do you really believe that the moon is not there unless we are looking at it?" The adherents of quantum mechanics responded with a version of the old saw about a tree falling in a forest: if no one is looking at the moon-if no one is "measuring its location by seeing it"-then there is no way for us to know whether it's there, so there is no point in asking the question. Einstein found this deeply unsatisfying. It was wildly at odds with his conception of reality; he firmly believed that the moon is there, whether or not anyone is looking. But the quantum stalwarts were unconvinced.
+  Einstein's second challenge, raised at the Solvay conference in 1930, followed closely on the first. He described a hypothetical device, which (through a clever combination of a scale, a clock, and a cameralike shutter) seemed to establish that a particle like an electron must have definite features-before it is measured or examined-that quantum mechanics said it couldn't. The details are not essential but the resolution is particularly ironic. When Bohr learned of Einstein's challenge, he was knocked back on his heels-at first, he couldn't see a flaw in Einstein's argument. Yet, within days, he bounced back and fully refuted Einstein's claim. And the surprising thing is that the key to Bohr's response was general relativity! Bohr realized that Einstein had failed to take account of his own discovery that gravity warps time-that a clock ticks at a rate dependent on the gravitational field it experiences. When this complication was included, Einstein was forced to admit that his conclusions fell right in line with orthodox quantum theory.
+  Even though his objections were shot down, Einstein remained deeply uncomfortable with quantum mechanics. In the following years he kept Bohr and his colleagues on their toes, leveling one new challenge after another. His most potent and far-reaching attack focused on something known as the  uncertainty principle, a direct consequence of quantum mechanics, enunciated in 1927 by Werner Heisenberg.
+Heisenberg and Uncertainty
+The uncertainty principle provides a sharp, quantitative measure of how tightly probability is woven into the fabric of a quantum universe. To understand it, think of the prix-fixe menus in certain Chinese restaurants. Dishes are arranged in two columns, A and B, and if, for example, you order the first dish in column A, you are not allowed to order the first dish in column B; if you order the second dish in column A, you are not allowed to order the second dish in column B, and so forth. In this way, the restaurant has set up a dietary dualism, a culinary complementarity (one, in particular, that is designed to prevent you from piling up the most expensive dishes). On the prix-fixe menu you can have Peking Duck or Lobster Cantonese, but not both.
+  Heisenberg's uncertainty principle is similar. It says, roughly speaking, that the physical features of the microscopic realm (particle positions, velocities, energies, angular momenta, and so on) can be divided into two lists, A and B. And as Heisenberg discovered, knowledge of the first feature from list A fundamentally compromises your ability to have knowledge about the first feature from list B; knowledge of the second feature from list A fundamentally compromises your ability to have knowledge of the second feature from list B; and so on. Moreover, like being allowed a dish containing some Peking Duck and some Lobster Cantonese, but only in proportions that add up to the same total price, the more precise your knowledge of a feature from one list, the less precise your knowledge can possibly be about the corresponding feature from the second list. The fundamental inability to determine simultaneously all features from both lists-to determine with certainty all of these features of the microscopic realm-is the uncertainty revealed by Heisenberg's principle.
+  As an example, the more precisely you know where a particle is, the less precisely you can possibly know its speed. Similarly, the more precisely you know how fast a particle is moving, the less you can possibly know about where it is. Quantum theory thereby sets up its own duality: you can determine with precision certain physical features of the microscopic realm, but in so doing you eliminate the possibility of precisely determining certain other, complementary features.
+  To understand why, let's follow a rough description developed by Heisenberg himself, which, while incomplete in particular ways that we will discuss, does give a useful intuitive picture. When we measure the position of any object, we generally interact with it in some manner. If we search for the light switch in a dark room, we know we have located it when we touch it. If a bat is searching for a field mouse, it bounces sonar off its target and interprets the reflected wave. The most common instance of all is locating something by seeing it-by receiving light that has reflected off the object and entered our eyes. The key point is that these interactions not only affect us but also affect the object whose position is being determined. Even light, when bouncing off an object, gives it a tiny push. Now, for day-to-day objects such as the book in your hand or a clock on the wall, the wispy little push of bouncing light has no noticeable effect. But when it strikes a tiny particle like an electron it can have a big effect: as the light bounces off the electron, it changes the electron's speed, much as your own speed is affected by a strong, gusty wind that whips around a street corner. In fact, the more precisely you want to identify the electron's position, the more sharply defined and energetic the light beam must be, yielding an even larger effect on the electron's motion.
+  This means that if you measure an electron's position with high accuracy, you necessarily contaminate your own experiment: the act of precision position measurement disrupts the electron's velocity. You can therefore know precisely where the electron is, but you cannot also know precisely how fast, at that moment, it was moving. Conversely, you can measure precisely how fast an electron is moving, but in so doing you will contaminate your ability to determine with precision its position. Nature has a built-in limit on the precision with which such complementary features can be determined. And although we are focusing on electrons, the uncertainty principle is completely general: it applies to everything.
+  In day-to-day life we routinely speak about things like a car passing a particular stop sign (position) while traveling at 90 miles per hour (velocity), blithely specifying these two physical features. In reality, quantum mechanics says that such a statement has no precise meaning since you can't ever simultaneously measure a definite position and a definite speed. The reason we get away with such incorrect descriptions of the physical world is that on everyday scales the amount of uncertainty involved is tiny and generally goes unnoticed. You see, Heisenberg's principle does not just declare uncertainty, it also specifies-with complete certainty-the minimum amount of uncertainty in any situation. If we apply his formula to your car's velocity just as it passes a stop sign whose position is known to within a centimeter, then the uncertainty in speed turns out to be just shy of a billionth of a billionth of a billionth of a billionth of a mile per hour. A state trooper would be fully complying with the laws of quantum physics if he asserted that your speed was between 89.99999999999999999999999999999999999 and 90.00000000000000000000000000000000001 miles per hour as you blew past the stop sign; so much for a possible uncertainty-principle defense. But if we were to replace your massive car with a delicate electron whose position we knew to within a billionth of a meter, then the uncertainty in its speed would be a whopping 100,000 miles per hour. Uncertainty is always present, but it becomes significant only on microscopic scales.
+  The explanation of uncertainty as arising through the unavoidable disturbance caused by the measurement process has provided physicists with a useful intuitive guide as well as a powerful explanatory framework in certain specific situations. However, it can also be misleading. It may give the impression that uncertainty arises only when we lumbering experimenters meddle with things. This is not true. Uncertainty is built into the wave structure of quantum mechanics and exists whether or not we carry out some clumsy measurement. As an example, take a look at a particularly simple probability wave for a particle, the analog of a gently rolling ocean wave, shown in Figure 4.6. Since the peaks are all uniformly moving to the right, you might guess that this wave describes a particle moving with the velocity of the wave peaks; experiments confirm that supposition. But where is the particle? Since the wave is uniformly spread throughout space, there is no way for us to say the electron is here or there. When measured, it literally could be found anywhere. So, while we know precisely how fast the particle is moving, there is huge uncertainty about its position. And as you see, this conclusion does not depend on our disturbing the particle. We never touched it. Instead, it relies on a basic feature of waves: they can be spread out.
+  Although the details get more involved, similar reasoning applies to all other wave shapes, so the general lesson is clear. In quantum mechanics, uncertainty just is.
+
+Figure 4.6 A probability wave with a uniform succession of peaks and troughs represents a particle with a definite velocity. But since the peaks and troughs are uniformly spread in space, the particle's position is completely undetermined. It has an equal likelihood of being anywhere.
+Einstein, Uncertainty, and a Question of Reality
+An important question, and one that may have occurred to you, is whether the uncertainty principle is a statement about what we can know about reality or whether it is a statement about reality itself. Do objects making up the universe really have a position and a velocity, like our usual classical image of just about everything-a soaring baseball, a jogger on the boardwalk, a sunflower slowly tracking the sun's flight across the sky-although quantum uncertainty tells us these features of reality are forever beyond our ability to know simultaneously, even in principle? Or does quantum uncertainty break the classical mold completely, telling us that the list of attributes our classical intuition ascribes to reality, a list headed by the positions and velocities of the ingredients making up the world, is misguided? Does quantum uncertainty tell us that, at any given moment, particles simply do not possess a definite position and a definite velocity?
+  To Bohr, this issue was on par with a Zen koan. Physics addresses only things we can measure. From the standpoint of physics, that is reality. Trying to use physics to analyze a "deeper" reality, one beyond what we can know through measurement, is like asking physics to analyze the sound of one hand clapping. But in 1935, Einstein together with two colleagues, Boris Podolsky and Nathan Rosen, raised this issue in such a forceful and clever way that what had begun as one hand clapping reverberated over fifty years into a thunderclap that heralded a far greater assault on our understanding of reality than even Einstein ever envisioned.
+  The intent of the Einstein-Podolsky-Rosen paper was to show that quantum mechanics, while undeniably successful at making predictions and explaining data, could not be the final word regarding the physics of the microcosmos. Their strategy was simple, and was based on the issues just raised: they wanted to show that every particle does possess a definite position and a definite velocity at any given instant of time, and thus they wanted to conclude that the uncertainty principle reveals a fundamental limitation of the quantum mechanical approach. If every particle has a position and a velocity, but quantum mechanics cannot deal with these features of reality, then quantum mechanics provides only a partial description of the universe. Quantum mechanics, they intended to show, was therefore an incomplete theory of physical reality and, perhaps, merely a stepping-stone toward a deeper framework waiting to be discovered. In actuality, as we will see, they laid the groundwork for demonstrating something even more dramatic: the nonlocality of the quantum world.
+  Einstein, Podolsky, and Rosen (EPR) were partly inspired by Heisenberg's rough explanation of the uncertainty principle: when you measure where something is you necessarily disturb it, thereby contaminating any attempt to simultaneously ascertain its velocity. Although, as we have seen, quantum uncertainty is more general than the "disturbance" explanation indicates, Einstein, Podolsky, and Rosen invented what appeared to be a convincing and clever end run around any source of uncertainty. What if, they suggested, you could perform an indirect measurement of both the position and the velocity of a particle in a manner that never brings you into contact with the particle itself? For instance, using a classical analogy, imagine that Rod and Todd Flanders decide to do some lone wandering in Springfield's newly formed Nuclear Desert. They start back to back in the desert's center and agree to walk straight ahead, in opposite directions, at exactly the same prearranged speed. Imagine further that, nine hours later, their father, Ned, returning from his trek up Mount Springfield, catches sight of Rod, runs to him, and desperately asks about Todd's whereabouts. Well, by that point, Todd is far away, but by questioning and observing Rod, Ned can nevertheless learn much about Todd. If Rod is exactly 45 miles due east of the starting location, Todd must be exactly 45 miles due west of the starting location. If Rod is walking at exactly 5 miles per hour due east, Todd must be walking at exactly 5 miles per hour due west. So even though Todd is some 90 miles away, Ned can determine his position and speed, albeit indirectly.
+  Einstein and his colleagues applied a similar strategy to the quantum domain. There are well-known physical processes whereby two particles emerge from a common location with properties that are related in somewhat the same way as the motion of Rod and Todd. For example, if an initial single particle should disintegrate into two particles of equal mass that fly off "back-to-back" (like an explosive shooting off two chunks in opposite directions), something that is common in the realm of subatomic particle physics, the velocities of the two constituents will be equal and opposite. Moreover, the positions of the two constituent particles will also be closely related, and for simplicity the particles can be thought of as always being equidistant from their common origin.
+  An important distinction between the classical example involving Rod and Todd, and the quantum description of the two particles, is that although we can say with certainty that there is a definite relationship between the speeds of the two particles-if one were measured and found to be moving to the left at a given speed, then the other would necessarily be moving to the right at the same speed-we cannot predict the actual numerical value of the speed with which the particles move. Instead, the best we can do is use the laws of quantum physics to predict the probability that any particular speed is the one attained. Similarly, while we can say with certainty that there is a definite relationship between the positions of the particles-if one is measured at a given moment and found to be at some location, the other necessarily is located the same distance from the starting point but in the opposite direction-we cannot predict with certainty the actual location of either particle. Instead, the best we can do is predict the probability that one of the particles is at any chosen location. Thus, while quantum mechanics does not give definitive answers regarding particle speeds or positions, it does, in certain situations, give definitive statements regarding the relationships between the particle speeds and positions.
+  Einstein, Podolsky, and Rosen sought to exploit these relationships to show that each of the particles actually has a definite position and a definite velocity at every given instant of time. Here's how: imagine you measure the position of the right-moving particle and in this way learn, indirectly, the position of the left-moving particle. EPR argued that since you have done nothing, absolutely nothing, to the left-moving particle, it must have had this position, and all you have done is determine it, albeit indirectly. They then cleverly pointed out that you could have chosen instead to measure the right-moving particle's velocity. In that case you would have, indirectly, determined the velocity of the left-moving particle without at all disturbing it. Again, EPR argued that since you would have done nothing, absolutely nothing, to the left-moving particle, it must have had this velocity, and all you would have done is determine it. Putting both together-the measurement that you did and the measurement that you could have done-EPR concluded that the left-moving particle has a definite position and a definite velocity at any given moment.
+  As this is subtle and crucial, let me say it again. EPR reasoned that nothing in your act of measuring the right-moving particle could possibly have any effect on the left-moving particle, because they are separate and distant entities. The left-moving particle is totally oblivious to what you have done or could have done to the right-moving particle. The particles might be meters, kilometers, or light-years apart when you do your measurement on the right-moving particle, so, in short, the left-moving particle couldn't care less what you do. Thus, any feature that you actually learn or could in principle learn about the left-moving particle from studying its right-moving counterpart must be a definite, existing feature of the left-moving particle, totally independent of your measurement. And since if you had measured the position of the right particle you would have learned the position of the left particle, and if you had measured the velocity of the right particle you would have learned the velocity of the left particle, it must be that the left-moving particle actually has both a definite position and velocity. Of course, this whole discussion could be carried out interchanging the roles of left-moving and right-moving particles (and, in fact, before doing any measurement we can't even say which particle is moving left and which is moving right); this leads to the conclusion that both particles have definite positions and speeds.
+  Thus, EPR concluded that quantum mechanics is an incomplete description of reality. Particles have definite positions and speeds, but the quantum mechanical uncertainty principle shows that these features of reality are beyond the bounds of what the theory can handle. If, in agreement with these and most other physicists, you believe that a full theory of nature should describe every attribute of reality, the failure of quantum mechanics to describe both the positions and the velocities of particles means that it misses some attributes and is therefore not a complete theory; it is not the final word. That is what Einstein, Podolsky, and Rosen vigorously argued.
+The Quantum Response
+While EPR concluded that each particle has a definite position and velocity at any given moment, notice that if you follow their procedure you will fall short of actually determining these attributes. I said, above, that you could have chosen to measure the right-moving particle's velocity. Had you done so, you would have disturbed its position; on the other hand, had you chosen to measure its position you would have disturbed its velocity. If you don't have both of these attributes of the right-moving particle in hand, you don't have them for the left-moving particle either. Thus, there is no conflict with the uncertainty principle: Einstein and his collaborators fully recognized that they could not identify both the location and the velocity of any given particle. But, and this is key, even without determining both the position and velocity of either particle, EPR's reasoning shows that each has a definite position and velocity. To them, it was a question of reality. To them, a theory could not claim to be complete if there were elements of reality that it could not describe.
+  After a bit of intellectual scurrying in response to this unexpected observation, the defenders of quantum mechanics settled down to their usual, pragmatic approach, summarized well by the eminent physicist Wolfgang Pauli: "One should no more rack one's brain about the problem of whether something one cannot know anything about exists all the same, than about the ancient question of how many angels are able to sit on the point of a needle."9 Physics in general, and quantum mechanics in particular, can deal only with the measurable properties of the universe. Anything else is simply not in the domain of physics. If you can't measure both the position and the velocity of a particle, then there is no sense in talking about whether it has both a position and a velocity.
+  EPR disagreed. Reality, they maintained, was more than the readings on detectors; it was more than the sum total of all observations at a given moment. When no one, absolutely no one, no device, no equipment, no anything at all is "looking" at the moon, they believed, the moon was still there. They believed that it was still part of reality.
+  In a way, this standoff echoes the debate between Newton and Leibniz about the reality of space. Can something be considered real if we can't actually touch it or see it or in some way measure it? In Chapter 2, I described how Newton's bucket changed the character of the space debate, suddenly suggesting that an influence of space could be observed directly, in the curved surface of spinning water. In 1964, in a single stunning stroke that one commentator has called "the most profound discovery of science,"10 the Irish physicist John Bell did the same for the quantum reality debate.
+  In the following four sections, we will describe Bell's discovery, judiciously steering clear of all but a minimum of technicalities. All the same, even though the discussion uses reasoning less sophisticated than working out the odds in a craps game, it does involve a couple of steps that we must describe and then link together. Depending on your particular taste for detail, there may come a point when you just want the punch line. If this happens, feel free to jump to this page, where you'll find a summary and a discussion of conclusions stemming from Bell's discovery.
+Bell and Spin
+John Bell transformed the central idea of the Einstein-Podolsky-Rosen paper from philosophical speculation into a question that could be answered by concrete experimental measurement. Surprisingly, all he needed to accomplish this was to consider a situation in which there were not just two features-for instance, position and velocity-that quantum uncertainty prevents us from simultaneously determining. He showed that if there are three or more features that simultaneously come under the umbrella of uncertainty-three or more features with the property that in measuring one, you contaminate the others and hence can't determine anything about them-then there  is an experiment to address the reality question. The simplest such example involves something known as spin.
+  Since the 1920s, physicists have known that particles spin-they execute rotational motion akin to a soccer ball's spinning around as it heads toward the goal. Quantum particle spin, however, differs from this classical image in a number of essential ways, and foremost for us are the following two points. First, particles-for example, electrons and photons- can spin only clockwise or counterclockwise at one never-changing rate about any particular axis; a particle's spin axis can change directions but its rate of spin cannot slow down or speed up. Second, quantum uncertainty applied to spin shows that just as you can't simultaneously determine the position and the velocity of a particle, so also you can't simultaneously determine the spin of a particle about more than one axis. For example, if a soccer ball is spinning about a northeast-pointing axis, its spin is shared between a northward- and an eastward-pointing axis-and by a suitable measurement, you could determine the fraction of spin about each. But if you measure an electron's spin about any randomly chosen axis, you never find a fractional amount of spin. Ever. It's as if the measurement itself forces the electron to gather together all its spinning motion and direct it to be either clockwise or counterclockwise about the axis you happened to have focused on. Moreover, because of your measurement's influence on the electron's spin, you lose the ability to determine how it was spinning about a horizontal axis, about a back-and-forth axis, or about any other axis, prior to your measurement. These features of quantum mechanical spin are hard to picture fully, and the difficulty highlights the limits of classical images in revealing the true nature of the quantum world. Nevertheless, the mathematics of quantum theory, and decades of experiment, assure us that these characteristics of quantum spin are beyond doubt.
+  The reason for introducing spin here is not to delve into the intricacies of particle physics. Rather, the example of particle spin will, in just a moment, provide a simple laboratory for extracting wonderfully unexpected answers to the reality question. That is, does a particle simultaneously  have a definite amount of spin about each and every axis, although we can never know it for more than one axis at a time because of quantum uncertainty? Or does the uncertainty principle tell us something else? Does it tell us, contrary to any classical notion of reality, that a particle simply does not and cannot possess such features simultaneously? Does it tell us that a particle resides in a state of quantum limbo, having no definite spin about any given axis, until someone or something measures it, causing it to snap to attention and attain-with a probability determined by quantum theory-one particular spin value or another (clockwise or counterclockwise) about the selected axis? By studying this question, essentially the same one we asked in the case of particle positions and velocities, we can use spin to probe the nature of quantum reality (and to extract answers that greatly transcend the specific example of spin). Let's see this.
+  As explicitly shown by the physicist David Bohm,11 the reasoning of Einstein, Podolsky, and Rosen can easily be extended to the question of whether particles have definite spins about any and all chosen axes. Here's how it goes. Set up two detectors capable of measuring the spin of an incoming electron, one on the left side of the laboratory and the other on the right side. Arrange for two electrons to emanate back-to-back from a source midway between the two detectors, such that their spins-rather than their positions and velocities as in our earlier example-are correlated. The details of how this is done are not important; what is important is that it can be done and, in fact, can be done easily. The correlation can be arranged so that if the left and right detectors are set to measure the spins along axes pointing in the same direction, they will get the same result: if the detectors are set to measure the spin of their respective incoming electrons about a vertical axis and the left detector finds that the spin is clockwise, so will the right detector; if the detectors are set to measure spin along an axis 60 degrees clockwise from the vertical and the left detector measures a counterclockwise spin, so will the right detector; and so on. Again, in quantum mechanics the best we can do is predict the probability that the detectors will find clockwise or counterclockwise spin, but we can predict with 100 percent certainty that whatever one detector finds the other will find, too.7
+  Bohm's refinement of the EPR argument is now, for all intents and purposes, the same as it was in the original version that focused on position and velocity. The correlation between the particles' spins allows us to measure indirectly the spin of the left-moving particle about some axis by measuring that of its right-moving companion about that axis. Since this measurement is done far on the right side of the laboratory, it can't possibly influence the left-moving particle in any way. Hence, the latter must all along have had the spin value just determined; all we did was measure it, albeit indirectly. Moreover, since we could have chosen to perform this measurement about  any axis, the same conclusion must hold for any axis: the left-moving electron must have a definite spin about each and every axis, even though we can explicitly determine it only about one axis at a time. Of course, the roles of left and right can be reversed, leading to the conclusion that each particle has a definite spin about any axis.12
+  At this stage, seeing no obvious difference from the position/velocity example, you might take Pauli's lead and be tempted to respond that there is no point in thinking about such issues. If you can't actually measure the spin about different axes, what is the point in wondering whether the particle nevertheless has a definite spin-clockwise versus counterclockwise-about each? Quantum mechanics, and physics more generally, is obliged only to account for features of the world that can be measured. And neither Bohm, Einstein, Podolsky, nor Rosen would have argued that the measurements can be done. Instead, they argued that the particles possess features forbidden by the uncertainty principle even though we can never explicitly know their particular values. Such features have come to be known as hidden features, or, more commonly, hidden variables.
+  Here is where John Bell changed everything. He discovered that even if you can't actually determine the spin of a particle about more than one axis, still, if in fact it has a definite spin about all axes, then there are testable, observable consequences of that spin.
+Reality Testing
+To grasp the gist of Bell's insight, let's return to Mulder and Scully and imagine that they've each received another package, also containing titanium boxes, but with an important new feature. Instead of having one door, each titanium box has three: one on top, one on the side, and one on the front.13 The accompanying letter informs them that the sphere inside each box now randomly chooses between flashing red and flashing blue when any one of the box's three doors is opened. If a different door (top versus side versus front) on a given box were opened, the color randomly selected by the sphere might be different, but once one door is opened and the sphere has flashed, there is no way to determine what would have happened had another door been chosen. (In the physics application, this feature captures quantum uncertainty: once you measure one feature you can't determine anything about the others.) Finally, the letter tells them that there is again a mysterious connection, a strange entanglement, between the two sets of titanium boxes: Even though all the spheres randomly choose what color to flash when one of their box's three doors is opened, if both Mulder and Scully happen to open the same door on a box with the same number, the letter predicts that they will see the same color flash. If Mulder opens the top door on his box 1 and sees blue, then the letter predicts that Scully will also see blue if she opens the top door on her box 1; if Mulder opens the side door on his box 2 and sees red, then the letter predicts that Scully will also see red if she opens the side door on her box 2, and so forth. Indeed, when Scully and Mulder open the first few dozen boxes-agreeing by phone which door to open on each-they verify the letter's predictions.
+  Although Mulder and Scully are being presented with a somewhat more complicated situation than previously, at first blush it seems that the same reasoning Scully used earlier applies equally well here.
+  "Mulder," says Scully, "this is as silly as yesterday's package. Once again, there is no mystery. The sphere inside each box must simply be programmed. Don't you see?"
+  "But now there are three doors," cautions Mulder, "so the sphere can't possibly 'know' which door we'll choose to open, right?"
+  "It doesn't need to," explains Scully. "That's part of the programming. Look, here's an example. Grab hold of the next unopened box, box 37, and I'll do the same. Now, imagine, for argument's sake, that the sphere in my box 37 is programmed, say, to flash red if the top door is opened, to flash blue if the side door is opened, and to flash red if the front door is opened. I'll call this program  red, blue, red. Clearly, then, if whoever is sending us this stuff has input this same program into your box 37, and if we both open the same door, we will see the same color flash. This explains the 'mysterious connection': if the boxes in our respective collections with the same number have been programmed with the same instructions, then we will see the same color if we open the same door. There is no mystery!"
+  But Mulder does not believe that the spheres are programmed. He believes the letter. He believes that the spheres are randomly choosing between red and blue when one of their box's doors is opened and hence he believes, fervently, that his and Scully's boxes do have some mysterious long-range connection.
+  Who is right? Since there is no way to examine the spheres before or during the supposed random selection of color (remember, any such tampering will cause the sphere instantly to choose randomly between red or blue, confounding any attempt to investigate how it really works), it seems impossible to prove definitively whether Scully or Mulder is right.
+  Yet, remarkably, after a little thought, Mulder realizes that there  is an experiment that will settle the question completely. Mulder's reasoning is straightforward, but it does require a touch more explicit mathematical reasoning than most things we cover. It's definitely worth trying to follow the details-there aren't that many-but don't worry if some of it slips by; we'll shortly summarize the key conclusion.
+  Mulder realizes that he and Scully have so far only considered what happens if they each open the same door on a box with a given number. And, as he excitedly tells Scully after calling her back, there is much to be learned if they do not always choose the same door and, instead, randomly and independently choose which door to open on each of their boxes.
+  "Mulder, please. Just let me enjoy my vacation. What can we possibly learn by doing that?"
+  "Well, Scully, we can determine whether your explanation is right or wrong."
+  "Okay, I've got to hear this."
+  "It's simple," Mulder continues. "If you're right, then here's what I realized: if you and I separately and randomly choose which door to open on a given box and record the color we see flash, then, after doing this for many boxes we must find that we saw the same color flash  more than 50 percent of the time. But if that isn't the case, if we find that we don't agree on the color for more than 50 percent of the boxes, then you can't be right."
+  "Really, how is that?" Scully is getting a bit more interested.
+  "Well," Mulder continues, "here's an example. Assume you're right, and each sphere operates according to a program. Just to be concrete, imagine the program for the sphere in a particular box happens to be blue, blue, red. Now since we both choose from among three doors, there are a total of nine possible door combinations that we might select to open for this box. For example, I might choose the top door on my box while you might choose the side door on your box; or I might choose the front door and you might choose the top door; and so on."
+  "Yes, of course," Scully jumps in. "If we call the top door 1, the side door 2, and the front door 3, then the nine possible door combinations are just (1,1), (1,2), (1,3), (2,1), (2,2), (2,3), (3,1), (3,2), (3,3)."
+  "Yes, that's right," Mulder continues. "Now here is the point: Of these nine possibilities notice that five door combinations-(1,1), (2,2), (3,3), (1,2), (2,1)-will result in us seeing the spheres in our boxes flash the same color. The first three door combinations are the ones in which we happen to choose the same door, and as we know, that  always results in our seeing the same color. The other two door combinations, (1,2) and (2,1), result in the same color because the program dictates that the spheres will flash the same color-blue-if either door 1 or door 2 is opened. Now, since 5 is more than half of 9, this means that for more than half-more than 50 percent-of the possible combination of doors that we might select to open, the spheres will flash the same color."
+  "But wait," Scully protests. "That's just one example of a particular program: blue, blue, red. In my explanation, I proposed that differently numbered boxes can and generally will have different programs."
+  "Actually, that doesn't matter. The conclusion holds for all of the possible programs. You see, my reasoning with the blue, blue, red program only relied on the fact that two of the colors in the program are the same, and so an identical conclusion follows for any program:  red, red, blue, or red, blue, red, and so on. Any program has to have at least two colors the same; the only programs that are really different are those in which all three colors are the same-red, red, red and blue, blue, blue. But for boxes with either of these programs, we'll get the same color to flash regardless of which doors we happen to open, and so the overall fraction on which we should agree will only increase. So, if your explanation is right and the boxes operate according to programs-even with programs that vary from one numbered box to another-we must agree on the color we see more than 50 percent of the time."
+  That's the argument. The hard part is now over. The bottom line is that there is a test to determine whether Scully is correct and each sphere operates according to a program that determines definitively which color to flash depending on which door is opened. If she and Mulder independently and randomly choose which of the three doors on each of their boxes to open, and then compare the colors they see-box by numbered box-they must find agreement for more than 50 percent of the boxes.
+  When cast in the language of physics, as it will be in the next section, Mulder's realization is nothing but John Bell's breakthrough.
+Counting Angels with Angles
+The translation of this result into physics is straightforward. Imagine we have two detectors, one on the left side of the laboratory and another on the right side, that measure the spin of an incoming particle like an electron, as in the experiment discussed in the section before last. The detectors require you to choose the axis (vertical, horizontal, back-forth, or one of the innumerable axes that lie in between) along which the spin is to be measured; for simplicity's sake, imagine that we have bargain-basement detectors that offer only three choices for the axes. In any given run of the experiment, you will find that the incoming electron is either spinning clockwise or counterclockwise about the axis you selected.
+  According to Einstein, Podolsky, and Rosen, each incoming electron provides the detector it enters with what amounts to a program: Even though it's hidden, even though you can't measure it, EPR claimed that each electron has a definite amount of spin-either clockwise or counterclockwise-about each and every axis. Hence, when an electron enters a detector, the electron definitively determines whether you will measure its spin to be clockwise or counterclockwise about whichever axis you happen to choose. For example, an electron that is spinning clockwise about each of the three axes provides the program clockwise, clockwise, clockwise; an electron that is spinning clockwise about the first two axes and counterclockwise about the third provides the program clockwise, clockwise, counterclockwise, and so forth. In order to explain the correlation between the left-moving and right-moving electrons, Einstein, Podolsky, and Rosen simply claim that such electrons have identical spins and thus provide the detectors they enter with identical programs. Thus, if the same axes are chosen for the left and right detectors, the spin detectors will find identical results.
+  Notice that these spin detectors exactly reproduce everything encountered by Scully and Mulder, though with simple substitutions: instead of choosing a door on a titanium box, we are choosing an axis; instead of seeing a red or blue flash, we record a clockwise or counterclockwise spin. So, just as opening the same doors on a pair of identically numbered titanium boxes results in the same color flashing, choosing the same axes on the two detectors results in the same spin direction being measured. Also, just as opening one particular door on a titanium box prevents us from ever knowing what color would have flashed had we chosen another door, measuring the electron spin about one particular axis prevents us, via quantum uncertainty, from ever knowing which spin direction we would have found had we chosen a different axis.
+  All of the foregoing means that Mulder's analysis of how to learn who's right applies in exactly the same way to this situation as it does to the case of the alien spheres. If EPR are correct and each electron actually has a definite spin value about all three axes-if each electron provides a "program" that definitively determines the result of any of the three possible spin measurements-then we can make the following prediction. Scrutiny of data gathered from many runs of the experiment-runs in which the axis for each detector is randomly and independently selected-will show that more than half the time, the two electron spins agree, being both clockwise or both counterclockwise. If the electron spins do not agree more than half the time, then Einstein, Podolsky, and Rosen are wrong.
+  This is Bell's discovery. It shows that even though you can't actually measure the spin of an electron about more than one axis-even though you can't explicitly "read" the program it is purported to supply to the detector it enters-this does not mean that trying to learn whether it nonetheless has a definite amount of spin about more than one axis is tantamount to counting angels on the head of a pin. Far from it. Bell found that there is a bona fide, testable consequence associated with a particle having definite spin values. By using axes at three angles, Bell provided a way to count Pauli's angels.
+No Smoke but Fire
+In case you missed any of the details, let's summarize where we've gotten. Through the Heisenberg uncertainty principle, quantum mechanics claims that there are features of the world-like the position and the velocity of a particle, or the spin of a particle about various axes-that cannot simultaneously have definite values. A particle, according to quantum theory, cannot have a definite position and a definite velocity; a particle  cannot have a definite spin (clockwise or counterclockwise) about more than one axis; a particle cannot simultaneously have definite attributes for things that lie on opposite sides of the uncertainty divide. Instead, particles hover in quantum limbo, in a fuzzy, amorphous, probabilistic mixture of all possibilities; only when measured is one definite outcome selected from the many. Clearly, this is a drastically different picture of reality than that painted by classical physics.
+  Ever the skeptic about quantum mechanics, Einstein, together with his colleagues Podolsky and Rosen, tried to use this aspect of quantum mechanics as a weapon against the theory itself. EPR argued that even though quantum mechanics does not allow such features to be simultaneously determined, particles nevertheless do have definite values for position and velocity; particles do have definite spin values about all axes; particles do have definite values for all things forbidden by quantum uncertainty. EPR thus argued that quantum mechanics cannot handle all elements of physical reality-it cannot handle the position and velocity of a particle; it cannot handle the spin of a particle about more than one axis-and hence is an incomplete theory.
+  For a long time, the issue of whether EPR were correct seemed more a question of metaphysics than of physics. As Pauli said, if you can't actually measure features forbidden by quantum uncertainty, what difference could it possibly make if they, nevertheless, exist in some hidden fold of reality? But, remarkably, John Bell found something that had escaped Einstein, Bohr, and all the other giants of twentieth-century theoretical physics: he found that the mere existence of certain things, even if they are beyond explicit measurement or determination, does make a difference-a difference that can be checked experimentally. Bell showed that if EPR were correct, the results found by two widely separated detectors measuring certain particle properties (spin about various randomly chosen axes, in the approach we have taken) would have to agree more than 50 percent of the time.
+  Bell had this insight in 1964, but at that time the technology did not exist to undertake the required experiments. By the early 1970s it did. Beginning with Stuart Freedman and John Clauser at Berkeley, followed by Edward Fry and Randall Thompson at Texas A&M, and culminating in the early 1980s with the work of Alain Aspect and collaborators working in France, ever more refined and impressive versions of these experiments were carried out. In the Aspect experiment, for example, the two detectors were placed 13 meters apart and a container of energetic calcium atoms was placed midway between them. Well-understood physics shows that each calcium atom, as it returns to its normal, less energetic state, will emit two photons, traveling back to back, whose spins are perfectly correlated, just as in the example of correlated electron spins we have been discussing. Indeed, in Aspect's experiment, whenever the detector settings are the same, the two photons are measured to have spins that are perfectly aligned. If lights were hooked up to Aspect's detectors to flash red in response to a clockwise spin and blue in response to a counterclockwise spin, the incoming photons would cause the detectors to flash the same color.
+  But, and this is the crucial point, when Aspect examined data from a large number of runs of the experiment-data in which the left and right detector settings were not always the same but, rather, were randomly and independently varied from run to run-he found that the detectors did not agree more than 50 percent of the time.
+  This is an earth-shattering result. This is the kind of result that should take your breath away. But just in case it hasn't, let me explain further. Aspect's results show that Einstein, Podolsky, and Rosen were proven by experiment-not by theory, not by pondering, but by nature-to be wrong. And that means there has to be something wrong with the reasoning EPR used to conclude that particles possess definite values for features-like spin values about distinct axes-for which definite values are forbidden by the uncertainty principle.
+  But where could they have gone wrong? Well, remember that the Einstein, Podolsky, and Rosen argument hangs on one central assumption: if at a given moment you can determine a feature of an object by an experiment done on another, spatially distant object, then the first object must have had this feature all along. Their rationale for this assumption was simple and thoroughly reasonable. Your measurement was done over here while the first object was way over there. The two objects were spatially separate, and hence your measurement could not possibly have had any effect on the first object. More precisely, since nothing goes faster than the speed of light, if your measurement on one object were somehow to cause a change in the other-for example, to cause the other to take on an identical spinning motion about a chosen axis-there would have to be a delay before this could happen, a delay at least as long as the time it would take light to traverse the distance between the two objects. But in both our abstract reasoning and in the actual experiments, the two particles are examined by the detectors at the same time. Therefore, whatever we learn about the first particle by measuring the second must be a feature that the first particle possessed, completely independent of whether we happened to undertake the measurement at all. In short, the core of the Einstein, Podolsky, Rosen argument is that an object over there does not care about what you do to another object over here.
+  But as we just saw, this reasoning leads to the prediction that the detectors should find the same result more than half the time, a prediction that is refuted by the experimental results. We are forced to conclude that the assumption made by Einstein, Podolsky, and Rosen, no matter how reasonable it seems, cannot be how our quantum universe works. Thus, through this indirect but carefully considered reasoning, the experiments lead us to conclude that  an object over there does care about what you do to another object over here.
+  Even though quantum mechanics shows that particles randomly acquire this or that property when measured, we learn that the randomness can be linked across space. Pairs of appropriately prepared particles- they're called entangled particles-don't acquire their measured properties independently. They are like a pair of magical dice, one thrown in Atlantic City and the other in Las Vegas, each of which randomly comes up one number or another, yet the two of which somehow manage always to agree. Entangled particles act similarly, except they require no magic. Entangled  particles, even though spatially separate, do not operate autonomously. 
+  Einstein, Podolsky, and Rosen set out to show that quantum mechanics provides an incomplete description of the universe. Half a century later, theoretical insights and experimental results inspired by their work require us to turn their analysis on its head and conclude that the most basic, intuitively reasonable, classically sensible part of their reasoning is wrong: the universe is not local. The outcome of what you do at one place can be linked with what happens at another place, even if nothing travels between the two locations-even if there isn't enough time for anything to complete the journey between the two locations. Einstein's, Podolsky's, and Rosen's intuitively pleasing suggestion that such long-range correlations arise merely because particles have definite, preexisting, correlated properties is ruled out by the data. That's what makes this all so shocking.14
+  In 1997, Nicolas Gisin and his team at the University of Geneva carried out a version of the Aspect experiment in which the two detectors were placed 11 kilometers apart. The results were unchanged. On the microscopic scale of the photon's wavelengths, 11 kilometers is gargantuan. It might as well be 11 million kilometers-or 11 billion light-years, for that matter. There is every reason to believe that the correlation between the photons would persist no matter how far apart the detectors are placed.
+  This sounds totally bizarre. But there is now overwhelming evidence for this so-called quantum entanglement. If two photons are entangled, the successful measurement of either photon's spin about one axis "forces" the other, distant photon to have the same spin about the same axis; the act of measuring one photon "compels" the other, possibly distant photon to snap out of the haze of probability and take on a definitive spin value-a value that precisely matches the spin of its distant companion. And that boggles the mind.8
+Entanglement and Special Relativity: The Standard View
+I have put the words "forces" and "compels" in quotes because while they convey the sentiment our classical intuition longs for, their precise meaning in this context is critical to whether or not we are in for even more of an upheaval. With their everyday definitions, these words conjure up an image of volitional causality: we choose to do something here so as to cause or force a particular something to happen over there. If that were the right description of how the two photons are interrelated, special relativity would be on the ropes. The experiments show that from the viewpoint of an experimenter in the laboratory, at the precise moment one photon's spin is measured, the other photon immediately takes on the same spin property. If something were traveling from the left photon to the right photon, alerting the right photon that the left photon's spin had been determined through a measurement, it would have to travel between the photons instantaneously, conflicting with the speed limit set by special relativity.
+  The consensus among physicists is that any such apparent conflict with special relativity is illusory. The intuitive reason is that even though the two photons are spatially separate, their common origin establishes a fundamental link between them. Although they speed away from each other and become spatially separate, their history entwines them; even when distant, they are still part of one physical system. And so, it's really not that a measurement on one photon forces or compels another distant photon to take on identical properties. Rather, the two photons are so intimately bound up that it is justified to consider them-even though they are spatially separate-as parts of one physical entity. Then we can say that one measurement on this single entity-an entity containing two photons-affects the entity; that is, it affects both photons at once.
+  While this imagery may make the connection between the photons a little easier to swallow, as stated it's vague-what does it really mean to say two spatially separate things are one? A more precise argument is the following. When special relativity says that nothing can travel faster than the speed of light, the "nothing" refers to familiar matter or energy. But the case at hand is subtler, because it doesn't appear that any matter or energy is traveling between the two photons, and so there isn't anything whose speed we are led to measure. Nevertheless, there is a way to learn whether we've run headlong into a conflict with special relativity. A feature common to matter and energy is that when traveling from place to place they can transmit information. Photons traveling from a broadcast station to your radio carry information. Electrons traveling through Internet cables to your computer carry information. So, in any situation where something-even something unidentified-is purported to have traveled faster than light speed, a litmus test is to ask whether it has, or at least could have, transmitted information. If the answer is no, the standard reasoning goes, then nothing has exceeded light speed, and special relativity remains unchallenged. In practice, this is the test that physicists often employ in determining whether some subtle process has violated the laws of special relativity. (None has ever survived this test.) Let's apply it here.
+  Is there any way that, by measuring the spin of the left-moving and the right-moving photons about some given axis, we can send information from one to the other? The answer is no. Why? Well, the output found in either the left or the right detector is nothing but a random sequence of clockwise and counterclockwise results, since on any given run there is an equal probability of the particle to be found spinning one way or the other. In no way can we control or predict the outcome of any particular measurement. Thus, there is no message, there is no hidden code, there is no information whatsoever in either of these two random lists. The only interesting thing about the two lists is that they are identical-but that can't be discerned until the two lists are brought together and compared by some conventional, slower-than-light means (fax, e-mail, phone call, etc.). The standard argument thus concludes that although measuring the spin of one photon appears instantaneously to affect the other, no information is transmitted from one to the other, and the speed limit of special relativity remains in force. Physicists say that the spin results are correlated-since the lists are identical-but do not stand in a traditional cause-and-effect relationship because nothing travels between the two distant locations.
+Entanglement and Special Relativity: The Contrarian View
+Is that it? Is the potential conflict between the nonlocality of quantum mechanics and special relativity fully resolved? Well, probably. On the basis of the above considerations, the majority of physicists sum it up by saying there is a harmonious coexistence between special relativity and Aspect's results on entangled particles. In short, special relativity survives by the skin of its teeth. Many physicists find this convincing, but others have a nagging sense that there is more to the story.
+  At a gut level I've always shared the coexistence view, but there is no denying that the issue is delicate. At the end of the day, no matter what holistic words one uses or what lack of information one highlights, two widely separated particles, each of which is governed by the randomness of quantum mechanics, somehow stay sufficiently "in touch" so that whatever one does, the other instantly does too. And that seems to suggest that some kind of faster-than-light something is operating between them.
+  Where do we stand? There is no ironclad, universally accepted answer. Some physicists and philosophers have suggested that progress hinges on our recognizing that the focus of the discussion so far is somewhat misplaced: the real core of special relativity, they rightly point out, is not so much that light sets a speed limit, as that light's speed is something that all observers, regardless of their own motion, agree upon.16 More generally, these researchers emphasize, the central principle of special relativity is that no observational vantage point is singled out over any other. Thus, they propose (and many agree) that if the egalitarian treatment of all constant-velocity observers could be squared with the experimental results on entangled particles, the tension with special relativity would be resolved.17 But achieving this goal is not a trivial task. To see this concretely, let's think about how good old-fashioned textbook quantum mechanics explains the Aspect experiment.
+  According to standard quantum mechanics, when we perform a measurement and find a particle to be here, we cause its probability wave to change: the previous range of potential outcomes is reduced to the one actual result our measurement finds, as illustrated in Figure 4.7. Physicists say the measurement causes the probability wave to collapse and they envision that the larger the initial probability wave at some location, the larger the likelihood that the wave will collapse to that point-that is, the larger the likelihood that the particle will be found at that point. In the standard approach, the collapse happens instantaneously across the whole universe: once you find the particle here, the thinking goes, the probability of its being found anywhere else immediately drops to zero, and this is reflected in an immediate collapse of the probability wave.
+  In the Aspect experiment, when the left-moving photon's spin is measured and is found, say, to be clockwise about some axis, this collapses its probability wave throughout all of space, instantaneously setting the counterclockwise part to zero. Since this collapse happens everywhere, it happens also at the location of the right-moving photon. And, it turns out, this affects the counterclockwise part of the right-moving photon's probability wave, causing it to collapse to zero too. Thus, no matter how far away the right-moving photon is from the left-moving photon, its probability wave is instantaneously affected by the change in the left-moving photon's probability wave, ensuring that it has the same spin as the left-moving photon along the chosen axis. In standard quantum mechanics, then, it is this instantaneous change in probability waves that is responsible for the faster-than-light influence.
+
+Figure 4.7 When a particle is observed at some location, the probability of finding it at any other location drops to zero, while its probability surges to 100 percent at the location where it is observed.
+  The mathematics of quantum mechanics makes this qualitative discussion precise. And, indeed, the long-range influences arising from collapsing probability waves change the prediction of how often Aspect's left and right detectors (when their axes are randomly and independently chosen) should find the same result. A mathematical calculation is required to get the exact answer (see notes section18 if you're interested), but when the math is done, it predicts that the detectors should agree precisely50 percent of the time (rather than predicting agreement more than 50 percent of the time-the result, as we've seen, found using EPR's hypothesis of a local universe). To impressive accuracy, this is just what Aspect found in his experiments, 50 percent agreement. Standard quantum mechanics matches the data impressively.
+  This is a spectacular success. Nevertheless, there is a hitch.  After more than seven decades, no one understands how or even whether the collapse of a probability wave really happens. Over the years, the assumption that probability waves collapse has proven itself a powerful link between the probabilities that quantum theory predicts and the definite outcomes that experiments reveal. But it's an assumption fraught with conundrums. For one thing, the collapse does not emerge from the mathematics of quantum theory; it has to be put in by hand, and there is no agreed-upon or experimentally justified way to do this. For another, how is it possible that by finding an electron in your detector in New York City, you cause the electron's probability wave in the Andromeda galaxy to drop to zero instantaneously? To be sure, once you find the particle in New York City, it definitely won't be found in Andromeda, but what unknown mechanism enforces this with such spectacular efficiency? How, in looser language, does the part of the probability wave in Andromeda, and everywhere else, "know" to drop to zero simultaneously?19
+  We will take up this quantum mechanical measurement problem in Chapter 7 (and as we'll see, there are other proposals that avoid the idea of collapsing probability waves entirely), but suffice it here to note that, as we discussed in Chapter 3, something that is simultaneous from one perspective is not simultaneous from another moving perspective. (Remember Itchy and Scratchy setting their clocks on a moving train.) So if a probability wave were to undergo simultaneous collapse across space according to one observer, it will not undergo such simultaneous collapse according to another who is in motion. As a matter of fact, depending on their motion, some observers will report that the left photon was measured first, while other observers, equally trustworthy, will report that the right photon was measured first. Hence, even if the idea of collapsing probability waves were correct, there would fail to be an objective truth regarding which measurement-on the left or right photon-affected the other. Thus, the collapse of probability waves would seem to pick out one vantage point as special-the one according to which the collapse is simultaneous across space, the one according to which the left and right measurements occur at the same moment. But picking out a special perspective creates significant tension with the egalitarian core of special relativity. Proposals have been made to circumvent this problem, but debate continues regarding which, if any, are successful.20
+  Thus, although the majority view holds that there is a harmonious coexistence, some physicists and philosophers consider the exact relationship between quantum mechanics, entangled particles, and special relativity an open question. It's certainly possible, and in my view likely, that the majority view will ultimately prevail in some more definitive form. But history shows that subtle, foundational problems sometimes sow the seeds of future revolutions. On this one, only time will tell.
+What Are We to Make of All This?
+Bell's reasoning and Aspect's experiments show that the kind of universe Einstein envisioned may exist in the mind, but not in reality. Einstein's was a universe in which what you do right here has immediate relevance only for things that are also right here. Physics, in his view, was purely local. But we now see that the data rule out this kind of thinking; the data rule out this kind of universe.
+  Einstein's was also a universe in which objects possess definite values of all possible physical attributes. Attributes do not hang in limbo, waiting for an experimenter's measurement to bring them into existence. The majority of physicists would say that Einstein was wrong on this point, too. Particle properties, in this majority view, come into being when measurements force them to-an idea we will examine further in Chapter 7. When they are not being observed or interacting with the environment, particle properties have a nebulous, fuzzy existence characterized solely by a probability that one or another potentiality might be realized. The most extreme of those who hold this opinion would go as far as declaring that, indeed, when no one and no thing is "looking" at or interacting with the moon in any way, it is not there.
+  On this issue, the jury is still out. Einstein, Podolsky, and Rosen reasoned that the only sensible explanation for how measurements could reveal that widely separated particles had identical properties was that the particles possessed those definite properties all along (and, by virtue of their common past, their properties were correlated). Decades later, Bell's analysis and Aspect's data proved that this intuitively pleasing suggestion, based on the premise that particles always have definite properties, fails as an explanation of the experimentally observed nonlocal correlations. But the failure to explain away the mysteries of nonlocality does not mean that the notion of particles always possessing definite properties is itself ruled out. The data rule out a local universe, but they don't rule out particles having such hidden properties.
+  In fact, in the 1950s Bohm constructed his own version of quantum mechanics that incorporates both nonlocality and hidden variables. Particles, in this approach, always have both a definite position and a definite velocity, even though we can never measure both simultaneously. Bohm's approach made predictions that agreed fully with those of conventional quantum mechanics, but his formulation introduced an even more brazen element of nonlocality in which the forces acting on a particle at one location depend instantaneously on conditions at distant locations. In a sense, then, Bohm's version suggested how one might go partway toward Einstein's goal of restoring some of the intuitively sensible features of classical physics-particles having definite properties-that had been abandoned by the quantum revolution, but it also showed that doing so came at the price of accepting yet more blatant nonlocality. With this hefty cost, Einstein would have found little solace in this approach.
+  The need to abandon locality is the most astonishing lesson arising from the work of Einstein, Podolsky, Rosen, Bohm, Bell, and Aspect, as well as the many others who played important parts in this line of research. By virtue of their past, objects that at present are in vastly different regions of the universe can be part of a quantum mechanically entangled whole. Even though widely separated, such objects are committed to behaving in a random but coordinated manner.
+  We used to think that a basic property of space is that it separates and distinguishes one object from another. But we now see that quantum mechanics radically challenges this view. Two things can be separated by  an enormous amount of space and yet not have a fully independent existence. A quantum connection can unite them, making the properties of each contingent on the properties of the other. Space does not distinguish such entangled objects. Space cannot overcome their interconnection. Space, even a huge amount of space, does not weaken their quantum mechanical interdependence.
+  Some people have interpreted this as telling us that "everything is connected to everything else" or that "quantum mechanics entangles us all in one universal whole." After all, the reasoning goes, at the big bang everything emerged from one place since, we believe, all places we now think of as different were the same place way back in the beginning. And since, like the two photons emerging from the same calcium atom, everything emerged from the same something in the beginning, everything should be quantum mechanically entangled with everything else.
+  While I like the sentiment, such gushy talk is loose and overstated. The quantum connections between the two photons emerging from the calcium atom are there, certainly, but they are extremely delicate. When Aspect and others carry out their experiments, it is crucial that the photons be allowed to travel absolutely unimpeded from their source to the detectors. Should they be jostled by stray particles or bump into pieces of equipment before reaching one of the detectors, the quantum connection between the photons will become monumentally more difficult to identify. Rather than looking for correlations in the properties of two photons, one would now need to look for a complex pattern of correlations involving the photons and everything else they may have bumped into. And as all these particles go their ways, bumping and jostling yet other particles, the quantum entanglement would become so spread out through these interactions with the environment that it would become virtually impossible to detect. For all intents and purposes, the original entanglement between the photons would have been erased.
+  Nevertheless, it is truly amazing that these connections do exist, and that in carefully arranged laboratory conditions they can be directly observed over significant distances. They show us, fundamentally, that space is not what we once thought it was.
+  What about time?
+II
+TIME AND EXPERIENCE
+5
+The Frozen River
+DOES TIME FLOW?
+Time is among the most familiar yet least understood concepts that humanity has ever encountered. We say that it flies, we say that it's money, we try to save it, we get annoyed when we waste it. But what is time? To paraphrase St. Augustine and Justice Potter Stewart, we know it when we see it, but surely, at the dawn of the third millennium our understanding of time must be deeper than that. In some ways, it is. In other ways, it's not. Through centuries of puzzling and pondering, we have gained insight into some of time's mysteries, but many remain. Where does time come from? What would it mean to have a universe without time? Could there be more than one time dimension, just as there is more than one space dimension? Can we "travel" to the past? If we did, could we change the subsequent unfolding of events? Is there an absolute, smallest amount of time? Is time a truly fundamental ingredient in the makeup of the cosmos, or simply a useful construct to organize our perceptions, but one not found in the lexicon with which the most fundamental laws of the universe are written? Could time be a derivative notion, emerging from some more basic concept that has yet to be discovered?
+  Finding complete and fully convincing answers to these questions ranks among the most ambitious goals of modern science. Yet the big questions are by no means the only ones. Even the everyday experience of time taps into some of the universe's thorniest conundrums.
+Time and Experience
+Special and general relativity shattered the universality, the oneness, of time. These theories showed that we each pick up a shard of Newton's old universal time and carry it with us. It becomes our own personal clock, our own personal lead relentlessly pulling us from one moment to the next. We are shocked by the theories of relativity, by the universe that is, because while our personal clock seems to tick away uniformly, in concert with our intuitive sense of time, comparison with other clocks reveals differences. Time for you need not be the same as time for me.
+  Let's accept that lesson as a given. But what is the true nature of time for me? What is the full character of time as experienced and conceived by the individual, without primary focus on comparisons with the experiences of others? Do these experiences accurately reflect the true nature of time? And what do they tell us about the nature of reality?
+  Our experiences teach us, overwhelmingly so, that the past is different from the future. The future seems to present a wealth of possibilities, while the past is bound to one thing, the fact of what actually happened. We feel able to influence, to affect, and to mold the future to one degree or another, while the past seems immutable. And in between past and future is the slippery concept of now, a temporal holding point that rein-vents itself moment to moment, like the frames in a movie film as they sweep past the projector's intense light beam and become the momentary present. Time seems to march to an endless, perfectly uniform rhythm, reaching the fleeting destination of now with every beat of the drummer's stick.
+  Our experiences also teach us that there is an apparent lopsidedness to how things unfold in time. There is no use crying over spilled milk, because once spilled it can never be unspilled: we never see splattered milk gather itself together, rise off the floor, and coalesce in a glass that sets itself upright on a kitchen counter. Our world seems to adhere perfectly to a one-way temporal arrow, never deviating from the fixed stipulation that things can start like this and end like that, but they can never start like that and end like this.
+  Our experiences, therefore, teach us two overarching things about time. First, time seems to flow. It's as if we stand on the riverbank of time as the mighty current rushes by, sweeping the future toward us, becoming now at the moment it reaches us, and rushing onward as it recedes downstream into the past. Or, if that is too passive for your taste, invert the metaphor: we ride the river of time as it relentlessly rushes forward, sweeping us from one now to the next, as the past recedes with the passing scenery and the future forever awaits us downstream. (Our experiences have also taught us that time can inspire some of the mushiest metaphors.) Second, time seems to have an arrow. The flow of time seems to go one way and only one way, in the sense that things happen in one and only one temporal sequence. If someone hands you a box containing a short film of a glass of milk being spilled, but the film has been cut up into its individual frames, by examining the pile of images you can reassemble the frames in the right order without any help or instruction from the filmmaker. Time seems to have an intrinsic direction, pointing from what we call the past toward what we call the future, and things appear to change-milk spills, eggs break, candles burn, people age-in universal alignment with this direction.
+  These easily sensed features of time generate some of its most tantalizing puzzles. Does time really flow? If it does, what actually is flowing? And how fast does this time-stuff flow? Does time really have an arrow? Space, for example, does not appear to have an inherent arrow-to an astronaut in the dark recesses of the cosmos, left and right, back and forth, and up and down, would all be on equal footing-so where would an arrow of time come from? If there is an arrow of time, is it absolute? Or are there things that can evolve in a direction opposite to the way time's arrow seems to point?
+  Let's build up to our current understanding by first thinking about these questions in the context of classical physics. So, for the remainder of this and the next chapter (in which we'll discuss the flow of time and the arrow of time, respectively) we will ignore quantum probability and quantum uncertainty. A good deal of what we'll learn, nevertheless, translates directly to the quantum domain, and in Chapter 7 we will take up the quantum perspective.
+Does Time Flow?
+From the perspective of sentient beings, the answer seems obvious. As I type these words, I clearly feel time flowing. With every keystroke, each now gives way to the next. As you read these words, you no doubt feel time flowing, too, as your eyes scan from word to word across the page. Yet, as hard as physicists have tried, no one has found any convincing evidence within the laws of physics that supports this intuitive sense that time flows. In fact, a reframing of some of Einstein's insights from special relativity provides evidence that time does not flow.
+  To understand this, let's return to the loaf-of-bread depiction of spacetime introduced in Chapter 3. Recall that the slices making up the loaf are the nows of a given observer; each slice represents space at one moment of time from his or her perspective. The union obtained by placing slice next to slice, in the order in which the observer experiences them, fills out a region of spacetime. If we take this perspective to a logical extreme and imagine that each slice depicts all of space at a given moment of time according to one observer's viewpoint, and if we include every possible slice, from the ancient past to the distant future, the loaf will encompass all of the universe throughout all time-the whole of spacetime. Every occurrence, regardless of when or where, is represented by some point in the loaf.
+  This is schematically illustrated in Figure 5.1, but the perspective should make you scratch your head. The "outside" perspective of the figure, in which we're looking at the whole universe, all of space at every moment of time, is a fictitious vantage point, one that none of us will ever have. We are all within spacetime. Every experience you or I ever have occurs at some location in space at some moment of time. And since Figure 5.1 is meant to depict all of spacetime, it encompasses the totality of such experiences-yours, mine, and those of everyone and everything. If you could zoom in and closely examine all the comings and goings on planet earth, you'd be able to see Alexander the Great having a lesson with Aristotle, Leonardo da Vinci laying the final brushstroke on the Mona Lisa, and George Washington crossing the Delaware; as you continued scanning the image from left to right, you'd be able to see your grandmother playing as a little girl, your father celebrating his tenth birthday, and your own first day at school; looking yet farther to the right in the image, you could see yourself reading this book, the birth of your great-great-granddaughter, and, a little farther on, her inauguration as President. Given the coarse resolution of Figure 5.1, you can't actually see these moments, but you can see the (schematic) history of the sun and planet earth, from their birth out of a coalescing gas cloud to the earth's demise when the sun swells into a red giant. It's all there.
+
+Figure 5.1 A schematic depiction of all space throughout all time (depicting, of course, only part of space through part of time) showing the formation of some early galaxies, the formation of the sun and the earth, and the earth's ultimate demise when the sun swells into a red giant, in what we now consider our distant future.
+  Unquestionably, Figure 5.1 is an imaginary perspective. It stands outside of space and time. It is the view from nowhere and nowhen. Even so-even though we can't actually step beyond the confines of spacetime and take in the full sweep of the universe-the schematic depiction of Figure 5.1 provides a powerful means of analyzing and clarifying basic properties of space and time. As a prime example, the intuitive sense of time's flow can be vividly portrayed in this framework by a variation on the movie-projector metaphor. We can envision a light that illuminates one time slice after another, momentarily making the slice come alive in the present-making it the momentary now-only to let it go instantly dark again as the light moves on to the next slice. Right now, in this intuitive way of thinking about time, the light is illuminating the slice in which you, sitting on planet earth, are reading this word, and now it is illuminating the slice in which you are reading this word. But, again, while this image seems to match experience, scientists have been unable to find anything in the laws of physics that embodies such a moving light. They have found no physical mechanism that singles out moment after moment to be momentarily real-to be the momentary now-as the mechanism flows ever onward toward the future.
+  Quite the contrary. While the perspective of Figure 5.1 is certainly imaginary, there is convincing evidence that the spacetime loaf-the totality of spacetime, not slice by single slice-is real. A less than widely appreciated implication of Einstein's work is that special relativistic reality treats all times equally. Although the notion of now plays a central role in our worldview, relativity subverts our intuition once again and declares ours an egalitarian universe in which every moment is as real as any other. We brushed up against this idea in Chapter 3 while thinking about the spinning bucket in the context of special relativity. There, through indirect reasoning analogous to Newton's, we concluded that spacetime is at least enough of a something to provide the benchmark for accelerated motion. Here we take up the issue from another viewpoint and go further. We argue that every part of the spacetime loaf in Figure 5.1 exists on the same footing as every other, suggesting, as Einstein believed, that reality embraces past, present, and future equally and that the flow we envision bringing one section to light as another goes dark is illusory.
+The Persistent Illusion of Past, Present, and Future
+To understand Einstein's perspective, we need a working definition of reality, an algorithm, if you will, for determining what things exist at a given moment. Here's one common approach. When I contemplate reality-what exists at this moment-I picture in my mind's eye a kind of snapshot, a mental freeze-frame image of the entire universe right now. As I type these words, my sense of what exists right now, my sense of reality, amounts to a list of all those things-the tick of midnight on my kitchen clock; my cat stretched out in flight between floor and windowsill; the first ray of morning sunshine illuminating Dublin; the hubbub on the floor of the Tokyo stock exchange; the fusion of two particular hydrogen atoms in the sun; the emission of a photon from the Orion nebula; the last moment of a dying star before it collapses into a black hole-that are, at this moment, in my freeze-frame mental image. These are the things happening right  now, so they are the things that I declare exist right now. Does Charlemagne exist right now? No. Does Nero exist right now? No. Does Lincoln exist right now? No. Does Elvis exist right now? No. None of them are on my current now-list. Does anyone born in the year 2300 or 3500 or 57000 exist now? No. Again, none of them are in my mind's-eye freeze-frame image, none of them are on my current time slice, and so, none of them are on my current now-list. Therefore, I say without hesitation that they do not currently exist. That is how I define reality at any given moment; it's an intuitive approach that most of us use, often implicitly, when thinking about existence.
+  I will make use of this conception below, but be aware of one tricky point. A now-list-reality in this way of thinking-is a funny thing. Nothing you see right now belongs on your now-list, because it takes time for light to reach your eyes. Anything you see right now has already happened. You are not seeing the words on this page as they are now; instead, if you are holding the book a foot from your face, you are seeing them as they were a billionth of a second ago. If you look out across an average room, you are seeing things as they were some 10 billionths to 20 billionths of a second ago; if you look across the Grand Canyon, you are seeing the other side as it was about one ten-thousandth of a second ago; if you look at the moon, you are seeing it as it was a second and a half ago; for the sun, you see it as it was about eight minutes ago; for stars visible to the naked eye, you see them as they were from roughly a few years ago to 10,000 years ago. Curiously, then, although a mental freeze-frame image captures our sense of reality, our intuitive sense of "what's out there," it consists of events that we can't experience, or affect, or even record right now. Instead, an actual now-list can be compiled only after the fact. If you know how far away something is, you can determine when it emitted the light you see now and so you can determine on which of your time slices it belongs-on which already past now-list it should be recorded. Nevertheless, and this is the main point, as we use this information to compile the now-list for any given moment, continually updating it as we receive light from ever more distant sources, the things that are listed are the things that we intuitively believe existed at that moment.
+  Remarkably, this seemingly straightforward way of thinking leads to an unexpectedly expansive conception of reality. You see, according to Newton's absolute space and absolute time, everyone's freeze-frame picture of the universe at a given moment contains exactly the same events; everyone's  now is the same now, and so everyone's now-list for a given moment is identical. If someone or something is on your now-list for a given moment, then it is necessarily also on my now-list for that moment. Most people's intuition is still bound up with this way of thinking, but special relativity tells a very different story. Look again at Figure 3.4. Two observers in relative motion have nows-single moments in time, from each one's perspective-that are different: their nows slice through spacetime at different angles. And different nows mean different now-lists.  Observers moving relative to each other have different conceptions of what exists at a given moment, and hence they have different conceptions of reality.
+  At everyday speeds, the angle between two observers' now-slices is minuscule; that's why in day-to-day life we never notice a discrepancy between our definition of now and anybody else's. For this reason, most discussions of special relativity focus on what would happen if we traveled at enormous speeds-speeds near that of light-since such motion would tremendously magnify the effects. But there is another way to magnify the distinction between two observers' conceptions of now, and I find that it provides a particularly enlightening approach to the question of reality. It is based on the following simple fact: if you and I slice up an ordinary loaf at slightly different angles, it will have hardly any effect on the resulting pieces of bread. But if the loaf is huge, the conclusion is different. Just as a tiny opening between the blades of an enormously long pair of scissors translates into a large separation between the blade tips, cutting an enormous loaf of bread at slightly different angles yields slices that deviate by a huge amount at distances far from where the slices cross. You can see this in Figure 5.2.
+  The same is true for spacetime. At everyday speeds, the slices depicting  now for two observers in relative motion will be oriented at only slightly different angles. If the two observers are nearby, this will have hardly any effect. But, just as in the loaf of bread, tiny angles generate large separations between slices when their impact is examined over large distances. And for slices of spacetime, a large deviation between slices means a significant disagreement on which events each observer considers to be happening now. This is illustrated in Figures 5.3 and 5.4, and it implies that individuals moving relative to each other, even at ordinary, everyday speeds, will have increasingly different conceptions of now if they are increasingly far apart in space.
+  To make this concrete, imagine that Chewie is on a planet in a galaxy far, far away-10 billion light-years from earth-idly sitting in his living room. Imagine further that you (sitting still, reading these words) and Chewie are not moving relative to each other (for simplicity, ignore the motion of the planets, the expansion of the universe, gravitational effects, and so on). Since you are at rest relative to each other, you and Chewie agree fully on issues of space and time: you would slice up spacetime in an identical manner, and so your now-lists would coincide exactly. After a little while, Chewie stands up and goes for a walk-a gentle, relaxing amble-in a direction that turns out to be directly away from you.
+
+Figure 5.2 (a) In an ordinary loaf, slices cut at slightly different angles don't separate significantly. (b) But the larger the loaf, for the same angle, the greater the separation.
+This change in Chewie's state of motion means that his conception of now, his slicing up of spacetime, will rotate slightly (see Figure 5.3). This tiny angular change has no noticeable effect in Chewie's vicinity: the difference between his new now and that of anyone still sitting in his living room is minuscule. But over the enormous distance of 10 billion light years, this tiny shift in Chewie's notion of now is amplified (as in the passage from Figure 5.3a to 5.3b, but with the protagonists now being a huge distance apart, significantly accentuating the shift in their nows). His now and your now, which were one and the same while he was sitting still, jump apart because of his modest motion.
+
+Figure 5.3 (a) Two individuals at rest relative to each other have identical conceptions of now and hence identical time slices. If one observer moves away from the other their time slices-what each observer considers  now-rotate relative to each other; as illustrated, the darkened now slice for the moving observer rotates into the past of the stationary observer. (b) A greater separation between the observers yields a greater deviation between slices-a greater deviation in their conception of  now.
+  Figures 5.3 and 5.4 illustrate the key idea schematically, but by using the equations of special relativity we can calculate how different your nows become.1 If Chewie walks away from you at about 10 miles per hour (Chewie has quite a stride) the events on earth that belong on his new now-list are events that happened about 150 years ago, according to you! According to his conception of now-a conception that is every bit as valid as yours and that up until a moment ago agreed fully with yours- you have not yet been born. If he moved toward you at the same speed, the angular shift would be opposite, as schematically illustrated in Figure 5.4, so that his now would coincide with what you would call 150 years in the future! Now, according to his now, you may no longer be a part of this world. And if, instead of just walking, Chewie hopped into the  MillenniumFalcon traveling at 1,000 miles per hour (less than the speed of a Concorde aircraft), his now would include events on earth that from your perspective took place 15,000 years ago or 15,000 years in the future, depending on whether he flew away or toward you. Given suitable choices of direction and speed of motion, Elvis or Nero or Charlemagne or Lincoln or someone born on earth way into what you call the future will belong on his new now-list.
+
+Figure 5.4 (a) Same as figure 5.3a, except when one observer moves toward the other, her now slice rotates into the future, not the past, of the other observer. (b) Same as 5.3b-a greater separation yields a greater deviation in conceptions of now, for the same relative velocity- with the rotation being toward the future instead of the past.
+  While surprising, none of this generates any contradiction or paradox because, as we explained above, the farther away something is, the longer it takes to receive light it emits and hence to determine that it belongs on a particular now-list. For instance, even though John Wilkes Booth's approaching the State Box at Ford's Theatre will belong on Chewie's new now-list if he gets up and walks away from earth at about 9.3 miles per hour,2 he can take no action to save President Lincoln. At such an enormous distance, it takes an enormous amount of time for messages to be received and exchanged, so only Chewie's descendants, billions of years later, will actually receive the light from that fateful night in Washington. The point, though, is that when his descendants use this information to update the vast collection of past now-lists, they will find that the Lincoln assassination belongs on the same now-list that contains Chewie's just getting up and walking away from earth. And yet, they will also find that a moment before Chewie got up, his now-list contained, among many other things, you, in earth's twenty-first century, sitting still, reading these words.3
+  Similarly, there are things about our future, such as who will win the U.S. presidential election in the year 2100, that seem completely open: more than likely, the candidates for that election haven't even been born, much less decided to run for office. But if Chewie gets up from his chair and walks toward earth at about 6.4 miles per hour, his now-slice-his conception of what exists, his conception of what has happened-will  include the selection of the first president of the twenty-second century. Something that seems completely undecided to us is something that, for him, has already happened. Again, Chewie won't know the outcome of the election for billions of years, since that's how long it will take our television signals to reach him. But when word of the election results reaches Chewie's descendants and they use it to update Chewie's flip-card book of history, his collection of past now-lists, they will find that the election results belong on the same now-list in which Chewie got up and started walking toward earth-a now-list, Chewie's descendants note, that occurs just a moment after one that contains you, in the early years of earth's twenty-first century, finishing this paragraph.
+  This example highlights two important points. First, although we are used to the idea that relativistic effects become apparent at speeds near that of light, even at low velocities relativistic effects can be greatly amplified when considered over large distances in space. Second, the example gives insight into the issue of whether spacetime (the loaf) is really an entity or just an abstract concept, an abstract union of space right now together with its history and purported future.
+  You see, Chewie's conception of reality, his freeze-frame mental image, his conception of what exists now, is every bit as real for him as our conception of reality is for us. So, in assessing what constitutes reality, it would be stunningly narrow-minded if we didn't also include his perspective. For Newton, such an egalitarian approach wouldn't make the slightest difference, because, in a universe with absolute space and absolute time, everyone's now-slice coincides. But in a relativistic universe, our universe, it makes a big difference. Whereas our familiar conception of what exists right now amounts to a single now-slice-we usually view the past as gone and the future as yet to be-we must augment this image with Chewie's now-slice, a now-slice that, as the discussion revealed, can differ substantially from our own. Furthermore, since Chewie's initial location and the speed with which he moves are arbitrary, we should include the now-slices associated with all possibilities. These now-slices, as in our discussion above, would be centered on Chewie's-or some other real or hypothetical observer's-initial location in space and would be rotated at an angle that depends on the velocity chosen. (The only restriction comes from the speed limit set by light and, as explained in the notes, in the graphic depiction we are using this translates into a limit on the rotation angle of 45 degrees, either clockwise or counterclockwise.) As you can see, in Figure 5.5, the collection of all these now-slices fills out a substantial region of the spacetime loaf. In fact, if space is infinite-if now-slices extended infinitely far-then the rotated now-slices can be centered arbitrarily far away, and hence their union sweeps through  every point in the spacetime loaf.9
+  So: if you buy the notion that reality consists of the things in your freeze-frame mental image right now, and if you agree that your now is no more valid than the now of someone located far away in space who can move freely, then reality encompasses all of the events in spacetime. The total loaf exists. Just as we envision all of space as really being out there, as really existing, we should also envision all of time as really being out there, as  really existing, too. Past, present, and future certainly appear to be distinct entities. But, as Einstein once said, "For we convinced physicists, the distinction between past, present, and future is only an illusion, however persistent."5 The only thing that's real is the whole of spacetime.
+
+Figure 5.5 A sample of now-slices for a variety of observers (real or hypothetical) situated at a variety of distances from earth, moving with a variety of velocities.
+Experience and the Flow of Time
+In this way of thinking, events, regardless of when they happen from any particular perspective, just are. They all exist. They eternally occupy their particular point in spacetime. There is no flow. If you were having a great time at the stroke of midnight on New Year's Eve, 1999, you still are, since that is just one immutable location in spacetime. It is tough to accept this description, since our worldview so forcefully distinguishes between past, present, and future. But if we stare intently at this familiar temporal scheme and confront it with the cold hard facts of modern physics, its only place of refuge seems to lie within the human mind.
+  Undeniably, our conscious experience seems to sweep through the slices. It is as though our minds provide the projector light referred to earlier, so that moments of time come to life when they are illuminated by the power of consciousness. The flowing sensation from one moment to the next arises from our conscious recognition of change in our thoughts, feelings, and perceptions. And the sequence of change seems to have a continuous motion; it seems to unfold into a coherent story. But-without any pretense of psychological or neurobiological precision-we can envision how we might experience a flow of time even though, in actuality, there may be no such thing. To see what I mean, imagine playing Gone with the Wind through a faulty DVD player that randomly jumps forward and backward: one still frame flashes momentarily on the screen and is followed immediately by another from a completely different part of the film. When you watch this jumbled version, it will be hard for you to make sense of what's going on. But Scarlett and Rhett have no problem. In each frame, they do what they've always done in that frame. Were you able to stop the DVD on some particular frame and ask them about their thoughts and memories, they'd respond with the same answers they would have given had you played the DVD in a properly functioning player. If you asked them whether it was confusing to romp through the Civil War out of order, they'd look at you quizzically and figure you'd tossed back one too many mint juleps. In any given frame, they'd have the thoughts and memories they've always had in that frame-and, in particular, those thoughts and memories would give them the sensation that time is smoothly and coherently flowing forward, as usual.
+  Similarly, each moment in spacetime-each time slice-is like one of the still frames in a film. It exists whether or not some light illuminates it. As for Scarlett and Rhett, to the you who is in any such moment, it is the now, it is the moment you experience at that moment. And it always will be. Moreover, within each individual slice, your thoughts and memories are sufficiently rich to yield a sense that time has continuously flowed to that moment. This feeling, this sensation that time is flowing, doesn't require previous moments-previous frames-to be "sequentially illuminated."6
+  And if you think about it for one more moment, you'll realize that's a very good thing, because the notion of a projector light sequentially bringing moments to life is highly problematic for another, even more basic reason. If the projector light properly did its job and illuminated a given moment-say, the stroke of midnight, New Year's Eve, 1999-what would it mean for that moment to then go dark? If the moment were lit, then being illuminated would be a feature of the moment, a feature as everlasting and unchanging as everything else happening at that moment. To experience illumination-to be "alive," to be the present, to be  the now-and to then experience darkness-to be "dormant," to be the past, to be what was-is to experience change. But the concept of change has no meaning with respect to a single moment in time. The change would have to occur through time, the change would mark the passing of time, but what notion of time could that possibly be? By definition, moments don't include the passing of time-at least, not the time we're aware of- because moments just are, they are the raw material of time, they don't change. A particular moment can no more change in time than a particular location can move in space: if the location were to move, it would be a different location in space; if a moment in time were to change, it would be a different moment in time. The intuitive image of a projector light that brings each new now to life just doesn't hold up to careful examination. Instead, every moment is illuminated, and every moment remains illuminated. Every moment is. Under close scrutiny, the flowing river of time more closely resembles a giant block of ice with every moment forever frozen into place.7
+  This conception of time is significantly different from the one most of us have internalized. Even though it emerged from his own insights, Einstein was not hardened to the difficulty of fully absorbing such a profound change in perspective. Rudolf Carnap8 recounts a wonderful conversation he had with Einstein on this subject: "Einstein said that the problem of the now worried him seriously. He explained that the experience of the now means something special for man, something essentially different from the past and the future, but that this important difference does not and cannot occur within physics. That this experience cannot be grasped by science seemed to him a matter of painful but inevitable resignation."
+  This resignation leaves open a pivotal question: Is science unable to grasp a fundamental quality of time that the human mind embraces as readily as the lungs take in air, or does the human mind impose on time a quality of its own making, one that is artificial and that hence does not show up in the laws of physics? If you were to ask me this question during the working day, I'd side with the latter perspective, but by nightfall, when critical thought eases into the ordinary routines of life, it's hard to maintain full resistance to the former viewpoint. Time is a subtle subject and we are far from understanding it fully. It is possible that some insightful person will one day devise a new way of looking at time and reveal a bona fide physical foundation for a time that flows. Then again, the discussion above, based on logic and relativity, may turn out to be the full story. Certainly, though, the feeling that time flows is deeply ingrained in our experience and thoroughly pervades our thinking and language. So much so, that we have lapsed, and will continue to lapse, into habitual, colloquial descriptions that refer to a flowing time. But don't confuse language with reality. Human language is far better at capturing human experience than at expressing deep physical laws.
+6
+Chance and the Arrow
+DOES TIME HAVE A DIRECTION?
+Even if time doesn't flow, it still makes sense to ask whether it has an arrow-whether there is a direction to the way things unfold in time that can be discerned in the laws of physics. It is the question of whether there is some intrinsic order in how events are sprinkled along spacetime and whether there is an essential scientific difference between one ordering of events and the reverse ordering. As everyone already knows, there certainly appears to be a huge distinction of this sort; it's what gives life promise and makes experience poignant. Yet, as we'll see, explaining the distinction between past and future is harder than you'd think. Rather remarkably, the answer we'll settle upon is intimately bound up with the precise conditions at the origin of the universe.
+The Puzzle
+A thousand times a day, our experiences reveal a distinction between things unfolding one way in time and the reverse. A piping hot pizza cools down en route from Domino's, but we never find a pizza arriving hotter than when it was removed from the oven. Cream stirred into coffee forms a uniformly tan liquid, but we never see a cup of light coffee unstir and separate into white cream and black coffee. Eggs fall, cracking and splattering, but we never see splattered eggs and eggshells gather together and coalesce into uncracked eggs. The compressed carbon dioxide gas in a bottle of Coke rushes outward when we twist off the cap, but we never find spread-out carbon dioxide gas gathering together and swooshing back into the bottle. Ice cubes put into a glass of room-temperature water melt, but we never see globules in a room-temperature glass of water coalesce into solid cubes of ice. These common sequences of events, as well as countless others, happen in only one temporal order. They never happen in reverse, and so they provide a notion of before and after-they give us a consistent and seemingly universal conception of past and future. These observations convince us that were we to examine all of spacetime from the outside (as in Figure 5.1), we would see significant asymmetry along the time axis. Splattered eggs the world over would lie to one side-the side we conventionally call the future-of their whole, unsplattered counterparts.
+  Perhaps the most pointed example of all is that our minds seem to have access to a collection of events that we call the past-our memories-but none of us seems able to remember the collection of events we call the future. So it seems obvious that there is a big difference between the past and the future. There seems to be a manifest orientation to how an enormous variety of things unfold in time. There seems to be a manifest distinction between the things we can remember (the past) and the things we cannot (the future). This is what we mean by time's having an orientation, a direction, or an arrow.1
+  Physics, and science more generally, is founded on regularities. Scientists study nature, find patterns, and codify these patterns in natural laws. You would think, therefore, that the enormous wealth of regularity leading us to perceive an apparent arrow of time would be evidence of a fundamental law of nature. A silly way to formulate such a law would be to introduce the Law of Spilled Milk, stating that glasses of milk spill but don't unspill, or the Law of Splattered Eggs, stating that eggs break and splatter but never unsplatter and unbreak. But that kind of law buys us nothing: it is merely descriptive, and offers no explanation beyond a simple observation of what happens. Yet we expect that somewhere in the depths of physics there must be a less silly law describing the motion and properties of the particles that make up pizza, milk, eggs, coffee, people, and stars-the fundamental ingredients of everything-that shows why things evolve through one sequence of steps but never the reverse. Such a law would give a fundamental explanation to the observed arrow of time.
+  The perplexing thing is that no one has discovered any such law. What's more, the laws of physics that have been articulated from Newton through Maxwell and Einstein, and up until today, show a complete symmetry  between past and future.10 Nowhere in any of these laws do we find a stipulation that they apply one way in time but not in the other. Nowhere is there any distinction between how the laws look or behave when applied in either direction in time. The laws treat what we call past and future on a completely equal footing. Even though experience reveals over and over again that there is an arrow of how events unfold in time, this arrow seems not to be found in the fundamental laws of physics.
+Past, Future, and the Fundamental Laws of Physics
+How can this be? Do the laws of physics provide no underpinning that distinguishes past from future? How can there be no law of physics explaining that events unfold in this order but never in reverse?
+  The situation is even more puzzling. The known laws of physics actually declare-contrary to our lifetime of experiences-that light coffee can separate into black coffee and white cream; a splattered yolk and a collection of smashed shell pieces can gather themselves together and form a perfectly smooth unbroken egg; the melted ice in a glass of room-temperature water can fuse back together into cubes of ice; the gas released when you open your soda can rush back into the bottle. All the physical laws that we hold dear fully support what is known as time-reversalsymmetry. This is the statement that if some sequence of events can unfold in one temporal order (cream and coffee mix, eggs break, gas rushes outward) then these events can also unfold in reverse (cream and coffee unmix, eggs unbreak, gas rushes inward). I'll elaborate on this shortly, but the one-sentence summary is that not only do known laws fail to tell us why we see events unfold in only one order, they also tell us that, in theory, events can unfold in reverse order.11
+  The burning question is Why don't we ever see such things? I think it's a safe bet that no one has ever actually witnessed a splattered egg unsplattering. But if the laws of physics allow it, and if, moreover, those laws treat splattering and unsplattering equally, why does one never happen while the other does?
+Time-Reversal Symmetry
+As a first step toward resolving this puzzle, we need to understand in more concrete terms what it means for the known laws of physics to be time-reversal symmetric. To this end, imagine it's the twenty-fifth century and you're playing tennis in the new interplanetary league with your partner, Coolstroke Williams. Somewhat unused to the reduced gravity on Venus, Coolstroke hits a gargantuan backhand that launches the ball into the deep, isolated darkness of space. A passing space shuttle films the ball as it goes by and sends the footage to CNN (Celestial News Network) for broadcast. Here's the question: If the technicians at CNN were to make a mistake and run the film of the tennis ball in reverse, would there be any way to tell? Well, if you knew the heading and orientation of the camera during the filming you might be able to recognize their error. But could you figure it out solely by looking at the footage itself, with no additional information? The answer is no. If in the correct (forward) time direction the footage showed the ball floating by from left to right, then in reverse it would show the ball floating by from right to left. And certainly, the laws of classical physics allow tennis balls to move either left or right. So the motion you see when the film is run in either the forward time direction or the reverse time direction is perfectly consistent with the laws of physics.
+  We've so far imagined that no forces were acting on the tennis ball, so that it moved with constant velocity. Let's now consider the more general situation by including forces. According to Newton, the effect of a force is to change the velocity of an object: forces impart accelerations. Imagine, then, that after floating awhile through space, the ball is captured by Jupiter's gravitational pull, causing it to move with increasing speed in a downward, rightward-sweeping arc toward Jupiter's surface, as in Figures 6.1a and 6.1b. If you play a film of this motion in reverse, the tennis ball will appear to move in an arc that sweeps upward and toward the left, away from Jupiter, as in Figure 6.1c. Here's the new question: is the motion depicted by the film when played backward-the time-reversed motion of what was actually filmed-allowed by the classical laws of physics? Is it motion that could happen in the real world? At first, the answer seems obviously to be yes: tennis balls can move in downward arcs to the right or upward arcs to the left, or, for that matter, in innumerable other trajectories. So what's the difficulty? Well, although the answer is indeed yes, this reasoning is too glib and misses the real intent of the question.
+
+Figure 6.1 (a) A tennis ball flying from Venus to Jupiter together with (b) a close-up. (c) Tennis ball's motion if its velocity is reversed just before it hits Jupiter.
+  When you run the film in reverse, you see the tennis ball leap from Jupiter's surface, moving upward and toward the left, with exactly the same speed (but in exactly the opposite direction) from when it hit the planet. This initial part of the film is certainly consistent with the laws of physics: we can imagine, for example, someone launching the tennis ball from Jupiter's surface with precisely this velocity. The essential question is whether the rest of the reverse run is also consistent with the laws of physics. Would a ball launched with this initial velocity-and subject to Jupiter's downward-pulling gravity-actually move along the trajectory depicted in the rest of the reverse run film? Would it exactly retrace its original downward trajectory, but in reverse?
+  The answer to this more refined question is yes. To avoid any confusion, let's spell this out. In Figure 6.1a, before Jupiter's gravity had any significant effect, the ball was heading purely to the right. Then, in Figure 6.1b, Jupiter's powerful gravitational force caught hold of the ball and pulled it toward the planet's center-a pull that's mostly downward but, as you can see in the figure, is also partially to the right. This means that as the ball closed in on Jupiter's surface, its rightward speed had increased somewhat, but its downward speed had increased dramatically. In the reverse run film, therefore, the ball's launch from Jupiter's surface would be headed somewhat leftward but predominantly upward, as in Figure 6.1c. With this starting velocity, Jupiter's gravity would have had its greatest impact on the ball's upward speed, causing it to go slower and slower, while also decreasing the ball's leftward speed, but less dramatically. And with the ball's upward speed rapidly diminishing, its motion would become dominated by its speed in the leftward direction, causing it to follow an upward-arcing trajectory toward the left. Near the end of this arc, gravity would have sapped all the upward motion as well as the additional rightward velocity Jupiter's gravity imparted to the ball on its way down, leaving the ball moving purely to the left with exactly the same speed it had on its initial approach.
+  All this can be made quantitative, but the point to notice is that this trajectory is exactly the reverse of the ball's original motion. Simply by reversing the ball's velocity, as in Figure 6.1c-by setting it off with the same speed but in the opposite direction-one can make it fully retrace its original trajectory, but in reverse. Bringing the film back into the discussion, we see that the upward-arcing trajectory to the left-the trajectory we just figured out with reasoning based on Newton's laws of motion-is exactly what we would see upon running the film in reverse. So the ball's time-reversed motion, as depicted in the reverse-run film, conforms to the laws of physics just as surely as its forward-time motion. The motion we'd see upon running the film in reverse is motion that could really happen in the real world.
+  Although there are a few subtleties I've relegated to the endnotes, this conclusion is general.2 All the known and accepted laws relating to motion-from Newton's mechanics just discussed, to Maxwell's electromagnetic theory, to Einstein's special and general theories of relativity (remember, we are putting off quantum mechanics until the next chapter)-embody time-reversal symmetry: motion that can occur in the usual forward-time direction can equally well occur in reverse. As the terminology can be a bit confusing, let me reemphasize that we are not reversing time. Time is doing what it always does. Instead, our conclusion is that we can make an object trace its trajectory in reverse by the simple procedure of reversing its velocity at any point along its path. Equivalently, the same procedure-reversing the object's velocity at some point along its path- would make the object execute the motion we'd see in a reverse-run film.
+Tennis Balls and Splattering Eggs
+Watching a tennis ball shoot between Venus and Jupiter-in either direction-is not particularly interesting. But as the conclusion we've reached is widely applicable, let's now go someplace more exciting: your kitchen. Place an egg on your kitchen counter, roll it toward the edge, and let it fall to the ground and splatter. To be sure, there is a lot of motion in this sequence of events. The egg falls. The shell cracks apart. Yolk splatters this way and that. The floorboards vibrate. Eddies form in the surrounding air. Friction generates heat, causing the atoms and molecules of the egg, floor, and air to jitter a little more quickly. But just as the laws of physics show us how we can make the tennis ball trace its precise path in reverse, the same laws show how we can make every piece of eggshell, every drop of yolk, every section of flooring, and every pocket of air exactly trace its motion in reverse, too. "All" we need do is reverse the velocity of each and every constituent of the splatter. More precisely, the reasoning used with the tennis ball implies that if, hypothetically, we were able to simultaneously reverse the velocity of every atom and molecule involved directly or indirectly with the splattering egg,  all the splattering motion would proceed in reverse.
+  Again, just as with the tennis ball, if we succeeded in reversing all these velocities, what we'd see would look like a reverse-run film. But, unlike the tennis ball's, the egg-splattering's reversal of motion would be extremely impressive. A wave of jostling air molecules and tiny floor vibrations would converge on the collision site from all parts of the kitchen, causing every bit of shell and drop of yolk to head back toward the impact location. Each ingredient would move with exactly the same speed it had in the original splattering process, but each would now move in the opposite direction. The drops of yolk would fly back into a globule just as scores of little shell pieces arrived on the outskirts, perfectly aligned to fuse together into a smooth ovoid container. The air and floor vibrations would precisely conspire with the motion of the myriad coalescing yolk drops and shell pieces to give the newly re-formed egg just the right kick to jump off the floor in one piece, rise up to the kitchen counter, and land gently on the edge with just enough rotational motion to roll a few inches and gracefully come to rest. This is what would happen if we could perform the task of total and exact velocity reversal of everything involved.3
+  Thus, whether an event is simple, like a tennis ball arcing, or something more complex, like an egg splattering, the laws of physics show that what happens in one temporal direction can, at least in principle, also happen in reverse.
+Principle and Practice
+The stories of the tennis ball and the egg do more than illustrate the time-reversal symmetry of nature's laws. They also suggest why, in the real world of experience, we see many things happen one way but never in reverse. To get the tennis ball to retrace its path was not that hard. We grabbed it and sent it off with the same speed but in the opposite direction. That's it. But to get all the chaotic detritus of the egg to retrace its path would be monumentally more difficult. We'd need to grab every bit of splatter, and simultaneously send each off at the same speed but in the opposite direction. Clearly, that's beyond what we (or even all the King's horses and all the King's men) can really do.
+  Have we found the answer we've been looking for? Is the reason why eggs splatter but don't unsplatter, even though both actions are allowed by the laws of physics, a matter of what is and isn't practical? Is the answer simply that it's easy to make an egg splatter-roll it off a counter-but extraordinarily difficult to make it unsplatter?
+  Well, if it were the answer, trust me, I wouldn't have made it into such a big deal. The issue of ease versus difficulty is an essential part of the answer, but the full story within which it fits is far more subtle and surprising. We'll get there in due course, but we must first make the discussion of this section a touch more precise. And that takes us to the concept of entropy.
+Entropy
+Etched into a tombstone in the Zentralfriedhof in Vienna, near the graves of Beethoven, Brahms, Schubert, and Strauss, is a single equation, S = k log W, which expresses the mathematical formulation of a powerful concept known as entropy. The tombstone bears the name of Ludwig Boltzmann, one of the most insightful physicists working at the turn of the last century. In 1906, in failing health and suffering from depression, Boltzmann committed suicide while vacationing with his wife and daughter in Italy. Ironically, just a few months later, experiments began to confirm that ideas Boltzmann had spent his life passionately defending were correct.
+  The notion of entropy was first developed during the industrial revolution by scientists concerned with the operation of furnaces and steam engines, who helped develop the field of thermodynamics. Through many years of research, the underlying ideas were sharply refined, culminating in Boltzmann's approach. His version of entropy, expressed concisely by the equation on his tombstone, uses statistical reasoning to provide a link between the huge number of individual ingredients that make up a physical system and the overall properties the system has.4
+  To get a feel for the ideas, imagine unbinding a copy of War and Peace, throwing its 693 double-sided pages high into the air, and then gathering the loose sheets into a neat pile.5 When you examine the resulting stack, it is enormously more likely that the pages will be out of order than in order. The reason is obvious. There are many ways in which the order of the pages can be jumbled, but only one way for the order to be correct. To be in order, of course, the pages must be arranged precisely as 1, 2; 3, 4; 5, 6; and so on, up to 1,385, 1,386. Any other arrangement is out of order. A simple but essential observation is that, all else being equal, the more ways something can happen, the more likely it is that it will happen. And if something can happen in enormously more ways, like the pages landing in the wrong numerical order, it is enormously more likely that it will happen. We all know this intuitively. If you buy one lottery ticket, there is only one way you can win. If you buy a million tickets, each with different numbers, there are a million ways you can win, so your chances of striking it rich are a million times higher.
+  Entropy is a concept that makes this idea precise by counting the number of ways, consistent with the laws of physics, in which any given physical situation can be realized. High entropy means that there are many ways; low entropy means there are few ways. If the pages of  War  and Peace are stacked in proper numerical order, that is a low-entropy configuration, because there is one and only one ordering that meets the criterion. If the pages are out of numerical order, that is a high-entropy situation, because a little calculation shows that there are 1245521984537783433660029353704988291633611012463890451368 8769126468689559185298450437739406929474395079418933875187 6527656714059286627151367074739129571382353800016108126465 3018234205620571473206172029382902912502131702278211913473 5826558815410713601431193221575341597338554284672986913981 5159925119085867260993481056143034134383056377136715110570 4786941333912934192440961051428879847790853609508954014012 5932850632906034109513149466389839052676761042780416673015 4945522818861025024633866260360150888664701014297085458481 5141598392546876231295293347829518681237077459652243214888 7351679284483403000787170636684623843536242451673622861091 9853939181503076046890466491297894062503326518685837322713 6370247390401891094064988139838026545111487686489581649140 3426444110871911844164280902757137738090672587084302157950 1589916232045813012950834386537908191823777738521437536312 2531641598589268105976528144801387748697026525462643937189 3927305921796747169166978155198569769269249467383642278227 3345776718073316240433636952771183674104284493472234779223 4027225630721193853912472880929072034271692377936207650190 4571097887744535443586803319160959249877443194986997700333 2494630732437553532290674481765795395621840329516814427104 2227608124289048716428664872403070364864934832509996672897 3446425310349300626622014604312051101093282396249251196897 8283306192150828270814393659987326849047994166839657747890 2124562796195600187060805768778947870098610692265944872693 4100008726998763399003025591685820639734851035629676461160 0225159200113722741273318074829547248192807653266407023083 2754286312646671501355905966429773337131834654748547607012 4233012872135321237328732721874825264039911049700172147564 7004992922645864352265011199999999999999999999999999999999 9999999999999999999999999999999999999999999999999999999999 9999999999999999999999999999999999999999999999999999999999 99999999999999999999999-about 101878-different out-of-order page arrangements.6 If you throw the pages in the air and then gather them in a neat stack, it is almost certain that they will wind up out of numerical order, because such configurations have enormously higher entropy- there are many more ways to achieve an out-of-order outcome-than the sole arrangement in which they are in correct numerical order.
+  In principle, we could use the laws of classical physics to figure out exactly where each page will land after the whole stack has been thrown in the air. So, again in principle, we could precisely predict the resulting arrangement of the pages7 and hence (unlike in quantum mechanics, which we ignore until the next chapter) there would seem to be no need to rely on probabilistic notions such as which outcome is more or less likely than another. But statistical reasoning is both powerful and useful. If  War and Peace were a pamphlet of only a couple of pages we just might be able to successfully complete the necessary calculations, but it would be impossible to do this for the real War and Peace.8 Following the precise motion of 693 floppy pieces of paper as they get caught by gentle air currents and rub, slide, and flap against one another would be a monumental task, well beyond the capacity of even the most powerful supercomputer.
+  Moreover-and this is critical-having the exact answer wouldn't even be that useful. When you examine the resulting stack of pages, you are far less interested in the exact details of which page happens to be where than you are in the general question of whether the pages are in the correct order. If they are, great. You could sit down and continue reading about Anna Pavlovna and Nikolai Ilych Rostov, as usual. But if you found that the pages were not in their correct order, the precise details of the page arrangement are something you'd probably care little about. If you've seen one disordered page arrangement, you've pretty much seen them all. Unless for some strange reason you get mired in the minutiae of which pages happen to appear here or there in the stack, you'd hardly notice if someone further jumbled an out-of-order page arrangement you'd initially been given. The initial stack would look disordered and the further jumbled stack would also look disordered. So not only is the statistical reasoning enormously easier to carry out, but the answer it yields- ordered versus disordered-is more relevant to our real concern, to the kind of thing of which we would typically take note.
+  This sort of big-picture thinking is central to the statistical basis of entropic reasoning. Just as any lottery ticket has the same chance of winning as any other, after many tosses of War and Peace any particular ordering of the pages is just as likely to occur as any other. What makes the statistical reasoning fly is our declaration that there are two interesting  classes of page configurations: ordered and disordered. The first class has one member (the correct page ordering 1, 2; 3, 4; and so on) while the second class has a huge number of members (every other possible page ordering). These two classes are a sensible set to use since, as above, they capture the overall, gross assessment you'd make on thumbing through any given page arrangement.
+  Even so, you might suggest making finer distinctions between these two classes, such as arrangements with just a handful of pages out of order, arrangements with only pages in the first chapter out of order, and so on. In fact, it can sometimes be useful to consider these intermediate classes. However, the number of possible page arrangements in each of these new subclasses is still extremely small compared with the number in the fully disordered class. For example, the total number of out-of-order arrangements that involve only the pages in Part One of War and Peace is 10−178 of 1 percent of the total number of out-of-order arrangements involving all pages. So, although on the initial tosses of the unbound book the resulting page arrangement will likely belong to one of the intermediate, not fully disordered classes, it is almost certain that if you repeat the tossing action many times over, the page order will ultimately exhibit no obvious pattern whatsoever. The page arrangement evolves toward the fully disordered class, since there are so many page arrangements that fit this bill.
+  The example of War and Peace highlights two essential features of entropy. First, entropy is a measure of the amount of disorder in a physical system. High entropy means that many rearrangements of the ingredients making up the system would go unnoticed, and this in turn means the system is highly disordered (when the pages of War and Peace are all mixed up, any further jumbling will hardly be noticed since it simply leaves the pages in a mixed-up state). Low entropy means that very few rearrangements would go unnoticed, and this in turn means the system is highly ordered (when the pages of War and Peace start in their proper order, you can easily detect almost any rearrangement). Second, in physical systems with many constituents (for instance, books with many pages being tossed in the air) there is a natural evolution toward greater disorder, since disorder can be achieved in so many more ways than order. In the language of entropy, this is the statement that physical systems tend to evolve toward states of higher entropy.
+  Of course, in making the concept of entropy precise and universal, the physics definition does not involve counting the number of page rearrangements of one book or another that leave it looking the same, either ordered or disordered. Instead, the physics definition counts the number of rearrangements of fundamental constituents-atoms, subatomic particles, and so on-that leave the gross, overall, "big-picture" properties of a given physical system unchanged. As in the example of War and Peace, low entropy means that very few rearrangements would go unnoticed, so the system is highly ordered, while high entropy means that many rearrangements would go unnoticed, and that means the system is very disordered.12
+  For a good physics example, and one that will shortly prove handy, let's think about the bottle of Coke referred to earlier. When gas, like the carbon dioxide that was initially confined in the bottle, spreads evenly throughout a room, there are many rearrangements of the individual molecules that will have no noticeable effect. For example, if you flail your arms, the carbon dioxide molecules will move to and fro, rapidly changing positions and velocities. But overall, there will be no qualitative effect on their arrangement. The molecules were spread uniformly before you flailed your arms, and they will be spread uniformly after you're done. The uniformly spread gas configuration is insensitive to an enormous number of rearrangements of its molecular constituents, and so is in a state of high entropy. By contrast, if the gas were spread in a smaller space, as when it was in the bottle, or confined by a barrier to a corner of the room, it has significantly lower entropy. The reason is simple. Just as thinner books have fewer page reorderings, smaller spaces provide fewer places for molecules to be located, and so allow for fewer rearrangements.
+  But when you twist off the bottle's cap or remove the barrier, you open up a whole new universe to the gas molecules, and through their bumping and jostling they quickly disperse to explore it. Why? It's the same statistical reasoning as with the pages of War and Peace. No doubt, some of the jostling will move a few gas molecules purely within the initial blob of gas or nudge a few that have left the blob back toward the initial dense gas cloud. But since the volume of the room exceeds that of the initial cloud of gas, there are many more rearrangements available to the molecules if they disperse out of the cloud than there are if they remain within it. On average, then, the gas molecules will diffuse from the initial cloud and slowly approach the state of being spread uniformly throughout the room. Thus, the lower-entropy initial configuration, with the gas all bunched in a small region, naturally evolves toward the higher-entropy configuration, with the gas uniformly spread in the larger space. And once it has reached such uniformity, the gas will tend to maintain this state of high entropy: bumping and jostling still causes the molecules to move this way and that, giving rise to one rearrangement after another, but the overwhelming majority of these rearrangements do not affect the gross, overall appearance of the gas. That's what it means to have high entropy.9
+  In principle, as with the pages of War and Peace, we could use the laws of classical physics to determine precisely where each carbon dioxide molecule will be at a given moment of time. But because of the enormous number of CO2 molecules-about 1024 in a bottle of Coke-actually carrying out such calculations is practically impossible. And even if, somehow, we were able to do so, having a list of a million billion billion particle positions and velocities would hardly give us a sense of how the molecules were distributed. Focusing on big-picture statistical features- is the gas spread out or bunched up, that is, does it have high or low entropy?-is far more illuminating.
+Entropy, the Second Law, and the Arrow of Time
+The tendency of physical systems to evolve toward states of higher entropy is known as the second law of thermodynamics. (The first law is the familiar conservation of energy.) As above, the basis of the law is simple statistical reasoning: there are more ways for a system to have higher entropy, and "more ways" means it is more likely that a system will evolve into one of these high-entropy configurations. Notice, though, that this is not a law in the conventional sense since, although such events are rare and unlikely, something can go from a state of high entropy to one of lower entropy. When you toss a jumbled stack of pages into the air and then gather them into a neat pile, they can turn out to be in perfect numerical order. You wouldn't want to place a high wager on its happening, but it is possible. It is also possible that the bumping and jostling will be just right to cause all the dispersed carbon dioxide molecules to move in concert and swoosh back into your open bottle of Coke. Don't hold your breath waiting for this outcome either, but it can happen.10
+  The large number of pages in War and Peace and the large number of gas molecules in the room are what makes the entropy difference between the disordered and ordered arrangements so huge, and what causes low-entropy outcomes to be so terribly unlikely. If you tossed only two double-sided pages in the air over and over again, you'd find that they landed in the correct order about 12.5 percent of the time. With three pages this would drop to about 2 percent of the tosses, with four pages it's about .3 percent, with five pages it's about .03 percent, with six pages it's about .002 percent, with ten pages it's .000000027 percent, and with 693 pages the percentage of tosses that would yield the correct order is so small-it involves so many zeros after the decimal point-that I've been convinced by the publisher not to use another page to write it out explicitly. Similarly, if you dropped only two gas molecules side by side into an empty Coke bottle, you'd find that at room temperature their random motion would bring them back together (within a millimeter of each other), on average, roughly every few seconds. But for a group of three molecules, you'd have to wait days, for four molecules you'd have to wait years, and for an initial dense blob of a million billion billion molecules it would take a length of time far greater than the current age of the universe for their random, dispersive motion to bring them back together into a small, ordered bunch. With more certainty than death and taxes, we can count on systems with many constituents evolving toward disorder.
+  Although it may not be immediately apparent, we have now come to an intriguing point. The second law of thermodynamics seems to have given us an arrow of time, one that emerges when physical systems have a large number of constituents. If you were to watch a film of a couple of carbon dioxide molecules that had been placed together in a small box (with a tracer showing the movements of each), you'd be hard pressed to say whether the film was running forward or in reverse. The two molecules would flit this way and that, sometimes coming together, sometimes moving apart, but they would not exhibit any gross, overall behavior distinguishing one direction in time from the reverse. However, if you were to watch a film of 1024 carbon dioxide molecules that had been placed together in the box (as a small, dense cloud of molecules, say), you could easily determine whether the film was being shown forward or in reverse: it is overwhelmingly likely that the forward time direction is the one in which the gas molecules become more and more uniformly spread out, achieving higher and higher entropy. If, instead, the film showed uniformly dispersed gas molecules swooshing together into a tight group, you'd immediately recognize that you were watching it in reverse.
+  The same reasoning holds for essentially all the things we encounter in daily life-things, that is, which have a large number of constituents: the forward-in-time arrow points in the direction of increasing entropy. If you watch a film of a glass of ice water placed on a bar, you can determine which direction is forward in time by checking that the ice melts-its H2O molecules disperse throughout the glass, thereby achieving higher entropy. If you watch a film of a splattering egg, you can determine which direction is forward in time by checking that the egg's constituents become more and more disordered-that the egg splatters rather than unsplatters, thereby also achieving higher entropy.
+  As you can see, the concept of entropy provides a precise version of the "easy versus difficult" conclusion we found earlier. It's easy for the pages of War and Peace to fall out of order because there are so many out-of-order arrangements. It's difficult for the pages to fall in perfect order because hundreds of pages would need to move in just the right way to land in the unique sequence Tolstoy intended. It's easy for an egg to splatter because there are so many ways to splatter. It's difficult for an egg to unsplatter, because an enormous number of splattered constituents must move in perfect coordination to produce the single, unique result of a pristine egg resting on the counter. For things with many constituents, going from lower to higher entropy-from order to disorder-is easy, so it happens all the time. Going from higher to lower entropy-from disorder to order-is harder, so it happens rarely, at best.
+  Notice, too, that this entropic arrow is not completely rigid; there is no claim that this definition of time's direction is 100 percent foolproof. Instead, the approach has enough flexibility to allow these and other processes to happen in reverse as well. Since the second law proclaims that entropy increase is only a statistical likelihood, not an inviolable fact of nature, it allows for the rare possibility that pages can fall into perfect numerical order, that gas molecules can coalesce and reenter a bottle, and that eggs can unsplatter. By using the mathematics of entropy, the second law expresses precisely how statistically unlikely these events are (remember, the huge number on this page-this page reflects how much more likely it is that pages will land out of order), but it recognizes that they can happen.
+  This seems like a convincing story. Statistical and probabilistic reasoning has given us the second law of thermodynamics. In turn, the second law has provided us with an intuitive distinction between what we call past and what we call future. It has given us a practical explanation for why things in daily life, things that are typically composed of huge numbers of constituents, start like this and end like that, while we never see them start like that and end like this. But over the course of many years- and thanks to important contributions by physicists like Lord Kelvin, Josef Loschmidt, Henri Poincaré, S. H. Burbury, Ernst Zermelo, and Willard Gibbs-Ludwig Boltzmann came to appreciate that the full story of time's arrow is more surprising. Boltzmann realized that although entropy had illuminated important aspects of the puzzle, it had not answered the question of why the past and the future seem so different. Instead, entropy had redefined the question in an important way, one that leads to an unexpected conclusion.
+Entropy: Past and Future
+Earlier, we introduced the dilemma of past versus future by comparing our everyday observations with properties of Newton's laws of classical physics. We emphasized that we continually experience an obvious directionality to the way things unfold in time but the laws themselves treat what we call forward and backward in time on an exactly equal footing. As there is no arrow within the laws of physics that assigns a direction to time, no pointer that declares, "Use these laws in this temporal orientation but not in the reverse," we were led to ask: If the laws underlying experience treat both temporal orientations symmetrically, why are the experiences themselves so temporally lopsided, always happening in one direction but not the other? Where does the observed and experienced directionality of time come from?
+  In the last section we seemed to have made progress, through the second law of thermodynamics, which apparently singles out the future as the direction in which entropy increases. But on further thought it's not that simple. Notice that in our discussion of entropy and the second law, we did not modify the laws of classical physics in any way. Instead, all we did was use the laws in a "big picture" statistical framework: we ignored fine details (the precise order of War and Peace's unbound pages, the precise locations and velocities of an egg's constituents, the precise locations and velocities of a bottle of Coke's CO2 molecules) and instead focused our attention on gross, overall features (pages ordered vs. unordered, egg splattered vs. not splattered, gas molecules spread out vs. not spread out). We found that when physical systems are sufficiently complicated (books with many pages, fragile objects that can splatter into many fragments, gas with many molecules), there is a huge difference in entropy between their ordered and disordered configurations. And this means that there is a huge likelihood that the systems will evolve from lower to higher entropy, which is a rough statement of the second law of thermodynamics. But the key fact to notice is that the second law is  derivative: it is merely a consequence of probabilistic reasoning applied to Newton's laws of motion.
+  This leads us to a simple but astounding point: Since Newton's laws of physics have no built-in temporal orientation, all of the reasoning we have used to argue that systems will evolve from lower to higher entropy toward the future works equally well when applied toward the past. Again, since the underlying laws of physics are time-reversal symmetric, there is no way for them even to distinguish between what we call the past and what we call the future. Just as there are no signposts in the deep darkness of empty space that declare this direction up and that direction down, there is nothing in the laws of classical physics that says this direction is time future and that direction is time past. The laws offer no temporal orientation; it's a distinction to which they are completely insensitive. And since the laws of motion are responsible for how things change-both toward what we call the future and toward what we call the past-the statistical/probabilistic reasoning behind the second law of thermodynamics applies equally well in both temporal directions. Thus, not only is there an overwhelming probabilitythat the entropy of a physical system will be higher in what we call the future, but there is the same overwhelming probability that it was higher in what we call the past. We illustrate this in Figure 6.2.
+  This is the key point for all that follows, but it's also deceptively subtle. A common misconception is that if, according to the second law of thermodynamics, entropy increases toward the future, then entropy necessarily  decreases toward the past. But that's where the subtlety comes in. The second law actually says that if at any given moment of interest, a physical system happens not to possess the maximum possible entropy, it is extraordinarily likely that the physical system will subsequently have and previously had more entropy. That's the content of Figure 6.2b. With laws that are blind to the past-versus-future distinction, such time symmetry is inevitable.
+
+Figure 6.2 (a) As it's usually described, the second law of thermodynamics implies that entropy increases toward the future of any given moment. (b) Since the known laws of nature treat forward and backward in time identically, the second law actually implies that entropy increases both toward the future and toward the past from any given moment.
+  That's the essential lesson. It tells us that the entropic arrow of time is double-headed. From any specified moment, the arrow of entropy increase points toward the future and toward the past. And that makes it decidedly awkward to propose entropy as the explanation of the one-way arrow of experiential time.
+  Think about what the double-headed entropic arrow implies in concrete terms. If it's a warm day and you see partially melted ice cubes in a glass of water, you have full confidence that half an hour later the cubes will be more melted, since the more melted they are, the more entropy they have.11 But you should have exactly the same confidence that half an hour earlier they were also more melted, since exactly the same statistical reasoning implies that entropy should increase toward the past. And the same conclusion applies to the countless other examples we encounter every day. Your assuredness that entropy increases toward the future- from partially dispersed gas molecules' further dispersing to partially jumbled page orders' getting more jumbled-should be matched by exactly the same assuredness that entropy was also higher in the past.
+  The troubling thing is that half of these conclusions seem to be flatout wrong. Entropic reasoning yields accurate and sensible conclusions when applied in one time direction, toward what we call the future, but gives apparently inaccurate and seemingly ridiculous conclusions when applied toward what we call the past. Glasses of water with partially melted ice cubes do not usually start out as glasses of water with no ice cubes in which molecules of water coalesce and cool into chunks of ice, only to start melting once again. Unbound pages of War and Peace do not usually start thoroughly out of numerical order and through subsequent tosses get less jumbled, only to start getting more jumbled again. And going back to the kitchen, eggs do not generally start out splattered, and then coalesce into a pristine whole egg, only to splatter some time later.
+  Or do they?
+Following the Math
+Centuries of scientific investigations have shown that mathematics provides a powerful and incisive language for analyzing the universe. Indeed, the history of modern science is replete with examples in which the math made predictions that seemed counter to both intuition and experience (that the universe contains black holes, that the universe has anti-matter, that distant particles can be entangled, and so on) but which experiments and observations were ultimately able to confirm. Such developments have impressed themselves profoundly on the culture of theoretical physics. Physicists have come to realize that mathematics, when used with sufficient care, is a proven pathway to truth.
+  So, when a mathematical analysis of nature's laws shows that entropy should be higher toward the future and toward the past of any given moment, physicists don't dismiss it out of hand. Instead, something akin to a physicists' Hippocratic oath impels researchers to maintain a deep and healthy skepticism of the apparent truths of human experience and, with the same skeptical attitude, diligently follow the math and see where it leads. Only then can we properly assess and interpret any remaining mismatch between physical law and common sense.
+  Toward this end, imagine it's 10:30 p.m. and for the past half hour you've been staring at a glass of ice water (it's a slow night at the bar), watching the cubes slowly melt into small, misshapen forms. You have absolutely no doubt that a half hour earlier the bartender put fully formed ice cubes into the glass; you have no doubt because you trust your memory. And if, by some chance, your confidence regarding what happened during the last half hour should be shaken, you can ask the guy across the way, who was also watching the ice cubes melt (it's a really slow night at the bar), or perhaps check the video taken by the bar's surveillance camera, both of which would confirm that your memory is accurate. If you were then to ask yourself what you expect to happen to the ice cubes during the next half hour, you'd probably conclude that they'd continue to melt. And, if you'd gained sufficient familiarity with the concept of entropy, you'd explain your prediction by appealing to the overwhelming likelihood that entropy will increase from what you see, right now at 10:30 p.m., toward the future. All that makes good sense and jibes with our intuition and experience.
+  But as we've seen, such entropic reasoning-reasoning that simply says things are more likely to be disordered since there are more ways to be disordered, reasoning which is demonstrably powerful at explaining how things unfold toward the future-proclaims that entropy is just as likely to also have been higher in the past. This would mean that the partially melted cubes you see at 10:30 p.m. would actually have been  more melted at earlier times; it would mean that at 10:00 p.m. they did not begin as solid ice cubes, but, instead, slowly coalesced out of room-temperature water on the way to 10:30 p.m., just as surely as they will slowly melt into room-temperature water on their way to 11:00 p.m.
+  No doubt, that sounds weird-or perhaps you'd say nutty. To be true, not only would H2O molecules in a glass of room-temperature water have to coalesce spontaneously into partially formed cubes of ice, but the digital bits in the surveillance camera, as well as the neurons in your brain and those in the brain of the guy across the way, would all need to spontaneously arrange themselves by 10:30 p.m. to attest to there having been a collection of fully formed ice cubes that melted, even though there never was. Yet this bizarre-sounding conclusion is where a faithful application of entropic reasoning-the same reasoning that you embrace without hesitation to explain why the partially melted ice you see at 10:30 p.m. continues to melt toward 11:00 p.m.-leads when applied in the time-symmetric manner dictated by the laws of physics. This is the trouble with having fundamental laws of motion with no inbuilt distinction between past and future, laws whose mathematics treats the future and past of any given moment in exactly the same way.12
+  Rest assured that we will shortly find a way out of the strange place to which an egalitarian use of entropic reasoning has taken us; I'm not going to try to convince you that your memories and records are of a past that never happened (apologies to fans of The Matrix). But we will find it very useful to pinpoint precisely the disjuncture between intuition and the mathematical laws. So let's keep following the trail.
+A Quagmire
+Your intuition balks at a past with higher entropy because, when viewed in the usual forward-time unfolding of events, it would require a spontaneous rise in order: water molecules spontaneously cooling to 0 degrees Celsius and turning into ice, brains spontaneously acquiring memories of things that didn't happen, video cameras spontaneously producing images of things that never were, and so on, all of which seem extraordinarily unlikely-a proposed explanation of the past at which even Oliver Stone would scoff. On this point, the physical laws and the mathematics of entropy agree with your intuition completely. Such a sequence of events, when viewed in the forward time direction from 10 p.m. to 10:30 p.m., goes against the grain of the second law of thermodynamics-it results in a decrease in entropy-and so, although not impossible, it is very unlikely.
+  By contrast, your intuition and experience tell you that a far more likely sequence of events is that ice cubes that were fully formed at 10 p.m. partially melted into what you see in your glass, right now, at 10:30 p.m. But on this point, the physical laws and mathematics of entropy only partly agree with your expectation. Math and intuition concur that if  there really were fully formed ice cubes at 10 p.m., then the most likely sequence of events would be for them to melt into the partial cubes you see at 10:30 p.m.: the resulting increase in entropy is in line both with the second law of thermodynamics and with experience. But where math and intuition deviate is that our intuition, unlike the math, fails to take account of the likelihood, or lack thereof, of actually having fully formed ice cubes at 10 p.m., given the one observation we are taking as unassailable, as fully trustworthy, that right now, at 10:30 p.m., you see partially  melted cubes.
+  This is the pivotal point, so let me explain. The main lesson of the second law of thermodynamics is that physical systems have an overwhelming tendency to be in high-entropy configurations because there are so many ways such states can be realized. And once in such high-entropy states, physical systems have an overwhelming tendency to stay in them. High entropy is the natural state of being. You should never be surprised by or feel the need to explain why any physical system is in a high-entropy state. Such states are the norm. On the contrary, what does need explaining is why any given physical system is in a state of order, a state of low entropy. These states are not the norm. They can certainly happen. But from the viewpoint of entropy, such ordered states are rare aberrations that cry out for explanation. So the one fact in the episode we are taking as unquestionably true-your observation at 10:30 p.m. of low-entropy partially formed ice cubes-is a fact in need of an explanation.
+  And from the point of view of probability, it is absurd to explain this low-entropy state by invoking the even lower-entropy state, the  even less likely state, that at 10 p.m. there were even more ordered, more fully formed ice cubes being observed in a more pristine,  more ordered environment. Instead, it is enormously more likely that things began in an unsurprising, totally normal, high-entropy state: a glass of uniform liquid water with absolutely no ice. Then, through an unlikely but every-so-often-expectable statistical fluctuation, the glass of water went against the grain of the second law and evolved to a state of lower entropy in which partially formed ice cubes appeared. This evolution, although requiring rare and unfamiliar processes, completely avoids the even lower-entropy, the even less likely, the even more rare state of having fully formed ice cubes. At every moment between 10 p.m. and 10:30 p.m., this strange-sounding evolution has higher entropy than the normal ice-melting scenario, as you can see in Figure 6.3, and so it realizes the accepted observation at 10:30 p.m. in a way that is more likely-hugely more likely-than the scenario in which fully formed ice cubes melt.13 That is the crux of the matter.13
+
+Figure 6.3 A comparison of two proposals for how the ice cubes got to their partially melted state, right now, at 10:30 p.m. Proposal 1 aligns with your memories of melting ice, but requires a comparatively low-entropy starting point at 10:00 p.m. Proposal 2 challenges your memories by describing the partially melted ice you see at 10:30 p.m. as having coalesced out of a glass of water, but starts off in a high-entropy, highly probable configuration of disorder at 10:00 p.m. Every step of the way toward 10:30 p.m., Proposal 2 involves states that are more likely than those in Proposal 1-because, as you can see in the graph, they have higher entropy-and so Proposal 2 is statistically favored.
+  It was a small step for Boltzmann to realize that the whole of the universe is subject to this same analysis. When you look around the universe right now, what you see reflects a great deal of biological organization, chemical structure, and physical order. Although the universe could be a totally disorganized mess, it's not. Why is this? Where did the order come from? Well, just as with the ice cubes, from the standpoint of probability it is extremely unlikely that the universe we see evolved from an even more ordered-an even less likely-state in the distant past that has slowly unwound to its current form. Rather, because the cosmos has so many constituents, the scales of ordered versus disordered are magnified intensely. And so what's true at the bar is true with a vengeance for the whole universe: it is far more likely-breathtakingly more likely-that the whole universe we now see arose as a statistically rare fluctuation from a normal, unsurprising, high-entropy, completely disordered configuration.
+  Think of it this way: if you toss a handful of pennies over and over again, sooner or later they will all land heads. If you have nearly the infinite patience needed to throw the jumbled pages of War and Peace in the air over and over again, sooner or later they will land in correct numerical order. If you wait with your open bottle of flat Coke, sooner or later the random jostling of the carbon dioxide molecules will cause them to reenter the bottle. And, for Boltzmann's kicker, if the universe waits long enough-for nearly an eternity, perhaps-its usual, high-entropy, highly probable, totally disordered state will, through its own bumping, jostling, and random streaming of particles and radiation, sooner or later just happen to coalesce into the configuration that we all see right now. Our bodies and brains would emerge fully formed from the chaos-stocked with memories, knowledge, and skills-even though the past they seem to reflect would never really have happened. Everything we know about, everything we value, would amount to nothing more than a rare but every-so-often-expectable statistical fluctuation momentarily interrupting a near eternity of disorder. This is schematically illustrated in Figure 6.4.
+
+Figure 6.4 A schematic graph of the universe's total entropy through time. The graph shows the universe spending most of its time in a state of total disorder-a state of high entropy-and every so often experiencing fluctuations to states of varying degrees of order, varying states of lower entropy. The greater the entropy dip, the less likely the fluctuation. Significant dips in entropy, to the kind of order in the universe today, are extremely unlikely and would happen very rarely.
+Taking a Step Back
+When I first encountered this idea many years ago, it was a bit of a shock. Up until that point, I had thought I understood the concept of entropy fairly well, but the fact of the matter was that, following the approach of textbooks I'd studied, I'd only ever considered entropy's implications for the future. And, as we've just seen, while entropy applied toward the future confirms our intuition and experience, entropy applied toward the past just as thoroughly contradicts them. It wasn't quite as bad as suddenly learning that you've been betrayed by a longtime friend, but for me, it was pretty close.
+  Nevertheless, sometimes it's good not to pass judgment too quickly, and entropy's apparent failure to live up to expectations provides a case in point. As you're probably thinking, the idea that all we're familiar with just popped into existence is as tantalizing as it is hard to swallow. And it's not "merely" that this explanation of the universe challenges the veracity of everything we hold to be real and important. It also leaves critical questions unanswered. For instance, the more ordered the universe is today- the greater the dip in Figure 6.4-the more surprising and unlikely is the statistical aberration required to bring it into existence. So if the universe could have cut any corners, making things look more or less like what we see right now while skimping on the actual amount of order, probabilistic reasoning leads us to believe it would have. But when we examine the universe, there seem to be numerous lost opportunities, since there are many things that are more ordered than they have to be. If Michael Jackson never recorded Thriller and the millions of copies of this album now distributed worldwide all got there as part of an aberrant fluctuation toward lower entropy, the aberration would have been far less extreme if only a million or a half-million or just a few albums had formed. If evolution never happened and we humans got here via an aberrant jump toward lower entropy, the aberration would have been far less extreme if there weren't such a consistent and ordered evolutionary fossil record. If the big bang never happened and the more than 100 billion galaxies we now see arose as an aberrant jump toward lower entropy, the aberration would have been less extreme if there were 50 billion, or 5,000, or just a handful, or just one galaxy. And so if the idea that our universe is a statistical fluctuation-a happy fluke-has any validity, one would need to address how and why the universe went so far overboard and achieved a state of such low entropy.
+  Even more pressing, if you truly can't trust memories and records, then you also can't trust the laws of physics. Their validity rests on numerous experiments whose positive outcomes are attested to only by those very same memories and records. So all the reasoning based on the time-reversal symmetry of the accepted laws of physics would be totally thrown into question, thereby undermining our understanding of entropy and the whole basis for the current discussion. By embracing the conclusion that the universe we know is a rare but every-so-often-expectable statistical fluctuation from a configuration of total disorder, we're quickly led into a quagmire in which we lose all understanding, including the very chain of reasoning that led us to consider such an odd explanation in the first place.14
+  Thus, by suspending disbelief and diligently following the laws of physics and the mathematics of entropy-concepts which in combination tell us that it is overwhelmingly likely that disorder will increase both toward the future and toward the past from any given moment-we have gotten ourselves neck deep in quicksand. And while that might not sound pleasant, for two reasons it's a very good thing. First, it shows with precision why mistrust of memories and records-something at which we intuitively scoff-doesn't make sense. Second, by reaching a point where our whole analytical scaffolding is on the verge of collapse, we realize, forcefully, that we must have left something crucial out of our reasoning.
+  Therefore, to avoid the explanatory abyss, we ask ourselves: what new idea or concept, beyond entropy and the time symmetry of nature's laws, do we need in order to go back to trusting our memories and our records-our experience of room-temperature ice cubes melting and not unmelting, of cream and coffee mixing but not unmixing, of eggs splattering but not unsplattering? In short, where are we led if we try to explain an asymmetric unfolding of events in spacetime, with entropy to our future higher, but entropy to our past lower? Is it possible?
+  It is. But only if things were very special early on.14
+The Egg, the Chicken, and the Big Bang
+To see what this means, let's take the example of a pristine, low-entropy, fully formed egg. How did this low-entropy physical system come into being? Well, putting our trust back in memories and records, we all know the answer. The egg came from a chicken. And that chicken came from an egg, which came from a chicken, which came from an egg, and so on. But, as emphasized most forcefully by the English mathematician Roger Penrose,15 this chicken-and-egg story actually teaches us something deep and leads somewhere definite.
+  A chicken, or any living being for that matter, is a physical system of astonishingly high order. Where does this organization come from and how is it sustained? A chicken stays alive, and in particular, stays alive long enough to produce eggs, by eating and breathing. Food and oxygen provide the raw materials from which living beings extract the energy they require. But there is a critical feature of this energy that must be emphasized if we are to really understand what's going on. Over the course of its life, a chicken that stays fit takes in just about as much energy in the form of food as it gives back to the environment, mostly in the form of heat and other waste generated by its metabolic processes and daily activities. If there weren't such a balance of energy-in and energy-out, the chicken would get increasingly hefty.
+  The essential point, though, is that all forms of energy are not equal. The energy a chicken gives off to the environment in the form of heat is highly disordered-it often results in some air molecules here or there jostling around a touch more quickly than they otherwise would. Such energy has high entropy-it is diffuse and intermingled with the environment-and so cannot easily be harnessed for any useful purpose. To the contrary, the energy the chicken takes in from its feed has low entropy and is readily harnessed for important life-sustaining activities. So the chicken, and every life form in fact, is a conduit for taking in low-entropy energy and giving off high-entropy energy.
+  This realization pushes the question of where the low entropy of an egg originates one step further back. How is it that the chicken's energy source, the food, has such low entropy? How do we explain this aberrant source of order? If the food is of animal origin, we are led back to the initial question of how animals have such low entropy. But if we follow the food chain, we ultimately come upon animals (like me) that eat only plants. How do plants and their products of fruits and vegetables maintain low entropy? Through photosynthesis, plants use sunlight to separate ambient carbon dioxide into oxygen, which is given back to the environment, and carbon, which the plants use to grow and flourish. So we can trace the low-entropy, nonanimal sources of energy to the sun.
+  This pushes the question of explaining low entropy another step further back: where did our highly ordered sun come from? The sun formed about 5 billion years ago from an initially diffuse cloud of gas that began to swirl and clump under the mutual gravitational attraction of all its constituents. As the gas cloud got denser, the gravitational pull of one part on another got stronger, causing the cloud to collapse further in on itself. And as gravity squeezed the cloud tighter, it got hotter. Ultimately, it got hot enough to ignite nuclear processes that generated enough outwardflowing radiation to stem further gravitational contraction of the gas. A hot, stable, brightly burning star was born.
+  So where did the diffuse cloud of gas come from? It likely formed from the remains of older stars that reached the end of their lives, went supernova, and spewed their contents out into space. Where did the diffuse gas responsible for these early stars come from? We believe that the gas was formed in the aftermath of the big bang. Our most refined theories of the origin of the universe-our most refined cosmological theories-tell us that by the time the universe was a couple of minutes old, it was filled with a nearly uniform hot gas composed of roughly 75 percent hydrogen, 23 percent helium, and small amounts of deuterium and lithium. The essential point is that this gas filling the universe had extraordinarily low entropy. The big bang started the universe off in a state of low entropy, and that state appears to be the source of the order we currently see. In other words,  the current order is a cosmological relic. Let's discuss this important realization in a little more detail.
+Entropy and Gravity
+Because theory and observation show that within a few minutes after the big bang, primordial gas was uniformly spread throughout the young universe, you might think, given our earlier discussion of the Coke and its carbon dioxide molecules, that the primordial gas was in a high-entropy, disordered state. But this turns out not to be true. Our earlier discussion of entropy completely ignored gravity, a sensible thing to do because gravity hardly plays a role in the behavior of the minimal amount of gas emerging from a bottle of Coke. And with that assumption, we found that uniformly dispersed gas has high entropy. But when gravity matters, the story is very different. Gravity is a universally attractive force; hence, if you have a large enough mass of gas, every region of gas will pull on every other and this will cause the gas to fragment into clumps, somewhat as surface tension causes water on a sheet of wax paper to fragment into droplets. When gravity matters, as it did in the high-density early universe, clumpiness-not uniformity-is the norm; it is the state toward which a gas tends to evolve, as illustrated in Figure 6.5.
+  Even though the clumps appear to be more ordered than the initially diffuse gas-much as a playroom with toys that are neatly grouped in trunks and bins is more ordered than one in which the toys are uniformly strewn around the floor-in calculating entropy you need to tally up the contributions from all sources. For the playroom, the entropy decrease in going from wildly strewn toys to their all being "clumped" in trunks and bins is more than compensated for by the entropy increase from the fat burned and heat generated by the parents who spent hours cleaning and arranging everything. Similarly, for the initially diffuse gas cloud, you find that the entropy decrease through the formation of orderly clumps is more than compensated by the heat generated as the gas compresses, and, ultimately, by the enormous amount of heat and light released when nuclear processes begin to take place.
+
+Figure 6.5 For huge volumes of gas, when gravity matters, atoms and molecules evolve from a smooth, evenly spread configuration, into one involving larger and denser clumps.
+  This is an important point that is sometimes overlooked. The overwhelming drive toward disorder does not mean that orderly structures like stars and planets, or orderly life forms like plants and animals, can't form. They can. And they obviously do. What the second law of thermodynamics entails is that in the formation of order there is generally a more-than-compensating generation of disorder. The entropy balance sheet is still in the black even though certain constituents have become more ordered. And of the fundamental forces of nature, gravity is the one that exploits this feature of the entropy tally to the hilt. Because gravity operates across vast distances and is universally attractive, it instigates the formation of the ordered clumps-stars-that give off the light we see in a clear night sky, all in keeping with the net balance of entropy increase.
+  The more squeezed, dense, and massive the clumps of gas are, the larger the overall entropy. Black holes, the most extreme form of gravitational clumping and squeezing in the universe, take this to the limit. The gravitational pull of a black hole is so strong that nothing, not even light, is able to escape, which explains why black holes are black. Thus, unlike ordinary stars, black holes stubbornly hold on to all the entropy they produce: none of it can escape the black hole's powerful gravitational grip.16 In fact, as we will discuss in Chapter 16, nothing in the universe contains more disorder-more entropy-than a black hole.15 This makes good intuitive sense: high entropy means that many rearrangements of the constituents of an object go unnoticed. Since we can't see inside a black hole, it is impossible for us to detect any rearrangement of its constituents- whatever those constituents may be-and hence black holes have maximum entropy. When gravity flexes its muscles to the limit, it becomes the most efficient generator of entropy in the known universe.
+  We have now come to the place where the buck finally stops.  The ultimate source of order, of low entropy, must be the big bang itself. In its earliest moments, rather than being filled with gargantuan containers of entropy such as black holes, as we would expect from probabilistic considerations, for some reason the nascent universe was filled with a hot, uniform, gaseous mixture of hydrogen and helium. Although this configuration has high entropy when densities are so low that we can ignore gravity, the situation is otherwise when gravity can't be ignored; then, such a uniform gas has extremely low entropy. In comparison with black holes, the diffuse, nearly uniform gas was in an extraordinarily low-entropy state. Ever since, in accordance with the second law of thermodynamics, the overall entropy of the universe has been gradually getting higher and higher; the overall, net amount of disorder has been gradually increasing. After about a billion years or so, gravity caused the primordial gas to clump, and the clumps ultimately formed stars, galaxies, and some lighter clumps that became planets. At least one such planet had a nearby star that provided a relatively low-entropy source of energy that allowed low-entropy life forms to evolve, and among such life forms there eventually was a chicken that laid an egg that found its way to your kitchen counter, and much to your chagrin that egg continued on the relentless trajectory to a higher entropic state by rolling off the counter and splattering on the floor. The egg splatters rather than unsplatters because it is carrying forward the drive toward higher entropy that was initiated by the extraordinarily low entropy state with which the universe began. Incredible order at the beginning is what started it all off, and we have been living through the gradual unfolding toward higher disorder ever since.
+  This is the stunning connection we've been leading up to for the entire chapter. A splattering egg tells us something deep about the big bang. It tells us that the big bang gave rise to an extraordinarily ordered nascent cosmos.
+  The same idea applies to all other examples. The reason why tossing the newly unbound pages of War and Peace into the air results in a state of higher entropy is that they began in such a highly ordered, low entropy form. Their initial ordered form made them ripe for entropy increase. By contrast, if the pages initially were totally out of numerical order, tossing them in the air would hardly make a difference, as far as entropy goes. So the question, once again, is: how did they become so ordered? Well, Tolstoy wrote them to be presented in that order and the printer and binder followed his instructions. And the highly ordered bodies and minds of Tolstoy and the book producers, which allowed them, in turn, to create a volume of such high order, can be explained by following the same chain of reasoning we just followed for an egg, once again leading us back to the big bang. How about the partially melted ice cubes you saw at 10:30 p.m.? Now that we are trusting memories and records, you remember that just before 10 p.m. the bartender put fully formed ice cubes in your glass. He got the ice cubes from a freezer, which was designed by a clever engineer and fabricated by talented machinists, all of whom are capable of creating something of such high order because they themselves are highly ordered life forms. And again, we can sequentially trace their order back to the highly ordered origin of the universe.
+The Critical Input
+The revelation we've come to is that we can trust our memories of a past with lower, not higher, entropy only if the big bang-the process, event, or happening that brought the universe into existence-started off the universe in an extraordinarily special, highly ordered state of low entropy. Without that critical input, our earlier realization that entropy should increase toward both the future and the past from any given moment would lead us to conclude that all the order we see arose from a chance fluctuation from an ordinary disordered state of high entropy, a conclusion, as we've seen, that undermines the very reasoning on which it's based. But by including the unlikely, low-entropy starting point of the universe in our analysis, we now see that the correct conclusion is that entropy increases toward the future, since probabilistic reasoning operates fully and without constraint in that direction; but entropy does not increase toward the past, since  that use of probability would run afoul of our new proviso that the universe began in a state of low, not high, entropy.17 Thus, conditions at the birth of the universe are critical to directing time's arrow.  The future is indeed the direction of increasing entropy. The arrow of time-the fact that things start like this and end like that but never start like that and end like this-began its flight in the highly ordered, low-entropy state of the universe at its inception.18
+The Remaining Puzzle
+That the early universe set the direction of time's arrow is a wonderful and satisfying conclusion, but we are not done. A huge puzzle remains. How is it that the universe began in such a highly ordered configuration, setting things up so that for billions of years to follow everything could slowly evolve through steadily less ordered configurations toward higher and higher entropy? Don't lose sight of how remarkable this is. As we emphasized, from the standpoint of probability it is much more likely that the partially melted ice cubes you saw at 10:30 p.m. got there because a statistical fluke acted itself out in a glass of liquid water, than that they originated in the even less likely state of fully formed ice cubes. And what's true for ice cubes is true a gazillion times over for the whole universe. Probabilistically speaking, it is mind-bogglingly more likely that everything we now see in the universe arose from a rare but every-so-often-expectable statistical aberration away from total disorder, rather than having slowly evolved from the even more unlikely, the incredibly more ordered, the astoundingly low-entropy starting point required by the big bang.19
+  Yet, when we went with the odds and imagined that everything popped into existence by a statistical fluke, we found ourselves in a quagmire: that route called into question the laws of physics themselves. And so we are inclined to buck the bookies and go with a low-entropy big bang as the explanation for the arrow of time. The puzzle then is to explain how the universe began in such an unlikely, highly ordered configuration. That is the question to which the arrow of time points. It all comes down to cosmology.20
+  We will take up a detailed discussion of cosmology in Chapters 8 through 11, but notice first that our discussion of time suffers from a serious shortcoming: everything we've said has been based purely on classical physics. Let's now consider how quantum mechanics affects our understanding of time and our pursuit of its arrow.
+7
+Time and the Quantum
+INSIGHTS INTO TIME'S NATURE FROM THE QUANTUM REALM
+When we think about something like time, something we are within, something that is fully integrated into our day-to-day existence, something that is so pervasive, it is impossible to excise-even momentarily-from common language, our reasoning is shaped by the preponderance of our experiences. These day-to-day experiences are classical experiences; with a high degree of accuracy, they conform to the laws of physics set down by Newton more than three centuries ago. But of all the discoveries in physics during the last hundred years, quantum mechanics is far and away the most startling, since it undermines the whole conceptual schema of classical physics.
+  So it is worthwhile to expand upon our classical experiences by considering some experiments that reveal eyebrow-raising features of how quantum processes unfold in time. In this broadened context, we will then continue the discussion of the last chapter and ask whether there is a temporal arrow in the quantum mechanical description of nature. We will come to an answer, but one that is still controversial, even among physicists. And once again it will take us back to the origin of the universe.
+The Past According to the Quantum
+Probability played a central role in the last chapter, but as I stressed there a couple of times, it arose only because of its practical convenience and the utility of the information it provides. Following the exact motion of the 1024 H2O molecules in a glass of water is well beyond our computational capacity, and even if it were possible, what would we do with the resulting mountain of data? To determine from a list of 1024 positions and velocities whether there were ice cubes in the glass would be a Herculean task. So we turned instead to probabilistic reasoning, which is computationally tractable and, moreover, deals with the macroscopic properties- order versus disorder; for example, ice versus water-we are generally interested in. But keep in mind that probability is by no means fundamentally stitched into the fabric of classical physics. In principle, if we knew precisely how things were now-knew the positions and velocities of every single particle making up the universe-classical physics says we could use that information to predict how things would be at any given moment in the future or how they were at any given moment in the past. Whether or not you actually follow its moment-to-moment development, according to classical physics you can talk about the past and the future, in principle, with a confidence that is controlled by the detail and the accuracy of your observations of the present.1
+  Probability will also play a central role in this chapter. But because probability is an inescapable element of quantum mechanics, it fundamentally alters our conceptualization of past and future. We've already seen that quantum uncertainty prevents simultaneous knowledge of exact positions and exact velocities. Correspondingly, we've also seen that quantum physics predicts only the probability that one or another future will be realized. We have confidence in these probabilities, to be sure, but since they are probabilities we learn that there is an unavoidable element of chance when it comes to predicting the future.
+  When it comes to describing the past, there is also a critical difference between classical and quantum physics. In classical physics, in keeping with its egalitarian treatment of all moments in time, the events leading up to something we observe are described using exactly the same language, employing exactly the same attributes, we use to describe the observation itself. If we see a fiery meteor in the night sky, we talk of its position and its velocity; if we reconstruct how it got there, we also talk of a unique succession of positions and velocities as the meteor hurtled through space toward earth. In quantum physics, though, once we observe something we enter the rarefied realm in which we know something with 100 percent certainty (ignoring issues associated with the accuracy of our equipment, and the like). But the past-by which we specifically mean the "unobserved" past, the time before we, or anyone, or anything has carried out a given observation-remains in the usual realm of quantum uncertainty, of probabilities. Even though we measure an electron's position as right here right now, a moment ago all it had were probabilities of being here, or there, or way over there.
+  And as we've seen, it is not that the electron (or any particle for that matter) really was located at only one of these possible positions, but we simply don't know which.2 Rather, there is a sense in which the electron was at all of the locations, because each of the possibilities-each of the possible histories-contributes to what we now observe. Remember, we saw evidence of this in the experiment, described in Chapter 4, in which electrons were forced to pass through two slits. Classical physics, which relies on the commonly held belief that happenings have unique, conventional histories, would say that any electron that makes it to the detector screen went through either the left slit or the right slit. But this view of the past would lead us astray: it would predict the results illustrated in Figure 4.3a, which do not agree with what actually happens, as illustrated in Figure 4.3b. The observed interference pattern can be explained only by invoking an overlap between something that passes through both slits.
+  Quantum physics provides just such an explanation, but in doing so it drastically changes our stories of the past-our descriptions of how the particular things we observe came to be. According to quantum mechanics, each electron's probability wave does pass through both slits, and because the parts of the wave emerging from each slit commingle, the resulting probability profile manifests an interference pattern, and hence the electron landing positions do, too.
+  Compared with everyday experience, this description of the electron's past in terms of criss-crossing waves of probability is thoroughly unfamiliar. But, throwing caution to the wind, you might suggest taking this quantum mechanical description one step further, leading to a yet more bizarre-sounding possibility. Maybe each individual electron itself actually travels through both slits on its way to the screen, and the data result from an interference between these two classes of histories. That is, it's tempting to think of the waves emerging from the two slits as representing two possible histories for an individual electron-going through the left slit or going through the right slit-and since both waves contribute to what we observe on the screen, perhaps quantum mechanics is telling us that both potential histories of the electron contribute as well.
+  Surprisingly, this strange and wonderful idea-the brainchild of the Nobel laureate Richard Feynman, one of the twentieth century's most creative physicists-provides a perfectly viable way of thinking about quantum mechanics. According to Feynman, if there are alternative ways in which a given outcome can be achieved-for instance, an electron hits a point on the detector screen by traveling through the left slit, or hits the same point on the screen but by traveling through the right slit-then there is a sense in which the alternative histories all happen, and happen simultaneously. Feynman showed that each such history would contribute to the probability that their common outcome would be realized, and if these contributions were correctly added together, the result would agree with the total probability predicted by quantum mechanics.
+  Feynman called this the sum over histories approach to quantum mechanics; it shows that a probability wave embodies all possible pasts that could have preceded a given observation, and illustrates well that to succeed where classical physics failed, quantum mechanics had to substantially broaden the framework of history.3
+To Oz
+There is a variation on the double-slit experiment in which the interference between alternative histories is made even more evident because the two routes to the detector screen are more fully separated. It is a little easier to describe the experiment using photons rather than electrons, so we begin with a photon source-a laser-and we fire it toward what is known as a beam splitter. This device is made from a half-silvered mirror, like the kind used for surveillance, which reflects half of the light that hits it while allowing the other half to pass through. The initial single light beam is thus split in two, the left beam and the right beam, similar to what happens to a light beam that impinges on the two slits in the double-slit setup. Using judiciously placed fully reflecting mirrors, as in Figure 7.1, the two beams are brought back together further downstream at the location of the detector. Treating the light as a wave, as in the description by Maxwell, we expect-and, indeed, we find-an interference pattern on the screen. The length of the journey to all but the center point on the screen is slightly different for the left and right routes and so while the left beam might be reaching a peak at a given point on the detector screen, the right beam might be reaching a peak, a trough, or something in between. The detector records the combined height of the two waves and hence has the characteristic interference pattern.
+
+Figure 7.1 (a) In a beam-splitter experiment, laser light is split into two beams that travel two separate paths to the detector screen. (b) The laser can be turned down so that it fires individual photons; over time, the photon impact locations build up an interference pattern.
+  The classical/quantum distinction becomes apparent as we drastically lower the intensity of the laser so that it emits photons singly, say, one every few seconds. When a single photon hits the beam splitter, classical intuition says that it will either pass through or will be reflected. Classical reasoning doesn't even allow a hint of any kind of interference, since there is nothing to interfere: all we have are single, individual, particulate photons passing from source to detector, one by one, some going left, some going right. But when the experiment is done, the individual photons recorded over time, much as in Figure 4.4, do yield an interference pattern, as in Figure 7.1b. According to quantum physics, the reason is that each detected photon could have gotten to the detector by the left route or by going via the right route. Thus, we are obliged to combine these two possible histories in determining the probability that a photon will hit the screen at one particular point or another. When the left and right probability waves for each individual photon are merged in this way, they yield the undulating probability pattern of wave interference. And so, unlike Dorothy, who is perplexed when the Scarecrow points both left and right in giving her directions to Oz, the data can be explained perfectly by imagining that each photon takes both left and right routes toward the detector.
+Prochoice
+Although we have described the merging of possible histories in the context of only a couple of specific examples, this way of thinking about quantum mechanics is general. Whereas classical physics describes the present as having a unique past, the probability waves of quantum mechanics enlarge the arena of history: in Feynman's formulation, the observed present represents an amalgam-a particular kind of average- of all possible pasts compatible with what we now see.
+  In the case of the double-slit and beam-splitter experiments, there are two ways for an electron or photon to get from the source to the detector screen-going left or going right-and only by combining the possible histories do we get an explanation for what we observe. If the barrier had three slits, we'd have to take account of three kinds of histories; with 300 slits, we'd need to include the contributions of the whole slew of resulting possible histories. Taking this to the limit, if we imagine cutting an enormous number of slits-so many, in fact, that the barrier effectively disappears-quantum physics says that each electron would then traverse every possible path on its way to a particular point on the screen, and only by combining the probabilities associated with each such history could we explain the resulting data. That may sound strange. (It is strange.) But this bizarre treatment of times past explains the data of Figure 4.4, Figure 7.1b, and every other experiment dealing with the microworld.
+  You might wonder how literally you should take the sum over histories description. Does an electron that strikes the detector screen really get there by traveling along all possible routes, or is Feynman's prescription merely a clever mathematical contrivance that gets the right answer? This is among the key questions for assessing the true nature of quantum reality, so I wish I could give you a definitive answer. But I can't. Physicists often find it extremely useful to envision a vast assemblage of combining histories; I use this picture in my own research so frequently that it certainly feels real. But that's not the same thing as saying that it is real. The point is that quantum calculations unambiguously tell us the probability that an electron will land at one or another point on the screen, and these predictions agree with the data, spot on. As far as the theory's verification and predictive utility are concerned, the story we tell of how the electron got to that point on the screen is of little relevance.
+  But surely, you'd continue to press, we can settle the issue of what really happens by changing the experimental setup so that we can also watch the supposed fuzzy mélange of possible pasts melding into the observed present. It's a good suggestion, but we already know that there has to be a hitch. In Chapter 4, we learned that probability waves are not directly observable; since Feynman's coalescing histories are nothing but a particular way of thinking about probability waves, they, too, must evade direct observation. And they do. Observations cannot tease apart individual histories; rather, observations reflect averages of all possible histories. So, if you change the setup to observe the electrons in flight, you will see each electron pass by your additional detector in one location or another; you will never see any fuzzy multiple histories. When you use quantum mechanics to explain why you saw the electron in one place or another, the answer will involve averaging over all possible histories that could have led to that intermediate observation. But the observation itself has access only to histories that have already merged. By looking at the electron in flight, you have merely pushed back the notion of what you mean by a history. Quantum mechanics is starkly efficient: it explains what you see but prevents you from seeing the explanation.
+  You might further ask: Why, then, is classical physics-commonsense physics-which describes motion in terms of unique histories and trajectories, at all relevant to the universe? Why does it work so well in explaining and predicting the motion of everything from baseballs to planets to comets? How come there is no evidence in day-to-day life of the strange way in which the past apparently unfolds into the present? The reason, discussed briefly in Chapter 4 and to be elaborated shortly with greater precision, is that baseballs, planets, and comets are comparatively large, at least when compared with particles like electrons. And in quantum mechanics, the larger something is, the more skewed the averaging becomes: All possible trajectories  do contribute to the motion of a baseball in flight, but the usual path-the one single path predicted by Newton's laws-contributes much more than do all other paths combined. For large objects, it turns out that classical paths are, by an enormous amount, the dominant contribution to the averaging process and so they are the ones we are familiar with. But when objects are small, like electrons, quarks, and photons, many different histories contribute at roughly the same level and hence all play important parts in the averaging process.
+  You might finally ask: What is so special about the act of observing or measuring that it can compel all the possible histories to ante up, merge together, and yield a single outcome? How does our act of observing somehow tell a particle it's time to tally up the histories, average them out, and commit to a definite result? Why do we humans and equipment of our making have this special power? Is it special? Or might the human act of observation fit into a broader framework of environmental influence that shows, quantum mechanically speaking, we aren't so special after all? We will take up these perplexing and controversial issues in the latter half of this chapter, since not only are they pivotal to the nature of quantum reality, but they provide an important framework for thinking about quantum mechanics and the arrow of time.
+  Calculating quantum mechanical averages requires significant technical training. And understanding fully how, when, and where the averages are tallied requires concepts that physicists are still working hard to formulate. But one key lesson can be stated simply: quantum mechanics is the ultimate prochoice arena: every possible "choice" something might make in going from here to there is included in the quantum mechanical probability associated with one possible outcome or another.
+  Classical and quantum physics treat the past in very different ways.
+Pruning History
+It is totally at odds with our classical upbringing to imagine one indivisible object-one electron or one photon-simultaneously moving along more than one path. Even those of us with the greatest of self-control would have a hard time resisting the temptation to sneak a peek: as the electron or photon passes through the doubly slit screen or the beam splitter, why not take a quick look to see what path it really follows on its way to the detector? In the double-slit experiment, why not put little detectors in front of each slit to tell you whether the electron went through one opening, the other, or both (while still allowing the electron to carry on toward the main detector)? In the beam-splitter experiment, why not put, on each pathway leading from the beam splitter, a little detector that will tell if the photon took the left route, the right route, or both routes (again, while allowing the photon to keep going onward toward the detector)?
+  The answer is that you can insert these additional detectors, but if you do, you will find two things. First, each electron and each photon will always be found to go through one and only one of the detectors; that is, you can determine which path each electron or photon follows, and you will find that it always goes one way or the other, not both. Second, you will also find that the resulting data recorded by the main detectors have changed. Instead of getting the interference patterns of Figure 4.3b and 7.1b, you get the results expected from classical physics, as in Figure 4.3a. By introducing new elements-the new detectors-you have inadvertently changed the experiments. And the change is such that the paradox you were just about to reveal-that you now know which path each particle took, so how could there be any interference with another path that the particle demonstrably did not take?-is averted. The reason follows immediately from the last section. Your new observation singles out those histories that could have preceded whatever your new observation revealed. And since this observation determined which path the photon took, we consider only those histories that traverse this path, thus eliminating the possibility of interference.
+  Niels Bohr liked to summarize such things using his principle of complementarity. Every electron, every photon, everything, in fact, has both wavelike and particlelike aspects. They are complementary features. Thinking purely in the conventional particle framework-in which particles move along single, unique trajectories-is incomplete, because it misses the wavelike aspects demonstrated by interference patterns.16 Thinking purely in the wavelike framework is incomplete, because it misses the particlelike aspects demonstrated by measurements that find localized particles that can be, for example, recorded by a single dot on a screen. (See Figure 4.4.) A complete picture requires both complementary aspects to be taken into account. In any given situation you can force one feature to be more prominent by virtue of how you choose to interact. If you allow the electrons to travel from source to screen unobserved, their wavelike qualities can emerge, yielding interference. But if you observe the electron en route, you know which path it took, so you'd be at a loss to explain interference. Reality comes to the rescue. Your observation prunes the branches of quantum history. It forces the electron to behave as a particle; since particles go one way or the other, no interference pattern forms, so there's nothing to explain.
+  Nature does weird things. It lives on the edge. But it is careful to bob and weave from the fatal punch of logical paradox.
+The Contingency of History
+These experiments are remarkable. They provide simple but powerful proof that our world is governed by the quantum laws found by physicists in the twentieth century, and not by the classical laws found by Newton, Maxwell, and Einstein-laws we now recognize as powerful and insightful approximations for describing events at large enough scales. Already we have seen that the quantum laws challenge conventional notions of what happened in the past-those unobserved events that are responsible for what we now see. Some simple variations of these experiments take this challenge to our intuitive notion of how things unfold in time to an even greater, even more surprising level.
+  The first variation is called the delayed-choice experiment and was suggested in 1980 by the eminent physicist John Wheeler. The experiment brushes up against an eerily odd-sounding question: Does the past depend on the future? Note that this is not the same as asking whether we can go back and change the past (a subject we take up in Chapter 15). Instead, Wheeler's experiment, which has been carried out and analyzed in considerable detail, exposes a provocative interplay between events we imagine having taken place in the past, even the distant past, and those we see taking place right now.
+  To get a feel for the physics, imagine you are an art collector and Mr. Smithers, chairman of the new Springfield Art and Beautification Society, is coming to look at various works you have put up for sale. You know, however, that his real interest is in The Full Monty, a painting in your collection that you never felt quite fit, but one that was left to you by your beloved great-uncle Monty Burns, so that deciding whether to sell it is quite an emotional struggle. After Mr. Smithers arrives, you talk about your collection, recent auctions, the current show at the Metropolitan; surprisingly, you learn that, years back, Smithers was your great-uncle's top aide. By the end of the conversation you decide that you are willing to part with The Full Monty: There are so many other works you want, and you must exercise restraint or your collection will have no focus. In the world of art collecting, you have always told yourself, sometimes more is less.
+  As you reflect back upon this decision, in retrospect it seems that you had actually already decided to sell before Mr. Smithers arrived. Although you have always had a certain affection for The Full Monty, you have long been wary of amassing a sprawling collection and late-twentieth-century erotic-nuclear realism is an intimidating area for all but the most seasoned collector. Even though you remember that before your visitor's arrival you had been thinking that you didn't know what to do, from your current vantage point it seems as though you really did. It is not quite that future events have affected the past, but your enjoyable meeting with Mr. Smithers and your subsequent declaration of your willingness to sell have illuminated the past in a way that makes definite particular things that seemed undecided at the time. It is as though the meeting and your declaration helped you to accept a decision that was already made, one that was waiting to be ushered forth into the light of day. The future has helped you tell a more complete story of what was going on in the past.
+  Of course, in this example, future events are affecting only your perception or interpretation of the past, so the events are neither puzzling nor surprising. But the delayed-choice experiment of Wheeler transports this psychological interplay between the future and the past into the quantum realm, where it becomes both precise and startling. We begin with the experiment in Figure 7.1a, modified by turning the laser down so it fires one photon at a time, as in Figure 7.1b, and also by attaching a new photon detector next to the beam splitter. If the new detector is switched off (see Figure 7.2b), then we are back in the original experimental setup and the photons generate an interference pattern on the photographic screen. But if the new detector is switched on (Figure 7.2a), it tells us which path each photon traveled: if it detects a photon, then the photon took that path; if it fails to detect a photon, then the photon took the other path. Such "which-path" information, as it's called, compels the photon to act like a particle, so the wavelike interference pattern is no longer generated.
+
+Figure 7.2 (a) By turning on "which-path" detectors, we spoil the interference pattern. (b) When the new detectors are switched off, we're back in the situation of Figure 7.1 and the interference pattern gets built up.
+  Now let's change things, à la Wheeler, by moving the new photon detector far downstream along one of the two pathways. In principle, the pathways can be as long as you like, so the new detector can be a considerable distance away from the beam splitter. Again, if this new photon detector is switched off, we are in the usual situation and the photons fill out an interference pattern on the screen. If it is switched on, it provides which-path information and thus precludes the existence of an interference pattern.
+  The new weirdness comes from the fact that the which-path measurement takes place long after the photon had to "decide" at the beam splitter whether to act as a wave and travel both paths or to act as a particle and travel only one. When the photon is passing through the beam splitter, it can't "know" whether the new detector is switched on or off-as a matter of fact, the experiment can be arranged so that the on/off switch on the detector is set after the photon has passed the splitter. To be prepared for the possibility that the detector is off, the photon's quantum wave had better split and travel both paths, so that an amalgam of the two can produce the observed interference pattern. But if the new detector turns out to have been on-or if it was switched on after the photon fully cleared the splitter-it would seem to present the photon with an identity crisis: on passing through the splitter, it had already committed itself to its wavelike character by traveling both paths, but now, sometime after making this choice, it "realizes" that it needs to come down squarely on the side of being a particle that travels one and only one path.
+  Somehow, though, the photons always get it right. Whenever the detector is on-again, even if the choice to turn it on is delayed until long after a given photon has passed through the beam splitter-the photon acts fully like a particle. It is found to be on one and only one route to the screen (if we were to put photon detectors way downstream along both routes, each photon emitted by the laser would be detected by one or the other detector, never both); the resulting data show no interference pattern. Whenever the new detector is off-again, even if this decision is made after each photon has passed the splitter-the photons act fully like a wave, yielding the famous interference pattern showing that they've traveled both paths. It's as if the photons adjust their behavior in the past according to the future choice of whether the new detector is switched on; it's as though the photons have a "premonition" of the experimental situation they will encounter farther downstream, and act accordingly. It's as if a consistent and definite history becomes manifest only after the future to which it leads has been fully settled.4
+  There is a similarity to your experience of deciding to sell  The Full Monty. Before meeting with Mr. Smithers, you were in an ambiguous, undecided, fuzzy, mixed state of being both willing and unwilling to sell the painting. But talking together about the art world and learning of Smithers's affection for your great-uncle made you increasingly comfortable with the idea of selling. The conversation led to a firm decision, which in turn allowed a history of the decision to crystallize out of the previous uncertainty. In retrospect it felt as if the decision had really been made all along. But if you hadn't gotten on so well with Mr. Smithers, if he hadn't given you confidence that The Full Monty would be in trustworthy hands, you might very well have decided not to sell. And the story of the past that you might tell in this situation could easily involve a recognition that you'd actually decided long ago not to sell-that no matter how sensible it might be to sell the painting, deep down you've always known that the sentimental connection was just too strong to let it go. The actual past, of course, did not change one bit. Yet a different experience now would lead you to describe a different history.
+  In the psychological arena, rewriting or reinterpreting the past is commonplace; our story of the past is often informed by our experiences in the present. But in the arena of physics-an arena we normally consider to be objective and set in stone-a future contingency of history makes one's head spin. To make the spinning even more severe, Wheeler imagines a cosmic version of the delayed choice experiment in which the light source is not a laboratory laser but, instead, a powerful quasar in deep space. The beam splitter is not a laboratory variety, either, but is an intervening galaxy whose gravitational pull can act like a lens that focuses passing photons and directs them toward earth, as in Figure 7.3. Although no one has as yet carried out this experiment, in principle, if enough photons from the quasar are collected, they should fill out an interference pattern on a long-exposure photographic plate, just as in the laboratory beam-splitter experiment. But if we were to put another photon detector right near the end of one route or the other, it would provide which-path information for the photons, thereby destroying the interference pattern.
+  What's striking about this version is that, from our perspective, the photons could have been traveling for many billions of years. Their decision to go one way around the galaxy, like a particle, or both ways, like a wave, would seem to have been made long before the detector, any of us, or even the earth existed. Yet, billions of years later, the detector was built, installed along one of the paths the photons take to reach earth, and switched on. And these recent acts somehow ensure that the photons under consideration act like particles. They act as though they have been traveling along precisely one path or the other on their long journey to earth. But if, after a few minutes, we turn off the detector, the photons that subsequently reach the photographic plate start to build up an interference pattern, indicating that for billions of years they have been traveling in tandem with their ghostly partners, taking opposite paths around the galaxy.
+
+Figure 7.3 Light from a distant quasar, split and focused by an intervening galaxy, will, in principle, yield an interference pattern. If an additional detector, which allows the determination of the path taken by each photon, were switched on, the ensuing photons would no longer fill out an interference pattern.
+  Has our turning the detector on or off in the twenty-first century had an effect on the motion of photons some billions of years earlier? Certainly not. Quantum mechanics does not deny that the past has happened, and happened fully. Tension arises simply because the concept of past according to the quantum is different from the concept of past according to classical intuition. Our classical upbringing makes us long to say that a given photon did this or did that. But in a quantum world, our world, this reasoning imposes upon the photon a reality that is too restrictive. As we have seen, in quantum mechanics the norm is an indeterminate, fuzzy, hybrid reality consisting of many strands, which only crystallizes into a more familiar, definite reality when a suitable observation is carried out. It is not that the photon, billions of years ago, decided to go one way around the galaxy or the other, or both. Instead, for billions of years it has been in the quantum norm-a hybrid of the possibilities.
+  The act of observation links this unfamiliar quantum reality with everyday classical experience. Observations we make today cause one of the strands of quantum history to gain prominence in our recounting of the past. In this sense, then, although the quantum evolution from the past until now is unaffected by anything we do now, the story we tell of the past can bear the imprint of today's actions. If we insert photon detectors along the two pathways light takes to a screen, then our story of the past will include a description of which pathway each photon took; by inserting the photon detectors, we ensure that which-path information is an essential and definitive detail of our story. But, if we don't insert the photon detectors, our story of the past will, of necessity, be different. Without the photon detectors, we can't recount anything about which path the photons took; without the photon detectors, which-path details are fundamentally unavailable. Both stories are valid. Both stories are interesting. They just describe different situations.
+  An observation today can therefore help complete the story we tell of a process that began yesterday, or the day before, or perhaps a billion years earlier. An observation today can delineate the kinds of details we can and must include in today's recounting of the past.
+Erasing the Past
+It is essential to note that in these experiments the past is not in any way altered by today's actions, and that no clever modification of the experiments will accomplish that slippery goal. This raises the question: If you can't change something that has already happened, can you do the next best thing and erase its impact on the present? To one degree or another, sometimes this fantasy can be realized. A baseball player who, with two outs in the bottom of the ninth inning, drops a routine fly ball, allowing the opposing team to close within one run, can undo the impact of his error by a spectacular diving catch on the ball hit by the next batter. And, of course, such an example is not the slightest bit mysterious. Only when an event in the past seems definitively to preclude another event's happening in the future (as the dropped fly ball definitively precluded a perfect game) would we think there was something awry if we were subsequently told that the precluded event had actually happened. The quantum eraser, first suggested in 1982 by Marlan Scully and Kai Drühl, hints at this kind of strangeness in quantum mechanics.
+  A simple version of the quantum eraser experiment makes use of the double-slit setup, modified in the following way. A tagging device is placed in front of each slit; it marks any passing photon so that when the photon is examined later, you can tell through which slit it passed. The question of how you can place a mark on a photon-how you can do the equivalent of placing an "L" on a photon that passes through the left slit and an "R" on a photon that passes through the right slit-is a good one, but the details are not particularly important. Roughly, the process relies on using a device that allows a photon to pass freely through a slit but forces its spin axis to point in a particular direction. If the devices in front of the left and right slits manipulate the photon spins in specific but distinct ways, then a more refined detector screen that not only registers a dot at the photon's impact location, but also keeps a record of the photon's spin orientation, will reveal through which slit a given photon passed on its way to the detector.
+  When this double-slit-with-tagging experiment is run, the photons do not build up an interference pattern, as in Figure 7.4a. By now the explanation should be familiar: the new tagging devices allow which-path information to be gleaned, and which-path information singles out one history or another; the data show that any given photon passed through either the left slit or the right slit. And without the combination of left-slit and right-slit trajectories, there are no overlapping probability waves, so no interference pattern is generated.
+  Now, here is Scully and Drühl's idea. What if, just before the photon hits the detection screen, you eliminate the possibility of determining through which slit it passed by erasing the mark imprinted by the tagging device? Without the means, even in principle, to extract the which-path information from the detected photon, will both classes of histories come back into play, causing the interference pattern to reemerge? Notice that this kind of "undoing" the past would fall much further into the shocking category than the ballplayer's diving catch in the ninth inning. When the tagging devices are turned on, we imagine that the photon obediently acts as a particle, passing through the left slit or the right slit. If somehow, just before it hits the screen, we erase the which-slit mark it is carrying, it seems too late to allow an interference pattern to form. For interference, we need the photon to act like a wave. It must pass through both slits so that it can cross-mingle with itself on the way to the detector screen. But our initial tagging of the photon seems to ensure that it acts like a particle and travels either through the left or through the right slit, preventing interference from happening.
+
+Figure 7.4 In the quantum eraser experiment, equipment placed in front of the two slits marks the photons so that subsequent examination can reveal through which slit each photon passed. In (a) we see that this which-path information spoils the interference pattern. In (b) a device that erases the mark on the photons is inserted just in front of the detector screen. Because the which-path information is eliminated, the interference pattern reappears.
+  In an experiment carried out by Raymond Chiao, Paul Kwiat, and Aephraim Steinberg, the setup was, schematically, as in Figure 7.4, with a new erasure device inserted just in front of the detection screen. Again, the details are not of the essence, but briefly put, the eraser works by ensuring that regardless of whether a photon from the left slit or the right slit enters, its spin is manipulated to point in one and the same fixed direction. Subsequent examination of its spin therefore yields no information about which slit it passed through, and so the which-path mark has been erased. Remarkably, the photons detected by the screen after this erasure do produce an interference pattern. When the eraser is inserted just in front of the detector screen, it undoes-it erases-the effect of tagging the photons way back when they approached the slits. As in the delayed-choice experiment, in principle this kind of erasure could occur billions of years after the influence it is thwarting, in effect undoing the past, even undoing the ancient past.
+  How are we to make sense of this? Well, keep in mind that the data conform perfectly to the theoretical prediction of quantum mechanics. Scully and Drühl proposed this experiment because their quantum mechanical calculations convinced them it would work. And it does. So, as is usual with quantum mechanics, the puzzle doesn't pit theory against experiment. It pits theory, confirmed by experiment, against our intuitive sense of time and reality. To ease the tension, notice that were you to place a photon detector in front of each slit, the detector's readout would establish with certainty whether the photon went through the left slit or through the right slit, and there'd be no way to erase such definitive information-there'd be no way to recover an interference pattern. But the tagging devices are different because they provide only the potential for which-path information to be determined-and potentialities are just the kinds of things that can be erased. A tagging device modifies a passing photon in such a way, roughly speaking, that it still travels both paths, but the left part of its probability wave is blurred out relative to the right, or the right part of its probability wave is blurred out relative to the left. In turn, the orderly sequence of peaks and troughs that would normally emerge from each slit-as in Figure 4.2b-is also blurred out, so no interference pattern forms on the detector screen. The crucial realization, though, is that both the left and the right waves are still present. The eraser works because it refocuses the waves. Like a pair of glasses, it compensates for the blurring, brings both waves back into sharp focus, and allows them once again to combine into an interference pattern. It's as if after the tagging devices accomplish their task, the interference pattern disappears from view but patiently lies in wait for someone or something to resuscitate it.
+  That explanation may make the quantum eraser a little less mysterious, but here is the finale-a stunning variation on the quantum-eraser experiment that challenges conventional notions of space and time even further.
+Shaping the Past17
+This experiment, the delayed-choice quantum eraser, was also proposed by Scully and Drühl. It begins with the beam-splitter experiment of Figure 7.1, modified by inserting two so-called down-converters, one on each pathway. Down-converters are devices that take one photon as input and produce two photons as output, each with half the energy ("downconverted") of the original. One of the two photons (called the signal photon) is directed along the path that the original would have followed toward the detector screen. The other photon produced by the down-converter (called the idler photon) is sent in a different direction altogether, as in Figure 7.5a. On each run of the experiment, we can determine which path a signal photon takes to the screen by observing which down-converter spits out the idler-photon partner. And once again, the ability to glean which-path information about the signal photons-even though it is totally indirect, since we are not interacting with any signal photons at all-has the effect of preventing an interference pattern from forming.
+  Now for the weirder part. What if we manipulate the experiment so as to make it impossible to determine from which down-converter a given idler photon emerged? What if, that is, we erase the which-path information embodied by the idler photons? Well, something amazing happens: even though we've done nothing directly to the signal photons, by erasing the which-path information carried by their idler partners we can recover an interference pattern from the signal photons. Let me show you how this goes because it is truly remarkable.
+  Take a look at Figure 7.5b, which embodies all the essential ideas. But don't be intimidated. It's simpler than it appears, and we'll now go through it in manageable steps. The setup in Figure 7.5b differs from that of Figure 7.5a with regard to how we detect the idler photons after they've been emitted. In Figure 7.5a, we detected them straight out, and so we could immediately determine from which down-converter each was produced-that is, which path a given signal photon took. In the new experiment, each idler photon is sent through a maze, which compromises our ability to make such a determination. For example, imagine that an idler photon is emitted from the down-converter labeled "L." Rather than immediately entering a detector (as in Figure 7.5a), this photon is sent to a beam splitter (labeled "a"), and so has a 50 percent chance of heading onward along the path labeled "A," and a 50 percent chance of heading onward along the path labeled "B." Should it head along path A, it will enter a photon detector (labeled "1"), and its arrival will be duly recorded. But should the idler photon head along path B, it will be subject to yet further shenanigans. It will be directed to another beam splitter (labeled "c") and so will have a 50 percent chance of heading onward along path E to the detector labeled "2," and a 50 percent chance of heading onward along path F to the detector labeled "3." Now-stay with me, as there is a point to all this-the exact same reasoning, when applied to an idler photon emitted from the other down-converter, labeled "R," tells us that if the idler heads along path D it will be recorded by detector 4, but if it heads along path C it will be detected by either detector 3 or detector 2, depending on the path it follows after passing through beam splitter c.
+
+Figure 7.5 (a) A beam-splitter experiment, augmented by down-converters, does not yield an interference pattern, since the idler photons yield which-path information. (b) If the idler photons are not detected directly, but instead are sent through the maze depicted, then an interference pattern can be extracted from the data. Idler photons that are detected by detectors 2 or 3 do not yield which-path information and hence their signal photons fill out an interference pattern.
+  Now for why we've added all this complication. Notice that if an idler photon is detected by detector 1, we learn that the corresponding signal photon took the left path, since there is no way for an idler that was emitted from down-converter R to find its way to this detector. Similarly, if an idler photon is detected by detector 4, we learn that its signal photon partner took the right path. But if an idler photon winds up in detector 2, we have no idea which path its signal photon partner took, since there is an equal chance that it was emitted by down-converter L and followed path B-E, or that it was emitted by down-converter R and followed path C-E. Similarly, if an idler is detected by detector 3, it could have been emitted by down-converter L and have traveled path B-F, or by down-converter R and traveled path C-F. Thus, for signal photons whose idlers are detected by detector 1 or 4, we have which-path information, but for those whose idlers are detected by detector 2 or 3, the which-path information is erased.
+  Does this erasure of some of the which-path information-even though we've done nothing directly to the signal photons-mean interference effects are recovered? Indeed it does-but only for those signal photons whose idlers wind up in either detector 2 or detector 3. Namely, the totality of impact positions of the signal photons on the screen will look like the data in Figure 7.5a, showing not the slightest hint of an interference pattern, as is characteristic of photons that have traveled one path or the other. But if we focus on a subset of the data points-for example, those signal photons whose idlers entered detector 2-then that subset of points will fill out an interference pattern! These signal photons-whose idlers happened, by chance, not to provide any which-path information- act as though they've traveled both paths! If we were to hook up the equipment so that the screen displays a red dot for the position of each signal photon whose idler was detected by detector 2, and a green dot for all others, someone who is color-blind would see no interference pattern, but everyone else would see that the red dots were arranged with bright and dark bands-an interference pattern. The same holds true with detector 3 in place of detector 2. But there would be no such interference pattern if we single out signal photons whose idlers wind up in detector 1 or detector 4, since these are the idlers that yield which-path information about their partners.
+  These results-which have been confirmed by experiment5-are dazzling: by including down-converters that have the potential to provide which-path information, we lose the interference pattern, as in Figure 7.5a. And without interference, we would naturally conclude that each photon went along either the left path or the right path. But we now learn that this would be a hasty conclusion. By carefully eliminating the potential which-path information carried by some of the idlers, we can coax the data to yield up an interference pattern, indicating that some of the photons actually took both paths.
+  Notice, too, perhaps the most dazzling result of all: the three additional beam splitters and the four idler-photon detectors can be on the other side of the laboratory or even on the other side of the universe, since nothing in our discussion depended at all on whether they receive a given idler photon before or after its signal photon partner has hit the screen. Imagine, then, that these devices are all far away, say ten light-years away, to be definite, and think about what this entails. You perform the experiment in Figure 7.5b today, recording-one after another-the impact locations of a huge number of signal photons, and you observe that they show no sign of interference. If someone asks you to explain the data, you might be tempted to say that because of the idler photons, which-path information is available and hence each signal photon definitely went along either the left or the right path, eliminating any possibility of interference. But, as above, this would be a hasty conclusion about what happened; it would be a thoroughly premature description of the past.
+  You see, ten years later, the four photon detectors will receive-one after another-the idler photons. If you are subsequently informed about which idlers wound up, say, in detector 2 (e.g., the first, seventh, eighth, twelfth . . . idlers to arrive), and if you then go back to data you collected years earlier and highlight the corresponding signal photon locations on the screen (e.g., the first, seventh, eighth, twelfth . . . signal photons that arrived), you will find that the highlighted data points fill out an interference pattern, thus revealing that those signal photons should be described as having traveled both paths. Alternatively, if 9 years, 364 days after you collected the signal photon data, a practical joker should sabotage the experiment by removing beam splitters a and b-ensuring that when the idler photons arrive the next day, they all go to either detector 1 or detector 4, thus preserving all which-path information-then, when you receive this information, you will conclude that every signal photon went along either the left path or the right path, and there will be no interference pattern to extract from the signal photon data. Thus, as this discussion forcefully highlights, the story you'd tell to explain the signal photon data depends significantly on measurements conducted ten years after those data were collected.
+  Again, let me emphasize that the future measurements do not change anything at all about things that took place in your experiment today; the future measurements do not in any way change the data you collected today. But the future measurements do influence the kinds of details you can invoke when you subsequently describe what happened today. Before you have the results of the idler photon measurements, you really can't say anything at all about the which-path history of any given signal photon. However, once you have the results, you conclude that signal photons whose idler partners were successfully used to ascertain which-path information can be described as having-years earlier-traveled either left or right. You also conclude that signal photons whose idler partners had their which-path information erased cannot be described as having- years earlier-definitely gone one way or the other (a conclusion you can convincingly confirm by using the newly acquired idler photon data to expose the previously hidden interference pattern among this latter class of signal photons). We thus see that the future helps shape the story you tell of the past.
+  These experiments are a magnificent affront to our conventional notions of space and time. Something that takes place long after and far away from something else nevertheless is vital to our description of that something else. By any classical-commonsense-reckoning, that's, well, crazy. Of course, that's the point: classical reckoning is the wrong kind of reckoning to use in a quantum universe. We have learned from the Einstein-Podolsky-Rosen discussion that quantum physics is not local in space. If you have fully absorbed that lesson-a tough one to accept in its own right-these experiments, which involve a kind of entanglement across space and through time, may not seem thoroughly outlandish. But by the standards of daily experience, they certainly are.
+Quantum Mechanics and Experience
+For a few days after I first learned about these experiments, I remember feeling elated. I felt I'd been given a glimpse into a veiled side of reality. Common experience-mundane, ordinary, day-to-day activities-suddenly seemed part of a classical charade, hiding the true nature of our quantum world. The world of the everyday suddenly seemed nothing but an inverted magic act, lulling its audience into believing in the usual, familiar conceptions of space and time, while the astonishing truth of quantum reality lay carefully guarded by nature's sleights of hand.
+  In recent years, physicists have expended much effort in trying to explain nature's ruse-to figure out precisely how the fundamental laws of quantum physics morph into the classical laws that are so successful at explaining common experience-in essence, to figure out how the atomic and subatomic shed their magical weirdness when they combine to form macroscopic objects. Research continues, but much has already been learned. Let's look at some aspects of particular relevance to the question of time's arrow, but now from the standpoint of quantum mechanics.
+  Classical mechanics is based on equations that Newton discovered in the late 1600s. Electromagnetism is based on equations Maxwell discovered in the late 1800s. Special relativity is based on equations Einstein discovered in 1905, and general relativity is based on equations he discovered in 1915. What all these equations have in common, and what is central to the dilemma of time's arrow (as explained in the last chapter), is their completely symmetric treatment of past and future. Nowhere in any of these equations is there anything that distinguishes "forward" time from "backward" time. Past and future are on an equal footing.
+  Quantum mechanics is based on an equation that Erwin Schrödinger discovered in 1926.6 You don't need to know anything about this equation beyond the fact that it takes as input the shape of a quantum mechanical probability wave at one moment of time, such as that in Figure 4.5, and allows one to determine what the probability wave looks like at any other time, earlier or later. If the probability wave is associated with a particle, such as an electron, you can use it to predict the probability that, at any specified time, an experiment will find the electron at any specified location. Like the classical laws of Newton, Maxwell, and Einstein, the quantum law of Schrödinger embraces an egalitarian treatment of time-future and time-past. A "movie" showing a probability wave starting like  this and ending like that could be run in reverse-showing a probability wave starting like that and ending like this- and there would be no way to say that one evolution was right and the other wrong. Both would be equally valid solutions of Schrödinger's equation. Both would represent equally sensible ways in which things could evolve.7
+  Of course, the "movie" now referred to is quite different from the ones used in analyzing the motion of a tennis ball or a splattering egg in the last chapter. Probability waves are not things we can see directly; there are no cameras that can capture probability waves on film. Instead, we can describe probability waves using mathematical equations and, in our mind's eye, we can imagine the simplest of them having shapes such as those in Figures 4.5 and 4.6. But the only access we have to the probability waves themselves is indirect, through the process of measurement.
+  That is, as outlined in Chapter 4 and seen repeatedly in the experiments above, the standard formulation of quantum mechanics describes the unfolding of phenomena using two quite distinct stages. In stage one, the probability wave-or, in the more precise language of the field, the wavefunction-of an object such as an electron evolves according to the equation discovered by Schrödinger. This equation ensures that the shape of the wavefunction changes smoothly and gradually, much as a water wave changes shape as it travels from one side of a lake toward the other.18 In the standard description of the second stage, we make contact with observable reality by measuring the electron's position, and when we do so, the shape of its wavefunction sharply and abruptly changes. The electron's wavefunction is unlike more familiar examples like water waves and sound waves: when we measure the electron's position, its wavefunction spikes or, as illustrated in Figure 4.7, it collapses, dropping to the value 0 everywhere the particle is not found and surging to 100 percent probability at the single location where the particle is found by the measurement.
+  Stage one-the evolution of wavefunctions according to Schrödinger's equation-is mathematically rigorous, totally unambiguous, and fully accepted by the physics community. Stage two-the collapse of a wavefunction upon measurement-is, to the contrary, something that during the last eight decades has, at best, kept physicists mildly bemused, and at worst, posed problems, puzzles, and potential paradoxes that have devoured careers. The difficulty, as mentioned at the end of Chapter 4, is that according to Schrödinger's equation, wavefunctions do not collapse. Wavefunction collapse is an add-on. It was introduced after Schrödinger discovered his equation, in an attempt to account for what experimenters actually see. Whereas a raw, uncollapsed wavefunction embodies the strange idea that a particle is here and there, experimenters never see this. They always find a particle definitely at one location or another; they never see it partially here and partially there; the needle on their measuring devices never hovers in some ghostly mixture of pointing at this value and also at that value.
+  The same goes, of course, for our own casual observations of the world around us. We never observe a chair to be both here and there; we never observe the moon to be in one part of the night sky as well as another; we never see a cat that is both dead and alive. The notion of wavefunction collapse aligns with our experience by postulating that the act of measurement induces the wavefunction to relinquish quantum limbo and usher one of the many potentialities (particle here, or particle there) into reality.
+The Quantum Measurement Puzzle
+But how does an experimenter's making a measurement cause a wavefunction to collapse? In fact, does wavefunction collapse really happen, and if it does, what really goes on at the microscopic level? Do any and all measurements cause collapse? When does the collapse happen and how long does it take? Since, according to the Schrödinger equation, wavefunctions do not collapse, what equation takes over in the second stage of quantum evolution, and how does the new equation dethrone Schrödinger's, usurping its usual ironclad power over quantum processes? And, of importance to our current concern with time's arrow, while Schrödinger's equation, the equation that governs the first stage, makes no distinction between forward and backward in time, does the equation for stage two introduce a fundamental asymmetry between time before and time after a measurement is carried out? That is, does quantum mechanics, including its interface with the world of the everyday via measurements  and observations, introduce an arrow of time into the basic laws of physics? After all, we discussed earlier how the quantum treatment of the past differs from that of classical physics, and by past we meant before a particular observation or measurement had taken place. So do measurements, as embodied by stage-two wavefunction collapse, establish an asymmetry between past and future, between before and after a measurement is made?
+  These questions have stubbornly resisted complete solution and they remain controversial. Yet, through the decades, the predictive power of quantum theory has hardly been compromised. The stage one / stage two formulation of quantum theory, even though stage two has remained mysterious, predicts probabilities for measuring one outcome or another. And these predictions have been confirmed by repeating a given experiment over and over again and examining the frequency with which one or another outcome is found. The fantastic experimental success of this approach has far outweighed the discomfort of not having a precise articulation of what actually happens in stage two.
+  But the discomfort has always been there. And it is not simply that some details of wavefunction collapse have not quite been worked out. The quantum measurement problem, as it is called, is an issue that speaks to the limits and the universality of quantum mechanics. It's simple to see this. The stage one / stage two approach introduces a split between what's being observed (an electron, or a proton, or an atom, for example) and the experimenter who does the observing. Before the experimenter gets into the picture, wavefunctions happily and gently evolve according to Schrödinger's equation. But then, when the experimenter meddles with things to perform a measurement, the rules of the game suddenly change. Schrödinger's equation is cast aside and stage-two collapse takes over. Yet, since there is no difference between the atoms, protons, and electrons that make up the experimenter and the equipment he or she uses, and the atoms, protons, and electrons that he or she studies, why in the world is there a split in how quantum mechanics treats them? If quantum mechanics is a universal theory that applies without limitations to everything, the observed and the observer should be treated in exactly the same way.
+  Niels Bohr disagreed. He claimed that experimenters and their equipment  are different from elementary particles. Even though they are made from the same particles, they are "big" collections of elementary particles and hence governed by the laws of classical physics. Somewhere between the tiny world of individual atoms and subatomic particles and the familiar world of people and their equipment, the rules change because the sizes change. The motivation for asserting this division is clear: a tiny particle, according to quantum mechanics, can be located in a fuzzy mixture of here and there, yet we don't see such behavior in the big, everyday world. But exactly where is the border? And, of vital importance, how do the two sets of rules interface when the big world of the everyday confronts the minuscule world of the atomic, as in the case of a measurement? Bohr forcefully declared these questions to be out of bounds, by which he meant, truth be told, that they were beyond the bounds of what he or anyone else could answer. And since even without addressing them the theory makes astonishingly accurate predictions, for a long time such issues were far down on the list of critical questions that physicists were driven to settle.
+  But to understand quantum mechanics completely, to determine fully what it says about reality, and to establish what role it might play in setting a direction to time's arrow, we must come to grips with the quantum measurement problem.
+  In the next two sections, we'll describe some of the most prominent and promising attempts to do so. The upshot, should you at any point want to rush ahead to the last section focusing on quantum mechanics and the arrow of time, is that much ingenious work on the quantum measurement problem has yielded significant progress, but a broadly accepted solution still seems just beyond our reach. Many view this as the single most important gap in our formulation of quantum law.
+Reality and the Quantum Measurement Problem
+Over the years, there have been many proposals for solving the quantum measurement problem. Ironically, although they entail differing conceptions of reality-some drastically different-when it comes to predictions for what a researcher will measure in most every experiment, they all agree and each one works like a charm. Each proposal puts on the same show, even though, were you to peek backstage, you'd see that their modi operandi differ substantially.
+  When it comes to entertainment, you generally don't want to know what's happening off in the wings; you are perfectly content to focus solely on the production. But when it comes to understanding the universe, there is an insatiable urge to pull back all curtains, open all doors, and expose completely the deep inner workings of reality. Bohr considered this urge baseless and misguided. To him, reality was the performance. Like a Spalding Gray soliloquy, an experimenter's bare-bones measurements are the whole show. There isn't anything else. According to Bohr, there is no backstage. Trying to analyze how, and when, and why a quantum wavefunction relinquishes all but one possibility and produces a single definite number on a measuring device is missing the point. The measured number itself is all that's worthy of attention.
+  For decades, this perspective held sway. However, its calmative effect on the mind struggling with quantum theory notwithstanding, one can't help feeling that the fantastic predictive power of quantum mechanics means that it is tapping into a hidden reality that underlies the workings of the universe. One can't help wanting to go further and understand how quantum mechanics interfaces with common experience-how it bridges the gap between wavefunction and observation, and what hidden reality underlies the observations. Over the years, a number of researchers have taken up this challenge; here are some proposals they've developed.
+  One approach, with historical roots that go back to Heisenberg, is to abandon the view that wavefunctions are objective features of quantum reality and, instead, view them merely as an embodiment of what we know about reality. Before we perform a measurement, we don't know where the electron is and, this view proposes, our ignorance of its location is reflected by the electron's wavefunction describing it as possibly being at a variety of different positions. At the moment we measure its position, though, our knowledge of its whereabouts suddenly changes: we now know its position, in principle, with total precision. (By the uncertainty principle, if we know its location we will necessarily be completely ignorant of its velocity, but that's not an issue for the current discussion.) This sudden change in our knowledge, according to this perspective, is reflected in a sudden change in the electron's wavefunction: it suddenly collapses and takes on the spiked shape of Figure 4.7, indicating our definite knowledge of the electron's position. In this approach, then, the abrupt collapse of a wavefunction is completely unsurprising: it is nothing more than the abrupt change in knowledge that we all experience when we learn something new.
+  A second approach, initiated in 1957 by Wheeler's student Hugh Everett, denies that wavefunctions ever collapse. Instead, each and every potential outcome embodied in a wavefunction sees the light of day; the daylight each sees, however, streams through its own separate universe. In this approach, the Many Worlds interpretation, the concept of "the universe" is enlarged to include innumerable "parallel universes"-innumerable versions of our universe-so that anything that quantum mechanics predicts  could happen, even if only with minuscule probability, does happen in at least one of the copies. If a wavefunction says that an electron can be here, there, and way over there, then in one universe a version of you will find it here; in another universe, another copy of you will find it there; and in a third universe, yet another you will find the electron way over there. The sequence of observations that we each make from one second to the next thus reflects the reality taking place in but one part of this gargantuan, infinite network of universes, each one populated by copies of you and me and everyone else who is still alive in a universe in which certain observations have yielded certain outcomes. In one such universe you are now reading these words, in another you've taken a break to surf the Web, in yet another you're anxiously awaiting the curtain to rise for your Broadway debut. It's as though there isn't a single spacetime block as depicted in Figure 5.1, but an infinite number, with each realizing one possible course of events. In the Many Worlds approach, then, no potential outcome remains merely a potential. Wavefunctions don't collapse. Every potential outcome comes out in one of the parallel universes.
+  A third proposal, developed in the 1950s by David Bohm-the same physicist we encountered in Chapter 4 when discussing the Einstein-Podolsky-Rosen paradox-takes a completely different approach.8 Bohm argued that particles such as electrons do possess definite positions and definite velocities, just as in classical physics, and just as Einstein had hoped. But, in keeping with the uncertainty principle, these features are hidden from view; they are examples of the hidden variables mentioned in Chapter 4. You can't determine both simultaneously. For Bohm, such uncertainty represented a limit on what we can know, but implied nothing about the actual attributes of the particles themselves. His approach does not fall afoul of Bell's results because, as we discussed toward the end of Chapter 4, possessing definite properties forbidden by quantum uncertainty is not ruled out; only locality is ruled out, and Bohm's approach is not local.9 Instead, Bohm imagined that the wavefunction of a particle is another,  separate element of reality, one that exists in addition to the particleitself. It's not particles or waves, as in Bohr's complementarity philosophy; according to Bohm, it's particles and waves. Moreover, Bohm posited that a particle's wavefunction interacts with the particle itself-it "guides" or "pushes" the particle around-in a way that determines its subsequent motion. While this approach agrees fully with the successful predictions of standard quantum mechanics, Bohm found that changes to the wavefunction in one location are able to immediately push a particle at a distant location, a finding that explicitly reveals the nonlocality of his approach. In the double-slit experiment, for example, each particle goes through one slit or the other, while its wavefunction goes through both and suffers interference. Since the wavefunction guides the particle's motion, it should not be terribly surprising that the equations show the particle is likely to land where the wavefunction value is large and it is unlikely to land where it is small, explaining the data in Figure 4.4. In Bohm's approach, there is no separate stage of wavefunction collapse since, if you measure a particle's position and find it here, that is truly where it was a moment before the measurement took place.
+  A fourth approach, developed by the Italian physicists Giancarlo Ghirardi, Alberto Rimini, and Tullio Weber, makes the bold move of modifying Schrödinger's equation in a clever way that results in hardly any effect on the evolution of wavefunctions for individual particles, but has a dramatic impact on quantum evolution when applied to "big" everyday objects. The proposed modification envisions that wavefunctions are inherently unstable; even without any meddling, these researchers suggest, sooner or later every wavefunction collapses, of its own accord, to a spiked shape. For an individual particle, Ghirardi, Rimini, and Weber postulate that wavefunction collapse happens spontaneously and randomly, kicking in, on average, only once every billion years or so.10 This is so infrequent that it entails only the slightest change to the usual quantum mechanical description of individual particles, and that's good, since quantum mechanics describes the microworld with unprecedented accuracy. But for large objects such as experimenters and their equipment, which have billions and billions of particles, the odds are high that in a tiny fraction of any given second the posited spontaneous collapse will kick in for at least one constituent particle, causing its wavefunction to collapse. And, as argued by Ghirardi, Rimini, Weber, and others, the entangled nature of all the individual wavefunctions in a large object ensures that this collapse initiates a kind of quantum domino effect in which the wavefunctions of all the constituent particles collapse as well. As this happens in a brief fraction of a second, the proposed modification ensures that large objects are essentially always in one definite configuration: pointers on measuring equipment always point to one definite value; the moon is always at one definite location in the sky; brains inside experimenters always have one definite experience; cats are always either dead or alive.
+  Each of these approaches, as well as a number of others I won't discuss, has its supporters and detractors. The "wavefunction as knowledge" approach finesses the issue of wavefunction collapse by denying any reality for wavefunctions, turning them instead into mere descriptors of what we know. But why, a detractor asks, should fundamental physics be so closely tied to human awareness? If we were not here to observe the world, would wavefunctions never collapse, or, perhaps, would the very concept of a wavefunction not exist? Was the universe a vastly different place before human consciousness evolved on planet earth? What if, instead of human experimenters, mice or ants or amoebas or computers are the only observers? Is the change in their "knowledge" adequate to be associated with the collapse of a wavefunction?11
+  By contrast, the Many Worlds interpretation avoids the whole matter of wavefunction collapse, since in this approach wavefunctions don't collapse. But the price to pay is an enormous proliferation of universes, something that many a detractor has found intolerably exorbitant.12 Bohm's approach also avoids wavefunction collapse; but, its detractors claim, in granting independent reality to both particles and waves, the theory lacks economy. Moreover, the detractors correctly argue, in Bohm's formulation the wavefunction can exert faster-than-light influences on the particles it pushes. Supporters note that the former complaint is subjective at best, and the latter conforms to the nonlocality Bell proved unavoidable, so neither criticism is convincing. Nevertheless, perhaps unjustifiably, Bohm's approach has never caught on.13 The Ghirardi-Rimini-Weber approach deals with wavefunction collapse directly, by changing the equations to incorporate a new spontaneous collapse mechanism. But, detractors point out, there is as yet not a shred of experimental evidence supporting the proposed modification to Schrödinger's equation.
+  Research seeking a solid and fully transparent connection between the formalism of quantum mechanics and the experience of everyday life will no doubt go on for some time to come, and it's hard to say which, if any, of the known approaches will ultimately achieve a majority consensus. Were physicists to be polled today, I don't think there would be an overwhelming favorite. Unfortunately, experimental input is of limited help. While the Ghirardi-Rimini-Weber proposal does make predictions that can, in certain situations, differ from standard stage one / stage two quantum mechanics, the deviations are too small to be tested with today's technology. The situation with the other three proposals is worse because they stymie experimental adjudication even more definitively. They agree fully with the standard approach, and so each yields the same predictions for things that can be observed and measured. They differ only regarding what happens backstage, as it were. They only differ, that is, regarding what quantum mechanics implies for the underlying nature of reality.
+  Even though the quantum measurement problem remains unsolved, during the last few decades a framework has been under development that, while still incomplete, has widespread support as a likely ingredient of any viable solution. It's called decoherence.
+Decoherence and Quantum Reality
+When you first encounter the probabilistic aspect of quantum mechanics, a natural reaction is to think that it is no more exotic than the probabilities that arise in coin tosses or roulette wheels. But when you learn about quantum interference, you realize that probability enters quantum mechanics in a far more fundamental way. In everyday examples, various outcomes-heads versus tails, red versus black, one lottery number versus another-are assigned probabilities with the understanding that one or another result will definitely happen and that each result is the end product of an independent, definite history. When a coin is tossed, sometimes the spinning motion is just right for the toss to come out heads and sometimes it's just right for the toss to come out tails. The 50-50 probability we assign to each outcome refers not just to the final result-heads or tails- but also to the histories that lead to each outcome. Half of the possible ways you can toss a coin result in heads, and half result in tails. The histories themselves, though, are totally separate, isolated alternatives. There is no sense in which different motions of the coin reinforce each other or cancel each other out. They're all independent.
+  But in quantum mechanics, things are different. The alternate paths an electron can follow from the two slits to the detector are not separate, isolated histories. The possible histories commingle to produce the observed outcome. Some paths reinforce each other, while others cancel each other out. Such quantum interference between the various possible histories is responsible for the pattern of light and dark bands on the detector screen. Thus, the telltale difference between the quantum and the classical notions of probability is that the former is subject to interference  and the latter is not.
+  Decoherence is a widespread phenomenon that forms a bridge between the quantum physics of the small and the classical physics of the not-so-small by suppressing quantum interference-that is, by diminishing sharply the core difference between quantum and classical probabilities. The importance of decoherence was realized way back in the early days of quantum theory, but its modern incarnation dates from a seminal paper by the German physicist Dieter Zeh in 1970,14 and has since been developed by many researchers, including Erich Joos, also from Germany, and Wojciech Zurek, of the Los Alamos National Laboratory in New Mexico.
+  Here's the idea. When Schrödinger's equation is applied in a simple situation such as single, isolated photons passing through a screen with two slits, it gives rise to the famous interference pattern. But there are two very special features of this laboratory example that are not characteristic of real-world happenings. First, the things we encounter in day-to-day life are larger and more complicated than a single photon. Second, the things we encounter in day-to-day life are not isolated: they interact with us and with the environment. The book now in your hands is subject to human contact and, more generally, is continually struck by photons and air molecules. Moreover, since the book itself is made of many molecules and atoms, these constantly jittering constituents are continually bouncing off each other as well. The same is true for pointers on measuring devices, for cats, for human brains, and for just about everything you encounter in daily life. On astrophysical scales, the earth, the moon, asteroids, and the other planets are continually bombarded by photons from the sun. Even a grain of dust floating in the darkness of outer space is subject to continual hits from low-energy microwave photons that have been streaming through space since a short time after the big bang. And so, to understand what quantum mechanics says about real-world happenings-as opposed to pristine laboratory experiments-we should apply Schrödinger's equation to these more complex, messier situations.
+  In essence, this is what Zeh emphasized, and his work, together with that of many others who have followed, has revealed something quite wonderful. Although photons and air molecules are too small to have any significant effect on the motion of a big object like this book or a cat, they are able to do something else. They continually "nudge" the big object's wavefunction, or, in physics-speak, they disturb its  coherence: they blur its orderly sequence of crest followed by trough followed by crest. This is critical, because a wavefunction's orderliness is central to generating interference effects (see Figure 4.2). And so, much as adding tagging devices to the double-slit experiment blurs the resulting wavefunction and thereby washes out interference effects, the constant bombardment of objects by constituents of their environment also washes out the possibility of intereference phenomena. In turn, once quantum interference is no longer possible, the probabilities inherent to quantum mechanics are, for all practical purposes, just like the probabilities inherent to coin tosses and roulette wheels. Once environmental decoherence blurs a wavefunction, the exotic nature of quantum probabilities melts into the more familiar probabilities of day-to-day life.15 This suggests a resolution of the quantum measurement puzzle, one that, if realized, would be just about the best thing we could hope for. I'll describe it first in the most optimistic light, and then stress what still needs to be done.
+  If a wavefunction for an isolated electron shows that it has, say, a 50 percent chance of being here and a 50 percent chance of being there, we must interpret these probabilities using the full-fledged weirdness of quantum mechanics. Since both of the alternatives can reveal themselves by commingling and generating an interference pattern, we must think of them as equally real. In loose language, there's a sense in which the electron is at both locations. What happens now if we measure the electron's position with a nonisolated, everyday-sized laboratory instrument? Well, corresponding to the electron's ambiguous whereabouts, the pointer on the instrument has a 50 percent chance of pointing to this value and a 50 percent chance of pointing to that value. But because of decoherence, the pointer will not be in a ghostly mixture of pointing at both values; because of decoherence, we can interpret these probabilities in the usual, classical, everyday sense. Just as a coin has a 50 percent chance of landing heads and a 50 percent chance of landing tails, but lands either heads or tails, the pointer has a 50 percent chance of pointing to this value and a 50 percent chance of pointing to that value, but it will definitely point to one or the other.
+  Similar reasoning applies for all other complex, nonisolated objects. If a quantum calculation reveals that a cat, sitting in a closed box, has a 50 percent chance of being dead and a 50 percent chance of being alive- because there is a 50 percent chance that an electron will hit a booby-trap mechanism that subjects the cat to poison gas and a 50 percent chance that the electron misses the booby trap-decoherence suggests that the cat will not be in some absurd mixed state of being both dead and alive. Although decades of heated debate have been devoted to issues like What does it mean for a cat to be both dead and alive? How does the act of opening the box and observing the cat force it to choose a definite status, dead or alive?, decoherence suggests that long before you open the box, the environment has already completed billions of observations that, in almost no time at all, turned all mysterious quantum probabilities into their less mysterious classical counterparts. Long before you look at it, the environment has compelled the cat to take on one, single, definite condition. Decoherence forces much of the weirdness of quantum physics to "leak" from large objects since, bit by bit, the quantum weirdness is carried away by the innumerable impinging particles from the environment.
+  It's hard to imagine a more satisfying solution to the quantum measurement problem. By being more realistic and abandoning the simplifying assumption that ignores the environment-a simplification that was crucial to making progress during the early development of the field-we would find that quantum mechanics has a built-in solution. Human consciousness, human experimenters, and human observations would no longer play a special role since they (we!) would simply be elements of the environment, like air molecules and photons, which can interact with a given physical system. There would also no longer be a stage one / stage two split between the evolution of the objects and the experimenter who measures them. Everything-observed and observer-would be on an equal footing. Everything-observed and observer-would be subject to precisely the same quantum mechanical law as is set down in Schrödinger's equation. The act of measurement would no longer be special; it would merely be one specific example of contact with the environment.
+  Is that it? Does decoherence resolve the quantum measurement problem? Is decoherence responsible for wavefunctions' closing the door on all but one of the potential outcomes to which they can lead? Some think so. Researchers like Robert Griffiths, of Carnegie Mellon; Roland Omnès, of Orsay; the Nobel laureate Murray Gell-Mann, of the Santa Fe Institute; and Jim Hartle, of the University of California at Santa Barbara, have made great progress and claim that they have developed decoherence into a complete framework (called decoherent histories) that solves the measurement problem. Others, like myself, are intrigued but not yet fully convinced. You see, the power of decoherence is that it successfully removes the artificial barrier Bohr erected between large and small physical systems, making everything subject to the same quantum mechanical formulas. This is important progress and I think Bohr would have found it gratifying. Although the unresolved quantum measurement problem never diminished physicists' ability to reconcile theoretical calculations with experimental data, it did lead Bohr and his colleagues to articulate a quantum mechanical framework with some distinctly awkward features. Many found the framework's need for fuzzy words about wavefunction collapse or the imprecise notion of "large" systems belonging to the dominion of classical physics, unnerving. To a significant extent, by taking account of decoherence, researchers have rendered these vague ideas unnecessary.
+  However, a key issue that I skirted in the description above is that even though decoherence suppresses quantum interference and thereby coaxes weird quantum probabilities to be like their familiar classical counterparts,  each of the potential outcomes embodied in a wavefunction still vies for realization. And so we are still left wondering how one outcome "wins" and where the many other possibilities "go" when that actually happens. When a coin is tossed, classical physics gives an answer to the analogous question. It says that if you examine the way the coin is set spinning with adequate precision, you can, in principle,  predict whether it will land heads or tails. On closer inspection, then, precisely one outcome is determined by details you initially overlooked. The same cannot be said in quantum physics. Decoherence allows quantum probabilities to be interpreted much like classical ones, but does not provide any finer details that select one of the many possible outcomes to actually happen.
+  Much in the spirit of Bohr, some physicists believe that searching for such an explanation of how a single, definite outcome arises is misguided. These physicists argue that quantum mechanics, with its updating to include decoherence, is a sharply formulated theory whose predictions account for the behavior of laboratory measuring devices. And according to this view,  that is the goal of science. To seek an explanation of what's  really going on, to strive for an understanding of how a particular outcome came to be, to hunt for a level of reality beyond detector readings and computerprintouts betrays an unreasonable intellectual greediness.
+  Many others, including me, have a different perspective. Explaining data is what science is about. But many physicists believe that science is also about embracing the theories data confirms and going further by using them to gain maximal insight into the nature of reality. I strongly suspect that there is much insight to be gained by pushing onward toward a complete solution of the measurement problem.
+  Thus, although there is wide agreement that environment-induced decoherence is a crucial part of the structure spanning the quantum-to-classical divide, and while many are hopeful that these considerations will one day coalesce into a complete and cogent connection between the two, far from everyone is convinced that the bridge has yet been fully built.
+Quantum Mechanics and the Arrow of Time
+So where do we stand on the measurement problem, and what does it mean for the arrow of time? Broadly speaking, there are two classes of proposals for linking common experience with quantum reality. In the first class (for example, wavefunction as knowledge; Many Worlds; decoherence), Schrödinger's equation is the be-all and end-all of the story; the proposals simply provide different ways of interpreting what the equation means for physical reality. In the second class (for example, Bohm; Ghirardi-Rimini-Weber), Schrödinger's equation must be supplemented with other equations (in Bohm's case, an equation that shows how a wavefunction pushes a particle around) or it must be modified (in the Ghirardi-Rimini-Weber case, to incorporate a new, explicit collapse mechanism). A key question for determining the impact on time's arrow is whether these proposals introduce a fundamental asymmetry between one direction in time and the other. Remember, Schrödinger's equation, just like those of Newton, Maxwell, and Einstein, treats forward and backward in time on a completely equal footing. It provides no arrow to temporal evolution. Do any of the proposals change this?
+  In the first class of proposals, the Schrödinger framework is not at all modified, so temporal symmetry is maintained. In the second class, temporal symmetry may or may not survive, depending on the details. For example, in Bohm's approach, the new equation proposed does treat time future and time past on an equal footing and so no asymmetry is introduced. However, the proposal of Ghirardi, Rimini, and Weber introduces a collapse mechanism that does have a temporal arrow-an "uncollapsing" wavefunction, one that goes from a spiked to a spread-out shape, would not conform to the modified equations. Thus, depending on the proposal, quantum mechanics, together with a resolution to the quantum measurement puzzle, may or may not continue to treat each direction in time equally. Let's consider the implications of each possibility.
+  If time symmetry persists (as I suspect it will), all of the reasoning and all of the conclusions of the last chapter can be carried over with little change to the quantum realm. The core physics that entered our discussion of time's arrow was the time-reversal symmetry of classical physics. While the basic language and framework of quantum physics differ from those of classical physics-wavefunctions instead of positions and velocities; Schrödinger's equation instead of Newton's laws-time-reversal symmetry of all quantum equations would ensure that the treatment of time's arrow would be unchanged. Entropy in the quantum world can be defined much as in classical physics so long as we describe particles in terms of their wavefunctions. And the conclusion that entropy should always be on the rise-increasing both toward what we call the future and toward what we call the past-would still hold.
+  We would thus come to the same puzzle encountered in Chapter 6. If we take our observations of the world right now as given, as undeniably real, and if entropy should increase both toward the future and toward the past, how do we explain how the world got to be the way it is and how it will subsequently unfold? And the same two possibilities would present themselves: either all that we see popped into existence by a statistical fluke that you would expect to happen every so often in an eternal universe that spends the vast majority of its time being totally disordered, or, for some reason, entropy was astoundingly low just following the big bang and for the last 14 billion years things have been slowly unwinding and will continue to do so toward the future. As in Chapter 6, to avoid the quagmire of not trusting memories, records, and the laws of physics, we focus on the second option-a low-entropy bang-and seek an explanation for how and why things began in such a special state.
+  If, on the other hand, time symmetry is lost-if the resolution of the measurement problem that is one day accepted reveals a fundamental asymmetric treatment of future versus past within quantum mechanics- it could very well provide the most straightforward explanation of time's arrow. It might show, for instance, that eggs splatter but don't unsplatter because, unlike what we found using the laws of classical physics, splattering solves the full quantum equations but unsplattering doesn't. A reverse-run movie of a splattering egg would then depict motion that couldn't happen in the real world, which would explain why we've never seen it. And that would be that.
+  Possibly. But even though this would seem to provide a very different explanation of time's arrow, in reality it may not be as different as it appears. As we emphasized in Chapter 6, for the pages of War and Peace  to become increasingly disordered they must begin ordered; for an egg to become disordered through splattering, it must begin as an ordered, pristine egg; for entropy to increase toward the future, entropy must be low in the past so things have the potential to become disordered. However, just because a law treats past and future differently does not ensure that the law dictates a past with lower entropy. The law might still imply higher entropy toward the past (perhaps entropy would increase asymmetrically toward past and future), and it's even possible that a time-asymmetric law would be unable to say anything about the past at all. The latter is true of the Ghirardi-Rimini-Weber proposal, one of the only substantive time-asymmetric proposals on the market. Once their collapse mechanism does its trick, there is no way to undo it-there is no way to start from the collapsed wavefunction and evolve it back to its previous spread-out form. The detailed form of the wavefunction is lost in the collapse-it turns into a spike-and so it's impossible to "retrodict" what things were like at any time before the collapse occurred.
+  Thus, even though a time-asymmetric law would provide a partial explanation for why things unfold in one temporal order but never in the reverse order, it could very well call for the same key supplement required by time-symmetric laws: an explanation for why entropy was low in the distant past. Certainly, this is true of the time-asymmetric modifications to quantum mechanics that have so far been proposed. And so, unless some future discovery reveals two features, both of which I consider unlikely- a time-asymmetric solution to the quantum measurement problem that, additionally, ensures that entropy decreases toward the past-our effort to explain the arrow of time leads us, once again, back to the origin of the universe, the subject of the next part of the book.
+  As these chapters will make clear, cosmological considerations wend their way through many mysteries at the heart of space, time, and matter. So on the journey toward modern cosmology's insights into time's arrow, it's worth our while not to rush through the landscape, but rather, to take a well-considered stroll through cosmic history.
+III
+SPACETIME AND COSMOLOGY
+8
+Of Snowflakes and Spacetime
+SYMMETRY AND THE EVOLUTION OF THE COSMOS
+Richard Feynman once said that if he had to summarize the most important finding of modern science in one sentence he would choose "The world is made of atoms." When we recognize that so much of our understanding of the universe relies on the properties and interactions of atoms-from the reason that stars shine and the sky is blue to the explanation for why you feel this book in your hand and see these words with your eyes-we can well appreciate Feynman's choice for encapsulating our scientific legacy. Many of today's leading scientists agree that if they were offered a second sentence, they'd choose "Symmetry underlies the laws of the universe." During the last few hundred years there have been many upheavals in science, but the most lasting discoveries have a common characteristic: they've identified features of the natural world that remain unchanged even when subjected to a wide range of manipulations. These unchanging attributes reflect what physicists call symmetries, and they have played an increasingly vital role in many major advances. This has provided ample evidence that symmetry-in all its mysterious and subtle guises-shines a powerful light into the darkness where truth awaits discovery.
+  In fact, we will see that the history of the universe is, to a large extent, the history of symmetry. The most pivotal moments in the evolution of the universe are those in which balance and order suddenly change, yielding cosmic arenas qualitatively different from those of preceding eras. Current theory holds that the universe went through a number of these transitions during its earliest moments and that everything we've ever encountered is a tangible remnant of an earlier, more symmetric cosmic epoch. But there is an even grander sense, a metasense, in which symmetry lies at the core of an evolving cosmos. Time itself is intimately entwined with symmetry. As will become clear, the practical connotation of time as a measure of change, as well as the very existence of a kind of cosmic time that allows us to speak sensibly of things like "the age and evolution of the universe as a whole," rely sensitively on aspects of symmetry. And as scientists have examined that evolution, looking back toward the beginning in search of the true nature of space and time, symmetry has established itself as the most sure-footed of guides, providing insights and answers that would otherwise have been completely out of reach.
+Symmetry and the Laws of Physics
+Symmetry abounds. Hold a cue ball in your hand and rotate it this way or that-spin it around any axis-and it looks exactly the same. Put a plain, round dinner plate on a placemat and rotate it about its center: it looks completely unchanged. Gently catch a newly formed snowflake and rotate it so that each tip is moved into the position previously held by its neighbor, and you'd be hard pressed to notice that you'd done anything at all. Take the letter "A," flip it about a vertical axis passing through its apex, and it will provide you with a perfect replica of the original.
+  As these examples make clear, the symmetries of an object are the manipulations, real or imagined, to which it can be subjected with no effect on its appearance. The more kinds of manipulations an object can sustain with no discernible effect, the more symmetric it is. A perfect sphere is highly symmetric, since any rotation about its center-using an up-down axis, a left-right axis, or any axis in fact-leaves it looking exactly the same. A cube is less symmetric, since only rotations in units of 90 degrees about axes that pass through the center of its faces (and combinations thereof) leave it looking unchanged. Of course, should someone perform any other rotation, such as in Figure 8.1c, you obviously can still recognize the cube, but you also can see clearly that someone has tampered with it. By contrast, symmetries are like the deftest of prowlers; they are manipulations that leave no evidence whatsoever.
+
+Figure 8.1 If a cube, as in (a), is rotated by 90 degrees, or multiples thereof, around axes passing through any of its faces, it looks unchanged, as in (b). But any other rotations can be detected, as in (c).
+  All these are examples of symmetries of objects in space. The symmetries underlying the known laws of physics are closely related to these, but zero in on a more abstract question: what manipulations-once again, real or imagined-can be performed on you or on the environment that will have absolutely no effect on the laws that explain the physical phenomena you observe? Notice that to be a symmetry, manipulations of this sort are not required to leave your observations unchanged. Instead, we are concerned with whether the laws governing those observations-the laws that explain what you see before, and then what you see after, some manipulation-are unchanged. As this is a central idea, let's see it at work in some examples.
+  Imagine that you're an Olympic gymnast and for the last four years you've been training diligently in your Connecticut gymnastics center. Through seemingly endless repetition, you've got every move in your various routines down perfectly-you know just how hard to push off the balance beam to execute an aerial walkover, how high to jump in the floor exercise for a double-twisting layout, how fast to swing on the parallel bars to launch your body on a perfect double-somersault dismount. In effect, your body has taken on an innate sense of Newton's laws, since it is these very laws that govern your body's motion. Now, when you finally do your routines in front of a packed audience in New York City, the site of the Olympic competition itself, you're banking on the same laws holding, since you intend to perform your routines exactly as you have in practice. Everything we know about Newton's laws lends credence to your strategy. Newton's laws are not specific to one location or another. They don't work one way in Connecticut and another way in New York. Rather, we believe his laws work in exactly the same way regardless of where you are. Even though you have changed location, the laws that govern your body's motion remain as unaffected as the appearance of a cue ball that has been rotated.
+  This symmetry is known as translational symmetry or translational  invariance. It applies not only to Newton's laws but also to Maxwell's laws of electromagnetism, to Einstein's special and general relativities, to quantum mechanics, and to just about any proposal in modern physics that anyone has taken seriously.
+  Notice one important thing, though. The details of your observations and experiences can and sometimes will vary from place to place. Were you to perform your gymnastics routines on the moon, you'd find that the path your body took in response to the same upward jumping force of your legs would be very different. But we fully understand this particular difference and it is already integrated into the laws themselves. The moon is less massive than the earth, so it exerts less gravitational pull; as a result, your body travels along different trajectories. And this fact-that the gravitational pull of a body depends on its mass-is an integral part of Newton's law of gravity (as well as of Einstein's more refined general relativity). The difference between your earth and moon experiences doesn't imply that the law of gravity has changed from place to place. Instead, it merely reflects an environmental difference that the law of gravity already accommodates. So when we said that the known laws of physics apply equally well in Connecticut or New York-or, let's now add, on the moon-that was true, but bear in mind that you may need to specify environmental differences on which the laws depend. Nevertheless, and this is the key conclusion, the explanatory framework the laws provide is not at all changed by a change in location. A change in location does not require physicists to go back to the drawing board and come up with new laws.
+  The laws of physics didn't have to operate this way. We can imagine a universe in which physical laws are as variable as those of local and national governments; we can imagine a universe in which the laws of physics with which we are familiar tell us nothing about the laws of physics on the moon, in the Andromeda galaxy, in the Crab nebula, or on the other side of the universe. In fact, we don't know with absolute certainty that the laws that work here are the same ones that work in far-flung corners of the cosmos. But we do know that should the laws somehow change way out there, it must be way out there, because ever more precise astronomical observations have provided ever more convincing evidence that the laws are uniform throughout space, at least the space we can see. This highlights the amazing power of symmetry. We are bound to planet earth and its vicinity. And yet, because of translational symmetry, we can learn about fundamental laws at work in the entire universe without straying from home, since the laws we discover here are those laws.
+  Rotational symmetry or rotational invariance is a close cousin of translational invariance. It is based on the idea that every spatial direction is on an equal footing with every other. The view from earth certainly doesn't lead you to this conclusion. When you look up, you see very different things than you do when you look down. But, again, this reflects details of the environment; it is not a characteristic of the underlying laws themselves. If you leave earth and float in deep space, far from any stars, galaxies, or other heavenly bodies, the symmetry becomes evident: there is nothing that distinguishes one particular direction in the black void from another. They are all on a par. You wouldn't have to give a moment's thought to whether a deep-space laboratory you're setting up to investigate properties of matter or forces should be oriented this way or that, since the underlying laws are insensitive to this choice. If one night a prankster were to change the laboratory's gyroscopic settings, causing it to rotate some number of degrees about some particular axis, you'd expect this to have no consequences whatsoever for the laws of physics probed by your experiments. Every measurement ever done fully confirms this expectation. Thus, we believe that the laws that govern the experiments you carry out and explain the results you find are insensitive both to where you are-this is translational symmetry-and to how you happen to be oriented in space-this is rotational symmetry.1
+  As we discussed in Chapter 3, Galileo and others were well aware of another symmetry that the laws of physics should respect. If your deep-space laboratory is moving with constant velocity-regardless of whether you're moving 5 miles per hour this way or 100,000 miles per hour that way-the motion should have absolutely no effect on the laws that explain your observations, because you are as justified as the next guy in claiming that you are at rest and it's everything else that is moving. Einstein, as we have seen, extended this symmetry in a thoroughly unanticipated way by including the speed of light among the observations that would be unaffected by either your motion or the motion of the light's source. This was a stunning move because we ordinarily throw the particulars of an object's speed into the environmental details bin, recognizing that the speed observed generally depends upon the motion of the observer. But Einstein, seeing light's symmetry stream through the cracks in nature's Newtonian façade, elevated light's speed to an inviolable law of nature, declaring it to be as unaffected by motion as the cue ball is unaffected by rotations.
+  General relativity, Einstein's next major discovery, fits squarely within this march toward theories with ever greater symmetry. Just as you can think of special relativity as establishing symmetry among all observers moving relative to one another with constant velocity, you can think of general relativity as going one step farther and establishing symmetry among all accelerated vantage points as well. This is extraordinary because, as we've emphasized, although you can't feel constant velocity motion, you  can feel accelerated motion. So it would seem that the laws of physics describing your observations must surely be different when you are accelerating, to account for the additional force you feel. Such is the case with Newton's approach; his laws, the ones that appear in all first-year physics textbooks, must be modified if utilized by an accelerating observer. But through the principle of equivalence, discussed in Chapter 3, Einstein realized that the force you feel from accelerating is indistinguishable from the force you feel in a gravitational field of suitable strength (the greater the acceleration, the greater the gravitational field). Thus, according to Einstein's more refined perspective, the laws of physics do not change when you accelerate, as long as you include an appropriate gravitational field in your description of the environment. General relativity treats all observers, even those moving at arbitrary non-constant velocities, equally-they are completely symmetric-since each can claim to be at rest by attributing the different forces felt to the effect of different gravitational fields. The differences in the observations between one accelerating observer and another are therefore no more surprising and provide no greater evidence of a change in nature's laws than do the differences you find when performing your gymnastics routine on earth or the moon.2
+  These examples give some sense of why many consider, and I suspect Feynman would have agreed, that the copious symmetries underlying natural law present a close runner-up to the atomic hypothesis as a summary of our deepest scientific insights. But there is more to the story. Over the last few decades, physicists have elevated symmetry principles to the highest rung on the explanatory ladder. When you encounter a proposed law of nature, a natural question to ask is: Why this law? Why special relativity? Why general relativity? Why Maxwell's theory of electromagnetism? Why the Yang-Mills theories of the strong and weak nuclear forces (which we'll look at shortly)? One important answer is that these theories make predictions that have been repeatedly confirmed by precision experiments. This is essential to the confidence physicists have in the theories, certainly, but it leaves out something important.
+  Physicists also believe these theories are on the right track because, in some hard-to-describe way, they feel right, and ideas of symmetry are essential to this feeling. It feels right that no location in the universe is somehow special compared with any other, so physicists have confidence that translational symmetry should be among the symmetries of nature's laws. It feels right that no particular constant-velocity motion is somehow special compared with any other, so physicists have confidence that special relativity, by fully embracing symmetry among all constant-velocity observers, is an essential part of nature's laws. It feels right, moreover, that any observational vantage point-regardless of the possibly accelerated motion involved-should be as valid as any other, and so physicists believe that general relativity, the simplest theory incorporating this symmetry, is among the deep truths governing natural phenomena. And, as we shall shortly see, the theories of the three forces other than gravity- electromagnetism and the strong and weak nuclear forces-are founded on other, somewhat more abstract but equally compelling principles of symmetry. So the symmetries of nature are not merely consequences of nature's laws. From our modern perspective, symmetries are the foundation from which laws spring.
+Symmetry and Time
+Beyond their role in fashioning the laws governing nature's forces, ideas of symmetry are vital to the concept of time itself. No one has as yet found the definitive, fundamental definition of time, but, undoubtedly, part of time's role in the makeup of the cosmos is that it is the bookkeeper of change. We recognize that time has elapsed by noticing that things now are different from how they were then. The hour hand on your watch points to a different number, the sun is in a different position in the sky, the pages in your unbound copy of War and Peace are more disordered, the carbon dioxide gas that rushed from your bottle of Coke is more spread out-all this makes plain that things have changed, and time is what provides the potential for such change to be realized. To paraphrase John Wheeler, time is nature's way of keeping everything-all change, that is-from happening all at once.
+  The existence of time thus relies on the absence of a particular symmetry: things in the universe must change from moment to moment for us even to define a notion of moment to moment that bears any resemblance to our intuitive conception. If there were perfect symmetry between how things are now and how they were then, if the change from moment to moment were of no more consequence than the change from rotating a cue ball, time as we normally conceive it wouldn't exist.3 That's not to say the spacetime expanse, schematically illustrated in Figure 5.1, wouldn't exist; it could. But since everything would be completely uniform along the time axis, there'd be no sense in which the universe evolves or changes. Time would be an abstract feature of this reality's arena-the fourth dimension of the spacetime continuum-but otherwise, it would be unrecognizable.
+  Nevertheless, even though the existence of time coincides with the lack of one particular symmetry, its application on a cosmic scale requires the universe to be highly respectful of a different symmetry. The idea is simple and answers a question that may have occurred to you while reading Chapter 3. If relativity teaches us that the passage of time depends on how fast you move and on the gravitational field in which you happen to be immersed, what does it mean when astronomers and physicists speak of the entire universe's being a particular definite age-an age which these days is taken to be about 14 billion years? Fourteen billion years according to whom? Fourteen billion years on which clock? Would beings living in the distant Tadpole galaxy also conclude that the universe is 14 billion years old, and if so, what would have ensured that their clocks have been ticking away in synch with ours? The answer relies on symmetry-symmetry in space.
+  If your eyes could see light whose wavelength is much longer than that of orange or red, you would not only be able to see the interior of your microwave oven burst into activity when you push the start button, but you would also see a faint and nearly uniform glow spread throughout what the rest of us perceive as a dark night sky. More than four decades ago, scientists discovered that the universe is suffused with microwave radiation-long-wavelength light-that is a cool relic of the sweltering conditions just after the big bang.4 This cosmic microwave background radiation is perfectly harmless. Early on, it was stupendously hot, but as the universe evolved and expanded, the radiation steadily diluted and cooled. Today it is just about 2.7 degrees above absolute zero, and its greatest claim to mischief is its contribution of a small fraction of the snow you see on your television set when you disconnect the cable and turn to a station that isn't broadcasting.
+  But this faint static gives astronomers what tyrannosaurus bones give paleontologists: a window onto earlier epochs that is crucial to reconstructing what happened in the distant past. An essential property of the radiation, revealed by precision satellite measurements over the last decade, is that it is extremely uniform. The temperature of the radiation in one part of the sky differs from that in another part by less than a thousandth of a degree. On earth, such symmetry would make the Weather Channel of little interest. If it were 85 degrees in Jakarta, you would immediately know that it was between 84.999 degrees and 85.001 degrees in Adelaide, Shanghai, Cleveland, Anchorage, and everywhere else for that matter. On a cosmic scale, by contrast, the uniformity of the radiation's temperature is fantastically interesting, as it supplies two critical insights.
+  First, it provides observational evidence that in its earliest stages the universe was not populated by large, clumpy, high-entropy agglomerations of matter, such as black holes, since such a heterogeneous environment would have left a heterogeneous imprint on the radiation. Instead, the uniformity of the radiation's temperature attests to the young universe being homogeneous; and, as we saw in Chapter 6, when gravity matters- as it did in the dense early universe-homogeneity implies low entropy. That's a good thing, because our discussion of time's arrow relied heavily on the universe's starting out with low entropy. One of our goals in this part of the book is to go as far as we can toward explaining this observation-we want to understand how the homogeneous, low-entropy, highly unlikely environment of the early universe came to be. This would take us a big step closer to grasping the origin of time's arrow.
+  Second, although the universe has been evolving since the big bang, on average the evolution must have been nearly identical across the cosmos. For the temperature here and in the Whirlpool galaxy, and in the Coma cluster, and everywhere else to agree to four decimal places, the physical conditions in every region of space must have evolved in essentially the same way since the big bang. This is an important deduction, but you must interpret it properly. A glance at the night sky certainly reveals a varied cosmos: planets and stars of various sorts sprinkled here and there throughout space. The point, though, is that when we analyze the evolution of the entire universe we take a macro perspective that averages over these "small"-scale variations, and large-scale averages do appear to be almost completely uniform. Think of a glass of water. On the scale of molecules, the water is extremely heterogeneous: there is an H2O molecule over here, an expanse of empty space, another H2O molecule over there, and so on. But if we average over the small-scale molecular lumpiness and examine the water on the "large" everyday scales we can see with the naked eye, the water in the glass looks perfectly uniform. The nonuniformity we see when gazing skyward is like the microscopic view from a single H 2O molecule. But as with the glass of water, when the universe is examined on large enough scales-scales on the order of hundreds of millions of light-years-it appears extraordinarily homogeneous. The uniformity of the radiation is thus a fossilized testament to the uniformity of both the laws of physics and the details of the environment across the cosmos.
+  This conclusion is of great consequence because the universe's uniformity is what allows us to define a concept of time applicable to the universe as a whole. If we take the measure of change to be a working definition of elapsed time, the uniformity of conditions throughout space is evidence of the uniformity of change throughout the cosmos, and thus implies the uniformity of elapsed time as well. Just as the uniformity of earth's geological structure allows a geologist in America, and one in Africa, and another in Asia to agree on earth's history and age, the uniformity of cosmic evolution throughout all of space allows a physicist in the Milky Way galaxy, and one in the Andromeda galaxy, and another in the Tadpole galaxy to all agree on the universe's history and age. Concretely, the homogeneous evolution of the universe means that a clock here, a clock in the Andromeda galaxy, and a clock in the Tadpole galaxy will, on average, have been subject to nearly identical physical conditions and hence will have ticked off time in nearly the same way. The homogeneity of space thus provides a universal synchrony.
+  While I have so far left out important details (such as the expansion of space, covered in the next section) the discussion highlights the core of the issue: time stands at the crossroads of symmetry. If the universe had perfect temporal symmetry-if it were completely unchanging-it would be hard to define what time even means. On the other hand, if the universe did not have symmetry in space-if, for example, the background radiation were thoroughly haphazard, having wildly different temperatures in different regions-time in a cosmological sense would have little meaning. Clocks in different locations would tick off time at different rates, and so if you asked what things were like when the universe was 3 billion years old, the answer would depend on whose clock you were looking at to see that those 3 billion years had elapsed. That would be complicated. Fortunately, our universe does not have so much symmetry as to render time meaningless, but does have enough symmetry that we can avoid such complexities, allowing us to speak of its overall age and its overall evolution through time.
+  So, let's now turn our attention to that evolution and consider the history of the universe.
+Stretching the Fabric
+The history of the universe sounds like a big subject, but in broad-brush outline it is surprisingly simple and relies in large part on one essential fact: The universe is expanding. As this is the central element in the unfolding of cosmic history, and, surely, is one of humanity's most profound discoveries, let's briefly examine how we know it is so.
+  In 1929, Edwin Hubble, using the 100-inch telescope at the Mount Wilson observatory in Pasadena, California, found that the couple of dozen galaxies he could detect were all rushing away.5 In fact, Hubble found that the more distant a galaxy is, the faster its recession. To give a sense of scale, more refined versions of Hubble's original observations (that have studied thousands of galaxies using, among other equipment, the Hubble Space Telescope) show that galaxies that are 100 million light-years from us are moving away at about 5.5 million miles per hour, those at 200 million light-years are moving away twice as fast, at about 11 million miles per hour, those at 300 million light-years' distance are moving away three times as fast, at about 16.5 million miles per hour, and so on. Hubble's was a shocking discovery because the prevailing scientific and philosophical prejudice held that the universe was, on its largest scales, static, eternal, fixed, and unchanging. But in one stroke, Hubble shattered that view. And in a wonderful confluence of experiment and theory, Einstein's general relativity was able to provide a beautiful explanation for Hubble's discovery.
+  Actually, you might not think that coming up with an explanation would be particularly difficult. After all, if you were to pass by a factory and see all sorts of material violently flying outward in all directions, you would likely think that there had been an explosion. And if you traveled backward along the paths taken by the scraps of metal and chunks of concrete, you'd find them all converging on a location that would be a likely contender for where the explosion occurred. By the same reasoning, since the view from earth-as attested to by Hubble's and subsequent observations-shows that galaxies are rushing outward, you might think our position in space was the location of an ancient explosion that uniformly spewed out the raw material of stars and galaxies. The problem with this theory, though, is that it singles out one region of space-our region-as unique by making it the universe's birthplace. And were that the case, it would entail a deep-seated asymmetry: the physical conditions in regions far from the primordial explosion-far from us-would be very different from those here. As there is no evidence for such asymmetry in astronomical data, and furthermore, as we are highly suspect of anthropocentric explanations laced with pre-Copernican thinking, a more sophisticated interpretation of Hubble's discovery is called for, one in which our location does not occupy some special place in the cosmic order.
+  General relativity provides such an interpretation. With general relativity, Einstein found that space and time are flexible, not fixed, rubbery, not rigid; and he provided equations that tell us precisely how space and time respond to the presence of matter and energy. In the 1920s, the Russian mathematician and meteorologist Alexander Friedmann and the Belgian priest and astronomer Georges Lemaître independently analyzed Einstein's equations as they apply to the entire universe, and the two found something striking. Just as the gravitational pull of the earth implies that a baseball popped high above the catcher must either be heading farther upward or must be heading downward but certainly cannot be staying put (except for the single moment when it reaches its highest point), Friedmann and Lemaître realized that the gravitational pull of the matter and radiation spread throughout the entire cosmos implies that the fabric of space must either be stretching or contracting, but that it could not be staying fixed in size. In fact, this is one of the rare examples in which the metaphor not only captures the essence of the physics but also its mathematical content since, it turns out, the equations governing the baseball's height above the ground are nearly identical to Einstein's equations governing the size of the universe.6
+  The flexibility of space in general relativity provides a profound way to interpret Hubble's discovery. Rather than explaining the outward motion of galaxies by a cosmic version of the factory explosion, general relativity says that for billions of years space has been stretching. And as it has swelled, space has dragged the galaxies away from each other much as the black specks in a poppy seed muffin are dragged apart as the dough rises in baking. Thus, the origin of the outward motion is not an explosion that took place within space. Instead, the outward motion arises from the relentless outward swelling of space itself.
+  To grasp this key idea more fully, think also of the superbly useful balloon model of the expanding universe that physicists often invoke (an analogy that can be traced at least as far back as a playful cartoon, which you can see in the endnotes, that appeared in a Dutch newspaper in 1930 following an interview with Willem de Sitter, a scientist who made substantial contributions to cosmology7). This analogy likens our three-dimensional space to the easier-to-visualize two-dimensional surface of a spherical balloon, as in Figure 8.2a, that is being blown up to larger and larger size. The galaxies are represented by numerous evenly spaced pennies glued to the balloon's surface. Notice that as the balloon expands, the pennies all move away from one another, providing a simple analogy for how expanding space drives all galaxies to separate.
+  An important feature of this model is that there is complete symmetry among the pennies, since the view any particular Lincoln sees is the same as the view any other Lincoln sees. To picture it, imagine shrinking yourself, lying down on a penny, and looking out in all directions across the balloon's surface (remember, in this analogy the balloon's surface represents all of space, so looking off the balloon's surface has no meaning). What will you observe? Well, you will see pennies rushing away from you in all directions as the balloon expands. And if you lie down on a different penny what will you observe? The symmetry ensures you'll see the same thing: pennies rushing away in all directions. This tangible image captures well our belief-supported by increasingly precise astronomical surveys-that an observer in any one of the universe's more than 100 billion galaxies, gazing across his or her night sky with a powerful telescope, would, on average, see an image similar to the one we see: surrounding galaxies rushing away in all directions.
+  And so, unlike a factory explosion within a fixed, preexisting space, if outward motion arises because space itself is stretching, there need be no special point-no special penny, no special galaxy-that is the center of the outward motion. Every point-every penny, every galaxy-is completely on a par with every other. The view from any location seems like the view from the center of an explosion: each Lincoln sees all other Lincolns rushing away; an observer, like us, in any galaxy sees all other galaxies rushing away. But since this is true for all locations, there is no special or unique location that is the center from which the outward motion is emanating.
+  Moreover, not only does this explanation account qualitatively for the outward motion of galaxies in a manner that is spatially homogeneous, it also explains the quantitative details found by Hubble and confirmed with greater precision by subsequent observations. As illustrated in Figure 8.2b, if the balloon swells during some time interval, doubling in size for example, all spatial separations will double in size as well: pennies that were 1 inch apart will now be 2 inches apart, pennies that were 2 inches apart will now be 4 inches apart, pennies that were 3 inches apart will now be 6 inches apart, and so on. Thus, in any given time interval, the increase in separation between two pennies is proportional to the initial distance between them. And since a greater increase in separation during a given time interval means a greater speed, pennies that are farther away from one another separate more quickly. In essence, the farther away from each other two pennies are, the more of the balloon's surface there is between them, and so the faster they're pushed apart when it swells. Applying exactly the same reasoning to expanding space and the galaxies it contains, we get an explanation for Hubble's observations. The farther away two galaxies are, the more space there is between them, so the faster they're pushed away from one another as space swells.
+
+Figure 8.2 (a) If evenly spaced pennies are glued to the surface of a sphere, the view seen by any Lincoln is the same as that seen by any other. This aligns with the belief that the view from any galaxy in the universe, on average, is the same as that seen from any other. (b ) If the sphere expands, the distances between all pennies increase. Moreover, the farther apart two pennies are in 8.2a, the greater the separation they experience from the expansion in 8.2b. This aligns well with measurements showing that the farther away from a given vantage point a galaxy is, the faster it moves away from that point. Note that no one penny is singled out as special, also in keeping with our belief that no galaxy in the universe is special or the center of the expansion of space.By attributing the observed motion of galaxies to the swelling of space, general relativity provides an explanation that not only treats all locations in space symmetrically, but also accounts for all of Hubble's data in one fell swoop. It is this kind of explanation, one that elegantly steps outside the box (in this case, one that actually uses the "box"-space, that is) to explain observations with quantitative precision and artful symmetry, that physicists describe as almost being too beautiful to be wrong. There is essentially universal agreement that the fabric of the space is stretching.
+Time in an Expanding Universe
+Using a slight variation on the balloon model, we can now understand more precisely how symmetry in space, even though space is expanding, yields a notion of time that applies uniformly across the cosmos. Imagine replacing each penny by an identical clock, as in Figure 8.3. We know from relativity that identical clocks will tick off time at different rates if they are subject to different physical influences-different motions, or different gravitational fields. But the simple yet key observation is that the complete symmetry among all Lincolns on the inflating balloon translates to complete symmetry among all the clocks. All the clocks experience identical physical conditions, so all tick at exactly the same rate and record identical amounts of elapsed time. Similarly, in an expanding universe in which there is a high degree of symmetry among all the galaxies, clocks that move along with one or another galaxy must also tick at the same rate and hence record an identical amount of elapsed time. How could it be otherwise? Each clock is on a par with every other, having experienced, on average, nearly identical physical conditions. This again shows the stunning power of symmetry. Without any calculation or detailed analysis, we realize that the uniformity of the physical environment, as evidenced by the uniformity of the microwave background radiation and the uniform distribution of galaxies throughout space,8 allows us to infer uniformity of time.
+  Although the reasoning here is straightforward, the conclusion may nevertheless be confusing. Since the galaxies are all rushing apart as space expands, clocks that move along with one or another galaxy are also rushing apart. What's more, they're moving relative to each other at an enormous variety of speeds determined by the enormous variety of distances between them. Won't this motion cause the clocks to fall out of synchronization, as Einstein taught us with special relativity? For a number of reasons, the answer is no; here is one particularly useful way to think about it.
+  Recall from Chapter 3 that Einstein discovered that clocks that move through space in different ways tick off time at different rates (because they divert different amounts of their motion through time into motion through space; remember the analogy with Bart on his skateboard, first heading north and then diverting some of his motion to the east). But the clocks we are now discussing are not moving through space at all. Just as each penny is glued to one point on the balloon and only moves relative to other pennies because of the swelling of the balloon's surface, each galaxy occupies one region of space and, for the most part, only moves relative to other galaxies because of the expansion of space. And this means that, with respect to space itself, all the clocks are actually stationary, so they tick off time identically. It is precisely these clocks-clocks whose only motion comes from the expansion of space-that provide the synchronized cosmic clocks used to measure the age of the universe.
+
+Figure 8.3 Clocks that move along with galaxies-whose motion, on average, arises only from the expansion of space-provide universal cosmic timepieces. They stay synchronized even though they separate from one another, since they move with space but not through space.
+  Notice, of course, that you are free to take your clock, hop aboard a rocket, and zip this way and that across space at enormous speeds, undergoing motion significantly in excess of the cosmic flow from spatial expansion. If you do this, your clock will tick at a different rate and you  will find a different length of elapsed time since the bang. This is a perfectly valid point of view, but it is completely individualistic: the elapsed time measured is tied to the history of your particular whereabouts and states of motion. When astronomers speak of the universe's age, though, they are seeking something universal-they are seeking a measure that has the same meaning everywhere. The uniformity of change throughout space provides a way of doing that.9
+  In fact, the uniformity of the microwave background radiation provides a ready-made test of whether you actually are moving with the cosmic flow of space. You see, although the microwave radiation is homogeneous across space, if you undertake additional motion beyond that from the cosmic flow of spatial expansion, you will not observe the radiation to be homogeneous. Just as the horn on a speeding car has a higher pitch when approaching and a lower pitch when receding, if you are zipping around in a spaceship, the crests and troughs of the microwaves heading toward the front of your ship will hit at a higher frequency than those traveling toward the back of your ship. Higher-frequency microwaves translate into higher temperatures, so you'd find the radiation in the direction you are heading to be a bit warmer than the radiation reaching you from behind. As it turns out, here on "spaceship" earth, astronomers do find the microwave background to be a little warmer in one direction in space and a little colder in the opposite direction. The reason is that not only does the earth move around the sun, and the sun move around the galactic center, but the entire Milky Way galaxy has a small velocity, in excess of cosmic expansion, toward the constellation Hydra. Only when astronomers correct for the effect these relatively slight additional motions have on the microwaves we receive does the radiation exhibit the exquisite uniformity of temperature between one part of the sky and another. It is this uniformity, this overall symmetry between one location and another, that allows us to speak sensibly of time when describing the entire universe.
+Subtle Features of an Expanding Universe
+A few subtle points in our explanation of cosmic expansion are worthy of emphasis. First, remember that in the balloon metaphor, it is only the balloon's  surface that plays any role-a surface that is only two-dimensional (each location can be specified by giving two numbers analogous to latitude and longitude on earth), whereas the space we see when we look around has three dimensions. We make use of this lower-dimensional model because it retains the concepts essential to the true, three-dimensional story but is far easier to visualize. It's important to bear this in mind, especially if you have been tempted to say that there is a special point in the balloon model: the center point in the interior of the balloon away from which the whole rubber surface is moving. While this observation is true, it is meaningless in the balloon analogy because any point not on the balloon's surface plays no role. The surface of the balloon represents all of space; points that do not lie on the surface of the balloon are merely irrelevant by-products of the analogy and do not correspond to any location in the universe.19
+  Second, if the speed of recession is larger and larger for galaxies that are farther and farther away, doesn't that mean that galaxies that are sufficiently distant will rush away from us at a speed greater than the speed of light? The answer is a resounding, definite yes. Yet there is no conflict with special relativity. Why? Well, it's closely related to the reason clocks moving apart due to the cosmic flow of space stay synchronized. As we emphasized in Chapter 3, Einstein showed that nothing can move through space faster than light. But galaxies, on average, hardly move through space at all. Their motion is due almost completely to the stretching of space itself. And Einstein's theory does not prohibit space from expanding in a way that drives two points-two galaxies-away from each other at greater than light speed. His results only constrain speeds for which motion from spatial expansion has been subtracted out, motion in excess of that arising from spatial expansion. Observations confirm that for typical galaxies zipping along with the cosmic flow, such excess motion is minimal, fully in keeping with special relativity, even though their motion relative to each other, arising from the swelling of space itself, may exceed the speed of light.20
+  Third, if space is expanding, wouldn't that mean that in addition to galaxies being driven away from each other, the swelling space within each galaxy would drive all its stars to move farther apart, and the swelling space within each star, and within each planet, and within you and me and everything else, would drive all the constituent atoms to move farther apart, and the swelling of space within each atom would drive all the subatomic constituents to move farther apart? In short, wouldn't swelling space cause everything to grow in size, including our meter sticks, and in that way make it impossible to discern that any expansion had actually happened? The answer: no. Think again about the balloon-and-penny model. As the surface of the balloon swells, all the pennies are driven apart, but the pennies themselves surely do not expand. Of course, had we represented the galaxies by little circles drawn on the balloon with a black marker, then indeed, as the balloon grew in size the little circles would grow as well. But pennies, not blackened circles, capture what really happens. Each penny stays fixed in size because the forces holding its zinc and copper atoms together are far stronger than the outward pull of the expanding balloon to which it is glued. Similarly, the nuclear force holding individual atoms together, and the electromagnetic force holding your bones and skin together, and the gravitational force holding planets and stars intact and bound together in galaxies, are stronger than the outward swelling of space, and so none of these objects expands. Only on the largest of scales, on scales much larger than individual galaxies, does the swelling of space meet little or no resistance (the gravitational pull between widely separated galaxies is comparatively small, because of the large separations involved) and so only on such super galactic scales does the swelling of space drive objects apart.
+Cosmology, Symmetry, and the Shape of Space
+If someone were to wake you in the middle of the night from a deep sleep and demand you tell them the shape of the universe-the overall shape of space-you might be hard pressed to answer. Even in your groggy state, you know that Einstein showed space to be kind of like Silly Putty and so, in principle, it can take on practically any shape. How, then, can you possibly answer your interrogator's question? We live on a small planet orbiting an average star on the outskirts of a galaxy that is but one of hundreds of billions dispersed throughout space, so how in the world can you be expected to know anything at all about the shape of the entire universe? Well, as the fog of sleep begins to lift, you gradually realize that the power of symmetry once again comes to the rescue.
+  If you take account of scientists' widely held belief that, over large-scale averages, all locations and all directions in the universe are symmetrically related to one another, then you're well on your way to answering the interrogator's question. The reason is that almost all shapes fail to meet this symmetry criterion, because one part or region of the shape fundamentally differs from another. A pear bulges significantly at the bottom but less so at the top; an egg is flatter in the middle but pointier at its ends. These shapes, although exhibiting some degree of symmetry, do not possess complete symmetry. By ruling out such shapes, and limiting yourself only to those in which every region and direction is like every other, you are able to narrow down the possibilities fantastically.
+  We've already encountered one shape that fits the bill. The balloon's spherical shape was the key ingredient in establishing the symmetry between all the Lincolns on its swelling surface, and so the three-dimensional version of this shape, the so-called three-sphere, is one candidate for the shape of space. But this is not the only shape that yields complete symmetry. Continuing to reason with the more easily visualized two-dimensional models, imagine an infinitely wide and infinitely long rubber sheet-one that is completely uncurved-with evenly spaced pennies glued to its surface. As the entire sheet expands, there once again is complete spatial symmetry and complete consistency with Hubble's discovery: every Lincoln sees every other Lincoln rush away with a speed proportional to its distance, as in Figure 8.4. Hence, a three-dimensional version of this shape, like an infinite expanding cube of transparent rubber with galaxies evenly sprinkled throughout its interior, is another possible shape for space. (If you prefer culinary metaphors, think of an infinitely large version of the poppy seed muffin mentioned earlier, one that is shaped like a cube but goes on forever, with poppy seeds playing the role of galaxies. As the muffin bakes, the dough expands, causing each poppy seed to rush away from the others.) This shape is called flat space because, unlike the spherical example, it has no curvature (a meaning of "flat" that mathematicians and physicists use, but that differs from the colloquial meaning of "pancake-shaped.")11
+  One nice thing about both the spherical and the infinite flat shapes is that you can walk endlessly and never reach an edge or a boundary. This is appealing because it allows us to avoid thorny questions: What is beyond the edge of space? What happens if you walk into a boundary of space? If space has no edges or boundaries, the question has no meaning. But notice that the two shapes realize this attractive feature in different ways. If you walk straight ahead in a spherically shaped space, you'll find, like Magellan, that sooner or later you return to your starting point, never having encountered an edge. By contrast, if you walk straight ahead in infinite flat space, you'll find that, like the Energizer Bunny, you can keep going and going, again never encountering an edge, but also never returning to where your journey began. While this might seem like a fundamental difference between the geometry of a curved and a flat shape, there is a simple variation on flat space that strikingly resembles the sphere in this regard.
+
+Figure 8.4 (a) The view from any penny on an infinite flat plane is the same as the view from any other. (b) The farther apart two pennies are in Figure 8.4a, the greater the increase in their separation when the plane expands.
+
+Figure 8.5 (a) A video game screen is flat (in the sense of "uncurved") and has a finite size, but contains no edges or boundaries since it "wraps around." Mathematically, such a shape is called a two-dimensional torus. (b) A three-dimensional version of the same shape, called a three-dimensional torus, is also flat (in the sense of uncurved) and has a finite volume, and also has no edges or boundaries, because it wraps around. If you pass through one face, you enter the opposite face.
+  To picture it, think of one of those video games in which the screen appears to have edges but in reality doesn't, since you can't actually fall off: if you move off the right edge, you reappear on the left; if you move off the top edge, you reappear on the bottom. The screen "wraps around," identifying top with bottom and left with right, and in that way the shape is flat (uncurved) and has finite size, but has no edges. Mathematically, this shape is called a two-dimensional torus; it is illustrated in Figure 8.5a.12 The three-dimensional version of this shape-a three-dimensional torus-provides another possible shape for the fabric of space. You can think of this shape as an enormous cube that wraps around along all three axes: when you walk through the top you reappear at the bottom, when you walk through the back, you reappear at the front, when you walk through the left side, you reappear at the right, as in Figure 8.5b. Such a shape is flat-again, in the sense of being uncurved, not in the sense of being like a pancake-three-dimensional, finite in all directions, and yet has no edges or boundaries.
+  Beyond these possibilities, there is still another shape consistent with the symmetric expanding space explanation for Hubble's discovery. Although it's hard to picture in three dimensions, as with the spherical example there is a good two-dimensional stand-in: an infinite version of a Pringle's potato chip. This shape, often referred to as a saddle, is a kind of inverse of the sphere: Whereas a sphere is symmetrically bloated outward, the saddle is symmetrically shrunken inward, as illustrated in Figure 8.6. Using a bit of mathematical terminology, we say that the sphere is positively curved (bloats outward), the saddle is negatively curved (shrinks inward), and flat space-whether infinite or finite-has no curvature (no bloating or shrinking).21
+  Researchers have proven that this list-uniformly positive, negative, or zero-exhausts the possible curvatures for space that are consistent with the requirement of symmetry between all locations and in all directions. And that is truly stunning. We are talking about the shape of the entire universe, something for which there are endless possibilities. Yet, by invoking the immense power of symmetry, researchers have been able to narrow the possibilities sharply. And so, if you allow symmetry to guide your answer, and your late-night interrogator grants you a mere handful of guesses, you'll be able to meet his challenge.13
+  All the same, you might wonder why we've come upon a variety of possible shapes for the fabric of space. We inhabit a single universe, so why can't we specify a unique shape? Well, the shapes we've listed are the only ones consistent with our belief that every observer, regardless of where in the universe they're located, should see on the largest of scales an identical cosmos. But such considerations of symmetry, while highly selective, are not able to go all the way and pick out a unique answer. For that we need Einstein's equations from general relativity.
+
+Figure 8.6 Using the two-dimensional analogy for space, there are three types of curvature that are completely symmetric-that is, curvatures in which the view from any location is the same as that from any other. They are (a) positive curvature, which uniformly bloats outward, as on a sphere; (b) zero curvature, which does not bloat at all, as on an infinite plane or finite video game screen;  (c) negative curvature, which uniformly shrinks inward, as on a saddle.
+  As input, Einstein's equations take the amount of matter and energy in the universe (assumed, again by consideration of symmetry, to be distributed uniformly) and as output, they give the curvature of space. The difficulty is that for many decades astronomers have been unable to agree on how much matter and energy there actually is. If all the matter and energy in the universe were to be smeared uniformly throughout space, and if, after this was done, there turned out to be more than the so-called critical density of about .00000000000000000000001 (10−23) grams in every cubic meter22-about five hydrogen atoms per cubic meter-Einstein's equations would yield a positive curvature for space; if there were less than the critical density, the equations would imply negative curvature; if there were exactly the critical density, the equations would tell us that space has no overall curvature. Although this observational issue is yet to be settled definitively, the most refined data are tipping the scales on the side of no curvature-the flat shape. But the question of whether the Energizer Bunny could move forever in one direction and vanish into the darkness, or would one day circle around and catch you from behind-whether space goes on forever or wraps back like a video screen-is still completely open.14
+  Even so, even without a final answer to the shape of the cosmic fabric, what's abundantly clear is that symmetry is the essential consideration allowing us to comprehend space and time when applied to the universe as a whole. Without invoking the power of symmetry, we'd be stuck at square one.
+Cosmology and Spacetime
+We can now illustrate cosmic history by combining the concept of expanding space with the loaf-of-bread description of spacetime from Chapter 3. Remember, in the loaf-of-bread portrayal, each slice-even though two-dimensional-represents all of three-dimensional space at a single moment of time from the perspective of one particular observer. Different observers slice up the loaf at different angles, depending on details of their relative motion. In the examples encountered previously, we did not take account of expanding space and, instead, imagined that the fabric of the cosmos was fixed and unchanging over time. We can now refine those examples by including cosmological evolution.
+  To do so, we will take the perspective of observers who are at rest with respect to space-that is, observers whose only motion arises from cosmic expansion, just like the Lincolns glued to the balloon. Again, even though they are moving relative to one another, there is symmetry among all such observers-their watches all agree-and so they slice up the spacetime loaf in exactly the same way. Only relative motion in excess of that coming from spatial expansion, only relative motion through space as opposed to motion from swelling space, would result in their watches falling out of synch and their slices of the spacetime loaf being at different angles. We also need to specify the shape of space, and for purposes of comparison we will consider some of the possibilities discussed above.
+  The easiest example to draw is the flat and finite shape, the video game shape. In Figure 8.7a, we show one slice in such a universe, a schematic image you should think of as representing all of space right now. For simplicity, imagine that our galaxy, the Milky Way, is in the middle of the figure, but bear in mind that no location is in any way special compared with any other. Even the edges are illusory. The top side is not a place where space ends, since you can pass through and reappear at the bottom; similarly, the left side is not a place where space ends, since you can pass through and reappear on the right side. To accommodate astronomical observations, each side should extend at least 14 billion light-years (about 85 billion trillion miles) from its midpoint, but each could be much longer.
+  Note that right now we can't literally see the stars and galaxies as drawn on this now slice since, as we discussed in Chapter 5, it takes time for the light emitted by any object right now to reach us. Instead, the light we see when we look up on a clear, dark night was emitted long ago-millions and even billions of years ago-and only now has completed the long journey to earth, entered our telescopes, and allowed us to marvel at the wonders of deep space. Since space is expanding, eons ago, when this light was emitted, the universe was a lot smaller. We illustrate this in Figure 8.7b in which we have put our current now slice on the right-hand side of the loaf and included a sequence of slices to the left that depict our universe at ever earlier moments of time. As you can see, the overall size of space and the separations between individual galaxies both decrease as we look at the universe at ever earlier moments.
+
+Figure 8.7 (a) A schematic image depicting all of space right now, assuming space is flat and finite in extent, i.e. shaped like a video game screen. Note that the galaxy on the upper right wraps around on the left. (b) A schematic image depicting all of space as it evolves through time, with a few time slices emphasized for clarity. Note that the overall size of space and the separation between galaxies decrease as we look farther back in time.
+  In Figure 8.8, you can also see the history of light, emitted by a distant galaxy perhaps a billion years ago, as it has traveled toward us here in the Milky Way. On the initial slice in Figure 8.8a, the light is first emitted, and on subsequent slices you can see the light getting closer and closer even as the universe gets larger and larger, and finally you can see it reaching us on the rightmost time slice. In Figure 8.8b, by connecting the locations on each slice that the light's leading edge passed through during its journey, we show the light's path through spacetime. Since we receive light from many directions, Figure 8.8c shows a sample of trajectories through space and time that various light beams take to reach us now.
+
+Figure 8.8 (a) Light emitted long ago from a distant galaxy gets closer and closer to the Milky Way on subsequent time slices. (b ) When we finally see the distant galaxy, we are looking at it across both space and time, since the light we see was emitted long ago. The path through spacetime followed by the light is highlighted. (c) The paths through spacetime taken by light emitted from various astronomical bodies that we see today.
+  The figures dramatically show how light from space can be used as a cosmic time capsule. When we look at the Andromeda galaxy, the light we receive was emitted some 3 million years ago, so we are seeing Andromeda as it was in the distant past. When we look at the Coma cluster, the light we receive was emitted some 300 million years ago and hence we are seeing the Coma cluster as it was in an even earlier epoch. If right now all the stars in all the galaxies in this cluster were to go supernova, we would still see the same undisturbed image of the Coma cluster and would do so for another 300 million years; only then would light from the exploding stars have had enough time to reach us. Similarly, should an astronomer in the Coma cluster who is on our current now-slice turn a superpowerful telescope toward earth, she will see an abundance of ferns, arthropods, and early reptiles; she won't see the Great Wall of China or the Eiffel Tower for almost another 300 million years. Of course, this astronomer, well trained in basic cosmology, realizes that she is seeing light emitted in earth's distant past, and in laying out her own cosmic spacetime loaf will assign earth's early bacteria to their appropriate epoch, their appropriate set of time slices.
+  All of this assumes that both we and the Coma cluster astronomer are moving only with the cosmic flow from spatial expansion, since this ensures that her slicing of the spacetime loaf coincides with ours-it ensures that her now-lists agree with ours. However, should she break ranks and move through space substantially in excess of the cosmic flow, her slices will tilt relative to ours, as in Figure 8.9. In this case, as we found with Chewie in Chapter 5, this astronomer's  now will coincide with what we consider to be our future or our past (depending on whether the additional motion is toward or away from us). Notice, though, that her slices will no longer be spatially homogeneous. Each angled slice in Figure 8.9 intersects the universe in a range of different epochs and so the slices are far from uniform. This significantly complicates the description of cosmic history, which is why physicists and astronomers generally don't contemplate such perspectives. Instead, they usually consider only the perspective of observers moving solely with the cosmic flow, since this yields slices that are homogeneous-but fundamentally speaking, each viewpoint is as valid as any other.
+
+Figure 8.9 The time slice of an observer moving significantly in excess of the cosmic flow from spatial expansion.
+  As we look farther to the left on the cosmic spacetime loaf, the universe gets ever smaller and ever denser. And just as a bicycle tire gets hotter and hotter as you squeeze more and more air into it, the universe gets hotter and hotter as matter and radiation are compressed together more and more tightly by the shrinking of space. If we head back to a mere ten millionths of a second after the beginning, the universe gets so dense and so hot that ordinary matter disintegrates into a primordial plasma of nature's elementary constituents. And if we continue our journey, right back to nearly time zero itself-the time of the big bang-the entire known universe is compressed to a size that makes the dot at the end of this sentence look gargantuan. The densities at such an early epoch were so great, and the conditions were so extreme, that the most refined physical theories we currently have are unable to give us insight into what happened. For reasons that will become increasingly clear, the highly successful laws of physics developed in the twentieth century break down under such intense conditions, leaving us rudderless in our quest to understand the beginning of time. We will see shortly that recent developments are providing a hopeful beacon, but for now we acknowledge our incomplete understanding of what happened at the beginning by putting a fuzzy patch on the far left of the cosmic spacetime loaf-our verson of the terra incognita on maps of old. With this finishing touch, we present Figure 8.10 as a broad-brush illustration of cosmic history.
+
+Figure 8.10 Cosmic history-the spacetime "loaf"-for a universe that is flat and of finite spatial extent. The fuzziness at the top denotes our lack of understanding near the beginning of the universe.
+Alternative Shapes
+We've so far assumed that space is shaped like a video game screen, but the story has many of the same features for the other possibilities. For example, if the data ultimately show that the shape of space is spherical, then, as we go ever farther back in time, the size of the sphere gets ever smaller, the universe gets ever hotter and denser, and at time zero we encounter some kind of big bang beginning. Drawing an illustration analogous to Figure 8.10 is challenging since spheres don't neatly stack one next to the other (you can, for example, imagine a "spherical loaf" with each slice being a sphere that surrounds the previous), but aside from the graphic complications, the physics is largely the same.
+  The cases of infinite flat space and of infinite saddle-shaped space also share many features with the two shapes already discussed, but they do differ in one essential way. Take a look at Figure 8.11, in which the slices represent flat space that goes on forever (of which we can show only a portion, of course). As you look at ever earlier times, space shrinks; galaxies get closer and closer together the farther back you look in Figure 8.11b. However, the overall size of space stays the same. Why? Well, infinity is a funny thing. If space is infinite and you shrink all distances by a factor of two, the size of space becomes half of infinity, and that is still infinite. So although everything gets closer together and the densities get ever higher as you head further back in time, the overall size of the universe stays infinite; things get dense everywhere on an infinite spatial expanse. This yields a rather different image of the big bang.
+  Normally, we imagine the universe began as a dot, roughly as in Figure 8.10, in which there is no exterior space or time. Then, from some kind of eruption, space and time unfurled from their compressed form and the expanding universe took flight. But if the universe is spatially infinite, there was already an infinite spatial expanse at the moment of the big bang. At this initial moment, the energy density soared and an incomparably large temperature was reached, but these extreme conditions existed everywhere, not just at one single point. In this setting, the big bang did not take place at one point; instead, the big bang eruption took place everywhere on the infinite expanse. Comparing this to the conventional single-dot beginning, it is as though there were many big bangs, one at each point on the infinite spatial expanse. After the bang, space swelled, but its overall size didn't increase since something already infinite can't get any bigger. What did increase are the separations between objects like galaxies (once they formed), as you can see by looking from left to right in Figure 8.11b. An observer like you or me, looking out from one galaxy or another, would see surrounding galaxies all rushing away, just as Hubble discovered.
+  Bear in mind that this example of infinite flat space is far more than academic. We will see that there is mounting evidence that the overall shape of space is not curved, and since there is no evidence as yet that space has a video game shape, the flat, infinitely large spatial shape is the front-running contender for the large-scale structure of spacetime.
+
+Figure 8.11 (a) Schematic depiction of infinite space, populated by galaxies. (b) Space shrinks at ever earlier times-so galaxies are closer and more densely packed at earlier times-but the overall size of infinite space stays infinite. Our ignorance of what happens at the earliest times is again denoted by a fuzzy patch, but here the patch extends through the infinite spatial expanse.
+Cosmology and Symmetry
+Considerations of symmetry have clearly been indispensable in the development of modern cosmological theory. The meaning of time, its applicability to the universe as a whole, the overall shape of space, and even the underlying framework of general relativity, all rest on foundations of symmetry. Even so, there is yet another way in which ideas of symmetry have informed the evolving cosmos. Through the course of its history, the temperature of the universe has swept across an enormous range, from the ferociously hot moments just after the bang to the few degrees above absolute zero you'd find today if you took a thermometer into deep space. And, as I will explain in the next chapter, because of a critical interdependence between heat and symmetry, what we see today is likely but a cool remnant of the far richer symmetry that molded the early universe and determined some of the most familiar and essential features of the cosmos.
+9
+Vaporizing the Vacuum
+HEAT NOTHINGNESS AND UNIFICATION
+For as much as 95 percent of the universe's history, a cosmic corre-spondent concerned with the broad-brush, overall form of the universe would have reported more or less the same story: Universe continues to expand. Matter continues to spread due to expansion. Density of universe continues to diminish. Temperature continues to drop. On largest of scales, universe maintains symmetric, homogeneous appearance. But it wouldn't always have been so easy to cover the cosmos. The earliest stages would have required furiously hectic reporting, because in those initial moments the universe underwent rapid change. And we now know that what happened way back then has played a dominant role in what we experience today.
+  In this chapter, we will focus on critical moments in the first fraction of a second after the big bang, when the amount of symmetry embodied by the universe is believed to have changed abruptly, with each change launching a profoundly different epoch in cosmic history. While the correspondent can now leisurely fax in the same few lines every few billion years, in those early moments of briskly changing symmetry the job would have been considerably more challenging, because the basic structure of matter and the forces responsible for its behavior would have been completely unfamiliar. The reason is tied up with an interplay between heat and symmetry, and requires a complete rethinking of what we mean by the notions of empty space and of nothingness. As we will see, such rethinking not only enriches substantially our understanding of the universe's first moments, but also takes us a step closer to realizing a dream that harks back to Newton, Maxwell, and, in particular, Einstein-the dream of unification. Of equal importance, these developments set the stage for the most modern cosmological framework, inflationary cosmology, an approach that announces answers to some of the most pressing questions and thorniest puzzles on which the standard big bang model is mute.
+Heat and Symmetry
+When things get very hot or very cold, they sometimes change. And sometimes the change is so pronounced that you can't even recognize the things with which you began. Because of the torrid conditions just after the bang, and the subsequent rapid drop in temperature as space expanded and cooled, understanding the effects of temperature change is crucial in grappling with the early history of the universe. But let's start simpler. Let's start with ice.
+  If you heat a very cold piece of ice, at first not much happens. Although its temperature rises, its appearance remains pretty much unchanged. But if you raise its temperature all the way to 0 degrees Celsius and you keep the heat on, suddenly something dramatic does happen. The solid ice starts to melt and turns into liquid water. Don't let the familiarity of this transformation dull the spectacle. Without previous experiences involving ice and water, it would be a challenge to realize the intimate connection between them. One is a rock-hard solid while the other is a viscous liquid. Simple observation reveals no direct evidence that their molecular makeup, H2O, is identical. If you'd never before seen ice or water and were presented with a vat of each, at first you would likely think they were unrelated. And yet, as either crosses through 0 degrees Celsius, you'd witness a wondrous alchemy as each transmutes into the other.
+  If you continue to heat liquid water, you again find that for a while not much happens beyond a steady rise in temperature. But then, when you reach 100 degrees Celsius, there is another sharp change: the liquid water starts to boil and transmute into steam, a hot gas that again is not obviously connected to liquid water or to solid ice. Yet, of course, all three share the same molecular composition. The changes from solid to liquid and liquid to gas are known as phase transitions. Most substances go through a similar sequence of changes if their temperatures are varied through a wide enough range.1
+  Symmetry plays a central role in phase transitions. In almost all cases, if we compare a suitable measure of something's symmetry before and after it goes through a phase transition, we find a significant change. On a molecular scale, for instance, ice has a crystalline form with H2O molecules arranged in an ordered, hexagonal lattice. Like the symmetries of the box in Figure 8.1, the overall pattern of the ice molecules is left unchanged only by certain special manipulations, such as rotations in units of 60 degrees about particular axes of the hexagonal arrangement. By contrast, when we heat ice, the crystalline arrangement melts into a jumbled, uniform clump of molecules-liquid water-that remains unchanged under rotations by any angle, about any axis. So, by heating ice and causing it to go through a solid-to-liquid phase transition, we have made it more symmetric. (Remember, although you might intuitively think that something more ordered, like ice, is more symmetric, quite the opposite is true; something is more symmetric if it can be subjected to more transformations, such as rotations, while its appearance remains unchanged.)
+  Similarly, if we heat liquid water and it turns into gaseous steam, the phase transition also results in an increase of symmetry. In a clump of water, the individual H2O molecules are, on average, packed together with the hydrogen side of one molecule next to the oxygen side of its neighbor. If you were to rotate one or another molecule in a clump it would noticeably disrupt the molecular pattern. But when the water boils and turns into steam, the molecules flit here and there freely; there is no longer any pattern to the orientations of the H2O molecules and hence, were you to rotate a molecule or group of molecules, the gas would look the same. Thus, just as the ice-to-water transition results in an increase in symmetry, the water-to-steam transition does so as well. Most (but not all2) substances behave in a similar way, experiencing an increase of symmetry when they undergo solid-to-liquid and liquid-to-gas phase transitions.
+  The story is much the same when you cool water or almost any other substance; it just takes place in reverse. For example, when you cool gaseous steam, at first not much happens, but as its temperature drops to 100 degrees Celsius, it suddenly starts to condense into liquid water; when you cool liquid water, not much happens until you reach 0 degrees Celsius, at which point it suddenly starts to freeze into solid ice. And, following the same reasoning regarding symmetries-but in reverse-we conclude that both of these phase transitions are accompanied by a decrease in symmetry.23
+  So much for ice, water, steam, and their symmetries. What does all this have to do with cosmology? Well, in the 1970s, physicists realized that not only can objects in the universe undergo phase transitions,  but the cosmosas a whole can do so as well. Over the last 14 billion years, the universe has steadily expanded and decompressed. And just as a decompressing bicycle tire cools off, the temperature of the expanding universe has steadily dropped. During much of this decrease in temperature, not much happened. But there is reason to believe that when the universe passed through particular critical temperatures-the analogs of 100 degrees Celsius for steam and 0 degrees Celsius for water-it underwent radical change and experienced a drastic reduction in symmetry. Many physicists believe that we are now living in a "condensed" or "frozen" phase of the universe, one that is very different from earlier epochs. The cosmological phase transitions did not literally involve a gas condensing into a liquid, or a liquid freezing into a solid, although there are many qualitative similarities with these more familiar examples. Rather, the "substance" that condensed or froze when the universe cooled through particular temperatures is a field-more precisely, a Higgs field. Let's see what this means.
+Force, Matter, and Higgs Fields
+Fields provide the framework for much of modern physics. The electromagnetic field, discussed in Chapter 3, is perhaps the simplest and most widely appreciated of nature's fields. Living among radio and television broadcasts, cell phone communications, the sun's heat and light, we are all constantly awash in a sea of electromagnetic fields. Photons are the elementary constituents of electromagnetic fields and can be thought of as the microscopic transmitters of the electromagnetic force. When you see something, you can think of it in terms of a waving electromagnetic field entering your eye and stimulating your retina, or in terms of photon particles entering your eye and doing the same thing. For this reason, the photon is sometimes described as the  messenger particle of the electromagnetic force.
+  The gravitational field is also familiar since it constantly and consistently anchors us, and everything around us, to the earth's surface. As with electromagnetic fields, we are all immersed in a sea of gravitational fields; the earth's is dominant, but we also feel the gravitational fields of the sun, the moon, and the other planets. Just as photons are particles that constitute an electromagnetic field, physicists believe that gravitons are particles that constitute a gravitational field. Graviton particles have yet to be discovered experimentally, but that's not surprising. Gravity is by far the weakest of all forces (for example, an ordinary refrigerator magnet can pick up a paper clip, thereby overcoming the pull of the entire earth's gravity) and so it's understandable that experimenters have yet to detect the smallest constituents of the feeblest force. Even without experimental confirmation, though, most physicists believe that just as photons transmit the electromagnetic force (they are the electromagnetic force's messenger particles), gravitons transmit the gravitational force (they are the gravitational force's messenger particles). When you drop a glass, you can think of the event in terms of the earth's gravitational field pulling on the glass, or, using Einstein's more refined geometrical description, you can think of it in terms of the glass's sliding along an indentation in the spacetime fabric caused by the earth's presence, or-if gravitons do indeed exist-you can also think of it in terms of graviton particles firing back and forth between the earth and the glass, communicating a gravitational "message" that "tells" the glass to fall toward the earth.
+  Beyond these well-known force fields, there are two other forces of nature, the strong nuclear force and the weak nuclear force, and they also exert their influence via fields. The nuclear forces are less familiar than electromagnetism and gravity because they operate only on atomic and subatomic scales. Even so, their impact on daily life, through nuclear fusion that causes the sun to shine, nuclear fission at work in atomic reactors, and radioactive decay of elements like uranium and plutonium, is no less significant. The strong and weak nuclear force fields are called  Yang-Mills fields after C. N. Yang and Robert Mills, who worked out their theoretical underpinnings in the 1950s. And just as electromagnetic fields are composed of photons, and gravitational fields are believed to be composed of gravitons, the strong and weak fields also have particulate constituents. The particles of the strong force are called gluons and those of the weak force are called W and Z particles. The existence of these force particles was confirmed by accelerator experiments carried out in Germany and Switzerland in the late 1970s and early 1980s.
+  The field framework also applies to matter. Roughly speaking, the probability waves of quantum mechanics may themselves be thought of as space-filling fields that provide the probability that some or other particle of matter is at some or other location. An electron, for instance, can be thought of as a particle-one that can leave a dot on a phosphor screen, as in Figure 4.4-but it can (and must) also be thought of in terms of a waving field, one that can contribute to an interference pattern on a phosphor screen as in Figure 4.3b.3 In fact, although I won't go into it in greater detail here,4 an electron's probability wave is closely associated with something called an electron field-a field that in many ways is similar to an electromagnetic field but in which the electron plays a role analogous to the photon's, being the electron field's smallest constituent. The same kind of field description holds true for all other species of matter particles as well.
+  Having discussed both matter fields and force fields, you might think we've covered everything. But there is general agreement that the story told thus far is not quite complete. Many physicists strongly believe that there is yet a third kind of field, one that has never been experimentally detected but that over the last couple of decades has played a pivotal role both in modern cosmological thought and in elementary particle physics. It is called a Higgs field, after the Scottish physicist Peter Higgs.5 And if the ideas in the next section are right, the entire universe is permeated by an ocean of Higgs field-a cold relic of the big bang-that is responsible for many of the properties of the particles that make up you and me and everything else we've ever encountered.
+Fields in a Cooling Universe
+Fields respond to temperature much as ordinary matter does. The higher the temperature, the more ferociously the value of a field will-like the surface of a rapidly boiling pot of water-undulate up and down. At the chilling temperature characteristic of deep space today (2.7 degrees above absolute zero, or 2.7 Kelvin, as it is usually denoted), or even at the warmer temperatures here on earth, field undulations are minuscule. But the temperature just after the big bang was so enormous-at 10−43 seconds after the bang, the temperature is believed to have been about 1032 Kelvin-that all fields violently heaved to and fro.
+  As the universe expanded and cooled, the initially huge density of matter and radiation steadily dropped, the vast expanse of the universe became ever emptier, and field undulations became ever more subdued. For most fields this meant that their values, on average, got closer to zero. At some moment, the value of a particular field might jitter slightly above zero (a peak) and a moment later it might dip slightly below zero (a trough), but on average the value of most fields closed in on zero-the value we intuitively associate with absence or emptiness.
+  Here's where the Higgs field comes in. It's a variety of field, researchers have come to realize, that had properties similar to other fields' at the scorchingly high temperatures just after the big bang: it fluctuated wildly up and down. But researchers believe that (just as steam condenses into liquid water when its temperature drops sufficiently) when the temperature of the universe dropped sufficiently, the Higgs field condensed into a particular  nonzero value throughout all of space. Physicists refer to this as the formation of a nonzero Higgs field vacuum expectation value-but to ease the technical jargon, I'll refer to this as the formation of a  Higgs ocean.
+  It's kind of like what would happen if you were to drop a frog into a hot metal bowl, as in Figure 9.1a, with a pile of worms lying in the center. At first, the frog would jump this way and that-high up, low down, left, right-in a desperate attempt to avoid burning its legs, and on average would stay so far from the worms that it wouldn't even know they were there. But as the bowl cooled, the frog would calm itself, would hardly jump at all, and, instead, would gently slide down to the most restful spot at the bowl's bottom. There, having closed in on the bowl's center, it would finally rendezvous with its dinner, as in Figure 9.1b.
+  But if the bowl were shaped differently, as in Figure 9.1c, things would turn out differently. Imagine again that the bowl starts out very hot and that the worm pile still lies at the bowl's center, now high up on the central bump. Were you to drop the frog in, it would again wildly jump this way and that, remaining oblivious to the prize perched on the central plateau. Then, as the bowl cooled, the frog would again settle itself, reduce its jumping, and slide down the bowl's smooth sides. But because of the new shape, the frog would never make it to the bowl's center. Instead, it would slide down into the bowl's valley and remain at a distance from the worm pile, as in Figure 9.1d.
+
+Figure 9.1 (a) A frog dropped into a hot metal bowl incessantly jumps around. (b) When the bowl cools, the frog calms down, jumps much less, and slides down to the bowl's middle.
+  If we imagine that the distance between the frog and the worm pile represents the value of a field-the farther the frog is from the worms, the larger the value of the field-and the height of the frog represents the energy contained in that field value-the higher up on the bowl the frog happens to be, the more energy the field contains-then these examples convey well the behavior of fields as the universe cools. When the universe is hot, fields jump wildly from value to value, much as the frog jumps from place to place in the bowl. As the universe cools, fields "calm down," they jump less often and less frantically, and their values slide downward to lower energy.
+
+Figure 9.1 (c) As in (a), but with a hot bowl of a different shape. (d) As in (b), but now when the bowl cools, the frog slides down to the valley, which is some distance from the bowl's center (where the worms are located).
+  But here's the thing. As with the frog example, there's a possibility of two qualitatively different outcomes. If the shape of the field's energy bowl-its so-called potential energy-is similar to that in Figure 9.1a, the field's value throughout space will slide all the way down to zero, the bowl's center, just as the frog slides all the way down to the worm pile. However, if the field's potential energy looks like that in Figure 9.1c, the field's value will not make it all the way to zero, to the energy bowl's center. Instead, just as the frog will slide down to the valley, which is a nonzero distance from the worm pile, the field's value will also slide down to the valley-a nonzero distance from the bowl's center-and that means the field will have a nonzero value.6 The latter behavior is characteristic of Higgs fields. As the universe cools, a Higgs field's value gets caught in the valley and never makes it to zero. And since what we're describing would happen uniformly throughout space, the universe would be permeated by a uniform and nonzero Higgs field-a Higgs ocean.
+  The reason this happens sheds light on the fundamental peculiarity of Higgs fields. As a region of space becomes ever cooler and emptier-as matter and radiation get ever more sparse-the energy in the region gets ever lower. Taking this to the limit, you know you've reached the emptiest a region of space can be when you've lowered its energy as far as possible. For ordinary fields suffusing a region of space, their energy contribution is lowest when their value has slid all the way down to the center of the bowl as in Figure 9.1b; they have zero energy when their value is zero. That makes good, intuitive sense since we associate emptying a region of space with setting everything, including field values, to zero.
+  But for a Higgs field, things work differently. Just as a frog can reach the central plateau in Figure 9.1c and be zero distance from the worm pile only if it has enough energy to jump up from the surrounding valley, a Higgs field can reach the bowl's center, and have value zero, only if it too embodies enough energy to surmount the bowl's central bump. If, to the contrary, the frog has little or no energy, it will slide to the valley in Figure 9.1d-a nonzero distance from the worm pile. Similarly, a Higgs field with little or no energy will also slide to the bowl's valley-a nonzero distance from the bowl's center-and hence it will have a nonzero value.
+  To force a Higgs field to have a value of zero-the value that would seem to be the closest you can come to completely removing the field from the region, the value that would seem to be the closest you can come to a state of nothingness-you would have to raise its energy and, energetically speaking, the region of space would not be as empty as it possibly could. Even though it sounds contradictory, removing the Higgs field- reducing its value to zero, that is-is tantamount to adding energy to the region. As a rough analogy, think of one of those fancy noise reduction headphones that produce sound waves to cancel those coming from the environment that would otherwise impinge on your eardrums. If the headphones work perfectly, you hear silence when they produce their sounds, but you hear the ambient noise if you shut them off. Researchers have come to believe that just as you hear less when the headphones are suffused with the sounds they are programmed to produce, so cold, empty space harbors as little energy as it possibly can-it is as empty as it can be-when it is suffused with an ocean of Higgs field. Researchers refer to the emptiest space can be as the vacuum, and so we learn that the vacuum may actually be permeated by a uniform Higgs field.
+  The process of a Higgs field's assuming a nonzero value throughout space-forming a Higgs ocean-is called spontaneous symmetry breaking24 and is one of the most important ideas to emerge in the later decades of twentieth-century theoretical physics. Let's see why.
+The Higgs Ocean and the Origin of Mass
+If a Higgs field has a nonzero value-if we are all immersed in an ocean of Higgs field-then shouldn't we feel it or see it or otherwise be aware of it in some way? Absolutely. And modern theory claims we do. Take your arm and swing it back and forth. You can feel your muscles at work driving the mass of your arm left and right and back again. If you take hold of a bowling ball, your muscles will have to work harder, since the greater the mass to be moved the greater the force they must exert. In this sense, the mass of an object represents the resistance it has to being moved; more precisely, the mass represents the resistance an object has to changes in its motion-to accelerations-such as first going left and then right and then left again. But where does this resistance to being accelerated come from? Or, in physics-speak, what gives an object its inertia?
+  In Chapters 2 and 3 we encountered various proposals Newton, Mach, and Einstein advanced as partial answers to this question. These scientists sought to specify a standard of rest with respect to which accelerations, such as those arising in the spinning-bucket experiment, could be defined. For Newton, the standard was absolute space; for Mach, it was the distant stars; and for Einstein, it was initially absolute spacetime (in special relativity) and then the gravitational field (in general relativity). But once delineating a standard of rest, and, in particular, specifying a benchmark for defining accelerations, none of these scientists took the next step to explain why objects resist accelerations. That is, none of them specified a mechanism whereby an object acquires its mass-its inertia- the attribute that fights accelerations. With the Higgs field, physicists have now suggested an answer.
+  The atoms that make up your arm, and the bowling ball you may have picked up, are all made of protons, neutrons, and electrons. The protons and neutrons, experimenters revealed in the late 1960s, are each composed of three smaller particles known as quarks. So, when you swing your arm back and forth, you are actually swinging all the constituent quarks and electrons back and forth, which brings us to the point. The Higgs ocean in which modern theory claims we are all immersed interactswith quarks and electrons: it resists their accelerations much as a vat of molasses resists the motion of a Ping-Pong ball that's been submerged. And this resistance, this drag on particulate constituents, contributes to what you perceive as the mass of your arm and the bowling ball you are swinging, or as the mass of an object you're throwing, or as the mass of your entire body as you accelerate toward the finish line in a 100-meter race. And so we do feel the Higgs ocean. The forces we all exert thousands of times a day in order to change the velocity of one object or another-to impart an acceleration-are forces that fight against the drag of the Higgs ocean.8
+  The molasses metaphor captures well some aspects of the Higgs ocean. To accelerate a Ping-Pong ball submerged in molasses, you'd have to push it much harder than when playing with it on your basement table-it will resist your attempts to change its velocity more strongly than it does when not in molasses, and so it behaves as if being submerged in molasses has increased its mass. Similarly, as a result of their interactions with the ubiquitous Higgs ocean, elementary particles resist attempts to change their velocities-they acquire mass. However, the molasses metaphor has three misleading features that you should be aware of.
+  First, you can always reach into the molasses, pull out the Ping-Pong ball, and see how its resistance to acceleration diminishes. This isn't true for particles. We believe that, today, the Higgs ocean fills all of space, so there is no way to remove particles from its influence; all particles have the masses they do regardless of where they are. Second, molasses resists all motion, whereas the Higgs field resists only accelerated motion. Unlike a Ping-Pong ball moving through molasses, a particle moving through outer space at constant speed would not be slowed down by "friction" with the Higgs ocean. Instead, its motion would continue unchanged. Only when we try to speed the particle up or slow it down does the ocean of Higgs field make its presence known by the force we have to exert. Third, when it comes to familiar matter composed of conglomerates of fundamental particles, there is another important source of mass. The quarks constituting protons and neutrons are held together by the strong nuclear force: gluon particles (the messenger particles of the strong force) stream between quarks, "gluing" them together. Experiments have shown that these gluons are highly energetic, and since Einstein's E=mc2 tells us that energy (E) can manifest itself as mass (m), we learn that the gluons inside protons and neutrons contribute a significant fraction of these particles' total mass. Thus, a more precise picture is to think of the molasseslike drag force of the Higgs ocean as giving mass to fundamental particles such as electrons and quarks, but when these particles combine into composite particles like protons, neutrons, and atoms, other (well understood) sources of mass also come into play.
+  Physicists assume that the degree to which the Higgs ocean resists a particle's acceleration varies with the particular species of particle. This is essential, because the known species of fundamental particles all have different masses. For example, while protons and neutrons are composed of two species of quarks (called up-quarks and down-quarks: a proton is made from two ups and a down; a neutron, from two downs and an up), over the years experimenters using atom smashers have discovered four other species of quark particles, whose masses span a wide range, from .0047 to 189 times the mass of a proton. Physicists believe the explanation for the variety of masses is that different kinds of particles interact more or less strongly with the Higgs ocean. If a particle moves smoothly through the Higgs ocean with little or no interaction, there will be little or no drag and the particle will have little or no mass. The photon is a good example. Photons pass completely unhindered through the Higgs ocean and so have no mass at all. If, to the contrary, a particle interacts significantly with the Higgs ocean, it will have a higher mass. The heaviest quark (it's called the top-quark), with a mass that's about 350,000 times an electron's, interacts 350,000 times more strongly with the Higgs ocean than does an electron; it has greater difficulty accelerating through the Higgs ocean, and that's why it has a greater mass. If we liken a particle's mass to a person's fame, then the Higgs ocean is like the paparazzi: those who are unknown pass through the swarming photographers with ease, but famous politicians and movie stars have to push much harder to reach their destination.9
+  This gives a nice framework for thinking about why one particle has a different mass from another, but, as of today, there is no fundamental explanation for the precise manner in which each of the known particle species interacts with the Higgs ocean. As a result, there is no fundamental explanation for why the known particles have the particular masses that have been revealed experimentally. However, most physicists do believe that were it not for the Higgs ocean, all fundamental particles would be like the photon and have no mass whatsoever. In fact, as we will now see, this may have been what things were like in the earliest moments of the universe.
+Unification in a Cooling Universe
+Whereas gaseous steam condenses into liquid water at 100 degrees Celsius, and liquid water freezes into solid ice at 0 degrees Celsius, theoretical studies have shown that the Higgs field condenses into a nonzero value at a million billion (1015) degrees. That's almost 100 million times the temperature at the core of the sun, and it is the temperature to which the universe is believed to have dropped by about a hundredth of a billionth (10−11) of a second after the big bang (ATB). Prior to 10 −11 seconds ATB, the Higgs field fluctuated up and down but had an average value of zero; as with water above 100 degrees Celsius, at such temperatures a Higgs ocean couldn't form because it was too hot. The ocean would have evaporated immediately. And without a Higgs ocean there was no resistance to particles undergoing accelerated motion (the paparazzi vanished), which implies that all the known particles (electrons, up-quarks, down-quarks, and the rest) had the same mass: zero.
+  This observation partly explains why the formation of the Higgs ocean is described as a cosmological phase transition. In the phase transitions from steam to water and from water to ice, two essential things happen. There is a significant qualitative change in appearance, and the phase transition is accompanied by a reduction in symmetry. We see the same two features in the formation of the Higgs ocean. First, there was a significant qualitative change: particle species that had been massless suddenly acquired nonzero masses-the masses that those particle species are now found to have. Second, this change was accompanied by a decrease in symmetry: before the formation of the Higgs ocean, all particles had the same mass-zero-a highly symmetric state of affairs. If you were to exchange one particle species' mass with another, no one would know, because the masses were all the same. But after the Higgs field condensed, the particle masses transmuted into nonzero-and nonequal- values, and so the symmetry between the masses was lost.
+  In fact, the reduction in symmetry arising from the formation of the Higgs ocean is more extensive still. Above 1015 degrees, when the Higgs field had yet to condense, not only were all species of fundamental matter particles massless, but also, without the resistive drag from a Higgs ocean, all species of force particles were massless as well. (Today, the W and Z messenger particles of the weak nuclear force have masses that are about 86 and 97 times the mass of the proton.) And, as originally discovered in the 1960s by Sheldon Glashow, Steven Weinberg, and Abdus Salam, the masslessness of all the force particles was accompanied by another, fantastically beautiful symmetry.
+  In the late 1800s Maxwell realized that electricity and magnetism, although once thought to be two completely separate forces, are actually different facets of the same force-the electromagnetic force (see Chapter 3). His work showed that electricity and magnetism complete each other; they are the yin and yang of a more symmetric, unified whole. Glashow, Salam, and Weinberg discovered the next chapter in this story of unification. They realized that before the Higgs ocean formed, not only did all the force particles have identical masses-zero-but the photons and W and Z particles were identical in essentially every other way as well.10 Just as a snowflake is unaffected by the particular rotations that interchange the locations of its tips, physical processes in the absence of the Higgs ocean would have been unaffected by particular interchanges of electromagnetic and weak-nuclear-force particles-by particular interchanges of photons and W and Z particles. And just as the insensitivity of a snowflake to being rotated reflects a symmetry (rotational symmetry), the insensitivity to interchange of these force particles also reflects a symmetry, one that for technical reasons is called a gauge symmetry. It has a profound implication. Since these particles convey their respective forces-they are their force's messenger particles-the symmetry between them means there was symmetry between the forces. At high enough temperatures, therefore, temperatures that would vaporize today's Higgs-filled vacuum, there is no distinction between the weak nuclear force and the electromagnetic force. At high enough temperatures, that is, the Higgs ocean evaporates; as it does, the distinction between the weak and electromagnetic forces evaporates, too.
+  Glashow, Weinberg, and Salam had extended Maxwell's century-old discovery by showing that the electromagnetic and weak nuclear forces are actually part of one and the same force. They had unified the description of these two forces in what is now called the electroweak force.
+  The symmetry between the electromagnetic and weak forces is not apparent today because as the universe cooled, the Higgs ocean formed, and-this is vital-photons and W and Z particles interact with the condensed Higgs field differently. Photons zip through the Higgs ocean as easily as B-movie has-beens slip through the paparazzi, and therefore remain massless. W and Z particles, though, like Bill Clinton and Madonna, have to slog their way through, acquiring masses that are 86 and 97 times that of a proton, respectively. (Note: this metaphor is not to scale.) That's why the electromagnetic and weak nuclear forces appear so different in the world around us. The underlying symmetry between them is "broken," or obscured, by the Higgs ocean.
+  This is a truly breathtaking result. Two forces that look very different at today's temperatures-the electromagnetic force responsible for light, electricity, and magnetic attraction, and the weak nuclear force responsible for radioactive decay-are fundamentally part of the same force, and appear to be different only because the nonzero Higgs field obscures the symmetry between them. Thus, what we normally think of as empty space-the vacuum, nothingness-plays a central role in making things in the world appear as they do. Only by vaporizing the vacuum, by raising the temperature high enough so that the Higgs field evaporated-that is, acquired an average value of zero throughout space-would the full symmetry underlying nature's laws be made apparent.
+  When Glashow, Weinberg, and Salam were developing these ideas, the W and Z particles had yet to be discovered experimentally. It was the strong faith these physicists had in the power of theory and the beauty of symmetry that gave them the confidence to go forward. Their boldness proved well founded. In due course, the W and Z particles were discovered and the electroweak theory was confirmed experimentally. Glashow, Weinberg, and Salam had looked beyond superficial appearances-they had peered through the obscuring fog of nothingness-to reveal a deep and subtle symmetry entwining two of nature's four forces. They were awarded the 1979 Nobel Prize for the successful unification of the weak nuclear force and electromagnetism.
+Grand Unification
+When I was a freshman in college, I'd drop in every now and then on my adviser, the physicist Howard Georgi. I never had much to say, but it hardly mattered. There was always something that Georgi was excited to share with interested students. On one occasion in particular, Georgi was especially worked up and he spoke rapid fire for over an hour, filling the chalkboard a number of times over with symbols and equations. Throughout, I nodded enthusiastically. But frankly, I hardly understood a word. Years later I realized that Georgi had been telling me about plans to test a discovery he had made called  grand unification.
+  Grand unification addresses a question that naturally follows the success of the electroweak unification: If two forces of nature were part of a unified whole in the early universe, might it be the case that, at even higher temperatures, at even earlier times in the history of the universe, the distinctions among three or possibly all four forces might similarly evaporate, yielding even greater symmetry? This raises the intriguing possibility that there might actually be a single fundamental force of nature that, through a series of cosmological phase transitions, has crystallized into the four seemingly different forces of which we are currently aware. In 1974, Georgi and Glashow put forward the first theory to go partway toward this goal of total unity. Their grand unified theory, together with later insights of Georgi, Helen Quinn, and Weinberg, suggested that three of the four forces-the strong, weak, and electromagnetic forces- were all part of one unified force when the temperature was above 10 billion billion billion (1028) degrees-some thousand billion billion times the temperature at the center of the sun-extreme conditions that existed prior to 10−35 seconds after the bang. Above that temperature, these physicists suggested, photons, gluons of the strong force, as well as W and Z particles, could all be freely interchanged with one another-a more robust gauge symmetry than that of the electroweak theory-without any observable consequence. Georgi and Glashow thus suggested that at these high energies and temperatures there was complete symmetry among the three nongravitational-force particles, and hence complete symmetry among the three nongravitational forces.11
+  Glashow and Georgi's grand unified theory went on to say that we do not see this symmetry in the world around us-the strong nuclear force that keeps protons and neutrons tightly glued together in atoms seems completely separate from the weak and electromagnetic forces-because as the temperature dropped below 1028 degrees, another species of Higgs field entered the story. This Higgs field is called the grand unified Higgs. (Whenever they might be confused, the Higgs field involved in electroweak unification is called the electroweak Higgs.) Similar to its electroweak cousin, the grand unified Higgs fluctuated wildly above 1028 degrees, but calculations suggested that it condensed into a nonzero value when the universe dropped below this temperature. And, as with the electroweak Higgs, when this grand unified Higgs ocean formed, the universe went through a phase transition with an accompanying reduction in symmetry. In this case, because the grand unified Higgs ocean has a different effect on gluons than it does on the other force particles, the strong force splintered off from the electroweak force, yielding two distinct nongravitational forces where previously there was one. A fraction of a second and a drop of billions and billions of degrees later, the electroweak Higgs condensed, causing the weak and electromagnetic forces to split apart as well.
+  While a beautiful idea, grand unification (unlike electroweak unification) has not been confirmed experimentally. To the contrary, Georgi's and Glashow's original proposal predicted a trace, residual implication of the universe's early symmetry that should be apparent today, one that would allow protons to every so often transmute into other species of particles (such as anti-electrons and particles known as pions). But after years of painstaking search for such proton decay in elaborate underground experiments-the experiment Georgi had excitedly described to me in his office years ago-none were found; this ruled out Georgi and Glashow's proposal. Since then, however, physicists have developed variations on that original model that are not ruled out by such experiments; however, so far none of these alternative theories have been confirmed.
+  The consensus among physicists is that grand unification is one of the great, as yet unrealized, ideas in particle physics. Since unification and cosmological phase transitions have proven so potent for electromagnetism and the weak nuclear force, many feel that it is only a matter of time before other forces are also gathered within a unified framework. As we shall see in Chapter 12, great strides in this direction have recently been made using a different approach-superstring theory-that has, for the first time, brought all forces, including gravity, into a unified theory, albeit one which is still, as of this writing, under vigorous development. But what is already clear, even in just considering the electroweak theory, is that the universe we currently see exhibits but a remnant of the early universe's resplendent symmetry.
+The Return of the Aether
+The concept of symmetry's breaking, and its realization through the electroweak Higgs field, clearly plays a central role in particle physics and cosmology. But the discussion may have left you wondering about the following: If a Higgs ocean is an invisible something that fills what we ordinarily think of as empty space, isn't it just another incarnation of the long discredited notion of the aether? The answer: yes and no. The explanation: yes, indeed, in some ways a Higgs ocean does smack of the aether. Like the aether, a condensed Higgs field permeates space, surrounds us all, seeps right through everything material, and, as a nonremovable feature of empty space (unless we reheat the universe above 1015 degrees, which we can't actually do), it redefines our conception of nothingness. But unlike the original aether, which was introduced as an invisible medium to carry light waves in much the same way that air carries sound waves, a Higgs ocean has nothing to do with the motion of light; it does not affect light's speed in any way, and so experiments from the turn of the twentieth century that ruled out the aether by studying light's motion have no bearing on the Higgs ocean.
+  Moreover, since the Higgs ocean has no effect on anything moving with constant velocity, it does not pick out one observational vantage point as somehow being special, as the aether did. Instead, even with a Higgs ocean, all constant velocity observers remain on a completely equal footing, and hence a Higgs ocean does not conflict with special relativity. Of course, these observations do not prove that Higgs fields exist; instead, they show that despite certain similarities to the aether, Higgs fields are not in conflict with any theory or experiment.
+  If there is an ocean of Higgs field, though, it should yield other consequences that will be experimentally testable within the next few years. As a primary example, just as electromagnetic fields are composed of photons, Higgs fields are composed of particles that, not surprisingly, are called  Higgs particles. Theoretical calculations have shown that if there is a Higgs ocean permeating space, Higgs particles should be among the debris from the high-energy collisions that will take place at the Large Hadron Collider, a giant atom smasher now under construction at Centre Européène pour la Recherche Nuclaire (CERN) in Geneva, Switzerland, and slated to come online in 2007. Roughly speaking, enormously energetic head-on collisions between protons should be able to knock a Higgs particle out of the Higgs ocean somewhat as energetic underwater collisions can knock H2O molecules out of the Atlantic. In due course, these experiments should allow us to determine whether this modern form of the aether exists or whether it will go the way of its earlier incarnation. This is a critical question to settle because, as we have seen, condensing Higgs fields play a deep and pivotal role in our current formulation of fundamental physics.
+  If the Higgs ocean is not found, it will require major rethinking of a theoretical framework that has been in place for more than thirty years. But if it is found, the event will be a triumph for theoretical physics: it will confirm the power of symmetry to correctly shape our mathematical reasoning as we venture forth into the unknown. Beyond this, confirmation of the Higgs ocean's existence would also do two more things. First, it would provide direct evidence of an ancient era when various aspects of today's universe that appear distinct were part of a symmetric whole. Second, it would establish that our intuitive notion of empty space-the end result of removing everything we can from a region so that its energy and temperature drop as low as possible-has, for a long time, been naïve. The emptiest empty space need not involve a state of absolute nothingness. Without invoking the spiritual, therefore, we may well closely brush up against the thinking of Henry More (Chapter 2) in our scientific quest to understand space and time. To More, the usual concept of empty space was meaningless because space is always filled with divine spirit. To us, the usual concept of empty space may be similarly elusive, since the empty space we're privy to may always be filled with an ocean of Higgs field.
+
+Figure 9.2 A time line schematically illustrating the standard big bang model of cosmology.
+Entropy and Time
+The time line in Figure 9.2 places the phase transitions we've discussed in historical context and hence gives us a firmer grasp of the sequence of events the universe has gone through from the big bang to the egg on your kitchen counter. But crucial information is still hidden within the fuzzy patch. Remember, knowing how things begin-the order of the stack of pages of War and Peace, the pressurized carbon dioxide molecules in your bottle of Coke, the state of the universe at the big bang-is essential to understanding how they evolve. Entropy can increase only if it is given room to increase. Entropy can increase only if it starts out low. If the pages of War and Peace begin thoroughly jumbled, further tosses will merely leave them jumbled; if the universe started out in a thoroughly disordered, high-entropy state, further cosmic evolution would merely maintain the disorder.
+  The history illustrated in Figure 9.2 is manifestly not a chronicle of eternal, unchanging disorder. Even though particular symmetries have been lost through cosmic phase transitions, the overall entropy of the universe has steadily increased. In the beginning, therefore, the universe must have been highly ordered. This fact allows us to associate "forward" in time with the direction of increasing entropy, but we still need to figure out an explanation for the incredibly low entropy-the incredibly high state of uniformity-of the newly born universe. This requires that we go even farther back than we have so far and try to understand more of what went on at the beginning-during the fuzzy patch in Figure 9.2-a task to which we now turn.
+10
+Deconstructing the Bang
+WHAT BANGED?
+A common misconception is that the big bang provides a theory of cosmic origins. It doesn't. The big bang is a theory, partly described in the last two chapters, that delineates cosmic evolution from a split second after whatever happened to bring the universe into existence, but it says nothing at all about time zero itself. And since, according to the big bang theory, the bang is what is supposed to have happened at the beginning, the big bang leaves out the bang. It tells us nothing about what banged, why it banged, how it banged, or, frankly, whether it ever really banged at all.1 In fact, if you think about it for a moment, you'll realize that the big bang presents us with quite a puzzle. At the huge densities of matter and energy characteristic of the universe's earliest moments, gravity was by far the dominant force. But gravity is an attractive force. It impels things to come together. So what could possibly be responsible for the  outward force that drove space to expand? It would seem that some kind of powerful repulsive force must have played a critical role at the time of the bang, but which of nature's forces could that possibly be?
+  For many decades this most basic of all cosmological questions went unanswered. Then, in the 1980s, an old observation of Einstein's was resurrected in a sparkling new form, giving rise to what has become known as inflationary cosmology. And with this discovery, credit for the bang could finally be bestowed on the deserving force: gravity. It's surprising, but physicists realized that in just the right environment gravity can be repulsive, and, according to the theory, the necessary conditions prevailed during the earliest moments of cosmic history. For a time interval that would make a nanosecond seem an eternity, the early universe provided an arena in which gravity exerted its repulsive side with a vengeance, driving every region of space away from every other with unrelenting ferocity. So powerful was the repulsive push of gravity that not only was the bang identified, it was revealed to be bigger-much bigger-than anyone had previously imagined. In the inflationary framework, the early universe expanded by an astonishingly huge factor compared with what is predicted by the standard big bang theory, enlarging our cosmological vista to a degree that dwarfed last century's realization that ours is but one galaxy among hundreds of billions.2
+  In this and the next chapter, we discuss inflationary cosmology. We will see that it provides a "front end" for the standard big bang model, offering critical modifications to the standard theory's claims about events during the universe's earliest moments. In doing so, inflationary cosmology resolves key issues that are beyond the reach of the standard big bang, makes a number of predictions that have been and in the near future will continue to be experimentally tested, and, perhaps most strikingly, shows how quantum processes can, through cosmological expansion, iron tiny wrinkles into the fabric of space that leave a visible imprint on the night sky. And beyond these achievements, inflationary cosmology gives significant insight into how the early universe may have acquired its exceedingly low entropy, taking us closer than ever to an explanation of the arrow of time.
+Einstein and Repulsive Gravity
+After putting the finishing touches on general relativity in 1915, Einstein applied his new equations for gravity to a variety of problems. One was the long-standing puzzle that Newton's equations couldn't account for the so-called precession of the perihelion of Mercury's orbit-the observed fact that Mercury does not trace the same path each time it orbits the sun: instead, each successive orbit shifts slightly relative to the previous. When Einstein redid the standard orbital calculations with his new equations, he derived the observed perihelion precession precisely, a result he found so thrilling that it gave him heart palpitations.3 Einstein also applied general relativity to the question of how sharply the path of light emitted by a distant star would be bent by spacetime's curvature as it passed by the sun on its way to earth. In 1919, two teams of astronomers-one camped out on the island of Principe off the west coast of Africa, the other in Brazil- tested this prediction during a solar eclipse by comparing observations of starlight that just grazed the sun's surface (these are the light rays most affected by the sun's presence, and only during an eclipse are they visible) with photographs taken when the earth's orbit had placed it between these same stars and the sun, virtually eliminating the sun's gravitational impact on the starlight's trajectory. The comparison revealed a bending angle that, once again, confirmed Einstein's calculations. When the press caught wind of the result, Einstein became a world-renowned celebrity overnight. With general relativity, it's fair to say, Einstein was on a roll.
+  Yet, despite the mounting successes of general relativity, for years after he first applied his theory to the most immense of all challenges-understanding the entire universe-Einstein absolutely refused to accept the answer that emerged from the mathematics. Before the work of Friedmann and Lemaître discussed in Chapter 8, Einstein, too, had realized that the equations of general relativity showed that the universe could not be static; the fabric of space could stretch or it could shrink, but it could not maintain a fixed size. This suggested that the universe might have had a definite beginning, when the fabric was maximally compressed, and might even have a definite end. Einstein stubbornly balked at this consequence of general relativity, because he and everyone else "knew" that the universe was eternal and, on the largest of scales, fixed and unchanging. Thus, notwithstanding the beauty and the successes of general relativity, Einstein reopened his notebook and sought a modification of the equations that would allow for a universe that conformed to the prevailing prejudice. It didn't take him long. In 1917 he achieved the goal by introducing a new term into the equations of general relativity: the cosmological constant.4
+  Einstein's strategy in introducing this modification is not hard to grasp. The gravitational force between any two objects, whether they're baseballs, planets, stars, comets, or what have you, is attractive, and as a result, gravity constantly acts to draw objects toward one another. The gravitational attraction between the earth and a dancer leaping upward causes the dancer to slow down, reach a maximum height, and then head back down. If a choreographer wants a static configuration in which the dancer floats in midair, there would have to be a repulsive force between the dancer and the earth that would precisely balance their gravitational attraction: a static configuration can arise only when there is a perfect cancellation between attraction and repulsion. Einstein realized that exactly the same reasoning holds for the entire universe. In just the same way that the attractive pull of gravity acts to slow the dancer's ascent, it also acts to slow the expansion of space. And just as the dancer can't achieve stasis-it can't hover at a fixed height-without a repulsive force to balance the usual pull of gravity, space can't be static-space can't hover at a fixed overall size-without there also being some kind of balancing repulsive force. Einstein introduced the cosmological constant because he found that with this new term included in the equations, gravity could provide just such a repulsive force.
+  But what physics does this mathematical term represent? What is the cosmological constant, from what is it made, and how does it manage to go against the grain of usual attractive gravity and exert a repulsive outward push? Well, the modern reading of Einstein's work-one that goes back to Lemaître-interprets the cosmological constant as an exotic form of energy that uniformly and homogeneously fills all of space. I say "exotic" because Einstein's analysis didn't specify where this energy might come from and, as we'll shortly see, the mathematical description he invoked ensured that it could not be composed of anything familiar like protons, neutrons, electrons, or photons. Physicists today invoke phrases like "the energy of space itself" or "dark energy" when discussing the meaning of Einstein's cosmological constant, because if there were a cosmological constant, space would be filled with a transparent, amorphous presence that you wouldn't be able to see directly; space filled with a cosmological constant would still look dark. (This resembles the old notion of an aether and the newer notion of a Higgs field that has acquired a nonzero value throughout space. The latter similarity is more than mere coincidence since there is an important connection between a cosmological constant and Higgs fields, which we will come to shortly.) But even without specifying the origin or identity of the cosmological constant, Einstein was able to work out its gravitational implications, and the answer he found was remarkable.
+  To understand it, you need to be aware of one feature of general relativity that we have yet to discuss. In Newton's approach to gravity, the strength of attraction between two objects depends solely on two things: their masses and the distance between them. The more massive the objects and the closer they are, the greater the gravitational pull they exert on each other. The situation in general relativity is much the same, except that Einstein's equations show that Newton's focus on mass was too limited. According to general relativity, it is not just the mass (and the separation) of objects that contributes to the strength of the gravitational field. Energy and pressure also contribute. This is important, so let's spend a moment to see what it means.
+  Imagine that it's the twenty-fifth century and you're being held in the Hall of Wits, the newest Department of Corrections experiment employing a meritocratic approach to disciplining white-collar felons. The convicts are each given a puzzle, and they can regain their freedom only by solving it. The guy in the cell next to you has to figure out why Gilligan's Island reruns made a surprise comeback in the twenty-second century and have been the most popular show ever since, so he's likely to be calling the Hall home for quite some time. Your puzzle is simpler. You are given two identical solid gold cubes-they are the same size and each is made from precisely the same quantity of gold. Your challenge is to find a way to make the cubes register different weights when gently resting on a fixed, exquisitely accurate scale, subject to one stipulation: you're not allowed to change the amount of matter in either cube, so there's to be no chipping, scraping, soldering, shaving, etc. If you posed this puzzle to Newton, he'd immediately declare it to have no solution. According to Newton's laws, identical quantities of gold translate into identical masses. And since each cube will rest on the same, fixed scale, earth's gravitational pull on them will be identical. Newton would conclude that the two cubes must register an identical weight, no ifs, ands, or buts.
+  With your twenty-fifth-century high school knowledge of general relativity, though, you see a way out. General relativity shows that the strength of the gravitational attraction between two objects does not just depend on their masses5 (and their separation), but also on any and all additional contributions to each object's total energy. And so far we have said nothing about the temperature of the golden cubes. Temperature is a measure of how quickly, on average, the atoms of gold that make up each cube are moving to and fro-it's a measure of how energetic the atoms are (it reflects their kinetic energy). Thus, you realize that if you heat up one cube, its atoms will be more energetic, so it will weigh a bit more than the cooler cube. This is a fact Newton was unaware of (an increase of 10 degrees Celsius would increase the weight of a one-pound cube of gold by about a millionth of a billionth of a pound, so the effect is minuscule), and with this solution you win release from the Hall.
+  Well, almost. Because your crime was particularly devious, at the last minute the parole board decides that you must solve a second puzzle. You are given two identical old-time Jack-in-the-box toys, and your new challenge is to find a way to make each have a different weight. But in this go-around, not only are you forbidden to change the amount of mass in either object, you are also required to keep both at exactly the same temperature. Again, were Newton given this puzzle, he would immediately resign himself to life in the Hall. Since the toys have identical masses, he would conclude that their weights are identical, and so the puzzle is insoluble. But once again, your knowledge of general relativity comes to the rescue: On one of the toys you compress the spring, tightly squeezing Jack under the closed lid, while on the other you leave Jack in his popped-up posture. Why? Well, a compressed spring has more energy than an uncompressed one; you had to exert energy to squeeze the spring down and you can see evidence of your labor because the compressed spring exerts pressure, causing the toy's lid to strain slightly outward. And, again, according to Einstein,  any additional energy affects gravity, resulting in additional weight. Thus, the closed Jack-in-the-box, with its compressed spring exerting an outward pressure, weighs a touch more than the open Jack-in-the-box, with its uncompressed spring. This is a realization that would have escaped Newton, and with it you finally do earn back your freedom.
+  The solution to that second puzzle hints at the subtle but critical feature of general relativity that we're after. In his paper presenting general relativity, Einstein showed mathematically that the gravitational force depends not only on mass, and not only on energy (such as heat), but also on any pressures that may be exerted. And this is the essential physics we need if we are to understand the cosmological constant. Here's why. Outward-directed pressure, like that exerted by a compressed spring, is called positive pressure. Naturally enough, positive pressure makes a positive contribution to gravity. But, and this is the critical point, there are situations in which the pressure in a region, unlike mass and total energy, can be negative, meaning that the pressure sucks inward instead of pushing outward. And although that may not sound particularly exotic, negative pressure can result in something extraordinary from the point of view of general relativity:  whereas positive pressure contributes to ordinary attractive gravity, negative pressure contributes to "negative" gravity, that is, to repulsive gravity!6
+  With this stunning realization, Einstein's general relativity exposed a loophole in the more than two-hundred-year-old belief that gravity is always an attractive force. Planets, stars, and galaxies, as Newton correctly showed, certainly do exert an attractive gravitational pull. But when pressure becomes important (for ordinary matter under everyday conditions, the gravitational contribution of pressure is negligible) and, in particular, when pressure is negative (for ordinary matter like protons and electrons, pressure is positive, which is why the cosmological constant can't be composed of anything familiar) there is a contribution to gravity that would have shocked Newton. It's repulsive.
+  This result is central to much of what follows and is easily misunderstood, so let me emphasize one essential point. Gravity and pressure are two related but separate characters in this story. Pressures, or more precisely, pressure differences, can exert their own, nongravitational forces. When you dive underwater, your eardrums can sense the pressure difference between the water pushing on them from the outside and the air pushing on them from the inside. That's all true. But the point we're now making about pressure and gravity is completely different. According to general relativity, pressure can indirectly exert another force-it can exert a gravitational force-because pressure contributes to the gravitational field. Pressure, like mass and energy, is a source of gravity. And remarkably, if the pressure in a region is negative, it contributes a gravitational push to the gravitational field permeating the region, not a gravitational pull.
+  This means that when pressure is negative, there is competition between ordinary attractive gravity, arising from ordinary mass and energy, and exotic repulsive gravity, arising from the negative pressure. If the negative pressure in a region is negative enough, repulsive gravity will dominate; gravity will push things apart rather than draw them together. Here is where the cosmological constant comes into the story. The cosmological term Einstein added to the equations of general relativity would mean that space is uniformly suffused with energy but, crucially, the equations show that this energy has a uniform, negative pressure. What's more, the gravitational repulsion of the cosmological constant's negative pressure overwhelms the gravitational attraction coming from its positive energy, and so repulsive gravity wins the competition: a cosmological constant exerts an overall repulsive gravitational force.7
+  For Einstein, this was just what the doctor ordered. Ordinary matter and radiation, spread throughout the universe, exert an attractive gravitational force, causing every region of space to pull on every other. The new cosmological term, which he envisioned as also being spread uniformly throughout the universe, exerts a repulsive gravitational force, causing every region of space to push on every other. By carefully choosing the size of the new term, Einstein found that he could precisely balance the usual attractive gravitational force with the newly discovered repulsive gravitational force, and produce a static universe.
+  Moreover, because the new repulsive gravitational force arises from the energy and pressure in space itself, Einstein found that its strength is cumulative; the force becomes stronger over larger spatial separations, since more intervening space means more outward pushing. On the distance scales of the earth or the entire solar system, Einstein showed that the new repulsive gravitational force is immeasurably tiny. It becomes important only over vastly larger cosmological expanses, thereby preserving all the successes of both Newton's theory and his own general relativity when they are applied closer to home. In short, Einstein found he could have his cake and eat it too: he could maintain all the appealing, experimentally confirmed features of general relativity while basking in the eternal serenity of an unchanging cosmos, one that was neither expanding nor contracting.
+  With this result, Einstein no doubt breathed a sigh of relief. How heart-wrenching it would have been if the decade of grueling research he had devoted to formulating general relativity resulted in a theory that was incompatible with the static universe apparent to anyone who gazed up at the night sky. But, as we have seen, a dozen years later the story took a sharp turn. In 1929, Hubble showed that cursory skyward gazes can be misleading. His systematic observations revealed that the universe is not static. It is expanding. Had Einstein trusted the original equations of general relativity, he would have predicted the expansion of the universe more than a decade before it was discovered observationally. That would certainly have ranked among the greatest discoveries-it might have been the greatest discovery-of all time. After learning of Hubble's results, Einstein rued the day he had thought of the cosmological constant, and he carefully erased it from the equations of general relativity. He wanted everyone to forget the whole sorry episode, and for many decades everyone did.
+  In the 1980s, however, the cosmological constant resurfaced in a surprising new form and ushered in one of the most dramatic upheavals in cosmological thinking since our species first engaged in cosmological thought.
+Of Jumping Frogs and Supercooling
+If you caught sight of a baseball flying upward, you could use Newton's law of gravity (or Einstein's more refined equations) to figure out its subsequent trajectory. And if you carried out the required calculations, you'd have a solid understanding of the ball's motion. But there would still be an unanswered question: Who or what threw the ball upward in the first place? How did the ball acquire the initial upward motion whose subsequent unfolding you've evaluated mathematically? In this example, a little further investigation is all it generally takes to find the answer (unless, of course, the aspiring big-leaguers realize that the ball just hit is on a collision course with the windshield of a parked Mercedes). But a more difficult version of a similar question dogs general relativity's explanation of the expansion of the universe.
+  The equations of general relativity, as originally shown by Einstein, the Dutch physicist Willem de Sitter, and, subsequently, Friedmann and Lemaître, allow for an expanding universe. But, just as Newton's equations tell us nothing about how a ball's upward journey got started, Einstein's equations tell us nothing about how the expansion of the universe got started. For many years, cosmologists took the initial outward expansion of space as an unexplained given, and simply worked the equations forward from there. This is what I meant earlier when I said that the big bang is silent on the bang.
+  Such was the case until one fateful night in December 1979, when Alan Guth, a physics postdoctoral fellow working at the Stanford Linear Accelerator Center (he is now a professor at MIT), showed that we can do better. Much better. Although there are details that today, more than two decades later, have yet to be resolved fully, Guth made a discovery that finally filled the cosmological silence by providing the big bang with a bang, and one that was bigger than anyone expected.
+  Guth was not trained as a cosmologist. His specialty was particle physics, and in the late 1970s, together with Henry Tye from Cornell University, he was studying various aspects of Higgs fields in grand unified theories. Remember from the last chapter's discussion of spontaneous symmetry breaking that a Higgs field contributes the least possible energy it can to a region of space when its value settles down to a particular nonzero number (a number that depends on the detailed shape of its potential energy bowl). In the early universe, when the temperature was extraordinarily high, we discussed how the value of a Higgs field would wildly fluctuate from one number to another, like the frog in the hot metal bowl whose legs were being singed, but as the universe cooled, the Higgs would roll down the bowl to a value that would minimize its energy.
+  Guth and Tye studied reasons why the Higgs field might be delayed in reaching the least energetic configuration (the bowl's valley in Figure 9.1c). If we apply the frog analogy to the question Guth and Tye asked, it was this: what if the frog, in one of its earlier jumps when the bowl was starting to cool, just happened to land on the central plateau? And what if, as the bowl continued to cool, the frog hung out on the central plateau (leisurely eating worms), rather than sliding down to the bowl's valley? Or, in physics terms, what if a fluctuating Higgs field's value should land on the energy bowl's central plateau and remain there as the universe continues to cool? If this happens, physicists say that the Higgs field has supercooled, indicating that even though the temperature of the universe has dropped to the point where you'd expect the Higgs value to approach the low-energy valley, it remains trapped in a higher-energy configuration. (This is analogous to highly purified water, which can be supercooled below 0 degrees Celsius, the temperature at which you'd expect it to turn into ice, and yet remain liquid because the formation of ice requires small impurities around which the crystals can grow.)
+  Guth and Tye were interested in this possibility because their calculations suggested it might be relevant to a problem (the magnetic monopole problem8) researchers had encountered with various attempts at grand unification. But Guth and Tye realized that there might be another implication and, in retrospect, that's why their work proved pivotal. They suspected that the energy associated with a supercooled Higgs field- remember, the height of the field represents its energy, so the field has zero energy only if its value lies in the bowl's valley-might have an effect on the expansion of the universe. In early December 1979, Guth followed up on this hunch, and here's what he found.
+  A Higgs field that has gotten caught on a plateau not only suffuses space with energy, but, of crucial importance, Guth realized that it also contributes a uniform negative pressure. In fact, he found that as far as energy and pressure are concerned, a Higgs field that's caught on a plateau has the same properties as a cosmological constant: it suffuses space with energy and negative pressure, and in exactly the same proportions as a cosmological constant. So Guth discovered that a supercooled Higgs field does have an important effect on the expansion of space: like a cosmological constant, it exerts a repulsive gravitational force that drives space to expand.9
+  At this point, since you are already familiar with negative pressure and repulsive gravity, you may be thinking, All right, it's nice that Guth found a specific physical mechanism for realizing Einstein's idea of a cosmological constant, but so what? What's the big deal? The concept of a cosmological constant had long been abandoned. Its introduction into physics was nothing but an embarrassment for Einstein. Why get excited over rediscovering something that had been discredited more than six decades earlier?
+Inflation
+Well, here's why. Although a supercooled Higgs field shares certain features with a cosmological constant, Guth realized that they are not completely identical. Instead, there are two key differences-differences that make all the difference.
+  First, whereas a cosmological constant is constant-it does not vary with time, so it provides a constant, unchanging outward push-a supercooled Higgs field need not be constant. Think of a frog perched on the bump in Figure 10.1a. It may hang out there for a while, but sooner or later a random jump this way or that-a jump taken not because the bowl is hot (it no longer is), but merely because the frog gets restless- will propel the frog beyond the bump, after which it will slide down to the bowl's lowest point, as in Figure 10.1b. A Higgs field can behave similarly. Its value throughout all of space may get stuck on its energy bowl's central bump while the temperature drops too low to drive significant thermal agitation. But quantum processes will inject random jumps into the Higgs field's value, and a large enough jump will propel it off the plateau, allowing its energy and pressure to relax to zero.10 Guth's calculations showed that, depending on the precise shape of the bowl's bump, this jump could have happened rapidly, perhaps in as short a time as .00000000000000000000000000000001 (10−35) seconds. Subsequently, Andrei Linde, then working at the Lebedev Physical Institute in Moscow, and Paul Steinhardt, then working with his student Andreas Albrecht at the University of Pennsylvania, discovered a way for the Higgs field's relaxation to zero energy and pressure throughout all of space to happen even more efficiently and significantly more uniformly (thereby curing certain technical problems inherent to Guth's original proposal11). They showed that if the potential energy bowl had been smoother and more gradually sloping, as in Figure 10.2, no quantum jumps would have been necessary: the Higgs field's value would quickly roll down to the valley, much like a ball rolling down a hill. The upshot is that if a Higgs field acted like a cosmological constant, it did so only for a brief moment.
+
+Figure 10.1 (a) A supercooled Higgs field is one whose value gets trapped on the energy bowl's high-energy plateau, like the frog on a bump. (b) Typically, a supercooled Higgs field will quickly find its way off the plateau and drop to a value with lower energy, like the frog's jumping off the bump.
+  The second difference is that whereas Einstein carefully and arbitrarily chose the value of the cosmological constant-the amount of energy and negative pressure it contributed to each volume of space-so that its outward repulsive force would precisely balance the inward attractive force arising from the ordinary matter and radiation in the cosmos, Guth was able to estimate the energy and negative pressure contributed by the Higgs fields he and Tye had been studying. And the answer he found was more than 1000000000000000000000000000000000000000000000000 0000000000000000000000000000000000000000000000000000 (10100) times larger than the value Einstein had chosen. This number is huge, obviously, and so the outward push supplied by the Higgs field's repulsive gravity is  monumental compared with what Einstein envisioned originally with the cosmological constant.
+
+Figure 10.2 A smoother and more gradually sloping bump allows the Higgs field value to roll down to the zero-energy valley more easily and more uniformly throughout space.
+  Now, if we combine these two observations-that the Higgs field will stay on the plateau, in the high-energy, negative-pressure state, only for the briefest of instants, and that while it is on the plateau, the repulsive outward push it generates is enormous-what do we have? Well, as Guth realized, we have a phenomenal, short-lived, outward burst. In other words, we have exactly what the big bang theory was missing: a bang, and a big one at that. That's why Guth's discovery is something to get excited about.12
+  The cosmological picture emerging from Guth's breakthrough is thus the following. A long time ago, when the universe was enormously dense, its energy was carried by a Higgs field perched at a value far from the lowest point on its potential energy bowl. To distinguish this particular Higgs field from others (such as the electroweak Higgs field responsible for giving mass to the familiar particle species, or the Higgs field that arises in grand unified theories13) it is usually called the inflaton field.25 Because of its negative pressure, the inflaton field generated a gigantic gravitational repulsion that drove every region of space to rush away from every other; in Guth's language, the inflaton drove the universe to inflate. The repulsion lasted only about 10−35 seconds, but it was so powerful that even in that brief moment the universe swelled by a huge factor. Depending on details such as the precise shape of the inflaton field's potential energy, the universe could easily have expanded by a factor of 1030, 1050, or 10100 or more.
+  These numbers are staggering. An expansion factor of 1030-a conservative estimate-would be like scaling up a molecule of DNA to roughly the size of the Milky Way galaxy, and in a time interval that's much shorter than a billionth of a billionth of a billionth of the blink of an eye. By comparison, even this conservative expansion factor is billions and billions of times the expansion that would have occurred according to the standard big bang theory during the same time interval, and it exceeds the total expansion factor that has cumulatively occurred over the subsequent 14 billion years! In the many models of inflation in which the calculated expansion factor is much larger than 1030, the resulting spatial expanse is so enormous that the region we are able to see, even with the most powerful telescope possible, is but a tiny fraction of the whole universe. According to these models, none of the light emitted from the vast majority of the universe could have reached us yet, and much of it won't arrive until long after the sun and earth have died out. If the entire cosmos were scaled down to the size of earth, the part accessible to us would be much smaller than a grain of sand.
+  Roughly 10−35 seconds after the burst began, the inflaton field found its way off the high-energy plateau and its value throughout space slid down to the bottom of the bowl, turning off the repulsive push. And as the inflaton value rolled down, it relinquished its pent-up energy to the production of ordinary particles of matter and radiation-like a foggy mist settling on the grass as morning dew-that uniformly filled the expanding space.14 From this point on, the story is essentially that of the standard big bang theory: space continued to expand and cool in the aftermath of the burst, allowing particles of matter to clump into structures like galaxies, stars, and planets, which slowly arranged themselves into the universe we currently see, as illustrated in Figure 10.3.
+  Guth's discovery-dubbed inflationary cosmology-together with the important improvements contributed by Linde, and by Albrecht and Steinhardt, provided an explanation for what set space expanding in the first place. A Higgs field perched above its zero energy value can provide an outward blast driving space to swell. Guth provided the big bang with a bang.
+The Inflationary Framework
+Guth's discovery was quickly hailed as a major advance and has become a dominant fixture of cosmological research. But notice two things. First, in the standard big bang model, the bang supposedly happened at time zero, at the very beginning of the universe, so it is viewed as the creation event. But just as a stick of dynamite explodes only when it's properly lit, in inflationary cosmology the bang happened only when conditions were right- when there was an inflaton field whose value provided the energy and negative pressure that fueled the outward burst of repulsive gravity-and that need not have coincided with the "creation" of the universe. For this reason, the inflationary bang is best thought of as an event that the preexisting universe experienced, but not necessarily as the event that created the universe. We denote this in Figure 10.3 by maintaining some of the fuzzy patch of Figure 9.2, indicating our continuing ignorance of fundamental origin: specifically, if inflationary cosmology is right, our ignorance of why there is an inflaton field, why its potential energy bowl has the right shape for inflation to have occurred, why there are space and time within which the whole discussion takes place, and, in Leibniz's more grandiose phrasing, why there is something rather than nothing.
+
+Figure 10.3 (a) Inflationary cosmology inserts a quick, enormous burst of spatial expansion early on in the history of the universe. ( b) After the burst, the evolution of the universe merges into the standard evolution theorized in the big bang model.
+  A second and related observation is that inflationary cosmology is not a single, unique theory. Rather, it is a cosmological framework built around the realization that gravity can be repulsive and can thus drive a swelling of space. The precise details of the outward burst-when it happened, how long it lasted, the strength of the outward push, the factor by which the universe expanded during the burst, the amount of energy the inflaton deposited in ordinary matter as the burst drew to a close, and so on-depend on details, most notably the size and shape of the inflaton field's potential energy, that are presently beyond our ability to determine from theoretical considerations alone. So for many years physicists have studied all sorts of possibilities-various shapes for the potential energy, various numbers of inflaton fields that work in tandem, and so on-and determined which choices give rise to theories consistent with astronomical observations. The important thing is that there are aspects of inflationary cosmological theories that transcend the details and hence are common to essentially any realization. The outward burst itself, by definition, is one such feature, and hence any inflationary model comes with a bang. But there are a number of other features inherent to all inflationary models that are vital because they solve important problems that have stumped standard big bang cosmology.
+Inflation and the Horizon Problem
+  One such problem is called the horizon problem and concerns the uniformity of the microwave background radiation that we came across previously. Recall that the temperature of the microwave radiation reaching us from one direction in space agrees with that coming from any other direction to fantastic accuracy (to better than a thousandth of a degree). This observational fact is pivotal, because it attests to homogeneity throughout space, allowing for enormous simplifications in theoretical models of the cosmos. In earlier chapters, we used this homogeneity to narrow down drastically the possible shapes for space and to argue for a uniform cosmic time. The problem arises when we try to explain how the universe became so uniform. How is it that vastly distant regions of the universe have arranged themselves to have nearly identical temperatures?
+  If you think back to Chapter 4, one possibility is that just as nonlocal quantum entanglement can correlate the spins of two widely separated particles, maybe it can also correlate the temperatures of two widely separated regions of space. While this is an interesting suggestion, the tremendous dilution of entanglement in all but the most controlled settings, as discussed at the end of that chapter, essentially rules it out. Okay, perhaps there is a simpler explanation. Maybe a long time ago when every region of space was nearer to every other, their temperatures equalized through their close contact much as a hot kitchen and a cool living room come to the same temperature when a door between them is opened for a while. In the standard big bang theory, though, this explanation also fails. Here's one way to think about it.
+  Imagine watching a film that depicts the full course of cosmic evolution from the beginning until today. Pause the film at some arbitrary moment and ask yourself: Could two particular regions of space, like the kitchen and the living room, have influenced each other's temperature? Could they have exchanged light and heat? The answer depends on two things: The distance between the regions and the amount of time that has elapsed since the bang. If their separation is less than the distance light could have traveled in the time since the bang, then the regions could have influenced each other; otherwise, they couldn't have. Now, you might think that all regions of the observable universe could have interacted with each other way back near the beginning because the farther back we wind the film, the closer the regions become and hence the easier it is for them to interact. But this reasoning is too quick; it doesn't take account of the fact that not only were regions of space closer, but there was also less time for them to have communicated.
+  To do a proper analysis, imagine running the cosmic film in reverse while focusing on two regions of space currently on opposite sides of the observable universe-regions that are so distant that they are currently beyond each other's spheres of influence. If in order to halve their separation we have to roll the cosmic film more than halfway back toward the beginning, then even though the regions of space were closer together, communication between them was still impossible: they were half as far apart, but the time since the bang was less than half of what it is today, and so light could travel only less than half as far. Similarly, if from that point in the film we have to run more than halfway back to the beginning in order to halve the separation between the regions once again, communication becomes more difficult still. With this kind of cosmic evolution, even though regions were closer together in the past, it becomes more puzzling-not less-that they somehow managed to equalize their temperatures. Relative to how far light can travel, the regions become increasingly cut off as we examine them ever farther back in time.
+  This is exactly what happens in the standard big bang theory. In the standard big bang, gravity acts only as an attractive force, and so, ever since the beginning, it has been acting to slow the expansion of space. Now, if something is slowing down, it will take more time to cover a given distance. For instance, imagine that Secretariat left the gate at a blistering pace and covered the first half of a racecourse in two minutes, but because it's not his best day, he slows down considerably during the second half and takes three more minutes to finish. When viewing a film of the race in reverse, we'd have to roll the film more than halfway back in order to see Secretariat at the course's halfway mark (we'd have to run the five-minute film of the race all the way back to the two-minute mark). Similarly, since in the standard big bang theory gravity slows the expansion of space, from any point in the cosmic film we have to wind more than halfway back in time in order to halve the separation between two regions. And, as above, this means that even though the regions of space were closer together at earlier times, it was more difficult-not less-for them to influence each other and hence more puzzling-not less-that they somehow reached the same temperature.
+  Physicists define a region's cosmic horizon (or horizon for short) as the most distant surrounding regions of space that are close enough to the given region for the two to have exchanged light signals in the time since the bang. The analogy is to the most distant things we can see on earth's surface from any particular vantage point.15 The horizon problem, then, is the puzzle, inherent in the observations, that regions whose horizons have always been separate-regions that could never have interacted, communicated, or exerted any kind of influence on each other-somehow have nearly identical temperatures.
+  The horizon problem does not imply that the standard big bang model is wrong, but it does cry out for explanation. Inflationary cosmology provides one.
+  In inflationary cosmology, there was a brief instant during which gravity was repulsive and this drove space to expand faster and faster. During this part of the cosmic film, you would have to wind the film less than halfway back in order to halve the distance between two regions. Think of a race in which Secretariat covers the first half of the course in two minutes and, because he's having the run of his life, speeds up and blazes through the second half in one minute. You'd only have to wind the three-minute film of the race back to the two-minute mark-less than halfway back-to see him at the course's halfway point. Similarly, the increasingly rapid separation of any two regions of space during inflationary expansion implies that halving their separation requires winding the cosmic film less-much less-than halfway back toward the beginning. As we go farther back in time, therefore, it becomes easier for any two regions of space to influence each other, because, proportionally speaking, there is more time for them to communicate. Calculations show that if the inflationaryexpansion phase drove space to expand by at least a factor of 1030, an amount that is readily achieved in specific realizations of inflationary expansion, all the regions in space that we currently see-all the regions in space whose temperatures we have measured-were able to communicate as easily as the adjacent kitchen and living room and hence efficiently come to a common temperature in the earliest moments of the universe.16 In a nutshell, space expands slowly enough in the very beginning for a uniform temperature to be broadly established and then, through an intense burst of ever more rapid expansion, the universe makes up for the sluggish start and widely disperses nearby regions.
+  That's how inflationary cosmology explains the otherwise mysterious uniformity of the microwave background radiation suffusing space.
+Inflation and the Flatness Problem
+A second problem addressed by inflationary cosmology has to do with the shape of space. In Chapter 8, we imposed the criterion of uniform spatial symmetry and found three ways in which the fabric of space can curve. Resorting to our two-dimensional visualizations, the possibilities are positive curvature (shaped like the surface of a ball), negative curvature (saddle-shaped), and zero curvature (shaped like an infinite flat tabletop or like a finite-sized video game screen). Since the early days of general relativity, physicists have realized that the total matter and energy in each volume of space-the  matter/energy density-determine the curvature of space. If the matter/energy density is high, space will pull back on itself in the shape of a sphere; that is, there will be positive curvature. If the matter/energy density is low, space will flare outward like a saddle; that is, there will be negative curvature. Or, as mentioned in the last chapter, for a very special amount of matter/energy density-the critical density, equal to the mass of about five hydrogen atoms (about 10−23 grams) in each cubic meter-space will lie just between these two extremes, and will be perfectly flat: that is, there will be no curvature.
+  Now for the puzzle.
+  The equations of general relativity, which underlie the standard big bang model, show that if the matter/energy density early on was exactly  equal to the critical density, then it would stay equal to the critical density as space expanded.17 But if the matter/energy density was even slightly more or slightly less than the critical density, subsequent expansion would drive it enormously far from the critical density. Just to get a feel for the numbers, if at one second ATB, the universe was just shy of criticality, having 99.99 percent of the critical density, calculations show that by today its density would have been driven all the way down to .00000000001 of the critical density. It's kind of like the situation faced by a mountain climber who is walking across a razor-thin ledge with a steep drop off on either side. If her step is right on the mark, she'll make it across. But even a tiny misstep that's just a little too far left or right will be amplified into a significantly different outcome. (And, at the risk of having one too many analogies, this feature of the standard big bang model also reminds me of the shower years ago in my college dorm: if you managed to set the knob perfectly, you could get a comfortable water temperature. But if you were off by the slightest bit, one way or the other, the water would be either scalding or freezing. Some students just stopped showering altogether.)
+  For decades, physicists have been attempting to measure the matter/ energy density in the universe. By the 1980s, although the measurements were far from complete, one thing was certain: the matter/energy density of the universe is not thousands and thousands of times smaller or larger than the critical density; equivalently, space is not substantially curved, either positively or negatively. This realization cast an awkward light on the standard big bang model. It implied that for the standard big bang to be consistent with observations, some mechanism-one that nobody could explain or identify-must have tuned the matter/energy density of the early universe extraordinarily close to the critical density. For example, calculations showed that at one second ATB, the matter/energy density of the universe needed to have been within a millionth of a millionth  of a percent of the critical density; if the matter/energy density deviated from the critical value by any more than this minuscule amount, the standard big bang model predicts a matter/energy density today that is vastly different from what we observe. According to the standard big bang model, then, the early universe, much like the mountain climber, teetered along an extremely narrow ledge. A tiny deviation in conditions billions of years ago would have led to a present-day universe very different from the one revealed by astronomers' measurements. This is known as the flatness problem.
+  Although we've covered the essential idea, it's important to understand the sense in which the flatness problem is a problem. By no means does the flatness problem show that the standard big bang model is wrong. A staunch believer reacts to the flatness problem with a shrug of the shoulders and the curt reply "That's just how it was back then," taking the finely tuned matter/energy density of the early universe-which the standard big bang requires to yield predictions that are in the same ball-park as observations-as an unexplained given. But this answer makes most physicists recoil. Physicists feel that a theory is grossly unnatural if its success hinges on extremely precise tunings of features for which we lack a fundamental explanation. Without supplying a reason for why the matter/energy density of the early universe would have been so finely tuned to an acceptable value, many physicists have found the standard big bang model highly contrived. Thus, the flatness problem highlights the extreme sensitivity of the standard big bang model to conditions in the remote past of which we know very little; it shows how the theory must assume the universe was just so, in order to work.
+  By contrast, physicists long for theories whose predictions are insensitive to unknown quantities such as how things were a long time ago. Such theories feel robust and natural because their predictions don't depend delicately on details that are hard, or perhaps even impossible, to determine directly. This is the kind of theory provided by inflationary cosmology, and its solution to the flatness problem illustrates why.
+  The essential observation is that whereas attractive gravity amplifies any deviation from the critical matter/energy density, the repulsive gravity of the inflationary theory does the opposite: it reduces any deviation from the critical density. To get a feel for why this is the case, it's easiest to use the tight connection between the universe's matter/energy density and its curvature to reason geometrically. In particular, notice that even if the shape of the universe were significantly curved early on, after inflationary expansion a portion of space large enough to encompass today's observable universe looks very nearly flat. This is a feature of geometry we are all well aware of: The surface of a basketball is obviously curved, but it took both time and thinkers with chutzpah before everyone was convinced that the earth's surface was also curved. The reason is that, all else being equal, the larger something is, the more gradually it curves and the flatter a patch of a given size on its surface appears. If you draped the state of Nebraska over a sphere just a few hundred miles in diameter, as in Figure 10.4a, it would look curved, but on the earth's surface, as just about all Nebraskans concur, it looks flat. If you laid Nebraska out on a sphere a billion times larger than earth, it would look flatter still. In inflationary cosmology, space was stretched by such a colossal factor that the observable universe, the part we can see, is but a small patch in a gigantic cosmos. And so, like Nebraska laid out on a giant sphere as in Figure 10.4d, even if the entire universe were curved, the observable universe would be very nearly flat.18
+
+Figure 10.4 A shape of fixed size, such as that of the state of Nebraska, appears flatter and flatter when laid out on larger and larger spheres. In this analogy, the sphere represents the entire universe, while Nebraska represents the observable universe-the part within our cosmic horizon.
+  It's as if there are powerful, oppositely oriented magnets embedded in the mountain climber's boots and the thin ledge she is crossing. Even if her step is aimed somewhat off the mark, the strong attraction between the magnets ensures that her foot lands squarely on the ledge. Similarly, even if the early universe deviated a fair bit from the critical matter/energy density and hence was far from flat, the inflationary expansion ensured that the part of space we have access to was driven toward a flat shape and that the matter/energy density we have access to was driven to the critical value.
+Progress and Prediction
+Inflationary cosmology's insights into the horizon and flatness problems represent tremendous progress. For cosmological evolution to yield a homogeneous universe whose matter/energy density is even remotely close to what we observe today, the standard big bang model requires precise, unexplained, almost eerie fine-tuning of conditions early on. This tuning can be assumed, as the staunch adherent to the standard big bang advocates, but the lack of an explanation makes the theory seem artificial. To the contrary, regardless of the detailed properties of the early universe's matter/energy density, inflationary cosmological evolution predicts that the part we can see should be very nearly flat; that is, it predicts that the matter/energy density we observe should be very nearly 100 percent of the critical density.
+  Insensitivity to the detailed properties of the early universe is a wonderful feature of the inflationary theory, because it allows for definitive predictions irrespective of our ignorance of conditions long ago. But we must now ask: How do these predictions stand up to detailed and precise observations? Do the data support inflationary cosmology's prediction that we should observe a flat universe containing the critical density of matter/energy?
+  For many years the answer seemed to be "Not quite." Numerous astronomical surveys carefully measured the amount of matter/energy that could be seen in the cosmos, and the answer they came up with was about 5 percent of the critical density. This is far from the enormous or minuscule densities to which the standard big bang naturally leads- without artificial fine-tuning-and is what I alluded to earlier when I said that observations establish that the universe's matter/energy density is not thousands and thousands of times larger or smaller than the critical amount. Even so, 5 percent falls short of the 100 percent inflation predicts. But physicists have long realized that care must be exercised in evaluating the data. The astronomical surveys tallying 5 percent took account only of matter and energy that gave off light and hence could be seen with astronomers' telescopes. And for decades, even before the discovery of inflationary cosmology, there had been mounting evidence that the universe has a hefty dark side.
+A Prediction of Darkness
+During the early 1930s, Fritz Zwicky, a professor of astronomy at the California Institute of Technology (a famously caustic scientist whose appreciation for symmetry led him to call his colleagues spherical bastards because, he explained, they were bastards any way you looked at them19), realized that the outlying galaxies in the Coma cluster, a collection of thousands of galaxies some 370 million light-years from earth, were moving too quickly for their visible matter to muster an adequate gravitational force to keep them tethered to the group. Instead, his analysis showed that many of the fastest-moving galaxies should be flung clear of the cluster, like water droplets thrown off a spinning bicycle tire. And yet none were. Zwicky conjectured that there might be additional matter permeating the cluster that did not give off light but supplied the additional gravitational pull necessary to hold the cluster together. His calculations showed that if this explanation was right, the vast majority of the cluster's mass would comprise this nonluminous material. By 1936, corroborating evidence was found by Sinclair Smith of the Mount Wilson observatory, who was studying the Virgo cluster and came to a similar conclusion. But since both men's observations, as well as a number of subsequent others, had various uncertainties, many remained unconvinced that there was voluminous unseen matter whose gravitational pull was keeping the groups of galaxies together.
+  Over the next thirty years observational evidence for nonluminous matter continued to mount,20 but it was the work of the astronomer Vera Rubin from the Carnegie Institution of Washington, together with Kent Ford and others, that really clinched the case. Rubin and her collaborators studied the movements of stars within numerous spinning galaxies and concluded that if what you see is what there is, then many of the galaxy's stars should be routinely flung outward. Their observations showed conclusively that the visible galactic matter could not exert a gravitational grip anywhere near strong enough to keep the fastest-moving stars from breaking free. However, their detailed analyses also showed that the stars would remain gravitationally tethered if the galaxies they inhabited were immersed in a giant ball of nonluminous matter (as in Figure 10.5), whose total mass far exceeded that of the galaxy's luminous material. And so, like an audience that infers the presence of a dark-robed mime even though it sees only his white-gloved hands flitting to and fro on the unlit stage, astronomers concluded that the universe must be suffused with dark matter-matter that does not clump together in stars and hence does not give off light, and that thus exerts a gravitational pull without revealing itself visibly. The universe's luminous constituents-stars- were revealed as but floating beacons in a giant ocean of dark matter.
+  But if dark matter must exist in order to produce the observed motions of stars and galaxies, what's it made of? So far, no one knows. The identity of the dark matter remains a major, looming mystery, although astronomers and physicists have suggested numerous possible constituents ranging from various kinds of exotic particles to a cosmic bath of miniature black holes. But even without determining its composition, by closely analyzing its gravitational effects astronomers have been able to determine with significant precision how much dark matter is spread throughout the universe. And the answer they've found amounts to about 25 percent of the critical density.21 Thus, together with the 5 percent found in visible matter, the dark matter brings our tally up to 30 percent of the amount predicted by inflationary cosmology.
+
+Figure 10.5 A galaxy immersed in a ball of dark matter (with the dark matter artificially highlighted to make it visible in the figure).
+  Well, this is certainly progress, but for a long time scientists scratched their heads, wondering how to account for the remaining 70 percent of the universe, which, if inflationary cosmology was correct, had apparently gone AWOL. But then, in 1998, two groups of astronomers came to the same shocking conclusion, which brings our story full circle and once again reveals the prescience of Albert Einstein.
+The Runaway Universe
+Just as you may seek a second opinion to corroborate a medical diagnosis, physicists, too, seek second opinions when they come upon data or theories that point toward puzzling results. Of these second opinions, the most convincing are those that reach the same conclusion from a point of view that differs sharply from the original analysis. When the arrows of explanation converge on one spot from different angles, there's a good chance that they're pointing at the scientific bull's-eye. Naturally then, with inflationary cosmology strongly suggesting something totally bizarre-that 70 percent of the universe's mass/energy has yet to be measured or identified-physicists have yearned for independent confirmation. It has long been realized that measurement of the deceleration parameter would do the trick.
+  Since just after the initial inflationary burst, ordinary attractive gravity has been slowing the expansion of space. The rate at which this slowing occurs is called the deceleration parameter. A precise measurement of the parameter would provide independent insight into the total amount of matter in the universe: more matter, whether or not it gives off light, implies a greater gravitational pull and hence a more pronounced slowing of spatial expansion.
+  For many decades, astronomers have been trying to measure the deceleration of the universe, but although doing so is straightforward in principle, it's a challenge in practice. When we observe distant heavenly bodies such as galaxies or quasars, we are seeing them as they were a long time ago: the farther away they are, the farther back in time we are looking. So, if we could measure how fast they were receding from us, we'd have a measure of how fast the universe was expanding in the distant past. Moreover, if we could carry out such measurements for astronomical objects situated at a variety of distances, we would have measured the universe's expansion rate at a variety of moments in the past. By comparing these expansion rates, we could determine how the expansion of space is slowing over time and thereby determine the deceleration parameter.
+  Carrying out this strategy for measuring the deceleration parameter thus requires two things: a means of determining the distance of a given astronomical object (so that we know how far back in time we are looking) and a means of determining the speed with which the object is receding from us (so that we know the rate of spatial expansion at that moment in the past). The latter ingredient is easier to come by. Just as the pitch of a police car's siren drops to lower tones as it rushes away from us, the frequency of vibration of the light emitted by an astronomical source also drops as the object rushes away. And since the light emitted by atoms like hydrogen, helium, and oxygen-atoms that are among the constituents of stars, quasars, and galaxies-has been carefully studied under laboratory conditions, a precise determination of the object's speed can be made by examining how the light we receive differs from that seen in the lab.
+  But the former ingredient, a method for determining precisely how far away an object is, has proven to be the astronomer's headache. The farther away something is, the dimmer you expect it to appear, but turning this simple observation into a quantitative measure is difficult. To judge the distance to an object by its apparent brightness, you need to know its intrinsic brightness-how bright it would be were it right next to you. And it is difficult to determine the intrinsic brightness of an object billions of light-years away. The general strategy is to seek a species of heavenly bodies that, for fundamental reasons of astrophysics, always burn with a standard, dependable brightness. If space were dotted with glowing 100-watt lightbulbs, that would do the trick, since we could easily determine a given bulb's distance on the basis of how dim it appears (although it would be a challenge to see 100-watt bulbs from significantly far away). But, as space isn't so endowed, what can play the role of standard-brightness lightbulbs, or, in astronomy-speak, what can play the role of standard candles? Through the years astronomers have studied a variety of possibilities, but the most successful candidate to date is a particular class of supernova explosions.
+  When stars exhaust their nuclear fuel, the outward pressure from nuclear fusion in the star's core diminishes and the star begins to implode under its own weight. As the star's core crashes in on itself, its temperature rapidly rises, sometimes resulting in an enormous explosion that blows off the star's outer layers in a brilliant display of heavenly fireworks. Such an explosion is known as a supernova; for a period of weeks, a single exploding star can burn as bright as a billion suns. It's truly mind-boggling: a single star burning as bright as almost an entire galaxy! Different types of stars- of different sizes, with different atomic abundances, and so on-give rise to different kinds of supernova explosions, but for many years astronomers have realized that certain supernova explosions always seem to burn with the same intrinsic brightness. These are type Ia supernova explosions.
+  In a type Ia supernova, a white dwarf star-a star that has exhausted its supply of nuclear fuel but has insufficient mass to ignite a supernova explosion on its own-sucks the surface material from a nearby companion star. When the dwarf star's mass reaches a particular critical value, about 1.4 times that of the sun, it undergoes a runaway nuclear reaction that causes the star to go supernova. Since such supernova explosions occur when the dwarf star reaches the same critical mass, the characteristics of the explosion, including its overall intrinsic brightness, are largely the same from episode to episode. Moreover, since supernovae, unlike 100-watt lightbulbs, are so fantastically powerful, not only do they have a standard, dependable brightness but you can also see them clear across the universe. They are thus prime candidates for standard candles.22
+  In the 1990s, two groups of astronomers, one led by Saul Perlmutter at the Lawrence Berkeley National Laboratory, and the other led by Brian Schmidt at the Australian National University, set out to determine the deceleration-and hence the total mass/energy-of the universe by measuring the recession speeds of type Ia supernovae. Identifying a supernova as being of type Ia is fairly straightforward because the light their explosions generate follows a distinctive pattern of steeply rising then gradually falling intensity. But actually catching a type Ia supernova in the act is no small feat, since they happen only about once every few hundred years in a typical galaxy. Nevertheless, through the innovative technique of simultaneously observing thousands of galaxies with wide-field-of-view telescopes, the teams were able to find nearly four dozen type Ia supernovae at various distances from earth. After painstakingly determining the distance and recessional velocities of each, both groups came to a totally unexpected conclusion: ever since the universe was about 7 billion years old, its expansion rate has not been decelerating. Instead, the expansion rate has been speeding up.
+  The groups concluded that the expansion of the universe slowed down for the first 7 billion years after the initial outward burst, much like a car slowing down as it approaches a highway tollbooth. This was as expected. But the data revealed that, like a driver who hits the gas pedal after gliding through the EZ-Pass lane, the expansion of the universe has been accelerating ever since. The expansion rate of space 7 billion years ATB was less than the expansion rate 8 billion years ATB, which was less than the expansion rate 9 billion years ATB, and so on, all of which are less than the expansion rate today. The expected deceleration of spatial expansion has turned out to be an unexpected acceleration.
+  But how could this be? Well, the answer provides the corroborating second opinion regarding the missing 70 percent of mass/energy that physicists had been seeking.
+The Missing 70 Percent
+If you cast your mind back to 1917 and Einstein's introduction of a cosmological constant, you have enough information to suggest how it might be that the universe is accelerating. Ordinary matter and energy give rise to ordinary attractive gravity, which slows spatial expansion. But as the universe expands and things get increasingly spread out, this cosmic gravitational pull, while still acting to slow the expansion, gets weaker. And this sets us up for the new and unexpected twist. If the universe should have a cosmological constant-and if its magnitude should have just the right, small value-up until about 7 billion years ATB its gravitational repulsion would have been overwhelmed by the usual gravitational attraction of ordinary matter, yielding a net slowing of expansion, in keeping with the data. But then, as ordinary matter spread out and its gravitational pull diminished, the repulsive push of the cosmological constant (whose strength does not change as matter spreads out) would have gradually gained the upper hand, and the era of decelerated spatial expansion would have given way to a new era of accelerated expansion. 
+  In the late 1990s, such reasoning and an in-depth analysis of the data led both the Perlmutter group and the Schmidt group to suggest that Einstein had not been wrong some eight decades earlier when he introduced a cosmological constant into the gravitational equations. The universe, they suggested, does have a cosmological constant.23 Its magnitude is not what Einstein proposed, since he was chasing a static universe in which gravitational attraction and repulsion matched precisely, and these researchers found that for billions of years repulsion has dominated. But that detail notwithstanding, should the discovery of these groups continue to hold up under the close scrutiny and follow-up studies now under way, Einstein will have once again seen through to a fundamental feature of the universe, one that this time took more than eighty years to be confirmed experimentally.
+  The recession speed of a supernova depends on the difference between the gravitational pull of ordinary matter and the gravitational push of the "dark energy" supplied by the cosmological constant. Taking the amount of matter, both visible and dark, to be about 30 percent of the critical density, the supernova researchers concluded that the accelerated expansion they had observed required an outward push of a cosmological constant whose dark energy contributes about 70 percent of the critical density.
+  This is a remarkable number. If it's correct, then not only does ordinary matter-protons, neutrons, electrons-constitute a paltry 5 percent of the mass/energy of the universe, and not only does some currently unidentified form of dark matter constitute at least five times that amount, but also the majority of the mass/energy in the universe is contributed by a totally different and rather mysterious form of dark energy that is spread throughout space. If these ideas are right, they dramatically extend the Copernican revolution: not only are we not the center of the universe, but the stuff of which we're made is like flotsam on the cosmic ocean. If protons, neutrons, and electrons had been left out of the grand design, the total mass/energy of the universe would hardly have been diminished.
+  But there is a second, equally important reason why 70 percent is a remarkable number. A cosmological constant that contributes 70 percent of the critical density would, together with the 30 percent coming from ordinary matter and dark matter, bring the total mass/energy of the universe right up to the full 100 percent predicted by inflationary cosmology! Thus, the outward push demonstrated by the supernova data can be explained by just the right amount of dark energy to account for the unseen 70 percent of the universe that inflationary cosmologists had been scratching their heads over. The supernova measurements and inflationary cosmology are wonderfully complementary. They confirm each other. Each provides a corroborating second opinion for the other.24
+  Combining the observational results of supernovae with the theoretical insights of inflation, we thus arrive at the following sketch of cosmic evolution, summarized in Figure 10.6. Early on, the energy of the universe was carried by the inflaton field, which was perched away from its minimum energy state. Because of its negative pressure, the inflaton field drove an enormous burst of inflationary expansion. Then, some 10−35 seconds later, as the inflaton field slid down its potential energy bowl, the burst of expansion drew to a close and the inflaton released its pent-up energy to the production of ordinary matter and radiation. For many billions of years, these familiar constituents of the universe exerted an ordinary attractive gravitational pull that slowed the spatial expansion. But as the universe grew and thinned out, the gravitational pull diminished. About 7 billion years ago, ordinary gravitational attraction became weak enough for the gravitational repulsion of the universe's cosmological constant to become dominant, and since then the rate of spatial expansion has been continually increasing.
+  About 100 billion years from now, all but the closest of galaxies will be dragged away by the swelling space at faster-than-light speed and so would be impossible for us to see, regardless of the power of telescopes used. If these ideas are right, then in the far future the universe will be a vast, empty, and lonely place.
+
+Figure 10.6 A time line of cosmic evolution. (a) Inflationary burst. (b) Standard Big Bang evolution. (c) Era of accelerated expansion.
+Puzzles and Progress
+With these discoveries, it thus seemed manifest that the pieces of the cosmological puzzle were falling into place. Questions left unanswered by the standard big bang theory-What ignited the outward swelling of space? Why is the temperature of the microwave background radiation so uniform? Why does space seem to have a flat shape?-were addressed by the inflationary theory. Even so, thorny issues regarding fundamental origins have continued to mount: Was there an era before the inflationary burst, and if so, what was it like? What introduced an inflaton field displaced from its lowest-energy configuration to initiate the inflationary expansion? And, the newest question of all, why is the universe apparently composed of such a mishmash of ingredients-5 percent familiar matter, 25 percent dark matter, 70 percent dark energy? Despite the immensely pleasing fact that this cosmic recipe agrees with inflation's prediction that the universe should have 100 percent of the critical density, and although it simultaneously explains the accelerated expansion found by supernova studies, many physicists view the hodgepodge composition as distinctly unattractive. Why, many have asked, has the universe's composition turned out to be so complicated? Why are there a handful of disparate ingredients in such seemingly random abundances? Is there some sensible underlying plan that theoretical studies have yet to reveal?
+  No one has advanced any convincing answers to these questions; they are among the pressing research problems driving current cosmological research and they serve to remind us of the many tangled knots we must still unravel before we can claim to have fully understood the birth of the universe. But despite the significant challenges that remain, inflation is far and away the front-running cosmological theory. To be sure, physicists' belief in inflation is grounded in the achievements we've so far discussed. But the confidence in inflationary cosmology has roots that run deeper still. As we'll see in the next chapter, a number of other considerations- coming from both observational and theoretical discoveries-have convinced many physicists who work in the field that the inflationary framework is our generation's most important and most lasting contribution to cosmological science.
+11
+Quanta in the Sky with Diamonds
+INFLATION, QUANTUM JITTERS, AND THE ARROW OF TIME
+The discovery of the inflationary framework launched a new era in cosmological research, and in the decades since, many thousands of papers have been written on the subject. Scientists have explored just about every nook and cranny of the theory you could possibly imagine. While many of these works have focused on details of technical importance, others have gone further and shown how inflation not only solves specific cosmological problems beyond the reach of the standard big bang, but also provides powerful new approaches to a number of age-old questions. Of these, there are three developments-having to do with the formation of clumpy structures such as galaxies; the amount of energy required to spawn the universe we see; and (of prime importance to our story) the origin of time's arrow-on which inflation has ushered in substantial and, some would say, spectacular progress.
+  Let's take a look.
+Quantum Skywriting
+Inflationary cosmology's solution to the horizon and flatness problems was its initial claim to fame, and rightly so. As we've seen, these were major accomplishments. But in the years since, many physicists have come to believe that another of inflation's achievements shares the top spot on the list of the theory's most important contributions.
+  The lauded insight concerns an issue that, to this point, I have encouraged you not to think about: How is it that there are galaxies, stars, planets, and other clumpy things in the universe? In the last three chapters, I asked you to focus on astronomically large scales-scales on which the universe appears homogeneous, scales so large that entire galaxies can be thought of as single H2O molecules, while the universe itself is the whole, uniform glass of water. But sooner or later cosmology has to come to grips with the fact that when you examine the cosmos on "finer" scales you discover clumpy structures such as galaxies. And here, once again, we are faced with a puzzle.
+  If the universe is indeed smooth, uniform, and homogeneous on large scales-features that are supported by observation and that lie at the heart of all cosmological analyses-where could the smaller-scale lumpiness have come from? The staunch believer in standard big bang cosmology can, once again, shrug off this question by appealing to highly favorable and mysteriously tuned conditions in the early universe: "Near the very beginning," such a believer can say, "things were, by and large, smooth and uniform, but not perfectly uniform. How conditions got that way, I can't say. That's just how it was back then. Over time, this tiny lumpiness grew, since a lump has greater gravitational pull, being denser than its surroundings, and therefore grabs hold of more nearby material, growing larger still. Ultimately, the lumps got big enough to form stars and galaxies." This would be a convincing story were it not for two deficiencies: the utter lack of an explanation for either the initial overall homogeneity or these important tiny nonuniformities. That's where inflationary cosmology provides gratifying progress. We've already seen that inflation offers an explanation for the large-scale uniformity, and as we'll now learn, the explanatory power of the theory goes even further. According to inflationary cosmology, the initial nonuniformity that ultimately resulted in the formation of stars and galaxies came from quantum mechanics.
+  This magnificent idea arises from an interplay between two seemingly disparate areas of physics: the inflationary expansion of space and the quantum uncertainty principle. The uncertainty principle tells us that there are always trade-offs in how sharply various complementary physical features in the cosmos can be determined. The most familiar example (see Chapter 4) involves matter: the more precisely the position of a particle is determined, the less precisely its velocity can be determined. But the uncertainty principle also applies to fields. By essentially the same reasoning we used in its application to particles, the uncertainty principle implies that the more precisely the value of a field is determined at one location in space, the less precisely its rate of change at that location can be determined. (The position of a particle and the rate of change of its position-its velocity-play analogous roles in quantum mechanics to the value of a field and the rate of change of the field value, at a given location in space.)
+  I like to summarize the uncertainty principle by saying, roughly speaking, that quantum mechanics makes things jittery and turbulent. If the velocity of a particle can't be delineated with total precision, we also can't delineate where the particle will be located even a fraction of a second later, since velocity now determines position then. In a sense, the particle is free to take on this or that velocity, or more precisely, to assume a mixture of many different velocities, and hence it will jitter frantically, haphazardly going this way and that. For fields, the situation is similar. If a field's rate of change can't be delineated with total precision, then we also can't delineate what the value of the field will be, at any location, even a moment later. In a sense, the field will undulate up or down at this or that speed, or, more precisely, it will assume a strange mixture of many different rates of change, and hence its value will undergo a frenzied, fuzzy, random jitter.
+  In daily life we aren't directly aware of the jitters, either for particles or fields, because they take place on subatomic scales. But that's where inflation makes a big impact. The sudden burst of inflationary expansion stretched space by such an enormous factor that what initially inhabited the microscopic was drawn out to the macroscopic. As a key example, pioneers1 of inflationary cosmology realized that random differences between the quantum jitters in one spatial location and another would have generated slight inhomogeneities in the microscopic realm; because of the indiscriminate quantum agitation, the amount of energy in one location would have been a bit different from what it was in another. Then, through the subsequent inflationary swelling of space, these tiny variations would have been stretched to scales far larger than the quantum domain, yielding a small amount of lumpiness, much as tiny wiggles drawn on a balloon with a Magic Marker are stretched clear across the balloon's surface when you blow it up. This, physicists believe, is the origin of the lumpiness that the staunch believer in the standard big bang model simply declares, without justification, to be "how it was back then." Through the enormous stretching of inevitable quantum fluctuations, inflationary cosmology provides an explanation: inflationary expansion stretches tiny, inhomogeneous quantum jitters and smears them clear across the sky.
+  Over the few billion years following the end of the brief inflationary phase, these tiny lumps continued to grow through gravitational clumping. Just as in the standard big bang picture, lumps have slightly higher gravitational pull than their surroundings, so they draw in nearby material, growing larger still. In time, the lumps grew large enough to yield the matter making up galaxies and the stars that inhabit them. Certainly, there are numerous steps of detail in going from a little lump to a galaxy, and many still need elucidation. But the overall framework is clear: in a quantum world, nothing is ever perfectly uniform because of the jitteriness inherent to the uncertainty principle. And, in a quantum world that experienced inflationary expansion, such nonuniformity can be stretched from the microworld to far larger scales, providing the seeds for the formation of large astrophysical bodies like galaxies.
+  That's the basic idea, so feel free to skip over the next paragraph. But for those who are interested, I'd like to make the discussion a bit more precise. Recall that inflationary expansion came to an end when the inflaton field's value slid down its potential energy bowl and the field relinquished all its pent-up energy and negative pressure. We described this as happening uniformly throughout space-the inflaton value here, there, and everywhere experienced the same evolution-as that's what naturally emerges from the governing equations. However, this is strictly true only if we ignore the effects of quantum mechanics. On average, the inflaton field value did indeed slide down the bowl, as we expect from thinking about a simple classical object like a marble rolling down an incline. But just as a frog sliding down the bowl is likely to jump and jiggle along the way, quantum mechanics tells us that the inflaton field experienced quivers and jitters. On its way down, the value may have suddenly jumped up a little bit over there or jiggled down a little bit over there. And because of this jittering, the inflaton reached the value of lowest energy at different places at slightly different moments. In turn, inflationary expansion shut off at slightly different times at different locations in space, so that the amount of spatial expansion at different locations varied slightly, giving rise to inhomogeneities-wrinkles-similar to the kind you see when the pizza maker stretches the dough a bit more in one place than another and creates a little bump. Now the normal intuition is that jitters arising from quantum mechanics would be too small to be relevant on astrophysical scales. But with inflation, space expanded at such a colossal rate, doubling in size every 10−37 seconds, that even a slightly different duration of inflation at nearby locations resulted in a significant wrinkle. In fact, calculations undertaken in specific realizations of inflation have shown that the inhomogeneities produced in this way have a tendency to be too large; researchers often have to adjust details in a given inflationary model (the precise shape of the inflaton field's potential energy bowl) to ensure that the quantum jitters don't predict a universe that's too lumpy. And so inflationary cosmology supplies a ready-made mechanism for understanding how the small-scale nonuniformity responsible for lumpy structures like stars and galaxies emerged in a universe that on the largest of scales appears thoroughly homogeneous.
+  According to inflation, the more than 100 billion galaxies, sparkling throughout space like heavenly diamonds, are nothing but quantum mechanics writ large across the sky. To me, this realization is one of the greatest wonders of the modern scientific age.
+The Golden Age of Cosmology
+Dramatic evidence supporting these ideas comes from meticulous satellite-based observations of the microwave background radiation's temperature. I have emphasized a number of times that the temperature of the radiation in one part of the sky agrees with that in another to high accuracy. But what I have yet to mention is that by the fourth digit after the decimal place, the temperatures in different locations do differ. Precision measurements, first accomplished in 1992 by COBE (the Cosmic Background Explorer satellite) and more recently by WMAP (the Wilkinson Microwave Anisotropy Probe), have determined that while the temperature might be 2.7249 Kelvin in one spot in space, it might be 2.7250 Kelvin in another, and 2.7251 Kelvin in still another.
+  The wonderful thing is that these extraordinarily small temperature variations follow a pattern on the sky that can be explained by attributing them to the same mechanism that has been suggested for seeding galaxy formation: quantum fluctuations stretched out by inflation. The rough idea is that when tiny quantum jitters are smeared across space, they make it slightly hotter in one region and slightly cooler in another (photons received from a slightly denser region expend more energy overcoming the slightly stronger gravitational field, and hence their energy and temperature are slightly lower than those of photons received from a less dense
+
+Figure 11.1 (a) Inflationary cosmology's prediction for temperature variations of the microwave background radiation from one point to another on the sky. (b) Comparison of those predictions with satellite-based observations.
+region). Physicists have carried out precise calculations based on this proposal, and generated predictions for how the microwave radiation's temperature should vary from place to place across the sky, as illustrated in Figure 11.1a. (The details are not essential, but the horizontal axis is related to the angular separation of two points on the sky, and the vertical axis is related to their temperature difference.) In Figure 11.1b, these predictions are compared with satellite observations, represented by little diamonds, and as you can see there is extraordinary agreement.
+  I hope you're blown away by this concordance of theory and observation, because if not it means I've failed to convey the full wonder of the result. So, just in case, let me reemphasize what's going on here: satellite-borne telescopes have recently measured the temperature of microwave photons that have been traveling toward us, unimpeded, for nearly 14 billion years. They've found that photons arriving from different directions in space have nearly identical temperatures, differing by no more than a few ten-thousandths of a degree. Moreover, the observations have shown that these tiny temperature differences fill out a particular pattern on the sky, demonstrated by the orderly progression of diamonds in Figure 11.1b. And marvel of marvels, calculations done today, using the inflationary framework, are able to explain the pattern of these minuscule temperature variations-variations set down nearly 14 billion years ago-and, to top it off, the key to this explanation involves jitters arising from quantum uncertainty. Wow.
+  This success has convinced many physicists of the inflationary theory's validity. What is of equal importance, these and other precision astronomical measurements, which have only recently become possible, have allowed cosmology to mature from a field based on speculation and conjecture to one firmly grounded in observation-a coming of age that has inspired many in the field to call our era the golden age of cosmology.
+Creating a Universe
+With such progress, physicists have been motivated to see how much further inflationary cosmology can go. Can it, for example, resolve the ultimate mystery, encapsulated in Leibniz's question of why there is a universe at all? Well, at least with our current level of understanding, that's asking for too much. Even if a cosmological theory were to make headway on this question, we could ask why that particular theory-its assumptions, ingredients, and equations-was relevant, thus merely pushing the question of origin one step further back. If logic alone somehow required the universe to exist and to be governed by a unique set of laws with unique ingredients, then perhaps we'd have a convincing story. But, to date, that's nothing but a pipe dream.
+  A related but somewhat less ambitious question, one that has also been asked in various guises through the ages, is: Where did all the mass/energy making up the universe come from? Here, although inflationary cosmology does not provide a complete answer, it has cast the question in an intriguing new light.
+  To understand how, think of a huge but flexible box filled with many thousands of swarming children, incessantly running and jumping. Imagine that the box is completely impermeable, so no heat or energy can escape, but because it's flexible, its walls can move outward. As the children relentlessly slam into each of the box's walls-hundreds at a time, with hundreds more immediately to follow-the box steadily expands. Now, you might expect that because the walls are impermeable, the total energy embodied by the swarming children will stay fully within the expanding box. After all, where else could their energy go? Well, although a reasonable proposition, it's not quite right. There is some place for it to go. The children expend energy every time they slam into a wall, and much of this energy is transferred to the wall's motion. The very expansion of the box absorbs, and hence depletes, the children's energy.
+  Even though space doesn't have walls, a similar kind of energy transfer takes place as the universe expands. Just as the fast-moving children work against the inward force exerted by the box's walls as it expands, the fast-moving particles in our universe work against an inward force as space expands: They work against the inward force of gravity. And just as the total energy embodied by the children drops because it's continuously transferred to the energy of the walls as the box expands, the total energy carried by ordinary particles of matter and radiation drops becasue it is continually transferred to gravity as the universe expands. In short, by drawing an analogy between the inward force exerted by the box's walls and the inward force exerted by gravity (an analogy that can be established mathematically), we conclude that gravity depletes the energy in fast-moving particles of matter and radiation as space swells. The loss of energy from fast-moving particles from cosmic expansion has been confirmed by observations of the microwave background radiation.26
+  Let's now modify our analogy a bit to gain insight into how an inflaton field impacts our description of energy exchange as space expands. Imagine that a few pranksters among the children hook up a number of enormous rubber bands between each of the opposite, outward-moving walls of the box. The rubber bands exert an inward, negative pressure on the box walls, which has exactly the opposite effect of the children's outward, positive pressure; rather than transferring energy to the expansion of the box, the rubber bands' negative pressure "saps" energy from the expansion. As the box expands, the rubber bands get increasingly taut, which means they embody increasing amounts of energy.
+  This modified scenario is relevant to cosmology because, as we've learned, like the pranksters' rubber bands, a uniform inflaton field exerts a negative pressure within an exanding universe. And so, just as the total energy embodied by the rubber bands increases as the box expands because they extract energy from the box's walls, the total energy embodied by the inflaton field increases as the universe expands because it extracts energy from gravity.27
+  To summarize: as the universe expands, matter and radiation lose  energy to gravity while an inflaton field gains energy from gravity. 
+  The pivotal nature of these observations becomes clear when we try to explain the origin of the matter and radiation that make up galaxies, stars, and everything else inhabiting the cosmos. In the standard big bang theory, the mass/energy carried by matter and radiation has steadily decreased as the universe has expanded, and so the mass/energy in the early universe greatly exceeded what we see today. Thus, instead of offering an explanation for where all the mass/energy currently inhabiting the universe originated, the standard big bang fights an unending uphill battle: the farther back the theory looks, the more mass/energy it must somehow explain.
+  In inflationary cosmology, though, much the opposite is true. Recall that the inflationary theory argues that matter and radiation were produced at the end of the inflationary phase as the inflaton field released its pent-up energy by rolling from perch to valley in its potential-energy bowl. The relevant question, therefore, is whether, just as the inflationary phase was drawing to a close, the theory can account for the inflaton field embodying the stupendous quantity of mass/energy necessary to yield the matter and radiation in today's universe.
+  The answer to this question is that inflation can, without even breaking a sweat. As just explained, the inflaton field is a gravitational parasite-it feeds on gravity-and so the total energy the inflaton field carried increased as space expanded. More precisely, the mathematical analysis shows that the energy density of the inflaton field remained constant throughout the inflationary phase of rapid expansion, implying that the total energy it embodied grew in direct proportion to the volume of the space it filled. In the previous chapter, we saw that the size of the universe increased by at least a factor of 1030 during inflation, which means the volume of the universe increased by a factor of at least (10 30)3 = 1090. Consequently, the energy embodied in the inflaton field increased by the same huge factor: as the inflationary phase drew to a close, a mere 10−35 or so seconds after it began, the energy in the inflaton field grew by a factor on the order of 1090, if not more. This means that at the onset of inflation, the inflaton field didn't need to have much energy, since the enormous expansionit was about to spawn would enormously amplify the energy it carried.  A simple calculation shows that a tiny nugget, on the order of 10 −26 centimeters across, filled with a uniform inflaton field-and weighing a mere twenty pounds-would, through the ensuing inflationary expansion, acquire enough energy to account for all we see in the universe today.2
+  Thus, in stark contrast to the standard big bang theory in which the total mass/energy of the early universe was huge beyond words, inflationary cosmology, by "mining" gravity, can produce all the ordinary matter and radiation in the universe from a tiny, twenty-pound speck of inflatonfilled space. By no means does this answer Leibniz's question of why there is something rather than nothing, since we've yet to explain why there is an inflaton or even the space it occupies. But the something in need of explanation weighs a whole lot less than my dog Rocky, and that's certainly a very different starting point than envisaged in the standard big bang.28
+Inflation, Smoothness, and the Arrow of Time
+Perhaps my enthusiasm has already betrayed my bias, but of all the progress that science has achieved in our age, advances in cosmology fill me with the greatest awe and humility. I seem never to have lost the rush I initially felt years ago when I first read up on the basics of general relativity and realized that from our tiny little corner of spacetime we can apply Einstein's theory to learn about the evolution of the entire cosmos. Now, a few decades later, technological progress is subjecting these once abstract proposals for how the universe behaved in its earliest moments to observational tests, and the theories really work.
+  Recall, though, that besides cosmology's overall relevance to the story of space and time, Chapters 6 and 7 launched us into a study of the universe's early history with a specific goal: to find the origin of time's arrow. Remember from those chapters that the only convincing framework we found for explaining time's arrow was that the early universe had extremely high order, that is, extremely low entropy, which set the stage for a future in which entropy got ever larger. Just as the pages of War and  Peace wouldn't have had the capacity to get increasingly jumbled if they had not been nice and ordered at some point, so too the universe wouldn't have had the capacity to get increasingly disordered-milk spilling, eggs breaking, people aging-unless it had been in a highly ordered configuration early on. The puzzle we encountered is to explain how this high-order, low-entropy starting point came to be.
+  Inflationary cosmology offers substantial progress, but let me first remind you more precisely of the puzzle, in case any of the relevant details have slipped your mind.
+  There is strong evidence and little doubt that, early in the history of the universe, matter was spread uniformly throughout space. Ordinarily, this would be characterized as a high-entropy configuration-like the carbon dioxide molecules from a bottle of Coke being spread uniformly throughout a room-and hence would be so commonplace that it would hardly require an explanation. But when gravity matters, as it does when considering the entire universe, a uniform distribution of matter is a rare, low-entropy, highly ordered configuration, because gravity drives matter to form clumps. Similarly, a smooth and uniform spatial curvature also has very low entropy; it is highly ordered compared with a wildly bumpy, nonuniform spatial curvature. (Just as there are many ways for the pages of War and Peace to be disordered but only one way for them to be ordered, so there are many ways for space to have a disordered, nonuniform shape, but very few ways in which it can be fully ordered, smooth, and uniform.) So we are left to puzzle: Why did the early universe have a low-entropy (highly ordered) uniform distribution of matter instead of a high-entropy (highly disordered) clumpy distribution of matter such as a diverse population of black holes? And why was the curvature of space smooth, ordered, and uniform to extremely high accuracy rather than being riddled with a variety of huge warps and severe curves, also like those generated by black holes?
+  As first discussed in detail by Paul Davies and Don Page,3 inflationary cosmology gives important insight into these issues. To see how, bear in mind that an essential assumption of the puzzle is that once a clump forms here or there, its greater gravitational pull attracts yet more material, causing it to grow larger; correspondingly, once a wrinkle in space forms here or there, its greater gravitational pull tends to make the wrinkle yet more severe, leading to a bumpy, highly nonuniform spatial curvature. When gravity matters, ordinary, unremarkable, high-entropy configurations are lumpy and bumpy.
+  But note the following: this reasoning relies completely on the  attractivenature of ordinary gravity. Lumps and bumps grow because they  pull strongly on nearby material, coaxing such material to join the lump. During the brief inflationary phase, though, gravity was repulsive and that changed everything. Take the shape of space. The enormous outward push of repulsive gravity drove space to swell so swiftly that initial bumps and warps were stretched smooth, much as fully inflating a shriveled balloon stretches out its creased surface.29 What's more, since the volume of space increased by a colossal factor during the brief inflationary period, the density of any clumps of matter was completely diluted, much as the density of fish in your aquarium would be diluted if the tank's volume suddenly increased to that of an Olympic swimming pool. Thus, although attractive gravity causes clumps of matter and creases of space to grow, repulsive gravity does the opposite: it causes them to diminish, leading to an ever smoother, ever more uniform outcome.
+  Thus, by the end of the inflationary burst, the size of the universe had grown fantastically, any nonuniformity in the curvature of space had been stretched away, and any initial clumps of anything at all had been diluted to the point of irrelevance. Moreover, as the inflaton field slid down to the bottom of its potential-energy bowl, bringing the burst of inflationary expansion to a close, it converted its pent-up energy into a nearly uniform bath of particles of ordinary matter throughout space (uniform up to the tiny but critical inhomogeneities coming from quantum jitters). In total, this all sounds like great progress. The outcome we've reached via inflation -a smooth, uniform spatial expansion populated by a nearly uniform  distribution of matter-was exactly what we were trying to explain. It's exactly the low-entropy configuration that we need to explain time's arrow.
+Entropy and Inflation
+Indeed, this is significant progress. But two important issues remain.
+  First, we seem to be concluding that the inflationary burst smooths things out and hence lowers total entropy, embodying a physical mechanism-not just a statistical fluke-that appears to violate the second law of thermodynamics. Were that the case, either our understanding of the second law or our current reasoning would have to be in error. In actuality, though, we don't have to face either of these options, because total entropy does not go down as a result of inflation. What really happens during the inflationary burst is that the total entropy goes up, but it goes up much less  than it might have. You see, by the end of the inflationary phase, space was stretched smooth and so the gravitational contribution to entropy-the entropy associated with the possible bumpy, nonordered, nonuniform shape of space-was minimal. However, when the inflaton field slid down its bowl and relinquished its pent-up energy, it is estimated to have produced about 1080 particles of matter and radiation. Such a huge number of particles, like a book with a huge number of pages, embodies a huge amount of entropy. Thus, even though the gravitational entropy went down, the increase in entropy from the production of all these particles more than compensated. The total entropy increased, just as we expect from the second law.
+  But, and this is the important point, the inflationary burst, by smoothing out space and ensuring a homogeneous, uniform, low-entropy gravitational field, created a huge gap between what the entropy contribution from gravity was and what it might have been. Overall entropy increased during inflation, but by a paltry amount compared with how much it could have increased. It's in this sense that inflation generated a low-entropy universe: by the end of inflation, entropy had increased, but by nowhere near the factor by which the spatial expanse had increased. If entropy is likened to property taxes, it would be as if New York City acquired the Sahara Desert. The total property taxes collected would go up, but by a tiny amount compared with the total increase in acreage.
+  Ever since the end of inflation, gravity has been trying to make up the entropy difference. Every clump-be it a galaxy, or a star in a galaxy, or a planet, or a black hole-that gravity has subsequently coaxed out of the uniformity (seeded by the tiny nonuniformity from quantum jitters) has increased entropy and has brought gravity one step closer to realizing its entropy potential. In this sense, then, inflation is a mechanism that yielded a large universe with relatively low gravitational entropy, and in that way set the stage for the subsequent billions of years of gravitational clumping whose effects we now witness. And so inflationary cosmology gives a direction to time's arrow by generating a past with exceedingly low gravitational entropy; the future is the direction in which this entropy grows.4
+  The second issue becomes apparent when we continue down the path to which time's arrow led us in Chapter 6. From an egg, to the chicken that laid it, to the chicken's feed, to the plant kingdom, to the sun's heat and light, to the big bang's uniformly distributed primordial gas, we followed the universe's evolution into a past that had ever greater order, at each stage pushing the puzzle of low entropy one step further back in time. We have just now realized that an even earlier stage of inflationary expansion can naturally explain the smooth and uniform aftermath of the bang. But what about inflation itself? Can we explain the initial link in this chain we've followed? Can we explain why conditions were right for an inflationary burst to happen at all?
+  This is an issue of paramount importance. No matter how many puzzles inflationary cosmology resolves in theory, if an era of inflationary expansion never took place, the approach will be rendered irrelevant. Moreover, since we can't go back to the early universe and determine directly whether inflation occurred, assessing whether we've made real progress in setting a direction to time's arrow requires that we determine the likelihood that the conditions necessary for an inflationary burst were achieved. That is, physicists bristle at the standard big bang's reliance on finely tuned homogeneous initial conditions that, while observationally motivated, are theoretically unexplained. It feels deeply unsatisfying for the low-entropy state of the early universe simply to be assumed; it feels hollow for time's arrow to be imposed on the universe, without explanation. At first blush, inflation offers progress by showing that what's assumed in the standard big bang emerges from inflationary evolution. But if the initiation of inflation requires yet other, highly special, exceedingly low-entropy conditions, we will pretty much find ourselves back at square one. We will merely have traded the big bang's special conditions for those necessary to ignite inflation, and the puzzle of time's arrow will remain just as puzzling.
+  What are the conditions necessary for inflation? We've seen that inflation is the inevitable result of the inflaton field's value getting stuck, for just a moment and within just a tiny region, on the high-energy plateau in its potential energy bowl. Our charge, therefore, is to determine how likely this starting configuration for inflation actually is. If initiating inflation proves easy, we'll be in great shape. But if the necessary conditions are extraordinarily unlikely to be attained, we will merely have shifted the question of time's arrow one step further back-to finding the explanation for the low-entropy inflaton field configuration that got the ball rolling.
+  I'll first describe current thinking on this issue in the most optimistic light, and then return to essential elements of the story that remain cloudy.
+Boltzmann Redux
+As mentioned in the previous chapter, the inflationary burst is best thought of as an event occurring in a preexisting universe, rather than being thought of as the creation of the universe itself. Although we don't have an unassailable understanding of what the universe was like during such a preinflationary era, let's see how far we can get if we assume that things were in a thoroughly ordinary, high-entropy state. Specifically, let's imagine that primordial, preinflationary space was riddled with warps and bumps, and that the inflaton field was also highly disordered, its value jumping to and fro like the frog in the hot metal bowl.
+  Now, just as you can expect that if you patiently play a fair slot machine, sooner or later the randomly spinning dials will land on triple diamonds, we expect that sooner or later a chance fluctuation within this highly energetic, turbulent arena of the primordial universe will cause the inflaton field's value to jump to the correct, uniform value in some small nugget of space, initiating an outward burst of inflationary expansion. As explained in the previous section, calculations show that the nugget of space need only have been tiny-on the order of 10−26 centimeters across-for the ensuing cosmological expansion (inflationary expansion followed by standard big bang expansion) to have stretched it larger than the universe we see today. Thus, rather than assuming or simply declaring that conditions in the early universe were right for inflationary expansion to take place, in this way of thinking about things an ultramicroscopic fluctuation weighing a mere twenty pounds, occurring within an ordinary, unremarkable environment of disorder, gave rise to the necessary conditions.
+  What's more, just as the slot machine will also generate a wide variety of nonwinning results, in other regions of primordial space other kinds of inflaton fluctuations would also have happened. In most, the fluctuation wouldn't have had the right value or have been sufficiently uniform for inflationary expansion to occur. (Even in a region that's a mere 10−26 centimeters across, a field's value can vary wildly.) But all that matters to us is that there was one nugget that yielded the space-smoothing inflationary burst that provided the first link in the low-entropy chain, ultimately leading to our familiar cosmos. As we see only our one big universe, we only need the cosmic slot machine to pay out once.5
+  Since we are tracing the universe back to a statistical fluctuation from primordial chaos, this explanation for time's arrow shares certain features with Boltzmann's original proposal. Remember from Chapter 6 that Boltzmann suggested that everything we now see arose as a rare but every so often expectable fluctuation from total disorder. The problem with Boltzmann's original formulation, though, was that it could not explain why the chance fluctuation had gone so far overboard and produced a universe hugely more ordered than it would need to be even to support life as we know it. Why is the universe so vast, having billions and billions of galaxies, each with billions and billions of stars, when it could have drastically cut corners by having, say, just a few galaxies, or even only one?
+  From the statistical point of view, a more modest fluctuation that produced some order but not as much as we currently see would be far more likely. Moreover, since on average entropy is on the rise, Boltzmann's reasoning suggests that it would be much more likely that everything we see today  just now arose as a rare statistical jump to lower entropy. Recall the reason: the farther back the fluctuation happened, the lower the entropy it would have had to attain (entropy starts to rise after any dip to low entropy, as in Figure 6.4, so if the fluctuation happened yesterday, it must have dipped down to yesterday's lower entropy, and if it happened a billion years ago, it must have dipped down to that era's even lower entropy). Hence, the farther back in time, the more drastic and improbable the required fluctuation. Thus, it is much more likely that the jump just happened. But if we accept this conclusion, we can't trust memories, records, or even the laws of physics that underlie the discussion itself-a completely intolerable position.
+  The tremendous advantage of the inflationary incarnation of Boltzmann's idea is that a small fluctuation early on-a modest jump to the favorable conditions, within a tiny nugget of space-inevitably yields the huge and ordered universe we are aware of. Once inflationary expansion set in, the little nugget was inexorably stretched to scales at least as large as the universe we currently see, and hence there is no mystery as to why the universe didn't cut corners; there is no mystery why the universe is vast and is populated by a huge number of galaxies. From the get-go, inflation gave the universe an amazing deal. A jump to lower entropy within a tiny nugget of space was leveraged by inflationary expansion into the vast reaches of the cosmos. And, of utmost importance, the inflationary stretching didn't just yield any old large universe. It yielded our large universe-inflation explains the shape of space, it explains the large-scale uniformity, and it even explains the "smaller"-scale inhomogeneities such as galaxies and temperature variations in the background radiation. Inflation packages a wealth of explanatory and predictive power in a single fluctuation to low entropy.
+  And so Boltzmann may well have been right. Everything we see may have resulted from a chance fluctuation out of a highly disordered state of primeval chaos. In this realization of his ideas, though, we can trust our records and we can trust our memories: the fluctuation did not happen just now. The past really happened. Our records are records of things that took place. Inflationary expansion amplifies a tiny speck of order in the early universe-it "wound up" the universe to a huge expanse with minimal gravitational entropy-so the 14 billion years of subsequent unwinding, of subsequent clumping into galaxies, stars, and planets, presents no puzzle.
+  In fact, this approach even tells us a bit more. Just as it's possible to hit the jackpot on a number of slot machines on the floor of the Bellagio, in the primordial state of high entropy and overall chaos there was no reason why the conditions necessary for inflationary expansion would arise only in a single spatial nugget. Instead, as Andrei Linde has proposed, there could have been many nuggets scattered here and there that underwent space-smoothing inflationary expansion. If that were so, our universe would be but one among many that sprouted-and perhaps continue to sprout-when chance fluctuations made the conditions right for an inflationary burst, as illustrated in Figure 11.2. As these other universes would likely be forever separate from ours, it's hard to imagine how we would ever establish whether this "multiverse" picture is true. However, as a conceptual framework, it's both rich and tantalizing. Among other things, it suggests a possible shift in how we think about cosmology: In Chapter 10, I described inflation as a "front end" to the standard big bang theory, in which the bang is identified with a fleeting burst of rapid expansion. But if we think of the inflationary sprouting of each new universe in Figure 11.2 as its own bang, then inflation itself is best viewed as the overarching cosmological framework within which big bang-like evolutions happen, bubble by bubble. Thus, rather than inflation's being incorporated into the standard big bang theory, in this approach the standard big bang would be incorporated into inflation.
+
+Figure 11.2 Inflation can occur repeatedly, sprouting new universes from older ones.
+Inflation and the Egg
+So why do you see an egg splatter but not unsplatter? Where does the arrow of time that we all experience come from? Here is where this approach has taken us. Through a chance but every so often expectable fluctuation from an unremarkable primordial state with high entropy, a tiny, twenty-pound nugget of space achieved conditions that led to a brief burst of inflationary expansion. The tremendous outward swelling resulted in space's being stretched enormously large and extremely smooth, and, as the burst drew to a close, the inflaton field relinquished its hugely amplified energy by filling space nearly uniformly with matter and radiation. As the inflaton's repulsive gravity diminished, ordinary attractive gravity became dominant. And, as we've seen, attractive gravity exploits tiny inhomogeneities caused by quantum jitters to cause matter to clump, forming galaxies and stars and ultimately leading to the formation of the sun, the earth, the rest of the solar system, and the other features of our observed universe. (As discussed, some 7 billion or so years ATB, repulsive gravity once again became dominant, but this is only relevant on the largest of cosmic scales and has no direct impact on smaller entities like individual galaxies or our solar system, where ordinary attractive gravity still reigns.) The sun's relatively low-entropy energy was used by low-entropy plant and animal life forms on earth to produce yet more low-entropy life forms, slowly raising the total entropy through heat and waste. Ultimately, this chain produced a chicken that produced an egg- and you know the rest of the story: the egg rolled off your kitchen counter and splattered on the floor as part of the universe's relentless drive to higher entropy. It's the low-entropy, highly ordered, uniformly smooth nature of the spatial fabric produced by inflationary stretching that is the analog of having the pages of War and Peace all in their proper numerical arrangement; it is this early state of order-the absence of severe bumps or warps or gargantuan black holes-that primed the universe for the subsequent evolution to higher entropy and hence provided the arrow of time we all experience. With our current level of understanding, this is the most complete explanation for time's arrow that has been given.
+The Fly in the Ointment?
+To me, this story of inflationary cosmology and time's arrow is lovely. From a wild and energetic realm of primordial chaos, there emerged an ultramicroscopic fluctuation of uniform inflaton field weighing far less than the limit for carry-on luggage. This initiated inflationary expansion, which set a direction to time's arrow, and the rest is history.
+  But in telling this story, we've made a pivotal assumption that's as yet unjustified. To assess the likelihood of inflation's being initiated, we've had to specify the characteristics of the preinflationary realm out of which inflationary expansion is supposed to have emerged. The particular realm we've envisioned-wild, chaotic, energetic-sounds reasonable, but delineating this intuitive description with mathematical precision proves challenging. Moreover, it is only a guess. The bottom line is that we don't know what conditions were like in the supposed preinflationary realm, in the fuzzy patch of Figure 10.3, and without that information we are unable to make a convincing assessment of the likelihood of inflation's initiating; any calculation of the likelihood depends sensitively on the assumptions we make.6
+  With this hole in our understanding, the most sensible summary is that inflation offers a powerful explanatory framework that bundles together seemingly disparate problems-the horizon problem, the flatness problem, the origin-of-structure problem, the low-entropy-of-the-early-universe problem-and offers a single solution that addresses them all. This feels right. But to go to the next step, we need a theory that can cope with the extreme conditions characteristic of the fuzzy patch- extremes of heat and colossal density-so that we will stand a chance of gaining sharp, unambiguous insight into the earliest moments of the cosmos.
+  As we will learn in the next chapter, this requires a theory that can overcome perhaps the greatest obstacle theoretical physics has faced during the last eighty years: a fundamental rift between general relativity and quantum mechanics. Many researchers believe that a relatively new approach called superstring theory may have accomplished this, but if superstring theory is right, the fabric of the cosmos is far stranger than almost anyone ever imagined.
+IV
+ORIGINS AND UNIFICATION
+12
+The World on a String
+THE FABRIC ACCORDING TO STRING THEORY
+Imagine a universe in which to understand anything you'd need to understand everything. A universe in which to say anything about why a planet orbits a star, about why a baseball flies along a particular trajectory, about how a magnet or a battery works, about how light and gravity operate-a universe in which to say anything about anything-you would need to uncover the most fundamental laws and determine how they act on the finest constituents of matter. Thankfully, this universe is not our universe.
+  If it were, it's hard to see how science would have made any progress at all. Over the centuries, the reason we've been able to make headway is that we've been able to work piecemeal; we've been able to unravel mysteries step by step, with each new discovery going a bit deeper than the previous. Newton didn't need to know about atoms to make great strides in understanding motion and gravity. Maxwell didn't need to know about electrons and other charged particles to develop a powerful theory of electromagnetism. Einstein didn't need to address the primordial incarnation of space and time to formulate a theory of how they curve in the service of the gravitational force. Instead, each of these discoveries, as well as the many others that underlie our current conception of the cosmos, proceeded within a limited context that unabashedly left many basic questions unanswered. Each discovery was able to contribute its own piece to the puzzle, even though no one knew-and we still don't know-what grand synthesizing picture comprises all the puzzle's pieces.
+  A closely related observation is that although today's science differs sharply from that of even fifty years ago, it would be simplistic to summarize scientific progress in terms of new theories overthrowing their predecessors. A more correct description is that each new theory refines its predecessor by providing a more accurate and more wide-reaching framework. Newton's theory of gravity has been superseded by Einstein's general relativity, but it would be naïve to say that Newton's theory was wrong. In the domain of objects that don't move anywhere near as fast as light and don't produce gravitational fields anywhere near as strong as those of black holes, Newton's theory is fantastically accurate. Yet this is not to say that Einstein's theory is a minor variant on Newton's; in the course of improving Newton's approach to gravity, Einstein invoked a whole new conceptual schema, one that radically altered our understanding of space and time. But the power of Newton's discovery within the domain he intended it for (planetary motion, commonplace terrestrial motion, and so on) is unassailable.
+  We envision each new theory taking us closer to the elusive goal of truth, but whether there is an ultimate theory-a theory that cannot be refined further, because it has finally revealed the workings of the universe at the deepest possible level-is a question no one can answer. Even so, the pattern traced out during the last three hundred years of discovery gives tantalizing evidence that such a theory can be developed. Broadly speaking, each new breakthrough has gathered a wider range of physical phenomena under fewer theoretical umbrellas. Newton's discoveries showed that the forces governing planetary motion are the same as those governing the motion of falling objects here on earth. Maxwell's discoveries showed that electricity and magnetism are two sides of the same coin. Einstein's discoveries showed that space and time are as inseparable as Midas' touch and gold. The discoveries of a generation of physicists in the early twentieth century established that myriad mysteries of microphysics could be explained with precision using quantum mechanics. More recently, the discoveries of Glashow, Salam, and Weinberg showed that electromagnetism and the weak nuclear force are two manifestations of a single force-the electroweak force-and there is even tentative, circumstantial evidence that the strong nuclear force may join the electroweak force in a yet grander synthesis.1 Taking all this together, we see a pattern that goes from complexity to simplicity, a pattern that goes from diversity to unity. The explanatory arrows seem to be converging on a powerful, yet-to-be discovered framework that would unify all of nature's forces and all of matter within a single theory capable of describing all physical phenomena.
+  Albert Einstein, who for more than three decades sought to combine electromagnetism and general relativity in a single theory, is rightly credited with initiating the modern search for a unified theory. For long stretches during those decades, he was the sole searcher for such a unified theory, and his passionate yet solitary quest alienated him from the mainstream physics community. During the last twenty years, though, there has been a resurgence in the quest for a unified theory; Einstein's lonely dream has become the driving force for a whole generation of physicists. But with the discoveries since Einstein's time has come a shift in focus. Even though we don't yet have a successful theory combining the strong nuclear force and the electroweak force, all three of these forces (electromagnetic, weak, strong) have been described by a single uniform language based on quantum mechanics. But general relativity, our most refined theory of the fourth force, stands outside this framework. General relativity is a classical theory: it does not incorporate any of the probabilistic concepts of quantum theory. A primary goal of the modern unification program is therefore to combine general relativity and quantum mechanics, and to describe all four forces within the same quantum mechanical framework. This has proven to be one of the most difficult problems theoretical physics has ever encountered.
+  Let's see why.
+Quantum Jitters and Empty Space
+If I had to select the single most evocative feature of quantum mechanics, I'd choose the uncertainty principle. Probabilities and wavefunctions certainly provide a radically new framework, but it's the uncertainty principle that encapsulates the break from classical physics. Remember, in the seventeenth and eighteenth centuries, scientists believed that a complete description of physical reality amounted to specifying the positions and velocities of every constituent of matter making up the cosmos. And with the advent of the field concept in the nineteenth century, and its subsequent application to the electromagnetic and gravitational forces, this view was augmented to include the value of each field-the strength of each field, that is-and the rate of change of each field's value, at every location in space. But by the 1930s, the uncertainty principle dismantled this conception of reality by showing that you can't ever know both the position and the velocity of a particle; you can't ever know both the value of a field at some location in space and how quickly the field value is changing. Quantum uncertainty forbids it.
+  As we discussed in the last chapter, this quantum uncertainty ensures that the microworld is a turbulent and jittery realm. Earlier, we focused on uncertainty-induced quantum jitters for the inflaton field, but quantum uncertainty applies to all fields. The electromagnetic field, the strong and weak nuclear force fields, and the gravitational field are all subject to frenzied quantum jitters on microscopic scales. In fact, these field jitters exist even in space you'd normally think of as empty, space that would seem to contain no matter and no fields. This is an idea of critical importance, but if you haven't encountered it previously, it's natural to be puzzled. If a region of space contains nothing-if it's a vacuum-doesn't that mean there's nothing to jitter? Well, we've already learned that the concept of nothingness is subtle. Just think of the Higgs ocean that modern theory claims to permeate empty space. The quantum jitters I'm now referring to serve only to make the notion of "nothing" subtler still. Here's what I mean.
+  In prequantum (and pre-Higgs) physics, we'd declare a region of space completely empty if it contained no particles and the value of every field was uniformly zero.30 Let's now think about this classical notion of emptiness in light of the quantum uncertainty principle. If a field were to have and maintain a vanishing value, we would know its value-zero- and also the rate of change of its value-zero, too. But according to the uncertainty principle, it's impossible for both these properties to be definite. Instead, if a field has a definite value at some moment, zero in the case at hand, the uncertainty principle tells us that its rate of change is completely random. And a random rate of change means that in subsequent moments the field's value will randomly jitter up and down, even in what we normally think of as completely empty space. So the intuitive notion of emptiness, one in which all fields have and maintain the value zero, is incompatible with quantum mechanics. A field's value can jitter around the value zero but it can't be uniformly zero throughout a region for more than a brief moment.3 In technical language, physicists say that fields undergo vacuum fluctuations.
+  The random nature of vacuum field fluctuations ensures that in all but the most microscopic of regions, there are as many "up" jitters as "down" and hence they average out to zero, much as a marble surface appears perfectly smooth to the naked eye even though an electron microscope reveals that it's jagged on minuscule scales. Nevertheless, even though we can't see them directly, more than half a century ago the reality of quantum field jitters, even in empty space, was conclusively established through a simple yet profound discovery.
+  In 1948, the Dutch physicist Hendrik Casimir figured out how vacuum fluctuations of the electromagnetic field could be experimentally detected. Quantum theory says that the jitters of the electromagnetic field in empty space will take on a variety of shapes, as illustrated in Figure 12.1a. Casimir's breakthrough was to realize that by placing two ordinary metal plates in an otherwise empty region, as in Figure 12.1b, he could induce a subtle modification to these vacuum field jitters. Namely, the quantum equations show that in the region between the plates there will be fewer fluctuations (only those electromagnetic field fluctuations whose values vanish at the location of each plate are allowed). Casimir analyzed the implications of this reduction in field jitters and found something extraordinary. Much as a reduction in the amount of air in a region creates a pressure imbalance (for example, at high altitude you can feel the thinner air exerting less pressure on the outside of your eardrums), the reduction in quantum field jitters between the plates also yields a pressure imbalance: the quantum field jitters between the plates become a bit weaker than those outside the plates, and this imbalance drives the plates toward each other. 
+
+Figure 12.1 (a) Vacuum fluctuations of the electromagnetic field. (b) Vacuum fluctuations between two metal plates and those outside the plates.
+  Think about how thoroughly odd this is. You place two plain, ordinary, uncharged metal plates into an empty region of space, facing one another. As their masses are tiny, the gravitational attraction between them is so small that it can be completely ignored. Since there is nothing else around, you naturally conclude that the plates will stay put. But this is not what Casimir's calculations predicted would happen. He concluded that the plates would be gently guided by the ghostly grip of quantum vacuum fluctuations to move toward one another.
+  When Casimir first announced these theoretical results, equipment sensitive enough to test his predictions didn't exist. Yet, within about a decade, another Dutch physicist, Marcus Spaarnay, was able to initiate the first rudimentary tests of this Casimir force, and increasingly precise experiments have been carried out ever since. In 1997, for example, Steve Lamoreaux, then at the University of Washington, confirmed Casimir's predictions to an accuracy of 5 percent.4 (For plates roughly the size of playing cards and placed one ten-thousandth of a centimeter apart, the force between them is about equal to the weight of a single teardrop; this shows how challenging it is to measure the Casimir force.) There is now little doubt that the intuitive notion of empty space as a static, calm, eventless arena is thoroughly off base. Because of quantum uncertainty, empty space is teeming with quantum activity.
+  It took scientists the better part of the twentieth century to fully develop the mathematics for describing such quantum activity of the electromagnetic, and strong and weak nuclear forces. The effort was well spent: calculations using this mathematical framework agree with experimental findings to an unparalleled precision (e.g., calculations of the effect of vacuum fluctuations on the magnetic properties of electrons agree with experimental results to one part in a billion).5
+  Yet despite all this success, for many decades physicists have been aware that quantum jitters have been fomenting discontent within the laws of physics.
+Jitters and Their Discontent 6
+So far, we've discussed only quantum jitters for fields that exist  within space. What about the quantum jitters of space itself? While this might sound mysterious, it's actually just another example of quantum field jitters-an example, however, that proves particularly troublesome. In the general theory of relativity, Einstein established that the gravitational force can be described by warps and curves in the fabric of space; he showed that gravitational fields manifest themselves through the shape or geometry of space (and of spacetime, more generally). Now, just like any other field, the gravitational field is subject to quantum jitters: the uncertainty principle ensures that over tiny distance scales, the gravitational field fluctuates up and down. And since the gravitational field is synonymous with the shape of space, such quantum jitters mean that the shape of space fluctuates randomly. Again, as with all examples of quantum uncertainty, on everyday distance scales the jitters are too small to be sensed directly, and the surrounding environment appears smooth, placid, and predictable. But the smaller the scale of observation the larger the uncertainty, and the more tumultuous the quantum fluctuations become.
+  This is illustrated in Figure 12.2, in which we sequentially magnify the fabric of space to reveal its structure at ever smaller distances. The lowermost level of the figure shows the quantum undulations of space on familiar scales and, as you can see, there's nothing to see-the undulations are unobservably small, so space appears calm and flat. But as we home in by sequentially magnifying the region, we see that the undulations of space get increasingly frenetic. By the highest level in the figure, which shows the fabric of space on scales smaller than the Planck length-a millionth of a billionth of a billionth of a billionth (10−33) of a centimeter-space becomes a seething, boiling cauldron of frenzied fluctuations. As the illustration makes clear, the usual notions of left/right, back/forth, and up/down become so jumbled by the ultramicroscopic tumult that they lose all meaning. Even the usual notion of before/after, which we've been illustrating by sequential slices in the spacetime loaf, is rendered meaningless by quantum fluctuations on time scales shorter than the Planck time, about a tenth of a millionth of a trillionth of a trillionth of a trillionth (10−43) of a second (which is roughly the time it takes light to travel a Planck length). Like a blurry photograph, the wild undulations in Figure 12.2 make it impossible to distinguish one time slice from another unambiguously when the time interval between them becomes shorter than the Planck time. The upshot is that on scales shorter than Planck distances and durations, quantum uncertainty renders the fabric of the cosmos so twisted and distorted that the usual conceptions of space and time are no longer applicable.
+  
+
+Figure 12.2 Successive magnifications of space reveal that below the Planck length, space becomes unrecognizably tumultuous due to quantum jitters. (These are imaginary magnifying glasses, each of which magnifies between 10 million and 100 million times.)
+  While exotic in detail, the broad-brush lesson illustrated by Figure 12.2 is one with which we are already familiar: concepts and conclusions relevant on one scale may not be applicable on all scales. This is a key principle in physics, and one that we encounter repeatedly even in far more prosaic contexts. Take a glass of water. Describing the water as a smooth, uniform liquid is both useful and relevant on everyday scales, but it's an approximation that breaks down if we analyze the water with sub-microscopic precision. On tiny scales, the smooth image gives way to a completely different framework of widely separated molecules and atoms. Similarly, Figure 12.2 shows that Einstein's conception of a smooth, gently curving, geometrical space and time, although powerful and accurate for describing the universe on large scales, breaks down if we analyze the universe at extremely short distance and time scales. Physicists believe that, as with water, the smooth portrayal of space and time is an approximation that gives way to another, more fundamental framework when considered on ultramicroscopic scales. What that framework is-what constitutes the "molecules" and "atoms" of space and time-is a question currently being pursued with great vigor. It has yet to be resolved.
+  Even so, what is thoroughly clear from Figure 12.2 is that on tiny scales the smooth character of space and time envisioned by general relativity locks horns with the frantic, jittery character of quantum mechanics. The core principle of Einstein's general relativity, that space and time form a gently curving geometrical shape, runs smack into the core principle of quantum mechanics, the uncertainty principle, which implies a wild, tumultuous, turbulent environment on the tiniest of scales. The violent clash between the central ideas of general relativity and quantum mechanics has made meshing the two theories one of the most difficult challenges physicists have encountered during the last eighty years.
+Does It Matter?
+In practice, the incompatibility between general relativity and quantum mechanics rears its head in a very specific way. If you use the combined equations of general relativity and quantum mechanics, they almost always yield one answer: infinity. And that's a problem. It's nonsense. Experimenters never measure an infinite amount of anything. Dials never spin around to infinity. Meters never reach infinity. Calculators never register infinity. Almost always, an infinite answer is meaningless. All it tells us is that the equations of general relativity and quantum mechanics, when merged, go haywire.
+  Notice that this is quite unlike the tension between special relativity and quantum mechanics that came up in our discussion of quantum nonlocality in Chapter 4. There we found that reconciling the tenets of special relativity (in particular, the symmetry among all constant velocity observers) with the behavior of entangled particles requires a more complete understanding of the quantum measurement problem than has so far been attained (see this page-this page). But this incompletely resolved issue does not result in mathematical inconsistencies or in equations that yield nonsensical answers. To the contrary, the combined equations of special relativity and quantum mechanics have been used to make the most precisely confirmed predictions in the history of science. The quiet tension between special relativity and quantum mechanics points to an area in need of further theoretical development, but it has hardly any impact on their combined predictive power. Not so with the explosive union between general relativity and quantum mechanics, in which all predictive power is lost.
+  Nevertheless, you can still ask whether the incompatibility between general relativity and quantum mechanics really matters. Sure, the combined equations may result in nonsense, but when do you ever really need to use them together? Years of astronomical observations have shown that general relativity describes the macro world of stars, galaxies, and even the entire expanse of the cosmos with impressive accuracy; decades of experiments have confirmed that quantum mechanics does the same for the micro world of molecules, atoms, and subatomic particles. Since each theory works wonders in its own domain, why worry about combining them? Why not keep them separate? Why not use general relativity for things that are large and massive, quantum mechanics for things that are tiny and light, and celebrate humankind's impressive achievement of successfully understanding such a wide range of physical phenomena?
+  As a matter of fact, this is what most physicists have done since the early decades of the twentieth century, and there's no denying that it's been a distinctly fruitful approach. The progress science has made by working in this disjointed framework is impressive. All the same, there are a number of reasons why the antagonism between general relativity and quantum mechanics must be reconciled. Here are two.
+  First, at a gut level, it is hard to believe that the deepest understanding of the universe consists of an uneasy union between two powerful theoretical frameworks that are mutually incompatible. It's not as though the universe comes equipped with a line in the sand separating things that are properly described by quantum mechanics from things properly described by general relativity. Dividing the universe into two separate realms seems both artificial and clumsy. To many, this is evidence that there must be a deeper, unified truth that overcomes the rift between general relativity and quantum mechanics and that can be applied to everything.We have one universe and therefore, many strongly believe, we should have one theory.
+  Second, although most things are either big and heavy or small and light, and therefore, as a practical matter, can be described using general relativity or quantum mechanics, this is not true of all things. Black holes provide a good example. According to general relativity, all the matter that makes up a black hole is crushed together at a single minuscule point at the black hole's center.7 This makes the center of a black hole both enormously massive and incredibly tiny, and hence it falls on both sides of the purported divide: we need to use general relativity because the large mass creates a substantial gravitational field, and we also need to use quantum mechanics because all the mass is squeezed to a tiny size. But in combination, the equations break down, so no one has been able to determine what happens right at the center of a black hole.
+  That's a good example, but if you're a real skeptic, you might still wonder whether this is something that should keep anyone up at night. Since we can't see inside a black hole unless we jump in, and, moreover, were we to jump in we wouldn't be able to report our observations back to the outside world, our incomplete understanding of the black hole's interior may not strike you as particularly worrisome. For physicists, though, the existence of a realm in which the known laws of physics break down- no matter how esoteric the realm might seem-throws up red flags. If the known laws of physics break down under any circumstances, it is a clear signal that we have not reached the deepest possible understanding. After all, the universe works; as far as we can tell, the universe does not break down. The correct theory of the universe should, at the very least, meet the same standard.
+  Well, that surely seems reasonable. But for my money, the full urgency of the conflict between general relativity and quantum mechanics is revealed only through another example. Look back at Figure 10.6. As you can see, we have made great strides in piecing together a consistent and predictive story of cosmic evolution, but the picture remains incomplete because of the fuzzy patch near the inception of the universe. And within the foggy haze of those earliest moments lies insight into the most tantalizing of mysteries: the origin and fundamental nature of space and time. So what has prevented us from penetrating the haze? The blame rests squarely on the conflict between general relativity and quantum mechanics. The antagonism between the laws of the large and those of the small is the reason the fuzzy patch remains obscure and we still have no insight into what happened at the very beginning of the universe.
+  To understand why, imagine, as in Chapter 10, running a film of the expanding cosmos in reverse, heading back toward the big bang. In reverse, everything that is now rushing apart comes together, and so as we run the film farther back, the universe gets ever smaller, hotter, and denser. As we close in on time zero itself, the entire observable universe is compressed to the size of the sun, then further squeezed to the size of the earth, then crushed to the size of a bowling ball, a pea, a grain of sand- smaller and smaller the universe shrinks as the film rewinds toward its initial frames. There comes a moment in this reverse-run film when the entire known universe has a size close to the Planck length-the millionth of a billionth of a billionth of a billionth of a centimeter at which general relativity and quantum mechanics find themselves at loggerheads. At this moment, all the mass and energy responsible for spawning the observable universe is contained in a speck that's less than a hundredth of a billionth of a billionth of the size of a single atom.8
+  Thus, just as in the case of a black hole's center, the early universe falls on both sides of the divide: The enormous density of the early universe requires the use of general relativity. The tiny size of the early universe requires the use of quantum mechanics. But once again, in combination the laws break down. The projector jams, the cosmic film burns up, and we are unable to access the universe's earliest moments. Because of the conflict between general relativity and quantum mechanics, we remain ignorant about what happened at the beginning and are reduced to drawing a fuzzy patch in Figure 10.6.
+  If we ever hope to understand the origin of the universe-one of the deepest questions in all of science-the conflict between general relativity and quantum mechanics must be resolved. We must settle the differences between the laws of the large and the laws of the small and merge them into a single harmonious theory.
+The Unlikely Road to a Solution31
+As the work of Newton and Einstein exemplifies, scientific breakthroughs are sometimes born of a single scientist's staggering genius, pure and simple. But that's rare. Much more frequently, great breakthroughs represent the collective effort of many scientists, each building on the insights of others to accomplish what no individual could have achieved in isolation. One scientist might contribute an idea that sets a colleague thinking, which leads to an observation that reveals an unexpected relationship that inspires an important advance, which starts anew the cycle of discovery. Broad knowledge, technical facility, flexibility of thought, openness to unanticipated connections, immersion in the free flow of ideas worldwide, hard work, and significant luck are all critical parts of scientific discovery. In recent times, there is perhaps no major breakthrough that better exemplifies this than the development of superstring theory.
+  Superstring theory is an approach that many scientists believe successfully merges general relativity and quantum mechanics. And as we will see, there is reason to hope for even more. Although it is still very much a work in progress, superstring theory may well be a fully unified theory of all forces and all matter, a theory that reaches Einstein's dream and beyond-a theory, I and many others believe, that is blazing the beginnings of a trail which will one day lead us to the deepest laws of the universe. Truthfully, though, superstring theory was not conceived as an ingenious means to reach these noble and long-standing goals. Instead, the history of superstring theory is full of accidental discoveries, false starts, missed opportunities, and nearly ruined careers. It is also, in a precise sense, the story of the discovery of the right solution for the wrong problem.
+  In 1968, Gabriele Veneziano, a young postdoctoral research fellow working at CERN, was one of many physicists trying to understand the strong nuclear force by studying the results of high-energy particle collisions produced in atom smashers around the world. After months of analyzing patterns and regularities in the data, Veneziano recognized a surprising and unexpected connection to an esoteric area of mathematics. He realized that a two-hundred-year-old formula discovered by the famous Swiss mathematician Leonhard Euler (the  Euler beta function) seemed to match data on the strong nuclear force with precision. While this might not sound particularly unusual-theoretical physicists deal with arcane formulae all the time-it was a striking case of the cart's rolling miles ahead of the horse. More often than not, physicists first develop an intuition, a mental picture, a broad understanding of the physical principles underlying whatever they are studying and only then seek the equations necessary to ground their intuition in rigorous mathematics. Veneziano, to the contrary, jumped right to the equation; his brilliance was to recognize unusual patterns in the data and to make the unanticipated link to a formula devised centuries earlier for purely mathematical interest.
+  But although Veneziano had the formula in hand, he had no explanation for why it worked. He lacked a physical picture of why Euler's beta function should be relevant to particles influencing each other through the strong nuclear force. Within two years the situation completely changed. In 1970, papers by Leonard Susskind of Stanford, Holger Nielsen of the Niels Bohr Institute, and Yoichiro Nambu of the University of Chicago revealed the physical underpinnings of Veneziano's discovery. These physicists showed that if the strong force between two particles were due to a tiny, extremely thin, almost rubber-band-like strand that connected the particles, then the quantum processes that Veneziano and others had been poring over would be mathematically described using Euler's formula. The little elastic strands were christened strings and now, with the horse properly before the cart, string theory was officially born.
+  But hold the bubbly. To those involved in this research, it was gratifying to understand the physical origin of Veneziano's insight, since it suggested that physicists were on their way to unmasking the strong nuclear force. Yet the discovery was not greeted with universal enthusiasm; far from it. Very far. In fact, Susskind's paper was returned by the journal to which he submitted it with the comment that the work was of minimal interest, an evaluation Susskind recalls well: "I was stunned, I was knocked off my chair, I was depressed, so I went home and got drunk."9 Eventually, his paper and the others that announced the string concept were all published, but it was not long before the theory suffered two more devastating setbacks. Close scrutiny of more refined data on the strong nuclear force, collected during the early 1970s, showed that the string approach failed to describe the newer results accurately. Moreover, a new proposal called quantum chromodynamics, which was firmly rooted in the traditional ingredients of particles and fields-no strings at all-was able to describe all the data convincingly. And so by 1974, string theory had been dealt a one-two knockout punch. Or so it seemed.
+  John Schwarz was one of the earliest string enthusiasts. He once told me that from the start, he had a gut feeling that the theory was deep and important. Schwarz spent a number of years analyzing its various mathematical aspects; among other things, this led to the discovery of superstring theory-as we shall see, an important refinement of the original string proposal. But with the rise of quantum chromodynamics and the failure of the string framework to describe the strong force, the justification for continuing to work on string theory began to run thin. Nevertheless, there was one particular mismatch between string theory and the strong nuclear force that kept nagging at Schwarz, and he found that he just couldn't let it go. The quantum mechanical equations of string theory predicted that a particular, rather unusual, particle should be copiously produced in the high-energy collisions taking place in atom smashers. The particle would have zero mass, like a photon, but string theory predicted it would have  spin-two, meaning, roughly speaking, that it would spin twice as fast as a photon. None of the experiments had ever found such a particle, so this appeared to be among the erroneous predictions made by string theory.
+  Schwarz and his collaborator Joël Scherk puzzled over this case of a missing particle, until in a magnificent leap they made a connection to a completely different problem. Although no one had been able to combine general relativity and quantum mechanics, physicists had determined certain features that would emerge from any successful union. And, as indicated in Chapter 9, one feature they found was that just as the electromagnetic force is transmitted microscopically by photons, the gravitational force should be microscopically transmitted by another class of particles, gravitons (the most elementary, quantum bundles of gravity). Although gravitons have yet to be detected experimentally, the theoretical analyses all agreed that gravitons must have two properties: they must be massless and have spin-two. For Schwarz and Scherk this rang a loud bell-these were just the properties of the rogue particle predicted by string theory-and inspired them to make a bold move, one that would transform a failing of string theory into a striking success.
+  They proposed that string theory shouldn't be thought of as a quantum mechanical theory of the strong nuclear force. They argued that even though the theory had been discovered in an attempt to understand the strong force, it was actually the solution to a different problem. It was actually the first ever quantum mechanical theory of the gravitational force. They claimed that the massless spin-two particle predicted by string theory was the graviton, and that the equations of string theory necessarily embodied a quantum mechanical description of gravity.
+  Schwarz and Scherk published their proposal in 1974 and expected a major reaction from the physics community. Instead, their work was ignored. In retrospect, it's not hard to understand why. It seemed to some that the string concept had become a theory in search of an application. After the attempt to use string theory to explain the strong nuclear force had failed, it seemed as though its proponents wouldn't accept defeat and, instead, were flat out determined to find relevance for the theory elsewhere. Fuel was added to this view's fire when it became clear that Schwarz and Scherk needed to change the size of strings in their theory radically so that the force transmitted by the candidate gravitons would have the familiar, known strength of gravity. Since gravity is an extremely weak force32 and since, it turns out, the longer the string the stronger the force transmitted, Schwarz and Scherk found that strings needed to be extremely tiny to transmit a force with gravity's feeble strength; they needed to be about the Planck length in size, a hundred billion billion times smaller than previously envisioned. So small, doubters wryly noted, that there was no equipment that would be able to see them, which meant that the theory could not be tested experimentally.10
+  By contrast, the 1970s witnessed one success after another for the more conventional, non-string-based theories, formulated with point particles and fields. Theorists and experimenters alike had their heads and hands full of concrete ideas to investigate and predictions to test. Why turn to speculative string theory when there was so much exciting work to be done within a tried-and-true framework? In much the same vein, although physicists knew in the backs of their minds that the problem of merging gravity and quantum mechanics remained unsolved using conventional methods, it was not a problem that commanded attention. Almost everyone acknowledged that it was an important issue and would need to be addressed one day, but with the wealth of work still to be done on the nongravitational forces, the problem of quantizing gravity was pushed to a barely burning back burner. And, finally, in the mid to late 1970s, string theory was far from having been completely worked out. Containing a candidate for the graviton was a success, but many conceptual and technical issues had yet to be addressed. It seemed thoroughly plausible that the theory would be unable to surmount one or more of these issues, so working on string theory meant taking a considerable risk. Within a few years, the theory might be dead.
+  Schwarz remained resolute. He believed that the discovery of string theory, the first plausible approach for describing gravity in the language of quantum mechanics, was a major breakthrough. If no one wanted to listen, fine. He would press on and develop the theory, so that when people were ready to pay attention, string theory would be that much further along. His determination proved prescient.
+  In the late 1970s and early 1980s, Schwarz teamed up with Michael Green, then of Queen Mary College in London, and set to work on some of the technical hurdles facing string theory. Primary among these was the problem of anomalies. The details are not of the essence, but, roughly speaking, an anomaly is a pernicious quantum effect that spells doom for a theory by implying that it violates certain sacred principles, such as energy conservation. To be viable, a theory must be free of all anomalies. Initial investigations had revealed that string theory was plagued by anomalies, which was one of the main technical reasons it had failed to generate much enthusiasm. The anomalies signified that although string theory appeared to provide a quantum theory of gravity, since it contained gravitons, on closer inspection the theory suffered from its own subtle mathematical inconsistencies.
+  Schwarz realized, however, that the situation was not clear-cut. There was a chance-it was a long shot-that a complete calculation would reveal that the various quantum contributions to the anomalies afflicting string theory, when combined correctly, cancelled each other out. Together with Green, Schwarz undertook the arduous task of calculating these anomalies, and by the summer of 1984 the two hit pay dirt. One stormy night, while working late at the Aspen Center for Physics in Colorado, they completed one of the field's most important calculations-a calculation proving that all of the potential anomalies, in a way that seemed almost miraculous, did cancel each other out. String theory, they revealed, was free of anomalies and hence suffered from no mathematical inconsistencies. String theory, they demonstrated convincingly, was quantum mechanically viable.
+  This time physicists listened. It was the mid-1980s, and the climate in physics had shifted considerably. Many of the essential features of the three nongravitational forces had been worked out theoretically and confirmed experimentally. Although important details remained unresolved-and some still do-the community was ready to tackle the next major problem: the merging of general relativity and quantum mechanics. Then, out of a little-known corner of physics, Green and Schwarz burst on the scene with a definite, mathematically consistent, and aesthetically pleasing proposal for how to proceed. Almost overnight, the number of researchers working on string theory leaped from two to over a thousand. The first string revolution was under way.
+The First Revolution
+I began graduate school at Oxford University in the fall of 1984, and within a few months the corridors were abuzz with talk of a revolution in physics. As the Internet was yet to be widely used, rumor was a dominant channel for the rapid spread of information, and every day brought word of new breakthroughs. Researchers far and wide commented that the atmosphere was charged in a way unseen since the early days of quantum mechanics, and there was serious talk that the end of theoretical physics was within reach.
+  String theory was new to almost everyone, so in those early days its details were not common knowledge. We were particularly fortunate at Oxford: Michael Green had recently visited to lecture on string theory, so many of us became familiar with the theory's basic ideas and essential claims. And impressive claims they were. In a nutshell, here is what the theory said:
+  Take any piece of matter-a block of ice, a chunk of rock, a slab of iron-and imagine cutting it in half, then cutting one of the pieces in half again, and on and on; imagine continually cutting the material into ever smaller pieces. Some 2,500 years ago, the ancient Greeks had posed the problem of determining the finest, uncuttable, indivisible ingredient that would be the end product of such a procedure. In our age we have learned that sooner or later you come to atoms, but atoms are not the answer to the Greeks' question, because they can be cut into finer constituents. Atoms can be split. We have learned that they consist of electrons that swarm around a central nucleus that is composed of yet finer particles-protons and neutrons. And in the late 1960s, experiments at the Stanford Linear Accelerator revealed that even neutrons and protons themselves are made up of more fundamental constituents: each proton and each neutron consists of three particles known as quarks, as mentioned in Chapter 9 and illustrated in Figure 12.3a.
+  Conventional theory, supported by state-of-the-art experiments, envisions electrons and quarks as dots with no spatial extent whatsoever; in this view, therefore, they mark the end of the line-the last of nature's matryoshka dolls to be found in the microscopic makeup of matter.
+
+Figure 12.3 (a) Conventional theory is based on electrons and quarks as the basic constituents of matter. (b) String theory suggests that each particle is actually a vibrating string.
+Here is where string theory makes its appearance. String theory challenges the conventional picture by proposing that electrons and quarks are  not zero-sized particles. Instead, the conventional particle-as-dot model, according to string theory, is an approximation of a more refined portrayal in which each particle is actually a tiny, vibrating filament of energy, called a string, as you can see in Figure 12.3b. These strands of vibrating energy are envisioned to have no thickness, only length, and so strings are one-dimensional entities. Yet, because the strings are so small, some hundred billion billion times smaller than a single atomic nucleus (10 −33 centimeters), they appear to be points even when examined with our most advanced atom smashers.
+  Because our understanding of string theory is far from complete, no one knows for sure whether the story ends here-whether, assuming the theory is correct, strings are truly the final Russian doll, or whether strings themselves might be composed of yet finer ingredients. We will come back to this issue, but for now we follow the historical development of the subject and imagine that strings are truly where the buck stops; we imagine that strings are the most elementary ingredient in the universe.
+String Theory and Unification
+That's string theory in brief, but to convey the power of this new approach, I need to describe conventional particle physics a little more fully. Over the past hundred years, physicists have prodded, pummeled, and pulverized matter in search of the universe's elementary constituents. And, indeed, they have found that in almost everything anyone has ever encountered, the fundamental ingredients are the electrons and quarks just mentioned-more precisely, as in Chapter 9, electrons and two kinds of quarks, up-quarks and down-quarks, that differ in mass and in electrical charge. But the experiments also revealed that the universe has other, more exotic particle species that don't arise in ordinary matter. In addition to up-quarks and down-quarks, experimenters have identified four other species of quarks (charm-quarks, strange-quarks, bottom-quarks, and  top-quarks) and two other species of particles that are very much like electrons, only heavier (muons and taus). It is likely that these particles were plentiful just after the big bang, but today they are produced only as the ephemeral debris from high-energy collisions between the more familiar particle species. Finally, experimenters have also discovered three species of ghostly particles called neutrinos (electron-neutrinos, muon-neutrinos, and tau-neutrinos) that can pass through trillions of miles of lead as easily as we pass through air. These particles-the electron and its two heavier cousins, the six kinds of quarks, and the three kinds of neutrinos-constitute a modern-day particle physicist's answer to the ancient Greek question about the makeup of matter.11
+  The laundry list of particle species can be organized into three "families" or "generations" of particles, as in Table 12.1. Each family has two of the quarks, one of the neutrinos, and one of the electronlike particles; the only difference between corresponding particles in each family is that their masses increase in each successive family. The division into families certainly suggests an underlying pattern, but the barrage of particles can easily make your head spin (or, worse, make your eyes glaze over). Hang on, though, because one of the most beautiful features of string theory is that it provides a means for taming this apparent complexity.
+  According to string theory, there is only one fundamental ingredient- the string-and the wealth of particle species simply reflects the different vibrational patterns that a string can execute. It's just like what happens with more familiar strings like those on a violin or cello. A cello string can vibrate in many different ways, and we hear each pattern as a different musical note. In this way, one cello string can produce a range of different sounds. The strings in string theory behave similarly: they too can vibrate in different patterns. But instead of yielding different musical tones, the different vibrational patterns in string theory correspond to different kinds of particles. The key realization is that the detailed pattern of vibration executed by a string produces a specific mass, a specific electric charge, a specific spin, and so on-the specific list of properties, that is, which distinguish one kind of particle from another. A string vibrating in one particular pattern might have the properties of an electron, while a string vibrating in a different pattern might have the properties of an up-quark, a down-quark, or any of the other particle species in Table 12.1. It is not that an "electron string" makes up an electron, or an "up-quark string" makes up an up-quark, or a "down-quark string" makes up a down-quark. Instead, the single species of string can account for a great variety of particles because the string can execute a great variety of vibrational patterns.
+
+Table 12.1 The three families of fundamental particles and their masses (in multiples of the proton mass). The values of the neutrino masses are known to be nonzero but their exact values have so far eluded experimental determination.
+  As you can see, this represents a potentially giant step toward unification. If string theory is correct, the head-spinning, eye-glazing list of particles in Table 12.1 manifests the vibrational repertoire of a single basic ingredient. Metaphorically, the different notes that can be played by a single species of string would account for all of the different particles that have been detected. At the ultramicroscopic level, the universe would be akin to a string symphony vibrating matter into existence.
+  This is a delightfully elegant framework for explaining the particles in Table 12.1, yet string theory's proposed unification goes even further. In Chapter 9 and in our discussion above, we discussed how the forces of nature are transmitted at the quantum level by other particles, the messenger particles, which are summarized in Table 12.2. String theory accounts for the messenger particles exactly as it accounts for the matter particles. Namely, each messenger particle is a string that's executing a particular vibrational pattern. A photon is a string vibrating in one particular pattern, a W particle is a string vibrating in a different pattern, a gluon is a string vibrating in yet another pattern. And, of prime importance, what Schwarz and Scherk showed in 1974 is that there is a particular vibrational pattern that has all the properties of a graviton, so that the gravitational force is included in string theory's quantum mechanical framework. Thus, not only do matter particles arise from vibrating strings, but so do the messenger particles-even the messenger particle for gravity.
+
+Table 12.2 The four forces of nature, together with their associated force particles and their masses in multiples of the proton mass. (There are actually two W particles-one with charge +1 and one with charge −1- that have the same mass; for simplicity we ignore this detail and refer to each as aW particle.
+  And so, beyond providing the first successful approach for merging gravity and quantum mechanics, string theory revealed its capacity to provide a unified description of all matter and all forces. That's the claim that knocked thousands of physicists off their chairs in the mid-1980s; by the time they got up and dusted themselves off, many were converts.
+Why Does String Theory Work?
+Before the development of string theory, the path of scientific progress was strewn with unsuccessful attempts to merge gravity and quantum mechanics. So what is it about string theory that has allowed it to succeed thus far? We've described how Schwarz and Scherk realized, much to their surprise, that one particular string vibrational pattern had just the right properties to be the graviton particle, and how they then concluded that string theory provided a ready-made framework for merging the two theories. Historically, that is indeed how the power and promise of string theory was fortuitously realized, but as an explanation for why the string approach succeeded where all other attempts failed, it leaves us wanting. Figure 12.2 encapsulates the conflict between general relativity and quantum mechanics-on ultrashort distance (and time) scales, the frenzy of quantum uncertainty becomes so violent that the smooth geometrical model of spacetime underlying general relativity is destroyed-so the question is, How does string theory solve the problem? How does string theory calm the tumultuous fluctuations of spacetime at ultramicroscopic distances?
+  The main new feature of string theory is that its basic ingredient is not a point particle-a dot of no size-but instead is an object that has spatial extent. This difference is the key to string theory's success in merging gravity and quantum mechanics.
+  The wild frenzy depicted in Figure 12.2 arises from applying the uncertainty principle to the gravitational field; on smaller and smaller scales, the uncertainty principle implies that fluctuations in the gravitational field get larger and larger. On such extremely tiny distance scales, though, we should describe the gravitational field in terms of its fundamental constituents, gravitons, much as on molecular scales we should describe water in terms of H2O molecules. In this language, the frenzied gravitational field undulations should be thought of as large numbers of gravitons wildly flitting this way and that, like bits of dirt and dust caught up in a ferocious tornado. Now, if gravitons were point particles (as envisioned in all earlier, failed attempts to merge general relativity and quantum mechanics), Figure 12.2 would accurately reflect their collective behavior: ever shorter distance scales, ever greater agitation. But string theory changes this conclusion.
+  In string theory, each graviton is a vibrating string-something that is not a point, but instead is roughly a Planck length (10−33 centimeters) in size.12 And since the gravitons are the finest, most elementary constituents of a gravitational field, it makes no sense to talk about the behavior of gravitational fields on sub-Planck length scales. Just as resolution on your TV screen is limited by the size of individual pixels, resolution of the gravitational field in string theory is limited by the size of gravitons. Thus, the nonzero size of gravitons (and everything else) in string theory sets a limit, at roughly the Planck scale, to how finely a gravitational field can be resolved.
+  That is the vital realization. The uncontrollable quantum fluctuations illustrated in Figure 12.2 arise only when we consider quantum uncertainty on arbitrarily short distance scales-scales shorter than the Planck length. In a theory based on zero-sized point particles, such an application of the uncertainty principle is warranted and, as we see in the figure, this leads us to a wild terrain beyond the reach of Einstein's general relativity. A theory based on strings, however, includes a built-in fail-safe. In string theory, strings are the smallest ingredient, so our journey into the ultramicroscopic comes to an end when we reach the Planck length-the size of strings themselves. In Figure 12.2, the Planck scale is represented by the second highest level; as you can see, on such scales there are still undulations in the spatial fabric because the gravitational field is still subject to quantum jitters. But the jitters are mild enough to avoid irreparable conflict with general relativity. The precise mathematics underlying general relativity must be modified to incorporate these quantum undulations, but this can be done and the math remains sensible.
+  Thus, by limiting how small you can get, string theory limits how violent the jitters of the gravitational field become-and the limit is just big enough to avoid the catastrophic clash between quantum mechanics and general relativity. In this way, string theory quells the antagonism between the two frameworks and is able, for the first time, to join them.
+Cosmic Fabric in the Realm of the Small
+What does this mean for the ultramicroscopic nature of space and spacetime more generally? For one thing, it forcefully challenges the conventional notion that the fabric of space and time is continuous-that you can always divide the distance between here and there or the duration between now and then in half and in half again, endlessly partitioning space and time into ever smaller units. Instead, when you get down to the Planck length (the length of a string) and Planck time (the time it would take light to travel the length of a string) and try to partition space and time more finely, you find you can't. The concept of "going smaller" ceases to have meaning once you reach the size of the smallest constituent of the cosmos. For zero-sized point particles this introduces no constraint, but since strings have size, it does. If string theory is correct, the usual concepts of space and time, the framework within which all of our daily experiences take place, simply don't apply on scales finer than the Planck scale-the scale of strings themselves.
+  As for what concepts take over, there is as yet no consensus. One possibility that jibes with the explanation above for how string theory meshes quantum mechanics and general relativity is that the fabric of space on the Planck scale resembles a lattice or a grid, with the "space" between the grid lines being outside the bounds of physical reality. Just as a microscopic ant walking on an ordinary piece of fabric would have to leap from thread to thread, perhaps motion through space on ultramicroscopic scales similarly requires discrete leaps from one "strand" of space to another. Time, too, could have a grainy structure, with individual moments being packed closely together but not melding into a seamless continuum. In this way of thinking, the concepts of ever smaller space and time intervals would sharply come to an end at the Planck scale. Just as there is no such thing as an American coin value smaller than a penny, if ultramicroscopic spacetime has a grid structure, there would be no such thing as a distance shorter than the Planck length or a duration shorter than the Planck time.
+  Another possibility is that space and time do not abruptly cease to have meaning on extremely small scales, but instead gradually morph into other, more fundamental concepts. Shrinking smaller than the Planck scale would be off limits not because you run into a fundamental grid, but because the concepts of space and time segue into notions for which "shrinking smaller" is as meaningless as asking whether the number nine is happy. That is, we can envision that as familiar, macroscopic space and time gradually transform into their unfamiliar ultramicroscopic counterparts, many of their usual properties-such as length and duration-become irrelevant or meaningless. Just as you can sensibly study the temperature and viscosity of liquid water-concepts that apply to the macroscopic properties of a fluid-but when you get down to the scale of individual H2O molecules, these concepts cease to be meaningful, so, perhaps, although you can divide regions of space and durations of time in half and in half again on everyday scales, as you pass the Planck scale they undergo a transformation that renders such division meaningless.
+  Many string theorists, including me, strongly suspect that something along these lines actually happens, but to go further we need to figure out the more fundamental concepts into which space and time transform.33 To date, this is an unanswered question, but cutting-edge research (described in the final chapter) has suggested some possibilities with far-reaching implications.
+The Finer Points
+With the description I've given so far, it might seem baffling that any physicist would resist the allure of string theory. Here, finally, is a theory that promises to realize Einstein's dream and more; a theory that could quell the hostility between quantum mechanics and general relativity; a theory with the capacity to unify all matter and all forces by describing everything in terms of vibrating strings; a theory that suggests an ultramicroscopic realm in which familiar space and time might be as quaint as a rotary telephone; a theory, in short, that promises to take our understanding of the universe to a whole new level. But bear in mind that no one has ever seen a string and, except for some maverick ideas discussed in the next chapter, it is likely that even if string theory is right, no one ever will. Strings are so small that a direct observation would be tantamount to reading the text on this page from a distance of 100 light-years: it would require resolving power nearly a billion billion times finer than our current technology allows. Some scientists argue vociferously that a theory so removed from direct empirical testing lies in the realm of philosophy or theology, but not physics.
+  I find this view shortsighted, or, at the very least, premature. While we may never have technology capable of seeing strings directly, the history of science is replete with theories that were tested experimentally through indirect means.13 String theory isn't modest. Its goals and promises are big. And that's exciting and useful, because if a theory is to be the theory of our universe, it must match the real world not just in the broad-brush outline discussed so far, but also in minute detail. As we'll now discuss, therein lie potential tests.
+  During the 1960s and 1970s, particle physicists made great strides in understanding the quantum structure of matter and the nongravitational forces that govern its behavior. The framework to which they were finally led by experimental results and theoretical insights is called the standard  model of particle physics and is based on quantum mechanics, the matter particles in Table 12.1, and the force particles in Table 12.2 (ignoring the graviton, since the standard model does not incorporate gravity, and including the Higgs particle, which is not listed in the tables), all viewed as point particles. The standard model is able to explain essentially all data produced by the world's atom smashers, and over the years its inventors have been deservedly lauded with the highest of honors. Even so, the standard model has significant limitations. We've already discussed how it, and every other approach prior to string theory, failed to merge gravity and quantum mechanics. But there are other shortcomings as well.
+  The standard model failed to explain why the forces are transmitted by the precise list of particles in Table 12.2 and why matter is composed of the precise list of particles in Table 12.1. Why are there three families of matter particles and why does each family have the particles it does? Why not two families or just one? Why does the electron have three times the electric charge of the down-quark? Why does the muon weigh 23.4 times as much as the up-quark, and why does the top-quark weigh about 350,000 times as much as an electron? Why is the universe constructed with this range of seemingly random numbers? The standard model takes the particles in Tables 12.1 and 12.2 (again, ignoring the graviton) as input, then makes impressively accurate predictions for how the particles will interact and influence each other. But the standard model can't explain the input-the particles and their properties-any more than your calculator can explain the numbers you input the last time you used it.
+  Puzzling over the properties of these particles is not an academic question of why this or that esoteric detail happens to be one way or another. Over the last century, scientists have realized that the universe has the familiar features of common experience only because the particles in Tables 12.1 and 12.2 have precisely the properties they do. Even fairly minor changes to the masses or electric charges of some of the particles would, for example, make them unable to engage in the nuclear processes that power stars. And without stars, the universe would be a completely different place. Thus, the detailed features of the elementary particles are entwined with what many view as the deepest question in all of science: Why do the elementary particles have just the right properties to allow nuclear processes to happen, stars to light up, planets to form around stars, and on at least one such planet, life to exist?
+  The standard model can't offer any insight into this question since the particle properties are part of its required input. The theory won't start to chug along and produce results until the particle properties are specified. But string theory is different. In string theory, particle properties are determinedby string vibrational patterns and so the theory holds the promise of providing an explanation.
+Particle Properties in String Theory
+To understand string theory's new explanatory framework, we need to have a better feel for how string vibrations produce particle properties, so let's consider the simplest property of a particle, its mass.
+  From E = mc2, we know that mass and energy are interchangeable; like dollars and euros, they are convertible currencies (but unlike monetary currencies, they have a fixed exchange rate, given by the speed of light times itself, c2). Our survival depends on Einstein's equation, since the sun's life-sustaining heat and light are generated by the conversion of 4.3 million tons of matter into energy every second; one day, nuclear reactors on earth may emulate the sun by safely harnessing Einstein's equation to provide humanity with an essentially limitless supply of energy.
+  In these examples, energy is produced from mass. But Einstein's equation works perfectly well in reverse-the direction in which mass is produced from energy-and that's the direction in which string theory uses Einstein's equation. The mass of a particle in string theory is nothing but the energy of its vibrating string. For instance, the explanation string theory offers for why one particle is heavier than another is that the string constituting the heavier particle is vibrating faster and more furiously than the string constituting the lighter particle. Faster and more furious vibration means higher energy, and higher energy translates, via Einstein's equation, into greater mass. Conversely, the lighter a particle is, the slower and less frenetic is the corresponding string vibration; a massless particle like a photon or a graviton corresponds to a string executing the most placid and gentle vibrational pattern that it possibly can.3414
+  Other properties of a particle, such as its electric charge and its spin, are encoded through more subtle features of the string's vibrations. Compared with mass, these features are harder to describe nonmathematically, but they follow the same basic idea: the vibrational pattern is the particle's fingerprint; all the properties that we use to distinguish one particle from another are determined by the vibrational pattern of the particle's string.
+  In the early 1970s, when physicists analyzed the vibrational patterns arising in the first incarnation of string theory-the bosonic string theory- to determine the kinds of particle properties the theory predicted, they hit a snag. Every vibrational pattern in the bosonic string theory had a whole-number amount of spin: spin-0, spin-1, spin-2, and so on. This was a problem, because although the messenger particles have spin values of this sort, particles of matter (like electrons and quarks) don't. They have a fractional amount of spin, spin-1/2. In 1971, Pierre Ramond of the University of Florida set out to remedy this deficiency; in short order, he found a way to modify the equations of the bosonic string theory to allow for half-integer vibrational patterns as well.
+  In fact, on closer inspection, Ramond's research, together with results found by Schwarz and his collaborator André Neveu and later insights of Ferdinando Gliozzi, Joël Scherk, and David Olive, revealed a perfect balance-a novel symmetry-between the vibrational patterns with different spins in the modified string theory. These researchers found that the new vibrational patterns arose in pairs whose spin values differed by half a unit. For every vibrational pattern with spin-1/2 there was an associated vibrational pattern with spin-0. For every vibrational pattern of spin-1, there was an associated vibrational pattern of spin-1/2, and so on. The relationship between integer and half-integer spin values was named supersymmetry, and with these results the supersymmetric string theory, or superstring theory, was born. Nearly a decade later, when Schwarz and Green showed that all the potential anomalies that threatened string theory canceled each other out, they were actually working in the framework of superstring theory, and so the revolution their paper ignited in 1984 is more appropriately called the first superstring revolution. (In what follows, we will often refer to strings and to string theory, but that's just a shorthand; we always mean superstrings and superstring theory.)
+  With this background, we can now state what it would mean for string theory to reach beyond broad-brush features and explain the universe in detail. It comes down to this: among the vibrational patterns that strings can execute, there must be patterns whose properties agree with those of the known particle species. The theory has vibrational patterns with spin-1/2, but it must have spin-1/2 vibrational patterns that match precisely the known matter particles, as summarized in Table 12.1. The theory has spin-1 vibrational patterns, but it must have spin-1 vibrational patterns that match  precisely the known messenger particles, as summarized in Table 12.2. Finally, if experiments do indeed discover spin-0 particles, such as are predicted for Higgs fields, string theory must yield vibrational patterns that match precisely the properties of these particles as well. In short, for string theory to be viable, its vibrational patterns must yield and explain the particles of the standard model.
+  Here, then, is string theory's grand opportunity. If string theory is right, there is an explanation for the particle properties that experimenters have measured, and it's to be found in the resonant vibrational patterns that strings can execute. If the properties of these vibrational patterns match the particle properties in Tables 12.1 and 12.2, I think that would convince even the diehard skeptics of string theory's veracity, whether or not anyone had directly seen the extended structure of a string itself. And beyond establishing itself as the long-sought unified theory, with such a match between theory and experimental data, string theory would provide the first fundamental explanation for why the universe is the way it is.
+  So how does string theory fare on this critical test?
+Too Many Vibrations
+Well, at first blush, string theory fails. For starters, there are an infinite number of different string vibrational patterns, with the first few of an endless series schematically illustrated in Figure 12.4. Yet Tables 12.1 and 12.2 contain only a finite list of particles, and so from the get-go we appear to have a vast mismatch between string theory and the real world. What's more, when we analyze mathematically the possible energies-and hence masses-of these vibrational patterns, we come upon another significant mismatch between theory and observation. The masses of the permissible string vibrational patterns bear no resemblance to the experimentally measured particle masses recorded in Tables 12.1 and 12.2. It's not hard to see why.
+  Since the early days of string theory, researchers have realized that the stiffness of a string is inversely proportional to its length (its length squared, to be more precise): while long strings are easy to bend, the shorter the string the more rigid it becomes. In 1974, when Schwarz and Scherk proposed decreasing the size of strings so that they'd embody a gravitational force of the right strength, they therefore also proposed increasing the tension of the strings-all the way, it turns out, to about a thousand trillion trillion trillion (1039) tons, about 100000000000000000000000000000000000000000 (1041) times the tension on an average piano string. Now, if you imagine bending a tiny, extremely stiff string into one of the increasingly elaborate patterns in Figure 12.4, you'll realize that the more peaks and troughs there are, the more energy you'll have to exert. Conversely, once a string is vibrating in such an elaborate pattern, it embodies a huge amount of energy. Thus, all but the simplest string vibrational patterns are highly energetic and hence, via E = mc2, correspond to particles with huge masses.
+
+Figure 12.4 The first few examples of string vibrational patterns.
+  And by huge, I really mean huge. Calculations show that the masses of the string vibrations follow a series analogous to musical harmonics: they are all multiples of a fundamental mass, the Planck mass, much as overtones are all multiples of a fundamental frequency or tone. By the standards of particle physics, the Planck mass is colossal-it is some 10 billion billion (1019) times the mass of a proton, roughly the mass of a dust mote or a bacterium. Thus, the possible masses of string vibrations are 0 times the Planck mass, 1 times the Planck mass, 2 times the Planck mass, 3 times the Planck mass, and so on, showing that the masses of all but the 0-mass string vibrations are gargantuan.15
+  As you can see, some of the particles in Tables 12.1 and 12.2 are indeed massless, but most aren't. And the nonzero masses in the tables are farther from the Planck mass than the Sultan of Brunei is from needing a loan. Thus, we see clearly that the known particle masses do not fit the pattern advanced by string theory. Does this mean that string theory is ruled out? You might think so, but it doesn't. Having an endless list of vibrational patterns whose masses become ever more remote from those of known particles is a challenge the theory must overcome. Years of research have revealed promising strategies for doing so.
+  As a start, note that experiments with the known particle species have taught us that heavy particles tend to be unstable; typically, heavy particles disintegrate quickly into a shower of lower-mass particles, ultimately generating the lightest and most familiar species in Tables 12.1 and 12.2. (For instance, the top-quark disintegrates in about 10 −24 seconds.) We expect this lesson to hold true for the "superheavy" string vibrational patterns, and that would explain why, even if they were copiously produced in the hot, early universe, few if any would have survived until today. Even if string theory is right, our only chance to see the superheavy vibrational patterns would be to produce them through high-energy collisions in particle accelerators. However, as current accelerators can reach only energies equivalent to roughly 1,000 times the mass of a proton, they are far too feeble to excite any but string theory's most placid vibrational patterns. Thus, string theory's prediction of a tower of particles with masses starting some million billion times greater than that achievable with today's technology is not in conflict with observations.
+  This explanation also makes clear that contact between string theory and particle physics will involve only the lowest-energy-the massless- string vibrations, since the others are way beyond what we can reach with today's technology. But what of the fact that most of the particles in Tables 12.1 and 12.2 are not massless? It's an important issue, but less troubling than it might at first appear. Since the Planck mass is huge, even the most massive particle known, the top-quark, weighs in at only .0000000000000000116 (about 10−17) times the Planck mass. As for the electron, it weighs in at .0000000000000000000000034 (about 10−23) times the Planck mass. So, to a first approximation-valid  to better than 1 part in 1017-all the particles in Tables 12.1 and 12.2 do have masses equal to zero times the Planck mass (much as most earthlings' wealth, to a first approximation, is 0 times that of the Sultan of Brunei), just as "predicted" by string theory. Our goal is to better this approximation and show that string theory explains the tiny deviations from 0 times the Planck mass characteristic of the particles in Tables 12.1 and 12.2. But massless vibrational patterns are not as grossly at odds with the data as you might have initially thought.
+  This is encouraging, but detailed scrutiny reveals yet further challenges. Using the equations of superstring theory, physicists have listed every massless string vibrational pattern. One entry is the spin-2 graviton, and that's the great success which launched the whole subject; it ensures that gravity is a part of quantum string theory. But the calculations also show that there are many more massless spin-1 vibrational patterns than there are particles in Table 12.2, and there are many more massless spin1⁄2 vibrational patterns than there are particles in Table 12.1. Moreover, the list of spin-1/2 vibrational patterns shows no trace of any repetitive groupings like the family structure of Table 12.1. With a less cursory inspection, then, it seems increasingly difficult to see how string vibrations will align with the known particle species.
+  Thus, by the mid-1980s, while there were reasons to be excited about superstring theory, there were also reasons to be skeptical. Undeniably, superstring theory presented a bold step toward unification. By providing the first consistent approach for merging gravity and quantum mechanics, it did for physics what Roger Bannister did for the four-minute mile: it showed the seemingly impossible to be possible. Superstring theory established definitively that we could break through the seemingly impenetrable barrier separating the two pillars of twentieth-century physics.
+  Yet, in trying to go further and show that superstring theory could explain the detailed features of matter and nature's forces, physicists encountered difficulties. This led the skeptics to proclaim that superstring theory, despite all its potential for unification, was merely a mathematical structure with no direct relevance for the physical universe.
+  Even with the problems just discussed, at the top of the skeptics' list of superstring theory's shortcomings was a feature I've yet to introduce. Superstring theory does indeed provide a successful merger of gravity and quantum mechanics, one that is free of the mathematical inconsistencies that plagued all previous attempts. However, strange as it may sound, in the early years after its discovery, physicists found that the equations of superstring theory do not have these enviable properties if the universe has three spatial dimensions. Instead, the equations of superstring theory are mathematically consistent only if the universe has nine spatial dimensions, or, including the time dimension, they work only in a universe with ten spacetime dimensions!
+  In comparison to this bizarre-sounding claim, the difficulty in making a detailed alignment between string vibrational patterns and known particle species seems like a secondary issue. Superstring theory requires the existence of six dimensions of space that no one has ever seen. That's not a fine point-that's a problem.
+  Or is it?
+  Theoretical discoveries made during the early decades of the twentieth century, long before string theory came on the scene, suggested that extra dimensions need not be a problem at all. And, with a late-twentieth-century updating, physicists showed that these extra dimensions have the capacity to bridge the gap between string theory's vibrational patterns and the elementary particles experimenters have discovered.
+  This is one of the theory's most gratifying developments; let's see how it works.
+Unification in Higher Dimensions
+In 1919, Einstein received a paper that could easily have been dismissed as the ravings of a crank. It was written by a little-known German mathematician named Theodor Kaluza, and in a few brief pages it laid out an approach for unifying the two forces known at the time, gravity and electromagnetism. To achieve this goal, Kaluza proposed a radical departure from something so basic, so completely taken for granted, that it seemed beyond questioning. He proposed that the universe does not have three space dimensions. Instead, Kaluza asked Einstein and the rest of the physics community to entertain the possibility that the universe has four space dimensions so that, together with time, it has a total of five spacetime dimensions.
+  First off, what in the world does that mean? Well, when we say that there are three space dimensions we mean that there are three independent directions or axes along which you can move. From your current position you can delineate these as left/right, back/forth, and up/down; in a universe with three space dimensions, any motion you undertake is some combination of motion along these three directions. Equivalently, in a universe with three space dimensions you need precisely three pieces of information to specify a location. In a city, for example, you need a building's street, its cross street, and a floor number to specify the whereabouts of a dinner party. And if you want people to show up while the food is still hot, you also need to specify a fourth piece of data: a time. That's what we mean by spacetime's being four-dimensional.
+  Kaluza proposed that in addition to left/right, back/forth, and up/down, the universe actually has one more spatial dimension that, for  some reason, no one has ever seen. If correct, this would mean that there is another independent direction in which things can move, and therefore that we need to give four pieces of information to specify a precise location in space, and a total of five pieces of information if we also specify a time.
+  Okay; that's what the paper Einstein received in April 1919 proposed. The question is, Why didn't Einstein throw it away? We don't see another space dimension-we never find ourselves wandering aimlessly because a street, a cross street, and a floor number are somehow insufficient to specify an address-so why contemplate such a bizarre idea? Well, here's why. Kaluza realized that the equations of Einstein's general theory of relativity could fairly easily be extended mathematically to a universe that had one more space dimension. Kaluza undertook this extension and found, naturally enough, that the higher-dimensional version of general relativity not only included Einstein's original gravity equations but, because of the extra space dimension, also had extra equations. When Kaluza studied these extra equations, he discovered something extraordinary: the extra equations were none other than the equations Maxwell had discovered in the nineteenth century for describing the electromagnetic field! By imagining a universe with one new space dimension, Kaluza had proposed a solution to what Einstein viewed as one of the most important problems in all of physics.  Kaluza had found a framework that combined Einstein's original equations of general relativity with those of Maxwell's equations of electromagnetism. That's why Einstein didn't throw Kaluza's paper away.
+  Intuitively, you can think of Kaluza's proposal like this. In general relativity, Einstein awakened space and time. As they flexed and stretched, Einstein realized that he'd found the geometrical embodiment of the gravitational force. Kaluza's paper suggested that the geometrical reach of space and time was greater still. Whereas Einstein realized that gravitational fields can be described as warps and ripples in the usual three space and one time dimensions, Kaluza realized that in a universe with an additional space dimension there would be additional warps and ripples. And those warps and ripples, his analysis showed, would be just right to describe electromagnetic fields. In Kaluza's hands, Einstein's own geometrical approach to the universe proved powerful enough to unite gravity and electromagnetism.
+  Of course, there was still a problem. Although the mathematics worked, there was-and still is-no evidence of a spatial dimension beyond the three we all know about. So was Kaluza's discovery a mere curiosity, or was it somehow relevant to our universe? Kaluza had a powerful trust in theory-he had, for example, learned to swim by studying a treatise on swimming and then diving into the sea-but the idea of an invisible space dimension, no matter how compelling the theory, still sounded outrageous. Then, in 1926, the Swedish physicist Oskar Klein injected a new twist into Kaluza's idea, one that suggested where the extra dimension might be hiding.
+The Hidden Dimensions
+To understand Klein's idea, picture Philippe Petit walking on a long, rubber-coated tightrope stretched between Mount Everest and Lhotse. Viewed from a distance of many miles, as in Figure 12.5, the tightrope appears to be a one-dimensional object like a line-an object that has extension only along its length. If we were told that a tiny worm was slithering along the tightrope in front of Philippe, we'd wildly cheer it on because it needs to stay ahead of Philippe's step to avoid disaster. Of course, with a moment's reflection we all realize that there is more to the surface of the tightrope than the left/right dimension we can directly perceive. Although difficult to see with the naked eye from a great distance, the surface of the tightrope has a second dimension: the clockwise/counterclockwise dimension that is "wrapped" around it. With the aid of a modest telescope, this circular dimension becomes visible and we see that the worm can move not only in the long, unfurled left/right direction but also in the short, "curled-up" clockwise/counterclockwise direction. That is, at every point on the tightrope, the worm has two independent directions in which it can move (that's what we mean when we say the tightrope's surface is two-dimensional35), so it can safely stay out of Philippe's way either by slithering ahead of him, as we initially envisioned, or by crawling around the tiny circular dimension and letting Philippe pass above.
+  The tightrope illustrates that dimensions-the independent directions in which anything can move-come in two qualitatively distinct varieties. They can be big and easy to see, like the left/right dimension of the tightrope's surface, or they can be tiny and more difficult to see, like the clockwise/counterclockwise dimension that circles around the tightrope's surface. In this example, it was not a major challenge to see the small circular girth of the tightrope's surface. All we needed was a reasonable magnifying instrument. But as you can imagine, the smaller a curled-up dimension, the more difficult it is to detect. At a distance of a few miles, it's one thing to reveal the circular dimension of a tightrope's surface; it would be quite another to reveal the circular dimension of something as thin as dental floss or a narrow nerve fiber.
+
+Figure 12.5 From a distance, a tightrope wire looks one-dimensional, although with a strong enough telescope, its second, curled-up dimension becomes visible.
+  Klein's contribution was to suggest that what's true for an object within the universe might be true for the fabric of the universe itself. Namely, just as the tightrope's surface has both large and small dimensions, so does the fabric of space. Maybe the three dimensions we all know about-left/right, back/forth, and up/down-are like the horizontal extent of the tightrope, dimensions of the big, easy-to-see variety. But just as the surface of the tightrope has an additional, small, curled-up, circular dimension, maybe the fabric of space also has a small, curled-up, circular dimension, one so small that no one has powerful enough magnifying equipment to reveal its existence. Because of its tiny size, Klein argued, the dimension would be hidden.
+  How small is small? Well, by incorporating certain features of quantum mechanics into Kaluza's original proposal, Klein's mathematical analysis revealed that the radius of an extra circular spatial dimension would likely be roughly the Planck length,16 certainly way too small for experimental accessibility (current state-of-the-art equipment cannot resolve anything smaller than about a thousandth the size of an atomic nucleus, falling short of the Planck length by more than a factor of a million billion). Yet, to an imaginary, Planck-sized worm, this tiny, curled-up circular dimension would provide a new direction in which it could roam just as freely as an ordinary worm negotiates the circular dimension of the tightrope in Figure 12.5. Of course, just as an ordinary worm finds that there isn't much room to explore in the clockwise direction before it finds itself back at its starting point, a Planck-sized worm slithering along a curled-up dimension of space would also repeatedly circle back to its starting point. But aside from the length of the travel it permitted, a curled-up dimension would provide a direction in which the tiny worm could move just as easily as it does in the three familiar unfurled dimensions.
+  To get an intuitive sense of what this looks like, notice that what we've been referring to as the tightrope's curled-up dimension-the clockwise/ counterclockwise direction-exists at each point along its extended dimension.The earthworm can slither around the circular girth of the tightrope at any point along its outstretched length, and so the tightrope's surface can be described as having one long dimension, with a tiny, circular direction tacked on at each point, as in Figure 12.6. This is a useful image to have in mind because it also applies to Klein's proposal for hiding Kaluza's extra dimension of space.
+  To see this, let's again examine the fabric of space by sequentially showing its structure on ever smaller distance scales, as in Figure 12.7. At the first few levels of magnification, nothing new is revealed: the fabric of space still appears three-dimensional (which, as usual, we schematically represent on the printed page by a two-dimensional grid). However, when we get down to the Planck scale, the highest level of magnification in the figure, Klein suggested that a new, curled-up dimension becomes visible.
+
+Figure 12.6 The surface of a tightrope has one long dimension with a circular dimension tacked on at each point.
+
+Figure 12.7 The Kaluza-Klein proposal is that on very small scales, space has an extra circular dimension tacked on to each familiar point.
+Just as the circular dimension of the tightrope exists at each point along its big, extended dimension, the circular dimension in this proposal exists at each point in the familiar three extended dimensions of daily life. In Figure 12.7, we illustrate this by drawing the additional circular dimension at various points along the extended dimensions (since drawing the circle at every point would obscure the image) and you can immediately see the similarity with the tightrope in Figure 12.6. In Klein's proposal, therefore, space should be envisioned as having three unfurled dimensions (of which we show only two in the figure) with an additional circular dimension tacked on to each point. Notice that the extra dimension is not a bump or a loop within the usual three spatial dimensions, as the graphic limitations of the figure might lead you to think. Instead, the extra dimension is a new direction, completely distinct from the three we know about, which exists at every point in our ordinary three-dimensional space, but is so small that it escapes detection even with our most sophisticated instruments.
+  With this modification to Kaluza's original idea, Klein provided an answer to how the universe might have more than the three space dimensions of common experience that could remain hidden, a framework that has since become known as Kaluza-Klein theory. And since an extra dimension of space was all Kaluza needed to merge general relativity and electromagnetism, Kaluza-Klein theory would seem to be just what Einstein was looking for. Indeed, Einstein and many others became quite excited about unification through a new, hidden space dimension, and a vigorous effort was launched to see whether this approach would work in complete detail. But it was not long before Kaluza-Klein theory encountered its own problems. Perhaps most glaring of all, attempts to incorporate the electron into the extra-dimensional picture proved unworkable.17 Einstein continued to dabble in the Kaluza-Klein framework until at least the early 1940s, but the initial promise of the approach failed to materialize, and interest gradually died out.
+  Within a few decades, though, Kaluza-Klein theory would make a spectacular comeback.
+String Theory and Hidden Dimensions
+In addition to the difficulties Kaluza-Klein theory encountered in trying to describe the microworld, there was another reason scientists were hesitant about the approach. Many found it both arbitrary and extravagant to postulate a hidden spatial dimension. It is not as though Kaluza was led to the idea of a new spatial dimension by a rigid chain of deductive reasoning. Instead, he pulled the idea out of a hat, and upon analyzing its implications discovered an unexpected link between general relativity and electromagnetism. Thus, although it was a great discovery in its own right, it lacked a sense of inevitability. If you asked Kaluza and Klein why the universe had five spacetime dimensions rather than four, or six, or seven, or 7,000 for that matter, they wouldn't have had an answer much more convincing than "Why not?"
+  More than three decades later, the situation changed radically. String theory is the first approach to merge general relativity and quantum mechanics; moreover, it has the potential to unify our understanding of all forces and all matter. But the quantum mechanical equations of string theory don't work in four spacetime dimensions, nor in five, six, seven, or 7,000. Instead, for reasons discussed in the next section, the equations of string theory work only in ten spacetime dimensions-nine of space, plus time. String theory demands more dimensions.
+  This is a fundamentally different kind of result, one never before  encountered in the history of physics. Prior to strings, no theory said anything at all about the number of spatial dimensions in the universe. Every theory from Newton to Maxwell to Einstein assumed that the universe had three space dimensions, much as we all assume the sun will rise tomorrow. Kaluza and Klein proffered a challenge by suggesting that there were four space dimensions, but this amounted to yet another assumption-a different assumption, but an assumption nonetheless. Now, for the first time, string theory provided equations that predicted the number of space dimensions. A calculation-not an assumption, not a hypothesis, not an inspired guess-determines the number of space dimensions according to string theory, and the surprising thing is that the calculated number is not three, but nine. String theory leads us, inevitably, to a universe with six extra space dimensions and hence provides a compelling, ready-made context for invoking the ideas of Kaluza and Klein.
+  The original proposal of Kaluza and Klein assumed only one hidden dimension, but it's easily generalized to two, three, or even the six extra dimensions required by string theory. For example, in Figure 12.8a we replace the additional circular dimension of Figure 12.7, a one-dimensional shape, with the surface of a sphere, a two-dimensional shape (recall from the discussion in Chapter 8 that the surface of a sphere is two-dimensional because you need two pieces of information-like latitude and longitude on the earth's surface-to specify a location). As with the circle, you should envision the sphere tacked on to every point of the usual dimensions, even though in Figure 12.8a, to keep the image clear, we draw only those that lie on the intersections of grid lines. In a universe of this sort, you would need a total of five pieces of information to locate a position in space: three pieces to locate your position in the big dimensions (street, cross street, floor number) and two pieces to locate your position on the sphere (latitude, longitude) tacked on at that point. Certainly, if the sphere's radius were tiny-billions of times smaller than an atom- the last two pieces of information wouldn't matter much for comparatively large beings like ourselves. Nevertheless, the extra dimension would be an integral part of the ultramicroscopic makeup of the spatial fabric. An ultramicroscopic worm would need all five pieces of information and, if we include time, it would need six pieces of information in order to show up at the right dinner party at the right time.
+
+Figure 12.8 A close-up of a universe with the three usual dimensions, represented by the grid, and (a) two curled-up dimensions, in the form of hollow spheres, and (b) three curled-up dimensions in the form of solid balls.
+  Let's go one dimension further. In Figure 12.8a, we considered only the surface of the spheres. Imagine now that, as in Figure 12.8b, the fabric of space also includes the interior of the spheres-our little Planck-sized worm can burrow into the sphere, as ordinary worms do with apples, and freely move throughout its interior. To specify the worm's location would now require  six pieces of information: three to locate its position in the usual extended spatial dimensions, and three more to locate its position in the ball tacked on to that point (latitude, longitude, depth of penetration). Together with time, this is therefore an example of a universe with seven spacetime dimensions.
+  Now comes a leap. Although it is impossible to draw, imagine that at every point in the three extended dimensions of everyday life, the universe has not one extra dimension as in Figure 12.7, not two extra dimensions as in Figure 12.8a, not three extra dimensions as in Figure 12.8b, but six extra space dimensions. I certainly can't visualize this and I've never met anyone who can. But its meaning is clear. To specify the spatial location of a Planck-sized worm in such a universe requires nine pieces of information: three to locate its position in the usual extended dimensions and six more to locate its position in the curled-up dimensions tacked on to that point. When time is also taken into account, this is a ten-spacetime-dimensional universe, as required by the equations of string theory. If the extra six dimensions are curled up small enough, they would easily have escaped detection.
+The Shape of Hidden Dimensions
+The equations of string theory actually determine more than just the number of spatial dimensions. They also determine the kinds of shapes the extra dimensions can assume.18 In the figures above, we focused on the simplest of shapes-circles, hollow spheres, solid balls-but the equations of string theory pick out a significantly more complicated class of six-dimensional shapes known as Calabi-Yau shapes or Calabi-Yau spaces. These shapes are named after two mathematicians, Eugenio Calabi and Shing-Tung Yau, who discovered them mathematically long before their relevance to string theory was realized; a rough illustration of one example is given in Figure 12.9a. Bear in mind that in this figure a two-dimensional graphic illustrates a six-dimensional object, and this results in a variety of significant distortions. Even so, the picture gives a rough sense of what these shapes look like. If the particular Calabi-Yau shape in Figure 12.9a constituted the extra six dimensions in string theory, on ultramicroscopic scales space would have the form illustrated in Figure 12.9b. As the Calabi-Yau shape would be tacked on to every point in the usual three dimensions, you and I and everyone else would right now be surrounded by and filled with these little shapes. Literally, as you walk from one place to another, your body would move through all nine dimensions, rapidly and repeatedly circumnavigating the entire shape, on average making it seem as if you weren't moving through the extra six dimensions at all.
+
+Figure 12.9: (a) One example of a Calabi-Yau shape. ( b) A highly magnified portion of space with additional dimensions in the form of a tiny Calabi-Yau shape.
+  If these ideas are right, the ultramicroscopic fabric of the cosmos is embroidered with the richest of textures.
+String Physics and Extra Dimensions
+The beauty of general relativity is that the physics of gravity is controlled by the geometry of space. With the extra spatial dimensions proposed by string theory, you'd naturally guess that the power of geometry to determine physics would substantially increase. And it does. Let's first see this by taking up a question that I've so far skirted. Why does string theory require ten spacetime dimensions? This is a tough question to answer nonmathematically, but let me explain enough to illustrate how it comes down to an interplay of geometry and physics.
+  Imagine a string that's constrained to vibrate only on the two-dimensional surface of a flat tabletop. The string will be able to execute a variety of vibrational patterns, but only those involving motion in the left/right and back/forth directions of the table's surface. If the string is then released to vibrate in the third dimension, motion in the up/down dimension that leaves the table's surface, additional vibrational patterns become accessible. Now, although it is hard to picture in more than three dimensions, this conclusion-more dimensions means more vibrational patterns-is general. If a string can vibrate in a fourth spatial dimension, it can execute more vibrational patterns than it could in only three; if a string can vibrate in a fifth spatial dimension, it can execute more vibrational patterns than it could in only four; and so on. This is an important realization, because there is an equation in string theory that demands that the number of independent vibrational patterns meet a very precise constraint. If the constraint is violated, the mathematics of string theory falls apart and its equations are rendered meaningless. In a universe with three space dimensions, the number of vibrational patterns is too small and the constraint is not met; with four space dimensions, the number of vibrational patterns is still too small; with five, six, seven, or eight dimensions it is still too small; but with nine space dimensions, the constraint on the number of vibrational patterns is satisfied perfectly. And that's how string theory determines the number of space dimensions.3619
+  While this illustrates well the interplay of geometry and physics, their association within string theory goes further and, in fact, provides a way to address a critical problem encountered earlier. Recall that, in trying to make detailed contact between string vibrational patterns and the known particle species, physicists ran into trouble. They found that there were far too many massless string vibrational patterns and, moreover, the detailed properties of the vibrational patterns did not match those of the known matter and force particles. But what I didn't mention earlier, because we hadn't yet discussed the idea of extra dimensions, is that although those calculations took account of the number of extra dimensions (explaining, in part, why so many string vibrational patterns were found), they did not take account of the small size and complex shape of the extra dimensions-they assumed that all space dimensions were flat and fully unfurled-and that makes a substantial difference.
+  Strings are so small that even when the extra six dimensions are crumpled up into a Calabi-Yau shape, the strings still vibrate into those directions. For two reasons, that's extremely important. First, it ensures that the strings always vibrate in all nine space dimensions, and hence the constraint on the number of vibrational patterns continues to be satisfied, even when the extra dimensions are tightly curled up. Second, just as the vibrational patterns of air streams blown through a tuba are affected by the twists and turns of the instrument, the vibrational patterns of strings are influenced by the twists and turns in the geometry of the extra six dimensions. If you were to change the shape of a tuba by making a passageway narrower or by making a chamber longer, the air's vibrational patterns and hence the sound of the instrument would change. Similarly, if the shape and size of the extra dimensions were modified, the precise properties of each possible vibrational pattern of a string would also be significantly affected. And since a string's vibrational pattern determines its mass and charge, this means that the extra dimensions play a pivotal role in determining particle properties.
+  This is a key realization. The precise size and shape of the extra dimensionshas a profound impact on string vibrational patterns and hence on particle properties. As the basic structure of the universe-from the formation of galaxies and stars to the existence of life as we know it-depends sensitively on the particle properties, the code of the cosmos may well be written in the geometry of a Calabi-Yau shape.
+  We saw one example of a Calabi-Yau shape in Figure 12.9, but there are at least hundreds of thousands of other possibilities. The question, then, is which Calabi-Yau shape, if any, constitutes the extra-dimensional part of the spacetime fabric. This is one of the most important questions string theory faces since only with a definite choice of Calabi-Yau shape are the detailed features of string vibrational patterns determined. To date, the question remains unanswered. The reason is that the current understanding of string theory's equations provides no insight into how to pick one shape from the many; from the point of view of the known equations, each Calabi-Yau shape is as valid as any other. The equations don't even determine the size of the extra dimensions. Since we don't see the extra dimensions, they must be small, but precisely how small remains an open question.
+  Is this a fatal flaw of string theory? Possibly. But I don't think so. As we will discuss more fully in the next chapter, the exact equations of string theory have eluded theorists for many years and so much work has used approximate equations. These have afforded insight into a great many features of string theory, but for certain questions-including the exact size and shape of the extra dimensions-the approximate equations fall short. As we continue to sharpen our mathematical analysis and improve these approximate equations, determining the form of the extra dimensions is a prime-and in my opinion attainable-objective. So far, this goal remains beyond reach.
+  Nevertheless, we can still ask whether any choice of Calabi-Yau shape yields string vibrational patterns that closely approximate the known particles. And here the answer is quite gratifying.
+  Although we are far from having investigated every possibility, examples of Calabi-Yau shapes have been found that give rise to string vibrational patterns in rough agreement with Tables 12.1 and 12.2. For instance, in the mid-1980s Philip Candelas, Gary Horowitz, Andrew Strominger, and Edward Witten (the team of physicists who realized the relevance of Calabi-Yau shapes for string theory) discovered that each hole-the term is used in a precisely defined mathematical sense-contained within a Calabi-Yau shape gives rise to a family of lowest-energy string vibrational patterns. A Calabi-Yau shape with three holes would therefore provide an explanation for the repetitive structure of three families of elementary particles in Table 12.1. Indeed, a number of such three-holed Calabi-Yau shapes have been found. Moreover, among these preferred Calabi-Yau shapes are ones that also yield just the right number of messenger particles as well as just the right electric charges and nuclear force properties to match the particles in Tables 12.1 and 12.2.
+  This is an extremely encouraging result; by no means was it ensured. In merging general relativity and quantum mechanics, string theory might have achieved one goal only to find it impossible to come anywhere near the equally important goal of explaining the properties of the known matter and force particles. Researchers take heart in the theory's having blazed past that disappointing possibility. Going further and calculating the precise masses of the particles is significantly more challenging. As we discussed, the particles in Tables 12.1 and 12.2 have masses that deviate from the lowest-energy string vibrations-zero times the Planck mass-by less than one part in a million billion. Calculating such infinitesimal deviations requires a level of precision way beyond what we can muster with our current understanding of string theory's equations.
+  As a matter of fact, I suspect, as do many other string theorists, that the tiny masses in Tables 12.1 and 12.2 arise in string theory much as they do in the standard model. Recall from Chapter 9 that in the standard model, a Higgs field takes on a nonzero value throughout all space, and the mass of a particle depends on how much drag force it experiences as it wades through the Higgs ocean. A similar scenario likely plays out in string theory. If a huge collection of strings all vibrate in just the right coordinated way throughout all of space, they can provide a uniform background that for all intents and purposes would be indistinguishable from a Higgs ocean. String vibrations that initially yielded zero mass would then acquire tiny nonzero masses through the drag force they experience as they move and vibrate through the string theory version of the Higgs ocean.
+  Notice, though, that in the standard model, the drag force experienced by a given particle-and hence the mass it acquires-is determined by experimental measurement and specified as an input to the theory. In the string theory version, the drag force-and hence the masses of the vibrational patterns-would be traced back to interactions between strings (since the Higgs ocean would be made of strings) and should be calculable. String theory, at least in principle, allows all particle properties to be determined by the theory itself.
+  No one has accomplished this, but as emphasized, string theory is still very much a work in progress. In time, researchers hope to realize fully the vast potential of this approach to unification. The motivation is strong because the potential payoff is big. With hard work and substantial luck, string theory may one day explain the fundamental particle properties and, in turn, explain why the universe is the way it is.
+The Fabric of the Cosmos According to String Theory
+Even though much about string theory still lies beyond the bounds of our comprehension, it has already exposed dramatic new vistas. Most strikingly, in mending the rift between general relativity and quantum mechanics, string theory has revealed that the fabric of the cosmos may have many more dimensions than we perceive directly-dimensions that may be the key to resolving some of the universe's deepest mysteries. Moreover, the theory intimates that the familiar notions of space and time do not extend into the sub-Planckian realm, which suggests that space and time as we currently understand them may be mere approximations to more fundamental concepts that still await our discovery.
+  In the universe's initial moments, these features of the spacetime fabric that, today, can be accessed only mathematically, would have been manifest. Early on, when the three familiar spatial dimensions were also small, there would likely have been little or no distinction between what we now call the big and the curled-up dimensions of string theory. Their current size disparity would be due to cosmological evolution which, in a way that we don't yet understand, would have had to pick three of the spatial dimensions as special, and subject only them to the 14 billion years of expansion discussed in earlier chapters. Looking back in time even further, the entire observable universe would have shrunk into the sub-Planckian domain, so that what we've been referring to as the fuzzy patch (in Figure 10.6), we can now identify as the realm where familiar space and time have yet to emerge from the more fundamental entities-whatever they may be-that current research is struggling to comprehend.
+  Further progress in understanding the primordial universe, and hence in assessing the origin of space, time, and time's arrow, requires a significant honing of the theoretical tools we use to understand string theory-a goal that, not too long ago, seemed noble yet distant. As we'll now see, with the development of M-theory, progress has exceeded many of even the optimists' most optimistic predictions.
+13
+The Universe on a Brane
+SPECULATIONS ON SPACE AND TIME IN M-THEORY
+String theory has one of the most twisted histories of any scientific breakthrough. Even today, more than three decades after its initial articulation, most string practitioners believe we still don't have a comprehensive answer to the rudimentary question, What is string theory? We know a lot about string theory. We know its basic features, we know its key successes, we know the promise it holds, and we know the challenges it faces; we can also use string theory's equations to make detailed calculations of how strings should behave and interact in a wide range of circumstances. But most researchers feel that our current formulation of string theory still lacks the kind of core principle we find at the heart of other major advances. Special relativity has the constancy of the speed of light. General relativity has the equivalence principle. Quantum mechanics has the uncertainty principle. String theorists continue to grope for an analogous principle that would capture the theory's essence as completely.
+  To a large extent, this deficiency exists because string theory developed piecemeal instead of emerging from a grand, overarching vision. The goal of string theory-the unification of all forces and all matter in a quantum mechanical framework-is about as grand as it gets, but the theory's evolution has been distinctly fragmented. After its serendipitous discovery more than three decades ago, string theory has been cobbled together as one group of theorists has uncovered key properties by studying these equations, while another group has revealed critical implications by examining those.
+  String theorists can be likened to a primitive tribe excavating a buried spacecraft onto which they've stumbled. By tinkering and fiddling, the tribe would slowly establish aspects of the spacecraft's operation, and this would nurture a sense that all the buttons and toggles work together in a coordinated and unified manner. A similar feeling prevails among string theorists. Results found over many years of research are dovetailing and converging. This has instilled a growing confidence among researchers that string theory is closing in on one powerful, coherent framework- which has yet to be unearthed fully, but ultimately will expose nature's inner workings with unsurpassed clarity and comprehensiveness.
+  In recent times, nothing illustrates this better than the realization that sparked the second superstring revolution-a revolution that has, among other things, exposed another hidden dimension entwined in the spatial fabric, opened new possibilities for experimental tests of string theory, suggested that our universe may be brushing up against others, revealed that black holes may be created in the next generation of high-energy accelerators, and led to a novel cosmological theory in which time and its arrow, like the graceful arc of Saturn's rings, may cycle around and around.
+The Second Superstring Revolution
+There's an awkward detail regarding string theory that I've yet to divulge, but that readers of my previous book, The Elegant Universe, may recall. Over the last three decades, not one but five distinct versions of string theory have been developed. While their names are not of the essence, they are called Type I, Type IIA, Type IIB, Heterotic-O, and Heterotic-E. All share the essential features introduced in the last chapter-the basic ingredients are strands of vibrating energy-and, as calculations in the 1970s and 1980s revealed, each theory requires six extra space dimensions; but when they are analyzed in detail, significant differences appear. For example, the Type I theory includes the vibrating string loops discussed in the last chapter, so-called closed strings, but unlike the other string theories, it also contains open strings, vibrating string snippets that have two loose ends. Furthermore, calculations show that the list of string vibrational patterns and the way each pattern interacts and influences others differ from one formulation to another.
+  The most optimistic of string theorists envisioned that these differences would serve to eliminate four of the five versions when detailed comparisons to experimental data could one day be carried out. But, frankly, the mere existence of five different formulations of string theory was a source of quiet discomfort. The dream of unification is one in which scientists are led to a unique theory of the universe. If research established that only one theoretical framework could embrace both quantum mechanics and general relativity, theorists would reach unification nirvana. They would have a strong case for the framework's validity even in the absence of direct experimental verification. After all, a wealth of experimental support for both quantum mechanics and general relativity already exists, and it seems plain as day that the laws governing the universe should be mutually compatible. If a particular theory were the unique, mathematically consistent arch spanning the two experimentally confirmed pillars of twentieth-century physics, that would provide powerful, albeit indirect, evidence for the theory's inevitability.
+  But the fact that there are five versions of string theory, superficially similar yet distinct in detail, would seem to mean that string theory fails the uniqueness test. Even if the optimists are some day vindicated and only one of the five string theories is confirmed experimentally, we would still be vexed by the nagging question of why there are four other consistent formulations. Would the other four simply be mathematical curiosities? Would they have any significance for the physical world? Might their existence be the tip of a theoretical iceberg in which clever scientists would subsequently show that there are actually five other versions, or six, or seven, or perhaps even an endless number of distinct mathematical variations on a theme of strings?
+  During the late 1980s and early 1990s, with many physicists hotly pursuing an understanding of one or another of the string theories, the enigma of the five versions was not a problem researchers typically dealt with on a day-to-day basis. Instead, it was one of those quiet questions that everyone assumed would be addressed in the distant future, when the understanding of each individual string theory had become significantly more refined.
+  But in the spring of 1995, with little warning, these modest hopes were wildly exceeded. Drawing on the work of a number of string theorists (including Chris Hull, Paul Townsend, Ashoke Sen, Michael Duff, John Schwarz, and many others), Edward Witten-who for two decades has been the world's most renowned string theorist-uncovered a hidden unity that tied all five string theories together. Witten showed that rather than being distinct, the five theories are actually just five different ways of mathematically analyzing a single theory. Much as the translations of a book into five different languages might seem, to a monolingual reader, to be five distinct texts, the five string formulations appeared distinct only because Witten had yet to write the dictionary for translating among them. But once revealed, the dictionary provided a convincing demonstration that-like a single master text from which five translations have been made-a single master theory links all five string formulations. The unifying master theory has tentatively been called M-theory, M being a tantalizing placeholder whose meaning-Master? Majestic? Mother? Magic? Mystery? Matrix?-awaits the outcome of a vigorous worldwide research effort now seeking to complete the new vision illuminated by Witten's powerful insight.
+  This revolutionary discovery was a gratifying leap forward. String theory, Witten demonstrated in one of the field's most prized papers (and in important follow-up work with Petr Hořava), is a single theory. No longer did string theorists have to qualify their candidate for the unified theory Einstein sought by adding, with a tinge of embarrassment, that the proposed unified framework lacked unity because it came in five different versions. How fitting, by contrast, for the farthest-reaching proposal for a unified theory to be, itself, the subject of a meta-unification. Through Witten's work, the unity embodied by each individual string theory was extended to the whole string framework.
+  Figure 13.1 sketches the status of the five string theories before and after Witten's discovery, and is a good summary image to keep in mind. It illustrates that M-theory is not a new approach, per se, but that, by clearing the clouds, it promises a more refined and complete formulation of physical law than is provided by any one of the individual string theories. M-theory links together and embraces equally all five string theories by showing that each is part of a grander theoretical synthesis.
+The Power of Translation
+Although Figure 13.1 schematically conveys the essential content of Witten's discovery, expressed in this way it might strike you like a bit of inside baseball. Before Witten's breakthrough, researchers thought there were five separate versions of string theory; after his breakthrough, they didn't. But if you'd never known that there were five purportedly distinct string theories, why should you care that the cleverest of all string theorists showed they aren't distinct after all? Why, in other words, was Witten's discovery revolutionary as opposed to a modest insight correcting a previous misconception?
+
+Figure 13.1: (a) Schematic portrayal of the five string theories, prior to 1995. (b) Schematic portrayal of the meta-unification revealed by M-theory.
+  Here's why. Over the past few decades, string theorists have been stymied repeatedly by a mathematical problem. Because the exact equations describing any one of the five string theories have proven so difficult to extract and analyze, theorists have based much of their research on approximate equations that are far easier to work with. While there are good reasons to believe that the approximate equations should, in many circumstances, give answers close to those given by the true equations, approximations-like translations-always miss something. For this reason, certain key problems have proved beyond the approximate equations' mathematical reach, significantly impeding progress.
+  For the imprecision inherent in textual translations, readers have a couple of immediate remedies. The best option, if the reader's linguistic skills are up to the task, is to consult the original manuscript. At the moment, the analog of this option is not available to string theorists. By virtue of the consistency of the dictionary developed by Witten and others, we have strong evidence that all five string theories are different descriptions of a single master theory, M-theory, but researchers have yet to develop a complete understanding of this theoretical nexus. We have learned much about M-theory in the last few years, but we still have far to go before anyone could sensibly claim that it is properly or completely understood. In string theory, it's as if we have five translations of a yet-to-be-discovered master text.
+  Another helpful remedy, well known to readers of translations who either don't have the original (as in string theory) or, more commonly, don't understand the language in which it's written, is to consult several translations of the master text into languages with which they are familiar. Passages on which the translations agree give confidence; passages on which they differ flag possible inaccuracies or highlight different interpretations. It is this approach that Witten made available with his discovery that the five string theories are different translations of the same underlying theory. In fact, his discovery provided an extremely powerful version of this line of attack that is best understood through a slight extension of the translation analogy.
+  Imagine a master manuscript infused with such an enormous range of puns, rhymes, and offbeat, culture-sensitive jokes, that the complete text cannot be expressed gracefully in any single one of five given languages into which it is being translated. Some passages might translate into Swahili with ease, while other portions might prove thoroughly impenetrable in this tongue. Much insight into some of the latter passages might emerge from the Inuit translation; in yet other sections that translation might be completely opaque. Sanskrit might capture the essence of some of these tricky passages, but for other, particularly troublesome sections, all five translations might leave you dumbfounded and only the master text will be intelligible. This is much closer to the situation with the five string theories. Theorists have found that for certain questions, one of the five may give a transparent description of the physical implications, while the descriptions given by the other four are too mathematically complex to be useful. And therein lies the power of Witten's discovery. Prior to his breakthrough, string theory researchers who encountered intractably difficult equations would be stuck. But Witten's work showed that each such question admits four mathematical translations-four mathematical reformulations-and sometimes one of the reformulated questions proves far simpler to answer. Thus, the dictionary for translating between the five theories can sometimes provide a means for translating impossibly difficult questions into comparatively simple ones.
+  It's not foolproof. Just as all five translations of certain passages in that master text might be equally incomprehensible, sometimes the mathematical descriptions given by all five string theories are equally difficult to understand. In such cases, just as we would need to consult the original text itself, we would need full comprehension of the elusive M-theory to make progress. Even so, in a wealth of circumstances, Witten's dictionary has provided a powerful new tool for analyzing string theory.
+  Hence, just as each translation of a complex text serves an important purpose, each string formulation does too. By combining insights gained from the perspective of each, we are able to answer questions and reveal features that are completely beyond the reach of any single string formulation. Witten's discovery thus gave theorists five times the firepower for advancing string theory's front line. And that, in large part, is why it sparked a revolution.
+Eleven Dimensions
+So, with our newfound power to analyze string theory, what insights have emerged? There have been many. I will focus on those that have had the greatest impact on the story of space and time.
+  Of primary importance, Witten's work revealed that the approximate string theory equations used in the 1970s and 1980s to conclude that the universe must have nine space dimensions missed the true number by one.  The exact answer, his analysis showed, is that the universe according to M-theory has ten space dimensions, that is, eleven spacetime dimensions. Much as Kaluza found that a universe with five spacetime dimensions provided a framework for unifying electromagnetism and gravity, and much as string theorists found that a universe with ten spacetime dimensions provided a framework for unifying quantum mechanics and general relativity, Witten found that a universe with eleven spacetime dimensions provided a framework for unifying all string theories. Like five villages that appear, viewed from ground level, to be completely separate but, when viewed from a mountaintop-making use of an additional, vertical dimension-are seen to be connected by a web of paths and roadways, the additional space dimension emerging from Witten's analysis was crucial to his finding connections between all five string theories.
+  While Witten's discovery surely fit the historical pattern of achieving unity through more dimensions, when he announced the result at the annual international string theory conference in 1995, it shook the foundations of the field. Researchers, including me, had thought long and hard about the approximate equations being used, and everyone was confident that the analyses had given the final word on the number of dimensions. But Witten revealed something startling.
+  He showed that all of the previous analyses had made a mathematical simplification tantamount to assuming that a hitherto unrecognized tenth spatial dimension would be extremely small, much smaller than all others. So small, in fact, that the approximate string theory equations that all researchers were using lacked the resolving power to reveal even a mathematical hint of the dimension's existence. And that led everyone to conclude that string theory had only nine space dimensions. But with the new insights of the unified M-theoretic framework, Witten was able to go beyond the approximate equations, probe more finely, and demonstrate that one space dimension had been overlooked all along. Thus, Witten showed that the five ten-dimensional frameworks that string theorists had developed for more than a decade were actually five approximate descriptions of a single, underlying eleven-dimensional theory.
+  You might wonder whether this unexpected realization invalidated previous work in string theory. By and large, it didn't. The newfound tenth spatial dimension added an unanticipated feature to the theory, but if string/M-theory is correct, and should the tenth spatial dimension turn out to be much smaller than all others-as, for a long time, had been unwittingly assumed-previous work would remain valid. However, because the known equations are still unable to nail down the sizes or shapes of extra dimensions, string theorists have expended much effort over the last few years investigating the new possibility of a not-so-small tenth spatial dimension. Among other things, the wide-ranging results of these studies have put the schematic illustration of the unifying power of M-theory, Figure 13.1, on a firm mathematical foundation.
+  I suspect that the updating from ten to eleven dimensions-regardless of its great importance to the mathematical structure of string/M-theory- doesn't substantially alter your mind's-eye picture of the theory. To all but the cognoscenti, trying to imagine seven curled-up dimensions is an exercise that's pretty much the same as trying to imagine six.
+  But a second and closely related insight from the second superstring revolution does alter the basic intuitive picture of string theory. The collective insights of a number of researchers-Witten, Duff, Hull, Townsend, and many others-established that string theory is not just a theory of strings.
+Branes
+A natural question, which may have occurred to you in the last chapter, is Why strings? Why are one-dimensional ingredients so special? In reconciling quantum mechanics and general relativity, we found it crucial that strings are not dots, that they have nonzero size. But that requirement can be met with two-dimensional ingredients shaped like miniature disks or Frisbees, or by three-dimensional bloblike ingredients, shaped like baseballs or lumps of clay. Or, since the theory has such an abundance of space dimensions, we can even imagine blobs with more dimensions still. Why don't these ingredients play any role in our fundamental theories?
+  In the 1980s and early 1990s, most string theorists had what seemed like a convincing answer. They argued that there had been attempts to formulate a fundamental theory of matter based on bloblike constituents by, among others, such icons of twentieth-century physics as Werner Heisenberg and Paul Dirac. But their work, as well as many subsequent studies, showed that it was extremely difficult to develop a theory based on tiny blobs that met the most basic of physical requirements-for example, ensuring that all quantum mechanical probabilities lie between 0 and 1 (no sense can be made of negative probabilities or of probabilities greater than 1), and debarring faster-than-light communication. For point particles, a half-century of research initiated in the 1920s showed that these conditions could be met (as long as gravity was ignored). And, by the 1980s, more than a decade of investigation by Schwarz, Scherk, Green, and others established, to the surprise of most researchers, that the conditions could also be met for one-dimensional ingredients, strings (which necessarily included gravity). But it seemed impossible to proceed to fundamental ingredients with two or more spatial dimensions. The reason, briefly put, is that the number of symmetries respected by the equations peaks enormously for one-dimensional objects (strings) and drops off precipitously thereafter. The symmetries in question are more abstract than the ones discussed in Chapter 8 (they have to do with how equations change if, while studying the motion of a string or a higher dimensional ingredient, we were to zoom in or out, suddenly and arbitrarily changing the resolution of our observations). These transformations prove critical to formulating a physically sensible set of equations, and beyond strings it seemed that the required fecundity of symmetries was absent.1
+  It was thus another shock to most string theorists when Witten's paper and an avalanche of subsequent results2 led to the realization that string theory, and the M-theoretic framework to which it now belongs,  does contain ingredients besides strings. The analyses showed that there are two-dimensional objects called, naturally enough, membranes (another possible meaning for the "M" in M-theory) or-in deference to systematically naming their higher-dimensional cousins-two-branes. There are objects with three spatial dimensions called three-branes. And, although increasingly difficult to visualize, the analyses showed that there are also objects with p spatial dimensions, where p can be any whole number less than 10, known-with no derogation intended-as p-branes. Thus, strings are but one ingredient in string theory, not the ingredient.
+  These other ingredients escaped earlier theoretical investigation for much the same reason the tenth space dimension did: the approximate string equations proved too coarse to reveal them. In the theoretical contexts that string researchers had investigated mathematically, it turns out that all p-branes are significantly heavier than strings. And the more massive something is, the more energy is required to produce it. But a limitation of the approximate string equations-a limitation embedded in the equations and well known to all string theorists-is that they become less and less accurate when describing entities and processes involving more and more energy. At the extreme energies relevant for p-branes, the approximate equations lacked the precision to expose the branes lurking in the shadows, and that's why decades passed without their presence being noticed in the mathematics. But with the various rephrasings and new approaches provided by the unified M-theoretic framework, researchers were able to skirt some of the previous technical obstacles, and there, in full mathematical view, they found a whole panoply of higher-dimensional ingredients.3
+  The revelation that there are other ingredients besides strings in string theory does not invalidate or make obsolete earlier work any more than the discovery of the tenth spatial dimension did. Research shows that if the higher-dimensional branes are much more massive than strings-as had been unknowingly assumed in previous studies-they have minimal impact on a wide range of theoretical calculations. But just as the tenth space dimension does not have to be much smaller than all others, so the higher-dimensional branes do not have to be much heavier. There are a variety of circumstances, still hypothetical, in which the mass of a higher-dimensional brane can be on a par with the lowest-mass string vibrational patterns, and in such cases the brane does have a significant impact on the resulting physics. For example, my own work with Andrew Strominger and David Morrison showed that a brane can wrap itself around a spherical portion of a Calabi-Yau shape, much like plastic wrap vacuum-sealed around a grapefruit; should that portion of space shrink, the wrapped brane would also shrink, causing its mass to decrease. This decrease in mass, we were able to show, allows the portion of space to collapse fully and tear open-space itself can rip apart-while the wrapped brane ensures that there are no catastrophic physical consequences. I discussed this development in detail in The Elegant Universe and will briefly return to it when we discuss time travel in Chapter 15, so I won't elaborate further here. But this snippet makes clear how higher-dimensional branes can have a significant effect on the physics of string theory.
+  For our current focus, though, there is another profound way that branes impact the view of the universe according to string/M-theory. The grand expanse of the cosmos-the entirety of the spacetime of which we are aware-may itself be nothing but an enormous brane. Ours may be a braneworld.
+Braneworlds
+Testing string theory is a challenge because strings are ultrasmall. But remember the physics that determined the string's size. The messenger particle of gravity-the graviton-is among the lowest-energy string vibrational patterns, and the strength of the gravitational force it communicates is proportional to the length of the string. Since gravity is such a weak force, the string's length must be tiny; calculations show that it must be within a factor of a hundred or so of the Planck length for the string's graviton vibrational pattern to communicate a gravitational force with the observed strength.
+  Given this explanation, we see that a highly energetic string is not constrained to be tiny, since it no longer has any direct connection to the graviton particle (the graviton is a low-energy, zero-mass vibrational pattern). In fact, as more and more energy is pumped into a string, at first it will vibrate more and more frantically. But after a certain point, additional energy will have a different effect: it will cause the string's length to increase, and there's no limit to how long it can grow. By pumping enough energy into a string, you could even make it grow to macroscopic size. With today's technology we couldn't come anywhere near achieving this, but it's possible that in the searingly hot, extremely energetic aftermath of the big bang, long strings were produced. If some have managed to survive until today, they could very well stretch clear across the sky. Although a long shot, it's even possible that such long strings could leave tiny but detectable imprints on the data we receive from space, perhaps allowing string theory to be confirmed one day through astronomical observations.
+  Higher-dimensional p-branes need not be tiny, either, and because they have more dimensions than strings do, a qualitatively new possibility opens up. When we picture a long-perhaps infinitely long-string, we envision a long one-dimensional object that exists within the three large space dimensions of everyday life. A power line stretched as far as the eye can see provides a reasonable image. Similarly, if we picture a large-perhaps infinitely large-two-brane, we envision a large two-dimensional surface that exists within the three large space dimensions of common experience. I don't know of a realistic analogy, but a ridiculously huge drive-in movie screen, extremely thin but as high and as wide as the eye can see, offers a visual image to latch on to. When it comes to a large three-brane, though, we find ourselves in a qualitatively new situation. A three-brane has three dimensions, so if it were large-perhaps infinitely large-it would  fill all three big spatial dimensions. Whereas a one-brane and a two-brane, like the power line and movie screen, are objects that exist within our three large space dimensions, a large three-brane would occupy all the space of which we're aware.
+  This raises an intriguing possibility. Might we, right now, be living within a three-brane? Like Snow White, whose world exists within a two-dimensional movie screen-a two-brane-that itself resides within a higher-dimensional universe (the three space dimensions of the movie theater), might everything we know exist within a three-dimensional screen-a three-brane-that itself resides within the higher-dimensional universe of string/M-theory? Could it be that what Newton, Leibniz, Mach, and Einstein called three-dimensional space is actually a particular three-dimensional entity in string/M-theory? Or, in more relativistic language, could it be that the four-dimensional spacetime developed by Minkowski and Einstein is actually the wake of a three-brane as it evolves through time? In short, might the universe as we know it be a brane?4
+  The possibility that we are living within a three-brane-the so-called braneworld scenario-is the latest twist in string/M-theory's story. As we will see, it provides a qualitatively new way of thinking about string/M-THEORY, with numerous and far-reaching ramifications. The essential physics is that branes are rather like cosmic Velcro; in a particular way we'll now discuss, they are very sticky.
+Sticky Branes and Vibrating Strings
+One of the motivations for introducing the term "M-theory" is that we now realize that "string theory" highlights but one of the theory's many ingredients. Theoretical studies revealed one-dimensional strings decades before more refined analyses discovered the higher-dimensional branes, so "string theory" is something of an historical artifact. But, even though M-theory exhibits a democracy in which extended objects of a variety of dimensions are represented, strings still play a central role in our current formulation. In one way this is immediately clear. When all the higher-dimensional p-branes are much heavier than strings, they can be ignored, as researchers had done unknowingly since the 1970s. But there is another, more general way in which strings are first among equals.
+  In 1995, shortly after Witten announced his breakthrough, Joe Polchinski of the University of California at Santa Barbara got to thinking. Years earlier, in a paper he had written with Robert Leigh and Jin Dai, Polchinski had discovered an interesting though fairly obscure feature of string theory. Polchinski's motivation and reasoning were somewhat technical and the details are not essential to our discussion, but his results are. He found that in certain situations the endpoints of open strings- remember, these are string segments with two loose ends-would not be able to move with complete freedom. Instead, just as a bead on a wire is free to move, but must follow the wire's contour, and just as a pinball is free to move, but must follow the contours of the pinball table's surface, the endpoints of an open string would be free to move but would be restricted to particular shapes or contours in space. While the string would still be free to vibrate, Polchinski and his collaborators showed that its endpoints would be "stuck" or "trapped" within certain regions.
+  In some situations, the region might be one-dimensional, in which case the string's endpoints would be like two beads sliding on a wire, with the string itself being like a cord connecting them. In other situations, the region might be two-dimensional, in which case the endpoints of the string would be very much like two pinballs connected by a cord, rolling around a pinball table. In yet other situations, the region might have three, four, or any other number of spatial dimensions less than ten. These results, as shown by Polchinski and also by Petr Hořava and Michael Green, helped resolve a long-standing puzzle in the comparison of open and closed strings, but over the years, the work attracted limited attention.5 In October 1995, when Polchinski finished rethinking these earlier insights in light of Witten's new discoveries, that changed.
+  A question that Polchinski's earlier paper left without a complete answer is one that may have occurred to you while reading the last paragraph: If the endpoints of open strings are stuck within a particular region of space, what is it that they are stuck to? Wires and pinball machines have a tangible existence independent of the beads or balls that are constrained to move along them. What about the regions of space to which the endpoints of open strings are constrained? Are they filled with some independent and fundamental ingredient of string theory, one that jealously clutches open string endpoints? Prior to 1995, when string theory was thought to be a theory of strings only, there didn't seem to be any candidate for the job. But after Witten's breakthrough and the torrent of results it inspired, the answer became obvious to Polchinski: if the endpoints of open strings are restricted to move within some p-dimensional region of space, then that region of space must be occupied by a p-brane.37 His calculations showed that the newly discovered p-branes had exactly the right properties to be the objects that exert an unbreakable grip on open string endpoints, constraining them to move within the p-dimensional region of space they fill.
+  To get a better sense for what this means, look at Figure 13.2. In (a), we see a couple of two-branes with a slew of open strings moving around and vibrating, all with their endpoints restricted to motion along their respective branes. Although it is increasingly difficult to draw, the situation with higher-dimensional branes is identical. Open string endpoints can move freely on and within the p-brane, but they can't leave the brane itself. When it comes to the possibility of motion off a brane, branes are the stickiest things imaginable. It's also possible for one end of an open string to be stuck to one p-brane and its other end to be stuck to a different p-brane, one that may have the same dimension as the first (Figure 13.2b) or may not (Figure 13.2c).
+  To Witten's discovery of the connection between the various string theories, Polchinski's new paper provided a companion manifesto for the second superstring revolution. While some of the great minds of twentieth-century theoretical physics had struggled and failed to formulate a theory containing fundamental ingredients with more dimensions than dots (zero dimensions) or strings (one dimension), the results of Witten and Polchinski, together with important insights of many of today's leading researchers, revealed the path to progress. Not only did these physicists establish that string/M-theory contains higher-dimensional ingredients, but Polchinski's insights in particular provided a means for analyzing their detailed physical properties theoretically (should they prove to exist). The properties of a brane, Polchinski argued, are to a large extent captured by the properties of the vibrating open strings whose endpoints it contains. Just as you can learn a lot about a carpet by running your hand through its pile-the snippets of wool whose endpoints are attached to the carpet backing-many qualities of a brane can be determined by studying the strings whose endpoints it clutches.
+
+Figure 13.2 (a) Open strings with endpoints attached to two-dimensional branes, or two-branes. (b) Strings stretching from one two-brane to another. (c) Strings stretching from a two-brane to a one-brane.
+  That was a paramount result. It showed that decades of research that produced sharp mathematical methods to study one-dimensional objects-strings-could be used to study higher-dimensional objects, p-branes. Wonderfully, then, Polchinski revealed that the analysis of higher-dimensional objects was reduced, to a large degree, to the thoroughly familiar, if still hypothetical, analysis of strings. It's in this sense that strings are special among equals. If you understand the behavior of strings, you're a long way toward understanding the behavior of p-branes.
+  With these insights, let's now return to the braneworld scenario-the possibility that we're all living out our lives within a three-brane.
+Our Universe as a Brane
+If we are living within a three-brane-if our four-dimensional spacetime is nothing but the history swept out by a three-brane through time-then the venerable question of whether spacetime is a something would be cast in a brilliant new light. Familiar four-dimensional spacetime would arise from a real physical entity in string/M-theory, a three-brane, not from some vague or abstract idea. In this approach, the reality of our four-dimensional spacetime would be on a par with the reality of an electron or a quark. (Of course, you could still ask whether the larger spacetime within which strings and branes exist-the eleven dimensions of string/M-theory-is itself an entity; the reality of the spacetime arena we directly experience, though, would be rendered obvious.) But if the universe we're aware of really is a three-brane, wouldn't even a casual glance reveal that we are immersed within something-within the three-brane interior?
+  Well, we've already learned of things within which modern physics suggests we may be immersed-a Higgs ocean; space filled with dark energy; myriad quantum field fluctuations-none of which make themselves directly apparent to unaided human perceptions. So it shouldn't be a shock to learn that string/M-theory adds another candidate to the list of invisible things that may fill "empty" space. But let's not get cavalier. For each of the previous possibilities, we understand its impact on physics and how we might establish that it truly exists. Indeed, for two of the three- dark energy and quantum fluctuations-we've seen that strong evidence supporting their existence has already been gathered; evidence for the Higgs field is being sought at current and future accelerators. So what is the corresponding situation for life within a three-brane? If the braneworld scenario is correct, why don't we see the three-brane, and how would we establish that it exists?
+  The answer highlights how the physical implications of string/M-THEORY in the braneworld context differ radically from the earlier "brane-free" (or, as they're sometimes affectionately called, no-braner) scenarios. Consider, as an important example, the motion of light-the motion of photons. In string theory, a photon, as you now know, is a particular string vibrational pattern. More specifically, mathematical studies have shown that in the braneworld scenario, only open string vibrations, not closed ones, produce photons, and this makes a big difference. Open string endpoints are constrained to move within the three-brane, but are otherwise completely free. This implies that photons (open strings executing the photon mode of vibration) would travel without any constraint or obstruction throughout our three-brane. And that would make the brane appear completely transparent-completely invisible-thus preventing us from seeing that we are immersed within it.
+  Of equal importance, because open string endpoints cannot leave a brane, they are unable to move into the extra dimensions. Just as the wire constrains its beads and the pinball machine constrains its balls, our sticky three-brane would permit photons to move only within our three spatial dimensions. Since photons are the messenger particles for electromagnetism, this implies that the electromagnetic force-light-would be trapped within our three dimensions, as illustrated (in two dimensions so we can draw it) in Figure 13.3.
+  That's an intense realization with important consequences. Earlier, we required the extra dimensions of string/M-theory to be tightly curled up. The reason, clearly, is that we don't see the extra dimensions and so they must be hidden away. And one way to hide them is to make them smaller than we or our equipment can detect. But let's now reexamine this issue in the braneworld scenario. How do we detect things? Well, when we use our eyes, we use the electromagnetic force; when we use powerful instruments like electron microscopes, we also use the electromagnetic force; when we use atom smashers, one of the forces we use to probe the ultrasmall is, once again, the electromagnetic force. But if the electromagnetic force is confined to our three-brane, our three space dimensions, it is unable to probe the extra dimensions, regardless of their size. Photons cannot escape our dimensions, enter the extra dimensions, and then travel back to our eyes or equipment allowing us to detect the extra dimensions, even if they were as large as the familiar space dimensions.
+
+Figure 13.3 (a) In the braneworld scenario, photons are open strings with endpoints trapped within the brane, so they-light-cannot leave the brane itself. (b) Our braneworld could be floating in a grand expanse of additional dimensions that remain invisible to us, because the light we see cannot leave our brane. There might also be other braneworlds floating nearby.
+  So, if we live in a three-brane, there is an alternative explanation for why we're not aware of the extra dimensions. It is not necessarily that the extra dimensions are extremely small. They could be big. We don't see them because of the way we see. We see by using the electromagnetic force, which is unable to access any dimensions beyond the three we know about. Like an ant walking along a lily pad, completely unaware of the deep waters lying just beneath the visible surface, we could be floating within a grand, expansive, higher-dimensional space, as in Figure 13.3b, but the electromagnetic force-eternally trapped within our dimensions-would be unable to reveal this.
+  Okay, you might say, but the electromagnetic force is only one of nature's four forces. What about the other three? Can they probe into the extra dimensions, thus enabling us to reveal their existence? For the strong and weak nuclear forces, the answer is, again, no. In the braneworld scenario, calculations show that the messenger particles for these forces-gluons and W and Z particles-also arise from open-string vibrational patterns, so they are just as trapped as photons, and processes involving the strong and weak nuclear forces are just as blind to the extra dimensions. The same goes for particles of matter. Electrons, quarks, and all other particle species also arise from the vibrations of open strings with trapped endpoints.  Thus, in the braneworld scenario, you and I and everything we've ever seen are permanently imprisoned within our three-brane.Taking account of time, everything is trapped within our four-dimensional slice of spacetime.
+  Well, almost everything. For the force of gravity, the situation is different. Mathematical analyses of the braneworld scenario have shown that gravitons arise from the vibrational pattern of closed strings, much as they do in the previously discussed no-braner scenarios. And closed strings- strings with no endpoints-are not trapped by branes. They are as free to leave a brane as they are to roam on or through it. So, if we were living in a brane, we would not be completely cut off from the extra dimensions. Through the gravitational force, we could both influence and be influenced by the extra dimensions. Gravity, in such a scenario, would provide our sole means for interacting beyond our three space dimensions.
+  How big could the extra dimensions be before we'd become aware of them through the gravitational force? This is an interesting and critical question, so let's take a look.
+Gravity and Large Extra Dimensions
+Back in 1687, when Newton proposed his universal law of gravity, he was actually making a strong statement about the number of space dimensions. Newton didn't just say that the force of attraction between two objects gets weaker as the distance between them gets larger. He proposed a formula, the  inverse square law, which describes precisely how the gravitational attraction will diminish as two objects are separated. According to this formula, if you double the distance between the objects, their gravitational attraction will fall by a factor of 4 (22); if you triple the distance, it will fall by a factor of 9 (32); if you quadruple the distance, it will fall by a factor of 16 (42); and more generally, the gravitational force drops in proportion to the square of the separation. As has become abundantly evident over the last few hundred years, this formula works.
+  But why does the force depend on the square of the distance? Why doesn't the force drop like the cube of the separation (so that if you double the distance, the force diminishes by a factor of 8) or the fourth power (so that if you double the distance, the force diminishes by a factor of 16), or perhaps, even more simply, why doesn't the gravitational force between two objects drop in direct proportion to the separation (so that if you double the distance, the force diminishes by a factor of 2)? The answer is tied directly to the number of dimensions of space.
+  One way to see this is to think about how the number of gravitons emitted and absorbed by the two objects depends on their separation, or by thinking about how the curvature of spacetime that each object experiences diminishes as the distance between them increases. But let's take a simpler, more old-fashioned approach, which gets us quickly and intuitively to the correct answer. Let's draw a figure (Figure 13.4a) that schematically illustrates the gravitational field produced by a massive object-let's say the sun-much as Figure 3.1 schematically illustrates the magnetic field produced by a bar magnet. Whereas magnetic field lines sweep around from the magnet's north pole to its south pole, notice that gravitational field lines emanate radially outward in all directions and just keep on going. The strength of the gravitational pull another object- imagine it's an orbiting satellite-would feel at a given distance is proportional to the density of field lines at that location. The more field lines penetrate the satellite, as in Figure 13.4b, the greater the gravitational pull to which it is subject.
+  We can now explain the origin of Newton's inverse square law. An imaginary sphere centered on the sun and passing through the satellite's location, as in Figure 13.4c, has a surface area that-like the surface of any sphere in three-dimensional space-is proportional to the  square of its radius, which in this case is the square of the distance between the sun and the satellite. This means that the density of field lines passing through the sphere-the total number of field lines divided by the sphere's area- decreases as the square of sun-satellite separation. If you double the distance, the same number of field lines are now uniformly spread out on a sphere with four times the surface area, and hence the gravitational pull at that distance will drop by a factor of four. Newton's inverse square law for gravity is thus a reflection of a geometrical property of spheres in three space dimensions.
+
+Figure 13.4 (a) The gravitational force exerted by the sun on an object, such as a satellite, is inversely proportional to the square of the distance between them. The reason is that the sun's gravitational field lines spread out uniformly as in (b) and hence have a density at a distance d that is inversely proportional to the area of an imaginary sphere of radius d-schematically drawn in  (c)-an area which basic geometry shows to be proportional to d2.
+  By contrast, if the universe had two or even just one space dimension, how would Newton's formula change? Well, Figure 13.5a shows a two-dimensional version of the sun and its orbiting satellite. As you can see, at any given distance the sun's gravitational field lines uniformly spread out on a circle, the analog of a sphere in one lower dimension. Since the circle's circumference is proportional to its radius (not to the square of its radius), if you double the sun-satellite separation, the density of field lines will decrease by a factor of 2 (not 4) and so the strength of the sun's gravitational pull will drop only by a factor of 2 (not 4). If the universe had only two space dimensions, then, gravitational pull would be inversely proportional to separation, not the square of separation.
+  If the universe had only one space dimension, as in Figure 13.5b, the law of gravity would be simpler still. Gravitational field lines would have no room to spread out, and so the force of gravity would not decrease with separation. If you were to double the distance between the sun and the
+
+Figure 13.5 (a) In a universe with only two spatial dimensions, the gravitational force drops in proportion to separation, because gravitational field lines uniformly spread on a circle whose circumference is proportional to its radius. (b) In a universe with one space dimension, gravitational field lines do not have any room to spread, so the gravitational force is constant, regardless of separation.
+satellite (assuming that versions of such objects could exist in such a universe), the same number of field lines would penetrate the satellite and hence the force of gravity acting between them would not change at all.
+  Although it is impossible to draw, the pattern illustrated by Figures 13.4 and 13.5 extends directly to a universe with four or five or six or any number of space dimensions. The more space dimensions there are, the more room gravitational lines of force have to spread out. And the more they spread out, the more precipitously the force of gravity drops with increasing separation. In four space dimensions, Newton's law would be an inverse cube law (double the separation, force drops by a factor of 8); in five space dimensions, it would be an inverse fourth-power law (double the separation, force drops by a factor of 16); in six space dimensions, it would be an inverse fifth-power law (double the separation, force drops by a factor of 32); and so on for ever higher-dimensional universes.
+  You might think that the success of the inverse square version of Newton's law in explaining a wealth of data-from the motion of planets to the paths of comets-confirms that we live in a universe with precisely three space dimensions. But that conclusion would be hasty. We know that the inverse square law works on astronomical scales,6 and we know that it works on terrestrial scales, and that jibes well with the fact that on such scales we see three space dimensions. But do we know that it works on smaller scales? How far down into the microcosmos has gravity's inverse square law been tested? As it turns out, experimenters have confirmed it down to only about a tenth of a millimeter; if two objects are brought to within a separation of a tenth of a millimeter, the data verify that the strength of their gravitational attraction follows the predictions of the inverse square law. But so far, it has proven a significant technical challenge to test the inverse square law on shorter scales (quantum effects and the weakness of gravity complicate the experiments). This is a critical issue, because deviations from the inverse square law would be a convincing signal of extra dimensions.
+  To see this explicitly, let's work with a lower-dimensional toy example that we can easily draw and analyze. Imagine we lived in a universe with one space dimension-or so we thought, because only one space dimension was visible and, moreover, centuries of experiments had shown that the force of gravity does not vary with the separation between objects. But also imagine that in all those years experimenters had been able only to test the law of gravity down to distances of about a tenth of a millimeter. For distances shorter than that, no one had any data. Now, imagine further that, unbeknownst to everyone but a handful of fringe theoretical physicists, the universe actually had a second, curled-up space dimension making its shape like the surface of Philippe Petit's tightrope, as in Figure 12.5. How would this affect future, more refined gravitational tests? We can deduce the answer by looking at Figure 13.6. As two tiny objects are brought close enough together-much closer than the circumference of the curled-up dimension-the two-dimensional character of space would become apparent immediately, because on those scales gravitational field lines would have room to spread out (Figure 13.6a). Rather than being independent of distance, the force of gravity would vary inversely with separation when objects were close enough together.
+
+Figure 13.6 (a) When objects are close, the gravitational pull varies as it does in two space dimensions. (b) When objects are farther apart, the gravitational pull behaves as it does in one space dimension-it is constant.
+  Thus, if you were an experimenter in this universe, and you developed exquisitely accurate methods for measuring gravitational attraction, here's what you would find. When two objects were extremely close, much closer than the size of the curled-up dimension, their gravitational attraction would diminish in proportion to their separation, just as you expect for a universe with two space dimensions. But then, when the objects were about as far apart as the circumference of the curled-up dimension, things would change. Beyond this distance, the gravitational field lines would be unable to spread any further. They would have spilled out as far as they could into the second curled-up dimension- they would have saturated that dimension-and so from this distance onward the gravitational force would no longer diminish, as illustrated in Figure 13.6b. You can compare this saturation with the plumbing in an old house. If someone opens the faucet in the kitchen sink when you're just about to rinse the shampoo out of your hair, the water pressure can drop because the water spreads between the two outlets. The pressure will diminish yet again should someone open the faucet in the laundry room, since the water will spread even more. But once all the faucets in the house are open, the pressure will remain constant. Although it might not provide the relaxing, high-water-pressure experience you'd anticipated, the pressure in the shower will not drop any further once the water has completely spread throughout all "extra" outlets. Similarly, once the gravitational field has completely spread throughout the extra curled-up dimension, it will not diminish with further separation.
+  From your data you would deduce two things. First, from the fact that the gravitational force diminished in proportion to distance when objects are very close, you'd realize that the universe has two space dimensions, not one. Second, from the crossover to a gravitational force that is constant-the result known from hundreds of years of previous experiments-you'd conclude that one of these dimensions is curled up, with a size about equal to the distance at which the crossover takes place. And with this result, you'd overturn centuries, if not millennia, of belief regarding something so basic, the number of space dimensions, that it seemed almost beyond questioning.
+  Although I set this story in a lower-dimensional universe, for visual ease, our situation could be much the same. Hundreds of years of experiments have confirmed that gravity varies inversely with the square of distance, giving strong evidence that there are three space dimensions. But as of 1998, no experiment had ever probed gravity's strength on separations smaller than a millimeter (today, as mentioned, this has been pushed to a tenth of a millimeter). This led Savas Dimopoulos, of Stanford, Nima Arkani-Hamed, now of Harvard, and Gia Dvali, of New York University, to propose that  in the braneworld scenario extra dimensions could be as large as a millimeter and would still have been undetected. This radical suggestion inspired a number of experimental groups to initiate a study of gravity at submillimeter distances in hopes of finding violations of the inverse square law; so far, none have been found, down to a tenth of a millimeter. Thus, even with today's state-of-the-art gravity experiments, if we are living within a three-brane, the extra dimensions could be as large as a tenth of a millimeter, and yet we wouldn't know it.
+  This is one of the most striking realizations of the last decade. Using the three nongravitational forces, we can probe down to about a billionth of a billionth (10−18) of a meter, and no one has found any evidence of extra dimensions. But in the braneworld scenario, the nongravitational forces are impotent in searching for extra dimensions since they are trapped on the brane itself. Only gravity can give insight into the nature of the extra dimensions, and, as of today, the extra dimensions could be as thick as a human hair and yet they'd be completely invisible to our most sophisticated instruments. Right now, right next to you, right next to me, and right next to everyone else, there could be another spatial dimension-a dimension beyond left/right, back/forth, and up/down, a dimension that's curled up but still large enough to swallow something as thick as this page-that remains beyond our grasp.38
+Large Extra Dimensions and Large Strings
+By trapping three of the four forces, the braneworld scenario significantly relaxes experimental constraints on how big the extra dimensions can be, but the extra dimensions aren't the only thing this approach allows to get bigger. Drawing on insights of Witten, Joe Lykken, Constantin Bachas, and others, Ignatios Antoniadis, together with Arkani-Hamed, Dimopoulos, and Dvali, realized that in the braneworld scenario even unexcited, low-energy strings can be much larger than previously thought. In fact, the two scales-the size of extra dimensions and the size of strings-are closely related.
+  Remember from the previous chapter that the basic size of string is determined by requiring that its graviton vibrational pattern communicate a gravitational force of the observed strength. The weakness of gravity translates into the string's being very short, about the Planck length (10−33 centimeters). But this conclusion is highly dependent on the size of the extra dimensions. The reason is that in string/M-theory, the strength of the gravitational force we observe in our three extended dimensions represents an interplay between two factors. One factor is the intrinsic, fundamental strength of the gravitational force. The second factor is the size of the extra dimensions. The larger the extra dimensions, the more gravity can spill into them and the weaker its force will appear in the familiar dimensions. Just as larger pipes yield weaker water pressure because they allow water more room to spread out, so larger extra dimensions yield weaker gravity, because they give gravity more room to spread out.
+  The original calculations that determined the string's length assumed that the extra dimensions were so tiny, on the order of the Planck length, that gravity couldn't spill into them at all. Under this assumption, gravity appears weak because it is weak. But now, if we work in the braneworld scenario and allow the extra dimensions to be much larger than had previously been considered, the observed feebleness of gravity no longer means that it's intrinsically weak. Instead, gravity could be a relatively powerful force that appears weak only because the relatively large extra dimensions, like large pipes, dilute its intrinsic strength. Following this line of reasoning, if gravity is much stronger than once thought, the strings can be much longer than once thought, too.
+  As of today, the question of exactly how long doesn't have a unique, definite answer. With the newfound freedom to vary both the size of strings and the size of the extra dimensions over a much wider range than previously envisioned, there are a number of possibilities. Dimopoulos and his collaborators have argued that existing experimental results, both from particle physics and from astrophysics, show that unexcited strings can't be larger than about a billionth of a billionth of a meter (10−18 meters). While small by everyday standards, this is about a hundred million billion (1017) times larger than the Planck length-nearly a hundred million billion times larger than previously thought. As we'll now see, that would be large enough that signs of strings could be detected by the next generation of particle accelerators.
+String Theory Confronts Experiment?
+The possibility that we are living within a large three-brane is, of course, just that: a possibility. And, within the braneworld scenario, the possibility that the extra dimensions could be much larger than once thought-and the related possibility that strings could also be much larger than once thought-are also just that: possibilities. But they are tremendously exciting possibilities. True, even if the braneworld scenario is right, the extra dimensions and the string size could still be Planckian. But the possibility within string/M-theory for strings and the extra dimensions to be much larger-to be just beyond the reach of today's technology-is fantastic. It means that there is at least a chance that in the next few years, string/ M-theory will make contact with observable physics and become an experimental science.
+  How big a chance? I don't know, and nor does anyone else. My intuition tells me it's unlikely, but my intuition is informed by a decade and a half of working within the conventional framework of Planck-sized strings and Planck-sized extra dimensions. Perhaps my instincts are old-fashioned. Thankfully, the question will be settled without the slightest concern for anyone's intuition. If the strings are big, or if some of the extra dimensions are big, the implications for upcoming experiments are spectacular.
+  In the next chapter, we'll consider a variety of experiments that will test, among other things, the possibilities of comparatively large strings and large extra dimensions, so here I will just whet your appetite. If strings are as large as a billionth of a billionth (10−18) of a meter, the particles corresponding to the higher harmonic vibrations in Figure 12.4 will not have enormous masses, in excess of the Planck mass, as in the standard scenario. Instead, their masses will be only a thousand to a few thousand times that of a proton, and that's low enough to be within reach of the Large Hadron Collider now being built at CERN. If these string vibrations were to be excited through high-energy collisions, the accelerator's detectors would light up like the Times Square crystal ball on New Year's Eve. A whole host of never-before-seen particles would be produced, and their masses would be related to one another's much as the various harmonics are related on a cello. String theory's signature would be etched across the data with a flourish that would have impressed John Hancock. Researchers wouldn't be able to miss it, even without their glasses.
+  Moreover, in the braneworld scenario, high-energy collisions might even produce-get this-miniature black holes. Although we normally think of black holes as gargantuan structures out in deep space, it's been known since the early days of general relativity that if you crammed enough matter together in the palm of your hand, you'd create a tiny black hole. This doesn't happen because no one's grip-and no mechanical device-is even remotely strong enough to exert a sufficient compression force. Instead, the only accepted mechanism for black hole production involves the gravitational pull of an enormously massive star's overcoming the outward pressure normally exerted by the star's nuclear fusion processes, causing the star to collapse in on itself. But if gravity's intrinsic strength on small scales is far greater than previously thought, tiny black holes could be produced with significantly less compression force than previously believed. Calculations show that the Large Hadron Collider may have just enough squeezing power to create a cornucopia of microscopic black holes through high-energy collisions between protons.7 Think about how amazing that would be. The Large Hadron Collider might turn out to be a factory for producing microscopic black holes! These black holes would be so small and would last for such a short time that they wouldn't pose us the slightest threat (years ago, Stephen Hawking showed that all black holes disintegrate via quantum processes-big ones very slowly, tiny ones very quickly), but their production would provide confirmation of some of the most exotic ideas ever contemplated.
+Braneworld Cosmology
+A primary goal of current research, one that is being hotly pursued by scientists worldwide (including me), is to formulate an understanding of cosmology that incorporates the new insights of string/M-theory. The reason is clear: not only does cosmology grapple with the big, gulp-in-the-throat questions, and not only have we come to realize that aspects of familiar experience-such as the arrow of time-are bound up with conditions at the universe's birth, but cosmology also provides a theorist with what New York provided Sinatra: a proving ground par excellence. If a theory can make it in the extreme conditions characteristic of the universe's earliest moments, it can make it anywhere.
+  As of today, cosmology according to string/M-theory is a work in progress, with researchers heading down two main pathways. The first and more conventional approach imagines that just as inflation provided a brief but profound front end to the standard big bang theory, string/M-THEORY provides a yet earlier and perhaps yet more profound front end to inflation. The vision is that string/M-theory will unfuzz the fuzzy patch we've used to denote our ignorance of the universe's earliest moments, and after that, the cosmological drama will unfold according to inflationary theory's remarkably successful script, recounted in earlier chapters.
+  While there has been progress on specific details required by this vision (such as trying to understand why only three of the universe's spatial dimensions underwent expansion, as well as developing mathematical methods that may prove relevant to analyzing the spaceless/timeless realm that may precede inflation), the eureka moments have yet to occur. The intuition is that whereas inflationary cosmology imagines the observable universe getting ever smaller at ever earlier times-and hence being ever hotter, denser, and energetic-string/M-theory tames this unruly (in physics-speak, "singular") behavior by introducing a minimal size (as in our discussion on pages 350-351) below which new and less singular physical quantities become relevant. This reasoning lies at the heart of string/M-theory's successful merger of general relativity and quantum mechanics, and many researchers expect that we will shortly determine how to apply the same reasoning in the context of cosmology. But, as of now, the fuzzy patch still looks fuzzy, and it's anybody's guess when clarity will be achieved.
+  The second approach employs the braneworld scenario, and in its most radical incarnation posits a completely new cosmological framework. It is far from clear whether this approach will survive detailed mathematical scrutiny, but it does provide a good example of how breakthroughs in fundamental theory can suggest novel trails through well-trodden territory. The proposal is called the cyclic model.
+Cyclic Cosmology
+From the standpoint of time, ordinary experience confronts us with two types of phenomena: those that have a clearly delineated beginning, middle, and end (this book, a baseball game, a human life) and those that are cyclic, happening over and over again (the changing seasons, the rising and setting of the sun, Larry King's weddings). Of course, on closer scrutiny we learn that cyclic phenomena also have a beginning and end, since cycles do not generally go on forever. The sun has been rising and setting-that is, the earth has been spinning on its axis while revolving around the sun-every day for some 5 billion years. But before that, the sun and the solar system had yet to form. And one day, some 5 billion years from now, the sun will turn into a red giant star, engulfing the inner planets, including earth, and there will no longer even be a notion of a rising and setting sun, at least not here.
+  But these are modern scientific recognitions. To the ancients, cyclic phenomena seemed eternally cyclic. And to many, the cyclic phenomena, running their course and continuously returning to begin anew, were the primary phenomena. The cycles of days and seasons set the rhythm of work and life, so it is no wonder that some of the oldest recorded cosmologies envisioned the unfolding of the world as a cyclical process. Rather than positing a beginning, a middle, and an end, a cyclic cosmology imagines that the world changes through time much as the moon changes through phases: after it has passed through a complete sequence, conditions are ripe for everything to start afresh and initiate yet another cycle.
+  Since the discovery of general relativity, a number of cyclic cosmological models have been proposed; the best-known was developed in the 1930s by Richard Tolman of the California Institute of Technology. Tolman suggested that the observed expansion of the universe might slow down, someday stop, and then be followed by a period of contraction in which the universe got ever smaller. But instead of reaching a fiery finale in which it implodes on itself and comes to an end, the universe might, Tolman proposed, undergo a bounce: space might shrink down to some small size and then rebound, initiating a new cycle of expansion followed once again by contraction. A universe eternally repeating this cycle- expansion, contraction, bounce, expansion again-would elegantly avoid the thorny issues of origin: in such a scenario, the very concept of origin would be inapplicable since the universe always was and would always be.
+  But Tolman realized that looking back in time from today, the cycles could have repeated for a while, but not indefinitely. The reason is that during each cycle, the second law of thermodynamics dictates that entropy would, on average, rise.8 And according to general relativity, the amount of entropy at the beginning of each new cycle determines how long that cycle will last. More entropy means a longer period of expansion before the outward motion grinds to a halt and the inward motion takes over. Each successive cycle would therefore last much longer than its predecessor; equivalently, earlier cycles would be shorter and shorter. When analyzed mathematically, the constant shortening of the cycles implies that they cannot stretch infinitely far into the past. Even in Tolman's cyclic framework, the universe would have a beginning.
+  Tolman's proposal invoked a spherical universe, which, as we've seen, has been ruled out by observations. But a radically new incarnation of cyclic cosmology, involving a flat universe, has recently been developed within string/M-theory. The idea comes from Paul Steinhardt and his collaborator Neil Turok of Cambridge University (with heavy use of results discovered in their collaborations with Burt Ovrut, Nathan Seiberg, and Justin Khoury) and proposes a new mechanism for driving cosmic evolution.9 Briefly put, they suggest that we are living within a three-brane that violently collides every few trillion years with another nearby, parallel three-brane. And the "bang" from the collision initiates each new cosmological cycle.
+  The basic setup of the proposal is illustrated in Figure 13.7 and was suggested some years ago by Hořava and Witten in a noncosmological context. Hořava and Witten were trying to complete Witten's proposed unity among all five string theories and found that if one of the seven extra dimensions in M-theory had a very simple shape-not a circle, as in Figure 12.7, but a little segment of a straight line, as in Figure 13.7-and was bounded by so-called end-of-the-world branes attached like bookends, then a direct connection could be made between the Heterotic-E string theory and all others. The details of how they drew this connection are neither obvious nor of the essence (if you are interested, see, for example, The Elegant Universe, Chapter 12); what matters here is that it's a starting point that naturally emerges from the theory itself. Steinhardt and Turok enlisted it for their cosmological proposal.
+
+Figure 13.7 Two three-branes, separated by a short interval.
+  Specifically, Steinhardt and Turok imagine that each brane in Figure 13.7 has three space dimensions, with the line segment between them providing a fourth space dimension. The remaining six space dimensions are curled up into a Calabi-Yau space (not shown in the figure) that has the right shape for string vibrational patterns to account for the known particle species.10 The universe of which we are directly aware corresponds to one of these three-branes; if you like, you can think of the second three-brane as another universe, whose inhabitants, if any, would also be aware of only three space dimensions, assuming that their experimental technology and expertise did not greatly exceed ours. In this setup, then, another three-brane-another universe-is right next door. It's hovering no more than a fraction of a millimeter away (the separation being in the fourth spatial dimension, as in Figure 13.7), but because our three-brane is so sticky and the gravity we experience so weak, we have no direct evidence of its existence, nor its hypothetical inhabitants any evidence of ours.
+  But, according to the cyclic cosmological model of Steinhardt and Turok, Figure 13.7 isn't how it's always been or how it will always be. Instead, in their approach, the two three-branes are attracted to each other-almost as though connected by tiny rubber bands-and this implies that each drives the cosmological evolution of the other: the branes engage in an endless cycle of collision, rebound, and collision once again, eternally regenerating their expanding three-dimensional worlds. To see how this goes, look at Figure 13.8, which illustrates one complete cycle, step by step.
+  At Stage 1, the two three-branes have just rushed toward each other and slammed together, and are now rebounding. The tremendous energy of the collision deposits a significant amount of high-temperature radiation and matter on each of the rebounding three-branes, and-this is key-Steinhardt and Turok argue that the detailed properties of this matter and radiation have a nearly identical profile to what's produced in the inflationarymodel. Although there is still some controversy on this point, Steinhardt and Turok therefore claim that the collision between the two three-branes results in physical conditions extremely close to what they'd be a moment after the burst of inflationary expansion in the more conventional approach discussed in Chapter 10. Not surprisingly, then, to a hypothetical observer within our three-brane, the next few stages in the cyclic cosmological model are essentially the same as those in the standard approach as illustrated in Figure 9.2 (where that figure is now interpreted as depicting evolution on one of the three-branes). Namely, as our three-brane rebounds from the collision, it expands and cools, and cosmic structures such as stars and galaxies gradually coalesce from the primordial plasma, as you can see in Stage 2. Then, inspired by the recent supernova observations discussed in Chapter 10, Steinhardt and Turok configure their model so that about 7 billion years into the cycle-Stage 3-the energy in ordinary matter and radiation becomes sufficiently diluted by the expansion of the brane so that a dark energy component gains the upper hand and, through its negative pressure, drives an era of accelerated expansion. (This requires an arbitrary tuning of details, but it allows the model to match observation, and so, the cyclic model's proponents argue, is well motivated.) About 7 billion years later, we humans find ourselves here on earth, at least in the current cycle, experiencing the early stages of the accelerated phase. Then, for roughly the next trillion years, not much new happens beyond our three-brane's continued accelerated expansion. That's long enough for our three-dimensional space to have stretched by such a colossal factor that matter and radiation are diluted almost completely away, leaving the braneworld looking almost completely empty and completely uniform: Stage 4.
+
+Figure 13.8 Various stages in the cyclic braneworld cosmological model.
+  By this point, our three-brane has completed its rebound from the initial collision and has started to approach the second three-brane once again. As we get closer and closer to another collision, quantum jitters of the strings attached to our brane overlie its uniform emptiness with tiny ripples, Stage 5. As we continue to pick up speed, the ripples continue to grow; then, in a cataclysmic collision, we smack into the second three-brane, we bounce off, and the cycle starts anew. The quantum ripples imprint tiny inhomogeneities in the radiation and matter produced during the collision and, much as in the inflationary scenario, these deviations from perfect uniformity grow into clumps that ultimately generate stars and galaxies.
+  These are the major stages in the cyclic model (also known tenderly as the big splat). Its premise-colliding braneworlds-is very different from that of the successful inflationary theory, but there are, nevertheless, significant points of contact between the two approaches. That both rely on quantum agitation to generate initial nonuniformities is one essential similarity. In fact, Steinhardt and Turok argue that the equations governing the quantum ripples in the cyclic model are nearly identical to those in the inflationary picture, so the resulting nonuniformities predicted by the two theories are nearly identical as well.11 Moreover, while there isn't an inflationary burst in the cyclic model, there is a trillion-year period (beginning at Stage 3) of milder accelerated expansion. But it's really just a matter of haste versus patience; what the inflationary model accomplishes in a flash, the cyclic model accomplishes in a comparative eternity. Since the collision in the cyclic model is not the beginning of the universe, there is the luxury of slowly resolving cosmological issues (like the flatness and horizon problems) during the final trillion years of each previous cycle. Eons of gentle but steady accelerated expansion at the end of each cycle stretch our three-brane nice and flat, and, except for tiny but important quantum fluctuations, make it thoroughly uniform. And so the long, final stage of each cycle, followed by the splat at the beginning of the next cycle, yields an environment very close to that produced by the short surge of expansion in the inflationary approach.
+A Brief Assessment
+At their present levels of development, both the inflationary and the cyclic models provide insightful cosmological frameworks, but neither offers a complete theory. Ignorance of the prevailing conditions during the universe's earliest moments forces proponents of inflationary cosmology to simply assume, without theoretical justification, that the conditions required for initiating inflation arose. If they did, the theory resolves numerous cosmological conundrums and launches time's arrow. But such successes hinge on inflation's happening in the first place. What's more, inflationary cosmology has not been seamlessly embedded within string theory and so is not yet part of a consistent merger of quantum mechanics and general relativity.
+  The cyclic model has its own share of shortcomings. As with Tolman's model, consideration of entropy buildup (and also of quantum mechanics12) ensures that the cyclic model's cycles could not have gone on forever. Instead, the cycles began at some definite time in the past, and so, as with inflation, we need an explanation of how the first cycle got started. If it did, then the theory, also like inflation, resolves the key cosmological problems and sets time's arrow pointing from each low-entropy splat forward through the ensuing stages of Figure 13.8. But, as it's currently conceived, the cyclic model offers no explanation of how or why the universe finds itself in the necessary configuration of Figure 13.8. Why, for instance, do six dimensions curl themselves up into a particular Calabi-Yau shape while one of the extra dimensions dutifully takes the shape of a spatial segment separating two three-branes? How is it that the two end-of-the -world three-branes line up so perfectly and attract each other with just the right force so that the stages in Figure 13.8 proceed as we've described? And, of critical importance, what actually happens when the two three-branes collide in the cyclic model's version of a bang?
+  On this last question, there is hope that the cyclic model's splat is less problematic than the singularity encountered at time zero in inflationary cosmology. Instead of all of space being infinitely compressed, in the cyclic approach only the single dimension between the branes gets squeezed down; the branes themselves experience overall expansion, not contraction, during each cycle. And this, Steinhardt, Turok, and their collaborators have argued, implies finite temperature and finite densities on the branes themselves. But this is a highly tentative conclusion because, so far, no one has been able to get the better of the equations and figure out what would happen should branes slam together. In fact, the analyses so far completed point toward the splat being subject to the same problem that afflicts the inflationary theory at time zero: the mathematics breaks down. Thus, cosmology is still in need of a rigorous resolution of its singular start-be it the true start of the universe, or the start of our current cycle.
+  The most compelling feature of the cyclic model is the way it incorporates dark energy and the observed accelerated expansion. In 1998, when it was discovered that the universe is undergoing accelerated expansion, it was quite a surprise to most physicists and astronomers. While it can be incorporated into the inflationary cosmological picture by assuming that the universe contains precisely the right amount of dark energy, accelerated expansion seems like a clumsy add-on. In the cyclic model, by contrast, dark energy's role is natural and pivotal. The trillion-year period of slow but steadily accelerated expansion is crucial for wiping the slate clean, for diluting the observable universe to near nothingness, and for resetting conditions in preparation for the next cycle. From this point of view, both the inflationary model and the cyclic model rely on accelerated expansion-the inflationary model near its beginning and the cyclic model at the end of each of its cycles-but only the latter has direct observational support. (Remember, the cyclic approach is designed so that we are just entering the trillion-year phase of accelerated expansion, and such expansion has been recently observed.) That's a tick in the cyclic model's column, but it also means that should accelerated expansion fail to be confirmed by future observations, the inflationary model could survive (although the puzzle of the missing 70 percent of the universe's energy budget would emerge anew) but the cyclic model could not.
+New Visions of Spacetime
+The braneworld scenario and the cyclic cosmological model it spawned are both highly speculative. I have discussed them here not so much because I feel certain that they are correct, as because I want to illustrate the striking new ways of thinking about the space we inhabit and the evolution it has experienced that have been inspired by string/M-theory. If we are living within a three-brane, the centuries-old question regarding the corporeality of three-dimensional space would have its most definite answer: space would be a brane, and hence would most definitely be a something. It might also not be anything particularly special as there could be many other branes, of various dimensions, floating within string/M-theory's higher dimensional expanse. And if cosmological evolution on our three-brane is driven by repeated collisions with a nearby brane, time as we know it would span only one of the universe's many cycles, with one big bang followed by another, and then another.
+  To me, it's a vision that's both exciting and humbling. There may be much more to space and time than we anticipated; if there is, what we consider to be "everything" may be but a small constituent of a far richer reality.
+V
+REALITY AND IMAGINATION
+14
+Up in the Heavens and Down in the Earth
+EXPERIMENTING WITH SPACE AND TIME
+We've come a long way since Empedocles of Agrigento explained the universe using earth, air, fire, and water. And much of the progress we've made, from Newton through the revolutionary discoveries of the twentieth century, has been borne out spectacularly by experimental confirmation of detailed and precise theoretical predictions. But since the mid-1980s, we've been the victims of our own success. With the incessant urge to push the limits of understanding ever further, our theories have entered realms beyond the reach of our current technology.
+  Nevertheless, with diligence and luck, many forefront ideas will be tested during the next few decades. As we'll discuss in this chapter, experiments either planned or under way have the potential to give much insight into the existence of extra dimensions, the composition of dark matter and dark energy, the origin of mass and the Higgs ocean, aspects of early-universe cosmology, the relevance of supersymmetry, and, possibly, the veracity of string theory itself. And so, with a fair bit more luck, some imaginative and innovative ideas regarding unification, the nature of space and time, and our cosmic origins may finally be tested.
+Einstein in Drag
+In his decade-long struggle to formulate the general theory of relativity, Einstein sought inspiration from a variety of sources. Most influential of all were insights into the mathematics of curved shapes developed in the nineteenth century by mathematical luminaries including Carl Friedrich Gauss, János Bolyai, Nikolai Lobachevsky, and Georg Bernhard Riemann. As we discussed in Chapter 3, Einstein was also inspired by the ideas of Ernst Mach. Remember that Mach advocated a relational conception of space: for him, space provided the language for specifying the location of one object relative to another but was not itself an independent entity. Initially, Einstein was an enthusiastic champion of Mach's perspective, because it was the most relative that a theory espousing relativity could be. But as Einstein's understanding of general relativity deepened, he realized that it did not incorporate Mach's ideas fully. According to general relativity, the water in Newton's bucket, spinning in an otherwise empty universe, would take on a concave shape, and this conflicts with Mach's purely relational perspective, since it implies an absolute notion of acceleration. Even so, general relativity does incorporate some aspects of Mach's viewpoint, and within the next few years a more than $500 million experiment that has been in development for close to forty years will test one of the most prominent Machian features.
+  The physics to be studied has been known since 1918, when the Austrian researchers Joseph Lense and Hans Thirring used general relativity to show that just as a massive object warps space and time-like a bowling ball resting on a trampoline-so a rotating object drags space (and time) around it, like a spinning stone immersed in a bucket of syrup. This is known as frame dragging and implies, for example, that an asteroid freely falling toward a rapidly rotating neutron star or black hole will get caught up in a whirlpool of spinning space and be whipped around as it journeys downward. The effect is called frame dragging because from the point of view of the asteroid-from its frame of reference-it isn't being whipped around at all. Instead, it's falling straight down along the spatial grid, but because space is swirling (as in Figure 14.1) the grid gets twisted, so the meaning of "straight down" differs from what you'd expect based on a distant, nonswirling perspective.
+  To see the connection to Mach, think about a version of frame dragging in which the massive rotating object is a huge, hollow sphere. Calculations initiated in 1912 by Einstein (even before he completed general relativity), which were significantly extended in 1965 by Dieter Brill and Jeffrey Cohen, and finally completed in 1985 by the German physicists Herbert Pfister and K. Braun, showed that space inside the hollow sphere would be dragged by the rotational motion and set into a whirlpool-like spin.1 If a stationary bucket filled with water-stationary as viewed from a distant vantage point-were placed inside such a rotating sphere, the calculations show that the spinning space would exert a force on the stationary water, causing it to rise up the bucket walls and take on a concave shape.
+  
+
+Figure 14.1 A massive spinning object drags space-the freely falling frames-around with it.
+  This result would have pleased Mach no end. Although he might not have liked the description in terms of "spinning space"-since this phrase portrays spacetime as a something-he would have found it extremely gratifying that relative spinning motion between the sphere and the bucket causes the water's shape to change. In fact, for a shell that contains enough mass, an amount on a par with that contained in the entire universe, the calculations show that it doesn't matter one bit whether you think the hollow sphere is spinning around the bucket, or the bucket is spinning within the hollow sphere. Just as Mach advocated, the only thing that matters is the relative spinning motion between the two. And since the calculations I've referred to make use of nothing but general relativity, this is an explicit example of a distinctly Machian feature of Einstein's theory. (Nevertheless, whereas standard Machian reasoning would claim that the water would stay flat if the bucket spun in an infinite, empty universe, general relativity disagrees. What the Pfister and Braun results show is that a sufficiently massive rotating sphere is able to completely block the usual influence of the space that lies beyond the sphere itself.)
+  In 1960, Leonard Schiff of Stanford University and George Pugh of the U.S. Department of Defense independently suggested that general relativity's prediction of frame dragging might be experimentally tested using the rotational motion of the earth. Schiff and Pugh realized that according to Newtonian physics, a spinning gyroscope-a spinning wheel that's attached to an axis-floating in orbit high above the earth's surface would point in a fixed and unchanging direction. But, according to general relativity, its axis would rotate ever so slightly because of the earth's dragging of space. Since the earth's mass is puny in comparison with the hypothetical hollow sphere used in the Pfister and Braun calculation above, the degree of frame dragging caused by the earth's rotation is tiny. The detailed calculations showed that if the gyroscope's spin axis were initially directed toward a chosen reference star, a year later, slowly swirling space would shift the direction of its axis by about a hundred-thousandth of a degree. That's the angle the second hand on a clock sweeps through in roughly two millionths of a second, so its detection presents a major scientific, technological, and engineering challenge.
+  Four decades of development and nearly a hundred doctoral dissertations later, a Stanford team led by Francis Everitt and funded by NASA is ready to give the experiment a go. During the next few years, their Gravity Probe B satellite, floating 400 miles out in space and outfitted with four of the most stable gyroscopes ever built, will attempt to measure frame dragging caused by the earth's rotation. If the experiment is successful, it will be one of the most precise confirmations of general relativity ever achieved, and will provide the first direct evidence of a Machian effect.2 Equally exciting is the possibility that the experiments will detect a deviation from what general relativity predicts. Such a tiny crack in general relativity's foundation might be just what we need to gain an experimental glimpse into hitherto hidden features of spacetime.
+Catching the Wave
+An essential lesson of general relativity is that mass and energy cause the fabric of spacetime to warp; we illustrated this in Figure 3.10 by showing the curved environment surrounding the sun. One limitation of a still figure, though, is that it fails to illustrate how the warps and curves in space evolve when mass and energy move or in some way change their configuration.3 General relativity predicts that, just as a trampoline assumes a fixed, warped shape if you stand perfectly still, but heaves when you jump up and down, space can assume a fixed, warped shape if matter is perfectly still, as assumed in Figure 3.10, but ripples undulate through its fabric when matter moves to and fro. Einstein came to this realization between 1916 and 1918, when he used the newly fashioned equations of general relativity to show that-much as electric charges racing up and down a broadcast antenna produce electromagnetic waves (this is how radio and television waves are produced)-matter racing this way and that (as in a supernova explosion) produces gravitational waves. And since gravity is curvature, a gravitational wave is a wave of curvature. Just as tossing a pebble into a pond generates outward-spreading water ripples, gyrating matter generates outward-spreading spatial ripples; according to general relativity, a distant supernova explosion is like a cosmic pebble that's been tossed into a spacetime pond, as illustrated in Figure 14.2. The figure highlights an important distinguishing feature of gravitational waves: unlike electromagnetic, sound, and water waves-waves that travel through space-gravitational waves travel within space. They are traveling distortions in the geometry of space itself.
+  While gravitational waves are now an accepted prediction of general relativity, for many years the subject was mired in confusion and controversy, at least in part because of overadherence to Machian philosophy. If general relativity fully incorporated Mach's ideas, then the "geometry of space" would merely be a convenient language for expressing the location and motion of one massive object with respect to another. Empty space, in this way of thinking, would be an empty concept, so how could it be sensible to speak of empty space wiggling? Many physicists tried to prove that the supposed waves in space amounted to a misinterpretation of the mathematics of general relativity. But in due course, the theoretical analyses converged on the correct conclusion: gravitational waves are real, and space can ripple.
+
+Figure 14.2 Gravitational waves are ripples in the fabric of spacetime.
+  With every passing peak and trough, a gravitational wave's distorted geometry would stretch space-and everything in it-in one direction, and then compress space-and everything in it-in a perpendicular direction, as in the highly exaggerated depiction in Figure 14.3. In principle, you could detect a gravitational wave's passing by repeatedly measuring distances between a variety of locations and finding that the ratios between these distances had momentarily changed.
+  In practice, no one has been able to do this, so no one has directly detected a gravitational wave. (However, there is compelling, indirect evidence for gravitational waves.4) The difficulty is that the distorting influence of a passing gravitational wave is typically minute. The atomic bomb tested at Trinity on July 16, 1945, packed a punch equivalent to 20,000 tons of TNT and was so bright that witnesses miles away had to wear eye protection to avoid serious damage from the electromagnetic waves it generated. Yet, even if you were standing right under the hundred-foot steel tower on which the bomb was hoisted, the gravitational waves its explosion produced would have stretched your body one way or another only by a minuscule fraction of an atomic diameter. That's how comparatively feeble gravitational disturbances are, and it gives an inkling of the technological challenges involved in detecting them. (Since a gravitational wave can also be thought of as a huge number of gravitons traveling in a coordinated manner-just as an electromagnetic wave is composed of a huge number of coordinated photons-this also gives an inkling of how difficult it is to detect a single graviton.)
+
+Figure 14.3 A passing gravitational wave stretches an object one way and then the other. (In this image, the scale of distortion for a typical gravitational wave is hugely exaggerated.)
+  Of course, we're not particularly interested in detecting gravitational waves produced by nuclear weapons, but the situation with astrophysical sources is not much easier. The closer and more massive the astrophysical source and the more energetic and violent the motion involved, the stronger the gravitational waves we would receive. But even if a star at a distance of 10,000 light-years were to go supernova, as the resulting gravitational wave passed by earth it would stretch a one-meter-long rod by only a millionth of a billionth of a centimeter, barely a hundredth the size of an atomic nucleus. So, unless some highly unexpected astrophysical event of truly cataclysmic proportions were to happen relatively nearby, detecting a gravitational wave will require an apparatus capable of responding to fantastically small length changes.
+  The scientists who designed and built the Laser Interferometer GravitationalWave Observatory (LIGO) (being run jointly by the California Institute of Technology and the Massachusetts Institute of Technology and funded by the National Science Foundation) have risen to the challenge. LIGO is impressive and the expected sensitivity is astounding. It consists of two hollow tubes, each four kilometers long and a bit over a meter wide, which are arranged in a giant L. Laser light simultaneously shot down vacuum tunnels inside each tube, and reflected back by highly polished mirrors, is used to measure the relative length of each to fantastic accuracy. The idea is that should a gravitational wave roll by, it will stretch one tube relative to the other, and if the stretching is big enough, scientists will be able to detect it.
+  The tubes are long because the stretching and compressing accomplished by a gravitational wave is cumulative. If a gravitational wave were to stretch something four meters long by, say, 10−20 meters, it would stretch something four kilometers long by a thousand times as much, 10 −17 meters. So, the longer the span being monitored, the easier it is to detect a change in its length. To capitalize on this, the LIGO experimenters actually direct the laser beams to bounce back and forth between mirrors at opposite ends of each tube more than a hundred times on each run, increasing the roundtrip distance being monitored to about 800 kilometers per beam. With such clever tricks and engineering feats, LIGO should be able to detect any change in the tube lengths that exceeds a trillionth of the thickness of a human hair-a hundred millionth the size of an atom.
+  Oh, and there are actually two of these L-shaped devices. One is in Livingston, Louisiana, and the other is about 2,000 miles away in Hanford, Washington. If a gravity wave from some distant astrophysical hullabaloo rolls by earth, it should affect each detector identically, so any wave caught by one experiment had better also show up in the other. This is an important consistency check, since for all the precautions that have been taken to shield the detectors, the disturbances of everyday life (the rumble of a passing truck, the grinding of a chainsaw, the impact of a falling tree, and so on) could masquerade as gravitational waves. Requiring coincidence between distant detectors serves to rule out these false positives.
+  Researchers have also carefully calculated the gravitational wave frequencies-the number of peaks and troughs that should pass by their detector each second-that they expect to be produced by a range of astrophysical phenomena including supernova explosions, the rotational motion of nonspherical neutron stars, and collisions between black holes. Without this information the experimenters would be looking for a needle in a haystack; with it, they can focus the detectors on a sharply defined frequency band of physical interest. Curiously, the calculations reveal that some gravitational wave frequencies should be in the range of a few thousand cycles per second; if these were sound waves, they'd be right in the range of human audibility. Coalescing neutron stars would sound like a chirp with a rapidly rising pitch, while a pair of colliding black holes would mimic the trill of a sparrow that's received a sharp blow to the chest. There's a junglelike cacophony of gravitational waves oscillating through the spacetime fabric, and if all goes according to plan, LIGO will be the first instrument to tune in.5
+  What makes this all so exciting is that gravitational waves maximize the utility of gravity's two main features: its weakness and its ubiquity. Of all four forces, gravity interacts with matter most feebly. This implies that gravitational waves can pass through material that's opaque to light, giving access to astrophysical realms previously hidden. What's more, because everything is subject to gravity (whereas, for example, the electromagnetic force only affects objects carrying an electric charge), everything has the capacity to generate gravitational waves and hence produce an observable signature. LIGO thereby marks a significant turning point in the way we examine the cosmos.
+  There was a time when all we could do was raise our eyes and gaze skyward. In the seventeenth century, Hans Lippershey and Galileo Galilei changed that; with the aid of the telescope, the grand vista of the cosmos came within humanity's purview. But in time, we realized that visible light represented a narrow band of electromagnetic waves. In the twentieth century, with the aid of infrared, radio, X-ray, and gamma ray telescopes, the cosmos opened up to us anew, revealing wonders invisible in the wavelengths of light that our eyes have evolved to see. Now, in the twenty-first century, we are opening up the heavens once again. With LIGO and its subsequent improvements,39 we will view the cosmos in a completely new way. Rather than using electromagnetic waves, we will use gravitational waves; rather than using the electromagnetic force, we will use the gravitational force.
+  To appreciate how revolutionary this new technology may be, imagine a world on which alien scientists were just now discovering how to detect electromagnetic waves-light-and think about how their view of the universe would, in short order, profoundly change. We are on the cusp of our first detection of gravitational waves and so may well be in a similar position. For millennia we have looked into the cosmos; now it's as if, for the first time in human history, we will listen to it.
+The Hunt for Extra Dimensions
+Before 1996, most theoretical models that incorporated extra dimensions imagined that their spatial extent was roughly Planckian (10−33 centimeters). As this is seventeen orders of magnitude smaller than anything resolvable using currently available equipment, without the discovery of miraculous new technology Planckian physics will remain out of reach. But if the extra dimensions are "large," meaning larger than a hundredth of a billionth of a billionth (10−20 ) of a meter, about a millionth the size of an atomic nucleus, there is hope.
+  As we discussed in Chapter 13, if any of the extra dimensions are "very large"-within a few orders of magnitude of a millimeter-precision measurements of gravity's strength should reveal their existence. Such experiments have been under way for a few years and the techniques are being rapidly refined. So far, no deviations from the inverse square law characteristic of three space dimensions have been found, so researchers are pressing on to smaller distances. A positive signal would, to say the least, rock the foundations of physics. It would provide compelling evidence of extra dimensions accessible only to gravity, and that would give strong circumstantial support for the braneworld scenario of string/M-THEORY.
+  If the extra dimensions are large but not very large, precision gravity experiments will be unlikely to detect them, but other indirect approaches remain available. For example, we mentioned earlier that large extra dimensions would imply that gravity's intrinsic strength is greater than previously thought. The observed weakness of gravity would be attributed to its leaking out into the extra dimensions, not to its being fundamentally feeble; on short distance scales, before such leakage occurs, gravity would be strong. Among other implications, this means that the creation of tiny black holes would require far less mass and energy than it would in a universe in which gravity is intrinsically far weaker. In Chapter 13, we discussed the possibility that such microscopic black holes might be produced by high-energy proton-proton collisions at the Large Hadron Collider, the particle accelerator now under construction in Geneva, Switzerland, and slated for completion by 2007. That is an exciting prospect. But there is another tantalizing possibility that was raised by Alfred Shapere, of the University of Kentucky, and Jonathan Feng, of the University of California at Irvine. These researchers noted that cosmic rays-elementary particles that stream through space and continually bombard our atmosphere-might also initiate production of microscopic black holes.
+  Cosmic ray particles were discovered in 1912 by the Austrian scientist Victor Hess; more than nine decades later, they still present many mysteries. Every second, cosmic rays slam into the atmosphere and initiate a cascade of billions of downward-raining particles that pass through your body and mine; some of them are detected by a variety of dedicated instruments worldwide. But no one is completely sure what kinds of particles constitute the impinging cosmic rays (although there is a growing consensus that they are protons), and despite the fact that some of these high-energy particles are believed to come from supernova explosions, no one has any idea of where the highest-energy cosmic ray particles originate. For example, on October 15, 1991, the Fly's Eye cosmic ray detector, in the Utah desert, measured a particle streaking across the sky with an energy equivalent to 30 billion proton masses. That's almost as much energy in a single subatomic particle as in a Mariano Rivera fastball, and is about 100 million times the size of the particle energies that will be produced by the Large Hadron Collider.6 The puzzling thing is that no known astrophysical process could produce particles with such high energy; experimenters are gathering more data with more sensitive detectors in hopes of solving the mystery.
+  For Shapere and Feng, the origin of super-energetic cosmic ray particles was of secondary concern. They realized that regardless of where such particles come from, if gravity on microscopic scales is far stronger than formerly thought, the highest-energy cosmic ray particles might have just enough oomph to create tiny black holes when they violently slam into the upper atmosphere.
+  As with their production in atom smashers, such tiny black holes would pose absolutely no danger to the experimenters or the world at large. After their creation, they would quickly disintegrate, sending off a characteristic cascade of other, more ordinary particles. In fact, the microscopic black holes would be so short-lived that experimenters would not search for them directly; instead, they would look for evidence of black holes through detailed studies of the resulting particle showers raining down on their detectors. The most sensitive of the world's cosmic ray detectors, the Pierre Auger Observatory-with an observing area the size of Rhode Island-is now being built on a vast stretch of land in western Argentina. Shapere and Feng estimate that if all of the extra dimensions are as large as 10 −14 meters, then after a year's worth of data collection, the Auger detector will see the characteristic particle debris from about a dozen tiny black holes produced in the upper atmosphere. If such black hole signatures are not found, the experiment will conclude that extra dimensions are smaller. Finding the remains of black holes produced in cosmic ray collisions is certainly a long shot, but success would open the first experimental window on extra dimensions, black holes, string theory, and quantum gravity.
+  Beyond black hole production, there is another, accelerator-based way that researchers will be looking for extra dimensions during the next decade. The idea is a sophisticated variant on the "space-between-the-cushions" explanation for the loose coins missing from your pocket.
+  A central principle of physics is conservation of energy. Energy can manifest itself in many forms-the kinetic energy of a ball's motion as it flies off a baseball bat, gravitational potential energy as the ball flies upward, sound and heat energy when the ball hits the ground and excites all sorts of vibrational motion, the mass energy that's locked inside the ball itself, and so on-but when all carriers of energy have been accounted for, the amount with which you end always equals the amount with which you began.7 To date, no experiment contradicts this law of perfect energy balance.
+  But depending on the precise size of the hypothesized extra dimensions, high-energy experiments to be carried out at the newly upgraded facility at Fermilab and at the Large Hadron Collider may reveal processes that appear to violate energy conservation: the energy at the end of a collision may be less than the energy at the beginning. The reason is that, much like your missing coins, energy (carried by gravitons) can seep into the cracks-the tiny additional space-provided by the extra dimensions and hence be inadvertently overlooked in the energy accounting calculation. The possibility of such a "missing energy signal" provides yet another means for establishing that the fabric of the cosmos has complexity well beyond what we can see directly.
+  No doubt, when it comes to extra dimensions, I'm biased. I've worked on aspects of extra dimensions for more than fifteen years, so they hold a special place in my heart. But, with that confession as a qualifier, it's hard for me to imagine a discovery that would be more exciting than finding evidence for dimensions beyond the three with which we're all familiar. To my mind, there is currently no other serious proposal whose confirmation would so thoroughly shake the foundation of physics and so thoroughly establish that we must be willing to question basic, seemingly self-evident, elements of reality.
+The Higgs, Supersymmetry, and String Theory
+Beyond the scientific challenges of searching into the unknown, and the chance of finding evidence of extra dimensions, there are a couple of specific motivations for recent upgrades on the accelerator at Fermilab and for building the mammoth Large Hadron Collider. One is to find Higgs particles. As we discussed in Chapter 9, the elusive Higgs particles would be the smallest constituents of a Higgs field-a field, physicists hypothesize, that forms the Higgs ocean and thereby gives mass to the other fundamental particle species. Current theoretical and experimental studies suggest that the Higgs should have a mass in the range of a hundred to a thousand times the mass of the proton. If the lower end of this range turns out to be right, Fermilab stands a reasonably good chance of discovering a Higgs particle in the near future. And certainly, if Fermilab fails and if the estimated mass range is nonetheless correct, the Large Hadron Collider should produce Higgs particles galore by the end of the decade. The detection of Higgs particles would be a major milestone, as it would confirm the existence of a species of field that theoretical particle physicists and cosmologists have invoked for decades, without any supporting experimental evidence.
+  Another major goal of both Fermilab and the Large Hadron Collider is to detect evidence of supersymmetry. Recall from Chapter 12 that supersymmetry pairs particles whose spins differ by half a unit and is an idea that originally arose from studies of string theory in the early 1970s. If supersymmetry is relevant to the real world, then for every known particle species with spin-1⁄2 there should be a partner species with spin-0; for every known particle species of spin-1, there should be a partner species with spin-1⁄2. For example, for the spin-1⁄2 electron there should be a spin-0 species called the supersymmetric electron, or selectron for short; for the spin-1⁄2 quarks there should be supersymmetric quarks, or squarks; for spin1⁄2 neutrinos there should be spin-0 sneutrinos; for spin-1 gluons, photons, and W and Z particles there should be spin-1⁄2 gluinos, photinos, and winos and zinos. (Yes, physicists get carried away.)
+  No one has ever detected any of these purported doppelgängers, and the explanation, physicists hope with fingers crossed, is that the supersymmetric particles are substantially heavier than their known counterparts. Theoretical considerations suggest that the supersymmetric particles could be a thousand times as massive as a proton, and in that case their failure to appear in experimental data wouldn't be mysterious: existing atom smashers don't have adequate power to produce them. In the coming decade this will change. Already, the newly upgraded accelerator at Fermilab has a shot at discovering some supersymmetric particles. And, as with the Higgs, should Fermilab fail to find evidence of supersymmetry and if the expected mass range of the supersymmetric particles is fairly accurate, the Large Hadron Collider should produce them with ease.
+  The confirmation of supersymmetry would be the most important development in elementary particle physics in more than two decades. It would establish the next step in our understanding beyond the successful standard model of particle physics and would provide circumstantial evidence that string theory is on the right track. But note that it wouldn't prove string theory itself. Even though supersymmetry was discovered in the course of developing string theory, physicists have long since realized that supersymmetry is a more general principle that can easily be incorporated in traditional point-particle approaches. Confirmation of supersymmetry would establish a vital element of the string framework and would guide much subsequent research, but it wouldn't be string theory's smoking gun.
+  On the other hand, if the braneworld scenario is correct, upcoming accelerator experiments do have the potential of confirming string theory. As mentioned briefly in Chapter 13, should the extra dimensions in the braneworld scenario be as large as 10−16 centimeters, not only would gravity be intrinsically stronger than previously thought, but strings would be significantly longer as well. Since longer strings are less stiff, they require less energy to vibrate. Whereas in the conventional string framework, string vibrational patterns would have energies that are more than a million billion times beyond our experimental reach, in the braneworld scenario the energies of string vibrational patterns could be as low as a thousand times the proton's mass. Should this be the case, high-energy collisions at the Large Hadron Collider will be akin to a well-hit golf ball ricocheting around the inside of a piano; the collisions will have enough energy to excite many "octaves" of string vibrational patterns. Experimenters would detect a panoply of new, never before seen particles- new, never before seen string vibrational patterns, that is-whose energies would correspond to the harmonic resonances of string theory.
+  The properties of these particles and the relationships between them would show unmistakably that they're all part of the same cosmic score, that they're all different but related notes, that they're all distinct vibrational patterns of a single kind of object-a string. For the foreseeable future, this is the most likely scenario for a direct confirmation of string theory.
+Cosmic Origins
+As we saw in earlier chapters, the cosmic microwave background radiation has played a dominant role in cosmological research since its discovery in the mid-1960s. The reason is clear: in the early stages of the universe, space was filled with a bath of electrically charged particles-electrons and protons-which, through the electromagnetic force, incessantly buffeted photons this way and that. But by a mere 300,000 years after the bang (ATB), the universe cooled off just enough for electrons and protons to combine into electrically neutral atoms-and from this moment onward, the radiation has traveled throughout space, mostly undisturbed, providing a sharp snapshot of the early universe. There are roughly 400 million of these primordial cosmic microwave photons streaming through every cubic meter of space, pristine relics of the early universe.
+  Initial measurements of the microwave background radiation revealed its temperature to be remarkably uniform, but as we discussed in Chapter 11, closer inspection, first achieved in 1992 by the Cosmic Background Explorer (COBE) and since improved by a number of observational undertakings, found evidence of small temperature variations, as illustrated in Figure 14.4a. The data are gray-scale coded, with light and dark patches indicating temperature variations of about a few ten-thousandths of a degree. The figure's splotchiness shows the minute but undeniably real unevenness of the radiation's temperature across the sky.
+  While an impressive discovery in its own right, the COBE experiment also marked a fundamental change in the character of cosmological research. Before COBE, cosmological data were coarse. In turn, a cosmological theory was deemed viable if it could match the broad-brush features of astronomical observations. Theorists could propose scheme after scheme with only minimal consideration for satisfying observational constraints. There simply weren't many observational constraints, and the ones that existed weren't particularly precise. But COBE initiated a new era in which the standards have tightened considerably. There is now a growing body of precision data with which any theory must reckon successfully even to be considered. In 2001, the Wilkinson Microwave Anisotropy Probe (WMAP) satellite, a joint venture of NASA and Princeton University, was launched to measure the microwave background radiation with about forty times COBE's resolution and sensitivity. By comparing WMAP's initial results, Figure 14.4b, with COBE's, Figure 14.4a, you can immediately see how much finer and more detailed a picture WMAP is able to provide. Another satellite, Planck, which is being developed by the European Space Agency, is scheduled for launch in 2007, and if all goes according to plan, will better WMAP's resolution by a factor of ten.
+
+Figure 14.4 (a) Cosmic microwave background radiation data gathered by the COBE satellite. The radiation has been traveling through space unimpeded since about 300,000 years after the big bang, so this picture renders the tiny temperature variations present in the universe nearly 14 billion years ago. (b) Improved data collected by the WMAP satellite.
+  The influx of precision data has winnowed the field of cosmological proposals, with the inflationary model being, far and away, the leading contender. But as we mentioned in Chapter 10, inflationary cosmology is not a unique theory. Theorists have proposed many different versions (old inflation, new inflation, warm inflation, hybrid inflation, hyperinflation, assisted inflation, eternal inflation, extended inflation, chaotic inflation, double inflation, weak-scale inflation, hypernatural inflation, to name just a few), each involving the hallmark brief burst of rapid expansion, but all differing in detail (in the number of fields and their potential energy shapes, in which fields get perched on plateaus, and so on). These differences give rise to slightly different predictions for the properties of the microwave background radiation (different fields with different energies have slightly different quantum fluctuations). Comparison with the WMAP and Planck data should be able to rule out many proposals, substantially refining our understanding.
+  In fact, the data may be able to thin the field even further. Although quantum fluctuations stretched by inflationary expansion provide a compelling explanation for the observed temperature variations, this model has a competitor. The cyclic cosmological model of Steinhardt and Turok, described in Chapter 13, offers an alternative proposal. As the two three-branes of the cyclic model slowly head toward each other, quantum fluctuations cause different parts to approach at slightly different rates. When they finally slam together roughly a trillion years later, different locations on the branes will make contact at slightly different moments, rather as if two pieces of coarse sandpaper were being slapped together. The tiny deviations from a perfectly uniform impact yield tiny deviations from a perfectly uniform evolution across each brane. Since one of these branes is supposed to be our three-dimensional space, the deviations from uniformity are deviations we should be able to detect. Steinhardt, Turok, and their collaborators have argued that the inhomogeneities generate temperature deviations of the same form as those emerging from the inflationary framework, and hence, with today's data, the cyclic model offers an equally viable explanation of the observations.
+  However, the more refined data being gathered over the next decade may be able to distinguish between the two approaches. In the inflationary framework, not only are quantum fluctuations of the inflaton field stretched by the burst of exponential expansion, but tiny quantum ripples in the spatial fabric are also generated by the intense outward stretching. Since ripples in space are nothing but gravitational waves (as in our earlier discussion of LIGO), the inflationary framework predicts that gravitational waves were produced in the earliest moments of the universe.8 These are often called primordial gravitational waves, to distinguish them from those generated more recently by violent astrophysical events. In the cyclic model, by contrast, the deviation from perfect uniformity is built up gently, over the course of an almost unfathomable length of time, as the branes spend a trillion years slowly heading toward their next splat. The absence of a brisk and vigorous change in the geometry of the branes, and in the geometry of space, means that spatial ripples are not generated, so the cyclic model predicts an absence of primordial gravitational waves. Thus, if primordial cosmological gravitational waves should be detected, it will be yet another triumph for the inflationary framework and will definitively rule out the cyclic approach.
+  It is unlikely that LIGO will be sensitive enough to detect inflation's predicted gravitational waves, but it is possible that they will be observed indirectly either by Planck or by another satellite experiment called the Cosmic Microwave Background Polarization experiment (CMBPol) that is now being planned. Planck, and CMBPol in particular, will not focus solely on temperature variations of the microwave background radiation, but will also measure polarization, the average spin directions of the microwave photons detected. Through a chain of reasoning too involved to cover here, it turns out that gravitational waves from the bang would leave a distinct imprint on the polarization of the microwave background radiation, perhaps an imprint large enough to be measured.
+  So, within a decade, we may get sharp insight into whether the bang was really a splat, and whether the universe we're aware of is really a three-brane. In the golden age of cosmology, some of the wildest ideas may actually be testable.
+Dark Matter, Dark Energy, and the Future of the Universe
+In Chapter 10 we went through the strong theoretical and observational evidence indicating that a mere 5 percent of the universe's heft comes from the constituents found in familiar matter-protons and neutrons (electrons account for less than .05 percent of ordinary matter's mass)- while 25 percent comes from dark matter and 70 percent from dark energy. But there is still significant uncertainty regarding the detailed identity of all this dark stuff. A natural guess is that the dark matter is also composed of protons and neutrons, ones that somehow avoided clumping together to form light-emitting stars. But another theoretical consideration makes this possibility very unlikely.
+  Through detailed observations, astronomers have a clear knowledge of the average relative abundances of light elements-hydrogen, helium, deuterium, and lithium-that are scattered throughout the cosmos. To a high degree of accuracy, the abundances agree with theoretical calculations of the processes believed to have synthesized these nuclei during the first few minutes of the universe. This agreement is one of the great successes of modern theoretical cosmology. However, these calculations assume that the bulk of the dark matter is not composed of protons and neutrons; if, on cosmological scales, protons and neutrons were a dominant constituent, the cosmic recipe is thrown off and the calculations yield results that are ruled out by observations.
+  So, if not protons and neutrons, what constitutes the dark matter? As of today, no one knows, but there is no shortage of proposals. The candidates' names run the gamut from axions to zinos, and whoever finds the answer will surely pay a visit to Stockholm. That no one has yet detected a dark matter particle places significant constraints on any proposal. The reason is that dark matter is not only situated out in space; it is distributed throughout the universe and so is also wafting by us here on earth. According to many of the proposals, right now billions of dark matter particles are shooting through your body every second, so viable candidates are only those particles that can pass through bulky matter without leaving a significant trace.
+  Neutrinos are one possibility. Calculations estimate their relic abundance since they were produced in the big bang, at about 55 million per cubic meter of space, so if any one of the three neutrino species weighed about a hundredth of a millionth (10−8) as much as a proton, they would supply the dark matter. Although recent experiments have given strong evidence that neutrinos do have mass, according to current data they are too light to supply the dark matter; they fall short of the mark by a factor of more than a hundred.
+  Another promising proposal involves supersymmetric particles, especially the photino, the zino, and the higgsino (the partners of the photon, the Z, and the Higgs). These are the most standoffish of the supersymmetric particles-they could nonchalantly pass through the entire earth without the slightest effect on their motion-and hence could easily have escaped detection.9 From calculations of how many of these particles would have been produced in the big bang and survived until today, physicists estimate that they would need to have mass on the order of 100 to 1,000 times that of the proton to supply the dark matter. This is an intriguing number, because various studies of supersymmetric-particle models as well as of superstring theory have arrived at the same mass range for these particles, without any concern for dark matter or cosmology. This would be a puzzling and completely unexplained confluence, unless, of course, the dark matter is indeed composed of supersymmetric particles. Thus, the search for supersymmetric particles at the world's current and pending accelerators may also be viewed as searches for the heavily favored dark matter candidates.
+  More direct searches for the dark matter particles streaming through the earth have also been under way for some time, although these are extremely challenging experiments. Of the million or so dark matter particles that should be passing through an area the size of a quarter each second, at most one per day would leave any evidence in the specially designed equipment that various experimenters have built to detect them. To date, no confirmed detection of a dark matter particle has been achieved.10 With the prize still very much up in the air, researchers are pressing ahead with much intensity. It is quite possible that within the next few years, the identity of the dark matter will be settled.
+  Definitive confirmation that dark matter exists, and direct determination of its composition, would be a major advance. For the first time in history, we would learn something that is at once thoroughly basic and surprisingly elusive: the makeup of the vast majority of the universe's material content.
+  All the same, as we saw in Chapter 10, recent data suggest strongly that even with the identification of the dark matter, there would still be a significant plot twist in need of experimental vetting: the supernova observations that give evidence of an outward-pushing cosmological constant accounting for 70 percent of the total energy in the universe. As the most exciting and unexpected discovery of the last decade, the evidence for a cosmological constant-an energy that suffuses space-needs vigorous, airtight confirmation. A number of approaches are planned or already under way.
+  The microwave background experiments play an important role here as well. The size of the splotches in Figure 14.4-where, again, each splotch is a region of uniform temperature-reflects the overall shape of the spatial fabric. If space were shaped like a sphere, as in Figure 8.6a, the outward bloating would cause the splotches to be a bit bigger than they are in Figure 14.4b; if space were shaped like a saddle, as in Figure 8.6c, the inward shrinking would cause the splotches to be a bit smaller; and if space were flat, as in Figure 8.6b, the splotch size would be in between. The precision measurements initiated by COBE and since bettered by WMAP strongly support the proposition that space is flat. Not only does this match the theoretical expectations coming from inflationary models, but it also jibes perfectly with the supernova results. As we've seen, a spatially flat universe requires the total mass/energy density to equal the critical density. With ordinary and dark matter contributing about 30 percent and dark energy contributing about 70 percent, everything hangs together impressively.
+  A more direct confirmation of the supernova results is the goal of the SuperNova/Acceleration Probe (SNAP). Proposed by scientists at the Lawrence Berkeley Laboratory, SNAP would be a satellite-borne orbiting telescope with the capacity to observe and measure more than twenty times the number of supernovae studied so far. Not only would SNAP be able to confirm the earlier result that 70 percent of the universe is dark energy, but it should also be able to determine the nature of the dark energy more precisely.
+  You see, although I have described the dark energy as being a version of Einstein's cosmological constant-a constant, unchanging energy that pushes space to expand-there is a closely related but alternative possibility. Remember from our discussion of inflationary cosmology (and the jumping frog) that a field whose value is perched above its lowest energy configuration can act like a cosmological constant, driving an accelerated expansion of space, but will typically do so only for a short time. Sooner or later, the field will find its way to the bottom of its potential energy bowl, and the outward push will disappear. In inflationary cosmology, this happens in a tiny fraction of a second. But by introducing a new field and by carefully choosing its potential energy shape, physicists have found ways for the accelerated expansion to be far milder in its outward push but to last far longer-for the field to drive a comparatively slow and steady accelerated phase of spatial expansion that lasts not for a fraction of a second, but for billions of years, as the field slowly rolls to the lowest energy value. This raises the possibility that, right now, we may be experiencing an extremely gentle version of the inflationary burst believed to have happened during the universe's earliest moments.
+  The difference between a true cosmological constant and the latter possibility, known as quintessence, is of minimal importance today, but has a profound effect on the long-term future of the universe. A cosmological constant is constant-it provides a never-ending accelerated expansion, so the universe will expand ever more quickly and become ever more spread out, diluted, and barren. But quintessence provides accelerated expansion that at some point draws to a close, suggesting a far future less bleak and desolate than that following from accelerated expansion that's eternal. By measuring changes in the acceleration of space over long time spans (through observations of supernovae at various distances and hence at various times in the past), SNAP may be able to distinguish between the two possibilities. By determining whether the dark energy truly is a cosmological constant, SNAP will give insight into the long-term fate of the universe.
+Space, Time, and Speculation
+The journey to discover the nature of space and time has been long and filled with many surprises; no doubt it is still in its early stages. During the last few centuries, we've seen one breakthrough after another radically reshape our conceptions of space and time and reshape them again. The theoretical and experimental proposals we've covered in this book represent our generation's sculpting of these ideas, and will likely be a major part of our scientific legacy. In Chapter 16, we will discuss some of the most recent and speculative advances in an effort to cast light on what might be the next few steps of the journey. But first, in Chapter 15, we will speculate in a different direction.
+  While there is no set pattern to scientific discovery, history shows that deep understanding is often the first step toward technological control. Understanding of the electromagnetic force in the 1800s ultimately led to the telegraph, radio, and television. With that knowledge, in conjunction with subsequent understanding of quantum mechanics, we were able to develop computers, lasers, and electronic gadgets too numerous to mention. Understanding of the nuclear forces led to dangerous mastery over the most powerful weapons the world has ever known, and to the development of technologies that might one day meet all the world's energy needs with nothing but vats of salt water. Could our ever deepening understanding of space and time be the first step in a similar pattern of discovery and technological development? Will we one day be masters of space and time and do things that for now are only part of science fiction?
+  No one knows. But let's see how far we've gotten and what it might take to succeed.
+15
+Teleporters and Time Machines
+TRAVELING THROUGH SPACE AND TIME
+Perhaps I just lacked imagination back in the 1960s, but what really struck me as unbelievable was the computer on board the Enterprise. My grade-school sensibilities granted poetic license to warp drive and to a universe populated by aliens fluent in English. But a machine that could-on demand-immediately display a picture of any historical figure who ever lived, give technical specifications for any piece of equipment ever built, or provide access to any book ever written? That strained my ability to suspend disbelief. In the late 1960s, this preteen was certain that there'd never be a way to gather, store, and give ready access to such a wealth of information. And yet, less than half a century later, I can sit here in my kitchen with laptop, wireless Internet connection, and voice recognition software and play Kirk, thumbing through a vast storehouse of knowledge-from the pivotal to the puerile-without lifting a finger. True, the speed and efficiency of computers depicted in the twenty-third-century world of  Star Trek is still enviable, but it's easy to envisage that when that era arrives, our technology will have exceeded the imagined expectations.
+  This example is but one of many that have made a cliché of science fiction's ability to presage the future. But what of the most tantalizing of all plot devices-the one in which someone enters a chamber, flips a switch, and is transported to a faraway place or a different time? Is it possible we will one day break free from the meager spatial expanse and temporal epoch to which we have been so far confined and explore the farthest reaches of space and time? Or will this distinction between science fiction and reality remain forever sharply drawn? Having already been exposed to my childhood failure to anticipate the information revolution, you might question my ability to divine future technological breakthroughs. So, rather than speculating on the likelihood of what may be, in this chapter I'll describe how far we've actually gone, in both theory and practice, toward realizing teleporters and time machines, and what it would take to go further and attain control over space and time.
+Teleportation in a Quantum World
+In conventional science fiction depictions, a teleporter (or, in  Star Trek lingo, a transporter) scans an object to determine its detailed composition and sends the information to a distant location, where the object is reconstituted. Whether the object itself is "dematerialized," its atoms and molecules being sent along with the blueprint for putting them back together, or whether atoms and molecules located at the receiving end are used to build an exact replica of the object, varies from one fictional incarnation to another. As we'll see, the scientific approach to teleportation developed over the last decade is closer in spirit to the latter category, and this raises two essential questions. The first is a standard but thorny philosophical conundrum: When, if ever, should an exact replica be identified, called, considered, or treated as if it were the original? The second is the question of whether it's possible, even in principle, to examine an object and determine its composition with complete accuracy so that we can draw up a perfect blueprint with which to reconstitute it.
+  In a universe governed by the laws of classical physics, the answer to the second question would be yes. In principle, the attributes of every particle making up an object-each particle's identity, position, velocity, and so on-could be measured with total precision, transmitted to a distant location, and used as an instruction manual for recreating the object. Doing this for an object composed of more than just a handful of elementary particles would be laughably beyond reach, but in a classical universe, the obstacle would be complexity, not physics.
+  In a universe governed by the laws of quantum physics-our universe-the situation is far more subtle. We've learned that the act of measurement coaxes one of the myriad potential attributes of an object to snap out of the quantum haze and take on a definite value. When we observe a particle, for example, the definite features we see do not generally reflect the fuzzy quantum mixture of attributes it had a moment before we looked.1 Thus, if we want to replicate an object, we face a quantum Catch-22. To replicate we must observe, so we know what to replicate. But the act of observation causes change, so if we replicate what we see, we will not replicate what was there before we looked. This suggests that teleportation in a quantum universe is unattainable, not merely because of practical limitations arising from complexity, but because of fundamental limitations inherent in quantum physics. Nevertheless, as we'll see in the next section, in the early 1990s an international team of physicists found an ingenious way to circumvent this conclusion.
+  As for the first question, regarding the relationship between replica and original, quantum physics gives an answer that's both precise and encouraging. According to quantum mechanics, every electron in the universe is identical to every other, in that they all have exactly the same mass, exactly the same electric charge, exactly the same weak and strong nuclear force properties, and exactly the same total spin. Moreover, our well-tested quantum mechanical description says that these exhaust the attributes that an electron can possess; electrons are all identical with regard to these properties, and there are no other properties to consider. In the same sense, every up-quark is the same as every other, every down-quark is the same as every other, every photon is the same as every other, and so on for all other particle species. As recognized by quantum practitioners many decades ago, particles may be thought of as the smallest possible packets of a field (e.g., photons are the smallest packets of the electromagnetic field), and quantum physics shows that such smallest constituents of the same field are always identical. (Or, in the framework of string theory, particles of the same species have identical properties because they are identical vibrations of a single species of string.)
+  What can differ between two particles of the same species are the probabilities that they are located at various positions, the probabilities that their spins are pointing in particular directions, and the probabilities that they have particular velocities and energies. Or, as physicists say more succinctly, the two particles can be in different quantum states. But if two particles of the same species are in the same quantum state-except, possibly, for one particle having a high likelihood of being here while the other particle has a high likelihood of being over there-the laws of quantum mechanics ensure that they are indistinguishable, not just in practice but in principle. They are perfect twins. If someone were to exchange the particles' positions (more precisely, exchange the two particles' probabilities of being located at any given position), there'd be absolutely no way to tell.
+  Thus, if we imagine starting with a particle located here,40 and somehow put another particle of the same species into exactly the same quantum state (same probabilities for spin orientation, energy, and so on) at some distant location, the resulting particle would be indistinguishable from the original and the process would rightly be called quantum teleportation. Of course, were the original particle to survive the process intact, you might be tempted to call the process quantum cloning or, perhaps, quantum faxing. But as we'll see, the scientific realization of these ideas does not preserve the original particle-it is unavoidably modified during the teleportation process-so we won't be faced with this taxonomic dilemma.
+  A more pressing concern, and one that philosophers have considered closely in various forms, is whether what's true for an individual particle is true for an agglomeration. If you were able to teleport from one location to another every single particle that makes up your DeLorean, ensuring that the quantum state of each, including its relationship to all others, was reproduced with 100% fidelity, would you have succeeded in teleporting the vehicle? Although we have no empirical evidence to guide us, the theoretical case in support of having teleported the car is strong. Atomic and molecular arrangements determine how an object looks and feels, sounds and smells, and even tastes, so the resulting vehicle should be identical to the original DeLorean-bumps, nicks, squeaky left wing-door, musty smell from the family dog, all of it-and the car should take a sharp turn and respond to flooring the gas pedal exactly as the original did. The question of whether the vehicle actually is the original or, instead, is an exact duplicate, is of no concern. If you'd asked United Quantum Van Lines to ship your car by boat from New York to London but, unbeknownst to you, they teleported it in the manner described, you could never know the difference-even in principle.
+  But what if the moving company did the same to your cat, or, having sated your appetite for airplane gastronomy, what if you decided on teleportation for your own transatlantic travel? Would the cat or person who steps out of the receiving chamber be the same as the one who stepped into the teleporter? Personally, I think so. Again, since we have no relevant data, the best that I or anyone can do is speculate. But to my way of thinking, a living being whose constituent atoms and molecules are in exactly the same quantum state as mine is me. Even if the "original" me still existed after the "copy" had been made, I (we) would say without hesitation that each was me. We'd be of the same mind-literally-in asserting that neither would have priority over the other. Thoughts, memories, emotions, and judgments have a physical basis in the human body's atomic and molecular properties; an identical quantum state of these elementary constituents should entail an identical conscious being. As time went by, our experiences would cause us to differentiate, but I truly believe that henceforth there'd be two of me, not an original that was somehow "really" me and a copy that somehow wasn't.
+  In fact, I'm willing to be a bit looser. Our physical composition goes through numerous transformations all the time-some minor, some drastic-but we remain the same person. From the Häagen-Dazs that inundates the bloodstream with fat and sugar, to the MRI that flips the spin axes of various atomic nuclei in the brain, to heart transplants and liposuction, to the trillion atoms in the average human body that are replaced every millionth of a second, we undergo constant change, yet our personal identity remains unaffected. So, even if a teleported being did not match my physical state with perfect accuracy, it could very well be fully indistinguishable from me. In my book, it could very well be me.
+  Certainly, if you believe that there is more to life, and conscious life in particular, than its physical makeup, your standards for successful teleportation will be more stringent than mine. This tricky issue-to what extent is our personal identity tied to our physical being?-has been debated for years in a variety of guises without being answered to everyone's satisfaction. While I believe identity all resides in the physical, others disagree, and no one can claim to have the definitive answer.
+  But irrespective of your point of view on the hypothetical question of teleporting a living being, scientists have now established that, through the wonders of quantum mechanics, individual particles can be-and have been-teleported.
+  Let's see how.
+Quantum Entanglement and Quantum Teleportation
+In 1997, a group of physicists led by Anton Zeilinger, then at the University of Innsbruck, and another group led by A. Francesco De Martini at the University of Rome,2 each carried out the first successful teleportation of a single photon. In both experiments, an initial photon in a particular quantum state was teleported a short distance across a laboratory, but there is every reason to expect that the procedures would have worked equally well over any distance. Each group used a technique based on theoretical insights reported in 1993 by a team of physicists-Charles Bennett of IBM's Watson Research Center; Gilles Brassard, Claude Crepeau, and Richard Josza of the University of Montreal; the Israeli physicist Asher Peres; and William Wootters of Williams College-that rely on quantum entanglement (Chapter 4).
+  Remember, two entangled particles, say two photons, have a strange and intimate relationship. While each has only a certain probability of spinning one way or another, and while each, when measured, seems to "choose" randomly between the various possibilities, whatever "choice" one makes the other immediately makes too, regardless of their spatial separation. In Chapter 4, we explained that there is no way to use entangled particles to send a message from one location to another faster than the speed of light. If a succession of entangled photons were each measured at widely separated locations, the data collected at either detector would be a random sequence of results (with the overall frequency of spinning one way or another being consistent with the particles' probability waves). The entanglement would become evident only on comparing the two lists of results, and seeing, remarkably, that they were identical. But that comparison requires some kind of ordinary, slower-than-light-speed communication. And since before the comparison no trace of the entanglement could be detected, no faster than light-speed signal could be sent.
+  Nevertheless, even though entanglement can't be used for superluminal communication, one can't help feeling that long-distance correlations between particles are so bizarre that they've got to be useful for something extraordinary. In 1993, Bennett and his collaborators discovered one such possibility. They showed that quantum entanglement could be used for quantum teleportation. You might not be able to send a message at a speed greater than that of light, but if you'll settle for slower-than-light teleportation of a particle from here to there, entanglement's the ticket.
+  The reasoning behind this conclusion, while mathematically straightforward, is cunning and ingenious. Here's the flavor of how it goes.
+  Imagine I want to teleport a particular photon, one I'll call Photon A, from my home in New York to my friend Nicholas in London. For simplicity, let's see how I'd teleport the exact quantum state of the photon's spin-that is, how I'd ensure that Nicholas would acquire a photon whose probabilities of spinning one way or another were identical to Photon A's.
+  I can't just measure the spin of Photon A, call Nicholas, and have him manipulate a photon on his end so its spin matches my observation; the result I find would be affected by the observation I make, and so would not reflect the true state of Photon A before I looked. So what can I do? Well, according to Bennett and colleagues, the first step is to ensure that Nicholas and I each have one of two additional photons, let's call them Photons B and C, which are entangled. How we get these photons is not particularly important. Let's just assume that Nicholas and I are certain that even though we are on opposite sides of the Atlantic, if I were to measure Photon B's spin about any given axis, and he were to do the same for Photon C, we would find exactly the same result.
+  The next step, according to Bennett and coworkers, is not to directly measure Photon A-the photon I hope to teleport-since that turns out to be too drastic an intervention. Instead, I should measure a joint feature of Photon A and the entangled Photon B. For instance, quantum theory allows me to measure whether Photons A and B have the same spin about a vertical axis, without measuring their spins individually. Similarly, quantum theory allows me to measure whether Photons A and B have the same spin about a horizontal axis, without measuring their spins individually. With such a joint measurement, I do not learn Photon A's spin, but I do learn how Photon A's spin is related to Photon B's. And that's important information.
+  The distant Photon C is entangled with Photon B, so if I know how Photon A is related to Photon B, I can deduce how Photon A is related to Photon C. If I now phone this information to Nicholas, communicating how Photon A is spinning relative to his Photon C, he can determine how Photon C must be manipulated so that its quantum state will match Photon A's. Once he carries out the necessary manipulation, the quantum state of the photon in his possession will be identical to that of Photon A, and that's all we need to declare that Photon A has been successfully teleported. In the simplest case, for example, should my measurement reveal that Photon B's spin is identical to Photon A's, we would conclude that Photon C's spin is also identical to Photon A's, and without further ado, the teleportation would be complete. Photon C would be in the same quantum state as Photon A, as desired.
+  Well, almost. That's the rough idea, but to explain quantum teleportation in manageable steps, I've so far left out an absolutely crucial element of the story, one I'll now fill in. When I carry out the joint measurement on Photons A and B, I do indeed learn how the spin of Photon A is related to that of Photon B. But, as with all observations, the measurement itself affects the photons. Therefore, I do not learn how Photon A's spin was related to Photon B's before the measurement. Instead, I learn how they are related after they've both been disrupted by the act of measurement. So, at first sight, we seem to face the same quantum obstacle to replicating Photon A that I described at the outset: the unavoidable disruption caused by the measurement process. That's where Photon C comes to the rescue. Because Photons B and C are entangled, the disruption I cause to Photon B in New York will also be reflected in the state of Photon C in London. That is the wondrous nature of quantum entanglement, as elaborated in Chapter 4. In fact, Bennett and his collaborators showed mathematically that through its entanglement with Photon B, the disruption caused by my measurement is imprinted on the distant Photon C.
+  And that's fantastically interesting. Through my measurement, we are able to learn how Photon A's spin is related to Photon B's, but with the prickly problem that both photons were disrupted by my meddling. Through entanglement, however, Photon C is tied in to my measurement-even though it's thousands of miles away-and this allows us to isolate the effect of the disruption and thereby have access to information ordinarily lost in the measurement process. If I now call Nicholas with the result of my measurement, he will learn how the spins of Photons A and B are related after the disruption, and, via Photon C, he will have access to the impact of the disruption itself. This allows Nicholas to use Photon C to, roughly speaking, subtract out the disruption caused by my measurement and thus skirt the obstacle to duplicating Photon A. In fact, as Bennett and collaborators show in detail, by at most a simple manipulation of Photon C's spin (based on my phone call informing him how Photon A is spinning relative to Photon B) Nicholas will ensure that Photon C, as far as its spin goes, exactly replicates the quantum state of Photon A prior to my measurement. Moreover, although spin is only one characteristic of a photon, other features of Photon A's quantum state (such as the probability that it has one energy or another) can be replicated similarly. Thus, by using this procedure, we could teleport Photon A from New York to London.3
+  As you can see, quantum teleportation involves two stages, each of which conveys critical and complementary information. First, we undertake a joint measurement on the photon we want to teleport with one member of an entangled pair of photons. The disruption associated with the measurement is imprinted on the distant partner of the entangled pair through the weirdness of quantum nonlocality. That's Stage 1, the distinctly quantum part of the teleportation process. In Stage 2, the result of the measurement itself is communicated to the distant reception location by more standard means (telephone, fax, e-mail . . .) in what might be called the classical part of the teleportation process. In combination, Stage 1 and Stage 2 allow the exact quantum state of the photon we want to teleport to be reproduced by a straightforward operation (such as a rotation by a certain amount about particular axes) on the distant member of the entangled pair.
+  Notice, as well, a couple of key features of quantum teleportation. Since Photon A's original quantum state was disrupted by my measurement, Photon C in London is now the only one in that original state. There aren't two copies of the original Photon A and so, rather than calling this quantum faxing, it is indeed more accurate to call this quantum teleportation.4 Furthermore, even though we teleported Photon A from New York to London-even though the photon in London becomes indistinguishable from the original photon we had in New York-we do not learn Photon A's quantum state. The photon in London has exactly the same probability of spinning in one direction or another as Photon A did before my meddling, but we do not know what that probability is. In fact, that's the trick underlying quantum teleportation. The disruption caused by measurement prevents us from determining Photon A's quantum state, but in the approach described, we don't need to know the photon's quantumstate in order to teleport it. We need to know only an aspect of its quantum state-what we learn from the joint measurement with Photon B. Quantum entanglement with distant Photon C fills in the rest.
+  Implementing this strategy for quantum teleportation was no small feat. By the early 1990s, creating an entangled pair of photons was a standard procedure, but carrying out a joint measurement of two photons (the joint measurement on Photons A and B described above, technically called a  Bell-state measurement) had never been attained. The achievement of both Zeilinger's and De Martini's groups was to invent ingenious experimental techniques for the joint measurement and to realize them in the laboratory.5 By 1997 they had achieved this goal, becoming the first groups to achieve the teleportation of a single particle.
+Realistic Teleportation
+Since you and I and a DeLorean and everything else are composed of many particles, the natural next step is to imagine applying quantum teleportation to such large collections of particles, allowing us to "beam" macroscopic objects from one place to another. But the leap from teleporting a single particle to teleporting a macroscopic collection of particles is staggering, and enormously far beyond what researchers can now accomplish and what many leaders in the field imagine achieving even in the distant future. But for kicks, here's how Zeilinger fancifully dreams we might one day go about it.
+  Imagine I want to teleport my DeLorean from New York to London. Instead of providing Nicholas and me with one member each of an entangled pair of photons (what we needed to teleport a single photon), we must each have a chamber of particles containing enough protons, neutrons, electrons, and so on to build a DeLorean, with all the particles in my chamber being quantum entangled with all those in Nicholas's chamber (see Figure 15.1). I also need a device that measures joint properties of all the particles making up my DeLorean with those particles flitting to and fro within my chamber (the analog of measuring joint features of Photons A and B). Through the entanglement of the particles in the two chambers, the impact of the joint measurements I carry out in New York will be imprinted on Nicholas's chamber of particles in London (the analog of Photon C's state reflecting the joint measurement of A and B). If I call Nicholas and communicate the results of my measurements (it'll be an expensive call, as I'll be giving Nicholas some 1030 results), the data will instruct him on how to manipulate the particles in his chamber (much as my earlier phone call instructed him on how to manipulate Photon C). When he finishes, each particle in his chamber will be in precisely the same quantum state as each particle in the DeLorean (before it was subjected to any measurements) and so, as in our earlier discussion, Nicholas will now have the DeLorean.41 Its teleportation from New York to London will be complete.
+
+Figure 15.1 A fanciful approach to teleportation envisions having two chambers of quantum entangled particles at distant locations, and a means of carrying out appropriate joint measurements of the particles making up the object to be teleported with the particles in one of the chambers. The results of these measurements would then provide the necessary information to manipulate the particles in the second chamber to replicate the object, and complete the teleportation.
+  Note, though, that as of today, every step in this macroscopic version of quantum teleportation is fantasy. An object like a DeLorean has in excess of a billion billion billion particles. While experimenters are gaining facility with entangling more than a single pair of particles, they are extremely far from reaching numbers relevant for macroscopic entities.6 Setting up the two chambers of entangled particles is thus absurdly beyond current reach. Moreover, the joint measurement of two photons was, in itself, a difficult and impressive feat. Extending this to a joint measurement of billions and billions of particles is, as of today, unimaginable. From our current vantage point, a dispassionate assessment would conclude that teleporting a macroscopic object, at least in the manner so far employed for a single particle, is eons-if not an eternity-away.
+  But, as the one constant in science and technology is the transcendence of naysaying prophesies, I'll simply note the obvious: teleportation of macroscopic bodies looks unlikely. Yet, who knows? Forty years ago, the Enterprise's computer looked pretty unlikely too.7
+The Puzzles of Time Travel
+There's no denying that life would be different if teleporting macroscopic objects were as easy as calling FedEx or hopping on a subway. Impractical or impossible journeys would become available, and the concept of travel through space would be revolutionized to that rare degree at which a leap in convenience and practicality marks a fundamental shift in worldview.
+  Even so, teleportation's impact on our sense of the universe would pale in comparison to the upheaval wrought by achieving volitional travel through time. Everyone knows that with enough effort and dedication we can, at least in principle, get from here to there. Although there are technological limitations on our travels through space, within those constraints our travels are guided by choice and whim. But to get from now to then? Our experiences overwhelmingly attest to there being at most one route: we must wait it out-second must follow second as tick by tock now methodically gives way to then. And this assumes that "then" is later than "now." If then precedes now, experience dictates that there is no route at all; traveling to the past seems not to be an option. Unlike travels through space, travels through time appear to be anything but a matter of choice and whim. When it comes to time, we get dragged along in one direction, whether we like it or not.
+  Were we able to navigate time as easily as we navigate space, our worldview would not just change, it would undergo the single most dramatic shift in the history of our species. In light of such undeniable impact, I am often struck by how few people realize that the theoretical underpinnings for one kind of time travel-time travel to the future- have been in place since early last century.
+  When Einstein discovered the nature of special relativistic spacetime, he laid out a blueprint for fast-forwarding to the future. If you want to see what's happening on planet earth 1,000, or 10,000, or 10 million years in the future, the laws of Einsteinian physics tell you how to go about it. You build a vehicle whose speed can reach, say 99.9999999996 percent of light speed. At full throttle, you head off into deep space for a day, or ten days, or a little over twenty-seven years according to your ship's clock, then abruptly turn around and head back to earth, again at full throttle. On your return, 1,000, or 10,000, or 10 million years of earth time will have elapsed. This is an undisputed and experimentally verified prediction of special relativity; it is an example of the slowing of time with the increasing of speed described in Chapter 3.8 Of course, since vehicles of such speed are beyond what we can build, no one has tested these predictions literally. But as we discussed earlier, researchers have confirmed the predicted slowing of time for a commercial airliner, traveling at a small fraction of light speed, as well as that of elementary particles like muons racing through accelerators at very nearly the speed of light (stationary muons decay into other particles in about two millionths of a second, but the faster they travel the slower their internal clock's tick, and so the longer the muons appear to live). There is every reason to believe, and no reason not to believe, that special relativity is correct, and its strategy for reaching the future would work as predicted. Technology, not physics, keeps each of us tethered to this epoch.42
+  Thornier issues arise, though, when we think about the other kind of time travel, travel to the past. No doubt you are familiar with some of these. For example, there's the standard scenario in which you travel to the past and prevent your own birth. In many fictional descriptions this is achieved with violence; however, any less drastic but equally effective intervention-such as preventing your parents from meeting-would do just as well. The paradox is clear: if you were never born, how did you come to be, and, in particular, how did you travel to the past and keep your parents from meeting? To travel to the past and keep your parents apart, you had to have been born; but if you were born, traveled to the past, and kept your parents apart, you wouldn't have been born. We run headlong into a logical impasse.
+  A similar paradox, suggested by the Oxford philosopher Michael Dummett and highlighted by his colleague David Deutsch, teases the brain in a slightly different, perhaps even more baffling way. Here's one version. Imagine I build a time machine and travel ten years into the future. After a quick lunch at Tofu-4-U (the chain that overtook McDonald's after the great mad-cow pandemic put a dent in the public enthusiasm for cheeseburgers), I find the nearest Internet café and get online to see what advances have been made in string theory. And do I get a splendid surprise. I read that all open issues in string theory have been resolved. The theory has been completely worked out and successfully used to explain all known particle properties. Incontrovertible evidence for the extra dimensions has been found, and the theory's predictions of supersymmetric partner particles-their masses, electric charges, and so on- have just been confirmed, spot on, by the Large Hadron Collider. There is no longer any doubt: string theory is the unified theory of the universe.
+  When I dig a little deeper to see who is responsible for these great advances, I get an even bigger surprise. The breakthrough paper was written a year earlier by none other than Rita Greene. My mother. I'm shocked. No disrespect intended: my mother is a wonderful person, but she's not a scientist, can't understand why anybody would be a scientist, and, for example, read only a few pages of The Elegant Universe before putting it down, saying it gave her a headache. So how in the world could she have written the key paper in string theory? Well, I read her paper online, am blown away by the simple yet deeply insightful reasoning, and see at the end that she's thanked me for years of intense instruction in mathematics and physics after a Tony Robbins seminar persuaded her to overcome her fears and pursue her inner physicist. Yikes, I think. She'd just enrolled in that seminar when I embarked on my trip to the future. I'd better head back to my own time to begin the instruction.
+  Well, I go back in time and begin to tutor my mother in string theory. But it's not going well. A year goes by. Then two. And although she's trying hard, she's just not getting it. I'm starting to worry. We stay at it for another couple of years, but progress is minimal. Now I'm really worried. There is not much time left before her paper is supposed to appear. How is she going to write it? Finally, I make the big decision. When I read her paper in the future, it left such an impression on me that I remember it clear as day. And so, instead of having her discover it on her own-something that's looking less and less likely-I tell her what to write, making sure she includes everything exactly as I remember reading it. She releases the paper, and in short order it sets the physics world on fire. All that I read about during my time in the future comes to pass.
+  Now here's the puzzling issue. Who should get the credit for my mother's groundbreaking paper? I certainly shouldn't. I learned of the results by reading them in her paper. Yet how can my mother take credit, when she wrote only what I told her to? Of course, the issue here is not really one of credit-it's the issue of where the new knowledge, new insights, and new understanding presented in my mother's paper came from. To what can I point and say, "This person or this computer came up with the new results"? I didn't have the insights, nor did my mother, there wasn't anyone else involved, and we didn't use a computer. Nevertheless, somehow these brilliant results are all in her paper. Apparently, in a world that allows time travel both to the future and to the past, knowledge can materialize out of thin air. Although not quite as paradoxical as preventing your own birth, this is positively weird.
+  What should we make of such paradox and weirdness? Should we conclude that while time travel to the future is allowed by the laws of physics, any attempt to return to the past must fail? Some have certainly thought so. But, as we'll now see, there are ways around the tricky issues we've come upon. This doesn't mean that travel to the past is possible- that's a separate issue we'll consider shortly-but it does show that travel back in time can't be ruled out merely by invoking the puzzles we've just discussed.
+Rethinking the Puzzles
+Recall that in Chapter 5 we discussed the flow of time, from the perspective of classical physics, and came upon an image that differs substantially from our intuitive picture. Careful thought led us to envision spacetime as a block of ice with every moment forever frozen in place, as opposed to the familiar image of time as a river sweeping us forward from one moment to the next. These frozen moments are grouped into nows-into events that happen at the same time-in different ways by observers in different states of motion. And to accommodate this flexibility of slicing the spacetime block into different notions of now, we also invoked an equivalent metaphor in which spacetime is viewed as a loaf of bread that can be sliced at different angles.
+  But regardless of the metaphor, Chapter 5's lesson is that moments- the events making up the spacetime loaf-just are. They are timeless. Each moment-each event or happening-exists, just as each point in space exists. Moments don't momentarily come to life when illuminated by the "spotlight" of an observer's present; that image aligns well with our intuition but fails to stand up to logical analysis. Instead, once illuminated, always illuminated. Moments don't change. Moments are. Being illuminated is simply one of the many unchanging features that constitute a moment. This is particularly evident from the insightful though imaginary perspective of Figure 5.1, in which all events making up the history of the universe are on view; they are all there, static and unchanging. Different observers don't agree on which of the events happen at the same time-they time-slice the spacetime loaf at different angles-but the total loaf and its constituent events are universal, literally.
+  Quantum mechanics offers certain modifications to this classical perspective on time. For example, we saw in Chapter 12 that on extremely short scales, space and spacetime become unavoidably wavy and bumpy. But (Chapter 7), a full assessment of quantum mechanics and time requires a resolution of the quantum measurement problem. One of the proposals for doing so, the Many Worlds interpretation, is particularly relevant for coping with paradoxes arising from time travel, and we will take that up in the next section. But in this section, let's stay classical and bring the block-of-ice/loaf-of-bread depiction of spacetime to bear on these puzzles.
+  Take the paradoxical example of your having gone back in time and having prevented your parents from meeting. Intuitively, we all know what that's supposed to mean. Before you time-traveled to the past, your parents had met-say, at the stroke of midnight, December 31, 1965,43 at a New Year's party-and, in due course, your mother gave birth to you. Then, many years later, you decided to travel to the past-back to December 31, 1965-and once there, you changed things; in particular, you kept your parents apart, preventing your own conception and birth. But let's now counter this intuitive description with the more fully reasoned spacetime-loaf depiction of time.
+  At its core, the intuitive description fails to make sense because it assumes moments can change. The intuitive picture envisions the stroke of midnight, December 31, 1965 (using standard earthling time-slicing), as "initially" being the moment of your parents meeting, but envisions further that your interference "subsequently" changes things so that at the stroke of midnight, December 31, 1965, your parents are miles, if not continents, apart. The problem with this recounting of events, though, is that moments don't change; as we've seen, they just are. The spacetime loaf exists, fixed and unchanging. There is no meaning to a moment's "initially" being one way and "subsequently" being another way.
+  If you time-traveled back to December 31, 1965, then you were there, you were always there, you will always be there, you were never not there. December 31, 1965, did not happen twice, with your missing the debut but attending the encore. From the timeless perspective of Figure 5.1, you exist-static and unchanging-at various locations in the spacetime loaf. If today you set the dials on your time machine to send you to 11:50 p.m., December 31, 1965, then this latter moment will be among the locations in the spacetime loaf at which you can be found. But your presence on New Year's Eve, 1965, will be an eternal and immutable feature of spacetime.
+  This realization still leads us to some quirky conclusions, but it avoids paradox. For example, you would appear in the spacetime loaf at 11:50 p.m., December 31, 1965, but before that moment there would be no record of your existence. This is strange, but not paradoxical. If a guy saw you pop in at 11:50 p.m. and asked you, with fear in his eyes, where you came from, you could calmly answer, "The future." In this scenario, at least so far, we are not caught in a logical impasse. Where things get more interesting, of course, is if you then try to carry out your mission and keep your parents from meeting. What happens? Well, carefully maintaining the "spacetime block" perspective, we inescapably conclude that you can't succeed. No matter what you do on that fateful New Year's Eve, you'll fail. Keeping your parents apart-while seeming to be within the realm of things you can do-actually amounts to logical gobbledygook. Your parents met at the stroke of midnight. You were there. And you will "always" be there. Each moment just is; it doesn't change. Applying the concept of change to a moment makes as much sense as subjecting a rock to psychoanalysis. Your parents met at the stroke of midnight, December 31, 1965, and nothing can change that because their meeting is an immutable, unchangeable event, eternally occupying its spot in spacetime.
+  In fact, now that you think about it, you remember that sometime in your teens, when you asked your dad what it was like to propose to your mother, he told you that he hadn't planned to propose at all. He had barely met your mother before asking the big question. But about ten minutes before midnight at a New Year's party, he got so freaked by seeing a man pop in from nowhere-a man who claimed to be from the future- that when he met your mother he decided to propose, right on the spot.
+  The point is that the complete and unchanging set of events in spacetime necessarily fits together into a coherent, self-consistent whole. The universe makes sense. If you time-travel back to December 31, 1965, you are actually fulfilling your own destiny. In the spacetime loaf, there is someone present at 11:50 p.m. on December 31, 1965, who is not there at any earlier time. From the imaginary, outside perspective of Figure 5.1, we would be able to see this directly; we would also see, undeniably, that the person is  you at your current age. For these events, situated decades ago, to make sense, you must time-travel back to 1965. What's more, from our outside perspective we can see your father asking you a question just after 11:50 p.m. on December 31, 1965, looking frightened, rushing away, and meeting your mother at midnight; a little further along the loaf, we can see your parents' wedding, your birth, your ensuing childhood, and, later on, your stepping into the time machine. If time travel to the past were possible, we could no longer explain events at one time solely in terms of events at earlier times (from any given perspective); but the totality of events would necessarily constitute a sensible, coherent, noncontradictory story.
+  As emphasized in the last section, this doesn't, by any stretch of the imagination, signify that time travel to the past is possible. But it does suggest strongly that the purported paradoxes, such as preventing your own birth, are themselves born of logical flaws. If you time-travel to the past, you can't change it any more than you can change the value of pi. If you travel to the past, you are, will be, and always were part of the past, the very same past that leads to your traveling to it.
+  From the outside perspective of Figure 5.1, this explanation is both tight and coherent. Surveying the totality of events in the spacetime loaf, we see that they interlock with the rigid economy of a cosmic crossword puzzle. Yet, from your perspective on December 31, 1965, things are still puzzling. I declared above that even though you may be determined to keep your parents from meeting, you can't succeed in the classical approach to this problem. You can watch them meet. You can even facilitate their meeting, perhaps inadvertently as in the story I've told. You can travel back in time repeatedly, so there are many of you present, each intent on preventing your parents' union. But to succeed in preventing your parents from meeting would be to change something with respect to which the concept of change is meaningless.
+  But, even with the insight of these abstract observations, we can't help asking: What stops you from succeeding? If you are standing at the party at 11:50 p.m. and see your young mother, what stops you from whisking her away? Or, if you see your young father, what stops you from-oh, what the heck, let's just say it-shooting him? Don't you have free will? Here is where, some suspect, quantum mechanics may enter the story.
+Free Will, Many Worlds, and Time Travel
+Free will is a tricky issue, even absent the complicating factor of time travel. The laws of classical physics are deterministic. As we saw earlier, if you were to know precisely how things are now (the position and velocity of every particle in the universe), the laws of classical physics would tell you exactly how things were or would be at any other moment you specified. The equations are indifferent to the supposed freedom of human will. Some have taken this to mean that in a classical universe, free will would be an illusion. You are made of a collection of particles, so if the laws of classical physics could determine everything about your particles at any moment-where they'd be, how they'd be moving and so on-your willful ability to determine your own actions would appear fully compromised. This reasoning convinces me, but those who believe we are more than the sum of our particles may disagree.
+  Anyway, the relevance of these observations is limited, since ours is a quantum, not a classical, universe. In quantum physics, real-world physics, there are resemblances to this classical perspective; there are also potentially pivotal differences. As you read in Chapter 7, if you know the quantum wavefunction right now for every particle in the universe, Schrödinger's equation tells you how the wavefunction was or will be at any other moment you specify. This component of quantum physics is fully deterministic, just as in classical physics. However, the act of observation complicates the quantum mechanical story and, as we've seen, heated debate over the quantum measurement problem still rages. If physicists one day conclude that Schrödinger's equation is all there is to quantum mechanics, then quantum physics, in its entirety, would be every bit as deterministic as classical physics. As with classical determinism, some would say this means free will is an illusion; others would not. But if we're currently missing part of the quantum story-if the passage from probabilities to definite outcomes requires something beyond the standard quantum framework-it's at least possible that free will might find a concrete realization within physical law. We might one day find, as some physicists have speculated, that the act of conscious observation is an integral element of quantum mechanics, being the catalyst that coaxes one outcome from the quantum haze to be realized.9 Personally, I find this extremely unlikely, but I know of no way to rule it out.
+  The upshot is that the status of free will and its role within fundamental physical law remain unresolved. So let's consider both possibilities, free will that's illusory and free will that's real.
+  If free will is an illusion, and if time travel to the past is possible, then your inability to prevent your parents from meeting poses no puzzle. Although you feel as if you have control over your actions, the laws of physics are really pulling the strings. When you go to whisk away your mother or shoot your father, the laws of physics get in the way. The time machine lands you on the wrong side of town, and you arrive after your parents have met; or you try to pull the trigger and the gun jams; or you do pull the trigger, but you miss the target and instead knock off your father's only competitor for your mother's hand, clearing the way for their union; or, perhaps, when you step out of the time machine you no longer have the desire to prevent your parents from meeting. Regardless of your intention when you enter the time machine, your actions when you exit are part of spacetime's consistent story. The laws of physics trump all attempts to thwart logic. Everything you do fits in perfectly. It always has and always will. You can't change the unchangeable.
+  If free will is not an illusion, and if time travel to the past is possible, quantum physics gives alternative suggestions for what might happen, and is distinctly different from the formulation based on classical physics. One particularly compelling proposal, championed by Deutsch, makes use of the Many Worlds interpretation of quantum mechanics. Remember from Chapter 7 that in the Many Worlds framework, every potential outcome embodied in a quantum wavefunction-a particle's spinning this way or that, another particle's being here or there-is realized in its own separate, parallel universe. The universe we're aware of at any given moment is but one of an infinite number in which every possible evolution allowed by quantum physics is separately realized. In this framework, it's tempting to suggest that the freedom we feel to make this or that choice reflects the possibility we have to enter this or that parallel universe in a subsequent moment. Of course, since infinitely many copies of you and me are sprinkled across the parallel universes, the concepts of personal identity and free will need to be interpreted in this broadened context.
+  As far as time travel and the potential paradoxes go, the Many Worlds interpretation suggests a novel resolution. When you travel to 11:50 p.m. on December 31, 1965, pull out your weapon, aim at your father, and pull the trigger, the gun works and you hit the intended target. But since this is not what happened in the universe from which you embarked on your time travel odyssey, your journey must not only have been through time, it must have been also from one parallel universe to another. The parallel universe in which you now find yourself is one in which your parents never did meet-a universe which the Many Worlds interpretation assures us is out there (since every possible universe consistent with the laws of quantum physics is out there). And so, in this approach, we face no logical paradox, because there are various versions of a given moment, each situated in a different parallel universe; in the Many Worlds interpretations, it's as if there are infinitely many spacetime loaves, not just one. In the universe of origination, your parents met on December 31, 1965, you were born, you grew up, you held a grudge against your father, you became fascinated with time travel, and you embarked on a journey to December 31, 1965. In the universe in which you arrive, your father is killed on December 31, 1965, before meeting your mother, by a gunman claiming to be his son from the future. A version of you is never born in this universe, but that's okay, since the you who pulled the trigger does have parents. It's just that they happen to live in a different parallel universe. Whether anyone in this universe believes your story or, instead, views you as delusional, I can't say. But what's clear is that in each universe-the one you left and the one you entered-we avoid self-contradictory circumstances.
+  What's more, even in this broadened context, your time travel expedition doesn't change the past. In the universe you left, that's manifest, since you never visit its past. In the universe you enter, your presence at 11:50 p.m. on December 31, 1965, does not change that moment: in that universe you were, and always will be, present at that moment. Again, in the Many Worlds interpretation, every physically consistent sequence of events happens in one of the parallel universes. The universe you enter is one in which the murderous actions you choose to undertake are realized. Your presence on December 31, 1965, and all the mayhem you create, are part of the unchangeable fabric of that universe's reality.
+  The Many Worlds interpretation offers a similar resolution to the issue of knowledge seemingly materializing from nowhere, as in the scenario of my mother's writing a decisive paper in string theory. According to the Many Worlds interpretation, in one of the myriad parallel universes my mother  does develop quickly into a string theory expert, and on her own discovers all that I read in her paper. When I undertake my excursion to the future, my time machine takes me to that universe. The results I read in my mother's paper while I'm there were indeed discovered by the version of my mother in that world. Then, when I travel back in time, I enter a different one of the parallel universes, one in which my mother has difficulty understanding physics. After years of trying to teach her, I give up and finally tell her what to write in the paper. But in this scenario there is no puzzle regarding who is responsible for the breakthroughs. The discoverer is the version of my mother in the universe in which she's a physics whiz. All that's happened as a result of my various time travels is that her discoveries are communicated to a version of herself in another parallel universe. Assuming you find parallel universes easier to swallow than authorless discoveries-a debatable proposition-this provides a less baffling explanation of the interplay of knowledge and time travel.
+  None of the proposals we've discussed in this or the previous section are necessarily the resolution to the puzzles and paradoxes of time travel. Instead, these proposals are meant to show that puzzles and paradoxes do not rule out time travel to the past since, with our current state of understanding, physics provides possible avenues for end runs around the problems. But failing to rule something out is a far cry from declaring it possible. So we are now led to ask the main question:
+Is Time Travel to the Past Possible?
+Most sober physicists would answer no. I would say no. But unlike the definitive no you'd get if you asked whether special relativity allows a massive object to accelerate up to and then exceed the speed of light, or whether Maxwell's theory allows a particle with one unit of electric charge to disintegrate into particles with two units of electric charge, this is a qualified no.
+  The fact is, no one has shown that the laws of physics absolutely rule out past-directed time travel. To the contrary, some physicists have even laid out hypothetical instructions for how a civilization with unlimited technological prowess, operating fully within the known laws of physics, might go about building a time machine (when we speak of time machines, we will always mean something that is able to travel both to the future and to the past). The proposals bear no resemblance to the spinning gizmo described by H. G. Wells or Doc Brown's souped-up DeLorean. And the design elements all brush right up against the limits of known physics, leading many researchers to suspect that with subsequent refinements in our grasp of nature's laws, existing and future proposals for time machines will be deemed beyond the bounds of what's physically possible. But as of today, this suspicion is based on gut feeling and circumstantial evidence, not solid proof.
+  Einstein himself, during the decade of intense research leading to the publication of his general theory of relativity, pondered the question of travel to the past.10 Frankly, it would have been strange if he hadn't. As his radical reworkings of space and time discarded long-accepted dogma, an ever-present question was how far the upheaval would go. Which features, if any, of familiar, everyday, intuitive time would survive? Einstein never wrote much on the issue of time travel because, by his own account, he never made much progress. But in the decades following the release of his paper on general relativity, slowly but surely, other physicists did.
+  Among the earliest general relativity papers with relevance for time machines were those written in 1937 by the Scottish physicist W. J. van Stockum11 and in 1949 by a colleague of Einstein's at the Institute for Advanced Study, Kurt Gödel. Van Stockum studied a hypothetical problem in general relativity in which a very dense and infinitely long cylinder is set into spinning motion about its (infinitely) long axis. Although an infinite cylinder is physically unrealistic, van Stockum's analysis led to an interesting revelation. As we saw in Chapter 14, massive spinning objects drag space into a whirlpool-like swirl. In this case, the swirl is so significant that, mathematical analysis shows, not only space but also time would get caught up in the whirlpool. Roughly speaking, the spinning twists the time direction on its side, so that circular motion around the cylinder takes you to the past. If your rocket ship encircles the cylinder, you can return to your starting point in space before you embark on your journey. Certainly, no one can build an infinitely long spinning cylinder, but this work was an early hint that general relativity might not prohibit time travel to the past.
+  Gödel's paper also investigated a situation involving rotational motion. But rather than focusing on an object rotating within space, Gödel studied what happens if all of space undergoes rotational motion. Mach would have thought this meaningless. If the whole universe is rotating, then there's nothing with respect to which the purported rotation is happening. Mach would conclude, a rotating universe and a stationary universe are one and the same. But this is another example in which general relativity fails to fully conform to Mach's relational conception of space. According to general relativity, it does make sense to speak of the entire universe's rotating, and with this possibility come simple observational consequences. For example, if you fire a laser beam in a rotating universe, general relativity shows that it will appear to travel along a spiral path rather than a straight line (somewhat like the path you'd see a slow-moving bullet follow if you fired a toy gun upward while riding a merry-go-round). The surprising feature of Gödel's analysis was his realization that if your rocket ship were to follow appropriate trajectories in a spinning universe, you could also return to your place of origin in space before the time of your departure. A rotating universe would thus itself be a time machine.
+  Einstein congratulated Gödel on his discovery, but suggested that further investigation might show that solutions to the equations of general relativity permitting travel to the past run afoul of other essential physical requirements, making them no more than mathematical curiosities. As far as Gödel's solution goes, increasingly precise observations have minimized the direct relevance of his work by establishing that our universe is not rotating. But van Stockum and Gödel had let the genie out of the bottle; within a couple of decades, yet more solutions to Einstein's equations permitting time travel to the past were found.
+  In recent decades, interest in hypothetical time machine designs has revived. In the 1970s, Frank Tipler reanalyzed and refined van Stockum's solution, and in 1991, Richard Gott of Princeton University discovered another method for building a time machine making use of so-called cosmic strings (hypothetical, infinitely long, filamentary remnants of phase transitions in the early universe). These are all important contributions, but the proposal that's simplest to describe, using concepts we've developed in previous chapters, was found by Kip Thorne and his students at the California Institute of Technology. It makes use of wormholes.
+Blueprint for a Wormhole Time Machine
+I'll first lay out the basic strategy for constructing Thorne's wormhole time machine, and in the next section I'll discuss the challenges faced by any contractor Thorne might hire to execute the plans.
+  A wormhole is a hypothetical tunnel through space. A more familiar kind of tunnel, such as one that's been bored through the side of a mountain, provides a shortcut from one location to another. Wormholes serve a similar function, but they differ from conventional tunnels in one important respect. Whereas conventional tunnels provide a new route through existing space-the mountain and the space it occupies exist before a tunnel is constructed-a wormhole provides a tunnel from one point in space to another along a new, previously nonexistent tube of space. Were you to remove the tunnel through the mountain, the space it occupied would still exist. Were you to remove a wormhole, the space it occupied would vanish.
+  Figure 15.2a illustrates a wormhole connecting the Kwik-E-Mart and the Springfield Nuclear Power Plant, but the drawing is misleading because the wormhole appears to stretch across Springfield airspace. More accurately, the wormhole should be thought of as a new region of space that interfaces with ordinary, familiar space only at its ends-its mouths. If while walking along the streets of Springfield, you scoured the skyline in search of the wormhole, you'd see nothing. The only way to see it would be to hop on over to the Kwik-E-Mart, where you would find an opening in ordinary space-one wormhole mouth. Looking through the opening, you'd see the inside of the power plant, the location of the second mouth, as in Figure 15.2b. Another misleading feature of Figure 15.2a is that the wormhole doesn't appear to be a shortcut. We can fix this by modifying the illustration as in Figure 15.3. As you can see, the usual route from the power plant to the Kwik-E-Mart is indeed longer than the wormhole's new spatial passage. The contortions in Figure 15.3 reflect the difficulties in drawing general relativistic geometry on a page, but the figure does give an intuitive sense of the new connection a wormhole would provide.
+
+Figure 15.2 (a) A wormhole extending from the Kwik-E-Mart to the nuclear power plant. (b) The view through the wormhole, looking from the mouth at the Kwik-E-Mart and into the mouth in the power plant.
+
+Figure 15.3 Geometry which more clearly shows that the wormhole is a shortcut. (Wormhole mouths are really inside Kwik-E-Mart and the nuclear power plant, although that is difficult to show in this representation.)
+  No one knows whether wormholes exist, but many decades ago physicists established that they are allowed by the mathematics of general relativity and so are fair game for theoretical study. In the 1950s, John Wheeler and his coworkers were among the earliest researchers to investigate wormholes, and they discovered many of their fundamental mathematical properties. More recently, though, Thorne and his collaborators revealed the full richness of wormholes by realizing that not only can they provide shortcuts through space, they can also provide shortcuts through time.
+  Here's the idea. Imagine that Bart and Lisa are standing at opposite ends of Springfield's wormhole-Bart at the power plant, Lisa at the Kwik-E-Mart-idly chatting with each other about what to get Homer for his birthday, when Bart decides to take a short transgalactic jaunt (to get Homer some of his favorite Andromedean fish fingers). Lisa doesn't feel up for the ride but, as she's always wanted to see Andromeda, she persuades Bart to load his wormhole mouth on his ship and take it along, so she can have a look. You might expect this to mean that Bart will have to keep stretching the wormhole longer as his journey progresses, but that assumes the wormhole connects the Kwik-E-Mart and Bart's ship through ordinary space. It doesn't. And, as illustrated in Figure 15.4, through the wonders of general relativistic geometry, the wormhole's length can remain fixed throughout the entire voyage. This is a key point. Even though Bart rockets off to Andromeda, his distance to Lisa through the wormhole does not change. This makes manifest the wormhole's role as a shortcut through space.
+  For definiteness, let's say that Bart heads off at 99.999999999999999999 percent of light speed and travels four hours outbound to Andromeda, all the while continuing to chat with Lisa through the wormhole, just as they'd been doing before the flight. When
+
+Figure 15.4 (a) A wormhole connecting the Kwik-E-Mart and the nuclear power plant. (b) The lower wormhole opening transported (from the nuclear power plant) to outer space (on spaceship, not shown). The wormhole length remains fixed. (c) The wormhole opening arrives at the Andromeda galaxy; the other opening is still at the Kwik-E-Mart. The length of the wormhole is unchanged throughout the entire voyage.
+the ship reaches Andromeda, Lisa tells Bart to pipe down so she can take in the view without disturbance. She's exasperated by his insistence on quickly grabbing the takeout at the Fish Finger Flythrough and heading back to Springfield, but agrees to keep on chatting until he returns. Four hours and a few dozen rounds of tic-tac-toe later, Bart safely sets his ship down on the lawn of Springfield High.
+  When he looks out the ship window, though, Bart gets a bit of a shock. The buildings look completely different, and the scoreboard floating high above the rollerball stadium gives a date some 6 million years after his departure. "Dude!?!" he says to himself, but a moment later it all becomes clear. Special relativity, he remembers from a heart-to-heart he'd recently had with Sideshow Bob, ensures that the faster you travel the slower your clock ticks. If you travel out into space at high speed and then return, only a few hours might have elapsed aboard your ship while thousands or millions of years, if not more, will have elapsed according to someone stationary. With a quick calculation, Bart confirms that at the speed he was traveling, eight hours elapsed on the ship would mean 6 million years elapsed on earth. The date on the scoreboard is right; Bart realizes he has traveled far into earth's future.
+  ". . . Bart! Hello, Bart!" Lisa yells through the wormhole. "Have you been listening to me? Step on it. I want to get home in time for dinner." Bart looks into his wormhole mouth and tells Lisa he's already landed on the lawn of Springfield High. Looking more closely through the wormhole, Lisa sees that Bart is telling the truth, but looking out of the Kwik-E-MART toward Springfield High, she doesn't see his ship on the lawn. "I don't get it," she says.
+  "Actually, it makes perfect sense," Bart proudly answers. "I've landed at Springfield High, but 6 million years into the future. You can't see me by looking out the Kwik-E-Mart window, because you're looking at the right place, but you're not looking at the right time. You're looking 6 million years too early."
+  "Oh, right, that time-dilation thing of special relativity," Lisa agrees. "Cool. Anyway, I want to get home in time for dinner, so climb through the wormhole, because we've got to hurry." "Okay," Bart says, crawling through the wormhole. He buys a Butterfinger from Apu, and he and Lisa head home.
+  Notice that although Bart's passage through the wormhole took him but a moment, it transported him 6 million years back in time. He and his ship and the wormhole mouth had landed far into earth's future. Had he gotten out, spoken with people, and checked the newspaper, everything would have confirmed this. Yet, when he passed through the wormhole and rejoined Lisa, he found himself back in the present. The same holds true for anyone else who might follow Bart through the wormhole mouth: he would also travel 6 million years back in time. Similarly, anyone who climbs into the wormhole mouth at the Kwik-E-Mart, and out of the mouth Bart left in his ship, would travel 6 million years into the future. The important point is that Bart did not just take one of the wormhole mouths on a journey through space. His journey also transported the wormhole mouth through time.  Bart's voyage took him and the wormhole'smouth into earth's future. In short, Bart transformed a tunnel through space into a tunnel through time; he turned a wormhole into a time machine.
+  A rough way to visualize what's going on is depicted in Figure 15.5. In Figure 15.5a we see a wormhole connecting one spatial location with another, with the wormhole configuration drawn so as to emphasize that it lies outside of ordinary space. In Figure 15.5b, we show the time evolution of this wormhole, assuming both its mouths are kept stationary. (The time slices are those of a stationary observer.) In Figure 15.5c, we show what happens when one wormhole mouth is loaded onto a spaceship and taken on a round-trip journey. Time for the moving mouth, just like time on a moving clock, slows down, so that the moving mouth is transported to the future. (If an hour elapses on a moving clock but a thousand years elapse on stationary clocks, the moving clock will have jumped into the stationary clocks' future.) Thus, instead of the stationary wormhole mouth's connecting, via the wormhole tunnel, to a mouth on the same time slice, it connects to a mouth on a future time slice, as in Figure 15.5c. Unless the wormhole mouths are moved further, the time difference between them will remain locked in. At any moment, should you enter one mouth and exit the other, you will have become a time traveler.
+Building a Wormhole Time Machine
+One blueprint for building a time machine is now clear. Step 1: find or create a wormhole wide enough for you, or anything you want to send through time, to pass. Step 2: establish a time difference between the wormhole mouths-say, by moving one relative to the other. That's it. In principle.
+
+Figure 15.5 (a) A wormhole, created at some moment in time, connects one location in space with another. (b) If the wormhole mouths do not move relative to one another, they "pass" through time at the same rate, so the tunnel connects the two regions at the same time. (c) If one wormhole mouth is taken on a round-trip journey (not shown), less time will elapse for that mouth, and hence the tunnel will connect the two regions of space at different moments of time. The wormhole has become a time machine.
+  How about in practice? Well, as I mentioned at the outset, no one knows whether wormholes even exist. Some physicists have suggested that tiny wormholes might be plentiful in the microscopic makeup of the spatial fabric, being continually produced by quantum fluctuations of the gravitational field. If so, the challenge would be to enlarge one to macroscopic size. Proposals have been made for how this might be done, but they're barely beyond theoretical flights of fancy. Other physicists have envisioned the creation of large wormholes as an engineering project in applied general relativity. We know that space responds to the distribution of matter and energy, so with sufficient control over matter and energy, we might cause a region of space to spawn a wormhole. This approach presents an additional complication, because just as we must tear open the side of a mountain to attach the mouth of a tunnel, we must tear open the fabric of space to attach the mouth of a wormhole.12 No one knows whether such tears in space are allowed by the laws of physics. Work with which I've been involved in string theory (see this page) has shown that certain kinds of spatial tears are possible, but so far we have no idea whether these rips might be relevant to the creation of wormholes. The bottom line is that intentional acquisition of a macroscopic wormhole is a fantasy that, at best, is a very long way from being realized.
+  Morever, even if we somehow managed to get our hands on a macroscopic wormhole, we wouldn't be done; we'd still face a couple of significant obstacles. First, in the 1960s, Wheeler and Robert Fuller showed, using the equations of general relativity, that wormholes are unstable. Their walls tend to collapse inward in a fraction of a second, which eliminates their utility for any kind of travel. More recently, though, physicists (including Thorne and Morris, and also Matt Visser) have found a potential way around the collapse problem. If the wormhole is not empty, but instead contains material-so-called  exotic matter-that can exert an outward push on its walls, then it might be possible to keep the wormhole open and stable. Although similar in its effect to a cosmological constant, exotic matter would generate outward-pushing repulsive gravity by virtue of having negative energy (not just the negative pressure characteristic of a cosmological constant13). Under highly specialized conditions, quantum mechanics allows for negative energy,14 but it would be a monumental challenge to generate enough exotic matter to hold a macroscopic wormhole open. (For example, Visser has calculated that the amount of negative energy needed to keep open a one-meter-wide wormhole is roughly equal in magnitude to the total energy produced by the sun over about 10 billion years.15)
+  Second, even if we somehow found or created a macroscopic wormhole, and even if we somehow were able to buttress its walls against immediate collapse, and even if we were able to induce a time difference between the wormhole mouths (say, by flying one mouth around at high speed), there would remain another hurdle to acquiring a time machine. A number of physicists, including Stephen Hawking, have raised the possibility that vacuum fluctuations-the jitters arising from the quantum uncertainty experienced by all fields, even in empty space, discussed in Chapter 12-might destroy a wormhole just as it was getting into position to be a time machine. The reason is that, just at the moment when time travel through the wormhole becomes possible, a devastating feedback mechanism, somewhat like the screeching noise generated when microphone and speaker levels in a sound system are not adjusted appropriately, may come into play. Vacuum fluctuations from the future can travel through the wormhole to the past, where they can then travel through ordinary space and time to the future, enter the wormhole, and travel back to the past again, creating an endless cycle through the wormhole and filling it with ever-increasing energy. Presumably, such an intense energy buildup would destroy the wormhole. Theoretical research suggests this as a real possibility, but the necessary calculations strain our current understanding of general relativity and quantum mechanics in curved spacetime, so there is no conclusive proof.
+  The challenges to building a wormhole time machine are clearly immense. But the final word won't be given until our facility with quantum mechanics and gravity is refined further, perhaps through advances in superstring theory. Although at an intuitive level physicists generally agree that time travel to the past is impossible, as of today the question has yet to be fully closed.
+Cosmic Rubbernecking
+In thinking about time travel, Hawking has raised an interesting point. Why, he asks, if time travel is possible, haven't we been inundated with visitors from the future? Well, you might answer, maybe we have. And you might go further and say we've put so many time travelers in locked wards that most of the others don't dare identify themselves. Of course, Hawking is half joking, and so am I, but he does raise a serious question. If you believe, as I do, that we have not been visited from the future, is that tantamount to believing time travel impossible? Surely, if people succeed in building time machines in the future, some historian is bound to get a grant to study, up close and personal, the building of the first atomic bomb, or the first voyage to the moon, or the first foray into reality television. So, if we believe no one has visited us from the future, perhaps we are implicitly saying that we believe no such time machine will ever be built.
+  Actually, though, this is not a necessary conclusion. The time  machines that have thus far been proposed do not allow travel to a time prior to the construction of the first time machine itself. For the wormhole time machine, this is easy to see by examining Figure 15.5. Although there is a time difference between the wormhole mouths, and although that difference allows travel forward and backward in time, you can't reach a time before the time difference was established. The wormhole itself does not exist on the far left of the spacetime loaf, so there is no way you can use it to get there. Thus, if the first time machine is built, say, 10,000 years from now, that moment will no doubt attract many time-traveling tourists, but all previous times, such as ours, will remain inaccessible.
+  I find it curious and compelling that our current understanding of nature's laws not only suggests how to avoid the seeming paradoxes of time travel but also offers proposals for how time travel might actually be accomplished. Don't get me wrong: I count myself among the sober physicists who feel intuitively that we will one day rule out time travel to the past. But until there's definitive proof, I think it justified and appropriate to keep an open mind. At the very least, researchers focusing on these issues are substantially deepening our understanding of space and time in extreme circumstances. At the very best, they may be taking the first critical steps toward integrating us into the spacetime superhighway. After all, every moment that goes by without our having succeeded in building a time machine is a moment that will be forever beyond our reach and the reach of all who follow.
+16
+The Future of an Allusion
+PROSPECTS FOR SPACE AND TIME
+Physicists spend a large part of their lives in a state of confusion. It's an occupational hazard. To excel in physics is to embrace doubt while walking the winding road to clarity. The tantalizing discomfort of perplexity is what inspires otherwise ordinary men and women to extraordinary feats of ingenuity and creativity; nothing quite focuses the mind like dissonant details awaiting harmonious resolution. But en route to explanation-during their search for new frameworks to address outstanding questions-theorists must tread with considered step through the jungle of bewilderment, guided mostly by hunches, inklings, clues, and calculations. And as the majority of researchers have a tendency to cover their tracks, discoveries often bear little evidence of the arduous terrain that's been covered. But don't lose sight of the fact that nothing comes easily. Nature does not give up her secrets lightly.
+  In this book we've looked at numerous chapters in the story of our species' attempt to understand space and time. And although we have encountered some deep and astonishing insights, we've yet to reach that ultimate eureka moment when all confusion abates and total clarity prevails. We are, most definitely, still wandering in the jungle. So, where from here? What is the next chapter in spacetime's story? Of course, no one knows for sure. But in recent years a number of clues have come to light, and although they've yet to be integrated into a coherent picture, many physicists believe they are hinting at the next big upheaval in our understanding of the cosmos. In due course, space and time as currently conceived may be recognized as mere allusions to more subtle, more profound, and more fundamental principles underlying physical reality. In the final chapter of this account, let's consider some of these clues and catch a glimpse of where we may be headed in our continuing quest to grasp the fabric of the cosmos.
+Are Space and Time Fundamental Concepts?
+The German philosopher Immanuel Kant suggested that it would be not merely difficult to do away with space and time when thinking about and describing the universe, it would be downright impossible. Frankly, I can see where Kant was coming from. Whenever I sit, close my eyes, and try to think about things while somehow not depicting them as occupying space or experiencing the passage of time, I fall short. Way short. Space, through context, or time, through change, always manages to seep in. Ironically, the closest I come to ridding my thoughts of a direct spacetime association is when I'm immersed in a mathematical calculation (often having to do with spacetime!), because the nature of the exercise seems able to engulf my thoughts, if only momentarily, in an abstract setting that seems devoid of space and time. But the thoughts themselves and the body in which they take place are, all the same, very much part of familiar space and time. Truly eluding space and time makes escaping your shadow a cakewalk.
+  Nevertheless, many of today's leading physicists suspect that space and time, although pervasive, may not be truly fundamental. Just as the hardness of a cannonball emerges from the collective properties of its atoms, and just as the smell of a rose emerges from the collective properties of its molecules, and just as the swiftness of a cheetah emerges from the collective properties of its muscles, nerves, and bones, so too, the properties of space and time-our preoccupation for much of this book- may also emerge from the collective behavior of some other, more fundamental constituents, which we've yet to identify.
+  Physicists sometimes sum up this possibility by saying that spacetime may be an illusion-a provocative depiction, but one whose meaning requires proper interpretation. After all, if you were to be hit by a speeding cannonball, or inhale the alluring fragrance of a rose, or catch sight of a blisteringly fast cheetah, you wouldn't deny their existence simply because each is composed of finer, more basic entities. To the contrary, I think most of us would agree that these agglomerations of matter exist, and moreover, that there is much to be learned from studying how their familiar characteristics emerge from their atomic constituents. But because they are composites, what we wouldn't try to do is build a theory of the universe based on cannonballs, roses, or cheetahs. Similarly, if space and time turn out to be composite entities, it wouldn't mean that their familiar manifestations, from Newton's bucket to Einstein's gravity, are illusory; there is little doubt that space and time will retain their all-embracing positions in experiential reality, regardless of future developments in our understanding. Instead, composite spacetime would mean that an even more elemental description of the universe-one that is spaceless and timeless-has yet to be discovered. The illusion, then, would be one of our own making: the erroneous belief that the deepest understanding of the cosmos would bring space and time into the sharpest possible focus. Just as the hardness of a cannonball, the smell of the rose, and the speed of the cheetah disappear when you examine matter at the atomic and subatomic level, space and time may similarly dissolve when scrutinized with the most fundamental formulation of nature's laws.
+  That spacetime may not be among the fundamental cosmic ingredients may strike you as somewhat far-fetched. And you may well be right. But rumors of spacetime's impending departure from deep physical law are not born of zany theorizing. Instead, this idea is strongly suggested by a number of well-reasoned considerations. Let's take a look at some of the most prominent.
+Quantum Averaging
+In Chapter 12 we discussed how the fabric of space, much like everything else in our quantum universe, is subject to the jitters of quantum uncertainty. It is these fluctuations, you'll recall, that run roughshod over point-particle theories, preventing them from providing a sensible quantum theory of gravity. By replacing point particles with loops and snippets, string theory spreads out the fluctuations-substantially reducing their magnitude-and this is how it yields a successful unification of quantum mechanics and general relativity. Nevertheless, the diminished spacetime fluctuations certainly still exist (as illustrated in the next-to-last level of magnification in Figure 12.2), and within them we can find important clues regarding the fate of spacetime.
+  First, we learn that the familiar space and time that suffuse our thoughts and support our equations emerge from a kind of averaging process. Think of the pixelated image you see when your face is a few inches from a television screen. This image is very different from what you see at a more comfortable distance, because once you can no longer resolve individual pixels, your eyes combine them into an average that looks smooth. But notice that it's only through the averaging process that the pixels produce a familiar, continuous image. In a similar vein, the microscopic structure of spacetime is riddled with random undulations, but we aren't directly aware of them because we lack the ability to resolve spacetime on such minute scales. Instead, our eyes, and even our most powerful equipment, combine the undulations into an average, much like what happens with television pixels. Because the undulations are random, there are typically as many "up" undulations in a small region as there are "down," so when averaged they tend to cancel out, yielding a placid spacetime. But, as in the television analogy,  it's only because of the averaging process that a smooth and tranquil form for spacetime emerges.
+  Quantum averaging provides a down-to-earth interpretation of the assertion that familiar spacetime may be illusory. Averages are useful for many purposes but, by design, they do not provide a sharp picture of underlying details. Although the average family in the U.S. has 2.2 children, you'd be in a bind were I to ask to visit such a family. And although the national average price for a gallon of milk is $2.783, you're unlikely to find a store selling it for exactly this price. So, too, familiar spacetime, itself the result of an averaging process, may not describe the details of something we'd want to call fundamental. Space and time may only be approximate, collective conceptions, extremely useful in analyzing the universe on all but ultramicroscopic scales, yet as illusory as a family with 2.2 children.
+  A second and related insight is that the increasingly intense quantum jitters that arise on decreasing scales suggest that the notion of being able to divide distances or durations into ever smaller units likely comes to an end at around the Planck length (10−33 centimeters) and Planck time (10−43 seconds). We encountered this idea in Chapter 12, where we emphasized that, although the notion is thoroughly at odds with our usual experiences of space and time, it is not particularly surprising that a property relevant to the everyday fails to survive when pushed into the micro-realm. And since the arbitrary divisibility of space and time is one of their most familiar everyday properties, the inapplicability of this concept on ultrasmall scales gives another hint that there is something else lurking in the microdepths-something that might be called the bare-bones substrate of spacetime-the entity to which the familiar notion of spacetime alludes. We expect that this ur-ingredient, this most elemental spacetime stuff, does not allow dissection into ever smaller pieces because of the violent fluctuations that would ultimately be encountered, and hence is quite unlike the large-scale spacetime we directly experience. It seems likely, therefore, that the appearance of the fundamental spacetime constituents-whatever they may be-is altered significantly through the averaging process by which they yield the spacetime of common experience.
+  Thus, looking for familiar spacetime in the deepest laws of nature may be like trying to take in Beethoven's Ninth Symphony solely note by single note or one of Monet's haystack paintings solely brushstroke by single brushstroke. Like these masterworks of human expression, nature's spacetime whole may be so different from its parts that nothing resembling it exists at the most fundamental level.
+Geometry in Translation
+Another consideration, one physicists call geometrical duality, also suggests that spacetime may not be fundamental, but suggests it from a very different viewpoint. Its description is a little more technical than quantum averaging, so feel free to go into skim mode if at any point this section gets too heavy. But because many researchers consider this material to be among string theory's most emblematic features, it's worth trying to get the gist of the ideas.
+  In Chapter 13 we saw how the five supposedly distinct string theories are actually different translations of one and the same theory. Among other things, we emphasized that this is a powerful realization because, when translated, supremely difficult questions sometimes become far simpler to answer. But there is a feature of the translation dictionary unifying the five theories that I've so far neglected to mention. Just as a question's degree of difficulty can be changed radically by the translation from one string formulation to another, so, too, can the description of the geometrical form of spacetime. Here's what I mean.
+  Because string theory requires more than the three space dimensions and one time dimension of common experience, we were motivated in Chapters 12 and 13 to take up the question of where the extra dimensions might be hiding. The answer we found is that they may be curled up into a size that, so far, has eluded detection because it's smaller than we are able to probe experimentally. We also found that physics in our familiar big dimensions is dependent on the precise size and shape of the extra dimensions because their geometrical properties affect the vibrational patterns strings can execute. Good. Now for the part I left out.
+  The dictionary that translates questions posed in one string theory into different questions posed in another string theory also translates the geometry of the extra dimensions in the first theory into a different extra-dimensionalgeometry in the second theory. If, for example, you are studying the physical implications of, say, the Type IIA string theory with extra dimensions curled up into a particular size and shape, then every conclusion you reach can, at least in principle, be deduced by considering appropriately translated questions in, say, the Type IIB string theory. But the dictionary for carrying out the translation demands that the extra dimensions in the Type IIB string theory be curled up into a precise geometrical form that depends on-but generally differs from-the form given by the Type IIA theory. In short, a given string theory with curled-up dimensions in one geometrical form is equivalent to-is a translation of- another string theory with curled-up dimensions in a different geometrical form.
+  And the differences in spacetime geometry need not be minor. For example, if one of the extra dimensions of, say, the Type IIA string theory should be curled up into a circle, as in Figure 12.7, the translation dictionary shows that this is absolutely equivalent to the Type IIB string theory with one of its extra dimensions also curled up into a circle, but one whose radius is inversely proportional to the original. If one circle is tiny, the other is big, and vice versa-and yet there is absolutely no way to distinguish between the two geometries. (Expressing lengths as multiples of the Planck length, if one circle has radius R, the mathematical dictionary shows that the other circle has radius 1/R). You might think that you could easily and immediately distinguish between a big and a small dimension, but in string theory this is not always the case. All observations derive from the interactions of strings, and these two theories, the Type IIA with a big circular dimension and the Type IIB with a small circular dimension, are merely different translations of-different ways of expressing-the same physics. Every observation you describe within one string theory has an alternative and equally viable description within the other string theory, even though the language of each theory and the interpretation it gives may differ. (This is possible because there are two qualitatively different configurations for strings moving on a circular dimension: those in which the string is wrapped around the circle like a rubber band around a tin can, and those in which the string resides on a portion of the circle but does not wrap around it. The former have energies that are proportional to the radius of the circle [the larger the radius, the longer the wrapped strings are stretched, so the more energy they embody], while the latter have energies that are inversely proportional to the radius [the smaller the radius, the more hemmed in the strings are, so the more energetically they move because of quantum uncertainty]. Notice that if we were to replace the original circle by one of inverted radius, while also exchanging "wrapped" and "not wrapped" strings, physical energies-and, it turns out, physics more generally-would remain unaffected. This is exactly what the dictionary translating from the Type IIA theory to the Type IIB theory requires, and why two seemingly different geometries-a big and a small circular dimension-can be equivalent.)
+  A similar idea also holds when circular dimensions are replaced with the more complicated Calabi-Yau shapes introduced in Chapter 12. A given string theory with extra dimensions curled up into a particular Calabi-Yau shape gets translated by the dictionary into a different string theory with extra dimensions curled up into a different Calabi-Yau shape (one that is called the mirror or dual of the original). In these cases, not only can the sizes of the Calabi-Yaus differ, but so can their shapes, including the number and variety of their holes. But the translation dictionary ensures that they differ in just the right way, so that even though the extra dimensions have different sizes and shapes, the physics following from each theory is absolutely identical. (There are two types of holes in a given Calabi-Yau shape, but it turns out that string vibrational patterns-and hence physical implications-are sensitive only to the difference between the number of holes of each type. So if one Calabi-Yau has, say, two holes of the first kind and five of the second, while another Calabi-Yau has five holes of the first kind and two of the second, then even though they differ as geometrical shapes, they can give rise to identical physics.44)
+  From another perspective, then, this bolsters the suspicion that space is not a foundational concept. Someone describing the universe using one of the five string theories would claim that space, including the extra dimensions, has a particular size and shape, while someone else using one of the other string theories would claim that space, including the extra dimensions, has a different size and shape. Because the two observers would simply be using alternative mathematical descriptions of the same  physical universe, it is not that one would be right and the other wrong. They would both be right, even though their conclusions about space- its size and shape-would differ. Note too, that it's not that they would be slicing up spacetime in different, equally valid ways, as in special relativity. These two observers would fail to agree on the overall structure of spacetime itself. And that's the point. If spacetime were really fundamental, most physicists expect that everyone, regardless of perspective-regardless of the language or theory used-would agree on its geometrical properties. But the fact that, at least within string theory, this need not be the case, suggests that spacetime may be a secondary phenomenon.
+  We are thus led to ask: if the clues described in the last two sections are pointing us in the right direction, and familiar spacetime is but a large-scale manifestation of some more fundamental entity, what is that entity and what are its essential properties? As of today, no one knows. But in the search for answers, researchers have found yet further clues, and the most important have come from thinking about black holes.
+Wherefore the Entropy of Black Holes?
+Black holes have the universe's most inscrutable poker faces. From the outside, they appear just about as simple as you can get. The three distinguishing features of a black hole are its mass (which determines how big it is-the distance from its center to its event horizon, the enshrouding surface of no return), its electric charge, and how fast it's spinning. That's it. There are no more details to be gleaned from scrutinizing the visage that a black hole presents to the cosmos. Physicists sum this up with the saying "Black holes have no hair," meaning that they lack the kinds of detailed features that allow for individuality. When you've seen one black hole with a given mass, charge, and spin (though you've learned these indirectly, through their effect on surrounding gas and stars, since black holes are black), you've definitely seen them all.
+  Nevertheless, behind their stony countenances, black holes harbor the greatest reservoirs of mayhem the universe has ever known. Among all physical systems of a given size with any possible composition, black holes contain the highest possible entropy. Recall from Chapter 6 that one rough way to think about this comes directly from entropy's definition as a measure of the number of rearrangements of an object's internal constituents that have no effect on its appearance. When it comes to black holes, even though we can't say what their constituents actually are- since we don't know what happens when matter is crushed at the black hole's center-we can say confidently that rearranging these constituents will no more affect a black hole's mass, charge, or spin than rearranging the pages in War and Peace will affect the weight of the book. And since mass, charge, and spin fully determine the face that a black hole shows the external world,  all such manipulations go unnoticed and we can say a black hole has maximal entropy.
+  Even so, you might suggest one-upping the entropy of a black hole in the following simple way. Build a hollow sphere of the same size as a given black hole and fill it with gas (hydrogen, helium, carbon dioxide, whatever) that you allow to spread through its interior. The more gas you pump in, the greater the entropy, since more constituents means more possible rearrangements. You might guess, then, that if you keep on pumping and pumping, the entropy of the gas will steadily rise and so will eventually exceed that of the given black hole. It's a clever strategy, but general relativity shows that it fails. The more gas you pump in, the more massive the sphere's contents become. And before you reach the entropy of an equal-sized black hole, the increasingly large mass within the sphere will reach a critical value that causes the sphere and its contents to become a black hole. There's just no way around it. Black holes have a monopoly on maximal disorder.
+  What if you try to further increase the entropy in the space inside the black hole itself by continuing to pump in yet more gas? Entropy will indeed continue to rise, but you'll have changed the rules of the game. As matter takes the plunge across a black hole's ravenous event horizon, not only does the black hole's entropy increase, but its size increases as well. The size of a black hole is proportional to its mass, so as you dump more matter into the hole, it gets heavier and bigger. Thus, once you max out the entropy in a region of space by creating a black hole, any attempt to further increase the entropy in that region will fail. The region just can't support more disorder. It's entropy-sated. Whatever you do, whether you pump in gas or toss in a Hummer, you will necessarily cause the black hole to grow and hence surround a larger spatial region. Thus, the amount of entropy contained within a black hole not only tells us a fundamental feature of the black hole, it also tells us something fundamental about space itself: the maximum entropy that can be crammed into a region of space-any region of space, anywhere, anytime-is equal to the entropy contained within a black hole whose size equals that of the region in question.
+  So, how much entropy does a black hole of a given size contain? Here is where things get interesting. Reasoning intuitively, start with something more easily visualized, like air in a Tupperware container. If you were to join together two such containers, doubling the total volume and number of air molecules, you might guess that you'd double the entropy. Detailed calculations confirm1 this conclusion and show that, all else being equal (unchanging temperature, density, and so on), the entropies of familiar physical systems are proportional to their volumes. A natural next guess is that the same conclusion would also apply to less familiar things, like black holes, leading us to expect that a black hole's entropy is also proportional to its volume.
+  But in the 1970s, Jacob Bekenstein and Stephen Hawking discovered that this isn't right. Their mathematical analyses showed that the entropy of a black hole is not proportional to its volume, but instead is proportional to the area of its event horizon-roughly speaking, to its surface area. This is a very different answer. Were you to double the radius of a black hole, its volume would increase by a factor of 8 (23) while its surface area would increase by only a factor of 4 (22); were you to increase its radius by a factor of a hundred, its volume would increase by a factor of a million (1003), while its surface area would increase only by a factor of 10,000 (1002). Big black holes have much more volume than they do surface area.2 Thus, even though black holes contain the greatest entropy among all things of a given size, Bekenstein and Hawking showed that the amount of entropy they contain is less than what we'd naïvely guess.
+  That entropy is proportional to surface area is not merely a curious distinction between black holes and Tupperware, about which we can take note and swiftly move on. We've seen that black holes set a limit to the amount of entropy that, even in principle, can be crammed into a region of space: take a black hole whose size precisely equals that of the region in question, figure out how much entropy the black hole has, and that is the absolute limit on the amount of entropy the region of space can contain. Since this entropy, as the works of Bekenstein and Hawking showed, is proportional to the black hole's surface area-which equals the surface area of the region, since we chose them to have the same size-we conclude that the maximal entropy any given region of space can contain is proportional to the region's surface area.3
+  The discrepancy between this conclusion and that found from thinking about air trapped in Tupperware (where we found the amount of entropy to be proportional to the Tupperware's volume, not its surface area) is easy to pinpoint: Since we assumed the air was uniformly spread, the Tupperware reasoning ignored gravity; remember, when gravity matters, things clump. To ignore gravity is fine when densities are low, but when you are considering large entropy, densities are high, gravity matters, and the Tupperware reasoning is no longer valid. Instead, such extreme conditions require the gravity-based calculations of Bekenstein and Hawking, with the conclusion that the maximum entropy potential for a region of space is proportional to its surface area, not its volume.
+  All right, but why should we care? There are two reasons.
+  First, the entropy bound gives yet another clue that ultramicroscopic space has an atomized structure. In detail, Bekenstein and Hawking found that if you imagine drawing a checkerboard pattern on the event horizon of a black hole, with each square being one Planck length by one Planck length (so each such "Planck square" has an area of about 10−66 square centimeters), then the black hole's entropy equals the number of such squares that can fit on its surface.4 It's hard to miss the conclusion to which this result strongly hints: each Planck square is a minimal, fundamental unit of space, and each carries a minimal, single unit of entropy. This suggests that there is nothing, even in principle, that can take place within a Planck square, because any such activity could support disorder and hence the Planck square could contain more than the single unit of entropy found by Bekenstein and Hawking. Once again, then, from a completely different perspective we are led to the notion of an elemental spatial entity.5
+  Second, for a physicist, the upper limit to the entropy that can exist in a region of space is a critical, almost sacred quantity. To understand why, imagine you're working for a behavioral psychiatrist, and your job is to keep a detailed, moment-to-moment record of the interactions between groups of intensely hyperactive young children. Every morning you pray that the day's group will be well behaved, because the more bedlam the children create, the more difficult your job. The reason is intuitively obvious, but it's worth saying explicitly: the more disorderly the children are, the more things you have to keep track of. The universe presents a physicist with much the same challenge. A fundamental physical theory is meant to describe everything that goes on-or could go on, even in principle-in a given region of space. And, as with the children, the more disorder the region can contain-even in principle-the more things the theory must be capable of keeping track of. Thus, the maximum entropy a region can contain provides a simple but incisive litmus test: physicists expect that a truly fundamental theory is one that is perfectly matched to the maximum entropy in any given spatial region. The theory should be so tightly in tune with nature that its maximum capacity to keep track of disorder exactly equals the maximum disorder a region can possibly contain, not more and not less.
+  The thing is, if the Tupperware conclusion had had unlimited validity, a fundamental theory would have needed the capacity to account for a volume's worth of disorder in any region. But since that reasoning fails when gravity is included-and since a fundamental theory must include gravity-we learn that a fundamental theory need only be able to account for a surface area's worth of disorder in any region. And as we showed with a couple of numerical examples a few paragraphs ago, for large regions the latter is much smaller than the former.
+  Thus, the Bekenstein and Hawking result tells us that a theory that includes gravity is, in some sense, simpler than a theory that doesn't. There are fewer "degrees of freedom"-fewer things that can change and hence contribute to disorder-that the theory must describe. This is an interesting realization in its own right, but if we follow this line of reasoning one step further, it seems to tell us something exceedingly bizarre. If the maximum entropy in any given region of space is proportional to the region's surface area and not its volume, then perhaps the true, fundamental degrees of freedom-the attributes that have the potential to give rise to that disorder-actually reside on the region's surface and not within its volume. Maybe, that is, the universe's real physical processes take place on a thin, distant surface that surrounds us, and all we see and experience is merely a projection of those processes. Maybe, that is, the universe is rather like a hologram.
+  This is an odd idea, but as we'll now discuss, it has recently received substantial support.
+Is the Universe a Hologram?
+A hologram is a two-dimensional piece of etched plastic, which, when illuminated with appropriate laser light, projects a three-dimensional image.6 In the early 1990s, the Dutch Nobel laureate Gerard 't Hooft and Leonard Susskind, the same physicist who coinvented string theory, suggested that the universe itself might operate in a manner analogous to a hologram. They put forward the startling idea that the comings and goings we observe in the three dimensions of day-to-day life might themselves be holographic projections of physical processes taking place on a distant, two-dimensional surface. In their new and peculiar-sounding vision, we and everything we do or see would be akin to holographic images. Whereas Plato envisioned common perceptions as revealing a mere shadow of reality, the holographic principle concurs, but turns the metaphor on its head. The shadows-the things that are flattened out and hence live on a lower-dimensional surface-are real, while what seem to be the more richly structured, higher-dimensional entities (us; the world around us) are evanescent projections of the shadows.45
+  Again, while it is a fantastically strange idea, and one whose role in the final understanding of spacetime is far from clear, 't Hooft and Susskind's so-called holographic principle is well motivated. For, as we discussed in the last section, the maximum entropy that a region of space can contain scales with the area of its surface, not with the volume of its interior. It's natural to guess, then, that the universe's most fundamental ingredients, its most basic degrees of freedom-the entities that can carry the universe's entropy much as the pages of War and Peace carry its entropy- would reside on a bounding surface and not in the universe's interior. What we experience in the "volume" of the universe-in the bulk, as physicists often call it-would be determined by what takes place on the bounding surface, much as what we see in a holographic projection is determined by information encoded on a bounding piece of plastic. The laws of physics would act as the universe's laser, illuminating the real processes of the cosmos-processes taking place on a thin, distant surface-and generating the holographic illusions of daily life.
+  We have not yet figured out how this holographic principle might be realized in the real world. One challenge is that in conventional descriptions the universe is imagined either to go on forever, or if not, to wrap back on itself like a sphere or a video game screen (as in Chapter 8), and hence it wouldn't have any edges or boundaries. So, where would the supposed "bounding holographic surface" be located? Moreover, physical processes certainly seem to be under our control, right here, deep in the universe's interior. It doesn't seem that something on a hard-to-locate boundary is somehow calling the shots regarding what happens here in the bulk. Does the holographic principle imply that that sense of control and autonomy is illusory? Or is it better to think of holography as articulating a kind of duality in which, on the basis of taste-not of physics- one can choose a familiar description in which the fundamental laws operate here in the bulk (which aligns with intuition and perception) or an unfamiliar description in which fundamental physics takes place on some kind of boundary of the universe, with each viewpoint being equally valid? These are essential questions that remain controversial.
+  But in 1997, building on earlier insights of a number of string theorists, the Argentinian physicist Juan Maldacena had a breakthrough that dramatically advanced thinking on these matters. His discovery is not directly relevant to the question of holography's role in our real universe, but in the time-honored fashion of physics, he found a hypothetical context-a hypothetical universe-in which abstract musings on holography could be made both concrete and precise using mathematics. For technical reasons, Maldacena studied a hypothetical universe with four large space dimensions and one time dimension that have uniform negative curvature-a higher dimensional version of the Pringle's potato chip, Figure 8.6c. Standard mathematical analysis reveals that this fivedimensional spacetime has a boundary7 that, like all boundaries, has one dimension less than the shape it bounds: three space dimensions and one time dimension. (As always, higher-dimensional spaces are hard to envision, so if you want a mental picture, think of a can of tomato soup-the three-dimensional liquid soup is analogous to the five-dimensional spacetime, while the two-dimensional surface of the can is analogous to the four-dimensional spacetime boundary.) After including additional curled-up dimensions as required by string theory, Maldacena convincingly argued that the physics witnessed by an observer living within this universe (an observer in the "soup") could be completely described in terms of physics taking place on the universe's boundary (physics on the surface of the can).
+  Although it is not realistic, this work provided the first concrete and mathematically tractable example in which the holographic principle was explicitly realized.8 In doing so, it shed much light on the notion of holography as applied to an entire universe. For instance, in Maldacena's work, the bulk description and the boundary description are on an absolutely equal footing. One is not primary and the other secondary. In much the same spirit as the relation between the five string theories, the bulk and boundary theories are translations of each other. The unusual feature of this particular translation, though, is that the bulk theory has more dimensions than the equivalent theory formulated on the boundary. Moreover, whereas the bulk theory includes gravity (since Maldacena formulated it using string theory), calculations show that the boundary theory doesn't. Nevertheless, any question asked or calculation done in one of the theories can be translated into an equivalent question or calculation in the other. While someone unfamiliar with the dictionary would think that the corresponding questions and calculations have absolutely nothing to do with each other (for example, since the boundary theory does not include gravity, questions involving gravity in the bulk theory are translated into very-different-sounding, gravity-less questions in the boundary theory), someone well versed in both languages-an expert on both theories-would recognize their relationship and realize that the answers to corresponding questions and the results of corresponding calculations must agree. Indeed, every calculation done to date, and there have been many, supports this assertion.
+  The details of all this are challenging to grasp fully, but don't let that obscure the main point. Maldacena's result is amazing. He found a concrete, albeit hypothetical, realization of holography within string theory. He showed that a particular quantum theory without gravity is a translation of-is indistinguishable from-another quantum theory that includes gravity but is formulated with one more space dimension. Vigorous research programs are under way to determine how these insights might apply to a more realistic universe, our universe, but progress is slow as the analysis is fraught with technical hurdles. (Maldacena chose the particular hypothetical example he did because it proved relatively easy to analyze mathematically; more realistic examples are much harder to deal with.) Nevertheless, we now know that string theory, at least in certain contexts, has the capacity to support the concept of holography. And, as with the case of geometric translations described earlier, this provides yet another hint that spacetime is not fundamental. Not only can the size and shape of spacetime change in translation from one formulation of a theory to another, equivalent form, but the number of space dimensions can change, too.
+  More and more, these clues point toward the conclusion that the form of spacetime is an adorning detail that varies from one formulation of a physical theory to the next, rather than being a fundamental element of reality. Much as the number of letters, syllables, and vowels in the word cat differ from those in gato, its Spanish translation, the form of spacetime-its shape, its size, and even the number of its dimensions-also changes in translation. To any given observer who is using one theory to think about the universe, spacetime may seem real and indispensable. But should that observer change the formulation of the theory he or she uses to an equivalent, translated version, what once seemed real and indispensable necessarily changes, too. Thus, if these ideas are right-and I should emphasize that they have yet to be rigorously proven even though theorists have amassed a great deal of supporting evidence-they strongly challenge the primacy of space and time.
+  Of all the clues discussed here, I'd pick the holographic principle as the one most likely to play a dominant role in future research. It emerges from a basic feature of black holes-their entropy-the understanding of which, many physicists agree, rests on firm theoretical foundations. Even if the details of our theories should change, we expect that any sensible description of gravity will allow for black holes, and hence the entropy bounds driving this discussion will persist and holography will apply. That string theory naturally incorporates the holographic principle-at least in examples amenable to mathematical analysis-is another strong piece of evidence suggesting the principle's validity. I expect that regardless of where the search for the foundations of space and time may take us, regardless of modifications to string/M-theory that may be waiting for us around the bend, holography will continue to be a guiding concept.
+The Constituents of Spacetime
+Throughout this book we have periodically alluded to the ultramicroscopic constituents of spacetime, but although we've given indirect arguments for their existence we've yet to say anything about what these constituents might actually be. And for good reason. We really have no idea what they are. Or, perhaps I should say, when it comes to identifying spacetime's elemental ingredients, we have no ideas about which we're really confident. This is a major gap in our understanding, but it's worthwhile to see the problem in its historical context.
+  Were you to have polled scientists in the late nineteenth century about their views on matter's elementary constituents, you wouldn't have found universal agreement. A mere century ago, the atomic hypothesis was controversial; there were well-known scientists-Ernst Mach was one-who thought it wrong. Moreover, ever since the atomic hypothesis received widespread acceptance in the early part of the twentieth century, scientists have been continuously updating the picture it supplies with what are believed to be ever more elementary ingredients (for example, first protons and neutrons, then quarks). String theory is the latest step along this path, but because it has yet to be confirmed experimentally (and even if it were, that wouldn't preclude the existence of a yet more refined theory awaiting development), we must forthrightly acknowledge that the search for nature's basic material constituents continues.
+  The incorporation of space and time into a modern scientific context goes back to Newton in the 1600s, but serious thought regarding their microscopic makeup required the twentieth-century discoveries of general relativity and quantum mechanics. Thus, on historical time scales, we've really only just begun to analyze spacetime, so the lack of a definitive proposal for its "atoms"-spacetime's most elementary constituents- is not a black mark on the subject. Far from it. That we've gotten as far as we have-that we've revealed numerous features of space and time vastly beyond common experience-attests to progress unfathomable a century ago. The search for the most fundamental of nature's ingredients, whether of matter or of spacetime, is a formidable challenge that will likely occupy us for some time to come.
+  For spacetime, there are currently two promising directions in the search for elementary constituents. One proposal comes from string theory and the other from a theory known as loop quantum gravity.
+  String theory's proposal, depending on how hard you think about it, is either intuitively pleasing or thoroughly baffling. Since we speak of the "fabric" of spacetime, the suggestion goes, maybe spacetime is stitched out of strings much as a shirt is stitched out of thread. That is, much as joining numerous threads together in an appropriate pattern produces a shirt's fabric, maybe joining numerous strings together in an appropriate pattern produces what we commonly call spacetime's fabric. Matter, like you and me, would then amount to additional agglomerations of vibrating strings-like sonorous music played over a muted din, or an elaborate pattern embroidered on a plain piece of material-moving within the context stitched together by the strings of spacetime.
+  I find this an attractive and compelling proposal, but as yet no one has turned these words into a precise mathematical statement. As far as I can tell, the obstacles to doing so are far from trifling. For instance, if your shirt completely unraveled you'd be left with a pile of thread-an outcome that, depending on circumstances, you might find embarrassing or irritating, although probably not deeply mysterious. But it thoroughly taxes the mind (my mind, at least) to think about the analogous situation with strings-the threads of spacetime in this proposal. What would we make of a "pile" of strings that had unraveled from the spacetime fabric or, perhaps more to the point, had not yet even joined together to produce the spacetime fabric? The temptation might be to think of them much as we do the shirt's thread-as raw material that needs to be stitched together-but that glosses over an absolutely essential subtlety. We picture strings as vibrating in space and through time, but without the spacetime fabric that the strings are themselves imagined to yield through their orderly union,  there is no space or time. In this proposal, the concepts of space and time fail to have meaning until innumerable strings weave together to produce them.
+  Thus, to make sense of this proposal, we would need a framework for describing strings that does not assume from the get-go that they are vibrating in a preexisting spacetime. We would need a fully spaceless and timeless formulation of string theory, in which spacetime emerges from the collective behavior of strings.
+  Although there has been progress toward this goal, no one has yet come up with such a spaceless and timeless formulation of string theory-something that physicists call a background-independent formulation (the term comes from the loose notion of spacetime as a backdrop against which physical phenomena take place). Instead, essentially all approaches envision strings as moving and vibrating through a spacetime that is inserted into the theory "by hand"; spacetime does not emerge from the theory, as physicists imagine it would in a background-independent framework, but is supplied to the theory by the theorist. Many researchers consider the development of a background-independent formulation to be the single greatest unsolved problem facing string theory. Not only would it give insight into the origin of spacetime, but a background-independent framework would likely be instrumental in resolving the major hang-up encountered at the end of Chapter 12-the theory's current inability to select the geometrical form of the extra dimensions. Once its basic mathematical formalism is disentangled from any particular spacetime, the reasoning goes, string theory should have the capacity to survey all possibilities and perhaps adjudicate among them.
+  Another difficulty facing the strings-as-threads-of-spacetime proposal is that, as we learned in Chapter 13, string theory has other ingredients besides strings. What role do these other components play in spacetime's fundamental makeup? This question is brought into especially sharp relief by the braneworld scenario. If the three-dimensional space we experience is a three-brane, is the brane itself indecomposable or is it made from combining the theory's other ingredients? Are branes, for example, made from strings, or are branes and strings both elementary? Or should we consider yet another possibility, that branes and strings might be made from some yet finer ingredients? These questions are at the forefront of current research, but since this final chapter is about hints and clues, let me note one relevant insight that has garnered much attention.
+  Earlier, we talked about the various branes one finds in string/M-THEORY: one-branes, two-branes, three-branes, four-branes, and so on. Although I didn't stress it earlier, the theory also contains zero-branes- ingredients that have no spatial extent, much like point particles. This might seem counter to the whole spirit of string/M-theory, which moved away from the point-particle framework in an effort to tame the wild undulations of quantum gravity. However, the zero-branes, just like their higher dimensional cousins in Figure 13.2, come with strings attached, literally, and hence their interactions are governed by strings. Not surprisingly, then, zero-branes behave very differently from conventional point particles, and, most important, they participate fully in the spreading out and lessening of ultramicroscopic spacetime jitters; zero-branes do not reintroduce the fatal flaws afflicting point-particle schemes that attempt to merge quantum mechanics and general relativity.
+  In fact, Tom Banks of Rutgers University and Willy Fischler of the University of Texas at Austin, together with Leonard Susskind and Stephen Shenker, both now at Stanford, have formulated a version of string/M-theory in which zero-branes are the fundamental ingredients that can be combined to generate strings and the other, higher dimensional branes. This proposal, known as Matrix theory-still another possible meaning for the "M" in "M-theory"-has generated an avalanche of follow-up research, but the difficult mathematics involved has so far prevented scientists from bringing the approach to completion. Nevertheless, the calculations that physicists have managed to carry out in this framework seem to support the proposal. If Matrix theory is true, it might mean that everything-strings, branes, and perhaps even space and time themselves-is composed of appropriate aggregates of zero-branes. It's an exciting prospect, and researchers are cautiously optimistic that progress over the next few years will shed much light on its validity.
+  We have so far surveyed the path string theorists have followed in the search for spacetime's ingredients, but as I mentioned, there is a second path coming from string theory's main competitor, loop quantum gravity. Loop quantum gravity dates from the mid-1980s and is another promising proposal for merging general relativity and quantum mechanics. I won't attempt a detailed description (if you're interested, take a look at Lee Smolin's excellent book Three Roads to Quantum Gravity), but will instead mention a few key points that are particularly illuminating for our current discussion.
+  String theory and loop quantum gravity both claim to have achieved the long-sought goal of providing a quantum theory of gravity, but they do so in very different ways. String theory grew out of the successful particle physics tradition that has for decades sought matter's elementary ingredients; to most early string researchers, gravity was a distant, secondary concern, at best. By contrast, loop quantum gravity grew out of a tradition tightly grounded in the general theory of relativity; to most practitioners of this approach, gravity has always been the main focus. A one-sentence comparison would hold that string theorists start with the small (quantum theory) and move to embrace the large (gravity), while adherents of loop quantum gravity start with the large (gravity) and move to embrace the small (quantum theory).9 In fact, as we saw in Chapter 12, string theory was initially developed as a quantum theory of the strong nuclear force operating within atomic nuclei; it was realized only later, serendipitously, that the theory actually included gravity. Loop quantum gravity, on the other hand, takes Einstein's general relativity as its point of departure and seeks to incorporate quantum mechanics.
+  This starting at opposite ends of the spectrum is mirrored in the ways the two theories have so far developed. To some extent, the main achievements of each prove to be the failings of the other. For example, string theory merges all forces and all matter, including gravity (a complete unification that eludes the loop approach), by describing everything in the language of vibrating strings. The particle of gravity, the graviton, is but one particular string vibrational pattern, and hence the theory naturally describes how these elemental bundles of gravity move and interact quantum mechanically. However, as just noted, the main failing of current formulations of string theory is that they presuppose a background spacetime within which strings move and vibrate. By contrast, the main achievement of loop quantum gravity-an impressive one-is that it does not assume a background spacetime. Loop quantum gravity is a background-independent framework. However, extracting ordinary space and time, as well as the familiar and successful features of general relativity when applied on large distance scales (something easily done with current formulations of string theory) from this extraordinarily unfamiliar spaceless/timeless starting point, is a far from trivial problem, which researchers are still trying to solve. Moreover, in comparison to string theory, loop quantum gravity has made far less progress in understanding the dynamics of gravitons.
+  One harmonious possibility is that string enthusiasts and loop quantum gravity aficionados are actually constructing the same theory, but from vastly different starting points. That each theory involves loops-in string theory, these are string loops; in loop quantum gravity, they're harder to describe nonmathematically, but, roughly speaking, they're elementary loops of space-suggests there might be such a connection. This possibility is further supported by the fact that on the few problems accessible to both, such as black hole entropy, the two theories agree fully.10 And, on the question of spacetime's constituents, both theories suggest that there is some kind of atomized structure. We've already seen the clues pointing toward this conclusion that arise from string theory; those coming from loop quantum gravity are compelling and even more explicit. Loop researchers have shown that numerous loops in loop quantum gravity can be interwoven, somewhat like tiny wool loops crocheted into a sweater, and produce structures that seem, on larger scales, to approximate regions of spacetime. Most convincing of all, loop researchers have calculated the allowed areas of such surfaces of space. And just as you can have one electron or two electrons or 202 electrons, but you can't have 1.6 electrons or any other fraction, the calculations show that surfaces can have areas that are one square Planck-length, or two square Planck-lengths, or 202 square Planck-lengths, but no fractions are possible. Once again, this is a strong theoretical clue that space, like electrons, comes in discrete, indivisible chunks.11
+  If I were to hazard a guess on future developments, I'd imagine that the background-independent techniques developed by the loop quantum gravity community will be adapted to string theory, paving the way for a string formulation that is background independent. And that's the spark, I suspect, that will ignite a third superstring revolution in which, I'm optimistic, many of the remaining deep mysteries will be solved. Such developments would likely also bring spacetime's long story full circle. In earlier chapters, we followed the pendulum of opinion as it swung between relationist and absolutist positions on space, time, and spacetime. We asked: Is space a something, or isn't it? Is spacetime a something, or isn't it? And, over the course of a few centuries' thought, we encountered differing views. I believe that an experimentally confirmed, background-independent union between general relativity and quantum mechanics would yield a gratifying resolution to this issue. By virtue of the background independence, the theory's ingredients might stand in some relation to one another, but with the absence of a spacetime that is inserted into the theory from the outset, there'd be no background arena in which they were themselves embedded. Only relative relationships would matter, a solution much in the spirit of relationists like Leibniz and Mach. Then, as the theory's ingredients-be they strings, branes, loops, or something else discovered in the course of future research-coalesced to produce a familiar, large-scale spacetime (either our real spacetime or hypothetical examples useful for thought experiments), its being a "something" would be recovered, much as in our earlier discussion of general relativity: in an otherwise empty, flat, infinite spacetime (one of the useful hypothetical examples), the water in Newton's spinning bucket would take on a concave shape. The essential point would be that the distinction between spacetime and more tangible material entities would largely evaporate, as they would both emerge from appropriate aggregates of more basic ingredients in a theory that's fundamentally relational, spaceless, and timeless. If this is how it turns out, Leibniz, Newton, Mach, and Einstein could all claim a share of the victory.
+Inner and Outer Space
+Speculating about the future of science is an entertaining and constructive exercise. It places our current undertakings in a broader context, and emphasizes the overarching goals toward which we are slowly and deliberately working. But when such speculation turns to the future of spacetime itself, it takes on an almost mystical quality: we're considering the fate of the very things that dominate our sense of reality. Again, there is no question that regardless of future discoveries, space and time will continue to frame our individual experience; space and time, as far as everyday life goes, are here to stay. What will continue to change, and likely change drastically, is our understanding of the framework they provide- the arena, that is, of experiential reality. After centuries of thought, we still can only portray space and time as the most familiar of strangers. They unabashedly wend their way through our lives, but adroitly conceal their fundamental makeup from the very perceptions they so fully inform and influence.
+  Over the last century, we've become intimately acquainted with some previously hidden features of space and time through Einstein's two theories of relativity and through quantum mechanics. The slowing of time, the relativity of simultaneity, alternative slicings of spacetime, gravity as the warping and curving of space and time, the probabilistic nature of reality, and long-range quantum entanglement were not on the list of things that even the best of the world's nineteenth-century physicists would have expected to find just around the corner. And yet there they were, as attested to by both experimental results and theoretical explanations.
+  In our age, we've come upon our own panoply of unexpected ideas: Dark matter and dark energy that appear to be, far and away, the dominant constituents of the universe. Gravitational waves-ripples in the fabric of spacetime-which were predicted by Einstein's general relativity and may one day allow us to peek farther back in time than ever before. A Higgs ocean, which permeates all of space and which, if confirmed, will help us to understand how particles acquire mass. Inflationary expansion, which may explain the shape of the cosmos, resolve the puzzle of why it's so uniform on large scales, and set the direction to time's arrow. String theory, which posits loops and snippets of energy in place of point particles and promises a bold version of Einstein's dream in which all particles and all forces are combined into a single theory. Extra space dimensions, emerging from the mathematics of string theory, and possibly detectable in accelerator experiments during the next decade. A braneworld, in which our three space dimensions may be but one universe among many, floating in a higher-dimensional spacetime. And perhaps even emergent spacetime, in which the very fabric of space and time is composed of more fundamental spaceless and timeless entities.
+  During the next decade, ever more powerful accelerators will provide much-needed experimental input, and many physicists are confident that data gathered from the highly energetic collisions that are planned will confirm a number of these pivotal theoretical constructs. I share this enthusiasm and eagerly await the results. Until our theories make contact with observable, testable phenomena, they remain in limbo-they remain promising collections of ideas that may or may not have relevance for the real world. The new accelerators will advance the overlap between theory and experiment substantially, and, we physicists hope, will usher many of these ideas into the realm of established science.
+  But there is another approach that, while more of a long shot, fills me with incomparable wonderment. In Chapter 11 we discussed how the effects of tiny quantum jitters can be seen in any clear night sky since they're stretched enormously by cosmic expansion, resulting in clumps that seed the formation of stars and galaxies. (Recall the analogy of tiny scribbles, drawn on a balloon, that are stretched across its surface when the balloon is inflated.) This realization demonstrably gives access to quantum physics through astronomical observations. Perhaps it can be pushed even further. Perhaps cosmic expansion can stretch the imprints of even shorter-scale processes or features-the physics of strings, or quantum gravity more generally, or the atomized structure of ultramicroscopic spacetime itself-and spread their influence, in some subtle but observable manner, across the heavens. Maybe, that is, the universe has already drawn out the microscopic fibers of the fabric of the cosmos and unfurled them clear across the sky, and all we need do is learn how to recognize the pattern.
+  Assessing cutting-edge proposals for deep physical laws may well require the ferocious might of particle accelerators able to re-create violent conditions unseen since moments after the big bang. But for me, there would be nothing more poetic, no outcome more graceful, no unification more complete, than for us to confirm our theories of the ultrasmall-our theories about the ultramicroscopic makeup of space, time, and matter-by turning our most powerful telescopes skyward and gazing silently at the stars.
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+Skoll the wolf who shall scare the Moon
+Till he flies to the Wood-of-Woe:
+Hati the wolf, Hridvitnir's kin,
+Who shall pursue the sun.
+-"GRIMNISMAL," The Elder Edda
+N VIKING MYTHOLOGY, Skoll and Hati chase the sun and the moon. When the wolves catch either one, there is an eclipse. When this happens, the people on earth rush to rescue the sun or moon by making as much noise as they can in hopes of scaring off the wolves. There are similar myths in other cultures. But after a time people must have noticed that the sun and moon soon emerged from the eclipse regardless of whether they ran around screaming and banging on things. After a time they must also have noticed that the eclipses didn't just happen at random: They occurred in regular patterns that repeated themselves. These patterns were most obvious for eclipses of the moon and enabled the ancient Babylonians to predict lunar eclipses fairly accurately even though they didn't realize that they were caused by the earth blocking the light of the sun. Eclipses of the sun were more difficult to predict because they are visible only in a corridor on the earth about 30 miles wide. Still, once grasped, the patterns made it clear the eclipses were not dependent on the arbitrary whims of supernatural beings, but rather governed by laws.
+
+  Despite some early success predicting the motion of celestial bodies, most events in nature appeared to our ancestors to be impossible to predict. Volcanoes, earthquakes, storms, pestilences, and ingrown toenails all seemed to occur without obvious cause or pattern. In ancient times it was natural to ascribe the violent acts of nature to a pantheon of mischievous or malevolent deities. Calamities were often taken as a sign that we had somehow offended the gods. For example, in about 5600 BC the Mount Mazama volcano in Oregon erupted, raining rock and burning ash for years, and leading to the many years of rainfall that eventually filled the volcanic crater today called Crater Lake. The Klamath Indians of Oregon have a legend that faithfully matches every geologic detail of the event but adds a bit of drama by portraying a human as the cause of the catastrophe. The human capacity for guilt is such that people can always find ways to blame themselves. As the legend goes, Llao, the chief of the Below World, falls in love with the beautiful human daughter of a Klamath chief. She spurns him, and in revenge Llao tries to destroy the Klamath with fire. Luckily, according to the legend, Skell, the chief of the Above World, pities the humans and does battle with his underworld counterpart. Eventually Llao, injured, falls back inside Mount Mazama, leaving a huge hole, the crater that eventually filled with water.
+  Ignorance of nature's ways led people in ancient times to invent gods to lord it over every aspect of human life. There were gods of love and war; of the sun, earth, and sky; of the oceans and rivers; of rain and thunderstorms; even of earthquakes and volcanoes. When the gods were pleased, mankind was treated to good weather, peace, and freedom from natural disaster and disease. When they were displeased, there came drought, war, pestilence, and epidemics. Since the connection of cause and effect in nature was invisible to their eyes, these gods appeared inscrutable, and people at their mercy. But with Thales of Miletus (ca. 624 BC- ca. 546 BC) about 2,600 years ago, that began to change. The idea arose that nature follows consistent principles that could be deciphered. And so began the long process of replacing the notion of the reign of gods with the concept of a universe that is governed by laws of nature, and created according to a blueprint we could someday learn to read.
+  Viewed on the timeline of human history, scientific inquiry is a very new endeavor. Our species, Homo sapiens, originated in sub-Saharan Africa around 200,000 BC. Written language dates back only to about 7000 BC, the product of societies centered around the cultivation of grain. (Some of the oldest written inscriptions concern the daily ration of beer allowed to each citizen.) The earliest written records from the great civilization of ancient Greece date back to the ninth century BC, but the height of that civilization, the "classical period," came several hundred years later, beginning a little before 500 BC. According to Aristotle (384 BC-322 BC), it was around that time that Thales first developed the idea that the world can be understood, that the complex happenings around us could be reduced to simpler principles and explained without resorting to mythical or theological explanations.
+  Thales is credited with the first prediction of a solar eclipse in 585 BC, though the great precision of his prediction was probably a lucky guess. He was a shadowy figure who left behind no writings of his own. His home was one of the intellectual centers in a region called Ionia, which was colonized by the Greeks and exerted an influence that eventually reached from Turkey as far west as Italy. Ionian science was an endeavor marked by a strong interest in uncovering fundamental laws to explain natural phenomena, a tremendous milestone in the history of human ideas. Their approach was rational and in many cases led to conclusions surprisingly similar to what our more sophisticated methods have led us to believe today. It represented a grand beginning. But over the centuries much of Ionian science would be forgotten-only to be rediscovered or reinvented, sometimes more than once.
+  According to legend, the first mathematical formulation of what we might today call a law of nature dates back to an Ionian named Pythagoras (ca. 580 BC-ca. 490 BC), famous for the theorem named after him: that the square of the hypotenuse (longest side) of a right triangle equals the sum of the squares of the other two sides. Pythagoras is said to have discovered the numerical relationship between the length of the strings used in musical instruments and the harmonic combinations of the sounds. In today's language we would describe that relationship by saying that the frequency-the number of vibrations per second-of a string vibrating under fixed tension is inversely proportional to the length of the string. From the practical point of view, this explains why bass guitars must have longer strings than ordinary guitars. Pythagoras probably did not really discover this-he also did not discover the theorem that bears his name-but there is evidence that some relation between string length and pitch was known in his day. If so, one could call that simple mathematical formula the first instance of what we now know as theoretical physics.
+
+  Apart from the Pythagorean law of strings, the only physical laws known correctly to the ancients were three laws detailed by Archimedes (ca. 287 BC-ca. 212 BC), by far the most eminent physicist of antiquity. In today's terminology, the law of the lever explains that small forces can lift large weights because the lever amplifies a force according to the ratio of the distances from the lever's fulcrum. The law of buoyancy states that any object immersed in a fluid will experience an upward force equal to the weight of the displaced fluid. And the law of reflection asserts that the angle between a beam of light and a mirror is equal to the angle between the mirror and the reflected beam. But Archimedes did not call them laws, nor did he explain them with reference to observation and measurement. Instead he treated them as if they were purely mathematical theorems, in an axiomatic system much like the one Euclid created for geometry.
+  As the Ionian influence spread, there appeared others who saw that the universe possesses an internal order, one that could be understood through observation and reason. Anaximander (ca. 610 BC-ca. 546 BC), a friend and possibly a student of Thales, argued that since human infants are helpless at birth, if the first human had somehow appeared on earth as an infant, it would not have survived. In what may have been humanity's first inkling of evolution, people, Anaximander reasoned, must therefore have evolved from other animals whose young are hardier. In Sicily, Empedocles (ca. 490 BC-ca. 430 BC) observed the use of an instrument called a clepsydra. Sometimes used as a ladle, it consisted of a sphere with an open neck and small holes in its bottom. When immersed in water it would fill, and if the open neck was then covered, the clepsydra could be lifted out without the water in it falling through the holes. Empedocles noticed that if you cover the neck before you immerse it, a clepsydra does not fill. He reasoned that something invisible must be preventing the water from entering the sphere through the holes-he had discovered the material substance we call air.
+  Around the same time Democritus (ca 460 BC-ca. 370 BC), from an Ionian colony in northern Greece, pondered what happened when you break or cut an object into pieces. He argued that you ought not to be able to continue the process indefinitely. Instead he postulated that everything, including all living beings, is made of fundamental particles that cannot be cut or broken into parts. He named these ultimate particles atoms, from the Greek adjective meaning "uncuttable." Democritus believed that every material phenomenon is a product of the collision of atoms. In his view, dubbed atomism, all atoms move around in space, and, unless disturbed, move forward indefinitely. Today that idea is called the law of inertia.
+  The revolutionary idea that we are but ordinary inhabitants of the universe, not special beings distinguished by existing at its center, was first championed by Aristarchus (ca. 310 BC-ca. 230 BC), one of the last of the Ionian scientists. Only one of his calculations survives, a complex geometric analysis of careful observations he made of the size of the earth's shadow on the moon during a lunar eclipse. He concluded from his data that the sun must be much larger than the earth. Perhaps inspired by the idea that tiny objects ought to orbit mammoth ones and not the other way around, he became the first person to argue that the earth is not the center of our planetary system, but rather that it and the other planets orbit the much larger sun. It is a small step from the realization that the earth is just another planet to the idea that our sun is nothing special either. Aristarchus suspected that this was the case and believed that the stars we see in the night sky are actually nothing more than distant suns.
+  The Ionians were but one of many schools of ancient Greek philosophy, each with different and often contradictory traditions. Unfortunately, the Ionians' view of nature-that it can be explained through general laws and reduced to a simple set of principles-exerted a powerful influence for only a few centuries. One reason is that Ionian theories often seemed to have no place for the notion of free will or purpose, or the concept that gods intervene in the workings of the world. These were startling omissions as profoundly unsettling to many Greek thinkers as they are to many people today. The philosopher Epicurus (341 BC-270 BC), for example, opposed atomism on the grounds that it is "better to follow the myths about the gods than to become a 'slave' to the destiny of natural philosophers." Aristotle too rejected the concept of atoms because he could not accept that human beings were composed of soulless, inanimate objects. The Ionian idea that the universe is not human-centered was a milestone in our understanding of the cosmos, but it was an idea that would be dropped and not picked up again, or commonly accepted, until Galileo, almost twenty centuries later.
+  As insightful as some of their speculations about nature were, most of the ideas of the ancient Greeks would not pass muster as valid science in modern times. For one, because the Greeks had not invented the scientific method, their theories were not developed with the goal of experimental verification. So if one scholar claimed an atom moved in a straight line until it collided with a second atom and another scholar claimed it moved in a straight line until it bumped into a cyclops, there was no objective way to settle the argument. Also, there was no clear distinction between human and physical laws. In the fifth century BC, for instance, Anaximander wrote that all things arise from a primary substance, and return to it, lest they "pay fine and penalty for their iniquity." And according to the Ionian philosopher Heraclitus (ca. 535 BC-ca. 475 BC), the sun behaves as it does because otherwise the goddess of justice will hunt it down. Several hundred years later the Stoics, a school of Greek philosophers that arose around the third century BC, did make a distinction between human statutes and natural laws, but they included rules of human conduct they considered universal-such as veneration of God and obedience to parents-in the category of natural laws. Conversely, they often described physical processes in legal terms and believed them to be in need of enforcement, even though the objects required to "obey" the laws were inanimate. If you think it is hard to get humans to follow traffic laws, imagine convincing an asteroid to move along an ellipse.
+  This tradition continued to influence the thinkers who succeeded the Greeks for many centuries thereafter. In the thirteenth century the early Christian philosopher Thomas Aquinas (ca. 1225-1274) adopted this view and used it to argue for the existence of God, writing, "It is clear that [inanimate bodies] reach their end not by chance but by intention.... There is therefore, an intelligent personal being by whom everything in nature is ordered to its end." Even as late as the sixteenth century, the great German astronomer Johannes Kepler (1571-1630) believed that planets had sense perception and consciously followed laws of movement that were grasped by their "mind."
+  The notion that the laws of nature had to be intentionally obeyed reflects the ancients' focus on why nature behaves as it does, rather than on how it behaves. Aristotle was one of the leading proponents of that approach, rejecting the idea of science based principally on observation. Precise measurement and mathematical calculation were in any case difficult in ancient times. The base ten number notation we find so convenient for arithmetic dates back only to around AD 700, when the Hindus took the first great strides toward making that subject a powerful tool. The abbreviations for plus and minus didn't come until the fifteenth century. And neither the equal sign nor clocks that could measure times to the second existed before the sixteenth century.
+  Aristotle, however, did not see problems in measurement and calculation as impediments to developing a physics that could produce quantitative predictions. Rather, he saw no need to make them. Instead, Aristotle built his physics upon principles that appealed to him intellectually. He suppressed facts he found unappealing and focused his efforts on the reasons things happen, with relatively little energy invested in detailing exactly what was happening. Aristotle did adjust his conclusions when their blatant disagreement with observation could not be ignored. But those adjustments were often ad hoc explanations that did little more than paste over the contradiction. In that manner, no matter how severely his theory deviated from actuality, he could always alter it just enough to seem to remove the conflict. For example, his theory of motion specified that heavy bodies fall with a constant speed that is proportional to their weight. To explain the fact that objects clearly pick up speed as they fall, he invented a new principle-that bodies proceed more jubilantly, and hence accelerate, when they come closer to their natural place of rest, a principle that today seems a more apt description of certain people than of inanimate objects. Though Aristotle's theories often had little predictive value, his approach to science dominated Western thought for nearly two thousand years.
+  The Greeks' Christian successors rejected the idea that the universe is governed by indifferent natural law. They also rejected the idea that humans do not hold a privileged place within that universe. And though the medieval period had no single coherent philosophical system, a common theme was that the universe is God's dollhouse, and religion a far worthier study than the phenomena of nature. Indeed, in 1277 Bishop Tempier of Paris, acting on the instructions of Pope John XXI, published a list of 219 errors or heresies that were to be condemned. Among the heresies was the idea that nature follows laws, because this conflicts with God's omnipotence. Interestingly, Pope John was killed by the effects of the law of gravity a few months later when the roof of his palace fell in on him.
+
+  The modern concept of laws of nature emerged in the seventeenth century. Kepler seems to have been the first scientist to understand the term in the sense of modern science, though as we've said, he retained an animistic view of physical objects. Galileo (1564-1642) did not use the term "law" in his most scientific works (though it appears in some translations of those works). Whether or not he used the word, however, Galileo did uncover a great many laws, and advocated the important principles that observation is the basis of science and that the purpose of science is to research the quantitative relationships that exist between physical phenomena. But the person who first explicitly and rigorously formulated the concept of laws of nature as we understand them was René Descartes (1596-1650).
+  Descartes believed that all physical phenomena must be explained in terms of the collisions of moving masses, which were governed by three laws-precursors of Newton's famous laws of motion. He asserted that those laws of nature were valid in all places and at all times, and stated explicitly that obedience to these laws does not imply that these moving bodies have minds. Descartes also understood the importance of what we today call "initial conditions." Those describe the state of a system at the beginning of whatever interval of time over which one seeks to make predictions. With a given set of initial conditions, the laws of nature determine how a system will evolve over time, but without a specific set of initial conditions, the evolution cannot be specified. If, for example, at time zero a pigeon directly overhead lets something go, the path of that falling object is determined by Newton's laws. But the outcome will be very different depending on whether, at time zero, the pigeon is sitting still on a telephone wire or flying by at 20 miles per hour. In order to apply the laws of physics one must know how a system started off, or at least its state at some definite time. (One can also use the laws to follow a system backward in time.)
+  With this renewed belief in the existence of laws of nature came new attempts to reconcile those laws with the concept of God. According to Descartes, God could at will alter the truth or falsity of ethical propositions or mathematical theorems, but not nature. He believed that God ordained the laws of nature but had no choice in the laws; rather, he picked them because the laws we experience are the only possible laws. This would seem to impinge on God's authority, but Descartes got around that by arguing that the laws are unalterable because they are a reflection of God's own intrinsic nature. If that were true, one might think that God still had the choice of creating a variety of different worlds, each corresponding to a different set of initial conditions, but Descartes also denied this. No matter what the arrangement of matter at the beginning of the universe, he argued, over time a world identical to ours would evolve. Moreover, Descartes felt, once God set the world going, he left it entirely alone.
+  A similar position (with some exceptions) was adopted by Isaac Newton (1643-1727). Newton was the person who won widespread acceptance of the modern concept of a scientific law with his three laws of motion and his law of gravity, which accounted for the orbits of the earth, moon, and planets, and explained phenomena such as the tides. The handful of equations he created, and the elaborate mathematical framework we have since derived from them, are still taught today, and employed whenever an architect designs a building, an engineer designs a car, or a physicist calculates how to aim a rocket meant to land on Mars. As the poet Alexander Pope said:
+Nature and Nature's laws lay hid in night:
+God said, Let Newton be! and all was light.
+  Today most scientists would say a law of nature is a rule that is based upon an observed regularity and provides predictions that go beyond the immediate situations upon which it is based. For example, we might notice that the sun has risen in the east every morning of our lives, and postulate the law "The sun always rises in the east." This is a generalization that goes beyond our limited observations of the rising sun and makes testable predictions about the future. On the other hand, a statement such as "The computers in this office are black" is not a law of nature because it relates only to the computers within the office and makes no predictions such as "If my office purchases a new computer, it will be black."
+  Our modern understanding of the term "law of nature" is an issue philosophers argue at length, and it is a more subtle question than one may at first think. For example, the philosopher John W. Carroll compared the statement "All gold spheres are less than a mile in diameter" to a statement like "All uranium-235 spheres are less than a mile in diameter." Our observations of the world tell us that there are no gold spheres larger than a mile wide, and we can be pretty confident there never will be. Still, we have no reason to believe that there couldn't be one, and so the statement is not considered a law. On the other hand, the statement "All uranium-235 spheres are less than a mile in diameter" could be thought of as a law of nature because, according to what we know about nuclear physics, once a sphere of uranium-235 grew to a diameter greater than about six inches, it would demolish itself in a nuclear explosion. Hence we can be sure that such spheres do not exist. (Nor would it be a good idea to try to make one!) This distinction matters because it illustrates that not all generalizations we observe can be thought of as laws of nature, and that most laws of nature exist as part of a larger, interconnected system of laws.
+  In modern science laws of nature are usually phrased in mathematics. They can be either exact or approximate, but they must have been observed to hold without exception-if not universally, then at least under a stipulated set of conditions. For example, we now know that Newton's laws must be modified if objects are moving at velocities near the speed of light. Yet we still consider Newton's laws to be laws because they hold, at least to a very good approximation, for the conditions of the everyday world, in which the speeds we encounter are far below the speed of light.
+  If nature is governed by laws, three questions arise:
+
+
+1. What is the origin of the laws?
+2. Are there any exceptions to the laws, i.e., miracles?
+3. Is there only one set of possible laws?
+
+  These important questions have been addressed in varying ways by scientists, philosophers, and theologians. The answer traditionally given to the first question-the answer of Kepler, Galileo, Descartes, and Newton-was that the laws were the work of God. However, this is no more than a definition of God as the embodiment of the laws of nature. Unless one endows God with some other attributes, such as being the God of the Old Testament, employing God as a response to the first question merely substitutes one mystery for another. So if we involve God in the answer to the first question, the real crunch comes with the second question: Are there miracles, exceptions to the laws?
+  Opinions about the answer to the second question have been sharply divided. Plato and Aristotle, the most influential ancient Greek writers, held that there can be no exceptions to the laws. But if one takes the biblical view, then God not only created the laws but can be appealed to by prayer to make exceptions-to heal the terminally ill, to bring premature ends to droughts, or to reinstate croquet as an Olympic sport. In opposition to Descartes's view, almost all Christian thinkers maintained that God must be able to suspend the laws to accomplish miracles. Even Newton believed in miracles of a sort. He thought that the orbit of the planets would be unstable because the gravitational attraction of one planet for another would cause disturbances to the orbits that would grow with time and would result in the planets either falling into the sun or being flung out of the solar system. God must keep on resetting the orbits, he believed, or "wind the celestial watch, lest it run down." However, Pierre-Simon, marquis de Laplace (1749-1827), commonly known as Laplace, argued that the perturbations would be periodic, that is, marked by repeated cycles, rather than being cumulative. The solar system would thus reset itself, and there would be no need for divine intervention to explain why it had survived to the present day.
+  It is Laplace who is usually credited with first clearly postulating scientific determinism: Given the state of the universe at one time, a complete set of laws fully determines both the future and the past. This would exclude the possibility of miracles or an active role for God. The scientific determinism that Laplace formulated is the modern scientist's answer to question two. It is, in fact, the basis of all modern science, and a principle that is important throughout this book. A scientific law is not a scientific law if it holds only when some supernatural being decides not to intervene. Recognizing this, Napoleon is said to have asked Laplace how God fit into this picture. Laplace replied: "Sire, I have not needed that hypothesis."
+  Since people live in the universe and interact with the other objects in it, scientific determinism must hold for people as well. Many, however, while accepting that scientific determinism governs physical processes, would make an exception for human behavior because they believe we have free will. Descartes, for instance, in order to preserve the idea of free will, asserted that the human mind was something different from the physical world and did not follow its laws. In his view a person consists of two ingredients, a body and a soul. Bodies are nothing but ordinary machines, but the soul is not subject to scientific law. Descartes was very interested in anatomy and physiology and regarded a tiny organ in the center of the brain, called the pineal gland, as the principal seat of the soul. That gland, he believed, was the place where all our thoughts are formed, the wellspring of our free will.
+
+  Do people have free will? If we have free will, where in the evolutionary tree did it develop? Do blue-green algae or bacteria have free will, or is their behavior automatic and within the realm of scientific law? Is it only multicelled organisms that have free will, or only mammals? We might think that a chimpanzee is exercising free will when it chooses to chomp on a banana, or a cat when it rips up your sofa, but what about the roundworm called Caenorhabditis elegans-a simple creature made of only 959 cells? It probably never thinks, "That was damn tasty bacteria I got to dine on back there," yet it too has a definite preference in food and will either settle for an unattractive meal or go foraging for something better, depending on recent experience. Is that the exercise of free will?
+  Though we feel that we can choose what we do, our understanding of the molecular basis of biology shows that biological processes are governed by the laws of physics and chemistry and therefore are as determined as the orbits of the planets. Recent experiments in neuroscience support the view that it is our physical brain, following the known laws of science, that determines our actions, and not some agency that exists outside those laws. For example, a study of patients undergoing awake brain surgery found that by electrically stimulating the appropriate regions of the brain, one could create in the patient the desire to move the hand, arm, or foot, or to move the lips and talk. It is hard to imagine how free will can operate if our behavior is determined by physical law, so it seems that we are no more than biological machines and that free will is just an illusion.
+  While conceding that human behavior is indeed determined by the laws of nature, it also seems reasonable to conclude that the outcome is determined in such a complicated way and with so many variables as to make it impossible in practice to predict. For that one would need a knowledge of the initial state of each of the thousand trillion trillion molecules in the human body and to solve something like that number of equations. That would take a few billion years, which would be a bit late to duck when the person opposite aimed a blow.
+  Because it is so impractical to use the underlying physical laws to predict human behavior, we adopt what is called an effective theory. In physics, an effective theory is a framework created to model certain observed phenomena without describing in detail all of the underlying processes. For example, we cannot solve exactly the equations governing the gravitational interactions of every atom in a person's body with every atom in the earth. But for all practical purposes the gravitational force between a person and the earth can be described in terms of just a few numbers, such as the person's total mass. Similarly, we cannot solve the equations governing the behavior of complex atoms and molecules, but we have developed an effective theory called chemistry that provides an adequate explanation of how atoms and molecules behave in chemical reactions without accounting for every detail of the interactions. In the case of people, since we cannot solve the equations that determine our behavior, we use the effective theory that people have free will. The study of our will, and of the behavior that arises from it, is the science of psychology. Economics is also an effective theory, based on the notion of free will plus the assumption that people evaluate their possible alternative courses of action and choose the best. That effective theory is only moderately successful in predicting behavior because, as we all know, decisions are often not rational or are based on a defective analysis of the consequences of the choice. That is why the world is in such a mess.
+  The third question addresses the issue of whether the laws that determine both the universe and human behavior are unique. If your answer to the first question is that God created the laws, then this question asks, did God have any latitude in choosing them? Both Aristotle and Plato believed, like Descartes and later Einstein, that the principles of nature exist out of "necessity," that is, because they are the only rules that make logical sense. Due to his belief in the origin of the laws of nature in logic, Aristotle and his followers felt that one could "derive" those laws without paying a lot of attention to how nature actually behaved. That, and the focus on why objects follow rules rather than on the specifics of what the rules are, led him to mainly qualitative laws that were often wrong and in any case did not prove very useful, even if they did dominate scientific thought for many centuries. It was only much later that people such as Galileo dared to challenge the authority of Aristotle and observe what nature actually did, rather than what pure "reason" said it ought to do.
+  This book is rooted in the concept of scientific determinism, which implies that the answer to question two is that there are no miracles, or exceptions to the laws of nature. We will, however, return to address in depth questions one and three, the issues of how the laws arose and whether they are the only possible laws. But first, in the next chapter, we will address the issue of what it is that the laws of nature describe. Most scientists would say they are the mathematical reflection of an external reality that exists independent of the observer who sees it. But as we ponder the manner in which we observe and form concepts about our surroundings, we bump into the question, do we really have reason to believe that an objective reality exists?
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+FEW YEARS AGO the city council of Monza, Italy, barred pet owners from keeping goldfish in curved goldfish bowls. The measure's sponsor explained the measure in part by saying that it is cruel to keep a fish in a bowl with curved sides because, gazing out, the fish would have a distorted view of reality. But how do we know we have the true, undistorted picture of reality? Might not we ourselves also be inside some big goldfish bowl and have our vision distorted by an enormous lens? The goldfish's picture of reality is different from ours, but can we be sure it is less real?
+  The goldfish view is not the same as our own, but goldfish could still formulate scientific laws governing the motion of the objects they observe outside their bowl. For example, due to the distortion, a freely moving object that we would observe to move in a straight line would be observed by the goldfish to move along a curved path. Nevertheless, the goldfish could formulate scientific laws from their distorted frame of reference that would always hold true and that would enable them to make predictions about the future motion of objects outside the bowl. Their laws would be more complicated than the laws in our frame, but simplicity is a matter of taste. If a goldfish formulated such a theory, we would have to admit the goldfish's view as a valid picture of reality.
+  A famous example of different pictures of reality is the model introduced around AD 150 by Ptolemy (ca. 85-ca. 165) to describe the motion of the celestial bodies. Ptolemy published his work in a thirteen-book treatise usually known under its Arabic title, Almagest. The Almagest begins by explaining reasons for thinking that the earth is spherical, motionless, positioned at the center of the universe, and negligibly small in comparison to the distance of the heavens. Despite Aristarchus's heliocentric model, these beliefs had been held by most educated Greeks at least since the time of Aristotle, who believed for mystical reasons that the earth should be at the center of the universe. In Ptolemy's model the earth stood still at the center and the planets and the stars moved around it in complicated orbits involving epicycles, like wheels on wheels.
+
+  This model seemed natural because we don't feel the earth under our feet moving (except in earthquakes or moments of passion). Later European learning was based on the Greek sources that had been passed down, so that the ideas of Aristotle and Ptolemy became the basis for much of Western thought. Ptolemy's model of the cosmos was adopted by the Catholic Church and held as official doctrine for fourteen hundred years. It was not until 1543 that an alternative model was put forward by Copernicus in his book De revolutionibus orbium coelestium (On the Revolutions of the Celestial Spheres), published only in the year of his death (though he had worked on his theory for several decades).
+  Copernicus, like Aristarchus some seventeen centuries earlier, described a world in which the sun was at rest and the planets revolved around it in circular orbits. Though the idea wasn't new, its revival was met with passionate resistance. The Copernican model was held to contradict the Bible, which was interpreted as saying that the planets moved around the earth, even though the Bible never clearly stated that. In fact, at the time the Bible was written people believed the earth was flat. The Copernican model led to a furious debate as to whether the earth was at rest, culminating in Galileo's trial for heresy in 1633 for advocating the Copernican model, and for thinking "that one may hold and defend as probable an opinion after it has been declared and defined contrary to the Holy Scripture." He was found guilty, confined to house arrest for the rest of his life, and forced to recant. He is said to have muttered under his breath "Eppur si muove," "But still it moves." In 1992 the Roman Catholic Church finally acknowledged that it had been wrong to condemn Galileo.
+  So which is real, the Ptolemaic or Copernican system? Although it is not uncommon for people to say that Copernicus proved Ptolemy wrong, that is not true. As in the case of our normal view versus that of the goldfish, one can use either picture as a model of the universe, for our observations of the heavens can be explained by assuming either the earth or the sun to be at rest. Despite its role in philosophical debates over the nature of our universe, the real advantage of the Copernican system is simply that the equations of motion are much simpler in the frame of reference in which the sun is at rest.
+  A different kind of alternative reality occurs in the science fiction film The Matrix, in which the human race is unknowingly living in a simulated virtual reality created by intelligent computers to keep them pacified and content while the computers suck their bioelectrical energy (whatever that is). Maybe this is not so far-fetched, because many people prefer to spend their time in the simulated reality of websites such as Second Life. How do we know we are not just characters in a computer-generated soap opera? If we lived in a synthetic imaginary world, events would not necessarily have any logic or consistency or obey any laws. The aliens in control might find it more interesting or amusing to see our reactions, for example, if the full moon split in half, or everyone in the world on a diet developed an uncontrollable craving for banana cream pie. But if the aliens did enforce consistent laws, there is no way we could tell there was another reality behind the simulated one. It would be easy to call the world the aliens live in the "real" one and the synthetic world a "false" one. But if-like us-the beings in the simulated world could not gaze into their universe from the outside, there would be no reason for them to doubt their own pictures of reality. This is a modern version of the idea that we are all figments of someone else's dream.
+  These examples bring us to a conclusion that will be important in this book: There is no picture- or theory-independent concept of reality. Instead we will adopt a view that we will call model-dependent realism: the idea that a physical theory or world picture is a model (generally of a mathematical nature) and a set of rules that connect the elements of the model to observations. This provides a framework with which to interpret modern science.
+
+  Philosophers from Plato onward have argued over the years about the nature of reality. Classical science is based on the belief that there exists a real external world whose properties are definite and independent of the observer who perceives them. According to classical science, certain objects exist and have physical properties, such as speed and mass, that have well-defined values. In this view our theories are attempts to describe those objects and their properties, and our measurements and perceptions correspond to them. Both observer and observed are parts of a world that has an objective existence, and any distinction between them has no meaningful significance. In other words, if you see a herd of zebras fighting for a spot in the parking garage, it is because there really is a herd of zebras fighting for a spot in the parking garage. All other observers who look will measure the same properties, and the herd will have those properties whether anyone observes them or not. In philosophy that belief is called realism.
+  Though realism may be a tempting viewpoint, as we'll see later, what we know about modern physics makes it a difficult one to defend. For example, according to the principles of quantum physics, which is an accurate description of nature, a particle has neither a definite position nor a definite velocity unless and until those quantities are measured by an observer. It is therefore not correct to say that a measurement gives a certain result because the quantity being measured had that value at the time of the measurement. In fact, in some cases individual objects don't even have an independent existence but rather exist only as part of an ensemble of many. And if a theory called the holographic principle proves correct, we and our four-dimensional world may be shadows on the boundary of a larger, five-dimensional space-time. In that case, our status in the universe is analogous to that of the goldfish.
+  Strict realists often argue that the proof that scientific theories represent reality lies in their success. But different theories can successfully describe the same phenomenon through disparate conceptual frameworks. In fact, many scientific theories that had proven successful were later replaced by other, equally successful theories based on wholly new concepts of reality.
+  Traditionally those who didn't accept realism have been called anti-realists. Anti-realists suppose a distinction between empirical knowledge and theoretical knowledge. They typically argue that observation and experiment are meaningful but that theories are no more than useful instruments that do not embody any deeper truths underlying the observed phenomena. Some anti-realists have even wanted to restrict science to things that can be observed. For that reason, many in the nineteenth century rejected the idea of atoms on the grounds that we would never see one. George Berkeley (1685-1753) even went as far as to say that nothing exists except the mind and its ideas. When a friend remarked to English author and lexicographer Dr. Samuel Johnson (1709-1784) that Berkeley's claim could not possibly be refuted, Johnson is said to have responded by walking over to a large stone, kicking it, and proclaiming, "I refute it thus." Of course the pain Dr. Johnson experienced in his foot was also an idea in his mind, so he wasn't really refuting Berkeley's ideas. But his act did illustrate the view of philosopher David Hume (1711-1776), who wrote that although we have no rational grounds for believing in an objective reality, we also have no choice but to act as if it is true.
+  Model-dependent realism short-circuits all this argument and discussion between the realist and anti-realist schools of thought.
+
+According to model-dependent realism, it is pointless to ask whether a model is real, only whether it agrees with observation. If there are two models that both agree with observation, like the goldfish's picture and ours, then one cannot say that one is more real than another. One can use whichever model is more convenient in the situation under consideration. For example, if one were inside the bowl, the goldfish's picture would be useful, but for those outside, it would be very awkward to describe events from a distant galaxy in the frame of a bowl on earth, especially because the bowl would be moving as the earth orbits the sun and spins on its axis.
+  We make models in science, but we also make them in everyday life. Model-dependent realism applies not only to scientific models but also to the conscious and subconscious mental models we all create in order to interpret and understand the everyday world. There is no way to remove the observer-us-from our perception of the world, which is created through our sensory processing and through the way we think and reason. Our perception-and hence the observations upon which our theories are based-is not direct, but rather is shaped by a kind of lens, the interpretive structure of our human brains.
+  Model-dependent realism corresponds to the way we perceive objects. In vision, one's brain receives a series of signals down the optic nerve. Those signals do not constitute the sort of image you would accept on your television. There is a blind spot where the optic nerve attaches to the retina, and the only part of your field of vision with good resolution is a narrow area of about 1 degree of visual angle around the retina's center, an area the width of your thumb when held at arm's length. And so the raw data sent to the brain are like a badly pixilated picture with a hole in it. Fortunately, the human brain processes that data, combining the input from both eyes, filling in gaps on the assumption that the visual properties of neighboring locations are similar and interpolating. Moreover, it reads a two-dimensional array of data from the retina and creates from it the impression of three-dimensional space. The brain, in other words, builds a mental picture or model.
+  The brain is so good at model building that if people are fitted with glasses that turn the images in their eyes upside down, their brains, after a time, change the model so that they again see things the right way up. If the glasses are then removed, they see the world upside down for a while, then again adapt. This shows that what one means when one says "I see a chair" is merely that one has used the light scattered by the chair to build a mental image or model of the chair. If the model is upside down, with luck one's brain will correct it before one tries to sit on the chair.
+  Another problem that model-dependent realism solves, or at least avoids, is the meaning of existence. How do I know that a table still exists if I go out of the room and can't see it? What does it mean to say that things we can't see, such as electrons or quarks-the particles that are said to make up the proton and neutron-exist? One could have a model in which the table disappears when I leave the room and reappears in the same position when I come back, but that would be awkward, and what if something happened when I was out, like the ceiling falling in? How, under the table-disappears-when-I-leave-the-room model, could I account for the fact that the next time I enter, the table reappears broken, under the debris of the ceiling? The model in which the table stays put is much simpler and agrees with observation. That is all one can ask.
+  In the case of subatomic particles that we can't see, electrons are a useful model that explains observations like tracks in a cloud chamber and the spots of light on a television tube, as well as many other phenomena. It is said that the electron was discovered in 1897 by British physicist J. J. Thomson at the Cavendish Laboratory at Cambridge University. He was experimenting with currents of electricity inside empty glass tubes, a phenomenon known as cathode rays. His experiments led him to the bold conclusion that the mysterious rays were composed of minuscule "corpuscles" that were material constituents of atoms, which were then thought to be the indivisible fundamental unit of matter. Thomson did not "see" an electron, nor was his speculation directly or unambiguously demonstrated by his experiments. But the model has proved crucial in applications from fundamental science to engineering, and today all physicists believe in electrons, even though you cannot see them.
+
+  Quarks, which we also cannot see, are a model to explain the properties of the protons and neutrons in the nucleus of an atom. Though protons and neutrons are said to be made of quarks, we will never observe a quark because the binding force between quarks increases with separation, and hence isolated, free quarks cannot exist in nature. Instead, they always occur in groups of three (protons and neutrons), or in pairings of a quark and an anti-quark (pi mesons), and behave as if they were joined by rubber bands.
+  The question of whether it makes sense to say quarks really exist if you can never isolate one was a controversial issue in the years after the quark model was first proposed. The idea that certain particles were made of different combinations of a few sub-subnuclear particles provided an organizing principle that yielded a simple and attractive explanation for their properties. But although physicists were accustomed to accepting particles that were only inferred to exist from statistical blips in data pertaining to the scattering of other particles, the idea of assigning reality to a particle that might be, in principle, unobservable was too much for many physicists. Over the years, however, as the quark model led to more and more correct predictions, that opposition faded. It is certainly possible that some alien beings with seventeen arms, infrared eyes, and a habit of blowing clotted cream out their ears would make the same experimental observations that we do, but describe them without quarks. Nevertheless, according to model-dependent realism, quarks exist in a model that agrees with our observations of how subnuclear particles behave.
+  Model-dependent realism can provide a framework to discuss questions such as: If the world was created a finite time ago, what happened before that? An early Christian philosopher, St. Augustine (354-430), said that the answer was not that God was preparing hell for people who ask such questions, but that time was a property of the world that God created and that time did not exist before the creation, which he believed had occurred not that long ago. That is one possible model, which is favored by those who maintain that the account given in Genesis is literally true even though the world contains fossil and other evidence that makes it look much older. (Were they put there to fool us?) One can also have a different model, in which time continues back 13.7 billion years to the big bang. The model that explains the most about our present observations, including the historical and geological evidence, is the best representation we have of the past. The second model can explain the fossil and radioactive records and the fact that we receive light from galaxies millions of light-years from us, and so this model-the big bang theory-is more useful than the first. Still, neither model can be said to be more real than the other.
+
+  Some people support a model in which time goes back even further than the big bang. It is not yet clear whether a model in which time continued back beyond the big bang would be better at explaining present observations because it seems the laws of the evolution of the universe may break down at the big bang. If they do, it would make no sense to create a model that encompasses time before the big bang, because what existed then would have no observable consequences for the present, and so we might as well stick with the idea that the big bang was the creation of the world.
+  A model is a good model if it:
+
+
+1. Is elegant
+2. Contains few arbitrary or adjustable elements
+3. Agrees with and explains all existing observations
+4. Makes detailed predictions about future observations that can disprove or falsify the model if they are not borne out.
+
+  For example, Aristotle's theory that the world was made of four elements, earth, air, fire, and water, and that objects acted to fulfill their purpose was elegant and didn't contain adjustable elements. But in many cases it didn't make definite predictions, and when it did, the predictions weren't always in agreement with observation. One of these predictions was that heavier objects should fall faster because their purpose is to fall. Nobody seemed to have thought that it was important to test this until Galileo. There is a story that he tested it by dropping weights from the Leaning Tower of Pisa. This is probably apocryphal, but we do know he rolled different weights down an inclined plane and observed that they all gathered speed at the same rate, contrary to Aristotle's prediction.
+  The above criteria are obviously subjective. Elegance, for example, is not something easily measured, but it is highly prized among scientists because laws of nature are meant to economically compress a number of particular cases into one simple formula. Elegance refers to the form of a theory, but it is closely related to a lack of adjustable elements, since a theory jammed with fudge factors is not very elegant. To paraphrase Einstein, a theory should be as simple as possible, but not simpler. Ptolemy added epicycles to the circular orbits of the heavenly bodies in order that his model might accurately describe their motion. The model could have been made more accurate by adding epicycles to the epicycles, or even epicycles to those. Though added complexity could make the model more accurate, scientists view a model that is contorted to match a specific set of observations as unsatisfying, more of a catalog of data than a theory likely to embody any useful principle.
+  We'll see in Chapter 5 that many people view the "standard model," which describes the interactions of the elementary particles of nature, as inelegant. That model is far more successful than Ptolemy's epicycles. It predicted the existence of several new particles before they were observed, and described the outcome of numerous experiments over several decades to great precision. But it contains dozens of adjustable parameters whose values must be fixed to match observations, rather than being determined by the theory itself.
+  As for the fourth point, scientists are always impressed when new and stunning predictions prove correct. On the other hand, when a model is found lacking, a common reaction is to say the experiment was wrong. If that doesn't prove to be the case, people still often don't abandon the model but instead attempt to save it through modifications. Although physicists are indeed tenacious in their attempts to rescue theories they admire, the tendency to modify a theory fades to the degree that the alterations become artificial or cumbersome, and therefore "inelegant."
+  If the modifications needed to accommodate new observations become too baroque, it signals the need for a new model. One example of an old model that gave way under the weight of new observations was the idea of a static universe. In the 1920s, most physicists believed that the universe was static, or unchanging in size. Then, in 1929, Edwin Hubble published his observations showing that the universe is expanding. But Hubble did not directly observe the universe expanding. He observed the light emitted by galaxies. That light carries a characteristic signature, or spectrum, based on each galaxy's composition, which changes by a known amount if the galaxy is moving relative to us. Therefore, by analyzing the spectra of distant galaxies, Hubble was able to determine their velocities. He had expected to find as many galaxies moving away from us as moving toward us. Instead he found that nearly all galaxies were moving away from us, and the farther away they were, the faster they were moving. Hubble concluded that the universe is expanding, but others, trying to hold on to the earlier model, attempted to explain his observations within the context of the static universe. For example, Caltech physicist Fritz Zwicky suggested that for some yet unknown reason light might slowly lose energy as it travels great distances. This decrease in energy would correspond to a change in the light's spectrum, which Zwicky suggested could mimic Hubble's observations. For decades after Hubble, many scientists continued to hold on to the steady-state theory. But the most natural model was Hubble's, that of an expanding universe, and it has come to be the accepted one.
+  In our quest to find the laws that govern the universe we have formulated a number of theories or models, such as the four-element theory, the Ptolemaic model, the phlogiston theory, the big bang theory, and so on. With each theory or model, our concepts of reality and of the fundamental constituents of the universe have changed. For example, consider the theory of light. Newton thought that light was made up of little particles or corpuscles. This would explain why light travels in straight lines, and Newton also used it to explain why light is bent or refracted when it passes from one medium to another, such as from air to glass or air to water.
+
+  The corpuscle theory could not, however, be used to explain a phenomenon that Newton himself observed, which is known as Newton's rings. Place a lens on a flat reflecting plate and illuminate it with light of a single color, such as a sodium light. Looking down from above, one will see a series of light and dark rings centered on where the lens touches the surface. This would be difficult to explain with the particle theory of light, but it can be accounted for in the wave theory.
+  According to the wave theory of light, the light and dark rings are caused by a phenomenon called interference. A wave, such as a water wave, consists of a series of crests and troughs. When waves collide, if those crests and troughs happen to correspond, they reinforce each other, yielding a larger wave. That is called constructive interference. In that case the waves are said to be "in phase." At the other extreme, when the waves meet, the crests of one wave might coincide with the troughs of the other. In that case the waves cancel each other and are said to be "out of phase." That situation is called destructive interference.
+  In Newton's rings the bright rings are located at distances from the center where the separation between the lens and the reflecting plate is such that the wave reflected from the lens differs from the wave reflected from the plate by an integral (1, 2, 3,...) number of wavelengths, creating constructive interference. (A wavelength is the distance between one crest or trough of a wave and the next.) The dark rings, on the other hand, are located at distances from the center where the separation between the two reflected waves is a half-integral (1/2, 11/2, 21/2,...) number of wavelengths, causing destructive interference-the wave reflected from the lens cancels the wave reflected from the plate.
+
+  In the nineteenth century, this was taken as confirming the wave theory of light and showing that the particle theory was wrong. However, early in the twentieth century Einstein showed that the photoelectric effect (now used in television and digital cameras) could be explained by a particle or quantum of light striking an atom and knocking out an electron. Thus light behaves as both particle and wave.
+  The concept of waves probably entered human thought because people watched the ocean, or a puddle after a pebble fell into it. In fact, if you have ever dropped two pebbles into a puddle, you have probably seen interference at work, as in the picture above. Other liquids were observed to behave in a similar fashion, except perhaps wine if you've had too much. The idea of particles was familiar from rocks, pebbles, and sand. But this wave/particle duality-the idea that an object could be described as either a particle or a wave-is as foreign to everyday experience as is the idea that you can drink a chunk of sandstone.
+
+  Dualities like this-situations in which two very different theories accurately describe the same phenomenon-are consistent with model-dependent realism. Each theory can describe and explain certain properties, and neither theory can be said to be better or more real than the other. Regarding the laws that govern the universe, what we can say is this: There seems to be no single mathematical model or theory that can describe every aspect of the universe. Instead, as mentioned in the opening chapter, there seems to be the network of theories called M-theory. Each theory in the M-theory network is good at describing phenomena within a certain range. Wherever their ranges overlap, the various theories in the network agree, so they can all be said to be parts of the same theory. But no single theory within the network can describe every aspect of the universe-all the forces of nature, the particles that feel those forces, and the framework of space and time in which it all plays out. Though this situation does not fulfill the traditional physicists' dream of a single unified theory, it is acceptable within the framework of model-dependent realism.
+  We will discuss duality and M-theory further in Chapter 5, but before that we turn to a fundamental principle upon which our modern view of nature is based: quantum theory, and in particular, the approach to quantum theory called alternative histories. In that view, the universe does not have just a single existence or history, but rather every possible version of the universe exists simultaneously in what is called a quantum superposition. That may sound as outrageous as the theory in which the table disappears whenever we leave the room, but in this case the theory has passed every experimental test to which it has ever been subjected.
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+N 1999 A TEAM OF PHYSICISTS in Austria fired a series of soccer-ball-shaped molecules toward a barrier. Those molecules, each made of sixty carbon atoms, are sometimes called buckyballs because the architect Buckminster Fuller built buildings of that shape. Fuller's geodesic domes were probably the largest soccer-ball-shaped objects in existence. The buckyballs were the smallest. The barrier toward which the scientists took their aim had, in effect, two slits through which the buckyballs could pass. Beyond the wall, the physicists situated the equivalent of a screen to detect and count the emergent molecules.
+
+  If we were to set up an analogous experiment with real soccer balls, we would need a player with somewhat shaky aim but with the ability to launch the balls consistently at a speed of our choosing. We would position this player before a wall in which there are two gaps. On the far side of the wall, and parallel to it, we would place a very long net. Most of the player's shots would hit the wall and bounce back, but some would go through one gap or the other, and into the net. If the gaps were only slightly larger than the balls, two highly collimated streams would emerge on the other side. If the gaps were a bit wider than that, each stream would fan out a little, as shown in the figure below.
+  Notice that if we closed off one of the gaps, the corresponding stream of balls would no longer get through, but this would have no effect on the other stream. If we reopened the second gap, that would only increase the number of balls that land at any given point on the other side, for we would then get all the balls that passed through the gap that had remained open, plus other balls coming from the newly opened gap. What we observe with both gaps open, in other words, is the sum of what we observe with each gap in the wall separately opened. That is the reality we are accustomed to in everyday life. But that's not what the Austrian researchers found when they fired their molecules.
+
+  In the Austrian experiment, opening the second gap did indeed increase the number of molecules arriving at some points on the screen-but it decreased the number at others, as in the figure below. In fact, there were spots where no buckyballs landed when both slits were open but where balls did land when only one or the other gap was open. That seems very odd. How can opening a second gap cause fewer molecules to arrive at certain points?
+
+  We can get a clue to the answer by examining the details. In the experiment, many of the molecular soccer balls landed at a spot centered halfway between where you would expect them to land if the balls went through either one gap or the other. A little farther out from that central position very few molecules arrived, but a bit farther away from the center than that, molecules were again observed to arrive. This pattern is not the sum of the patterns formed when each gap is opened separately, but you may recognize it from Chapter 3 as the pattern characteristic of interfering waves. The areas where no molecules arrive correspond to regions in which waves emitted from the two gaps arrive out of phase, and create destructive interference; the areas where many molecules arrive correspond to regions where the waves arrive in phase, and create constructive interference.
+  In the first two thousand or so years of scientific thought, ordinary experience and intuition were the basis for theoretical explanation. As we improved our technology and expanded the range of phenomena that we could observe, we began to find nature behaving in ways that were less and less in line with our everyday experience and hence with our intuition, as evidenced by the experiment with buckyballs. That experiment is typical of the type of phenomena that cannot be encompassed by classical science but are described by what is called quantum physics. In fact, Richard Feynman wrote that the double-slit experiment like the one we described above "contains all the mystery of quantum mechanics."
+  The principles of quantum physics were developed in the first few decades of the twentieth century after Newtonian theory was found to be inadequate for the description of nature on the atomic-or subatomic-level. The fundamental theories of physics describe the forces of nature and how objects react to them. Classical theories such as Newton's are built upon a framework reflecting everyday experience, in which material objects have an individual existence, can be located at definite locations, follow definite paths, and so on. Quantum physics provides a framework for understanding how nature operates on atomic and subatomic scales, but as we'll see in more detail later, it dictates a completely different conceptual schema, one in which an object's position, path, and even its past and future are not precisely determined. Quantum theories of forces such as gravity or the electromagnetic force are built within that framework.
+  Can theories built upon a framework so foreign to everyday experience also explain the events of ordinary experience that were modeled so accurately by classical physics? They can, for we and our surroundings are composite structures, made of an unimaginably large number of atoms, more atoms than there are stars in the observable universe. And though the component atoms obey the principles of quantum physics, one can show that the large assemblages that form soccer balls, turnips, and jumbo jets-and us-will indeed manage to avoid diffracting through slits. So though the components of everyday objects obey quantum physics, Newton's laws form an effective theory that describes very accurately how the composite structures that form our everyday world behave.
+  That might sound strange, but there are many instances in science in which a large assemblage appears to behave in a manner that is different from the behavior of its individual components. The responses of a single neuron hardly portend those of the human brain, nor does knowing about a water molecule tell you much about the behavior of a lake. In the case of quantum physics, physicists are still working to figure out the details of how Newton's laws emerge from the quantum domain. What we do know is that the components of all objects obey the laws of quantum physics, and the Newtonian laws are a good approximation for describing the way macroscopic objects made of those quantum components behave.
+  The predictions of Newtonian theory therefore match the view of reality we all develop as we experience the world around us. But individual atoms and molecules operate in a manner profoundly different from that of our everyday experience. Quantum physics is a new model of reality that gives us a picture of the universe. It is a picture in which many concepts fundamental to our intuitive understanding of reality no longer have meaning.
+  The double-slit experiment was first carried out in 1927 by Clinton Davisson and Lester Germer, experimental physicists at Bell Labs who were studying how a beam of electrons-objects much simpler than buckyballs-interacts with a crystal made of nickel. The fact that matter particles such as electrons behave like water waves was the type of startling experiment that inspired quantum physics. Since this behavior is not observed on a macroscopic scale, scientists have long wondered just how large and complex something could be and still exhibit such wavelike properties. It would cause quite a stir if the effect could be demonstrated using people or a hippopotamus, but as we've said, in general, the larger the object the less apparent and robust are the quantum effects. So it is unlikely that any zoo animals will be passing wavelike through the bars of their cages. Still, experimental physicists have observed the wave phenomenon with particles of ever-increasing size. Scientists hope to replicate the buckyball experiment someday using a virus, which is not only far bigger but also considered by some to be a living thing.
+  There are only a few aspects of quantum physics needed to understand the arguments we will make in later chapters. One of the key features is wave/particle duality. That matter particles behave like a wave surprised everyone. That light behaves like a wave no longer surprises anyone. The wavelike behavior of light seems natural to us and has been considered an accepted fact for almost two centuries. If you shine a beam of light on the two slits in the above experiment, two waves will emerge and meet on the screen. At some points their crests or troughs will coincide and form a bright spot; at others the crests of one beam will meet the troughs of the other, canceling them, and leaving a dark area. The English physicist Thomas Young performed this experiment in the early nineteenth century, convincing people that light was a wave and not, as Newton had believed, composed of particles.
+
+  Though one might conclude that Newton was wrong to say that light was not a wave, he was right when he said that light can act as if it is composed of particles. Today we call them photons. Just as we are composed of a large number of atoms, the light we see in everyday life is composite in the sense that it is made of a great many photons-even a 1-watt night-light emits a billion billion each second. Single photons are not usually evident, but in the laboratory we can produce a beam of light so faint that it consists of a stream of single photons, which we can detect as individuals just as we can detect individual electrons or buckyballs. And we can repeat Young's experiment employing a beam sufficiently sparse that the photons reach the barrier one at a time, with a few seconds between each arrival. If we do that, and then add up all the individual impacts recorded by the screen on the far side of the barrier, we find that together they build up the same interference pattern that would be built up if we performed the Davisson-Germer experiment but fired the electrons (or buckyballs) at the screen one at a time. To physicists, that was a startling revelation: If individual particles interfere with themselves, then the wave nature of light is the property not just of a beam or of a large collection of photons but of the individual particles.
+  Another of the main tenets of quantum physics is the uncertainty principle, formulated by Werner Heisenberg in 1926. The uncertainty principle tells us that there are limits to our ability to simultaneously measure certain data, such as the position and velocity of a particle. According to the uncertainty principle, for example, if you multiply the uncertainty in the position of a particle by the uncertainty in its momentum (its mass times its velocity) the result can never be smaller than a certain fixed quantity, called Planck's constant. That's a tongue-twister, but its gist can be stated simply: The more precisely you measure speed, the less precisely you can measure position, and vice versa. For instance, if you halve the uncertainty in position, you have to double the uncertainty in velocity. It is also important to note that, compared with everyday units of measurement such as meters, kilograms, and seconds, Planck's constant is very small. In fact, if reported in those units, it has the value of about 6/10,000,000,000,000,000,000,000,000,000,000,000. As a result, if you pinpoint a macroscopic object such as a soccer ball, with a mass of one-third of a kilogram, to within 1 millimeter in any direction, we can still measure its velocity with a precision far greater than even a billionth of a billionth of a billionth of a kilometer per hour. That's because, measured in these units, the soccer ball has a mass of 1/3, and the uncertainty in position is 1/1,000. Neither is enough to account for all those zeroes in Planck's constant, and so that role falls to the uncertainty in velocity. But in the same units an electron has a mass of .000000000000000000000000000001, so for electrons the situation is quite different. If we measure the position of an electron to a precision corresponding to roughly the size of an atom, the uncertainty principle dictates that we cannot know the electron's speed more precisely than about plus or minus 1,000 kilometers per second, which is not very precise at all.
+
+  According to quantum physics, no matter how much information we obtain or how powerful our computing abilities, the outcomes of physical processes cannot be predicted with certainty because they are not determined with certainty. Instead, given the initial state of a system, nature determines its future state through a process that is fundamentally uncertain. In other words, nature does not dictate the outcome of any process or experiment, even in the simplest of situations. Rather, it allows a number of different eventualities, each with a certain likelihood of being realized. It is, to paraphrase Einstein, as if God throws the dice before deciding the result of every physical process. That idea bothered Einstein, and so even though he was one of the fathers of quantum physics, he later became critical of it.
+  Quantum physics might seem to undermine the idea that nature is governed by laws, but that is not the case. Instead it leads us to accept a new form of determinism: Given the state of a system at some time, the laws of nature determine the probabilities of various futures and pasts rather than determining the future and past with certainty. Though that is distasteful to some, scientists must accept theories that agree with experiment, not their own preconceived notions.
+  What science does demand of a theory is that it be testable. If the probabilistic nature of the predictions of quantum physics meant it was impossible to confirm those predictions, then quantum theories would not qualify as valid theories. But despite the probabilistic nature of their predictions, we can still test quantum theories. For instance, we can repeat an experiment many times and confirm that the frequency of various outcomes conforms to the probabilities predicted. Consider the buckyball experiment. Quantum physics tells us that nothing is ever located at a definite point because if it were, the uncertainty in momentum would have to be infinite. In fact, according to quantum physics, each particle has some probability of being found anywhere in the universe. So even if the chances of finding a given electron within the double-slit apparatus are very high, there will always be some chance that it could be found instead on the far side of the star Alpha Centauri, or in the shepherd's pie at your office cafeteria. As a result, if you kick a quantum buckyball and let it fly, no amount of skill or knowledge will allow you to say in advance exactly where it will land. But if you repeat that experiment many times, the data you obtain will reflect the probability of finding the ball at various locations, and experimenters have confirmed that the results of such experiments agree with the theory's predictions.
+  It is important to realize that probabilities in quantum physics are not like probabilities in Newtonian physics, or in everyday life. We can understand this by comparing the patterns built up by the steady stream of buckyballs fired at a screen to the pattern of holes built up by players aiming for the bull's-eye on a dartboard. Unless the players have consumed too much beer, the chances of a dart landing near the center are greatest, and diminish as you go farther out. As with the buckyballs, any given dart can land anywhere, and over time a pattern of holes that reflects the underlying probabilities will emerge. In everyday life we might reflect that situation by saying that a dart has a certain probability of landing in various spots; but if we say that, unlike the case of the buckyballs, it is only because our knowledge of the conditions of its launch is incomplete. We could improve our description if we knew exactly the manner in which the player released the dart, its angle, spin, velocity, and so forth. In principle, then, we could predict where the dart will land with a precision as great as we desire. Our use of probabilistic terms to describe the outcome of events in everyday life is therefore a reflection not of the intrinsic nature of the process but only of our ignorance of certain aspects of it.
+  Probabilities in quantum theories are different. They reflect a fundamental randomness in nature. The quantum model of nature encompasses principles that contradict not only our everyday experience but our intuitive concept of reality. Those who find those principles weird or difficult to believe are in good company, the company of great physicists such as Einstein and even Feynman, whose description of quantum theory we will soon present. In fact, Feynman once wrote, "I think I can safely say that nobody understands quantum mechanics." But quantum physics agrees with observation. It has never failed a test, and it has been tested more than any other theory in science.
+  In the 1940s Richard Feynman had a startling insight regarding the difference between the quantum and Newtonian worlds. Feynman was intrigued by the question of how the interference pattern in the double-slit experiment arises. Recall that the pattern we find when we fire molecules with both slits open is not the sum of the patterns we find when we run the experiment twice, once with just one slit open, and once with only the other open. Instead, when both slits are open we find a series of light and dark bands, the latter being regions in which no particles land. That means that particles that would have landed in the area of the dark band if, say, only slit one was open, do not land there when slit two is also open. It seems as if, somewhere on their journey from source to screen, the particles acquire information about both slits. That kind of behavior is drastically different from the way things seem to behave in everyday life, in which a ball would follow a path through one of the slits and be unaffected by the situation at the other.
+  According to Newtonian physics-and to the way the experiment would work if we did it with soccer balls instead of molecules-each particle follows a single well-defined route from its source to the screen. There is no room in this picture for a detour in which the particle visits the neighborhood of each slit along the way. According to the quantum model, however, the particle is said to have no definite position during the time it is between the starting point and the endpoint. Feynman realized one does not have to interpret that to mean that particles take no path as they travel between source and screen. It could mean instead that particles take every possible path connecting those points. This, Feynman asserted, is what makes quantum physics different from Newtonian physics. The situation at both slits matters because, rather than following a single definite path, particles take every path, and they take them all simultaneously! That sounds like science fiction, but it isn't. Feynman formulated a mathematical expression-the Feynman sum over histories-that reflects this idea and reproduces all the laws of quantum physics. In Feynman's theory the mathematics and physical picture are different from that of the original formulation of quantum physics, but the predictions are the same.
+  In the double-slit experiment Feynman's ideas mean the particles take paths that go through only one slit or only the other; paths that thread through the first slit, back out through the second slit, and then through the first again; paths that visit the restaurant that serves that great curried shrimp, and then circle Jupiter a few times before heading home; even paths that go across the universe and back. This, in Feynman's view, explains how the particle acquires the information about which slits are open-if a slit is open, the particle takes paths through it. When both slits are open, the paths in which the particle travels through one slit can interfere with the paths in which it travels through the other, causing the interference. It might sound nutty, but for the purposes of most fundamental physics done today-and for the purposes of this book-Feynman's formulation has proved more useful than the original one.
+
+  Feynman's view of quantum reality is crucial in understanding the theories we will soon present, so it is worth taking some time to get a feeling for how it works. Imagine a simple process in which a particle begins at some location A and moves freely. In the Newtonian model that particle will follow a straight line. After a certain precise time passes, we will find the particle at some precise location B along that line. In Feynman's model a quantum particle samples every path connecting A and B, collecting a number called a phase for each path. That phase represents the position in the cycle of a wave, that is, whether the wave is at a crest or trough or some precise position in between. Feynman's mathematical prescription for calculating that phase showed that when you add together the waves from all the paths you get the "probability amplitude" that the particle, starting at A, will reach B. The square of that probability amplitude then gives the correct probability that the particle will reach B.
+  The phase that each individual path contributes to the Feynman sum (and hence to the probability of going from A to B) can be visualized as an arrow that is of fixed length but can point in any direction. To add two phases, you place the arrow representing one phase at the end of the arrow representing the other, to get a new arrow representing the sum. To add more phases, you simply continue the process. Note that when the phases line up, the arrow representing the total can be quite long. But if they point in different directions, they tend to cancel when you add them, leaving you with not much of an arrow at all. The idea is illustrated in the figures below.
+  To carry out Feynman's prescription for calculating the probability amplitude that a particle beginning at a location A will end up at a location B, you add the phases, or arrows, associated with every path connecting A and B. There are an infinite number of paths, which makes the mathematics a bit complicated, but it works. Some of the paths are pictured below.
+
+  Feynman's theory gives an especially clear picture of how a Newtonian world picture can arise from quantum physics, which seems very different. According to Feynman's theory, the phases associated with each path depend upon Planck's constant. The theory dictates that because Planck's constant is so small, when you add the contribution from paths that are close to each other the phases normally vary wildly, and so, as in the figure above, they tend to add to zero. But the theory also shows that there are certain paths for which the phases have a tendency to line up, and so those paths are favored; that is, they make a larger contribution to the observed behavior of the particle. It turns out that for large objects, paths very similar to the path predicted by Newton's will have similar phases and add up to give by far the largest contribution to the sum, and so the only destination that has a probability effectively greater than zero is the destination predicted by Newtonian theory, and that destination has a probability that is very nearly one. Hence large objects move just as Newton's theory predicts they will.
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+  So far we have discussed Feynman's ideas in the context of the double-slit experiment. In that experiment particles are fired toward a wall with slits, and we measure the location, on a screen placed beyond the wall, at which the particles end up. More generally, instead of just a single particle Feynman's theory allows us to predict the probable outcomes of a "system," which could be a particle, a set of particles, or even the entire universe. Between the initial state of the system and our later measurement of its properties, those properties evolve in some way, which physicists call the system's history. In the double-slit experiment, for example, the history of the particle is simply its path. Just as for the double-slit experiment the chance of observing the particle to land at any given point depends upon all the paths that could have gotten it there, Feynman showed that, for a general system, the probability of any observation is constructed from all the possible histories that could have led to that observation. Because of that his method is called the "sum over histories" or "alternative histories" formulation of quantum physics.
+  Now that we have a feeling for Feynman's approach to quantum physics, it is time to examine another key quantum principle that we will use later-the principle that observing a system must alter its course. Can't we, as we do when our supervisor has a spot of mustard on her chin, discreetly watch but not interfere? No. According to quantum physics, you cannot "just" observe something. That is, quantum physics recognizes that to make an observation, you must interact with the object you are observing. For instance, to see an object in the traditional sense, we shine a light on it. Shining a light on a pumpkin will of course have little effect on it. But shining even a dim light on a tiny quantum particle-that is, shooting photons at it-does have an appreciable effect, and experiments show that it changes the results of an experiment in just the way that quantum physics describes.
+  Suppose that, as before, we send a stream of particles toward the barrier in the double-slit experiment and collect data on the first million particles to get through. When we plot the number of particles landing at various detection points the data will form the interference pattern pictured, and when we add the phases associated with all the possible paths from a particle's starting point A to its detection point B, we will find that the probability we calculate of landing at various points agrees with that data.
+  Now suppose we repeat the experiment, this time shining lights on the slits so that we know an intermediate point, C, through which the particle passed. (C is the position of either one of the slits or the other.) This is called "which-path" information because it tells us whether each particle went from A to slit 1 to B, or from A to slit 2 to B. Since we now know through which slit each particle passed, the paths in our sum for that particle will now include only paths that travel through slit 1, or only paths that travel through slit 2. It will never include both the paths that go through slit 1 and the paths that pass through slit 2. Because Feynman explained the interference pattern by saying that paths that go through one slit interfere with paths that go through the other, if you turn on a light to determine which slit the particles pass through, thereby eliminating the other option, you will make the interference pattern disappear. And indeed, when the experiment is performed, turning on a light changes the results from the interference pattern, to a pattern like that! Moreover, we can vary the experiment by employing very faint light so that not all of the particles interact with the light. In that case we are able to obtain which-path information for only some subset of the particles. If we then divide the data on particle arrivals according to whether or not we obtained which-path information, we find that data pertaining to the subset for which we have no which-path information will form an interference pattern, and the subset of data pertaining to the particles for which we do have which-path information will not show interference.
+  This idea has important implications for our concept of "the past." In Newtonian theory, the past is assumed to exist as a definite series of events. If you see that vase you bought in Italy last year lying smashed on the floor and your toddler standing over it looking sheepish, you can trace backward the events that led to the mishap: the little fingers letting go, the vase falling and exploding into a thousand pieces as it hits. In fact, given complete data about the present, Newton's laws allow one to calculate a complete picture of the past. This is consistent with our intuitive understanding that, whether painful or joyful, the world has a definite past. There may have been no one watching, but the past exists as surely as if you had taken a series of snapshots of it. But a quantum buckyball cannot be said to have taken a definite path from source to screen. We might pin down a buckyball's location by observing it, but in between our observations, it takes all paths. Quantum physics tells us that no matter how thorough our observation of the present, the (unobserved) past, like the future, is indefinite and exists only as a spectrum of possibilities. The universe, according to quantum physics, has no single past, or history.
+  The fact that the past takes no definite form means that observations you make on a system in the present affect its past. That is underlined rather dramatically by a type of experiment thought up by physicist John Wheeler, called a delayed-choice experiment. Schematically, a delayed-choice experiment is like the double-slit experiment we just described, in which you have the option of observing the path that the particle takes, except in the delayed-choice experiment you postpone your decision about whether or not to observe the path until just before the particle hits the detection screen.
+  Delayed-choice experiments result in data identical to those we get when we choose to observe (or not observe) the which-path information by watching the slits themselves. But in this case the path each particle takes-that is, its past-is determined long after it passed through the slits and presumably had to "decide" whether to travel through just one slit, which does not produce interference, or both slits, which does.
+  Wheeler even considered a cosmic version of the experiment, in which the particles involved are photons emitted by powerful quasars billions of light-years away. Such light could be split into two paths and refocused toward earth by the gravitational lensing of an intervening galaxy. Though the experiment is beyond the reach of current technology, if we could collect enough photons from this light, they ought to form an interference pattern. Yet if we place a device to measure which-path information shortly before detection, that pattern should disappear. The choice whether to take one or both paths in this case would have been made billions of years ago, before the earth or perhaps even our sun was formed, and yet with our observation in the laboratory we will be affecting that choice.
+  In this chapter we have illustrated quantum physics employing the double-slit experiment. In what follows we will apply Feynman's formulation of quantum mechanics to the universe as a whole. We will see that, like a particle, the universe doesn't have just a single history, but every possible history, each with its own probability; and our observations of its current state affect its past and determine the different histories of the universe, just as the observations of the particles in the double-slit experiment affect the particles' past. That analysis will show how the laws of nature in our universe arose from the big bang. But before we examine how the laws arose, we'll talk a little bit about what those laws are, and some of the mysteries that they provoke.
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+The most incomprehensible thing about the universe is that it is comprehensible.
+-ALBERT EINSTEIN
+HE UNIVERSE IS COMPREHENSIBLE because it is governed by scientific laws; that is to say, its behavior can be modeled. But what are these laws or models? The first force to be described in mathematical language was gravity. Newton's law of gravity, published in 1687, said that every object in the universe attracts every other object with a force proportional to its mass. It made a great impression on the intellectual life of its era because it showed for the first time that at least one aspect of the universe could be accurately modeled, and it established the mathematical machinery to do so. The idea that there are laws of nature brings up issues similar to that for which Galileo had been convicted of heresy about fifty years earlier. For instance, the Bible tells the story of Joshua praying for the sun and moon to stop in their trajectories so he would have extra daylight to finish fighting the Amorites in Canaan. According to the book of Joshua, the sun stood still for about a day. Today we know that that would have meant that the earth stopped rotating. If the earth stopped, according to Newton's laws anything not tied down would have remained in motion at the earth's original speed (1,100 miles per hour at the equator)-a high price to pay for a delayed sunset. None of this bothered Newton himself, for as we've said, Newton believed that God could and did intervene in the workings of the universe.
+  The next aspects of the universe for which a law or model was discovered were the electric and magnetic forces. These behave like gravity, with the important difference that two electric charges or two magnets of the same kind repel each other, while unlike charges or unlike magnets attract. Electric and magnetic forces are far stronger than gravity, but we don't usually notice them in everyday life because a macroscopic body contains almost equal numbers of positive and negative electrical charges. This means that the electric and magnetic forces between two macroscopic bodies nearly cancel each other out, unlike the gravitational forces, which all add up.
+  Our current ideas about electricity and magnetism were developed over a period of about a hundred years from the mid-eighteenth to the mid-nineteenth century, when physicists in several countries made detailed experimental studies of electric and magnetic forces. One of the most important discoveries was that electrical and magnetic forces are related: A moving electrical charge causes a force on magnets, and a moving magnet causes a force on electrical charges. The first to realize there was some connection was Danish physicist Hans Christian Ørsted. While setting up for a lecture he was to give at the university in 1820, Ørsted noticed that the electric current from the battery he was using deflected a nearby compass needle. He soon realized that moving electricity created a magnetic force, and coined the term "electromagnetism." A few years later British scientist Michael Faraday reasoned that-expressed in modern terms-if an electric current could cause a magnetic field, a magnetic field should be able to produce an electric current. He demonstrated that effect in 1831. Fourteen years later Faraday also discovered a connection between electromagnetism and light when he showed that intense magnetism can affect the nature of polarized light.
+  Faraday had little formal education. He had been born into a poor blacksmith's family near London and left school at age thirteen to work as an errand boy and bookbinder in a bookshop. There, over the years, he learned science by reading the books he was supposed to care for, and by performing simple and cheap experiments in his spare time. Eventually he obtained work as an assistant in the laboratory of the great chemist Sir Humphry Davy. Faraday would stay on for the remaining forty-five years of his life and, after Davy's death, succeed him. Faraday had trouble with mathematics and never learned much of it, so it was a struggle for him to conceive a theoretical picture of the odd electromagnetic phenomena he observed in his laboratory. Nevertheless, he did.
+  One of Faraday's greatest intellectual innovations was the idea of force fields. These days, thanks to books and movies about bug-eyed aliens and their starships, most people are familiar with the term, so maybe he should get a royalty. But in the centuries between Newton and Faraday one of the great mysteries of physics was that its laws seemed to indicate that forces act across the empty space that separates interacting objects. Faraday didn't like that. He believed that to move an object, something has to come in contact with it. And so he imagined the space between electric charges and magnets as being filled with invisible tubes that physically do the pushing and pulling. Faraday called those tubes a force field. A good way to visualize a force field is to perform the schoolroom demonstration in which a glass plate is placed over a bar magnet and iron filings spread on the glass. With a few taps to overcome friction, the filings move as if nudged by an unseen power and arrange themselves in a pattern of arcs stretching from one pole of the magnet to the other. That pattern is a map of the unseen magnetic force that permeates space. Today we believe that all forces are transmitted by fields, so it is an important concept in modern physics-as well as science fiction.
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+  For several decades our understanding of electromagnetism remained stalled, amounting to no more than the knowledge of a few empirical laws: the hint that electricity and magnetism were closely, if mysteriously, related; the notion that they had some sort of connection to light; and the embryonic concept of fields. At least eleven theories of electromagnetism existed, every one of them flawed. Then, over a period of years in the 1860s, Scottish physicist James Clerk Maxwell developed Faraday's thinking into a mathematical framework that explained the intimate and mysterious relation among electricity, magnetism, and light. The result was a set of equations describing both electric and magnetic forces as manifestations of the same physical entity, the electromagnetic field. Maxwell had unified electricity and magnetism into one force. Moreover, he showed that electromagnetic fields could propagate through space as a wave. The speed of that wave is governed by a number that appeared in his equations, which he calculated from experimental data that had been measured a few years earlier. To his astonishment the speed he calculated equaled the speed of light, which was then known experimentally to an accuracy of 1 percent. He had discovered that light itself is an electromagnetic wave!
+  Today the equations that describe electric and magnetic fields are called Maxwell's equations. Few people have heard of them, but they are probably the most commercially important equations we know. Not only do they govern the working of everything from household appliances to computers, but they also describe waves other than light, such as microwaves, radio waves, infrared light, and X-rays. All of these differ from visible light in only one respect-their wavelength. Radio waves have wavelengths of a meter or more, while visible light has a wavelength of a few ten-millionths of a meter, and X-rays a wavelength shorter than a hundred-millionth of a meter. Our sun radiates at all wavelengths, but its radiation is most intense in the wavelengths that are visible to us. It's probably no accident that the wavelengths we are able to see with the naked eye are those in which the sun radiates most strongly: It's likely that our eyes evolved with the ability to detect electromagnetic radiation in that range precisely because that is the range of radiation most available to them. If we ever run into beings from other planets, they will probably have the ability to "see" radiation at whatever wavelengths their own sun emits most strongly, modulated by factors such as the light-blocking characteristics of the dust and gases in their planet's atmosphere. So aliens who evolved in the presence of X-rays might have a nice career in airport security.
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+  Maxwell's equations dictate that electromagnetic waves travel at a speed of about 300,000 kilometers a second, or about 670 million miles per hour. But to quote a speed means nothing unless you specify a frame of reference relative to which the speed is measured. That's not something you usually need to think about in everyday life. When a speed limit sign reads 60 miles per hour, it is understood that your speed is measured relative to the road and not the black hole at the center of the Milky Way. But even in everyday life there are occasions in which you have to take into account reference frames. For example, if you carry a cup of tea up the aisle of a jet plane in flight, you might say your speed is 2 miles per hour. Someone on the ground, however, might say you were moving at 572 miles per hour. Lest you think that one or the other of those observers has a better claim to the truth, keep in mind that because the earth orbits the sun, someone watching you from the surface of that heavenly body would disagree with both and say you are moving at about 18 miles per second, not to mention envying your air-conditioning. In light of such disagreements, when Maxwell claimed to have discovered the "speed of light" popping out of his equations, the natural question was, what is the speed of light in Maxwell's equations measured relative to?
+  There is no reason to believe that the speed parameter in Maxwell's equations is a speed measured relative to the earth. His equations, after all, apply to the entire universe. An alternative answer that was considered for a while is that his equations specify the speed of light relative to a previously undetected medium permeating all space, called the luminiferous ether, or for short, simply the ether, which was Aristotle's term for the substance he believed filled all of the universe outside the terrestrial sphere. This hypothetical ether would be the medium through which electromagnetic waves propagate, just as sound propagates through air. If the ether existed, there would be an absolute standard of rest (that is, rest with respect to the ether) and hence an absolute way of defining motion as well. The ether would provide a preferred frame of reference throughout the entire universe, against which any object's speed could be measured. So the ether was postulated to exist on theoretical grounds, setting some scientists off on a search for a way to study it, or at least to confirm its existence. One of those scientists was Maxwell himself.
+  If you race through the air toward a sound wave, the wave approaches you faster, and if you race away, it approaches you more slowly. Similarly, if there were an ether, the speed of light would vary depending on your motion relative to the ether. In fact, if light worked the way sound does, just as people on a supersonic jet will never hear any sound that emanates from behind the plane, so too would travelers racing quickly enough through the ether be able to outrun a light wave. Working from such considerations, Maxwell suggested an experiment. If there is an ether, the earth must be moving through it as it orbits the sun. And since the earth is traveling in a different direction in January than, say, in April or July, one ought to be able to observe a tiny difference in the speed of light at different times of the year-see the figure below.
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+  Maxwell was talked out of publishing his idea in Proceedings of the Royal Society by its editor, who didn't think the experiment would work. But in 1879, shortly before he died at age forty-eight of painful stomach cancer, Maxwell sent a letter on the subject to a friend. The letter was published posthumously in the journal Nature, where it was read by, among others, an American physicist named Albert Michelson. Inspired by Maxwell's speculation, in 1887 Michelson and Edward Morley carried out a very sensitive experiment designed to measure the speed at which the earth travels through the ether. Their idea was to compare the speed of light in two different directions, at right angles. If the speed of light were a fixed number relative to the ether, the measurements should have revealed light speeds that differed depending on the direction of the beam. But Michelson and Morley observed no such difference.
+  The outcome of the Michelson and Morley experiment is clearly in conflict with the model of electromagnetic waves traveling through an ether, and should have caused the ether model to be abandoned. But Michelson's purpose had been to measure the speed of the earth relative to the ether, not to prove or disprove the ether hypothesis, and what he found did not lead him to conclude that the ether didn't exist. No one else drew that conclusion either. In fact, the famous physicist Sir William Thomson (Lord Kelvin) said in 1884 that the ether was "the only substance we are confident of in dynamics. One thing we are sure of, and that is the reality and substantiality of the luminiferous ether."
+  How can you believe in the ether despite the results of the Michelson-Morley experiment? As we've said often happens, people tried to save the model by contrived and ad hoc additions. Some postulated that the earth dragged the ether along with it, so we weren't actually moving with respect to it. Dutch physicist Hendrik Antoon Lorentz and Irish physicist George Francis FitzGerald suggested that in a frame that was moving with respect to the ether, probably due to some yet-unknown mechanical effect, clocks would slow down and distances would shrink, so one would still measure light to have the same speed. Such efforts to save the aether concept continued for nearly twenty years until a remarkable paper by a young and unknown clerk in the patent office in Berne, Albert Einstein.
+  Einstein was twenty-six in 1905 when he published his paper "Zur Elektrodynamik bewegter Körper" ("On the Electrodynamics of Moving Bodies"). In it he made the simple assumption that the laws of physics and in particular the speed of light should appear to be the same to all uniformly moving observers. This idea, it turns out, demands a revolution in our concept of space and time. To see why, imagine two events that take place at the same spot but at different times, in a jet aircraft. To an observer on the jet there will be zero distance between those two events. But to a second observer on the ground the events will be separated by the distance the jet has traveled in the time between the events. This shows that two observers who are moving relative to each other will not agree on the distance between two events.
+  Now suppose the two observers observe a pulse of light traveling from the tail of the aircraft to its nose. Just as in the above example, they will not agree on the distance the light has traveled from its emission at the plane's tail to its reception at the nose. Since speed is distance traveled divided by the time taken, this means that if they agree on the speed at which the pulse travels-the speed of light-they will not agree on the time interval between the emission and the reception.
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+  What makes this strange is that, though the two observers measure different times, they are watching the same physical process. Einstein didn't attempt to construct an artificial explanation for this. He drew the logical, if startling, conclusion that the measurement of the time taken, like the measurement of the distance covered, depends on the observer doing the measuring. That effect is one of the keys to the theory in Einstein's 1905 paper, which has come to be called special relativity.
+  We can see how this analysis could apply to timekeeping devices if we consider two observers looking at a clock. Special relativity holds that the clock runs faster according to an observer who is at rest with respect to the clock. To observers who are not at rest with respect to the clock, the clock runs slower. If we liken a light pulse traveling from the tail to the nose of the plane to the tick of a clock, we see that to an observer on the ground the clock runs slower because the light beam has to travel a greater distance in that frame of reference. But the effect does not depend on the mechanism of the clock; it holds for all clocks, even our own biological ones.
+
+  Einstein's work showed that, like the concept of rest, time cannot be absolute, as Newton thought. In other words, it is not possible to assign to every event a time with which every observer will agree. Instead, all observers have their own measures of time, and the times measured by two observers who are moving relative to each other will not agree. Einstein's ideas go counter to our intuition because their implications aren't noticeable at the speeds we normally encounter in everyday life. But they have been repeatedly confirmed by experiment. For example, imagine a reference clock at rest at the center of the earth, another clock on the earth's surface, and a third clock aboard a plane, flying either with or against the direction of the earth's rotation. With reference to the clock at the earth's center, the clock aboard the plane moving eastward-in the direction of the earth's rotation-is moving faster than the clock on the earth's surface, and so it should run slower. Similarly, with reference to the clock at the earth's center, the clock aboard the plane flying westward-against the earth's rotation-is moving slower than the surface clock, which means that clock should run faster than the clock on the surface. And that is exactly what was observed when, in an experiment performed in October 1971, a very accurate atomic clock was flown around the world. So you could extend your life by constantly flying eastward around the world, though you might get tired of watching all those airline movies. However, the effect is very small, about 180 billionths of a second per circuit (and it is also somewhat lessened by the effects of the difference in gravity, but we need not get into that here).
+  Due to the work of Einstein, physicists realized that by demanding that the speed of light be the same in all frames of reference, Maxwell's theory of electricity and magnetism dictates that time cannot be treated as separate from the three dimensions of space. Instead, time and space are intertwined. It is something like adding a fourth direction of future/past to the usual left/right, forward/backward, and up/down. Physicists call this marriage of space and time "space-time," and because space-time includes a fourth direction, they call it the fourth dimension. In space-time, time is no longer separate from the three dimensions of space, and, loosely speaking, just as the definition of left/right, forward/backward, or up/down depends on the orientation of the observer, so too does the direction of time vary depending on the speed of the observer. Observers moving at different speeds would choose different directions for time in space-time. Einstein's theory of special relativity was therefore a new model, which got rid of the concepts of absolute time and absolute rest (i.e., rest with respect to the fixed ether).
+  Einstein soon realized that to make gravity compatible with relativity another change was necessary. According to Newton's theory of gravity, at any given time objects are attracted to each other by a force that depends on the distance between them at that time. But the theory of relativity had abolished the concept of absolute time, so there was no way to define when the distance between the masses should be measured. Thus Newton's theory of gravity was not consistent with special relativity and had to be modified. The conflict might sound like a mere technical difficulty, perhaps even a detail that could somehow be worked around without much change in the theory. As it turned out, nothing could have been further from the truth.
+  Over the next eleven years Einstein developed a new theory of gravity, which he called general relativity. The concept of gravity in general relativity is nothing like Newton's. Instead, it is based on the revolutionary proposal that space-time is not flat, as had been assumed previously, but is curved and distorted by the mass and energy in it.
+  A good way to picture curvature is to think of the surface of the earth. Although the earth's surface is only two-dimensional (because there are only two directions along it, say north/south and east/west), we're going to use it as our example because a curved two-dimensional space is easier to picture than a curved four-dimensional space. The geometry of curved spaces such as the earth's surface is not the Euclidean geometry we are familiar with. For example, on the earth's surface, the shortest distance between two points-which we know as a line in Euclidean geometry-is the path connecting the two points along what is called a great circle. (A great circle is a circle along the earth's surface whose center coincides with the center of the earth. The equator is an example of a great circle, and so is any circle obtained by rotating the equator along different diameters.)
+  Imagine, say, that you wanted to travel from New York to Madrid, two cities that are at almost the same latitude. If the earth were flat, the shortest route would be to head straight east. If you did that, you would arrive in Madrid after traveling 3,707 miles. But due to the earth's curvature, there is a path that on a flat map looks curved and hence longer, but which is actually shorter. You can get there in 3,605 miles if you follow the great-circle route, which is to first head northeast, then gradually turn east, and then southeast. The difference in distance between the two routes is due to the earth's curvature, and a sign of its non-Euclidean geometry. Airlines know this, and arrange for their pilots to follow great-circle routes whenever practical.
+  According to Newton's laws of motion, objects such as cannonballs, croissants, and planets move in straight lines unless acted upon by a force, such as gravity. But gravity, in Einstein's theory, is not a force like other forces; rather, it is a consequence of the fact that mass distorts space-time, creating curvature. In Einstein's theory, objects move on geodesics, which are the nearest things to straight lines in a curved space. Lines are geodesics on the flat plane, and great circles are geodesics on the surface of the earth. In the absence of matter, the geodesics in four-dimensional space-time correspond to lines in three-dimensional space. But when matter is present, distorting space-time, the paths of bodies in the corresponding three-dimensional space curve in a manner that in Newtonian theory was explained by the attraction of gravity. When space-time is not flat, objects' paths appear to be bent, giving the impression that a force is acting on them.
+
+  Einstein's general theory of relativity reproduces special relativity when gravity is absent, and it makes almost the same predictions as Newton's theory of gravity in the weak-gravity environment of our solar system-but not quite. In fact, if general relativity were not taken into account in GPS satellite navigation systems, errors in global positions would accumulate at a rate of about ten kilometers each day! However, the real importance of general relativity is not its application in devices that guide you to new restaurants, but rather that it is a very different model of the universe, which predicts new effects such as gravitational waves and black holes. And so general relativity has transformed physics into geometry. Modern technology is sensitive enough to allow us to perform many sensitive tests of general relativity, and it has passed every one.
+  Though they both revolutionized physics, Maxwell's theory of electromagnetism and Einstein's theory of gravity-general relativity-are both, like Newton's own physics, classical theories. That is, they are models in which the universe has a single history. As we saw in the last chapter, at the atomic and subatomic levels these models do not agree with observations. Instead, we have to use quantum theories in which the universe can have any possible history, each with its own intensity or probability amplitude. For practical calculations involving the everyday world, we can continue to use classical theories, but if we wish to understand the behavior of atoms and molecules, we need a quantum version of Maxwell's theory of electromagnetism; and if we want to understand the early universe, when all the matter and energy in the universe were squeezed into a small volume, we must have a quantum version of the theory of general relativity. We also need such theories because if we are seeking a fundamental understanding of nature, it would not be consistent if some of the laws were quantum while others were classical. We therefore have to find quantum versions of all the laws of nature. Such theories are called quantum field theories.
+  The known forces of nature can be divided into four classes:
+1. Gravity. This is the weakest of the four, but it is a long-range force and acts on everything in the universe as an attraction. This means that for large bodies the gravitational forces all add up and can dominate over all other forces.
+2. Electromagnetism. This is also long-range and is much stronger than gravity, but it acts only on particles with an electric charge, being repulsive between charges of the same sign and attractive between charges of the opposite sign. This means the electric forces between large bodies cancel each other out, but on the scales of atoms and molecules they dominate. Electromagnetic forces are responsible for all of chemistry and biology.
+3. Weak nuclear force. This causes radioactivity and plays a vital role in the formation of the elements in stars and the early universe. We don't, however, come into contact with this force in our everyday lives.
+4. Strong nuclear force. This force holds together the protons and neutrons inside the nucleus of an atom. It also holds together the protons and neutrons themselves, which is necessary because they are made of still tinier particles, the quarks we mentioned in Chapter 3. The strong force is the energy source for the sun and nuclear power, but, as with the weak force, we don't have direct contact with it.
+
+  The first force for which a quantum version was created was electromagnetism. The quantum theory of the electromagnetic field, called quantum electrodynamics, or QED for short, was developed in the 1940s by Richard Feynman and others, and has become a model for all quantum field theories. As we've said, according to classical theories, forces are transmitted by fields. But in quantum field theories the force fields are pictured as being made of various elementary particles called bosons, which are force-carrying particles that fly back and forth between matter particles, transmitting the forces. The matter particles are called fermions. Electrons and quarks are examples of fermions. The photon, or particle of light, is an example of a boson. It is the boson that transmits the electromagnetic force. What happens is that a matter particle, such as an electron, emits a boson, or force particle, and recoils from it, much as a cannon recoils after firing a cannonball. The force particle then collides with another matter particle and is absorbed, changing the motion of that particle. According to QED, all the interactions between charged particles-particles that feel the electromagnetic force-are described in terms of the exchange of photons.
+  The predictions of QED have been tested and found to match experimental results with great precision. But performing the mathematical calculations required by QED can be difficult. The problem, as we'll see below, is that when you add to the above framework of particle exchange the quantum requirement that one include all the histories by which an interaction can occur-for example, all the ways the force particles can be exchanged-the mathematics becomes complicated. Fortunately, along with inventing the notion of alternative histories-the way of thinking about quantum theories described in the last chapter-Feynman also developed a neat graphical method of accounting for the different histories, a method that is today applied not just to QED but to all quantum field theories.
+  Feynman's graphical method provides a way of visualizing each term in the sum over histories. Those pictures, called Feynman diagrams, are one of the most important tools of modern physics. In QED the sum over all possible histories can be represented as a sum over Feynman diagrams like those below, which represent some of the ways it is possible for two electrons to scatter off each other through the electromagnetic force. In these diagrams the solid lines represent the electrons and the wavy lines represent photons. Time is understood as progressing from bottom to top, and places where lines join correspond to photons being emitted or absorbed by an electron. Diagram (A) represents the two electrons approaching each other, exchanging a photon, and then continuing on their way. That is the simplest way in which two electrons can interact electromagnetically, but we must consider all possible histories. Hence we must also include diagrams like (B). That diagram also pictures two lines coming in-the approaching electrons-and two lines going out-the scattered ones-but in this diagram the electrons exchange two photons before flying off. The diagrams pictured are only a few of the possibilities; in fact, there are an infinite number of diagrams, which must be mathematically accounted for.
+
+  Feynman diagrams aren't just a neat way of picturing and categorizing how interactions can occur. Feynman diagrams come with rules that allow you to read off, from the lines and vertices in each diagram, a mathematical expression. The probability, say, that the incoming electrons, with some given initial momentum, will end up flying off with some particular final momentum is then obtained by summing the contributions from each Feynman diagram. That can take some work, because, as we've said, there are an infinite number of them. Moreover, although the incoming and outgoing electrons are assigned a definite energy and momentum, the particles in the closed loops in the interior of the diagram can have any energy and momentum. That is important because in forming the Feynman sum one must sum not only over all diagrams but also over all those values of energy and momentum.
+  Feynman diagrams provided physicists with enormous help in visualizing and calculating the probabilities of the processes described by QED. But they did not cure one important ailment suffered by the theory: When you add the contributions from the infinite number of different histories, you get an infinite result. (If the successive terms in an infinite sum decrease fast enough, it is possible for the sum to be finite, but that, unfortunately, doesn't happen here.) In particular, when the Feynman diagrams are added up, the answer seems to imply that the electron has an infinite mass and charge. This is absurd, because we can measure the mass and charge and they are finite. To deal with these infinities, a procedure called renormalization was developed.
+  The process of renormalization involves subtracting quantities that are defined to be infinite and negative in such a way that, with careful mathematical accounting, the sum of the negative infinite values and the positive infinite values that arise in the theory almost cancel out, leaving a small remainder, the finite observed values of mass and charge. These manipulations might sound like the sort of things that get you a flunking grade on a school math exam, and renormalization is indeed, as it sounds, mathematically dubious. One consequence is that the values obtained by this method for the mass and charge of the electron can be any finite number. That has the advantage that physicists may choose the negative infinities in a way that gives the right answer, but the disadvantage that the mass and charge of the electron therefore cannot be predicted from the theory. But once we have fixed the mass and charge of the electron in this manner, we can employ QED to make many other very precise predictions, which all agree extremely closely with observation, so renormalization is one of the essential ingredients of QED. An early triumph of QED, for example, was the correct prediction of the so-called Lamb shift, a small change in the energy of one of the states of the hydrogen atom discovered in 1947.
+
+  The success of renormalization in QED encouraged attempts to look for quantum field theories describing the other three forces of nature. But the division of natural forces into four classes is probably artificial and a consequence of our lack of understanding. People have therefore sought a theory of everything that will unify the four classes into a single law that is compatible with quantum theory. This would be the holy grail of physics.
+  One indication that unification is the right approach came from the theory of the weak force. The quantum field theory describing the weak force on its own cannot be renormalized; that is, it has infinities that cannot be canceled by subtracting a finite number of quantities such as mass and charge. However, in 1967 Abdus Salam and Steven Weinberg each independently proposed a theory in which electromagnetism was unified with the weak force, and found that the unification cured the plague of infinities. The unified force is called the electroweak force. Its theory could be renormalized, and it predicted three new particles called W+, W-, and Z0. Evidence for the Z0 was discovered at CERN in Geneva in 1973. Salam and Weinberg were awarded the Nobel Prize in 1979, although the W and Z particles were not observed directly until 1983.
+  The strong force can be renormalized on its own in a theory called QCD, or quantum chromodynamics. According to QCD, the proton, the neutron, and many other elementary particles of matter are made of quarks, which have a remarkable property that physicists have come to call color (hence the term "chromodynamics," although quark colors are just helpful labels-there is no connection with visible color). Quarks come in three so-called colors, red, green, and blue. In addition, each quark has an anti-particle partner, and the colors of those particles are called anti-red, anti-green, and anti-blue. The idea is that only combinations with no net color can exist as free particles. There are two ways to achieve such neutral quark combinations. A color and its anti-color cancel, so a quark and an anti-quark form a colorless pair, an unstable particle called a meson. Also, when all the three colors (or anti-colors) are mixed, the result has no net color. Three quarks, one of each color, form stable particles called baryons, of which protons and neutrons are examples (and three anti-quarks form the anti-particles of the baryons). Protons and neutrons are the baryons that make up the nucleus of atoms and are the basis for all normal matter in the universe.
+  QCD also has a property called asymptotic freedom, which we referred to, without naming it, in Chapter 3. Asymptotic freedom means that the strong forces between quarks are small when the quarks are close together but increase if they are farther apart, rather as though they were joined by rubber bands. Asymptotic freedom explains why we don't see isolated quarks in nature and have been unable to produce them in the laboratory. Still, even though we cannot observe individual quarks, we accept the model because it works so well at explaining the behavior of protons, neutrons, and other particles of matter.
+  After uniting the weak and electromagnetic forces, physicists in the 1970s looked for a way to bring the strong force into that theory. There are a number of so-called grand unified theories or GUTs that unify the strong forces with the weak force and electromagnetism, but they mostly predict that protons, the stuff that we are made of, should decay, on average, after about 1032 years. That is a very long lifetime, given that the universe is only about 1010 years old. But in quantum physics, when we say the average lifetime of a particle is 1032 years, we don't mean that most particles live approximately 1032 years, some a bit more and some a bit less. Instead, what we mean is that, each year, the particle has a 1 in 1032 chance of decaying. As a result, if you watch a tank containing 1032 protons for just a few years, you ought to see some of the protons decay. It is not too hard to build such a tank, since 1032 protons are contained in just a thousand tons of water. Scientists have performed such experiments. It turns out that detecting the decays and differentiating them from other events caused by the cosmic rays that continually shower us from space is no easy matter. To minimize the noise, the experiments are carried out deep inside places such as the Kamioka Mining and Smelting Company's mine 3,281 feet under a mountain in Japan, which is somewhat shielded from cosmic rays. As a result of observations in 2009, researchers have concluded that if protons decay at all, the proton lifetime is greater than about 1034 years, which is bad news for grand unified theories.
+
+  Since earlier observational evidence had also failed to support GUTs, most physicists adopted an ad hoc theory called the standard model, which comprises the unified theory of the electroweak forces and QCD as a theory of the strong forces. But in the standard model, the electroweak and strong forces act separately and are not truly unified. The standard model is very successful and agrees with all current observational evidence, but it is ultimately unsatisfactory because, apart from not unifying the electroweak and strong forces, it does not include gravity.
+  It may have proved difficult to meld the strong force with the electromagnetic and weak forces, but those problems are nothing compared with the problem of merging gravity with the other three, or even of creating a stand-alone quantum theory of gravity. The reason a quantum theory of gravity has proven so hard to create has to do with the Heisenberg uncertainty principle, which we discussed in Chapter 4. It is not obvious, but it turns out that with regard to that principle, the value of a field and its rate of change play the same role as the position and velocity of a particle. That is, the more accurately one is determined, the less accurately the other can be. An important consequence of that is that there is no such thing as empty space. That is because empty space means that both the value of a field and its rate of change are exactly zero. (If the field's rate of change were not zero, the space would not remain empty.) Since the uncertainty principle does not allow the values of both the field and the rate of change to be exact, space is never empty. It can have a state of minimum energy, called the vacuum, but that state is subject to what are called quantum jitters, or vacuum fluctuations-particles and fields quivering in and out of existence.
+
+  One can think of the vacuum fluctuations as pairs of particles that appear together at some time, move apart, then come together and annihilate each other. In terms of Feynman diagrams, they correspond to closed loops. These particles are called virtual particles. Unlike real particles, virtual particles cannot be observed directly with a particle detector. However, their indirect effects, such as small changes in the energy of electron orbits, can be measured, and agree with theoretical predictions to a remarkable degree of accuracy. The problem is that the virtual particles have energy, and because there are an infinite number of virtual pairs, they would have an infinite amount of energy. According to general relativity, this means that they would curve the universe to an infinitely small size, which obviously does not happen!
+  This plague of infinities is similar to the problem that occurs in the theories of the strong, weak, and electromagnetic forces, except in those cases renormalization removes the infinities. But the closed loops in the Feynman diagrams for gravity produce infinities that cannot be absorbed by renormalization because in general relativity there are not enough renormalizable parameters (such as the values of mass and charge) to remove all the quantum infinities from the theory. We are therefore left with a theory of gravity that predicts that certain quantities, such as the curvature of space-time, are infinite, which is no way to run a habitable universe. That means the only possibility of obtaining a sensible theory would be for all the infinities to somehow cancel, without resorting to renormalization.
+  In 1976 a possible solution to that problem was found. It is called supergravity. The prefix "super" was not appended because physicists thought it was "super" that this theory of quantum gravity might actually work. Instead, "super" refers to a kind of symmetry the theory possesses, called supersymmetry.
+  In physics a system is said to have a symmetry if its properties are unaffected by a certain transformation such as rotating it in space or taking its mirror image. For example, if you flip a donut over, it looks exactly the same (unless it has a chocolate topping, in which case it is better just to eat it). Supersymmetry is a more subtle kind of symmetry that cannot be associated with a transformation of ordinary space. One of the important implications of supersymmetry is that force particles and matter particles, and hence force and matter, are really just two facets of the same thing. Practically speaking, that means that each matter particle, such as a quark, ought to have a partner particle that is a force particle, and each force particle, such as the photon, ought to have a partner particle that is a matter particle. This has the potential to solve the problem of infinities because it turns out that the infinities from closed loops of force particles are positive while the infinities from closed loops of matter particles are negative, so the infinities in the theory arising from the force particles and their partner matter particles tend to cancel out. Unfortunately, the calculations required to find out whether there would be any infinities left uncanceled in supergravity were so long and difficult and had such potential for error that no one was prepared to undertake them. Most physicists believed, nonetheless, that supergravity was probably the right answer to the problem of unifying gravity with the other forces.
+  You might think that the validity of supersymmetry would be an easy thing to check-just examine the properties of the existing particles and see if they pair up. No such partner particles have been observed. But various calculations that physicists have performed indicate that the partner particles corresponding to the particles we observe ought to be a thousand times as massive as a proton, if not even heavier. That is too heavy for such particles to have been seen in any experiments to date, but there is hope that such particles will eventually be created in the Large Hadron Collider in Geneva.
+  The idea of supersymmetry was the key to the creation of supergravity, but the concept had actually originated years earlier with theorists studying a fledgling theory called string theory. According to string theory, particles are not points, but patterns of vibration that have length but no height or width-like infinitely thin pieces of string. String theories also lead to infinities, but it is believed that in the right version they will all cancel out. They have another unusual feature: They are consistent only if space-time has ten dimensions, instead of the usual four. Ten dimensions might sound exciting, but they would cause real problems if you forgot where you parked your car. If they are present, why don't we notice these extra dimensions? According to string theory, they are curved up into a space of very small size. To picture this, imagine a two-dimensional plane. We call the plane two-dimensional because you need two numbers (for instance, horizontal and vertical coordinates) to locate any point on it. Another two-dimensional space is the surface of a straw. To locate a point on that space, you need to know where along the straw's length the point is, and also where along its circular dimension. But if the straw is very thin, you would get a very good approximate position employing only the coordinate that runs along the straw's length, so you might ignore the circular dimension. And if the straw were a million-million-million-million-millionth of an inch in diameter, you wouldn't notice the circular dimension at all. That is the picture string theorists have of the extra dimensions-they are highly curved, or curled, on a scale so small that we don't see them. In string theory the extra dimensions are curled up into what is called the internal space, as opposed to the three-dimensional space that we experience in everyday life. As we'll see, these internal states are not just hidden dimensions swept under the rug-they have important physical significance.
+  In addition to the question of dimensions, string theory suffered from another awkward issue: There appeared to be at least five different theories and millions of ways the extra dimensions could be curled up, which was quite an embarrassment of possibilities for those advocating that string theory was the unique theory of everything. Then, around 1994, people started to discover dualities-that different string theories, and different ways of curling up the extra dimensions, are simply different ways of describing the same phenomena in four dimensions. Moreover, they found that supergravity is also related to the other theories in this way. String theorists are now convinced that the five different string theories and supergravity are just different approximations to a more fundamental theory, each valid in different situations.
+  That more fundamental theory is called M-theory, as we mentioned earlier. No one seems to know what the "M" stands for, but it may be "master," "miracle," or "mystery." It seems to be all three. People are still trying to decipher the nature of M-theory, but that may not be possible. It could be that the physicist's traditional expectation of a single theory of nature is untenable, and there exists no single formulation. It might be that to describe the universe, we have to employ different theories in different situations. Each theory may have its own version of reality, but according to model-dependent realism, that is acceptable so long as the theories agree in their predictions whenever they overlap, that is, whenever they can both be applied.
+  Whether M-theory exists as a single formulation or only as a network, we do know some of its properties. First, M-theory has eleven space-time dimensions, not ten. String theorists had long suspected that the prediction of ten dimensions might have to be adjusted, and recent work showed that one dimension had indeed been overlooked. Also, M-theory can contain not just vibrating strings but also point particles, two-dimensional membranes, three-dimensional blobs, and other objects that are more difficult to picture and occupy even more dimensions of space, up to nine. These objects are called p-branes (where p runs from zero to nine).
+
+  What about the enormous number of ways to curl up the tiny dimensions? In M-theory those extra space dimensions cannot be curled up in just any way. The mathematics of the theory restricts the manner in which the dimensions of the internal space can be curled. The exact shape of the internal space determines both the values of physical constants, such as the charge of the electron, and the nature of the interactions between elementary particles. In other words, it determines the apparent laws of nature. We say "apparent" because we mean the laws that we observe in our universe-the laws of the four forces, and the parameters such as mass and charge that characterize the elementary particles. But the more fundamental laws are those of M-theory.
+  The laws of M-theory therefore allow for different universes with different apparent laws, depending on how the internal space is curled. M-theory has solutions that allow for many different internal spaces, perhaps as many as 10500, which means it allows for 10500 different universes, each with its own laws. To get an idea how many that is, think about this: If some being could analyze the laws predicted for each of those universes in just one millisecond and had started working on it at the big bang, at present that being would have studied just 1020 of them. And that's without coffee breaks.
+  Centuries ago Newton showed that mathematical equations could provide a startlingly accurate description of the way objects interact, both on earth and in the heavens. Scientists were led to believe that the future of the entire universe could be laid out if only we knew the proper theory and had enough computing power. Then came quantum uncertainty, curved space, quarks, strings, and extra dimensions, and the net result of their labor is 10500 universes, each with different laws, only one of which corresponds to the universe as we know it. The original hope of physicists to produce a single theory explaining the apparent laws of our universe as the unique possible consequence of a few simple assumptions may have to be abandoned. Where does that leave us? If M-theory allows for 10500 sets of apparent laws, how did we end up in this universe, with the laws that are apparent to us? And what about those other possible worlds?
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+CCORDING TO THE BOSHONGO PEOPLE of central Africa, in the beginning there was only darkness, water, and the great god Bumba. One day Bumba, in pain from a stomachache, vomited up the sun. In time the sun dried up some of the water, leaving land. But Bumba was still in pain, and vomited some more. Up came the moon, the stars, and then some animals: the leopard, the crocodile, the turtle, and finally man. The Mayans of Mexico and Central America tell of a similar time before creation when all that existed were the sea, the sky, and the Maker. In the Mayan legend the Maker, unhappy because there was no one to praise him, created the earth, mountains, trees, and most animals. But the animals could not speak, and so he decided to create humans. First he made them of mud and earth, but they only spoke nonsense. He let them dissolve away and tried again, this time fashioning people from wood. Those people were dull. He decided to destroy them, but they escaped into the forest, sustaining damage along the way that altered them slightly, creating what we today know as monkeys. After that fiasco, the Maker finally came upon a formula that worked, and constructed the first humans from white and yellow corn. Today we make ethanol from corn, but so far haven't matched the Maker's feat of constructing the people who drink it.
+  Creation myths like these all attempt to answer the questions we address in this book: Why is there a universe, and why is the universe the way it is? Our ability to address such questions has grown steadily in the centuries since the ancient Greeks, most profoundly over the past century. Armed with the background of the previous chapters, we are now ready to offer a possible answer to these questions.
+  One thing that may have been apparent even in early times was that either the universe was a very recent creation or else human beings have existed for only a small fraction of cosmic history. That's because the human race has been improving so rapidly in knowledge and technology that if people had been around for millions of years, the human race would be much further along in its mastery.
+  According to the Old Testament, God created Adam and Eve only six days into creation. Bishop Ussher, primate of all Ireland from 1625 to 1656, placed the origin of the world even more precisely, at nine in the morning on October 27, 4004 BC. We take a different view: that humans are a recent creation but that the universe itself began much earlier, about 13.7 billion years ago.
+  The first actual scientific evidence that the universe had a beginning came in the 1920s. As we said in Chapter 3, that was a time when most scientists believed in a static universe that had always existed. The evidence to the contrary was indirect, based upon the observations Edwin Hubble made with the 100-inch telescope on Mount Wilson, in the hills above Pasadena, California. By analyzing the spectrum of light they emit, Hubble determined that nearly all galaxies are moving away from us, and the farther away they are, the faster they are moving. In 1929 he published a law relating their rate of recession to their distance from us, and concluded that the universe is expanding. If that is true, then the universe must have been smaller in the past. In fact, if we extrapolate to the distant past, all the matter and energy in the universe would have been concentrated in a very tiny region of unimaginable density and temperature, and if we go back far enough, there would be a time when it all began-the event we now call the big bang.
+  The idea that the universe is expanding involves a bit of subtlety. For example, we don't mean the universe is expanding in the manner that, say, one might expand one's house, by knocking out a wall and positioning a new bathroom where once there stood a majestic oak. Rather than space extending itself, it is the distance between any two points within the universe that is growing. That idea emerged in the 1930s amid much controversy, but one of the best ways to visualize it is still a metaphor enunciated in 1931 by Cambridge University astronomer Arthur Eddington. Eddington visualized the universe as the surface of an expanding balloon, and all the galaxies as points on that surface. This picture clearly illustrates why far galaxies recede more quickly than nearby ones. For example, if the radius of the balloon doubled each hour, then the distance between any two galaxies on the balloon would double each hour. If at some time two galaxies were 1 inch apart, an hour later they would be 2 inches apart, and they would appear to be moving relative to each other at a rate of 1 inch per hour. But if they started 2 inches apart, an hour later they would be separated by 4 inches and would appear to be moving away from each other at a rate of 2 inches per hour. That is just what Hubble found: the farther away a galaxy, the faster it was moving away from us.
+  It is important to realize that the expansion of space does not affect the size of material objects such as galaxies, stars, apples, atoms, or other objects held together by some sort of force. For example, if we circled a cluster of galaxies on the balloon, that circle would not expand as the balloon expanded. Rather, because the galaxies are bound by gravitational forces, the circle and the galaxies within it would keep their size and configuration as the balloon enlarged. This is important because we can detect expansion only if our measuring instruments have fixed sizes. If everything were free to expand, then we, our yardsticks, our laboratories, and so on would all expand proportionately and we would not notice any difference.
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+  That the universe is expanding was news to Einstein. But the possibility that the galaxies are moving away from each other had been proposed a few years before Hubble's papers on theoretical grounds arising from Einstein's own equations. In 1922, Russian physicist and mathematician Alexander Friedmann investigated what would happen in a model universe based upon two assumptions that greatly simplified the mathematics: that the universe looks identical in every direction, and that it looks that way from every observation point. We know that Friedmann's first assumption is not exactly true-the universe fortunately is not uniform everywhere! If we gaze upward in one direction, we might see the sun; in another, the moon or a colony of migrating vampire bats. But the universe does appear to be roughly the same in every direction when viewed on a scale that is far larger-larger even than the distance between galaxies. It is something like looking down at a forest. If you are close enough, you can make out individual leaves, or at least trees, and the spaces between them. But if you are so high up that if you hold out your thumb it covers a square mile of trees, the forest will appear to be a uniform shade of green. We would say that, on that scale, the forest is uniform.
+  Based on his assumptions Friedmann was able to discover a solution to Einstein's equations in which the universe expanded in the manner that Hubble would soon discover to be true. In particular, Friedmann's model universe begins with zero size and expands until gravitational attraction slows it down, and eventually causes it to collapse in upon itself. (There are, it turns out, two other types of solutions to Einstein's equations that also satisfy the assumptions of Friedmann's model, one corresponding to a universe in which the expansion continues forever, though it does slow a bit, and another to a universe in which the rate of expansion slows toward zero, but never quite reaches it.) Friedmann died a few years after producing this work, and his ideas remained largely unknown until after Hubble's discovery. But in 1927 a professor of physics and Roman Catholic priest named Georges Lemaître proposed a similar idea: If you trace the history of the universe backward into the past, it gets tinier and tinier until you come upon a creation event-what we now call the big bang.
+  Not everyone liked the big bang picture. In fact, the term "big bang" was coined in 1949 by Cambridge astrophysicist Fred Hoyle, who believed in a universe that expanded forever, and meant the term as a derisive description. The first direct observations supporting the idea didn't come until 1965, with the discovery that there is a faint background of microwaves throughout space. This cosmic microwave background radiation, or CMBR, is the same as that in your microwave oven, but much less powerful. You can observe the CMBR yourself by tuning your television to an unused channel-a few percent of the snow you see on the screen will be caused by it. The radiation was discovered by accident by two Bell Labs scientists trying to eliminate such static from their microwave antenna. At first they thought the static might be coming from the droppings of pigeons roosting in their apparatus, but it turned out their problem had a more interesting origin-the CMBR is radiation left over from the very hot and dense early universe that would have existed shortly after the big bang. As the universe expanded, it cooled until the radiation became just the faint remnant we now observe. At present these microwaves could heat your food to only about −270 degrees Centigrade-3 degrees above absolute zero, and not very useful for popping corn.
+  Astronomers have also found other fingerprints supporting the big bang picture of a hot, tiny early universe. For example, during the first minute or so, the universe would have been hotter than the center of a typical star. During that period the entire universe would have acted as a nuclear fusion reactor. The reactions would have ceased when the universe expanded and cooled sufficiently, but the theory predicts that this should have left a universe composed mainly of hydrogen, but also about 23 percent helium, with traces of lithium (all heavier elements were made later, inside stars). The calculation is in good accordance with the amounts of helium, hydrogen, and lithium we observe.
+  Measurements of helium abundance and the CMBR provided convincing evidence in favor of the big bang picture of the very early universe, but although one can think of the big bang picture as a valid description of early times, it is wrong to take the big bang literally, that is, to think of Einstein's theory as providing a true picture of the origin of the universe. That is because general relativity predicts there to be a point in time at which the temperature, density, and curvature of the universe are all infinite, a situation mathematicians call a singularity. To a physicist this means that Einstein's theory breaks down at that point and therefore cannot be used to predict how the universe began, only how it evolved afterward. So although we can employ the equations of general relativity and our observations of the heavens to learn about the universe at a very young age, it is not correct to carry the big bang picture all the way back to the beginning.
+  We will get to the issue of the origin of the universe shortly, but first a few words about the first phase of the expansion. Physicists call it inflation. Unless you've lived in Zimbabwe, where currency inflation recently exceeded 200,000,000 percent, the term may not sound very explosive. But according to even conservative estimates, during this cosmological inflation, the universe expanded by a factor of 1,000,000,000,000,000,000,000,000,000,000 in .00000000000000000000000000000000001 second. It was as if a coin 1 centimeter in diameter suddenly blew up to ten million times the width of the Milky Way. That may seem to violate relativity, which dictates that nothing can move faster than light, but that speed limit does not apply to the expansion of space itself.
+  The idea that such an episode of inflation might have occurred was first proposed in 1980, based on considerations that go beyond Einstein's theory of general relativity and take into account aspects of quantum theory. Since we don't have a complete quantum theory of gravity, the details are still being worked out, and physicists aren't sure exactly how inflation happened. But according to the theory, the expansion caused by inflation would not be completely uniform, as predicted by the traditional big bang picture. These irregularities would produce minuscule variations in the temperature of the CMBR in different directions. The variations are too small to have been observed in the 1960s, but they were first discovered in 1992 by NASA's COBE satellite, and later measured by its successor, the WMAP satellite, launched in 2001. As a result, we are now confident that inflation really did happen.
+  Ironically, though tiny variations in the CMBR are evidence for inflation, one reason inflation is an important concept is the nearly perfect uniformity of the temperature of the CMBR. If you make one part of an object hotter than its surroundings and then wait, the hot spot will grow cooler and its surroundings warmer until the temperature of the object is uniform. Similarly, one would expect the universe to eventually have a uniform temperature. But this process takes time, and if inflation hadn't occurred, there wouldn't have been enough time in the history of the universe for heat at widely separated regions to equalize, assuming that the speed of such heat transfer is limited by the speed of light. A period of very rapid expansion (much faster than light speed) remedies that because there would have been enough time for the equalization to happen in the extremely tiny preinflationary early universe.
+  Inflation explains the bang in the big bang, at least in the sense that the expansion it represents was far more extreme than the expansion predicted by the traditional big bang theory of general relativity during the time interval in which inflation occurred. The problem is, for our theoretical models of inflation to work, the initial state of the universe had to be set up in a very special and highly improbable way. Thus traditional inflation theory resolves one set of issues but creates another-the need for a very special initial state. That time-zero issue is eliminated in the theory of the creation of the universe we are about to describe.
+  Since we cannot describe creation employing Einstein's theory of general relativity, if we want to describe the origin of the universe, general relativity has to be replaced by a more complete theory. One would expect to need a more complete theory even if general relativity did not break down, because general relativity does not take into account the small-scale structure of matter, which is governed by quantum theory. We mentioned in Chapter 4 that for most practical purposes quantum theory does not hold much relevance for the study of the large-scale structure of the universe because quantum theory applies to the description of nature on microscopic scales. But if you go far enough back in time, the universe was as small as the Planck size, a billion-trillion-trillionth of a centimeter, which is the scale at which quantum theory does have to be taken into account. So though we don't yet have a complete quantum theory of gravity, we do know that the origin of the universe was a quantum event. As a result, just as we combined quantum theory and general relativity-at least provisionally-to derive the theory of inflation, if we want to go back even further and understand the origin of the universe, we must combine what we know about general relativity with quantum theory.
+  To see how this works, we need to understand the principle that gravity warps space and time. Warpage of space is easier to visualize than warpage of time. Imagine that the universe is the surface of a flat billiard table. The table's surface is a flat space, at least in two dimensions. If you roll a ball on the table it will travel in a straight line. But if the table becomes warped or dented in places, as in the illustration below, then the ball will curve.
+
+  It is easy to see how the billiard table is warped in this example because it is curving into an outside third dimension, which we can see. Since we can't step outside our own space-time to view its warpage, the space-time warpage in our universe is harder to imagine. But curvature can be detected even if you cannot step out and view it from the perspective of a larger space. It can be detected from within the space itself. Imagine a micro-ant confined to the surface of the table. Even without the ability to leave the table, the ant could detect the warpage by carefully charting distances. For example, the distance around a circle in flat space is always a bit more than three times the distance across its diameter (the actual multiple is π). But if the ant cut across a circle encompassing the well in the table pictured above, it would find that the distance across is greater than expected, greater than one-third the distance around it. In fact, if the well were deep enough, the ant would find that the distance around the circle is shorter than the distance across it. The same is true of warpage in our universe-it stretches or compresses the distance between points of space, changing its geometry, or shape, in a way that is measurable from within the universe. Warpage of time stretches or compresses time intervals in an analogous manner.
+
+  Armed with these ideas, let's return to the issue of the beginning of the universe. We can speak separately of space and time, as we have in this discussion, in situations involving low speeds and weak gravity. In general, however, time and space can become intertwined, and so their stretching and compressing also involve a certain amount of mixing. This mixing is important in the early universe and the key to understanding the beginning of time.
+  The issue of the beginning of time is a bit like the issue of the edge of the world. When people thought the world was flat, one might have wondered whether the sea poured over its edge. This has been tested experimentally: One can go around the world and not fall off. The problem of what happens at the edge of the world was solved when people realized that the world was not a flat plate, but a curved surface. Time, however, seemed to be like a model railway track. If it had a beginning, there would have to have been someone (i.e., God) to set the trains going. Although Einstein's general theory of relativity unified time and space as space-time and involved a certain mixing of space and time, time was still different from space, and either had a beginning and an end or else went on forever. However, once we add the effects of quantum theory to the theory of relativity, in extreme cases warpage can occur to such a great extent that time behaves like another dimension of space.
+  In the early universe-when the universe was small enough to be governed by both general relativity and quantum theory-there were effectively four dimensions of space and none of time. That means that when we speak of the "beginning" of the universe, we are skirting the subtle issue that as we look backward toward the very early universe, time as we know it does not exist! We must accept that our usual ideas of space and time do not apply to the very early universe. That is beyond our experience, but not beyond our imagination, or our mathematics. If in the early universe all four dimensions behave like space, what happens to the beginning of time?
+  The realization that time can behave like another direction of space means one can get rid of the problem of time having a beginning, in a similar way in which we got rid of the edge of the world. Suppose the beginning of the universe was like the South Pole of the earth, with degrees of latitude playing the role of time. As one moves north, the circles of constant latitude, representing the size of the universe, would expand. The universe would start as a point at the South Pole, but the South Pole is much like any other point. To ask what happened before the beginning of the universe would become a meaningless question, because there is nothing south of the South Pole. In this picture space-time has no boundary-the same laws of nature hold at the South Pole as in other places. In an analogous manner, when one combines the general theory of relativity with quantum theory, the question of what happened before the beginning of the universe is rendered meaningless. This idea that histories should be closed surfaces without boundary is called the no-boundary condition.
+  Over the centures many, including Aristotle, believed that the universe must have always existed in order to avoid the issue of how it was set up. Others believed the universe had a beginning, and used it as an argument for the existence of God. The realization that time behaves like space presents a new alternative. It removes the age-old objection to the universe having a beginning, but also means that the beginning of the universe was governed by the laws of science and doesn't need to be set in motion by some god.
+  If the origin of the universe was a quantum event, it should be accurately described by the Feynman sum over histories. To apply quantum theory to the entire universe-where the observers are part of the system being observed-is tricky, however. In Chapter 4 we saw how particles of matter fired at a screen with two slits in it could exhibit interference patterns just as water waves do. Feynman showed that this arises because a particle does not have a unique history. That is, as it moves from its starting point A to some endpoint B, it doesn't take one definite path, but rather simultaneously takes every possible path connecting the two points. From this point of view, interference is no surprise because, for instance, the particle can travel through both slits at the same time and interfere with itself. Applied to the motion of a particle, Feynman's method tells us that to calculate the probability of any particular endpoint we need to consider all the possible histories that the particle might follow from its starting point to that endpoint. One can also use Feynman's methods to calculate the quantum probabilities for observations of the universe. If they are applied to the universe as a whole, there is no point A, so we add up all the histories that satisfy the no-boundary condition and end at the universe we observe today.
+  In this view, the universe appeared spontaneously, starting off in every possible way. Most of these correspond to other universes. While some of those universes are similar to ours, most are very different. They aren't just different in details, such as whether Elvis really did die young or whether turnips are a dessert food, but rather they differ even in their apparent laws of nature. In fact, many universes exist with many different sets of physical laws. Some people make a great mystery of this idea, sometimes called the multiverse concept, but these are just different expressions of the Feynman sum over histories.
+  To picture this, let's alter Eddington's balloon analogy and instead think of the expanding universe as the surface of a bubble. Our picture of the spontaneous quantum creation of the universe is then a bit like the formation of bubbles of steam in boiling water. Many tiny bubbles appear, and then disappear again. These represent mini-universes that expand but collapse again while still of microscopic size. They represent possible alternative universes, but they are not of much interest since they do not last long enough to develop galaxies and stars, let alone intelligent life. A few of the little bubbles, however, will grow large enough so that they will be safe from recollapse. They will continue to expand at an ever-increasing rate and will form the bubbles of steam we are able to see. These correspond to universes that start off expanding at an ever-increasing rate-in other words, universes in a state of inflation.
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+  As we said, the expansion caused by inflation would not be completely uniform. In the sum over histories, there is only one completely uniform and regular history, and it will have the greatest probability, but many other histories that are very slightly irregular will have probabilities that are almost as high. That is why inflation predicts that the early universe is likely to be slightly nonuniform, corresponding to the small variations in the temperature that were observed in the CMBR. The irregularities in the early universe are lucky for us. Why? Homogeneity is good if you don't want cream separating out from your milk, but a uniform universe is a boring universe. The irregularities in the early universe are important because if some regions had a slightly higher density than others, the gravitational attraction of the extra density would slow the expansion of that region compared with its surroundings. As the force of gravity slowly draws matter together, it can eventually cause it to collapse to form galaxies and stars, which can lead to planets and, on at least one occasion, people. So look carefully at the map of the microwave sky. It is the blueprint for all the structure in the universe. We are the product of quantum fluctuations in the very early universe. If one were religious, one could say that God really does play dice.
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+  This idea leads to a view of the universe that is profoundly different from the traditional concept, requiring us to adjust the way that we think about the history of the universe. In order to make predictions in cosmology, we need to calculate the probabilities of different states of the entire universe at the present time. In physics one normally assumes some initial state for a system and evolves it forward in time employing the relevant mathematical equations. Given the state of a system at one time, one tries to calculate the probability that the system will be in some different state at a later time. The usual assumption in cosmology is that the universe has a single definite history. One can use the laws of physics to calculate how this history develops with time. We call this the "bottom-up" approach to cosmology. But since we must take into account the quantum nature of the universe as expressed by the Feynman sum over histories, the probability amplitude that the universe is now in a particular state is arrived at by adding up the contributions from all the histories that satisfy the no-boundary condition and end in the state in question. In cosmology, in other words, one shouldn't follow the history of the universe from the bottom up because that assumes there's a single history, with a well-defined starting point and evolution. Instead, one should trace the histories from the top down, backward from the present time. Some histories will be more probable than others, and the sum will normally be dominated by a single history that starts with the creation of the universe and culminates in the state under consideration. But there will be different histories for different possible states of the universe at the present time. This leads to a radically different view of cosmology, and the relation between cause and effect. The histories that contribute to the Feynman sum don't have an independent existence, but depend on what is being measured. We create history by our observation, rather than history creating us.
+  The idea that the universe does not have a unique observer-independent history might seem to conflict with certain facts we know. There might be one history in which the moon is made of Roquefort cheese. But we have observed that the moon is not made of cheese, which is bad news for mice. Hence histories in which the moon is made of cheese do not contribute to the present state of our universe, though they might contribute to others. That might sound like science fiction, but it isn't.
+  An important implication of the top-down approach is that the apparent laws of nature depend on the history of the universe. Many scientists believe there exists a single theory that explains those laws as well as nature's physical constants, such as the mass of the electron or the dimensionality of space-time. But top-down cosmology dictates that the apparent laws of nature are different for different histories.
+  Consider the apparent dimension of the universe. According to M-theory, space-time has ten space dimensions and one time dimension. The idea is that seven of the space dimensions are curled up so small that we don't notice them, leaving us with the illusion that all that exist are the three remaining large dimensions we are familiar with. One of the central open questions in M-theory is: Why, in our universe, aren't there more large dimensions, and why are any dimensions curled up?
+  Many people would like to believe that there is some mechanism that causes all but three of the space dimensions to curl up spontaneously. Alternatively, maybe all dimensions started small, but for some understandable reason three space dimensions expanded and the rest did not. It seems, however, that there is no dynamical reason for the universe to appear four-dimensional. Instead, top-down cosmology predicts that the number of large space dimensions is not fixed by any principle of physics. There will be a quantum probability amplitude for every number of large space dimensions from zero to ten. The Feynman sum allows for all of these, for every possible history for the universe, but the observation that our universe has three large space dimensions selects out the subclass of histories that have the property that is being observed. In other words, the quantum probability that the universe has more or less than three large space dimensions is irrelevant because we have already determined that we are in a universe with three large space dimensions. So as long as the probability amplitude for three large space dimensions is not exactly zero, it doesn't matter how small it is compared with the probability amplitude for other numbers of dimensions. It would be like asking for the probability amplitude that the present pope is Chinese. We know that he is German, even though the probability that he is Chinese is higher because there are more Chinese than there are Germans. Similarly, we know our universe exhibits three large space dimensions, and so even though other numbers of large space dimensions may have a greater probability amplitude, we are interested only in histories with three.
+  What about the curled-up dimensions? Recall that in M-theory the precise shape of the remaining curled-up dimensions, the internal space, determines both the values of physical quantities such as the charge on the electron and the nature of the interactions between elementary particles, that is, the forces of nature. Things would have worked out neatly if M-theory had allowed just one shape for the curled dimensions, or perhaps a few, all but one of which might have been ruled out by some means, leaving us with just one possibility for the apparent laws of nature. Instead, there are probability amplitudes for perhaps as many as 10500 different internal spaces, each leading to different laws and values for the physical constants.
+  If one builds the history of the universe from the bottom up, there is no reason the universe should end up with the internal space for the particle interactions that we actually observe, the standard model (of elementary particle interactions). But in the top-down approach we accept that universes exist with all possible internal spaces. In some universes electrons have the weight of golf balls and the force of gravity is stronger than that of magnetism. In ours, the standard model, with all its parameters, applies. One can calculate the probability amplitude for the internal space that leads to the standard model on the basis of the no-boundary condition. As with the probability of there being a universe with three large space dimensions, it doesn't matter how small this amplitude is relative to other possibilities because we already observed that the standard model describes our universe.
+  The theory we describe in this chapter is testable. In the prior examples we emphasized that the relative probability amplitudes for radically different universes, such as those with a different number of large space dimensions, don't matter. The relative probability amplitudes for neighboring (i.e., similar) universes, however, are important. The no-boundary condition implies that the probability amplitude is highest for histories in which the universe starts out completely smooth. The amplitude is reduced for universes that are more irregular. This means that the early universe would have been almost smooth, but with small irregularities. As we've noted, we can observe these irregularities as small variations in the microwaves coming from different directions in the sky. They have been found to agree exactly with the general demands of inflation theory; however, more precise measurements are needed to fully differentiate the top-down theory from others, and to either support or refute it. These may well be carried out by satellites in the future.
+  Hundreds of years ago people thought the earth was unique, and situated at the center of the universe. Today we know there are hundreds of billions of stars in our galaxy, a large percentage of them with planetary systems, and hundreds of billions of galaxies. The results described in this chapter indicate that our universe itself is also one of many, and that its apparent laws are not uniquely determined. This must be disappointing for those who hoped that an ultimate theory, a theory of everything, would predict the nature of everyday physics. We cannot predict discrete features such as the number of large space dimensions or the internal space that determines the physical quantities we observe (e.g., the mass and charge of the electron and other elementary particles). Rather, we use those numbers to select which histories contribute to the Feynman sum.
+  We seem to be at a critical point in the history of science, in which we must alter our conception of goals and of what makes a physical theory acceptable. It appears that the fundamental numbers, and even the form, of the apparent laws of nature are not demanded by logic or physical principle. The parameters are free to take on many values and the laws to take on any form that leads to a self-consistent mathematical theory, and they do take on different values and different forms in different universes. That may not satisfy our human desire to be special or to discover a neat package to contain all the laws of physics, but it does seem to be the way of nature.
+  There seems to be a vast landscape of possible universes. However, as we'll see in the next chapter, universes in which life like us can exist are rare. We live in one in which life is possible, but if the universe were only slightly different, beings like us could not exist. What are we to make of this fine-tuning? Is it evidence that the universe, after all, was designed by a benevolent creator? Or does science offer another explanation?
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+HE CHINESE TELL OF A TIME during the Hsia dynasty (ca. 2205-ca. 1782 BC) when our cosmic environment suddenly changed. Ten suns appeared in the sky. The people on earth suffered greatly from the heat, so the emperor ordered a famous archer to shoot down the extra suns. The archer was rewarded with a pill that had the power to make him immortal, but his wife stole it. For that offense she was banished to the moon.
+  The Chinese were right to think that a solar system with ten suns is not friendly to human life. Today we know that, while perhaps offering great tanning opportunities, any solar system with multiple suns would probably never allow life to develop. The reasons are not quite as simple as the searing heat imagined in the Chinese legend. In fact, a planet could experience a pleasant temperature while orbiting multiple stars, at least for a while. But uniform heating over long periods of time, a situation that seems necessary for life, would be unlikely. To understand why, let's look at what happens in the simplest type of multiple-star system, one with two suns, which is called a binary system. About half of all stars in the sky are members of such systems. But even simple binary systems can maintain only certain kinds of stable orbits, of the type shown below. In each of these orbits there would likely be a time in which the planet would be either too hot or too cold to sustain life. The situation is even worse for clusters having many stars.
+  Our solar system has other "lucky" properties without which sophisticated life-forms might never have evolved. For example, Newton's laws allow for planetary orbits to be either circles or ellipses (ellipses are squashed circles, wider along one axis and narrower along another). The degree to which an ellipse is squashed is described by what is called its eccentricity, a number between zero and one. An eccentricity near zero means the figure resembles a circle, whereas an eccentricity near one means it is very flattened. Kepler was upset by the idea that planets don't move in perfect circles, but the earth's orbit has an eccentricity of only about 2 percent, which means it is nearly circular. As it turns out, that is a stroke of very good fortune.
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+  Seasonal weather patterns on earth are determined mainly by the tilt of the earth's axis of rotation relative to the plane of its orbit around the sun. During winter in the Northern Hemisphere, for example, the North Pole is tilted away from the sun. The fact that the earth is closest to the sun at that time-only 91.5 million miles away, as opposed to around 94.5 million miles away from the sun in early July-has a negligible effect on the temperature compared with the effect of its tilt. But on planets with a large orbital eccentricity, the varying distance from the sun plays a much larger role. On Mercury, for example, with a 20 percent eccentricity, the temperature is over 200 degrees Fahrenheit warmer at the planet's closest approach to the sun (perihelion) than when it is at its farthest from the sun (aphelion). In fact, if the eccentricity of the earth's orbit were near one, our oceans would boil when we reached our nearest point to the sun, and freeze over when we reached our farthest, making neither winter nor summer vacations very pleasant. Large orbital eccentricities are not conducive to life, so we are fortunate to have a planet for which orbital eccentricity is near zero.
+
+  We are also lucky in the relationship of our sun's mass to our distance from it. That is because a star's mass determines the amount of energy it gives off. The largest stars have a mass about a hundred times that of our sun, while the smallest are about a hundred times less massive. And yet, assuming the earth-sun distance as a given, if our sun were just 20 percent less or more massive, the earth would be colder than present-day Mars or hotter than present-day Venus.
+  Traditionally, given any star, scientists define the habitable zone as the narrow region around the star in which temperatures are such that liquid water can exist. The habitable zone is sometimes called the "Goldilocks zone," because the requirement that liquid water exist means that, like Goldilocks, the development of intelligent life requires that planetary temperatures be "just right." The habitable zone in our solar system, pictured above, is tiny. Fortunately for those of us who are intelligent life-forms, the earth fell within it!
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+  Newton believed that our strangely habitable solar system did not "arise out of chaos by the mere laws of nature." Instead, he maintained, the order in the universe was "created by God at first and conserved by him to this Day in the same state and condition." It is easy to understand why one might think that. The many improbable occurrences that conspired to enable our existence, and our world's human-friendly design, would indeed be puzzling if ours were the only solar system in the universe. But in 1992 came the first confirmed observation of a planet orbiting a star other than our sun. We now know of hundreds of such planets, and few doubt that there exist countless others among the many billions of stars in our universe. That makes the coincidences of our planetary conditions-the single sun, the lucky combination of earth-sun distance and solar mass-far less remarkable, and far less compelling as evidence that the earth was carefully designed just to please us human beings. Planets of all sorts exist. Some-or at least one-support life. Obviously, when the beings on a planet that supports life examine the world around them, they are bound to find that their environment satisfies the conditions they require to exist.
+  It is possible to turn that last statement into a scientific principle: Our very existence imposes rules determining from where and at what time it is possible for us to observe the universe. That is, the fact of our being restricts the characteristics of the kind of environment in which we find ourselves. That principle is called the weak anthropic principle. (We'll see shortly why the adjective "weak" is attached.) A better term than "anthropic principle" would have been "selection principle," because the principle refers to how our own knowledge of our existence imposes rules that select, out of all the possible environments, only those environments with the characteristics that allow life.
+  Though it may sound like philosophy, the weak anthropic principle can be used to make scientific predictions. For example, how old is the universe? As we'll soon see, for us to exist the universe must contain elements such as carbon, which are produced by cooking lighter elements inside stars. The carbon must then be scattered through space in a supernova explosion, and eventually condense as part of a planet in a new-generation solar system. In 1961 physicist Robert Dicke argued that the process takes about 10 billion years, so our being here means that the universe must be at least that old. On the other hand, the universe cannot be much older than 10 billion years, since in the far future all the fuel for stars will have been used up, and we require hot stars for our sustenance. Hence the universe must be about 10 billion years old. That is not an extremely precise prediction, but it is true-according to current data the big bang occurred about 13.7 billion years ago.
+  As was the case with the age of the universe, anthropic predictions usually produce a range of values for a given physical parameter rather than pinpointing it precisely. That's because our existence, while it might not require a particular value of some physical parameter, often is dependent on such parameters not varying too far from where we actually find them. We furthermore expect that the actual conditions in our world are typical within the anthropically allowed range. For example, if only modest orbital eccentricities, say between zero and 0.5, will allow life, then an eccentricity of 0.1 should not surprise us because among all the planets in the universe, a fair percentage probably have orbits with eccentricities that small. But if it turned out that the earth moved in a near-perfect circle, with eccentricity, say, of 0.00000000001, that would make the earth a very special planet indeed, and motivate us to try to explain why we find ourselves living in such an anomalous home. That idea is sometimes called the principle of mediocrity.
+  The lucky coincidences pertaining to the shape of planetary orbits, the mass of the sun, and so on are called environmental because they arise from the serendipity of our surroundings and not from a fluke in the fundamental laws of nature. The age of the universe is also an environmental factor, since there are an earlier and a later time in the history of the universe, but we must live in this era because it is the only era conducive to life. Environmental coincidences are easy to understand because ours is only one cosmic habitat among many that exist in the universe, and we obviously must exist in a habitat that supports life.
+  The weak anthropic principle is not very controversial. But there is a stronger form that we will argue for here, although it is regarded with disdain among some physicists. The strong anthropic principle suggests that the fact that we exist imposes constraints not just on our environment but on the possible form and content of the laws of nature themselves. The idea arose because it is not only the peculiar characteristics of our solar system that seem oddly conducive to the development of human life but also the characteristics of our entire universe, and that is much more difficult to explain.
+  The tale of how the primordial universe of hydrogen, helium, and a bit of lithium evolved to a universe harboring at least one world with intelligent life like us is a tale of many chapters. As we mentioned earlier, the forces of nature had to be such that heavier elements-especially carbon-could be produced from the primordial elements, and remain stable for at least billions of years. Those heavy elements were formed in the furnaces we call stars, so the forces first had to allow stars and galaxies to form. Those grew from the seeds of tiny inhomogeneities in the early universe, which was almost completely uniform but thankfully contained density variations of about 1 part in 100,000. However, the existence of stars, and the existence inside those stars of the elements we are made of, is not enough. The dynamics of the stars had to be such that some would eventually explode, and, moreover, explode precisely in a way that could disburse the heavier elements through space. In addition, the laws of nature had to dictate that those remnants could recondense into a new generation of stars, these surrounded by planets incorporating the newly formed heavy elements. Just as certain events on early earth had to occur in order to allow us to develop, so too was each link of this chain necessary for our existence. But in the case of the events resulting in the evolution of the universe, such developments were governed by the balance of the fundamental forces of nature, and it is those whose interplay had to be just right in order for us to exist.
+  One of the first to recognize that this might involve a good measure of serendipity was Fred Hoyle, in the 1950s. Hoyle believed that all chemical elements had originally been formed from hydrogen, which he felt was the true primordial substance. Hydrogen has the simplest atomic nucleus, consisting of just one proton, either alone or in combination with one or two neutrons. (Different forms of hydrogen, or any nucleus, having the same number of protons but different numbers of neutrons are called isotopes.) Today we know that helium and lithium, atoms whose nuclei contain two and three protons, were also primordially synthesized, in much smaller amounts, when the universe was about 200 seconds old. Life, on the other hand, depends on more complex elements. Carbon is the most important of these, the basis for all organic chemistry.
+  Though one might imagine "living" organisms such as intelligent computers produced from other elements, such as silicon, it is doubtful that life could have spontaneously evolved in the absence of carbon. The reasons for that are technical but have to do with the unique manner in which carbon bonds with other elements. Carbon dioxide, for example, is gaseous at room temperature, and biologically very useful. Since silicon is the element directly below carbon on the periodic table, it has similar chemical properties. However, silicon dioxide, quartz, is far more useful in a rock collection than in an organism's lungs. Still, perhaps life-forms could evolve that feast on silicon and rhythmically twirl their tails in pools of liquid ammonia. Even that type of exotic life could not evolve from just the primordial elements, for those elements can form only two stable compounds, lithium hydride, which is a colorless crystalline solid, and hydrogen gas, neither of them a compound likely to reproduce or even to fall in love. Also, the fact remains that we are a carbon life-form, and that raises the issue of how carbon, whose nucleus contains six protons, and the other heavy elements in our bodies were created.
+  The first step occurs when older stars start to accumulate helium, which is produced when two hydrogen nuclei collide and fuse with each other. This fusion is how stars create the energy that warms us. Two helium atoms can in turn collide to form beryllium, an atom whose nucleus contains four protons. Once beryllium is formed, it could in principle fuse with a third helium nucleus to form carbon. But that doesn't happen, because the isotope of beryllium that is formed decays almost immediately back into helium nuclei.
+  The situation changes when a star starts to run out of hydrogen. When that happens the star's core collapses until its central temperature rises to about 100 million degrees Kelvin. Under those conditions, nuclei encounter each other so often that some beryllium nuclei collide with a helium nucleus before they have had a chance to decay. Beryllium can then fuse with helium to form an isotope of carbon that is stable. But that carbon is still a long way from forming ordered aggregates of chemical compounds of the type that can enjoy a glass of Bordeaux, juggle flaming bowling pins, or ask questions about the universe. For beings such as humans to exist, the carbon must be moved from inside the star to friendlier neighborhoods. That, as we've said, is accomplished when the star, at the end of its life cycle, explodes as a supernova, expelling carbon and other heavy elements that later condense into a planet.
+
+  This process of carbon creation is called the triple alpha process because "alpha particle" is another name for the nucleus of the isotope of helium involved, and because the process requires that three of them (eventually) fuse together. The usual physics predicts that the rate of carbon production via the triple alpha process ought to be quite small. Noting this, in 1952 Hoyle predicted that the sum of the energies of a beryllium nucleus and a helium nucleus must be almost exactly the energy of a certain quantum state of the isotope of carbon formed, a situation called a resonance, which greatly increases the rate of a nuclear reaction. At the time, no such energy level was known, but based on Hoyle's suggestion, William Fowler at Caltech sought and found it, providing important support for Hoyle's views on how complex nuclei were created.
+  Hoyle wrote, "I do not believe that any scientist who examined the evidence would fail to draw the inference that the laws of nuclear physics have been deliberately designed with regard to the consequences they produce inside the stars." At the time no one knew enough nuclear physics to understand the magnitude of the serendipity that resulted in these exact physical laws. But in investigating the validity of the strong anthropic principle, in recent years physicists began asking themselves what the universe would have been like if the laws of nature were different. Today we can create computer models that tell us how the rate of the triple alpha reaction depends upon the strength of the fundamental forces of nature. Such calculations show that a change of as little as 0.5 percent in the strength of the strong nuclear force, or 4 percent in the electric force, would destroy either nearly all carbon or all oxygen in every star, and hence the possibility of life as we know it. Change those rules of our universe just a bit, and the conditions for our existence disappear!
+  By examining the model universes we generate when the theories of physics are altered in certain ways, one can study the effect of changes to physical law in a methodical manner. It turns out that it is not only the strengths of the strong nuclear force and the electromagnetic force that are made to order for our existence. Most of the fundamental constants in our theories appear fine-tuned in the sense that if they were altered by only modest amounts, the universe would be qualitatively different, and in many cases unsuitable for the development of life. For example, if the other nuclear force, the weak force, were much weaker, in the early universe all the hydrogen in the cosmos would have turned to helium, and hence there would be no normal stars; if it were much stronger, exploding supernovas would not eject their outer envelopes, and hence would fail to seed interstellar space with the heavy elements planets require to foster life. If protons were 0.2 percent heavier, they would decay into neutrons, destabilizing atoms. If the sum of the masses of the types of quark that make up a proton were changed by as little as 10 percent, there would be far fewer of the stable atomic nuclei of which we are made; in fact, the summed quark masses seem roughly optimized for the existence of the largest number of stable nuclei.
+  If one assumes that a few hundred million years in stable orbit are necessary for planetary life to evolve, the number of space dimensions is also fixed by our existence. That is because, according to the laws of gravity, it is only in three dimensions that stable elliptical orbits are possible. Circular orbits are possible in other dimensions, but those, as Newton feared, are unstable. In any but three dimensions even a small disturbance, such as that produced by the pull of the other planets, would send a planet off its circular orbit and cause it to spiral either into or away from the sun, so we would either burn up or freeze. Also, in more than three dimensions the gravitational force between two bodies would decrease more rapidly than it does in three dimensions. In three dimensions the gravitational force drops to 1/4 of its value if one doubles the distance. In four dimensions it would drop to ⅛, in five dimensions it would drop to  and so on. As a result, in more than three dimensions the sun would not be able to exist in a stable state with its internal pressure balancing the pull of gravity. It would either fall apart or collapse to form a black hole, either of which could ruin your day. On the atomic scale, the electrical forces would behave in the same way as gravitational forces. That means the electrons in atoms would either escape or spiral into the nucleus. In neither case would atoms as we know them be possible.
+  The emergence of the complex structures capable of supporting intelligent observers seems to be very fragile. The laws of nature form a system that is extremely fine-tuned, and very little in physical law can be altered without destroying the possibility of the development of life as we know it. Were it not for a series of startling coincidences in the precise details of physical law, it seems, humans and similar life-forms would never have come into being.
+  The most impressive fine-tuning coincidence involves the so-called cosmological constant in Einstein's equations of general relativity. As we've said, in 1915, when he formulated the theory, Einstein believed that the universe was static, that is, neither expanding nor contracting. Since all matter attracts other matter, he introduced into his theory a new antigravity force to combat the tendency of the universe to collapse onto itself. This force, unlike other forces, did not come from any particular source but was built into the very fabric of space-time. The cosmological constant describes the strength of that force.
+  When it was discovered that the universe was not static, Einstein eliminated the cosmological constant from his theory and called including it the greatest blunder of his life. But in 1998 observations of very distant supernovas revealed that the universe is expanding at an accelerating rate, an effect that is not possible without some kind of repulsive force acting throughout space. The cosmological constant was resurrected. Since we now know that its value is not zero, the question remains, why does it have the value that it does? Physicists have created arguments explaining how it might arise due to quantum mechanical effects, but the value they calculate is about 120 orders of magnitude (a 1 followed by 120 zeroes) stronger than the actual value, obtained through the supernova observations. That means that either the reasoning employed in the calculation was wrong or else some other effect exists that miraculously cancels all but an unimaginably tiny fraction of the number calculated. The one thing that is certain is that if the value of the cosmological constant were much larger than it is, our universe would have blown itself apart before galaxies could form and-once again-life as we know it would be impossible.
+  What can we make of these coincidences? Luck in the precise form and nature of fundamental physical law is a different kind of luck from the luck we find in environmental factors. It cannot be so easily explained, and has far deeper physical and philosophical implications. Our universe and its laws appear to have a design that both is tailor-made to support us and, if we are to exist, leaves little room for alteration. That is not easily explained, and raises the natural question of why it is that way.
+  Many people would like us to use these coincidences as evidence of the work of God. The idea that the universe was designed to accommodate mankind appears in theologies and mythologies dating from thousands of years ago right up to the present. In the Mayan Popol Vuh mythohistorical narratives the gods proclaim, "We shall receive neither glory nor honor from all that we have created and formed until human beings exist, endowed with sentience." A typical Egyptian text dated 2000 BC states, "Men, the cattle of God, have been well provided for. He [the sun god] made the sky and earth for their benefit." In China the Taoist philosopher Lieh Yü-K'ou (c. 400 BC) expressed the idea through a character in a tale who says, "Heaven makes the five kinds of grain to grow, and brings forth the finny and the feathered tribes, especially for our benefit."
+  In Western culture the Old Testament contains the idea of providential design in its story of creation, but the traditional Christian viewpoint was also greatly influenced by Aristotle, who believed "in an intelligent natural world that functions according to some deliberate design." The medieval Christian theologian Thomas Aquinas employed Aristotle's ideas about the order in nature to argue for the existence of God. In the eighteenth century another Christian theologian went so far as to say that rabbits have white tails in order that it be easy for us to shoot them. A more modern illustration of the Christian view was given a few years ago when Cardinal Christoph Schönborn, archbishop of Vienna, wrote, "Now, at the beginning of the 21st century, faced with scientific claims like neo-Darwinism and the multiverse [many universes] hypothesis in cosmology invented to avoid the overwhelming evidence for purpose and design found in modern science, the Catholic Church will again defend human nature by proclaiming that the immanent design in nature is real." In cosmology the overwhelming evidence for purpose and design to which the cardinal was referring is the fine-tuning of physical law we described above.
+  The turning point in the scientific rejection of a human-centered universe was the Copernican model of the solar system, in which the earth no longer held a central position. Ironically, Copernicus's own worldview was anthropomorphic, even to the extent that he comforts us by pointing out that, despite his heliocentric model, the earth is almost at the universe's center: "Although [the earth] is not at the center of the world, nevertheless the distance [to that center] is as nothing in particular when compared to that of the fixed stars." With the invention of the telescope, observations in the seventeenth century, such as the fact that ours is not the only planet orbited by a moon, lent weight to the principle that we hold no privileged position in the universe. In the ensuing centuries the more we discovered about the universe, the more it seemed ours was probably just a garden-variety planet. But the discovery relatively recently of the extreme fine-tuning of so many of the laws of nature could lead at least some of us some back to the old idea that this grand design is the work of some grand designer. In the United States, because the Constitution prohibits the teaching of religion in schools, that type of idea is called intelligent design, with the unstated but implied understanding that the designer is God.
+  That is not the answer of modern science. We saw in Chapter 5 that our universe seems to be one of many, each with different laws. That multiverse idea is not a notion invented to account for the miracle of fine-tuning. It is a consequence of the no-boundary condition as well as many other theories of modern cosmology. But if it is true, then the strong anthropic principle can be considered effectively equivalent to the weak one, putting the fine-tunings of physical law on the same footing as the environmental factors, for it means that our cosmic habitat-now the entire observable universe-is only one of many, just as our solar system is one of many. That means that in the same way that the environmental coincidences of our solar system were rendered unremarkable by the realization that billions of such systems exist, the fine-tunings in the laws of nature can be explained by the existence of multiple universes. Many people through the ages have attributed to God the beauty and complexity of nature that in their time seemed to have no scientific explanation. But just as Darwin and Wallace explained how the apparently miraculous design of living forms could appear without intervention by a supreme being, the multiverse concept can explain the fine-tuning of physical law without the need for a benevolent creator who made the universe for our benefit.
+  Einstein once posed to his assistant Ernst Straus the question "Did God have any choice when he created the universe?" In the late sixteenth century Kepler was convinced that God had created the universe according to some perfect mathematical principle. Newton showed that the same laws that apply in the heavens apply on earth, and developed mathematical equations to express those laws that were so elegant they inspired almost religious fervor among many eighteenth-century scientists, who seemed intent on using them to show that God was a mathematician.
+  Ever since Newton, and especially since Einstein, the goal of physics has been to find simple mathematical principles of the kind Kepler envisioned, and with them to create a unified theory of everything that would account for every detail of the matter and forces we observe in nature. In the late nineteenth and early twentieth century Maxwell and Einstein united the theories of electricity, magnetism, and light. In the 1970s the standard model was created, a single theory of the strong and weak nuclear forces, and the electromagnetic force. String theory and M-theory then came into being in an attempt to include the remaining force, gravity. The goal was to find not just a single theory that explains all the forces but also one that explains the fundamental numbers we have been talking about, such as the strength of the forces and the masses and charges of the elementary particles. As Einstein put it, the hope was to be able to say that "nature is so constituted that it is possible logically to lay down such strongly determined laws that within these laws only rationally completely determined constants occur (not constants, therefore, whose numerical value could be changed without destroying the theory)." A unique theory would be unlikely to have the fine-tuning that allows us to exist. But if in light of recent advances we interpret Einstein's dream to be that of a unique theory that explains this and other universes, with their whole spectrum of different laws, then M-theory could be that theory. But is M-theory unique, or demanded by any simple logical principle? Can we answer the question, why M-theory?
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+THE LURE OF ETERNITY
+Beginnings, Endings, and Beyond
+In the fullness of time all that lives will die. For more than three billion years, as species simple and complex found their place in earth's hierarchy, the scythe of death has cast a persistent shadow over the flowering of life. Diversity spread as life crawled from the oceans, strode on land, and took flight in the skies. But wait long enough and the ledger of birth and death, with entries more numerous than stars in the galaxy, will balance with dispassionate precision. The unfolding of any given life is beyond prediction. The final fate of any given life is a foregone conclusion.
+  And yet this looming end, as inevitable as the setting sun, is something only we humans seem to notice. Long before our arrival, the thunderous clap of storm clouds, the raging might of volcanoes, the tremulous shudders of a quaking earth surely sent scurrying everything with the power to scurry. But such flights are an instinctual reaction to a present danger. Most life lives in the moment, with fear born of immediate perception. It is only you and I and the rest of our lot that can reflect on the distant past, imagine the future, and grasp the darkness that awaits.
+  It's terrifying. Not the kind of terror that makes us flinch or run for cover. Rather, it's a foreboding that quietly lives within us, one we learn to tamp down, to accept, to make light of. But underneath the obscuring layers is the ever-present, unsettling fact of what lies in store, knowledge that William James described as the "worm at the core of all our usual springs of delight."1 To work and play, to yearn and strive, to long and love, all of it stitching us ever more tightly into the tapestry of the lives we share, and for it all then to be gone-well, to paraphrase Steven Wright, it's enough to scare you half to death. Twice.
+
+  Of course, most of us, in the service of sanity, don't fixate on the end. We go about the world focused on worldly concerns. We accept the inevitable and direct our energies to other things. Yet the recognition that our time is finite is always with us, helping to shape the choices we make, the challenges we accept, the paths we follow. As cultural anthropologist Ernest Becker maintained, we are under a constant existential tension, pulled toward the sky by a consciousness that can soar to the heights of Shakespeare, Beethoven, and Einstein but tethered to earth by a physical form that will decay to dust. "Man is literally split in two: he has an awareness of his own splendid uniqueness in that he sticks out of nature with a towering majesty, and yet he goes back into the ground a few feet in order blindly and dumbly to rot and disappear forever."2 According to Becker, we are impelled by such awareness to deny death the capacity to erase us. Some soothe the existential yearning through commitment to family, a team, a movement, a religion, a nation-constructs that will outlast the individual's allotted time on earth. Others leave behind creative expressions, artifacts that extend the duration of their presence symbolically. "We fly to Beauty," said Emerson, "as an asylum from the terrors of finite nature."3 Others still seek to vanquish death by winning or conquering, as if stature, power, and wealth command an immunity unavailable to the common mortal.
+  Across the millennia, one consequence has been a widespread fascination with all things, real or imagined, that touch on the timeless. From prophesies of an afterlife, to teachings of reincarnation, to entreaties of the windswept mandala, we have developed strategies to contend with knowledge of our impermanence and, often with hope, sometimes with resignation, to gesture toward eternity. What's new in our age is the remarkable power of science to tell a lucid story not only of the past, back to the big bang, but also of the future. Eternity itself may forever lie beyond the reach of our equations, but our analyses have already revealed that the universe we have come to know is transitory. From planets to stars, solar systems to galaxies, black holes to swirling nebulae, nothing is everlasting. Indeed, as far as we can tell, not only is each individual life finite, but so too is life itself. Planet earth, which Carl Sagan described as a "mote of dust suspended on a sunbeam," is an evanescent bloom in an exquisite cosmos that will ultimately be barren. Motes of dust, nearby or distant, dance on sunbeams for merely a moment.
+
+  Still, here on earth we have punctuated our moment with astonishing feats of insight, creativity, and ingenuity as each generation has built on the achievements of those who have gone before, seeking clarity on how it all came to be, pursuing coherence in where it is all going, and longing for an answer to why it all matters.
+  Such is the story of this book.
+Stories of Nearly Everything
+We are a species that delights in story. We look out on reality, we grasp patterns, and we join them into narratives that can captivate, inform, startle, amuse, and thrill. The plural-narratives-is utterly essential. In the library of human reflection, there is no single, unified volume that conveys ultimate understanding. Instead, we have written many nested stories that probe different domains of human inquiry and experience: stories, that is, that parse the patterns of reality using different grammars and vocabularies. Protons, neutrons, electrons, and nature's other particles are essential for telling the reductionist story, analyzing the stuff of reality, from planets to Picasso, in terms of their microphysical constituents. Metabolism, replication, mutation, and adaptation are essential for telling the story of life's emergence and development, analyzing the biochemical workings of remarkable molecules and the cells they govern. Neurons, information, thought, and awareness are essential for the story of mind-and with that the narratives proliferate: myth to religion, literature to philosophy, art to music, telling of humankind's struggle for survival, will to understand, urge for expression, and search for meaning.
+  These are all ongoing stories, developed by thinkers hailing from a great range of distinct disciplines. Understandably so. A saga that ranges from quarks to consciousness is a hefty chronicle. Still, the different stories are interlaced. Don Quixote speaks to humankind's yearning for the heroic, told through the fragile Alonso Quijano, a character created in the imagination of Miguel de Cervantes, a living, breathing, thinking, sensing, feeling collection of bone, tissue, and cells that, during his lifetime, supported organic processes of energy transformation and waste excretion, which themselves relied on atomic and molecular movements honed by billions of years of evolution on a planet forged from the detritus of supernova explosions scattered throughout a realm of space emerging from the big bang. Yet to read Don Quixote's travails is to gain an understanding of human nature that would remain opaque if embedded in a description of the movements of the knight-errant's molecules and atoms or conveyed through an elaboration of the neuronal processes crackling in Cervantes's mind while writing the novel. Connected though they surely are, different stories, told with different languages and focused on different levels of reality, provide vastly different insights.
+
+  Perhaps one day we will be able to transit seamlessly between these stories, connecting all products of the human mind, real and fictive, scientific and imaginative. Perhaps we will one day invoke a unified theory of particulate ingredients to explain the overwhelming vision of a Rodin and the myriad responses The Burghers of Calais elicits from those who experience it. Maybe we will fully grasp how the seemingly mundane, a glint of light reflecting from a spinning dinner plate, can churn through the powerful mind of a Richard Feynman and compel him to rewrite the fundamental laws of physics. More ambitious still, perhaps one day we will understand the workings of mind and matter so completely that all will be laid bare, from black holes to Beethoven, from quantum weirdness to Walt Whitman. But even without having anything remotely near that capacity, there is much to be gained by immersion in these stories-scientific, creative, imaginative-appreciating when and how they emerged from earlier ones playing out on the cosmic timeline and tracing the developments, both controversial and conclusive, that elevated each to their place of explanatory prominence.4
+
+  Clear across the collection of stories, we will find two forces sharing the role of leading character. In chapter 2 we will meet the first: entropy. Although familiar to many through its association with disorder and the often-quoted declaration that disorder is always on the rise, entropy has subtle qualities that allow physical systems to develop in a rich variety of ways, sometimes even appearing to swim against the entropic stream. We will see important examples of this in chapter 3, as particles in the aftermath of the big bang seemingly flout the drive to disorder as they evolve into organized structures like stars, galaxies, and planets-and ultimately, into configurations of matter that surge with the current of life. Asking how that current switched on takes us to the second of our pervasive influences: evolution.
+  Although it is the prime mover behind the gradual transformations experienced by living systems, evolution by natural selection kicks in well before the first forms of life start competing. In chapter 4, we will encounter molecules battling molecules, struggles for survival waged in an arena of inanimate matter. Round upon round of molecular Darwinism, as such chemical combat is called, is what likely produced a series of ever more robust configurations ultimately yielding the first molecular collections we would recognize as life. The details are the stuff of cutting-edge research, but with the last couple of decades of stupendous progress, the consensus is that we are heading down the right track. Indeed, it may be that the dual forces of entropy and evolution are well-matched partners in the trek toward the emergence of life. While that might sound like an odd coupling-entropy's public rap veers close to chaos, seemingly the antithesis of evolution or of life-recent mathematical analyses of entropy suggest that life, or at least lifelike qualities, might well be the expected product of a long-lived source of energy, like the sun, relentlessly raining down heat and light on molecular ingredients that are competing for the limited resources available on a planet like earth.
+  Tentative though some of these ideas currently are, what's certain is that a billion or so years after the earth formed it was teeming with life developing under evolutionary pressure, and so the next phase of developments is standard Darwinian fare. Chance events, like being hit by a cosmic ray or suffering a molecular mishap during the replication of DNA, result in random mutations, some with minimal impact on the organism's health or welfare but others making it more or less fit in the competition for survival. Those mutations that enhance fitness are more likely to be passed on to descendants because the very meaning of "more fit" is that the trait's carrier is more likely to survive to reproductive maturity and produce fit offspring. From generation to generation, qualities that enhanced fitness thus spread widely.
+
+  Billions of years later, as this long process continued to unfold, a particular suite of mutations provided some forms of life with an enhanced capacity for cognition. Some life not only became aware, but became aware of being aware. That is, some life acquired conscious self-awareness. Such self-reflective beings have naturally wondered what consciousness is and how it arose: How can a swirl of mindless matter think and feel? Various researchers, as we will discuss in chapter 5, anticipate a mechanistic explanation. They argue that we need to understand the brain-its components, its functions, its connections-with far greater fidelity than we now do, but once we have that knowledge, an explanation of consciousness will follow. Others anticipate that we are up against a far greater challenge, arguing that consciousness is the most difficult conundrum we have ever encountered, one that will require radically new perspectives regarding not just mind but also the very nature of reality.
+  Opinions converge when assessing the impact our cognitive sophistication has had on our behavioral repertoire. Across tens of thousands of generations during the Pleistocene, our forebears joined together in groups that subsisted through hunting and gathering. In time, an emerging mental dexterity provided them with refined capacities to plan and organize and communicate and teach and evaluate and judge and problem-solve. Leveraging these enhanced abilities of the individual, groups exerted increasingly influential communal forces. Which takes us to the next collection of explanatory episodes, those focused on developments that made us us. In chapter 6 we examine our acquisition of language and subsequent obsession with the telling of stories; chapter 7 probes a particular genre of stories, those that foreshadow and transition into religious traditions; and in chapter 8 we explore the long-standing and widespread pursuit of creative expression.
+
+  In seeking the origin of these developments, both common and sacred, researchers have invoked a wide range of explanations. For us, an essential guiding light will continue to be Darwinian evolution, applied now to human behavior. The brain, after all, is but another biological structure evolving via selection pressures, and it is the brain that informs what we do and how we respond. Over the past few decades, cognitive scientists and evolutionary psychologists have developed this perspective, establishing that much as our biology has been shaped by the forces of Darwinian selection, so too has our behavior. And thus in our trek across human culture we will often ask whether this or that behavior may have enhanced the prospects for survival and reproduction among those who long ago practiced it, promoting its wide propagation throughout generations of descendants. However, unlike the opposable thumb or upright gait-inherited physiological features tightly linked to specific adaptive behaviors-many of the brain's inherited characteristics mold predilections rather than definitive actions. We are influenced by these predispositions but human activity emerges from a comingling of behavioral tendencies with our complex, deliberative, self-reflective minds.
+  And so a second guiding light, distinct but no less important, will be trained on the inner life that comes hand in hand with our refined cognitive capacities. Following a trail marked by many thinkers, we will come to a revealing vista: with human cognition we surely harnessed a powerful force, one that in time elevated us to the dominant species worldwide. But the mental faculties that allow us to shape and mold and innovate are the very ones that dispel the myopia that would otherwise keep us narrowly focused on the present. The ability to manipulate the environment thoughtfully provides the capacity to shift our vantage point, to hover above the timeline and contemplate what was and imagine what will be. However much we'd prefer it otherwise, to achieve "I think, therefore I am" is to run headlong into the rejoinder "I am, therefore I will die."
+  Mildly put, the realization is disconcerting. Yet most of us can take it. And our survival as a species attests to our brethren having been able to take it too. But how do we do it?5 According to one line of thought, we tell and retell stories in which our place in a vast universe migrates to center stage, and the possibility of our being permanently erased is challenged or is ignored-or, simply put, is just not in the cards. We craft works in painting, sculpture, movement, and music in which we wrest control of creation and invest ourselves with the power to triumph over all things finite. We envision heroes, from Hercules to Sir Gawain to Hermione, who stare down death with a steely resolve and demonstrate, albeit fancifully, that we can conquer. We develop science, providing insights into the workings of reality that we transform into powers earlier generations would have reserved for gods. In short, we can have our cognitive cake-the nimbleness of thought that, among much else, reveals our existential predicament-and enjoy eating it too. Through our creative capacities we have developed formidable defenses against what would otherwise have been debilitating disquiet.
+
+  All the same, because motives don't fossilize, tracing the inspiration for human behavior can be a knotty undertaking. Perhaps our creative forays, from the stags at Lascaux to the equations of general relativity, emerge from the brain's naturally selected but overly active ability to detect and coherently organize patterns. Perhaps these and related pursuits are exquisite but adaptively superfluous by-products of a sufficiently large brain released from full-time focus on securing shelter and sustenance. As we will discuss, theories abound but unassailable conclusions are elusive. What lies beyond question is that we imagine and we create and we experience works, from the Pyramids to the Ninth Symphony to quantum mechanics, that are monuments to human ingenuity whose durability, if not whose content, point toward permanence.
+  And with that, having considered cosmic origins, explored the formation of atoms, stars, and planets, and swept across the emergence of life, consciousness, and culture, we will cast our sights toward the very realm that for millennia, literally and symbolically, has both stimulated and quelled our cosmic anxiety. We will look, that is, from here to eternity.
+ 
+Information, Consciousness, and Eternity
+Eternity will be a long time coming. A lot will happen along the way. Breathless futurists and Hollywood sci-fi spectaculars envision what life and civilization will be like over spans that while significant by human standards pale in comparison to cosmic timescales. It is an entertaining pastime to extrapolate from a short stretch of exponential technological innovation to future developments, but such predictions are likely to differ profoundly from how things will actually unfold. And that's over relatively familiar durations of decades, centuries, and millennia. Over cosmic timescales, predicting these sorts of details is a fool's errand. Thankfully, for most of what we will explore here, we will find ourselves on more solid ground. My intent is for us to paint the future of the universe with rich colors but only with the broadest of strokes. And with that level of detail, we can portray the possibilities with a reasonable degree of confidence.
+  An essential recognition is that there is little emotional equanimity to be gained from leaving a trace on a future bereft of anyone there to notice. The future we tend to envision, even if only implicitly, is one that's populated by the kinds of things we care about. Evolution will surely drive life and mind to take on a wealth of forms supported by a range of platforms-biological, computational, hybrid, and who knows what else. But regardless of the unpredictable details of physical composition or environmental backdrop, most of us imagine that in the vastly distant future, life of some stripe, and intelligent life more particularly, will exist and it will think.
+  And this raises a question that will ride along with us throughout the journey: Can conscious thought persist indefinitely? Or might the thinking mind, like the Tasmanian tiger or the ivory-billed woodpecker, be something sublime that rises up for a period but then goes extinct? I'm not focused on any individual consciousness, so the question has nothing to do with wished-for technologies-cryogenic, digital, whatever-capable of preserving a given mind. Instead, I am asking whether the phenomenon of thought, supported by a human brain or an intelligent computer or entangled particles floating in the void or any other physical process that proves relevant, can persist arbitrarily far into the future.
+
+  Why wouldn't it? Well, think about the human incarnation of thought. It arose in conjunction with a fortuitous set of environmental conditions explaining why, for example, our thinking takes place here and not on Mercury or on Halley's comet. We think here because the conditions here are hospitable to life and thought, which is why deleterious changes to earth's climate are so distressing. What's not at all obvious is that there is a cosmic version of such consequential but parochial concerns. By thinking of thought as a physical process (an assumption we will examine), it is not surprising that thought can take place only when certain stringent environmental conditions are met, whether on earth in the here and now or somewhere else in the there and then. And so as we consider the broad-brush evolution of the universe, we will determine whether the evolving environmental conditions across space and time can support intelligent life indefinitely.
+  The assessment will be guided by insights from research in particle physics, astrophysics, and cosmology that allow us to predict how the universe will unfold over epochs that dwarf the timeline back to the bang. There are significant uncertainties, of course, and like most scientists I live for the possibility that nature will slap down our hubris and reveal surprises we can't yet fathom. But focusing on what we've measured, on what we've observed, and on what we've calculated, what we'll find, as laid out in chapters 9 and 10, is not heartening. Planets and stars and solar systems and galaxies and even black holes are transitory. The end of each is driven by its own distinctive combination of physical processes, spanning quantum mechanics through general relativity, ultimately yielding a mist of particles drifting through a cold and quiet cosmos.
+  How will conscious thought fare in a universe experiencing such transformation? The language for asking and answering this question is provided once again by entropy. And by following the entropic trail we will encounter the all-too-real possibility that the very act of thinking, undertaken by any entity of any kind anywhere, may be thwarted by an unavoidable buildup of environmental waste: in the distant future, anything that thinks may burn up in the heat generated by its own thoughts. Thought itself may become physically impossible.
+
+  While the case against endless thought will be based on a conservative set of assumptions, we will also consider alternatives, possible futures more conducive to life and thinking. But the most straightforward reading suggests that life, and intelligent life in particular, is ephemeral. The interval on the cosmic timeline in which conditions allow for the existence of self-reflective beings may well be extremely narrow. Take a cursory glance at the whole shebang, and you might miss life entirely. Nabokov's description of a human life as a "brief crack of light between two eternities of darkness"6 may apply to the phenomenon of life itself.
+  We mourn our transience and take comfort in a symbolic transcendence, the legacy of having participated in the journey at all. You and I won't be here, but others will, and what you and I do, what you and I create, what you and I leave behind contributes to what will be and how future life will live. But in a universe that will ultimately be devoid of life and consciousness, even a symbolic legacy-a whisper intended for our distant descendants-will disappear into the void.
+  Where, then, does that leave us?
+Reflections on the Future
+We tend to absorb findings about the universe intellectually. We learn some new fact about time or unified theories or black holes. It momentarily tickles the mind, and if sufficiently impressive, it sticks. The abstract nature of science often leads us to dwell on its content cognitively, and only then, and then only rarely, does that understanding have a chance of touching us viscerally. But on the occasions when science does conjure both reason and emotion, the result can be powerful.
+  Case in point: Some years ago when I began to think about scientific predictions regarding the far future of the universe, my experience was mostly cerebral. I absorbed relevant material as a fascinating but abstract collection of insights entailed by the mathematics of nature's laws. Still, I found that if I pressed myself to really imagine all life, all thought, all struggle, and all accomplishment being a fleeting aberration on an otherwise lifeless cosmic timeline, I absorbed it differently. I could sense it. I could feel it. And I don't mind sharing that the first few times I went there, the journey was dark. Through decades of study and scientific research, I've often had moments of elation and wonder, but never previously had results in mathematics and physics overwhelmed me with a hollow dread.
+
+  Over time, my emotional engagement with these ideas has refined. Now, more often than not, contemplating the far future leaves me with a feeling of calm and connection, as if my own identity hardly matters because it has been subsumed by what I can only describe as a feeling of gratitude for the gift of experience. Since, more than likely, you don't know me personally, let me put this in context. I'm open-minded with a sensibility that demands rigor. I come from a world in which you make your case with equations and replicable data, a world in which validity is determined by unambiguous calculations that yield predictions matching experiments digit by digit, sometimes as far as a dozen places beyond the decimal point. So the first time I had one of these moments of calm connection-I happened to be at a Starbucks in New York City-I was deeply suspicious. Perhaps my Earl Grey was tainted with some bad soy milk. Or perhaps I was losing my mind.
+  On reflection, neither was the case. We are the product of a long lineage that has soothed its existential discomfort by envisioning that we leave a mark. And the more lasting the mark, the more indelible its imprint, the more a life seems to be a life that mattered. In the words of philosopher Robert Nozick-but they could just as easily have come from George Bailey-"Death wipes you out...To be wiped out completely, traces and all, goes a long way toward destroying the meaning of one's life."7 Especially for those, like me, without a traditional religious orientation, an emphasis on not being "wiped out," a relentless focus on endurance, can pervade everything. My upbringing, my education, my career, my experiences have all been informed by it. During every stage, I've gone forward with an eye trained on the long view, on seeking to accomplish something that would last. There is no mystery why my professional preoccupation has been dominated by mathematical analyses of space, time, and nature's laws; it is hard to imagine another discipline that more readily keeps one's day-to-day thoughts focused on questions that transcend the moment. But scientific discovery itself casts this perspective in a different light. Life and thought likely populate a minute oasis on the cosmic timeline. Though governed by elegant mathematical laws that allow for all manner of wondrous physical processes, the universe will play host to life and mind only temporarily. If you take that in fully, envisioning a future bereft of stars and planets and things that think, your regard for our era can appreciate toward reverence.
+
+  And that is the feeling I had experienced at Starbucks. The calm and connection marked a shift from grasping for a receding future to the feeling of inhabiting a breathtaking if transient present. It was a shift, for me, compelled by a cosmological counterpart to the guidance offered through the ages by poets and philosophers, writers and artists, spiritual sages and mindfulness teachers, among countless others who tell us the simple but surprisingly subtle truth that life is in the here and now. It's a mind-set that is hard to maintain but one that has infused the thinking of many. We see it in Emily Dickinson's "Forever-is composed of Nows"8 and Thoreau's "eternity in each moment."9 It is a perspective, I've found, that becomes all the more palpable when we immerse ourselves in the full expanse of time-beginning to end-a cosmological backdrop that provides unmatched clarity on how singular and fleeting the here and now actually is.
+  The purpose of this book is to provide that clarity. We will journey across time, from our most refined understanding of the beginning to the closest science can take us to the very end. We will explore how life and mind emerge from the initial chaos, and we will dwell on what a collection of curious, passionate, anxious, self-reflective, inventive, and skeptical minds do, especially when they notice their own mortality. We will examine the rise of religion, the urge for creative expression, the ascent of science, the quest for truth, and the longing for the timeless. The deep-seated affinity for something permanent, for what Franz Kafka identified as our need for "something indestructible,"10 will then propel our continued march toward the distant future, allowing us to assess the prospects for everything we hold dear, everything constituting reality as we know it, from planets and stars, galaxies and black holes, to life and mind.
+
+  Across it all, the human spirit of discovery will shine through. We are ambitious explorers seeking to grasp a vast reality. Centuries of effort have illuminated dark terrains of matter, mind, and the cosmos. During millennia to come, the spheres of illumination will grow larger and brighter. The journey so far has already made evident that reality is governed by mathematical laws that are indifferent to codes of conduct, standards of beauty, needs for companionship, longings for understanding, and quests for purpose. Yet, through language and story, art and myth, religion and science, we have harnessed our small part of the dispassionate, relentless, mechanical unfolding of the cosmos to give voice to our pervasive need for coherence and value and meaning. It is an exquisite but temporary contribution. As our trek across time will make clear, life is likely transient, and all understanding that arose with its emergence will almost certainly dissolve with its conclusion. Nothing is permanent. Nothing is absolute. And so, in the search for value and purpose, the only insights of relevance, the only answers of significance, are those of our own making. In the end, during our brief moment in the sun, we are tasked with the noble charge of finding our own meaning.
+  Let us embark.
+
+ 
+ 
+2
+THE LANGUAGE OF TIME
+Past, Future, and Change
+On the evening of January 28, 1948, nestled between a performance of the Schubert Quartet in A minor and a presentation of English folk songs, BBC Radio broadcast a debate between one of the most potent intellectual forces of the twentieth century, Bertrand Russell, and Jesuit priest Frederick Copleston.1 The topic? The existence of God. Russell, whose innovative writings in philosophy and humanitarian principles would earn him the 1950 Nobel Prize in Literature, and whose iconoclastic political and social views would earn him a pink slip from both Cambridge University and the City College of New York, provided numerous arguments for questioning, if not rejecting, the existence of a creator.
+  One line of thought that informed Russell's position is relevant to our exploration here. "So far as scientific evidence goes," Russell noted, "the universe has crawled by slow stages to a somewhat pitiful result on this earth and is going to crawl by still more pitiful stages to a condition of universal death." With such a bleak outlook, Russell concluded, "if this is to be taken as evidence of purpose, I can only say that the purpose is one that does not appeal to me. I see no reason, therefore, to believe in any sort of God."2 The theological thread will be stitched into later chapters. Here, I want to focus on Russell's reference to scientific evidence for a "universal death." It comes from a nineteenth-century discovery with roots as humble as its conclusions are profound.
+
+  By the mid-1800s, the Industrial Revolution was in full swing and across a landscape of mills and factories the steam engine had become the workhorse driving production. Nevertheless, even with the critical leap from manual to mechanical labor, the efficiency of the steam engine-the useful work performed compared to the quantity of fuel consumed-was meager. Roughly 95 percent of the heat generated by burning wood or coal was lost to the environment as waste. This inspired a handful of scientists to think deeply about the physical principles governing steam engines, seeking ways to burn less and get more. Over the course of many decades their research gradually led to an iconic result that has become justly famous: the second law of thermodynamics.
+  In (highly) colloquial terms, the law declares that the production of waste is unavoidable. And what makes the second law vitally important is that while steam engines were the catalyst, the law is universally applicable. The second law describes a fundamental characteristic inherent in all matter and energy, regardless of structure or form, whether animate or inanimate. The law reveals (loosely, again) that everything in the universe has an overwhelming tendency to run down, to degrade, to wither.
+  Stated in these everyday terms you can see where Russell was coming from. The future seemingly holds a continued deterioration, a relentless conversion of productive energy into useless heat, a steady draining, so to speak, of the batteries powering reality. But a more precise understanding of the science reveals that this summary of where reality is headed obscures a rich and nuanced progression, one that has been under way since the big bang and will carry onward to the far future. It is a progression that helps explain our place in the cosmic timeline, clarifies how beauty and order can be produced against a backdrop of degradation and decay, and also offers potential ways, exotic though they may be, to sidestep the bleak end Russell envisioned. As it is this very science, involving concepts such as entropy, information, and energy, that will guide much of our journey, it is worth our while to spend a little time understanding it more fully.
+ 
+Steam Engines
+Far be it from me to suggest that the meaning of life will be found lurking in the sweaty depths of a clamorous steam engine. But understanding the steam engine's capacity to absorb heat from burning fuel and use it to drive recurrent motion in a locomotive's wheels or a coal mine's pump proves indispensable to grasping how energy-of any sort and in any context-evolves over time. And the way energy evolves has a deep impact on the future of matter, mind, and all structure in the universe. So let's descend from the lofty realms of life and death and purpose and meaning to the incessant chugging and clanking of an eighteenth-century steam engine.
+  The scientific basis of the steam engine is simple but ingenious: Water vapor-steam-expands when heated and so pushes outward. A steam engine harnesses this action by heating a canister filled with steam that is capped by a snuggly fitting piston free to slide up and down along the canister's inner surface. As the heated steam expands, it pushes forcefully against the piston, and that outward thrust can drive a wheel to turn, or a mill to grind, or a loom to weave. Then, having expended energy through this outward exertion, the steam cools and the piston slides back to its initial position, where it stands ready to be pushed when the steam is heated again-a cycle that will repeat so long as there is burning fuel to heat the steam anew.3
+  While history records the steam engine's central role in the Industrial Revolution, the questions it raised for fundamental science were just as significant. Can we understand the steam engine with mathematical precision? Is there a limit to how efficient its conversion of heat into useful activity can be? Are there aspects of the steam engine's basic processes that are independent of the details of mechanical design or materials used and thus speak to universal physical principles?
+  In puzzling over these issues, the French physicist and military engineer Sadi Carnot launched the field of thermodynamics-the science of heat, energy, and work. You wouldn't have known it from sales of his 1824 treatise, Reflections on the Motive Power of Fire.4 But while slow to catch on, his ideas would inspire scientists over the course of the following century to develop a radically new perspective on physics.
+ 
+A Statistical Perspective
+The traditional scientific perspective, handed down in mathematical form by Isaac Newton, is that physical laws provide ironclad predictions for how things move. Tell me the location and velocity of an object at a particular moment, tell me the forces that are acting upon it, and Newton's equations do the rest, predicting the object's subsequent trajectory. Be it the moon pulled by earth's gravity or a baseball you just whacked toward center field, observations have confirmed that these predictions are spot-on accurate.
+  But here's the thing. If you took high school physics, perhaps you will recall that when we analyze the trajectories of macroscopic objects we generally, if quietly, invoke a great many simplifications. For the moon and the baseball we ignore their internal structure and imagine that each is just a single massive particle. It's a coarse approximation. Even a grain of salt contains about a billion billion molecules, and that's, well, a grain of salt. Yet as the moon orbits we generally don't care about the jostling motion of one or another molecule inhabiting the dusty Sea of Tranquility. As the baseball soars, we don't care about the vibration of one or another molecule residing in its cork core. The overall movement of the moon or the baseball as a whole is all we're after. And for that, applying Newton's laws to these simplified models does the trick.5
+  These successes highlight the challenge faced by nineteenth-century physicists concerned with steam engines. The hot steam pushing against the engine's piston comprises an enormous number of water molecules, perhaps a trillion trillion particles. We can't ignore this internal structure as we do in our analysis of the moon or the baseball. It is the motion of these very particles-slamming into the piston, bouncing off its surface, hitting the walls of the container, streaming back toward the piston again-that lies at the heart of the engine's workings. The problem is that there is no way that anyone, anywhere, however smart they may be and however formidable the computers they may use, can calculate all of the individual trajectories followed by such an enormous collection of water molecules.
+
+  Are we stuck?
+  You might think so. But as it turns out, we are saved by a change in perspective. Large collections can sometimes yield their own powerful simplifications. It is surely difficult, impossible really, to predict exactly when you will next sneeze. However, if we broaden our view to the larger collection of all humans on earth, we can predict that in the next second there'll be roughly eighty thousand sneezes worldwide.6 The point is that by shifting to a statistical perspective, earth's large population becomes the key-not the obstacle-to predictive power. Large groups often display statistical regularities absent at the level of the individual.
+  An analogous approach for large groups of atoms and molecules was pioneered by James Clerk Maxwell, Rudolf Clausius, Ludwig Boltzmann, and many of their colleagues. They advocated jettisoning detailed consideration of individual trajectories in favor of statistical statements describing the average behavior of large collections of particles. They showed that this approach not only makes calculations mathematically tractable, but the physical properties it can quantify are the very ones that matter most. The pressure pushing on a steam engine's piston, for instance, is hardly affected by the precise path followed by this or that individual water molecule. Instead, the pressure arises from the average motion of the trillions upon trillions of molecules that slam into its surface each second. That's what matters. And that's what the statistical approach allowed the scientists to calculate.
+  In our current era of political polls, population genetics, and big data more generally, the shift to a statistical framework might not sound radical. We've grown accustomed to the power of statistical insights extracted from studying large groups. But in the nineteenth and early twentieth centuries, statistical reasoning was a departure from the rigid precision that had come to define physics. Bear in mind, too, that up through the early years of the twentieth century there were still well-respected scientists who challenged the existence of atoms and molecules-the very basis of a statistical approach.
+
+  Notwithstanding the naysayers, it didn't take long for statistical reasoning to prove its worth. In 1905, Einstein himself quantitatively explained the jittery motion of pollen grains suspended in a glass of water by invoking the continual bombardment by H2O molecules. With that success, you had to be one heck of a contrarian to doubt the existence of molecules. What's more, a growing archive of theoretical and experimental papers revealed that conclusions based on statistical analyses of large collections of particles-describing how they bounce around containers and thereby exert pressure on this surface, or acquire that density, or relax to that temperature-matched data so exquisitely that there was simply no room to question the explanatory power of the approach. The statistical basis for thermal processes was thus born.
+  This was all a great triumph and has allowed physicists to understand not only steam engines but also a broad range of thermal systems-from earth's atmosphere, to the solar corona, to the vast collection of particles swarming within a neutron star. But how does this relate to Russell's vision of the future, his prognostication of a universe crawling toward death? Good question. Hang tight. We're getting there. But we still have a couple of steps to go. The next is to use these advances to shed light on the quintessential quality of the future: it differs profoundly from the past.
+From This to That
+The distinction between past and future is at once basic and pivotal to human experience. We were born in the past. We will die in the future. In between, we witness innumerable happenings that unfold through a sequence of events that, if considered in reverse order, would appear absurd. Van Gogh painted Starry Night but could not then lift the swirling colors through reverse brushstrokes, restoring a blank canvas. The Titanic scraped along an iceberg and ripped open its hull but could not then reverse engines, retrace its path, and undo the damage. Each one of us grows and ages but we cannot then turn back the hands of our internal clocks and reclaim our youth.
+
+  With irreversibility being so central to how things evolve, you would think we could easily identify its mathematical origin within the laws of physics. Surely, we should be able to point to something specific in the equations that ensures that although things can transform from this to that, the math forbids them from transforming from that to this. But for hundreds of years the equations we've developed have failed to offer us anything of the sort. Instead, as the laws of physics have been continually refined, passing through the hands of Newton (classical mechanics), Maxwell (electromagnetism), Einstein (relativistic physics), and the dozens of scientists responsible for quantum physics, one feature has remained stable: the laws have steadfastly adhered to a complete insensitivity to what we humans call future and what we call past. Given the state of the world right now, the mathematical equations treat unfolding toward the future or the past in exactly the same way. While that distinction matters to us, profoundly so, the laws shrug at the difference, assessing it as of no greater consequence than a stadium's game clock ticking off time elapsed or time remaining. Which means that if the laws allow for a particular sequence of events to occur, then the laws necessarily permit the reverse sequence too.7
+  As a student, when I first learned about this, it struck me as just shy of ludicrous. In the real world we don't see Olympic divers popping out of pools feetfirst and landing calmly on springboards. We don't see shards of stained glass jumping up from the floor and reassembling into a Tiffany lamp. Clips from films run in reverse are amusing for the very reason that what we see projected differs so thoroughly from anything we experience. And yet, according to the math, the events depicted in reverse-run clips are fully in keeping with the laws of physics.
+  Why then is our experience so lopsided? Why do we only ever see events unfold in one temporal orientation and never the reverse? A key part of the answer is revealed by the notion of entropy, a concept that will be essential to our understanding of the cosmic unfolding.
+ 
+Entropy: A First Pass
+Entropy is among the more confusing concepts in fundamental physics, a fact that has not diminished the cultural appetite for freely invoking it to describe everyday situations that have evolved from order to chaos or, more simply, from good to bad. As colloquial usage goes, this is fine; at times, I've invoked entropy that way too. But as the scientific conception of entropy will guide our journey-and also lies at the heart of Russell's dark vision of the future-let's tease out its more precise meaning.
+  Start with an analogy. Imagine you vigorously shake a bag containing a hundred pennies and then dump them out on your dining room table. If you found that all hundred pennies were heads, you'd surely be surprised. But why? Seems obvious, but it's worth thinking through. The absence of even a single tail means each of the hundred coins, randomly flipping, bumping, and jostling, must hit the table and land heads up. All of them. That's tough. Getting that unique outcome is a tall order. By comparison, if we consider even a slightly different outcome, say in which we have a single tail (and the other 99 pennies are still all heads), there are a hundred different ways this can happen: the lone tail could be the first coin, or it could be the second coin, or the third, and so on up to the hundredth coin. Getting 99 heads is thus a hundred times easier-a hundred times more likely-than getting all heads.
+  Let's keep going. A little figuring reveals that there are 4,950 different ways we can get two tails (first and second coins tails; first and third tails; second and third tails; first and fourth tails; and so forth). A little more figuring and we find that there are 161,700 different ways to have three of the coins come up tails, almost 4 million ways to have four tails; and about 75 million ways to have five tails. The details of the numbers hardly matter; it's the overall trend I'm driving at. Each additional tail allows for a far larger collection of outcomes that fit the bill. Phenomenally larger. The numbers peak at 50 tails (and 50 heads), for which there are about a hundred billion billion billion possible combinations (well, 100,891,344,545,​564,193,334,812,​497,256 combinations).8 Getting 50 heads and 50 tails is therefore about a hundred billion billion billion times more likely than getting all heads.
+
+  That's why getting all heads would be shocking.
+  My explanation relies on the fact that most of us intuitively analyze the collection of pennies much as Maxwell and Boltzmann advocated analyzing a container of steam. Just as the scientists turned a cold shoulder to analyzing the steam molecule by molecule, we typically don't evaluate a random collection of pennies coin by coin. We hardly care or notice if the 29th penny is heads or the 71st is tails. Instead, we look at the collection as a whole. And the feature that catches our attention is the number of heads compared to the number of tails: Are there more heads than tails or more tails than heads? Twice as many? Three times as many? Roughly equal amounts? We can detect significant changes in the ratio of heads to tails, but random rearrangements that preserve the ratio-like flipping the 23rd, 46th, and 92nd coins from tails to heads while also flipping the 17th, 52nd, and 81st coins from heads to tails-are virtually indistinguishable. Consequently, I divvied up the possible outcomes into groups, each containing those configurations of coins that pretty much look the same, and I enumerated the membership of each group: I counted the number of outcomes with no tails, the number of outcomes with 1 tail, the number of outcomes with 2 tails, and so on, up to the number of outcomes with 50 tails.
+  The key realization is that these groups do not have equal membership. Not even close. That made it obvious why you'd be shocked for a random shake of the pennies to yield no tails (a group with precisely 1 member), slightly less shocked for a random shake to yield one tail (a group with 100 members), a touch less shocked still to find two tails (a group with 4,950 members), but you'd yawn if the shake yields a configuration that's half heads and half tails (a group with roughly one hundred billion billion billion members). The greater the membership in a given group, the more likely it is that a random outcome will belong to that group. Group size matters.
+  If this material is new to you, you may not realize that we have now illustrated the essential concept of entropy. The entropy of a given configuration of the pennies is the size of its group-the number of fellow configurations that pretty much look like the given configuration.9 If there are many such look-alikes, the given configuration has high entropy. If there are few such look-alikes, the given configuration has low entropy. All else being equal, a random shake is more likely to belong to a group with higher entropy since such groups have more members.
+
+  This formulation also connects with the colloquial uses of entropy I referenced at the outset of this section. Intuitively, messy configurations (think of a chaotic desktop piled high with scattered documents, pens, and paper clips) have high entropy because a great many rearrangements of the constituents all pretty much look the same; randomly rearrange a messy configuration and it still looks messy. Orderly configurations (think of a pristine desktop with all documents, pens, and paper clips neatly placed in their designated positions) have low entropy because very few rearrangements of the constituents look the same. As with the pennies, high entropy beckons because messy arrangements far outnumber orderly ones.
+Entropy: The Real Deal
+The pennies are particularly useful because they illustrate the approach scientists developed for dealing with the voluminous collection of particles constituting physical systems, whether water molecules flitting to and fro in a hot steam engine or air molecules drifting across the room in which you are now breathing. As with the pennies, we ignore the details of individual particles-whether any one particular molecule of water or air happens to be here or there is of little consequence-and instead group together those configurations of the particles that pretty much look the same. For the pennies, the criterion for look-alikes invoked the ratio of heads to tails because typically we are indifferent to the disposition of any particular coin, and generally take note only of the configuration's overall appearance. But what does "pretty much look the same" mean for a large collection of gas molecules?
+  Think about the air now filling your room. If you're like me and the rest of us, you couldn't care less whether this molecule of oxygen is flitting by the window or that molecule of nitrogen is bouncing off the floor. You care only that each time you inhale there is an adequate volume of air to meet your needs. Well, there are a couple of other features you likely care about too. If the air's temperature was so hot that you scorched your lungs, you'd be unhappy. Or if the air's pressure was so high (and you hadn't equalized it with the air already in your eustachian tubes) that you burst your eardrums, you'd be unhappy too. Your concern, then, is with the air's volume, the air's temperature, and the air's pressure. Indeed, these are the very macroscopic qualities that physicists from Maxwell and Boltzmann on through today care about too.
+
+  Accordingly, for a large collection of molecules in a container, we say that different configurations "pretty much look the same" if they fill out the same volume, have the same temperature, and exert the same pressure. Much as with the pennies, we group together all look-alike configurations of the molecules and say that each member of the group gives rise to the same macrostate. The entropy of the macrostate is the number of such look-alikes. Assuming you are not just now turning on a space heater (affecting temperature) or putting up an impermeable room divider (affecting volume), or pumping in additional oxygen (affecting pressure), the ever-evolving configuration of air molecules flitting to and fro in the room you are now inhabiting all belong to the same group-they all pretty much look the same-as they all yield the very same macroscopic features you are currently experiencing.
+  The organization of particles into groups of look-alikes provides an extraordinarily powerful schema. Just as randomly tossed pennies are more likely to belong to a group with greater membership (with higher entropy), so too for randomly bouncing particles. The realization is as straightforward as its implications are far-reaching: Whether the bouncing particles are in a steam engine, in your room, or anywhere else, by understanding the typical features of the most commonplace configurations (those that belong to the groupings with the greatest membership), we can make predictions about the system's macroscopic qualities-the very qualities we care about. These are statistical predictions, to be sure, but ones with a fantastically high probability of being accurate. And the kicker is that we achieve all this while avoiding the insurmountable complexity of analyzing the trajectories of an absurdly large number of particles.
+
+  To carry out the program we therefore need to sharpen our ability to identify commonplace (high entropy) versus rare (low entropy) particle configurations. That is, given the state of a physical system, we need to determine whether there are many or few rearrangements of the constituents that would leave the system looking pretty much the same. As a case study, let's visit your steam-filled bathroom just after you've taken a long hot shower. To determine the steam's entropy, we need to count the number of configurations of the molecules-their possible positions and their possible speeds-that all have the same macroscopic properties, i.e., have the same volume, same temperature, and same pressure.10 Carrying out the count mathematically for a collection of H2O molecules is more challenging than the analogous count for a collection of pennies, but is something most physics majors learn to do by their sophomore year. More straightforward, and more enlightening too, is working out how volume, temperature, and pressure qualitatively affect entropy.
+  Volume first. Imagine that the flitting H2O molecules are tightly clustered in one tiny corner of your bathroom, creating a dense knot of steam. In this configuration, the possible rearrangements of the positions of the molecules will be sharply curtailed; as you move the H2O molecules around, you have to keep them within that knot or else the modified configuration will look different. By comparison, when the steam is evenly spread throughout your bathroom, the game of molecular musical chairs is far less constrained. You can exchange the positions of molecules near the vanity with those floating by the light fixture, those near the shower curtain with those hovering by the window, and yet, overall, the steam will look the same. Note too that the bigger your bathroom, the greater the number of locations you have for sprinkling around the molecules, which also increases the number of rearrangements available. The conclusion, then, is that smaller and tightly clustered configurations of molecules have lower entropy, while larger and evenly spread configurations have higher entropy.
+  Temperature next. At the level of molecules, what do we mean by temperature? The answer is well-known. Temperature is the average speed of a collection of molecules.11 Something is cold when the average speed of its molecules is low and it is hot when the average speed is high. So determining how temperature affects entropy is tantamount to determining how the average molecular speed affects entropy. And much as we found with molecular positions, a qualitative assessment is close at hand. If the temperature of the steam is low, the allowed rearrangements of the molecular speeds will be comparatively few in number: to keep the temperature fixed-and thus ensure that the configurations all pretty much look the same-you have to offset any increase in the speeds of some molecules by a suitable decrease in the speeds of others. But the burden of having low temperature (low average molecular speed) is that you don't have a lot of room to decrease the speeds before hitting rock bottom, zero. The available range of possible molecular speeds is thus narrow, and so your freedom to rearrange the speeds is limited. By comparison, if the temperature is high, your game of musical chairs once again revs up: with a higher average, the range of molecular speeds-some larger than the average and some smaller-is much wider, providing greater latitude for mixing up the speeds while preserving the average. More rearrangements of the molecular speeds that all pretty much look the same means that higher temperature generally entails higher entropy.
+
+  Finally, pressure. The pressure of the steam on your skin or on the bathroom walls is due to the impact of streaming H2O molecules that slam into these surfaces: each molecular impact exerts a tiny push, and so the greater the number of molecules the higher the pressure. For a given temperature and volume, pressure is thus determined by the total number of steam molecules in your bathroom, a quantity whose consequences for entropy can be worked out with the greatest of ease. Fewer H2O molecules in your bathroom (you took a shorter shower) means fewer rearrangements are possible, and so entropy is lower; more H2O molecules (you took a longer shower) means more rearrangements are possible, and so entropy is higher.
+  To summarize: Having fewer molecules, or having lower temperature, or filling a smaller volume results in lower entropy. Having more molecules, or having higher temperature, or filling a larger volume results in higher entropy.
+
+  From this brief survey, let me underscore one way of thinking about entropy, lacking in precision but providing a useful rule of thumb. You should expect to encounter high-entropy states. Because such states can be realized by a great many different arrangements of the constituent particles, they're typical, pedestrian, easily configured, a dime a dozen. By contrast, if you encounter a low-entropy state it should command your attention. Low entropy means there are far fewer ways the given macrostate can be realized by its microscopic ingredients, and so such configurations are hard to come by, they're unusual, they're carefully arranged, they're rare. Step out of a long hot shower and find the steam uniformly spread throughout your bathroom: high entropy and totally unsurprising. Step out of a long hot shower and find the steam all clustered in a perfect little cube hovering in front of the mirror: low entropy and extraordinarily unusual. So unusual, in fact, that were you to encounter such a configuration you should be extremely skeptical of the explanation that you've simply come upon one of those unlikely things that on occasion happen. That could be the explanation. But I'd bet my life it isn't. Just as you'd suspect there's a reason beyond mere chance that a hundred pennies on your dining room table are all heads (such as someone judiciously flipped over each coin that landed tails), you should seek an explanation beyond mere chance for any low-entropy configurations you encounter.
+  This reasoning applies even to the seemingly mundane, like coming across an egg or an anthill or a mug. The orderly, crafted, low-entropy nature of these configurations calls out for an explanation. That the random motion of precisely the right particles could just happen to coalesce into an egg or an anthill or a mug is conceivable, but far-fetched. Instead, we're motivated to find more convincing explanations, and of course we don't have far to search: the egg and the anthill and the mug each arise from particular forms of life arranging the otherwise random configuration of particles in the environment to yield orderly structures. How life is able to produce such exquisite order is a theme we will address in later chapters. For now, the lesson is simply that low-entropy configurations should be viewed as a diagnostic, a clue that powerful organizing influences may be responsible for the order we've encountered.
+
+  In the late 1800s, armed with these ideas, many of his own devising, Austrian physicist Ludwig Boltzmann believed he could address the question that launched this section of our discussion: What distinguishes the future from the past? His answer relied on a quality of entropy articulated by the second law of thermodynamics.
+Laws of Thermodynamics
+While entropy and the second law enjoy a great many cultural references, public nods to the first law of thermodynamics are less common. Yet to fully grasp the second law it's good to grasp the first law first. As it turns out, the first law is widely known too, but under an alias. It's the law of energy conservation. Whatever energy you have at the beginning of a process is the same energy you'll have at the end of the process. You must be fastidious in your energy accounting, including all forms into which an initial cache of energy may have transformed, such as kinetic energy (energy of motion), or potential energy (stored energy, as in a stretched spring), or radiation (energy carried by fields, like the electromagnetic or gravitational fields), or heat (the random jittery motion of molecules and atoms). But if you keep track carefully, the first law of thermodynamics ensures that the energy balance sheet will balance.12
+  The second law of thermodynamics focuses on entropy. Unlike the first law, the second is not a law of conservation. It is a law of growth. The second law declares that over time there is an overwhelming tendency of entropy to increase. In colloquial terms, special configurations tend to evolve toward ordinary ones (your carefully pressed shirt becomes creased and wrinkled) or order tends to descend into disorder (your organized garage degenerates into a haphazard mess of tools, storage boxes, and sporting equipment). While this depiction provides fine intuitive imagery, Boltzmann's statistical formulation of entropy allows us to describe the second law with precision and, just as important, gain a clear understanding of why it's true.
+
+  It comes down to a numbers game. Consider again the pennies. If you carefully arrange the pennies so they are all heads, a low-entropy configuration, and then subject them to a little shaking and jostling, you expect to get at least a few tails, a higher-entropy configuration. If you shake them further, it's conceivable that you'll get back to all heads, but that would require the jostling to be just right, to be so perfectly attuned that it flips back only those few coins that happened to be tails. That's extraordinarily improbable. It is fantastically more likely that the jostling will instead flip a random collection of the pennies. Some of the few coins that were tails might revert to heads, but of the coins that were heads, many more will become tails. So straightforward logic-no fancy math, no unduly abstract ideas-reveals that if you begin with all heads, random shaking will drive an increase in the number of tails. An increase, that is, of entropy.
+  The progression toward a greater number of tails will continue until we reach a roughly 50-50 heads-tails split. At that point, the jostling will tend to flip about as many heads to tails as tails to heads, and so the pennies will spend most of their time migrating among the members of the most populous, highest-entropy groups.
+  What's true for the pennies is true more generally. Bake bread and you can be sure that the aroma will shortly fill rooms far from the kitchen. At first, the molecules released as the bread bakes are clustered near the oven. But those molecules will gradually disperse. The reason, similar to our explanation with the pennies, is that there are many more ways for the aroma molecules to spread compared with ways for them to cluster. It is thus overwhelmingly more probable that through random bumping and jostling the molecules will waft outward as opposed to clump inward. The low-entropy configuration of molecules clustered near the oven thus naturally evolves toward the higher-entropy state in which they are spread throughout your house.13
+  Saying it yet more generally, if a physical system is not already in the highest-entropy state available, it is overwhelmingly likely that it will evolve toward it. The explanation, illustrated well by the bread's aroma, rests on the most basic reasoning: because the number of configurations with more entropy is enormously greater than those with less entropy (by the very definition of entropy), the odds are enormously larger that random jostling-the relentless bumping and vibrating of atoms and molecules-will drive the system toward higher entropy, not lower. The progression will continue until we reach a configuration with the highest entropy available. From that point onward the jostling will tend to drive the constituents to migrate among the (typically) gargantuan number of configurations of the highest-entropy states.14
+
+  That's the second law of thermodynamics. And that's why it is true.
+Energy and Entropy
+The discussion might lead you to think that the first and second laws are thoroughly distinct. After all, one focuses on energy and its conservation, the other on entropy and its growth. But there's a deep connection between them, highlighting a fact implicit in the second law that we will return to repeatedly: all energy is not created equal.
+  Consider, as an example, a stick of dynamite. Because all the energy stored in the dynamite is contained in a tight, compact, orderly chemical package, the energy is easy to harness. Place the dynamite where you want its energy deposited and light the fuse. That's it. Post-explosion, all of the dynamite's energy still exists. That's the first law in action. But because the dynamite's energy has been transformed into the rapid and chaotic motion of widely dispersed particles, harnessing the energy is now extremely difficult. So, although the total amount of energy doesn't change, the character of the energy does.
+  Before the explosion, we say that the dynamite's energy is high quality: it's concentrated and easy to access. After the explosion, we say that the energy is low quality: it's spread out and difficult to utilize. And since the exploding dynamite fully abides by the second law, going from order to disorder-from low entropy to high entropy-we associate low entropy with high-quality energy and high entropy with low-quality energy. Yes, I know. It's a lot of highs and lows to keep track of. But the conclusion is pithy: whereas the first law of thermodynamics declares that the quantity of energy is conserved over time, the second law declares that the quality of that energy deteriorates over time.
+
+  Why then is the future different from the past? The answer, apparent from what we've now developed, is that the energy powering the future is of lower quality than that powering the past. The future has higher entropy than the past.
+  Or at least that is what Boltzmann proposed.
+Boltzmann and the Big Bang
+Boltzmann was surely onto something. But there is a subtle clarification to the second law whose implications, truth be told, took some time even for Boltzmann to appreciate fully.
+  The second law is not a law in the traditional sense. The second law does not absolutely preclude entropy from decreasing. It declares only that such a decrease is unlikely. For the pennies, we've quantified this. Compared with the sole configuration with all heads, it is a hundred billion billion billion times more likely that random shaking will yield a configuration with 50 heads and 50 tails. Shake that high-entropy configuration again, and getting a lower-entropy configuration such as all heads is not forbidden, but because of the highly skewed odds, in practice it doesn't happen.
+  For an everyday physical system made from far more than a hundred constituents, the odds against entropy decreasing become all the more daunting. As bread bakes it releases billions upon billions of molecules. Configurations in which those molecules spread throughout your home are spectacularly more numerous than those in which they collectively stream back toward the oven. Through their random jostling and bumping, the molecules could retrace their steps, find their way back to the loaf, fully undo the cooking process, and leave you with a mound of cold raw dough. But the odds of that happening are closer to zero than the likelihood of splattering paint on a canvas and replicating the Mona Lisa. Even so, the point is that were such an entropy-reversing process to happen, it would not contravene the laws of physics. While spectacularly unlikely, the laws of physics do allow entropy to go down.
+
+  Don't get me wrong. I'm not bringing this up to suggest we might one day uncook bread or witness a car uncrash or see a document unburn. Instead, I'm stressing an important point of principle. I explained earlier that the laws of physics put future and past on equal footing. The laws thus ensure that physical processes that unfold in one temporal sequence can unfold in reverse. And since those very same laws govern everything, including the physical processes responsible for how entropy changes over time, it would indeed be curious, erroneous really, to find that those laws only allow entropy to increase. They don't. All the entropically increasing processes you've experienced day in and day out during your entire life-from the mundane of a shattering glass to the profound of bodily aging-can happen in reverse. Entropy can decrease. It's just ridiculously unlikely.
+  So where does this leave our quest to explain why the future is different from the past? Well, given a configuration today of less than maximum entropy, the second law shows that the future is overwhelmingly likely to be different because entropy is overwhelmingly likely to increase. Configurations of matter that have less than the maximum possible entropy are chomping at the bit to proceed to higher entropy. And with that observation, some exploring the difference between past and future rest easy, reckoning that their work is done.
+  But the work is not done. Just as importantly, we need to explain how it is that we find ourselves today in such a special, unlikely, surprising state of less than maximum entropy-a universe replete with orderly structures from planets and stars to peacocks and people. Had that not been the case, had today's configuration been the expected, ordinary, unsurprising state of maximum entropy, then with great odds the universe would continue to inhabit such a state, yielding a future no different from the past. Like a bag of pennies jostling through the enormous number of configurations with roughly 50 heads and 50 tails, the universe would relentlessly meander through the enormous landscape of its highest entropy configurations-widely dispersed particles streaming this way and that across space, a cosmic version of your uniformly steam-filled bathroom.15 Today's state of less-than-maximum entropy is, luckily for us, far more interesting. It provides the opportunity for particles to join into structures and for macroscopic change to occur. And so we are led to ask: How did today's less-than-maximum entropy state come to be?
+
+  Dutifully following the second law, we conclude that today's state derives from yesterday's even lower entropy state. And that state, we envision, derives from the day-before-yesterday's still lower entropy state, and so on, yielding a trail of ever-decreasing entropy taking us ever farther back in time until we finally reach the big bang. A highly ordered, exceedingly low entropy starting point at the big bang is why today's universe is not entropically maxed out, allowing for an eventful future that differs from the past.
+  Can we go further and explain why the beginning of the universe was so ordered? We will come back to this question in the next chapter, where we'll explore cosmological theorizing. For now we note that our survival requires order, from our internal molecular organization supporting a wealth of life-sustaining functions, to the food sources that provide us with high-quality energy, to the crafted tools and habitats that are essential for our continued existence. Without an environment chock-full of low-entropy ordered structures, we humans would not be here to notice.
+Heat and Entropy
+I began this chapter with Bertrand Russell lamenting a universe subject to relentless decline. With the second law's declaration of rising entropy we have now caught a glimpse of what inspired his dark prophecy. Think of rising entropy as increasing disorder and you have the gist of it. But to fully appreciate the future challenges that will face life, mind, and matter-a theme we will amply explore in subsequent chapters-we need to establish a link between the modern description of the second law of thermodynamics as I have laid it out and the original formulation developed in the mid-1800s. In that earlier version, the second law codified what was obvious to anyone working with steam engines: the process of burning fuel to run a machine always produces heat and waste-degradation. However, as the earlier version made no mention of counting configurations of particles and made no use of probabilistic reasoning, it might seem a world away from the statistical statement of entropic growth that we've been developing. But there is a deep and direct connection between the two formulations, one that reveals why the steam engine's conversion of high-quality energy into low-quality heat is illustrative of a ubiquitous degradation taking place throughout the cosmos.
+
+  I'll explain the link in two steps. First, let's look at the relationship between entropy and heat. Then, in the next section, we will tie together heat and the statistical statement of the second law.
+  Grab hold of a sauté pan's hot handle and it feels like heat is flowing to your hand. But does anything actually flow? There was a time long ago when scientists thought the answer was yes. They envisioned a fluidlike substance, called "caloric," which would flow from hotter locations to cooler ones much like a river flows from upstream to downstream. In time, the more refined understanding of matter's ingredients provided a different description. When you grasp the pan's handle, its faster-moving molecules collide with the slower-moving molecules in your hand, on average causing the speed of those in your hand to go up and those in the handle to go down. You sense the increased speed of the molecules in your hand as warmth; the temperature of your hand has increased. Correspondingly, the slower speed of the molecules in the handle means its temperature has decreased. What flows, then, is not a substance. The molecules in the handle stay in the handle, and those in your hand stay in your hand. Instead, much as information flows from one person to the next in a game of telephone, molecular agitation flows from molecules in the handle to those in your hand when you grab it. And so, whereas matter itself does not flow from handle to hand, a quality of matter-average molecular speed-does. That is what we mean by the flow of heat.
+  The same description applies to entropy. As the temperature of your hand increases, its molecules bounce around more quickly, the range of their possible speeds widens-increasing the number of attainable configurations that pretty much look the same-and so the entropy of your hand increases too. Correspondingly, as the temperature of the handle decreases, its molecules move slower, the range of their possible speeds narrows-decreasing the number of attainable configurations that pretty much look the same-and so the entropy of the handle decreases.
+
+  Whoa. Entropy decreases?
+  Yes. But this has nothing to do with rare statistical flukes like dumping a bag of pennies and getting all heads, as described in the previous section. The entropy of the hot handle will decrease every time you grab it. The simple yet vital point the sauté pan illustrates is that the second law's dictum of entropy increase refers to the total entropy of a complete physical system, which necessarily includes everything with which the system interacts. Since your hand interacts with the pan's handle, you can't apply the second law to the handle on its own. You must include both the handle and your hand (and, to be more precise, the entire pan, the stove, the surrounding air, and so on). And a careful accounting shows that the increase in the entropy of your hand outstrips the decrease in the entropy of the handle, ensuring that the total entropy does indeed go up.
+  So, much as with heat, there is a sense in which entropy can flow. For the pan, it flows from the handle to your hand. The handle becomes a little more ordered and your hand becomes a little less ordered. Again, the flow is not in the form of a tangible substance that was initially in the handle and has now moved to your hand. Rather, the entropy flow denotes an interaction between the molecules in the handle and those in your hand that affects the properties of each. In this case, it changes their average speeds-their respective temperatures-and that, in turn, affects the entropy they each contain.
+  As the description makes manifest, the flow of heat and the flow of entropy are intimately connected. To absorb heat is to absorb energy that is carried by random molecular motion. That energy, in turn, drives the receiving molecules to move more quickly or spread more widely, thus contributing to an increase in entropy. The conclusion, then, is that to shift entropy from here to there, heat needs to flow from here to there. And when heat flows from here to there, entropy shifts from here to there. In short, entropy rides the wave of flowing heat.
+
+  With this understanding of the interrelationship between heat and entropy, let's now revisit the second law.
+Heat and the Second Law of Thermodynamics
+Explaining why we experience events unfurling in one direction but not the reverse brought us to Boltzmann and his statistical version of the second law: entropy is overwhelmingly likely to increase toward the future, making reverse-run sequences (in which entropy would decrease) fantastically improbable. How does this relate to the earlier formulation of the second law, inspired by the steam engine, which was phrased in terms of the relentless production of waste heat by physical systems?
+  The connection is that the two starting points-reversibility and steam engines-are tightly linked. The reason is that the steam engine relies on a cyclical process: a piston is thrust forward by expanding steam and is then reset to its original position, where it awaits the next thrust. The steam, too, reverts to its original volume, temperature, and pressure, as must all of the engine's vital parts, readying the engine to heat back up and thrust the piston once again. While none of this requires the ridiculously improbable unfolding in which every molecule finds its way back to exactly the same spot or acquires exactly the same speed as it had at the start of the previous cycle, it does require that the overall arrangement-the engine's macrostate-returns to the same form to initiate each subsequent cycle.
+  What does that imply for entropy? Well, since entropy is a count of the microscopic configurations that present as the same macrostate, if the macrostate of the steam engine is reset at the start of each new cycle, then its entropy must be reset too. Which means that the entropy the steam engine acquires during a given cycle (as it absorbs heat from the burning fuel, as it generates additional heat through friction of its moving parts, and so on) must all be expelled to the environment by the time the cycle concludes. How does the steam engine accomplish this? Well, we've seen that to transfer entropy you must transfer heat. Thus, for the steam engine to reset itself for the next cycle, it must release heat into the environment. That's the historical statement of the second law of thermodynamics, the inevitable expunging of waste heat into the environment-the very degradation that so weighed on Bertrand Russell-now derived from the statistical version of the second law.16
+
+  This is the destination I've been heading for, so feel free to jump to the next section. But if you have the patience, there is one detail I'd be remiss not to mention. You might wonder, if the steam engine absorbs heat from the burning fuel (thus absorbing entropy) only to release heat to the environment (thus releasing entropy), how does it have any remaining energy to accomplish useful tasks, like powering a locomotive? The answer is that the steam engine releases less heat than it absorbs and yet is still able to fully purge the entropy it has built up. Here's how it goes:
+  The steam engine absorbs heat and entropy from the burning fuel and releases heat and entropy to the cooler environment. The temperature difference between the fuel and the environment is what's vital. To see why, imagine turning on two identical space heaters, one in a room that's frigid and the other in a room that's hot. In the frigid room, the cold molecules of air are jolted by the space heater, causing them to move faster and disperse widely, and so their entropy increases significantly. In the hot room, the air molecules are already moving fast and flitting widely, and so the space heater only slightly increases their entropy. (It is kind of like turning up the beat at a wild New Year's party and barely noticing that the revelers dance a touch more quickly, but turn up the beat at the Thiksay Monastery, enticing monks to break from their meditative practice and start krumping, and you would readily see the change.) So even though the two space heaters are identical, the entropy they transfer to their surroundings is different: while each generates the same amount of heat, the space heater in the cooler environment transfers more entropy. A cooler environment thus amplifies a given amount of heat received into a larger entropic increase. With that realization, we see that the steam engine can discharge all of the entropy it acquires from the hotter fuel by expelling only part of that heat to the cooler environment. The remaining heat is then available to drive the steam to expand, pushing the piston and accomplishing useful work.
+
+  That's the explanation, but don't let the details cloud the larger conclusion: over time, physical systems will, with fantastic likelihood, evolve from configurations of lower entropy toward configurations of higher entropy. If a system, like a steam engine, seeks to maintain its structural integrity, it must stave off the natural drive toward increased entropy by transferring the entropy it builds up to its surroundings. To do so, the engine must release waste heat to the environment.
+The Entropic Two-Step
+If you carefully think through the steps we've followed, you'll see that although the steam engine has been peppered throughout, our conclusions transcend this eighteenth-century starting point. The essence of our analysis is a close accounting of entropy, and that accounting can be carried out in any context. This is a key realization, because the shifting of entropy from the steam engine to its surroundings through the release of heat is but one version of an utterly ubiquitous process we will encounter as we follow the unfolding of the cosmos. I call it the entropic two-step, by which I mean any process in which the entropy of a system decreases because it shifts a more than compensating increase in entropy to the environment. The two-step ensures that even though entropy may decrease here it will increase there, securing the net entropic increase we expect based on the second law.
+  The entropic two-step lies at the heart of how a universe heading toward ever-greater disorder can nevertheless yield and support ordered structures like stars, planets, and people. A theme we will encounter repeatedly is that when energy flows through a system-like the energy from burning coal flowing through the steam, driving work, and then exiting to the surrounding environment-it carries away entropy and can thus sustain or even produce order in its wake.
+
+  It is this entropic dance that will choreograph the rise of life and mind, as well as most everything that minds deem to matter.
+You Are a Steam Engine
+With the importance of resetting the entropy each time a steam engine goes through a cycle, you might wonder what would happen if the entropy reset were to fail. That's tantamount to the steam engine not expelling adequate waste heat, and so with each cycle the engine would get hotter until it would overheat and break down. If a steam engine were to suffer such a fate it might prove inconvenient but, assuming there were no injuries, would likely not drive anyone into an existential crisis. Yet the very same physics is central to whether life and mind can persist indefinitely far into the future. The reason is that what holds for the steam engine holds for you.
+  It is likely that you don't consider yourself to be a steam engine or perhaps even a physical contraption. I, too, only rarely use those terms to describe myself. But think about it: your life involves processes no less cyclical than those of the steam engine. Day after day, your body burns the food you eat and the air you breathe to provide energy for your internal workings and your external activities. Even the very act of thinking-molecular motion taking place in your brain-is powered by these energy-conversion processes. And so, much like the steam engine, you could not survive without resetting your entropy by purging excess waste heat to the environment. Indeed, that's what you do. That's what we all do. All the time. It's why, for example, the military's infrared goggles designed to "see" the heat we all continually expel do a good job of helping soldiers spot enemy combatants at night.
+  We can now appreciate more fully Russell's mind-set when imagining the far future. We are all waging a relentless battle to resist the persistent accumulation of waste, the unstoppable rise of entropy. For us to survive, the environment must absorb and carry away all the waste, all the entropy, we generate. Which raises the question, Does the environment-by which we now mean the observable universe-provide a bottomless pit for absorbing such waste? Can life dance the entropic two-step indefinitely? Or might there come a time when the universe is, in effect, stuffed and so is unable to absorb the waste heat generated by the very activities that define us, bringing an end to life and mind? In the lachrymose phrasing of Russell, is it true that "all the labors of the ages, all the devotion, all the inspiration, all the noonday brightness of human genius, are destined to extinction in the vast death of the solar system, and that the whole temple of Man's achievement must inevitably be buried beneath the debris of a universe in ruins"?17
+
+  These are among the central questions we will explore in coming chapters. But we've jumped a little ahead of ourselves. Before we discuss life and mind, let's understand how entropy and the second law play out in the formation of environments necessary for life and mind to take hold.
+  For that, we head back to the big bang.
+
+ 
+ 
+3
+ORIGINS AND ENTROPY
+From Creation to Structure
+When mathematics allows scientists to peer back to within a fraction of a second of what may well have been the beginning of the universe, the proximity to traditionally religious terrain suggests to some that there's a deep alliance or a deep connection or a deep conflict straining to be revealed. It's why I receive inquiries about my views on a creator almost as frequently as those asking about science. Indeed, questions often straddle the two. We will have ample time to consider such matters in later chapters, but here we will explore one point of contact, raised at the end of the previous chapter, essential to our larger story: If the second law of thermodynamics burdens the universe with a relentless increase in disorder, how can nature so readily produce exquisitely configured, highly ordered structures, from atoms and molecules, to stars and galaxies, to life and mind? If the universe began with an explosive bang, how could that fiery unfolding have given rise to all the organization-from the swirling arms of the Milky Way, to earth's stunning landscapes, to the intricate connections and corrugated folds of the human brain, to the art, music, poetry, literature, and science such brains produce?
+  One response, relied upon through the ages to address embryonic versions of such concerns, is that order is hewn from the chaos by a supreme intelligence. Human experience aligns with this anthropomorphically inspired turn. After all, much of the order we daily encounter in modern civilization is the handiwork of intelligence. But a proper exegesis of the second law renders an intelligent designer unnecessary. As surprising as it is remarkable, regions containing concentrated energy and order (stars being the archetypal example) are a natural consequence of the universe diligently toeing the second law's line and becoming ever more disordered. Indeed, such pockets of order prove to be catalysts that facilitate the universe, over the long run, to reach its entropic potential. Along the way, and as part of this entropic progression, they also facilitate the emergence of life.
+
+  To explore the dance between order and disorder playing out across cosmological history, we begin at the beginning.
+Sketching the Big Bang
+In the mid-1920s, Jesuit priest Georges Lemaître used Einstein's newly minted description of gravity-the general theory of relativity-to develop the radical idea of a cosmos that began with a bang and has been expanding ever since. Lemaître was no armchair physicist. He received his doctorate from the Massachusetts Institute of Technology and was among the first scientists to apply the equations of general relativity to the cosmos as a whole. Einstein's intuition, which had successfully guided him through an exquisite decade of discoveries into the nature of space, time, and matter, was that objects in the universe have a beginning, middle, and an end, but the universe itself always was and would always be. When Lemaître's analysis of Einstein's equations suggested otherwise, Einstein dismissed him out of hand, telling the young researcher, "Your calculations are correct but your physics is abominable."1 Einstein was emphasizing that you can be adept at manipulating equations and yet lack the good scientific taste to decide which of those mathematical manipulations reflect reality.
+  A few years later, Einstein performed one of the most famous scientific turnabouts. Detailed observations by the astronomer Edwin Hubble, working at the Mount Wilson Observatory, revealed that distant galaxies are all on the move. They're all rushing away. And the pattern of their exodus-the farther the galaxy, the higher the speed-agreed with the mathematical output of general relativity's equations. With data now supporting Lemaître's abominable physics, Einstein embraced wholeheartedly the conception of a universe that had a beginning.2
+
+  In the century since Lemaître's innovative calculations, the cosmological theorizing he initiated, together with independent work by the Russian physicist Alexander Friedmann, has been substantially developed and a corpus of observational evidence from ground and space-borne telescopes has been amassed. Here is the modern cosmological account that has emerged: Some fourteen billion years ago, the entire observable universe-all that we can see using the most powerful telescopes imaginable-was compressed into a stupendously hot, incredibly dense nugget, which then rapidly expanded. Cooling as it swelled, particles gradually slowed their frenzied motion and aggregated into clumps, which over time formed stars, planets, all manner of gaseous and rocky debris scattered across space-and us.
+  In two sentences, that's the story. Let's refine it. Let's examine how, without intent or design, without forethought or judgment, without planning or deliberation, the cosmos yields meticulously ordered configurations of particles from atoms to stars to life. Let's understand how the emergence of such ordered structures squares with the second law's decree of relentlessly increasing disorder. Let's witness the entropic two-step now performed on the cosmological stage.
+  To that end, we will need to understand various cosmological details more fully. First up: What drove the primordial nugget to start expanding in the first place? Or, in looser language, what ignited the big bang?
+Repulsive Gravity
+Antonyms abound because experience is full of opposites. Physics, too, has its share: order and disorder, matter and antimatter, positive and negative. But since the time of Newton, the force of gravity appeared to stand apart from this common pattern. Unlike the electromagnetic force, which can push or pull, gravity seemed to be solely an attractive force. According to Newton, gravity exerts a pull between objects, whether particles or planets, that draws them together, but never the reverse. Absent a principle that requires symmetry in all of nature's workings, most who thought deeply about gravity viewed its one-way character as an intrinsic quality that simply had to be accepted. Einstein changed this. According to the general theory of relativity, the gravitational force can be repulsive. Newton did not anticipate repulsive gravity, and neither you nor I have ever experienced it. But repulsive gravity does just what the name suggests. Instead of pulling inward, it pushes outward. According to Einstein's equations, big clumpy things like stars and planets exert the usual attractive version of gravity, but there are exotic situations in which the gravitational force can drive things apart.
+
+  While the capacity of the gravitational force to be repulsive was known to Einstein, as well as a number of subsequent scientists who worked on the general theory of relativity, its most profound application took more than half a century to be discovered. As a young postdoctoral fellow contemplating the big bang, Alan Guth realized that repulsive gravity might address a confounding cosmic mystery. Observations reveal that space is expanding. Einstein's equations concur. But the equations remained mute on the question of what force, billions of years ago, set the expansion off and running. Guth's detailed mathematical analyses, culminating with a late-night calculational frenzy in December 1979, coaxed the equations to speak.
+  Guth realized that if a region of space was filled with a particular kind of substance, something I like to call "cosmic fuel," and if the energy contained in the cosmic fuel was spread evenly throughout the region-not clumped like a star or planet-then the resulting gravitational force would indeed be repulsive. More precisely, Guth's calculations revealed that if a tiny region, perhaps as small as a billionth of a billionth of a billionth of a meter across, was suffused with a certain type of energy field (called the inflaton field, with the missing "i" being an intentional if quirky naming convention), and if the energy was distributed uniformly, like steam whose density is the same throughout a sauna, the repulsive gravitational push would be so forceful that the speck of space would inflate explosively, almost instantaneously stretching to as large as the observable universe, if not far larger. Repulsive gravity would thus power a bang. And a big bang at that.3
+
+  In the early 1980s, Soviet physicist Andrei Linde and the American duo Paul Steinhardt and Andreas Albrecht took Guth's handoff and ran with the concept, developing the first fully viable versions of inflationary cosmology. In the decades since, these early works have inspired thousands of pages of intricate mathematical calculations and a great many detailed computer simulations, filling journals worldwide with explanations and predictions based on the assumption of an inflationary past. Many of these predictions have now been confirmed by painstakingly precise astronomical measurements. While I won't lead you on a full tour of the observational case for inflationary cosmology, something amply covered in many articles and books, I'll describe one success that many physicists consider the most compelling of all. It is also the feature we will need for the next step in the cosmic unfolding: the formation of stars and galaxies.
+The Afterglow
+As the early universe rapidly stretched, its scorching heat spread over an ever-widening expanse, diminishing in intensity and cooling steadily.4 Physicists as far back as the 1940s, long before the inflationary theory was developed, realized that the primordial heat, reduced by spatial expansion to a gentle glow, should still permeate the universe. Dubbed the "afterglow of creation" (or, in technical jargon, the "cosmic microwave background radiation"), this remarkable cosmological remnant was first detected in the 1960s by Bell Lab researchers Arno Penzias and Robert Wilson, whose advanced telecommunication antenna unwittingly tapped into a diffuse radiation permeating space, a mere 2.7 degrees above absolute zero. If you were around in the 1960s, you might have tapped into the radiation too. Part of the static on an old-style television tuned to a channel that had concluded its broadcast for the evening would have been due to this vestige of the big bang.
+  Inflationary cosmology refines the prediction of an afterglow by taking into account quantum mechanics, the laws developed in the early decades of the twentieth century to describe physical processes playing out in the microworld. Since we're focused on the entire universe, something big, you might think the preoccupation of quantum physics with all things small would make it irrelevant. And if it weren't for inflationary cosmology, your intuition would be on the mark. But much as stretching a piece of spandex reveals the intricate pattern of its stitches, stretching space through a burst of inflationary expansion reveals quantum features usually cordoned off in the microworld. In essence, inflationary expansion reaches into the microworld and stretches quantum features clear across the sky.
+
+  The quantum effect of most relevance is the very one that established an irrefutable break from the classical tradition: the quantum mechanical uncertainty principle. Discovered in 1927 by German physicist Werner Heisenberg, the uncertainty principle demonstrated that there are features of the world-like the position and the speed of a particle-that a classical physicist in the mold of Isaac Newton would adamantly claim can be specified with complete certainty but that a quantum physicist realizes are burdened by a quantum fuzziness that makes them uncertain. It's as if the classical tradition viewed the world through pristine, polished spectacles that brought all physical features into perfectly sharp focus, while the spectacles donned by the quantum perspective are inherently foggy. In the large, everyday world of common experience, the quantum fog is too thin to impact our vision, so the classical and quantum perspectives are barely distinguishable. But the smaller you probe, the foggier the quantum lenses become and the fuzzier the view.
+  The metaphor might suggest that all we need do is clean the quantum lenses. But the uncertainty principle established that no matter how fastidious we are and regardless of the advanced equipment we use, there will always be a minimal amount of fogginess that cannot be wiped away. In fact, my phrasing betrays the bias of human experience. It is only by comparison with the demonstrably incorrect classical view-the view we humans discovered first because it's both simpler and extraordinarily accurate on the scales accessible to human senses-that quantum reality seems hazy. It is actually the classical perspective that provides an approximate and hence imprecise view of the true quantum reality.
+
+  I don't know why reality is governed by quantum laws. Nobody does. A century of experiments has confirmed a mountain of quantum mechanical predictions, and that's why scientists embrace the theory. Even so, for most of us quantum mechanics remains utterly foreign because its hallmark features emerge over distances so tiny that we just don't experience them in everyday life. If we did, common intuition would be shaped directly by quantum processes and quantum physics would be second nature. Much as you know the implications of Newtonian physics in your bones-you can quickly grab a falling glass, instantly intuiting its Newtonian trajectory-you'd know quantum physics in your bones too. But lacking such quantum intuition, we rely on experiment and mathematics to mold our understanding by portraying aspects of reality we can't directly experience.
+  The most widely discussed example, already mentioned, concerns the behavior of particles, where we learn to modify the sharp trajectories inherent in classical physics by overlaying incessant jittery motion from quantum uncertainty. As a particle transits from here to there, a classical physicist might draw its trajectory with a pointed quill, while a quantum physicist would run her finger along the wet ink, smearing out the path.5 But quantum mechanics has relevance far beyond the motion of individual particles, and for cosmology the quantum uncertainty principle has a decisive influence on the inflaton field that fuels the rapid expansion of space. Although I described the inflaton's value as being uniform, taking on the same value at all locations within the inflating patch of space, quantum uncertainty fuzzes this out. Uncertainty overlays quantum jitters on the classical uniformity, resulting in the field's value, and hence its energy, being a tiny bit higher here and a tiny bit lower there.
+  When inflationary expansion rapidly stretches these minute quantum energy variations, they spread across space making the temperature a touch hotter over here and a touch cooler over there. Not by much. Mathematical analyses, first carried out by physicists in the 1980s, showed that the temperatures of hot and cold spots would differ by as little as one part in a hundred thousand. But the mathematical analyses also suggested that the tiny temperature variations would be visible if you knew how to look for them. The calculations revealed that the stretched-out quantum jitters result in a distinct pattern of temperature variations across space, a cosmological fingerprint available for astronomical forensics. Indeed, since the early 1990s, a sequence of telescopes deployed above the distortions caused by earth's atmosphere have confirmed the predicted pattern of temperature variations with ever-greater precision.
+
+  Take a moment to let this sink in. Physicists describe the earliest moments of the universe using Einstein's equations, updated to include Guth's hypothetical energy field filling space, subject to the quantum uncertainty we learned from Heisenberg. Mathematical analyses of the inflationary burst then reveal that it should have left an indelible imprint, a fossil of creation in the form of a specific pattern of minute temperature variations across the night sky. Sophisticated space-based thermometers built nearly fourteen billion years later by a species just coming of scientific age here in the Milky Way have now detected precisely that pattern.
+  It is a spectacular success, demonstrating once again the uncanny capacity of mathematics to encapsulate nature's patterns. But it would be too strong to conclude that the observations prove that a burst of inflationary expansion happened. When focusing on cosmological events that took place billions of years ago, at an energy scale likely millions of billions of times what we can probe in the laboratory, the best we can do is piece together observations and calculations to build confidence in our explanations. If an inflationary burst were the only way to understand the cosmological data then our confidence would head closer to certainty, but over the years imaginative scientists have developed alternative approaches (we will encounter one of these in chapter 10). All told, my view, shared by many researchers, is that while we need to be open to novel ideas that challenge dominant perspectives, the case for inflationary cosmology developed over the past forty years is formidable.6 And so as our journey heads onward we will, for the most part, follow the inflationary trail.
+
+  With that assessment, let's now consider how an inflationary beginning interfaces with the second law's drive toward greater disorder.
+The Big Bang and the Second Law
+Notwithstanding centuries of scientific progress, we are no closer to answering the question raised by Gottfried Leibniz-"Why is there something rather than nothing?"-than we were when the German philosopher first expressed this lean distillation of the mystery of existence. Not that people haven't proposed creative ideas and provocative theories. But in asking a question of ultimate origin, we are seeking an answer that requires no antecedent, an answer that does not shift the question one step further back, an answer that is immune to the follow-on questions "Why were things this way instead of that?" or "Why these laws instead of those?" No explanation yet proposed has achieved this or even come close.
+  The inflationary framework surely hasn't. Inflation requires a list of ingredients that includes space, time, the cosmic fuel driving the expansion (the inflaton field), as well as the whole technical apparatus of quantum mechanics and general relativity, which themselves rest upon mathematics from multivariable calculus and linear algebra to differential geometry. There is no known principle that singles out these particular physical laws, articulated using these particular mathematical constructs, as the inevitable starting point for explaining the universe. Instead, we physicists use observation and experiment, together with a hard-to-describe intuitive mathematical sensibility, to guide us toward particular physical laws. We then analyze the laws mathematically to determine which environmental conditions in the earliest moments of the universe, if any, would have sparked the rapid expansion of space. Upon finding, happily, that there are such conditions, we postulate that they held near the big bang and we use the equations to determine what subsequently would have happened.
+  This is the best we can currently do. And it's nothing to sneeze at. The fact that we can use mathematics to describe what we think took place nearly fourteen billion years ago, and from that successfully predict what powerful telescopes should now see, well, it is breathtaking. Sure, profound questions abound, like what or who created space and time, and what or who imposed the guiding grip of mathematics, and what or who is responsible for there being anything at all, but even with all that left unanswered we've gained powerful insight into the cosmic unfolding.
+
+  My intent here is to use that insight to grasp how a universe with ever-increasing entropy, destined for ever-greater disorder, creates a wealth of order along the way. With that as our target, let's start with the most basic observation, alluded to in the previous chapter. If entropy has been steadily increasing since the big bang, then the entropy back at the bang must have been much lower than it is today.7
+  What are we to make of this?
+  Well, by now you've grown accustomed to shrugging your shoulders when encountering a high-entropy configuration-be it coins arranged in a random mixture of heads and tails, steam that uniformly permeates your bathroom, or aromas spread throughout your house. High-entropy configurations are expected, common, run-of-the-mill. But when encountering a low-entropy configuration, you realize that your reaction should be different. A low-entropy configuration is special. It is unusual. It calls out for an explanation for how such an ordered state of affairs came to be.
+  When applied to the early universe, this reasoning has generated its share of scientific and philosophical hand-wringing. By what force or process did the early universe acquire low entropy? A hundred pennies with all heads has low entropy and yet admits an immediate explanation-instead of dumping the coins on the table, someone carefully arranged them. But what or who arranged the special low-entropy configuration of the early universe? Without a complete theory of cosmic origins, science can't provide an answer. In fact, although it's a question that has kept me up for many a night (literally), science can't yet determine whether it's an issue worthy of any angst at all. Lacking an understanding of why there is something rather than nothing is tantamount to lacking the means to judge how exotic or ordinary that something actually is. To assess whether the detailed conditions of the early universe call for a shrug or a wide-eyed double take requires delineating the process by which those conditions were set.
+
+  One scenario that cosmologists have considered imagines that the early universe was a frenzied and chaotic environment, and as a result the value of the inflaton field across space would have fluctuated wildly, somewhat like the surface of boiling water. To generate repulsive gravity and set off the bang, we need a small region of space in which the inflaton's value was uniform (or very nearly so, taking into account quantum jitters). But finding such a uniform region amid the chaotic undulations would be like boiling a vat of water and finding a region on its agitated surface that had suddenly flattened. You have never seen that happen. Not because it's impossible but because it's extraordinarily unlikely. For a region of the vat's randomly bubbling water to pass through the same height at the same moment yielding a flat, orderly, uniform, low-entropy configuration would require an astounding coincidence. Similarly, for the wildly undulating inflaton field to have acquired a uniform value within a small region of space, thus igniting inflationary expansion, would have required an astounding coincidence too. And without an explanation for how this special, orderly, low-entropy, uniform configuration came to be, physicists are deeply uneasy.8
+  Seeking relief from the discomfort, some researchers rely on a simple observation: if you wait long enough even the most unlikely of things will happen. Shake a hundred pennies enough times and eventually they will land all heads. You'd be wise not to hold your breath waiting for this outcome, but it will happen. Similarly, we can argue that in a chaotic environment in which the inflaton's value fluctuates wildly, sooner or later-by sheer chance-there'll be a tiny region in which the random variations that drive the field's value up here or down there will align, resulting in the field having the same value throughout. This requires a statistical fluke, resulting in greater order and hence lower entropy, but on occasion it will happen. Not often. But according to this perspective, don't sweat it. Since all of these machinations would have taken place during a period of prehistory, before the rapid expansion of space we call the big bang, there was no one hanging around, arms crossed and shoe tapping, waiting for inflationary expansion to ignite. So let the inflationary preshow run as long as it takes. It is only when the statistical fluke of a uniform inflaton patch happens to happen that things finally change: the big bang is sparked, space inflates, and the cosmological performance begins.
+
+  While none of this addresses the most fundamental questions of origin (the origin of space, or time, or fields, or mathematics, and so on), it shows how a chaotic environment can produce the special, ordered, low-entropy conditions inflation requires. When a tiny speck of space finally makes the statistically unlikely leap to low entropy, repulsive gravity jumps into action and propels it into a rapidly expanding universe-the big bang.
+  This is not the only proposal for how inflationary expansion may have gotten off the ground. Andrei Linde, one of inflationary cosmology's pioneers, has quipped that for every three researchers there are at least nine opinions on the matter.9 So we must leave to future research, theoretical and observational, a more definitive answer for how a small region of space became uniformly filled with an inflaton field, thus setting off a burst of spatial expansion. For now, we will simply assume that one way or another, the early universe transitioned into this low-entropy, highly ordered configuration, sparking the bang and allowing us to declare that the rest is history.
+  Starting from this trailhead, we now set off on our trek, exploring how orderly structures like stars and galaxies form within a universe hurtling toward an ever-more disordered future.
+The Origin of Matter and the Birth of Stars
+Within a billionth of a billionth of a billionth of a second after the big bang, repulsive gravity stretched a tiny region of space enormously, perhaps far larger than the most distant reaches accessible to the most advanced telescopes possible.10 Space remained filled with the inflaton field, but within another tiny fraction of a second that changed too. Like the energy in the surface of an expanding soap bubble, the energy in an expanding inflaton-filled region of space is precarious. It's unstable. Much as the soap bubble will eventually pop, transforming its energy into a mist of soapy water droplets, the inflaton field eventually "popped" too-it disintegrated, transforming its energy into a mist of particles.
+
+  We don't know the precise identity of these particles, but we can say with confidence that they were not the ordinary constituents of matter you learned about in junior high school. Yet, with the passage of just a few more minutes, a cascade of rapid particle reactions took place all across space-heavy particles disintegrating into sprays of lighter ones; particles with strong affinities joining together into tight conglomerates-transforming the primordial bath into a population of protons, neutrons, and electrons, the stuff of familiar matter (and, likely too, a supply of other more exotic particles, such as dark matter, attested to by a long history of astronomical observations11). Within a short time after the bang, the universe was thus filled with a hot, nearly uniform mist of particles, some familiar, others less so, wafting through a swelling spatial expanse.
+  I've qualified "uniform" with "nearly" because quantum jitters of the inflaton field not only yield temperature variations in the big bang's afterglow, but also ensure that when the inflaton disintegrates, the density of the resulting particles will vary slightly across space-being a touch higher here, a touch lower there, and so on. These variations are crucial for what happens next: the all-important drive toward clumpy things like stars and galaxies. A region that's slightly denser than its neighbors exerts a slightly greater gravitational pull and so sucks in a slightly greater contingent of the surrounding particles. The region thus becomes denser still, and so exerts an even greater gravitational pull, sucking in yet more material. It's a gravitationally driven snowball effect that yields larger and larger clumps of matter. Wait long enough, on the order of hundreds of millions of years, and the gravitational snowballing yields particle agglomerations so massive, so compressed, and so hot that they ignite nuclear processes, giving birth to stars. Quantum uncertainty, magnified by inflationary stretching and concentrated by gravitational snowballing, results in the points of light dotting the night sky.
+  The question, then, is this: How does the star-forming process, in which gravity coaxes a disordered, nearly uniform bath of particles to form ordered astrophysical structures, square with the second law's decree of increasing disorder? The answer requires that we examine, with a little more care, the pathways toward higher entropy.
+ 
+Hurdles on the Path Toward Disorder
+As bread bakes in your oven, the particles released spread outward, occupying an increasingly large volume, and so their entropy grows. But if you are in a distant bedroom, you won't immediately enjoy the bread's freshly baked aroma. It takes time for the aroma to spread through your house. You have to wait for the aroma molecules to migrate outward and occupy the higher-entropy arrangements that are available. This is typical. Physical systems generally can't jump directly to the maximum entropy configuration. Instead, as the system's particles meander randomly, entropy gradually increases toward the maximum possible.
+  Along the pathway toward higher entropy there can also be hurdles that impede progress. Seal the oven or close the kitchen door and you make it harder for the aroma to spread, thus slowing the rise in entropy. Such hurdles are due to human intervention, but there are other situations in which entropic hurdles arise from the laws governing physical interactions themselves. An example with which I'm intimately familiar from a childhood incident also involves an oven.
+  One day during fourth grade I came home from school and decided to heat some leftover pizza I found in the refrigerator. I turned the oven to four hundred degrees, slid the pizza onto the middle rack, and waited. After about ten minutes I checked on its progress and was surprised that the pizza was just as cold as when I unwrapped it. It then dawned on me that although I'd turned on the gas, I'd forgotten to light the oven. (Our modest oven, typical of the day, did not have a built-in pilot light, so each use required it to be lit.) Following a procedure I'd witnessed my parents undertake hundreds of times, I leaned into the oven and struck a match, intending to poke it into the oven's small pilot hole. By this point substantial gas had accumulated in the oven's interior, and so when I lit the match it exploded. A wall of flames raced toward me. I tightly closed my eyes as the fire blew by, singeing off my eyebrows, eyelashes, and leaving my face and ears with second- and third-degree burns. The immediate life lesson, emphasized by my parents and reinforced by the months of painful healing, focused on proper use of kitchen appliances. (I eventually got back in the saddle and now do most of the cooking-although I do experience momentary unease when my kids, preparing their own meals, turn on the oven.) But the larger scientific point is that there can be roadblocks along the journey to higher entropy that can be surmounted only with the help of a catalyst. Here's what I mean.
+
+  Natural gas (which is mostly methane, a union of carbon and hydrogen) can peacefully coexist with the oxygen in air; the molecules of each gas can uneventfully comingle. However, as the molecules spread and intersperse, a distinct and far higher entropy configuration beckons. But that configuration cannot be reached by simply allowing molecules to continue fanning out. The higher-entropy configuration requires a chemical reaction. Don't sweat the details, but let me briefly spell it out. One molecule of natural gas can combine with two molecules of oxygen resulting in one molecule of carbon dioxide, two of water, and, of prime importance, a burst of energy. At the level of molecules, this is what it means for natural gas to burn. The chemical reaction releases energy pent up in the tight bonds holding the gas molecules together, kind of like what happens when a collection of taut rubber bands snap. In the case of my oven escapade, that searingly energetic burst-highly agitated and fast-moving molecules-scorched my face. All of which tells us that by releasing energy stored in orderly chemical bonds and transforming it into the chaotic motion of rapidly moving molecules, such chemical reactions yield a sharp increase in entropy.
+  Though the details are specific to one child's regrettable mishap, the episode demonstrates a widely applicable physical principle. There can be speed bumps in the entropic road: left on their own, natural gas and oxygen won't combine, they won't burn, and they won't reach the higher-entropy configuration that's available. These chemical constituents are able to clear the entropic hurdle only with the help of a catalyst that can jump-start the reaction. For me, the catalyst was a burning match. The little flame struck by my fourth-grade self set off a domino effect. The flame's energy broke the bonds holding some of the natural gas molecules together, allowing newly freed carbon and hydrogen atoms to combine with ambient atoms of oxygen, which released additional energy that severed more natural gas bonds, driving the process onward. And onward. The explosion was the cascade of energy generated by the rapid rearranging of chemical bonds.
+
+  Note that chemical bonds rely on the electromagnetic force. Positively charged protons attract negatively charged electrons ("unlike electric charges attract"), clasping atomic constituents into molecular unions. Which means that the entropic leap from the calm intermingling of gas molecules to the explosive burning generated by the breaking and forging of chemical bonds is driven by the electromagnetic force. Such is the case for many of the entropy-increasing processes we experience in everyday life.
+  Although less familiar here on earth, in episodes that repeatedly play out in the cosmos, the evolution toward higher entropy is frequently driven by nature's other forces: the gravitational force and the nuclear forces (the strong nuclear force holds atomic nuclei together, while the weak nuclear force generates radioactive decay). And much as we've now seen in the case of the electromagnetic force, the path toward higher entropy blazed by gravity and the nuclear forces need not be smooth either. There can be hurdles, and there often are. The way the universe surmounts these hurdles-the cosmic analog of my striking a match-is a subtle business. But it's a business we should all care about deeply. Among the transient structures that form as gravity and the nuclear forces guide the universe toward higher entropy are stars and planets, and here on earth, life. For all their majesty, these orderly arrangements are nature's workhorses, harnessing gravity and the nuclear forces to drive the cosmos toward realizing its entropy potential.
+  Let's focus first on gravity.
+ 
+Gravity, Order, and the Second Law
+Gravity is the weakest of nature's forces, a fact made evident by the simplest demonstration. Pick up a coin. The muscles in your arm beat out the gravitational pull of the entire earth. Whether you consider yourself soft or strapping, victory over the gravitational pull of a planet highlights gravity's intrinsic weakness. The only reason we're even aware of gravity is that it's a cumulative force: every bit of the earth pulls on every bit of a coin, and on every bit of this book, and on every bit of you, and since there's a whole lot of earth, these pulls add up to downward forces we can feel. But the gravitational attraction between two smaller things, like two electrons, is a million billion billion billion billion times weaker than their electromagnetic repulsion.
+  The intrinsic weakness of gravity is why we didn't even mention it during our earlier exploration of entropy. Were we to include the effects of gravity in everyday situations like the spreading of steam in your bathroom or the drifting of aromas through your house, our discussion of entropy would hardly change. Sure, gravity gently tugs the molecules downward, causing the steam's density to be slightly larger closer to the bathroom floor, but the effect is so small that for a qualitative understanding it just doesn't matter. However, if we shift our attention from the everyday and consider astronomical processes involving a great deal more matter, we encounter a profoundly important interplay between entropy and the gravitational force.
+  Admittedly, the ideas I'll now explain are somewhat challenging, so feel free to skip to the next section for a summary if at any point the discussion gets too thick for your taste. But the payoff for sticking with me is worthwhile: an understanding of how gravity spontaneously sculpts order from an ever-more-disordered cosmos.
+  Imagine a cosmic version of the bread-baking scenario. Instead of your house, imagine an enormous box, much larger than the sun, floating in otherwise empty space. And instead of aromas seeping from your oven, imagine that in the middle of the box we start with a ball of gas (to be definite, imagine it's hydrogen, the simplest element on the periodic table) whose molecules are oozing outward. From our experience with the bread's aroma drifting throughout your house, we expect that the gas will evolve toward higher entropy via the molecules dispersing until they uniformly fill the box. But now let's change things a bit. Unlike the case of baking bread, let's add so many molecules into the ball of gas that gravity does matter: the gravitational pull experienced by any given molecule, due to the combined gravitational pull exerted by each of the gargantuan number of other gas molecules, significantly affects the molecule's motion. How does this impact our conclusion?
+
+  Well, put yourself in the shoes of a gas molecule leading the outward migration. As you stream away from the central cluster, you feel a gravitational pull exerted by all the other molecules tugging you back. That force slows you down. Slower speed means lower temperature. And so as the gas cloud increases its overall volume by expanding outward, the temperature toward the frontier decreases. Hold that in mind, and now jump with me to the perspective of a molecule located nearer to the bulk of the cloud. Being closer, you feel a much stronger gravitational pull compared to your previous experience on a distant frontier. In fact, with enough molecules, the combined gravitational pull will be sufficiently strong to prevent you from migrating outward at all. Instead, you will be pulled inward. You'll thus fall toward the center of the gas cluster, picking up speed as you go. Faster speed means higher temperature, and so as gravity causes the core of the gas cloud to shrink inward, decreasing its volume, its temperature goes up.
+  Compared with our expectation from baking bread-that the gas would, over time, become evenly distributed throughout the box and attain a uniform temperature-we see that when gravity matters the unfolding is completely different. Gravity results in some molecules being pulled into a hotter, denser core, while others drift outward into a cooler, more diffuse shell that surrounds it.
+  Modest though these observations may appear, we've now uncovered one of the most influential guiding hands of order in the universe. Let me elaborate.
+  You've never clutched hold of your morning coffee and found it hotter than when you poured it. That's because heat flows only from higher temperature to lower temperature, and so your hot coffee transfers some of its heat to the cooler environment, causing the coffee's temperature to decrease.12 For our large cloud of gas, heat also flows from the hot central core to the cooler surrounding shell. Now, I can't fault you for thinking that this flow of heat will cool the core and warm the shell, bringing their temperatures closer together, much as heat transferred from your coffee to the air brings your hot mug closer to room temperature. But-and this is remarkable and remarkably important-when gravity is directing the show, the conclusion is reversed. As heat flows out from the core, the core gets hotter and the shell gets cooler.
+
+  This is surely counterintuitive, but understanding it is just a matter of connecting dots we've already marked. As the surrounding shell absorbs heat from the core, the additional energy drives the cloud to swell even further. The outward moving molecules, once again, strain against the inward pull of gravity, and hence are slowed even further.13 The net effect is that the temperature of the expanding shell goes down, not up. Conversely, as the core relinquishes heat, the decrease in energy causes it to contract even further. The inward-moving molecules, flowing in the same direction as the inward pull of gravity, pick up speed as they fall, and so the temperature of the contracting core goes up, not down.
+  If your coffee behaved this way, you'd be well advised to drink it quickly. The longer you'd wait, the more heat it would relinquish to the surrounding air and the hotter it would become. For coffee, that's absurd. But for a gas cloud large enough for gravity to play a dominant role, this is what happens.
+  Dwell on this conclusion for a moment and you'll realize that we've encountered a self-amplifying process, much like what happens with credit-card debt-the more you owe, the more interest you're assessed and the greater your debt becomes, driving the cycle to spiral. For a gas cloud, as the core shrinks and its temperature rises, it will relinquish yet more heat to the cooler surroundings, causing the core to shrink yet further and its temperature to rise yet higher. At the same time, the heat absorbed by the shell causes it to expand yet further and its temperature to fall yet lower. The ever-widening gap in temperature between the core and the shell causes heat to flow yet more vigorously and drives the cycle to spiral onward.
+
+  Barring intervention or change of circumstance, such self-amplifying cycles continue unabated. For mounting credit-card debt, you intervene by sending a payment or declaring bankruptcy. For the compressed core that's getting ever hotter, nature intervenes with a new physical process: nuclear fusion. When a collection of atoms gets sufficiently hot and dense, they slam together with such force that they can meld more deeply than they do in chemical processes like the burning of natural gas. Whereas chemical burning is a reaction that involves the electrons that surround atoms, nuclear fusion is a reaction that joins nuclei at the center of atoms. Through such deep melding, nuclear fusion generates copious quantities of energy manifested as rapidly moving particles. And it is such rapid thermal motion that generates an outward pressure capable of balancing the inward force of gravity. Nuclear fusion in the core thus halts the contraction. The result is a concentrated, stable, and sustained source of heat and light.
+  A star is born.
+  To appreciate how the formation process tallies on the entropy scoreboard, let's add up the contributions. Both the core of the gas cloud, which becomes the star, as well as the shell of the gas that surrounds it, are subject to two competing entropic effects. For the core, temperature goes up, acting to increase entropy, and volume goes down, acting to decrease entropy. Only detailed calculation14 can determine the winner, with the result being that the decrease exceeds the increase, so the core's net entropy goes down. The formation of large gravitational clumps, like stars, is indeed a move toward greater order. For the surrounding shell, volume goes up, acting to increase entropy, and temperature goes down, acting to decrease entropy. Again, detailed calculation is required to determine the winner, with the result being that the increase exceeds the decrease, so the shell's net entropy goes up. Just as important, the calculations establish that the entropy increase of the shell exceeds the entropy decrease of the core, ensuring that the entire process results in an overall increase of entropy, earning a well-deserved nod of approval from the second law.
+  The chain of events, highly idealized and simplified to be sure, shows how a star-a pocket of low entropy, a pocket of order-can be produced spontaneously even though no engineer directs the action and even though the second law of thermodynamics, with its dictum that total entropy increases, remains in full force. Compared with a steam engine, the cosmic setting is more exotic, but what we've found is another instance of the entropic two-step. Much as a steam engine and its surrounding environment engage in a thermodynamic dance-the steam engine releases waste heat, causing its entropy to decrease, while the environment soaks up the heat, causing its entropy to increase-a gas cloud that's large enough for gravity to matter engages in an analogous pas de deux. As the core of such a gas cloud contracts under the pull of gravity, its entropy decreases, but in the process it releases heat that causes the entropy of the surroundings to increase. A local region of order is created within an environment that undergoes a more than compensating surge in disorder.
+
+  The new feature of the gravitational version of the entropic two-step is that it's self-sustaining. As the gas cloud contracts and emits heat, its temperature rises, causing yet more heat to flow outward and driving the two-step to continue stepping. By contrast, when the steam engine performs work and emits heat, its temperature drops. Without burning more fuel to heat the steam back up, the engine peters out. That's why the steam engine requires a clever intelligence to design, build, and power it, while the region of order created by a contracting cloud of gas-a star-is sculpted and powered by the mindless force of gravity.
+Fusion, Order, and the Second Law
+Let's take stock.
+  When gravity's influence is minimal, the second law drives a system toward homogeneity. Things spread out, energy diffuses, entropy increases. And if that's all there was, the story of the universe, beginning to end, would be bland. But when there's enough matter for gravity's influence to be significant, the second law undertakes a rapid U-turn, and drives the system away from homogeneity. Matter clumps here and spreads out there. Energy concentrates here and diffuses there. Entropy decreases here and increases there. The manner in which the second law's directive is carried out thus depends sensitively on the force of gravity. When there's enough gravity-enough sufficiently concentrated stuff-ordered structures can form. With that, the story of the unfolding universe becomes far richer.
+
+  As described, the starring role in this process is played by the force of gravity. By comparison, the nuclear force, responsible for fusion, seems decidedly secondary. Its job appears limited to an intervention: fusion results in the outward pressure that halts the inward collapse driven by gravity. Indeed, an offhand summary scientists commonly rehearse is to say that gravity is the ultimate source of all structure in the cosmos, offering nary a nod to the role of the nuclear force. But a more generous appraisal is that there's an equitable partnership between gravity and the nuclear force as they work in tandem to advance the second law's narrative.
+  The point is that the nuclear force dances the entropic two-step too. When atomic nuclei fuse-as in the sun, where hydrogen nuclei fuse into helium billions and billions of times each second-the result is a more complex, more intricately organized, lower-entropy atomic cluster. In the process, some of the mass of the original nuclei is converted into energy (as prescribed by E = mc2), mostly in the form of a burst of photons that heats the star's interior and powers the release of light from the star's surface. And it is through such fiery starlight, which is itself a torrent of outward streaming photons, that the star transfers copious quantities of entropy to the environment. Indeed, much as we found with the steam engine, and with the contracting gas cloud, the increase in environmental entropy more than compensates for the decrease in entropy from fusing nuclei, ensuring that the net entropy goes up and the integrity of the second law is once again secured.
+  Just as natural gas and oxygen need a catalyst (such as my striking a match) to initiate chemical burning, atomic nuclei need a catalyst to spark nuclear fusion. For stars, that catalyst is none other than the force of gravity, crushing matter in the core until it becomes sufficiently hot and dense for fusion to ignite. Once fusion begins, it can power a star for billions of years, relentlessly synthesizing complex atomic nuclei as it extracts an otherwise inaccessible trove of entropy that it sprays outward through heat and light. And as we will discuss in the next chapter, these products-complex atoms and a steady bath of streaming light-are essential for the formation of even richer and more intricate structures, including you and me. Thus, although gravity is the vital force in the formation of a star and in maintaining a stable stellar environment, for billions of years it's the nuclear force that's on the front line, spearheading the entropic charge. From this perspective, gravity's role shifts from leading protagonist to indispensable partner in a long duet.
+
+  The upshot, anthropomorphized, is that the universe cleverly leverages the gravitational and nuclear forces to wrest a cache of untapped entropy that's locked up inside of its material constituents. Without gravity, particles that are uniformly dispersed, like an aroma that has filled your house, have attained the highest entropy available. But with gravity, particles that are squeezed into massive and dense balls supported by nuclear fusion drive the entropy tally yet higher.
+  Catalyzed by gravity and executed by the nuclear force, this version of the entropic two-step is danced by matter clear across the universe. It's a process that has dominated the cosmic choreography since shortly after the big bang, resulting in vast numbers of stars-orderly astronomical structures whose heat and light, in at least one instance, enabled the emergence of life. That development, as we will explore in the next chapter, involves a counterpart to entropy-evolution-that is capable of shaping the most exquisitely complex structures in the universe.
+
+ 
+ 
+4
+INFORMATION AND VITALITY
+From Structure to Life
+"Dear Professor Schrödinger," began the unassuming 1953 letter from biologist Francis Crick to Erwin Schrödinger, one of the founding fathers of quantum mechanics and the 1933 Nobel laureate in physics. "Watson and I were once discussing how we came to enter the field of molecular biology, and we discovered that we had both been influenced by your little book, 'What is Life?' " Crick followed the reference to Schrödinger's book with an exhilaration he could barely contain: "We thought you might be interested in the enclosed reprints-you will see that it looks as though your term 'aperiodic crystal' is going to be a very apt one."1
+  The Watson to whom Crick refers is, of course, James Watson, coauthor with Crick of the "enclosed reprints," which, still hot off the press, included a scientific paper destined to be one of the most celebrated of the twentieth century. In published form this manuscript would take up less than a single journal page, yet that proved adequate for laying out the double helix geometry of DNA and garnering Crick and Watson, together with Maurice Wilkins from King's College, the 1962 Nobel Prize.2 Remarkably, Wilkins too credited Schrödinger's book with sparking his passion for determining the molecular basis for heredity; in Wilkins's words, "it set me in motion."3
+  Schrödinger wrote What Is Life? in 1944 based on a series of public lectures he had given the previous year at the Dublin Institute for Advanced Studies. In announcing the lectures, Schrödinger noted that his topic was challenging and that "the lectures could not be termed popular," a laudable commitment to a thorough exploration of the topic even at the potential expense of a diminished audience.4 Despite that, for three consecutive Fridays in February 1943, with World War II raging on the continent, an audience of more than four hundred-including the Irish prime minister, various dignitaries, and wealthy socialites-crammed a lecture theater perched atop the grey stone Fitzgerald Building on the Trinity College campus to hear the Vienna-born physicist grapple with the science of life.5
+
+  Schrödinger's self-described charge was to make headway on one primary question: "How can the events in space and time which take place within the spatial boundary of a living organism be accounted for by physics and chemistry?" Or, to loosely paraphrase: Rocks and rabbits are different. But how? And why? Each is an enormous collection of protons, neutrons, and electrons, and all these particles-whether confined to rock or rabbit-are governed by the very same laws of physics. So what takes place within the body of a rabbit that renders its collection of particles so profoundly different from the collection of particles constituting a rock?
+  It's the kind of question a physicist would ask. More often than not, physicists are reductionists and so tend to look beneath complex phenomena for explanations that rely on properties and interactions of simpler constituents. Whereas biologists often define life by its core activities-life imbibes raw materials for powering self-sustaining functions, eliminates waste generated by the process, and in the most successful instances reproduces-Schrödinger sought an answer to "What is life?" that would draw on life's fundamental physical underpinnings.
+  The lure of reductionism is strong. If we could identify what animates a collection of particles, what molecular magic sparks the fires of life, we would take a significant step toward understanding life's origin and the ubiquity, or not, of life in the cosmos. More than a half century later, notwithstanding monumental strides in physics and especially molecular biology, we are still pursuing variations of Schrödinger's question. While there has been impressive progress in decomposing life (and matter more generally) into its constituent parts, researchers still face the formidable task of laying out how life emerges when collections of these constituents are arranged in particular configurations. Such synthesis is an essential component of the reductionist program. After all, the more finely you examine something that's alive, the more challenging it is to see that it's living. Concentrate on a single molecule of water, an atom of hydrogen, or an individual electron, and you will find that none bear any mark delineating whether they are a constituent of something living or dead, of something animate or inanimate. Life is recognizable from the collective behavior, the large-scale organization, the overarching coordination of an enormous number of particulate constituents-even a single cell contains more than a trillion atoms. Seeking insight into life by homing in on fundamental particles is akin to experiencing a Beethoven symphony instrument by instrument, note by single note.
+
+  Schrödinger himself emphasized a version of this very point in his first lecture. If a body or a brain could be impaired by the errant movement of a single atom or a handful of atoms, the survival prospects of that body or brain would be dim. To avoid such sensitivity, Schrödinger pointed out, bodies and brains are made of large collections of atoms that can maintain their overall highly coordinated functioning even as the individual atoms randomly jitter about. So Schrödinger's goal was not to reveal life hovering within a single atom but to build upon the understanding of atoms to construct a physicist's explanation of how a large collection might assemble into something that lives. In his view, this was an expansive quest that would likely require science to broaden its base of conceptual structures. Indeed, in an epilogue to What Is Life? touching on consciousness, Schrödinger raised some eyebrows (and lost his first publisher) when he invoked the Hindu Upanishads to suggest that we are all part of an "omnipresent, all-comprehending eternal self," and the freedom of will we each exert reflects our divine powers.6
+  While my take on free will differs from Schrödinger's (as we will see in chapter 5), I do share his affinity for a wide explanatory landscape. Deep mysteries call for clarity delivered through a collection of nested stories. Whether reductionist or emergent, whether mathematical or figurative, whether scientific or poetic, we piece together the richest understanding by approaching questions from a range of different perspectives.
+ 
+Nested Stories
+During the past few centuries, physics has refined its own collection of nested stories organized by the distances over which each story is relevant. It's central to an approach we physicists relentlessly drill into our students. To understand how a baseball momentarily deformed by the blazing swing of Mike Trout's bat springs back to its spherical shape, you need to analyze the ball's molecular structure. That's where innumerable microphysical forces push back on the deformation and launch the ball on its way. But this molecular perspective is useless for understanding the ball's trajectory. The voluminous data required to track the motion of trillions of trillions of molecules as the ball spins and soars over the left-field fence would be utterly incomprehensible. When it comes to the trajectory, you need to zoom out from the molecular weeds and examine the ball's motion as a whole. You need to tell a related but distinct higher-level story.
+  The example illustrates a simple but widely relevant realization: the questions we ask determine the stories that provide the most useful answers. It's a narrative structure that capitalizes on one of nature's most fortuitous qualities. At each scale the universe is coherent. Newton had no knowledge of quarks and electrons, and yet if you gave him a baseball's speed and direction as it left Mike Trout's bat, he'd calculate its trajectory in his sleep. As physics has progressed since Newton's time, we've been able to probe finer layers of structure, and this has significantly filled out our understanding. But the description at each step makes sense on its own. If it didn't-if, for example, understanding the motion of a baseball required understanding the quantum behavior of its particles-it's hard to see how we would have ever made progress. Divide and conquer has long been the rallying call of physics, a strategy that has resulted in rousing triumphs.
+
+  An equally important charge is to synthesize the individual stories into a seamless narrative. For the physics of particles and fields, such synthesis was brought to its most refined form by Ken Wilson, earning him the 1982 Nobel Prize.7 Wilson developed a mathematical procedure for analyzing physical systems over a range of different distances-from scales far smaller, say, than those probed by the Large Hadron Collider to the far larger atomic distances that have been accessible for well over a century-and then systematically connecting the stories, clarifying how each hands off the narrative burden to the next as the scale migrates beyond its particular domain. The method, called the renormalization group, lies at the core of modern physics. It shows how the language, conceptual framework, and equations used to analyze physics on one distance scale need to shift as we change focus to a different scale. By using it to develop a nested collection of distinct descriptions and delineating how each informs those it borders, physicists have extracted detailed predictions that have been confirmed through a great many experiments and observations.
+  While Wilson's technique is tailored for the mathematical tools of the modern high-energy particle physicist (quantum mechanics and its generalization, quantum field theory), the overarching realization is broadly applicable. There are many ways of understanding the world. In the traditional organization of the sciences, physics deals with elementary particles and their various unions, chemistry with atoms and molecules, and biology with life. That categorization, still with us today but far more prominent when I was a student, provides a reasonable if coarse demarcation of the sciences by scale. In more recent times, however, the deeper researchers have probed, the more they've realized that grasping the crossovers between disciplines is essential. The sciences are not separate. And when focus shifts from life to intelligent life, yet other overlapping disciplines-language, literature, philosophy, history, art, myth, religion, psychology, and so on-become central to the chronicle. Even the staunch reductionist realizes that as fatuous as it would be to explain a baseball's trajectory in terms of molecular motion, it would only be more so to invoke such a microscopic perspective in explaining what a batter was feeling as the pitcher went through his windup, the crowd roared, and the fastball approached. Instead, higher-level stories told in the language of human reflection provide far greater insight. Nevertheless-and this is key-these better-suited human-level stories must be compatible with the reductionist account. We are physical creatures subject to physical law. And so there's little to be gained by physicists clamoring that theirs is the most fundamental explanatory framework or from humanists scoffing at the hubris of unbridled reductionism. A refined understanding is gleaned by integrating each discipline's story into a finely textured narrative.8
+
+  In this chapter we commit to a reductionist stance, recognizing that later chapters will explore life and mind from a complementary humanist sensibility. Here, we will discuss the origin of the atomic and molecular ingredients necessary for life, the origin of one particular environment-the earth and sun-in which those ingredients have comingled in just the right way for life to arise and flourish, and we will explore the deep unity of life on earth by examining some of the astounding microphysical structures and processes common to all living things.9 Although we won't answer the question of life's origin (still a mystery), we will see that all life on earth can be traced to a common single-celled ancestral species, sharply delineating what a science of life's origin will ultimately need to explain. This will lead us to examine life from the broadly applicable thermodynamic perspective developed in previous chapters, making clear that living things share a deep kinship not just with one another but with stars and steam engines too: life is one more means the universe employs to release the entropy potential locked within matter.
+  My aim is not to be encyclopedic but to provide just enough detail so that you sense nature's rhythms, the resonant patterns playing out from the big bang to life on earth.
+ 
+The Origin of the Elements
+Grind up anything previously alive, pry apart its complex molecular machinery, and you'll find an abundance of the same six types of atoms: carbon, hydrogen, oxygen, nitrogen, phosphorus, and sulfur, a collection of elements students sometimes remember with the acronym SPONCH (not to be confused with the Mexican marshmallow cookie of the same name). Where do these life-supporting atomic ingredients come from? The answer that has emerged represents one of the great success stories of modern cosmology.
+  The recipe for building any atom, however complex, is direct. Join the right number of protons with the right number of neutrons, jam them together in a tight ball (the nucleus), surround them with electrons equal in number to that of the protons, and set the electrons in particular orbits dictated by quantum physics. That's it. The challenge is that, unlike Lego pieces, the atomic constituents don't just snap together. They strongly push and pull one another, making the assembly of nuclei a difficult task. Protons, in particular, all have the same positive electric charge, and so it takes enormous pressure and temperature for them to ram through their mutual electromagnetic repulsion and get close enough for the strong nuclear force to dominate, locking them in a powerful subatomic embrace.
+  The ferocious conditions in the immediate aftermath of the big bang were more extreme than anything encountered anywhere any time since, and so would seem an environment ripe for surmounting electromagnetic repulsion and assembling atomic nuclei. Within a phenomenally dense and energetic brew of colliding protons and neutrons, you might suppose that agglomerations would naturally form, synthesizing the periodic table one atomic species after another. Indeed, that's what George Gamow (a Soviet physicist whose first attempt to defect, in 1932, involved paddling a kayak stocked mostly with coffee and chocolate across the Black Sea) and his graduate student Ralph Alpher suggested in the late 1940s.
+  They were partially right. One catch, which they realized, is that in the earliest moments the temperature of the universe was too high. Space was flooded with extraordinarily energetic photons that would have blasted apart any incipient unions of protons and neutrons. But, as they also realized, just about a minute and a half later-a long time when considering the whirlwind speed at which the early universe developed-the situation changed. By then, the temperature dropped sufficiently for typical photon energies to no longer overwhelm the strong nuclear force, finally allowing unions of protons and neutrons to persist.
+
+  The second catch, which became clear later on, is that building up complex atoms is an intricate process that requires time. It requires a highly specific series of steps in which prescribed numbers of protons and neutrons are melded together into various lumps, which then need to fortuitously encounter particular complementary lumps, fuse with them too, and so on. Like a gourmet's recipe, the order in which the ingredients are combined is essential. And what makes the process particularly tricky is that some intermediate lumps are unstable, meaning that after they form they tend to disintegrate quickly, disrupting the culinary preparations and slowing atomic synthesis. This hindrance is a big deal because the steadily falling temperature and density as the early universe rapidly expands implies that the window of opportunity for fusion quickly closes. By roughly ten minutes after creation, the temperature and density drop below the threshold required for nuclear processes.10
+  When these considerations are made quantitative, as initiated by Alpher in his PhD dissertation and refined by many researchers since, we find that in the immediate aftermath of the big bang only the first few atomic species would have been synthesized. The mathematics allows us to work out their relative abundances: about 75 percent hydrogen (one proton), 25 percent helium (two protons, two neutrons), and trace amounts of deuterium (a heavy form of hydrogen, with one proton and one neutron), helium-3 (a light form of helium with two protons and one neutron), and lithium (three protons, four neutrons).11 Detailed astronomical observations of atomic abundances have confirmed that these ratios are spot-on, a triumph of mathematics and physics in illuminating the detailed processes that happened within minutes of the big bang.
+
+  What about more complex atoms, like those essential to life? Suggestions for their origin go back to the 1920s. British astronomer Sir Arthur Eddington (who when asked what it was like to be among only three people who understood Einstein's general relativity, famously responded, "I'm trying to think who the third person is") hit on the right idea: the scorching interior of stars might provide cosmic Crock-Pots for slow-cooking more complex atomic species. The proposal passed through the hands of many brilliant physicists, including those of Nobel laureate Hans Bethe (my first faculty office was next to his, and I could set my watch by his utterly reliable four p.m. exuberant sneeze) and, perhaps most consequentially, those of Fred Hoyle (who in a 1949 BBC Radio program dismissively referred to the universe being created in "one big bang," unwittingly coining one of science's most pithy monikers12), which turned the suggestion into a mature and predictive physical mechanism.
+  Compared with the breakneck pace of change in the immediate aftermath of the big bang, stars provide stable environments that can persist for millions if not billions of years. The instability of particular intermediate lumps slows the fusion pipeline in stars too, but when you've got time to kill you can still get the job done. So unlike the situation with the big bang, after hydrogen fuses to helium nuclear synthesis in stars is far from over. Stars that are sufficiently massive will continue to crush nuclei together, forcing them to fuse into the more complex atoms of the periodic table, while producing substantial heat and light in the process. For example, a star that's twenty times the mass of the sun will spend its first eight million years fusing hydrogen into helium, then devote its next million years to fusing helium into carbon and oxygen. From there, with its core temperature getting ever higher, the conveyor belt continually revs up: it takes about a thousand years for the star to burn its storehouse of carbon, fusing it into sodium and neon; over the next six months, further fusion produces magnesium; within a month more sulfur and silicon; and then in a mere ten days fusion burns the remaining atoms, producing iron.13
+  We pause at iron, for good reason. Of all atomic species, iron's protons and neutrons are bound together most tightly. This matters. If you try to build yet heavier atomic species by cramming in additional protons and neutrons, you'll find that the iron nuclei have little interest in participating. The nuclear bear hug gripping together iron's twenty-six protons and thirty neutrons has already squeezed out and released as much energy as is physically possible. To add protons and neutrons would require a net input-not output-of energy. As a result, when we reach iron, stellar fusion's orderly production of larger and more complex atoms, with the accompanying release of heat and light, grinds to a halt. Like ash that's fallen to the hearth of your fireplace, iron can't be burned further.
+
+  What then of all the atomic species with yet larger nuclei, including utilitarian elements like copper, mercury, and nickel; sentimental favorites like silver, gold, and platinum; and exotic heavyweights like radium, uranium, and plutonium?
+  Scientists have identified two sources for these elements. When a star's core is mostly iron, fusion reactions no longer generate the outward pushing energy and pressure necessary to counteract the inward pull of gravity. The star begins to collapse. If the star is massive enough, this collapse accelerates into an implosion so powerful that the core temperature rockets; the imploding material bounces off the core and triggers a spectacular shock wave that surges outward. And as the shock wave rumbles from the core toward the star's surface, it compresses the nuclei it encounters with such fury that a slew of larger nuclear agglomerations form. In the maelstrom of chaotic particle motion, all of the periodic table's heavier elements can be synthesized, and when the shock wave finally reaches the star's surface, it blasts the rich atomic smorgasbord into space.
+  A second source of heavy elements is the violent collisions between neutron stars, celestial bodies produced in the death throes of stars whose mass is roughly ten to thirty times that of the sun. That neutron stars are mostly made of neutrons-chameleonic particles that can transform into protons-bodes well for building atomic nuclei, as we have a profusion of the right raw materials. One obstacle, though, is that to form atomic nuclei the neutrons need to free themselves from the star's powerful gravitational grip. That's where a collision between neutron stars comes in handy. The impact can throw off plumes of neutrons, which, having no electric charge and thus experiencing no electromagnetic repulsion, more easily coalesce into groups. After some of these neutrons then flip the chameleonic switch and become protons (releasing electrons and anti-neutrinos in the process), we acquire a supply of complex atomic nuclei. In 2017, neutron-star collisions migrated from theoretical plaything to observational fact when scientists detected the gravitational waves such collisions generate (which followed on the heels of the very first gravitational waves detected, which were produced by the collision of two black holes). A flurry of analyses have determined that neutron-star collisions produce heavier elements more efficiently and abundantly than supernova explosions, and so it may be that the majority of the universe's heavy elements were produced through these astrophysical smashups.
+
+  Fused in stars and ejected in supernova explosions, or jettisoned by stellar collisions and amalgamated in particle plumes, an assortment of atomic species float through space, where they swirl together and coalesce into large clouds of gas, which over yet more time clump anew into stars and planets, and ultimately into us. Such is the origin of the ingredients constituting anything and everything you have ever encountered.
+The Origin of the Solar System
+At just over four and a half billion years old, the sun is a cosmic newcomer. It was not among the universe's first generation of stars. We saw in chapter 3 that those stellar trailblazers originated from quantum variations in the density of matter and energy that were stretched across space by inflationary expansion. Computer simulations of these processes reveal that the first stars ignited about one hundred million years after the big bang, with an entrance on the cosmic stage that was anything but dainty. The first stars were likely mammoth, hundreds or perhaps even thousands of times the mass of the sun, burning with such intensity that they quickly died out. The heaviest ended their lives in a gravitational implosion so emphatic that they collapsed all the way down to black holes, extreme configurations of matter that will be a prime focus later in our journey. Less massive early stars ended their lives with a fiery supernova explosion that, beyond seeding space with complex atoms, initiated the next round of stellar formation. Much as a supernova shock wave ripping through a star forcefully fuses its atomic constituents, a shock wave thundering through space compresses the clouds of molecular ingredients it encounters. And because compressed regions are denser, they exert a greater gravitational pull on their surroundings, drawing in yet more particulate constituents and setting off a new round of gravitational snowballing en route to the next generation of stars.
+
+  Based on the composition of the sun-the quantities of various heavy elements it now contains, determined by spectroscopic measurements-solar physicists believe the sun is a grandchild of the universe's first stars, a third-generation arrival. But there is much uncertainty regarding where the sun originally formed. One candidate that has been investigated is a region known as Messier 67, about three thousand light-years away, which contains a cluster of stars whose chemical compositions appear similar to the sun's, suggesting a close family resemblance. The challenge, still unresolved, is to explain how the sun and the planets of the solar system (or the protoplanetary disk from which the planets would subsequently form) would have been ejected from that distant stellar nursery and migrated here. Some studies of the potential trajectories conclude that there's virtually no chance that Messier 67 is the sun's birthplace, while others, invoking various modified assumptions, have yielded more encouraging results.14
+  What we can say with more confidence is that some 4.7 billion years ago a supernova shock wave likely plowed through a cloud containing hydrogen, helium, and small quantities of more complex atoms, compressing part of the cloud, which, now being denser than its surroundings, exerted a stronger gravitational pull and thus began to draw material inward. Over the next few hundred thousand years, this region of the gas cloud continued to contract, rotating slowly at first and then more rapidly, like a graceful skater pulling in her arms while spinning. And much as the spinning skater experiences an outward pull (which splays out any loose fringe on the skater's costume), so did the spinning cloud, which spread and flattened its outer regions into a rotating disk, which surrounded a smaller spherical region at the core. During the following fifty to one hundred million years, the gas cloud then performed a slow and steady rendition of the gravitational entropic two-step discussed in chapter 3: The gravitational force squeezed the spherical core, which grew ever hotter and denser, while the surrounding material cooled and thinned. The entropy of the core decreased; the entropy of the surroundings offset that by a more than compensating increase. Ultimately, the core's temperature and density crossed the threshold for igniting nuclear fusion.
+
+  The sun was born.
+  During the next few million years, the detritus left over from the sun's formation, amounting to just a few tenths of a percent of the original swirling disk, coalesced through numerous instances of gravitational snowballing into the solar system's planets. Lighter and more volatile substances-like hydrogen and helium as well as methane, ammonia, and water-which would be disrupted by the sun's intense radiation, accumulated more abundantly in the solar system's cooler outer regions, forming the gas giants, Jupiter, Saturn, Uranus, and Neptune. Heavier and more robust constituents, like iron, nickel, and aluminum, which better withstood the hotter environment closer to the sun, consolidated into the smaller rocky inner planets, Mercury, Venus, Earth, and Mars. Being much less massive than the sun, planets are able to support their modest weight via their own atoms' intrinsic resistance to compression. Core temperatures and pressures within planets rise but nowhere near the levels necessary for nuclear fusion to ignite, resulting in the comparatively temperate environments for which life-surely our form and possibly all life in the universe-owes significant gratitude.
+Young Earth
+Earth's first half billion years are referred to as the Hadean period, invoking the Greek god of the underworld to connote an infernal era of raging volcanoes, gushing molten rock, and thick noxious fumes of sulfur and cyanide. But some scientists now suspect that as a standard-bearer for young earth, Poseidon may well be the god of choice. The still-debated sea change rests on evidence no more substantial than flecks of dust. Although we lack rock samples from that early era, researchers have identified ancient translucent specks-called zircon crystals-that formed when the early earth's molten lava cooled and solidified. Zircon crystals are proving pivotal to understanding earth's early development because not only are they virtually indestructible, surviving billions of years of geological battering, but they also act as miniature time capsules. When they form, zircon crystals snare molecular samples of the environment, which we can time-stamp through standard radioactive dating. By closely analyzing impurities in the zircon crystals, we sample conditions of archaic earth.
+
+  One find in Western Australia turned up zircon crystals dated to 4.4 billion years ago, just a couple of hundred million years after the earth and the solar system formed. By analyzing their detailed composition, researchers have suggested that ancient conditions may have been far more agreeable than previously thought. Early earth may have been a relatively calm water world, with small landmasses dotting a surface mostly covered by ocean.15
+  That's not to say that earth's history didn't have its moments of flaming drama. Roughly fifty to one hundred million years after its birth, earth likely collided with a Mars-sized planet called Theia, which would have vaporized the earth's crust, obliterated Theia, and blown a cloud of dust and gas thousands of kilometers into space. In time, that cloud would have clumped up gravitationally to form the moon, one of the larger planetary satellites in the solar system and a nightly reminder of that violent encounter. Another reminder is provided by the seasons. We experience hot summers and cold winters because earth's tilted axis affects the angle of incoming sunlight, with summer being a period of direct rays and winter being a period of oblique ones. The smashup with Theia is the likely cause of earth's cant. And though less sensational than a planetary collision, both the earth and the moon endured periods of significant pummelings by smaller meteors. The moon's lack of eroding winds and its static crust have preserved the scars but earth's thrashing, less visible now, was just as severe. Some early impacts may have partially or even fully vaporized all water on earth's surface. Despite that, the zircon archives provide evidence that within a few hundred million years of its formation, earth may have cooled sufficiently for atmospheric steam to rain down, fill the oceans, and yield a terrain not all that dissimilar from the earth we now know. At least, that's one conclusion reached by reading the crystals.
+
+  The duration required for earth to simmer down and sport an abundance of water-whether hundreds of millions of years or far longer-is intensely debated because it speaks directly to the question of when in our geological history life first arose. While it's too strong to say that where there's liquid water there's life, we can say with some confidence that in the absence of liquid water there's an absence of life, at least the kind of life with which we are familiar.
+  Let's see why.
+Life, Quantum Physics, and Water
+Water ranks among nature's most familiar yet consequential substances. Its molecular makeup, H2O, has become for chemistry what Einstein's E = mc2 is to physics, the subject's most famous formula. By fleshing out that formula, we gain insight into water's distinctive properties and develop some of the key ideas in Schrödinger's program of understanding life at the level of physics and chemistry.
+  By the mid-1920s, many of the world's leading physicists could sense that the accepted order was on the verge of radical upheaval. Newtonian ideas, whose predictions for the motion of orbiting planets and flying rocks had for centuries set the gold standard of accuracy, were failing miserably when applied to tiny particles like electrons. As unruly data bubbled up from the microworld, the calm seas of Newtonian understanding became turbulent. Physicists quickly found themselves struggling just to stay afloat. Werner Heisenberg's lament, muttered as he aimlessly walked through an empty park in Copenhagen after a grueling night of intense calculations with Niels Bohr, summed up the situation well: "Can nature possibly be as absurd as it seemed to us in these atomic experiments?"16 The answer, a resounding yes, came in 1926 from an unassuming German physicist, Max Born, who broke the conceptual logjam by introducing a radically new quantum paradigm. He argued that an electron (or any particle) can only be described in terms of the probability that it will be found at any given location. In one stroke, the familiar Newtonian world in which objects always have definite positions gave way to a quantum reality in which a particle might be here or there or somewhere else entirely. And far from a failing, the uncertainty inherent in a probabilistic schema revealed an intrinsic feature of quantum reality long overlooked by the deeply insightful yet demonstrably coarse Newtonian framework. Newton based his equations on the world he could see. A couple of hundred years later, we learned that there is an unexpected reality beyond the reach of our frail human perceptions.
+
+  Born's proposal came with mathematical precision.17 He explained that an equation Schrödinger had published a few months earlier could be used to predict the quantum probabilities. This was news to Schrödinger, and everyone else too. But as scientists followed Born's directive, they found that the mathematics worked. Spectacularly so. Data that had previously been subsumed under ad hoc rules of thumb or had resisted explanation entirely could finally be understood through systematic mathematical analyses.
+  When applied to atoms, the quantum perspective jettisons the old "solar-system model," which pictured electrons in orbit around the nucleus much as planets orbit the sun. In its place, quantum mechanics envisions an electron as a fuzzy cloud surrounding the nucleus whose density at any given location indicates the probability that the electron will be found there. An electron is unlikely to be found where its probability cloud is thin, likely to be found where its probability cloud is thick.
+  Schrödinger's equation makes this description mathematically explicit, determining the shape and density profile of an electron's probability cloud as well as stipulating-and for our current discussion, this is key-precisely how many of the atom's electrons each such cloud can accommodate.18 The details quickly become technical, but to grasp the essential features, think of an atom's nucleus as a central stage and its electrons as an audience that watches the action from seats on surrounding tiers, arranged for theater in the round. In this "quantum theater," Schrödinger's math applied to atoms dictates how the electron audience fills in the seats.
+
+  Much as you'd expect from your experience climbing stairs in a real theater, the higher the tier the more energy an electron needs to reach it. So when an atom is as calm as it can possibly be, in its lowest energy configuration, its electrons constitute the most orderly of audiences, populating a higher tier only if the lower tiers are fully occupied. With the atom possessing minimal energy, no electron climbs any higher than it absolutely has to. How many electrons can a given tier hold? Schrödinger's math provides the answer, a universal fire code that applies to all quantum theaters: at most two electrons are allowed on tier one, eight electrons on tier two, eighteen on tier three, and so forth, as specified by the equation. Should an atom's energy be pumped up, say, by having been zapped by a powerful laser, some of its electrons may be sufficiently agitated to jump up to a higher tier, but this exuberance will be short-lived. Such excited electrons quickly fall back to their original tier, emitting energy (carried away by photons) and returning the atom to its calmest configuration.19
+  The math also reveals one further peculiarity, a kind of atomic OCD that's a primary driver of chemical reactions throughout the cosmos. Atoms have an aversion to tiers that are only partially filled. Tiers that are empty? Fine. Tiers that are full? Fine. But partial occupancy? That drives atoms up the wall. Some atoms are lucky, being endowed with just the right number of electrons to achieve full occupancy on their own. Helium contains two electrons, to balance the electric charge of its two protons, and they happily fill the first tier. Neon has ten electrons, to balance the electric charge of its ten protons, and they just as happily fill its first tier, which accommodates two, and its second tier, which accommodates the remaining eight. But for most atoms, the number of electrons needed to balance the number of protons does not fill a complete set of tiers.20
+  So what do they do?
+
+  They barter with other atomic species. If you're an atom with an upper tier that needs two more electrons and I'm an atom with an upper tier occupied by two electrons, then if I donate two electrons to you, we will each scratch the other's occupancy itch: the donation results in us each having fully complete tiers. Notice too that by accepting my electrons you will acquire a net negative charge, and by donating my electrons I will acquire a net positive charge-and since opposite charges attract, you and I will embrace to form an electrically neutral molecule. Alternatively, if you and I, for example, both need one more electron to fill out our upper tiers, there is a different type of deal we can strike: we can each donate one electron to a communal pool that we share, again scratching each other's occupancy itch, and-through the bond of our shared electrons-again combining into an electrically neutral molecule. These processes, which fill out electron tiers by joining atoms together, are what we mean by chemical reactions. They provide the template for such reactions here on earth, within living systems, and throughout the universe.
+  Water provides an important case in point. Oxygen contains eight electrons, two on tier one and six on tier two. Oxygen thus strives for two more electrons, seeking to fill out its second tier to the maximum occupancy of eight. One readily available source is hydrogen. Every hydrogen atom has a single electron, hanging solo and twiddling its thumbs on tier one. If a hydrogen atom has the opportunity to fill this tier with one more electron it happily will. So hydrogen and oxygen agree to share a communal pair of electrons, fully satisfying hydrogen and bringing oxygen one electron closer to orbital bliss. Include a second hydrogen atom that similarly shares a pair of communal electrons with oxygen, and it is rapture all around. The sharing of these electrons binds the oxygen atom to the two hydrogen atoms, giving rise to a molecule of water, H2O.
+  The geometry of this union has far-reaching implications. The interatomic pushes and pulls shape all water molecules into a wide V, with oxygen at the vertex and each hydrogen perched on one of the letter's upper tips. Although H2O has no net electrical charge, because oxygen is so manic about filling its orbital tiers, it hoards the shared electrons, resulting in a distribution of charge across the molecule that is lopsided. The vertex of the molecule, oxygen's home, has a net negative charge, while the two upper tips, where the hydrogens dwell, have a net positive charge.
+
+  The distribution of electrical charge across a water molecule might seem like an esoteric detail. But it's not. It proves essential to the emergence of life. Because of water's skewed charge distribution, it can dissolve nearly everything. The negatively charged oxygen vertex grabs hold of anything with even a slight positive charge; the positively charged hydrogen tips grab hold of anything with even a slight negative charge. In tandem, the two ends of a water molecule act like charged claws that pull apart most anything that's submerged for a sufficient time.
+  Table salt is the most familiar example. Composed of an atom of sodium bonded to an atom of chlorine, a molecule of table salt has a slight positive charge near the sodium (which donates an electron to the chlorine) and a slight negative charge near the chlorine (which accepts an electron from the sodium). Drop salt into water, and the oxygen side of H2O (negatively charged) grabs hold of the sodium (positively charged), while the hydrogen side of H2O (positively charged) grabs hold of the chlorine (negatively charged), ripping salt molecules apart and dissolving them into solution. And what's true for salt is true for a great many other substances too. The details vary, but water's asymmetric charge arrangement makes it an uncanny solvent. Wash your hands, even without soap, and water's electrical polarity will be hard at work, dissolving foreign matter and carrying it away.
+  Well beyond its utility in personal hygiene, water's capacity to grab hold of and ingest substances is indispensable to life. Cell interiors are miniature chemistry labs whose workings require the rapid movement of a vast collection of ingredients: nutrients in, waste out, comingling of chemicals to synthesize substances required for cellular function, and so on. Water makes this possible. Water, constituting some 70 percent of a cell's mass, is life's ferrying fluid. Nobel laureate Albert Szent-Györgyi summarized it eloquently: "Water is life's matter and matrix, mother and medium. There is no life without water. Life could leave the ocean when it learned to grow a skin, a bag in which to take the water with it. We are still living in water, having the water now inside."21 As poetry, this is a graceful ode to water and life. As science, there is as yet no argument to establish the statement's universal validity, but we know of no form of life that challenges the necessity of water.
+ 
+The Unity of Life
+Having surveyed the synthesis of simple and complex atoms, the origin of the sun and earth, the nature of chemical reactions and the necessity of water, we are now equipped to turn to life itself. While it might seem natural to begin with the genesis of life, that topic, still unsettled, is better approached after exploring the quintessential molecular qualities of life itself. And for someone like me, having spent the past thirty years pursuing a unified theory of nature's fundamental forces, such an exploration reveals a stunning biological unity. We don't know the exact number of distinct species on earth, microbes to manatees, but studies have provided estimates ranging from a low in the millions to a high in the trillions. Whatever the exact number, it's huge. The wealth of different species, however, belies the singular nature of life's inner workings.
+  Examine living tissue closely enough and you'll encounter life's "quanta"-cells-the tissue's smallest units we'd identify as being alive. Regardless of their source, cells share so many features that the untrained eye examining individual specimens would be hard-pressed to distinguish mouse from mastiff, turtle from tarantula, housefly from human. That's remarkable. Surely our cells must show an obvious and significant distinguishing imprint. Yet they don't. The reason, established during the past few decades, is that all complex multicellular life descended from the same single-celled ancestral species. Cells are similar because their lineages radiate from the same starting point.22
+  That's a telling realization. With its copious incarnations, life might have had many distinct origins. Tracing the lineage of the sea mollusk all the way back might have revealed one starting point, while doing the same for wombats or orchids might have revealed others. But the evidence strongly suggests that in seeking life's origin, the lineages converge to a common ancestor. Two ubiquitous qualities of life make the case yet more convincing. Each illustrates the deep commonalities shared by all that lives. The first, and more familiar, concerns information: how cells encode and utilize the information that directs life-sustaining functions. The second, equally important but less widely celebrated, concerns energy: how cells harness, store, and deploy the energy required for carrying out life-sustaining functions. In both we will see that clear across the spectacular breadth of life on earth the detailed processes are identical.
+ 
+The Unity of Life's Information
+One way we recognize that a rabbit is alive is by seeing it move. A rock can move too, of course. A strong river current can push it downstream or a volcanic eruption can launch it skyward. The difference is that the rock's motion can be fully understood, even predicted, based on the external forces that act upon it. Tell me enough about the current or the eruption and I can do a reasonably good job of determining what will happen. Predicting the motion of the rabbit is harder. Activity within what Schrödinger called the "spatial boundary" of the rabbit-its internal activity-is a decisive factor in its locomotion. The rabbit twitches its nose, turns its head, pounds its legs, and all this makes it appear to have a will of its own. Whether the rabbit or any life form (including us) actually has such an autonomous will is a question that has been debated for centuries, and one we'll take up in the next chapter, so let's not get bogged down with it here. For now, we can all agree that whereas activity within the rock is of virtually no consequence to the motion we observe, the rabbit's coordinated, complex, and self-directed movements clue us in that it is alive.
+  It's not a foolproof diagnostic. Automated systems can execute motion of a broadly similar sort, and as technological progress continues, the ability to emulate life will become sharper still. But that serves only to underscore the larger point: motion of the kind we're considering arises from an interplay between information and execution, between what we might call software and hardware. For an automated system, the description is literal. Drones, self-driving cars, Roombas, and so on are governed by software that takes environmental data as input and as output determines a response executed by onboard hardware, from wings to rotors to wheels. For a rabbit, the description is metaphor. Nevertheless, the software-hardware paradigm is a particularly useful way of thinking about life too. The rabbit accumulates sensory data from the environment, runs it through a "neural computer" (its brain), which sends information-laden signals down nerve pathways-eat clover patch, hop over fallen twigs, and so on-generating physical actions. The motion of the rabbit arises from the internal processing and transmission of a complex set of instructions that flows through its physical structure: biological software driving biological hardware. Such processes are wholly absent for a rock.
+
+  If we dive deep into a single cell of the rabbit we encounter a similar set of ideas playing out on a smaller scale. The vast majority of a cell's functions are executed by proteins, large molecules that catalyze and regulate chemical reactions, transport essential substances, and control detailed properties like cellular shape and movement. Proteins are built from combinations of twenty smaller subunits, amino acids, similar to the way English words arise from various combinations of twenty-six letters. And much as sensible words require letters to be arranged in specific orders, usable proteins require amino acids to be linked in specific sequences. If such assembly were left to blind chance, the likelihood that the requisite amino acids would happen to bump into one another in just the right way to build a particular protein would be next to nothing. The sheer number of ways that twenty distinct amino acids can be linked in a long chain makes this evident: for a chain with one hundred and fifty amino acids (a small protein), there are about 10195 different arrangements, far larger than the number of particles in the observable universe. Much as the proverbial team of monkeys typing random letters for decades will fail to spell out more than "To be or not to be," random chance will fail to create the specific proteins required for life.
+  Instead, the synthesis of complex proteins requires a set of instructions that spell out a step-by-step process-hook this amino acid to that one, then tack on this one, followed by that one, and so on. That is, protein synthesis requires cellular software. And within every cell such instructions exist. They are encoded by DNA, the life-supporting chemical whose geometrical architecture was discovered by Watson and Crick.
+
+  Every molecule of DNA is configured in the famous spiral of the double helix, a long twisting ladder whose rungs consist of pairs of struts, shorter molecules called bases, usually denoted A, T, G, and C (the technical names won't matter for us, but these stand for adenine, thymine, guanine, and cytosine). Members of a given species mostly share the same sequence of letters. For humans, the DNA sequence runs about three billion letters long, with your sequence differing from that of Albert Einstein or Marie Curie or William Shakespeare or anyone else by less than about a quarter of a percent, roughly one letter out of every string of five hundred.23 But while basking in the glow of possessing a genome so similar to that of any of history's most revered luminaries (or infamous villains), note that your DNA sequence also has a 99 percent overlap with any given chimpanzee's.24 Minor genetic differences can have major impact.
+  In constructing the rungs of the DNA ladder, the bases pair off according to a rigid rule: an A strut on one rail of the ladder attaches to a T strut on the other rail, a G strut on one rail attaches to a C strut on the other. The sequence of bases on one side of the ladder thus uniquely determines the sequence on the other. And it is within the sequence of letters that we find, among other vital cellular information, instructions that specify which amino acids will be linked to which, directing the synthesis of a species-specific collection of proteins essential to that form of life.
+  All life codes the instructions for building proteins in the same way.25
+  In one perhaps overly detailed paragraph, here's the manual for how it works, the molecular Morse code hardwired into all life. Groups of three consecutive letters on a given rail of DNA denote one particular amino acid from the collection of twenty.26 For example, the sequence CTA denotes the amino acid leucine; the sequence GCT denotes another, alanine; the sequence GTT denotes valine; and so on. If you were examining the rungs attached to one rail of a DNA segment and read off the nine-letter sequence CTAGCTGTT, that would instruct you to attach leucine (the first three letters, CTA) to alanine (the second three letters, GCT), which you would then attach to valine (the last three letters, GTT). A protein built from, say, a thousand linked amino acids would be coded by a specific sequence of three thousand letters (the starting location and the ending location of any such sequence is also coded by particular three-letter sequences, much as a capitalized letter and a period denote the start and end of this sentence). Such a sequence constitutes a gene, the instructional blueprint for assembling a protein.27
+
+  I've laid out the details for two reasons. First, seeing the code makes the concept of cellular software explicit. Given a segment of DNA, we can read off the instructions which direct the cell's inner workings, a sophisticated coordination wholly absent in inanimate matter. Second, seeing the code demonstrates what biologists mean when they call it universal. Every molecule of DNA, whether from seaweed or Sophocles, encodes the information needed to build proteins in the same way.
+  That is the unity of life's information.
+The Unity of Life's Energy
+Just as a steam engine needs a steady supply of energy to repeatedly push its piston, life requires a steady supply of energy to carry out essential functions from growth and repair to movement and reproduction. For the steam engine, we extract energy from the environment. We burn coal, wood, or some other fuel, and the heat generated is consumed by the engine's inner mechanism, driving the steam to expand. Living beings also extract energy from the environment. Animals extract energy from food, plants from sunlight. But unlike the steam engine, life doesn't generally use such energy on the spot. The processes of life, being more complex than the expansion or contraction of steam, require a more refined system for the delivery and distribution of energy. Life needs energy from the fuel it burns to be stored and doled out on a regular and reliable basis as cellular constituents require it.
+
+  All life meets the challenge of energy extraction and distribution in the same way.28
+  The universal solution life has come up with, a complex sequence of processes taking place right now inside you and me and, as far as we know, all else that lives, ranks among nature's most astonishing accomplishments. Life extracts energy from the environment through a type of slow chemical burning and stores that energy by charging up biological batteries built into all cells. These cellular battery packs then provide a steady source of electricity that cells use to synthesize molecules tailor-made for transporting and delivering energy to every cellular component.
+  That may sound heavy. It is heavy. It is also vital. So let's briefly unpack it. If you don't grasp every detail, that's fine. Even a cursory tour reveals the wonders of how life powers its inner workings.
+  The chemical burning central to life's processing of energy is called a redox reaction. Not the most inviting name, but the archetypal example-a burning log-clarifies the nomenclature. As a log burns, carbon and hydrogen in the wood relinquish electrons to oxygen in the air (remember, oxygen yearns for electrons), bonding them into molecules of water and carbon dioxide, and releasing energy in the process (the very reason fire is hot). When oxygen grabs electrons, we say that it has been reduced (you can think of this as a reduction in oxygen's yearning for electrons). When carbon or hydrogen relinquishes electrons to oxygen, we say that it has been oxidized. Together, we have a reduction-oxidation reaction, or redox for short.
+  Scientists now use the term "redox" more broadly, referring to a collection of reactions in which electrons are passed between chemical constituents, regardless of whether oxygen is involved. Still, a flaming log provides a widely relevant template for describing chemical burning. Ravenous atoms, burdened by partially filled tiers, grab electrons from atomic donors with such a powerful clasp that significant pent-up energy is released in the process.
+  In living cells-let's focus on animals to be definite-similar redox reactions take place but, importantly, the electrons stripped from atoms that you ingested at breakfast are not transferred directly to oxygen. If they were, the energy released would create something akin to a cellular fire, an outcome life has learned the benefit of avoiding. Instead, electrons donated by food pass through a series of intermediate redox reactions, rest stops on a trek that ultimately ends with oxygen but that allows smaller amounts of energy to be released at each step. Like a ball in the bleachers cascading down a stadium's steps, electrons jump from one molecular receptor to another, with each receptor more electron crazed than the previous, ensuring that each jump results in the release of energy. Oxygen, the most electron-crazed receptor of all, waits for the electron at the bottom of the stairs, and when it finally arrives, the oxygen hugs the electron tight, squeezing out the marginal energy it can still provide, thus concluding the energy extraction process.
+
+  The process for plants is largely the same. The main difference is the source of the electrons. For animals, they come from food. For plants, they come from water. Sunlight striking chlorophyll in the green leaves of plants strips electrons from water molecules, pumps up their energy, and sets them off on a similar energy-extracting redox cascade. And so the energy supporting all the actions of all living things can be traced to one and the same process, jumping electrons executing a series of cellular redox reactions. It's why Albert Szent-Györgyi, continuing his poetic reflections, mused, "Life is nothing but an electron looking for a place to rest."
+  From the perspective of physics, it's worth emphasizing how surprising this all is. Energy is the coin that pays for all comings and goings throughout the cosmos, a coin minted in a wide range of currencies and earned through an even wider range of callings. One currency is nuclear energy, generated by fission and fusion among a wealth of atomic species; electromagnetic energy is another, generated by pushes and pulls among a wealth of charged particles; gravitational energy is another still, generated by interactions among a wealth of massive bodies. And yet of all the innumerable processes, life on planet earth leverages one and only one energy mechanism: a specific sequence of electromagnetic chemical reactions in which electrons engage in a downward-directed sequence of jumps, starting with food or water and ending with the clutching embrace of oxygen.
+
+  How and why did this energy extraction process become life's go-to mechanism? No one knows. But the universality, like that of the genetic code, speaks again, and strongly so, to the unity of life. Why do all living things power themselves in the same way? The immediate answer is that all life must have descended from a common ancestor, a single-celled species that researchers believe likely existed around four billion years ago.
+Biology and Batteries
+Evidence for the unity of life grows even more convincing as we follow the subsequent journey of the energy released by electrons hopping from one redox reaction to another. That energy is used to charge up biological batteries that are built into each and every cell. In turn, the biological batteries power the synthesis of molecules particularly adept at transporting and delivering energy wherever and whenever it is needed throughout a cell. It is an elaborate process. But across life, it is the same process.
+  In broad outline here is how it goes. As an electron jumps into the outstretched molecular arms of a given redox receptor, the receiving molecule twitches, causing it to shift its orientation relative to other molecules closely packed around it, much like a gear ratcheting one step forward. When the fickle electron subsequently jumps to the next redox receptor, the first molecule clicks back to its original orientation, while the new molecular recipient experiences the twitch. As the electron executes further jumps, the pattern continues. Molecules receiving an electron twitch, ratcheting their orientations forward; molecules losing an electron twitch too, ratcheting their orientations back.
+  The sequence of electron hops and resulting molecular twitches accomplishes a subtle but significant task. As the molecules ratchet back and forth, they push against a group of protons, forcing them through a surrounding membrane, where they accumulate in a thin compartment, which amounts to an overcrowded holding cell. Or, in more prosaic language, a proton battery.
+  In an ordinary battery, chemical reactions force electrons to accumulate on one side of the battery (the anode), where the mutual repulsion of these like-charged particles means they're primed to flee at the first opportunity. When you complete an electrical circuit by pushing an "on" button or flipping a switch, you free the pent-up electrons, allowing them to flow out of the anode, pass through a device-bulb, laptop, phone-and finally return to the battery's other side (the cathode). Commonplace though batteries are, they are utterly ingenious. They store energy in a crowded collection of electrons standing at the ready to relinquish that energy on a moment's notice to power devices of our choosing.
+
+  In a living cell we encounter an analogous situation, with pent-up protons replacing pent-up electrons. But it's a distinction that hardly makes a difference. Protons, like electrons, all carry the same electric charge, and so they also repel one another. When cellular redox reactions pack protons closely together, they too stand at the ready waiting for the chance to rush away from their enforced companions. Cellular redox reactions thus charge up biological proton-based batteries. In fact, because the protons are all clustered on one side of an extremely thin membrane (just a few dozen atoms wide), the electric field (the membrane voltage divided by the membrane thickness) can be enormous, upwards of tens of millions of volts per meter. A cellular bio battery is no slouch.
+  What, then, do cells do with these mini power stations? Here's where things get yet more astounding. Attached to the membrane are a great many nanoscale-sized turbines. When the packed protons are allowed to flow back across specific sections of the membrane, they cause the tiny turbines to rotate, much as flowing gusts of air cause windmills to rotate. In centuries past, such wind-powered turning motion was used to crush wheat or other grains into flour. The cellular windmills undertake an analogous grinding project but instead of pulverizing structure the process builds it. As they turn, the molecular turbines repeatedly cram together two particular input molecules (ADP, adenosine diphosphate plus a phosphate group), synthesizing one particular output molecule (ATP, adenosine triphosphate). Forced together by the turbine, the constituents of each resulting ATP molecule are in a tense arrangement: mutually repelling charged constituents are clasped together by chemical bonds, and so, much like a compressed spring, they strain to be released. That's extraordinarily useful. Molecules of ATP can travel throughout a cell, releasing that stored energy when needed by snapping the chemical bonds and allowing the constituent particles to relax into a lower energy, more comfortable state. It is that very energy, released by the dissociation of ATP molecules, that powers cellular functions.
+
+  The tireless activity of these cellular power stations becomes clear when you consider a few numbers. The functions that keep a typical cell alive for just a single second require the energy stored in about ten million ATP molecules. Your body contains tens of trillions of cells, which means that every second you consume on the order of one hundred million trillion (1020) ATP molecules. Each time an ATP is used, it splits up into the raw materials (ADP and a phosphate), which the proton battery-powered turbines then cram back together into freshly minted, fully rejuvenated ATP molecules. These ATP molecules then hit the road again, delivering energy throughout the cell. To meet your body's energy demands, your cellular turbines are thus astoundingly productive. Even if you're an extremely fast reader, as you scan through this very sentence your body is synthesizing some five hundred million trillion molecules of ATP. And just now, another three hundred million trillion more.
+Summary
+Putting the details to the side, the conclusion is that as energetic electrons from food (or electrons energized by sunlight in plants) cascade down a flight of chemical stairs, the energy released at each step charges up biological batteries that reside in all cells. The energy stored in the batteries is then used to synthesize molecules that do for power what UPS trucks do for packages: the molecules reliably deliver packets of energy wherever they are called for within the cell. This is the universal mechanism that powers all life. This is the singular energy pathway that underlies every action we take and every thought we have.
+
+  As with our brief foray into DNA, the main point hovers above the particulars: the intricate and seemingly baroque collection of processes that power cells is universal across all life. That unity, together with the unity of DNA's coding of cellular instructions, provides overwhelming evidence that all life emerged from a common ancestor.
+  Much as Einstein sought a unified theory of nature's forces, and much as physicists today dream of an even grander synthesis embracing all matter and perhaps space and time too, there is something thoroughly seductive in identifying a common core within a vast range of seemingly distinct phenomena. That the deep inner workings of all life-from my two dogs resting quietly on the carpet, to the chaotic swirl of insects attracted by the lamp near my window, to the chorus of frogs rising up from the nearby pond, to the coyotes I now hear howling in the distance-rely on the same molecular processes, well, it is spectacular. So set aside the details, take a break before concluding the chapter, and allow that wondrous realization to sink in fully.
+Evolution Before Evolution
+Vital realizations not only provide unforeseen clarity, they also energize us to dig deeper. How did the common ancestor of all complex life come to be? Deeper still, how did life begin? Scientists have yet to determine the origin of life, but our discussion has made clear that the question is a three-parter. How did the genetic component of life-the capacity to store, utilize, and replicate information-come to be? How did the metabolic component of life-the capacity to extract, store, and utilize chemical energy-come to be? How did the packaging of genetic and metabolic molecular machinery into self-contained sacks-cells-come to be? The story of life's origin requires definitive answers to these questions, but even without a complete understanding we can turn to an explanatory framework-Darwinian evolution-that will almost certainly be an integral part of that future narrative.
+  When I first learned about Darwinian evolution, my biology teacher presented the theory as if it were the clever solution to a brain teaser that, once understood, should elicit a gentle slap to the forehead and the exclamation "Why didn't I think of that?" The puzzle is to explain the origin of the rich, varied, and bountiful array of species inhabiting planet earth. Darwin's solution comes down to two connected ideas: First, when organisms reproduce, progeny are generally similar but not identical to their parents. Or, as Darwin put it, reproduction yields descent with modification. Second, in a world with finite resources, there's competition for survival. Those biological modifications that enhance success in the competition increase the likelihood that the bearer will survive long enough to reproduce and thus pass on their survival-enhancing traits to future generations. Over time, different combinations of successful modifications slowly accumulate, driving an initial population to branch into groups that form distinct species.29
+
+  Simple and intuitive, Darwinian evolution almost seems self-evident. Yet however compelling its explanatory framework, were Darwinian evolution not supported by data it would have failed to achieve scientific consensus. Logic is not enough. Confidence in Darwinian evolution rests on the overwhelming support it has received from scientists who have traced gradual changes in the structure of organisms and delineated the adaptive advantages many of the changes conferred. If such transformations were absent, or if they occurred without any evident pattern, or if they bore no relation to the bearer's capacity to survive or reproduce, schoolkids would not be learning Darwinian evolution.
+  Darwin did not specify the biological basis for descent with modification. How do living beings bequeath traits to their offspring? And how do some of those traits descend in modified form? In Darwin's day, the answers were not known. Sure, everyone realized that little Mary looked like mom and dad, but an understanding of the molecular mechanism for passing on traits was still many discoveries away. That Darwin could develop the theory of evolution in the absence of such details speaks to the generality and power of the ideas. They transcend nitty-gritty details. It wasn't until nearly a century later, in 1953, that the illumination of DNA's structure made the path toward a molecular basis for heredity visible. With genteel restraint, Watson and Crick concluded their paper with an understatement ranking among the world's most famous: "It has not escaped our notice that the specific pairing we have postulated immediately suggests a possible copying mechanism for the genetic material."
+
+  Watson and Crick revealed the process by which life duplicates the very molecules that store the cell's internal instructions, allowing copies of the instructions to be passed on to progeny. As we have seen, the information that directs cellular function is encoded in the sequence of bases strung along the rails of DNA's twisted ladder. When a cell prepares to reproduce, to divide in two, the DNA ladder splits down the middle, yielding two rails, each comprising a sequence of bases. Because the sequences are complementary (an A on one rail ensures there's a T in the corresponding position on the second rail; a C on one rail ensures there's a G in the corresponding position on the second rail), each rail provides a template for building a copy of the other. By attaching the partner bases to those on each of the separated rails, the cell creates two complete copies of the original DNA strand. When the cell subsequently divides, each daughter cell receives one of the duplicate copies, passing genetic information from one generation to the next-the copying mechanism that had not escaped the notice of Watson and Crick.
+  As described, the copying process would yield identical strands of DNA. So how might new or modified traits arise in daughter cells? Errors. No process is 100 percent perfect. Although rare, mistakes will crop up, sometimes by chance and other times inflicted by environmental influences such as energetic photons-ultraviolet or X-ray radiation-that can corrupt the copying process. The DNA sequence a daughter cell inherits can thus differ from the one contributed by its parent. Oftentimes, such modifications are of little consequence, like a single typo on page 413 of War and Peace. But some modifications can impact a cell's functioning, for good or ill. The former, by enhancing fitness, stand a better chance of being passed on to subsequent generations and thus spreading through the population.
+  Sexual reproduction adds complexity because genetic material is not simply duplicated but is instead formed by melding contributions from the male and female parents. But while such reproduction represented a momentous step in the history of life on earth-one whose origin is still debated-the Darwinian principles apply all the same. The blending and copying of genetic material yield variations in inherited traits, and the ones most likely to persist across generations are those that enhance the carrier's prospects of survival and reproduction.
+
+  Essential to evolution is that in the descent from parent to progeny, modifications to DNA are typically few in number. This stability protects genetic improvements built up over previous generations, ensuring that they are not rapidly degraded or wiped out. To give a feel for just how rare such changes are, copying errors creep in at the rate of roughly one per every one hundred million DNA base pairs. That's like a medieval scribe getting a single letter wrong per every thirty copies of the Bible. And even that tiny rate is an overestimate, because 99 percent of the misprints are repaired by chemical proofreading mechanisms operating within each cell, reducing the net error rate to about one per every ten billion base pairs.
+  Even such minimal genetic modification, when accumulated over a great many generations, can give rise to massive physical and physiological development. This is not obvious. Some who encounter the wonder of the eye, the capacities of the brain, or the complexity of the cellular energy mechanisms will conclude that these systems could not have evolved without a guiding intelligence. And that conclusion would be justified if evolutionary development took place over familiar timescales. It didn't. Life has evolved for billions of years. That's thousands of millions of years. If each year were represented by a sheet of printer paper, then a billion years would correspond to a stack nearly a hundred kilometers high. Think of those pages as constituting a flip-book whose thickness is more than ten times the height of Mount Everest. Even if the drawing on each page differs only slightly from the one before it, the drawings at the beginning and end of the stack can easily be as different as a chimp is from an amoeba.
+  That is not to suggest that evolutionary change follows a carefully designed plan that gradually and efficiently progresses, page by page, from simple to complex organisms. Instead, evolution by natural selection is better described as innovation by trial and error. The innovations arise from random combinations and mutations of genetic material. The trials pit one innovation against another in the arena of survival. The errors, by definition, are innovations that lose. It is an approach to innovation that would bankrupt most businesses. Trying out one random possibility and then another, hoping against hope that sooner or later one of them lights up the market-well, try pitching that strategy to your board of directors. But nature has a surplus of a resource that for business is scarce: time. Nature is not in a hurry and does not need to meet a bottom line. The cost of innovating by small random changes is a cost nature can bear.30
+
+  An essential factor, too, is that there wasn't a single, isolated evolutionary flip-book. Every cell division in every organism occupying every nook and cranny of the planet contributed to the Darwinian narrative. Some of these story lines fizzled (genetic modifications that were detrimental). Most added nothing new to the ongoing plot (genetic material passed on without change). But some provided unexpected twists (genetic modifications that were adaptively useful) that would develop into their own evolutionary flip-books. Many of these, in fact, would support interdependent plots and subplots, so the evolutionary narrative in one flip-book would be influenced by that in others. The richness of life on earth thus reflects the enormous duration of the evolutionary chronicles, certainly, but also the enormous number of chronicles nature has written.
+  Like any healthy field of research, Darwinian evolution has been debated and refined over the decades. At what rate do species evolve? Does that speed vary widely over time? Are there long periods of stasis followed by short periods of more rapid change? Or is change always gradual? How should we think about traits that might decrease an organism's survival prospects while increasing the likelihood that it will reproduce? What is the full slate of mechanisms by which genes can change from generation to generation? How should we respond to gaps in the evolutionary record? Some of these issues have led to impassioned scientific brawls but-and this is key-none have cast any doubt on evolution itself. Details of any explanatory framework can and should and will be finessed over time, but the foundation of Darwinian theory is rock-solid.
+
+  Which raises a question: Might the Darwinian framework have relevance to a wider arena than life? After all, the essential ingredients-replication, variation, and competition-are not limited to living things. Printers replicate pages. Optical distortions yield variations in the copies. The printer's wireless receiver competes for limited bandwidth. Let's imagine, then, a context closer to life than office printers but one decidedly inanimate: molecules that have acquired the ability to replicate. DNA is a prime example, so keep it in mind. But the replication of DNA-the splitting of its twisted ladder and the subsequent rebuilding of each component rail into two fully fledged DNA daughter molecules-relies on an army of cellular proteins, and so requires the processes of life to already be in place.
+  Imagine instead a molecule that can replicate on its own, long before any life anywhere has emerged. We don't need to commit to a definite replication mechanism, but just so you have a concrete mental image, perhaps when floating in a rich chemical stew this type of molecule acts like a molecular magnet, strongly attracting the very constituents that compose it and providing a template to assemble them into a molecular impersonator. Imagine, too, that the replication process, like all processes in the real world, is imperfect. Much of the time a newly synthesized molecule is identical to the original, but sometimes it's not. Over the course of a great many molecular generations, we thus build up an ecosystem inhabited by a spectrum of molecules that are variations on the original.
+  In any environment there are always limited raw materials, limited resources. So as our ecosystem of molecules continues to replicate, those that replicate most efficiently and accurately-fast, cheap, but far from out of control-will prevail. Such molecules garner the title most "fit" and over time will dominate the molecular population. Each subsequent mutation arising from imperfect replication offers yet further modifications to the molecular fitness. And as with all things alive, so with all things that aren't: those modifications that enhance molecular fitness will triumph over those that don't. The greater fecundity of molecules that are more fit swings the demographics toward those very molecules.
+
+  What I've described is a molecular version of evolution-molecular Darwinism. It shows how groups of jostling particles guided solely by the laws of physics can become ever more adept at reproduction-something we ordinarily associate with life. When we seek life's origin, this suggests that molecular Darwinism may have been an essential mechanism during the era leading up to the emergence of the first life. A version of that suggestion, far from consensus but one that has gained a significant following, relies on a special, multitalented molecule: RNA.
+Toward the Origins of Life
+Back in the 1960s, a number of prominent researchers, including Francis Crick, chemist Leslie Orgel, and biologist Carl Woese, drew attention to a close cousin of DNA, called RNA (ribonucleic acid), which some four billion years ago may have jump-started a phase of molecular Darwinism that was the precursor to life.
+  RNA is an extraordinarily versatile molecule that is an essential component of all living systems. You can think of it as a shorter, one-sided version of DNA, comprising a single rail along which a sequence of bases is attached. Among its various cellular roles, RNA is a chemical mediator that takes imprints of various small sections of an "unzipped" strand of DNA, similar to the way a dentist can take a mold of your teeth when you separate your upper and lower jaws, and transports the information to other parts of the cell, where it directs the synthesis of specific proteins. Like DNA, molecules of RNA thus embody cellular information and so are a component of a cell's software. But there's an important difference between RNA and DNA: whereas DNA is content to be a cell's oracle, a fount of wisdom directing cellular activity, RNA is willing to get its hands dirty with the manual labor of chemical processes. Indeed, the cell's ribosomes-miniature factories that snap together amino acids to yield proteins-have a particular variety of RNA (ribosomal RNA) at their core.
+  RNA is thus both software and hardware. It can direct as well as catalyze chemical reactions. And among such reactions are some that promote the replication of RNA itself. While the molecular machinery that makes copies of DNA uses an elaborate collection of chemical cogs and wheels, RNA itself can promote the synthesis of the base pairs necessary for its own replication. Consider the implication. Molecules of RNA, blending software and hardware, have the potential to sidestep the chicken and egg conundrum: How do you assemble molecular hardware without first having the molecular software, the instructions to carry out the assembling? How do you synthesize molecular software without first having the molecular hardware, the infrastructure to carry out the synthesizing? Embodying both functions, RNA melds chicken and egg, and thus has the capacity to propel an era of molecular Darwinism forward.
+
+  Such is the RNA World proposal. It imagines that before there was life there was a world suffused with RNA molecules, which through molecular Darwinism evolved over an almost unfathomable number of generations into the chemical structures that constituted the first cells. While details are tentative, scientists have sketched what this phase of molecular evolution may have been like. In the 1950s, Nobel laureate Harold Urey and his graduate student Stanley Miller mixed gases (hydrogen, ammonia, methane, water vapor) that they believed constituted earth's early atmosphere, zapped the gaseous cocktails with electric currents to simulate strikes of lightning, and famously announced that the resulting brown sludge contained amino acids, the building blocks of proteins. Although subsequent research showed that the initial gas mixtures Miller and Urey studied did not accurately reflect the chemical makeup of earth's early atmosphere, similar experiments carried out with other gaseous cocktails that did (including a mixture Miller and Urey themselves had concocted to model the toxic fumes from active volcanoes, which, curiously, sat unanalyzed for more than a half century31) were just as successful in generating amino acids. Moreover, amino acids have now been detected in interstellar clouds, in comets, and in meteorites. So, plausibly, a chemical stew on young earth may have blended replicating RNA molecules with a plentiful assortment of amino acids.
+  Imagine, then, that as RNA molecules continued to replicate, a chance mutation facilitated something novel: the mutant RNA coaxed some of the amino acids in the environmental stew to hook up into chains yielding the first rudimentary proteins (a crude version of the kinds of processes that now take place in ribosomes). If, by chance, some of these basic proteins happened to increase the efficiency of RNA replication-after all, catalyzing reactions is, in part, what proteins do-they would be richly rewarded: the proteins would usher the mutant form of RNA to dominance, and the newly plentiful supply of mutant RNA would help synthesize more of the proteins. In tandem, they would constitute a self-reinforcing chemical loop that would propel the chance molecular aberrations to become the norm. Over time, the continued molecular machinations might hit upon another chemical novelty, a double-railed ladder-a rudimentary form of DNA-that proved to be a more stable and more efficient structure for molecular replication, and thus gradually usurped the replication processes and relegated RNA to a supporting role. The chance formation of molecular bags-cell walls-would increase fitness further by concentrating chemicals in sequestered regions and offering protection from environmental disruption. Spreading throughout the chemical population, the structures necessary for the first rudimentary cells would assemble.32
+
+  Life would be born.
+  The RNA World is but one of numerous proposals. It's an example that places a premium on the genetic component of life: molecules that embody information and through replication pass that information on to subsequent generations. Should the proposal prove correct, we would still need to address the origin of RNA itself; perhaps an even earlier stage of molecular evolution might have generated RNA from yet simpler chemical constituents. Other proposals place more weight on the metabolic component of life: molecules that catalyze reactions. Instead of a replicating molecule that can act as a protein, these scenarios begin with protein molecules that can replicate. Yet other proposals envision two wholly distinct developments, one that leads to molecules that replicate and another that leads to molecules that catalyze chemical reactions, and only later do these processes fuse into cells that can carry out the basic functions of reproduction and metabolism.
+  Proposals also abound for where the chemical antecedents to life first formed. Some researchers conclude that Darwin's offhand suggestion of a "warm little pond" is not particularly promising because for hundreds of millions of years rocky debris rained down on earth, rendering the surface less than hospitable.33 Even so, biologist David Deamer has suggested that essential to the origin of life is an environment that cycles between wet and dry, like land at the edge of a pond or lake. His team's research has demonstrated that such wet and dry cycles can propel lipids to form membranes-cell walls-within which molecular snippets can be coaxed to connect into longer chains, akin to RNA and DNA.34 Chemist Graham Cairns-Smith has proposed that the crystals constituting clay beds-structures that grow by continually locking atoms into an orderly, repeating pattern-may have constituted an early system of replication that was a precursor to such behavior in more complex organic molecules en route to life.35 Another compelling contender, suggested and developed by geochemist Mike Russell and biologist Bill Martin, are cracks in the ocean floor that spew out warm, mineral-rich plumes generated by the interaction of seawater with the rock constituting earth's mantle.36 These so-called alkaline hydrothermal vents precipitate limestone chimneys rising up from the seabed-some grow to a height of more than fifty meters, taller than the Statue of Liberty-laden with nooks and crannies through which an energetic flood of chemicals continually streams. The proposal envisions that within the many eddies that form within the towers, molecular Darwinism performs its chemical wizardry, yielding replicators that over time ratchet up in complexity and sophistication, ultimately spawning life on earth.
+
+  The details occupy forefront research. To date, laboratory attempts to recreate these processes are intriguing but inconclusive. We have yet to create life from scratch. I have little doubt that one day, perhaps not far off, we will. In the meantime, an overarching scientific narrative for life's origin is emerging. Once molecules acquire the capacity to replicate, chance errors and mutations will feed molecular Darwinism, driving chemical concoctions along the all-important vector of increased fitness. Playing out over hundreds of millions of years, the process has the capacity to build the chemical architecture of life.
+ 
+The Physics of Information
+By this point you may have concluded that life's molecules must have aced their studies of organic chemistry. Otherwise, how in the world would they know what they are supposed to? How does DNA know to split down the middle and attach complementary bases to the ones it has exposed, creating a duplicate molecule? How does RNA know to make copies of sections of DNA, transport that information to the appropriate cellular structures where yet other distinct but related molecules know how to read the genetic code and link up appropriate sequences of amino acids into functioning proteins?
+  Of course, the molecules don't know anything. Their behavior is governed by the blind, mindless, unschooled laws of physics. But the question remains: How do they consistently and reliably carry out a stunningly intricate series of complex chemical processes? It's a question that harks back to my paraphrasing of Schrödinger's primary query in What Is Life?: The jostling and careening of molecules within a rock are governed by the laws of physics. The jostling and careening of molecules within a rabbit are also governed by the laws of physics. How do they differ? We have now seen that the rabbit's particles are guided by an additional influence-the rabbit's internal archive of information, its cellular software. Importantly, critically, vitally: This information does not supersede the laws of physics. Nothing does. Instead, much as a water slide doesn't supersede the laws of gravity but through its shape guides riders along a specific trajectory they would otherwise not follow, the rabbit's cellular software is carried by chemical arrangements that through their shape, structure, and constituents guide various molecules along trajectories that they, too, would otherwise not follow.
+  How do such molecular guides work? Because of the detailed arrangement of its constituent atoms, a given molecule might attract this amino acid, repel that one, and be thoroughly indifferent toward others. Or, like matched Lego pieces, a given molecule might snap together with only one specific other molecule. All of this is physics. When atoms and molecules push or pull or snap together, it is the electromagnetic force in action. The point, then, is that information in a cell is not abstract. It is not a free-floating set of instructions that molecules need to study, memorize, and execute. Instead, the information is encoded in the molecular arrangements themselves, arrangements that coax other molecules to bump or join or interact in a manner that carries out cellular processes like growth, repair, or reproduction. Even though the molecules inhabiting a cell lack intent or purpose, and even though they are thoroughly oblivious, their physical structure allows them to accomplish highly specialized tasks.
+
+  In this sense, the processes of life are molecular meanderings fully described by physical law that simultaneously tell a higher-level, information-based story. For the rock, there is no higher-level story. When you use the laws of physics to describe the bumping and jostling of the rock's molecules, you're done. But when you use the very same laws of physics to describe the bumping and jostling of rabbit molecules, you are not done. Not by a long shot. Overlaid on the reductionist story is a whole additional story that tells of the rabbit's unique internal molecular arrangements that choreograph an exquisite spectrum of organized molecular motions. And it is these molecular motions which carry out higher-level processes within the rabbit's cells.
+  Indeed, for the rabbit, and for us, too, such biological information is also organized on larger scales, guiding processes that act not just within individual cells but across collections of cells, yielding the hallmark quality of coordinated complexity. When you reach for a cup of coffee, the motion of every atom constituting every molecule in your hand, arm, body, and brain is fully governed by the laws of physics. Again, with gusto: Life does not and cannot contravene physical law. Nothing can. But the fact that a huge number of your molecules can act in concert, coordinating their overall motion to cause your arm to reach out across a table and your hand to clutch a mug, reflects the wealth of biological information, embodied in atomic and molecular arrangements, directing a profusion of complex molecular processes.
+  Life is physics orchestrated.
+ 
+Thermodynamics and Life
+Evolution, per Darwin, guides the development of structures from molecules to single cells to complex multicellular organisms. Entropy, per Boltzmann, charts the unfolding of physical systems, from wafting aromas to clanking heat engines to burning stars. Life is subject to both of these guiding influences: Life arose and was refined via evolution. Life, like all physical systems, abides by the dictates of entropy. In the final couple of chapters of What Is Life?, Schrödinger explored the seeming tension between the two. When matter coalesces into life, it sustains order over long periods of time. And as life reproduces, it generates additional collections of molecules that are also arranged in orderly structures. Where in all of this is entropy, disorder, and the second law of thermodynamics?
+  In his answer, Schrödinger explained that organisms resist the rise to higher entropy by "feeding upon negative entropy,"37 a phrasing that through the decades has generated minor confusion and persnickety criticism. But it's clear that while he expressed it in somewhat different language, Schrödinger's answer is the very one we have been developing: the entropic two-step. Living things are not isolated, and so any accounting of the second law must incorporate their environment. Take me. For more than a half century I've successfully kept my entropy from shooting through the roof. I've done this by taking in orderly structures (mostly vegetables, nuts, and grains), slowly burning them (through redox reactions, electrons from the food cascade down the stadium stairs and ultimately combine with oxygen I have inhaled), using the energy released to power various metabolic activities, and dispensing entropy to the environment through waste and heat. Overall, the two-step has allowed my entropy to seemingly thumb its nose at the second law while the environment has diligently had my back, taking up the entropic slack. The process of burning, storage, and release of energy to power cellular functions is more elaborate than the corresponding process that powers steam engines, but entropically speaking the essential physics is the same.
+
+  Beyond Schrödinger's choice of language, a less fussy concern is the origin of the high-quality, low-entropy nourishment. Heading from animals down the food chain we encounter plants, which feed directly on sunlight. Their energy cycle provides another instance of the entropic two-step. Incoming solar photons absorbed by plant cells kick electrons into higher energy states, which cellular machinery then harnesses (via a series of redox reactions that guide the electrons down the stadium stairs) to power various cellular functions. Photons from the sun are thus the low-entropy, quality nourishment that plants absorb, exploit for the processes of life, and then release in a higher-entropy, degraded form as waste (for each photon received from the sun, the earth sends a less orderly collection of a couple dozen energetically depleted and widely dispersed infrared photons back into space).38
+  Following the trail toward the low-entropy source yet further, we seek the origin of the sun, which dovetails with the gravitational story from chapter 3: gravity squeezes gas clouds into stars, lowering internal entropy and, through heat released, raising the entropy of the surrounding environment. Ultimately, nuclear reactions ignite, stars light up, and photons are sent streaming outward. When that star is the sun, those photons that reach earth are the low-entropy source of energy that powers plant metabolism, making clear why researchers often say that the gravitational force sustains life. While true, by now you know that I like to share the credit more equitably, lauding gravity for causing matter to clump and securing stable stellar environments, but also extolling nuclear fusion for the relentless production of a steady stream of high-quality photons over millions and billions of years.
+  The nuclear force, in tandem with gravity, is a fount of life-giving low-entropy fuel.
+A General Theory of Life?
+In his 1943 lectures, Schrödinger emphasized that the torrent of scientific developments had been so intense that "it has become next to impossible for a single mind fully to command more than a small specialized portion."39 Consequently, he encouraged thinkers to extend the reach of their expertise by exploring realms outside their traditional intellectual stomping ground. With What Is Life? he unabashedly brought the training, intuition, and sensibility of a physicist to bear on the puzzles of biology.
+
+  In the decades since, as knowledge has become increasingly specialized, a growing cohort of researchers has continued to sound Schrödinger's interdisciplinary call. Many have responded. Researchers with training across fields including high-energy physics, statistical mechanics, computer science, information theory, quantum chemistry, molecular biology, and astrobiology, among many others, have developed new and insightful ways of probing the nature of life. I'll close this chapter by focusing on one such development that extends our thermodynamic theme and, if the program succeeds, may one day help answer some of science's most profound questions: Could life be such a long-shot possibility that it arose only once in a universe containing hundreds of billions of galaxies, each with hundreds of billions of stars, many of which have orbiting planets? Or is life the natural outcome, perhaps even the inevitable outcome, of certain basic and relatively common environmental conditions, suggesting a cosmos teeming with life?
+  To approach questions of such broad sweep we need principles with comparable sweep. By now, we've seen ample evidence of the expansive applicability of thermodynamics, a physical theory Einstein described as the only one for which he could confidently declare "it will never be overthrown."40 Perhaps in analyzing the nature of life-its origin and evolution-we can push the thermodynamic perspective yet further.
+  Over the past few decades, scientists have done just that. The research discipline that has emerged (called nonequilibrium thermodynamics) systematically analyzes the kinds of situations we have now encountered repeatedly: high-quality energy coursing through a system, powering the entropic two-step and thus allowing the system to resist the pull toward internal disorder that would otherwise hold sway. Belgian physical chemist Ilya Prigogine, who was awarded the 1977 Nobel Prize for his pioneering work in the field, developed the mathematics for analyzing configurations of matter that, when subject to a continual source of energy, can spontaneously become ordered-what Prigogine called "order out of chaos." If you had a good high school physics class, you may have encountered a simple yet impressive example, Bénard cells. Heat a flat dish containing a puddle of viscous oil. At first not much happens. But as you gradually increase the energy streaming through the liquid, random molecular motions conspire to yield visible order. Looking down on the oil, you will see it tessellate into a collection of small hexagonal chambers. Looking from the side, you will see the liquid flowing in a stable and regular pattern, rising from the bottom of each hexagonal chamber, reaching the top, and then looping back to the chamber's bottom.
+
+  From the standpoint of the second law of thermodynamics, such spontaneous order is wholly unexpected. It arises because the liquid's molecules are subject to a particular environmental influence: they are continually heated by the flame. And this persistent injection of energy has significant impact. In any system there will occasionally be spontaneous fluctuations that momentarily form a small, localized, orderly pattern. Usually such tiny fluctuations quickly disperse back into a disordered form. But Prigogine's analysis showed that when molecules are in certain special patterns they become exceptionally adept at absorbing energy, and this dictates a different fate. If the physical system is receiving a steady flow of concentrated energy from the environment, the special molecular patterns can use the energy to sustain or even enhance their orderly form, while dumping a degraded form of that energy (less accessible, more spread out) back into the environment. The orderly patterns are said to dissipate the energy and hence are called dissipative structures. Total entropy, including environmental, increases, but by steadily pumping energy into a system we can drive and maintain order via a sustained entropic two-step.
+  Prigogine's description parallels the physical explanation, going back to Schrödinger, for how organisms stave off entropic degradation. Not that Bénard cells are alive, but living beings are dissipative structures, too, absorbing energy from the environment, using it to sustain or enhance their orderly form, and releasing a degraded form of that energy back to the environment. Prigogine's results provided a mathematically precise articulation of his slogan "order from chaos"; many subsequent researchers speculated that the math might be developed further, perhaps yielding insight on how the orderly molecules necessary for life emerged from the chaos of random molecular motions taking place on early earth.
+
+  Of the many contributions to this program, recent work by Jeremy England (extending earlier results developed by researchers including Christopher Jarzynski and Gavin Crooks) is particularly exciting.41 Through clever mathematical manipulations, England has teased out the implications of the second law of thermodynamics when it is applied to systems powered by an external source of energy. To get a feel for his result, imagine you are on a playground swing. As every kid knows intuitively, you need to pump your legs (and angle your body) at the right rate to get the swing going and maintain a smooth, rhythmic motion. And that rate, according to basic physics, depends on the distance between the seat and the swing's pivot. If you pump your legs at the wrong rate, the rhythmic mismatch prevents the swing from efficiently absorbing the energy you are providing, and so you won't swing high. Imagine, however, that this particular swing has an unusual feature: as you pump your legs, the length of the swing changes, adjusting the period of its motion to agree with that of your legs. This "adaptation" allows the swing to rapidly get into the groove, take in the energy you offer, and quickly reach a satisfying height on each cycle. Subsequently, the energy of your pumping action is absorbed by the swing, but it doesn't drive the swing any higher. Instead, the energy you input keeps the swing's motion steady by working against countervailing frictional forces and, in the process, producing waste (heat, sound, and so on) that is dissipated back to the environment (assuming you're not a daredevil like my daughter, who awaits the swing's high point to fly from the seat, soar, and then dissipate energy by tumbling on the ground).
+  England's mathematical analysis revealed that in the molecular domain, particles that are being "pushed" by an external source of energy can have an experience analogous to your playground escapade. An initially disordered collection of particles can adapt their configuration to "get in the groove"-to form an arrangement that more efficiently absorbs energy from the environment, uses it to maintain or enhance orderly internal motion or structure, and then dissipates a degraded form of that energy back to the environment.
+
+  England calls the process dissipative adaptation. Potentially, it provides a universal mechanism for coaxing certain molecular systems to get up and dance the entropic two-step. And as that's what living things do for a living-they take in high-quality energy, use it, and then return low-quality energy in the form of heat and other wastes-perhaps dissipative adaptation was essential to the origin of life.42 England notes that replication itself is a potent tool of dissipative adaptation: if a small collection of particles has become adept at absorbing, using, and dispensing energy, then two such collections are better still, as are four or eight, and so on. Molecules that can replicate might then be an expected output of dissipative adaptation. And once replicating molecules appear on the scene, molecular Darwinism can kick in, and the drive to life begins.
+  These ideas are in their early stages, yet I can't help but think they would have made Schrödinger happy. Using fundamental physical principles, we have developed an understanding of the big bang, the formation of stars and planets, the synthesis of complex atoms, and now we are determining how those atoms might arrange into replicating molecules well adapted for extracting energy from the environment to build and sustain orderly forms. With the power of molecular Darwinism to select for ever-fitter molecular collections, we can envision how some might acquire the capacity to store and transmit information. An instruction manual passed from one molecular generation to the next, which preserves battle-tested fitness strategies, is a potent force for molecular dominance. Acting out over hundreds of millions of years, these processes may have gradually sculpted the first life.
+  Whether or not the details of these ideas survive future discoveries, the outline of life's story according to physics is taking shape. And if that story proves to be as general as recent work suggests, life might well be a common feature of the cosmos. Exciting as this would be, life is one thing and intelligent life quite another. Finding microbes on Mars or on Jupiter's moon Europa would be a monumental discovery. But as thinking, conversing, creative beings, we would still be alone.
+
+  What, then, is the path from life to consciousness?
+
+ 
+ 
+5
+PARTICLES AND CONSCIOUSNESS
+From Life to Mind
+Somewhere between the first prokaryotic cells four billion years ago and the human brain's ninety billion neurons entangled in a network of one hundred trillion synaptic connections, the ability emerged to think and feel, to love and hate, to fear and yearn, to sacrifice and revere, to imagine and create-newfound capacities that would ignite spectacular achievement as well as untold destruction. "Everything begins with consciousness and nothing is worth anything except through it,"1 is how Albert Camus put it. Yet, until recent years, consciousness was an unwelcome word in the hard sciences. Sure, doddering researchers in the twilight of their careers might be forgiven for turning to the fringe topic of mind, but the goal of mainstream scientific research is an understanding of objective reality. And for many, and for a long time, consciousness didn't qualify. The voice chattering inside your head, well, it can be heard only inside your head.
+  It is an ironic stance. Descartes's "Cogito, ergo sum" summarizes our contact with reality. All else could be an illusion, but thinking is the one thing even the die-hard skeptic can be sure of. And notwithstanding Ambrose Bierce's "I think that I think, therefore I think that I am,"2 if you are thinking, the case for existing is strong. For science to pay no mind to consciousness would be to turn from the very thing, the only thing, we each can count on. Indeed, for thousands of years many have denied the finality of death by hanging existential hope on consciousness. The body dies. That's apparent, obvious, undeniable. But our seemingly persistent inner voice, as well as the abundant thoughts, sensations, and emotions filling each of our subjective worlds, speaks to an ethereal presence that, some have imagined, stands outside the base facts of physical existence. Atman, anima, immortal soul-it has been given many names, but all connote the belief that the conscious self taps into something that outlasts the physical form, something that transcends traditional mechanistic science. Not only is mind our tether to reality, perhaps it is our tether to eternity.
+
+  Therein lies a more revealing clue for why the hard sciences have long resisted all things consciousness. Science reacts to talk of realms beyond the reach of physical law with an exasperated grimace, a turning on its heels, and a swift return to the lab. Such scoffing represents a dominant scientific attitude but also highlights a critical gap in the scientific narrative. We have yet to articulate a robust scientific explanation of conscious experience. We lack a conclusive account of how consciousness manifests a private world of sights and sounds and sensations. We cannot yet respond, or at least not with full force, to assertions that consciousness stands outside conventional science. The gap is unlikely to be filled anytime soon. Most everyone who has thought about thinking realizes that cracking consciousness, explaining our inner worlds in purely scientific terms, poses one of our most formidable challenges.
+  Isaac Newton ignited modern science by finding patterns in the parts of reality accessible to human senses and codifying them in his laws of motion. In the centuries since, we've recognized that pressing on from Newton requires blazing three distinct trails: We need to understand reality on scales far smaller than Newton considered, a path that has taken us to quantum physics, which has explained the behavior of fundamental particles and, among much else, the biochemical processes underlying life. We need to understand reality on scales far larger than Newton considered, a path that has taken us to general relativity, which has explained gravity and, among much else, the formation of stars and planets essential for the emergence of life. And for the third frontier, most labyrinthine of all, we need to understand reality on scales far more complex than Newton considered, a path we anticipate leading to an explanation of how large collections of particles can coalesce to yield life and generate mind.
+
+  By training his intellectual might on highly simplified problems-ignoring, for example, the churning internal structures of the sun and planets and treating each instead as a solid ball-Newton did the right thing. The art of science, of which Newton was the master, lies in making judicious simplifications that render problems tractable while retaining enough of their essence to ensure that the conclusions drawn are relevant. The challenge is that simplifications effective for one class of problems can be less so for others. Model the planets as solid balls and you can work out their trajectories with ease and precision. Model your head as a solid ball and the insights into the nature of mind will be less enlightening. But to jettison unproductive approximations and lay bare the inner workings of a system containing as many particles as the brain-a laudable goal-would require mastering a level of complexity fantastically beyond the reach of today's most sophisticated mathematical and computational methods.
+  What's changed in recent years is newfound access to observable and measurable features of brain activity that, at the very least, access processes that reliably accompany conscious experience. When researchers can use functional magnetic resonance imaging to meticulously track blood flow supporting neural activity, or insert deep brain probes to detect electrical impulses firing along individual neurons, or use electroencephalograms to monitor electromagnetic waves rippling across the brain, and when the data reveal clear patterns that mirror both observed behavior and reports of inner experience, the case for approaching consciousness as a physical phenomenon strengthens substantially. Indeed, encouraged by these impressive advances, daring researchers have deemed the time ripe to develop a scientific basis for conscious experience.
+Consciousness and Storytelling
+Some years ago, during a good-natured but heated exchange on the role of mathematics in describing the universe, I emphatically told a late-night television host that he was nothing but a bag of particles governed by the laws of physics. Not as a joke, although without missing a beat he turned it into one. ("Hey, that's a great pickup line.") And not as a jibe, for in this regard, whatever holds true for him applies equally to me. Instead, the remark sprang from my deep-seated reductionist commitment, which holds the view that by fully grasping the behavior of the universe's fundamental ingredients we tell a rigorous and self-contained story of reality. We don't have a finished draft of this story in hand since a great many problems at the forefront of research remain unsolved, some of which we'll encounter shortly. Nonetheless, I can envision a future when scientists will be able to provide a mathematically complete articulation of the fundamental microphysical processes underlying anything that happens, anywhere and anywhen.
+
+  There is something comforting in this prospect, something that gracefully resonates with a twenty-five-hundred-year-old sentiment of Democritus, "Sweet is sweet, bitter is bitter, hot is hot, cold is cold, color is color; but in truth there are only atoms and the void."3 The point being that everything emerges from the same collection of ingredients governed by the same physical principles. And those principles, as attested to by a few hundred years of observation, experimentation, and theorizing, will likely be expressed by a handful of symbols arranged in a small collection of mathematical equations. That is an elegant universe.4
+  As powerful as such a description would be, it would remain but one among many stories we tell. We have the capacity to shift focus, to reset resolution, to engage with the world in a wide variety of ways. While a complete reductionist description would provide a scientific bedrock, other descriptions of reality, other stories, provide insights that many deem more relevant because they are closer to experience. Telling some of these stories, as we've already seen, requires new concepts and language. Entropy helps us tell the story of randomness and organization within large collections of particles, whether they're wafting from your oven or coalescing into stars. Evolution helps us tell the story of chance and selection as collections of molecules-living or not-replicate, mutate, and gradually become better adapted to their environment.
+
+  A story many deem more relevant still focuses on consciousness. To embrace thoughts, emotions, and memories is to embrace the core of human experience. It is also a story that requires a perspective qualitatively different from any we have taken so far. Entropy, evolution, and life can all be studied "out there." We can fully tell their stories as third-person accounts. We are witnesses to these stories and, if we are sufficiently diligent, our account can be exhaustive. These stories are inscribed in open books.
+  A story that encompasses consciousness is different. A story that penetrates into the inner sensations of sight or sound, of elation or grief, of comfort or pain, of ease or anxiety, is a story that relies on a first-person account. It is a story informed by an inner voice of awareness speaking from a personal script each one of us seemingly authors. Not only do I experience a subjective world, but I have a palpable sense that from within that world I control my actions. No doubt, when it comes to your actions you have a similar sense. Laws of physics be damned; I think, therefore I control. Understanding the universe at the level of consciousness requires a story that can grapple with an utterly personal and seemingly autonomous subjective reality.
+  To illuminate conscious awareness we thus encounter two distinct but related challenges. Can matter, on its own, produce the sensations infusing conscious awareness? Can our conscious sense of autonomy be nothing more than the laws of physics acting themselves out on the matter constituting brain and body? To these questions, Descartes answered with a definitive no. In his view, the manifest difference between matter and mind reflects a deep division. The universe has physical stuff. The universe has mind stuff. Physical stuff can affect mind stuff and mind stuff can affect physical stuff. But the two kinds of stuff are different. In modern language, atoms and molecules are not the stuff of thought.
+  Descartes's stance is alluring. I can attest that tables and chairs, cats and dogs, grass and trees are different from the thoughts inside my head, and I suspect you would confirm a similar sentiment. Why would the particles that constitute the tangible elements of external reality and the physical laws that govern them have any relevance for explaining my inner world of conscious experience? Perhaps, then, we should expect an understanding of consciousness to not merely be a higher-level story, to not merely be a story that shifts its gaze from outward to inward, but to be a fundamentally different kind of story, one that requires a conceptual revolution on par with those of quantum physics and relativity.
+
+  I'm all for intellectual revolutions. There is nothing more exciting than a discovery that turns the accepted worldview on its head. And in what follows, we will discuss upheavals that some consciousness researchers envision to be heading our way. But for reasons that will become clear, I suspect that consciousness is less mysterious than it feels. Resonating with my late-night TV exclamation and, more importantly, with a segment of researchers who've devoted their professional lives to these questions, I anticipate that we will one day explain consciousness with nothing more than a conventional understanding of the particles constituting matter and the physical laws that govern them. That would yield its own variety of revolution, establishing a virtually unlimited hegemony for physical law, reaching arbitrarily far into the outer world of objective reality and arbitrarily deep into the inner world of subjective experience.
+In the Shadows
+Not all brain function commands the reverence accorded consciousness. Much neurological activity is orchestrated beneath the surface of conscious awareness. As you watch a sunset, your brain rapidly processes the data carried by trillions of photons striking photoreceptors in your retinas each second, diligently interpolating the image to account for your blind spots (where, in each eye, your optic nerve connects to the retina, carrying data to your brain's lateral geniculate nucleus and on to the visual cortex), continually compensating for the shifting of your eyes and movement of your head, correcting for photons blocked or scattered by ocular irregularities, flipping each image right side up, fusing the parts of each image common to both eyes, and so on, and yet as you quietly contemplate the sun's final rays, you are completely unaware of all that is happening just behind your eyes. A similar description holds as you read these words. The architecture of awareness allows you to focus on the conceptual ideas the words symbolize, relegating massive visual and linguistic data processing to brain functions that go unnoticed. More innate still, day in and day out, you walk, you talk, your heart beats, your blood flows, your stomach digests, your muscles flex, and on and on, and it all happens without the need for you to pay the slightest attention.
+
+  That the brain is awash with influential processes escaping introspection is a premise with a long history, one that has been expressed in myriad forms. Vedic texts written three thousand years ago invoke a notion of the unconscious, and references continue across the centuries as penetrating thinkers have surmised flavors of mental qualities unavailable to the palate of conscious awareness: Saint Augustine ("The mind is not large enough to contain itself: but where can that part of it be which it does not contain?"5), Thomas Aquinas ("The mind does not see itself through its essence"6), William Shakespeare ("Go to your bosom, / Knock there, and ask your heart what it doth know"7), Gottfried Leibniz ("Music is the hidden arithmetical exercise of a mind unconscious that it is calculating"8). Intriguing too are processes that seem to reside below the radar and yet generate echoes accessible to conscious processing. Stories abound, for example, of the unconscious mind solving problems and delivering the solutions unbidden. One of the most colorful comes from German pharmacologist Otto Loewi, who during the night before Easter Sunday 1921 briefly awoke and scribbled down an idea that had just come to him in a dream. In the morning, Loewi had an overwhelming sense that the nocturnal note contained a vital insight, but however hard he tried he was unable to decipher it. The next night he had the same dream, but this time he immediately went to the lab and followed the dream's directive to carry out an experiment testing his long-standing hypothesis that chemical processes, not electrical, are central to cellular communication. By Monday, the dream-inspired experiment was done, and its success would ultimately lead to Loewi's winning the Nobel Prize.9
+  Popular culture tends to entwine the subterranean workings of the mind with the contributions of Sigmund Freud (notwithstanding a cadre of scientists that years earlier had pursued related ideas10) and the churning undercurrents of repressed memories, desires, conflicts, phobias, and complexes that he conceived as buffeting human behavior to and fro. The weighty difference in modern times is that speculations, hunches, and intuitions regarding the life of the mind now confront data that were previously unavailable. Researchers have developed clever ways to peek over the mind's shoulder and track brain activity lying beneath the level of conscious awareness.
+
+  Some of the most striking studies involve patients who have lost some degree of neurological function. A well-known case, involving a subject known as P.S. who sustained right cerebral damage, was documented in the late 1980s by Peter Halligan and John Marshall.11 As anticipated with this type of impairment, P.S. would fail to report details on the far left side of any image she was shown. She claimed, for instance, that two dark green line drawings of a house were identical even though the left side of one of the houses was being consumed by a raging red fire. Yet, when asked which of the two houses she'd prefer to call home, P.S. consistently chose the house that was not burning. The researchers argued that although P.S. was unable to acquire conscious awareness of the blaze, the information had entered covertly and was influencing her decision from behind the scenes.
+  Healthy brains, too, reveal their own dependence on hidden influences. Psychologists have established that even if you are paying close attention, an image flashed on-screen for less than about forty milliseconds (and sandwiched between somewhat longer flashes of other images known as masks) will fail to enter your conscious awareness. Nevertheless, such subliminal images can influence conscious decisions. The famous claim of an uptick in soft drink consumption caused by subliminal frames of "Drink Coke" being flashed in movie theaters is an urban myth propagated in the late 1950s by a struggling market researcher.12 But clever laboratory studies have provided compelling evidence for specific types of clandestine mental processes.13 For example, imagine facing a screen on which numbers, each between 1 and 9, are flashed and your task is to rapidly classify each as either larger or smaller than 5. Your reaction times will be faster when a given number is preceded by a subliminal flash of a digit lying on the same side of 5 as the given number (for example, when a 4 is preceded by a subliminal 3). Conversely, your reaction times will be slower when a given number is preceded by a subliminal flash of a digit lying on the opposite side of 5 as the given number (for example, when a 4 is preceded by a subliminal 7).14 Even though you are not consciously aware of the fleeting numerical cameos, they've whisked across your brain and impacted your response.
+
+  The upshot is that your brain surreptitiously coordinates a regulatory, a functional, and a data-mining marvel. Wondrous though these brain activities are, they do not constitute a conceptual mystery. The brain rapidly sends and receives signals along nerve fibers, allowing it to control biological processes and generate behavioral responses. To delineate the precise neural pathways and physiological details underlying such functions and behaviors, scientists face the daunting task of mapping out vast territories dense with complex biological circuitry at a level of precision well beyond what has so far been achieved. Still, everything we're learning suggests that however challenging, however vast the reserves of creativity and diligence required, there is every reason to believe that the familiar strategies of science will prevail.
+  And were it not for one pesky quality of mind, that would be that. But when we look beyond the mind's tasks and consider instead the mind's sensations-the inner experience we identify as the essence of being human-some researchers have reached a different and far less optimistic prognosis for the capacity of traditional science to provide insight. This takes us to what some call the "hard problem" of consciousness.
+The Hard Problem
+In a letter to Henry Oldenburg, one of the most prolific correspondents during the formative years of modern science, Isaac Newton noted, "To determine more absolutely, what Light is...and by what modes or actions it produceth in our minds the Phantasms of Colours, is not so easie. And I shall not mingle conjectures with certainties."15 Newton was struggling to explain the most common of experiences: the inner sensation of one or another color. Consider a banana. It's no big deal, of course, to look at a banana and determine that it's yellow. If you have the right app, your phone can do it. But as far as we know, when your phone reports that the banana is yellow, the phone does not have an inner feeling of yellow. It does not have an inner sensation of yellow. It does not see yellow in its mind's eye. You do. So do I. As did Newton. His predicament was to understand how in the world we do this.
+
+  The predicament is relevant well beyond mental "phantasms" of yellow or blue or green. As I type these words, snacking on popcorn, music playing softly in the background, I feel a range of inner experiences: pressure on my fingertips, a salty aftertaste, the magnificent voices of Pentatonix, a mental monologue negotiating the next phrase in this sentence. Your inner world is taking in these words, perhaps hearing them spoken by your mind's inner voice, while perhaps also feeling distracted by that last piece of chocolate pie in the refrigerator. The point is that our minds host a range of inner sensations-thoughts, emotions, memories, images, desires, sounds, smells, and more-that are all part of what we mean by consciousness.16 As with Newton and the banana, the challenge is to determine how our brains create and sustain these vibrant worlds of subjective experience.
+  To take in the full depth of the puzzle, imagine you are endowed with superhuman vision allowing you to peer into my brain and see every one of its roughly thousand trillion trillion particles-electrons, protons, and neutrons-bumping and jostling, attracting and repelling, flowing and scattering.17 Unlike the large collections of drifting particles from baking bread or those coalescing into a star, the particles constituting a brain are arranged in a highly organized pattern. Even so, focus in on any one such particle and you'll find that it interacts with others via the very same forces described by the very same mathematics whether that particle is floating in your kitchen, in the corona of the North Star, or inside my prefrontal cortex. And within that mathematical description, affirmed by decades of data from particle colliders and powerful telescopes, there is nothing that even hints at the inner experiences those particles somehow generate. How can a collection of mindless, thoughtless, emotionless particles come together and yield inner sensations of color or sound, of elation or wonder, of confusion or surprise? Particles can have mass, electric charge, and a handful of other similar features (nuclear charges, which are more exotic versions of electric charge), but all these qualities seem completely disconnected from anything remotely like subjective experience. How then does a whirl of particles inside a head-which is all that a brain is-create impressions, sensations, and feelings?
+
+  Philosopher Thomas Nagel gave an iconic and particularly evocative account of the explanatory gap.18 What's it like, he asked, to be a bat? Picture it: Aloft on a bed of air as you soar across a dark landscape, you cry out with an incessant patter of clicks, generating echoes from trees, rocks, and insects, which allow you to map the environment. From the reflected sound you realize a mosquito is up ahead and darting to the right, so you swoop in and enjoy a tiny morsel. Since our mode of engagement with the world is profoundly different, there is just so far our imagination can take us into the bat's inner world. Even if we had a complete accounting of all the underlying fundamental physics, chemistry, and biology that make a bat a bat, our description would still seem unable to get at the bat's subjective "first-person" experience. However detailed our material understanding, the inner world of the bat seems beyond reach.
+  What's true for the bat is true for each of us. You are a swarm of interacting particles. So am I. And while I understand how your particles can result in your report of having seen the color yellow-the particles in your vocal tract, mouth, and lips need only choreograph their motions to yield that external behavior-I have a much harder time understanding how the particles provide you with the subjective inner experience of yellow. While I understand how your particles can cause you to smile or frown-again, the particles just need to appropriately choreograph their motions-I am at a loss to understand how the particles yield an inner sensation of happiness or sadness. Indeed, although I have direct access to my own inner world, I am similarly at a loss to understand how that world emerges from the motion and interaction of my own particles.
+  I would be stymied too, of course, in trying to explain many other things in staunchly reductionist terms, from Pacific typhoons to raging volcanoes. But the challenge presented by these happenings, and a world chock-full of examples like them, is solely that of describing the complex dynamics of a fantastically large number of particles. If we could surmount that technical hurdle, we would be done.19 And that's because there is no inner sensation for "what it is like to be" a typhoon or a volcano. Typhoons and volcanoes, as far as we know, don't have subjective worlds of inner experience. We aren't missing first-person accounts. But for anything conscious, that is precisely what our objective third-party description lacks.
+
+  In 1994 David Chalmers, a young Australian philosopher, hair flowing past his shoulders, took the stage at the annual consciousness conference in Tucson and described this deficit as the "hard problem" of consciousness. Not that the "easy" problem-understanding the mechanics of brain processes and their role in imprinting memories, responding to stimuli, and molding behavior-is easy. It's just that we can envision what the shape of a solution to those sorts of problems would look like; we can articulate an in-principle approach at the level of particles or more complex structures like cells and nerves, which seems coherent. The challenge to envision such a solution for consciousness motivated Chalmers's assessment. He argued that not only are we lacking a bridge from mindless particles to mindful experience, if we try to build one using a reductionist blueprint-making use of the particles and laws that constitute the fundamental basis of science as we know it-we will fail.
+  The assessment struck a chord-consonant for some, dissonant for others-which has been echoing across consciousness research ever since.
+Something About Mary
+It is easy to be flippant about the hard problem. In the past, my own response may have seemed so. When asked, I would often say that conscious experience is merely what it feels like when a certain kind of information processing takes place in the brain. But because the core issue is to explain how there can be a "what it feels like" at all, the response too quickly dismisses the hard problem as not being hard and not even being a problem. More charitably, it is a response that sides with a widely held view that thinks too much is made of thought. While some hard-problem aficionados argue that to understand consciousness we will need to introduce concepts from outside conventional science, others-so-called physicalists-anticipate that cleverly construed and creatively applied, traditional scientific methods, solely invoking physical properties of matter, will be up to the task. The physicalist perspective does indeed summarize my own long-held view.
+
+  Yet over the years as I have thought about the question of consciousness more carefully, I have had significant moments of doubt. The most startling came when I encountered an influential argument that philosopher Frank Jackson put forward a decade before the hard problem had been labeled hard.20 Jackson tells a simple story that, gently dramatized, goes like this. Imagine that in the far future there is a brilliant girl, Mary, who is profoundly color-blind. Since birth, everything in her world has appeared solely in black and white. Her condition baffles the most renowned doctors, and so Mary decides that it will be up to her to figure it out. Driven by the dream of curing her deficit, Mary undertakes years of intensive study, observation, and experiment. And through it all, Mary becomes the greatest neuroscientist the world has ever known, reaching a goal that has long eluded humankind: she fully unravels every last detail about the structure, function, physiology, chemistry, biology, and physics of the brain. She masters absolutely everything there is to know about the brain's workings, both its global organization and its microphysical processes. She understands all the neural firings and particle cascades that happen when we marvel at a rich blue sky, enjoy a succulent plum, or lose ourselves in Brahms's Third Symphony.
+  With this achievement Mary is able to identify the cure for her visual impairment, and she undergoes the surgical procedure to correct it. Months later the doctors are ready to remove the bandages, and Mary prepares to take in the world anew. Standing in front of a bouquet of red roses, Mary slowly opens her eyes. Here's the question: From this first experience of the color red, will Mary learn anything new? By finally having the inner experience of color, will she acquire new understanding?
+
+  Playing this story out in your mind, it seems dead obvious that the very first time Mary experiences the inner sensation of red she'll be overwhelmed. Surprised? Yes. Thrilled? Of course. Touched? Deeply. It seems self-evident that this first direct experience of color will expand her understanding of human perception and the inner response it can generate. From this commonly held intuition, Jackson then encourages us to consider the implication. Mary had mastered everything there is to know about the physical workings of the brain. And yet, through this one encounter, she has apparently expanded that knowledge. She has gained knowledge of the conscious experience accompanying the brain's response to the color red. The conclusion? Complete knowledge of the brain's physical workings leaves something out. It fails to expose or explain subjective sensations. Had such physical knowledge been all-encompassing, Mary would have taken off the bandages and shrugged.
+  When I first read this account, I felt a sudden kinship with Mary, as if I had also undergone a corrective surgery that opened a previously obscured window on the nature of consciousness. My offhand confidence that physical processes in the brain are consciousness, that consciousness is the sensation of such processes, was suddenly shaken. Mary possessed all possible knowledge of all the brain's physical processes and yet from the scenario it seems clear that such understanding is incomplete. This suggests that when it comes to conscious experience, physical processes are part of the story but not the full story. When Jackson's paper first appeared, long before I encountered it, experts too were roused, and in the decades that followed Mary has sparked much response.
+  Philosopher Daniel Dennett asks us to really consider the implication of Mary's exhaustive knowledge of the physical facts. His point is that the concept of complete physical understanding is so utterly foreign that we grossly underestimate the explanatory power it would provide. With such an all-encompassing grasp, from the physics of light to the biochemistry of eyes to the neuroscience of the brain, Dennett argues that Mary would be able to discern the inner sensation of red long before experiencing it.21 Remove the bandages and Mary may respond to the beauty of the red roses, but seeing their red color will simply confirm her expectations. Philosophers David Lewis22 and Laurence Nemirow23 take a different tack, arguing that Mary acquires a new ability-to identify, remember, and imagine the inner experience of red-but that does not constitute a new fact that stands outside her previous mastery. Upon removing the bandages, Mary may not shrug, but the "wow" she may utter speaks solely to her delight at a new way of cogitating on old knowledge. Even Jackson himself now argues against his original conclusion, having undergone a change of heart after years of contemplating Mary. We are so accustomed to learning things about the world through direct experience, like grasping how it feels to sense red by seeing red, that we tacitly assume these experiences provide the only means for acquiring such knowledge. According to Jackson, that's unjustified. While Mary's learning process would be unfamiliar, invoking deductive reasoning when more ordinary folk rely on direct experience, her complete command of the physical knowledge would allow her to determine what it is like to see red.24
+
+  Who is right? The original Jackson and the followers of his first foray? Or the later Jackson and all those who are convinced that upon seeing the roses Mary doesn't learn anything new?
+  The stakes are high. If consciousness can be explained by facts about the world's physical forces acting on its material constituents, our charge will be to determine how. If not, our charge will be more sweeping. We will need to determine the new concepts and processes that understanding consciousness requires, a journey that almost certainly will take us well beyond the current bounds of science.
+  Historically, we have navigated with confidence through the choppy waters of human intuition by identifying testable consequences of conflicting viewpoints. As yet, no one has proposed an experiment or an observation or a calculation that can definitively settle the question raised by Mary's story or, more ambitiously, reveal the source of inner experience. For the most part, the considerations we have for adjudicating among those perspectives that pass basic muster are plausibility and intuitive appeal, flexible measures that, as we will see, have allowed for a diverse collection of viewpoints.
+ 
+A Tale of Two Tales
+Strategies for explaining consciousness fan out across an impressive terrain of ideas. At the extremes are positions that either dismiss consciousness as an illusion (eliminativism) or declare that consciousness is the only quality of the world that is real (idealism). In between, we encounter a spectrum of proposals. Some operate within the confines of traditional scientific thought, others slip between the cracks of current scientific understanding, and others still augment the qualities we have long held to define reality at its most fundamental level. Two short tales provide these proposals with historical context.
+  Had you overheard discussions in biological circles during the eighteenth and nineteenth centuries, you would be familiar with vitalism. It was a concept addressing what one might have called the "hard problem" of life: Since the world's fundamental ingredients are inanimate, how can collections of such ingredients possibly be alive? Vitalism's answer, stark and direct, was that such collections cannot be alive. At least not on their own. Vitalism proposed that the missing ingredient is a nonphysical spark or life force that endows inanimate matter with the magic of life.
+  Had you moved in particular physics circles during the nineteenth century, you would have heard excited talk of electricity and magnetism as Michael Faraday and others delved ever more deeply into this increasingly intriguing realm. One perspective you would have encountered argued that these novel phenomena could be explained within the standard mechanistic approach of science handed down by Isaac Newton. Finding the clever combination of flowing fluids and miniature cogs and wheels responsible for the new phenomena might be a challenge, but the basis for understanding was already in hand. Because of the anticipated adequacy of conventional scientific reasoning, one might have called this the "easy problem" of electricity and magnetism.
+
+  History has revealed that the expectations described in each of these tales were misguided. With two centuries of hindsight, the near-mystical enigma that life once conjured has diminished. Although we still lack a complete understanding of life's origin, there is nearly universal scientific consensus that no magical spark is required. Particles configured into a hierarchy of structures-atoms, molecules, organelles, cells, tissues, and so on-are all that's necessary. The evidence strongly favors the existing framework of physics, chemistry, and biology as being fully sufficient for explaining life. The hard problem of life, while surely difficult, has been reclassified as easy.
+  For electricity and magnetism, data collected from careful experiments demanded that scientists go beyond the features of physical reality that were on the books prior to the 1800s. The existing understanding gave way to a wholly new physical quality of matter (electric charge) responding to a wholly new type of influence (space-filling electric and magnetic fields) described by a wholly new set of equations (twenty such equations in the initial formulation) developed by James Clerk Maxwell. Although solved, the "easy" problem of electricity and magnetism turned out to be hard.25
+  Many researchers envision that vitalism's tale will be recapitulated with consciousness: as we gain an ever-deeper understanding of the brain, the hard problem of consciousness will slowly evaporate. Although currently mysterious, inner experience will gradually be seen as a direct consequence of the brain's physiological activities. What we are missing is a full command of the brain's inner workings, not a new variety of mind-stuff. One day, according to this physicalist perspective, folks will smile as they think back on how we once invested consciousness with such impassioned but unwarranted mystery.
+  Others envision that electromagnetism's tale provides the relevant model for consciousness. When your understanding of the world confronts puzzling facts, you naturally try to incorporate them within the existing scientific framework. But some facts may not fit existing templates. Some facts may reveal new qualities of reality. Consciousness, according to this camp, abounds with facts of just this sort. If this perspective proves right, understanding subjective experience will require a substantial reconfiguration of the intellectual playing field, with the potential of profound ramifications that may have impact well beyond questions of mind.
+
+  One of the most radical of such proposals comes from David Chalmers, Mr. Hard Problem himself.
+Theories of Everything
+Chalmers, convinced that conscious awareness cannot emerge from a swirl of mindless particles, encourages us to take the tale of electromagnetism to heart. Much as nineteenth-century physicists bravely faced the futility of cobbling together strained explanations of electromagnetic phenomena using the conventional science of the time, we need the same courage in recognizing that to demystify consciousness we must look beyond known physical qualities.
+  But how? One possibility, simple and bold, is that individual particles themselves are endowed with an innate attribute of consciousness-call it proto-consciousness to avoid imagery of elated electrons or cranky quarks-that cannot be described in terms of anything more fundamental. That is, our description of reality must widen to include an intrinsic and irreducible subjective quality that is infused in nature's elementary material ingredients. And it is this quality of matter that we have long overlooked, which is why we've so far failed to explain the physical basis of conscious experience. How can a swirl of mindless particles create mind? They can't. To create a conscious mind you need a swirl of mindful particles. By pooling their proto-conscious qualities, a large collection of particles can yield familiar conscious experience. The proposal, then, is that particles are endowed with a well-studied collection of physical properties (mass, electric charge, nuclear charges, and quantum mechanical spin) as well as the previously neglected quality of proto-consciousness. Reviving panpsychist beliefs, whose historical roots reach as far back as ancient Greece, Chalmers thus entertains the possibility that consciousness is relevant to anything and everything made of particles, whether a bat's brain or a baseball bat.
+
+  If you're wondering what proto-consciousness really is or how it's infused into a particle, your curiosity is laudable, but your questions are beyond what Chalmers or anyone else can answer. Despite that, it is helpful to see these questions in context. If you asked me similar questions about mass or electric charge, you would likely go away just as unsatisfied. I don't know what mass is. I don't know what electric charge is. What I do know is that mass produces and responds to a gravitational force, and electric charge produces and responds to an electromagnetic force. So while I can't tell you what these features of particles are, I can tell you what these features do. In the same vein, perhaps researchers will be unable to delineate what proto-consciousness is and yet be successful in developing a theory of what it does-how it produces and responds to consciousness. For gravitational and electromagnetic influences, any concern that substituting action and response for an intrinsic definition amounts to an intellectual sleight of hand is, for most researchers, alleviated by the spectacularly accurate predictions we can extract from our mathematical theories of these two forces. Perhaps we will one day have a mathematical theory of proto-consciousness that can make similarly successful predictions. For now, we don't.
+  However exotic this all sounds, Chalmers argues that his approach sits squarely within the bounds of science, properly construed. For centuries, scientists have focused exclusively on the objective unfolding of reality, and with that as the target they developed equations that do a wonderful job of explaining experimental and observational data. But such data are fully available to a third-person review. Chalmers is suggesting that there are other data, the data of inner experience, and presumably other equations too, that capture pattern and regularity in the inner domain. Conventional science would thus explain external data while science's next era would explain internal data.
+  Said in a slightly different way, for many years there has been a movement afoot, often credited to physicist John Wheeler (known to the public for popularizing the term "black holes"), that envisions information as the most fundamental of all physical currencies. To describe the state of the world now, I provide information that specifies the configuration of all the dancing particles and undulating fields permeating space. The laws of physics take that information as input and yield as output information that delineates the state of the world later on. Physics, according to this framing, is in the business of information processing.
+
+  Using this language, Chalmers's proposal is that there are two sides to information: There is the objective, third-party-accessible quality of information-the information that has, for hundreds of years, been the province of conventional physics. There is also a subjective, first-person-accessible quality of information that physics has so far not considered. A complete theory of physics would need to embrace not just outer but also inner information and would need laws that describe the dynamic evolution of each type. The processing of inner information would provide the physical basis of conscious experience.
+  Einstein's dream of a unified theory of physics, one capable of describing all of nature's particles and forces within a single mathematical formalism, has been called the search for a theory of everything. That unfortunately bombastic description, often applied to my own field of string theory, explains why I am so often asked for my views on consciousness. After all, consciousness would seem to fit comfortably within a theory that can explain everything. Yet, as I have frequently told those who've asked, it is one thing to grasp the physics of elementary particles and quite another to parlay that into an understanding of the human mind. Building the scientific apparatus to connect the vastly different scales, both in size and complexity, ranks among our most difficult scientific challenges. However, should Chalmers be right, consciousness would enter the scientific account on the ground floor, at the level of fundamental equations and primitive constituents. Which means we might one day have an understanding that incorporates from the get-go the external and internal sides of information processing-objective physical processes and subjective conscious experiences. That would be a unified theory. I would continue to resist the locution "theory of everything"-I expect scientists would still have a hard time predicting what I'm going to have for breakfast tomorrow-but such understanding would be revolutionary.
+
+  Is this the right direction? I'd be thrilled if it were. We would be standing at the frontier of a whole new terrain of reality awaiting exploration. But as you have likely surmised, there is great skepticism that in its effort to find the source of consciousness, science will need to travel to lands this exotic. Carl Sagan's famous dictum that extraordinary claims require extraordinary evidence is an apt guide. There is overwhelming evidence of something extraordinary-our inner experiences-but far less convincing evidence that these experiences are beyond the explanatory reach of conventional science.
+  Understanding would deepen if we could identify the physical conditions required for generating subjective experiences, a task central to the theory of consciousness we now consider.
+The Mind Integrates Information
+That the brain is a crenellated, moist, information-processing collection of cells is uncontroversial. Brain scans and invasive probes have established that distinct parts of the brain specialize in processing particular types of information-optical, auditory, olfactory, linguistic, and so on.26 By itself, however, information processing does not capture the brain's distinctive qualities. A great many physical systems process information, from the abacus to the thermostat to the computer, and taking Wheeler's perspective to heart, there is a sense in which each and every physical system can be thought of as an information processor. So what distinguishes the variety of information processing that results in conscious awareness? This is a question guiding psychiatrist and neuroscientist Giulio Tononi, joined in the pursuit by neuroscientist Christof Koch. It has led to an approach called integrated information theory.27
+  To get a sense of the theory, imagine I present you with a brand-new red Ferrari. Regardless of whether you are a fan of high-end sports cars, the encounter stimulates your brain with a wealth of sensory data. Information expressing the car's visual, tactile, and olfactory qualities, as well as more abstract connotations from the car's power on the road to associations of luxury and wealth, immediately become entwined in a unified cognitive experience. It is an experience whose information content Tononi would characterize as highly integrated. Even focusing more narrowly on the car's color, note that your experience is decidedly not one of a colorless Ferrari that your mind subsequently paints red. Nor is it of an abstract red environment that your mind subsequently shapes into a Ferrari. Although shape information and color information activate different parts of the visual cortex, your conscious experience of the Ferrari's shape and color are inseparable. You experience them as one. This, according to Tononi, is an intrinsic quality of consciousness: the information threading through conscious experience is tightly stitched together.
+
+  A second intrinsic quality of consciousness is that the range of things you are capable of holding in your mind is enormous. From a dizzying array of sensory experiences, to stirrings of the imagination, to abstract planning and thinking and worrying and anticipating, you have a virtually limitless mental repertoire. Which means that when your mind is focused on any one particular conscious experience, like the red Ferrari, it is highly differentiated from the vast majority of other mental experiences you could be having. Tononi's proposal elevates these observations to a defining characterization: conscious awareness is information that is highly integrated and highly differentiated.
+  Most information lacks these qualities. Take a photograph of the red Ferrari and consider the resulting digital file. To keep things simple, don't worry about details like image compression, and instead imagine that the file is an array of numbers whose values record color and brightness information for each pixel in the image. These numbers are generated by photodiodes in your camera responding to the light reflecting off distinct locations on the car's surface. How integrated is the information? Because each photodiode's response is independent of the others-there's no communication or linkage between them-the information in the digital file is completely balkanized. You could store the datum for each pixel in a separate file and the total information content would remain unchanged. Which means there is no information integration at all. How differentiated is the information in the digital file? While there is a vast assortment of possible images a camera's digital file can store, the information content is constrained to a fixed array of independent numbers. That's it. A digital photographic file isn't set up to contemplate the ethics of capital punishment or struggle with the proof of Fermat's Last Theorem. In this sense, the information content is extremely limited, which means the camera is not a high scorer when it comes to information differentiation.
+
+  And so, as your brain constructs a mental representation, its information content rapidly becomes highly integrated and highly differentiated, but as the camera constructs a digital photograph, its information acquires neither of these features. That, according to Tononi, is why you have a conscious experience of the Ferrari but your digital camera does not.
+  With the goal of making these considerations quantitative, Tononi has proposed a formula that assigns a numerical value to the information contained in any given system, usually denoted ф, with larger values of ф indicating greater differentiation and deeper integration-and hence, as the theory goes, a higher level of conscious awareness. The approach thus presents a continuum from simple systems, with less information integration and differentiation that may experience rudimentary forms of consciousness, to more complex systems like you and me, with sufficient integration and differentiation to yield the familiar level of conscious awareness, to the possibility of yet other systems whose informational capacities-and conscious experience-could outpace our own.
+  As with Chalmers's approach, Tononi's theory has a panpsychist leaning. Nothing in the proposal is intrinsically tied to a particular physical structure. Your experience of conscious awareness resides in a biological brain, but according to Tononi and his math, a sufficiently high value of ф, whether contained in neural synapses or neutron stars, would be consciously aware. For some, like computer scientist Scott Aaronson, this leaves the proposal open to what he deems a devastating attack. Aaronson's calculations have shown that by cleverly linking together simple logic gates (the most basic of electronic switches), the resulting network can have values of ф as large as you like-on par with that of the human brain or even larger.28 According to the theory, the network of switches should be conscious. And that's a conclusion Aaronson-and most people's intuition-considers absurd. Tononi's response? However strange and unfamiliar the conclusion, the network will be conscious.
+
+  Now, you might think, He can't really believe that. But consider your incredulity in context. How can it be that a three-pound clump of brain, when appropriately connected to a blood supply and network of nerves, has familiar conscious experience? That is the claim, based on all that science has so far revealed, that stretches credulity. Yet, because of your own inner world, it is a claim that you readily accept. If I then hand you something else, lacking body and brain, and suggest that it too is conscious, the stretch to accept this new claim may seem significant, but actually, it is comparatively modest. By embracing the nearly ludicrous suggestion that a gloppy grey knot of neurons has consciousness, you've already taken the big step. That's not an argument for Tononi's proposal, but it makes clear that familiarity can skew our sense of the absurd.
+  If this approach should prove correct, it will clarify the qualities that a system must have to yield a conscious experience. That would be substantial progress. Still, in its current form, integrated information theory would leave us wondering why consciousness feels the way it does. How does highly differentiated and highly integrated information yield inner awareness? According to Tononi, it just does. Or, more precisely, he suggests that this question may be the wrong one to ask. Our charge, in his view, is not to explain how conscious experience emerges from whirring particles but rather to determine the conditions required for a system to have such experiences. And that's what integrated information theory seeks to do. While I appreciate this perspective, my intuition, shaped by the spectacular successes of reductionist explanations, will remain unsatisfied until we connect physical processes involving familiar particulate ingredients to the sensations of mind.
+  One final proposal we will now take up pursues a different strategy. It is a physicalist account through and through, and provides one of the most illuminating approaches to the mystery of consciousness.
+ 
+The Mind Models the Mind
+Neuroscientist Michael Graziano's theory of consciousness begins with a couple of well-known qualities of brain functioning that we can all readily buy into.29 To appreciate them, return to the Ferrari. Imagine you see the car's sleek red exterior, feel the smooth ergonomic shape of the door handles, smell the unmistakable new car aroma, and so on. Intuitively, we think of these as direct experiences of an external reality, but as we have known for centuries they are not. Modern science makes this explicit. Red light reflecting off the Ferrari's surface is an electric field that oscillates at roughly four hundred trillion times each second at right angles to a similarly oscillating magnetic field, all traveling toward you at three hundred million meters per second. That is the physics of red light, and that is the stimulus your eyes encounter.30 Notice that there is no "red" in the physics description. Red happens when the electromagnetic field enters your eyes, tickles light-sensitive molecules in your retina, and generates an impulse carried to your brain's visual cortex, which specializes in visual information processing and interprets the signal. Red is a human construct that happens deep inside your head. And that new car smell? A similar story. The seats, carpet, and plastic wrap off-gas molecules that permeate the car's interior. There is no new car smell until those molecules waft into your nostrils, brush up against receptor neurons on your olfactory epithelium, and generate an impulse that fires along your olfactory nerve toward your olfactory bulb, which relays the processed signal to various neurological structures for interpretation. As with red, the only place the new car smell happens is within your brain.
+  And so, when the Ferrari grabs your attention, a collection of cognitive data processing wheels is set in motion. Red, fragrant, shiny, metallic, glass, wheels, engine, power, movement, velocity, and so on-a range of physical qualities and functional capacities are both conjured and bound by your brain into the version of the car you hold in your mind. So far, this sounds similar to integrated information theory, but Graziano's proposal takes these realizations in a different direction. His central thesis is that however heedful of detail you might be, your mental representations are always vastly simplified. Even describing the car as "red" is a shorthand for the many similar but distinct frequencies of light-the many shades of red-that reflect off different parts of the car's surface: electromagnetic waves, for instance, oscillating at 435, 172, 874, 363, 122 cycles per second from a spot on the driver's side door, 447, 892, 629, 261, 106 cycles per second from a spot on the hood, and so on.31 Your mind would reel if it dealt with such an overabundance of detail. Instead, "red" is the mind's welcome, albeit schematic, simplification. So too for the vast collection of similar simplifications the mind constantly makes. For just about everything you ever encounter in the environment, a schematic representation is not only adequate but also frees up mental resources for other life-supporting purposes. Long ago, brains that may have become distracted by the billowing details of the physical world are brains that would have been swiftly eaten. Brains that survived are brains that avoided being consumed by details that lacked survival value. Replace the red Ferrari with a rumbling avalanche or a quaking earth, and you can see the survival advantage of having a quick and dirty mental representation that facilitates a rapid response.
+
+  When your attention is not directed at cars or avalanches or earthquakes, but is instead focused on animals or humans, you similarly create schematic mental representations. But beyond representations of their physical forms, you also create schematic mental representations of their minds. You try to assess what's going on inside their heads-whether a given animal or human is friend or foe, offers safety or danger, is seeking mutual opportunity or selfish gain. Clearly, there is significant survival value in quickly sizing up the nature of our encounters with other life. Researchers call this capacity, refined over generations by natural selection, our theory of mind32 (we theorize, intuitively, that living things are endowed with minds that operate more or less like ours), or the intentional stance33 (we attribute knowledge, beliefs, desires, and thus intentions to the animals and humans we encounter).
+  Graziano emphasizes that you routinely apply this very capacity to yourself: you continuously create a schematic mental representation of your own state of mind. If you are looking at the red Ferrari, not only do you create a schematic representation of the car, you also create a schematic representation of your Ferrari-focused attention. All the features you bind together to represent the Ferrari are augmented by an additional quality summarizing your own mental focus: the Ferrari is red, smooth, and shiny, and your attention is focused on the Ferrari being red, smooth, and shiny. That is how you keep track of your engagement with the world.
+
+  As with the representation of the Ferrari, and as with your representation of the attention of others, the representation of your own attention leaves out vast swaths of details. It ignores the underlying neuronal firings, the information processing and complex signal exchanges that generate your focus and instead sketches the attention itself, what in common language we normally call our "awareness." And this, according to Graziano, is the heart of why conscious experience seems to float unmoored in the mind. When the brain's penchant for simplified schematic representations is applied to itself, to its own attention, the resulting description ignores the very physical processes responsible for that attention. That is why thoughts and sensations seem ethereal, as if they come from nowhere, as if they hover in our heads. If your schematic representation of your body were to leave out your arms, the motion of your hands would seem ethereal too. And that is why conscious experience seems utterly distinct from the physical processes carried out by our particulate and cellular constituents. The hard problem seems hard-consciousness seems to transcend the physical-only because our schematic mental models suppress cognizance of the very brain mechanics that connect our thoughts and sensations to their physical underpinnings.
+  The allure of a physicalist theory like Graziano's (and others that have been proposed and developed34) is that consciousness, like life, would be reduced to conducive arrangements of lifeless, thoughtless, and emotionless constituents. Certainly, there is a vast neurological landscape stretching between us and such a promised land of reductionist understanding. But unlike the terra incognita envisioned by Chalmers, in which researchers will need to hike strange lands and bushwhack unfamiliar foliage, the physicalist expedition will likely offer less exotic surprises. The challenge will not be to survey an alien world, but to map our own-the brain-with unprecedented detail. It is the familiarity of the terrain that will make a successful journey so wondrous. Requiring no supra-scientific spark, invoking no novel qualities of matter, consciousness would simply emerge. Ordinary stuff, governed by ordinary laws, carrying out ordinary processes, would have the extraordinary capacity to think and feel.
+
+  I have encountered many people who resist this perspective. People who feel that any attempt to subsume consciousness within the physical description of the world belittles our most precious quality. People who suggest that the physicalist program is the ham-fisted approach of scientists blinded by materialism and unaware of the true wonders of conscious experience. Of course, no one knows how all this will play out. Perhaps a hundred or a thousand years from now the physicalist program will look naïve. I doubt it. But in acknowledging this possibility, it is also important to counter the presumption that by delineating a physical basis for consciousness we devalue it. That the mind can do all it does is extraordinary. That the mind may accomplish all it does with nothing more than the kinds of ingredients and types of forces holding together my coffee cup makes it more extraordinary still. Consciousness would be demystified without being diminished.
+Consciousness and Quantum Physics
+Over the decades, a frequent suggestion has been that quantum physics is essential for understanding consciousness. In one sense this is surely true. Material structures, the brain included, are made of particles whose behavior is governed by the laws of quantum mechanics. Quantum mechanics thus underpins the physical basis of everything, including the mind. But when consciousness meets the quantum, it is not uncommon for commentators to suggest deeper connections. Many of these are motivated by a gap in our understanding of quantum mechanics that has resisted a century of thought by some of the world's most accomplished scientific and philosophical minds. Let me explain.
+  Quantum mechanics is the most accurate theoretical framework for describing physical processes ever developed. There has never been a prediction of quantum mechanics that has been contradicted by replicable experiments, and the results of some of the most detailed quantum mechanical calculations agree with experimental data to better than one part in a billion. If you are not into quantitative figures, most of the time it's fine to just let them wash over you. But not now. Take in the number I just quoted: quantum mechanical calculations, based on Schrödinger's equation, agree with experimental measurements to better than nine digits after the decimal point.35 Trumpets should blare and the species should take a bow because that represents a triumph of human understanding.
+
+  Nevertheless, there is a puzzle at the core of quantum theory.
+  The primary new feature of quantum mechanics is that its predictions are probabilistic. The theory might assert that there is a 20 percent chance that an electron will be found here, a 35 percent chance that it will be found over there, and a 45 percent chance way over there. If you then measure the electron's position in a great many identically prepared versions of the same experiment, you will find to impressive accuracy that in 20 percent of your measurements the electron is here, in 35 percent of them it is over there, and 45 percent of the time it is way over there. That is why we have confidence in quantum theory.
+  Now, quantum theory's reliance on probabilities may not sound particularly exotic. After all, when you flip a coin we also use probabilities to describe the possible outcome-there's a 50 percent chance that the coin lands heads and a 50 percent chance that it lands tails. But here is the difference, familiar to many yet still deeply shocking: in the ordinary classical description, after you flip the coin but before you look, the coin is either heads or tails, you simply don't know which. By contrast, in the quantum description, prior to examining the whereabouts of a particle like an electron that has a 50 percent chance of being here and a 50 percent chance of being there, the particle is not either here or there. Instead, quantum mechanics says the particle is hovering in a fuzzy mixture of being both here and there. And if the probabilities give the electron a nonzero chance to be at a variety of different locations, then according to quantum mechanics it would be hovering in a fuzzy mixture of being simultaneously situated at all of them. This is so fantastically strange, and so counter to experience, that you might be tempted to dismiss the theory out of hand. And if it weren't for quantum mechanics' unmatched capacity to explain experimental data, that reaction would be both widespread and justified. However, the data force us to treat quantum mechanics with utmost respect, and so we scientists have worked tirelessly to make sense of this counterintuitive feature.36
+
+  The problem is, the more we've worked, the weirder things have become. There is nothing in the quantum equations that shows how reality transitions from the fuzzy mixture of many possibilities to the single definite outcome you witness upon undertaking a measurement. In fact, if we assume-as seems utterly sensible-that the same successful quantum equations apply not just to the electrons (and other particles) you may be studying but also to the electrons (and other particles) that make up your equipment, and those making up you, and those making up your brain, then according to the mathematics the transition shouldn't happen at all. If an electron is hovering both here and there, then your equipment should find that it is both here and there, and upon reading the equipment's display, your brain should think the electron is both here and there. That is, after you perform a measurement, the quantum fuzziness of the particles you are studying should infect your equipment, your brain, and presumably your conscious awareness, causing your thoughts to hover in a fuzzy mixture of multiple outcomes. And yet, after each and every measurement, you report nothing of the sort. You report that you witnessed a single, definite result. The challenge, known as the quantum measurement problem, is to resolve the puzzling disparity between the fuzzy quantum reality described by the equations and the sharp familiar reality you consistently experience.37
+  As far back as the 1930s, physicists Fritz London and Edmond Bauer,38 and a few decades later Nobel laureate Eugene Wigner,39 suggested that consciousness might be the key. After all, the puzzle becomes puzzling only when you report on your conscious experience of a definite reality, yielding a mismatch between what you say and what the mathematics of quantum mechanics predicts. Imagine, then, that the rules of quantum mechanics apply all along the chain, from the electron that's being measured, to the particles in the equipment performing the measurement, to the particles constituting the readout on the equipment's display. But when you look at the readout and the sensory data flows into your brain something changes: the standard quantum laws cease to apply. Instead, when conscious awareness is brought to bear, some other process takes over-a process that ensures you become cognizant of a single definite result. Consciousness would thus be an intimate participant in quantum physics, dictating that as the world evolves all but one of the many possible futures are eliminated, either from reality itself or at least from our cognitive awareness.
+
+  You can see the appeal. Quantum mechanics is mysterious. Consciousness is mysterious. How fun to imagine that their mysteries are related, or are the same mystery, or that each mystery resolves that of the other. But in my decades of immersion in quantum physics, I have not encountered a mathematical argument or experimental data that have shifted my long-held assessment of the purported link: extraordinarily unlikely. Our experiments and observations support the view that when a quantum system is prodded-whether the prodder is a conscious being or a mindless probe-the system snaps out of the probabilistic quantum haze and assumes a definite reality. Interactions-not consciousness-coax the emergence of a definite reality. Of course, to verify this, or anything else for that matter, I need to bring my consciousness to bear; I can't be aware of a result without my conscious mind participating in the process. So there is no foolproof argument that consciousness does not play a special quantum role. Still, even in the most refined approaches, which have gone well beyond a superficial identification of two apparently distinct mysteries, the proposed quantum-consciousness connections are tenuous.
+  As our understanding of quantum mechanics deepens, so too will our accounting of the microphysical processes underlying the functions of everything, including body and brain. From a physicalist stance, consciousness is among such functions and so will one day be included within a quantum accounting. However, barring a stunning surprise, quantum mechanics textbooks of the near future or far will not include special directives on how to use the equations in the presence of consciousness. Magnificent though it is, consciousness will be understood as another physical quality that arises in a quantum universe.
+ 
+Free Will
+Few of us take pride in how our pancreas produces chymotrypsin or the trigeminal nerve network facilitates a sneeze. We don't feel a vested interest in our autonomic processes. If I'm asked who I am, I turn to the thoughts, sensations, and memories that I can access with my mind's eye or interrogate with my inner voice. Everyone's pancreas synthesizes chymotrypsin and everyone sneezes but, I like to imagine, there's something deeply, fully, and intrinsically me in what I think, in what I feel, in what I do. Bound up in this intuition is a belief so common that many of us never give it a second thought, let alone a first: We have a will that's free. We are autonomous. We call our own shots. We are the ultimate source of our actions. But are we?
+  This question has inspired more pages in the philosophical literature than just about any other conundrum. Two thousand years ago, Democritus's lean worldview consisting of atoms and the void was a prescient nod to nature's unity, jettisoning the capricious whim of gods in favor of immutable laws. But whether comings and goings are fully controlled by divine power or by physical law, we are left asking where, if anywhere, is there room for freely willed actions?40 A century later, Epicurus, who had rejected divine intervention, bemoaned the fact that scientific determinism was smothering free will. If we grant that gods hold authority, at least there is a chance that our steadfast reverence may be rewarded with an allocation of freedom. But natural law, immune to all flattery, is incapable of loosening the reins. To solve the dilemma, Epicurus imagined that every so often atoms spontaneously execute a random swerve, defying their lawful fate and allowing for a future not determined by the past. While surely a creative move, far from everyone found the arbitrary insertion of chance into the laws of nature a convincing source for human freedom. And so across the ensuing centuries the problem of free will continued to furrow the brows of a pantheon of revered thinkers-Saint Augustine, Thomas Aquinas, Thomas Hobbes, Gottfried Leibniz, David Hume, Immanuel Kant, John Locke-and on through a lineage too long to list, including many who currently think about such things in philosophy departments around the world.
+
+  Here is a modern version of the argument that knocks free will back on its heels. Your experiences and mine appear to confirm that we influence the unfolding of reality through actions that reflect our freely willed thoughts, desires, and decisions. Yet, maintaining our physicalist stance, you and I are nothing but constellations of particles41 whose behavior is fully governed by physical law. Our choices are the result of our particles coursing one way or another through our brains. Our actions are the result of our particles moving this way or that through our bodies. And all particle motion-whether in a brain, a body, or a baseball-is controlled by physics and so is fully dictated by mathematical decree. The equations determine the state of our particles today based on their state yesterday, with no opportunity for any of us to end-run the mathematics and freely shape, or mold, or change the lawful unfolding. Indeed, following this chain ever further back, the big bang is the ultimate source of all particles, and their behavior over cosmic history has been dictated by the nonnegotiable and insensate laws of physics, which determine the structure and function of everything that exists. Our sense of individuality, value, and esteem rest on our autonomy. But faced with the intransigence of physical law, autonomy withdraws. We are no more than playthings knocked to and fro by the dispassionate rules of the cosmos.
+  The central question, then, is whether there is any way to avoid this apparent dissolution of free will into the motion of servile particles. Many thinkers have tried. Some have forsworn reductionism. Although voluminous data confirm that we have a deep understanding of the laws governing individual particles (electrons, quarks, neutrinos, and so on), perhaps when a hundred billion billion billion particles are arranged into a human body and brain, they are no longer governed, or at least not fully governed, by the fundamental laws of the microworld. And perhaps, this line of thinking imagines, this allows for phenomena on macroscopic scales-notably, free will-that the microscopic laws would prohibit.
+
+  Admittedly, no one has ever carried out the mathematical analysis required to make predictions for the lawful progression of particles constituting a person. The complexity of the math would be fantastically beyond our most refined computational capacities. Even predicting the motion of a far simpler object like a pool ball can elude us because small inaccuracies in determining the ball's initial speed and direction can be exponentially amplified as the ball ricochets off the banks of the table. So my focus here is not on predicting your next move. My focus is on the existence of laws that govern your next move. And even though the calculations exceed our current abilities, there has never been the slightest mathematical, experimental, or observational indication that these laws exert anything but total control. Unexpected and impressive phenomena can surely emerge from the coordinated motion of a great many microscopic ingredients-typhoons to tigers-but all evidence suggests that were we able to work out the math for such large groups of interacting particles, we would be able to predict their collective behaviors. And so, while it is logically conceivable that we will one day learn that collections of particles constituting bodies and brains are released from the rules governing inanimate collections, this possibility contravenes all that science has so far revealed about the workings of the world.
+  Other researchers have placed their bets on quantum mechanics. After all, classical physics is deterministic: provide the mathematics of classical physics-Newton's equations-with the precise locations and speeds of all particles at any one moment and the equations will tell you their locations and speeds at any future moment. With such rigidity, with the future fully determined by the past, how can there be any room for free will? The state of your particles right now, reading these words and contemplating these ideas, was determined by their configuration long before you were even born and so, surely, could not have been selected by your will. But in quantum physics, as we have seen, the equations predict only the likelihood of how things will be at any future moment. By inserting an element of probability-chance-quantum mechanics seems to provide a modern and experimentally motivated version of the Epicurean swerve, slackening the deterministic reins. However, loose language can be deceptive. The mathematics of quantum mechanics, Schrödinger's equation, is just as deterministic as the mathematics of classical Newtonian physics. The difference is that whereas Newton takes as input the state of the world now and produces a unique state for the world tomorrow, quantum mechanics takes as input the state of the world now and produces a unique table of probabilities for the state of the world tomorrow. The quantum equations lay out many possible futures, but they deterministically chisel the likelihood of each in mathematical stone. Much like Newton, Schrödinger leaves no room for free will.
+
+  Yet other researchers have turned to the unresolved quantum measurement problem. Understandably. A gap in scientific knowledge is an alluring place to hide something deeply valued, at least until the gap is closed. That gap, you'll recall, is that there is still no consensus on how the world transitions from the probabilistic account provided by quantum mechanics to the definite reality of common experience. How is one unique future selected from quantum mechanics' list of possibilities? And, of particular interest here, might free will be lurking in the answer? Unfortunately, no. Consider an electron that according to quantum mechanics has a 50 percent chance of being here and a 50 percent chance of being there. Can you freely pick the outcome-here or there-that an observation of its position will reveal? You can't. The data attest to the outcome being random, and random outcomes are not freely willed choices. The data also confirm that results accumulated over many such experiments have a statistical regularity: in this example, half of the results will find the electron here and half of the results will find it there. A freely willed choice is not constrained, even in a statistical sense, by mathematical rules. But as the evidence demonstrates in this instance and all others too, the math does rule. So although the passage from quantum probabilities to experiential certainties remains puzzling, it is clear that free will is not part of the process.
+  To be free requires that we are not marionettes whose strings are pulled by physical law. Whether the laws are deterministic (as in classical physics) or probabilistic (as in quantum physics) is of deep significance to how reality evolves and to the kinds of predictions science can make. But for assessing free will, the distinction is irrelevant. If the fundamental laws can continually churn, never grinding to a halt for lack of human input and applying all the same even if particles happen to inhabit bodies and brains, then there is no place for free will. Indeed, as is affirmed by every scientific experiment and observation ever conducted, long before we humans came on the scene the laws ruled without interruption; after we arrived, they continued to rule without interruption.
+
+  To sum up: We are physical beings made of large collections of particles governed by nature's laws. Everything we do and everything we think amounts to motions of those particles. Shake my hand and particles constituting your hand push up and down against those constituting mine. Say hello, and particles constituting your vocal cords jostle particles of air in your throat, setting off a chain reaction of colliding particles that ripples through the air, knocking into the particles constituting my eardrums, setting off a surge of yet other particles in my head, which is how I manage to hear what you're saying. Particles in my brain respond to the stimuli, yielding the thought that's a strong grip, and sending signals carried by other particles to those in my arm, which drive my hand to move in tandem with yours. And since all observations, experiments, and valid theories confirm that particle motion is fully controlled by mathematical rules, we can no more intercede in this lawful progression of particles than we can change the value of pi.
+  Our choices seem free because we do not witness nature's laws acting in their most fundamental guise; our senses do not reveal the operation of nature's laws in the world of particles. Our senses and our reasoning focus on everyday human scales and actions: we think about the future, compare courses of action, and weigh possibilities. As a result, when our particles do act, it seems to us that their collective behaviors emerge from our autonomous choices. However, if we had the superhuman vision invoked earlier and were able to analyze everyday reality at the level of its fundamental constituents, we would recognize that our thoughts and behaviors amount to complex processes of shifting particles that yield a powerful sense of free will but are fully governed by physical law.
+  And yet, to conclude our discussion here would be to overlook a variation on the theme of freedom that not only squares with our understanding of physical law but captures a quality so essential that you can take it as a defining characteristic of what it means to be human.
+ 
+Rocks, Humans, and Freedom
+Imagine that you and a rock, each minding your own business, are idly sitting next to each other on a park bench. As I walk by, you suddenly see that a hefty tree limb has snapped and is hurtling toward me. You leap from the bench and tackle me with great force, thrusting us both out of harm's way. What is the explanation for your heroic, lifesaving act? All the particles making up you and all of those making up the rock are subject to the very same laws, and so neither you nor the rock has free will. Yet it is you who jumped from the bench while the rock just sat there. How do we explain this?
+  You saved me but the rock didn't because your particles are so spectacularly ordered, so breathtakingly configured, that they can undertake exquisitely choreographed motions that are not possible for the particles constituting the rock.42 As I walk by, you can wave, or say hello, or tell me you've solved the equations of string theory, or do jumping jacks, or save me from a falling branch, or a gazillion other possibilities. Photons that bounce off my face and enter your eyes, sound waves vibrating from a cracking branch that enter your ears, tactile influences from a strong breeze that blows against your skin, as well as a vast array of other stimuli external and internal, set off particle cascades throughout your body carrying signals that generate a wealth of sensations, thoughts, and behaviors, which are themselves yet other particle cascades. Thankfully for me, the specific particle cascade in response to the stimuli of the snapping branch thrust your particles into immediate action. By comparison, the rock's responses to stimuli are more muted. Impinging photons, sound waves, and tactile pressures generate the simplest of reactions. The rock's particles may jitter slightly, their temperature may increase slightly, or for an especially strong wind the positions of the entire lot may shift slightly. That's it. Within the rock there's just not a whole lot going on. What makes you special is that your sophisticated internal organization allows for a rich spectrum of behavioral responses.
+
+  The point, then, is that when evaluating free will there is much to be gained by shifting attention from a narrow focus on ultimate cause to a broader perusal of human response. Our freedom is not from physical laws that are beyond our ability to affect. Our freedom is to exhibit behaviors-leaping, thinking, imagining, observing, deliberating, explaining, and so on-that are not available to most other collections of particles. Human freedom is not about willed choice. Everything science has so far revealed has only strengthened the case that such volitional intercession in the unfolding of reality does not exist. Instead, human freedom is about being released from the bondage of an impoverished range of response that has long constrained the behavior of the inanimate world.
+  This notion of freedom does not require free will. Your lifesaving act, while duly appreciated, arose from the action of physical law and hence was not freely willed. But the fact that your particles were able to jump from the bench, and later, to reflect on their action and to be moved by their reflection, is utterly astonishing. The particles clustered into a rock cannot do anything remotely like this. And it is these capabilities manifesting as the wondrous sweep of thought, feeling, and behavior that captures the essence of being human-the essence of human freedom.
+  My use of the term "free" to describe behaviors that according to the laws of physics are not freely willed may seem like a linguistic bait and switch. But the point, as the compatibilist school of philosophy has long suggested, is that when it comes to freedom and physics, all is not lost; there is great benefit in considering alternative kinds of freedom that comport with physical law. There are various proposals for how to accomplish this, but it's as if such theories gloomily deliver the bad news, "When it comes to the traditional sort of free will, you are no different from a rock," but then, just as you turn away to sulk, they exclaim, "But cheer up! There's this other variety of freedom, gratifying in its own right, that you have in abundance."43 In the approach I am advocating, such freedom is found in liberation from a restricted range of behaviors.
+
+  Personally, I take great comfort in this variety of freedom. As I sit here, typing out my thoughts, I am unfazed by the realization that at the level of fundamental particles everything I'm thinking and everything I'm doing constitutes the unfolding of physical laws that are beyond my control. What matters to me is that unlike my desk and unlike my chair and unlike my mug, my collection of particles is able to execute an enormously diverse set of behaviors. Indeed, my particles just composed this very sentence and I'm pleased they did. Sure, that reaction, too, is nothing but my particle army carrying out their quantum mechanical marching orders, but that doesn't diminish the reality of the feeling. I am free not because I can supersede physical law, but because my prodigious internal organization has emancipated my behavioral responses.
+Relevance, Learning, and Individuality
+Giving up the traditional concept of free will may still seem to require relinquishing much of what we value. If the unfolding of reality, including that of sentient beings, is set by physical law, do our behaviors matter? Can we simply sit back, do nothing, and let physics run its course? Is there any place for individuality? How can capacities we greatly value, like learning and creativity, play any role?
+  Let's take this last question first. And in doing so, it's useful to think about a Roomba. Does a Roomba possess the traditional quality of free will? Don't strain. This is not a trick question. Most of us would agree that it doesn't. Yet, as the Roomba glides along your living-room floor, encountering walls and columns and furniture, its internal particulate configuration rearranges-its navigation maps and internal instructions are updated-and these changes modify the Roomba's subsequent behavior. The Roomba learns. Indeed, as the Roomba faces the challenge of navigating around objects it has encountered, the solutions it employs-avoid those stairs, circle around that table leg, and so on-display rudimentary creativity.44 Learning and creativity do not require free will.
+  Your internal organization, your "software," is more refined than the Roomba's, facilitating your more sophisticated capacity for learning and creativity. At any given moment, your particles are in a specific arrangement. Your experiences, whether external encounters or internal deliberations, reconfigure that arrangement. And such reconfigurations impact how your particles will subsequently behave. That is, such reconfigurations update your software, adjusting the instructions that guide your ensuing thoughts and actions. An imaginative spark, a blundering error, a clever line, an empathic hug, a dismissive remark, a heroic act all result from your personal particle constellation progressing from one arrangement to another. As you observe how everyone and everything responds to your actions, your particle constellation shifts again, reconfiguring its pattern to further adjust your behavior. At the level of your particulate ingredients, this is learning. And when the resulting behaviors are novel, the reconfiguration has generated creativity.
+
+  This discussion highlights one of our central themes: the need for nested stories that explain distinct but interconnected layers of reality. Were you content with a story that describes the unfolding of reality solely at the level of particles, you would not be motivated to introduce concepts like learning and creativity (or, for that matter, entropy and evolution). All you would need to know is how collections of particles continually rearrange their configuration, and that information is delivered by the fundamental laws (and a specification of the state of the particles at some moment in the past). But most of us are not content with that sort of story. Most of us find it enlightening to tell additional stories, compatible with the reductionist account, but focused on larger and more familiar scales. It is in these stories, whose main characters are aggregates of particles like you and me and the Roomba, that concepts including learning and creativity (and entropy and evolution) provide an indispensable language. While the reductionist story describing the Roomba would catalog the motion of billions of billions of particles, the higher-level story might explain that the Roomba's sensors recognized that it was on the edge of a flight of stairs, stored that dangerous location in memory, and reversed course to avoid a potentially catastrophic drop. The two stories are fully compatible even though one uses the language of particles and laws while the other uses the language of stimuli and responses. And because the Roomba's responses include the ability to modify future behavior by updating its internal instructions, the concepts of learning and creativity are essential to the higher-level story.
+
+  Such nested stories are yet more relevant when it comes to you and me. The reductionist account, which describes us both as collections of particles, provides important but limited insights. We recognize, for example, that we are made of the same stuff and governed by the same laws as all material structures. But the higher-level story, the human story, is the one by which we live our lives. We think and deliberate, we struggle and strive, we succeed and fail. Stories told in this familiar language must, again, be fully compatible with the reductionist accounts told in terms of particles. But in the service of everyday life, these higher-level stories are incomparably more illuminating. When I have dinner with my wife, I am just not that interested in listening to an account of the motion carried out by her hundred billion billion billion particles. However, when she tells me about the ideas she is developing, places she is going, and people she is meeting, I am all in.
+  Within such higher-level accounts, we speak as though our actions have relevance, our choices have impact, our decisions have significance. In a world progressing via resolute physical law, do they? Yes. Of course they do. When my ten-year-old self struck a match within a gas-filled oven, that action had consequences. That action set off an explosion. The higher-level account that lays out a series of connected events-feeling hungry, putting pizza in the oven, turning on the gas, waiting, striking the match, being engulfed by flames-is accurate and insightful. Physics does not negate this story. Physics does not drain this story of relevance. Physics augments this story. Physics tells us that there is another account, underlying the human-level story, told in the language of laws and particles.
+  What's remarkable, and to some disturbing, is that these underlying accounts reveal that a common belief pervading our higher-level stories is faulty. We feel that we are the ultimate authors of our choices, decisions, and actions, but the reductionist story makes clear that we are not. Neither our thoughts nor our behaviors can break free from the grip of physical law. Nonetheless, the causally connected sequences at the heart of our higher-level stories-my sensation of hunger causing me to insert a pizza in the oven, leading me to check on its temperature, resulting in my striking a match-are manifest and are real. Thoughts, responses, and actions matter. They yield consequences. They are the links in the chain of physical unfolding. What's unexpected based on our experiences and intuitions is that such thoughts, responses, and actions emerge from antecedent causes funneled through the laws of physics.
+
+  Responsibility has a role too. Even though my particles, and hence my behaviors, are under the full jurisdiction of physical law, "I" am in a very literal if unfamiliar way responsible for my actions. At any given moment, I am my collection of particles; "I" is nothing but a shorthand that signifies my specific particulate configuration (which, although dynamic, maintains sufficiently stable patterns to provide a consistent sense of personal identity45). Accordingly, the behavior of my particles is my behavior. That physics underlies this behavior through its control of my particles is surely interesting. That such behavior is not freely willed is worthy of acknowledgment. But these observations do not diminish the higher-level description which recognizes that my specific particle configuration-the way my particles are arranged into an intricate chemical and biological network including genes, proteins, cells, neurons, synaptic connections, and so on-responds in a manner that is unique to me. You and I speak differently, act differently, respond differently, and think differently because our particles are arranged differently. As my particle arrangement learns and thinks and synthesizes and interacts and responds, it imprints my individuality and stamps my responsibility on every action I take.46
+  The human capacity to respond with great variety is testament to the core principles that have guided our exploration thus far: the entropic two-step and evolution by natural selection. The entropic two-step explains how orderly clumps can form in a world that is becoming ever more disordered, and how certain of these clumps, stars, can remain stable over billions of years as they produce a steady output of heat and light. Evolution explains how, in a favorable environment such as a planet bathed by a star's steady warmth, collections of particles can coalesce in patterns that facilitate complex behaviors, from replication and repair, to energy extraction and metabolic processing, to locomotion and growth. Collections that acquire the further capacities to think and learn, to communicate and cooperate, to imagine and predict, are better equipped to survive and hence to produce similar collections with similar capacities. Evolution thus selects for these abilities and, generation upon generation, refines them. In time, some collections conclude that their cognitive powers are so remarkable that they transcend physical law. Some of the most thoughtful of these collections are then bewildered by the conflict between the freedom of will they experience and the unyielding control of physical law they recognize. But the fact is there is no conflict because there is no transcending of physical law. There can't be. Instead, the collections of particles need to reassess their powers, focusing not on the laws that govern particles themselves but on the high-level, thoroughly complex, and extraordinarily rich behaviors each collection of particles-each individual-can exhibit and experience. And with that reorientation, the particle collections can tell an illuminating story of wondrous behaviors and experiences, suffused with wills that feel free and speak as though they have autonomous control, and yet are fully governed by the laws of physics.
+
+  Some will balk at this conclusion. I surely have. Although I am convinced intellectually by the argument I have presented, that doesn't undo my deep and strong impression that I freely control what's happening inside my head. But the strength of that impression rests in large part on its familiarity. And as many who have experimented with mind-altering substances can attest, when the identity of particles coursing through the brain is even modestly modified, the familiar can shift. The balance of power in the brain can change. The mind can seemingly have a mind of its own. Decades ago, in the beautiful city of Amsterdam, such an experience resulted in one of the most terrifying nights of my life. My mind created an internal world in which there were endless copies of me, each hell-bent on undermining the reality experienced by the others. As one of me was lulled into thinking he was experiencing the "true" reality, the next me would reveal the artifice of that world, wiping out everything and everyone the initial me cared about, and in the process revealing another "true" reality, which the next me would confidently inhabit-only to have the nightmarish sequence repeat. And repeat.
+  From the standpoint of physics, I had merely introduced into my brain a small collection of foreign particles. But that change was enough to eliminate the familiar impression that I freely control the activities playing out in my mind. While the reductionist-level template remained in full force (particles governed by physical laws), the human-level template (a reliable mind endowed with free will navigating through a stable reality) was upended. Of course, I am not presenting a mind-altering moment as an argument for or against free will. But the experience made visceral an understanding that would otherwise have remained abstract. Our sense of who we are, the capacities we have, and the freedom of will we seemingly exert all emerge from the particles moving through our heads. Fiddle with the particles, and those familiar qualities can fall away. It's an experience that helped align my rational grasp of the physics with my intuitive sense of the mind.
+
+  Everyday experience and everyday language are filled with references, implicit and explicit, to free will. We speak of making choices and coming to decisions. We speak of actions that depend on those decisions. We speak of the implications that these actions have on our lives and the lives of those we touch. Again, our discussion of free will does not imply that these descriptions are meaningless or need to be eliminated. These descriptions are told in the language appropriate to the human-level story. We do make choices. We do come to decisions. We do undertake actions. And those actions do have implications. All of this is real. But because the human-level story must be compatible with the reductionist account, we need to refine our language and assumptions. We need to set aside the notion that our choices and decisions and actions have their ultimate origin within each of us, that they are brought into being by our independent agencies, that they emerge from deliberations that stand beyond the reach of physical law. We need to recognize that although the sensation of free will is real, the capacity to exert free will-the capacity for the human mind to transcend the laws that control physical progression-is not. If we reinterpret "free will" to mean this sensation, then our human-level stories become compatible with the reductionist account. And together with the shift in emphasis from ultimate origin to liberated behavior, we can embrace an unassailable and far-reaching variety of human freedom.
+
+  As with life's origin, there is no sharply defined moment when consciousness emerges or self-reflection arises or the sensation of free will sets in. But the archaeological record suggests that by one hundred thousand years ago, perhaps earlier, our ancestors had begun to have these experiences. Early humans had long since stood up. Now we could look around and wonder.
+  What, then, did we do with such powers?
+
+ 
+ 
+6
+LANGUAGE AND STORY
+From Mind to Imagination
+Pattern is central to human experience. We survive because we can sense and respond to the rhythms of the world. Tomorrow will be different from today, but beneath the myriad comings and goings we rely on enduring qualities. The sun will rise, rocks will fall, water will flow. These and an uncountable collection of allied patterns we encounter from one moment to the next profoundly influence our behavior. Instincts are essential and memory matters because patterns persist.
+  Mathematics is the articulation of pattern. Using a handful of symbols we can encapsulate pattern with economy and precision. Galileo summed it up by declaring that the book of nature, which he believed revealed God just as surely as the Bible, is written in the language of mathematics. During the centuries that followed, thinkers have debated a secular version of the sentiment. Is mathematics a language humankind developed to describe patterns we encounter? Or is mathematics the source of reality, rendering the world's patterns the expression of mathematical truth? My romantic sensibilities lean toward the latter. How wonderful to imagine that our mathematical manipulations touch the very foundation of reality. But my less sentimental assessment allows for mathematics to be a language of our own making, developed in part by overindulging our predilection for pattern. After all, much mathematical analysis plays little role in promoting survival. Rare was the meal, and rarer still was the opportunity to reproduce, that our ancestors secured by contemplating prime numbers or squaring the circle.
+
+  In the modern era, Einstein's capacities set an unmatched standard for tapping into nature's rhythms. And yet, although his legacy can be summarized by a handful of mathematical sentences-terse, precise, and sweeping-Einstein's forays into the far recesses of reality did not always begin with equations. Or even with language. "I often think in music,"1 is how he described it. "I very rarely think in words at all."2 Perhaps your process mirrors Einstein's. Mine doesn't. On occasion, when struggling with a difficult problem, I have had a sudden flash of insight reflecting some or other brain process beneath conscious awareness. But when I'm cognizant, even when using mental imagery to see my way toward a solution, it would be a stretch to say words are absent or to draw an association with music. More often than not, I make progress in physics by fiddling with equations and collecting conclusions in ordinary sentences I write out longhand in notebooks that fill one shelf after another. When I concentrate, I often talk to myself, usually silently, occasionally audibly. Words are essential to the process. Although I find Wittgenstein's summary, "The limits of my language mean the limits of my world"3 too broad in its scope-I have no doubt that there are vital qualities of thought and experience that stand outside language, a point we will return to later-without language my capacity for certain kinds of mental maneuvers would diminish. Words not only express reasoning, they vitalize it. Or, as said with incomparable grace by Toni Morrison, "We die. That may be the meaning of life. But we do language. That may be the measure of our lives."4
+  Save for the singular genius, and perhaps even there too, language is essential for unleashing imagination. With language we can articulate a vision in which the real world provides an impoverished glimpse of far richer possibility. We can conjure imagery, authentic and fanciful, in minds remote and proximal. We can pass on hard-earned knowledge, substituting the ease of instruction for the difficulty of discovery. We can share plans and align intentions, facilitating coordinated action. We can combine our individual creative capacities into an immensely consequential communal force. We can look into ourselves and recognize that though shaped by evolution we are able to soar beyond the needs of survival. And we can marvel at how a carefully arranged collection of grunts and glides and fricatives and stops can convey insight into the nature of space and time or provide an affecting portrait of love and death: "Wilbur never forgot Charlotte. Although he loved her children and grandchildren dearly, none of the new spiders ever quite took her place in his heart."
+
+  With language, we embark on writing a collective narrative, an overlay in story, to make sense of experience.
+First Words
+Notwithstanding the apocryphal palindrome "Madam, I'm Adam," no one knows when we began to speak or why. Darwin speculated that language emerged from song and imagined that those endowed with Elvis-like talents would more readily attract mates and thus more abundantly seed subsequent generations of gifted crooners. Given enough time, their melodious sounds would gradually transform into words.5 Alfred Russel Wallace, Darwin's lesser-feted codiscoverer of evolution by natural selection, saw things differently. He was convinced that natural selection could not shed light on the human capacities for music, art, and, in particular, language. In the competitive arena of survival, our singing, painting, and chattering ancestors were, in Wallace's view, no better off than their less flamboyant cousins. Wallace could see only one way forward: "We must therefore admit the possibility," he wrote in the widely read Quarterly Review, "that in the development of the human race, a Higher Intelligence has guided the same laws for nobler ends."6 The otherwise blind laws of evolution must have been harnessed by a divine power and directed toward the development of communication and culture. When Darwin read Wallace's article, he was aghast, responding with a heavily emphasized "no"7 in the margin and noting to Wallace: "I hope you have not murdered too completely your own & my child."8
+  In the intervening century and a half, researchers have developed a variety of theories for the origin and early development of language, but like tag-team wrestling, each seemingly convincing proposal has been met with a fresh opponent. There is far greater consensus on the early development of the universe. Odd as it may sound, this makes sense. The birth of the universe left a treasure trove of fossils. The birth of language didn't. The pervasive microwave background radiation, the particular abundances of simple atoms like hydrogen and helium, and the motion of distant galaxies provide direct imprints of processes that took place during the universe's earliest epoch. Sound waves, the earliest manifestation of language, rapidly disperse to oblivion. A moment or two after they're produced, they vanish. Absent tangible relics, researchers have latitude in reconstructing the early history of language, with the result, no surprise, being a profusion of different, often conflicting, theories.
+
+  Even so, there is wide agreement that human language differs profoundly from any other variety of communication in the animal kingdom. Were you an average vervet monkey, you'd be able to sound the alert, warning others in your tribe that an approaching predator was a leopard (short high-pitched whine), an eagle (repeated low-pitched snort), or a python (onomatopoeically labeled "chutters").9 But you'd be at a total loss to discuss the terror you felt when a python slithered by yesterday or articulate your plan for raiding a nearby bird nest tomorrow. Your language skills would draw on a small, closed collection of specific, fixed-meaning utterances, all centered on what's happening right here and right now. Much the same holds for communication evident within other species. As Bertrand Russell summarized it, "A dog cannot relate his autobiography; however eloquently he may bark, he cannot tell you that his parents were honest but poor."10 Human language is completely different. Human language is open. Rather than using fixed and limited phrases, we combine and recombine a finite collection of phonemes to yield intricate, hierarchical, and virtually unlimited sequences of sounds conveying a virtually unlimited spectrum of ideas. We can just as easily talk about yesterday's snake or tomorrow's nest as we can describe a delightful dream of flying unicorns or our deepening disquiet as night spills across the horizon.
+  Drill down farther, and we strike controversy. How is it that within a few short years after birth, without formal instruction, we become fluent in one or even multiple languages? Are our brains specifically configured to acquire language, or does cultural immersion together with our general propensity to learn new things offer an adequate explanation? Did human language begin as collections of vocalizations with fixed meanings, like the vervet monkey's alarm calls, which then splintered into words, or did language begin as elementary sounds that grew into words and phrases? Why do we have language? Did evolution directly select for language because it provides a survival advantage, or is language a by-product of other evolutionary developments like larger brain size? And across all these thousands of years, what in the world have we all been talking about? And why?
+
+  Noam Chomsky, among the most influential of all modern linguists, has argued that the human capacity to acquire language relies on us each possessing a hardwired universal grammar-a concept with a rich historical lineage wending its way back to thirteenth-century philosopher Roger Bacon, who concluded that many of the world's languages share a common structural foundation. In modern usage the term has been subject to various interpretations, and over the years Chomsky too has refined its meaning. In its least contentious form, universal grammar proposes that there is something in our innate neurobiological makeup that provides a language primer, a species-wide brain boost that propels us all to listen, to understand, and to speak. How else, the reasoning goes, could children, subject to the haphazard, fragmented, and freewheeling linguistic assault of daily life, possibly internalize a wealth of precise grammatical constructs and rules other than by possessing a formidable mental arsenal standing at the ready to process the verbal onslaught? And because any child can learn any language, the mental arsenal cannot be language-specific; the mind must be able to latch on to a universal core common to all languages. Chomsky has proposed that a singular neurobiological event, a "slight rewiring of the brain" perhaps eighty thousand years ago, may have resulted in our ancestors acquiring this capacity, sparking a cognitive big bang that blasted language clear across the species.11
+  Cognitive psychologists Steven Pinker and Paul Bloom, pioneers of a Darwinian approach to language, suggest a less bespoke history, one in which language emerged and developed through the familiar pattern of a gradual buildup of incremental changes that each conferred a degree of survival advantage.12 As our hunter-gatherer forebears roamed the plains and forests, the capacity to communicate-"Group of wild boar grazing at eleven o'clock," or "Watch out for Barney, he's got his eye on Wilma," or "Here's a better way of attaching that sharpened stone to the handle"-was vital for effective group functioning and essential for sharing accumulated knowledge. Brains capable of communicating with other brains thus had an edge in the competitive arena of survival and reproduction, impelling linguistic capacities to refine and spread widely. Still other researchers identify a suite of adaptations including breath control, memorization, symbolic thinking, awareness of other minds, formation of groups, and so on that may have worked in tandem to yield language even though language itself may have had little to do with the survival value of the adaptations themselves.13
+
+  Uncertain too is how long we've been speaking. Linguistic evidence from the remote past is virtually nonexistent, but by examining plausible archaeological proxies, researchers have suggested timeframes for when language may have first emerged. Artifacts like hafted tools (chiseled stones or bones securely attached to a handle), cave art, geometric engravings, and beadwork provide evidence that our ancestors at least as far back as one hundred thousand years engaged in planning, symbolic thinking, and advanced social interactions. As we are inclined to link such sophisticated cognitive capacities to language, we can imagine that as our ancestors sharpened their spears and axes or crawled through dark caves to paint bird and bison, they were prattling on about tomorrow's hunt or last night's campfire.
+  More direct evidence for the capacity to speak is gleaned from a different collection of archaeological insights. Scientists tracing the growth of cranial cavities and structural changes in the mouth and throat conclude that if our ancestors were so inclined they may have had the physiological capability to converse well over a million years ago. Molecular biology provides clues too. Human speech requires a high degree of vocal and oral dexterity, and in 2001 researchers identified what may be an essential genetic basis for such abilities. Studying a British family with a speech disorder spanning three generations-difficulty with grammar and with coordinating the complex movements of mouth, face, and throat necessary for normal speech-researchers homed in on a genetic mishap, a change to a single letter in a gene called FOXP2 sitting on human chromosome 7.14 The instructional misprint is shared by the afflicted family members and has thus been strongly implicated in the disruption of both language and speech. Early press coverage of the discovery dubbed FOXP2 the "grammar gene" or the "language gene," headline-grabbing descriptions that irked informed researchers, but oversimplified hyperbole aside, the FOXP2 gene does appear to be one essential component for normal speech and language.
+
+  Intriguingly, close variations of the FOXP2 gene have been identified in many species, from chimps to birds to fish, allowing researchers to trace how the gene has changed over evolutionary history. For chimps, the protein encoded by their FOXP2 gene differs from ours by only two amino acids (out of more than seven hundred), while that of Neanderthals is identical to ours.15 Did our Neanderthal cousins speak? No one knows. But this line of sleuthing suggests that a genetic basis for speech and language may have been set sometime after we split from chimps, a handful of millions of years ago, but before we separated from Neanderthals, about six hundred thousand years ago.16
+  The proposed links between language and each of the historical markers-ancient artifacts, physiological structures, genetic profiles-are clever but tentative. Consequently, studies based on these markers yield a broad span for when the world's first words may have debuted, from tens of thousands to a few million years ago. As skeptical researchers have also noted, it's one thing to have the physical capability and mental agility to engage in conversation and quite another to actually do so.
+  What, then, may have motivated us to speak?
+ 
+Why We Spoke
+There is no shortage of ideas for why our early ancestors broke the silence. Linguist Guy Deutscher notes that researchers have fingered the first words emerging "from shouts and calls; from hand gestures and sign language; from the ability to imitate; from the ability to deceive; from grooming; from singing, dancing and rhythm; from chewing, sucking and licking; and from almost any other activity under the sun,"17 a delightful list that likely reflects creative theorizing more than it does language's historical antecedents. Still, one or perhaps a combination of these may tell a relevant story, so let's look at a few of the suggestions for where our first words came from and why they stuck.
+  In times of old, prior to the innovation of coiling material into a baby sling, a mom tending to a two-handed task would set her baby down. Those that cried and babbled pulled mom's attention back and, plausibly, mom's response may have been vocal too-cooing, humming, grunting-supported by soothing facial expressions, hand gestures, and gentle touching. Baby's babbling and mom's TLC would have resulted in higher infant survival rates, selecting for vocalization and, according to this proposal, setting our forebears on the trajectory for words and language.18
+  Or, if motherese doesn't do it for you, note that gestures provide a direct means for communicating basic yet vital information-nodding toward this object or pointing at that location. Some of our nonhuman primate cousins, although lacking spoken language, can be adept at communicating rudimentary ideas through hand and body gestures. And in controlled research settings, chimps have learned hundreds of hand signs standing for various actions, objects, and ideas. Perhaps, then, our spoken language emerged from an earlier phase of gesture-based communication. As our hands became increasingly occupied with the construction and use of tools, and as more complex gatherings made gesturing inefficient or clumsy-difficult to see at night; difficult to see everyone's hands and bodies in groups that are hunting or foraging-vocalization might have offered a more effective means for sharing information. As I'm among those whose hands jump into action every time they speak, and sometimes before, this explanation strikes me as particularly plausible.
+
+  Yet, should gesturese leave you skeptical, consider evolutionary psychologist Robin Dunbar's proposal that language emerged as an efficient substitute for the widely practiced activity of social grooming.19 If you were a chimpanzee, you'd make friends and establish alliances by carefully picking nits, flaking skin, and other detritus off the fur of others in your community. Some members of your in-group would return the favor, while those ranking higher in status would note your service but would leave your nits intact. The grooming ritual is an organizational activity, fostering and maintaining the group's hierarchy, cliques, and coalitions. Early humans may have engaged in similar social grooming, but as group sizes grew, servicing relationships individually would have required a burdensome investment of time. Friendships, couplings, and alliances are vital, but so is ensuring that there's enough food to eat. What to do? Well, says Dunbar, this dilemma may have sparked the emergence of language. At some point our ancestors may have substituted verbal exchange for manual grooming, allowing them to quickly share information-who's doing what to whom, who's being deceitful, who's engaged in subversive plotting, and so on-off-loading hours of picking nits in favor of minutes of dishing dirt. Recent studies have shown that as much as 60 percent of our conversation today is devoted to gossip, a staggering number (especially to those of us who've hardly mastered small talk) that some researchers argue reflects the primary purpose of language at its inception.20
+  Linguist Daniel Dor develops the social role of language yet further. In a compelling and wide-ranging analysis, he proposes that language is a communally constructed tool with a specific and profoundly important function: to give individuals the power to guide each other's imaginations.21 Before the emergence of language our social commerce was dominated by our shared experiences. If we both saw something or heard something or tasted something, we could reference it with gestures, sounds, or pictures. But it would have been difficult to communicate about experiences we hadn't shared, not to mention the daunting challenge of airing abstract thoughts and inner sensations. With language, we surmounted these challenges. With language the market for our social exchange swelled enormously: you could use language to describe experiences I might have never had; through words you could conjure them in my mind. I could do the same for you. Over the millennia, as the welfare of our prelinguistic forebears became ever more dependent on coordinated communal action-cooperative hunting of large prey, building controlled fires, cooking for large groups, shared caring and instructing of the young22-they breached the limits of nonverbal exchange, brought language into the world, and established a vastly augmented social arena encompassing not just our shared experiences but our shared thoughts.
+
+  These and almost every other proposal for the origin of language emphasize the spoken word, the external manifestation of language. In his characteristically iconic way, Chomsky does an about-face, proposing that in its earliest incarnation language may have facilitated internal thought.23 Processing, planning, predicting, evaluating, reasoning, and understanding are but some of the essential tasks the inner voice between our forebears' ears could accomplish with cool confidence once thought was able to leverage language. Spoken language, in this view, was a subsequent development, like the addition of audio speakers to early model personal computers. It's as though long before they spoke, our ancestors were the deep and silent type, deliberating hard on their daily tasks but keeping the cogitation to themselves. Chomsky's position is contentious. Researchers have pointed to intrinsic features of language that appear designed for mapping internal concepts to the spoken word (notably, phonology and much of grammatical structure), suggesting that from the get-go language has been about external communication.
+  Although language's origin remains enigmatic, what's unquestionable, and of most relevance as we head onward, is that language and thought provide a potent mix. Whether or not an internal version of language preceded its external vocalization, and whether or not that vocalization was prompted by song or infant care or gesticulation or gossip or communal discourse or possessing a big brain or something else entirely, once the human mind had language, our species' engagement with reality was poised for radical change.
+
+  That change would ride on one of the most pervasive and influential of human behaviors: telling stories.
+Storytelling and Intuition
+George Smith was in a hurry. The fingers on his right hand gently but persistently tapped the inlaid ebony border of the long mahogany table. He'd just learned that Robert Ready, the museum's master stone restorer, would not return for several days. Several days. How could he wait? For three years, he had thrown on his coat, grabbed his carefully made sandwich of marmalade and Stilton, and dodged crowds and carriages as he raced to the British Museum, where he would spend the remaining minutes of his lunch break poring over fragments of hardened clay tablets recovered from an archaeological dig in Nineveh. His family was poor. He'd left school at fourteen to apprentice as a bank engraver. His prospects seemed limited. But George was a genius. He had taught himself ancient Assyrian and become expert at reading cuneiform writing. The museum's curators, who had taken a liking to the strange kid who hung around at noon, soon realized he was more adept at deciphering the cuneiform carvings than any of them and so brought George into their enclave as a full-time employee. Now, but a handful of years later, George had culled the thousands of clay pieces to assemble the first complete tablet and had already deciphered much of it. He'd found, or believed he'd found, a magnificent secret told by the series of triangular cuts and wedges-reference to a deluge myth preceding the account of Noah in the Old Testament-but he needed Robert Ready to delicately scrub the layer of crust obscuring an essential section of the text. George could taste victory. He shivered as he imagined the discovery elevating him to a new life. He couldn't contain himself. George decided to risk scrubbing the tablet himself.
+  OK, I'm getting carried away. The real George Smith waited. Days later, Robert Ready returned and plied his skills, and so was revealed the most ancient of our species' recorded stories, the Mesopotamian Epic of Gilgamesh, composed as far back as the third millennia BC. My free-form recounting does what storytellers-we humans-have long done: rework reality (what's known about the historical George Smith24), sometimes moderately (as here), sometimes aggressively, sometimes for heightened drama, sometimes for posterity, sometimes for the pure joy of spinning a good yarn. The artistic motivation of those who wrote Gilgamesh, a tale likely shaped by many voices over many generations, is unknown. But in this story full of battles and dreams, arrogance and jealousy, corruption and innocence, the characters and their concerns speak to us clearly across the millennia.
+
+  And that, really, is what's so striking. In the perhaps five thousand years since Gilgamesh was set down, history has witnessed transformation upon transformation of how we eat and shelter, how we live and communicate, how we medicate and procreate, and yet we immediately recognize ourselves in the unfolding narrative. Gilgamesh and his brother-in-arms Enkidu set out on a quest that would test their courage, their morality, and ultimately their sense of who they were-a Neolithic Thelma and Louise. Late in the journey, as Gilgamesh hovers over the lifeless Enkidu, he laments in wrenching but all too familiar terms: "He covered, like a bride, the face of his friend, like an eagle he circled around him. Like a lioness deprived of her cubs, he paced to and fro, this way and that. His curly [hair] he tore out in clumps, he ripped off his finery, [like] something taboo he cast it away."25 Like many, I have known this place. Decades ago, charging from room to room in my tiny walk-up apartment, not knowing where to turn, I frantically sought to escape the news that my father had suddenly died. Even at a remove of hundreds if not thousands of generations, there is much we share with our forebears.
+  And it is not only that we humans consistently grieve and mourn and thrill and delight and explore and wonder. We also share the urge to express all this and to process all this through story. Gilgamesh may be the oldest extant written story, but if our species was writing stories five thousand years ago, then long before that we surely were telling stories. It's what we do. And what we've long done. The question is why? Why would we eschew hunting additional bison and boar or gathering extra roots and fruit to spend time imagining escapades with petulant gods or journeys to fanciful worlds?
+
+  You might answer, because we like story. Yes. Of course. Why else would we steal off to the movies even though that report is due tomorrow? Why else would it feel like a guilty pleasure to set aside "real work" and carry on with that novel we've been reading or series we've been watching? Yet that's the beginning of an explanation, not the end. Why do we eat ice cream? Because we like ice cream? Yes, sure. But, as evolutionary psychologists have convincingly argued, the analysis can go deeper.26
+  Those of our forebears who enjoyed loading up on rich sources of energy like fleshy fruit and ripened nuts could better cope when days turned lean, thus producing more progeny and propagating a genetic predilection for sweets and fats. Today's craving for pistachio Häagen-Dazs, no longer praised as a health promoter, is a modern relic of yesteryear's vital scavenging for calories. It's Darwinian selection manifested at the level of behavioral inclination. Not that genes determine behavior. Our actions result from a complex amalgam of biological, historical, social, cultural, and all manner of chance influences that are imprinted on our particle arrangement. But our tastes and instincts are an essential part of that mix, and in the service of enhanced survival evolution had a strong hand in shaping them. We can learn new tricks but, genetically and hence instinctually speaking, we are old dogs.
+  The question, then, is whether Darwinian evolution can illuminate not only our culinary but also our literary tastes. Why were our ancestors drawn to expend precious resources of time, energy, and attention telling stories that, at first blush, don't seem to enhance our survival prospects? Fictional stories are particularly puzzling. What evolutionary utility could arise from following the exploits of imaginary characters facing make-believe challenges in nonexistent worlds? With its relentless random walk through the adaptive landscape, evolution is effective at sidestepping extravagant behavioral predispositions. A genetic mutation that led us away from the storytelling instinct, freeing up time for sharpening a few extra spears or scavenging a couple of extra buffalo carcasses, would seem to offer a survival advantage that, over time, would win. But it didn't. Or, for some reason, it's an opportunity evolution missed.
+  Researchers have tried to understand why, but the clues are scarce. There is precious little evidence for establishing either the prevalence or the utility of storytelling among forebears stretching back thousands of generations. This highlights a general challenge that pervades research seeking an evolutionary basis for behavior, one that we will encounter in various forms in the chapters that follow. From the standpoint of natural selection, what matters is the impact this or that behavior would have had on the survival and reproductive prospects of our forebears during the bulk of their history. A trustworthy account thus requires a refined understanding of the ancient mind-set as it negotiated the ancestral environment. But recorded history provides information for only the final quarter of 1 percent of the roughly two million years stretching back to the earliest human migrations out of Africa. Researchers have developed indirect probes of the past, including detailed examination of ancient artifacts, extrapolations of ethnographic analyses of today's remaining hunter-gatherer groups, and studies of the brain's architecture in search of cognitive echoes of ancient adaptive challenges. The patchwork of evidence constrains theorizing but still allows for a variety of perspectives.
+
+  One such perspective holds that to seek an adaptive role for storytelling is to look for enhanced fitness in the wrong place. A given behavioral predisposition may be a mere by-product of other evolutionary developments-developments that did enhance survival and thus did evolve in the usual way by natural selection. The general directive, emphasized colorfully in a famous paper by Stephen Jay Gould and Richard Lewontin, is that you can't cherry-pick evolution.27 Evolution sometimes offers only package deals. Big brains of the grey-white human variety, chock-full of densely connected neurons, are really good for survival, but perhaps something intrinsic to their design ensures that they revel in story. Consider, for instance, that our success as social beings relies in part on having good intel-who's up, who's down, who's strong, who's vulnerable, who's trustworthy. Because of the adaptive utility of such information, we are inclined to pay attention when it is available. And when in possession of such information, it is not uncommon to share it in exchange for burnishing our social status. As fiction is rife with information of this sort, our adaptively molded minds may be primed to perk up, listen, and repeat, even though the narrative is fanciful. Natural selection would thus smile on brains as they grew more adept at social living while rolling its eyes when listening to their obsessive storytelling.
+
+  Convinced? Many-and I count myself in this group-don't find it plausible that for all its capacity to innovate, the brain got locked into a thoroughly pervasive, utterly central, and yet adaptively irrelevant behavior. Aspects of the storytelling experience may be part of an evolutionary package deal, but if telling stories and listening to stories and telling those stories again amounted to sideline chatter, evolution would, one anticipates, have found a way to shed this wasteful tic. How then might storytelling earn its adaptive keep?
+  In seeking an answer, we must be mindful of the rules of the game. For many behaviors it is all too easy to concoct after-the-fact adaptive roles. And because we can't test such suggestions by rerunning the evolutionary unfolding, there is a danger that we're left with a collection of "just so" stories. The most convincing proposals are ones that start with a given adaptive challenge-one that if surmounted would result in greater reproductive success-and argue that a particular behavior (or suite of behaviors) is intrinsically well designed for meeting that challenge. The Darwinian explanation of our sweet tooth is exemplary. Humans require a minimum number of calories to survive and reproduce. Faced with the potential of a devastating shortfall in caloric intake, a preference for foods densely packed with sugars has manifest adaptive value. If you were designing the human mind, aware of the human body's physiological needs and the nature of the ancestral environment, it is easy to imagine that you would program the human brain to encourage its body to eat fruit whenever available. That natural selection arrived at this very strategy is thus not at all surprising. At issue is whether there are analogous adaptive considerations that might lead you to program the human mind to create, tell, and listen to stories.
+  There are. Storytelling may be the mind's way of rehearsing for the real world, a cerebral version of the playful activities documented across numerous species which provide a safe means for practicing and refining critical skills. Leading psychologist and all-around man of the mind Steven Pinker describes a particularly lean version of the idea: "Life is like chess, and plots are like those books of famous chess games that serious players study so they will be prepared if they ever find themselves in similar straits."28 Pinker imagines that through story we each build a "mental catalogue" of strategic responses to life's potential curveballs, which we can then consult in moments of need. From fending off devious tribesmen to wooing potential mates, to organizing collective hunts, to avoiding poisonous plants, to instructing the young, to apportioning meager food supplies, and so on, our forebears faced one obstacle after another as their genes sought a presence in subsequent generations. Immersion in fictional tales grappling with a wide assortment of similar challenges would have had the capacity to refine our forebears' strategies and responses. Coding the brain to engage with fiction would thus be a clever way to cheaply, safely, and efficiently give the mind a broader base of experience from which to operate.
+
+  Some literary scholars have pushed back, noting that strategies pursued by fictional characters facing pretend challenges are not, generally speaking, portable to real life, or at least, not advisedly so.29 "You might end up running around like the comically insane Don Quixote or the tragically deluded Emma Bovary-both of whom go astray because they confuse literary fantasy with reality," is how Jonathan Gottschall sportively summarizes the critique.30 Pinker, of course, was not suggesting that we copy actions we encounter in stories but rather that we learn from them-an approach, as Gottschall notes, that is perhaps conveyed more fully by a modest shift in metaphor to one introduced by psychologist and novelist Keith Oatley:31 Instead of mental file think flight simulator. Stories provide fabricated realms in which we shadow characters whose experiences far outstrip our own. Through borrowed eyes protected by the tempered glass of story, we intimately observe an abundance of exotic worlds. And it is through these simulated episodes that our intuition expands and refines, rendering it sharper and more flexible. When faced with the unfamiliar, we don't initiate cognitive look-ups that search a Dear Abby of the mind. Instead, through story we internalize a more nuanced sense of how to respond and why, and that intrinsic knowledge guides our future behavior. Cultivating an innate sense of heroic passion is a far cry from tilting at windmills-and that was my take, and that of many others too, on turning the last page in the adventures of Alonso Quijano.
+
+  With the flight simulator as our metaphor for the adaptive utility of story, how would we program the simulator itself? What kinds of stories would we have it run? We can take the answer from the first page of the Creative Writing 101 curriculum. An axiom of storytelling is the need for conflict. The need for difficulty. The need for trouble. We are drawn in by characters pursuing outcomes that require clearing treacherous hurdles, external and internal. Their journeys, literal and symbolic, keep us on the edge of our seats or furiously turning pages. To be sure, the most captivating of stories invoke surprising, entertaining, even awe-inspiring approaches to characters, plot, and the storytelling technique itself, but for many, remove the conflict and the story fizzles. It is no coincidence that the same goes for the Darwinian utility of the content running on the narrative flight simulator. Without conflict, without difficulty, without trouble, the adaptive value of story would fizzle too. A Josef K. who is happy to confess to an unnamed crime and dutifully serve an unjustified punishment would be a quick read. And with no other narrative adjustments, a less than impactful one. As would following a Dorothy who cheerfully hands over the ruby slippers, steps off the yellow brick road, and assimilates into Munchkinland. Clear skies, textbook-perfect engines, and model passengers are not the simulations that improve pilot readiness. The usefulness of rehearsing for the real world is encountering situations that would be challenging to respond to without preparation.
+  It's a perspective on story that may also shed light on why you and I and everyone else spend a couple of hours each day concocting tales that we rarely remember and more rarely share. By day I mean night, and the tales are those we produce during REM sleep. Well over a century since Freud's The Interpretation of Dreams, there is still no consensus on why we dream. I read Freud's book for a junior-year high school class called Hygiene (yes, that's really what it was called), a somewhat bizarre requirement taught by the school's gym teachers and sports coaches that focused on first aid and common standards of cleanliness. Lacking material to fill an entire semester, the class was padded by mandatory student presentations on topics deemed loosely relevant. I chose sleep and dreams and probably took it all too seriously, reading Freud and spending after-school hours combing through research literature. The wow moment for me, and for the class too, was the work of Michel Jouvet, who in the late 1950s explored the dream world of cats.32 By impairing part of the cat brain (the locus coeruleus, if you like that sort of thing), Jouvet removed a neural block that ordinarily prevents dream thoughts from stimulating bodily action, resulting in sleeping cats who crouched and arched and hissed and pawed, presumably reacting to imaginary predators and prey. If you didn't know the animals were asleep, you might think they were practicing a feline kata. More recently, studies on rats using more refined neurological probes have shown that their brain patterns when dreaming so closely match those recorded when awake and learning a new maze that researchers can track the progress of the dreaming rat mind as it retraces its earlier steps.33 When cats and rats dream it surely seems they're rehearsing behaviors relevant to survival.
+
+  Our common ancestor with cats and rodents lived some seventy or eighty million years ago, so extrapolating a speculative conclusion across species separated by tens of thousands of millennia comes with ample warning labels. But one can imagine that our language-infused minds may produce dreams for a similar purpose: to provide cognitive and emotional workouts that enhance knowledge and exercise intuition-nocturnal sessions on the flight simulator of story. Perhaps that is why in a typical life span we each spend a solid seven years with eyes closed, body mostly paralyzed, consuming our self-authored tales.34
+  Intrinsically, though, storytelling is not a solitary medium. Storytelling is our most powerful means for inhabiting other minds. And as a deeply social species, the ability to momentarily move into the mind of another may have been essential to our survival and our dominance. This offers a related design rationale for coding story into the human behavioral repertoire-for identifying, that is, the adaptive utility of our storytelling instinct.
+ 
+Storytelling and Other Minds
+Professional discourse among physicists generally involves specialized jargon articulated in a confetti of equations. Not the kind of material that would draw those huddled around the campfire to lean in. Yet if you know how to read the equations and interpret the jargon, the stories they tell can be stirring. In November 1915, when an exhausted Albert Einstein, on the verge of completing his general theory of relativity, plied the equations to explain the long-standing enigma of Mercury's orbit deviating slightly from Newtonian predictions, he was so moved that he experienced palpitations of the heart. He had been navigating through the treacherous waters of complex mathematics for nearly a decade, and the result of that calculation was akin to the first sighting of land. To paraphrase Alfred North Whitehead's later assessment, it meant that Einstein's bold quest had arrived safely on the shores of understanding.35
+  I have never had a discovery that monumental. Few have. But even more prosaic discoveries can provide a similar heart-pounding thrill. At those moments, there is a sense of deep connection with the cosmos. That, truly, is what the stories embedded in the abstract mathematics and the specialized language are all about. The stories give an intimate accounting of the universe, or something within the universe, as it is born, as it ages, as it transforms. The stories provide a means for experiencing the universe from a perspective that is otherwise unattainable. They provide a gateway to realms of reality that, in the most gratifying of examples, are wholly unexpected. Through mathematics, confirmed by experiment and observation, we are given leave to commune with a strange and wondrous cosmos.
+  The stories we have been telling in natural languages for thousands of years play an analogous role. Through story we break free from our usual singular perspective and for a brief moment inhabit the world in a different way. We experience it through the eyes and imagination of the storyteller. The flight simulator of story is our portal to the idiosyncratic worlds playing out in nearby minds. In the words of Joyce Carol Oates, reading "is the sole means by which we slip, involuntarily, often helplessly, into another's skin; another's voice; another's soul...to enter a consciousness not known to us."36 Without story, the nuances of other minds would be as opaque as the microworld without knowledge of quantum mechanics.
+
+  Is there an evolutionary consequence to this distinctive quality of story? Researchers have imagined so. We prevailed, in large part, because we are an intensely social species. We are able to live and work in groups. Not in perfect harmony, but with sufficient cooperation to thoroughly upend the calculus of survival. It is not just safety in numbers. It is innovate, participate, delegate, and collaborate in numbers. And essential to such successful group living are the very insights into the variety of human experience we've absorbed through story. As psychologist Jerome Bruner noted, "We organize our experience and our memory of human happenings mainly in the form of narrative,"37 leading him to doubt that "such collective life would be possible were it not for our human capacity to organize and communicate experience in narrative form."38 Through narrative we explore the range of human behavior, from societal expectation to heinous transgression. We witness the breadth of human motivation, from lofty ambition to reprehensible brutality. We encounter the scope of human disposition from triumphant victory to heartrending loss. As literary scholar Brian Boyd has emphasized, narratives thus make "the social landscape more navigable, more expansive, more open with possibilities," instilling in us a "craving for understanding our world not only in terms of our own direct experience, but through the experiences of others-and not only real others."39 Whether told through myths, stories, fables, or even embellished accounts of daily events, narratives are the key to our social nature. With math we commune with other realities; with story we commune with other minds.
+  When I was a kid, I'd often watch the original Star Trek series with my dad, a tradition I've repeated with my own son. Morality tales and space opera have a strong pull on those who enjoy heroic exploration served up with doses of philosophical pondering. One of the most riveting episodes, "Darmok," from the Next Generation spinoff, depicts an extraordinary role for story in the fashioning of civilization. The Tamarians, an alien race of humanoids, communicate solely through allegory, and so Captain Picard's direct use of language is as baffling to them as their constant reference to an oeuvre of unfamiliar stories is to him. Picard finally grasps their allegory-based worldview and establishes a cross-species meeting of the minds by recounting The Epic of Gilgamesh.
+
+  To the Tamarians, the patterns of life and community are imprinted in a collection of shared stories. Our mental template is less single-minded, but even so, narrative provides one of our primary conceptual schemas. Anthropologist John Tooby and psychologist Leda Cosmides, pioneers of evolutionary psychology, suggest why: "We evolved not so long ago from organisms whose sole source of (non-innate) information was the individual's own experience."40 And experience, whether contending with the crowds of today's Times Square or coordinating a group hunt on the plains of Cenozoic Africa, delivers information in storylike packets. If we possessed the fanciful, superhuman, particle-revealing vision I invoked in the previous chapter, the packets of experience might have a different character: perhaps we would organize our thoughts and memories in terms of particle trajectories or quantum wave functions. But with ordinary human perceptions, the palette of experience is colored in narrative, and so our minds are adapted for painting the universe in story.
+  Note, though, that form is one thing and content another. While experience has instilled an enchantment with the structure of story, we use narrative to organize our understanding well beyond the bounds of human encounters. Scientific advances provide a prime example. Tales of a lone species setting out to conquer the grand mysteries of reality and returning with some of the most startling insights can indeed be the stuff of drama and heroics. But the standard of success for the scientific content of these stories is poles apart from the measures we bring to bear on our human odysseys. The raison d'être of science is to pull back the veil obscuring an objective reality, and so scientific accounts must conform to standards of logic and be tested through replicable experimental scrutiny. That is the power but also the limitation of science. By rigorously adhering to a standard that minimizes subjectivity, science fixes on results that transcend any given member of the species. Schrödinger's profoundly important quantum equation tells us a lot about electrons-and how thrilling to have an equation that delineates the comings and goings of these wispy particles with greater precision than any account of any other happening on the planet-but the math doesn't tell us much about Schrödinger or the rest of us. It's a price science pays proudly for a quantum chronicle that may prove relevant well beyond our little corner of reality, perhaps holding sway across all space and throughout all time.
+
+  The stories we tell of the comings and goings of characters, whether real or fictional, have a different concern. They illuminate the richness of our ineluctably circumscribed and thoroughly subjective existence. Ambrose Bierce's breathtaking tale, occupying a brief moment in a military execution at Owl Creek Bridge, distills what Ernest Becker described as the "excruciating inner yearning for life."41 Through story, we witness an amplified version of that yearning. And as we envision the exhausted but elated Peyton Farquhar reaching out to grasp his wife, and the noose sharply jolts him, and us, from his imagined escape, our sense of what it means to be human ramifies. Through language, story explodes the limits that would otherwise be imposed by our own narrow experiences. As the masterfully chosen words direct our imagination, we gain a deeper sense of our common humanity and a more nuanced understanding of how to survive as a social species.
+  Whether dealing with fact or fiction, the symbolic or the literal, the storytelling impulse is a human universal. We take in the world through our senses, and in pursuing coherence and envisioning possibility we seek patterns, we invent patterns, and we imagine patterns. With story we articulate what we find. It is an ongoing process that is central to how we arrange our lives and make sense of existence. Stories of characters, real and fanciful, responding to situations familiar and extraordinary, provide a virtual universe of human engagement that infuses our responses and refines our actions. Sometime in the far future, if we finally play host to visitors from a distant world, our scientific narratives will contain truths they will have likely discovered too, and so will have little to offer. Our human narratives, as with Picard and the Tamarians, will tell them who we are.
+ 
+Mythic Tales
+Within the community of scientists, research findings gain currency by explaining puzzling data, or by offering resolutions to thorny theoretical problems, or by allowing us to accomplish feats previously beyond reach. The vast majority of scientific developments remain the province of experts, but some do manage to rise above the others and achieve a broad cultural impact. For the most part, these are developments relevant to grand concerns that transcend nitty-gritty scientific detail: How did the universe begin? What is the nature of time? Is space what it appears to be? If you absorb science's most refined answers to such big questions, your perspective on reality will almost certainly shift. That we are a minor planet orbiting an average star formed in the aftermath of a stupendous swelling of primordial space is a realization that constantly informs my thoughts regarding how we fit into the grand picture. That time elapses at a different rate for me than it does for anyone else who is not moving precisely with me is a stunning fact that I reflect on endlessly. That our apparently three-dimensional reality may be a thin slice through a grander spatial expanse is a thrilling possibility that I delight in imagining.
+  Across millennia, cultures too have produced particular stories that have also managed to rise above the others and achieve a broad impact on their community's view of reality. These are a culture's myths-stories held in sufficient regard to garner a sense of the sacred. It is notoriously difficult to define myth, but we will take it to denote stories that invoke supernatural agents to explore culture's grand concerns: its origin, its long-practiced rituals, its particular ways of imposing order on the world. Through their longevity, wide appeal, and portfolio of fundamental explanations, myths become the basis of a shared heritage, a corpus of tragedy and triumph, of chronicle and fantasy, of adventure and reflection that defines a people and shapes a society.
+  There is a long history of scholars developing insightful ways to read and interpret myth. Early in the twentieth century, anthropologist Sir James Frazer proposed that myths emerge from attempts to explain the otherwise puzzling phenomena of life and nature encountered by our ancient brethren. Psychoanalyst Carl Jung believed that through archetypes-universal patterns that, he surmised, are inherent to the unconscious mind-myths express shared qualities of the human experience. Joseph Campbell argued for a "monomyth," a master template for mythological stories in which a reluctant character receives a call to action, undertakes an adventure rife with danger and death-defying rites of passage, and finally returns home, a born-again hero whose journey gives our sense of reality a hearty shake.42 More recently, philologist Michael Witzel has suggested that a universal template emerges most clearly not at the level of individual myths but only when we consider the collective myths of entire traditions-a concatenated story line, he suggests, that extends all the way from the world's beginning to its final demise. Invoking linguistics, population genetics, and archaeology, Witzel argues that common qualities in these narratives can be traced to an earlier form of mythology that originated in Africa, perhaps as far back as one hundred thousand years ago.43
+
+  These proposals, and others too numerous to mention, incite controversy and impassioned critiques. They have their proponents and detractors; they rise and fall. Some scholars suggest that while the allure of a single overarching explanation for myth is strong-it would help identify the pervasive qualities that shaped our ancient heritage-the complexity of human life as it played out through a dimly lit and uncertain history may not lend itself to a singular explanation. For our purpose here, the explanatory sweep can be more limited. Religious scholar and author Karen Armstrong has offered the sparest of summaries, noting that myths are "nearly always rooted in the experience of death and the fear of extinction,"44 and even if we're a touch more conservative and soften "nearly always" to "often" or "in many instances," we still have a strong guiding light to lead us onward.
+  A few examples: When Gilgamesh hears of a man to whom the gods apparently granted immortality, he'll stop at nothing-journeying across a vast wilderness, staring down scorpion monsters, negotiating the Waters of Death-to learn the secret for escaping the otherwise inevitable end. Death is central to the Hindu tale of the goddess Kali, whose perfection so enrages her divine compatriots that they sever her head with a bolt of lightning;45 death is at the core of the Kono creation myth in which Sa, the deity of death, believes his daughter has been abducted by the god Alatangana and for revenge decrees mortality for all humankind; it's a significant theme in the Oceania story of Ma-ui, who passes through the ferocious jaws of the sleeping Goblin-Goddess, Great Hina-of-the-Night, intent on securing immortality by ripping out her heart-but Hina awakes and with her razor-sharp teeth tears him to shreds.46 Randomly crack open your favorite anthology of world myths, and you won't have to tread far before you're toeing death's door. These tales of characters fighting for their lives and bringing death into the world are echoed through the many stories that tell of the annihilation of the entire world. As Witzel notes, such destruction "may take place as a final worldwide conflagration-the Götterdämmerung or Ragnarök in the Edda, molten metal in Zoroastrian myth, Śiva's destructive dance and fire in India, fire in Munda myth, fire/water and so on in Maya and other Mesoamerican myths, and Atum's final destruction of the earth in Egypt."47 And if that leaves you hankering for more, there are numerous stories telling of other destructions that make generous use of ice, endless winters, and, popular the world over, floods.
+
+  What's going on here? Why so much danger, death, and destruction? Narrative invites conflict and trouble; unless we are committed to upending narrative norms, without these elements we would be hard-pressed to find a story to tell. Blend that with the larger-than-life concerns at the core of myth-origins of place or people and rationales for ways of being-and the dilemmas inherent to story are pushed to an extreme. The progression could hardly be otherwise. By the time we have language and by the time we tell stories, we have acquired the capacity to live beyond the moment. We are able to navigate past and future with ease. We are able to plan and design, to coordinate and communicate, to anticipate and prepare. The utility of these capacities is manifest, but with such mental agility we also live with the memory of those who were but are no more. We infer the pattern, never breached, that each life ends. We recognize that life and death are locked in an uncleavable embrace. They are dual qualities of existence. To reflect on origins is to rouse questions of endings. To reflect on how to live a life is to reflect on the absence of life. The inevitability of death is a commanding realization for us in the here and now, and, one can imagine, only more so during epochs when the end could come yet more capriciously. It is little wonder that death and destruction garnered thematic prominence.
+
+  But why populate these ancient tales with manic giants, fire-breathing serpents, bull-headed men, and the like? Why terrifying fantastic tales instead of terrifying realism? Why go Poltergeist and The Exorcist instead of Saving Private Ryan and Reservoir Dogs? Cognitive anthropologist Pascal Boyer, building on early work of cognitive scientist Dan Sperber,48 suggests an answer. For a concept to grab hold of our attention with enough force that we remember it and transmit it to others, the concept must be sufficiently novel to offer surprise but not so outrageous that we immediately deem it ridiculous. Boyer argues that a given musing lands in the cognitive sweet spot when it is "minimally counterintuitive"-which means that it violates one or perhaps as many as two of our deeply ingrained expectations.49 Invisible people? Sure, so long as invisibility is the only counterintuitive feature. A river that answers calculus problems by singing them to the theme of M*A*S*H? Silly, and so is dismissed by most everyone and quickly forgotten. Aligning with the larger-than-life themes of mythic tales, the protagonists we encounter are larger than life but minimally counterintuitive constructs of the human imagination. No surprise that these protagonists have physical forms, thought processes, and even personality profiles that, at the very least, are thoroughly familiar, even if their powers exceed expectations based on anything we have ever encountered.
+  Language provides another cylinder powering myth's creative engine. Once we have the capacity to describe the structure of ordinary things-raging storms, burning trees, slithering snakes, and so on-language provides a ready-made narrative Mr. Potato Head, allowing us to mix and match freely. Giant rocks and talking people are but one swap from the more captivating linguistic mash-up of talking rocks and giant people. Language unleashes the cognitive capacity to imagine all manner of unrehearsed combinations that guide us toward novelty.50 Minds that acquired this power were minds capable of seeing old problems in a new way. They are minds that would innovate. They are minds that, in time, would control and reshape the world.
+
+  Seeding the creative swirl, too, is our theory of mind-our innate tendency to ascribe a mind to anything we encounter that even hints of having agency. As in our earlier discussion of consciousness, when we encounter other people, even at a distance and without direct engagement, we immediately endow them with minds more or less like our own. Evolutionarily speaking, that's a good thing. Other minds can generate behaviors that we're better off anticipating. Same goes for animals, and so we instinctively ascribe intents and desires to them too. But sometimes, as emphasized by the psychologist Justin Barrett and the anthropologist Stewart Guthrie, we overdo it.51 Evolutionarily speaking, that can be a good thing too. To mistake a distant moonlit shrub for a resting lion, no big deal. To think that the noise we just heard was a windblown branch when it's an approaching leopard, deadly. When assigning agency in the wild, better to overendow than underendow (up to a point, of course), a lesson that successful molecules of DNA and the storytelling vehicles they inhabit have taken to heart.
+  Decades ago, during what for me was a fairly rare camping expedition, I was challenged to undertake a brief solo period in the woods. Equipped with a tarp, sleeping bag, three matches, a small can, a pen, and a journal, I found myself more deeply alone than I had ever been. By any measure practical or psychic, I was not prepared. I managed a low makeshift roof by impaling the tarp on judiciously chosen branches, but I used up all the matches on my first unsuccessful attempt to build a fire. As the sun began to set and terror started to rise, I rolled out the sleeping bag, scurried in, and stared at the tarp hovering close above my face. I was just this side of panic. To my city-habituated ears and overworked imagination, every gust and every creak was a bear or mountain lion. I had no illusions of heroism, but each seemingly interminable second felt like my own death-defying rite of passage. I took out my pen and scratched two circular eyes, a splotchy nose, and a crooked mouth, slightly turned up at the corners; pen on tarp is not ideal, but the broken blue lines and indented plastic were enough. I was still alone but didn't feel it as fully. If each of the night's forest noises was endowed with a mind, then so too for my etching. I would be cast away for only three days, but I'd created my own Wilson.
+
+  Evolution instilled a tendency for us to imagine our surroundings chock-full of things that think and feel, sometimes envisioning them offering help and counsel, but more often conceiving of them as plotting and planning, crossing and double-crossing, attacking and avenging. Overendowing the world's sounds and stirrings with minds bent on danger and destruction can save your life. Having the cognitive flexibility to mash up elements of reality into concoctions of the fantastic can seed innovation. Empowering otherwise ordinary protagonists with surprising supernatural qualities grabs attention and facilitates cultural transmission. In combination, these elements illuminate the kinds of stories that captivated our ancestors' imagination and provided narrative guidance for navigating the ancient world.
+  Over time the most enduring of these mythic tales would seed one of the world's most transformative forces: religion.
+
+ 
+ 
+7
+BRAINS AND BELIEF
+From Imagination to the Sacred
+I imagine that when we finally make contact with intelligent beings beyond earth, they too will recount a history replete with attempts to find meaning. Life capable of building telescopes, of fashioning spacecraft, of reaching out to the cosmos and listening in on its chatter is life that has the capacity for self-reflection. As intelligence matures, the very same impulse to explore and to understand manifests as an urge to infuse experience with significance. Answer enough how questions and why questions quickly follow. Here on earth, survival forced our early brethren to be technicians. They needed to learn to fashion stone, bronze, and iron. They needed to master the techniques of hunting, gathering, and farming. But while servicing essential survival needs, our ancestors struggled with the very same questions we do-questions of origin, meaning, and purpose. To survive is to kindle the search for why survival matters. Technicians inevitably become philosophers. Or scientists. Or theologians. Or writers. Or composers. Or musicians. Or artists. Or poets. Or devotees of thousands of variations and combinations of systems of thought and creative expression that promise insight into the very questions that gnaw at our insides long after our stomachs are full.
+  As our enduring stories and myths make clear, the most persistent of such questions are existential. How did the world begin? How will it end? How can we be here one moment and yet be gone the next? Where do we go? What other worlds might be out there?
+ 
+Imagining Other Worlds
+About one hundred thousand years ago, somewhere in the Lower Galilee region of present-day Israel, a child who was four, maybe five years old, maybe playing quietly, maybe making mischief, suffered a traumatic blow to the head. The child's gender is unknown, but let's imagine she's a little girl. The cause of the injury is obscure too. Stumbling down a steep rocky hill, falling from a tree, receiving excessive punishment? What we do know is that the impact gashed the front right side of her skull, causing brain damage, which she endured until the age of twelve or thirteen, when she died. These facts have been gleaned from skeletal remains found at Qafzeh, one of the most ancient of all burial sites, whose excavation began in the 1930s. Although the remains of twenty-six others were also found at the site, the burial of the young girl is distinctive. Antlers from two deer were laid across the girl's chest with one end resting on her palm, an arrangement according to the researchers that provides evidence of a ceremonial burial. Could the antlers be an unintentional ornament? Possibly. But it is easy to follow the research team's judgment and envision Qafzeh 11, as the child is known, being laid to rest in a ritual enacted a hundred millennia ago by early humans who were reflecting on death, struggling to grasp what it means, and, perhaps, thinking about what might follow.1
+  Tentative though conclusions about events so distant surely are, excavations of burials from later eras make the interpretation yet more plausible. In 1955, in the village of Dobrogo, about two hundred kilometers northeast of Moscow, Alexander Nacharov was operating an excavator for the Vladimir Ceramic Works when he noticed that intermingled with the yellowish brown loam he'd scooped up were bones. They turned out to be the first of many that would be unearthed over the next few decades at Sunghir, one of the most celebrated burial sites of the Paleolithic era. One grave is particularly stunning: a boy and a girl, ages approximately ten and twelve at death, were buried head-to-head in what looks like an eternal melding of two young minds. Interred more than thirty thousand years ago, their remains are adorned by one of the most elaborate collections of grave goods ever discovered. Headgear made from decorated arctic fox teeth, ivory armbands, more than a dozen ivory spears, perforated ivory disks, and-bringing a smile to fans of Liberace-more than ten thousand carved ivory beads that were likely sewn into the children's burial garb. Researchers have estimated that at the furious pace of one hundred hours per week, it could easily have taken an artisan more than a year to make these ornaments.2 The investment provides at the very least a strong hint that ritual burials were part of a strategy to transcend the finality of death. The body might cease, but some vital quality, which might be enhanced or appeased or honored or gratified by elaborate burial accessories, would carry on.
+
+  Nineteenth-century anthropologist Edward Burnett Tylor argued that dreams were a persuasive influence guiding early humans to this very conclusion.3 We can well imagine that nightly escapades, from the curious to the outré, would have provided a persistent suggestion of a world beyond what's available to open eyes. Whether feeling comforted or frightened, to awake from a visit with a departed friend or relative is to be left with the sense that they still exist. Not in the way they once did. Not here, clearly. But in some ethereal way they are close by. Written accounts, although not available until much later, support the speculation through abundant instances of dreams providing windows onto unseen realities. Ancient Sumerians and Egyptians interpreted dreams as directives from the divine; throughout the Old and New Testaments, divine will is frequently revealed through dreams. And in the modern era, studies of isolated hunting societies like Australian aborigines reveal the essential role of Dreamtime, an eternal realm from which all life originates and to which all life will return. Dreamlike trance states are also common to a number of traditions that engage in rituals driven by percussive music and strenuous dance, which can proceed for hours and induce hypnotic reveries that participants have described as being transported to distinct planes of reality.4
+
+  During waking hours, too, there would have been no shortage of episodes suggesting a reality beyond the visible: powerful forces at work on earth and in the skies; capricious happenings of daily existence; frequent life-threatening and life-ending dangers. Evolutionary success in a social setting primed our brains to attribute common experiences to the actions of fellow beings. When lightning struck or the floods came or the earth shook, we continued to imagine that a thinking being was responsible. Faced with it all, we can imagine our forebears implicitly acknowledging the limits of their influence in an uncertain world and in response conjuring characters inhabiting an invisible realm that would wield the very powers they lacked.
+  Unwitting or not, it was a spectacularly clever response. It allowed us to write otherwise random events into coherent stories: To imagine unseen realms populated with characters familiar and fabricated. To provide names and faces, real and fantastic, who keep tabs on what we do and exert ultimate control over our fate. To recast mortality as a gateway traversed by Qafzeh 11, her two dozen cave companions, as well as generations of ancestors, en route to these invisible but ascendant worlds. To tell and retell their stories, and with these narratives invoke the personalities, foibles, grudges, jealousies, and all manner of human demeanor playing out in nearby worlds to explain the otherwise unexplained happenings in our own.
+  Our ancient artistic forays provide further hints of an otherworldly preoccupation. On rock walls the world over explorers have found tens of thousands of painted images, some dating farther back than forty thousand years. They reveal a menagerie from lion to rhino to creative hybrids including deer meets woman and bird meets man. The human form takes a secondary role, often executed as a rudimentary sketch if it appears at all. Collections of human handprints are plentiful, depicted as chaotic overlapping stenciled outlines whose meaning we can only guess-straining to touch another realm, longing to acquire the rock's seemingly infinite durability, imprinting exuberant ornamentation, leaving early versions of "Kilroy was here"? Intentions fade and so we are left to wonder. As we do, we recognize in the dancing sorcerer and dying bison the earliest efforts of a creative force that seems like our own. Looking just beneath the rock surface, we catch a glimpse of ourselves staring back.
+
+  Therein lies both thrill and pitfall. The allure of encountering our ancient cultural kin may beguile us into attributing undue meaning to their creative works. Perhaps cave art is nothing more than mindless doodles of the early conscious mind. Or, in a more elevated description, perhaps cave art demonstrates an ancient aesthetic drive, what some have called "art for art's sake."5 Inferring the inspiration of those who lived hundreds of centuries ago is a risky business, and so we're well advised not to overreach. But when you consider the ordeal required to reach at least some of these sites-archaeologist David Lewis-Williams describes how explorers now and, presumably, cave artists then "crouched and crawled underground along a narrow, absolutely dark passage for more than a kilometre, slid along mud banks and waded through dark lakes and hidden rivers"6-an art-for-art's-sake explanation seems less plausible. Even those of our ancient brethren with an especially strong bohemian commitment would likely have chosen easier ways to satisfy a purely artistic impulse.
+  Perhaps, then, our artistic forebears were undertaking magical ceremonies to assure the success of the hunt, an idea promoted in the early 1900s by archaeologist Salomon Reinach.7 What's a little spelunking and painting if it can assure a delightful and necessary dinner?8 Or, as suggested by Lewis-Williams, developing earlier ideas discussed by historian of religion Mircea Eliade, perhaps cave art derives from shamanic head trips. As mythic narratives acquired increased followings, shamans-spiritual leaders who gained prominence by convincing others, and perhaps themselves too, of their ability to travel to the unseen realms of nearby realities-became intermediaries between this world and the next. The inspiration for Paleolithic paintings may then have been trancelike visions experienced by shamans negotiating with mythological characters or channeling imaginary animals.
+  Striking similarities between compositions separated by continents and millennia seem to gesture toward a single sweeping explanation for cave art. But even if that is too ambitious a vision, there is one characteristic of which archaeologist Benjamin Smith is thoroughly convinced: "Caves were far from just 'canvases.' They were places in which rituals were conducted, where people communicated with spirits and ancestors dwelling in another realm, they were places loaded with meaning and resonance."9 According to Smith and many like-minded researchers, our forebears believed deeply that through art and ritual they could influence spiritual forces. That confident conclusion notwithstanding, as we look back twenty-five, fifty, perhaps even a hundred thousand years, details are hazy, and so it is unlikely that we will ever definitively know what motivated our ancient brethren. Even so, a consistent if tentative picture comes into focus. We see our forebears engaging in ceremonial burials, ritualized send-offs to other worlds; creating art that imagines realities beyond experience; telling mythic narratives that invoke powerful spirits, immortality, and the afterlife-in short, the strands of what later generations would label religion are coming together, and we don't have to strain to see recognition of life's impermanence entwined in the braiding.
+ 
+Evolutionary Roots of Religion
+Can we parlay ancient burgeoning religiosity into an explanation of the wide adoption of religious practice the world over? Proponents of the cognitive science of religion such as Pascal Boyer argue that we can. Even across the broadest spectrum of religious engagement, he suggests, there is a uniformly applicable evolutionary basis:
+The explanation for religious beliefs and behaviors is to be found in the way all human minds work. I really mean all human minds, not just the minds of religious people...because what matters here are properties of minds that are found in all members of our species with normal brains.10
+  The thesis is that features inherent to human brains, shaped over eons by the relentless battle for evolutionary supremacy, prime us for religious conviction. Not that there are god genes or devotional dendrites. Instead, Boyer draws on an understanding of the brain developed in recent decades by cognitive scientists and evolutionary psychologists that refines the familiar metaphor of mind as computer. Rather than likening the brain to a general-purpose computer awaiting whatever programming it acquires through experience, the brain is likened to a special-purpose computer, hardwired with programming designed by natural selection to bolster the survival and reproductive prospects of our forebears.11 These programs support what Boyer refers to as "inference systems," dedicated neural processes that are adept at responding to the kinds of challenges-from throwing spears to courting mates to establishing alliances-which would have determined whose genes successfully migrated to the next round and whose did not. Boyer's central point is that these inference systems are readily coopted by the very qualities intrinsic to religion.
+
+  We have already encountered one such inference system: our theory of mind, by which we impute the kind of agency we each experience internally to entities we encounter in the external world. The adaptively beneficial tendency to overendow such agency clarifies why we so readily imagine our surroundings-whether beneath the earth or up in the sky-being inhabited by attentive minds. Other inference systems include our intuitive grasp of psychology and of physics: without formal instruction, we all have a basic understanding of the capacities of minds and bodies. Join these inference systems with our attraction to minimally counterintuitive concepts (recall that these are concepts that violate a small number of our intuitive expectations) and there is little mystery in why we latch on to notions like spirits and gods (agents endowed with humanlike minds, but differing from expectations in their corporeality and their powers, both psychological and physical). Normal brains also have social inference systems that, for example, keep track of relationships, ensuring that the bearer receives a fair shake. If I do something for you, you're going to have to do something for me, and make no mistake, I'm keeping a running tab. This reciprocal variety of altruism may be the source of the transactional nature of the relationship adherents typically have with the supernatural beings that populate religious traditions: I'll sacrifice, I'll pray, I'll do good, but come tomorrow's combat, you've got my back. On the flip side, when bad things happen, we're all too ready to chalk it up to our individual or collective failure to meet divine expectations.
+
+  In his book Religion Explained, Boyer develops these ideas fully; other researchers have developed variations on similar themes.12 But my sketch conveys the gist of the approach: the brain's evolution was shaped by the battle for survival, and the victorious brain that emerged has qualities that embrace religion with open arms. It's an example of what I earlier referred to as an evolutionary package deal. A predilection for religious belief may have no adaptive value of its own but comes bundled with a suite of other brain qualities that were selected because of their adaptive functions. This doesn't mean we will all be religious any more than our naturally selected sweet tooth means we will all indulge in glazed donuts. It does mean that the brain's inference systems are particularly responsive to the kinds of features that show up in the world's religions. Indeed, such resonance is the very reason such features have persisted in the world's religions. Be they ghosts or gods, demons or devils, saints or souls, religious conceits are virtuoso conductors of the evolving human mind. We are attentive to them, we act on them, we promulgate them, and thus they spread widely.13
+  So is that it? Survival of the fittest outfitted our minds, and fit minds are readily inculcated with a religious sensibility? What about the role we imagine that religion must have played (and for many, continues to play) in explaining the seemingly unexplainable from the origin of life and the universe to the meaning of death? Boyer and many others advancing similar perspectives do not deny religion's role in addressing these issues, but they argue that such considerations are insufficient for explaining why religion arose and why it has the features it does. The elephant in the religious room is the human mind, and without a primary focus on the mind's evolved nature we leave out the dominant force.
+  The case developed by Boyer and fellow researchers is compelling and insightful. But as with all theorizing in the spectacularly complex arena of brain, mind, and culture, definitive conclusions that convince all modern minds, or at least those minds thinking carefully about the issues at hand, are hard to come by. Moreover, even if the cognitive science of religion succeeds in revealing that we have an inherent susceptibility to religious thought, there remains ample room for religion to be more than an evolutionary appendage, more than a mere by-product of earlier cognitive adaptations. As other researchers have argued, religion may be ubiquitous because it has provided its own contribution to our adaptive fitness.
+ 
+Take One for the Team
+As the sizes of their clans grew, hunter-gatherer tribes faced a critical problem. How do you ensure cooperation and loyalty among increasingly large collections of individuals? For groups of kin, an idea going back to Darwin and developed over subsequent decades by a number of renowned scientists, including Ronald Fisher, J. B. S. Haldane, and W. D. Hamilton, suggests that evolution by natural selection solves the problem without breaking a sweat.14 I'm loyal to my siblings, my children, and other close relatives because we share a meaningful portion of our genes. By saving my sister from a charging elephant, I'm increasing the likelihood that genetic segments identical to mine will persist and will be passed on to subsequent generations. Not that I need to know this. And during my gallant feat, I'm surely not calculating relative abundances in the future gene pool. But by the standard Darwinian logic, my instinctive inclination to protect my kin, and even sacrifice myself for groups of my kin, will be naturally selected, fostering the continuance of such behavior in progeny who share a significant percentage of my genetic profile. The reasoning is straightforward but raises the question, When groups outgrow a collection of kin, is there a genetic carrot that wields the cooperative stick?
+  If you could find a way to make me think or at least act as though members of the larger group are part of my extended family, the problem might be solved. But how do you accomplish that? Earlier, we discussed how story, by enhancing our understanding of other minds, may have facilitated communal living. Some researchers, like evolutionary biologist David Sloan Wilson, developing ideas championed near the turn of the twentieth century by sociologist Émile Durkheim, take this adaptive role much farther.15 Religion is story, enhanced by doctrines, rituals, customs, symbols, art, and behavioral standards. By conferring an aura of the sacred upon collections of such activities and by establishing an emotional allegiance among those who practice them, religion extends the club of kinship. Religion provides membership to unrelated individuals who thus feel part of a strongly bound group. Even though our genetic overlap is minimal, we are primed to work together and protect one another because of our religious attachment.
+
+  Such cooperation matters. Deeply. As we have seen, humans prevailed in no small part because our species has the capacity to pool brain and brawn, to live and work in groups, to divvy up responsibilities and effectively meet the needs of the collective. The greater social cohesion of those in a religiously bound group would have made them a more formidable force in the ancestral world, and according to this line of argument, securing an adaptive role for religious affiliation.
+  It is a perspective that has generated decades of debate. Some researchers throw up their hands whenever group cohesion is trotted out as an evolutionary explanation, viewing it as a hackneyed fallback to explain putatively prosocial behaviors whose adaptive value has otherwise proven elusive.16 Moreover, the adaptive value of cooperation is itself a complex business: In any group of cooperative individuals, selfish members can game the system. By taking advantage of affable comrades, selfish individuals can acquire an undue allotment of resources and thus unfairly increase the likelihood of surviving and reproducing. Passing on their selfish tendencies, their progeny will tend to do the same, over time driving their trusting companions-together with their religious sensibilities-into extinction. So much for religion's adaptive coup.
+  Proponents of the religious basis for social cohesion acknowledge the issue but stress that it is only half the story. Within the confines of an isolated group of cooperative members, selfish infiltrators will surely win. But the groups of interest-hunter-gatherers in the Pleistocene-were not isolated. They interacted. They fought. And according to one reading of the archaeological record, their battles were deadly. A collection of cooperative members, each devoted to the well-being of the group, would tend to fare better. As Darwin himself put it, "When two tribes of primeval man, living in the same country, came into competition, if (other circumstances being equal) the one tribe included a great number of courageous, sympathetic and faithful members, who were always ready to warn each other of danger, to aid and defend each other, this tribe would succeed better and conquer the other."17 Moreover, those whose service was inspired by devotion to departed ancestors or watchful deities would have been even more reliable and fervent in their commitment to the cause.18 And so to determine which genetic traits would have swum broadly through the gene pool, we must not only take account of within-group dynamics, favoring the selfish, but also between-group dynamics, favoring the cooperative. If we assume that across many thousands of generations between-group success dominated the calculus of survival, allegiance to the group would hold sway, and so religion's social cohesion would triumph.
+
+  The victory thus imagined remains tentative because it depends on that very assumption-the dominance of between-group over within-group forces-and far from everyone is convinced that it provides an accurate portrayal of life and death throughout our hunter-gatherer past. Emboldening the skeptics further, an explanation for cooperative behavior can emerge from more down-to-earth considerations: the mathematics of game theory. Between the extremes of selfish and selfless behavior, there are innumerable strategies an individual member of a group may pursue. Perhaps I lean toward being selfless, but if you cross me one too many times my selfish side will emerge with a vengeance. Perhaps once you've lost my trust, I'll never give you another chance-or perhaps, do me a few good turns and I'll offer you a shot to earn it back. And so on. In a large group populated by individuals committed to a range of different strategies, what happens? Well, different cooperative strategies confer different survival value and so across the generations will themselves be subject to Darwinian selection. Using mathematical analyses and computer simulations, researchers have pitted various strategies against one another and found that one in particular-"I'll do something good for you so long as you do something good for me in return, but you do something underhanded and I'll quickly retaliate"-reliably trumps other variants, including those far more selfish. The theoretical analysis thus suggests that qualified cooperation of this sort aids survival.19 To the detractors, this demonstrates that cooperation can arise organically and spread via natural selection, with no need for participants to hold a common religious belief.
+
+  After decades of wrangling, some researchers now claim that these disputes have finally been settled. But since such evaluations have been issued by proponents on both sides, the assessment of religion's role as the Pleistocene's survival-promoting social glue continues to elude consensus. It is a complex problem. Binding among other seductive qualities the enchantment of story, the inclination to endow agency, the comfort of ritual, the appetite for explanation, the security of community, and the cognitive appeal of countering expectations, religion is a rich and intricate human development whose genesis is from a time so remote that hard data, from ancient practice to intragroup conflict, is scarce. The debate will no doubt continue.
+  Another possibility entirely is that in evaluating religion's potential adaptive function, the argument over group cohesion is missing an essential part of the story. Various researchers have suggested that religion's adaptive impact is most directly evident at the level of the individual.
+Individual Adaptation and Religion
+During our inquiry into the origin of language, one proposal featured the role of gossip in maintaining hierarchies and fostering alliances. Frivolous as such conversation may be viewed in the modern age, psychologist Jesse Bering places gossip at the nexus of religion's adaptive role in the ancient world. Before we acquired the capacity to speak, a rogue in our midst might misbehave-stealing food, borrowing sexual partners, hanging back during the hunt-but if the witnesses to the transgression were small in number and weak in status the culprit could get away scot-free. Once language took hold, that changed. With even a single but widely discussed infraction, the culprit's reputation would suffer and reproductive opportunities would plummet. Bering's suggestion is that if a would-be transgressor imagines that there is always a powerful witness-hovering in the wind, or in trees, or in the sky-he would be less likely to transgress, less likely to be fodder for unfavorable gossip, and less likely to become a social outcast. Consequently, he would be more likely to have offspring and pass on his god-fearing instincts. A predisposition for religion protects his genetic lineage and so becomes self-perpetuating.20
+
+  Supporting evidence comes from experiments Bering has run in which children are presented with a challenging task and then left alone to accomplish it. In the absence of oversight, the researchers found what you would expect. Many kids will cheat. However, those children who are told that there is an invisible witness in the room, a friendly but fully attentive presence, are far more likely to adhere to the rules. This holds even for those kids who claim that they don't actually believe there is an invisible being at all. Bering's conclusion is that the young mind, which he plausibly argues provides a more direct window on our inherent human nature compared with older minds that have been subject to greater cultural influence, is predisposed to act in accordance with an invisible presence constantly monitoring behavior. In ancient times, it was this very priming that encouraged the prosocial behavior that protected reputations, increased reproductive opportunities, and thus further spread the priming itself-a priming, that is, for a religious sensibility.
+  A different adaptive role for religion has been developed by experimental social psychologists who have spent decades furthering the vision of Ernest Becker, whose Denial of Death set us on our way in chapter 1. The terror of knowing we are going to die, these researchers argue, "would have rendered our ancestors quivering piles of biological protoplasm on the fast track to oblivion."21 What may have saved us, they suggest, was the promise of life beyond physical death, either literal or symbolic. Becker himself made a persuasive case that addressing mortality awareness by invoking the supernatural was a wondrous human innovation. To alleviate the distress of transience requires a palliator with unqualified and unlimited durability, something impossible to achieve in the real world of material things.
+  Granted, you may find the image of our physically robust forebears huddled on the savanna in an anxiety-induced paralysis hard to fathom. Yet through shrewd psychosocial experiments, researchers have argued that even here in the modern age we are demonstrably if unwittingly affected by mortality awareness. In one such experiment, court judges in Arizona were tasked with recommending a fine for defendants accused of a misdemeanor. In the written instructions the judges were provided, which included a standard personality profile questionnaire, half were asked a couple of additional questions that required reflection on their own mortality (for example, What emotions does thinking about your own death arouse?). The researchers anticipated that because the legal code is part of society's concerted effort to assert control over an otherwise anarchic reality-providing a bulwark against the dangers lurking just beyond the bounds of civilization-those judges who had been reminded of the ultimate danger, their own demise, would more vehemently enforce legal statutes. The predictions were right on target. But even the researchers found the size of the disparity in the fines recommended by the two groups of judges remarkable. On average, the fines issued by the mortality-primed judges were nine times that of the control group.22
+
+  As the researchers emphasize, if the diligently trained judicial mind steeped in the standard of dispassionate fairness can be so affected by shining a little additional conscious light on mortality, we should pause before dismissing a similar but equally stealthy influence at work within each of us. Indeed, hundreds of subsequent studies (varying the subjects, their country of origin, their purported tasks, the manner in which mortality awareness is stimulated, and so on) have demonstrated that such influences can be measured and manifest widely, from the voting booth, to xenophobic prejudice, to creative expression, and religious affiliation.23 Becker maintained, and these studies support, that culture has evolved in part to mitigate the potentially debilitating effects that would otherwise accompany mortality awareness. Accordingly, from this perspective, if you scoff at such a possibility it is because culture is doing its job.
+  Pascal Boyer, with whom we began our discussion on the evolutionary roots of religion, rejects this role for religion, noting that "a religious world is often every bit as terrifying as a world without supernatural presence, and many religions create not so much reassurance as a thick pall of gloom."24 But rather than bracing a rattling bag of bones, in the spirit of Becker's adherents, and far from casting dark shadows across its devoted followers, as envisaged by Boyer, a religious sensibility may have provided a more modest benefit to a less dispirited patient. Perhaps ancient religious activities illuminated death in a softer light and set everyday experience within a more enduring narrative-a beneficial consequence of religious experience that William James described as providing "an assurance of safety and a temper of peace" while instilling a "new zest which adds itself like a gift to life, and takes the form of either lyrical enchantment or of appeal to earnestness and heroism."25
+
+  Clearly, there is as yet no consensus on why religion arose nor on why it has so tenaciously remained. And not for lack of ideas: coopting the naturally selected brain, driving group cohesion, calming existential anxiety, protecting reputations and reproductive opportunities. The historical record may be too spotty for us ever to build a definitive case; religion may play roles too varied to submit to all-embracing explanations. I remain partial to religion's relevance to our singular recognition of our finite lives; as Stephen Jay Gould summarized it, "A large brain allowed us to learn...the inevitability of our personal mortality"26 and "all religion began with an awareness of death."27 But whether religion then took hold because it transformed that awareness into an adaptive advantage is a wholly different question.
+  The brain's exquisite order allows it to generate copious thoughts and actions, some directly linked to survival, others not. Indeed, it is this very capacity, our extensive behavioral repertoire, that provides the foundation for the variety of human freedom we discussed in chapter 5. What is unassailable is that through these actions, we have steadfastly kept religion with us, developing it over the millennia into institutions whose influence pervades the planet.
+ 
+A Sketch of Religious Roots
+During the first millennium BC, across India, China, and Judea, tenacious and inventive thinkers reexamined ancient myths and ways of being, entailing among other developments what philosopher Karl Jaspers described as the "beginnings of the world religions, by which human beings still live."28 Scholars debate the degree of relatedness of these far-flung developments, but there is accord on the outcome. Religious systems became increasingly organized as adherents set down stories, culled insights, and synthesized directives that, having been channeled through anointed prophets and passed orally from one generation to the next, had garnered a stamp of the sacred. There is great variation in the content of the resulting texts, of course, but they hold in common a fascination with the very questions guiding our exploration in these pages: Where did we come from? And where are we going?
+  Among the earliest surviving written records are the Vedas, composed in Sanskrit on the Indian subcontinent, with portions that date from as far back as 1500 BC. Together with the Upanishads, a rich body of commentary likely written sometime after the eighth century BC, the Vedas are a voluminous collection of verse, mantra, and prose that constitutes the sacred texts of what would become the Hindu religion-now practiced by one in seven inhabitants of the earth, about 1.1 billion people. Before I was yet ten years old, I had a personal entrée to these works.
+  It was the late 1960s. Peace, love, and Vietnam were in the air as my father, sister, and I strolled on a bright sunny day through Central Park. We paused at the Naumburg Bandshell just off of Poet's Walk, where a large gathering of Hare Krishna devotees were energetically drumming, chanting, and dancing. One adherent, eyes bulging and tears streaming, was expressing an impassioned astral communion by pulsing to the beat while staring intently into the sun. Shockingly, at least for me, I suddenly realized that one of the drummers, outfitted in flowing robes and sporting a shaved head, save for a single tuft atop, was my brother. I thought he was away at college. The outing, apparently, was my father's way of introducing us to the new direction that my brother's life had taken.
+
+  In the decades that followed, communication with my brother was episodic, but in each encounter the Vedas were either central or circling nearby. It's hard to say whether my own interests were sparked by these encounters or whether the conversations naturally emerged from siblings approaching similar questions from widely different perspectives. It was surely enriching to learn of ancient and for me unfamiliar ruminations into cosmic origins: "There was neither non-existence nor existence then; there was neither the realm of space nor the sky which is beyond. What stirred? Where? In whose protection? Was there water bottomlessly deep? There was neither death nor immortality then. There was no distinguishing sign of night nor of day. That one breathed, windless, by its own impulse. Other than that there was nothing beyond."29 I was moved by the universality of the human need to feel the rhythms of reality. But to my brother, the Vedas were more than that. They provided a grander vision of the cosmology I was studying mathematically. As poetry, the words artfully capture the enigma of a beginning to the beginning. As metaphor, they speak to the perplexing nature of a time before time. As a meditation, perhaps a communal immersion around a crackling fire enveloped by an awe-inspiring but utterly mysterious inky-black star-filled canopy, the lines convey the seeming paradox of how there can be a universe at all. But ancient hymns and verse, imaginative stories of the thousand-headed Purusha dismembered to create the sun, earth, and moon, as well as the many other evocative and lofty offerings, do not account for the origin of the universe. The words reflect our pattern-seeking, explanation-craving, survival-attuned minds developing a vivid story to provide a symbolic framework for living-how we came to be, how we should behave, the consequences of our actions, and the nature of life and death. What became apparent to me through these sporadic fraternal brushes is that the Vedas seek something stable, some kind of constant quality underlying the shifting sands of familiar reality. It is a description that I, and many of my colleagues, would happily use in characterizing the charge of fundamental physics. The disciplines share a common urge to see beyond appearances available to everyday experience. Yet the nature of the explanations each discipline deems capable of advancing this charge are thoroughly distinct.
+
+  In the middle of the sixth century BC, Siddhārtha Gautama, a prince born in present-day Nepal who had been brought up studying the Vedas, became distraught as the life of luxury he'd been handed confronted the anguish endured by those leading a more common existence. As the famous story goes, Gautama decided to forgo privilege and wander the world in search of a way to alleviate the misery of human suffering. The resulting insights, developed and promulgated by his followers largely after his death, constitute Buddhism, now practiced by one in every dozen inhabitants of earth, about half a billion people. As Buddhist thought spread, numerous sects developed, but all share in the belief that perception is an illusory guide to reality. There are qualities of the world that may seem stable but, in truth, all things always change. Deviating from its Vedic origins, Buddhism denies that there is an immutable substrate underlying existence and attributes the root of human suffering to the failure of recognizing the impermanence of everything. The Buddha's teachings outline a way of life that promises an unvarnished, more clearly perceived view of truth, and as with the Vedas, the path to such enlightenment involves a series of rebirths, with the endgame seeking to conclude the cycles of reincarnation by reaching an eternal state of bliss that stands beyond desire, beyond suffering, and beyond self. If humanity's earlier imagining of realms where life continued beyond this life was a remarkable mental maneuver for addressing the enigma of mortality, the Hindu and Buddhist stances are more remarkable still. Death is reimagined as a new beginning in a cyclical process whose very goal is an ultimate and permanent release from life. The conclusion of the cycles, once attained, leads to a dominion where the concept of distinct existence disappears. Our impermanence becomes a sacred rite of passage en route to the timeless.
+  Because Hinduism and Buddhism seek a reality beyond the illusions of everyday perception, a characterization that also describes many of the most surprising scientific advances of the last hundred years, a small industry has produced articles, books, and films that purport to establish links with modern physics. While one can find similarities in perspective and language, I have never encountered more than a metaphorical resonance between distinct ideas vaguely construed. Descriptions of modern physics provided in popularizations, mine as well as those of others, usually suppress mathematics in favor of more accessible accounts, but, unequivocally, mathematics is the anchor of the science. Words, however carefully chosen and crafted, are only a translation of the equations. Invoking such translations as the basis for contact with other disciplines will almost never rise above the level of a poetic alliance.
+
+  This judgment is consonant with at least some of the spiritual disciplines' leading voices. Some years ago I was invited to participate in a public forum with the Dalai Lama. During the discussion, I noted the preponderance of books explaining how modern physics is recapitulating discoveries made in the Far East thousands of years ago, and I asked the Dalai Lama whether he considered these claims valid. His forthright answer left a significant impression on me: "When it comes to consciousness, Buddhism has something important to say. But when it comes to material reality, we need to look to you and your colleagues. You are the ones penetrating deeply."30 I remember thinking, How wonderful to imagine religious and spiritual leaders worldwide following his simple, fearless, and honest example.
+  During roughly the same era that the Buddha was wandering in India, the Jewish people in the Kingdom of Judah were being trounced by the Babylonians and forced into exile. In an effort to codify their identity, Jewish leaders gathered disparate written accounts and oversaw the transcription of oral histories, yielding early versions of the Hebrew Bible-a document that would continue to evolve and become a sacred text of the Abrahamic religions, now practiced by more than one of every two inhabitants on earth, about four billion people.31 The God of Judaism, Christianity, and Islam is the all-powerful, all-knowing, everywhere-present, singular creator of everything-a conception that, for many worldwide, is the dominant image they conjure when there's talk, secular or sacred, of religion.
+  The Old Testament tells its own widely known origin story. Well, it tells two such stories. The first takes six days, begins with the formation of the heavens and the earth and concludes with the creation of man and woman; the second fills only a single day, with man created early on; during his first nap, woman enters the scene. Generation upon generation quickly follow, but the Old Testament is less than forthcoming regarding where protagonists go when they die. Save a couple of brief references to resurrection, there is no commitment to an afterlife. Jewish mystics and interpreters subsequently developed numerous ideas involving immortal souls awaiting another world, but there is no single interpretation that reconciles the myriad sources and commentaries. Half a millennium later, that uncertainty would be wiped away as Christianity developed a theological doctrine infused with eternal souls that maintain their identities well beyond their time on earth. Half a millennium beyond that, Islam would introduce its own extensive body of belief addressing similar themes, aligning with Christianity in its reverence for an approaching day of judgment when the dead would be raised and those deemed worthy would receive eternal heavenly reward while all others would endure eternal damnation.
+
+  The handful of religions we have briefly surveyed are collectively followed by more than three out of every four inhabitants of planet earth. With billions of adherents, the nature and style of religious engagement varies considerably and, if we include the more than four thousand smaller religions currently practiced around the world, the range of commitments and the specifics of doctrinal content broaden yet more widely. Even so, there are common qualities, such as exalted figures who have seen further or been granted access to stories that purport to explain how it all began, how it will all end, where we will all go, and how best to get there. Deeper still is a prevalent expectation that adherents will assume a sacred mind-set. The world is full of stories that can inform how we live. The world is full of pronouncements that can guide how we behave. Those stories and pronouncements that are bound into a religious doctrine are elevated above all others because in the mind of the faithful they elicit some variety of belief.
+The Urge to Believe
+Some years ago, while I was in the final chaotic days of an all-consuming project, an invitation arrived to deliver a keynote speech at a gathering in Washington State. Distracted, I accepted the invitation without ensuring that the organization had been properly vetted. A few months later, when the talk rolled around, I realized I was slated to speak at Ramtha's School of Enlightenment, an organization led by Judy Zebra Knight, who claims to channel a thirty-five-thousand-year-old warrior, Ramtha, hailing from the lost land of Lemuria (which, apparently, was frequently at war with the lost land of Atlantis). A quick search turned up revealing video clips, including one from an old episode of The Merv Griffin Show in which Knight throws her head back, snaps it forward, goes into a trance, drops her voice, takes on a manner of speech partway between Yoda and the Queen, and, she would have us believe, embodies the Lemurian sage. My little daughter, watching over my shoulder, tried not to giggle. She failed. I would have giggled too if I wasn't mortified that I'd accepted the invitation. But it was the day before the presentation so too late to back out gracefully.
+
+  On arrival, my first encounter was with hundreds of blindfolded people, arms extended, all milling about a large grassy enclosure. My guide explained that pinned to each was a card on which they'd written their life's dream, and the exercise was to "feel" one's way to an identical card that had been planted somewhere on the field. He noted that success is a key step toward ensuring that the dream would be realized. "How's that going?" I asked. "Oh, wonderfully. Already in this session one participant found her matching card." Next up were the blindfolded archers. I kept a healthy distance and demurred at the entreaties to participate, all the more when I noted that a photographer had quietly joined the tour. The blindfolded archers were about as successful as the blindfolded seekers. Finally, I was joined by a young woman, probably in her twenties or thirties, whose telepathic talent allowed her to name successive cards in a shuffled deck. "Seven of diamonds," she predicted. "Darn, six of clubs. But I was only off by one. Nine of spades. Oh, it's a three of diamonds. Aha, there's that diamond." And so it went. She told me she practices many hours each day and knows she needs to train harder.
+  To those who'd gathered around, and later at the keynote, I couldn't help offering a few basic observations, many that we have touched on in these pages. I explained that we are a species that looks upon the world and sees patterns. And for the most part that's a good thing. Over many generations, natural selection equipped us to identify patterns in how people and objects appear and move, allowing us to identify them rapidly with just a few visual cues. We detect patterns in animal behavior, allowing us to anticipate when it's safe to approach and when it's best to head in another direction. We grasp patterns in how objects from rocks to spears fly when thrown, an ability that was particularly useful to our ancestors seeking to subdue the next meal. Through pattern we develop the means to communicate and thus join together in groups-tribes to nations-that exert the world's most powerful influences. In short, the capacity for recognizing pattern is how we survive. But, I continued, sometimes we go overboard. Sometimes, our naturally selected pattern detectors are so primed, so ready to announce that a signal has been found, that they see patterns and envision correlations that are not there. Sometimes we assign meaning to the meaningless. From basic math we know that on average, one out of every four times you'll correctly guess a card's suit; one out of every thirteen times, you'll guess its rank. But that pattern reveals nothing about telepathic ability. Once in a blue moon-well, less often than that-you'll randomly walk the field and find your matching card, but that says nothing about the fulfillment of dreams. How often, I asked, do you notice that a remarkable coincidence did not happen?
+
+  The attendees, by now all packed into a cavernous barn, cheered their approval. Many rose to a standing ovation, which, as I said to all assembled, was appreciated but confusing. I'm telling you that your approach to finding a deeper reality and the methods you're practicing lead nowhere. Another ovation.
+  Later, at the book signing, a number of participants, speaking sotto voce, offered clarification. "Many of us don't buy into a lot of the stuff that goes on here and it's important for someone to call that out. But there is something else out there, we can feel it, and we come to the school because we need to be around others who have the same urge to seek a deeper truth." I can relate. I understand the urge. The history of physics is a collection of episodes in which time and time again heroic mathematical and experimental explorations have revealed that there is something else out there-often something strange and wondrous that requires us to rework our picture of reality. There is every reason to believe that our current understanding, even with its capacity to explain copious data with uncanny precision, is provisional, and so we physicists anticipate that going forward, this rhythm of revision will repeat many times over. However, it is through centuries of effort that we have refined our investigative tools, and these are the mathematical and experimental methods that constitute the rigorous body of scientific practice. These are the methods that we pass on to our students and research fellows. These are the methods that have proven their capacity for reliably accessing hidden qualities of reality.
+
+  I am open to unconventional claims. If data collected in carefully designed and replicable experiments investigating, say, the ability to sense hidden cards in a deck, revealed better than random success, or if robust data established that a member of our species was able to channel an ancient sage hailing from a long-lost land, I'd be interested. Extraordinarily interested. But in the absence of such data, and in the absence of any reason whatsoever to anticipate that such data might be forthcoming, and in the absence of any argument as to why such claims are not in flat-out contradiction with all we demonstrably know about the workings of reality, there quickly comes a point when we should conclude that there is no basis for holding a belief in any such claims.
+  Which raises the question: Is there any basis for believing in an invisible, all-powerful being who created the universe, listens and responds to our prayers, keeps track of what we say and do, and doles out rewards and punishments? In developing an answer, it is worthwhile to flesh out the concept of belief more fully.
+Belief, Confidence, and Value
+Almost to a person, those who inquire about my belief in God invoke "belief" in the very same way they would if asking about my belief in quantum mechanics. In fact, I'm often asked the two questions in tandem. I tend to phrase my response in terms of confidence-a measure of certainty-noting that my confidence in quantum mechanics is high, because the theory accurately predicts features of the world, such as the electron's magnetic dipole moment, with a precision beyond the ninth decimal place, while my confidence in the existence of God is low because of the paucity of rigorous supporting data. Confidence, as these examples illustrate, emerges from dispassionate, essentially algorithmic judgment of evidence.
+
+  Indeed, when physicists analyze data and announce a result, they quantify their confidence using well-established mathematical procedures. The word "discovery" is generally used only when the confidence crosses a mathematical threshold: the probability of being misled by a statistical fluke in the data must be less than about one in 3.5 million (an arbitrary-looking number but one that naturally emerges in statistical analyses). Of course, even such high levels of confidence do not ensure that a "discovery" is true. Data from subsequent experiments may require us to adjust our confidence; in this case, too, mathematics provides an algorithm for calculating the update.
+  While few of us live by such mathematical methods, we arrive at many of our beliefs through similar if less overtly analytical reasoning. We see Jack with Jill, and wonder if they might be a couple; we see them together again and again, and our confidence in that conclusion grows. Later, we learn that Jack and Jill are siblings, and so we discount our previous assessment. And on it goes. It is an iterative process that you might anticipate converging on beliefs that reflect the true nature of the world. But that need not be the case. Evolution did not configure our brain processes to form beliefs that align with reality. It configured them to favor beliefs that generate survival-promoting behaviors. And the two considerations need not coincide. If our forebears had carefully investigated every swish and rustle that caught their attention, they would have found that most could be explained without invoking a volitional agent. But from the standpoint of adaptive fitness, their burdensome investment in seeking the truth would have had little going for it. Across tens of thousands of generations, our brains eschewed greater accuracy for a rough-and-ready understanding. Nimble responses often beat considered assessments. Verity is an important character in the drama of belief but is easily upstaged by survival and reproduction.
+
+  Thickening the plot further, evolution added another cast member: emotions. In 1872, more than a dozen years after announcing evolution by natural selection, Darwin published The Expression of the Emotions in Man and Animals, exploring his conviction that the biologically adapted brain, not culture, is the primary driver of emotional expression. Drawing on close observations of his children, widely disseminated questionnaires, and cross-cultural data he gathered during his long expeditions, Darwin made the case that, for example, the tendency to smile when pleased or blush when embarrassed was universal. You could count on those very responses clear across the world's cultures. In the century and a half since, researchers have taken Darwin's lead and sought the adaptive roles that might explain various human emotions as well as investigated the neural systems that might be responsible for generating them. Fear, the research has shown, is indeed primal-from the get-go, there was significant adaptive value in rapid behavioral and physiological responses to danger. Parental love, which drives essential care for helpless progeny, is likely an ancient adaptation too. Embarrassment, guilt, and shame, which are particularly relevant for conducive behavior within larger groups, are adaptations that likely came later as group sizes grew.32 The relevance for us here is that much as adaptive pressure shaped the language-possessing, storytelling, myth-making, ritual-practicing, art-creating, and science-pursuing human mind, adaptive pressure also shaped our rich emotional capacities. Emotion has been enmeshed throughout our evolutionary development. Beliefs have thus emerged from a complex calculus synthesizing reasoned analyses and emotional responses within a mind acquiring a talent for survival.33
+  Our belief calculus is also dependent on a range of factors including social influences, political forces, and brute expediencies. Early in one's life, belief is strongly biased by parental authority. Mom or Dad says it's true? Then it's true. As Richard Dawkins has noted, natural selection favors parents who pass their children information that enhances survival, and so to believe what Mom or Dad says makes evolutionary sense. Later on, many initiate their own belief calculus-investigating, discussing, reading, and challenging-one that itself is frequently biased by preexisting expectations and exposure to the beliefs of others. Most of us also extend the list of authorities deemed trustworthy-teachers, leaders, friends, officials, and other anointed experts. We have to. No one can rediscover, or even verify, thousands of years of accumulated knowledge. I once had a dream, a nightmare really, that I was back in my PhD dissertation defense, and the examiner, chuckling under his breath, told me that all the experiments and all the observations supporting the quantum mechanical "laws" of physics had been concocted. I was the brunt of an elaborate practical joke, having been misled by a pantheon of authorities I respected and a community of peers I trusted. Unlikely as the dream's scenario may be, the fact is I have personally verified the results from but a tiny fraction of the discipline's essential experiments. You could say I've taken most results on faith.
+
+  My confidence derives from decades of firsthand experience, witnessing how physicists minimize human subjectivity by focusing on carefully accumulated data, relentlessly interrogating hypotheses, and discarding all but those that meet a rigorous set of universal standards. But even with such diligent attention, historical contingency and emotionally driven human biases find ways of seeping in. One of the dominant approaches to quantum mechanics (called the Copenhagen interpretation) can be traced in part to powerful personalities that held sway during the theory's inception. I'll refer you to one of my other books, The Hidden Reality, for a discussion, but I suspect that had quantum mechanics been developed by a different cast of characters, the formal science would exist all the same but this particular interpretive perspective would not have enjoyed the same dominant position across so many decades. The beauty of science is that through continued research, the doctrines of one age are carefully rethought by the next and so are nudged ever closer to the goal of objective truth. But even in a discipline designed for objectivity, it takes a process. And it takes time.
+  Little wonder that in the messy, haphazard, emotionally laden realm of everyday human ventures the spectrum of belief is wide and imaginative, if at times confusing and frustrating. In forming beliefs, some look to science, both in content and for strategy. Some rely on authority, others on community. Some are coerced, sometimes subtly, sometimes overtly. Some place their utmost trust in tradition. Others give full jurisdiction to intuition. And in the mind's subterranean, generally unmonitored processing centers, we each employ an idiosyncratic and highly variable combination of all these tactics. What's more, there is nothing that prevents us from holding incompatible beliefs or from undertaking actions that suggest we do. I am comfortable admitting that every now and then I knock on wood or speak to the departed or seek heavenly reinforcement. None of this fits within my rational beliefs about the world, and yet I am perfectly content with my occasional apotropaic leanings. In fact, there is a certain delight in momentarily stepping beyond rational strictures.
+
+  Note too that while professional philosophers are paid to scrutinize belief-to reveal hidden assumptions and bring attention to faulty inferences-that's not how most of us now, or our ancestors then, go about it. Many beliefs in most lives go unexamined. Perhaps this is its own variety of adaptation. Navel gazers tend to overlook that food stocks are low or that a tarantula is making a stealthy approach. Which means that in evaluating how it could be that so and so believes such and such, envisioning belief as having emerged from intense consideration and thorough cross-examination is often wide of the mark. As Boyer points out, "We assume that notions of supernatural agents...are presented to the mind and that some decisionmaking process accepts these notions as valid or rejects them." But because these ideas tickle a great many of the brain's inference centers-from agency detection, to theory of mind, to relationship tracking, and so on-and because natural selection has equipped these centers to perform their own diagnostics well below the threshold of awareness, the rational judge and jury model "may be a rather distorted view of how such concepts are acquired and represented."34
+  Even the very things to which the concept of belief can be sensibly applied change from epoch to epoch. As Karen Armstrong notes, those carrying out the rites of the ancient Eleusinian mysteries "would have been puzzled if they had been asked whether they believed that Persephone really had descended into the earth, in the way that the myth described."35 It would be tantamount to asking whether you believe in winter. "Believe in winter?" you'd rightly reply. "The seasons, well, they just are." Similarly, Armstrong imagines, our forebears would embrace Persephone's travels "because wherever you looked you saw that life and death were inseparable, and that the earth died and came to life again. Death was fearful, frightening and inevitable, but it was not the end. If you cut a plant, and threw away the dead branch, it gained a new sprout."36 Myth did not supplicate for belief. It did not elicit a crisis of faith that through painstaking deliberation was resolved by its beholders. Myth provided a poetic schema, a metaphorical mind-set, which became inseparable from the reality it illuminated.
+
+  Perhaps, too, there is an analogy with what happens in the long-term development of natural language.37 In striving for emphasis and creative expression, speakers sprinkle their sentences with one metaphor after another. I just did, but more than likely you hardly noticed. We sprinkle salt on stews; we sprinkle sugar on pastries. And yet the sprinkling I invoked is a so thoroughly banal metaphor that rare is the reader for whom the phrase evokes a hand gently dispersing words upon a feast of freshly cooked sentences. Over time, metaphors become so overused that any poetic quality they may have initially possessed gradually evaporates (water evaporates, not poetry) and they become everyday workhorse words (horses work, not words). In a word, they become literal. Perhaps an analogous process plays out with mythic-religious notions. Perhaps such notions begin as evocative, poetic, metaphorical ways of looking out on the world that, over an expanse of time, gradually lose their poetry, shed their metaphorical meaning, and transition into literalism.
+  The closest I come to such literalism is acknowledging that some or other god may exist. I recognize that no one can ever rule out this possibility. As long as a purported god's influence does not in any way modify the progression of reality that is well described by our mathematical laws, then that God is compatible with all we observe. But there is an enormous gulf between mere compatibility and explanatory necessity. We invoke the equations of Einstein and Schrödinger, the evolutionary framework of Darwin and Wallace, the double helix of Watson and Crick, and a long list of other scientific achievements not because they are compatible with our observations, which of course they are, but because they provide a powerful, detailed, and predictive explanatory structure for understanding our observations. On this measure, religious doctrines do not register; of course, many among the faithful deem this measure irrelevant. The snag is that a literal perspective precludes that assessment. A religious assertion interpreted as a literal claim about the world that contravenes established scientific law is false. Full stop. In such cases, espousing a literal interpretation is on par with accepting the existence of Ramtha.
+
+  Nevertheless, religious doctrine (or even that of Ramtha) can remain fully part of rational discourse if we are willing to move away from literalism, cherry-picking scripture, disregarding elements we find offensive or outmoded, interpreting stories and statements poetically or symbolically or, yet more simply, as elements of a fictional account. There are many reasons we might be drawn to do so. We might find joy or comfort in seeing our lives play out within a larger and, to some, more fulfilling narrative, giving scant regard to religion's supernatural qualities or metaphysical claims. We might derive value from reading religious stories as a deeply moving archive that symbolically captures essential qualities of the human condition. We might savor the challenge of developing an interpretive system that squares particular religious doctrines with scientific understanding. We might find it rewarding to overlay a sacred sensibility on our engagement with the world, adding a veneer that enhances experience but does not negate rationality. We might benefit from the support and solidarity of religious affiliation. We might find it emotionally enriching to participate in religious rituals, consecrating life passages and marking sacred days that connect us with a venerable tradition. Such varieties of religious engagement can provide activity, motivation, community, and guidance that, for some, lay out a path toward a richer life endowed with greater meaning. Such varieties of religious engagement do not require a belief in the factual nature of religious content; they reflect a belief in the value of such content, regardless of whether the content is veridical.
+  Over a century ago, William James offered a perceptive and heartfelt analysis of religious experience, one that resonates with the Dalai Lama's observation regarding physics and consciousness. James emphasized that while science cultivates an objective, impersonal approach it is only by considering our inner worlds-"the terror and beauty of phenomena, the 'promise' of the dawn and of the rainbow, the 'voice' of the thunder, the 'gentleness' of the summer rain, the 'sublimity' of the stars, and not the physical laws which these things follow"38-that we can ever hope to develop a full account of reality. Much like Descartes, James was underscoring that our inner experience is, in fact, our only experience. Science may seek an objective reality, but our only access to that reality is through the mind's subjective processing. The human mind thus relentlessly interprets an objective reality by producing a subjective one.
+
+  And so, if religious practice-or perhaps a better label here would be spiritual practice-is undertaken as an exploration of the mind's inner world, an inward-directed journey through the inescapably subjective experience of reality, then questions of whether this or that doctrine reflects an objective truth become secondary.39 The religious or spiritual quest need not seek demonstrable aspects of the outer world; there is a whole inner landscape to explore, from the terror and beauty, promise and voice, gentleness and sublimity that James referenced to the vast list of other human constructs including good and evil, awe and dread, wonder and gratitude that we have invoked throughout the ages to ordain value and find meaning. However hard we may stare at nature's individual particles, however diligently we may pursue nature's fundamental mathematical rules, we won't catch sight of these concepts. They emerge only when particular complex arrangements of particles evolve the capacities to think, feel, and reflect. And how spectacular and how gratifying that there can be such collections of churning particles, operating under the inflexible control of physical law, yet capable of bringing these qualities into the world.
+  For me, the analogy with language's sharp metaphors worn smooth by age brings out an essential point, obvious yet telling: many of the world's religions are old. That is vital. It tells us that for centuries, if not millennia, a religious practice has held a people's attention and in various combinations provided the structure of ritual, informed their sense of place in the world, guided their moral sensibility, inspired the creation of artistic works, offered participation in a larger-than-life narrative, promised that death is not the end, and, of course, also intimidated with harsh penalties, emboldened some to violent battle, justified the enslaving and killing of transgressors, and so on. Some good, some bad, some utterly awful. But through it all, religious traditions have hung on. While decidedly not providing insight into a verifiable basis of material reality-the purview of science-religion has provided some of its adherents with a sense of coherence that has given life context, placing the familiar and exotic, the joys and the travails within a grander story. And because of that, the world's venerable religions provide lineages that connect followers clear across the ages.
+
+  I was raised Jewish. As a family, we attended services on major holidays, and I was enrolled in a local Hebrew school. The annual influx of new students meant the class restarted each year with the Hebrew alphabet, so I would quietly sit on the side and thumb through the Old Testament. I complained bitterly to my parents, but truth be told I enjoyed reading of Samuel and Absalom and Ishmael and Job, and all the rest. As the years passed, I grew more distant from the religion, feeling little need for formal participation. Then, during a break from my graduate studies at Oxford, I took a trip to Israel. An overzealous rabbi somehow caught wind that a young American physicist was wandering the streets of Jerusalem. He tracked him down, surrounded him with Talmudic scholars who were "also studying the origin of the universe," and convinced-well, pressured-the unduly deferential mid-twenty-year-old student to visit his temple and wrap his arms and forehead with the traditional leather accoutrement of the tefillin ritual. To the rabbi, this was God's will in action. The student was destined to be brought back into the fold. To the student, it was heavy-handed coercion to engage in a sacred practice in the absence of an inner conviction. When the student finally unwrapped the leather bands and left the temple, he knew he was done.
+  Yet, when my father died, the daily arrival in our living room of a minyan of observant Jews to recite the Kaddish prayer was of great comfort. My dad, not a religious man himself, was being embraced by a tradition reaching back thousands of years, experiencing a ritual administered to countless before him. The religious words the men chanted hardly mattered. They were in Aramaic, a collection of ancient sounds, a tribal poetry imprinted in cadence and rhythm, and I had no interest in a translation. What mattered to me for those brief moments-the nature, if you will, of my belief-was history and connection. That, to me, is the grandeur of heritage. That, to me, is the majesty of religion.
+
+ 
+ 
+8
+INSTINCT AND CREATIVITY
+From the Sacred to the Sublime
+On May 7, 1824, Ludwig van Beethoven appeared onstage at the Theater am Kärntnertor in Vienna for the premiere of his ninth and final symphony. It was Beethoven's first public performance in nearly a dozen years. The program announced that Beethoven would only assist in the direction, but as the theater filled and anticipation swept through the audience, he could not contain himself. According to first violinist Joseph Böhm, "Beethoven himself conducted, that is, he stood in front of a conductor's stand and threw himself back and forth like a madman. At one moment he stretched to his full height, at the next he crouched down to the floor, he flailed around with his hands and feet as if he wanted to play all the instruments himself and sing for the whole chorus."1 Beethoven suffered from severe tinnitus-what he described as a roar in his ears-and by this time in his life was almost entirely deaf. Consequently, as the orchestra rang out their final triumphant note, he had unwittingly fallen a few measures behind and was still fiercely conducting. The contralto gently took hold of Beethoven's sleeve and turned him around to face the audience, handkerchiefs waving and loudly cheering. Beethoven wept. How could he have known that sounds he had heard only in his mind would strike a universal chord in the heart of humanity?
+  Our myths and religions reveal how our forebears collectively tried to make sense of the world. Embracing story, ritual, and belief, our traditions have sought-sometimes with compassion, sometimes with untold brutality-a narrative to explain the journey so far and to urge us onward from here. As individuals, we've been trekking the same path, relying on instinct and ingenuity to safeguard survival while seeking rhyme and reason for why we should care. Some on this journey would capture the coherence of reality in new and startling ways, offering reflections through works in literature, art, music, and science that would redefine our sense of self and enrich our relation to the world. The creative spirit, which had long since been chiseling figurines, coloring cave walls, and telling stories, was poised for flight.
+
+  Magnificent minds-rare but arising in every age, all shaped by nature and some by imagined inspiration from the divine-would discover new ways for articulating the transcendent. Their creative odysseys would express a variety of truth standing beyond derivation or validation, giving voice to defining qualities of human nature that remain silent until experienced.
+To Create
+Sensitivity to pattern ranks among our most potent survival skills. As we have seen repeatedly, we observe patterns, we experience patterns, and, most importantly, we learn from patterns. Fool me once, shame on you. Fool me twice, and while it may be premature to declare shame on me, by the third or fourth time, such a shift of responsibility is justified. To learn from pattern is an essential survival talent imprinted by evolution on our DNA. Alien visitors dropping by earth may subsist on different biochemistry, but they will likely have no difficulty grasping the concept; almost certainly, pattern analysis is central to how they have prevailed too.
+  Nevertheless, such intergalactic interchange may not be a perfect meeting of minds. Certain of our cherished patterns might leave our alien visitors baffled. Arrange particular pigments on a white canvas or chip away particular chunks from a marble mass or generate particular vibrations across jostling air molecules-yielding particular patterns of light and texture and sound-and upon encountering such patterns we humans can feel reality open in ways we never imagined possible. For a brief but seemingly boundless moment we can sense our place in the world shift as if we have been transported to another realm. If the aliens have had these types of experiences, they'll get what we're talking about. But when we recount our inner response to creative works, there is a chance they will stare at us blankly. And as language can go just so far in describing these experiences, the aliens may sport a bemused expression as they glance from continent to continent and see vast numbers of our species, some by themselves, others in groups, intently concentrating and absorbing and tapping and gyrating as they envelop themselves in worlds of art and music.
+
+  Baffled by our response to artistic expression, the alien visitors are likely to be just as baffled, perhaps more so, by the creation of such works. The blank page. The pristine canvas. The unformed mass of marble. The lump of clay. The unwritten score that awaits the composer's inspiration, or, once composed, waits to be played. Or sung. Or danced. Some of our species spend their days and nights imagining shapes to extract from the formless and sounds to pour into the silence. Some will expend the core of their life's energy realizing these imaginative visions, producing patterns in space and time that may be revered, or abhorred, or ignored, or deemed the very essence of existence. "Without music," said Friedrich Nietzsche, "life would be a mistake."2 And, in the words of George Bernard Shaw's Ecrasia, "Without art, the crudeness of reality would make the world unbearable."3 But what sparks the imaginative impulse? Is it catalyzed by behavioral instincts shaped by natural selection? Or have we long been expending precious resources of time and energy on artistic pursuits that have little connection to survival and reproduction?
+  We are thrust into the world without consultation. Once here, we are granted leave to embrace life for merely a moment. How elevating to grab the reins of creation and fashion something we control, something intrinsically ours, something that is a reflection of who we are, something that captures our peculiar take on human existence. While many among us would decline an opportunity to switch places with Shakespeare or Bach, Mozart or van Gogh, Dickinson or O'Keeffe, plenty would jump at the chance to be infused with their creative mastery. To illuminate reality with beacons of our own making, to move the world with works that flow through our particular molecular makeup, to craft experiences that can stand the test of time-well, it all sounds thoroughly romantic. For some, there is magic in the creative process, an irrepressible drive for self-expression. Others see an opportunity to elevate their status and esteem. For others still, there is a nod toward eternity; our artistic creations, as Keith Haring once said, are a "quest for immortality."4
+
+  If creating and consuming works of the imagination were a recent addition to human behavior, or if these activities were only rarely practiced across human history, it is unlikely that they would reveal universal qualities of our evolved human nature. After all, some things-like bell-bottoms and fried bananas-arise from contingent peculiarities, and so teasing out the details of their historical lineage offers only limited enlightenment. But the fact is, far into the past and clear across lands inhabited, we have been singing and dancing and composing and painting and sculpting and carving and writing. Cave paintings and elaborate burial goods, as encountered in the previous chapter, date from as far back as thirty to forty thousand years ago. Etchings and artifacts that show evidence of artistic expression have been discovered from a few hundred thousand years earlier.5 We are faced with a behavior that is pervasive and yet, unlike eating and drinking and procreating, doesn't wear its survival value on its sleeve.
+  With a modern sensibility, this may not strike you as puzzling. To experience a work that enlivens the soul or moves us to tears is to go beyond the humdrum of the everyday, and who wouldn't thrill to an experience like that? But as with the superficial observation that we eat ice cream because we like sweet things, this explanation is focused solely on our proximate responses and hence is limited to the most immediate impetus for creative inclinations. Can we go deeper? Can we gain insight into why our forebears were so willing to turn from the all-too-real challenges of survival and expend precious time, energy, and effort engaging the imaginative?
+ 
+Sex and Cheesecake
+When we encountered our early brethren telling stories, we considered a similar question, and the most convincing answer invoked the flight simulator metaphor: through the creative use of language we have experienced perspectives familiar and foreign, allowing us to broaden and refine our responses to encounters in the real world. By telling stories and hearing stories and embellishing stories and repeating stories, we played with possibility without suffering consequences. We followed trail upon trail that began with "What if?" and, through reason and fantasy, explored a wealth of possible outcomes. Our minds freely roamed the landscape of imagined experience, giving us a newfound nimbleness of thought that, plausibly, proved valuable for survival.
+  As we consider more abstract forms of art, this explanation needs to be revisited. It's one thing to envision the mind burnishing the ideals of courage and heroism through riveting tales of hard-won battles or spellbinding accounts of treacherous journeys. It's seemingly quite another to argue that the mind exercised an adaptive muscle by listening to the Pleistocene's Édith Piaf or Igor Stravinsky. There is a seemingly yawning chasm between experiencing music-or, for that matter, painting or dancing or sculpting-and surmounting challenges encountered in the ancestral world.
+  Darwin himself considered the potential adaptive function of an innate artistic sense motivated by the famous evolutionary puzzle of the peacock's tail. A large and brightly colored tail makes it a challenge for a peacock to hide and, when chased by a fast-approaching predator, makes it a challenge to escape. Why would such a grand, beautiful, but apparently maladaptive structure evolve? The answer, Darwin concluded after much consternation, is that while the peacock's tail can be a ball and chain in the struggle for survival, the tail is nevertheless an essential part of the peacock's reproductive strategy. It is not only we humans who find the peacock's tail appealing. Peahens do too. They are attracted to sprightly plumes, and so the more impressive his tail, the more likely the peacock will mate. The resulting progeny, in turn, stand a good chance of inheriting dad's traits and mom's tastes, propagating a genetic war in which battles are won not by acquiring more food or ensuring greater safety but by growing more resplendent tails.
+
+  It is an example of sexual selection, a Darwinian evolutionary mechanism whose cogs are driven by reproductive access. A peacock who dies young will fail to reproduce, the very reason natural selection favors those who survive. But the same reproductive failure will befall a peacock who lives long and prospers yet is shunned by all potential mates. To influence the biological makeup of subsequent generations, survival is necessary but not sufficient. Producing offspring is what matters, and so characteristics that promote mating will enjoy a selective advantage, sometimes even at the expense of safety.6 Such costs cannot be astronomical-there is a limit to how unwieldy tails can be before survival would be utterly imperiled-but need not be free. And though the peacock's tail is the go-to example, similar considerations are applicable across a great many species. White-bearded manakins strut their moves in raucous mosh pit dances to entice potential mates; fireflies flash hypnotic courtship displays with success turning on the finesse of their flitting light shows; male bowerbirds construct elaborate bachelor dens, entwining twigs, leaves, shells and even colorful candy wrappers in an ostentatious display that apparently serves no other purpose than to seduce a future Mrs. Bowerbird.7
+  When Darwin first described sexual selection in his 1871 two-volume book The Descent of Man, and Selection in Relation to Sex, the proposal was not an instant hit. To many of his contemporaries, it seemed inconceivable that behavior in the brutish realm of nonhuman animals might hinge on aesthetic responses.8 Not that Darwin was imagining birds or frogs lost in poetic reverie, gazing at the sun's reddish rays as it dips below the horizon. The aesthetic sense he proposed was focused solely on mate selection. Even so, Darwin's ascription of a "taste for the beautiful"9 to a broad swath of the animal kingdom seemed cavalier. Heck, to Alfred Russel Wallace, who viewed human aesthetic sensibilities to be a gift from God, it was unseemly.10
+  But if we don't invoke an innate sensitivity to beauty, how do we explain the lavish bodily adornments, creative displays, and physical constructions that are integral to myriad mating games playing out in the animal kingdom? Well, there is a less lofty approach. Consider again the peacock's tail. While we humans may appreciate the aesthetics of a peacock's plumage, to a peahen it may arouse an instinctual response of considerable genetic importance. Peacocks adorned with dazzling plumage are strong and healthy, increasing the likelihood that they will sire hardy offspring. And since peahens, much as the females in most species, can produce far fewer progeny compared to their male counterparts, they have developed an especially strong preference for fit males; such unions enhance the success rate of each resource-consuming and hence precious fertilization.11 With rich plumage being a visible demonstration of a potential mate's strength and vigor, peahens attracted to such tails are more likely to spawn robust peachicks. These peachicks, in turn, will on average be endowed with the very genes for desiring and acquiring resplendent plumage, facilitating the spread of such traits through future generations. Beauty, in this analysis of sexual selection, is a good deal more than skin-deep. Beauty amounts to publicly available credentials attesting to a potential mate's adaptive fitness.
+
+  In either case-whether mate choice is driven by aesthetic sensitivities or by health evaluations-the resulting preferences can provide a rationale for costly traits, bodily and behavioral, whose intrinsic survival benefits are questionable. As this description seems applicable to our species' long-standing and essentially universal artistic practices, perhaps sexual selection offers illumination. Darwin thought it might. He invoked sexual selection to explain the human penchant for bodily piercings and colorations and suggested as well that the powerful response music can elicit is an evolutionary outcome of sexual selection shaping human mating calls. Males who could best sing or dance, or had the most alluring tattoos or decorated garments, may have been the target of choosy females and so more readily sired artistically attuned progeny. In boy meets girl, artistic talent may have determined whether boy went home alone.
+  More recently, psychologist Geoffrey Miller, and also philosopher Denis Dutton, have developed this perspective further, suggesting that human artistic capacities provide a fitness indicator perused by discerning females.12 Not only do expertly crafted artifacts, creative displays, and energetic performances demonstrate a mind and body that is firing on all cylinders, but such works also attest to the artist being generously endowed with the right stuff for survival. After all, the reasoning goes, only by virtue of possessing material resources and physical prowess could the artist afford the extravagance of expending time and energy on activities that lack survival value. (Artists of the Pleistocene, apparently, were anything but starving.) In this view, artistic undertakings amount to a self-promoting marketing strategy that results in unions between talented artists and discriminating mates, yielding progeny more likely than not to be endowed with similar traits.
+
+  Sexual selection as the evolutionary driver of human artistic activity is intriguing, but has generated more strife than accord. Researchers have raised many issues: Is artistic talent an accurate signal for physical health? Might artistic capacities be so entwined with raw intelligence and creativity, qualities with unassailable survival value, that artistic predilections spread via natural selection with no need to invoke sexual selection? With sexual selection's focus on male artists, how does the theory explain the artistic activities of females? And perhaps most challenging of all, public engagement with artistic activities during the Pleistocene as well as that era's courtship rituals and mating practices are largely a matter of conjecture. Sure, the conquests of Lucian Freud and Mick Jagger may be legendary, but what if anything does that tell us about the importance of artistic skill or stage presence for reproductive access among early hominins? In light of such concerns, Brian Boyd has offered a considered summary: "Sexual selection has been an extra gear for art, not the engine itself."13
+  Steven Pinker suggests a wholly different perspective on the adaptive utility of the arts. In a passage that has been quoted frequently by supporters as well as detractors, he argues that all but the language arts amount to nutritionally bankrupt desserts served up to pattern-obsessed human brains. Much as "cheesecake packs a sensual wallop unlike anything in the natural world because it is a brew of megadoses of agreeable stimuli which we concocted for the express purpose of pressing our pleasure buttons,"14 the arts, according to Pinker, are adaptively useless creations designed to artificially excite human senses that evolved to promote the fitness of our ancestors. This is not a value judgment. Pinker's sharply crafted arguments, brimming with cultural allusions, make clear that he has a deep affection for the arts. Instead, this is a dispassionate assessment of whether the arts have played a role in one particular task: enhancing the prospect that in the ancestral world the genes of our forebears, and not those of our artless, tone-deaf, left-footed, philistine cousins, were passed on to the next generation. And it is toward this one end that Pinker argues that the arts are irrelevant.
+
+  Evolution has surely coaxed us toward a raft of behaviors aimed at increasing our biological fitness, from finding food, securing mates, and ensuring safety to establishing alliances, fending off adversaries, and instructing progeny. Heritable behaviors that, on average, resulted in greater reproductive success spread widely and became the go-to mechanisms for surmounting particular adaptive challenges. In shaping some of these behaviors, one carrot evolution wielded was pleasure: if you find particular survival-promoting behaviors pleasurable, you will be more likely to undertake them. And by virtue of their survival-promoting qualities, these behaviors will increase the likelihood that you'll stick around long enough to reproduce, endowing future generations with similar behavioral tendencies. Evolution thus generates a collection of self-reinforcing feedback loops that renders pleasurable those behaviors that enhance fitness. In Pinker's view, the arts cut the feedback loops, sever adaptive benefits, and directly stimulate our pleasure centers, yielding gratifying experiences that from an evolutionary perspective are unearned. We like how the arts can make us feel, but neither creating nor experiencing them makes us more fit or appealing. From the standpoint of survival, the arts are junk food.
+  Music is Pinker's poster child, the genre of the arts whose adaptive irrelevance he lays out most fully. He suggests that music is an auditory parasite, free riding on emotionally evocative aural sensitivities that long ago provided survival value to our forebears. For example, sounds whose frequencies are harmonically related (frequencies that are multiples of a common frequency) indicate a single and potentially identifiable source (basic physics reveals that when a linear object vibrates, whether a predator's vocal cords or a weapon made from hollowed bone, the vibrational frequencies tend to fill out a harmonic series). Those of our forebears who responded more pleasurably to such organized sounds would have paid them more attention and thus garnered greater awareness of their environment. The heightened cognizance would have tilted the survival scales in their favor, enhancing their well-being and promoting the further development of auditory sensitivity. Increased receptivity to other information-rich sounds, from thunder to footfalls to cracking branches, would have further sharpened attentiveness and thus filled out environmental awareness yet further. And so those of our ancestors who were more sonically attuned possessed a fitness advantage, promoting the spread of aural sensitivity throughout subsequent generations. According to Pinker, music hijacks such sonic sensitivity and takes it for a joyride of sensual pleasure that confers no adaptive value. Much as cheesecake artificially stimulates our ancient adaptive preference for foods with elevated caloric content, music artificially stimulates our ancient adaptive sensitivity to sounds with elevated information content.
+
+  Pinker's juxtaposition of guilty pleasure with rarefied experience is jarring. Intentionally so. The point is not to demean our experience of art but to broaden our assignment of significance. To be sure, there is something thoroughly satisfying in identifying an evolutionary basis for this or that human behavior, providing an indelible stamp of approval imprinted in our DNA. How gratifying to imagine that the arts, deemed by many to rank among humankind's most exalted achievements, have played an essential part in the very survival of the species? But however pleasing, such an explanation need not be true. Nor essential. Biological adaptation is not the sole standard for value. It is just as wonderful that we can lift ourselves above concerns for survival and use imagination to express something beautiful or disturbing or heartrending. Significance does not require adaptive utility. Years ago during a family dinner at a local restaurant, as a waiter delivered cheesecake to a nearby table, my mother, who was constantly dieting, felt compelled to stand and salute, a gesture of respect that can apply not only to the dessert itself but to pervasive human behaviors that, in Pinker's view, have garnered that dessert's adaptive classification.
+ 
+Imagination and Survival
+The recognition that the arts need feel no shame for lacking adaptive utility has not dissuaded researchers from continuing to seek straightforward Darwinian explanations for their endurance and ubiquity. Explanations, that is, that attempt to directly link artistic activities with the survival of our forebears. In this pursuit, anthropologist Ellen Dissanayake has stressed the need to consider the arts as they were practiced in ancestral contexts, arguing that across human history, art, and religion too, were not extracurricular diversions "to be indulged one morning each week or when there was nothing better to do, nor were they superfluous pastimes that could be rejected altogether."15 Whether descending deep into the underworld to adorn a cave wall or wildly drumming, dancing, and singing into an otherworldly trance, art, like religion, was woven into the tapestry of ancient existence. And therein lies a potential adaptive role.
+  If aliens visited Paleolithic earth and wagered on who'd be top dog a million years later, genus Homo may not have inspired many bets. However, by pooling brawn and brain, we were able to prevail over forms of life larger, stronger, and faster, as well as those endowed with more refined senses of smell, sight, and sound. We triumphed because we are resourceful and creative, certainly, but above all because we are exceptionally social. In earlier chapters we discussed a number of mechanisms, from storytelling to religion to game theory, which may have facilitated our capacity to gather in productive groups. But because such behavior is as complex as it is influential, seeking a single explanation may be too narrow. Various amalgams of these mechanisms may have been important to our successful groupish tendencies, and as Dissanayake and other researchers have suggested, the list of prosocial influences should be extended to include art.
+  If you and I have confidence that we will each understand and anticipate the emotional responses of the other-even as we encounter unfamiliar challenges and pursue novel opportunities-there is a better chance we will cooperate successfully. The arts may have been essential to achieving this. Were you and I and others in our group frequent participants in the same ritualized artistic experiences, joining together through energetic rhythm, melody, and movement, the unity of such intense emotional journeys would have created a sense of communal solidarity. Anyone who has taken part in prolonged group drumming, singing, or movement knows the feeling; if you haven't, I highly recommend it. Intense and seemingly larger than life, these shared emotional episodes would have melded us into a more committed whole. As Noël Carroll, a philosopher who has also been at the forefront of these ideas, has emphasized, "Art has been about stirring up and shaping the emotions in a way that binds and inculcates those under its sway as participants in a culture."16 And indeed, the very notion of culture-a broadly shared set of traditions, customs, and perspectives-relies on a common heritage of artistic practice and experience. Members of such emotionally attuned groups had a better chance of surviving and passing on a genetic tendency for such behaviors to subsequent generations.
+
+  Now, were you unmoved by group cohesion as an adaptive explanation for religion, you may be just as unmoved by group cohesion as an adaptive explanation for art. But much as in our discussion of religion, we don't need to solely focus on groups. Art may have had adaptive utility directly at the level of the individual, a perspective I find particularly compelling. The arts provide an arena unbounded by the strictures of flat-footed truth and everyday physical reality, allowing the mind to jump and twist and tumble as it explores all manner of imagined novelty. A mind that assiduously sticks to what's true is a mind that explores a wholly limited realm of possibility. But a mind that becomes accustomed to freely crossing the boundary between what's real and what's imagined-all the while keeping clear tabs on which is which-is a mind that becomes adept at breaking the bonds of conventional thinking. Such a mind is primed for innovation and ingenuity. History makes this manifest. We owe many of the greatest breakthroughs of science and technology to a collection of individuals who were able to look at the very same problems that had confounded generations of previous thinkers and have the flexibility of thought to see those problems differently.
+  Einstein's essential step toward relativity was not driven by new experiments or data. He was working with facts-to do with electricity, magnetism, and light-that were already well-known. Instead, Einstein's bold move was to break free from the widely held assumption that space and time were constant, which required the speed of light to vary, and in its place envision that the speed of light is constant, which required space and time to vary. This slogan-like summary is not meant to explain special relativity (for that, I refer you, for example, to chapter 2 of The Elegant Universe) but rather to note that the discovery relied on imagining a simple but fundamental rearrangement of the Lego pieces of reality, an inversion of symbolic patterns so familiar that most minds glided over the possibility entirely. It is a variety of creative maneuver that resonates with the highest levels of artistic composition. In the assessment of illustrious pianist Glenn Gould, the genius of Bach is demonstrated by his ability to devise melodic lines "which when transposed, inverted, made retrograde, or transformed rhythmically will yet exhibit...some entirely new but completely harmonious profile."17 Einstein's genius rested on a similar, and similarly uncanny, ability to reconfigure the building blocks of understanding, looking anew upon concepts that had been scrutinized for decades, if not centuries, and combining them according to a novel blueprint. That Einstein described his intellectual process as thinking with music and that he frequently relied on visual explorations free of equations and words perhaps isn't all that surprising. Einstein's art was to hear rhythms and see patterns that revealed deep unity in the workings of reality.
+
+  Neither Einstein's relativity nor Bach's fugues are such stuff as survival is made on. Yet each is a consummate example of human capacities that were essential to our having prevailed. The link between scientific aptitude and solving real-world challenges may be more apparent, but minds that reason with analogy and metaphor, minds that represent with color and texture, minds that imagine with melody and rhythm are minds that cultivate a more flourishing cognitive landscape. Which is all just to say that the arts may well have been vital for developing the flexibility of thought and fluency of intuition that our relatives needed to fashion the spear, to invent cooking, to harness the wheel, and, later, to write the Mass in B Minor and, later still, to crack our rigid perspective on space and time. Across hundreds of thousands of years, artistic endeavors may have been the playground of human cognition, providing a safe arena for training our imaginative capacities and infusing them with a potent faculty for innovation.
+
+  Note too that the adaptive roles for art we've considered-sharpening innovation and strengthening social bonds-work in tandem. Innovation is the foot soldier of creativity. Group cohesion is the army of implementation. Success in the relentless battle for survival requires both: creative ideas that are successfully implemented. That the arts stand at the nexus of the two suggests an adaptive role beyond the mere pushing of pleasure buttons. Sure, it's possible that the arts are an adaptively inconsequential yet profoundly pleasing by-product of a large brain hosting a creative mind, but to many researchers that gives insufficient heed to art's capacity to sculpt our engagement with reality. Brian Boyd has made this point succinctly: "By refining and strengthening our sociality, by making us readier to use the resources of the imagination, and by raising our confidence in shaping life on our own terms, art fundamentally alters our relation to our world."18
+  I'm partial to the view that sharpening ingenuity, exercising creativity, broadening perspective, and building cohesion provides a template for how the arts mattered to natural selection. With this perspective the arts join language, story, myth, and religion as the means by which the human mind thinks symbolically, reasons counterfactually, imagines freely, and works collaboratively. Over the sweep of time, it is these capacities that have given rise to our culturally, scientifically, and technologically rich world. All the same, even if your view of art's evolutionary role veers toward creamy desserts, we can surely agree that myriad forms of art have been a steady and valued presence throughout human history. Which means that inner lives and social exchanges have embraced modes of engagement that do not place a premium on factual information conveyed through language.
+  What does this tell us about art and truth?
+ 
+Art and Truth
+About twenty years ago, on one of those gloriously sunny fall days with leaves turning red and burnt orange, I was driving alone on a highway from New York City to our family home upstate when, seemingly out of nowhere, a dog darted across the road. I slammed on the brakes, but a moment before the car finally stopped I felt a jarring thud closely followed by another, as the front and then rear wheels ran the dog over. Jumping from the car, I hoisted the dog, awake but hardly moving, into the passenger seat and sped off along country roads in search of a veterinarian. Minutes later, somehow, the dog sat up straight. I put my hand lightly on her head, which she pinned with her body against the seat as she slumped back. I pulled over. She looked up with an unblinking intensity. Pain. Terror. Resignation. A mixture of it all it seemed. Then, pressing her body harder against my hand, as if she couldn't bear leaving alone, she died.
+  I've had pets that have died. This was different. Sudden. Forceful. Violent. In time, the shock wore off, but the final moment stayed with me. My rational self knows that I'm reading undue meaning into an unfortunate but all-too-common occurrence. Still, the transition from life to death of an animal I encountered by chance and who had died by my own hand, albeit unintentionally, had an uncanny and unexpected pull on me. It carried with it a certain kind of truth. Not a propositional truth. Not a matter of fact. Nothing I could meaningfully measure. But in that moment, I felt something slightly shift in my sense of the world.
+  I can identify a small collection of other experiences that, each in their own distinctive way, have left me with a similar feeling. Holding my first child for the first time; crouching in a rocky crevice in the hills outside of San Francisco as a howling windstorm raged overhead; hearing my young daughter singing solo at a school gathering; suddenly solving an equation that had resisted months of previous attempts; watching from a bank along the Bagmati River as a Nepalese family performed the ritual burning of a deceased family member; skiing-no, flailing-down a double-diamond slope in Trondheim, and somehow surviving. You have your own list. We all do. Experiences that fully lock our attention and spark emotional responses we value even in the absence-or perhaps because of the absence-of a fully rational or linguistic description. What's curious, although likely common, is that while my own working process is thoroughly language based, I feel no urge to explore these experiences in words. When I think of them, I feel no lack of understanding calling out for linguistic clarification. They expand my world without need for interpretation. These are the times that my inner narrator knows it's time to take a break. An examined life need not be an articulated life.
+
+  The most arresting art can induce in us rarefied states of mind and body comparable to those produced by our most affecting real-world encounters, similarly molding and enhancing our engagement with truth. Discussion, analysis, and interpretation can further shape these experiences, but the most potent do not rely on a linguistic intermediary. Indeed, even for language-based arts, it is the imagery and sensations that, in the most moving experiences, leave the most lasting mark. As elegantly described by poet Jane Hirshfield, "When a writer brings into language a new image that is fully right, what is knowable of existence expands."19 Nobel laureate Saul Bellow speaks too to art's singular capacity for expanding the knowable: "Only art penetrates what pride, passion, intelligence and habit erect on all sides-the seeming realities of this world. There is another reality, the genuine one, which we lose sight of. This other reality is always sending us hints, which without art, we can't receive." And without that other reality, Bellow notes, channeling thoughts set down by Proust, existence is reduced to a "terminology for practical ends which we falsely call life."20
+  Survival rests upon amassing information that accurately describes the world. And progress, in the conventional sense of increased control over our surroundings, requires a clear grasp of how these facts integrate into nature's workings. Such are the raw materials for fashioning practical ends. They are the basis for what we label objective truth and often associate with scientific understanding. But however comprehensive such knowledge may be, it will always fall short of providing an exhaustive account of the human experience. Artistic truth touches a distinct layer; it tells a higher-level story, one that in the words of Joseph Conrad "appeals to that part of our being which is not dependent on wisdom" and speaks instead to "our capacity for delight and wonder, to the sense of mystery surrounding our lives; to our sense of pity, and beauty, and pain; to the latent feeling of fellowship with all creation...in dreams, in joy, in sorrow, in aspirations, in illusions, in hope, in fear...which binds together all humanity-the dead to the living and the living to the unborn."21
+
+  Released from rigid verisimilitude and developing over the course of millennia, the creative instinct has amply explored the emotional range that marks Conrad's vision of the artistic journey and provides the vernacular in which Bellow's genuine reality whispers to us from just around the bend. Writers, in particular, have crafted world upon world of characters whose fictive lives provide heightened studies in human engagement. Odysseus and the fraught journey of vengeance and loyalty, Lady Macbeth and the claws of ambition and guilt, Holden Caulfield and the irrepressible rebellious instinct, Atticus Finch and the power of quiet but unshakable heroism, Emma Bovary and the tragedies of human connection, Dorothy and the winding road of self-discovery-the insights these works provide into the varieties of experience, the artistic truths they develop, add shadow and dimension to an otherwise rough sketch of human nature.
+  Visual and auditory works, in which language is not central, provide experiences that are more impressionistic. Yet, as with their literary counterparts, if not more so, they can spark the very same emotions that, as Conrad described, stand beyond wisdom; the voices inhabiting Bellow's genuine reality speak to us in varied ways. I can't listen to Franz Liszt's Totentanz without a visceral foreboding; Brahms's Third Symphony conjures a deep, unsated longing; the Bach Chaconne is an apotheosis of the sublime; the "Ode to Joy" finale of Beethoven's Ninth Symphony is for me and, of course, much of the world too, among the most optimistic statements the species has ever offered. Including music with lyrics, Leonard Cohen's "Hallelujah" praises the imperfect life with incomparable authenticity; Judy Garland's simple and exquisite rendition of "Over the Rainbow" captures the pure yearnings of youth; John Lennon's "Imagine" embodies the simple power of envisioning the possible.
+
+  As with life's punctuated moments, we each can bring to mind works, whether in literature or film, sculpture or choreography, painting or music, that in one way or another have moved us. Through these captivating experiences, we consume "megadoses" of essential qualities of human life on this planet. But far from empty calories, these heightened encounters provide insights that would be difficult if not impossible to otherwise acquire.
+  The lyricist Yip Harburg, author of many classics including "Over the Rainbow," said it simply: "Words make you think a thought. Music makes you feel a feeling. But a song makes you feel a thought."22 Feel a thought. For me, that captures the essence of artistic truth. As Harburg emphasized, thinking is intellectual, feeling is emotional, but "to feel a thought is an artistic process."23 It is an observation that rests on linking language and music but, really, it yokes the arts more generally. The emotional responses elicited by art ripple across the reservoir of churning thought that underlies conscious awareness. For works without words, these experiences are less directed and the feelings more open-ended. But all art has the capacity to make us feel thoughts, yielding a variety of truth we would be unlikely to anticipate from conscious deliberation or factual analysis. A variety of truth that does indeed stand beyond wisdom. Beyond pure reason. Beyond the reach of logic. Beyond the necessity for proof.
+  Make no mistake. We are all bags of particles-both mind and body-and the physical facts about the particles can fully address how they interact and behave. But such facts, the particulate narrative, shed only monochrome light on the richly colored stories of how we humans navigate the complex worlds of thought, perception, and emotion. And when our perceptions blend thought and emotion, when we feel thoughts as well as think them, our experience steps yet further beyond the bounds of mechanistic explanation. We gain access to worlds otherwise uncharted. As Proust emphasized, this is to be celebrated. Only through art, he noted, can we enter the secret universe of another, the only journey in which we truly "fly from star to star," a journey that cannot be navigated by "direct and conscious methods."24
+  Although focused on the arts, Proust's perspective resonates with my own long-held take on modern physics. "The only true voyage of discovery," he once said, "would be not to visit strange lands but to possess other eyes, to see the universe through the eyes of another, of a hundred others."25 For centuries, we physicists have relied on mathematics and experiment to reshape our eyes, to reveal layers of reality untouched by generations of the past, to allow us to see familiar landscapes in shocking new ways. With these tools, we have found that the strangest of lands have emerged by intently examining the very realms we have long inhabited. All the same, to acquire such knowledge and to utilize the power of science more generally, we must follow the unshakable directive to look past the peculiarities of how each of our distinct collections of molecules and cells takes in the world, and home in on objective qualities of reality. For the rest, the all-too-human truths, our nested stories rely on art. As George Bernard Shaw put it, "You use a glass mirror to see your face, you use works of art to see your soul."26
+ 
+Poetic Immortality
+Not too infrequently, I'm asked for the single fact about the universe I find most mind-blowing. I don't have a stock answer. Sometimes I suggest relativity's malleability of time. On other occasions I suggest quantum entanglement, what Einstein called "spooky action at a distance." But sometimes I go simpler and suggest something most of us first encountered as schoolkids. When we look up at the night sky we see stars as they were many thousands of years ago. Using powerful telescopes, we see far more distant astronomical objects as they were millions or billions of years ago. Some of these astronomical sources may have long since died, and yet we continue to see them because light they long ago emitted is still in transit. Light provides an illusion of presence. And not just for stars. Undisturbed, reflected beams of radiation carry your imprint and mine across an arbitrary expanse of space and time, a poetic immortality racing across the cosmos at the speed of light.
+  Back here on earth, poetic immortality takes a different form. The yearning to hold on to life for as long as we choose has not been requited, at least not yet and perhaps never will be. But the creative mind, able to roam freely through imagined worlds, can explore the immortal, meander through eternity, and meditate on why we might seek or disdain or fear endless time. For millennia, artists have done just that. Some twenty-five hundred years ago, the Greek lyric poet Sappho lamented the inevitability of change, "You, children, pursue the violet-laden Muses' lovely gifts / and the clear-toned lyre so dear to song; / but for me-old age has now seized my once tender body," tempered by reference to the cautionary tale of Tithonus, a mortal granted immortality by the gods but still subject to the ravages of age, now endured for eternity. A final line that some scholars believe to be the true ending of the poem-"Eros has granted to me the beauty and the brightness of the sun"-suggests that through her passionate pursuit of life, expressed through her poetry, Sappho anticipated transcending decay and achieving ageless radiance; through her poetry, she imagined attaining a symbolic immortality.27
+
+  It is a version of a death-denying schema in which we mortals seek to live on through our heroic achievements, influential contributions, or creative works. The scale of such immortality requires an anthropocentric adjustment, from eternity to the duration of civilization-a significant cost, but one offset by the recognition that unlike its literal counterpart, the symbolic version of immortality is real. The only issue is one of strategy. Which lives will be remembered? Which works will last? And how to ensure that our lives and our works will be among them?
+  A couple of millennia after Sappho, Shakespeare contemplated the role of art and the artist in shaping what the world remembers. Addressing the subject of an epitaph he imagines composing, Shakespeare notes, "When all the breathers of this world are dead / You still shall live, such virtue hath my pen," a benefit, Shakespeare asserts, that he himself will not enjoy: "Your name from hence immortal life shall have / Though I, once gone, to all the world must die." Of course, we're in on Shakespeare's game: as it is the poet's words that will be read and recited, the subject of the epitaph is but a vehicle for the poet to achieve immortality, albeit symbolically. Indeed, centuries later, it is Shakespeare who lives on.
+  After leaving Freud's Vienna Circle, Otto Rank developed his thesis that the pursuit of symbolic immortality is a primary driver of human behavior. In Rank's view, the artistic impulse reflects the mind taking charge of its fate, having the courage to rework reality, and embarking on the lifelong project of shaping its own idiosyncratic self. The artist moves toward psychic health by accepting mortality-we're going to die, that's that, get over it-and shifting the urge for eternity onto a symbolic form carried by creative works. This perspective casts the clichéd image of the tortured artist in a different light. According to Rank, coping with mortality through creating art is a pathway to sanity. Or, as the writer and critic Joseph Wood Krutch similarly described, "Man needs eternity, as the whole history of his aspirations bears witness; but the eternity of art is, in all probability, the only sort he will ever get."28
+
+  Could this dynamic have been at work tens of thousands of years ago, shedding light on why we diverted energy to activities that stand apart from the immediate needs of sustenance and shelter? Could it explain why, across millennia, artistic pursuits have remained central threads in the fabric of all human cultures? Yes and yes. Whether or not Rank's all-encompassing vision hits the bull's-eye, we can well imagine our ancient forebears sensing their own mortal nature, longing to clutch hold of their world and stamp it with something iconic, something self-authored, something lasting. We can well imagine that urge interrupting an otherwise diligent focus on survival and over time being reinforced and refined by the communal delight in joining the artist in imaginative worlds sprung from the human mind.
+  While the paucity of evidence reduces analysis of our distant past to informed guesswork, here in the modern age we encounter one work after another reflecting deeply on mortality and eternity.29 Walt Whitman pondered the intolerability of granting finality to death: "Do you suspect death? If I were to suspect death I should die now. / Do you think I could walk pleasantly and well-suited toward annihilation?.../ I swear I think there is nothing but immortality!" To William Butler Yeats, the ancient city of Byzantium was a destination where he might be released from his dying physical form, liberated from humanly concerns, and given leave to enter a timeless realm: "Consume my heart away; sick with desire / And fastened to a dying animal / It knows not what it is; and gather me / Into the artifice of eternity."30 Herman Melville made plain that mortality sails along with us even when rough waters seem to have subsided: "All are born with halters round their necks; but it is only when caught in the swift, sudden turn of death, that mortals realize the silent, subtle, ever-present perils of life."31 Edgar Allan Poe took death denial to a literary extreme giving voice to victims of premature burial fighting off death's most intimate embrace: "I shrieked with horror: I plunged my nails into my thighs and wounded them; the coffin was soaked in my blood; and by tearing the wooden sides of my prison with the same maniacal feeling I lacerated my fingers and wore the nails to the quick, soon becoming motionless from exhaustion."32 Tennessee Williams, through the fictional patriarch Big Daddy Pollitt, noted that "ignorance-of mortality-is a comfort. A man don't have that comfort, he's the only living thing that conceives of death," and in consequence, "if he's got money he buys and buys and buys and I think the reason he buys everything he can buy is that in the back of his mind he has the crazy hope that one of his purchases will be life everlasting!"33
+
+  Dostoevsky, through his character Arkády Svidrigáylov, aired a different perspective, one weary of the reverence commanded by eternity: "Eternity is always presented to us as an idea that we can't grasp, as something enormous, enormous! Why does it have to be enormous? All of a sudden, instead of all that, imagine there'll be a little room, something like a country bathhouse, sooty, with spiders in all the corners, and that's the whole of eternity. You know, I sometimes imagine it like that."34 It's a sentiment expressed too by Sylvia Plath, "O God, I am not like you / In your vacuous black / Stars stuck all over, bright stupid confetti / Eternity bores me, I never wanted it,"35 and picked up lightheartedly by Douglas Adams through his accidental immortal, Wowbagger the Infinitely Prolonged, who plans to deal with his profound ennui by systematically insulting everyone in the universe, one by one, in alphabetical order.36
+  This range of dispositions, from longing to disdaining, demonstrates the larger point: our recognition of the limited time we are allotted has driven an artistically vibrant engagement with the concept of eternity. The examined life examines death. And for some, to examine death is to free the imagination to challenge its dominance, dispute its eminence, and conjure realms that lie beyond its reach. However intently researchers argue about their evolutionary utility, their role in building social cohesion, their necessity for innovative thinking, and their standing in the pantheon of primal urges, the arts provide our most evocative means for giving expression to the things we deem matter most-and among such things are life and death, the finite and the infinite.
+
+  For many, including me, the most concentrated of such expressions are provided by music. Music can offer an immersion so enveloping that within just a few brief moments it feels like we have stepped beyond time. Cellist and conductor Pablo Casals described the power of music to "inform ordinary activities with spiritual fervor, to give wings of eternity to that which is most ephemeral."37 It is a fervor that makes us feel part of something larger, something that viscerally affirms Conrad's "invincible conviction of solidarity that knits together the loneliness of innumerable hearts."38 Whether with the composer or fellow listeners or through a more abstract sort of communion altogether, music invites connection. And it is through such connection that the experience of music transcends time.
+  Back in the late 1960s, the third graders in Mrs. Gerber's class at P.S. 87 in Manhattan were asked to interview an adult of their choosing and write a short report explaining the interviewee's occupation. I took the easy way out and interviewed my dad-a composer and performer who was fond of citing his academic imprimatur, an "SPhD" (Seward Park High School dropout). Partway through the tenth grade, my dad ditched the books and hit the road, singing, playing, and performing around the country. It has been more than a half century since that grade-school assignment, but one thing he mentioned has never left me. When I asked why he chose music, my dad answered, "To keep away the loneliness." He swiftly transitioned to a brighter tone, more suited to a third-grade report, but that uncensored moment was revealing. Music was his lifeline. It was his version of Conrad's solidarity.
+  Few composers move the world. My dad was not among them, a painful realization he slowly grew to accept. The melodies and rhythms handwritten across hundreds of yellowing manuscript pages, many from before I was born, are now of little interest to anyone but family. I am perhaps the sole remaining person who, from time to time, still listens to the ballads and songs and piano works he composed as far back as the 1940s and 1950s. For me, these compositions are a treasure, a connection that allows me to feel my dad's thoughts from a time when he was just beginning to make his way in the world.
+
+  Music has the remarkable power to create such profound connection even among those not bound by family, living in different times, inhabiting different realms. A moving description comes from Helen Keller, one of history's singular heroes. On February 1, 1924, radio station WEAF in New York City broadcast the New York Symphony Orchestra's live performance of Beethoven's Ninth Symphony. At home, Helen Keller placed her hands on the diaphragm of an uncovered radio speaker and through the vibrations was able to sense the music, to experience what she called the "immortal symphony," even distinguish individual instruments. "When the human voice leaped up trilling from the surge of harmony, I recognized them instantly as voices. I felt the chorus grow more exultant, more ecstatic, upcurving swift and flame-like, until my heart almost stood still." And then, speaking to sounds that touch the spirit, music that reverberates to eternity, she concludes:
+As I listened, with darkness and melody, shadow and sound filling all the room, I could not help remembering that the great composer who poured forth such a flood of sweetness into the world was deaf like myself. I marveled at the power of his quenchless spirit by which out of his pain he wrought such joy for others-and there I sat, feeling with my hand the magnificent symphony which broke like a sea upon the silent shores of his soul and mine.39
+
+ 
+ 
+9
+DURATION AND IMPERMANENCE
+From the Sublime to the Final Thought
+Every culture has a notion of the timeless, a revered representation of permanence. Immortal souls, sacred stories, illimitable gods, eternal laws, transcendent art, mathematical theorems. Yet, spanning categories from the otherworldly to the thoroughly abstract, permanence is something we humans covet but never attain. The closest we come-a sense of time having dropped away, whether the result of a euphoric or tragic encounter, a meditative or chemical inducement, an exalted religious or artistic experience-can provide life's most formative experiences.
+  Decades ago, together with eight other teenagers, I was on a survival course in the deep woods of Vermont. Late one night after we were all asleep in our tents, the course leaders bellowed for us to get up and dress quickly. We were heading out on an impromptu night hike. Holding hands and walking single file through the blackness, we slowly negotiated dense forest, thick brush, and, of particular delight, a waist-deep mud swamp. Wet, freezing, and covered in muck, we were finally led to a nearby clearing where, we were informed, the nine of us would be left for the night with nothing but three sleeping bags. Realizing the futility of our protests, however intensely delivered, we zipped the sleeping bags together, stripped down, and huddled closely under the makeshift duvet. Many cursed, others vowed to quit the course early, a few cried. But then there was the most wondrous sight. A brilliant aurora borealis filled the night sky. I had never seen anything like it. The swirling gossamer strands of light, the stunning colors bleeding one into another, all set against a backdrop of seemingly endless, uncountable stars. Suddenly, I was in a different place. The hike, the swamp, the cold, the near-naked huddling-it was all now part of a primordial throwback. Man, nature, universe. While I wore earth, I was enveloped in the dancing lights. Abandoned by the last of our communal heat, I was absorbed by the distant stars. I lost track of how long I stared at the sky before drifting off to sleep, whether minutes or hours. Duration didn't matter. For a brief moment, time had dissolved.
+
+  Episodes with this timeless quality are rare. And they are fleeting. Time, for the most part, is a constant companion. Impermanence underlies experience. We revere the absolute but are bound to the transitory. Even those features of the cosmos that may present as enduring-the expanse of space, the distant galaxies, the stuff of matter-all lie within the reach of time. As we will explore in this chapter and the next, however stable it may appear, the universe and all it contains is mutable and precarious.
+Evolution, Entropy, and the Future
+Underneath reality's steadfast façade, science has revealed a relentless drama of churning particles in which it is tempting to cast evolution and entropy as embattled characters perpetually fighting for control. The tale envisions that evolution builds structure while entropy destroys it. It makes for a tidy story, but the hitch, as we have seen in earlier chapters, is that it isn't quite true. Like many simplified sketches, there is some truth to it. Evolution is instrumental in building structure. Entropy does tend to degrade structure. But entropy and evolution need not pull in opposite directions. The entropic two-step allows structure to flourish here, so long as entropy is expelled there. Life, among the premier achievements of evolution, embodies this mechanism, consuming high-quality energy, using it to maintain and enhance its orderly arrangements, and expelling high-entropy waste to the environment. Playing out across billions of years, the cooperative exchange between entropy and evolution has resulted in particulate arrangements that are exquisite, including a life and a mind able to produce the Ninth Symphony and vastly more lives and minds able to experience it as sublime.
+
+  As we pivot from the journey that has taken us from the big bang to Beethoven and turn toward the future, will evolution and entropy continue to be decisive factors guiding change? For Darwinian evolution, you might think the answer is no.1 The dependence of reproductive success on genetic makeup is the reason Darwinian selection has long steered the evolutionary ship. A consequential difference of recent times is the intervention of modern medicine and the protections provided by civilization more generally. Genotypes that might have found life on the ancient African savanna challenging can do just fine in today's New York City. In many parts of the world, your genetic profile is no longer the dominant factor determining whether you die as a child or issue abundant progeny as an adult. Of course, by leveling sections of the genetic playing field, modern advances adjust previous selection pressures and thus exert their own variety of evolutionary influence. Researchers also point to numerous pressures including dietary choices (e.g., diets rich in milk products favor digestive systems in which the production of lactase is prolonged beyond childhood), environmental conditions (e.g., living at high altitude gives an advantage to adaptations for surviving with less available oxygen), and mate preferences (e.g., average heights in some countries may be evolving toward statures deemed more appealing by those who are reproductively active) that drive trends in the gene pool.2 But the greatest impact of all may come from the newfound ability to directly edit genetic profiles. Rapidly advancing techniques have the capacity to augment the mechanisms of genetic variation, random mutation and sexual mixing, to include volitional design. Should a researcher discover a genetic reconfiguration that extends human life to two hundred years with side effects being cyan skin, ten-foot stature, and a ravenous blue-centric libido, evolution will be on full display as a self-selected group of long-lived, Na'vi-like humans spreads rapidly. With the potential to wholly refashion life and perhaps design a version of sentience-whether biological, artificial, or some variety of hybrid-whose powers may dwarf our current abilities, it is anyone's guess where this will all lead.
+
+  For entropy, the answer to the question of future relevance is certainly yes. Many chapters ago we found that the second law of thermodynamics is a general consequence of applying statistical reasoning to the underlying physical laws. Might future discoveries revise the laws we now consider fundamental? Almost certainly. Will entropy and the second law maintain their place of explanatory prominence? Almost certainly too. During the transition from the classical to the radically different quantum framework, the mathematics describing entropy and the second law required an update, but because these concepts emerge from the most basic probabilistic reasoning, they continue to apply all the same. We anticipate the same will hold regardless of future developments in our understanding of physical law. It is not that we are unable to imagine physical laws that would result in entropy and the second law being irrelevant, but the laws would need to be so contrary to the features of reality inherent in all we know and all we have measured that most physicists dismiss the possibility out of hand.
+  In envisioning the future, greater uncertainty surrounds the control that we or some forthcoming intelligence will be able to exert over our surroundings. Might intelligent life direct the long-term fate of stars, galaxies, and even the cosmos as a whole? Might such intelligence willfully shift entropy on voluminous scales, effectively driving entropy down in enormous swaths of space, a cosmic-scale version of the entropic two-step? Might such intelligence even have the capacity to design and create entire new universes? However far-fetched these activities may sound, they fall within the realm of possibility. The dilemma for us is that their impact on the future is utterly beyond our ability to predict. Even in a lawful world, one that lacks traditional free will, the broad behavioral repertoire of intelligence-the version of freedom intelligence acquires-makes certain varieties of prediction essentially impossible. Future thought will no doubt acquire incomparable computational methods and technologies, but I suspect that predicting long-term developments that are intimately dependent on life and intelligence will remain beyond reach.
+
+  How, then, to proceed?
+  We will assume that the laws of physics as currently known, operating in the undirected manner they presumably have since the big bang, will be the dominant influence guiding the cosmic unfolding. We will not consider the possibility that the laws themselves or even the numerical "constants" of nature can change. Nor will we consider the possibility that these laws or constants are already slowly shifting, modifications that might currently be too small to leave a mark but might exist and might accumulate over vast timescales into substantial change.3 We will also not consider the possibility that the dominion over which future intelligence will exert structural control will swell to the scales of galaxies and beyond. Granted, that's a lot of "nots" and "nors." But in the absence of any evidence to guide us, investigating these possibilities would amount to shooting in the dark. If these assumptions cut against your expectations for the future, you can view the account in this and the next chapter as reflecting cosmological developments that would otherwise happen in the absence of such change or intelligent intervention. My suspicion is that the clarity brought by future discoveries as well as the influences exerted by future intelligence, while surely relevant to details of the account that follows, will not require a wholesale rewriting of the cosmic unfolding we will survey.4 A bold assumption, perhaps, but it is the most expeditious route forward and one that we will now boldly pursue.5
+  As the following pages will make evident, the very fact that we can piece together a cogent if tentative account that delineates cosmic unfolding exponentially far into the future is an extraordinary achievement, one shaped by the hands of many and as emblematic of the human longing for coherence as our species' most cherished stories, myths, religions, and artistic creations.
+An Empire of Time
+How should we organize our thinking about the future? Human intuition is reasonably well suited for grasping the timescales of common experience, but in analyzing key cosmological epochs of the future we will enter temporal realms so vast that even our best analogies can provide no more than a hint of the durations involved. Still, there is no better way than analogies based on familiar scales to provide mental toeholds for such an unfamiliar climb, so let's imagine that the timeline of the universe extends up the Empire State Building, with each floor representing a duration ten times that of the previous. The first floor represents ten years since the big bang, the second floor one hundred years, the third floor one thousand years, and so on. As the numbers make evident, durations grow rapidly as we climb from floor to floor-simple to describe, but easy to misconstrue. Walking, say, from floor 12 to floor 13 amounts to considering the universe from a trillion years after the big bang to ten trillion years after the bang. In ascending that single floor, nine trillion years elapse, dwarfing the entire duration represented by all previous floors. The same pattern holds as we continue to climb higher: the duration represented by each subsequent floor is far larger, exponentially larger, than the duration represented by the floors below.
+
+  With the span of a human life being roughly a hundred years, durable empires lasting about a thousand years, hardy species hanging on for millions of years, the ever-higher floors of the Empire State Building represent durations of a thoroughly distinct, seemingly aeonian sort. When we reach the Empire State Building's observation deck on floor 86, we will be 1086 years-100,000,000,000,​000,000,000,000,​000,000,000,000,​000,000,000,000,​000,000,000,000,​000,000,000,000,​000,000,000,000,​000-from the big bang, a staggering timescale that towers over any duration of any relevance to any human endeavor. And yet, notwithstanding all the zeroes, when we subsequently step to the building's uppermost landing, reaching floor 102, the duration represented by the observation deck will, by comparison, amount to far less than the thickness of paint coating that final tread.
+  Today, it is about 13.8 billion years since the big bang, which means that all of the developments discussed in the previous chapters are sprinkled between the ground floor of the Empire State Building and just a few steps above floor 10. From here we head exponentially far into the future.
+  Let's climb.
+ 
+The Black Sun
+Our early ancestors, even without understanding that the sun bathes earth in a continual wash of low-entropy energy essential to life, recognized the central importance of the sky's watchful eye, a burning presence overseeing the comings and goings of daily existence. As the sun set, they realized it would rise once again, having induced the world's most conspicuous and reliable pattern. But just as reliably, that rhythm will one day end.
+  For almost five billion years, the sun has supported its tremendous mass against the crushing force of gravity through the energy produced by the fusion of hydrogen nuclei in its core. That energy powers a frenzied environment of fast-moving particles that exert a strong outward pressure. And much like the pressure produced by an air pump that props up a child's inflatable bounce house, the pressure produced by fusion in the sun's core props up the sun, keeping it from collapsing under its own enormous weight. This standoff between gravity pulling inward and particles pushing outward will hold firm for about another five billion years. But then the balance will be upended. Even though the sun will still be chock-full of hydrogen nuclei, hardly any will be in the core. Hydrogen fusion produces helium, nuclei that are heavier and denser than hydrogen, and so just as sand poured into a pond displaces water as it fills the pond's bottom, helium displaces hydrogen as it fills the sun's center.
+  That's a big deal.
+  The center of the sun is where you find its hottest temperatures, currently about fifteen million degrees, well in excess of the ten million degrees required to fuse hydrogen into helium. But to fuse helium nuclei requires a temperature of about one hundred million degrees. Because the sun's temperature is nowhere near that threshold, as helium displaces hydrogen in the core, fusion's fuel supply will dwindle. The outward pressure from fusion's production of energy in the core will subside, and consequently the inward pull of gravity will gain the upper hand. The sun will begin to implode. As its spectacular heft collapses inward, the sun's temperature will skyrocket. The intense heat and pressure, still shy of the conditions necessary for helium to start burning, will spark a new round of fusion within a thin shell of hydrogen nuclei surrounding the helium core. And with such extreme conditions, hydrogen fusion will proceed at an extraordinary pace, producing a more intense outward push than the sun has ever experienced, not only halting the implosion but thrusting the sun to swell tremendously.
+
+  The fate of the inner planets hangs in the balance between two factors. How large will the sun grow? And as it does, how much mass will the sun shed? The latter question is relevant because with its nuclear engine running in overdrive, copious particles in the sun's outer layer will be blown steadily into space. A lower-mass sun, in turn, results in a diminished overall gravitational pull, causing the planets to migrate into more distant orbits. The future of any given planet depends on whether its receding trajectory can outrun the swelling sun.
+  Computer simulations incorporating detailed solar models conclude that Mercury will lose the race and be swallowed by the distended sun, vaporizing quickly. Mars, orbiting at a larger distance, enjoys a head start and will be safe. Venus is likely done for, yet some simulations conclude that the swelling sun may fall just shy of reaching its receding orbit and, if so, that of earth too.6 But even if earth is spared, conditions here will change profoundly. Earth's surface temperature will soar into the thousands of degrees, hot enough to dry out the oceans, eject the atmosphere, and flood the surface with molten lava. Unpleasant conditions, to be sure, but the giant red sun spilling across the sky would be a sight to behold. It's virtually certain, however, that it's a sight no one will ever see. If our descendants continue to thrive (having successfully dodged self-destruction, lethal pathogens, environmental disasters, deadly asteroids, and alien invasions, among other potential catastrophes), and if they aim to continue doing so, they will have long abandoned earth in search of a more hospitable home.
+  As the hydrogen nuclei surrounding the sun's helium core continue to fuse, the additional helium they produce will rain down, forcing the core to contract yet farther and propelling its temperature yet higher. In turn, the higher temperature will accelerate the cycle, increasing the rate of hydrogen fusion in the surrounding shell, intensifying the storm of helium pummeling the core, and driving the temperature higher still. Roughly five and a half billion years from now, the core temperature will finally be hot enough to support the nuclear burning of helium, producing carbon and oxygen. After a spectacular but momentary eruption that marks the transition to helium fusion being the sun's dominant energy source, the sun will shrink back down in size and settle into a less frenzied configuration.
+
+  But the newfound stability will be relatively short lived. In about one hundred million years, much as heavier helium displaced lighter hydrogen, heavier carbon and oxygen will do the same to lighter helium, taking over the solar core and forcing helium into surrounding layers. Nuclear burning of the new core constituents, carbon and oxygen, requires even higher temperatures, a minimum of six hundred million degrees. As the sun's core temperature is far less than this, nuclear fusion will once again grind to a halt, the inward pull of gravity will once again dominate, the sun will once again contract, and the core temperature will once again increase.
+  In the previous phase of this cycle, the increasing temperature sparked the onset of fusion in a shell of hydrogen surrounding the quiescent core of helium. Now the increasing temperature sparks fusion in a shell of helium surrounding a quiescent core of carbon and oxygen. But in this go-round the temperature in the core will never reach the value required for nuclear burning to be reignited there. The sun's mass is too low to provide the necessary temperature-propelling crush that, in larger stars, would ignite the fusion of carbon and oxygen into yet heavier and more complex nuclei. Instead, as the helium shell burns, showering the core with freshly made carbon and oxygen, the core will continue to contract until a quantum process-it's called the Pauli exclusion principle-halts the implosion.7
+  In 1925, Austrian physicist Wolfgang Pauli, a famously caustic quantum pioneer ("I don't mind your thinking slowly; I mind your publishing faster than you think"8), realized that quantum mechanics sets a limit to how closely two electrons can be squeezed together (more precisely, quantum mechanics excludes any two identical matter particles from occupying an identical quantum state, but the rough description will suffice). Shortly thereafter, the collective insights of a number of researchers showed that Pauli's result, notwithstanding its focus on minute particles, was the key to understanding the sun's fate, as well as the fate of all similarly sized stars. As the sun contracts, electrons in the core will be packed ever more tightly, ensuring that sooner or later the electron density will reach the limit specified by Pauli's result. When further contraction would violate Pauli's principle, a powerful quantum repulsion kicks in, the electrons stand their ground, demand their personal space, and refuse to be packed any more closely. The sun's contraction stops.9
+
+  Far from the core, the outer shells of the sun will continue to expand and cool, ultimately drifting off into space, leaving behind an astoundingly dense ball of carbon and oxygen, called a white dwarf star, which will continue to glow for a handful of billions of years more. Without the required temperature for further nuclear fusion, thermal energy will slowly dissipate into space and, like the final glow of a burning ember, the remnant sun will cool and dim, ultimately transitioning into a dark frozen orb. A few steps above the tenth floor, the sun will fade to black.
+  It is a gentle end. All the more so when compared with a cataclysmic denouement that may be awaiting the entire universe as we continue our climb to the next floor.
+The Big Rip
+Toss an apple upward and the relentless tug of earth's gravity ensures that its speed steadily slows. It is a pedestrian exercise with deep cosmological significance. Ever since Edwin Hubble's observations in the 1920s, we have known that space is expanding: the galaxies are rushing away from one another.10 But much as with the tossed apple, the gravitational pull of each galaxy on every other must, surely, be slowing the cosmic exodus. Space is expanding, but the rate of expansion must be decreasing. In the 1990s, motivated by this expectation, two teams of astronomers set out to measure the rate of cosmic slowdown. After nearly a decade of pursuit they announced their results-and rocked the scientific world.11 The expectations were wrong. Through painstaking observations of distant supernova explosions, powerful beacons that can be seen and measured clear across the cosmos, they discovered that the expansion is not slowing down. It is speeding up. And it's not as though the shift into cosmic overdrive happened yesterday. Researchers, falling off their chairs, were confronted with astronomical observations establishing that the expansion has been picking up speed for the past five billion years.
+
+  The widely held expectation of a slowing rate of expansion had been widely held because it makes sense. To propose a quickening expansion of space is, at first blush, as absurd as predicting that a gently tossed apple will leave your hand and rocket skyward. If you saw such a bizarre thing you'd look for a hidden force, an overlooked influence responsible for pushing the apple upward. Similarly, when the data provided overwhelming evidence that the spatial expansion is speeding up, researchers picked themselves off the floor, grabbed fistfuls of chalk, and sought the cause.
+  The leading explanation invokes a pivotal feature of Einstein's general relativity that we encountered in our discussion of inflationary cosmology back in chapter 3.12 Recall that according to both Newton and Einstein, clumps of matter like planets and stars exert familiar attractive gravity, but in Einstein's approach gravity's repertoire broadens. If a region of space is not host to a clump but is instead uniformly filled with an energy field-my image of choice, introduced earlier, is steam uniformly filling a sauna-the resulting gravitational force is repulsive. In inflationary cosmology, researchers envision that such energy is carried by an exotic species of field (the inflaton field), and the theory proposes that its powerful repulsive gravity drove the big bang. Although that event was nearly fourteen billion years ago, we can follow an analogous approach to explain the accelerated expansion of space we currently observe.
+  If we imagine that all of space is uniformly filled with another energy field-we call it dark energy because it doesn't generate light, but invisible energy would be just as apt-we can give an account of why the galaxies are all hurriedly departing. Being clumps of matter, the galaxies exert attractive gravity, mutually pulling inward and thus slowing the cosmic exodus. Being spread uniformly, the dark energy exerts repulsive gravity, pushing outward and thus quickening the cosmic exodus. To explain the accelerated expansion the astronomers observe, dark energy's push simply needs to exceed the galaxies' collective pull. And not by much. Compared with the blistering outward swelling of space during the big bang, today's expansion is gentle, and so a diminutive dark energy is all that is needed. Indeed, in a typical cubic meter of space, the amount of dark energy required to power the observed galactic speedup would keep a hundred-watt bulb running for about five trillionths of a second-almost comically tiny.13 But space contains a lot of cubic meters. The repulsive push contributed by each and every one combines to yield an outward force able to drive the accelerated expansion measured by the astronomers.
+
+  The case for dark energy is compelling but circumstantial. No one has found a way to clutch hold of dark energy, establish its existence, and directly examine its properties. Nevertheless, because it so adeptly accounts for the observations, dark energy has become the de facto explanation for the accelerated expansion of space. Less clear, however, is the long-term behavior of dark energy. And to forecast the far future, thinking through the possibilities is essential. The simplest behavior consistent with all observations is that the value of the dark energy does not change over the course of cosmic time.14 But simplicity, while favored conceptually, has no fundamental claim on truth. The mathematical description of dark energy allows for it to weaken, putting the brakes on accelerated expansion, or strengthen, giving additional gas to accelerated expansion. Looking out from the eleventh floor, the latter situation-repulsive gravity that grows more forceful-is the most inauspicious possibility; if realized, we are hurtling toward a violent reckoning that physicists call the big rip.
+  An increasingly powerful repulsive push of gravity would, in time, triumph over all forces that bind, with the result that everything would be torn apart. Your body is held intact by the electromagnetic force, binding together your atomic and molecular constituents, and also by the strong nuclear force, binding together the protons and neutrons inside of your body's atomic nuclei. Because these forces are far stronger than today's outward push of expanding space, your body holds firm. If you are widening, it is not because space is expanding. But if the strength of the repulsive push grows ever larger, the space inside your body will ultimately expand with such a powerful outward thrust that it will overcome the electromagnetic and nuclear forces holding you together. You will swell and ultimately burst to pieces, as will everything else.
+
+  The details depend on the rate at which repulsive gravity increases, but in one representative example worked out by physicists Robert Caldwell, Marc Kamionkowski, and Nevin Weinberg, about twenty billion years from now repulsive gravity will drive apart clusters of galaxies, about a billion years later the stars constituting the Milky Way will be flung apart like sparkles in a fireworks display, about sixty million years after that earth and the other planets in the solar system will be thrust away from the sun, a few months later the repulsive gravitational force between molecules will cause stars and planets to explode, and with the passage of just thirty minutes more the repulsion between particles constituting individual atoms will have grown so strong that even they will be blasted apart.15 The final state of the universe depends on the currently unknown quantum nature of space and time. In loose terms that for now lack mathematical rigor, it is possible that repulsive gravity will shred the very fabric of spacetime itself. Reality started with a bang, and sometime before we reach the eleventh floor, one hundred billion years since the big bang, it may end with a rip.
+  While current observations allow for a dark energy that grows stronger, I, and many other physicists, consider this an unlikely possibility. When studying the equations, I'm left with a feeling that yes, the math works, barely, but no, the equations are not natural or convincing. It is a judgment based on decades of experience, not a mathematical proof, so surely it could be wrong. Still, it provides more than enough motivation for being optimistic and assuming that the big rip will not render the subsequent floors of the Empire State Building irrelevant. With that, we continue our journey up the timeline.
+  We don't need to climb far before we encounter the next pivotal event.
+ 
+The Cliffs of Space
+If the strength of the repulsive gravitational force does not increase, but remains constant, we can all breathe easy; being blasted apart by expanding space will no longer be a concern. But because repulsive gravity will continue to drive distant galaxies to race away ever more quickly, it will still have a profound long-term consequence: in about a trillion years the recessional speed of the distant galaxies will reach and then exceed the speed of light-seeming to violate the most famous rule in Einstein's universe. Closer scrutiny makes clear that, in actuality, the rule holds firm: Einstein's dictum that nothing can exceed the speed of light solely refers to the speed of objects moving through space. Galaxies hardly move through space at all. They're not endowed with rocket engines. Much as specks of white paint stuck to a black swatch of spandex move apart when the spandex stretches, galaxies are, for the most part, stuck to the fabric of space and move apart because space swells. The more distant one galaxy is from another, the more intervening space there is between them to swell, and so the faster the galaxies will separate. Einstein's law imposes no limit on the speed of such recession.
+  Despite that, light's speed limit remains immensely significant. The light each galaxy emits does travel through space. And much as a kayaker will be stymied if she's paddling upstream at a speed that's less than that of the stream itself, the light emitted by a galaxy that is sprinting away at superluminal speed will fight a losing battle as it tries to reach us. Traversing space at light speed, the light cannot overcome the faster-than-light-speed increase in the distance to earth. As a result, when future astronomers look past nearby stars and focus their telescopes on the deepest parts of the night sky, all they will see is velvety black darkness. The distant galaxies will have slipped beyond the bounds of what astronomers call our cosmic horizon. It will be as if the distant galaxies have dropped off a cliff at the edge of space.
+  I've focused on distant galaxies because those that are relatively nearby, a cluster of about thirty galaxies known as the Local Group, will continue to be our cosmic companions. Indeed, by the eleventh floor, the Local Group, dominated by the Milky Way and Andromeda galaxies, will likely have merged, an anticipated future union astronomers have christened Milkomeda (I would have lobbied for Andromilky). The stars of Milkomeda will all be close enough for their mutual gravitational pulls to withstand the expansion of space and keep the stellar collection intact. But our severed contact with the more distant galaxies will be a profound loss. It was through careful observations of distant galaxies that Edwin Hubble first realized that space is expanding, a discovery confirmed and refined by a century of subsequent observations. Without access to the distant galaxies, we will lose a primary diagnostic tool for tracing spatial expansion. The very data that guided us toward our understanding of the big bang and cosmic evolution will no longer be available.
+
+  Astronomer Avi Loeb has suggested that high-velocity stars that will continually escape the Milkomeda conglomerate and drift off into deep space might provide a substitute for distant galaxies, like tossing popcorn off a raft to trace the downstream currents. But Loeb, too, acknowledges that the relentless accelerated expansion will have a devastating impact on the ability of future astronomers to carry out precise cosmological measurements.16 As a case in point, by the twelfth floor, about a trillion years after the bang, the all-important cosmic microwave background radiation, which guided our cosmological explorations in chapter 3, will have been so stretched and diluted by cosmic expansion (so redshifted, in technical jargon) that it will likely be impossible to detect.
+  It makes you wonder: assuming that the data we've gathered, establishing that the universe is expanding, were to somehow be preserved and delivered to the hands of astronomers a trillion years from now, would they believe it? Using their state-of-the-art equipment, a trillion years in the making, they will see a universe that on the largest of distances is black, about as eternal and unchanging as it gets. You can well imagine that they'd wave aside quaint results handed down from an ancient and primitive era-ours-and instead accept the erroneous conclusion that, overall, the universe is static.
+  Even in a world subject to a relentless rise in entropy, we have grown accustomed to measurements always improving, data sets always growing, understanding always refining. The accelerated expansion of space can subvert these expectations. Accelerated expansion can cause essential information to race away so quickly that it becomes inaccessible. Deep truths may silently beckon to our descendants from just beyond the horizon.
+ 
+The Twilight of Stars
+The first stars began to form on the eighth floor, roughly one hundred million years after the big bang, and will continue to form so long as the raw materials for making new stars remain. How long will that be? Well, the list of ingredients is short: all you need is a large enough cloud of hydrogen gas. As we've seen, gravity takes it from there, slowly squeezing the cloud, heating up its core, and igniting nuclear fusion. If you know the amount of gas the galaxy contains, and you know the rate at which such star formation depletes the gas reserves, you can estimate the duration over which star formation will continue. There are subtleties that make the accounting more complex (the rate of star formation in a galaxy can change over time; as stars burn, they return part of their gaseous composition to the galaxy, bulking up the reserves), but with refined calculations researchers have concluded that by the fourteenth floor, about one hundred trillion years in the future, star formation in the vast majority of galaxies will draw to a close.
+  Continuing the climb upward from the fourteenth floor, there is something else we will notice too. Stars will be fading away. The more massive a star, the more its heft crushes its core and the hotter its central temperature. In turn, the hotter temperature spurs a more rapid rate of nuclear fusion and thus a more rapid burn-down of the star's nuclear reserves. While the sun will burn brightly for about ten billion years, stars that are much heavier will have exhausted their nuclear fuel well before that time. By contrast, flyweight stars, down to roughly a tenth of the sun's mass, burn more gently and so live far longer. Astronomers use the catchall name red dwarf to label an assortment of such low-mass stars, and according to observations they likely account for the majority of stars in the universe. Their relatively low temperatures and slow, methodical burning of hydrogen (churning currents within a red dwarf ensure that almost all of the star's storehouse of hydrogen is burned in the core) allow red dwarfs to continue shining for many trillions of years, thousands of times the sun's lifetime. But by the fourteenth floor, even a late-blooming red dwarf star will be running on fumes.
+
+  And so, as we ascend from floor 14, galaxies will resemble the burnt-out cities of a dystopian future. The once-vibrant night sky full of brilliant stars will now be populated with charred cinders. Still, because the gravitational pull of a star depends only on its mass, not on whether it is shining bright or smoldering dark, those stars that host planets will mostly continue to do so.
+  For one more floor.
+The Twilight of Astronomical Order
+Looking up at a clear night sky gives the impression that the galaxy is dense with stars. It's not. Although it seems like stars are arranged cheek by jowl on a sphere that surrounds us, because their distances from earth vary widely-a feature that's mostly lost on our feeble, closely set eyes-stars are, in reality, quite far from one another. Were you to shrink the sun down to the size of a grain of sugar and place it at the Empire State Building, you'd have to drive most of the way to Greenwich, Connecticut, to encounter Proxima Centauri, our nearest stellar neighbor. And you wouldn't need to drive swiftly to ensure that Proxima would still be hanging around Greenwich by the time you got there. At this scale, typical stellar speeds clock in at less than a millimeter per hour. Like a game of tag played by widely dispersed slugs, only rarely will stars collide or even have a near miss.
+  That conclusion, however, is based on familiar durations-years, centuries, millennia-and so must be reconsidered in light of the far-longer timescales we are now considering. By the fifteenth floor, we are a million billion years since the bang. And over that duration there is actually a significant chance that today's distant and slow-moving stars will have had numerous close calls. In such an encounter, what will happen?
+
+  Let's focus on earth and imagine that another star wanders by. Depending on the interloper's mass and trajectory, its gravitational pull may only mildly perturb earth's motion. A lightweight intruder that keeps a good distance won't wreak havoc. But the gravitational pull of a more massive star that passes closer could easily rip earth from its orbit, sending it hurtling across the solar system and headlong into deep space. And what's true for earth is true for most other planets orbiting most other stars in most other galaxies. As we climb up the timeline, more and more planets will be flung into space by the disruptive gravitational pull of wayward stars. Indeed, although extremely unlikely, the earth could suffer this fate before the sun burns out.
+  Were this to happen, earth's ever-larger distance from the sun would cause its temperature to fall continually. Upper layers of the world's oceans would freeze, as would whatever else is left on the surface. Atmospheric gases, predominantly nitrogen and oxygen, would liquefy and drip from the skies. Could life survive? On earth's surface, that would be a tall order. But as we have seen, life thrives and indeed may have originated in dark thermal vents dotting the ocean floor. Sunlight can't penetrate anywhere near such depths, and so the vents will hardly be affected by the sun's absence. Instead, a substantial part of the energy powering the vents comes from diffuse but continual nuclear reactions.17 Earth's interior contains a storehouse of radioactive elements (mostly thorium, uranium, and potassium), and as these unstable atoms decay they emit a stream of energetic particles that heat the surroundings. So whether or not earth enjoys the warmth generated by nuclear fusion in the sun, it will continue to enjoy the warmth generated by nuclear fission in its interior. Were earth to be ejected from the solar system, it is possible that life on the ocean floor would carry on for billions of years as if nothing had happened.18
+  Such stellar bumper cars will not only disrupt solar systems, but over yet longer durations will also disrupt galaxies. In near misses between meandering stars or, rarer still, head-on collisions, the speed of the heavier star tends to decrease while that of the lighter tends to increase. (Balance a ping-pong ball on a basketball and, as the stack drops to the ground and rebounds, you'll witness the collision imparting an impressive increase in speed to the ping-pong ball.)19 In any single encounter, such exchanges will typically be modest, but over vast durations their cumulative effect can add up to significant changes in stellar velocities. The result will be a steady inventory of stars that will be kicked to speeds so high that they escape their host galaxy. Detailed calculations reveal that as we pass the nineteenth floor and continue toward the twentieth, typical galaxies will be depleted by this process. Their stars, mostly incinerated remains, will be ejected and left to drift aimlessly through space.20
+
+  The ubiquitous astronomical order manifested in solar systems and galaxies will have dissolved; these structures, now pervasive, will have become patterns that the universe has retired.
+Gravitational Waves and the Final Sweep
+If earth is fortunate and sidesteps the swelling sun on floor 11, and if it escapes being ejected by the disruptive visit of stellar neighbors, its final fate will be determined by an utterly beautiful feature of the general theory of relativity, gravitational waves.
+  In explaining general relativity's central but abstract idea of curved spacetime, physicists often invoke a familiar metaphor: we picture planets orbiting a star as if they are marbles rolling on a taut rubber sheet deformed by a bowling ball placed at the center. But the metaphor raises a question. Why don't the planets spiral toward the star and fall in? After all, the analogous fate surely befalls the marbles.21 The answer is that rolling marbles spiral inward because they lose energy through friction. Indeed, even without any fancy equipment you can detect evidence of this: some of the lost energy makes it to your ears, allowing you to hear the marbles rolling on the rubber sheet. Orbiting planets maintain their motion because there is virtually no friction in empty space.
+  Even though friction is not a factor, a planet does lose a small amount of energy on every orbit. When astronomical bodies move, they disturb the fabric of space, generating ripples that propagate outward similar to those that would ripple on the rubber sheet were you to tap it persistently. Such ripples in the fabric of space are the gravitational waves Einstein predicted in papers he published in 1916 and 1918. In the decades that followed, Einstein had mixed feelings about gravitational waves, viewing them, at best, as a mere theoretical possibility that would never be observed and, at worst, as a flat-out misinterpretation of the equations. The mathematics of general relativity is so subtle that even Einstein was sometimes perplexed. It took many people many years to develop systematic methods to overcome thorny issues that would otherwise confuse attempts to link general relativity's mathematical expressions with measurable features of the world. By the 1960s, with such methods firmly in place, physicists gained confidence that gravitational waves were an unassailable consequence of the theory. Even so, no one had any experimental or observational evidence that gravitational waves were real.
+
+  About a decade and a half later, that changed. In 1974, Russell Hulse and Joe Taylor discovered the first known binary neutron-star system-a pair of neutron stars locked in a rapid orbit.22 Subsequent observations established that over time the neutron stars were spiraling closer, evidence that the binary system was losing energy. But where was the energy going?23 Taylor, and his collaborators Lee Fowler and Peter McCulloch, announced that the measured loss in orbital energy was in remarkable agreement with general relativity's prediction for the energy the orbiting neutron stars should be pumping into gravitational waves.24 Although the gravitational waves produced were too feeble to be detected, these works established, albeit indirectly, that gravitational waves were real.
+  Three decades and a billion dollars later, the Laser Interferometer Gravitational-Wave Observatory went further, establishing the first direct detection of ripples in the fabric of space. Early in the morning on September 14, 2015, two enormous detectors, one in Louisiana and the other in Washington State, both heroically shielded from any possible disturbance save a gravitational wave, twitched. And in precisely the same way. Researchers had been preparing for this moment for nearly half a century but had finished calibrating the newly upgraded detectors barely two days earlier. The nearly immediate detection of a signal was both a surprise and a concern. Was it real? Was it the discovery of a lifetime or the handiwork of a prankster-or worse, had someone hacked the system and injected a fake signal?
+
+  After months of meticulous analysis, checking and rechecking details of the purported gravitational disturbance, the researchers announced that a gravitational wave had indeed rolled by earth. What's more, by precisely analyzing the twitch and comparing it with the results of supercomputer simulations of the gravitational waves that should be produced by various astronomical events, the researchers reverse-engineered the signal to determine the source. They concluded that 1.3 billion years ago, a time when multicellular life was just starting to coalesce on planet earth, two distant black holes were orbiting each other ever more closely and ever more quickly, closing in on the speed of light, until in a final orbital frenzy they smashed together. The collision generated a tidal wave in space, a gravitational tsunami so enormous that its power exceeded that produced by every star in every galaxy in the observable universe. The wave raced outward at the speed of light, in all directions, and so part headed toward earth, diluting in power as it spread ever more widely. About one hundred thousand years ago, as humans were migrating from the African savanna, the wave rippled through the dark matter halo surrounding the Milky Way galaxy as it continued its relentless sprint. About one hundred years ago, the wave raced past the Hyades star cluster and as it did, one member of our species, Albert Einstein, began to think about gravitational waves and wrote the first papers on the possibility. About fifty years later, as the wave dashed onward, other researchers boldly proposed that such waves might be detected and began designing and planning a device that might do so. And when the wave was but two light-days from earth, the newly upgraded version of the most advanced of these detectors was readied for operation. Two days later those two detectors shook for two hundred milliseconds, collecting data that allowed scientists to reconstruct the story I just recounted. For this achievement, team leaders Ray Weiss, Barry Barish, and Kip Thorne were awarded the 2017 Nobel Prize.
+  These discoveries, thrilling in their own right, are relevant here because it is on the twenty-third floor that the earth (again, assuming earth is still in orbit), having lost energy through a version of the same process-the slow but relentless production of gravitational waves-will spiral into the long-dead sun. For other planets, the story is similar, although the timescales can differ. Smaller planets more gently disturb the fabric and so have longer death spirals, as do planets whose orbits are farther from their host star. Taking earth as representative of planets that may stubbornly persist in orbit, we conclude that by the twenty-third floor such planets, resigned to their fate, will dive in for a final violent communion with their cold sun.
+
+  During their final stages, galaxies will follow an analogous sequence. At the center of most galaxies is an enormous black hole, millions or even billions of times the mass of the sun. As we climb upward from the twenty-third floor, the only stars remaining in galaxies will be burnt-out embers that, having avoided ejection, will slowly orbit the galaxy's central black hole. And much as planets slowly spiral inward as their orbital energy is funneled into gravitational waves, so too for stars around a galactic black hole. By estimating the rate of such energy transfer, researchers have concluded that by the twenty-fourth floor most stellar remains will have been consumed, falling into their galaxy's dark central abyss.25 Should a galaxy have stragglers, burnt-out stars that are small and distant, the central black hole will offer additional assistance, relentlessly pulling on the stars, coaxing them to drift ever closer to their final demise. Taking account of both influences, central black holes will sweep most galaxies clean of stars by the thirtieth floor, 1030 years since the big bang, if not sooner.
+  By this era, a tour through the cosmos will not exactly be a riotous affair. Punctuated here and there by cold planets, burnt-out stars, and monstrous black holes, space will be dark and desolate.
+The Fate of Complex Matter
+In the midst of the extreme environmental transformations we've encountered, can life persist? It is a challenging question in no small part because, as emphasized at the outset of this chapter, we have no idea what life of the far future will be like. One seemingly certain characteristic is that life of any sort will need to harness suitable energy to power its life-sustaining functions-metabolic, reproductive, whatever. As stars burn down, are ejected into deep space, or spiral into omnivorous black holes, that task will become increasingly difficult. There are creative ideas, like harnessing particles of dark matter that we believe waft across space, which can produce energy as pairs collide and transform into photons.26 But here's the thing: even if some form of life is able to tap a novel source of useful energy, as we continue our climb another challenge, more significant than all others, will likely emerge.
+
+  Matter itself may disintegrate.
+  At the heart of all atoms, making up all molecules, and assembled into all complex material structures from life to stars, are protons. Were protons to have a penchant for disintegrating into a spray of lighter particles (such as electrons and photons), matter would fall apart and the universe would change radically.27 Our existence attests to the stability of protons, at least over timescales on par with the duration back to the big bang. But what about over the far-longer timescales we are now considering? For nearly half a century physicists have encountered intriguing mathematical hints that over such immense durations protons can, in fact, decay.
+  Back in the 1970s, physicists Howard Georgi and Sheldon Glashow developed the first grand unified theory, a mathematical framework that, on paper, links together the three nongravitational forces.28 Although the strong, weak, and electromagnetic forces have vastly different properties when examined in laboratory experiments, in Georgi and Glashow's scheme these distinctions steadily diminish as the three forces are examined over smaller and smaller distances. Grand unification thus proposes that these three forces are actually different facets of a single master force, a unity in nature's workings that reveals itself only over the tiniest of scales.
+  Georgi and Glashow realized that with grand unification's proposed connections between forces come newfound connections between particles of matter. And such connections allow for a host of new particle transmutations, including some that would result in the decay of protons. Thankfully, the process would be slow. Their calculations showed that were you to hold a bunch of protons in the palm of your hand and wait until half disintegrate, you would have to hold them for about a thousand billion billion billion years, long enough to climb to the Empire State Building's thirtieth floor. It's a curious prediction, one that might appear to lie beyond verification. Who would have the patience to test it?
+
+  The answer emerges from a simple but clever move. Just as the odds of there being a winner in this week's lottery will be next to nothing if the state manages to sell only a handful of tickets but will vastly increase if ticket sales soar, the odds of witnessing a proton decay in a small sample is next to nothing but will vastly increase if the sample size is enlarged.29 So fill an enormous vat with millions of gallons of purified water (every gallon provides about 1026 protons), surround the sample with exquisitely sensitive detectors, and stare intently, day and night, looking for the telltale sign of the decay products of a proton (which, according to the Georgi-Glashow proposal, is a particle known as a pion, together with an anti-electron).
+  Seeking the particulate detritus of a single decaying proton swimming in a sea of companions so numerous that their population far exceeds the grains of sand making up all beaches and all deserts on the planet might seem like a chase that would bring paroxysms of delight to wild geese everywhere. But the fact is, brilliant teams of experimental physicists have demonstrated conclusively that if a proton in the tank were to disintegrate, their detectors would sound the alarm.
+  I was one of Georgi's students in the mid-1980s when his unified theory was being put to the test. I was an undergraduate, studying more basic material, so didn't fully understand what was going on. But I could feel the anticipation. The unity of nature, a dream that had so driven Einstein, was about to be revealed. Then a year went by without evidence of a single proton decaying. Followed by another year. And another. The failure to observe any disintegrating protons allowed the researchers to set a lower bound on the proton's lifetime, which currently stands at about 1034 years.
+  Georgi and Glashow's proposal is magnificent. Sidelining the puzzles of quantum gravity for another day, their theory embraces the remaining three forces of nature as well as all particles of matter through a sleek, rigorous, and artful melding of mathematics and physics. It is an intellectual masterwork. And yet, in the face of their proposal, nature shrugged. Much later, I spoke with Georgi about the experience. He described the disappointing experiments as "being slapped down by nature," an experience, he added, that turned him against the whole program of unification.30
+
+  But the unification program continued. And continues. And a common feature of just about every approach that's been pursued-Kaluza-Klein theories, supersymmetry, supergravity, superstrings, as well as more straightforward extensions of Georgi and Glashow's own grand unification (all of which you can read about in The Elegant Universe)-is that protons are predicted to decay. Proposals in which the rate of such decay is close to that of Georgi and Glashow's original scheme are immediately ruled out. But many proposed unified theories predict slower rates for proton decay that are compatible with the most refined experimental limits. Typical numbers range from 1034 years to 1037 years, with some predictions being longer still.
+  The point is that as we have continued developing our mathematical understanding of the cosmos, proton decay has reared its head at almost every turn. It is not impossible to rig our equations to avoid proton decay, but accomplishing that often requires contorted mathematical manipulations that run counter to the theoretical accounts that past successes have proven relevant to reality. Because of this, many theorists anticipate that protons do in fact decay. This might be wrong, and in the endnotes I briefly consider the alternative.31 But here, to be definite, I will take the proton lifetime to be about 1038 years.
+  The implication is that as we climb upward from the thirty-eighth floor, every atom that has combined into every molecule that has assembled into every structure that has ever appeared in the cosmos-rocks, water, rabbits, trees, you, me, planets, moons, stars, and so on-will disintegrate. It all falls apart. The universe will be left with isolated particulate constituents, mostly electrons, positrons, neutrinos, and photons, streaming through a cosmos that is punctuated here and there by quiescent if ravenous black holes.
+  On lower floors, life's dominant challenge is to harness suitable high-quality, low-entropy energy to power the processes of animate matter. The challenge from floor 38 upward is more basic. With the dissolution of atoms and molecules, the very scaffolding of life and most structure in the cosmos will have crumbled. So if life has made it this far, will it now hit the final wall? Perhaps. But, perhaps too, over the timescales we're considering-more than a billion billion billion times the current age of the universe-life will have evolved into a form that has long discarded any need for the biological architecture it currently requires. Perhaps the very categories of life and mind will be rendered coarse and clumsy by future incarnations that require new characterizations altogether.
+
+  Underlying such speculation is the assumption that life and mind are not dependent on any particular physical substrate, such as cells, bodies, and brains, but are instead collections of integrated processes. Biology has so far monopolized life's activities, but that may only reflect the vagaries of evolution by natural selection on planet earth. If some other arrangement of basic particles should faithfully execute the processes of life and mind, then that system will live and that system will think.
+  Our approach here is to adopt the broadest perspective and consider the possibility that even in the absence of complex atoms and molecules, some kind of thinking mind can exist. And so we ask: With our only constraint, thoroughly inflexible, being that the process of thought fully conforms to the laws of physics, can thought persist indefinitely?
+The Future of Thought
+To assess the future of thought may seem a classic act of hubris. Through personal experience we each know what it's like to think, but as was clear in chapter 5, the rigorous science of mind is at an early stage. For the science of motion, we progressed from Newton's laws to the radically distinct ones of Schrödinger in less than three centuries, so how can we hope to say anything relevant to the future of thought over timescales for which a billion centuries barely registers?
+  The question evokes one of our central themes. The universe can and must be understood from a broad range of distinct perspectives. The resulting explanations, each relevant for particular kinds of questions, must ultimately be synthesized into a coherent narrative, but you can make progress on some of these stories even with limited knowledge of many others. Newton did not have the slightest inkling about quantum physics, yet he successfully constructed an understanding of the kind of motion we encounter on everyday scales. When quantum physics came along, Newton's edifice was not dismantled. It was renovated. Quantum mechanics provided a new foundation that deepened the reach of science and gave the Newtonian structure a fresh interpretation.
+
+  It is possible that today's mathematical musings on the future of mind will prove irrelevant. After all, unless you're particularly well versed in the history of physics and philosophy, you've probably never heard of Aristotle's entelechial description of motion or Empedocles's fire-in-the-eye theory of vision. As we humans explore, we most certainly get some things-well, many things-flat-out wrong. But as with Newtonian physics, there's also a chance that such musings on mind will one day be considered part of a more sweeping chronicle. It is with this sense of optimism, rational and tempered, that we consider the far future of thought.
+  In 1979, Freeman Dyson wrote a visionary paper on the far future of life and mind.32 We will closely follow his lead, incorporating updates based on more recent theoretical advances and astronomical observations. Dyson's approach, much like ours throughout these pages, takes a physicalist view of mind, deeming the act of thinking to be a physical process fully subject to physical law. And since we have a reasonably good handle on how the overall features of the universe will evolve toward the far future, we can investigate whether there will continue to be environments hospitable to thought.
+  Let's start by thinking about your brain. Among its other qualities, your brain is hot. It continually takes in energy, which you supply by eating and drinking and breathing; it undertakes a host of physiochemical processes that modify its detailed configuration (chemical reactions, molecular rearrangements, particle movements, and so on); and it releases waste heat to the environment. As your brain thinks (and does everything else brains do), it thus recapitulates a sequence we first encountered in chapter 2 when analyzing steam engines. Much as in that template, the heat your brain releases to the environment carries away entropy that it absorbs as well as generates through its internal workings.
+
+  If, for whatever reason, a steam engine is unable to eliminate its entropic buildup, sooner or later it will redline and fail. A similar fate will befall a brain that, for whatever reason, cannot clear away the entropic waste that its functioning continually produces. And a brain that fails is a brain that no longer thinks. Therein lies the potential challenge to the durability of brain-based thought. As the universe progresses ever further into the future, will brains maintain the capacity to jettison the waste heat they produce?
+  No one expects human brains to be a steady presence as we climb from today to ever-higher floors. And, certainly, by the time we've climbed high enough for atoms to start disintegrating into more basic particles, complex molecular agglomerations of any sort will become ever more rare. But the diagnostic requirement of being able to expel waste heat is so fundamental that it applies to any configuration of any kind that undertakes the process of thought. So the essential question is whether any such entity-let's call it the Thinker-regardless of how it is designed or constructed, can expel the heat that its thinking necessarily generates. If the Thinker fails to do so, it will overheat and burn up in its own entropic waste. And should the constraints imposed by physical law in an expanding universe dictate that every Thinker everywhere, sooner or later, is destined to fail in this indispensable task of entropy disposal, the future of thought itself will be imperiled.
+  To assess the future of thought, we thus need to understand the physics of thought. How much energy does the Thinker's thought require and how much entropy does the process of thinking generate? At what rate does the Thinker need to expel waste heat and at what rate can the universe absorb it?
+Thinking Slow
+Earlier, in chapter 2, I emphasized that entropy counts the number of rearrangements of a physical system's microscopic constituents-its particles-that "pretty much look the same." In analyzing the Thinker, there's a particularly useful way to restate this. If a system has low entropy, then the configuration of its particles is one among relatively few possibilities that all look the same-one among relatively few doppelgängers. Consequently, if I tell you which configuration among these possibilities the system actually realizes, I will have provided you with only a small amount of information. Like specifying one particular can of Campbell's tomato soup on a meagerly stocked grocery store shelf, I will have distinguished this particular configuration of particles from only a small number of possibilities. If a system has high entropy, then the configuration of its particles is one among a great many possibilities that all look the same-one among a great many doppelgängers. Consequently, if I tell you which configuration among these possibilities the system actually realizes, I will have provided you with heaps of information. Like specifying that can of tomato soup on a ridiculously overstocked grocery store's shelf, I will have distinguished this particular configuration of particles from an enormous number of possibilities. So for a system with low entropy, its particle configuration has low-information content; for a system with high entropy, its particle configuration has high-information content.
+
+  The link between entropy and information is important because regardless of where thinking takes places-within a human brain or within the abstract Thinker-to think is to process information. The information-entropy connection therefore tells us that information processing, the function of thought, can also be described as entropy processing. And since, as you may recall from chapter 2, the processing of entropy-shifting entropy from here to there-requires the transfer of heat, we have a comingling of three concepts: thought, entropy, and heat. Dyson leveraged the mathematical version of the links between each to quantify the heat that the Thinker needs to expel based on the number of thoughts the Thinker has. (For the mathematically inclined, the formula is in the endnotes.)33 Many thoughts implies that a lot of heat needs to be expelled. Fewer thoughts implies that less heat needs to be expelled.
+  Now, to power its thinking, the Thinker must extract energy from its surroundings. And because heat is itself a form of energy, the amount of energy the Thinker takes in must be at least as large as the amount of heat the Thinker needs to expel. The input energy has higher quality (so it can be readily harnessed by the Thinker) than the output heat (which is waste and will thus be dispersed), but the Thinker can't release more than it absorbs. So Dyson's calculation specifies the minimum high-quality energy the Thinker needs to absorb from the environment, thereby quantifying the challenge: as stars burn out, solar systems unravel, galaxies disperse, matter disintegrates, and the universe expands and cools, the Thinker will face the increasingly difficult task of gathering the concentrated, high-quality, low-entropy energy it needs to continue cogitating. With provisions becoming scarce, the Thinker needs an effective strategy of resource management and waste disposal-a detailed plan, that is, for taking in low-entropy energy and flushing out high-entropy heat. Following Dyson, let's come up with one.
+
+  As a first step, let's make the reasonable assumption that the speed of the Thinker's internal processes, whatever they may be, scale with the Thinker's temperature.34 At higher temperatures, particles move more speedily, and so the Thinker thinks more swiftly, consumes energy more rapidly, and builds up waste more quickly. At lower temperatures, all of this slows. Faced with a universe that's expanding, cooling, and winding down, the Thinker, who aspires to continue thinking for as long as possible, needs to place a premium on conservation, executing a long, slow burn instead of a quick, intense flash. We therefore advise the Thinker to follow the universe's lead: as time goes by, the Thinker should continually lower its temperature, slow down its thinking, and decrease the rate at which it consumes the universe's diminishing supply of quality energy.
+  Since thinking is all the Thinker does, the prospect of thinking slower is not particularly appealing. We console the Thinker. "You're thinking about this all wrong," we tell the Thinker. "Since all your internal processes will slow down together, your subjective experience won't change at all. You won't notice any alteration to your thinking. You might see various processes in the environment seeming to run more quickly, but your thoughts will seem to proceed with their usual alacrity." Relieved, the Thinker agrees to follow the strategy but voices one final concern. "If I follow this approach, will I be able to think new thoughts forever?"
+
+  This is the central question, and so we anticipated that the Thinker would ask it. And we're ready. The math reveals that much like a car whose mile-per-gallon consumption gets ever better the slower it drives, the Thinker's thought-per-energy consumption gets ever better the slower it thinks. That is, the Thinker's thinking becomes ever more efficient at ever lower temperatures. For this reason, the Thinker can actually think an infinite number of thoughts and yet only require a finite supply of energy (much as an infinite sum such as 1 + 1/2 + 1/4 +...can add up to a finite number, in this case 2). We excitedly inform the Thinker of the result: "By following the plan, not only will you be able to keep on thinking forever, you will be able to do so with only a finite supply of energy!"35
+  Rejoicing, the happy Thinker is about to put the plan into action. But then we hit an unexpected snag. There is one other pesky implication of the math we have so far overlooked: somewhat as a cooler cup of coffee expels less heat to its surroundings than a hotter one, the cooler the Thinker becomes, the less able it is to release the waste heat its thinking generates. "You know very little about me," the Thinker reminds us, "so perhaps discretion is called for before spreading rumors that I have problems expelling waste." Point taken. But that, really, is the beauty of the calculation. The reasoning merely assumes that the Thinker is subject to the known laws of physics and is composed of elementary particles like electrons. The analysis is thus completely general. We do not need to know anything about the Thinker's detailed physiology or construction to conclude that as the Thinker's temperature decreases, the rate at which it can expel entropy will drop below the rate at which it produces entropy. With that realization, we have no choice but to break the news. "Although thinking at ever lower temperatures is essential for prolonging thought as well as for needing only a finite supply of energy, there will come a point when your entropy will build up more quickly than you can expel it. And from there on, if you try to think further, you will burn up in your own thoughts."36
+
+  Before the crestfallen Thinker can fully think this through, a member of our crack team proposes a way forward: hibernation. The Thinker needs periodically to give thinking a rest-turn off its mind and go to sleep-pausing entropy production while continuing to clear out all of its waste heat. If the break from thinking is long enough, then when the Thinker awakes it will have expelled all waste and so will no longer face the danger of burning up. And since the Thinker won't be thinking during the downtime, when it awakes it won't even notice the hiatus. Emboldened by the solution, one originally proposed by Dyson in his groundbreaking paper, we assure the Thinker that with this rhythm thought can continue forever.
+  But can it?
+A Final Thought on Thought
+Two developments in the decades since Dyson's paper are particularly relevant to the strategy. One clarifies the link between the act of thinking and the production of entropy, which leads to a modest reinterpretation of the result. The other brings to bear the accelerated expansion of space, which has the potential to undermine the conclusion entirely, placing thought squarely in the entropic cross hairs.
+  First, the reinterpretation. The core of Dyson's reasoning is that the act of thinking necessarily produces heat. I made this plausible by recalling that thought is linked to information, information is linked to entropy, and entropy is linked to heat. But the links are subtle, and more recent insights, largely coming from computer science, show that there are clever ways of carrying out elementary information processing-like adding one and one and getting two-without any degradation in energy.37 With the assumption that thought and computation are cut from the same cloth, a Thinker invoking such a strategy would not generate any waste at all.
+  Nonetheless, related considerations from computer science show that a version of the thought-entropy-heat connection that drove our initial analysis does remain intact, it just has a slightly different flavor. The results show that if a computer erases any of its memory banks, waste heat is necessarily produced. (Recall that waste heat is generally produced by processes that are difficult to reverse, like shattering a glass; erasing data makes it difficult to reverse a computation and so it is not particularly surprising that erasures produce heat.)38 Taking this into account, our advice to the Thinker needs only gentle modification. The Thinker can think without the need to purge heat so long as the Thinker never erases a memory. But assuming the Thinker is of finite extent, it will have a finite memory capacity that will sooner or later fill to its limit. Once it does, all the Thinker can do internally is reshuffle the fixed information it has in memory, endlessly ruminating on old thoughts-not a version of immortality many of us would choose. If the Thinker wants the creative capacity to think new thoughts, to lay down new memories, to explore new intellectual terrain, then it will have to allow for erasures, thereby producing heat and taking us right back to the situation discussed in the previous section and the hibernation strategy recommended there.
+
+  The second development is more pressing. The discovery that the expansion of space is accelerating raises a new and possibly insurmountable hurdle for endless thought.39 If, as the data currently suggest, the accelerated expansion continues unabated, then as we encountered on floor 12, distant galaxies will disappear as if they have fallen over a cliff at the edge of space. That is, we are surrounded by a distant spherical horizon marking the boundary of what, even in principle, we can see. Everything more distant than the boundary recedes from us at greater than light speed, and so any light emitted from such distances will never reach us. Physicists call the distant boundary our cosmological horizon.
+  You can picture the distant cosmological horizon as an enormous glowing sphere, much like a spherical array of distant heat lamps that generates a background temperature in space. I'll explain why this is in the next chapter (it is closely related to the physics of black holes, which also have glowing horizons, as discovered by Stephen Hawking), but here let me stress that the temperature from the glowing cosmological horizon is completely distinct from the 2.7 kelvin microwave background temperature left over from the big bang. Over time, the microwave background temperature will continue to cool, closing in on absolute zero as space continues to expand and the microwave radiation continues to dilute in intensity. The temperature arising from the cosmological horizon behaves differently. It's constant. It's tiny-based on the measured rate of accelerated expansion, it's about 10−30 kelvin-but it's enduring. And in the long run, endurance matters.
+
+  Heat only flows spontaneously from things that are hotter to those that are cooler. When the Thinker's temperature is higher than that of the universe, it has the opportunity to radiate its waste heat into space. But were the Thinker's temperature to decrease below that of space, heat would flow in the other direction-from space to the Thinker-thwarting the Thinker's need to flush out its waste heat. This implies that the hibernation strategy is destined to fail. As the Thinker continues to decrease its temperature (which, remember, is what allows it to continue thinking indefinitely on a finite energy budget), sooner or later it will reach the tiny value of 10−30 kelvin. At that point, game over. The universe won't accept its waste. One more thought (or, more precisely, one more erasure) and the Thinker fries.
+  The conclusion rests on the assumption that the accelerated expansion of space will persist unchanged. No one knows if this will prove to be the case. The acceleration might increase, propelling us toward a big rip, further diminishing the prospects for life and thought. Or it might decrease. That would obviate a cosmological horizon, turn off the distant heat lamps, and allow the temperature of the universe to decrease indefinitely. As physicists Will Kinney and Katie Freese showed, this cosmological possibility would reinstate Dyson's original optimism, allowing the Thinker, diligently following the hibernation schedule, to continue thinking indefinitely far into the future.40
+  Far be it from me to diminish a lone ray of hope for the future of thought, but it's useful to recap where things stand. Our entire chain of reasoning is forged in optimism. In a universe that may lack everything from stars and planets right down to molecules and atoms, we've assumed that the Thinker can exist. While stable elementary particles-like electrons, neutrinos, and photons-will be wafting about, it takes a rose-colored imagination for the mind's eye to picture gathering them up and producing a thinking structure. Yet, to be as broad-minded as possible, we've assumed that such an entity may be formed. And it is surely gratifying to learn that if the universe expands in the right way, there's at least a chance that such Thinkers can think indefinitely. All the same, it is hard to avoid the conclusion that the far future of thought is precarious.
+
+  Indeed, if the accelerated expansion does not slow, there will come a time when thought takes its final bow. Our understanding is too coarse to make a precise prediction, but putting rough numbers into the equations suggests this could happen within the next 1050 years. A big unknown, as we noted at the outset, is whether intelligent life will be able to intercede in the cosmic unfolding, perhaps affecting the evolution of stars and galaxies, mining unanticipated sources of high-quality energy, or even controlling the rate of spatial expansion. Because of the complexity of intelligence, it is impossible to weigh in with anything more than wild conjecture, which is why I've chosen to avoid such influences entirely. So, putting intelligent intervention to the side and diligently hewing to the second law of thermodynamics, we conclude that by the time we climb to the fiftieth floor, the universe may very well have hosted its final thought.
+  By most scales humans have contemplated, 1050 years is a spectacularly long span. It can accommodate the stretch from the big bang until today more than a billion billion billion billion times over. Yet when considered from the timescale of, say, the seventy-fifth floor, 1050 years is fleeting-it is much less, ridiculously less, than our experience of a time delay between turning on a table lamp and light reaching our eyes. And, of course, if the universe is eternal, any duration, however long, registers as infinitesimal. Narrated from the perspective of these longer scales, the cosmological accounting would go like this: a moment after the big bang, life arose, briefly contemplated its existence within an indifferent cosmos, and dissolved away. It is a cosmic recapitulation of Pozzo's lament as he rails against those awaiting Godot, "They give birth astride of a grave, the light gleams an instant, then it's night once more."
+  Some will deem this future bleak. Even with his more rudimentary mid-twentieth-century understanding, Bertrand Russell, whose assessment we encountered back in chapter 2, surely did. My view is different. To me, the future that science now envisions highlights how our moment of thought, our instant of light, is at once rare, wondrous, and precious.
+
+ 
+ 
+10
+THE TWILIGHT OF TIME
+Quanta, Probability, and Eternity
+Long after thought concludes, with no cogitating beings left to notice, the laws of physics will continue to do what they have always done-delineate the unfolding of reality. As they do, the laws will manifest an essential realization: quantum mechanics and eternity form a powerful union. Quantum mechanics is a particular sort of starry-eyed dreamer, allowing for a vast collection of possible futures while grounding its madcap vision by specifying the likelihood of any given outcome. Over familiar timescales we can safely ignore those outcomes whose quantum probabilities are so fantastically small that we would have to wait far longer than the current age of the universe to have a reasonable chance of encountering them. But over timescales so vast that by comparison the current age of the universe is evanescent, many possibilities we could previously brush aside now require due consideration. And if there truly is no end date for time, then any and all outcomes not strictly forbidden by the quantum laws-familiar to bizarre, likely to implausible-can rest assured that sooner or later they will be given their moment to shine.1
+  In this chapter, we will examine a handful of such rare cosmological processes, biding their time, waiting to be tapped on the shoulder and called upon to enter reality.
+ 
+The Disintegration of Black Holes
+In the middle of the twentieth century, with their decisive role in the final episodes of World War II, physicists enjoyed marked prominence. The dominant areas of research were nuclear and particle physics, investigations that in the words of Freeman Dyson had endowed physicists with the seemingly godlike powers to "release this energy that fuels the stars...to lift a million tons of rock into the sky."2 General relativity, by contrast, was widely viewed as a niche discipline that had already lived out its glory days. Physicist John Wheeler would change that. Wheeler's contributions to nuclear and quantum physics were numerous and influential, but he had an abiding affection for the general theory of relativity. He also had an uncanny knack for inspiring others with his enthusiasm. During the following decades, Wheeler would train some of the world's most masterful physicists, who would work with him to reinstate general relativity as a vibrant field of scientific research.
+  Black holes were a particular fascination for Wheeler. According to general relativity, once something falls inside a black hole it can't escape. It's gone. Permanently. Thinking this through in the early 1970s, Wheeler was led to a puzzle that he mentioned to his student Jacob Bekenstein. Black holes seemed to offer a ready-made strategy for violating the second law of thermodynamics. Take a hot cup of tea, Wheeler mused, and toss it into a nearby black hole. Where does the tea's entropy go? Since the inside of a black hole is permanently inaccessible to those on the outside, the hot tea, together with its entropy, seem to have disappeared. Wheeler worried that disposal of entropy into a black hole provided a reliable means for willfully breaching the second law.
+  After a few months, Bekenstein came back to Wheeler with a resolution. The tea's entropy is not gone, he declared. The entropy has simply been transferred to the black hole. Much as grabbing a hot sauté pan transfers some of the pan's entropy to your hand, Bekenstein suggested that anything falling into a black hole transfers its entropy to the black hole itself.
+  It is a natural response, one that had also occurred to Wheeler.3 However, it immediately slams into a problem. Entropy, as we have seen, counts the number of rearrangements of a system's constituents that leave it "pretty much looking the same." Or, more precisely, entropy counts the distinct configurations of a system's microscopic constituents that are compatible with its macroscopic state. If the tea transfers its entropy to the black hole, the entropy should show up as an increase in the number of internal rearrangements of the black hole that have no effect on the black hole's macroscopic features.
+
+  Here's the problem: In the late 1960s and early 1970s, physicists Werner Israel and Brandon Carter used the equations of general relativity to show that a black hole is fully determined by just three numbers: the black hole's mass, the black hole's angular momentum (how fast it is spinning), and the black hole's electrical charge.4 Once you have measured these macroscopic features, you have all the information necessary to fully describe the black hole. Which means that any two black holes with the same macroscopic features-the same mass, the same angular momentum, and the same electric charge-are identical, right down to the last detail. So unlike a collection of pennies in which specifying, say, thirty-eight heads and sixty-two tails allows for billions upon billions of different configurations of the coins, and unlike a container of steam in which specifying the volume, temperature, and pressure allows for a gargantuan number of distinct configurations of the molecules, when it comes to black holes, specifying the mass, angular momentum, and the electric charge rigidly points to one and only one configuration. With no other configurations to count, no look-alikes to enumerate, it would seem that black holes do not carry any entropy at all. Toss in a cup of tea and, apparently, its entropy will vanish. When faced with a black hole, the second law of thermodynamics seems to capitulate.
+  Bekenstein would have none of it. Black holes, he proclaimed, do have entropy. What's more, when something falls in, the black hole's entropy increases in just the right way to make the world safe for the second law. To grasp the gist of Bekenstein's reasoning, note first that when something falls into a black hole, its mass is not lost. Everyone who studied and understood general relativity agreed that anything falling in shows up as an increase in the mass of the black hole itself. To visualize the process, picture a black hole's event horizon, the spherical surface defining the black hole's boundary, marking locations beyond which there is no coming back. The math shows that the radius of the event horizon is proportional to the mass of the black hole: less mass entails a smaller horizon, more mass a larger horizon. When you throw something in, the black hole's mass increases, and so you should picture its horizon swelling outward in response. The black hole eats and its spherical waist widens.
+
+  Following the spirit of Bekenstein's approach,5 imagine now tossing in a particularly special probe, one carefully designed to examine how a black hole responds to entropy. To that end, we prepare a single photon whose wavelength is so long-whose possible locations are so spread out-that when it encounters the black hole, the most precise description we can give of the outcome is expressed by a single unit of information: either the photon fell into the black hole or it did not. By design, the photon's position is so nebulous that if it is captured by the black hole we cannot provide a more detailed description such as specifying that the photon entered the black hole through this or that spot on the horizon. Such a photon carries a single unit of entropy and so allows us to examine mathematically how the black hole responds when it eats a single entropy meal.
+  Since the photon has energy, and since energy and mass are two sides of the same Einsteinian coin (from E = mc2), if the black hole consumes the photon, its mass increases slightly and its event horizon expands slightly. But the payoff is in the particulars. Bekenstein noticed a crucial pattern: by tossing in one unit of entropy, the black hole's event horizon would expand by one unit of area (a so-called quantum unit of area or a Planck area, which is about 10−70 square meters).6 Toss in two units of entropy, and the surface area would grow by two units of area. And so on. The surface area of the black hole's event horizon thus seems to keep track of the entropy the black hole has ingested. Bekenstein elevated the pattern to a proposal: the total entropy of a black hole is given by the total area of its event horizon (measured in Planck units). This was the new idea Bekenstein delivered to Wheeler.
+  Bekenstein could not explain the surprising link between the entropy of a black hole and its outer surface, its event horizon; the link is unexpected because the entropy of an ordinary object, like the cup of tea, is contained in its interior, its volume. Nor could Bekenstein explain how his proposal related to the conventional framework in which entropy should enumerate the possible rearrangements of a black hole's microscopic ingredients (an issue that would lie mostly dormant until the mid-1990s, when string theory would provide insight). But as an accounting device, his proposal offered a quantitative way to rescue the second law of thermodynamics. The fix is immediate: when tracking total entropy, you need to tally not only the contributions of matter and radiation but also the contributions from black holes. Throwing your tea into a black hole reduces entropy at your breakfast table, but if you calculate the increase in the surface area of the black hole's event horizon, you'll realize that the entropic decrease you enjoy at home is offset by the entropic increase in the black hole itself. By providing an algorithm for including black holes in the entropy accounting, Bekenstein bucked up the second law, allowing it once again to walk with its head held high.
+
+  When Stephen Hawking heard about Bekenstein's proposal, he considered it ludicrous. Many other physicists had a similar take. Fully determined by just three numbers and consisting of mostly empty space (everything that falls into a black hole is drawn relentlessly toward its central singularity), black holes had acquired an aura of utter simplicity. The view, coarsely put, was that black holes cannot carry disorder because there is nothing within them to be disordered. Leading the charge against Bekenstein's proposal, Hawking launched his own calculations using a delicate comingling of the mathematical methods of general relativity and quantum mechanics, which he anticipated would quickly reveal a fallacy in Bekenstein's reasoning. Instead, the calculations led Hawking to a conclusion so shocking that it took him some time to believe it. Hawking's analysis not only confirmed Bekenstein's, but also revealed complementary surprises: black holes have a temperature and black holes glow. They radiate. Black holes are black in name only. Or, said more precisely, black holes are black only if you ignore quantum physics.
+  Briefly, here is the essence of Hawking's reasoning.
+  According to quantum mechanics, any tiny region of space will always harbor quantum activity. Even if the region appears empty, seemingly containing no energy at all, quantum theory shows that its energy content actually rapidly fluctuates up and down, yielding zero energy only on average. These are the same type of quantum fluctuations that gave rise to the temperature variations in the cosmic microwave background radiation that we encountered in chapter 3. Through E = mc2, such quantum energy fluctuations can also show up as quantum mass fluctuations-particles and their antiparticle partners popping into existence in otherwise empty space. This is happening right now in front of your eyes, yet however intently you stare you'll see no evidence of it. The reason is that quantum mechanics also dictates that such particle-antiparticle pairs quickly find each other, annihilate and fade back into empty space. We do detect indirect signatures of these ephemeral machinations because it is only when we include them in our calculations that we achieve the stunning agreement between predictions and measurements that has justifiably made quantum mechanics the centerpiece of fundamental physics.7
+
+  Hawking revisited these quantum processes but now imagined them taking place just outside the event horizon of a black hole. When a particle-antiparticle pair pops into this environment, sometimes the two particles will annihilate quickly, just as they would anywhere else. But, and this is the point, Hawking realized that on occasion they will not annihilate. Sometimes one member of the pair will get sucked into the black hole. The surviving particle, now bereft of a partner with which to annihilate (and tasked with conserving total momentum), turns tail and rushes outward. With this happening repeatedly in every tiny region of space all along the surface of the black hole's spherical horizon, the black hole will appear to radiate particles in all directions, what we now call Hawking radiation.
+  What's more, according to the calculations, each such particle that falls into the black hole has negative energy (perhaps not surprising, given that the partner particle escaping the hole has positive energy, and total energy must be conserved). As the black hole consumes these negative mass particles, it's as if it is eating negative calories, resulting in its mass going down, not up. Viewed from the outside, the black hole thus appears to steadily shrink as it radiates particles. Were it not that the source of the radiation is exotic-a black hole immersed in the quantum bath of fluctuating particles inherent in empty space-the process would appear thoroughly pedestrian, like a glowing chunk of charcoal radiating photons as it slowly wastes away.8
+
+  Just as a growing black hole, whether consuming hot tea or turbulent stars, fully conforms to the second law of thermodynamics, so too for a shrinking black hole. The decrease in the area of a shrinking black hole's event horizon means its own entropy decreases, but the radiation the black hole emits, streaming outward and spreading across an ever-wider spatial expanse, transfers a more-than-compensating cache of entropy to the environment. The choreography is familiar: as black holes radiate, they dance the entropic two-step.
+  Hawking's result made all of this mathematically precise. Among much else, he discovered a precise formula for the temperature of a glowing black hole. I'll give a qualitative explanation of his result in the next section (and for the mathematically inclined, the formula is in the endnotes9), but the feature most relevant to us here is that the temperature is inversely proportional to the mass of the black hole. Much as mature Great Danes are large and mild while shih tzu puppies are small and manic, large black holes are calm and cool while small black holes are frenzied and hot. Some numbers, courtesy of Hawking's formula, make this explicit. For a large black hole, like the one at the center of our galaxy with four million times the mass of the sun, Hawking's formula pegs its temperature at the tiny value of a hundredth of a trillionth of a degree above absolute zero (10˗14 kelvin). For a smaller black hole, with the mass of the sun, the temperature is higher, but far from balmy, just shy of a tenth of millionth of a degree (10˗7 kelvin). A tiny black hole, with the mass, say, of an orange, would be blazing with a temperature of about a trillion trillon degrees (1024 kelvin).
+  A black hole whose mass is larger than the moon's has a temperature that is lower than that of the 2.7 degree microwave background radiation currently suffusing the cosmos. Handy for erudite cocktail party chatter, this is a numerical factoid of cosmological significance. Because heat spontaneously flows from higher to lower temperatures, heat will flow from the frigid microwave-filled environment surrounding such a black hole to the yet more frigid black hole itself. Although the black hole emits Hawking radiation, on balance it will take in more energy than it releases, slowly increasing its heft. Because even the smallest black holes so far discovered by astronomical observations are much more massive than the moon, they are all in the process of plumping up. However, as the universe continues to expand, the microwave background radiation will continue to dilute and its temperature will continue to cool. In the far future when the background temperature of space drops below that of any given black hole, the energy seesaw will pivot, the black hole will emit more than it receives, and it will start shrinking as a result.
+
+  In the fullness of time, black holes will waste away too.
+  There are many questions about black holes that remain at the forefront of contemporary research, and one of considerable importance to our discussion here concerns the final moments of a black hole's existence. As a black hole radiates, its mass decreases and, in turn, its temperature increases. What happens when the black hole is almost gone, when its mass nears zero and its temperature soars toward infinity? Does it explode? Does it fizzle? Something else? We don't know. Even so, the quantitative understanding of Hawking radiation allowed physicist Don Page to determine the rate at which a given black hole shrinks and thus the time it will take to reach its final moment-whatever the details of that moment may be.10 Taking the mass of the sun as representative of those black holes that form from a dying star, Page's result shows that by about floor 68 of the Empire State Building, 1068 years after the bang, such black holes will have radiated away.
+The Disintegration of Extreme Black Holes
+The black holes believed to inhabit the center of most if not all galaxies have gargantuan masses. As astronomical surveys have progressed, each record holder has been unseated by the next, with champion masses heading toward one hundred billion times that of the sun. A black hole of that mass has an event horizon so large that it would stretch from the sun past the orbit of Neptune and a fair way toward the Oort cloud. Even if you're a bit rusty on Oort and his distant cloud, just know that it takes sunlight well over one hundred hours to reach it, so we are talking about a black hole with a monstrous span. But as I'll now explain, the enormous size of these black holes belies their placid demeanor.
+
+  According to general relativity, the recipe for building a black hole is dead simple: gather any amount of mass and form it into a ball of a sufficiently small size.11 Of course, even a passing familiarity with black holes leads you to expect that "sufficiently small" means really small, spectacularly small, ludicrously small. And in some cases your expectation is right on the mark. To turn a grapefruit into a black hole, you'd need to squeeze it down to about 10−25 centimeters across; to turn the earth into a black hole you'd need to squeeze it down to about two centimeters across; and for the sun, you'd need to squeeze it to about six kilometers across. Each example requires a fantastic crushing of matter, contributing to the widespread intuition that to form a black hole you need stupendous densities. But were you to continue cataloging examples well beyond the mass of the sun, focusing on the formation of ever-larger black holes, you'd come upon a pattern you might find surprising.
+  As the amount of matter used to create a black hole increases, the required density to which that matter must be crushed decreases. If you'll indulge one, well two, mathy sentences, the reason is immediately apparent: Because the radius of a black hole's event horizon scales with its mass, its volume scales as mass cubed, and so the average density-mass per volume-drops with the mass squared. Increase the mass by a factor of two and the density drops by a factor of four; increase the mass by a factor of a thousand and the density drops by a factor of a million. Math to the side, the qualitative point is that in forming a black hole, the larger the mass, the less that mass needs to be crushed. To build a black hole like the one in the center of the Milky Way, whose mass is about four million times that of the sun, you need matter whose density is about one hundred times that of lead, so you've still got some serious crushing ahead of you. To build one with mass one hundred million times that of the sun, the necessary density drops all the way to that of water. And to build one that's four billion times the mass of the sun, the density you need is on par with that of the air you're now breathing. Gather together four billion times the mass of the sun in air, and unlike the case with a grapefruit, or the earth, or the sun, to create a black hole you would not need to squeeze the air at all. Gravity acting on the air would form a black hole on its own.
+
+  I'm not advocating bags of air as realistic raw material for creating supermassive black holes, but the fact that a black hole weighing four billion times as much as the sun would have an average density of air is remarkable, and a telling illustration of how the properties of black holes can differ from popular conceptions.12 Gigantic when assessed by their mass and size, such black holes are dainty when assessed by their average densities, rendering them decidedly gentle giants. In this sense, larger black holes are less extreme than smaller black holes, a realization that gives an intuitive explanation of Hawking's finding that the more massive the black hole, the lower its temperature and the more subdued its glow.
+  The longevity of large black holes thus benefits from two related factors: they have more mass to radiate and, with their lower temperatures, they radiate that mass more slowly. Plugging numbers into the equations, we find that a black hole whose mass is about one hundred billion times that of the sun will wither away at so leisurely a pace that only as we reach the top floor of the Empire State Building, floor 102, will such a black hole spew its last burst of radiation and finally, truly, fade to black.13
+An End of Time
+Gazing on the universe from the 102nd floor, we will not see much beyond a diffuse mist of particles wafting through space. Occasionally, the attraction between an electron and its antiparticle, the positron, will draw them ever closer along inward spiraling trajectories until they annihilate in a tiny flash, a pinprick of light momentarily penetrating the blackness. If the dark energy has drained away and the rapid expansion of space has diminished, it is possible that particles may accumulate into even larger black holes that will radiate yet more slowly, yielding yet longer lifetimes. But if the dark energy persists, particles will be driven apart increasingly quickly by the accelerated expansion, ensuring that they will rarely if ever encounter one another. Curiously, the conditions have an affinity with those just after the big bang, when space was also populated with separate particles. The difference is that in the early universe, the particles were so dense that gravity easily coaxed them into structures like stars and planets, while in the later universe, the particles will be so widely dispersed and the quickening expansion of space so unrelenting that such clumping will be extraordinarily unlikely. It is a cosmic version of dust to dust, with the early dust primed to dance the entropic two-step, being driven by gravity into orderly astronomical structures, while the later dust, spread so thinly, will be content to drift quietly through the void.
+
+  Physicists sometimes liken this future era to the end of time. Not that time stops. But when the action amounts to no more than an isolated particle moving from this spot in the vast reaches of space to that spot, it's reasonable to conclude that the universe has finally transitioned to oblivion. Still, our willingness in this chapter to consider yet longer durations raises to relevance processes so improbable that they would otherwise be summarily dismissed. Barely conceivable though they are, these rare events may punctuate oblivion with infrequent but far-reaching possibilities.
+The Disintegration of Emptiness
+At a press conference on July 4, 2012, held at CERN, the European Center for Nuclear Research, spokesperson Joe Incandela announced the discovery of the long-sought Higgs particle. I was watching the live feed at the Aspen Center for Physics in a room packed with colleagues. It was about two a.m. Everyone erupted into wild cheers. The camera cut to Peter Higgs, removing his glasses and wiping his eyes. Higgs had proposed the particle bearing his name nearly fifty years earlier, had successfully fought the resistance unfamiliar ideas sometimes encounter, and had waited a lifetime to learn that he was right.
+  While on a long walk in the outskirts of Edinburgh, a young Peter Higgs solved a puzzle that had been frustrating researchers around the world. The mathematics for describing the strong, weak, and electromagnetic forces, as well as the particles of matter these forces influence, was rapidly coming together. Working shoulder to shoulder, theorists and experimenters were writing a quantum mechanical manual laying out the workings of the microworld. But there was one glaring omission. The equations couldn't explain how the fundamental particles acquired mass. Why is it that if you were to push on fundamental particles (like electrons or quarks), you would feel the particles resisting your effort? This resistance reflects the particle's mass but the equations seemed to tell a different story: according to the math, the particles should be massless and thus should offer no resistance at all. Needless to say, the mismatch between reality and the mathematics was driving the physicists batty.
+
+  The reason the math seemed to countenance only massless particles is a touch technical, but it comes down to symmetry. Much as a cue ball looks the same as you turn it this way and that, the equations describing fundamental particles look the same as you swap this mathematical term with that one. In each case, the insensitivity to change-of orientation for the cue ball and of mathematical rearrangement for the equations-reflects a high degree of underlying symmetry. For the cue ball, the symmetry ensures that it rolls smoothly. For the equations, the symmetry ensures that the mathematical analysis unfurls smoothly. As researchers in particle physics had realized, without the symmetry the equations would be inconsistent, yielding nonsense similar to the result of dividing one by zero. Hence the puzzle: the analysis revealed that the same mathematical symmetry that ensures healthy equations also requires massless particles (perhaps not surprising, as zero is itself a highly symmetric number, holding firm to its value when multiplied or divided by any other number).
+  That's where Higgs came in. He argued that, intrinsically speaking, particles are massless, just as the pristine symmetric equations required. However, Higgs continued, when thrust into the world, the particles acquire mass through an environmental influence. Higgs envisioned that space is filled with an invisible substance, now called the Higgs field, and that particles pushed through the field experience a drag force somewhat like that experienced by a Wiffle ball flying through air. Even though a Wiffle ball weighs next to nothing, if you hold it outside the window of a car revving up to ever-higher speeds, your hand and arm will get quite a workout: the Wiffle ball feels massive because it is plowing through the resistance exerted by the air. Similarly, Higgs proposed, when you push on a particle it feels massive because it is plowing through the resistance exerted by the Higgs field. The more hefty a particle the more it resists your push, which according to Higgs means the particle experiences a stronger resistance from his space-permeating field.14
+
+  If you're not already familiar with the notion of the Higgs field but have diligently read the previous chapters, the idea may not sound particularly exotic. Modern physics has grown accustomed to the idea of invisible substances suffusing space, latter-day versions of the ancient ether. From the inflaton field that may have driven the big bang to the dark energy that may be responsible for the accelerated expansion of the universe now measured, physicists of the past few decades have not been shy about proposing that space is filled with invisible stuff. But in the 1960s, the idea was radical. Higgs was suggesting that if space were truly empty in the conventional and intuitive sense, particles would have no mass at all. He thus concluded that space must not be empty, and the peculiar substance it harbors must be just right for imbuing particles with their evident mass.
+  The first paper in which Higgs made the case for this new proposal was dismissed out of hand. "I was told I was talking nonsense," Higgs recalled of the reaction.15 But those who carefully studied the idea realized its merits and it slowly gained currency. Ultimately, it was embraced fully. I first encountered the Higgs proposal in a graduate course in the 1980s, and it was presented with such certitude that for a while I didn't realize the proposal had yet to be confirmed experimentally.
+  The strategy for testing the proposal is as easy to describe as it is challenging to carry out. When two particles, say two protons, slam together at high speed, the collision should jiggle the surrounding Higgs field. On occasion, this would theoretically knock free a tiny droplet of the field, which would show up as a new type of elementary particle-a Higgs particle-what Nobel laureate Frank Wilczek calls a "chip off the old vacuum." A sighting of this particle would thus provide the theory's smoking gun, a goal that inspired more than thirty years of research, by more than three thousand scientists, from over three dozen countries, using the world's most powerful particle accelerator, with a price tag exceeding fifteen billion dollars. The conclusion of that odyssey, announced in that Independence Day press conference, was signaled by a tiny bump in an otherwise smooth graph produced by data collected at the Large Hadron Collider-experimental confirmation that the Higgs particle was in hand.
+
+  It is a wonderful episode in the annals of human discovery, deepening our understanding of the properties of particles and bolstering our confidence in the capacity of mathematics to reveal hidden aspects of reality. The relevance of the Higgs field for our journey on the cosmic timeline comes from a related but distinct consideration-at some point in the future the value of the Higgs field may change. And much as the drag experienced by a Wiffle ball would change if the density of air it encountered was different, the masses of the fundamental particles would change if the value of the Higgs field they encountered was different. For all but the most minuscule of shifts, such a change would almost certainly destroy reality as we know it. Atoms and molecules and the structures they build depend intimately on the properties of their particulate constituents. The sun shines because of the physics and chemistry of hydrogen and helium, which depend on the properties of protons, neutrons, electrons, neutrinos, and photons. Cells do what cells do mostly because of the physics and chemistry of the molecular constituents, which again depend on the properties of the fundamental particles. If you change the masses of the fundamental particles you change how they behave, and so you change more or less everything.
+  A wealth of laboratory experiments and astronomical observations have established that for most if not all of the past 13.8 billion years, the masses of the fundamental particles have been constant and thus the value of the Higgs field has been stable. Yet, even if there is only a minute probability that in the future the Higgs field can jump to a different value, that probability will be amplified into a near certainty by the enormous durations we are now considering.
+
+  The relevant physics for a Higgs jump is called quantum tunneling, a process best grasped by first considering it in a simpler setting. Place a small marble in an empty champagne flute, and if no one disturbs it, you would expect the marble to remain there. After all, the marble is hemmed in by barriers on all sides and doesn't have enough energy to climb the walls of glass and escape through the top. Nor does it have enough energy to penetrate directly through the glass. Similarly, if you place an electron in a trap shaped like a tiny champagne flute, hemming in its position with barriers on all sides, you would expect that it too would remain in place. Indeed, most of the time the electron does. But sometimes it doesn't. Sometimes the electron disappears from the trap and rematerializes outside it.
+  Surprising as such a Houdini-like move may be for us, in quantum mechanics it is business as usual. Using Schrödinger's equation, we can calculate the probability that an electron will be found in this or that location, such as on the inside or on the outside of the fluted trap. The math shows that the more formidable the trap-the taller and thicker the sides-the smaller the likelihood that the electron will escape. But, and this is key, for the probability to be zero, the trap would need to be infinitely wide or infinitely high, and in the real world that just doesn't happen. And a nonzero probability, however small, means that by waiting long enough, sooner or later the electron will make it to the other side. Observations confirm that it does. Such a transit through a barrier is what we mean by "quantum tunneling."
+  I've described quantum tunneling in terms of a particle penetrating a barrier, changing its location from here to there, but it can also involve a field penetrating a barrier, changing its value from this to that. Such a process, involving the Higgs field, may determine the long-term fate of the universe.
+  In the units physicists conventionally use, the current value of the Higgs field is 246.16 Why 246? No one knows. But the drag force mustered by a Higgs field with this value (together with the precise manner in which each particle interacts with it) successfully explains the masses of the fundamental particles. But why has the Higgs value been stable for billions of years? The answer, we believe, is that the Higgs value, like the marble in the flute or the electron in the trap, is hemmed in on all sides by formidable barriers: if the Higgs field was to try migrating from 246 to a larger or smaller number, the barrier would forcefully drive it back to its original value, much like the marble would be driven back to the bottom of the flute should someone momentarily shake the glass. And were it not for quantum considerations, the Higgs value would permanently remain at 246. But as Sidney Coleman discovered in the mid-1970s, quantum tunneling changes the story.17
+
+  Just as quantum mechanics allows an electron occasionally to tunnel out of a trap, so too does it allow for the value of the Higgs field to tunnel through a barrier. Were this to occur, the Higgs field would not change its value across all of space simultaneously. Instead, in some tiny region singled out by the random nature of quantum events, the Higgs would make its move, tunneling through the barrier to a different value. Then, much as a marble that tunnels through a champagne flute will drop to a lower height, the Higgs field's value would drop to a lower energy. The lure of lower energy would then coax the Higgs field at nearby locations to make the transition too, a domino-like effect that would yield an ever-growing sphere within which the Higgs value would have changed.
+  Inside this sphere, the new Higgs value would cause particle masses to change, so the familiar features of physics, chemistry, and biology would no longer hold. Outside the sphere, where the Higgs value had yet to shift, particles would retain their usual properties, and so all would seem normal. Coleman's analysis revealed that the boundary of the sphere, marking the transition from old Higgs value to new, would spread outward at very nearly the speed of light.18 Which means that for those of us on the outside it would be virtually impossible to see the wall of doom approaching. By the time we saw it, it would be upon us. One moment it would be life as usual. The next moment we would cease to be. Might new structures and perhaps new forms of life ultimately emerge in this realm populated by particles with unfamiliar properties? Possibly. But these questions are currently beyond our ability to answer.
+  Physicists cannot pinpoint when the Higgs might make such a jump. The timescale depends on particle and force properties that have yet to be determined with adequate precision. Moreover, as a quantum process, it can only be predicted probabilistically. Current data suggest that the Higgs is likely to tunnel to a different value somewhere between 10102 and 10359 years from now- somewhere between floors 102 and 359 (a range that would even challenge the reach of the Burj Khalifa).19
+
+  Because the Higgs field redefines what we mean by emptiness-the emptiest of empty space anywhere in the observable universe contains the Higgs field with value 246-quantum tunneling of the Higgs field's value reveals an instability of empty space itself. Wait long enough, and even empty space will change. While the timescale for such change, such disintegration, gives little cause for anxiety, note that there is a chance that the tunneling event could happen today. Or tomorrow. That is the burden of living in a quantum universe in which future events are governed by probability. Just as you might drop a few hundred pennies and they all land heads-possible but unlikely-we might be on the verge of getting slammed by a wall of shifted Higgs field trailing a new variety of empty space in its wake. Possible, but unlikely too.
+  That this probability is minuscule would seem a good thing. Being swept away by a light-speed wall of doom, while swift and painless, is something most of us would rather avoid. However, as we turn our attention to even longer timescales, we will encounter quantum processes that are not only bizarre but have the capacity to undermine everything we hold to be true about reality. In response, some physicists have cultivated a fondness for theories in which the universe will end well before we would have to face the implosion of rational thinking itself.
+Boltzmann Brains
+As we have ascended the timeline, we have witnessed the second law of thermodynamics in action. From the big bang to the formation of stars, the dawn of life, the processes of mind, the depletion of galaxies, and on through the disintegration of black holes, entropy has been relentlessly on the rise. This consistent growth can obscure the fact that the second law's decree is probabilistic. Entropy can decrease. The particles of air currently spread throughout your room can all simultaneously coalesce into a ball hovering near the ceiling, leaving you gasping for breath. It's just so unlikely, and the timescale for it to happen is just so enormous, that we acknowledge the possibility but wisely get on with our lives. However, since we are now taking the long view, let's throw off our temporal provincialism and consider some fairly mind-blowing entropy-decreasing possibilities.
+
+  Imagine that you've been reading this book for the past hour, sitting in your favorite chair, and now and then sipping tea from your favorite mug. If asked how this cozy arrangement came about, you'd say you bought the mug in New Mexico from a local potter, that you inherited the chair from your fraternal grandmother, and that you've always been interested in the workings of the universe, which led you to this book. If encouraged to provide more details, you'd talk about your upbringing, your siblings, your parents, and so on. If pushed yet harder to reach back in time and provide a more complete account, you might ultimately talk about the very material we've covered in earlier chapters.
+  All of this is based on a curious fact: everything you know reflects thoughts, memories, and sensations that currently reside in your brain. The purchase of the mug has long since passed. What remains is a configuration of particles inside your head that holds the memory. The same is true for your memories of inheriting your grandmother's chair, of being curious about the universe, and of having read about various concepts in this book. From a staunchly physicalist perspective, all of that is in your head right now because of the particular arrangement of the particles that are in your head right now. Which means that if a random spray of particles flitting through the void of a structureless, high-entropy universe should, by chance, spontaneously dip to a lower-entropy configuration that just happens to match that of the particles currently constituting your brain, that collection of particles would have the same memories, thoughts, and sensations that you do. Whether in honor or reproach, I don't know which, such hypothetical, free-floating, untethered minds formed by the rare but possible spontaneous coming together of particles into a special, highly ordered configuration have become known as Boltzmann brains.20
+  Alone in the frigid darkness of space, a Boltzmann brain would not think many thoughts before it expired. However, a spontaneous coming together of particles could also yield accessories that would prolong its functioning: the housing of a head and body, a supply of food and water, an appropriate star and planet, to mention a few. Indeed, a spontaneous coming together of particles (and fields) could yield today's entire universe or recreate the conditions that set off the big bang, allowing a universe much like ours to unfold anew.21 Admittedly, when it comes to a spontaneous drop in entropy, the odds overwhelmingly favor drops that are smaller: fewer particles coming together in structures that are more tolerant of imprecise arrangements. And by overwhelmingly favored, I mean overwhelmingly favored. Exponentially favored. And since we have a particular interest in the far future of thought, a solitary Boltzmann brain is the minimal and hence most likely random formation of particles that can briefly cerebrate and thus wonder how in the world it came to be.22
+
+  What makes this more than the beginnings of a B-grade sci-fi plot is that as we look to the far future, the conditions appear ripe for these bizarre-sounding processes to actually happen. An essential ingredient is the accelerated expansion of space. Earlier we noted that such expansion results in a cosmological horizon-a distant surrounding sphere marking the boundary beyond which objects recede from us faster than the speed of light, cutting off any possibility of contact or influence. Now, much as Hawking showed that quantum mechanics implies that a black hole horizon has a temperature and emits radiation, Hawking and his collaborator Gary Gibbons used similar reasoning to show that a cosmological horizon has a temperature and emits radiation as well. Our analysis in the previous chapter focusing on the future of thought relied on this very fact, concluding that the tiny temperature of our cosmological horizon, about 10˗30 kelvin, may well be enough to cause future Thinkers, desperately trying to continue thinking indefinitely, to ultimately burn up in their own thoughts. As we will now see, over the course of far-longer timescales similar considerations offer the future of thought the potential for a curious revival.
+  In the far future, the radiation emitted by the cosmological horizon will provide a dim but consistent source of particles (predominantly massless particles, photons, and gravitons) that will meander through the region of space the horizon surrounds. On occasion, collections of these particles will collide and, via E = mc2, transmute their energy of motion into the production of a smaller number of more massive particles like electrons, quarks, protons, neutrons, and their antiparticles. By resulting in fewer particles and less motion, these processes decrease entropy, but wait long enough and such unlikely things will happen. And will continue to happen. On rarer occasions still, some of the protons, neutrons, and electrons so produced will move in just the right way to join into this or that atomic species. The enormous duration required for such rare processes explains why they are irrelevant in the synthesis of atomic nuclei after the big bang or within stars, but now, with unlimited time on our hands, such processes matter. Over an even longer temporal expanse, the atoms will randomly join into an array of ever-more-complex configurations, ensuring that every now and then on the road to eternity a collection will coalesce into this or that macroscopic structure-bobbleheads to Bentleys. In the absence of thinking beings, all of these will come and go without notice. But every so often the randomly formed macroscopic structure will be a brain. Long extinct, thought will make a momentary comeback.
+
+  What is the timescale for such resurrection? With a rough calculation (which math enthusiasts can find in the endnotes23) we can estimate that there's a reasonable chance that a Boltzmann brain will form within 101068 years. That's a long time. Whereas we could write out the duration represented by the peak of the Empire State Building, 10102 years, a one followed by 102 zeroes, on about a line and a half, to write out 101068-which is a 1 followed by 1068 zeroes-we could replace every character on every page of every book that has ever been printed and even then we would not make a dent. Even so, it is not as though anyone would be hanging around, glancing at their watch, waiting for the entropic drop to get a move on and produce a brain. The universe could persist for nearly an eternity in a run-of-the-mill, disordered, high-entropy state, and no one would complain.
+  Which raises an interesting, somewhat personal concern. Where did your brain come from? The question sounds silly, but humor me. In answering, you naturally follow your memories and knowledge to explain that you were born with your brain, and that your inception is part of a sequence we can trace back through your ancestral lineage, through the evolutionary record of life, through the formation of the earth, the sun, and so on, all the way back to the big bang. On the face of it, this seems to make good sense. Most of us would give a version of the same response. But as the previous chapters made clear, the window of time during which brains can form in the manner you've recounted is limited-generously, the span is likely between the Empire State Building's tenth and fortieth floors. The window of time for brains to form in the Boltzmannian manner is incomparably longer-it may well be unlimited.24 As time continues to roll onward, Boltzmann brains will, rarely but reliably, continue to coalesce, and so the total number of such brains that come and go will grow ever larger. A survey of a long-enough stretch on the timeline would thus reveal that the total population of Boltzmann brains far exceeds the total population of traditional ones. The same is true even if we focus on only those Boltzmann brains whose particulate configurations imprint the erroneous belief that they arose in the traditional biological manner. Once again, however rare a process, over arbitrarily long durations it will happen arbitrarily many times.
+
+  If you then ask yourself for the most likely way that you acquired the beliefs, memories, knowledge, and understanding that you currently hold, the dispassionate answer based on sheer population size is clear: your brain just spontaneously formed from particles in the void, with all of its memories and other neuropsychological qualities imprinted through the particular configuration of the particles. The story you told of how you came to be is touching but false. Your memories and the various chains of reasoning that have led to your knowledge and your beliefs are all fictitious. You do not have a past. You have just come into existence as a disembodied brain endowed with thoughts and memories of things that never happened.25
+  Beyond its utter strangeness, this scenario comes with a devastating conclusion, the very reason I have focused on spontaneously forming brains and not the myriad other inanimate objects that randomly coalescing particles can also realize. If a brain, yours or mine or anyone's, can't trust that its memories and beliefs are an accurate reflection of events that happened, then no brain can trust the supposed measurements and observations and calculations that constitute the basis of scientific understanding.26 I have memories of learning general relativity and quantum mechanics, I can think through the chain of reasoning that supports these theories, I can recall looking at the data and observations these theories so impressively explain, and so on. But if I can't trust that these thoughts were imprinted by the actual events to which I attribute them, I can't trust that the theories are anything more than mental figments, and so I can't trust any conclusions to which the theories point. For the kicker, among such conclusions, now rendered untrustworthy, is the likelihood that I'm a spontaneously created brain floating in the void. The deep skepticism that emerges from the possibility of spontaneous brain formation forces us to be skeptical of the very reasoning that led us to entertain the possibility in the first place.
+
+  In short, rare spontaneous drops in entropy, which are entailed by the laws of physics, can shake our confidence in the laws themselves and all they supposedly entail. By considering the laws operating over arbitrarily long durations, we are plunged into a skeptical nightmare, rattling our trust in everything. Not a happy place to be. So how can we regain confidence in the foundations of rational thought that have facilitated our vigorous climb up the Empire State Building and beyond? Physicists have developed a number of strategies.
+  Some conclude that Boltzmann brains are much ado about nothing. Sure, this perspective acknowledges, Boltzmann brains can form. But ease your mind. You are definitely not one of them. Here's how to prove it: Look out on the world and take in all you see. If you are a Boltzmann brain, the odds are overwhelming that a moment later you won't exist. A brain that can last longer is a brain that's part of a larger and more ordered support system and thus requires a yet rarer fluctuation to even lower entropy, making its formation that much more unlikely. So if your second glance at the world seems much like your first, your confidence that you are not a Boltzmann brain increases. Indeed, according to this perspective, every next moment of a similar sort makes your argument stronger and your confidence greater.
+  Notice, though, that the argument assumes each of the moments in such a sequence is, in the conventional sense, real. If right now you have a memory of looking out at the world a dozen times during the past minute, repeatedly assuring yourself that you are not a Boltzmann brain, that memory reflects the state of your brain right now and is thus compatible with your brain having turned on just now imprinted with those very memories. By taking the scenario fully to heart, you realize that the empirical observations you used to argue that you are not a Boltzmann brain may themselves be part of the fiction. I may have memories of saying to myself "I think, therefore I am," but viewed from any given moment, an accurate accounting requires that I say instead, "I think I thought, therefore I think I was." In reality, the memory of such thoughts does not ensure that the thoughts ever happened.
+
+  A more convincing approach is to challenge the underlying scenario itself: Central to the argument for Boltzmann brains is the existence of a distant cosmological horizon continuously radiating particles, the raw materials for building complex structures, including minds. Over the long haul, if the dark energy filling space were to dissipate away, then accelerated expansion would draw to a close and the cosmological horizon would withdraw. Without a distant surrounding surface radiating particles, the temperature of space would close in on zero, and with that the chance of spontaneously forming complex macroscopic structures would close in on zero too. There is as yet no evidence for a weakening (or a strengthening) of dark energy, but future observational missions will study the possibility with greater precision. A conservative assessment is that the jury is still out.27
+  More radical still are approaches in which the universe, or at least the universe as we know it, simply will not exist arbitrarily far into the future. In the absence of the fantastically long durations we have been considering, the likelihood of Boltzmann brains forming becomes so ridiculously tiny that we can safely ignore the process entirely. If the universe were to end long before the timescale that would make the production of Boltzmann brains likely, we could set our skepticism aside and comfortably revert to our previous account of the origin and development of our brains, including our memories, knowledge, and beliefs.28
+  How might such a speedy end to the universe come about?
+ 
+Is the End Near?
+Earlier, we considered the possibility that the Higgs field might take a quantum leap to a new value, resulting in a sudden change of particle properties that would rewrite many of the basic processes of physics, chemistry, and biology. The universe would carry on but almost certainly without us. If this disjuncture should happen long before the timescales necessary for Boltzmann brains to form-as the data on the Higgs field currently suggest-ordinary brains would dominate the population, and we would sidestep the skeptical morass.29
+  A yet more emphatic resolution would emerge from a quantum leap in which the value of the dark energy would suddenly change. Currently, the accelerated expansion of the cosmos is driven by a positive dark energy suffusing every region of space. But just as positive dark energy yields an outward-thrusting repulsive gravity, negative dark energy yields an inward pulling attractive gravity. Consequently, a quantum tunneling event in which the dark energy leaped to a negative value would mark a transition from the universe's swelling outward to its collapsing inward. Such an about-face would result in everything-matter, energy, space, time-being squeezed to extraordinary density and temperature, a kind of reverse big bang that physicists call the big crunch.30 Much as there is uncertainty regarding what happened at time zero, setting off the bang, there is uncertainty regarding what would happen at the final moment, the crunch itself. What's evident, though, is that were the crunch to happen in far less time than 101068 years, the peculiar implications of Boltzmann brains would again be rendered moot.
+  In one final approach, interesting beyond considerations of Boltzmann brains, physicist Paul Steinhardt and collaborators Neil Turok and Anna Ijjas imagine parlaying such a potential universe-ending crunch into a more upbeat universe-producing bounce.31 According to this theory, regions of space like ours go through phases of expansion followed by contraction, with the cycles repeating indefinitely. The big bang becomes the big bounce-a rebound from the previous period of contraction. The idea itself is not entirely new. Shortly after Einstein completed the general theory of relativity, a cyclic version of cosmology was proposed by Alexander Friedmann and subsequently developed by Richard Tolman.32 Tolman's aim, in particular, was to dodge the question of how the universe began. If the cycles extend infinitely far to the past, there was no beginning. The universe always existed. Tolman found, however, that the second law of thermodynamics thwarts this vision. The continual buildup of entropy from one cycle to the next implies that the universe we currently inhabit could be preceded only by a finite number of cycles, thus requiring a beginning after all. In their new version of the cyclic approach, Steinhardt and Ijjas argue that they can surmount this problem. They have established that during each cycle a given region of space stretches far more than it contracts, ensuring the entropy it contains is thoroughly diluted. Cycle upon cycle, the total entropy across the entirety of space increases, as per the second law of thermodynamics. But in any finite region, such as the one giving rise to our observable realm, the entropic buildup that stymied Tolman is no longer a concern. Expansion dilutes away all matter and radiation, while the subsequent contraction harnesses the power of gravity to replenish just enough high-quality energy to start the cycle anew.
+
+The duration of each cycle is determined by the value of the dark energy which, based on today's measurements, sets the duration on the order of hundreds of billions of years. As this is far less than the typical time required for Boltzmann brains to form, cyclic cosmology provides another potential solution for preserving rationality. While there would be ample time during a given cycle to produce brains in the ordinary manner, the cycle would conclude well before there would be time to produce brains in the Boltzmannian manner. With reasonable confidence we could all then declare that our memories were laid down by events that really happened.
+  Looking to the future, the cyclic approach suggests that our climb up the Empire State Building would be cut short, ending somewhere in the vicinity of the eleventh or twelfth floor, when the contracting phase of space would result in a bounce that concludes our cycle and initiates the next. The linearity of the skyscraper metaphor would also need an updating to a spiral shape (a soaring version of the Guggenheim Museum comes to mind), with each lap representing a cosmological cycle. Moreover, since the cycles might persist indefinitely into the past as well as the future, we would need to envision the structure extending infinitely far in both directions. Reality as we know it would be part of a single lap around the cosmological track.
+
+  In recent years, cyclic cosmology has emerged as a main competitor to the inflationary theory. Although both can explain cosmological observations, including the all-important temperature variations in the microwave background radiation, the inflationary theory continues to dominate cosmological research. In part this reflects the uphill battle to interest physicists in an alternative to a theory that over the course of four decades has propelled cosmology into a mature and precise science. That ours is called the golden age of cosmology is largely attributable to the inflationary theory. Of course, truth in science is not determined by polls or popularity. It is determined by experiments, observations, and evidence. And the inflationary and cyclic theories do make one significantly different observational prediction, which may one day figure prominently in adjudicating between them: The burst of inflationary expansion at the big bang would likely have so vigorously disturbed the fabric of space that the gravitational waves produced might still be detectable. The more gentle expansion of the cyclic model results in gravitational waves too mild to be observed. In the not-too-distant future, observations may thus have the capacity to tip the balance between the two cosmological approaches.33
+  Among researchers, inflation remains the foremost cosmological theory, which is why we have focused upon it in earlier chapters. Even so, it remains thoroughly exciting to imagine future observations deepening our knowledge of the cosmos and rendering our era but one of many, perhaps infinitely many, moments of incomplete understanding. While this would impact our discussion of the earliest stages of the universe as well as its unfolding past floor 12 or so, the core considerations of entropy and evolution that have guided us throughout the bulk of our journey would persist all the same. Most impactful of all, were the cyclic theory confirmed, we would learn that the most ubiquitous of all patterns-birth, death, and rebirth-is recapitulated over cosmological scales. It is an enticing template. Thinkers as far back as the ancient Hindus, Egyptians, and Babylonians imagined that instead of a beginning, middle, and end, the universe, like days and seasons, might go through a sequence of dovetailing cycles. In the not too distant future, data collected by gravitational wave observatories may reveal whether this pattern is embraced by the cosmos itself.34
+ 
+Thought and the Multiverse
+Would a journey at arbitrary speed into the depths of space reach an end? Might it go on forever? Or perhaps circle back on itself in a cosmic Magellanic journey? No one knows. Within the inflationary theory, the most intently studied mathematical formulations imply that space is endless, explaining in part why researchers have paid most attention to this possibility. For the far future of thought, endless space provides a particularly outlandish consequence, so let's follow the dominant inflationary perspective and assume that space is infinite.35
+  The vast majority of infinite space would be beyond our ability to see. Light emitted from a distant location is visible to our telescopes only if there has been ample time for it to have traversed the space between us. Using the maximal travel time possible-the duration back to the big bang, 13.8 billion years-we can calculate that the maximum distance we can see in any direction is about 45 billion light-years (you might have thought the limit would be 13.8 billion light-years, but because space expands while the light is in transit, the span is larger). If you grew up on a planet more distant from earth than that, there is no way we could have as yet communicated or directly influenced each other. So assuming space is infinite, you can picture it as a patchwork of widely separated 90-billion-light-year regions, with each region having evolved independently of the others.36 Physicists like to think of each such region as its own independent universe, with the entire collection of such regions being a multiverse. Accordingly an infinite spatial expanse gives rise to a multiverse containing infinitely many universes.
+  In studying these universes, physicists Jaume Garriga and Alex Vilenkin37 established a pivotal feature. If you were to watch a series of films that showed the cosmological unfolding in each, the films could not all be different. Because each of the regions has a finite size, and each contains a large but finite amount of energy, there are only finitely many distinct histories that can possibly play out. Intuitively, you might think otherwise. You might expect that there would be infinitely many variations because, given any history, you can always modify it by nudging this particle that way or that particle this way. But here's the thing: if your nudges are too small, they'll fall below the sensitivity limit of quantum uncertainty, and will thus be meaningless; if your nudges are too large, the particles won't remain within the region or their energies will exceed the maximum available. Constrained on both small scales and large, there are only finitely many variations, and so only finitely many different films are possible.
+
+  Now, with infinitely many regions and finitely many films, there simply aren't enough different films to go around. We are guaranteed that the films will repeat; indeed, we are guaranteed that they will repeat infinitely many times. We are also guaranteed that each film will be used. The quantum jitters that result in one history being different from another are random and hence they sample every possible configuration. No history is left behind. The infinite collection of universes thus realizes every possible history, and each such history is realized infinitely often.
+  This entails a peculiar conclusion: the reality that you and I and everyone else experiences is happening out there in other regions-in other universes-over and over again. Modify that reality in any manner that is not strictly forbidden by the laws of physics (you can't violate the conservation of energy or electric charge, for example) and it is also out there, over and over again. It tickles the mind to fathom realms where alternate realities play out-Lee Harvey Oswald misfires, Claus von Stauffenberg succeeds, James Earl Ray doesn't. Quantum aficionados will recognize a similarity to the so-called Many Worlds interpretation of quantum physics, which envisions that every possible outcome allowed by the quantum laws takes place in its own separate universe. Physicists have debated for more than half a century whether this approach to quantum mechanics is mathematically sensible and whether, if it is, the other universes are real or merely useful mathematical fictions. The essential difference in the cosmological theory we are now recounting is that the other worlds-the other regions-are not a matter of interpretation. If space is infinite, the other regions are out there.
+
+  From all that we've explored in this and previous chapters, it is reasonable to conclude that here in our region, in our universe, our days, and those of thinking beings more generally, are numbered. The number may be large, but somewhere along the climb up the Empire State Building, or perhaps beyond, life and mind will more than likely reach their end. Against this backdrop, Garriga and Vilenkin offer a curious sort of optimism. They note that because every history plays out across the infinite collection of universes, some will necessarily enjoy rare but fortuitous drops in entropy that keep particular stars and planets intact, or yield new environments containing sources of high-quality energy, or any of a wide array of unlikely developments that will allow life and thought to persist far longer than otherwise expected. Indeed, as Garriga and Vilenkin argue, if you select any finite duration, however long, there will be universes among the infinite collection in which unlikely processes swim against the entropic stream to keep life alive for at least that duration. And so, among the infinity of universes, some will host life and mind arbitrarily far into the future.
+  It is hard to know how the inhabitants of such regions would explain their good fortune in managing to survive. Or even if they'd be aware of their good fortune. Perhaps they'd have worked out the same understanding of physics as we have and would recognize that random fluctuations can result in rare and fortuitous outcomes. But that very knowledge would at the same time make clear that what they're experiencing, while possible, is extraordinarily unlikely. From this realization they might go on to conclude that they need to rework their understanding of physics. Think about it. Although the probabilistic laws of quantum physics allow for the possibility that I can walk through a solid wall, if I did, and did so repeatedly, we'd want to revamp our understanding of quantum physics. Not because I would have contravened the quantum laws. I would not have. It is simply that if supposedly unlikely events happen, and happen often, we're apt to seek better explanations according to which the events are not so unlikely after all. Of course, it is also possible that the inhabitants of such lucky realms would not be focused on explanations at all and would simply go with the flow and happily live on indefinitely.
+
+  As the odds are next to nothing that we inhabit such a region or that we are sufficiently close to one to make our escape there, perhaps as our own end comes into view we will gather what we've learned, discovered, and created and pack it into a capsule that we'll launch in the hope that it might someday reach one of the more fortunate realms. If we are not part of a lineage that extends to eternity, perhaps we can transmit the essence of our accomplishments to those who are. Perhaps, however indirectly, we can leave a trace on eternity. Garriga and Vilenkin study a version of this scenario, and together with insights from philosopher David Deutsch, conclude that the plan is hopeless. Across the infinity of universes and the vastness of timescales, random quantum fluctuations will produce far more fake capsules than our descendants will be able to produce real ones, ensuring that any reliable imprint of who we are and what we have accomplished will be lost in the quantum noise.
+  Life and thought here in our universe, in what we have long considered the universe, will likely draw to a close. Perhaps there is consolation in knowing that somewhere in the vast reaches of infinite space, well beyond the boundary of our realm, life and thought may persist, conceivably indefinitely. Still, even though we can contemplate eternity, and even though we can reach for eternity, apparently we cannot touch eternity.
+
+ 
+ 
+11
+THE NOBILITY OF BEING
+Mind, Matter, and Meaning
+The guide at Pilanesberg National Park, rifle slung low across his back, was double-checking that those accompanying him on foot would respond appropriately should an elephant or a hippo or a lion come too close for comfort. "You...stay...still," he said, emphasizing each word as he slowly panned across the group. "Run from a lion? You spend the rest of your life trying to win the race." Gently laughing, we all murmured "yes" and "of course" and "absolutely." Just then I glanced down at the sleeve of my loose-fitting shirt. Identifying precisely what was clinging to my cuff was of little concern. To me it was a tarantula. And it was making its way upward. I freaked. My arm flew back and forth, knocking glasses off the breakfast table. I jumped from my chair, and plates that had survived my initial flailing were now falling too. In the mayhem, the tarantula, or whatever creepy thing it actually was, detached. By the time I regained composure, the little nickel-size creature was on the ground, slowly crawling away. "Ah," the guide said, smiling, when all had settled down, "the universe has spoken for our physicist friend. You travel in the Jeep." And I did.
+  The universe had not spoken for me. The attack was random and its timing blind chance. Were I a disinterested party, I would offer my standard riposte, noted earlier, that in the absence of such an event there would be no surprise that such a coincidence had not happened. But the truth is, for a brief moment, the embarrassing episode felt significant. I was already uneasy about a safari on foot, was wondering if I should back out, and then I was delivered a tailor-made reminder that this particular risk is not in the best interest of someone who, when lost in thought, can be startled nearly to death by an unanticipated hello. Rationally, I know this kind of talk is silliness. The universe is not keeping tabs on what I do or the dangers I face. Still, while the atavistic instincts inflamed by the tarantula attack were gradually subsiding, rational thought was a step or two from regaining full command.
+
+  Sensitivity to pattern is, in part, how we've prevailed. We look for connections. We take note of coincidences. We mark regularities. We assign significance. But only some of these assignments result from considered analyses delineating demonstrable features of reality. Many emerge from an emotional preference for imposing a semblance of order on the chaos of experience.
+Order and Significance
+I often speak as if our mathematical equations are out there in the world, relentlessly controlling all physical processes, quarks to the cosmos. That may be the case. Perhaps we will one day establish that mathematics is fundamentally stitched into the tapestry of reality. When you work with the equations day in and day out it surely feels that way. However, I am more confident in asserting that nature is lawful-that the universe is made of ingredients whose behaviors follow a lawful progression-the very basis of the journey we have taken in this book. The equations at the core of modern physics represent our most precise statement of the laws. Through diligent experiment and observation we have established that these equations provide a spectacularly accurate account of the world. But there is no guarantee that they are expressed in nature's intrinsic lexicon. Although I consider it unlikely, I allow for the possibility that in the future, when we proudly show alien visitors our equations, they will politely smile, tell us that they too started with math but then discovered the real language of reality.
+  Historically, the physical intuition of our ancestors was informed by the patterns evident in familiar encounters, from falling rocks to snapping branches to rushing streams; there is manifest survival value in having an innate sense of everyday mechanics. In time, we employed our cognitive capacities to go beyond such survival-promoting intuitions, illuminating and codifying patterns in realms spanning from the microworld of individual particles to the macroworld of clustered galaxies, many of which have little or no adaptive value. By shaping our intuition and developing our cognitive skills, evolution initiated our education in physics but our more comprehensive understanding has emerged from the force of human curiosity expressed through the language of mathematics. The resulting equations articulated in this language are of profound utility in exploring the deep structure of reality, but they may nevertheless be constructs of the human mind.
+
+  I hold to a version of this perspective when we shift focus to qualities that guide our evaluation of human experience. Right and wrong, good and evil, destiny and purpose, value and meaning are all profoundly useful concepts, but I am not among those who believe that moral judgments and assignments of significance transcend the human mind. We invent these qualities. Not from whole cloth. Our Darwinian-selected minds are predisposed to be attracted to or repulsed by or scared of various ideas and behaviors. Worldwide, care for the young scores high, while incest is abhorrent. Fairness in day-to-day dealings is widely valued, as is loyalty to family and compatriots. As our ancestors gathered in groups, the interplay of these and numerous other predispositions with on-the-ground encounters created feedback loops: Behavior of individuals influenced the effectiveness of group living, leading to the gradual articulation of communal codes of conduct. In turn, such behavioral codes contributed differing degrees of survival value to those who followed them.1 Much as natural selection shaped our intuition for basic physics, it also had a hand in shaping our innate sense of morality and value.
+  Even among those who concur with the belief that moral codes are not imposed from on high or floating in an abstract realm of truth, there is a healthy debate regarding the role of human cognition in determining how these early sensibilities developed. Some suggest that, similar to the developmental pattern for physics, evolution imprinted a rudimentary moral sense, but our cognitive powers have allowed us to leap beyond that innate base to fashion independent attitudes and beliefs.2 Others suggest that we are adept at using our cognitive dexterity to explain our moral commitments, but these accounts are just-so stories, rationalizations of judgments anchored in our evolutionary past.3
+
+  A point worthy of reemphasis is that none of these positions relies on a traditional conception of free will. In describing human behavior, we invoke an amalgam of factors, from instinct and memory to perception and societal expectation. Yet, as argued earlier, this type of high-level account-lying at the core of how we humans make sense of the world-emerges from a complex chain of processes ultimately resting on the dynamics of nature's fundamental constituents. We all are collections of particles, beneficiaries of innumerable evolutionary battles that have unshackled our behaviors and given us the capacity to delay entropic decay. But such triumphs grant us no freely willed powers over physical progression; the unfolding does not await our wishes, judgments, and moral appraisals. Or, put more precisely, our wishes, judgments, and moral appraisals are simply part of the world's physical progression, as dictated by nature's dispassionate laws.
+  Our description of that progression invokes impersonal mathematical rules that lay out in symbols how the universe will develop from one moment to the next. And for much of the past, prior to the emergence of collections of particles capable of reflecting on reality, this story was the full story. Familiar as we now are with the essential details, we can recount our most refined if provisional version of that story-swiftly, briefly, and, for ease of language, with an anthropomorphic tinge.
+  Some 13.8 billion years ago, within ferociously swelling space, the energy contained in a tiny but ordered cloud of inflaton field disintegrated, shutting off repulsive gravity, filling space with a bath of particles, and seeding the synthesis of the simplest atomic nuclei. Where quantum uncertainty rendered the density of the bath slightly higher, the gravitational pull was slightly stronger, enticing particles to fall together in ever-growing clumps, forming stars, planets, moons, and other heavenly bodies. Fusion within stars, as well as rare but powerful stellar collisions, melded simple nuclei into more complex atomic species, which, upon raining down on at least one planet in the making, were coaxed by molecular Darwinism to assemble into arrangements capable of self-replication. Random variations of the arrangements that happened to abet molecular fecundity spread widely. And among these were molecular pathways for extracting, storing, and dispersing information and energy-the rudimentary processes of life-which, through the long haul of Darwinian evolution, became increasingly refined. In time, complex, self-directed, living beings emerged.
+
+  Particles and fields. Physical laws and initial conditions. To the depth of reality we have so far plumbed, there is no evidence for anything else. Particles and fields are the elementary ingredients. The physical laws prompted by the initial conditions dictate progression. Because reality is quantum mechanical, the pronouncements of the laws are probabilistic, but even so the probabilities are rigidly determined by mathematics. Particles and fields do what they do without concern for meaning or value or significance. Even when their indifferent mathematical progression yields life, physical laws maintain complete control. Life has no capacity to intercede or overrule or influence the laws.
+  What life can do is facilitate groups of particles to act in concert and manifest collective behaviors that, compared to the inanimate world, are novel. The particles constituting marigolds and marbles adhere fully to nature's laws, yet marigolds grow larger and follow the sun while marbles don't. Through the force of selection, evolution takes a hand in shaping life's behavioral repertoire, favoring activities that advance survival and reproduction. Among these, ultimately, is thought. The capacity to form memories, analyze situations, and extrapolate from experience provides potent artillery in the arms race for survival. Powering a string of victories across tens of thousands of generations, thought gradually refines, resulting in thinking species that acquire various degrees of self-awareness. The wills of such beings are not free in the traditional sense of stepping outside the unfolding dictated by physical law, but their highly organized structure allows for a wealth of responses-from inner emotions to external behaviors-that, at least so far, are unavailable to collections of particles lacking life or mind.
+  Add in language, and one such self-aware species rises above the needs of the moment to see itself as part of an unfolding from past to future. With that, winning the battle is no longer the only concern. We are no longer satisfied to merely survive. We want to know why survival is significant. We seek context. We search for relevance. We assign value. We judge behavior. We pursue meaning.
+
+  And so we develop explanations of how the universe came to be and how it might end. We tell and retell stories of minds making their way through worlds, real and fanciful. We imagine realms populated by departed ancestors or semi-powerful or all-powerful beings that reduce death to a stepping-stone in an ongoing existence. We paint and carve and etch and sing and dance to touch these other realms, or to pay homage to them, or simply to imprint the future with something that attests to our brief time in the sun. Perhaps these passions take hold and become part of what it means to be human because they enhance survival. Stories prepare the mind for responding to the unexpected; art develops imagination and innovation; music sharpens sensitivity to pattern; religion binds adherents into strong coalitions. Or perhaps the explanation is less lofty: some or all of the activities may emerge and persist because they leverage or tag along with other behaviors and responses that have played a more direct role in advancing survival. But even with their evolutionary origin still fodder for debate, these aspects of human behavior manifest a widespread need to step beyond the mere eking out of transitory survival. They reveal a pervasive longing to be part of something larger, something lasting. Value and meaning, decidedly absent from the bedrock of reality, become intrinsic to a restless urge that elevates us above indifferent nature.
+Mortality and Significance
+Whereas Gottfried Leibniz wondered why there is something rather than nothing, the deeply personal dilemma is that self-aware somethings, like us, subsequently dissolve into nothing. To acquire a temporal perspective is to realize that the vibrant activity animating one's own mind will one day cease.
+  Against the backdrop of that awareness, the previous chapters have explored the full expanse of time from our best understanding of its beginning to the closest our mathematical theories can take us to its end. Will our understanding continue to develop? Of course. Will details, some minor and others significant, be enhanced or replaced? No doubt. But the rhythm of birth and death, emergence and disintegration, creation and destruction that we've witnessed playing out along the timeline will persist. The entropic two-step and the evolutionary forces of selection enrich the pathway from order to disorder with prodigious structure, but whether stars or black holes, planets or people, molecules or atoms, things ultimately fall apart. Longevity varies widely. Yet the fact that we will all die, and the fact that the human species will die, and the fact that life and mind, at least in this universe, are virtually certain to die are expected, run-of-the mill, long-term outcomes of physical law. The only novelty is that we notice.
+
+  A frequent if fraught expectation, lightly entertained by many and intensely pursued by some, is that we would be entirely better off if death would bow out of human proceedings altogether. From ancient myth to modern fiction, thinkers have pondered the possibility. Perhaps it's telling that in these excursions things don't always turn out so well. The immortals in Jonathan Swift's land of Luggnagg continue to age and are declared legally dead at eighty as they drift into irrelevance. Having endured for more than three hundred years, Karel Čapek's heroine Elina Makropulos allows the formula for a life-extending elixir to go up in flames rather than continue on in a state of profound boredom. Living in an endless world absent death, writes the protagonist in Jorge Luis Borges's "The Immortal," "no one is anyone, one single immortal man is all men...I am god, I am hero, I am philosopher, I am demon and I am world, which is a tedious way of saying that I do not exist."4
+  Philosophers have treaded in these waters too, offering systematic assessments of life in a world without death. Some, like Bernard Williams, who was inspired by Karl Janacek's operatic adaptation of Čapek's play, reach similarly gloomy conclusions.5 Williams argues that with endless time each of us would satiate every objective that drives us onward, leaving us listless in the face of a mind-numbingly monotonous eternity. Others, like Aaron Smuts, inspired in part by Borges's story, contend that immortality would drain the decisions that shape a human life-how to spend one's time and with whom-of the consequences essential to their significance. Make the wrong choice? No problem. You've got eternity to make it right. The satisfaction of achievement would also fall victim to immortality. Those with limited abilities would reach their potential and then experience eternal frustration; those with abilities capable of deepening without limit would be guaranteed to improve continually, deflating the sense of accomplishment that comes from outperforming expectations.6
+
+  Notwithstanding these concerns, I suspect that we are sufficiently resourceful-and endowed with endless time we would become all the more so-to grow into thoroughly well-adjusted immortals. Our needs and capacities would likely transform beyond recognition, rendering assessments based on what keeps us engaged and motivated in the here and now of little or no relevance. Should everlasting joie de vivre require a different flavor of joie, we would find it or invent it or develop it. This is no more than a hunch, of course, but to conclude that we would necessarily grow bored suggests an unduly parochial vision of the immortal mind.
+  While science will continue to extend life spans, our trek to the far future suggests that immortality will forever remain beyond reach. Despite that, thinking about life that never ends clarifies the relevance of life that does. The imagined fate of value and significance in an immortal world makes clear that in a mortal one understanding a great many of our decisions, choices, experiences, and reactions requires seeing them in the context of limited opportunity and finite duration. Not that we spring to our feet each morning wailing "Carpe diem!" but the deep-seated knowledge that there are just so many mornings when we will rise at all instills an intuitive calculus of value, one that would be very different in a world with unlimited do-overs. The explanations we give for the subjects we study, the trades we learn, the work we pursue, the risks we take, the partners we join, the families we build, the objectives we set, the concerns we entertain-all reflect the recognition that our opportunities are scarce because our time is limited.
+  We each respond to that recognition in our own way, but there are common qualities that run through the human sense of value. Among these is a surprisingly strong yet often unspoken need for a future populated by descendants who will carry on after we are gone.
+ 
+Descendants
+Many years ago I was asked to participate in a post-performance talkback with the audience of an off-Broadway show in which a collection of characters realize that earth will shortly be destroyed by an asteroid. My fellow discussant was my brother; the producers anticipated that commentary on the end of the world from siblings whose lives had followed divergent but relevant paths-one immersed in science and the other religion-would be a crowd-pleaser. Frankly, I didn't think much about the issues before the event, and in those days I was a good deal more susceptible to the energy of an audience. The more my brother veered toward ethereal realms, the more blunt I became. "Earth is a pedestrian planet orbiting an unremarkable star in the suburbs of an ordinary galaxy. If we're taken out by an asteroid, the universe won't so much as blink. In the grand scheme of things, it just won't matter." The starkness was welcomed by some, I presume those who identified as no-nonsense skeptics bravely facing up to the realities of existence. But for others, regrettably, my remarks came off as smug. Well, at least one audience member felt that way: an elderly woman who chided me for running roughshod over what she described as an essential need we all have for the species to continue. "Which news would affect you more," she asked, "being told you have a year to live or that in a year earth will be destroyed?"
+  At the time I said something facile about it depending on whether either outcome would entail physical pain, but later, as I mulled the question over, I found it unexpectedly illuminating. A terminal prognosis affects people in different ways-focusing attention, providing perspective, stoking regret, fueling panic, delivering composure, inspiring epiphany. I anticipated that my own reaction would lie somewhere among these. But the prospect that earth and all of humankind would be wiped out triggered a different kind of reaction. The news would make everything seem rather pointless. Whereas my own impending end would heighten intensity, endowing with significance moments that might have otherwise receded into the daily humdrum, contemplating the end of the entire species seemed to do the opposite, yielding a sense of futility. Would I still get up in the morning and want to pursue research in physics? Maybe for the comfort of doing something familiar, but with no one left to build on today's discoveries, the pull of advancing knowledge would weaken. Would I finish the book I was writing? Maybe for the satisfaction of tying up loose ends, but with no one to read the finished work motivation would run thin. Would I still send my kids to school? Maybe for the calm offered by routine, but with no future what would they be preparing for?
+
+  I found the contrast with how I would react to learning the date of my own demise surprising. While one realization seemed to intensify awareness of life's value, the other seemed to drain it away. In the years since, this realization has helped shape my thinking about the future. I had long since had my youthful epiphany regarding the capacity of mathematics and physics to transcend time; I was already convinced of the existential significance of the future. But my image of that future was abstract. It was a land of equations and theorems and laws, not a place populated with rocks and trees and people. I am not a Platonist but, still, I implicitly envisioned mathematics and physics transcending not only time, but also the usual trappings of material reality. The doomsday scenario refined my thinking, making it patently evident that our equations and theorems and laws, even if they tap into fundamental truths, have no intrinsic value. They are, after all, a collection of lines and squiggles drawn on blackboards and printed in journals and textbooks. Their value derives from those who understand and appreciate them. Their worth derives from the minds they inhabit.
+  This refinement in thinking went far beyond the role of equations. By leading me to imagine a future bereft of anyone to receive all that we value, absent anyone to add their own iconic imprint and pass it on to future generations, the doomsday scenario revealed how hollow that future would feel. While immortality of the individual may sap significance, immortality of the species seems necessary to secure it.
+
+  I can't be sure how widespread this reaction to news of an impending end would be, but I suspect it would be common. Philosopher Samuel Scheffler recently initiated scholarly investigation of the issue, exploring a variant of the question posed to me decades ago. How would you respond, Scheffler asks, if you learned that thirty days after your own death everyone remaining would be obliterated? It's a more revealing version of the scenario as it excises one's own premature mortality and so shines a tighter spotlight on the role of descendants in anchoring value. Scheffler's carefully reasoned conclusion resonates with my own informal musings:
+Our concerns and commitments, our values and judgments of importance, our sense of what matters and what is worth doing-all these things are formed and sustained against a background in which it is taken for granted that human life is itself a thriving, ongoing enterprise...We need humanity to have a future for the very idea that things matter to retain a secure place in our conceptual repertoire.7
+  Other philosophers have weighed in too, providing opinions that delineate a wider range of perspectives. Susan Wolf suggests that recognition of our shared fate might elevate the care for others to newfound heights, but even so, she concurs that our vision of a future populated by humans is essential to the value we ascribe to our undertakings.8 Harry Frankfurt offers a different view, suggesting that many things we value would be unaffected by the doomsday scenario, most prominently artistic pursuits and scientific research. The intrinsic gratification of these activities, he believes, would be enough for many to keep at it. I've already given my contrarian view regarding scientific research, which serves to emphasize a related point, obvious but telling: people will respond to the news in different ways.9 The best we can do is envision dominant trends. For me, and many others too, to engage in creative pursuits and scholarly undertakings is to feel part of a long, rich, and ongoing human dialogue. Even if a given physics paper I write does not set the world on fire, the paper nevertheless makes me feel part of the conversation. Yet, if I know that I am the last to speak, and if I know that there will be no one in the future to reflect on what I say, I'm left wondering why I should bother.
+
+  In Scheffler's scenario, as well as in the question I was asked years earlier, the doomsdays are hypothetical but the timescales for the world's destruction are easily grasped. In this book, the doomsdays we've explored are genuine but their timescales make them extraordinarily remote. Does this change of scale, a colossal change at that, affect the conclusions? It's an issue that both Scheffler and Wolf consider, entertainingly framed by the wonderful scene in Annie Hall in which nine-year-old Alvy Singer has concluded that there's no point in doing homework given that in a few billion years the expanding universe will break apart and destroy everything. Alvy's shrink, let alone his mother, considers Alvy's concern ludicrous. Audiences laugh because they regard Alvy's worry as farcical. Scheffler shares these intuitions yet notes that he does not have a fundamental justification for why we think it reasonable to have an existential crisis in the face of imminent destruction but silly to do so when such destruction is far in the future. He chalks it up to the difficulty we have grasping timescales that are vastly beyond the range of human experience. Wolf agrees, noting that if the immediate demise of humanity would render life meaningless, then the same should be true even if the end is far off. Indeed, as she notes, on cosmic timescales the delay of a few billion years is not long at all.
+  I agree. Forcefully so.
+  As we've seen repeatedly, the notion of a duration being long or short has no absolute meaning. Long or short is a matter of perspective. The time represented by the observation deck of the Empire State Building, floor 86, is enormous by everyday standards, but comparing that duration to the time represented by floor 100 is like comparing the blink of an eye to ten thousand centuries. Our familiar human perspective leads us to judgments that while relevant are also parochial. Because of this, I view the scenario of imminent demise as no more than a tool that employs artificial urgency to catalyze an authentic response. The intuition we glean remains relevant to an end that awaits our descendants in the far future; that future, viewed from a larger context, is a moment away.
+
+  While it is indeed challenging to internalize timescales that are significantly beyond anything we experience, the journey we've taken in this book has populated the cosmic timeline with landmarks that serve to make the abstract concrete. I can't say that I have an innate sense of the timescales marked out along the metaphor of the Empire State Building in the same way that I sense the timescales of daily life or those of my generation or even a few generations, but the sequence of transformative events we have explored provides handholds for grasping the future. There is no need to chant, and a lotus position is optional, but if you find a quiet place and let your mind slowly and freely float along the cosmic timeline, moving through and then past our epoch, past the era of distant receding galaxies, past the era of stately solar systems, past the era of graceful swirling galaxies, past the era of burnt-out stars and wandering planets, past the era of glowing and disintegrating black holes, and onward to a cold, dark, nearly empty but potentially limitless expanse-in which the evidence that we once existed amounts to an isolated particle located here instead of there or another isolated particle moving this way instead of that-and if you are at all like me and let that reality fully settle in, the fact that we've traveled fantastically far into the future hardly diminishes the shuddering yet awestruck feeling that wells up inside. Indeed, in one essential way, the enormous sweep of time only adds weight to the nearly unbearable lightness of being; compared to the timescale we've reached, the epoch of life and mind is infinitesimal. By today's scales, its entire span, from the earliest microbes to the final thought, would be less than the duration required for light to traverse an atomic nucleus. The entire duration of human activity-whether we annihilate ourselves in the next few centuries, are wiped out by a natural disaster in the next few millennia, or somehow find a way to carry on until the death of the sun, the end of the Milky Way, or even the demise of complex matter-would be more fleeting still.
+  We are ephemeral. We are evanescent.
+  Yet our moment is rare and extraordinary, a recognition that allows us to make life's impermanence and the scarcity of self-reflective awareness the basis for value and a foundation for gratitude. While we may long for a perdurable legacy, the clarity we gain from exploring the cosmic timeline reveals that this is out of reach. But that very same clarity underscores how utterly wondrous it is that a small collection of the universe's particles can rise up, examine themselves and the reality they inhabit, determine just how transitory they are, and with a flitting burst of activity create beauty, establish connection, and illuminate mystery.
+ 
+Meaning
+Most of us deal quietly with the need to lift ourselves beyond the everyday. Most of us allow civilization to shield us from the realization that we are part of a world that, when we're gone, will hum along, barely missing a beat. We focus our energy on what we can control. We build community. We participate. We care. We laugh. We cherish. We comfort. We grieve. We love. We celebrate. We consecrate. We regret. We thrill to achievement, sometimes our own, sometimes of those we respect or idolize.
+  Through it all, we grow accustomed to looking out to the world to find something to excite or soothe, to hold our attention or whisk us to someplace new. Yet the scientific journey we've taken suggests strongly that the universe does not exist to provide an arena for life and mind to flourish. Life and mind are simply a couple of things that happen to happen. Until they don't. I used to imagine that by studying the universe, by peeling it apart figuratively and literally, we would answer enough of the how questions to catch a glimpse of the answers to the whys. But the more we learn, the more that stance seems to face in the wrong direction. Looking for the universe to hug us, its transient conscious squatters, is understandable, but that's just not what the universe does.
+  Even so, to see our moment in context is to realize that our existence is astonishing. Rerun the big bang but slightly shift this particle's position or that field's value, and for virtually any fiddling the new cosmic unfolding will not include you or me or the human species or planet earth or anything else we value deeply. If a super intelligence were to look at the new universe as a whole, much as we look at a collection of tossed pennies as a whole or the air we're now breathing as a whole, it would conclude that the new universe pretty much looks the same as the original. For us, it would be vastly different. There wouldn't be an "us" to notice. By shifting our attention away from fine details, entropy has provided an essential organizing principle for grasping the large-scale trends in how things transform. But whereas we generally don't care if this penny is heads or that tails, or if one particular oxygen molecule happens to be here or there, there are certain fine details that we do care about. Profoundly so. We exist because our specific particulate arrangements won the battle against an astounding assortment of other arrangements all vying to be realized. By the grace of random chance, funneled through nature's laws, we are here.
+
+  It is a realization that echoes across each stage of human and cosmic development. Think of what Richard Dawkins described as the nearly infinite collection of potential people, would-be carriers of the nearly infinite collection of base pair sequences in DNA, none of whom will ever be born. Or think of the moments constituting cosmic history, from the big bang through your birth and on to today, filled with quantum processes whose relentless probabilistic progression at each of a nearly limitless collection of junctures could have yielded that outcome instead of this, resulting in an equally sensible universe but one that would not include you or me.10 And yet, with this astronomical number of possibilities, against astonishing odds, your sequence of base pairs and mine, your molecular combination and mine now exist. How spectacularly unlikely. How thrillingly magnificent.
+  And the gift is greater still: our particular molecular combinations, our specific chemical and biological and neurological arrangements, give us the enviable powers that have occupied much of our attention in earlier chapters. Whereas most life, miraculous in its own right, is tethered to the immediate, we can step outside of time. We can think about the past, we can imagine the future. We can take in the universe, we can process it, we can explore it with mind and body, with reason and emotion. From our lonely corner of the cosmos we have used creativity and imagination to shape words and images and structures and sounds to express our longings and frustrations, our confusions and revelations, our failures and triumphs. We have used ingenuity and perseverance to touch the very limits of outer and inner space, determining fundamental laws that govern how stars shine and light travels, how time elapses and space expands-laws that allow us to peer back to the briefest moment after the universe began and then shift our gaze and contemplate its end.
+
+  Accompanying these breathtaking insights are deep and persistent questions. Why is there something rather than nothing? What sparked the onset of life? How did conscious awareness emerge? We have explored a range of speculations, but definitive answers remain elusive. Perhaps our brains, well adapted for survival on planet earth, are just not structured for resolving these mysteries. Or perhaps, as our intelligence continues to evolve, our engagement with reality will acquire a wholly different character, with the result that today's towering questions become irrelevant. While either is possible, the fact that the world as we now understand it, remaining mysteries and all, holds together with such a tight mathematical and logical coherence, and the fact that we have been able to decipher so much of that coherence, suggests to me that neither is the case. We are not lacking the brainpower. We are not staring at Plato's wall, unaware of a radically different kind of truth, just beyond reach, with the power to suddenly provide startling new clarity.
+  As we hurtle toward a cold and barren cosmos, we must accept that there is no grand design. Particles are not endowed with purpose. There is no final answer hovering in the depths of space awaiting discovery. Instead, certain special collections of particles can think and feel and reflect, and within these subjective worlds they can create purpose. And so, in our quest to fathom the human condition, the only direction to look is inward. That is the noble direction to look. It is a direction that forgoes ready-made answers and turns to the highly personal journey of constructing our own meaning. It is a direction that leads to the very heart of creative expression and the source of our most resonant narratives. Science is a powerful, exquisite tool for grasping an external reality. But within that rubric, within that understanding, everything else is the human species contemplating itself, grasping what it needs to carry on, and telling a story that reverberates into the darkness, a story carved of sound and etched into silence, a story that, at its best, stirs the soul.
+
+ 
+ 
+Acknowledgments
+I am grateful to the many people who provided invaluable feedback while I was writing Until the End of Time. For thoughtfully reading the manuscript, sometimes more than once, and offering perspectives, criticisms, and suggestions that substantially enhanced the presentation, I owe great thanks to Raphael Gunner, Ken Vineberg, Tracy Day, Michael Douglas, Saakshi Dulani, Richard Easther, Joshua Greene, Wendy Greene, Raphael Kasper, Eric Lupfer, Markus Pössel, Bob Shaye, and Doron Weber. For carefully reading and responding to particular sections or chapters, and/or answering queries, I thank David Albert, Andreas Albrecht, Barry Barish, Michael Bassett, Jesse Bering, Brian Boyd, Pascal Boyer, Vicki Carstens, David Chalmers, Judith Cox, Dean Eliott, Jeremy England, Stuart Firestein, Michael Graziano, Sandra Kaufmann, Will Kinney, Andrei Linde, Avi Loeb, Samir Mathur, Peter de Menocal, Brian Metzger, Ali Mousami, Phil Nelson, Maulik Parikh, Steven Pinker, Adam Riess, Benjamin Smith, Sheldon Solomon, Paul Steinhardt, Giulio Tononi, John Valley, and Alex Vilenkin. I thank the entire team at Knopf, including copy editor Amy Ryan, assistant editor Andrew Weber, designer Chip Kidd, production editor Rita Madrigal, and my editor, Edward Kastenmeier, who offered many deeply insightful suggestions and, together with my agent, Eric Simonoff, thoroughly supported the project at every stage of development. Finally, my heartfelt gratitude for the steadfast love and support of my family: my mother, Rita Greene; my siblings, Wendy Greene, Susan Greene, and Joshua Greene; my children, Alec Day Greene and Sophia Day Greene; and my wonderful wife and dearest friend, Tracy Day.
+
+ 
+ 
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-Your Federal Publication 17 For use in preparing Income Tax 2025 Returns For Individuals
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-2025 TAX GUIDE
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-Get forms and other information faster and easier at:
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-• IRS.gov (English) • IRS.gov/Chinese (中文) • IRS.gov/Russian (Pусский)
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-• IRS.gov/Spanish (Español) • IRS.gov/Korean (한국어) • IRS.gov/Vietnamese (Tiếng Việt)
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-Publication 17 (2025) Catalog Number 10311G
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-Jan 13, 2026 Department of the Treasury Internal Revenue Service www.irs.gov
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-Your Federal
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-Income Tax
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-For Individuals
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-Contents
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-What’s New . . . . . . . . . . . . . . . . . . . . . . . 1 11 Taxes . . . . . . . . . . . . . . . . . . . . . . 96
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-12 Other Itemized Deductions . . . . . . . . . 101
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-Reminders . . . . . . . . . . . . . . . . . . . . . . . . 2
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-Part Four. Figuring Your Taxes, and
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-Introduction . . . . . . . . . . . . . . . . . . . . . . . 3 Refundable and Nonrefundable Credits . . 106
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-Part One. The Income Tax Return . . . . . . . . . . 6 14 Child Tax Credit and Credit for Other 13 How To Figure Your Tax . . . . . . . . . . . 106
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-1 Filing Information . . . . . . . . . . . . . . . . 6 Dependents . . . . . . . . . . . . . . . . . 108 2 Filing Status . . . . . . . . . . . . . . . . . . . 21
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-3 Dependents . . . . . . . . . . . . . . . . . . . 26 2025 Tax Table . . . . . . . . . . . . . . . . . . . . . 111
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-4 Tax Withholding and Estimated Tax . . . . . 37
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-2025 Tax Computation Worksheet . . . . . . . . 123
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-Part Two. Income and Adjustments
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-to Income . . . . . . . . . . . . . . . . . . . . . 46 2025 Tax Rate Schedules . . . . . . . . . . . . . . 124
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-6 Interest Income Your Rights as a Taxpayer . . . . . . . . . . . . . 126 . . . . . . . . . . . . . . . . . 5 Wages, Salaries, and Other Earnings . . . . 47
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-54
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-7 Social Security and Equivalent Railroad How To Get Tax Help . . . . . . . . . . . . . . . . . 127 Retirement Benefits . . . . . . . . . . . . . .
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-62
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-8 Other Income . . . . . . . . . . . . . . . . . . 66 Index . . . . . . . . . . . . . . . . . . . . . . . . . . 129 9 Individual Retirement Arrangements
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-(IRAs) . . . . . . . . . . . . . . . . . . . . . 77 Where To File . . . . . . . . . . . . . . . . . . . . . 140
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-Part Three. Standard Deduction, Itemized
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-Deductions, and Other Deductions . . . . . . 92
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-10 Standard Deduction . . . . . . . . . . . . . . 92
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-All material in this The explanations and examples in this publication This publication covers some subjects on which a publication may be reflect the interpretation by the Internal Revenue Service court may have made a decision more favorable to reprinted freely. A (IRS) of: taxpayers than the interpretation by the IRS. Until these
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-citation to Your Federal differing interpretations are resolved by higher court • Tax laws enacted by Congress, Income Tax (2025) decisions or in some other way, this publication will • Treasury regulations, and would be appropriate. continue to present the interpretations by the IRS.
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-• Court decisions. All taxpayers have important rights when working with
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-However, the information given does not cover every a Taxpayer the IRS. These rights are described under Your Rights as in the back of this publication.
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-situation and is not intended to replace the law or change
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-its meaning.
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-What’s New
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-This section summarizes important Main home was in the United direct deposit for any refunds. The eligible for an enhanced se-tax changes that took effect in States. If your main home (and IRS recommends paying electroni- nior deduction. Your deduc-2025. Most of these changes are spouse if filing a joint return) was in cally whenever possible. Options tion will be limited if your discussed in more detail the United States for over half of to pay electronically include using modified adjusted gross in-
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-throughout this publication. 2025, check the box on the front of your bank account with Direct Pay, come is more than $75,000
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-Future developments. For the Form 1040 or 1040-SR. Providing your debit or credit card, your digi- ($150,000 if married filing this information will help the IRS tal wallet, or your online account. jointly). To be eligible, you latest information about the tax law determine your eligibility for certain Go to IRS.gov/Payments to see all and/or your spouse must have topics covered in this publication, tax benefits, including the earned your payment options. Also, see a valid SSN. If you are mar- such as legislation enacted after it income credit. ModernPayments . ried, you must file a joint re- was published, go to IRS.gov/ turn. The maximum amount of Pub17 . Changes to the Dependents New deductions for itemizers the deduction is $6,000 section. The Dependents section Who must file. Generally, the and non-itemizers. Recent legis- ($12,000 if both spouses are now has numbered rows and asks amount of income you can receive lation provided for four new deduc- eligible). for more information about you and before you must file a return has tions that take effect beginning in your dependents. This new infor- been increased. For more informa- 2025. If you are eligible, you can Deferral of gain invested in a mation is being asked to help the tion, see chapter 1 , later. claim these deductions if you take qualified opportunity fund IRS determine your eligibility for the standard deduction or if you (QOF). Taxpayers who made a Due date of return. File Form certain tax benefits, including the itemize on Schedule A (Form deferral election in a QOF that 1040 or 1040-SR by April 15, 2026. child tax credit, the credit for other 1040). For more information on meets the 7-year holding period See chapter 1 , later. dependents, and the earned in- these deductions, see the instruc- threshold may be eligible for a ba- Trump account and new Form come credit. tions for Schedule 1-A (Form sis adjustment. See the Instruc- 4547. Recent legislation allows 1040). The new deductions are as tions for Schedule D (Form 1040); Write-in information. Beginning parents, guardians, and other au- follows. and Form 8997, Initial and Annual in 2025, most of the words, codes, thorized individuals to elect to es- Statement of Qualified Opportunity and/or dollar amounts that are • No tax on tips. You may be tablish a new type of individual re- Fund (QOF) Investments, and its used to explain an item of income eligible to take a deduction for tirement account, called a Trump instructions for additional informa- or deduction, and that you previ- qualified tips paid to you in account, for the exclusive benefit of tion regarding QOFs. ously had to enter next to specific 2025. You can’t deduct more certain children. If the child was lines, now have a dedicated check- than $25,000 of those tips. born after 2024 and before 2029, is Deferred compensation contri- box or entry space. Your deduction will be limited a U.S. citizen, and meets certain bution limit increased. If you if your modified adjusted other requirements, the authorized Death of a taxpayer. If you need participate in a 401(k) plan, 403(b) gross income is more than individual may also elect to receive to file a return for someone who plan, or the federal government’s $150,000 ($300,000 if married a $1,000 pilot program contribution died before filing a 2025 return, Thrift Savings Plan, the total an- filing jointly). To be eligible, to the child’s Trump account. Both check the “Deceased” box at the nual amount you can contribute for you and/or your spouse who elections can be made on Form top of Form 1040 or 1040-SR and 2025 is increased to: received the tips must have a 4547, which can be filed at the enter the date of death. For more • $23,500; valid social security number same time as the authorized indi- information, see Death of a Tax- (SSN). If you are married, you • $31,000 if age 50 or older; or vidual’s 2025 income tax return. payer in the Instructions for Form must file a joint return. For more information on Trump ac- 1040. • $37,750 if age 60, 61, 62, or counts, and to learn how to make • No tax on overtime. If you 63 at the end of 2025. Contributions to a governmen- these elections, see Form 4547 earned qualified overtime, you tal paid family leave program. This also applies to most sec- and its instructions. may be eligible to deduct up Beginning in 2025, if you made tion 457 plans. to $12,500 ($25,000 if married Standard deduction amount in- contributions to a governmental filing jointly) of your qualified New Schedule 1-A. A new creased. For 2025, the standard paid family leave program, you will overtime compensation. Your deduction amount has been in- schedule to Form 1040, Schedule now include the full amount of deduction will be limited if 1-A, has been created for taxpay- creased for all filers. The amounts those contributions in your income. your modified adjusted gross ers to claim a deduction for the re- are: If you itemize your deductions on income is more than $150,000 cently enacted deductions for no Schedule A (Form 1040), you can • Single or Married filing sepa- ($300,000 if married filing tax on tips, no tax on overtime, no include the amounts contributed as rately—$15,750; jointly). To be eligible, you tax on car loan interest, and the en- part of the state and local taxes • Married filing jointly or Qualify- and/or your spouse who re- hanced senior deduction. For more that you paid. ing surviving ceived the overtime must have information, see the instructions for Form 1099-DA. If, in 2025, you spouse—$31,500; and a valid SSN. If you are mar- Schedule 1-A in the Instructions for used a broker to effect the sale of a ried, you must file a joint re- Form 1040. • Head of household—$23,625. digital asset, your broker should turn. State and local tax deduction See chapter 10 , later. send you a Form 1099-DA that re- • No tax on car loan interest. ports information regarding the limit increased. The overall limit Higher catch-up contribution If you paid or accrued quali- transaction. In 2025, your broker on the deduction for state and local limit for ages 60 to 63. If, at the fied passenger vehicle loan in- has the option to report your basis income, sales, and property taxes end of 2025, you were at least age terest on a vehicle you pur- in the digital asset on Form has increased to $40,000 ($20,000 60, but younger than age 64, and chased in 2025 for personal 1099-DA but is not required to do if married filing separately). The you participated in a deferred com- use, you may be eligible to de- so. Even if you receive a Form overall limit is reduced if your modi- pensation plan (including most duct up to $10,000 of that in- 1099-DA, you must still answer the fied adjusted gross income is more 401(k), 403(b), and governmental terest. Your deduction will be digital assets question on page 1 of than $500,000 ($250,000 if married 457 plans, and the governmental limited if your modified adjus- Form 1040 or 1040-SR. For more filing separately) but will not be re- Thrift Savings Plan), a higher ted gross income is more than information, see the Instructions for duced below $10,000 ($5,000 if catch-up contribution limit may ap- $100,000 ($200,000 if married Form 1099-DA. married filing separately). For more ply to you. For 2025, this higher filing jointly). information, see the Instructions for catch-up contribution limit is Electronic payments and direct Schedule A (Form 1040). • Enhanced deduction for se- $11,250. For more information, deposit. If you have access to niors. If you were born before contact your plan administrator and U.S. banking services or electronic SSN or individual taxpayer iden- January 2, 1961, you may be see Pub. 590-A. payment systems, you should use tification number (ITIN) needed
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-Publication 17 (2025) 1 to claim the credit for other de- Schedule 2 (Form 1040) and work, your deduction for contribu- your spouse at any time dur-pendents. Beginning in 2025, to Schedule 3 (Form 1040). Also, see tions to a traditional IRA is reduced ing the year, and your modi-be eligible to claim the credit for Form 1062, Deferral of Tax on Gain (phased out) if your modified AGI fied AGI is more than zero. other dependents, you, or your From the Sale or Exchange of is: You can’t make a Roth IRA
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-spouse if filing jointly, must have a Qualified Farmland Property to contribution if your modified • More than $126,000 but less valid SSN or ITIN issued on or be-Qualified Farmers, and its instruc-AGI is $10,000 or more. See than $146,000 for a married fore the due date of your return (in-tions. Can You Contribute to a Roth couple filing a joint return or a cluding extensions). IRA in chapter 9 , later. Domestic research and experi-qualifying surviving spouse, Changes to the adoption credit. mental expenditures. Beginning 2026 modified AGI limits. You • More than $79,000 but less Recent legislation made changes in 2025, taxpayers are allowed to can find information about the 2026 than $89,000 for a single indi-to the adoption credit. Beginning in deduct domestic research and ex-contribution and modified AGI lim-vidual or head of household, 2025, the following changes apply. perimental expenditures. Alterna-its in Pub. 590-A. or tively, taxpayers may elect to • Up to $5,000 of adoption Tax law changes for 2026. When • Less than $10,000 for a mar-charge their domestic research credit is refundable. Up to you figure how much income tax ried individual filing a separate and experimental expenditures to a $5,000 of your adoption credit you want withheld from your pay return. capital account and deduct them may be refundable. The and when you figure your estima-ratably over a period of not less If you either live with your spouse amount of the refundable por-ted tax, consider tax law changes than 60 months (beginning with the or file a joint return, and your tion is determined separately effective in 2026. For more infor-month in which the taxpayers first spouse is covered by a retirement for each eligible child. mation, see Pub. 505. realize the benefits from such plan at work but you aren’t, your • Parity for Indian Tribal gov-expenditures). deduction is phased out if your Alternative minimum tax (AMT) ernments. Tribal govern-modified AGI is more than exemption amount increased. Health flexible spending ar-ments now have parity for $236,000 but less than $246,000. If The AMT exemption amount is in-rangements (health FSAs) un-special needs adoption deter-your modified AGI is $246,000 or creased to $88,100 ($137,000 if der cafeteria plans. For tax years minations. This means that more, you can’t take a deduction married filing jointly or qualifying beginning in 2025, the dollar limita-state government and Indian for contributions to a traditional surviving spouse; $68,500 if mar-tion under section 1251(i) on volun-Tribal government determina-IRA. See How Much Can You De-ried filing separately). The income tary employee salary reductions for tions of special needs are duct in chapter 9 , later. levels at which the AMT exemption contributions to health FSAs is both recognized for purposes begins to phase out have in-$3,300. of the adoption credit. For Modified AGI limit for Roth IRA creased to $626,350 ($1,252,700 if contributions. For 2025, your more information, see Form Delayed refund for returns married filing jointly or qualifying 8839, Qualified Adoption Ex-Roth IRA contribution limit is re-claiming the ACTC. The IRS can-surviving spouse). penses, and its instructions. duced (phased out) in the following not issue refunds before mid-Feb-situations. Updated reporting requirements The adoption credit and the ex-ruary 2026 for returns that properly for Form 1099-K. Payment card clusion for employer-provided claim the ACTC. This time frame • Your filing status is married fil-companies, payment apps, and on-adoption benefits are both $17,280 applies to the entire refund, not just ing jointly or qualifying surviv-line marketplaces will be required per eligible child in 2025. The the portion associated with the ing spouse and your modified to send you a Form 1099-K only if amount begins to phase out if you ACTC. AGI is at least $236,000. You the amount of your business trans-can’t make a Roth IRA contri-have modified AGI in excess of actions during the year is more Standard mileage rate. The $259,190 and is completely bution if your modified AGI is than $20,000 and the total number 2025 rate for business use of a ve-phased out if your modified AGI is $246,000 or more. hicle is 70 cents a mile. The 2025 of your transactions is more than $299,190 or more. • Your filing status is single, 200. rate for use of your vehicle to do head of household, or married Election to pay tax on farmland volunteer work for certain charita-New option for scheduled ap-filing separately and you didn’t sale or exchange in install-ble organizations is 14 cents a pointments at Taxpayer Assis-live with your spouse at any ments. If your tax year began after mile. The 2025 rate for operating tance Centers (TACs). Beginning time in 2025 and your modi-July 4, 2025, and you sold or ex-expenses for a car when you use it in 2025, taxpayers with scheduled fied AGI is at least $150,000. changed qualified farmland to a for medical reasons is 21 cents a appointments at TACs may choose You can’t make a Roth IRA qualified farmer after that date, you mile. to receive appointment confirma-contribution if your modified can elect to pay the net income tax tions, reminders, and cancellation Modified adjusted gross income AGI is $165,000 or more. liability on the sale or exchange in notices directly via text message (AGI) limit for traditional IRA four equal installments. For more • Your filing status is married fil-on their mobile devices. contributions. For 2025, if you information, see the instructions for ing separately, you lived with are covered by a retirement plan at
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-Reminders
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-Listed below are important theft and how to reduce your risk exceed 400% of the federal poverty provided only to the person who le-
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-reminders and other items that may from it, see chapter 1, later. line and generally increases the gally has a right to the data. Tax-help you file your 2025 tax return. Taxpayer identification numbers credit amounts. For more informa- payers using the new mo-Many of these items are explained (TINs). You must provide the TIN tion, see Pub. 974 and Form 8962 bile-friendly verification procedure in more detail later in this for each person for whom you and its instructions. can gain entry to existing IRS on-
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-publication. claim certain tax benefits. This ap- line services such as the Child Tax Identity verification. The IRS Secure your tax records from plies even if the person was born in Credit Update Portal, Online Ac-launched an improved identity veri-identity theft. Identity theft occurs 2025. Generally, this number is the count, Get Transcript Online, Get fication and sign-in process that when someone uses your personal person’s SSN. See chapter 1 , later. an Identity Protection PIN (IP PIN), enables more people to securely information, such as your name, Additional child tax credit and Online Payment Agreement. access and use IRS online tools SSN, or other identifying informa-(ACTC) amount. The maximum Additional IRS applications will and applications. To provide verifi-tion, without your permission, to ACTC amount is $1,700 for each transition to the new method over cation services, the IRS is using commit fraud or other crimes. An qualifying child. the next year. Each online service ID.me, a trusted technology pro-identity thief may use your SSN to Premium tax credit (PTC). The will also provide information that vider. The new process is one get a job or may file a tax return us-ARP expanded the PTC by will instruct taxpayers on the steps more step the IRS is taking to en-ing your SSN to receive a refund. eliminating the limitation that a tax-they need to follow for access to sure that taxpayer information is For more information about identity payer’s household income may not
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-2 Publication 17 (2025) the service. You can also see Automatic 6-month extension to penalty for filing a frivolous tax re- do not receive it; and whether your
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-IR-2021-228 for more information. file tax return. You can get an au- turn is $5,000. See chapter 1, later. response is voluntary, required to
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-ACTC and bona fide residents Filing erroneous claim for re-tomatic 6-month extension of time obtain a benefit, or mandatory un-
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-of Puerto Rico. Bona fide resi- fund or credit. You may have to to file your tax return. See chap- der the law. A complete statement
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-dents of Puerto Rico are no longer pay a penalty if you file an errone-ter 1, later. on this subject can be found in your
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-required to have three or more Payment of taxes. You can pay tax form instructions. ous claim for refund or credit. See
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-ble to claim the ACTC if they have vice using the IRS2Go app; or in they prepare and file. Your preparer You must authenticate your identity. cash, or by check or money order. may make you aware of this re- To securely log into your federal tax one or more qualifying children. Paying electronically is quick, easy, quirement and the options availa- account, go to IRS.gov/Account . and faster than mailing in a check claim the ACTC. Bona fide resi- payments online; from a mobile de- paid preparers must e-file returns Access your online account. dents of Puerto Rico may be eligi-qualifying children to be eligible to your taxes by making electronic chapter 1, later. Preparer e-file mandate. Most
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-are a U.S. citizen with income from chapter 1, Treasury Inspector General for your last 5 years of payment his- later. sources outside the United States Foreign-source income. If you View the amount you owe, review or money order. See ble to you.
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-tory, access online payment op- Tax Administration. If you want
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-(foreign income), you must report Faster ways to file your return. tions, and create or modify an on- to confidentially report misconduct, all such income on your tax return The IRS offers fast, accurate ways line payment agreement. You can waste, fraud, or abuse by an IRS unless it is exempt by law or a tax to file your tax return information also access your tax records on- employee, you can call
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-and whether or not you receive a chapter 1, later. have a speech disability, and are need health care coverage, go to using TTY/TDD equipment). You Form W-2 or Form 1099 from the Free electronic filing. You may HealthCare.gov to learn about can remain anonymous. foreign payer. This applies to be able to file your 2025 taxes on- health insurance options for you earned income (such as wages inside or outside the United States You can use IRS e-file (electronic if you are deaf, hard of hearing, or Health care coverage. If you filing). See treaty. This is true whether you live without filing a paper tax return. line. 800-366-4484 (call 800-877-8339
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-and tips) as well as unearned in- insurance, and how you might line for free. See chapter 1, later. and your family, how to buy health Photographs of missing chil-come (such as interest, dividends, Change of address. If you qualify to get financial assistance dren. The IRS is a proud partner
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-capital gains, pensions, rents, and change your address, notify the to buy health insurance. with the National Center for
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-royalties). IRS. See Missing & Exploited Children® chapter 1, later. (NCMEC)
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-States, you may be able to exclude Refund on a late-filed return. If children selected by the Center perwork Reduction Act informa- you were due a refund but you did If you live outside the United Disclosure, Privacy Act, and Pa- . Photographs of missing
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-part or all of your foreign earned in- tion. The IRS Restructuring and not file a return, you must generally may appear in this publication on
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-come. For details, see Pub. 54. Reform Act of 1998, the Privacy pages that would otherwise be file your return within 3 years from blank. You can help bring these Act of 1974, and the Paperwork the date the return was due (includ-
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-2025, you may have to file Form chapter 1, later. 1-800-THE-LOST we must first tell you what our legal (1-800-843-5678) if you recognize 8938 with your return. See Form Frivolous tax returns. The IRS right is to ask for the information; a child. 8938 and its instructions or go to has published a list of positions why we are asking for it; how it will IRS.gov/Form8938 had foreign financial assets in ing extensions) to get that refund. photographs and calling when we ask you for information, See Foreign financial assets. If you Reduction Act of 1980 require that children home by looking at the
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-for details. that are identified as frivolous. The be used; what could happen if we
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-Introduction
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-This publication covers the general 1. Who must file a return, Icons. Small graphic symbols, Help from the IRS. There are
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-rules for filing a federal income tax or icons, are used to draw your at- many ways you can get help from 2. When the return is due, return. It supplements the informa-tention to special information. See the IRS. These are explained un-
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-tion contained in your tax form in- 3. How to e-file your return, and Table 1 for an explanation of each der How To Get Tax Help at the
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-structions. It explains the tax law to icon used in this publication. end of this publication. 4. Other general information. make sure you pay only the tax you What is not covered in this pub-Comments and suggestions. owe and no more. It will help you identify which filing lication. Some material that you We welcome your comments about status you qualify for, whether you How this publication is ar-may find helpful is not included in this publication and suggestions for can claim any dependents, and ranged. Pub. 17 closely follows this publication but can be found in future editions. whether the income you receive is Form 1040, U.S. Individual Income your tax form instructions booklet. You can send us comments taxable. The publication goes on to Tax Return, and Form 1040-SR, This includes lists of: through IRS.gov/FormComments . explain the standard deduction, the U.S. Tax Return for Seniors, and Or you can write to the Internal • Where to report certain items kinds of expenses you may be able their three Schedules 1 through 3. Revenue Service, Tax Forms and shown on information docu-to deduct, and the various kinds of Pub. 17 is divided into four parts. Publications, 1111 Constitution ments, and credits you may be able to take to Each part is further divided into Ave. NW, IR-6526, Washington, reduce your tax. chapters, most of which generally • Tax Topics you can read at DC 20224. Throughout this publication are discuss one line of the form or one IRS.gov/TaxTopics . Although we can’t respond indi-examples showing how the tax law line of one of the three schedules. If you operate your own busi-vidually to each comment received, applies in typical situations. Also The introduction at the beginning ness or have other self-employ-we do appreciate your feedback throughout this publication are of each part lists the schedule(s) ment income, such as from baby-and will consider your comments flowcharts and tables that present discussed in that part. sitting or selling crafts, see the and suggestions as we revise our tax information in an easy-to-un-The table of contents inside the following publications for more in-tax forms, instructions, and publi-derstand manner. front cover, the introduction to each formation. cations. Don’t send tax questions, Many of the subjects discussed part, and the index in the back of tax returns, or payments to the in this publication are discussed in • Pub. 334, Tax Guide for Small the publication are useful tools to above address. greater detail in other IRS publica-Business. help you find the information you tions. References to those other need. • Pub. 225, Farmer’s Tax Guide. Getting answers to your tax publications are provided for your questions. If you have a tax ques-What is in this publication. This • Pub. 587, Business Use of information. tion not answered by this publica-publication begins with the rules for Your Home. tion or the How To Get Tax Help filing a tax return. It explains: section at the end of this
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-Publication 17 (2025) 3
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-publication, go to the IRS Interac- IRS.gov/Forms to download cur- IRS.gov/OrderForms to order cur- forms and publications faster on-
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-tive Tax Assistant page at IRS.gov/ rent and prior-year forms, instruc- rent forms, instructions, and publi- line.
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-viewing the categories listed. Ordering tax forms, instruc- prior-year forms and instructions. taxpayers top-quality service by The IRS will process your order for tions, and publications. Go to by using the search feature or IRS mission. Provide America’s Help/ITA where you can find topics tions, and publications. cations; call 800-829-3676 to order
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-tions, and publications. Go to Getting tax forms, instruc- forms and publications as soon as helping them understand and meet their tax responsibilities and en- possible. Don’t resubmit requests force the law with integrity and fair- you’ve already sent us. You can get ness to all.
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-Publication 17 Changes
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-Note: This publication does not cover the topics listed in the following table. Please see the primary publication.
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-Chapter removed Title of chapter Primary source
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-6 Tip Income Pub. 531, Reporting Tip Income
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-8 Dividends and Other Distributions Pub. 550, Investment Income and
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-Expenses
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-9 Rental Income and Expenses Pub. 527, Residential Rental Property
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-(Including Rental of Vacation Homes)
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-10 Retirement Plans, Pensions, and Annuities Pub. 575, Pension and Annuity Income
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-13 Basis of Property Pub. 551, Basis of Assets
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-14 Sale of Property Pub. 550
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-15 Selling Your Home Pub. 523, Selling Your Home
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-16 Reporting Gains and Losses Pub. 550
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-18 Alimony Pub. 504, Divorced or Separated
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-Individuals
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-19 Education-Related Adjustments Pub. 970, Tax Benefits for Education
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-20 Other Adjustments to Income Pub. 463, Travel, Gift, and Car Expenses
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-22 Medical and Dental Expenses Pub. 502, Medical and Dental Expenses
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-24 Interest Expense Pub. 550
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-Pub. 936, Home Mortgage Interest
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-Deduction
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-25 Charitable Contributions Pub. 561, Determining the Value of
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-Donated Property
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-Pub. 526, Charitable Contributions
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-26 Nonbusiness Casualty and Theft Losses Pub. 547, Casualties, Disasters, and Thefts
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-29 Tax on Unearned Income of Certain Minor Form 8615, Tax for Certain Children Who
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-Children Have Unearned Income
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-30 Child and Dependent Care Credit Pub. 503, Child and Dependent Care
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-Expenses
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-31 Credit for the Elderly or the Disabled Schedule R (Form 1040), Credit for the
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-Elderly or the Disabled
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-33 Education Credits Pub. 970
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-34 Earned Income Credit (EIC) Pub. 596, Earned Income Credit (EIC)
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-35 Premium Tax Credit Pub. 974, Premium Tax Credit (PTC)
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-36 Other Credits
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-4 Publication 17 (2025) Table 1. Legend of Icons
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-Icon Explanation
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-! Items that may cause you particular problems, or an alert about pending legislation that may be enacted after
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-CAUTION this publication goes to print.
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-An Internet site or an email address.
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-An address you may need.
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-Items you should keep in your personal records.
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-RECORDS
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-Items you may need to figure or a worksheet you may need to complete and keep for your records.
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-An important phone number.
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-TIP Helpful information you may need.
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-Publication 17 (2025) 5 Part One.
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-The Income Tax The four chapters in this part provide basic information on the tax system.
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-They take you through the first steps of filling out a tax return. They also
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-Return provide information about dependents, and discuss recordkeeping
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-requirements, IRS e-file (electronic filing), certain penalties, and the two methods used to pay tax during the year: withholding and estimated tax.
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-The Form 1040 and 1040-SR schedules that are discussed in these chapters are:
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-• Schedule 1, Additional Income and Adjustments to Income; and
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-• Schedule 3, Part II, Other Payments and Refundable Credits.
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-• Make a payment, view 5 years of payment in a combat zone, or if you served in a combat
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-1. history and any pending or scheduled pay- zone in support of the Armed Forces. See Indi-
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-ments. viduals Serving in Combat Zone, later, under
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-• When Do I Have To File. Access your tax records, including key
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-Filing data from your most recent tax return, your Adoption taxpayer identification number. If
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-economic impact payment amounts, and a child has been placed in your home for purpo-
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-transcripts. ses of legal adoption and you won’t be able to
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-Information • get a social security number for the child in time View digital copies of select notices from to file your return, you may be able to get an the IRS. adoption taxpayer identification number (ATIN). • Approve or reject authorization requests For more information, see Social Security Num- from tax professionals. ber (SSN) , later. What’s New • View your address on file or manage your Taxpayer identification number for aliens. If communication preferences. you or your dependent is a nonresident or resi- Due date of return. File Form 1040 or • Go to IRS.gov/SecureAccess to view the dent alien who doesn’t have and isn’t eligible to 1040-SR by April 15, 2026. required identity authentication process. get a social security number, file Form W-7, Ap-
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-Who must file. Generally, the amount of in- plication for IRS Individual Taxpayer Identifica- Change of address. If you change your ad- tion Number, with the IRS. For more informa- come you can receive before you must file a re- dress, you should notify the IRS. You can use tion, see Social Security Number (SSN) , later. turn has been increased. See Table 1-1 , Ta- Form 8822 to notify the IRS of the change. See ble 1-2 , and Table 1-3 for the specific amounts. Change of Address , later, under What Happens Individual taxpayer identification number After I File. Trump accounts and new Form 4547. Re- (ITIN) renewal. Some ITINs must be renewed. If you haven’t used your ITIN on a U.S. tax re- cent legislation allows parents, guardians, and Enter your social security number. You must turn at least once for tax years 2022, 2023, or other authorized individuals to elect to establish enter your social security number (SSN) in the 2024, it has expired and must be renewed if you a new type of individual retirement account, spaces provided on your tax return. If you file a called a Trump account, for the exclusive benefit need to file a U.S. federal tax return. You don’t joint return, enter the SSNs in the same order of certain children. If the child was born after as the names. need to renew your ITIN if you don’t need to file a federal tax return. You can find more informa- 2024 and before 2029, is a U.S. citizen, and Direct deposit of refund. Have your refund meets certain other requirements, the author- tion at IRS.gov/ITIN . deposited directly into your account at a bank or ized individual may also elect to receive a other financial institution. See Direct Deposit Frivolous tax submissions. The IRS has $1,000 pilot program contribution to the child’s under Refunds, later. If you choose direct de- published a list of positions that are identified as Trump account. Both elections can be made on posit of your refund, you may be able to split the frivolous. The penalty for filing a frivolous tax re- Form 4547, which can be filed at the same time refund among two or three accounts. turn is $5,000. Also, the $5,000 penalty will ap- as the authorized individual’s 2025 income tax ply to other specified frivolous submissions. For return. For more information on Trump ac- Pay online or by phone. If you owe additional more information, see Civil Penalties , later. counts, and to learn how to make these elec- tax, you may be able to pay online or by phone.
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-tions, see Form 4547 and its instructions. See How To Pay, later.
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-Reminders full amount due with your return, you may ask to make monthly installment payments. See Installment agreement. If you can’t pay the Introduction
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-In- This chapter discusses the following topics.
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-File online. E-filing is safe and secure and you stallment Agreement, later, under Amount You • Whether you have to file a return. Owe. You may be able to apply online for a pay-may be able to e-file for free. For more informa-ment agreement if you owe federal tax, interest, • How to file electronically. tion, see File Electronically , later. and penalties. • How to file for free. Access your online account (individual tax-Automatic 6-month extension. You can get • When, how, and where to file your return. payers only). Go to IRS.gov/Account to se-an automatic 6-month extension to file your tax curely access information about your federal tax • What happens if you pay too little or too return if, no later than the date your return is account. much tax. due, you request an extension. See Automatic • • View the amount you owe and a break-Extension , later. What records you should keep and how down by tax year. long you should keep them. Service in combat zone. You are allowed ex-• See payment plan details or apply for a tra time to take care of your tax matters if you • How you can change a return you have al-new payment plan. are a member of the Armed Forces who served ready filed.
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-6 Chapter 1 Filing Information Publication 17 (2025) Do I Have To Table 1-1. 2025 Filing Requirements for Most Taxpayers
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-File a Return? THEN file a return if AND at the end of 2025 you your gross income
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-You must file a federal income tax return if you IF your filing status is... were...* was at least...**
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-are a citizen or resident of the United States or Single under 65 $15,750 a resident of Puerto Rico and you meet the filing
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-requirements for any of the following categories 65 or older $17,750 that apply to you.
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-Married filing jointly*** under 65 (both spouses) $31,500
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-1. Individuals in general. (There are special rules for individuals whose spouse has 65 or older (one spouse) $33,100
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-died, executors, administrators, legal rep- 65 or older (both spouses) $34,700 resentatives, U.S. citizens and residents
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-living outside the United States, residents Married filing separately any age $5
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-2. Dependents. of Puerto Rico, and individuals with in- Head of household under 65 $23,625 come from U.S. territories.) 65 or older $25,625 Qualifying surviving spouse under 65 $31,500 3. Certain children under age 19 or full-time 65 or older students. $33,100
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-4. Self-employed persons.
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-* If you were born on January 1, 1961, you are considered to be age 65 at the end of 2025. (If your spouse
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-5. Aliens. died in 2025 or if you are preparing a return for someone who died in 2025, see Pub. 501.)
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-The filing requirements for each category are ** Gross income means all income you received in the form of money, goods, property, and services that isn’t exempt from tax, including any income from sources outside the United States or from the sale of explained in this chapter. your main home (even if you can exclude part or all of it). Don’t include any social security benefits unless
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-The filing requirements apply even if you (a) you are married filing a separate return and you lived with your spouse at any time during 2025, or (b)
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-don’t owe tax. one-half of your social security benefits plus your other gross income and any tax-exempt interest is more
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-than $25,000 ($32,000 if married filing jointly). If (a) or (b) applies, see the Instructions for Form 1040 or
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-Even if you don’t have to file a return, it Pub. 915 to figure the taxable part of social security benefits you must include in gross income. Gross
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-TIP income includes gains, but not losses, reported on Form 8949 or Schedule D. Gross income from a may be to your advantage to do so.
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-See business means, for example, the amount on Schedule C, line 7, or Schedule F, line 9. But, in figuring Who Should File , later.
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-gross income, don’t reduce your income by any losses, including any loss on Schedule C, line 7, or
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-File only one federal income tax return Schedule F, line 9.
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-CAUTION ! for the year regardless of how many *** If you didn’t live with your spouse at the end of 2025 (or on the date your spouse died) and your gross income was at least $5, you must file a return regardless of your age. jobs you had, how many Forms W-2
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-return for the same year, even if you haven’t re- for Form 1040 or Pub. 915 to figure the social on the last day of your tax year, which is De- security benefits you must include in gross in- cember 31 for most taxpayers. See chapter 2 ceived your refund or haven’t heard from the come. for an explanation of each filing status. IRS since you filed. during the year. Don’t file more than one original If either (1) or (2) applies, see the Instructions family situation. Your filing status is determined you received, or how many states you lived in
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-Individuals—In General Part Two Common types of income are discussed in Age. If you are 65 or older at the end of the of this publication. year, you can generally have a higher amount of
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-Community property states. Community gross income than other taxpayers before you
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-property states include Arizona, California, must file. See Table 1-1. You are considered 65
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-If you are a U.S. citizen or resident, whether you on the day before your 65th birthday. For exam- Idaho, Louisiana, Nevada, New Mexico, Texas,
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-must file a return depends on three factors. ple, if your 65th birthday is on January 1, 2026, Washington, and Wisconsin. If you and your
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-1. Your gross income. spouse lived in a community property state, you you are considered 65 for 2025.
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-must usually follow state law to determine what
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-3. Your age. come. For details, see Form 8958 and Pub. Executors, Administrators, 555. and Legal Representatives 2. Your filing status. is community property and what is separate in- Surviving Spouses,
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-To find out whether you must file, see Ta-
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-ble 1-1 Nevada, Washington, and California do-, Table 1-2 , and Table 1-3 . Even if no ta- You must file a final return for a decedent (a per-
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-later. executor, administrator, or legal represen- income of the individual and their domestic tative. Gross income. This includes all income you partner. See Pub. 555. receive in the form of money, goods, property, • The decedent met the filing requirements and services that isn’t exempt from tax. It also file to get money back. See ner in Nevada, Washington, or California must Who Should File , • Your spouse died in 2025 or you are the generally report half the combined community ble shows that you must file, you may need to mestic partners. A registered domestic part- son who died) if both of the following are true.
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-ted States or from the sale of your main home For more information on rules for filing a de- amount on line 7 of Schedule C (Form 1040), cedent’s final return, see Pub. 559. (even if you can exclude all or part of it). Include Profit or Loss From Business; and line 9 of Schedule F (Form 1040), Profit or Loss From part of your social security benefits if: Farming. See includes income from sources outside the Uni- self-employed, your gross income includes the Self-employed individuals. If you are at the date of death.
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-1. You were married, filing a separate return, Self-Employed Persons, later, for U.S. Citizens and Resident Aliens
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-and you lived with your spouse at any time more information about your filing requirements. Living Abroad
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-
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-2. Half of your social security benefits plus clude in your gross income any income you re- ! ployment income, your social security CAUTION benefits may be lower when you retire. during 2025; or If you don’t report all of your self-em- To determine whether you must file a return, in-
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-
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-your other gross income and any tax-ex- ceived abroad, including any income you can exclude under the foreign earned income exclu- empt interest is more than $25,000 Filing status. Your filing status depends on sion. For information on special tax rules that ($32,000 if married filing jointly). whether you are single or married and on your
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-Publication 17 (2025) Chapter 1 Filing Information 7 may apply to you, see Pub. 54. It is available on- under age 19 at the end of 2025 or was a ing the same rules that apply to U.S. citizens. line and at most U.S. embassies and consu- full-time student under age 24 at the end of Use the forms discussed in this publication.
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-
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-this publication. Nonresident alien. If you are a nonresident lates. See How To Get Tax Help in the back of 2025, and certain other conditions are met, a parent can elect to include the child’s income on alien, the rules and tax forms that apply to you the parent’s return. If this election is made, the are different from those that apply to U.S. citi-
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-
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-Residents of Puerto Rico child doesn’t have to file a return. See Instruc- zens and resident aliens. See Pub. 519 to find tions for Form 8814, Parents’ Election To Report out if U.S. income tax laws apply to you and If you are a U.S. citizen and also a bona fide Child’s Interest and Dividends. which forms you should file. resident of Puerto Rico, you must generally file
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-a U.S. income tax return for any year in which Dual-status taxpayer. If you are a resident you meet the income requirements. This is in Self-Employed Persons alien for part of the tax year and a nonresident addition to any legal requirement you may have alien for the rest of the year, you are a dual-sta- to file an income tax return with Puerto Rico. You are self-employed if you: tus taxpayer. Different rules apply for each part If you are a bona fide resident of Puerto Rico • Carry on a trade or business as a sole pro- of the year. For information on dual-status tax- for the entire year, your U.S. gross income prietor, payers, see Pub. 519. doesn’t include income from sources within • Are an independent contractor, Puerto Rico. It does, however, include any in- • come you received for your services as an em- Are a member of a partnership, or Who Should File ployee of the United States or a U.S. agency. If • Are in business for yourself in any other Even if you don’t have to file, you should file a you receive income from Puerto Rican sources way. that isn’t subject to U.S. tax, you must reduce federal income tax return to get money back if Self-employment can include work in addi- your standard deduction. As a result, the any of the following conditions apply. tion to your regular full-time business activities, amount of income you must have before you are 1. You had federal income tax withheld or required to file a U.S. income tax return is lower such as certain part-time work you do at home made estimated tax payments. than the applicable amount in Table 1-1 or Ta- or in addition to your regular job. 2. You qualify for the earned income credit. ble 1-2 . For more information, see Pub. 570. You must file a return if your gross income is See Pub. 596 for more information. at least as much as the filing requirement
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-
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-Individuals With Income From amount for your filing status and age (shown in 3. You qualify for the additional child tax Table 1-1 ). Also, you must file Form 1040 or U.S. Territories credit. See chapter 14 for more informa-1040-SR and Schedule SE (Form 1040), tion. If you had income from Guam, the Common-Self-Employment Tax, if: wealth of the Northern Mariana Islands, Ameri-4. You qualify for the premium tax credit. See 1. Your net earnings from self-employment can Samoa, or the U.S. Virgin Islands, special Pub. 974 for more information. (excluding church employee income) were rules may apply when determining whether you 5. You qualify for the American opportunity $400 or more, or must file a U.S. federal income tax return. In ad-credit. See Pub. 970 for more information. dition, you may have to file a return with the indi-2. You had church employee income of vidual island government. See Pub. 570 for $108.28 or more. (See Table 1-3 .) 6. You qualify for the refundable adoption more information. credit. See Form 8839 and its instructions Use Schedule SE (Form 1040) to figure your for more information. self-employment tax. Self-employment tax is Dependents comparable to the social security and Medicare See chapter 13 for more information.
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-
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-If you are a dependent (one who meets the de- more information about this tax, see Pub. 334. tax withheld from an employee’s wages. For Form 1040 or 1040-SR
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-pendency tests in chapter 3), see Table 1-2 to
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-
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-find out whether you must file a return. You must Employees of foreign governments or in- Use Form 1040 or 1040-SR to file your return. also file if your situation is described in Ta-ternational organizations. If you are a U.S. (But also see File Electronically , later.) ble 1-3 . citizen who works in the United States for an in-Responsibility of parent. Generally, a child is ternational organization, a foreign government, You can use Form 1040 or 1040-SR to re-responsible for filing their own tax return and for or a wholly owned instrumentality of a foreign port all types of income, deductions, and cred-paying any tax on the return. If a dependent government, and your employer isn’t required to its.
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-
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-due to age or any other reason, then a parent, from your wages, you must include your earn- File Electronically child must file an income tax return but can’t file withhold social security and Medicare taxes guardian, or other legally responsible person ings from services performed in the United
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-signature), parent for minor child.” Ministers. You must include income from If your adjusted gross income (AGI) is less than services you performed as a minister when fig-a certain amount, you are eligible for Free File , Child’s earnings. Amounts a child earns by uring your net earnings from self-employment, a free tax software service offered by IRS part-performing services are included in the child’s unless you have an exemption from self-em-ners, to prepare and e-file your return for free. If gross income and not the gross income of the ployment tax. This also applies to Christian Sci-your income is over the amount, you are still eli-parent. This is true even if under local law the return, the parent or guardian must sign the self-employment. Electronic Filing child’s name followed by the words “By (your must file it for the child. If the child can’t sign the States when figuring your net earnings from child’s parent has the right to the earnings and gible for Free File Fillable Forms, an electronic ence practitioners and members of a religious
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-may actually have received them. But if the child version of IRS paper forms. Table 1-4 lists the order who have not taken a vow of poverty. For
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-doesn’t pay the tax due on this income, the pa- free ways to electronically file your return. more information, see Pub. 517.
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-rent is liable for the tax. Free File and Free Fillable Forms provide eli- Aliens
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-gible taxpayers the ability to e-file their taxes for
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-Certain Children Under free. See IRS.gov/FreeFile for details and to see
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-Age 19 or Full-Time Your status as an alien (resident, nonresident, if you are eligible.
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-
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-Students most of the manual steps needed to process The rules used to determine your alien sta- paper returns. As a result, the processing of tus are discussed in Pub. 519. you must file an income tax return. E-file. IRS e-file uses automation to replace or dual-status) determines whether and how
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-If a child’s only income is interest and dividends e-file returns is faster and more accurate than
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-(including capital gain distributions and Alaska Resident alien. If you are a resident alien for the processing of paper returns. However, as Permanent Fund dividends), the child was the entire year, you must file a tax return follow- with a paper return, you are responsible for
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-8 Chapter 1 Filing Information Publication 17 (2025) Table 1-2. 2025 Filing Requirements for Dependents Your electronic return signed with a Self-Se-
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-See lect PIN is considered a validly signed return chapter 3 to find out if someone can claim you as a dependent.
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-only when it includes your PIN; last name; date
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-If your parents (or someone else) can claim you as a dependent, use this table to see if you gross income (AGI) from your originally filed of birth; IP PIN, if applicable; and your adjusted
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-must file a return. (See Table 1-3 for other situations when you must file.) 2024 federal income tax return, if applicable. If
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-In this table, unearned income includes taxable interest, ordinary dividends, and capital gain you’re filing jointly, your electronic return must
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-distributions. It also includes unemployment compensation, taxable social security benefits, also include your spouse’s PIN; last name; date
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-pensions, annuities, and distributions of unearned income from a trust. Earned income includes of birth; IP PIN, if applicable; and AGI, if appli-
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-salaries, wages, tips, professional fees, and taxable scholarship and fellowship grants. (See cable, in order to be considered validly signed.
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-Scholarships and fellowships in chapter 8.) Gross income is the total of your earned and (You, and your spouse if filing jointly, may each
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-unearned income. use your own prior-year pin to verify your iden-
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-tity if you filed electronically last year. If you use
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-Single dependents—Were you either age 65 or older or blind? your prior-year PIN or enter your IP PIN, you are
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-No. You must file a return if any of the following apply. not required to enter your prior-year AGI. The
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-• Your unearned income was more than $1,350. electronically sign your 2024 return.) prior-year PIN is the five-digit PIN you used to • Your earned income was more than $15,750. If you need your AGI from your originally
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-• Your gross income was more than the larger of: filed 2024 federal income tax return, and you
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-• $1,350, or don’t have your 2024 income tax return, you can
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-• Your earned income (up to $15,300) plus $450. access your transcript through your online ac-
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-count at IRS.gov/Account. You can also go to
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-Yes. You must file a return if any of the following apply. IRS.gov/Transcript or call the IRS at
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-• Your unearned income was more than $3,350 ($5,350 if 65 or older and blind). 800-908-9946 to get a free transcript of your re-
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-
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-• Your gross income was more than the larger of: turn (Form 1040-X) or a math error correction made by the IRS. AGI is the amount shown on • $3,350 ($5,350 if 65 or older and blind), or • Your earned income was more than $17,750 ($19,750 if 65 or older and blind). turn. Don’t use your AGI from an amended re-
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-your 2024 Form 1040 or 1040-SR, line 11.
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-• Your earned income (up to $15,300) plus $2,450 ($4,450 if 65 or older and For more information, go to IRS.gov/Efile.
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-blind).
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-Married dependents—Were you either age 65 or older or blind? method if you are a first-time filer under ! You can’t use the Self-Select PIN
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-No. You must file a return if any of the following apply. CAUTION age 16 at the end of 2025.
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-• Your unearned income was more than $1,350. Practitioner PIN. The Practitioner PIN method
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-• Your earned income was more than $15,750. allows you to authorize your tax practitioner to
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-• Your gross income was at least $5 and your spouse files a separate return and enter or generate your PIN. Your electronic re-
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-itemizes deductions. turn is considered a validly signed return only
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-
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-• Your gross income was more than the larger of: when it includes your PIN; last name; date of • $1,350, or birth; and IP PIN, if applicable. If you’re filing jointly, your electronic return must also include
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-• Your earned income (up to $15,300) plus $450. your spouse’s PIN; last name; date of birth; and
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-Yes. You must file a return if any of the following apply. IP PIN, if applicable, in order to be considered a • Your unearned income was more than $2,950 ($4,550 if 65 or older and blind). validly signed return. The practitioner can pro- vide you with details.
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-
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-• Your gross income was at least $5 and your spouse files a separate return and Form 8453. You must send in a paper Form 8453 if you have to attach certain forms or other • Your earned income was more than $17,350 ($18,950 if 65 or older and blind).
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-itemizes deductions.
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-• Your gross income was more than the larger of: Form 8453. documents that can’t be electronically filed. See
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-
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-• Your earned income (up to $15,300) plus $2,050 ($3,650 if 65 or older and Identity Protection PIN (IP PIN). If the IRS gave you an IP PIN, enter it in the spaces provi- • $2,950 ($4,550 if 65 or older and blind), or
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-blind). ded on your tax form. If the IRS hasn’t given you
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-making sure your return contains accurate infor- If we issued you an identity protection per- For more information, see the Instructions for this type of number, leave these spaces blank.
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-mation and is filed on time. If your return is filed sonal identification number (IP PIN) (as descri- Form 1040. with IRS e-file, you will receive an acknowledg-bed in more detail next), all six digits of your IP ment that your return was received and accep- PIN must appear in the IP PIN spaces provided All taxpayers are now eligible for an IP ted. If you owe tax, you can e-file and pay elec- next to the space for your occupation for your TIP PIN. For more information, see Pub. tronically. The IRS has processed more than electronic signature to be complete. Failure to 5477. To apply for an IP PIN, go to
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-one billion e-filed returns safely and securely. include an issued IP PIN on the electronic re- IRS.gov/IPPIN and use the Get an IP PIN tool. Using e-file doesn’t affect your chances of an turn will result in an invalid signature and a re-IRS examination of your return. jected return. If you are filing a joint return and Power of attorney. If an agent is signing your Requirements for an electronic return. The both taxpayers were issued IP PINs, enter both return for you, a power of attorney (POA) must
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-requirements for signing an electronic return will using that form’s instructions. See IP PINs in the spaces provided. be filed. Attach the POA to Form 8453 and file it
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-be different depending on whether you use tax Self-Select PIN. The Self-Select PIN method later, for more information on POAs. Signatures, software or a tax practitioner. To file your return allows you to create your own PIN. If you are electronically, you must sign the return electron- married filing jointly, you and your spouse will Refunds. Starting in October 2025, the IRS will ically using a personal identification number each need to create a PIN and enter these PINs generally stop issuing paper checks for federal (PIN) and provide the information described be- as your electronic signatures. disbursements, including tax refunds, unless an low. If you are filing online using software, you A PIN is any combination of five digits you exception applies. For more information, go
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-must use a Self-Select PIN. If you are filing choose except five zeros. If you use a PIN, there IRS.gov/ModernPayments. electronically using a tax practitioner, you can is nothing to sign and nothing to mail—not even You may not get all of your refund if you owe use a Self-Select PIN or a Practitioner PIN. your Forms W-2. certain past-due amounts, such as federal tax,
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-Publication 17 (2025) Chapter 1 Filing Information 9 Table 1-3. Other Situations When You Must File a 2025 Return
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-You must file a return if any of the following apply for 2025.
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-1. You owe any special taxes, including any of the following (see the instructions for Schedule 2 (Form 1040)).
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-a. Alternative minimum tax.
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-b. Additional tax on a qualified plan, including an individual retirement arrangement (IRA), or other tax-favored account.
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-c. Household employment taxes.
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-d. Social security and Medicare tax on tips you didn’t report to your employer or on wages you received from an employer who
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-didn’t withhold these taxes.
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-e. Uncollected social security and Medicare or RRTA tax on tips you reported to your employer or on group-term life insurance
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-and additional taxes on health savings accounts.
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-f. Recapture taxes.
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-2. You (or your spouse, if filing jointly) received health savings account, Archer MSA, or Medicare Advantage MSA distributions.
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-3. You had net earnings from self-employment of at least $400.
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-4. You had wages of $108.28 or more from a church or qualified church-controlled organization that is exempt from employer
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-social security and Medicare taxes.
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-5. Advance payments of the premium tax credit were made for you, your spouse, or a dependent who enrolled in coverage
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-through the Marketplace. You or whoever enrolled you should have received Form(s) 1095-A showing the amount of the advance payments.
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-6. You are required to include amounts in income under section 965 or you have a net tax liability under section 965 that you are
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-paying in installments under section 965(h) or deferred by making an election under section 965(i).
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-7. You purchased a new or used clean vehicle from a registered dealer and reduced the amount you paid at the time of sale by
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-transferring the credit to the dealer. See Form 8936 and Schedule A (Form 8936).
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-
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-state income tax, state unemployment compen- Table 1-4. Free Ways To e-file sation debts, child support, spousal support, or
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-certain other federal nontax debts, such as stu- Use Free File for free tax software and free e-file.
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-dent loans. See Offset against debts under Re-
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-funds, later. • IRS partners offer name-brand products for free.
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-Refund inquiries. Information about your re- • Many taxpayers are eligible for Free File software. turn will generally be available within 24 hours • Everyone is eligible for Free File Fillable Forms, an electronic version of IRS paper forms.
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-after the IRS receives your e-filed return. See
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-Refund Information • Free File software and Free File Fillable Forms are available only at IRS.gov/FreeFile. , later.
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-Amount you owe. To avoid late-payment pen- Use VITA/TCE for free tax help from volunteers and free e-file. alties and interest, pay your taxes in full by April • Volunteers prepare your return and e-file it for free.
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-15, 2026 (for most people). See How To Pay,
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-later, for information on how to pay the amount • Some sites also offer do-it-yourself software.
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-you owe. • You are eligible based either on your income or age.
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-Using Your Personal Computer • Sites are located nationwide. Find one near you by visiting IRS.gov/VITA.
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-
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-IRS-approved tax preparation software is Free File. Go to IRS.gov/FreeFile. See if sional to enter your PIN on your return.
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-
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-available online and in retail stores. For informa- you qualify to use brand-name software to prepare and e-file your federal tax return Note: Tax professionals may charge a fee tion, visit IRS.gov/efile . for free. for IRS e-file. Fees can vary depending on the professional and the specific services rendered. • VITA. Go to IRS.gov/VITA , download the Free Help With Your Return free IRS2Go app, or call 800-906-9887 to The Volunteer Income Tax Assistance (VITA) find the nearest VITA location for free tax When Do I program offers free tax help to people who gen-return preparation. erally have $69,000 or less in adjusted gross in-Have To File? • TCE. Go to IRS.gov/TCE , download the come, persons with disabilities, and limi-free IRS2Go app, or call 888-227-7669 to April 15, 2026, is the due date for filing your ted-English-speaking taxpayers who need help find the nearest TCE location for free tax preparing their own tax returns. The Tax Coun-2025 income tax return if you use the calendar return preparation. seling for the Elderly (TCE) program offers free year. For a quick view of due dates for filing a return with or without an extension of time to file tax help for all taxpayers, particularly those who ration software are all you need. Best of all, you You can go to IRS.gov to see your options turns for their clients. You may personally enter for preparing and filing your return, which in- your PIN or complete Form 8879, IRS e-file Sig- can e-file from the comfort of your home 24 clude the following. nature Authorization, to authorize the tax profes- hours a day, 7 days a week. • convenient way using your personal computer. to seniors. Many tax professionals electronically file tax re-A computer with Internet access and tax prepa-You can file your tax return in a fast, easy, and pensions and retirement-related issues unique Using a Tax Professional
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-are 60 years of age and older. TCE volunteers (discussed later), see Table 1-5. specialize in answering questions about
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-10 Chapter 1 Filing Information Publication 17 (2025)
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-
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-
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-If you use a fiscal year (a year ending on the Table 1-5. When To File Your 2025 Return
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-52-53-week year), your income tax return is due last day of any month except December, or a For U.S. citizens and residents who file returns on a calendar year
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-by the 15th day of the 4th month after the close basis. of your fiscal year.
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-For Certain Taxpayers
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-When the due date for doing any act for tax Outside
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-purposes—filing a return, paying taxes, For Most Taxpayers the United States
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-
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-etc.—falls on a Saturday, Sunday, or legal holi- No extension requested April 15, 2026 June 15, 2026 day, the due date is delayed until the next busi-Automatic extension ness day. October 15, 2026 October 15, 2026
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-
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-Filing paper returns on time. Your paper re- time in your time zone controls whether your How to get the automatic extension. You turn is filed on time if it is mailed in an envelope electronically filed return is timely. can get the automatic extension by: that is properly addressed, has enough post-Filing late. If you don’t file your return by the age, and is postmarked by the due date. If you 1. Using IRS e-file (electronic filing), or due date, you may have to pay a failure-to-file send your return by registered mail, the date of 2. Filing a paper form. the registration is the postmark date. The regis-penalty and interest. For more information, see Penalties tration is evidence that the return was delivered. , later. Also see Interest under Amount E-file options. There are two ways you can You Owe, later. If you send a return by certified mail and have use e-file to get an extension of time to file. your receipt postmarked by a postal employee, If you were due a refund but you didn’t file a Complete Form 4868 to use as a worksheet. If the date on the receipt is the postmark date. return, you must generally file within 3 years you think you may owe tax when you file your The postmarked certified mail receipt is evi- from the date the return was due (including ex- return, use Part II of the form to estimate your dence that the return was delivered. tensions) to get that refund. balance due. If you e-file Form 4868 to the IRS,
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-
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-the “timely mailing treated as timely filing/ package with your personal computer or a tax professional to file Form 4868 electronically. paying” rule for tax returns and payments. • April 15, 2026, if you use a calendar year; Free File and Free File Fillable Forms, both These private delivery services include only the or available at IRS.gov, allow you to prepare and following. • The 15th day of the 4th month after the end e-file Form 4868 for free. You will need to pro- • DHL Express 9:00, DHL Express 10:30, of your fiscal year, if you use a fiscal year. vide certain information from your 2024 tax re- DHL Express 12:00, DHL Express World- mail your return, you can use certain private de- alien and earn wages subject to U.S. income E-file using your personal computer or a tax withholding, your 2025 U.S. income tax re- tax professional. You can use a tax software livery services designated by the IRS to meet turn (Form 1040-NR) is due by: Private delivery services. If you choose to Nonresident alien. If you are a nonresident don’t send a paper Form 4868.
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-wide, DHL Express Envelope, DHL Import If you don’t earn wages subject to U.S. in- turn. If you wish to make a payment by direct
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-Express 10:30, DHL Import Express 12:00, come tax withholding, your return is due by: transfer from your bank account, see Pay online
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-and DHL Import Express Worldwide. June 15, 2026, if you use a calendar year; E-file and pay by credit or debit card or • under How To Pay, later, in this chapter.
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-• or
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-Day Air, UPS Next Day Air Saver, UPS 2nd The 15th day of the 6th month after the end You can get an extension by paying part or all of of your fiscal year, if you use a fiscal year. UPS Next Day Air Early A.M., UPS Next by direct transfer from your bank account. •
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-Day Air, UPS 2nd Day Air A.M., UPS your estimate of tax due by using a credit or
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-
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-• Pay on- FedEx First Overnight, FedEx Priority income tax return for a taxpayer who died dur- line under How To Pay, later, in this chapter. Overnight, FedEx Standard Overnight, Fe- ing the year (a decedent), the return is due by dEx 2 Day, FedEx International Next Flight the 15th day of the 4th month after the end of Filing a paper Form 4868. You can get an ex- Out, FedEx International Priority, FedEx In- the decedent’s normal tax year. See Pub. 559. wide Express. account. You can do this by phone or over the Filing for a decedent. If you must file a final Internet. You don’t file Form 4868. See Worldwide Express Plus, and UPS World- See Pub. 519 for more filing information. debit card or by direct transfer from your bank
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-tension of time to file by filing a paper Form
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-ternational First, and FedEx International 4868. If you are a fiscal year taxpayer, you must
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-Economy. file a paper Form 4868. Mail it to the address Extensions of Time To File
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-To check for any updates to the list of desig- shown in the form instructions. For more infor-
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-
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-PDS. For the IRS mailing addresses to use if file your return. There are three types of situa- When to file. You must request the automatic you’re using a private delivery service, go to tions where you may qualify for an extension. nated private delivery services, go to IRS.gov/ mation, see Form 4868. You may be able to get an extension of time to
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-
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-to get written proof of the mailing date. The private delivery service can tell you how • Automatic extensions. extension period ends. IRS.gov/PDSStreetAddresses. can file your return any time before the 6-month extension by the due date for your return. You
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-• You are outside the United States.
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-
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-ments required to be sent to a P.O. box. CAUTION ! liver to P.O. boxes. You can’t use a pri- to file on Schedule 3 (Form 1040), line 10. vate delivery service to make tax pay-Automatic Extension If you can’t file your 2025 return by the due date, Only the U.S. Postal Service can de- • When you file your return. Enter any pay-You are serving in a combat zone. ment you made related to the extension of time
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-Individuals Outside the
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-
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-postmarks the transmission by the due date. An Example. If your return is due on April 15, sion, without filing Form 4868 (until June 15, 2026, if you use the calendar year), to file your 2026, you will have until October 15, 2026, to authorized electronic return transmitter is a par- 2025 return and pay any federal income tax due file. ticipant in the IRS e-file program that transmits if: electronic tax return information directly to the If you don’t pay the tax due by the regu- 1. You are a U.S. citizen or resident; and IRS e-file, your return is considered filed on time extension of time to file. You are allowed an automatic 2-month exten-if the authorized electronic return transmitter Filing electronic returns on time. If you use you may be able to get an automatic 6-month United States
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-
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-IRS. lar due date (April 15 for most taxpay-! The electronic postmark is a record of when CAUTION ers), you will owe interest. You may 2. On the due date of your return: the authorized electronic return transmitter re-also be charged penalties, discussed later. a. You are living outside the United ceived the transmission of your electronically States and Puerto Rico, and your filed return on its host system. The date and main place of business or post of duty
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-Publication 17 (2025) Chapter 1 Filing Information 11
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-
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-
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-is outside the United States and Pu- Pub. 3 also has information about other tax ben- your employer. When you request IRS help, be erto Rico; or efits available to military personnel serving in a prepared to provide the following information.
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-b. You are in military or naval service on combat zone. • Your name, address (including ZIP code),
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-duty outside the United States and Extension period. The deadline for filing your and phone number.
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-ular due date (April 15 for most taxpayers), in-However, if you pay the tax due after the reg-Puerto Rico. return, paying any tax due, filing a claim for re- • Your SSN. fund, and taking other actions with the IRS is • Your dates of employment. extended in two steps. First, your deadline is extended for 180 days after the later of: • Your employer’s name, address (including terest will be charged from that date until the ZIP code), and phone number. date the tax is paid. 1. The last day you are in a combat zone or the last day the area qualifies as a combat If you served in a combat zone or qualified Form 1099. If you received certain types of in-zone, or hazardous duty area, you may be eligible for a come, you may receive a Form 1099. For exam-
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-longer extension of time to file. See Individuals ple, if you received taxable interest of $10 or 2. The last day of any continuous qualified Serving in Combat Zone , later, for special rules more, the payer is required to provide or send hospitalization (defined later) for injury that apply to you. Form 1099 to you no later than February 2, from service in the combat zone. 2026 (or by February 17, 2026, if furnished by a Married taxpayers. If you file a joint return, Second, in addition to the 180 days, your broker). If it is mailed, you should allow ade- only one spouse has to qualify for this automatic deadline is also extended by the number of quate time to receive it before contacting the extension. If you and your spouse file separate days you had left to take action with the IRS payer. If you still don’t get the form by February returns, the automatic extension applies only to when you entered the combat zone. For exam- 17 (or by March 2, 2026, if furnished by a the spouse who qualifies. ple, you have 3 1 / 2 months (January 1–April 15) broker), call the IRS for help.
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-matic extension, you must attach a statement to when you entered the combat zone (or the en-1 your return explaining what situation qualified How to get the extension. To use this auto- to file your tax return. Any days left in this period
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-you for the extension. (See the situations listed ginning of the year) are added to the 180 days. Income and Expenses? under (2), earlier.) See How Much Extra Time Do These Exten-sions Give Me? in Pub. 3 for more information. tire 3 /2 months if you entered it before the be- When Do I Report My Extensions beyond 2 months. If you can’t file The rules on the extension for filing your re- You must figure your taxable income on the ba-your return within the automatic 2-month exten- turn also apply when you are deployed outside sis of a tax year. A “tax year” is an annual ac-sion period, you may be able to get an addi- the United States (away from your permanent counting period used for keeping records and tional 4-month extension, for a total of 6 duty station) while participating in a designated reporting income and expenses. You must ac-months. File Form 4868 and check the box on contingency operation. count for your income and expenses in a way
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-No further extension. An extension of more Qualified hospitalization. The hospitalization This section explains which accounting periods must be the result of an injury received while than 6 months will generally not be granted. and methods you can use. serving in a combat zone or a contingency op- However, if you are outside the United States line 8. way you do this is called an accounting method. that clearly shows your taxable income. The
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-longer extension. For more information, see Fil- • Any hospitalization outside the United Most individual tax returns cover a calendar ing and Payment Due Dates in Pub. 54. States, and year—the 12 months from January 1 through and meet certain tests, you may be granted a Accounting Periods eration. Qualified hospitalization means:
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-• Up to 5 years of hospitalization in the Uni- December 31. If you don’t use a calendar year,
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-Individuals Serving in ted States. your accounting period is a fiscal year. A regular
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-The deadline for filing your tax return, paying last day of any month except December. A hospitalizations. 52-53-week fiscal year varies from 52 to 53 any tax you may owe, and filing a claim for re- Combat Zone See Pub. 3 for more information on qualified fiscal year is a 12-month period that ends on the
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-fund is automatically extended if you serve in a weeks and always ends on the same day of the How Do I Prepare week. combat zone. This applies to members of the My Return? Armed Forces, as well as merchant marines You choose your accounting period (tax year) when you file your first income tax return. serving aboard vessels under the operational It can’t be longer than 12 months. control of the Department of Defense, Red This section explains how to get ready to com-
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-Cross personnel, accredited correspondents, plete your tax return and when to report your in- More information. For more information on and civilians under the direction of the Armed come and expenses. It also explains how to accounting periods, including how to change Forces in support of the Armed Forces. complete certain sections of the form. your accounting period, see Pub. 538. Combat zone. A combat zone is any area the Electronic returns. For information you may
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-executive order as an area in which the U.S. File Electronically, earlier. Your accounting method is the way you account Armed Forces are engaging or have engaged in Substitute tax forms. You can’t use your own President of the United States designates by find useful in preparing an electronic return, see Accounting Methods combat. An area usually becomes a combat version of a tax form unless it meets the require- for your income and expenses. Most taxpayers
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-the term “combat zone” includes the following Form W-2. If you were an employee, you change your accounting method after that, you should receive Form W-2 from your employer. must generally get IRS approval. Use Form areas. You will need the information from this form to 3115 to request an accounting method change. prepare your return. See Form W-2 under Credit 1. The Arabian peninsula area, effective Jan- for Withholding and Estimated Tax for 2025 in Cash method. If you use this method, report uary 17, 1991. dates the President designates by executive or- method. You choose a method when you file your first income tax return. If you want to der. For purposes of the automatic extension, zone and ceases to be a combat zone on the ments explained in Pub. 1167. use either the cash method or an accrual
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-chapter 4. all items of income in the year in which you ac-
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-2. The Kosovo area, effective March 24, Your employer is required to provide or send tually or constructively receive them. Generally,
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-1999. Form W-2 to you no later than February 2, 2026. you deduct all expenses in the year you actually
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-3. The Afghanistan area, effective Septem- If it is mailed, you should allow adequate time to pay them. This is the method most individual
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-ber 19, 2001. receive it before contacting your employer. If taxpayers use.
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-See Pub. 3 for more detailed information on Constructive receipt. Generally, you con- you still don’t get the form by early February, the
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-the locations comprising each combat zone. structively receive income when it is credited to IRS can help you by requesting the form from
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-your account or set apart in any way that makes
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-12 Chapter 1 Filing Information Publication 17 (2025) it available to you. You don’t need to have physi- A limited deferral until the next tax year may hospital records. The document must show that cal possession of it. For example, interest credi- be allowed for certain advance payments. See the child was born alive.
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-could have withdrawn it in 2025 (even if the Additional information. For more information cial Security Card, with your local SSA office to on accounting methods, including how to get an SSN for yourself or your dependent. It amount isn’t entered in your records or with- change your accounting method, see Pub. 538. 2025, is taxable income to you in 2025 if you No SSN. File Form SS-5, Application for a So- ted to your bank account on December 31, Pub. 538 for specific information.
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-drawn until 2026). usually takes about 2 weeks to get an SSN. If you or your dependent isn’t eligible for an SSN,
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-Garnished wages. If your employer uses see Individual taxpayer identification number Social Security Number
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-your wages to pay your debts, or if your wages (ITIN), later. (SSN)
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-are attached or garnished, the full amount is If you are a U.S. citizen or resident alien, you
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-constructively received by you. You must in- must show proof of age, identity, and citizenship
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-clude these wages in income for the year you You must enter your SSN on your return. If you or alien status with your Form SS-5. If you are would have received them. are married, enter the SSNs for both you and 12 or older and have never been assigned an
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-Debts paid for you. If another person can- your spouse, whether you file jointly or sepa- SSN, you must appear in person with this proof
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-cels or pays your debts (but not as a gift or rately. at an SSA office. loan), you have constructively received the If you are filing a joint return, include the Form SS-5 is available at any SSA office, on
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-constructively received the income. It is the the time your return is due, you may want to ask your 2025 return (including extensions), you same as if you had actually received the income for an extension of time to file, as explained ear- can’t claim certain tax benefits on your original and paid it to the third party. lier under When Do I Have To File . or an amended 2025 return. If you don’t provide a required SSN or if you Payment to an agent. Income an agent re- Once you are issued an SSN, use it to file provide an incorrect SSN, your tax may be in- ceives for you is income you constructively re- your tax return. Use your SSN to file your tax re- creased and any refund may be reduced. ceived in the year the agent receives it. If you in- turn even if your SSN does not authorize em- dicate in a contract that your income is to be ployment or if you have been issued an SSN Adoption taxpayer identification number paid to another person, you must include the that authorizes employment and you lose your (ATIN). If you are in the process of adopting a amount in your gross income when the other child who is a U.S. citizen or resident and can’t employment authorization. An ITIN will not be person receives it. issued to you once you have been issued an get an SSN for the child until the adoption is fi- nal, you can apply for an ATIN to use instead of SSN. If you received your SSN after previously Check received or available. A valid check in chapter 8 for more information. about which documents you can use as proof of age, identity, or citizenship, contact your SSA If you, or your spouse if filing jointly, Payment to third party. If a third party is office. don’t have an SSN (or ITIN) issued ei- paid income from property you own, you have ! CAUTION If your dependent doesn’t have an SSN by ther on or on or before the due date of gross income for the year. See same order in submitting other forms and docu- calling 800-772-1213. If you have any questions Canceled Debts ments to the IRS. amount and must generally include it in your SSNs in the same order as the names. Use this the Internet at SSA.gov/forms/ss-5.pdf, or by
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-that was made available to you before the end using an ITIN, stop using your ITIN. Use your an SSN. of the tax year is constructively received by you SSN instead. File Form W-7A, Application for Taxpayer in that year. A check that was “made available Check that both the name and SSN on your Identification Number for Pending U.S. Adop-to you” includes a check you have already re- tions, with the IRS to get an ATIN if all of the fol- Form 1040 or 1040-SR, W-2, and 1099 agree
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-ceived, but not cashed or deposited. It also in- with your social security card. If they don’t, cer- lowing are true.
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-cludes, for example, your last paycheck of the tain deductions and credits on your Form 1040 • You have a child living with you who was or 1040-SR may be reduced or disallowed and year that your employer made available for you placed in your home for legal adoption. to pick up at the office before the end of the you may not receive credit for your social secur-• You can’t get the child’s existing SSN even year. It is constructively received by you in that ity earnings. If your Form W-2 shows an incor-though you have made a reasonable at-year whether or not you pick it up before the end rect SSN or name, notify your employer or the tempt to get it from the birth parents, the of the year or wait to receive it by mail after the form-issuing agent as soon as possible to make placement agency, and other persons. end of the year. sure your earnings are credited to your social security record. If the name or SSN on your so-• You can’t get an SSN for the child from the No constructive receipt. There may be cial security card is incorrect, call the Social Se-SSA because, for example, the adoption facts to show that you didn’t constructively re-curity Administration (SSA) at 800-772-1213. isn’t final. ceive income. Name change. If you changed your name be-• You are eligible to claim the child as a de-cause of marriage, divorce, etc., be sure to re-Example. Lennon, a teacher, agreed to the pendent on your tax return.
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-school board’s condition that, in Lennon’s ab- port the change to your local SSA office before After the adoption is final, you must apply for an sence, Lennon would receive only the differ-filing your return. This prevents delays in pro-SSN for the child. You can’t continue using the ence between Lennon’s regular salary and the cessing your return and issuing refunds. It also ATIN. salary of a substitute teacher hired by the safeguards your future social security benefits. See Form W-7A for more information. school board. Therefore, Lennon didn’t con-Dependent’s SSN. You must provide the SSN structively receive the amount by which Len-Nonresident alien spouse. If your spouse is a of each dependent you claim, regardless of the non’s salary was reduced to pay the substitute nonresident alien, your spouse must have either dependent’s age. This requirement applies to all teacher. an SSN or an ITIN if: dependents (not just your children) claimed on • Accrual method. If you use an accrual your tax return. You file a joint return, or
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-method, you generally report income when you Your child must have an SSN valid for • Your spouse is filing a separate return. earn it, rather than when you receive it. You employment issued before the due ! If your spouse isn’t eligible for an SSN, see the generally deduct your expenses when you incur CAUTION date of your 2025 return (including ex-following discussion on ITINs . them, rather than when you pay them. tensions) to be considered a qualifying child for Individual taxpayer identification number Income paid in advance. An advance pay-certain tax benefits on your original or amended (ITIN). The IRS will issue you an ITIN if you are ment of income is generally included in gross 2025 return. See chapter 14 . a nonresident or resident alien and you don’t income in the year you receive it. Your method have and aren’t eligible to get an SSN. This also of accounting doesn’t matter as long as the in-Exception. If your child was born and died applies to an alien spouse or dependent. To ap-come is available to you. An advance payment in 2025 and didn’t have an SSN, enter “DIED” ply for an ITIN, file Form W-7 with the IRS. It may include rent or interest you receive in ad-on row (3) of the Dependents section of Form vance and pay for services you will perform 1040 or 1040-SR and include a copy of the later. child’s birth certificate, death certificate, or
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-Publication 17 (2025) Chapter 1 Filing Information 13 usually takes about 7 weeks to get an ITIN. En- Negative amounts. If you file a paper return want to expand the designee’s authorization, ter the ITIN on your tax return wherever an SSN and you need to enter a negative amount, put see Pub. 947. is requested. the amount in parentheses rather than using a The authorization will automatically end no
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-Make sure your ITIN hasn’t expired. See In- minus sign. To combine positive and negative later than the due date (without any extensions)
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-dividual taxpayer identification number (ITIN) amounts, add all the positive amounts together for filing your 2026 tax return. This is April 15,
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-renewal, earlier, for more information on expira- and then subtract the negative amounts. 2027, for most people.
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-following years. CAUTION ! the calendar year the ITIN is issued; TIP turn using IRS e-file. There’s nothing to If you file a joint return, both spouses attach or mail, not even your Forms are generally liable for the tax, and the however, you can e-file returns in the ! W-2. See File Electronically , earlier. CAUTION entire tax liability may be assessed against either spouse. See chapter 2 . Form W-2. Form W-2 is a statement from your Your return isn’t considered a valid return un- ITIN for tax use only. An ITIN is for federal employer of wages and other compensation less you sign it in accordance with the require- tax use only. It doesn’t entitle you to social se- paid to you and taxes withheld from your pay. ments in the instructions for your return. curity benefits or change your employment or You should have a Form W-2 from each em- ployer. If you file a paper return, be sure to at- You must handwrite your signature on your immigration status under U.S. law. tach a copy of Form W-2 in the place indicated return if you file it on paper. Digital, electronic, or Penalty for not providing social security on your return. For more information, see Form typed-font signatures are not valid signatures number. If you don’t include your SSN or the W-2 in chapter 4. for Forms 1040 or 1040-SR filed on paper. SSN of your spouse or dependent as required, If you electronically file your return, you can you may have to pay a penalty. See the discus- use an electronic signature to sign your return in sion on Penalties , later, for more information. Form 1099-R. If you received a Form 1099-R accordance with the requirements contained in showing federal income tax withheld, and you the instructions for your return. SSN on correspondence. If you write to the file a paper return, attach a copy of that form in IRS about your tax account, be sure to include Failure to sign your return in accordance the place indicated on your return. completed tax return to your Form W-7. See the TIP Depending on the form you file and the items re-self, your spouse, or a dependent in or- Signatures ported on your return, you may have to com-der to file your tax return, attach your plete additional schedules and forms and attach You must sign and date your return. If you file a them to your paper return. Form W-7 instructions for how and where to file. joint return, both you and your spouse must sign the return, even if only one of you had income. You may be able to file a paperless re-You can’t e-file a return using an ITIN in more information at IRS.gov/ITIN. tion. Attachments If you are applying for an ITIN for your-tion and renewal of ITINs. You can also find See your form instructions for more informa-
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-your SSN (and the name and SSN of your with these requirements may prevent you from
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-spouse, if you filed a joint return) in your corre- Form 1040 or 1040-SR. If you file a paper re- obtaining a refund. spondence. Because your SSN is used to iden- turn, attach any forms and schedules behind Enter your occupation. If you file a joint re-tify your account, this helps the IRS respond to Form 1040 or 1040-SR in order of the “Attach- turn, enter both your occupation and your spou-your correspondence promptly. ment Sequence No.” shown in the upper right se’s occupation.
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-all other statements or attachments in the same When someone can sign for you. You can corner of the form or schedule. Then, arrange
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-Presidential Election appoint an agent to sign your return if you are: order as the forms and schedules they relate to
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-Campaign Fund and attach them last. Don’t attach items unless 1. Unable to sign the return because of dis-required to do so. ease or injury,
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-This fund helps pay for Presidential election 2. Absent from the United States for a contin- campaigns. The fund also helps pay for pedia- Third Party Designee uous period of at least 60 days before the tric medical research. If you want $3 to go to due date for filing your return, or this fund, check the box. If you are filing a joint If you want to allow your preparer, a friend, a return, your spouse can also have $3 go to the 3. Given permission to do so by the IRS of- family member, or any other person you choose fund. If you check the box, your tax or refund fice in your area. to discuss your 2025 tax return with the IRS, won’t change. check the “Yes” box in the “Third Party Desig- Power of attorney. A return signed by an nee” area of your return. Also, enter the design- agent in any of these cases must have a power Computations ee’s name, phone number, and any five digits of attorney (POA) attached that authorizes the the designee chooses as their personal identifi- agent to sign for you. You can use a POA that cation number (PIN). states that the agent is granted authority to sign The following information may be useful in mak- If you check the “Yes” box, you, and your ing the return easier to complete. the return, or you can use Form 2848. Part I of spouse if filing a joint return, are authorizing the Form 2848 must state that the agent is granted Rounding off dollars. You can round off cents IRS to call the designee to answer any ques- authority to sign the return. to whole dollars on your return and schedules. If tions that arise during the processing of your re- you do round to whole dollars, you must round Court-appointed conservator, guardian, or turn. You are also authorizing the designee to: all amounts. To round, drop amounts under 50 other fiduciary. If you are a court-appointed • Give information that is missing from your conservator, guardian, or other fiduciary for a cents and increase amounts from 50 to 99 return to the IRS; cents to the next dollar. For example, $1.39 be- mentally or physically incompetent individual • comes $1 and $2.50 becomes $3. Call the IRS for information about the pro- who has to file a tax return, sign your name for cessing of your return or the status of your the individual. File Form 56. If you have to add two or more amounts to refund or payments; figure the amount to enter on a line, include Unable to sign. If the taxpayer is mentally cents when adding the amounts and round off • Receive copies of notices or transcripts re- competent but physically unable to sign the re- only the total. lated to your return, upon request; and turn or POA, a valid “signature” is defined under If you are entering amounts that include state law. It can be anything that clearly indi- • Respond to certain IRS notices about math cents, make sure to include the decimal point. cates the taxpayer’s intent to sign. For example, errors, offsets (see Refunds , later), and re- There is no cents column on Form 1040 or the taxpayer’s “X” with the signatures of two wit- turn preparation. 1040-SR. nesses might be considered a valid signature You aren’t authorizing the designee to re- under a state’s law. Equal amounts. If you are asked to enter the ceive any refund check, bind you to anything smaller or larger of two equal amounts, enter (including any additional tax liability), or that amount. otherwise represent you before the IRS. If you
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-14 Chapter 1 Filing Information Publication 17 (2025) Spouse unable to sign. If your spouse is un- Starting in October 2025, the IRS will generally Note: If the injured spouse’s residence was
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-able to sign for any reason, see Signing a joint stop issuing paper checks for federal disburse- in a community property state at any time during
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-return in chapter 2. ments, including tax refunds, unless an excep- the tax year, special rules may apply. See the
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-Child’s return. If a child has to file a tax return tion applies. For more information, go to Instructions for Form 8379. IRS.gov/ModernPayments . but can’t sign the return, the child’s parent, If you haven’t filed your joint return and you Don’t request a deposit of any part of your guardian, or another legally responsible person know that your joint refund will be offset, file refund to an account that isn’t in your name. must sign the child’s name, followed by the Form 8379 with your return. You should receive Don’t allow your tax preparer to deposit any part words “By (your signature), parent for minor your refund within 14 weeks from the date the of your refund into the preparer’s account. The child.” paper return is filed or within 11 weeks from the number of direct deposits to a single account or date the return is filed electronically. prepaid debit card is limited to three refunds a Paid Preparer If you filed your joint return and your joint re-year. Learn more at IRS.gov/DepositLimit . fund was offset, file Form 8379 by itself. When Generally, anyone you pay to prepare, assist in IRA. You can have your refund (or part of it) di- filed after offset, it can take up to 8 weeks to re-
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-preparing, or review your tax return must sign it rectly deposited to a traditional IRA or Roth IRA, ceive your refund. Don’t attach the previously
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-and fill in the other blanks, including their Pre- but not a SIMPLE IRA. You must establish the filed tax return, but do include copies of all
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-parer Tax Identification Number (PTIN), in the IRA at a bank or financial institution before you Forms W-2 and W-2G for both spouses and any
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-ually or use a rubber stamp or mechanical de- overpayment is less than $1, you won’t get a re- An injured spouse claim is different from an innocent spouse relief request. fund unless you ask for it in writing. ! vice. The preparer is personally responsible for CAUTION An injured spouse uses Form 8379 to affixing their signature to the return. Refund more or less than expected. If you request the division of the tax overpayment at- If the preparer is self-employed (that is, not receive a refund you aren’t entitled to, or for an tributed to each spouse. An innocent spouse employed by any person or business to prepare overpayment that should have been credited to uses Form 8857, Request for Innocent Spouse the return), the preparer should check the estimated tax, hold the refund in your account. Relief, to request relief from joint liability for tax, self-employed box in the “Paid Preparer Use Check your online account at IRS.gov/Account interest, and penalties on a joint return for items Only” space on the return. or contact the IRS. of the other spouse (or former spouse) that were incorrectly reported on the joint return. For The preparer must give you a copy of your If you receive more than the refund you return in addition to the copy filed with the IRS. information on innocent spouses, see Relief claimed, hold the refund in your account until from joint responsibility If you prepare your own return, leave this you receive a notice explaining the difference. under Filing a Joint Re- turn in chapter 2. returns they prepare. They sign these e-filed re- you may be able to split the refund and have it complete when filed. turns using their tax preparation software. How-deposited into more than one account. Com-A separate Form 8379 must be filed for each ever, you can choose to have your return com-plete Form 8888 and attach it to your return. tax year to be considered. pleted on paper if you prefer. In that case, the Overpayment less than one dollar. If your paid preparer can sign the paper return man-paid preparer’s area of your return. request direct deposit. Forms 1099 that show income tax withheld. The Many preparers are required to e-file the tax processing of Form 8379 may be delayed if Split refunds. If you choose direct deposit, these forms aren’t attached, or if the form is in-
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-area blank. If another person prepares your re- If your refund is for less than you claimed, it turn and doesn’t charge you, that person should be accompanied by a notice explaining
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-shouldn’t sign your return. the difference. Amount You Owe
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-parer must sign your return, contact any IRS of- any questions about the amount of your refund, When you complete your return, you will deter-fice. you should wait 2 weeks. If you still haven’t re-If you have questions about whether a pre- If you didn’t receive a notice and you have
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-ceived a notice, check your online account at you owe. If you owe additional tax, you should mine if you have paid the full amount of tax that
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-When you complete your return, you will deter- Offset against debts. If you are due a refund You don’t have to pay if the amount you but haven’t paid certain amounts you owe, all or TIP owe is under $1. mine if you paid more income tax than you part of your refund may be used to pay all or owed. If so, you can get a refund of the amount Refunds IRS.gov/Account or contact the IRS. pay it with your return.
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-have any of it refunded to you after the due date CAUTION ! If you choose to have a 2025 overpay- chapter 13. tified if the refund you claimed has been offset ment applied to your 2026 estimated against your debts. tax, you can’t change your mind and If you don’t pay your tax when due, you ! Joint return and injured spouse. When a may have to pay a failure-to-pay pen-(without extensions) of your 2025 return. joint return is filed and only one spouse owes a CAUTION alty. See Penalties , later. For more in-formation about your balance due, see Pub. past-due amount, the other spouse can be con-Follow the Instructions for Form 1040 to 594. sidered an injured spouse. An injured spouse complete the entries to claim your refund and/or should file Form 8379, Injured Spouse Alloca-to apply your overpayment to your 2026 estima-part of the overpayment to your next year’s ceive a bill for any tax that is due. You should (such as student loans), state income tax, child (2026) estimated tax. pay this bill within 30 days (or by the due date of and spousal support payments, and state un- your return, if later). See Tax Figured by IRS in employment compensation debt. You will be no- you overpaid or you can choose to apply all or If the IRS figures your tax for you, you will re- past-due federal income tax, other federal debts part of the past-due amount. This includes
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-ted tax. tion, if both of the following apply and the If the amount you owe for 2025 is large, TIP you may want to increase the amount spouse wants a refund of their share of the of income tax withheld from your pay or If your refund for 2025 is large, you may overpayment shown on the joint return. make estimated tax payments for 2026. See TIP want to decrease the amount of in- 1. You aren’t legally obligated to pay the chapter 4 for more information. come tax withheld from your pay in past-due amount. 2026. See chapter 4 for more information.
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-checking, savings, health savings, brokerage, or DIRECT 2. You made and reported tax payments How To Pay DEPOSIT Have your refund de-(such as federal income tax withheld from posited directly into your Simple. Safe. Secure. You can pay online, by phone, by mobile device, your wages or estimated tax payments), or in cash, or by check or money order. Don’t in-claimed a refundable tax credit (see the other similar account, including an individual re-clude any estimated tax payment for 2026 in credits listed under Who Should File , ear-tirement arrangement (IRA). Follow the Instruc-this payment. Instead, make the estimated tax lier). tions for Form 1040 to request direct deposit. payment separately.
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-Publication 17 (2025) Chapter 1 Filing Information 15 Insufficient funds. The penalty for making a If the IRS figures your tax for you, to Gift To Reduce Debt
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-payment to the IRS that was dishonored is $25 TIP avoid interest for late payment, you Held by the Public or 2% of the dishonored payment amount, must pay the bill by the date specified
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-whichever is more. However, if the dishonored on the bill or by the due date of your return, You can make a contribution (gift) to re-payment amount is less than $25, the penalty whichever is later. For information, see Tax Fig-duce debt held by the public. If you equals the amount paid. This penalty applies to ured by IRS in chapter 13. wish to do so, go to Pay.gov and make all acceptable forms of payment if the IRS a contribution by credit card, debit card, PayPal, doesn’t receive the funds. Interest on penalties. Interest is charged on checking account, or savings account. the failure-to-file penalty, the accuracy-related Pay online. Paying online is convenient and penalty, and the fraud penalty from the due date secure and helps make sure we get your pay-Don’t add this gift to any tax you owe. of the return (including extensions) to the date ments on time. of payment. Interest on other penalties starts on For information on making this type of gift You can pay online with a direct transfer the date of notice and demand, but isn’t online, go to TreasururyDirect.gov/Help-Center/ from your bank account using IRS Direct Pay or charged on penalties paid within 21 calendar Public-Debt-FAQs/#DebtFinance and see the the Electronic Federal Tax Payment System days from the date of the notice (or within 10 information under “How do you make a contri-(EFTPS), or by debit or credit card. business days if the notice is for $100,000 or bution to reduce the debt?” To pay your taxes online or for more informa-more). You may be able to deduct this gift as a tion, go to IRS.gov/Payments . charitable contribution on next year’s tax return Interest due to IRS error or delay. All or part Pay by phone. Paying by phone is another if you itemize your deductions on Schedule A of any interest you were charged can be for-safe and secure method of paying online. Use (Form 1040). given if the interest is due to an unreasonable one of the following methods. error or delay by an officer or employee of the Name and Address IRS in performing a ministerial or managerial • EFTPS. act. • Debit or credit card. A ministerial act is a procedural or mechani-Fill in your name and address in the appropriate To get more information about EFTPS or to cal act that occurs during the processing of your area of Form 1040 or 1040-SR. If you are mar-enroll in EFTPS, visit EFTPS.gov or call case. A managerial act includes personnel ried filing a separate return, enter your spouse’s 800-555-4477. To contact EFTPS using Tele-transfers and extended personnel training. A name in the entry space below the filing status communications Relay Services (TRS) for peo-decision concerning the proper application of checkboxes instead of below your name. If you ple who are deaf, hard of hearing, or have a federal tax law isn’t a ministerial or managerial are currently incarcerated, enter your inmate speech disability, dial 711 and then provide the act. identifying number near your last name. TRS assistant the 800-555-4477 number or The interest can be forgiven only if you You must include your SSN in the cor-800-733-4829. Additional information about aren’t responsible in any important way for the rect place on your tax return. EFTPS is also available in Pub. 966. error or delay and the IRS has notified you in ! To pay using a debit or credit card, you can CAUTION writing of the deficiency or payment. For more call one of the following service providers. information, see Pub. 556. P.O. box. If your post office doesn’t deliver mail There is a convenience fee charged by these Interest and certain penalties may also be to your street address and you have a P.O. box, providers that varies by provider, card type, and suspended for a limited period if you filed your enter your P.O. box number on the line for your payment amount. return by the due date (including extensions) present home address instead of your street ad-
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-888-PAY-1040TM (888-729-1040) it before the close of the 36-month period begin- enter the city name on the appropriate line. PAY1040.com ning on the later of: Don’t enter any other information on that line, • The date the return is filed, or but do complete the spaces below that line ACI Payments, Inc. Link2Gov Corporation specifically stating your liability and the basis for Foreign address. If you have foreign address, and the IRS doesn’t provide you with a notice dress.
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-888-UPAY-TAX • (Foreign country name, Foreign province/state/ The due date of the return without regard TM (888-872-9829) county, and Foreign postal code). to extensions. fed.acipayonline.com Don’t abbreviate the country name. For more information, see Pub. 556.
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-For the latest details on how to pay by Where Do I File?
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-phone, go to IRS.gov/Payments. Installment Agreement
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-Pay by cash. You can pay your taxes in cash. If you can’t pay the full amount due with your re- After you complete your return, you must send it To find out about the different cash payment turn, you can ask to make monthly installment to the IRS. If you must mail your return, mail it to
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-methods, go to IRS.gov/PayCash. Don’t send payments for the full or a partial amount. How- the address shown in the Instructions for Form
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-cash payments through the mail. ever, you will be charged interest and may be 1040. See File Electronically, earlier.
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-sider alternative methods. One of our safe, request is granted, you must also pay a fee. To quick, and easy electronic payment options I File? limit the interest and penalty charges, pay as might be right for you. If you choose to mail a much of the tax as possible with your return. But After you send your return to the IRS, you may tax payment, attach Form 1040-V. For the most before requesting an installment agreement, have some questions. This section discusses up-to-date information on Form 1040-V, go to mitting a payment through the mail, please con- request to pay in installments is granted. If your What Happens After Pay by check or money order. Before sub- paid by the date your return is due, even if your charged a late payment penalty on the tax not
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-IRS.gov/Form1040V you should consider other less costly alterna- concerns you may have about recordkeeping, . tives, such as a bank loan or credit card pay- your refund, and what to do if you move. Estimated tax payments. Don’t include any ment.
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-2026 estimated tax payment in the payment for To apply for an installment agreement on- What Records Should
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-your 2025 income tax return. See chapter 4 for line, go to IRS.gov/OPA. You can also use Form I Keep? information on how to pay estimated tax. 9465.
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-Interest This part discusses why you should keep re- In addition to paying by check or money or-
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-der, you can use a credit or debit card or direct
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-Interest is charged on tax you don’t pay by the payment from your bank account to make in- cords, what kinds of records you should keep,
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-due date of your return. Interest is charged even stallment agreement payments. See and how long you should keep them. How To
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-if you get an extension of time for filing. Pay, earlier.
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-16 Chapter 1 Filing Information Publication 17 (2025)
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-You must keep records so that you can cords. They can help you prepare future tax re- When you sell your home, your records prepare a complete and accurate in- turns, and you will need them if you file an should show the sales price and any selling ex-
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-RECORDS come tax return. The law doesn’t re- amended return or are audited. Copies of your penses, such as commissions. For information quire any special form of records. However, you returns and other records can be helpful to your on selling your home, see Pub. 523.
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-should keep all receipts, canceled checks or survivor or the executor or administrator of your Investments. Your basic records should ena-other proof of payment, and any other records estate. ble you to determine your basis in an invest-to support any deductions or credits you claim. You can get a transcript, review your most ment and whether you have a gain or loss when recently filed tax return, and get your adjusted If you file a claim for refund, you must be you sell it. Investments include stocks, bonds, gross income from your online account. To cre-able to prove by your records that you have and mutual funds. Your records should show the ate or access your online account go to overpaid your tax. purchase price, sales price, and commissions. IRS.gov/Account . This part doesn’t discuss the records you They may also show any reinvested dividends, If necessary, you can request a copy of a re-should keep when operating a business. For in-stock splits and dividends, load charges, and turn and all attachments (including Form W-2) formation on business records, see Pub. 583. original issue discount (OID). from the IRS by using Form 4506. There is a For information on stocks, bonds, and mu-charge for a copy of a return. For information on tual funds, see Pub. 550 and Pub. 551. Why Keep Records? the cost and where to file, see the Instructions for Form 4506. Proof of Payment Good records help you: If you just need information from your return,
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-• you can order a transcript in one of the following One of your basic records is proof of payment. Identify sources of income. Your records ways. You should keep these records to support cer- can identify the sources of your income to tain amounts shown on your tax return. Proof of help you separate business from nonbusi- • Access your online account at IRS.gov/ payment alone isn’t proof that the item claimed ness income and taxable from nontaxable Account . on your return is allowable. You should also income. • Go to IRS.gov/Transcript . keep other documents that will help prove that • Keep track of expenses. You can use the item is allowable. • Use Form 4506-T or Form 4506T-EZ. your records to identify expenses for which Generally, you prove payment with a cash you can claim a deduction. This helps you • Call 800-908-9946. receipt, financial account statement, credit card determine if you can itemize deductions on There is no fee for a transcript. For more infor- statement, canceled check, or substitute check. your tax return. mation, see Form 4506-T. If you make payments in cash, you should get a
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-• Keep track of the basis of property. You dated and signed receipt showing the amount
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-need to keep records that show the basis and the reason for the payment. Basic Records of your property. This includes the original If you make payments using your bank ac-
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-cost or other basis of the property and any count, you may be able to prove payment with Basic records are documents that everybody
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-improvements you made. an account statement. should keep. These are the records that prove
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-• Prepare tax returns. You need records to your income and expenses. If you own a home Account statements. You may be able to
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-• tain documents related to those items. statement prepared by your bank or other finan- Support items reported on tax returns. cial institution. prepare your tax return. or investments, your basic records should con- prove payment with a legible financial account
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-The IRS may question an item on your re- Income. Your basic records prove the amounts
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-item and arrive at the correct tax. If you come may include wages, dividends, interest, penses withheld from your paycheck, such as and partnership or S corporation distributions. turn. Your records will help you explain any you report as income on your tax return. Your in- Pay statements. You may have deductible ex-can’t produce the correct documents, you medical insurance premiums. You should keep
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-may have to pay additional tax and be sub- Your records can also prove that certain your year-end or final pay statements as proof ject to penalties. amounts aren’t taxable, such as tax-exempt in- of payment of these expenses.
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-terest.
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-Kinds of Records To Keep Note: If you receive a Form W-2, keep Copy How Long To Keep C until you begin receiving social security bene-Records The IRS doesn’t require you to keep your re-fits. This will help protect your benefits in case cords in a particular way. Keep them in a man-there is a question about your work record or You must keep your records as long as they ner that allows you and the IRS to determine earnings in a particular year. may be needed for the administration of any your correct tax. provision of the Internal Revenue Code. Gener-Expenses. Your basic records prove the ex-You can use your checkbook to keep a re-ally, this means you must keep records that sup-penses for which you claim a deduction (or cord of your income and expenses. You also port items shown on your return until the period credit) on your tax return. Your deductions may need to keep documents, such as receipts and of limitations for that return runs out. include alimony, charitable contributions, mort-sales slips, that can help prove a deduction. The period of limitations is the period of time gage interest, and real estate taxes. You may In this section, you will find guidance about in which you can amend your return to claim a also have childcare expenses for which you can basic records that everyone should keep. The credit or refund or the IRS can assess additional claim a credit. section also provides guidance about specific tax. Table 1-6 contains the periods of limitations records you should keep for certain items. Home. Your basic records should enable you that apply to income tax returns. Unless other-to determine the basis or adjusted basis of your wise stated, the years refer to the period begin-Electronic records. All requirements that ap-home. You need this information to determine if ning after the return was filed. Returns filed be-ply to hard copy books and records also apply you have a gain or loss when you sell your fore the due date are treated as being filed on to electronic storage systems that maintain tax home or to figure depreciation if you use part of the due date. books and records. When you replace hard your home for business purposes or for rent. copy books and records, you must maintain the Your records should show the purchase price, electronic storage systems for as long as they Table 1-6. Period of Limitations settlement or closing costs, and the cost of any are material to the administration of tax law. improvements. They may also show any casu-For details on electronic storage system re-IF you... THEN the alty losses deducted and insurance reimburse-quirements, see Revenue Procedure 97-22, period is... ments for casualty losses. which is on page 9 of Internal Revenue Bulletin For detailed information on basis, including 1 File a return and (2), 3 years. 1997-13 at IRS.gov/pub/irs-irbs/irb97-13.pdf . which settlement or closing costs are included (3), and (4) don’t apply Copies of tax returns. You should keep cop-in the basis of your home, see Pub. 551. to you, ies of your tax returns as part of your tax re-
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-Publication 17 (2025) Chapter 1 Filing Information 17
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-Property. Keep records relating to property un-2 Don’t report income File your claim within the period of time that ap- If you need a copy of your return, see Copies of 6 years. plies. See Amended Returns and Claims for Re- tax returns under Kinds of Records To Keep, that you should and it is fund , later. If you don’t accept a refund, no more earlier, in this chapter. more than 25% of the interest will be paid on the overpayment inclu- gross income shown on Form 1040-X. Use Form 1040-X to correct a ded in the payment amount. return you have already filed. your return, Interest on erroneous refund. All or part of 3 File a fraudulent return, No limit. any interest you were charged on an erroneous Completing Form 1040-X. On Form 1040-X, enter your income, deductions, and refund will generally be forgiven. Any interest 4 Don’t file a return, No limit. charged for the period before demand for repay- credits as you originally reported them on your 5 File a claim for credit or The later of 3 ment was made will be forgiven unless: return; the changes you are making; and the refund after you filed years or 2 corrected amounts. Then, figure the tax on the 1. You, or a person related to you, caused your return, years after tax corrected amount of taxable income and the the erroneous refund in any way; or was paid. amount you owe or your refund. If you owe tax, the IRS offers several pay- 2. The refund is more than $50,000. 6 File a claim for a loss 7 years. ment options. See How To Pay , earlier. The tax from worthless For example, if you claimed a refund of $100 owed won’t be subtracted from any amount you securities or bad debt on your return, but the IRS made an error and had credited to your estimated tax. deduction, sent you $1,000, you wouldn’t be charged inter- If you can’t pay the full amount due with your est for the time you held the $900 difference. return, you can ask to make monthly installment You must, however, repay the $900 when the payments. See Installment Agreement , earlier. IRS asks. If you overpaid tax, you can have all or part til the period of limitations expires for the year in of the overpayment refunded to you, or you can Change of Address which you dispose of the property in a taxable apply all or part of it to your estimated tax. If you disposition. You must keep these records to fig- choose to get a refund, it will be sent separately
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-ure your basis for computing gain or loss when If you have moved, file your return using your from any refund shown on your original return.
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-of limitations expires for the year in which you File a separate form for each tax year in- Center serving your old address. You can use volved. dispose of the new property in a taxable dispo- Form 8822, Change of Address. If you are ex- You can file Form 1040-X electronically to sition. pecting a refund, also notify the post office serv- amend Form 1040 and 1040-SR for the current ing your old address. This will help in forwarding year or the two prior tax periods. For more infor- Refund Information your check to your new address (unless you mation, see Instructions for Form 1040-X. chose direct deposit of your refund). For more If you must mail your Form 1040-X, mail it to information, see Revenue Procedure 2010-16, You can go online to check the status of your the Internal Revenue Service Center serving the 2010-19 I.R.B. 664, available at IRS.gov/irb/ 2025 refund 24 hours after the IRS receives area where you now live (as shown in the In- 2010-19_IRB/ar07.html . your e-filed return, or 4 weeks after you mail a structions for Form 1040-X). However, if you are Be sure to include your SSN (and the name paper return. If you filed Form 8379 with your re- filing Form 1040-X in response to a notice you and SSN of your spouse if you filed a joint re- turn, allow 14 weeks (11 weeks if you filed elec- taxable exchange, your basis in that property is should give the IRS clear and concise notifica- your original return and explain all changes you the same as the basis of the property you gave tion of your change of address. The notification made. Be sure to attach any forms or schedules up. You must keep the records on the old prop-may be written, electronic, or oral. Send written needed to explain your changes. erty, as well as the new property, until the period notification to the Internal Revenue Service you sell or otherwise dispose of the property. new address. Generally, if you received property in a non- Filing Form 1040-X. When completing If you move after you filed your return, you Form 1040-X, don’t forget to show the year of
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-tronically) before checking your refund status. turn) in any correspondence with the IRS. received from the IRS, mail it to the address shown on the notice. Be sure to have a copy of your 2025 tax return What if I Made Time for filing a claim for refund. Generally, available because you will need to know the fil- you must file your claim for a credit or refund ing status, the first SSN shown on the return, a Mistake? within 3 years after the date you filed your origi- and the exact whole-dollar amount of the re- nal return or within 2 years after the date you fund. To check on your refund, do one of the fol- Errors may delay your refund or result in notices paid the tax, whichever is later. Returns filed be- lowing. being sent to you. If you discover an error, you fore the due date (without regard to extensions) • Go to IRS.gov/Refunds . can file an amended return or claim for refund. are considered filed on the due date (even if the due date was a Saturday, Sunday, or legal holi- • Download the free IRS2Go app to your day). These time periods are suspended while smart phone and use it to check your re- Amended Returns and fund status. you are financially disabled , discussed later. Claims for Refund If the last day for claiming a credit or refund • Call the automated refund hotline at is a Saturday, Sunday, or legal holiday, you can 800-829-1954. You should correct your return if, after you have file the claim on the next business day. filed it, you find that: If you don’t file a claim within this period, you Interest on Refunds may not be entitled to a credit or a refund. 1. You didn’t report some income,
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-If you are due a refund, you may get interest on 2. You claimed deductions or credits you Federally declared disaster. If you were
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-it. The interest rates are adjusted quarterly. shouldn’t have claimed, affected by a federally declared disaster, you
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-due date of your return, no interest will be paid. If the refund is made within 45 days after the may have additional time to file your amended 3. You didn’t claim deductions or credits you return. See Pub. 556 for details. could have claimed, or
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-If you file your return after the due date (includ- Protective claim for refund. Generally, a pro- 4. You should have claimed a different filing ing extensions), no interest will be paid if the re- tective claim is a formal claim or amended re- status. (Once you file a joint return, you fund is made within 45 days after the date you turn for credit or refund normally based on cur- can’t choose to file separate returns for filed. If the refund isn’t made within this 45-day rent litigation or expected changes in tax law or that year after the due date of the return. period, interest will be paid from the due date of other legislation. You file a protective claim However, an executor may be able to the return or from the date you filed, whichever when your right to a refund is contingent on fu- make this change for a deceased spouse.) is later. ture events and may not be determinable until Accepting a refund doesn’t change your after the statute of limitations expires. A valid right to claim an additional refund and interest. protective claim doesn’t have to list a particular
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-18 Chapter 1 Filing Information Publication 17 (2025) dollar amount or demand an immediate refund. your claim more than 3 years after you filed your lowed, or subject to examination. If a claim is However, a valid protective claim must: return, your refund will be limited to the $200 examined, the procedures are the same as in
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-Mail your protective claim for refund to the ad-• you paid during the 2 years immediately before the examination of a tax return. Be in writing and signed; you filed your claim. If your claim is disallowed, you will receive • Include your name, address, SSN or ITIN, an explanation of why it was disallowed. Financially disabled. The time periods for and other contact information; claiming a refund are suspended for the period Taking your claim to court. You can sue for a • Identify and describe the contingencies af-in which you are financially disabled. For a joint refund in court, but you must first file a timely fecting the claim; income tax return, only one spouse has to be fi-claim with the IRS. If the IRS disallows your • Clearly alert the IRS to the essential nature nancially disabled for the time period to be sus-claim or doesn’t act on your claim within 6 of the claim; and pended. You are financially disabled if you are months after you file it, you can then take your unable to manage your financial affairs because claim to court. For information on the burden of • Identify the specific year(s) for which a re-of a medically determinable physical or mental proof in a court proceeding, see Pub. 556. fund is sought. impairment that can be expected to result in The IRS provides a direct method to move death or that has lasted or can be expected to your claim to court if: dress listed in the Instructions for Form 1040-X last for a continuous period of not less than 12 • You are filing a claim for a credit or refund under Where To File. months. However, you aren’t treated as finan-based solely on contested income tax or Generally, the IRS will delay action on the cially disabled during any period your spouse or on estate tax or gift tax issues considered protective claim until the contingency is re-any other person is authorized to act on your in your previously examined returns, and solved. behalf in financial matters. • To claim that you are financially disabled, You want to take your case to court instead Limit on amount of refund. If you file your you must send in the following written state-of appealing it within the IRS. claim within 3 years after the date you filed your ments with your claim for refund. return, the credit or refund can’t be more than When you file your claim with the IRS, you the part of the tax paid within the 3-year period 1. A statement from your qualified physician get the direct method by requesting in writing
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-payments, made before the due date (without or in the U.S. Court of Federal Claims. managing your financial affairs; regard to extensions) of the original return are Interest on refund. If you receive a refund be-c. The physician’s medical opinion that considered paid on the due date. For example, cause of your amended return, interest will be income tax withheld during the year is consid-the impairment was or can be expec-paid on it from the due date of your original re-ered paid on the due date of the return, which is ted to result in death, or that its dura-turn or the date you filed your original return, tion has lasted, or can be expected to April 15 for most taxpayers. whichever is later, to the date you filed the last, at least 12 months; amended return. However, if the refund isn’t Example 1. You made estimated tax pay-made within 45 days after you file the amended d. The specific time period (to the best of ments of $500 and got an automatic extension return, interest will be paid up to the date the re-the physician’s knowledge); and of time to October 15, 2022, to file your 2021 in-cially disabled finan- You have 2 years from the date of mailing of physical or mental impairment; , discussed later. the notice of claim disallowance to file a refund b. The physician’s medical opinion that suit in the U.S. District Court having jurisdiction Tax paid. Payments, including estimated tax the impairment prevented you from immediately before you filed the claim. This tice of claim disallowance will be sent to you. a. The name and a description of your time period is suspended while you are (plus any extension of time for filing your return) that includes: that your claim be immediately rejected. A no-
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-fund is paid.
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-that date, you paid an additional $200 tax. On Reduced refund. Your refund may be reduced come tax return. When you filed your return on e. The following certification signed by
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-October 15, 2025, you filed an amended return by an additional tax liability that has been as- the physician: “I hereby certify that, to
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-and claimed a refund of $700. Because you sessed against you. the best of my knowledge and belief, the above representations are true,
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-Example 1, except you filed your return on Oc- to act for you). tober 30, 2022, 2 weeks after the extension pe- Effect on state tax liability. If your return is riod ended. You paid an additional $200 on that Exceptions for special types of refunds. If changed for any reason, it may affect your state date. On October 30, 2025, you filed an amen-you file a claim for one of the items in the follow-income tax liability. This includes changes ded return and claimed a refund of $700. Al-ing list, the dates and limits discussed earlier made as a result of an examination of your re-though you filed your claim within 3 years from may not apply. These items, and where to get turn by the IRS. Contact your state tax agency the date you filed your original return, the refund more information, are as follows. for more information. was limited to $200, the tax paid within the 3 • Bad debt. See Pub. 550. years plus the 6-month extension period imme-• diately before you filed the claim. The estimated Worthless security. See Pub. 550. Penalties tax of $500 paid before that period can’t be re-• Foreign tax paid or accrued. See Pub. 514. The law provides penalties for failure to file re-funded or credited. turns or pay taxes as required. • Net operating loss carryback. See Form If you file a claim more than 3 years after you 172 and the Instructions for Form 172. 6-month extension period immediately before the claim for credit or refund that no per- debts, child support, spousal support, or certain son, including your spouse, was author- other federal nontax debts, such as student you filed the claim. ized to act on your behalf in financial mat- loans. If your spouse owes these debts, see ters during the period of disability (or the Offset against debts under Refunds, earlier, for Example 2. The situation is the same as in exact dates that a person was authorized the correct refund procedures to follow. your original return, you can get a refund of up amounts you owe for past-due federal tax, state 2. A statement made by the person signing income tax, state unemployment compensation to $700, the tax paid within the 3 years plus the filed your claim within 3 years after you filed Also, your refund may be reduced by correct, and complete.”
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-more than the tax you paid within the 2 years • Carryback of certain business tax credits. If you don’t file your return and pay your tax by immediately before you file the claim. file your return, the credit or refund can’t be Civil Penalties
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-See Form 3800. the due date, you may have to pay a penalty.
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-Example. You filed your 2021 tax return on • Claim based on an agreement with the IRS You may also have to pay a penalty if you sub-
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-April 15, 2022. You paid taxes of $500. On No- extending the period for assessment of tax. stantially understate your tax, understate a re-
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-vember 5, 2023, after an examination of your portable transaction, file an erroneous claim for refund or credit, file a frivolous tax submission, 2021 return, you had to pay an additional tax of Processing claims for refund. Claims are or fail to supply your SSN or ITIN. If you provide $200. On May 12, 2025, you file a claim for a usually processed 8–12 weeks after they are
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-refund of $300. However, because you filed filed. Your claim may be accepted as filed, disal-
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-Publication 17 (2025) Chapter 1 Filing Information 19 fraudulent information on your return, you may The penalty is equal to 20% of the underpay- Foreign financial asset. For more informa-have to pay a civil fraud penalty. ment. The penalty is 40% of any portion of the tion on undisclosed foreign financial assets, see
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-due date (including extensions), you may have an undisclosed foreign financial asset transac- Reasonable cause. You won’t have to pay a to pay a failure-to-file penalty. The penalty is tion. The penalty won’t be figured on any part of penalty if you show a good reason (reasonable usually 5% for each month or part of a month Filing late. If you don’t file your return by the closed noneconomic substance transaction or underpayment that is attributable to an undis- section 6662(j).
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-that a return is late, but not more than 25%. The (discussed later) is charged. an underpayment on which the fraud penalty cause) for the way you treated an item. You
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-date (without regard to extensions). Negligence or disregard. The term “negli- economic substance. gence” includes a failure to make a reasonable Fraud. If your failure to file is due to fraud, penalty is based on the tax not paid by the due This doesn’t apply to a transaction that lacks must also show that you acted in good faith.
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-attempt to comply with the tax law or to exercise Filing erroneous claim for refund or credit.
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-the penalty is 15% for each month or part of a You may have to pay a penalty if you file an erro- ordinary and reasonable care in preparing a re-
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-month that your return is late, up to a maximum turn. Negligence also includes failure to keep neous claim for refund or credit. The penalty is of 75%. adequate books and records. You won’t have to equal to 20% of the disallowed amount of the
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-pay a negligence penalty if you have a reasona- claim, unless you can show a reasonable basis
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-Return over 60 days late. If you file your re- for the way you treated an item. However, any ble basis for a position you took.
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-turn more than 60 days after the due date, or The term “disregard” includes any careless, disallowed amount due to a transaction that extended due date, the minimum penalty is the reckless, or intentional disregard. lacks economic substance won’t be treated as smaller of $525 or 100% of the unpaid tax. having a reasonable basis. The penalty won’t
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-Adequate disclosure. You can avoid the be figured on any part of the disallowed amount
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-Exception. You won’t have to pay the pen- penalty for disregard of rules or regulations if of the claim that relates to the earned income
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-alty if you show that you failed to file on time be- you adequately disclose on your return a posi- credit or on which the accuracy-related or fraud
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-Paying tax late. You will have to pay a fail- pay a penalty of $5,000 if you file a frivolous tax attributable to a tax shelter. In addition, it won’t 1 ure-to-pay penalty of / 2 of 1% (0.50%) of your return or other frivolous submissions. A frivolous apply if you fail to keep adequate books and re- unpaid taxes for each month, or part of a month, tax return is one that doesn’t include enough in- cords, or substantiate items properly. after the due date that the tax isn’t paid. This formation to figure the correct tax or that con- Substantial understatement of income penalty doesn’t apply during the automatic tains information clearly showing that the tax tax. You understate your tax if the tax shown on willful neglect. Disclosure statement, later. Frivolous tax submission. You may have to This exception won’t apply to an item that is cause of reasonable cause and not because of tion that has at least a reasonable basis. See penalties are charged.
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-6-month extension of time to file period if you you reported is substantially incorrect. For more
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-paid at least 90% of your actual tax liability on or your return is less than the correct tax. The un- information on frivolous returns, frivolous sub-before the due date of your return and pay the derstatement is substantial if it is more than the missions, and a list of positions that are identi-balance when you file the return. larger of 10% of the correct tax or $5,000. How- fied as frivolous, see Notice 2010-33, 2010-17
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-The monthly rate of the failure-to-pay pen- ever, the amount of the understatement may be I.R.B. 609, available at IRS.gov/irb/
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-alty is half the usual rate (0.25% instead of reduced to the extent the understatement is due 2010-17_IRB/ar13.html. 0.50%) if an installment agreement is in effect to: You will have to pay the penalty if you filed for that month. You must have filed your return this kind of return or submission based on a friv- 1. Substantial authority, or
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-by the due date (including extensions) to qualify olous position or a desire to delay or interfere
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-for this reduced penalty. 2. Adequate disclosure and a reasonable ba- with the administration of federal tax laws. This
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-will increase to 1% at the start of the first month language above the space provided for your If an item on your return is attributable to a tax beginning at least 10 days after the day that the signature. shelter, there is no reduction for an adequate notice is issued. If a notice and demand for im- If a notice of intent to levy is issued, the rate sis. includes altering or striking out the preprinted
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-disclosure. However, there is a reduction for a This penalty is added to any other penalty
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-not paying your tax on time. turn doesn’t apply to a spouse unless some part are court opinions, Treasury regulations, reve- Combined penalties. If both the failure-to-file of the underpayment is due to the fraud of that nue rulings, revenue procedures, and notices spouse. penalty and the failure-to-pay penalty (dis- and announcements issued by the IRS and cussed earlier) apply in any month, the 5% (or published in the Internal Revenue Bulletin that Failure to supply SSN. If you don’t include 15%) failure-to-file penalty is reduced by the involve the same or similar circumstances as your SSN or the SSN of another person where failure-to-pay penalty. However, if you file your yours. required on a return, statement, or other docu- return more than 60 days after the due date or ment, you will be subject to a penalty of $50 for extended due date, the minimum penalty is the Disclosure statement. To adequately dis- each failure. You will also be subject to a pen- smaller of $525 or 100% of the unpaid tax. close the relevant facts about your tax treatment alty of $50 if you don’t give your SSN to another of an item, use Form 8275. You must also have person when it is required on a return, state- Accuracy-related penalty. You may have to a reasonable basis for treating the item the way ment, or other document. pay an accuracy-related penalty if you underpay you did. your tax because: For example, if you have a bank account that In cases of substantial understatement only, earns interest, you must give your SSN to the 1. You show negligence or disregard of the demand is issued. your return due to fraud, a penalty of 75% of the underpayment due to fraud will be added to Substantial authority. Whether there is or This penalty can’t be more than 25% of your your tax. was substantial authority for the tax treatment of unpaid tax. You won’t have to pay the penalty if an item depends on the facts and circumstan- you can show that you had a good reason for Joint return. The fraud penalty on a joint re- ces. Some of the items that may be considered crease to 1% at the start of the first month be- reasonably believed that your tax treatment was Fraud. If there is any underpayment of tax on ginning after the day that the notice and more likely than not the proper treatment. mediate payment is issued, the rate will in- provided by law. position with substantial authority, but only if you
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-2. You substantially understate your income ered adequately disclosed on your return with- you. If you don’t give the bank your SSN, you out filing Form 8275. tax, will be subject to the $50 penalty. (You may also Use Form 8275-R to disclose items or posi- be subject to “backup” withholding of income 3. You claim tax benefits for a transaction rules or regulations, 1099-INT or other statement the bank sends Procedure 2024-44 (or later update) are consid- bank. The number must be shown on the Form items that meet the requirements of Revenue
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-tions contrary to regulations.
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-tax. See chapter 4.)
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-that lacks economic substance, or
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-Transaction lacking economic substance. You won’t have to pay the penalty if you are
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-4. You fail to disclose a foreign financial as- For more information on economic substance, able to show that the failure was due to reason-
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-set. see section 7701(o). able cause and not willful neglect.
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-20 Chapter 1 Filing Information Publication 17 (2025)
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-You may be subject to criminal prosecution of the IRS name, logo, forms, or other IRS prop-Criminal Penalties phishing@irs.gov. You may also report misuse Marital Status
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-(brought to trial) for actions such as: erty to the Treasury Inspector General for Tax Administration toll free at 800-366-4484. You In general, your filing status depends on 1. Tax evasion; can forward suspicious emails to the Federal whether you are considered unmarried or mar-
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-Identity Theft 2. Willful failure to file a return, supply infor- Trade Commission (FTC) at spam@uce.gov or ried. report them at ftc.gov/complaint . You can con-mation, or pay any tax due; Unmarried persons. You are considered un-tact them at ftc.gov/idtheft or 877-IDTHEFT married for the whole year if, on the last day of 3. Fraud and false statements; (877-438-4338). If you have been a victim of your tax year, you are either: identity theft, see IdentityTheft.gov or Pub. 4. Preparing and filing a fraudulent return; or 5027. People who are deaf, hard of hearing, or • Unmarried, or 5. Identity theft. have a speech disability and who have access • Legally separated from your spouse under to TTY/TDD equipment can call 866-653-4261. a divorce or separate maintenance decree. Go to IRS.gov/IDProtection to learn more State law governs whether you are married about identity theft and how to reduce your risk. or legally separated under a divorce or separate Identity theft occurs when someone uses your maintenance decree. personal information such as your name, SSN, Definition of marriage. A marriage of two indi-or other identifying information, without your viduals is recognized for federal tax purposes if permission, to commit fraud or other crimes. An the marriage is recognized by the state or terri-identity thief may use your SSN to get a job or 2. may file a tax return using your SSN to receive a refund. tory of the United States in which the marriage is entered into, regardless of legal residence. Two individuals who enter into a relationship To reduce your risk: that is denominated as marriage under the laws • Protect your SSN, Filing Status • Ensure your employer is protecting your of a foreign jurisdiction or an American Indian tribe are recognized as married for federal tax SSN, and purposes if the relationship would be recog-nized as marriage under the laws of at least one • Be careful when choosing a tax preparer. Introduction state or territory of the United States, regardless If your tax records are affected by identity of legal residence. Individuals who have en-theft and you receive a notice from the IRS, re- This chapter helps you determine which filing tered into a registered domestic partnership,
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-ber printed on the IRS notice or letter. denominated as a marriage under the law of the Single. • If your SSN has been lost or stolen or you spond right away to the name and phone num- status to use. There are five filing statuses. civil union, or other similar relationship that isn’t
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-state or territory of the United States where
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-theft, visit IRS.gov/IdentityTheft to learn what fully married for federal tax purposes, regard- • Married filing separately. steps you should take. less of legal residence. See Considered mar- • suspect you are a victim of tax-related identity • Married filing jointly. such relationship was entered into aren’t law-
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-For more information, see Pub. 5027. Head of household. ried, next.
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-All taxpayers are now eligible for an • Qualifying surviving spouse. Divorced persons. If you are divorced un-
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-TIP der a final decree by the last day of the year, Identity Protection Personal Identifica- If more than one filing status applies to
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-tion Number (IP PIN). For more infor- you are considered unmarried for the whole TIP you, choose the one that will give you
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-mation, see Pub. 5477. To apply for an IP PIN, year. the lowest tax.
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-go to IRS.gov/IPPIN and use the Get an IP PIN You must determine your filing status before Divorce and remarriage. If you obtain a di-tool. you can determine whether you must file a tax vorce for the sole purpose of filing tax returns as unmarried individuals, and at the time of divorce Victims of identity theft who are experienc-return ( chapter 1 ), your standard deduction ( ing economic harm or a systemic problem, or chapter 10 ), and your tax ( chapter 11 ). You you intend to and do, in fact, remarry each other also use your filing status to determine whether are seeking help in resolving tax problems that in the next tax year, you and your spouse must you are eligible to claim certain deductions and have not been resolved through normal chan-file as married individuals in both years.
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-nels, may be eligible for Taxpayer Advocate credits. Annulled marriages. If you obtain a court Service (TAS) assistance. You can reach TAS decree of annulment, which holds that no valid by calling the National Taxpayer Advocate help-Useful Items marriage ever existed, you are considered un-line at 877-777-4778 or 800-829-4059 (TTY/ You may want to see: married even if you filed joint returns for earlier TDD). Deaf or hard-of-hearing individuals can years. File Form 1040-X, Amended U.S. Individ-also contact the IRS through the Telecommuni-ual Income Tax Return, claiming single or head Publication cations Relay Services (TRS) at FCC.gov/TRS . of household status for all tax years that are af- 3 Protect yourself from suspicious emails 3 Armed Forces’ Tax Guide fected by the annulment and not closed by the statute of limitations for filing a tax return. Gen-or phishing schemes. Phishing is the creation 501 501 Dependents, Standard Deduction, erally, for a credit or refund, you must file Form and Filing Information and use of email and websites designed to 1040-X within 3 years (including extensions) af-mimic legitimate business emails and websites. 503 503 Child and Dependent Care Expenses ter the date you filed your original return or The most common form is the act of sending an within 2 years after the date you paid the tax, email to a user falsely claiming to be an estab- 519 519 U.S. Tax Guide for Aliens whichever is later. If you filed your original return lished legitimate enterprise in an attempt to 555 555 Community Property early (for example, March 1), your return is con-scam the user into surrendering private informa-sidered filed on the due date (generally April tion that will be used for identity theft. 559 559 Survivors, Executors, and 15). However, if you had an extension to file (for The IRS doesn’t initiate contact with taxpay-Administrators example, until October 15) but you filed earlier ers via emails. Also, the IRS doesn’t request de- 596 596 Earned Income Credit (EIC) and we received it on July 1, your return is con-tailed personal information through email or ask sidered filed on July 1. taxpayers for the PIN numbers, passwords, or 925 925 Passive Activity and At-Risk Rules
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-similar secret access information for their credit Head of household or qualifying surviv- 971 971 Innocent Spouse Relief card, bank, or other financial accounts. ing spouse. If you are considered unmarried,
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-If you receive an unsolicited email claiming For these and other useful items, go to IRS.gov/ you may be able to file as head of household or
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-to be from the IRS, forward the message to Forms. as qualifying surviving spouse. See Head of
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-Publication 17 (2025) Chapter 2 Filing Status 21
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-Household and Qualifying Surviving Spouse, • You don’t want to be responsible for any Married Filing Jointly later, to see if you qualify. taxes due if your spouse doesn't have
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-married for the whole year if, on the last day of Considered married. You are considered both you and your spouse agree to file a joint re- Divorced taxpayer. You may be held jointly and individually responsible for any tax, interest, turn. On a joint return, you and your spouse re- and penalties due on a joint return filed before port your combined income and deduct your your divorce. This responsibility may apply even your tax year, you and your spouse meet any combined allowable expenses. You can file a if your divorce decree states that your former one of the following tests. ried, you and your spouse can file a joint return estimated tax. ing status if you are considered married and or separate returns. Married persons. If you are considered mar- You can choose married filing jointly as your fil- enough tax withheld or doesn't pay enough
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-deductions. spouse will be responsible for any amounts due joint return even if one of you had no income or
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-1. You are married and living together. on previously filed joint returns.
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-spouse died during the year, you are consid-2. You are living together in a common law If you and your spouse decide to file a joint Relief from joint responsibility. In some return, your tax may be lower than your com-marriage recognized in the state where cases, one spouse may be relieved of joint re-bined tax for the other filing statuses. Also, your you now live or in the state where the com-sponsibility for tax, interest, and penalties on a standard deduction (if you don’t itemize deduc-mon law marriage began. joint return for items of the other spouse that tions) may be higher, and you may qualify for were incorrectly reported on the joint return. You 3. You are married and living apart, but not tax benefits that don’t apply to other filing sta-can ask for relief no matter how small the liabil-legally separated under a decree of di-tuses. ity. vorce or separate maintenance. How to file. On Form 1040 or 1040-SR, show There are three types of relief available. 4. You are separated under an interlocutory your filing status as married filing jointly by 1. Innocent spouse relief. (not final) decree of divorce. checking the “Married filing jointly” box on the 2. Separation of liability (available only to Filing Status line near the top of the form. Use Spouse died during the year. If your the Married filing jointly column of the Tax Table, joint filers whose spouse has died, or who are divorced, legally separated, or haven't or Section B of the Tax Computation Work-ered married for the whole year for filing status lived together for the 12 months ending on sheet, to figure your tax. purposes. the date the election for this relief is filed). If you didn't remarry before the end of the If you and your spouse each have in-tax year, you can file a joint return for yourself 3. Equitable relief. TIP come, you may want to figure your tax and your deceased spouse. For the next 2 both on a joint return and on separate You must file Form 8857, Request for Inno-years, you may be entitled to the special bene-returns (using the filing status of married filing cent Spouse Relief, to request relief from joint fits described later under Qualifying Surviving separately). You can choose the method that responsibility. Pub. 971 explains these kinds of Spouse . gives the two of you the lower combined tax un-relief and who may qualify for them. If you remarried before the end of the tax less you are required to file separately. year, you can file a joint return with your new Signing a joint return. For a return to be con-spouse. Your deceased spouse's filing status is Spouse died. If your spouse died during the sidered a joint return, both spouses must gener-married filing separately for that year. year, you are considered married for the whole ally sign the return.
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-apart from your spouse and meet certain tests, Married persons living apart. If you live year and can choose married filing jointly as Spouse died before signing. If your your filing status. See Spouse died during the spouse died before signing the return, the exec-year under Married persons, earlier, for more in-you may be able to file as head of household utor or administrator must sign the return for formation. even if you aren't divorced or legally separated. your spouse. If neither you nor anyone else has If your spouse died in 2026 before filing a If you qualify to file as head of household in-yet been appointed as executor or administra-2025 return, you can choose married filing stead of married filing separately, your standard tor, you can sign the return for your spouse and jointly as your filing status on your 2025 return. deduction will be higher. Also, your tax may be enter “Filing as surviving spouse” in the area lower, and you may be able to claim the earned Divorced persons. If you are divorced under a where you sign the return. income credit (EIC). See Head of Household , final decree by the last day of the year, you are Spouse away from home. If your spouse is later. considered unmarried for the whole year and away from home, you should prepare the return, you can’t choose married filing jointly as your fil-sign it, and send it to your spouse to sign so that Single ing status. it can be filed on time.
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-Your filing status is single if you are considered Injury or disease prevents signing. If your Filing a Joint Return spouse can’t sign because of disease or injury unmarried and you don’t qualify for another fil- and tells you to sign for them, you can sign your ing status. To determine your marital status, see Both you and your spouse must include all of spouse’s name in the proper space on the re- Marital Status , earlier. your income and deductions on your joint re- turn followed by the words “By (your name), turn. Spouse died before January 1, 2025. Your Spouse.” Be sure to sign in the space provided filing status may be single if your spouse died Accounting period. Both of you must use the for your signature. Attach a dated statement, before January 1, 2025, and you didn't remarry same accounting period, but you can use differ- signed by you, to the return. The statement before the end of 2025. You may, however, be ent accounting methods. See Accounting Peri- should include the form number of the return able to use another filing status that will give ods and Accounting Methods in chapter 1. you are filing, the tax year, and the reason your you a lower tax. See Head of Household and spouse can’t sign; it should also state that your Joint responsibility. Both of you may be held Qualifying Surviving Spouse , later, to see if you spouse has agreed to your signing for them. responsible, jointly and individually, for the tax qualify. and any interest or penalty due on your joint re- Signing as guardian of spouse. If you are How to file. On Form 1040 or 1040-SR, show turn. This means that if one spouse doesn't pay the guardian of your spouse who is mentally in- your filing status as single by checking the “Sin- the tax due, the other may have to. Or, if one competent, you can sign the return for your gle” box on the Filing Status line near the top of spouse doesn't report the correct tax, both spouse as guardian. the form. Use the Single column of the Tax Ta- spouses may be responsible for any additional Spouse in combat zone. You can sign a ble, or Section A of the Tax Computation Work- taxes assessed by the IRS. One spouse may be joint return for your spouse if your spouse can’t sheet, to figure your tax. held responsible for all the tax due even if all the sign because they are serving in a combat zone income was earned by the other spouse. (such as the Persian Gulf Area, Serbia, Monte- You may want to file separately if: negro, Albania, or Afghanistan), even if you • You believe your spouse isn't reporting all don’t have a power of attorney or other state- of their income, or ment. Attach a signed statement to your return
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-22 Chapter 2 Filing Status Publication 17 (2025) explaining that your spouse is serving in a com- Select this filing status by checking the 11. If your spouse itemizes deductions, you bat zone. For more information on special tax “Married filing separately” box on the Filing Sta- can’t claim the standard deduction. If you rules for persons who are serving in a combat tus line near the top of Form 1040 or 1040-SR. can claim the standard deduction, your ba-zone, or who are in missing status as a result of Enter your spouse's full name in the entry space sic standard deduction is half of the serving in a combat zone, see Pub. 3. below the filing status checkbox. Be sure to en- amount allowed on a joint return.
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-Power of attorney. In order for you to sign a Adjusted gross income (AGI) limits. If your ter your spouse’s SSN or ITIN in the space for
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-return for your spouse in any of these cases, AGI on a separate return is lower than it would spouse’s SSN. If your spouse doesn't have and
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-you must attach to the return a power of attor- have been on a joint return, you may be able to isn't required to have an SSN or ITIN, enter
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-ney (POA) that authorizes you to sign for your deduct a larger amount for certain deductions “NRA” in the space for your spouse's SSN. Use
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-spouse. You can use a POA that states that you that are limited by AGI, such as medical expen- the Married filing separately column of the Tax
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-have been granted authority to sign the return, ses. Table, or Section C of the Tax Computation Worksheet, to figure your tax.
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-or you can use Form 2848, Power of Attorney Individual retirement arrangements (IRAs).
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-and Declaration of Representative. Part I of You may not be able to deduct all or part of your Special Rules
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-Form 2848 must state that you are granted au- contributions to a traditional IRA if you or your
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-Nonresident alien or dual-status alien. Gen- plan at work during the year. Your deduction is filing status, the following special rules apply. reduced or eliminated if your income is more Because of these special rules, you usually pay thority to sign the return. spouse was covered by an employee retirement If you choose married filing separately as your
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-either one is a nonresident alien at any time dur- than a certain amount. This amount is much erally, a married couple can’t file a joint return if
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-nonresident alien or dual-status alien who was 1. Your tax rate is generally higher than on a For more information, see How Much Can You married to a U.S. citizen or resident alien at the joint return. Deduct in chapter 9. end of the year, the spouses can choose to file 2. Your exemption amount for figuring the al-a joint return. If you do file a joint return, you and Rental activity losses. If you actively partici-ing the tax year. However, if one spouse was a lower for married individuals who file separately another filing status you qualify for. and lived together at any time during the year. more tax on a separate return than if you use
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-your spouse are both treated as U.S. residents ternative minimum tax is half that allowed pated in a passive rental real estate activity that
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-519. loss from your nonpassive income, up to 3. You can’t take the credit for child and de- $25,000. This is called a special allowance. for the entire tax year. See chapter 1 of Pub. on a joint return. produced a loss, you can generally deduct the
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-Married Filing pendent care expenses in most cases,
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-Separately come under an employer's dependent turns who lived together at any time during the and the amount you can exclude from in- However, married persons filing separate re-
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-care assistance program is limited to year can’t claim this special allowance. Married
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-You can choose married filing separately as at all times during the year are each allowed a turn). However, if you are legally separated your filing status if you are married. This filing $2,500 (instead of $5,000 on a joint re- persons filing separate returns who lived apart
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-status may benefit you if you want to be respon- or living apart from your spouse, you may $12,500 maximum special allowance for losses
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-be able to file a separate return and still from passive real estate activities. See Rental
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-joint return, you must use this filing status un-If you and your spouse don’t agree to file a community property state and file separately, Pub. 503. your income may be considered separate in- come or community income for income tax pur- less you qualify for head of household status, 4. You can’t take the EIC, unless you have a poses. Community property states include Ari- discussed later. qualifying child and meet certain other re- zona, California, Idaho, Louisiana, Nevada, New tax than filing a joint return. these expenses, the credit, and the exclu- Community property states. If you live in a sion, see What’s Your Filing Status? in sible only for your own tax or if it results in less Activities in Pub. 925 for more information. take the credit. For more information about
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-of Household, later). This can apply to you even American opportunity credit and lifetime Separate Returns learning credit), or the deduction for stu-if you aren't divorced or legally separated. If you You can change your filing status from a sepa-qualify to file as head of household, instead of dent loan interest. rate return to a joint return by filing an amended as married filing separately, your tax may be 7. You can’t exclude any interest income from return using Form 1040-X. lower, you may be able to claim the EIC and qualified U.S. savings bonds you used for You can generally change to a joint return certain other benefits, and your standard de-higher education expenses. any time within 3 years from the due date of the duction will be higher. The head of household separate return or returns. This doesn't include filing status allows you to choose the standard 8. If you lived with your spouse at any time any extensions. A separate return includes a re-deduction even if your spouse chooses to item-during the tax year: turn filed by you or your spouse claiming mar-ize deductions. See Head of Household , later, a. You can’t claim the credit for the eld-hold filing status if you are considered unmar- See Pub. 555 for more information. adoption expenses in most cases. ried because you live apart from your spouse 6. You can’t take the education credits (the and meet certain tests (explained under Head Joint Return After You may be able to choose head of house- Mexico, Texas, Washington, and Wisconsin. 5. You can’t take the exclusion or credit for quirements. See Pub. 596.
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-for more information. ried filing separately, single, or head of house- erly or the disabled, and hold filing status. You will generally pay more combined b. You must include in income a greater TIP tax on separate returns than you would percentage (up to 85%) of any social Separate Returns After on a joint return for the reasons listed security or equivalent railroad retire- Joint Return under Special Rules , later. However, unless you ment benefits you received. are required to file separately, you should figure Once you file a joint return, you can’t choose to 9. The following credits and deductions are your tax both ways (on a joint return and on sep- file separate returns for that year after the due reduced at income levels half of those for arate returns). This way, you can make sure you date of the return. a joint return. are using the filing status that results in the low- Exception. A personal representative for a de- est combined tax. When figuring the combined a. The child tax credit and the credit for cedent can change from a joint return elected tax of a married couple, you may want to con- other dependents. by the surviving spouse to a separate return for sider state taxes as well as federal taxes. the decedent. The personal representative has b. The retirement savings contributions 1 year from the due date (including extensions) How to file. If you file a separate return, you credit. of the return to make the change. See Pub. 559 generally report only your own income, credits, 10. Your capital loss deduction limit is $1,500 and deductions. (instead of $3,000 on a joint return).
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-Publication 17 (2025) Chapter 2 Filing Status 23
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-Worksheet 2-1. Cost of Keeping If you were considered married for part of the year and lived in a community ! Up a Home Keep for Your Records CAUTION property state (listed earlier under Mar-
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-ried Filing Separately), special rules may apply
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-Amount in determining your income and expenses. See
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-You Paid Total Cost Pub. 555 for more information.
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-Property taxes $ $ Nonresident alien spouse. You are consid-
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-Mortgage interest expense ered unmarried for head of household purposes
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-if your spouse was a nonresident alien at any
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-Rent time during the year and you don’t choose to
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-Utility charges treat your nonresident spouse as a resident alien. However, your spouse isn't a qualifying Repairs/Maintenance person for head of household purposes. You
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-Property insurance must have another qualifying person and meet the other tests to be eligible to file as head of Food eaten in the home household.
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-Other household expenses Choice to treat spouse as resident. You
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-Totals $ $ are considered married if you choose to treat
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-Minus total amount you paid your spouse as a resident alien. See chapter 1 ( )
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-of Pub. 519.
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-Amount others paid $
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-If the total amount you paid is more than the amount others paid, you meet the Keeping Up a Home
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-requirement of paying more than half of the cost of keeping up the home. To qualify for head of household status, you
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-for more information on filing a return for a dece- considered unmarried on the last day of the tax up a home for the year. You can determine must pay more than half of the cost of keeping dent. year if you meet all of the following tests. whether you paid more than half of the cost of
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-You may be able to file as head of household if hold filing status. mortgage interest, real estate taxes, insurance you meet all of the following requirements. 2. You paid more than half of the cost of on the home, repairs, utilities, and food eaten in 1. You are unmarried or considered unmar-keeping up your home for the tax year. the home. ried on the last day of the year. See Marital 3. Your spouse didn't live in your home during Costs you don’t include. Don’t include the Status , earlier, and Considered Unmar-the last 6 months of the tax year. Your Head of Household 1. You file a separate return. A separate re- keeping up a home by using Worksheet 2-1. turn includes a return claiming married fil- Costs you include. Include in the cost of ing separately, single, or head of house- keeping up a home expenses, such as rent,
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-2. You paid more than half of the cost of ried costs of clothing, education, medical treatment, , later. spouse is considered to live in your home vacations, life insurance, or transportation. Also even if your spouse is temporarily absent don’t include the value of your services or those keeping up a home for the year. due to special circumstances. See Tempo- of a member of your household.
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-3. A qualifying person lived with you in the rary absences under Qualifying Person, home for more than half the year (except later. Qualifying Person for temporary absences, such as school).
-
-4. Your home was the main home of your
-
-However, if the qualifying person is your child, stepchild, or foster child for more See Table 2-1 to see who is a qualifying person.
-
-dependent parent, your dependent parent than half the year. (See Home of qualifying Any person not described in Table 2-1 isn't a
-
-doesn't have to live with you. See Special person under Qualifying Person, later, for qualifying person.
-
-rule for parent, later, under Qualifying Per- rules applying to a child's birth, death, or son. Example 1—Child. Your unmarried child temporary absence during the year.)
-
-If you qualify to file as head of house- 5. You must be able to claim the child as a lived with you all year and was 18 years old at
-
-TIP hold, your tax rate will usually be lower dependent. However, you meet this test if the end of the year. Your child didn't provide
-
-than the rates for single or married fil- you can’t claim the child as a dependent more than half of their own support and doesn't
-
-
-
-standard deduction than if you file as single or claim the child using the rules described in child (see Qualifying Child in chapter 3) and, married filing separately. Children of divorced or separated parents because this child is single, this is your qualify-(or parents who live apart) under Qualify-ing person for head of household purposes. ing separately. You will also receive a higher only because the noncustodial parent can else. As a result, this child is your qualifying meet the tests to be a qualifying child of anyone
-
-
-
-status by checking the “Head of household” box Support Test for Children of Divorced or Example 2—Child who isn't qualifying on the Filing Status line near the top of Form How to file. Indicate your choice of this filing ing Child in chapter 3, or referred to in
-
-1040 or 1040-SR. If the child who qualifies you Separated Parents (or Parents Who Live person. The facts are the same as in Exam-
-
-for this filing status isn't claimed as your de- Apart) under Qualifying Relative in chap- ple 1, except your child was 25 years old at the
-
-pendent in the Dependents section of Form ter 3. The general rules for claiming a child end of the year and your child’s gross income
-
-1040 or 1040-SR, enter the child's name in the as a dependent are explained in chapter 3. was $6,000. Because your child doesn't meet
-
-
-
-entry space below the filing status checkboxes. You may be considered unmarried for the the age test (explained under Qualifying Child in chapter 3), your child isn't your qualifying child. purpose of using head of household status but Use the Head of a household column of the Tax Because the child doesn't meet the gross in- not for other purposes, such as claiming the Table, or Section D of the Tax Computation come test (explained under Qualifying Relative EIC. Different tests apply depending on the tax Worksheet, to figure your tax. in chapter 3), the child isn't your qualifying rela- benefit you claim. tive. As a result, this child isn't your qualifying Considered Unmarried person for head of household purposes.
-
-To qualify for head of household status, you Example 3—Friend. Your friend lived with
-
-must be either unmarried or considered you all year. Even though your friend may be
-
-unmarried on the last day of the year. You are your qualifying relative if the gross income and
-
-24 Chapter 2 Filing Status Publication 17 (2025) Table 2-1. Who Is a Qualifying Person Qualifying You To File as Head of Household?1
-
-
-
-
-
-Caution. See the text of this chapter for the other requirements you must meet to claim head of household filing status.
-
-
-IF the person is your . . . AND . . . THEN that person is . . .
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-qualifying child (such as a son, the child is single a qualifying person, whether or
-
-daughter, or grandchild who lived with not the child meets the Citizen or
-
-you more than half the year and meets Resident Test in chapter 3.
-
-certain other tests)2 the child is married and you can claim the a qualifying person.
-
-child as a dependent
-
-the child is married and you can’t claim the not a qualifying person.3 child as a dependent
-
-qualifying relative4 who is your father or you can claim your parent as a dependent5 a qualifying person.6
-
-mother you can’t claim your parent as a dependent not a qualifying person.
-
-qualifying relative4 other than your father your relative lived with you more than half a qualifying person. or mother (such as a grandparent, the year, and your relative is related to you in
-
-brother, or sister who meets certain one of the ways listed under Relatives who
-
-tests) don’t have to live with you in chapter 3 and
-
-you can claim your relative as a dependent5
-
-your relative didn't live with you more than not a qualifying person. half the year
-
-your relative isn't related to you in one of the not a qualifying person.
-
-ways listed under Relatives who don’t have
-
-to live with you in chapter 3 and is your qualifying relative only because your relative
-
-lived with you all year as a member of your
-
-household
-
-you can’t claim your relative as a dependent not a qualifying person.
-
-1 A person can’t qualify more than one taxpayer to use the head of household filing status for the year.
-
-2 The term “qualifying child” is defined in chapter 3. Note: If you are a noncustodial parent, the term “qualifying child” for head of household filing status doesn't include a child who is your
-
-qualifying child only because of the rules described under Children of divorced or separated parents (or parents who live apart) under Qualifying Child in chapter 3. If you are the
-
-custodial parent and those rules apply, the child is generally your qualifying child for head of household filing status even though the child isn't a qualifying child you can claim as a
-
-dependent.
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-3 This person is a qualifying person if the only reason you can’t claim the person as a dependent is that you, or your spouse if filing jointly, can be claimed as a dependent on another
-
-taxpayer’s return.
-
-4 The term “qualifying relative” is defined in chapter 3.
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-5 If you can claim a person as a dependent only because of a multiple support agreement, that person isn't a qualifying person. See Multiple Support Agreement in chapter 3.
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-6 See Special rule for parent under Qualifying Person, earlier.
-
-support tests (explained in chapter 3) are met, as head of household even if your parent circumstances, such as illness, education, busi-your friend isn't your qualifying person for head doesn't live with you. However, you must be ness, vacation, military service, or detention in a of household purposes because your friend isn't able to claim your parent as a dependent. Also, juvenile facility. It must be reasonable to as-related to you in one of the ways listed under you must pay more than half of the cost of keep- sume the absent person will return to the home
-
-Relatives who don’t have to live with you in ing up a home that was the main home for the after the temporary absence. You must continue
-
-
-
-
-
-chapter 3. See Table 2-1. entire year for your parent. to keep up the home during the absence.
-
-
-If you pay more than half of the cost of keep-
-
-Example 4—Friend's child. The facts are Adopted child or foster child. You may be ing your parent in a rest home or home for the
-
-the same as in Example 3, except your friend's eligible to file as head of household if the per- elderly, that counts as paying more than half of
-
-10-year-old child also lived with you all year. the cost of keeping up your parent's main home. son who qualifies you for this filing status was Your friend’s child isn't your qualifying child and, an adopted child or foster child. For more infor-
-
-because the child is your friend's qualifying Death or birth. You may be eligible to file as mation, see Pub. 501. child, your friend’s child isn't your qualifying rel- head of household even if the individual who
-
-
-
-ter 3). As a result, your friend’s child isn't your as head of household even if the child who is during the year. If the individual is your qualify- your qualifying person has been kidnapped. For ative (see Kidnapped child. You may be eligible to file Not a Qualifying Child Test in chap- qualifies you for this filing status is born or dies
-
-qualifying person for head of household purpo- ing child, the child must have lived with you for ses. more information, see Pub. 501. more than half the part of the year the child was
-
-Home of qualifying person. Generally, the 501 for more information. alive. If the individual is anyone else, see Pub. Qualifying Surviving
-
-than half the year. Temporary absences. You and your quali- Spouse qualifying person must live with you for more
-
-fying person are considered to live together
-
-Special rule for parent. If your qualifying even if one or both of you are temporarily ab- If your spouse died in 2025, you can use mar-
-
-person is your parent, you may be eligible to file sent from your home due to special ried filing jointly as your filing status for 2025 if
-
-Publication 17 (2025) Chapter 2 Filing Status 25 you otherwise qualify to use that status. The file as qualifying surviving spouse. After 2025, Dependents year of death is the last year for which you can you can file as head of household if you qualify.
-
-
-
-
-
-ried Filing Jointly Death or birth. You may be eligible to file as a file jointly with your deceased spouse. See Mar-
-
-
-, earlier. The term “dependent” means: qualifying surviving spouse if the child who
-
-You may be eligible to use qualifying surviv- qualifies you for this filing status is born or dies • A qualifying child, or
-
-
-
-ing spouse as your filing status for 2 years fol- during the year. You must have provided more • A qualifying relative. lowing the year your spouse died. For example, than half of the cost of keeping up a home that if your spouse died in 2024, and you haven't re-The terms “ qualifying child” and “qualifying was the child's main home during the entire part married, you may be able to use this filing status of the year the child was alive. relative ” are defined later.
-
-for 2025 and 2026. All the requirements for claiming a depend- Adopted child. You may be eligible to file as a
-
-
-
-doesn't entitle you to file a joint return. people work for you, you can’t claim them as adoption by you in 2025. The child is consid- dependents. ered to have lived with you for all of 2025 if your How to file. Indicate your choice of this filing main home was this child’s main home for the Child tax credit. You may be entitled to a child status by checking the “Qualifying surviving entire time since this child was adopted or tax credit for each qualifying child who was un- spouse” box on the Filing Status line near the turn tax rates and the highest standard deduc- qualifies you for this filing status was adopted in Housekeepers, maids, or servants. If these tion amount (if you don’t itemize deductions). It 2025 or was lawfully placed with you for legal This filing status entitles you to use joint re- qualifying surviving spouse if the child who ent are summarized in Table 3-1.
-
-top of Form 1040 or 1040-SR. If the child who placed with you in 2025. der age 17 at the end of the year if you claimed
-
-
-
-your dependent in the Dependents section of see chapter 14. a qualifying surviving spouse even if the child Credit for other dependents. You may be en-qualifies you for this filing status isn’t claimed as Kidnapped child. You may be eligible to file as that child as a dependent. For more information, Form 1040 or 1040-SR, enter the child’s name who qualifies you for this filing status has been in the entry space below the filing staus check- kidnapped. See Pub. 501 for more information. titled to a credit for other dependents for each
-
-the Tax Table, or Section B of the Tax Computa- As mentioned earlier, the filing status boxes. Use the Married filing jointly column of qualifying child who does not qualify you for the
-
-tion Worksheet, to figure your tax. qualifying surviving spouse is available child tax credit and for each qualifying relative. !
-
-For more information, see chapter 14.
-
-CAUTION for only 2 years following the year your
-
-Eligibility rules. You are eligible to file your spouse died. Exceptions 2025 return as a qualifying surviving spouse if
-
-you meet all of the following tests.
-
-• Even if you have a qualifying child or qualifying You were entitled to file a joint return with relative, you can claim that person as a depend-
-
-
-
-your spouse for the year your spouse died. ent only if these three tests are met. It doesn't matter whether you actually filed 1. a joint return. Dependent taxpayer test .
-
-• Your spouse died in 2023 or 2024 and you 2. Joint return test. 3.
-
-
-
-• You have a child or stepchild (not a foster These three tests are explained in detail child) whom you can claim as a dependent Dependents didn't remarry before the end of 2025. 3. Citizen or resident test.
-
-or could claim as a dependent except that, here. for 2025:
-
-a. The child had gross income of Dependent Taxpayer Test Introduction $5,200 or more, If you can be claimed as a dependent by an-
-
-
-
-• pendent in the Dependents section on If the child isn't claimed as your de-b. The child filed a joint return, or other taxpayer, you can’t claim anyone else as a This chapter discusses the following topics. dependent. Even if you have a qualifying child c. You could be claimed as a depend- • Dependents—You can generally claim or qualifying relative, you can’t claim that person ent on someone else’s return. your qualifying child or qualifying relative as a dependent. as a dependent. If you are filing a joint return and your • Social security number (SSN) requirement spouse can be claimed as a dependent by an- Form 1040 or 1040-SR, enter the child's for dependents—You must list the SSN of other taxpayer, you and your spouse can’t claim name in the entry space below the filing any person you claim as a dependent. any dependents on your joint return. status checkboxes. If you don’t enter the How to claim dependents. On page 1 of your Exception. If you can be claimed as a depend- name, it will take us longer to process your Form 1040 or 1040-SR, enter the names of your ent by another taxpayer, you can claim some- return. dependents in the Dependents section. one else as a dependent if the person who can This child lived in your home all year, ex- claim you (or your spouse if filing a joint return) cept for temporary absences. See Tempo- as a dependent files a return only to claim a re- Useful Items rary absences , earlier, under Head of fund of income tax withheld or estimated tax You may want to see: Household. There are also exceptions, de- paid. scribed later, for a child who was born or Publication died during the year and for a kidnapped Joint Return Test child. 501 501 Dependents, Standard Deduction, You generally can’t claim a married person as a • You paid more than half of the cost of and Filing Information dependent if that person files a joint return. keeping up a home for the year. See Keep- 503 ing Up a Home , earlier, under Head of 503 Child and Dependent Care Expenses Exception. You can claim a person as a de-
-
-Household. pendent who files a joint return if that person 526 526 Charitable Contributions and that person’s spouse file the joint return
-
-you haven’t remarried. During 2024 and 2025 Form (and Instructions) Example. Your spouse died in 2023 and only to claim a refund of income tax withheld or
-
-estimated tax paid.
-
-you continued to keep up a home for you and 2120 2120 Multiple Support Declaration your child who lives with you and whom you can Example 1—Child files joint return. You
-
-claim as a dependent. For 2023, you were enti- 8332 8332 Release/Revocation of Release of supported your 18-year-old child who lived with tled to file a joint return for you and your Claim to Exemption for Child by you all year while your child’s spouse was in the deceased spouse. For 2024 and 2025, you can Custodial Parent Armed Forces. Your child’s spouse earned
-
-26 Chapter 3 Dependents Publication 17 (2025) Table 3-1. Overview of the Rules for Claiming a Dependent
-
-Caution. This table is only an overview of the rules. For details, see the rest of this chapter.
-
-• You can’t claim any dependents if you (or your spouse if filing jointly) could be claimed as a dependent by another taxpayer,
-
-unless that taxpayer files a return only to claim a refund of withheld income tax or estimated tax paid.
-
-• You can’t claim a married person who files a joint return as a dependent unless that joint return is filed only to claim a refund of
-
-withheld income tax or estimated tax paid.
-
-• You can’t claim a person as a dependent unless that person is a U.S. citizen, U.S. resident alien, U.S. national, or a resident of
-
-Canada or Mexico.1
-
-• You can’t claim a person as a dependent unless that person is your qualifying child or qualifying relative.
-
-
-
-Tests To Be a Qualifying Child Tests To Be a Qualifying Relative
-
-1. The child must be your son, daughter, stepchild, foster child, 1. The person can’t be your qualifying child or the
-
-brother, sister, half brother, half sister, stepbrother, stepsister, qualifying child of any other taxpayer. or a descendant of any of them.
-
-2. The person either (a) must be related to you in one of
-
-2. The child must be (a) under age 19 at the end of the year and the ways listed under Relatives who don’t have to live
-
-younger than you (or your spouse if filing jointly); (b) under age with you, or (b) must live with you all year as a member 24 at the end of the year, a student, and younger than you (or of your household2 (and your relationship must not your spouse if filing jointly); or (c) any age if permanently and violate local law). totally disabled.
-
-3. The person's gross income for the year must be less
-
-3. The child must have lived with you for more than half of the than $5,200.3
-
-year.2
-
-4. You must provide more than half of the person's total
-
-4. The child must not have provided more than half of the child’s support for the year.4
-
-own support for the year.
-
-
-
-5. The child must not be filing a joint return for the year (unless
-
-that joint return is filed only to get a refund of income tax
-
-withheld or estimated tax paid).
-
-If the child meets the rules to be a qualifying child of more than one
-
-person, generally only one person can actually treat the child as a
-
-qualifying child. See Qualifying Child of More Than One Person,
-
-later, to find out which person is the person entitled to claim the
-
-child as a qualifying child.
-
-1 There is an exception for certain adopted children.
-
-2 There are exceptions for temporary absences, children who were born or died during the year, children who were adopted or lawfully placed for
-
-adoption during the year, children who are eligible foster children placed during the year, children of divorced or separated parents (or parents who
-
-live apart), and kidnapped children.
-
-3 There is an exception if the person is disabled and has income from a sheltered workshop.
-
-4 There are exceptions for multiple support agreements, children of divorced or separated parents (or parents who live apart), and kidnapped
-
-children.
-
-$35,000 for the year. The couple files a joint re- disqualified from claiming each of them as a de- American opportunity credit, they aren't filing it turn. You can’t claim your child as a dependent. pendent just because they file a joint return. You only to get a refund of income tax withheld or
-
-can claim each of them as a dependent if all the estimated tax paid. The exception to the joint re-
-
-Example 2—Child files joint return only other tests to do so are met. turn test doesn't apply, so you can’t claim either
-
-as claim for refund of withheld tax. Your of them as a dependent. 18-year-old child and your child’s 17-year-old Example 3—Child files joint return to
-
-
-
-spouse had $800 of wages from part-time jobs claim American opportunity credit. The Citizen or Resident Test and no other income. They lived with you all facts are the same as in Example 2, except no You generally can’t claim a person as a depend-year. Neither is required to file a tax return. They taxes were taken out of your child’s pay or your ent unless that person is a U.S. citizen, U.S. res-don’t have a child. Taxes were taken out of their child’s spouse’s pay. However, they file a joint ident alien, U.S. national, or a resident of Can-pay, so they filed a joint return only to get a re-return to claim an American opportunity credit ada or Mexico. However, there is an exception fund of the withheld taxes. The exception to the of $124 and get a refund of that amount. Be-for certain adopted children, as explained next. joint return test applies, so you aren't cause they filed a joint return claiming the
-
-
-
-Publication 17 (2025) Chapter 3 Dependents 27 Exception for adopted child. If you are a U.S. Foster child. A foster child is an individual who school offering courses only through the Inter-citizen or U.S. national who has legally adopted is placed with you by an authorized placement net doesn’t count as a school. a child who isn't a U.S. citizen, U.S. resident agency or by judgment, decree, or other order alien, or U.S. national, this test is met if the child of any court of competent jurisdiction. Vocational high school students. Stu-lived with you as a member of your household dents who work on “co-op” jobs in private indus-
-
-
-
-all year. This exception also applies if the child try as a part of a school's regular course of Age Test was lawfully placed with you for legal adoption classroom and practical training are considered To meet this test, a child must be: and the child lived with you for the rest of the full-time students. • year after placement. Under age 19 at the end of the year and Permanently and totally disabled. Your child younger than you (or your spouse if filing Child's place of residence. Children are usu- is permanently and totally disabled if both of the jointly); ally citizens or residents of the country of their following apply. • parents. A student under age 24 at the end of the • Your child can’t engage in any substantial If you were a U.S. citizen when your child year and younger than you (or your spouse gainful activity because of a physical or was born, the child may be a U.S. citizen and if filing jointly); or mental condition. meet this test even if the other parent was a • Permanently and totally disabled at any • A doctor determines the condition has las- nonresident alien and the child was born in a time during the year, regardless of age. ted or can be expected to last continuously foreign country. for at least a year or can lead to death. Example. Your child turned 19 on Decem- Foreign students' place of residence. For- ber 10. Unless this child was permanently and eign students brought to this country under a totally disabled or a student, this child doesn't Residency Test qualified international education exchange pro- meet the age test because, at the end of the gram and placed in American homes for a tem- To meet this test, your child must have lived with year, this child wasn't under age 19. porary period generally aren't U.S. residents you for more than half the year. There are ex- ceptions for temporary absences, children who and don’t meet this test. You can’t claim them Child must be younger than you or spouse. as dependents. However, if you provided a were born or died during the year, adopted or To be your qualifying child, a child who isn't per- home for a foreign student, you may be able to foster children, kidnapped children, and chil- manently and totally disabled must be younger take a charitable contribution deduction. See dren of divorced or separated parents. than you. However, if you are married filing Expenses Paid for Student Living With You in jointly, the child must be younger than you or Temporary absences. Your child is consid- Pub. 526. your spouse but doesn't have to be younger ered to have lived with you during periods of than both of you. U.S. national. A U.S. national is an individual time when one of you, or both, is temporarily absent due to special circumstances such as: who, although not a U.S. citizen, owes their alle- Example 1—Child not younger than you giance to the United States. U.S. nationals in- • Illness, or spouse. Your 23-year-old sibling, who is a clude American Samoans and Northern Ma- student and unmarried, lives with you and your • Education, riana Islanders who chose to become U.S. spouse, who provide more than half of your sib- nationals instead of U.S. citizens. • Business, ling’s support. Your sibling isn't disabled. Both • you and your spouse are 21 years old, and you Vacation, Qualifying Child file a joint return. Your sibling isn't your qualify- • Military service, or ing child because your sibling isn't younger than Five tests must be met for a child to be your you or your spouse. • Detention in a juvenile facility. qualifying child. The five tests are: Death or birth of child. A child who was born Example 2—Child younger than your 1. Relationship , or died during the year is treated as having lived spouse but not younger than you. The facts with you more than half of the year if your home 2. Age , are the same as in Example 1, except your was the child's home more than half of the time spouse is 25 years old. Because your sibling is 3. Residency , the child was alive during the year. The same is younger than your spouse, and you and your true if the child lived with you more than half the 4. Support , and spouse are filing a joint return, your sibling is year except for any required hospital stay follow- your qualifying child, even though your sibling 5. Joint return . ing birth. isn't younger than you. These tests are explained next. Student defined. To qualify as a student, your Child born alive. You may be able to claim as a dependent a child born alive during the If a child meets the five tests to be the child must be, during some part of each of any 5 qualifying child of more than one per- ! calendar months of the year: year, even if the child lived only for a moment. son, there are rules you must use to CAUTION State or local law must treat the child as having 1. A full-time student at a school that has a determine which person can actually treat the been born alive. There must be proof of a live regular teaching staff and course of study, child as a qualifying child. See Qualifying Child birth shown by an official document, such as a and a regularly enrolled student body at of More Than One Person , later. birth certificate. The child must be your qualify- the school; or ing child or qualifying relative, and all the other
-
-Relationship Test 2. A student taking a full-time, on-farm train- tests to claim the child as a dependent must be
-
-ing course given by a school described in met.
-
-
-
-To meet this test, a child must be: (1), or by a state, county, or local govern-• Your son, daughter, stepchild, or foster ment agency. Stillborn child. You can’t claim a stillborn child as a dependent.
-
-child, or a descendant (for example, your The 5 calendar months don’t have to be con-
-
-
-
-• Your brother, sister, half brother, half sister, adopted child or foster child as meeting the res- Full-time student. A full-time student is a idency test as follows if you adopted the child in stepbrother, or stepsister, or a descendant grandchild) of any of them; or Adopted or foster child. You can treat your secutive.
-
-(for example, your niece or nephew) of any student who is enrolled for the number of hours 2025, the child was lawfully placed with you for
-
-of them. or courses the school considers to be full-time legal adoption by you in 2025, or the child was
-
-attendance. an eligible foster child placed with you during
-
-Adopted child. An adopted child is always 2025. This child is considered to have lived with School defined. A school can be an ele-
-
-treated as your own child. The term “adopted you for more than half of 2025 if your main mentary school; a junior or senior high school; a
-
-child” includes a child who was lawfully placed home was this child’s main home for more than college; a university; or a technical, trade, or
-
-with you for legal adoption. half the time since this child was adopted or mechanical school. However, an on-the-job
-
-training course, correspondence school, or placed with you in 2025.
-
-28 Chapter 3 Dependents Publication 17 (2025) Kidnapped child. You may be able to treat parent won’t claim the child as a dependent for long the child would have lived with each parent your child as meeting the residency test even if 2025, this doesn’t allow the noncustodial parent if the child had not attended summer camp. the child has been kidnapped. See Pub. 501 for to claim the child as a qualifying child for the details. earned income credit. The custodial parent or Example 3—Child lived same number of Children of divorced or separated parents another taxpayer, if eligible, can claim the child nights with each parent. Your child lived with
-
-(or parents who live apart). In most cases, for the earned income credit. you 180 nights during the year and lived the
-
-because of the residency test, a child of di- Custodial parent and noncustodial pa- same number of nights with the child’s other pa-vorced or separated parents is the qualifying rent. The custodial parent is the parent with rent, your ex-spouse. Your AGI is $40,000. Your child of the custodial parent. However, the child whom the child lived for the greater number of ex-spouse's AGI is $25,000. You are treated as will be treated as the qualifying child of the non- nights during the year. The other parent is the your child's custodial parent because you have custodial parent if all four of the following state- noncustodial parent. the higher AGI. ments are true. If the parents divorced or separated during Example 4—Child is at parent’s home
-
-1. The parents: the year and the child lived with both parents but with other parent. Your child normally
-
-a. Are divorced or legally separated un- before the separation, the custodial parent is lives with you during the week and with the
-
-der a decree of divorce or separate the one with whom the child lived for the greater child’s other parent, your ex-spouse, every other
-
-maintenance; number of nights during the rest of the year. weekend. You become ill and are hospitalized.
-
-A child is treated as living with a parent for a Your ex-spouse lives in your home with your
-
-b. Are separated under a written separa- night if the child sleeps: child for 10 consecutive days while you are in
-
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-2. The child received over half of the child’s c. Lived apart at all times during the last tion agreement; or the hospital. Your child is treated as living with • At that parent's home, whether or not the you during this 10-day period because your parent is present; or child was living in your home. 6 months of the year, whether or not • In the company of the parent, when the they are or were married. child doesn't sleep at a parent's home (for Example 5—Child emancipated in May. example, the parent and child are on vaca- Your child turned 18 in May 2025 and became tion together). support for the year from the parents. emancipated under the law of the state where
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-the noncustodial parent can: 3. The child is in the custody of one or both your child lives. As a result, your child isn't con- Equal number of nights. If the child lived sidered in the custody of either parent for more parents for more than half of the year. with each parent for an equal number of nights than half of the year. The special rule for chil- during the year, the custodial parent is the pa- 4. Either of the following statements is true. dren of divorced or separated parents doesn't rent with the higher adjusted gross income apply. a. The custodial parent signs a written (AGI). declaration, discussed later, that they Example 6—Child emancipated in Au- won't claim the child as a dependent December 31. The night of December 31 is gust. Your child lives with you from January 1, for the year, and the noncustodial pa- treated as part of the year in which the night be- 2025, until May 31, 2025, and lives with the rent attaches this written declaration gins. For example, the night of December 31, child’s other parent, your ex-spouse, from June to their return. (If the decree or agree- 2025, is treated as part of 2025. 1, 2025, through the end of the year. Your child ment went into effect after 1984 and turns 18 and is emancipated under state law on Emancipated child. If a child is emancipa- before 2009, see Post-1984 and August 1, 2025. Because your child is treated ted under state law, the child is treated as not pre-2009 divorce decree or separa- living with either parent. See Examples 5 and 6 . as not living with either parent beginning on Au- tion agreement , later. If the decree or gust 1, your child is treated as living with you agreement went into effect after 2008, Absences. If a child wasn't with either pa- the greater number of nights in 2025. You are see Post-2008 divorce decree or sep- rent on a particular night (because, for example, the custodial parent. aration agreement , later.) the child was staying at a friend's house), the Written declaration. The custodial parent b. A pre-1985 decree of divorce or sepa- child is treated as living with the parent with must use either Form 8332 or a similar state- rate maintenance or written separa- whom the child normally would have lived for ment (containing the same information required tion agreement that applies to 2025 that night, except for the absence. But if it can’t by the form) to make the written declaration to states that the noncustodial parent be determined with which parent the child nor- release a claim to an exemption for a child to can claim the child as a dependent, mally would have lived or if the child wouldn’t the noncustodial parent. Although the exemp- the decree or agreement wasn't have lived with either parent that night, the child tion amount is zero for tax year 2025, this re- changed after 1984 to say the non- is treated as not living with either parent that lease allows the noncustodial parent to claim custodial parent can’t claim the child night. the child tax credit, additional child tax credit, as a dependent, and the noncustodial and credit for other dependents, if applicable, parent provides at least $600 for the Parent works at night. If, due to a parent's for the child. The noncustodial parent must at- child's support during the year. nighttime work schedule, a child lives for a tach a copy of the form or statement to their tax greater number of days, but not nights, with the If statements (1) through (4) are all true, only return. parent who works at night, that parent is treated The release can be for 1 year, for a number as the custodial parent. On a school day, the of specified years (for example, alternate • Claim the child as a dependent; and child is treated as living at the primary resi- years), or for all future years, as specified in the dence registered with the school. • Claim the child as a qualifying child for the declaration. child tax credit, the credit for other depend- Example 1—Child lived with one parent Post-1984 and pre-2009 divorce decree ents, or the additional child tax credit. for a greater number of nights. You and your or separation agreement. If the divorce de- However, this doesn’t allow the noncustodial child’s other parent are divorced. In 2025, your cree or separation agreement went into effect parent to claim head of household filing status, child lived with you 210 nights and with the after 1984 and before 2009, the noncustodial the credit for child and dependent care expen- other parent 155 nights. You are the custodial parent may be able to attach certain pages from ses, the exclusion for dependent care benefits, parent. the decree or agreement instead of Form 8332. or the earned income credit. See Applying the The decree or agreement must state all three of tiebreaker rules to divorced or separated pa- Example 2—Child is away at camp. In the following. rents (or parents who live apart) , later. 2025, your child lives with each parent for alter- nate weeks. In the summer, your child spends 6 1. The noncustodial parent can claim the child as a dependent without regard to any Example—Earned income credit. Even if weeks at summer camp. During those 6 weeks,
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-statements (1) through (4) are all true and the your child is treated as living with you for 3 condition, such as payment of support. custodial parent signs Form 8332 or a weeks and with your child’s other parent, your substantially similar statement that the custodial ex-spouse, for 3 weeks because this is how
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-Publication 17 (2025) Chapter 3 Dependents 29
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-2. The custodial parent won't claim the child child provided $6,000. Your child provided more spouse had $800 of wages from part-time jobs
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-as a dependent for the year. than half their own support. The child isn't your and no other income. They lived with you all
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-the following pages of the decree or agreement The noncustodial parent must attach all of joint return test applies, so this child may be ered support provided by the agency. Similarly, your qualifying child if all the other tests are met. payments you receive for the support of a foster to their tax return. child from a state or county are considered sup- Example 3—Child files joint return to • The cover page (write the other parent's port provided by the state or county. claim American opportunity credit. The SSN on this page). If you aren't in the trade or business of pro- facts are the same as in Example 2, except no viding foster care and your unreimbursed • The pages that include all of the informa- taxes were taken out of either spouse’s pay. out-of-pocket expenses in caring for a foster tion identified in items (1) through (3) 3. The years for which the noncustodial pa- don’t have a child. Taxes were taken out of their qualifying child. year. Neither is required to file a tax return. They rent, rather than the custodial parent, can Foster care payments and expenses. Pay- pay so they filed a joint return only to get a re-claim the child as a dependent. ments you receive for the support of a foster fund of the withheld taxes. The exception to the child from a child placement agency are consid-
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-above. child were mainly to benefit an organization However, they file a joint return to claim an
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-agreement. The noncustodial parent can’t at-Post-2008 divorce decree or separation you provided. For more information about the tax withheld or estimated tax paid. The excep-deduction for charitable contributions, see Pub. tion to the joint return test doesn't apply, so this 526. If your unreimbursed expenses aren't de-tach pages from the decree or agreement in-child isn't your qualifying child. ductible as charitable contributions, they may stead of Form 8332 if the decree or agreement qualify as support you provided. went into effect after 2008. The custodial parent Qualifying Child of More Than One If you are in the trade or business of provid-must sign either Form 8332 or a similar state-ing foster care, your unreimbursed expenses Person ment the only purpose of which is to release the • The signature page with the other parent's butions, the expenses are deductible as charita- return claiming the American opportunity credit, signature and the date of the agreement. ble contributions but aren't considered support they aren’t filing it only to get a refund of income qualified to receive deductible charitable contri- refund of that amount. Because they filed a joint American opportunity credit of $124 and get a
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-custodial parent's claim to an exemption for a aren't considered support provided by you. If your qualifying child isn't a qualifying
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-release the custodial parent's claim to the child ried couple, the Smiths, for the last 3 months of read about it. This is also true if your qualifying the year. The Smiths cared for the foster child without any conditions. For example, the re-child isn't a qualifying child of anyone else ex-because they wanted to adopt the child (al-lease must not depend on the noncustodial pa-copy to their return. The form or statement must Example 1. A foster child lived with a mar- apply to you and you don’t need to child, and the noncustodial parent must attach a TIP child of anyone else, this topic doesn't rent paying support. though the child had not been placed with them cept your spouse with whom you plan to file a
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-joint return.
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-CAUTION ! agency that placed the foster child in their child of the noncustodial parent under filed with a return in an earlier year. ! home. The Smiths' unreimbursed expenses CAUTION the rules for children of divorced or aren't deductible as charitable contributions but separated parents (or parents who live apart) Revocation of release of claim to an ex-The noncustodial parent must attach child as a trade or business or to benefit the If a child is treated as the qualifying the required information even if it was for adoption). They didn't care for the foster
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-emption. The custodial parent can revoke a re- are considered support they provided for the described earlier, see Applying the tiebreaker
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-lease of claim to an exemption. For the revoca- foster child. rules to divorced or separated parents (or pa-
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-tion to be effective for 2025, the custodial parent rents who live apart), later. Example 2. You provided $3,000 toward must have given (or made reasonable efforts to your 10-year-old foster child's support for the Sometimes, a child meets the relationship, give) written notice of the revocation to the non-year. The state government provided $4,000, age, residency, support, and joint return tests to custodial parent in 2024 or earlier. The custo-which is considered support provided by the be a qualifying child of more than one person. dial parent can use Part III of Form 8332 for this state, not by the child. See Support provided by Although the child is a qualifying child of each of purpose and must attach a copy of the revoca-the state (welfare, food stamps, housing, etc.) , these persons, generally only one person can tion to their return for each tax year the custo-later. Your foster child didn't provide more than actually treat the child as a qualifying child to dial parent claims the child as a dependent as a half of their own support for the year. take all of the following tax benefits (provided result of the revocation. the person is eligible for each benefit). Scholarships. A scholarship received by a Remarried parent. If you remarry, the sup-child who is a student isn't taken into account in 1. The child tax credit, credit for other de-port provided by your new spouse is treated as determining whether the child provided more pendents, or additional child tax credit. provided by you. than half of their own support. 2. Head of household filing status.
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-rule for divorced or separated parents also ap- 3. The credit for child and dependent care Parents who never married. This special Joint Return Test (To Be a expenses.
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-lived apart at all times during the last 6 months 4. The exclusion from income for dependent To meet this test, the child can’t file a joint return of the year. care benefits. plies to parents who never married and who Qualifying Child)
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-for the year.
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-Support Test (To Be a Qualifying Exception. An exception to the joint return test 5. The earned income credit.
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-Child) applies if your child and the child’s spouse file a The other person can’t take any of these joint return only to claim a refund of income tax benefits based on this qualifying child. In other To meet this test, the child can’t have provided withheld or estimated tax paid. words, you and the other person can’t agree to more than half of the child’s own support for the divide these benefits between you. year. Example 1—Child files joint return. You Tiebreaker rules. To determine which person This test is different from the support test to supported your 18-year-old child who lived with can treat the child as a qualifying child to claim be a qualifying relative, which is described later. you all year while your child’s spouse was in the these five tax benefits, the following tiebreaker However, to see what is or isn't support, see Armed Forces. Your child’s spouse earned rules apply. For purposes of these tiebreaker Support Test (To Be a Qualifying Relative) , later. $35,000 for the year. The couple files a joint re- rules, the term “parent” means a biological or If you aren't sure whether a child provided more turn so this child isn't your qualifying child.
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-than half of their own support, you may find
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-Worksheet 3-1 helpful. Example 2—Child files joint return only
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-as a claim for refund of withheld tax. Your
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-Example. You provided $4,000 toward your 18-year-old child and your child’s 17-year-old
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-16-year-old child's support for the year and the
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-30 Chapter 3 Dependents Publication 17 (2025) Worksheet 3-1. Worksheet for Determining Support Keep for Your Records
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-Funds Belonging to the Person You Supported
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-1. Enter the total funds belonging to the person you supported, including income received (taxable
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-and nontaxable) and amounts borrowed during the year, plus the amount in savings and other accounts at the beginning of the year. Don’t include funds provided by the state; include those amounts on line 23 instead . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1.
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-2. Enter the amount on line 1 that was used for the person's support . . . . . . . . . . . . . . . . . . . . . . . . 2.
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-3. Enter the amount on line 1 that was used for other purposes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.
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-4. Enter the total amount in the person's savings and other accounts at the end of the year . . . . . . 4.
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-5. Add lines 2 through 4. (This amount should equal line 1.) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5.
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-Expenses for Entire Household (where the person you supported lived)
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-6. Lodging (complete line 6a or 6b):
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-a. Enter the total rent paid . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6a. b. Enter the fair rental value of the home. If the person you supported owned the home,
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-also include this amount in line 21 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6b.
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-7. Enter the total food expenses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7.
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-8. Enter the total amount of utilities (heat, light, water, etc., not included in line 6a or 6b) . . . . . . . . 8.
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-9. Enter the total amount of repairs (not included in line 6a or 6b) . . . . . . . . . . . . . . . . . . . . . . . . . . . 9.
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-10. Enter the total of other expenses. Don’t include expenses of maintaining the home, such as
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-mortgage interest, real estate taxes, and insurance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10.
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-11. Add lines 6a through 10. These are the total household expenses . . . . . . . . . . . . . . . . . . . . . . . . 11.
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-12. Enter total number of persons who lived in the household . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12.
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-Expenses for the Person You Supported
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-13. Divide line 11 by line 12. This is the person's share of the household expenses . . . . . . . . . . . . . 13.
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-14. Enter the person's total clothing expenses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14.
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-15. Enter the person's total education expenses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15.
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-16. Enter the person's total medical and dental expenses not paid for or reimbursed by
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-insurance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16.
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-17. Enter the person's total travel and recreation expenses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17.
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-18. Enter the total of the person's other expenses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18.
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-19. Add lines 13 through 18. This is the total cost of the person's support for the year . . . . . . . . . . . 19.
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-Did the Person Provide More Than Half of the Person’s Own Support?
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-20. Multiply line 19 by 50% (0.50) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20.
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-21. Enter the amount from line 2, plus the amount from line 6b if the person you supported owned
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-the home. This is the amount the person provided for their own support . . . . . . . . . . . . . . . . . . . . 21.
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-22. Is line 21 more than line 20?
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-No. You meet the support test for this person to be your qualifying child. If this person also meets the other tests to be a
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-qualifying child, stop here; don’t complete lines 23–26. Otherwise, go to line 23 and fill out the rest of the worksheet to determine if this person is your qualifying relative.
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-Yes. You don’t meet the support test for this person to be either your qualifying child or your qualifying relative. Stop
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-here.
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-Did You Provide More Than Half?
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-23. Enter the amount others provided for the person's support. Include amounts provided by state,
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-local, and other welfare societies or agencies. Don’t include any amounts included on line 1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23.
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-24. Add lines 21 and 23 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24.
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-25. Subtract line 24 from line 19. This is the amount you provided for the person's support . . . . . . . 25.
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-26. Is line 25 more than line 20?
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-Yes. You meet the support test for this person to be your qualifying relative.
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-No. You don’t meet the support test for this person to be your qualifying relative. You can’t claim this person as a
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-dependent unless you can do so under a multiple support agreement, the support test for children of divorced or
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-separated parents (or parents who live apart), or the special rule for kidnapped children. See Multiple Support Agreement
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-or Support Test for Children of Divorced or Separated Parents (or Parents Who Live Apart), or Kidnapped child under Qualifying Relative.
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-Publication 17 (2025) Chapter 3 Dependents 31 adoptive parent of an individual. It doesn’t in- Example 3—Two persons claim same return. You also can't take the credit for child clude a stepparent or foster parent unless that child. The facts are the same as in Example 1, and dependent care expenses because your fil-person has adopted the individual. except you and your parent both claim Jordan ing status is married filing separately and you
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-• as a qualifying child. In this case, you, as the and your spouse didn't live apart for the last 6 If only one of the persons is the child's pa- child's parent, will be the only one allowed to months of 2025. rent, the child is treated as the qualifying claim the child as a qualifying child. The IRS will child of the parent. disallow your parent's claim to the five tax bene- Example 7—Separated parents claim • If the parents file a joint return together and fits listed earlier based on Jordan. However, same child. The facts are the same as in Ex- can claim the child as a qualifying child, your parent may qualify for the earned income ample 6, except you and your spouse both the child is treated as the qualifying child of credit as a taxpayer without a qualifying child. claim your child as a qualifying child. In this the parents. case, only your spouse will be allowed to treat
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-• Example 4—Qualifying children split be- your child as a qualifying child. This is because, If the parents don’t file a joint return to- tween two persons. The facts are the same during 2025, the child lived with your spouse gether but both parents claim the child as a as in Example 1, except you also have two other longer than with you. If you claimed the child tax qualifying child, the IRS will treat the child young children who are qualifying children of credit for your child, the IRS will disallow your as the qualifying child of the parent with both you and your parent. Only one of you can claim to the child tax credit. If you don’t have an- whom the child lived for the longer period claim each child. However, if your parent's AGI other qualifying child or dependent, the IRS will of time during the year. If the child lived is higher than yours, you can allow your parent also disallow your claim to the exclusion for de- with each parent for the same amount of to claim one or more of the children. For exam- pendent care benefits. In addition, because you time, the IRS will treat the child as the qual- ple, if you claim one child, your parent can claim and your spouse didn't live apart for the last 6 ifying child of the parent who had the the other two. months of the year, your spouse can’t claim higher AGI for the year. head of household filing status. As a result, your • If no parent can claim the child as a qualify- Example 5—Taxpayer who is a qualify- spouse’s filing status is married filing separately. ing child, the child is treated as the qualify- ing child. The facts are the same as in Exam- Your spouse can’t claim the earned income ing child of the person who had the highest ple 1, except you are only 18 years old and credit because your spouse doesn’t meet the AGI for the year. didn't provide more than half of your own sup- requirements to claim the earned income credit
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-• port for the year. This means you are your pa-If a parent can claim the child as a qualify- for certain separated spouses. You and your
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-ing child but no parent does so claim the rent's qualifying child. If your parent can claim spouse didn't live apart for the last 6 months of child, the child is treated as the qualifying you as a dependent, then you can’t claim your 2025, and, while you did live apart at the end of
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-child of the person who had the highest child as a dependent because of the Depend- 2025, you aren't legally separated under a writ-
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-AGI for the year, but only if that person's ent Taxpayer Test, explained earlier, unless your ten separation agreement or decree of separate AGI is higher than the highest AGI of any of parent files a return only to claim a refund of in- maintenance. Therefore, your spouse doesn't the child's parents who can claim the child. come tax withheld or estimated tax paid. meet the requirements to take the earned in-
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-Subject to these tiebreaker rules, you and Example 6—Separated parents. You, come credit as a separated spouse who isn’t fil-
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-the other person may be able to choose which your spouse, and your 10-year-old child all lived ing a joint return. Your spouse also can't take of you claims the child as a qualifying child. in the United States for all of 2025. On August the credit for child and dependent care expen-
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-ses because your spouse’s filing status is mar-
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-You may be able to qualify for the 1, 2025, your spouse moved out of the house- ried filing separately and you and your spouse
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-TIP hold. In August and September, your child lived earned income credit under the rules didn't live apart for the last 6 months of 2025.
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-for taxpayers without a qualifying child with you. For the rest of the year, your child lived
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-if you have a qualifying child for the earned in- with your spouse, the child's other parent. Your Example 8—Unmarried parents. You,
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-come credit who is claimed as a qualifying child child is a qualifying child of both you and your your 5-year-old child, Marley, and Marley’s other by another taxpayer. For more information, see spouse because your child lived with each of parent lived together in the United States all Pub. 596. you for more than half the year and because year. You and Marley’s other parent aren't mar-
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-your child met the relationship, age, support, ried. Marley is a qualifying child of both you and
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-Example 1—Child lived with parent and and joint return tests for both of you. At the end the other parent because Marley meets the rela-
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-grandparent. You and your 3-year-old child of the year, you and your spouse still weren't di- tionship, age, residency, support, and joint re-
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-Jordan lived with your parent all year. You are vorced, legally separated, or separated under a turn tests for both you and the other parent.
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-$9,000. Your parent's AGI is $15,000. Your is $14,000. The other parent agrees to let you parents who live apart) doesn't apply. claim Marley as a qualifying child. This means child’s other parent didn't live with you or your 25 years old and unmarried, and your AGI is children of divorced or separated parents (or written separation agreement, so the rule for Your AGI is $12,000 and the other parent’s AGI
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-child. You haven't signed Form 8332 (or a simi- You and your spouse will file separate re- you can claim Marley as a qualifying child for
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-your parent because Jordan meets the relation-Jordan is a qualifying child of both you and tus, the credit for child and dependent care ex- spouse doesn't claim your child as a qualifying penses, the exclusion for dependent care bene- lar statement). child as a qualifying child. This means, if your turns. Your spouse agrees to let you treat your the child tax credit, head of household filing sta-
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-ship, age, residency, support, and joint return child, you can claim this child as a qualifying fits, and the earned income credit, if you qualify
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-
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-only one of you can claim Jordan. Your child parent doesn't claim Marley as a qualifying child of those tax benefits). However, you can’t claim for any of those tax benefits). isn't a qualifying child of anyone else, including tests for both you and your parent. However, dependent care benefits (if you qualify for each child for the child tax credit and exclusion for for each of those tax benefits (and if the other
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-Jordan’s other parent. You agree to let your pa- and your spouse didn't live apart for the last 6 head of household filing status because you rent claim Jordan. This means your parent can months of the year. As a result, your filing status Example 9—Unmarried parents claim claim Jordan as a qualifying child for all of the is married filing separately, so you can’t claim same child. The facts are the same as in Ex-five tax benefits listed earlier, if your parent the earned income credit because you don’t ample 8, except you and Marley’s other parent qualifies for each of those benefits (and if you meet the requirements for certain separated both claim Marley as a qualifying child. In this don’t claim Jordan as a qualifying child for any spouses to claim the earned income credit case, only the other parent will be allowed to of those tax benefits). when they don’t file a joint return. You and your treat Marley as a qualifying child. This is be-cause the other parent’s AGI, $14,000, is more
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-grandparent. The facts are the same as in Ex- tax credit for Marley, the IRS will disallow your 2025, you aren't legally separated under a writ- claim to this credit. If you don’t have another ample 1, except your AGI is $18,000. Because Example 2—Parent has higher AGI than 2025, and while you did live apart at the end of spouse didn't live apart for the last 6 months of than your AGI, $12,000. If you claimed the child
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-your parent's AGI isn't higher than yours, your maintenance. Therefore, you don't meet the re-ten separation agreement or decree of separate qualifying child or dependent, the IRS will also
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-parent can’t claim Jordan. Only you can claim quirements to take the earned income credit as disallow your claim to head of household filing Jordan. status, the credit for child and dependent care a separated spouse who is not filing a joint expenses, and the exclusion for dependent care
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-32 Chapter 3 Dependents Publication 17 (2025) benefits. However, you may be able to claim the for head of household filing status and the Your grandchild isn’t your qualifying child be-earned income credit as a taxpayer without a earned income credit if your parent qualifies for cause the residency test isn’t met. Your grand-qualifying child. each and if you don’t claim Kody as a qualifying child may be your qualifying relative if the gross
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-rent. You and your sibling’s child, Reid, lived Example 10—Child didn't live with a pa- claim head of household filing status because Child of person not required to file a return. child for the earned income credit. (You can’t income test and the support test are met.
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-with your parent all year. You are 25 years old, A child isn't the qualifying child of any other tax- your parent paid the entire cost of keeping up
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-$15,000. Reid’s parents file jointly, have an AGI income credit as a taxpayer without a qualifying tive if the child's parent (or other person for child. whom the child is defined as a qualifying child) and your AGI is $9,300. Your parent’s AGI is payer and so may qualify as your qualifying rela- the home.) You may be able to claim the earned
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-Reid. Reid is a qualifying child of both you and isn't required to file an income tax return and ei- of less than $9,000, and don’t live with you or
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-your parent because Reid meets the relation- ther: Example 2. The facts are the same as in Example 1, except your AGI is $25,000 and
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-ship, age, residency, support, and joint return your parent's AGI is $21,000. Your parent can’t • Doesn't file an income tax return, or
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-tests for both you and your parent. However, claim Kody as a qualifying child for any purpose • Files a return only to get a refund of in-only your parent can treat Reid as a qualifying because your parent’s AGI isn't higher than come tax withheld or estimated tax paid. child. This is because your parent’s AGI, yours.
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-$15,000, is more than your AGI, $9,300. Example 1—Return not required. You Example 3. The facts are the same as in Applying the tiebreaker rules to divorced or support an unrelated friend and your friend’s Example 1, except you and your parent both separated parents (or parents who live 3-year-old child, who lived with you all year in claim Kody as a qualifying child for the earned apart). If a child is treated as the qualifying your home. Your friend has no gross income, income credit. Your parent also claims Kody as isn't required to file a 2025 tax return, and child of the noncustodial parent under the rules a qualifying child for head of household filing described earlier for children of divorced or sep- doesn't file a 2025 tax return. Both your friend status. You, as the child's parent, will be the arated parents (or parents who live apart) , only and your friend’s child are your qualifying rela- only one allowed to claim Kody as a qualifying the noncustodial parent can claim the child as a tives if the support test is met. child for the earned income credit. The IRS will dependent and claim the child tax credit, addi- disallow your parent's claim to head of house- Example 2—Return filed to claim refund. tional child tax credit, or credit for other depend- hold filing status unless your parent has another The facts are the same as in Example 1, except ents for the child. However, only the custodial qualifying child or dependent. Your parent can't your friend had wages of $1,500 during the year parent can claim the credit for child and de- claim the earned income credit as a taxpayer and had income tax withheld from their wages. pendent care expenses or the exclusion for de- without a qualifying child because your parent’s Your friend files a return only to get a refund of pendent care benefits for the child. Also, gener- AGI is more than $19,104. the income tax withheld and doesn't claim the ally, the noncustodial parent can't claim the earned income credit or any other tax credits or child as a qualifying child for head of household Qualifying Relative filing status or the earned income credit. In- deductions. Both your friend and your friend’s child are your qualifying relatives if the support stead, generally, the custodial parent, if eligible, test is met. or other eligible person can claim the child as a Four tests must be met for a person to be your qualifying child for those two benefits. If the qualifying relative. The four tests are: Example 3—Earned income credit child is the qualifying child of more than one 1. Not a qualifying child test , claimed. The facts are the same as in Exam- person for these benefits, then the tiebreaker ple 2, except your friend had wages of $8,000 rules just explained determine whether the cus- 2. Member of household or relationship test , during the year and claimed the earned income todial parent or another eligible person can treat 3. Gross income test , and credit. Your friend's child is the qualifying child the child as a qualifying child. of another taxpayer (your friend), so you can’t 4. Support test . claim your friend's child as your qualifying rela- Example 1. You and your 5-year-old child, Age. Unlike a qualifying child, a qualifying rela- tive. Also, you can’t claim your friend as your Kody, lived all year with your parent in the Uni- tive can be any age. There is no age test for a qualifying relative because of the gross income ted States. Your parent paid the entire cost of qualifying relative. test, explained later. keeping up the home. Your AGI is $10,000. Your
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-parent's AGI is $25,000. Kody’s other parent Kidnapped child. You may be able to treat a Child in Canada or Mexico. You may be able lived in the United States all year, but didn’t live child as your qualifying relative even if the child to claim your child as a dependent even if the with you or Kody. has been kidnapped. See Pub. 501 for details. child lives in Canada or Mexico. If the child Under the rules explained earlier for children doesn't live with you, the child doesn't meet the of divorced or separated parents (or parents residency test to be your qualifying child. How-Not a Qualifying Child Test who live apart), Kody is treated as the qualifying ever, the child may still be your qualifying rela-child of Kody’s other parent, who can claim the A child isn't your qualifying relative if the child is tive. If the persons the child does live with aren't child tax credit for the child. Because of this, your qualifying child or the qualifying child of U.S. citizens and have no U.S. gross income, you can’t claim the child tax credit for your child. any other taxpayer. those persons aren't “taxpayers,” so the child However, those rules don't allow Kody’s other isn't the qualifying child of any other taxpayer. If parent to claim Kody as a qualifying child for Example 1. Your 22-year-old child, who is a the child isn't the qualifying child of any other head of household filing status, the credit for student, lives with you and meets all the tests to taxpayer, the child is your qualifying relative as child and dependent care expenses, the exclu-be your qualifying child. This child isn't your long as the gross income test and the support sion for dependent care benefits, or the earned qualifying relative. test are met. income credit. You can’t claim as a dependent a child who You and your parent didn't have any child Example 2. Your 2-year-old child lives with lives in a foreign country other than Canada or care expenses or dependent care benefits, so your parents and meets all the tests to be their Mexico, unless the child is a U.S. citizen, U.S. neither of you can claim the credit for child and qualifying child. This child isn't your qualifying resident alien, or U.S. national. There is an ex-dependent care expenses or the exclusion for relative. ception for certain adopted children who lived dependent care benefits. But Kody is a qualify-with you all year. See Citizen or Resident Test , ing child of both you and your parent for head of Example 3. Your 30-year-old child lives earlier. household filing status and the earned income with you. This child isn’t a qualifying child be-cause the age test isn’t met. This child may be credit because Kody meets the relationship, Example. You provide all the support of age, residency, support, and joint return tests your qualifying relative if the gross income test your children, ages 6, 8, and 12, who live in for both you and your parent. (The support test and the support test are met. Mexico with your parent and have no income. doesn't apply for the earned income credit.) You are single and live in the United States. However, you agree to let your parent claim Example 4. Your 13-year-old grandchild Your parent isn't a U.S. citizen and has no U.S. Kody. This means your parent can claim Kody only lived with you for 5 months during the year.
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-Publication 17 (2025) Chapter 3 Dependents 33 income, so your parent isn't a “taxpayer.” Your your qualifying relative only if the stepparent Gross receipts from rental property are children aren't your qualifying children because lives with you all year as a member of your gross income. Don’t deduct taxes, repairs, or they don’t meet the residency test. But since household. other expenses to determine the gross income
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-they aren't the qualifying children of any other from rental property. Temporary absences. A person is considered taxpayer, they may be your qualifying relatives Gross income includes a partner's share of to live with you as a member of your household and you may be permitted to claim them as de-the gross (not a share of the net) partnership in-during periods of time when one of you, or both, pendents. You may also be able to claim your come. is temporarily absent due to special circumstan-parent as a dependent if the gross income and Gross income also includes all taxable un-ces such as: support tests are met. employment compensation, taxable social se-• Illness, curity benefits, and certain amounts received as
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-Relationship Test received by degree candidates and used for tui- • Business, tion, fees, supplies, books, and equipment re- To meet this test, a person must either: Member of Household or scholarship and fellowship grants. Scholarships • Education,
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-1. Live with you all year as a member of your cluded in gross income. For more information • Military service, or household, or • Vacation, quired for particular courses generally aren't in-
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-• Detention in a juvenile facility. Disabled dependent working at sheltered about scholarships, see chapter 8.
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-2. Be related to you in one of the ways listed under If the person is placed in a nursing home for you Relatives who don’t have to live with workshop. For purposes of the gross income an indefinite period of time to receive constant below.
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-test, the gross income of an individual who is
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-medical care, the absence may be considered permanently and totally disabled at any time
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-your spouse, that person can’t be your qualify- ices the individual performs at a sheltered work- Death or birth. A person who died during the ing relative. If at any time during the year the person was temporary. during the year doesn't include income for serv-
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-year, but lived with you as a member of your shop. The availability of medical care at the
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-person related to you in any of the following vidual's presence there. Also, the income must same is true for a child who was born during the come solely from activities at the workshop that Relatives who don’t have to live with you. A workshop must be the main reason for the indi- household until death, will meet this test. The
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-ways doesn't have to live with you all year as a year and lived with you as a member of your
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-member of your household to meet this test. are incident to this medical care. household for the rest of the year. The test is • also met if a child lived with you as a member of A “sheltered workshop” is a school that: Your child, stepchild, or foster child, or a your household except for any required hospital • • descendant of any of them (for example, Provides special instruction or training de- stay following birth. signed to alleviate the disability of the indi- your grandchild). (A legally adopted child is If your dependent died during the year and vidual; and considered your child.) you otherwise qualify to claim that person as a Your brother, sister, half brother, half sister, • Is operated by certain tax-exempt organi- dependent, you can still claim that person as a zations, or by a state, a U.S. territory, a po-
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-• stepbrother, or stepsister. dependent. litical subdivision of a state or territory, the Your father, mother, grandparent, or other United States, or the District of Columbia. Example. Your parent, who met the tests to direct ancestor, but not foster parent. be your qualifying relative, died on January 15. Permanently and totally disabled has the • Your stepfather or stepmother. You can claim your parent as a dependent on same meaning here as under Qualifying Child, • A son or daughter of your brother or sister. your return. earlier.
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-• A son or daughter of your half brother or Local law violated. A person doesn't meet
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-Any of these relationships that were established • Your son-in-law, daughter-in-law, fa- more than half of a person's total support during ther-in-law, mother-in-law, brother-in-law, Example. Your significant other lived with the calendar year. or sister-in-law. you as a member of your household all year. However, if two or more persons provide However, your relationship violated the laws of support, but no one person provides more than the state where you live because your signifi- by marriage aren't ended by death or divorce. half of a person's total support, see Multiple cant other was married to someone else. There- • tionship between you and that person violates Relative) A brother or sister of your father or mother. local law. To meet this test, you must generally provide half sister. this test if at any time during the year the rela- Support Test (To Be a Qualifying
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-Example. In 2019, you and your spouse fore, your significant other doesn't meet this test Support Agreement, later.
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-began supporting your spouse’s unmarried pa- and you can’t claim them as a dependent. How to determine if support test is met.
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-rent, Gene. Your spouse died in 2024. Despite You figure whether you have provided more Adopted child. An adopted child is always your spouse’s death, Gene continues to meet than half of a person's total support by compar- treated as your own child. The term “adopted this test, even if Gene doesn’t live with you. You ing the amount you contributed to that person's child” includes a child who was lawfully placed support with the entire amount of support that can claim Gene as a dependent if all other tests with you for legal adoption. are met, including the gross income and sup- person received from all sources. This includes Cousin. Your cousin must live with you all year port tests. support the person provided from the person’s as a member of your household to meet this own funds.
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-Foster child. A foster child is an individual test. A cousin is a descendant of a brother or You may find Worksheet 3-1 helpful in figur-
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-who is placed with you by an authorized place- sister of your father or mother. ing whether you provided more than half of a ment agency or by judgment, decree, or other person's support.
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-order of any court of competent jurisdiction. Gross Income Test Person's own funds not used for support. A Joint return. If you file a joint return, the per- To meet this test, a person's gross income for person's own funds aren't support unless they son can be related to either you or your spouse. the year must be less than $5,200. are actually spent for support.
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-Also, the person doesn't need to be related to Gross income defined. Gross income is all in-the spouse who provides support. Example. Your parent received $2,400 in come in the form of money, property, and serv-social security benefits and $300 in interest, For example, you provide more than half the ices that isn't exempt from tax. paid $2,000 for lodging and $400 for recreation, support for your spouse’s stepparent. Your In a manufacturing, merchandising, or min-and put $300 in a savings account. spouse’s stepparent may be your qualifying rel-ing business, gross income is the total net sales Even though your parent received a total of ative even if the stepparent doesn't live with minus the cost of goods sold, plus any miscella-$2,700 ($2,400 + $300), your parent spent only you. However, if you and your spouse file sepa-neous income from the business. $2,400 ($2,000 + $400) for your parent’s own rate returns, your spouse's stepparent can be
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-34 Chapter 3 Dependents Publication 17 (2025) support. If you spent more than $2,400 for your If a child receives social security benefits Fair rental value of lodging . . . . . . . . . $ 1,800
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-ceived, you have provided more than half of Clothing, transportation, and benefits are considered as provided by the recreation parent’s support and no other support was re- and uses them toward their own support, the your parent’s support. . . . . . . . . . . . . . . . . . 2,400 child.
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-Child's wages used for own support. You Medical expenses . . . . . . . . . . . . . 1,200 Support provided by the state (welfare,
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-can’t include in your contribution to your child's Share of food (1/5 of $5,200) . . . . . . . 1,040 food stamps, housing, etc.). Benefits provi-
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-support any support paid for by the child with ded by the state to a needy person are gener- Total support . . . . . . . . . . . . . . . $6,440 the child's own wages, even if you paid the wa- ally considered support provided by the state.
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-ges. However, payments based on the needs of the The support the married couple provide, recipient won't be considered as used entirely Year support is provided. The year you pro-$4,040 ($1,800 lodging + $1,200 medical ex-for that person's support if it is shown that part vide the support is the year you pay for it, even if penses + $1,040 food), is more than half of the of the payments weren't used for that purpose. you do so with borrowed money that you repay parent's $6,440 total support.
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-in a later year. TANF and other governmental payments. If you use a fiscal year to report your income, Example 2. Your parents, Aubrey and Bai- Under proposed Treasury regulations, if you re- ley, live with you, your spouse, and your two
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-you must provide more than half of the depend- ceived TANF payments or other similar pay-ent's support for the calendar year in which your children in a house you own. The fair rental ments and used the payments to support an-
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-fiscal year begins. value of your parents' share of the lodging is other person, those payments are considered
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-Armed Forces dependency allotments. The support you provided for that person, rather $2,000 a year ($1,000 each), which includes
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-part of the allotment contributed by the govern- taxable pension of $4,200, which Aubrey other third party. ment and the part taken out of your military pay than support provided by the government or furnishings and utilities. Aubrey receives a non-
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-spends equally between Aubrey and Bailey for
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-are both considered provided by you in figuring Foster care. Payments you receive for the sup- items of support such as clothing, transporta-whether you provide more than half of the sup- port of a foster child from a child placement tion, and recreation. Your total food expense for port. If your allotment is used to support per- agency are considered support provided by the the household is $6,000. Your heat and utility
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-sons other than those you name, you can claim agency. See Foster care payments and expen- bills amount to $1,200. Bailey has hospital and
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-them as dependents if they otherwise qualify. ses, earlier. medical expenses of $600, which you pay dur-
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-Example. You are in the Armed Forces. You Home for the aged. If you make a lump-sum ing the year. Figure your parents' total support
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-authorize an allotment for your surviving parent advance payment to a home for the aged to as follows.
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-that your surviving parent uses to support them- take care of your relative for life and the pay-ment is based on that person's life expectancy, Support provided Aubrey Bailey selves and their sibling. If the allotment provides the amount of support you provide each year is more than half of each person's support, you Fair rental value of lodging . . . $1,000 $1,000 the lump-sum payment divided by the relative's can claim each of them as a dependent, if they life expectancy. The amount of support you pro-Pension spent for their otherwise qualify, even though you authorize the support . . . . . . . . . . . . 2,100 2,100 vide also includes any other amounts you provi-allotment only for your surviving parent. ded during the year. Share of food (1/6 of
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-Tax-exempt military quarters allowances. $6,000) . . . . . . . . . . . . 1,000 1,000
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-dependency allotments in figuring support. The To figure if you provided more than half of a per- Parents' total support . . . . $4,100 $4,700 allotment of pay and the tax-exempt basic al-son's support, you must first determine the total These allowances are treated the same way as Total Support Medical expenses for Bailey . . 600
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-provided by you for support. lowance for quarters are both considered as support provided for that person. Total support You must apply the support test separately
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-includes amounts spent to provide food, lodg- to each parent. You provide $2,000 ($1,000
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-Tax-exempt income. In figuring a person's to- ing, clothing, education, medical and dental lodging + $1,000 food) of Aubrey’s total support tal support, include tax-exempt income, sav- care, recreation, transportation, and similar ne- of $4,100—less than half. You provide $2,600 to ings, and borrowed amounts used to support cessities. Bailey ($1,000 lodging + $1,000 food + $600 that person. Tax-exempt income includes cer- Generally, the amount of an item of support medical)—more than half of Bailey’s total sup-tain social security benefits, welfare benefits, is the amount of the expense incurred in provid- port of $4,700. You meet the support test for nontaxable life insurance proceeds, Armed ing that item. For lodging, the amount of support Bailey, but not Aubrey. Heat and utility costs are Forces family allotments, nontaxable pensions, is the fair rental value of the lodging. included in the fair rental value of the lodging, and tax-exempt interest. Expenses not directly related to any one so these aren't considered separately.
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-your parent’s support during the year. Your pa- you are considered to provide support equal to the members of the household. rent has earned income of $600, nontaxable so- the fair rental value of the room, apartment, house, or other shelter in which the person cial security benefits of $4,800, and tax-exempt Example 1. You provide $4,000 toward Lodging. If you provide a person with lodging, food for the household, must be divided among member of a household, such as the cost of
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-of $9,600 ($4,000 + $600 +$4,800 + $200). Fair rental value defined. Fair rental value income. The married couple’s total food ex- is the amount you could reasonably expect to pense for the household is $5,200. They pay receive from a stranger for the same kind of Example 2. Your sibling takes out a student the parent’s medical and drug expenses of lodging. It is used instead of actual expenses loan of $2,500 and uses it to pay college tuition. $1,200. The fair rental value of the lodging pro- such as taxes, interest, depreciation, paint, in- Your sibling is personally responsible for the vided for the parent is $1,800 a year, based on surance, utilities, and the cost of furniture and loan. You provide $2,000 toward their total sup- the cost of similar rooming facilities. Figure the appliances. In some cases, fair rental value may port. You can’t claim them as a dependent be- parent’s total support as follows. be equal to the rent paid. cause you provide less than half of their sup- If you provide the total lodging, the amount for self-support. You can’t claim your parent as lowance for the use of furniture and appliances, parent gets social security benefits of $2,400, and for heat and other utilities that are provided. a dependent because the $4,000 you provide which the parent spends for clothing, transpor- isn’t more than half of your parent’s total support tation, and recreation. The parent has no other interest of $200, all of which your parent uses lives. Fair rental value includes a reasonable al- their two children and one of their parents. Their Example 1. A married couple lives with
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-port.
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-of support you provide is the fair rental value of
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-Social security benefits. If a married cou- the room the person uses, or a share of the fair
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-ple receives benefits that are paid by one check rental value of the entire dwelling if the person
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-made out to both of them, half of the total paid has use of your entire home. If you don’t provide
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-is considered to be for the support of each the total lodging, the total fair rental value must
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-spouse, unless they can show otherwise. be divided depending on how much of the total
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-Publication 17 (2025) Chapter 3 Dependents 35 lodging you provide. If you provide only a part child, the car's fair market value ($4,500) must The person who claims the person as a de-and the person supplies the rest, the fair rental be included in your child’s support. Your child pendent must keep these signed statements for value must be divided between both of you ac- has provided more than half of their own total their own records. A multiple support declara-cording to the amount each provides. support of $8,500 ($4,500 + $4,000), so this tion identifying each of the others who agreed
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-child isn't your qualifying child. You didn't pro- not to claim the person as a dependent must be
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-Example. Your parents live rent free in a vide more than half of the child’s total support, attached to the return of the person claiming the
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-house you own. It has a fair rental value of so the child isn't your qualifying relative. You person as a dependent. Form 2120 can be
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-rental value of $3,600 for the house and $1,800 You can claim someone as a dependent un- Medical insurance premiums. Medical insur- for the furniture. This doesn't include heat and $5,400 a year furnished, which includes a fair can’t claim this child as a dependent. used for this purpose.
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-utilities. The house is completely furnished with ance premiums you pay, including premiums for der a multiple support agreement for someone related to you or for someone who lived with supplementary Medicare coverage, are inclu- furniture belonging to your parents. You pay you all year as a member of your household. ded in the support you provide. $600 for their utility bills. Utilities usually aren't
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-included in rent for houses in the area where Example 1. You, and your siblings, Sam, Medical insurance benefits. Medical insur- your parents live. Therefore, you consider the Bobbi, and Dani, provide the entire support of ance benefits, including basic and supplemen- total fair rental value of the lodging to be $6,000 your parent for the year. You provide 45%, Sam tary Medicare benefits, aren't part of support. ($3,600 fair rental value of the unfurnished provides 35%, and Bobbi and Dani each pro- house + $1,800 allowance for the furnishings Tuition payments and allowances under the vide 10%. Either you or Sam can claim your pa- provided by your parents + $600 cost of utilities) GI Bill. Amounts veterans receive under the GI rent as a dependent; the one who doesn’t must of which you are considered to provide $4,200 Bill for tuition payments and allowances while sign a statement agreeing not to claim your pa- ($3,600 + $600). they attend school are included in total support. rent as a dependent. The one who claims your
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-fair rental value of a person's home that the per- ceives $2,200 from the government under the keep the statement signed by the other for their son owns is considered support contributed by GI Bill. Your child uses this amount for their edu-records. Because neither Bobbi nor Dani pro-that person. cation. You provide the rest of your child’s sup-vides more than 10% of the support, neither can Person living in their own home. The total Example. During the year, your child re- or a similar declaration, to their return and must parent as a dependent must attach Form 2120,
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-Living with someone rent free. If you live port, $2,000. Because GI benefits are included claim your parent as a dependent and neither
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-with a person rent free in that person’s home, in total support, your child’s total support is has to sign a statement.
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-support of that person by the fair rental value of Example 2. You and your sibling each pro- vide 20% of your parent's support for the year. lodging the person provides you. you must reduce the amount you provide for more than half of your child’s support. $4,200 ($2,200 + $2,000). You haven't provided
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-Childcare expenses. If you pay someone to
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-measured by its fair market value. Fair market clude these payments in the amount you provi- provided equally by two persons who are unre- lated. Your parent doesn't live with them. Be- Property. Property provided as support is provide child or dependent care, you can in- The remaining 60% of your parent’s support is
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-value is the price that property would sell for on cause more than half of your parent’s support is ded for the support of your child or disabled de-
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-the open market. It is the price that would be provided by persons who can’t claim your pa- pendent, even if you claim a credit for the
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-agreed upon between a willing buyer and a will- rent as a dependent, no one can claim your pa- Pub. 503. payments. For information on the credit, see
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-ing seller, with neither being required to act, and rent as a dependent. both having reasonable knowledge of the rele- Other support items. Other items may be
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-vant facts. considered as support depending on the facts Support Test for Children of
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-item is or isn't support. The following examples show when a capital The following items aren't included in total sup- parents (or parents who live apart) will be a port. qualifying child of one of the parents. See Chil- 1. Federal, state, and local income taxes dren of divorced or separated parents (or pa- rents who live apart) paid by persons from their own income. under Qualifying Child, Example 1. You buy a $200 power lawn earlier. However, if the child doesn't meet the re- mower for your 13-year-old child. The child is 2. Social security and Medicare taxes paid quirements to be a qualifying child of either pa- given the duty of keeping the lawn trimmed. Be- by persons from their own income. rent, the child may be a qualifying relative of furniture, appliances, and cars, bought for a per- Parents Who Live Apart) Don’t Include in Total Support son during the year can be included in total sup-In most cases, a child of divorced or separated port under certain circumstances. Capital expenses. Capital items, such as Divorced or Separated Parents (or in each case.
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-cause the lawn mower benefits all members of 3. Life insurance premiums. one of the parents. If you think this might apply the household, don’t include the cost of the to you, see Pub. 501. lawn mower in the support of your child. 4. Funeral expenses.
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-as a birthday present for your 12-year-old child. Example 2. You buy a $150 television set 5. Scholarships received by your child if your Social Security child is a student. Numbers (SSNs) The television set is placed in your child's bed-6. Survivors' and Dependents' Educational room. You can include the cost of the television Assistance payments used for the support for Dependents set in the support of your child. of the child who receives them.
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-Example 3. You pay $5,000 for a car and list in the Dependents section of your Form You must show the SSN of any dependent you
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-register it in your name. You and your Multiple Support Agreement 17-year-old child use the car equally. Because Sometimes no one provides more than half of 1040 or 1040-SR.
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-but merely let your child use it, don’t include the persons, each of whom would be able to claim ! when required, or if you show an incor-cost of the car in your child’s total support. How-you own the car and don’t give it to your child the support of a person. Instead, two or more If you don’t show the dependent's SSN the person as a dependent but for the support CAUTION rect SSN, certain tax benefits may be
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-ever, you can include in your child's support test, together provide more than half of the per- disallowed. your out-of-pocket expenses of operating the son's support.
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-car for your child’s benefit. When this happens, you can agree that any No SSN. If a person whom you expect to claim
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-one of you who individually provides more than as a dependent on your return doesn't have an
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-Example 4. Your 17-year-old child, using 10% of the person's support, but only one, can SSN, either you or that person should apply for
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-personal funds, buys a car for $4,500. You pro- claim the person as a dependent. Each of the an SSN as soon as possible by filing Form vide the rest of your child's support, $4,000. Be- others must sign a statement agreeing not to SS-5, Application for a Social Security Card, cause the car is bought and owned by your claim the person as a dependent for that year. with the Social Security Administration (SSA).
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-36 Chapter 3 Dependents Publication 17 (2025)
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-You can get Form SS-5 online at SSA.gov/ must pay the smaller of 90% of your expected Tax Withholding for
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-forms/ss-5.pdf or at your local SSA office. tax for 2026 or 110% of the tax shown on your
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-It usually takes about 2 weeks to get an SSN 2025 return to avoid an estimated tax penalty. 2026
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-once the SSA has all the information it needs. If
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-date, you can file Form 4868 for an extension of This section discusses income tax withholding you don’t have a required SSN by the filing due Introduction
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-time to file. on:
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-born and died in 2025, and you don’t have an Born and died in 2025. If your child was you earn or receive income during the year. In Tips, • This chapter discusses how to pay your tax as • Salaries and wages, general, the federal income tax is a
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-SSN for the child, you may attach a copy of the pay-as-you-go tax. There are two ways to pay • Taxable fringe benefits,
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-child's birth certificate, death certificate, or hos- as you go. • Sick pay, pital records instead. The document must show • Withholding. If you are an employee, your the child was born alive. If you do this, enter • Pensions and annuities, employer probably withholds income tax “DIED” in row (3) of the Dependents section of from your pay. Tax may also be withheld • Gambling winnings, your Form 1040 or 1040-SR. from certain other income, such as pen-• Unemployment compensation, and Alien or adoptee with no SSN. If your de-sions, bonuses, commissions, and gam-• Certain federal payments. pendent doesn't have and can’t get an SSN, bling winnings. The amount withheld is paid to the IRS in your name. you must show the Individual Taxpayer Identifi-This section explains the rules for withholding
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-cation Number (ITIN) or adoption taxpayer iden- tax from each of these types of income. • Estimated tax. If you don’t pay your tax tification number (ATIN) instead of an SSN. through withholding, or don’t pay enough This section also covers backup withholding tax that way, you may have to pay estima-Taxpayer identification numbers for ali-on interest, dividends, and other payments. ted tax. People who are in business for ens. If your dependent is a resident or nonresi-themselves will generally have to pay their dent alien who doesn't have and isn't eligible to tax this way. Also, you may have to pay es-get an SSN, your dependent must apply for an Salaries and Wages timated tax if you receive income such as ITIN. For details on how to apply, see Form dividends, interest, capital gains, rent, and W-7, Application for IRS Individual Taxpayer Income tax is withheld from the pay of most em-royalties. Estimated tax is used to pay not Identification Number. ployees. Your pay includes your regular pay, bo-only income tax, but self-employment tax nuses, commissions, and vacation allowances. and alternative minimum tax as well. Taxpayer identification numbers for It also includes reimbursements and other ex-adoptees. If you have a child who was placed This chapter explains these methods. In ad-pense allowances paid under a nonaccountable with you by an authorized placement agency, dition, it also explains the following. plan. See Supplemental Wages , later, for more you may be able to claim the child as a depend-information about reimbursements and allowan-• Credit for withholding and estimated ent. However, if you can’t get an SSN or an ITIN ces paid under a nonaccountable plan. tax. When you file your 2025 income tax for the child, you must get an ATIN for the child If your income is low enough that you won’t return, take credit for all the income tax from the IRS. See Form W-7A, Application for have to pay income tax for the year, you may be withheld from your salary, wages, pen-Taxpayer Identification Number for Pending U.S. exempt from withholding. This is explained un-sions, etc., and for the estimated tax you Adoptions, for details. der Exemption From Withholding , later. paid for 2025. Also take credit for any ex-You can ask your employer to withhold in-cess social security or railroad retirement come tax from noncash wages and other wages tax withheld. See Pub. 505. not subject to withholding. If your employer • Underpayment penalty. If you didn’t pay doesn’t agree to withhold tax, or if not enough is enough tax during the year, either through withheld, you may have to pay estimated tax, as withholding or by making estimated tax 4. discussed later under Estimated Tax for 2026 . payments, you may have to pay a penalty. Military retirees. Military retirement pay is In most cases, the IRS can figure this pen-treated in the same manner as regular pay for alty for you. See Underpayment Penalty for Tax Withholding 2025 at the end of this chapter. income tax withholding purposes, even though it is treated as a pension or annuity for other tax purposes. Useful Items and Estimated You may want to see: Household workers. If you are a household worker, you can ask your employer to withhold Tax income tax from your pay. A household worker Publication is an employee who performs household work in a private home, local college club, or local fra- 505 505 Tax Withholding and Estimated Tax ternity or sorority chapter. What’s New for 2026 Form (and Instructions) Tax is withheld only if you want it withheld and your employer agrees to withhold it. If you W-4 W-4 Employee’s Withholding Certificate don’t have enough income tax withheld, you Tax law changes for 2026. When you figure may have to pay estimated tax, as discussed W-4P how much income tax you want withheld from W-4P Withholding Certificate for Periodic later under Estimated Tax for 2026 . Pension or Annuity Payments your pay and when you figure your estimated Farmworkers. Generally, income tax is with-tax, consider tax law changes effective in 2026. W-4S For more information, see Pub. 505, Tax With-W-4S Request for Federal Income Tax held from your cash wages for work on a farm Withholding From Sick Pay unless your employer: holding and Estimated Tax.
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-W-4V W-4V Voluntary Withholding Request • Pays you cash wages of less than $150
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-Reminders during the year, and 1040-ES 1040-ES Estimated Tax for Individuals • Has expenditures for agricultural labor to- 2210 Estimated tax safe harbor for higher in-2210 Underpayment of Estimated Tax by taling less than $2,500 during the year. Individuals, Estates, and Trusts come taxpayers. If your 2025 adjusted gross Differential wage payments. When employ-ees are on leave from employment for military income was more than $150,000 ($75,000 if 2210-F 2210-F Underpayment of Estimated Tax duty, some employers make up the difference you are married filing a separate return), you by Farmers and Fishers
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-Publication 17 (2025) Chapter 4 Tax Withholding and Estimated Tax 37 between the military pay and civilian pay. Pay- Changing your withholding for 2027. If • You have more than one job at a time.
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-ments to an employee who is on active duty for events in 2026 will change the amount of with- • You have nonwage income, such as inter-a period of more than 30 days will be subject to holding you should claim for 2027, you must est, dividends, alimony, unemployment income tax withholding, but not subject to social give your employer a new Form W-4 by Decem-compensation, or self-employment in-security, Medicare, or federal unemployment ber 1, 2026. If the event occurs in December come. (FUTA) tax withholding. The wages and with-2026, submit a new Form W-4 within 10 days. • holding will be reported on Form W-2, Wage You will owe additional amounts with your return, such as self-employment tax. and Tax Statement. Checking Your Withholding • Your withholding is based on obsolete After you have given your employer a Form Determining Amount of Tax Form W-4 information for a substantial part W-4, you can check to see whether the amount of the year. Withheld Using Form W-4 of tax withheld from your pay is too little or too • The amount of income tax your employer with-much. If too much or too little tax is being with-You work only part of the year. held, you should give your employer a new holds from your regular pay depends on the fol-• You change the amount of your withholding Form W-4 to change your withholding. You lowing two things. during the year. should try to have your withholding match your • The amount you earn in each payroll pe-• You are subject to Additional Medicare Tax actual tax liability. If not enough tax is withheld, riod. or Net Investment Income Tax (NIIT). If you you will owe tax at the end of the year and may • The information you give your employer on have to pay interest and a penalty. If too much anticipate liability for Additional Medicare Tax or NIIT, you may request that your em-Form W-4. tax is withheld, you will lose the use of that ployer withhold an additional amount of in-money until you get your refund. Always check Form W-4 includes steps to help you figure come tax withholding on Form W-4. your withholding if there are personal or finan-your withholding. Complete Steps 2 through 4 cial changes in your life or changes in the law only if they apply to you. Cumulative wage method. If you change the that might change your tax liability. amount of your withholding during the year, too • Step 1. Enter your personal information in-much or too little tax may have been withheld cluding your filing status. Note: You can’t give your employer a pay-for the period before you made the change. You ment to cover withholding on salaries and wa-• Step 2. Complete this step if you have may be able to compensate for this if your em-ges for past pay periods or a payment for esti-more than one job at the same time or are ployer agrees to use the cumulative wage with-mated tax. married filing jointly and you and your holding method for the rest of the year. You spouse both work. must ask your employer in writing to use this Completing Form W-4 and method. • Step 3. Complete this step if you claim de-pendents and other credits. Worksheets To be eligible, you must have been paid for the same kind of payroll period (weekly, bi-Form W-4 has worksheets to help you figure the • Step 4. Complete this optional step to weekly, etc.) since the beginning of the year. correct amount of withholding you can claim. make other adjustments. The worksheets are for your own records. Don’t —Other income give them to your employer. Publication 505 —Deductions
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-—Extra withholding To make sure you are getting the right amount Multiple Jobs Worksheet. If you have income
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-When you start a new job, you must fill out Form both work, complete the Multiple Jobs Work- your return. It will also help you determine how sheet on the Form W-4. W-4 and give it to your employer. Your employer much, if any, additional withholding is needed If you and your spouse expect to file sepa-should have copies of the form. If you need to each payday to avoid owing tax when you file rate returns, figure your withholding using sepa-change the information later, you must fill out a New Job married filing jointly and you and your spouse compare the total tax to be withheld during the year with the tax you can expect to figure on from more than one job at the same time, or are of tax withheld, see Pub. 505. It will help you
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-new form. rate worksheets based on your own individual your return. If you don’t have enough tax with-
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-If you work only part of the year (for exam- income, adjustments, deductions, and credits. held, you may have to pay estimated tax, as ex-
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-plained under Estimated Tax for 2026, later.
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-ple, you start working after the beginning of the Deductions Worksheet. Use the Deductions year), too much tax may be withheld. You may You can use the Tax Withholding Esti- Worksheet on Form W-4 if you plan to itemize
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-be able to avoid overwithholding if your em- TIP mator at IRS.gov/W4App, instead of deductions or claim certain adjustments to in-
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-ployer agrees to use the part-year method. See Pub. 505 or the worksheets included come and you want to reduce your withholding.
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-Part-Year Method in chapter 1 of Pub. 505 for with Form W-4, to determine whether you need Also complete this worksheet when you have
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-more information. to have your withholding increased or de- changes to these items to see if you need to
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-Employee also receiving pension income. change your withholding. creased.
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-
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-begin a new job, you will need to file Form W-4 Getting the Right Amount of Tax Rules Your Employer Must Follow If you receive pension or annuity income and
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-with your new employer. However, you can Withheld It may be helpful for you to know some of the choose to split your withholding between your In most situations, the tax withheld from your withholding rules your employer must follow. pension and job in any manner. pay will be close to the tax you figure on your re-These rules can affect how to fill out your Form
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-Changing Your Withholding arise. • turn if you follow these two rules. W-4 and how to handle problems that may
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-You accurately complete all the Form W-4
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-
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-When this happens, you may need to give your when changes occur. Form W-4. Beginning with your first payday, your employer will use the information you give employer a new Form W-4 to change your with- But, because the worksheets and withhold- on the form to figure your withholding. holding status. ing methods don’t account for all possible situa- If you later fill out a new Form W-4, your em- tions, you may not be getting the right amount marital status, adjustments, deductions, or your employer should have you complete a • You give your employer a new Form W-4 credits you expect to claim on your tax return. During the year, changes may occur to your worksheets that apply to you. New Form W-4. When you start a new job,
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-If a change in personal circumstances re- ployer can put it into effect as soon as possible.
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-duces the amount of withholding you are enti- withheld. This is most likely to happen in the fol- The deadline for putting it into effect is the start tled to claim, you are required to give your em- lowing situations. of the first payroll period ending 30 or more ployer a new Form W-4 within 10 days after the • You are married and both you and your days after you turn it in. change occurs. spouse work.
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-38 Chapter 4 Tax Withholding and Estimated Tax Publication 17 (2025) No Form W-4. If you don’t give your employer Your claim of exempt status may be re- For more information on reporting your tips a completed Form W-4, your employer must viewed by the IRS. to your employer and on the withholding rules
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-gle. An exemption is good for only 1 year. You withhold at the highest rate, as if you were sin- for tip income, see Pub. 531.
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-must generally give your employer a new Form How employer figures amount to withhold.
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-Repaying withheld tax. If you find you are W-4 by February 15 each year to continue your The tips you report to your employer are coun-having too much tax withheld because you exemption. ted as part of your income for the month you re-didn’t claim the correct amount of withholding port them. Your employer can figure your with-
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-you are entitled to, you should give your em- holding in either of the following two ways. Supplemental Wages ployer a new Form W-4. Your employer can’t re- • By withholding at the regular rate on the Supplemental wages include bonuses, certain pay any of the tax previously withheld. Instead, sum of your pay plus your reported tips. tips, commissions, overtime pay, vacation allow- claim the full amount withheld when you file ances, certain sick pay, and expense allowan- your tax return. • By withholding at the regular rate on your ces under certain plans. The payer can figure pay plus a percentage of your reported However, if your employer has withheld withholding on supplemental wages using the tips. more than the correct amount of tax for the same method used for your regular wages. Form W-4 you have in effect, you don’t have to Not enough pay to cover taxes. If your regu- However, if these payments are identified sepa- fill out a new Form W-4 to have your withholding lar pay isn’t enough for your employer to with- rately from your regular wages, your employer lowered to the correct amount. Your employer hold all the tax (including income tax and social or other payer of supplemental wages can with- can repay the amount that was withheld incor- security and Medicare taxes (or the equivalent hold income tax from these wages at a flat rate. rectly. If you aren’t repaid, your Form W-2 will railroad retirement tax)) due on your pay plus reflect the full amount actually withheld, which Certain qualified tips and overtime pay your tips, you can give your employer money to you would claim when you file your tax return. can be deducted from your taxable in- ! cover the shortage. See Pub. 531 for more infor- come beginning in 2025 through 2028. CAUTION mation. Exemption From Withholding See Pub. 531, Reporting Tip Income, and Pub. Allocated tips. Your employer shouldn’t with- 505 for more information. If you claim exemption from withholding, your hold income tax, Medicare tax, social security employer won’t withhold federal income tax tax, or railroad retirement tax on any allocated Expense allowances. Reimbursements or from your wages. The exemption applies only to tips. Withholding is based only on your pay plus other expense allowances paid by your em- income tax, not to social security, Medicare, or your reported tips. Your employer should refund ployer under a nonaccountable plan are treated FUTA tax withholding. to you any incorrectly withheld tax. See Pub. as supplemental wages. You can claim exemption from withholding 531 for more information. Reimbursements or other expense allowan- for 2026 only if both of the following situations ces paid under an accountable plan that are apply. more than your proven expenses are treated as Taxable Fringe Benefits • For 2025, you had a right to a refund of all paid under a nonaccountable plan if you don’t return the excess payments within a reasonable federal income tax withheld because you The value of certain noncash fringe benefits you had no tax liability. period of time. receive from your employer is considered part For more information about accountable and of your pay. Your employer must generally with- • For 2026, you expect a refund of all federal nonaccountable expense allowance plans, see income tax withheld because you expect to hold income tax on these benefits from your Pub. 505. regular pay. have no tax liability. For information on fringe benefits, see Students. If you are a student, you aren’t auto- Penalties Fringe Benefits under Employee Compensation matically exempt. See chapter 1 to find out if in chapter 5. you must file a return. If you work only part time You may have to pay a penalty of $500 if both of Although the value of your personal use of or only during the summer, you may qualify for the following apply. an employer-provided car, truck, or other high- exemption from withholding. • You make statements or claim withholding way motor vehicle is taxable, your employer can on your Form W-4 that reduce the amount Age 65 or older or blind. If you are 65 or choose not to withhold income tax on that of tax withheld. older or blind, use Worksheet 1-1 or 1-2 in amount. Your employer must notify you if this
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-chapter 1 of Pub. 505 to help you decide if you choice is made. • You have no reasonable basis for those qualify for exemption from withholding. Don’t statements or withholding at the time you For more information on withholding on taxa-use either worksheet if you will itemize deduc- prepare your Form W-4. ble fringe benefits, see chapter 1 of Pub. 505.
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-credits in chapter 1 of Pub. 505. supplying false or fraudulent information on your Sick Pay Form W-4 or for willfully failing to supply infor-Instead, see Itemizing deductions or claiming There is also a criminal penalty for willfully tions or claim tax credits on your 2026 return. Eligible for a bonus deduction? If you are mation that would increase the amount with- Sick pay is a payment to you to replace your age 65 or older, you may be eligible for a $6,000 held. The penalty upon conviction can be either regular wages while you are temporarily absent ($12,000 if married filing jointly) bonus deduc- a fine of up to $1,000 or imprisonment for up to from work due to sickness or personal injury. To tion for tax years beginning in 2025 through tax 1 year, or both. qualify as sick pay, it must be paid under a plan years beginning no later than 2028. For more in- These penalties will apply if you deliberately to which your employer is a party. formation, see Pub. 505. and knowingly falsify your Form W-4 in an at- If you receive sick pay from your employer or Claiming exemption from withholding. To tempt to reduce or eliminate the proper with- an agent of your employer, income tax must be
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-claim exemption, you must give your employer a holding of taxes. A simple error or an honest withheld. An agent who doesn’t pay regular wa-
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-Form W-4. Write “Exempt” on the form in the mistake won’t result in one of these penalties. ges to you may choose to withhold income tax
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-cable steps of the form. However, if you receive sick pay from a third Tips space below Step 4(c) and complete the appli- at a flat rate.
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-If you claim exemption, but later your situa- party who isn’t acting as an agent of your em-
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-tion changes so that you will have to pay in- The tips you receive while working on your job ployer, income tax will be withheld only if you
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-come tax after all, you must file a new Form W-4 are considered part of your pay. You must in- choose to have it withheld. See Form W-4S, within 10 days after the change. If you claim ex- clude your tips on your tax return on the same later. emption in 2026, but you expect to owe income line as your regular pay. However, tax isn’t with- If you receive payments under a plan in tax for 2027, you must file a new Form W-4 by held directly from tip income, as it is from your which your employer doesn’t participate (such December 1, 2026. regular pay. Nevertheless, your employer will as an accident or health plan where you paid all
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-take into account the tips you report when figur- the premiums), the payments aren’t sick pay
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-ing how much to withhold from your regular pay. and usually aren’t taxable.
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-Publication 17 (2025) Chapter 4 Tax Withholding and Estimated Tax 39 Union agreements. If you receive sick pay un- Exception. Gambling winnings from bingo, If you don’t pay enough tax, either through der a collective bargaining agreement between keno, and slot machines generally aren’t sub- withholding or estimated tax, or a combination
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-your union and your employer, the agreement ject to income tax withholding. However, you of both, you may have to pay a penalty. See Un-
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-may determine the amount of income tax with- may need to provide the payer with a social se- derpayment Penalty for 2025 at the end of this holding. See your union representative or your curity number (SSN) to avoid withholding. See chapter.
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-Form W-4S. If you choose to have income tax the tax treatment of social security and railroad winnings not subject to withholding, you may withheld from sick pay paid by a third party, retirement benefits, see chapter 7. See Pub. need to pay estimated tax. See Estimated Tax such as an insurance company, you must fill out 225, Farmer’s Tax Guide, for information about for 2026 employer for more information. Backup withholding on gambling winnings in chapter 1 of Pub. 505. If you receive gambling More information. For more information about
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-, later.
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-you can use to figure the amount you want with- If you don’t pay enough tax, either through Form W-4S. Its instructions contain a worksheet the tax treatment of CCC loans or crop disaster
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-ply. of both, you may have to pay a penalty. See Un-derpayment Penalty for 2025 at the end of this Backup Withholding Give the completed form to the payer of your chapter. held. They also explain restrictions that may ap- withholding or estimated tax, or a combination payments. sick pay. The payer must withhold according to Banks or other businesses that pay you certain
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-your directions on the form. Form W-2G. If a payer withholds income tax kinds of income must file an information return Estimated tax. If you don’t request withholding from your gambling winnings, you should re- (Form 1099) with the IRS. The information re-
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-on Form W-4S, or if you don’t have enough tax ceive a Form W-2G, Certain Gambling Win- turn shows how much you were paid during the
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-withheld, you may have to make estimated tax nings, showing the amount you won and the year. It also includes your name and taxpayer
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-payments. If you don’t pay enough tax, either amount withheld. Report the tax withheld on identification number (TIN). TINs are explained
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-through estimated tax or withholding, or a com- Form 1040 or 1040-SR, line 25c. in chapter 1 under Social Security Number
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-See Underpayment Penalty for 2025 at the end These payments generally aren’t subject to Unemployment bination of both, you may have to pay a penalty. (SSN).
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-of this chapter. withholding. However, “backup” withholding is Compensation
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-required in certain situations. Backup withhold-
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-Pensions and Annuities ing can apply to most kinds of payments that You can choose to have income tax withheld are reported on Form 1099.
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-Income tax will usually be withheld from your The payer must withhold at a flat 24% rate in from unemployment compensation. To make
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-pension or annuity distributions unless you the following situations. this choice, fill out Form W-4V (or a similar form provided by the payer) and give it to the payer.
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-choose not to have it withheld. This rule applies All unemployment compensation is taxable. • You don’t give the payer your TIN in the re-to distributions from: If you don’t have income tax withheld, you may quired manner.
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-
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-• have to pay estimated tax. See Estimated Tax A traditional individual retirement arrange- • The IRS notifies the payer that the TIN you for 2026 , later. ment (IRA); gave is incorrect. If you don’t pay enough tax, either through • A life insurance company under an endow-• You are required, but fail, to certify that you withholding or estimated tax, or a combination ment, annuity, or life insurance contract; aren’t subject to backup withholding. of both, you may have to pay a penalty. See Un-• A pension, annuity, or profit-sharing plan; derpayment Penalty for 2025 at the end of this • The IRS notifies the payer to start withhold-chapter. ing on interest or dividends because you • A stock bonus plan; and have underreported interest or dividends • Any other plan that defers the time you re-on your income tax return. The IRS will do ceive compensation. Federal Payments this only after it has mailed you four noti-
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-The amount withheld depends on whether ces. You can choose to have income tax withheld
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-you receive payments spread out over more from certain federal payments you receive. Go to IRS.gov/Businesses/Small-
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-(nonperiodic payments), or as an eligible roll- Withholding for more information on kinds of 1. Social security benefits. over distribution (ERD). Income tax withholding than 1 year (periodic payments), within 1 year These payments are the following. Businesses-Self-Employed/Backup-
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-payments subject to backup withholding.
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-from an ERD is mandatory. 2. Tier 1 railroad retirement benefits. Penalties. There are civil and criminal penal-More information. For more information on 3. Commodity Credit Corporation (CCC) ties for giving false information to avoid backup withholding on pensions and annuities, includ- loans you choose to include in your gross withholding. The civil penalty is $500. The crimi-ing a discussion of Form W-4P, see Pensions income. nal penalty, upon conviction, is a fine of up to
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-and Annuities in chapter 1 of Pub. 505. $1,000 or imprisonment of up to 1 year, or both. 4. Payments under the Agricultural Act of
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-Gambling Winnings 1949 (7 U.S.C. 1421 et seq.), as amen- Estimated Tax for 2026 ded, or title II of the Disaster Assistance
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-Act of 1988, that are treated as insurance
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-Income tax is withheld at a flat 24% rate from proceeds and that you receive because: Estimated tax is the method used to pay tax on
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-certain kinds of gambling winnings. income that isn’t subject to withholding. This in- Gambling winnings of more than $5,000 a. Your crops were destroyed or dam-
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-from the following sources are subject to in- aged by drought, flood, or any other cludes income from self-employment, interest, come tax withholding. natural disaster; or dividends, alimony, rent, gains from the sale of assets, prizes, and awards. You may also have
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-It doesn’t matter whether your winnings are paid • b. You were unable to plant crops be- to pay estimated tax if the amount of income tax Any sweepstakes; wagering pool, including cause of a natural disaster described being withheld from your salary, pension, or payments made to winners of poker tour- in (a). other income isn’t enough. naments; or lottery. Estimated tax is used to pay both income 5. Any other payment under federal law as • Any other wager, if the proceeds are at tax and self-employment tax, as well as other determined by the Secretary. least 300 times the amount of the bet. taxes and amounts reported on your tax return. To make this choice, fill out Form W-4V (or a If you don’t pay enough tax, either through with- in cash, in property, or as an annuity. Winnings similar form provided by the payer) and give it to holding or estimated tax, or a combination of not paid in cash are taken into account at their the payer. both, you may have to pay a penalty. If you don’t fair market value. If you don’t choose to have income tax with- pay enough by the due date of each payment
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-held, you may have to pay estimated tax. See period (see When To Pay Estimated Tax, later),
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-Estimated Tax for 2026, later. you may be charged a penalty even if you are
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-40 Chapter 4 Tax Withholding and Estimated Tax Publication 17 (2025) Figure 4-A. Do You Have To Pay Estimated Tax?
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-Start Here
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-Will you owe $1,000 or more Will your income tax Will your income tax for 2026 after subtracting Yes withholding and refundable No withholding and refundable No income tax withholding and credits* be at least 90% credits* be at least 100%** of refundable credits* from your (662/3% for farmers and fishers) the tax shown on your 2025 total tax? (Don’t subtract any of the tax shown on your 2026 tax return? estimated tax payments.) tax return? Note: Your 2025 return must
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-have covered a 12-month
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-No Yes period.
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-Yes
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-You are NOT required to pay estimated tax.
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-You MUST make estimated
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-tax payment(s) by the
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-required due date(s).
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-See When To Pay Estimated Tax.
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-* Use the refundable credits shown on the 2026 Estimated Tax Worksheet in Pub. 505.
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-** 110% if less than two-thirds of your gross income for 2025 and 2026 is from farming or fishing and your 2025
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-adjusted gross income was more than $150,000 ($75,000 if your filing status for 2026 is married filing a separate return).
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-due a refund when you file your tax return. For General rule. In most cases, you must pay es- Form 1040-ES (NR), U.S. Estimated Tax for information on when the penalty applies, see timated tax for 2026 if both of the following ap- Nonresident Alien Individuals.
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-this chapter. tional of the United States. You are a resident 1. You expect to owe at least $1,000 in tax for alien if you either have a green card or meet the Underpayment Penalty for 2025 at the end of ply. You are an alien if you aren’t a citizen or na-
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-
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-Estimated Tax 2. You expect your withholding plus your re- 519, U.S. Tax Guide for Aliens. fundable credits to be less than the Married taxpayers. If you qualify to make joint If you receive salaries or wages, you can avoid smaller of: estimated tax payments, apply the rules dis-Who Doesn’t Have To Pay 2026, after subtracting your withholding and refundable credits. substantial presence test. For more information about the substantial presence test, see Pub.
-
-ployer to take more tax out of your earnings. To having to pay estimated tax by asking your em- a. 90% of the tax to be shown on your cussed here to your joint estimated income.
-
-do this, give a new Form W-4 to your employer. 2026 tax return; or You and your spouse can make joint estima-See chapter 1 of Pub. 505. b. 100% of the tax shown on your 2025 ted tax payments even if you aren’t living to-
-
-Estimated tax not required. You don’t have to tax return (but see Special rules for gether.
-
-pay estimated tax for 2026 if you meet all three farmers, fishers, and higher income However, you and your spouse can’t make
-
-
-
-of the following conditions. taxpayers, later). Your 2025 tax return joint estimated tax payments if: must cover all 12 months. • You are legally separated under a decree • You had no tax liability for 2025. of divorce or separate maintenance, If the result from using the general rule • You were a U.S. citizen or resident alien for ! above suggests that you won’t have • You and your spouse have different tax the whole year. CAUTION enough withholding, complete the years, or • Your 2025 tax year covered a 12-month pe-2026 Estimated Tax Worksheet in Pub. 505 for a • Either spouse is a nonresident alien (un-riod. more accurate calculation. less that spouse elected to be treated as a
-
-
-
-tax was zero or you didn’t have to file an income You had no tax liability for 2025 if your total resident alien for tax purposes (see chap- Special rules for farmers, fishers, and ter 1 of Pub. 519)). higher income taxpayers. If at least tax return. For the definition of “total tax” for two-thirds of your gross income for tax year If you and your spouse can’t make estimated 2025, see chapter 2 of Pub. 505. 2025 or 2026 is from farming or fishing, substi- tax payments, apply these rules to your sepa-
-
-Who Must Pay Estimated tute 662/3% for 90% in (2a) under the General rate estimated income. Making joint or separate
-
-rule, earlier. If your AGI for 2025 was more than estimated tax payments won’t affect your choice
-
-Tax $150,000 ($75,000 if your filing status for 2026 of filing a joint tax return or separate returns for
-
-is married filing a separate return), substitute 2026.
-
-
-
-If you owe additional tax for 2025, you may have 110% for 100% in (2b) under General rule, ear- 2025 separate returns and 2026 joint re-lier. See Figure 4-A and chapter 2 of Pub. 505 to pay estimated tax for 2026. turn. If you plan to file a joint return with your for more information. You can use the following general rule as a spouse for 2026 but you filed separate returns guide during the year to see if you will have Aliens. Resident and nonresident aliens may for 2025, your 2025 tax is the total of the tax enough withholding, or if you should increase also have to pay estimated tax. Resident aliens shown on your separate returns. You filed a your withholding or make estimated tax should follow the rules in this chapter unless no- separate return if you filed as single, head of payments. ted otherwise. Nonresident aliens should get household, or married filing separately.
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-Publication 17 (2025) Chapter 4 Tax Withholding and Estimated Tax 41 turns. If you plan to file a separate return for enough tax by the due date of each payment Estimated Tax 2026 but you filed a joint return for 2025, your period, you may be charged a penalty even if Installment Payments 2025 joint return and 2026 separate re- a specific payment due date. If you don’t pay Table 4-1. General Due Dates for 2025 tax is your share of the tax on the joint re- you are due a refund when you file your income
-
-
-
-turn. You file a separate return if you file as sin- tax return. The payment periods and due dates If you first Make Make later gle, head of household, or married filing sepa-for estimated tax payments are shown next. have income installments installments rately. on which you by:* by:* To figure your share of the tax on the joint re-For the period: Due date:* must pay turn, first figure the tax both you and your estimated tax: spouse would have paid had you filed separate Jan. 1–March 31 . . . . . . April 15 Before April 1 April 15 June 15 returns for 2025 using the same filing status as April 1–May 31 . . . . . . . June 15 Sept. 15 June 1–August 31 . . . . . Sept. 15 for 2026. Then, multiply the tax on the joint re-Sept. 1–Dec. 31 . . . . . . Jan. 15, next Jan. 15, next year turn by the following fraction. year
-
-. April 1–May 31 June 15 Sept. 15
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-* See Saturday, Sunday, holiday rule and Jan. 15, next
-
-The tax you would have paid had year January payment .
-
-you filed a separate return June 1–Aug. 31 Sept. 15 Jan. 15, next
-
-
-
-spouse would have paid had The total tax you and your year Saturday, Sunday, holiday rule. If the due date for an estimated tax payment falls on a After Aug. 31 Jan. 15, next (None) you filed separate returns Saturday, Sunday, or legal holiday, the payment year
-
-will be on time if you make it on the next day
-
-
-
-turn for 2025 showing taxable income of payment. January payment. If you file your 2026 Form $48,500 and tax of $5,346. Of the $48,500 taxa-Example. Owen and Sophia filed a joint re- that isn’t a Saturday, Sunday, or legal holiday. * See Saturday, Sunday, holiday rule and January ble income, $40,100 was Owen’s and the rest 1040 or 1040-SR by February 1, 2027, and pay How much to pay to avoid a penalty. To de-
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-was Sophia’s. For 2026, they plan to file married the rest of the tax you owe, you don’t need to termine how much you should pay by each pay-
-
-filing separately. Owen figures tax on the 2025 make the payment due on January 15, 2027. ment due date, see How To Figure Each Pay-
-
-joint return as follows. ment next. Fiscal-year taxpayers. If your tax year doesn’t
-
-start on January 1, see the Form 1040-ES in- How To Figure Each
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-Tax on $40,100 based on a structions for your payment due dates.
-
-
-
-Total . . . . . . . You should pay enough estimated tax by the You don’t have to make estimated tax payments . . . . . . . . . . . . . . . $5,420 due date of each payment period to avoid a until you have income on which you will owe in- penalty for that period. You can figure your re- Owen’s percentage of total come tax. If you have income subject to estima- quired payment for each period by using either ($4,577 ÷ $5,420) . . . . . . 84.4465% ted tax during the first payment period, you the regular installment method or the annual- Tax on $8,400 based on a When To Start 843 separate return separate return . . . . . . . $4,577 Payment
-
-Owen’s share of tax on joint must make your first payment by the due date
-
-return ized income installment method. These meth- for the first payment period. You can pay all your
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-($5,346 × 84.4465%) $4,514 ods are described in chapter 2 of Pub. 505. If . . . . estimated tax at that time, or you can pay it in
-
-installments. If you choose to pay in install- you don’t pay enough during each payment pe-
-
-How To Figure Estimated ments, make your first payment by the due date riod, you may be charged a penalty even if you
-
-for the first payment period. Make your remain- are due a refund when you file your tax return.
-
-Tax ing installment payments by the due dates for If the earlier discussion under No income
-
-the later periods. subject to estimated tax during first period or
-
-To figure your estimated tax, you must figure No income subject to estimated tax during tax the later discussion under Change in estimated
-
-applies to you, you may benefit from reading
-
-your expected adjusted gross income (AGI), first period. If you don’t have income subject Annualized Income Installment Method in chap-taxable income, taxes, deductions, and credits to estimated tax until a later payment period, ter 2 of Pub. 505 for information on how to avoid
-
-
-
-may be helpful to use your income, deductions, When figuring your 2026 estimated tax, it date for that period. You can pay your entire es- Underpayment penalty. Under the regular in-for the year. you must make your first payment by the due a penalty.
-
-
-
-your 2025 federal tax return as a guide. You can that period and the due dates for the remaining timated tax, you may be charged a penalty for periods. use Form 1040-ES and Pub. 505 to figure your underpayment of estimated tax for that period estimated tax. Nonresident aliens use Form when you file your tax return. Under the annual-1040-ES (NR) and Pub. 505 to figure estimated and credits for 2025 as a starting point. Use stallment method, if your estimated tax payment you can pay it in installments by the due date for for any period is less than one-fourth of your es- timated tax by the due date for that period or
-
-
-
-tax (see chapter 8 of Pub. 519 for more informa- ized income installment method, your estimated tax payments vary with your income, but the tion). amount required must be paid each period. See You must make adjustments both for Instructions for Form 2210 for more information. changes in your own situation and for recent
-
-changes in the tax law. For a discussion of Change in estimated tax. After you make an
-
-these changes, go to IRS.gov. estimated tax payment, changes in your in-
-
-For more complete information on how to come, adjustments, deductions, or credits may
-
-figure your estimated tax for 2026, see chap- make it necessary for you to refigure your esti-
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-ter 2 of Pub. 505. mated tax. Pay the unpaid balance of your
-
-amended estimated tax by the next payment
-
-When To Pay Estimated due date after the change or in installments by
-
-Tax that date and the due dates for the remaining
-
-payment periods.
-
-For estimated tax purposes, the tax year is divi-
-
-ded into four payment periods. Each period has
-
-42 Chapter 4 Tax Withholding and Estimated Tax Publication 17 (2025) You don’t have to pay estimated tax if your with- proved. A user fee is charged. payment of estimated tax by check or money or-holding in each payment period is at least as der must be accompanied by a payment much as: • IRS2Go. This is the mobile application of voucher from Form 1040-ES. the IRS. You can access IRS Direct Pay or • One-fourth of your required annual pay-During 2025, if you: pay by card by downloading the applica-ment, or Required you will receive immediate notification of options might be right for you. whether your agreement has been ap-If you choose to mail in your payment, each Estimated Tax Payments Not Once you complete the online process, our safe, quick, and easy electronic payment
-
-
-
-You also don’t have to pay estimated tax if you • but not by electronic means, Your required annualized income install- tion. • Made at least one estimated tax payment ment for that period. Electronic Federal Tax Payment • Didn’t use software or a paid preparer to System (EFTPS) prepare or file your return, will pay enough through withholding to keep the This system allows you to pay your taxes online then you should receive a copy of the 2026 amount you owe with your return under $1,000. or by phone directly from your checking or sav- Form 1040-ES with payment vouchers. ings account. There is no fee for this service. The enclosed payment vouchers will be pre- How To Pay Estimated Tax You must be enrolled either online or have an printed with your name, address, and SSN. Us- enrollment form mailed to you. See EFTPS un- ing the preprinted vouchers will speed process- There are several ways to pay estimated tax. der Pay by Phone, later. ing, reduce the chance of error, and help save • Credit an overpayment on your 2025 return processing costs. Pay by Phone to your 2026 estimated tax. Use the window envelopes that came with
-
-
-
-Credit an Overpayment • your Form 1040-ES package. If you use your Pay by direct transfer from your bank ac- Paying by phone is another safe and secure own envelopes, make sure you mail your pay- count, or pay by debit or credit card using a method of paying electronically. Use one of the ment vouchers to the address shown in the pay-by-phone system or the Internet. following methods: (1) call one of the debit or Form 1040-ES instructions for the place where credit card providers, or (2) use the EFTPS to • Send in your payment (check or money or- you live. pay directly from your checking or savings ac- der) with a payment voucher from Form count. 1040-ES. No checks of $100 million or more accep- ted. The IRS can’t accept a single check (in- Debit or credit card. Call one of our service cluding a cashier’s check) for amounts of providers. Each charges a fee that varies by $100,000,000 ($100 million) or more. If you are provider, card type, and payment amount. If you show an overpayment of tax after com- sending $100 million or more by check, you’ll pleting your Form 1040 or 1040-SR for 2025, need to spread the payment over two or more Link2Gov Corporation you can apply part or all of it to your estimated 888-PAY-1040 TM checks with each check made out for an (888-729-1040) tax for 2026. On line 36 of Form 1040 or amount less than $100 million. This limit doesn’t PAY1040.com 1040-SR, enter the amount you want credited to apply to other methods of payment (such as your estimated tax rather than refunded. Take electronic payments). Consider a method of ACI Payments, Inc. (formerly Official the amount you have credited into account payment other than check if the amount of the Payments) when figuring your estimated tax payments. payment is over $100 million. 888-UPAY-TAX TM (888-872-9829) You can’t have any of the amount you credi- fed.acipayonline.com ted to your estimated tax refunded to you until Note: These criteria can change without no-
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-you file your tax return for the following year. You tice. If you don’t receive a Form 1040-ES pack-
-
-also can’t use that overpayment in any other EFTPS. To get more information about EFTPS age and you are required to make an estimated
-
-way. or to enroll in EFTPS, go to EFTPS.gov or call tax payment, you should go to IRS.gov/
-
-800-555-4477. To contact EFTPS using Tele- Form1040ES and print a copy of Form 1040-ES
-
-
-
-Pay Online communications Relay Services (TRS) for peo- that includes four blank payment vouchers. ple who are deaf, hard of hearing, or have a Complete one of these and make your payment The IRS offers an electronic payment option speech disability, dial 711 and then provide the timely to avoid penalties for paying late. that is right for you. Paying online is convenient, TRS assistant the 800-555-4477 number or Don’t use the address shown in the In- secure, and helps make sure we get your pay- 800-733-4829. Additional information about ments on time. To pay your taxes online or for ! structions for Form 1040 for your esti- EFTPS is also available in Pub. 966. more information, go to IRS.gov/Payments . You CAUTION mated tax payments.
-
-
-
-can pay using any of the following methods. If you didn’t pay estimated tax last year, you Pay by Mobile Device • IRS Direct Pay. For online transfers di- can order Form 1040-ES from the IRS (see the To pay through your mobile device, download rectly from your checking or savings ac- inside back cover of this publication) or down- the IRS2Go application. count at no cost to you, go to IRS.gov/ load it from IRS.gov. Follow the instructions to
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-• Pay by Cash Pay by card or digital wallet. To pay by DirectPay. make sure you use the vouchers correctly.
-
-Joint estimated tax payments. If you file a
-
-debit or credit card or digital wallet, go to Cash is an in-person payment option for individ- joint return and are making joint estimated tax
-
-IRS.gov/PayByCard. A fee is charged by uals provided through retail partners. To make a payments, enter the names and SSNs on the these service providers. You can also pay cash payment, you must choose a payment pro- payment vouchers in the same order as they will by phone with a debit or credit card. See cessor online with ACI Payments, Inc. at appear on the joint return.
-
-later. Change of address. You must notify the IRS if Debit or credit card under Pay by Phone, fed.acipayonline.com or Pay1040.com, our offi-
-
-• to you are making estimated tax payments and IRS.gov/PayWithCash . Don’t send cash pay- Electronic funds withdrawal (EFW). cial payment provider. For more information, go
-
-This is an integrated e-file/e-pay option of- ments through the mail. you changed your address during the year.
-
-Complete Form 8822, Change of Address, and
-
-electronically using tax preparation soft- Pay by Check or Money Order fered only when filing your federal taxes mail it to the address shown in the instructions
-
-ware, through a tax professional, or Using the Estimated Tax for that form.
-
-through the IRS at IRS.gov/EFW. Payment Voucher
-
-• Online payment agreement. If you can’t Before submitting a payment through the mail
-
-pay in full by the due date of your tax re- using the estimated tax payment voucher, turn, you can apply for an online monthly please consider alternative methods. One of
-
-installment agreement at IRS.gov/OPA.
-
-Publication 17 (2025) Chapter 4 Tax Withholding and Estimated Tax 43 and Estimated Tax for taxable sick pay you received and any income If you are married but file a separate return, you tax withheld from your sick pay. can take credit only for the tax withheld from Credit for Withholding In addition, Form W-2 is used to report any Separate Returns
-
-
-
-
-
-2025 your own income. Don’t include any amount
-
-
-Form W-2G withheld from your spouse’s income. However,
-
-
-
-When you file your 2025 income tax return, take munity property state. may have withheld income tax. If tax was with-credit for all the income tax and excess social If you had gambling winnings in 2025, the payer different rules may apply if you live in a com-
-
-security or railroad retirement tax withheld from showing the amount you won and the amount of chapter 1. For more information on these rules, your salary, wages, pensions, etc. Also take held, the payer will give you a Form W-2G Community property states are listed in
-
-credit for the estimated tax you paid for 2025. ity Property. Report the amounts you won on Schedule 1 These credits are subtracted from your total tax. tax withheld. and some exceptions, see Pub. 555, Commun-
-
-Because these credits are refundable, you Form 1040 or 1040-SR, line 25c. (Form 1040). Take credit for the tax withheld on Estimated Tax should file a return and claim these credits,
-
-
-
-Two or more employers. If you had two or for 2025 on Form 1040 or 1040-SR, line 26. In-Most forms in the 1099 series aren’t filed with more employers in 2025 and were paid wages even if you don’t owe tax. The 1099 Series Take credit for all your estimated tax payments of more than $176,100, too much social secur- your return. These forms should be furnished to clude any overpayment from 2024 that you had ity or tier 1 railroad retirement tax may have you by February 2, 2026 (or, for Form 1099-B, credited to your 2025 estimated tax. been withheld from your pay. You may be able Form 1099-DA, Form 1099-S, and certain Name changed. If you changed your name,
-
-to claim the excess as a credit against your in- Forms 1099-MISC, by February 17, 2026). Un- and you made estimated tax payments using
-
-come tax when you file your return. See the In- less instructed to file any of these forms with your former name, attach a brief statement to
-
-structions for Form 1040 for more information. your return, keep them for your records. There the front of your paper tax return indicating:
-
-
-
-Withholding are several different forms in this series, which • When you made the payments, are not listed. See the instructions for the spe-• The amount of each payment, cific Form 1099 for more information. If you had income tax withheld during 2025, you Form 1099-R. Attach Form 1099-R to your pa- • Your name when you made the payments,
-
-should be sent a statement by February 2, per return if box 4 shows federal income tax and 2026, showing your income and the tax with- withheld. Include the amount withheld in the to- • Your SSN.
-
-held. Depending on the source of your income, tal on line 25b of Form 1040 or 1040-SR. The statement should cover payments you you should receive: Backup withholding. If you were subject to made jointly with your spouse as well as any
-
-
-
-Forms W-2 and W-2G. If you file a paper re-• backup withholding on income you received you made separately. Form W-2; during 2025, include the amount withheld, as Be sure to report the change to the Social • Form W-2G; or shown on your Form 1099, in the total on Security Administration before filing your return. • A form in the 1099 series. line 25b of Form 1040 or 1040-SR. This prevents delays in processing your return and issuing any refunds. Form Not Correct turn, always file Form W-2 with your income tax Separate Returns return. File Form W-2G with your return only if it If you receive a form with incorrect information shows any federal income tax withheld from on it, you should ask the payer for a corrected If you and your spouse made separate estima-your winnings. form. Call the telephone number or write to the ted tax payments for 2025 and you file separate
-
-You should get at least two copies of each address given for the payer on the form. The returns, you can take credit only for your own
-
-form. If you file a paper return, attach one copy corrected Form W-2G or Form 1099 you receive payments. to the front of your federal income tax return. will have an “X” in the “CORRECTED” box at the If you made joint estimated tax payments, Keep one copy for your records. You should top of the form. A special form, Form W-2c, Cor- you must decide how to divide the payments also receive copies to file with your state and lo- rected Wage and Tax Statement, is used to cor- between your returns. One of you can claim all cal returns. rect a Form W-2. of the estimated tax paid and the other none, or
-
-
-
-Form W-2 forms in place of the original incorrect form. This If you can’t agree, you must divide the pay-will happen when your TIN is wrong or missing, In certain situations, you will receive two you can divide it in any other way you agree on.
-
-Your employer is required to provide or send your name and address are wrong, or you re- ments in proportion to each spouse’s individual
-
-
-
-You should receive a separate Form W-2 from Form 1099-DIV, Dividends and Distributions, in-each employer you worked for. Divorced Taxpayers stead of a Form 1099-INT, Interest Income). If you stopped working before the end of Form W-2 to you no later than February 2, 2026. ceived the wrong type of form (for example, a tax as shown on your separate returns for 2025.
-
-2025, your employer could have given you your 2025, and you were divorced during the year, correct form or have the same incorrect infor- Form W-2 at any time after you stopped work- One new form you receive will be the same in- If you made joint estimated tax payments for
-
-mation, but all money amounts will be zero. This either you or your former spouse can claim all of
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-ing. However, your employer must provide or the joint payments, or you each can claim part form will have an “X” in the “CORRECTED” box
-
-send it to you by February 2, 2026. of them. If you can’t agree on how to divide the at the top of the form. The second new form
-
-If you ask for the form, your employer must payments, you must divide them in proportion to should have all the correct information, pre-
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-send it to you within 30 days after receiving your each spouse’s individual tax as shown on your pared as though it is the original (the “COR-
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-written request or within 30 days after your final separate returns for 2025. RECTED” box won’t be checked). wage payment, whichever is later. If you claim any of the joint payments on
-
-If you haven’t received your Form W-2 by your tax return, enter your former spouse’s so- Form Received After Filing
-
-February 2, you should ask your employer for it. cial security number (SSN) in the space provi-
-
-If you don’t receive it by early February, call the If you file your return and you later receive a ded on the front of Form 1040 or 1040-SR. If
-
-
-
-IRS. form for income that you didn’t include on your you divorced and remarried in 2025, enter your Form W-2 shows your total pay and other return, you should report the income and take present spouse’s SSN in the space provided on credit for any income tax withheld by filing Form compensation and the income tax, social secur- the front of Form 1040 or 1040-SR. Also, on the
-
-ity tax, and Medicare tax that was withheld dur- 1040-X, Amended U.S. Individual Income Tax dotted line next to line 26, enter your former ing the year. Include the federal income tax Return. spouse’s SSN, followed by “DIV.” withheld (as shown in box 2 of Form W-2) on
-
-Form 1040 or 1040-SR, line 25a.
-
-44 Chapter 4 Tax Withholding and Estimated Tax Publication 17 (2025) Underpayment Penalty your 2025 filing status is married filing sep- Farmers and fishers. Special rules apply if
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-arately) and you paid all required estima- you are a farmer or fisher. See the Instructions
-
-for 2025 ted tax payments on time. for Form 2210-F for more information.
-
-• The tax balance due on your 2025 return is The IRS can figure the penalty for you. If
-
-If you didn’t pay enough tax, either through with- no more than 10% of your total 2025 tax, you think you owe the penalty but you don’t
-
-holding or by making timely estimated tax pay- and you paid all required estimated tax want to figure it yourself when you file your tax
-
-
-
-mated tax and you may have to pay a penalty. will figure the penalty for you and send you a • Your total 2025 tax minus your withholding bill. However, if you think you are able to lower and refundable credits is less than $1,000. ments, you will have an underpayment of esti- payments on time. return, you may not have to. Generally, the IRS
-
-
-
-for 2025 if any of the following apply. Generally, you won’t have to pay a penalty or eliminate your penalty, you must complete • You didn’t have a tax liability for 2024 and Form 2210 or Form 2210-F and attach it to your your 2024 tax year was 12 months. • The total of your withholding and estimated paper return. See the Instructions for Form tax payments was at least as much as your • You didn’t have any withholding taxes and 2210 for more information.
-
-2024 tax (or 110% of your 2024 tax if your your current-year tax less any household AGI was more than $150,000: $75,000 if employment taxes is less than $1,000.
-
-
-
-Publication 17 (2025) Chapter 4 Tax Withholding and Estimated Tax 45 Part Two.
-
-
-
-
-
-Income and The five chapters in this part discuss many kinds of income and
-
-
-adjustments to income. They explain which income is and isn’t taxed and
-
-Adjustments to discuss some of the adjustments to income that you can make in figuring
-
-your adjusted gross income.
-
-
-
-Income The Form 1040 and 1040-SR schedules that are discussed in these chapters are:
-
-• Schedule 1, Additional Income and Adjustments to Income;
-
-• Schedule 2, Part II, Other Taxes; and
-
-• Schedule 3, Part II, Other Payments and Refundable Credits.
-
-
-
-Table V. Other Adjustments to Income
-
-Use this table to find information about other adjustments to income not covered in this part of the publication.
-
-IF you are looking for more information about the THEN see... deduction for...
-
-contributions to a health savings account Pub. 969, Health Savings Accounts and Other Tax-Favored
-
-Health Plans.
-
-moving expenses Pub. 3, Armed Forces’ Tax Guide.
-
-part of your self-employment tax chapter 11.
-
-self-employed health insurance Pub. 502, Medical and Dental Expenses.
-
-payments to self-employed SEP, SIMPLE, and qualified plans Pub. 560, Retirement Plans for Small Business.
-
-penalty on the early withdrawal of savings chapter 6.
-
-contributions to an Archer MSA Pub. 969.
-
-reforestation amortization or expense chapters 4 and 7 of Pub. 225, Farmer’s Tax Guide.
-
-contributions to Internal Revenue Code section 501(c)(18)(D) Pub. 525, Taxable and Nontaxable Income. pension plans
-
-expenses from the rental of personal property chapter 8.
-
-certain required repayments of supplemental unemployment chapter 8.
-
-benefits (sub-pay)
-
-foreign housing costs chapter 4 of Pub. 54, Tax Guide for U.S. Citizens and Resident
-
-Aliens Abroad.
-
-jury duty pay given to your employer chapter 8.
-
-contributions by certain ministers or chaplains to Internal Pub. 517, Social Security and Other Information for Members of
-
-Revenue Code section 403(b) plans the Clergy and Religious Workers.
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-attorney fees and certain costs for actions involving IRS awards Pub. 525.
-
-to whistleblowers
-
-
-
-46 Chapter 4 Tax Withholding and Estimated Tax Publication 17 (2025)
-
-
-
-
-
-3920 3920 Tax Relief for Victims of Terrorist Babysitting. If you’re paid to babysit, even
-
-
-
-
-5. Attacks for relatives or neighborhood children, whether
-
-For these and other useful items, go to IRS.gov/ for childcare providers apply to you. on a regular basis or only periodically, the rules
-
-Forms.
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-
-
-Wages, Salaries, Self-employment tax. Whether you’re an em- Employee ployee or self-employed person, your income could be subject to self-employment tax. See
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-and Other Compensation the instructions for Schedules C and SE (Form 1040) if you’re self-employed. Also, see Pub.
-
-
-
-Earnings This section discusses various types of em- 926 for more information.
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-ployee compensation, including fringe benefits, Miscellaneous retirement plan contributions, stock options,
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-and restricted property. Compensation
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-What’s New Form W-2. If you’re an employee, you should receive a Form W-2 from your employer show- This section discusses different types of em-
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-increased. If you participate in a 401(k) plan, If you receive advance commissions or other In some instances, your employer isn’t re- 403(b) plan, or the federal government’s Thrift amounts for services to be performed in the fu- quired to give you a Form W-2. Your employer Savings Plan, the total annual amount you can ture and you’re a cash-method taxpayer, you isn’t required to give you a Form W-2 if you per- contribute for 2025 is increased to: must include these amounts in your income in form household work in your employer’s home Deferred compensation contribution limit clude your pay on Form 1040 or 1040-SR, Advance commissions and other earnings. line 1a, even if you don’t receive a Form W-2. ing the pay you received for your services. In- ployee compensation.
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-This also applies to most section 457 plans. • the year you receive them. $23,500, for less than $2,800 in cash wages during the If you repay unearned commissions or other • $31,000 if age 50 or older, or calendar year and you have no federal income amounts in the same year you receive them, re-taxes withheld from your wages. Household • $37,750 if age 60 through 63 at the end of duce the amount included in your income by the work is work done in or around an employer’s 2025. repayment. If you repay them in a later tax year, home. Some examples of workers who do you can deduct the repayment as an itemized household work are: deduction on your Schedule A (Form 1040), Health flexible spending arrangements • Babysitters, line 16, or you may be able to take a credit for
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-(health FSAs) under cafeteria plans. For tax that year. See Repayments in chapter 8. • Butlers, years beginning in 2025, the dollar limitation un-• Caretakers, Allowances and reimbursements. If you re-der section 125(i) on voluntary employee salary ceive travel, transportation, or other business reductions for contributions to health FSAs is • Cooks, expense allowances or reimbursements from $3,300. • Domestic workers, your employer, see Pub. 463, Travel, Gift, and
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-Introduction • Car Expenses. If you’re a member of the military Drivers, and you’re reimbursed for moving expenses, • Health aides, see Pub. 521, Moving Expenses.
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-This chapter discusses compensation received • Housecleaning workers, Back pay awards. If you receive an amount in for services as an employee, such as wages, • Housekeepers, payment of a settlement or judgment for back salaries, and fringe benefits. The following top-pay, you must include the amount of the pay-ics are included. • Maids, ment in your income. This includes payments • Nannies, • Bonuses and awards. made to you for damages, unpaid life insurance premiums, and unpaid health insurance premi-• Private nurses, and • Special rules for certain employees. ums. They should be reported to you by your • Yard workers. • Sickness and injury benefits. employer on Form W-2.
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-The chapter explains what income is inclu- See Schedule H (Form 1040), Household Bonuses and awards. If you receive a bonus
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-ded and isn’t included in the employee’s gross Employment Taxes, and its instructions, and or award (cash, goods, services, etc.) from your income. Pub. 926 for more information. employer, you must include its value in your in-
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-You may want to see: time, it isn’t taxable until you receive it or it’s taxes from your pay, you must file Form 8919, made available to you. Uncollected Social Security and Medicare Tax Publication Employee achievement award. If you re- on Wages, with your Form 1040 or 1040-SR. ceive tangible personal property (other than Useful Items independent contractor, and your employer ises to pay you a bonus or award at some future didn’t withhold social security and Medicare If you performed services, other than as an come. However, if your employer merely prom- 463 See Form 8919 and its instructions for more in-463 Travel, Gift, and Car Expenses cash, a gift certificate, or an equivalent item) as formation on how to figure unreported wages an award for length of service or safety achieve- 502 502 Medical and Dental Expenses and taxes and how to include them on your in-ment, you can generally exclude its value from come tax return. 524 524 Credit for the Elderly or the Disabled your income. The amount you can exclude is Childcare providers. If you provide childcare, limited to your employer’s cost and can’t be 525 525 Taxable and Nontaxable Income either in the child’s home or in your home or more than $1,600 for qualified plan awards or other place of business, the pay you receive 526 526 $400 for nonqualified plan awards for all such Charitable Contributions must be included in your income. If you aren’t awards you receive during the year. Your em- 550 550 Investment Income and Expenses an employee, you’re probably self-employed ployer can tell you whether your award is a and must include payments for your services on qualified plan award. Your employer must make 554 554 Tax Guide for Seniors Schedule C (Form 1040), Profit or Loss From the award as part of a meaningful presentation, Business. You generally aren’t an employee un-
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-575 575 Pension and Annuity Income under conditions and circumstances that don’t
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-less you’re subject to the will and control of the create a significant likelihood of it being dis-
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-907 907 Tax Highlights for Persons With person who employs you as to what you’re to do guised pay.
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-Disabilities and how you’re to do it.
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-926 926 Household Employer’s Tax Guide
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-Publication 17 (2025) Chapter 5 Wages, Salaries, and Other Earnings 47
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-However, the exclusion doesn’t apply to the payments on the note that are credited toward Fringe Benefits
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-following awards. the principal amount of the note are compensa-
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-achievement awards during the year: a nonqua-• tion income when you receive them. Fringe benefits received in connection with the A length-of-service award if you received it performance of your services are included in for less than 5 years of service or if you re- Severance pay. If you receive a severance your income as compensation unless you pay ceived another length-of-service award payment when your employment with your em- fair market value for them or they’re specifically during the year or the previous 4 years. ployer ends or is terminated, you must include excluded by law. Refraining from the perform- this amount in your income. • A safety achievement award if you’re a ance of services (for example, under a covenant manager, administrator, clerical employee, Accrued leave payment. If you’re a federal not to compete) is treated as the performance or other professional employee or if more employee and receive a lump-sum payment for of services for purposes of these rules. than 10% of eligible employees previously accrued annual leave when you retire or resign, Accounting period. You must use the same received safety achievement awards dur- this amount will be included as wages on your accounting period your employer uses to report ing the year. Form W-2. your taxable noncash fringe benefits. Your em- If you resign from one agency and are reem- Example. You received three employee ployer has the option to report taxable noncash ployed by another agency, you may have to re- fringe benefits by using either of the following pay part of your lump-sum annual leave pay- lified plan award of a watch valued at $250, two rules. ment to the second agency. You can reduce qualified plan awards of a stereo valued at gross wages by the amount you repaid in the • The general rule: benefits are reported for $1,000, and a set of golf clubs valued at $500. same tax year in which you received it. Attach to a full calendar year (January 1–December Assuming that the requirements for qualified your tax return a copy of the receipt or state- 31). plan awards are otherwise satisfied, each award ment given to you by the agency you repaid to • The special accounting period rule: bene- by itself would be excluded from income. How- explain the difference between the wages on fits provided during the last 2 months of the ever, because the $1,750 total value of the the return and the wages on your Forms W-2. calendar year (or any shorter period) are awards is more than $1,600, you must include Outplacement services. If you choose to treated as paid during the following calen- $150 ($1,750 – $1,600) in your income. accept a reduced amount of severance pay so dar year, for example, each year your em- Differential wage payments. This is any pay- that you can receive outplacement services ployer reports the value of benefits provi- ment made to you by an employer for any pe- (such as training in résumé writing and inter- ded during the last 2 months of the prior riod during which you are, for a period of more view techniques), you must include the unre- year and the first 10 months of the current than 30 days, an active duty member of the uni- duced amount of the severance pay in income. year. formed services and represents all or a portion Your employer doesn’t have to use the same ac- Sick pay. Pay you receive from your employer of the wages you would have received from the counting period for each fringe benefit, but must while you’re sick or injured is part of your salary employer during that period. These payments use the same period for all employees who re- or wages. In addition, you must include in your are treated as wages and are subject to income ceive a particular benefit. income sick pay benefits received from any of tax withholding but not FICA or FUTA tax. The the following payers. You must use the same accounting period payments are reported as wages on Form W-2. that you use to report the benefit to claim an • A welfare fund. Government cost-of-living allowances. employee business deduction (for use of a car, Most payments received by U.S. Government • A state sickness or disability fund. for example). civilian employees for working abroad are taxa- • An association of employers or employees. Form W-2. Your employer must include all tax- ble. However, certain cost-of-living allowances able fringe benefits in box 1 of Form W-2 as wa- are tax free. Pub. 516, U.S. Government Civilian • An insurance company if your employer ges, tips, and other compensation and, if appli- Employees Stationed Abroad, explains the tax paid for the plan. cable, in boxes 3 and 5 as social security and treatment of allowances, differentials, and other However, if you paid the premiums on an acci- Medicare wages. Although not required, your special pay you receive for employment abroad. dent or health insurance policy yourself, the employer may include the total value of fringe Nonqualified deferred compensation plans. benefits you receive under the policy aren’t tax- benefits in box 14 (or on a separate statement). Your employer may report to you the total able. For more information, see Pub. 525, Taxa- However, if your employer provided you with a ble and Nontaxable Income. amount of deferrals for the year under a non- vehicle and included 100% of its annual lease qualified deferred compensation plan in box 12 value in your income, the employer must sepa- Social security and Medicare taxes paid by of Form W-2, using code Y. This amount isn’t in- rately report this value to you in box 14 (or on a employer. If you and your employer have an cluded in your income. separate statement). agreement that your employer pays your social However, if at any time during the tax year, security and Medicare taxes without deducting the plan fails to meet certain requirements, or them from your gross wages, you must report Accident or Health Plan isn’t operated under those requirements, all the amount of tax paid for you as taxable wages In most cases, the value of accident or health amounts deferred under the plan for the tax on your tax return. The payment is also treated plan coverage provided to you by your employer year and all preceding tax years to the extent as wages for figuring your social security and isn’t included in your income. Benefits you re- vested and not previously included in income Medicare taxes and your social security and ceive from the plan may be taxable, as ex- are included in your income for the current year. Medicare benefits. However, these payments plained later under Sickness and Injury Bene- This amount is included in your wages shown in aren’t treated as social security and Medicare fits . box 1 of Form W-2. It’s also shown in box 12 of wages if you’re a household worker or a farm Form W-2, using code Z. For information on the items covered in this worker. section, other than long-term care coverage, Note received for services. If your employer Stock appreciation rights. Don’t include a see Pub. 969, Health Savings Accounts and gives you a secured note as payment for your stock appreciation right granted by your em- Other Tax-Favored Health Plans. services, you must include the fair market value ployer in income until you exercise (use) the (usually the discount value) of the note in your Long-term care coverage. Contributions by right. When you use the right, you’re entitled to income for the year you receive it. When you your employer to provide coverage for long-term a cash payment equal to the fair market value of later receive payments on the note, a propor- care services generally aren’t included in your the corporation’s stock on the date of use minus tionate part of each payment is the recovery of income. However, contributions made through a the fair market value on the date the right was the fair market value that you previously inclu- flexible spending or similar arrangement offered granted. You include the cash payment in your ded in your income. Don’t include that part by your employer must be included in your in- income in the year you use the right. again in your income. Include the rest of the come. This amount will be reported as wages in box 1 of Form W-2. payment in your income in the year of payment.
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-If your employer gives you a nonnegotiable
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-unsecured note as payment for your services,
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-48 Chapter 5 Wages, Salaries, and Other Earnings Publication 17 (2025)
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-Contributions you make to the plan are dis- See the Instructions for Form 8839, Qualified doesn’t provide general death benefits (travel
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-cussed in Pub. 502, Medical and Dental Expen- Adoption Expenses, for more information. insurance, for example) isn’t group-term life in-ses. Adoption benefits are reported by your em- surance.
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-Archer MSA contributions. Contributions by ployer in box 12 of Form W-2, with code T. They Former employer. If your former employer are also included as social security and Medi-your employer to your Archer MSA generally provided more than $50,000 of group-term life care wages in boxes 3 and 5. However, they aren’t included in your income. Their total will be insurance coverage during the year, the amount aren’t included as wages in box 1. To determine reported in box 12 of Form W-2, with code R. included in your income is reported as wages in the taxable and nontaxable amounts, you must You must report this amount on Form 8853, box 1 of Form W-2. Also, it’s shown separately complete Part III of Form 8839. File the form Archer MSAs and Long-Term Care Insurance in box 12 with code C. Box 12 will also show the with your return. Contracts. File the form with your return. amount of uncollected social security and Medi-
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-Health flexible spending arrangement care taxes on the excess coverage, with codes De Minimis (Minimal) Benefits M and N. You must pay these taxes with your in- (health FSA). If your employer provides a come tax return. Include them on Schedule 2 If your employer provides you with a product or health FSA that qualifies as an accident or (Form 1040), line 13. service and the cost of it is so small that it would health plan, the amount of your salary reduc- be unreasonable for the employer to account for tion, and reimbursements of your medical care Two or more employers. Your exclusion for it, you generally don’t include its value in your expenses, in most cases, aren’t included in your employer-provided group-term life insurance income. In most cases, don’t include in your in- income. coverage can’t exceed the cost of $50,000 of come the value of discounts at company cafete- coverage, whether the insurance is provided by rias, cab fares home when working overtime, Note: Health FSAs are subject to a limit on a single employer or multiple employers. If two and company picnics. salary reduction contributions for plan years be- or more employers provide insurance coverage ginning after 2012. For tax years beginning in that totals more than $50,000, the amounts re- Holiday gifts. If your employer gives you a tur- 2025, the dollar limitation (as indexed for infla- ported as wages on your Forms W-2 won’t be key, ham, or other item of nominal value at tion) on voluntary employee salary reductions correct. You must figure how much to include in Christmas or other holidays, don’t include the for contributions to health FSAs is $3,300. your income. Reduce the amount you figure by value of the gift in your income. However, if your any amount reported in box 12 of Form W-2, employer gives you cash or a cash equivalent, Health reimbursement arrangement (HRA). with code C, add the result to the wages repor- you must include it in your income. If your employer provides an HRA that qualifies ted in box 1, and report the total on your return. as an accident or health plan, coverage and re-
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-generally aren’t included in your income. 5-1 to figure the amount to include in your in-You can exclude from your income up to $5,250 come. imbursements of your medical care expenses Educational Assistance Figuring the taxable cost. Use Worksheet Health savings account (HSA). If you’re an of qualified employer-provided educational as-eligible individual, you and any other person, in- sistance. For more information, see Pub. 970, cluding your employer or a family member, can Tax Benefits for Education. make contributions to your HSA. Contributions,
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-other than employer contributions, are deducti- Group-Term Life Insurance ble on your return whether or not you itemize In most cases, the cost of up to $50,000 of deductions. Contributions made by your em-group-term life insurance coverage provided to ployer aren’t included in your income. Distribu-you by your employer (or former employer) isn’t tions from your HSA that are used to pay quali-included in your income. However, you must in-fied medical expenses aren’t included in your clude in income the cost of employer-provided income. Distributions not used for qualified insurance that is more than the cost of $50,000 medical expenses are included in your income. of coverage reduced by any amount you pay to-See Pub. 969 for the requirements of an HSA. ward the purchase of the insurance. Contributions by a partnership to a bona fide For exceptions, see Entire cost excluded partner’s HSA aren’t contributions by an em-and Entire cost taxed , later. ployer. The contributions are treated as a distri-If your employer provided more than bution of money and aren’t included in the part-$50,000 of coverage, the amount included in ner’s gross income. Contributions by a your income is reported as part of your wages in partnership to a partner’s HSA for services ren-box 1 of Form W-2. Also, it’s shown separately dered are treated as guaranteed payments that in box 12 with code C. are includible in the partner’s gross income. In
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-both situations, the partner can deduct the con- Group-term life insurance. This insurance is tribution made to the partner’s HSA. term life insurance protection (insurance for a Contributions by an S corporation to a 2% fixed period of time) that: shareholder-employee’s HSA for services ren-• Provides a general death benefit, dered are treated as guaranteed payments and • are includible in the shareholder-employee’s Is provided to a group of employees, gross income. The shareholder-employee can • Is provided under a policy carried by the deduct the contribution made to the share-employer, and holder-employee’s HSA. • Provides an amount of insurance to each employee based on a formula that prevents Qualified HSA funding distribution. You individual selection. can make a one-time distribution from your indi-
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-vidual retirement account (IRA) to an HSA and Permanent benefits. If your group-term life you generally won’t include any of the distribu-insurance policy includes permanent benefits, tion in your income. such as a paid-up or cash surrender value, you
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-Adoption Assistance must include in your income, as wages, the cost
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-of the permanent benefits minus the amount
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-You may be able to exclude from your income you pay for them. Your employer should be able amounts paid or expenses incurred by your em- to tell you the amount to include in your income.
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-ployer for qualified adoption expenses in con- Accidental death benefits. Insurance that nection with your adoption of an eligible child. provides accidental or other death benefits but
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-Publication 17 (2025) Chapter 5 Wages, Salaries, and Other Earnings 49
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-Group-Term Life Insurance To Include in In- Entire cost taxed. You’re taxed on the entire
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-Worksheet 5-1. Figuring the come—Illustrated next. cost of group-term life insurance if either of the following circumstances apply. Cost of Group-Term Life Worksheet 5-1. Figuring the • The insurance is provided by your em- Insurance To Include in Cost of Group-Term Life ployer through a qualified employees’ trust, Income such as a pension trust or a qualified annu- Insurance To Include in Keep for Your Records ity plan. Income—Illustrated 1. Enter the total amount of • You’re a key employee and your employer’s Keep for Your Records your insurance coverage plan discriminates in favor of key employ- from your 1. Enter the total amount of ees. employer(s) . . . . . . . . . . . . 1. your insurance coverage 2. Limit on exclusion for from your employer-provided employer(s) . . . . . . . . . . . . 1. 80,000 Retirement Planning Services group-term life insurance 2. Limit on exclusion for Generally, don’t include the value of qualified re- coverage . . . . . . . . . . . . . . 2. 50,000 employer-provided tirement planning services provided to you and 3. Subtract line 2 from group-term life insurance your spouse by your employer’s qualified retire- line 1 . . . . . . . . . . . . . . . . . 3. coverage . . . . . . . . . . . . . . 2. 50,000 ment plan. Qualified services include retirement 4. Divide line 3 by $1,000. 3. Subtract line 2 from Figure to the nearest planning advice, information about your em- line 1 . . . . . . . . . . . . . . . . . 3. 30,000 tenth . . . . . . . . . . . . . . . . . 4. ployer’s retirement plan, and information about 4. Divide line 3 by $1,000. 5. Go to Table 5-1 . Using your how the plan may fit into your overall individual Figure to the nearest age on the last day of the tax 30.0 tenth . . . . . . . . . . . . . . . . . 4. retirement income plan. You can’t exclude the year, find your age group in value of any tax preparation, accounting, legal, 5. Go to Table 5-1 . Using your the left column, and enter the age on the last day of the tax or brokerage services provided by your em- cost from the column on the year, find your age group in ployer. right for your age the left column, and enter the group . . . . . . . . . . . . . . . . 5. cost from the column on the 6. Multiply line 4 by right for your age Transportation line 5 . . . . . . . . . . . . . . . . . 6. 0.23 group . . . . . . . . . . . . . . . . 5. If your employer provides you with a qualified 7. Enter the number of full 6. Multiply line 4 by transportation fringe benefit, it can be excluded months of coverage at this 6.90 line 5 . . . . . . . . . . . . . . . . . 6. cost . . . . . . . . . . . . . . . . . . 7. from your income, up to certain limits. A quali- 7. Enter the number of full fied transportation fringe benefit is: 8. Multiply line 6 by months of coverage at this line 7 . . . . . . . . . . . . . . . . . 8. 12 cost . . . . . . . . . . . . . . . . . . 7. • Transportation in a commuter highway ve- 9. Enter the 8. Multiply line 6 by hicle (such as a van) between your home premiums you paid 82.80 line 7 . . . . . . . . . . . . . . . . . 8. and work place, per month . . . . . 9. 9. Enter the 10. Enter the number • A transit pass, or premiums you paid of months you paid per month . . . . . 9. 4.15 • Qualified parking. the 10. Enter the number premiums . . . . . 10. of months you paid Cash reimbursement by your employer for these 11. Multiply line 9 by the expenses under a bona fide reimbursement ar- line 10 . . . . . . . . . . . . . . . . 11. 12 premiums . . . . . 10. rangement is also excludable. However, cash 12. Subtract line 11 from line 8. 11. Multiply line 9 by reimbursement for a transit pass is excludable Include this amount in line 10 . . . . . . . . . . . . . . . . 11. 49.80 only if a voucher or similar item that can be ex- your income as 12. Subtract line 11 from line 8. changed only for a transit pass isn’t readily wages . . . . . . . . . . . . . . . 12. Include this amount in available for direct distribution to you. your income as wages . . . . . . . . . . . . . . . 12. 33.00 Exclusion limit. The exclusion for commuter Table 5-1. Cost of $1,000 of vehicle transportation and transit pass fringe Group-Term Life Insurance for 1 Entire cost excluded. You aren’t taxed on the benefits can’t be more than $325 a month. Month cost of group-term life insurance if any of the fol- The exclusion for the qualified parking fringe lowing circumstances apply. benefit can’t be more than $325 a month. Age Cost 1. You’re permanently and totally disabled If the benefits have a value that is more than Under 25 . . . . . . . . . . . . . . . . . $ 0.05 and have ended your employment. these limits, the excess must be included in 25 through 29 . . . . . . . . . . . . . . 0.06 your income. 2. Your employer is the beneficiary of the pol- 30 through 34 . . . . . . . . . . . . . . 0.08 icy for the entire period the insurance is in Commuter highway vehicle. This is a high- 35 through 39 . . . . . . . . . . . . . . 0.09 force during the tax year. way vehicle that seats at least six adults (not in- 40 through 44 . . . . . . . . . . . . . . 0.10 cluding the driver). At least 80% of the vehicle’s 45 through 49 . . . . . . . . . . . . . . 0.15 3. A charitable organization (defined in Pub. mileage must reasonably be expected to be: 50 through 54 . . . . . . . . . . . . . . 0.23 526, Charitable Contributions) to which • 55 through 59 . . . . . . . . . . . . . . 0.43 contributions are deductible is the only For transporting employees between their homes and workplace, and 60 through 64 . . . . . . . . . . . . . . 0.66 beneficiary of the policy for the entire pe-
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-65 through 69 . . . . . . . . . . . . . . 1.27 riod the insurance is in force during the tax • On trips during which employees occupy at
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-70 and above . . . . . . . . . . . . . . 2.06 year. (You aren’t entitled to a deduction for least half of the vehicle’s adult seating ca-
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-for two employers, Green Company and Maple Example. You are 51 years old and work charitable organization as the beneficiary Transit pass. This is any pass, token, farecard, of your policy.) a charitable contribution for naming a pacity (not including the driver).
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-voucher, or similar item entitling a person to ride
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-Company and $45,000 with Maple Company. and were covered by the plan when ness of transporting persons for compensation. you retired, or You pay premiums of $4.15 a month under the Qualified parking. This is parking provided to Maple Company group plan. You figure the b. You reached age 55 before January 2, an employee at or near the employer’s place of amount to include in your income as shown in 1984, and were employed by the em-business. It also includes parking provided on life insurance coverage for you for the entire at a reduced rate or to ride in a commuter high- a. You retired before January 2, 1984, year. Your coverage is $35,000 with Green way vehicle operated by a person in the busi- Company. Both employers provide group-term 4. The plan existed on January 1, 1984, and: mass transit (whether public or private) free or
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-Worksheet 5-1. Figuring the Cost of ployer or its predecessor in 1983.
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-50 Chapter 5 Wages, Salaries, and Other Earnings Publication 17 (2025) or near a location from which the employee contribution arrangement. The notice must ex- in your income in the year you receive the prop-commutes to work by mass transit, in a com- plain: erty. However, if you receive stock or other
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-muter highway vehicle, or by carpool. It doesn’t property that is nontransferable or subject to a • Your rights to elect not to have elective include parking at or near the employee’s home. substantial risk of forfeiture, you don’t include contributions made, or to have contribu- the value of the property in your income until it tions made at a different percentage; and becomes substantially vested. (Although you Retirement Plan • How contributions made will be invested in can elect to include the value of the property in Contributions the absence of any investment decision by your income in the year it becomes transferred you. to you.) For more information, see Restricted Your employer’s contributions to a qualified re- Property in Pub. 525. You must be given a reasonable period of tirement plan for you aren’t included in income time after receipt of the notice and before the Dividends received on restricted stock. at the time contributed. (Your employer can tell first elective contribution is made to make an Dividends you receive on restricted stock are you whether your retirement plan is qualified.) election with respect to the contributions. treated as compensation and not as dividend However, the cost of life insurance coverage in- income. Your employer should include these cluded in the plan may have to be included. See Overall limit on deferrals. For 2025, in payments on your Form W-2. Group-Term Life Insurance , earlier, under most cases, you shouldn’t have deferred more Fringe Benefits. than a total of $23,500 of contributions to the Stock you elected to include in income. If your employer pays into a nonqualified plans listed in (1) through (3) and (5) above. Dividends you receive on restricted stock you plan for you, you must generally include the The limit for SIMPLE plans is $16,500. The limit elected to include in your income in the year contributions in your income as wages for the for section 501(c)(18)(D) plans is the lesser of transferred are treated the same as any other tax year in which the contributions are made. $7,000 or 25% of your compensation. The limit dividends. Report them on your return as divi- However, if your interest in the plan isn’t trans- for section 457 plans is the lesser of your in- dends. For a discussion of dividends, see Pub. ferable or is subject to a substantial risk of for- cludible compensation or $23,500. Amounts 550, Investment Income and Expenses. feiture (you have a good chance of losing it) at deferred under specific plan limits are part of For information on how to treat dividends re- the time of the contribution, you don’t have to in- the overall limit on deferrals. ported on both your Form W-2 and Form clude the value of your interest in your income 1099-DIV, see Dividends received on restricted until it’s transferable or is no longer subject to a Designated Roth contributions. Employ- stock in Pub. 525. substantial risk of forfeiture. ers with section 401(k) plans, section 403(b) plans, and governmental section 457 plans can For information on distributions from re- create qualified Roth contribution programs so Special Rules for TIP tirement plans, see Pub. 575, Pension that you may elect to have part or all of your and Annuity Income (or Pub. 721, Tax elective deferrals to the plan designated as af- Certain Employees Guide to U.S. Civil Service Retirement Benefits, ter-tax Roth contributions. Designated Roth if you’re a federal employee or retiree). This section deals with special rules for people contributions are treated as elective deferrals, in certain types of employment: members of the except that they’re included in income at the Elective deferrals. If you’re covered by certain clergy, members of religious orders, people time contributed. kinds of retirement plans, you can choose to working for foreign employers, military person- have part of your compensation contributed by Excess deferrals. Your employer or plan nel, and volunteers. your employer to a retirement fund, rather than administrator should apply the proper annual have it paid to you. The amount you set aside limit when figuring your plan contributions. How- (called an elective deferral) is treated as an em- Clergy ever, you’re responsible for monitoring the total ployer contribution to a qualified plan. An elec- you defer to ensure that the deferrals aren’t tive deferral, other than a designated Roth con- Generally, if you’re a member of the clergy, you more than the overall limit. tribution (discussed later), isn’t included in must include in your income offerings and fees If you set aside more than the limit, the ex- you receive for marriages, baptisms, funerals, wages subject to income tax at the time contrib- cess must generally be included in your income uted. Rather, it’s subject to income tax when masses, etc., in addition to your salary. If the of- for that year, unless you have an excess deferral distributed from the plan. However, it’s included fering is made to the religious institution, it isn’t of a designated Roth contribution. See Pub. 525 in wages subject to social security and Medi- taxable to you. for a discussion of the tax treatment of excess care taxes at the time contributed. If you’re a member of a religious organiza- deferrals. Elective deferrals include elective contribu- tion and you give your outside earnings to the Catch-up contributions. You may be al- religious organization, you must still include the tions to the following retirement plans. lowed catch-up contributions (additional elec- earnings in your income. However, you may be 1. Cash or deferred arrangements (section tive deferral) if you’re age 50 or older by the end entitled to a charitable contribution deduction 401(k) plans). of the tax year. For more information, see Pub. for the amount paid to the organization. See
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-2. The Thrift Savings Plan for federal employ- 525. Pub. 526.
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-
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-3. Salary reduction simplified employee pen- Stock Options member of the clergy is usually treated as any other pension or annuity. It must be reported on ees. Pension. A pension or retirement pay for a
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-sion plans (SARSEP).
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-
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-ments. Under a qualified automatic contribu-6. Section 501(c)(18)(D) plans. option (use it to buy or sell the stock or other a home (including utilities) or a designated property), or when you sell or otherwise dispose housing allowance provided to you as part of of the option. However, if your option is a statu- your pay. However, the exclusion can’t be more 7. Section 457 plans. tory stock option, you won’t have any income than the reasonable pay for your services. If you until you sell or exchange your stock. Your em- pay for the utilities, you can exclude any allow- Qualified automatic contribution arrange- ployer can tell you which kind of option you ance designated for utility cost, up to your ac- hold. For more information, see Pub. 525. tual cost. The home or allowance must be provi- tion arrangement, your employer can treat you ded as compensation for your services as an 5. Tax-sheltered annuity plans (section ees (SIMPLE plans). Housing. Special rules for housing apply to services, you will usually have income when members of the clergy. Under these rules, you you receive the option, when you exercise the don’t include in your income the rental value of 403(b) plans). 4. Savings incentive match plans for employ- sell stock or other property as payment for your If you receive a nonstatutory option to buy or lines 5a and 5b of Form 1040 or 1040-SR.
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-pensation contributed to a section 401(k) plan. ordained, licensed, or commissioned minister. as having elected to have a part of your com- Restricted Property
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-You are to receive written notice of your rights However, you must include the rental value of
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-and obligations under the qualified automatic In most cases, if you receive property for your the home or the housing allowance as earnings
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-services, you must include its fair market value from self-employment on Schedule SE (Form
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-Publication 17 (2025) Chapter 5 Wages, Salaries, and Other Earnings 51 1040) if you’re subject to self-employment tax. and must be included in your income as a pen- Foreign Employer
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-For more information, see Pub. 517, Social Se- sion on lines 5a and 5b of Form 1040 or
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-curity and Other Information for Members of the 1040-SR. Don’t include in your income the Special rules apply if you work for a foreign em-
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-Clergy and Religious Workers. amount of any reduction in retirement or re- ployer.
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-tainer pay to provide a survivor annuity for your
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-Members of Religious U.S. citizen. If you’re a U.S. citizen who works spouse or children under the Retired Service-
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-Orders in the United States for a foreign government, man’s Family Protection Plan or the Survivor
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-an international organization, a foreign em- Benefit Plan.
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-If you’re a member of a religious order who has clude your salary in your income. nuities, see Pub. 575, Pension and Annuity In-taken a vow of poverty, how you treat earnings bassy, or any foreign employer, you must in- For more detailed discussion of survivor an-
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-that you renounce and turn over to the order de- Social security and Medicare taxes. come.
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-pends on whether your services are performed You’re exempt from social security and Medi- Disability. If you’re retired on disability, see care employee taxes if you’re employed in the for the order. Military and Government Disability Pensions un-United States by an international organization or der Sickness and Injury Benefits, later. Services performed for the order. If you’re a foreign government. However, you must pay performing the services as an agent of the order self-employment tax on your earnings from Veterans’ benefits. Don’t include in your in-in the exercise of duties required by the order, come any veterans’ benefits paid under any law, services performed in the United States, even don’t include in your income the amounts turned though you aren’t self-employed. This rule also regulation, or administrative practice adminis-over to the order. applies if you’re an employee of a qualifying tered by the Department of Veterans Affairs If your order directs you to perform services wholly owned instrumentality of a foreign gov-(VA). The following amounts paid to veterans or for another agency of the supervising church or their families aren’t taxable. ernment. an associated institution, you’re considered to • Education, training, and subsistence allow-Employees of international organizations or be performing the services as an agent of the ances. foreign governments. Your compensation for order. Any wages you earn as an agent of an or-official services to an international organization • Disability compensation and pension pay-der that you turn over to the order aren’t inclu-is exempt from federal income tax if you aren’t a ments for disabilities paid either to veter-ded in your income. citizen of the United States or you’re a citizen of ans or their families. the Philippines (whether or not you’re a citizen Example. You’re a member of a church or-• Grants for homes designed for wheelchair of the United States). der and have taken a vow of poverty. You re-living. nounce any claims to your earnings and turn Your compensation for official services to a foreign government is exempt from federal in-over to the order any salaries or wages you • Grants for motor vehicles for veterans who come tax if all of the following are true. lost their sight or the use of their limbs. earn. You’re a registered nurse, so your order
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-assigns you to work in a hospital that is an as- • You aren’t a citizen of the United States or • Veterans’ insurance proceeds and divi-sociated institution of the church. However, you you’re a citizen of the Philippines (whether dends paid either to veterans or their bene-
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-of the order. You’re considered to be an agent of an’s endowment policy paid before death. • Your work is like the work done by employ- the order and any wages you earn at the hospi- ees of the United States in foreign coun- remain under the general direction and control or not you’re a citizen of the United States). ficiaries, including the proceeds of a veter-
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-tal that you turn over to your order aren’t inclu- • Interest on insurance dividends you leave
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-ded in your income. tries. on deposit with the VA.
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-Services performed outside the order. If • The foreign government gives an equal ex- • Benefits under a dependent-care assis-you’re directed to work outside the order, your emption to employees of the United States tance program.
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-the order unless they meet both of the following member of the Armed Forces who died af- Waiver of alien status. If you’re an alien requirements. ter September 10, 2001. who works for a foreign government or interna- • services aren’t an exercise of duties required by in its country. • The death gratuity paid to a survivor of a
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-They’re the kind of services that are ordina- tional organization and you file a waiver under • Payments made under the compensated
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-• They’re part of the duties that you must ex- ity Act to keep your immigrant status, different • Any bonus payment by a state or political rules may apply. See Foreign Employer in Pub. ercise for, or on behalf of, the religious or-rily the duties of members of the order. section 247(b) of the Immigration and National- work therapy program.
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-der as its agent. 525. subdivision because of service in a combat zone.
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-If you’re an employee of a third party, the serv- Employment abroad. For information on the tax treatment of income earned abroad, see ices you perform for the third party won’t be Volunteers Pub. 54. considered directed or required of you by the
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-order. Amounts you receive for these services The tax treatment of amounts you receive as a Military
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-are included in your income, even if you have volunteer worker for the Peace Corps or similar
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-taken a vow of poverty. agency is covered in the following discussions.
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-order and have taken a vow of poverty. You re-Example. You are a member of a religious Payments you receive as a member of a military Peace Corps. Living allowances you receive service are generally taxed as wages except for as a Peace Corps volunteer or volunteer leader retirement pay, which is taxed as a pension. Al- for housing, utilities, household supplies, food, nounce all claims to your earnings and turn over lowances generally aren’t taxed. For more infor- and clothing are generally exempt from tax. your earnings to the order. mation on the tax treatment of military allowan- You are a schoolteacher. You were instruc- ces and benefits, see Pub. 3, Armed Forces’ Taxable allowances. The following allow- ted by the superiors of the order to get a job Tax Guide. ances, however, must be included in your in- with a private tax-exempt school. You became come and reported as wages. Differential wage payments. Any payments an employee of the school, and, at your re- made to you by an employer during the time • Allowances paid to your spouse and minor quest, the school made the salary payments di- you’re performing service in the uniformed serv- rectly to the order. children while you’re a volunteer leader ices are treated as compensation. These wages Because you are an employee of the school, training in the United States. are subject to income tax withholding and are you’re performing services for the school rather • Living allowances designated by the Direc- reported on a Form W-2. See the discussion than as an agent of the order. The wages you tor of the Peace Corps as basic compen- under Miscellaneous Compensation , earlier. earn working for the school are included in your sation. These are allowances for personal income. Military retirement pay. If your retirement pay items such as domestic help, laundry and
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-is based on age or length of service, it’s taxable clothing maintenance, entertainment and
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-52 Chapter 5 Wages, Salaries, and Other Earnings Publication 17 (2025)
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-recreation, transportation, and other mis- sickness through an accident or health plan that Accrued leave payment. If you retire on disa-cellaneous expenses. is paid for by your employer. If both you and bility, any lump-sum payment you receive for ac-
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-teer and get $175 a month as a readjustment al-• your employer pay for the plan, only the amount crued annual leave is a salary payment. The Leave allowances. you receive that is due to your employer’s pay- payment is not a disability payment. Include it in • Readjustment allowances or termination ments is reported as income. However, certain your income in the tax year you receive it. payments. These are considered received payments may not be taxable to you. For infor- by you when credited to your account. mation on nontaxable payments, see Military Military and Government Disability and Government Disability Pensions and Other Example. You are a Peace Corps volun- Pensions Sickness and Injury Benefits , later in this dis- cussion. Certain military and government disability pen- lowance during your period of service, to be sions aren’t taxable. Don’t report as income any amounts paid to you in a lump sum at the end of your tour paid to reimburse you for medical ex- of duty. Although the allowance isn’t available to TIP Service-connected disability. You may be penses you incurred after the plan was able to exclude from income amounts you re- you until the end of your service, you must in- established. ceive as a pension, an annuity, or similar allow- clude it in your income on a monthly basis as it’s ance for personal injury or sickness resulting credited to your account. Cost paid by you. If you pay the entire cost of from active service in one of the following gov- Volunteers in Service to America (VISTA). If a health or accident insurance plan, don’t in- ernment services. you’re a VISTA volunteer, you must include meal clude any amounts you receive from the plan for • The armed forces of any country. and lodging allowances paid to you in your in- personal injury or sickness as income on your come as wages. • The National Oceanic and Atmospheric tax return. If your plan reimbursed you for medi- Administration. cal expenses you deducted in an earlier year, National Senior Services Corps programs. you may have to include some, or all, of the re- Don’t include in your income amounts you re- • The Public Health Service. imbursement in your income. See What if You ceive for supportive services or reimbursements • The Foreign Service. Receive Insurance Reimbursement in a Later for out-of-pocket expenses from the following Year? in Pub. 502, Medical and Dental Expen- programs. Conditions for exclusion. Don’t include the ses. disability payments in your income if any of the • Retired Senior Volunteer Program (RSVP). Cafeteria plans. In most cases, if you’re cov- following conditions apply. • Foster Grandparent Program. ered by an accident or health insurance plan 1. You were entitled to receive a disability • Senior Companion Program. through a cafeteria plan, and the amount of the payment before September 25, 1975. insurance premiums wasn’t included in your in- Service Corps of Retired Executives come, you aren’t considered to have paid the 2. You were a member of a listed government (SCORE). If you receive amounts for suppor- premiums and you must include any benefits service or its reserve component, or were tive services or reimbursements for you receive in your income. If the amount of the under a binding written commitment to be- out-of-pocket expenses from SCORE, don’t in- premiums was included in your income, you’re come a member, on September 24, 1975. clude these amounts in gross income. considered to have paid the premiums, and any 3. You receive the disability payments for a Volunteer tax counseling. Don’t include in benefits you receive aren’t taxable. combat-related injury. This is a personal your income any reimbursements you receive injury or sickness that: for transportation, meals, and other expenses Disability Pensions you have in training for, or actually providing, a. Results directly from armed conflict;
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-volunteer federal income tax counseling for the b. Takes place while you’re engaged in If you retired on disability, you must include in elderly (TCE). extra-hazardous service; income any disability pension you receive under You can deduct as a charitable contribution a plan that is paid for by your employer. You c. Takes place under conditions simulat- your unreimbursed out-of-pocket expenses in must report your taxable disability payments on ing war, including training exercises taking part in the volunteer income tax assis- line 1h of Form 1040 or 1040-SR until you reach such as maneuvers; or tance (VITA) program. See Pub. 526. minimum retirement age. Minimum retirement d. Is caused by an instrumentality of war. Volunteer firefighters and emergency medi- age is generally the age at which you can first
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-
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-fighter or emergency medical responder, don’t bled. compensation from the Department of Vet-include in your income the following benefits cal responders. If you are a volunteer fire- receive a pension or annuity if you’re not disa- 4. You would be entitled to receive disability you receive from a state or local government. You may be entitled to a tax credit if erans Affairs (VA) if you filed an applica-
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-TIP tion for it. Your exclusion under this condi- you were permanently and totally disa-
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-• Rebates or reductions of property or in- tion is equal to the amount you would be bled when you retired. For information
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-
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-ices you performed as a volunteer fire- and total disability, see Pub. 524, Credit for the Pension based on years of service. If you fighter or emergency medical responder. Elderly or the Disabled. come taxes you receive because of serv- entitled to receive from the VA. on this credit and the definition of permanent
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-• Payments you receive because of services Beginning on the day after you reach mini- receive a disability pension based on years of service, in most cases you must include it in
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-you performed as a volunteer firefighter or mum retirement age, payments you receive are your income. However, if the pension qualifies
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-emergency medical responder, up to $50 taxable as a pension or annuity. Report the pay- for the exclusion for a service-connected disa-
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-for each month you provided services. ments on lines 5a and 5b of Form 1040 or bility (discussed earlier), don’t include in income
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-The excluded income reduces any related tax 1040-SR. The rules for reporting pensions are the part of your pension that you would have re-or contribution deduction. explained in Disability Pensions in Pub. 575. ceived if the pension had been based on a per-
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-Sickness and Injury a governmental program provided as a substi- of your pension in your income. For information on disability payments from centage of disability. You must include the rest
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-Benefits tute for unemployment compensation, see Un-employment Benefits Retroactive VA determination. If you retire in chapter 8. from the armed services based on years of
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-This section discusses sickness and injury ben- Retirement and profit-sharing plans. If you service and are later given a retroactive serv-
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-efits, including disability pensions, long-term receive payments from a retirement or ice-connected disability rating by the VA, your
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-care insurance contracts, workers’ compensa- profit-sharing plan that doesn’t provide for disa- retirement pay for the retroactive period is ex-
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-tion, and other benefits. disability pension. The payments must be re-bility retirement, don’t treat the payments as a cluded from income up to the amount of VA dis-
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-ability benefits you would have been entitled to
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-In most cases, you must report as income ported as a pension or annuity. For more infor- receive. You can claim a refund of any tax paid
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-any amount you receive for personal injury or mation on pensions, see Pub. 575. on the excludable amount (subject to the statute
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-Publication 17 (2025) Chapter 5 Wages, Salaries, and Other Earnings 53 of limitations) by filing an amended return on periodic payments without regard to ex- them in your income if they’re for an on-the-job Form 1040-X for each previous year during the penses. injury.
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-retroactive period. You must include with each If you received income because of a disabil- Qualified long-term care services. Qualified Form 1040-X a copy of the official VA determi- ity, see Disability Pensions , earlier. long-term care services are: nation letter granting the retroactive benefit. The Federal Employees’ Compensation Act letter must show the amount withheld and the • Necessary diagnostic, preventive, thera- (FECA). Payments received under this Act for effective date of the benefit. peutic, curing, treating, mitigating, and re- personal injury or sickness, including payments If you receive a lump-sum disability sever- habilitative services, and maintenance and to beneficiaries in case of death, aren’t taxable. ance payment and are later awarded VA disabil- personal care services; and However, you’re taxed on amounts you receive ity benefits, exclude 100% of the severance • Required by a chronically ill individual and under this Act as continuation of pay for up to benefit from your income. However, you must provided pursuant to a plan of care prescri- 45 days while a claim is being decided. Report include in your income any lump-sum readjust- bed by a licensed health care practitioner. this income as wages. Also, pay for sick leave ment or other nondisability severance payment while a claim is being processed is taxable and you received on release from active duty, even if Chronically ill individual. A chronically ill indi- must be included in your income as wages. you’re later given a retroactive disability rating vidual is one who has been certified by a li- censed health care practitioner within the previ- by the VA. If part of the payments you receive un- ous 12 months as one of the following. der FECA reduces your social security ! Special statute of limitations. In most ca- • An individual who, for at least 90 days, is CAUTION or equivalent railroad retirement bene- ses, under the statute of limitations, a claim for unable to perform at least two activities of fits received, that part is considered social se- credit or refund must be filed within 3 years from daily living without substantial assistance curity (or equivalent railroad retirement) benefits the time a return was filed or 2 years from the due to loss of functional capacity. Activities and may be taxable. See Pub. 554 for more in- time the tax was paid. However, if you receive a formation. of daily living are eating, toileting, transfer- retroactive service-connected disability rating ring, bathing, dressing, and continence. determination, the statute of limitations is exten- Other compensation. Many other amounts ded by a 1-year period beginning on the date of • An individual who requires substantial su- you receive as compensation for sickness or in- pervision to be protected from threats to the determination. This 1-year extended period jury aren’t taxable. These include the following health and safety due to severe cognitive applies to claims for credit or refund filed after amounts. impairment. June 17, 2008, and doesn’t apply to any tax • Compensatory damages you receive for year that began more than 5 years before the Limit on exclusion. You can generally exclude physical injury or physical sickness, date of the determination. from gross income up to $420 a day for 2025. whether paid in a lump sum or in periodic See Limit on exclusion, under Long-Term Care Terrorist attack or military action. Don’t in- payments. Insurance Contracts, under Sickness and Injury clude in your income disability payments you re- • Benefits you receive under an accident or Benefits in Pub. 525 for more information. ceive for injuries incurred as a direct result of a health insurance policy on which either you terrorist attack or military action directed against paid the premiums or your employer paid the United States (or its allies), whether outside Workers’ Compensation the premiums but you had to include them or within the United States or from military ac- in your income. tion. See Pub. 3920 and Pub. 907 for more in- Amounts you receive as workers’ compensation formation. • Disability benefits you receive for loss of in- for an occupational sickness or injury are fully come or earning capacity as a result of in- exempt from tax if they’re paid under a workers’ juries under a no-fault car insurance policy. Long-Term Care compensation act or a statute in the nature of a workers’ compensation act. The exemption also • Compensation you receive for permanent Insurance Contracts loss or loss of use of a part or function of applies to your survivors. The exemption, how- your body, or for your permanent disfigure- ever, doesn’t apply to retirement plan benefits Long-term care insurance contracts in most ca- you receive based on your age, length of serv- ment. This compensation must be based ses are treated as accident and health insur- ice, or prior contributions to the plan, even if you only on the injury and not on the period of ance contracts. Amounts you receive from them your absence from work. These benefits retired because of an occupational sickness or (other than policyholder dividends or premium injury. aren’t taxable even if your employer pays refunds) in most cases are excludable from in- for the accident and health plan that pro- come as amounts received for personal injury If part of your workers’ compensation vides these benefits. or sickness. To claim an exclusion for payments ! reduces your social security or equiva- made on a per diem or other periodic basis un- CAUTION lent railroad retirement benefits re- Reimbursement for medical care. A reim- ceived, that part is considered social security bursement for medical care is generally not tax- der a long-term care insurance contract, you able. However, it may reduce your medical ex- must file Form 8853 with your return. (or equivalent railroad retirement) benefits and may be taxable. For more information, see Pub. pense deduction. For more information, see A long-term care insurance contract is an in- 915, Social Security and Equivalent Railroad Pub. 502. surance contract that only provides coverage Retirement Benefits. for qualified long-term care services. The con-
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-tract must:
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-• Return to work. If you return to work after
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-Be guaranteed renewable; qualifying for workers’ compensation, salary
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-
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-• Not provide for a cash surrender value or payments you receive for performing light duties 6. other money that can be paid, assigned, are taxable as wages.
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-• Provide that refunds, other than refunds on Other Sickness and Injury the death of the insured or complete sur-pledged, or borrowed;
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-render or cancellation of the contract, and Benefits Interest Income
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-
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-• crease future benefits; and you may receive other payments for sickness or injury. Reminders In most cases, not pay or reimburse expen-Railroad sick pay. Payments you receive as used to reduce future premiums or in- In addition to disability pensions and annuities, dividends under the contract, may only be
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-would be reimbursed under Medicare, ex- sick pay under the Railroad Unemployment In-ses incurred for services or items that
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-cept where Medicare is a secondary payer surance Act are taxable and you must include zen with interest income from sources outside them in your income. However, don’t include Foreign source income. If you are a U.S. citi-or the contract makes per diem or other the United States (foreign income), you must
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-54 Chapter 6 Interest Income Publication 17 (2025) report that income on your tax return unless it is W-9 W-9 Request for Taxpayer Identification TIN to the payer of interest, the payer will gener-exempt by U.S. law. This is true whether you re- Number and Certification ally be required to backup withhold on the inter-
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-whether or not you receive a Form 1099 from 1099 1099 General Instructions for Certain side inside or outside the United States and est payments at a rate of 24%, and you may
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-the foreign payer. Information Returns also be subject to a penalty. Use Form W-9 to provide the necessary information. See Form
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-1099-INT 1099-INT Interest Income W-9 and its instructions.
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-your Form 1099 reporting your interest income 1099-DIV 1099-DIV Dividends and Distributions Automatic 6-month extension. If you receive
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-TIN for joint account. Generally, if the
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-late and you need more time to file your tax re- 1099-OID funds in a joint account belong to one person, 1099-OID Original Issue Discount turn, you can request a 6-month extension of list that person’s name first on the account and
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-time to file. See Automatic Extension in chap- 1099-R 1099-R Distributions From Pensions, give that person’s TIN to the payer. (For infor-ter 1. Annuities, Retirement or mation on who owns the funds in a joint ac-
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-Profit-Sharing Plans, IRAs, Insurance count, see Joint accounts, later.) If the joint ac-
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-Children who have unearned income. See Contracts, etc. count contains combined funds, give the TIN of
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-
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-Form 8615 and its instructions for the rules and the person whose name is listed first on the ac- 3115 3115 Application for Change in rates that apply to certain children with un- count. Accounting Method earned income. These rules apply to both joint ownership by 6251 6251 Alternative Minimum Tax — a married couple and to joint ownership by Individuals other individuals. For example, if you open a Introduction joint savings account with your child using funds 8615 8615 Tax for Certain Children Who Have belonging to the child, list the child’s name first Unearned Income This chapter discusses the following topics. on the account and give the child’s TIN.
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-
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-• 8815 8815 Exclusion of Interest From Series EE tution (FFI)), list first and then circle the name of and I U.S. Savings Bonds Issued When to report interest income. the person or entity whose number you entered After 1989 in Form W-9, Part I. If you are providing Form • How to report interest income on your tax W-9 to an FFI to document a joint account, return. For these and other useful items, go to IRS.gov/ each holder of the account that is a U.S. person • What interest is taxable and what interest Interest and Dividends Form W-9 is for a joint account (other than an account maintained by a foreign financial insti- is nontaxable. • Different types of interest income. 8814 8814 Parents’ Election To Report Child’s Form W-9 and its instructions provide: If this
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-In general, any interest you receive or that is must provide a Form W-9. See Form W-9 and Forms.
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-credited to your account and can be withdrawn its instructions. General Information is taxable income. Exceptions to this rule are
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-discussed later in this chapter. Custodian account for your child. If your
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-You may be able to deduct expenses you A few items of general interest are covered child is the actual owner of an account that is
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-
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-(Form 1040) if you itemize your deductions. See child, give the child’s TIN to the payer. For ex- Recordkeeping. You should keep a Money borrowed to invest in certificate of de- ample, you must give your child’s SSN to the have in earning this income on Schedule A here. recorded in your name as custodian for the
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-posit, later, and chapter 12. RECORDS payer of interest on an account owned by your and interest amounts received during list showing sources of interest income
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-the year. Also, keep the forms you receive child, even though the interest is paid to you as
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-Useful Items custodian. showing your interest income (Forms 1099-INT, You may want to see: for example) as an important part of your re-
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-
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-Publication don’t give your TIN to the payer of interest, you Tax on unearned income of certain chil- cords. Penalty for failure to supply TIN. If you
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-may have to pay a penalty. See Failure to supply
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-Form (and Instructions) (OID) Instruments child’s interest and dividends on the parent’s re- interest must withhold, as income tax, on the turn. If you can, use Form 8814 for this purpose. amount you are paid, by applying the appropri-For more information about the tax on un-ate withholding rate. The current rate is 24%. 1040 1040 U.S. Individual Income Tax Return earned income of children and the parents’ Withholding is required only if there is a condi-election, go to Form 8615 . tion for backup withholding, such as failing to 1040-SR 1040-SR U.S. Income Tax Return for provide your TIN to the payer or failing to certify Seniors Beneficiary of an estate or trust. Interest you your TIN under penalties of perjury, if required. receive as a beneficiary of an estate or trust is Schedule A (Form 1040) Schedule A (Form 1040) Itemized Backup withholding may also be required if generally taxable income. You should receive a Deductions the IRS has determined that you underreported Schedule K-1 (Form 1041) from the fiduciary. your interest or dividend income. For more infor- Schedule B (Form 1040) Schedule B (Form 1040) Interest and Your copy of Schedule K-1 (Form 1041) and its mation, see Backup Withholding in chapter 4. Ordinary Dividends instructions will tell you where to report the in-come on your Form 1040 or 1040-SR. Schedule K-1 (Form 1041) Schedule K-1 (Form 1041) Beneficiary’s Reporting backup withholding. If backup Share of Income, Deductions, 550 Backup withholding. Your interest income is 550 Investment Income and Expenses child’s tax return. If not, Form 8615 isn’t required generally not subject to regular withholding. and the child’s income is taxed at his or her own 555 555 Community Property However, it may be subject to backup withhold- tax rate. ing to ensure that income tax is collected on the 1212 1212 Guide to Original Issue Discount Some parents can choose to include the income. Under backup withholding, the payer of 537 may be taxed at the parent’s tax rate. If so, Form holding may also apply. 537 Installment Sales 8615 must be completed and attached to the 525 525 Taxable and Nontaxable Income dren. Part of a child’s 2025 unearned income SSN under Penalties in chapter 1. Backup with-
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-Taxpayer identification number (TIN). You withholding is deducted from your interest in-
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-
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-Schedule K-1 (Form 1065) security number (SSN), an employer identifica- your Form 1099-INT. The Form 1099-INT will Schedule K-1 (Form 1065) Partner’s tion number (EIN), an adoption taxpayer identifi- show any backup withholding as “Federal in- Credits, etc. must give your name and TIN (either a social come, the amount withheld will be reported on
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-
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-Schedule K-1 (Form 1120-S) Share of Income, Deductions, cation number (ATIN), or an individual tax iden- come tax withheld.” Credits, etc. tification number (ITIN)) to any person required Joint accounts. If two or more persons hold Schedule K-1 (Form 1120-S) by federal tax law to make a return, statement, property (such as a savings account or bond) Shareholder’s Share of Income, or other document that relates to you. This in-
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-Deductions, Credits, etc. cludes payers of interest. If you don’t give your
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-Publication 17 (2025) Chapter 6 Interest Income 55 as joint tenants, tenants by the entirety, or ten- Exempt-interest dividends. Exempt-interest Certificates of deposit and other deferred ants in common, each person’s share of any in- dividends you receive from a mutual fund or interest accounts. If you buy a certificate of terest from the property is determined by local other regulated investment company (RIC) deposit or open a deferred interest account, in-law. aren’t included in your taxable income. (How- terest may be paid at fixed intervals of 1 year or
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-Income from property given to a child. next.) Exempt-interest dividends should be ever, see Information reporting requirement less during the term of the account. You must
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-Property you give as a parent to your child un- shown on Form 1099-DIV, box 12. You don’t re- generally include this interest in your income
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-the Uniform Gifts to Minors Act, or any similar ceive it without paying a substantial penalty. empt-interest dividends. The same is true for accounts that mature in 1 law becomes the child’s property. der the Model Gifts of Securities to Minors Act, duce your basis for distributions that are ex- when you actually receive it or are entitled to re-
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-Income from the property is taxable to the Information reporting requirement. Al- year or less and pay interest in a single payment
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-child, except that any part used to satisfy a legal though exempt-interest dividends aren’t taxa- at maturity. If interest is deferred for more than 1
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-parent or guardian having that legal obligation. Interest subject to penalty for early with- you have to file. This is an information reporting drawal. If you withdraw funds from a deferred requirement and doesn’t change the exempt-in- Savings account with parent as trustee. interest account before maturity, you may have terest dividends into taxable income. obligation to support the child is taxable to the ble, you must show them on your tax return if year, see Original Issue Discount (OID), later.
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-for a minor child but placed in the name and amount of interest paid or credited to your ac- Note: Exempt-interest dividends paid by a subject to the order of the parents as trustees is Interest income from a savings account opened to pay a penalty. You must report the total
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-taxable to the child if, under the law of the state mutual fund or other RIC on specified private count during the year, without subtracting the
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-in which the child resides, both of the following activity bonds may be subject to the alternative penalty. See Penalty on early withdrawal of sav-
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-are true. minimum tax (AMT). The exempt-interest divi- ings in chapter 1 of Pub. 550 for more informa-
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-dends subject to the AMT should be shown on tion on how to report the interest and deduct the
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-
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-statement by banks, savings and loans, and earn on the certificate are two separate items. You must report the total interest income you dends left on deposit with the VA isn’t taxable. other payers of interest. This form shows you This includes interest paid on dividends on con- earn on the certificate in your income. If you the interest income you received during the verted United States Government Life Insur- itemize deductions, you can deduct the interest year. Keep this form for your records. You don’t ance and on National Service Life Insurance you pay as investment interest, up to the have to attach it to your tax return. policies. amount of your net investment income. See In- Report on your tax return the total interest in- terest Expenses in chapter 3 of Pub. 550. come you receive for the tax year. See the Form Individual retirement arrangements (IRAs). 1099-INT Instructions for Recipient to see Interest on a Roth IRA generally isn’t taxable. Example. You purchase a $10,000 certifi- whether you need to adjust any of the amounts Interest on a traditional IRA is tax deferred. You cate of deposit by borrowing $5,000 from Bank reported to you. generally don’t include interest earned in an IRA and adding an additional $5,000 of your funds. in your income until you make withdrawals from The certificate earned $575 at maturity in 2025, Interest not reported on Form 1099-INT. the IRA. See chapter 9 . but you received only $265, which represented Even if you don’t receive a Form 1099-INT, you the $575 you earned minus $310 interest Form 1099-INT. Interest income is generally • The parents aren’t legally permitted to use deposit. The interest you pay on money bor- sion on private activity bonds under State or any of the funds to support the child. rowed from a bank or savings institution to meet Local Government Obligations. the minimum deposit required for a certificate of Interest on Department of Veterans Affairs deposit from the institution and the interest you reported to you on Form 1099-INT or a similar (VA) dividends. Interest on insurance divi- • The savings account legally belongs to the penalty. Form 1099-DIV, box 13. See Alternative Mini-child. mum Tax (AMT) in chapter 13 for more informa- Money borrowed to invest in certificate of tion. Chapter 1 of Pub. 550 contains a discus-
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-must still report all of your interest income. For Taxable example, you may receive distributive shares of charged on your $5,000 loan. The bank gives
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-interest from partnerships or S corporations. you a Form 1099-INT for 2025 showing the Interest—General
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-
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-(Form 1065) or Schedule K-1 (Form 1120-S). you a statement showing that you paid $310 of Taxable interest includes interest you receive interest for 2025. You must include the $575 in Nominees. Generally, if someone receives This interest is reported to you on Schedule K-1 $575 interest you earned. The bank also gives
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-from bank accounts, loans you make to others, your income. If you itemize your deductions on
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-interest as a nominee for you, that person must and other sources. The following are some Schedule A (Form 1040), you can deduct $310,
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-
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-as a nominee for another person, see the dis- cash gifts or services for making deposits or for tually interest. You must report as interest opening an account in a savings institution, you cussion on nominee distributions under How To so-called dividends on deposits or on share ac- may have to report the value as interest. Report Interest Income in chapter 1 of Pub. 550 counts in: For deposits of less than $5,000, gifts or or the Schedule B (Form 1040) instructions. • Cooperative banks, services valued at more than $10 must be re- Incorrect amount. If you receive a Form received on your behalf. Dividends that are actually interest. Certain Gift for opening account. If you receive non-If you receive a Form 1099-INT and interest distributions commonly called dividends are ac-give you a Form 1099-INT showing the interest sources of taxable interest. subject to the net investment income limit.
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-1099-INT that shows an incorrect amount or Credit unions, • ported as interest. For deposits of $5,000 or
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-more, gifts or services valued at more than $20
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-other incorrect information, you should ask the • Domestic building and loan associations, must be reported as interest. The value is deter-
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-issuer for a corrected form. The new Form mined by the cost to the financial institution. • Domestic savings and loan associations, 1099-INT you receive will have the “CORREC- • Federal savings and loan associations, TED” box checked. Example. You open a savings account at and your local bank and deposit $800. The account Form 1099-OID. Reportable interest income earns $20 interest. You also receive a $15 cal- • Mutual savings banks. may also be shown on Form 1099-OID. For culator. If no other interest is credited to your more information about amounts shown on this The “dividends” will be shown as interest in- account during the year, the Form 1099-INT you form, see Original Issue Discount (OID) , later in come on Form 1099-INT. receive will show $35 interest for the year. You this chapter. must report $35 interest income on your tax re- Money market funds. Money market funds The box references discussed below turn. pay dividends and are offered by nonbank fi- are from the January 2024 revisions of ! nancial institutions, such as mutual funds and Interest on insurance dividends. Interest on Form 1099-INT and Form 1099-DIV. CAUTION stock brokerage houses. Generally, amounts insurance dividends left on deposit with an in- Later revisions may have different box referen- you receive from money market funds should be surance company that can be withdrawn annu- ces. reported as dividends, not as interest. ally is taxable to you in the year it is credited to
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-56 Chapter 6 Interest Income Publication 17 (2025) your account. However, if you can withdraw it must include it in income in the year you can U.S. savings bonds when you receive it. The only on the anniversary date of the policy (or withdraw it. cash method of accounting is explained in
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-other specified date), the interest is taxable in chapter 1 under Accounting Methods. But see
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-the year that date occurs. Example. $100 of interest was credited on Reporting options for cash method taxpayers, Prepaid insurance premiums. Any increase your frozen deposit during the year. You with- later.
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-vance premiums, or premium deposit funds is sold HH savings bonds from 1980 through Au- your income and exclude $20 from your income interest if it is applied to the payment of premi- gust 2004. HH savings bonds earn interest for for the year. You must include the $20 in your in- ums due on insurance policies or made availa- up to 20 years. So the last HH bonds will stop come for the year you can withdraw it. in the value of prepaid insurance premiums, ad- Series H and HH bonds. The U.S. Treasury the end of the year. You must include $80 in drew $80 but couldn’t withdraw any more as of
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-ble for you to withdraw. earning interest in 2024. (See
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-U.S. obligations. Interest on U.S. obligations Bonds traded flat. If you buy a bond at a dis- TreasuryDirect.gov/savings-bonds/hh-bonds/.)
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-issued by any agency or instrumentality of the count when interest has been defaulted or when Certain HH bonds weren’t available for cash
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-United States, such as U.S. Treasury bills, the interest has accrued but hasn’t been paid, only. To buy those HH bonds, you had to trade
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-notes, and bonds, is taxable for federal income the transaction is described as trading a bond in another security you had bought earlier. In
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-tax purposes. flat. The defaulted or unpaid interest isn’t in- making the exchange, you may have used inter-
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-come and isn’t taxable as interest if paid later. est the original security had earned to help pay
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-Interest on tax refunds. Interest you receive When you receive a payment of that interest, it for the HH bond. If you used an old bond to buy on tax refunds is taxable income. is a return of capital that reduces the remaining more than one HH bond, the interest you used Interest on condemnation award. If the con- cost basis of your bond. Interest that accrues to buy the bonds was divided proportionately
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-demning authority pays you interest to compen- after the date of purchase, however, is taxable among the HH bonds. You had a choice then for
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-sate you for a delay in payment of an award, the interest income for the year it is received or ac- the tax on that interest: pay it then or wait and
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-interest is taxable. crued. See Bonds Sold Between Interest Dates, pay it later (defer it). Interest that you decided to
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-later, for more information. pay later is “deferred interest.” If your HH bond
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-
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-Installment sale payments. If a contract for has deferred interest, you see the amount iden- Below-market loans. Generally, a “below-mar- the sale or exchange of property provides for tified on the front of the bond. You don’t have to ket loan” means any loan if (a) in the case of a deferred payments, it also usually provides for report deferred interest on your federal income gift or demand loan, interest is payable on the interest payable with the deferred payments. tax return until you are filing your return for the loan at a rate less than the applicable federal Generally, that interest is taxable when you re- year in which the first of these events occurs: rate; or (b) in the case of a term loan, the ceive it. If little or no interest is provided for in a you cash the HH bond; the HH bond stops amount loaned exceeds the present value (us- deferred payment contract, part of each pay- earning interest; the HH bond is reissued to ing a discount rate equal to the applicable fed- ment may be treated as interest. See Unstated show a change in ownership that is a taxable eral rate) of all payments due under the loan. Interest and Original Issue Discount (OID) in event. (See TreasuryDirect.gov/savings- (See Code section 7872 for details.) Section Pub. 537. bonds/hh-bonds/hh-bonds-tax-information .) 7872 applies to certain below-market loans, in- Series H bonds were issued before 1980. All cluding gift loans, compensation-related loans, Interest on annuity contract. Accumulated Series H bonds have matured and are no longer interest on an annuity contract you sell before and corporation-shareholder loans. (See Code earning interest. its maturity date is taxable. section 7872(c).) If you are the lender of a be- low-market loan, you may have additional inter- In addition to the twice-a-year interest pay- Usurious interest. Usurious interest is interest est income. See Below-Market Loans in chap- ments, most H/HH bonds have a deferred inter- charged at an illegal rate. This is taxable as in- est component. The reporting of this as income ter 1 of Pub. 550 for more information. terest unless state law automatically changes it is addressed later in this chapter. to a payment on the principal. U.S. Savings Bonds Series EE and Series I bonds. Interest on Interest income on frozen deposits. Exclude these bonds is payable when you redeem the from your gross income interest on frozen de- This section provides tax information on U.S. bonds. The difference between the purchase posits. A deposit is frozen if at the end of the savings bonds. It explains how to report the in- price and the redemption value is taxable inter- year you can’t withdraw any part of the deposit terest income on these bonds and how to treat est. because: transfers of these bonds. Series E and EE bonds. Series E bonds U.S. savings bonds currently offered to indi- • The financial institution is or may become were issued before July 1980. All Series E bankrupt or insolvent, or viduals include Series EE bonds and Series I bonds have matured and are no longer earning bonds. • The state where the institution is located interest. Series EE bonds were first offered in has placed limits on withdrawals because For information about U.S. savings January 1980 and have a maturity period of 30 years; they were offered in paper (definitive) other financial institutions in the state are bonds, go to TreasuryDirect.gov/ savings-bonds/ bankrupt or insolvent. . form until 2012. Paper Series EE and Series E bonds were issued at a discount and increase The amount of interest you must exclude is If you prefer, write to: in value as they earn interest. Electronic the interest that was credited on the frozen de- (book-entry) Series EE bonds were first offered posits minus the sum of: in 2003; they are issued at face value and in- • The net amount you withdrew from these Treasury Retail Securities Services crease in value as they earn interest. For all deposits during the year, and P.O. Box 9150 Series E and Series EE bonds, the purchase
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-• Minneapolis, MN 55480-9150 price plus all accrued interest is payable to you The amount you could have withdrawn as at redemption. of the end of the year (not reduced by any
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-If you receive a Form 1099-INT for interest in- bonds issued at face value with a maturity pe- terest on U.S. savings bonds each year as it ac- riod of 30 years. Series I bonds increase in come on deposits that were frozen at the end of crues. You can’t postpone reporting interest value as they earn interest. The face value plus 2025, see Frozen deposits under How To Re- until you receive it or until the bonds mature. Ac- all accrued interest is payable to you at redemp- port Interest Income in chapter 1 of Pub. 550 for deposit). Accrual method taxpayers. If you use an ac- fered in 1998. These are inflation-indexed crual method of accounting, you must report in-penalty for premature withdrawals of a time Series I bonds. Series I bonds were first of-
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-
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-information about reporting this interest income crual methods of accounting are explained in tion. chapter 1 under Accounting Methods . exclusion on your tax return. Cash method taxpayers. If you use the cash The interest you exclude is treated as credi-method of accounting, as most individual tax-ted to your account in the following year. You payers do, you generally report the interest on
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-Publication 17 (2025) Chapter 6 Interest Income 57 Table 6-1. Who Pays the Tax on U.S. Savings Bond Interest that time, neither you nor your spouse has to re-
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-port the interest earned to the date of reissue.
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-IF... THEN the interest must be reported by...
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-you buy a bond in your name and the name of another you. Example 2. You bought a $1,000 Series EE
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-person as co-owners, using only your own funds savings bond entirely with your own funds. The
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-you buy a bond in the name of another person, who is the the person for whom you bought the bond. bond was issued to you and your spouse as
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-sole owner of the bond co-owners. You both postpone reporting interest
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-you and another person buy a bond as co-owners, each both you and the other co-owner, in proportion to the on the bond. You later have the bond reissued
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-contributing part of the purchase price amount each paid for the bond. as two $500 bonds, one in your name and one
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-you and your spouse, who live in a community property you and your spouse. If you file separate returns, both you in your spouse’s name. You must report half the
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-state, buy a bond that is community property and your spouse generally report one-half of the interest. interest earned to the date of reissue.
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-Reporting options for cash method tax- taxable to each of you, in proportion to the Transfer to a trust. If you own Series EE or
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-payers. If you use the cash method of report- amount each of you paid. Series I bonds and transfer them to a trust, giv-ing income, you can report the interest on Ser- ing up all rights of ownership, you must include
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-ies EE and Series I bonds in either of the Community property. If you and your in your income for that year the interest earned following ways. spouse live in a community property state and to the date of transfer if you have not already re-
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-1. Method 1. Postpone reporting the interest hold bonds as community property, one-half of ported it. However, if you are considered the
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-until the earlier of the year you cash or dis- the interest is considered received by each of owner of the trust and if the increase in value
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-pose of the bonds or the year they mature. you. If you file separate returns, each of you both before and after the transfer continues to
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-must generally report one-half of the bond inter- be taxable to you, you can continue to defer re-
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-2. Method 2. Choose to report the increase est. For more information about community porting the interest earned each year. You must
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-in redemption value as interest each year. property, see Pub. 555. include the total interest in your income in the
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-You must use the same method for all Series EE Table 6-1. These rules are also shown in Ta- year the bonds finally mature, whichever is ear-year you cash or dispose of the bonds or the
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-and Series I bonds you own. ble 6-1. lier.
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-If you plan to cash your bonds in the Ownership transferred. If you bought Series The same rules apply to previously unrepor-
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-TIP same year you will pay for higher edu- EE or Series I bonds entirely with your own ted interest on Series EE or Series E bonds if
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-cation expenses, you may want to use funds and had them reissued in your co-owner’s the transfer to a trust consisted of Series HH
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-method 1 because you may be able to exclude name or beneficiary’s name alone, you must in- bonds you acquired in a trade for the Series EE the interest from your income. To learn how, see clude in your gross income for the year of reis- or Series E bonds.
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-from method 1 to method 2, you can do so with- time. viously used by the decedent. This is explained This same rule applies when bonds (other out permission from the IRS. In the year of in chapter 1 of Pub. 550. than bonds held as community property) are change, you must report all interest accrued to transferred between spouses or incident to di-Form 1099-INT for U.S. savings bonds inter-date and not previously reported for all your vorce. est. When you cash a bond, the bank or other bonds. payer that redeems it may give you a Form Once you choose to report the interest each Purchased jointly. If you and a co-owner 1099-INT. Form 1099-INT, box 3 should show year, you must continue to do so for all Series each contributed funds to buy Series EE or Ser-change your method of reporting the interest Change from method 1. If you want to bonds were reissued in your name alone, you income on Series EE or Series I bonds after the death of the owner (decedent) depends on the don’t have to report the interest accrued at that accounting and income-reporting methods pre- Education Savings Bond Program, later. sue all interest that you earned on these bonds and have not previously reported. But, if the Decedents. The manner of reporting interest
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-EE and Series I bonds you own and for any you the interest as the difference between the ies I bonds jointly and later have the bonds reis- amount you received and the amount paid for get later, unless you request permission to sued in the co-owner’s name alone, you must the bond. However, your Form 1099-INT may change, as explained next. include in your gross income for the year of reis- show more interest than you have to include on sue your share of all the interest earned on the your income tax return. For example, this may Change from method 2. To change from bonds that you have not previously reported. happen if any of the following are true. method 2 to method 1, see Revenue Procedure The former co-owner doesn’t have to include in 2025-23, section 17. • You chose to report the increase in the re- gross income at the time of reissue his or her demption value of the bond each year. The Co-owners. If a U.S. savings bond is issued in share of the interest earned that was not repor- interest shown on your Form 1099-INT the names of co-owners, such as you and your ted before the transfer. This interest, however, won’t be reduced by amounts previously child or you and your spouse, interest on the as well as all interest earned after the reissue, is included in income. bond is generally taxable to the co-owner who income to the former co-owner. • bought the bond. This income-reporting rule also applies You received the bond from a decedent. when a new co-owner purchases your share of The interest shown on your Form 1099-INT
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-One co-owner’s funds used. If you used the bond and the bonds are reissued in the won’t be reduced by any interest reported
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-your funds to buy the bond, you must pay the name of your former co-owner and a new by the decedent before death or on the de-tax on the interest. This is true even if you let the co-owner. But the new co-owner will report only cedent’s final return or by the estate on the other co-owner redeem the bond and keep all his or her share of the interest earned after the estate’s income tax return.
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-the proceeds. Under these circumstances, the transfer. • Ownership of the bond was transferred. co-owner who redeemed the bond will receive a If bonds that you and a co-owner bought The interest shown on your Form 1099-INT Form 1099-INT at the time of redemption and jointly are reissued to each of you separately in won’t be reduced by interest that accrued must provide you with another Form 1099-INT the same proportion as your contribution to the before the transfer. showing the amount of interest from the bond purchase price, neither you nor your co-owner Note: This is true for paper bonds, but taxable to you. The co-owner who redeemed has to report at that time the interest earned be-the Treasury reporting process for elec-the bond is a “nominee.” See Nominee distribu-fore the bonds were reissued. tronic bonds is more refined—if Treasury is tions under How To Report Interest Income in aware that the transfer of an electronic sav-chapter 1 of Pub. 550 for more information Example 1. You and your spouse each ings bond is a reportable event, then the about how a person who is a nominee reports spent an equal amount to buy a $1,000 Series transferor will receive a Form 1099-INT for interest income belonging to another person. EE savings bond. The bond was issued to you the year of the transfer for the interest ac-and your spouse as co-owners. You both post-crued up to the time of the transfer; when Both co-owners’ funds used. If you and pone reporting interest on the bond. You later the transferee later disposes of the bond the other co-owner each contribute part of the have the bond reissued as two $500 bonds, one (redemption, maturity, or further transfer), bond’s purchase price, the interest is generally in your name and one in your spouse’s name. At
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-58 Chapter 6 Interest Income Publication 17 (2025)
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-the transferee will receive a Form 1099-INT Qualified expenses include any contribution and their daughter doesn’t have any tax-free ed-reduced by the amount reported to the you make to a qualified tuition program or to a ucational assistance. They can exclude transferor at the time of the original trans- Coverdell education savings account (ESA). $1,516.15 ($3,052 × ($4,000 ÷ $8,052)) of inter-fer. Qualified expenses don’t include expenses est on their 2024 joint income tax return.
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-rect amount of interest on your return, see • for room and board or for courses involving You were named as a co-owner, and the sports, games, or hobbies that aren’t part of a other co-owner contributed funds to buy degree- or certificate-granting program. U.S. Treasury Bills, Notes, the bond. The interest shown on your Form and Bonds 1099-INT won’t be reduced by the amount Eligible educational institutions. These you received as nominee for the other institutions include most public, private, and co-owner. (See Co-owners , earlier in this Treasury bills, notes, and bonds are direct debts nonprofit universities, colleges, and vocational chapter, for more information about the re-(obligations) of the U.S. Government. schools that are accredited and eligible to par-porting requirements.) ticipate in student aid programs run by the U.S. Taxation of interest. Interest income from Department of Education. • You received the bond in a taxable distribu-Treasury bills, notes, and bonds is subject to tion from a retirement or profit-sharing federal income tax but is exempt from all state Reduction for certain benefits. You must plan. The interest shown on your Form and local income taxes. You should receive a reduce your qualified higher education expen-1099-INT won’t be reduced by the interest Form 1099-INT showing the interest paid to you ses by all of the following tax-free benefits. portion of the amount taxable as a distribu-for the year in box 3. 1. Tax-free part of scholarships and fellow-tion from the plan and not taxable as inter-ships (see est. (This amount is generally shown on Scholarships and fellowships in Treasury bills. These bills generally have a chapter 8). Form 1099-R for the year of distribution.) 4-week, 8-week, 13-week, 26-week, or 52-week maturity period. They are generally issued at a For more information on including the cor-2. Expenses used to figure the tax-free por-discount in the amount of $100 and multiples of How tion of distributions from a Coverdell ESA. $100. The difference between the discounted To Report Interest Income , later. 3. Expenses used to figure the tax-free por-price you pay for the bills and the face value you tion of distributions from a qualified tuition Interest on U.S. savings bonds is ex-receive at maturity is interest income. Generally, program. TIP empt from state and local taxes. you report this interest income when the bill is
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-
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-Education Savings Bond 4. Any tax-free payments (other than gifts or paid at maturity. If you paid a premium for a bill (more than the face value), you generally report inheritances) received for educational ex- the premium as a section 171 deduction when penses, such as: the bill is paid at maturity. Program a. Veterans’ educational assistance ben- If you reinvest your Treasury bill at its matur- efits, ity in a new Treasury bill, note, or bond, you will You may be able to exclude from income all or receive payment for the difference between the b. Qualified tuition reductions, or part of the interest you receive on the redemp- proceeds of the maturing bill (par amount less
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-tion of qualified U.S. savings bonds during the c. Employer-provided educational assis- any tax withheld) and the purchase price of the
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-
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-penses during the same year. This exclusion is port the full amount of the interest income on 5. Any expense used in figuring the Ameri- known as the Education Savings Bond Pro- year if you pay qualified higher educational ex- tance. new Treasury security. However, you must re-
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-gram. can opportunity and lifetime learning cred- each of your Treasury bills at the time it reaches maturity. its. You don’t qualify for this exclusion if your fil-
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-ing status is married filing separately. Amount excludable. If the total proceeds Treasury notes and bonds. Treasury notes
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-Form 8815. Use Form 8815 to figure your (interest and principal) from the qualified U.S. generally have maturity periods of more than 1
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-exclusion. Attach the form to your Form 1040 or savings bonds you redeem during the year year, ranging up to 10 years. Maturity periods
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-1040-SR. aren’t more than your adjusted qualified higher for Treasury bonds are generally longer than 10
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-education expenses for the year, you may be years. Both generally pay interest every 6
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-Qualified U.S. savings bonds. A qualified able to exclude all of the interest. If the pro- months. Generally, you report this interest for
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-U.S. savings bond is a Series EE bond issued ceeds are more than the expenses, you may be the year paid. For more information, see U.S. after 1989 or a Series I bond. The bond must be able to exclude only part of the interest. Treasury Bills, Notes, and Bonds in chapter 1 of issued either in your name (sole owner) or in To determine the excludable amount, multi- Pub. 550.
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-your and your spouse’s names (co-owners). ply the interest part of the proceeds by a frac- For other information on Treasury notes You must be at least 24 years old before the tion. The numerator of the fraction is the quali-or bonds, write to: bond’s issue date. For example, a bond bought fied higher education expenses you paid during
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-by a parent and issued in the name of his or her the year. The denominator of the fraction is the Treasury Retail Securities Services child under age 24 doesn’t qualify for the exclu-total proceeds you received during the year. P.O. Box 9150 sion by the parent or child. Minneapolis, MN 55480-9150 Example 1. Max and Helene married and The issue date of a bond may be ear-paid $5,000 in January 2009 for a $10,000 de-! lier than the date the bond is pur-nomination Series EE U.S. savings bond. They chased because the issue date as-CAUTION Or, on the Internet, go to cashed the bond for $6,148 ($5,000 [price] + signed to a bond is the first day of the month in TreasuryDirect.gov/marketable-$1,148 [interest]) and paid $4,000 of college tui-which it is purchased. securities/ . tion for their child, Ari, in January 2025. Max Beneficiary. You can designate any individual and Helene can exclude $746.90 ($1,148 x For information on Series EE, Series I, and
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-(including a child) as a beneficiary of the bond. ($4,000 ÷ $6,148)) of interest on their 2025 joint Series HH savings bonds, see U.S. Savings
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-demption information from the Department of (TIPS). These securities pay interest twice a EE U.S. savings bonds with a total denomina- the Treasury. year at a fixed rate, based on a principal amount tion of $10,000 that they bought in January adjusted to take into account inflation and defla- Qualified expenses. Qualified higher edu- 2008 for $5,000. They received proceeds of tion. For the tax treatment of these securities, cation expenses are tuition and fees required $8,052, representing principal of $5,000 and in- see Inflation-Indexed Debt Instruments under for you, your spouse, or your dependent (for terest of $3,052. In 2024, they paid $4,000 of Original Issue Discount (OID) in chapter 1 of sion, the IRS will check it by using bond re-Verification by IRS. If you claim the exclu- Example 2. In January 2024, Mark and Treasury inflation-protected securities Joan, a married couple, cashed qualified Series income tax return. Bonds, earlier.
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-gible educational institution. Pub. 550. whom you claim an exemption) to attend an eli- their daughter’s college tuition. They aren’t claiming an education credit for that amount,
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-Publication 17 (2025) Chapter 6 Interest Income 59 Bonds Sold Between Original Issue Discount b. The amount of the loan, plus the amount of any outstanding prior loans Interest Dates (OID) between the same individuals, is
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-dates, part of the sales price represents interest c. Avoiding any federal tax isn’t one of OID in your income as it accrues over the term accrued to the date of sale. You must report that the principal purposes of the loan. of the debt instrument, whether or not you re- part of the sales price as interest income for the If you sell a bond between interest payment OID is a form of interest. You generally include $10,000 or less.
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-year of sale. A debt instrument generally has OID when ceive any payments from the issuer. 5. A debt instrument purchased at a pre-
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-dates, part of the purchase price represents in- than its stated redemption price at maturity. OID 1099-OID for a debt instrument you own. If you terest accrued before the date of purchase. is the difference between the stated redemption When that interest is paid to you, treat it as a receive a Form 1099-OID (Rev. 1-2024), box 1 price at maturity and the issue price. nontaxable return of your capital investment, If you buy a bond between interest payment the instrument is issued for a price that is less Form 1099-OID. You may receive a Form mium.
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-Income in chapter 1 of Pub. 550 for information count on U.S. Treasury obligations.” of these instruments. on reporting the payment. In most cases, you must report the entire The OID accrual rules generally don’t apply amount in Form 1099-OID, boxes 1, 2, and 8 as to short-term obligations (those with a fixed ma-interest income. But see Refiguring OID shown Insurance turity date of 1 year or less from date of issue). on Form 1099-OID , later in this discussion, for See Discount on Short-Term Obligations in more information. rather than as interest income. See Accrued in- fore maturity are presumed to be issued at a terest on bonds under How To Report Interest est”; and box 8 will show any “Original issue dis-discount. Zero coupon bonds are one example All debt instruments that pay no interest be- year”; box 2 will show any “Other periodic inter- will show any “Original issue discount for the
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-ciary of the insured person are usually not taxa- Form 1099-OID not received. If you had OID De minimis OID. You can treat the discount as ble. But if you receive the proceeds in install- Life insurance proceeds paid to you as benefi- chapter 1 of Pub. 550.
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-installment payment as interest income. of the stated redemption price at maturity multi- you may have to figure the correct amount of OID to report on your return. See Pub. 1212 for plied by the number of full years from the date ments, you must usually report a part of each zero if it is less than one-fourth of 1% (0.0025) for the year but didn’t receive a Form 1099-OID,
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-ceeds received in installments, see Pub. 525. of original issue to maturity. This small discount For more information about insurance pro- details on how to figure the correct OID.
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-is known as de minimis OID. Nominee. If someone else is the record
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-Annuity. If you buy an annuity with life insur- holder (the registered owner) of an OID instru-
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-ance proceeds, the annuity payments you re- Example 1. You bought a 10-year bond ment belonging to you and receives a Form ceive are taxed as pension and annuity income with a stated redemption price at maturity of 1099-OID on your behalf, that person must give from a nonqualified plan, not as interest income. $1,000, issued at $980 with OID of $20. you a Form 1099-OID.
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-annuity income from nonqualified plans. Refiguring OID shown on Form 1099-OID. See chapter 5 for information on pension and One-fourth of 1% of $1,000 (stated redemption
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-State or Local Government $25. Because the $20 discount is less than $25, Form 1099-OID, box 1 or box 8 if either of the following applies. the OID is treated as zero. (If you hold the bond Obligations the date of original issue to maturity) equals You may need to refigure the OID shown in price) times 10 (the number of full years from
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-at maturity, you will recognize $20 ($1,000 − • You bought the debt instrument after its $980) of capital gain.) original issue and paid a premium or an ac-
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-Interest on a bond used to finance government quisition premium.
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-operations generally isn’t taxable if the bond is Example 2. The facts are the same as in • The debt instrument is a stripped bond or a issued by a state, the District of Columbia, a ter-Example 1, except that the bond was issued at stripped coupon (including certain zero ritory of the United States, or any of their politi-$950. The OID is $50. Because the $50 dis-coupon instruments). cal subdivisions. count is more than the $25 figured in Exam-See Pub. 1212 and Form 1099-OID for infor-Bonds issued after 1982 by an Indian tribal ple 1, you must include the OID in income as it mation regarding figuring the correct amount of government (including tribal economic develop-accrues over the term of the bond. OID to include on your income tax return. ment bonds issued after February 17, 2009) are
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-not apply to tribal economic development bonds count is reported under the market discount periodic interest that may be shown in Form rules. See Market Discount Bonds in chapter 1 1099-OID, box 2 for that instrument. issued after February 17, 2009. See section of Pub. 550. Certificates of deposit (CDs). A CD is a debt 7871(f). Exceptions to reporting OID as current in- instrument. If you buy a CD with a maturity of For information on federally guaranteed come. The OID rules discussed in this chapter more than 1 year, you must include in income bonds, mortgage revenue bonds, arbitrage don’t apply to the following debt instruments. each year a part of the total interest due and re- bonds, private activity bonds, qualified bonds, 1. Tax-exempt obligations. (However, see and tax credit bonds, including whether interest port it in the same manner as other OID. Stripped tax-exempt obligations under on some of these bonds is taxable, see State or This also applies to similar deposit arrange- ments with banks, building and loan associa- ceeds are to be used in the exercise of any es- mis OID at a premium, the de minimis OID isn’t or acquired it from another holder during the includible in income. If you buy a debt instru- year, see Bonds Sold Between Interest Dates , sential government function. However, the es- ment with de minimis OID at a discount, the dis- earlier, for information about the treatment of sential government function requirement does bonds is generally tax exempt if the bonds are sue. If you buy a debt instrument with de mini- 1099-OID. If you disposed of a debt instrument part of an issue of which substantially all pro-treated as issued by a state. Interest on these Debt instrument bought after original is- Refiguring periodic interest shown on Form
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-Local Government Obligations in chapter 1 of Stripped Bonds and Coupons in chapter 1 Pub. 550. of Pub. 550.) tions, etc., including:
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-Information reporting requirement. If you file 2. U.S. savings bonds. • Time deposits,
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-a tax return, you are required to show any • Bonus plans, 3. Short-term debt instruments (those with a tax-exempt interest you received on your return. fixed maturity date of not more than 1 year • Savings certificates, Tax-exempt interest paid to you will be reported from the date of issue). to you on Form 1099-INT, box 8. This is an infor-• Deferred income certificates, 4. Loans between individuals if all the follow-mation reporting requirement only. It doesn’t • Bonus savings certificates, and change tax-exempt interest to taxable interest. ing are true. • Growth savings certificates. a. The loan is not made in the course of Bearer CDs. CDs issued after 1982 must a trade or business of the lender. generally be in registered form. Bearer CDs are
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-60 Chapter 6 Interest Income Publication 17 (2025) CDs not in registered form. They aren’t issued Coupon bonds. Interest on bearer bonds with from the amounts on Form 1099-INT, box 8 and in the depositor’s name and are transferable detachable coupons is generally taxable in the Form 1099-DIV, box 12.
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-from one individual to another. year the coupon becomes due and payable. It Banks must provide the IRS and the person Don’t report interest from an IRA as
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-redeeming a bearer CD with a Form 1099-INT. doesn’t matter when you mail the coupon for tax-exempt interest. payment. !
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-CAUTION
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-ics, such as market discount bonds. except for interest from U.S. savings bonds and Treasury obligations, is shown in Form Income 1099-INT, box 1. Add this amount to any other When To Report for more information about OID and related top- Form 1099-INT. Your taxable interest income, More information. See chapter 1 of Pub. 550 How To Report Interest
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-Interest Income Generally, you report all your taxable interest in- taxable interest income you received. See the
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-come on Form 1040 or 1040-SR, line 2b. Form 1099-INT Instructions for Recipient if you
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-When to report your interest income depends plete Schedule B (Form 1040), Part I, if you file est income even if you don’t receive a Form on whether you use the cash method or an ac-Form 1040 or 1040-SR and any of the following 1099-INT. Contact your financial institution if crual method to report income. Schedule B (Form 1040). You must com- mium. You must report all of your taxable inter- have interest from a security acquired at a pre-
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-apply. you don’t receive a Form 1099-INT by February
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-Cash method. Most individual taxpayers use 1. Your taxable interest income is more than 15. Your identifying number may be truncated the cash method. If you use this method, you $1,500. on any Form 1099-INT you receive.
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-generally report your interest income in the year If you forfeited interest income because of 2. You are claiming the interest exclusion un- in which you actually or constructively receive it. the early withdrawal of a time deposit, the de- der the Education Savings Bond Program However, there are special rules for reporting ductible amount will be shown on Form (discussed earlier). the discount on certain debt instruments. See 1099-INT, box 2. See Penalty on early with- U.S. Savings Bonds and Original Issue Dis- 3. You received interest from a seller-fi- drawal of savings in chapter 1 of Pub. 550. count (OID) , earlier. nanced mortgage, and the buyer used the Form 1099-INT, box 3 shows the interest in- property as a home. come you received from U.S. savings bonds, Example. On August 31, 2023, you loaned Treasury bills, Treasury notes, and Treasury 4. You received a Form 1099-INT for U.S. another individual $2,000 at 4% interest, com- bonds. Generally, add the amount shown in savings bond interest that includes pounded annually. You aren’t in the business of Form 1099-INT, box 3 to any other taxable inter- amounts you reported in a previous tax lending money. The note stated that principal est income you received. If part of the amount year. and interest would be due on August 30, 2025. shown in Form 1099-INT, box 3 was previously In 2025, you received $2,163.20 ($2,000 princi- 5. You received, as a nominee, interest that included in your interest income, see U.S. sav- pal and $163.20 interest). If you use the cash actually belongs to someone else. ings bond interest previously reported , later. If method, you must include in income on your you acquired the security at a premium, see the 6. You received a Form 1099-INT for interest 2025 return the $163.20 interest you received in Form 1099-INT Instructions for Recipient. on frozen deposits. that year. Form 1099-INT, box 4 will contain an amount 7. You received a Form 1099-INT for interest if you were subject to backup withholding. In- Constructive receipt. You constructively re- on a bond you bought between interest ceive income when it is credited to your account clude the amount from box 4 on Form 1040 or payment dates. or made available to you. You don’t need to 1040-SR, line 25b (federal income tax with- held). have physical possession of it. For example, 8. You are reporting OID in an amount less you are considered to receive interest, divi- than the amount shown on Form Form 1099-INT, box 5 shows investment ex- dends, or other earnings on any deposit or ac- penses. This amount is not deductible. 1099-OID. count in a bank, savings and loan, or similar fi- Form 1099-INT, box 6 shows foreign tax 9. You reduce interest income from bonds by nancial institution, or interest on life insurance paid. You may be able to claim this tax as a de- amortizable bond premium. policy dividends left to accumulate, when they duction or a credit on your Form 1040 or
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-are credited to your account and subject to your 1040-SR. See your tax return instructions. In Part I, line 1, list each payer’s name and the
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-withdrawal. amount received from each. If you received a Form 1099-INT, box 7 shows the foreign
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-You constructively receive income on the de- Form 1099-INT or Form 1099-OID from a bro- country or U.S. territory to which the foreign tax
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-posit or account even if you must: kerage firm, list the brokerage firm as the payer. was paid.
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-Accrual method. If you use an accrual • Make withdrawals in multiples of even The box references discussed below U.S. savings bond interest previously re-amounts; are from the January 2024 revisions of ported. If you received a Form 1099-INT for ! • Give a notice to withdraw before making CAUTION Form 1099-INT and Form 1099-DIV. U.S. savings bond interest, the form may show the withdrawal; Later revisions may have different box referen-interest you don’t have to report. See Form ces. 1099-INT for U.S. savings bonds interest , ear-• Withdraw all or part of the account to with-lier. draw the earnings; or Reporting tax-exempt interest. Total your On Schedule B (Form 1040), Part I, line 1, • Pay a penalty on early withdrawals, unless tax-exempt interest (such as interest or accrued report all the interest shown on your Form the interest you are to receive on an early OID on certain state and municipal bonds, in-1099-INT. Then follow these steps. withdrawal or redemption is substantially cluding zero coupon municipal bonds) reported 1. Several rows above line 2, enter a subtotal less than the interest payable at maturity. on Form 1099-INT, box 8; Form 1099-OID, of all interest listed on line 1. box 11; and exempt-interest dividends from a mutual fund or other regulated investment com-2. Below the subtotal, enter “U.S. Savings method, you report your interest income when pany reported on Form 1099-DIV, box 12. Add Bond Interest Previously Reported” and you earn it, whether or not you have received it. these amounts to any other tax-exempt interest enter amounts previously reported or inter-Interest is earned over the term of the debt in-you received. Report the total on Form 1040 or est accrued before you received the bond. strument. 1040-SR, line 2a. 3. Subtract these amounts from the subtotal Form 1099-INT, box 9, and Form 1099-DIV, Example. If, in the previous example, you and enter the result on line 2. box 13, show the tax-exempt interest subject to use an accrual method, you must include the in-the AMT on Form 6251. These amounts are al-More information. For more information about terest in your income as you earn it. You would ready included in the amounts on Form how to report interest income, see chapter 1 of report the interest as follows: 2023, $26.67; 1099-INT, box 8, and Form 1099-DIV, box 12. Pub. 550 or the instructions for the form you 2024, $81.06; and 2025, $55.47. Don’t add the amounts in Form 1099-INT, box 9 must file.
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-and Form 1099-DIV, box 13 to or subtract them
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-Publication 17 (2025) Chapter 6 Interest Income 61
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-equivalent benefit (SSEB) portion of tier 1 bene- 505 505 Tax Withholding and Estimated Tax
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-7. fits.
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-If you received these benefits during 2025, 519 519 U.S. Tax Guide for Aliens
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-you should have received a Form SSA-1099, 575 575 Pension and Annuity Income Social Security Benefit Statement; or Form
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-Social Security RRB-1099, Payments by the Railroad Retire- 590-A 590-A Contributions to Individual ment Board. These forms show the amounts re- Retirement Arrangements (IRAs)
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-ceived and repaid, and taxes withheld for the
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-and Equivalent year. You may receive more than one of these 915 915 Social Security and Equivalent forms for the same year. You should add the Railroad Retirement Benefits amounts shown on all the Forms SSA-1099 and
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-Railroad Forms RRB-1099 you receive for the year to de- Form (and Instructions) termine the total amounts received and repaid, 1040-ES 1040-ES Estimated Tax for Individuals and taxes withheld for that year. See the Appen-Retirement dix at the end of Pub. 915 for more information. SSA-1099 SSA-1099 Social Security Benefit
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-Benefits Note: When the term “benefits” is used in Statement this chapter, it applies to both social security RRB-1099 RRB-1099 Payments by the Railroad benefits and the SSEB portion of tier 1 railroad Retirement Board retirement benefits.
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-Reminders W-4V W-4V Voluntary Withholding Request my Social Security account. Social security beneficiaries may quickly and easily obtain in-For these and other useful items, go to IRS.gov/ formation from the SSA’s website with a my So-Lines 1a through 1z on Forms 1040 and Forms . cial Security account to: 1040-SR. Line 1 was expanded and there are • lines 1a through 1z. Some amounts that in prior Keep track of your earnings and verify Are Any of Your years were reported on Form 1040, and some them every year, Benefits Taxable? amounts reported on Form 1040-SR, are now • Get an estimate of your future benefits if reported on Schedule 1. you are still working, To find out whether any of your benefits may be • Scholarships and fellowship grants are • Get a letter with proof of your benefits if taxable, compare the base amount (explained now reported on Schedule 1, line 8r. you currently receive them, later) for your filing status with the total of: • Pension or annuity from a nonqualified de-• Change your address, 1. One-half of your benefits; plus ferred compensation plan or a nongovern-• Start or change your direct deposit, mental section 457 plan is now reported on 2. All your other income, including tax-ex-Schedule 1, line 8t. • Get a replacement Medicare card, and empt interest.
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-• Wages earned while incarcerated are now • Get a replacement Form SSA-1099 for the Exclusions. When making this comparison, reported on Schedule 1, line 8u. tax season. don’t reduce your other income by any exclu-
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-Introduction • • Income earned by bona fide residents of Tier 2 benefits. American Samoa or Puerto Rico. • Vested dual benefits. Children’s benefits. The rules in this chapter • Supplemental annuity benefits. apply to benefits received by children. See Who This chapter explains the federal income tax For information on these benefits, see Pub. 575, is taxed , later. rules for social security benefits and equivalent Pension and Annuity Income. tier 1 railroad retirement benefits. It explains the Figuring total income. To figure the total of This chapter doesn’t cover the tax rules for following topics. one-half of your benefits plus your other in- social security benefits reported on Form come, use Worksheet 7-1 , discussed later. If • How to figure whether your benefits are SSA-1042S, Social Security Benefit Statement; the total is more than your base amount, part of taxable. or Form RRB-1042S, Statement for Nonresi- your benefits may be taxable. dent Alien Recipients of Payments by the Rail- • How to report your taxable benefits. If you are married and file a joint return for road Retirement Board. For information about 2025, you and your spouse must combine your • How to use the Social Security Benefits these benefits, see Pub. 519, U.S. Tax Guide for incomes and your benefits to figure whether any Worksheet (with examples). Aliens; and Pub. 915. of your combined benefits are taxable. Even if • Pub. 915, Social Security and Equivalent Rail- What isn’t covered in this chapter. This • Employer-provided adoption benefits, chapter doesn’t cover the tax rules for the fol- road Retirement Benefits, for details. If you are • Interest on education loans, lowing railroad retirement benefits. married filing separately and you lived apart • Foreign earned income or foreign housing, • Non-social security equivalent benefit from your spouse for all of 2025, check the box or (NSSEB) portion of tier 1 benefits. on line 6d. line 6. Line 6c includes a checkbox for go to SSA.gov/myaccount. • Interest from qualified U.S. savings bonds, Lump-Sum Election. See Lump-Sum Election in Form 1040 and 1040-SR have changed For more information and to set up an account, sions for:
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-tirement, survivor, and disability benefits. They Social security benefits include monthly re-Deductions related to your benefits and This chapter also doesn’t cover the tax rules your spouse didn’t receive any benefits, you for foreign social security benefits. These bene-how to treat repayments that are more than must add your spouse’s income to yours to fig-fits are taxable as annuities, unless they are ex-the benefits you received during the year. ure whether any of your benefits are taxable. empt from U.S. tax or treated as a U.S. social security benefit under a tax treaty. If the only income you received during TIP 2025 was your social security or the don’t include Supplemental Security Income SSEB portion of tier 1 railroad retire-(SSI) payments, which aren’t taxable. Useful Items ment benefits, your benefits generally aren’t tax-Equivalent tier 1 railroad retirement benefits You may want to see: able and you probably don’t have to file a return. are the part of tier 1 benefits that a railroad em-If you have income in addition to your benefits, ployee or beneficiary would have been entitled Publication you may have to file a return even if none of to receive under the social security system. 501 501 Dependents, Standard Deduction, your benefits are taxable. See Do I Have To File They are commonly called the social security and Filing Information a Return? in chapter 1, earlier; Pub. 501; or your
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-62 Chapter 7 Social Security and Equivalent Railroad Retirement Publication 17 (2025)
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-Benefits tax return instructions to find out if you have to Example. You are over 65 and are filing a benefits. For example, if you and your child re-file a return. single return for 2025 and you received social ceive benefits, but the check for your child is
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-security benefits during the year. In January made out in your name, you must use only your
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-Base amount. Your base amount is: 2026, you received a Form SSA-1099 showing part of the benefits to see whether any benefits
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-Worksheet 7-1. You can use Worksheet 7-1 to • net benefits of $1,500 in box 5. You also re- are taxable to you. One-half of the part that be- $25,000 if you are single, head of house- ceived a taxable pension of $17,000 and inter- longs to your child must be added to your child’s hold, or qualifying surviving spouse; est income of $700. You didn’t have any tax-ex- other income to see whether any of those bene- • $25,000 if you are married filing separately empt interest income. Your benefits aren’t fits are taxable to your child. and lived apart from your spouse for all of taxable for 2025 because your income, as fig- Repayment of benefits. Any repayment of 2025; ured in Worksheet 7-1, isn’t more than your benefits you made during 2025 must be sub- base amount ($25,000) for single. • $32,000 if you are married filing jointly; or tracted from the gross benefits you received in Even though none of your benefits are taxa- • $0 if you are married filing separately and 2025. It doesn’t matter whether the repayment ble, you must file a return for 2025 because your lived with your spouse at any time during was for a benefit you received in 2025 or in an taxable gross income ($18,450) exceeds the 2025. earlier year. If you repaid more than the gross minimum filing requirement amount for your fil- benefits you received in 2025, see Repayments ing status. More Than Gross Benefits , later. figure the amount of income to compare with Your gross benefits are shown in box 3 of your base amount. This is a quick way to check Filled-in Worksheet 7-1. A Quick Way To Form SSA-1099 or RRB-1099. Your repayments whether some of your benefits may be taxable. Check if Your Benefits May Be Taxable are shown in box 4. The amount in box 5 shows
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-Note: If you plan to file a joint income tax return, your net benefits for 2025 (box 3 minus box 4).
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-Worksheet 7-1. A Quick Way To Check if Your include your spouse's amounts, if any, on lines Use the amount in box 5 to figure whether any
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-Benefits May Be Taxable A, C, and D. of your benefits are taxable.
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-Note: If you plan to file a joint income tax return, Tax withholding and estimated tax. You can A. Enter the total amount from include your spouse's amounts, if any, on lines choose to have federal income tax withheld box 5 of all your Forms A, C, and D. from your social security benefits and/or the SSA-1099 and RRB-1099. SSEB portion of your tier 1 railroad retirement A. Enter the total amount from Include the full amount of benefits. If you choose to do this, you must box 5 of all your Forms any lump-sum benefit complete a Form W-4V. SSA-1099 and RRB-1099. payments received in 2025, If you don’t choose to have income tax with- for 2025 and earlier years. Include the full amount of held, you may have to request additional with- any lump-sum benefit (If you received more than holding from other income or pay estimated tax payments received in 2025, one form, combine the during the year. For details, see chapter 4 , ear- for 2025 and earlier years. amounts from box 5 and lier; Pub. 505; or the Instructions for Form enter the total.) (If you received more than . . . . . . . A. $1,500 1040-ES. one form, combine the Note: If the amount on line A is zero or less,
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-amounts from box 5 and stop here; none of your benefits are taxable this How To Report Your enter the total.) . . . . . . . A. year.
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-Note: If the amount on line A is zero or less, B. Multiply line A by 50% Benefits
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-stop here; none of your benefits are taxable this (0.50) . . . . . . . . . . . . . B. 750
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-year. If part of your benefits are taxable, you must use C. Enter your total income that
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-B. Multiply line A by 50% Form 1040 or 1040-SR. is taxable (excluding line A), (0.50) . . . . . . . . . . . . . B. such as pensions, wages, Reporting on Form 1040 or 1040-SR. Report interest, ordinary dividends,
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-C. Enter your total income that your net benefits (the total amount from box 5 of is taxable (excluding line A), and capital gain all your Forms SSA-1099 and RRB-1099) on distributions. Don’t reduce
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-such as pensions, wages, line 6a and the taxable part on line 6b. If you are
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-interest, ordinary dividends, your income by any married filing separately and you lived apart
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-distributions. Don’t reduce (listed earlier), or on line 6d. exemptions and capital gain deductions, exclusions from your spouse for all of 2025, check the box
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-deductions, Benefits not taxable. Report your net benefits exclusions D. Enter any tax-exempt your income by any . . . . . . . . . . C. 17,700
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-(listed earlier), or (the total amount from box 5 of all your Forms
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-D. Enter any tax-exempt exemptions interest income, such as SSA-1099 and RRB-1099) on Form 1040 or . . . . . . . . . . C. interest on municipal 1040-SR, line 6a. Enter -0- on Form 1040 or bonds . . . . . . . . . . . . D. -0- 1040-SR, line 6b. If you are married filing sepa- interest income, such as E. Add lines B, C, and D . . . E. $18,450 rately and lived apart from your spouse the en- interest on municipal tire year, check the box on line 6d of Form 1040 Note: Compare the amount on line E to your bonds . . . . . . . . . . . . . D. or 1040-SR and see Instructions for Form 1040. base amount for your filing status. If the
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-E. Add lines B, C, and D . . . . E. amount on line E equals or is less than the base
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-Note: Compare the amount on line E to your amount for your filing status, none of your How Much Is Taxable?
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-base amount for your filing status. If the benefits are taxable this year. If the amount on
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-amount on line E equals or is less than the base line E is more than your base amount, some of If part of your benefits are taxable, how much is
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-amount for your filing status, none of your your benefits may be taxable and you will need taxable depends on the total amount of your
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-benefits are taxable this year. If the amount on to complete Worksheet 1 in Pub. 915 (or the benefits and other income. Generally, the higher
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-line E is more than your base amount, some of Social Security Benefits Worksheet in your tax that total amount, the greater the taxable part of
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-
-
-to complete Worksheet 1 in Pub. 915 (or the taxable, but you otherwise must file a tax return, Maximum taxable part. Generally, up to 50% Social Security Benefits Worksheet in your tax your benefits may be taxable and you will need form instructions). If none of your benefits are your benefits.
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-form instructions). If none of your benefits are of your benefits will be taxable. However, up to Report Your Benefits. see Benefits not taxable, later, under How To
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-taxable, but you must otherwise file a tax return,
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-see Benefits not taxable, later, under How To Who is taxed. Benefits are included in the tax-
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-Report Your Benefits. able income (to the extent they are taxable) of
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-the person who has the legal right to receive the
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-
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-Publication 17 (2025) Chapter 7 Social Security and Equivalent Railroad Retirement 63
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-Benefits 85% of your benefits can be taxable if either of Because the earlier year’s taxable ben- Note: If you are married filing separately
-
-
-
-the following situations applies to you. efits are included in your 2025 income, ! and you lived with your spouse at any no adjustment is made to the earlier CAUTION time in 2025, skip lines 9 through 16, • The total of one-half of your benefits and all multiply line 8 by 85% (0.85), and enter year's return. Don’t file an amended return for your other income is more than $34,000 the result on line 17. Then, go to line 18. the earlier year. ($44,000 if you are married filing jointly). 10. Is the amount on line 9 less than the
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-• You are married filing separately and lived amount on line 8? Examples with your spouse at any time during 2025. STOP
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-
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-that worksheet or Worksheet 1 in Pub. 915, un- efits. filing separately and you lived apart from your spouse for all of 2025, check less any of the following situations applies to the box on Form 1040 or 1040-SR, Example 1. You are single and file Form you. line 6d. 1040 for 2025. You received the following in-Yes. Subtract line 9 from line 8 . . . . . 6,980 1. You contributed to a traditional individual come in 2025. 11. Enter $12,000 if married filing jointly; or can use to figure your taxable benefits is in the The following are a few examples you can use 1040-SR, line 6b. If you are married as a guide to figure the taxable part of your ben-Instructions for Form 1040. You can use either Which worksheet to use. A worksheet you taxable. Enter -0- on Form 1040 or No. None of your benefits are
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-
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-retirement arrangement (IRA) and you or $9,000 if single, head of household, your spouse is covered by a retirement Fully taxable pension . . . . . . . . $18,600 qualifying surviving spouse, or married plan at work. In this situation, you must Wages from part-time job . . . . . 9,400 filing separately and you lived apart use the special worksheets in Appendix B Taxable interest income . . . . . . 990 9,000 from your spouse for all of 2025 . . . . . of Pub. 590-A to figure both your IRA de-12. Subtract line 11 from line 10. If zero or $28,990 Total duction and your taxable benefits. . . . . . . . . . . . . . . . . . . less, enter -0-. . . . . . . . . . . . . . .-0-
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-
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-Lump-sum election. You must include the tax-2. Situation 1 doesn’t apply and you take an 13. Enter the smaller of line 10 You also received social security benefits or line 11 . . . . . . . . . . . . . . . . . 6,980 exclusion for interest from qualified U.S. during 2025. The Form SSA-1099 you received 14. Multiply line 13 by 50% (0.50) . . . . . . 3,490 savings bonds (Form 8815), for adoption in January 2026 shows $5,980 in box 5. To fig-15. Enter the smaller of line 2 or line 14 . . 2,990 benefits (Form 8839), for foreign earned ure your taxable benefits, you complete the income or housing (Form 2555), or for in-16. Multiply line 12 by 85% (0.85). If line 12 worksheet shown here. is zero, enter -0-. . . . . . . . . . . . .-0- come earned in American Samoa (Form Filled-in Worksheet 1. 4563) or Puerto Rico by bona fide resi-17. Add lines 15 and 16 . . . . . . . . . . . 2,990 dents. In this situation, you must use Figuring Your Taxable Benefits 18. Multiply line 1 by 85% (0.85) . . . . . . . 5,083 Worksheet 1 in Pub. 915 to figure your tax-19. Taxable benefits. Enter the smaller of able benefits. 1. Enter the total amount from line 17 or line 18. Also enter this amount $2,990 on Form 1040 or 1040-SR, line 6b . . . box 5 of all your Forms 3. You received a lump-sum payment for an SSA-1099 and RRB-1099. Also earlier year. In this situation, also complete enter this amount on Form 1040 The amount on line 19 of your worksheet Worksheet 2 or 3 and Worksheet 4 in Pub. or 1040-SR, line 6a . . . . . . . $5,980 shows that $2,990 of your social security bene-915. See Lump-sum election next. 2. Multiply line 1 by 50% (0.50) . . . . . . . 2,990 fits are taxable. On line 6a of your Form 1040, you enter your net benefits of $5,980. On 3. Combine the amounts from Form 1040 or 1040-SR, lines 1z, 2b, 3b, 4b, 5b, 7a, line 6b, you enter your taxable benefits of able part of a lump-sum (retroactive) payment and 8 . . . . . . . . . . . . . . . . . . . 28,990 $2,990. of benefits received in 2025 in your 2025 in-4. Enter the amount, if any, from Form come, even if the payment includes benefits for 1040 or 1040-SR, line 2a . . . . . . . .-0-Example 2. Casey and Pat Hopkins file a an earlier year. 5. Enter the total of any exclusions/ joint return on Form 1040 for 2025. Casey is re-Check the box on Form 1040, or Form adjustments for: tired and received a fully taxable pension of • TIP 1040-SR, line 6c, if you elect to use the Adoption benefits (Form 8839, $15,500. Casey also received social security
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-lump-sum election method for your line 30), benefits, and Casey’s Form SSA-1099 for 2025
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-benefits. If any of your benefits are taxable for • Foreign earned income or housing shows net benefits of $5,600 in box 5. Pat
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-
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-able to reduce the taxable amount with the Pat’s IRA account of $1,000 and isn’t covered (Form 4563, line 15) or Puerto lump-sum election. See Lump-Sum Election in by a retirement plan at work. Casey and Pat Rico . . . . . . . . . . . . . . . . -0- Pub. 915 for details. have two savings accounts with a total of $250 6. Combine lines 2, 3, 4, and 5 above . . . 31,980 in taxable interest income. They complete 7. Enter the total of the amounts from ment that was for an earlier year, you may be • Certain income of bona fide $14,000. Pat made a deductible payment to residents of American Samoa 2025 and they include a lump-sum benefit pay- (Form 2555, lines 45 and 50), and worked during the year and had wages of
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-
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-SSA and RRB pay to many of their beneficia-TIP This type of lump-sum benefit payment Worksheet 1, shown below, entering $29,750 Schedule 1 (Form 1040), lines 11 shouldn’t be confused with the ($15,500 + $14,000 + $250) on line 3. They find through 20, and 23 and 25 . . . . . . . . -0- lump-sum death benefit that both the none of Casey’s social security benefits are tax- 8. Is the amount on line 7 less than the able. On Form 1040, they enter $5,600 on amount on line 6? ries. No part of the lump-sum death benefit is line 6a and -0- on line 6b. subject to tax. STOP No. None of your social security
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-
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-ure the taxable part of the total benefits re-Generally, you use your 2025 income to fig- benefits are taxable. Enter -0- on Form 1040 or 1040-SR, line 6b. Yes. Subtract line 7 from line 6 . . . . . 31,980 ceived in 2025. However, you may be able to 9. If you are: figure the taxable part of a lump-sum payment • Married filing jointly, enter for an earlier year separately, using your income $32,000; or for the earlier year. You can elect this method if • Single, head of household, it lowers your taxable benefits. qualifying surviving spouse, or
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-Making the election. If you received a married filing separately and you
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-lump-sum benefit payment in 2025 that includes lived apart from your spouse for benefits for one or more earlier years, follow the all of 2025, enter $25,000 25,000 . . . .
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-instructions in Pub. 915 under Lump-Sum Elec-
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-tion to see whether making the election will
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-lower your taxable benefits. That discussion
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-also explains how to make the election.
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-64 Chapter 7 Social Security and Equivalent Railroad Retirement Publication 17 (2025)
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-Benefits
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-Filled-in Worksheet 1. 11. Enter $12,000 if married filing jointly; or Filled-in Worksheet 1.
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-Figuring Your Taxable Benefits $9,000 if single, head of household, Figuring Your Taxable Benefits
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-qualifying surviving spouse, or married
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-1. Enter the total amount from filing separately and you lived apart Before you begin:
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-box 5 of all your Forms from your spouse for all of 2025 . . . . . • If you are married filing separately and you lived SSA-1099 and RRB-1099. Also 12. Subtract line 11 from line 10. If zero or apart from your spouse for all of 2025, check enter this amount on Form 1040 less, enter -0-. . . . . . . . . . . . . . . the box on Form 1040 or 1040-SR, line 6d. or 1040-SR, line 6a . . . . . . . $5,600 13. Enter the smaller of line 10 • Don’t use this worksheet if you repaid benefits
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-
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-2. Multiply line 1 by 50% (0.50) . . . 2,800 or line 11 . . . . . . . . . . . . . . . . . in 2025 and your total repayments (box 4 of 14. Multiply line 13 by 50% (0.50) . . . . . . Forms SSA-1099 and RRB-1099) were more 3. Combine the amounts from Form than your gross benefits for 2025 (box 3 of 1040 or 1040-SR, lines 1z, 2b, 15. Enter the smaller of line 2 or line 14 . . 29,750 3b, 4b, 5b, 7a, and 8 . . . . . . . Forms SSA-1099 and RRB-1099). None of your 16. Multiply line 12 by 85% (0.85). If line 12 benefits are taxable for 2025. For more 4. Enter the amount, if any, from is zero, enter -0-. . . . . . . . . . . . . information, see Repayments More Than Gross Form 1040 or 1040-SR, 17. Add lines 15 and 16 . . . . . . . . . . .-0-line 2a . . . . . . . . . . . . . . . Benefits , later. 18. Multiply line 1 by 85% (0.85) . . . . . . . • If you are filing Form 8815, Exclusion of Interest 19. Taxable benefits. Enter the smaller of 5. Enter the total of any exclusions/ From Series EE and I U.S. Savings Bonds line 17 or line 18. Also enter this amount adjustments for: Issued After 1989, don’t include the amount • Adoption benefits (Form 8839, on Form 1040 or 1040-SR, line 6b . . . from line 2b of Form 1040 or 1040-SR on line 3
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-line 30), of this worksheet. Instead, include the amount
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-• Foreign earned income or housing Example 3. Jamie and Jessie Johnson file from Schedule B (Form 1040), line 2.
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-
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-• (Form 2555, lines 45 and 50), and a joint return on Form 1040 for 2025. Jamie is a 1. Enter the total amount from Certain income of bona fide retired railroad worker and in 2025 received the box 5 of all your Forms residents of American Samoa SSEB portion of tier 1 railroad retirement bene-SSA-1099 and RRB-1099. Also (Form 4563, line 15) or Puerto fits. Jamie’s Form RRB-1099 shows $10,000 in enter this amount on Form 1040 Rico . . . . . . . . . . . . . . . .-0-box 5. Jessie is a retired government worker or 1040-SR, line 6a . . . . . . .$10,000
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-6. Combine lines 2, 3, 4, and 5 and received a fully taxable pension of $38,000. 2. Multiply line 1 by 50% (0.50) . . . . . . . 5,000
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-above . . . . . . . . . . . . . . . 32,550 They had $2,300 in taxable interest income plus 3. Combine the amounts from Form 1040
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-7. Enter the total of the amounts interest of $200 on a qualified U.S. savings or 1040-SR, lines 1z, 2b, 3b, 4b, 5b, 7a,
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-from Schedule 1 (Form 1040), bond. The savings bond interest qualified for 40,500 and 8 . . . . . . . . . . . . . . . . . . . lines 11 through 20, and 23 and the exclusion. They figure their taxable benefits 4. Enter the amount, if any, from Form 25 . . . . . . . . . . . . . . . . . 1,000 by completing Worksheet 1, shown below. Be- 1040 or 1040-SR, line 2a . . . . . . . . -0-
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-
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-8. Is the amount on line 7 less than the cause they have qualified U.S. savings bond in- 5. Enter the total of any exclusions/ amount on line 6? terest, they follow the note at the beginning of adjustments for: the worksheet and use the amount from line 2 of STOP No. None of your social security • Adoption benefits (Form 8839, their Schedule B (Form 1040) on line 3 of the benefits are taxable. Enter -0- on Form line 30), worksheet instead of the amount from line 2b of 1040 or 1040-SR, line 6b. • Foreign earned income or housing their Form 1040. On line 3 of the worksheet, Yes. Subtract line 7 from (Form 2555, lines 45 and 50), and 31,550 they enter $40,500 ($38,000 + $2,500). line 6 . . . . . . . . . . . . . . . • Certain income of bona fide
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-
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-9. If you are: residents of American Samoa • Married filing jointly, enter (Form 4563, line 15) or Puerto -0-Rico
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-$32,000; or . . . . . . . . . . . . . . . .
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-
-
-Note: If you are married filing separately • Single, head of household, 6. Combine lines 2, 3, 4, and 5 above . . . 45,500 qualifying surviving spouse, or 7. Enter the total of the amounts from married filing separately and you Schedule 1 (Form 1040), lines 11 lived apart from your spouse for through 20, and 23 and 25 . . . . . . . .-0-32,000 all of 2025, enter $25,000 . . . . 8. Is the amount on line 7 less than the amount on line 6? and you lived with your spouse at any
-
-
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-10. Is the amount on line 9 less than the the result on line 17. Then, go to line 18. benefits are taxable. Enter -0- on Form 1040 or 1040-SR, line 6b. Yes. Subtract line 7 from line 6 . . . . . 45,500 amount on line 8? multiply line 8 by 85% (0.85), and enter No. None of your social security time in 2025, skip lines 9 through 16, STOP
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-9. If you are:
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-No. STOP • Married filing jointly, enter None of your benefits are
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-taxable. Enter -0- on Form 1040 or $32,000; or 1040-SR, line 6b. If you are married • Single, head of household, filing separately and you lived apart qualifying surviving spouse, or
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-
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-the box on Form 1040 or 1040-SR, lived apart from your spouse for 32,000 all of 2025, enter $25,000 from your spouse for all of 2025, check married filing separately and you line 6d. . . . . Yes. Subtract line 9 from line 8 . . . . .
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-Publication 17 (2025) Chapter 7 Social Security and Equivalent Railroad Retirement 65
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-Benefits
-
-
-
-
-
-Note: If you are married filing separately figure in parentheses) and none of your benefits
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-
-
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-and you lived with your spouse at any will be taxable. Don’t use a worksheet in this 8. time in 2025, skip lines 9 through 16, case. If you receive more than one form, a neg-multiply line 8 by 85% (0.85), and enter ative figure in box 5 of one form is used to offset the result on line 17. Then, go to line 18. a positive figure in box 5 of another form for that
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-
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-10. Is the amount on line 9 less than the same year. Other Income amount on line 8? If you have any questions about this nega-
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-STOP tive figure, contact your local SSA office or your
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-No. None of your benefits are local RRB field office. taxable. Enter -0- on Form 1040 or
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-1040-SR, line 6b. If you are married Joint return. If you and your spouse file a joint What’s New filing separately and you lived apart return, and your Form SSA-1099 or RRB-1099 from your spouse for all of 2025, check has a negative figure in box 5, but your spouse’s
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-
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-line 6d. compensation, you may be able to claim a de- form from the amount in box 5 of your spouse’s Yes. Subtract line 9 from line 8 . . . . . 13,500 duction for qualified overtime compensation. the box on Form 1040 or 1040-SR, No tax on overtime. If you received overtime doesn’t, subtract the amount in box 5 of your
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-form. You do this to get your net benefits when
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-11. Enter $12,000 if married filing jointly; or See Overtime, later. figuring if your combined benefits are taxable.
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-qualifying surviving spouse, or married No tax on tips. If you received tips, you may Example. Ryan and Jordan file a joint re- $9,000 if single, head of household,
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-
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-13. Enter the smaller of line 10 less, enter -0- 1,500 . . . . . . . . . . . . . . . Form SSA-1099 and the amount in box 5 was ($500). Ryan and Jordan will use $2,500 Reminders ($3,000 minus $500) as the amount of their net 12,000 or line 11 . . . . . . . . . . . . . . . . . benefits when figuring if any of their combined 14. Multiply line 13 by 50% (0.50) . . . . . . 6,000 Certain relief payments made to individuals benefits are taxable. 12. Subtract line 11 from line 10. If zero or from your spouse for all of 2025 Tips, later. . . . . . 12,000 showing $3,000 in box 5. Jordan also received filing separately and you lived apart be able to claim a deduction for qualified tips on turn for 2025. Ryan received Form SSA-1099 your tax return. See
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-15. Enter the smaller of line 2 or line 14 . . 5,000 affected by the East Palestine train derail-16. Multiply line 12 by 85% (0.85). If line 12 Repayment of benefits received in an ear- ment are not taxable. If you received relief
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-is zero, enter -0- 1,275 . . . . . . . . . . . . . lier year. If the total amount shown in box 5 of payments from a government agency, Norfolk
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-17. Add lines 15 and 16 . . . . . . . . . . . 6,275 all of your Forms SSA-1099 and RRB-1099 is a Southern Railway, or its subsidiary, insurer, 18. Multiply line 1 by 85% (0.85) negative figure, you may be able to deduct part . . . . . . . 8,500 agent, or a related person due to being affected 19. Taxable benefits. Enter the smaller of of this negative figure that represents benefits by the February 3, 2023, East Palestine, Ohio,
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-line 17 or line 18. Also enter this amount you included in gross income in an earlier year if train derailment, these payments may be non-
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-on Form 1040 or 1040-SR, line 6b the figure is more than $3,000. If the figure is . . . $6,275 taxable. See Pub. 547 for more information.
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-More than 50% of Jamie’s net benefits are Qualified wildfire relief payments are not $3,000 or less, it is a miscellaneous itemized
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-taxable because the income on line 8 of the taxable. If you received a qualified wildfire re- deduction and can no longer be deducted.
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-(See tion is more than $3,000, you should figure your ble. See Pub. 547 for more information. Maximum taxable part under How Much Is tax two ways. worksheet ($45,500) is more than $44,000. Deduction exceeds $3,000. If this deduc- lief payment, those payments may be nontaxa-
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-Taxable, earlier.) Jamie and Jessie enter Temporary allowance of 100% business
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-Form 1040, line 6b. deduction included on Schedule A (Form the Taxpayer Certainty and Disaster Tax Relief 1040), line 16. $10,000 on Form 1040, line 6a; and $6,275 on 1. Figure your tax for 2025 with the itemized meal deduction has expired. Section 210 of
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-Deductions Related to Act of 2020 provided for the temporary allow-
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-Your Benefits steps. food or beverages provided by a restaurant and 2. Figure your tax for 2025 in the following ance of a 100% business meal deduction for
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-a. Figure the tax without the itemized de- before January 1, 2023. paid or incurred after December 31, 2020, and
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-You may be entitled to deduct certain amounts duction included on Schedule A related to the benefits you receive. (Form 1040), line 16. Unemployment compensation. If you re-
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-
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-on your tax return in an earlier year. If you re- a repayment of benefits, refigure your cess your information through your state’s web- taxable benefits as if your total bene- site to get your electronic Form 1099-G. ceived a lump-sum payment from the SSA or fits for the year were reduced by that part of the negative figure. Then refig- RRB, and you had to repay the employer or in- ure the tax for that year. surance company for the disability payments, disability payments from your employer or an in- ments, through the mail, you may need to ac- part of the negative figure represents receive Form 1099-G, Certain Government Pay- surance company that you included as income Disability payments. You may have received b. For each year after 1983 for which ceived unemployment compensation but did not
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-
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-you can take an itemized deduction for the part c. Subtract the total of the refigured tax of the payments you included in gross income Introduction amounts in (b) from the total of your You must include on your return all items of in-in the earlier year. If the amount you repay is actual tax amounts. come you receive in the form of money, prop-more than $3,000, you may be able to claim a erty, and services unless the tax law states that tax credit instead. Claim the deduction or credit d. Subtract the result in (c) from the re-you don’t include them. Some items, however, in the same way explained under Repayment of sult in (a). are only partly excluded from income. This benefits received in an earlier year under Re-Compare the tax figured in methods 1 and 2. chapter discusses many kinds of income and payments More Than Gross Benefits next. Your tax for 2025 is the smaller of the two explains whether they’re taxable or nontaxable.
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-
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-Repayments More Than amounts. If method 1 results in less tax, take • Income that’s taxable must be reported on the itemized deduction on Schedule A (Form your tax return and is subject to tax. 1040), line 16. If method 2 results in less tax, Gross Benefits • Income that’s nontaxable may have to be claim a credit for the amount from step 2c shown on your tax return but isn’t taxable. above on Schedule 3 (Form 1040), line 13z. En- In some situations, your Form SSA-1099 or ter “I.R.C. 1341” on the entry line. If both meth- This chapter begins with discussions of the RRB-1099 will show that the total benefits you ods produce the same tax, deduct the repay- following income items. repaid (box 4) are more than the gross benefits ment on Schedule A (Form 1040), line 16. (box 3) you received. If this occurred, your net • Bartering. benefits in box 5 will be a negative figure (a • Canceled debts.
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-66 Chapter 8 Other Income Publication 17 (2025)
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-• Sales parties at which you’re the host or provide to members, which you can use to pur- ment of your mortgage loan, the amount of the
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-hostess. chase goods or services offered by other mem- discount is canceled debt. You must include the
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-
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-These discussions are followed by brief discus-• bers of the barter club. The club subtracts credit canceled amount in your income. Life insurance proceeds. units from your account when you receive Mortgage relief upon sale or other disposi-• Partnership income. goods or services from other members. You tion. If you’re personally liable for a mortgage must include in your income the value of the • S corporation income. (recourse debt), and you’re relieved of the mort-credit units that are added to your account, • Recoveries (including state income tax re-gage when you dispose of the property, you even though you may not actually receive goods funds). may realize gain or loss up to the fair market or services from other members until a later tax value of the property. Also, to the extent the • Rents from personal property. year. mortgage discharge exceeds the fair market • Repayments. value of the property, it’s income from discharge Example 3. You own a small apartment of indebtedness unless it qualifies for exclusion • Royalties. building. In return for 6 months rent-free use of under Excluded debt , later. Report any income an apartment, an artist gives you a work of art • Unemployment benefits. from discharge of indebtedness on nonbusi-she created. You must report as rental income ness debt that doesn’t qualify for exclusion as • Welfare and other public assistance bene-on Schedule E (Form 1040), Supplemental In-other income on Schedule 1 (Form 1040), fits. come and Loss, the fair market value of the art-line 8c. work, and the artist must report as income on If you aren’t personally liable for a mortgage Schedule C (Form 1040) the fair rental value of sions of other income items. (nonrecourse debt), and you’re relieved of the the apartment. mortgage when you dispose of the property Useful Items Form 1099-B from barter exchange. If you (such as through foreclosure), that relief is inclu-exchanged property or services through a bar-You may want to see: ded in the amount you realize. You may have a ter exchange, Form 1099-B, Proceeds From taxable gain if the amount you realize exceeds Broker and Barter Exchange Transactions, or a your adjusted basis in the property. Report any Publication similar statement from the barter exchange gain on nonbusiness property as a capital gain. 502 502 Medical and Dental Expenses should generally be sent to you by February 15, See Pub. 4681 for more information. 2026 (if it's not a weekend or holiday). It should 504 504 Divorced or Separated Individuals Stockholder debt. If you’re a stockholder in a show the value of cash, property, services, corporation and the corporation cancels or for-credits, or scrip you received from exchanges 523 523 Selling Your Home gives your debt to it, the canceled debt is a con-during 2025. The IRS will also receive a copy of 525 525 Taxable and Nontaxable Income structive distribution that’s generally dividend in-Form 1099-B. come to you. For more information, see Pub. 544 544 Sales and Other Dispositions of Canceled Debts Assets 542, Corporations. If you’re a stockholder in a corporation and
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-For these and other useful items, go to 547 547 Casualties, Disasters, and Thefts you cancel a debt owed to you by the corpora- In most cases, if a debt you owe is canceled or tion, you generally don’t realize income. This is forgiven, other than as a gift or bequest, you 550 550 Investment Income and Expenses because the canceled debt is considered as a must include the canceled amount in your in- 4681 4681 contribution to the capital of the corporation Canceled Debts, Foreclosures, come. You have no income from the canceled equal to the amount of debt principal that you Repossessions, and Abandonments debt if it’s intended as a gift to you. A debt in- canceled. cludes any indebtedness for which you’re liable IRS.gov/ or which attaches to property you hold. Repayment of canceled debt. If you included Forms . a canceled amount in your income and later pay If the debt is a nonbusiness debt, report the the debt, you may be able to file a claim for re- Bartering canceled amount on Schedule 1 (Form 1040), fund for the year the amount was included in in- line 8c. If it’s a business debt, report the amount come. You can file a claim on Form 1040-X, on Schedule C (Form 1040), (or on Schedule F Bartering is an exchange of property or serv- Amended U.S. Individual Income Tax Return, if ices. You must include in your income, at the (Form 1040), Profit or Loss From Farming, if the the statute of limitations for filing a claim is still time received, the fair market value of property debt is farm debt and you’re a farmer). open. The statute of limitations generally
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-or services you receive in bartering. If you ex- doesn’t end until 3 years after the due date of Form 1099-C. If a federal government agency, change services with another person and you your original return. financial institution, or credit union cancels or both have agreed ahead of time on the value of forgives a debt you owe of $600 or more, you the services, that value will be accepted as fair will receive a Form 1099-C, Cancellation of Exceptions market value unless the value can be shown to Debt. The amount of the canceled debt is be otherwise. shown in box 2. There are several exceptions to the inclusion of
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-ule C (Form 1040), Profit or Loss From Busi-Generally, you report this income on Sched- canceled debt in income. These are explained Interest included in canceled debt. If any next. interest is forgiven and included in the amount ness. However, if the barter involves an ex- of canceled debt in box 2, the amount of inter- Student loans. Generally, if you are responsi- change of something other than services, such est will also be shown in box 3. Whether or not ble for making loan payments, and the loan is as in Example 3 below, you may have to use an- you must include the interest portion of the can- canceled or repaid by someone else, you must other form or schedule instead. celed debt in your income depends on whether include the amount that was canceled or paid on your behalf in your gross income for tax pur- the interest would be deductible when you paid Example 1. You’re a self-employed attor- it. See Deductible debt under Exceptions, later. poses. However, in certain circumstances, you ney who performs legal services for a client, a If the interest wouldn’t be deductible (such may be able to exclude amounts from gross in- small corporation. The corporation gives you as interest on a personal loan), include in your come as a result of the cancellation or repay- shares of its stock as payment for your services. income the amount from box 2 of Form 1099-C. ment of certain student loans. These exclusions You must include the fair market value of the If the interest would be deductible (such as on a are for: shares in your income on Schedule C (Form business loan), include in your income the net • Student loan cancellation due to meeting 1040) in the year you receive them. amount of the canceled debt (the amount certain work requirements; shown in box 2 less the interest amount shown Example 2. You’re self-employed and a • Cancellation of certain loans after Decem- in box 3). member of a barter club. The club uses “credit ber 31, 2020, and before January 1, 2026 units” as a means of exchange. It adds credit Discounted mortgage loan. If your financial (see Special rule for student loan units to your account for goods or services you institution offers a discount for the early pay-
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-Publication 17 (2025) Chapter 8 Other Income 67
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-discharges for 2021 through 2025, later); Plan Act of 2021 modified the treatment of stu- action, or any other loan that is secured by or dent loan forgiveness for discharges in 2021 real property or a dwelling.
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-Exclusion for student loan cancellation due • through 2025. Generally, if you are responsible Certain student loan repayment assistance Private educational lender. A private educa-for making loan payments, and the loan is can-programs. tional lender is one of the following. celed or repaid by someone else, you must in-clude the amount that was canceled or paid on • A financial institution that solicits, makes, to meeting certain work requirements. If your behalf in your gross income for tax purpo- or extends private education loans.
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-your student loan is canceled in part or in whole ses. However, in certain circumstances, you • A federal credit union that solicits, makes, in 2025 due to meeting certain work require-may be able to exclude this amount from gross or extends private education loans. ments, you may not have to include the can-income if the loan was one of the following. • Any other person engaged in the business celed debt in your income. To qualify for this • A loan for postsecondary educational ex-work-related exclusion, your loan must have of soliciting, making, or extending private penses. been made by a qualified lender to assist you in education loans. • attending an eligible educational organization A private education loan. The cancellation of your loan won’t described in section 170(b)(1)(A)(ii). In addition, • A loan from an educational organization ! qualify for tax-free treatment if it is can-the cancellation must be pursuant to a provision described in section 170(b)(1)(A)(ii). CAUTION celed because of services you per-in the student loan that all or part of the debt will formed for the private educational lender that • A loan from an organization exempt from be canceled if you work: made the loan or other organization that provi-tax under section 501(a) to refinance a stu-• For a certain period of time, ded the funds. dent loan.
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-• In certain professions, and See Pub. 4681 and Pub. 970 for more informa- Loan from an educational organization de-tion. • For any of a broad class of employers. scribed in section 170(b)(1)(A)(ii). This is
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-tax-exempt section 501(c)(3) organization and CAUTION ! The cancellation of your loan won’t any loan made by the organization if the loan is Loan for postsecondary educational expen- made: qualify for tax-free treatment if it was ses. This is any loan provided expressly for postsecondary education, regardless of made by an educational organization or • As part of an agreement with an entity de- whether provided through the educational or- scribed earlier under which the funds to ganization or directly to the borrower, if such was canceled because of the services you per- make the loan were provided to the educa- loan was made, insured, or guaranteed by one formed for either organization. See Exception , tional organization; or of the following. later. • Under a program of the educational organi- • The United States, or an instrumentality or zation that is designed to encourage its Educational organization described in agency thereof. students to serve in occupations with un- section 170(b)(1)(A)(ii). This is an educa- met needs or in areas with unmet needs • A state or territory of the United States; or tional organization that maintains a regular fac- where the services provided by the stu- the District of Columbia; or any political ulty and curriculum and normally has a regularly dents (or former students) are for or under subdivision thereof. enrolled body of students in attendance at the the direction of a governmental unit or place where it carries on its educational activi- • An eligible educational organization. tax-exempt section 501(c)(3) organization. ties. Eligible educational organization. An eligi- Educational organization described in sec- ble educational organization is generally any Qualified lenders. These include the fol- tion 170(b)(1)(A)(ii). This is an educational accredited public, nonprofit, or proprietary (pri- lowing. organization that maintains a regular faculty and vately owned profit-making) college, university, curriculum and normally has a regularly enrolled 1. The United States, or an instrumentality or vocational school, or other postsecondary edu- body of students in attendance at the place agency thereof. cational organization. Also, the organization where it carries on its educational activities. must be eligible to participate in a student aid 2. A state or territory of the United States; or The cancellation of your loan won’t program administered by the U.S. Department the District of Columbia; or any political qualify for tax-free treatment if it was of Education. subdivision thereof. ! CAUTION made by an educational organization, a An eligible educational organization also in- 3. A public benefit corporation that is tax ex- tax-exempt section 501(c)(3) organization, or a cludes certain educational organizations loca- empt under section 501(c)(3); and that private education lender (as defined in section ted outside the United States that are eligible to has assumed control of a state, county, or 140(a)(7) of the Truth in Lending Act) and was participate in a student aid program adminis- municipal hospital; and whose employees canceled because of the services you per- tered by the U.S. Department of Education. are considered public employees under formed for either such organization or private The educational organization should state law. education lender. See Exception , later. be able to tell you if it is an eligible edu- TIP 4. An educational organization described in cational organization. Section 501(c)(3) organization. This is section 170(b)(1)(A)(ii), if the loan is any corporation, community chest, fund, or made: Private education loan. A private education foundation organized and operated exclusively loan is a loan provided by a private educational a. As part of an agreement with an entity for one or more of the following purposes. lender that: described in (1), (2), or (3) under • Charitable. which the funds to make the loan were • Is not made, insured, or guaranteed under provided to the educational organiza- Title IV of the Higher Education Act of • Religious. tion; or 1965; and • Educational. b. Under a program of the educational • Is issued expressly for postsecondary edu- • Scientific. organization that is designed to en- cational expenses to a borrower, regard- courage its students to serve in occu- less of whether the loan is provided • Literary. pations with unmet needs or in areas through the educational organization that • Testing for public safety. with unmet needs where services pro- the student attends or directly to the bor- • Fostering national or international amateur vided by the students (or former stu- rower from the private educational lender. sports competition (but only if none of its dents) are for or under the direction of A private education loan does not include activities involve providing athletic facilities a governmental unit or a tax-exempt an extension of credit under an open-end or equipment). section 501(c)(3) organization. consumer credit plan, a reverse mortgage
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-Special rule for student loan discharges for transaction, a residential mortgage trans- • The prevention of cruelty to children or ani-
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-2021 through 2025. The American Rescue mals.
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-68 Chapter 8 Other Income Publication 17 (2025)
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-Exception. In most cases, the cancellation Forgiveness of Paycheck Protection Pro- Life Insurance
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-of a student loan made by an educational or- gram (PPP) loans. The forgiveness of a PPP
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-ganization because of services you performed loan creates tax-exempt income, so although Proceeds for that organization or another organization that you don't need to report the income from the provided the funds for the loan must be inclu- forgiveness of your PPP loan on Form 1040 or ded in gross income on your tax return. Life insurance proceeds paid to you because of 1040-SR, you do need to report certain informa-
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-
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-ucational organization or a tax-exempt organi- I.R.B. 835, permits taxpayers to treat tax-ex- paid under an accident or health insurance pol-empt income resulting from the forgiveness of a zation, that loan may also be considered as icy or an endowment contract. However, inter-PPP loan as received or accrued (1) as, and to made by a qualified lender. The refinanced loan est income received as a result of life insurance the extent that, eligible expenses are paid or in-is considered made by a qualified lender if it’s proceeds may be taxable. curred; (2) when you apply for forgiveness of dent loan with another loan from an eligible ed- Revenue Procedure 2021-48, 2021-49 unless the policy was turned over to you for a price. This is true even if the proceeds were Refinanced loan. If you refinanced a stu- tion related to your PPP loan. the death of the insured person aren’t taxable
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-ization that is designed to encourage students made under a program of the refinancing organ- the PPP loan; or (3) when forgiveness of the Proceeds not received in installments. If
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-to serve in occupations with unmet needs or in PPP loan is granted. If you have tax-exempt in- death benefits are paid to you in a lump sum or
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-areas with unmet needs where the services re- come resulting from the forgiveness of a PPP other than at regular intervals, include in your in-
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-quired of the students are for or under the direc- loan, attach a statement to your return reporting come only the benefits that are more than the
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-tion of a governmental unit or a tax-exempt sec- each tax year for which you are applying Reve- amount payable to you at the time of the insured
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-tion 501(c)(3) organization. nue Procedure 2021-48, and which section of person's death. If the benefit payable at death
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-Revenue Procedure 2021-48 you are applying– isn’t specified, you include in your income the
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-Student loan repayment assistance. Stu- either section 3.01(1), (2), or (3). Any statement benefit payments that are more than the present dent loan repayments made to you are tax free should include the following information for value of the payments at the time of death. if you received them for any of the following. each PPP loan.
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-• Proceeds received in installments. If you
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-(NHSC) Loan Repayment Program. you can exclude part of each installment from 2. A statement that you are applying or ap- your income. The National Health Service Corps 1. Your name, address, and ITIN or SSN. receive life insurance proceeds in installments,
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-• A state education loan repayment program plied section 3.01(1), (2), or (3) of Reve-
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-eligible for funds under the Public Health To determine the excluded part, divide the nue Procedure 2021-48, and for what tax
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-• Any other state loan repayment or loan for- ally, the total lump sum payable at the death of 3. The amount of tax-exempt income from the insured person) by the number of install- Service Act. amount held by the insurance company (gener- year. giveness program that is intended to pro- forgiveness of the PPP loan that you are ments to be paid. Include anything over this ex-vide for the increased availability of health treating as received or accrued and for cluded part in your income as interest. services in underserved or health profes-what tax year. sional shortage areas (as determined by Surviving spouse. If your spouse died be-4. Whether forgiveness of the PPP loan has such state).
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-been granted as of the date you file your fore October 23, 1986, and insurance proceeds
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-! on a student loan to the extent pay- are received in installments, you can exclude up ments were made through your partici-You can’t deduct the interest you paid paid to you because of the death of your spouse return.
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-CAUTION Write “RP 2021-48” at the top of your at- to $1,000 a year of the interest included in the pation in any of the above programs. tached statement. installments. If you remarry, you can continue to
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-Deductible debt. You don’t have income from Surrender of policy for cash. If you surren-Host take the exclusion.
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-debt would be deductible. This exception ap- der a life insurance policy for cash, you must in- the cancellation of a debt if your payment of the
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-plies only if you use the cash method of ac- If you host a party or event at which sales are clude in income any proceeds that are more
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-counting. For more information, see chapter 5 of made, any gift or gratuity you receive for giving than the cost of the life insurance policy. In most
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-Pub. 334, Tax Guide for Small Business. the event is a payment for helping a direct seller cases, your cost (or investment in the contract)
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-make sales. You must report this item as in- is the total of premiums that you paid for the life
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-Price reduced after purchase. In most ca- come at its fair market value. insurance policy, less any refunded premiums,
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-ses, if the seller reduces the amount of debt you rebates, dividends, or unrepaid loans that Your out-of-pocket party expenses are sub- owe for property you purchased, you don’t have weren’t included in your income. ject to the 50% limit for meal expenses. For tax income from the reduction. The reduction of the You should receive a Form 1099-R showing years 2018 and after, no deduction is allowed debt is treated as a purchase price adjustment the total proceeds and the taxable part. Report for any expenses related to activities generally and reduces your basis in the property. these amounts on lines 5a and 5b of Form 1040 considered entertainment, amusement, or rec- or 1040-SR. Excluded debt. Don’t include a canceled debt reation. Taxpayers may continue to deduct 50% of the cost of business meals if the taxpayer (or in your gross income in the following situations. More information. For more information, see an employee of the taxpayer) is present and the Life Insurance Proceeds in Pub. 525. • The debt is canceled in a bankruptcy case food or beverages are not considered lavish or under title 11 of the U.S. Code. See Pub. extravagant. The meals may be provided to a 908, Bankruptcy Tax Guide. current or potential business customer, client, Endowment Contract • The debt is canceled when you’re insol- consultant, or similar business contact. Food Proceeds vent. However, you can’t exclude any and beverages that are provided during enter-
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-• amount of canceled debt that’s more than tainment events will not be considered enter- An endowment contract is a policy under which the amount by which you’re insolvent. See tainment if purchased separately from the you’re paid a specified amount of money on a Pub. 908. event. certain date unless you die before that date, in
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-The debt is qualified farm debt and is can- which case the money is paid to your designa- For more information about the limit for meal
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-celed by a qualified person. See chapter 3 ted beneficiary. Endowment proceeds paid in a expenses, see Pub. 463, Travel, Gift, and Car
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-• the proceeds are more than the cost of the pol- The debt is qualified real property business icy. To determine your cost, subtract any of Pub. 225, Farmer's Tax Guide. lump sum to you at maturity are taxable only if Expenses.
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-debt. See chapter 5 of Pub. 334.
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-amount that you previously received under the
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-• The cancellation is intended as a gift. contract and excluded from your income from
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-• the total premiums (or other consideration) paid The debt is qualified principal residence in- for the contract. Include in your income the part debtedness (QPRI).
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-Publication 17 (2025) Chapter 8 Other Income 69 of the lump-sum payment that’s more than your received from a governmental section 401(a) his share of the S corporation's income, losses, cost. plan attributable to the officer’s service. See credits, and deductions.
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-section 101(h).
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-Accelerated Death Keep Schedule K-1 (Form 1120-S) for and totally disabled or killed in the line of duty A public safety officer who’s permanently your records. Don’t attach it to your
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-Benefits RECORDS Form 1040 or 1040-SR unless you’re and a surviving spouse or child can exclude specifically required to do so.
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-from income death or disability benefits re-
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-Certain amounts paid as accelerated death ceived from the federal Bureau of Justice Assis-benefits under a life insurance contract or viati- For more information on S corporations and tance or death benefits paid by a state program.
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-cal settlement before the insured's death are ex- their shareholders, see the Instructions for Form See section 104(a)(6).
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-cluded from income if the insured is terminally 1120-S. For this purpose, the term “public safety offi-
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-ment of any part of the death benefit under a life lance crew members. For more information, see Pub. 559, Survivors, Executors, and Administra- A recovery is a return of an amount you deduc-insurance contract to a viatical settlement pro-tors. ted or took a credit for in an earlier year. The vider. A viatical settlement provider is a person most common recoveries are refunds, reim-Viatical settlement. This is the sale or assign- ers, chaplains, and rescue squad and ambu- Recoveries or chronically ill. cer” includes law enforcement officers, firefight-
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-tracts on the lives of insured individuals who are ized on Schedule A (Form 1040). You may also have recoveries of nonitemized deductions terminally or chronically ill and who meets the A partnership generally isn’t a taxable entity. (such as payments on previously deducted bad requirements of section 101(g)(2)(B) of the In- ing or taking assignment of life insurance con- bursements, and rebates of deductions item- who regularly engages in the business of buy- Partnership Income
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-ternal Revenue Code. debts) and recoveries of items for which you The income, gains, losses, deductions, and
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-credits of a partnership are passed through to
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-Exclusion for terminal illness. Accelerated the partners based on each partner's distribu- previously claimed a tax credit. death benefits are fully excludable if the insured tive share of these items. Tax benefit rule. You must include a recovery
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-is a terminally ill individual. This is a person who in your income in the year you receive it up to Schedule K-1 (Form 1065). Although a part- the amount by which the deduction or credit you has been certified by a physician as having an nership generally pays no tax, it must file an in- took for the recovered amount reduced your tax illness or physical condition that can reasonably formation return on Form 1065, U.S. Return of in the earlier year. For this purpose, any in- be expected to result in death within 24 months Partnership Income, and send Schedule K-1 crease to an amount carried over to the current from the date of the certification. (Form 1065) to each partner. In addition, the year that resulted from the deduction or credit is partnership will send each partner a copy of the Exclusion for chronic illness. If the insured is considered to have reduced your tax in the ear- Partner's Instructions for Schedule K-1 (Form a chronically ill individual who’s not terminally ill, lier year. 1065) to help each partner report his or her accelerated death benefits paid on the basis of share of the partnership's income, deductions, Federal income tax refund. Refunds of fed- costs incurred for qualified long-term care serv- credits, and tax preference items. eral income taxes aren’t included in your in- ices are fully excludable. Accelerated death come because they’re never allowed as a de- benefits paid on a per diem or other periodic ba- Keep Schedule K-1 (Form 1065) for duction from income. sis are excludable up to a limit. For 2025, this your records. Don’t attach it to your
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-limit is $420. It applies to the total of the accel- RECORDS Form 1040 or 1040-SR, unless you’re State tax refund. If you received a state or lo-erated death benefits and any periodic pay- specifically required to do so. cal income tax refund (or credit or offset) in ments received from long-term care insurance 2025, you must generally include it in income if
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-contracts. For information on the limit and the For more information on partnerships, see you deducted the tax in an earlier year. The
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-surance Contracts under Sickness and Injury your spouse each materially participate as the day). The IRS will also receive a copy of the Form 1099-G. If you file Form 1040 or 1040-SR, only members of a jointly owned and operated Benefits in Pub. 525. use the State and Local Income Tax Refund business, and you file a joint return for the tax Worksheet under Instructions for Schedule 1 in Exception. The exclusion doesn’t apply to any long-term care services,” and “long-term care you by January 31 (if it's not a weekend or holi- Qualified joint venture (QJV). If you and insurance contracts,” see Long-Term Care In- definitions of “chronically ill individual,” “qualified Pub. 541, Partnerships. payer should generally send Form 1099-G to
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-amount paid to a person (other than the in- the Instructions for Form 1040 to figure the year, you can make a joint election to be treated
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-sured) who has an insurable interest in the life amount (if any) to include in your income. See as a QJV instead of a partnership. To make this
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-of the insured because the insured: Pub. 525 for when you must use another work- election, you must divide all items of income,
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-• Is a director, officer, or employee of the If you could choose to deduct for a tax year accordance with your respective interests in the person; or either: the business between you and your spouse in sheet. gain, loss, deduction, and credit attributable to
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-• Has a financial interest in the person's the election and which schedule(s) to file, see • venture. For further information on how to make State and local income taxes, or
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-business. the instructions for your individual tax return. • State and local general sales taxes, then
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-other periodic basis, you must file Form 8853, clude in income is limited to the excess of the tax you chose to deduct for that year over the Archer MSAs and Long-Term Care Insurance In most cases, an S corporation doesn’t pay tax tax you didn’t choose to deduct for that year. Contracts, with your return. You don’t have to ated death benefits made on a per diem or the maximum refund that you may have to in- Form 8853. To claim an exclusion for acceler- S Corporation Income
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-file Form 8853 to exclude accelerated death For examples, see Pub. 525. on its income. Instead, the income, losses, de-
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-ductions, and credits of the corporation are
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-benefits paid on the basis of actual expenses passed through to the shareholders based on Mortgage interest refund. If you received a incurred. each shareholder's pro rata share. refund or credit in 2025 of mortgage interest
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-Public Safety Officer Killed Schedule K-1 (Form 1120-S). An S corpora- paid in an earlier year, the amount should be shown in box 4 of Form 1098, Mortgage Interest tion must file a return on Form 1120-S, U.S. In- Statement. Don’t subtract the refund amount or Injured in the Line of come Tax Return for an S Corporation, and from the interest you paid in 2025. You may send Schedule K-1 (Form 1120-S) to each Duty have to include it in your income under the rules shareholder. In addition, the S corporation will explained in the following discussions. send each shareholder a copy of the Share-
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-A spouse, former spouse, and child of a public holder's Instructions for Schedule K-1 (Form Interest on recovery. Interest on any of the safety officer killed in the line of duty can ex- 1120-S) to help each shareholder report her or amounts you recover must be reported as inter-clude from gross income survivor benefits est income in the year received. For example,
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-70 Chapter 8 Other Income Publication 17 (2025) report any interest you received on state or local balance of your recoveries, $525, on Schedule Reporting business income and expenses. income tax refunds on Form 1040, 1040-SR, or 1 (Form 1040), line 8z. If you’re in the business of renting personal
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-1040-NR, line 2b. property, report your income and expenses on Standard deduction for earlier years. To Schedule C (Form 1040). The form instructions
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-Recovery and expense in same year. If the determine if amounts recovered in the current have information on how to complete them. refund or other recovery and the expense occur year must be included in your income, you must in the same year, the recovery reduces the de- know the standard deduction for your filing sta- Reporting nonbusiness income. If you duction or credit and isn’t reported as income. tus for the year the deduction was claimed. aren’t in the business of renting personal prop-
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-Recovery for 2 or more years. If you receive prior years to locate the standard deduction for Look in the instructions for your tax return from erty, report your rental income on Schedule 1
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-you paid in 2 or more separate years, you must Reporting nonbusiness expenses. If you Form 1040-NR, you couldn’t claim the standard allocate, on a pro rata basis, the recovered rent personal property for profit, include your deduction except for certain nonresident aliens amount between the years in which you paid it. a refund or other recovery that’s for amounts the filing status for that prior year. If you filed (Form 1040), line 8l.
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-This allocation is necessary to determine the from India; see Pub. 519. rental expenses in the total amount you enter on Schedule 1 (Form 1040), line 24b, and see the
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-amount of recovery from any earlier years and instructions there. Example. You filed a joint return on Form to determine the amount, if any, of your allowa-If you don’t rent personal property for profit, 1040 for 2024 with taxable income of $45,000. ble deduction for this item for the current year. your deductions are limited and you can’t report Your itemized deductions were $29,450. The For information on how to figure the allocation, a loss to offset other income. See Activities not standard deduction that you could have claimed see Recoveries in Pub. 525. engaged in for profit under Other Income, later. was $29,200. In 2025, you recovered $2,100 of
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-Itemized Deduction your 2024 itemized deductions. None of the re- Repayments coveries were more than the actual deductions
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-Recoveries for 2024. Include $250 of the recoveries in your
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-2025 income. This is the smaller of your recov- If you had to repay an amount that you included
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-If you recover any amount that you deducted in eries ($2,100) or the amount by which your in your income in an earlier year, you may be
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-an earlier year on Schedule A (Form 1040), you itemized deductions were more than the stand- able to deduct the amount repaid from your in-
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-must generally include the full amount of the re- ard deduction ($29,450 − $29,200 = $250). come for the year in which you repaid it. Or, if
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-covery in your income in the year you receive it. the amount you repaid is more than $3,000, you Recovery limited to deduction. You don’t in- may be able to take a credit against your tax for clude in your income any amount of your recov- Where to report. Enter your state or local in- the year in which you repaid it. Generally, you ery that’s more than the amount you deducted come tax refund on Schedule 1 (Form 1040), can claim a deduction or credit only if the repay- in the earlier year. The amount you include in line 1, and the total of all other recoveries as ment qualifies as an expense or loss incurred in your income is limited to the smaller of: other income on Schedule 1 (Form 1040), your trade or business or in a for-profit transac- line 8z. • The amount deducted on Schedule A tion. (Form 1040), or Standard deduction limit. You are generally Type of deduction. The type of deduction • The amount recovered. allowed to claim the standard deduction if you you’re allowed in the year of repayment de- don’t itemize your deductions. Only your item- pends on the type of income you included in the Example. During 2024, you paid $1,700 for ized deductions that are more than your stand- earlier year. You generally deduct the repay- medical expenses. Of this amount, you deduc- ard deduction are subject to the recovery rule ment on the same form or schedule on which ted $200 on your 2024 Schedule A (Form (unless you’re required to itemize your deduc- you previously reported it as income. For exam- 1040). In 2025, you received a $500 reimburse- tions). If your total deductions on the earlier ple, if you reported it as self-employment in- ment from your medical insurance for your 2024 year return weren’t more than your income for come, deduct it as a business expense on expenses. The only amount of the $500 reim- that year, include in your income this year the Schedule C (Form 1040) or Schedule F (Form bursement that must be included in your income lesser of: 1040). If you reported it as a capital gain, de- for 2025 is $200—the amount actually deduc- duct it as a capital loss as explained in the In- • Your recoveries, or ted. structions for Schedule D (Form 1040). If you • The amount by which your itemized deduc- reported it as wages, unemployment compen- Other recoveries. See Recoveries in Pub. tions exceeded the standard deduction. sation, or other nonbusiness income, you may 525 if: be able to deduct it as an other itemized deduc- Example. For 2024, you filed a joint return. • You have recoveries of items other than tion if the amount repaid is over $3,000. Your taxable income was $60,000 and you itemized deductions, or Beginning in 2018, you can no longer weren’t entitled to any tax credits. Your standard • You received a recovery for an item for deduction was $29,200, and you had itemized ! claim any miscellaneous itemized de- which you claimed a tax credit (other than ductions, so if the amount repaid was CAUTION deductions of $30,700. In 2025, you received investment credit or foreign tax credit) in a $3,000 or less, you are not able to deduct it the following recoveries for amounts deducted prior year. from your income in the year you repaid it. on your 2024 return.
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-Repaid social security benefits. If you repaid
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-State and local income tax refund social security benefits or equivalent railroad re- . . . . . . . 400 Property Refund of mortgage interest . . . . . . . . . . 325 tirement benefits, see Repayment of benefits in chapter 7. If you rent out personal property, such as equip- Medical expenses . . . . . . . . . . . . . . . $200 Rents From Personal
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-Total recoveries . . . . . . . . . . . . . . . . $925 ment or vehicles, how you report your income Repayment over $3,000. If the amount you
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-tween the state and local income tax you de- ness, and cluded the income under a claim of right. This ducted and your local general sales tax was • Whether or not the rental activity is con-means that at the time you included the income, more than $400. ducted for profit. it appeared that you had an unrestricted right to Your total recoveries are less than the it. However, you can choose to take a credit for ductions taken for 2024. The difference be- the repayment as an other itemized deduction • Whether or not the rental activity is a busi- on Schedule A (Form 1040), line 16, if you in- None of the recoveries were more than the de- and expenses is in most cases determined by: repaid was more than $3,000, you can deduct
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-$29,200 = $1,500), so you must include your to- both methods and compare the results. Use the activity with continuity and regularity, your rental method (deduction or credit) that results in less tal recoveries in your income for 2025. Report activity is a business. tax. the state and local income tax refund of $400 ceeded the standard deduction ($30,700 − the year of repayment. Figure your tax under come or profit and you’re involved in the rental amount by which your itemized deductions ex- In most cases, if your primary purpose is in-
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-on Schedule 1 (Form 1040), line 1, and the
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-Publication 17 (2025) Chapter 8 Other Income 71
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-! you repaid was more or less than are in business as a self-employed writer, inven-When determining whether the amount hold an operating oil, gas, or mineral interest or Unemployment
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-CAUTION $3,000, consider the total amount be- tor, artist, etc., report your income and expen- Benefits ing repaid on the return. Each instance of re- ses on Schedule C (Form 1040).
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-payment isn’t considered separately. Copyrights and patents. Royalties from copy- The tax treatment of unemployment benefits rights on literary, musical, or artistic works, and you receive depends on the type of program Method 1. Figure your tax for 2025 claiming similar property, or from patents on inventions, paying the benefits. a deduction for the repaid amount. If you deduct are amounts paid to you for the right to use your it as an other itemized deduction, enter it on Unemployment compensation. You must in-work over a specified period of time. Royalties Schedule A (Form 1040), line 16. clude in income all unemployment compensa-are generally based on the number of units tion you receive. You should receive a Form Method 2. Figure your tax for 2025 claiming sold, such as the number of books, tickets to a 1099-G showing in box 1 the total unemploy-a credit for the repaid amount. Follow these performance, or machines sold. ment compensation paid to you. In most cases, steps. Name, image, likeness (NIL). NIL is a term you enter unemployment compensation on 1. Figure your tax for 2025 without deducting that describes the means through which stu-Schedule 1 (Form 1040), line 7. the repaid amount. dent-athletes are allowed to receive financial If you received unemployment com-compensation. NIL refers to the use of a stu-2. Refigure your tax from the earlier year pensation but did not receive Form dent-athlete's name, image, or likeness for com-! without including in income the amount CAUTION 1099-G through the mail, you may mercial purposes through marketing and pro-you repaid in 2025. need to access your information through your motional endeavors. This can include such state’s website to get your electronic Form 3. Subtract the tax in (2) from the tax shown things as autograph signings, product endorse-1099-G. on your return for the earlier year. This is ments, licensing and merchandising agree-ments, participating in advertising campaigns, the credit. social media posts, teaching camps or lessons, Types of unemployment compensation. 4. Subtract the answer in (3) from the tax for and more. Unemployment compensation generally in-2025 figured without the deduction (step cludes any amount received under an unem-1). Oil, gas, and minerals. Royalty income from ployment compensation law of the United oil, gas, and mineral properties is the amount If method 1 results in less tax, deduct the States or of a state. It includes the following you receive when natural resources are extrac-amount repaid. If method 2 results in less tax, benefits. ted from your property. The royalties are based claim the credit figured in (3) above on Sched-on units, such as barrels, tons, etc., and are • Benefits paid by a state or the District of ule 3 (Form 1040), line 13b, by adding the paid to you by a person or company that leases Columbia from the Federal Unemployment amount of the credit to any other credits on this the property from you. Trust Fund. line, and see the instructions there. • State unemployment insurance benefits. An example of this computation can be Depletion. If you’re the owner of an eco-found in Pub. 525. nomic interest in mineral deposits or oil and gas • Railroad unemployment compensation
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-and Medicare taxes. If you had to repay an the depletion allowance. • Disability payments from a government amount that you included in your wages or com-Repaid wages subject to social security wells, you can recover your investment through benefits.
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-Coal and iron ore. Under certain circum- program paid as a substitute for unemploy-
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-pensation in an earlier year on which social se- ment compensation. (Amounts received as stances, you can treat amounts you receive
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-curity, Medicare, or tier 1 RRTA tax was paid, from the disposal of coal and iron ore as pay- workers' compensation for injuries or ill-ask your employer to refund the excess amount ments from the sale of a capital asset, rather ness aren’t unemployment compensation.
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-taxes, ask for a statement indicating the amount gain or loss from the sale of coal and iron ore, • Trade readjustment allowances under the of the overcollection to support your claim. File see chapter 2 of Pub. 544. to you. If the employer refuses to refund the than as royalty income. For information about See chapter 5 for more information.) a claim for refund using Form 843, Claim for Re- Trade Act of 1974. fund and Request for Abatement. Sale of property interest. If you sell your • Unemployment assistance under the Dis-Repaid wages subject to Additional Medi- complete interest in oil, gas, or mineral rights, aster Relief and Emergency Assistance
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-care Tax. Employers can’t make an adjust- the amount you receive is considered payment Act.
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-ment or file a claim for refund for Additional for the sale of property used in a trade or busi- • Unemployment assistance under the Air- ness under section 1231, not royalty income. line Deregulation Act of 1978 Program. Medicare Tax withholding when there is a re- Under certain circumstances, the sale is subject payment of wages received by an employee in a to capital gain or loss treatment as explained in prior year because the employee determines li- the Instructions for Schedule D (Form 1040). ability for Additional Medicare Tax on the em- For more information on selling section 1231 Governmental program. If you contribute ployee's income tax return for the prior year. If to a governmental unemployment compensa- property, see chapter 3 of Pub. 544. you had to repay an amount that you included in tion program and your contributions aren’t de- If you retain a royalty, an overriding royalty, your wages or compensation in an earlier year, ductible, amounts you receive under the pro- or a net profit interest in a mineral property for and on which Additional Medicare Tax was the life of the property, you have made a lease gram aren’t included as unemployment paid, you may be able to recover the Additional compensation until you recover your contribu- or a sublease, and any cash you receive for the Medicare Tax paid on the amount. To recover tions. If you deducted all of your contributions to assignment of other interests in the property is Additional Medicare Tax on the repaid wages or the program, the entire amount you receive un- ordinary income subject to a depletion allow- compensation, you must file Form 1040-X for ance. der the program is included in your income. the prior year in which the wages or compensa-
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-tion was originally received. See the Instruc- Part of future production sold. If you own Repayment of unemployment compensa-tions for Form 1040-X. mineral property but sell part of the future pro- tion. If you repaid in 2025 unemployment com-
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-Royalties duction, in most cases, you treat the money you pensation you received in 2025, subtract the
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-receive from the buyer at the time of the sale as amount you repaid from the total amount you re-
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-a loan from the buyer. Don’t include it in your in- ceived and enter the difference on Schedule 1
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-Royalties from copyrights, patents, and oil, gas, come or take depletion based on it. (Form 1040), line 7. On the dotted line next to
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-and mineral properties are taxable as ordinary When production begins, you include all the your entry, enter “Repaid” and the amount you
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-income. proceeds in your income, deduct all the produc- repaid. If you repaid unemployment compensa-
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-tion expenses, and deduct depletion from that tion in 2025 that you included in income in an
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-In most cases, you report royalties in Part I amount to arrive at your taxable income from earlier year, you can deduct the amount repaid
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-of Schedule E (Form 1040). However, if you the property.
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-72 Chapter 8 Other Income Publication 17 (2025) on Schedule A (Form 1040), line 16, if you item- made by the state to its employees who aren’t 2. To reimburse or pay reasonable and nec-ize deductions and the amount is more than covered by the state's unemployment compen- essary expenses incurred for the repair or
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-$3,000. See Repayments, earlier. sation law. Although the payments are fully tax- rehabilitation of your home or repair or re-
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-able, don’t report them as unemployment com- placement of its contents to the extent it’s
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-tax. If you don’t pay enough tax, either through CAUTION ! If you don’t choose to have tax withheld 4. By a federal, state, or local government; from your unemployment compensa- agency; or instrumentality in connection tion, you may be liable for estimated Don’t include in your income governmental ben- with a qualified disaster in order to pro- efit payments from a public welfare fund based mote the general welfare. withholding or estimated tax, or a combination upon need, such as payments to blind individu- of both, you may have to pay a penalty. For You can exclude this amount only to the extent als under a state public assistance law. Pay- more information on estimated tax, see chap- any expense it pays for isn’t paid for by insur- ments from a state fund for the victims of crime ter 4 . ance or otherwise. The exclusion doesn’t apply shouldn’t be included in the victims' incomes if if you were a participant or conspirator in a ter- they’re in the nature of welfare payments. Don’t Supplemental unemployment benefits. rorist action or a representative of one. deduct medical expenses that are reimbursed Benefits received from an employer-financed by such a fund. You must include in your income A qualified disaster is: fund (to which the employees didn’t contribute) any welfare payments that are compensation for • A disaster that results from a terrorist or aren’t unemployment compensation. They are services or that are obtained fraudulently. complete Form W-4V, Voluntary Withholding sale of transportation as a common carrier Welfare and Other because of the death or personal physical Request, and give it to the paying office. Tax will injuries incurred as a result of a qualified be withheld at 10% of your payment. Public Assistance disaster; or Benefits federal income tax withheld from your unem- 1 (Form 1040), line 8z. 3. By a person engaged in the furnishing or ployment compensation. To make this choice, Tax withholding. You can choose to have pensation. Report these payments on Schedule due to a qualified disaster;
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-taxable as wages. For more information, see military action; Supplemental Unemployment Compensation Reemployment Trade Adjustment Assis- • A federally declared disaster; or
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-Benefits in section 5 of Pub. 15-A, Employer's tance (RTAA) payments. RTAA payments re- • A disaster that results from an accident in-Supplemental Tax Guide. Report these pay-ceived from a state must be included in your in-volving a common carrier, or from any ments on line 1a of Form 1040 or 1040-SR. come. The state must send you Form 1099-G to other event, that is determined to be cata-advise you of the amount you should include in strophic by the Secretary of the Treasury or Repayment of benefits. You may have to income. The amount should be reported on his or her delegate. repay some of your supplemental unemploy-Schedule 1 (Form 1040), line 8z. For amounts paid under item (4) above, a ment benefits to qualify for trade readjustment Persons with disabilities. If you have a disa-allowances under the Trade Act of 1974. If you disaster is qualified if it’s determined by an ap-bility, you must include in income compensation repay supplemental unemployment benefits in plicable federal, state, or local authority to war-you receive for services you perform unless the the same year you receive them, reduce the to-rant assistance from the federal, state, or local compensation is otherwise excluded. However, tal benefits by the amount you repay. If you re-government, agency, or instrumentality. you don’t include in income the value of goods, pay the benefits in a later year, you must include services, and cash that you receive, not in re-Disaster mitigation payments. You can ex-the full amount of the benefits received in your turn for your services, but for your training and clude from income any amount you receive income for the year you received them. rehabilitation because you have a disability. Ex-that’s a qualified disaster mitigation payment. Deduct the repayment in the later year as an cludable amounts include payments for trans-Qualified disaster mitigation payments are most adjustment to gross income on Form 1040 or portation and attendant care, such as inter-commonly paid to you in the period immediately 1040-SR. Include the repayment on Schedule 1 preter services for the deaf, reader services for following damage to property as a result of a (Form 1040), line 24e, and see the instructions the blind, and services to help individuals with natural disaster. However, disaster mitigation there. If the amount you repay in a later year is an intellectual disability do their work. payments are used to mitigate (reduce the se-more than $3,000, you may be able to take a verity of) potential damage from future natural credit against your tax for the later year instead Disaster relief grants. Don’t include post-dis-disasters. They’re paid to you through state and of deducting the amount repaid. For more infor-aster grants received under the Robert T. Staf-local governments based on the provisions of mation on this, see Repayments , earlier. ford Disaster Relief and Emergency Assistance the Robert T. Stafford Disaster Relief and Emer-Act in your income if the grant payments are Private unemployment fund. Unemployment gency Assistance Act or the National Flood In-made to help you meet necessary expenses or benefit payments from a private (nonunion) fund surance Act. serious needs for medical, dental, housing, per-to which you voluntarily contribute are taxable You can’t increase the basis or adjusted ba-sonal property, transportation, childcare, or fu-only if the amounts you receive are more than sis of your property for improvements made with neral expenses. Don’t deduct casualty losses or your total payments into the fund. Report the nontaxable disaster mitigation payments. medical expenses that are specifically reim-taxable amount on Schedule 1 (Form 1040), bursed by these disaster relief grants. If you Mortgage assistance payments under sec-line 8z. have deducted a casualty loss for the loss of tion 235 of the National Housing Act. Pay-Payments by a union. Benefits paid to you as your personal residence and you later receive a ments made under section 235 of the National an unemployed member of a union from regular disaster relief grant for the loss of the same resi- Housing Act for mortgage assistance aren’t in-union dues are included in your income on dence, you may have to include part or all of the cluded in the homeowner's income. Interest
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-Schedule 1 (Form 1040), line 8z. However, if grant in your taxable income. See Recoveries, paid for the homeowner under the mortgage as-you contribute to a special union fund and your earlier. Unemployment assistance payments sistance program can’t be deducted.
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-are includible in your income only to the extent pensation. See Unemployment compensation tle XVIII of the Social Security Act aren’t includi- under Unemployment Benefits, earlier. ble in the gross income of the individuals for employment benefits you receive from the fund Medicare. Medicare benefits received under ti- payments to the fund aren’t deductible, the un- under the Act are taxable unemployment com-
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-they’re more than your contributions.
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-Disaster relief payments. You can exclude whom they’re paid. This includes basic (Part A
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-Guaranteed annual wage. Payments you re- from income any amount you receive that’s a (Hospital Insurance Benefits for the Aged)) and ceive from your employer during periods of un- qualified disaster relief payment. A qualified dis- supplementary (Part B (Supplementary Medical employment, under a union agreement that aster relief payment is an amount paid to you: Insurance Benefits for the Aged)).
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-guarantees you full pay during the year, are tax- 1. To reimburse or pay reasonable and nec- Social security benefits (including able as wages. Include them on line 1a of Form essary personal, family, living, or funeral lump-sum payments attributable to prior 1040 or 1040-SR. expenses that result from a qualified dis-years), Supplemental Security Income (SSI) State employees. Payments similar to a aster; benefits, and lump-sum death benefits. The state's unemployment compensation may be Social Security Administration (SSA) provides
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-Publication 17 (2025) Chapter 8 Other Income 73 benefits such as old-age benefits, benefits to Don’t include alimony payments you re- 5. Damages for:
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-disabled workers, and benefits to spouses and ceive under a divorce or separation ! a. Patent or copyright infringement, dependents. These benefits may be subject to CAUTION agreement (1) executed after 2018 or federal income tax depending on your filing sta- (2) executed before 2019 but later modified if b. Breach of contract, or
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-tus and other income. See chapter 7 in this pub- the modification expressly states the repeal of c. Interference with business operations. lication and Pub. 915, Social Security and the deduction for alimony payments applies to Equivalent Railroad Retirement Benefits, for the modification. 6. Back pay and damages for emotional dis-more information. An individual originally denied tress received to satisfy a claim under title
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-lump-sum payment for the period when benefits income. 7. Attorney fees and costs (including contin-were denied (which may be prior years). See benefits, but later approved, may receive a Bribes. If you receive a bribe, include it in your VII of the Civil Rights Act of 1964. Pub. 915 for information on how to make a Campaign contributions. These contributions gent fees) where the underlying recovery
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-lump-sum election, which may reduce your tax aren’t income to a candidate unless they’re di- is included in gross income.
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-liability. There are also other types of benefits verted to her or his personal use. To be nontax- 8. Attorney fees and costs relating to whistle-able, the contributions must be spent for cam-paid by the SSA. However, SSI benefits and blower awards where the underlying re-paign purposes or kept in a fund for use in lump-sum death benefits (one-time payment to covery is included in gross income. future campaigns. However, interest earned on spouse and children of deceased) aren’t sub-bank deposits, dividends received on contrib-Don’t include in your income compensatory ject to federal income tax. For more information uted securities, and net gains realized on sales damages for personal physical injury or physical on these benefits, go to SSA.gov . of contributed securities are taxable and must sickness (whether received in a lump sum or in-Nutrition Program for the Elderly. Food ben-be reported on Form 1120-POL, U.S. Income stallments). efits you receive under the Nutrition Program for Tax Return for Certain Political Organizations. the Elderly aren’t taxable. If you prepare and Excess campaign funds transferred to an office Emotional distress. Emotional distress it-serve free meals for the program, include in account must be included in the officeholder's self isn’t a physical injury or physical sickness, your income as wages the cash pay you re- income on Schedule 1 (Form 1040), line 8z, in but damages you receive for emotional distress ceive, even if you’re also eligible for food bene- the year transferred. due to a physical injury or sickness are treated
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-fits. as received for the physical injury or sickness. Carpools. Don’t include in your income Don’t include them in your income. Payments to reduce cost of winter energy. amounts you receive from the passengers for If the emotional distress is due to a personal Payments made by a state to qualified people to driving a car in a carpool to and from work. injury that isn’t due to a physical injury or sick- reduce their cost of winter energy use aren’t These amounts are considered reimbursement ness (for example, employment discrimination taxable. for your expenses. However, this rule doesn’t or injury to reputation), you must include the apply if you have developed carpool arrange- damages in your income, except for any dam- Other Income ments into a profit-making business of trans- ages that aren’t more than amounts paid for porting workers for hire. medical care due to that emotional distress.
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-The following brief discussions are arranged in Cash rebates. A cash rebate you receive from Emotional distress includes physical symptoms alphabetical order. Other income items briefly a dealer or manufacturer of an item you buy that result from emotional distress, such as discussed below can be found in other publica- isn’t income, but you must reduce your basis by headaches, insomnia, and stomach disorders.
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-tions that provide more topical information. the amount of the rebate. Credit card insurance. In most cases, if you
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-Activities not engaged in for profit. You receive benefits under a credit card disability or Example. You buy a new car for $24,000 must include on your return income from an ac- unemployment insurance plan, the benefits are cash and receive a $2,000 rebate check from tivity from which you don’t expect to make a taxable to you. These plans make the minimum the manufacturer. The $2,000 isn’t income to profit. An example of this type of activity is a monthly payment on your credit card account if you. Your basis in the car is $22,000. This is the hobby or a farm you operate mostly for recrea- you can’t make the payment due to injury, ill- basis on which you figure gain or loss if you sell tion and pleasure. Enter this income on Sched- ness, disability, or unemployment. Report on the car and depreciation if you use it for busi- ule 1 (Form 1040), line 8j. Deductions for ex- Schedule 1 (Form 1040), line 8z, the amount of ness. penses related to the activity are limited. They benefits you received during the year that’s
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-can’t total more than the income you report and Casualty insurance and other reimburse- more than the amount of the premiums you paid can be taken only if you itemize deductions on ments. You generally shouldn’t report these re- during the year.
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-Schedule A (Form 1040). imbursements on your return unless you’re fig-uring gain or loss from the casualty or theft. See Down payment assistance. If you purchase a
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-Alaska Permanent Fund dividend. If you re- home and receive assistance from a nonprofit Pub. 547 for more information. ceived a payment from Alaska's mineral income corporation to make the down payment, that as-
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-fund (Alaska Permanent Fund dividend), report Child support payments. You shouldn’t re- sistance isn’t included in your income. If the cor-it as income on Schedule 1 (Form 1040), port these payments on your return. See Pub. poration qualifies as a tax-exempt charitable or-line 8g. The 2024 Alaska Permanent Fund divi- 504 for more information. ganization, the assistance is treated as a gift
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-relief payment portion of the 2024 Alaska Per- price and isn’t included in your basis. you must consider the item that the settlement manent Fund dividend payment; the entire replaces. The character of the income as ordi-Employment agency fees. If you get a job $1,702 Alaska Permanent Fund dividend pay-nary income or capital gain depends on the na-through an employment agency, and the fee is ment for 2024 is taxable for federal income tax ture of the underlying claim. Include the follow-paid by your employer, the fee isn’t includible in purposes. The state of Alaska sends each re-ing as ordinary income. your income if you aren’t liable for it. However, if cipient a document that shows the amount of not reduce the amount on line 8g by the energy settlement amounts you receive by compromise corporation doesn’t qualify, the assistance is treated as a rebate or reduction of the purchase or judgment must be included in your income, ment as part of the total dividend payment. Do Court awards and damages. To determine if dend payment included an energy relief pay- and is included in your basis of the house. If the
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-the payment with the check. The amount is also you pay it and your employer reimburses you for 1. Interest on any award. it, it’s includible in your income. reported to the IRS. 2. Compensation for lost wages or lost profits Energy conservation subsidies. You can ex- Alimony. Include in your income on Schedule in most cases. clude from gross income any subsidy provided, 1 (Form 1040), line 2a, any taxable alimony pay- 3. Punitive damages, in most cases. It either directly or indirectly, by public utilities for ments you receive. Amounts you receive for doesn’t matter if they relate to a physical the purchase or installation of an energy con- child support aren’t income to you. Alimony and injury or physical sickness. servation measure for a dwelling unit. child support payments are discussed in Pub.
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-504. 4. Amounts received in settlement of pension Energy conservation measure. This in-rights (if you didn’t contribute to the plan). cludes installations or modifications that are
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-74 Chapter 8 Other Income Publication 17 (2025) primarily designed to reduce consumption of tion you were in before the loss, the payment a. An agency of a state or one of its polit-electricity or natural gas, or improve the man- isn’t includible in your income. ical subdivisions, or agement of energy demand.
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-Fees for services. Include all fees for your b. A qualified foster care placement
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-apartment, condominium, mobile home, boat, fees are amounts you receive for services you Difficulty-of-care payments. These are or similar property. If a building or structure con-Dwelling unit. This includes a house, services in your income. Examples of these agency. perform as:
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-must be properly allocated. that’s required for physically, mentally, or emo- • An executor, administrator, or personal Estate and trust income. An estate or trust, tionally handicapped qualified foster individuals. representative of an estate; unlike a partnership, may have to pay federal in- tains both dwelling and other units, any subsidy • A corporate director; compensation for providing the additional care payments that are designated by the payer as
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-come tax. If you’re a beneficiary of an estate or A manager of a trade or business you op-• A state must determine that this compensation
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-trust, you may be taxed on your share of its in- erated before declaring chapter 11 bank- is needed, and the care for which the payments come distributed or required to be distributed to ruptcy; are made must be provided in the foster care provider's home in which the qualified foster in-
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-tates and trusts file their returns on Form 1041, Certain Medicaid waiver payments are trea- • An election precinct official. U.S. Income Tax Return for Estates and Trusts, ted as difficulty-of-care payments when re- ceived by an individual care provider for caring you. However, there is never a double tax. Es- • A notary public; or dividual was placed.
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-and your share of the income is reported to you Nonemployee compensation. If you aren’t on Schedule K-1 (Form 1041). for an eligible individual living in the provider's an employee and the fees for your services from
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-Current income required to be distrib- a single payer in the course of the payer's trade home. See Notice 2014-7, available at
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-uted. If you’re the beneficiary of an estate or or business total $600 or more for the year, the IRS.gov/irb/2014-04_IRB#NOT-2014-7; and re-
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-trust that must distribute all of its current in- payer should send you a Form 1099-NEC. You lated questions and answers, available at
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-come, you must report your share of the distrib- may need to report your fees as self-employ- IRS.gov/Individuals/Certain-Medicaid-Waiver-
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-utable net income, whether or not you actually ment income. See Self-Employed Persons in Payments-May-Be-Excludable-From-Income,
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-received it. chapter 1 for a discussion of when you’re con- for more information.
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-Current income not required to be dis- culty-of-care payments to the extent they’re re- Corporate director. Corporate director fees sidered self-employed. You must include in your income diffi-
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-tributed. If you’re the beneficiary of an estate ceived for more than: are self-employment income. Report these pay-or trust and the fiduciary has the choice of • 10 qualified foster individuals under age ments on Schedule C (Form 1040). whether to distribute all or part of the current in-19, or
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-come, you must report: Personal representatives. All personal • 5 qualified foster individuals age 19 or • representatives must include in their gross in-All income that’s required to be distributed older. come fees paid to them from an estate. If you
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-to you, whether or not it’s actually distrib-
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-uted, plus aren’t in the trade or business of being an exec- Maintaining space in home. If you’re paid
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-• All other amounts actually paid or credited friend's or relative's estate), report these fees on utor (for instance, you’re the executor of a to maintain space in your home for emergency
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-foster care, you must include the payment in
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-to you, Schedule 1 (Form 1040), line 8z. If you’re in the your income.
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-up to the amount of your share of distributable trade or business of being an executor, report Reporting taxable payments. If you re-net income. these fees as self-employment income on ceive payments that you must include in your in-Schedule C (Form 1040). The fee isn’t includi-come and you’re in business as a foster care How to report. Treat each item of income ble in income if it’s waived. provider, report the payments on Schedule C the same way that the estate or trust would treat Manager of trade or business for bank-it. For example, if a trust's dividend income is (Form 1040). See Pub. 587, Business Use of ruptcy estate. Include in your income all pay-distributed to you, you report the distribution as Your Home, to help you determine the amount you can deduct for the use of your home. dividend income on your return. The same rule ments received from your bankruptcy estate for managing or operating a trade or business that applies to distributions of tax-exempt interest Found property. If you find and keep property and capital gains. you operated before you filed for bankruptcy. that doesn’t belong to you that has been lost or The fiduciary of the estate or trust must tell Report this income on Schedule 1 (Form 1040), abandoned (treasure trove), it’s taxable to you you the type of items making up your share of line 8z. at its fair market value in the first year it’s your the estate or trust income and any credits you’re undisputed possession. Notary public. Report payments for these allowed on your individual income tax return. services on Schedule C (Form 1040). These Free tour. If you received a free tour from a Losses. Losses of estates and trusts gener-payments aren’t subject to self-employment tax. travel agency for organizing a group of tourists, ally aren’t deductible by the beneficiaries. See the separate Instructions for Schedule SE you must include its value in your income. Re-(Form 1040) for details. port the fair market value of the tour on Sched-Grantor trust. Income earned by a grantor ule 1 (Form 1040), line 8z, if you aren’t in the trust is taxable to the grantor, not the benefi-Election precinct official. You should re-trade or business of organizing tours. You can’t ciary, if the grantor keeps certain control over ceive a Form W-2 showing payments for serv-deduct your expenses in serving as the volun-the trust. (The grantor is the one who transfer-ices performed as an election official or election tary leader of the group at the group's request. If red property to the trust.) This rule applies if the worker. Report these payments on line 1a of you organize tours as a trade or business, re-property (or income from the property) put into Form 1040 or 1040-SR. port the tour's value on Schedule C (Form the trust will or may revert (be returned) to the Foster care providers. Generally, payment 1040). grantor or the grantor's spouse. you receive from a state, a political subdivision, Generally, a trust is a grantor trust if the Gambling winnings. You must include your or a qualified foster care placement agency for grantor has a reversionary interest valued (at gambling winnings in income on Schedule 1 caring for a qualified foster individual in your the date of transfer) at more than 5% of the (Form 1040), line 8b. Winnings from fantasy home is excluded from your income. However, value of the transferred property. sports leagues are gambling winnings. If you you must include in your income payment to the itemize your deductions on Schedule A (Form Expenses paid by another. If your personal extent it’s received for the care of more than five 1040), you can deduct gambling losses you had expenses are paid for by another person, such qualified foster individuals age 19 years or during the year, but only up to the amount of as a corporation, the payment may be taxable older. your winnings. If you’re in the trade or business to you depending upon your relationship with A qualified foster individual is a person who: of gambling, use Schedule C (Form 1040). that person and the nature of the payment. But 1. Is living in a foster family home; and if the payment makes up for a loss caused by Lotteries and raffles. Winnings from lotter-that person, and only restores you to the posi- 2. Was placed there by: ies and raffles are gambling winnings. In
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-Publication 17 (2025) Chapter 8 Other Income 75 addition to cash winnings, you must include in from qualified U.S. savings bonds you redeem if However, certain noncash employee achieve-your income the fair market value of bonds, you pay qualified higher education expenses in ment awards can be excluded from income.
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-cars, houses, and other noncash prizes. the same year. For more information on this ex- See Bonuses and awards in chapter 5.
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-TIP If you win a state lottery prize payable clusion, see Education Savings Bond Program Pulitzer, Nobel, and similar prizes. If you under U.S. Savings Bonds in chapter 6. in installments, see Pub. 525 for more were awarded a prize in recognition of accom-
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-information. Job interview expenses. If a prospective em- plishments in religious, charitable, scientific, ar-
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-ployer asks you to appear for an interview and tistic, educational, literary, or civic fields, you
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-Form W-2G. You may have received a Form either pays you an allowance or reimburses you must generally include the value of the prize in
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-W-2G, Certain Gambling Winnings, showing the for your transportation and other travel expen- your income. However, you don’t include this
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-amount of your gambling winnings and any tax ses, the amount you receive is generally not prize in your income if you meet all of the follow-
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-box 1 on Schedule 1 (Form 1040), line 8b. In- you receive that’s more than your actual expen- • You were selected without any action on ses. taken out of them. Include the amount from taxable. You include in income only the amount ing requirements. clude the amount shown in box 4 on Form 1040 your part to enter the contest or proceed-
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-For more information on reporting gambling Reporting winnings and recordkeeping. future services as a condition to receiving pay to your employer because your employer the prize or award. continued to pay you while you served jury duty, winnings and recordkeeping, see Gambling • The prize or award is transferred by the include the amount you gave your employer as Losses up to the Amount of Gambling Winnings payer directly to a governmental unit or an income adjustment on Schedule 1 (Form in chapter 12. withheld. included in your income on Schedule 1 (Form • You aren’t required to perform substantial 1040), line 8h. If you gave any of your jury duty or 1040-SR, line 25c, as federal income tax Jury duty. Jury duty pay you receive must be ing.
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-tance isn’t included in your income. However, if commissions, push money, or similar payments See Pub. 525 for more information about the conditions that apply to the transfer. you receive in your income on Schedule 1 property you receive this way later produces in- (Form 1040), line 8z; or on Schedule C (Form Qualified Opportunity Fund (QOF). Effective come such as interest, dividends, or rents, that 1040) if from your self-employment activity. December 22, 2017, Code section 1400Z-2 income is taxable to you. If property is given to a provides a temporary deferral on inclusion in Gifts and inheritances. In most cases, prop- ignated by you. Kickbacks. You must include kickbacks, side erty you receive as a gift, bequest, or inheri-1040), line 24a, and see the instructions there. tax-exempt charitable organization as des-
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-trust and the income from it is paid, credited, or Example. You sell cars and help arrange gross income for capital gains invested in distributed to you, that income is also taxable to car insurance for buyers. Insurance brokers pay QOFs, and permanent exclusion of capital you. If the gift, bequest, or inheritance is the in-back part of their commissions to you for refer-gains from the sale or exchange of an invest-come from the property, that income is taxable ring customers to them. You must include the ment in the QOF if the investment is held for at to you. kickbacks in your income. least 10 years. See the Instructions for Form
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-Inherited pension or individual retire- 8949 on how to report your election to defer eli- Medical savings accounts (Archer MSAs
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-pension or an IRA, you may have to include part tions for Form 8997, Initial and Annual State- ses, you don’t include in income amounts you ment of Qualified Opportunity Fund (QOF) ment arrangement (IRA). If you inherited a gible gains invested in a QOF. See the instruc- and Medicare Advantage MSAs). In most ca-
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-of the inherited amount in your income. See withdraw from your Archer MSA or Medicare Survivors and Beneficiaries in Pub. 575 if you Investments, for reporting information. For addi- Advantage MSA if you use the money to pay for
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-IRA? in Pubs. 590-A and 590-B if you inherited quently Asked Questions at IRS.gov/ medical expenses are those you can deduct on Newsroom/Opportunity-Zones-Frequently-inherited a pension. See What if You Inherit an tional information, see Opportunity Zones Fre- qualified medical expenses. Generally, qualified
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-an IRA. Schedule A (Form 1040). For more information
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-Hobby losses. Losses from a hobby aren’t de- about qualified medical expenses, see Pub. Asked-Questions.
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-ductible from other income. A hobby is an activ- 502. For more information about Archer MSAs Qualified tuition programs (QTPs). A QTP or Medicare Advantage MSAs, see Pub. 969, ity from which you don’t expect to make a profit. (also known as a 529 program) is a program set Health Savings Accounts and Other Tax-Fa-See Activities not engaged in for profit , earlier. up to allow you to either prepay or contribute to vored Health Plans. an account established for paying a student's If you collect stamps, coins, or other qualified higher education expenses at an eligi-Overtime. If you earned qualified overtime, you items as a hobby for recreation and ! ble educational institution. A program can be may be eligible to deduct up to $12,500 CAUTION pleasure, and you sell any of the items, established and maintained by a state, an ($25,000 if married filing jointly) of your qualified your gain is taxable as a capital gain. (See Pub. agency or instrumentality of a state, or an eligi-overtime compensation. Your deduction will be 550.) However, if you sell items from your col-ble educational institution. limited if your modified adjusted gross income is lection at a loss, you can’t deduct the loss. The part of a distribution representing the more than $150,000 ($300,000 if married filing amount paid or contributed to a QTP isn’t inclu-jointly). To be eligible, you and/or your spouse Illegal activities. Income from illegal activities, ded in income. This is a return of the investment who received the overtime must have a valid such as money from dealing illegal drugs, must in the program. SSN. If you are married, you must file a joint re-be included in your income on Schedule 1 turn. In most cases, the beneficiary doesn’t in-(Form 1040), line 8z, or on Schedule C (Form clude in income any earnings distributed from a 1040) if from your self-employment activity. Prizes and awards. If you win a prize in a QTP if the total distribution is less than or equal lucky number drawing, television or radio quiz Indian fishing rights. If you’re a member of a to adjusted qualified higher education expen-program, beauty contest, or other event, you qualified Indian tribe that has fishing rights se-ses. See Pub. 970 for more information. must include it in your income. For example, if cured by treaty, Executive order, or an Act of you win a $50 prize in a photography contest, Railroad retirement annuities. The following Congress as of March 17, 1988, don’t include in you must report this income on Schedule 1 types of payments are treated as pension or an-your income amounts you receive from activities (Form 1040), line 8i. If you refuse to accept a nuity income and are taxable under the rules related to those fishing rights. The income isn’t prize, don’t include its value in your income. explained in Pub. 575, Pension and Annuity In-subject to income tax, self-employment tax, or come. Prizes and awards in goods or services employment taxes. must be included in your income at their fair • Tier 1 railroad retirement benefits that are Interest on frozen deposits. In general, you market value. more than the social security equivalent exclude from your income the amount of inter-benefit. est earned on a frozen deposit. See Interest in-Employee awards or bonuses. Cash come on frozen deposits in chapter 6. • Tier 2 benefits. awards or bonuses given to you by your em-• ployer for good work or suggestions must gen-Interest on qualified savings bonds. You Vested dual benefits. erally be included in your income as wages. may be able to exclude from income the interest
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-76 Chapter 8 Other Income Publication 17 (2025) Rewards. If you receive a reward for providing Generally, if you have income from sharing
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-information, include it in your income. economy transactions, or you did gig work, you 9. Sale of home. You may be able to exclude received a Form 1099-K, Payment Card and must include all income received whether you
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-from income all or part of any gain from the sale Third-Party Network Transactions, or not. See or exchange of your main home. See Pub. 523. the Instructions for Schedule C (Form 1040)
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-Sale of personal items. If you sold an item and the Instructions for Schedule SE (Form Individual you owned for personal use, such as a car, re- 1040).
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-frigerator, furniture, stereo, jewelry, or silver- State tax payments. Do not include pay-ware, your gain is taxable as a capital gain. Re- Retirement ments on your tax return made by states under port it as explained in the Instructions for legislatively provided social benefit programs Schedule D (Form 1040). You can’t deduct a for the promotion of the general welfare. To Arrangements loss. qualify for the general welfare exclusion, state However, if you sold an item you held for in-payments must be paid from a governmental vestment, such as gold or silver bullion, coins, fund, be for the promotion of general welfare (IRAs) or gems, any gain is taxable as a capital gain (that is, based on the need of the individual or and any loss is deductible as a capital loss. family receiving such payments), and not repre-What’s New sent compensation for services. Example. You sold a painting on an online auction website for $100. You bought the paint-Stolen property. If you steal property, you ing for $20 at a garage sale years ago. Report must report its fair market value in your income Modified adjusted gross income (AGI) limit your gain as a capital gain as explained in the in the year you steal it unless you return it to its for traditional IRA contributions. For 2025, if Instructions for Schedule D (Form 1040). rightful owner in the same year. you are covered by a retirement plan at work,
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-Scholarships and fellowships. A candidate your deduction for contributions to a traditional Tips. You may be eligible to take a deduction IRA is reduced (phased out) if your modified for a degree can exclude amounts received as a for qualified tips paid to you in 2025. You can’t AGI is: qualified scholarship or fellowship. A qualified deduct more than $25,000 of those tips. Your
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-scholarship or fellowship is any amount you re- deduction will be limited if your modified adjus- • More than $126,000 but less than
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-Amounts used for room and board don’t qualify filing a separate return. ance for taking children to and from school if for the exclusion. See Pub. 970 for more infor-you aren’t in the business of taking children to If you either live with your spouse or file a joint mation on qualified scholarships and fellowship school. You can’t deduct expenses for providing return, and your spouse is covered by a retire-grants. this transportation. ment plan at work but you aren’t, your deduction is phased out if your modified AGI is more than Union benefits and dues. Amounts deducted Payment for services. In most cases, you $236,000 but less than $246,000. If your modi-from your pay for union dues, assessments, must include in income the part of any scholar-fied AGI is $246,000 or more, you can’t take a contributions, or other payments to a union ship or fellowship that represents payment for deduction for contributions to a traditional IRA. can’t be excluded from your income. past, present, or future teaching, research, or See How Much Can You Deduct , later. other services. This applies even if all candi-Strike and lockout benefits. Benefits paid Modified AGI limit for Roth IRA contribu-dates for a degree must perform the services to to you by a union as strike or lockout benefits, tions. For 2025, your Roth IRA contribution receive the degree. including both cash and the fair market value of limit is reduced (phased out) in the following sit-For information about the rules that apply to other property, are usually included in your in-uations. a tax-free qualified tuition reduction provided to ceive that’s for: ted gross income is more than $150,000 $146,000 for a married couple filing a joint • ($300,000 if married filing jointly). To be eligible, return or a qualifying surviving spouse, Tuition and fees to enroll at or attend an you and/or your spouse who received the tips • educational institution; or • More than $79,000 but less than $89,000 must have a valid SSN. If you are married, you for a single individual or head of house-Fees, books, supplies, and equipment re-must file a joint return. hold, or quired for courses at the educational insti-Transporting school children. Don’t include tution. • Less than $10,000 for a married individual in your income a school board mileage allow-
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-employees and their families by an educational • come as compensation. You can exclude these
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-benefits from your income only when the facts Your filing status is married filing jointly or
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-institution, see Pub. 970. qualifying surviving spouse and your modi- clearly show that the union intended them as
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-Department of Veterans Affairs (VA) pay- gifts to you. fied AGI is at least $236,000. You can’t
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-make a Roth IRA contribution if your modi-
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-ded in your income. These allowances aren’t tric utility company and you participate in the Your filing status is single, head of house-• considered scholarship or fellowship grants. ments. Allowances paid by the VA aren’t inclu- Utility rebates. If you’re a customer of an elec- fied AGI is $246,000 or more. utility's energy conservation program, you may
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-aren’t scholarships or fellowships if you don’t tricity furnished to you (rate reduction), or $150,000. You can’t make a Roth IRA con-have to use the prizes for educational purposes. • A nonrefundable credit against the pur-tribution if your modified AGI is $165,000 You must include these amounts in your income chase price of the electricity. or more. on Schedule 1 (Form 1040), line 8i, whether or • Prizes. Scholarship prizes won in a contest didn’t live with your spouse at any time in • A reduction in the purchase price of elec- 2025 and your modified AGI is at least receive on your monthly electric bill either: hold, or married filing separately and you
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-not you use the amounts for educational purpo- Your filing status is married filing sepa- The amount of the rate reduction or nonrefunda-
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-Sharing/gig economy. A sharing economy is time during the year, and your modified AGI is more than zero. You can’t make a ses. ble credit isn’t included in your income. rately, you lived with your spouse at any
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-one in which assets are shared between individ- Roth IRA contribution if your modified AGI uals for a fee, usually through the Internet. For is $10,000 or more. example, you rent out your car when you don’t See need it, or you share your wi-fi account for a fee. Can You Contribute to a Roth IRA , later.
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-A gig economy is one in which a short-term
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-contract or freelance work is the norm, as op-
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-posed to a permanent job. For example, you
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-drive for a ride-sharing service, or work as a fit-
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-ness trainer, babysitter, or tutor.
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-Publication 17 (2025) Chapter 9 Individual Retirement Arrangements (IRAs) 77 2026 modified AGI limits. You can find infor- other transactions, see Pub. 590-A and Pub. as a “traditional IRA.” A traditional IRA is any mation about the 2026 contribution and AGI lim- 590-B. IRA that isn't a Roth IRA or a SIMPLE IRA. Tra-its in Pub. 590-A. ditional IRAs include traditional IRAs that re-
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-Reminders Useful Items ceive employer contributions from SEP arrange- ments. Two advantages of a traditional IRA are You may want to see: that:
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-Publication • You may be able to deduct some or all of
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-Contributions to both traditional and Roth your contributions to it, depending on your
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-IRAs. For information on your combined contri- 560 560 Retirement Plans for Small Business circumstances; and
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-IRAs earnings and gains, aren't taxed until they , later. 590-A 590-A Contributions to Individual are distributed. Retirement Arrangements (IRAs) and Roth IRAs, see bution limit if you contribute to both traditional 575 575 Pension and Annuity Income • Generally, amounts in your IRA, including Roth IRAs and traditional
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-Statement of required minimum distribu-
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-tion. If a minimum distribution from your IRA is 590-B 590-B Distributions from Individual Who Can Open a required, the trustee, custodian, or issuer that Retirement Arrangements (IRAs) held the IRA at the end of the preceding year Traditional IRA? must either report the amount of the required Form (and Instructions) minimum distribution to you, or offer to figure it You can open and make contributions to a tradi- 5329 5329 Additional Taxes on Qualified Plans for you. The report or offer must include the tional IRA if you (or, if you file a joint return, your (Including IRAs) and Other date by which the amount must be distributed. spouse) received taxable compensation during Tax-Favored Accounts The report is due January 31 of the year in the year. which the minimum distribution is required. It 8606 8606 Nondeductible IRAs For tax years beginning after 2019, can be provided with the year-end fair market 8915-F value statement that you normally get each 8915-F Qualified Disaster Retirement TIP there is no age limit on making contri-Plan Distributions and Repayments year. No report is required for IRAs of owners butions to your traditional IRA. For more information, see Pub. 590-A. who have died. For these and other useful items, go to IRS.gov/
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-IRA interest. Although interest earned from Forms. What is compensation? Generally, compen-
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-your IRA is generally not taxed in the year sation is what you earn from working. Compen- Types of IRAs
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-earned, it isn’t tax-exempt interest. Tax on your sation includes wages, salaries, tips, professio-
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-treats as compensation any amount properly
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-Distributions from retirement plans other than erally compensation for this purpose only if re- red to as traditional SEP IRAs) or Roth IRAs ported in box 1 of your Form W-2. However, for 401(a), 403(a), 403(b), or 457(b) plans, or IRAs, (sometimes referred to as Roth SEP IRAs) of its tax years beginning after 2019, certain non-tui- are included in net investment income. See employees. Individuals may separately make tion fellowship and stipend payments not repor- Form 8960, Net Investment Income Tax—Indi- their own contributions to the same IRAs to ted to you on Form W-2 are treated as taxable viduals, Estates, and Trusts, and its instructions which their employer contributes under a SEP compensation for IRA purposes. These for more information. arrangement. Under a SIMPLE IRA plan, an amounts include taxable non-tuition fellowship Form 8606. To designate contributions as non- employer contributes salary reduction contribu- and stipend payments made to aid you in the deductible, you must file Form 8606. tions (at the election of the employee), matching pursuit of graduate or postdoctoral study and in- contributions and/or nonelective contributions cluded in your gross income under the rules dis- The term “50 or older” is used several to traditional IRAs (sometimes referred to as tra- cussed in chapter 1 of Pub. 970, Tax Benefits TIP times in this chapter. It refers to an IRA ditional SIMPLE IRAs) or Roth IRAs (sometimes for Education. owner who is age 50 or older by the referred to as Roth SIMPLE IRAs) of its employ- Compensation also includes commissions end of the tax year. ees. However, a SIMPLE IRA (whether a tradi- and taxable alimony and separate maintenance tional SIMPLE IRA or a Roth SIMPLE IRA) is payments. subject to certain restrictions that do not gener- Introduction ally apply to other traditional IRAs or Roth IRAs. Self-employment income. If you are For example, an individual cannot make their self-employed (a sole proprietor or a partner), An IRA is a personal savings plan that gives you own contributions to a SIMPLE IRA. In addition, Net Investment Income Tax (NIIT). For pur- shown in box 1 (Wages, tips, other compensa- contributions to their traditional IRAs or Roth tion) of Form W-2, Wage and Tax Statement, poses of the NIIT, net investment income IRAs. In addition, certain employers have ar- provided that this amount is reduced by any doesn't include distributions from 401(a), rangements under which the employer may contribute to IRAs of their employees. amount properly shown in box 11 (Nonqualified 403(a), 403(b), or 457(b) plans, or IRAs. How- plans). ever, these distributions are taken into account Under a SEP arrangement, an employer Scholarship or fellowship payments are gen- when determining the modified AGI threshold. contributes to traditional IRAs (sometimes refer- take a distribution. Don't report this interest on receive for providing personal services. The IRS An IRA can be either a traditional IRA or a Roth your tax return as tax-exempt interest. IRA. In general, individuals may make their own traditional IRA is generally deferred until you nal fees, bonuses, and other amounts you
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-tax advantages for setting aside money for your compensation is the net earnings from your there are various restrictions related to distribu- trade or business (provided your personal serv- retirement. tions and contributions during the initial 2 years ices are a material income-producing factor) re- This chapter discusses the following topics. of participation in the SIMPLE IRA plan. duced by the total of: • The rules for a traditional IRA (any IRA that References in this publication to traditional • The deduction for contributions made on isn't a Roth or SIMPLE IRA). IRAs generally include traditional SEP IRAs but your behalf to retirement plans, and • The Roth IRA, which features nondeducti- do not include traditional SIMPLE IRAs, unless • The deductible part of your self-employ- ble contributions and tax-free distributions. otherwise stated. Likewise, references to Roth ment tax. IRAs generally include Roth SEP IRAs but do Simplified Employee Pensions (SEPs) and not include Roth SIMPLE IRAs, unless other- Compensation includes earnings from Savings Incentive Match Plans for Employees wise stated. self-employment even if they aren't subject to (SIMPLE) plans aren't discussed in this chapter. self-employment tax because of your religious For more information on these plans and em- Traditional IRAs beliefs. ployees' SEP IRAs and SIMPLE IRAs that are part of these plans, see Pub. 560. Nontaxable combat pay. For IRA purpo- For information about contributions, deduc- In this chapter, the original IRA (sometimes ses, if you were a member of the U.S. Armed tions, withdrawals, transfers, rollovers, and called an ordinary or regular IRA) is referred to
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-78 Chapter 9 Individual Retirement Arrangements (IRAs) Publication 17 (2025) Forces, your compensation includes any non- even if they would cause your total contributions IRA for a year at any time during the year or by taxable combat pay you receive. to the IRA to be more than the general limit on the due date for filing your return for that year,
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-doesn't include any of the following items. Designating year for which contribution is a qualified reservist distribution from an IRA or made. If an amount is contributed to your tradi- • Earnings and profits from property, such as from a section 401(k) or 403(b) plan or similar tional IRA between January 1 and April 15, you What isn't compensation? Compensation payment contributions, you must have received contributions. To be eligible to make these re- not including extensions.
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-• repayments under How Much Can Be Contrib-For more information, see Qualified reservist year or the previous year) the contribution is for. Pension or annuity income. dend income. should tell the sponsor which year (the current rental income, interest income, and divi- arrangement.
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-uted? in chapter 1 of Pub. 590-A. the sponsor can assume, and report to the IRS, If you don't tell the sponsor which year it is for,
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-• Deferred compensation received (compen-
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-When and How Can a • Conservation Reserve Program (CRP) contributed to your traditional IRA is generally by the due date of your return, not including ex-payments reported on Schedule SE (Form the smaller of the following amounts. tensions. 1040), line 1b. • $7,000 ($8,000 if you are 50 or older). Contributions not required. You don't have to • Any amounts (other than combat pay) you • Your taxable compensation (defined ear-contribute to your traditional IRA for every tax exclude from income, such as foreign lier) for the year. year, even if you can. earned income and housing costs. This is the most that can be contributed regard-How Much Can You less of whether the contributions are to one or more traditional IRAs or whether all or part of Traditional IRA Be the contributions are nondeductible. (See Non-Deduct? deductible Contributions , later.) Qualified re-Opened? • CAUTION Roth IRAs, Income from a partnership for which you Filing before a contribution is made. You later.) don't provide services that are a material can file your return claiming a traditional IRA contribution before the contribution is actually income-producing factor. General limit. For 2025, the most that can be made. Generally, the contribution must be made year). year the sponsor received it). ! tional IRA reduce your limit for contribu-tions to a Roth IRA. (See sation payments postponed from a past Contributions on your behalf to a tradi- that the contribution is for the current year (the
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-servist repayments don't affect this limit. Generally, you can deduct the lesser of:
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-You can open a traditional IRA at any time. • The contributions to your traditional IRA for Example 1. You are 34 years old and single the year, or However, the time for making contributions for and earned $24,000 in 2025. Your IRA contribu- any year is limited. See When Can Contribu- • The general limit (or the Kay Bailey Hutchi- tions for 2025 are limited to $7,000. tions Be Made , later. son Spousal IRA limit, if it applies).
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-You can open different kinds of IRAs with a Example 2. You are an unmarried college However, if you or your spouse were covered by
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-variety of organizations. You can open an IRA at student working part time and earned $3,500 in an employer retirement plan, you may not be
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-a bank or other financial institution or with a mu- 2025. Your IRA contributions for 2025 are limi- able to deduct this amount. See Limit if Covered
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-tual fund or life insurance company. You can ted to $3,500, the amount of your compensa- by Employer Plan, later.
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-ments. TIP contributions to your traditional IRA. 2025, if you file a joint return and your taxable For more information, see chapter 3 of Kinds of traditional IRAs. Your traditional IRA compensation is less than that of your spouse, Pub. 590-A. can be an individual retirement account or an- IRA must meet Internal Revenue Code require- You may be able to claim a credit for Kay Bailey Hutchison Spousal IRA limit. For also open an IRA through your stockbroker. Any tion.
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-the most that can be contributed for the year to
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-IRA. These limits and other rules are explained year to a traditional IRA. Full deduction. If neither you nor your spouse below. b. Any contribution for the year to a Roth was covered for any part of the year by an em-IRA on behalf of your spouse. ployer retirement plan, you can take a deduction Community property laws. Except as dis-for total contributions to one or more traditional cussed later under Kay Bailey Hutchison This means that the total combined contribu-IRAs of up to the lesser of: Spousal IRA limit , each spouse figures their tions that can be made for the year to your IRA limit separately, using their own compensation. and your spouse's IRA can be as much as • $7,000 ($8,000 if you are 50 or older in This is the rule even in states with community $14,000 ($15,000 if only one of you is 50 or 2025), or property laws. older, or $16,000 if both of you are 50 or older). • 100% of your compensation. Brokers' commissions. Brokers' commis-This limit is reduced by any contributions made sions paid in connection with your traditional When Can Contributions to a section 501(c)(18) plan on your behalf. IRA are subject to the contribution limit. Be Made? Trustees' fees. Trustees' administrative fees Kay Bailey Hutchison Spousal IRA. In the case of a married couple with unequal compen-aren't subject to the contribution limit. As soon as you open your traditional IRA, con-sation who file a joint return, the deduction for tributions can be made to it through your Qualified reservist repayments. If you are (or chosen sponsor (trustee or other administrator). How Much Can Be 2. The total compensation includible in the IRA contributions. You are also not able to de- gross income of both you and your spouse duct these fees as an itemized deduction. Contributed? for the year, reduced by the following two Brokers' commissions. Brokers' commis- amounts. sions are part of your IRA contribution and, as There are limits and other rules that affect the a. Your spouse's IRA contribution for the such, are deductible subject to the limits. amount that can be contributed to a traditional ployer or employee association trust account. that are billed separately and paid in connection 1. $7,000 ($8,000 if you are 50 or older). with your traditional IRA aren't deductible as nuity. It can be part of either a SEP or an em- your IRA is the smaller of the following amounts. Trustees' fees. Trustees' administrative fees
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-were) a member of a reserve component and Contributions must be in the form of money contributions to the traditional IRA of the spouse you were ordered or called to active duty after (cash, check, or money order). Property can't with less compensation is limited to the lesser September 11, 2001, you may be able to con- be contributed. of the following amounts. tribute (repay) to an IRA amounts equal to any 1. $7,000 ($8,000 if the spouse with the
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-qualified reservist distributions you received. Contributions must be made by due date. lower compensation is 50 or older in You can make these repayment contributions Contributions can be made to your traditional 2025).
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-Publication 17 (2025) Chapter 9 Individual Retirement Arrangements (IRAs) 79
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-2. The total compensation includible in the A defined contribution plan is a plan that a. The United States,
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-
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-gross income of both spouses for the year provides for a separate account for each person b. A state or political subdivision of a reduced by the following three amounts. covered by the plan. Types of defined contribu-state, or tion plans include profit-sharing plans, stock bo-a. The IRA deduction for the year of the nus plans, and money purchase pension plans. c. An instrumentality of either (a) or (b) spouse with the greater compensa-For additional information, see Pub. 590-A. above. tion.
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-
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-This limit is reduced by any contributions to a b. Any designated nondeductible contri- Defined benefit plan. If you are eligible to par- 2. Your accrued retirement benefits at the be- ticipate in your employer's defined benefit plan ginning of the year won't provide more bution for the year made on behalf of for the plan year that ends within your tax year, than $1,800 per year at retirement. the spouse with the greater compen- you are covered by the plan. This rule applies sation. even if you: Limit if Covered by Employer Plan c. Any contributions for the year to a • Declined to participate in the plan, If either you or your spouse was covered by an Roth IRA on behalf of the spouse with • Didn't make a required contribution, or employer retirement plan, you may be entitled the greater compensation. to only a partial (reduced) deduction or no de- • Didn't perform the minimum service re- duction at all, depending on your income and quired to accrue a benefit for the year. 501(c)(18) plan on behalf of the spouse with the your filing status. lesser compensation. A defined benefit plan is any plan that isn't a Your deduction begins to decrease (phase defined contribution plan. In a defined benefit out) when your income rises above a certain Note: If you were divorced or legally sepa- plan, the level of benefits to be provided to each amount and is eliminated altogether when it rated (and didn't remarry) before the end of the participant is spelled out in the plan. The plan reaches a higher amount. These amounts vary year, you can't deduct any contributions to your administrator figures the amount needed to pro- depending on your filing status. spouse's IRA. After a divorce or legal separa- vide those benefits, and those amounts are To determine if your deduction is subject to tion, you can deduct only contributions to your contributed to the plan. Defined benefit plans in- phaseout, you must determine your modified own IRA. Your deductions are subject to the clude pension plans and annuity plans. AGI and your filing status. See Filing status and rules for single individuals. Modified AGI , later. Then use Table 9-1 or Ta- No vested interest. If you accrue a benefit for Covered by an employer retirement plan. If ble 9-2 to determine if the phaseout applies. a plan year, you are covered by that plan even if you or your spouse was covered by an em- you have no vested interest in (legal right to) the Social security recipients. Instead of using ployer retirement plan at any time during the accrual. Table 9-1 or Table 9-2 , use the worksheets in year for which contributions were made, your Appendix B of Pub. 590-A if, for the year, all of deduction may be further limited. This is dis- Situations in Which You Aren’t the following apply. cussed later under Limit if Covered by Employer Covered • You received social security benefits. Plan . Limits on the amount you can deduct don't
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-affect the amount that can be contributed. See Unless you are covered under another em- • You received taxable compensation.
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-Nondeductible Contributions, later. ployer plan, you aren't covered by an employer • Contributions were made to your traditional plan if you are in one of the situations described
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-
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-Plan? • You or your spouse was covered by an em- Social security or railroad retirement. Cov- ployer retirement plan. erage under social security or railroad retire- Are You Covered by an Employer below. IRA.
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-has a box used to indicate whether you were The Form W-2 you receive from your employer ment isn't coverage under an employer retire- Use those worksheets to figure your IRA deduc-
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-
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-should be checked if you were covered. taxable portion, if any, of your social security Benefits from a previous employer's plan. If benefits. covered for the year. The “Retirement plan” box ment plan. tion, your nondeductible contribution, and the
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-Reservists and volunteer firefighters should you receive retirement benefits from a previous
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-also see Situations in Which You Aren’t Cov- employer's plan, you aren't covered by that Deduction phaseout. If you are covered by an
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-
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-ered by your employer's retirement plan, you If you aren't certain whether you were cov- any social security retirement benefits, your IRA Reservists. If the only reason you participate ered, later. plan. employer retirement plan and you didn't receive
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-should ask your employer. in a plan is because you are a member of a re- deduction may be reduced or eliminated de-
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-serve unit of the U.S. Armed Forces, you may as shown in pending on your filing status and modified AGI
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-Federal judges. For purposes of the IRA de- not be covered by the plan. You aren't covered Table 9-1.
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-duction, federal judges are covered by an em- by the plan if both of the following conditions are If your spouse is covered. If you aren't ployer retirement plan. met. covered by an employer retirement plan, but
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-1. The plan you participate in is established your spouse is, and you didn't receive any so-
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-
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-Covered? be reduced or eliminated entirely depending on a. The United States, your filing status and modified AGI as shown in Special rules apply to determine the tax years For Which Year(s) Are You cial security benefits, your IRA deduction may for its employees by:
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-for which you are covered by an employer plan. b. A state or political subdivision of a Table 9-2.
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-These rules differ depending on whether the state, or Filing status. Your filing status depends pri-plan is a defined contribution plan or a defined marily on your marital status. For this purpose, c. An instrumentality of either (a) or (b)
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-benefit plan. you need to know if your filing status is single, above.
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-Tax year. Your tax year is the annual account- 2. You didn't serve more than 90 days on ac- head of household, married filing jointly, qualify-
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-
-
-income and expenses on your income tax re- for training). tus, see Filing Status. turn. For almost all people, the tax year is the Volunteer firefighters. If the only reason you calendar year. Lived apart from spouse. If you didn't live ing period you use to keep records and report tive duty during the year (not counting duty rately. If you need more information on filing sta-ing surviving spouse, or married filing sepa-
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-
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-Defined contribution plan. Generally, you are participate in a plan is because you are a volun- with your spouse at any time during the year teer firefighter, you may not be covered by the and you file a separate return, your filing status, covered by a defined contribution plan for a tax plan. You aren't covered by the plan if both of for this purpose, is single. year if amounts are contributed or allocated to the following conditions are met. your account for the plan year that ends with or Modified AGI. You may be able to use Work- 1. The plan you participate in is established within that tax year. sheet 9-1 to figure your modified AGI. However, for its employees by: if you made contributions to your IRA for 2025
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-80 Chapter 9 Individual Retirement Arrangements (IRAs) Publication 17 (2025) Retirement Plan at Work the AGI amount on line 11a without taking into account any of the following amounts. Table 9-1. Effect of Modified AGI1 on Deduction if You Are Covered by When filing Form 1040 or 1040-SR, refigure
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-If you are covered by a retirement plan at work, use this table to determine if your modified AGI • IRA deduction. affects the amount of your deduction.
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-• Student loan interest deduction.
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-IF your filing status is... AND your modified AGI is... THEN you can take... • Foreign earned income exclusion.
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-
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-or more than $79,000 • Exclusion of qualified savings bond interest a partial deduction. shown on Form 8815, Exclusion of Interest but less than $89,000 From Series EE and I U.S. Savings Bonds Single • Foreign housing exclusion or deduction. $79,000 or less a full deduction.
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-Head of household Issued After 1989. $89,000 or more no deduction.
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-
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-Married filing jointly • Exclusion of employer-provided adoption $126,000 or less a full deduction. benefits shown on Form 8839, Qualified more than $126,000 a partial deduction. Adoption Expenses. or but less than $146,000 This is your modified AGI.
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-Qualifying surviving $146,000 or more no deduction. spouse
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-Married filing less than $10,000 a partial deduction.
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-separately2 $10,000 or more no deduction.
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-1 Modified AGI (adjusted gross income). See Modified AGI, later.
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-2 If you didn't live with your spouse at any time during the year, your filing status is considered Single for this
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-purpose (therefore, your IRA deduction is determined under the “Single” column).
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-Table 9-2. Effect of Modified AGI1 on Deduction if You Aren’t Covered by Retirement Plan at Work
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-If you aren't covered by a retirement plan at work, use this table to determine if your modified AGI affects the amount of your deduction.
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-IF your filing status is... AND your modified AGI is... THEN you can take...
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-Single, any amount a full deduction.
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-Head of household, or
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-Qualifying surviving spouse
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-Married filing jointly or any amount a full deduction.
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-separately with a spouse who
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-isn't covered by a plan at work
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-Married filing jointly with a $236,000 or less a full deduction.
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-
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-spouse who is covered by a plan more than $236,000 a partial deduction. at work but less than $246,000
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-$246,000 or more no deduction.
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-Married filing separately with a less than $10,000 a partial deduction.
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-spouse who is covered by a plan $10,000 or more no deduction. at work 2
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-1 Modified AGI (adjusted gross income). See Modified AGI, on previous page.
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-2 You are entitled to the full deduction if you didn't live with your spouse at any time during the year.
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-and received a distribution from your IRA in Don't assume that your modified AGI is
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-2025, see Pub. 590-A. ! the same as your compensation. Your modified AGI may include income in CAUTION
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-addition to your compensation (discussed ear-lier), such as interest, dividends, and income
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-from IRA distributions.
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-
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-Publication 17 (2025) Chapter 9 Individual Retirement Arrangements (IRAs) 81 Worksheet 9-1. Figuring Your Modified AGI
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-Keep for Your Records
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-Use this worksheet to figure your modified AGI for traditional IRA purposes.
-
-1. Enter your AGI from Form 1040 or 1040-SR, line 11a, figured without taking into account the amount from
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-Schedule 1 (Form 1040), line 20 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1.
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-2. Enter any student loan interest deduction from Schedule 1 (Form 1040), line 21 . . . . . . . . . . . . . . . . . . . . 2.
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-3. Enter any foreign earned income and/or housing exclusion from Form 2555, line 45 . . . . . . . . . . . . . . . . . 3.
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-4. Enter any foreign housing deduction from Form 2555, line 50 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.
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-5. Enter any excludable savings bond interest from Form 8815, line 14 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5.
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-6. Enter any excluded employer-provided adoption benefits from Form 8839, line 30 . . . . . . . . . . . . . . . . . . 6.
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-7. Add lines 1 through 6. This is your modified AGI for traditional IRA purposes . . . . . . . . . . . . . . . . . . . . . . 7.
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-Both contributions for 2025 and distribu- Form 8606. To designate contributions as non- Inherited IRAs
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-tions in 2025. If all three of the following apply, deductible, you must file Form 8606.
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-
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-any IRA distributions you received in 2025 may You don't have to designate a contribution If you inherit a traditional IRA, you are called a be partly tax free and partly taxable. as nondeductible until you file your tax return. beneficiary. A beneficiary can be any person or When you file, you can even designate other-• You received distributions in 2025 from one entity the owner chooses to receive the benefits wise deductible contributions as nondeductible. or more traditional IRAs. of the IRA after the owner dies. Beneficiaries of You must file Form 8606 to report nondeduc-a traditional IRA must include in their gross in-• You made contributions to a traditional IRA tible contributions even if you don't have to file a come any taxable distributions they receive. for 2025. tax return for the year. Inherited from spouse. If you inherit a tradi-• Some of those contributions may be non-A Form 8606 isn't used for the year that tional IRA from your spouse, you generally have deductible contributions. ! you make a rollover from a qualified re-the following three choices. If this is your situation, you must figure the taxa-CAUTION tirement plan to a traditional IRA and 1. Treat it as your own IRA by designating ble part of the traditional IRA distribution before the rollover includes nontaxable amounts. In yourself as the account owner. you can figure your modified AGI. To do this, those situations, a Form 8606 is completed for you can use Worksheet 1-1 in Pub. 590-B. the year you take a distribution from that IRA. 2. Treat it as your own by rolling it over into
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-If at least one of the above doesn't apply, fig- See Form 8606 under Distributions Fully or your IRA, or to the extent it is taxable, into
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-ure your modified AGI using Worksheet 9-1. Partly Taxable, later. a:
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-
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-How to figure your reduced IRA deduction. a. Qualified employer plan, Failure to report nondeductible contribu-You can figure your reduced IRA deduction for tions. If you don't report nondeductible contri-b. Qualified employee annuity plan (sec-Form 1040 or 1040-SR by using the worksheets butions, all of the contributions to your tradi-tion 403(a) plan), in chapter 1 of Pub. 590-A. Also, the Instruc-tional IRA will be treated as deductible tions for Form 1040 include similar worksheets c. Tax-sheltered annuity plan (section contributions when withdrawn. All distributions that you may be able to use instead. 403(b) plan), or from your IRA will be taxed unless you can
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-Reporting Deductible ductible contributions were made. show, with satisfactory evidence, that nonde- d. Deferred compensation plan of a state
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-Contributions or local government (section 457
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-
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-When filing Form 1040 or 1040-SR, enter your the amount of nondeductible contributions on 3. Treat yourself as the beneficiary rather IRA deduction on Schedule 1 (Form 1040), your Form 8606 for any tax year, you must pay a than treating the IRA as your own. Penalty for overstatement. If you overstate plan). line 20. penalty of $100 for each overstatement, unless
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-it was due to reasonable cause. Treating it as your own. You will be consid-
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-
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-Contributions will have to pay a $50 penalty if you don't file a • Contributions (including rollover contribu-required Form 8606, unless you can prove that tions) are made to the inherited IRA, or the failure was due to reasonable cause. Although your deduction for IRA contributions Nondeductible ered to have chosen to treat the IRA as your Penalty for failure to file Form 8606. You own if:
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-may be reduced or eliminated, contributions • You don't take the required minimum distri-
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-
-
-can be made to your IRA up to the general limit bution for a year as a beneficiary of the Tax on earnings on nondeductible contribu- or, if it applies, the Kay Bailey Hutchison IRA. tions. As long as contributions are within the Spousal IRA limit . The difference between your contribution limits, none of the earnings or gains You will only be considered to have chosen to total permitted contributions and your IRA de- on contributions (deductible or nondeductible) treat the IRA as your own if: duction, if any, is your nondeductible contribu- will be taxed until they are distributed. See tion. • You are the sole beneficiary of the IRA, and When Can You Withdraw or Use IRA Assets , • later. You have an unlimited right to withdraw Example. You are 30 years old and single. amounts from it. In 2025, you were covered by a retirement plan Cost basis. You will have a cost basis in your However, if you receive a distribution from at work. Your salary was $67,000. Your modified traditional IRA if you made any nondeductible your deceased spouse's IRA, you can roll that AGI was $90,000. You made a $7,000 IRA con- contributions. Your cost basis is the sum of the distribution over into your own IRA within the tribution for 2025. Because you were covered nondeductible contributions to your IRA minus 60-day time limit, as long as the distribution isn't by a retirement plan and your modified AGI was any withdrawals or distributions of nondeducti- a required distribution, even if you aren't the over $89,000, you can't deduct the $7,000 IRA ble contributions. sole beneficiary of your deceased spouse's contribution. You must designate this contribu- IRA. tion as a nondeductible contribution by report-
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-ing it on Form 8606, as explained next. Inherited from someone other than spouse.
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-If you inherit a traditional IRA from anyone other
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-than your deceased spouse, you can't treat the
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-82 Chapter 9 Individual Retirement Arrangements (IRAs) Publication 17 (2025) inherited IRA as your own. This means that you other (or the same) IRA in any 1-year period, re-
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-means you can't roll over any amounts into or Treatment of rollovers. You can't deduct a can't make any contributions to the IRA. It also gardless of the number of IRAs you own. The
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-
-
-a trustee-to-trustee transfer as long as the IRA rollover distribution on your tax return as dis- IRAs (whether traditional, Roth, or SIMPLE), ef- fectively treating them as one IRA for purposes cussed later under out of the inherited IRA. However, you can make rollover contribution, but you must report the limit applies by aggregating all of an individual's
-
-
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-into which amounts are being moved is set up Reporting rollovers from of the limit. However, trustee-to-trustee transfers IRAs and Reporting rollovers from employer and maintained in the name of the deceased between IRAs aren't limited and rollovers from plans . IRA owner for the benefit of you as beneficiary. traditional IRAs to Roth IRAs (conversions)
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-
-
-Can You Move Retirement See Written explanation to recipients in Pub. IRA-1, IRA-2, and IRA-3. You didn't take any distributions from your IRAs in 2025. On Janu- 590-A. Plan Assets? ary 1, 2026, you took a distribution from IRA-1 Kinds of rollovers from a traditional IRA. and rolled it over into IRA-2 on the same day. You may be able to roll over, tax free, a distribu- You can transfer, tax free, assets (money or For 2026, you can't roll over any other 2025 IRA tion from your traditional IRA into a qualified der Rollover From One IRA Into Another, later. rollover treatment must be given to you by the Example. You have three traditional IRAs: plan (other than an IRA) making the distribution. For more information, see Inherited IRAs un- aren't limited. Rollover notice. A written explanation of
-
-property) from other retirement plans (including distribution, including a rollover distribution in-
-
-traditional IRAs) to a traditional IRA. You can plan. These plans include the federal Thrift Sav- volving IRA-3. This wouldn’t apply to a
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-
-
-Transfers to Roth IRAs. Under certain condi-• Partial rollovers. If you withdraw assets from a Rollovers. annuity plans (section 403(b) plans). The part of traditional IRA, you can roll over part of the with- the distribution that you can roll over is the part • Transfers incident to a divorce. drawal tax free and keep the rest of it. The that would otherwise be taxable (includible in amount you keep will generally be taxable (ex- your income). Qualified plans may, but aren't re- cept for the part that is a return of nondeductible tions, you can move assets from a traditional make the following kinds of transfers. ings Plan (for federal employees), deferred trustee-to-trustee transfer or a Roth IRA conver-• compensation plans of state or local govern- sion. Transfers from one trustee to another. ments (section 457 plans), and tax-sheltered
-
-
-
-Roth IRA. You can also move assets from a Time limit for making a rollover contribu- subject to the 10% additional tax on early distri- tion. You must generally make the rollover con- butions, discussed later under What Acts Result qualified retirement plan to a Roth IRA. See Can tribution by the 60th day after the day you re- in Penalties or Additional Taxes IRA or from a designated Roth account to a contributions). The amount you keep may be quired to, accept such rollovers.
-
-
-
-You Move Amounts Into a Roth IRA? . under ceive the distribution from your traditional IRA or Roth IRAs later. Required distributions. Amounts that must your employer's plan. be distributed during a particular year under the The IRS may waive the 60-day requirement Trustee-to-Trustee Transfer required minimum distribution rules (discussed where the failure to do so would be against later) aren't eligible for rollover treatment. A transfer of funds in your traditional IRA from equity or good conscience, such as in the event one trustee directly to another, either at your re- of a casualty, disaster, or other event beyond Inherited IRAs. If you inherit a traditional IRA quest or at the trustee's request, isn't a rollover. your reasonable control. For more information, from your spouse, you can generally roll it over, This includes the situation where the current see Can You Move Retirement Plan Assets? in or you can choose to make the inherited IRA
-
-trustee issues a check to the new trustee, but chapter 1 of Pub. 590-A. your own. See Treating it as your own, earlier.
-
-
-
-gives it to you to deposit. Because there is no Not inherited from spouse. If you inherit a Extension of rollover period. If an amount distribution to you, the transfer is tax free. Be- traditional IRA from someone other than your cause it isn't a rollover, it isn't affected by the distributed to you from a traditional IRA or a spouse, you can't roll it over or allow it to receive 1-year waiting period required between roll- qualified employer retirement plan is a frozen a rollover contribution. You must withdraw the overs, discussed later under Rollover From One deposit at any time during the 60-day period al- IRA assets within a certain period. For more in- lowed for a rollover, special rules extend the roll- IRA Into Another . For information about direct formation, see When Must You Withdraw As- transfers to IRAs from retirement plans other over period. For more information, see Can You sets? (Required Minimum Distributions) in than IRAs, see Can You Move Retirement Plan Move Retirement Plan Assets? in chapter 1 of chapter 1 of Pub. 590-B. Assets? in chapter 1 and Can You Move Pub. 590-A.
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-Amounts Into a Roth IRA? in chapter 2 of Pub. Reporting rollovers from IRAs. Report any
-
-
-
-Rollovers You can withdraw, tax free, all or part of the as- Enter the total amount of the distribution on Generally, a rollover is a tax-free distribution to sets from one traditional IRA if you reinvest Form 1040 or 1040-SR, line 4a. If the total you of cash or other assets from one retirement them within 60 days in the same or another tra-amount on Form 1040 or 1040-SR, line 4a, was plan that you contribute (roll over) to another re-590-A. Rollover From One IRA Into rollover from one traditional IRA to the same or Another another traditional IRA on Form 1040 or 1040-SR as follows.
-
-
-
-tirement plan. The contribution to the second ditional IRA. Because this is a rollover, you can't rolled over, enter zero on Form 1040 or deduct the amount that you reinvest in an IRA. 1040-SR, line 4b. If the total distribution wasn't retirement plan is called a rollover contribution. Waiting period between rollovers. Generally, rolled over, enter the taxable portion of the part that wasn't rolled over on Form 1040 or if you make a tax-free rollover of any part of a Note: An amount rolled over tax free from distribution from a traditional IRA, you can't, 1040-SR, line 4b. Check the box on line 4c for one retirement plan to another is generally in- within a 1-year period, make a tax-free rollover rollovers. For more information, see the Instruc- cludible in income when it is distributed from the of any later distribution from that same IRA. You tions for Form 1040. second plan. also can't make a tax-free rollover of any If you rolled over the distribution into a quali-
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-Kinds of rollovers to a traditional IRA. You amount distributed, within the same 1-year pe- fied plan (other than an IRA) or you make the can roll over amounts from the following plans riod, from the IRA into which you made the rollover in 2026, attach a statement explaining into a traditional IRA. tax-free rollover. what you did.
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-
-
-• The 1-year period begins on the date you re-A traditional IRA. ceive the IRA distribution, not on the date you • An employer's qualified retirement plan for roll it over into an IRA. Rules apply to the num-its employees. ber of rollovers you can have with your tradi-• A deferred compensation plan of a state or tional IRAs. See Application of one-rollover limi-tation local government (section 457 plan). next.
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-• A tax-sheltered annuity plan (section Application of one-rollover limitation. You
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-403(b) plan). can make only one rollover from an IRA to an-
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-Publication 17 (2025) Chapter 9 Individual Retirement Arrangements (IRAs) 83 Into an IRA treated as an eligible rollover distribution if you income, you may have to increase your with- are the designated beneficiary of the plan and holding or make estimated tax payments. See You can roll over into a traditional IRA all or part Rollover From Employer's Plan receive the distribution on your behalf can be If you must include any amount in your gross
-
-
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-from your (or your deceased spouse's): inherited IRAs, see Inherited IRAs, earlier. Recharacterizations • Employer's qualified pension, profit-shar-Reporting rollovers from employer plans. You may be able to treat a contribution made to ing, or stock bonus plan; of an eligible rollover distribution you receive as an inherited IRA. For more information about not the employee's spouse. The IRA is treated chapter 4.
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-Enter the total distribution (before income tax or one type of IRA as having been made to a dif-
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-
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-• or 1040-SR, line 4a. This amount should be ing the contribution. See Can You Move Retire- Tax-sheltered annuity plan (section 403(b) shown in box 1 of Form 1099-R, Distributions plan); or ment Plan Assets? in chapter 1 of Pub. 590-A From Pensions, Annuities, Retirement or • Annuity plan; other deductions were withheld) on Form 1040 ferent type of IRA. This is called recharacteriz-
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-• for more detailed information. Governmental deferred compensation plan Profit-Sharing Plans, IRAs, Insurance Con-
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-(section 457 plan). How to recharacterize a contribution. To re- tracts, etc. From this amount, subtract any con-
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-A qualified plan is one that meets the re- tributions (usually shown in box 5 of Form characterize a contribution, you must generally
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-quirements of the Internal Revenue Code. 1099-R) that were taxable to you when made. have the contribution transferred from the first
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-From that result, subtract the amount that was IRA (the one to which it was made) to the sec-
-
-Eligible rollover distribution. Generally, an ond IRA in a trustee-to-trustee transfer. If the rolled over either directly or within 60 days of re-
-
-eligible rollover distribution is any distribution of transfer is made by the due date (including ex- ceiving the distribution. Enter the remaining
-
-all or part of the balance to your credit in a quali- tensions) for your tax return for the year during amount, even if zero, on Form 1040 or
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-fied retirement plan except the following. which the contribution was made, you can elect 1040-SR, line 4b. Check the box on line 4c for
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-2. A hardship distribution. draw IRA Assets? (Required Minimum Transfers Incident to Divorce you must do all three of the following. Distributions) ). If an interest in a traditional IRA is transferred • Include in the transfer any net income allo-from your spouse or former spouse to you by a cable to the contribution. If there was a divorce or separate maintenance decree or a 3. Any of a series of substantially equal peri-1. A required minimum distribution (ex- rollovers. to treat the contribution as having been origi- plained later under nally made to the second IRA instead of to the When Must You With- first IRA. If you recharacterize your contribution,
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-odic distributions paid at least once a year interest in the IRA, starting from the date of the over: transfer, is treated as your IRA. The transfer is written document related to such a decree, the be a negative amount. loss, the net income you must transfer may • Report the recharacterization on your tax
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-a. Your lifetime or life expectancy, tax free. For detailed information, see Distribu- return for the year during which the contri-b. The lifetimes or life expectancies of tions under divorce or similar proceedings (al- bution was made.
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-you and your beneficiary, or ternate payees) under Rollover From Employ- • Treat the contribution as having been
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-er's Plan Into an IRA in Pub. 590-A. made to the second IRA on the date that it
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-4. Corrective distributions of excess contribu- Converting From Any Traditional No recharacterizations of conversions tions or excess deferrals, and any income c. A period of 10 years or more. was actually made to the first IRA.
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-allocable to the excess, or of excess an- IRA to a Roth IRA made in 2018 or later. A conversion of a tradi-
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-5. A loan treated as a distribution because it nual additions and any allocable gains. Allowable conversions. You can withdraw all tional IRA to a Roth IRA, and a rollover from any other eligible retirement plan to a Roth IRA, or part of the assets from a traditional IRA and made in tax years beginning after tax year reinvest them (within 60 days) in a Roth IRA. 2017, can’t be recharacterized as having been doesn't satisfy certain requirements either The amount that you withdraw and timely con- made to a traditional IRA. If you made a conver- when made or later (such as upon de- tribute (convert) to the Roth IRA is called a con- sion in the 2017 tax year, you had until the due fault), unless the participant's accrued version contribution. If properly (and timely) rol- date (including extensions) for filing the return benefits are reduced (offset) to repay the led over, the 10% additional tax on early for that tax year to recharacterize it. loan. For more information, see Plan loan distributions won't apply. However, a part or all
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-offsets under Time Limit for Making a Roll- of the conversion contribution from your tradi- No deduction allowed. You can't deduct the over Contribution in Pub. 590-A. tional IRA is included in your gross income. contribution to the first IRA. Any net income you
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-clude both amounts that would be taxable and 6. Dividends on employer securities. transfer with the recharacterized contribution is Required distributions. You can't convert treated as earned in the second IRA. amounts that must be distributed from your tra- 7. The cost of life insurance coverage. ditional IRA for a particular year (including the How do you recharacterize a contribution? Your rollover into a traditional IRA may in- calendar year in which you reach age 73 under To recharacterize a contribution, you must notify the required minimum distribution rules (dis- both the trustee of the first IRA (the one to amounts that wouldn’t be taxable if they were cussed later)). which the contribution was actually made) and distributed to you but not rolled over. To the ex- the trustee of the second IRA (the one to which Income. You must include in your gross in- tent the distribution is rolled over into a tradi- the contribution is being moved) that you have come distributions from a traditional IRA that tional IRA, it isn’t includible in your income. elected to treat the contribution as having been you would have had to include in income if you made to the second IRA rather than the first. Any nontaxable amounts that you roll hadn't converted them into a Roth IRA. These You must make the notifications by the date of TIP over into your traditional IRA become amounts are normally included in income on the transfer. Only one notification is required if part of your basis (cost) in your IRAs. your return for the year that you converted them both IRAs are maintained by the same trustee. To recover your basis when you take distribu- from a traditional IRA to a Roth IRA. The notification(s) must include all of the follow- tions from your IRA, you must complete Form You don't include in gross income any part of ing information. 8606 for the year of the distribution. See Form a distribution from a traditional IRA that is a re- • 8606 under Distributions Fully or Partly Taxable, turn of your basis , as discussed later. The type and amount of the contribution to later. You must file Form 8606 to report 2025 con- the first IRA that is to be recharacterized.
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-Rollover by nonspouse beneficiary. A direct versions from traditional, SEP, or SIMPLE IRAs • The date on which the contribution was to a Roth IRA in 2025 (unless you recharacter- made to the first IRA and the year for which transfer from a deceased employee's qualified ized the entire amount) and to figure the amount it was made. pension, profit-sharing, or stock bonus plan; an- to include in income. nuity plan; tax-sheltered annuity (section • A direction to the trustee of the first IRA to transfer in a trustee-to-trustee transfer the 403(b)) plan; or governmental deferred com-
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-pensation (section 457) plan to an IRA set up to
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-84 Chapter 9 Individual Retirement Arrangements (IRAs) Publication 17 (2025)
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-amount of the contribution and any net in- tions under What Acts Result in Penalties or Ad- decedent's IRA, see When Must You Withdraw come (or loss) allocable to the contribution ditional Taxes? in Pub. 590-B. Assets? (Required Minimum Distributions) in to the trustee of the second IRA. chapter 1 of Pub. 590-B.
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-
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-Reporting a recharacterization. If you elect • The name of the trustee of the first IRA and When Must You Withdraw the name of the trustee of the second IRA. Are Distributions Taxable? IRA Assets? (Required • Any additional information needed to make the transfer. Minimum Distributions) In general, distributions from a traditional IRA are taxable in the year you receive them. You can't keep funds in a traditional IRA indefi-to recharacterize a contribution to one IRA as a Exceptions. Exceptions to distributions from nitely. Eventually, they must be distributed. If traditional IRAs being taxable in the year you re-contribution to another IRA, you must report the there are no distributions, or if the distributions recharacterization on your tax return as directed ceive them are: aren't large enough, you may have to pay a 25% by Form 8606 and its instructions. You must excise tax on the amount not distributed as re-• Rollovers; treat the contribution as having been made to quired. See Excess Accumulations (Insufficient • Qualified charitable distributions (QCDs) , the second IRA. Distributions) , later. The requirements for dis-discussed later; tributing IRA funds differ depending on whether When Can You Withdraw you are the IRA owner or the beneficiary of a • Tax-free withdrawals of contributions , dis-decedent's IRA. cussed earlier; and or Use IRA Assets? Required minimum distribution. The amount • The return of nondeductible contributions, discussed later under that must be distributed each year is referred to Distributions Fully or There are rules limiting use of your IRA assets as the “required minimum distribution.” Partly Taxable . and distributions from it. Violation of the rules Although a conversion of a traditional generally results in additional taxes in the year Distributions not eligible for rollover. ! of violation. See What Acts Result in Penalties Amounts that must be distributed (required min-IRA is considered a rollover for Roth or Additional Taxes , later. imum distributions) during a particular year CAUTION IRA purposes, it isn't an exception to the rule that distributions from a traditional IRA aren't eligible for rollover treatment. Contributions returned before the due date are taxable in the year you receive them. Con-of return. If you made IRA contributions in IRA owners. If you are the owner of a tradi-version distributions are includible in your gross 2025, you can withdraw them tax free by the tional IRA, you must generally start receiving income subject to this rule and the special rules due date of your return. If you have an extension distributions from your IRA by April 1 of the year for conversions explained in Converting From of time to file your return, you can withdraw following the year in which you reach age 73. Any Traditional IRA Into a Roth IRA under Can them tax free by the extended due date. You April 1 of the year following the year in which You Move Retirement Plan Assets? in chapter 1 can do this if, for each contribution you with-you reach age 73 is referred to as the “applica-of Pub. 590-A. draw, both of the following conditions apply. ble required beginning date.”
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-• You didn't take a deduction for the contri- Qualified charitable distributions (QCDs). A Distributions by the required beginning
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-• amount for each year starting with the year you made directly by the trustee of your IRA to an You withdraw any interest or other income organization eligible to receive tax deductible bution. QCD is generally a nontaxable distribution date. You must receive at least a minimum earned on the contribution. You can take reach age 73. If you don't (or didn't) receive that contributions. See Qualified Charitable Distribu-minimum amount in the year you become age into account any loss on the contribution tions in Pub. 590-B for more information. 73, then you must receive distributions for the while it was in the IRA when figuring the year you become age 73 by April 1 of the next amount that must be withdrawn. If there A QCD will count towards your required year.
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-was a loss, the net income earned on the TIP minimum distribution. See Qualified contribution may be a negative amount. If an IRA owner dies after reaching age 73 charitable distributions under Are Dis-
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-but before April 1 of the next year, no minimum tributions Taxable? in chapter 1 of Pub. 590-B
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-Note: To figure the amount you must with- distribution is required because death occurred for more information.
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-draw, see Worksheet 1-4 under When Can You before the required beginning date.
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-Withdraw or Use Assets? in chapter 1 of Pub. Ordinary income. Distributions from tradi- Individuals who reach age 72 after De- 590-A. tional IRAs that you include in income are taxed TIP cember 31, 2022, must begin receiving as ordinary income. their required minimum distributions by Earnings includible in income. You must April 1 of the year following the year they reach No special treatment. In figuring your tax, you include in income any earnings on the contribu- age 73. can't use the 10-year tax option or capital gain tions you withdraw. Include the earnings in in- treatment that applies to lump-sum distributions come for the year in which you made the contri- Even if you begin receiving distribu- from qualified retirement plans. butions, not in the year in which you withdraw ! tions before you attain age 73, you them. CAUTION must begin figuring and receiving re- Distributions Fully or Partly quired minimum distributions by your required Generally, except for any part of a with- Taxable drawal that is a return of nondeductible beginning date. ! contributions (basis), any withdrawal of CAUTION Distributions from your traditional IRA may be fully or partly taxable, depending on whether your contributions after the due date (or exten- Distributions after the required beginning your IRA includes any nondeductible contribu- ded due date) of your return will be treated as a date. The required minimum distribution for tions. taxable distribution. Excess contributions can any year after the year you turn age 73 must be
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-also be recovered tax free as discussed under made by December 31 of that later year. Fully taxable. If only deductible contributions What Acts Result in Penalties or Additional were made to your traditional IRA (or IRAs, if Taxes , later. Beneficiaries. If you are the beneficiary of a you have more than one), you have no basis in your IRA. Because you have no basis in your decedent's traditional IRA, the requirements for Early distributions tax. The 10% additional distributions from that IRA generally depend on IRA, any distributions are fully taxable when re-tax on distributions made before you reach age whether the IRA owner died before or after the ceived. See Reporting taxable distributions on 59 1 / 2 doesn't apply to these tax-free withdraw-required beginning date for distributions. your return , later. als of your contributions. However, the distribu-
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-tion of interest or other income must be repor- More information. For more information, in- Partly taxable. If you made nondeductible ted on Form 5329 and, unless the distribution cluding how to figure your required minimum contributions or rolled over any after-tax
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-qualifies for an exception to the age 591/2 rule, it distribution each year and how to figure your re- amounts to any of your traditional IRAs, you will be subject to this tax. See Early Distribu- quired distribution if you are a beneficiary of a have a cost basis (investment in the contract)
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-Publication 17 (2025) Chapter 9 Individual Retirement Arrangements (IRAs) 85 equal to the amount of those contributions. • Making excess contributions. • Coins,
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-These nondeductible contributions aren't taxed • Taking early distributions. • Alcoholic beverages, and when they are distributed to you. They are a re-Allowing excess amounts to accumulate turn of your investment in your IRA. • • Certain other tangible personal property. (failing to take required distributions). Only the part of the distribution that repre-Exception. Your IRA can invest in one-, sents nondeductible contributions and rolled There are penalties for overstating the one-half-, one-quarter-, or one-tenth-ounce U.S. over after-tax amounts (your cost basis) is tax amount of nondeductible contributions and for gold coins, or one-ounce silver coins minted by free. If nondeductible contributions have been failure to file a Form 8606, if required. the Treasury Department. It can also invest in made or after-tax amounts have been rolled certain platinum coins and certain gold, silver, over to your IRA, distributions consist partly of Prohibited Transactions palladium, and platinum bullion. nondeductible contributions (basis) and partly Generally, a prohibited transaction is any im-of deductible contributions, earnings, and gains proper use of your IRA by you, your beneficiary, (if there are any). Until all of your basis has Excess Contributions or any disqualified person. been distributed, each distribution is partly non-Generally, an excess contribution is the amount taxable and partly taxable. Disqualified persons include your fiduciary contributed to your traditional IRA(s) for the year and members of your family (spouse, ancestor, that is more than the smaller of: Form 8606. You must complete Form 8606 lineal descendent, and any spouse of a lineal and attach it to your return if you receive a distri-• The maximum deductible amount for the descendent). bution from a traditional IRA and have ever year (for 2025, this is $7,000 ($8,000 if you The following are examples of prohibited made nondeductible contributions or rolled over are 50 or older)); or transactions with an IRA. after-tax amounts to any of your traditional • Your taxable compensation for the year. IRAs. Using the form, you will figure the nontax-• Borrowing money from it; see Pub. 590-B. An excess contribution could be the result of able distributions for 2025 and your total IRA • Selling property to it. basis for 2025 and earlier years. your contribution, your spouse's contribution, • Using it as security for a loan. your employer's contribution, or an improper
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-Note: If you are required to file Form 8606 • Buying property for personal use (present rollover contribution. If your employer makes
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-but you aren't required to file an income tax re- or future) with IRA funds. contributions under a SEP arrangement on your
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-IRS at the time and place you would otherwise Effect on an IRA account. Generally, if you or turn, you must still file Form 8606. Send it to the behalf to a SEP IRA, see chapter 2 of Pub. 560.
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-file an income tax return. your beneficiary engages in a prohibited trans- Tax on excess contributions. In general, if
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-action in connection with your IRA account at the excess contributions for a year aren't with-
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-Distributions reported on Form 1099-R. If any time during the year, the account stops be- drawn by the date your return for the year is due you receive a distribution from your traditional ing an IRA as of the first day of that year. (including extensions), you are subject to a 6%
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-statement. IRA distributions are shown in boxes Effect on you or your beneficiary. If your ac-IRA, you will receive Form 1099-R, or a similar tax. You must pay the 6% tax each year on ex-
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-1 and 2a of Form 1099-R. The number or letter count stops being an IRA because you or your cess amounts that remain in your traditional IRA codes in box 7 tell you what type of distribution beneficiary engaged in a prohibited transaction, at the end of your tax year. The tax can't be more than 6% of the combined value of all your
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-Withholding. Federal income tax is withheld sets to you at their fair market values on the first tional tax is figured on Form 5329. day of the year. If the total of those values is you received from your IRA. the account is treated as distributing all its as- IRAs as of the end of your tax year. The addi-from distributions from traditional IRAs unless more than your basis in the IRA, you will have a Excess contributions withdrawn by due
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-you choose not to have tax withheld. See chap- taxable gain that is includible in your income. date of return. You won't have to pay the 6%
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-ter 4. For information on figuring your gain and report- tax if you withdraw an excess contribution made
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-ing it in income, see Are Distributions Taxable, during a tax year and you also withdraw interest
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-United States. In general, if you are a U.S. citi- tional taxes. tion. You must complete your withdrawal by the zen or resident alien and your home address is IRA distributions delivered outside the earlier. The distribution may be subject to addi- or other income earned on the excess contribu-outside the United States or its territories, you Taxes on prohibited transactions. If some- ing extensions. date your tax return for that year is due, includ-can't choose exemption from withholding on one other than the owner or beneficiary of a IRA distributions from your traditional IRA. engages in a prohibited transaction, that person How to treat withdrawn contributions. Reporting taxable distributions on your re- may be liable for certain taxes. In general, there Don't include in your gross income an excess
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-turn. Report fully taxable distributions, includ- is a 15% tax on the amount of the prohibited contribution that you withdraw from your tradi-
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-ing early distributions, on Form 1040 or transaction and a 100% additional tax if the tional IRA before your tax return is due if both
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-1040-SR, line 4b (no entry is required on Form transaction isn't corrected. the following conditions are met.
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-1040 or 1040-SR, line 4a). If only part of the dis- More information. For more information on • No deduction was allowed for the excess tribution is taxable, enter the total amount on prohibited transactions, see What Acts Result in contribution.
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-Form 1040 or 1040-SR, line 4a, and the taxable Penalties or Additional Taxes? in chapter 1 of • You withdraw the interest or other income part on Form 1040 or 1040-SR, line 4b. Pub. 590-A. earned on the excess contribution.
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-What Acts Result in Investment in Collectibles You can take into account any loss on the con-
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-Penalties or Additional tribution while it was in the IRA when figuring
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-If your IRA invests in collectibles, the amount in- the amount that must be withdrawn. If there was
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-Taxes? vested is considered distributed to you in the a loss, the net income you must withdraw may
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-year invested. You may have to pay the 10% ad- be a negative amount.
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-ditional tax on early distributions, discussed
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-
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-retirement savings can be offset by additional income. You must include in your gross in- Collectibles. These include: taxes and penalties if you don't follow the rules. The tax advantages of using traditional IRAs for later. How to treat withdrawn interest or other
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-come the interest or other income that was
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-ing your IRA funds in prohibited transactions. your return for the year in which the excess con- • Rugs, There are also additional taxes for the following tribution was made. Your withdrawal of interest • There are additions to the regular tax for us- • Artworks, earned on the excess contribution. Report it on
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-activities. Antiques, or other income may be subject to an additional • • 10% tax on early distributions, discussed later. Metals, Investing in collectibles. Beginning on or after December 29, 2022, •
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-• Gems, Having unrelated business income; see the 10% additional tax will not apply to your
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-Pub. 590-B. • Stamps, withdrawal of interest or other income, if
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-86 Chapter 9 Individual Retirement Arrangements (IRAs) Publication 17 (2025) withdrawn on or before the due date (including Excess Contributions under What Acts Result in Penalties or Additional Taxes? in chapter 1 of extensions) of the income tax return. See Pub. Penalties or Additional Taxes? in Pub. 590-A. Pub. 590-B. 590-B for more information.
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-Excess contributions withdrawn after due erly Early Distributions Note: Distributions that are timely and prop- rolled over , as discussed earlier, aren't sub- date of return. In general, you must include all You must include early distributions of taxable ject to either regular income tax or the 10% ad- distributions (withdrawals) from your traditional amounts from your traditional IRA in your gross ditional tax. Certain withdrawals of excess IRA in your gross income. However, if the fol- income. Early distributions are also subject to contributions after the due date of your return lowing conditions are met, you can withdraw ex- the 10% additional tax. See the discussion of are also tax free and therefore not subject to the cess contributions from your IRA and not in- Form 5329 under Reporting Additional Taxes , 10% additional tax. (See Excess contributions clude the amount withdrawn in your gross later, to figure and report the tax. withdrawn after due date of return , earlier.) This income. also applies to transfers incident to divorce , as Early distributions defined. Early distribu- • Total contributions (other than rollover con- discussed earlier. tions are generally amounts distributed from tributions) for 2025 to your IRA weren't your traditional IRA account or annuity before Receivership distributions. Early distribu- more than $7,000 ($8,000 if you are 50 or you are age 59 1 / 2 . tions (with or without your consent) from sav- older). Age 59 1 ings institutions placed in receivership are sub- / 2 rule. Generally, if you are under age • You didn't take a deduction for the excess 59 1 ject to this tax unless one of the exceptions / 2 , you must pay a 10% additional tax on the contribution being withdrawn. listed earlier applies. This is true even if the dis- distribution of any assets (money or other prop- tribution is from a receiver that is a state agency. The withdrawal can take place at any time, even erty) from your traditional IRA. Distributions be-
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-after the due date, including extensions, for fil- fore you are age 591/2 are called early distribu- Additional 10% tax. The additional tax on ing your tax return for the year. tions. early distributions is 10% of the amount of the Excess contribution deducted in an earlier The 10% additional tax applies to the part of early distribution that you must include in your
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-year. If you deducted an excess contribution in the distribution that you have to include in gross gross income. This tax is in addition to any reg-
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-an earlier year for which the total contributions income. It is in addition to any regular income ular income tax resulting from including the dis-
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-weren't more than the maximum deductible tax on that amount. tribution in income.
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-amount for that year (see the following table), After age 591/2 and before age 73. After Nondeductible contributions. The tax on you can still remove the excess from your tradi-you reach age 59 1 / 2 early distributions doesn't apply to the part of a , you can receive distribu-tional IRA and not include it in your gross in-distribution that represents a return of your non-tions without having to pay the 10% additional come. To do this, file Form 1040-X for that year tax. Even though you can receive distributions deductible contributions (basis). and don't deduct the excess contribution on the after you reach age 59 1 / 2 , distributions aren't re-More information. For more information on amended return. Generally, you can file an quired until you reach age 73. See When Must early distributions, see What Acts Result in Pen-amended return within 3 years after you filed You Withdraw IRA Assets? (Required Minimum alties or Additional Taxes? in chapter 1 of Pub. your return or 2 years from the time the tax was Distributions) , earlier. 590-B. paid, whichever is later.
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-Exceptions. There are several exceptions to
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-Contribution the age 591/2 rule. Even if you receive a distribu- Excess Accumulations
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-Contribution older at the to pay the 10% additional tax if you are in one of You can't keep amounts in your traditional IRA end of the the following situations. indefinitely. Generally, you must begin receiving limit if 50 or tion before you are age 591/2, you may not have (Insufficient Distributions)
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-Year(s) limit year • You have unreimbursed medical expenses distributions by April 1 of the year following the
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-2023 minimum distribution for any year after the year $6,500 $7,500 • The distribution is for the cost of your medi- in which you reach age 73 must be made by 2019 through 2024 that are more than 7.5% of your AGI. year in which you reach age 73. The required $7,000 $8,000
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-2022 $6,000 $7,000 December 31 of that later year. ment. cal insurance due to a period of unemploy-
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-Excess due to incorrect rollover informa-2013 through Tax on excess accumulations. If distributions • You are totally and permanently disabled. $5,500 $6,500 2018 are less than the required minimum distribution • You have been certified as having a termi- for the year, you may have to pay a 25% excise 2008 through $5,000 $6,000 nal illness. tax for that year on the amount not distributed 2012 • 2006 or 2007 $4,000 $5,000 You are the beneficiary of a deceased IRA as required. owner. 2005 $4,000 $4,500 The excise tax on distributions that are • 2002 through You are receiving distributions in the form TIP less than the required minimum distri- $3,000 $3,500 2004 of a series of substantially equal periodic bution amount is reduced to 25% for payments. tax years beginning after December 29, 2022. 1997 through $2,000 — Also, there is an additional reduction to 10% for 2001 • The distribution is income on a corrective taxpayers meeting additional requirements. See before 1997 $2,250 — distribution. Pub. 590-B for more information. • The distribution is for your qualified higher education expenses. Request to waive the tax. If the excess accu- tion. If an excess contribution in your traditional mulation is due to reasonable error, and you IRA is the result of a rollover and the excess oc- • You use the distributions to buy, build, or have taken, or are taking, steps to remedy the curred because the information the plan was re- rebuild a first home. insufficient distribution, you can request that the quired to give you was incorrect, you can with- • The distribution is due to an IRS levy of the tax be waived. If you believe you qualify for this draw the excess contribution. The limits IRA. relief, attach a statement of explanation and mentioned above are increased by the amount complete Form 5329 as instructed under of the excess that is due to the incorrect infor- • The distribution is a qualified reservist dis- Waiver of tax for reasonable cause in the In- mation. You will have to amend your return for tribution. structions for Form 5329. the year in which the excess occurred to correct • You are a victim of domestic abuse. the reporting of the rollover amounts in that Exemption from tax. If you are unable to take • The distribution is for eligible emergency year. Don't include in your gross income the required distributions because you have a tradi- personal expenses. part of the excess contribution caused by the in- tional IRA invested in a contract issued by an in- correct information. For more information, see Most of these exceptions are explained under surance company that is in state insurer
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-Early Distributions under What Acts Result in
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-Publication 17 (2025) Chapter 9 Individual Retirement Arrangements (IRAs) 87
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-delinquency proceedings, the 25% excise tax must file Form 5329 to report your addi- and your modified AGI (defined later) is less doesn't apply if the conditions and requirements tional taxes. than:
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-of Revenue Procedure 92-10 are satisfied. • If you rolled over part or all of a distribution • $246,000 for married filing jointly or qualify-More information. For more information on from a qualified retirement plan or IRA, the ing surviving spouse;
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-
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-excess accumulations, see What Acts Result in part rolled over isn't subject to the tax on • $165,000 for single, head of household, or Penalties or Additional Taxes? in chapter 1 of early distributions. married filing separately and you didn't live Pub. 590-B. • If you have a qualified disaster distribution. with your spouse at any time during the
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-
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-Reporting Additional Taxes Roth IRAs year; or • $10,000 for married filing separately and
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-Generally, you must use Form 5329 to report you lived with your spouse at any time dur-
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-
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-tions, and excess accumulations. tablish and make nondeductible contributions to You may be eligible to claim a credit for a retirement plan called a Roth IRA. the tax on excess contributions, early distribu- Regardless of your age, you may be able to es- ing the year. Filing a tax return. If you must file an individ- TIP contributions to your Roth IRA. For ual income tax return, complete Form 5329 and Contributions not reported. You don't report more information, see chapter 3 of Pub. attach it to your Form 1040 or 1040-SR. Enter Roth IRA contributions on your return. 590-A. the total additional taxes due on Schedule 2
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-(Form 1040), line 8. Is there an age limit for contributions? Con- What Is a Roth IRA?
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-Not filing a tax return. If you don't have to file less of your age. tributions can be made to your Roth IRA regard-a tax return but do have to pay one of the addi- A Roth IRA is an individual retirement plan that, tional taxes mentioned earlier, file the comple- except as explained in this chapter, is subject to Can you contribute to a Roth IRA for your
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-ted Form 5329 with the IRS at the time and the rules that apply to a traditional IRA (defined spouse? You can contribute to a Roth IRA for place you would have filed your Form 1040 or earlier). It can be either an account or an annu- your spouse provided the contributions satisfy 1040-SR. Be sure to include your address on ity. Individual retirement accounts and annuities the Kay Bailey Hutchison Spousal IRA limit (dis-
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-page 1 and your signature and date on page 3. are described under How Can a Traditional IRA cussed under How Much Can Be Contributed, For payment options, see the Instructions for Be Opened? in chapter 1 of Pub. 590-A. earlier, under Traditional IRAs), you file jointly,
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-
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-1040-NR, or go to IRS.gov/Payments to see all must be designated as a Roth IRA when it is Compensation. Compensation includes wa-your payment options. Form 1040 or the Instructions for Form To be a Roth IRA, the account or annuity and your modified AGI is less than $246,000.
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-
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-Form 5329 not required. You don't have to and other amounts received for providing per- contributions to a Roth IRA. But, if you satisfy use Form 5329 if any of the following situations sonal services. It also includes commissions, the requirements, qualified distributions (dis- exist. self-employment income, nontaxable combat cussed later) are tax free. You can leave opened. Unlike a traditional IRA, you can't deduct ges, salaries, tips, professional fees, bonuses, • Distribution code 1 (early distribution) is pay, military differential pay, taxable alimony and amounts in your Roth IRA as long as you live. separate maintenance payments, and taxable correctly shown in box 7 of all your Forms non-tuition fellowship and stipend payments. 1099-R. If you don't owe any other addi- When Can a Roth IRA Be See What is compensation , earlier, for more tional tax on a distribution, multiply the tax- Opened? able part of the early distribution by 10% information. (0.10) and enter the result on Schedule 2 Modified AGI. Your modified AGI for Roth IRA (Form 1040), line 8. If you don't have to file You can open a Roth IRA at any time. However, purposes is your AGI as shown on your return Form 5329, check the box next to the entry the time for making contributions for any year is with some adjustments. Use Worksheet 9-2 to space after the text “if not required, check
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-limited. See When Can You Make Contributions determine your modified AGI.
-
-here.” However, if you owe this tax and also under Can You Contribute to a Roth IRA? next. owe any other additional tax on a distribu-
-
-tion, don't enter this 10% additional tax di- Can You Contribute to a
-
-rectly on your Form 1040 or 1040-SR. You Roth IRA?
-
-Generally, you can contribute to a Roth IRA if
-
-you have taxable compensation (defined later)
-
-
-
-88 Chapter 9 Individual Retirement Arrangements (IRAs) Publication 17 (2025)
-
-Worksheet 9-2. Modified AGI for Roth IRA Purposes Keep for Your Records
-
-
-
-Use this worksheet to figure your modified AGI for Roth IRA purposes.
-
- 1. Enter your AGI from Form 1040 or 1040-SR, line 11a . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1.
-
- 2. Enter any income resulting from the conversion of an IRA (other than a Roth IRA) to a Roth
-
-IRA (included on Form 1040 or 1040-SR, line 4b) and a rollover from a qualified retirement plan to a Roth IRA (included on Form 1040 or 1040-SR, line 5b) . . . . . . . . . . . . . . . . . . . . . . 2.
-
- 3. Subtract line 2 from line 1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.
-
- 4. Enter any traditional IRA deduction from Schedule 1 (Form 1040), line 20 . . . . . . . . . . . . . . 4.
-
- 5. Enter any student loan interest deduction from Schedule 1 (Form 1040), line 21 . . . . . . . . . 5.
-
- 6. Enter any foreign earned income and/or housing exclusion from Form 2555, line 45 . . . . . . 6.
-
- 7. Enter any foreign housing deduction from Form 2555, line 50 . . . . . . . . . . . . . . . . . . . . . . . . 7.
-
-8. Enter any excludable savings bond interest from Form 8815, line 14 . . . . . . . . . . . . . . . . . . 8.
-
-9. Enter any excluded employer-provided adoption benefits from Form 8839, line 30 . . . . . . . . 9.
-
-10. Add the amounts on lines 3 through 9 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10.
-
-11. Enter:
-
-• $246,000 if married filing jointly or qualifying surviving spouse,
-
-• $10,000 if married filing separately and you lived with your
-
-spouse at any time during the year, or
-
-• $165,000 for all others . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11.
-
-Is the amount on line 10 more than the amount on line 11?
-
-If yes, then see the Note below.
-
-If no, then the amount on line 10 is your modified AGI for Roth IRA purposes.
-
-Note: If the amount on line 10 is more than the amount on line 11 and you have other income or loss items, such as social security income or passive activity losses, that are subject to AGI-based phaseouts, you can refigure your AGI solely for the purpose of figuring your modified AGI for Roth IRA purposes. (If you receive social security benefits, use Worksheet 1 in Appendix B of Pub. 590-A to refigure your AGI.) Then, go to line 3 above in this Worksheet 9-2 to refigure your modified AGI. If you don't have other income or loss items subject to AGI-based phaseouts, your modified AGI for Roth IRA purposes is the amount on line 10.
-
-
-
-only to Roth IRAs or to both traditional IRAs and tion limit for Roth IRAs is generally the same as • Your taxable compensation minus all con-your limit would be if contributions were made Roth IRAs. tributions (other than employer contribu-only to Roth IRAs, but then reduced by all con-tions under a SEP arrangement or SIMPLE Roth IRAs only. If contributions are made only tributions for the year to all IRAs other than Roth IRA plan) for the year to all IRAs other than to Roth IRAs, your contribution limit is generally IRAs. Employer contributions under a SEP ar-Roth IRAs. the lesser of the following amounts. The contribution limit for Roth IRAs generally tions are made to both Roth IRAs and traditional rangement or SIMPLE IRA plan) for the IRAs established for your benefit, your contribu- year to all IRAs other than Roth IRAs. depends on whether contributions are made How Much Can Be Contributed? Roth IRAs and traditional IRAs. If contribu- employer contributions under a SEP ar-
-
-
-
-• $7,000 ($8,000 if you are 50 or older in amount, your contribution limit may be reduced, This means that your contribution limit is 2025), or as explained next under Contribution limit re- generally the lesser of the following amounts. Your taxable compensation. • limit. However, if your modified AGI is above a certain rangement or SIMPLE IRA plan don't affect this
-
-• duced. $7,000 ($8,000 if you are 50 or older in
-
-However, if your modified AGI is above a certain 2025) minus all contributions (other than Contribution limit reduced. If your modified amount, your contribution limit may be reduced, AGI is above a certain amount, your contribu-
-
-as explained later under Contribution limit re- tion limit is gradually reduced. Use Table 9-3 to
-
-duced. determine if this reduction applies to you.
-
-
-
-Publication 17 (2025) Chapter 9 Individual Retirement Arrangements (IRAs) 89 Table 9-3. Effect of Modified AGI on Roth IRA Contribution
-
-This table shows whether your contribution to a Roth IRA is affected by the amount of your modified AGI.
-
-IF you have taxable compensation and AND your modified
-
-your filing status is... AGI is... THEN...
-
-Married filing jointly or less than $236,000 you can contribute up to $7,000 ($8,000 if you are 50 or
-
-Qualifying surviving spouse older in 2025).
-
-at least $236,000 the amount you can contribute is reduced as explained
-
-but less than $246,000 under Contribution limit reduced in chapter 2 of Pub.
-
-590-A.
-
-$246,000 or more you can't contribute to a Roth IRA.
-
-Married filing separately and you lived zero (-0-) you can contribute up to $7,000 ($8,000 if you are 50 or
-
-with your spouse at any time during the year older in 2025).
-
-more than zero (-0-) the amount you can contribute is reduced as explained
-
-but less than $10,000 under Contribution limit reduced in chapter 2 of Pub.
-
-590-A.
-
-$10,000 or more you can't contribute to a Roth IRA.
-
-Single, Head of household, or Married less than $150,000 you can contribute up to $7,000 ($8,000 if you are 50 or
-
-filing separately and you didn't live with older in 2025).
-
-your spouse at any time during the year at least $150,000 the amount you can contribute is reduced as explained
-
-but less than $165,000 under Contribution limit reduced in chapter 2 of Pub.
-
-590-A.
-
-$165,000 or more you can't contribute to a Roth IRA.
-
-Figuring the reduction. If the amount you Withdrawal of excess contributions. For Conversion methods. You can convert
-
-can contribute to your Roth IRA is reduced, see purposes of determining excess contributions, amounts from a traditional IRA to a Roth IRA in Worksheet 2-2 under Can You Contribute to a any contribution that is withdrawn on or before any of the following ways.
-
-
-
-Roth IRA? in chapter 2 of Pub. 590-A for how to the due date (including extensions) for filing • Rollover. You can receive a distribution figure the reduction. your tax return for the year is treated as an from a traditional IRA and roll it over (con-amount not contributed. This treatment applies tribute it) to a Roth IRA within 60 days after only if any earnings on the contributions are When Can You Make the distribution. also withdrawn. The earnings are considered to Contributions? have been earned and received in the year the • Trustee-to-trustee transfer. You can di-You can make contributions to a Roth IRA for a excess contribution was made. rect the trustee of the traditional IRA to year at any time during the year or by the due transfer an amount from the traditional IRA Applying excess contributions. If contribu-date of your return for that year (not including to the trustee of the Roth IRA. tions to your Roth IRA for a year were more than extensions). the limit, you can apply the excess contribution • Same trustee transfer. If the trustee of You can make contributions for 2025 by the traditional IRA also maintains the Roth in one year to a later year if the contributions for the due date (not including extensions) TIP IRA, you can direct the trustee to transfer that later year are less than the maximum al-for filing your 2025 tax return. an amount from the traditional IRA to the lowed for that year. Roth IRA.
-
-
-
-What if You Contribute Too Much? Can You Move Amounts Same trustee. Conversions made with the same trustee can be made by redesignating the A 6% excise tax applies to any excess contribu-Into a Roth IRA? traditional IRA as a Roth IRA, rather than open-tion to a Roth IRA. ing a new account or issuing a new contract. You may be able to convert amounts from a tra-Excess contributions. These are the contri-ditional, SEP, or SIMPLE IRA into a Roth IRA. Rollover from a qualified retirement plan butions to your Roth IRAs for a year that equal You may be able to roll amounts over from a into a Roth IRA. You can roll over into a Roth the total of: qualified retirement plan to a Roth IRA. You may IRA all or part of an eligible rollover distribution
-
-1. Amounts contributed for the tax year to be able to recharacterize contributions made to you receive from your (or your deceased spou-
-
-
-
-erly and timely ferent IRA. You can roll amounts over from a rolled over from a Roth IRA • Employer's qualified pension, profit-shar-designated Roth account or from one Roth IRA or properly your Roth IRAs (other than amounts prop- one IRA as having been made directly to a dif- se's):
-
-IRA to another Roth IRA. or rolled over from a qualified retire- Annuity plan; converted from a traditional ing, or stock bonus plan;
-
-ment plan • , as described later) that are
-
-more than your contribution limit for the Conversions • Tax-sheltered annuity plan (section 403(b) year; plus plan); or You can convert a traditional IRA to a Roth IRA.
-
-2. Any excess contributions for the preceding The conversion is treated as a rollover, regard- • Governmental deferred compensation plan
-
-year, reduced by the total of: less of the conversion method used. Most of the (section 457 plan).
-
-
-
-a. Any distributions out of your Roth rules for rollovers, described earlier under Roll- Any amount rolled over is subject to the same over From One IRA Into Another under Tradi-IRAs for the year, plus rules as those for converting a traditional IRA tional IRAs, apply to these rollovers. However, into a Roth IRA. Also, the rollover contribution b. Your contribution limit for the year mi-the 1-year waiting period doesn't apply. must meet the rollover requirements that apply nus your contributions to all your IRAs to the specific type of retirement plan. for the year.
-
-
-
-90 Chapter 9 Individual Retirement Arrangements (IRAs) Publication 17 (2025)
-
-Income. You must include in your gross in- only be made to another designated Roth ac- tion from a Roth IRA, you may have to pay the
-
-come distributions from a qualified retirement count or to a Roth IRA. For more information 10% additional tax on early distributions. You plan that you would have had to include in in- about designated Roth accounts, see Designa- must generally pay the 10% additional tax on come if you hadn't rolled them over into a Roth ted Roth accounts under Rollovers in Pub. 575. any amount attributable to the part of the IRA. You don't include in gross income any part amount converted or rolled over (the conversion
-
-of a distribution from a qualified retirement plan or rollover contribution) that you had to include Are Distributions Taxable?
-
-that is a return of basis (after-tax contributions) in income. A separate 5-year period applies to
-
-
-
-to the plan that was taxable to you when paid. each conversion and rollover. See Ordering You don't include in your gross income qualified These amounts are normally included in income rules for distributions , later, to determine the distributions or distributions that are a return of on your return for the year of the rollover from amount, if any, of the distribution that is attribut-your regular contributions from your Roth the qualified employer plan to a Roth IRA. able to the part of the conversion or rollover IRA(s). You also don't include distributions from contribution that you had to include in income. If you must include any amount in your your Roth IRA that you roll over tax free into an-other Roth IRA. You may have to include part of gross income, you may have to in-Additional tax on other early distributions. ! other distributions in your income. See CAUTION Ordering crease your withholding or make esti-Unless an exception applies, you must pay the rules for distributions mated tax payments. See Pub. 505, Tax With-, later. 10% additional tax on the taxable part of any
-
-holding and Estimated Tax. distributions that aren't qualified distributions. What are qualified distributions? A qualified See Pub. 590-B for more information. For more information, see Rollover From distribution is any payment or distribution from
-
-Employer's Plan Into a Roth IRA in chapter 2 of your Roth IRA that meets the following require- Ordering rules for distributions. If you re-Pub. 590-A. ments. ceive a distribution from your Roth IRA that isn't
-
-
-
-Converting from a SIMPLE IRA. Generally, a qualified distribution, part of it may be taxable. 1. It is made after the 5-year period begin- There is a set order in which contributions (in- you can convert an amount in your SIMPLE IRA ning with the first tax year for which a con- cluding conversion contributions and rollover to a Roth IRA under the same rules explained tribution was made to a Roth IRA set up contributions from qualified retirement plans) earlier under Converting From Any Traditional for your benefit. and earnings are considered to be distributed IRA to a Roth IRA under Traditional IRAs. 2. The payment or distribution is: from your Roth IRA. Regular contributions are However, you can't convert any amount dis- distributed first. See Ordering Rules for Distribu- a. Made on or after the date you reach tributed from the SIMPLE IRA plan during the age 59 1 tions under Are Distributions Taxable? in chap- / 2 , 2-year period beginning on the date you first ter 2 of Pub. 590-B for more information. participated in any SIMPLE IRA plan main- b. Made because you are disabled, tained by your employer. Must you withdraw or use Roth IRA assets? c. Made to a beneficiary or to your es- You aren't required to take distributions from More information. For more detailed informa- tate after your death, or your Roth IRA at any age. The minimum distri- tion on conversions, see Can You Move d. To pay up to $10,000 (lifetime limit) of bution rules that apply to traditional IRAs don't Amounts Into a Roth IRA? in chapter 2 of Pub. certain qualified first-time homebuyer apply to Roth IRAs while the owner is alive. 590-A. amounts. See First home under What However, after the death of a Roth IRA owner, certain distribution rules that apply to traditional Acts Result in Penalties or Additional Rollover From a Roth IRA Taxes? in chapter 1 of Pub. 590-B for IRAs also apply to Roth IRAs.
-
-
-
-You can withdraw, tax free, all or part of the as- more information. More information. For more detailed informa-sets from one Roth IRA if you contribute them tion on Roth IRAs, see chapter 2 of Pub. 590-A Additional tax on distributions of conver-within 60 days to another Roth IRA. Most of the and Pub. 590-B. sion and certain rollover contributions rules for rollovers, explained earlier under Roll-within 5-year period. If, within the 5-year pe-over From One IRA Into Another under Tradi-riod starting with the first day of your tax year in tional IRAs, apply to these rollovers. which you convert an amount from a traditional Rollover from designated Roth account. A IRA or roll over an amount from a qualified re-rollover from a designated Roth account can tirement plan to a Roth IRA, you take a distribu-
-
-
-
-Publication 17 (2025) Chapter 9 Individual Retirement Arrangements (IRAs) 91 Part Three.
-
-
-
-
-
-Standard After you have figured your adjusted gross income, you are ready to
-
-
-subtract the deductions used to figure taxable income. You can subtract
-
-Deduction, either the standard deduction or itemized deductions, and, if you qualify,
-
-the qualified business income deduction. Itemized deductions are
-
-Itemized deductions for certain expenses that are listed on Schedule A (Form 1040).
-
-The three chapters in this part discuss the standard deduction and certain
-
-
-
-Deductions, and itemized deductions. See chapter 10 for the factors to consider when deciding whether to take the standard deduction or itemized deductions.
-
-
-
-Other The Form 1040 and 1040-SR schedules that are discussed in these chapters are:
-
-Deductions • Schedule 1, Additional Income and Adjustments to Income;
-
-• Schedule 2, Part II, Other Taxes; and
-
-• Schedule 3, Part I, Nonrefundable Credits.
-
-
-
-expenses, charitable contributions, and taxes, 526 526 Charitable Contributions
-
-
-
-10. on Schedule A (Form 1040). The standard de-duction is higher for taxpayers who: 530 530 Tax Information for Homeowners
-
-• Are 65 or older, or 547 547 Casualties, Disasters, and Thefts
-
-
-
-Standard • Are blind. 550 550 Investment Income and Expenses
-
-936 936 Home Mortgage Interest Deduction
-
-
-
-Deduction You benefit from the standard deduc-TIP 970 Tax Benefits for Education tion if your standard deduction is more 970
-
-deductions. Form (and Instructions) than the total of your allowable itemized
-
-What's New Schedule A (Form 1040) Schedule A (Form 1040) Itemized Persons not eligible for the standard de- Deductions
-
-duction. Your standard deduction is zero and
-
-
-
-Standard deduction increased. The stand- you should itemize any deductions you have if: Standard Deduction ard deduction for taxpayers who don't itemize • Your filing status is married filing sepa-
-
-their deductions on Schedule A (Form 1040) rately, and your spouse itemizes deduc- Amount has increased. The amount of your standard tions on their return;
-
-
-
-Tables year because of a change in your annual near the end of this chapter to figure your filing status, whether you are 65 or older or accounting period; or your standard deduction. other factors. Use the 2025 Standard Deduction The standard deduction amount depends on deduction depends on your filing status and • You are filing a tax return for a short tax
-
-blind, and whether another taxpayer can claim
-
-Enhanced deduction for seniors. Beginning • You are a nonresident or dual-status alien you as a dependent. Generally, the standard
-
-in 2025, taxpayers who are age 65 or older may during the year. You are considered a deduction amounts are adjusted each year for
-
-be eligible for the enhanced deduction for se- dual-status alien if you were both a nonres- inflation. The standard deduction amounts for
-
-ident and resident alien during the year. most people are shown in Table 10-1.
-
-niors. The maximum amount of the deduction is
-
-$6,000 per person. See Schedule 1-A (Form If you are a nonresident alien who is married Decedent's final return. The standard deduc-1040) and the Instructions for Form 1040 for to a U.S. citizen or resident alien at the end of tion for a decedent's final tax return is the same more information. the year, you can choose to be treated as a U.S. as it would have been had the decedent contin-
-
-resident. (See Pub. 519.) If you make this ued to live. However, if the decedent wasn't 65
-
-Introduction choice, you can take the standard deduction. or older at the time of death, the higher stand-
-
-If you can be claimed as a dependent ard deduction for age can't be claimed.
-
-
-
-This chapter discusses the following topics. ! on another person’s return (such as your parents’ return), your standard de-CAUTION Higher Standard • How to figure the amount of your standard duction may be limited. See Standard Deduc-deduction. Deduction for Age (65 or tion for Dependents , later. Older) • The standard deduction for dependents.
-
-• Who should itemize deductions. Useful Items If you are age 65 or older on the last day of the
-
-Most taxpayers have a choice of either tak- You may want to see: year and don't itemize deductions, you are enti-
-
-ing a standard deduction or itemizing their de- tled to a higher standard deduction. You are
-
-ductions. If you have a choice, you can use the Publication considered 65 on the day before your 65th birth-method that gives you the lower tax. day. Therefore, you can take a higher standard
-
-The standard deduction is a dollar amount 501 501 Dependents, Standard Deduction, deduction for 2025 if you were born before Jan-
-
-that reduces your taxable income. It is a benefit and Filing Information uary 2, 1961.
-
-that eliminates the need for many taxpayers to Use Table 10-2 to figure the standard de-itemize actual deductions, such as medical 502 502 Medical and Dental Expenses duction amount.
-
-92 Chapter 10 Standard Deduction Publication 17 (2025)
-
-Death of a taxpayer. If you are preparing a re- itemized deductions and use Table 10-3 to find Higher Standard
-
-turn for someone who died in 2025, read this your standard deduction. You enter $150 Deduction for Net Disaster
-
-before using Table 10-2 or Table 10-3. Consider (earned income) on line 1, $600 ($150 + $450) Loss
-
-the taxpayer to be 65 or older at the end of 2025 on line 3, $1,350 (the larger of $600 and
-
-only if they were 65 or older at the time of death. $1,350) on line 5, and $15,750 on line 6. Your
-
-Even if the taxpayer was born before January 2, Your standard deduction may be increased by standard deduction, on line 7a, is $1,350 (the 1961, they are not considered 65 or older at the any net qualified disaster loss. smaller of $1,350 and $15,750). end of 2025 unless they were 65 or older at the See the Instructions for Form 1040 and the time of death. Example 2. You are a 22-year-old college Instructions for Schedule A (Form 1040) for
-
-A person is considered to reach age 65 on student and can be claimed as a dependent on more information on how to figure your in-
-
-the day before their 65th birthday. your parents' 2025 tax return. You are married creased standard deduction and how to report it
-
-on Form 1040 or 1040-SR. filing a separate return. Your spouse doesn't
-
-Higher Standard itemize deductions. You have $1,500 in interest
-
-Deduction for Blindness Examples income and wages of $3,800 and no itemized
-
-deductions. You find your standard deduction
-
-by using Table 10-3. You enter earned income,
-
-If you are blind on the last day of the year and The following examples illustrate how to deter- $3,800, on line 1. You add lines 1 and 2 and en-
-
-you don't itemize deductions, you are entitled to mine your standard deduction using Tables ter $4,250 ($3,800 + $450) on line 3. On line 5,
-
-a higher standard deduction. 10-1 and 10-2. you enter $4,250, the larger of lines 3 and 4.
-
-
-
-Not totally blind. If you aren't totally blind, you Because you are married filing a separate re- Example 1. A married couple, 46 and 33 turn, you enter $15,750 on line 6. On line 7a, must get a certified statement from an eye doc- years old, are filing a joint return for 2025. Nei- you enter $4,250 as the standard deduction tor (ophthalmologist or optometrist) that: ther is blind, and neither can be claimed as a amount because it is smaller than $15,750, the dependent. They decide not to itemize their de- • You can't see better than 20/200 in the bet- amount on line 6. ductions. They use Table 10-1 . Their standard ter eye with glasses or contact lenses, or deduction is $31,500. Example 3. You are single and can be • Your field of vision is 20 degrees or less. claimed as a dependent on your parents' 2025 Example 2. The facts are the same as in If your eye condition isn't likely to improve tax return. You are 18 years old and blind and beyond these limits, the statement should in- Example 1, except that one of the spouses is have interest income of $1,300, wages of clude this fact. Keep the statement in your re- blind at the end of 2025. They use Table 10-2 . $2,900, and no itemized deductions. You use Their standard deduction is $33,100. cords. Table 10-3 to find the standard deduction If your vision can be corrected beyond these amount. You enter wages of $2,900 on line 1, Example 3. A married couple is filing a joint limits only by contact lenses that you can wear and add lines 1 and 2 and enter $3,350 ($2,900 return for 2025. Both are over age 65. Neither is only briefly because of pain, infection, or ulcers, + $450) on line 3. On line 5, you enter $3,350, blind, and neither can be claimed as a depend- you can take the higher standard deduction for the larger of lines 3 and 4. Because you are sin- ent. If they don't itemize deductions, they use blindness if you otherwise qualify. gle, you enter $15,750 on line 6 and $3,350 on Table 10-2 . Their standard deduction is line 7a. This is the smaller of the amounts on $34,700. Spouse 65 or Older or lines 5 and 6. Because you checked one box in the top part of the worksheet, you enter $2,000 Blind Standard Deduction for on line 7b, then add the amounts on lines 7a and 7b and enter the standard deduction You can take the higher standard deduction if Dependents amount of $5,350 ($3,350 + $2,000) on line 7c. your spouse is age 65 or older or blind and: The standard deduction for an individual who Example 4. You are 18 years old and single • You file a joint return, or can be claimed as a dependent on another per- and can be claimed as a dependent on your pa- • You file a separate return and your spouse son's tax return is generally limited to the rents’ 2025 tax return. You have wages of had no gross income and can't be claimed greater of: $7,000, interest income of $500, a business as a dependent by another taxpayer. loss of $3,000, and no itemized deductions. You • $1,350, or use Table 10-3 to figure the standard deduction Death of a spouse. If your spouse died in • The individual's earned income for the year amount. You enter $4,000 ($7,000 − $3,000) on 2025 before reaching age 65, you can't take a plus $450 (but not more than the regular line 1, and add lines 1 and 2 and enter $4,450 higher standard deduction because of your standard deduction amount, generally ($4,000 + $450) on line 3. On line 5, you enter spouse. Even if your spouse was born before $15,750). $4,450, the larger of lines 3 and 4, and, be- January 2, 1961, your spouse isn't considered cause you are single, $15,750 on line 6. On 65 or older at the end of 2025 unless your However, if the individual is 65 or older or line 7a, you enter $4,450 as the standard de- spouse was 65 or older at the time of death. blind, the standard deduction may be higher. duction amount because it is smaller than A person is considered to reach age 65 on If you (or your spouse, if filing jointly) can be $15,750, the amount on line 6. the day before their 65th birthday. claimed as a dependent on someone else's re- Who Should Itemize turn, use Table 10-3 to determine your standard Example. Your spouse was born on Febru- deduction. ary 14, 1960, and died on February 13, 2025.
-
-Your spouse is considered age 65 at the time of Earned income defined. Earned income is You should itemize deductions if your total de-death. However, if your spouse died on Febru- salaries, wages, tips, professional fees, and ductions are more than your standard deduction ary 12, 2025, your spouse isn't considered age other amounts received as pay for work you ac- amount. Also, you should itemize if you don't 65 at the time of death and isn't 65 or older at tually perform. qualify for the standard deduction, as discussed
-
-the end of 2025. earlier under Persons not eligible for the stand-For purposes of the standard deduction,
-
-
-
-CAUTION ! duction for an individual other than ble scholarship or fellowship grant. See chap- You should first figure your itemized deduc-ter 1 of Pub. 970 for more information on what yourself and your spouse. tions and compare that amount to your standard You can't claim the higher standard de- ard deduction. earned income also includes any part of a taxa-
-
-qualifies as a scholarship or fellowship grant. deduction to make sure you are using the
-
-Example 1. You are 16 years old and sin- method that gives you the greater benefit.
-
-gle. Your parents can claim you as a dependent
-
-on their 2025 tax return. You have interest in-
-
-come of $780 and wages of $150. You have no
-
-Publication 17 (2025) Chapter 10 Standard Deduction 93
-
-When to itemize. You may benefit from to your Form 1040 or 1040-SR. Enter the U.S. Individual Income Tax Return. See Amen-
-
-itemizing your deductions on Schedule A (Form amount from Schedule A (Form 1040), line 17, ded Returns and Claims for Refund in chapter 1 1040) if you: on Form 1040 or 1040-SR, line 12e. for more information on amended returns.
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-• Don't qualify for the standard deduction, Electing to itemize for state tax or other Married persons who filed separate re-
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-
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-• purposes. Even if your itemized deductions turns. You can change methods of taking de- Had large uninsured medical and dental are less than your standard deduction, you can ductions only if you and your spouse both make expenses during the year, elect to itemize deductions on your federal re- the same changes. Both of you must file a con- • Paid interest and taxes on your home, turn rather than taking the standard deduction. sent to assessment for any additional tax either • Had large uninsured casualty or theft los- You may want to do this if, for example, the tax one may owe as a result of the change.
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-ses, benefit of itemizing your deductions on your You and your spouse can use the method
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-
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-These deductions are explained in • state tax return is greater than the tax benefit that gives you the lower total tax, even though Made large contributions to qualified chari- you lose on your federal return by not taking the one of you may pay more tax than you would ties, or standard deduction. To make this election, you have paid by using the other method. You both • Have total itemized deductions that are must check the box on line 18 of Schedule A must use the same method of claiming deduc- more than the standard deduction to which (Form 1040). tions. If one itemizes deductions, the other you are otherwise entitled. should itemize because they won't qualify for Changing your mind. If you don't itemize your the standard deduction. See Persons not eligi- chapter 11 deductions and later find that you should have and in the publications listed under Useful ble for the standard deduction , earlier. itemized—or if you itemize your deductions and Items, earlier. later find you shouldn't have—you can change If you decide to itemize your deductions, your return by filing Form 1040-X, Amended complete Schedule A (Form 1040) and attach it
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-
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-94 Chapter 10 Standard Deduction Publication 17 (2025) 2025 Standard Deduction Tables
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-If you are married filing a separate return and your spouse itemizes deductions, or if you are a dual-status alien, you can't take the standard deduction
-
-CAUTION ! even if you were born before January 2, 1961, or are blind.
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-
-
-Table 10-1. Standard Deduction Chart for Most People*
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-IF your filing status is... THEN your standard deduction is...
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-Single or Married filing separately $15,750
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-Married filing jointly or Qualifying surviving spouse 31,500
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-Head of household 23,625
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-* Don't use this chart if you were born before January 2, 1961, are blind, or if someone else can claim you (or your spouse, if filing jointly) as a dependent. Use Table 10-2 or
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-10-3 instead.
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-Table 10-2. Standard Deduction Chart for People Born Before January 2, 1961, or Who Are Blind*
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-Check the correct number of boxes below. Then go to the chart.
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-You: Born before January 2, 1961 Blind
-
-Your spouse: Born before January 2, 1961 Blind
-
-Total number of boxes checked
-
-IF AND THEN
-
-your filing status is... the number in the box above is... your standard deduction is...
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-Single 1 $17,750
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-2  19,750
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-Married filing jointly 1 $33,100
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-2 34,700
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-3 36,300 4 37,900
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-Qualifying surviving spouse 1 $33,100
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-2  34,700
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-Married filing 1 $17,350
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-separately** 2  18,950
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-3 20,550 4 22,150
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-Head of household 1 $25,625
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-2 27,625
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-* If someone else can claim you (or your spouse, if filing jointly) as a dependent, use Table 10-3 instead.
-
-** You can check the boxes for Your Spouse if your filing status is married filing separately and your spouse had no income, isn’t filing a return, and can’t be claimed as a
-
-dependent on another person’s return.
-
-Table 10-3. Standard Deduction Worksheet for Dependents
-
-Use this worksheet only if someone else can claim you (or your spouse, if filing jointly) as a dependent.
-
-Check the correct number of boxes below. Then go to the worksheet.
-
-You: Born before January 2, 1961 Blind
-
-Your spouse: Born before January 2, 1961 Blind
-
-Total number of boxes checked
-
-1. Enter your earned income (defined below). If none, enter -0-. 1.
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-2. Additional amount. $450 2.
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-3. Add lines 1 and 2. 3.
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-4. Minimum standard deduction. $1,350 4.
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-5. Enter the larger of line 3 or line 4. 5.
-
-6. Enter the amount shown below for your filing status.
-
-
-
-• Single or Married filing separately—$15,750 6. • Married filing jointly—$31,500 • Head of household—$23,625
-
-7. Standard deduction.
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-a. Enter the smaller of line 5 or line 6. If born after January 1, 1961, and not blind, stop here. This is your
-
-standard deduction. Otherwise, go on to line 7b. 7a.
-
-b. If born before January 2, 1961, or blind, multiply $2,000 ($1,600 if married) by the number in the box above. 7b. c. Add lines 7a and 7b. This is your standard deduction for 2025. 7c.
-
-Earned income includes wages, salaries, tips, professional fees, and other compensation received for personal services you performed. It also includes any
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-taxable scholarship or fellowship grant.
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-
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-Publication 17 (2025) Chapter 10 Standard Deduction 95
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-
-
-
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-General sales taxes. These are taxes im- tion of the contested liability). See Pub. 538 for
-
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-posed at one rate on retail sales of a broad details. range of classes of items. If you use an accrual method of accounting,
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-Foreign taxes. These are taxes imposed by a see Pub. 538 for more information.
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-
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-11. foreign country or any of its political subdivi- Income Taxes sions.
-
-
-
-Taxes Useful Items This section discusses the deductibility of state and local income taxes (including employee You may want to see: contributions to state benefit funds) and foreign
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-income taxes.
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-Publication
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-
-
-What’s New 502 502 Medical and Dental Expenses State and Local Income
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-503 503 Child and Dependent Care Expenses Taxes
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-
-
-state and local income, sales, and property 514 Exception. You can’t deduct state and local in-Foreign Tax Credit for Individuals taxes has increased to $40,000 ($20,000 if mar- 525 525 Taxable and Nontaxable Income come taxes you pay on income that is exempt ried filing separately). See creased. The overall limit on the deduction for You can deduct state and local income taxes. 514 State and local tax deduction limit in- 504 504 Divorced or Separated Individuals
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-tion for state and local taxes Limitation on deduc- from federal income tax, unless the exempt in- 530 , later. 530 Tax Information for Homeowners come is interest income. For example, you can’t
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-
-
-Reminder Form (and Instructions) deduct the part of a state's income tax that is on
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-a cost-of-living allowance exempt from federal
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-Schedule A (Form 1040) Schedule A (Form 1040) Itemized income tax.
-
-Deductions
-
-
-
-No deduction for foreign taxes paid for real Schedule C (Form 1040) estate. You can no longer deduct foreign taxes Schedule C (Form 1040) Profit or Loss What To Deduct From Business (Sole Proprietorship) Your deduction may be for withheld taxes, esti-you paid on real estate. Schedule E (Form 1040) Schedule E (Form 1040) Supplemental mated tax payments, or other tax payments as follows. Income and Loss Introduction Schedule F (Form 1040) Schedule F (Form 1040) Profit or Loss Withheld taxes. You can deduct state and lo-From Farming cal income taxes withheld from your salary in This chapter discusses which taxes you can de-the year they are withheld. Your Form(s) W-2 duct if you itemize deductions on Schedule A Schedule SE (Form 1040) Schedule SE (Form 1040) will show these amounts. Forms W-2G, 1099-B, (Form 1040). It also explains which taxes you Self-Employment Tax 1099-DIV, 1099-G, 1099-K, 1099-MISC, can deduct on other schedules or forms and 1099-NEC, 1099-OID, and 1099-R may also 1116 which taxes you can’t deduct. 1116 Foreign Tax Credit show state and local income taxes withheld. This chapter covers the following topics. For these and other useful items, go to IRS.gov/ Estimated tax payments. You can deduct es-Forms . • Income taxes (federal, state, local, and for-timated tax payments you made during the year eign). to a state or local government. However, you • General sales taxes (state and local). Tests To Deduct Any must have a reasonable basis for making the Tax • Real estate taxes (state, local, and for-estimated tax payments. Any estimated state or local tax payments that aren’t made in good eign). faith at the time of payment aren’t deductible. The following two tests must be met for you to • Personal property taxes (state and local). deduct any tax. Example. You made an estimated state in-• Taxes and fees you can’t deduct. • The tax must be imposed on you. come tax payment. However, the estimate of Use Table 11-1 as a guide to determine your state tax liability shows that you will get a • You must pay the tax during your tax year. which taxes you can deduct. refund of the full amount of your estimated pay-The end of the chapter contains a section The tax must be imposed on you. In gen-ment. You had no reasonable basis to believe that explains which forms you use to deduct dif-eral, you can deduct only taxes imposed on you had any additional liability for state income ferent types of taxes. you. taxes and you can’t deduct the estimated tax
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-
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-Business taxes. You can deduct certain taxes Generally, you can deduct property taxes payment. only if you are an owner of the property. If your only if they are ordinary and necessary expen-Refund applied to taxes. You can deduct any spouse owns the property and pays the real es-ses of your trade or business or of producing in-part of a refund of prior-year state or local in-tate taxes, the taxes are deductible on your come. For information on these taxes, see come taxes that you chose to have credited to spouse's separate return or on your joint return. chapter 8, Business Expenses in Pub. 334. your 2025 estimated state or local income
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-
-
-State or local taxes. These are taxes imposed You must pay the tax during your tax year. taxes. If you are a cash-basis taxpayer, you can de-Don’t reduce your deduction by either of the by the 50 states, U.S. territories, or any of their duct only those taxes you actually paid during following items. political subdivisions (such as a county or city), your tax year. If you pay your taxes by check or by the District of Columbia. • Any state or local income tax refund (or and the check is honored by your financial insti-credit) you expect to receive for 2025. tution, the day you mail or deliver the check is Indian tribal government. An Indian tribal the date of payment. If you use a pay-by-phone • Any refund of (or credit for) prior-year state government recognized by the Secretary of the account (such as a credit card or electronic and local income taxes you actually re-Treasury as performing substantial government funds withdrawal), the date reported on the ceived in 2025. functions will be treated as a state for purposes statement of the financial institution showing of claiming a deduction for taxes. Income taxes, However, part or all of this refund (or credit) when payment was made is the date of pay-real estate taxes, and personal property taxes may be taxable. See Refund (or credit) of state ment. If you contest a tax liability and are a imposed by that Indian tribal government (or by or local income taxes , later. cash-basis taxpayer, you can deduct the tax any of its subdivisions that are treated as politi-only in the year you actually pay it (or transfer Separate federal returns. If you and your cal subdivisions of a state) are deductible. money or other property to provide for satisfac-spouse file separate state, local, and federal
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-96 Chapter 11 Taxes Publication 17 (2025) income tax returns, each of you can deduct on sion of how much to include, see Recoveries in income plus any nontaxable items such as the your federal return only the amount of your own Pub. 525 for more information. following.
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-
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-state and local income tax that you paid during • Tax-exempt interest. the tax year. Foreign Income Taxes • Veterans’ benefits. Joint state and local returns. If you and • Nontaxable combat pay. your spouse file joint state and local returns and Generally, you can take either a deduction or a separate federal returns, each of you can de-credit for income taxes imposed on you by a for-• Workers’ compensation. duct on your separate federal return a part of eign country or a U.S. territory. However, you • Nontaxable part of social security and rail-the state and local income taxes paid during the can’t take a deduction or credit for foreign in-road retirement benefits. tax year. You can deduct only the amount of the come taxes paid on income that is exempt from total taxes that is proportionate to your gross in-U.S. tax under the foreign earned income exclu-• Nontaxable part of IRA, pension, or annuity come compared to the combined gross income sion or the foreign housing exclusion. For infor-distributions, excluding rollovers. of you and your spouse. However, you can’t de-mation on these exclusions, see Pub. 54, Tax • Public assistance payments. duct more than the amount you actually paid Guide for U.S. Citizens and Resident Aliens during the year. You can avoid this calculation if If you lived in different states during the Abroad. For information on the foreign tax you and your spouse are jointly and individually same tax year, you must prorate your applicable credit, see Pub. 514. liable for the full amount of the state and local table amount for each state based on the days you lived in each state. See the instructions for income taxes. If so, you and your spouse can State and Local deduct on your separate federal returns the Schedule A (Form 1040), line 5a, for details. General Sales Taxes amount you each actually paid. State and Local Real Joint federal return. If you file a joint federal You can elect to deduct state and local general return, you can deduct the state and local in-sales taxes, instead of state and local income Estate Taxes come taxes both of you paid. taxes, as an itemized deduction on Schedule A Contributions to state benefit funds. As an Deductible real estate taxes are any state and (Form 1040), line 5a. You can use either your employee, you can deduct mandatory contribu-local taxes on real property levied for the gen-actual expenses or the state and local sales tax tions to state benefit funds withheld from your eral public welfare. You can deduct these taxes tables to figure your sales tax deduction. wages that provide protection against loss of only if they are assessed uniformly against all Actual expenses. Generally, you can deduct wages. For example, certain states require em-property under the jurisdiction of the taxing au-the actual state and local general sales taxes ployees to make contributions to state funds thority. The proceeds must be for general com-(including compensating use taxes) if the tax providing disability or unemployment insurance munity or governmental purposes and not be a rate was the same as the general sales tax rate. benefits. Mandatory payments made to the fol-payment for a special privilege granted or serv-ice rendered to you. lowing state benefit funds are deductible as Food, clothing, and medical supplies. state income taxes on Schedule A (Form 1040), Sales taxes on food, clothing, and medical sup-Deductible real estate taxes generally don’t line 5a. plies are deductible as a general sales tax even include taxes charged for local benefits and im-• Alaska Unemployment Compensation if the tax rate was less than the general sales provements that increase the value of the prop-Fund. erty. They also don’t include itemized charges tax rate. for services (such as trash collection) assessed • California Nonoccupational Disability Ben-Motor vehicles. Sales taxes on motor vehi-efit Fund. against specific property or certain people, even cles are deductible as a general sales tax even if the charge is paid to the taxing authority. For • New Jersey Nonoccupational Disability more information about taxes and charges that if the tax rate was less than the general sales Benefit Fund. tax rate. However, if you paid sales tax on a mo-aren’t deductible, see Real Estate-Related • New Jersey Unemployment Compensation tor vehicle at a rate higher than the general Items You Can’t Deduct , later.
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-
-
-• Fund. sales tax, you can deduct only the amount of Tenant-shareholders in a cooperative hous-the tax that you would have paid at the general New York Nonoccupational Disability Ben-ing corporation. Generally, if you are a ten-sales tax rate on that vehicle. Include any state efit Fund. ant-stockholder in a cooperative housing corpo-and local general sales taxes paid for a leased ration, you can deduct the amount paid to the • Pennsylvania Unemployment Compensa-motor vehicle. For purposes of this section, mo-corporation that represents your share of the tion Fund. tor vehicles include cars, motorcycles, motor real estate taxes the corporation paid or incur-homes, recreational vehicles, sport utility vehi-• Rhode Island Temporary Disability Benefit red for your dwelling unit. The corporation cles, trucks, vans, and off-road vehicles. Fund. should provide you with a statement showing
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-
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-CAUTION • your share of the taxes. For more information, Washington State Supplemental Work- Trade or business items. Don't include see Special Rules for Cooperatives in Pub. 530. men's Compensation Fund. sales taxes paid on items used in your trade or Division of real estate taxes between buy- Employee contributions to private or business on Schedule A (Form 1040). Instead, go to the instructions for the form you are using ers and sellers. If you bought or sold real es- ! voluntary disability plans aren’t deduc- tible. to report business income and expenses to see tate during the year, the real estate taxes must if you can deduct these taxes. be divided between the buyer and the seller.
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-
-
-Refund (or credit) of state or local income The buyer and the seller must divide the real If you use the actual expenses method, taxes. If you receive a refund of (or credit for) estate taxes according to the number of days in you must have receipts to show the state or local income taxes in a year after the ! the real property tax year (the period to which CAUTION general sales taxes paid. year in which you paid them, you may have to the tax is imposed relates) that each owned the property. The seller is treated as paying the include the refund in income on Schedule 1 Optional sales tax tables. Instead of using (Form 1040), line 1, in the year you receive it. taxes up to, but not including, the date of sale. your actual expenses, you can figure your state This includes refunds resulting from taxes that The buyer is treated as paying the taxes begin- and local general sales tax deduction using the were overwithheld, applied from a prior-year re- ning with the date of sale. This applies regard- state and local sales tax tables in the Instruc- turn, not figured correctly, or figured again be- less of the lien dates under local law. Generally, tions for Schedule A (Form 1040). You may also cause of an amended return. If you didn’t item- this information is included on the settlement be able to add the state and local general sales ize your deductions in the previous year, don’t statement provided at the closing. taxes paid on certain specified items. include the refund in income. If you deducted If you (the seller) can’t deduct taxes until Your applicable table amount is based on the taxes in the previous year, include all or part they are paid because you use the cash method the state where you live, your income, and your of the refund on Schedule 1 (Form 1040), line 1, of accounting, and the buyer of your property is family size. Your income is your adjusted gross in the year you receive the refund. For a discus- personally liable for the tax, you are considered
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-Publication 17 (2025) Chapter 11 Taxes 97 the sale. This lets you deduct the part of the tax State and Local Real Estate Tax State and Local Real Estate Tax to the date of sale even though you didn’t ac-Deduction—Taxes on Old Home to have paid your part of the tax at the time of Worksheet 11-1. Figuring Your Worksheet 11-1. Figuring Your tually pay it. However, you must also include the Deduction—Taxes on New Home
-
-
-
-amount of that tax in the selling price of the 1. Enter the total state and local real estate 1. Enter the total state and local real estate property. The buyer must include the same taxes for the real property tax year . . . $620 $752 taxes for the real property tax year . . . amount in the cost of the property. 2. Enter the number of days in the real 2. Enter the number of days in the real You figure your deduction for taxes on each property tax year that you owned the property tax year that you owned the property bought or sold during the real property property . . . . . . . . . . . . . . . . 126 property . . . . . . . . . . . . . . . . 243 tax year as follows. 3. Divide line 2 by 365 (for leap years, 3. Divide line 2 by 365 (for leap years, 0.3452 divide line 2 by 366) . . . . . . . . . . divide line 2 by 366) . . . . . . . . . . 0.6658 Worksheet 11-1. Figuring 4. Multiply line 1 by line 3. This is your 4. Multiply line 1 by line 3. This is your Your State and Local Real deduction. Enter it on Schedule A (Form deduction. Claim it on Schedule A Estate Tax Deduction $214 1040), line 5b . . . . . . . . . . . . . $501 (Form 1040), line 5b . . . . . . . . . . Keep for Your Records Because the buyers of their old home paid all of The remaining $251 ($752 paid less $501 de-
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-
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-1. Enter the total state and local real estate the taxes, Porter and Riley also include the duction) of taxes paid in 2026, along with the taxes for the real property tax $214 in the selling price of the old home. (The $680 paid in 2025, is added to the cost of their year . . . . . . . . . . . . . . . . . . . . buyers add the $214 to their cost of the home.) new home. 2. Enter the number of days in the real property tax year that you owned the Porter and Riley owned their new home dur-Because the taxes up to the date of sale are property . . . . . . . . . . . . . . . . . ing the real property tax year for 243 days (May considered paid by the seller on the date of
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-3. Divide line 2 by 365 (for leap years, 3 to December 31, including their date of pur- sale, the seller is entitled to a 2025 tax deduc-.     divide line 2 by 366) . . . . . . . . . . . chase). They figure their deduction for taxes on tion of $931. This is the sum of the $680 for
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-
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-vide delinquent taxes between the buyer and 4. Multiply line 1 by line 3. This is your their new home as follows. 2024 and the $251 for the 122 days the seller deduction. Enter it on Schedule A (Form 1040), line 5b . . . . . . . . . . . . . . owned the home in 2025. The seller must also include the $931 in the selling price when they Note: Repeat steps 1 through 4 for each property you bought Worksheet 11-1. Figuring Your figure the gain or loss on the sale. The seller or sold during the real property tax year. Your total deduction is State and Local Real Estate Tax the sum of the line 4 amounts for all of the properties. should contact the Browns in January 2026 to Deduction—Taxes on New Home find out how much real estate tax is due for Real estate taxes for prior years. Don’t di-2025. 1. Enter the total state and local real estate taxes for the real property tax year . . . $732 seller if the taxes are for any real property tax Form 1099-S. For certain sales or ex-year before the one in which the property is 2. Enter the number of days in the real changes of real estate, the person responsible sold. Even if the buyer agrees to pay the delin-property tax year that you owned the for closing the sale (generally, the settlement property . . . . . . . . . . . . . . . . 243 quent taxes, the buyer can’t deduct them. The agent) prepares Form 1099-S, Proceeds From buyer must add them to the cost of the property. 3. Divide line 2 by 365 (for leap years, Real Estate Transactions, to report certain infor-The seller can deduct these taxes paid by the 0.6658 divide line 2 by 366) . . . . . . . . . . mation to the IRS and to the seller of the prop-buyer. However, the seller must include them in 4. Multiply line 1 by line 3. This is your erty. Box 2 of Form 1099-S is for the gross pro-the selling price. deduction. Enter it on Schedule A (Form ceeds from the sale and should include the $487 1040), line 5b Examples. The following examples illustrate . . . . . . . . . . . . . portion of the seller's real estate tax liability that the buyer will pay after the date of sale. The how real estate taxes are divided between Because Porter and Riley paid all of the taxes buyer includes these taxes in the cost basis of buyer and seller. on the new home, they add $245 ($732 paid the property, and the seller both deducts this less $487 deduction) to their cost of the new Example 1. Porter and Riley White's real amount as a tax paid and includes it in the sales home. (The sellers add this $245 to their selling property tax year for both their old home and price of the property. price and deduct the $245 as a real estate tax.) their new home is the calendar year, with pay-For a real estate transaction that involves a Porter and Riley's real estate tax deduction ment due August 1. The tax on their old home, home, any real estate tax the seller paid in ad-for their old and new homes is the sum of $214 sold on May 7, was $620. The tax on their new vance but that is the liability of the buyer ap-and $487, or $701. They will enter this amount home, bought on May 3, was $732. Porter and pears in box 6 of Form 1099-S. The buyer de-on Schedule A (Form 1040), line 5b. Riley are considered to have paid a proportion-ducts this amount as a real estate tax, and the seller reduces their real estate tax deduction (or ate share of the real estate taxes on the old Example 2. Reese and Quin Brown bought home even though they didn’t actually pay them includes it in income) by the same amount. See a new home on May 3, 2025. Their real property to the taxing authority. On the other hand, they Refund (or rebate) , later. tax year for the new home is the calendar year. can claim only a proportionate share of the Real estate taxes for 2024 were assessed in Taxes placed in escrow. If your monthly mort-taxes they paid on their new property even their state on January 1, 2025. The taxes be-gage payment includes an amount placed in es-though they paid the entire amount. came due on May 31, 2025, and October 31, crow (put in the care of a third party) for real es-Porter and Riley owned their old home dur-2025. tate taxes, you may not be able to deduct the ing the real property tax year for 126 days (Jan-The Browns agreed to pay all taxes due after total amount placed in escrow. You can deduct uary 1 to May 6, the day before the sale). They the date of purchase. Real estate taxes for 2024 only the real estate tax that the third party ac-figure their deduction for taxes on their old were $680. They paid $340 on May 31, 2025, tually paid to the taxing authority. If the third home as follows. and $340 on October 31, 2025. These taxes party doesn’t notify you of the amount of real estate tax that was paid for you, contact the were for the 2024 real property tax year. The third party or the taxing authority to find the Browns can’t deduct them because they didn’t proper amount to show on your return. own the property until 2025. Instead, they must
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-
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-add $680 to the cost of their new home. Tenants by the entirety. If you and your In January 2026, the Browns receive their spouse held property as tenants by the entirety 2025 property tax statement for $752, which and you file separate federal returns, each of they will pay in 2026. The Browns owned their you can deduct only the taxes each of you paid new home during the 2025 real property tax on the property. year for 243 days (May 3 to December 31). Divorced individuals. If your divorce or sepa- They will figure their 2026 deduction for taxes ration agreement states that you must pay the as follows. real estate taxes for a home owned by you and
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-98 Chapter 11 Taxes Publication 17 (2025) Table 11-1. Which Taxes Can You Deduct?
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-Type of tax You can deduct You can’t deduct
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-Fees and charges Fees and charges that are expenses of your trade or Fees and charges that aren’t expenses of your trade or
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-business or of producing income. business or of producing income, such as fees for
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-driver's licenses, car inspections, parking, or
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-charges for water bills (see Taxes and Fees You
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-Can’t Deduct).
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-Fines and penalties.
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-Income taxes State and local income taxes. Federal income taxes.
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-Foreign income taxes. Employee contributions to private or voluntary
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-disability plans.
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-Employee contributions to state funds listed under State and local general sales taxes if you choose to
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-Contributions to state benefit funds. deduct state and local income taxes.
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-General sales taxes State and local general sales taxes, including State and local income taxes if you choose to deduct
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-compensating use taxes. state and local general sales taxes.
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-Other taxes Taxes that are expenses of your trade or business. Federal excise taxes, such as tax on gasoline, that
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-aren’t expenses of your trade or business or of
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-producing income.
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-Taxes on property producing rent or royalty income. Per capita taxes.
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-One-half of self-employment tax paid.
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-Personal property State and local personal property taxes. Customs duties that aren’t expenses of your trade or
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-taxes business or of producing income.
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-Real estate taxes State and local real estate taxes. Real estate taxes that are treated as imposed on
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-someone else (see Division of real estate taxes
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-between buyers and sellers).
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-Tenant's share of real estate taxes paid by a Foreign real estate taxes.
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-cooperative housing corporation.
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-Taxes for local benefits (with exceptions). See Real
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-Estate-Related Items You Can’t Deduct.
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-Trash and garbage pickup fees (with exceptions). See
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-Real Estate-Related Items You Can’t Deduct.
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-Rent increase due to higher real estate taxes.
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-Homeowners' association charges.
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-
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-your spouse, part of your payments may be de- of that part to claim the deduction. If you can’t Real Estate-Related Items
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-ductible as alimony and part as real estate determine what part of the tax is for mainte- You Can’t Deduct
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-taxes. See Payments to a third party in Pub. 504 nance, repair, or interest, none of it is deducti-
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-for more information. ble.
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-Payments for the following items generally
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-Ministers’ and military housing allowances. aren’t deductible as real estate taxes. Taxes for local benefits may be inclu-
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-
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-If you are a minister or a member of the uni- ded in your real estate tax bill. If your • Taxes for local benefits. ! formed services and receive a housing allow- CAUTION taxing authority (or mortgage lender) • ance that you can exclude from income, you Itemized charges for services (such as doesn’t furnish you a copy of your real estate trash and garbage pickup fees). can still deduct all of the real estate taxes you tax bill, ask for it. You should use the rules
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-rebate in 2025 of real estate taxes you paid in taxes. charge on your real estate tax bill. 2025, you must reduce your deduction by the • Homeowners' association charges. amount refunded to you. If you received a re-Itemized charges for services. An itemized fund or rebate in 2025 of real estate taxes you Taxes for local benefits. Deductible real es-charge for services assessed against specific deducted in an earlier year, you must generally Refund (or rebate). If you received a refund or ductible. Contact the taxing authority if you • Rent increases due to higher real estate need additional information about a specific pay on your home. above to determine if the local benefit tax is de- • Transfer taxes (or stamp taxes).
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-
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-include the refund or rebate in income in the tate taxes generally don’t include taxes charged property or certain people isn’t a tax, even if the for local benefits and improvements tending to charge is paid to the taxing authority. For exam- year you receive it. However, the amount you in- increase the value of your property. These in- ple, you can’t deduct the charge as a real estate clude in income is limited to the amount of the clude assessments for streets, sidewalks, water tax if it is: deduction that reduced your tax in the earlier mains, sewer lines, public parking facilities, and • year. For more information, see Recoveries in similar improvements. You should increase the A unit fee for the delivery of a service (such as a $5 fee charged for every 1,000 gallons Pub. 525. basis of your property by the amount of the as- of water you use), sessment.
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-Local benefit taxes are deductible only if • A periodic charge for a residential service
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-they are for maintenance, repair, or interest (such as a $20 per month or $240 annual
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-charges related to those benefits. If only a part fee charged to each homeowner for trash
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-of the taxes is for maintenance, repair, or collection), or interest, you must be able to show the amount
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-Publication 17 (2025) Chapter 11 Taxes 99
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-• A flat fee charged for a single service pro- your car. You can deduct $15 (1% × $1,500) as filing separately). The overall limit is reduced if
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-vided by your government (such as a $30 a personal property tax because it is based on your modified adjusted gross income is more charge for mowing your lawn because it the value. The remaining $17 ($0.50 × 34), than $500,000 ($250,000 if married filing sepa-was allowed to grow higher than permitted based on the weight, isn’t deductible. rately) but will not be reduced below $10,000
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-
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-above, are included in the bill. If your taxing au-CAUTION ! to determine if any nondeductible item-ized charges, such as those listed Can’t Deduct 5b, and 5c. Include taxes imposed by a U.S. ter-ritory with your state and local taxes on Sched-Many federal, state, and local government taxes ule A (Form 1040), lines 5a, 5b, and 5c. How-thority (or mortgage lender) doesn’t furnish you aren’t deductible because they don’t fall within ever, don't include any U.S. territory taxes you a copy of your real estate tax bill, ask for it. under your local ordinance). ($5,000 if married filing separately). You must look at your real estate tax bill include on Schedule A (Form 1040), lines 5a, State and local taxes are the taxes that you Taxes and Fees You
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-the categories discussed earlier. Other taxes paid that are allocable to excluded income.
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-tain or improve services (such as trash collec-Exception. Service charges used to main- and fees, such as federal income taxes, aren’t You may want to take a credit for U.S. deductible because the tax law specifically pro- TIP territory tax instead of a deduction. See hibits a deduction for them. See Table 11-1 . tion or police and fire protection) are deductible the instructions for Schedule 3 (Form 1040), line 1, for details. as real estate taxes if: Taxes and fees that are generally not deduc-
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-
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-Transfer taxes (or stamp taxes). Transfer • tible include the following items. The fees or charges are imposed at a like General sales taxes. Sales taxes are deduc-rate against all property in the taxing juris-• Employment taxes. This includes social ted on Schedule A (Form 1040), line 5a. You diction; security, Medicare, and railroad retirement must check the box on line 5a. If you elect to taxes withheld from your pay. However, • The funds collected aren’t earmarked; in-deduct sales taxes, you can’t deduct state and one-half of self-employment tax you pay is stead, they are commingled with general local income taxes on Schedule A (Form 1040), deductible. In addition, the social security revenue funds; and line 5a. and other employment taxes you pay on • Funds used to maintain or improve serv-Foreign income taxes. Generally, income the wages of a household worker may be ices aren’t limited to or determined by the taxes you pay to a foreign country or U.S. terri-included in medical expenses that you can amount of these fees or charges collected. tory can be claimed as an itemized deduction deduct, or childcare expenses that allow on Schedule A (Form 1040), line 6, or as a you to claim the child and dependent care credit against your U.S. income tax on Schedule credit. For more information, see Pub. 502 taxes and similar taxes and charges on the sale 3 (Form 1040), line 1. To claim the credit, you and Pub. 503. of a personal home aren’t deductible. If they are may have to complete and attach Form 1116. paid by the seller, they are expenses of the sale • Estate, inheritance, legacy, or succes-For more information, see the Instructions for and reduce the amount realized on the sale. If sion taxes. You can deduct the estate tax Form 1040 or Pub. 514. paid by the buyer, they are included in the cost attributable to income in respect of a dece-basis of the property. dent if you, as a beneficiary, must include Real estate taxes and personal property taxes. Real estate and personal property taxes that income in your gross income. In that Rent increase due to higher real estate case, deduct the estate tax on Schedule A are deducted on Schedule A (Form 1040), lines taxes. If your landlord increases your rent in (Form 1040), line 16. For more information, 5b and 5c, respectively, unless they are paid on the form of a tax surcharge because of in-see Pub. 559. property used in your business, in which case creased real estate taxes, you can’t deduct the they are deducted on Schedule C (Form 1040) increase as taxes. • Federal income taxes. This includes in-or Schedule F (Form 1040). Taxes on property come taxes withheld from your pay. Homeowners' association charges. These that produces rent or royalty income are deduc-• charges aren’t deductible because they are im-Fines and penalties. You can’t deduct ted on Schedule E (Form 1040). fines and penalties paid to a government posed by the homeowners' association, rather Self-employment tax. Deduct one-half of your than the state or local government. for violation of any law, including related self-employment tax on Schedule 1 (Form amounts forfeited as collateral deposits. 1040), line 15. Personal Property • Foreign personal or real property Other taxes. All other deductible taxes are de-taxes. Taxes ducted on Schedule A (Form 1040), line 6. • Gift taxes.
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-Personal property tax is deductible if it is a state • License fees. You can’t deduct license or local tax that is: fees for personal purposes (such as mar-
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-• riage, driver's, and pet license fees). Charged on personal property;
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-• • Per capita taxes. You can’t deduct state Based only on the value of the personal or local per capita taxes. property; and
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-• Charged on a yearly basis, even if it is col- Many taxes and fees other than those listed
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-lected more or less than once a year. above are also nondeductible, unless they are
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-ordinary and necessary expenses of a business
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-A tax that meets the above requirements or income-producing activity. For other nonde-
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-can be considered charged on personal prop- ductible items, see Real Estate-Related Items
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-erty even if it is for the exercise of a privilege. You Can’t Deduct, earlier.
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-
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-For example, a yearly tax based on value quali- Where To Deduct fies as a personal property tax even if it is called
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-a registration fee and is for the privilege of regis-
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-ways. You deduct taxes on the following schedules. tering motor vehicles or using them on the high-
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-If the tax is partly based on value and partly are deducted on Schedule A (Form 1040), State and local income taxes. These taxes
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-based on other criteria, it may qualify in part. line 5a, even if your only source of income is
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-from business, rents, or royalties.
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-Example. Your state charges a yearly motor
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-vehicle registration tax of 1% of value plus 50 Limitation on deduction for state and lo-cents per hundredweight. You paid $32 based cal taxes. The deduction for state and local on the value ($1,500) and weight (3,400 lbs.) of taxes is limited to $40,000 ($20,000 if married
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-100 Chapter 11 Taxes Publication 17 (2025)
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-547 547 Casualties, Disasters, and Thefts 3. Had allowable business expenses attribut-
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-12. able to the performing arts of more than
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-575 575 Pension and Annuity Income 10% of gross income from the performing
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-587 arts, and 587 Business Use of Your Home
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-
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-Other Itemized 946 4. Had AGI of $16,000 or less before deduct- 946 How To Depreciate Property ing expenses as a performing artist.
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-
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-Deductions cial. You are a qualifying fee-basis official if Schedule A (Form 1040) Schedule A (Form 1040) Itemized you are employed by a state or political subdivi- Deductions Form (and Instructions) Fee-basis state or local government offi-
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-sion of a state and are compensated, in whole
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-
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-What’s New 8839 8839 Qualified Adoption Expenses Employee with impairment-related work expenses. Impairment-related work expenses 2106 2106 Employee Business Expenses or in part, on a fee basis.
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-Standard mileage rate. The 2025 rate for Schedule K-1 (Form 1041) Schedule K-1 (Form 1041) Beneficiary’s are the allowable expenses of an individual with Share of Income, Deductions, physical or mental disabilities for attendant care business use of a vehicle is 70 cents a mile. Credits, etc. at their place of employment. They also include
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-Reminders For these and other useful items, go to other expenses in connection with the place of IRS.gov/
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-Forms employment that enable the employee to work. .
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-See Pub. 463, Travel, Gift, and Car Expenses,
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-No miscellaneous itemized deductions al-
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-Miscellaneous for more details.
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-lowed. You can no longer claim any miscella- Allowable unreimbursed employee expen- Itemized Deductions
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-neous itemized deductions. Miscellaneous ses. If you qualify as an employee in one of
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-itemized deductions are those deductions that the categories mentioned above, you may be
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-would have been subject to the 2%-of-adjus- You can no longer claim any miscellaneous able to deduct the following items as unreim-
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-ted-gross-income (AGI) limitation. See Miscella- itemized deductions that are subject to the bursed employee expenses.
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-neous Itemized Deductions 2%-of-AGI limitation, including unreimbursed , later. Unreimbursed employee expenses for indi-Fines and penalties. Rules regarding deduct- employee expenses. However, you may be able viduals in these categories of employment are
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-Fines and Penalties ness expenses if you fall into one of the follow- Qualified employees listed in one of the catego- , later. ing categories of employment listed under ing fines and penalties have changed. See to deduct certain unreimbursed employee busi- deducted as adjustments to gross income.
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-Un- ries above must complete Form 2106, Em-
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-reimbursed Employee Expenses next. ployee Business Expenses, to take the deduc-
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-You can deduct only unreimbursed em-
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-
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-This chapter explains that you can no longer ployee expenses that are paid or incurred dur- Expenses ing your tax year, for carrying on your trade or claim any miscellaneous itemized deductions, business of being an employee, and ordinary unless you fall into one of the qualified catego- You can no longer claim a deduction for unreim- and necessary. ries of employment claiming a deduction relat- Introduction tion. Unreimbursed Employee
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-ing to unreimbursed employee expenses. Mis- An expense is ordinary if it’s common and bursed employee expenses unless you fall into
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-cellaneous itemized deductions are those accepted in your trade, business, or profession. one of the following categories of employment.
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-deductions that would have been subject to the • Armed Forces reservists. An expense is necessary if it’s appropriate and
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-
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-2%-of-AGI limitation. You can still claim certain helpful to your business. An expense doesn’t • Qualified performing artists. have to be required to be considered neces- expenses as itemized deductions on Sched- • Fee-basis state or local government offi- sary. ule A (Form 1040) or Schedule A (Form cials. 1040-NR), or as an adjustment to income on • Form 1040 or 1040-SR. This chapter covers the Employees with impairment-related work Educator Expenses following topics. expenses.
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-• If you were an eligible educator in 2025, you Miscellaneous itemized deductions. can deduct up to $300 of qualified expenses Categories of Employment • Expenses you can’t deduct. you paid in 2025 as an adjustment to gross in-
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-• ses only if you qualify as an Armed Forces re- rather than as a miscellaneous itemized deduc- How to report your deductions. tion. If you and your spouse are filing jointly and • come on Schedule 1 (Form 1040), line 11, Expenses you can deduct. You can deduct unreimbursed employee expen-
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-servist, a qualified performing artist, a fee-basis
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-You must keep records to verify your both of you were eligible educators, the maxi- state or local government official, or an em-
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-deductions. You should keep receipts, mum deduction is $600. However, neither ployee with impairment-related work expenses.
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-RECORDS spouse can deduct more than $300 of their canceled checks, substitute checks, fi-
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-nancial account statements, and other docu- Armed Forces reservist (member of a re- qualified expenses. For additional information, mentary evidence. For more information on re- serve component). You are a member of a see Educator Expenses in Pub. 529, Miscella-
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-Keep? United States if you are in the Army, Navy, Ma- in chapter 1. Educator expenses include amounts rine Corps, Air Force, or Coast Guard Reserve; TIP cordkeeping, see reserve component of the Armed Forces of the What Records Should I neous Deductions.
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-Useful Items the Army National Guard of the United States; paid or incurred in 2025 for personal protective equipment, disinfectant, and or the Reserve Corps of the Public Health Serv- other supplies used for the prevention of the ice. spread of coronavirus. For more information, You may want to see: Qualified performing artist. You are a see the instructions for Schedule 1 (Form
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-Publication 529, Miscellaneous Deductions. qualified performing artist if you: 1040), line 11, and Educator Expenses in Pub.
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-1. Performed services in the performing arts
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-463 463 Travel, Gift, and Car Expenses as an employee for at least two employers
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-during the tax year,
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-525 525 Taxable and Nontaxable Income
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-2. Received from at least two of the employ-
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-529 529 Miscellaneous Deductions ers wages of $200 or more per employer,
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-Publication 17 (2025) Chapter 12 Other Itemized Deductions 101
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-Expenses You Can’t Hobby Expenses Repayments of Social Security Benefits Deduct A hobby isn’t a business because it isn’t carried on to make a profit. Hobby expenses are mis-For information on how to deduct your repay-cellaneous itemized deductions and can no lon-ments of certain social security benefits, see Because of the suspension of miscellaneous ger be deducted. Repayments More Than Gross Benefits in itemized deductions, there are two categories of chapter 7. expenses you can’t deduct: miscellaneous Indirect Deductions of itemized deductions subject to the 2%-of-AGI Pass-Through Entities limitation, and those expenses that are tradition-Safe Deposit Box Rent ally nondeductible under the Internal Revenue Pass-through entities include partnerships, S Rent you pay for a safe deposit box you use to Code. Both categories of deduction are dis-corporations, and mutual funds that aren’t pub-store taxable income-producing stocks, bonds, cussed next. licly offered. Deductions of pass-through enti-or investment-related papers is a miscellaneous
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-ties are passed through to the partners or itemized deduction and can no longer be de-
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-Miscellaneous Deductions Subject shareholders. The partner’s or shareholder’s ducted. You also can’t deduct the rent if you use
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-Unless you fall into one of the qualified catego- ment expenses are miscellaneous itemized de- tax-exempt securities. ductions and can no longer be deducted. ries of employment under to 2% AGI share of passed-through deductions for invest- the box for jewelry, other personal items, or
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-Unreimbursed Em-
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-ployee Expenses, earlier, miscellaneous item- Nonpublicly offered mutual funds. These Service Charges on Dividend
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-ployee expenses, you generally can’t deduct penses. The investment expenses reported on itemized deduction and can no longer be de-the following expenses, even if you fall into one Form 1099-DIV are a miscellaneous itemized ducted. These service charges include pay-of the qualified categories of employment listed deduction and are no longer deductible. ments for: earlier. • Holding shares acquired through a plan, Investment Fees and Expenses Appraisal Fees 2%-of-AGI limitation can no longer be claimed. and Distributions, or a substitute form, showing Service charges you pay as a subscriber in a For expenses not related to unreimbursed em-your share of gross income and investment ex-dividend reinvestment plan are a miscellaneous ized deductions that are subject to the funds will send you a Form 1099-DIV, Dividends Reinvestment Plans Investment fees, custodial fees, trust adminis- • Collecting and reinvesting cash dividends,
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-Appraisal fees you pay to figure a casualty loss and tration fees, and other expenses you paid for or the fair market value of donated property are managing your investments that produce taxa- • Keeping individual records and providing miscellaneous itemized deductions and can no ble income are miscellaneous itemized deduc- detailed statements of accounts. longer be deducted. tions and are no longer deductible.
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-Tax Preparation Fees
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-Casualty and Theft Losses Legal Expenses Tax preparation fees on the return for the year in Damaged or stolen property used in performing You can usually deduct legal expenses that you which you pay them are a miscellaneous item-services as an employee is a miscellaneous de- incur in attempting to produce or collect taxable ized deduction and can no longer be deducted. duction and can no longer be deducted. For income or that you pay in connection with the These fees include the cost of tax preparation other casualty and theft losses, see Pub. 547, determination, collection, or refund of any tax. software programs and tax publications. They Casualties, Disasters, and Thefts. also include any fee you paid for electronic filing Legal expenses that you incur in attempting
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-to produce or collect taxable income, or that you of your return.
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-Clerical Help and Office Rent pay in connection with the determination, col-
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-ments are miscellaneous itemized deductions You can deduct expenses of resolving tax is- Trustee’s administrative fees that are billed sep- arately and paid by you in connection with your sues relating to profit or loss from business re- and are no longer deductible. IRA are a miscellaneous itemized deduction ported on Schedule C (Form 1040), Profit or and can no longer be deducted. For more infor- Loss From Business, from rentals or royalties Credit or Debit Card Convenience mation about IRAs, see chapter 9 . reported on Schedule E (Form 1040), Supple- you pay in connection with your investments itemized deductions and are no longer deducti- IRA ble. and collecting taxable income on those invest-Office expenses, such as rent and clerical help, lection, or refund of any tax are miscellaneous Trustee’s Administrative Fees for
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-
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-cessor for paying your income tax (including es- 1040), Profit or Loss From Farming. Expenses Expenses for resolving nonbusiness tax issues are miscel-timated tax payments) by credit or debit card is laneous itemized deductions and are no longer a miscellaneous itemized deduction and is no In addition to the miscellaneous itemized de-deductible. longer deductible. The convenience fee charged by the card pro- and expenses reported on Schedule F (Form Nondeductible Fees mental Income and Loss, or from farm income
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-ductions discussed earlier, you can’t deduct the
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-Loss on Deposits following expenses.
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-Depreciation on Home Computer
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-
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-If you use your home computer to produce in- For information on whether, and if so, how, you List of Nondeductible may deduct a loss on your deposit in a qualified come (for example, to manage your investments financial institution, see Loss on Deposits in that produce taxable income), the depreciation Expenses Pub. 547. of the computer for that part of the usage of the • Adoption expenses. computer is a miscellaneous itemized deduc-Repayments of Income tion and is no longer deductible. • Broker’s commissions.
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-Generally, repayments of amounts that you in- • Burial or funeral expenses, including the
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-
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-Dividends neous itemized deduction and can no longer be • Campaign expenses. deducted. If you had to repay more than $3,000 Fees you pay to a broker, bank, trustee, or simi-Fees To Collect Interest and cluded in income in an earlier year is a miscella- cost of a cemetery lot. lar agent to collect your taxable bond interest or that you included in your income in an earlier • Capital expenses.
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-
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-itemized deductions and can no longer be de- See Repayments Under Claim of Right, later. • Club dues. ducted. dividends on shares of stock are miscellaneous year, you may be able to deduct the amount. • Check-writing fees.
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-102 Chapter 12 Other Itemized Deductions Publication 17 (2025)
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-• Commuting expenses. Check-Writing Fees on Personal Home Security System • Fees and licenses, such as car licenses, Account You can’t deduct the cost of a home security
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-
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-• can’t deduct fees charged by the bank for the ever, you may be able to claim a deduction for a Fines or penalties. home security system as a business expense if privilege of writing checks, even if the account marriage licenses, and dog tags. If you have a personal checking account, you system as a miscellaneous deduction. How-
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-• Health spa expenses. pays interest. you have a home office. See Security system
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-• under Figuring the Deduction in Pub. 587. Hobby losses, but see Hobby Expenses ,
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-• You can’t deduct dues paid to an organiza-Life insurance premiums paid by the in-tion if one of its main purposes is to: sured. You can’t deduct premiums you pay on your life • Conduct entertainment activities for mem-insurance. You may be able to deduct, as ali-• Lobbying expenses. bers or their guests, or mony, premiums you pay on life insurance poli-• Losses from the sale of your home, furni-cies assigned to your former spouse. See Pub. • Provide members or their guests with ac-ture, personal car, etc. 504, Divorced or Separated Individuals, for in-cess to entertainment facilities. formation on alimony. • Lost or misplaced cash or property. Dues paid to airline, hotel, and luncheon • Lunches with co-workers. clubs aren’t deductible. Lobbying Expenses • Meals while working late. You generally can’t deduct amounts paid or in-Commuting Expenses • Medical expenses as business expenses curred for lobbying expenses. These include ex-other than medical examinations required You can’t deduct commuting expenses (the cost penses to: • ship in any club organized for business, pleas- You can’t deduct any expenses for attending a Home security system. ure, recreation, or other social purpose. This in- convention, seminar, or similar meeting for in- • Illegal bribes and kickbacks. cludes business, social, athletic, luncheon, vestment purposes. • Investment-related seminars. sporting, airline, hotel, golf, and country clubs. Life Insurance Premiums • Investment-Related Seminars Home repairs, insurance, and rent. Generally, you can’t deduct the cost of member-earlier. Club Dues
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-• main or regular place of work). If you haul tools, by your employer. of transportation between your home and your • Influence legislation;
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-Personal disability insurance premiums. instruments, or other items in your car to and • Participate or intervene in any political
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-• Personal legal expenses. from work, you can deduct only the additional campaign for, or against, any candidate for
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-• cost of hauling the items such as the rent on a Personal, living, or family expenses. public office;
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-• trailer to carry the items. • Political contributions. Attempt to influence the general public, or
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-• segments of the public, about elections,
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-• Professional reputation improvement ex- Generally, no deduction is allowed for fines and • Communicate directly with covered execu-pense. penalties paid to a government or specified Professional accreditation fees. Fines and Penalties legislative matters, or referendums; or
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-tive branch officials in any attempt to influ-
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-• Amounts that constitute restitution. Lobbying expenses also include any amounts Stockholders’ meeting attendance expen- paid or incurred for research, preparation, plan- ses. • Amounts paid to come into compliance ning, or coordination of any of these activities. with the law. • Tax-exempt income earning/collecting ex- penses. • law except in the following situations. those officials. Residential telephone line. • • Relief fund contributions. nongovernmental entity for the violation of any ence the official actions or positions of
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-• Amounts paid or incurred as the result of Dues used for lobbying. If a tax-exempt
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-• certain court orders in which no govern- organization notifies you that part of the dues or The value of wages never received or lost ment or specified nongovernmental
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-vacation time. agency is a party. other amounts you pay to the organization are
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-
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-Adoption Expenses ing tickets, tax penalties, and penalties deduc- You can’t deduct a loss based on the mere dis- appearance of money or property. However, an ted from teachers’ paychecks after an illegal You can’t deduct the expenses of adopting a accidental loss or disappearance of property strike. child, but you may be able to take a credit for can qualify as a casualty if it results from an No deduction is allowed for the restitution those expenses. See the Instructions for Form identifiable event that is sudden, unexpected, or amount or amount paid to come into compli- 8839, Qualified Adoption Expenses, for more unusual. See Pub. 547 for more information. ance with the law unless the amounts are spe- information. cifically identified in the settlement agreement Lunches With Co-Workers or court order. Also, any amount paid or incur- Campaign Expenses red as reimbursement to the government for the You can’t deduct the expenses of lunches with costs of any investigation or litigation are not eli- You can’t deduct campaign expenses of a can- co-workers, except while traveling away from gible for the exceptions and are nondeductible. didate for any office, even if the candidate is home on business. See Pub. 463 for information running for reelection to the office. These in- on deductible expenses while traveling away clude qualification and registration fees for pri- • Voluntary unemployment benefit fund con- Nondeductible amounts include an amount tions. tributions. paid in settlement of your actual or potential lia-• Wristwatches. bility for a fine or penalty (civil or criminal). Fines Lost or Mislaid Cash or Property or penalties include amounts paid such as park-• Travel expenses for another individual. you can’t deduct that part. See Lobbying Ex- • Amounts paid or incurred for taxes due. penses in Pub. 529 for information on excep- used to pay nondeductible lobbying expenses,
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-Health Spa Expenses from home.
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-mary elections. You can’t deduct health spa expenses, even if
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-
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-to defend charges that arise from participation physical condition, such as might be required of You can’t deduct the cost of meals while work-a law enforcement officer. in a political campaign. ing late. However, you may be able to claim a Legal fees. You can’t deduct legal fees paid there is a job requirement to stay in excellent Meals While Working Late
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-deduction if the cost of meals is a deductible
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-entertainment expense, or if you’re traveling
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-Publication 17 (2025) Chapter 12 Other Itemized Deductions 103 away from home. See Pub. 463 for information to get information that would be useful in mak- • Losses from Ponzi-type investment on deductible entertainment expenses and ex- ing further investments. schemes (see Pub. 547 for more informa-penses while traveling away from home. tion).
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-Tax-Exempt Income Expenses • Repayments of more than $3,000 under a
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-Personal Legal Expenses claim of right. You can’t deduct expenses to produce tax-ex-
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-as those for the following. debt incurred or continued to buy or carry Unrecovered investment in an annuity. • tax-exempt securities. • You can’t deduct personal legal expenses such empt income. You can’t deduct interest on a • Unlawful discrimination claims. Custody of children.
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-• If you have expenses to produce both taxa-Breach of promise to marry suit. ble and tax-exempt income, but you can’t iden- Amortizable Premium on Taxable
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-• Damages for personal injury, except for the amount that you can deduct. cess is bond premium. You can elect to amor-certain unlawful discrimination and whis-tize the premium on taxable bonds. The amorti-tle-blower claims. Travel Expenses for Another zation of the premium is generally an offset to • Preparation of a title (or defense or perfec-Individual interest income on the bond rather than a sepa-tion of a title). • Civil or criminal charges resulting from a tify the expenses that produce each type of in- Bonds personal relationship. come, you must divide the expenses based on In general, if the amount you pay for a bond is the amount of each type of income to determine greater than its stated principal amount, the ex-
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-rate deduction item.
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-result of the legal proceeding is the loss of in-You can’t deduct these expenses even if a the spouse, dependent, or other individual is an Bond Premium Amortization in chapter 3 of employee of the taxpayer, the travel is for a Pub. 550, Investment Income and Expenses. bona fide business purpose, and such expen-come-producing property. ses would otherwise be deductible by the Casualty and Theft Losses of spouse, dependent, or other individual. See Political Contributions Pub. 463 for more information on deductible Income-Producing Property You can’t deduct contributions made to a politi-travel expenses. You can deduct a casualty or theft loss as an cal candidate, a campaign committee, or a • an itemized deduction on Schedule A (Form Property claims or property settlement in a individual who accompanies you (or your em- 1040). For more information, see Amortizable divorce. ployee) on business or personal travel unless Premium on Taxable Bonds in Pub. 529 and • You generally can’t deduct travel expenses you Preparation of a will. Part of the premium on some bonds may be pay or incur for a spouse, dependent, or other
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-newsletter fund. Advertisements in convention Voluntary Unemployment line 16, if the damaged or stolen property was bulletins and admissions to dinners or programs itemized deduction on Schedule A (Form 1040),
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-Professional Accreditation Fees or a private fund. However, you can deduct con- the loss in Form 4684, Section B. You may also have to include the loss on Form 4797 if you’re tributions as taxes if state law requires you to otherwise required to file that form. To figure You can’t deduct professional accreditation fees make them to a state unemployment fund that your deduction, add all casualty or theft losses such as the following. covers you for the loss of wages from unem- from this type of property included on Form ployment caused by business conditions. • Accounting certificate fees paid for the ini- 4684, lines 32 and 38b, or Form 4797, line 18a. tial right to practice accounting. date aren’t deductible. You can’t deduct voluntary unemployment ben- investment, such as stocks, notes, bonds, gold, silver, vacant lots, and works of art). First, report efit fund contributions you make to a union fund that benefit a political party or political candi- Benefit Fund Contributions income-producing property (property held for
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-Wristwatches For more information on casualty and theft los-
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-• ses, see Pub. 547. Bar exam fees and incidental expenses in
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-• if there is a job requirement that you know the Excess Deductions of an Estate or Medical and dental license fees paid to get correct time to properly perform your duties. initial licensing. securing initial admission to the bar. You can’t deduct the cost of a wristwatch, even
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-Trust
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-Expenses You Can Generally, if an estate or trust has an excess de-
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-pearances to increase your personal prestige or trust’s last tax year, a beneficiary can deduct the excess deductions, depending on its character. establish your professional reputation. You can deduct the items listed below as item- The excess deductions retain their character as ized deductions. Report these items on Sched- an adjustment to arrive at adjusted gross in- You can’t deduct expenses of radio and TV ap- greater than its gross income, in the estate’s or Deduct Professional Reputation duction resulting from total deductions being
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-Relief Fund Contributions ule A (Form 1040), line 16, or Schedule A (Form 1040-NR), line 7. come on Schedule 1 (Form 1040), as a
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-You can’t deduct contributions paid to a private non-miscellaneous itemized deduction reported
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-
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-illness not related to the job. on excess deductions of an estate or trust, see Each of the following items is discussed in de- the Instructions for Schedule K-1 (Form 1041) tail after the list (except where indicated). for a Beneficiary Filing Form 1040. Residential Telephone Service • ployee who can’t work because of any injury or ous itemized deduction. For more information List of Deductions plan that pays benefits to any covered em- on Schedule A (Form 1040), or as a miscellane-
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-Amortizable premium on taxable bonds.
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-You can’t deduct any charge (including taxes) Federal Estate Tax on Income in • Casualty and theft losses from income- for basic local telephone service for the first tel- producing property. Respect of a Decedent ephone line to your residence, even if it’s used
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-in a trade or business. • Excess deductions of an estate or trust. You can deduct the federal estate tax attributa-
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-
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-Stockholders’ Meetings a decedent. Income in respect of the decedent is gross in-You can’t deduct transportation and other ex-• ble to income in respect of a decedent that you Federal estate tax on income in respect of as a beneficiary include in your gross income.
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-• Gambling losses up to the amount of gam- come that the decedent would have received
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-ings of companies in which you own stock but includible in the decedent’s final income tax re- • Impairment-related work expenses of per- have no other interest. You can’t deduct these penses you pay to attend stockholders’ meet- bling winnings. had death not occurred and that wasn’t properly
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-expenses even if you’re attending the meeting sons with disabilities. turn. See Pub. 559, Survivors, Executors, and Administrators, for more information.
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-104 Chapter 12 Other Itemized Deductions Publication 17 (2025)
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-Gambling Losses up to the See Pub. 529 for more information. tax. See Repayments in chapter 8 for more in-Amount of Gambling Winnings formation. You must report the full amount of your gam- Impairment-Related Work bling winnings for the year on Schedule 1 (Form Expenses Unlawful Discrimination Claims 1040), line 8b. You deduct your gambling losses If you have a physical or mental disability that You may be able to deduct, as an adjustment to for the year on Schedule A (Form 1040), line 16. income on Schedule 1 (Form 1040), line 24h, limits your being employed, or substantially lim-
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-You can’t deduct gambling losses that are more its one or more of your major life activities, such attorney fees and court costs for actions settled than your winnings. as performing manual tasks, walking, speaking, or decided after October 22, 2004, involving a
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-You can’t reduce your gambling win- breathing, learning, and working, you can de- claim of unlawful discrimination, a claim against
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-! nings by your gambling losses and re- duct your impairment-related work expenses. the U.S. Government, or a claim made under
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-claim your losses (up to the amount of win- tendant care services at your place of work and the amount of the judgment or settlement you nings) as an itemized deduction. Therefore, for other expenses in connection with your are including in income for the tax year. See place of work that are necessary for you to be your records should show your winnings sepa-Pub. 525, Taxable and Nontaxable Income, for rately from your losses. able to work. more information. full amount of your winnings as income and However, the amount you can deduct on nary and necessary business expenses for at- Schedule 1 (Form 1040), line 24h, is limited to CAUTION section 1862(b)(3)(A) of the Social Security Act. Impairment-related work expenses are ordi- port the difference. You must report the
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-Diary of winnings and losses. You ter your impairment-related work expenses on Self-employed. If you’re self-employed, en-
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-RECORDS must keep an accurate diary or similar Unrecovered Investment in the appropriate form (Schedule C (Form 1040), record of your losses and winnings. Annuity Schedule E (Form 1040), or Schedule F (Form Your diary should contain at least the following 1040)) used to report your business income and A retiree who contributed to the cost of an annu-
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-information. expenses. ity can exclude from income a part of each pay-
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-• wagering activity. entire investment is recovered tax free, any un- If you had to repay more than $3,000 that you The name and address or location of the recovered investment can be deducted on the included in your income in an earlier year be- gambling establishment. retiree’s final income tax return. See Pub. 575, cause at the time you thought you had an unre- • ment received as a tax-free return of the retir- The date and type of your specific wager or ee’s investment. If the retiree dies before the Repayments Under Claim of Right
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-• Pension and Annuity Income, for more informa- The names of other persons present with stricted right to it, you may be able to deduct the
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-you at the gambling establishment. amount you repaid or take a credit against your tion about the tax treatment of pensions and an-
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-nuities.
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-• The amount(s) you won or lost.
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-Publication 17 (2025) Chapter 12 Other Itemized Deductions 105 Part Four.
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-
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-Figuring Your The two chapters in this part explain how to figure your tax. They also
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-
-discuss tax credits that, unlike deductions, are subtracted directly from your
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-Taxes, and tax and reduce your tax dollar for dollar.
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-
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-Refundable and The Form 1040 and 1040-SR schedules that are discussed in these chapters are:
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-
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-Nonrefundable • Schedule 1, Additional Income and Adjustments to Income; • Schedule 2, Additional Taxes; and Credits • Schedule 3, Additional Credits and Payments.
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-
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-13. W-2 W-2Wage and Tax Statement Schedule R (Form 1040) Figuring Your Tax Form (and Instructions) Credit for the Schedule R (Form 1040) Your income tax is based on your taxable in-
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-Elderly or the Disabled come. After you figure your income tax and
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-
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-How To Figure AMT, if any, subtract your tax credits and add Schedule SE (Form 1040) Schedule SE (Form 1040) any other taxes you may owe. The result is your Self-Employment Tax
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-total tax. Compare your total tax with your total
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-
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-Your Tax Schedule 8812 (Form 1040) Schedule 8812 (Form 1040) Credits for payments to determine whether you are entitled Qualifying Children and Other to a refund or must make a payment. Dependents This section provides a general outline of 1116 how to figure your tax. You can find step-by-step Introduction 1116 Foreign Tax Credit directions in the Instructions for Form 1040. 3800 3800 General Business Credit
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-After you have figured your income and deduc- Tax. Most taxpayers use either the Tax Table or 4136 the Tax Computation Worksheet to figure their tions, your next step is to figure your tax. This 4136 Credit for Federal Tax Paid on Fuels 4970 chapter discusses: 4970 Tax on Accumulation Distribution of income tax. However, there are special meth- Trusts ods if your income includes any of the following • The general steps you take to figure your items. tax, 5329 5329 Additional Taxes on Qualified Plans • (Including IRAs) and Other A net capital gain. See Pub. 550. • An additional tax you may have to pay Tax-Favored Accounts called the alternative minimum tax (AMT), • Qualified dividends taxed at the same rates as a net capital gain. See Pub. 550. and 5695 5695 Residential Energy Credits
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-
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-Useful Items • The conditions you must meet if you want • Lump-sum distributions. See Pub. 575. 5884 the IRS to figure your tax. 5884 Work Opportunity Credit • Farming or fishing income. See Schedule J 8396 8396 Mortgage Interest Credit (Form 1040). 8801 8801 Credit for Prior Year Minimum • Tax for certain children who have unearned You may want to see: Tax—Individuals, Estates, and Trusts income. See Form 8615.
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-Publication 8835 • Parent’s election to report child’s interest 8835 Renewable Electricity Production
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-Credit and dividends. See Form 8814.
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-503 503 Child and Dependent Care Expenses 8839 8839 Qualified Adoption Expenses • Foreign earned income exclusion or the
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-
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-525 Earned Income Tax Worksheet in the In- 525 Taxable and Nontaxable Income Employee Tips structions for Form 1040.) 8853 531 8853 531 Archer MSAs and Long-Term Care Reporting Tip Income Credits. After you figure your income tax and Insurance Contracts any 505 Tax Withholding and Estimated Tax 8846 eign Earned Income, and the Foreign and Medicare Taxes Paid on Certain 505 8846 housing exclusion. (See Form 2555, For- Credit for Employer Social Security
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-
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-550 AMT (discussed later), determine if you are 550 Investment Income and Expenses 8880 8880 Credit for Qualified Retirement eligible for any tax credits. Eligibility information Savings Contributions for these tax credits is discussed in other publi- 560 560 Retirement Plans for Small Business cations and your form instructions. The follow- (SEP, SIMPLE, and Qualified Plans) 8889 8889 Health Savings Accounts (HSAs) ing items are some of the credits you may be 575 575 Pension and Annuity Income 8910 8910 Alternative Motor Vehicle Credit able to subtract from your tax and shows where
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-596 596 Earned Income Credit (EIC) 8912 you can find more information on each credit. Credit to Holders of Tax Credit 8912
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-Bonds • Adoption credit. See Form 8839.
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-
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-969 8910. 969 Health Savings Accounts and Other 8959 Tax-Favored Health Plans 926 926 Household Employer’s Tax Guide • 8936 8936 Clean Vehicle Credits Alternative motor vehicle credit. See Form
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-Additional Medicare Tax 8959 • Child and dependent care credit. See Pub.
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-970 970 Tax Benefits for Education Tax—Individuals, Estates, and Trusts • 8960 8960 Net Investment Income 503. Child tax credit. See Schedule 8812 (Form
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-974 974 Premium Tax Credit (PTC) 8962 8962 Premium Tax Credit (PTC) 1040).
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-106 Chapter 13 How To Figure Your Tax Publication 17 (2025)
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-
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-• Credit for employer social security and lots and timeshares. See the Instructions Alternative Minimum Medicare taxes paid on certain employee for Form 1040.
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-tips. See Form 8846. • Net investment income tax. See Form Tax (AMT)
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-• Credit to holders of tax credit bonds. See 8960.
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-Form 8912. • Recapture of an education credit. See Pub. This section briefly discusses an additional tax
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-• Education credit. See Pub. 970. 970. you may have to pay.
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-• Elderly or disabled credit. See Schedule R • Recapture of other credits. See the Instruc- The tax law gives special treatment to some
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-(Form 1040). tions for Form 1040. kinds of income and allows special deductions
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-
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-credit) aren’t listed because they are treated as • Prior year minimum tax credit. See Form • Social security and Medicare tax on wa- more than a certain amount. See Form 6251, 8801. ges. See Pub. 525. Alternative Minimum Tax—Individuals. • Renewable electricity production credit. • Tax on accumulation distribution of trusts. Adjustments and tax preference items. The See Form 8835. See Form 4970. more common adjustments and tax preference • Residential clean energy credit. See Form • Tax on golden parachute payments. See items include: 5695. the Instructions for Form 1040. • Addition of enhanced senior deduction; • Retirement savings contribution credit. See • Uncollected social security and Medicare • Addition of the standard deduction (if Form 8880. tax on group-term life insurance. See Form claimed); W-2. • Work opportunity credit. See Form 5884. • Addition of itemized deductions claimed for • Uncollected social security and Medicare Some credits (such as the earned income state and local taxes and certain interest; tax on tips. See Pub. 531. • Subtraction of any refund of state and local payments. See • • Self-employment tax. See Schedule SE Mortgage interest credit. See Form 8396. tax through an additional tax called AMT. (Form 1040). • Clean vehicle credits. See Form 8936. You may have to pay the AMT if your taxable • Social security and Medicare tax on tips. • Premium tax credit. See Pub. 974. income for regular tax purposes, combined with See Pub. 531. certain adjustments and tax preference items, is • Pub. 560. payers who benefit from this special treatment General business credit. See Form 3800. may have to pay at least a minimum amount of • Foreign tax credit. See Form 1116. • Section 72(m)(5) excess benefits tax. See and credits for some kinds of expenses. Tax-
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-
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-Other taxes. After you subtract your tax cred- • Changes to accelerated depreciation of its, determine whether there are any other taxes Payments. After you determine your total tax, certain property; you must pay. This chapter doesn’t explain figure the total payments you have already • Payments, later. You may also have to pay AMT (discussed later in this chapter). taxes included in gross income; these other taxes. You can find that information made for the year. Include credits that are trea- Difference between gain or loss on the sale in other publications and your form instructions. ted as payments. This chapter doesn’t explain of property reported for regular tax purpo-See the following list for other taxes you may these payments and credits. You can find that ses and AMT purposes;
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-
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-need to add to your income tax. information in other publications and your form • Addition of certain income from incentive instructions. See the following list of payments • Additional Medicare tax. See Form 8959. stock options; and credits that you may be able to include in • Additional tax on ABLE accounts. See • Change in certain passive activity loss de-your total payments. Pub. 969. ductions; • Additional child tax credit. See Schedule • Additional tax on Archer MSAs and • Addition of certain depletion that is more 8812 (Form 1040). long-term care insurance contracts. See than the adjusted basis of the property; • American opportunity credit. See Pub. 970. Form 8853. • Addition of part of the deduction for certain • Credit for federal tax on fuels. See Form • Additional tax on Coverdell ESAs. See intangible drilling costs; and 4136. Form 5329. • Addition of tax-exempt interest on certain • Credit for tax on undistributed capital gain. • Additional tax on HSAs. See Form 8889. private activity bonds. See the Instructions for Form 1040. • Additional tax on income you received from More information. For more information about • Earned income credit. See Pub. 596. a nonqualified deferred compensation plan the AMT, see the Instructions for Form 6251. • that fails to meet certain requirements. See Estimated tax paid. See Pub. 505. Tax Figured by the IRS the Instructions for Form 1040. • Excess social security and RRTA tax with-• Additional tax on qualified plans and other held. See the Instructions for Form 1040. tax-favored accounts. See Form 5329. If you file by the due date of your return (not • Federal income tax withheld. See Pub. counting extensions)—April 15, 2026, for most • Additional tax on qualified retirement plans 505. people—you can have the IRS figure your tax and IRAs. See Form 5329. • Net premium tax credit. See the Instruc-for you on Form 1040 or 1040-SR. • Additional tax on qualified tuition pro-tions for Form 8962 or the Instructions for grams. See Pub. 970. Form 1040. If the IRS figures your tax and you paid too much, you will receive a refund. If you didn’t pay • Excise tax on insider stock compensation • Qualified sick and family leave credits. See enough, you will receive a bill for the balance. from an expatriated corporation. See the the Instructions for Form 1040. To avoid interest or the penalty for late payment, Instructions for Form 1040. • Tax paid with extension. See the Instruc-you must pay the bill within 30 days of the date • Household employment taxes. See Pub. tions for Form 1040. of the bill or by the due date for your return, 926. whichever is later. Refund or balance due. To determine • Interest on the deferred tax on gain from whether you are entitled to a refund or whether The IRS can also figure the credit for the eld-certain installment sales with a sales price you must make a payment, compare your total erly or the disabled and the earned income over $150,000. See the Instructions for payments with your total tax. If you are entitled credit for you. Form 1040. to a refund, see your form instructions for infor-
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-
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-• mation on having it directly deposited into one When the IRS cannot figure your tax. The Interest on the tax due on installment in- or more of your accounts (including a traditional IRS can’t figure your tax for you if any of the fol- come from the sale of certain residential IRA, Roth IRA, or a SEP-IRA). lowing apply.
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-Publication 17 (2025) Chapter 13 How To Figure Your Tax 107
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-
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-1. You want your refund directly deposited Fill in and attach any schedules and forms on Schedule EIC, line 2, the credit will be re-
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-into your checking or savings account. asked for on the lines you completed to your pa- duced or disallowed unless the child was born
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-
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-3. You had income for the year from sources your 2026 estimated tax. If your credit for any year after 1996 was re- paper return any Form 1099-R you received that duced or disallowed by the IRS, you may also 2. You want any part of your refund applied to W-2 to your paper return. Also, attach to your per return. Attach a copy of each of your Forms and died in 2025.
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-has withholding tax in box 4. have to file Form 8862 with your return. For de-
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-other than wages, salaries, tips, interest, Mail your return to the Internal Revenue tails, see the Instructions for Form 1040. dividends, taxable social security benefits, Service Center for the area where you live. A list unemployment compensation, IRA distri- of service center addresses is in the instruc-butions, pensions, and annuities. tions for your tax return.
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-4. Your taxable income is $100,000 or more.
-
-
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-5. You itemize deductions. Form 1040 or 1040-SR Line Entries 14. If you want the IRS to figure your tax. Read
-
-6. You file any of the following forms. Form 1040 or 1040-SR, lines 1 through 15, and
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-a. Form 2555, Foreign Earned Income. Schedule 1 (Form 1040), if applicable. Fill in the
-
-lines that apply to you and attach Schedule 1 Child Tax Credit
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-b. Form 4137, Social Security and Medi- (Form 1040), if applicable. Don’t complete Form
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-
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-care Tax on Unreported Tip Income. 1040 or 1040-SR, line 16 or 17. and Credit for
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-c. Form 4970, Tax on Accumulation Dis- If you are filing a joint return, use the space
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-tribution of Trusts. on the dotted line next to the words “Adjusted
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-
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-d. Form 4972, Tax on Lump-Sum Distri- separately show your taxable income and your Gross Income” on the first page of your return to Other
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-butions. spouse’s taxable income.
-
-
-
-e. Form 6198, At-Risk Limitations. Read Form 1040 or 1040-SR, lines 19 Dependents f. Form 6251, Alternative Minimum through 33, and Schedules 2 and 3 (Form 1040), if applicable. Fill in the lines that apply to Tax—Individuals.
-
-you and attach Schedules 2 and 3 (Form 1040),
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-
-
-g. Form 8606, Nondeductible IRAs. if applicable. Don’t fill in Form 1040 or 1040-SR, What’s New h. Form 8615, Tax for Certain Children line 22, 24, 33, or 34 through 38. Don’t fill in Schedule 2 (Form 1040), line 2 or 3. Also, don’t Who Have Unearned Income.
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-complete Schedule 3 (Form 1040), line 6d, if SSN required by due date of return. If you
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-i. Form 8814, Parents’ Election To Re- you are completing Schedule R (Form 1040), or don’t have an SSN issued before the due date
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-port Child’s Interest and Dividends. Form 1040 or 1040-SR, line 27a, if you want the of your 2025 return (including extensions), you
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-j. Form 8839, Qualified Adoption Ex- IRS to figure the credits shown on those lines. can’t claim the CTC or ACTC on either your
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-
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-Filing the Return m. Form 8919, Uncollected Social Secur-l. Form 8889, Health Savings Accounts formation), enter the amount on Form 1040 or it must have been issued on or before the due (HSAs). 1040-SR, line 25. Enter any estimated tax pay-date of the return. ments you made on Form 1040 or 1040-SR, line 26. CTC amount increased. The maximum ity and Medicare Tax on Wages. amount of CTC for each qualifying child in-Credit for child and dependent care expen-creased to $2,200. ses. If you can take this credit, complete Form 2441 and attach it to your paper return. Enter Reminders k. Form 8853, Archer MSAs and held that is shown on Form W-2, box 2; Form to have an SSN issued by the due date of your 1099, box 4; Form W-2G, box 4; or another form Long-Term Care Insurance Contracts. return in order to be eligible for the CTC and (see the Instructions for Form 1040 for more in-ACTC. The other spouse may have an ITIN, but penses. Payments. If you have federal income tax with- filing a joint return, only one spouse is required original or an amended 2025 return. If you are After you complete the line entries for the tax the amount of the credit on Schedule 3 (Form 1040), line 2. The IRS will not figure this credit. form you are filing, fill in your name and ad-
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-space provided. If you are married, enter the so- complete Form 8962, Premium Tax Credit ACTC for each qualifying child is $1,700. cial security numbers of you and your spouse, dress. Enter your social security number in the Net premium tax credit. If you take this credit, ACTC amount. The maximum amount of
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-(PTC), and attach it to your return. Enter the
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-even if you file separately. Sign and date your Schedule 8812 (Form 1040). Schedule 8812 amount of the credit on Schedule 3 (Form
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-return and enter your occupation(s). If you are (Form 1040) and its instructions are the single 1040), line 9. The IRS will not figure this credit.
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-filing a joint return, both you and your spouse source for figuring and reporting the child tax
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-
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-in the space provided. This may help speed the can take this credit, the IRS can figure it for you. tional child tax credit. The instructions now in-Enter “CFE” on the line next to Schedule 3 must sign it. Enter your daytime phone number Credit for the elderly or the disabled. If you credit, credit for other dependents, and addi-
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-that can be answered over the phone. If you are (Form 1040), line 6d, and attach Schedule R processing of your return if we have a question clude all applicable worksheets for figuring
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-these credits. As a result, Pub. 972, Child Tax
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-
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-family member, or any other person you choose If you want to allow your preparer, a friend, a Abbreviations used throughout this chap- III, lines 11 and 13, if they apply. ter. The following abbreviations will be used in to discuss your 2025 tax return with the IRS, Earned income credit. If you can take this this chapter when appropriate. check the “Yes” box in the “Third Party Desig- credit, the IRS can figure it for you. Enter “EIC” nee” area on your return. Also, enter the design- your spouse’s daytime phone number. ule R (Form 1040), check the box in Part I for of Pub. 972, go to IRS.gov/Pub972. your filing status and age. Complete Parts II and filing a joint return, you may enter either your or (Form 1040) to your paper return. On Sched- Credit, won’t be revised. For prior-year versions
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-on the dotted line on Form 1040 or 1040-SR, • ACTC means additional child tax credit.
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-ee’s name, phone number, and any five digits line 27a. If you elect to use your nontaxable • ATIN means adoption taxpayer identifica-the designee chooses as their personal identifi-combat pay in figuring your EIC, enter the tion number. cation number (PIN). If you check the “Yes” box, amount on Form 1040 or 1040-SR, line 1i. you, and your spouse if filing a joint return, are • CTC means child tax credit. If you have a qualifying child, you must fill in authorizing the IRS to call the designee to an-Schedule EIC (Form 1040), Earned Income • ITIN means individual taxpayer identifica-swer any questions that may arise during the Credit, and attach it to your paper return. If you tion number. processing of your return. don’t provide the child’s social security number • ODC means credit for other dependents.
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-108 Chapter 14 Child Tax Credit and Credit for Other Dependents Publication 17 (2025) Other abbreviations may be used in this chapter • SSN means social security number. If your qualifying child was born and died in Qualifying Child for the 2025 and you don’t have an SSN for the child, • TIN means taxpayer identification number. attach a copy of the child’s birth certificate, CTC A TIN may be an ATIN, an ITIN, or an SSN. death certificate, or hospital records. The docu-A child qualifies you for the CTC if the child ment must show the child was born alive. meets all of the following conditions. and will be defined as needed. If your qualifying child doesn’t have the re-Delayed refund for returns claiming the quired SSN but has another type of TIN issued 1. The child is your son, daughter, stepchild, ACTC. The IRS can’t issue refunds before on or before the due date of your 2025 return foster child, brother, sister, stepbrother, mid-February 2026 for returns that properly (including extensions), you may be able to claim stepsister, half brother, half sister, or a de-
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-claim the ACTC. This time frame applies to the the ODC for that child. See Credit for Other De- scendant of any of them (for example, your
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-entire refund, not just the portion associated pendents (ODC), later. grandchild, niece, or nephew).
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-with the ACTC. Each dependent you use for the ODC must 2. The child was under age 17 at the end of
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-Introduction have a TIN by the due date of your return. If 2025. you have a dependent who doesn’t have an 3. The child didn’t provide over half the SSN, ITIN, or ATIN issued on or before the due child’s own support for 2025.
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-The CTC is a credit that may reduce your tax by date of your 2025 return (including extensions), as much as $2,200 for each child who qualifies you can’t use that dependent to claim the ODC 4. The child lived with you for more than half
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-you for the credit. See on either your original or amended 2025 tax re- of 2025 (see Exceptions to time lived with Limits on the CTC and
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-take if you are not able to claim the full amount The ACTC is a credit you may be able to If you apply for an ITIN or ATIN for the de- 5. The child is claimed as a dependent on pendent on or before the due date of your 2025 your return. See ODC turn. you, later). , later.
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-tax by as much as $500 for each eligible de-The ODC is a credit that may reduce your the ITIN or ATIN as a result of the application, pendent. the IRS will consider the ITIN or ATIN as issued on or before the due date of your return. pendent. 6. The child doesn’t file a joint return for the year (or files it only to claim a refund of of the CTC. return (including extensions) and the IRS issues mation about claiming someone as a de-chapter 3 for more infor-
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-! confused with the child and dependent paid). care credit discussed in Pub. 503. The CTC and the ACTC shouldn’t be withheld income tax or estimated tax Improper Claims
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-CAUTION
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-If you erroneously claim the CTC, ACTC, or 7. The child was a U.S. citizen, U.S. national,
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-ODC, and it is later determined that your error or U.S. resident alien. For more informa-
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-Useful Items was due to reckless or intentional disregard of tion, see Pub. 519. If the child was adop-
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-You may want to see: the CTC, ACTC, or ODC rules, you will not be ted, see Adopted child, later.
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-allowed to claim any of these credits for 2 years.
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-Form (and Instructions) If it is determined that your error was due to Example. Your child turned 17 on Decem-
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-fraud, you will not be allowed to claim any of ber 30, 2025, and is a citizen of the United
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-Schedule 8812 (Form 1040) Schedule 8812 (Form 1040) Credits for these credits for 10 years. You may also have to States and claimed as a dependent on your re-
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-Qualifying Children and Other pay penalties. See How to appeal the disallow- turn. You can't use the child to claim the CTC or Dependents ance period in the Instructions for Form 8862, ACTC because the child was not under age 17
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-For these and other useful items, go to After Disallowance agree with our determination that you can’t If your child is age 17 or older at the claim the credit for 2 or 10 years. 8862 8862 Information To Claim Certain Credits for more information about what to do if you dis- at the end of 2025.
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-IRS.gov/ TIP end of 2025, see Credit for Other De-
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-Forms. Form 8862 may be required. If your CTC (re- pendents (ODC), later.
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-
-
-Taxpayer Identification fundable or nonrefundable depending on the tax year), ACTC, or ODC for a year after 2015 Adopted child. An adopted child is always
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-Number Requirements was denied or reduced for any reason other treated as your own child. An adopted child in-
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-than a math or clerical error, you must attach cludes a child lawfully placed with you for legal
-
-Form 8862 to your tax return to claim the CTC, adoption.
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-You must have a TIN by the due date of your ACTC, or ODC, unless an exception applies. If you are a U.S. citizen or U.S. national and return. If you, or your spouse if filing jointly, See Form 8862, and its instructions for more in- your adopted child lived with you all year as a don’t have an SSN issued before the due date formation, including whether an exception ap- member of your household in 2025, that child of your 2025 return (including extensions), you plies. meets condition 7, earlier, to be a qualifying
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-original or amended 2025 tax return. to be a qualifying person for the ODC).
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-
-
-have an SSN or ITIN issued on or before the If you, or your spouse if filing jointly, don’t Exceptions to time lived with you. A child is The CTC is for individuals who claim a child as considered to have lived with you for more than due date of your 2025 return (including exten- a dependent if the child meets additional condi- half of 2025 if the child was born or died in 2025 sions), you can’t claim the ODC on either your tions (described later). can’t claim the CTC or ACTC on either your child for the child tax credit (or condition 3, later, Child Tax Credit (CTC)
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-original or amended 2025 tax return. than half the time the child was alive. Temporary and your home was this child's home for more
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-If you apply for an ITIN on or before the due Note: This credit is different from and in ad- absences by you or the child for special circum-
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-date of your 2025 return (including extensions) dition to the credit for child and dependent care stances, such as school, vacation, business, and the IRS issues you an ITIN as a result of the expenses and the earned income credit that medical care, military service, or detention in a
-
-
-
-ACTC must have the required SSN. If you credit is $2,200 for each child who qualifies you There are also exceptions for kidnapped children and children of divorced or separated for the CTC. But, see Limits on the CTC and have a qualifying child who doesn’t have the re- parents. For details, see Residency Test in ODC , later. quired SSN, you can’t use the child to claim the chapter 3. For more information about claiming the issued on or before the due date of your return. you. The maximum amount you can claim for the Each qualifying child you use for CTC or application, the IRS will consider your ITIN as you may also be eligible to claim. juvenile facility, count as time the child lived with
-
-
-
-CTC or ACTC on either your original or amen- Qualifying child of more than one person. ded 2025 tax return. The required SSN is one CTC, see Claiming the CTC and ODC , later. A special rule applies if your qualifying child is that is valid for employment and is issued be- the qualifying child of more than one person. fore the due date of your 2025 return (including
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-extensions).
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-Publication 17 (2025) Chapter 14 Child Tax Credit and Credit for Other Dependents 109
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-For details, see Qualifying Child of More Than 2. The person can’t be used by you to claim each dependent for whom you are claiming
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-One Person in chapter 3. the CTC or ACTC. See Child Tax Credit the CTC or ODC.
-
-
-
-child received the SSN, the SSN is valid for em-If your child was a U.S. citizen when the the required SSN, see enter the required SSN for the child in row Credit for Other ent to claim the ODC. (3) of the Dependents section of your tax Dependents (ODC) , later. return and check the “Child tax credit” box You can’t use the same child to claim in row (7). See Child Tax Credit (CTC) , ear- the CTC or ACTC, and the ODC. ! lier. CAUTION ployment. If “Not Valid for Employment” is prin- • For each dependent for whom you are ted on your child’s social security card and your claiming the ODC, you must enter the child’s immigration status has changed so that Timely Issued TIN timely issued TIN for the dependent in row your child is now a U.S. citizen or permanent (3) of the Dependents section of your tax resident, ask the SSA for a new social security In addition to being a qualifying person for the return and check the “Credit for other de- card without the legend. However, if “Valid for ODC, the person must have an SSN, ITIN, or pendents” box in row (7). See Credit for Work Only With DHS Authorization” is printed ATIN issued to the dependent on or before the Other Dependents (ODC) , earlier. on your child’s social security card, your child due date of your 2025 return (including exten- has the required SSN only as long as the De- sions). If the person has not been issued an Don't check both the Child tax credit partment of Homeland Security (DHS) authori- SSN, ITIN, or ATIN by that date, you can’t use box and the Credit for other depend- ! zation is valid. the person to claim the ODC on either your orig- CAUTION ents box for the same person. If your child doesn’t have the required SSN, inal or amended 2025 return. For more informa- you can't use the child to claim the CTC or tion, see Taxpayer Identification Number Re- ACTC on either your original or amended 2025 quirements , earlier. Additional Child Tax tax return. Credit (ACTC) Limits on the CTC and The required SSN is one that is valid for em- your adopted child, see • You must enter a timely issued TIN on your Adopted child , tax return for you and your spouse (if filing earlier. ployment and that is issued by the Social Se- jointly). See Taxpayer Identification Num- ber Requirements curity Administration (SSA) before the due date , earlier. Example. Your sibling’s 10-year-old child of your 2025 return (including extensions). lives in Mexico and qualifies as your dependent. • For each qualifying child under 17 for The child is not a U.S. citizen, U.S. national, or whom you are claiming the CTC, you must If your qualifying child does not have U.S. resident alien. You can't use this depend- TIP In addition to being a qualifying child for the 3. The person was a U.S. citizen, U.S. na- • You must file Form 8862, if applicable. See tional, or U.S. resident alien. For more in-Improper Claims , earlier. formation, see Pub. 519. If the person is CTC, your child must have the required SSN. Required SSN (CTC), earlier. • You must file Schedule 8812 (Form 1040).
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-
-
-Credit for Other ODC This credit is for certain individuals who get less Dependents (ODC) than the full amount of the CTC. The ODC can’t be used to figure the The credit amount of your CTC or ODC may be This credit is for individuals with a dependent reduced if your modified adjusted gross income ! ACTC. Only your CTC can be used to who meets additional conditions (described (AGI) is more than the amounts shown below CAUTION figure your ACTC. If you are claiming later). the ODC but not the CTC, you can’t claim the for your filing status. ACTC. • Married filing jointly — $400,000. Note: This credit is different from and in ad-
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-dition to the credit for child and dependent care • All other filing statuses — $200,000. Foreign earned income. If you file Form 2555 expenses that you may also be eligible to claim. (relating to foreign earned income), you can’t
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-The maximum amount you can claim for this Modified AGI. For purposes of the CTC and claim the ACTC.
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-credit is $500 for each qualifying dependent. ODC, your modified AGI is the amount on line 3 Bona fide residents of Puerto Rico. Bona of Schedule 8812. See Limits on the CTC and ODC , later. fide residents of Puerto Rico are no longer re-
-
-
-
-ODC, see For more information about claiming the quired to have three or more qualifying children For more information about limits on the Claiming the CTC and ODC , later. to be eligible to claim the ACTC. See Schedule CTC and ODC, see the Instructions for Sched- 8812 (Form 1040) and its instructions. ule 8812 (Form 1040). Qualifying Person for the How to claim the ACTC. To claim the ACTC, Claiming the CTC and see Schedule 8812 (Form 1040) and its instruc- ODC tions. ODC A person qualifies you for the ODC if the person
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-meets all of the following conditions.
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-To claim the CTC or ODC, be sure you meet the
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-1. The person is claimed as a dependent on following requirements.
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-mation about claiming someone as a de-your return. See chapter 3 for more infor- • You must file Form 1040, 1040-SR, or pendent. 1040-NR and include the name and TIN of
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-
-
-110 Chapter 14 Child Tax Credit and Credit for Other Dependents Publication 17 (2025)
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-
-
-
-
-2025 See Line 16 in the Instructions for Form 1040 to see if you must use Sample Table the Tax Table below to figure your tax.
-
-
-Tax Table ! At But Single Married Married Head CAUTION Least Less filing filing of a
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-Than jointly* sepa- house-
-
-Example. A married couple are filing a joint return. Their taxable income on Form rately hold
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-Next, they find the column for married filing jointly and read down the column. The 25,200 25,250 2,789 2,550 2,789 2,687 amount shown where the taxable income line and filing status column meet is 1040, line 15, is $25,300. First, they find the $25,300–25,350 taxable income line. Your tax is—
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-line 16. 25,350 2,801 2,562 2,801 2,699 25,350 $2,562. This is the tax amount they should enter in the entry space on Form 1040, 25,300 25,250 25,300 2,795 2,556 2,795 2,693
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-25,400 2,807 2,568 2,807 2,705
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-
-
-If line 15 If line 15 If line 15 (taxable And you are— (taxable And you are— (taxable And you are— income) is— income) is— income) is—
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-At But Single Married Married Head of At But Single Married Married Head of At But Single Married Married Head of least less filing filing a least less filing filing a least less filing filing a
-
-than jointly* sepa- house- than jointly* sepa- house- than jointly* sepa- house-
-
-rately hold rately hold rately hold
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-Your tax is— Your tax is— Your tax is—
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-0 5 0 0 0 0 1,000 2,000 5 15 1 1 1 1
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-15 25 2 2 2 2
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-25 50 4 4 4 4 1,000 1,025 101 101 101 101 2,000 2,025 201 201 201 201 50 75 6 6 6 6 1,025 1,050 104 104 104 104 2,025 2,050 204 204 204 204
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-75 100 9 9 9 9 1,075 1,050 1,075 106 106 106 106 2,050 2,075 206 206 206 206
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-100 125 11 11 11 11 1,100 1,100 109 109 109 109 2,075 2,100 209 209 209 209 1,125 111 111 111 111 2,100 2,125 211 211 211 211
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-125 150 14 14 14 14
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-150 175 16 16 16 16 1,125 1,150 114 114 114 114 2,125 2,150 214 214 214 214 175 200 19 19 19 19 1,150 1,175 116 116 116 116 2,150 2,175 216 216 216 216
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-200 225 21 21 21 21 1,200 1,175 1,200 119 119 119 119 2,175 2,200 219 219 219 219 225 250 24 24 24 24 1,225 1,225 121 121 121 121 2,200 2,225 221 221 221 221 1,250 124 124 124 124 2,225 2,250 224 224 224 224
-
-275 1,250 1,275 126 126 126 126 2,250 2,275 226 226 226 226 250 275 26 26 26 26
-
-300 1,275 1,300 129 129 129 129 2,275 2,300 229 229 229 229 300 29 29 29 29
-
-325 31 31 31 31
-
-325 350 34 34 34 34 1,325 1,300 1,325 131 131 131 131 2,300 2,325 231 231 231 231 1,350 134 134 134 134 2,325 2,350 234 234 234 234
-
-350 375 36 36 36 36 1,350 1,375 136 136 136 136 2,350 2,375 236 236 236 236
-
-400 1,375 1,400 139 139 139 139 2,375 2,400 239 239 239 239 375 400 39 39 39 39
-
-425 1,400 1,425 141 141 141 141 2,400 2,425 241 241 241 241 425 41 41 41 41
-
-450 44 44 44 44
-
-1,425 1,450 144 144 144 144 2,425 2,450 244 244 244 244
-
-450 475 46 46 46 46 1,450 1,475 146 146 146 146 2,450 2,475 246 246 246 246
-
-
-
-550 550 54 54 54 54 1,525 1,550 154 154 154 154 2,525 2,550 254 254 254 254 575 56 56 56 56 1,550 1,575 156 156 156 156 2,550 2,575 256 256 256 256 575 600 59 59 59 59 1,575 1,600 159 159 159 159 2,575 2,600 259 259 259 259 600 500 525 51 51 51 51 1,500 1,525 151 151 151 151 2,500 2,525 251 251 251 251 525 475 500 49 49 49 49 1,475 1,500 149 149 149 149 2,475 2,500 249 249 249 249
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-
-
-675 675 66 66 66 66 1,650 1,675 166 166 166 166 2,650 2,675 266 266 266 266 700 69 69 69 69 1,675 1,700 169 169 169 169 2,675 2,700 269 269 269 269 700 725 71 71 71 71 1,700 1,725 171 171 171 171 2,700 2,725 271 271 271 271 725 625 650 64 64 64 64 1,625 1,650 164 164 164 164 2,625 2,650 264 264 264 264 650 625 61 61 61 61 1,600 1,625 161 161 161 161 2,600 2,625 261 261 261 261
-
-
-
-800 800 79 79 79 79 1,775 1,800 179 179 179 179 2,775 2,800 279 279 279 279 825 81 81 81 81 1,800 1,825 181 181 181 181 2,800 2,825 281 281 281 281 825 850 84 84 84 84 1,825 1,850 184 184 184 184 2,825 2,850 284 284 284 284 850 750 775 76 76 76 76 1,750 1,775 176 176 176 176 2,750 2,775 276 276 276 276 775 750 74 74 74 74 1,725 1,750 174 174 174 174 2,725 2,750 274 274 274 274
-
-
-
-925 925 91 91 91 91 1,900 1,925 191 191 191 191 2,900 2,925 291 291 291 291 950 94 94 94 94 1,925 1,950 194 194 194 194 2,925 2,950 294 294 294 294 1,950 950 975 96 96 96 96 1,975 196 196 196 196 2,950 2,975 296 296 296 296 975 875 900 89 89 89 89 1,875 1,900 189 189 189 189 2,875 2,900 289 289 289 289 900 875 86 86 86 86 1,850 1,875 186 186 186 186 2,850 2,875 286 286 286 286
-
-1,000 99 99 99 99 1,975 2,000 199 199 199 199 2,975 3,000 299 299 299 299
-
-
-
-(Continued)
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-* This column must also be used by a qualifying surviving spouse.
-
-
-
-Publication 17 (2025) 111
-
-2025 Tax Table — Continued
-
-If line 15 If line 15 If line 15 (taxable And you are— (taxable And you are— (taxable And you are— income) is— income) is— income) is—
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-At But Single Married Married Head of At But Single Married Married Head of At But Single Married Married Head of least less filing filing a least less filing filing a least less filing filing a
-
-than jointly* sepa- house- than jointly* sepa- house- than jointly* sepa- house-
-
-rately hold rately hold rately hold
-
-Your tax is— Your tax is— Your tax is—
-
-3,000 6,000 9,000
-
-3,000 3,050 303 303 303 303 6,000 6,050 603 603 603 603 9,000 9,050 903 903 903 903 3,050 3,100 308 308 308 308 6,050 6,100 608 608 608 608 9,050 9,100 908 908 908 908 3,100 3,150 313 313 313 313 6,100 6,150 613 613 613 613 9,100 9,150 913 913 913 913 3,150 3,200 318 318 318 318 6,150 6,200 618 618 618 618 9,150 9,200 918 918 918 918 3,200 3,250 323 323 323 323 6,200 6,250 623 623 623 623 9,200 9,250 923 923 923 923 3,250 3,300 328 328 328 328 6,250 6,300 628 628 628 628 9,250 9,300 928 928 928 928 3,300 3,350 333 333 333 333 6,300 6,350 633 633 633 633 9,300 9,350 933 933 933 933 3,350 3,400 338 338 338 338 6,350 6,400 638 638 638 638 9,350 9,400 938 938 938 938 3,400 3,450 343 343 343 343 6,400 6,450 643 643 643 643 9,400 9,450 943 943 943 943 3,450 3,500 348 348 348 348 6,450 6,500 648 648 648 648 9,450 9,500 948 948 948 948 3,500 3,550 353 353 353 353 6,500 6,550 653 653 653 653 9,500 9,550 953 953 953 953 3,550 3,600 358 358 358 358 6,550 6,600 658 658 658 658 9,550 9,600 958 958 958 958 3,600 3,650 363 363 363 363 6,600 6,650 663 663 663 663 9,600 9,650 963 963 963 963 3,650 3,700 368 368 368 368 6,650 6,700 668 668 668 668 9,650 9,700 968 968 968 968 3,700 3,750 373 373 373 373 6,700 6,750 673 673 673 673 9,700 9,750 973 973 973 973 3,750 3,800 378 378 378 378 6,750 6,800 678 678 678 678 9,750 9,800 978 978 978 978 3,800 3,850 383 383 383 383 6,800 6,850 683 683 683 683 9,800 9,850 983 983 983 983 3,850 3,900 388 388 388 388 6,850 6,900 688 688 688 688 9,850 9,900 988 988 988 988 3,900 3,950 393 393 393 393 6,900 6,950 693 693 693 693 9,900 9,950 993 993 993 993 3,950 4,000 398 398 398 398 6,950 7,000 698 698 698 698 9,950 10,000 998 998 998 998
-
-4,000 7,000 10,000
-
-4,000 4,050 403 403 403 403 7,000 7,050 703 703 703 703 10,000 10,050 1,003 1,003 1,003 1,003 4,050 4,100 408 408 408 408 7,050 7,100 708 708 708 708 10,050 10,100 1,008 1,008 1,008 1,008 4,100 4,150 413 413 413 413 7,100 7,150 713 713 713 713 10,100 10,150 1,013 1,013 1,013 1,013 4,150 4,200 418 418 418 418 7,150 7,200 718 718 718 718 10,150 10,200 1,018 1,018 1,018 1,018 4,200 4,250 423 423 423 423 7,200 7,250 723 723 723 723 10,200 10,250 1,023 1,023 1,023 1,023 4,250 4,300 428 428 428 428 7,250 7,300 728 728 728 728 10,250 10,300 1,028 1,028 1,028 1,028 4,300 4,350 433 433 433 433 7,300 7,350 733 733 733 733 10,300 10,350 1,033 1,033 1,033 1,033 4,350 4,400 438 438 438 438 7,350 7,400 738 738 738 738 10,350 10,400 1,038 1,038 1,038 1,038 4,400 4,450 443 443 443 443 7,400 7,450 743 743 743 743 10,400 10,450 1,043 1,043 1,043 1,043 4,450 4,500 448 448 448 448 7,450 7,500 748 748 748 748 10,450 10,500 1,048 1,048 1,048 1,048 4,500 4,550 453 453 453 453 7,500 7,550 753 753 753 753 10,500 10,550 1,053 1,053 1,053 1,053 4,550 4,600 458 458 458 458 7,550 7,600 758 758 758 758 10,550 10,600 1,058 1,058 1,058 1,058 4,600 4,650 463 463 463 463 7,600 7,650 763 763 763 763 10,600 10,650 1,063 1,063 1,063 1,063 4,650 4,700 468 468 468 468 7,650 7,700 768 768 768 768 10,650 10,700 1,068 1,068 1,068 1,068 4,700 4,750 473 473 473 473 7,700 7,750 773 773 773 773 10,700 10,750 1,073 1,073 1,073 1,073 4,750 4,800 478 478 478 478 7,750 7,800 778 778 778 778 10,750 10,800 1,078 1,078 1,078 1,078 4,800 4,850 483 483 483 483 7,800 7,850 783 783 783 783 10,800 10,850 1,083 1,083 1,083 1,083 4,850 4,900 488 488 488 488 7,850 7,900 788 788 788 788 10,850 10,900 1,088 1,088 1,088 1,088 4,900 4,950 493 493 493 493 7,900 7,950 793 793 793 793 10,900 10,950 1,093 1,093 1,093 1,093 4,950 5,000 498 498 498 498 7,950 8,000 798 798 798 798 10,950 11,000 1,098 1,098 1,098 1,098
-
-5,000 8,000 11,000
-
-5,000 5,050 503 503 503 503 8,000 8,050 803 803 803 803 11,000 11,050 1,103 1,103 1,103 1,103 5,050 5,100 508 508 508 508 8,050 8,100 808 808 808 808 11,050 11,100 1,108 1,108 1,108 1,108 5,100 5,150 513 513 513 513 8,100 8,150 813 813 813 813 11,100 11,150 1,113 1,113 1,113 1,113 5,150 5,200 518 518 518 518 8,150 8,200 818 818 818 818 11,150 11,200 1,118 1,118 1,118 1,118 5,200 5,250 523 523 523 523 8,200 8,250 823 823 823 823 11,200 11,250 1,123 1,123 1,123 1,123 5,250 5,300 528 528 528 528 8,250 8,300 828 828 828 828 11,250 11,300 1,128 1,128 1,128 1,128 5,300 5,350 533 533 533 533 8,300 8,350 833 833 833 833 11,300 11,350 1,133 1,133 1,133 1,133 5,350 5,400 538 538 538 538 8,350 8,400 838 838 838 838 11,350 11,400 1,138 1,138 1,138 1,138 5,400 5,450 543 543 543 543 8,400 8,450 843 843 843 843 11,400 11,450 1,143 1,143 1,143 1,143 5,450 5,500 548 548 548 548 8,450 8,500 848 848 848 848 11,450 11,500 1,148 1,148 1,148 1,148 5,500 5,550 553 553 553 553 8,500 8,550 853 853 853 853 11,500 11,550 1,153 1,153 1,153 1,153 5,550 5,600 558 558 558 558 8,550 8,600 858 858 858 858 11,550 11,600 1,158 1,158 1,158 1,158 5,600 5,650 563 563 563 563 8,600 8,650 863 863 863 863 11,600 11,650 1,163 1,163 1,163 1,163 5,650 5,700 568 568 568 568 8,650 8,700 868 868 868 868 11,650 11,700 1,168 1,168 1,168 1,168 5,700 5,750 573 573 573 573 8,700 8,750 873 873 873 873 11,700 11,750 1,173 1,173 1,173 1,173 5,750 5,800 578 578 578 578 8,750 8,800 878 878 878 878 11,750 11,800 1,178 1,178 1,178 1,178 5,800 5,850 583 583 583 583 8,800 8,850 883 883 883 883 11,800 11,850 1,183 1,183 1,183 1,183 5,850 5,900 588 588 588 588 8,850 8,900 888 888 888 888 11,850 11,900 1,188 1,188 1,188 1,188 5,900 5,950 593 593 593 593 8,900 8,950 893 893 893 893 11,900 11,950 1,193 1,193 1,193 1,193 5,950 6,000 598 598 598 598 8,950 9,000 898 898 898 898 11,950 12,000 1,199 1,198 1,199 1,198
-
-
-
-(Continued)
-
-* This column must also be used by a qualifying surviving spouse.
-
-
-
-112 Publication 17 (2025)
-
-2025 Tax Table — Continued
-
-If line 15 If line 15 If line 15 (taxable And you are— (taxable And you are— (taxable And you are— income) is— income) is— income) is—
-
-At But Single Married Married Head of At But Single Married Married Head of At But Single Married Married Head of least less filing filing a least less filing filing a least less filing filing a
-
-than jointly* sepa- house- than jointly* sepa- house- than jointly* sepa- house-
-
-rately hold rately hold rately hold
-
-Your tax is— Your tax is— Your tax is—
-
-12,000 15,000 18,000
-
-12,000 12,050 1,205 1,203 1,205 1,203 15,000 15,050 1,565 1,503 1,565 1,503 18,000 18,050 1,925 1,803 1,925 1,823 12,050 12,100 1,211 1,208 1,211 1,208 15,050 15,100 1,571 1,508 1,571 1,508 18,050 18,100 1,931 1,808 1,931 1,829 12,100 12,150 1,217 1,213 1,217 1,213 15,100 15,150 1,577 1,513 1,577 1,513 18,100 18,150 1,937 1,813 1,937 1,835 12,150 12,200 1,223 1,218 1,223 1,218 15,150 15,200 1,583 1,518 1,583 1,518 18,150 18,200 1,943 1,818 1,943 1,841 12,200 12,250 1,229 1,223 1,229 1,223 15,200 15,250 1,589 1,523 1,589 1,523 18,200 18,250 1,949 1,823 1,949 1,847 12,250 12,300 1,235 1,228 1,235 1,228 15,250 15,300 1,595 1,528 1,595 1,528 18,250 18,300 1,955 1,828 1,955 1,853 12,300 12,350 1,241 1,233 1,241 1,233 15,300 15,350 1,601 1,533 1,601 1,533 18,300 18,350 1,961 1,833 1,961 1,859 12,350 12,400 1,247 1,238 1,247 1,238 15,350 15,400 1,607 1,538 1,607 1,538 18,350 18,400 1,967 1,838 1,967 1,865 12,400 12,450 1,253 1,243 1,253 1,243 15,400 15,450 1,613 1,543 1,613 1,543 18,400 18,450 1,973 1,843 1,973 1,871 12,450 12,500 1,259 1,248 1,259 1,248 15,450 15,500 1,619 1,548 1,619 1,548 18,450 18,500 1,979 1,848 1,979 1,877 12,500 12,550 1,265 1,253 1,265 1,253 15,500 15,550 1,625 1,553 1,625 1,553 18,500 18,550 1,985 1,853 1,985 1,883 12,550 12,600 1,271 1,258 1,271 1,258 15,550 15,600 1,631 1,558 1,631 1,558 18,550 18,600 1,991 1,858 1,991 1,889 12,600 12,650 1,277 1,263 1,277 1,263 15,600 15,650 1,637 1,563 1,637 1,563 18,600 18,650 1,997 1,863 1,997 1,895 12,650 12,700 1,283 1,268 1,283 1,268 15,650 15,700 1,643 1,568 1,643 1,568 18,650 18,700 2,003 1,868 2,003 1,901 12,700 12,750 1,289 1,273 1,289 1,273 15,700 15,750 1,649 1,573 1,649 1,573 18,700 18,750 2,009 1,873 2,009 1,907 12,750 12,800 1,295 1,278 1,295 1,278 15,750 15,800 1,655 1,578 1,655 1,578 18,750 18,800 2,015 1,878 2,015 1,913 12,800 12,850 1,301 1,283 1,301 1,283 15,800 15,850 1,661 1,583 1,661 1,583 18,800 18,850 2,021 1,883 2,021 1,919 12,850 12,900 1,307 1,288 1,307 1,288 15,850 15,900 1,667 1,588 1,667 1,588 18,850 18,900 2,027 1,888 2,027 1,925 12,900 12,950 1,313 1,293 1,313 1,293 15,900 15,950 1,673 1,593 1,673 1,593 18,900 18,950 2,033 1,893 2,033 1,931 12,950 13,000 1,319 1,298 1,319 1,298 15,950 16,000 1,679 1,598 1,679 1,598 18,950 19,000 2,039 1,898 2,039 1,937
-
-13,000 16,000 19,000
-
-13,000 13,050 1,325 1,303 1,325 1,303 16,000 16,050 1,685 1,603 1,685 1,603 19,000 19,050 2,045 1,903 2,045 1,943 13,050 13,100 1,331 1,308 1,331 1,308 16,050 16,100 1,691 1,608 1,691 1,608 19,050 19,100 2,051 1,908 2,051 1,949 13,100 13,150 1,337 1,313 1,337 1,313 16,100 16,150 1,697 1,613 1,697 1,613 19,100 19,150 2,057 1,913 2,057 1,955 13,150 13,200 1,343 1,318 1,343 1,318 16,150 16,200 1,703 1,618 1,703 1,618 19,150 19,200 2,063 1,918 2,063 1,961 13,200 13,250 1,349 1,323 1,349 1,323 16,200 16,250 1,709 1,623 1,709 1,623 19,200 19,250 2,069 1,923 2,069 1,967 13,250 13,300 1,355 1,328 1,355 1,328 16,250 16,300 1,715 1,628 1,715 1,628 19,250 19,300 2,075 1,928 2,075 1,973 13,300 13,350 1,361 1,333 1,361 1,333 16,300 16,350 1,721 1,633 1,721 1,633 19,300 19,350 2,081 1,933 2,081 1,979 13,350 13,400 1,367 1,338 1,367 1,338 16,350 16,400 1,727 1,638 1,727 1,638 19,350 19,400 2,087 1,938 2,087 1,985 13,400 13,450 1,373 1,343 1,373 1,343 16,400 16,450 1,733 1,643 1,733 1,643 19,400 19,450 2,093 1,943 2,093 1,991 13,450 13,500 1,379 1,348 1,379 1,348 16,450 16,500 1,739 1,648 1,739 1,648 19,450 19,500 2,099 1,948 2,099 1,997 13,500 13,550 1,385 1,353 1,385 1,353 16,500 16,550 1,745 1,653 1,745 1,653 19,500 19,550 2,105 1,953 2,105 2,003 13,550 13,600 1,391 1,358 1,391 1,358 16,550 16,600 1,751 1,658 1,751 1,658 19,550 19,600 2,111 1,958 2,111 2,009 13,600 13,650 1,397 1,363 1,397 1,363 16,600 16,650 1,757 1,663 1,757 1,663 19,600 19,650 2,117 1,963 2,117 2,015 13,650 13,700 1,403 1,368 1,403 1,368 16,650 16,700 1,763 1,668 1,763 1,668 19,650 19,700 2,123 1,968 2,123 2,021 13,700 13,750 1,409 1,373 1,409 1,373 16,700 16,750 1,769 1,673 1,769 1,673 19,700 19,750 2,129 1,973 2,129 2,027 13,750 13,800 1,415 1,378 1,415 1,378 16,750 16,800 1,775 1,678 1,775 1,678 19,750 19,800 2,135 1,978 2,135 2,033 13,800 13,850 1,421 1,383 1,421 1,383 16,800 16,850 1,781 1,683 1,781 1,683 19,800 19,850 2,141 1,983 2,141 2,039 13,850 13,900 1,427 1,388 1,427 1,388 16,850 16,900 1,787 1,688 1,787 1,688 19,850 19,900 2,147 1,988 2,147 2,045 13,900 13,950 1,433 1,393 1,433 1,393 16,900 16,950 1,793 1,693 1,793 1,693 19,900 19,950 2,153 1,993 2,153 2,051 13,950 14,000 1,439 1,398 1,439 1,398 16,950 17,000 1,799 1,698 1,799 1,698 19,950 20,000 2,159 1,998 2,159 2,057
-
-14,000 17,000 20,000
-
-14,000 14,050 1,445 1,403 1,445 1,403 17,000 17,050 1,805 1,703 1,805 1,703 20,000 20,050 2,165 2,003 2,165 2,063 14,050 14,100 1,451 1,408 1,451 1,408 17,050 17,100 1,811 1,708 1,811 1,709 20,050 20,100 2,171 2,008 2,171 2,069 14,100 14,150 1,457 1,413 1,457 1,413 17,100 17,150 1,817 1,713 1,817 1,715 20,100 20,150 2,177 2,013 2,177 2,075 14,150 14,200 1,463 1,418 1,463 1,418 17,150 17,200 1,823 1,718 1,823 1,721 20,150 20,200 2,183 2,018 2,183 2,081 14,200 14,250 1,469 1,423 1,469 1,423 17,200 17,250 1,829 1,723 1,829 1,727 20,200 20,250 2,189 2,023 2,189 2,087 14,250 14,300 1,475 1,428 1,475 1,428 17,250 17,300 1,835 1,728 1,835 1,733 20,250 20,300 2,195 2,028 2,195 2,093 14,300 14,350 1,481 1,433 1,481 1,433 17,300 17,350 1,841 1,733 1,841 1,739 20,300 20,350 2,201 2,033 2,201 2,099 14,350 14,400 1,487 1,438 1,487 1,438 17,350 17,400 1,847 1,738 1,847 1,745 20,350 20,400 2,207 2,038 2,207 2,105 14,400 14,450 1,493 1,443 1,493 1,443 17,400 17,450 1,853 1,743 1,853 1,751 20,400 20,450 2,213 2,043 2,213 2,111 14,450 14,500 1,499 1,448 1,499 1,448 17,450 17,500 1,859 1,748 1,859 1,757 20,450 20,500 2,219 2,048 2,219 2,117 14,500 14,550 1,505 1,453 1,505 1,453 17,500 17,550 1,865 1,753 1,865 1,763 20,500 20,550 2,225 2,053 2,225 2,123 14,550 14,600 1,511 1,458 1,511 1,458 17,550 17,600 1,871 1,758 1,871 1,769 20,550 20,600 2,231 2,058 2,231 2,129 14,600 14,650 1,517 1,463 1,517 1,463 17,600 17,650 1,877 1,763 1,877 1,775 20,600 20,650 2,237 2,063 2,237 2,135 14,650 14,700 1,523 1,468 1,523 1,468 17,650 17,700 1,883 1,768 1,883 1,781 20,650 20,700 2,243 2,068 2,243 2,141 14,700 14,750 1,529 1,473 1,529 1,473 17,700 17,750 1,889 1,773 1,889 1,787 20,700 20,750 2,249 2,073 2,249 2,147 14,750 14,800 1,535 1,478 1,535 1,478 17,750 17,800 1,895 1,778 1,895 1,793 20,750 20,800 2,255 2,078 2,255 2,153 14,800 14,850 1,541 1,483 1,541 1,483 17,800 17,850 1,901 1,783 1,901 1,799 20,800 20,850 2,261 2,083 2,261 2,159 14,850 14,900 1,547 1,488 1,547 1,488 17,850 17,900 1,907 1,788 1,907 1,805 20,850 20,900 2,267 2,088 2,267 2,165 14,900 14,950 1,553 1,493 1,553 1,493 17,900 17,950 1,913 1,793 1,913 1,811 20,900 20,950 2,273 2,093 2,273 2,171 14,950 15,000 1,559 1,498 1,559 1,498 17,950 18,000 1,919 1,798 1,919 1,817 20,950 21,000 2,279 2,098 2,279 2,177
-
-
-
-(Continued)
-
-* This column must also be used by a qualifying surviving spouse.
-
-
-
-Publication 17 (2025) 113
-
-2025 Tax Table — Continued
-
-If line 15 If line 15 If line 15 (taxable And you are— (taxable And you are— (taxable And you are— income) is— income) is— income) is—
-
-At But Single Married Married Head of At But Single Married Married Head of At But Single Married Married Head of least less filing filing a least less filing filing a least less filing filing a
-
-than jointly* sepa- house- than jointly* sepa- house- than jointly* sepa- house-
-
-rately hold rately hold rately hold
-
-Your tax is— Your tax is— Your tax is—
-
-21,000 24,000 27,000
-
-21,000 21,050 2,285 2,103 2,285 2,183 24,000 24,050 2,645 2,406 2,645 2,543 27,000 27,050 3,005 2,766 3,005 2,903
-
-21,050 21,100 2,291 2,108 2,291 2,189 24,050 24,100 2,651 2,412 2,651 2,549 27,050 27,100 3,011 2,772 3,011 2,909
-
-21,100 21,150 2,297 2,113 2,297 2,195 24,100 24,150 2,657 2,418 2,657 2,555 27,100 27,150 3,017 2,778 3,017 2,915
-
-21,150 21,200 2,303 2,118 2,303 2,201 24,150 24,200 2,663 2,424 2,663 2,561 27,150 27,200 3,023 2,784 3,023 2,921
-
-21,200 21,250 2,309 2,123 2,309 2,207 24,200 24,250 2,669 2,430 2,669 2,567 27,200 27,250 3,029 2,790 3,029 2,927
-
-21,250 21,300 2,315 2,128 2,315 2,213 24,250 24,300 2,675 2,436 2,675 2,573 27,250 27,300 3,035 2,796 3,035 2,933
-
-21,300 21,350 2,321 2,133 2,321 2,219 24,300 24,350 2,681 2,442 2,681 2,579 27,300 27,350 3,041 2,802 3,041 2,939
-
-21,350 21,400 2,327 2,138 2,327 2,225 24,350 24,400 2,687 2,448 2,687 2,585 27,350 27,400 3,047 2,808 3,047 2,945
-
-21,400 21,450 2,333 2,143 2,333 2,231 24,400 24,450 2,693 2,454 2,693 2,591 27,400 27,450 3,053 2,814 3,053 2,951
-
-21,450 21,500 2,339 2,148 2,339 2,237 24,450 24,500 2,699 2,460 2,699 2,597 27,450 27,500 3,059 2,820 3,059 2,957
-
-21,500 21,550 2,345 2,153 2,345 2,243 24,500 24,550 2,705 2,466 2,705 2,603 27,500 27,550 3,065 2,826 3,065 2,963
-
-21,550 21,600 2,351 2,158 2,351 2,249 24,550 24,600 2,711 2,472 2,711 2,609 27,550 27,600 3,071 2,832 3,071 2,969
-
-21,600 21,650 2,357 2,163 2,357 2,255 24,600 24,650 2,717 2,478 2,717 2,615 27,600 27,650 3,077 2,838 3,077 2,975
-
-21,650 21,700 2,363 2,168 2,363 2,261 24,650 24,700 2,723 2,484 2,723 2,621 27,650 27,700 3,083 2,844 3,083 2,981
-
-21,700 21,750 2,369 2,173 2,369 2,267 24,700 24,750 2,729 2,490 2,729 2,627 27,700 27,750 3,089 2,850 3,089 2,987
-
-21,750 21,800 2,375 2,178 2,375 2,273 24,750 24,800 2,735 2,496 2,735 2,633 27,750 27,800 3,095 2,856 3,095 2,993
-
-21,800 21,850 2,381 2,183 2,381 2,279 24,800 24,850 2,741 2,502 2,741 2,639 27,800 27,850 3,101 2,862 3,101 2,999
-
-21,850 21,900 2,387 2,188 2,387 2,285 24,850 24,900 2,747 2,508 2,747 2,645 27,850 27,900 3,107 2,868 3,107 3,005
-
-21,900 21,950 2,393 2,193 2,393 2,291 24,900 24,950 2,753 2,514 2,753 2,651 27,900 27,950 3,113 2,874 3,113 3,011
-
-21,950 22,000 2,399 2,198 2,399 2,297 24,950 25,000 2,759 2,520 2,759 2,657 27,950 28,000 3,119 2,880 3,119 3,017
-
-22,000 25,000 28,000
-
-22,000 22,050 2,405 2,203 2,405 2,303 25,000 25,050 2,765 2,526 2,765 2,663 28,000 28,050 3,125 2,886 3,125 3,023
-
-22,050 22,100 2,411 2,208 2,411 2,309 25,050 25,100 2,771 2,532 2,771 2,669 28,050 28,100 3,131 2,892 3,131 3,029
-
-22,100 22,150 2,417 2,213 2,417 2,315 25,100 25,150 2,777 2,538 2,777 2,675 28,100 28,150 3,137 2,898 3,137 3,035
-
-22,150 22,200 2,423 2,218 2,423 2,321 25,150 25,200 2,783 2,544 2,783 2,681 28,150 28,200 3,143 2,904 3,143 3,041
-
-22,200 22,250 2,429 2,223 2,429 2,327 25,200 25,250 2,789 2,550 2,789 2,687 28,200 28,250 3,149 2,910 3,149 3,047
-
-22,250 22,300 2,435 2,228 2,435 2,333 25,250 25,300 2,795 2,556 2,795 2,693 28,250 28,300 3,155 2,916 3,155 3,053
-
-22,300 22,350 2,441 2,233 2,441 2,339 25,300 25,350 2,801 2,562 2,801 2,699 28,300 28,350 3,161 2,922 3,161 3,059
-
-22,350 22,400 2,447 2,238 2,447 2,345 25,350 25,400 2,807 2,568 2,807 2,705 28,350 28,400 3,167 2,928 3,167 3,065
-
-22,400 22,450 2,453 2,243 2,453 2,351 25,400 25,450 2,813 2,574 2,813 2,711 28,400 28,450 3,173 2,934 3,173 3,071
-
-22,450 22,500 2,459 2,248 2,459 2,357 25,450 25,500 2,819 2,580 2,819 2,717 28,450 28,500 3,179 2,940 3,179 3,077
-
-22,500 22,550 2,465 2,253 2,465 2,363 25,500 25,550 2,825 2,586 2,825 2,723 28,500 28,550 3,185 2,946 3,185 3,083
-
-22,550 22,600 2,471 2,258 2,471 2,369 25,550 25,600 2,831 2,592 2,831 2,729 28,550 28,600 3,191 2,952 3,191 3,089
-
-22,600 22,650 2,477 2,263 2,477 2,375 25,600 25,650 2,837 2,598 2,837 2,735 28,600 28,650 3,197 2,958 3,197 3,095
-
-22,650 22,700 2,483 2,268 2,483 2,381 25,650 25,700 2,843 2,604 2,843 2,741 28,650 28,700 3,203 2,964 3,203 3,101
-
-22,700 22,750 2,489 2,273 2,489 2,387 25,700 25,750 2,849 2,610 2,849 2,747 28,700 28,750 3,209 2,970 3,209 3,107
-
-22,750 22,800 2,495 2,278 2,495 2,393 25,750 25,800 2,855 2,616 2,855 2,753 28,750 28,800 3,215 2,976 3,215 3,113
-
-22,800 22,850 2,501 2,283 2,501 2,399 25,800 25,850 2,861 2,622 2,861 2,759 28,800 28,850 3,221 2,982 3,221 3,119
-
-22,850 22,900 2,507 2,288 2,507 2,405 25,850 25,900 2,867 2,628 2,867 2,765 28,850 28,900 3,227 2,988 3,227 3,125
-
-22,900 22,950 2,513 2,293 2,513 2,411 25,900 25,950 2,873 2,634 2,873 2,771 28,900 28,950 3,233 2,994 3,233 3,131
-
-22,950 23,000 2,519 2,298 2,519 2,417 25,950 26,000 2,879 2,640 2,879 2,777 28,950 29,000 3,239 3,000 3,239 3,137
-
-23,000 26,000 29,000
-
-23,000 23,050 2,525 2,303 2,525 2,423 26,000 26,050 2,885 2,646 2,885 2,783 29,000 29,050 3,245 3,006 3,245 3,143
-
-23,050 23,100 2,531 2,308 2,531 2,429 26,050 26,100 2,891 2,652 2,891 2,789 29,050 29,100 3,251 3,012 3,251 3,149
-
-23,100 23,150 2,537 2,313 2,537 2,435 26,100 26,150 2,897 2,658 2,897 2,795 29,100 29,150 3,257 3,018 3,257 3,155
-
-23,150 23,200 2,543 2,318 2,543 2,441 26,150 26,200 2,903 2,664 2,903 2,801 29,150 29,200 3,263 3,024 3,263 3,161
-
-23,200 23,250 2,549 2,323 2,549 2,447 26,200 26,250 2,909 2,670 2,909 2,807 29,200 29,250 3,269 3,030 3,269 3,167
-
-23,250 23,300 2,555 2,328 2,555 2,453 26,250 26,300 2,915 2,676 2,915 2,813 29,250 29,300 3,275 3,036 3,275 3,173
-
-23,300 23,350 2,561 2,333 2,561 2,459 26,300 26,350 2,921 2,682 2,921 2,819 29,300 29,350 3,281 3,042 3,281 3,179
-
-23,350 23,400 2,567 2,338 2,567 2,465 26,350 26,400 2,927 2,688 2,927 2,825 29,350 29,400 3,287 3,048 3,287 3,185
-
-23,400 23,450 2,573 2,343 2,573 2,471 26,400 26,450 2,933 2,694 2,933 2,831 29,400 29,450 3,293 3,054 3,293 3,191
-
-23,450 23,500 2,579 2,348 2,579 2,477 26,450 26,500 2,939 2,700 2,939 2,837 29,450 29,500 3,299 3,060 3,299 3,197
-
-23,500 23,550 2,585 2,353 2,585 2,483 26,500 26,550 2,945 2,706 2,945 2,843 29,500 29,550 3,305 3,066 3,305 3,203
-
-23,550 23,600 2,591 2,358 2,591 2,489 26,550 26,600 2,951 2,712 2,951 2,849 29,550 29,600 3,311 3,072 3,311 3,209
-
-23,600 23,650 2,597 2,363 2,597 2,495 26,600 26,650 2,957 2,718 2,957 2,855 29,600 29,650 3,317 3,078 3,317 3,215
-
-23,650 23,700 2,603 2,368 2,603 2,501 26,650 26,700 2,963 2,724 2,963 2,861 29,650 29,700 3,323 3,084 3,323 3,221
-
-23,700 23,750 2,609 2,373 2,609 2,507 26,700 26,750 2,969 2,730 2,969 2,867 29,700 29,750 3,329 3,090 3,329 3,227
-
-23,750 23,800 2,615 2,378 2,615 2,513 26,750 26,800 2,975 2,736 2,975 2,873 29,750 29,800 3,335 3,096 3,335 3,233
-
-23,800 23,850 2,621 2,383 2,621 2,519 26,800 26,850 2,981 2,742 2,981 2,879 29,800 29,850 3,341 3,102 3,341 3,239
-
-23,850 23,900 2,627 2,388 2,627 2,525 26,850 26,900 2,987 2,748 2,987 2,885 29,850 29,900 3,347 3,108 3,347 3,245
-
-23,900 23,950 2,633 2,394 2,633 2,531 26,900 26,950 2,993 2,754 2,993 2,891 29,900 29,950 3,353 3,114 3,353 3,251
-
-23,950 24,000 2,639 2,400 2,639 2,537 26,950 27,000 2,999 2,760 2,999 2,897 29,950 30,000 3,359 3,120 3,359 3,257
-
-
-
-(Continued)
-
-* This column must also be used by a qualifying surviving spouse.
-
-
-
-114 Publication 17 (2025)
-
-2025 Tax Table — Continued
-
-If line 15 If line 15 If line 15 (taxable And you are— (taxable And you are— (taxable And you are— income) is— income) is— income) is—
-
-At But Single Married Married Head of At But Single Married Married Head of At But Single Married Married Head of least less filing filing a least less filing filing a least less filing filing a
-
-than jointly* sepa- house- than jointly* sepa- house- than jointly* sepa- house-
-
-rately hold rately hold rately hold
-
-Your tax is— Your tax is— Your tax is—
-
-30,000 33,000 36,000
-
-30,000 30,050 3,365 3,126 3,365 3,263 33,000 33,050 3,725 3,486 3,725 3,623 36,000 36,050 4,085 3,846 4,085 3,983 30,050 30,100 3,371 3,132 3,371 3,269 33,050 33,100 3,731 3,492 3,731 3,629 36,050 36,100 4,091 3,852 4,091 3,989 30,100 30,150 3,377 3,138 3,377 3,275 33,100 33,150 3,737 3,498 3,737 3,635 36,100 36,150 4,097 3,858 4,097 3,995 30,150 30,200 3,383 3,144 3,383 3,281 33,150 33,200 3,743 3,504 3,743 3,641 36,150 36,200 4,103 3,864 4,103 4,001 30,200 30,250 3,389 3,150 3,389 3,287 33,200 33,250 3,749 3,510 3,749 3,647 36,200 36,250 4,109 3,870 4,109 4,007 30,250 30,300 3,395 3,156 3,395 3,293 33,250 33,300 3,755 3,516 3,755 3,653 36,250 36,300 4,115 3,876 4,115 4,013 30,300 30,350 3,401 3,162 3,401 3,299 33,300 33,350 3,761 3,522 3,761 3,659 36,300 36,350 4,121 3,882 4,121 4,019 30,350 30,400 3,407 3,168 3,407 3,305 33,350 33,400 3,767 3,528 3,767 3,665 36,350 36,400 4,127 3,888 4,127 4,025 30,400 30,450 3,413 3,174 3,413 3,311 33,400 33,450 3,773 3,534 3,773 3,671 36,400 36,450 4,133 3,894 4,133 4,031 30,450 30,500 3,419 3,180 3,419 3,317 33,450 33,500 3,779 3,540 3,779 3,677 36,450 36,500 4,139 3,900 4,139 4,037 30,500 30,550 3,425 3,186 3,425 3,323 33,500 33,550 3,785 3,546 3,785 3,683 36,500 36,550 4,145 3,906 4,145 4,043 30,550 30,600 3,431 3,192 3,431 3,329 33,550 33,600 3,791 3,552 3,791 3,689 36,550 36,600 4,151 3,912 4,151 4,049 30,600 30,650 3,437 3,198 3,437 3,335 33,600 33,650 3,797 3,558 3,797 3,695 36,600 36,650 4,157 3,918 4,157 4,055 30,650 30,700 3,443 3,204 3,443 3,341 33,650 33,700 3,803 3,564 3,803 3,701 36,650 36,700 4,163 3,924 4,163 4,061 30,700 30,750 3,449 3,210 3,449 3,347 33,700 33,750 3,809 3,570 3,809 3,707 36,700 36,750 4,169 3,930 4,169 4,067 30,750 30,800 3,455 3,216 3,455 3,353 33,750 33,800 3,815 3,576 3,815 3,713 36,750 36,800 4,175 3,936 4,175 4,073 30,800 30,850 3,461 3,222 3,461 3,359 33,800 33,850 3,821 3,582 3,821 3,719 36,800 36,850 4,181 3,942 4,181 4,079 30,850 30,900 3,467 3,228 3,467 3,365 33,850 33,900 3,827 3,588 3,827 3,725 36,850 36,900 4,187 3,948 4,187 4,085 30,900 30,950 3,473 3,234 3,473 3,371 33,900 33,950 3,833 3,594 3,833 3,731 36,900 36,950 4,193 3,954 4,193 4,091 30,950 31,000 3,479 3,240 3,479 3,377 33,950 34,000 3,839 3,600 3,839 3,737 36,950 37,000 4,199 3,960 4,199 4,097
-
-31,000 34,000 37,000
-
-31,000 31,050 3,485 3,246 3,485 3,383 34,000 34,050 3,845 3,606 3,845 3,743 37,000 37,050 4,205 3,966 4,205 4,103 31,050 31,100 3,491 3,252 3,491 3,389 34,050 34,100 3,851 3,612 3,851 3,749 37,050 37,100 4,211 3,972 4,211 4,109 31,100 31,150 3,497 3,258 3,497 3,395 34,100 34,150 3,857 3,618 3,857 3,755 37,100 37,150 4,217 3,978 4,217 4,115 31,150 31,200 3,503 3,264 3,503 3,401 34,150 34,200 3,863 3,624 3,863 3,761 37,150 37,200 4,223 3,984 4,223 4,121 31,200 31,250 3,509 3,270 3,509 3,407 34,200 34,250 3,869 3,630 3,869 3,767 37,200 37,250 4,229 3,990 4,229 4,127 31,250 31,300 3,515 3,276 3,515 3,413 34,250 34,300 3,875 3,636 3,875 3,773 37,250 37,300 4,235 3,996 4,235 4,133 31,300 31,350 3,521 3,282 3,521 3,419 34,300 34,350 3,881 3,642 3,881 3,779 37,300 37,350 4,241 4,002 4,241 4,139 31,350 31,400 3,527 3,288 3,527 3,425 34,350 34,400 3,887 3,648 3,887 3,785 37,350 37,400 4,247 4,008 4,247 4,145 31,400 31,450 3,533 3,294 3,533 3,431 34,400 34,450 3,893 3,654 3,893 3,791 37,400 37,450 4,253 4,014 4,253 4,151 31,450 31,500 3,539 3,300 3,539 3,437 34,450 34,500 3,899 3,660 3,899 3,797 37,450 37,500 4,259 4,020 4,259 4,157 31,500 31,550 3,545 3,306 3,545 3,443 34,500 34,550 3,905 3,666 3,905 3,803 37,500 37,550 4,265 4,026 4,265 4,163 31,550 31,600 3,551 3,312 3,551 3,449 34,550 34,600 3,911 3,672 3,911 3,809 37,550 37,600 4,271 4,032 4,271 4,169 31,600 31,650 3,557 3,318 3,557 3,455 34,600 34,650 3,917 3,678 3,917 3,815 37,600 37,650 4,277 4,038 4,277 4,175 31,650 31,700 3,563 3,324 3,563 3,461 34,650 34,700 3,923 3,684 3,923 3,821 37,650 37,700 4,283 4,044 4,283 4,181 31,700 31,750 3,569 3,330 3,569 3,467 34,700 34,750 3,929 3,690 3,929 3,827 37,700 37,750 4,289 4,050 4,289 4,187 31,750 31,800 3,575 3,336 3,575 3,473 34,750 34,800 3,935 3,696 3,935 3,833 37,750 37,800 4,295 4,056 4,295 4,193 31,800 31,850 3,581 3,342 3,581 3,479 34,800 34,850 3,941 3,702 3,941 3,839 37,800 37,850 4,301 4,062 4,301 4,199 31,850 31,900 3,587 3,348 3,587 3,485 34,850 34,900 3,947 3,708 3,947 3,845 37,850 37,900 4,307 4,068 4,307 4,205 31,900 31,950 3,593 3,354 3,593 3,491 34,900 34,950 3,953 3,714 3,953 3,851 37,900 37,950 4,313 4,074 4,313 4,211 31,950 32,000 3,599 3,360 3,599 3,497 34,950 35,000 3,959 3,720 3,959 3,857 37,950 38,000 4,319 4,080 4,319 4,217
-
-32,000 35,000 38,000
-
-32,000 32,050 3,605 3,366 3,605 3,503 35,000 35,050 3,965 3,726 3,965 3,863 38,000 38,050 4,325 4,086 4,325 4,223 32,050 32,100 3,611 3,372 3,611 3,509 35,050 35,100 3,971 3,732 3,971 3,869 38,050 38,100 4,331 4,092 4,331 4,229 32,100 32,150 3,617 3,378 3,617 3,515 35,100 35,150 3,977 3,738 3,977 3,875 38,100 38,150 4,337 4,098 4,337 4,235 32,150 32,200 3,623 3,384 3,623 3,521 35,150 35,200 3,983 3,744 3,983 3,881 38,150 38,200 4,343 4,104 4,343 4,241 32,200 32,250 3,629 3,390 3,629 3,527 35,200 35,250 3,989 3,750 3,989 3,887 38,200 38,250 4,349 4,110 4,349 4,247 32,250 32,300 3,635 3,396 3,635 3,533 35,250 35,300 3,995 3,756 3,995 3,893 38,250 38,300 4,355 4,116 4,355 4,253 32,300 32,350 3,641 3,402 3,641 3,539 35,300 35,350 4,001 3,762 4,001 3,899 38,300 38,350 4,361 4,122 4,361 4,259 32,350 32,400 3,647 3,408 3,647 3,545 35,350 35,400 4,007 3,768 4,007 3,905 38,350 38,400 4,367 4,128 4,367 4,265 32,400 32,450 3,653 3,414 3,653 3,551 35,400 35,450 4,013 3,774 4,013 3,911 38,400 38,450 4,373 4,134 4,373 4,271 32,450 32,500 3,659 3,420 3,659 3,557 35,450 35,500 4,019 3,780 4,019 3,917 38,450 38,500 4,379 4,140 4,379 4,277 32,500 32,550 3,665 3,426 3,665 3,563 35,500 35,550 4,025 3,786 4,025 3,923 38,500 38,550 4,385 4,146 4,385 4,283 32,550 32,600 3,671 3,432 3,671 3,569 35,550 35,600 4,031 3,792 4,031 3,929 38,550 38,600 4,391 4,152 4,391 4,289 32,600 32,650 3,677 3,438 3,677 3,575 35,600 35,650 4,037 3,798 4,037 3,935 38,600 38,650 4,397 4,158 4,397 4,295 32,650 32,700 3,683 3,444 3,683 3,581 35,650 35,700 4,043 3,804 4,043 3,941 38,650 38,700 4,403 4,164 4,403 4,301 32,700 32,750 3,689 3,450 3,689 3,587 35,700 35,750 4,049 3,810 4,049 3,947 38,700 38,750 4,409 4,170 4,409 4,307 32,750 32,800 3,695 3,456 3,695 3,593 35,750 35,800 4,055 3,816 4,055 3,953 38,750 38,800 4,415 4,176 4,415 4,313 32,800 32,850 3,701 3,462 3,701 3,599 35,800 35,850 4,061 3,822 4,061 3,959 38,800 38,850 4,421 4,182 4,421 4,319 32,850 32,900 3,707 3,468 3,707 3,605 35,850 35,900 4,067 3,828 4,067 3,965 38,850 38,900 4,427 4,188 4,427 4,325 32,900 32,950 3,713 3,474 3,713 3,611 35,900 35,950 4,073 3,834 4,073 3,971 38,900 38,950 4,433 4,194 4,433 4,331 32,950 33,000 3,719 3,480 3,719 3,617 35,950 36,000 4,079 3,840 4,079 3,977 38,950 39,000 4,439 4,200 4,439 4,337
-
-
-
-(Continued)
-
-* This column must also be used by a qualifying surviving spouse.
-
-
-
-Publication 17 (2025) 115
-
-2025 Tax Table — Continued
-
-If line 15 If line 15 If line 15 (taxable And you are— (taxable And you are— (taxable And you are— income) is— income) is— income) is—
-
-At But Single Married Married Head of At But Single Married Married Head of At But Single Married Married Head of least less filing filing a least less filing filing a least less filing filing a
-
-than jointly* sepa- house- than jointly* sepa- house- than jointly* sepa- house-
-
-rately hold rately hold rately hold
-
-Your tax is— Your tax is— Your tax is—
-
-39,000 42,000 45,000
-
-39,000 39,050 4,445 4,206 4,445 4,343 42,000 42,050 4,805 4,566 4,805 4,703 45,000 45,050 5,165 4,926 5,165 5,063
-
-39,050 39,100 4,451 4,212 4,451 4,349 42,050 42,100 4,811 4,572 4,811 4,709 45,050 45,100 5,171 4,932 5,171 5,069
-
-39,100 39,150 4,457 4,218 4,457 4,355 42,100 42,150 4,817 4,578 4,817 4,715 45,100 45,150 5,177 4,938 5,177 5,075
-
-39,150 39,200 4,463 4,224 4,463 4,361 42,150 42,200 4,823 4,584 4,823 4,721 45,150 45,200 5,183 4,944 5,183 5,081
-
-39,200 39,250 4,469 4,230 4,469 4,367 42,200 42,250 4,829 4,590 4,829 4,727 45,200 45,250 5,189 4,950 5,189 5,087
-
-39,250 39,300 4,475 4,236 4,475 4,373 42,250 42,300 4,835 4,596 4,835 4,733 45,250 45,300 5,195 4,956 5,195 5,093
-
-39,300 39,350 4,481 4,242 4,481 4,379 42,300 42,350 4,841 4,602 4,841 4,739 45,300 45,350 5,201 4,962 5,201 5,099
-
-39,350 39,400 4,487 4,248 4,487 4,385 42,350 42,400 4,847 4,608 4,847 4,745 45,350 45,400 5,207 4,968 5,207 5,105
-
-39,400 39,450 4,493 4,254 4,493 4,391 42,400 42,450 4,853 4,614 4,853 4,751 45,400 45,450 5,213 4,974 5,213 5,111
-
-39,450 39,500 4,499 4,260 4,499 4,397 42,450 42,500 4,859 4,620 4,859 4,757 45,450 45,500 5,219 4,980 5,219 5,117
-
-39,500 39,550 4,505 4,266 4,505 4,403 42,500 42,550 4,865 4,626 4,865 4,763 45,500 45,550 5,225 4,986 5,225 5,123
-
-39,550 39,600 4,511 4,272 4,511 4,409 42,550 42,600 4,871 4,632 4,871 4,769 45,550 45,600 5,231 4,992 5,231 5,129
-
-39,600 39,650 4,517 4,278 4,517 4,415 42,600 42,650 4,877 4,638 4,877 4,775 45,600 45,650 5,237 4,998 5,237 5,135
-
-39,650 39,700 4,523 4,284 4,523 4,421 42,650 42,700 4,883 4,644 4,883 4,781 45,650 45,700 5,243 5,004 5,243 5,141
-
-39,700 39,750 4,529 4,290 4,529 4,427 42,700 42,750 4,889 4,650 4,889 4,787 45,700 45,750 5,249 5,010 5,249 5,147
-
-39,750 39,800 4,535 4,296 4,535 4,433 42,750 42,800 4,895 4,656 4,895 4,793 45,750 45,800 5,255 5,016 5,255 5,153
-
-39,800 39,850 4,541 4,302 4,541 4,439 42,800 42,850 4,901 4,662 4,901 4,799 45,800 45,850 5,261 5,022 5,261 5,159
-
-39,850 39,900 4,547 4,308 4,547 4,445 42,850 42,900 4,907 4,668 4,907 4,805 45,850 45,900 5,267 5,028 5,267 5,165
-
-39,900 39,950 4,553 4,314 4,553 4,451 42,900 42,950 4,913 4,674 4,913 4,811 45,900 45,950 5,273 5,034 5,273 5,171
-
-39,950 40,000 4,559 4,320 4,559 4,457 42,950 43,000 4,919 4,680 4,919 4,817 45,950 46,000 5,279 5,040 5,279 5,177
-
-40,000 43,000 46,000
-
-40,000 40,050 4,565 4,326 4,565 4,463 43,000 43,050 4,925 4,686 4,925 4,823 46,000 46,050 5,285 5,046 5,285 5,183
-
-40,050 40,100 4,571 4,332 4,571 4,469 43,050 43,100 4,931 4,692 4,931 4,829 46,050 46,100 5,291 5,052 5,291 5,189
-
-40,100 40,150 4,577 4,338 4,577 4,475 43,100 43,150 4,937 4,698 4,937 4,835 46,100 46,150 5,297 5,058 5,297 5,195
-
-40,150 40,200 4,583 4,344 4,583 4,481 43,150 43,200 4,943 4,704 4,943 4,841 46,150 46,200 5,303 5,064 5,303 5,201
-
-40,200 40,250 4,589 4,350 4,589 4,487 43,200 43,250 4,949 4,710 4,949 4,847 46,200 46,250 5,309 5,070 5,309 5,207
-
-40,250 40,300 4,595 4,356 4,595 4,493 43,250 43,300 4,955 4,716 4,955 4,853 46,250 46,300 5,315 5,076 5,315 5,213
-
-40,300 40,350 4,601 4,362 4,601 4,499 43,300 43,350 4,961 4,722 4,961 4,859 46,300 46,350 5,321 5,082 5,321 5,219
-
-40,350 40,400 4,607 4,368 4,607 4,505 43,350 43,400 4,967 4,728 4,967 4,865 46,350 46,400 5,327 5,088 5,327 5,225
-
-40,400 40,450 4,613 4,374 4,613 4,511 43,400 43,450 4,973 4,734 4,973 4,871 46,400 46,450 5,333 5,094 5,333 5,231
-
-40,450 40,500 4,619 4,380 4,619 4,517 43,450 43,500 4,979 4,740 4,979 4,877 46,450 46,500 5,339 5,100 5,339 5,237
-
-40,500 40,550 4,625 4,386 4,625 4,523 43,500 43,550 4,985 4,746 4,985 4,883 46,500 46,550 5,345 5,106 5,345 5,243
-
-40,550 40,600 4,631 4,392 4,631 4,529 43,550 43,600 4,991 4,752 4,991 4,889 46,550 46,600 5,351 5,112 5,351 5,249
-
-40,600 40,650 4,637 4,398 4,637 4,535 43,600 43,650 4,997 4,758 4,997 4,895 46,600 46,650 5,357 5,118 5,357 5,255
-
-40,650 40,700 4,643 4,404 4,643 4,541 43,650 43,700 5,003 4,764 5,003 4,901 46,650 46,700 5,363 5,124 5,363 5,261
-
-40,700 40,750 4,649 4,410 4,649 4,547 43,700 43,750 5,009 4,770 5,009 4,907 46,700 46,750 5,369 5,130 5,369 5,267
-
-40,750 40,800 4,655 4,416 4,655 4,553 43,750 43,800 5,015 4,776 5,015 4,913 46,750 46,800 5,375 5,136 5,375 5,273
-
-40,800 40,850 4,661 4,422 4,661 4,559 43,800 43,850 5,021 4,782 5,021 4,919 46,800 46,850 5,381 5,142 5,381 5,279
-
-40,850 40,900 4,667 4,428 4,667 4,565 43,850 43,900 5,027 4,788 5,027 4,925 46,850 46,900 5,387 5,148 5,387 5,285
-
-40,900 40,950 4,673 4,434 4,673 4,571 43,900 43,950 5,033 4,794 5,033 4,931 46,900 46,950 5,393 5,154 5,393 5,291
-
-40,950 41,000 4,679 4,440 4,679 4,577 43,950 44,000 5,039 4,800 5,039 4,937 46,950 47,000 5,399 5,160 5,399 5,297
-
-41,000 44,000 47,000
-
-41,000 41,050 4,685 4,446 4,685 4,583 44,000 44,050 5,045 4,806 5,045 4,943 47,000 47,050 5,405 5,166 5,405 5,303
-
-41,050 41,100 4,691 4,452 4,691 4,589 44,050 44,100 5,051 4,812 5,051 4,949 47,050 47,100 5,411 5,172 5,411 5,309
-
-41,100 41,150 4,697 4,458 4,697 4,595 44,100 44,150 5,057 4,818 5,057 4,955 47,100 47,150 5,417 5,178 5,417 5,315
-
-41,150 41,200 4,703 4,464 4,703 4,601 44,150 44,200 5,063 4,824 5,063 4,961 47,150 47,200 5,423 5,184 5,423 5,321
-
-41,200 41,250 4,709 4,470 4,709 4,607 44,200 44,250 5,069 4,830 5,069 4,967 47,200 47,250 5,429 5,190 5,429 5,327
-
-41,250 41,300 4,715 4,476 4,715 4,613 44,250 44,300 5,075 4,836 5,075 4,973 47,250 47,300 5,435 5,196 5,435 5,333
-
-41,300 41,350 4,721 4,482 4,721 4,619 44,300 44,350 5,081 4,842 5,081 4,979 47,300 47,350 5,441 5,202 5,441 5,339
-
-41,350 41,400 4,727 4,488 4,727 4,625 44,350 44,400 5,087 4,848 5,087 4,985 47,350 47,400 5,447 5,208 5,447 5,345
-
-41,400 41,450 4,733 4,494 4,733 4,631 44,400 44,450 5,093 4,854 5,093 4,991 47,400 47,450 5,453 5,214 5,453 5,351
-
-41,450 41,500 4,739 4,500 4,739 4,637 44,450 44,500 5,099 4,860 5,099 4,997 47,450 47,500 5,459 5,220 5,459 5,357
-
-41,500 41,550 4,745 4,506 4,745 4,643 44,500 44,550 5,105 4,866 5,105 5,003 47,500 47,550 5,465 5,226 5,465 5,363
-
-41,550 41,600 4,751 4,512 4,751 4,649 44,550 44,600 5,111 4,872 5,111 5,009 47,550 47,600 5,471 5,232 5,471 5,369
-
-41,600 41,650 4,757 4,518 4,757 4,655 44,600 44,650 5,117 4,878 5,117 5,015 47,600 47,650 5,477 5,238 5,477 5,375
-
-41,650 41,700 4,763 4,524 4,763 4,661 44,650 44,700 5,123 4,884 5,123 5,021 47,650 47,700 5,483 5,244 5,483 5,381
-
-41,700 41,750 4,769 4,530 4,769 4,667 44,700 44,750 5,129 4,890 5,129 5,027 47,700 47,750 5,489 5,250 5,489 5,387
-
-41,750 41,800 4,775 4,536 4,775 4,673 44,750 44,800 5,135 4,896 5,135 5,033 47,750 47,800 5,495 5,256 5,495 5,393
-
-41,800 41,850 4,781 4,542 4,781 4,679 44,800 44,850 5,141 4,902 5,141 5,039 47,800 47,850 5,501 5,262 5,501 5,399
-
-41,850 41,900 4,787 4,548 4,787 4,685 44,850 44,900 5,147 4,908 5,147 5,045 47,850 47,900 5,507 5,268 5,507 5,405
-
-41,900 41,950 4,793 4,554 4,793 4,691 44,900 44,950 5,153 4,914 5,153 5,051 47,900 47,950 5,513 5,274 5,513 5,411
-
-41,950 42,000 4,799 4,560 4,799 4,697 44,950 45,000 5,159 4,920 5,159 5,057 47,950 48,000 5,519 5,280 5,519 5,417
-
-
-
-(Continued)
-
-* This column must also be used by a qualifying surviving spouse.
-
-
-
-116 Publication 17 (2025)
-
-2025 Tax Table — Continued
-
-If line 15 If line 15 If line 15 (taxable And you are— (taxable And you are— (taxable And you are— income) is— income) is— income) is—
-
-At But Single Married Married Head of At But Single Married Married Head of At But Single Married Married Head of least less filing filing a least less filing filing a least less filing filing a
-
-than jointly* sepa- house- than jointly* sepa- house- than jointly* sepa- house-
-
-rately hold rately hold rately hold
-
-Your tax is— Your tax is— Your tax is—
-
-48,000 51,000 54,000
-
-48,000 48,050 5,525 5,286 5,525 5,423 51,000 51,050 6,140 5,646 6,140 5,783 54,000 54,050 6,800 6,006 6,800 6,143 48,050 48,100 5,531 5,292 5,531 5,429 51,050 51,100 6,151 5,652 6,151 5,789 54,050 54,100 6,811 6,012 6,811 6,149 48,100 48,150 5,537 5,298 5,537 5,435 51,100 51,150 6,162 5,658 6,162 5,795 54,100 54,150 6,822 6,018 6,822 6,155 48,150 48,200 5,543 5,304 5,543 5,441 51,150 51,200 6,173 5,664 6,173 5,801 54,150 54,200 6,833 6,024 6,833 6,161 48,200 48,250 5,549 5,310 5,549 5,447 51,200 51,250 6,184 5,670 6,184 5,807 54,200 54,250 6,844 6,030 6,844 6,167 48,250 48,300 5,555 5,316 5,555 5,453 51,250 51,300 6,195 5,676 6,195 5,813 54,250 54,300 6,855 6,036 6,855 6,173 48,300 48,350 5,561 5,322 5,561 5,459 51,300 51,350 6,206 5,682 6,206 5,819 54,300 54,350 6,866 6,042 6,866 6,179 48,350 48,400 5,567 5,328 5,567 5,465 51,350 51,400 6,217 5,688 6,217 5,825 54,350 54,400 6,877 6,048 6,877 6,185 48,400 48,450 5,573 5,334 5,573 5,471 51,400 51,450 6,228 5,694 6,228 5,831 54,400 54,450 6,888 6,054 6,888 6,191 48,450 48,500 5,579 5,340 5,579 5,477 51,450 51,500 6,239 5,700 6,239 5,837 54,450 54,500 6,899 6,060 6,899 6,197 48,500 48,550 5,590 5,346 5,590 5,483 51,500 51,550 6,250 5,706 6,250 5,843 54,500 54,550 6,910 6,066 6,910 6,203 48,550 48,600 5,601 5,352 5,601 5,489 51,550 51,600 6,261 5,712 6,261 5,849 54,550 54,600 6,921 6,072 6,921 6,209 48,600 48,650 5,612 5,358 5,612 5,495 51,600 51,650 6,272 5,718 6,272 5,855 54,600 54,650 6,932 6,078 6,932 6,215 48,650 48,700 5,623 5,364 5,623 5,501 51,650 51,700 6,283 5,724 6,283 5,861 54,650 54,700 6,943 6,084 6,943 6,221 48,700 48,750 5,634 5,370 5,634 5,507 51,700 51,750 6,294 5,730 6,294 5,867 54,700 54,750 6,954 6,090 6,954 6,227 48,750 48,800 5,645 5,376 5,645 5,513 51,750 51,800 6,305 5,736 6,305 5,873 54,750 54,800 6,965 6,096 6,965 6,233 48,800 48,850 5,656 5,382 5,656 5,519 51,800 51,850 6,316 5,742 6,316 5,879 54,800 54,850 6,976 6,102 6,976 6,239 48,850 48,900 5,667 5,388 5,667 5,525 51,850 51,900 6,327 5,748 6,327 5,885 54,850 54,900 6,987 6,108 6,987 6,245 48,900 48,950 5,678 5,394 5,678 5,531 51,900 51,950 6,338 5,754 6,338 5,891 54,900 54,950 6,998 6,114 6,998 6,251 48,950 49,000 5,689 5,400 5,689 5,537 51,950 52,000 6,349 5,760 6,349 5,897 54,950 55,000 7,009 6,120 7,009 6,257
-
-49,000 52,000 55,000
-
-49,000 49,050 5,700 5,406 5,700 5,543 52,000 52,050 6,360 5,766 6,360 5,903 55,000 55,050 7,020 6,126 7,020 6,263 49,050 49,100 5,711 5,412 5,711 5,549 52,050 52,100 6,371 5,772 6,371 5,909 55,050 55,100 7,031 6,132 7,031 6,269 49,100 49,150 5,722 5,418 5,722 5,555 52,100 52,150 6,382 5,778 6,382 5,915 55,100 55,150 7,042 6,138 7,042 6,275 49,150 49,200 5,733 5,424 5,733 5,561 52,150 52,200 6,393 5,784 6,393 5,921 55,150 55,200 7,053 6,144 7,053 6,281 49,200 49,250 5,744 5,430 5,744 5,567 52,200 52,250 6,404 5,790 6,404 5,927 55,200 55,250 7,064 6,150 7,064 6,287 49,250 49,300 5,755 5,436 5,755 5,573 52,250 52,300 6,415 5,796 6,415 5,933 55,250 55,300 7,075 6,156 7,075 6,293 49,300 49,350 5,766 5,442 5,766 5,579 52,300 52,350 6,426 5,802 6,426 5,939 55,300 55,350 7,086 6,162 7,086 6,299 49,350 49,400 5,777 5,448 5,777 5,585 52,350 52,400 6,437 5,808 6,437 5,945 55,350 55,400 7,097 6,168 7,097 6,305 49,400 49,450 5,788 5,454 5,788 5,591 52,400 52,450 6,448 5,814 6,448 5,951 55,400 55,450 7,108 6,174 7,108 6,311 49,450 49,500 5,799 5,460 5,799 5,597 52,450 52,500 6,459 5,820 6,459 5,957 55,450 55,500 7,119 6,180 7,119 6,317 49,500 49,550 5,810 5,466 5,810 5,603 52,500 52,550 6,470 5,826 6,470 5,963 55,500 55,550 7,130 6,186 7,130 6,323 49,550 49,600 5,821 5,472 5,821 5,609 52,550 52,600 6,481 5,832 6,481 5,969 55,550 55,600 7,141 6,192 7,141 6,329 49,600 49,650 5,832 5,478 5,832 5,615 52,600 52,650 6,492 5,838 6,492 5,975 55,600 55,650 7,152 6,198 7,152 6,335 49,650 49,700 5,843 5,484 5,843 5,621 52,650 52,700 6,503 5,844 6,503 5,981 55,650 55,700 7,163 6,204 7,163 6,341 49,700 49,750 5,854 5,490 5,854 5,627 52,700 52,750 6,514 5,850 6,514 5,987 55,700 55,750 7,174 6,210 7,174 6,347 49,750 49,800 5,865 5,496 5,865 5,633 52,750 52,800 6,525 5,856 6,525 5,993 55,750 55,800 7,185 6,216 7,185 6,353 49,800 49,850 5,876 5,502 5,876 5,639 52,800 52,850 6,536 5,862 6,536 5,999 55,800 55,850 7,196 6,222 7,196 6,359 49,850 49,900 5,887 5,508 5,887 5,645 52,850 52,900 6,547 5,868 6,547 6,005 55,850 55,900 7,207 6,228 7,207 6,365 49,900 49,950 5,898 5,514 5,898 5,651 52,900 52,950 6,558 5,874 6,558 6,011 55,900 55,950 7,218 6,234 7,218 6,371 49,950 50,000 5,909 5,520 5,909 5,657 52,950 53,000 6,569 5,880 6,569 6,017 55,950 56,000 7,229 6,240 7,229 6,377
-
-50,000 53,000 56,000
-
-50,000 50,050 5,920 5,526 5,920 5,663 53,000 53,050 6,580 5,886 6,580 6,023 56,000 56,050 7,240 6,246 7,240 6,383 50,050 50,100 5,931 5,532 5,931 5,669 53,050 53,100 6,591 5,892 6,591 6,029 56,050 56,100 7,251 6,252 7,251 6,389 50,100 50,150 5,942 5,538 5,942 5,675 53,100 53,150 6,602 5,898 6,602 6,035 56,100 56,150 7,262 6,258 7,262 6,395 50,150 50,200 5,953 5,544 5,953 5,681 53,150 53,200 6,613 5,904 6,613 6,041 56,150 56,200 7,273 6,264 7,273 6,401 50,200 50,250 5,964 5,550 5,964 5,687 53,200 53,250 6,624 5,910 6,624 6,047 56,200 56,250 7,284 6,270 7,284 6,407 50,250 50,300 5,975 5,556 5,975 5,693 53,250 53,300 6,635 5,916 6,635 6,053 56,250 56,300 7,295 6,276 7,295 6,413 50,300 50,350 5,986 5,562 5,986 5,699 53,300 53,350 6,646 5,922 6,646 6,059 56,300 56,350 7,306 6,282 7,306 6,419 50,350 50,400 5,997 5,568 5,997 5,705 53,350 53,400 6,657 5,928 6,657 6,065 56,350 56,400 7,317 6,288 7,317 6,425 50,400 50,450 6,008 5,574 6,008 5,711 53,400 53,450 6,668 5,934 6,668 6,071 56,400 56,450 7,328 6,294 7,328 6,431 50,450 50,500 6,019 5,580 6,019 5,717 53,450 53,500 6,679 5,940 6,679 6,077 56,450 56,500 7,339 6,300 7,339 6,437 50,500 50,550 6,030 5,586 6,030 5,723 53,500 53,550 6,690 5,946 6,690 6,083 56,500 56,550 7,350 6,306 7,350 6,443 50,550 50,600 6,041 5,592 6,041 5,729 53,550 53,600 6,701 5,952 6,701 6,089 56,550 56,600 7,361 6,312 7,361 6,449 50,600 50,650 6,052 5,598 6,052 5,735 53,600 53,650 6,712 5,958 6,712 6,095 56,600 56,650 7,372 6,318 7,372 6,455 50,650 50,700 6,063 5,604 6,063 5,741 53,650 53,700 6,723 5,964 6,723 6,101 56,650 56,700 7,383 6,324 7,383 6,461 50,700 50,750 6,074 5,610 6,074 5,747 53,700 53,750 6,734 5,970 6,734 6,107 56,700 56,750 7,394 6,330 7,394 6,467 50,750 50,800 6,085 5,616 6,085 5,753 53,750 53,800 6,745 5,976 6,745 6,113 56,750 56,800 7,405 6,336 7,405 6,473 50,800 50,850 6,096 5,622 6,096 5,759 53,800 53,850 6,756 5,982 6,756 6,119 56,800 56,850 7,416 6,342 7,416 6,479 50,850 50,900 6,107 5,628 6,107 5,765 53,850 53,900 6,767 5,988 6,767 6,125 56,850 56,900 7,427 6,348 7,427 6,485 50,900 50,950 6,118 5,634 6,118 5,771 53,900 53,950 6,778 5,994 6,778 6,131 56,900 56,950 7,438 6,354 7,438 6,491 50,950 51,000 6,129 5,640 6,129 5,777 53,950 54,000 6,789 6,000 6,789 6,137 56,950 57,000 7,449 6,360 7,449 6,497
-
-
-
-(Continued)
-
-* This column must also be used by a qualifying surviving spouse.
-
-
-
-Publication 17 (2025) 117
-
-2025 Tax Table — Continued
-
-If line 15 If line 15 If line 15 (taxable And you are— (taxable And you are— (taxable And you are— income) is— income) is— income) is—
-
-At But Single Married Married Head of At But Single Married Married Head of At But Single Married Married Head of least less filing filing a least less filing filing a least less filing filing a
-
-than jointly* sepa- house- than jointly* sepa- house- than jointly* sepa- house-
-
-rately hold rately hold rately hold
-
-Your tax is— Your tax is— Your tax is—
-
-57,000 60,000 63,000
-
-57,000 57,050 7,460 6,366 7,460 6,503 60,000 60,050 8,120 6,726 8,120 6,863 63,000 63,050 8,780 7,086 8,780 7,223
-
-57,050 57,100 7,471 6,372 7,471 6,509 60,050 60,100 8,131 6,732 8,131 6,869 63,050 63,100 8,791 7,092 8,791 7,229
-
-57,100 57,150 7,482 6,378 7,482 6,515 60,100 60,150 8,142 6,738 8,142 6,875 63,100 63,150 8,802 7,098 8,802 7,235
-
-57,150 57,200 7,493 6,384 7,493 6,521 60,150 60,200 8,153 6,744 8,153 6,881 63,150 63,200 8,813 7,104 8,813 7,241
-
-57,200 57,250 7,504 6,390 7,504 6,527 60,200 60,250 8,164 6,750 8,164 6,887 63,200 63,250 8,824 7,110 8,824 7,247
-
-57,250 57,300 7,515 6,396 7,515 6,533 60,250 60,300 8,175 6,756 8,175 6,893 63,250 63,300 8,835 7,116 8,835 7,253
-
-57,300 57,350 7,526 6,402 7,526 6,539 60,300 60,350 8,186 6,762 8,186 6,899 63,300 63,350 8,846 7,122 8,846 7,259
-
-57,350 57,400 7,537 6,408 7,537 6,545 60,350 60,400 8,197 6,768 8,197 6,905 63,350 63,400 8,857 7,128 8,857 7,265
-
-57,400 57,450 7,548 6,414 7,548 6,551 60,400 60,450 8,208 6,774 8,208 6,911 63,400 63,450 8,868 7,134 8,868 7,271
-
-57,450 57,500 7,559 6,420 7,559 6,557 60,450 60,500 8,219 6,780 8,219 6,917 63,450 63,500 8,879 7,140 8,879 7,277
-
-57,500 57,550 7,570 6,426 7,570 6,563 60,500 60,550 8,230 6,786 8,230 6,923 63,500 63,550 8,890 7,146 8,890 7,283
-
-57,550 57,600 7,581 6,432 7,581 6,569 60,550 60,600 8,241 6,792 8,241 6,929 63,550 63,600 8,901 7,152 8,901 7,289
-
-57,600 57,650 7,592 6,438 7,592 6,575 60,600 60,650 8,252 6,798 8,252 6,935 63,600 63,650 8,912 7,158 8,912 7,295
-
-57,650 57,700 7,603 6,444 7,603 6,581 60,650 60,700 8,263 6,804 8,263 6,941 63,650 63,700 8,923 7,164 8,923 7,301
-
-57,700 57,750 7,614 6,450 7,614 6,587 60,700 60,750 8,274 6,810 8,274 6,947 63,700 63,750 8,934 7,170 8,934 7,307
-
-57,750 57,800 7,625 6,456 7,625 6,593 60,750 60,800 8,285 6,816 8,285 6,953 63,750 63,800 8,945 7,176 8,945 7,313
-
-57,800 57,850 7,636 6,462 7,636 6,599 60,800 60,850 8,296 6,822 8,296 6,959 63,800 63,850 8,956 7,182 8,956 7,319
-
-57,850 57,900 7,647 6,468 7,647 6,605 60,850 60,900 8,307 6,828 8,307 6,965 63,850 63,900 8,967 7,188 8,967 7,325
-
-57,900 57,950 7,658 6,474 7,658 6,611 60,900 60,950 8,318 6,834 8,318 6,971 63,900 63,950 8,978 7,194 8,978 7,331
-
-57,950 58,000 7,669 6,480 7,669 6,617 60,950 61,000 8,329 6,840 8,329 6,977 63,950 64,000 8,989 7,200 8,989 7,337
-
-58,000 61,000 64,000
-
-58,000 58,050 7,680 6,486 7,680 6,623 61,000 61,050 8,340 6,846 8,340 6,983 64,000 64,050 9,000 7,206 9,000 7,343
-
-58,050 58,100 7,691 6,492 7,691 6,629 61,050 61,100 8,351 6,852 8,351 6,989 64,050 64,100 9,011 7,212 9,011 7,349
-
-58,100 58,150 7,702 6,498 7,702 6,635 61,100 61,150 8,362 6,858 8,362 6,995 64,100 64,150 9,022 7,218 9,022 7,355
-
-58,150 58,200 7,713 6,504 7,713 6,641 61,150 61,200 8,373 6,864 8,373 7,001 64,150 64,200 9,033 7,224 9,033 7,361
-
-58,200 58,250 7,724 6,510 7,724 6,647 61,200 61,250 8,384 6,870 8,384 7,007 64,200 64,250 9,044 7,230 9,044 7,367
-
-58,250 58,300 7,735 6,516 7,735 6,653 61,250 61,300 8,395 6,876 8,395 7,013 64,250 64,300 9,055 7,236 9,055 7,373
-
-58,300 58,350 7,746 6,522 7,746 6,659 61,300 61,350 8,406 6,882 8,406 7,019 64,300 64,350 9,066 7,242 9,066 7,379
-
-58,350 58,400 7,757 6,528 7,757 6,665 61,350 61,400 8,417 6,888 8,417 7,025 64,350 64,400 9,077 7,248 9,077 7,385
-
-58,400 58,450 7,768 6,534 7,768 6,671 61,400 61,450 8,428 6,894 8,428 7,031 64,400 64,450 9,088 7,254 9,088 7,391
-
-58,450 58,500 7,779 6,540 7,779 6,677 61,450 61,500 8,439 6,900 8,439 7,037 64,450 64,500 9,099 7,260 9,099 7,397
-
-58,500 58,550 7,790 6,546 7,790 6,683 61,500 61,550 8,450 6,906 8,450 7,043 64,500 64,550 9,110 7,266 9,110 7,403
-
-58,550 58,600 7,801 6,552 7,801 6,689 61,550 61,600 8,461 6,912 8,461 7,049 64,550 64,600 9,121 7,272 9,121 7,409
-
-58,600 58,650 7,812 6,558 7,812 6,695 61,600 61,650 8,472 6,918 8,472 7,055 64,600 64,650 9,132 7,278 9,132 7,415
-
-58,650 58,700 7,823 6,564 7,823 6,701 61,650 61,700 8,483 6,924 8,483 7,061 64,650 64,700 9,143 7,284 9,143 7,421
-
-58,700 58,750 7,834 6,570 7,834 6,707 61,700 61,750 8,494 6,930 8,494 7,067 64,700 64,750 9,154 7,290 9,154 7,427
-
-58,750 58,800 7,845 6,576 7,845 6,713 61,750 61,800 8,505 6,936 8,505 7,073 64,750 64,800 9,165 7,296 9,165 7,433
-
-58,800 58,850 7,856 6,582 7,856 6,719 61,800 61,850 8,516 6,942 8,516 7,079 64,800 64,850 9,176 7,302 9,176 7,439
-
-58,850 58,900 7,867 6,588 7,867 6,725 61,850 61,900 8,527 6,948 8,527 7,085 64,850 64,900 9,187 7,308 9,187 7,448
-
-58,900 58,950 7,878 6,594 7,878 6,731 61,900 61,950 8,538 6,954 8,538 7,091 64,900 64,950 9,198 7,314 9,198 7,459
-
-58,950 59,000 7,889 6,600 7,889 6,737 61,950 62,000 8,549 6,960 8,549 7,097 64,950 65,000 9,209 7,320 9,209 7,470
-
-59,000 62,000 65,000
-
-59,000 59,050 7,900 6,606 7,900 6,743 62,000 62,050 8,560 6,966 8,560 7,103 65,000 65,050 9,220 7,326 9,220 7,481
-
-59,050 59,100 7,911 6,612 7,911 6,749 62,050 62,100 8,571 6,972 8,571 7,109 65,050 65,100 9,231 7,332 9,231 7,492
-
-59,100 59,150 7,922 6,618 7,922 6,755 62,100 62,150 8,582 6,978 8,582 7,115 65,100 65,150 9,242 7,338 9,242 7,503
-
-59,150 59,200 7,933 6,624 7,933 6,761 62,150 62,200 8,593 6,984 8,593 7,121 65,150 65,200 9,253 7,344 9,253 7,514
-
-59,200 59,250 7,944 6,630 7,944 6,767 62,200 62,250 8,604 6,990 8,604 7,127 65,200 65,250 9,264 7,350 9,264 7,525
-
-59,250 59,300 7,955 6,636 7,955 6,773 62,250 62,300 8,615 6,996 8,615 7,133 65,250 65,300 9,275 7,356 9,275 7,536
-
-59,300 59,350 7,966 6,642 7,966 6,779 62,300 62,350 8,626 7,002 8,626 7,139 65,300 65,350 9,286 7,362 9,286 7,547
-
-59,350 59,400 7,977 6,648 7,977 6,785 62,350 62,400 8,637 7,008 8,637 7,145 65,350 65,400 9,297 7,368 9,297 7,558
-
-59,400 59,450 7,988 6,654 7,988 6,791 62,400 62,450 8,648 7,014 8,648 7,151 65,400 65,450 9,308 7,374 9,308 7,569
-
-59,450 59,500 7,999 6,660 7,999 6,797 62,450 62,500 8,659 7,020 8,659 7,157 65,450 65,500 9,319 7,380 9,319 7,580
-
-59,500 59,550 8,010 6,666 8,010 6,803 62,500 62,550 8,670 7,026 8,670 7,163 65,500 65,550 9,330 7,386 9,330 7,591
-
-59,550 59,600 8,021 6,672 8,021 6,809 62,550 62,600 8,681 7,032 8,681 7,169 65,550 65,600 9,341 7,392 9,341 7,602
-
-59,600 59,650 8,032 6,678 8,032 6,815 62,600 62,650 8,692 7,038 8,692 7,175 65,600 65,650 9,352 7,398 9,352 7,613
-
-59,650 59,700 8,043 6,684 8,043 6,821 62,650 62,700 8,703 7,044 8,703 7,181 65,650 65,700 9,363 7,404 9,363 7,624
-
-59,700 59,750 8,054 6,690 8,054 6,827 62,700 62,750 8,714 7,050 8,714 7,187 65,700 65,750 9,374 7,410 9,374 7,635
-
-59,750 59,800 8,065 6,696 8,065 6,833 62,750 62,800 8,725 7,056 8,725 7,193 65,750 65,800 9,385 7,416 9,385 7,646
-
-59,800 59,850 8,076 6,702 8,076 6,839 62,800 62,850 8,736 7,062 8,736 7,199 65,800 65,850 9,396 7,422 9,396 7,657
-
-59,850 59,900 8,087 6,708 8,087 6,845 62,850 62,900 8,747 7,068 8,747 7,205 65,850 65,900 9,407 7,428 9,407 7,668
-
-59,900 59,950 8,098 6,714 8,098 6,851 62,900 62,950 8,758 7,074 8,758 7,211 65,900 65,950 9,418 7,434 9,418 7,679
-
-59,950 60,000 8,109 6,720 8,109 6,857 62,950 63,000 8,769 7,080 8,769 7,217 65,950 66,000 9,429 7,440 9,429 7,690
-
-
-
-(Continued)
-
-* This column must also be used by a qualifying surviving spouse.
-
-
-
-118 Publication 17 (2025)
-
-2025 Tax Table — Continued
-
-If line 15 If line 15 If line 15 (taxable And you are— (taxable And you are— (taxable And you are— income) is— income) is— income) is—
-
-At But Single Married Married Head of At But Single Married Married Head of At But Single Married Married Head of least less filing filing a least less filing filing a least less filing filing a
-
-than jointly* sepa- house- than jointly* sepa- house- than jointly* sepa- house-
-
-rately hold rately hold rately hold
-
-Your tax is— Your tax is— Your tax is—
-
-66,000 69,000 72,000
-
-66,000 66,050 9,440 7,446 9,440 7,701 69,000 69,050 10,100 7,806 10,100 8,361 72,000 72,050 10,760 8,166 10,760 9,021 66,050 66,100 9,451 7,452 9,451 7,712 69,050 69,100 10,111 7,812 10,111 8,372 72,050 72,100 10,771 8,172 10,771 9,032 66,100 66,150 9,462 7,458 9,462 7,723 69,100 69,150 10,122 7,818 10,122 8,383 72,100 72,150 10,782 8,178 10,782 9,043 66,150 66,200 9,473 7,464 9,473 7,734 69,150 69,200 10,133 7,824 10,133 8,394 72,150 72,200 10,793 8,184 10,793 9,054 66,200 66,250 9,484 7,470 9,484 7,745 69,200 69,250 10,144 7,830 10,144 8,405 72,200 72,250 10,804 8,190 10,804 9,065 66,250 66,300 9,495 7,476 9,495 7,756 69,250 69,300 10,155 7,836 10,155 8,416 72,250 72,300 10,815 8,196 10,815 9,076 66,300 66,350 9,506 7,482 9,506 7,767 69,300 69,350 10,166 7,842 10,166 8,427 72,300 72,350 10,826 8,202 10,826 9,087 66,350 66,400 9,517 7,488 9,517 7,778 69,350 69,400 10,177 7,848 10,177 8,438 72,350 72,400 10,837 8,208 10,837 9,098 66,400 66,450 9,528 7,494 9,528 7,789 69,400 69,450 10,188 7,854 10,188 8,449 72,400 72,450 10,848 8,214 10,848 9,109 66,450 66,500 9,539 7,500 9,539 7,800 69,450 69,500 10,199 7,860 10,199 8,460 72,450 72,500 10,859 8,220 10,859 9,120 66,500 66,550 9,550 7,506 9,550 7,811 69,500 69,550 10,210 7,866 10,210 8,471 72,500 72,550 10,870 8,226 10,870 9,131 66,550 66,600 9,561 7,512 9,561 7,822 69,550 69,600 10,221 7,872 10,221 8,482 72,550 72,600 10,881 8,232 10,881 9,142 66,600 66,650 9,572 7,518 9,572 7,833 69,600 69,650 10,232 7,878 10,232 8,493 72,600 72,650 10,892 8,238 10,892 9,153 66,650 66,700 9,583 7,524 9,583 7,844 69,650 69,700 10,243 7,884 10,243 8,504 72,650 72,700 10,903 8,244 10,903 9,164 66,700 66,750 9,594 7,530 9,594 7,855 69,700 69,750 10,254 7,890 10,254 8,515 72,700 72,750 10,914 8,250 10,914 9,175 66,750 66,800 9,605 7,536 9,605 7,866 69,750 69,800 10,265 7,896 10,265 8,526 72,750 72,800 10,925 8,256 10,925 9,186 66,800 66,850 9,616 7,542 9,616 7,877 69,800 69,850 10,276 7,902 10,276 8,537 72,800 72,850 10,936 8,262 10,936 9,197 66,850 66,900 9,627 7,548 9,627 7,888 69,850 69,900 10,287 7,908 10,287 8,548 72,850 72,900 10,947 8,268 10,947 9,208 66,900 66,950 9,638 7,554 9,638 7,899 69,900 69,950 10,298 7,914 10,298 8,559 72,900 72,950 10,958 8,274 10,958 9,219 66,950 67,000 9,649 7,560 9,649 7,910 69,950 70,000 10,309 7,920 10,309 8,570 72,950 73,000 10,969 8,280 10,969 9,230
-
-67,000 70,000 73,000
-
-67,000 67,050 9,660 7,566 9,660 7,921 70,000 70,050 10,320 7,926 10,320 8,581 73,000 73,050 10,980 8,286 10,980 9,241 67,050 67,100 9,671 7,572 9,671 7,932 70,050 70,100 10,331 7,932 10,331 8,592 73,050 73,100 10,991 8,292 10,991 9,252 67,100 67,150 9,682 7,578 9,682 7,943 70,100 70,150 10,342 7,938 10,342 8,603 73,100 73,150 11,002 8,298 11,002 9,263 67,150 67,200 9,693 7,584 9,693 7,954 70,150 70,200 10,353 7,944 10,353 8,614 73,150 73,200 11,013 8,304 11,013 9,274 67,200 67,250 9,704 7,590 9,704 7,965 70,200 70,250 10,364 7,950 10,364 8,625 73,200 73,250 11,024 8,310 11,024 9,285 67,250 67,300 9,715 7,596 9,715 7,976 70,250 70,300 10,375 7,956 10,375 8,636 73,250 73,300 11,035 8,316 11,035 9,296 67,300 67,350 9,726 7,602 9,726 7,987 70,300 70,350 10,386 7,962 10,386 8,647 73,300 73,350 11,046 8,322 11,046 9,307 67,350 67,400 9,737 7,608 9,737 7,998 70,350 70,400 10,397 7,968 10,397 8,658 73,350 73,400 11,057 8,328 11,057 9,318 67,400 67,450 9,748 7,614 9,748 8,009 70,400 70,450 10,408 7,974 10,408 8,669 73,400 73,450 11,068 8,334 11,068 9,329 67,450 67,500 9,759 7,620 9,759 8,020 70,450 70,500 10,419 7,980 10,419 8,680 73,450 73,500 11,079 8,340 11,079 9,340 67,500 67,550 9,770 7,626 9,770 8,031 70,500 70,550 10,430 7,986 10,430 8,691 73,500 73,550 11,090 8,346 11,090 9,351 67,550 67,600 9,781 7,632 9,781 8,042 70,550 70,600 10,441 7,992 10,441 8,702 73,550 73,600 11,101 8,352 11,101 9,362 67,600 67,650 9,792 7,638 9,792 8,053 70,600 70,650 10,452 7,998 10,452 8,713 73,600 73,650 11,112 8,358 11,112 9,373 67,650 67,700 9,803 7,644 9,803 8,064 70,650 70,700 10,463 8,004 10,463 8,724 73,650 73,700 11,123 8,364 11,123 9,384 67,700 67,750 9,814 7,650 9,814 8,075 70,700 70,750 10,474 8,010 10,474 8,735 73,700 73,750 11,134 8,370 11,134 9,395 67,750 67,800 9,825 7,656 9,825 8,086 70,750 70,800 10,485 8,016 10,485 8,746 73,750 73,800 11,145 8,376 11,145 9,406 67,800 67,850 9,836 7,662 9,836 8,097 70,800 70,850 10,496 8,022 10,496 8,757 73,800 73,850 11,156 8,382 11,156 9,417 67,850 67,900 9,847 7,668 9,847 8,108 70,850 70,900 10,507 8,028 10,507 8,768 73,850 73,900 11,167 8,388 11,167 9,428 67,900 67,950 9,858 7,674 9,858 8,119 70,900 70,950 10,518 8,034 10,518 8,779 73,900 73,950 11,178 8,394 11,178 9,439 67,950 68,000 9,869 7,680 9,869 8,130 70,950 71,000 10,529 8,040 10,529 8,790 73,950 74,000 11,189 8,400 11,189 9,450
-
-68,000 71,000 74,000
-
-68,000 68,050 9,880 7,686 9,880 8,141 71,000 71,050 10,540 8,046 10,540 8,801 74,000 74,050 11,200 8,406 11,200 9,461 68,050 68,100 9,891 7,692 9,891 8,152 71,050 71,100 10,551 8,052 10,551 8,812 74,050 74,100 11,211 8,412 11,211 9,472 68,100 68,150 9,902 7,698 9,902 8,163 71,100 71,150 10,562 8,058 10,562 8,823 74,100 74,150 11,222 8,418 11,222 9,483 68,150 68,200 9,913 7,704 9,913 8,174 71,150 71,200 10,573 8,064 10,573 8,834 74,150 74,200 11,233 8,424 11,233 9,494 68,200 68,250 9,924 7,710 9,924 8,185 71,200 71,250 10,584 8,070 10,584 8,845 74,200 74,250 11,244 8,430 11,244 9,505 68,250 68,300 9,935 7,716 9,935 8,196 71,250 71,300 10,595 8,076 10,595 8,856 74,250 74,300 11,255 8,436 11,255 9,516 68,300 68,350 9,946 7,722 9,946 8,207 71,300 71,350 10,606 8,082 10,606 8,867 74,300 74,350 11,266 8,442 11,266 9,527 68,350 68,400 9,957 7,728 9,957 8,218 71,350 71,400 10,617 8,088 10,617 8,878 74,350 74,400 11,277 8,448 11,277 9,538 68,400 68,450 9,968 7,734 9,968 8,229 71,400 71,450 10,628 8,094 10,628 8,889 74,400 74,450 11,288 8,454 11,288 9,549 68,450 68,500 9,979 7,740 9,979 8,240 71,450 71,500 10,639 8,100 10,639 8,900 74,450 74,500 11,299 8,460 11,299 9,560 68,500 68,550 9,990 7,746 9,990 8,251 71,500 71,550 10,650 8,106 10,650 8,911 74,500 74,550 11,310 8,466 11,310 9,571 68,550 68,600 10,001 7,752 10,001 8,262 71,550 71,600 10,661 8,112 10,661 8,922 74,550 74,600 11,321 8,472 11,321 9,582 68,600 68,650 10,012 7,758 10,012 8,273 71,600 71,650 10,672 8,118 10,672 8,933 74,600 74,650 11,332 8,478 11,332 9,593 68,650 68,700 10,023 7,764 10,023 8,284 71,650 71,700 10,683 8,124 10,683 8,944 74,650 74,700 11,343 8,484 11,343 9,604 68,700 68,750 10,034 7,770 10,034 8,295 71,700 71,750 10,694 8,130 10,694 8,955 74,700 74,750 11,354 8,490 11,354 9,615 68,750 68,800 10,045 7,776 10,045 8,306 71,750 71,800 10,705 8,136 10,705 8,966 74,750 74,800 11,365 8,496 11,365 9,626 68,800 68,850 10,056 7,782 10,056 8,317 71,800 71,850 10,716 8,142 10,716 8,977 74,800 74,850 11,376 8,502 11,376 9,637 68,850 68,900 10,067 7,788 10,067 8,328 71,850 71,900 10,727 8,148 10,727 8,988 74,850 74,900 11,387 8,508 11,387 9,648 68,900 68,950 10,078 7,794 10,078 8,339 71,900 71,950 10,738 8,154 10,738 8,999 74,900 74,950 11,398 8,514 11,398 9,659 68,950 69,000 10,089 7,800 10,089 8,350 71,950 72,000 10,749 8,160 10,749 9,010 74,950 75,000 11,409 8,520 11,409 9,670
-
-
-
-(Continued)
-
-* This column must also be used by a qualifying surviving spouse.
-
-
-
-Publication 17 (2025) 119
-
-2025 Tax Table — Continued
-
-If line 15 If line 15 If line 15 (taxable And you are— (taxable And you are— (taxable And you are— income) is— income) is— income) is—
-
-At But Single Married Married Head of At But Single Married Married Head of At But Single Married Married Head of least less filing filing a least less filing filing a least less filing filing a
-
-than jointly* sepa- house- than jointly* sepa- house- than jointly* sepa- house-
-
-rately hold rately hold rately hold
-
-Your tax is— Your tax is— Your tax is—
-
-75,000 78,000 81,000
-
-75,000 75,050 11,420 8,526 11,420 9,681 78,000 78,050 12,080 8,886 12,080 10,341 81,000 81,050 12,740 9,246 12,740 11,001
-
-75,050 75,100 11,431 8,532 11,431 9,692 78,050 78,100 12,091 8,892 12,091 10,352 81,050 81,100 12,751 9,252 12,751 11,012
-
-75,100 75,150 11,442 8,538 11,442 9,703 78,100 78,150 12,102 8,898 12,102 10,363 81,100 81,150 12,762 9,258 12,762 11,023
-
-75,150 75,200 11,453 8,544 11,453 9,714 78,150 78,200 12,113 8,904 12,113 10,374 81,150 81,200 12,773 9,264 12,773 11,034
-
-75,200 75,250 11,464 8,550 11,464 9,725 78,200 78,250 12,124 8,910 12,124 10,385 81,200 81,250 12,784 9,270 12,784 11,045
-
-75,250 75,300 11,475 8,556 11,475 9,736 78,250 78,300 12,135 8,916 12,135 10,396 81,250 81,300 12,795 9,276 12,795 11,056
-
-75,300 75,350 11,486 8,562 11,486 9,747 78,300 78,350 12,146 8,922 12,146 10,407 81,300 81,350 12,806 9,282 12,806 11,067
-
-75,350 75,400 11,497 8,568 11,497 9,758 78,350 78,400 12,157 8,928 12,157 10,418 81,350 81,400 12,817 9,288 12,817 11,078
-
-75,400 75,450 11,508 8,574 11,508 9,769 78,400 78,450 12,168 8,934 12,168 10,429 81,400 81,450 12,828 9,294 12,828 11,089
-
-75,450 75,500 11,519 8,580 11,519 9,780 78,450 78,500 12,179 8,940 12,179 10,440 81,450 81,500 12,839 9,300 12,839 11,100
-
-75,500 75,550 11,530 8,586 11,530 9,791 78,500 78,550 12,190 8,946 12,190 10,451 81,500 81,550 12,850 9,306 12,850 11,111
-
-75,550 75,600 11,541 8,592 11,541 9,802 78,550 78,600 12,201 8,952 12,201 10,462 81,550 81,600 12,861 9,312 12,861 11,122
-
-75,600 75,650 11,552 8,598 11,552 9,813 78,600 78,650 12,212 8,958 12,212 10,473 81,600 81,650 12,872 9,318 12,872 11,133
-
-75,650 75,700 11,563 8,604 11,563 9,824 78,650 78,700 12,223 8,964 12,223 10,484 81,650 81,700 12,883 9,324 12,883 11,144
-
-75,700 75,750 11,574 8,610 11,574 9,835 78,700 78,750 12,234 8,970 12,234 10,495 81,700 81,750 12,894 9,330 12,894 11,155
-
-75,750 75,800 11,585 8,616 11,585 9,846 78,750 78,800 12,245 8,976 12,245 10,506 81,750 81,800 12,905 9,336 12,905 11,166
-
-75,800 75,850 11,596 8,622 11,596 9,857 78,800 78,850 12,256 8,982 12,256 10,517 81,800 81,850 12,916 9,342 12,916 11,177
-
-75,850 75,900 11,607 8,628 11,607 9,868 78,850 78,900 12,267 8,988 12,267 10,528 81,850 81,900 12,927 9,348 12,927 11,188
-
-75,900 75,950 11,618 8,634 11,618 9,879 78,900 78,950 12,278 8,994 12,278 10,539 81,900 81,950 12,938 9,354 12,938 11,199
-
-75,950 76,000 11,629 8,640 11,629 9,890 78,950 79,000 12,289 9,000 12,289 10,550 81,950 82,000 12,949 9,360 12,949 11,210
-
-76,000 79,000 82,000
-
-76,000 76,050 11,640 8,646 11,640 9,901 79,000 79,050 12,300 9,006 12,300 10,561 82,000 82,050 12,960 9,366 12,960 11,221
-
-76,050 76,100 11,651 8,652 11,651 9,912 79,050 79,100 12,311 9,012 12,311 10,572 82,050 82,100 12,971 9,372 12,971 11,232
-
-76,100 76,150 11,662 8,658 11,662 9,923 79,100 79,150 12,322 9,018 12,322 10,583 82,100 82,150 12,982 9,378 12,982 11,243
-
-76,150 76,200 11,673 8,664 11,673 9,934 79,150 79,200 12,333 9,024 12,333 10,594 82,150 82,200 12,993 9,384 12,993 11,254
-
-76,200 76,250 11,684 8,670 11,684 9,945 79,200 79,250 12,344 9,030 12,344 10,605 82,200 82,250 13,004 9,390 13,004 11,265
-
-76,250 76,300 11,695 8,676 11,695 9,956 79,250 79,300 12,355 9,036 12,355 10,616 82,250 82,300 13,015 9,396 13,015 11,276
-
-76,300 76,350 11,706 8,682 11,706 9,967 79,300 79,350 12,366 9,042 12,366 10,627 82,300 82,350 13,026 9,402 13,026 11,287
-
-76,350 76,400 11,717 8,688 11,717 9,978 79,350 79,400 12,377 9,048 12,377 10,638 82,350 82,400 13,037 9,408 13,037 11,298
-
-76,400 76,450 11,728 8,694 11,728 9,989 79,400 79,450 12,388 9,054 12,388 10,649 82,400 82,450 13,048 9,414 13,048 11,309
-
-76,450 76,500 11,739 8,700 11,739 10,000 79,450 79,500 12,399 9,060 12,399 10,660 82,450 82,500 13,059 9,420 13,059 11,320
-
-76,500 76,550 11,750 8,706 11,750 10,011 79,500 79,550 12,410 9,066 12,410 10,671 82,500 82,550 13,070 9,426 13,070 11,331
-
-76,550 76,600 11,761 8,712 11,761 10,022 79,550 79,600 12,421 9,072 12,421 10,682 82,550 82,600 13,081 9,432 13,081 11,342
-
-76,600 76,650 11,772 8,718 11,772 10,033 79,600 79,650 12,432 9,078 12,432 10,693 82,600 82,650 13,092 9,438 13,092 11,353
-
-76,650 76,700 11,783 8,724 11,783 10,044 79,650 79,700 12,443 9,084 12,443 10,704 82,650 82,700 13,103 9,444 13,103 11,364
-
-76,700 76,750 11,794 8,730 11,794 10,055 79,700 79,750 12,454 9,090 12,454 10,715 82,700 82,750 13,114 9,450 13,114 11,375
-
-76,750 76,800 11,805 8,736 11,805 10,066 79,750 79,800 12,465 9,096 12,465 10,726 82,750 82,800 13,125 9,456 13,125 11,386
-
-76,800 76,850 11,816 8,742 11,816 10,077 79,800 79,850 12,476 9,102 12,476 10,737 82,800 82,850 13,136 9,462 13,136 11,397
-
-76,850 76,900 11,827 8,748 11,827 10,088 79,850 79,900 12,487 9,108 12,487 10,748 82,850 82,900 13,147 9,468 13,147 11,408
-
-76,900 76,950 11,838 8,754 11,838 10,099 79,900 79,950 12,498 9,114 12,498 10,759 82,900 82,950 13,158 9,474 13,158 11,419
-
-76,950 77,000 11,849 8,760 11,849 10,110 79,950 80,000 12,509 9,120 12,509 10,770 82,950 83,000 13,169 9,480 13,169 11,430
-
-77,000 80,000 83,000
-
-77,000 77,050 11,860 8,766 11,860 10,121 80,000 80,050 12,520 9,126 12,520 10,781 83,000 83,050 13,180 9,486 13,180 11,441
-
-77,050 77,100 11,871 8,772 11,871 10,132 80,050 80,100 12,531 9,132 12,531 10,792 83,050 83,100 13,191 9,492 13,191 11,452
-
-77,100 77,150 11,882 8,778 11,882 10,143 80,100 80,150 12,542 9,138 12,542 10,803 83,100 83,150 13,202 9,498 13,202 11,463
-
-77,150 77,200 11,893 8,784 11,893 10,154 80,150 80,200 12,553 9,144 12,553 10,814 83,150 83,200 13,213 9,504 13,213 11,474
-
-77,200 77,250 11,904 8,790 11,904 10,165 80,200 80,250 12,564 9,150 12,564 10,825 83,200 83,250 13,224 9,510 13,224 11,485
-
-77,250 77,300 11,915 8,796 11,915 10,176 80,250 80,300 12,575 9,156 12,575 10,836 83,250 83,300 13,235 9,516 13,235 11,496
-
-77,300 77,350 11,926 8,802 11,926 10,187 80,300 80,350 12,586 9,162 12,586 10,847 83,300 83,350 13,246 9,522 13,246 11,507
-
-77,350 77,400 11,937 8,808 11,937 10,198 80,350 80,400 12,597 9,168 12,597 10,858 83,350 83,400 13,257 9,528 13,257 11,518
-
-77,400 77,450 11,948 8,814 11,948 10,209 80,400 80,450 12,608 9,174 12,608 10,869 83,400 83,450 13,268 9,534 13,268 11,529
-
-77,450 77,500 11,959 8,820 11,959 10,220 80,450 80,500 12,619 9,180 12,619 10,880 83,450 83,500 13,279 9,540 13,279 11,540
-
-77,500 77,550 11,970 8,826 11,970 10,231 80,500 80,550 12,630 9,186 12,630 10,891 83,500 83,550 13,290 9,546 13,290 11,551
-
-77,550 77,600 11,981 8,832 11,981 10,242 80,550 80,600 12,641 9,192 12,641 10,902 83,550 83,600 13,301 9,552 13,301 11,562
-
-77,600 77,650 11,992 8,838 11,992 10,253 80,600 80,650 12,652 9,198 12,652 10,913 83,600 83,650 13,312 9,558 13,312 11,573
-
-77,650 77,700 12,003 8,844 12,003 10,264 80,650 80,700 12,663 9,204 12,663 10,924 83,650 83,700 13,323 9,564 13,323 11,584
-
-77,700 77,750 12,014 8,850 12,014 10,275 80,700 80,750 12,674 9,210 12,674 10,935 83,700 83,750 13,334 9,570 13,334 11,595
-
-77,750 77,800 12,025 8,856 12,025 10,286 80,750 80,800 12,685 9,216 12,685 10,946 83,750 83,800 13,345 9,576 13,345 11,606
-
-77,800 77,850 12,036 8,862 12,036 10,297 80,800 80,850 12,696 9,222 12,696 10,957 83,800 83,850 13,356 9,582 13,356 11,617
-
-77,850 77,900 12,047 8,868 12,047 10,308 80,850 80,900 12,707 9,228 12,707 10,968 83,850 83,900 13,367 9,588 13,367 11,628
-
-77,900 77,950 12,058 8,874 12,058 10,319 80,900 80,950 12,718 9,234 12,718 10,979 83,900 83,950 13,378 9,594 13,378 11,639
-
-77,950 78,000 12,069 8,880 12,069 10,330 80,950 81,000 12,729 9,240 12,729 10,990 83,950 84,000 13,389 9,600 13,389 11,650
-
-
-
-(Continued)
-
-* This column must also be used by a qualifying surviving spouse.
-
-
-
-120 Publication 17 (2025)
-
-2025 Tax Table — Continued
-
-If line 15 If line 15 If line 15 (taxable And you are— (taxable And you are— (taxable And you are— income) is— income) is— income) is—
-
-At But Single Married Married Head of At But Single Married Married Head of At But Single Married Married Head of least less filing filing a least less filing filing a least less filing filing a
-
-than jointly* sepa- house- than jointly* sepa- house- than jointly* sepa- house-
-
-rately hold rately hold rately hold
-
-Your tax is— Your tax is— Your tax is—
-
-84,000 87,000 90,000
-
-84,000 84,050 13,400 9,606 13,400 11,661 87,000 87,050 14,060 9,966 14,060 12,321 90,000 90,050 14,720 10,326 14,720 12,981 84,050 84,100 13,411 9,612 13,411 11,672 87,050 87,100 14,071 9,972 14,071 12,332 90,050 90,100 14,731 10,332 14,731 12,992 84,100 84,150 13,422 9,618 13,422 11,683 87,100 87,150 14,082 9,978 14,082 12,343 90,100 90,150 14,742 10,338 14,742 13,003 84,150 84,200 13,433 9,624 13,433 11,694 87,150 87,200 14,093 9,984 14,093 12,354 90,150 90,200 14,753 10,344 14,753 13,014 84,200 84,250 13,444 9,630 13,444 11,705 87,200 87,250 14,104 9,990 14,104 12,365 90,200 90,250 14,764 10,350 14,764 13,025 84,250 84,300 13,455 9,636 13,455 11,716 87,250 87,300 14,115 9,996 14,115 12,376 90,250 90,300 14,775 10,356 14,775 13,036 84,300 84,350 13,466 9,642 13,466 11,727 87,300 87,350 14,126 10,002 14,126 12,387 90,300 90,350 14,786 10,362 14,786 13,047 84,350 84,400 13,477 9,648 13,477 11,738 87,350 87,400 14,137 10,008 14,137 12,398 90,350 90,400 14,797 10,368 14,797 13,058 84,400 84,450 13,488 9,654 13,488 11,749 87,400 87,450 14,148 10,014 14,148 12,409 90,400 90,450 14,808 10,374 14,808 13,069 84,450 84,500 13,499 9,660 13,499 11,760 87,450 87,500 14,159 10,020 14,159 12,420 90,450 90,500 14,819 10,380 14,819 13,080 84,500 84,550 13,510 9,666 13,510 11,771 87,500 87,550 14,170 10,026 14,170 12,431 90,500 90,550 14,830 10,386 14,830 13,091 84,550 84,600 13,521 9,672 13,521 11,782 87,550 87,600 14,181 10,032 14,181 12,442 90,550 90,600 14,841 10,392 14,841 13,102 84,600 84,650 13,532 9,678 13,532 11,793 87,600 87,650 14,192 10,038 14,192 12,453 90,600 90,650 14,852 10,398 14,852 13,113 84,650 84,700 13,543 9,684 13,543 11,804 87,650 87,700 14,203 10,044 14,203 12,464 90,650 90,700 14,863 10,404 14,863 13,124 84,700 84,750 13,554 9,690 13,554 11,815 87,700 87,750 14,214 10,050 14,214 12,475 90,700 90,750 14,874 10,410 14,874 13,135 84,750 84,800 13,565 9,696 13,565 11,826 87,750 87,800 14,225 10,056 14,225 12,486 90,750 90,800 14,885 10,416 14,885 13,146 84,800 84,850 13,576 9,702 13,576 11,837 87,800 87,850 14,236 10,062 14,236 12,497 90,800 90,850 14,896 10,422 14,896 13,157 84,850 84,900 13,587 9,708 13,587 11,848 87,850 87,900 14,247 10,068 14,247 12,508 90,850 90,900 14,907 10,428 14,907 13,168 84,900 84,950 13,598 9,714 13,598 11,859 87,900 87,950 14,258 10,074 14,258 12,519 90,900 90,950 14,918 10,434 14,918 13,179 84,950 85,000 13,609 9,720 13,609 11,870 87,950 88,000 14,269 10,080 14,269 12,530 90,950 91,000 14,929 10,440 14,929 13,190
-
-85,000 88,000 91,000
-
-85,000 85,050 13,620 9,726 13,620 11,881 88,000 88,050 14,280 10,086 14,280 12,541 91,000 91,050 14,940 10,446 14,940 13,201 85,050 85,100 13,631 9,732 13,631 11,892 88,050 88,100 14,291 10,092 14,291 12,552 91,050 91,100 14,951 10,452 14,951 13,212 85,100 85,150 13,642 9,738 13,642 11,903 88,100 88,150 14,302 10,098 14,302 12,563 91,100 91,150 14,962 10,458 14,962 13,223 85,150 85,200 13,653 9,744 13,653 11,914 88,150 88,200 14,313 10,104 14,313 12,574 91,150 91,200 14,973 10,464 14,973 13,234 85,200 85,250 13,664 9,750 13,664 11,925 88,200 88,250 14,324 10,110 14,324 12,585 91,200 91,250 14,984 10,470 14,984 13,245 85,250 85,300 13,675 9,756 13,675 11,936 88,250 88,300 14,335 10,116 14,335 12,596 91,250 91,300 14,995 10,476 14,995 13,256 85,300 85,350 13,686 9,762 13,686 11,947 88,300 88,350 14,346 10,122 14,346 12,607 91,300 91,350 15,006 10,482 15,006 13,267 85,350 85,400 13,697 9,768 13,697 11,958 88,350 88,400 14,357 10,128 14,357 12,618 91,350 91,400 15,017 10,488 15,017 13,278 85,400 85,450 13,708 9,774 13,708 11,969 88,400 88,450 14,368 10,134 14,368 12,629 91,400 91,450 15,028 10,494 15,028 13,289 85,450 85,500 13,719 9,780 13,719 11,980 88,450 88,500 14,379 10,140 14,379 12,640 91,450 91,500 15,039 10,500 15,039 13,300 85,500 85,550 13,730 9,786 13,730 11,991 88,500 88,550 14,390 10,146 14,390 12,651 91,500 91,550 15,050 10,506 15,050 13,311 85,550 85,600 13,741 9,792 13,741 12,002 88,550 88,600 14,401 10,152 14,401 12,662 91,550 91,600 15,061 10,512 15,061 13,322 85,600 85,650 13,752 9,798 13,752 12,013 88,600 88,650 14,412 10,158 14,412 12,673 91,600 91,650 15,072 10,518 15,072 13,333 85,650 85,700 13,763 9,804 13,763 12,024 88,650 88,700 14,423 10,164 14,423 12,684 91,650 91,700 15,083 10,524 15,083 13,344 85,700 85,750 13,774 9,810 13,774 12,035 88,700 88,750 14,434 10,170 14,434 12,695 91,700 91,750 15,094 10,530 15,094 13,355 85,750 85,800 13,785 9,816 13,785 12,046 88,750 88,800 14,445 10,176 14,445 12,706 91,750 91,800 15,105 10,536 15,105 13,366 85,800 85,850 13,796 9,822 13,796 12,057 88,800 88,850 14,456 10,182 14,456 12,717 91,800 91,850 15,116 10,542 15,116 13,377 85,850 85,900 13,807 9,828 13,807 12,068 88,850 88,900 14,467 10,188 14,467 12,728 91,850 91,900 15,127 10,548 15,127 13,388 85,900 85,950 13,818 9,834 13,818 12,079 88,900 88,950 14,478 10,194 14,478 12,739 91,900 91,950 15,138 10,554 15,138 13,399 85,950 86,000 13,829 9,840 13,829 12,090 88,950 89,000 14,489 10,200 14,489 12,750 91,950 92,000 15,149 10,560 15,149 13,410
-
-86,000 89,000 92,000
-
-86,000 86,050 13,840 9,846 13,840 12,101 89,000 89,050 14,500 10,206 14,500 12,761 92,000 92,050 15,160 10,566 15,160 13,421 86,050 86,100 13,851 9,852 13,851 12,112 89,050 89,100 14,511 10,212 14,511 12,772 92,050 92,100 15,171 10,572 15,171 13,432 86,100 86,150 13,862 9,858 13,862 12,123 89,100 89,150 14,522 10,218 14,522 12,783 92,100 92,150 15,182 10,578 15,182 13,443 86,150 86,200 13,873 9,864 13,873 12,134 89,150 89,200 14,533 10,224 14,533 12,794 92,150 92,200 15,193 10,584 15,193 13,454 86,200 86,250 13,884 9,870 13,884 12,145 89,200 89,250 14,544 10,230 14,544 12,805 92,200 92,250 15,204 10,590 15,204 13,465 86,250 86,300 13,895 9,876 13,895 12,156 89,250 89,300 14,555 10,236 14,555 12,816 92,250 92,300 15,215 10,596 15,215 13,476 86,300 86,350 13,906 9,882 13,906 12,167 89,300 89,350 14,566 10,242 14,566 12,827 92,300 92,350 15,226 10,602 15,226 13,487 86,350 86,400 13,917 9,888 13,917 12,178 89,350 89,400 14,577 10,248 14,577 12,838 92,350 92,400 15,237 10,608 15,237 13,498 86,400 86,450 13,928 9,894 13,928 12,189 89,400 89,450 14,588 10,254 14,588 12,849 92,400 92,450 15,248 10,614 15,248 13,509 86,450 86,500 13,939 9,900 13,939 12,200 89,450 89,500 14,599 10,260 14,599 12,860 92,450 92,500 15,259 10,620 15,259 13,520 86,500 86,550 13,950 9,906 13,950 12,211 89,500 89,550 14,610 10,266 14,610 12,871 92,500 92,550 15,270 10,626 15,270 13,531 86,550 86,600 13,961 9,912 13,961 12,222 89,550 89,600 14,621 10,272 14,621 12,882 92,550 92,600 15,281 10,632 15,281 13,542 86,600 86,650 13,972 9,918 13,972 12,233 89,600 89,650 14,632 10,278 14,632 12,893 92,600 92,650 15,292 10,638 15,292 13,553 86,650 86,700 13,983 9,924 13,983 12,244 89,650 89,700 14,643 10,284 14,643 12,904 92,650 92,700 15,303 10,644 15,303 13,564 86,700 86,750 13,994 9,930 13,994 12,255 89,700 89,750 14,654 10,290 14,654 12,915 92,700 92,750 15,314 10,650 15,314 13,575 86,750 86,800 14,005 9,936 14,005 12,266 89,750 89,800 14,665 10,296 14,665 12,926 92,750 92,800 15,325 10,656 15,325 13,586 86,800 86,850 14,016 9,942 14,016 12,277 89,800 89,850 14,676 10,302 14,676 12,937 92,800 92,850 15,336 10,662 15,336 13,597 86,850 86,900 14,027 9,948 14,027 12,288 89,850 89,900 14,687 10,308 14,687 12,948 92,850 92,900 15,347 10,668 15,347 13,608 86,900 86,950 14,038 9,954 14,038 12,299 89,900 89,950 14,698 10,314 14,698 12,959 92,900 92,950 15,358 10,674 15,358 13,619 86,950 87,000 14,049 9,960 14,049 12,310 89,950 90,000 14,709 10,320 14,709 12,970 92,950 93,000 15,369 10,680 15,369 13,630
-
-
-
-(Continued)
-
-* This column must also be used by a qualifying surviving spouse.
-
-
-
-Publication 17 (2025) 121
-
-2025 Tax Table — Continued
-
-If line 15 If line 15 If line 15 (taxable And you are— (taxable And you are— (taxable And you are— income) is— income) is— income) is—
-
-At But Single Married Married Head of At But Single Married Married Head of At But Single Married Married Head of least less filing filing a least less filing filing a least less filing filing a
-
-than jointly* sepa- house- than jointly* sepa- house- than jointly* sepa- house-
-
-rately hold rately hold rately hold
-
-Your tax is— Your tax is— Your tax is—
-
-93,000 96,000 99,000
-
-93,000 93,050 15,380 10,686 15,380 13,641 96,000 96,050 16,040 11,046 16,040 14,301 99,000 99,050 16,700 11,614 16,700 14,961
-
-93,050 93,100 15,391 10,692 15,391 13,652 96,050 96,100 16,051 11,052 16,051 14,312 99,050 99,100 16,711 11,625 16,711 14,972
-
-93,100 93,150 15,402 10,698 15,402 13,663 96,100 96,150 16,062 11,058 16,062 14,323 99,100 99,150 16,722 11,636 16,722 14,983
-
-93,150 93,200 15,413 10,704 15,413 13,674 96,150 96,200 16,073 11,064 16,073 14,334 99,150 99,200 16,733 11,647 16,733 14,994
-
-93,200 93,250 15,424 10,710 15,424 13,685 96,200 96,250 16,084 11,070 16,084 14,345 99,200 99,250 16,744 11,658 16,744 15,005
-
-93,250 93,300 15,435 10,716 15,435 13,696 96,250 96,300 16,095 11,076 16,095 14,356 99,250 99,300 16,755 11,669 16,755 15,016
-
-93,300 93,350 15,446 10,722 15,446 13,707 96,300 96,350 16,106 11,082 16,106 14,367 99,300 99,350 16,766 11,680 16,766 15,027
-
-93,350 93,400 15,457 10,728 15,457 13,718 96,350 96,400 16,117 11,088 16,117 14,378 99,350 99,400 16,777 11,691 16,777 15,038
-
-93,400 93,450 15,468 10,734 15,468 13,729 96,400 96,450 16,128 11,094 16,128 14,389 99,400 99,450 16,788 11,702 16,788 15,049
-
-93,450 93,500 15,479 10,740 15,479 13,740 96,450 96,500 16,139 11,100 16,139 14,400 99,450 99,500 16,799 11,713 16,799 15,060
-
-93,500 93,550 15,490 10,746 15,490 13,751 96,500 96,550 16,150 11,106 16,150 14,411 99,500 99,550 16,810 11,724 16,810 15,071
-
-93,550 93,600 15,501 10,752 15,501 13,762 96,550 96,600 16,161 11,112 16,161 14,422 99,550 99,600 16,821 11,735 16,821 15,082
-
-93,600 93,650 15,512 10,758 15,512 13,773 96,600 96,650 16,172 11,118 16,172 14,433 99,600 99,650 16,832 11,746 16,832 15,093
-
-93,650 93,700 15,523 10,764 15,523 13,784 96,650 96,700 16,183 11,124 16,183 14,444 99,650 99,700 16,843 11,757 16,843 15,104
-
-93,700 93,750 15,534 10,770 15,534 13,795 96,700 96,750 16,194 11,130 16,194 14,455 99,700 99,750 16,854 11,768 16,854 15,115
-
-93,750 93,800 15,545 10,776 15,545 13,806 96,750 96,800 16,205 11,136 16,205 14,466 99,750 99,800 16,865 11,779 16,865 15,126
-
-93,800 93,850 15,556 10,782 15,556 13,817 96,800 96,850 16,216 11,142 16,216 14,477 99,800 99,850 16,876 11,790 16,876 15,137
-
-93,850 93,900 15,567 10,788 15,567 13,828 96,850 96,900 16,227 11,148 16,227 14,488 99,850 99,900 16,887 11,801 16,887 15,148
-
-93,900 93,950 15,578 10,794 15,578 13,839 96,900 96,950 16,238 11,154 16,238 14,499 99,900 99,950 16,898 11,812 16,898 15,159
-
-93,950 94,000 15,589 10,800 15,589 13,850 96,950 97,000 16,249 11,163 16,249 14,510 99,950 100,000 16,909 11,823 16,909 15,170
-
-94,000 97,000
-
-94,000 94,050 15,600 10,806 15,600 13,861 97,000 97,050 16,260 11,174 16,260 14,521 $100,000
-
-94,050 94,100 15,611 10,812 15,611 13,872 97,050 97,100 16,271 11,185 16,271 14,532 or over
-
-94,150 94,200 15,633 10,824 15,633 13,894 97,150 97,200 16,293 11,207 16,293 14,554 Computation 94,200 94,100 94,150 15,622 10,818 15,622 13,883 97,100 97,150 16,282 11,196 16,282 14,543 use the Tax
-
-94,250 15,644 10,830 15,644 13,905 97,200 97,250 16,304 11,218 16,304 14,565 Worksheet
-
-94,250 94,300 15,655 10,836 15,655 13,916 97,250 97,300 16,315 11,229 16,315 14,576
-
-94,300 94,350 15,666 10,842 15,666 13,927 97,300 97,350 16,326 11,240 16,326 14,587
-
-94,350 94,400 15,677 10,848 15,677 13,938 97,350 97,400 16,337 11,251 16,337 14,598
-
-94,400 94,450 15,688 10,854 15,688 13,949 97,400 97,450 16,348 11,262 16,348 14,609
-
-94,450 94,500 15,699 10,860 15,699 13,960 97,450 97,500 16,359 11,273 16,359 14,620
-
-94,500 94,550 15,710 10,866 15,710 13,971 97,500 97,550 16,370 11,284 16,370 14,631
-
-94,550 94,600 15,721 10,872 15,721 13,982 97,550 97,600 16,381 11,295 16,381 14,642
-
-94,600 94,650 15,732 10,878 15,732 13,993 97,600 97,650 16,392 11,306 16,392 14,653
-
-94,650 94,700 15,743 10,884 15,743 14,004 97,650 97,700 16,403 11,317 16,403 14,664
-
-94,700 94,750 15,754 10,890 15,754 14,015 97,700 97,750 16,414 11,328 16,414 14,675
-
-94,750 94,800 15,765 10,896 15,765 14,026 97,750 97,800 16,425 11,339 16,425 14,686
-
-94,800 94,850 15,776 10,902 15,776 14,037 97,800 97,850 16,436 11,350 16,436 14,697
-
-94,850 94,900 15,787 10,908 15,787 14,048 97,850 97,900 16,447 11,361 16,447 14,708
-
-94,900 94,950 15,798 10,914 15,798 14,059 97,900 97,950 16,458 11,372 16,458 14,719
-
-94,950 95,000 15,809 10,920 15,809 14,070 97,950 98,000 16,469 11,383 16,469 14,730
-
-95,000 98,000
-
-95,000 95,050 15,820 10,926 15,820 14,081 98,000 98,050 16,480 11,394 16,480 14,741
-
-95,050 95,100 15,831 10,932 15,831 14,092 98,050 98,100 16,491 11,405 16,491 14,752
-
-95,100 95,150 15,842 10,938 15,842 14,103 98,100 98,150 16,502 11,416 16,502 14,763
-
-95,150 95,200 15,853 10,944 15,853 14,114 98,150 98,200 16,513 11,427 16,513 14,774
-
-95,200 95,250 15,864 10,950 15,864 14,125 98,200 98,250 16,524 11,438 16,524 14,785
-
-95,250 95,300 15,875 10,956 15,875 14,136 98,250 98,300 16,535 11,449 16,535 14,796
-
-95,300 95,350 15,886 10,962 15,886 14,147 98,300 98,350 16,546 11,460 16,546 14,807
-
-95,350 95,400 15,897 10,968 15,897 14,158 98,350 98,400 16,557 11,471 16,557 14,818
-
-95,400 95,450 15,908 10,974 15,908 14,169 98,400 98,450 16,568 11,482 16,568 14,829
-
-95,450 95,500 15,919 10,980 15,919 14,180 98,450 98,500 16,579 11,493 16,579 14,840
-
-95,500 95,550 15,930 10,986 15,930 14,191 98,500 98,550 16,590 11,504 16,590 14,851
-
-95,550 95,600 15,941 10,992 15,941 14,202 98,550 98,600 16,601 11,515 16,601 14,862
-
-95,600 95,650 15,952 10,998 15,952 14,213 98,600 98,650 16,612 11,526 16,612 14,873
-
-95,650 95,700 15,963 11,004 15,963 14,224 98,650 98,700 16,623 11,537 16,623 14,884
-
-95,700 95,750 15,974 11,010 15,974 14,235 98,700 98,750 16,634 11,548 16,634 14,895
-
-95,750 95,800 15,985 11,016 15,985 14,246 98,750 98,800 16,645 11,559 16,645 14,906
-
-95,800 95,850 15,996 11,022 15,996 14,257 98,800 98,850 16,656 11,570 16,656 14,917
-
-95,850 95,900 16,007 11,028 16,007 14,268 98,850 98,900 16,667 11,581 16,667 14,928
-
-95,900 95,950 16,018 11,034 16,018 14,279 98,900 98,950 16,678 11,592 16,678 14,939
-
-95,950 96,000 16,029 11,040 16,029 14,290 98,950 99,000 16,689 11,603 16,689 14,950
-
-
-
-* This column must also be used by a qualifying surviving spouse.
-
-
-
-122 Publication 17 (2025) 2025 Tax Computation Worksheet—Line 16
-
-
-
-
-
-See Line 16 in the Instructions for Form 1040 to see if you must use the worksheet below to figure your tax.
-
-
-!
-
-CAUTION
-
-
-
-Note: If you’re required to use this worksheet to figure the tax on an amount from another form or worksheet, such as the Qualified
-
-Dividends and Capital Gain Tax Worksheet, the Schedule D Tax Worksheet, Schedule J, Form 8615, or the Foreign Earned Income Tax
-
-Worksheet, enter the amount from that form or worksheet in column (a) of the row that applies to the amount you’re looking up. Enter the
-
-result on the appropriate line of the form or worksheet that you’re completing.
-
-
-
-Section A—Use if your filing status is Single. Complete the row below that applies to you.
-
-Tax.
-
-Subtract (d) from (c).
-
-(a) (b) (c) Enter the result here and
-
-Taxable income. Enter the amount from Multiplication Multiply (d) on Form 1040 or
-
-If line 15 is— line 15. amount (a) by (b). Subtraction amount 1040-SR, line 16.
-
-At least $100,000 but not over $103,350 $ × 22% (0.22) $ $ 5,086.00 $
-
-Over $103,350 but not over $197,300 $ × 24% (0.24) $ $ 7,153.00 $
-
-Over $197,300 but not over $250,525 $ × 32% (0.32) $ $ 22,937.00 $
-
-Over $250,525 but not over $626,350 $ × 35% (0.35) $ $ 30,452.75 $
-
-Over $626,350 $ × 37% (0.37) $ $ 42, 979.75 $
-
-
-
-Section B—Use if your filing status is Married filing jointly or Qualifying surviving spouse. Complete the row below that applies to you.
-
-Tax.
-
-Subtract (d) from (c).
-
-(a) (b) (c) Enter the result here and
-
-Taxable income. Enter the amount Multiplication Multiply (d) on Form 1040 or
-
-If line 15 is— from line 15. amount (a) by (b). Subtraction amount 1040-SR, line 16.
-
-At least $100,000 but not over $206,700 $ × 22% (0.22) $ $ 10,172.00 $
-
-Over $206,700 but not over $394,600 $ × 24% (0.24) $ $ 14,306.00 $
-
-Over $394,600 but not over $501,050 $ × 32% (0.32) $ $ 45,874.00 $
-
-Over $501,050 but not over $751,600 $ × 35% (0.35) $ $ 60,905.50 $
-
-Over $751,600 $ × 37% (0.37) $ $ 75,937.50 $
-
-
-
-Section C—Use if your filing status is Married filing separately. Complete the row below that applies to you.
-
-Tax.
-
-Subtract (d) from (c).
-
-(a) (b) (c) Enter the result here and
-
-Taxable income. Enter the amount from Multiplication Multiply (d) on Form 1040 or
-
-If line 15 is— line 15. amount (a) by (b). Subtraction amount 1040-SR, line 16.
-
-At least $100,000 but not over $103,350 $ × 22% (0.22) $ $ 5,086.00 $
-
-Over $103,350 but not over $197,300 $ × 24% (0.24) $ $ 7,153.00 $
-
-Over $197,300 but not over $250,525 $ × 32% (0.32) $ $ 22,937.00 $
-
-Over $250,525 but not over $375,800 $ × 35% (0.35) $ $ 30,452.75 $
-
-Over $375,800 $ × 37% (0.37) $ $ 37,968.75 $
-
-
-
-Publication 17 (2025) 123 Section D—Use if your filing status is Head of household. Complete the row below that applies to you.
-
-
-
-
-
-Tax.
-
-
-Subtract (d) from (c).
-
-(a) (c) Enter the result here and
-
-Taxable income. Enter the amount (b) Multiply (d) on Form 1040 or
-
-If line 15 is— from line 15. Multiplication amount (a) by (b). Subtraction amount 1040-SR, line 16.
-
-At least $100,000 but not over $103,350 $ × 22% (0.22) $ $ 6,825.00 $
-
-Over $103,350 but not over $197,300 $ × 24% (0.24) $ $ 8,892.00 $
-
-Over $197,300 but not over $250,500 $ × 32% (0.32) $ $ 24,676.00 $
-
-Over $250,500 but not over $626,350 $ × 35% (0.35) $ $ 32,191.00 $
-
-Over $626,350 $ × 37% (0.37) $ $ 44,718.00 $
-
-
-
-124 Publication 17 (2025) 2025 Tax Rate Schedules
-
-The Tax Rate Schedules are shown so you can see the tax rate that applies to all levels of taxable income. Don’t use them to figure your tax. Instead,
-
-! see chapter 13.
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-CAUTION
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-Schedule X—If your filing status is Single
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-$0 $11,925 - - - - - - - 10% $0
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-11,925 48,475 $1,192.50 + 12% 11,925 48,475 103,350 5,578.50 + 22% 48,475
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-103,350 197,300 17,651.00 + 24% 103,350 197,300 250,525 40,199.00 + 32% 197,300 250,525 626,350 57,231.00 + 35% 250,525 626,350 - - - - - - - 188,769.75 + 37% 626,350
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-Schedule Y-1—If your filing status is Married filing jointly or Qualifying surviving spouse
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-$0 - - - - - - - $23,850 10% $0
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-23,850 96,950 $2,385.00 + 12% 23,850 96,950 206,700 11,157.00 + 22% 96,950
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-206,700 394,600 35,302.00 + 24% 206,700
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-394,600 501,050 80,398.00 + 32% 394,600 501,050 751,600 114,462.00 + 35% 501,050 751,600 - - - - - - - 202,154.50 + 37% 751,600
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-Schedule Y-2—If your filing status is Married filing separately
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-$0 $11,925 - - - - - - - 10% $0
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-11,925 48,475 $1,192.50 + 12% 11,925 48,475 103,350 5,578.50 + 22% 48,475
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-103,350 197,300 17,651.00 + 24% 103,350 197,300 250,525 40,199.00 + 32% 197,300 250,525 375,800 57,231.00 + 35% 250,525 375,800 - - - - - - - 101,077.25 + 37% 375,800
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-Schedule Z—If your filing status is Head of household
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-If your taxable income is: The tax is:
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-$0 $17,000 - - - - - - - 10% $0
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-17,000 64,850 $1,700.00 + 12% 17,000 64,850 103,350 7,442.00 + 22% 64,850
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-103,350 197,300 15,912.00 + 24% 103,350 197,300 250,500 38,460.00 + 32% 197,300 250,500 626,350 55,484.00 + 35% 250,500 626,350 - - - - - - - 187,031.50 + 37% 626,350
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-Publication 17 (2025) 125 Your Rights as a Taxpayer
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-This section explains your rights as ers have the right to know when the as Forms 1099 and W-2, on stud- Your Appeal Rights and How to a taxpayer and the processes for IRS has finished an audit. ies of past examinations, or on cer- Prepare a Protest if You Don’t
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-examination, appeal, collection, tain issues identified by compli- Agree; and Pub. 556. 7. The Right to Privacy. Taxpay-and refunds. ance projects. Second, we use If you do not wish to use the ers have the right to expect that information from outside sources IRS Independent Office of Appeals any IRS inquiry, examination, or that indicates that a return may The Taxpayer Bill of or disagree with its findings, you enforcement action will comply have incorrect amounts. These may be able to take your case to with the law and be no more intru-Rights sources may include newspapers, the U.S. Tax Court, U.S. Court of sive than necessary, and will re-public records, and individuals. If Federal Claims, or the U.S. District spect all due process rights, includ-1. The Right to Be Informed. we determine that the information Court where you live. If you take ing search and seizure protections, Taxpayers have the right to know is accurate and reliable, we may your case to court, the IRS will and will provide, where applicable, what they need to do to comply use it to select a return for exami-have the burden of proving certain a collection due process hearing. with the tax laws. They are entitled nation. facts if you kept adequate records to clear explanations of the laws 8. The Right to Confidentiality. Pub. 556, Examination of Re-to show your tax liability, cooper-and IRS procedures in all tax Taxpayers have the right to expect turns, Appeal Rights, and Claims ated with the IRS, and meet certain forms, instructions, publications, that any information they provide to for Refund, explains the rules and other conditions. If the court agrees notices, and correspondence. the IRS will not be disclosed unless procedures that we follow in exami-with you on most issues in your They have the right to be informed authorized by the taxpayer or by nations. The following sections case and finds that our position of IRS decisions about their tax ac-law. Taxpayers have the right to ex-give an overview of how we con-was largely unjustified, you may be counts and to receive clear explan-pect appropriate action will be duct examinations. able to recover some of your ad-ations of the outcomes. taken against employees, return ministrative and litigation costs. By mail. We handle many exami-preparers, and others who wrong-2. The Right to Quality Service. You will not be eligible to recover nations and inquiries by mail. We fully use or disclose taxpayer return these costs unless you tried to re-Taxpayers have the right to receive will send you a letter with either a information. prompt, courteous, and professio-solve your case administratively, in-request for more information or a nal assistance in their dealings with cluding going through the appeals 9. The Right to Retain Repre-reason why we believe a change to the IRS, to be spoken to in a way system, and you gave us the infor-sentation. Taxpayers have the your return may be needed. You mation necessary to resolve the they can easily understand, to re-right to retain an authorized repre-can respond by mail or you can re-ceive clear and easily understand-case. sentative of their choice to repre-quest a personal interview with an able communications from the IRS, sent them in their dealings with the examiner. If you mail us the re-and to speak to a supervisor about IRS. Taxpayers have the right to quested information or provide an Collections inadequate service. seek assistance from a Low In-explanation, we may or may not come Taxpayer Clinic if they cannot 3. The Right to Pay No More agree with you, and we will explain Pub. 594, The IRS Collection Proc-afford representation. the reasons for any changes. Do ess, explains your rights and re-than the Correct Amount of Tax. sponsibilities regarding payment of Taxpayers have the right to pay not hesitate to write to us about 10. The Right to a Fair and Just only the amount of tax legally due, anything you do not understand. federal taxes. It describes the fol-Tax System. Taxpayers have the lowing. including interest and penalties, right to expect the tax system to By interview. If we notify you that and to have the IRS apply all tax consider facts and circumstances • What to do when you owe we will conduct your examination payments properly. taxes. It describes what to do that might affect their underlying li-through a personal interview, or if you get a tax bill and what to abilities, ability to pay, or ability to you request such an interview, you 4. The Right to Challenge the do if you think your bill is provide information timely. Taxpay-IRS’s Position and Be Heard. have the right to ask that the ex-wrong. It also covers making ers have the right to receive assis-Taxpayers have the right to raise amination take place at a reasona-installment payments, delay-tance from the Taxpayer Advocate objections and provide additional ble time and place that is conven-ing collection action, and sub-Service if they are experiencing fi-ient for both you and the IRS. If our documentation in response to for-mitting an offer in compro-nancial difficulty or if the IRS has mal IRS actions or proposed ac-examiner proposes any changes to mise. not resolved their tax issues prop-tions, to expect that the IRS will your return, they will explain the erly and timely through its normal consider their timely objections reasons for the changes. If you do • IRS collection actions. It cov-channels. not agree with these changes, you and documentation promptly and ers liens, releasing a lien, lev-can meet with the examiner’s su-fairly, and to receive a response if ies, releasing a levy, seizures Examinations the IRS does not agree with their pervisor. and sales, and release of position. property. (Audits) Repeat examinations. If we ex-5. The Right to Appeal an IRS amined your return for the same • IRS certification to the State items in either of the 2 previous Decision in an Independent Fo-Department of a seriously de-We accept most taxpayers’ returns years and proposed no change to rum. Taxpayers are entitled to a linquent tax debt, which will as filed. If we inquire about your re-fair and impartial administrative ap-your tax liability, contact us as soon generally result in denial of a turn or select it for examination, it peal of most IRS decisions, includ-as possible so we can see if we passport application and may does not suggest that you are dis-ing many penalties, and have the should discontinue the examina-lead to revocation of a pass-honest. The inquiry or examination tion. right to receive a written response port. may or may not result in more tax. regarding the IRS Independent Of-We may close your case without Your collection appeal rights fice of Appeals’ decision. Taxpay-change, or you may receive a re-Appeals are explained in detail in Pub. ers generally have the right to take fund. 1660, Collection Appeal Rights. their cases to court. The process of selecting a re-If you do not agree with the exam-Innocent spouse relief. Gener-turn for examination usually begins 6. The Right to Finality. Taxpay-iner’s proposed changes, you can ally, both you and your spouse are in one of two ways. First, we use ers have the right to know the max-appeal them to the IRS Independ-each responsible for paying the full computer programs to identify re-imum amount of time they have to ent Office of Appeals. Most differ-amount of tax, interest, and penal-turns that may have incorrect challenge the IRS’s position as well ences can be settled without ex-ties due on your joint return. How-amounts. These programs may be as the maximum amount of time pensive and time-consuming court ever, if you qualify for innocent based on information returns, such the IRS has to audit a particular tax trials. Your appeal rights are ex-spouse relief, you may be relieved year or collect a tax debt. Taxpay-plained in detail in both Pub. 5,
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-126 Publication 17 (2025)
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-of part or all of the joint liability. To sons, you have a right to request a IRS.gov/Help/Tax-Law-Taxpayer Advocate
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-request relief, you must file Form list of those contacted. Your re- Questions and Service (TAS)
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-8857, Request for Innocent quest can be made by telephone, How To Get Tax Help.
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-Spouse Relief. For more informa- in writing, or during a personal in- • TAS is an independent organiza- Forms and Publications: tion on innocent spouse relief, see terview. tion within the IRS that can help IRS.gov/Forms and Pub. 971, Innocent Spouse Relief; protect your taxpayer rights. They IRS.gov/OrderForms . and Form 8857. Refunds can offer you help if your tax prob-• Small Business Ombudsman: Potential third-party contacts. lem is causing a hardship, or A small business entity can Generally, the IRS will deal directly You may file a claim for refund if you’ve tried but haven’t been able participate in the regulatory you think you paid too much tax. with you or your duly authorized to resolve your problem with the process and comment on en-representative. However, we some-You must generally file the claim IRS. If you qualify for their assis-forcement actions of the IRS times talk with other persons if we within 3 years from the date you tance, which is always free, they by calling 888-REG-FAIR. need information that you have filed your original return or 2 years will do everything possible to help from the date you paid the tax, • Treasury Inspector General for been unable to provide, or to verify you. Go to whichever is later. The law gener-information we have received. If we Tax Administration: You can TaxpayerAdvocate.IRS.gov or call do contact other persons, such as ally provides for interest on your re-confidentially report miscon-877-777-4778. a neighbor, a bank, an employer, or fund if it is not paid within 45 days duct, waste, fraud, or abuse of the date you filed your return or by an IRS employee by calling employees, we will generally need claim for refund. Pub. 556 has to tell them limited information, Tax Information 800-366-4484. People who more information on refunds. such as your name. The law pro-are deaf, hard of hearing, or The IRS provides the following have a speech disability and hibits us from disclosing any more If you were due a refund but you sources for forms, publications, who have access to TTY/TDD information than is necessary to did not file a return, you must gen-and additional information. equipment can call obtain or verify the information we erally file your return within 3 years from the date the return was due are seeking. Our need to contact • Internet: IRS.gov. 800-877-8339. You can re-main anonymous. other persons may continue as (including extensions) to get that • Tax Questions: long as there is activity in your refund.
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-case. If we do contact other per-
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-How To Get Tax Help
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-If you have questions about a tax cal community, if you qualify, in- information on free tax return • The Sales Tax Deduction
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-issue; need help preparing your tax clude the following. preparation. Calculator (IRS.gov/SalesTax)
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-return; or want to download free figures the amount you can • Free File. This program lets • MilTax. Members of the U.S. publications, forms, or instructions, claim if you itemize deduc- you prepare and file your fed- Armed Forces and qualified go to IRS.gov to find resources that tions on Schedule A (Form eral individual income tax re- veterans may use MilTax, a can help you right away. 1040). turn for free using software or free tax service offered by the
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-Tax reform. Tax reform legislation Free File Fillable Forms. How- Department of Defense Getting answers to your impacting federal taxes, credits, ever, state tax preparation through Military OneSource. tax questions. On and deductions was enacted in P.L. may not be available through For more information, go to IRS.gov, you can get
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-119-21, commonly known as the Free File. Go to IRS.gov/ MilitaryOneSource up-to-date information on current
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-One Big Beautiful Bill Act, on July FreeFile to see if you qualify (MilitaryOneSource.mil/ events and changes in tax law.
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-4, 2025. Go to IRS.gov/OBBB for for free online federal tax MilTax). • IRS.gov/Help: A variety of more information and updates on preparation, e-filing, and di-Also, the IRS offers Free tools to help you get answers how this legislation affects your rect deposit or payment op-Fillable Forms, which can be to some of the most common taxes. tions. completed online and then tax questions. e-filed regardless of income. Preparing and filing your tax re-• VITA. The Volunteer Income • IRS.gov/ITA : The Interactive Tax Assistance (VITA) pro-turn. After receiving all your wage Using online tools to help pre-Tax Assistant, a tool that will gram offers free tax help to and earnings statements (Forms pare your return. Go to IRS.gov/ ask you questions and, based people with low-to-moderate W-2, W-2G, 1099-R, 1099-MISC, Tools for the following. on your input, provide an-incomes, persons with disabil-1099-NEC, etc.); unemployment • The Earned Income Tax Credit swers on a number of tax top-ities, and limited-Eng-compensation statements (by mail Assistant ( IRS.gov/ ics. lish-speaking taxpayers who or in a digital format) or other gov-EITCAssistant ) determines if need help preparing their own ernment payment statements • IRS.gov/Forms : Find forms, in-you’re eligible for the earned tax returns. Go to IRS.gov/ (Form 1099-G); and interest, divi-structions, and publications. income credit (EITC). VITA , download the free You will find details on the dend, and retirement statements IRS2Go app, or call • The Online EIN Application from banks and investment firms most recent tax changes and 800-906-9887 for information ( IRS.gov/EIN ) helps you get (Forms 1099), you have several op-interactive links to help you on free tax return preparation. an employer identification tions to choose from to prepare find answers to your ques-number (EIN) at no cost. tions. and file your tax return. You can • TCE. The Tax Counseling for prepare the tax return yourself, see the Elderly (TCE) program of-• The Tax Withholding • You may also be able to ac-if you qualify for free tax prepara-fers free tax help for all tax-Estimator ( IRS.gov/W4App ) cess tax information in your tion, or hire a tax professional to payers, particularly those who makes it easier for you to esti-e-filing software. prepare your return. are 60 years of age and older. mate the federal income tax you want your employer to TCE volunteers specialize in Free options for tax preparation. Need someone to prepare your answering questions about withhold from your paycheck. Your options for preparing and fil-tax return? There are various pensions and retirement-rela-This is tax withholding. See ing your return online or in your lo-types of tax return preparers, in-ted issues unique to seniors. how your withholding affects cluding enrolled agents, certified Go to IRS.gov/TCE or down-your refund, take-home pay, or public accountants (CPAs), ac-load the free IRS2Go app for tax due. countants, and many others who
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-Publication 17 (2025) 127 don’t have professional credentials. Over-the-Phone Interpreter eBooks haven’t been tested on used to file a fraudulent return If you choose to have someone (OPI) Service. The IRS offers the other dedicated eBook readers, or to claim a refund or credit.
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-prepare your tax return, choose OPI Service to taxpayers needing and eBook functionality may not • The IRS doesn’t initiate con-that preparer wisely. A paid tax pre-language interpretation. The OPI operate as intended. tact with taxpayers by email, parer is: Service is available at Taxpayer As-Access your online account (in-text messages (including sistance Centers (TACs), most IRS • Primarily responsible for the dividual taxpayers only). Go to shortened links), telephone offices, and every VITA/TCE tax re-overall substantive accuracy IRS.gov/Account to securely ac-calls, or social media chan-turn site. This service is available in of your return, cess information about your federal nels to request or verify per-Spanish, Mandarin, Cantonese, tax account. sonal or financial information. • Required to sign the return, Korean, Vietnamese, Russian, and This includes requests for per-and Haitian Creole. • View the amount you owe and sonal identification numbers a breakdown by tax year. • Required to include their pre-Accessibility Helpline available (PINs), passwords, or similar parer tax identification number for taxpayers with disabilities. • See payment plan details or information for credit cards, (PTIN). apply for a new payment plan. Taxpayers who need information banks, or other financial ac-counts. about accessibility services can Although the tax preparer • Make a payment or view 5 call 833-690-0598. The Accessibil-! always signs the return, years of payment history and • Go to IRS.gov/IdentityTheft , ity Helpline can answer questions CAUTION you’re ultimately responsi-any pending or scheduled the IRS Identity Theft Central related to current and future acces-ble for providing all the information payments. webpage, for information on sibility products and services avail-required for the preparer to accu-identity theft and data security • Access your tax records, in-able in alternative media formats rately prepare your return and for protection for taxpayers, tax cluding key data from your (for example, braille-ready, large the accuracy of every item reported professionals, and busi-most recent tax return, and print, audio, etc.). The Accessibility on the return. Anyone paid to pre-nesses. If your SSN has been transcripts. Helpline does not have access to pare tax returns for others should lost or stolen or you suspect your IRS account. For help with tax have a thorough understanding of • View digital copies of select you’re a victim of tax-related law, refunds, or account-related is-tax matters. For more information notices from the IRS. identity theft, you can learn sues, go to IRS.gov/LetUsHelp . on how to choose a tax preparer, what steps you should take. • Approve or reject authoriza-go to Tips for Choosing a Tax Alternative media preference. tion requests from tax profes-• Get an Identity Protection PIN Preparer on IRS.gov. Form 9000, Alternative Media Pref-sionals. (IP PIN). IP PINs are six-digit erence, or Form 9000(SP) allows numbers assigned to taxpay-Get a transcript of your return. you to elect to receive certain types Employers can register to use ers to help prevent the misuse With an online account, you can of written correspondence in the Business Services Online. The of their SSNs on fraudulent access a variety of information to following formats. Social Security Administration federal income tax returns. help you during the filing season. (SSA) offers online service at When you have an IP PIN, it • Standard Print. You can get a transcript, review SSA.gov/employer for fast, free, prevents someone else from your most recently filed tax return, • Large Print. and secure W-2 filing options to filing a tax return with your and get your adjusted gross in-CPAs, accountants, enrolled • Braille. SSN. To learn more, go to come. Create or access your on-agents, and individuals who proc-IRS.gov/IPPIN . line account at IRS.gov/Account . • Audio (MP3). ess Form W-2, Wage and Tax Ways to check on the status of Statement; and Form W-2c, Cor-• Plain Text File (TXT). Tax Pro Account. This tool lets your refund. your tax professional submit an au-rected Wage and Tax Statement. • Braille-Ready File (BRF). thorization request to access your • Go to IRS.gov/Refunds . Business tax account. If you are Disasters. Go to IRS.gov/ individual taxpayer IRS OLA. For • Download the official IRS2Go a sole proprietor, a partnership, an DisasterRelief to review the availa-more information, go to IRS.gov/ app to your mobile device to S corporation, a C corporation, or a ble disaster tax relief. TaxProAccount . check your refund status. single-member limited liability com-Getting tax forms and publica-Using direct deposit. The safest pany (LLC), you can view your tax • Call the automated refund hot-tions. Go to IRS.gov/Forms to and easiest way to receive a tax re-information on record with the IRS line at 800-829-1954. view, download, or print all the fund is to e-file and choose direct and do more with a business tax forms, instructions, and publica-deposit, which securely and elec-The IRS can’t issue re-account. Go to IRS.gov/ tions you may need. Or you can go tronically transfers your refund di-funds before mid-February BusinessAccount for more informa-! to IRS.gov/OrderForms to place an rectly into your financial account. CAUTION for returns that claimed the tion. order. Direct deposit also avoids the pos-EITC or the additional child tax IRS social media. Go to IRS.gov/ sibility that your check could be credit (ACTC). This applies to the Mobile-friendly forms. You’ll SocialMedia to see the various so-lost, stolen, destroyed, or returned entire refund, not just the portion need an IRS Online Account (OLA) cial media tools the IRS uses to undeliverable to the IRS. Eight in associated with these credits. to complete mobile-friendly forms share the latest information on tax 10 taxpayers use direct deposit to that require signatures. You’ll have changes, scam alerts, initiatives, receive their refunds. If you don’t Making a tax payment. The IRS the option to submit your form(s) products, and services. At the IRS, have a bank account, go to recommends paying electronically online or download a copy for mail-privacy and security are our high-IRS.gov/DirectDeposit for more in-whenever possible. Options to pay ing. You’ll need scans of your est priority. We use these tools to formation on where to find a bank electronically are included in the documents to support your sub-share public information with you. or credit union that can open an ac-list below. Payments of U.S. tax mission. Go to IRS.gov/ Don’t post your social security count online. must be remitted to the IRS in U.S. MobileFriendlyForms for more in-number (SSN) or other confidential dollars. Digital assets are not ac-formation. Reporting and resolving your information on social media sites. cepted. Go to IRS.gov/Payments tax-related identity theft issues. Always protect your identity when for information on how to make a Getting tax publications and in-using any social networking site. structions in eBook format. • Tax-related identity theft hap-payment using any of the following The following IRS YouTube Download and view most tax publi-pens when someone steals options. channels provide short, informative cations and instructions (including your personal information to • IRS Direct Pay : Pay taxes from videos on various tax-related top-the Instructions for Form 1040) on commit tax fraud. Your taxes your bank account. It’s free ics in English and ASL. mobile devices as eBooks at can be affected if your SSN is and secure, and no sign-in is IRS.gov/eBooks . • Youtube.com/irsvideos . required. You can change or IRS eBooks have been tested cancel within 2 days of sched-• Youtube.com/irsvideosASL . using Apple’s iBooks for iPad. Our uled payment.
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-128 Publication 17 (2025)
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-• Debit Card, Credit Card, or Filing an amended return. Go to the service you need without long you’ve tried and been unable
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-Digital Wallet: Choose an ap- IRS.gov/1040X for information and wait times. Before you visit, go to to resolve your issue with the
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-proved payment processor to updates. IRS.gov/TAC to find the nearest IRS, or if you believe an IRS
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-encryption technology to ensure • pay online or by phone. TAC and to check hours, available system, process, or procedure Checking the status of your services, and appointment options. just isn’t working as it should. Electronic Funds Withdrawal : amended return. Go to IRS.gov/ Or, on the IRS2Go app, under the Schedule a payment when fil-WMAR to track the status of Form • To get help any time with gen-Stay Connected tab, choose the ing your federal taxes using 1040-X amended returns. eral tax topics, visit Contact Us option and click on “Lo-tax return preparation soft-www.TaxpayerAdvocate.IRS.g It can take up to 3 weeks cal Offices.” ware or through a tax profes-ov . The site can help you with ! sional. from the date you filed common tax issues and situa-your amended return for it CAUTION ————————————— tions, such as what to do if • Electronic Federal Tax to show up in our system, and pro-——————————— you make a mistake on your Payment System : This is the cessing it can take up to 16 weeks. return or if you get a notice best option for businesses. Below is a message to you from from the IRS. Enrollment is required. Understanding an IRS notice or the Taxpayer Advocate Service, an independent organization estab-• TAS works to resolve • Check or Money Order : Mail letter you’ve received. Go to lished by Congress. your payment to the address IRS.gov/Notices to find additional large-scale (systemic) prob-information about responding to an listed on the notice or instruc-lems that affect many taxpay-IRS notice or letter. tions. ers. You can report systemic The Taxpayer issues at www.IRS.gov/ • Cash : You may be able to pay IRS Document Upload Tool. Advocate Service SAMS . (Be sure not to include your taxes with cash at a par-You may be able to use the Docu-(TAS) Is Here To ticipating retail store. ment Upload Tool to respond digi-any personal identifiable infor-mation.) tally to eligible IRS notices and let-• Same-Day Wire : You may be Help You ters by securely uploading required able to do same-day wire from How Do I Contact TAS? documents online through IRS.gov. What Is the Taxpayer your financial institution. Con-For more information, go to tact your financial institution Advocate Service? TAS has offices in every state, the IRS.gov/DUT . District of Columbia, and Puerto for availability, cost, and time The Taxpayer Advocate Service Rico. To find your local advocate’s frames. Schedule LEP. You can use (TAS) is an independent organiza-number: Schedule LEP (Form 1040), Re-tion within the Internal Revenue Note: The IRS uses the latest quest for Change in Language Service (IRS). TAS helps taxpayers • Go to Preference, to state a preference to resolve problems with the IRS, www.TaxpayerAdvocate.IRS.g that the electronic payments you receive notices, letters, or other makes administrative and legisla-ov/Contact-Us , make online, by phone, or from a written communications from the tive recommendations to prevent or • Check your local directory, or mobile device using the IRS2Go IRS in an alternative language. You correct the problems, and protects app are safe and secure. Paying • Call TAS toll free at may not immediately receive writ-taxpayer rights. We work to ensure electronically is quick and easy. 877-777-4778. ten communications in the reques-that every taxpayer is treated fairly and that you know and understand ted language. The IRS’s commit-What if I can’t pay now? Go to ment to LEP taxpayers is part of a your rights under the Taxpayer Bill IRS.gov/Payments for more infor-What Are My Rights as a multi-year timeline that began pro-of Rights. We are Your Voice at the mation about your options. Taxpayer? viding translations in 2023. You will IRS. • Apply for an online payment The Taxpayer Bill of Rights de-continue to receive communica-agreement ( IRS.gov/OPA ) to scribes ten basic rights that all tax-tions, including notices and letters, How Can TAS Help Me? meet your tax obligation in payers have when dealing with the in English until they are translated monthly installments if you TAS can help you resolve problems IRS. Go to to your preferred language. can’t pay your taxes in full to-that you haven’t been able to re-www.TaxpayerAdvocate.IRS.gov/ Contacting your local TAC. day. Once you complete the solve with the IRS on your own. Al-Taxpayer-Rights for more informa-Keep in mind, many questions can online process, you will re-ways try to resolve your problem tion about the rights, what they be answered on IRS.gov without ceive immediate notification of with the IRS first, but if you can’t, mean to you, and how they apply to visiting a TAC. Go to IRS.gov/ whether your agreement has then come to TAS. Our services specific situations you may en-LetUsHelp for the topics people been approved. are free. counter with the IRS. TAS strives to ask about most. If you still need protect taxpayer rights and ensure • Use the Offer in Compromise • TAS helps all taxpayers (and help, TACs provide tax help when a the IRS is administering the tax law Pre-Qualifier to see if you can their representatives), includ-tax issue can’t be handled online or in a fair and equitable way. settle your tax debt for less ing individuals, businesses, by phone. All TACs now provide than the full amount you owe. and exempt organizations. service by appointment, so you’ll For more information on the You may be eligible for TAS know in advance that you can get Offer in Compromise program, help if your IRS problem is
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-go to IRS.gov/OIC. causing financial difficulty, if
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-To help us develop a more useful index, please let us know if you have ideas for index entries.
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-Index See “Comments and Suggestions” in the “Introduction” for the ways you can reach us.
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-529 plans (See Qualified tuition Accidental death benefits 49
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-10% tax for early withdrawal from programs) A Accounting methods 12 IRA or retirement plan 59 1/2 rule: Accrual method (See Accrual (See Early withdrawal from Abroad, citizens traveling or Age 59 1/2 rule 87 method taxpayers) deferred interest account, working 8 , 52 60-day rule 83 Cash method (See Cash method subheading: Tax on) (See also Foreign employment) taxpayers) 72 rule: 2025 Tax Rate Schedules 125 Absence, temporary 28 , 34 Age 72 rule 85 Accounting periods 12 401(k) plans: Accelerated death benefits 70 Calendar year 10 , 12 , 48 Tax treatment of contributions 51 Accident insurance 48 Change in, standard deduction 403(b) plans: Cafeteria plans 53 not allowed 92 Rollovers 84 , 90 Long-term care 48 , 54 Fiscal year 12 , 42
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-Publication 17 (2025) 129 Accounting periods (Cont.)
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-Fringe benefits 48 American Indians (See Indians) Bequests 75, 76 Certificates of deposit (CDs) 60,
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-Accuracy-related penalties deduction of 28 arrangements (IRAs)) 96 Annuities: Head of household, qualifying 20 Change of address 18 Decedent’s unrecovered person to file as 25 , 26 Change of name 13 , 44 Activities not engaged in for Accrual method taxpayers 13 American Samoa: (See also Estate beneficiaries) 77 Taxes paid during tax year, (See also Inheritance) (See also Individual retirement Income from 8 Birth of child
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-Adoption: 28, 34, 37 Bookkeeping (See Recordkeeping Babysitting 47 Signing return for spouse 22 requirements) Care providers 47 Dependency allotments 35 ATIN 13 Breach of contract: Expenses 36 Disability pay 52 Child tax credit 109 Damages as income 74 Child custody 29 Disability pensions 53 Credits: Bribes 74 , 103 Child support 74 GI Bill benefits 36 Married filing separately 23 Brokers: Child tax credit 8 , 26, 108-110 Military quarters allotments 35 Employer assistance 49 IRAs with 79 Claiming the credit 110 Real estate taxes when receiving Taxpayer identification Commissions 79 Limit on credit 110 housing allowance 99 number 13 , 37 Burial: Limits 23 Rehabilitative program Age: payments 52 Expenses 102 Married filing separately 23 Children’s investments Retiree’s pay withholding 37 Business expenses: Child, qualifying 28 (See Children, subheading: Job search expenses 76 Children 49 Investment income of child Retirees’ pay: under age 18) Taxable income 52 Reimbursements 39 , 47 (See also Adoption) Additional child tax credit 110 Gross income and filing Wages 52 Returning excess business requirements (Table 1-1) 6 expenses 39 Adoption (See Adopted child) Assistance (See Tax help) Business tax credits: Babysitters 47 IRAs: Assistance, tax (See Tax help) Distribution prior to age Claim for refund 19 Birth of child: ATIN (Adoption taxpayer 59 1/2 87 Head of household, qualifying identification number) 13 Distribution required at age person to file as 25 , 26 Attachment of wages 13 C 72 85 , 87 Social security number to be Attachments to return 14 Cafeteria plans 53 obtained 37 Roth IRAs 88 , 91 Attorney contingency fee: Calendar year taxpayers: Standard deduction for age 65 or Care providers 47 As income 74 older 92 Accounting periods 10 , 12 , 48 (See also Child care) Attorney fees, whistleblower Age test 28 Filing due date 10 Credit for 8 awards: (See also Child tax credit) Agents: California Nonoccupational As income 74 Disability Benefit Fund 97 Custody of 29 Income paid to 13 Attorneys' fees 102 , 104 Campaign contributions 74 Death of child: Signing return 14 Automatic extension of time to Presidential Election Campaign Head of household, qualifying Agricultural workers (See Farmers) file 11 Fund Adjusted gross income (AGI): 21 Standard deduction for 92, 93 Charitable distributions, Anthrax incidents (See Terrorist Bonds: qualified 85 Modified (See Modified adjusted attacks) gross income (MAGI)) Amortization of premium 104 Check-writing fees 103 Antiques (See Collectibles) Issued at discount 60 Checks: Retirement savings contribution Appraisal fees 102 credit 23 Original issue discount 60 Constructive receipt of 13 Archer MSAs 76 Adjustments 107 Sale of 60 Child and dependent care credit: Contributions 49 Administrators, estate Savings 57 Married filing separately 23 Armed Forces: (See Executors and Tax-exempt 60 Child born alive 28 Combat zone: administrators) Bonuses 39 , 47 , 76 Child care: Extension to file return 12 Adopted child Address 79 obtained 37 16 Life insurance proceeds when Unrecovered investment profit 74 Social security number to be Chaplains: IRAs as investment in 14 Change of 105 Birth of dependent 34 death in line of duty 70 18 Withholding 14 , 40 Blind persons: Charitable contributions: Foreign 16 Annulled marriages: Exemption from withholding 39 Gifts to reduce public debt 16 P.O. box 16 Filing status
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-Aliens: IRA prohibited transactions in 67 86 Back pay, award for 47 Gifts to 56 Capital assets: Emotional distress damages Investment income of child under Coal and iron ore 72 Dual-status (See Dual-status under title VII of Civil Rights age 18: taxpayers) Act of 1964 74 Capital expenses 36 Dependent filing requirements Filing required 8 Backup withholding 40 , 44 , 55 Capital gains or losses: (Table 1-2) 7 Nonresident (See Nonresident Penalties 40 Hobbies, sales from Interest and dividends 8 aliens) Bad debts: collections 76 Parents’ election to report on Resident (See Resident aliens) Claim for refund 19 Sale of personal items 77 Form 1040 or 1040-SR 8 Alimony: Recovery 70 Carpools 74 Kidnapped 29 , 33 Reporting of income 74 Balance due 107 Carrybacks: Signing return, parent for child 15 Alternative filing methods: Bankruptcy: Business tax credit Standard deduction for 92 , 93 carrybacks 19 Electronic (See E-file) Alaska Unemployment dividends 74 under age 18) Resident of 27 , 33 B Earnings of 8 Compensation Fund 97 Cancellation of debt 67 Filing requirements 8 Alcoholic beverages: Babysitting 47 Exceptions to treatment as As dependents (Table 1-2) 7 income Alaska Permanent Fund 103 Dividends of (See this heading: Awards (See Prizes and awards) Investment income of child Canada: Agriculture (See Farming) 14 person to file as 25, 26 Form 4868 11 Campaign expenses
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-
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-Alternative minimum tax Canceled debt not deemed to be Stillborn 28 Cars 50 , 77 income 69 Support of (See Child support) (See also Travel and transportation) (AMT) 107 Banks: Tax credit (See Child tax credit) Personal property taxes on, Ambulance service personnel: IRAs with 79 deduction of 100 Transporting school children 77 Life insurance proceeds when Barter income 67 Cash: Unearned income of 55 death in line of duty 70 Definition of bartering 67 Rebates 74 Chronic illness: Amended returns 18 Form 1099-B 67 (See also Form 1040-X) Cash method taxpayers 12 Accelerated payment of life Basis: insurance proceeds Itemized deduction, change to Real estate transactions, tax Cost basis: (See Accelerated death standard deduction 94 allocation 97 IRAs for nondeductible benefits) Standard deduction, change to Taxes paid during tax year, contributions 82 , 85 Long-term care (See Long-term itemized deductions 94 deduction of 96 Beneficiaries 75 care insurance contracts) American citizens abroad 7 Cash rebates 74 (See also Estate beneficiaries) Citizen or resident test 27 (See also Citizens outside U.S.) Casualty insurance: (See also Trust beneficiaries) Citizens outside U.S.: Employment (See Foreign Reimbursements from 74 Earned income exclusion 3 employment) Casualty losses 102 , 104
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-130 Publication 17 (2025) Citizens outside U.S. (Cont.)
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-Employment (See Foreign Corrections (See Errors) Changing claim after filing, need Disaster Relief and Emergency
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-employment) Cost basis: to amend 18 Assistance Act:
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-Extension of time to file 11 IRAs for nondeductible Itemizing (See Itemized Grants 73
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-Filing requirements deductions) 7 contributions 82 , 85 Unemployment assistance 72
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-Withholding from IRA Cost-of-living allowances 48 Pass-through entities 102 Grants or payments 73
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-distributions 86 Repayments 71 Coupon bonds 61 Disclosure statement 20
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-Civil suits 74 Court awards and damages Social security and railroad Discount, bonds and notes issued
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-(See also Damages from lawsuits) (See Damages from lawsuits) retirement benefits 66 at 60
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-Civil tax penalties (See Penalties) Cousin 34 Standard deduction 92, 94 Distributions:
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-
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-Clergy 8 Credit cards: Student loan interest deduction Qualified charitable 85 Housing (See Student loans) 51 Benefits, taxability of Required minimum Theft loss
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-Real estate taxes when insurance 74 104 distributions 83, 85
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-Life insurance proceeds when allowance 99 Credit for child and dependent Limit 51 arrangements (IRAs)) receiving housing Deferred compensation: (See also Individual retirement Payment of taxes 3
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-
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-Commissions Signing return for spouse 12 levels (Table 1-2) 7 Real estate taxes, allocation Earned income (See Earned of 98 22 income credit) Married, filing joint return 26 , 30 39 Domestic help: Qualifying child 28 Lifetime learning (See Lifetime Withholding 37 Advance 47 learning credit) Qualifying relative 33 IRAs with brokers 79 Domestic help, can’t be claimed Custodial fees 102 Social security number 13 as dependent 26 Sharing of (kickbacks) 76 Custody of child 29 Adoption taxpayer Donations (See Charitable Unearned, deduction for identification number 13 , contributions) repayment of 47 37 D Down payment assistance 74 Common law marriage 22 Alien dependents 37 Dual-status taxpayers 8 Community property 7 , 58 Damages from lawsuits 74 Standard deduction for 93 Joint returns not available 23 IRAs 79 Dating your return 14 Dependents not allowed to claim dependents Married filing separately 23 Daycare centers 47 26 Standard deduction 92 (See also Child care) Due dates 10 , 11 Commuting expenses 103 Depletion allowance 72 De minimis benefits 49 Employer-provided commuter Deposits: 2024 dates (Table 1-5) 11 Extension (See Extension of time vehicle 50 Deadlines (See Due dates) Loss on 102 to file) Compensation 47 Death (See Decedents) Depreciation: (See also Wages and salaries) Nonresident aliens’ returns 11 Death benefits: Home computer 102 Defined for IRA purposes 78 Dues: Accelerated 70 Differential wage payments 48 Defined for Roth IRA Club 103 Life insurance proceeds (See Life Differential wages: purposes 88 insurance) Dwelling units: Wages for reservists: Employee 47 Public safety officers who died or Cooperative (See Cooperative Military reserves 52 housing) Miscellaneous compensation 47 were killed in line of duty, tax Direct deposit of refunds 15 exclusion 70 Nonemployee 75 Directors' fees 75 Death of child 28 Unemployment 72 E Disabilities, persons with: Death of dependent 34 Computation of tax 14 Accrued leave payment 53 E-file 3 , 6 , 8 Debt instruments (See Bonds or Equal amounts 14 Armed Forces 52 Notes) Extensions of time to file 11 Negative amounts 14 Blind (See Blind persons) Coal and iron ore 102 Stockholder debts when canceled Qualifying person 110 Dependent taxpayer test 26 as 67 72 Credit for the elderly or the Dependents 8 , 26 Collectibles: Divorced parents 29 , 33 disabled 108 (See also Child tax credit) Divorced taxpayers 74 IRA investment in 86 Credit or debit cards: Birth of 34 (See also Alimony) Colleges and universities: Payment of taxes 11 Born and died within year 13 , 37 Child custody 29 Education costs 76 Credits 106 , 108 Death of 34 (See also Qualified tuition Estimated tax payments 44 American opportunity 23 Filing requirements 8 programs) Filing status 21 , 22 Child tax (See Child tax credit) Earned income, unearned Combat zone: IRAs 80 , 84 Credit for other dependents 108 income, and gross income Extension to file return Clerical help, deductibility of Pensions 70 110 (See Alaska Permanent Fund Real estate transactions, tax 51 dividends) Claiming the credit 110 allocation 98 Special income rules 51 Fees to collect 102 Limit on credit 110 Delivery services 11 chaplain died in line of Credit for other dependents 108, Delinquent taxes: Alaska Permanent Fund duty care expenses 108 Nonqualified plans 48 Dividends:
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-
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-Confidential information: Rounding off dollars Debts 19, 70 On time filing 11 14 (See also Bad debts) Cafeteria plans 53 Early withdrawal from deferred Canceled (See Cancellation of Credit for (See Elderly or interest account: Privacy Act and Paperwork debt) disabled, credit for) Higher education expenses, Reduction information 3 Nonrecourse 67 Insurance costs 53 exception from penalty 78 Constructive receipt of Paid by another 13 Military and government IRAs: income 12 , 13 , 61 pensions 53 Public, gifts to reduce 16 Early distributions, defined 87 Contributions 16 , 74 Public assistance benefits 73 Recourse 67 Penalties 85 , 87 (See also Campaign contributions) Reporting of disability pension Earned income: (See also Charitable contributions) Refund offset against 9 , 15 income 53 Defined: Nontaxable combat pay 78 Deceased taxpayers Retirement, pensions, and (See Decedents) For purposes of standard Political 104 profit-sharing plans 53 Decedents 7 deduction 93 Reservist repayments 79 Signing of return by (See also Executors and Dependent filing requirements Convenience fees 102 court-appointed administrators) (Table 1-2) 7 Conversion (See specific retirement representative 14 Deceased spouse 7 Earned income credit 108 or IRA plan) Social security and railroad Due dates 11 Filing claim 8 Cooperative housing: retirement benefits, Filing requirements 7 Married filing separately 23 Real estate taxes, deduction deductions for 66 Savings bonds 58 Education: of 97 Workers’ compensation 54 Spouse's death 22 Savings bond program 59 Taxes that are deductible Disabled: (Table 11-1) 99 Standard deduction 92 Education credits: Child 28 Copyrights: Declaration of rights of taxpayers: Married filing separately 23 Dependent 34 Infringement damages 74 IRS request for information 3 Education expenses: Disaster Assistance Act of 1988: Royalties 72 Deductions 70 , 92 Employer-provided Withholding 40 (See also Recovery of amounts (See Educational assistance) Corporations 70 Disaster relief 54 , 73 previously deducted) (See also S corporations) Tuition (See Qualified tuition (See also Terrorist attacks) Casualty losses 104 programs) Director fees as self-employment income 75
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-Publication 17 (2025) 131
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-Educational assistance: Errors: Group-term life insurance 50 Gross income levels
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-Employer-provided 49 Corrected wage and tax Long-term care insurance (Table 1-1) 6
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-Scholarships (See Scholarships statement 44 contracts 54 Individual taxpayers 7
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-and fellowships) Discovery after filing, need to Parking fees, Joint filing 22
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-Tuition (See Qualified tuition amend return 18 employer-provided 50 (See also Joint returns)
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-programs) Refunds 18 Public safety officers who died or Late filing penalties
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-
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-Elderly persons: Married filing separately 77 23 deductible 98 Unmarried persons (See Single Scholarships 77 taxpayers) Estate beneficiaries: Strike benefits 77 When to file 10 Credit for (See Elderly or IRAs (See Individual retirement disabled, credit for) Elderly or disabled, credit for: death benefits 70 Taxes placed in, when Most taxpayers (Table 1-1) 6 Sale of home EIC (See Earned income credit) Escrow: were killed in line of duty, (See Penalties)
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-arrangements (IRAs)) Executors and administrators 7 Where to file 16
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-Exemption from withholding Losses of estate 75 Exempt-interest dividends 56 Who must file 7, 8 39
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-Home for the aged 35 Receiving income from estate 75 Exemptions: Filing status 7, 21-26
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-Long-term care (See Long-term Estate tax: From withholding 39 Annulled marriages 21
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-care insurance contracts) Deduction 100 Expenses paid by another 75 Change to, after time of filing 18
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-Nutrition Program for the Estates 75 Extension of time to file 11 Divorced taxpayers 21
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-Elderly 74 (See also Estate beneficiaries) Automatic 11 Head of household 21, 24
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-
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-Election precinct officials: 10 (See also Estate tax) Inclusion on return 11 Married filing separately 23 Estimated: Surviving spouse 21 Fees, reporting of 75 Credit for 44 F Unmarried persons 7 , 21 Elective deferrals: Tax Counseling for the Elderly older 92 Tax 100, 104 E-file options 11 Joint returns 22 Standard deduction for age 65 or Income 75 Citizens outside U.S. 11 Qualifying person to file as 24
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-Embezzlement: Change in estimated tax 42 Financially disabled persons 19 (See also Children) Credit for 37 , 44 Fines 11 , 20 , 21 Farmers: Reporting embezzled funds 76 Definition 37 (See also Penalties) Estimated tax 41 Emergency medical service Divorced taxpayers 44 Deductibility 103 Withholding 37 personnel: Figuring amount of tax 42 Firefighters: Farming: Life insurance proceeds when First period, no income subject to Life insurance proceeds when Activities not engaged in for death in line of duty 70 estimated tax in 42 death in line of duty 70 profit 74 Emotional distress damages 74 Fiscal-year taxpayers 42 Volunteer firefighters: Canceled debt, treatment of 69 Employee benefits 48 , 49 Married taxpayers 41 IRAs 80 Federal employees: (See also Fringe benefits) Name change Electronic payment options Amount to pay to avoid Standard deduction 92 Fair rental value 35 3 penalty 42 Financial institutions 79 Family 8 , 109 Electronic reporting: Avoiding 41 (See also Banks) (See also Child tax credit) Returns (See E-file) Electronic filing (See E-file) Limits 51 Estimated tax 37 Failure to comply with tax laws Final return for decedent: (See Penalties) Payment vouchers 43 (See also Single taxpayers)
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-Employee business expenses: Accrued leave payment 48 44 Fiscal year 12, 42
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-Reimbursements Cost-of-living allowances 48 39 , 47 Overpayment applied to Not required 41 Fishermen:
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-Returning excess Disability pensions 53 15 Indian fishing rights 76
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-Employees Home computer 53 102 Figuring amount of each Food benefits: Terrorist attack 54 Miscellaneous 101 payment 42 Nutrition program for the FECA payments 54 39 , 48 , 49 Schedule 42 elderly 74 (See also Fringe benefits) Employee expenses: Based on years of service 53 Payments 16 , 43 Estimated tax 41 Exclusion, conditions for 39 Payment vouchers 43 Fishers: Awards for service When to start Federal Employees’ 42 Food stamps 35 Compensation Act (FECA) 47 Who must make 41 Foreign employment 8, 52 payments 54 Business expenses Penalty for underpayment 37 , 42 , Employment abroad 52 Federal government: (See Employee business 45 Social security and Medicare expenses) Employees (See Federal Saturday, Sunday, holiday rule 42 taxes 52 employees) Form W-4 to be filled out when Separate returns 44 U.S. citizen 52 starting new job 38 Federal income tax: Social security or railroad Waiver of alien status 52 Fringe benefits 39 Not deductible 100 retirement benefits 63 Foreign governments, employees Jury duty pay 76 Deductibility (Table 11-1) 99 State and local income taxes, of 52 Overseas employment Federal judges: deduction of
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-Employers: (See Foreign employment) 96 Foreign income: Employer retirement plan Unemployment compensation 73 Earned income exclusion 3 coverage 80 Excise taxes 85 Reporting of 3 Educational assistance from Fees 75 (See also Penalties) Foreign income taxes: (See Educational assistance) (See also specific types of Deductibility (Table 11-1) 99 deductions and income) Deduction of 97 Form W-4, having new employees IRAs for failure to take minimum fill out 38 Professional license 104 Form 1116 to claim credit 100 distributions 85 Overseas employment Fellowships (See Scholarships and Schedule A or Form 1040 or Roth IRAs 90 (See Foreign employment) fellowships) 1040-SR reporting 100 Exclusions from gross income: Withholding rules 38 FICA withholding 12 , 37 , 48 Definition of 96 Accelerated death benefits 70 (See also Social security and Employment: Foreign nationals (See Resident Canceled debt 69 Medicare taxes) aliens) Agency fees 74 Commuting benefits for (See also Withholding) Foreign students 28 Taxes 48 employees 50 Fiduciaries 7 , 79 (See also Social security and Forgiveness of debt De minimis benefits 49 (See also Executors and (See Cancellation of debt) Medicare taxes) administrators) Disability pensions of federal FICA withholding 12 Form 11 , 51 , 62 (See also Trustees) employees and military 53 (See also Withholding) 1040 26 , 108 Fees for services 75 Education Savings Bond Employment taxes 37 , 38 , 44 Alien taxpayer identification Program 76 Prohibited transactions 86 Endowment proceeds 69 numbers 37 Educational assistance from Figuring taxes and credits 63 , 106 Energy assistance 74 Armed Forces’ retirement employer 49 (See also Worksheets) pay 52 Energy conservation: Elective deferrals, limit on Filing requirements 6-21 , 23 Child care providers 47 Measures and modifications 74 exclusion 51 (See also Married filing separately) Clergy pension 51 Subsidies 74 Employee awards 47 Calendar year filers 10 Corporate director fees 75 Utility rebates 77 Energy conservation Citizens outside U.S. 7 Disability retirement pay 53 Equitable relief (See Innocent subsidies 74 , 77 Dependents 7 , 8 FECA benefits 54 spouse relief) Foreign earned income 3 Electronic (See E-file) Foster-care providers 75 Frozen deposit interest 76 Extensions 11 Kickbacks 76
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-132 Publication 17 (2025) Form (Cont.)
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-Notary fees 75 1120S: Employer retirement plan Form W-2G:
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-Oil, gas, or mineral interest S corporation income 70 participation indicated 80 Gambling winnings withholding
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-
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-Wages and salary 71 51 shown on 96 Power of attorney and Fringe benefits 48 , 49 Form W-4: declaration of reporting 47 representative 14 , 23 W-2G: Employee withholding allowance Workers’ compensation Rental income and statement 12, 14, 47, 48, 2848: Withheld state and local taxes expenses royalties 72 2555 110 Employer-reported income statement 40, 44
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-1040 or 1040-SR: withholding statement 76 General business credit 19 Form W-4S: W-4V: 54 3800: Gambling winnings certificate 38, 41
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-1040-NR: expenses 30, 35 Notice Concerning Fiduciary year’s tax 43 Foster child 28 , 30 , 34, 35 Nonresident alien return 11 Relationship 14 Form 1040 or 1040-SR: 1040-X: 6251 107 Foster Grandparent Program 53 Foreign income taxes, deduction Found property 75 Amended individual return 18 8275: of 100 Annulled marriages 21 Disclosure statement 20 Fraud: Schedule A: Penalties 20 , 39 Change of filing status 23 8275-R: State and local income taxes, Completing 18 Regulation disclosure Reporting anonymously to IRS3 deduction of 100 statement 20 Fringe benefits: Filing 18 State benefit funds, Itemized deduction, change to 8379: mandatory contributions Accident and health standard deduction 94 Injured spouse claim 15 to 97 insurance 48 Accounting period Standard deduction, change 8606: Taxes, deduction of 100 48 to itemized deductions 94 IRA contributions, Schedule C: Adoption, employer assistance 49 1040, Schedule A: Nondeductible 78 , 82 , 86 Real estate or personal Unearned commission, IRA contributions, property taxes on property Archer MSA contributions 49 deduction for repayment Recharacterization of 85 used in business, De minimis benefits 49 of 47 8615 55 deduction of 100 Education assistance 49 1040, Schedule C: 8814 55 Schedule E: Form W-2 48 Barter income 67 8815 59 Real estate or personal Group-term life insurance Child care providers 47 property taxes on rental 8822: premiums 49 property, deduction of 100 Corporate director fees 75 Change of address 18 Holiday gifts 49 Schedule F: Forgiveness of debts 67 8839: Retirement planning services 50 Real estate or personal Foster-care providers 75 Qualified adoption Taxable income 48 property taxes on property Kickbacks 76 expenses 49 Transportation 50 used in business, Notary fees 75 8853: deduction of 100 Withholding 39 Oil, gas, or mineral interest Accelerated death Self-employment tax, deduction Frozen deposits: royalties 72 benefits 70 of 100 Interest on 76 Rental income and 1040 or 1040-SR, Schedule A: Railroad retirement benefits, Form(s) 1099 44 Automatic extension of time to request 37 reporting on 63 file 11 , 37 Foster care: W-7A: Social security benefits, Filing electronic form 11 Care providers' payments 75 reporting on 63 Adoption taxpayer Filing paper form 11 Child tax credit 109 identification number Use of 22 , 23 5329: Difficulty-of-care payments 75 request 13 , 37 Required minimum Emergency foster care, Form 1040: Charitable contributions 16 distributions, failure to maintaining space in home Estimated tax payments 44 1040 or 1040-SR, take 88 for 75 Gambling winnings 40 Schedule SE 8 56: Foster care payments and Overpayment offset against next IRAs 73 86 , 88 Tax return transcript Unemployment compensation, W-7: voluntary withholding Presidential Election request 17 Campaign Fund 14 Individual taxpayer request 40 4868 11 , 37 identification number Attachments to Voluntary withholding 14 4506-T: Form W-4V 40 request Address 16 4506 17 Sick pay withholding request 40
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-1065: 51 network transactions 77 Expenses 102 8879: Form 1099-MISC: Authorization for E-file Partnership income 70 Withheld state and local taxes 96 provider to use G 1098: Form 1099-NEC: self-selected PIN 10 Mortgage interest Gains and losses 23 Withheld state and local taxes 96 9465: statement 70 (See also Losses) Form 1099-R: Installment agreement 1099: Claim for refund for loss 19 request 16 Withheld state and local taxes Taxable income report 1040, Schedule E: 49 Form 1099-K: Funerals: Royalties 72 8857: Payment card and third-party Clergy, payment for 51 Innocent spouse relief 22 1040, Schedule SE expenses 71 care insurance Estimated tax 42, 43 Funeral expenses 36 contracts Archer MSAs and long-term Form 1040-ES: IRA rollover period extension 83
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-1099-B: 12 Gambling 105 shown on 96 Form 8919: Hobby losses76 Form 1099-S: Uncollected social security Barter income 67 Passive activity 23 and Medicare tax on Real estate transactions 1099-C: proceeds 98 Gambling winnings and wages 47 losses 75 , 105 Cancellation of debt 67 RRB-1042S: Form 1116: Withholding 40 , 44 1099-DIV: Foreign tax credit 100 Railroad retirement benefits Garbage pickup: Dividend income for nonresident aliens 62 Form 8332: statement 51 Deductibility (Table 11-1) 99 RRB-1099: Release of exemption to 1099-G: Railroad retirement noncustodial parent 29 Garnishment and attachment 13 State tax refunds 70 benefits 62 Form W-2: Gas royalties 72
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-1099-INT 56, 61 SS-5: Employer-reported income Gems:
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-1099-MISC: Social security number statement 44 IRA prohibited transactions in 86
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-Nonemployee request 13, 36 Filing with return 44 General due dates, estimated
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-compensation 75 SSA-1042S: Separate form from each tax 42
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-1099-OID 60 Social security benefits for employer 44 GI Bill benefits 36
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-1099-R 59 nonresident aliens 62 Withheld state and local taxes 96 Gift taxes:
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-IRA distributions 86, 88 SSA-1099: Form W-2c: Not deductible 100
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-Life insurance policy Social security benefits 62 Corrected wage and tax Gifts:
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-surrendered for cash 69 W-2: statement 44 Holiday gifts 49
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-Retirement plan Election precinct officials' Not taxed 76
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-distributions 14 fees 75 To reduce the public debt 16
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-Publication 17 (2025) 133
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-Gold and silver: Income 47, 66, 74 Establishing account 78 Information returns 12, 14, 47, 48,
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-Gross income test (Table 1-2) 15 7 Paid to third party 13 Interest on, treatment of 78 Claim for refund15 34 Partnership 70 Kay Bailey Hutchison Spousal Group-term life insurance: IRAs 79 , 80 Innocent spouse relief: Prepaid 13 Married couples (See this Form 8857 22 Accidental death benefits 49 Recovery 70 heading: Kay Bailey Hutchison Joint returns 22 Definition 49 Royalties 72 Spousal IRAs) Insolvency: Exclusion from income 50 S corporation 70 Modified adjusted gross income Canceled debt not deemed to be Limitation on 49 Tax exempt 35 (MAGI): income 69 Permanent benefits 49 Underreported 18 Computation of 80 Installment agreements 16 Taxable cost, calculation of 49 Income taxes: Effect on deduction if covered Insurance: Guam: Federal (See Federal income tax) by employer retirement Accident (See Accident Income from 8 Foreign (See Foreign income plan (Table 9-1) 81 insurance) taxes) Effect on deduction if not Life 40 , 49 covered by employer H State or local (See State or local (See also Group-term life income taxes) retirement plan insurance) Handicapped persons (Table 9-2) 81 Income-producing expenses 102 (See also Life insurance) (See Disabilities, persons with) Worksheet 9-1 82 Indians: Reimbursements: Head of household 21 , 24 Nondeductible contributions 82 Fishing rights 76 From casualty insurance 74 Health: Early withdrawal 87 Taxes collected by tribal Insurance companies: Flexible spending Tax on earnings on 82 governments, deduction of 96 State delinquency proceedings, arrangement 49 Individual retirement Ordinary income, distributions IRA distributions not made Health insurance 48 arrangements (IRAs) 77 , 78 , as 85 due to 87 (See also Accident insurance) 83 , 88 Penalties 86 Insurance premiums: Reimbursement arrangement 49 (See also Rollovers) Early distributions (See Early Gross income: Gross 9-1) 82 (See also Estate beneficiaries) 34 Forms to use: IRAs (See Individual retirement Illegal activities 77 Age, higher filing threshold after Form 1099-R for reporting arrangements (IRAs)) 65 7 Interest 54 distributions 86 Not taxed 76 Jury duty pay 76 Form 8606 for nondeductible Defined 7 Inheritance tax: contributions 78 Filing requirements Life insurance proceeds 69 Deductibility of 100 (Table 1-1) 6 Nonemployee compensation 75 Inherited IRAs 76 , 82 , 83 Deduction 100 Dependent filing requirements Paid to agent 13 Required distributions 85 Injured spouse Grants, disaster relief Federal (See Federal employees) 67 (See also Form W-2) Excess contributions 86 Canceled debts 67 Partnerships to provide 70 73 Figuring modified AGI (Worksheet Constructive receipt of 12 , 13 , 61 Inheritance 75 Gratuities (See Tip income) Government employees: (See also Wages and salaries) (See also Form 1099) Where to open account 79 Bartering IRA investments in 86 (See also Alimony) Time of 79 51
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-Health coverage tax credit Savings account 49 withdrawal from deferred Medical (See also Roth IRAs) Life 36, 103 36 8 Administrative fees 79 , 102 interest account) Paid in advance 57 Health insurance premiums 36 Age 59 1/2 for distribution 87 Excess contributions 86 Insurance proceeds: Health Spa 103 Exception to rule 87 Form 8606 not filed for Dividends, interest on 56 nondeductible Help (See Tax help) Age 72: contributions 78 , 82 Installment payments 60 High income taxpayers: Distributions required at 85 , Life 60 87 Overstatement of Estimated tax 41 nondeductible Interest: Compensation, defined 78 Hobbies 102 contributions 82 Fees to collect 102 Contribution limits 79 Activities not engaged in for Prohibited transactions 86 Frozen deposits 57 profit 74 Age 50 or older, 79 Required distributions, failure Usurious 57 Losses 76 Under age 50, 79 to take 85 , 87 Interest income 54 Holiday gifts 49 Contributions 23 Prohibited transactions 86 Form 1099-INT 12 Holiday, deadline falling on 42 Designating year for which Recharacterization of contribution is made 79 Frozen deposits, from 76 Home: contribution 84 Recovery of income, on 70 Excess 86 Aged, home for 35 Reporting of: Filing before contribution is Savings bonds 76 Cost of keeping up 24 Distributions 86 made 79 (See also U.S. savings bonds) Worksheet 24 Recharacterization of Nondeductible 82 Tax refunds, from 18 Security system 103 contributions 85 Not required annually 79 Interest payments 70 Homeowners' associations: Required distributions 83 , 85 (See also Mortgages) Roth IRA contribution for same Charges 100 Excess accumulations 87 year 89 Canceled debt including 67 Deductibility (Table 11-1) 99 Retirement savings contribution Student loans deduction 23 Time of 79 credit 23 Hope credit: Withdrawal before filing due Interference with business Self-employed persons 78 Married filing separately 23 date 85 operations: Taxability 87 Host 69 Cost basis 82 , 85 Damages as income 74 Distributions 85 Household furnishings: Deduction for 79 Internal Revenue Service (IRS): Time of taxation 78 Antiques (See Collectibles) Participant covered by Fraud or misconduct of employee, Transfers permitted 83 Household members 21 employer retirement plan reporting anonymously 3 (See also Head of household) (Table 9-1) 81 To Roth IRAs 83 , 84 International employment Trustee administrative fees Household workers (See Domestic Participant not covered by 102 (See Foreign employment) help) employer retirement plan Trustee-to-trustee transfers 83 International organizations, (Table 9-2) Household workers, can’t claim as 81 employees of 52 IRA to Roth IRA 90 dependent 26 Phaseout 80 Types of 79 Internet: Housing 24 Definition of 78 Electronic filing over (See E-file) Withdrawals 85 , 86 (See also Home) Distributions: Early (See Early withdrawal Investments: Clergy 51 At age 59 1/2 87 from deferred interest Fees 102 Cooperative (See Cooperative Required minimum account) Seminars 103 housing) distributions (See this Required (See this heading: IRAs (See Individual retirement heading: Required Required distributions) arrangements (IRAs)) distributions) I Withholding 14 , 40 , 86 Itemized deductions: Divorced taxpayers 84 Individual taxpayer identification Changing from standard to Icons, use of 3 , 4 Early distributions (See Early number (ITIN) 13 , 37 itemized deduction (or vice Identity theft 2 , 21 withdrawal from deferred Individual taxpayers (See Single versa) 94 Illegal activities: interest account) taxpayers) Choosing to itemize 93 , 94 Reporting of 76 Employer retirement plan Form 1040 to be used 71 participants 80
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-134 Publication 17 (2025) Itemized deductions (Cont.)
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-Married filing separately 23, 94 Form 1099-R for surrender of Spouse covered by employer Native Americans (See Indians)
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-One spouse has itemized 92 policy for cash 69 plan 79, 80 Negligence penalties 20
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-Recovery 71 Premiums 103 Living apart 22 Net operating losses:
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-Standard deduction to be Proceeds 60 Nonresident alien spouse 13, 23 Refund of carryback 19
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-compared with 93 As income 69 Roth IRAs 88 New Jersey Nonoccupational
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-State tax, for 94 Public safety officers who died or Signatures when spouse unable Disability Benefit Fund 97
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-ITIN (See Individual taxpayer were killed in line of duty, tax to sign 15 New Jersey Unemployment
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-identification number (ITIN)) exclusion 70 Social security or railroad Compensation Fund 97
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-ITINs (See Individual taxpayer Surrender of policy for cash 69 retirement benefits, New York Nonoccupational
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-identification number (ITIN)) Withholding 40 taxability 62 Disability Benefit Fund 97
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-J employer-provided 50 Lifetime learning credit: Nominees 56, 60 Medical and dental expenses: Life insurance premiums Mass transit passes, 36 Nobel Prize 76
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-Judges, federal: Guardian of spouse, signing 20 Exclusion, limit of 54 Medicare taxes, not support 36 Notary fees 75 Qualified services defined 54 Member of household or Notes: as 22 relationship test 34 Losses 19 , 23 Discounted 48, 60 Injured spouse 15 (See also Gains and losses) Mentally incompetent persons 53 Received for services 48 Innocent spouse 22 (See also Disabilities, persons with) Capital 23 Nursing homes: Nonresident or dual-status alien Signing of return by Casualty 102 , 104 court-appointed Insurance for care in (See Long-spouse 23 Gambling (See Gambling representative 14 term care insurance contracts) Responsibility for 22 winnings and losses) Nutrition Program for the Mexico: Separate return after joint 23 Theft 102 , 104 Elderly 74 Resident of 27 , 33 Signing 15 , 22 Lost property 103 Military (See Armed forces) Social security and railroad Lotteries and raffles 75 Mineral royalties 72 O retirement benefits 66 (See also Gambling winnings and State and local income taxes, losses) Ministers (See Clergy) OASDI 73 deduction of 97 Miscellaneous deductions 101 Occupational taxes: Missing children: M Deduction of: Employer retirement plan Photographs of, included in IRS Taxes that are deductible coverage 80 MAGI (See Modified adjusted gross publications 3 (Table 11-1) 99 Jury duty pay 76 income (MAGI)) Mistakes (See Errors) Office rent, deductibility of 102 Married dependents, filing joint Modified adjusted gross income Offset against debts 9 , 15 return 26 , 30 (MAGI): K Oil, gas, and minerals: Married filing separately 23 IRAs, computation for: Future production sold 72 Kickbacks 76 Community property states 23 Effect on deduction if covered Royalties from 72 Kiddie tax (See Children, Credits, treatment of 23 by employer retirement subheading: Unearned income of) Schedule C or C-EZ 72 Deductions: plan (Table 9-1) 81 , 82 Kidnapped children: Sale of property interest 72 Changing method from or to Effect on deduction if not Qualifying child 29 itemized deductions 94 covered by employer Options 51 retirement plan Qualifying relative 33 Treatment of 23 Ordinary gain and loss (See Gains (Table 9-2) 81 and losses) Earned income credit 23 Worksheet 9-1 82 Original issue discount (OID) 60 L How to file 23 Roth IRAs, computation for 88 Other taxes 107 Itemized deductions 23 , 94 Labor unions 40 Phaseout (Table 9-3) 88 Outplacement services 48 One spouse has itemized so Dues and fees 77 Worksheet 9-2 88 other must as well Joint accounts Interviews 101 Due dates 11 76 Medical insurance (See Accident Loans 19 Estimated tax 41 55 insurance) (See also Debts) Individual taxpayer identification Joint return test 26 , 30 Medical insurance premiums 36 Lobbying expenses 103 number (ITIN) 13 Joint returns: Job search: Reimbursements, treatment Limits: Married filing separately 23 Nonemployee compensation 75 Deduction of expenses for 54 of Nonresident aliens 8 Miscellaneous deductions Accounting period Local assessments: Medical savings accounts Spouse 13 (MSAs) 49 , 76 22 Deductibility of 99 (See also Archer MSAs) Joint returns not available 23 After separate return 23 Local income taxes, itemized Separated 24 Medicare Advantage MSA 76 Deceased spouse 22 deductions 94 Medicare 48 , 52 Standard deduction 92 Dependents on 34 Local law violated 34 (See also Social security and Taxpayer identification Divorced taxpayers 22 Lockout benefits 77 Medicare taxes) number 37 Estimated tax 41 Lodging 35 Benefits 73 Waiver of alien status 52 Extension for citizens outside Long-term care insurance Medicare Advantage MSA Northern Mariana Islands: U.S. 12 contracts 54 (See Medical savings Income from 8 Filing status 22 Chronically ill individual 54 , 70 accounts (MSAs)) Not-for-profit activities 74 Fraud penalty
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-
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-Late filing 73 Social security and railroad Overtime pay 39 Assistance payments 73 3 retirement benefits 63 Discounted mortgage loan 67 Penalties 11 , 20 State and local income taxes 96 Interest: P Late payment: Tenants by the entirety, allocation Refund of 70 Paper vs. electronic return (See E-Penalties on tax payments 20 of real estate taxes 98 MSAs (See Medical savings file) Law enforcement officers: Married taxpayers 22-24 accounts (MSAs)) Paperwork Reduction Act of (See also Joint returns) Life insurance proceeds when Multiple support agreement 36 1980 3 (See also Married filing separately) death in line of duty 70 Municipal bonds 60 Parental responsibility Age 65 or older spouse: Legal expenses 102 , 104 Mutual funds: Strike and lockout benefits 40 filed, but separate federal Mortgage: Overseas work (See Foreign employment) 77 returns 97 Relief 67 Unemployment compensation Overtime 76 Rollovers 23 Mortgages: payments from Sick pay withholding under union Money market certificates 56 (See also Tax refunds) Joint state and local income taxes agreements 92 Overpayment of tax 15
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-
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-Liability insurance: Standard deduction (See Children) 93 Nonpublicly offered 102 Parents who never married 30 Blind spouse: Reimbursements from 74 Parents, divorced or Standard deduction 93 License fees: separated 29 N Deceased spouse 6 , 7 , 21 , 22 Deductibility of 100 Parking fees: (See also Surviving spouse) Nondeductibility of 103 Name change 13 , 44 Employer-provided fringe benefit: Dual-status alien spouse 23 Life insurance 49 , 70 National Housing Act: Exclusion from income 50 Estimated tax 41 (See also Accelerated death Mortgage assistance 73 Partners and partnerships 102 benefits) Filing status 6 , 7 , 22 National of the United States 28 Income 70 (See also Group-term life insurance) IRAs 79
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-Publication 17 (2025) 135
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-Pass-through entities 102 Decedent’s unrecovered Qualifying child 28 Relief fund contributions 104
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-Passive activity: investment in 14 Qualifying relative 33 Religious organizations 8, 51
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-
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-Patents: Elective deferral limitation 51 Rental income and expenses: R Employer plans: Infringement damages Losses 23 Disability pensions 53 (See also Clergy)
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-
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-Payroll deductions 73 Joint returns 66 Rollovers 84 Damages from 74 100 Lump-sum election 64 Required minimum Personal property: Payroll taxes 48 Married filing separately 23 , 63 distributions 83, 85 (See also Social security and Rental income from 71 Repayment of benefits 63 (See also Individual retirement Medicare taxes) Personal property taxes: Reporting of 63 arrangements (IRAs)) Peace Corps allowances 52 Deduction of 100 Taxability of 62 , 63 Rescue squad members: Penalties 42 , 45 Schedule A, C, E, or F (Form Withholding 40 Life insurance proceeds when 1040) 100 Accuracy-related 20 death in line of duty 70 Not tax deductible 100 Backup withholding 40 Taxes (See Personal property Reservists: Withholding for 63 taxes) Civil penalties 19 IRAs 80 Railroad Unemployment Personal representatives Criminal 21 Insurance Act 54 Repayments 79 (See Fiduciaries) Deductibility 103 Real estate: Residency: Persons with disabilities Defenses 20 Canceled business debt, Home outside U.S. (See Citizens (See Disabilities, persons with) treatment of 69 outside U.S.) Estimated tax (See this heading: Place for filing 16 Underpayment of estimated Division of real estate taxes 97 Residency test 28 Political campaign expenses 103 , tax) Form 1099-S to report sale Resident aliens: 104 Failure to include social security proceeds 98 Estimated tax 41 Political contributions number 14 , 20 Itemized charges for services not IRA distributions, withholding (See Campaign contributions) Failure to pay tax 20 deductible 99 from 86 Power of attorney 14 , 23 Form 8606 not filed for Real estate-related items not Social security number (SSN) 13 Premature distributions (See Early nondeductible IRA deductible 99 withdrawal from deferred interest Spouse treated as 24 contributions 78 , 82 Transfer taxes 100 account) Retired Senior Volunteer Fraud 20 , 21 Real estate taxes: Program 53 Prepaid: Frivolous tax submission 20 Assessments (See Local Insurance 57 Retirees: Interest on 16 assessments) Armed Forces: Preparers of tax returns 15 IRAs 86 Cooperative housing 97 Presidential Election Campaign Taxable income 52 Early distributions Payment of tax 80 Employer retirement plans Personal property rental 71 3 , 10 , 15 , 16 , 19 , 43 different from 80 Inherited pensions 76 Repayments 71 By credit or debit card 11 Equivalent tier 1 (social security Military (See Armed Forces) Amount previously included in Delivery services 11 equivalent benefit income 105 Unrecovered investment in 105 Estimated tax 16 (SSEB)) 62 , 76 Withholding 14 , 40 Railroad retirement benefits 63 Installment agreements Estimated tax 63 Social security benefits 63 , 71 Per capita taxes: (See Installment agreements) Form RRB-1042S for nonresident Deductibility of 100 Unemployment Late payment penalties 20 aliens 62 compensation 72 , 73 Personal exemption 37 Payments 107 , 108 Form RRB-1099 62 Reporting: Personal injury suits: Disaster relief Payment of estimated tax 80 Railroad retirement Deductibility (Table 11-1) 99 43 benefits 62 - 66 , 76 Rollover to IRA 84 , 90 Losses from rental real estate By check or money order 43 Deductions related to 66 Situations in which no activities 23 Credit an overpayment 43 coverage Royalties Raffles 75 taxes 100 72 Benefits from previous employer's plan 74 Increase due to higher real estate
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-Pennsylvania Unemployment Late filing Excess contributions 87 deduction of 97 Fund 14 Retirement planning services 50 86 Deduction of: Price reduced after purchase 69 Retirement plans 23 , 37 , 62 Form 8606 not filed for List of deductible taxes Principal residence (See Home) (See also Railroad retirement nondeductible (Table 11-1) 99 benefits) Privacy Act and Paperwork contributions 78 , 82 Schedule A, C, E, or F (Form (See also Roth IRAs) Reduction information 3 Overstatement of 1040) 100 Clergy 51 Private delivery services 11 nondeductible Refund, treatment of 99 Contributions 51 contributions 82 Prizes and awards 47 , 76 Rebates (See Refunds) (See also Bonuses) Credit for (See Retirement Required distributions, failure Recharacterization: savings contribution credit) to take 85 Exclusion from income 47 IRA contributions 84 Taxation of 51 Pulitzer, Nobel, and similar 11 , 20 Recordkeeping: Decedent’s unrecovered prizes 76 Exception 20 investment in 14 Scholarship prizes 77 Gambling 105 Late payment 20 Disability pensions 53 Professional license fees 104 Recordkeeping requirements 16 Negligence 20 Elective deferral limitation 51 Professional Reputation 104 Basic records 17 Reportable transaction Employer plans: understatements 20 Profit-sharing plans: Copies of returns 17 Benefits from previous Roth IRAs: Withholding 14 , 40 Electronic records 17 employer's plan 80 Conversion contributions Property: Gambling 75 Rollover to IRA 84 , 90 withdrawn in 5-year Found 75 Period of retention 17 Situations in which no period 91 Stolen 77 Proof of payments 17 coverage 80 Excess contributions 90 Public assistance benefits 73 Why keep records 17 Inherited pensions 76 Substantial understatement of Public debt: Recovery of amounts previously IRAs (See Individual retirement income tax 20 deducted 70 Gifts to reduce 16 arrangements (IRAs)) Tax evasion 21 Itemized deductions 71 Public transportation passes, Military (See Armed Forces) Underpayment of estimated employer-provided 50 Mortgage interest refund 70 Withholding 14 , 40 tax 37 , 42 , 45 Publications (See Tax help) Over multiple years 71 Retirement savings contribution Willful failure to file 21 Puerto Rico: Tax refunds 70 credit: Withholding 39 , 40 Residents of 8 Refunds 107 Adjusted gross income limit 23 Pulitzer Prize 76 State tax 70 Returns, tax (See Tax returns) Compensation Fund 97 Punitive damages: Taxes (See Tax refunds) Rewards 77 Pensions 37 , 62 As income 74 Rehabilitative program (See also Railroad retirement Rhode Island Temporary Disability payments 52 Benefit Fund 97 benefits) Reimbursement 70 Clergy 51 Q Rollovers 83 (See also Recovery of amounts Definition of 83 Contributions: previously deducted) Qualified opportunity fund 76 Retirement savings Excess due to incorrect rollover Qualified plans 83 Employee business expenses 47 contribution credit 23 information 87 (See also Rollovers) Relationship test 28 , 34 Taxation of 51 From 403 plan to IRA 83 Qualified tuition programs 76 Relative, qualifying 33
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-136 Publication 17 (2025) Rollovers (Cont.)
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-From employer's plan to IRA 83, Bonds used for education 59 Mentally incompetent 14 Refunds, treatment of 96, 97
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-84 Certificate 56, 60 Parent for child 15 State or local taxes:
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-From IRA to IRA 83 Schedule 16, 47, 51, 54 Physically disabled 14 Refunds 70
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-
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-Married filing separately 23 70 S corporation income Stock bonus plans 40 IRAs as 79 Stock options 51 Partial rollovers 83 K-1, Form 1041 55 Single taxpayers 22 Stockholders 19 Reporting: Schedule A (Form 1040): Filing requirements 7 (See also Securities) From employer's plan to Itemized deductions 94 Filing status 7 , 21 , 22 Debts 67 IRA 84 Schedules A–F, R, SE (Form 1040) Gross income filing requirements Stockholders' meeting (See Form 1040) IRA to IRA 83 (Table 1-1) 6 expenses 104 Taxability 83 , 88 Scholarships 30 , 34 , 36 Social security and Medicare Stocks 19 Scholarships and fellowships: Time limits (60-day rule) 83 taxes: (See also Securities) Earned income including Treatment of 83 93 Support, not included in 36 Stolen funds: Exclusion from gross income From section 457 plan to IRA 83 SIMPLE plans: Claim for refunds 18 1040) From SIMPLE IRA to Roth Rollover to Roth IRA 91 Stillborn child 28 IRA 91 K-1: Simplified employee pensions Stock appreciation rights 48 Inherited IRAs 83 Partnership income 70 (SEPs): From Roth IRA to Roth IRA 91 (See also Form 1040 or 1040-SR) Silver (See Gold and silver) Claim for refund 15 Form 1040, A-F, R, SE (See Form From IRA to Roth IRA 90 (See also Form 1040) Signing your return 9 Statute of limitations:
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-Waiting period between 77 83 Social security benefits 35, 62, 66 Reporting of 77
-
-
-
-Rounding off dollars Conversion To traditional IRA for same 90 Reporting of 63 programs) U.S. citizens employed by 8 Substitute forms 12 Taxability of 62 , 63 Gross income 7 year 89 Withholding 40 Sunday, deadline falling on 42 IRAs 78 90 Supplemental wages 39 Withholding for 63 Ministers 8 Definition of 88 Not deductible 100 Support test: Nonemployee compensation 75 Distributions: Qualifying child 30 Social security number (SSN) 13 Self-employment tax: Qualified distributions 91 Child's: Qualifying relative 34 Deduction of 100 Effect of modified AGI on Surviving spouse: Number to be obtained at contributions (Table 9-3) 88 List of deductible taxes birth 37 Filing status 21 (Table 11-1) 99 Establishing account 88 Child’s 2 With dependent child 25 Seminars: Excess contributions 90 Correspondence with IRS, include Gross income filing requirements Investment-related 103 IRA transfer to 83 , 84 SSN 14 (Table 1–1) 6 Senior Companion Program 53 Modified adjusted gross income Dependents 2 , 13 Life insurance proceeds paid Separate returns (See Married filing (MAGI) 88 Exception 13 to 69 separately) Computation (Worksheet Single filing status 22 Failure to include penalty 14 9-2) 88 Separated parents 29 , 33 Form SS-5 to request number 13 Tax (See Estate tax) Phaseout (Table 9-3) 88 Separated taxpayers 22 Surviving Spouse (See Surviving Nonresident alien spouse 13 Penalties: Filing status 23 , 24 spouse) Resident aliens 13 Conversion contributions IRAs 80 Spouse 7 , 13 , 15 , 21-23 , 69 withdrawn in 5-year Nonresident alien spouse 24 (See also Married taxpayers) T period 91 SEPs (See Simplified employee Spouse's death 93 Excess contributions 90 pensions (SEPs)) Tables and figures: SSN (See Social security number Recharacterizations 84 Series EE and E savings Estimated tax, who must make (SSN)) Spousal contributions 88 bonds 57 payments (Figure 4-A) 42 Stamp taxes: Taxability 91 Series HH and H savings Filing requirements: bonds 57 Real estate transactions and 100 Withdrawals 91 Dependents (Table 1-2) 7 Series I savings bonds 57 Stamps (See Collectibles) Excess contributions 90 Gross income levels Service charges 102 Standard deduction 92 , 94 (Table 1-1) 6 Not taxable 91 Service Corps of Retired State: Head of household, qualifying 14 Executives (SCORE) 53 Obligations, interest on 60 person (Table 2-1) 24 Royalties 72 Severance pay Roth IRAs 88-91 Teaching or research Deductions related to 66 Stolen property 77 (See also Rollovers) fellowships 77 Employer retirement plans Strike benefits 77 Section 457 deferred Age: different from 80 Student loans: compensation plans: Distributions after age Estimated tax 63 Cancellation of debt 67 Rollovers: 59 1/2 91 Foreign employer 52 Interest deduction: No limit for contributions 88 To IRAs 84 , 90 Form SSA-1042S for nonresident Compensation, defined No required distribution Securities: Married filing separately 23 aliens 62 Students: age 91 Claim for refund 19 Form SSA-1099 62 Defined 28 88 Options 51 IRAs for recipients of benefits 80 Exemption from withholding 39 Contribution limits 89 Stock appreciation rights 48 Joint returns 66 Foreign 28 Age 50 or older, 89 Self-employed persons 100 Lump-sum election 64 Loans (See Student loans) Under age 50, 89 (See also Self-employment tax) Married filing separately 23 , 63 Scholarships (See Scholarships Contributions 88 Corporate directors as 75 Paid by employer 48 and fellowships) No deduction for 88 Definition 8 Repayment of benefits 63 , 71 Tuition programs, qualified Roth IRA only 89 Foreign government or Repayments 102 (See Qualified tuition international organizations, Time to make
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-48 State or local governments: Individual retirement
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-S Accrued leave payment 48 Employees: arrangements (IRAs):
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-
-
-Sale of home (Table 11-1) 99 77 Modified AGI, effect on agreements 39 Schedule A (Form 1040) 100 Division of real estate taxes 97 deduction if not covered by FECA payments 54 Exception to deduction 96 retirement plan at work Sale of property: Income 48 Federal changes, effect on 19 (Table 9-2) 81 Personal items 77 Railroad Unemployment Form W-2 to show withheld Roth IRAs, effect of modified Sales and exchanges: Insurance Act 54 taxes 96 AGI on contributions Bonds 60 Withholding 39 Joint state and local returns but (Table 9-3) 88 Saturday, deadline falling on 42 Signatures 14 federal returns filed Roth IRAs, modified AGI Savings: separately 97 (Worksheet 9-2) 88 Agent, use of 14 Bonds Safe deposit box Shareholders 94 Modified AGI, effect on 70 Change in annual accounting deduction if covered by period 92 Deduction of 96 102 retirement plan at work Sick pay: List of deductible taxes Salaries (See Wages and salaries) (Table 9 -1) 81 Collective bargaining S corporations compensation 73 (Worksheet 9-1) 82 102 Short tax year: State or local income taxes Outplacement services 48 Unemployment Figuring modified AGI
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-57, 61 Married filing separately 96 Joint returns 22
-
-Publication 17 (2025) 137 Tables and figures (Cont.)
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-Roth IRA and modified adjusted Tax Returns: Trade Act of 1974: Private fund, from 73
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-
-
-Tax returns: 95 Tax year 10, 12 Traditional IRAs (See Individual Supplemental benefits 73 retirement arrangements (IRAs)) (See also Accounting periods) Voluntary benefit fund Due dates (Table 1-5) 11 Transfer taxes: Tax-exempt: contributions 104 Taxes that are deductible Standard deduction tables phaseout (Table 9-3) 88 Tax table 111-122 under 72 Reporting on Form 1040 73 gross income (MAGI) Transcript of 17 Trade readjustment allowances Repayment of benefits 72, 73
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-
-
-Tax refunds: (Schedule Y-2) deductible 100 23 Transit pass 50 Special statute of limitations. 54 Foreign taxes 96 Treasury bills, notes, and Veterans' benefits: Income tax, deduction of 97 Agreement with IRS extending bonds 59 Educational assistance 77 Gift taxes 100 assessment period, claim Treasury Inspector General: Viatical settlements 70 based on 19 How to figure Telephone number to report VISTA volunteers 53 Bad debts 19 Income taxes, deduction of 96 anonymously fraud or Volunteer firefighters: Business tax credit Indian tribal government taxes, misconduct of IRS IRAs 80 carrybacks 19 deduction of 96 employee 3 Volunteer work 52 Inheritance tax 100 Treasury notes 57 Claim for 18 , 19 Tax counseling (Volunteer Income Limitations period 18 Kiddie tax (See Children, Trust beneficiaries: Tax Assistance program) 10 , subheading: Unearned Losses of trust 75 Litigation 19 53 income of) Direct deposit 15 Receiving income from trust 75 , Vouchers for payment of tax 43 Not deductible 100 76 Erroneous refunds 18 Personal property taxes: Trustees: Federal income tax refunds 70 Deduction of 100 W Administrative fees 102 Financially disabled 19 Real estate taxes (See Real IRA 102 W-2 form (See Form W-2) Foreign tax paid or accrued 19 estate taxes) IRAs: Wages and salaries 12 , 47-54 General rules 9 Taxes, not support 36 Fees 79 (See also Form W-2) Inquiries 10 Taxpayer identification number Transfer from trustee to Accident and health Interest on 18 , 19 , 57 (TIN): trustee 83 , 90 insurance 48 Late filed returns 3 Adoption (ATIN) 13 Trusts 75 Accrued leave payment 48 Limits 19 Individual (ITIN) 13 , 37 (See also Trust beneficiaries) Adoption, employer Exceptions 19 Social security number Grantor trusts 75 assistance 49 More or less than expected 15 (See Social security number Income 75 Advance commissions 47 Net operating loss carryback 19 (SSN)) TTY/TDD information 127 Allowances and Telephones 104 Offset: reimbursements 39 , 47 Tuition: Against debts 9 , 15 Fraud or misconduct of IRS Archer MSA contributions 49 Qualified programs employee, number for Against next year’s tax 15 (See Qualified tuition Awards and prizes 47 reporting anonymously 3 Offset against next year’s tax Tax figured by IRS 21 Employer-provided commuter Usurious interest 57 Alternative minimum 107 vehicle 50 107 Utilities: Business taxes, deduction of 96 Tax help 3 , 10 , 127 Expenses paid for others 104 Energy conservation Deduction of 96 Fringe benefits 50 subsidies 74 , 77 Tax Counseling for the Elderly 10 Schedules to use 100 Volunteer counseling (Volunteer Job search expenses 76 Rebates 77 Types of taxes deductible Income Tax Assistance Parking fees: (Table 11-1) 99 program) 10 , 53 Employer-provided fringe Estate (See Estate tax) V Tax preference items 107 benefit 50 Excise (See Excise taxes) Veterans benefits 52 Tax rates 22 School children, transporting Federal income taxes, not of 77 Retroactive determination 53 Married filing separately Tax Counseling for the Elderly 123 Interest 60 Travel and transportation (See also Labor unions) 10 expenses: Unmarried persons (See Single Tax-exempt income 35 Tax credits (See Credits) Commuting expenses: taxpayers) Taxes 37 , 96-100 , 106 Tax evasion Tax computation worksheet (Table 11-1) 99 Transit passes 50 Income 104 Unions 40, 73, 77 Bonds and other obligations 60 Real estate transactions and 100 Withholding 40, 73
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-
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-Tax returns Past-due 43 programs) Babysitting 47 Temporary absences 28 , 34 10 , 18 Tuition programs, qualified Back pay awards 47 Tenants: Real estate taxes, treatment (See Qualified tuition programs) Bonuses 47 By the entirety 56 of 99 Tuition, benefits under GI Bill 36 Child care providers 47 In common 56 Reduced 19 Children’s earnings 8 Tenants by the entirety: State and local income tax U Clergy 51 Real estate taxes, allocation when refunds 96 , 97 De minimis benefits 49 filing separately 98 U.S. citizen or resident 27 State liability, effect on 19 Elective deferrals 51 Terminal illness: U.S. national 28 Under $1 15 Employee achievement award 47 Accelerated payment of life U.S. obligations, interest 57 Withholding 8 insurance proceeds Employee compensation 47 U.S. savings bonds: Worthless securities 19 (See Accelerated death Farmworkers 37 Education, used for 23 11 , 14 , 22 benefits) Foreign employer 52 (See also Due dates) Interest on 76 Viatical settlements 70 Form W-2 (See Form W-2) (See also Joint Returns) U.S. territories: Terrorist attacks: (See also Signatures) Fringe benefits 48 Deduction of income tax paid Disability pensions for federal Aliens 8 Garnished 13 to 97 employees 54 Amended 18 , 94 Government cost-of-living Income from 8 Theft losses 102 , 104 (See also Form 1040-X) allowances 48 U.S. Treasury bills, notes, and Third parties: Attachments to returns 14 Household workers 37 bonds 59 Designee for IRS to discuss return Child 15 Long-term care coverage 48 U.S. Virgin Islands: with 14 Copies of 17 Military retirees 37 , 52 Income from 8 Income from taxpayer’s property Dating of 14 Military service 52 Underpayment penalties 37 , 42 , paid to 13 Filing of 6 45 Miscellaneous compensation 47 Tiebreaker rules 30 (See also Filing requirements) IRS computation 45 Note for services 48 Tip income: Forms to use 8 Unearned income: Outplacement services 48 Allocated tips 39 Free preparation help 10 Children 55 Religious orders 52 Withholding 39 How to file 12 Unearned income of child Restricted property 51 Underwithholding 39 Paid preparer 15 (See Children, subheading: Dividends on restricted Tips 77 Unearned income of) Payment with 15 stock 51 Total support 35 Unemployment compensation 72 Private delivery services 11 Retirement plan contributions by Tour guides: Credit card insurance paying 74 employer 51 Third party designee 14 Free tour for organizing tour 75 Mandatory contributions to state Severance pay 48 Who must file 7 , 8 funds, deduction of 97 Sick pay 48 , 54
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-138 Publication 17 (2025) Wages and salaries (Cont.)
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-Social security and Medicare Checking amount of 38 Highest rate, employer must Workers' compensation:
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-taxes paid by employer 48 Claim for refund 8 withhold at if no W-4 39 Mandatory contributions to state
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-Stock appreciation rights 48 Commodity credit loans 40 Incorrect form 44 funds, deduction of 97
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-Stock options 51 Credit for 37, 44 IRA distributions 86 Workers’ compensation 54
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-Supplemental 39 Cumulative wage method 38 New job 38 Return to work 54
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-Volunteer work 52 Definition 37 Penalties 37, 39, 40 Worksheets:
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-Withholding (See Withholding) Determining amount to Pensions and annuities 14, 40 Head of household status and
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-War zone (See Combat zone) cost of keeping up home 24 withhold 38 Railroad retirement benefits 40 ,
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-Washington State Supplemental Disaster Assistance Act of 1988 63 Individual retirement
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-Welfare benefits 82 35 , 73 Exemption from 39 Separate returns 44 Roth IRA modified adjusted gross What’s new 1 Federal income taxes, not Sick pay 39 income (MAGI), computation Where to file 16 deductible 100 Social security benefits Fund modified AGI computation 97 Employers, rules for 38 Salaries and wages 37 (Worksheet 9-1) Workmen's Compensation payments 40 Repaying withheld tax 39 arrangements (IRAs),
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-Winter energy payments 74 Form W-4: State and local income taxes, Social security or railroad Withholding 40, 63 (Worksheet 9-2) 88
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-12, 37 Provided by employer 38 deduction for 96 retirement benefits, to figure
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-(See also Form W-2) Fringe benefits 39 Supplemental wages 39 taxability 63, 64
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-Changing amount withheld payments 40 General rules 37 Unemployment Wristwatch 104 Agricultural Act of 1949 Gambling winnings 40, 44 Tips (See Tip income) Support test 31
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-For 2027 38 compensation 40, 73 Write-offs (See Cancellation of 38 debt)
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-
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-Publication 17 (2025) 139 Where To File
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-Mail your return to the address shown below that applies to you. If you want to use a private delivery service, see Private
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-delivery services in chapter 1.
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-TIP
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-Envelopes without enough postage will be returned to you by the post office. Your envelope may need
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-additional postage if it contains more than five pages or is oversized (for example, it is over 1/4 inch thick). Also, include your complete return address.
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-THEN send your return to the address OR send your return to the address
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-below if you are requesting a refund or below if you ARE enclosing a
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-IF you live in... are NOT enclosing a payment... payment (check or money order)...
-
-Alabama, Florida, Georgia, Louisiana, Mississippi, North Department of the Treasury Internal Revenue Service
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-Carolina, South Carolina, Tennessee, Texas Internal Revenue Service P.O. Box 1214
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-Austin, TX 73301-0002 Charlotte, NC 28201-1214
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-Alaska, California, Colorado, Hawaii, Idaho, Kansas, Department of the Treasury Internal Revenue Service
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-Michigan, Montana, Nebraska, Nevada, North Dakota, Internal Revenue Service P.O. Box 931000
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-Ohio, Oregon, South Dakota, Utah, Washington, Wyoming Ogden, UT 84201-0002 Louisville, KY 40293-1000
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-Arizona, Arkansas, New Mexico, Oklahoma Department of the Treasury Internal Revenue Service
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-Internal Revenue Service P.O. Box 931000 Austin, TX 73301-0002 Louisville, KY 40293-1000
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-Connecticut, Delaware, District of Columbia, Illinois,
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-Indiana, Iowa, Kentucky, Maine, Maryland, Department of the Treasury Internal Revenue Service
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-Massachusetts, Minnesota, Missouri, New Hampshire, Internal Revenue Service P.O. Box 931000
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-New Jersey, New York, Pennsylvania, Rhode Island, Kansas City, MO 64999-0002 Louisville, KY 40293-1000
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-Vermont, Virginia, West Virginia, Wisconsin
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-A foreign country, U.S. territory,* or use an APO or FPO Department of the Treasury Internal Revenue Service
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-address, or file Form 2555 or 4563, or are a dual-status Internal Revenue Service P.O. Box 1303
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-alien Austin, TX 73301-0215 Charlotte, NC 28201-1303
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-* If you live in American Samoa, Puerto Rico, Guam, the U.S. Virgin Islands, or the Northern Mariana Islands, see Pub. 570.
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-140 Publication 17 (2025)
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-Dependents, Publication 501 Contents
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-What’s New . . . . . . . . . . . . . . . . . . 1
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-
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-Deduction, Who Must File . . . . . . . . . . . . . . . . . 3 Who Should File and Filing Standard Reminders . . . . . . . . . . . . . . . . . . . 2 Introduction . . . . . . . . . . . . . . . . . . 2
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-. . . . . . . . . . . . . . . 5
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-
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-Information Filing Status . . . . . . . . . . . . . . . . . . 5
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-Dependents . . . . . . . . . . . . . . . . . 11 Social Security Numbers (SSNs) for
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-Dependents . . . . . . . . . . . . . . 23
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-
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-2025 For use in preparing Standard Deduction . . . . . . . . . . . . 23
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-Returns 2025 Standard Deduction Tables . . . . 24
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-Enhanced Deduction for Seniors . . . . 26
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-How To Get Tax Help . . . . . . . . . . . . 26
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-Index . . . . . . . . . . . . . . . . . . . . . 30
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-
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-What’s New
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-Who must file. In some cases, the amount of
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-income you can receive before you must file a
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-tax return has increased. Table 1 shows the fil-ing requirements for most taxpayers.
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-Standard deduction increased. The stand-
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-
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-ard deduction for taxpayers who don’t itemize
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-their deductions on Schedule A (Form 1040) is
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-higher for 2025 than it was for 2024. The
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-amount depends on your filing status. You can
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-use the 2025 Standard Deduction Tables near the end of this publication to figure your stand-
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-ard deduction.
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-Enhanced deduction for seniors. Beginning
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-in 2025, taxpayers who are age 65 or older may
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-be eligible for the enhanced deduction for se-
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-niors. The maximum amount of the deduction is
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-$6,000 ($12,000 if married filing jointly and both
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-spouses are eligible). See Enhanced Deduction
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-for Seniors, later, for more information. Trump accounts and new Form 4547. Re-
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-cent legislation allows parents, guardians, and
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-other authorized individuals to elect to establish
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-a new type of individual retirement account,
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-called a Trump account, for the exclusive benefit
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-of certain children. If the child was born after
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-2024 and before 2029, is a U.S. citizen, and
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-meets certain other requirements, the author-
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-ized individual may also elect to receive a
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-$1,000 pilot program contribution to the child’s
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-Trump account. Both elections can be made on
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-Form 4547, which can be filed at the same time
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-as the authorized individual’s 2025 income tax
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-return. For more information on Trump ac-
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-counts, and to learn how to make these elec-
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-Get forms and other information faster and easier at: tions, see Form 4547 and its instructions.
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-• IRS.gov (English) • IRS.gov/Korean (한국어)
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-• IRS.gov/Spanish (Español) • IRS.gov/Russian (Pусский)
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-• IRS.gov/Chinese (中文) • IRS.gov/Vietnamese (Tiếng Việt)
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-Publication 501 (2025) Catalog Number 15000U
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-Feb 4, 2026 Department of the Treasury Internal Revenue Service www.irs.gov Table 1. 2025 Filing Requirements Chart for Most Taxpayers for dependents, the rules for multiple support
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-agreements, and the rules for divorced or sepa-
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-IF your filing status is... AND at the end of 2025 you THEN file a return rated parents. Standard Deduction gives the rules and dol-if your gross lar amounts for the standard deduction—a ben-income was at efit for taxpayers who don’t itemize their deduc- were... * least... ** tions. This section also discusses the standard
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-single deduction for taxpayers who are blind or age 65 under 65 $15,750 or older, the enhanced deduction for seniors, as
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-65 or older $17,750 well as special rules that limit the standard de-
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-head of household duction available to dependents. In addition, under 65 $23,625
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-this section helps you decide whether you
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-married filing jointly under 65 (both spouses) $31,500 How To Get Tax Help *** tion or itemizing your deductions. 65 or older would be better off taking the standard deduc- $25,625
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-explains how to get tax
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-65 or older (one spouse) help from the IRS. $33,100
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-This publication is for U.S. citizens and resi-
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-65 or older (both spouses) $34,700 dent aliens only. If you are a resident alien for
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-married filing separately the entire year, you must follow the same tax any age $5 rules that apply to U.S. citizens. The rules to de- qualifying surviving spouse under 65 $31,500 termine if you are a resident or nonresident
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-65 or older alien are discussed in chapter 1 of Pub. 519. $33,100
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-* If you were born before January 2, 1961, you’re considered to be 65 or older at the Nonresident aliens. If you were a nonresident
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-preparing a return for someone who died in 2025, see tax forms that apply to you may be different from Death of taxpayer , later.) those that apply to U.S. citizens. See Pub. 519. end of 2025. (If your spouse died in 2025, see alien at any time during the year, the rules and Death of spouse , later. If you’re
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-** Gross income means all income you receive in the form of money, goods, property, and services that isn’t exempt from tax, including any income from sources Comments and suggestions. We welcome
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-part or all of it). Don’t include any social security benefits unless (a) you’re married gestions for future editions. You can send us comments through outside the United States or from the sale of your main home (even if you can exclude your comments about this publication and sug-
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-filing a separate return and you lived with your spouse at any time during 2025, or (b) IRS.gov/FormComments. Or, you can write to one-half of your social security benefits plus your other gross income and any the Internal Revenue Service, Tax Forms and tax-exempt interest is more than $25,000 ($32,000 if married filing jointly). If (a) or (b) Publications, 1111 Constitution Ave. NW, applies, see the Instructions for Form 1040 to figure the taxable part of social security IR-6526, Washington, DC 20224. benefits you must include in gross income. Gross income includes gains, but not Although we can’t respond individually to
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-for example, the amount on Schedule C, line 7; or Schedule F, line 9. But in figuring feedback and will consider your comments and suggestions as we revise our tax forms, instruc- losses, reported on Form 8949 or Schedule D. Gross income from a business means, each comment received, we do appreciate your
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-gross income, don’t reduce your income by any losses, including any loss on tions, and publications. Don’t send tax ques- Schedule C, line 7; or Schedule F, line 9. tions, tax returns, or payments to the above ad-
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-*** If you didn’t live with your spouse at the end of 2025 (or on the date your spouse dress. died) and your gross income was at least $5, you must file a return regardless of your Getting answers to your tax questions.
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-age. If you have a tax question not answered by this
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-publication or the How To Get Tax Help section
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-Reminders 1-800-THE-LOST (1-800-843-5678) if you rec- at the end of this publication, go to the IRS In-
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-ognize a child. teractive Tax Assistant page at IRS.gov/
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-Future developments. Information about any search feature or viewing the categories listed.
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-Introduction Help/ITA where you can find topics by using the
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-posted at This publication discusses some tax rules that lications. Go to IRS.gov/Forms to download IRS.gov/Pub501 . affect every person who may have to file a fed- as legislation enacted after we release it) will be Getting tax forms, instructions, and pub- future developments affecting Pub. 501 (such
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-Taxpayer identification number for aliens. If eral income tax return. It answers some basic current and prior-year forms, instructions, and you are a nonresident or resident alien and you questions: who must file, who should file, what publications. don’t have and aren’t eligible to get a social se- filing status to use, who qualifies as a depend- Ordering tax forms, instructions, and
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-curity number (SSN), you must apply for an indi- ent, and the amount of the standard deduction. publications. Go to IRS.gov/OrderForms to or-
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-vidual taxpayer identification number (ITIN). Who Must File explains who must file an in- der current forms, instructions, and publica-
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-Your spouse may also need an ITIN if your come tax return. If you have little or no gross in- tions; call 800-829-3676 to order prior-year
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-spouse doesn’t have and isn’t eligible to get an come, reading this section will help you decide forms and instructions. The IRS will process
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-SSN. See Form W-7, Application for IRS Indi- if you have to file a return. your order for forms and publications as soon
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-vidual Taxpayer Identification Number. Also see Who Should File helps you decide if you as possible. Don’t resubmit requests you’ve al-
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-ents do so. tions faster online. , later. Filing Status Social Security Numbers (SSNs) for Depend- should file a return, even if you aren’t required to ready sent us. You can get forms and publica-
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-helps you determine which fil-
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-Photographs of missing children. The Inter- ing status to use. Filing status is important in Useful Items nal Revenue Service is a proud partner with the determining whether you must file a return and You may want to see: whether you may claim certain deductions and National Center for Missing & Exploited credits. It also helps determine your standard Children® (NCMEC) . Photographs of missing Publication children selected by the Center may appear in deduction and tax rate. Dependents this publication on pages that would otherwise explains the difference be-559 559 Survivors, Executors, and tween a qualifying child and a qualifying rela-be blank. You can help bring these children Administrators tive home by looking at the photographs and calling . Other topics include the SSN requirement
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-2 Publication 501 (2025)
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-Form (and Instructions) Deceased Persons you received for your services as an employee
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-1040-X 1040-X Amended U.S. Individual Income receive income from Puerto Rican sources that You must file an income tax return for a dece- Tax Return of the United States or any U.S. agency. If you
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-2848 are true. standard deduction, which reduces the amount Power of Attorney and Declaration 2848 of income you can have before you must file a dent (a person who died) if both of the following isn’t subject to U.S. tax, you must reduce your
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-of Representative 1. Your spouse died, or you are the executor, U.S. income tax return.
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-8332 8332 Release/Revocation of Release of For more information, see Pub. 570. 2. The decedent met the filing requirements administrator, or legal representative.
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-Custodial Parent described in this publication at the time of Claim to Exemption for Child by
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-the decedent’s death. Individuals With Income From U.S.
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-8814 8814 Parents’ Election To Report Child’s Territories
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-Interest and Dividends For more information, see Final Income Tax
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-Return for Decedent—Form 1040 or 1040-SR in If you had income from Guam, the Common-
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-Who Must File Pub. 559. wealth of the Northern Mariana Islands, Ameri-
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-can Samoa, or the U.S. Virgin Islands, special
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-Death of spouse. If your spouse died in 2025, rules may apply when determining whether you
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-whether you must file a federal income tax re- whether you must file a 2025 return. Consider dition, you may have to file a return with the indi-your spouse to be 65 or older at the end of 2025 vidual territory government. See Pub. 570 for If you are a U.S. citizen or resident alien, read this before using Table 1 or Table 2 to find must file a U.S. federal income tax return. In ad-
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-pendent. For details, see of death. Even if your spouse was born before Table 1 and Table 2 . January 2, 1961, your spouse isn’t considered status, your age, and whether you are a de-turn depends on your gross income, your filing only if your spouse was 65 or older at the time more information.
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-apply even if you owe no tax. A person who is a dependent may still have to A person is considered to reach age 65 on file a return. It depends on the person’s earned the day before the person’s 65th birthday. You may have to pay a penalty if you are re- income, unearned income, and gross income. quired to file a return but fail to do so. If you will- For details, see bed in 65 or older at the end of 2025 unless your Table 3 applies. The filing requirements spouse was 65 or older at the time of death. You must also file if one of the situations descri- Dependents
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-fully fail to file a return, you may be subject to Example. Your spouse was born on Febru- Table 2. A dependent must also
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-criminal prosecution. ary 14, 1960, and died on February 13, 2025. file if one of the situations described in Table 3
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-Your spouse is considered age 65 at the time of applies.
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-Gross income. Gross income is all income death. However, if your spouse died on Febru- Responsibility of parent. If a dependent child ary 12, 2025, your spouse isn’t considered age you receive in the form of money, goods, prop-must file an income tax return but can’t file due 65 at the time of death and is not 65 or older at erty, and services that isn’t exempt from tax. If to age or any other reason, a parent, guardian, the end of 2025. you are married and live with your spouse in a or other legally responsible person must file it community property state, half of any income for the child. If the child can’t sign the return, the Death of taxpayer. If you are preparing a re-defined by state law as community income may parent or guardian must sign the child’s name turn for someone who died in 2025, read this be considered yours. For a list of community followed by the words “By (your signature), pa-before using Table 1 or Table 2. Consider the property states, see Community property states rent for minor child.” taxpayer to be 65 or older at the end of 2025 under Married Filing Separately, later. only if the taxpayer was 65 or older at the time Earned income. Earned income includes sal-Self-employed persons. If you are of death. Even if the taxpayer was born before aries, wages, professional fees, and other self-employed in a business that provides serv-January 2, 1961, the taxpayer isn’t considered amounts received as pay for work you actually ices (where products aren’t a factor), your gross 65 or older at the end of 2025 unless the tax-perform. Earned income (only for purposes of income from that business is the gross receipts. payer was 65 or older at the time of death. filing requirements and the standard deduction) If you are self-employed in a business involving A person is considered to reach age 65 on also includes any part of a taxable scholarship. manufacturing, merchandising, or mining, your the day before the person’s 65th birthday. See chapter 1 of Pub. 970 for more information gross income from that business is the total on taxable and nontaxable scholarships. sales minus the cost of goods sold. In either
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-case, you must add any income from invest- Child’s earnings. Amounts a child earns U.S. Citizens or Resident Aliens ments and from incidental or outside operations by performing services are included in the Living Abroad or sources. child’s gross income and not the gross income
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-Filing status. Your filing status generally de- To determine whether you must file a return, in- of the parent. This is true even if under local law the child’s parent has the right to the earnings clude in your gross income any income you pends on whether you are single or married. and may actually have received them. But if the earned or received abroad, including any in- Whether you are single or married is deter- child doesn’t pay the tax due on this income, come you can exclude under the foreign earned mined at the end of your tax year, which is De- the parent is liable for the tax. income exclusion. For more information on spe- cember 31 for most taxpayers. Filing status is cial tax rules that may apply to you, see Pub. discussed in detail later in this publication. Unearned income. Unearned income includes 54. income such as interest, dividends, and capital Age. Age is a factor in determining if you must gains. Trust distributions of interest, dividends, file a return only if you are 65 or older at the end Residents of Puerto Rico capital gains, and survivor annuities are also of your tax year. For 2025, you are 65 or older if considered unearned income. you were born before January 2, 1961. If you are a U.S. citizen and also a bona fide
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-Taxpayers clude your child’s interest and dividend income addition to any legal requirement you may have on your tax return. If you do this, your child won’t to file an income tax return with Puerto Rico. have to file a return. To make this election, all of You must file a return if your gross income for the following conditions must be met. the year was at least the amount shown on the Filing Requirements for Most a U.S. income tax return for any year in which on parent’s return. You may be able to in- you meet the income requirements. This is in resident of Puerto Rico, you must generally file Election to report child’s unearned income
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-appropriate line in If you are a bona fide resident of Puerto Rico • Your child was under age 19 (or under age Table 1 . Dependents should for the whole year, your U.S. gross income 24 if a student) at the end of 2025. (A child see Table 2 instead. doesn’t include income from sources within Pu- born on January 1, 2007, is considered to
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-erto Rico. It does, however, include any income be age 19 at the end of 2025; you can’t
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-Publication 501 (2025) 3 Table 2. 2025 Filing Requirements for Dependents
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-See Dependents to find out if you are a dependent.
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-If your parent (or someone else) can claim you as a dependent, use this table to see if you must file a return. In this table, unearned income includes taxable interest, ordinary dividends, and capital gain distributions. It also includes unemployment compensation, taxable social security benefits, pensions, annuities, and distributions of unearned income from a trust. Earned income includes salaries, wages, tips, professional fees, and taxable scholarship and fellowship grants. Gross income is the total of your unearned and earned income.
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-! If your gross income was $5,200 or more, you usually can’t be claimed as a dependent unless you are a qualifying child.
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-CAUTION For details, see Dependents.
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-Single dependents—Were you either age 65 or older or blind?
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-No. You must file a return if any of the following apply.
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-1. Your unearned income was more than $1,350.
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-2. Your earned income was more than $15,750.
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-3. Your gross income was more than the larger of:
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-a. $1,350, or
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-b. Your earned income (up to $15,300) plus $450.
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-Yes. You must file a return if any of the following apply.
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-1. Your unearned income was more than $3,350 ($5,350 if 65 or older and blind). 2. Your earned income was more than $17,750 ($19,750 if 65 or older and blind). 3. Your gross income was more than the larger of:
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-a. $3,350 ($5,350 if 65 or older and blind), or
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-b. Your earned income (up to $15,300) plus $2,450 ($4,450 if 65 or older and blind).
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-Married dependents—Were you either age 65 or older or blind?
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-No. You must file a return if any of the following apply.
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-1. Your gross income was at least $5 and your spouse files a separate return and itemizes deductions. 2. Your unearned income was more than $1,350.
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-3. Your earned income was more than $15,750.
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-4. Your gross income was more than the larger of:
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-a. $1,350, or
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-b. Your earned income (up to $15,300) plus $450.
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-Yes. You must file a return if any of the following apply.
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-1. Your gross income was at least $5 and your spouse files a separate return and itemizes deductions. 2. Your unearned income was more than $2,950 ($4,550 if 65 or older and blind). 3. Your earned income was more than $17,350 ($18,950 if 65 or older and blind). 4. Your gross income was more than the larger of:
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-a. $2,950 ($4,550 if 65 or older and blind), or
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-b. Your earned income (up to $15,300) plus $2,050 ($3,650 if 65 or older and blind).
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-4 Publication 501 (2025) Table 3. Other Situations When You Must File a 2025 Return
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-You must file a return if any of the conditions below apply.
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-1. You owe any special taxes reported on Schedule 2 (Form 1040), including any of the following. (See the instructions for
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-Schedule 2 (Form 1040).)
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-a. Alternative minimum tax.
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-b. Additional tax on a qualified plan, including an individual retirement arrangement (IRA), or other tax-favored account.
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-c. Social security or Medicare tax on tips you didn’t report to your employer or on wages you received from an employer
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-who didn’t withhold these taxes.
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-d. Uncollected social security, Medicare, or railroad retirement tax on tips you reported to your employer or on
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-group-term life insurance and additional taxes on health savings accounts.
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-e. Household employment taxes.
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-f. Recapture taxes.
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-2. You (or your spouse if filing jointly) received Archer MSA, Medicare Advantage MSA, or health savings account distributions.
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-3. You had net earnings from self-employment of at least $400.
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-4. You had wages of $108.28 or more from a church or qualified church-controlled organization that is exempt from employer
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-social security and Medicare taxes.
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-5. Advance payments of the premium tax credit were made for you, your spouse, or a dependent who enrolled in coverage
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-through the Health Insurance Marketplace. You or whoever enrolled you should have received Form(s) 1095-A showing the amount of the advance payments.
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-6. You are required to include amounts in income under section 965 or you have a net tax liability under section 965 that you
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-are paying in installments under section 965(h) or deferred by making an election under section 965(i).
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-7. You purchased a new or used clean vehicle from a registered dealer and reduced the amount you paid at the time of sale by
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-transferring the credit to the dealer. See Form 8936 and Schedule A (Form 8936).
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-make the election for this child unless the 6. You qualify for the premium tax credit. See Other Situations
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-child was a student. Similarly, a child born Form 8962.
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-age 24 at the end of 2025; you can’t make You may have to file a tax return even if your on January 1, 2002, is considered to be
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-the election for this child.) gross income is less than the amount shown in Form 1099-B or Form 1099-DA received.
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-• Your child had gross income only from in- Table 1 or Table 2 for your filing status. See Ta- Even if you aren’t required to file a return, you
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-terest and dividends (including capital gain ble 3 for those other situations when you must should consider filing if all of the following apply. file. • You received a Form 1099-B or Form
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-distributions and Alaska Permanent Fund 1099-DA (or substitute statement).
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-dividends). • The amount in box 1d on Form 1099-B or
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-• The interest and dividend income was less the amount in box 1f on Form 1099-DA (or
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-than $13,500. substitute statement), when added to your Who Should File
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-• Your child is required to file a return for other gross income, means you have to file
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-• Even if you don’t have to file, you should file a Your child doesn’t file a joint return for ment in Table 1 or Table 2 that applies to tax return if you can get money back. For exam-2025 unless you make this election. a tax return because of the filing require-
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-2025. you.
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-• ple, you should file if one of the following ap-No estimated tax payment was made for • Box 1e on Form 1099-B or box 1g on Form
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-2025 and no 2024 overpayment was ap- plies. 1099-DA (or substitute statement) is blank.
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-rents’ Election To Report Child’s Interest and • plied to 2025 under your child’s name and 1. You had income tax withheld from your In this case, filing a return may keep you from SSN. pay. getting a notice from the IRS. No federal income tax was withheld from 2. You made estimated tax payments for the your child’s income under the backup with-year or had any of your overpayment for holding rules. last year applied to this year’s estimated Filing Status • You are the parent whose return must be tax. used when making the election to report You must determine your filing status before you your child’s unearned income. 3. You qualify for the earned income credit. can determine whether you must file a tax re-For more information, see Form 8814, Pa-See Pub. 596 for more information. turn, your standard deduction (discussed later), 4. You qualify for the additional child tax and your tax. You also use your filing status to Dividends, and its instructions. credit. See Schedule 8812 (Form 1040) for determine whether you are eligible to claim cer-tain other deductions and credits. more information.
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-5. You qualify for the refundable American There are five filing statuses.
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-opportunity credit. See Form 8863. • Single.
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-Publication 501 (2025) 5
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-• Married filing jointly. you had an extension to file (for example, until Use the Single column of the Tax Table, or Sec-• Married filing separately. October 15) but you filed earlier and we re- tion A of the Tax Computation Worksheet, to fig-• Head of household. ceived it on July 1, your return is considered ure your tax. • Qualifying surviving spouse. filed on July 1.
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-If more than one filing status applies to you, Head of household or qualifying surviv- Married Filing Jointly choose the one that will give you the lowest tax. ing spouse. If you are considered unmarried,
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-Marital Status as a qualifying surviving spouse. See Head of ing status if you are considered married and Household you may be able to file as head of household or You can choose married filing jointly as your fil-
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-and Qualifying Surviving Spouse, both you and your spouse agree to file a joint re-
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-whether you are considered unmarried or mar- Married persons. If you are considered mar- combined allowable expenses. You can file a ried. ried, you and your spouse can file a joint return joint return even if one of you had no income or or separate returns. In general, your filing status depends on port your combined income and deduct your later, to see if you qualify. turn. On a joint return, you and your spouse re-
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-deductions.
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-Unmarried persons. You are considered un-
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-married for the whole year if, on the last day of Considered married. You are considered If you and your spouse decide to file a joint your tax year, you are either: married for the whole year if, on the last day of return, your tax may be lower than your com-
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-• Unmarried, or your tax year, you and your spouse meet any bined tax for the other filing statuses. Also, your
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-• Legally separated from your spouse under one of the following tests. standard deduction (if you don’t itemize deduc-a divorce or separate maintenance decree. tions) may be higher, and you may qualify for 1. You are married and living together. tax benefits that don’t apply to other filing sta-
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-or legally separated under a divorce or separate 2. You are living together in a common law State law governs whether you are married
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-maintenance decree. marriage recognized in the state where you now live or in the state where the com- tuses. On Form 1040 or 1040-SR, show your filing
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-Definition of marriage. A marriage of two in- mon law marriage began. status as married filing jointly by checking the
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-dividuals is recognized for federal tax purposes “Married filing jointly” box on the Filing Status 3. You are married and living apart but not le- line near the top of the form. Use the Married fil- if the marriage is recognized by the state or ter- gally separated under a decree of divorce ing jointly column of the Tax Table, or Section B ritory of the United States in which the marriage or separate maintenance. of the Tax Computation Worksheet, to figure is entered into, regardless of legal residence. 4. You are separated under an interlocutory your tax. Two individuals who enter into a relationship (not final) decree of divorce. that is denominated as marriage under the laws If you and your spouse each have in- of a foreign jurisdiction or an American Indian Spouse died during the year. If your TIP come, you may want to figure your tax tribe are recognized as married for federal tax spouse died during the year, you are consid- both on a joint return and on separate purposes if the relationship would be recog- ered married for the whole year for filing status returns (using the filing status of married filing nized as marriage under the laws of at least one separately). You can choose the method that purposes. state or territory of the United States, regardless If you didn’t remarry before the end of the gives the two of you the lower combined tax un- of legal residence. Individuals who have en- tax year, you can file a joint return for yourself less you are required to file separately. tered into a registered domestic partnership, and your deceased spouse. For the next 2 civil union, or other similar relationship that isn’t years, you may be entitled to the special bene- Spouse died. If your spouse died during the denominated as a marriage under the law of the fits described later under Qualifying Surviving year, you are considered married for the whole state or territory of the United States where Spouse . year and can choose married filing jointly as such relationship was entered into aren’t law- If you remarried before the end of the tax your filing status. See Spouse died during the fully married for federal tax purposes, regard- year, you can file a joint return with your new year under Married persons, earlier. less of legal residence. See Considered mar- spouse. Your deceased spouse’s filing status is If your spouse died in 2026 before filing a ried , later. married filing separately for that year. 2025 return, you can choose married filing
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-divorce for the sole purpose of filing tax returns stead of as married filing separately, your stand- ing status. ard deduction will be higher and your tax may as unmarried individuals, and at the time of di-be lower. See Head of Household , later. vorce you intend to and do, in fact, remarry Filing a Joint Return each other in the next tax year, you and your Single spouse must file as married individuals in both Both you and your spouse must include all of years. your income and deductions on your joint re-Annulled marriages. If you obtain a court Your filing status is single if you are considered turn. decree of annulment, which holds that no valid unmarried and you don’t qualify for another fil-ing status. To determine your marital status, see marriage ever existed, you are considered un-Accounting period. Both of you must use the married even if you filed joint returns for earlier year. you may be able to file as head of household Divorced persons. If you are divorced under a final decree by the last day of the year, you are even if you aren’t divorced or legally separated. considered unmarried for the whole year and If you qualify to file as head of household in- Divorce and remarriage. If you obtain a you can’t choose married filing jointly as your fil- der a final decree by the last day of the year, apart from your spouse and meet certain tests, you are considered unmarried for the whole Divorced persons. If you are divorced un- jointly as your filing status on your 2025 return. Married persons living apart. If you live
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-Marital Status, earlier. same accounting period, but you can use differ-
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-years. File amended returns (Form(s) 1040-X) ent accounting methods. claiming single or head of household status for Spouse died before January 1, 2025. Your all tax years that are affected by the annulment filing status may be single if your spouse died Joint responsibility. Both of you may be held and not closed by the statute of limitations for before January 1, 2025, and you didn’t remarry responsible, jointly and individually, for the tax filing a tax return. Generally, for a credit or re- before the end of 2025. You may, however, be and any interest or penalty due on your joint re-fund, you must file Form(s) 1040-X within 3 able to use another filing status that will give turn. This means that if one spouse doesn’t pay
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-years (including extensions) after the date you you a lower tax. See Head of Household and the tax due, the other may have to. Or, if one
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-filed your original return or within 2 years after Qualifying Surviving Spouse, later, to see if you spouse doesn’t report the correct tax, both the date you paid the tax, whichever is later. If qualify. spouses may be responsible for any additional you filed your original tax return early (for exam- On Form 1040 or 1040-SR, show your filing taxes assessed by the IRS. One spouse may be ple, March 1), your return is considered filed on status as single by checking the “Single” box on held responsible for all the tax due even if all the the due date (generally April 15). However, if the Filing Status line near the top of the form. income was earned by the other spouse. 6 Publication 501 (2025)
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-You may want to file separately if: Signing as guardian of spouse. If you are Head of Household). This can apply to you
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-• You believe your spouse isn’t reporting all the guardian of your spouse who is mentally in- even if you aren’t divorced or legally separated.
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-of their income, or competent, you can sign the return for your If you qualify to file as head of household, in-
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-• You don’t want to be responsible for any spouse as guardian. stead of as married filing separately, your tax
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-enough tax withheld or doesn’t pay enough Spouse in combat zone. You can sign a taxes due if your spouse doesn’t have may be lower, you may be able to claim certain
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-estimated tax. joint return for your spouse if your spouse can’t tax benefits, and your standard deduction will
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-and individually responsible for any tax, interest, Divorced taxpayer. You may be held jointly (such as the Persian Gulf area, Serbia, Monte- even if your spouse chooses to itemize deduc-negro, Albania, or Afghanistan), even if you tions. See Head of Household , later, for more and penalties due on a joint return filed before don’t have a power of attorney or other state-information. sign because they are serving in a combat zone allows you to choose the standard deduction be higher. The head of household filing status
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-your divorce. This responsibility may apply even ment. Attach a signed statement to your return if your divorce decree states that your former explaining that your spouse is serving in a com- You will generally pay more combined spouse will be responsible for any amounts due bat zone. For more information on special tax TIP tax on separate returns than you would on previously filed joint returns. rules for persons who are serving in a combat on a joint return for the reasons listed
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-Relief from joint responsibility. In some serving in a combat zone, see Pub. 3. zone, or who are in missing status as a result of under Special Rules, later. However, unless you are required to file separately, you should figure
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-cases, one spouse may be relieved of joint re- your tax both ways (on a joint return and on sep-
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-sponsibility for tax, interest, and penalties on a Power of attorney (POA). In order for you arate returns). This way, you can make sure you joint return for items of the other spouse that to sign a return for your spouse in any of these are using the filing status that results in the low-were incorrectly reported on the joint return. You cases, you must attach to the return a POA that est combined tax. When figuring the combined can ask for relief no matter how small the liabil- authorizes you to sign for your spouse. You can tax of a married couple, you may want to con-ity. use a POA that states that you have been gran- sider state taxes as well as federal taxes.
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-There are three types of relief available. ted authority to sign the return, or you can use
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-1. Innocent spouse relief. How to file. If you file a separate return, you Form 2848. Part I of Form 2848 must state that
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-2. Separation of liability (available only to generally report only your own income, credits, you are granted authority to sign the return.
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-joint filers whose spouse has died, or who and deductions. Nonresident alien or dual-status alien. Gen-are divorced, who are legally separated, or Select this filing status by checking the erally, a married couple can’t file a joint return if
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-who haven’t lived together for the 12 “Married filing separately” box on the Filing Sta- either spouse is a nonresident alien at any time
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-months ending on the date the election for tus line near the top of Form 1040 or 1040-SR. during the year. However, you and your spouse
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-this relief is filed). Enter your spouse’s full name in the entry space can choose to be treated as U.S. residents for
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-3. Equitable relief. the entire year and file a joint return if one below the filing status checkbox. Be sure to en-
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-spouse was a nonresident alien at the end of ter your spouse’s SSN or ITIN in the space for
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-You must file Form 8857, Request for Inno- the taxable year (the nonresident spouse) and spouse’s SSN on Form 1040 or 1040-SR. If
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-cent Spouse Relief, to request relief from joint the other was a U.S. citizen or resident at the your spouse doesn’t have and isn’t required to
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-responsibility. Pub. 971 explains the kinds of re- end of the taxable year. This choice remains in have an SSN or ITIN, enter “NRA” in the entry
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-lief and who may qualify for them. effect in subsequent years until terminated. You space below the filing status checkboxes. For
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-and your spouse can also choose to file as U.S. electronic filing, enter the spouse’s name or
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-
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-sidered a joint return, both spouses must gener- ITIN in the entry space below the filing status U.S. citizens or residents at the end of the year checkboxes. Use the Married filing separately ally sign the return. Signing a joint return. For a return to be con- residents for the entire year if both of you are “NRA” if the spouse doesn’t have an SSN or
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-and either (or both) of you were a nonresident at
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-the beginning of the year (the dual-status column of the Tax Table, or Section C of the Tax
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-Spouse died before signing. If your Computation Worksheet, to figure your tax. spouse(s)). You can only make this choice for 1
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-utor or administrator must sign the return for If you and your spouse are making either of Special Rules your spouse. If neither you nor anyone else has spouse died before signing the return, the exec- year, and it doesn’t apply to any future years. been appointed as executor or administrator, 2025, check the box in the Filing Status section these choices to be treated as U.S. residents for If you choose married filing separately as your
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-you can sign the return for your spouse. Check and enter the name of the nonresident spouse filing status, the following special rules apply.
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-1040 or 1040-SR and enter the date your you) in the entry space. Also check the box and more tax on a separate return than if you use spouse died in the entry spaces after “Spouse.” the “Deceased” box at the top of page 1 of Form or dual-status spouse(s) (whichever applies to Because of these special rules, you usually pay
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-
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-where you sign the return. dents in a prior year and the choice remains in joint return. effect. See the Instructions for Form 1040 and Spouse away from home. If your spouse Pub. 519 for more information on how to make 2. Your exemption amount for figuring the al-is away from home, you should prepare the re-Enter “Filing as surviving spouse” in the area spouse made the choice to be treated as resi- 1. Your tax rate is generally higher than on a enter their name if you and your nonresident another filing status you qualify for. turn, sign it, and send it to your spouse to sign this choice. ternative minimum tax is half that allowed on a joint return. so it can be filed on time.
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-
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-your spouse’s name in the proper space on the come under an employer’s dependent status may benefit you if you want to be respon- care assistance program is limited to return followed by the words “By (your name), sible only for your own tax or if it results in less $2,500 (instead of $5,000 on a joint re- Spouse.” Be sure to sign in the space provided tax than filing a joint return. turn). However, if you are legally separated for your signature. Attach a dated statement, or living apart from your spouse, you may signed by you, to the return. The statement If you and your spouse don’t agree to file a be able to file a separate return and still should include the form number of the return joint return, you must use this filing status un- your spouse can’t sign because of injury or dis- pendent care expenses in most cases, You can choose married filing separately as and the amount you can exclude from in- ease and tells you to sign for them, you can sign your filing status if you are married. This filing Injury or disease prevents signing. If Married Filing Separately 3. You can’t take the credit for child and de-
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-you are filing, the tax year, and the reason your take the credit. See What’s Your Filing Sta- less you qualify for head of household status, tus? in Pub. 503 for more information. spouse can’t sign, and it should state that your discussed later. spouse has agreed to your signing for them. 4. You can’t take the earned income credit
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-You may be able to choose head of house- unless you have a qualifying child and
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-hold filing status if you are considered unmar- meet certain other requirements. ried because you live apart from your spouse
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-and meet certain tests (explained later under
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-Publication 501 (2025) 7
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-5. You can’t take the exclusion or credit for at all times during the year are each allowed a How to file. Select this filing status by check-
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-adoption expenses in most cases. $12,500 maximum special allowance for losses ing the “Head of household” box on the Filing
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-6. You can’t take the education credits (the Activities in Pub. 925. from passive real estate activities. See Rental Status line near the top of Form 1040 or American opportunity credit and lifetime 1040-SR. If the child who qualifies you for this filing status isn’t claimed as your dependent in learning credit), or the deduction for stu-
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-dent loan interest. Community property states. Community the Dependents section of Form 1040 or
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-property states include Arizona, California, 1040-SR, enter the child’s name in the entry
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-7. You can’t exclude any interest income from Idaho, Louisiana, Nevada, New Mexico, Texas, space below the filing status checkboxes. Use
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-qualified U.S. savings bonds you used for Washington, and Wisconsin. If you live in a the Head of a household column of the Tax Ta-higher education expenses. community property state and file separately, ble, or Section D of the Tax Computation Work-
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-8. If you lived with your spouse at any time come or community income for income tax pur-your income may be considered separate in- sheet, to figure your tax.
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-during the tax year: poses. See Pub. 555. Considered Unmarried a. You can’t claim the credit for the eld-
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-erly or the disabled, and Joint Return After Separate To qualify for head of household status, you
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-b. You must include in income a greater Returns must be either unmarried or considered unmar-
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-percentage (up to 85%) of any social ried on the last day of the year. You are consid-
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-security or equivalent railroad retire- ered unmarried on the last day of the tax year if You can change your filing status from a sepa-
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-ment benefits you received. you meet all the following tests. rate return to a joint return by filing an amended
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-9. The following credits and deductions are return using Form 1040-X. 1. You file a separate return. A separate re-
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-10. Your capital loss deduction limit is $1,500 reduced at income levels half those for a turn includes a return claiming married fil- ing separately, single, or head of house- You can generally change to a joint return joint return. any time within 3 years from the due date of the hold filing status. a. The child tax credit and the credit for separate return or returns. This doesn’t include 2. You paid more than half the cost of keep- other dependents. any extensions. A separate return includes a re- ing up your home for the tax year. turn filed by you or your spouse claiming mar- b. The retirement savings contributions ried filing separately, single, or head of house- 3. Your spouse didn’t live in your home dur- credit. ing the last 6 months of the tax year. Your hold filing status. spouse is considered to live in your home (instead of $3,000 on a joint return). even if your spouse is temporarily absent Separate Returns After Joint due to special circumstances. See Tempo- 11. If your spouse itemizes deductions, you Return rary absences , later. can’t claim the standard deduction. If you
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-stances. See line 27a instructions in the Instruc-TIP can claim the standard deduction, your ba- 4. Your home was the main home of your Once you file a joint return, you can’t choose to sic standard deduction is half the amount child, stepchild, or foster child for more file separate returns for that year after the due allowed on a joint return. than half the year. (See Home of qualifying date of the return. person , later, for rules applying to a child’s There are special rules that allow a birth, death, or temporary absence during Exception. A personal representative for a de- separated spouse to claim the earned the year.) cedent can change from a joint return elected income credit under certain circum- by the surviving spouse to a separate return for 5. You must be able to claim the child as a the decedent. The personal representative has tions for Form 1040 and Schedule EIC (Form dependent. However, you meet this test if 1 year from the due date (including extensions) 1040) to see if you meet the qualifications to you can’t claim the child as a dependent of the return to make the change. See Pub. 559 claim the earned income credit even though you only because the noncustodial parent can for more information on filing income tax returns are married and don’t file a joint return. claim the child using the rules described for a decedent. later in Children of divorced or separated
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-
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-Adjusted gross income (AGI) limits. If your parents (or parents who live apart) under Qualifying Child or in AGI on a separate return is lower than it would Head of Household Support Test for Chil- dren of Divorced or Separated Parents (or have been on a joint return, you may be able to Parents Who Live Apart) under Qualifying deduct a larger amount for certain deductions You may be able to file as head of household if Relative. The general rules for claiming a that are limited by AGI, such as medical expen- you meet all the following requirements. child as a dependent are explained later ses. 1. You are unmarried or considered unmar- under Dependents .
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-Individual retirement arrangements (IRAs). ried on the last day of the year. See Marital You may be considered unmarried for the Status , earlier, and Considered Unmar-You may not be able to deduct all or part of your purpose of using head of household status but ried , later. contributions to a traditional IRA if you or your not for other purposes, such as claiming the spouse was covered by an employee retirement 2. You paid more than half the cost of keep-EIC. Different tests apply depending on the tax plan at work during the year. Your deduction is ing up a home for the year. benefit you claim. reduced or eliminated if your income is more 3. A qualifying person lived with you in the than a certain amount. This amount is much If you were considered married for part home for more than half the year (except lower for married individuals who file separately ! of the year and lived in a community for temporary absences, such as school). and lived together at any time during the year. CAUTION property state (listed earlier under Mar-However, if the qualifying person is your For more information, see How Much Can You ried Filing Separately), special rules may apply dependent parent, your dependent parent Deduct? in chapter 1 of Pub. 590-A. in determining your income and expenses. See doesn’t have to live with you. See Special Pub. 555 for more information. rule for parent , later, under Qualifying Per-Rental activity losses. If you actively partici-son. pated in a passive rental real estate activity that Nonresident alien spouse. You are consid-produced a loss, you can generally deduct the If you qualify to file as head of house-ered unmarried for head of household purposes loss from your nonpassive income up to TIP hold, your tax rate will usually be lower if your spouse was a nonresident alien at any $25,000. This is called a special allowance. than the rates for single or married fil-time during the year and you don’t choose to However, married persons filing separate re-ing separately. You will also receive a higher treat your nonresident spouse as a resident turns who lived together at any time during the standard deduction than if you file as single or alien. However, your spouse isn’t a qualifying year can’t claim this special allowance. Married married filing separately. person for head of household purposes. You persons filing separate returns who lived apart must have another qualifying person and meet 8 Publication 501 (2025) the other tests to be eligible to file as head of
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-household. Worksheet 1. Cost of Keeping Up a Home Keep for Your Records
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-Choice to treat spouse as resident. You
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-are considered married if you choose to treat
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-your spouse as a resident alien. See chapter 1 Amount You Total of Pub. 519. Paid Cost
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-Keeping Up a Home Property taxes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . $ $
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-Mortgage interest expense . . . . . . . . . . . . . . . . . . . . . .
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-To qualify for head of household status, you Rent . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . must pay more than half of the cost of keeping Utility charges . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
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-up a home for the year. You can determine Repairs/maintenance . . . . . . . . . . . . . . . . . . . . . . . . . whether you paid more than half of the cost of Property insurance . . . . . . . . . . . . . . . . . . . . . . . . . . . keeping up a home by using Worksheet 1 .
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-Food eaten in the home . . . . . . . . . . . . . . . . . . . . . . . .
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-Other household expenses . . . . . . . . . . . . . . . . . . . . .
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-Costs you include. Include in the cost of
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-keeping up a home expenses such as rent, Totals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . $ $ mortgage interest, real estate taxes, insurance
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-on the home, repairs, utilities, and food eaten in Minus total amount you paid . . . . . . . . . . . . . . . . . . . ( )
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-the home.
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-Amount others paid . . . . . . . . . . . . . . . . . . . . . . . . . . $
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-Costs you don’t include. Don’t include the
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-cost of clothing, education, medical treatment, Note. TANF and other governmental payments. Under proposed Treasury regulations, if you received Temporary vacations, life insurance, or transportation. Also Assistance to Needy Families (TANF) payments or other similar payments and used the payment to support don’t include the value of your services or those another person, those payments are considered support you provided for that person, rather than support provided of a member of your household. by the government or other third party. Amounts paid out of funds received in the child’s or qualifying person’s
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-Qualifying Person name, such as Social Security, are considered paid by the child, not you. If the total amount you paid is more than
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-the amount others paid, you meet the requirement of paying more than half the cost of keeping up the home.
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-See Table 4 to see who is a qualifying person. relative (see Not a Qualifying Child Test, later). toward your parent’s support. Your parent had
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-Any person not described in Table 4 isn’t a qual- As a result, your friend’s child isn’t your qualify- no income. Because you paid more than half of ifying person. ing person for head of household purposes. the cost of keeping up your parent’s apartment
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-from January 1 until your parent’s death, and
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-Example 1—child. Your unmarried child Home of qualifying person. Generally, the you can claim your parent as a dependent, you
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-lived with you all year and was 18 years old at qualifying person must live with you for more can file as head of household.
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-meet the tests to be a qualifying child of anyone Special rule for parent. If your qualifying fying person are considered to live together person is your parent, you may be eligible to file even if one or both of you are temporarily ab- else. As a result, this child is your qualifying as head of household even if your parent sent from your home due to special circumstan- child (see more than half of their own support and doesn’t Temporary absences. You and your quali- the end of the year. Your child didn’t provide than half of the year.
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-for head of household purposes. able to claim your parent as a dependent. Also, tion, military service, or detention in a juvenile you must pay more than half the cost of keeping facility. It must be reasonable to assume the ab- this child is single, this is your qualifying person Qualifying Child, later) and, because doesn’t live with you. However, you must be ces such as illness, education, business, vaca-
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-Example 2—child who isn’t qualifying up a home that was the main home for the en- sent person will return to the home after the
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-person. The facts are the same as in Exam- tire year for your parent. temporary absence. You must continue to keep
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-ple 1, except your child was 25 years old at the If you pay more than half the cost of keeping up the home during the absence. your parent in a rest home or home for the eld-end of the year and your child’s gross income Adopted child or foster child. You may erly, that counts as paying more than half the was $6,000. Because your child doesn’t meet be eligible to file as head of household if the cost of keeping up your parent’s main home. the age test (explained later under Qualifying person who qualifies you for this filing status Child), your child isn’t your qualifying child. Be-Death or birth. You may be eligible to file was an adopted child or foster child and you cause the child doesn’t meet the gross income as head of household even if the qualifying per-kept up a home for this person in 2025, the per-test (explained later under Qualifying Relative), son who qualifies you for this filing status is born son was lawfully placed with you for legal adop-the child isn’t your qualifying relative. As a re-or dies during the year. To qualify you for head tion by you in 2025, or the person was an eligi-sult, this child isn’t your qualifying person for of household filing status, the qualifying person ble foster child placed with you during 2025. head of household purposes. (as defined in Table 4 ) must be one of the fol-The person is considered to have lived with you lowing. for more than half of 2025 if your main home Example 3—your friend. Your friend lived • Your qualifying child or qualifying relative was this person’s main home for more than half with you all year. Even though your friend may who lived with you for more than half the the time since the child was adopted or placed be your qualifying relative if the gross income part of the year they were alive. with you in 2025. and support tests (explained later) are met, your • Your parent for whom you paid, for the en-friend isn’t your qualifying person for head of Kidnapped child. You may be eligible to tire part of the year your parent was alive, household purposes because your friend isn’t file as head of household even if the child who more than half the cost of keeping up the related to you in one of the ways listed under is your qualifying person has been kidnapped. home your parent lived in. Relatives who don’t have to live with you , later. You can claim head of household filing status if
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-See Table 4. all the following statements are true. Example. You are unmarried. Your parent,
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-Example 4—friend’s child. The facts are who you claim as a dependent, lived in an 1. The child is presumed by law enforcement
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-the same as in Example 3, except your friend’s apartment alone. Your parent died on Septem- authorities to have been kidnapped by
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-10-year-old child also lived with you all year. ber 2. The cost of the upkeep of the apartment someone who isn’t a member of your fam-
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-Your friend’s child isn’t your qualifying child and, for the year until your parent’s death was ily or the child’s family.
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-$6,000. You paid $4,000 and your sibling paid
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-because the child is your friend’s qualifying $2,000. Your sibling made no other payments child, your friend’s child isn’t your qualifying
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-Publication 501 (2025) 9 Table 4. Who Is a Qualifying Person Qualifying You To File as Head of Household?1
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-
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-! See the text of this publication for the other requirements you must meet to claim head of household filing status.
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-CAUTION
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-IF the person is your . . . AND . . . THEN that person is . . . qualifying child (such as a son, daughter, the child is single a qualifying person, whether or not
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-or grandchild who lived with you more than the child meets the citizen or
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-half the year and meets certain other tests)2 resident test.
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-the child is married and you can claim the a qualifying person. child as a dependent
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-the child is married and you can’t claim the not a qualifying person.3 child as a dependent
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-qualifying relative4 who is your father or you can claim your parent as a dependent5 a qualifying person.6 mother you can’t claim your parent as a dependent not a qualifying person. qualifying relative4 other than your father or your relative lived with you more than half a qualifying person. mother (such as a grandparent, brother, or the year, and your relative is related to you
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-sister who meets certain tests) in one of the ways listed under Relatives
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-who don’t have to live with you, later, and you can claim your relative as a dependent5 your relative didn’t live with you more than not a qualifying person. half the year
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-your relative isn’t related to you in one of the not a qualifying person.
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-ways listed under Relatives who don’t have
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-to live with you, later, and is your qualifying relative only because your relative lived with
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-you all year as a member of your household
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-you can’t claim your relative as a dependent not a qualifying person.
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-1 A person can’t qualify more than one taxpayer to use the head of household filing status for the year.
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-2 The term “qualifying child” is defined under Dependents, later. Note: If you are a noncustodial parent, the term “qualifying child” for head of
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-household filing status doesn’t include a child who is your qualifying child only because of the rules described under Children of divorced or
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-separated parents (or parents who live apart) under Qualifying Child, later. If you are the custodial parent and those rules apply, the child is generally your qualifying child for head of household filing status even though the child isn’t a qualifying child you can claim as a dependent. 3 This person is a qualifying person if the only reason you can’t claim the person as a dependent is that you can be claimed as a dependent on another taxpayer’s return.
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-4 The term “qualifying relative” is defined under Dependents, later.
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-5 If you can claim a person as a dependent only because of a multiple support agreement, that person isn’t a qualifying person. See Multiple
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-Support Agreement, later.
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-6 See Special rule for parent, earlier.
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-2. In the year of the kidnapping, the child How to file. Select this filing status by check- Qualifying Surviving Spouse
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-lived with you for more than half the part of ing the “Qualifying surviving spouse” box on the
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-3. In the year of the child’s return, the child the year before the kidnapping. Filing Status line near the top of Form 1040 or If your spouse died in 2025, you can use mar- 1040-SR. If the child who qualifies you for this ried filing jointly as your filing status for 2025 if filing status isn’t claimed as your dependent in lived with you for more than half the part of you otherwise qualify to use that status. The the Dependents section of Form 1040 or the year following the date of the child’s re- year of death is the last year for which you can 1040-SR, enter the child’s name in the entry turn. file jointly with your deceased spouse. See Mar- space below the filing status checkboxes. Use ried Filing Jointly , earlier. 4. You would have qualified for head of the Married filing jointly column of the Tax Table,
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-household filing status if the child hadn’t or Section B of the Tax Computation Work- You may be eligible to use qualifying surviv- been kidnapped. sheet, to figure your tax. ing spouse as your filing status for 2 years fol-
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-earlier of: This treatment applies for all years until the lowing the year your spouse died. For example, Eligibility rules. You are eligible to file your if your spouse died in 2024 and you haven’t re-2025 return as a qualifying surviving spouse if married, you may be able to use this filing status you meet all the following tests. 1. The year there is a determination that the for 2025 and 2026. The rules for using this filing child is dead, or status are explained in detail here. 1. You were entitled to file a joint return with
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-2. The year the child would have reached your spouse for the year your spouse died.
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-age 18. This filing status entitles you to use joint re- It doesn’t matter whether you actually filed
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-turn tax rates and the highest standard deduc- a joint return. tion amount (if you don’t itemize deductions). It
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-doesn’t entitle you to file a joint return.
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-10 Publication 501 (2025)
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-
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-2. Your spouse died in 2023 or 2024 and you 2. In the year of the kidnapping, the child one else as a dependent if the person who can
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-didn’t remarry before the end of 2025. lived with you for more than half the part of claim you (or your spouse if filing a joint return)
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-3. You have a child or stepchild (not a foster fund of income tax withheld or estimated tax the year before the kidnapping. as a dependent files a return only to claim a re-
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-child) whom you can claim as a dependent 3. In the year of the child’s return, the child paid. or could claim as a dependent except that, lived with you for more than half the part of for 2025: the year following the date of the child’s re-turn. Joint Return Test
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-a. The child had gross income of $5,200
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-or more, 4. You would have qualified for qualifying sur- You generally can’t claim a married person as a
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-b. The child filed a joint return, or viving spouse filing status if the child had dependent if that person files a joint return.
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-not been kidnapped.
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-pendent in the Dependents section on c. You could be claimed as a dependent Exception. You can claim a person as a de- As mentioned earlier, the filing status on someone else’s return. pendent who files a joint return if that person ! qualifying surviving spouse is available and that person’s spouse file the joint return If the child isn’t claimed as your de- CAUTION for only 2 years following the year your only to claim a refund of income tax withheld or spouse died. estimated tax paid. Form 1040 or 1040-SR, enter the child’s
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-4. This child lived in your home all year, ex-name in the entry space below the filing Example 1—child files joint return. You status checkboxes. If you don’t enter the Dependents supported your 18-year-old child who lived with name, it will take us longer to process your you all year while your child’s spouse was in the return. Armed Forces. Your child’s spouse earned The term “dependent” means: $35,000 for the year. The couple files a joint re- • A qualifying child, or cept for temporary absences. See Tempo- • A qualifying relative. turn. You can’t claim your child as a dependent. rary absences , earlier, under Head of The terms “ qualifying child ” and “ qualifying rela- Household. There are also exceptions, de- Example 2—child files joint return only tive ” are defined later. scribed later, for a child who was born or as claim for refund of withheld tax. Your
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-5. You paid more than half the cost of keep-died during the year and for a kidnapped 18-year-old child and your child’s 17-year-old All the requirements for claiming a depend- child. spouse had $800 of wages from part-time jobs ent are summarized in Table 5 . and no other income. They lived with you all year. Neither is required to file a tax return. They Housekeepers, maids, or servants. If these ing up a home for the year. See Keeping don’t have a child. Taxes were taken out of their people work for you, you can’t claim them as Up a Home , earlier, under Head of House- pay, so they file a joint return only to get a refund dependents. hold. of the withheld taxes. The exception to the joint
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-Example. Your spouse died in 2023 and Child tax credit. You may be entitled to a child return test applies, so you aren’t disqualified
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-you haven’t remarried. During 2024 and 2025, tax credit for each qualifying child who was un- from claiming each of them as a dependent just
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-you continued to keep up a home for you and der age 17 at the end of the year if you claimed because they file a joint return. You can claim
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-your child who lives with you and whom you can that child as a dependent. For more information, each of them as dependents if all the other tests
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-claim as a dependent. For 2023, you were enti- see the Instructions for Form 1040. to do so are met.
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-tled to file a joint return for you and your de- Example 3—child files joint return to Credit for other dependents. You may be en- ceased spouse. For 2024 and 2025, you can file claim American opportunity credit. The titled to a credit for other dependents for each as a qualifying surviving spouse. After 2025, facts are the same as in Example 2, except no qualifying child who does not qualify you for the you can file as head of household if you qualify. taxes were taken out of your child’s pay or your child tax credit and for each qualifying relative. child’s spouse’s pay. However, they file a joint For more information, see the Instructions for Death or birth. You may be eligible to file as a return to claim an American opportunity credit Form 1040. qualifying surviving spouse if the child who of $124 and get a refund of that amount. Be- qualifies you for this filing status is born or dies cause they filed a joint return claiming the during the year. You must have provided more Exceptions American opportunity credit, they aren’t filing it than half of the cost of keeping up a home that only to get a refund of income tax withheld or was the child’s main home during the entire part Even if you have a qualifying child or qualifying estimated tax paid. The exception to the joint re- of the year the child was alive. relative, you can claim that person as a depend- turn test doesn’t apply, so you can’t claim either ent only if these three tests are met. of them as a dependent. Adopted child. You may be eligible to file as a 1. qualifying surviving spouse if the child who Dependent taxpayer test . Citizen or Resident Test qualifies you for this filing status was adopted 2. Joint return test . by you in 2025 or was lawfully placed with you 3. for legal adoption by you in 2025. The child is Citizen or resident test . You generally can’t claim a person as a depend- ent unless that person is a U.S. citizen, a U.S. considered to have lived with you for all of 2025 These three tests are explained in detail here. if your main home was this child’s main home resident alien, a U.S. national, or a resident of Canada or Mexico. However, there is an excep- for the entire time since this child was adopted Dependent Taxpayer Test or placed with you in 2025. tion for certain adopted children, as explained next.
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-Kidnapped child. You may be eligible to file as If you can be claimed as a dependent by an-a qualifying surviving spouse even if the child other taxpayer, you can’t claim anyone else as a Exception for adopted child. If you are a U.S. who qualifies you for this filing status has been citizen or U.S. national who has legally adopted dependent. Even if you have a qualifying child
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-kidnapped. You can claim qualifying surviving or qualifying relative, you can’t claim that person a child who isn’t a U.S. citizen, U.S. resident spouse filing status if all the following state- as a dependent. alien, or U.S. national, this test is met if the child ments are true. lived with you as a member of your household
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-1. The child is presumed by law enforcement If you are filing a joint return and your all year. This exception also applies if the child
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-authorities to have been kidnapped by spouse can be claimed as a dependent by an- was lawfully placed with you for legal adoption
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-someone who isn’t a member of your fam- other taxpayer, you and your spouse can’t claim and the child lived with you for the rest of the
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-ily or the child’s family. any dependents on your joint return. year after placement.
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-Exception. If you can be claimed as a depend-
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-ent by another taxpayer, you can claim some-
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-Publication 501 (2025) 11 Table 5. Overview of the Rules for Claiming a Dependent
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-
-
-
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-! This table is only an overview of the rules. For details, see the rest of this publication.
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-CAUTION
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-• You can’t claim any dependents if you, or your spouse if filing jointly, could be claimed as a dependent by another taxpayer,
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-unless that taxpayer files a return only to claim a refund of withheld income tax or estimated tax paid.
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-• You can’t claim a married person who files a joint return as a dependent unless that joint return is filed only to claim a refund of
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-withheld income tax or estimated tax paid.
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-• You can’t claim a person as a dependent unless that person is a U.S. citizen, a U.S. resident alien, a U.S. national, or a resident
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-of Canada or Mexico.1
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-• You can’t claim a person as a dependent unless that person is your qualifying child or qualifying relative.
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-Tests To Be a Qualifying Child Tests To Be a Qualifying Relative
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-1. The child must be your son, daughter, stepchild, foster child, brother, 1. The person can’t be your qualifying child or the qualifying
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-sister, half brother, half sister, stepbrother, or stepsister, or a descendant child of any other taxpayer. of any of them.
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-2. The person either (a) must be related to you in one of the
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-2. The child must be (a) under age 19 at the end of the year and younger ways listed under Relatives who don’t have to live with you, or
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-than you (or your spouse if filing jointly); (b) under age 24 at the end of the (b) must live with you all year as a member of your year, a student, and younger than you (or your spouse if filing jointly); or household2 (and your relationship must not violate local law). (c) any age if permanently and totally disabled.
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-3. The person’s gross income for the year must be less than
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-3. The child must have lived with you for more than half of the year.2 $5,200.3
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-4. The child must not have provided more than half of the child’s own support 4. You must provide more than half of the person’s total support
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-for the year. for the year.4
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-5. The child must not be filing a joint return for the year (unless that joint
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-return is filed only to claim a refund of withheld income tax or estimated
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-tax paid).
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-If the child meets the rules to be a qualifying child of more than one
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-person, generally only one person can actually treat the child as a
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-qualifying child. See Qualifying Child of More Than One Person, later, to find out which person is the person entitled to claim the child as a
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-qualifying child.
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-1 There is an exception for certain adopted children.
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-2 There are exceptions for temporary absences, children who were born or died during the year, children who were adopted or lawfully placed for adoption during the year, children who are eligible foster children placed during the year, children of divorced or separated parents (or parents who live apart), and kidnapped children.
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-3 There is an exception if the person is disabled and has income from a sheltered workshop. 4 There are exceptions for multiple support agreements, children of divorced or separated parents (or parents who live apart), and kidnapped children.
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-Child’s place of residence. Children are usu- take a charitable contribution deduction. See 2. Age,
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-ally citizens or residents of the country of their Expenses Paid for Student Living With You in 3. Residency, parents. Pub. 526.
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-was born, the child may be a U.S. citizen and U.S. national. A U.S. national is an individual 5. Joint return. meet this test even if the other parent was a If you were a U.S. citizen when your child 4. Support, and who, although not a U.S. citizen, owes alle-
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-Foreign students’ place of residence. For- ! qualifying child of more than one per- nationals instead of U.S. citizens. son, there are rules you must use to CAUTION eign students brought to this country under a determine which person can actually treat the qualified international education exchange pro- Qualifying Child child as a qualifying child. See Qualifying Child gram and placed in American homes for a tem- of More Than One Person , later. porary period generally aren’t U.S. residents Five tests must be met for a child to be your foreign country. clude American Samoans and Northern Ma- If a child meets the five tests to be the riana Islanders who chose to become U.S. nonresident alien and the child was born in a giance to the United States. U.S. nationals in- These tests are explained next.
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-as dependents. However, if you provided a qualifying child. The five tests are: and don’t meet this test. You can’t claim them
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-home for a foreign student, you may be able to 1. Relationship, 12 Publication 501 (2025) Relationship Test 2. A student taking a full-time, on-farm train- Stillborn child. You can’t claim a stillborn
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-ing course given by a school described in child as a dependent.
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-To meet this test, a child must be: (1), or by a state, county, or local govern-ment agency. Adopted child or foster child. You can treat • Your son, daughter, stepchild, or foster your adopted child or foster child as meeting the child, or a descendant (for example, your The 5 calendar months don’t have to be con-residency test, as follows, if you adopted the grandchild) of any of them; or secutive. child in 2025, the child was lawfully placed with • Your brother, sister, half brother, half sister, you for legal adoption by you in 2025, or the stepbrother, or stepsister, or a descendant Full-time student. A full-time student is a child was an eligible foster child placed with you (for example, your niece or nephew) of any student who is enrolled for the number of hours during 2025. This child is considered to have of them. or courses the school considers to be full-time lived with you for more than half of 2025 if your attendance. main home was this child’s main home for more Adopted child. An adopted child is always School defined. A school can be an ele-than half the time since this child was adopted treated as your own child. The term “adopted mentary school, a junior or senior high school, a or placed with you in 2025. child” includes a child who was lawfully placed college, a university, or a technical, trade, or with you for legal adoption. mechanical school. However, an on-the-job Kidnapped child. You can treat your child as
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-Foster child. A foster child is an individual who training course, correspondence school, or meeting the residency test even if the child has school offering courses only through the Inter- been kidnapped, but the following statements is placed with you by an authorized placement net doesn’t count as a school. must be true. agency or by judgment, decree, or other order
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-of any court of competent jurisdiction. Vocational high school students. Stu- 1. The child is presumed by law enforcement
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-dents who work on “co-op” jobs in private indus- authorities to have been kidnapped by
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-Age Test someone who isn’t a member of your fam- try as a part of a school’s regular course of
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-classroom and practical training are considered ily or the child’s family.
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-To meet this test, a child must be: full-time students. 2. In the year the kidnapping occurred, the • Under age 19 at the end of the year and child lived with you for more than half of Permanently and totally disabled. Your child younger than you (or your spouse if filing the part of the year before the date of the • jointly); is permanently and totally disabled if both of the kidnapping. following apply. A student under age 24 at the end of the 3. In the year of the child’s return, the child • Your child can’t engage in any substantial year and younger than you (or your spouse lived with you for more than half the part of gainful activity because of a physical or if filing jointly); or the year following the date of the child’s re-mental condition. • Permanently and totally disabled at any turn. •
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-ber 10. Unless this child was permanently and Example. Your child turned 19 on Decem-time during the year, regardless of age. A doctor determines the condition has las-ted or can be expected to last continuously This treatment applies for all years until the for at least a year or can lead to death. earlier of: 1. The year there is a determination that the totally disabled or a student, this child doesn’t Residency Test child is dead, or meet the age test because, at the end of the
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-year, this child wasn’t under age 19. To meet this test, your child must have lived with 2. The year the child would have reached
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-you for more than half the year. There are ex- age 18.
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-Child must be younger than you or your ceptions for temporary absences, children who spouse. To be your qualifying child, a child were born or died during the year, adopted or Children of divorced or separated parents who isn’t permanently and totally disabled must foster children, kidnapped children, and chil- (or parents who live apart). In most cases, be younger than you. However, if you are mar- dren of divorced or separated parents. because of the residency test, a child of di-ried filing jointly, the child must be younger than vorced or separated parents is the qualifying
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-you or your spouse but doesn’t have to be Temporary absences. Your child is consid- child of the custodial parent. However, the child younger than both of you. ered to have lived with you during periods of will be treated as the qualifying child of the non-
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-time when one of you, or both, is temporarily custodial parent if all four of the following state-
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-or your spouse. Your 23-year-old sibling, who • Illness, 1. The parents: is a student and unmarried, lives with you and • Example 1—child not younger than you absent due to special circumstances, such as: ments are true. Education,
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-your spouse, who provide more than half of your • Business, a. Are divorced or legally separated un-sibling’s support. Your sibling isn’t disabled. der a decree of divorce or separate • Vacation,
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-than you or your spouse. tion agreement; or Death or birth of child. A child who was born c. Lived apart at all times during the last or died during the year is treated as having lived Example 2—child younger than your with you more than half the year if your home 6 months of the year, whether or not spouse but not younger than you. The facts they are or were married. was the child’s home more than half the time are the same as in Example 1, except your you file a joint return. Your sibling isn’t your qual- • Detention in a juvenile facility. b. Are separated under a written separa-ifying child because your sibling isn’t younger Both you and your spouse are 21 years old, and • Military service, or maintenance; spouse is 25 years old. Because your sibling is the child was alive during the year. The same is 2. The child received over half of the child’s
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-younger than your spouse and you and your true if the child lived with you more than half the support for the year from the parents.
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-year except for any required hospital stay follow-
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-spouse are filing a joint return, your sibling is 3. The child is in the custody of one or both ing birth.
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-isn’t younger than you. Child born alive. You may be able to claim 4. Either of the following statements is true. as a dependent a child born alive during the your qualifying child, even though your sibling parents for more than half of the year.
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-Student defined. To qualify as a student, your year, even if the child lived only for a moment. a. The custodial parent signs a written child must be, during some part of each of any 5 State or local law must treat the child as having declaration, discussed later, that they calendar months of the year: been born alive. There must be proof of a live won’t claim the child as a dependent
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-1. A full-time student at a school that has a birth certificate. The child must be your qualify-birth shown by an official document, such as a for the year, and the noncustodial pa-
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-regular teaching staff and course of study, ing child or qualifying relative, and all the other rent attaches this written declaration and a regularly enrolled student body at tests to claim the child as a dependent must be to their return. (If the decree or agree-the school; or met. ment went into effect after 1984 and
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-before 2009, see Post-1984 and
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-Publication 501 (2025) 13
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-pre-2009 divorce decree or separa- Absences. If a child wasn’t with either pa- the greater number of nights in 2025. You are
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-tion agreement, later. If the decree or rent on a particular night (because, for example, the custodial parent.
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-see Written declaration. The custodial parent agreement went into effect after 2008, the child was staying at a friend’s house), the
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-aration agreement must use either Form 8332 or a similar state- Post-2008 divorce decree or sep- child is treated as living with the parent with
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-b. A pre-1985 decree of divorce or sepa- by the form) to make the written declaration to be determined with which parent the child nor- rate maintenance or written separa- release a claim to an exemption for a child to mally would have lived or if the child would not tion agreement that applies to 2025 , later.) whom the child normally would have lived for that night, except for the absence. But if it can’t ment (containing the same information required states that the noncustodial parent have lived with either parent that night, the child the noncustodial parent. Although the exemp- tion amount is zero for tax year 2025, this re- is treated as not living with either parent that can claim the child as a dependent, lease allows the noncustodial parent to claim night. the decree or agreement wasn’t the child tax credit, credit for other dependents, changed after 1984 to say the non- Parent works at night. If, due to a parent’s or additional child tax credit, if applicable, for custodial parent can’t claim the child nighttime work schedule, a child lives for a the child. The noncustodial parent must attach as a dependent, and the noncustodial greater number of days, but not nights, with the a copy of the form or statement to their tax re- parent provides at least $600 for the
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-parent who works at night, that parent is treated turn.
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-child’s support during the year. as the custodial parent. On a school day, the The release can be for 1 year, for a number
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-the noncustodial parent can: If statements (1) through (4) are all true, only child is treated as living at the primary resi- of specified years (for example, alternate dence registered with the school. years), or for all future years, as specified in the declaration. • Claim the child as a dependent; and Example 1—child lived with one parent • Claim the child as a qualifying child for the Post-1984 and pre-2009 divorce decree for a greater number of nights. You and your child tax credit, the credit for other depend- or separation agreement. If the divorce de- child’s other parent are divorced. In 2025, your ents, or the additional child tax credit. cree or separation agreement went into effect child lived with you 210 nights and with the after 1984 and before 2009, the noncustodial However, this doesn’t allow the noncustodial other parent 155 nights. You are the custodial parent may be able to attach certain pages from parent to claim head of household filing status, parent. the decree or agreement instead of Form 8332. the credit for child and dependent care expen- The decree or agreement must state all three of ses, the exclusion for dependent care benefits, Example 2—child is away at camp. In the following. or the earned income credit. See Applying the 2025, your child lives with each parent for alter- nate weeks. In the summer, your child spends 6 tiebreaker rules to divorced or separated pa- 1. The noncustodial parent can claim the rents (or parents who live apart) , later. weeks at summer camp. During those 6 weeks, child as a dependent without regard to any your child is treated as living with you for 3 condition, such as payment of support. Example—earned income credit. Even if weeks and with your child’s other parent, your 2. The custodial parent won’t claim the child statements (1) through (4) are all true and the ex-spouse, for 3 weeks because this is how as a dependent for the year. custodial parent signs Form 8332 or a substan- long the child would have lived with each parent
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-tially similar statement that the custodial parent if the child had not attended summer camp. 3. The years for which the noncustodial pa-won’t claim the child as a dependent for 2025, rent, rather than the custodial parent, can
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-this doesn’t allow the noncustodial parent to Example 3—child lived same number of claim the child as a dependent. claim the child as a qualifying child for the nights with each parent. Your child lived with earned income credit. The custodial parent or you 180 nights during the year and lived the The noncustodial parent must attach all of another taxpayer, if eligible, can claim the child same number of nights with the child’s other pa- the following pages of the decree or agreement for the earned income credit. rent, your ex-spouse. Your AGI is $40,000. Your to their tax return.
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-Custodial parent and noncustodial pa- ex-spouse’s AGI is $25,000. You are treated as • The cover page (write the other parent’s
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-rent. The custodial parent is the parent with the higher AGI. • The pages that include all of the informa-whom the child lived for the greater number of your child’s custodial parent because you have SSN on this page).
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-tion identified in items (1) through (3)
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-noncustodial parent. but with other parent. Your child normally • The signature page with the other parent’s If the parents divorced or separated during nights during the year. The other parent is the Example 4—child is at parent’s home above.
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-night if the child sleeps: A child is treated as living with a parent for a stead of Form 8332 if the decree or agreement the hospital. Your child is treated as living with went into effect after 2008. The custodial parent you during this 10-day period because your • At that parent’s home, whether or not the must sign either Form 8332 or a similar state- child was living in your home. parent is present; or ment the only purpose of which is to release the • In the company of the parent, when the custodial parent’s claim to an exemption, and Example 5—child emancipated in May. child doesn’t sleep at a parent’s home (for the noncustodial parent must attach a copy to Your child turned 18 in May 2025 and became example, the parent and child are on vaca- their return. The form or statement must release emancipated under the law of the state where tion together). the custodial parent’s claim to the child without your child lives. As a result, your child isn’t con- any conditions. For example, the release must sidered in the custody of either parent for more before the separation, the custodial parent is weekend. You become ill and are hospitalized. agreement. The noncustodial parent can’t at-the one with whom the child lived for the greater Your ex-spouse lives in your home with your number of nights during the rest of the year. tach pages from the decree or agreement in-child for 10 consecutive days while you are in the year and the child lived with both parents child’s other parent, your ex-spouse, every other Post-2008 divorce decree or separation lives with you during the week and with the signature and the date of the agreement.
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-with each parent for an equal number of nights Equal number of nights. If the child lived not depend on the noncustodial parent paying than half of the year. The special rule for chil- support. dren of divorced or separated parents doesn’t during the year, the custodial parent is the pa- apply. The noncustodial parent must attach rent with the higher AGI. ! the required information even if it was December 31. The night of December 31 is Example 6—child emancipated in Au- CAUTION filed with a return in an earlier year. treated as part of the year in which the night be- gust. Your child lives with you from January 1, 2025, until May 31, 2025, and lives with the gins. For example, the night of December 31, Revocation of release of claim to an ex- 2025, is treated as part of 2025. child’s other parent, your ex-spouse, from June emption. The custodial parent can revoke a re- 1, 2025, through the end of the year. Your child lease of claim to an exemption. For the revoca- Emancipated child. If a child is emancipa- turns 18 and is emancipated under state law on tion to be effective for 2025, the custodial parent ted under state law, the child is treated as not August 1, 2025. Because your child is treated must have given (or made reasonable efforts to living with either parent. See Examples 5 and 6 . as not living with either parent beginning on Au- give) written notice of the revocation to the gust 1, your child is treated as living with you
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-14 Publication 501 (2025)
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-noncustodial parent in 2024 or earlier. The cus- Example 2. You provided $3,000 toward Qualifying Child of More Than One todial parent can use Part III of Form 8332 for your 10-year-old foster child’s support for the Person ocation to their return for each tax year the cus- If your qualifying child isn’t a qualifying this purpose and must attach a copy of the rev- year. The state government provided $4,000,
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-todial parent claims the child as a dependent as TIP child of anyone else, this topic doesn’t which is considered support provided by the
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-a result of the revocation. apply to you and you don’t need to state, not by the child. See Support provided by
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-later. Your foster child didn’t provide more than read about it. This is also true if your qualifying the state (welfare, food benefits, housing, etc.),
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-port provided by your new spouse is treated as Remarried parent. If you remarry, the sup- child isn’t a qualifying child of anyone else ex- half of their own support for the year. cept your spouse with whom you plan to file a
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-provided by you. joint return. Scholarships. A scholarship received by a
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-divorced or separated parents also applies to Parents who never married. This rule for child who is a student isn’t taken into account in If a child is treated as the qualifying determining whether the child provided more ! child of the noncustodial parent under than half of their own support. parents who never married and lived apart at all CAUTION the rules for children of divorced or times during the last 6 months of the year. separated parents (or parents who live apart), TANF and other governmental payments. described earlier, see Applying the tiebreaker Under proposed Treasury regulations, if you re-Support Test (To Be a Qualifying rules to divorced or separated parents (or pa-ceived Temporary Assistance to Needy Fami-Child) rents who live apart) , later. lies (TANF) payments or other similar payments
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-more than half of the child’s own support for the you provided for that person, rather than sup- age, residency, support, and joint return tests to year. port provided by the government or other third be a qualifying child of more than one person. party. To meet this test, the child can’t have provided son, those payments are considered support Sometimes, a child meets the relationship, and used the payment to support another per-
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-be a qualifying relative, which is described later. actually treat the child as a qualifying child to Joint Return Test (To Be a However, to see what is or isn’t support, see take all of the following tax benefits (provided Qualifying Child) Support Test (To Be a Qualifying Relative) This test is different from the support test to these persons, generally only one person can Although the child is a qualifying child of each of
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-If you aren’t sure whether a child provided more , later. the person is eligible for each benefit). To meet this test, the child can’t file a joint return than half of their own support, you may find 1. The child tax credit, credit for other de-for the year. Worksheet 2 helpful. pendents, or additional child tax credit.
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-Example. You provided $4,000 toward your Exception. An exception to the joint return test 2. Head of household filing status.
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-16-year-old child’s support for the year and the applies if your child and the child’s spouse file a 3. The credit for child and dependent care joint return only to claim a refund of income tax child provided $6,000. Your child provided more expenses. withheld or estimated tax paid. than half their own support. This child isn’t your 4. The exclusion from income for dependent qualifying child. Example 1—child files joint return. You care benefits.
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-Foster care payments and expenses. Pay- supported your 18-year-old child who lived with 5. The earned income credit. you all year while the child’s spouse was in the ments you receive for the support of a foster Armed Forces. Your child’s spouse earned child from a child placement agency are consid-The other person can’t take any of these $35,000 for the year. The couple files a joint re-ered support provided by the agency. Similarly, benefits based on this qualifying child. In other turn so this child isn’t your qualifying child. payments you receive for the support of a foster words, you and the other person can’t agree to child from a state or county are considered sup-divide these tax benefits between you. Example 2—child files joint return only port provided by the state or county. as claim for refund of withheld tax. Your If you aren’t in the trade or business of pro-Tiebreaker rules. To determine which person 18-year-old child and your child’s 17-year-old viding foster care and your unreimbursed can treat the child as a qualifying child to claim spouse had $800 of wages from part-time jobs out-of-pocket expenses in caring for a foster these five tax benefits, the following tiebreaker and no other income. They lived with you all child were mainly to benefit an organization rules apply. For purposes of these tiebreaker year. Neither is required to file a tax return. They qualified to receive deductible charitable contri-rules, the term “parent” means a biological or don’t have a child. Taxes were taken out of their butions, the expenses are deductible as charita-adoptive parent of an individual. It does not in-pay, so they file a joint return only to get a refund ble contributions but aren’t considered support clude a stepparent or foster parent unless that of the withheld taxes. The exception to the joint you provided. For more information about the person has adopted the individual. return test applies, so this child may be your deduction for charitable contributions, see Pub. • If only one of the persons is the child’s pa-qualifying child if all the other tests are met. 526. If your unreimbursed expenses aren’t de-rent, the child is treated as the qualifying child of the parent. ductible as charitable contributions, they may Example 3—child files joint return to qualify as support you provided. • If the parents file a joint return together and claim American opportunity credit. The can claim the child as a qualifying child, If you are in the trade or business of provid-facts are the same as in Example 2, except no the child is treated as the qualifying child of ing foster care, your unreimbursed expenses taxes were taken out of either spouse’s pay. the parents. aren’t considered support provided by you. However, they file a joint return to claim an • If the parents don’t file a joint return to-American opportunity credit of $124 and get a Example 1. A foster child lived with a mar-gether but both parents claim the child as a refund of that amount. Because claiming the ried couple, the Smiths, for the last 3 months of qualifying child, the IRS will treat the child American opportunity credit is their reason for the year. The Smiths cared for the foster child as the qualifying child of the parent with filing the return, they aren’t filing it only to get a whom the child lived for the longer period because they wanted to adopt the child (al-refund of income tax withheld or estimated tax though the child had not been placed with them of time during the year. If the child lived paid. The exception to the joint return test for adoption). They didn’t care for the foster with each parent for the same amount of doesn’t apply, so this child isn’t your qualifying child as a trade or business or to benefit the time, the IRS will treat the child as the qual-child. ifying child of the parent who had the agency that placed the foster child in their higher AGI for the year. home. The Smiths’ unreimbursed expenses • aren’t deductible as charitable contributions but If no parent can claim the child as a qualify-ing child, the child is treated as the qualify-are considered support they provided for the ing child of the person who had the highest foster child. AGI for the year. • If a parent can claim the child as a qualify-ing child but no parent does so claim the Publication 501 (2025) 15
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-Worksheet 2. Worksheet for Determining Support Keep for Your Records
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-Funds Belonging to the Person You Supported
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-1. Enter the total funds belonging to the person you supported, including income received (taxable
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-and nontaxable) and amounts borrowed during the year, plus the amount in savings and other accounts at the beginning of the year. Don’t include funds provided by the state; include those amounts on line 23 instead . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1.
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-2. Enter the amount on line 1 that was used for the person’s support . . . . . . . . . . . . . . . . . . . . . . . . . . 2. 3. Enter the amount on line 1 that was used for other purposes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3. 4. Enter the total amount in the person’s savings and other accounts at the end of the year . . . . . . . . 4. 5. Add lines 2 through 4. (This amount should equal line 1.) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5.
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-Expenses for Entire Household (where the person you supported lived)
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-6. Lodging (complete line 6a or 6b):
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-a. Enter the total rent paid . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6a. b. Enter the fair rental value of the home. If the person you supported owned the home,
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-also include this amount in line 21 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6b.
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-7. Enter the total food expenses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7. 8. Enter the total amount of utilities (heat, light, water, etc., not included in line 6a or 6b) . . . . . . . . . . 8. 9. Enter the total amount of repairs (not included in line 6a or 6b) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9.
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-10. Enter the total of other expenses. Don’t include expenses of maintaining the home, such as
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-mortgage interest, real estate taxes, and insurance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10.
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-11. Add lines 6a through 10. These are the total household expenses . . . . . . . . . . . . . . . . . . . . . . . . . . 11.
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-12. Enter total number of persons who lived in the household . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12.
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-Expenses for the Person You Supported
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-13. Divide line 11 by line 12. This is the person’s share of the household expenses . . . . . . . . . . . . . . . 13.
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-14. Enter the person’s total clothing expenses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14.
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-15. Enter the person’s total education expenses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15.
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-16. Enter the person’s total medical and dental expenses not paid for or reimbursed by
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-insurance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16.
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-17. Enter the person’s total travel and recreation expenses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17.
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-18. Enter the total of the person’s other expenses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18.
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-19. Add lines 13 through 18. This is the total cost of the person’s support for the year . . . . . . . . . . . . . . 19.
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-Did the Person Provide More Than Half of the Person’s Own Support?
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-20. Multiply line 19 by 50% (0.50) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20.
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-21. Enter the amount from line 2, plus the amount from line 6b, if the person you supported owned
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-the home. This is the amount the person provided for their own support . . . . . . . . . . . . . . . . . . . . . . 21.
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-22. Is line 21 more than line 20?
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-No. You meet the support test for this person to be your qualifying child. If this person also meets the other tests to be a
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-qualifying child, stop here; don’t complete lines 23–26. Otherwise, go to line 23 and fill out the rest of the worksheet to determine if this person is your qualifying relative.
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-Yes. You don’t meet the support test for this person to be either your qualifying child or your qualifying relative. Stop
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-here.
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-Did You Provide More Than Half?
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-23. Enter the amount others provided for the person’s support. Include amounts provided by state,
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-local, and other welfare societies or agencies. Don’t include any amounts included on line 1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23.
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-24. Add lines 21 and 23 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24.
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-25. Subtract line 24 from line 19. This is the amount you provided for the person’s support . . . . . . . . . 25.
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-26. Is line 25 more than line 20?
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-Yes. You meet the support test for this person to be your qualifying relative. No. You don’t meet the support test for this person to be your qualifying relative. You can’t claim this person as a
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-dependent unless you can do so under a multiple support agreement, the support test for children of divorced or separated
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-parents (or parents who live apart), or the special rule for kidnapped children. See Multiple Support Agreement, Support Test
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-for Children of Divorced or Separated Parents (or Parents Who Live Apart), or Kidnapped child under Qualifying Relative.
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-16 Publication 501 (2025)
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-child, the child is treated as the qualifying dependent, then you can’t claim your child as a 2025 and, while you did live apart at the end of
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-child of the person who had the highest dependent because of the dependent taxpayer 2025, you aren’t legally separated under a writ-
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-AGI for the year, but only if that person’s test, explained earlier, unless your parent files a ten separation agreement or decree of separate
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-AGI is higher than the highest AGI of any of return only to claim a refund of income tax with- maintenance. Therefore, your spouse doesn’t
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-the child’s parents who can claim the child. held or estimated tax paid. meet the requirements to take the earned in-
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-the other person may be able to choose which Subject to these tiebreaker rules, you and come credit as a separated spouse who isn’t fil- Example 6—separated parents. You, ing a joint return. Your spouse also can’t take your spouse, and your 10-year-old child all lived the credit for child and dependent care expen- of you claims the child as a qualifying child. in the United States for all of 2025. On August ses because your spouse’s filing status is mar- You may be able to qualify for the 1, 2025, your spouse moved out of the house- ried filing separately and you and your spouse
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-TIP earned income credit under the rules hold. In August and September, your child lived didn’t live apart for the last 6 months of 2025.
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-for taxpayers without a qualifying child with you. For the rest of the year, your child lived
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-if you have a qualifying child for the earned in- with your spouse, the child’s other parent. Your Example 8—unmarried parents. You, come credit who is claimed as a qualifying child child is a qualifying child of both you and your your 5-year-old child, Marley, and Marley’s other by another taxpayer. For more information, see spouse because your child lived with each of parent lived together in the United States all Pub. 596. you for more than half the year and because year. You and Marley’s other parent aren’t mar-
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-your child met the relationship, age, support, ried. Marley is a qualifying child of both you and
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-grandparent. You and your 3-year-old child, Example 1—child lived with parent and and joint return tests for both of you. At the end the other parent because Marley meets the rela- of the year, you and your spouse still weren’t di- tionship, age, residency, support, and joint re- vorced, legally separated, or separated under a turn tests for both you and the other parent. Jordan, lived with your parent all year. You are written separation agreement, so the rule for Your AGI is $12,000 and the other parent’s AGI 25 years old and unmarried, and your AGI is children of divorced or separated parents (or is $14,000. The other parent agrees to let you $9,000. Your parent’s AGI is $15,000. Your parents who live apart) doesn’t apply. claim Marley as a qualifying child. This means child’s other parent didn’t live with you or your You and your spouse will file separate re- you can claim Marley as a qualifying child for child. You haven’t signed Form 8832 (or a simi- turns. Your spouse agrees to let you treat your the child tax credit, head of household filing sta- lar statement). child as a qualifying child. This means, if your tus, the credit for child and dependent care ex- Jordan is a qualifying child of both you and spouse doesn’t claim your child as a qualifying penses, the exclusion for dependent care bene- your parent because Jordan meets the relation- child, you can claim this child as a qualifying fits, and the earned income credit, if you qualify ship, age, residency, support, and joint return child for the child tax credit and the exclusion for for each of those tax benefits (and if the other tests for both you and your parent. However, dependent care benefits (assuming you other- parent doesn’t claim Marley as a qualifying child only one of you can claim Jordan. Your child wise qualify for both tax benefits). However, you for any of those tax benefits). isn’t a qualifying child of anyone else, including can’t claim head of household filing status be- Jordan’s other parent. You agree to let your pa- cause you and your spouse didn’t live apart for Example 9—unmarried parents claim rent claim Jordan. This means your parent can the last 6 months of the year. As a result, your same child. The facts are the same as in Ex- claim Jordan as a qualifying child for all of the filing status is married filing separately. You ample 8, except you and Marley’s other parent five tax benefits listed earlier, if your parent can’t claim the earned income credit because both claim Marley as a qualifying child. In this qualifies for each of those benefits (and if you you don’t meet the requirements for certain sep- case, only the other parent will be allowed to don’t claim Jordan as a qualifying child for any arated spouses to claim the earned income treat Marley as a qualifying child. This is be- of those tax benefits). credit when they don’t file a joint return. You and cause the other parent’s AGI, $14,000, is more than your AGI, $12,000. If you claimed the child your spouse didn’t live apart for the last 6 Example 2—parent has higher AGI than months of 2025 and while you did live apart at tax credit for Marley, the IRS will disallow your grandparent. The facts are the same as in Ex- the end of 2025, you aren’t legally separated claim to this credit. If you don’t have another ample 1, except your AGI is $18,000. Because under a written separation agreement or decree qualifying child or dependent, the IRS will also your parent’s AGI isn’t higher than yours, your of separate maintenance. Therefore, you don’t disallow your claim to head of household filing parent can’t claim Jordan. Only you can claim meet the requirements to take the earned in- status, the credit for child and dependent care Jordan. come credit as a separated spouse who is not expenses, and the exclusion for dependent care
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-Example 3—two persons claim same filing a joint return. You also can’t take the credit benefits. However, you may be able to claim the
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-child. The facts are the same as in Example 1, for child and dependent care expenses be- earned income credit as a taxpayer without a
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-except you and your parent both claim Jordan cause your fling status is married filing sepa- qualifying child.
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-as a qualifying child. In this case, you, as the rately and you and your spouse didn’t live apart Example 10—child didn’t live with a pa-for the last 6 months of 2025. child’s parent, will be the only one allowed to rent. You and your sibling’s child, Reid, lived claim the child as a qualifying child. The IRS will Example 7—separated parents claim with your parent all year. You are 25 years old, disallow your parent’s claim to the five tax bene-same child. The facts are the same as in Ex-and your AGI is $9,300. Your parent’s AGI is fits listed earlier based on Jordan. However, ample 6, except you and your spouse both $15,000. Reid’s parents file jointly, have an AGI your parent may qualify for the earned income claim your child as a qualifying child. In this of less than $9,000, and don’t live with you or credit as a taxpayer without a qualifying child. case, only your spouse will be allowed to treat Reid. Reid is a qualifying child of both you and
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-Example 4—qualifying children split be- your child as a qualifying child. This is because, your parent because Reid meets the relation-
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-tween two persons. The facts are the same during 2025, the child lived with your spouse ship, age, residency, support, and joint return
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-as in Example 1, except you also have two other longer than with you. If you claimed the child tax tests for both you and your parent. However,
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-young children who are qualifying children of credit for your child, the IRS will disallow your only your parent can treat Reid as a qualifying
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-both you and your parent. Only one of you can claim to the child tax credit. If you don’t have an- child. This is because your parent’s AGI,
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-claim each child. However, if your parent’s AGI other qualifying child or dependent, the IRS will $15,000, is more than your AGI, $9,300.
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-is higher than yours, you can allow your parent also disallow your claim to the exclusion for de- Applying the tiebreaker rules to divorced or pendent care benefits. In addition, because you to claim one or more of the children. For exam-and your spouse didn’t live apart for the last 6 separated parents (or parents who live ple, if you claim one child, your parent can claim months of the year, your spouse can’t claim apart). If a child is treated as the qualifying the other two. head of household filing status. As a result, your child of the noncustodial parent under the rules described earlier for spouse’s filing status is married filing separately. children of divorced or sep-Example 5—taxpayer who is a qualifying Your spouse can’t claim the earned income arated parents (or parents who live apart) , only child. The facts are the same as in Example 1, credit because your spouse doesn’t meet the the noncustodial parent can claim the child as a except you are only 18 years old and didn’t pro-requirements to claim the earned income credit dependent and claim the child tax credit, addi-vide more than half of your own support for the for certain separated spouses. You and your tional child tax credit, or credit for other depend-year. This means you are your parent’s qualify-spouse didn’t live apart for the last 6 months of ents for the child. However, only the custodial ing child. If your parent can claim you as a
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-Publication 501 (2025) 17
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-parent can claim the credit for child and de- a qualifying child for head of household filing Example 4. Your 13-year-old grandchild pendent care expenses or the exclusion for de- status. You, as the child’s parent, will be the only lived with you for 5 months during the year. pendent care benefits for the child. Also, gener- only one allowed to claim Kody as a qualifying Your grandchild isn’t your qualifying child be-ally, the noncustodial parent can’t claim the child for the earned income credit. The IRS will cause the residency test isn’t met. Your grand-child as a qualifying child for head of household disallow your parent’s claim to head of house- child may be your qualifying relative if the gross filing status or the earned income credit. In- hold filing status unless your parent has another income test and the support test are met. stead, generally, the custodial parent, if eligible, qualifying child or dependent. Your parent can’t or other eligible person can claim the child as a claim the earned income credit as a taxpayer Child of person not required to file a return. qualifying child for those two benefits. If the without a qualifying child because your parent’s A child isn’t the qualifying child of any other tax-child is the qualifying child of more than one AGI is more than $19,104. payer and so may qualify as your qualifying rela-person for these benefits, then the tiebreaker tive if the child’s parent (or other person for
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-rules determine whether the custodial parent or whom the child is defined as a qualifying child) Qualifying Relative another eligible person can treat the child as a isn’t required to file an income tax return and ei- ther: qualifying child. Four tests must be met for a person to be your • Doesn’t file an income tax return, or The noncustodial parent may be able qualifying relative. The four tests are: • Files a return only to get a refund of in- TIP to claim the self-only earned income come tax withheld or estimated tax paid. 1. Not a qualifying child test , credit if they meet other requirements.
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-See Pub. 596 and Schedule EIC and its instruc- 2. Member of household or relationship test, Example 1—return not required. You tions for more information. support an unrelated friend and your friend’s 3. Gross income test , and 3-year-old child, who lived with you all year in 4. Example 1. You and your 5-year-old child, Support test . your home. Your friend has no gross income, Kody, lived all year with your parent in the Uni- isn’t required to file a 2025 tax return, and
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-ted States. Your parent paid the entire cost of Age. Unlike a qualifying child, a qualifying rela- doesn’t file a 2025 tax return. Both your friend keeping up the home. Your AGI is $10,000. Your tive can be any age. There is no age test for a and your friend’s child are your qualifying rela-parent’s AGI is $25,000. Kody’s other parent qualifying relative. tives if the support test is met. lived in the United States all year, but didn’t live
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-with you or Kody. Kidnapped child. You can treat a child as your Example 2—return filed to claim refund.
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-Under the rules explained earlier for children qualifying relative even if the child has been kid- The facts are the same as in Example 1, except
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-of divorced or separated parents (or parents napped, but the following statements must be your friend had wages of $1,500 during the year
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-you can’t claim the child tax credit for your child. earned income credit or any other tax credits or someone who isn’t a member of your fam- However, those rules don’t allow Kody’s other deductions. Both your friend and your friend’s ily or the child’s family. parent to claim Kody as a qualifying child for child are your qualifying relatives if the support 2. In the year the kidnapping occurred, the head of household filing status, the credit for test is met. child met the tests to be your qualifying rel- child and dependent care expenses, the exclu- ative for the part of the year before the sion for dependent care benefits, or the earned Example 3—earned income credit date of the kidnapping. child of Kody’s other parent, who can claim the Your friend files a return only to get a refund of 1. The child is presumed by law enforcement child tax credit for the child. Because of this, the income tax withheld and doesn’t claim the authorities to have been kidnapped by who live apart), Kody is treated as the qualifying true. and had income tax withheld from their wages.
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-neither of you can claim the credit for child and met the tests to be your qualifying relative during the year and claimed the earned income credit. Your friend’s child is the qualifying child for the part of the year following the date of dependent care expenses or the exclusion for of another taxpayer (your friend), so you can’t the child’s return. dependent care benefits. But Kody is a qualify- care expenses or dependent care benefits, so You and your parent didn’t have any child- ple 2, except your friend had wages of $8,000 3. In the year of the child’s return, the child income credit. claimed. The facts are the same as in Exam-
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-claim your friend’s child as your qualifying rela-
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-ing child of both you and your parent for head of This treatment applies for all years until the tive. Also, you can’t claim your friend as your
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-credit because Kody meets the relationship, test explained later. 1. The year there is a determination that the age, residency, support, and joint return tests household filing status and the earned income earlier of: qualifying relative because of the gross income for both you and your parent. (The support test child is dead, or Child in Canada or Mexico. You may be able
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-doesn’t apply for the earned income credit.) 2. The year the child would have reached to claim your child as a dependent even if the However, you agree to let your parent claim age 18. child lives in Canada or Mexico. If the child
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-ever, the child may still be your qualifying rela-
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-each and if you don’t claim Kody as a qualifying tive. If the persons the child does live with aren’t A child isn’t your qualifying relative if the child is child for the earned income credit. (You can’t U.S. citizens and have no U.S. gross income, your qualifying child or the qualifying child of those persons aren’t “taxpayers,” so the child claim head of household filing status because any other taxpayer. your parent paid the entire cost of keeping up isn’t the qualifying child of any other taxpayer. If the child isn’t the qualifying child of any other the home.) You may be able to claim the earned Example 1. Your 22-year-old child, who is a income credit as a taxpayer without a qualifying for head of household filing status and the residency test to be your qualifying child. How- Not a Qualifying Child Test earned income credit if your parent qualifies for Kody. This means your parent can claim Kody doesn’t live with you, the child doesn’t meet the
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-child. be your qualifying child. This child isn’t your test are met. qualifying relative. student, lives with you and meets all the tests to long as the gross income test and the support taxpayer, the child is your qualifying relative as
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-Example 2. The facts are the same as in You can’t claim as a dependent a child who
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-Example 1, except your AGI is $25,000 and lives in a foreign country other than Canada or Example 2. Your 2-year-old child lives with your parent’s AGI is $21,000. Your parent can’t Mexico, unless the child is a U.S. citizen, U.S. your parents and meets all the tests to be their claim Kody as a qualifying child for any purpose resident alien, or U.S. national. There is an ex- qualifying child. This child isn’t your qualifying because your parent’s AGI isn’t higher than ception for certain adopted children who lived relative. yours. with you all year. See Citizen or Resident Test ,
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-Example 3. The facts are the same as in Example 3. Your 30-year-old child lives earlier.
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-Example 1, except you and your parent both Example. You provide all the support of cause the age test isn’t met. This child may be with you. This child isn’t a qualifying child be-
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-claim Kody as a qualifying child for the earned your children, ages 6, 8, and 12, who live in your qualifying relative if the gross income test income credit. Your parent also claims Kody as Mexico with your parent and have no income. and the support test are met.
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-18 Publication 501 (2025)
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-You are single and live in the United States. qualifying relative only if the stepparent lives Gross income defined. Gross income is all in-Your parent isn’t a U.S. citizen and has no U.S. with you all year as a member of your house- come in the form of money, property, and serv-income, so your parent isn’t a “taxpayer.” Your hold. ices that isn’t exempt from tax. children aren’t your qualifying children because In a manufacturing, merchandising, or min-
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-they don’t meet the residency test. But because Temporary absences. A person is considered ing business, gross income is the total net sales they aren’t the qualifying children of any other to live with you as a member of your household minus the cost of goods sold, plus any miscella-taxpayer, they may be your qualifying relatives during periods of time when one of you, or both, neous income from the business. and you may be permitted to claim them as de- is temporarily absent due to special circumstan- Gross receipts from rental property are pendents. You may also be able to claim your ces, such as: gross income. Don’t deduct taxes, repairs, or parent as a dependent if the gross income and • Illness, other expenses to determine the gross income
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-support tests are met. • Education, from rental property. • Business, Gross income includes a partner’s share of •
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-Member of Household or Vacation, the gross (not net) partnership income. • Military service, or Relationship Test Gross income also includes all taxable un-• Detention in a juvenile facility. employment compensation, taxable social se-To meet this test, a person must either: If the person is placed in a nursing home for curity benefits, and certain amounts received as
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-an indefinite period of time to receive constant scholarship and fellowship grants. Scholarships
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-1. Live with you all year as a member of your medical care, the absence may be considered received by degree candidates and used for tui-
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-household, or temporary. tion, fees, supplies, books, and equipment re-
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-2. Be related to you in one of the ways listed quired for particular courses aren’t generally in- under cluded in gross income. For more information Relatives who don’t have to live with Death or birth. A person who died during the about scholarships, see chapter 1 of Pub. 970.
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-you below.
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-year, but lived with you as a member of your
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-If at any time during the year the person was household until death, will meet this test. The Disabled dependent working at sheltered your spouse, that person can’t be your qualify- same is true for a child who was born during the workshop. For purposes of the gross income ing relative. year and lived with you as a member of your test, the gross income of an individual who is
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-household for the rest of the year. The test is permanently and totally disabled at any time
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-Relatives who don’t have to live with you. A also met if a child lived with you as a member of during the year doesn’t include income for serv-person related to you in any of the following your household except for any required hospital ices the individual performs at a sheltered work-ways doesn’t have to live with you all year as a stay following birth. The test is also met for an shop. The availability of medical care at the member of your household to meet this test. adopted or foster child if you adopted the per- workshop must be the main reason for the indi-
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-• Your child, stepchild, or foster child, or a son in 2025, the person was lawfully placed vidual’s presence there. Also, the income must
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-descendant of any of them (for example, with you for legal adoption by you in 2025, or come solely from activities at the workshop that
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-your grandchild). (A legally adopted child is the person was an eligible foster child placed are incident to this medical care.
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-• Your brother, sister, half brother, half sister, the person’s main home for the entire time since • Provides special instruction or training de-stepbrother, or stepsister. considered your child.) with you during 2025 and your main home was A “sheltered workshop” is a school that:
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-the person was adopted or placed with you in signed to alleviate the disability of the indi-
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-• Your father, mother, grandparent, or other 2025. vidual; and
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-direct ancestor, but not foster parent. If your dependent died during the year and • Is operated by certain tax-exempt organi-
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-• A son or daughter of your brother or sister. dependent, you can still claim that person as a litical subdivision of a state or territory, the A son or daughter of your half brother or • Your stepfather or stepmother. you otherwise qualify to claim that person as a zations or by a state, a U.S. territory, a po-
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-• dependent. United States, or the District of Columbia.
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-• A brother or sister of your father or mother. Example. Your parent, who met the tests to same meaning here as under Qualifying Child, Your son-in-law, daughter-in-law, fa-• Permanently and totally disabled has the half sister.
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-ther-in-law, mother-in-law, brother-in-law, earlier. be your qualifying relative, died on January 15.
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-You can claim your parent as a dependent on
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-or sister-in-law. your return.
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-Any of these relationships that were established Support Test (To Be a Qualifying
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-by marriage aren’t ended by death or divorce. Local law violated. A person doesn’t meet Relative)
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-this test if at any time during the year the rela-
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-Example. In 2019, you and your spouse tionship between you and that person violates To meet this test, you must generally provide
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-began supporting your spouse’s unmarried pa- local law. more than half of a person’s total support during
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-this test, even if Gene doesn’t live with you. You However, if two or more persons provide However, your relationship violated the laws of can claim Gene as a dependent if all other tests support, but no one person provides more than the state where you live because your signifi- are met, including the gross income and sup- half of a person’s total support, see Multiple cant other was married to someone else. There- Support Agreement your spouse’s death, Gene continues to meet Example. Your significant other lived with you as a member of your household all year. rent, Gene. Your spouse died in 2024. Despite the calendar year.
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-port tests. , later. fore, your significant other doesn’t meet this test
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-Foster child. A foster child is an individual and you can’t claim them as a dependent. How to determine if support test is met.
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-who is placed with you by an authorized place- You figure whether you have provided more
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-ment agency or by judgment, decree, or other Adopted child. An adopted child is always than half of a person’s total support by compar-order of any court of competent jurisdiction. treated as your own child. The term “adopted ing the amount you contributed to that person’s
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-child” includes a child who was lawfully placed support with the entire amount of support that
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-Joint return. If you file a joint return, the per- with you for legal adoption. person received from all sources. This includes son can be related to either you or your spouse. support the person provided from the person’s
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-Also, the person doesn’t need to be related to Cousin. Your cousin must live with you all year own funds.
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-the spouse who provides support. as a member of your household to meet this You may find Worksheet 2 helpful in figuring
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-For example, you provide more than half the test. whether you provided more than half of a per-
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-support of your spouse’s stepparent. Your spou- son’s support. se’s stepparent may be your qualifying relative Gross Income Test even if the stepparent doesn’t live with you. Person’s own funds not used for support. A
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-However, if you and your spouse file separate To meet this test, a person’s gross income for person’s own funds aren’t support unless they returns, your spouse’s stepparent can be your the year must be less than $5,200. are actually spent for support. Publication 501 (2025) 19
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-Example. Your parent received $2,400 in support. You can’t claim them as a dependent the parent’s medical and drug expenses of
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-social security benefits and $300 in interest, because you provide less than half of their sup- $1,200. The fair rental value of the lodging pro-paid $2,000 for lodging and $400 for recreation, port. vided for the parent is $1,800 a year, based on and put $300 in a savings account. the cost of similar rooming facilities. Figure the Even though your parent received a total of Social security benefits. If spouses each
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-$2,400 ($2,000 + $400) for your parent’s own made out to both of them, half of the total paid Fair rental value of lodging . . . . . . . . . . . . $ 1,800 is considered to be for the support of each support. If you spent more than $2,400 for your spouse, unless they can show otherwise. Clothing, transportation, and parent’s support and no other support was re-$2,700 ($2,400 + $300), your parent spent only receive benefits that are paid by one check parent’s total support as follows.
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-ceived, you have provided more than half of If a child receives social security benefits recreation . . . . . . . . . . . . . . . . . . . . . . . 2,400 and uses them toward their own support, the your parent’s support. Medical expenses . . . . . . . . . . . . . . . . . 1,200 benefits are considered as provided by the Share of food (1/5 of $5,200) . . . . . . . . . . 1,040 child. Child’s wages used for own support. You
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-can’t include in your contribution to your child’s Total support . . . . . . . . . . . . . . . $6,440 Support provided by the state (welfare, support any support paid for by the child with food benefits, housing, etc.). Benefits provi-the child’s own wages, even if you paid the wa-The support the married couple provides ded by the state to a needy person are gener-ges. ($1,800 lodging + $1,200 medical expenses + ally considered support provided by the state. $1,040 food = $4,040) is more than half of the However, payments based on the needs of the Year support is provided. The year you pro-parent’s $6,440 total support. recipient won’t be considered as used entirely vide the support is the year you pay for it, even if for that person’s support if it is shown that part you do so with borrowed money that you repay Example 2. Your parents, Aubrey and Bai-of the payments weren’t used for that purpose. ley, live with you, your spouse, and your two in a later year. children in a house you own. The fair rental If you use a fiscal year to report your income, TANF and other governmental pay-ments. Under proposed Treasury regulations, you must provide more than half of the depend-value of your parents’ share of the lodging is if you received TANF payments or other similar ent’s support for the calendar year in which your $2,000 a year ($1,000 each), which includes furnishings and utilities. Aubrey receives a non-fiscal year begins. payments and used the payments to support another person, those payments are considered taxable pension of $4,200, which Aubrey spends equally between Aubrey and Bailey for Armed Forces dependency allotments. The support you provided for that person, rather than support provided by the government or part of the allotment contributed by the govern-items of support such as clothing, transporta-tion, and recreation. Your total food expense for ment and the part taken out of your military pay other third party. the household is $6,000. Your heat and utility are both considered provided by you in figuring Foster care. Payments you receive for the sup-whether you provide more than half of the sup-bills amount to $1,200. Bailey has hospital and port of a foster child from a child placement port. If your allotment is used to support per-medical expenses of $600, which you pay dur-agency are considered support provided by the sons other than those you name, you can claim ing the year. Figure your parents’ total support agency. See them as dependents if they otherwise qualify. Foster care payments and expen-as follows. ses , earlier.
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-authorize an allotment for your surviving parent Home for the aged. If you make a lump-sum Fair rental value of lodging . . . . $1,000 $1,000 that your surviving parent uses to support them-Example. You are in the Armed Forces. You Support provided Aubrey Bailey advance payment to a home for the aged to
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-selves and their sibling. If the allotment provides take care of your relative for life and the pay- Pension spent for their more than half of each person’s support, you ment is based on that person’s life expectancy, support . . . . . . . . . . . . . . . . . 2,100 2,100 can claim each of them as a dependent, if they the amount of support you provide each year is Share of food (1/6 of
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-allotment only for your surviving parent. life expectancy. The amount of support you pro- Medical expenses for Bailey . . . 600 vide also includes any other amounts you provi-Tax-exempt military quarters allowan-otherwise qualify, even though you authorize the the lump-sum payment divided by the relative’s $6,000) . . . . . . . . . . . . . . . . . 1,000 1,000
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-ded during the year. Parents’ total support . . . . $4,100 $4,700
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-ces. These allowances are treated the same
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-way as dependency allotments in figuring sup- You must apply the support test separately Total Support port. The allotment of pay and the tax-exempt to each parent. You provide $2,000 ($1,000 basic allowance for quarters are both consid- lodging + $1,000 food) of Aubrey’s total support To figure if you provided more than half of a per- ered as provided by you for support. of $4,100—less than half. You provide $2,600 to son’s support, you must first determine the total Bailey ($1,000 lodging + $1,000 food + $600 support provided for that person. Total support Tax-exempt income. In figuring a person’s to- medical)—more than half of Bailey’s support of includes amounts spent to provide food, lodg- tal support, include tax-exempt income, sav- $4,700. You meet the support test for Bailey, but ing, clothing, education, medical and dental ings, and borrowed amounts used to support not for Aubrey. Heat and utility costs are inclu- care, recreation, transportation, and similar ne- that person. Tax-exempt income includes cer- ded in the fair rental value of the lodging, so cessities. tain social security benefits, welfare benefits, these aren’t considered separately. nontaxable life insurance proceeds, Armed Generally, the amount of an item of support Forces family allotments, nontaxable pensions, Lodging. If you provide a person with lodging, and tax-exempt interest. is the amount of the expense incurred in provid- you are considered to provide support equal to ing that item. For lodging, the amount of support the fair rental value of the room, apartment, Example 1. You provide $4,000 toward is the fair rental value of the lodging. house, or other shelter in which the person your parent’s support during the year. Your pa- lives. Fair rental value includes a reasonable al- rent has earned income of $600, nontaxable so- Expenses not directly related to any one lowance for the use of furniture and appliances, cial security benefits of $4,800, and tax-exempt member of a household, such as the cost of and for heat and other utilities that are provided. interest of $200, all of which your parent uses food for the household, must be divided among for self-support. You can’t claim your parent as the members of the household. Fair rental value defined. Fair rental value a dependent because the $4,000 you provide is the amount you could reasonably expect to isn’t more than half of the total support of Example 1. A married couple lives with receive from a stranger for the same kind of $9,600 ($4,000 + $600 + $4,800 + $200). their two children and one of their parents. Their lodging. It is used instead of actual expenses parent gets social security benefits of $2,400, such as taxes, interest, depreciation, paint, in- Example 2. Your sibling takes out a student which the parent spends for clothing, transpor- surance, utilities, and the cost of furniture and loan of $2,500 and uses it to pay college tuition. tation, and recreation. The parent has no other appliances. In some cases, fair rental value may Your sibling is personally responsible for the income. The married couple’s total food ex- be equal to the rent paid. loan. You provide $2,000 toward their total pense for the household is $5,200. They pay
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-20 Publication 501 (2025)
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-If you provide the total lodging, the amount However, you can include in your child’s support Multiple Support Agreement
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-of support you provide is the fair rental value of your out-of-pocket expenses of operating the the room the person uses, or a share of the fair car for your child’s benefit. Sometimes no one provides more than half of rental value of the entire dwelling if the person the support of a person. Instead, two or more
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-has use of your entire home. If you don’t provide Example 4. Your 17-year-old child, using persons, each of whom would be able to claim the total lodging, the total fair rental value must personal funds, buys a car for $4,500. You pro- the person as a dependent but for the support be divided depending on how much of the total vide the rest of your child’s support—$4,000. test, together provide more than half of the per-lodging you provide. If you provide only a part Because the car is bought and owned by your son’s support. and the person supplies the rest, the fair rental child, the car’s fair market value ($4,500) must value must be divided between both of you ac- be included in your child’s support. Your child When this happens, you can agree that any cording to the amount each provides. has provided more than half of their own total one of you who individually provides more than
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-support of $8,500 ($4,500 + $4,000), so this 10% of the person’s support, but only one, can
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-Example. Your parents live rent free in a child isn’t your qualifying child. You didn’t pro- claim that person as a dependent. Each of the
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-house you own. It has a fair rental value of vide more than half of the child’s total support, others must sign a statement agreeing not to $5,400 a year furnished, which includes a fair so the child isn’t your qualifying relative. You claim the person as a dependent for that year. rental value of $3,600 for the house and $1,800 can’t claim this child as a dependent. The person who claims the person as a de-for the furniture. This doesn’t include heat and pendent must keep these signed statements for
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-utilities. The house is completely furnished with Medical insurance premiums. Medical insur- their own records. A multiple support declara-furniture belonging to your parents. You pay ance premiums you pay, including premiums for tion identifying each of the others who agreed $600 for their utility bills. Utilities aren’t usually supplementary Medicare coverage, are inclu- not to claim the person as a dependent must be
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-($3,600 + $600). Tuition payments and allowances under the der a multiple support agreement for someone related to you or for someone who lived with GI Bill. Amounts veterans receive under the GI you all year as a member of your household. Person living in their own home. The to- Bill for tuition payments and allowances while they attend school are included in total support. tal fair rental value of a person’s home that the Example 1. You, and your siblings, Sam, person owns is considered support contributed Bobbi, and Dani, provide the entire support of by that person. Example. During the year, your child re- your parent for the year. You provide 45%, Sam ceives $2,200 from the government under the Living with someone rent free. If you live provides 35%, and Bobbi and Dani each pro- GI Bill. Your child uses this amount for their edu- with a person rent free in that person’s home, vide 10%. Either you or Sam can claim your pa- cation. You provide the rest of your child’s sup- you must reduce the amount you provide for rent as a dependent; the one who doesn’t must port—$2,000. Because GI benefits are included support of that person by the fair rental value of sign a statement agreeing not to claim your pa- in total support, your child’s total support is lodging the person provides you. rent as a dependent. The one who claims your $4,200 ($2,200 + $2,000). You haven’t provided parent as a dependent must attach Form 2120, ($3,600 fair rental value of the unfurnished surance benefits, including basic and supple- Support Declaration, can be used for this pur- pose. mentary Medicare benefits, aren’t part of sup- house + $1,800 allowance for the furnishings port. provided by your parents + $600 cost of utilities) You can claim someone as a dependent un- of which you are considered to provide $4,200 your parents live. Therefore, you consider the person as a dependent. Form 2120, Multiple Medical insurance benefits. Medical in- total fair rental value of the lodging to be $6,000 included in rent for houses in the area where ded in the support you provide. attached to the return of the person claiming the
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-more than half of your child’s support.
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-Property. Property provided as support is or a similar declaration, to their return and must
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-measured by its fair market value. Fair market keep the statement signed by the other for their Childcare expenses. If you pay someone to
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-value is the price that property would sell for on records. Because neither Bobbi nor Dani pro- provide child or dependent care, you can in-
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-the open market. It is the price that would be vides more than 10% of the support, neither can clude these payments in the amount you provi-
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-agreed upon between a willing buyer and a will- claim your parent as a dependent and neither ded for the support of your child or disabled de-
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-ing seller, with neither being required to act, and has to sign a statement. pendent, even if you claim a credit for the
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-furniture, appliances, and cars, bought for a per-Capital expenses. Capital items, such as The remaining 60% of your parent’s support is Other support items. Other items may be provided equally by two persons who are unre- considered as support depending on the facts son during the year can be included in total sup- lated. Your parent doesn’t live with them. Be- in each case. port under certain circumstances. cause more than half of your parent’s support is The following examples show when a capital provided by persons who can’t claim your pa- item is or isn’t support. vant facts. Example 2. You and your sibling each pro- Pub. 503. vide 20% of your parent’s support for the year. both having reasonable knowledge of the rele- payments. For information on the credit, see
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-Don’t Include in Total Support rent as a dependent, no one can claim your pa-
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-mower for your 13-year-old child. The child is port. Example 3. Your parent lives with you and given the duty of keeping the lawn trimmed. Be-1. Federal, state, and local income taxes receives 25% of their support from social secur-cause the lawn mower benefits all members of Example 1. You buy a $200 power lawn The following items aren’t included in total sup- rent as a dependent.
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-lawn mower in the support of your child. claim your parent as a dependent if the other by persons from their own income. signs a statement agreeing not to. The one who Example 2. You buy a $150 television set 3. Life insurance premiums. claims your parent as a dependent must attach as a birthday present for your 12-year-old child. the household, don’t include the cost of the from a friend. Either you or the relative can 2. Social security and Medicare taxes paid paid by persons from their own income. ity, 40% from you, 24% from a relative, and 11%
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-The television set is placed in your child’s bed- 4. Funeral expenses. rent’s return and must keep for your parent’s re-Form 2120, or a similar declaration, to your pa-room. You can include the cost of the television 5. Scholarships received by your child if your cords the signed statement from the one agree-set in the support of your child. child is a student. ing not to claim your parent as a dependent.
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-Example 3. You pay $5,000 for a car and 6. Survivors’ and Dependents’ Educational Support Test for Children of
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-17-year-old child use the car equally. Because register it in your name. You and your Assistance payments used for the support Divorced or Separated Parents (or of the child who receives them. you own the car and don’t give it to your child Parents Who Live Apart) but merely let your child use it, don’t include the
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-cost of the car in your child’s total support. In most cases, a child of divorced or separated
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-parents (or parents who live apart) will be a
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-Publication 501 (2025) 21
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-qualifying child of one of the parents. See Chil- A child is treated as living with a parent for a 2. The custodial parent won’t claim the child
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-rents who live apart) under Qualifying Child, • At that parent’s home, whether or not the 3. The years for which the noncustodial pa-dren of divorced or separated parents (or pa- night if the child sleeps: as a dependent for the year.
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-earlier. However, if the child doesn’t meet the parent is present; or rent, rather than the custodial parent, can requirements to be a qualifying child of either • In the company of the parent, when the claim the child as a dependent. parent, the child may be a qualifying relative of child doesn’t sleep at a parent’s home (for one of the parents. In that case, the following example, the parent and child are on vaca- The noncustodial parent must attach all of rules must be used in applying the support test. tion together). the following pages of the decree or agreement
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-to be a qualifying child of either parent will be A child who doesn’t meet the requirements Equal number of nights. If the child lived to their tax return. • The cover page (write the other parent’s with each parent for an equal number of nights SSN on this page). during the year, the custodial parent is the pa-treated as the qualifying relative of the child’s • The pages that include all of the informa-rent with the higher AGI. noncustodial parent if all four of the following tion identified in items (1) through (3) above. statements are true. December 31. The night of December 31 is • treated as part of the year in which it begins. For The signature page with the other parent’s signature and the date of the agreement. example, the night of December 31, 2025, is 1. The parents: treated as part of 2025. Post-2008 divorce decree or separation a. Are divorced or legally separated un-Emancipated child. If a child is emancipa-der a decree of divorce or separate agreement. The noncustodial parent can’t at-ted under state law, the child is not under the maintenance; tach pages from the decree or agreement to the custody of either parent and time lived with a tax return instead of Form 8332 if the decree or b. Are separated under a written separa-parent after emancipation does not count for agreement went into effect after 2008. The cus-tion agreement; or purposes of determining who is the custodial todial parent must sign either Form 8332 or a similar statement the only purpose of which is to c. Lived apart at all times during the last parent. release the custodial parent’s claim to an ex-6 months of the year, whether or not Absences. If a child wasn’t with either pa-emption, and the noncustodial parent must at-they are or were married. rent on a particular night (because, for example, tach a copy to their return. The form or state-2. The child received over half of the child’s the child was staying at a friend’s house), the ment must release the custodial parent’s claim support for the year from the parents (and child is treated as living with the parent with to the child without any conditions. For example, the rules on multiple support agreements, whom the child normally would have lived for the release must not depend on the noncusto-explained earlier, don’t apply). that night. But if it can’t be determined with dial parent paying support. which parent the child normally would have 3. The child is in the custody of one or both The noncustodial parent must attach lived or if the child wouldn’t have lived with ei-parents for more than half of the year. ! the required information even if it was ther parent that night, the child is treated as not filed with a return in an earlier year. CAUTION 4. Either of the following statements is true. living with either parent that night.
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-a. The custodial parent signs a written Parent works at night. If, due to a parent’s Revocation of release of claim to an ex-
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-declaration, discussed later, that they nighttime work schedule, a child lives for a emption. The custodial parent can revoke a re-won’t claim the child as a dependent greater number of days, but not nights, with the lease of claim to an exemption that they previ-for the year, and the noncustodial pa- parent who works at night, that parent is treated ously released to the noncustodial parent. For rent attaches this written declaration as the custodial parent. On a school day, the the revocation to be effective for 2025, the cus-to their return. (If the decree or agree- child is treated as living at the primary resi- todial parent must have given (or made reason-ment went into effect after 1984 and dence registered with the school. able efforts to give) written notice of the revoca-
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-before 2009, see Post-1984 and tion to the noncustodial parent in 2024 or
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-pre-2009 divorce decree or separa- Written declaration. The custodial parent earlier. The custodial parent can use Part III of
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-tion agreement, later. If the decree or must use either Form 8332 or a similar state- Form 8332 for this purpose and must attach a agreement went into effect after 2008, ment (containing the same information required copy of the revocation to their return for each
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-see Post-2008 divorce decree or sep- by the form) to make the written declaration to tax year the custodial parent claims the child as
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-b. A pre-1985 decree of divorce or sepa- the noncustodial parent. Although the exemp-tion amount is zero for tax year 2025, this re-aration agreement, later.) release a claim to an exemption for a child to a dependent as a result of the revocation. rate maintenance or written separa- Remarried parent. If you remarry, the support lease allows the noncustodial parent to claim provided by your new spouse is treated as pro- tion agreement that applies to 2025 the child tax credit, credit for other dependents, vided by you. states that the noncustodial parent or additional child tax credit, if applicable, can claim the child as a dependent,
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-the decree or agreement wasn’t based on the child being a qualifying child. The Child support under pre-1985 agreement.
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-changed after 1984 to say the non- noncustodial parent must attach a copy of the All child support payments actually received
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-custodial parent can’t claim the child form or statement to their tax return. from the noncustodial parent under a pre-1985
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-as a dependent, and the noncustodial The release can be for 1 year, for a number agreement are considered used for the support of specified years (for example, alternate of the child. parent provides at least $600 for the years), or for all future years, as specified in the child’s support during the year. declaration. Example. Under a pre-1985 agreement,
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-Custodial parent and noncustodial parent. the noncustodial parent provides $1,200 for the Post-1984 and pre-2009 divorce decree child’s support. This amount is considered sup- The custodial parent is the parent with whom or separation agreement. If the divorce de- port provided by the noncustodial parent even if the child lived for the greater number of nights cree or separation agreement went into effect the $1,200 was actually spent on things other during the year. The other parent is the noncus- after 1984 and before 2009, the noncustodial than support. todial parent. The term “parent” means a biolog- parent may be able to attach certain pages from ical or adoptive parent of an individual. It the decree or agreement instead of Form 8332. Alimony. Payments to a spouse that are ali- doesn’t include a stepparent or foster parent un- The decree or agreement must state all three of mony or separate maintenance payments, or less that person has adopted the individual. the following. similar payments from an estate or trust, aren’t If the parents divorced or separated during treated as a payment for the support of a de- 1. The noncustodial parent can claim the the year and the child lived with both parents pendent. child as a dependent without regard to any before the separation, the custodial parent is condition, such as payment of support. the one with whom the child lived for the greater Parents who never married. This special rule number of nights during the rest of the year. for divorced or separated parents also applies
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-22 Publication 501 (2025)
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-to parents who never married and lived apart at considered 65 on the day before your 65th birth-
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-all times during the last 6 months of the year. day. Therefore, you can take a higher standard Standard Deduction
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-deduction for 2025 if you were born before Jan-
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-Multiple support agreement. If the support of uary 2, 1961. the child is determined under a multiple support Most taxpayers have a choice of either taking a
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-agreement, this special support test for di- standard deduction or itemizing their deduc- Use Table 7 to figure the standard deduction vorced or separated parents (or parents who tions. If you have a choice, you can use the amount. live apart) doesn’t apply. method that gives you the lower tax.
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-You must show the SSN of any dependent you itemize actual deductions, such as medical ex- of death. Even if the taxpayer was born before penses, charitable contributions, and taxes, on January 2, 1961, the taxpayer isn’t considered Schedule A (Form 1040). The standard deduc- 65 or older at the end of 2025 unless the tax- tion is higher for taxpayers who: list in the Dependents section of your Form payer was 65 or older at the time of death. • Are 65 or older, or 1040 or 1040-SR. A person is considered to reach age 65 on • Are blind. the day before the person’s 65th birthday. If you don’t show the dependent’s SSN You benefit from the standard deduc- Social Security Numbers that reduces your taxable income. It is a benefit the taxpayer to be 65 or older at the end of 2025 that eliminates the need for many taxpayers to only if the taxpayer was 65 or older at the time (SSNs) for Dependents The standard deduction is a dollar amount turn for someone who died in 2025, consider Death of taxpayer. If you are preparing a re-
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-disallowed. CAUTION ! when required or if you show an incor- TIP tion if your standard deduction is more rect SSN, certain tax benefits may be Higher Standard Deduction for than the total of your allowable itemized Blindness deductions.
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-No SSN. If a person whom you expect to claim If you are blind on the last day of the year and Persons not eligible for the standard de- you don’t itemize deductions, you are entitled to as a dependent on your return doesn’t have an duction. Your standard deduction is zero and a higher standard deduction. SSN, either you or that person should apply for you should itemize any deductions you have if: an SSN as soon as possible by filing Form Not totally blind. If you aren’t totally blind, you SS-5, Application for a Social Security Card, 1. Your filing status is married filing sepa- must get a certified statement from an eye doc- with the Social Security Administration (SSA). rately, and your spouse itemizes deduc- tor (ophthalmologist or optometrist) stating that: You can get Form SS-5 online at SSA.gov/ tions on their return; forms/ss-5.pdf or at your local SSA office. 1. You can’t see better than 20/200 in the 2. You are filing a tax return for a short tax It usually takes about 2 weeks to get an SSN better eye with glasses or contact lenses, year because of a change in your annual once the SSA has all the information it needs. If or accounting period; or you don’t have a required SSN by the filing due 2. Your field of vision is 20 degrees or less. date, you can file Form 4868, Application for 3. You are a nonresident or dual-status alien Automatic Extension of Time To File U.S. Indi- during the year. You are considered a If your eye condition isn’t likely to improve vidual Income Tax Return, for an extension of dual-status alien if you were both a non- beyond these limits, the statement should in-
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-time to file. resident and resident alien during the year. clude this fact. Keep the statement in your re-
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-born and died in 2025, and you don’t have an a U.S. citizen or resident alien at the end of the limits only by contact lenses that you can wear SSN for the child, you may attach a copy of the year, you can choose to be treated as a U.S. only briefly because of pain, infection, or ulcers, child’s birth certificate, death certificate, or hos-resident (see Pub. 519). If you make this choice, you can take the higher standard deduction for Born and died in 2025. If your child was If you are a nonresident alien who is married to If your vision can be corrected beyond these cords.
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-pital records instead. The document must show you can take the standard deduction. blindness if you otherwise qualify. the child was born alive. If you do this, enter If you can be claimed as a dependent “DIED” in row (3) of the Dependents section of on another person’s return (such as your Form 1040 or 1040-SR. ! Spouse 65 or Older or Blind your parents’ return), your standard de-CAUTION
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-Alien or adoptee with no SSN. If your de- duction may be limited. See Standard Deduc- You can take the higher standard deduction if tion for Dependents , later. your spouse is age 65 or older or blind and: pendent doesn’t have and can’t get an SSN,
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-you must show the ITIN or adoption taxpayer 1. You file a joint return, or identification number (ATIN) instead of an SSN. Standard Deduction Amount
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-2. You file a separate return and your spouse
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-Taxpayer identification numbers for ali- had no gross income and can’t be claimed
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-ens. If your dependent is a resident or nonresi- The standard deduction amount depends on as a dependent by another taxpayer. dent alien who doesn’t have and isn’t eligible to your filing status, whether you are 65 or older or get an SSN, your dependent must apply for an blind, and whether another taxpayer can claim Death of spouse. If your spouse died in 2025 ITIN. For details on how to apply, see Form you as a dependent. Generally, the standard before reaching age 65, you can’t take a higher W-7, Application for IRS Individual Taxpayer deduction amounts are adjusted each year for standard deduction because of your spouse. Identification Number. inflation. The standard deduction amounts for Even if your spouse was born before January 2,
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-Taxpayer identification numbers for most people are shown in Table 6. 1961, your spouse isn’t considered 65 or older
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-adoptees. If you have a child who was placed at the end of 2025 unless your spouse was 65 Decedent’s final return. The standard deduc- or older at the time of death. with you by an authorized placement agency, tion for a decedent’s final tax return is the same A person is considered to reach age 65 on you may be able to claim the child as a depend- as it would have been had the decedent contin- the day before the person’s 65th birthday. ent. However, if you can’t get an SSN or an ITIN ued to live. However, if the decedent wasn’t 65 for the child, you must get an ATIN for the child or older at the time of death, the higher stand- Example. Your spouse was born on Febru- from the IRS. See Form W-7A, Application for ard deduction for age can’t be claimed. ary 14, 1960, and died on February 13, 2025. Taxpayer Identification Number for Pending U.S. Your spouse is considered age 65 at the time of Adoptions, for details. Higher Standard Deduction for death. However, if your spouse died on Febru- Age (65 or Older) ary 12, 2025, your spouse isn’t considered age 65 at the time of death and isn’t 65 or older at
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-If you are age 65 or older on the last day of the the end of 2025. year and don’t itemize deductions, you are enti-
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-tled to a higher standard deduction. You are
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-Publication 501 (2025) 23
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-You can’t claim the higher standard de- $1,350) on line 5, and $15,750 on line 6. Your 1. Don’t qualify for the standard deduction,
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-CAUTION ! duction for an individual other than standard deduction, on line 7a, is $1,350 (the 2. Had large uninsured medical and dental yourself and your spouse. smaller of $1,350 and $15,750). expenses during the year,
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-Examples Example 2. You are a 22-year-old college 3. Paid interest and taxes on your home,
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-your parents’ 2025 tax return. You are married 4. Had large uninsured casualty or theft los- student and can be claimed as a dependent on
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-The following examples illustrate how to deter- ses, filing a separate return. Your spouse doesn’t
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-mine your standard deduction using Table 6 and itemize deductions. You have $1,500 in interest 5. Made large contributions to qualified chari-
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-Table 7. income and wages of $3,800 and no itemized ties, or
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-Example 1. A married couple is filing a joint 6. Have total itemized deductions that are deductions. You find your standard deduction
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-return for 2025. Both are under age 65. Neither more than the standard deduction to which by using Table 8. You enter earned income of
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-is blind, and neither can be claimed as a de- you are otherwise entitled. $3,800 on line 1. You add lines 1 and 2 and en-
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-ductions. They use Table 6. Their standard de- are married filing a separate return, you enter complete Schedule A (Form 1040) and attach it duction is $31,500. $15,750 on line 6. On line 7a, you enter $4,250 to your Form 1040 or 1040-SR. Enter the as the standard deduction amount because it is amount from Schedule A (Form 1040), line 17, pendent. They decide not to itemize their de- $4,250, the larger of lines 3 and 4. Because you If you decide to itemize your deductions, ter $4,250 on line 3. On line 5, you enter Example 1, except that one of the spouses is Example 2. The facts are the same as in smaller than $15,750, the amount on line 6. on Form 1040 or 1040-SR, line 12e.
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-blind at the end of 2025. They use Table 7. Example 3. You are single and can be Electing to itemize for state tax or other Their standard deduction is $33,100. claimed as a dependent on your parents’ 2025 purposes. Even if your itemized deductions tax return. You are 18 years old and blind, and are less than your standard deduction, you can Example 3. A married couple is filing a joint have interest income of $1,300, wages of elect to itemize deductions on your federal re-return for 2025. Both are over age 65. Neither is $2,900, and no itemized deductions. You use turn rather than take the standard deduction. blind, and neither can be claimed as a depend-Table 8 to find the standard deduction amount. You may want to do this if, for example, the tax ent. If they don’t itemize deductions, they use You enter wages of $2,900 on line 1 and add benefit of itemizing your deductions on your Table 7 . Their standard deduction is $34,700. lines 1 and 2 and enter $3,350 on line 3. On state tax return is greater than the tax benefit line 5, you enter $3,350, the larger of lines 3 you lose on your federal return by not taking the Standard Deduction for and 4. Because you are single, you enter standard deduction. To make this election, you Dependents $15,750 on line 6 and $3,350 on line 7a. This is must check the box on line 18 of Schedule A the smaller of the amounts on lines 5 and 6. Be-(Form 1040). cause you checked one box in the top part of The standard deduction for an individual who the worksheet, you enter $2,000 on line 7b, then Changing your mind. If you don’t itemize your can be claimed as a dependent on another per-add the amounts on lines 7a and 7b and enter deductions and later find that you should have son’s tax return is generally limited to the the standard deduction amount of $5,350 on itemized—or if you itemize your deductions and greater of: line 7c. later find you shouldn’t have—you can change 1. $1,350, or your return by filing Form 1040-X. Example 4. You are 18 years old and single 2. The individual’s earned income for the and can be claimed as a dependent on your pa-Married persons who filed separate re-year plus $450 (but not more than the reg-turns. You can change methods of taking de-rents’ 2025 tax return. You have wages of ular standard deduction amount, generally $7,000, interest income of $500, a business ductions only if you and your spouse both make $15,750). loss of $3,000, and no itemized deductions. You the same changes. Both of you must file a con-sent to assessment for any additional tax either use Table 8 to figure the standard deduction However, if the individual is 65 or older or blind, one may owe as a result of the change. the standard deduction may be higher. amount. You enter $4,000 ($7,000 − $3,000) on line 1, add lines 1 and 2, and enter $4,450 on You and your spouse can use the method If you (or your spouse if filing jointly) can be line 3. On line 5, you enter $4,450, the larger of that gives you the lower total tax, even though claimed as a dependent on someone else’s re-lines 3 and 4, and, because you are single, one of you may pay more tax than you would turn, use Table 8 to determine your standard de-have paid by using the other method. You both $15,750 on line 6. On line 7a, you enter $4,450 duction. as the standard deduction amount because it is must use the same method of claiming deduc-tions. If one itemizes deductions, the other smaller than $15,750, the amount on line 6. Earned income defined. Earned income should itemize because the other spouse won’t is salaries, wages, tips, professional fees, and qualify for the standard deduction. See Persons other amounts received as pay for work you ac-Who Should Itemize not eligible for the standard deduction , earlier. tually perform.
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-For purposes of the standard deduction, You should itemize deductions if your total de- 2025 Standard
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-earned income also includes any part of a taxa- ductions are more than the standard deduction
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-ble scholarship or fellowship grant. See chap- amount. Also, you should itemize if you don’t Deduction Tables ter 1 of Pub. 970 for more information on what qualify for the standard deduction, as dis-
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-qualifies as a scholarship or fellowship grant. cussed, earlier, under Persons not eligible for
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-
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-on their 2025 tax return. You have interest in- tions and compare that amount to your standard CAUTION tions, or if you are a dual-status alien, you can’t take the standard deduction even if deduction to make sure you are using the come of $780 and wages of $150. You have no you were born before January 2, 1961 or are method that gives you the greater benefit. itemized deductions and use gle. Your parents can claim you as a dependent Example 1. You are 16 years old and sin- You should first figure your itemized deduc- ! turn and your spouse itemizes deduc-the standard deduction. If you are married filing a separate re-
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-Table 8 to find blind.
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-your standard deduction. You enter $150 When to itemize. You may benefit from (earned income) on line 1, $600 ($150 + $450) itemizing your deductions on Schedule A (Form on line 3, $1,350 (the larger of $600 and 1040) if you:
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-24 Publication 501 (2025) Table 6. Standard Deduction Chart for Most People*
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-IF your filing status is... YOUR standard deduction is...
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-Single or Married filing separately $15,750
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-Married filing jointly or Qualifying surviving spouse   31,500 Head of household  23,625
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-* Don’t use this chart if you were born before January 2, 1961, or are blind, or if someone else can claim you (or your spouse if filing jointly) as a dependent.
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-Use Table 7 or Table 8 instead.
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-Table 7. Standard Deduction Chart for People Born Before January 2, 1961, or Who Are Blind*
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-Check the correct number of boxes below. Then go to the chart.
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-You: Born before January 2, 1961 Blind
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-Your spouse: Born before January 2, 1961 Blind
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-Total number of boxes you checked
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-IF your filing status is... AND the number in the box above is... THEN your standard deduction is...
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-1 $17,750
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-Single
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-2  19,750 1 $33,100
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-Married filing jointly 2  34,700
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-3  36,300 4  37,900 1 $33,100
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-Qualifying surviving spouse
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-2  34,700 1 $17,350
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-Married filing separately** 2  18,950
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-3  20,550 4  22,150 1 $25,625
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-Head of household
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-2  27,625
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-* If someone else can claim you (or your spouse if filing jointly) as a dependent, use Table 8 instead.
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-** You can check the boxes for “Your spouse” if your filing status is married filing separately and your spouse had no income, isn’t filing a return, and can’t be claimed as a
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-dependent on another person’s tax return.
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-Publication 501 (2025) 25
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-Table 8. Standard Deduction Worksheet for Dependents
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-Use this worksheet only if someone else can claim you (or your spouse if filing jointly) as a dependent.
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-Keep for Your Records
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-Check the correct number of boxes below. Then go to the worksheet.
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-You: Born before January 2, 1961 Blind Your spouse: Born before January 2, 1961 Blind
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-Total number of boxes you checked
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-1. Enter your earned income (defined below). If none, enter -0-. 1.
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-2. Additional amount. $450 2.
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-3. Add lines 1 and 2. 3.
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-4. Minimum standard deduction. $1,350 4.
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-5. Enter the larger of line 3 or line 4. 5.
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-6. Enter the amount shown below for your filing status. • Single or Married filing separately—$15,750 6. • Married filing jointly—$31,500
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-• Head of household—$23,625
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-7. Standard deduction.
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-a. Enter the smaller of line 5 or line 6. If born after January 1, 1961, and not blind, stop here. This is your
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-standard deduction. Otherwise, go on to line 7b. 7a.
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-b. If born before January 2, 1961, or blind, multiply $2,000 ($1,600 if married) by the number in the box above. 7b. c. Add lines 7a and 7b. This is your standard deduction for 2025. 7c.
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-Earned income includes wages, salaries, tips, professional fees, and other compensation received for personal services you performed. It also includes any taxable scholarship or fellowship grant.
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-To be eligible to claim the enhanced deduc- Valid SSN. You and/or your spouse must have
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-Enhanced Deduction for tion for seniors: a valid SSN to take this deduction. A valid SSN
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-Seniors • You (and/or your spouse if filing a joint re- for purposes of the enhanced deduction for se-
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-turn) must have been born before January niors is one that is valid for employment and
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-2, 1961; that is issued by the SSA before the due date of
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-
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-ble for the enhanced deduction for seniors. This ried filing jointly, the spouse who is claim- For more information, see the Instructions deduction is in addition to the higher standard ing the enhanced deduction for seniors for Form 1040. deduction for taxpayers age 65 or older dis-Taxpayers who are age 65 or older may be eligi- You must have a valid SSN. If you are mar-• your 2025 return (including extensions). must have a valid SSN; and
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-
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-cussed under Higher Standard Deduction for • If you are married, you must file a joint re-Age (65 or Older) , earlier. The maximum turn with your spouse. How To Get Tax Help amount of the deduction is $6,000 ($12,000 if
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-
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-married filing jointly and both spouses are eligi- Death of a taxpayer. Consider the taxpayer to If you have questions about a tax issue; need ble). The deduction will be limited if your modi-be 65 or older at the end of 2025 only if the tax-help preparing your tax return; or want to down-fied adjusted gross income is more than payer was 65 or older at the time of death. Even load free publications, forms, or instructions, go $75,000 ($150,000 if married filing jointly). if the taxpayer was born before January 2, to IRS.gov to find resources that can help you 1961, the taxpayer isn’t considered 65 or older Qualified individuals can claim the en-right away. at the end of 2025 unless the taxpayer was 65 TIP hanced deduction for seniors whether or older at the time of death. A person is consid-they claim the standard deduction or Tax reform. Tax reform legislation impacting ered to reach age 65 on the day before the per-itemize deductions. federal taxes, credits, and deductions was son’s 65th birthday. enacted in P.L. 119-21, commonly known as the The special rules that apply to U.S. na-One Big Beautiful Bill Act, on July 4, 2025. Go Example. Your spouse was born on Febru-! tionals: residents of Canada, Mexico, to IRS.gov/OBBB for more information and up-ary 14, 1960, and died on February 13, 2025. CAUTION and South Korea; and residents of In-dates on how this legislation affects your taxes. Your spouse is considered age 65 at the time of dia who were students or business apprentices death. However, if your spouse died on Febru-don’t apply to the enhanced deduction for se-Preparing and filing your tax return. After ary 12, 2025, your spouse isn’t considered age niors. See Pub. 519 for more information. receiving all your wage and earnings state-65 at the time of death and isn’t age 65 or older ments (Forms W-2, W-2G, 1099-R, 1099-MISC, at the end of 2025. 1099-NEC, etc.); unemployment compensation
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-statements (by mail or in a digital format) or
-
-other government payment statements (Form
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-26 Publication 501 (2025)
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-1099-G); and interest, dividend, and retirement • Youtube.com/irsvideosASL. • IRS.gov/Help : A variety of tools to help you statements from banks and investment firms get answers to some of the most common (Forms 1099), you have several options to Over-the-Phone Interpreter (OPI) Service. tax questions. choose from to prepare and file your tax return. The IRS offers the OPI Service to taxpayers • IRS.gov/ITA : The Interactive Tax Assistant, You can prepare the tax return yourself, see if needing language interpretation. The OPI Serv-a tool that will ask you questions and, you qualify for free tax preparation, or hire a tax ice is available at Taxpayer Assistance Centers based on your input, provide answers on a professional to prepare your return. (TACs), most IRS offices, and every VITA/TCE number of tax topics. tax return site. This service is available in Span-• IRS.gov/Forms : Find forms, instructions, Free options for tax preparation. Your op-ish, Mandarin, Cantonese, Korean, Vietnam-and publications. You will find details on tions for preparing and filing your return online ese, Russian, and Haitian Creole. the most recent tax changes and interac-or in your local community, if you qualify, include tive links to help you find answers to your the following. Accessibility Helpline available for taxpay-questions. ers with disabilities. Taxpayers who need in-• Free File. This program lets you prepare • You may also be able to access tax infor-and file your federal individual income tax formation about accessibility services can call mation in your e-filing software. return for free using software or Free File 833-690-0598. The Accessibility Helpline can answer questions related to current and future Fillable Forms. However, state tax prepara-accessibility products and services available in tion may not be available through Free File. Need someone to prepare your tax return? Go to IRS.gov/FreeFile to see if you qualify alternative media formats (for example, There are various types of tax return preparers, for free online federal tax preparation, e-fil-braille-ready, large print, audio, etc.). The Ac-including enrolled agents, certified public ac-ing, and direct deposit or payment options. cessibility Helpline does not have access to countants (CPAs), accountants, and many oth-your IRS account. For help with tax law, refunds, • VITA. The Volunteer Income Tax Assis-ers who don’t have professional credentials. If tance (VITA) program offers free tax help to or account-related issues, go to IRS.gov/ you choose to have someone prepare your tax people with low-to-moderate incomes, per-LetUsHelp . return, choose that preparer wisely. A paid tax sons with disabilities, and limited-Eng-preparer is: Alternative media preference. Form 9000, lish-speaking taxpayers who need help • Primarily responsible for the overall sub-Alternative Media Preference, or Form preparing their own tax returns. Go to stantive accuracy of your return, 9000(SP) allows you to elect to receive certain IRS.gov/VITA , download the free IRS2Go • Required to sign the return, and types of written correspondence in the following app, or call 800-906-9887 for information • Required to include their preparer tax iden-formats. on free tax return preparation. tification number (PTIN). • Standard Print. • TCE. The Tax Counseling for the Elderly Although the tax preparer always signs (TCE) program offers free tax help for all • Large Print. the return, you’re ultimately responsible taxpayers, particularly those who are 60 ! years of age and older. TCE volunteers CAUTION for providing all the information re-• Braille. quired for the preparer to accurately prepare specialize in answering questions about • Audio (MP3). your return and for the accuracy of every item pensions and retirement-related issues • Plain Text File (TXT). reported on the return. Anyone paid to prepare unique to seniors. Go to IRS.gov/TCE or tax returns for others should have a thorough download the free IRS2Go app for informa-• Braille-Ready File (BRF). understanding of tax matters. For more informa-tion on free tax return preparation. tion on how to choose a tax preparer, go to Tips • MilTax. Members of the U.S. Armed Disasters. Go to IRS.gov/DisasterRelief to re-for Choosing a Tax Preparer on IRS.gov. Forces and qualified veterans may use Mil-view the available disaster tax relief.
-
-Tax, a free tax service offered by the De-
-
-Source. For more information, go to IRS.gov/Forms to view, download, or print all Employers can register to use Business the forms, instructions, and publications you partment of Defense through Military One- Getting tax forms and publications. Go to
-
-MilitaryOneSource (MilitaryOneSource.mil/ Services Online. The Social Security Adminis-
-
-MilTax may need. Or you can go to IRS.gov/ ). tration (SSA) offers online service at SSA.gov/
-
-Also, the IRS offers Free Fillable Forms, OrderForms to place an order. employer for fast, free, and secure W-2 filing op-
-
-e-filed regardless of income. Mobile-friendly forms. You’ll need an IRS and individuals who process Form W-2, Wage Online Account (OLA) to complete mo- which can be completed online and then tions to CPAs, accountants, enrolled agents,
-
-Using online tools to help prepare your re- bile-friendly forms that require signatures. You’ll and Tax Statement; and Form W-2c, Corrected
-
-turn. Go to have the option to submit your form(s) online or Wage and Tax Statement.
-
-IRS.gov/Tools for the following.
-
-• download a copy for mailing. You’ll need scans The Earned Income Tax Credit Assistant Business tax account. If you are a sole pro-
-
-you’re eligible for the earned income credit Go to IRS.gov/MobileFriendlyForms for more in- poration, or a single-member limited liability formation. ( of your documents to support your submission. IRS.gov/EITCAssistant ) determines if prietor, a partnership, an S corporation, a C cor-
-
-• The Online EIN Application (IRS.gov/EIN) tion on record with the IRS and do more with a Getting tax publications and instructions in (EITC). company (LLC), you can view your tax informa-
-
-number (EIN) at no cost. eBook format. Download and view most tax BusinessAccount helps you get an employer identification business tax account. Go to IRS.gov/
-
-• publications and instructions (including the In- for more information.
-
-The Tax Withholding Estimator (IRS.gov/
-
-W4App structions for Form 1040) on mobile devices as ) makes it easier for you to estimate IRS social media. Go to IRS.gov/SocialMedia
-
-the federal income tax you want your em- eBooks at IRS.gov/eBooks. to see the various social media tools the IRS
-
-ployer to withhold from your paycheck. IRS eBooks have been tested using Apple’s uses to share the latest information on tax
-
-This is tax withholding. See how your with- iBooks for iPad. Our eBooks haven’t been tes- changes, scam alerts, initiatives, products, and
-
-holding affects your refund, take-home pay, ted on other dedicated eBook readers, and services. At the IRS, privacy and security are
-
-or tax due. eBook functionality may not operate as inten- our highest priority. We use these tools to share
-
-• The Sales Tax Deduction Calculator ded. public information with you. Don’t post your so-
-
-(IRS.gov/SalesTax) figures the amount you cial security number (SSN) or other confidential
-
-can claim if you itemize deductions on Access your online account (individual tax- information on social media sites. Always pro-
-
-Schedule A (Form 1040). payers only). Go to IRS.gov/Account to se- tect your identity when using any social net-
-
-tions. On IRS.gov, you can get The following IRS YouTube channels provide account. • Getting answers to your tax ques- working site. curely access information about your federal tax
-
-events and changes in tax law. up-to-date information on current short, informative videos on various tax-related View the amount you owe and a break- down by tax year. topics in English and ASL. • Youtube.com/irsvideos .
-
-Publication 501 (2025) 27
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-• See payment plan details or apply for a Ways to check on the status of your refund. Checking the status of your amended re-
-
-new payment plan. • Go to IRS.gov/Refunds. turn. Go to IRS.gov/WMAR to track the status
-
-• Make a payment or view 5 years of pay- • Download the official IRS2Go app to your of Form 1040-X amended returns.
-
-
-
-• ment history and any pending or sched- mobile device to check your refund status. It can take up to 3 weeks from the date uled payments. • Call the automated refund hotline at you filed your amended return for it to Access your tax records, including key 800-829-1954. ! show up in our system, and processing data from your most recent tax return, and CAUTION The IRS can’t issue refunds before it can take up to 16 weeks. transcripts. mid-February for returns that claimed • View digital copies of select notices from ! the IRS. CAUTION the EITC or the additional child tax Understanding an IRS notice or letter credit (ACTC). This applies to the entire refund, • Approve or reject authorization requests you’ve received. Go to IRS.gov/Notices to find not just the portion associated with these cred-from tax professionals. additional information about responding to an its. IRS notice or letter.
-
-Get a transcript of your return. With an on-
-
-line account, you can access a variety of infor- Making a tax payment. The IRS recommends IRS Document Upload Tool. You may be mation to help you during the filing season. You paying electronically whenever possible. Op- able to use the Document Upload Tool to re-can get a transcript, review your most recently tions to pay electronically are included in the list spond digitally to eligible IRS notices and letters filed tax return, and get your adjusted gross in- below. Payments of U.S. tax must be remitted to by securely uploading required documents on-
-
-come. Create or access your online account at the IRS in U.S. dollars. Digital assets are not line through IRS.gov. For more information, go
-
-IRS.gov/Account. accepted. Go to IRS.gov/Payments for informa- to IRS.gov/DUT.
-
-tion on how to make a payment using any of the
-
-Tax Pro Account. This tool lets your tax pro- following options. Schedule LEP. You can use Schedule LEP
-
-fessional submit an authorization request to ac- • IRS Direct Pay: Pay taxes from your bank (Form 1040), Request for Change in Language cess your individual taxpayer IRS OLA. For account. It’s free and secure, and no Preference, to state a preference to receive no-
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-more information, go to IRS.gov/ sign-in is required. You can change or can- tices, letters, or other written communications
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-TaxProAccount. cel within 2 days of scheduled payment. from the IRS in an alternative language. You
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-• Debit Card, Credit Card, or Digital Wallet: may not immediately receive written communi-
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-Using direct deposit. The safest and easiest Choose an approved payment processor cations in the requested language. The IRS’s way to receive a tax refund is to e-file and to pay online or by phone. commitment to LEP taxpayers is part of a
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-choose direct deposit, which securely and elec- • Electronic Funds Withdrawal: Schedule a multi-year timeline that began providing transla-tronically transfers your refund directly into your payment when filing your federal taxes us- tions in 2023. You will continue to receive com-financial account. Direct deposit also avoids the ing tax return preparation software or munications, including notices and letters, in possibility that your check could be lost, stolen, through a tax professional. English until they are translated to your prefer-
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-destroyed, or returned undeliverable to the IRS. • Electronic Federal Tax Payment System: red language. Eight in 10 taxpayers use direct deposit to re- This is the best option for businesses. En-ceive their refunds. If you don’t have a bank ac- rollment is required. Contacting your local TAC. Keep in mind,
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-count, go to IRS.gov/DirectDeposit for more in- • Check or Money Order: Mail your payment many questions can be answered on IRS.gov
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-formation on where to find a bank or credit without visiting a TAC. Go to IRS.gov/LetUsHelp to the address listed on the notice or in-union that can open an account online. structions. for the topics people ask about most. If you still
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-• Cash: You may be able to pay your taxes need help, TACs provide tax help when a tax is-
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-Reporting and resolving your tax-related with cash at a participating retail store. sue can’t be handled online or by phone. All
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-identity theft issues. TACs now provide service by appointment, so • Same-Day Wire : You may be able to do
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-• Tax-related identity theft happens when same-day wire from your financial institu- you’ll know in advance that you can get the
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-someone steals your personal information tion. Contact your financial institution for service you need without long wait times. Be-
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-to commit tax fraud. Your taxes can be af- availability, cost, and time frames. fore you visit, go to IRS.gov/TAC to find the fected if your SSN is used to file a fraudu- nearest TAC and to check hours, available serv-
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-
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-• technology to ensure that the electronic pay- IRS2Go app, under the Stay Connected tab, The IRS doesn’t initiate contact with tax- ments you make online, by phone, or from a lent return or to claim a refund or credit. Note: The IRS uses the latest encryption ices, and appointment options. Or, on the payers by email, text messages (including choose the Contact Us option and click on “Lo- mobile device using the IRS2Go app are safe cal Offices.” shortened links), telephone calls, or social and secure. Paying electronically is quick and ————————————————— media channels to request or verify per- easy.
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-requests for personal identification num- payer Advocate Service, an independent organ- What if I can’t pay now? Go to IRS.gov/ ization established by Congress. sonal or financial information. This includes Below is a message to you from the Tax-
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-
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-• cial accounts. tions. The Taxpayer Advocate • Apply for an online payment agreement Go to IRS.gov/IdentityTheft , the IRS Iden-( IRS.gov/OPA ) to meet your tax obligation Service (TAS) Is Here To tity Theft Central webpage, for information in monthly installments if you can’t pay tion for credit cards, banks, or other finan- Payments for more information about your op-bers (PINs), passwords, or similar informa-
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-
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-tion for taxpayers, tax professionals, and your taxes in full today. Once you complete What Is the Taxpayer Advocate the online process, you will receive imme-businesses. If your SSN has been lost or diate notification of whether your agree-on identity theft and data security protec- Help You stolen or you suspect you’re a victim of Service?
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-
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-• tax-related identity theft, you can learn ment has been approved. The Taxpayer Advocate Service (TAS) is an in-• Use the Offer in Compromise Pre-Qualifier what steps you should take. dependent organization within the Internal to see if you can settle your tax debt for Get an Identity Protection PIN (IP PIN). IP Revenue Service (IRS). TAS helps taxpayers re-less than the full amount you owe. For PINs are six-digit numbers assigned to tax-solve problems with the IRS, makes administra-more information on the Offer in Compro-payers to help prevent the misuse of their tive and legislative recommendations to prevent mise program, go to IRS.gov/OIC . SSNs on fraudulent federal income tax re-or correct the problems, and protects taxpayer turns. When you have an IP PIN, it pre-rights. We work to ensure that every taxpayer is Filing an amended return. Go to IRS.gov/ vents someone else from filing a tax return treated fairly and that you know and understand 1040X for information and updates. with your SSN. To learn more, go to your rights under the Taxpayer Bill of Rights. We IRS.gov/IPPIN . are Your Voice at the IRS.
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-
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-28 Publication 501 (2025) How Can TAS Help Me? How Do I Contact TAS? What Are My Rights as a
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-Taxpayer?
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-TAS can help you resolve problems that you TAS has offices in every state, the District of haven’t been able to resolve with the IRS on Columbia, and Puerto Rico. To find your local The Taxpayer Bill of Rights describes ten basic your own. Always try to resolve your problem advocate’s number: rights that all taxpayers have when dealing with
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-with the IRS first, but if you can’t, then come to • Go to www.TaxpayerAdvocate.IRS.gov/ the IRS. Go to www.TaxpayerAdvocate.IRS.gov/
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-TAS. Our services are free. Contact-Us, Taxpayer-Rights for more information about the
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-• TAS helps all taxpayers (and their repre- • Check your local directory, or rights, what they mean to you, and how they ap-
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-sentatives), including individuals, busi- • Call TAS toll free at 877-777-4778. ply to specific situations you may encounter
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-nesses, and exempt organizations. You with the IRS. TAS strives to protect taxpayer
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-may be eligible for TAS help if your IRS rights and ensure the IRS is administering the
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-problem is causing financial difficulty, if tax law in a fair and equitable way.
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-you’ve tried and been unable to resolve
-
-your issue with the IRS, or if you believe an
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-IRS system, process, or procedure just
-
-isn’t working as it should.
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-• To get help any time with general tax top-
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-ics, visit www.TaxpayerAdvocate.IRS.gov.
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-The site can help you with common tax is-
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-sues and situations, such as what to do if
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-you make a mistake on your return or if you
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-get a notice from the IRS.
-
-• TAS works to resolve large-scale (sys-
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-temic) problems that affect many taxpay-
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-ers. You can report systemic issues at
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-www.IRS.gov/SAMS. (Be sure not to in-
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-clude any personal identifiable informa-
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-tion.)
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-Publication 501 (2025) 29
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-To help us develop a more useful index, please let us know if you have ideas for index entries.
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-
-
-
-Index See “Comments and Suggestions” in the “Introduction” for the ways you can reach us.
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-Investment income of child under Equitable relief, Innocent Filing requirements (Table 1) 2
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-A age 18 3, 4 spouse 7 Health insurance premiums 21
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-Aliens: Standard deduction for age 65 or D Marital status, determination numbers (ITINs) 2, 23 older 23 Death: of 6 Innocent spouse relief 7 Test 13 Of child 13 Married filing jointly (See Joint Insurance premiums: returns) Of dependent 9 , 19 Life 21 Dual-status (See Dual-status Married filing separately Of spouse 3 , 6 , 19 , 23 Medical 21 taxpayers) (See Married filing Of taxpayer 3 , 23 IRAs (See Individual retirement Nonresident (See Nonresident separately) Decedents 6 , 23 arrangements (IRAs)) aliens) Unmarried persons (See Single (See also Death of spouse) Itemized deductions: Alimony 22 taxpayers) Filing requirements 3 Changing from standard to Alternative minimum tax (AMT), Food benefits 20 Deductions: itemized deduction (or vice effect on filing requirements Foreign employment, filing (Table 3) 5 Standard deduction 23 versa) 24 requirements 3 Amended returns 8 , 24 Dependent taxpayer test 11 Choosing to itemize 24 Foreign students 12 (See also Form 1040-X) Dependents 11 Married filing separately 24 Form 1040 or 1040-SR: Change from itemized to When to itemize 24 Birth of 19 Social security numbers 23 standard deduction (or vice Born and died within year 23 ITINs (Individual taxpayer Use of 7 versa) 24 identification numbers) 23 Child’s earnings 3 Form 1040-X: American citizens abroad 3 Death of 19 Change of filing status 8 Annulled marriages, filing J Earned income 3 Itemized deductions, change to status 6 Filing requirements 3 , 4 standard deduction 24 Joint return test 11 , 15 Armed forces: Married, filing joint return 11 , 15 Standard deduction, change to Joint returns 6 , 7 Combat zone, signing return for Not allowed to claim itemized deductions 24 spouse 7 Dependents on 19 dependents 11 Form 1095-A 5 Dependency allotments 20 Qualifying child 12 Form 1099-B 5 GI Bill benefits 21 K Qualifying relative 18 Form 1099-DA 5 Military quarters allotments 20 Kidnapped children 11 Social security number 23 Form 8814, parents’ election to Assistance (See Tax help) report child’s interest and Qualifying child 13 Standard deduction for 24 ATINs (Adoption taxpayer dividends 3 Qualifying relative 18 Unearned income Adopted child 11 11 , 13 , 19 I Filing status 5-11 Citizens outside U.S., filing Taxpayer identification Annulled marriages 6 requirements 3 Income: number 23 Change to: Common law marriage 6 Gross 19 Advance payment of premium tax Joint return after separate Community property states 8 Tax exempt 20 credit 5 returns 8 Cousin 19 Individual retirement Age: Separate returns after joint arrangements (IRAs): Credit, premium tax 5 Filing status determination 3 return 8 Filing requirements (Table 3) 5 Custody of child 14 Gross income and filing Determination of 3 , 5 Married filing separately 8 requirements (Table 1) 2 Head of household 6 , 8 Individual taxpayer identification Absence, temporary 13 Cost of keeping up 9 9 , 13 , 19 Fair rental value 20 Church employees, filing Household workers 11 Accounting periods, joint Figures (See Tables and figures) requirements (Table 3) 5 returns 6 Filing requirements 3-5 Citizen or resident test Abroad, citizens living, filing Kidnapped 13, 18 Home: requirements Social security number 23 F Aged, home for 20 3 Stillborn
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-B identification numbers) 3 23 Form 8857, innocent spouse Disabled: relief 7 Child 13 L Form SS-5, social security Dependent 19 number request 23 Life insurance premiums 21 Birth of child 9 Divorced parents 13 Local income taxes, itemized Form W-7, individual taxpayer Blind persons, standard Divorced taxpayers: deductions 24 identification number deduction 23 Child custody 14 request 23 Local law violated 19 Filing status 6 Form W-7A, adoption taxpayer Lodging 20 C Joint returns, responsibility for 7 identification number Losses, rental real estate 8 request 23 Canada, resident of 11 , 18 Domestic help 11 Foster care payments and Capital expenses 21 Dual-status taxpayers: M expenses 15 , 20 Child born alive 13 Joint returns not available 7 Foster child 13 , 15 , 19 , 20 Marital status, determination Child care expenses 21 of 6 Funeral expenses 21 Child custody 14 E Married dependents, filing joint Child support under pre-1985 return 11 , 15 Earned income: agreement 22 G Married filing jointly (See Joint Defined for purposes of standard Child tax credit 11 GI Bill benefits 21 returns) deduction 24 Child, qualifying 12 Gross income: Married filing separately 7 Dependent filing requirements Children: (Table 2) 4 Defined 3 Changing method from or to Adopted child (See Adoption) Filing requirements itemized deductions 24 Earned income credit: Adoption (See Adopted child) (Table 1) 2 Itemized deductions 24 Two persons with same Birth of child 9 , 11 qualifying child 15 Dependent filing requirements Married taxpayers 6 Claiming parent, when child is (Table 2) 4 (See also Joint returns) Elderly persons 26 head of household 9 Test 19 Age 65 or older spouse, standard Home for the aged 20 Custody of 14 deduction 23 Group-term life insurance 5 Standard deduction for age 65 or Death of child 9 , 11 Blind spouse, standard older 23 deduction 23 Dividends of 3 Enhanced deduction for seniors: H Dual-status alien spouse 7 Filing requirements as Standard deduction for age 65 or Head of household 8-10 dependents (Table 2) 4 Filing status 6 older 26
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-30 Publication 501 (2025)
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-Medical insurance premiums 21 Relative 18 Innocent spouse relief 7 Filing of (See Filing
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-Military (See Armed forces) 11, 18 Relative, qualifying 18 Standard deduction 1, 23, 24 Tiebreaker rules 15 Remarriage after divorce 6 Married filing jointly 6 Tips, reporting of (Table 3) 5 Missing children, photographs of Rental losses 8 State or local income taxes 24 Total support 20 in IRS publications 2 Residency test 13 Stillborn child 13 Tuition, benefits under GI Bill 21 Multiple support agreement 21 Students: S Defined 13 U N Foreign 12 Scholarships 3 , 15 , 19 , 21 , 24 U.S. citizen or resident 11 National of the United States 12 Support test: Self-employed persons: U.S. citizens filing abroad, filing Qualifying child 15 Nonresident aliens 2 Filing requirements (Table 3) 5 requirements: Dependents 23 Qualifying relative 19 Gross income 3 Filing requirements 3 Joint return Medicare taxes, not support R Who must file 1, 3, 5 21 spouse) Tax-exempt income 20 Recapture taxes 5 Member of household or SSNs (See Social security numbers Taxes, not support 21 relationship test 19 Relationship test 13 , 19 (SSNs) for dependents) Temporary absences 13, 19 Mexico, resident of Medical savings accounts Surviving spouse 10 Nonresident alien 8 requirements) (MSAs, effect on filing Joint returns (See Joint returns) Signing joint returns 7 requirements (Table 3) 5 Surviving (See Surviving
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-P Spouse 7 Surviving spouse: Separate returns (See Married U.S. national 12 8 filing separately) Death of spouse (See Death of U.S. territories, income from 3 spouse) Taxpayer identification Separated parents 13 Unmarried persons (See Single Gross income filing requirements number 23 Separated taxpayers: taxpayers) (Table 1) 2 Filing status 6 Qualifying Surviving Spouse 10 Living apart but not legally W Single filing status 6 separated 6 Parent, claiming head of Signatures, joint returns 7 Welfare benefits 20 household for 9 Single taxpayers: T What's New 1 Parents who never married 15 Filing status 6 Worksheets: Tables and figures 9 , 16 Parents, divorced or Head of household status and Gross income filing requirements (See also Worksheets) separated 13 cost of keeping up home 9 (Table 1) 2 Penalty, failure to file 3 Filing requirements: Social security and Medicare Support test 16 Photographs of missing children Dependents (Table 2) 4 taxes: in IRS publications 2 Gross income levels Reporting of (Table 3) 5 Premium tax credit 5 (Table 1) 2 Support, not included in 21 Other situations requiring Publications (See Tax help) Social security benefits 20 filing (Table 3) 5 Puerto Rico, residents of 3 Social security numbers (SSNs) Standard deduction tables 26 for dependents 23 Tax help 26 Q Spouse: Tax returns: Qualifying: Deceased 6 , 7 Amended (See Form 1040-X) Child 12 Dual-status alien spouse 7
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-Publication 501 (2025) 31
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diff --git a/Books/Tax/2025 Publication 505 - W_CAR_MP_FP.txt b/Books/Tax/2025 Publication 505 - W_CAR_MP_FP.txt
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-Tax Publication 505 Introduction The federal income tax is a pay-as-you-go tax.
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-You must pay the tax as you earn or receive in-
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-Withholding come during the year. There are two ways to
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-pay as you go.
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-
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-and Estimated • Withholding. If you are an employee, your
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-employer probably withholds income tax
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-from your pay. In addition, tax may be with-
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-
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-Tax held from certain other income, such as
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-pensions, bonuses, commissions, and
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-gambling winnings. The amount withheld is
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-paid to the IRS in your name.
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-• Estimated tax. If you don’t pay your tax
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-through withholding, or don’t pay enough
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-
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-For use in ted tax. People who are in business for 2025 tax that way, you might have to pay estima-
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-themselves will generally have to pay their
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-tax this way. You may have to pay estima-
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-ted tax if you receive income such as divi-
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-dends, interest, capital gains, rents, and
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-royalties. Estimated tax is used to pay not
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-only income tax, but other taxes such as
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-self-employment tax and alternative mini-
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-mum tax.
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-This publication explains both of these meth-
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-ods. It also explains how to take credit on your
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-return for the tax that was withheld and for your
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-estimated tax payments.
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-If you didn’t pay enough tax during the year,
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-either through withholding or by making estima-
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-ted tax payments, you may have to pay a pen-
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-alty. Generally, the IRS can figure this penalty
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-for you.
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-Nonresident aliens. Before completing
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-Form W-4, nonresident alien employees should
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-
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-see Notice 1392, Supplemental Form W-4 In-
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-structions for Nonresident Aliens (Rev. January
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-2020), which provides nonresident aliens who
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-are not exempt from withholding instructions for
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-completing Form W-4, and the Instructions for
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-Form 8233, Exemption From Withholding on
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-Compensation for Independent (and Certain
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-Dependent) Personal Services of a Nonresident
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-Alien Individual. Also, see chapter 8 of Pub.
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-519.
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-Final regulations on income tax with-
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-holding. Final regulations on income tax with-
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-holding were published in the Federal Register
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-on October 6, 2020 (at 85 FR 63019). The regu-
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-lations implement changes made by the Tax
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-Cuts and Jobs Act and reflect the redesigned
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-withholding certificate (Form W-4). See the reg-
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-ulations for detailed information on income tax
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-withholding.
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-Comments and suggestions. We welcome
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-your comments about this publication and sug-
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-gestions for future editions.
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-You can send us comments through
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-IRS.gov/FormComments. Or, you can write to the Internal Revenue Service, Tax Forms and
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-Publications, 1111 Constitution Ave. NW,
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-IR-6526, Washington, DC 20224.
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-Although we can’t respond individually to
-
-each comment received, we do appreciate your
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-Get forms and other information faster and easier at: feedback and will consider your comments and
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-• IRS.gov (English) • IRS.gov/Korean (한국어) suggestions as we revise our tax forms, instruc-
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-• IRS.gov/Spanish (Español) • IRS.gov/Russian (Pусский) tions, and publications. Don’t send tax ques-
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-• IRS.gov/Chinese (中文) • IRS.gov/Vietnamese (Tiếng Việt) tions, tax returns, or payments to the above ad-
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-dress.
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-Publication 505 (2025) Catalog Number 15008E
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-Mar 12, 2025 Department of the Treasury Internal Revenue Service www.irs.gov
-
-
-
-
-
-Getting answers to your tax questions. Advance payments of the premium tax
-
-
-
-
-If you have a tax question not answered by this credit. If you buy health insurance through the 1. publication or the How To Get Tax Help section Health Insurance Marketplace, you may be eli-at the end of this publication, go to the IRS In- gible to have advance payments of the premium
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-teractive Tax Assistant page at IRS.gov/ tax credit paid on your behalf to the insurance
-
-
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-Help/ITA where you can find topics by using the company. Receiving too little or too much in ad- Tax Withholding search feature or viewing the categories listed. vance will affect your refund or balance due.
-
-
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-lications. Go to IRS.gov/Forms to download and its instructions for more information. current and prior-year forms, instructions, and for 2025 Getting tax forms, instructions, and pub- ily size to your Marketplace. See Form 8962 Promptly report changes in your income or fam-publications. Additional Medicare Tax. Generally, a 0.9%
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-
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-Additional Medicare Tax applies to Medicare Introduction
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-Ordering tax forms, instructions, and wages, Railroad Retirement Tax Act compensa-
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-publications. Go to IRS.gov/OrderForms to or- tion, and self-employment income over der current forms, instructions, and publica- $200,000 if you are filing as single, head of This chapter discusses income tax withholding tions; call 800-829-3676 to order prior-year household, or qualifying surviving spouse; over on: forms and instructions. The IRS will process $250,000 if you are married filing jointly; and • Salaries and wages, your order for forms and publications as soon over $125,000 if you are married filing sepa- • Tips, as possible. Don’t resubmit requests you’ve al- rately. You may need to include this amount • Taxable fringe benefits, ready sent us. You can get forms and publica- when figuring your estimated tax. You may also • Sick pay, tions faster online. request that your employer deduct and withhold • Pensions and annuities,
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-
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-What's New for 2025 an additional amount of income tax withholding • Gambling winnings, from your wages on Form W-4. • Unemployment compensation, and
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-
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-Use your 2024 tax return as a guide in figuring be subject to NIIT. NIIT is a 3.8% tax on the This chapter explains in detail the rules for with-your 2025 estimated tax, but be sure to lesser of net investment income or the excess of Net Investment Income Tax (NIIT). You may • Certain federal payments. consider the following. your MAGI over $200,000 ($250,000 if married holding tax from each of these types of income.
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-The discussion of salaries and wages includes
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-Standard deduction amount increased. For filing jointly or qualifying surviving spouse; an explanation of how to complete Form W-4. 2025, the standard deduction amount has been $125,000 if married filing separately). NIIT may This chapter also covers backup withholding increased for all filers, and the amounts are as need to be included when figuring estimated on interest, dividends, and other payments. follows. tax. You may also request that your employer
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-• Single or Married Filing Sepa- deduct and withhold an additional amount of in- Useful Items rately—$15,000. come tax withholding from your wages on Form You may want to see: • Married Filing Jointly or Qualifying Surviv-W-4. ing Spouse—$30,000. Access your online account. Go to IRS.gov/ Form (and Instructions) • Head of Household—$22,500. Account to securely access information about
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-
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-come limits increased. In order to claim this • View the amount you owe and a break- W-4P W-4P Withholding Certificate for Periodic credit for 2025, your MAGI must not be more Retirement savings contribution credit in- your federal tax account. W-4 W-4 Employee's Withholding Certificate than $39,500 ($79,000 if married filing jointly; See payment plan details or apply for a • Pension or Annuity Payments down by tax year. $59,250 if head of household). new payment plan. W-4R W-4R Withholding Certificate for Adoption credit or exclusion. The maximum • Make a payment, view 5 years of payment Nonperiodic Payments and Eligible
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-
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-Reminders • View digital copies of select notices from See How To Get Tax Help at the end of this pub-lication for information about getting these pub-the IRS. Future developments. The IRS has created a • Approve or reject authorization requests lications and forms. page on IRS.gov for information about Pub. 505 from tax professionals. at IRS.gov/Pub505 . Information about any fu-• Update your address or manage your com-ture developments affecting Pub. 505 (such as munication preferences. Salaries and Wages legislation enacted after we release it) will be Photographs of missing children. The IRS is posted on that page. Income tax is withheld from the pay of most em-a proud partner with the National Center for Social security tax. Generally, each employer ployees. Your pay includes your regular pay, bo-Missing & Exploited Children® (NCMEC) . Pho-for whom you work during the tax year must $17,280. In order to claim either the credit or ex- Access your tax records, including key Withholding From Sick Pay data from your most recent tax return, your clusion, your MAGI must be less than $299,190. economic impact payment amounts, and W-4V W-4V Voluntary Withholding Request transcripts. ded adoption benefits has increased to ments. W-4S W-4S Request for Federal Income Tax • adoption credit or exclusion for employer-provi- history and any pending or scheduled pay- Rollover Distributions withhold social security tax up to the annual tographs of missing children selected by the nuses, commissions, and vacation allowances.
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-limit. The annual limit is $176,100 in 2025. Center may appear in this publication on pages It also includes reimbursements and other ex-
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-that would otherwise be blank. You can help pense allowances paid under a nonaccountable
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-Form 1040-SS filers. The Estimated Tax plan. See Supplemental Wages, later, for defini-bring these children home by looking at the
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-
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-ded on the Form 1040-ES. See Form 1040-ES (800-843-5678) if you recognize a child. If your income is low enough that you won’t and its instructions for more information. Worksheet for filers of Form 1040-SS is inclu- tions of accountable and nonaccountable plans. photographs and calling 800-THE-LOST
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-Expired individual taxpayer identification exempt from withholding. This is explained un- have to pay income tax for the year, you may be
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-number (ITIN) and renewal. If you have an der Exemption From Withholding, later. ITIN that you haven't included on a tax return in
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-the last 3 consecutive years, it may be expired You can ask your employer to withhold in-
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-and you may need to renew it. If your ITIN has come tax from noncash wages and other wages
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-expired and you don't have an SSN, you can not subject to withholding. If your employer
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-make estimated tax payments before you renew does not agree to withhold tax, or if not enough
-
-your ITIN. To renew your ITIN, and for more is withheld, you may have to pay estimated tax,
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-information, see the Instructions for Form W-7. as discussed in chapter 2.
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-2 Chapter 1 Tax Withholding for 2025 Publication 505 (2025) Military retirees. Military retirement pay is your tax return. Also, complete this step if you you or your spouse select the checkbox in treated in the same manner as regular pay for want to include an estimate of your other tax Step 2(c) (in this case, you must furnish a income tax withholding purposes, even though credits (for example, an education credit or the new Form W-4 for your first job and select it is treated as a pension or annuity for other tax foreign tax credit). the checkbox in Step 2(c)). purposes. • You or your spouse expect a raise of more
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-
-
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-Step 4. Complete this optional step to make than $10,000 in regular wages (not a bo-
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-Household workers. If you are a household other adjustments. nus) at a second or third job, and the Form worker, you can ask your employer to withhold • Other income (not from jobs). W-4, Step 2(c), checkbox is not selected income tax from your pay. A household worker • Deductions (other than the standard de- on your Forms W-4. is an employee who performs household work duction). • You no longer expect to be able to claim a in a private home, local college club, or local fra- • Any additional amounts you want to with- Child Tax Credit you took into account on a ternity or sorority chapter. hold from each check. previously furnished Form W-4.
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-
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-and your employer agrees to withhold it. If you a previously furnished Form W-4 decrease New Job don’t have enough income tax withheld, you by more than $500. • Tax is withheld only if you want it withheld • Your other credits you took into account on
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-may have to pay estimated tax, as discussed in Your deductions decrease by more than When you start a new job, you must fill out a
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-
-
-
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-chapter 2. $2,300 from the amount you took into ac- Form W-4 and give it to your employer. Your
-
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-employer should have copies of the form. If you count on a previously furnished Form W-4.
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-Farmworkers. Generally, income tax is with- • You no longer reasonably expect to claim need to change the information later, you must held from your cash wages for work on a farm exemption from withholding. fill out a new form. unless your employer both:
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-• Pays you cash wages of less than $150 Change of status resulting in withholding If you work only part of the year (for exam-
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-
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-• Has expenditures for agricultural labor to- change of status listed in the previous section, year), too much tax may be withheld. You may you don't have to furnish a new Form W-4 for during the year, and that will cover your tax liability. If you have a ple, you start working after the beginning of the
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-taling less than $2,500 during the year. be able to avoid overwithholding if your em-
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-ployer agrees to use the part-year method. See 2025 if after the change you will have enough
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-Differential wage payments. When employ- tax withheld for the remainder of 2025 to cover Part-Year Method , later, for more information.
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-ees are on leave from employment for military your income tax liability. However, if you will
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-duty, some employers make up the difference have enough tax withheld for 2025 to cover your Employee also receiving pension income. If
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-between the military pay and civilian pay. Pay- income tax liability after a change or changes in you receive pension or annuity income and be-
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-ments to an employee who is on active duty for status, but your filing status changes from Mar- gin a new job, you will need to file Form W-4
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-a period of more than 30 days will be subject to ried Filing Jointly (or Qualifying Surviving with your new employer. You should also con-
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-income tax withholding, but not subject to social Spouse) to Head of Household or to Single (or sider furnishing a new Form W-4P.
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-security or Medicare taxes. The wages and Married Filing Separately) or from Head of
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-withholding will be reported on Form W-2, Household to Single (or Married Filing Sepa- Changing Your Withholding
-
-Wage and Tax Statement. rately) during 2025, you are required to furnish
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-
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-Determining Amount of Tax During the year, changes may occur to your your employer a new Form W-4 for 2026 by De- cember 1, 2025, or, if later, 10 days after the marital status, adjustments, deductions, or date of the change in filing status, to take effect Withheld Using Form W-4 credits you expect to claim on your tax return. in 2026. When this happens, you may need to give your
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-
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-The amount of income tax your employer with- employer a new Form W-4 to change your with- Otherwise, if you want to change your with-holding. holds from your regular pay depends on three holding for any other reason, you can generally things. do that whenever you wish. See Table 1-1 for If a change in personal circumstances re-• The amount you earn in each payroll pe-examples of personal and financial changes duces the amount of withholding you are enti-riod. you should consider. tled to claim, you are required to give your em-• Your payroll period. ployer a new Form W-4 within 10 days after the • The information you give your employer on change occurs. Form W-4.
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-Form W-4 includes four steps that will give The following rules apply in determining
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-information to your employer to figure your with- whether you are required to furnish a new Form holding. Complete Steps 2 through 4 only if they W-4 to your employer. apply to you.
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-Change of status resulting in withholding
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-Step 1. Enter your personal information, in- less than your tax liability. If you have one of cluding your anticipated filing status. Your antici- the changes in the following bullet list and you pated filing status will determine the standard won't have enough tax withheld for the remain-deduction and tax rates used to figure your der of 2025 to cover your income tax liability for withholding. 2025, you are required to furnish a new Form
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-W-4 to your employer within 10 days after the
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-Step 2. Complete this step if you (1) hold more date of the change. than one job at a time, or (2) are married and • Your filing status changes from Married Fil-plan to file a joint return and your spouse also ing Jointly (or Qualifying Surviving Spouse) works. to Head of Household or Single (or Married
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-
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-most accurate if you do this on the Form W-4 for CAUTION ! complete Steps 3 through 4(b) on only rately). one Form W-4. Your withholding will be • You or your spouse start another job, and you chose to use the Multiple Jobs Work-If you or your spouse have another job, hold to Single (or Married Filing Sepa-Filing Separately) or from Head of House-the highest paying job. sheet or the Tax Withholding Estimator to
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-account for your other job in determining
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-Step 3. Complete this step if you have depend- your withholding. ents and think you may be eligible to claim the • You or your spouse start another job, and child tax credit or credit for other dependents on as a result file a new 2025 Form W-4, and
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-Publication 505 (2025) Chapter 1 Tax Withholding for 2025 3 Table 1-1. Personal and Financial When Should You Check Your Form W-4. To see if you should request an addi-
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-
-
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-Changes Withholding? tional amount be withheld, complete Work-
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-sheets 1-3 and 1-5. Complete a new Form W-4
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-Factor Examples The earlier in the year you check your withhold- if the amount on Worksheet 1-5, line 5:
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-
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-Lifestyle ing, the easier it is to get the right amount of tax 1. Is more than you want to pay with your tax Marriage withheld. return or in estimated tax payments change Divorce throughout the year, or Birth or adoption of child You should check your withholding when Purchase of a new home any of the following situations occur. 2. Would cause you to pay a penalty when Retirement you file your tax return for 2025. Filing chapter 11 bankruptcy 1. You receive a paycheck stub (statement) covering a full pay period in 2025 showing What if I have more than one job or my Wage income You or your spouse start or tax withheld based on 2025 tax rates. spouse also has a job? You are more likely to stop working, or start or stop a 2. You prepare your 2024 tax return and get need to increase your withholding if you have second job a: more than one job or if you are married filing
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-amount of a. Big refund, or Dividends Change in the Interest income jointly and your spouse also works. If this is the
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-case, you can increase your withholding for one
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-taxable Capital gains b. Balance due that is: or more of the jobs.
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-
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-ing, you can request that your employer with-income not Self-employment income You can apply the amount on Worksheet i. More than you can comfortably subject to IRA (including certain Roth 1-5, line 5, to only one job or divide it between withholding IRA) distributions pay, or the jobs any way you wish. For each job, deter-ii. Subject to a penalty. mine the extra amount that you want to apply to Change in the IRA deduction that job and divide that amount by the number amount of Student loan interest 3. There are changes in your life or financial adjustments to deduction of paydays remaining in 2025 for that job. This situation that affect your tax liability. See income Alimony expense will give you the additional amount to enter on Table 1-1 . the Form W-4 you will file for that job. You need Change in the Medical expenses 4. There are changes in the tax law that af-to give your employer a new Form W-4 for each amount of Taxes fect your tax liability. job for which you are changing your withhold-itemized Interest expense ing. deductions or Gifts to charity How Do You Check Your tax credits Dependent care expenses Example. You work in a store and earn Education credit Withholding? $46,000 a year. Your spouse works in a factory, Child tax credit earns $68,000 a year, and has 49 pay periods Earned income credit You can use the worksheets and tables in this left. In 2025, you will also have $184 in taxable publication to see if you are having the right interest and $1,000 of other taxable income. amount of tax withheld. You can also use the If you change the amount of your withhold-You expect to file a joint income tax return. You Tax Withholding Estimator at IRS.gov/W4App . If and your spouse complete Worksheets 1-3, you use the worksheets and tables in this publi-hold using the Cumulative Wage Method , later. 1-4, and 1-5. Line 5 of Worksheet 1-5 shows cation, follow these steps. that you will owe an additional $4,459 after sub-1. Fill out Worksheet 1-3 to project your total Checking Your Withholding tracting your withholding for the year. You can federal income tax liability for 2025. divide the $4,459 any way you want. You can
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-
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-After you have given your employer a Form enter an additional amount on either of your 2. Fill out Worksheet 1-5 to project your total Forms W-4, or divide it between the two of you. W-4, you can check to see whether the amount federal withholding for 2025 and compare of tax withheld from your pay is too much or too You decide to have the additional amount with- that with your projected tax liability from little. If too much or too little tax is being with- held from your spouse’s wages, so your spouse Worksheet 1-3. held, you should give your employer a new enters $91 ($4,459 ÷ 49 remaining paydays) on
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-Form W-4 to change your withholding. You can their Form W-4 in Step 4(c). If you are not having the correct amount of get a blank Form W-4 from your employer or tax withheld, line 6 of Worksheet 1-5 will show
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-
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-print the form from IRS.gov. you how to adjust the amount withheld each How Do You Decrease Your You can use the Tax Withholding Esti- payday. For ways to increase the amount of tax Withholding? withheld, see
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-TIP How Do You Increase Your With-mator at IRS.gov/W4App instead of the holding , later. worksheets in this publication or inclu- If your completed Worksheets 1-3 and 1-5 show
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-need to have your withholding increased or de- If line 5 of Worksheet 1-5 shows that you are ded with Form W-4 to determine whether you that you may have more tax withheld than your
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-creased. having more tax withheld than necessary, see projected tax liability for 2025, you may be able
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-How Do You Decrease Your Withholding, later, structions in Worksheet 1-5. to decrease your withholding by following the in-for ways to decrease the amount of tax you
-
-You should try to have your withholding have withheld each payday.
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-match your actual tax liability. If not enough tax Tax Credits is withheld, you will owe tax at the end of the Detailed instructions for completing a new
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-year and may have to pay interest and a pen- Form W-4 to adjust your withholding follow Table 1-2 shows many of the tax credits you alty. If too much tax is withheld, you will lose the Worksheet 1-5. may be able to use to decrease your withhold-
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-
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-ways check your withholding if there are per- able to claim, see the 2024 Instructions for How Do You Increase Your sonal or financial changes in your life or use of that money until you get your refund. Al- ing. For a complete list of credits you may be
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-changes in the law that might change your tax li- Withholding? Form 1040.
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-ability. See Table 1-1 for examples. You can increase your withholding by entering Step 3 of Form W-4 provides instructions for
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-
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-ment to cover federal income tax withholding on Note. You can’t give your employer a pay- an additional amount that you want withheld determining the amount of the child tax credit from each paycheck on Form W-4. and the credit for other dependents. You can also include other tax credits in Step 3 of Form salaries and wages for past pay periods or a Requesting an additional amount be with- W-4. To do so, complete Worksheet 1-6 and payment for estimated tax. held. You can request that an additional add the amount from line 11 of that worksheet
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-amount be withheld from each paycheck by en- to the amount you are entering for other de-
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-tering the additional amount in Step 4(c) of pendents in Step 3 of Form W-4. Including
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-4 Chapter 1 Tax Withholding for 2025 Publication 505 (2025) Table 1-2. Tax Credits for 2025
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-
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-For more information about the... See...
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-Adoption credit Instructions for Form 8839
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-Credit for child and dependent care expenses Pub. 503, Child and Dependent Care Expenses
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-Child tax credit (including the additional child tax credit) 2024 Instructions for Schedule 8812 (Form 1040)
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-Credit for other dependents 2024 Instructions for Schedule 8812 (Form 1040)
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-Earned income credit Pub. 596, Earned Income Credit (EIC)
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-Education credits Pub. 970, Tax Benefits for Education
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-Credit for the elderly or the disabled Pub. 524, Credit for the Elderly or the Disabled
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-Foreign tax credit (except any credit that applies to wages not subject to Pub. 514, Foreign Tax Credit for Individuals
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-U.S. income tax withholding because they are subject to income tax
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-withholding by a foreign country)
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-General business credit Form 3800, General Business Credit
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-Mortgage interest credit Pub. 530, Tax Information for Homeowners
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-Qualified electric vehicle credit Form 8834
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-Credit for prior year minimum tax (if you paid alternative minimum tax in an Instructions for Form 8801
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-earlier year)
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-Retirement savings contributions credit (saver's credit) Pub. 590-A, Contributions to Individual Retirement Arrangements (IRAs)
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-Credit to holders of tax credit bonds Instructions for Form 8912
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-Premium tax credit Pub. 974, Premium Tax Credit (PTC)
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-these credits will increase your paycheck and Step 2. Complete this step if you (1) have in- And remember, this isn’t a final decision. If reduce the amount of any refund you may re- come from a job or more than one pension/ you don’t get the correct amount of withholding ceive when you file your tax return. annuity, and/or (2) are married filing jointly and with the first Forms W-4 and W-4P you submit,
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-your spouse receives income from a job or a you should refigure your withholding using the
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-
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-When Will Your New Form W-4 Go pension/annuity. information and worksheets in this publication, or the resources mentioned above. Into Effect? If you (or if married filing jointly, you
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-
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-If the change is for the current year, your em- ! and/or your spouse) have a job(s), You should go through this same process CAUTION don't complete Steps 3 through 4b on each time your life situation changes, whether it ployer must put your new Form W-4 into effect Form W-4P. Instead, complete Steps 3 through be for personal or financial reasons. You may no later than the start of the first payroll period 4b on the Form W-4 for the job. If you (or if mar- need more tax withheld, or you may need less. ending on or after the 30th day after the day on ried filing jointly, you and your spouse) don't have a job, complete Steps 3 through 4b on which you give your employer your revised Form W-4P for only the pension or annuity that Form W-4. Getting the Right Amount pays the most annually. Leave those steps of Tax Withheld blank for the other pensions or annuities. If the change is for next year, your new Form
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-W-4 won’t take effect until next year. In most situations, the tax withheld from your
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-
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-Form W-4P ents and think you may be eligible to claim the turn if you follow these two rules. child tax credit or credit for other dependents on Step 3. Complete this step if you have depend- pay will be close to the tax you figure on your re-
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-• You accurately complete all the Form W-4
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-When you first began receiving your pension, your tax return. Also, complete this step if you worksheets that apply to you. you told the payer how much tax to withhold, if want to include an estimate of your other tax • You give your employer a new Form W-4
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-any, by completing Form W-4P, Withholding credits (for example, an education credit or the when changes occur.
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-
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-similar form). However, if your retirement pay is Step 4. Complete this optional step to make ing methods don’t account for all possible situa-from the military or certain deferred compensa-other adjustments. tions, you may not be getting the right amount tion plans, you completed Form W-4 instead of • Certificate for Pension or Annuity Payments (or But because the worksheets and withhold- foreign tax credit).
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-Form W-4P. You completed either form based • Deductions (other than the standard de- lowing situations. on your projected income at that time. If you are Other estimated income (Step 4a). withheld. This is most likely to happen in the fol-
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-returning to the workforce, your new Form W-4 duction)(Step 4b) you expect to claim. Use • You are married and both you and your
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-(given to your employer) and your Form W-4 or the instructions for Form W-4P to help you the Step 4(b)—Deductions Worksheet in spouse work. W-4P (on file with your pension plan) must work • You have more than one job at a time.
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-together to determine the correct amount of determine the amount to enter on line 4b. • You have nonwage income, such as inter-
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-withholding for your new amount of income. • Any additional amounts you want to with- est, dividends, alimony, or unemployment
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-hold from each payment (Step 4c). compensation.
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-• You will owe additional amounts with your
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-Form W-4P includes four steps that will give Note. If you don't give Form W-4P to your return.
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-information to the payer of your pension or an- payer, you don't provide an SSN, or the IRS no- • Your withholding is based on obsolete nuity for how to figure your withholding. Com- tifies the payer that you gave an incorrect SSN, Form W-4 information for a substantial part plete Steps 2 through 4 only if they apply to you. then the payer will withhold tax from your pay- of the year.
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-ments as if your filing status is single with no ad- • You work only part of the year.
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-Step 1. Enter your personal information, in- justments in Steps 2 through 4. For payments • You change the amount of your withholding cluding your anticipated filing status. Your antici- that began before 2025, your current withhold- during the year. pated filing status will determine the standard ing election (or your default rate) remains in ef- • You are subject to Additional Medicare Tax deduction and tax rates used to figure your fect unless you submit a new Form W-4P. or NIIT. If you anticipate liability for Addi-withholding. tional Medicare Tax or NIIT, you may
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-Publication 505 (2025) Chapter 1 Tax Withholding for 2025 5
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-
-
-
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-request that your employer withhold an ad- provides a withholding estimator on its website. to the IRS. Contact information (a toll-free num-
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-ditional amount of income tax withholding Go to IRS.gov/W4App. It can help you deter- ber and an IRS office address) will be provided on Form W-4. mine the correct amount to be withheld any time in the lock-in letter. At the end of this period, if
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-during the year. you haven’t responded or if your response isn’t
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-
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-can use the Tax Withholding Estimator at withhold based on the original lock-in letter. Rules Your Employer If any of these situations apply to you, you adequate, your employer will be required to
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-IRS.gov/W4App to see if you need to change After the lock-in letter takes effect, your em- your withholding. Must Follow ployer must withhold tax on the basis of the
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-
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-self-employment tax, you should use the work-If you have self-employment income or owe withholding rate (marital status) and maximum It may be helpful for you to know some of the withholding specified in that letter. withholding rules your employer must follow. If you later believe that you are entitled to sheets in this publication to determine if you These rules can affect how to fill out your Form claim exemption from withholding or otherwise should pay estimated tax. W-4 and how to handle problems that may adjust your withholding, you can complete a arise. new Form W-4 and a written statement to sup- Part-Year Method port the claims made on the Form W-4 and New Form W-4. When you start a new job, send them directly to the IRS address shown on If you work only part of the year and your em- your employer should give you a Form W-4 to fill the lock-in letter. Your employer must continue ployer agrees to use the part-year withholding out. Beginning with your first payday, your em- to figure your withholding on the basis previ- method, less tax will be withheld from each ployer will use the information you give on the ously determined by the IRS until the IRS advi- wage payment than would be withheld if you form to figure your withholding. ses your employer otherwise. worked all year. To be eligible for the part-year If you later fill out a new Form W-4, your em- At any time, either before or after the lock-in method, you must meet both of the following re- ployer can put it into effect as soon as possible. letter becomes effective, you may give your em- quirements. The deadline for putting it into effect is the start ployer a new Form W-4 that does not claim • You must use the calendar year (the 12 of the first payroll period ending 30 or more complete exemption from withholding and re- months from January 1 through December days after you turn it in. sults in more income tax withheld than specified 31) as your tax year. You can’t use a fiscal in the lock-in letter. Your employer must then year. No Form W-4. If you don't give your employer withhold tax based on this new Form W-4. • You must not expect to be employed for a Form W-4, your employer should treat you as Additional information is available at more than 245 days during the year. To fig- though you checked the box for Single or Mar- IRS.gov. Enter ``withholding compliance ure this limit, count all calendar days that ried filing separately in Step 1(c) and made no questions'' in the search box. you are employed (including weekends, entries in Step 2, Step 3, or Step 4 of the 2025 vacations, and sick days) beginning with Form W-4. the first day you are on the job for pay and Exemption From Withholding ending with your last day of work. If you are Repaying withheld tax. If you find you are temporarily laid off for 30 days or less, having too much tax withheld because you If you claim exemption from withholding, your count those days too. If you are laid off for didn’t account for all your dependents or deduc- employer won’t withhold federal income tax more than 30 days, don’t count those days. tions you are entitled to, you should give your from your wages. The exemption applies only to You won’t meet this requirement if you be- employer a new Form W-4. Your employer can’t income tax, not to social security or Medicare gin working before May 1 and expect to repay any of the tax previously withheld. In- tax. work for the rest of the year. stead, claim the full amount withheld when you
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-
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-How to apply for the part-year method. You However, if your employer has withheld for 2025 only if both of the following situations must ask your employer in writing to use this file your tax return. You can claim exemption from withholding
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-method. The request must state all three of the more than the correct amount of tax for the apply. following. Form W-4 you have in effect, you don’t have to • For 2024, you had a right to a refund of all
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-• fill out a new Form W-4 to have your withholding federal income tax withheld because you The date of your last day of work for any lowered to the correct amount. Your employer
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-prior employer during the current calendar can repay the amount that was withheld incor- had no tax liability.
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-
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-• more than 245 days during the current cal- you would claim when you file your tax return. endar year. Use Figure 1-A to help you decide whether That you use the calendar year as your tax IRS review of your withholding. Your with-you can claim exemption from withholding. year. holding or any claim for a complete exemption Don’t use Figure 1-A if you: • • That you don’t expect to be employed rectly. If you are not repaid, your Form W-2 will income tax withheld because you expect to reflect the full amount actually withheld, which have no tax liability. year. • For 2025, you expect a refund of all federal
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-from withholding is subject to review by the IRS. Are 65 or older,
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-Cumulative Wage Method Your employer may be required to send a copy • Are blind,
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-of the Form W-4 to the IRS. There is a penalty • Will itemize deductions on your 2025 re-
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-If you change your withholding during the year, for supplying false information on Form W-4. turn, or
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-too much or too little tax may have been with- See Penalties, later. • Will claim any tax credits on your 2025 re-
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-
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-You may be able to compensate for this if your ted your withholding or can’t claim a complete These situations are discussed later. employer agrees to use the cumulative wage held for the period before you made the change. If the IRS determines that you have oversta- turn. exemption from withholding, the IRS will issue a
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-
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-withholding method for the rest of the year. You notice that specifies the withholding arrange- Students. If you are a student, you are not au-must ask your employer in writing to use this ment permitted for the employee (commonly re-tomatically exempt. If you work only part time or method. ferred to as a “lock-in letter”) to both you and during the summer, you may qualify for exemp-your employer. tion from withholding. To be eligible, your payroll periods (weekly, The IRS will provide a period of time during biweekly, etc.) must have been the same since which you can dispute the determination before Example 1. You are a high school student the beginning of the year. your employer adjusts your withholding. If you and expect to earn $2,500 from a summer job. believe that you are entitled to claim complete You don’t expect to have any other income dur-Aids for Figuring Your Withholding exemption from withholding or that the IRS de-ing the year, and your parents will be able to termination was otherwise incorrect, you must claim you as a dependent on their tax return. submit a new Form W-4 and a written statement Tax Withholding Estimator. If you are con-You worked last summer and had $375 federal to support your claims made on Form W-4 that cerned that you may be having too much or too income tax withheld from your pay. The entire would decrease federal income tax withholding little income tax withheld from your pay, the IRS $375 was refunded when you filed your 2024
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-6 Chapter 1 Tax Withholding for 2025 Publication 505 (2025)
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-
-
-
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-Figure 1-A. Exemption From Withholding on Form W-4 Note. Don’t use this chart if you are 65 or older or blind, or if you will itemize your deductions or claim tax credits. Instead, see the discussions in this chapter under Exemption From Withholding. If none of these situations apply to you, but you have adjustments to income, use the 2025 Estimated Tax Worksheet.
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-Start Here
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-For 2024, did you have a
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-right to a refund of ALL You CAN’T claim No
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-federal income tax withheld exemption from because you had NO tax withholding. liability?
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-
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-Yes Yes
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-Will your 2025 total income be more than the amount shown below for
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-your filing status?
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-Single $15,000
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-
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-someone (such as Head of household 22,500 No Married filing separately for For 2025, will
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-your parent) be able
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-to claim you as a BOTH 2024 and 2025 15,000 dependent? Other married status (include BOTH
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-spouses’ income whether filing
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-separately or jointly) 30,000
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-Yes
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-Qualifying surviving spouse 30,000
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-Will your 2025 income No No be more than $1,350?
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-Yes
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-Will your 2025 income
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-
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-of unearned income exemption from exemption from withholding. withholding. (interest, dividends, etc.)? include more than $450 Yes You CAN’T claim You CAN claim
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-No No
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-
-
-Will your 2025 total income be
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-$15,000 or less?
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-Yes
-
-
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-return. Using Figure 1-A, you find that you can Age 65 or older or blind. If you are 65 tal expected tax liability (line 11c of the work-
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-claim exemption from withholding. or older or blind, use Worksheet 1-1 or sheet) is zero.
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-Worksheet 1-2 to help you decide
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-Example 2. The facts are the same as in whether you can claim exemption from with- Claiming exemption from withholding. To
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-Example 1, except that you also have a savings holding. Don’t use either worksheet if you will claim exemption, you must give your employer a account and expect to have $475 interest in- itemize deductions or claim tax credits on your Form W-4. Write “Exempt” on the form in the come during the year. Using Figure 1-A, you 2025 return. Instead, see Itemizing deductions space below Step 4(c) and complete Steps find that you can’t claim exemption from with- or claiming credits next. 1(a), 1(b), and 5. Don’t complete any other holding because your unearned income will be steps.
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-
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-more than $450 and your total income will be If you claim exemption, but later your situa- Itemizing deductions or claiming credits. If more than $1,350. tion changes so that you will have to pay in- you had no tax liability for 2024, and you will: come tax after all, you must file a new Form W-4 You may have to file a tax return, even if • Itemize deductions, or within 10 days after the change. If you claim ex- ! you are exempt from withholding. See • Claim a tax credit, emption in 2025 but you expect to owe income CAUTION Pub. 501 to see whether you must file a use Worksheet 2-1 (also, see chapter 2 ) to fig- tax for 2026, you must file a new Form W-4 by return. ure your 2025 expected tax liability. You can December 1, 2025. claim exemption from withholding only if your to-
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-
-
-Publication 505 (2025) Chapter 1 Tax Withholding for 2025 7
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-
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-Your claim of exempt status may be re- • You return any excess reimbursement Not enough pay to cover taxes. If your regu-
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-viewed by the IRS. See IRS review of your with- within 120 days after the expense was paid lar pay isn’t enough for your employer to with-
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-holding, earlier. or incurred. hold all the tax (including income tax and social
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-An exemption is good for only 1 year. • You are given a periodic statement (at least security and Medicare taxes (or the equivalent
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-You must give your employer a new Form W-4 adequately account for outstanding advan-quarterly) that asks you to either return or railroad retirement tax)) due on your pay plus
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-by February 15 each year to continue your ex- ces and you comply within 120 days of the your tips, you can give your employer money to emption. statement. cover the shortage.
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-If you don’t give your employer money to
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-Supplemental Wages cover the shortage, your employer first with-
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-Nonaccountable plan. Any plan that does not holds as much Medicare tax and social security
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-meet the definition of an accountable plan is or railroad retirement tax as possible, up to the
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-Supplemental wages include bonuses, commis- considered a nonaccountable plan. proper amount, and then withholds income tax
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-
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-sions, overtime pay, vacation allowances, cer- up to the full amount of your pay. If not enough For more information about accountable and tain sick pay, and expense allowances under tax is withheld, you may have to pay estimated nonaccountable plans, see chapter 6 of Pub. certain plans. The payer can figure withholding tax. When you file your return, you may also 463. on supplemental wages using the same method have to pay any Medicare and social security
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-used for your regular wages. However, if these tax or railroad retirement tax your employer Penalties
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-payments are identified separately from regular could not withhold. wages, your employer or other payer of supple-
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-mental wages can withhold income tax from You may have to pay a penalty of $500 if both of Tips not reported to your employer. On your these wages at a 22% flat rate under certain cir- the following apply. tax return, you must report all the tips you re-cumstances, as explained in the section on sup- • You make statements on your Form W-4 ceive during the year, even tips you don’t report plemental wages in Pub. 15. that reduce the amount of tax withheld. to your employer (this includes the value of any
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-• You have no reasonable basis for those noncash tips you received, such as tickets,
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-Expense allowances. Reimbursements or statements at the time you prepare your passes, or other items of value). Make sure you other expense allowances paid by your em- Form W-4. are having enough tax withheld, or are paying
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-as supplemental wages. A nonaccountable plan There is also a criminal penalty for willfully ployer under a nonaccountable plan are treated enough estimated tax (see chapter 2), to cover
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-
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-require you to account for, or prove, your busi- Form W-4 or for willfully failing to supply infor- Allocated tips. If you work in a large food or mation that would increase the amount with-ness expenses to your employer or does not re-beverage establishment, your employer may held. The penalty upon conviction can be either is a reimbursement arrangement that does not supplying false or fraudulent information on your all your tip income. that are more than your proven expenses. a fine of up to $1,000 or imprisonment for up to quire you to return your employer's payments have to report an allocated amount of tips on
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-your Form W-2.
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-1 year, or both.
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-Reimbursements or other expense allowan- Your employer should not withhold income
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-ces paid under an accountable plan that are These penalties will apply if you deliberately tax, Medicare tax, and social security or railroad more than your proven expenses are treated as and knowingly falsify your Form W-4 in an at- retirement tax on the allocated amount. With-paid under a nonaccountable plan if you don’t tempt to reduce or eliminate the proper with- holding is based only on your pay plus your re-return the excess payments within a reasonable holding of taxes. A simple error or an honest ported tips. Your employer should refund to you period of time. mistake won’t result in one of these penalties. any incorrectly withheld tax.
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-
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-Accountable plan. To be an accountable plan, More information. For more information on Tips
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-your employer's reimbursement or allowance the reporting and withholding rules for tip in-
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-arrangement must include all three of the follow- come and on tip allocation, see Pub. 531.
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-
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-ing rules. The tips you receive while working on your job • Your expenses must have a business con-are considered part of your pay. You must in-nection. That is, you must have paid or in-clude your tips on your tax return on the same Taxable Fringe Benefits curred deductible expenses while perform-line as your regular pay. However, tax isn’t with-ing services as an employee of your held directly from tip income, as it is from your The value of certain noncash fringe benefits you employer. regular pay. Nevertheless, your employer will receive from your employer is considered part • You must adequately account to your em-take into account the tips you report when figur-of your pay. Your employer must generally with-ployer for these expenses within a reason-ing how much to withhold from your regular pay. hold income tax on these benefits from your able period of time. regular pay. • You must return any excess reimbursement Reporting tips to your employer. If you re-Although the value of your personal use of or allowance within a reasonable period of ceive tips of $20 or more in a month while work-time. an employer-provided car, truck, or other high-ing for any one employer, you must report to way motor vehicle is taxable, your employer can An excess reimbursement or allowance is your employer the total amount of tips you re-choose not to withhold income tax on that any amount you are paid that is more than the ceive on the job during the month. The report is amount. Your employer must notify you if this due by the 10th day of the following month. business-related expenses that you adequately choice is made. accounted for to your employer. If you have more than one job, make a sepa-rate report to each employer. Report only the The definition of reasonable period of time When benefits are considered paid. Your depends on the facts and circumstances of your tips you received while working for that em-employer can choose to treat a fringe benefit as situation. However, regardless of those facts ployer, and only if they total $20 or more for the paid by the pay period, by the quarter, or on and circumstances, actions that take place month. some other basis as long as the benefit is con-within the times specified in the following list will sidered paid at least once a year. Your employer How employer figures amount to withhold. be treated as taking place within a reasonable can treat the benefit as being paid on one or The tips you report to your employer are coun-period of time. more dates during the year, even if you get the ted as part of your income for the month you re-• You receive an advance within 30 days of entire benefit at one time. port them. Your employer can figure your with-the time you have an expense. holding in either of two ways. • You adequately account for your expenses Special rule. Your employer can choose to within 60 days after they were paid or in-• By withholding at the regular rate on the treat a benefit provided during November or De-sum of your pay plus your reported tips. curred. cember as paid in the next year. Your employer • By withholding at the regular rate on your must notify you if this rule is used. pay plus a percentage of your reported
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-tips.
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-8 Chapter 1 Tax Withholding for 2025 Publication 505 (2025)
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-
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-
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-Example. Your employer considers the Union agreements. If you receive sick pay un- for Form W-4P and the rules discussed under
-
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-value of benefits paid from November 1, 2023, der a collective bargaining agreement between Form W-4P, earlier, to fill out your 2025 Form through October 31, 2024, as paid to you in your union and your employer, the agreement W-4P. 2024. To determine the total value of benefits may determine the amount of income tax with-paid to you in 2025, your employer will add the holding. See your union representative or your Note. Use Form W-4, not Form W-4P, if you value of any benefits paid in November and De- employer for more information. receive any of the following. cember of 2024 to the value of any benefits paid • Military retirement pay. in January through October of 2025. Form W-4S. If you choose to have income tax • Payments from certain nonqualified defer-
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-withheld from sick pay paid by a third party, red compensation plans. These are em-
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-when to withhold tax on the transfer of either Form W-4S. Its instructions contain a worksheet sation at a later time, but are not real property or personal property of a kind nor-Exceptions. Your employer can’t choose such as an insurance company, you must fill out ployer plans that pay part of your compen-
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-you can use to figure the amount you want with- tax-qualified deferred compensation plans.
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-mally held for investment (such as stock). Your held. They also explain restrictions that may ap- See Nonqualified Deferred Compensation employer must withhold tax on these benefits at ply. and Section 457 Plans in Pub. 957. the time of the transfer. Give the completed form to the payer of your How withholding is figured. Your employer sick pay. The payer must withhold according to Withholding rules. The withholding rules for
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-can either add the value of a fringe benefit to your directions on the form. pensions and annuities differ from those for sal-
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-your regular pay and figure income tax withhold- Form W-4S remains in effect until you aries and wages in the following ways. ing on the total or withhold a flat 22% of the change or cancel it, or stop receiving payments. • If a 2025 Form W-4P is used for withhold-
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-benefit's value. You can change your withholding by giving a ing for payments beginning in 2025, and
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-If the benefit's actual value can’t be deter- new Form W-4S or a written notice to the payer you don't fill out a withholding certificate,
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-mined when it is paid or treated as paid, your of your sick pay. tax will be withheld as if your filing status is
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-
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-employer can use a reasonable estimate. Your 2 through 4. Estimated tax. If you don’t request withholding employer must determine the actual value of the single with no adjustments made in Steps
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-benefit by January 31 of the next year. If the ac- regardless of how much tax you owed last withheld, you may have to pay estimated tax. If tual value is more than the estimate, your em- on Form W-4S, or if you don’t have enough tax • You can choose not to have tax withheld,
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-ployer must pay the IRS any additional with- you don’t pay enough tax, either through esti- year or expect to owe this year. You don’t
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-holding tax required. Your employer has until mated tax or withholding, or a combination of have to qualify for exemption. See Choos-
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-April 1 of that next year to recover from you the both, you may have to pay a penalty. See ing Not To Have Income Tax Withheld, chap-
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-additional income tax paid to the IRS for you. ter 2 later. .
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-• If a 2025 Form W-4P is used for withhold-
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-
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-How your employer reports your benefits. you don't give the payer your SSN in the Pensions and Annuities ing for payments beginning in 2025, and
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-held for the benefits. These amounts can be pension or annuity distributions unless you made that you gave an incorrect SSN, tax will be withheld as if your filing status is sin- choose not to have it withheld. This rule applies shown either on the Form W-2 for your regular gle with no adjustments in Steps 2 through to distributions from: pay or on a separate Form W-2. If your em- 4. ployer provided you with a car, truck, or other tal of the taxable fringe benefits paid or treated payer before any payment or distribution is Income tax will usually be withheld from your as paid to you during the year and the tax with- Your employer must report on Form W-2 the to- required manner or the IRS notifies the
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-of it as personal, its value must be either sepa- you give your withholding certificate (Form • A pension, annuity, or profit-sharing plan; rately shown on Form W-2 or reported to you on W-4P or a similar form) to the payer on or before a separate statement. • A stock bonus plan; and the date your payments start, it will be put into • Any other plan that defers the time you re- effect by the first payment made more than 30 ceive compensation. motor vehicle and chose to treat all of your use • A life insurance company under an endow- Effective date of withholding certificate. If ment, annuity, or life insurance contract; • An IRA;
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-benefits, see Fringe Benefits under Employee The amount withheld depends on whether If you give the payer your certificate after Compensation in Pub. 525. More information. For information on fringe days after you submit the certificate.
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-you receive payments spread out over more your payments start, it will be put into effect with
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-than 1 year (periodic payments), within 1 year the first payment, which is at least 30 days after
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-Sick Pay (nonperiodic payments), or as an eligible roll- you submit it. However, the payer can elect to
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-over distribution (ERD). Income tax withholding put it into effect earlier. from an ERD is mandatory. ERDs are discussed
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-Sick pay is a payment to you to replace your under Eligible Rollover Distributions, later. Nonperiodic Payments regular wages while you are temporarily absent
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-from work due to sickness or personal injury. To Nontaxable part. The part of your pension or qualify as sick pay, it must be paid under a plan Tax will be withheld at a flat 10% rate on any annuity that is a return of your investment in
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-to which your employer is a party. nonperiodic payments you receive, unless you your retirement plan (the amount you paid into
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-the plan or its cost to you) isn’t taxable. Income choose a different withholding rate.
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-
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-an agent of your employer, income tax must be Use Form W-4R, line 2, to choose a with- sion or annuity that isn’t taxable. The tax with- holding rate other than the default 10% rate. If you receive sick pay from your employer or tax won’t be withheld from the part of your pen-
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-tax at a flat rate. For information about figuring the part of withheld by entering “-0-” on line 2. Generally, your pension or annuity that isn’t taxable, see However, if you receive sick pay from a third you can't choose less than 10% for payments to Pub. 575. party who isn’t acting as an agent of your em-wages to you may choose to withhold income You can choose a rate between 0% and 100%. the taxable part. You can choose to have no federal income tax withheld. An agent who does not pay regular held will be figured on, and can’t be more than,
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-be delivered outside of the United States and its
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-choose to have it withheld. See Form W-4S, have tax withheld, see Periodic Payments ployer, income tax will be withheld only if you territories. If you want to revoke a choice not to
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-Choosing Not To Have
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-later. Income Tax Withheld, later.
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-If you receive payments under a plan in You may need to use Form W-4R to Withholding from periodic payments of a pen-
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-which your employer does not participate (such ask for additional withholding. If you sion or annuity is figured similarly to withholding from certain salaries and wages. To tell the !
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-
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-the premiums), the payments are not sick pay may need to pay estimated tax, as explained in want withheld, fill out Form W-4P or a similar chapter 2 as an accident or health plan where you paid all CAUTION don’t have enough tax withheld, you payer of your pension or annuity how much you
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-and are usually not taxable. . form provided by the payer. Follow instructions
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-Publication 505 (2025) Chapter 1 Tax Withholding for 2025 9 Eligible Rollover home address in the United States or in a U.S. Identical wagers. You may have to give the territory. payer a statement of the amount of your win-Distributions nings, if any, from identical wagers. If this state-Distributions you receive from qualified retire- Notice required of payer. The payer of your ment is required, the payer will ask you for it.
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-ment plans (for example, 401(k) plans and sec- pension or annuity must send you a notice tell- You provide this statement by signing Form
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-tion 457(b) plans maintained by a governmental ing you about your right to choose not to have W-2G or, if required, Form 5754.
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-employer) or tax-sheltered annuities that are eli- tax withheld. Identical wagers include two bets placed in Generally, the payer won’t send a notice to a pari-mutuel pool on one horse to win a partic- gible to be rolled over to an IRA or qualified plan you if it is reasonable to believe that the entire ular race. However, the bets are not identical if are subject to a 20% default rate of withholding amount you will be paid isn’t taxable. one bet is “to win” and one bet is “to place.” In on the taxable amount of the distribution. You addition, they are not identical if the bets were can’t choose withholding at a rate of less than Revoking a choice not to have tax withheld. placed in different pari-mutuel pools. For exam- 20% (including “-0-”). Note that the default rate The payer of your pension or annuity will tell you ple, a bet in a pool conducted by the racetrack of withholding may be too low for your tax situa- how to revoke your choice not to have income and a bet in a separate pool conducted by an tion. You may choose to enter a rate higher than tax withheld from periodic or nonperiodic pay- offtrack betting establishment in which the bets 20% on Form W-4R, line 2. Don’t give Form ments. You can tell the payer exactly how much are not pooled with those placed at the track W-4R to your payer unless you want more than to withhold by completing a new Form W-4P for are not identical wagers. 20% withheld. periodic payments or Form W-4R for nonperi-
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-Note that the following payments are not eli- odic payments. Backup withholding on gambling winnings.
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-gible rollover distributions for purposes of these If you have any kind of gambling winnings and
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-withholding rules: don’t give the payer your SSN, the payer may Gambling Winnings
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-• Distributions required by federal law, such $1,200 from bingo or slot machines or $1,500 Income tax is withheld at a flat 24% rate from as required minimum distributions; from keno, and to certain other gambling win- certain kinds of gambling winnings. • Generally, distributions from a pen- nings of at least $600. sion-linked emergency savings account; • Qualifying “hardship” distributions; This rule also applies to winnings of at least have to withhold income tax at a flat 24% rate.
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-Gambling winnings of more than $5,000
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-• Eligible distributions to a domestic abuse from the following sources are subject to in- Unemployment victim; come tax withholding.
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-• Qualified birth or adoption distributions; payments made to winners of poker tour- Compensation • Qualified disaster recovery distributions; • Any sweepstakes; wagering pool, including
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-and naments; or lottery.
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-• Emergency personal expense distribu- • Any other wager if the proceeds are at You can choose to have income tax withheld
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-tions. least 300 times the amount of the bet. from unemployment compensation. To make
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-Choosing Not To Have It does not matter whether your winnings are this choice, fill out Form W-4V (or a similar form provided by the payer) and give it to the payer. paid in cash, in property, or as an annuity. Win-
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-Income Tax Withheld nings not paid in cash are taken into account at All unemployment compensation is taxable. their fair market value. So, if you don’t have income tax withheld, you
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-For payments other than eligible rollover distri- may have to pay estimated tax. See chapter 2. Exception. Gambling winnings from bingo, butions, you can choose not to have income tax keno, and slot machines are generally not sub-If you don’t pay enough tax, either through withheld. The payer will tell you how to make ject to income tax withholding. However, you withholding or estimated tax, or a combination this choice. If you use Form W-4R, enter “-0-” may need to provide the payer with an SSN to of both, you may have to pay a penalty. on line 2 to choose not to have withholding. This avoid withholding. See Backup withholding on choice will remain in effect until you decide you gambling winnings , later. If you receive gam-Form 1099-G. If you receive $10 or more in un-want withholding and inform the payer. See Re-bling winnings not subject to withholding, you employment compensation, you will receive a voking a choice not to have tax withheld , later. may need to pay estimated tax. See chapter 2 . Form 1099-G, Certain Government Payments.
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-
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-lowing applies. The payer must withhold if either of the fol- Box 1 will show the amount of unemployment If you don’t pay enough tax, either through compensation you got for the year. Box 4 will withholding or estimated tax, or a combination • You don’t give the payer your SSN in the show the amount of federal income tax with- of both, you may have to pay a penalty. required manner. held, if any. • The IRS notifies the payer, before any pay- Form W-2G. If a payer withholds income tax ment or distribution is made, that you gave from your gambling winnings, you should re- it an incorrect SSN. ceive a Form W-2G, Certain Gambling Win- Federal Payments
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-from your pension or annuity, or if you don’t If you don’t have any income tax withheld nings, showing the amount you won and the amount withheld. You can choose to have income tax withheld Report the tax withheld on your 2025 Form from certain federal payments you receive. have enough withheld, you may have to pay es-1040 or 1040-SR, along with all other federal in-These payments are the following. timated tax. See chapter 2 . come tax withheld, as shown on Forms W-2 1. Social security benefits. If you don’t pay enough tax, either through and 1099. 2. Tier 1 railroad retirement benefits. estimated tax or withholding, or a combination Information to give payer. If the payer asks, of both, you may have to pay a penalty. 3. Commodity credit corporation loans you you must give the payer all the following infor-choose to include in your gross income. Payments delivered outside the United mation. • States. You must generally have tax withheld Your name, address, and SSN. 4. Payments under the Agricultural Act of from pension or annuity benefits delivered out-• Whether you made identical wagers (ex-1949 (7 U.S.C. 1421 et seq.), as amen-side the United States. However, if you are a plained below). ded, or title II of the Disaster Assistance • U.S. citizen or resident alien, you can choose Whether someone else is entitled to any Act of 1988 that are treated as insurance not to have tax withheld if you give the payer of part of the winnings subject to withholding. proceeds and that you received because:
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-
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-the benefits a home address in the United If so, you must complete Form 5754, State- a. Your crops were destroyed or dam-States or in a U.S. territory. The payer must ment by Person(s) Receiving Gambling aged by drought, flood, or any other withhold tax if you provide a U.S. address for a Winnings, and return it to the payer. The natural disaster; or nominee, trustee, or agent to whom the benefits payer will use it to prepare a Form W-2G are to be delivered, but don’t provide your own for each of the winners.
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-10 Chapter 1 Tax Withholding for 2025 Publication 505 (2025)
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-b. You were unable to plant crops be- • Patronage dividends, but only if at least get an ITIN. Use Form W-7 to apply for an
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-cause of a natural disaster described half the payment is in money (Form ITIN.
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-similar form provided by the payer) and give it to 5. Dividends and other distributions from in (a). 1099-PATR); An ITIN is for federal tax use only. It does not • Rents, profits, or other gains (Form entitle you to social security benefits or change 1099-MISC); Alaska Native Corporations to their share-your employment or immigration status under • Commissions, fees, or other payments for holders. U.S. law. For more information on ITINs, see work you do as an independent contractor Pub. 1915. 6. Any other payment under federal law as (Form 1099-NEC); • determined by the Secretary. Payments by brokers (Form 1099-B); If you have an ITIN that you haven't in-• Payments by fishing boat operators, but cluded on a tax return in the last 3 con-! To make this choice, fill out Form W-4V (or a only the part that is in money and that rep-CAUTION secutive years, it may be expired and resents a share of the proceeds of the you may need to renew it. If your ITIN has ex-the payer. catch (Form 1099-MISC); and pired and you don't have an SSN, you can make • If you don’t choose to have income tax with-Royalty payments (Form 1099-MISC). estimated tax payments before you renew your ITIN. To renew your ITIN, and for more informa-held, you may have to pay estimated tax. See Backup withholding may also apply to gambling tion, see the Instructions for Form W-7. chapter 2 . winnings. See Backup withholding on gambling
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-
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-withholding or estimated tax, or a combination If you don’t pay enough tax, either through winnings under Gambling Winnings, earlier. How to prevent or stop backup withholding. Payments not subject to backup withhold-If you have been notified by a payer that the TIN of both, you may have to pay a penalty. ing. Backup withholding does not apply to pay-you gave is incorrect, you can usually prevent backup withholding from starting or stop backup ments reported on Form 1099-MISC (other than More information. For more information about payments by fishing boat operators and royalty withholding once it has begun by giving the the tax treatment of social security and railroad payments) unless at least one of the following payer your correct name and TIN. You must cer-retirement benefits, see Pub. 915. Get Pub. 225 three situations applies. tify that the TIN you give is correct. for information about the tax treatment of com-• The amount you receive from any one However, the payer will provide additional in-modity credit corporation loans or crop disaster payer is $600 or more. structions if the TIN you gave needs to be vali-payments. • The payer had to give you a Form 1099 last dated by the Social Security Administration or year. by the IRS. This may happen if both the follow-Payment to shareholders of Alaska Native • The payer made payments to you last year ing conditions exist. Corporations (ANCs). If you are a share-that were subject to backup withholding. holder of an ANC, you can request to have in-1. The IRS notifies the payer twice within 3 come tax withheld from dividends and other dis-Form 1099 and backup withholding are gen-calendar years that a TIN you gave for the tributions you receive from the ANC. To make erally not required for a payment of less than same account is incorrect. this request, fill out Form W-4V (or a similar $10. 2. The incorrect TIN is still being used on the form provided by the payer) and give it to the account when the payer receives the sec-payer. A request for withholding isn’t effective Withholding rules. When you open a new ac-ond notice. until the ANC indicates in writing that it accepts count, make an investment, or begin to receive
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-
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-the request or begins withholding. Contact the payments reported on Form 1099, the bank or Underreported interest or dividends. If payer if it isn’t clear that the payer has accepted other business will give you Form W-9, Request you have been notified that you underreported your Form W-4V. for Taxpayer Identification Number and Certifi-interest or dividends, you must request and re-If you don’t choose to have income tax with-cation, or a similar form. You must enter your ceive a determination from the IRS to prevent held, or the ANC doesn’t accept your request, TIN on the form and, if your account or invest-backup withholding from starting or to stop you may have to pay estimated tax. See chap-ment will earn interest or dividends, you must backup withholding once it has begun. Your re-ter 2 . also certify (under penalties of perjury) that your quest must show that at least one of the follow-If you don’t pay enough tax, either through TIN is correct and that you are not subject to ing situations applies. backup withholding. withholding or estimated tax, or a combination • No underreporting occurred. of both, you may have to pay a penalty. The payer must withhold at a flat 24% rate in • You have a bona fide dispute with the IRS the following situations. about whether an underreporting occurred. • You don’t give the payer your TIN in the re-• Backup withholding will cause or is caus-Backup Withholding quired manner. ing an undue hardship and it is unlikely that • The IRS notifies the payer that the TIN you you will underreport interest and dividends gave is incorrect. Banks or other businesses that pay you certain in the future. • You are required, but fail, to certify that you kinds of income must file an information return • You have corrected the underreporting by are not subject to backup withholding. (Form 1099) with the IRS. The information re-filing an original return if you didn’t previ-• The IRS notifies the payer to start withhold-turn shows how much you were paid during the ously file one, or by filing an amended re-ing on interest or dividends because you year. It also includes your name and taxpayer turn, and by paying all taxes, penalties, and have underreported interest or dividends identification number (TIN). TINs are explained interest due for any underreported interest on your income tax return. The IRS will do later in this discussion. or dividend payments. this only after it has mailed you four notices If the IRS determines that backup withhold-These payments are generally not subject to over at least a 210-day period. ing should stop, it will provide you with certifica-withholding. However, “backup” withholding is Taxpayer identification number (TIN). tion and will notify the payers who were sent no-required in certain situations. Your TIN is one of the following three numbers. tices earlier. • Payments subject to backup withholding. An SSN. • An employer identification number (EIN). Penalties. There are civil and criminal penal-Backup withholding can apply to most kinds of • payments that are reported on Form 1099. An IRS individual taxpayer identification ties for giving false information to avoid backup number (ITIN). Aliens who don’t have an withholding. The civil penalty is $500. The crimi-These include: SSN and are not eligible to get one should nal penalty, upon conviction, is a fine of up to • Interest payments (Form 1099-INT); $1,000 or imprisonment of up to 1 year, or both. • Government payments (Form 1099-G); • Dividends (Form 1099-DIV);
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-
-
-Publication 505 (2025) Chapter 1 Tax Withholding for 2025 11 Worksheets for Chapter 1
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-Use the following worksheets to figure your correct withholding and adjustments.
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-Use... To...
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-Worksheet 1-1 and Figure your total expected income for 2025 to determine if you are exempt from withholding. Use Worksheet
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-Worksheet 1-2 1-1 if, in 2024, you had a right to a refund of all federal income tax withheld because of no tax liability. Use
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-Exemption From Withholding for Worksheet 1-2 if you are a dependent for 2025 and, for 2024, you had a refund of all federal income tax Persons/Dependents Age 65 or withheld because of no tax liability. Older or Blind
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-Worksheet 1-3 Project the taxable income you will have for 2025 and figure the amount of tax you will have to pay on that
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-Projected Tax for 2025 income.
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-Worksheet 1-4 Figure the amount of tax on your projected taxable income. Tax Computation Worksheets for
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-2025
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-Worksheet 1-5 Project the amount of federal income tax that you will have withheld in 2025, compare your projected Projected Withholding for 2025 withholding with your projected tax, and determine whether the amount withheld each payday should be
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-adjusted.
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-Worksheet 1-6 Figure any extra amount to include in Step 3 of Form W-4 or Form W-4P to account for your projected tax
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-Tax Credits for 2025 Form W-4 or credits that are not otherwise taken into consideration. Form W-4P
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-
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-12 Chapter 1 Tax Withholding for 2025 Publication 505 (2025) Worksheet 1-1. Exemption From Withholding for Persons Age 65 or Older or Blind Use this worksheet only if, for 2024, you had a right to a refund of all federal income tax withheld because you had no tax liability.
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-Caution. This worksheet does not apply if you can be claimed as a dependent. See Worksheet 1-2 instead.
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-1. Check the boxes below that apply to you.
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-65 or older Blind
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-2. Check the boxes below that apply to your spouse’s standard deduction.*
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-65 or older Blind
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-3. Add the number of boxes you checked in
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-1 and 2 above. Enter the result . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
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-You can claim exemption from withholding if:
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-and your 2025
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-total income will
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-Your filing status is: and the number on line 3 above is: be no more than:
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-Single 1 $17,000
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-2 19,000
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-Head of 1 $24,500 household 2 26,500 Married filing 1 $16,600 separately for 2 18,200 both 2024 and 3 19,800 2025 4 21,400 Other married 1 $31,600** status 2 33,200**
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-3 34,800**
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-4 36,400**
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-** Include both spouses' income whether you will file separately or jointly.
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-Qualifying 1 $31,600
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-surviving spouse 2 33,200
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-You can’t claim exemption from withholding if your total income will be more than the amount shown for your filing status.
-
-* You can check the appropriate boxes for your spouse if your filing status is married filing jointly. You can check the appropriate boxes for your spouse if your filing
-
-status is married filing separately and your spouse had no income, isn't filing a return, and can't be claimed as a dependent on another person's return.
-
-
-
-Worksheet 1-2. Exemption From Withholding for Dependents Age 65 or Older or Blind Use this worksheet only if, for 2025, you are a dependent and if, for 2024, you had a right to a refund of all federal income tax withheld because you had no tax liability.
-
-1. Enter your expected earned income plus $450 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1. 2. Minimum amount . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . $ 1,350 2.
-
-3. Compare lines 1 and 2. Enter the larger amount . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3. 4. Limit . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15,000 4.
-
-5. Compare lines 3 and 4. Enter the smaller amount . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5. 6. Enter the appropriate amount from the following table . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6.
-
-Single
-
-Either 65 or older or blind $2,000 Both 65 or older and blind 4,000
-
-Married filing separately
-
-Either 65 or older or blind 1,600 Both 65 or older and blind 3,200
-
-7. Add lines 5 and 6. Enter the result . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7. 8. Enter your total expected income . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8.
-
-You can claim exemption from withholding if line 7 is equal to or more than line 8. You can’t claim exemption from withholding if line 8 is more than
-
-line 7.
-
-
-
-Publication 505 (2025) Chapter 1 Tax Withholding for 2025 13
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-
-
-
-
-Worksheet 1-3. Projected Tax for 2025 Keep for Your Records
-
-
-.
-
-Use this worksheet to figure your projected tax for 2025. Note. Enter combined amounts if married filing jointly.
-
-1. Enter amount of adjusted gross income (AGI) you expect in 2025. (To determine this, you may want to start with
-
-the AGI on your last year's return, and add or subtract your expected changes. Also, take into account items listed under What's New for 2025, earlier.)
-
-Note. If self-employed, first complete Worksheet 2-3 to figure your expected deduction for self-employment tax. Subtract the amount from Worksheet 2-3, line 11, to figure the line 1 entry . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1.
-
-2. If you:
-
-• Don’t plan to itemize deductions on Schedule A (Form 1040), use Worksheet 2-4 to figure your expected
-
-standard deduction.
-
-• Plan to itemize deductions, enter the amount of your estimated itemized deductions. • Qualify for the deduction for qualified business income, enter the estimated amount of the deduction you are
-
-allowed on your qualified business income from a qualified trade or business. Add this amount to your expected standard deduction or estimated itemized deductions and enter the total here . . . . . . . . . . . . . . . . . . . . . . . . 2.
-
-3. Expected taxable income. Subtract line 2 from line 1. (If zero or less, enter -0- here and on line 4,
-
-then go to line 5.) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.
-
-4. If the amount on line 1:
-
-• Doesn’t include a net capital gain or qualified dividends and you didn’t exclude foreign earned income or
-
-exclude or deduct foreign housing in arriving at the amount on line 1, use Worksheet 1-4 to figure the tax to enter here.
-
-• Includes a net capital gain or qualified dividends, use Worksheet 2-5 to figure the tax to enter here. • Was figured by excluding foreign earned income or excluding or deducting foreign housing, use
-
-Worksheet 2-6 to figure the tax to enter here . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.
-
-5. Enter any expected additional taxes from an election to report your child's interest and dividends, lump-sum
-
-distributions (Form 4972), and alternative minimum tax . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5.
-
-6. Add lines 4 and 5 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6.
-
-7. Enter the amount of any expected tax credits. See Table 1-2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7. 8. Subtract line 7 from line 6 (if zero or less, enter -0-) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8. 9. Self-employment tax. Enter the amount from Worksheet 2-3, line 10. (If you expect to file jointly and both of you are
-
-self-employed, figure the self-employment tax for each of you separately and enter the total on line 9.) . . . . . . . . 9.
-
-10. Enter the total of any other expected taxes* . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10. 11. Projected tax for 2025. Add lines 8 through 10. Enter the total here and on Worksheet 1-5, line 1 . . . . . . . . . . . 11.
-
-
-
-* Use the 2024 Instructions for Form 1040 to determine if you expect to owe, for 2025, any of the taxes that would have been entered on your 2024 Schedule 2 (Form 1040), lines 7 through 17z and 19.
-
-
-
-14 Chapter 1 Tax Withholding for 2025 Publication 505 (2025)
-
-
-
-
-
-Worksheet 1-4. Tax Computation Worksheets for 2025 Keep for Your Records
-
-
-Note. If you are figuring the tax on an amount from Worksheet 2-5 (line 1 or 14), or Worksheet 2-6 (line 2 or 3), enter the amount from that worksheet in column (a) of the row that applies to that amount of income. Enter the result on the appropriate line of the worksheet you are completing.
-
-a. Single. Use this worksheet to figure the amount to enter on Worksheet 1-3, line 4, if you expect your filing status for 2025 to be Single.
-
-Expected Taxable (a) (b) (c) (d) (e)
-
-Income Enter amount Multiplication amount Multiply Subtraction Subtract (d) from (c). Enter the result
-
-
-
-Over If Worksheet 1-3, from (a) by (b) amount here and on Worksheet 1-3, line 4* Worksheet 1-3, line 3* is — line 3* But not
-
-over
-
-$0 $11,925 × 10% (0.10) $0
-
-11,925 48,475 × 12% (0.12) 238.50 48,475 103,350 × 22% (0.22) 5,086.00
-
-103,350 197,300 × 24% (0.24) 7,153.00 197,300 250,525 × 32% (0.32) 22,937.00 250,525 626,350 × 35% (0.35) 30,452.75 626,350 - - - - - × 37% (0.37) 42,979.75
-
-* If you are using Worksheet 2-5, for column (a) above, use the amount from line 1 or line 14 and enter the result (from column (e)) on line 37 or
-
-line 39, as appropriate.
-
-If you are using Worksheet 2-6, for column (a) above, use the amount from line 2 or line 3 and enter the result (from column (e)) on line 4 or line 5,
-
-as appropriate.
-
-
-
-b. Head of Household. Use this worksheet to figure the amount to enter on Worksheet 1-3, line 4, if you expect your filing status for 2025
-
-to be Head of Household.
-
-Expected Taxable (a) (b) (c) (d) (e)
-
-Income Enter amount Multiplication Multiply Subtraction Subtract (d) from (c). Enter the result
-
-
-
-If Worksheet 1-3, from amount (a) by (b) amount here and on Worksheet 1-3, line 4* Worksheet 1-3, line 3* is — line 3* Over But not
-
-over
-
-$0 $17,000 × 10% (0.10) $0
-
-17,000 64,850 × 12% (0.12) 340.00 64,850 103,350 × 22% (0.22) 6,825.00
-
-103,350 197,300 × 24% (0.24) 8,892.00 197,300 250,500 × 32% (0.32) 24,676.00 250,500 626,350 × 35% (0.35) 32,191.00 626,350 - - - - - × 37% (0.37) 44,718.00
-
-* If you are using Worksheet 2-5, for column (a) above, use the amount from line 1 or line 14 and enter the result (from column (e)) on line 37
-
-or line 39, as appropriate.
-
-If you are using Worksheet 2-6, for column (a) above, use the amount from line 2 or line 3 and enter the result (from column (e)) on line 4 or
-
-line 5, as appropriate.
-
-
-
-Publication 505 (2025) Chapter 1 Tax Withholding for 2025 15 Tax Computation Worksheet for 2025 (Continued)
-
-c. Married Filing Jointly or Qualifying Surviving Spouse. Use this worksheet to figure the amount to enter on Worksheet 1-3, line 4, if
-
-you expect your filing status for 2025 to be Married Filing Jointly or Qualifying Surviving Spouse.
-
-Expected Taxable (a) (b) (c) (d) (e)
-
-Income Enter amount Multiplication Multiply Subtraction Subtract (d) from (c). Enter the result
-
-
-
-If Worksheet 1-3, from amount (a) by (b) amount here and on Worksheet 1-3, line 4* Worksheet 1-3, line 3* is — line 3* Over But not
-
-over
-
-$0 $23,850 × 10% (0.10) $0
-
-23,850 96,950 × 12% (0.12) 477.00 96,950 206,700 × 22% (0.22) 10,172.00
-
-206,700 394,600 × 24% (0.24) 14,306.00 394,600 501,050 × 32% (0.32) 45,874.00 501,050 751,600 × 35% (0.35) 60,905.50 751,600 - - - - - × 37% (0.37) 75,937.50
-
-* If you are using Worksheet 2-5, for column (a) above, use the amount from line 1 or line 14 and enter the result (from column (e)) on line 37 or line 39, as appropriate.
-
-If you are using Worksheet 2-6, for column (a) above, use the amount from line 2 or line 3 and enter the result (from column (e)) on line 4 or
-
-line 5, as appropriate.
-
-
-
-d. Married Filing Separately. Use this worksheet to figure the amount to enter on Worksheet 1-3, line 4, if you expect your filing status for 2025 to
-
-be Married Filing Separately.
-
-Expected Taxable (a) (b) (c) (d) (e)
-
-Income Enter amount from Multiplication amount Multiply Subtraction Subtract (d) from (c). Enter the result
-
-
-
-If Worksheet 1-3, Worksheet 1-3, (a) by (b) amount here and on Worksheet 1-3, line 4* line 3* line 3* is —
-
-Over But not
-
-over
-
-$0 11,925 × 10% (0.10) $0
-
-11,925 48,475 × 12% (0.12) 238.50 48,475 103,350 × 22% (0.22) 5,086.00
-
-103,350 197,300 × 24% (0.24) 7,153.00 197,300 250,525 × 32% (0.32) 22,937.00 250,525 375,800 × 35% (0.35) 30,452.75 375,800 - - - - - × 37% (0.37) 37,968.75
-
-* If you are using Worksheet 2-5, for column (a) above, use the amount from line 1 or line 14 and enter the result (from column (e)) on line 37 or line 39, as appropriate.
-
-If you are using Worksheet 2-6, for column (a) above, use the amount from line 2 or line 3 and enter the result (from column (e)) on line 4 or line 5,
-
-as appropriate.
-
-
-
-16 Chapter 1 Tax Withholding for 2025 Publication 505 (2025)
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-
-
-
-
-Worksheet 1-5. Projected Withholding for 2025 Keep for Your Records
-
-
-.
-
-Use this worksheet to figure the amount of your projected withholding for 2025, compare it to your projected tax for 2025, and, if necessary, figure
-
-any adjustment to the amount you have withheld each payday.
-
-Note. If married filing jointly, enter combined amounts.
-
-1. Enter your projected tax for 2025 from Worksheet 1-3, line 13 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1. 2. Enter your total federal income tax withheld to date in 2025 from all sources of income. (For wages, you should be
-
-able to find the withholding-to-date on your last pay slip or statement.) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.
-
-3. Enter the federal tax withholding you expect for the rest of 2025.
-
-a. For each source of wages, multiply the amount of federal income tax now being withheld each payday by the
-
-number of paydays remaining in the year and enter the combined amount for all jobs . . . . . . . . . . . . . . . . . . . . . 3a.
-
-b. For all other sources of recurring taxable income, multiply the withholding amount by the remaining number of
-
-times the income is expected. For example, if you have federal income tax withheld from your monthly pension and you will receive nine more payments this year, multiply your monthly withholding amount by 9 . . . . . . . . . . . . . . . 3b.
-
-4. Add lines 2, 3a, and 3b. This is your projected withholding for 2025 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4. 5. Compare the amounts on lines 1 and 4.
-
-• If line 1 is more than line 4, subtract line 4 from line 1. You need to increase your withholding. Enter the result here and go to line 6.
-
-• If line 4 is more than line 1, subtract line 1 from line 4. You may want to decrease your withholding. Enter the result here and go to line 6. 5.
-
-6. Divide line 5 by the number of paydays (or other withholding events) remaining in 2025 and enter the result. This is the
-
-additional amount you should use to either increase or decrease the amount you have withheld from each remaining payday (or other withholding event). Follow the instructions for line 6 for your situation for completing a 2025 Form W-4. The instructions are different if your withholding so far this year was based on a 2019 (or earlier) Form W-4 or a 2025 Form W-4 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6.
-
-
-
-Instructions for line 6—If your Instructions for line 6—If your Instructions for line 6—If your withholding to date was figured withholding to date was figured withholding to date was figured based on a 2019 (or earlier) Form based on a 2019 (or earlier) Form based on a 2025 Form W-4. W-4. W-4. Use the following instructions to either Use the following instructions to Use the following instructions to increase or decrease your increase your withholding. decrease your withholding. withholding.
-
-How do you increase your withholding? Follow How do you decrease your withholding? Follow How do you increase your withholding? Follow
-
-these steps to increase your withholding by completing these steps to decrease your withholding by completing these steps to increase your withholding by completing
-
-a 2025 Form W-4. a 2025 Form W-4. a 2025 Form W-4.
-
-Step 1: • If your filing status was "Single" or Step 1: • If your filing status was "Single" or • Complete your new 2025 Form W-4
-
-"Married, but withhold at higher "Married, but withhold at higher through Step 4(b) in the same way you Single rate," check "Single." Single rate," check "Single." completed your previous Form W-4.
-
-• If your filing status was "Married," • If your filing status was "Married," • Add the amount, if any, on Step 4(c) of
-
-check "Married filing jointly." check "Married filing jointly." your previous Form W-4 to the amount
-
-Note. Head of household filing status Note. Head of household filing status was on line 6 of Worksheet 1-5 above and was not a choice on the 2019 (or not a choice on the 2019 (or earlier) enter the result on Step 4(c) of your earlier) Form(s) W-4. Form(s) W-4. new Form W-4.
-
-
-
-Step 4(a): • If your filing status was "Single" or Step 3: Multiply the amount on line 6 of How do you decrease your withholding? "Married, but withhold at higher Worksheet 1-5 by the number of paydays • Complete Steps 1, 2(c), 4(a), 4(b), Single rate," enter $10,400 (the in 2025 and enter this amount on Step 3. and 4(c) in the same way as you equivalent of 2 allowances) on Step 4(a): • If your filing status was "Single" or completed your previous Form W-4. Step 4(a). "Married, but withhold at higher • Add the amount, if any, on Step 3 of • If your filing status was "Married," Single rate," enter $10,400 (the your previous Form W-4 to the product enter $15,600 (the equivalent of 3 equivalent of 2 allowances) on Step of line 6 of Worksheet 1-5 multiplied allowances) on Step 4(a). 4(a). by the total number of paydays in 2025 Step 4(b): • If there was an entry on line 5 • If your filing status was "Married," and enter the result on Step 3 of your (number of allowances), multiply enter $15,600 (the equivalent of 3 new Form W-4. each claimed allowance by allowances) on Step 4(a).
-
-
-
-Step 4(c): $5,200 and enter the result on Step 4(b): • If there was an entry on line 5 If you make a mid-year change to your Step 4(b). (number of allowances), multiply withholding, you should complete and • If there is an amount on line 6, ! each claimed allowance by $5,200 add it to the amount on line 6 of and enter the result on Step 4(b). CAUTION give to your employer a new Form W-4 in January. The later in the year you change Worksheet 1-5 above, and enter Step 4(c): • If there was an amount on line 6, the result on Step 4(c). add it to the amount on Step 4(c). your Form W-4, the more important it is that you
-
-submit a new form the following January.
-
-
-
-Publication 505 (2025) Chapter 1 Tax Withholding for 2025 17
-
-
-
-
-
-Worksheet 1-6. Tax Credits for 2025 Form W-4 or Form W-4P Keep for Your Records
-
-
-Use this worksheet to figure any extra amount to enter in Step 3 of Form W-4 or Form W-4P. For more information on these credits, see Tax
-
-Credits, earlier.
-
-Caution. The child tax credit and the credit for other dependents are already figured in Step 3 of Form W-4 or Form W-4P.
-
-Enter the projected amount for each credit you expect to take (other than the child tax credit or credit for other dependents).
-
-1. Credit for the elderly or the disabled . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1. 2. Credit for child and dependent care expenses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2. 3. Education credits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3. 4. Adoption credit . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4. 5. Foreign tax credit . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5. 6. Retirement savings contributions credit . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6. 7. Earned income credit . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7. 8. Premium tax credit . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8.
-
-9. Other credits (see Table 1-2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9.
-
-10. Add lines 1 through 9. This is your total estimated tax credits. Include this amount in the total entered on Form W-4,
-
-Step 3 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10.
-
-
-
-18 Chapter 1 Tax Withholding for 2025 Publication 505 (2025)
-
-
-
-
-
-you may be charged a penalty even if you are Worksheets. You may need to use several of
-
-
-
-
-2. due a refund when you file your tax return. For the blank worksheets included in this chapter.
-
-information on when the penalty applies, see See Worksheets for Chapter 2 to locate what the Instructions for Form 2210. you need.
-
-
-
-Estimated Tax It would be helpful for you to have a TIP copy of your 2024 tax return and an es- Who Does Not Have To
-
-while reading this chapter. Also, keep in mind
-
-for 2025 timate of your 2025 income nearby Pay Estimated Tax
-
-the items under What's New for 2025, earlier.
-
-If you receive salaries and wages, you may be
-
-
-
-Introduction Topics able to avoid paying estimated tax by asking your employer to take more tax out of your earn- This chapter discusses: ings. To do this, file a new Form W-4 with your
-
-
-
-Estimated tax is the method used to pay tax on employer. See chapter 1. • Who must pay estimated tax, income that isn’t subject to withholding. This in-• How to figure estimated tax (including Estimated tax not required. You don’t have to cludes income from self-employment, interest, illustrated examples), pay estimated tax for 2025 if you meet all three dividends, rent, gains from the sale of assets, • When to pay estimated tax, of the following conditions. prizes, and awards. You may also have to pay • How to figure each payment, and • You had no tax liability for 2024. estimated tax if the amount of income tax being • How to pay estimated tax. • You were a U.S. citizen or resident alien for withheld from your salary, pension, or other in-the whole year. come isn’t enough. Useful Items • Your 2024 tax year covered a 12-month pe-Estimated tax is used to pay both income You may want to see: riod. tax and self-employment tax, as well as other You had no tax liability for 2024 if your total taxes and amounts reported on your tax return. Form (and Instructions) If you don’t pay enough tax, either through with-tax (defined later under Total tax for 2024—line 12b holding or estimated tax, or a combination of 1040-ES 1040-ES Estimated Tax for Individuals ) was zero or you didn’t have to file an income tax return. both, you may have to pay a penalty. If you don’t See How To Get Tax Help at the end of this pub-pay enough by the due date of each payment lication for information about how to get this period (see When To Pay Estimated Tax , later), publication and form.
-
-
-
-Publication 505 (2025) Chapter 2 Estimated Tax for 2025 19
-
-
-
-
-
-Figure 2-A. Do You Have To Pay Estimated Tax?
-
-
-
-
-Start Here
-
-
-
-1. Will you owe $1,000 or 2a. Will your income 2b. Will your income tax withholding more for 2025 after withholding and refundable and refundable credits* be at No subtracting income tax Yes credits* be at least 90% No least 100%** of the tax shown
-
-withholding and refundable (662⁄3% for farming and fishing) on your 2024 tax return? credits* from your total of the tax shown on your 2025 tax? (Don’t subtract any tax return? Note: Your 2024 return must estimated tax payments.) have covered a 12-month
-
-period.
-
-Yes
-
-No Yes
-
-
-
-You are You MUST make estimated NOT required to pay estimated tax. tax payment(s) by the
-
-required due date(s).
-
-See When To Pay Estimated Tax.
-
-
-
-* Use the refundable credits shown on the 2025 Estimated Tax Worksheet, line 11b.
-
-** 110% if less than two-thirds of your gross income for 2024 or 2025 is from farming or fishing and your 2024 adjusted gross income was
-
-more than $150,000 ($75,000 if your filing status for 2025 is married filing a separate return).
-
-
-
-Figure 2-A takes you through the general Making joint or separate estimated tax pay-
-
-Who Must Pay rule. You may find this helpful in determining if ments won’t affect your choice of filing a joint
-
-you must pay estimated tax. tax return or separate returns for 2025.
-
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-Estimated Tax If all your income will be subject to in- 2024 separate returns and 2025 joint return. TIP come tax withholding, you probably If you plan to file a joint return with your spouse don’t need to pay estimated tax. If you owed additional tax for 2024, you may for 2025, but you filed separate returns for 2024, have to pay estimated tax for 2025. your 2024 tax is the total of the tax shown on
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-Married Taxpayers your separate returns. You filed a separate re-
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-You can use the following general rule as a turn if you filed as single, head of household, or
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-guide during the year to see if you will have married filing separately. enough withholding, or should increase your If you qualify to make joint estimated tax pay-withholding or make estimated tax payments. ments, apply the rules discussed here to your 2024 joint return and 2025 separate returns.
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-joint estimated income. If you plan to file a separate return for 2025, but
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-General Rule you filed a joint return for 2024, your 2024 tax is You and your spouse can make joint estima- your share of the tax on the joint return. You file ted tax payments even if you are not living to- a separate return if you file as single, head of In most cases, you must pay estimated tax for gether. household, or married filing separately. 2025 if both of the following apply. To figure your share of the tax on a joint re- However, you and your spouse can’t make turn, first figure the tax both you and your 1. You expect to owe at least $1,000 in tax for joint estimated tax payments if: 2025 after subtracting your withholding spouse would have paid had you filed separate • You are legally separated under a decree and tax credits. returns for 2024 using the same filing status for of divorce or separate maintenance, 2025. Then, multiply the tax on the joint return 2. You expect your withholding and tax cred- • You and your spouse have different tax by the following fraction. its to be less than the smaller of: years, or • Either spouse is a nonresident alien (un- a. 90% of the tax to be shown on your less that spouse elected to be treated as a The tax you would have paid 2025 tax return, or resident alien for tax purposes). See had you filed a separate Choosing Resident Alien Status in Pub. b. 100% of the tax shown on your 2024 return
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-Note. The percentages in (2a) or (2b) just listed tax return. Your 2024 tax return must 519. The total tax you and your cover all 12 months. spouse would have paid Note. Individuals who are in registered do-had you filed separate mestic partnerships, civil unions, or other simi-returns may be different if you have income from farm-lar formal relationships that are not marriages ing or fishing or are a higher income taxpayer. under state law can’t make joint estimated tax See Special Rules , later. payments. These individuals can take credit Special Rules only for the estimated tax payments that he or If the result from using the general rule she made. ! above suggests that you won’t have There are special rules for those who have in-enough withholding, complete the CAUTION come from farming and fishing, for certain If you and your spouse can’t make joint esti-2025 Estimated Tax Worksheet for a more ac-household employers, and certain higher in-mated tax payments, apply these rules to your curate calculation. come taxpayers. separate estimated income.
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-20 Chapter 2 Estimated Tax for 2025 Publication 505 (2025) Farming and Fishing Services normally performed in connection with When figuring your 2025 estimated tax, it
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-fishing include: may be helpful to use your income, deductions,
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-If at least two-thirds of your gross income for • Shore service as an officer or crew mem- and credits for 2024 as a starting point. Use 2024 or 2025 is from farming or fishing, substi- ber of a vessel engaged in fishing; and your 2024 federal tax return as a guide. You can
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-tute 662/3% for 90% in (2a) under General Rule, • Services that are necessary for the imme- use Form 1040-ES to figure your estimated tax. earlier. diate preservation of the catch, such as Nonresident aliens use Form 1040-ES (NR) to
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-cleaning, icing, and packing the catch. figure estimated tax.
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-changes in your own situation and for recent
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-tax. To determine whether two-thirds of your changes in the tax law. Some of these changes When estimating the tax on your 2025 tax re- gross income for 2024 was from farming or fish- are discussed earlier under What's New for turn, include your household employment taxes ing, use as your gross income the total of the in- 2025 . For information about these and other if either of the following applies. come (not loss) amounts. changes in the law, visit the IRS website at • You will have federal income tax withheld IRS.gov. from wages, pensions, annuities, gambling Joint returns. On a joint return, you must add come you receive in the form of money, goods, You must make adjustments both for Household Employers property, and services that isn’t exempt from Gross income. Your gross income is all in-
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-your spouse's gross income to your gross in- winnings, or other income. The instructions for Form 1040-ES include a • You would be required to make estimated worksheet to help you figure your estimated tax. come to determine if at least two-thirds of your tax payments to avoid a penalty even if you Keep the worksheet for your records. total gross income is from farming or fishing. didn’t include household employment
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-taxes when figuring your estimated tax. 2025 Estimated Tax
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-Gross income from farming. This is income
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-commodities. It includes the following amounts. Higher Income Taxpayers from cultivating the soil or raising agricultural Worksheet
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-• Income from operating a stock, dairy, poul-
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-total of the following amounts. • try, bee, fruit, or truck farm. If your AGI for 2024 was more than $150,000 ! ($75,000 if your filing status for 2025 is married If you file Form 1040-SS use the Esti-Income from a plantation, ranch, nursery, CAUTION mated Tax Worksheet for Filers of Form filing a separate return), substitute 110% for range, orchard, or oyster bed. 1040-SS, in Form 1040-ES to figure your esti-100% in (2b) under General Rule , earlier. • Crop shares for the use of your land. mated tax. • Gains from sales of draft, breeding, dairy, For 2024, AGI is the amount shown on Form or sporting livestock. Use Worksheet 2-1 to help guide you 1040 or 1040-SR, line 11. through the information about completing the For 2024, gross income from farming is the 2025 Estimated Tax Worksheet. You can also Note. If at least two-thirds of your gross in-find a copy of the worksheet in the instructions • Schedule F (Form 1040), Profit or Loss come for 2024 or 2025 is from farming or fish-for Form 1040-ES. From Farming, line 9. ing, this rule doesn't apply. • Form 4835, Farm Rental Income and Ex-penses, line 7. Expected AGI—Line 1 Aliens • Your share of the gross farming income from a partnership, S corporation, estate or Your expected AGI for 2025 (line 1) is your ex-Resident and nonresident aliens may also have trust from Schedule K-1 (Form 1065), pected total income minus your expected ad-to pay estimated tax. Resident aliens should fol-Schedule K-1 (Form 1120-S), or Sched-justments to income. low the rules in this publication, unless noted ule K-1 (Form 1041). otherwise. Nonresident aliens should get Form • Your gains from sales of draft, breeding, Total income. Include in your total income all 1040-ES (NR), U.S. Estimated Tax for Nonresi-dairy, or sporting livestock shown on Form the income you expect to receive during the dent Alien Individuals. 4797, Sales of Business Property. year, even income that is subject to withholding.
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-Wages you receive as a farm employee and You are an alien if you are not a citizen or na- However, don’t include income that is tax ex-
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-wages you receive from a farm corporation are empt. tional of the United States. You are a resident not gross income from farming. alien if you either have a green card or meet the Total income includes all income and loss
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-substantial presence test. for 2025 that, if you had received it in 2024,
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-Gross income from fishing. This is income would have been included on your 2024 tax re-
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-from catching, taking, harvesting, cultivating, or For more information about withholding, the turn in the total on line 9 of Form 1040 or
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-weeds, or other aquatic forms of animal and ment benefits. If you expect to receive Estates and Trusts social security or tier 1 railroad retire- vegetable life. ment benefits during 2025, use Worksheet 2-2 Gross income from fishing includes the fol- Estates and trusts must also pay estimated tax. to figure the amount of expected taxable bene- lowing amounts. However, estates (and certain grantor trusts fits you should include on line 1. • clams and mussels), crustaceans (for example, (NR), see Pub. 519. Social security and railroad retire-lobsters, crabs, and shrimp), sponges, sea-farming any kind of fish, shellfish (for example, substantial presence test, and Form 1040-ES 1040-SR.
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-Schedule C (Form 1040), Profit or Loss that receive the residue of the decedent's estate
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-• Adjustments to income. Be sure to subtract From Business, line 7. under the decedent's will) are exempt from pay-
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-member of a vessel while the vessel is en- from your expected total income all of the ad- decedent's death. justments you expect to take on your 2025 tax Income for services as an officer or crew ing estimated tax for the first 2 years after the
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-• Estates and trusts must use Form 1041-ES, return. gaged in fishing.
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-• trust from Schedule K-1 (Form 1065), figure and pay estimated tax. income from self-employment, use Schedule K-1 (Form 1120S), or Sched-Worksheet 2-3 to figure your expected ule K-1 (Form 1041). How To Figure from a partnership, S corporation, estate or Estimated Income Tax for Estates and Trusts, to Self-employed. If you expect to have Your share of the gross fishing income self-employment tax and your allowable deduc-
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-age awards received in connection with the amount from Worksheet 2-3 in your expected Estimated Tax Certain taxable interest and punitive dam- tion for self-employment tax. Include the
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-• Income for services normally performed in and both you and your spouse have net earn- To figure your estimated tax, you must figure Exxon Valdez litigation. adjustments to income. If you file a joint return
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-connection with fishing. ings from self-employment, each of you must your expected AGI, taxable income, taxes, de- complete a separate worksheet. ductions, and credits for the year.
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-Publication 505 (2025) Chapter 2 Estimated Tax for 2025 21 Expected Taxable Income— Note. The tax rate on your capital gains and 4. Additional Medicare Tax. A 0.9% Addi-Line 2 dividends will depend on your income. tional Medicare Tax applies to your com-
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-your standard deduction. listed in the following chart, based on your the foreign earned income exclusion or the filing status. housing exclusion or deduction on Form 2555, Itemized deductions—line 2a. If you expect use Worksheet 2-6 to figure your estimated tax. to claim itemized deductions on your 2025 tax Filing Status Threshold Amount return, enter the estimated amount on line 2a. Married filing jointly $250,000 Step 2. Total your expected taxes (line 6). In- Itemized deductions are the deductions that Reduce your expected AGI for 2025 (line 1) by come or excluding or deducting for-either your expected itemized deductions or compensation that exceeds the amount eign housing. If you expect to claim Tax if excluding foreign earned in- ment income and/or your RRTA bined Medicare wages and self-employ-
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-can be claimed on Schedule A (Form 1040). clude on line 6 the sum of the following. Married filing separately $125,000
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-Standard deduction—line 2a. If you expect Head of household $200,000 2. Your expected alternative minimum tax 1. Your tax on line 6. Single $200,000 to claim the standard deduction on your 2025 Qualifying surviving spouse $200,000 (AMT) from Form 6251. tax return, enter the amount on line 2a. Use
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-Worksheet 2-4 to figure your standard deduc- 3. Your expected additional taxes from Form Medicare wages and self-employment tion. 8814, Parents' Election To Report Child's income are combined to determine if your Interest and Dividends, and Form 4972, income exceeds the threshold. A self-em-No standard deduction. The standard de-Tax on Lump-Sum Distributions. ployment loss should not be considered duction for some individuals is zero. Your stand-for purposes of this tax. RRTA compensa-ard deduction will be zero if you: 4. Any recapture of education credits. tion should be separately compared to the • File a separate return and your spouse threshold. Your employer is responsible for itemizes deductions, Step 3. Subtract your expected credits (line 7). withholding the 0.9% Additional Medicare • Are a dual-status alien, or If you are using your 2024 return as a guide and Tax on Medicare wages or RRTA compen-• File a return for a period of less than 12 filed Form 1040 or 1040-SR, your total credits sation it pays to you in excess of $200,000 months because you change your ac-for 2024 were shown on line 21. in 2025. You should consider this withhold-counting period. If your credits on line 7 are more than your ing, if applicable, in determining whether taxes on line 6, enter -0- on line 8 and go to you need to make an estimated payment. Expected Taxes and Credits— Step 4. Lines 4–11c 5. Net Investment Income Tax (NIIT). The Step 4. Add your expected self-employment NIIT is 3.8% of the lesser of your net in-tax (line 9). You should already have figured After you have figured your expected taxable in-vestment income or the excess of your your self-employment tax (see Self-employed come (line 3), follow the steps next to figure MAGI over the amount listed in the follow-under Expected AGI—Line 1, earlier). your expected taxes, credits, and total tax for ing chart, based on your filing status.
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-few of these steps. However, you should check Step 5. Add your expected other taxes Filing Status 2025. Most people will have entries for only a
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-every step to be sure you don’t overlook any- Married filing jointly (line 10). Threshold Amount
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-thing. Other taxes include the following. The total $250,000
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-of these taxes are entered on line 10. Married filing separately $125,000
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-Step 1. Figure your expected income tax Single $200,000 1. Additional tax on early distributions from: (line 4). Generally, you will use the 2025 Tax Head of household $200,000 Rate Schedules to figure your expected income a. An IRA or other qualified retirement Qualifying surviving spouse $250,000 tax. plan,
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-must use a different method to figure your esti-However, see below for situations where you b. A tax-sheltered annuity, or Step 6. Subtract your refundable credits c. A modified endowment contract en-mated tax. (line 11c). These include the earned income tered into after June 20, 1988. credit, additional child tax credit, fuel tax credit, Tax on child's investment income. You net premium tax credit, refundable American 2. Household employment taxes if: must use a special method to figure tax on the opportunity credit, and section 1341 credit. income of the following children who have more a. You will have federal income tax with-To figure your expected fuel tax credit, don’t than $2,700 of investment income. held from wages, pensions, annuities, include fuel tax for the first 3 quarters of the gambling winnings, or other income; year that you expect to have refunded to you. 1. Children under age 18 at the end of 2025. or The result of Steps 1 through 6 is your total 2. The following children if their earned in-estimated tax for 2025 (line 11c). b. You would be required to make esti-come isn’t more than half their support. mated tax payments even if you didn’t a. Children age 18 at the end of 2025. include household employment taxes Required Annual Payment— when figuring your estimated tax. b. Children who are full-time students at Line 12c
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-come tax rates for individuals don’t apply to a Tax on net capital gain. The regular in-least age 19 but under age 24 at the 3. Amounts entered on Schedule 2 (Form On lines 12a through 12c, figure the total end of 2025. 1040), line 14 through 17z and 19. But amount you must pay for 2025, through with-don’t include the following. holding and estimated tax payments, to avoid a. Line 17b, recapture of a federal mort-paying a penalty. net capital gain. Instead, your net capital gain is gage subsidy;
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-taxed at a lower maximum rate. General rule. The total amount you must pay b. Line 17k, tax on excess golden para- The term “net capital gain” means the is the smaller of: chute payments; amount by which your net long-term capital gain 1. 90% of your total expected tax for 2025, or for the year is more than your net short-term c. Line 17m, excise tax on insider stock
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-capital loss. compensation from an expatriated 2. 100% of the total tax shown on your 2024
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-Tax on capital gain and qualified corporation; or return. Your 2024 tax return must cover all 12 months. dividends. If the amount on line 1 in- d. Line 17n, look-back interest due un-
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-cludes a net capital gain or qualified der section 167(g) or 460(b) of the In-
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-dividends, use Worksheet 2-5 to figure your tax. ternal Revenue Code.
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-22 Chapter 2 Estimated Tax for 2025 Publication 505 (2025) Special rules. There are special rules for 4. Any refundable credit amounts on Form Saturday, Sunday, holiday rule. If the due those who have income from farming and fish- 1040 or 1040-SR, line 27, 28, and 29, and date for an estimated tax payment falls on a ing and for certain higher income taxpayers. Schedule 3 (Form 1040), lines 9, and 12. Saturday, Sunday, or legal holiday, the payment
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-2024 was more than $150,000 ($75,000 if your Total Estimated Tax Payments Pub. 509 for a list of all legal holidays. filing status for 2025 is married filing sepa-Higher income taxpayers. If your AGI for that isn’t a Saturday, Sunday, or a holiday. See will be on time if you make it on the next day
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-Needed—Line 14a
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-rately), substitute 110% for 100% in (2) above. If January payment. If you file your 2025 Form at least two-thirds of your gross income for 2024 Use lines 13 and 14a to figure the total estima- 1040 or 1040-SR by January 31, 2026, and pay or 2025 is from farming or fishing, this rule ted tax you may be required to pay for 2025. the rest of the tax you owe, you don’t need to doesn't apply. Subtract your expected withholding from your make the payment due on January 15, 2026. required annual payment (line 12c). You must
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-1040 or 1040-SR, line 11. For 2024, AGI is the amount shown on Form usually pay this difference in four equal install- Example. You do not pay any estimated tax ments. See When To Pay Estimated Tax and for 2025. You file the 2025 income tax return How To Figure Each Payment , later. and pay the balance due shown on the return Example. Your total tax on the 2024 return on January 26, 2026. was $42,581, and the expected tax for 2025 is You don’t have to pay estimated tax if: Your estimated tax for the fourth payment $71,253. Your 2024 AGI was $180,000. Be-• Line 12c minus line 13 is zero or less, or period is considered to have been paid on time. cause you had more than $150,000 of AGI in • Line 11c minus line 13 is less than $1,000. However, you may owe a penalty for not making 2024, you figure the required annual payment the first three estimated tax payments, if re-as follows. You determine that 90% of the ex-Withholding—line 13. Your expected with-quired. Any penalty for not making those pay-pected tax for 2025 is $64,128 (90% (0.90) × holding for 2025 (line 13) includes the income ments will be figured up to January 26, 2026. $71,253). Next, you determine that 110% of the tax you expect to be withheld from all sources tax shown on the 2024 return is $46,839 (110% (wages, pensions and annuities, etc.). It in-Fiscal-year taxpayers. If your tax year does (1.10) x $42,581). Finally, you determine that cludes excess social security and tier 1 railroad not start on January 1, your payment due dates the required annual payment is $46,839, the retirement tax you expect to be withheld from are: smaller of the two. your wages and compensation. For this pur-1. The 15th day of the 4th month of your fis-pose, you will have excess social security or tier Farming and fishing. If at least two-thirds cal year, 1 railroad retirement tax withholding for 2025 of your gross income for 2024 or 2025 is from only if your wages and compensation from two farming or fishing, your required annual pay-2. The 15th day of the 6th month of your fis-or more employers are more than $176,100. ment is the smaller of: cal year, It also includes Additional Medicare Tax you 1. 66 2 / 3 % (0.6667) of your total tax for 2025, 3. The 15th day of the 9th month of your fis-expect to be withheld from your wages or com-or cal year, and pensation. Your employer is responsible for
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-2. 100% of the total tax shown on your 2024 withholding the 0.9% Additional Medicare Tax 4. The 15th day of the 1st month after the
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-return. (Your 2024 tax return must cover all on Medicare wages or RRTA compensation it end of your fiscal year. 12 months.) pays to you in excess of $200,000. You don’t have to make the last payment lis-
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-For definitions of “gross income from farm- ted above if you file your income tax return by When To Pay
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-ing” and “gross income from fishing,” see Farm- the last day of the first month after the end of
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-ing and Fishing, earlier, under Special Rules. your fiscal year and pay all the tax you owe with Estimated Tax
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-your return.
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-Total tax for 2024—line 12b. Your 2024 total
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-tax is the amount on line 24 reduced by the fol- For estimated tax purposes, the year is divided When To Start lowing. into four payment periods. Each period has a
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-1. Unreported social security and Medicare specific payment due date. If you don’t pay You don’t have to make estimated tax payments
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-tax or RRTA tax from Forms 4137 or 8919 enough tax by the due date of each of the pay- until you have income on which you will owe in-included on Schedule 2 (Form 1040), lines ment periods, you may be charged a penalty come tax. If you have income subject to estima-5 and 6. even if you are due a refund when you file your ted tax during the first payment period, you
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-2. Amounts from Form 5329, Parts III through income tax return. must make your first payment by the due date
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-for the first payment period.
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-IX only. If a payment is mailed, the date of the U.S.
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-3. The following amounts from Schedule 2 postmark is considered the date of payment. You have several options when paying esti-
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-(Form 1040). The general payment periods and due dates for mated taxes. You can:
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-estimated tax payments are shown next. For ex- • Apply an overpayment from the previous
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-a. Excise tax on excess golden para- ceptions to the dates listed, see Saturday, Sun- tax year,
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-chute payments (Schedule 2, day, holiday rule. • Pay all your estimated tax by the due date line 17k). of your first payment, or
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-b. Excise tax on insider stock compen- Tax year • Pay it in installments.
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-sation from an expatriated corporation For the General due 2025 due If you choose to pay in installments, make (Schedule 2, line 17m). period: date: date: your first payment by the due date for the first
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-c. Look-back interest due under section Jan. 1 ment payments by the due dates for the later 1 payment period. Make your remaining install- 167(g) (Schedule 2, line 17n). – March 31 . . . April 15 April 15, 2025 periods.
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-d. Look-back interest due under section April 1 460(b) (Schedule 2, line 17n). To avoid any estimated tax penalties, all in-
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-– May 31 . . . . . June 15 June 16, 2025
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-stallments must be paid by their due date and
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-e. Recapture of federal mortgage sub- June 1 for the required amount.
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-sidy (Schedule 2, line 17b). – Aug. 31 . . . . Sept. 15 Sept. 15, 2025
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-f. Uncollected social security and Medi- Sept. 1 No income subject to estimated tax during Jan. 15, next
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-group-term life insurance (Schedule 2, If your tax year does not begin on January 1, you must make your first payment by the due 1 to estimated tax until a later payment period, care tax or RRTA tax on tips or – Dec. 31 first period. If you don’t have income subject . . . . year 2 Jan. 15, 2026
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-line 13). see Fiscal-year taxpayers, later. date for that period. You can pay your entire 2 See January payment , later. estimated tax by the due date for that period or
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-Publication 505 (2025) Chapter 2 Estimated Tax for 2025 23 you can pay it in installments by the due date for at that time, you don’t need to make an estima- amended estimated tax by the next payment that period and the due dates for the remaining ted tax payment. due date after the change or in installments by periods. Table 2-1 shows the general due dates that date and the due dates for the remaining
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-for making installment payments when the due Fiscal year. If at least two-thirds of your gross payment periods.
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-iday. If you don’t receive your income evenly date does not fall on a Saturday, Sunday, or hol- income for 2024 or 2025 is from farming or fish-
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-Table 2-1. payments may not be the same for each period. General Due Dates for • Pay all your estimated tax by the 15th day See Annualized Income Installment Method , Estimated Tax after the end of your tax year, or later. • 1, you can either: throughout the year, your required estimated tax ing, but your tax year does not start on January
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-Installment Payments File your return and pay all the tax you owe
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-income on which end of your tax year. ure your estimated tax during the year, Make a Make later or if your first estimated tax payment is If you first have by the 1st day of the 3rd month after the Amended estimated tax. If you refig-
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-you must pay payment installments due after April 15, 2025, figure your required How To Figure estimated tax: by:* by:*
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-Before April 1 April 15 June 15 ing Worksheet 2-10.
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-Each Payment payment for each remaining payment period us-
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-Sept. 15
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-April 1–May 31 Jan. 15 next year Example. Early in 2025, you figure estima- After you have figured your total estimated tax, June 15 Sept. 15 ted tax due of $1,800. You make estimated tax figure how much you must pay by the due date Jan. 15 next year payments on April 15 and June 16 of $450 each of each payment period. You should pay ($1,800 ÷ 4). June 1–Aug. 31 Sept. 15 Jan. 15 next year enough by each due date to avoid a penalty for On July 10, you sell investment property at a After Aug. 31 Jan. 15 (None) that period. If you don’t pay enough during any gain. Your refigured estimated tax is $4,100. next year payment period, you may be charged a penalty The required estimated tax payment for the third even if you are due a refund when you file your payment period is $2,175. tax return. The penalty is discussed in the In- *See January payment and Saturday, Sunday, If your estimated tax does not change again, structions for Form 2210. holiday rule , earlier. the required estimated tax payment for the
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-How much to pay to avoid penalty. To deter-
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-Regular Installment Method fourth payment period will be $1,025.
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-mine how much you should pay by each pay- Underpayment penalty. The penalty is fig-
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-ment due date, see How To Figure Each Pay- ured separately for each payment period. If you If your first estimated tax payment is due April
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-ment, later. figure your payments using the regular install- 15, 2025, you can figure your required payment
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-Farming and Fishing ted tax due (line 14a of the 2025 Estimated Tax because of an increase in income, you may be charged a penalty for underpayment of estima- for each period by dividing your annual estima- ment method and later refigure your payments
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-Worksheet (Worksheet 2-1)) by 4. Enter this
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-If at least two-thirds of your gross income for amount on line 15. However, use this method ted tax for the period(s) before you changed
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-2024 or 2025 is from farming or fishing, you only if your income is basically the same your payments. To see how you may be able to
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-have only one payment due date for your 2025 throughout the year. avoid or reduce this penalty, see Sched-
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-for the first three payment periods, discussed Change in estimated tax. After you make an estimated tax payment, changes in your in-under estimated tax: January 15, 2026. The due dates in the Instructions for Form 2210. ule AI—Annualized Income Installment Method
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-apply to you. come, adjustments, deductions, or credits may When To Pay Estimated Tax, earlier, don’t
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-make it necessary for you to refigure your esti-
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-If you file your 2025 Form 1040 or 1040-SR mated tax. Pay the unpaid balance of your
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-by March 2, 2026, and pay all the tax you owe
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-24 Chapter 2 Estimated Tax for 2025 Publication 505 (2025)
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-Worksheet 2-10. Amended Estimated Tax Worksheet
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-Keep for Your Records
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-1. Amended total estimated tax due . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1. 2. Multiply line 1 by:
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-50% (0.50) if next payment is due June 16, 2025
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-75% (0.75) if next payment is due September 15, 2025
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-100% (1.00) if next payment is due January 15, 2026 . . . . . . . . . . . . . . . . . 2.
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-3. Estimated tax payments for all previous periods . . . . . . . . . . . . . . . . . . . . . . 3. 4. Next required payment: Subtract line 3 from line 2 and enter the result (but not
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-less than zero) here and on your payment voucher for your next required
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-payment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4. Note. If the payment on line 4 is due January 15, 2026, stop here. Otherwise,
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-go to line 5.
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-5. Add lines 3 and 4 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5. 6. Subtract line 5 from line 1 and enter the result (but not less than zero) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6. 7. Each following required payment: If the payment on line 4 is due June 16, 2025, enter one-half of the
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-amount on line 6 here and on the payment vouchers for your payments due September 15, 2025, and January 15, 2026. If the amount on line 4 is due September 15, 2025, enter the amount from line 6 here and on the payment voucher for your payment due January 15, 2026 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7.
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-Publication 505 (2025) Chapter 2 Estimated Tax for 2025 25
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-Annualized Income Line 7. If you won’t itemize your deductions, deduction to figure each credit. For example, if use Worksheet 2-4 to figure your standard de-you need to use your AGI to figure a credit, use Installment Method duction. line 3 of Worksheet 2-7 to figure the credit for
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-If you don’t receive your income evenly through- each column. Line 12. Generally, you will use the Tax Rate out the year (for example, your income from a Schedules to figure the tax on your annualized Line 18. Add your expected other taxes. repair shop you operate is much larger in the income. However, see below for situations Other taxes include the following. summer than it is during the rest of the year), where you must use a different method to figure your required estimated tax payment for one or 1. Additional tax on early distributions from: your estimated tax. more periods may be less than the amount fig-a. An IRA or other qualified retirement ured using the regular installment method. Tax on child's investment income. You plan, must use a special method to figure tax on the The annualized income installment method income of the following children who have more b. A tax-sheltered annuity, or annualizes your tax at the end of each period than $2,700 of investment income. c. A modified endowment contract en-based on a reasonable estimate of your in-1. Children under age 18 at the end of 2025. come, deductions, and other items relating to tered into after June 20, 1988.
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-events that occurred from the beginning of the 2. The following children if their earned in- 2. Household employment taxes if: tax year through the end of the period. To see come isn’t more than half their support. a. You will have federal income tax with-whether you can pay less for any period, com-a. Children age 18 at the end of 2025. plete the 2025 Annualized Estimated Tax Work-held from wages, pensions, annuities, gambling winnings, or other income; sheet ( Worksheet 2-7 ). b. Children who are full-time students at or least age 19 but under age 24 at the You first must complete the 2025 Esti-end of 2025. mated Tax Worksheet (Worksheet 2-1) b. You would be required to make esti-! through line 14b. CAUTION mated tax payments even if you didn’t Tax on net capital gain. The regular in-include household employment taxes come tax rates for individuals don’t apply to a when figuring your estimated tax. Use the result you figure on line 32 of Work-net capital gain. Instead, your net capital gain is sheet 2-7 to make your estimated tax payments taxed at a lower maximum rate. 3. Amounts on Schedule 2 (Form 1040), and complete your payment vouchers. The term “net capital gain” means the lines 14 through 16, and 17a, 17c through 17j, 17l, and 17o through 17z and 19. amount by which your net long-term capital gain Note. If you use the annualized income in-for the year is more than your net short-term 4. Additional Medicare Tax. A 0.9% Addi-stallment method to figure your estimated tax capital loss. tional Medicare Tax applies to your com-payments, you must file Form 2210 with your bined Medicare wages and self-employ-2025 tax return. See Schedule AI—Annualized Tax on qualified dividends and capital ment income and/or your RRTA Income Installment Method in the Instructions gains. For 2025, your capital gain and divi-compensation that exceeds the amount for Form 2210 for more information. dends rate will depend on your income. listed in the following chart, based on your Tax on capital gain or qualified divi-filing status. Instructions for the 2025 dends. If the amount on line 1 includes Annualized Estimated Tax a net capital gain or qualified divi-Worksheet (Worksheet 2-7) Filing Status Threshold Amount dends, use Worksheet 2-8 to figure the amount Married filing jointly $250,000 to enter on line 10. Use Worksheet 2-7 to help you follow Married filing separately $125,000 TIP these instructions. Tax if excluding foreign earned in-Single $200,000 come or excluding or deducting for-Head of household $200,000 eign housing. If you expect to claim The purpose of this worksheet is to deter-the foreign earned income exclusion or the Qualifying surviving spouse $200,000 mine your estimated tax liability as your income housing exclusion or deduction on Form 2555, accumulates throughout the year, rather than di-Medicare wages and self-employment use Worksheet 2-9 to figure the amount to enter viding your entire year's estimated tax liability by income are combined to determine if your on line 10. 4 as if your income was earned equally through-income exceeds the threshold. A self-em-out the year. The top of the worksheet shows ployment loss should not be considered Line 13. Add the tax from Forms 8814, 4972, the dates for each payment period. The periods for purposes of this tax. RRTA compensa-and 6251 for the period. Also, include any re-build; that is, each period includes all previous tion should be separately compared to the periods. After the end of each payment period, capture of an education credit for each period. threshold. You may owe this tax if you claimed an educa-complete the corresponding worksheet column Your employer is responsible for with-tion credit in an earlier year and you received ei-to figure the payment due for that period. holding the 0.9% Additional Medicare Tax ther tax-free educational assistance or a refund on Medicare wages or RRTA compensa-Line 1. Enter your AGI for the period. This is of qualifying expenses for the same student af-tion it pays you in excess of $200,000 in your gross income for the period, including your ter filing your 2024 return. 2025. You should consider this withhold-share of partnership or S corporation income or Use the 2024 forms or worksheets to see if ing, if applicable, in determining whether loss, minus your adjustments to income for that you will owe any of the taxes just discussed. you need to make an estimated payment. period. See Expected AGI—Line 1 , earlier. Figure the tax based on your income and de-ductions during the period shown in the column 5. Net Investment Income Tax (NIIT). The Self-employment income. If you had NIIT is 3.8% of the lesser of your net in-headings. Multiply this amount by the annuali-self-employment income, first complete Sec-vestment income or the excess of your zation amounts shown for each column on tion B of this worksheet. Use the amounts on line 2 of the 2025 Annualized Estimated Tax MAGI over a specified threshold amount. line 41 when figuring your expected AGI to enter Worksheet ( Worksheet 2-7 ). Enter the result on Threshold amounts: in each column of Section A, line 1. line 13 of this worksheet.
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-ured on Schedule A (Form 1040), such as the you expect to claim because of events that will $10,000 limit on state and local taxes. Figure Line 4. Be sure to consider deduction limits fig- Line 15. Include all the nonrefundable credits
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-occur during the period.
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-your deduction limits using your expected AGI
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-in the corresponding column of line 1 (2025 An- Note. When figuring your credits for each
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-nualized Estimated Tax Worksheet (Worksheet period, annualize any item of income or
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-2-7)).
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-26 Chapter 2 Estimated Tax for 2025 Publication 505 (2025)
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-Filing Status However, if you can use a treaty rate Example. When you finished filling out the Threshold Amount
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-lower than 30%, use the percentages de- 2024 tax return, the result was an overpayment
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-Married filing jointly $250,000 termined by multiplying your treaty rate by of $750. You knew additional tax would be owed
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-Married filing separately $125,000 2.4, 1.5, and 1, respectively. in 2025. You credited $600 of the overpayment
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-Single $200,000 to the 2025 estimated tax and had the remain-4. On line 26, enter one-half of the amount ing $150 issued as a refund. Head of household $200,000 from line 14c of the Form 1040-ES (NR) In September, you amended the 2024 return 2024 Estimated Tax Worksheet in column Qualifying surviving $250,000 by filing Form 1040-X, Amended U.S. Individual spouse (b), and one-fourth in columns (c) and (d) Income Tax Return. It turned out that you owed of Worksheet 2-7. $250 more in tax than was originally thought. Line 20. Include all the refundable credits 5. On lines 24 and 27, skip column (b). This reduced the 2024 overpayment from $750
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-(other than withholding credits) you can claim to $500. Because the $750 had already been 6. On line 31, if you don’t use the actual with- because of events that occurred during the pe- applied to the 2025 estimated tax or refunded, holding method, include one-half of your riod. These include the earned income credit, the IRS billed you for the additional $250 owed, total expected withholding in column (b) additional child tax credit, fuel tax credit, net plus penalties and interest. You could not use and one-fourth in columns (c) and (d). premium tax credit, and refundable American any of the $600 that had been credited to the
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-opportunity credit. See Pub. 519 for more information. 2025 estimated tax to pay this bill.
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-Note. When figuring your refundable credits Estimated Tax Pay Online
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-deduction used to figure each credit. Paying online is convenient and secure and Payments Not Required for each period, annualize any item of income or
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-Line 29. If line 28 is smaller than line 25 and helps make sure we get your payments on time. You don’t have to pay estimated tax if your with- To pay your taxes online or for more information, you are not certain of the estimate of your 2025 holding in each payment period is at least as go to IRS.gov/Payments . Payments of U.S. tax tax, you can avoid a penalty by entering the much as: must be remitted to the IRS in U.S. dollars. Digi- amount from line 25 on line 29. • One-fourth of your required annual pay- tal assets are not accepted. You can pay using ment, or any of the following methods. Line 31. For each period, include estimated • Your required annualized income install- • Your Online Account. You can make tax tax payments made and any excess social se- ment for that period. payments through your online account, in- curity and railroad retirement tax. cluding balance payments, estimated tax Also, include estimated federal income tax You also don’t have to pay estimated tax if payments, or other types. You can also see withholding. One-fourth of your estimated with- you will pay enough through withholding to keep your payment history and other tax records holding is considered withheld on the due date the amount you will owe with your return under there. Go to IRS.gov/Account . of each payment period. To figure the amount to $1,000. • IRS Direct Pay. For online transfers di- include on line 31 for each period, multiply your rectly from your checking or savings ac- total expected withholding for 2025 by: • 25% (0.25) for the first period, How To Pay count at no cost to you, go to IRS.gov/ Payments . • 50% (0.50) for the second period, • 75% (0.75) for the third period, and Estimated Tax • Debit Card, Credit Card, or Digital Wal- let. To pay by debit or credit card or digital • 100% (1.00) for the fourth period. wallet, go to IRS.gov/Payments . There is a There are several ways to pay estimated tax. However, you may choose to include your fee charged by these service providers. • Credit an overpayment on your 2024 return withholding according to the actual dates on You can also pay by phone with a debit or to your 2025 estimated tax. which the amounts will be withheld. For each credit card. See Debit or credit card under • Pay by direct transfer from your bank ac- period, include withholding made from the be- Pay by Phone, later. count, or pay by debit or credit card using a ginning of the period up to and including the • Electronic Funds Withdrawal (EFW) is pay-by-phone system or the Internet. payment due date. You can make this choice an integrated e-file/e-pay option offered • Send in your payment (check or money or- separately for the taxes withheld from your wa- when filing your federal taxes electronically der) with a payment voucher from Form ges and all other withholding. For an explana- using tax preparation software, through a 1040-ES. tion of what to include in withholding, see Total tax professional, or the IRS at IRS.gov/ Estimated Tax Payments Needed—Line 14a , Payments . earlier. Credit an Overpayment • Online Payment Agreement. If you can’t pay in full by the due date of your tax re- Nonresident aliens. If you will file Form If you show an overpayment of tax after com- turn, you can apply for an online monthly 1040-NR and you don’t receive wages as an installment agreement at IRS.gov/OPA . pleting your Form 1040 or 1040-SR for 2024, employee subject to U.S. income tax withhold- Once you complete the online process, you can apply part or all of it to your estimated ing, the instructions for the worksheet are modi- you will receive immediate notification of tax for 2025. On Form 1040 or 1040-SR, enter fied as follows. the amount you want credited to your estimated whether your agreement has been ap- proved. A user fee is charged. 1. Skip column (a). tax rather than refunded. Take the amount you have credited into account when figuring your 2. On line 1, enter your income for the period estimated tax payments. If you timely file your Electronic Federal Tax that is effectively connected with a U.S. 2024 return, treat the credit as a payment made trade or business. Payment System (EFTPS) on April 15, 2025.
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-3. On line 21, increase your entry by the Allows you to pay your taxes online or by phone If you are a beneficiary of an estate or trust, amount determined by multiplying your in- directly from your checking or saving ac- and the trustee elects to credit 2025 trust pay- come for the period that isn’t effectively count.There is no fee for this service. You must ments of estimated tax to you, you can treat the connected with a U.S. trade or business by be enrolled either online or have an enrollment amount credited as paid by you on January 15, the following. form mailed to you. See EFTPS under Pay by 2026. a. 72% (0.72) for column (b). Phone, later.
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-b. 45% (0.45) for column (c). If you choose to have an overpayment of tax credited to your estimated tax, you can’t have c. 30% (0.30) for column (d). any of that amount refunded to you until you file
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-your tax return for the following year. You also
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-can’t use that overpayment in any other way.
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-Publication 505 (2025) Chapter 2 Estimated Tax for 2025 27 Pay by Phone Pay by Cash fer from your account or to process the payment as a check transaction. When we use informa-Paying by phone is another safe and secure tion from your check to make an electronic fund You can pay your taxes in cash. To find out
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-method of paying electronically. Use one of the transfer, funds may be withdrawn from your ac- about the different cash payment methods, go
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-following methods: (1) call one of the debit or count as soon as the same day we receive your to IRS.gov/PayCash . Don't send cash payments
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-credit card service providers, or (2) use the payment, and you will not receive your check through the mail.
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-Electronic Federal Tax Payment System back from your financial institution. (EFTPS) to pay directly from your checking or Pay by Check or Money savings account. No checks of $100 million or more accep- Order Using the Estimated
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-Debit or credit card. Call one of our service cluding a cashier's check) for amounts of Tax Payment Voucher $100,000,000 ($100 million) or more. If you are ted. The IRS can’t accept a single check (in-
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-providers. Each charges a fee that varies by
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-provider, card type, and payment amount. sending $100 million or more by check, you'll Before submitting a payment through the mail,
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-please consider alternative methods. One of need to spread the payment over two or more
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-Link2GOV Corporation checks with each check made out for an our safe, quick, and easy electronic payment
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-888-PAY-1040TM amount less than $100 million. This limit doesn't (888-729-1040) options might be right for you. Each payment of
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-www.PAY1040.com apply to other methods of payment (such as estimated tax by check or money order must be
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-accompanied by a payment voucher from Form electronic payments). Please consider a
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-EFTPS. To get more information about EFTPS fed.acipayonline.com Joint estimated tax payments. If you file a payment vouchers to the address shown in the joint return and are making joint estimated tax Form 1040-ES instructions for the place where payments, enter the names and social security you live. or to enroll in EFTPS, visit EFTPS.gov or call numbers on the payment voucher in the same 800-555-4477. To contact EFTPS using Tele- 888-UPAY-TAXTM not the window envelope that comes with the amount of the payment is over $100 million. (888-872-9829) 1040-ES package), make sure you mail your ACI Payments, Inc. 1040-ES. If you use your own envelopes (and method of payment other than check if the
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-communications Relay Services (TRS) for peo- ! structions for Form 1040. ple who are deaf, hard of hearing, or have a CAUTION Change of address. You must notify the IRS if Don’t use the address shown in the In- order as they will appear on the joint return.
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-speech disability, dial 711 and then provide the you are making estimated tax payments and If you didn’t pay estimated tax last year, get TRS assistant the 800-555-4477 number above you changed your address during the year. a copy of Form 1040-ES from the IRS (see How or 800-733-4829. Additional information about Complete Form 8822 and mail it to the address To Get Tax Help , later). Follow the instructions EFTPS is also available in Pub. 966. shown in the instructions for that form. to make sure you use the vouchers correctly.
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-Pay by Mobile Device Notice to taxpayers presenting checks.
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-When you provide a check as payment, you au-
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-To pay through your mobile device, download thorize us either to use information from your the IRS2Go application. check to make a one-time electronic fund trans-
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-28 Chapter 2 Estimated Tax for 2025 Publication 505 (2025) Worksheets for Chapter 2
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-Use the following worksheets and tables to figure your correct estimated tax.
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-IF you need... THEN use...
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-2025 Tax Rate Schedules 2025 Tax Rate Schedules
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-the 2025 Estimated Tax Worksheet Worksheet 2-1
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-to estimate your taxable social security and railroad retirement benefits—line 1 of ES Worksheet (or Worksheet 2-2 Annualized ES Worksheet (Worksheet 2-7))
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-to estimate your self-employment (SE) tax and your deduction for SE tax—lines 1 and 11 of ES Worksheet Worksheet 2-3 (lines 1 and 17 of Annualized ES Worksheet (Worksheet 2-7))
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-to estimate your standard deduction—line 2 of ES Worksheet (line 7 of Annualized ES Worksheet Worksheet 2-4 (Worksheet 2-7))
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-to estimate your income tax if line 1 of your ES Worksheet includes a net capital gain or qualified Worksheet 2-5 dividends—line 4 of ES Worksheet
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-to estimate your income tax if you expect to claim a foreign earned income exclusion or foreign housing Worksheet 2-6 exclusion or deduction on Form 2555—line 4 of ES Worksheet
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-the 2025 Annualized Estimated Tax Worksheet (Annualized ES Worksheet) Worksheet 2-7
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-to estimate your income tax if line 1 of your Annualized ES Worksheet includes a net capital gain or Worksheet 2-8 qualified dividends—line 10 of Annualized ES Worksheet
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-to estimate your income tax if you expect to claim a foreign earned income exclusion or foreign housing Worksheet 2-9 exclusion or deduction on Form 2555—line 10 of Annualized ES Worksheet
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-to refigure (amend) your estimated tax during the year Worksheet 2-10
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-Publication 505 (2025) Chapter 2 Estimated Tax for 2025 29
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-2025 Tax Rate Schedules
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-!
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-CAUTION Don’t use these Tax Rate Schedules to figure your 2024 taxes. Use them only to figure your 2025 estimated
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-taxes.
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-Schedule X—Use if your 2025 filing status is Schedule Z— Use if your 2025 filing status is Single Head of household If line 3 is: The tax is: If line 3 is: The tax is:
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-of the of the
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-But not amount But not amount
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-Over— over— over— Over— over— over—
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-$0 $11,925 10% $0 $0 $17,000 10% $0
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-11,925 48,475 $1,192.50 + 12% 11,925 17,000 64,850 $1,700.00 + 12% 17,000 48,475 103,350 5,578.50 + 22% 48,475 64,850 103,350 7,442.00 + 22% 64,850
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-103,350 197,300 17,651.00 + 24% 103,350 103,350 197,300 15,912.00 + 24% 103,350 197,300 250,525 40,199.00 + 32% 197,300 197,300 250,500 38,460.00 + 32% 197,300 250,525 626,350 57,231.00 + 35% 250,525 250,500 626,350 55,484.00 + 35% 250,500 626,350 - - - - - - 188,769.75 + 37% 626,350 626,350 - - - - - - 187,031.50 + 37% 626,350
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-Schedule Y-1— Use if your 2025 filing status is Schedule Y-2— Use if your 2025 filing status is Married filing jointly or Qualifying surviving spouse Married filing separately If line 3 is: The tax is: If line 3 is: The tax is:
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-of the of the
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-But not amount But not amount
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-Over— over— over— Over— over— over—
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-$0 $23,850 10% $0 $0 $11,925 10% $0
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-23,850 96,950 $2,385.00 + 12% 23,850 11,925 48,475 $1,192.50 + 12% 11,925 96,950 206,700 11,157.00 + 22% 96,950 48,475 103,350 5,578.50 + 22% 48,475
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-206,700 394,600 35,302.00 + 24% 206,700 103,350 197,300 17,651.00 + 24% 103,350 394,600 501,050 80,398.00 + 32% 394,600 197,300 250,525 40,199.00 + 32% 197,300 501,050 751,600 114,462.00 + 35% 501,050 250,525 375,800 57,231.00 + 35% 250,525 751,600 - - - - - - 202,154.50 + 37% 751,600 375,800 - - - - - - 101,077.25 + 37% 375,800
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-30 Chapter 2 Estimated Tax for 2025 Publication 505 (2025)
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-Worksheet 2-1. 2025 Estimated Tax Worksheet Keep for Your Records
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-!
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-CAUTION When this worksheet refers you to instructions, you can find those instructions in the 2025 Form 1040-ES.
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-1. Adjusted gross income you expect in 2025 (see instructions) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1.
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-2a. Deductions •
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-• If you plan to itemize deductions, enter the estimated total of your itemized deductions. If you don’t plan to itemize deductions, enter your standard deduction (see instructions) . . . . . . . . .. . . . . . . . . 2a.
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-b. If you can take the qualified business income deduction, enter the estimated amount of the deduction . . . . . . . . . . 2b. c. Add lines 2a and 2b . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2c. 3. Subtract line 2c from line 1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3. 4. Tax. Figure your tax on the amount on line 3 by using the 2025 Tax Rate Schedules.
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-Caution: If you will have qualified dividends or a net capital gain, or expect to exclude or deduct foreign earned income or housing, see Worksheets 2-5 and 2-6 to figure the tax . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.
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-5. Alternative minimum tax from Form 6251 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5. 6. Add lines 4 and 5. Add to this amount any other taxes you expect to include in the total on Form 1040 or 1040-SR,
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-line 16 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6.
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-7. Credits (see instructions). Don’t include any income tax withholding on this line . . . . . . . . . . . . . . . . . . . . . . . . . . 7. 8. Subtract line 7 from line 6. If zero or less, enter -0- . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8. 9. Self-employment tax (see instructions) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9.
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-10. Other taxes including, if applicable, Additional Medicare Tax and/or NIIT (see instructions) . . . . . . . . . . . . . . . . . . 10.
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-11a. Add lines 8 through 10 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11a.
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-b. Earned income credit, additional child tax credit, fuel tax credit, net premium tax credit, refundable American
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-opportunity credit, and section 1341 credit. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11b. ▶
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-c. Total 2025 estimated tax. Subtract line 11b from line 11a. If zero or less, enter -0- . . . . . . . . . . . . . . . . .
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-11c.
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-12a. Multiply line 11c by 90% (0.90) (662/3% (0.6667) for farming and fishing) . . . . . 12a.
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-b. Required annual payment based on prior year's tax (see instructions) . . . . . . . 12b. ▶ c. Required annual payment to avoid a penalty. Enter the smaller of line 12a or 12b . . . . . . . . . . . . . . .
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-12c.
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-Caution: Generally, if you don’t prepay (through income tax withholding and estimated tax payments) at least the amount on line 12c, you may owe a penalty for not paying enough estimated tax. To avoid a penalty, make sure your estimate on line 11c is as accurate as possible. Even if you pay the required annual payment, you may still owe tax when you file your return. If you prefer, you can pay the amount shown on line 11c.
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-13. Income tax withheld and estimated to be withheld during 2025 (including income tax withholding on pensions,
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-annuities, certain deferred income and Additional Medicare Tax withholding.) . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13.
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-14a. Subtract line 13 from line 12c . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14a.
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-Is the result zero or less?
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-Yes. Stop here. You are not required to make estimated tax payments.
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-No. Go to line 14b.
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-b. Subtract line 13 from line 11c . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14b.
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-Is the result less than $1,000?
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-Yes. Stop here. You are not required to make estimated tax payments.
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-No. Go to line 15 to figure your required payment.
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-15. If the first payment you are required to make is due April 15, 2025, enter ¼ of line 14a (minus any 2024 overpayment
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-that you are applying to this installment) here, and on your estimated tax payment voucher(s) if you are paying by check or money order . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15.
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-Publication 505 (2025) Chapter 2 Estimated Tax for 2025 31 Worksheet 2-2. 2025 Estimated Tax Worksheet—Line 1
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-Estimated Taxable Social Security and Railroad Retirement Benefits Keep for Your Records
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-Note. If you are using this worksheet to estimate your taxable social security or railroad retirement benefits for Worksheet 2-7, 2025 Annualized Estimated Tax Worksheet, multiply the expected amount of benefits for each period by the annualization amount shown on Worksheet 2-7, line 2, for the same period before entering it on line 1 below.
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-1. Enter your expected social security and railroad retirement benefits . . . . . . . . . . . . . . . . 1. 2. Enter one-half of line 1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2. 3. Enter your expected total income. Don’t include any social security and railroad
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-retirement benefits, nontaxable interest income, nontaxable IRA distributions, or nontaxable pension distributions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.
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-4. Enter your expected nontaxable interest income . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4. 5. Enter (as a positive amount) the total of any expected exclusions or deductions for:
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-• U.S. savings bond interest used for higher education expenses (Form 8815) • Employer-provided adoption benefits (Form 8839)
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-• Foreign earned income or housing (Form 2555)
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-• Income by bona fide residents of American Samoa (Form 4563) or Puerto
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-Rico . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5.
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-6. Add lines 2, 3, 4, and 5 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6. 7. Enter your expected adjustments to income. Don’t include any student loan
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-interest deduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7.
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-8. Subtract line 7 from line 6. If zero or less, stop here.
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-Note. Don’t include any social security or railroad retirement benefits in the amount on line 1 of your 2025 Estimated Tax Worksheet (Worksheet 2-1) (or Annualized Estimated Tax Worksheet (Worksheet 2-7)) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8.
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-9. Enter $25,000 ($32,000 if you expect to file married filing jointly; $0 if you expect to file
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-married filing separately and expect to live with your spouse at any time during the year) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9.
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-10. Subtract line 9 from line 8. If zero or less, stop here.
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-Note. Don’t include any social security or railroad retirement benefits in the amount on line 1 of your Worksheet 2-1 (or Annualized Estimated Tax Worksheet (Worksheet 2-7)) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10.
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-11. Enter $9,000 ($12,000 if you expect to file married filing jointly; $0 if you expect to file
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-married filing separately and expect to live with your spouse at any time during the year) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11.
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-12. Subtract line 11 from line 10. If zero or less, enter -0- . . . . . . . . . . . . . . . . . . . . . . . . . . . 12. 13. Enter the smaller of line 10 or line 11 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13. 14. Enter one-half of line 13 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14. 15. Enter the smaller of line 2 or line 14 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15. 16. Multiply line 12 by 85% (0.85). If line 12 is zero, enter -0- . . . . . . . . . . . . . . . . . . . . . . . . 16. 17. Add lines 15 and 16 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17. 18. Multiply line 1 by 85% (0.85) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18. 19. Enter the smaller of line 17 or line 18 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19. 20. Expected taxable social security and railroad retirement benefits for the period.
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-Divide line 19 by the annualization amount shown on Worksheet 2-7, line 2, for the same period and enter here. Include this amount in the total on line 1 of your 2025 Estimated Tax Worksheet (Worksheet 2-1) (or Annualized Estimated Tax Worksheet (Worksheet 2-7)) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20.
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-32 Chapter 2 Estimated Tax for 2025 Publication 505 (2025) Worksheet 2-3. 2025 Estimated Tax Worksheet—Lines 1 and 9
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-Estimated Self-Employment Tax and Deduction Worksheet Keep for Your Records
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-1 a. Enter your expected income and profits subject to self-employment
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-tax* . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1a. .
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-b. If you will have farm income and also receive social security retirement or
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-disability benefits, enter your expected Conservation Reserve Program
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-payments that will be included on Schedule F (Form 1040) or listed on
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-Schedule K-1 (Form 1065) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1b.
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-2. Subtract line 1b from line 1a . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2. 3. Multiply line 2 by 92.35% (0.9235). If less than $400, don’t complete this
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-worksheet; you won’t owe self-employment tax on your expected net
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-earnings from self-employment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.
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-4. Multiply line 3 by 2.9% (0.029) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4. 5. Maximum income subject to social security tax . . . . . . . . . . . . . . . . . . . . . 5. $176,100 6. Enter your expected wages (if subject to social security tax or the
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-6.2% portion of tier 1 railroad retirement tax) . . . . . . . . . . . . . . . . . . . . . . . 6.
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-7. Subtract line 6 from line 5 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7.
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-Note. If line 7 is zero or less, enter -0- on line 9 and skip to line 10.
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-8. Enter the smaller of line 3 or line 7 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8. 9. Multiply line 8 by 12.4% (0.124) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9.
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-10. Add line 4 and line 9. Enter the result here and on line 9 of your 2025 Estimated Tax Worksheet
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-(Worksheet 2-1) (or line 15 of the Annualized Estimated Tax Worksheet (Worksheet 2-7)) . . . . . . . . . . 10.
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-11. Multiply line 10 by 50% (0.50). This is your expected deduction for self-employment tax on Schedule 1
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-(Form 1040), line 15. Subtract this amount when figuring your AGI on line 1 of your 2025 Estimated Tax Worksheet (Worksheet 2-1) (or Annualized Estimated Tax Worksheet (Worksheet 2-7)) . . . . . . . . 11.
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-*Net profit from self-employment is found on Schedule C, Schedule F, and Schedule K-1 (Form 1065).
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-Publication 505 (2025) Chapter 2 Estimated Tax for 2025 33 Worksheet 2-4. 2025 Estimated Tax Worksheet—Line 2
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-Standard Deduction Worksheet Keep for Your Records
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-Caution. Don’t complete this worksheet if you expect your spouse to itemize on a separate return or you expect to be a dual-status alien. In either case, your standard deduction will be zero.
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-1. Enter the amount shown below for your filing status.
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-• Single or married filing separately—$15,000
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-• Married filing jointly or Qualifying surviving spouse—$30,000
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-• Head of household—$22,500 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1.
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-2. Can you (or your spouse if filing jointly) be claimed as a dependent on someone else's
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-return?
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-No. Skip line 3; enter the amount from line 1 on line 4.
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-Yes. Go to line 3.
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-3. Is your earned income* more than $900?
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-Yes. Add $450 to your earned income. Enter the total.
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-No. Enter $1,350 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.
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-4. Enter the smaller of line 1 or line 3 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4. 5. Were you (or your spouse if filing jointly) born before January 2, 1961, or blind?
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-No. Go to line 6.
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-Yes. Check if:
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-a. You were Born before January 2, 1961 Blind b. Your spouse was Born before January 2, 1961 Blind
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-c. Total boxes checked in 5a and 5b
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-▶ Multiply $1,600 ($2,000 if single or head of household) by the number in the box on line 5c . . . . . . . . 5.
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-6. Standard deduction. Add lines 4 and 5. Enter the result here and on line 2 of your 2025 Estimated Tax
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-Worksheet (Worksheet 2-1) (or line 7 of your 2025 Annualized Estimated Tax Worksheet (Worksheet 2-7)) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6.
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-* Earned income includes wages, salaries, tips, professional fees, and other compensation received for personal services you performed. It also includes taxable scholarships and
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-fellowship grants. Reduce your earned income by your allowed deduction for self-employment tax (Worksheet 2-3, line 11).
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-34 Chapter 2 Estimated Tax for 2025 Publication 505 (2025) Worksheet 2-5. 2025 Estimated Tax Worksheet—Line 4
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-Qualified Dividends and Capital Gain Tax Worksheet
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-Keep for Your Records
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-1. Enter the amount from the appropriate worksheet.
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-• Line 3 of your 2025 Estimated Tax Worksheet.
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-• Line 3 of Worksheet 2-6 (use if you will exclude or deduct foreign earned
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-income or housing) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1.
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-2. Enter your qualified dividends expected for 1 2025 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.
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-3. Enter your net capital gain expected for 20251 . . . . . . 3.
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-4. Add lines 2 and 3 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.
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-5. Enter your 28% rate gain or loss expected for 2 2025 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5.
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-6. Enter your unrecaptured section 1250 gain expected for
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-2025 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6.
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-7. Add lines 5 and 6 . . . . . . . . . . . . . . . . . . . . . . . . . . 7.
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-8. Enter the smaller of line 3 or line 7 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8. 9. Subtract line 8 from line 4 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9.
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-10. Subtract line 9 from line 1. If zero or less, enter -0- . . . . . . . . . . . . . . . . . . . 10. 11. Enter the smaller of line 1 or $96,700 ($48,350 if single
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-or married filing separately, or $64,750 if head of
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-household) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11.
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-12. Enter the smaller of line 10 or line 11 . . . . . . . . . . . 12.
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-13 a. Subtract line 4 from line 1. If zero or less,
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-enter -0- . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13a.
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-b. Enter the smaller of line 1 or:
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-• $197,300 if single or married filing separately;
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-• $197,300 if head of household; or
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-• $394,600 if married filing jointly or qualifying
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-surviving spouse . . . . . . . . . . . . . . . . . . . . . . b.
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-c. Enter the smaller of line 10 or line 13b . . . . . . . . . c.
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-14. Enter the larger of line 13a or 13c . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14.
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-Note. If line 11 and line 12 are the same, skip line 15 and go to line 16.
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-15. Subtract line 12 from line 11. This is the amount taxed at 0% . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15.
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-Note. If lines 1 and 11 are the same, skip lines 16 through 36 and go to line 37.
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-16. Enter the smaller of line 1 or line 9 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16. 17. Enter the amount from line 15. If line 15 is blank, enter -0- . . . . . . . . . . . . . . 17. 18. Subtract line 17 from line 16. If zero or less, enter -0- . . . . . . . . . . . . . . . . . 18. 19. Enter:
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-• $533,400 if single,
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-• $300,000 if married filing separately,
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-• $600,050 if married filing jointly or qualifying surviving spouse, or • $566,700 if head of household . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19.
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-20. Enter the smaller of line 1 or line 19 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20. 21. Add lines 14 and 15 . . . . . . . . . . . . . . . . . . . . . . . . 21.
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-22. Subtract line 21 from line 20. If zero or less,
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-enter -0- . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22.
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-23. Enter the smaller of line 18 or line 22 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23. 24. Multiply line 23 by 15% (0.15) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24. 25. Add lines 17 and 23. If line 1 equals the sum of lines 21 and 23, skip lines 26
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-through 36 and go to line 37 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25.
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-26. Subtract line 25 from line 16 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26. 27. Multiply line 26 by 20% (0.20) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27. 28. Enter the smaller of line 3 or line 6 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28. 29. Add lines 4 and 14 . . . . . . . . . . . . . . . . . . . . . . . . . 29.
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-30. Enter the amount from line 1 above . . . . . . . . . . . . . 30.
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-31. Subtract line 30 from line 29. If zero or less, enter -0- . . . . . . . . . . . . . . . . . 31. 32. Subtract line 31 from line 28. If zero or less, enter -0- . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32. 33. Multiply line 32 by 25% (0.25) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33.
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-Note. If line 5 is zero or blank, skip lines 34 through 36 and go to line 37.
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-34. Add lines 14, 15, 23, 26, and 32 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34. 35. Subtract line 34 from line 1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35.
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-Publication 505 (2025) Chapter 2 Estimated Tax for 2025 35 Worksheet 2-5. 2025 Estimated Tax Worksheet—Line 4
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-Qualified Dividends and Capital Gain Tax Worksheet (Continued) Keep for Your Records
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-36. Multiply line 35 by 28% (0.28) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36. 37. Figure the tax on the amount on line 14 from the 2025 Tax Rate Schedules . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37. 38. Add lines 24, 27, 33, 36, and 37 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38. 39. Figure the tax on the amount on line 1 from the 2025 Tax Rate Schedules . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39. 40. Tax on all taxable income (including capital gains and qualified dividends). Enter the smaller of line 38
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-or line 39 here and on line 4 of the 2025 Estimated Tax Worksheet (Worksheet 2-1) (or line 4 of Worksheet 2-6) . . . . . . . . . 40.
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-1 If you expect to deduct investment interest expense, don’t include on this line any qualified dividends or net capital gain that you will elect to treat as
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-investment income.
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-2 This includes a section 1202 exclusion from eligible gain on qualified small business stock and gain or loss from the sale or exchange of collectibles. See the
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-Instructions for Schedule D (Form 1040) for more information.
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-Worksheet 2-6. 2025 Estimated Tax Worksheet—Line 4
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-Foreign Earned Income Tax Worksheet Keep for Your Records
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-Before you begin: If line 3 of your 2025 Estimated Tax Worksheet (Worksheet 2-1) is zero, don’t complete this worksheet.
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-1. Enter the amount from line 3 of your 2025 Estimated Tax Worksheet (Worksheet 2-1) . . . . . . . . . . . . . . . . . 1. 2. Enter the total foreign earned income and housing amount you (and your spouse if filing jointly) expect to
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-exclude or deduct in 2025 on Form 2555 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.
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-3. Add lines 1 and 2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3. 4. Tax on the amount on line 3. Use the 2025 Tax Rate Schedules or Worksheet 2-5,* as appropriate . . . . . 4.
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-5. Tax on the amount on line 2. Use the 2025 Tax Rate Schedules . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5. 6. Subtract line 5 from line 4. Enter the result here and on line 4 of your 2025 Estimated Tax Worksheet
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-(Worksheet 2-1). If zero or less, enter -0- . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6.
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-*If using Worksheet 2-5 (Qualified Dividends and Capital Gain Tax Worksheet), enter the amount from line 3 above on line 1 of Worksheet 2-5. Complete Worksheet 2-5 through line 9. Next, determine if you have a capital gain excess. Figuring capital gain excess. To find out if you have a capital gain excess, subtract line 3 of your 2025 Estimated Tax Worksheet (Worksheet 2-1) from line 9 of Worksheet 2-5. If the result is more than zero, that amount is your capital gain excess. Make these modifications only for purposes of filling out Worksheet 2-6.
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-a. Reduce (but not below zero) the amount you otherwise would enter on line 3 of Worksheet 2-5 by your capital
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-gain excess.
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-b. Reduce (but not below zero) the amount you otherwise would enter on line 2 of Worksheet 2-5 by any of your
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-capital gain excess not used in (a) above.
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-c. Reduce (but not below zero) the amount you otherwise would enter on line 5 of Worksheet 2-5 by your capital
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-gain excess.
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-d. Reduce (but not below zero) the amount you otherwise would enter on line 6 of Worksheet 2-5 by your capital
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-gain excess.
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-36 Chapter 2 Estimated Tax for 2025 Publication 505 (2025)
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-Worksheet 2-7. 2025 Annualized Estimated Tax Worksheet Keep for Your Records
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-Note. For instructions, see Annualized Income Installment Method, earlier.
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-Before you begin: Complete the 2025 Estimated Tax Worksheet—Worksheet 2-1.
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-Section A (For Figuring Your Annualized Estimated Tax Payments)—Complete each column after end of period shown.
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-Estates and trusts: See Form 1041-ES and Form 2210 for more information. (a) (b) (c) (d)
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-1/1/25–3/31/25 1/1/25–5/31/25 1/1/25–8/31/25 1/1/25–
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-12/31/25
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- 1. Adjusted gross income (AGI) for each period (see instructions). Complete
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-Section B first . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1.
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- 2. Annualization amounts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2. 4 2.4 1.5 1  3. Annualized income. Multiply line 1 by line 2 . . . . . . . . . . . . . . . . . . . . . . . 3.  4. If you itemize, enter itemized deductions for period shown in the column
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-headings (see instructions). If you take the deduction for qualified business
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-income, add it to your itemized deductions. All others, enter -0- and skip to
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-line 7 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.
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- 5. Annualization amounts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5. 4 2.4 1.5 1  6. Multiply line 4 by line 5 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6.  7. Standard deduction from Worksheet 2-4 (see instructions) . . . . . . . . . . . . 7.  8. Enter the larger of line 6 or line 7 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8.  9. Deduction for qualified business income . . . . . . . . . . . . . . . . . . . . . . . . . 9. 10. Add lines 8 and 9 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10. 11. Subtract line 10 from line 3. If zero or less, enter -0- . . . . . . . . . . . . . . . . . 11. 12. Figure your tax on the amount on line 11 (see instructions) . . . . . . . . . . . . 12. 13. For each period, enter any tax from Forms 8814, 4972, and 6251. Also,
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-include any recapture of education credits (see instructions) . . . . . . . . . . . 13.
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-14. Add lines 12 and 13 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14. 15. Enter nonrefundable credits for each period (see instructions) . . . . . . . . . . 15. 16. Subtract line 15 from line 14 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16. 17. Self-employment tax from line 41 of Section B . . . . . . . . . . . . . . . . . . . . . 17. 18. Enter other taxes for each period, including, if applicable, Additional Medicare
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-Tax and/or NIIT (see instructions) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18.
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-19. Total tax. Add lines 16, 17, and 18 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19. 20. Enter refundable credits for each period (see instructions for type of credits
-
-allowed). Don’t include any income tax withholding on this line . . . . . . . . . 20.
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-21. Subtract line 20 from line 19. If zero or less, enter -0- . . . . . . . . . . . . . . . . 21. 22. Applicable percentage . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22. 22.5% 45% 67.5% 90% 23. Multiply line 21 by line 22 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23.
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-Complete lines 24 through 29 of one column before going to line 24 of
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-the next column.
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-24. Enter the total of the amounts in all previous columns of line 29 . . . . . . . . . 24. 25. Annualized income installment. Subtract line 24 from line 23. If zero or less,
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-enter -0- . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25.
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-26. Enter 25% (0.25) of line 12c of your 2025 Estimated Tax Worksheet
-
-(Worksheet 2-1) in each column . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26.
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-27. Subtract line 29 of the previous column from line 28 of that column . . . . . . . 27. 28. Add lines 26 and 27 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28. 29. Enter the smaller of line 25 or line 28 (see instructions) . . . . . . . . . . . . . . 29. 30. Total required payments for the period. Add lines 24 and 29 . . . . . . . . . . . 30. 31. Estimated tax payments made (line 32 of all previous columns) plus tax
-
-withholding through the due date for the period (see instructions) . . . . . . . . 31.
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-32. Estimated tax payment required by the next due date. Subtract line 31 from
-
-line 30 and enter the result (but not less than zero) here and on your payment
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-voucher . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32.
-
-
-
-Publication 505 (2025) Chapter 2 Estimated Tax for 2025 37
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-
-
-
-
-Worksheet 2-7. 2025 Annualized Estimated Tax Worksheet (Continued) Keep for Your Records
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-
-
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-Section B (For Figuring Your Annualized Estimated Self-Employment Tax)—Complete each column after end of period shown.
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-
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-(Form 1040 or 1040-SR filers only) (a) (b) (c) (d) 1/1/25–3/31/25 1/1/25–5/31/25 1/1/25–8/31/25 1/1/25–12/31/25
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-33. Net earnings from self-employment for the period . . . . . . . . . . 33. 34. Prorated social security tax limit . . . . . . . . . . . . . . . . . . . . . . . 34. $44,025 $73,375 $117,400 $176,100 35. Enter actual wages for the period subject to social security tax or
-
-the 6.2% portion of the tier 1 railroad retirement tax.
-
-Exception: If you file Form 4137 or Form 8919, see
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-instructions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35.
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-36. Subtract line 35 from line 34. If zero or less, enter -0- . . . . . . . . 36. 37. Annualization amounts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37. 0.496 0.2976 0.186 0.124 38. Multiply line 37 by the smaller of line 33 or line 36 . . . . . . . . . . 38. 39. Annualization amounts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39. 0.116 0.0696 0.0435 0.029 40. Multiply line 33 by line 39 . . . . . . . . . . . . . . . . . . . . . . . . . . . 40. 41. Add lines 38 and 40. Enter the result here and on line 17 of
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-Section A . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41.
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-42. Annualization amounts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42. 8 4.8 3 2 43. Deduction for self-employment tax. Divide line 41 by line 42.
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-Enter the result here. Use this result to figure your AGI on
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-line 1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43.
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-
-
-38 Chapter 2 Estimated Tax for 2025 Publication 505 (2025) Worksheet 2-8. 2025 Annualized Estimated Tax Worksheet—Line 10
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-
-
-
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-Qualified Dividends and Capital Gain Tax Worksheet Keep for Your Records
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-
-
-
-Note. To figure the annualized entries for lines 2, 3, 5, and 6 below, multiply the expected amount for the period by the annualization amount on line 2 of
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-Worksheet 2-7 for the same period.
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-1. Enter the amount from the appropriate worksheet. •
-
-Line 11 of your 2025 Annualized Estimated Tax Worksheet
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-• (Worksheet 2-7).
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-Line 3 of Worksheet 2-9 (use if you will exclude or deduct foreign earned income or
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-housing) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1.
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-2. Enter your annualized qualified dividends expected for 1 2025 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2. 3. Enter your annualized net capital gain expected for 20251 . . . . . . 3. 4. Add lines 2 and 3 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.
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-5. Enter your annualized 28% rate gain or loss expected for 2 2025 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5. 6. Enter your annualized unrecaptured section 1250 gain expected for
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-2025 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6.
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-7. Add lines 5 and 6 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7. 8. Enter the smaller of line 3 or line 7 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8. 9. Subtract line 8 from line 4 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9.
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-10. Subtract line 9 from line 1. If zero or less, enter -0- . . . . . . . . . . . . . . . . . . . . . . . . . 10. 11. Enter the smaller of line 1 or $96,700 ($48,350 if single or married
-
-filing separately, or $64,750 if head of household) . . . . . . . . . . . 11.
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-12. Enter the smaller of line 10 or line 11 . . . . . . . . . . . . . . . . . . . . 12. 13. a. Subtract line 4 from line 1. If zero or less, enter -0- . . . . . . . . . 13a.
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-b. Enter the smaller of line 1 or:
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-• $197,300 if single or married filing separately;
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-• $197,300 if head of household; or
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-• $394,600 if married filing jointly or qualifying surviving
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-spouse . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . b.
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-c. Enter the smaller of line 10 or line 13b . . . . . . . . . . . . . . . . . c.
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-14. Enter the larger of line 13a or 13c . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14.
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-Note. If line 11 and line 12 are the same, skip line 15 and go to line 16 .
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-15. Subtract line 12 from line 11. This is the amount taxed at 0% . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15.
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-Note. If lines 1 and 11 are the same, skip lines 16 through 36 and go to line 37.
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-16. Enter the smaller of line 1 or line 9 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16. 17. Enter the amount from line 15. If line 15 is blank, enter -0- . . . . . . . . . . . . . . . . . . . . 17. 18. Subtract line 17 from line 16. If zero or less, enter -0- . . . . . . . . . . . . . . . . . . . . . . . 18. 19. Enter:
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-• $533,400 if single,
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-• $300,000 if married filing separately,
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-• $600,050 if married filing jointly or qualifying surviving spouse, or • $566,700 if head of household . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19.
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-20. Enter the smaller of line 1 or line 19 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20. 21. Add lines 14 and 15 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21. 22. Subtract line 21 from line 20. If zero or less, enter -0- . . . . . . . . . 22. 23. Enter the smaller of line 18 or line 22 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23. 24. Multiply line 23 by 15% (0.15) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24. 25. Add lines 17 and 23. If line 1 equals the sum of lines 21 and 23, skip lines 26 through 36
-
-and go to line 37 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25.
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-26. Subtract line 25 from line 16 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26. 27. Multiply line 26 by 20% (0.20) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27. 28. Enter the smaller of line 3 or line 6 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28. 29. Add lines 4 and 14 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29. 30. Enter the amount from line 1 above . . . . . . . . . . . . . . . . . . . . . 30. 31. Subtract line 30 from line 29. If zero or less, enter -0- . . . . . . . . . . . . . . . . . . . . . . . 31. 32. Subtract line 31 from line 28. If zero or less, enter -0- . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32. 33. Multiply line 32 by 25% (0.25) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33.
-
-Note. If line 5 is zero or blank, skip lines 34 through 36 and go to line 37.
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-34. Add lines 14, 15, 23, 26, and 32 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34. 35. Subtract line 34 from line 1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35.
-
-
-
-Publication 505 (2025) Chapter 2 Estimated Tax for 2025 39 Worksheet 2-8. 2025 Annualized Estimated Tax Worksheet—Line 10
-
-
-
-
-
-Qualified Dividends and Capital Gain Tax Worksheet
-
-
-(Continued) Keep for Your Records
-
-36. Multiply line 35 by 28% (0.28) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36. 37. Figure the tax on the amount on line 14 from the 2025 Tax Rate Schedules . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37. 38. Add lines 24, 27, 33, 36, and 37 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38. 39. Figure the tax on the amount on line 1 from the 2025 Tax Rate Schedules . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39. 40. Tax on all taxable income (including capital gains and qualified dividends). Enter the smaller of line 38 or
-
-line 39 here and on line 12 of the appropriate column of the 2025 Annualized Estimated Tax Worksheet (or line 4 of Worksheet 2-9 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40.
-
-1 If you expect to deduct investment interest expense, don’t include on this line any qualified dividends or net capital gain that you will elect to treat as
-
-investment income.
-
-2 This includes a section 1202 exclusion from eligible gain on qualified small business stock and gain or loss from the sale or exchange of collectibles. See the
-
-Instructions for Schedule D (Form 1040) for more information.
-
-
-
-Worksheet 2-9. 2025 Annualized Estimated Tax Worksheet—Line 10
-
-Foreign Earned Income Tax Worksheet Keep for Your Records
-
-
-
-Before you begin: If line 11 of Worksheet 2-7 (2025 Annualized Estimated Tax Worksheet) is zero for the period, don’t complete this
-
-worksheet.
-
-
-
-1. Enter the amount from line 11 of your 2025 Annualized Estimated Tax Worksheet for the period . . . . . . 1. 2. Enter the annualized amount* of foreign earned income and housing amount you (and your spouse if
-
-filing jointly) expect to exclude or deduct for the period on Form 2555 . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.
-
-3. Add lines 1 and 2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3. 4. Tax on the amount on line 3. Use the 2025 Tax Rate Schedules or Worksheet 2-8,** as
-
-appropriate . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.
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-5. Tax on the amount on line 2. Use the 2025 Tax Rate Schedules . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5. 6. Subtract line 5 from line 4. Enter the result here and on line 12 of your 2025 Annualized Estimated Tax
-
-Worksheet (Worksheet 2-7). If zero or less, enter -0- . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6.
-
-
-
-* To figure the annualized amount for line 2, multiply the expected exclusion for the period by the annualization amount on line 2 of Worksheet 2-7 for the same period.
-
-** If using Worksheet 2-8 (Qualified Dividends and Capital Gain Tax Worksheet), enter the amount from line 3 above on line 1 of Worksheet 2-8. Complete Worksheet 2-8 through line 9. Next, determine if you have a capital gain excess.
-
-
-
-Figuring capital gain excess. To find out if you have a capital gain excess for the appropriate period, subtract line 11 of Worksheet 2-7 from line 9 of Worksheet 2-8. If the result is more than zero, that amount is your capital gain excess. No capital gain excess. If you don’t have a capital gain excess, complete the rest of Worksheet 2-8 according to its instructions. Then, complete lines 5 and 6 above.
-
-Capital gain excess. If you have a capital gain excess, complete a second Worksheet 2-8 as instructed above but in its entirety and with the following additional modifications. Then, complete lines 5 and 6 above.
-
-Make these modifications only for purposes of filling out Worksheet 2-9.
-
-a. Reduce (but not below zero) the amount you otherwise would enter on line 3 of Worksheet 2-8 by your capital gain excess. b. Reduce (but not below zero) the amount you otherwise would enter on line 2 of Worksheet 2-8 by any of your capital gain excess
-
-not used in (a) above.
-
-c. Reduce (but not below zero) the amount you otherwise would enter on line 5 of Worksheet 2-8 by your capital gain excess. d. Reduce (but not below zero) the amount you otherwise would enter on line 6 of Worksheet 2-8 by your capital gain excess.
-
-
-
-40 Publication 505 (2025)
-
-
-
-
-
-• The Tax Withholding Estimator (IRS.gov/ services. At the IRS, privacy and security are
-
-
-How To Get Tax Help W4App) makes it easier for you to estimate our highest priority. We use these tools to share
-
-the federal income tax you want your em- public information with you. Don’t post your so-
-
-ployer to withhold from your paycheck. cial security number (SSN) or other confidential
-
-If you have questions about a tax issue; need This is tax withholding. See how your with- information on social media sites. Always pro-help preparing your tax return; or want to down- holding affects your refund, take-home pay, tect your identity when using any social net-
-
-
-
-ments (Forms W-2, W-2G, 1099-R, 1099-MISC, The Sales Tax Deduction Calculator • Youtube.com/irsvideosASL. ( IRS.gov/SalesTax ) figures the amount you 1099-NEC, etc.); unemployment compensation can claim if you itemize deductions on statements (by mail or in a digital format) or Watching IRS videos. The IRS Video portal Schedule A (Form 1040). other government payment statements (Form ( IRSVideos.gov ) contains video and audio pre-1099-G); and interest, dividend, and retirement Getting answers to your tax ques-sentations for individuals, small businesses, statements from banks and investment firms tions. On IRS.gov, you can get and tax professionals. (Forms 1099), you have several options to up-to-date information on current choose from to prepare and file your tax return. events and changes in tax law. Online tax information in other languages. You can prepare the tax return yourself, see if You can find information on IRS.gov/ • IRS.gov/Help : A variety of tools to help you you qualify for free tax preparation, or hire a tax MyLanguage if English isn’t your native lan-get answers to some of the most common professional to prepare your return. Preparing and filing your tax return. After Look-up short, informative videos on various tax-related ( IRS.gov/HomeBuyer ) tool pro- topics in English, Spanish, and ASL. vides information on your repayments and • Youtube.com/irsvideos . account balance. receiving all your wage and earnings state- • Youtube.com/irsvideosmultilingua . • to IRS.gov to find resources that can help you The following IRS YouTube channels provide • The First-Time Homebuyer Credit Account right away. load free publications, forms, or instructions, go or tax due. working site.
-
-
-
-or in your local community, if you qualify, include based on your input, provide answers on a with limited-English proficiency (LEP) by offer-number of tax topics. the following. ing OPI services. The OPI Service is a federally • IRS.gov/Forms : Find forms, instructions, • Free File. This program lets you prepare funded program and is available at Taxpayer and publications. You will find details on and file your federal individual income tax Assistance Centers (TACs), most IRS offices, the most recent tax changes and interac-return for free using software or Free File and every VITA/TCE tax return site. The OPI tive links to help you find answers to your Fillable Forms. However, state tax prepara-Service is accessible in more than 350 lan-questions. Free options for tax preparation. Your op- • IRS.gov/ITA: The Interactive Tax Assistant, Free Over-the-Phone Interpreter (OPI) Serv-a tool that will ask you questions and, tions for preparing and filing your return online ice. The IRS is committed to serving taxpayers tax questions. guage.
-
-
-
-• tion may not be available through Free File. guages. You may also be able to access tax infor-• Go to IRS.gov/FreeFile to see if you qualify mation in your e-filing software. for free online federal tax preparation, e-fil-Accessibility Helpline available for taxpay-ing, and direct deposit or payment options. ers with disabilities. Taxpayers who need in-
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-
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-• VITA. The Volunteer Income Tax Assis- formation about accessibility services can call Need someone to prepare your tax return? tance (VITA) program offers free tax help to 833-690-0598. The Accessibility Helpline can There are various types of tax return preparers, people with low-to-moderate incomes, per- answer questions related to current and future including enrolled agents, certified public ac- sons with disabilities, and limited-Eng- accessibility products and services available in countants (CPAs), accountants, and many oth- lish-speaking taxpayers who need help alternative media formats (for example, braille, ers who don’t have professional credentials. If preparing their own tax returns. Go to large print, audio, etc.). The Accessibility Help- you choose to have someone prepare your tax IRS.gov/VITA , download the free IRS2Go line does not have access to your IRS account. return, choose that preparer wisely. A paid tax app, or call 800-906-9887 for information For help with tax law, refunds, or account-rela- preparer is: on free tax return preparation. ted issues, go to IRS.gov/LetUsHelp . • Primarily responsible for the overall sub- TCE. The Tax Counseling for the Elderly stantive accuracy of your return, (TCE) program offers free tax help for all Note. Form 9000, Alternative Media Prefer- • Required to sign the return, and taxpayers, particularly those who are 60 ence, or Form 9000(SP) allows you to elect to • Required to include their preparer tax iden- years of age and older. TCE volunteers receive certain types of written correspondence tification number (PTIN). specialize in answering questions about in the following formats. Although the tax preparer always signs pensions and retirement-related issues • Standard Print. unique to seniors. Go to IRS.gov/TCE or ! the return, you're ultimately responsible • Large Print. download the free IRS2Go app for informa- CAUTION for providing all the information re- quired for the preparer to accurately prepare tion on free tax return preparation. • Braille. • MilTax. Members of the U.S. Armed your return and for the accuracy of every item • Audio (MP3). Forces and qualified veterans may use Mil- reported on the return. Anyone paid to prepare • Plain Text File (TXT). Tax, a free tax service offered by the De- tax returns for others should have a thorough understanding of tax matters. For more informa- partment of Defense through Military One- • Braille Ready File (BRF). Source. For more information, go to tion on how to choose a tax preparer, go to Tips
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-MilitaryOneSource (MilitaryOneSource.mil/ for Choosing a Tax Preparer on IRS.gov. Disasters. Go to IRS.gov/DisasterRelief to re-
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-MilTax). view the available disaster tax relief.
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-which can be completed online and then Employers can register to use Business Also, the IRS offers Free Fillable Forms,
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-e-filed regardless of income. Services Online. The Social Security Adminis- Getting tax forms and publications. Go to
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-
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-Using online tools to help prepare your re- employer for fast, free, and secure W-2 filing op- may need. Or, you can go to IRS.gov/ tions to CPAs, accountants, enrolled agents, turn. Go to IRS.gov/Tools for the following. OrderForms to place an order. and individuals who process Form W-2, Wage • tration (SSA) offers online service at SSA.gov/ the forms, instructions, and publications you IRS.gov/Forms to view, download, or print all
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-( and Tax Statement, and Form W-2c, Corrected The Earned Income Tax Credit Assistant
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-IRS.gov/EITCAssistant) determines if Getting tax publications and instructions in
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-you’re eligible for the earned income credit Wage and Tax Statement. eBook format. Download and view most tax
-
-• IRS social media. Go to IRS.gov/SocialMedia (EIC). publications and instructions (including the In-
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-helps you get an employer identification to see the various social media tools the IRS The Online EIN Application (IRS.gov/EIN) structions for Form 1040) on mobile devices as
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-number (EIN) at no cost. uses to share the latest information on tax eBooks at IRS.gov/eBooks.
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-changes, scam alerts, initiatives, products, and
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-Publication 505 (2025) 41
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-IRS eBooks have been tested using Apple's stolen or you suspect you’re a victim of less than the full amount you owe. For
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-iBooks for iPad. Our eBooks haven’t been tes- tax-related identity theft, you can learn more information on the Offer in Compro-
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-ted on other dedicated eBook readers, and what steps you should take. mise program, go to IRS.gov/OIC. eBook functionality may not operate as inten- • Get an Identity Protection PIN (IP PIN). IP
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-ded. PINs are six-digit numbers assigned to tax- Filing an amended return. Go to IRS.gov/
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-payers to help prevent the misuse of their Form1040X for information and updates.
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-Access your online account. Go to IRS.gov/ SSNs on fraudulent federal income tax re-
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-Account to securely access information about turns. When you have an IP PIN, it pre- Checking the status of your amended re-
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-your federal tax account. vents someone else from filing a tax return turn. Go to IRS.gov/WMAR to track the status
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-• View the amount you owe and a break- with your SSN. To learn more, go to of Form 1040-X amended returns.
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-
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-Get a transcript of your return. With an on-• down by tax year. IRS.gov/IPPIN. It can take up to 3 weeks from the date See payment plan details or apply for a ! new payment plan. you filed your amended return for it to Ways to check on the status of your refund. • Make a payment or view 5 years of pay-CAUTION show up in our system, and processing • Go to IRS.gov/Refunds . it can take up to 16 weeks. ment history and any pending or sched-• Download the official IRS2Go app to your uled payments. mobile device to check your refund status. • Access your tax records, including key • Call the automated refund hotline at Understanding an IRS notice or letter data from your most recent tax return, and 800-829-1954. you’ve received. Go to IRS.gov/Notices to find additional information about responding to an transcripts. The IRS can’t issue refunds before • View digital copies of select notices from IRS notice or letter. mid-February for returns that claimed the IRS. ! • Approve or reject authorization requests CAUTION the EIC or the additional child tax credit Responding to an IRS notice or letter. You (ACTC). This applies to the entire refund, not can now upload responses to all notices and from tax professionals. just the portion associated with these credits. letters using the Document Upload Tool. For no-• View your address on file or manage your tices that require additional action, taxpayers communication preferences. Making a tax payment. Payments of U.S. tax will be redirected appropriately on IRS.gov to take further action. To learn more about the tool, must be remitted to the IRS in U.S. dollars. Digital assets line account, you can access a variety of infor- are not accepted. Go to IRS.gov/ go to IRS.gov/Upload .
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-mation to help you during the filing season. You Payments for information on how to make a pay-can get a transcript, review your most recently ment using any of the following options. Note. You can use Schedule LEP (Form
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-filed tax return, and get your adjusted gross in- • IRS Direct Pay: Pay your individual tax bill 1040), Request for Change in Language Prefer-come. Create or access your online account at or estimated tax payment directly from your ence, to state a preference to receive notices,
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-IRS.gov/Account letters, or other written communications from . checking or savings account at no cost to
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-you. the IRS in an alternative language. You may not
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-Tax Pro Account. This tool lets your tax pro- • Debit Card, Credit Card, or Digital Wallet: immediately receive written communications in fessional submit an authorization request to ac- Choose an approved payment processor the requested language. The IRS’s commitment cess your individual taxpayer IRS online ac- to LEP taxpayers is part of a multi-year timeline to pay online or by phone.
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-count. For more information, go to IRS.gov/ • Electronic Funds Withdrawal: Schedule a that began providing translations in 2023. You
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-TaxProAccount. payment when filing your federal taxes us- will continue to receive communications, includ-
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-ing tax return preparation software or ing notices and letters, in English until they are
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-Using direct deposit. The safest and easiest translated to your preferred language. through a tax professional.
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-way to receive a tax refund is to e-file and • Electronic Federal Tax Payment System: choose direct deposit, which securely and elec- Contacting your local TAC. Keep in mind, Best option for businesses. Enrollment is
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-tronically transfers your refund directly into your many questions can be answered on IRS.gov required.
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-financial account. Direct deposit also avoids the without visiting a TAC. Go to IRS.gov/LetUsHelp • Check or Money Order : Mail your payment possibility that your check could be lost, stolen, for the topics people ask about most. If you still to the address listed on the notice or in-
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-destroyed, or returned undeliverable to the IRS. need help, TACs provide tax help when a tax is- structions.
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-Eight in 10 taxpayers use direct deposit to re- sue can’t be handled online or by phone. All • Cash : You may be able to pay your taxes
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-ceive their refunds. If you don’t have a bank ac- TACs now provide service by appointment, so with cash at a participating retail store.
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-count, go to IRS.gov/DirectDeposit for more in- you’ll know in advance that you can get the • Same-Day Wire : You may be able to do
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-formation on where to find a bank or credit service you need without long wait times. Be- same-day wire from your financial institu-
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-union that can open an account online. fore you visit, go to IRS.gov/TACLocator to find tion. Contact your financial institution for
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-availability, cost, and time frames. the nearest TAC and to check hours, available
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-Reporting and resolving your tax-related services, and appointment options. Or, on the
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-identity theft issues. Note. The IRS uses the latest encryption IRS2Go app, under the Stay Connected tab,
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-• Tax-related identity theft happens when choose the Contact Us option and click on “Lo- technology to ensure that the electronic pay-
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-someone steals your personal information ments you make online, by phone, or from a cal Offices.” to commit tax fraud. Your taxes can be af- mobile device using the IRS2Go app are safe fected if your SSN is used to file a fraudu- and secure. Paying electronically is quick, easy, The Taxpayer Advocate
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-• der. The IRS doesn’t initiate contact with tax- Help You payers by email, text messages (including What if I can’t pay now? Go to lent return or to claim a refund or credit. and faster than mailing in a check or money or- Service (TAS) Is Here To shortened links), telephone calls, or social IRS.gov/ What Is TAS? Payments for more information about your op-media channels to request or verify per-tions. sonal or financial information. This includes TAS is an independent organization within the • Apply for an online payment agreement requests for personal identification num-IRS that helps taxpayers and protects taxpayer ( IRS.gov/OPA ) to meet your tax obligation bers (PINs), passwords, or similar informa-rights. TAS strives to ensure that every taxpayer in monthly installments if you can’t pay
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-• tion for credit cards, banks, or other finan- is treated fairly and that you know and under- your taxes in full today. Once you complete cial accounts. stand your rights under the Taxpayer Bill of the online process, you will receive imme- Go to IRS.gov/IdentityTheft , the IRS Iden- Rights . diate notification of whether your agree- tity Theft Central webpage, for information ment has been approved. on identity theft and data security protec- • Use the Offer in Compromise Pre-Qualifier tion for taxpayers, tax professionals, and to see if you can settle your tax debt for businesses. If your SSN has been lost or
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-42 Publication 505 (2025) How Can You Learn About Your How Can You Reach TAS? Low Income Taxpayer Clinics
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-Taxpayer Rights? (LITCs) TAS has offices in every state, the District of
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-The Taxpayer Bill of Rights describes 10 basic Columbia, and Puerto Rico. To find your advo- LITCs are independent from the IRS and TAS. rights that all taxpayers have when dealing with cate’s number: LITCs represent individuals whose income is the IRS. Go to TaxpayerAdvocate.IRS.gov to • Go to TaxpayerAdvocate.IRS.gov/Contact-below a certain level and who need to resolve help you understand what these rights mean to Us ; tax problems with the IRS. LITCs can represent you and how they apply. These are your rights. • Download Pub. 1546, The Taxpayer Advo-taxpayers in audits, appeals, and tax collection Know them. Use them. cate Service Is Your Voice at the IRS, avail-disputes before the IRS and in court. In addi-able at IRS.gov/pub/irs-pdf/p1546.pdf ; tion, LITCs can provide information about tax-• Call the IRS toll free at 800-TAX-FORM What Can TAS Do for You? payer rights and responsibilities in different lan-(800-829-3676) to order a copy of Pub. guages for individuals who speak English as a 1546; TAS can help you resolve problems that you second language. Services are offered for free • Check your local directory; or can’t resolve with the IRS. And their service is or a small fee. For more information or to find an • Call TAS toll free at 877-777-4778. free. If you qualify for their assistance, you will LITC near you, go to the LITC page at be assigned to one advocate who will work with TaxpayerAdvocate.IRS.gov/LITC or see IRS you throughout the process and will do every-How Else Does TAS Help Pub. 4134, Low Income Taxpayer Clinic List , at thing possible to resolve your issue. TAS can Taxpayers? IRS.gov/pub/irs-pdf/p4134.pdf . help you if: • Your problem is causing financial difficulty TAS works to resolve large-scale problems that for you, your family, or your business; affect many taxpayers. If you know of one of • You face (or your business is facing) an im-these broad issues, report it to TAS at IRS.gov/ mediate threat of adverse action; or SAMS . Be sure to not include any personal tax-• You’ve tried repeatedly to contact the IRS payer information. but no one has responded, or the IRS
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-hasn’t responded by the date promised.
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-Publication 505 (2025) 43
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-To help us develop a more useful index, please let us know if you have ideas for index entries.
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-Index See “Comments and Suggestions” in the “Introduction” for the ways you can reach us.
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-Tips 8
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-Additional Medicare Tax Estates: 22 , 26 Farmers: Married taxpayers: Estimated tax 21 Address change A Withholding rules 6 F M
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-Adjustments to income: Estimated tax: 28 Estimated tax 23 Estimated tax 20
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-Annualized income installment worksheets Crediting of overpayment Figures: NIIT 22, 26 27 37 , 38 Tables and figures (See Tables Noncitizens: Estates and trusts 21 Annualized - Capital gains 39 and figures) Estimated tax 21 Expected AGI 21 Annualized - Foreign Earned Fiscal years: Nonqualified deferred Expected taxable income 22 Income 40 Estimated tax 23 compensation 9 Expected taxes and credits 22 Annualized - Qualified Farming and fishing 24 Nonresident aliens: dividends 39 Farming and fishing 21 , 23 , 24 Fishers: Estimated tax 21 , 27 Fiscal year taxpayers 23 Gross income 21 Individual taxpayer identification method 26 Higher income individuals 23 Joint returns 21 numbers (ITINs) 11 Annuities 9 How to figure 21 , 24 Required annual payment 23 Assistance (See Tax help) How to pay 27 Fishing: O Instructions for Worksheet 2-7, Estimated tax 20 , 23 , 24 annualized estimated tax 26 B Overpayment: Fiscal years 24 Itemized deductions 22 Crediting to estimated tax 27 Backup withholding 11 Form 1040-ES 19 , 27 Married taxpayers Alaska Native Corporations Expected AGI 24 21 Farming: Annualized income installment 11 Estimated tax 20, 24 N method 26 Aliens: Fiscal years 24 Change in amount 24 Net investment income tax 22, Nonresident aliens 21 Required annual payment 23 26 Change of address 28 Annualized estimated tax AGI: 21 Joint returns 21 Missing children, photographs Aliens 21 , 27 Withholding for farmworkers 3 of 2 Amended tax Estimated tax Adjustments to income 21 Gross income 21 Military retirement pay 3, 9
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-Change of address 26 Regular installment method 24 Withholding Certificate 3 Penalties: 28 Required annual payment 22 Form W-4P 9 Backup withholding 11 Commodity credit corporation Self-employment income 26 Form W-4S 9 Willfully false or fraudulent Form loans 10 Sick pay 9 W-4 8 Form W-4V 10 Compensation 2 Standard deduction 22 , 26 Withholding allowances 8 Form W-7 11 Independent contractors, backup Total estimated tax payments 23 Pensions 9 withholding 11 Form W-9 11 Types of taxes included 19 New job 3 Fraud: Supplemental wages 8 Underpayment penalty 24 Rollovers 10 Tips 8 Form W-4 statements 8 When to pay 23 Wages and salaries withholding Wages and salaries 2 Fringe benefits 8 , 9 When to start payments 23 rules compared 9 Crediting of overpayment 27 Who does not have to pay 19 Publications (See Tax help) Credits: G Who must pay 20 Expected taxes and credits 22 Estimated tax worksheets 29 , 31 , Gross income 21 R Criminal penalties: 32 Capital gains and losses: 11 Part-year method of Nonresident aliens 27 withholding 6 Form W-2G 10 Annualized estimated tax 26 Overpayment 27 Patronage dividends: Form W-4 worksheets: Estimated tax on net capital Payment vouchers 28 Backup withholding 11 Tax withholding estimator 6 gain 22 Payments not required 27 Payment vouchers 28 Form W-4, Employee's Allowance Qualified dividends C 22, 26 P Form 1041-ES 21 No standard deduction 22 Form 1099 series Net capital gain Form 1040-ES (NR) 21 20
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-Crop insurance payments W-4 Fishing 21 8 worksheet 37 Choosing to withhold 10 Willfully false or fraudulent Form Railroad retirement benefits: 2019 annualized estimated tax Farming 21
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-Cumulative wage method of 10 Amended estimated tax, Regular installment method, H illustrated (Worksheet estimated tax 24 withholding 6 2-10) 25 Higher income individuals: Reimbursements 8
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-Capital gains 35 Required annual payment 23 Excess 8
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-D Capital gains, tax on 22 Household workers 3 Reporting:
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-E Withholding 32 (See also Retirement plans) Pension plans 9 3 Standard deduction 34 Interest income: Pensions 9 Exemption from withholding 6 Backup withholding 11 Rollovers 10 Claiming 7 Underreported 11 Rollovers 10 Eligible rollover distributions 10 Good for only one year 8 Itemized deductions: Royalties: Employee business expenses: Itemized deductions 7 Estimated tax, expected taxable Backup withholding 11 Accountable plans 8 Students 6 income 22 Nonaccountable plans 8 Expenses: Exemption from withholding 7 S Reimbursements 8 Allowances 8 Salaries 2 Employer Identification Numbers J Saturday, Sunday, holiday Domestic help Underreported 35 Tips to employer 8 11 Individual retirement Railroad retirement benefits 32 Required annual payment 22, 23 3 arrangements (IRAs) 9 Self-employment tax 33 (See also Pensions) Retirement plans Definition 3 Social security benefits Dividends: Foreign earned income 36 Fringe benefits 9 Backup withholding Form 1040-ES 31 I Gambling winnings 10 11 Qualified dividends
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-Employers: Joint returns: rule 23 (EINs) 11
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-Repaying withheld tax Farmers and fishers 21 Self-employment tax 26 6 Sick pay 9
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-44 Publication 505 (2025)
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-Social security benefits: Fringe benefits 8 Annualized - Qualified dividends
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-Social security taxes: Annualized estimated tax Getting right amount of tax Underpayment penalty: (Worksheet 2-7) 37 , 38 Taxpayer identification numbers Choosing to withhold 10 U Gambling winnings 10 (Worksheet 2-8) 39
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-(TINs) Amended estimated tax 24 withheld 5, 6
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-T 8 Pensions 9 1-2) 13 Wages and salaries 2 Periodic payments 9 Estimated tax worksheets Withholding Railroad retirement benefits 10 (Worksheet 2-1) 31 Amount of tax withheld, Form Repaying withheld tax 6 Foreign earned income Tables and figures: W-4 3 Rollovers 10 (Worksheet 2-6) 36 Do you have to pay estimated Annuities 9 Salaries and wages 2 Qualified dividends: tax? (Figure 2-A) 20 Backup withholding 11 Sick pay 9 Worksheet 2-5 35 Due dates, estimated tax Changing 3 (Table 2-1) 24 Social security (FICA) tax 2 , 10 Railroad retirement benefits Checking amount of Standard deduction 10 22 , 26 Part-year method 6 Dependents (age 65 or older or blind) exemption from Students 6 Penalties 8 W withholding (Worksheet Supplemental wages Withholding obligation Unemployment 2 Nonperiodic payments 9 Worksheet 2-5 35 compensation 11 Household workers 3 Capital gains tax worksheet:
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-Tax help Exemption from withholding on 4 Tips 8 (Worksheet 2-2) 32 Choosing not to withhold 10 Form W-4 (Figure 1-A) 7 Types of income 2 Self-employment tax and Cumulative wage method 6 deduction (Worksheet Worksheets, where to find 29 Unemployment 2-3) 33 Domestic help 3 compensation 10 41 Social security benefits Employers' rules 6 Tax Rate Schedules 30 Worksheets (blank): (Worksheet 2-2) 32 Estimated tax 23 Tax withholding estimator 6 Annualized - Capital gains Standard deduction (Worksheet Exemption from 6 (Worksheet 2-8) 39 Taxpayer identification numbers 2-4) 34 (TINs) 11 Farmworkers 3 Annualized - Foreign Earned Income (Worksheet 2-9) 40 Tips 8 Form W-2G 10 Form W-4 Total income 21 3
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-2025 YEAR-END TAX PLANNING GUIDE
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-Optimizing your wealth:
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-Big bill, bigger moves
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-Table of contents
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-I One Big Beautiful Bill Act (OBBBA) 2
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-II Planning with retirement assets 4
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-1. Traditional retirement plan contributions
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-2. Roth retirement plan contributions
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-3. Roth conversions
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-4. Required minimum distributions
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-5. Inherited retirement accounts
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-6. Tax treatment of retirement plan distributions
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-7. Retirement plan beneficiaries
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-III Income tax planning 14
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-1. How will your income be taxed?
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-2. Deductions
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-3. Investment matters
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-4. Have you withheld enough?
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-5. Year-end income tax planning considerations
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-IV Charitable planning 27
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-1. Types of gifts and charitable deductions
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-2. Charitable giving strategies
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-V Gift and estate tax planning opportunities 34
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-1. Background
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-2. Lifetime gifting opportunities
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-Introduction The TIAA Wealth Management 2025 Year-End Tax Planning Guide is a comprehensive resource to help you become more familiar with key aspects of the current federal tax laws that
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-apply to individual taxpayers. The information in the guide will
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-help you identify tax-saving strategies for the current filing
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-year and prepare for upcoming tax seasons. Having a better
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-grasp of tax laws and potential tax-saving strategies will assist
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-you in making informed decisions aligned with your overall
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-financial goals.
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-While this guide focuses on federal tax law, it’s also important
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-to understand the impact that state and municipal laws may
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-have on your personal tax situation. You should consult with
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-your legal and tax advisors to determine how the various tax
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-laws affect your situation prior to taking any action.
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-I. One Big Beautiful Bill Act I. One Big Beautiful Bill Act (OBBBA)
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-With the passage of the One Big Beautiful Bill Act (OBBBA) in July 2025, much of the uncertainty felt by taxpayers at the beginning of the year as to the future of income and estate taxes has subsided. The OBBBA expanded and made permanent many of the individual tax provisions introduced by the Tax Cuts and Jobs Act of 2017 (TCJA), which were set to expire at the end of this year. It also introduced changes to itemized and standard deductions, which will benefit many taxpayers. But these changes are complex—with different effective dates, income limitations, and requirements for claiming. It will be important to understand these new and enhanced provisions to better prepare you to minimize your tax liability and maximize your tax opportunities.
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-Some of the key individual income, gift, and estate tax provisions of the OBBBA discussed in this guide include:
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-• The low individual income tax rates originally introduced by the TCJA are
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-made permanent
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-• Enhancements to the standard deduction
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-• A new senior deduction
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-• The cap on the State and Local Tax (SALT) deduction is raised
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-• Introduces a charitable deduction for non-itemizers and imposes a charitable
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-deduction adjusted gross income (AGI) floor for those who do itemize
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-• Allows 529 plans to be used for more purposes
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-• Introduces Trump accounts as savings vehicles for children under 18
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-• Introduces new deductions for those who earn tips or overtime pay • Permanently increases the federal estate, gift, and generation-skipping transfer
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-(GST) tax exemptions
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-Understanding these provisions and other year-end tax savings strategies discussed in this guide will better prepare you for discussions with your legal and tax advisors.
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-II. Planning with II. Planning with retirement assets
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-Effective tax planning includes ensuring you maximize funds saved for retirement, which can in turn help you meet your financial goals. If you’re still working, that may mean maximizing contributions to your employer-sponsored retirement accounts. If you’re already retired, that may include continuing to contribute to an individual retirement account (IRA) or considering conversion of traditional balances into tax-free Roth accounts. Traditional retirement plan balances generally grow tax deferred, meaning the contributions are only taxed when you withdraw the funds. With a Roth account, however, you’re contributing on an after-tax basis, allowing the funds and any appreciation to be withdrawn income tax free in retirement. As there are advantages to contributing to both pretax and after-tax retirement plans, you should discuss your situation with your legal and tax advisors prior to making traditional or Roth contributions. With the permanent extension of the lower individual income tax rates under the OBBBA, high-earning taxpayers may want to begin thinking about their future contributions and determine whether Roth contributions make sense.
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-1 | TRADITIONAL RETIREMENT PLAN CONTRIBUTIONS
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-The IRS sets limits on the amount each taxpayer can set aside pretax into a traditional IRA or employer-sponsored retirement plan. These contribution limits increase with inflation. In 2025, employees may contribute up to $23,500 to an employer-sponsored retirement plan, such as a 403(b) or 401(k). Generally, these amounts are withheld from the employee’s paycheck before taxes, or they can be contributed in a single lump sum. Additional benefits are provided to employees as they near retirement age. For example, if you’re 50 or older, you can contribute an additional $7,500 as a catch-up each year for $31,000 in pretax retirement savings in 2025. Beginning this year, employees between the ages of 60 and 63 in the plan year will be able to contribute the greater of $10,000 or 150% of the regular catch-up limit (indexed to inflation), for a total catch-up of $11,250 in 2025. Some employees who contribute to 403(b) plans and have at least 15 years of service with the plan-sponsoring employer may have additional catch-up contribution opportunities in the last three years prior to retirement. Employees should check with their employers to make sure they’re maximizing their retirement contributions.
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-Annual IRA contributions are also limited, but the contribution amounts are smaller. In 2025, the annual contribution limit for traditional IRAs is $7,000 per taxpayer, and, if you’re age 50 or older, you’re eligible for a catch-up contribution of an additional $1,000. Contributions are allowed at any age, provided you have earned income.1
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-II. Planning with retirement assets
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-plan, whether the traditional IRA contribution is deductible depends on your modified adjusted gross income (MAGI). In 2025, the deductibility of a traditional IRA contribution is phased out between $79,000 and $89,000 of MAGI for a single taxpayer and between $126,000 and $146,000 for married taxpayers filing joint returns (or between $236,000 and $246,000 if one spouse doesn’t have access to an employer plan). You should keep careful track of any nondeductible contributions because they won’t be subject to income tax when withdrawn, whereas any deductible contributions and the growth on all contributions will be subject to income tax upon withdrawal.
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-Taxpayers eligible to contribute to Simplified Employee Pension (SEP) IRAs have even greater limits. For SEP IRA owners, the annual contribution limits are the lesser of 25% of compensation (up to $350,000) or $70,000.
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-Annual contribution Age 50+ “catch-up”
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-Traditional and Roth IRAs $7,000 $1,000
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-Employer-sponsored $23,500 $7,500 retirement plans
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-2 | ROTH RETIREMENT PLAN CONTRIBUTIONS
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-While most retirement account contributions are made on a traditional or pretax basis, you may also have the option to make after-tax contributions to a Roth IRA or an employer-sponsored Roth 401(k) or 403(b) account. Annual Roth IRA contributions are limited to the same amounts as traditional IRAs. The same is true for the contribution and catch-up limits for Roth 401(k) and 403(b) plans—they share the same limits as their traditional counterparts. Starting in 2026, employees earning more than $145,0002 (indexed for inflation) must make catch-up contributions to employer-sponsored plans as after-tax Roth contributions. If the plan doesn’t include a Roth option, catch-ups will not be available to impacted employees.3
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-Unlike traditional IRAs, not everyone with earned income can contribute to a Roth IRA. That’s because Roth IRA contributions are limited to individuals earning less than specific income thresholds. In 2025, the ability to contribute to a Roth IRA phases out if you’re a single taxpayer with MAGI between $150,000 and $165,000, and if you’re married filing jointly, the phase out applies between $236,000 and $246,000.
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-II. Planning with retirement assets
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-3 | ROTH CONVERSIONS
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-While contributions to a Roth IRA are limited to taxpayers below these income thresholds, Roth conversions have no such limitations. In a Roth conversion, you can elect to take traditional retirement funds and convert them to a Roth account by paying the income tax on the converted amount in the year of the conversion. It often makes sense to convert traditional retirement balances to Roth accounts if you believe you’re in a lower tax bracket in the year of conversion than you’ll be in the future when the traditional funds are being withdrawn, with the goal being to pay the lowest tax possible. Often, taxpayers elect to convert an amount to fill up their current marginal income tax bracket but avoid spilling into the next marginal bracket. Taxpayers already in active required minimum distribution (RMD) status must take their RMD due in the year of conversion before executing a Roth conversion. If you retire prior to RMD age, Roth conversions may make sense while your income is lower in the years between retirement and when RMDs begin. But the exact amount and timing of a conversion will be different for each person, depending on your specific situation. You should consult with your financial and tax advisors to determine if a Roth conversion makes sense for you.
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-Many Roth accounts are earmarked for legacy, so another consideration is your current tax rate compared with the future tax rate of your intended beneficiary. Generally, either you or your beneficiary is going to be required to pay income tax on the withdrawals taken from your traditional retirement assets, and it may make sense to plan for the individual in the lowest marginal tax bracket to bear that tax burden. For example, if you’re in a high tax bracket and your children are in low tax brackets, it may not be as beneficial from a tax standpoint for you to convert traditional balances to Roth accounts because you would be paying tax at a higher rate than your children would be after inheriting. Additionally, a Roth conversion tends to be more effective when the taxes can be paid outside the assets being converted, which requires the you to have excess cash flow in the year of conversion. Should your employer-sponsored retirement plan allow for an in-plan Roth conversion, there’s no withholding inside the plan, so taxes on the conversion must be paid from outside assets.⁴
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-Several additional factors play into the decision to convert to a Roth account. For example, at lower income levels, the additional income associated with a Roth conversion could result in losing all or part of the new senior deduction. Similarly, at higher income levels, be aware of the potential effect of a Roth conversion on eligibility for the increased SALT deduction. See Section III. Income tax planning. When II. Planning with retirement assets
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-Should you consider Yes, if converting to a Roth?
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-• Lower tax bracket at conversion than at distribution (you or your heirs)
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-• Other assets from which to pay the conversion tax
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-• Do not need distributions for support during retirement and want to pass
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-funds to heirs who may be in higher tax bracket
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-No, if
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-• Higher tax bracket at conversion than at distribution (you or your heirs)
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-• No other resources from which to pay conversion tax
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-• Need distributions for support during retirement and income tax
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-bracket will be same or higher in retirement tax bracket
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-What is a backdoor Roth IRA?
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-Because of the Roth contribution income limitations, high-earning taxpayers may not be able to contribute to a Roth IRA. At the same time, high earners may be in a marginal tax bracket that makes conversion of large traditional retirement balances unpalatable. Taxpayers in this situation may consider a backdoor Roth IRA strategy. This strategy entails making a nondeductible (after-tax) contribution to a traditional IRA, then immediately converting that amount to a Roth IRA. Because the amount being converted is comprised of nondeductible contributions, the conversion can be done income tax free.
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-While this strategy is a viable way for high earners to increase their Roth account balances, it should only be undertaken with the supervision of your tax advisor because there are many traps for the unwary. For example, when considering the taxable amount of the conversion, the IRS considers all your traditional IRAs, not just the one from which you make the conversion. Thus, if you have pretax and after-tax funds in your traditional IRAs, a pro rata portion of the amount converted will be deemed as coming from pretax funds. This will result in a portion of the converted amount being subject to income tax. Taxpayers with a mix of pre- and after-tax funds in their IRAs can still do a backdoor Roth conversion, but it won’t be income tax free.
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-4 | REQUIRED MINIMUM DISTRIBUTIONS
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-II. Planning with retirement assets
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-
-
-While traditional retirement accounts grow tax deferred, there does come a time when the IRS says you must start withdrawing your balances and paying income tax on the amount withdrawn. Recent changes have extended the age at which the IRS requires RMDs to be taken from retirement plans. Prior to 2020, taxpayers had to start withdrawals in the year they reached age 70½. The Setting Every Community Up for Retirement Enhancement (SECURE) Act extended that to age 72, and the SECURE 2.0 Act extended it further to age 73 for those born between 1951 and 1959, and age 75 if born in 1960 or later.
-
-If you’re still working, you may defer taking RMDs from your current employer plan until the later of either the year you attain RMD age or the year you retire from your employer sponsoring that plan. In addition, the RMD rules allow you to defer taking your first RMD until April 1 of the year following the year you attain RMD age or retire from the employer sponsoring the plan. This date is referred to as your required beginning date (RBD). Note that if you do wait until April 1 of the following year to begin your RMDs, you’ll have to take two RMDs in that calendar year. Whether this two-in-one-year strategy might be right for you will be specific to your situation—check with your tax advisor before making any final decisions.
-
-RMDs are calculated based on IRS-published life expectancy tables and increase a small amount each year as you age. For example, if your RMD age is 73, the RMD would be 3.77% of the prior year-end balance in your age 73 year, but it gradually increases each year reaching 4.95% in the year you turn 80 and 8.2% in the year you turn age 90. The RMD percentages are even smaller when an account owner’s spouse is more than 10 years younger and named as the sole beneficiary.
-
-When you have an RMD from multiple accounts, you can sometimes aggregate and withdraw them from just one account. For example, if you have two traditional IRAs, the full RMD can be taken from just one of the accounts. Similarly, RMDs can be aggregated across traditional 403(b) accounts and taken from just one 403(b). Unfortunately, RMDs from other types of retirement accounts (e.g., traditional 401(k)s and 457 plans) can’t be aggregated.
-
-Just like the rules differ between contributions to traditional IRAs and Roth IRAs, so do the rules for withdrawals. Taxpayers who own Roth IRAs and Roth employer-sponsored plans don’t have RMDs during their own lifetimes, meaning the accounts can continue to grow free of income tax and unreduced by distributions.
-
-When RMDs apply, taking them before the end of the year is important. The IRS imposes significant penalties for missing RMDs. Under the SECURE 2.0 Act, penalties
-
-II. Planning with retirement assets
-
-
-
-5 | INHERITED RETIREMENT ACCOUNTS
-
-Inherited retirement accounts may also have RMDs, and whether a taxpayer inheriting an account has an RMD requirement depends on a number of factors, including the category of beneficiary to which the taxpayer belongs and the RMD payout status of the original account owner at death.
-
-Prior to 2020, nearly all beneficiaries of retirement accounts were required to take RMDs on inherited accounts, but those RMDs were based on the beneficiary’s own life expectancy and allowed to be distributed over that extended period (referred to as a stretch IRA). Following passage of the SECURE Act, the lifetime stretch IRA only remains for a certain subset of beneficiaries who qualify as an eligible designated beneficiary (EDB). An EDB includes a surviving spouse, minor children of the account owner, disabled and chronically ill people, and individuals not more than 10 years younger than the original account owner. EDBs are still subject to lifetime RMDs and can use the benefit of the lifetime stretch. (Final rules published by the IRS in 2024 provide that a plan may require EDBs to use the lifetime stretch method or the 10-year rule described below, and, if the decedent died prior to attaining their RBD, an EDB may elect to choose the 10-year rule in lieu of the stretch method.)
-
-Individual beneficiaries inheriting retirement accounts who don’t qualify as EDBs are simply referred to as designated beneficiaries—which includes beneficiaries such as adult children and certain trusts for the benefit of such individuals. These designated beneficiaries are no longer able to stretch RMDs over their lifetimes and must withdraw the entire account balance by the end of the year containing the tenth anniversary of the original owner’s death. This is referred to as the 10-year rule. If the original account owner died prior to their RBD (generally meaning the account owner was not taking RMDs), the designated beneficiary need not take any distributions during the 10-year period. In contrast, if the original account owner died on or after their RBD, the designated beneficiary must take annual RMDs during the 10-year period and withdraw the entire balance by the end of the tenth year. If RMDs are required, they’re calculated based on the beneficiary’s age and using the IRS Single Life Expectancy Table factor for the beneficiary’s age in the year following the decedent’s death. That factor is then decreased by one each year, with the entire amount required to be withdrawn by the end of the tenth year.
-
-If you’ve inherited a retirement account subject to the 10-year rule, you should consult your legal or tax advisor about the amount of your RMD and whether it makes sense from a financial-planning perspective to take more in any given year to avoid a
-
-II. Planning with retirement assets
-
-
-
-Inherited Roth IRAs are subject to the same rules as inherited traditional IRAs. If the beneficiary is an EDB, that person is subject to lifetime RMDs. If the beneficiary is a designated beneficiary (an adult child, for example), they must withdraw the entire balance by the end of the tenth year, but because the decedent didn’t have a lifetime RMD requirement, the decedent is deemed to have died before their RBD. Therefore, there are no RMDs on inherited Roth IRAs in years 1 through 9.
-
-The 10-year rule only applies to individuals, and not to entities such as a decedent’s estate. In such cases, the remaining balance of the retirement account must be withdrawn over either five years or the decedent’s remaining life expectancy, depending on whether the decedent died before or after their RBD.
-
-
-
-Decedent passed on or after Decedent passed on or after
-
-Beneficiary 1/1/2020* and prior to RBD 1/1/2020* and on or after RBD
-
-*1/1/2022 for governmental plans *1/1/2022 for governmental plans
-
-
-
-Surviving spouse Spousal rollover, stretch, Spousal rollover, stretch over longer option: beneficiary or decedent’s life or 10-year rule expectancy, or 10-year rule
-
-EDB (eligble designated Stretch over longer option: beneficiary or Stretch or 10-year rule beneficiary) decedent’s life expectancy, or 10-year rule
-
-DB (designated beneficiary) 10-year rule with RMDs 10-year rule in years 1 through 9
-
-No DB Stretch over decedent’s 5-year rule remaining life expectancy
-
-
-
-6. TAX TREATMENT OF RETIREMENT PLAN DISTRIBUTIONS
-
-In general, distributions from IRAs and employer-sponsored plans are subject to ordinary income tax when the funds are withdrawn. Roth accounts are an exception because those distributions are generally free of income tax provided the taxpayer meets the basic requirements for the distribution to be considered qualified. However, while the distributions from traditional accounts are taxable, that tax can be managed. One strategy to mitigate the tax burden of RMDs is to send the distributions directly to a charity through a QCD. This strategy is available only for
-
-II. Planning with retirement assets
-
-
-
-A second strategy to consider is a Roth conversion. While a Roth conversion increases your taxable income in the year of conversion, it also decreases the year-end balance of the assets remaining in your traditional retirement accounts, reducing RMDs in future years. This strategy may be especially appealing to retired taxpayers who aren’t yet receiving Social Security or RMDs from their retirement accounts. If your income is lower during this period, the Roth conversion may be accomplished without pushing you into a higher marginal tax bracket.
-
-
-
-7 | RETIREMENT PLAN BENEFICIARIES
-
-While not strictly a financial planning strategy, year-end is also a good time to review and confirm your retirement plan beneficiaries. With the recent changes to retirement planning in the SECURE Act and SECURE 2.0 Act legislation, you’ll want to confirm with your legal and tax advisors that your beneficiary decisions still make sense.
-
-When you die, your retirement accounts generally don’t pass through your estate plan—they’re passed automatically to the people or entities named in the beneficiary designation on those accounts. If the beneficiary is a person, they’re considered to be a designated beneficiary. Designated beneficiaries generally have 10 years to withdraw (and pay taxes on) the inherited account and may or may not have to take RMDs from the account in the interim, depending on whether the decedent died before or after his RBD. Certain designated beneficiaries may be considered EDBs and receive potentially more beneficial withdrawal options. The most-favored category of EDB is the surviving spouse, who always has the option to claim the account as their own (by spousal rollover). Other EDBs include disabled or chronically ill individuals, minor children of the decedent, and individuals who aren’t more than 10 years younger than the decedent. The benefit of being an EDB is that you can use the lifetime stretch method for calculating RMDs, extending the amount of time over which the income taxes must be paid. If the decedent died prior to their RBD, the EDB may also elect to use the 10-year rule—this decision is very specific and should only be made under the supervision of your tax advisor. When naming beneficiaries, you may want to consider their withdrawal requirements: Because they may need to pay income taxes within 10 years, will that window coincide with the beneficiary’s highest earning years? While this may not necessarily be avoided, knowing the future consequences can help your beneficiaries prepare for what’s to come.
-
-II. Planning with retirement assets
-
-
-
-Post-SECURE Act Surviving spouse
-
-beneficiary options Spousal rollover or inherited IRA using life expectancy
-
-NOTE: Plan permitting, a surviving spouse or Non-spouse eligible designated beneficiary eligible designated beneficiary (EDB) of an
-
-individual may elect full payout by the end of the Inherited IRA using life expectancy tenth year following the account owner’s death in
-
-awaiting IRS guidance with respect to default lieu of taking payments over life expectancy. We are Designated beneficiary options for EDBs. Payout by end of tenth year after death of account owner (10-year rule)
-
-NOTE: For government plans under I.R.C 414(d),
-
-the new rules begin to apply to participants who No designated beneficiary died after 12/31/2021.
-
-Payout within five years or remaining life expectancy of decedent if taking
-
-
-
-You may instead choose to name a trust as beneficiary of your retirement accounts. When a trust is named as beneficiary, RMDs are still required, but in order to take advantage of the 10-year rule or the lifetime stretch method for calculating RMDs, the trust must contain certain language to qualify as a “see-through” trust. You should use extra caution when naming a trust for the benefit of multiple individuals or a trust that has restrictive distribution provisions as both can alter the calculation of RMDs and the time period over which the accounts must be withdrawn. Naming a trust as beneficiary can offer you some control over the ultimate disposition of the accounts as well as some limited creditor protection for your beneficiaries. If you are naming your trust as a beneficiary, be sure to check with your estate planning attorney to confirm your trust is drafted appropriately.
-
-
-
-
-
-III. Income tax planning III. Income tax planning
-
-
-
-
-
-Income taxes can be one of your largest annual expenses. Income taxes are assessed on income from all sources—earned, unearned, retirement plan distributions, Social Security benefits, and capital gains, to name a few. While paying income taxes is unavoidable, the tax code provides planning strategies you can employ to reduce your income tax exposure and liability. While the OBBBA has extended many of the individual income tax provisions of the TCJA, it also introduced several new provisions, which makes income tax planning potentially more complex.
-
-A starting point for calculating your tax liability is understanding your various sources of income and how that income is taxed. From there, subtract any allowable deductions, and you’re taxed on the results. Understanding the way income and assets are taxed—and taking advantage of allowable deductions—can make a significant impact on your tax bill.
-
-1 | HOW WILL YOUR INCOME BE TAXED?
-
-Different types of income are subject to different tax rates, and understanding how each income type is taxed is an important part of understanding your overall tax liability.
-
-
-
-III. Income tax planning
-
-
-
-Tax on your Social Security benefits
-
-If you’re receiving Social Security benefits, a portion of those benefits may be subject to taxes. The amount that’s taxable will depend on whether your combined income exceeds certain thresholds.⁵
-
-
-
-Individual Married filing jointly Age 50+ “catch-up”
-
-Not taxable <$25,000 <$32,000
-
-Up to 50% taxable $25,000–$34,000 $32,000–$44,000
-
-Up to 85% taxable >$34,000 >$44,000
-
-
-
-b. Social Security payroll tax
-
-If you’re working, both you and your employer are required to pay a 6.2% Social Security tax on the first $176,100 of net wages and a 1.45% Medicare tax on your entire net earnings. If you’re self-employed, you’ll pay both the employer and employee portions of these two taxes (12.4% on the first $168,800 of wages and 2.90% on all wages). If you’re single with income greater than $200,000 or married with income greater than $250,000, you’ll pay an additional 0.9% in Medicare taxes.6 There’s no employer match for the additional Medicare tax.
-
-c. Capital gains tax
-
-Long-term capital gains are gains associated with assets sold after being owned for 12 months or more. Qualified dividends and long-term capital gains will be taxed at capital gains rates.7 Short-term capital gains are gains associated with assets held for a period of less than 12 months. Short-term gains as well as ordinary dividends are taxed at ordinary interest rates.
-
-d. Net investment income tax (NIIT)
-
-Certain taxpayers will be subject to an additional 3.8% NIIT. Net investment income includes interest, long-term capital gains, dividends, after-tax annuities, royalties, and rents other than from trade or business. It doesn’t include distributions from a qualified retirement plan or IRA. For single filers with a MAGI exceeding $200,000 or married taxpayers with MAGI exceeding $250,000, there will be a 3.8% tax on the lesser of (i) the net investment income and (ii) MAGI exceeding the stated amount.
-
-III. Income tax planning
-
-
-
-Trusts and estates
-
-≤ $3,150 10%
-
-Trusts and estates are also No 12% bracket subject to income tax and, while
-
-subject to the same bracket No 22% bracket structure, reach the highest tax
-
-bracket much more quickly than $3,151–$11,450 24% an individual taxpayer. If you’re No 32% bracket the beneficiary of an irrevocable
-
-trust, consider whether trust $11,451–$15,650 35% income will be taxed at a higher
-
-rate if it remains in the trust or if ≥ $15,651 37% it’s distributed to you and taxed at
-
-your individual rate.
-
-2 | DEDUCTIONS
-
-a. Will you itemize deductions or claim the standard deduction? You’re allowed to subtract certain amounts from your income. The standard deduction is a set deduction amount offered to all taxpayers, which was increased under the OBBBA. Alternatively, itemized deductions are certain expenses you may have incurred, or certain dollars spent or donated, that the tax code allows you to deduct. When you add up all your deductions and that amount is less than the standard deduction, you get the benefit of the full standard deduction. Alternatively, if your itemized deductions exceed your standard deduction, you’ll elect to itemize.
-
-As a starting point for determining whether you’re going to itemize your deductions or take the standard deduction, you must know the amount of your standard deduction. In 2025, the standard deduction is $15,750 for single filers and $31,500 for married filers. If you’re over age 65 or blind, you may tack on another $2,000 if you’re single or $1,600 each if you’re married. For example, a married couple, both of whom are over 65, would have a standard deduction of $34,700.
-
-Next, you’ll add up your allowable itemized deductions. The most common itemized deductions include:
-
-• Medical expenses: You may deduct unreimbursed medical or dental expenses to the
-
-extent that they exceed 7.5% of your adjusted gross income (AGI). For example, if
-
-your AGI is $100,000 and you have unreimbursed medical expenses of $12,000, you
-
-III. Income tax planning
-
-• Mortgage interest deduction: You may deduct the interest on up to $750,000 of
-
-principal on mortgage or home equity loans made after December 15, 2017.9 The
-
-mortgage or home equity line of credit (HELOC) must constitute “acquisition
-
-indebtedness,” meaning it was used to purchase or improve your home.
-
-Example: Susan used a mortgage of $250,000 to finance the purchase of a new
-
-home. She then took out a $50,000 HELOC to pay off her student loans. Susan can
-
-deduct the interest that she pays on the $250,000 primary mortgage because it
-
-was used to acquire her home but can’t deduct the interest that she pays on the
-
-$50,000 HELOC because that was used to pay down student debt, not to acquire or
-
-improve her home.
-
-• Charitable donations: You may deduct amounts donated to U.S.-based charitable
-
-organizations. The amount deductible will depend on the type of property donated
-
-and the type of organization it was donated to. This is discussed in greater detail in
-
-Section IV. Charitable planning.10
-
-Once you’ve added up all your itemized deductions, if the total is greater than your allowable standard deduction, you would apply the itemized deductions. If the sum is less than your allowable standard deduction, you would apply the standard deduction.
-
-Example: In 2025 John, a single taxpayer age 50, has paid $8,000 in state and local
-
-income tax and $2,500 in mortgage interest. John also gives $2,500 each year to
-
-his favorite charity. John’s itemized deductions total $13,000 and his available
-
-standard deduction is $15,750. John will take the standard deduction on his
-
-Form 1040.
-
-For most taxpayers, the standard deduction is greater than itemized deductions. But if you take the standard deduction, you may not recognize an income tax deduction for certain charitable gifts you made during the year if the amount of the gift doesn’t increase your total deductions beyond the standard deduction amount.11 One alternative is to consider bunching your charitable gifts for several years to increase your itemized deductions.
-
-Example: Following the facts from the prior example, John could consider making
-
-three years of gifts to his favorite charity in 2025 to recognize an itemized deduction.
-
-If John gave $7,500 to charity—which would count as his 2025, 2026, and 2027
-
-gifts—he would have an itemized deduction of $18,000 in 2025. Then in 2026, he
-
-could take the standard deduction. Additionally, beginning in 2026, John could make
-
-$1,000 in cash gifts to his favorite charity under a new OBBBA provision allowing a
-
-charitable deduction for non-itemizers. Over time, this strategy results in greater
-
-total deductions.
-
-III. Income tax planning
-
-
-
-Other considerations:
-
-State income tax: Understanding how your state’s income tax laws affect your overall tax picture is important. States may tax income differently—for example, some states tax Social Security benefits while others don’t. Likewise, some states mirror the allowable federal itemized deductions while others don’t. Consult your accountant or tax advisor to understand the implication of income tax planning on your estate.
-
-Limitation on itemized deduction for high-income earners: Beginning in 2026, taxpayers in the 37% federal income tax bracket will see a reduction in the value of itemized deductions. For affected taxpayers, the amount of itemized deductions otherwise allowable will be reduced by 2/37th of the lesser of (i) the amount of the taxpayer’s itemized deduction or (ii) the amount of the taxable income exceeding the dollar amount at which the 37% bracket begins with respect to the taxpayer. Effectively, itemized deductions for taxpayers in the 37% bracket will be limited to 35%.
-
-b. Additional deductions
-
-Several new deductions were introduced by the OBBBA that will offer qualifying
-
-taxpayers relief. As noted above, some of these deductions are effective beginning in
-
-2025 and others in 2026. Some are temporary and some are permanent. Many of
-
-these deductions are subject to phase-out based on the taxpayer’s MAGI, and
-
-therefore careful planning may be required to take advantage of these deductions in
-
-future years.
-
-• New senior tax deduction (for tax years 2025 through 2028): The OBBBA
-
-introduced a new $6,000 deduction for each taxpayer age 65 or older. You must
-
-have turned 65 on or before December 31 of the tax year to be eligible for this
-
-deduction. This deduction will be phased out to the extent the taxpayer has MAGI
-
-greater than $75,000 for single filers or $150,000 in the case of joint filers.12
-
-This deduction is available whether taxpayers’ deductions are itemized or not.
-
-• Charitable deduction for non-itemizers (beginning in 2026): In 2026, married
-
-taxpayers who don’t itemize deductions will be permitted to deduct up to $2,000 for
-
-cash gifts given to a charitable organization. Single taxpayers will be permitted to
-
-deduct up to $1,000. Gifts must be made in cash and must be made directly to a
-
-charitable organization as defined in IRC§ 170(b)(1)(A), not to a donor advised fund
-
-or a private foundation.
-
-• Deduction for tips (for tax years 2025 through 2028): Taxpayers earning qualified
-
-tips may deduct up to $25,000 from income. The deduction is phased out by $100
-
-III. Income tax planning
-
-
-
-• Automobile loan interest deduction (for tax years 2025 through 2028):
-
-Taxpayers may deduct up to $10,000 per year of qualifying interest paid on car loans
-
-as an above-the-line deduction. This applies to interest on loans used to purchase a
-
-new vehicle on or after January 1, 2025, primarily for personal use. Leases, loans
-
-used to buy luxury vehicles above a set value, and business-use vehicles are
-
-excluded. Vehicles that qualify for this loan deduction must have final assembly in
-
-the United States, which can be determined based on the car’s vehicle identification
-
-number (VIN) and can be checked on the National Highway Traffic Safety
-
-Administration (NHTSA) website.
-
-
-
-3 | INVESTMENT MATTERS
-
-While you never want to base investment decisions solely on tax consequences, it’s certainly important to understand how taxes impact your investments.
-
-The type of investment account will determine how assets are taxed. Nonqualified (i.e., nonretirement) accounts are currently taxable. That means any interest, dividends, or capital gains generated in those accounts are reported each year on your Form 1040. Qualified accounts—such as 403(b), 401(k), and IRA accounts and nonqualified annuities—are tax deferred. That means any income or capital gains aren’t currently taxable, but distributions are taxable. In some cases, it may make sense to allocate income-paying investments to your qualified accounts rather than nonqualified accounts because the income isn’t currently taxable. Understanding the impact of asset location (the type of account an asset is invested in) is as important as understanding your asset allocation. TIAA can help you to better understand this.
-
-Tax efficient investing:
-
-Taxpayers are often surprised when they receive their 1099s and see the amount of investment income they have each year. Often, we’re so focused on asset allocation that we’re not considering the tax consequences of investments. And an unpleasant byproduct of a positive market can be outsized capital gains taxes. Some of the common pitfalls that we see include:
-
-Mutual fund capital gains distributions:
-
-Mutual funds are commonly used by self-directed investors as well as professional investment advisors to provide diversification and access to different market sectors. But what’s often overlooked is that while you may buy a mutual fund, even if you don’t sell it, the fund manager is buying and selling the underlying securities in line with the
-
-III. Income tax planning III. Income tax planning
-
-
-
-Taxable bond interest:
-
-Another type of investment that can help keep taxes lower is tax-exempt municipal bonds. One lesson from recent years is that even the most conservative fixed-income investments can impact your tax bill. For example, the higher interest rates we have seen over the past several years have resulted in significant amounts of taxable income generated from bank accounts and money market funds. With municipal bonds, the interest you earn is free of federal income tax, and if the bonds are issued by your home state, they might be free of state income tax as well.
-
-Capital gains budgeting:
-
-When you’re investing in a taxable account, you may need to sell assets from time to time to raise cash for distributions or rebalance your asset allocation. Setting a capital gains budget may keep you from dipping into higher brackets or subjecting yourself to the NIIT.
-
-If you’re in a high tax bracket, talk to your advisor about tax-efficient investing, including using municipal bonds, ETFs, or a managed portfolio to minimize taxes.
-
-Tax-loss harvesting:
-
-Not every investment guarantees annual growth, and value may decrease on occasion. A well-balanced investment portfolio will have some winners and some losers. Those losing investments offer opportunities to offset gains and reduce taxable income. Tax-loss harvesting is a strategy that involves selling investments that have a built-in loss so the loss is realized. While not limited to end-of-year planning, this strategy is typically used as an opportunity to help offset taxes related to gains and income from other investments.
-
-When looking to rebalance your portfolio, you’ll likely have some assets that are up and some that are down. As you’re selling your “up” assets—which will result in a taxable capital gain—you may also want to consider selling your “down” assets, resulting in a capital loss. That capital loss can then be used to offset all or part of the gain. If you already have a diversified portfolio, the sold security may be replaced by a similar one, allowing you to maintain an optimal asset allocation.
-
-Your goal may be to reduce your income tax bill, but you also must pay attention to the type of loss you have. Short-term losses are losses associated with assets held for a period of less than 12 months. Long-term losses are losses associated with assets sold after being owned for 12 months or longer.
-
-III. Income tax planning
-
-
-
-A word of caution: Remember the wash-sale rule, which states that if you sell a security at a loss and then purchase a “substantially identical” security within 30 days prior to or after the sale, the loss is disallowed for income tax purposes.
-
-
-
-The wash-sale rule also applies to sales of assets held in a tax-qualified retirement plan and to sales among spouses. You can’t sell an asset at a loss in a taxable account and then purchase that same security (or a substantially identical one) in your retirement account. Nor can one spouse sell at a loss and the other spouse purchase a substantially identical security within 30 days prior to or after the sale. Losses in both scenarios will be barred by the wash-sale rule.
-
-
-
-A word of caution: Selling investments may change the overall risk associated with your portfolio and expected returns and ultimately could have an impact on your financial plans. Please consult with your advisor before making any modifications to your investment portfolio, as individual situations vary, and professional guidance can help ensure that changes align with your long-term goals and risk tolerance.
-
-
-
-4 | HAVE YOU WITHHELD ENOUGH?
-
-When you file your taxes in April, you’ll either be due a refund or owe taxes. This is determined by the amount of taxes you’ve paid throughout the year by withholding from your paycheck and other distributions or making quarterly estimated payments relative to your tax liability. While a tax extension allows more time to file, it doesn’t extend the deadline for tax payments. You must still pay your tax due by April 15, or you may be subject to further interest and penalties.
-
-To avoid having to write a big check in April, make sure you’re withholding the correct amount of federal income taxes. If you’ve under-withheld, you may still have time to adjust your withholding to take more money out for taxes through the end of this year. In addition, you could make quarterly estimated tax payments, if appropriate. You might make quarterly estimated payments if you have income throughout the year that isn’t
-
-III. Income tax planning
-
-
-
-If your goal is just to temporarily increase your withholding through the end of this year, you’ll need to revisit your withholding again in January. Your withholding elections remain in place until you change them by submitting an updated Form W-4 to your employer.
-
-You may also want to consider adjusting your withholding if you received a large refund last year. While a refund may seem like you’re ahead of the game, it actually means you gave the government an interest-free loan. That’s money you could have been using to increase savings, pay down debt, or do something fun like take a vacation.
-
-If you need help estimating your withholding, you could consider using the IRS Tax
-
-Withholding Estimator. The online estimator can help you identify your tax withholding to make sure you have the right amount of tax withheld from your paycheck—or to determine if you need to complete a new W-4 for your employer.
-
-
-
-A word of caution: If you don’t pay enough either through withholding or estimated tax payments, you may end up owing a penalty. You can avoid paying an underpayment penalty if you owe less than $1,000, or if you have paid the lesser of 90% of your current year liability or 100% of your prior year liability.13
-
-
-
-5 | YEAR-END INCOME TAX PLANNING CONSIDERATIONS
-
-Year-end income tax planning strategies often focus on reducing your income and tax exposure. The OBBBA has introduced several new deductions that have to be factored into tax planning decisions.
-
-Planning for the OBBBA deductions:
-
-If you’re a taxpayer over age 65, have tip or overtime income, or have borrowed to purchase a new vehicle, new deductions may be available to you. These above-the-line deductions, described above, are subject to certain MAGI limits. Itemized deductions or the standard deduction doesn’t reduce MAGI—therefore, the focus must be on reducing income. Ways to reduce or control income include:
-
-• Maximizing retirement plan contributions: By maximizing your retirement plan III. Income tax planning
-
-
-
-• Look ahead at your income: If you anticipate that your income is going to increase
-
-over time, perhaps because you’ll have to begin taking RMDs, consider whether a
-
-Roth conversion may make sense. While the Roth conversion will increase your
-
-taxable income for the year in which you convert and may disqualify you from
-
-recognizing certain deductions for that year, it may reduce RMDs in future years,
-
-allowing you to take advantage of those deductions down the road.
-
-• Manage investment income: Investing in a tax-efficient manner can reduce your
-
-taxable income. Discuss with your TIAA advisor ways you can manage investment
-
-income by shifting to more tax-sensitive investments, sticking to a capital gains
-
-budget, harvesting investment losses, or investing in a managed portfolio.
-
-• Harvest investment losses: Recognizing investment losses will not only offset
-
-investment gains, but you’re also permitted to offset up to $3,000 of ordinary
-
-income with investment losses each year.
-
-• Consider QCDs for charitable giving: As discussed in Section IV. Charitable
-
-planning, QCDs can be used by taxpayers age 70½ or older. This will reduce your
-
-taxable income because the funds are transferred from the IRA directly to a charity
-
-and still count toward satisfying your annual RMD, which would otherwise be
-
-taxable income.
-
-OBBBA limitations on deductions:
-
-If you’re a taxpayer in the 37% bracket, the new limitations mean you’ll lose a portion of your itemized deductions beginning next year, and, if you make charitable gifts, those gifts will also be subject to the 0.5% AGI floor, as noted above. If you’ve been anticipating giving a large charitable gift, you may wish to do so in 2025 so you can recognize the full tax deduction associated with that gift (subject charitable AGI limitations).
-
-Example: Jack and Jill, both age 50, are married and have $475,000 of AGI and
-
-MAGI. They pay $35,000 in SALT and $10,000 in mortgage interest, and they make
-
-$5,000 of charitable contributions annually. In 2025, their total itemized deductions
-
-will total $50,000. In 2026, if they have the same SALT and mortgage deductions
-
-and make the same charitable contributions, their itemized deductions will be
-
-reduced to $47,625. They’ll only recognize charitable gifts exceeding the 0.5% AGI
-
-floor and won’t be able to recognize the first $2,375 of charitable gifts they make.
-
-III. Income tax planning
-
-
-
-Example: Jane, age 65, has $750,000 of AGI and MAGI. She pays $40,000 in SALT
-
-and $25,000 in mortgage interest, and she makes $100,000 of charitable gifts each
-
-year. In 2025, Jane’s itemized deductions will total $165,000. In 2026, her
-
-deductions will be reduced as follows:
-
-• SALT deduction will be reduced to $10,000 (because Jane’s MAGI exceeds
-
-the phase-out)
-
-• Mortgage interest deduction will remain at $25,000
-
-• Charitable deduction will be reduced to $96,250 ($3,750 lost due to the
-
-0.5% AGI floor)
-
-• Total itemized deductions: $131,250
-
-• Income in 37% bracket $123,649 x 2/37 = $6,683.51 reduction in
-
-itemized deductions
-
-• Recognized itemized deductions: $124,566.49
-
-Jane’s total itemized deductions are reduced by 2/37th of the amount of her income
-
-in the 37% bracket, resulting in a “loss” of more than $40,000 of itemized
-
-deductions. Jane could consider front loading charitable gifts in 2025 to reduce the
-
-erosion of the value of those gifts in future years.
-
-Traditional income tax planning:
-
-In addition to considering strategies to reduce income to allow you to take advantage of the new deductions under the OBBBA, it’s also important to consider traditional tax planning. Traditional tax planning focuses on considering whether you’ll have more income this year or next year. To do this, look at your income for this year and compare it to what you expect next year. For example, let’s say you’re working this year but plan on retiring next year. You may expect to be in a lower marginal bracket because you’ll have less income next year than this year. Alternatively, say you’re retired with no income this year, but next year you must start taking RMDs. In that case, your income and tax rate could be higher.
-
-If you’re in a higher income tax bracket this year than you’ll be next year, consider:
-
-• Maximizing retirement plan contributions: As noted above, when you maximize
-
-retirement contributions, you defer income to the future.
-
-• Postponing lump-sum payments and bonuses and deferring compensation: III. Income tax planning
-
-
-
-Alternatively, if you anticipate being in a higher tax bracket next year, you could consider:
-
-• Accelerating income: To the extent possible, you could accelerate any lump-sum
-
-payments, bonuses, and deferred compensation into this year. Additionally, you
-
-could take distributions from nonqualified annuities, redeem U.S. savings bonds, and
-
-recognize other investment income.
-
-• Postponing itemized deductions: Hold off on making large charitable gifts or
-
-incurring large medical expenses until next year.
-
-• Roth conversions: A Roth conversion allows you to take traditional retirement funds
-
-and convert them to a Roth account by recognizing income and paying tax on the
-
-amount converted in the year of the conversion. This is discussed in greater detail
-
-in Section II. Planning with retirement assets.
-
-
-
-The OBBBA has made tax planning more complex. It’s important to work with a tax professional to ensure you’re taking advantage of all available tax strategies. Your TIAA advisor can also help you consider strategies to enhance overall income tax efficiency—not just to save dollars this year, but as part of your comprehensive plan. Ask your TIAA advisor how to create tax-efficient strategies for income taxes, investments, and charitable giving that align with and support your financial goals.
-
-
-
-
-
-IV. Charitable planning IV. Charitable planning
-
-
-
-
-
-Many are charitably inclined and wish to give to their favorite organizations. And while tax benefits may not be front of mind, there are certainly income tax benefits to making charitable gifts. Charitable gifts for tax purposes are gifts of property to organizations that the IRS formally qualifies and recognizes for their charitable, religious, scientific, educational, and other purposes. The two most common types of qualified organizations are public charities and private foundations.
-
-The type of property you give and the type of charitable organization you give it to will impact the tax benefits you may receive. For this reason, you should always consult your legal and tax advisors for specific guidance before making substantial charitable gifts.
-
-The OBBBA makes changes that impact the tax benefits of charitable giving beginning in 2026. If you’re considering a substantial charitable gift, you should discuss the changes with your tax advisor to determine whether your tax benefit might be greater by making the gift this year or next. The OBBBA’s overall impact on itemized and other deductions is discussed in greater detail above in Section III. Income tax planning, but here we discuss those provisions that specifically affect charitable gifts.
-
-New deduction for non-itemizers: Beginning in 2026, the OBBBA allows taxpayers taking the standard deduction to claim an additional deduction for cash gifts to charity. Single taxpayers will be able to claim up to $1,000 as a charitable deduction, and married taxpayers who file jointly may take a combined $2,000 charitable deduction.
-
-If you take the standard deduction and make cash charitable donations at
-
-year-end, consider whether it makes sense to wait until January to be able to
-
-deduct those donations in 2026.
-
-New limit for itemizers: For taxpayers who itemize, beginning in 2026, the OBBBA will introduce a 0.5% AGI floor to the deductibility of charitable gifts— meaning only charitable gifts exceeding 0.5% of the taxpayer’s AGI will be deductible. For example, if you have $150,000 AGI, beginning in 2026, you’ll only be able to deduct charitable gifts exceeding $750.
-
-If you itemize deductions and are considering a substantial charitable gift in the
-
-coming years, work with your tax advisor to estimate the impact of the 0.5%
-
-floor (the charitable deduction you’ll lose) and consider whether it would be
-
-IV. Charitable planning
-
-
-
-If you anticipate being in the 37% bracket in 2026, talk to your tax advisor about
-
-strategies to consider this year, prior to the reduction in itemized deductions taking
-
-effect.
-
-
-
-1 | TYPES OF GIFTS AND CHARITABLE DEDUCTIONS
-
-The deductibility of a charitable gift depends on the type of charitable organization
-
-receiving the gift and the type of property donated. The amount of a charitable gift
-
-that can be deducted is limited to a percentage of the taxpayer’s AGI in the year the
-
-gift is made. Any amount that cannot be deducted can be carried forward and
-
-deducted (subject to the AGI limitations) for up to five additional years. As noted
-
-above, however, beginning in 2026, additional limitations will apply to
-
-charitable deductions.
-
-The chart below details the deductibility limits applicable to various forms of
-
-charitable gifts.
-
-Gifts to public charities (including donor-advised funds)
-
-Donated asset Deduction amount Annual AGI limitation
-
-Cash Amount of cash 60%*
-
-
-
-(property held less than one year) Cost basis 50% Short-term capital gain property
-
-
-
-Long-term capital gain property Fair market value 30% (property held more than one year)
-
-*OBBBA made permanent.
-
-
-
-Gifts to private nonoperating foundations
-
-Donated asset Deduction amount Annual AGI limitation
-
-Cash Amount of cash 30%
-
-IV. Charitable planning
-
-
-
-2 | CHARITABLE GIVING STRATEGIES
-
-a. What asset to gift
-
-A key advantage to giving appreciated assets that you’ve held longer than one year is
-
-the avoidance of capital gains tax on the appreciation. The charity’s benefit and the
-
-amount of your charitable deduction are the same whether you give cash or
-
-appreciated securities, but the avoidance of capital gains tax on the appreciated
-
-securities may result in a greater overall tax benefit than making a gift of cash.
-
-b. Qualified charitable distributions (QCDs)
-
-If you’re over age 70½, you can direct up to $108,000 from your IRA to charity in
-
-2025. If you’re already taking RMDs, a QCD will count toward your RMD in the year it
-
-is made.
-
-While there’s no charitable deduction for making a QCD, there’s still a tax benefit. The amount of the QCD, which would otherwise have been a taxable distribution from your IRA, is not reported as taxable income on your return for the year. That means your income is lower than it would have been, reducing your tax obligation (and potentially your bracket). Further, a lower MAGI may have other benefits. A lower MAGI may reduce your Medicare premiums and the tax on your Social Security income, both of which are MAGI-sensitive. Additionally, a lower AGI may allow you to deduct a greater amount of medical expenses, which are subject to a 10% AGI floor. And as discussed in Section III. Income tax planning, it may allow you to take advantage of the new MAGI restricted deductions, including the senior deduction, tips and overtime deductions, and auto-loan interest deduction provided for under the OBBBA.
-
-While you’re permitted to make QCDs at age 70½, the immediate tax benefit of a QCD is the reduction in the taxable amount of your RMD. However, RMDs are not required until age 73. You may still make a QCD at age 70½, but if you’re not subject to RMDs until age 73, it may make sense to wait until then. If you do not have to take an RMD, there’s no taxable income to reduce.
-
-If you take the standard deduction, a QCD will allow you to reduce your taxable income even though you didn’t itemize to report a charitable deduction.
-
-Example: Jack is 74 and must take a $50,000 RMD from his IRA for 2025. Jack plans to make a $50,000 gift to his favorite charity. Jack can direct $50,000 from his IRA to his favorite charity, and he’ll have satisfied his RMD without reporting the $50,000 of income.
-
-IV. Charitable planning
-
-
-
-You can also make a one-time QCD to establish a charitable gift annuity (CGA), which is a contract between you and a charity, such as your alma mater. In return for establishing the CGA, the charity will pay you a fixed annual percentage of your gift for a term or your lifetime. At the end of the term or upon your death, the remaining balance passes to the charity. Note that you can only elect a QCD to establish a CGA once in your lifetime, and in 2025, the limit is $54,000 per taxpayer.
-
-c. Incorporating charitable giving into your estate plan
-
-There are several ways you can include a charity as a beneficiary of your estate.
-
-You can name a charity in your will to receive a specific dollar amount or
-
-percentage of your assets, or you can leave a specific item, such as a piece of
-
-artwork, to a charity. Including charities in your estate plan not only fulfills your
-
-desire to leave a charitable legacy but can provide tax benefits as well. Amounts
-
-left to charity through your estate may be deductible for purposes of any applicable
-
-estate or inheritance tax.
-
-d. Leaving retirement assets to charity
-
-One often-overlooked strategy is using your retirement assets to fund a charitable
-
-bequest. Just as you must pay income tax on distributions from your traditional
-
-retirement accounts, individual beneficiaries to whom you leave those assets will
-
-also have to pay income tax. Charities, however, can receive retirement assets free
-
-of any income tax. To the extent you have both charities and individuals included in
-
-your estate plan, an income tax efficient strategy to boost your legacy is to leave
-
-your retirement assets to charity. Charities can be named directly as the
-
-beneficiary of your retirement account, or with careful drafting, you can direct your
-
-executor or trustee to use retirement assets to fulfill the charitable bequests
-
-contained in your will or other estate planning documents. Using retirement assets
-
-to fulfill charitable bequests allows you to leave assets that will receive a step up in
-
-basis to your individual beneficiaries. See Section V. Gift and estate tax planning
-
-opportunities.
-
-Without any designation With specific designation
-
-Charity receives: Charity receives:
-
-$50,000 Securities $100,000 IRA
-
-$50,000 IRA
-
-$100,000
-
-IV. Charitable planning
-
-
-
-e. Donor-advised funds (DAF)
-
-A DAF is a type of charitable account that’s established through a sponsoring
-
-organization, such as a financial institution or community foundation. DAFs can be
-
-funded with cash, marketable securities, or other property. You can deduct the
-
-amount of your gift to the DAF in the year of the gift (subject to AGI limitations).
-
-Gifts from your DAF can be distributed to your favorite charities over time—now,
-
-next year, or whenever you choose. Until then, the funds are invested with the
-
-potential to grow tax free, which can result in more substantial gifts to charity and
-
-greater charitable impact. DAFs operate much like private foundations, but the cost
-
-and complexity in creating a DAF are much lower.
-
-Example: Jane typically makes $5,000 of charitable gifts each year. In a year of
-
-unusually high income and income tax liability, Jane opts to fund a DAF with
-
-$25,000. Jane can use the $25,000 charitable deduction to offset her income tax
-
-liability that year but can still direct funds from the DAF to her charities at the same
-
-rate and in the same amount she traditionally has—$5,000 annually.
-
-f. Bunching charitable gifts
-
-Many taxpayers who take the standard deduction no longer realize a tax benefit from
-
-their charitable gifts. Bunching, or bundling, several years of charitable gifts into one
-
-tax year could change that by increasing your charitable deduction so your itemized
-
-deductions exceed the standard deduction, providing a greater overall tax benefit.
-
-This strategy is discussed in greater detail above in Section III. Income tax
-
-planning.
-
-g. Charitable remainder trust (CRT)
-
-A CRT is an irrevocable trust that pays an income stream to you, or to another
-
-person (or persons), for a specified period, with the remaining balance passing to
-
-charity. The income stream may be either a fixed dollar amount or fixed percentage
-
-of trust assets, and the specified period may be either a term of years or the
-
-beneficiary’s lifetime.
-
-When you fund the CRT, you receive a charitable deduction equal to the present
-
-value of remainder interest passing to charity. The rules for creating CRTs and
-
-calculating the charitable deduction can be complicated, but your legal and tax
-
-advisors will help you understand how these apply to your situation.
-
-Example: Jack and Jane have $1,000,000 of highly appreciated stock in an exciting
-
-tech company that they bought for very little money two years ago. They need to
-
-IV. Charitable planning
-
-
-
-h. CRTs for retirement accounts
-
-The SECURE Act of 2020 fundamentally reshaped the rules regarding distributions
-
-from inherited retirement accounts. Now, most nonspouse adult beneficiaries are
-
-required to receive full distribution of, and pay income tax on, inherited retirement
-
-assets within 10 years following the account owner’s death. This change prevents
-
-many beneficiaries from stretching distributions from inherited retirement accounts
-
-over their lifetime, thereby spreading the annual income and resulting tax liability
-
-as well.
-
-One strategy to consider is naming a CRT as the beneficiary of your pretax
-
-retirement accounts. The proceeds of the retirement accounts are invested within
-
-the CRT. Income tax is not paid by the CRT but is paid by the beneficiary as he
-
-receives payments. The income stream from the CRT can stretch over the
-
-beneficiary’s lifetime, spreading the tax liability over that period and avoiding a large
-
-lump-sum tax bill due in year 10 as with an inherited retirement account.
-
-Please refer to TIAA’s Charitable Giving Guide for more information on the charitable
-
-strategies mentioned above.
-
-
-
-
-
-V. Gift and estate tax V. Gift and estate tax planning opportunities
-
-
-
-
-
-While gathering documents and financial information for tax planning purposes, be certain not to overlook your estate plan and any lifetime gifting opportunities you may want to consider prior to year-end. This section will cover the basic tax considerations that impact gift and estate planning strategies. It will also cover several reasons why an existing estate plan may need to be updated, and where to begin if you don’t have a plan in place.
-
-
-
-1 | BACKGROUND
-
-It’s important to be aware of the federal taxes that may impact your gift and estate plans, as well as any taxes that may be imposed by your state of domicile. This section will provide an overview of federal taxes and planning strategies, but you should confirm with your tax or legal advisor whether your state imposes a gift, estate, or inheritance tax that you should also be aware of.
-
-The federal gift and estate tax applies to transfers of assets made by citizens and residents of the United States. It’s helpful to be familiar with two concepts of the federal gift and estate tax laws and how they work: annual exclusion and lifetime exemption.
-
-• Annual exclusion: The annual exclusion is the amount that can be gifted each
-
-calendar year to a single beneficiary without federal gift tax consequences. You can
-
-make annual exclusion gifts to an unlimited number of beneficiaries each year. The
-
-annual exclusion amount is determined each year by the IRS and is $19,000 for
-
-2025. Spouses who make gifts together (referred to as gift-splitting) can make
-
-annual exclusion gifts up to $38,000 per beneficiary in 2025. Most gifts, such as
-
-birthday and graduation gifts, typically fall under the annual exclusion.
-
-A gift of community property is considered a gift of a one-half interest in the
-
-property by each spouse, regardless of which spouse owned the community property
-
-and made the gift. It’s important to keep that in mind when tracking the value of gifts
-
-made to a beneficiary for purposes of the annual exclusion and lifetime exemption,
-
-discussed below.
-
-• Lifetime exemption: What happens if you make a gift or a series of gifts in one year
-
-to an individual in excess of the annual exclusion amount? The amount above the
-
-annual exclusion is referred to as a taxable gift, which is where the lifetime
-
-exemption comes in. Federal gift and estate taxes are often referred to as a combined V. Gift and estate tax planning opportunities
-
-
-
-Example: If Jane gifted $30,000 to David in 2025, $19,000 of David’s gift wouldn’t
-
-need to be reported to the IRS because it falls under Jane’s annual exclusion, but the
-
-remaining $11,000 would need to be reported on a gift tax return and would reduce
-
-Jane’s lifetime exemption by that same amount. If Jane gave $30,000 to David in
-
-two gifts, however, sending him $19,000 in December 2025 and $11,000 more in
-
-January 2026, both gifts would fall under Jane’s annual exclusion for the year of the
-
-gift and neither gift would need to be reported as a taxable gift nor reduce Jane’s
-
-lifetime exemption.
-
-The lifetime exemption is also determined each year by the IRS and is $13,990,000
-
-for 2025. Assets gifted or transferred above the amount of the exemption are
-
-currently taxed at the top federal gift and estate tax rate of 40%.
-
-For married couples, any unused lifetime exemption is now portable to a surviving
-
-spouse at the death of the first spouse. Prior to 2011, the lifetime exemption needed
-
-to be used by each spouse independently. If the first spouse to pass hadn’t used his
-
-or her full exemption, any unused amount was lost. This is no longer the case. A
-
-deceased spouse’s unused exemption amount (DSUEA) is now transferable to the
-
-surviving spouse. The DSUEA will be added to the surviving spouse’s available
-
-exemption and can be used by the surviving spouse in making lifetime gifts or for
-
-transferring assets at death.
-
-Additional tax considerations to keep in mind
-
-• Basis—carryover versus adjusted: When considering planning opportunities, it’s
-
-important to understand the basis rules that apply to lifetime gifts and transfers
-
-through an estate at death. When you acquire an asset, its purchase price becomes
-
-your basis for purposes of calculating the capital gain or loss when it’s sold. Basis
-
-may be adjusted, both up and down, during your ownership of the asset for various
-
-reasons, such as the cost of improvements made to real estate.
-
-When you gift an asset during lifetime, the beneficiary takes your basis in the asset
-
-for capital gains purposes. This is referred to as a carryover basis. When an asset
-
-passes through your estate at death, the basis is adjusted, up or down, to its date of
-
-death value. If the asset appreciated in value since its purchase, the adjustment is
-
-referred to as a step up in basis. The step up in basis can reduce or even eliminate
-
-the capital gains tax due upon the sale of the asset by the beneficiary after your
-
-death. This can make a significant difference in the value of the asset in the hands of
-
-its new owner.
-
-V. Gift and estate tax planning opportunities
-
-
-
-tax rules provide that the child’s unearned income above $2,700 is taxed at the
-
-parents’ marginal income tax rate. The kiddie tax threshold is adjusted for inflation
-
-each year.
-
-• GST tax: The GST tax is another federal tax to be aware of when considering gift and
-
-estate tax planning strategies. The GST tax is calculated in addition to any federal
-
-gift or estate tax. It applies when you gift assets during your lifetime or transfer
-
-assets at your death to or for the benefit of an individual who’s two or more
-
-generations younger than you, such as a grandchild or a great-grandchild. The GST
-
-tax applies even if the person isn’t related to you but is more than 37½ years younger
-
-than you. The GST tax rate and exemption are equal to those of the federal estate
-
-tax—for 2025, they’re 40% and $13,990,000.
-
-• One final note, neither the annual exclusion nor the lifetime exemption applies when
-
-it comes to gifts to charity. Charitable gifts can be made in unlimited amounts during
-
-life, subject to deductibility limitations for income tax purposes. You can also leave
-
-unlimited assets to charity at your death, and doing so may provide your estate
-
-additional federal and state death tax benefits.
-
-
-
-2 | LIFETIME GIFTING OPPORTUNITIES
-
-Described below are gifting strategies you may want to consider. One of the benefits of lifetime gifting at any level is that it can remove from your estate not only the amount of the gift, but all future appreciation on that gift.
-
-• 529 college savings plans: A 529 plan can be front-loaded in a single year by using
-
-five years of annual exclusion gifts to the beneficiary of the 529. Annual gift tax
-
-returns must be filed to report the funding, and additional annual exclusion gifts
-
-can’t be made to the beneficiary of the 529 during those five years. For 2025, that
-
-means up to $95,000 can be contributed to a 529 plan for one beneficiary with no
-
-gift tax consequences. If you’re concerned about overfunding a 529 plan, note that
-
-funds in a 529 plan not used for permissible education-related purposes may also be
-
-rolled into a Roth IRA for the beneficiary—up to $35,000 over a lifetime and
-
-pursuant to annual-funding limits and requirements.
-
-• Medical expense and tuition exemptions: Without regard to the annual exclusion,
-
-you can pay unlimited amounts directly to the provider of medical services on behalf
-
-of another and make unlimited tuition payments for another directly to the
-
-V. Gift and estate tax planning opportunities
-
-
-
-However, the IRS does limit the medical services that qualify and very narrowly defines tuition, so it’s important to understand what qualifies prior to making any such direct payments.
-
-• Outright gifts and gifts in trust: Annual exclusion gifts and taxable gifts sheltered
-
-by the lifetime exemption can be made outright to children, family members, and others. Gifts can be made to minors under the rules of the Uniform Gifts (or Transfers) to Minors Act (UGMA or UTMA) in your state of residence, which generally means the minor will have access to the funds when they reach age 18 or 21, depending on the state. When it comes to minors (and often young adults), you may want to understand the options for using your lifetime exemption to make substantial gifts while limiting the beneficiary’s access to the funds. Gifts can be made into a trust—sometimes referred to as a minor’s trust, a 2503(c) trust, or a Crummey trust. You can establish the trust and its terms, which then control when and for what purposes the trustee distributes the trust income and principal to or for the benefit of the beneficiary. For more information on the use of trusts, please see
-
-TIAA’s article on Lifetime Trusts for Your Heirs.
-
-
-
-While trusts are often used for gifting purposes, you might consider making outright gifts,
-
-especially when the gift can help the beneficiary take important steps toward their future,
-
-such as putting a down payment on a home or contributing to a Roth IRA. Consider the
-
-following: Peter is age 18 and earns $7,000 per year. His grandfather makes a $7,000 gift to
-
-Peter at age 18 and for nine years thereafter, directing Peter to contribute each gift to a Roth
-
-IRA. Assuming a 5% annual growth rate, below you’ll see how Peter’s Roth IRA grows entirely
-
-tax free as he reaches retirement age.
-
-Peter’s age Value of Roth account
-
-27 $92,000
-
-50 $283,000
-
-60 $460,000
-
-70 $750,000
-
-
-
-3 | WHY MAKE LIFETIME GIFTS?
-
-V. Gift and estate tax planning opportunities
-
-
-
-asset during life as opposed to the amount of your lifetime exemption that may be needed to shelter the asset from the federal estate tax at your death, when considering future appreciation on that asset.
-
-
-
-4 | ADVANCED GIFTING STRATEGIES
-
-The OBBBA increases the lifetime exemption to $15,000,000 beginning on January 1, 2026, and provides that it will be indexed for inflation each year thereafter. Families with substantial wealth who may still be impacted by the federal estate tax may want to consider advanced gift and estate tax planning strategies. While simply making gifts that take advantage of the annual exclusion and lifetime exemption can be effective, for some it may make sense to consider the more complex strategies described below. These strategies may be structured to ultimately skip generations, taking advantage of any available exemption from the GST tax as well.
-
-Spousal lifetime access trust (SLAT): A SLAT is an irrevocable trust that includes the gift-giver’s (the grantor’s) spouse as a permissible beneficiary. Gifting assets to a SLAT uses the grantor’s lifetime exemption and removes the SLAT assets (and the appreciation on those assets) from the grantor’s and the spouse’s estates. Because the SLAT assets are indirectly available to the grantor while the spouse is living, a SLAT may be an appropriate solution for married individuals who want to take advantage of the opportunity to use their lifetime exemption but are uncomfortable relinquishing all access to the gifted funds. If the spouse dies before the grantor, however, the remaining beneficiaries (typically the couple’s children) are now the only permissible distributes, and the grantor has no access to the trust assets.
-
-Intentionally defective grantor trust (IDGT): An IDGT is another strategy for gifting assets in trust, typically for the benefit of children and grandchildren. While an IDGT accomplishes the same goal of gifting to take advantage of the lifetime exemption against the gift tax, it’s also intentionally defective for income tax purposes. That means the income generated by the trust is taxed to its grantor, enabling the assets in the IDGT to grow free of any income tax burden. As added benefits, the grantor’s payment of the income taxes isn’t deemed to be an additional gift to the IDGT for gift tax purposes, and the value of the grantor’s estate is further reduced by the amount of income taxes paid.
-
-Grantor retained annuity trust (GRAT): For assets that are expected to appreciate, such as undervalued stocks, funding a GRAT might be a good option. A GRAT is an V. Gift and estate tax planning opportunities
-
-
-
-A GRAT is considered an estate freeze because the value of the assets transferred and their projected growth rate becomes fixed, or frozen, for gift tax purposes at the time the assets are transferred to the trust. As a result, future growth of the trust assets during the grantor’s retained term in excess of the frozen value is ultimately transferred to the grantor’s beneficiaries, who are typically the children of the grantor. Because of the freeze, a GRAT may allow the appreciation of the trust assets to be transferred to heirs with a reduced use of the grantor’s lifetime exemption.
-
-Qualified personal residence trust (QPRT): A QPRT is an irrevocable trust into which a grantor transfers a residence while retaining the right to live in the residence for a term of years. At the end of the term, the residence then passes to the QPRT beneficiaries. Depending on the length of the retained term, the value of the gift (which is the future transfer of the residence to the QPRT beneficiaries) and the lifetime exemption used to shelter it can be substantially lower than the fair market value of the residence when it was transferred to the QPRT, simply because of the delay in the beneficiaries’ ultimate receipt of the gift. Additionally, all appreciation in the value of the residence occurring after the initial transfer to the QPRT passes to the beneficiaries free of gift tax.
-
-Irrevocable life insurance trust (ILIT): An ILIT is a trust specifically designed to own life insurance policies, while excluding the value of those policies and any death benefit proceeds from the insured’s taxable estate for estate tax purposes. The transfer of an existing policy to an ILIT may have gift tax consequences, as may the payment of annual premiums. However, those transfers may be sheltered by the strategic use of the insured’s ability to make annual exclusion gifts and taxable gifts sheltered by the lifetime exemption. When structured properly, an ILIT can save significant federal estate taxes that might otherwise be due on the value of the death benefit.
-
-
-
-5. ESTATE TAX PLANNING OPPORTUNITIES
-
-Whether you’re starting from scratch or already have an estate plan that just needs to
-
-be reviewed, a good place to begin is by completing TIAA’s Asset Inventory Organizer in preparation for meetings with your legal and tax advisors. Either way, below are a few prompts to help you get started.
-
-If you have existing documents, when were they signed? As noted above, beginning January 1, 2026, the lifetime exemption from the federal estate and gift tax will increase to $15,000,000 per person, which means married couples will be able to V. Gift and estate tax planning opportunities
-
-
-
-Are your assets coordinated with your plan? It’s important to not only review your estate documents, but to also ensure your assets are properly coordinated with them. Which means assets are titled correctly—whether in your individual name, joint names, or the name of a trust, for example. Does an asset carry a transfer on death or beneficiary designation as with retirement accounts and life insurance? If so, it’s also important for those designations to be coordinated so they don’t supersede the terms of your estate planning documents. The effectiveness of any estate plan requires periodic review of such details, which tend to become uncoordinated over time as new financial accounts are opened and new assets are acquired.
-
-Have you moved to another state since you signed your estate planning documents? Where you live may determine how your estate plan is structured and documented. There are several important factors that vary from state to state, including state-level taxes and the process (and efficiency) of administering an estate under the state’s probate laws—perhaps calling for the use of a revocable trust in addition to a will. It’s a good idea to contact an estate attorney in your new state of residence to have your documents reviewed.
-
-Do you own out-of-state real estate? The vacation home you own at the shore may provide you and your family much joy while you’re living, but if it’s not located in the state of your domicile when you pass away, it could cause significant additional work in the administration of your estate. That’s because each state retains the sole right to govern real estate within its borders. So your estate will not only need to be administered in the state where you’re domiciled, but in the state where your vacation home is located as well. Thankfully, there are strategies you can employ to simplify the process of passing the vacation home on to your heirs without the need for a second, or ancillary, estate administration.
-
-Have there been any significant family or financial changes since you signed your estate planning documents? The birth of a child or grandchild, divorce, remarriage, a financial windfall, starting or selling a business—these and others are all reasons to revisit your estate planning documents to ensure your current circumstances and desires are taken into consideration when it comes to the distribution of your estate.
-
-Who’s named in your documents? There are several instances when a fiduciary needs to be named in your estate planning documents. Your fiduciaries include the executor of your will, potentially a trustee or successor trustee, and agents under your power of attorney (which will be discussed in more detail below). Carefully consider and review the individuals or corporate entities you’ve designated (or should designate) to serve in V. Gift and estate tax planning opportunities
-
-
-
-Do you have power of attorney (POA) and a living will (LW)? While reviewing your estate plan, don’t overlook your financial and health care POAs and your LWs. Those documents differ from your will in that they’re only effective during your lifetime—they become void upon your death, when your executor and/or trustee take over. Are the individuals named as agent under your financial POA still local and able to easily collect your mail, care for your home or pets, and manage your finances and taxes? Do the provisions of your LW still reflect your current wishes regarding end-of-life care?
-
-Where to begin? For more information on basic estate planning documents and other
-
-planning considerations, please see TIAA’s Essential Estate Planning Guide and, as
-
-suggested above, take the time to complete TIAA’s Asset Inventory Organizer in preparation for meetings with your legal and tax advisors.
-
-
-
-Tax terms and acronyms
-
-
-
-AGI Adjusted gross income SEP Simplified employee pension
-
-CGA Charitable gift annuity SLAT Spousal lifetime access trust
-
-CRT Charitable remainder trust TCJA Tax Cuts and Jobs Act
-
-DAF Donor-advised fund UGMA Uniform Gifts to Minors Act
-
-DSUEA Deceased spouse’s unused exemption amount UTMA Uniform Transfers to Minors Act
-
-EDB Eligible designated beneficiary
-
-ETF Exchange-traded fund
-
-FICA Federal Insurance Contributions Act (wages)
-
-GRAT Grantor retained annuity trust
-
-GST Generation-skipping transfer (tax)
-
-HELOC Home equity line of credit
-
-IDGT Intentionally defective grantor trust
-
-ILIT Irrevocable life insurance trust
-
-IRA Individual retirement account
-
-IRC Internal Revenue Code
-
-IRS Internal Revenue Service
-
-LW Living will
-
-MAGI Modified adjusted gross income
-
-NHTSA National Highway Traffic Safety Administration
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-NIIT Net investment income tax
-
-OBBBA One Big Beautiful Bill Act
-
-POA Power of attorney
-
-QCD Qualified charitable distribution
-
-QPRT Qualified personal residence trust The One Big Beautiful Bill - Quick Reference Guide
-
-On July 4, 2025, the Reconciliation Legislation (H.R. 1) aka the One Big Beautiful Bill Act (OBBBA) was signed into
-
-law. Below are some of the key individual income tax provisions included in the legislation:
-
-
-
-Tax Cuts and J obs Act ( TCJ A) current provisions made permanent by the One Big Beautiful Bill Act ( OBBBA)
-
-Rates Makes TCJA tax brackets permanent (10%, 12%, 22%, 24%, 32%, 35%, 37%). Individual Income Tax
-
-Capital Gains Tax Rates Maintains and extends current capital gains tax brackets (0%, 15%, 20%)
-
-Makes permanent and increases the standard deduction (indexed for inflation):
-
-Standard Deduction - MFJ: $31,500 - S: $15,750
-
-- Aged or Blind additional $2,000 S/$1,600 per qualifying spouse for MFJ
-
-Mortgage Interest Makes $750,000 limit permanent; adds mortgage insurance premiums as allowable interest deduction Deduction
-
-Miscellaneous Itemized Makes permanent the elimination of all miscellaneous itemized deductions except for educator expenses Deductions Expansion of allowable deductible educator expenses beginning in 2026 Child Tax Credit Makes permanent and increases the Child Tax Credit to $2,200 per child (indexed for inflation and subject to phase out)
-
-Section 199A Makes permanent pass-through deduction (increasing from 20% to 23% in 2026) Pass-through deduction
-
-Annual Gift Tax Exclusion Maintains annual gift tax exclusion, currently $19,000 per recipient (indexed for inflation) Estate & Gift Tax Makes permanent and increases the lifetime exemption amount (increasing to $15,000,000 in 2026, indexed for inflation Exemption thereafter)
-
-New Individual Provisions under the OBBBA
-
-Provision Key Points Effective Tax Years
-
-Senior Deduction $6,000 deduction for individuals age 65+ Phases out at MAGI of $75,000-$175,000 S/$150,000-$250,000 MFJ
-
-Auto Loan Interest Loan interest up to $10,000 deductible for qualified U.S.-assembled vehicles purchased after 12/31/2024 Phases out at MAGI over $100,000 S/$200,000 MFJ 2025-2028
-
-Tips: Up to $25,000 deductible
-
-Tips/Overtime Deduction Overtime: Up to $12,500 S/$25,000 MFJ deductible
-
-Phases out at MAGI over $150,000 S/$300,000 MFJ
-
-Increases to $40,000 (2025), rises 1% annually thereafter
-
-SALT Deduction Phases out to $10,000 at MAGI of $500,000-$600,000 (for both S and MFJ) 2025-2029
-
-Reverts to $10,000 in 2030
-
-Itemized Deductions Limit Deduction limited to 35% for taxpayers in the 37% bracket
-
-Charitable Deduction for 2026-permanent New permanent deduction for non-itemizers for charitable contributions of cash up to $1,000 S/$2,000 MFJ Non-Itemizers
-
-Termination of Green New Termination of clean vehicle credit for cars and clean energy credits Deal Subsidies
-
-Makes ABLE rollovers permanent
-
-529 Plans Expands definition of qualified higher expenses and allows postsecondary credentialing expenses for distributions after July 4, 2025 Various Beginning in 2026: increases elementary/secondary education annual limit from $10,000 to $20,000
-
-Beginning in 2025 provides for new tax-exempt accounts for children under 18 with $5,000 annual
-
-Trump Accounts contribution cap (indexed for inflation) Government pilot program with $1,000 initial contribution for children born 2025-2028
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-
-
-
-
-IMPORTANT DISCLOSURES
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-
-
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-This material is for informational or educational purposes only and is not fiduciary investment advice, or a securities, investment strategy, or insurance product recommendation. This material does not consider an individual’s own objectives or circumstances, which should be the basis of any investment decision.
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diff --git a/Books/War/Manstein.txt b/Books/War/Manstein.txt
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-LOST VICTORIES
-
-BY
-
-FIELD-MARSHAL ERICH VON MANSTEIN
-
-Edited and translated by ANTHONY G. POWELL
-
-Foreword by CAPTAIN B.H. LIDDELL HART
-
-Introduction to this Edition by MARTIN BLUMENSON
-
-DEM ANDENKEN UNSERES GEFALLEN SOHNES GERO v. MANSTEIN UND ALLER FUR DEUTSCHLAND GEFALLENEN KAMARADEN
-
-CONTENTS
-
-INTRODUCTION by Martin Blumenson FOREWORD by Captain B. H. Liddell Hart
-
-AUTHORS PREFACE TRANSLATORS NOTE
-
-Part I. The Campaign in Poland
-
-1. BEFORE THE STORM 2. THE STRATEGIC POSITION 3. THE OPERATIONS OF SOUTHERN ARMY GROUP
-
-Part II. The Campaign in the West
-
-INTRODUCTORY NOTE 4. THE ECLIPSE OF O.K.H. 5. THE OPERATION PLAN CONTROVERSY 6. COMMANDING GENERAL, 38 ARMY CORPS 7. BETWEEN TWO CAMPAIGNS
-
-Part III. War in the East
-
-8. PANZER DRIVE 9. THE CRIMEAN CAMPAIGN 10. LENINGRAD - VITEBSK 11. HITLER AS SUPREME COMMANDER 12. THE TRAGEDY OF STALINGRAD 13. THE 1942-3 WINTER CAMPAIGN IN SOUTH RUSSIA 14. OPERATION 'CITADEL' 15. THE DEFENSIVE BATTLES OF 1943-4
-
-APPENDIX I APPEND FX II APPENDIX III APPENDIX IV MILITARY CAREER GLOSSARY OF MILITARY TERMS
-
-ILLUSTRATIONS
-
-MAPS
-
-Key to Symbols used in Maps
-
-L German and Polish Deployment, and Execution of German Offensive. 2. Southern Army Group's Operations in Polish Campaign. 3. The O.K.H. plan of Operations for German Offensive in the West. 4. Army Group A's Proposals for German Operations in the West. 5. 38 Corps' Advance from the Somme to the Loire. 6. 56 Panzer Corps' Drive into Russia. 7. Situation of Northern Army Group on 26th June 1941 after 56 Panzer Corps'
-
-Capture of Dvinsk. 8. Encirclement of 56 Panzer Corps at Zoltsy (15th-18th July 1941).
-
-9. 56 Panzer Corps' Drive into Flank of Thirty-Eighth Soviet Army on 19th August
-
-1941.
-
-10. Battle on the Sea of Azov and Breakthrough at the Isthmus of Perekop (Autumn
-
-1941).
-
-11. Breakthrough at Ishun and Conquest of the Crimea (Autumn 1941). 12. Re-Conquest of the Kerch Peninsula (May 1942).
-
-13. Conquest of Sevastopol (June-July 1942).
-
-14. Battle of Lake Ladoga (September 1942).
-
-15. Situation on German Southern Wing at end of November 1942: the Struggle to
-
-free Sixth Army.
-
-16. Winter Campaign 1942-3: Don Army Group's Struggle to keep Army Group A's
-
-rear free.
-
-17. Winter Campaign 1942-3: Don Army Group's Battles to keep Communications
-
-Zone free.
-
-18. Winter Campaign 1942-3: German Counterstroke, the Battle between Donetz and
-
-Dnieper.
-
-19. Winter Campaign 1942-3: German Counterstroke, the Battle of Kharkov.
-
-20. Operation 'Citadel' (July 1943). 21. Battles Fought by Southern Army Group 17th July-30th September 1943. 22. The Fight for the Dnieper Bend. 23. Battles Fought by Southern Army Group up to mid-February 1944. 24. Developments on Southern Wing of Eastern Front at end of March 1944.
-
-PLATES
-
-The Author, 1944
-
-With members of the German minority in Siebenburgen, accompanied by his son,
-
-Gero, and Lt. Specht At H.Q. 50 Division in the Crimea
-
-With Col.-Gen. Dumitrescu Southern coastline in the Crimea Maxim Gorki I Sevastopol on fire Russian Battery at entrance to Severnaya Bay
-
-Crimean meeting with Marshal Antonescu With Baron v. Richthofen at Kerch, May 1942 Caravan conference before Leningrad Conference with Gen. Kempf and Gen. Busse, during 'Citadel'
-
-H.Q. at Vinnitsa
-
-INTRODUCTION
-
-by Martin Blumenson
-
-Everything in war is simple, Clausewitz said; but the simplest thing, he added, is incredibly
-
-difficult.
-
-Consider the basic relationship between politics and war. Clausewitz made the equation crystal clear, even simplistic, in his classic dictum that war is an extension of politics by different means. In other words, political ends govern the exertions of war. Or, the military are the means by which to gain political goals. The political leaders establish the objectives,
-
-the military men seek to attain them.
-
-Nothing could be simpler or more obvious. This is the essential definition of war: organized violence in quest of political advantages. Otherwise, conflict and killing are meaningless and
-
-immoral.
-
-Clausewitz expressed this very plainly in his monumental study of the nature of war. But beyond some general observations and several specific illustrations, he could not systematically examine the other side of the coin, the politics to which war is attached, for he lacked a complementary treatise on the nature of international politics.
-
-If the primacy of the political over the military is beyond question, the application of the relationship in the real world poses problems of terrible complexity. Political wishes and the
-
-military methods to realize them, political motives and the military procedures to support them, are seldom clear-cut and in balance at any given moment. They are anything but easy to synchronize. Furthermore, where is the fine and sometimes invisible line between the political
-
-and military spheres?
-
-The case of Adolf Hitler is instructive. Apart from the fatal flaws that finally crushed him, he
-
-was for a time a political genius.
-
-Whether he followed a blueprint or extemporized, he gained striking political triumphs. Without resorting to force, he remilitarized the Rhineland, annexed Austria, and conquered Czechslovakia. He thereby expanded the territory and the power of Germany. Even when he used military means in Poland to obtain his political desires, he demonstrated the close
-
-connection between politics and war.
-
-Unfortunately for him, his invasion of Poland precipitated World War II. From then on, his direction of the war became increasingly military and less political. Towards the close, the fighting he exhorted degenerated into senseless destruction for the sake merely of continuing the struggle, and that was hardly a proper political objective.
-
-Erich von Manstein, whether deliberately or unconsciously, has illuminated the steady decline of Hitler's outlook and the constant deterioration of Germany's war effort. As Hitler assumed more and more the military functions and concerned himself with military decisions, no one exercised the political role. And without that, the bloodshed and sacrifice were without
-
-reason.
-
-That is what Field Marshal von Manstein suggests in his title, Lost Victories. By the summer of 1940, after defeating France, Hitler's Germany was master of western Europe. What next? Manstein plantively asks. Hitler had no long-range plans, and as a result could neither conclude peace with Britain nor invade the island.
-
-By the following summer, having overrun Denmark and Norway, Germany and Hitler stood victorious. Only Britain breathed defiance, and that was of little significance at the moment.
-
-What next?
-
-Germany's power had never been higher when in June 1941, heady with success, Hitler miscalculated both his resources and the immensity of his task and struck into the Soviet Union. Unable to determine which political and economic targets to pursue, he diluted and fragmented his endeavours. In the end he lost all, for himself and Germany.
-
-The tragedy for all thoughtful, knowledgeable, and sensitive German soldiers like Manstein was the dilemma of trying faithfully to serve their country while disapproving the Fuehrer's
-
-aims and methods. True to their tradition of blind obedience, most of them, again like Manstein, kept their gaze unwaveringly on the military role they were expected to play even as they deplored the growing vacuum of direction at the political top.
-
-In a magisterial, even noble account of the war from the German perspective, Manstein has
-
-written a personal narrative of his place in the unfolding events. In the process, he has explained, in a manner comprehensible to laymen, the battles in Poland, France, and Russia.
-
-Because professional officers must understand the political dimension that is off limits to them, he has offered a panoramic view of the strategic opportunities that beckoned and were
-
-missed.
-
-Brilliantly dissecting Hitler's policies and methods of command, he has graphically detailed
-
-the growing disenchantment among the officer corps with Hitler's leadership, including Manstein's own dramatic personal clashes, face to face, with the Fuehrer; "/am a gentleman," he told hitler pointedly. And finally he has related what was to him the heartbreaking story of bright prospects turning to ruin. Dismissed by Hitler in March 1944, Manstein sat out the rest
-
-of the war at home, watching, no doubt with dismay, the unneccessary prolongation of a conflict that had already been decided. Afterward he was charged and tried in Britain for war crimes in Russia; convicted and sentenced to eighteen years of imprisonment, he was released
-
-from confinement four years later.
-
-Although he served an evil and brutal regime, he was patriotically motivated to fight for his
-
-country. He maintained the highest personal standards of comportment and character according to the soldier's code and became the officer most widely respected and admired by
-
-his colleagues.
-
-Through his book, he says, he hoped to give insight into "how the main personalities thought and reacted to events." He has succeeded in his attention and achieved much more. His is the best book of memoirs on the German side and it is indispensable for understanding the conditions and circumstances of Hitler's war.
-
-December 1981
-
-FOREWORD
-
-by Captain B. H. Liddel Hart
-
-THE general verdict among the German generals I interrogated in 1945 was that Field-Marshal von Manstein had proved the ablest commander in their Army, and the man they had most desired to become its Commander-in-Chief. It is very clear that he had a superb sense of
-
-operational possibilities and an equal mastery in the conduct of operations, together with a greater grasp of the potentialities of mechanised forces than any of the other commanders who had not been trained in the tank arm. In sum, he had military genius.
-
-In the earlier stages of the war he exerted a great influence behind the scenes as a staff officer. Later he became an outstanding commander, arid played a key part from 1941 to 1944 in the titanic struggle on the Russian front. His detailed account of the campaigns, pungent comments, and very significant revelations combine to make his book one of the most important and illuminating contributions to the history of World War II.
-
-An extraordinary aspect of Erich von Manstein's career is that he is best known, outside Germany at any rate, in connexion with operations that took place when he was a relatively junior general, and in which he took no part. For his fame primarily arose from his influence on the design - or, rather, on the recasting — of the plan for the German offensive of 1940 which broke through the Western Front, and led to the fall of France, with all its far-reaching results. The new plan, for making the decisive thrust through the hilly and wooded Ardennes -the line of least expectation - has come to be called the 'Manstein Plan'. That is tribute to what he did in evolving it and striving to win acceptance for it in place of the old plan, for a more direct attack through Belgium — which would in all probability have resulted in a repulse.
-
-At that time Manstein was Chief of Staff to Rundstedt's Army Group, and when his arguments for changing the plan became irritating to his superiors he was honourably pushed out of the
-
-way by promotion to command a reserve corps, of infantry, just before the new plan was adopted under Hitler's pressure - after hearing Manstein's arguments. The book provides much fresh information on the course of this operational controversy and the evolution of the plan
-
-that led to victory.
-
-In the crucial opening stage of the offensive, which cut off the Allies' left wing and trapped it on the Channel coast, Manstein's corps merely had a follow-on part. But in the second and final stage it played a bigger role. Under his dynamic leadership, his infantry pushed on so
-
-fast on foot that they raced the armoured corps in the drive southward across the Somme and
-
-the Seine to the Loire.
-
-After the collapse of France, Hitler hoped that Britain would make peace, but when disappointed he began, belatedly and half-heartedly, to make preparations for a cross-Channel invasion. Manstein was entrusted with the task of leading the initial landing with his corps, which was moved to the Boulogne-Calais area for the purpose. His book has some striking comments on the problem, on the strategic alternatives, and on Hitler's turn away to deal with
-
-Russia.
-
-For the invasion of Russia in 1941 Manstein was given his heart's desire - the command of an armoured corps, the 56th. With it he made one of the quickest and deepest thrusts of the
-
-opening stage, from East Prussia to the Dvina, nearly 200 miles, within four days. Promoted to command the Eleventh Army in the south, he forced an entry into the Crimean peninsula by breaking through the fortified Perekop Isthmus, and in the summer of 1942 further proved his
-
-mastery of siege-warfare technique by capturing the famous fortress of Sevastopol, the key centre of the Crimea—being Russia's main naval base on the Black Sea.
-
-He was then sent north again to command the intended attack on Leningrad, but called away by an emergency summons to conduct the efforts to relieve Paulus's Sixth Army, trapped that winter at Stalingrad, after the failure of the main German offensive of 1942. The effort failed
-
-because Hitler, forbidding any withdrawal, refused to agree to Manstein's insistence that Paulus should be told to break out westward and meet the relieving forces. The long chapter on 'The Tragedy of Stalingrad' is full of striking revelations, and the more illuminating because of the penetrating analysis of'Hitler as Supreme Commander' in the preceding
-
-chapter.
-
-Following Paulus's surrender, a widespread collapse developed on the Germans' southern front under pressure of advancing Russian armies, but Manstein saved the situation by a brilliant flank counter-stroke which recaptured Kharkov and rolled back the Russians in
-
-confusion. That counterstroke was the most brilliant operational performance of Manstein's career, and one of the most masterly in the whole course of military history. His detailed
-
-account of the operation is likely to be studied, for its instructional value, so long as military
-
-studies continue.
-
-Then in the Germans' last great offensive of the war in the East, 'Operation Citadel', launched in July 1943 against the Kursk salient, Manstein's Southern Army Group formed the right pincer. It achieved a considerable measure of success, but the effect was nullified by the failure of the left pincer, provided by the Central Army Group. Moreover, at this crucial moment the Anglo-American landing in Sicily led Hitler to direct several divisions to the Italian theatre. Having checked the German offensive, the Russians now launched their own on a larger scale along a wider front, and with growing strength.
-
-From that time onwards the Germans were thrown on the defensive, strategically, and with the turn of the tide Manstein was henceforth called on to meet, repeatedly, what has always been judged the hardest task of generalship - that of conducting a fighting withdrawal in face
-
-of much superior forces.
-
-He showed great skill, against heavy odds, in checking successive Russian thrusts and imposing delays on the westward advance of the Russian armies. His concept of the strategic defensive gave strong emphasis to offensive action in fulfilling it, and he constantly looked for opportunities of delivering a riposte, while often ably exploiting those which arose. But when he urged that a longer step back should be made - a strategic withdrawal - in order to develop the full recoil-spring effect of a counter-offensive against an overstretched enemy advance, Hitler would not heed his arguments.
-
-Hitler's unwillingness to sanction any withdrawal forfeited each successive chance of stabilizing the front, and repeatedly clashed with Manstein's sense of strategy. Unlike many of his fellows, Manstein maintained the old Prussian tradition of speaking frankly, and expressed his criticism forcibly both to Hitler in private and at conferences, in a way that staggered others who were present. That Hitler bore it so long is remarkable evidence of the profound respect he had for Manstein's ability, and a contrast with his attitude to most of his generals,
-
-and to the General Staff as a body. But the cumulative effect became in the end more than
-
-Hitler could stand - and all the more because the course of events continued to confirm Manstein's warnings. So in March 1944 Hitler reached the limit of his endurance, and put Manstein on the shelf, although with far more politeness than he normally showed in making
-
-changes of command.
-
-That ended the active career of the Allies' most formidable military opponent - a man who combined modern ideas of mobility with a classical sense of manoeuvre, a mastery of
-
-technical detail and great driving power.
-
-January 1958
-
-AUTHOR'S PREFACE
-
-THIS BOOK is the personal narrative of a soldier, in which I have deliberately refrained from discussing political problems or matters with no direct bearing on events in the military field. In the same connexion it is perhaps worth recalling a statement of Captain B. H. Liddell
-
-Hart's:
-
-'The German generals of this war were the best-finished product of their profession— anywhere. They could have been better if their outlook had been wider and their understanding deeper. But if they had become philosophers they would have ceased to be
-
-soldiers.'
-
-I have made every effort not to view things in a retrospective light, but to present my experiences, ideas and decisions as they appeared to me at the time. In other words, I write not as a historical investigator, but as one who played an active part in what I have to relate. But even though I have tried to give an objective account of all that happened, of the people involved and of the decisions they took, my opinion, as that of a participant, is bound to be subjective. I still hope, nevertheless, that the account I give will be of some use to historians, for even they cannot get the truth from files and documents alone. The essential thing to know is how the main personalities thought and reacted to events, and the answer to this will seldom be found — certainly not in a complete form - in files or war diaries.
-
-In describing how the plan for Germany's 1940 offensive in the west came about, I have departed from Colonel-General v. Seeckt's precept that General Staff officers should be nameless. I feel I am at liberty to do this now that - through no action of my own — the subject has so long been open to general discussion. It was actually my former Commander-in-Chief, Field-Marshal v. Rundstedt, and our Chief of Operations, General Blumentritt, who told Liddell Hart the story of the plan. (At that time I had not had the pleasure of meeting
-
-him.)
-
-In this account of military problems and events I have occasionally included items of a personal nature in the belief that there must be a place for the human element even in war. The reason for the absence of such personal reminiscences from the later chapters of the book is that worry and the burden of my responsibilities overshadowed everything else during that
-
-period.
-
-My activities in World War II have led me to deal with events largely from the viewpoint of leadership at a higher level. I hope, nonetheless, to have made it consistently clear that the decisive factor throughout was the self-sacrifice, valour and devotion to duty of the German fighting soldier, combined with the ability of commanders at all levels and their readiness to assume responsibility. These were the qualities which won us our victories. These alone enabled us to face the overwhelming superiority of our opponents.
-
-By this book I should at the same time like to express gratitude to my Commander-in-Chief in the initial phase of the war, Field-Marshal v. Rundstedt, for the trust he always placed in me; to the commanders and soldiers of all ranks who served under my command; and to the men who served at my various headquarters, in particular my chiefs-of-staff and General Staff officers, who constantly supported and advised me.
-
-Finally I must also thank those who have assisted me in preparing these memoirs: my former Chief-of-Staff, General Busse, and our staff officers v. Blumroder, Eismann and Annus; Herr Gerhard Gunther, who encouraged me to commit my memoirs to paper; Herr Fred Hildenbrandt, who gave me valuable assistance in composing them; and Herr Dipl.-Ing. Materne, who showed great understanding in his work on the sketch-maps.
-
-VON MANSTEIN
-
-TRANSLATOR'S NOTE
-
-IN ORDER to shorten these memoirs to a size suitable for publication in Britain and the U.S.A., it has been necessary to excise a number of passages from the original version. As most of them were devoted to personal reminiscences, often in lighter vein, their exclusion was thought unlikely to detract from the book's value in a strictly historical sense. A number of detailed appendices, however, have also been omitted, leaving only those which were considered to be of more than specialist interest.
-
-It may be mentioned here that Chapter 14 (Operation 'Citadel') is a new translation of material originally contributed by the Author to the U.S. Marine Corps Gazette, instead of being taken
-
-from the equivalent chapter in the German edition of the book, which is considerably longer.
-
-We should like to take the opportunity to thank the Marine Corps Gazette for allowing us to
-
-use this material.
-
-The formation symbols employed in the sketch-maps of this edition are those now current in the NATO countries. They were adopted for the sake of greater clarity and uniformity.
-
-Finally I should like to add a personal note of thanks to Capt. B. H. Liddell Hart for his kind assistance in checking the technical details of this translation and for his many helpful
-
-comments.
-
-Parti
-
-THE CAMPAIGN IN POLAND
-
-1
-
-BEFORE THE STORM
-
-I WATCHED POLITICAL developments after the Austrian anschluss from a point far from the centre of military affairs. At the beginning of February 1938, after I had risen to the second most senior post on the German Army Staff- that of Oberquartiermeister I — the deputy to the Chief-of-Staff, my career as a General Staff officer had abruptly ended. When Colonel-General Baron v. Fritsch was eliminated as Commander-in-Chief of the Army through a diabolical party intrigue, a number of his closest collaborators, myself included, had
-
-been removed from the Army High Command (O.K.H.) along with him. Since then, as commander of 18 Division, I had naturally ceased to be informed of matters falling within the
-
-High Command's jurisdiction.
-
-Indeed, since the beginning of April 1938 I had been able to devote myself entirely to my job as a divisional commander. It was a particularly satisfying task - even more satisfying in those years than at any other time - but it also called for every ounce of one's energy, since the expansion of the army was still far from complete. The continual formation of new units entailed a constant reorganization of those already in existence, while the speed of rearmament, and especially the attendant growth of both the officer and non-commissioned officer corps, meant that the most exacting demands were made on commanders at all levels if we were to fulfil our aim of creating intrinsically stable and highly trained troops who would guarantee the security of the Reich. To succeed in this work was more gratifying still, especially in my own case, now that, after several years in Berlin, I once again had the pleasure of being in direct touch with combat units. It is with immense gratitude, therefore, that I remember that last year and a half of peace, and, in particular, the Silesians of whom 18 Division was largely composed. Silesia had produced good soldiers from time immemorial, so the military education and training of the new units was a rewarding task.
-
-It is true that the brief interlude of the 'floral war' - the occupation of the Sudetenland - had found me in the post of Chief-of-Staff of the army commanded by Colonel-General Ritter v. Leeb. As such I had learnt of the conflict that had broken out between the Chief-of-Staff of the Army, General Beck, and Hitler over the Czech question and which, to my intense regret, had ended with the resignation of the Chief-of-Staff I so revered. This resignation, however, snapped the thread which had kept me in touch with O.K.H.
-
-And so it was not until summer 1939 that I learnt of Operation 'Order White', the first offensive deployment against Poland to be prepared on Hitler's orders. No such thing had existed before the spring of 1939. On the contrary, all military preparations on our eastern
-
-frontier had been based on defence.
-
-In the above operation order I was earmarked as Chief-of-Staff of Southern Army Group, the Commander-in-Chief of which was to be Colonel-General v. Rundstedt, then already living in
-
-retirement. It was planned that this Army Group should deploy in Silesia, eastern Moravia, and partly in Slovakia, in accordance with the detailed arrangements which we were now to
-
-work out.
-
-As the Army Group Headquarters did not exist in peacetime and would be set up only in the event of general mobilization, a small working party was formed to deal with the new
-
-operation order. It assembled on 12th August 1939 in the Silesian training area of Neuhammer. It was to work under the direction of Colonel Blumentritt, a General Staff officer who was destined to become the Army Group's chief of operations (la) on mobilization. This was an unusual stroke of luck as far as I was concerned, for my relationship with that exceptionally able man was one of the closest confidence. The bond had been forged while we were both serving at the headquarters of v. Leeb's army during the Sudeten crisis, and I considered it extremely valuable to have a colleague on whom I could rely in times like these. As often as not, the things that attract us to another person are quite trivial, and what always delighted me about Blumentritt was his fanatical attachment to the telephone. The speed at which he worked was in any case incredibly high, but whenever he had a receiver in his hand he could deal with whole avalanches of queries, always with the
-
-same imperturbable good humour.
-
-In mid-August the future commander of Southern Army Group, Colonel-General v. Rundstedt, arrived at Neuhammer. Every one of us knew him. As an exponent of grand tactics he was brilliant—a talented soldier who grasped the essentials of any problem in an instant. Indeed, he would concern himself with nothing else, being supremely indifferent to minor detail. He was a gentleman of the old school—a type, I fear, which is now dying out, but which once added a delightful variant to life. The General had a charm about him to which
-
-even Hitler succumbed. The latter seemed to have taken a genuine liking to him, and, surprisingly enough, there was even a glimmer of this left after he had twice dismissed him. What probably attracted Hitler was the indefinable impression the general gave of a man from a past which he did not understand and to the atmosphere of which he never had access.
-
-As a matter of interest, when our working party assembled at Neuhammer, my own 18 Division was also in the training area for the annual regimental and divisional exercises.
-
-That everyone among us, disquieted by the number of emergencies through which the Fatherland had passed since 1933, wondered where all this would lead, I need hardly say. Our
-
-thoughts and private conversations at this time were centred on the signs of the gathering storm on the horizon around us. We realized that Hitler was fanatically resolved to dispose of
-
-the very last of the territorial problems Germany had inherited through the Treaty of Versailles. We knew that he had begun negotiations with Poland as far back as autumn 1938 to clear up the whole Polish-German frontier question, though what progress, if any, these negotiations had made we were not told. At the same time we were aware of the British guarantee to Poland. And I can safely say that not one of us in the army was so arrogant, thoughtless or shortsighted as not to recognize the deadly seriousness of the warning that guarantee implied. This factor alone - though it was not the only one - convinced our party in Neuhammer that there would in the end be no war. Even if the deployment plan on which we were now engaged went into operation, that still need not, in our opinion, mean war. We had watched Germany's precarious course along the razor's edge to date with close attention and were increasingly amazed at Hitler's incredible luck in attaining - hitherto without recourse to arms - all his overt and covert political aims. The man seemed to have an almost infallible instinct. Success had followed success in a never-ending progression - if one may initially
-
-refer to the glittering train of events that ultimately led to our downfall as successes. All those things had been achieved without war. Why, we asked ourselves, should it be different this
-
-time ? Look at Czechoslovakia. Though Hitler had drawn up a menacing array of troops against her in 1938, there had still been no war. Yet the old adage about taking the pitcher to the well once too often still echoed in our ears, for the position was now a much trickier one and the game Hitler seemed intent on playing had a more dangerous look about it. There was the British guarantee to contend with this time. But then we recalled Hitler's assertion that he would never be so mad as to unleash a war on two fronts, as the German leaders of 1914 had
-
-done. That at least implied that he was a man of reason, even if he had no human feelings left.
-
-Raising that coarse voice of his, he had explicitly assured his military advisers that he was not
-
-idiot enough to bungle his way into a world war for the sake of Danzig or the Polish Corridor.
-
-THE GENERAL STAFF AND THE POLISH QUESTION
-
-Poland was bound to be a source of great bitterness to us after she had used the dictated peace
-
-of Versailles to annex German territories to which neither historical justice nor the right of self-determination gave her any claim. For us soldiers she had been a constant cause of distress in the years of Germany's weakness. Every time we looked at the map we were reminded of our precarious situation. That irrational demarcation of the frontier! That mutilation of our Fatherland! That corridor whose severance of East Prussia from the Reich
-
-gave us every reason to fear for that lovely province! For all that, however, the army had never dreamt of fighting an aggressive war against Poland to end this state of affairs by force. Apart from anything else, such forbearance had a perfectly simple military reason: any attack
-
-on Poland would have plunged the Reich into a war on two or more fronts, and with this it could never have coped. In the period of weakness imposed on us at Versailles we had always
-
-had the cauchemar des coalitions - a nightmare that disturbed us all the more whenever we thought of the aspirations for German territory still harboured with such ill-concealed longing by wide circles of the Polish people. Yet although we had no wish to fight an aggressive war, we could hardly hope, even taking the most unprejudiced view of the Polish mentality, to sit down peacefully at the same table as the Poles to revise those senseless frontiers. Neither did it seem beyond the bounds of possibility that Poland might herself take the initiative one day
-
-and set out to solve the frontier question by force. We had gained some experience in this respect since 1918, and in Germany's years of weakness it had been just as well to be prepared for such a thing. Once Marshal Pilsudski's voice was silent and certain nationalist circles had gained a decisive influence in Poland, an incursion into East Prussia or Upper Silesia was just
-
-as feasible as the Polish raid on Vilna before it. For that contingency, though, our military deliberations had found a political answer. If Poland were proved to be the aggressor and we
-
-succeeded in warding off the attack, the Reich might well have an opportunity to get the unhappy frontier question revised on the political rebound.
-
-At all events, there was no exaggerated wishful thinking on the subject on the part of any army leaders. Although General v. Rabenau, in the book Seeckt, Aus Meinem Leben, quotes the Colonel-General as saying that 'Poland's existence is intolerable and incompatible with Germany's essential needs: she must disappear through her own internal weakness and through Russia . . . with help from ourselves', this was in fact an attitude already overtaken by
-
-developments in the political and military fields. We had a pretty fair idea of the growing military power of the Soviet Union; and France, the land under whose spell one so easily fell, still faced us with the same hostility as ever. She would always seek allies in Germany's rear. But if the Polish State were to disappear, the mighty Soviet Union could become a far more dangerous ally of France than a buffer State like Poland was at present. Any elimination of the
-
-buffer formed by Poland (and Lithuania) between Germany and the Soviet Union could lead
-
-only too easily to differences between the two big Powers. While it might be a matter of mutual interest to carry out frontier revisions vis-a-vis Poland, the complete removal of that State would hardly be to Germany's advantage in view of the entirely changed situation that
-
-now prevailed.
-
-So whether we liked her or not, it was preferable to keep Poland between us and the Soviet Union. Aggrieved though we were as soldiers by the senseless and explosive frontier demarcation in the east, Poland was still less dangerous as a neighbour than the Soviet Union,
-
-Like all other Germans, of course, we hoped a revision of the frontier would come about sometime and return the predominantly German-populated areas to the Reich in accordance with the natural right of their inhabitants. At the same time it was most undesirable from the military point of view that the size of our Polish population should increase. As for the German demand for a union of East Prussia with the Reich, it could well have been harmonized with Poland's desire for a seaport of her own. This, and none other, was the trend of thought on the Polish problem favoured by the majority of German soldiers in the days of the Reichswehr - let us say from the end of the nineteen-twenties onwards - whenever the
-
-question of armed conflict cropped up.
-
-Then the wheel of fate turned once again. Adolf Hitler appeared on the stage. Everything changed, including the basis of our relationship with Poland. The Reich concluded a non-aggression pact and treaty of friendship with our eastern neighbour. We were freed from the nightmare of a possible Polish attack. At the same time relations between Germany and the
-
-Soviet Union cooled off, our new ruler having only too clearly voiced his hatred of the Bolshevik system in public speeches. Poland was bound to feel less constrained politically in
-
-consequence of this new situation, but that was no longer a danger as far as we were concerned. German rearmament and Hitler's series of successes in the field of foreign policy
-
-made it improbable that she would use her new freedom of action against the Reich. And when she proved only too ready to take a hand in the partitioning of Czechoslovakia it seemed not unlikely that we could talk business about the frontier question.
-
-Until spring 1939, then, the High Command of the German Army never had any plan for offensive deployment against Poland on its files. Before that all our military measures in the
-
-east had been purely defensive in character.
-
-WAR OR BLUFF?
-
-Was it to be the real thing this time-in autumn 1939? Did Hitler really want war, or would he, as with Czechoslovakia in 1938, bring the very limit of pressure to bear - militarily and otherwise - to settle the Danzig and Corridor questions?
-
-War or bluff? That was the question exercising the mind of everyone without any real insight into political developments, primarily into Hitler's own intentions. And who, for that matter, was vouchsafed any insight whatever into those intentions?
-
-At all events, it was entirely conceivable that the military measures taken in August 1939-despite Operation 'Order White'-were directed towards increasing political pressure on Poland. Since the summer, on orders from Hitler, work had been proceeding at feverish speed on an Ostwall- an eastern equivalent of the Siegfried Line. Whole divisions, the 18th among them, were moved to the Polish frontier in constant rotation to work on this fortification for
-
-several weeks at a stretch. What was the point of all this effort if Hitler were going to attack Poland? Even if, contrary to all his assurances, he were contemplating a war on two fronts, the Ostwall would still have been quite out of place, since the only proper action for Germany in such circumstances would be to attack and overwhelm Poland first while remaining on the defensive in the west. The reverse solution - offensive action in the west and defensive measures in the east - was quite out of the question with the present ratio of forces, especially
-
-as neither plans nor preparations for an offensive in the west had been made. So if the construction of an Ostwall were to have any rhyme or reason in the present situation, it could
-
-surely only be to exert pressure on Poland by placing large troop concentrations on her frontier. Even the deployment of infantry divisions on the east bank of the Oder in the last ten days of August and the movement of the armoured and motorized divisions into assembly areas initially west of the river need not really have been preparations for an attack: they could just as well have been a form of political pressure.
-
-Be that as it may, the peacetime training programme went on just as usual for the time being. On 13th and 14th August I had my last divisional exercise at Neuhammer, winding up with a march-past at which Colonel-General v. Rundstedt took the salute. On 15th August there was a big artillery shoot in co-operation with the Luftwaffe. It was marked by a tragic accident. An entire dive-bomber squadron, obviously wrongly informed about cloud altitude, failed to pull out of a dive in time and tore straight into a wood. There was one more regimental scheme the next day, and then the divisional units went back to their normal garrisons -though they were to leave for the Silesian frontier again only a few days later.
-
-On 19th August v. Rundstedt and I received instructions to attend a conference at the Obersalzberg on the 21st. On 10th August we drove from Liegnitz to my brother-in-law's estate near Linz and spent the night there, reaching Berchtesgaden the following morning. All the army group and army commanders and their Chiefs-of-Staff were reporting to Hitler, as well as the appropriate navy and Luftwaffe leaders.
-
-The conference — or rather Hitler's address, as he was not going to let the occasion turn into an open discussion after his experience at a conference with the Chiefs-of-Staff the previous year, before the Czech crisis - took place in the big reception-chamber of the Berghof that looked out towards Salzburg. Shortly before Hitler appeared Goring came in. He was an extraordinary sight. Up till now I had assumed that we were here for a serious purpose, but Goring appeared to have taken it for a masked ball. He was dressed in a soft-collared white shirt, worn under a green jerkin adorned with big buttons of yellow leather. In addition he wore grey shorts and long grey silk stockings that displayed his impressive calves to considerable effect. This dainty hosiery was offset by a pair of massive laced boots. To cap it all, his paunch was girded by a sword-belt of red leather richly inlaid with gold, at which dangled an ornamental dagger in an ample sheath of the same material.
-
-I could not resist whispering to my neighbour, General v. Salmuth:
-
-'I suppose the Fat Boy's here as a strong-arm man?'
-
-Hitler's speech on this occasion was the subject of various prosecution 'documents' at the Nuremberg trial. One of these asserted that he had indulged in the vilest of language and that Goring, delighted at the prospect of war, had jumped on the table and yelled 'Sieg HeilF All this is quite untrue. It is equally untrue that Hitler said anything about 'his only fear being a last-minute offer of mediation from some pig-dog or other'. While the tone of his speech was
-
-certainly that of a man whose mind was firmly made up, he was far too good a psychologist to think he could impress a gathering of this kind with tirades or bad language.
-
-The substance of the speech has been correctly reported in Greiner's book Die Oberste Wehrmachtfilhrung 1939-43. This report is based on a verbal summary given to the author by Colonel Warlimont for inclusion in his war diary and on shorthand notes taken by Admiral Canaris. A certain amount of information on the speech may also be gathered from Colonel-General Haider's diary - although here too, as in the case of the statements made by Warlimont and Canaris, I feel a number of things may have been included which were actually heard from Hitler on other occasions.
-
-The impression left on those of us generals who did not belong to the top circle of military
-
-leaders was approximately this:
-
-Hitler was absolutely determined to bring the German-Polish question to a head this time, even at the price of war. If, however, the Poles were to give in to German pressure, now approaching its climax in the deployment - albeit still camouflaged - of the German armies, a peaceful solution still did not seem excluded, and Hitler was convinced that when it came to the point the Western Powers would once again not resort to arms. He was at special pains to develop the latter thesis, his main arguments being: the backwardness of British and French
-
-armaments, particularly with regard to air strength and anti-aircraft defence; the virtual inability of the Western Powers to render Poland any effective help except by an assault on the Siegfried Line - a step which neither power was likely to risk in view of the great sacrifice of blood it would entail; the international situation, particularly the tension in the Mediterranean, which considerably reduced Britain's freedom of movement; the internal situation in France; and last but not least the personalities of the responsible statesmen. Neither Chamberlain nor Daladier, Hitler contended, would take upon themselves the decision
-
-to go to war.
-
-Logical and conclusive though his appreciation of the Western Powers' position appeared to be in many respects, I still do not think Hitler's audience was entirely convinced by his exposition. The British guarantee was certainly the only real obstacle to his designs, but it was
-
-nevertheless a pretty weighty one!
-
-What Hitler had to say about an eventual war with Poland could not, in my opinion, be interpreted as a policy of annihilation, which was the sense given to it by the Nuremberg prosecution. When Hitler called for the swift and ruthless destruction of the Polish Army, this was, in military parlance, merely the aim that must be the basis of any big offensive operation. At all events, nothing he had said could give us any hint of how he was to treat the Poles later
-
-on.
-
-The biggest surprise, and also the deepest impression, was caused, quite naturally, by the announcement of the impending pact with the Soviet Union. On our way to Berchtesgaden we had already read newspaper reports of the conclusion of an economic agreement, and that in itself was quite a sensation. Now we were told that Foreign Minister v. Ribbentrop, who was present at the conference and took leave of Hitler in our presence, was flying to Moscow to sign a non-aggression pact with Stalin. By this move, Hitler declared, he was depriving the Western Powers of their trump card, for even a blockade of Germany would be ineffectual
-
-from now on. Hitler hinted that in order to facilitate the pact he had already made considerable concessions to the Soviet Union in the Baltic and in respect of Poland's eastern
-
-frontiers, but his remarks gave no reason for inferring that there would be a complete partition of Poland. Indeed, he is now known to have still been considering leaving a Polish rump state in existence even after the campaign had started.
-
-As a result of Hitler's address neither v. Rundstedt nor I - and presumably none of the other generals either - concluded that war was now inevitable. Two factors in particular persuaded us that - as at Munich - there would be an eleventh-hour settlement.
-
-The first was that the pact with the Soviet Union now rendered Poland's position hopeless from the start. If Britain, virtually deprived of the weapon of blockade, were compelled to take the bloody course of attacking in the west in order to aid Poland, it seemed likely enough that, under pressure from the French, she would advise Warsaw to give in. Similarly it must henceforth be clear to Poland that the British guarantee was now practically inoperative. If it came to a war with Germany, moreover, she must expect the Russians to take action in her rear with a view to accomplishing their old demands on her eastern territory. What else could
-
-Warsaw do in this situation but give way?
-
-A further consideration was the conference we had just attended. What was its purpose? Hitherto, on the military side, the intention to attack Poland had been camouflaged in every possible way. The presence of divisions in the eastern areas had been explained by the construction of an eastern rampart; and to conceal the purpose of the troop movements to East
-
-Prussia, an enormous Tannenberg celebration had been arranged. Preparations for big motorized troop manoeuvres had been going on until the very last moment. There had been no official mobilization. Though these measures could not possibly escape the notice of the Poles and were obviously intended as political pressure, they had still been enveloped in the greatest secrecy and accompanied by every form of deception. Yet now, at the very height of the crisis, Hitler had summoned every one of his senior commanders to the Obersalzberg - an action that could not possibly be concealed. To us this seemed to be the climax of a policy of deliberate bluff. In other words, was Hitler not after all working for a settlement, despite his bellicose utterances? Was not this very conference meant to apply the final squeeze?
-
-Such were the thoughts of Colonel-General v. Rundstedt and myself as we left Berchtesgaden. While he travelled on ahead to our Neisse headquarters, I stopped on in Liegnitz for a further day with my family. This alone was a measure of my inner disbelief in the likelihood of an
-
-imminent outbreak of war.
-
-At noon on 24th August Colonel-General v. Rundstedt assumed command of the Army Group. On 25th August, at 3.25 in the afternoon, we received the following cypher message
-
-from the High Command of the army:
-
-'Operation Plan White: D-Day = 26.8: H-Hour = 0430.'
-
-So the decision to go to war - the decision we had not wanted to believe possible - had
-
-apparently been taken.
-
-I was at dinner with Colonel-General v. Rundstedt in our quarters at the Monastery of the Holy Cross in Neisse when the following order from the High Command came through by
-
-telephone:
-
-'Do not- repeat not- commence hostilities. Halt all troop movements. Mobilization to continue. Deployment for Plans White and West to proceed as scheduled.'
-
-Every soldier can judge what an eleventh-hour counter-order of this kind implied. Within the
-
-space of a few hours three armies moving straight for the frontier across a zone extending from Lower Silesia to the eastern part of Slovakia had to be brought to a halt - not forgetting that all headquarters staffs up to at least divisional level were also on the march and that there was still a security ban on wireless traffic. Despite all the difficulties, we managed to notify everybody in good time - a first-rate piece of work by the operations and signals staffs. Nevertheless, one motorized regiment in eastern Slovakia could only be stopped after an officer in a Fieseler Storch aircraft had landed at the head of the column in the darkness.
-
-We were not told Hitler's reasons for what seemed to be an eleventh-hour reversal of his decision to fight. All we heard was that the negotiations were continuing.
-
-It will be appreciated that we as soldiers were considerably shaken by leadership of this kind. The decision to go to war is, after all, the gravest that a head of state ever has to take.
-
-How could any man reach such a decision and then cancel it again in the space of a few hours - least of all when that cancellation placed him, in the military sense, at a severe disadvantage? As I pointed out above when describing the Obersalzberg conference, everything in the military sphere was aimed at taking the enemy by surprise. There was no public announcement of the mobilization, the first call-up being scheduled for 26th August -the day of the invasion that had this very moment been stopped. This meant that we were to
-
-march into Poland with nothing more than our sum total of armoured and motorized formations, plus a limited number of infantry divisions that were already in the frontier areas or in the process of being made 'immediately operational'. There could be no question now of
-
-catching the enemy unawares. For even though the movement of troops into their final concentration areas behind the frontier was being carried out by night, it could certainly not elude the enemy's attention, particularly as the motorized units in assembly areas west of the Oder had to form up in daylight in order to cross the river. Consequently, if there really were to be war, the other alternative must now come into effect - invasion with all our mobilized forces. The element of surprise was lost in any case.
-
-As the original decision to start hostilities could not be regarded as an act of ill-considered frivolity on Hitler's part, we could only deduce that the whole thing was simply a continuation of diplomatic tactics to bring ever-increasing pressure to bear on the Poles. So when, at 1700 hours on 31st August, we received a fresh order
-
-D = 1.9: H = 0445,
-
-Colonel-General v. Rundstedt and I were sceptical, particularly as no mention was made of the negotiations having failed. Within our own Army Group, at any rate, we were all set this time, in view of what had occurred on 25th August, to cope with another last-minute stoppage of the operation. The General and I stayed up till midnight in anticipation of the countermand
-
-we thought might still come through.
-
-Only when midnight had passed and the last possibility of halting the operation had gone could there be no further doubt left: from now on the weapons would speak.
-
-THE STRATEGIC POSITION
-
-THE FOLLOWING factors were decisive in determining the strategic position in the Polish
-
-campaign:
-
-First, the superiority of the German forces - provided that the German leadership were prepared to accept a considerable risk in the west in order to commit the bulk of its strength
-
-against Poland.
-
-Secondly, the geographical situation, which enabled the Germans to take the Polish Army in a pincer movement from East Prussia on one flank and Silesia and Slovakia on the other.
-
-Thirdly, the latent threat present in Poland's rear from the outset in the form of the Soviet
-
-Union.
-
-GERMAN ORDER OF BATTLE AND PLAN OF OPERATIONS
-
-The German planners accepted the above-mentioned risk in the west to the full.
-
-O.K.H. launched its attack against Poland with forty-two divisions of regular troops (including one newly formed armoured division, 10 Panzer) and one new infantry division formed from fortress troops in the Oder-Warta basin (the 50th). They consisted of twenty-four infantry divisions, three mountain divisions, six armoured divisions, four light divisions, four motorized infantry divisions and one cavalry brigade. Then came sixteen new divisions not formed until after the general mobilization and destined for use between the second and fourth waves. These could not initially be regarded as first-rate troops. Also assigned for the Polish campaign were the SS division Leibstandarte Adolf Hitler and one or two reinforced SS
-
-regiments.
-
-For the west this left only eleven regular divisions, some fortress troops amounting to about a
-
-division in strength (later to be formed into 72 Infantry Division), and thirty-five newly constituted divisions of second- to fourth-line troops. No armoured or motorized troops were available. There was thus a total of forty-six divisions, of which only three-quarters were
-
-conditionally fit to go into action.
-
-22 Infantry Division, which had been trained and equipped as an airborne division, was retained at the disposal of O.K.H. in the interior of the Reich.
-
-The bulk of our air forces were likewise committed against Poland in the form of two air fleets, a third, weaker one being kept in the west.
-
-The risks which the German leadership ran by distributing its forces in this way were undoubtedly very great indeed. Because of the unexpected brevity of the Polish campaign (a
-
-development due in part to the loser's own mistakes) and, above all, as a result of the complete inaction of Poland's Western allies at the time of her defeat, these risks have hardly
-
-ever been properly appreciated.
-
-It should be realized that at that particular juncture the German command had to reckon with a French Army some ninety divisions strong. In autumn 1939 (according to v. Tippelskirch) France actually raised 108 divisions in the space of three weeks! These consisted of fifty-seven infantry, five cavalry, one armoured and forty-five reservist or 'territorial' divisions, supported by strong army troops of tanks and artillery.
-
-[It should be noted, however, that part of these forces remained in North Africa and on the
-
-Alpine frontier in the initial stages. Author.]
-
-The last category had the advantage of being made up of fully trained reservists, whereas the new German formations consisted to a great extent of raw recruits or reservists from the First
-
-World War.
-
-There can be no doubt, then, that the French Army far outnumbered Germany's forces in the
-
-west from the very first day.
-
-The British contribution of land forces, on the other hand, was quite insignificant. It amounted to a mere four divisions, and even these did not arrive until the first half of October.
-
-The basis of the German plan of operations against Poland was to make maximum use of the way the frontier ran in order to envelop the enemy from the start. Thus the German armies deployed in two widely divided flank groups which left the central sector (the Oder-Warta
-
-basin) almost wide open.
-
-Northern Army Group (Commander Colonel-General v. Bock, Chief-of-Staff General v. Salmuth) comprised two armies embracing a total of five infantry and one armoured corps. Under command of these were nine regular infantry divisions (including the newly formed 50
-
-Infantry Division, which consisted of fortress troops and was not up to strength), eight infantry divisions established on mobilization, two armoured divisions (plus the newly formed tank task force 'Kemp'), two motorized infantry divisions and one cavalry brigade - in all twenty-one divisions. Supplementing these in East Prussia were the fortress troops of Konigsberg and Lotze; in Pomerania, the Netze Brigade.
-
-Of this Army Group, Third Army (General v. Kiichler) deployed in East Prussia and Fourth Army (Colonel-General v. Kluge) in East Pomerania.
-
-The task of the Army Group was to thrust through the Polish Corridor, to throw the mass of its forces on the east of the Vistula towards the south-east or south, and then, after forcing the Narew line, to take any Polish defence of the Vistula from the rear.
-
-Southern Army Group (Commander Colonel-General v. Rundstedt, Chief-of-Staff General v. Manstein) was considerably stronger. It consisted of three armies — Fourteenth (Colonel-General List), Tenth (Colonel-General v. Reichenau) and Eighth (Colonel-General Blaskowitz). In all, the Army Group had eight infantry and four armoured corps, totalling fifteen regular infantry divisions, three mountain divisions, eight newly drafted divisions and the bulk of the mechanized formations - four armoured, four light and two motorized infantry divisions. This made a total of thirty-six divisions.
-
-The Army Group deployed Fourteenth Army in the Upper Silesian industrial region, eastern Moravia and western Slovakia, Tenth Army in Upper Silesia around and to the south of
-
-Kreuzberg, and Eighth Army in central Silesia eastward of Oels. Its task was to defeat the enemy in the large bend of the Vistula and in Galicia, to dash for Warsaw with strong motorized forces, taking the Vistula crossings as fast as possible on a broad front, and then, in conjunction with Northern Army Group, to destroy the remainder of the Polish Army.
-
-POLISH ORDER OF BATTLE AND PLAN OF OPERATIONS
-
-Peacetime Poland had thirty infantry divisions, eleven cavalry brigades, one mountain brigade and two motorized (armoured) brigades. In addition to these there were a few Frontier Corps regiments, a large number of Home Defence (O.N.) battalions and naval troops stationed in
-
-the Gdynia-Hel area.
-
-In other words, her aggregate strength was pretty considerable. Her weapons, however, dated mainly from World War I, and her air force of some 1,000 aircraft, was also not up to modern
-
-standards.
-
-Germany had expected Poland to double the number of her divisions in the event of war, though it seemed doubtful whether the requisite arms were available. According to v. Tippelkirch in his History of the Second World War, Poland drafted only enough regiments for ten reserve divisions prior to the outbreak of hostilities, and even then she apparently had no time to embody all of them in their scheduled divisions. Nevertheless, German Intelligence did identify a number of reserve divisions in the course of the campaign.
-
-The Polish High Command disposed its forces as follows:
-
-Deployed along the East Prussian frontier, in front of the Bobr-Narew-Vistula line, were:
-
-(I) a combat group of two divisions and two cavalry brigades between Suwalki and tomza,
-
-and
-
-(ii) the Modlin Army of four divisions and two cavalry brigades on both sides of Mlawa.
-
-In the Corridor was the Pomorze Army of five divisions and one cavalry brigade.
-
-Facing the German frontier from the Warta to the Slovakian frontier were three armies:
-
-(i) the Poznan Army, with a strength of four divisions and two cavalry brigades, in the western
-
-part of Poznan Province;
-
-(ii) the Lodz Army (four divisions and two cavalry brigades) around Wielun; and
-
-(iii) the Cracow Army (six divisions, one cavalry and one motorized brigade) between Czestochowa and Nowy Targ. Behind the two last-named armies was the Prussia Army (six divisions and one cavalry brigade) in the area Tomaszow-Kielce.
-
-Finally, the deep flank along the Carpathian frontier was to be covered by a Carpathian Army — composed mainly of reserve units and O.N. battalions - in echeloned formation.
-
-A reserve group (General Piskor's Army), consisting of three divisions and one motorized brigade, remained on the Vistula in the area Modlin-Warsaw-Lublin. In the course of the
-
-campaign, moreover, an independent Polesie Group was formed east of the Bug, presumably
-
-for protection against Russia.
-
-In the event, the Polish deployment was still in progress when the German invasion started, and for this reason it was probably never properly completed in the form described above.
-
-SOME REFLECTIONS ON THE POLISH DEPLOYMENT
-
-It is difficult to decide the strategic aim of the Polish deployment, unless it was based on a wish to 'cover everything' and surrender nothing voluntarily. It was a policy that usually leads to the defeat of the weaker party. Hitler was to have a similar experience only a few years later — without ever learning his lesson from it.
-
-Now, the difficulty of Poland's strategic position was really quite obvious, consisting as it did in the inferiority of the Polish forces and the fact that the line of the frontier enabled Germany
-
-to attack from two — later even from three - sides at once. So when the Polish High Command still could not resist trying to 'hold on to everything', this only went to show how difficult it is to reconcile psychological and political inhibitions with hard military fact.
-
-Apart from Marshal Pilsudski and one or two sober-minded politicians, probably no one in Poland ever quite realized in what a dangerous situation the country had landed itself by enforcing its unjustified territorial demands on the neighbouring States of Russia and Germany. Yet this same Poland numbered only 35 million inhabitants, of whom a mere 22
-
-million were of Polish nationality, the rest belonging to the German, Ukrainian, White Russian and Jewish minorities, all of which had been oppressed to one degree or another.
-
-Besides, in their reliance on their French allies, people in Poland had undoubtedly spent far too long in the years of Germany's (and the Soviet Union's) military weakness dreaming of a chance for aggression against the Reich. Some had dreamt of raids on isolated East Prussia or - thanks to the propaganda of the Polish Insurgents' League - on German Upper Silesia; others had even considered a march on Berlin, either by the shortest route through Poznari and Frankfurt or by first conquering Upper Silesia and then advancing on the capital west of the
-
-Oder.
-
-Admittedly such dreams had been frustrated by Germany's fortification of East Prussia and the Oder-Warta basin and later by her rearmament. But it is unlikely that Poland's politicians
-
-and soldiers, banking on a simultaneous French offensive in the west, ever put such aggressive ideas right out of their minds. Defensive though the above dispositions may well have been in the first instance, it is reasonable to infer that they were meant to leave the door open for offensive action at a later date, as soon as the first French assistance had made itself
-
-felt.
-
-For the rest, the Polish General Staff did not possess its own tradition of generalship shaped
-
-by long experience. On the one hand the Polish temperament was more disposed towards attack than defence. It is fair to assume that the mind of the Polish soldier was still coloured,
-
-at least subconsciously, by romantic notions from bygone days. I am reminded here of a portrait I once saw of Marshal Rydz-Smigly painted against a background of charging Polish
-
-cavalry squadrons. On the other hand the newly founded Polish Army was French-taught. This, in view of the fact that French military thought since 1918 had been based on experience
-
-of static warfare, could hardly have imbued the Poles with a sense of operational speed and
-
-mobility.
-
-It is conceivable, then, that except for a desire not to abandon anything to the enemy, the Polish deployment plan had no clear-cut operational objective whatever and amounted merely to a compromise between the aggressive ambitions of yesteryear and the necessity of preparing for defence against a superior opponent. At the same time the Poles made the mistake of assuming that the Germans would carry out an offensive on the French pattern and that this would soon degenerate into positional warfare. Of some interest in this connexion is a confidential report which we received just before the outbreak of war on the subject of Poland's allegedly offensive intentions. It emanated from a source - hitherto regarded as completely reliable - in the immediate circle of either the Polish President or Marshal Rydz-
-
-Smigly, and contended that the Polish deployment would be offensive in character and include the concentration of strong forces in the province of Poznan. Most remarkable of all was the allegation that this plan of campaign had actually been proposed, if not demanded, by the British! In the circumstances we found the whole thing rather improbable. Yet it was to emerge later that the Poles actually did assemble relatively strong forces in Poznan Province, notwithstanding the fact that from their own point of view this was the least likely direction from which to expect a German attack. The Poznan Army was to meet its fate in the battle on
-
-the River Bzura.
-
-In point of fact there had been no lack of sensible suggestions on the Polish side. As Colonel Hermann Schneider reported in the Militarwissenschaftliche Rundschau in 1942, General Weygand had suggested putting the defence behind the line of the rivers Niemen, Bobr, Narew, Vistula and San. Operationally this was the only proper recommendation to make, since it eliminated the possibility of encirclement by the Germans and would also, by virtue of
-
-the river obstacles, have considerably strengthened the defence vis-a-vis the German tank formations. What was more, this line was only about 375 miles long, in contrast to the 1,125-mile arc described by the Polish frontier from Suwalki to the Carpathian passes. Acceptance
-
-of this suggestion would, of course, have necessitated abandoning the whole of western Poland, which embraced the country's most precious industrial and agricultural areas, and it is hardly likely that any Polish Government would have survived such a step. What also had to
-
-be borne in mind was the fact that a withdrawal as extensive as this at the very start of hostilities was hardly likely to increase French aggressiveness in the west, and it was an open question whether surrendering the whole of western Poland to the Germans would not encourage the Russians, for their part, to take immediate steps to secure their share of the
-
-spoils in the east.
-
-Consequently, Colonel Schneider tells us, another solution was put forward by General Kutrzeba, Director of the Polish Military Academy, in a memorandum he submitted to Marshal Rydz-Smigly at the beginning of 1938. He insisted that there could be no question of giving up 'Poland's vital strategic zone', which embraced both the industrial regions of Lodz
-
-and Upper Silesia and the valuable agricultural areas of Poznan, Kutno and Kielce. Accordingly he proposed a deployment plan which, while dropping any attempt to hold the
-
-Corridor or Poznan Province, substantially resembled the one ultimately implemented in 1939. To buttress the Polish defences, a far-reaching system of fortifications was to be built south of the East Prussian frontier, in a wide arc from Grudziadz to Poznan, and along the Silesian frontier from Ostrowo, through Czestochowa to Cieszyn. At the same time, General
-
-Kutrzeba pointed out, attention should be paid to preparing 'sally-ports' for later attacks against both East and West Prussia and Silesia. That to build such far-flung fortifications in
-
-adequate strength would have exceeded Polish potentialities was only too clear. Nevertheless,
-
-General Kutrzeba had recognized Poland's military inferiority vis-a-vis the Reich. His appraisal of French support was equally clear-sighted, since he took it for granted that, even if
-
-France rendered the maximum military assistance, Poland would be thrown on her own resources for the first six or eight weeks. He therefore envisaged a 'strategic defence' along the western periphery of the above-mentioned 'vital zone', in the interior of which reserves were to assemble for the decisive operations later on.
-
-As I have said, the deployment carried out by the Polish Army in 1939 was very similar to that recommended by the General. The latter, however, had envisaged making the main effort in the area Torun-Bydgoszcz-Gniezno, whereas in 1939 there tended to be two focal points— one in the area around East Prussia and the other opposite Silesia.
-
-The Polish deployment of 1939, aimed as it was at covering everything, including the forward province of Poznan, was bound to bring defeat, in view of the Germans' superiority and their ability to outflank. How, then, should Poland have operated to avoid such a defeat?
-
-The first question to settle was whether the 'vital strategic zone' referred to by General Kutrzeba was to be lost by itself or — as a result of a German envelopment from East Prussia, Silesia and Slovakia — together with the Polish Army. It was the same sort of question as I kept asking Hitler in the years 1943-4 every time he called on me to hold the Donetz Basin,
-
-the Dnieper and other areas of Russia.
-
-To my mind, the answer to Poland's problem was perfectly clear. As far as her High Command was concerned, everything must hinge on the Polish Army's ability to hold out at all costs until an offensive by the Western Powers compelled the Germans to withdraw the mass of their forces from the Polish theatre. Even though the loss of the industrial areas would appear on the face of it to render Poland incapable of fighting a war of any length, the army's continued existence as a combat force would still have held out the prospect of winning them back. Whatever happened, the Polish Army must not allow itself to be encircled to the west or
-
-on both sides of the Vistula.
-
-The whole crux of Poland's problem was to play for time. Obviously no decisive defence could be contemplated anywhere forward of the Bobr-Narew-Vistula line, although it might be possible on the southern flank to move this front up as far as the Dunajec with a view to holding on to the central Polish industrial area between the Vistula and the San.
-
-The most important thing of all would have been to eliminate any possibility of encirclement by the Germans from East Prussia and western Slovakia. A means of doing so in the north was offered by the line of the Bobr-Narew and the Vistula down as far as the fortress of Modlin or Wysograd. This, at any rate, formed a strong natural obstacle, and additional support was afforded by the former Russian fortifications, obsolete though they were. A further point was that if any German armour at all appeared from East Prussia, it was unlikely
-
-to be in great strength.
-
-The problem in the south was to obviate an outflanking manoeuvre deep in Poland's rear by defending the Carpathian passes. Both tasks could undoubtedly have been fulfilled with
-
-limited forces. To deploy the Polish forces forward of the Bobr-Narew line was just as big a blunder as pushing strong forces out into the Corridor and the bulge of Poznan Province.
-
-Once the necessary guarantees had been created against such deep outflanking in the north and south, it would have been possible to fight a delaying action in the west of Poland, always bearing in mind that the main German thrust was to be expected from Silesia. One reason for this was that the rail and road network in that part of the world allowed a quicker concentration of powerful forces than could be effected in Pomerania or, for that matter, in East Prussia; the other was that a drive on Warsaw via Poznan, being purely frontal, would have been operationally the least effective, and was therefore improbable.
-
-The Polish assembly of forces should not have taken place in the vicinity of the frontier, as happened in 1939, but far enough back for the defenders to identify the main direction of the
-
-German thrusts. This would have meant managing with a bare minimum of forces in the Corridor and the Poznan area in order to oppose the main thrust from Silesia in the greatest possible strength and, above all, to keep an adequate strategic reserve in hand. Had Poland concentrated on improving the former German fortifications on the Vistula between Torun and Grudziadz, instead of so long indulging in dreams of aggression she could at least have
-
-delayed the link-up of the German forces advancing from Pomerania and East Prussia; similarly, by properly fortifying Poznan, she could have curtailed the Germans' freedom of
-
-movement in that province.
-
-One further point is that the idea of utilizing the inner defence line to deal counterblows in the north or south of western Poland, according to the way the situation developed, would hardly have worked out in practice. There was insufficient space available for operations of this sort, and the Polish railway network would not have stood the strain. Besides, the possibility had to
-
-be borne in mind that big troop movements would very soon have been hampered by the Germans' air forces and tank formations. Consequently there was nothing for it but to plan the
-
-really decisive defence as far back as the Bobr-Narew-Vistula-San (or -Dunajec) line, and merely to fight for time anywhere forward of this - always remembering that one had to place the main effort opposite Silesia from the very start and simultaneously ensure due protection
-
-on the northern and southern flanks.
-
-No one can argue that any of these measures would have saved Poland from ultimate defeat if- as proved to be the case - she were abandoned to her fate by the West. Nevertheless, they would have saved the Poles being so easily overrun in their frontier areas, as a result of which the Polish High Command was unable either to fight a set battle in the Vistula bend or to withdraw its forces behind the great line of rivers and take up a prepared defence.
-
-From the very first day Poland could only fight for time. All she could do was to hold out against German attacks - ultimately behind the river line - until an Allied offensive in the west
-
-compelled the Germans to pull back. It should therefore have been incumbent on the Polish military leaders to tell their Government quite bluntly that they could not go to war against the Reich without a binding guarantee from the Western Powers that the moment hostilities broke out they would launch an offensive in the west with all the resources at their disposal.
-
-No Government could have disregarded such a warning in view of the decisive influence
-
-wielded at the time by the Polish Commander-in-Chief, Marshal Rydz-Smigly. The Government ought to have come to terms on the Danzig and Corridor question while there was still time, if only to postpone a war with Germany.
-
-In 1940 our troops in France captured a letter, dated 10th September 1939, from General Gamelin to the Polish military attache in Paris. It was obviously a reply to an inquiry from the
-
-Poles as to when they could expect any effective military assistance. The comments made by Gamelin for onward transmission to Marshal Rydz-Smigly were as follows:
-
-'More than half our regular divisions in the north-east are in action. Since we crossed the frontier the Germans have been resisting energetically, despite which we have made some headway. However, we are tied down in a static war with an enemy well prepared
-
-for defence, and I have not yet all the necessary artillery There has been aerial
-
-warfare from the outset in conjunction with the operations on the ground, and we are conscious of having a considerable part of the Luftwaffe opposite us.
-
-'I have thus fulfilled in advance my promise to start the offensive with my main forces a fortnight after the first day of the French mobilisation. It was impossible for me to do
-
-more.'
-
-It follows from this that Poland did in fact have a guarantee from the French in her possession. The only question is whether the Polish High Command should have been satisfied with one which did not commit the French to 'start the offensive' till a whole fortnight had elapsed. In any case, events have since shown that the above promise was meant to imply anything but swift and effective aid to Poland.
-
-Poland's defeat was the inevitable outcome of the Warsaw Government's illusions about the action its allies would take, as well as of its over-estimation of the Polish Army's ability to
-
-offer lengthy resistance.
-
-3
-
-THE OPERATIONS OF SOUTHERN
-
-ARMY GROUP
-
-WHEN OUR troops crossed the Polish frontier at daybreak on 1st September 1939, we of the Army Group Staff were naturally at our posts in the Monastery of the Holy Cross at Neisse. This was a training establishment for Catholic missionaries situated outside the town and offered an ideal wartime setting for a senior headquarters staff by virtue of its size and seclusion and the unembellished state of its classrooms and cells. To a certain extent the Spartan existence of its normal inmates, from whom we had taken over part of the building, reflected itself in our own standard of living, for though our camp commandant came from the
-
-famous Lowenbrau in Munich, he showed little inclination to pamper us. As a matter of course we drew ordinary rations like any other troops, and the midday stews we got from the
-
-field kitchen certainly gave us no cause for complaint. On the other hand, I really cannot believe that the evening menu need have been limited day after day to army bread and hard preserved sausage, which our older gentlemen had considerable difficulty in masticating. Fortunately the monks helped out with occasional lettuces or vegetables from their kitchen garden. On a number of evenings the Army Group commander and his senior staff were joined by the Abbot, who retailed fascinating accounts of the self-sacrificing work of the missionaries in distant parts of the globe. This was a welcome distraction, however brief, from the burning problems which the immediate future presented.
-
-September 1st put an end to these talks, however. Henceforth the battle claimed every moment of our time. The fact that we were in our offices so early that morning was due less to any practical necessity than to the feeling that we had to be in readiness from the very moment our troops made contact with the enemy. For it was certain that many hours would pass before we heard any vital news from the armies under our command. These were the hours familiar to anyone who has worked on a higher formation staff- the phase in which events have already begun to take their course and one can only await developments.
-
-The soldier at the front knows the tremendous tension that mounts before an attack, as the platoon commander's watch ticks steadily on to the moment of release when the assault can go in. From then on, however, the front-line fighter is completely taken up with the battle around him and quite oblivious of anything else. The difference with a formation staff- and the higher one goes the more this applies - is that the moment of attack marks the beginning of a period of waiting that is charged with suspense and anxiety. Subordinate formations quite rightly dislike getting inquiries about the progress of a battle, which they are liable to interpret as a sign of nervousness. Consequently it is better just to sit and wait. A point worth noting in
-
-this respect is that the saying about bad news travelling fast seldom applies in the military sphere. Whenever things are going well, news usually finds its way back quickly enough. If,
-
-on the other hand, the attack gets stuck, a blanket of silence descends on the front, either because communications have been cut or because those concerned prefer to hang on till they
-
-have something more encouraging to report.
-
-And so the tension breaks only when the first reports come in, whether these be good or bad. Pending their arrival we, too, could only sit and wait. Would the troops on whom we had
-
-expended so much labour and effort, but whose training had been carried out far too quickly, come up to expectation? In particular, would the big armoured formations, the organization and use of which constituted something completely new, justify the hopes of their creator, General Guderian, and ourselves? Would the German headquarters staffs, in particular our own Army Group, be able to master the opening situation and go on to win a complete victory
-
-that would destroy the enemy while he was still west of the Vistula and remove any danger of a war on two fronts? Such were the questions running through our minds in those hours of
-
-tension and uncertainty.
-
-THE OPENING SITUATION
-
-It was envisaged in O.K.H.'s plan for a large-scale outflanking operation against the Polish Army from East Prussia and Silesia that Northern Army Group, having once established a link between East Prussia and Pomerania by expelling the Polish forces from the Corridor, would be able to get straight behind the Vistula in order to attack the main enemy forces in the large
-
-bend of the river from the rear.
-
-The task that must devolve on Southern Army Group, on the other hand, was to try to engage the enemy as far forward as the Vistula and to frustrate any attempt he might make to withdraw behind the line of the Vistula and San. This meant that Tenth Army's tank formations, with its infantry divisions following as closely as possible behind, must make a concerted effort to over-run the enemy troop assemblies that would probably be taking place
-
-near the frontier, and that the tanks should if possible reach the Vistula crossings from Demblin to Warsaw ahead of the enemy. It also presupposed that Fourteenth Army, which was to advance through Galicia, would reach and cross the San with the greatest possible speed. In the event of the enemy's intending to place his decisive resistance as far back as the
-
-San and Vistula, this army could immediately unhinge the river defences from the south and
-
-join up - deep in the enemy's rear - with the eastern wing of Northern Army Group as it approached from the north. Fourteenth Army was bound to be assisted here by the fact that its right wing, by extending so far eastward into Slovakia, constituted an immediate threat to the deep flank of the enemy forces concentrating in the Cracow area, and thereby made it impossible to effect any protracted defence of Galicia.
-
-Such was the course of action on which Southern Army Group based its operations in Poland. It strove throughout to engage and destroy the main body of the enemy forward of the Vistula, but at the same time remained ready to anticipate any attempt he might make to avoid accepting the decisive battle until he was behind the San-Vistula line.
-
-Instead of giving a day-to-day account of the operations, useful though a detailed survey of this 'lightning' campaign would undoubtedly be, I would rather confine myself to a broad outline of its essential phases. These, partly in chronological sequence and partly
-
-simultaneous, were as follows:
-
-The heavy frontier battles fought by Fourteenth Army in Galicia and the latter's subsequent pursuit of the beaten enemy to Lwow and over the San.
-
-Tenth Army's breakthrough to the Vistula and the Battle of the Radom Pocket.
-
-The Battle of the Bzura, which was conducted direct from H.Q. Southern Army Group and led to the destruction of the strongest enemy grouping by Eighth and Tenth Armies.
-
-The attack on Warsaw and the final battles which resulted from the frequent changes in the agreements entered into by Germany's political leaders with the Soviets, who were by now marching into Eastern Poland. The latter crossed the Polish frontier on 17th September 1939.
-
-FOURTEENTH ARMY'S ASSAULT MARCH THROUGH GALICIA
-
-The first object of Fourteenth Army was to encircle the strong enemy forces believed to be in the area of Cracow. This encirclement was already inherent in the army's extensive deployment from Silesia through the region of Moravska Ostrava (Mahrish-Ostrau) to the
-
-Carpathians.
-
-While 8 Corps (General Busch - 8 and 28 Infantry and 5 Panzer Divisions) was to break through the strong Polish frontier fortifications in eastern Upper Silesia and then advance on Cracow along the north of the Vistula, 17 Corps (General Kienitz - 7 and 44 Infantry Divisions) moved on Cracow to the south of the Vistula from Moravia.
-
-The task of directly outflanking the enemy forces thought to be around Cracow fell to two
-
-further army corps:
-
-22 Panzer Corps (General v. Kleist - 2 Panzer and 4 Light Divisions), which was to drive on Cracow from the south out of the Orava Valley in the western Carpathians, and 18 (Mountain)
-
-Corps (General Beyer - 2 and 3 Mountain Divisions), which was to break out of the Poprad Valley east of the High Tatra with the aim of advancing through Nowy S'cz (Neu-Sandez) on Bochnia (west of Tarnow) and taking the enemy at Cracow in the rear.
-
-Still further east the Slovakian forces later released by O.K.H. had to attack through the Dukla Pass, so well known from World War I days, 1 Mountain Division, a seasoned Bavarian formation, and two reserve divisions were allocated to this enveloping wing later on.
-
-Though Fourteenth Army's initial battles - in particular those fought by 8 Silesian Corps for the Polish frontier fortifications - proved hard going, the issue in these frontier regions was virtually decided already from the operational point of view by the outflanking movement from the Carpathians. Admittedly the proposed encirclement of the enemy grouping around Cracow did not come off in the literal sense, as the enemy recognized the danger threatening him and duly evacuated western Galicia. But the bulk of his forces were still smashed in these first battles and the chase that followed, in the course of which 22 Panzer Corps succeeded in overhauling its quarry. They took the army's right wing, the Mountain Corps and 17 Corps, as far as Lwow and the fortress of Przemys 3 , both of which were captured. The left wing, consisting of the Panzer Corps, 8 Corps and 7 Corps allocated to the army by the Army Group, was able to cross the San above its junction with the Vistula, and though our opponents fought back bravely in the subsequent battles, which were in part extremely heavy, further enemy forces - some of them coming from Warsaw or Northern Army Group's front -were wiped out. In due course we joined hands with the left wing of Northern Army Group.
-
-By 15th September, Lwow and Przemycel having fallen, the pursuit was virtually over, even if the destruction of the remaining Polish units in this area and east of the San was to call for
-
-further fighting.
-
-THE BREAKTHROUGH OF TENTH ARMY AND THE BATTLE OF THE
-
-RADOM POCKET
-
-While the object of Fourteenth Army's operations - apart from annihilating the forces deployed in western Galicia - was to pursue and catch a retreating enemy, and thereby prevent him at all costs from making a fresh stand behind the Vistula, the task of the two armies attacking from Silesia was to make him accept a decisive battle forward of the river. The crucial role of thrusting through to the Vistula devolved on the stronger Tenth Army, with its powerful complement of armour, while the weaker Eighth Army was to cover the northern flank of the operation against the enemy forces believed to be in the Kalisz-Lodz area and
-
-Poznan Province.
-
-Tenth Army attacked from Upper Silesia - the left wing from around Kreuzburg - with fours corps up. Reading from right to left, these were 15 Motorized Corps (General Hoth - 2 and 3 Light Divisions), 4 Corps (General v. Schwedler - 4 and 46 Infantry Divisions), 16 Panzer Corps (General Hoepner- 1 and 4 Panzer Divisions, 14 and 31 Infantry Divisions) and 11 Corps (General Leeb - 18 and 19 Divisions). 14 Motorized Corps (General v. Wietersheim-13 and 29 Motorized and 1 Light Divisions) followed up.
-
-Following behind the army as an Army Group reserve were 7 Corps (General v. Schobert - 27 and 68 Infantry Divisions) and 62 Infantry Division.
-
-Eighth Army, composed of 13 Corps (General v. Weichs— 10 and 17 Infantry Divisions and
-
-the motorized Leibstandarte) and 10 Corps (General Ulex - 24 and 30 Divisions), had to advance in deeply echeloned formation in the direction of Lodz. This army, too, was followed by two divisions (213 and 221) of the Army Group reserve.
-
-Immediately after the German armies had crossed the frontier at dawn on 1st September 1939, violent fighting started, in the course of which the enemy was thrown back. For the next few days our big problem was whether he would still seek to join the decisive battle forward of the Vistula or whether his object in the present fighting was to gain time in which to get his forces
-
-back behind the river. Initially, at all events, there were signs of strong enemy groupings forming in the mountainous country of £ysa Gora around Kielce, at Radom and around £odz.
-
-What decided the battles of these first few weeks, however, were probably two factors which had appeared for the very first time in this campaign.
-
-One was the tearing open of the enemy's front by tank formations which penetrated deep into his rear areas and with which, incidentally, our infantry divisions were hard pressed to keep
-
-up.
-
-The other was the almost complete elimination of the enemy's air force and the crippling of his staff communications and transport network by the effective attacks of our Luftwaffe. For these reasons no centralized control of operations was ever really achieved by the Poles.
-
-By reason of the situation on the enemy side, Army Group H.Q. found it necessary to set Tenth Army two objectives. One group on the right (14 Motorized Corps and 4 Corps), followed through by 7 Corps (which was not moved over to Fourteenth Army until later on), had to attack and defeat the enemy grouping still assembling around Radom. Another group on the left, consisting of 16 Panzer Corps, 14 Motorized Corps and 11 Corps, was to cut off the enemy's line of retreat from the £odz area to Warsaw while Eighth Army attacked from
-
-the west.
-
-In pursuit of these orders, Tenth Army succeeded in engaging the Radom grouping in the wooded mountains of £ysa Gora while the mobile 15 Motorized Corps moved in between it and the Vistula crossings of Opatow and Demblin and the 14 Motorized Corps, operating from the army's left-hand group in the north, also barred the way to Warsaw. By 9th September the first 'pocket' of the war had closed round an enemy army. Though the fighting in the Kielce-Radom region went on till 12th September as a result of the enemy's efforts to burst out of the ring enclosing him, his fate was already sealed. By the end of the battle 60,000 prisoners and 130 guns were in our hands and the enemy had forfeited seven divisions. Even if he had succeeded in getting back across the Vistula, this would not have helped him, for on the day the Battle of Radom ended Fourteenth Army already had its 1 Mountain Division at the gates of £wow, and the army's left wing, through having crossed the lower San, was in a position to unhinge any enemy defence of the Vistula.
-
-Meanwhile 16 Panzer Corps, which belonged to the left-hand group of Tenth Army, had fought its way to the Vistula crossing of Gora Kalwaria, south of Warsaw, and one armoured division had penetrated into the south-west suburbs. These forces were actually too weak to capture a city fortified as Warsaw was, and the armoured division had to be pulled out again. The fact remained, however, that the enemy's western approach to the capital was now
-
-blocked.
-
-THE BATTLE OF THE BZURA
-
-While fighting was still going on in the Radom area, even if signs of victory there were already apparent, our attention was drawn to the northern wing of the Army Group as a result
-
-of an enemy initiative.
-
-During the first nine days of the campaign everything had run so smoothly and so completely according to plan that one was tempted to believe that little could happen now to interrupt or
-
-cause any real change in the scheduled course of operations. Nonetheless I still had a vague feeling that something was brewing on the northern flank of the Army Group. We knew, after all, that the enemy had assembled strong forces in Poznan Province which had not yet come to
-
-light. For this reason, on 8th and 9th September I had repeatedly pointed out to the Chief-of-
-
-Staff of Eighth Army that he must pay special heed to reconnaissance on his northern flank. Discussions between ourselves and O.K.H. regarding the location of these Poznan forces had
-
-produced a teleprinter message from O.K.H. on 9th September to the effect that the enemy was moving them off to the east with all the transport he could muster, and that a threat to Eighth Army's deep flank need no longer be feared. Nevertheless we reckoned that there must be some ten enemy divisions south of the Vistula between £odz and Warsaw.
-
-It will be recalled that the Army Group had intended to use Tenth Army to block the route back to Warsaw of an enemy grouping of five or six divisions thought to be around £odz, while Eighth Army had also been directed to attack this force from the west. Eighth Army's original task - the provision of deeply echeloned protection to the entire Army Group operation on its northern flank - naturally still held good.
-
-It would appear, nevertheless, that H.Q.. Eighth Army paid rather more attention to the aforementioned task than to developments in the north, for early on 10th September it reported a surprise attack from that quarter against its 30 Division, launched by considerably stronger enemy forces. The situation threatened to become critical, as attempts by the army to restore it
-
-by counter-attacks failed one after the other. However, the army still reckoned on halting the enemy - who was undoubtedly present in strength and presumably composed in the main of
-
-forces drawn back from Poznan Province - and for this purpose wheeled both its corps round to form a defensive front facing north. All the same it asked to be quickly reinforced by one
-
-panzer corps in order to prevent any southward enemy breakthrough to £odz, which had been
-
-occupied without resistance on 9th September.
-
-Army Group H.Q., however, was by no means disposed to see the situation of Eighth Army restored by a reinforcement of its front. Even if a local crisis- and possibly a serious one at
-
-that- were to arise here, it would have not the least bearing on the operations as a whole. On the contrary, it actually offered us the chance of winning a big victory, since strong enemy forces had now been committed to a battle west of the Vistula, and this, if the right actions were taken on our own side, would end in their destruction.
-
-Instead of acceding to Eighth Army's request for the additional support of a panzer corps, therefore, Army Group H.Q.. started making preparations for the enemy's encirclement. The two divisions following Eighth Army as an Army Group reserve were anyway still approaching from the west, and these could be presented against the western flank of the enemy now attacking Eighth Army from the north. For the same purpose a light division was ordered over from the battle now drawing to a close around Radom. What the Army Group desired above all was to compel the enemy to fight a battle with reversed front. To this end it
-
-directed Tenth Army to turn round 16 Panzer Corps, now at the southern perimeter of Warsaw, and 11 Corps, which was following the latter, in order to intervene in Eighth Army's battle from the east. The latter's own task was to hold off the enemy as long as he kept up his assault, but once this perceptibly slackened off, to go over to the attack.
-
-As a result of impressions gathered by Colonel-General v. Rundstedt and myself on visits to H.Q.. Eighth Army at this time (during one of which Hitler was also present), Army Group decided to assume direct control of the operation. The attack by the two corps of Tenth Army intervening from the south and south-east was to be directed by Colonel-General v. Reichenau himself, while H.Q. Eighth Army was left in charge of the fighting of its two corps facing north and the envelopment of the enemy from the west. Finally, at the request of our Army Group, 3 Corps, which had crossed the Vistula from the north in the enemy's rear as part of Northern Army Group, was brought in to close the ring. When it became apparent in the course of the battle that large elements of the enemy were striving to escape along the Vistula to the fortress of Modlin, Army Group even pulled up 15 Motorized Corps from the Radom
-
-region to block this last escape route.
-
-After heavy fighting in which the enemy had tried to break out first to the south, then to the south-east and ultimately to the east, his resistance finally collapsed on 18th September. By 20th September Tenth Army had reported the capture of 80,000 prisoners and booty amounting to 320 guns, 130 aircraft and 40 tanks. Eighth Army reported 90,000 prisoners and as yet uncalculated amounts of captured equipment. Nine enemy infantry divisions, three cavalry brigades and elements of ten further divisions had been involved in this defeat - in point of fact many more formations than we had supposed.
-
-The Battle of the Bzura was the biggest self-contained action of the Polish campaign and constituted its climax, even if not its decisive engagement.
-
-The latter, operationally speaking, lay in the far-flung envelopment of the entire Polish forces by Northern Army Group in the north and Fourteenth Army in the south. Whether this one large-scale counter-move arose from a hope on the part of the Polish Command that it could still change its fortune in the Vistula Bend, or whether it was merely directed towards clearing the way to Warsaw for the enemy forces south of the Vistula, it could have no further influence on the fate of the Polish Army.
-
-Even if the Battle of the Bzura did not measure up in actual results to the big battles of encirclement fought in Russia later on, it was still the largest of its kind to date. It was not one which could be planned from the outset through penetration of the enemy front by powerful tank formations, but arose from counter-moves made on the German side when the enemy's own actions unexpectedly gave us our big opportunity.
-
-THE CAPTURE OF WARSAW
-
-After the Battle of the Bzura and a series of actions in the wooded country south of Modlin against enemy elements trying to escape from the fortress towards Warsaw, our Army Group was given the task of taking the capital. Even now certain of its formations were being moved off to the west, where the French and British, much to our surprise, had looked idly on as their
-
-Polish ally was being annihilated.
-
-We had already reported to O.K.H. that the preparations for the assault on Warsaw could not be complete before 25th September, our main motive being a wish to avail ourselves of the whole of the army artillery, including that of Fourteenth Army.
-
-However, after the Soviet intervention on 17th September and the establishment of the Vistula as a demarcation line, Hitler was in a great hurry to take the city, and ordered that it must be in our hands by the last day of the month. While it is not abnormal, I suppose, for politicians to expect the generals to win a victory, it was undoubtedly a new departure for them to go as
-
-far as fixing the actual date.
-
-Apart from this, Army Group was disposed to conduct the attack in a manner which would keep casualties down to a bare minimum. The only reason why the city had to be attacked at all was that the enemy had taken steps to defend it with an entire army and that the Polish Commander-in-Chief had announced that it would be held to the last.
-
-The Army Group was well aware that in the circumstances nothing could be expected of a surprise attack on the city. On no account, however did it wish to become involved in a battle inside Warsaw, whatever reasons might be given for doing so. This would inevitably have caused extraordinarily high losses both to the attacking troops and the civil population.
-
-Eighth Army, which had been charged with the capture of the city, was accordingly ordered to confine its attack to investing the fortress area with a tight, unbroken ring of troops roughly
-
-coinciding with the line of the circular railway. The city would then be compelled to surrender by a combination of artillery bombardments and air raids or, if these did not produce results, by a food and water shortage. I might mention here that Army Group H.Q.. had successfully opposed an earlier wish of Hitler's to have the city bombed by the Luftwaffe, our argument
-
-then being that no air raid at that particular juncture would have had a direct bearing on, or in any way benefited, military operations. In the present instance, however, these same reasons
-
-served to justify bombardment.
-
-On 25th September fire was opened on the outer forts and strongpoints, as well as on important supply centres. At the same time the localized attacks to reach the predetermined siege line began. On 26th September we dropped leaflets warning that the city was about to be shelled and calling on its occupants to surrender. As the Polish troops continued to offer a stubborn resistance, the actual bombardment was begun on the evening of the same day.
-
-At noon on 27th September Colonel-General v. Rundstedt and I learnt during a visit to my old 18 Division, which had just taken two forts, that the enemy had offered to capitulate. The
-
-shelling was immediately stopped.
-
-The capitulation was signed next day by the Polish army commander and Colonel-General Blaskowitz, commander of the German Eighth Army. It provided for immediate succour to the civil population and enemy wounded and in every way upheld the military honour of an
-
-enemy defeated after a gallant struggle. It was agreed that the officers should retain their swords and that the non-commissioned officers and men should go into captivity for only as long as it took to dispose of the necessary formalities.
-
-According to the Polish plenipotentiary, 120,000 officers and men capitulated in Warsaw.
-
-When signing the instrument of capitulation, the Polish general said: 'A wheel always turns'. He was to prove right in the end, though hardly - as far as the subsequent fate of his fatherland was concerned - in the sense his words had been meant to convey.
-
-THE FINAL BATTLES EAST OF THE SAN AND VISTULA
-
-Although the bulk of the enemy forces committed forward of the Vistula had been eliminated in the Battle of the Bzura and the fall of Warsaw, numerous other engagements, some of them quite heavy, were still being fought in Fourteenth Army's area in eastern Galicia and on the
-
-far side of the lower San against individual groups of the enemy who had so far escaped destruction. In the meantime Tenth Army had also got a corps across the Vistula at Demblin
-
-to advance on Lublin. In the midst of this fighting we suddenly received orders from the Supreme Command to hand over L wow-which had just capitulated to the troops of Fourteenth Army — to the Soviets and to retire along the whole Army Group front behind the demarcation line arranged by Ribbentrop in Moscow. This ran from the Uzok Pass to Przemyoel and then along the San and Vistula to the north of Warsaw. Thus the battles fought on the far side of those two rivers had been wasted effort as far as the units of Southern Army Group were concerned, and had only benefited the Soviets!
-
-To get back across the San we had to disengage from an enemy grouping whose strength we still estimated at two or three divisions and one or two cavalry brigades. These forces now showed tremendous courage - though at the same time a complete misunderstanding of the overall situation - in going over to the attack themselves in an attempt to prevent our 7 and 8 Corps from reaching the river. Here again heavy fighting ensued purely in consequence of the political haggling still going on between the German and Soviet Governments. The extent of
-
-this was best shown by the fact that on 1st October a further alteration was made to the demarcation line. This time our orders were to reoccupy Lublin Province. 14 Motorized Corps therefore crossed the Vistula again and received the capitulation of the last enemy grouping still in action as it withdrew towards the river before the advancing Soviets.
-
-The Polish campaign was over. In the course of it Southern Army Group had taken 523,236
-
-prisoners and captured 1,401 field-pieces, 7,600 machine-guns, 274 aircraft, 96 fighting vehicles and an incalculable quantity of other equipment. The enemy's losses in blood were undoubtedly very high indeed, for he had fought with great gallantry and had shown a grim determination to hold out in even the most hopeless situations.
-
-Our own Army Group's losses were as follows:
-
-Officers: 505 dead; 759 wounded; 42 missing. N.C.O.s and other ranks: 6,049 dead; 19,719
-
-wounded; 4,022 missing.
-
-On 5th October Hitler held a victory parade in Warsaw of all the divisions stationed in and
-
-around the city, taking the salute at a march-past on the big avenue leading from the Belvedere to the Castle. Unfortunately the occasion ended on a discordant note which only too clearly revealed his attitude towards the leaders of the army.
-
-It had been arranged that before flying back to Germany Hitler should meet the commanders and commanding officers of the troops that had taken part in the parade, and for this purpose a table had been laid in a hangar where they were to be served with plates of soup from a field kitchen. When he came into the hangar and caught sight of the white cloths and autumn
-
-flowers on the table, however, Hitler turned on his heel and joined the troops at a field kitchen
-
-outside. Having swallowed a few spoonfuls of soup and chatted to the men around him, he made straight for his waiting aircraft. It was a patent attempt to demonstrate his 'attachment to the popular masses'. Yet I very much doubt whether he really won the approval of those gallant grenadiers of ours by such behaviour. They would, I am sure, have fully appreciated the gesture if, after the victories they had won, the Head of State had honoured the troops as a whole by a visit to their commanders. His treatment of the latter was a snub which, happening
-
-when it did, inevitably set one thinking.
-
-Before long the Polish campaign was being described as the blitzkrieg- the 'lightning war'. Indeed, as far as its speed of execution and the outcome were concerned, it did constitute something almost unique until the German offensive in the west produced a similar
-
-development on an even bigger scale.
-
-In order to assess it fairly, however, one must bear in mind what was said in a previous chapter about Poland's prospects in this war.
-
-In point of fact the Germans were bound to win this campaign by virtue of their superiority and their infinitely more favourable starting conditions, provided that two stipulations were
-
-fulfilled.
-
-One was that the German command accepted a very high degree of risk in the west in order to
-
-have the necessary superiority in the east.
-
-The other was that the Western Powers did not in any way exploit this risk to render timely
-
-aid to the Poles.
-
-There cannot be any doubt that things might have turned out very differently had the Western Powers taken the offensive in the west at the earliest possible moment. This would, of course, have presupposed the existence of a Polish command with a rather greater sense of reality - a command which, instead of scattering all its resources from the outset in an effort to cling on to what could not be held, would have concentrated its forces at the crucial points and fought systematically for the time needed to confront the Germans with the dilemma of a real war on two fronts. The bravery with which the Polish troops fought right up to the end would have been an adequate guarantee of their ability to hold on until the Allies reached the Rhine and forced the German command seriously to consider calling off the campaign in Poland.
-
-And so in this case too - as Count Schlieffen had once put it - the weaker party made their
-
-own contribution to the victory of their adversaries. On the other hand, it must also be recognized that the speed and completeness of our success in Poland were ultimately due -apart from our operational advantage at the start and the numerical superiority we had achieved by accepting a big risk in the west - to the better leadership and higher quality of the
-
-German fighting troops.
-
-A vital factor in the speed of our success was the unorthodox use of big, self-sufficient tank formations supported by a far superior air force. But what had been really decisive, next to the steadfast courage and devotion of the German soldier, was the spirit pervading the German staffs and fighting troops. While the material achievement of rearmament had certainly been largely due to Hitler's own efforts, material superiority alone would by no means have guaranteed so swift and conclusive a victory.
-
-The most important thing of all was that our little Reichswehr, once rather looked down upon by many people, had revived Germany's great tradition of training and leadership after carrying it through the aftermath of the 1918 defeat. The new German Wehrmacht, as the child of that Reichswehr, had found - and was probably alone in doing so — how to prevent warfare from degenerating into a static war or — as General Fuller expressed it in connexion with the final stage of World War I - into 'ironmongery'. In the German Wehrmacht it had been found possible, with the help of the new means of warfare, to reacquire the true art of leadership in mobile operations. Individual leadership was fostered on a scale unrivalled in any other army, right down to the most junior N.C.O. or infantryman, and in this lay the secret of our success. The new Wehrmacht had passed its first test with flying colours. So far, even the army staff had been able to act without interference from outside. So far, the military commanders had retained full authority of command. So far, the troops had had a purely military battle to fight, and for that reason it had still been possible to fight chivalrously.
-
-On 15th October Colonel Heusinger of the O.K.H. Operations Branch came to see us with the welcome news that our headquarters was also to be moved to the Western Front at the end of
-
-the month. Our place was to be taken by H.Q.. Eighth Army under Colonel-General Blaskowitz. Shortly afterwards I myself was instructed to present myself at O.K.H. in Zossen on 21st October for the purpose of receiving our operation orders for the west.
-
-I left Lodz on the 18th to pay a brief visit to my family and brother-in-law, who was lying
-
-severely wounded in a Breslau hospital.
-
-Then there was a new task to be faced.
-
-Part II The Campaign in the West INTRODUCTORY NOTE
-
-'Now is the winter of our discontent Made glorious summer. ..." (Richard III)
-
-HAPPY TO have escaped the thankless task of having to act as the occupying Power in
-
-Poland, our headquarters arrived on the Western Front on 24th October 1939 to take command of the newly formed Army Group A. The armies under command (Twelfth and Sixteenth) had their forward divisions in position along the frontiers of southern Belgium and Luxembourg and their rear units strung out as far back as the right bank of the Rhine. It had been decided that Army Group H.Q. would be located in Coblenz.
-
-We duly moved into the Hotel Riesen-Furstenhof beside the Rhine - a place which in my early days at the cadet school in the nearby market town of Engers I had regarded as the very peak of elegance and culinary refinement. But now wartime restrictions had left their mark even on this famous establishment. Our offices were situated in a once-charming old building near the Deutsches Eck which until the outbreak of war had accommodated the Coblenz
-
-Division. The lovely Rococo rooms of yesteryear were now bare and gloomy. Not far from
-
-this building, in a small square lined with ancient trees, stood an obelisk of considerable interest. It bore a bombastic inscription, having been erected by the French commandant of Coblenz in 1812 to mark the crossing of the Rhine by Napoleon's Grand Army on its march to
-
-Russia. Below the original inscription another had been engraved. Its approximate purport was: "Noted and approved', and it bore the signature of the Russian General who had become
-
-commandant of Coblenz in 1814.
-
-What a pity Hitler never saw this!
-
-At my suggestion our command staff had received the valuable addition of a second, older General Staff officer for the operations branch. He was the then Lieutenant-Colonel v. Tresckow, who put an end to his life in July 1944 as one of the main forces behind the
-
-conspiracy against Hitler. Tresckow had already worked under me in peacetime in the First
-
-Department of the General Staff of the army.
-
-[ Order of Battle and Operations. Jr.]
-
-He was a most talented officer and an ardent patriot. With his quick brain, his many accomplishments and his cosmopolitan and gentlemanly ways, he had a special charm of his own, and his elegant, aristocratic appearance was fully complemented by his beautiful and equally intelligent wife, a daughter of the former War Minister and Chief of the General Staff, v. Falkenhayn. In those days there could hardly have been a more charming couple in Berlin
-
-army circles than the Tresckows.
-
-Tresckow and I were linked by an intimate bond of sympathy that was closely akin to friendship and dated from the time we had worked together in the Operations Branch. Here in Coblenz, too, he was to render me valuable assistance in our struggle for the adoption of our own Army Group's plan for the offensive in the west. When I later became commanding general of a panzer corps and then an army commander, I asked in each case to have Tresckow as my Chief-of-Staff However, my request was turned down on the rather original grounds that I 'did not need so clever a man'. When he was finally offered to me in the spring of 1943 to be chief of my Army Group staff, I could not give him precedence over my Chief
-
-of Operations, General Busse, who was of the same age and had proved his mettle in the many battles we had fought together. My only reason for mentioning this is that a gentleman close to Tresckow has given currency to a story that I refused to have the latter because he was not a reliable National Socialist. Anyone who knows me will be aware that I did not
-
-select my staff on that basis.
-
-If those months in Coblenz were to become the 'winter of our discontent', this arose from the strange suspense of the 1939-40 Shadow War or 'drole de guerre', as the French called it. It would have been easier to bear had we been able to pin our attentions from the outset on systematically preparing the troops under our command for an offensive in the coming spring. Unfortunately Hitler was known to want an offensive late that same autumn and when this proved impossible, at least during the winter. Every time his 'weather boffins', the Luftwaffe meteorologists, predicted a period of fine weather, he issued the code-word which was the signal for the troops to start moving into their final assembly areas. On each occasion the meteorologists had to climb down again, either because heavy downpours of rain had made a hopeless mess of the ground or because a sharp frost and falls of snow had raised doubts as to the advisability of using tanks and aircraft. The result was a process of vacillation between
-
-warning orders and countermands - a most frustrating state of affairs for troops and commanders alike. During this period Hitler's mistrust of military reports which did not suit his own wishes revealed itself most strikingly. After Army Group H.Q. had once again stated that continuous rainfall made it temporarily impossible to form up for the offensive, he sent his military assistant, Schmundt, to us with orders to examine the state of the ground himself. Tresckow was the ideal man to deal with this. He spent an entire day dragging his erstwhile regimental comrade along well-nigh impassable roads, across sodden ploughland and marshy
-
-meadows and up and down slippery hillsides, so that by the time they got back to our headquarters in the evening, Schmundt was in a state of complete exhaustion. From that day on Hitler dispensed with such wholly improper methods of verifying our weather reports.
-
-The person who had most to suffer as a result of this absurd chopping and changing and the consequent wastage of effort was, of course, our Army Group commander, Colonel-General v. Rundstedt, with whom patience had never been a strong point. Very soon our headquarters
-
-was swamped with the flood of paper which regularly descends on fighting units and formation headquarters during the quieter phases of war. Thanks to a very proper unwritten law in the German Army that the general commanding a formation be kept free of all minor
-
-detail, however, v. Rundstedt was hardly affected and was able to take a long walk every morning on the Rheinpromenade. Since I, too, had to take some sort of exercise, I often used
-
-to meet him. Even in that freezing winter, when the Rhine was already covered with ice, Rundstedt still wore only a thin raincoat. When I protested that he would catch his death of cold, he merely retorted that he had never possessed a greatcoat in his life and was certainly
-
-not going to buy one at his age! And neither did he, for even after all these years the old gentleman still bore the imprint of his spartan training in the Cadet Corps. Another habit of v. Rundstedt's served to remind me of my own days as a cadet. On returning to his desk to await the verbal reports which he daily received from myself and other members of the staff, he would fill in the time by reading a detective thriller. Like many other prominent people, he found a welcome distraction in such literature, but since he was rather shy about this taste of his, he regularly read the novel in an open drawer which could be quickly closed whenever anyone came in to see him. It was the very same thing we had done as cadets whenever an instructor came into our quarters during a private-study period!
-
-However, our discontent that winter was due in only small measure to Hitler's vacillations and their prejudicial effect on the troops—who were in time liable to doubt the good sense of orders which were repeatedly being cancelled - to say nothing of the fact that the inter-formation training schedules, which had a particular relevance in the case of the newly formed
-
-divisions, were seriously upset.
-
-The real cause of our discontent - or, to put it more exactly, our uneasiness - was twofold.
-
-In the first place it arose from a development which I can only describe as the eclipse of O.K.H. I personally found this development particularly distressing, having fought right up to
-
-the winter of 1937-8, as Oberquartiermeister I of the General Staff and assistant to Fritsch and Beck, to ensure that in the event of war O.K.H. would be given its proper position within
-
-the framework of overall war policy.
-
-Secondly, Army Group H.Q. sought in vain throughout the winter to get O.K.H. to accept an operations plan which - in our own opinion, at all events - seemed to offer the only guarantee of a decisive victory in the west. This was not adopted as the basis of the offensive until Hitler
-
-had finally intervened - and only then after O.K.H., undoubtedly as the result of our badgering, had removed me from my post as Chief-of-Staff of the Army Group.
-
-These two facts - the 'demotion' of O.K.H. and the struggle over the operations plan - largely form the background to the western campaign to which this part of the book is devoted. Its later course is already known in such detail that there is no need for me to go through it all again. All I intend to tell of it is what I saw as a corps commander.
-
-Nonetheless, the 'winter of our discontent' was still followed by a 'glorious summer'!
-
-4
-
-THE ECLIPSE OF O.K.H.
-
-THE ELIMINATION of O.K.H., or the General Staff of the Army, as the authority responsible for war policy on land is generally assumed to have been effective from the time when Hitler dismissed Field-Marshal v. Brauchitsch and took over the leadership of the army in addition to that of the Wehrmacht as a whole. In actual fact, however, the General Staff was eliminated for all practical purposes - even if this was not yet formally the case - in the weeks immediately following the Polish campaign.
-
-After my visit to Zossen on 21st October 1939 to receive 'Operation Order Yellow' on behalf of Army Group A, as Southern Army Group was henceforth to be designated, I noted in my diary: 'Musical accompaniment by Haider, Stiilpnagel and Greifenberg extremely depressing.' At that time General v. Stiilpnagel, as Oberquartiermeister I, was the right-hand man of Haider, the Chief of the Army Staff, while Colonel Greifenberg headed the O.K.H.
-
-Operations Branch.
-
-It was perfectly evident from the remarks of these three gentlemen that O.K.H. had issued a war plan forced on it by Hitler. They, as well as the Commander-in-Chief himself, obviously took a thoroughly negative view of the idea of an offensive in the west and did not consider it the proper way to bring the war to a close. From what they had to say it could also be gathered that they did not think the German Army would be in a position to enforce a decisive denouement in the west. This impression was corroborated both by the Operations Order, which will be analysed in due course, and by the various visits to be paid to Army Group H.Q. by the Commander-in-Chief and his Chief-of-Staff.
-
-Now it was quite clear that opinions might differ - particularly during the period of the late autumn and winter of 1939 - as to the expediency and prospects of a German offensive in the
-
-west. What horrified me was my realization of the extent to which O.K.H.'s status had declined within the scope of the Supreme Command. And this just after it had conducted one of the most brilliant campaigns in German history!
-
-Once before, admittedly, Hitler had disregarded the views of O.K.H. That had been during the Sudeten crisis. But on that occasion something entirely different had been at stake - not a matter of military leadership but one of political decision. Hitler's dispute with O.K.H. -primarily with Beck as Chief of the General Staff- had arisen not over the handling of an army operation but over the question of whether action against Czechoslovakia would lead to intervention by the Western Powers, and thereby to a war on two fronts which the German
-
-Army could not have the capacity to fight. The appraisal of this problem, however, had ultimately been a matter for the political leadership, in whose power it had lain to obviate by
-
-political measures any trend towards a war on two fronts. So although the Commander-in-Chief had taken on a grave military responsibility by bowing to the primacy of politics on that occasion, he had still in no way renounced the prerogative of military leadership in his own
-
-exclusive sphere.
-
-At the time of the Polish crisis no such divergence of views between Hitler and O.K.H. had reached our ears. Indeed, I am inclined to think that after Hitler's political assessment of the Western Powers had proved correct in the case of Czechoslovakia, O.K.H. hoped that the same would apply in autumn 1939. In any case I believe that through-out those final crucial days of August O.K.H. assumed right up to the last - just as we did at Southern Army Group -
-
-that the whole business would again end in a political settlement similar to that reached at Munich. At all events, if one disregards the wishes he expressed regarding the deployment in East Prussia - to which O.K.H. agreed - Hitler cannot be said to have interfered in the conduct
-
-of operations in Poland.
-
-Now, however, the position was quite different. It is true, of course, that the question of how
-
-the war should be continued after the defeat of Poland was a matter of overall war policy which ultimately had to be decided by Hitler as the Head of State and Commander-in-Chief of
-
-the Wehrmacht. However, if the solution were to be a land offensive in the west, this must depend entirely on how, when and whether the army would be able to tackle the task. In these three respects the primacy of the army leadership was inalienable.
-
-Yet in all three Hitler confronted the High Command of the army with a fait accompli when on 27th September-without prior consultation of the Commander-in-Chief of the Army - he informed the Commanders-in-Chief of all three services of his decision to take the offensive in the west that same autumn and, in so doing, to violate the neutrality of Holland, Belgium and Luxembourg. The decision presently found expression in an O.K.W. directive of 9th
-
-October 1939.
-
-I was bound to infer from the remarks made by the three above-named officers when I took over 'Operation Order Yellow' that O.K.H. had resigned itself to this capitis diminutio. It had issued a directive for an offensive of which it steadfastly disapproved and in whose success -
-
-in the decisive sense, at least - it had no confidence. In view of the relative strengths on the Western Front, one had to admit that such doubts were not unjustified.
-
-I could only deduce, therefore, that O.K.H. had in this case renounced any claim to be the authority responsible for land warfare and had resigned itself to acting as a purely technical, executive organ. The very thing had now come to pass which Colonel-General Beck and I had once sought to prevent by our recommendations for a rational distribution of responsibility at
-
-the summit in time of war. What we had called for was one single authority which would alone be responsible for advising the Head of State on questions of military policy and have joint control of army operations and the overall conduct of the war. For at least as long as it took to decide the issue on the Continent, either the Commander-in-Chief of the Army was to
-
-have command of the Wehrmacht as a whole or a Reich Chief-of-Staff responsible for running the Wehrmacht should simultaneously make the decisions on army policy. What had to be avoided at all costs was that two different General Staffs - those of the Wehrmacht and the army - should have a say in the running of the latter.
-
-This was precisely what now appeared to have happened. Hitler and his O.K.W. not only decided what operations the army should conduct, but also when and how they should be conducted. O.K.H. was left to work out the appropriate orders whether or not it agreed with what it was being called on to implement. The Commander-in-Chief of the Army had been
-
-demoted from the status of military adviser to the Head of State to that of a subordinate commander pledged to unquestioning obedience. Before very long this was to be made only too plain by the creation of an 'O.K.W.' theatre of operations in Norway.
-
-The explanation of how O.K.H. came to be brushed aside like this is to be found both on the personal plane and in the manner in which the question of continuing the war after Poland's
-
-defeat was handled.
-
-HITLER - V. BRAUCHITSCH - HALDER
-
-The main reason for the trend discussed above lay in the personality of Hitler, in his insatiable
-
-thirst for power and his excessive self-esteem, which was engendered by his undeniable successes and encouraged by the lick-spittling of his party bosses and certain members of his retinue. Vis-a-vis his military opponents he was greatly aided by the fact of being not only the Head of State but also, as Commander-in-Chief of the Wehrmacht, their military superior. Moreover, he had a genius for suddenly confronting his military collaborators with political and economic arguments which they could not immediately refute and of whose value, in any case, the statesman must perforce be considered the better judge.
-
-In the last analysis, however, it was Hitler's lust for power which caused him to usurp the role
-
-of the supreme war leader in addition to being the Head of State and political chief. A conversation I had with him in 1943 proved most revealing in this respect. It was one of the many times I tried to induce Hitler to accept a rationalized form of command - in other words, to resign the direction of military operations in favour of a fully responsible Chief of the General Staff. On the occasion in question Hitler hotly denied having any desire to 'play the war lord' - though he was undoubtedly attracted by the glory that went with it. On the contrary, he contended, the really decisive thing was that he should have the power and exclusive authority to impose his will. Power was all he believed in, and he regarded his will as the embodiment of that power. Apart from this it is not unreasonable to suppose that after the Polish campaign Hitler feared the achievements of the Generals might impair his own prestige in the eyes of the people, and that that was why he treated O.K.H. so dictatorially from the outset regarding the conduct of the campaign in the west.
-
-Such was the man - utterly unscrupulous, highly intelligent and possessed of an indomitable
-
-will - with whom Generals v. Brauchitsch and Haider had to contend. Not only was he acknowledged by the people as the Head of State: he also ranked as the most senior member
-
-of the Generals' own hierarchy.
-
-Indeed, it would have been an unequal battle even if Hitler's military opponents had been
-
-different men.
-
-The future Field-Marshal v. Brauchitsch was a very able officer. While not belonging to quite the same class as Baron v. Fritsch, Beck, v. Rundstedt, v. Bock and Ritter v. Leeb, he certainly ranked immediately after them and, as events have shown, also possessed all the requisite qualities of a Commander-in-Chief of the Army.
-
-As far as v. Brauchitsch's character is concerned, his standards of personal behaviour were quite unassailable. Neither would I dispute his will-power, even though it tended in my own
-
-experience to be manifested in a somewhat negative inflexibility rather than in creative resolve. He preferred to have decisions suggested to him rather than to take and impose them
-
-on his own initiative. Indeed, he frequently evaded decision in the hope of being spared a struggle to which he did not feel equal. In many cases Brauchitsch put up a sturdy fight for the
-
-interests of the army - one example being his efforts to have Colonel-General v. Fritsch publicly rehabilitated by Hitler, although he was well aware how unpopular this would make him with the latter. The Order of the Day he published on the death of Fritsch was a sign of his courage. At bottom, however, he was no fighter. He was never really the sort of man to get
-
-his way by sheer force of personality. Colonel-General Beck, for one, complained most bitterly to me about the half-hearted way in which Brauchitsch had represented O.K.H.'s point of view at the time of the Czech crisis and left him, Beck, completely in the lurch. When, on the other hand, people like Herr v. Hassel, the former ambassador in Rome, blame v. Brauchitsch for wavering over the question of whether to resort to violence against Hitler, they forget the essential difference between plotting from behind a desk when one is no longer in a position of responsibility (as was the case with Herr v. Hassel) and committing oneself, as leader of the army, to a coup d'etat which can imply civil war in peacetime and lead to the victory of one's external enemies in time of war.
-
-Field-Marshal v. Brauchitsch, a man of elegant appearance who bore all the hallmarks of the aristocrat, was never anything but dignified in his bearing. He was correct, courteous and even charming, although this charm did not always leave one with an impression of inner warmth. Just as he lacked the aggressiveness that commands an opponent's respect, or at least compels
-
-him to go warily, so did he fail to impress one as a forceful, productive personality. The general effect was one of coolness and reserve. He often appeared slightly inhibited, he was certainly rather sensitive. Qualities like these might well ensure the support of his immediate collaborators, who respected the 'gentleman' in him, but they were not enough to assure him of the full confidence of the troops which a man like Baron v. Fritsch had enjoyed, nor could they impress a man of Hitler's type. Admittedly General v. Seeckt had been far colder, even to the extent of being unapproachable. But in this case everyone had sensed the inner fire that inspired him and the iron will which made him a leader of men. Neither quality had fallen to the share of v. Brauchitsch, nor had he been blessed with that soldierly boldness which - apart from his great qualities as a commander - had won v. Fritsch the hearts of his troops.
-
-As far as v. Brauchitsch's relations with Hitler are concerned, I am convinced that he wore himself out mentally in his struggle with a man of such ruthless will. Disposition, origin and upbringing precluded him, in his encounters with Hitler, from resorting to the weapons which the latter, relying on his position as the Head of State, had not the least hesitation in using. Brauchitsch choked down his vexation and anger, particularly as he was no match for Hitler dialectically. And so it went on until a heart complaint finally compelled him to retire at a
-
-time most convenient to Hitler.
-
-It is only fair to add that from the very start Brauchitsch found himself in a much more unfavourable position vis-a-vis Hitler than his predecessor had done. To begin with, ever since Blomberg had relinquished his post as Commander-in-Chief of the Wehrmacht, Hitler had not only been Head of State but also the supreme military authority. The final blow dealt to the army by War Minister v. Blomberg had been to suggest to Hitler that he should assume command of the Wehrmacht - though, of course, it is open to debate whether Hitler would not have arrived at this solution anyway, with or without Blomberg's advice.
-
-Most of all, by the time v. Brauchitsch took office Hitler had acquired a very different attitude towards the army, and in particular towards O K.H., from the one he had had in former years. There is no doubt that when he originally came to power he had shown the military leaders a certain deference and respected their professional abilities. It was an attitude he retained until the last in the case of a man like Field-Marshal v. Rundstedt, despite having twice relieved
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-him of his command during the war.
-
-There were two points in particular which led Hitler to change his view of the army in the last
-
-years of peace.
-
-The first was the realization that under Colonel-General Baron v. Fritsch (as indeed under v. Brauchitsch) the army stuck firmly to its traditional notions of simplicity and chivalry and its
-
-soldierly conception of honour. While Hitler could certainly not reproach the army with disloyalty towards the State, it was quite obviously not going to throw its military principles overboard in favour of the National Socialist 'ideology'. It was equally clear, moreover, that this was the very thing about the army that made it all the more popular with wide circles of the people. Although Hitler had originally refused to listen to the calumnies against senior military figures served up to him from various party sources, the rabble-rousing campaign against the army, which was mainly the work of people like Goring, Himmler and Goebbels,
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-ultimately bore fruit. Even War Minister v. Blomberg helped to arouse Hitler's mistrust, however unintentionally, by going out of his way to stress his task of'marrying up the army with National Socialism'. The result of this agitation became evident when Goring, ostensibly as the 'senior officer of the Wehrmacht', addressed a group of high-ranking military leaders in spring 1939. In the course of his speech he quite brazenly upbraided the army, as distinct from the other two services, for maintaining an outlook that was steeped in tradition and did not fit in with the National-Socialist system. It was a speech which Colonel-General v. Brauchitsch, who was among those present, should on no account have tolerated.
-
-The second source of tension in Hitler's relationship with O.K.H. consisted in what he later used to describe - to quote the least insulting of his epithets - as 'the everlasting hesitation of
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-the Generals'.
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-The implication here was twofold. One thing he meant was O.K.H.'s very proper attempts to check the inordinate pace of rearmament, the steady acceleration of which was detrimental to
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-the quality of the troops. Secondly, Hitler maintained that all his successes in the field of foreign policy had been achieved against the opposition of the Generals, who had in each case been too cautious to act. The answer to this is that Colonel-General v. Fritsch - i.e. O.K.H. -did not raise any objections to Hitler's plans regarding either the introduction of conscription or the occupation of the Rhineland. Neither did General Beck object (v. Brauchitsch being absent from Berlin at the time) when Hitler decided to invade Austria. It was the War Minister, v. Blomberg, who first opposed general conscription, doing so for reasons of foreign policy which he presently discarded. It was also Blomberg who at the time of the march into the Rhineland advised Hitler - unbeknown to O.K.H. - to recall the German garrisons from the left bank of the river when the French ordered a partial mobilization. The fact that Hitler very nearly followed this advice, only being dissuaded from doing so by Foreign Minister v. Neurath's remark that this was not the time to lose one's nerve, may well have served - as a constant reminder of his own fit of weakness - to intensify Hitler's collective resentment against the Generals in future. And when O.K.H. repeatedly pointed out in the years of rearmament that the Army was still far from being ready for war, they did no more than their
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-duty in issuing these warnings. Officially Hitler always agreed with them, yet they may well
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-have increased his dislike of O.K.H.
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-The first time Hitler's foreign policy encountered formal opposition was at the conference with the Foreign Minister and three service chiefs on 5th November 1937, at which Hitler revealed his intentions towards Czechoslovakia. The fact that he clashed with the Foreign Minister, v. Neurath, as well as the War Minister, v. Blomberg, and the Commander-in-Chief of the Army, Baron v. Fritsch, was certainly one of his reasons for getting rid of these
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-admonishers at the earliest opportunity.
-
-It is widely believed today that the acceptance of Colonel-General Baron v. Fritsch's dismissal by Germany's Generals showed Hitler that he could treat O.K.H. just as he liked from then on. Whether this was the conclusion he drew at the time I should not care to say. If he did, he was
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-certainly mistaken about the Generals' motives. Far from being a sign of weakness, their attitude was due to ignorance of the true facts of the case, their inability as decent soldiers to
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-believe the
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-State leadership capable of such a base intrigue, and the practical impossibility in such circumstances of carrying out a coup d'etat.
-
-Finally, there can be no doubt that the party personalities I mentioned above were for ever harping on the theme of'the everlasting objections of the Generals' in conversations with
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-Hitler.
-
-It is quite certain, therefore, that v. Brauchitsch found himself in an extremely difficult position from the start as far as Hitler was concerned. On assuming office, moreover, he was ill-advised enough to make a number of concessions affecting personnel, including the quite unjustified dismissal of a number of generals with excellent records and the appointment of General Keitel's brother as head of the Heerespersonalamt.
-
-[I.e. as Military Secretary. Jr.]
-
-This was Brauchitsch's first fatal step.
-
-The devastating blow to O.K.H.'s standing vis-a-vis Hitler came at the time of the Sudeten crisis, when, thanks to the tractability of the Western Powers, Hitler proved himself right in face of all the army's misgivings and objections. Von Brauchitsch's action in sacrificing his Chief-of-Staff on this occasion naturally weakened his position even further in Hitler's eyes.
-
-The second O.K.H. personality who had to deal direct with Hitler after Beck's dismissal, Colonel-General Haider, was Field-Marshal v. Brauchitsch's equal as regards military qualifications. At all events, the two men worked together on terms of close confidence, and I am inclined to believe that when v. Brauchitsch agreed with Haider's recommendations he did
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-so from conviction. Like most of the officers who had begun their careers on the Bavarian General Staff, Haider had a remarkable grasp of every aspect of staff duties and was a tireless worker into the bargain. A saying of Moltke's, 'Genius is diligence', might well have been his
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-motto. Yet this man hardly glowed with the sacred fire that is said to inspire really great soldiers. While it speaks for his high sense of responsibility that he prepared for the Russian campaign by having an operations plan 'drawn up' by the Oberquartier- meister I, General Paulus, on the basis of studies made by the Chiefs-of-Staff of the Army Groups, the fact
-
-remains that the basic concept of a campaign plan should be born in the mind of the man who
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-has to direct that campaign.
-
-In his outward bearing Haider had not the elegance of v. Brauchitsch. He was incorruptibly objective in his utterances, and I myself have known him put a criticism to Hitler with the utmost frankness. On the same occasion one also saw how fervently he stood up for the interests of the fighting troops and how much he felt for them when wrong decisions were imposed on him. Unfortunately, objectivity and moderation alone were not the qualities which could impress Hitler, and any feeling of sympathy for the troops left him completely cold.
-
-What ultimately led to Haider's downfall, in my own opinion, was his divided allegiance. Even when he took over from Beck he was already a declared enemy of Hitler. According to Walter Gorlitz, in his book The German General Staff, Haider told v. Brauchitsch on taking office that his only reason for accepting the post was to fight against Hitler. He is credited with numerous plans for Hitler's overthrow, though it is hard to say what real prospects of
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-success these would have had in practice.
-
-On the other hand, Haider was Germany's and later Hitler's Chief-of-Staff, after the latter had
-
-taken over command of the army. Now, although it may be given to a politician to play the dual role of responsible adviser and conspirator, soldiers are not usually fitted for this kind of thing. Above all, it is traditionally unthinkable in Germany that a Chief of the General Staff should not be on terms of confidence with his Commander-in-Chief. Even if, in the light of Hitler's actions, it is accepted as admissible for a Chief-of-Staff to plan the overthrow of the Head of State and Commander-in- Chief in peacetime, the dual role of Chief-of-Staff and plotter in wartime inevitably created an insoluble dilemma. As Chief of the General Staff, it was Haider's duty to strive for the victory of the army he was jointly responsible for leading — in other words, to see that the military operations of his Commander-in-Chief were successful. In the second of his roles, however, he could not desire such a victory. There cannot be the least doubt that Haider, when confronted by this difficult choice, opted for his
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-military duty and did everything in his power to serve the German Army in its arduous struggle. At the same time his other role demanded that he should at all costs hold on to the position which, he hoped, would one day enable him to bring about Hitler's removal. To that end, however, he had to bow to the latter's military decisions, even if he did not agree with
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-them. Certainly his chief reason for remaining was that he thought this his best hope of protecting the army from the consequences of Hitler's military blunders. But in doing so he had to pay the price of executing orders to which his military convictions prevented him from agreeing. The conflict was bound to wear him down inwardly and finally lead to his downfall. One thing is certain: it was in the interest of what was at stake, and not of his own person, that Colonel-General Haider stuck it out for so long as Chief-of-Staff.
-
-I have endeavoured to give a pen portrait of the two personalities under whom, in autumn 1939, there culminated a process which can only be described as the eclipse of O.K.H. From what I have said it will be clear why neither of these officers, first-rate though they undoubtedly were, could be a match for a man like Hitler. At the same time, the fact that O.K.H.'s relegation to a purely executive organ was actually accomplished just after it had scored such brilliant victories in Poland was also due to the way in which Hitler and O.K.H. respectively approached the problem of how the war should henceforth be prosecuted.
-
-Up till and immediately after the outbreak of war, Germany had quite naturally prepared only for defence in the west. Who could have guessed that the Western Powers would let Poland
-
-down so ignominiously after giving her a guarantee? Their feeble push into the forward zone of the Siegfried Line along the Saar - which was immediately followed by a withdrawal on to French territory - could not be regarded as even the preparatory step for any large offensive
-
-later on.
-
-As long as such an offensive had been definitely expected, it had only been possible to wait and see whether we should succeed in halting it at the Siegfried Line or - in the event of its
-
-being launched towards the Ruhr through Luxembourg and Belgium - in delivering a counterblow once the necessary forces had been released from Poland. Now, however, an entirely new situation had been created by the inaction of the Western Powers. Even when allowance were made for French methods and the time the British took to act, the Western Powers could not be expected to take the offensive in the immediate future, now that Poland
-
-was beaten and the whole of the German Army available for the west. Poland's fate was sealed at the latest by 18th September, when the Battle of the Bzura was over and the Soviets had crossed her eastern frontier the previous day. This, then, should have been the deadline for an exchange of views between Hitler and the Commander-in-Chief of the Army on what
-
-action to take in the west. Yet, judging by the books Published to date (notably those of General v. Lossberg, at that time the senior operations officer at O.K.W., and Ministerialrat Greiner, the O.K.W. war diarist), no such discussions took place.
-
-It may be assumed that the reactions of Hitler and the O.K.H. leaders to the brilliant success in Poland and the unexpected inaction of the Western Powers were entirely different. Hitler undoubtedly interpreted the failure of the Anglo-French forces to take the offensive as a sign of weakness which would permit him to attack in the west himself. Furthermore, what had happened in Poland convinced him that henceforth there could be no task too big for the
-
-German Army to tackle.
-
-O.K.H., as will be seen, did not share this view by any means. On the other hand, it was permissible to infer from the attitude of the Western Powers that they had only entered the war to save their faces and that it must thus be possible to come to terms with them. Also, General Haider may have toyed with the idea of paving the way to such an understanding by removing Hitler, so that any German offensive in the west at that particular juncture would
-
-have been quite out of place.
-
-Whatever the answer, O.K.H. could be certain that until then Hitler had never contemplated, even after the fall of Poland, the idea of an offensive in the west. I was given infallible proof
-
-of this in the winter of 1939-40. On one of the many occasions when Hitler issued the preparatory code-word to put the final troop movements into the assembly areas in train, I was visited by the Chief-of-Staff of the Air Fleet supporting Army Group A, General Sperrle, who told me that his formations would be unable to take off from the waterlogged airfields. When I objected that the Luftwaffe had had months in which to construct solid runways, Sperrle assured me that Hitler had on an earlier occasion strictly forbidden any kind of work associated with a future offensive. In the same connexion it may be noted that the ammunition production had not attained the level necessary for an eventual offensive in the west.
-
-Obviously O.K.H. had misjudged Hitler's mentality in assuming that his viewpoint was immutable. Greiner tells us that during the second half of September, when the end was approaching in Poland, O.K.H. had had a paper on the further conduct of the war in the west prepared by General Heinrich v. Stulpnagel. The conclusion he reached was that the German Army would not be adequately equipped to break through the Maginot Line before 1942. He
-
-had not considered the possibility of going round through Belgium and Holland because the Reich Government had only recently assured these countries that their neutrality would be
-
-respected. In the light of this paper and Hitler's attitude hitherto, O.K.H. had evidently deduced that the policy in the west would continue to be defensive. At the end of the Polish campaign it accordingly ordered the army's defensive deployment in the west to be reinforced, manifestly without first obtaining Hitler's approval.
-
-In the completely new situation created by the total collapse of Poland such a policy was tantamount to resigning the initiative to Hitler regarding any future plans. It was certainly not the right way for the military leaders to safeguard their influence on the further course of the war, whatever form this might take. Apart from that, the conclusions reached by v. Stulpnagel could not be regarded as an answer to the problem of Germany's future war policy. If we were to wait till 1942 to penetrate the Maginot Line, the Western Powers would in all likelihood
-
-have caught up with our lead in arms production. In addition, it would never have been possible to develop a decisive operation from a successful penetration of the Maginot Line.
-
-
-
-
-
-Against the minimum of 100 divisions available on the enemy side since 1939, this was no way to achieve decisive results. Even if the enemy committed powerful forces for the actual defence of the Maginot Line, he would still have been left with an adequate strategic reserve of between forty and sixty divisions with which immediately to intercept even a wide breakthrough of the fortifications. Without any doubt the struggle would have petered out inconclusively into trench warfare. Such could not be the aim of German strategy.
-
-One cannot assume, of course, that Colonel-General v. Brauchitsch and his Chief-of-Staff thought they would achieve anything with a purely defensive strategy in the long run. Nonetheless they did pin their hopes initially on the possibility that the Western Powers would either still come to terms or take the offensive themselves in the end. Unfortunately they were not competent to take decisions in the former contingency, and their hope for an Allied offensive was, as will be shown, unrealistic. The fact of the matter was that from a military point of view the spring of 1940 was not only the earliest but also the latest occasion on which Germany could have hoped to fight a successful offensive in the west.
-
-According to Greiner, Hitler was not informed of the Stulpnagel memorandum, but must still have been aware that O.K.H. was going to cling to a defensive policy in the west. Instead of the timely discussion on the future course of the war that should have taken place at the latest
-
-by mid-September, he now confronted the Commander-in-Chief of the Army with the fait accompli of his decision of 27th September and the O.K.W. directive which followed on 9th October. Without any previous consultation with the Commander-in-Chief, he not only ordered offensive measures in the west but even decided on the timing and method to be adopted. All of these were matters which should on no account have been settled without the concurrence of the Commander-in-Chief. Hitler required the offensive to be launched at the earliest possible date - in any event before the autumn was out. Originally, according to General v. Lossberg, he fixed 15th October as the deadline. At the latest this would have meant disengaging the armour and aircraft in Poland at the end of the Battle of the Bzura. Furthermore, Hitler had laid down how the proposed offensive operation should be conducted, namely by by-passing the Maginot Line by way of Belgium and Holland.
-
-The Commander-in-Chief of the Army was to be left with merely the technical execution of an operation on which he had deliberately not been consulted and for which, in autumn 1939 at all events, he could certainly not guarantee any prospect of decisive success.
-
-For those who wonder how the Commander-in-Chief of the Army could possibly accept such a capitis diminutio of his position by acceding to Hitler's intentions, Greiner has probably given the right answer in his book, Die Oberste Wehrmachtfuhrung. He suggests that v. Brauchitsch, feeling that he was unlikely to achieve anything by immediate opposition, hoped that if he put up a show of goodwill at the beginning he would ultimately be able to talk Hitler
-
-out of his plan. Incidentally, the same view is advanced by General v. Lossberg on the strength of his own knowledge of Hitler and the latter's attitude at the time. Brauchitsch may also have been counting on the weather to make it impossible to carry out a late-autumn or winter offensive when the day came. If the decision could thus be delayed until the following spring, ways and means might be found of ending the war by a political compromise.
-
-If these really were the thoughts of the Commander-in-Chief and his Chief-of-Staff, they certainly proved right as far as the weather went.
-
-But the notion that Hitler could be 'talked out of such a fundamental decision, even by General v. Reichenau, to whom O.K.H. duly entrusted the task of doing this, was to my mind quite futile. The only hope would have been if O.K.H. had been able to offer a better solution
-
-of its own which would impress Hitler.
-
-As for there being any possibility of ending the war at that time by peaceful negotiation, none emerged. The peace offer made by Hitler to the Western Powers after the Polish campaign
-
-met with a flat rejection. Besides, Hitler would most probably not have accepted any reasonable settlement of the Polish question that would have made it possible to reach an understanding with the west. In any case, such a settlement was hardly conceivable now that Soviet Russia had swallowed the eastern half of Poland. Another very doubtful point is how Germany could have achieved an honourable peace without Hitler at that time. How was he to be overthrown ? If General Haider had any fresh plan to take military action against Berlin in October 1939, all I can say is that he would have found even less support among the troops
-
-than in autumn 1938.
-
-To begin with, then, Colonel-General v. Brauchitsch fell in with Hitler's intentions, and O.K.H. drafted 'Operation Order Yellow" in accordance with the policy Hitler had laid down. By 27th October, however, the Commander-in-Chief, backed by his Chief-of-Staff, was trying to persuade Hitler on military grounds to postpone the offensive till a more favourable time of
-
-year, by which he presumably meant spring 1940. According to Greiner, the same recommendation had been made to Hitler a few days previously by General v. Reichenau — probably at v. Brauchitsch's request. Though Hitler did not entirely reject the arguments put up to him, the date he had fixed as long ago as 22nd October for the start of the offensive-
-
-12th November - continued to hold good.
-
-On 5th November v. Brauchitsch made a fresh attempt to bring Hitler round. This was the day - assuming that the attack really did start on 12th November—on which the code-word had to be issued for the troops to begin moving into the assembly areas.
-
-Though this conversation took place in private, [Keitel was not called in until later, Author.'] details of it leaked out, and its upshot was what I believe to have been an irreparable breach between Hitler and the Generals. According to what Greiner gathered from Keitel, v. Brauchitsch read Hitler a memorandum comprising all his reasons for objecting to an offensive that autumn. Besides citing such incontrovertible facts as the state of the weather and the unpreparedness of the new formations, he advanced one argument which lashed Hitler
-
-into a white fury. It was a criticism of the performance of the fighting troops in the Polish campaign. Brauchitsch advanced the view that the infantry had not displayed the same aggressive spirit as in 1914 and that the discipline and staying power of combat units had not always been entirely up to standard as a result of the tempo of rearmament.
-
-Had v. Brauchitsch been talking to an audience of senior commanders they would have seen his point. Admittedly he was not justified in his charge that the infantry had not shown the same aggressiveness as in 1914 - at least as long as he expressed it in those generalized terms. This was due to a misunderstanding of the transformation through which the infantry attack had passed in the years between. The 1914 methods of attack were just not conceivable any longer. On the other hand, it could not be denied - and this occurs with untried troops at the beginning of every war - that individual units had occasionally shown signs of jitters, particularly when fighting in built-up areas. Furthermore, various higher formation headquarters had found it necessary to crack down on cases of indiscipline. These facts were
-
-not surprising if one considered that in the space of a very few years the Reichswehr of 100,000 men had been inflated to an army several millions strong, a large proportion of whom had only been with the colours since the general mobilization. But none of this - in the light of the victories in Poland - could be adequate reason for concluding that the army was unable to
-
-fight an offensive in the west.
-
-If only Colonel-General v. Brauchitsch had confined himself to emphasizing that the newly-formed divisions were still precluded by their lack of training and inner stability from going
-
-into action and that the offensive could not be carried out with the experienced divisions alone, he would have been on just as safe ground as he was with his objections to the season
-
-of the year. A generalization of the kind mentioned above, however, was the very last argument he should have advanced in any conversation with Hitler, who saw himself as the creator of that new Wehrmacht whose fighting qualities were now being called into question.
-
-Indeed, Hitler was right to the extent that if it had not been for his political audacity in pushing ahead with rearmament and for the part played by National Socialism in reviving the military spirit even among those social strata where it had been ostracized during the Weimar Republic, this Wehrmacht would never have attained the strength it possessed in 1939. What Hitler chose to overlook was that the achievements of the former Reichswehr were entirely on a par with his own. For had not the officers and non-commissioned officers who stemmed from the old Reichswehr devoted themselves so wholeheartedly to the preliminary planning and material preparations, Hitler would neither have come by the Wehrmacht he now regarded as his 'creation' nor could the victories in Poland have been won.
-
-By raising such objections in the presence of Hitler, a dictator whose self-esteem was already inflated, v. Brauchitsch attained precisely the opposite of what he intended. Disregarding all v. Brauchitsch's factual arguments, Hitler took umbrage at the criticism he had presumed to direct against his - Hitler's own - achievements and brusquely broke off the interview. He insisted on adhering to 12th November as the operative date.
-
-Fortunately the Weather God took a hand at this juncture and enforced a postponement - a process that was to repeat itself fifteen times before the end of January.
-
-Therefore, even though O.K.H. had ultimately proved its point vis-a-vis Hitler regarding the possible date of the offensive, the upshot was a crisis of leadership whose consequences were to become appallingly obvious in the further course of the war. Its immediate effect was that Hitler and Brauchitsch ceased to meet. The G.S.O. I of the Operations Branch, the future
-
-General Heusinger, told me on 18th January 1940 that Brauchitsch had not seen Hitler since 5th November - a quite impossible situation with things as they were. A further consequence of the breach of 5th November was the talk given by Hitler to the commanders and chiefs-of-staff of all army groups, armies, and corps in the Reich Chancellory on 23rd November. I need not go into this fully, as it has already become known through other publications. Its essential points were Hitler's emphasis on his irrevocable decision to take the offensive in the west at the earliest possible date and the doubts which he even then expressed as to how long the Reich would remain free from an attack in the rear in the east.
-
-As far as his factual explanation of the fundamental need to take the offensive in the west went, his remarks were well-considered and, I thought, convincing, except for the question of
-
-timing. Otherwise his speech constituted a massive attack not only on O.K.H., but on the Generals of the army as a whole, whom he accused of constantly obstructing his boldness and enterprise. In this respect it was the most biased speech I ever heard Hitler make. The Commander-in-Chief of the Army did the only possible thing and tendered his resignation. This Hitler refused to accept, though that was obviously no solution to the crisis. O.K.H. was still in the unhappy position of having to prepare for an offensive of which it did not approve. The Commander-in-Chief was still repudiated as an adviser on overall war policy and relegated to the status of a purely executive general.
-
-Any inquiry into the reasons for such a development in the relationship between the Head of State and the army leaders will show the decisive factor to have been Hitler's thirst for power and his ever-growing self-conceit, both of which were augmented by the mischief-making of the Gorings and Himmlers. Yet it must also be stated that O.K.H. made no small contribution towards its own elimination at Hitler's hands by the way it handled the problem of how the war should be prosecuted after the Polish campaign.
-
-By deciding to remain on the defensive in the west, O.K.H. resigned the initiative to Hitler — although it should unquestionably have been O.K.H.'s business in the first instance to recommend to the Head of State what steps were to be taken after the army, effectively supported by the Luftwaffe, had defeated Poland so swiftly.
-
-O.K.H. was undoubtedly right to take the view in autumn 1939 that the time of year and the immaturity of the new formations made an offensive inadvisable at that stage. But neither this simple statement of fact nor the arrangements made to reinforce the defensive dispositions in the west provided an adequate answer to the problem of how to bring the war to a satisfactory conclusion in the military sense. This question had to be answered by O.K.H. if it were to
-
-assert its influence on overall strategy.
-
-The Commander-in-Chief of the Army certainly had every right to recommend the course of political settlement with the Western Powers. But what was to happen if no prospect of such a settlement emerged ? With a man of Hitler's type it was particularly necessary - even if an offensive in the west did not seem expedient at that moment - that O.K.H. should indicate there and then the military way to end the war.
-
-Consequently there were three questions to consider once the Polish campaign was over :
-
-First, could the war be brought to a favourable conclusion by sticking to defensive tactics, or could this object be achieved only by a victorious German offensive in the west?
-
-Secondly, if such an offensive proved necessary, when could it be launched with any prospect
-
-of decisive success?
-
-Thirdly, how must it be conducted to ensure an effective victory on the Continent?
-
-As far as the first question went, there were two possibilities.
-
-One was that the Reich would reach a settlement with the Western Powers after the fall of Poland. O.K.H. was bound to regard this sceptically from the outset, partly because of the British national character, which made it fairly improbable that Great Britain would come to terms, and partly because Hitler was unlikely, once Poland had been defeated, to be prepared for a reasonable settlement of the German-Polish frontier question in the sense of a compromise. After all, in order to reach agreement with the Western Powers he had to reestablish Poland, and this he could not do after having made over her eastern part to the Soviets. That much was an accomplished fact which not even another German Government attaining power after Hitler's overthrow could have removed.
-
-The other possibility of successfully ending the war by remaining on the defensive might occur if the Western Powers should decide, after all, to take the offensive. This would offer
-
-the Germans the prospect of attaining a victorious decision in the west in the course of delivering a counterblow. The same idea emerges in the book Gesprdche mit Haider, where
-
-Haider is quoted as speaking of an 'operation on the rebound'. According to General Heusinger, however, O.K.H. only began to consider the project much later - i.e. some time in December - and not at the turn of September and October, the phase so vital for its own
-
-position.
-
-Undoubtedly there was something very attractive about fighting an operation on the rebound, for the idea of saddling the enemy with the burden of an offensive against the Siegfried Line or the odium of violating the neutrality of Luxembourg, Belgium, and perhaps even Holland was inevitably an extremely tempting one. But was this not really a case of wishful thinking, at least for the foreseeable future? Could it be supposed that the Western Powers - who had not dared to launch an offensive while the mass of the German forces were tied down in Poland — would attack now that the Wehrmacht faced them in full strength? I do not believe -and neither did I at the time-that any basis existed for a German 'rebound' operation.
-
-This view has found clear corroboration in a 'war plan' drafted at the time on the orders of the Allied Commander-in-Chief, General Gamelin. The main train of thought reflected in this document, which later fell into the hands of German troops, was as follows:
-
-Before spring 1941 the Allied forces would not have amassed the material strength to take the offensive against Germany in the west. To attain a numerical superiority of ground forces,
-
-fresh allies would have to be won.
-
-The British were not prepared to participate in a large offensive before 1941, except in the event of a partial collapse of Germany. (This remark, which obviously implies a hope of revolution, shows what we should have had to expect from a coup d'etat.)
-
-The principal task of the Western Powers in 1940 had to be to safe- guard the integrity of French territory and, of course, to hasten to the assistance of Belgium and Holland if they were attacked. In addition, every effort would be made to create further theatres of attrition
-
-for Germany. Those named were the Nordic States and - if Italy remained neutral — the Balkans. Naturally the attempts to bring in Belgium and Holland on the side of the Allies
-
-would continue.
-
-Finally, endeavours would be made to deprive the Reich of its vital imports, both by the already-mentioned creation of new theatres of war and by tightening the blockade through
-
-pressure on the neutral Powers.
-
-From this 'war plan' it becomes palpably clear that the Western Powers intended to wage a war of attrition - in as many different theatres as possible - until such time as they had attained the clear preponderance which would allow them - though in no case before 1941 - to
-
-launch an offensive in the west.
-
-Although O.K.H. could not at the time in question know of this Allied war plan, it was only too likely that the Western Powers would fight a long-term war in the sense indicated.
-
-In view of the bloody prospects an assault on the Siegfried Line would entail, the hope that the French and British peoples would tire of the 'phoney war' was hardly a realistic basis for any O.K.H. decisions. In no event could Germany wait until the enemy had built up his armaments (and in the light of Roosevelt's attitude, allowance must be made here for American aid) to a point where he was stronger on land and in the air as well as at sea. Least of all could she afford to do so with the Soviet Union at her back. The latter, having by this time obtained all it could hope for from Hitler, had hardly any more vital interests in common with the Reich, and the stronger the Western Powers grew, the more precarious the position of
-
-Germany would become.
-
-As far as the military leaders were concerned, therefore, the situation after the Polish campaign was this: The answer to the first of the above three questions - i.e. whether the war could be brought to a successful conclusion by remaining on the defensive in the west — must be in the negative, unless the political leadership could still manage to reach a compromise with the Western Powers. The right of the Commander-in-Chief of the Army to advise Hitler to resort to compromise is beyond all doubt, if only because of the military risk a prolongation of the war would entail. Such action would, of course, involve accepting a temporary delay on the Western Front. Irrespective of that, however, it was both the duty and the right of the army leaders to give Hitler military guidance. They had to tell him what military steps were to be taken if no political solution of the conflict could be reached!
-
-In other words, it was up to O.K.H. to present Hitler with an alternative military plan if it proved impossible to achieve the political compromise with the Western Powers for which
-
-even Hitler evidently hoped in the first instance. One must not assume that Hitler would continue as hitherto to reject an offensive in the west once Poland was beaten, nor must one wait until he took a military decision on his own account.
-
-No military recommendation on the prosecution of the war could consist in maintaining the defensive in the west unless it were thought that Britain could be brought to her knees by aerial and submarine warfare - an assumption for which no real foundation existed.
-
-On the military side, therefore, assuming that a political understanding proved unattainable, the only recommendation one could make was that the war in the west be conducted
-
-offensively. When such a recommendation was submitted, moreover, it was essential that O.K.H. should assure itself of the initiative in deciding on the timing and method.
-
-As far as timing went, O.K.H. was in agreement with all the commanders on the Western Front that no decisive success could be gained from launching the offensive in the late autumn
-
-or winter.
-
-The principal reason for this was the season. In autumn and winter the Wehrmacht would be prevented by weather conditions from playing its two big trumps, armour and Luftwaffe, to their fullest effect. In addition, the short period of daylight at this time of the year renders it virtually impossible to win even a tactical decision in the space of a single day, thereby
-
-cutting down the speed of operations.
-
-The other reason was the still inadequate standard of training of all the new formations set up on the outbreak of war. The only troops really fit to go into action in autumn 1939 were the active divisions. None of the others had had enough experience of handling weapons or of operating as integral parts of a larger formation: nor did they as yet possess the requisite degree of inner stability. Furthermore, the refitting of the armoured formations following the Polish campaign was still not complete. If it were intended to start an offensive in the west before the end of autumn 1939, the mechanized divisions in Poland should have been released at an earlier date, but that was a point which had not occurred to Hitler. Over and above all this, serious deficiencies existed in the Luftwaffe.
-
-Thus it was clear that an offensive in the west could not be justified before spring 1940. That this afforded time to seek a political solution of the conflict was welcome from the point of view of the military, little as it counted with Hitler after the rejection of his peace offer at the
-
-beginning of October.
-
-Since the problem of method, namely the strategic preparation of an offensive in the west, is the subject of the next chapter, there is no point in going into it any further here.
-
-Only this may be said in advance. The offensive plan imposed by Hitler on 9th October was a half-measure. Instead of being aimed at a complete decision on the Continent, it was - initially at any rate - concerned only with an interim objective.
-
-This was the point that provided O.K.H. with its opportunity to bring home to Hitler that his military advisers had something better to offer than a partial solution not worthy of the stake involved. Always providing, of course, that O.K.H. itself believed that by launching an offensive it could achieve a complete decision on the Continent.
-
-It is still not known what prompted the O.K.H. leaders to remain so non-committal on future policy in the west during those vital weeks after the Polish campaign that the military decision was actually placed in Hitler's hands. They may have been moved by a very proper desire to make him seek a political compromise. They may also have rightly shunned a repetition of the violation of Belgian neutrality and all that went with it. At the time, however, an outsider was left with the impression that the O.K.H. leaders considered it doubtful, to say the least, whether any German offensive would be decisively successful.
-
-Be that as it may, O.K.H. left the initiative to Hitler to make the military decision. By further bowing to Hitler's will and putting out the orders for an operation with which its leaders
-
-privately disagreed, it resigned for all practical purposes as the authority responsible for land
-
-warfare.
-
-When, shortly afterwards, the operational proposals put up by H.Q. Army Group A gave O.K.H. a chance to regain its lost position, it let the opportunity slip through its fingers.
-
-By the time the western offensive, thanks to these same proposals, had achieved a degree of success exceeding even Hitler's original expectations, the latter regarded O.K.H. as a body which he could bypass even in matters of grand tactics.
-
-Hitler had taken over the functions which Schlieffen believed could at best be performed in our age by a triumvirate of king, statesman, and war lord. Now he had also usurped the role of the war lord. But had the 'drop of Samuel's anointing oil' which Schlieffen considered indispensable for at least one of the triumvirs really fallen on his head?
-
-5
-
-THE OPERATION PLAN CONTROVERSY
-
-NOT UNTIL after the war did anything become generally known about the background of the plan which replaced O.K.H.'s original 'Operation Order Yellow' of 19th and 29th October 1939 as the basis of our offensive in the west - the plan by which so swift and decisive a victory was scored over the Anglo-French armies and the forces of Belgium and Holland. The first to disclose how this 'new' plan emerged was probably Liddell Hart, who linked my name with it as a result of statements made to him by Field-Marshal v. Rundstedt and General Blumentritt, our chief of operations during the period in question.
-
-[ See The Other Side of the Hill, Cassell, 1948. Tr.]
-
-Since I may be considered to have been the prime mover in this matter, it seems right that I should now make my own attempt, on the basis of the records at my disposal, to show how the plan came into being, especially as it has since acquired a certain significance. After all, the ideas behind the plan were mine, just as it was I who drafted all the memoranda to O.K.H. by which we sought to have the operation planned on the only lines conducive, in our opinion, to decisive success in the west. Finally it was I who - when already replaced as Chief-of-Staff
-
-of the Army Group - had an opportunity to expound to Hitler in person the ideas that our headquarters had so long failed to get accepted by O.K.H. Only a few days after this, O.K.H. put out a new Operation Order based on our recommendations!
-
-At the same time I would stress that my commander, Colonel-General v. Rundstedt, and my collaborators Blumentritt and Tresckow, agreed with my view throughout and that v. Rundstedt backed our recommendations to the full with his own signature. Without his sanction we could never have kept up our attempts to change O.K.H.'s mind by these repeated
-
-memoranda.
-
-The war historian or officer reading military history might well find it worth his while to study this intellectual tussle over an operation plan in its entirety. For the purpose of this
-
-book, however, I shall confine myself initially to outlining the O.K.H.'s plan and to explaining what I could not help regarding as the shortcomings of its (or, more precisely, of Hitler's) strategic conception. Next, by way of contrast to the O.K.H. plan, I propose to deal with the essential arguments on which the Army Group based its strategic considerations. Last of all, I
-
-shall briefly show how, after a long series of frustrations, the original operation plan was finally amended - undoubtedly on Hitler's instructions - to coincide with the views of our own
-
-headquarters.
-
-THE O.K.H. (OR HITLER'S) PLAN
-
-If asked to define, in the light of the Operation Orders issued by O.K.H., the basic strategy which that body (and Hitler) planned to adopt in the west, I would put it this way:
-
-O.K.H. proposed - in accordance with Hitler's directive of 9th October - to send a strong right wing of the German armies through Holland into northern Belgium to defeat the Anglo-French forces it expected to encounter there together with the Belgians and Dutch. In other words, the decision was primarily to be sought by a strong thrust on the right wing. This assault wing consisted of Army Detachment N (an army detachment - Armee-Abteilung -being a small army of two or three army corps) and Army Group B (Colonel-General v. Bock) and was to assemble in the area of the Lower Rhine and the northern Eifel. Army Group B had three armies under command. Altogether the northern wing embraced thirty infantry divisions and the bulk of the mobile formations (nine armoured and four infantry divisions). Since the total number of German divisions available on the Western Front was 102, these therefore constituted almost half our aggregate strength.
-
-While Army Detachment N's task was the elimination of Holland, the three armies in the Army Group were to attack through northern Belgium, passing north and south of Liege. The strong tank forces were intended to play a decisive role here in an attempt to overrun the
-
-enemy.
-
-On 29th October this first Operation Order was amended to leave Holland out of the picture in the initial stages. This may have been due to representations from O.K.H.
-
-Henceforth Army Group B was to attack round both sides of Liege with two armies up (Fourth and Sixth) and two (Eighteenth and Second) following through. Later, however, Holland was again included in the operation, her elimination being this time entrusted to
-
-Eighteenth Army.
-
-The decisive thrust of Army Group B was to be covered on the southern flank by Army Group A. The latter, consisting of two armies (Twelfth and Sixteenth) and a total of twenty-two divisions (none of them with any mechanized troops) was to advance through southern Belgium and Luxembourg, after assembling in the southern Eifel and the Hunsriick. Twelfth Army was to follow through on the left of Army Group B, establishing a system of echeloned defence as it went in order to cover the further advance of Army Group B against enemy
-
-incursions.
-
-Sixteenth Army was to wheel south after crossing Luxembourg in order to protect the deep flank of the whole operation by establishing a defensive position running closely along the north of the Maginot Line's westward projection between the Saar and the Meuse east of
-
-Sedan.
-
-Army Group C was left with two armies and eighteen infantry divisions to hold the Siegfried Line from the Luxembourg frontier down to Switzerland. Seventeen infantry and two mobile
-
-divisions were available as army reserves.
-
-The aim of this operation was defined in Paragraph 1 of the O.K.H. Operation Order of 19th October under the heading 'General Intention' (in pursuance of Hitler's O.K.W. Directive of
-
-9th October). It was
-
-'To defeat the largest possible elements of the French and Allied Annies and simultaneously to gain as much territory as possible in Holland, Belgium and Northern France as a basis for successful air and sea operations against Britain and as a broad
-
-protective zone for the Ruhr.'
-
-Paragraph 2 of the Operation Order indicated that the first object of the two army groups' assault, which was to be co-ordinated under the Commander-in-Chief of the Army, v.
-
-Brauchitsch, must be:
-
-'While eliminating the Dutch armed forces, to defeat as many elements of the Belgian Army as possible in the vicinity of the frontier fortifications and, by rapidly concentrating powerful mechanised forces, to create a basis for the immediate prosecution of the attack with a strong right wing and the swift occupation of the
-
-Belgian coastline.'
-
-In the afore-mentioned amendment to the Operation Order issued on 29th October, O.K.H. somewhat extended the aim of Army Group B's operation by re-wording the 'General Intention'. Henceforth this was to consist in:
-
-'Engaging and destroying the largest possible elements of the French Army in Northern France and Belgium, thereby creating favourable conditions for the prosecution of the war against Britain and France by land and air.'
-
-In the paragraph headed 'Order of Battle and Tasks', O.K.H. set the Army Group the aim of:
-
-'Destroying the Allied forces north of the Somme and driving through to the Channel
-
-coast.'
-
-The covering role of Army Group A, which continued to be mainly defensive, was broadened to the extent that its right-hand army (Twelfth) had now to be pushed over the Meuse opposite and south of Fumay and then to head through France's fortified frontier zone in the general
-
-direction of Laon.
-
-The operational intention of both Operation Orders might best be expressed by saying that the Anglo-French elements we expected to meet in Belgium were to be floored by a (powerful) straight right while our (weaker) left fist covered up. The territorial objective was the Channel coastline. What would follow this first punch we were not told.
-
-OBJECTIONS
-
-Significantly enough, my first reaction to the plan laid down in these two Operation Orders was emotional rather than intellectual. The strategic intentions of O.K.H. struck me as being
-
-essentially an imitation of the famous SchliefFen Plan of 1914.1 found it humiliating, to say the least, that our generation could do nothing better than repeat an old recipe, even when this was the product of a man like Schlieffen. What could possibly be achieved by turning up a
-
-war plan our opponents had already rehearsed with us once before and against whose repetition they were bound to have taken full precautions? For it was obvious to any military mind that the Germans would be even less keen —or able—to assault the Maginot Line of 1939 than they had the Verdun-Toul—Nancy-Epinal fortifications of 1914.
-
-By this first rather emotional reaction of mine, however, I did O.K.H. an injustice. One reason
-
-was that the plan had come from Hitler; another was that it was actually far from being a repetition of Schlieffen's. The widespread view that this was so is correct in two respects only - i.e. it was intended in 1939, as in 1914, to place the main weight of the German offensive on the northern wing; and both plans also involved marching through Belgium. Otherwise the plans of 1914 and 1939 were widely divergent.
-
-In the first place, the situations were entirely different. In 1914 it had still been possible — as Schlieffen did — to count on strategic surprise. Even if this did not include the march through Belgium, it certainly applied to the massing of Germany's forces on the extreme northern wing. In 1939 the corresponding intention on Hitler's part could not be concealed from the
-
-enemy.
-
-Furthermore, there was reason in 1914 for hoping — as Schlieffen did — that the French would do us the good turn of launching a premature offensive into Lorraine. In 1939 no such
-
-development could be expected. The enemy would immediately throw in strong forces to meet our drive through Belgium and Holland, and these — in contrast to 1914 — would have to be tackled mainly head-on. Instead of taking the initiative prematurely in the centre of the front, the French were likely to strike a powerful back-hand blow at the southern flank of our main forces during their advance through Belgium. In other words, the Schlieffen Plan just
-
-could not be repeated.
-
-Apart from this, I soon realized that neither O.K.H. nor Hitler had any intention of copying the Schlieffen Plan in the full magnitude of its conception. Schlieffen had drafted his plan with an eye to the utter and final defeat of the entire French Army. His aim was to outflank the enemy straight off in the north with a wide right hook and then, having cleared the whole of northern France, to drive down to the west of Paris and push the entire enemy army back against a front extending from Metz through the Vosges to the Swiss frontier, compelling it in the end to capitulate. To achieve this he had accepted the risk of initial reverses in Alsace, at the same time hoping that the enemy, by unleashing an offensive in Lorraine, would do their own bit towards making the Germans' big outflanking operation a complete success.
-
-The 1939 operation plan, on the other hand, contained no clear-cut intention of fighting the campaign to a victorious conclusion. Its object was, quite clearly, partial victory (defeat of the Allied forces in northern Belgium) and territorial gains (possession of the Channel coast as a
-
-basis for future operations).
-
-It may be that when the then Colonel-General v. Brauchitsch and his Chief-of-Staff were drafting the 1939 Operation Order they were reminded of what Moltke had written in his introduction to the General Staffs treatise on the War of 1870-71:
-
-'No operation plan extends with any certainty beyond the first encounter with the main body of the enemy. It is only the layman who, as a campaign develops, thinks he sees the original plan being systematically fulfilled in every detail to its preconceived conclusion.'
-
-If this thesis did inspire O.K.H.'s planning, it meant that the latter reserved the right to decide
-
-whether, and by what means, the offensive should be prosecuted once the first objectives -partial victory on the right wing in northern Belgium and the occupation of the Channel coast
-
-- were attained.
-
-Judging by what I had heard when the Operation Order was handed to me in Zossen, however, I could only suppose that O.K.H. regarded the chances of achieving decisive results in the French theatre of war as extremely slender, if not non-existent. This impression was later reinforced during the many visits paid to our headquarters by the Commander-in-Chief of the Army and his Chief-of-Staff, neither of whom ever gave any serious attention to our repeated insistence on the need to strive after total victory. Similarly I doubt if Hitler himself then believed in the possibility of completely eliminating France in the course of the projected operation. Indeed, his primary concern was probably the recollection that when our offensive
-
-miscarried in 1914 we had found ourselves lacking even the necessary basis for submarine warfare against Britain. That was why he now attached such importance to winning that basis - in other words, to possession of the Channel coast.
-
-Now it was perfectly clear that an operation aiming at the total defeat of France could no longer be executed at one stroke, as Schlieffen had planned to do. As has been explained above, the requisite conditions no longer obtained. Yet if it were proposed - once the partial victory envisaged by O.K.H, had been won - to proceed with a view to eliminating France entirely as an opponent, the present operation had at least to be related to this ultimate goal! In the first place, it had to bring about the total destruction of the enemy's northern wing, in order to establish decisive superiority for the second move, the aim of which would be to annihilate the remaining western forces in France.
-
-In the second place, it had simultaneously to create a favourable strategic situation from
-
-which to launch this subsequent thrust.
-
-To my mind, the operation as drafted offered no guarantee of fulfilling these two basic
-
-requirements.
-
-When the German assault formation, Army Group B, which had a total strength of forty-three divisions, arrived in Belgium, it would run into twenty Belgian and - if Holland were brought in - a further ten Dutch divisions. However inferior these troops might be to the Germans in the qualitative sense, their prospects of resistance were favoured by strong fortifications (on both sides of Liege and along the Albert Canal) and natural obstacles (in Belgium the Albert Canal running down to the fortress of Antwerp, and the fortified line of the Meuse pivoted on Namur; in Holland the numerous waterways). Within a very few days, moreover, these forces would be joined by the Anglo-French armies (including all their tank and motorized divisions) already assembled on the Franco-Belgian frontier to meet a German invasion.
-
-Thus the German assault wing would have no opportunity, as in 1914, of achieving strategic surprise by a grand-scale outflanking movement. With the arrival of the Anglo-French forces it would have to fight an opponent as strong as itself— and attack him more or less frontally
-
-at that. The success of this first blow must thus be achieved by tactical means, since there was no provision for it in the strategic dispositions for the offensive.
-
-Were the enemy to show any skill in his leadership, he might conceivably succeed in evading an outright defeat in Belgium. Even if he did not manage to hold the fortified line Antwerp-Liege-Meuse (or Semois), he must still be expected to get back behind the lower Somme in reasonable order. Once there, he could draw on his powerful reserves to build up a new front. By this time the German offensive would be losing momentum, and Army Group A would be
-
-unable, either by the disposition or the strength of its forces, to prevent the enemy from forming a defence front from the end of the Maginot Line east of Sedan to the lower Somme. In this way the German Anny would land in a situation similar to that of 1914 at the end ot the autumn battles. Its only advantage would be possession of a broader coastal basis along the Channel. Consequently we should neither have achieved the destruction of the enemy forces
-
-in Belgium - which was essential if we were to have adequate superiority in the decisive phase - nor should we have been in a favourable strategic situation for these final battles. The operation planned by O.K.H. would bring partial victory, nothing more.
-
-As it turned out, the enemy was overrun wholesale in Belgium in 1940, thanks to the skilful handling of Army Group B, with the result that the Belgian and Dutch armies were forced to capitulate. But however great our trust in German leadership and the striking power of our armour, these were not successes that could be counted upon in advance. Had the other side been better led, the story might have been a very different one.
-
-The utter debacle suffered by the enemy in northern Belgium was almost certainly due to the fact that, as a result of the changes later made to the operation plan, the tank units of Army Group A were able to cut straight through his lines of communication and push him away
-
-from the Somme.
-
-Finally, there was one other thing that the O.K.H. plan failed to consider — the scope for manoeuvre open to a bold and resolute enemy commander. One had no right to assume that
-
-such leadership would be lacking, particularly in view of the reputation General Gamelin enjoyed with us. He had certainly made an excellent impression on General Beck when the
-
-latter visited him before the war.
-
-A bold enemy commander was in a position to parry the German drive expected through Belgium and simultaneously to mount a large-scale counter-offensive against the southern flank of the German northern wing. Even when the forces earmarked for support of the Belgians and Dutch had been thrown into Belgium, fifty or sixty divisions for such a counterblow could certainly be found in the Maginot Line, which could easily spare them. The further forward Army Group B advanced in the direction of the English Channel and Somme estuary, the better the enemy command could effect its thrust into the deep flank of the Germans' northern wing. Whether Army Group A, with its twenty-two divisions, would be strong enough to parry this was by no means certain. Whatever the answer, any developments on these lines would hardly be strategically conducive to a final solution in the western
-
-theatre.
-
-ARMY GROUP A'S PLAN
-
-The above objections, sketched out as they occurred to me when studying the O.K.H. Operation Orders, formed the basis of the proposals we set forth in a series of memoranda
-
-aimed at bringing the army leaders round to our own point of view. Since these proposals were inevitably somewhat repetitive, I shall merely summarize them here, at the same time indicating where they contrasted with the operational intentions of O.K.H. :
-
-1. The aim of the western offensive, I submitted, must be to force an issue by land. To strive after the limited objectives set out in the O.K.H. Operation Orders justified neither the
-
-political hazards (violation of three countries' neutrality) nor the military stakes involved. The offensive capacity of the German Army was our trump card on the Continent, and to fritter it away on half-measures was inadmissible - if only on account of the Soviet Union.
-
-2. The main weight of our attack must lie with Army Group A, not B. The proposed thrust by Army Group B would hit the waiting enemy more or less frontally; even if it achieved some
-
-initial success, it might well peter out on the Somme.
-
-The real chance lay with Army Group A, and consisted in launching a surprise attack through the Ardennes — where the enemy would certainly not be expecting any armour because of the terrain - towards the lower Somme in order to cut off the enemy forces thrown into Belgium forward of that river. This was the only possible means of destroying the enemy's entire northern wing in Belgium preparatory to winning a final victory in France.
-
-3. Besides offering the main chance, Army Group A also harboured the main danger for the
-
-German offensive.
-
-If the enemy acted rightly, he would seek to elude an unfavourable contest in Belgium, possibly by withdrawing behind the Somme. Concurrently he would deploy all his available forces for a grand counter-offensive against our southern flank with the aim of surrounding the main body of the German Army in Belgium or forward of the Lower Rhine. Disinclined though one might be to credit the French High Command with such audacity, and certain though France's allies were to oppose so bold a solution, the possibility could still not be
-
-discounted.
-
-If our offensive through northern Belgium were to halt on the lower Somme, the enemy would at least succeed in forming an unbroken defensive front with the reserves he had in hand. This front could start at the north-west end of the Maginot Line east of Sedan and, taking advantage of the Aisne and the Somme, run right down to the Channel.
-
-To prevent this it was vital to smash any enemy concentrations on our southern flank, either
-
-on both sides of the Meuse or between the Meuse and Oise, before they could reach completion. The cohesion of the enemy front in this area must be destroyed from the outset with a view to turning the flank of the Maginot Line later on.
-
-4. Army Group A, with which the operation's main effort must lie (even if initially, for reasons of space, more divisions could be accommodated with Army Group B), must be given three
-
-armies instead of two.
-
-One army would drive through southern Belgium and across the Meuse as already envisaged, but then it must thrust towards the lower Somme to take the enemy forces facing Army Group
-
-B in the rear.
-
-Another army must be committed in a south-westerly direction with the task of taking offensive action against and smashing any enemy forces concentrating west of the Meuse to
-
-counter-attack against our southern flank.
-
-A third army must, as envisaged, cover the deep flank of the overall operation from north of the Maginot Line between Sierk and Mouzon (east of Sedan).
-
-In pursuance of this transfer of the main weight of the operation from Army Group B to Army
-
-Group A we duly called for:
-
-(i) one more army (which, even if it could not be phased in until our offensive was under way,
-
-must be available from the very start) and
-
-(ii) strong armoured forces.
-
-These, very much condensed, are the main trends of thought constantly recurring in our Army
-
-Group's manifold memoranda to O.K.H.
-
-THE STRUGGLE FOR ARMY GROUP A'S PLAN
-
-Naturally I did not immediately find myself presented with a cut-and-dried operation plan in
-
-that October of 1939. Hard work and endeavour must always confront the ordinary mortal before he attains his goal. No ready-made works of art can spring from his brain as did Pallas
-
-Athene from the head of Zeus.
-
-Nevertheless, the basic principles of the 'new' plan were contained in the Army Group's very first proposals to O.K.H. (dated 31st October 1939) on operational policy in the event of a
-
-German offensive.
-
-To be more precise, there were two documents involved. The first was a letter from the Army Group Commander to the Commander-in-Chief dealing with the fundamental problem of carrying out a German offensive in the situation at that particular time.
-
-Von Rundstedt began by emphasizing that the offensive planned in accordance with the Operation Orders of 19th and 29th October could not have a decisive effect on the war. The strength of Germany's forces in relation to the enemy's offered no basis for an all-out victory,
-
-nor did the operation, being entirely frontal in character, afford any prospect of turning the enemy's flank and taking him in the rear. The probable upshot would be a frontal battle on the Somme. At the same time v. Rundstedt pointed to the difficulties opposing the effective use of tanks and aircraft - our ace cards - in autumn and winter.
-
-Nevertheless, an offensive must still be launched if its success would create the prerequisites for our fleet and air force to go into action against Britain. The experience of World War I had shown that it was not enough to possess only a part of the Channel coast: we must control the whole North French coastline as far as the Atlantic for this purpose.
-
-To expend the offensive capacity of the German Army on a limited victory was, with the Soviet Union at our backs, indefensible. This offensive capacity was the decisive factor on the Continent, and the friendship of the Soviet Union would be ensured only as long as we had an
-
-army capable of offensive action.
-
-For the time being our army's offensive capacity was invested solely in the regular divisions, and would remain so until the new formations had acquired the necessary degree of training and stability. A crucial offensive could not, however, be mounted with regular divisions
-
-alone.
-
-It might be that the Western Powers could be made to take the offensive as the result of pressure by the Luftwaffe on Britain, though even if Britain were to demand such action it was not at all certain whether French fighting morale would stand up to the blood-letting this must entail. From our point of view it was desirable that the enemy should himself be saddled with the burden of attacking fortified positions and with the odium of violating Belgian (and Dutch) neutrality. At the same time one could not play a waiting game indefinitely and give Britain time to fill in the gaps in her armaments and aircraft production.
-
-From the military point of view the war against Britain could be won only at sea and in the air. It could only be lost on the mainland if the army's offensive capacity were wasted on
-
-indecisive battles.
-
-Von Rundstedt's letter thus amounted to a warning not to launch any German offensive prematurely —i.e. in the autumn or winter months. In this respect Army Group A and O.K.H. saw eye to eye. They did not agree, however, on the method to be adopted, and the Army Group Commander went on record against conducting the operations—for such was the implication of the O.K.H. Operation Orders - in a way which did not assure us of conclusive
-
-success.
-
-Army Group As second communication to O.K.H., dated 31st October and now put in the form of a staff letter, supplemented v. Rundstedt's appreciation by making definite
-
-recommendations on how we felt a German offensive should be conducted. This document, which already contained the essentials of the 'new' plan, stressed the necessity of:
-
-(a) shifting the main weight of the operation as a whole on to the southern wing;
-
-(b) committing strong motorized forces in such a manner that they could thrust up from the south into the rear of the Allied troops in northern Belgium;
-
-(c) following up with an additional army responsible for warding off, by offensive action, any large-scale counter-attack against our southern flank.
-
-One could hardly have expected this letter to evoke any response by 3rd November, the date on which we were visited by the Commander-in-Chief of the Army and his Chief-of-Staff, though it did enable me - acting on instructions from Colonel-General v. Rundstedt - to state our case direct. Colonel-General v. Brauchitsch, however, turned down the request I made for additional forces (the extra army and strong tank units) with the remark that he 'only wished
-
-he could spare them'. This made it clear enough that he still entirely refused to accept our point of view. Finally, however, he did promise us an armoured division and two motorized
-
-regiments from the army reserve.
-
-Unfortunately our visitors also made it only too clear that they had strong reservations about the projected offensive in the west, specifically with regard to the chances of winning a decisive victory. Understandably enough they asked our army and corps commanders to
-
-report on the present condition of their formations, but the way they received the complaints -
-
-of which there were naturally many - about the state of the newly formed divisions left one with the impression that they personally set no very great store by the offensive.
-
-To compensate for this impression, Colonel-General v. Rundstedt himself addressed the generals of the Army Group a few days later. By indicating the operational standpoint of his own staff, he showed them that there was actually every prospect of a victorious decision in the west, even if it were not expedient to take the offensive before the spring.
-
-On 6th November, when replying to an O.K.H. request for a statement of our intentions in pursuance of the Operation Order, we put our recommendations up once again, but received
-
-no answer.
-
-All this time Hitler's 'weather boffins', the Air Ministry meteorologists, were scampering merrily up and down their ladders. Every time they predicted even a brief spell of good weather, Hitler issued the code-word for the final troop assemblies. But on each occasion the boffins had to retract and the attack was called off.
-
-On 12th November we were taken completely by surprise by the following teleprinter
-
-message:
-
-'The Fuhrer has now directed that a third group of fast-moving troops will be formed on the southern wing of Twelfth Army or in the sector allotted to Sixteenth Army, and that this will be directed against Sedan and the area to the east of it, taking advantage of the unwooded terrain on either side of Arlon, Tintigny and Flurenville. Composition: H.Q. 19 Corps, 2 and 10 Panzer Divisions, one motorized division, the Leibstandarte and the
-
-Gross-Deutschland Regiment.
-
-'The task of this group will be:
-
-(a) To defeat mobile enemy forces thrown into southern Belgium and thereby to lighten
-
-the task of Twelfth and Sixteenth Armies;
-
-(b) To gain a surprise hold on the west bank of the Meuse by or south-east of Sedan, thereby creating a favourable situation for the subsequent phases of the operation, specifically in the event of the armoured units under command of Sixth and Fourth Armies proving unsuccessful in their own sectors.'
-
-The above was followed by an appropriate amplification of the O.K.H. Operation Order. It was apparent from the wording of the message that this allocation of 19 Corps to Army Group A had been made on Hitler's orders. What had caused him to do this? Possibly he conceived the idea following a recent interview with the commander of Sixteenth Army, General Busch. The latter was acquainted with my views and may have brought up our wish for armoured
-
-forces for a swift drive through the Ardennes. It is also possible that Hitler reached the decision on his own. He had a keen eye for tactical openings and spent much time brooding over maps. He may have realized that the easiest place to cross the Meuse was at Sedan, whereas the armour of Fourth Army further up would find the going much harder. Very likely he had recognized the Meuse crossing at Sedan as a promising spot (in the sense that it offered an opening on the river for the southern wing of Army Group A) and wanted - as he always did - to go for every tempting objective at once. In practice, pleased though we were at acquiring the panzer corps, it still entailed dispersing our armour, and for that reason the
-
-commander of 19 Panzer Corps, General Guderian, was at first none too happy about his formation's new role, his contention having always been that tanks should be used to 'punch hard' at one place at a time. Only when I had briefed him on our Army Group's operational motives for seeking to shift the main weight of the entire offensive to the southern wing and
-
-drawn his attention to the alluring target of the Somme estuary in the enemy's rear did Guderian show unbounded enthusiasm for our plan. Ultimately it was his elan which inspired our tanks on their dash round the backs of the enemy to the Channel coast. For me, of course, it was a great relief to know that my idea of pushing large numbers of tanks through such difficult country as the Ardennes was considered feasible by Guderian.
-
-To come back once more to the allocation of 19 Panzer Corps, there is no doubt that Hitler envisaged it only as a tactical measure which would at the same time facilitate Army Group
-
-B's own crossing of the Meuse.
-
-Nor did O.K.H.'s amplification to its Operation Order include any reference to setting new objectives. It had no notion whatever of seeking, or even paving the way for, a final decision by mounting an outflanking movement from Army Group A's sector in the direction of the
-
-Somme estuary.
-
-On 21st November the Commander-in-Chief of the Army and his Chief-of-Staffpaid us
-
-another visit in Coblenz. In addition to the army commanders of Army Group A, the commander of Army Group B, Colonel-General v. Bock, and his army commanders also
-
-attended.
-
-It was a noteworthy occasion for one reason in particular. Von Brauchitsch had asked that the army group and army commanders should state their intentions, and what dispositions they
-
-had made, in pursuance of the O.K.H. Operation Order. Yet when our own turn came round, he announced that he only wanted the army commanders to speak. It was evident from this that he wished to obviate any risk of Army Group A's ventilating its disagreement with the
-
-Operation Order.
-
-Consequently we had no choice but to hand the heads of O.K.H. a further memorandum we had prepared on our opinion of how the offensive should be conducted.
-
-This, like its predecessors of 31st October and 6th November and the four that followed on
-
-3oth November, 6th December, 18th December and 12th January, set forth the principal considerations on which Army Group A's plan for the overall operation were based. Each of these memoranda propounded substantially the same concepts as have already been developed above, so I shall refrain from recapitulating them.
-
-In the meantime, it seems, Hitler had been giving some thought to the employment of 19 Panzer Corps in the sector of Army Group A and to the problem of how to move up additional forces in support of it in case the thrust delivered by the armour still massed with Army Group B did not achieve the quick results expected of it. We are told by Greiner, who kept the O.K.W. war diary, that about mid-November Hitler asked O.K.H. whether, and by what methods, Guderian's armour could be reinforced should the need arise. Greiner also reports that about 20th November Hitler sent O.K.H. a directive instructing it to make provisions for a rapid switch of the offensive's main effort from Army Group B to Army Group A in the event of'the latter's achieving quicker and more far-reaching results'.
-
-Acting apparently on this directive, O.K.H. at the end of November moved up 14 Motorized Corps from east of the Rhine to locations behind Army Group A's assembly area. The corps still remained part of the army reserve, nonetheless, with O.K.H. retaining the express right to decide, in accordance with the situation, whether it would eventually be allotted to Army
-
-Group A or B.
-
-It is not clear whether Hitler himself conceived the idea of shifting the main weight of the operation to Army Group A or whether he was even then aware of Army Group A's views.
-
-On 24th November, the day after he had addressed the heads of the three services at Berlin, Hitler received Colonel-General v. Rundstedt and Generals Busch and Guderian. I gathered from Busch during the return journey to Coblenz that Hitler had shown great sympathy for the Army Group's viewpoint at the interview. If this is so, I think he must have been primarily concerned with the reinforcement of our Army Group's armour as a means of opening up the line of the Meuse at Sedan in the interest of Army Group B. I consider it most unlikely that v. Rundstedt used this occasion to present Hitler with our own draft plan, particularly as v. Brauchitsch's position was so precarious just then.
-
-As for Greiner's statement that Hitler had heard of our plan as early as the end of October from his military assistant, Schmundt, this at least seems doubtful as far as the timing is concerned. However, Schmundt did come to see us on instructions from Hitler to ascertain whether an offensive really was precluded - as our reports claimed - by bad weather and the
-
-state of the ground. On that occasion Colonel Blumentritt, our Chief of Operations, and Lieutenant-Colonel v. Tresckow told Schmundt in confidence that the Army Group had sent O.K.H. a plan of attack which it considered to be better than the latter's own.
-
-A few days later Blumentritt, with my consent (given only very reluctantly, though with v. Rundstedt's approval), sent Colonel Schmundt a copy of my last memorandum. Whether it was passed on to Hitler or even to Jodl I cannot say. At all events, when Hitler sent for me on 17th February 1940 to hear my views on an offensive in the west, he gave not the least hint that he had seen any of our memoranda to O.K.H.
-
-It may be that Hitler's object at the end of November was to ensure that the main effort could be shifted from Army Group B to Army Group A when operations were already in progress. This still did not imply any deviation from the plan as it stood to date, nor did it mean that he had accepted our operational precepts. Despite the fact that 14 Motorized Corps had been moved up behind our assembly area, the Operation Order remained fully in force. Just as before, success was to be sought first and foremost by Army Group B's massed push through northern Belgium while Army Group A kept to its protective role. The only difference was that Hitler wanted to be in a position to switch the main effort of the offensive at a later stage if Army Group B's successes did not come up to expectation or if Army Group A achieved
-
-quicker results.
-
-This was made palpably clear by the reply I received from General Halderto a fresh memorandum I had submitted on 30th November. It was, incidentally, the first acknowledgement of our recommendations to date.
-
-The gist of our own remarks had been that a new point of attack — i.e. through Army Group A - now seemed to be emerging after all, and that provided the Ardennes breakthrough were successful, this must entail extending the scope of the operation just as we had suggested.
-
-While conceding that our views largely coincided with those of O.K.H., Halderinsisted that
-
-the latter's orders regarding 19 and 14 Corps did not establish a new focal point for the offensive, but merely provided for the possibility of creating one if the need were to arise. 'Owing to influences beyond our control,' he added, 'the decision as to where the main effort will be made has changed from a problem of planning to one of command during the
-
-operation itself
-
-Two things could be gathered from the above. The first was that Hitler intended that his right to make the crucial decision should also cover the actual execution of the offensive. The second was that he intended making the location of the main effort dependent on how the
-
-offensive developed and that, for the time being at any rate, he was either unacquainted with
-
-our own plan or disinclined to adopt it.
-
-The latter impression was confirmed by a reply given to me by Haider on the telephone on
-
-15th December.
-
-On 6th December I had sent him another personal letter recapitulating all the aspects favouring our operation plan. This letter actually contained the 'new' plan in its entirety. When Haider had still not replied by 15th December, I rang up General v. Stiilpnagel, the Oberquartiermeister I, and asked him how much longer O.K.H. proposed to ignore our proposals. This produced the afore-mentioned telephone call from Haider. He assured me that the army leaders entirely agreed with us, but were under strict instructions to leave the main effort with Army Group B or, alternatively, to allow for a shift of this effort in the course of
-
-the offensive.
-
-One might have assumed from this that the heads of O.K.H. had actually come round to our point of view and that they would have brought it to Hitler's notice in some form or other. However, I learnt at the same time from General Warlimont, Jodl's deputy, and from the Chief Operations Officer of the Wehrmacht Operations Staff, the future General v. Lossberg, that O.K.H. had never submitted any recommendations to Hitler on the lines suggested by us! It was all rather perplexing as far as we were concerned.
-
-Whether or not O.K.H. was sincere in agreeing with us, the idea of not placing the main effort with Army Group A until after the offensive had started was in any case quite incompatible with the operations we at Army Group had in mind.
-
-Admittedly, it was Napoleon who coined the phrase on s'engage partout et on voit. For the French this has become almost axiomatic, particularly since their Lorraine initiative in 1914 proved such a fiasco. It is also an axiom which the Allied High Command could undoubtedly have adopted in 1940. Since they wished to saddle us with the burden of taking the offensive, they would have been absolutely right to sit back and wait. Their duty lay in evading a test of strength in Belgium in order to deal a counterstroke against the southern flank of our offensive with the most powerful forces they could muster.
-
-In our own case, however, there could be no question of waiting to see where and when we should play our trumps, for the operation plan of Army Group A was based on surprise. The enemy could hardly be expecting a strong armoured force to drive through the Ardennes with a whole army in its train. But this drive would attain its objective, the Lower Somme, only if any enemy forces thrown into southern Belgium were successfully overrun. We had to cross
-
-the Meuse at the same time as the remnants of these troops if we were subsequently to take the enemy forces facing Army Group B in northern Belgium in the rear.
-
-Similarly, any attempt to smash the deployment of strong enemy reserves on our southern flank - between the Meuse and Oise, for example — before it could be completed, thereby creating a favourable jumping-off position for the 'second act', the destruction of the remaining enemy forces, could succeed only if we had enough forces down there to retain the
-
-initiative.
-
-To wait and see 'which way the cat jumped' before deciding where to place one's main effort was tantamount to abandoning the chance of annihilating the enemy forces in northern Belgium by an outflanking movement from the south. At the same time it would mean allowing the enemy to deploy for that counterblow on our southern flank which constituted his own chance of victory. It was a chance, albeit, of which the enemy high command never
-
-availed itself.
-
-As for the idea of waiting for adequate forces to be allocated to Army Group A and making the decision to deliver the main thrust there dependent on whether we managed to achieve surprise with inadequate forces, all one can do is to quote Moltke's dictum that 'an error in the first stages of deployment can never be made good'.
-
-In short, one could not wait to see how our offensive developed — whether the massed drive of Army Group B would smash the enemy in Belgium or whether a lone 19 Panzer Corps would get through to Sedan. If Army Group A's plan were to be adopted, we must be given adequate armour and three armies from the outset, even if the third army could not be phased in until room for it had been found in the course of the advance. That was why, in my memorandum of 6th December, I had called for not two armies of twenty-two infantry divisions and only one panzer corps, but three armies of forty divisions and two mobile corps. (Incidentally, this was the actual number we secured after Hitler had intervened and our plan
-
-had been accepted.)
-
-And so we had to go on with the struggle. Our prime concern from now on was to ensure that from the very first stage of the operation not only 19 Panzer Corps but also 14 Motorized Corps were utilized for the thrust through the Ardennes, across the Meuse at Sedan and on towards the Lower Somme. Furthermore, it was essential that the third army we had requested should be available from the outset to take offensive action against any enemy deployment on
-
-our southern flank west of the Meuse.
-
-If we could get these two demands accepted - even if O.K.H. still would not accept our views as a whole - the offensive was bound to be guided into channels conducive to the conclusive
-
-victory for which we strove.
-
-Admittedly, even our own operation plan would not - as Moltke put it — extend with any certainty beyond the first encounter with the main body of the enemy - least of all if a lack of adequate forces brought the attack to a standstill in its preliminary stages.
-
-But in that very same context Moltke pointed out that the military commander must look past this first encounter 'and keep his eye fixed on the ultimate goal'. That goal, as we saw it, could be none other than total victory on the European mainland. Such must be the object of the German offensive throughout, even if two distinct phases were needed to achieve it.
-
-The Napoleonic precept quoted above - which, in the last analysis, is exactly what Hitler's reservations regarding the location of the main effort boiled down to - might provide an admirable solution in other situations. In our own case it meant aiming short of absolute
-
-victory.
-
-On 18th December, my letter to the Chief-of-Staff on 6th December not having produced the desired effect, I submitted to v. Rundstedt a 'Draft Operation Order' for the western offensive based on our own conception of the operation. It was to serve him as a brief in interviews with the Commander-in-Chief of the Army and - if the latter agreed - with Hitler. The interview with v. Brauchitsch took place on 22nd December, but there was no meeting with Hitler. O.K.H. was also sent the above draft in writing, as I hoped that when expressed in this cut-and-dried form our views would have more chance of convincing the O.K.W. Operations Branch than the purely theoretical representations made hitherto. Only after the war did I find that the Operations Branch never received any of our memoranda from Haider.
-
-The weather in the second half of December put any thought of an offensive out of the question. In any case, it seemed advisable to allow an interval to elapse before we again started pressing for a change in the operation plan, since we had supplied quite enough food for thought for the time being. As a result I was able to go home for Christmas. On my return to Coblenz from Liegnitz I looked in at O.K.H. in Zossen to find out what impression our
-
-draft had made. I was again assured by General v. Stiilpnagel that they were much in agreement with our views, but that O.K.H. was bound by an order from Hitler to leave the decision open as to where the main effort should be made.
-
-As before, it was not clear whether the Commander-in-Chief had made any mention of our recommendations to Hitler. It seemed improbable that he had done so, since I learnt from Lieutenant-Colonel Heusinger, then G.S.O. I of the Operations Branch, that v. Brauchitsch
-
-had not been near Hitler since 5th November.
-
-In the New Year Hitler's weather boffins livened up again. The clear, frosty weather promised a fine spell which would enable the Luftwaffe to go into action, though the cold -accompanied by a thick blanket of snow in the Eifel and Ardennes - was by no means propitious to armour. At all events, Hitler again issued the code-word which set the troops moving into their final assembly areas for the offensive.
-
-Undeterred by this, we sent O.K.H. one more memorandum on 12th January. It bore the title Western Offensive and again set forth the views we had so often expressed on the need to aim at a decisive victory. Although there could be no question of changing the Operation Order at that particular juncture, we felt that once the actual operation had started our views would still have to be taken into consideration. In any case, the order to start the offensive had been countermanded so many times already that it was reasonable to hope for a repetition that would still leave us time to get the plan fundamentally changed.
-
-To achieve that, however, we had to remove the stumbling-block which to date had prevented our own plan from being accepted. Where did this lie? According to what O.K.H. had told us,
-
-it lay with Hitler. O.K.H. had repeatedly emphasized that though largely in agreement with our views, it was under orders from Hitler not to fix the focal point of the attack until the
-
-operations were under way. But had O.K.H. in fact ever apprised Hitler of our plan, which differed so radically from its own version? Would it not be possible to convince Hitler if only
-
-he could be shown a plan directed not merely at limited objectives but actually visualizing
-
-something which, as far as we could see, neither he nor the heads of O.K.H. had seriously considered to date - the possibility of conclusive victory in the west?
-
-To get this clarified once and for all, the memorandum was accompanied by a letter from Colonel-General v. Rundstedt ending with the following sentence:
-
-'Now that this Army Group has been informed that the Fuhrer and Supreme Commander has retained overall control of the operations by reserving the right to decide where the main effort will be made (i.e. that O.K.H. is not free to make its own operational decision), I request that this memorandum be submitted to the Fuhrer in
-
-person.
-
-(signed) v. RUNDSTEDT.'
-
-This demand - which was made at my suggestion and to which the General had immediately
-
-been ready to append his signature - did, to a certain extent, contravene German military tradition, which prescribed that only the Commander-in-Chief of the Army or his Chief-of-Staff were competent to make recommendations to the Supreme Commander.
-
-However, if O.K.H. really agreed with our views, there was nothing to stop it taking up our operation plan and submitting it to Hitler on its own initiative. This would have given it an opportunity of impressing him, and possibly of rehabilitating itself as the ultimate authority in all matters affecting land operations. No one would have been more pleased to see this happen than myself, as one who had striven so much with Colonel-General v. Fritsch and General Beck to give O.K.H. this standing during my period of office as Oberquartiermeister I.
-
-[That we at Army Group A never sought publicity as the progenitors of the new strategy is proved by the fact that it only became known after the war following Liddell Hart's talks with
-
-v. Rundstedt and Blumentritt. Author.']
-
-If, on the other hand, O.K.H. had already made an unsuccessful attempt to get proposals in line with our own accepted by Hitler, the submission of a plan initiated by Colonel-General v. Rundstedt, of whom Hitler held so high an opinion, would have considerably strengthened its
-
-position.
-
-Perhaps it would then still have been possible to dissuade Hitler from making the location of the main effort dependent on the course of operations. This - or so we had been led to believe by O.K.H. - was now the main obstacle to the realization of our policy.
-
-The answer we received to this memorandum was disappointing. It said we were mistaken in
-
-supposing that O.K.H. sought only limited objectives, as others were to be fixed in due course. Provision had been made for assigning Army Group A extra forces and an additional army headquarters, but the actual timing must rest with the Commander-in-Chief of the Army. There was, we were told, no occasion to show Hitler our memorandum, with which the Commander-in-Chief was substantially in agreement.
-
-This assurance of the Commander-in-Chiefs agreement could still not close our eyes to his unwillingness to advocate to Hitler the fundamental changes which we recommended in the
-
-operation plan.
-
-On the contrary, the Operation Order remained in force in its previous form. The outcome of the battle in Belgium was still to be sought by the frontal push of Army Group B, where the main effort would continue to be concentrated for at least the first phase of the offensive.
-
-Army Group A remained responsible for protecting this operation. Nothing was done about broadening its task to include a drive towards the lower Somme and round the back of the enemy forces being tackled frontally by Army Group B in northern Belgium.
-
-Any eventual shift in the main weight of the German offensive remained dependent on the progress of operations. Army Group A was not given the armour which, according to our own scheme of operations, must be under command from the outset if there were to be any hope of achieving surprise in southern Belgium and driving round behind the enemy in the direction
-
-of the Somme estuary. Neither was the Army Group to enjoy the security of having an additional army, necessary though this would be for any offensive action to cover our thrust
-
-against the anticipated enemy counterblow.
-
-In other words, we were sticking to that 'irreparable error in the first stages of deployment'. Those responsible did not want to commit themselves to an operation which General Jodl described in February 1940 as 'a roundabout road on which the God of War might catch us'.
-
-Quite unconsciously, the German and Allied High Commands had agreed that it was safer to
-
-attack each other head-on in northern Belgium than to become involved in a venturesome operation - on the German side by accepting the plan of Army Group A, on the Allied side by avoiding a conclusive battle in Belgium in order to deal a punishing blow to the southern
-
-flank of the German offensive.
-
-Meanwhile something had occurred which many people have since held to be the decisive factor responsible for the fundamental changes which were later made to the operation plan to bring it into line with the recommendations of Army Group A.
-
-The G.S.O. I of 7 Airborne Division had made an accidental landing on Belgian territory, as a result of which at least part of First Air Fleet's Operation Order fell into Belgian hands. One had to assume that the Western Powers would learn, through Belgium, of the operation plan
-
-existing to date.
-
-In point of fact this misfortune did not lead to any alteration of the operation plan, though it may well have increased the readiness of Hitler and O.K.H. to entertain our Army Group's proposals later on. As it was, a Commander-in-Chiefs conference in Bad Godesberg on 25th January of the generals commanding Army Groups A and B and their subordinate armies
-
-revealed no change in O.K.H.'s basic attitude. Though the meeting took place some considerable time after the mishap in question, the tasks of the army groups and armies remained the same as before. Army Group B's role was now merely expanded to allow for its Eighteenth Army to occupy the whole of Holland and not - as had previously been intended -
-
-only those parts of the country lying outside the so-called 'Fortress of Holland'. As far as Army Group A was concerned, everything remained as before. Though we were able to get Second Army H.Q. brought into our area, it remained, like 14 Motorized Corps, at the disposal of O.K.H. Despite my having pointed out, on my commander's instructions, that sending 19 Panzer Corps through the Ardennes on its own would not bring us success at Sedan now that the enemy had assembled considerable forces (Second French Army) on the Meuse, v. Brauchitsch still refused to place it under our command. This showed that the
-
-Supreme Command was just as determined as ever not to shift the main effort until it became clear what course the operations were taking. It also proved that the loss of the Operation Order to the Belgians had done nothing to change the minds of those at the top.
-
-Nevertheless, Army Group H.Q. followed up these representations to O.K.H. on 25th January by a further memorandum five days later based on enemy intelligence we had received in the meantime. We pointed out that strong French forces — particularly mechanized units - could henceforth be expected to be thrown into southern Belgium. In these circumstances there was no point in hoping that 19 Panzer Corps would alone be strong enough either to overcome this enemy grouping or to force a crossing of the river.
-
-Our view was corroborated by a sand-table exercise in Coblenz on 7th February at which we ran through the advance of 19 Panzer Corps and the two armies of our Army Group. It was only too plain from this how problematical the use of 19 Panzer Corps in isolation was going to be. I had the impression that General Haider, who attended the exercise as an observer, was at last beginning to realize the validity of our standpoint.
-
-Meanwhile my own fate had taken a sudden turn. On 27th January I was notified that I had been appointed Commanding General of 38 Corps, the headquarters of which was about to be
-
-set up back at home. I learnt from Colonel-General v. Rundstedt that he had already been informed of this in confidence by the Commander-in-Chief at the conference on 25th January. The reason given was that I could no longer be passed over in any new corps appointments, as General Reinhardt, who was my junior, was also being given a corps. Though there was little
-
-or nothing about the move to distinguish it from the normal process of promotion, it still seemed strange to switch the Chief-of-Staff of an army group just when a big offensive was impending. There were, after all, other ways of solving the rank problem which supplied the pretext for this change. It can hardly be doubted, therefore, that my replacement was due to a desire on the part of O.K.H. to be rid of an importunate nuisance who had ventured to put up
-
-an operation plan at variance with its own.
-
-At the close of the above-mentioned sand-table exercise, which I had helped to run, v. Rundstedt thanked me in front of everyone present for all I had done as his Chief-of-Staff. His choice of words on this occasion reflected all the kindness and chivalry of that great commander. It was a further source of satisfaction to me that the two army commanders of our Army Group, Generals Busch and List, as well as General Guderian, not only deplored my removal but were genuinely dismayed by it.
-
-On 9th February I left Coblenz for Liegnitz.
-
-My trusty colleagues Colonel Blumentritt and Lieutenant-Colonel v. Tresckow, however, had no intention of throwing up the sponge and treating my departure as the end of the struggle for
-
-our operation plan.
-
-It was Tresckow, I imagine, who induced his friend Schmundt, Hitler's military assistant, to fix an opportunity for me to talk to Hitler personally about the way we thought the offensive
-
-in the west should be conducted.
-
-Be that as it may, on 17th February I was summoned to Berlin to report to Hitler with the other newly appointed corps commanders. Our interview was followed by a luncheon at which Hitler, as usual, did most of the talking. He showed an amazing knowledge of technical
-
-innovations in the enemy States as well as at home; and the reports of a British destroyer's raid on the Altmark inside Norwegian territorial waters prompted him to dwell at length on the inability of small States to maintain their neutrality.
-
-As we were taking our leave at the end of the meal, Hitler told me to come to his study, where
-
-he invited me to outline my views on the handling of the western offensive. I am not clear whether he had already been informed of our plan by Schmundt, and, if so, in what detail. In any case I found him surprisingly quick to grasp the points which our Army Group had been advocating for many months past, and he entirely agreed with what I had to say.
-
-Immediately after this conversation I filed the following minute for the information of H.Q.
-
-Army Group A:
-
-'When reporting to the Fuhrer as Commanding General of 38 Corps on 17th February
-
-1940, the former Chief-of-Staff of Army Group A had an opportunity to present the Army Group's viewpoint on the conduct of the operation in the west. The substance of
-
-his statements was as follows:
-
-1. The aim of the offensive must be to achieve decisive results on land. The political and military stakes are too high for the limited objectives defined in the present Operation
-
-Order, i.e. defeat of the largest possible elements of the enemy in Belgium and occupation of parts of the Channel coast. Final victory on land must be the goal.
-
-The operations must therefore be directed towards winning a final decision in France
-
-and destroying France's resistance.
-
-2. This, contrary to what is laid down in the Operation Order, requires that the main point of effort be placed unequivocally on the southern wing from the start, i.e. with Army Group A; it cannot remain with Army Group B, nor can it be left open. Under
-
-present arrangements the best one can do is to attack the Anglo-French forces frontally as they advance into Belgium and to throw them back to the Somme, whereupon the operation may conceivably come to a standstill.
-
-If the main effort is transferred to Army Group A in the south, the task of which is to
-
-drive through southern Belgium and over the Meuse in the direction of the lower Somme, the strong enemy forces expected in northern Belgium must, if thrown back by Army Group B in frontal attack, be cut off and destroyed. This will be possible only if Army Group A drives swiftly through to the lower Somme. That must be the first phase of the campaign. The second will be the envelopment of the whole French Army with a
-
-powerful right hook.
-
-3. To fulfil this task, Army Group A must consist of three armies. Another army must
-
-therefore be inserted on its northern flank.
-
-The northernmost army of the Army Group (Second) has the task of driving across the Meuse to the lower Somme to intercept the enemy forces retreating before Army Group B. To the south of it another army (Twelfth) must advance over the Meuse on both sides of Sedan and then swing south-west in order to smash by attack any French attempt to deploy in strength for a counter-attack west of the Meuse.
-
-On the third army (Sixteenth) will devolve the initially defensive task of covering the southern flank of the operation between the Meuse and Moselle.
-
-It is essential that the Luftwaffe smash the French troop concentrations at an early date, because if the French do attempt anything, it will be to carry out a large-scale counterattack west or on both sides of the Meuse, possibly extending as far as the Moselle.
-
-4. To send 19 Panzer Corps out on its own to force the Meuse at Sedan is to do things by halves. If the enemy comes to meet us with strong motorized forces in southern Belgium, the corps will be too weak to crush them quickly and get straight across the line of the Meuse. Conversely, if the enemy confines himself to holding the Meuse with the strong forces he has there at present, the corps will not be able to cross the river alone.
-
-If motorized forces are to lead the advance, at least two corps must cross the Meuse simultaneously at Charleville and Sedan, independent of the armour directed against the Meuse at Givet by Fourth Army. Thus 14 Corps must be put alongside Guderian's corps from the outset; there can be no question of making its use with Army Groups A or B
-
-conditional on future developments.
-
-The Fiihrer indicated his agreement with the ideas put forward. Shortly afterwards the
-
-new and final Operation Order was issued.'
-
-Unfortunately I no longer had access to this final Operation Order. I only know that its issue
-
-was ordered by Hitler on 20th February.
-
-In its essentials it satisfied the demands for which I had fought so long. It provided for:
-
-1. Two panzer corps (the 19th under General Guderian and the 14th under General v. Wietersheim) to lead the advance across the line of the Meuse between Charleville and Sedan. They were united under the newly created command of a 'panzer group' led by General v.
-
-Kleist.
-
-2. The final allocation of H.Q. Second Army (previously with Army Group B) to Army Group A and the provision of the requisite forces. It would now be possible to insert this army immediately space became available between the Army Group boundaries after Sixteenth
-
-Army had wheeled south.
-
-3. The placing of Fourth Army (previously with Army Group B) under command of Army Group A, to give the latter the necessary manoeuvrability in its advance towards the lower Somme. (Army Group A had consistently called for at least the southernmost corps of this army in order to extend the boundaries of its own advance. Greiner is mistaken in putting the time of this change in the order of battle as far back as November. It was only implemented in
-
-pursuance of the new Operation Order.)
-
-By these new instructions O.K.H. implied that it fully accepted the Army Group's point of view. The main weight of the operation as a whole was transferred to the southern wing to the fullest extent permitted by the breadth of the ground available to us north of the Maginot Line and the road network existing there. At the same time Army Group B remained strong enough, with three armies, to discharge its task in northern Belgium and Holland with the
-
-overwhelming success now known to us.
-
-Army Group A, on the other hand, was now able to surprise the enemy by thrusting through
-
-the Ardennes and across the Meuse to the lower Somme. In this way it could prevent the enemy forces fighting in Belgium from withdrawing behind this river. It would likewise have been possible to deal effectively with any big counterblow against the southern flank of the
-
-German offensive.
-
-As far as the execution of the German assault operation in May 1940 is concerned, I would
-
-say this:
-
-The attack of Army Group B, thanks to the superiority of the German troops, and especially the armoured units, had a more decisive success than one might have expected in view of the strength of the Belgian fortifications and the fact that it was compelled to attack frontally.
-
-Despite this, the really decisive reason for the Allies' utter defeat in northern Belgium was still the surprise thrust through the Ardennes, across the Meuse to the Somme estuary and ultimately against the Channel harbours. Apart from the energetic leadership of Colonel-General v. Rundstedt, this success is, I feel, primarily due to the tremendous verve with which General Guderian translated the Army Group's operational principles into action.
-
-The success in northern Belgium was not as complete as it might have been. The enemy succeeded, according to Churchill's figures, in evacuating 338,226 men (26,176 of them
-
-French) from Dunkirk, though they lost all their heavy weapons and equipment in the process.
-
-This successful evacuation must be attributed to the intervention of Hitler, who twice stopped the onward sweep of our armour - once during its advance to the coast and again outside
-
-Dunkirk.
-
-Three different reasons have been given for the latter order, the true effect of which was to throw a golden bridge across the Channel for the British Army. The first reason is that Hitler wished to spare the German armour for the second act of the French campaign, in which connexion Keitel is said to have told him that the ground around Dunkirk was bad tank country. Another reason offered is that Goring assured Hitler that the Luftwaffe was quite capable of preventing the escape from Dunkirk unaided. In view of Goring's thirst for prestige and his proclivity to boastfulness, I think it extremely probable that he did make some statement to this effect. Both arguments were wrong from the military point of view.
-
-The third reason given is that Hitler - according to reports of a conversation between him and v. Rundstedt - deliberately allowed the British to escape because he believed it would
-
-facilitate an understanding with Britain.
-
-Whatever the answer may be, Dunkirk was one of Hitler's most decisive mistakes. It hampered him in attempting the invasion of Britain and subsequently enabled the British to
-
-fight in Africa and Italy.
-
-While Hitler accepted Army Group A's idea of cutting off the enemy in northern Belgium by driving through the Ardennes to the sea and allowed this to be carried out as far as the gates of
-
-Dunkirk, he did not entirely adopt its other idea of simultaneously creating a point of departure for the second phase. The German command was thus content to cover the dash of Army Group A's mechanized elements to the sea against counter-attack on either side of the Meuse by dropping off the succeeding divisions like a long string of pearls to defend the threatened southern flank. Apparently it was thought too risky that any enemy attempt to
-
-counter-attack in strength should be thwarted by immediately striking south to the west of the Meuse and thereby tearing apart the enemy front between the Meuse and Oise once and for
-
-all.
-
-As was to be seen later on in the Russian campaign, Hitler had a certain instinct for operational problems, but lacked the thorough training of a military commander which enables the latter to accept considerable risks in the course of an operation because he knows he can master them. In this case, therefore, Hitler preferred the safe solution of defensive action to the bolder method suggested by Army Group A. It was his good fortune that the enemy commander did not mount any big counter-offensive, though in fact the latter could
-
-well have assembled some fifty divisions for this purpose on both sides of the Meuse -possibly extending as far east as the Moselle - even if it had meant temporarily abandoning everything in Holland and Belgium outside the fortified zones.
-
-And so, after the first act of the German offensive had been completed, both opponents again found themselves facing each other on a continuous front running along the Maginot Line to
-
-Carignan and thence along the Aisne and lower Somme. The Germans' first task was to penetrate this front all over again. That the second phase of the German offensive so soon led
-
-to the total capitulation of the enemy is primarily due to his inability, after his losses in northern Belgium, adequately to man the whole of his front from the Swiss frontier to the sea. Another reason was that the morale of the French Army had already been badly dented - not to mention the fact that the enemy possessed nothing matching the quality of the German armoured formations. Had the Allied Commander-in-Chief acted as H.Q. Army Group A thought he should, he would have decided on a large-scale offensive on both sides of the Meuse. According to the plan of Army Group A, however, this would have been smashed while still in the assembly stage. If Army Group B, after simultaneously encircling the enemy in northern Belgium, had then wheeled forward over the lower Somme to envelop the rest of the French forces after the pattern of the Schlieffen Plan, we should have finished up fighting a battle in the rear of the Maginot Line with the fronts reversed.
-
-In view of the fact that, with the exception of the British escape from Dunkirk, we ultimately gained a brilliant victory in the French theatre of war, the above observations may appear superfluous. Perhaps their only importance is to show that even if the enemy had displayed greater energy and better judgement, the 'new' plan would still have won the campaign - even allowing for the critical moments that might have occurred in the first phase between the
-
-Meuse and Moselle.
-
-6
-
-COMMANDING GENERAL, 38 ARMY CORPS
-
-THE BYSTANDER
-
-THE PART I subsequently played in the execution of the western offensive was so insignificant that I could well afford to leave it out of these memoirs altogether. My primary reason for including it is to pay grateful tribute to the bravery and extraordinary achievements of the troops who served under me at the time. Another is that the operations of 38 Corps following the Germans' successful breakthrough on the Somme will serve to illustrate a
-
-pursuit that was kept up right across the Seine and down as far as the Loire and never gave the
-
-enemy a moment's peace until his final collapse.
-
-During the months in which others continued to work on the ideas for which I had fought, I initially had the modest task of watching my corps headquarters and the ancillary signals regiment assemble in Stettin. From time to time I received instructions to inspect new divisions in the process of being set up in Pomerania and Poznan.
-
-On 10th May 1940 I learnt of the start of the German offensive in the west over the radio in Liegnitz, where I had gone for a short leave. It goes without saying that during the next few days all my wishes and most ardent hopes were with our troops as they drove through the Ardennes. Would they succeed in racing across Luxembourg and penetrating the Belgian defences on either side of Bastogne before strong French forces could close in? Would it be possible to maintain the momentum of the armour as it went over the Meuse at Sedan and created the basis for an encirclement of the enemy's northern wing?
-
-The reader will appreciate that I was not feeling exactly grateful to the body which had banished me into the German hinterland at the very moment when the plan for which I had struggled so long and so doggedly was coming to fruition in the west.
-
-On the evening of 10th May came the order to move H.Q. 38 Corps up to Brunswick. From there the next move took us to Diisseldorf, where we came under command of Army Group B. For the next few days I had nothing else to do but 'swan' around inspecting the powerful Belgian positions which had fallen in the first assault on the Meuse at Maastricht and along the Albert Canal, as well as the very up-to-date fort of Eben-Emael, which had been taken in a surprise raid and was still under fire from Belgian batteries further back. I also visited Army Group B and Sixth Army to brief myself on the progress of the operations. I gathered that
-
-they still had no clear picture of what the enemy ultimately proposed to do. Neither, it seemed, had O.K.H., since it continued to cloak its future intentions in silence and confined itself to extending the boundary between the two army groups further to the north-west.
-
-On 16th May our headquarters came under command of Army Group A, and the next day I reported to my erstwhile commander, Colonel-General v. Rundstedt, in Bastogne. I received a most cordial welcome from him, my successor, General v. Sodenstern, and the rest of my old staff, and here at last I learnt how well the operation through the Ardennes and over the Meuse had progressed. Our Corps was to go over to Twelfth Army, which would carry on with the westward drive towards the lower Somme, whereas the new Second Army was to be inserted between Twelfth and Sixteenth Armies with a front facing south-west.
-
-Immediately on my arrival at H.Q. Twelfth Army I experienced a piece of interference by Hitler in the conduct of military operations. Acting on Hitler's instructions, O.K.H. sent down an order to the effect that Panzer Group Kleist must not go any further than the Oise for the time being and that Twelfth Army was to swing south-west and go over to the defensive. Second Army was now to be inserted between Fourth and Twelfth Armies to take over the further advance west. The reason given was that the Fiihrer wished at all costs to avoid any German setback, however temporary, which would boost the already abysmally low morale of the French populace. He feared that such a setback might actually occur if Twelfth Army continued its envisaged drive westwards towards the lower Somme and got caught in the flank by a French counter-attack coming up west of the Meuse from the south.
-
-In other words, the propagandist interests of the politician were already beginning to impinge upon the job of supreme commander. On the one hand it was clear that in halting Panzer Group Kleist on the Oise one risked losing the chance to destroy the very enemy forces in northern Belgium which the Panzer Group was supposed to take in the rear. At the same time
-
-the order that Twelfth Army was to go over to the defensive on the front facing south-west meant abandoning the initiative in the area between the Meuse and Oise. As it happened, there was no reason at the time for expecting any large-scale counter-attack in this sector. As Army Group A saw it, the enemy would need at least another week to bring up the forces necessary for a counter-offensive — if, indeed, he had any such plan in mind. The whole point was, however, that one of the basic propositions repeatedly put to O.K.H. by the Army Group during the winter had been that an offensive solution should be found for securing the southern flank of the thrust towards the lower Somme.
-
-It was now apparent that Hitler, though not bold enough to accept a temporary risk on the southern flank of the German offensive, was already claiming the right to exercise a personal
-
-and detailed control of army operations.
-
-The fact, however, that he was able at this juncture to plead the spectre of an even temporary German setback as grounds for intervening may perhaps have been due to O.K.H.'s failure — despite the advice given earlier by the Army Group - to insert Second Army into the front as soon as the first German forces had crossed the Meuse. It could go either between Fourth and Twelfth Armies to carry on with the drive for the lower Somme or between Twelfth and Sixteenth Armies for the offensive advance to the south-west between the Meuse and Oise. The reason for the omission cannot have been the lack of space for further divisions in the front line, since the important thing was to have an army headquarters in the line in time for the divergence which must now ensue in the direction of the thrusts. Room for more divisions would be found in due course when the zone of operations broadened out.
-
-This example only serves to show once again that no operations plan will ever be implemented to the full extent envisaged by its originators, even when no cogent grounds
-
-exist for departing from it.
-
-Even if on this occasion Hitler's interference did not seriously prejudice operations (as was subsequently the case when Panzer Group Kleist was halted outside Dunkirk), the defensive role he had allotted to Twelfth Army still enabled the enemy to build up a new front on the Aisne which had to be cracked all over again in the second phase of the French campaign at the cost of some very heavy fighting. The chance of finally putting an end by offensive action to any coherent French defence in this decisive stretch of front had been needlessly sacrificed. This very point - together with the encirclement of the enemy's northern wing - had been one of the cornerstones of our operational recommendations to O.K.H. in consideration of the inevitable second phase of the German offensive.
-
-Meanwhile our headquarters had been moved as far forward as the picturesque little Luxembourg town of Clerf. At this stage we ceased to be onlookers and were put in charge of
-
-a number of the divisions following in the rear of Second Army. It was a somewhat uninspiring task to be given just when the decisive defeat of the enemy's northern wing was at
-
-hand.
-
-About this time news reached me that my brother-in-law, Egbert v. Loesch, had been posted missing near Brussels as commander of a dive-bomber squadron. Egbert, my wife's youngest
-
-brother but one, had lived with us for several years in Dresden and Magdeburg when he was still at school. Always my wife's favourite brother, he had grown as dear to us as a son, and his young wife was now living with us in Liegnitz. For weeks to come she, her mother and
-
-my wife were tormented by worry and uncertainty, as no information was forthcoming on the fate of Egbert's aircraft and crew. The only thing known with any reasonable certainty was that they had crashed as Egbert's squadron was going in to the attack. Not until after the
-
-French campaign, was I able to have a proper investigation made, and after a long search the
-
-wreckage of the aircraft was located in the vicinity of Brussels. Inquiries with the inhabitants of a nearby village revealed that the aircraft had received a direct hit from an A. A. shell just
-
-as it went into its dive. Two members of the crew had managed to bale out, but both had been shot dead by Belgian troops, one while he was still floating down and the other after he had safely landed. My brother-in-law and the other man had died in the aircraft.
-
-On 25th May my headquarters received orders to relieve H.Q. 14 Panzer Corps, which General v. Kleist had left behind with 9 Panzer and 2 Motorized Division to secure his rear on the lower Somme, in the Abbeville-Amiens sector. We took over on 27th May.
-
-At this stage there was still no firm front on the lower Somme. 14 Panzer Corps' 2 Motorized Division (which was to be relieved by 57 Infantry Division) was holding a bridgehead around Abbeville on the left - or southern - bank of the river. 9 Panzer Division had the same task at Amiens. The intervening ground was merely being kept under surveillance.
-
-So far the enemy, too, had been unable to bring up sufficient forces to form a new front along the lower Somme. Our Amiens bridgehead was apparently faced by a French colonial division and some British forces and the Abbeville bridgehead by a British division.
-
-Our job was to hold both bridgeheads. Initially 9 Panzer Division and the 2 Motorized Division due to be relieved at Abbeville were to remain north of the Somme as mobile reserves. Shortly afterwards, however, they were quite rightly pulled up to the Channel coast
-
-to be used in the battle there.
-
-General v. Wietersheim, Commanding General of 14 Panzer Corps, had told me at the handover that he did not anticipate any large-scale enemy activity. One hour after he left, reports
-
-came in that both bridgeheads were being violently attacked and that enemy armour had appeared in each place. However, both attacks were beaten off by the afternoon after several heavy French tanks had been knocked out at Amiens and thirty light and medium British ones at Abbeville. Of the latter, a gunner called Bringforth accounted for nine single-handed. He was the first private soldier I put up for the Knight's Cross.
-
-Even so, I regarded these attacks as clear proof that the enemy was either hoping to get a relief force over the Somme to his hard-pressed northern wing or intending to set up a new front on the lower Somme. This confronted us with the same problem as I mentioned earlier in connexion with Hitler's order for Twelfth Army. Ought we in the same way to remain on the defensive on the lower Somme, or should we try to retain the initiative?
-
-The defensive solution which 14 Panzer Corps had apparently been told to adopt would unquestionably allow the enemy to build up a strong new defence line along the lower Somme. Indeed, it was problematical whether we should even be able to hold the Amiens and Abbeville bridgeheads once the enemy brought up fresh forces. The two mechanized divisions provisionally left in reserve north of the Somme were most unsuitable for any battle for the
-
-bridgeheads, since they could neither be plugged into these to strengthen their defences nor could they be employed in a counter-attack role until the enemy had actually flattened the bridgeheads, wiped out the divisions inside them and come across the Somme.
-
-The conclusion I drew from the above — and several times submitted to General v. Kluge, the commander of Fourth Army, of which we now formed part - was that we should use both mechanized divisions (or else both infantry divisions due to replace them) to carry out a surprise river-crossing between the two bridgeheads and deliver flanking attacks against the enemy forces assaulting them. What I had in mind was to fight a mobile action to the south -i.e. forward - of the river until such time as the battle in northern Belgium was over and the German northern wing could wheel forward across the Somme. Our aim should be to keep this open for it and to prevent the enemy from forming a continuous front. There was no denying, of course, that as long as the corps fought a lone action south of the river these tactics might land it in a difficult situation. It was a risk one had to accept if, in the interest of strategic continuity, we were to avoid the far-from-easy task of attacking a Somme front which the enemy had had time to stabilize and consolidate.
-
-Unfortunately, however, the commander of Fourth Army paid no heed to our repeated representations and would not release the second-line divisions which were, in fact, available for a river-crossing. Whether this was a personal decision or due to instructions from O.K.H. I
-
-do not know. As a result, we had no choice but to carry on with the defence in the bridgeheads, while the enemy was left in a position to establish a continuous front along the river in between them. The fact of the matter was that people have normally only heard of defending a river from behind it or of keeping it open by means of fixed bridgeheads. The possibility of contesting a river-line by fighting a mobile action in front of it is not usually
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-mentioned in the textbooks.
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-For the next few days the enemy kept up his attacks on the two bridgeheads and for a time the position around Amiens looked troublesome. A tour of the units there convinced me that everything was in order, however. A particularly prominent part in these defensive actions was played by 116 Infantry Regiment, then led by my old comrade from the Third Regiment
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-of Footguards, the future General Herrlein.
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-At Abbeville, on the other hand, things took a critical turn on 29th May. Here, after a series of strenuous marches, 57 Infantry Division, which had so far no experience of action, had taken over from 2 Motorized Division. Shortly after its arrival an enemy attack supported by strong British armour broke into a number of German positions and caused heavy losses not only in killed and wounded, but also, as was later discovered, in prisoners. I myself had driven out to
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-Abbeville just in time to meet a German battalion which, probably through having misunderstood its orders, had evacuated its positions and was now marching back through the town. I turned it straight round again, and in due course the division was master of the
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-situation.
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-As General v. Kluge had actually authorized us to pull out of both bridgeheads if need be, he
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-duly rejected a fresh request from us for permission to cross the Somme on both sides of Abbeville and take the enemy attacking there in a pincer. It was evident that the men at the top wished to avoid running the least risk until the battle in northern Belgium were concluded and an 'orderly' deployment could be carried out against the new front now being formed by
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-the enemy.
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-It went without saying that the enemy would also make use of this interval to bring up his own reserves and establish a new front from the end of the Maginot Line in the Carignan area down to the mouth of the Somme. Once already, between the Oise and Meuse, Hitler had voluntarily surrendered the initiative, thereby enabling the enemy to form his front on the Aisne. Now all attempts to retain the initiative south of the Somme had been renounced as
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-well.
-
-ASSAULT MARCH TO THE LOIRE
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-While I had been fated to be little more than an onlooker for most of the first phase of the campaign in the west, at least the second was to bring me the experience of being able to play my full part as commander of a senior formation.
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-All our attempts to persuade our superiors to allow us to cross the Somme before the enemy organized a cohesive defence behind it had proved fruitless. The first few days of June were now devoted to preparing for the planned attack which Fourth Army was due to launch early
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-on the 5 th.
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-The sector on both sides of Abbeville was taken over by 2 Corps (General Count Brockdorff). Between this and 38 Corps, General Hoth's 15 Panzer Corps was sandwiched in at Ailly. The
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-Amiens bridgehead, including 9 Panzer Division, was taken over by 14 Panzer Corps (General v. Wietersheim), which simultaneously came under command of the adjacent army. 38 Corps was thus left with a sector barely 30 miles wide on each side of Picquigny. For the
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-first assault it had two divisions up - the 46 Sudeten Infantry Division (Major-General v. Hase) on the right and the 27 Swabian Division (Lieutenant-General Bergmann) on the left. The 6 Westphalian Division (Major-General v. Biegeleben) was to be held in reserve to begin with, and only committed to complete the break-through once the leading divisions had got
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-across the river.
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-[Of these three well-tried divisional commanders, General v. Hase was executed after the attempt on Hitler's life on 20th July 1944, General Bergmann was killed in the east, and General v. Biegeleben died during the war. Author.]
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-While the high ground on our own side undulated gently down towards the Somme and had no woods to provide any effective cover, the southern banks rose steeply and gave the enemy an ample view of our jumping-off positions. However, the actual valley of the river, which was only a few hundred yards wide, concealed the two opposing front lines from each other by virtue of the numerous thickets at the water's edge. On the southern side - still within the
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-valley - were several villages, notably Breilly, Ailly and Picquigny, which the enemy appeared to have occupied in strength. Like most French villages, they had massive houses and walls that offered excellent strong-points to any defender. Up on the high ground behind the steep southern bank, in the rear of the enemy's defence zone, there were more villages and a number of sizeable woods affording the enemy useful centres of resistance and cover for his
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-artillery.
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-Our corps was now faced by two French divisions — a negro colonial division and the 13 (Alsatian) Division. Intelligence reports indicated that the enemy's artillery was certainly no weaker than our own numerically, and possibly even stronger. In view of the type of ground and the ratio of forces involved, I felt our attack would best succeed if we utilized the element of surprise. Our own artillery was thus ordered to remain completely silent until the assault
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-began. Only then was maximum fire to be put down on the southern bank and the villages down in the valley in order to eliminate all opposition to the actual river-crossing.
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-The infantry of both our divisions had been moved up into the riverside undergrowth the night before the attack, complete with rubber dinghies, pontoons and gangboards. Their mission was to effect a surprise crossing at first light and by-pass the villages.
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-The river-crossing at dawn on 5th June succeeded along the entire front, taking the enemy completely unawares. Then, however, his resistance came to life again up on the escarpment
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-and in the villages by the river.
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-The enemy fought bravely - the negroes with their characteristic bloodthirstiness and contempt for human life, the Alsatians with the toughness one had to expect from this Alemanic people, who had furnished Germany with so many good soldiers in World War I. It was really tragic to meet these German lads as foes in the present fighting. When I talked to the prisoners, many of them told me - not without pride - that their fathers had served in the German Army, the Guards or the Imperial Navy. It all put me in mind of the numerous Alsatian recruits I had trained myself in the Third Foot Guards, most of them — like my range estimator of those days, Lance-Corporal Deschang - being excellent soldiers.
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-I had watched the start of the attack from my corps command post in a copse fairly near to the front. As soon as we were satisfied that the crossing had been generally successful, I went
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-forward in my car. Now the struggle for possession of the commanding heights and the riverside villages started. One thing that struck us was the relative inactivity of the enemy artillery, which was quite out of proportion to the number of batteries we had identified. Obviously the French gunners were still far too Maginot-minded. Their shooting was not adaptable enough, and their speed in putting down strong concentrations of fire fell far short of the standard required in a war of movement. What was more, they had not developed forward observation technique to anything like the same extent as we had, nor were their specialists in this field of the same quality as our own observation battalions. As is so easy, the victor of 1918 had apparently been resting on his laurels much too long. It was, at all events, a pleasant surprise as far as we were concerned to find that the effect of the enemy artillery was not remotely comparable with that experienced in the static conditions of World
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-War I.
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-All the same, my own crossing of the Somme flats proved somewhat ticklish, since the recently erected emergency bridge was still within range of the enemy in the village of Breilly. Nevertheless, I managed to get through quite safely to 63 Infantry Regiment of 27 Division, which, led by its excellent commander, Colonel Greiner, had just taken the opposing heights - though not without heavy losses. What struck me as particularly admirable was the composure of the wounded, who were having to wait in the dead ground for vehicles which could not evacuate them at this early stage. Next I went back over the Somme to make my way via another crossing point to 40 Infantry Regiment of the same division, which had gone
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-in on the left wing of the corps. It was pinned down in front of Neuilly Wood, which fell largely within the sector of the neighbouring 14 Panzer Corps and was still held by the enemy. Here, too, I fear, quite considerable losses had occurred, since the regiment was under fire from behind from the village of Ailly, which was still in enemy hands. Despite this, the high ground commanding the valley had been captured here, too.
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-46 Infantry Division, on the right, had likewise made a successful crossing and was now in possession of the opposing heights. One could thus feel satisfied with the first day's results, even though the fighting for the riverside villages lasted well into the night.
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-As for the corps on each side of us, 15 Panzer Corps was also across the river, but could make no headway for some time, owing to the fact that the enemy was fighting hard for a large-sized locality called Arraines and thereby blocking the road indispensable to the armoured
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-vehicles.
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-On our left, 14 Panzer Corps, which had attacked from the Amiens bridgehead after a preparatory bombardment, appeared to have met with a serious hold-up because of enemy minefields. For this reason it was directed to attack southwards, with the result that we were out of touch with it for the remainder of our advance.
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-The attack of 5th June had gained us so much space south of the river that it was possible to bring the first batteries over during the night. However, it was still not clear whether the enemy would admit his defeat or try to continue his tough resistance further back. In such situations there tends to be a complete lack of intelligence on a vital question like this. A veil of uncertainty - the one unvarying factor in war - had descended on the enemy's location and intentions. Any over-hastiness at such a time can lead to severe setbacks, whereas a delay of even a few hours may enable the enemy to build up a new front that will cause another round
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-of heavy losses.
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-The field commander whose reaction here is to wait for unimpeachable intelligence reports to clarify the situation has little hope of being smiled upon by the Goddess of. War. In the very early hours of 6th June, therefore, I drove out to the command post of 46 Division, which had meanwhile moved over to the south bank of the river. Finding everyone there obviously still
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-half asleep after the strenuous events of the previous day, I pointed out the necessity of immediately taking up the pursuit, since the division appeared to have no direct contact with the enemy. With that I drove out to the division's forward areas, where, finding units of 42 Regiment without orders despite the audible din of combat out to their front, I set about getting them on the move. Next I paid a visit to the right-hand regiment of the corps. Though in fact ready to go forward, it was waiting to see what effect the artillery had on the village of Coisy to its front and the adjacent high ground and wood perimeter. Reconnaissance reports were not available. As I had the impression that neither the village nor the high ground and woods were any longer occupied, I ordered the regimental commander to start advancing on a broad front, but in well-dispersed groups. If there really were enemy still out there, they would duly show themselves and be beaten down by the artillery, which was being held in readiness. As long as it advanced in the pattern I had ordered, moreover, the regiment need have no fear of heavy losses. Since the commander evidently harboured strong doubts about my appreciation of the situation, I went on ahead in my Kubelwagen.
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-[A wartime variant of the Volkswagen, and the German equivalent of the Jeep. Jr.]
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-At the entry to Coisy we found the way barred by a barricade, but it was unmanned. From inside the village occasional shots could be heard, evidently fired by stragglers. After a brief observation, we drove into the village and found that it had indeed been evacuated, as had the high ground and the forward edge of the nearby woods. With this information in my pocket I returned to the regiment, which was now ready to advance, and suggested that they make arrangements to do their own reconnoitring in future. Although corps commanders are not
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-meant to do the work of scouting patrols, I felt it necessary in the circumstances to set a drastic example, particularly as the fighting troops did not know me yet and I was convinced
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-that the effectiveness of a pursuit depended on the initiative of the commanders. I was delighted to see how my A.D.C., Lieutenant v. Schwerdtner, and my young driver, Sergeant Nagel, enjoyed this unexpected reconnaissance trip.
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-During the afternoon I visited two regiments of 27 Division which were engaged in attacking the village of Saisemont. Somewhat unintentionally I found myself in the very front line, talking to a company commander. After briefing me on the situation, he apparently saw no reason why he should not take advantage of the presence of a high-ranking officer, and got me - flat on my belly - to spread out my big situation map and give him a detailed account of the battle as I knew it. Only after I had quenched his thirst for information could I start back for
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-Corps, taking with me a wounded man who had likewise shown a burning interest in my account of the situation. Fortunately the return trip was quite short, my tactical headquarters having meanwhile been moved up into a small wood near the front.
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-On 7th June 6 Infantry Division, which had already been brought over the river the day before, was committed to battle on the corps' extreme right. These sturdy Westphalians - who have always been good soldiers - showed admirable elan, and when I drove out to see the division in the course of the afternoon I found the steep depression of the Poix sector — which could actually have served the enemy as a useful support - already captured, the small town of Poix in our hands and the regiment busy attacking a village on the far side of the sector. Nonetheless, Poix and the approach road which ran into it were under very uncomfortable fire from long-range artillery. Some light relief was provided when the driver of an ammunition lorry, finding himself halted by the shell-fire, chose to dive for cover under that very same vehicle, despite its cargo of shells!
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-That afternoon I was to see a regiment of 46 Division which was pinned down in front of the Poix sector. It, too, managed to cross by evening, after establishing the necessary liaison with the heavy weapons and artillery, which had presumably been lacking in the first instance.
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-27 Division, which had had to bear the brunt of the fighting, could now be assigned to the second line, for the pursuit was undoubtedly well into its stride. Its place on the left flank of the corps was to be taken by the newly allocated 1 Cavalry Division.
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-8th June saw a continuation of the pursuit, with the Westphalians still setting the pace. 46 Division reported a concentration of 100 tanks, against which a dive-bomber attack was ordered. Unfortunately nothing came of an order to the division to take advantage of this
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-opportunity to seize the tanks. They vanished, although swift action would probably have
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-produced the desired result.
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-The course of the fighting on 7th and 8th June left Corps H.Q. with the impression that our hard-hit opponent was no longer able to offer anything more than localized and temporary resistance in the open field. It could be assumed that he would try to get what forces he still
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-possessed safely back behind the lower reaches of the Seine. There, with the help of any reserves he might have, he would in all likelihood renew his attempts to fight back. As far as the corps was concerned, therefore, everything depended on our moving in quickly to force our way across the river before the enemy had the time or opportunity to organize a defence.
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-So although the corps was still about 45 miles from the Seine on the evening of 8th June, orders were given to the leading divisions to have their motorized spearheads not only up to
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-the river but actually across it by the following day. The main body of infantry and horse-drawn artillery was to follow at the highest speed they could march so that they, too, reached the Seine on 9th June. 6 Division was directed towards the crossing at Les Andelys, 46
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-Division to that at Vernon.
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-This was an extraordinary feat to expect from troops who had been engaged in a running fight with the enemy for four days past, but there happen to be moments in war when a senior commander must impose the most severe demands if he is to avoid flinging away an opportunity for which his troops may have to fight all the harder later on.
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-In this case, moreover, the overall operation argued in favour of taking swift action. So far the French seemed determined to defend Paris. There were strong enemy forces stationed in the metropolitan defence system running from the Oise to the Marne far north of the city. If the Seine could be crossed below Paris, the defences in question would be lifted off their hinges and the forces manning them would have no alternative but to withdraw hastily from the city
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-to avoid being cut off.
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-Thus the situation of the corps dictated high demands on the troops. It required commanders at all levels to display the utmost initiative and to act with the greatest possible speed. An opportunity as favourable as this must be seized with both hands.
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-From the early morning till the late evening of 9th June I was out on the road ensuring that the
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-forward divisions of the corps reached the objectives assigned to them. It was a pleasure to note that despite what they had already been through, our infantry were cheerfully prepared to go to the limits of endurance to attain their goal, the Seine.
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-Naturally the usual frictions occurred, although in the case of 6 Division everything went off very smoothly. Early in the morning I had met the two divisional commanders and then paid a visit to 46 Division. When I subsequently arrived at 6 Division's crossing place by Les Andelys about noon I discovered that the reconnaissance battalion had by now reached the river and that the divisional staff were already preparing for the crossing, which was due to
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-take place that afternoon. Unfortunately the bridge had been blown by the time the reconnaissance troops arrived. The picturesque little town of Les Andelys, perched high on a cliff, was burning from a dive-bomber raid which, since it gave advance notice of our arrival,
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-we had not in the least desired.
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-One or two difficulties did crop up in the case of 46 Division, however. First of all, it had moved off three hours later than was expected. By the time I returned to it after visiting 6 Division it had lost all contact with its reconnaissance battalion, and the latter, wherever else it might be, was certainly not at the Seine, like that of 6 Division. There was nothing for it but to suggest to the commander of 46 Division that he meet me early that evening at Vernon, his crossing place. He might, I added, at least bring his missing reconnaissance battalion along
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-with him.
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-Meanwhile I returned to Les Andelys, where I found 6 Division's crossing in progress at three points in the face of only weak opposition. The infantry and horse-drawn artillery had strained
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-every nerve to reach the Seine in good time.
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-On returning to Vernon about seven in the evening, I found that the divisional commander and his reconnaissance battalion really had arrived. Here, too, unfortunately, the enemy had
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-had time to destroy the bridge. As Vernon was under rather fierce machine-gun fire from the south bank of the river, I directed that the reconnaissance troops should cross at night under
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-the cover of darkness.
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-During this turbulent chase T had been unable to employ 1 Cavalry Division - which had meantime arrived in the corps area - as I would have liked. It was still too far back, and the army had let me have it only on the express understanding that I committed it on the Oise to cover the army's left flank against any threat from Paris. Incidentally, the division reported
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-that it had been attacked - still far to the rear of my advance divisions - by strong enemy armoured forces. These were clearly the tanks that had previously given 46 Division the slip and were now marauding in our extended flank.
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-When, after a short night's sleep, I returned to Vernon in the early hours of 10th June, 46 Division, too, had got its first elements across the river. Thus 38 Corps was the first to have established a firm foothold on the south bank. The troops had every right to be proud of the pursuit they had accomplished, and I, for my own part, was happy to know that swift action had probably spared the corps a hard struggle for the Seine crossings.
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-38 Corps' position was no enviable one, all the same. It stood alone on the south bank of the
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-river. 15 Corps on its right had not reached the Seine until 10th June, and had then been diverted to Le Havre. 2 Corps, which was following behind, was still some distance away. On the left flank loomed the big question mark of Paris, where any number of the enemy might be hidden. What was more, 38 Corps needed another two days to lift all its forces over the river. The two weak pontoon bridges at Les Andelys and Vernon were the object of repeated attacks by the R.A.F., which did in fact succeed in putting the one at Vernon out of action for a time. If the enemy commander still had any reserves available on this wing and could bring himself to take the initiative, 38 Corps in its isolation south of the river would in- evitably be
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-their target.
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-The commander of Fourth Army, Colonel-General v. Kluge, had told me at the start of the offensive that the operational objective set him by O.K.H. was to 'gain bridgeheads south of the Seine'. Even if it were the Supreme Command's aim to decide this second phase of the French campaign not - as I had envisaged — by a strong north wing wheeling round to the west of Paris on the lines of the Schlieffen Plan but - most successfully, as it turned out - by a southward thrust of massed armour to the east of Paris, the mission allotted to Fourth Army still seemed a most inadequate one. For even if the thrust east of Paris were intended to be the
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-decisive action, with Army Group C's breakthrough attacks on the Maginot Line and Army Group B's advance over the lower Somme ranking as perhaps only secondary undertakings, it was necessary that we retain the initiative. Army Group A did not start its drive across the Aisne until 9th June, and it still remained to be seen whether this would bring the decisive success expected of it. At the same time one had to assume that the enemy - also with the Schlieffen Plan in mind - would not overlook the danger of our executing an extensive outflanking movement across the lower Seine and would duly take his own counter-measures.
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-This gave us all the more reason for retaining the initiative on the right wing of the German armies and not leaving the enemy any time to deploy here for either defence or counter-attack.
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-If, then, Fourth Army's strategic role - as I saw it - gave reason for pressing on with the attacks south of the river, it seemed wrong to me that 38 Corps should sit in a bridgehead and wait for the enemy to amass what might prove to be superior forces against it.
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-I thus asked the army for permission to attack southwards as soon as my corps artillery were across the river, instead of holding the bridgehead which we had meanwhile expanded to the Eure. As a precaution, 27 Infantry Division, too, had been brought over to the south bank of the Seine. On nth June, moreover, I requested approval to bring 1 Cavalry Division south of
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-the Seine from its position on the Oise, where it had that very day scored a neat success against the enemy armour mentioned above. In the circumstances I found it entirely natural
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-that the one cavalry division we possessed should form the spearhead of the pursuit. My intention was to use it to bar the railway lines and roads to Paris at the earliest possible date.
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-Unfortunately my proposals were turned down on the grounds that the army must first await instructions on its future actions, 1 Cavalry Division was then taken away from me and placed under command of 1 Corps in the second line of advance, with orders to continue guarding the Oise flank and in any case to remain north of the Seine. And so, to my intense regret, this fine division was deprived of the one role that would have corresponded to its special
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-character.
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-Two incidents on the evening of 11th June served, in my opinion, to vindicate the requests we had made. 58 Infantry Regiment of 6 Division shot down an enemy pilot who was found to be carrying documents indicating that an extensive withdrawal had been ordered. Secondly, 46 Division reported that it was being subjected to a strong attack by the enemy's tanks - a sign that he found our presence south of the river most disagreeable. Further inactivity on our part could only improve the position as far as he was concerned.
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-46 Division beat off the attack the same evening, though the losses it suffered in the process
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-were not inconsiderable. Early next day it reported that the enemy to its front was again preparing to attack (the number of tanks it named was 110) and urgently appealed for help. I resolved to go over to the attack on my own initiative with all three divisions. Hardly had the
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-orders to this effect been issued, however, when the Army Commander himself appeared. While agreeing with my decision, he felt he must still bide his time in the absence of any fresh operational directives from O.K.H. His main anxiety was obviously that I might set off with my corps on my own. Consequently he gave strict orders that the attack must not go beyond the line Evreux-Pacy. To make doubly sure, this was reiterated in army orders the same
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-evening.
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-While the attack of 27 Division on the left made good progress, 46 Division reported that it was not yet able to get started because it had insufficient artillery, ammunition and rations on the south bank. Even so, it had repelled the tank attacks - though the number involved had
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-proved to be not more than fifty or sixty.
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-The next few days were again a period of pursuit, 2 Corps crossing the Seine to our right on I3th June. That day we put up at a little chateau belonging to the well-known novelist Collette dArville, who was unfortunately away. I thus spent the night in Madame's bedroom: like the salon, it was most elegantly furnished, with a private entrance from the park presumably dating back to gayer days. The swimming-pool outside was a great boon to us all.
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-On 14th June we received a visit from the Commander-in-Chief. I was able to apprise him of the corps' successes to date, but while taking note of these, he revealed nothing about any
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-future intentions.
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-On 15th June Colonel-General v. Kluge informed me that Fourth Army had now been given Le Mans as its objective, and stressed the need to go flat out for this without any regard for the formations on either flank. In our case, I feel, the advice was unnecessary.
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-On 16th June the divisions of the corps again encountered organized resistance along the line Ferte-Senoches-Chateauneuf. The forces involved were elements of 1, 2 and 3 Mechanized Divisions, which, after fighting in Flanders, had escaped through Dunkirk and disembarked again at Brest. Troops of two Spahi brigades and a Moroccan division were also identified. By evening enemy resistance was broken. Here, too, I was most impressed by the men of 6 Division when I visited the latter during my tour of the divisions.
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-That evening we received an army order fixing Le Mans-Angers as our axis of advance, 1 Corps was to be phased in on our left, taking 46 Division under command. 15 Panzer Corps, less one division earmarked to take Cherbourg, was to advance on the Lower Loire and 'form bridgeheads there'. This seemed to be the be-all and end-all of it.
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-On 17th June the resignation of Reynaud and the appointment of Marshal Petain was announced. Was the old man to organize resistance afresh or did the politicians intend to leave it to this renowned veteran of the First World War to sign a capitulation?
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-An order from the Fiihrer reaching us on 18th June called for a ruthless pursuit of the enemy -once again no novelty as far as we were concerned. It also ordered the occupation of'the old Reich territories of Toul, Verdun and Nancy', the Creusot Works and the ports of Brest and Cherbourg. We made a forced march, one of our regiments covering almost 50 miles and a motorized reconnaissance battalion under Colonel Lindemann actually getting to a point west
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-of Le Mans. I spent the night in the medieval castle of Bonnetable. With its moat and drawbridge, its four front towers with walls 9 feet thick, and its ceremonial gardens flanked by two more towers at the rear, it was, next to the Loire castles I was soon to see, probably the most impressive building of its kind I came across in France. The interior, too, was splendidly furnished, and even some of the domestic staff were still in occupation. The owner, M. de Rochefoucauld, Duke of Doudaigne, had unfortunately fled.
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-On 19th June I drove 30 miles out to Lindemann's reconnaissance battalion without seeing a single German soldier. At Le Mans, where my grandfather had made a victorious entry seventy years before, I went over the magnificent cathedral. En route we met bodies of unarmed French troops marching east and a whole artillery regiment which had surrendered to Lindemann, with its full complement of guns and vehicles. The enemy was obviously disintegrating. Despite this, I found Lindemann's battalion held up on the Mayenne sector at
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-Lion d'Angers. Tanks had been spotted on the far bank and machine-guns had the bridge under fire. Lindemann was making vain efforts to drive off the enemy with the only artillery he had, a 10-cm. motorized battery. On going down to the most forward position by the river, some distance from the bridge, I discovered that except around the bridge itself the enemy was obviously not present in any great strength - if indeed he were there at all. Spotting a squadron commander who was apparently waiting on the bank to see whether the enemy would now give up the bridge voluntarily, I advised him to swim across further downstream. If he wished, I added, I should be glad to go with him. The offer worked. Shortly afterwards the entire squadron - naked as God made them - plunged into the river and reached the far bank unscathed. The bridge was ours - though by now, I fear, a number of German dead lay around the approach to it from our side. I stayed with the reconnaissance troops till they had resumed their advance on the far side of the river, and then returned to my corps command
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-post. In view of the fact that this reconnaissance force had been held up on the Mayenne for eight hours by only a few enemy tanks and machine-guns, I sent my senior aide, Lieutenant Graf, straight back to Lindemann with strict orders to cross the Loire that very night. Sure enough, Graf found the troops just about to settle down to rest - on our own side of the river. He carried his point, however, and the same night the battalion went over the river with Graf
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-in command of the leading rubber dinghy.
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-During the hours of darkness Corps H.Q. heard from both divisions that they had their reconnaissance troops across the Loire. I immediately went forward, and could not help being impressed, on my arrival there, by the immensity of the river. At the western crossing point, Ingrades, there was a powerful current running, and the distance from bank to bank measured close on 600 yards. Two arches of the high bridge had been blown, and the intervening gap was to be closed by a pontoon bridge. To compensate for a difference in height of almost 30 feet, a steep ramp had to be installed. Since it proved hazardous enough to drive up this even in a Kubelwagen, all the heavy types of vehicles still had to be ferried across — no easy task in view of the breadth of the river, the strong current and the numerous sandbanks.
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-The position was simpler at Chalonnes, the other crossing point, for here the river split into three tributaries. The bridges over the two northern branches had fallen into our hands intact, leaving us only a stretch of 160 yards to span. At this spot I was to witness a most unusual duel. While the only French troops to be seen on the opposite bank during the morning had been unarmed, heavy tanks subsequently showed up there in the course of the afternoon. The forces we had ferried so far had been unable to halt them, since they still had no means of getting any guns across. So, from a position by the Chalonnes bridge, I saw an 88-mm. German AA gun and a heavy French tank come into position simultaneously on opposite sides of the river and open fire on one another at the very same instant. Unfortunately our own gun was immediately knocked out. The very next moment, however, its place was taken by a light anti-tank gun, which was lucky enough to score a direct hit on the one weak spot in front of the enemy 32-tonner. The latter immediately burst into flames.
-
-That evening I moved into the castle of Serrant near Chalonnes. It was an imposing building of tremendous size, flanked by massive towers and arranged in the form of a horsehoe around ceremonial gardens. Round it all flowed a moat. The castle belonged to the Due de la Tremouille, Prince de Tarent - one of the leading names of ancient France. The dukes had gained the latter title by marriage in about 1500 as the hereditary right of the Anjou family in Naples. They did not, however, win the Neapolitan throne, of which Ferdinand the Catholic took possession. Together with Bayard, a Tremouille had the sole right to the title of chevalier sans peur et sans reproche. In addition to the wonderful library, the castle contained a wealth of historical mementos, including many from the days when its masters were supporters of the Stuarts. The ground floor was closed, as this was one of the castles being used to store the furniture from the Palace of Versailles. I myself occupied an upstairs room in one of the towers, fully furnished for a grand lever, with a bed of state under a 25-foot-high canopy. Adjoining it was an equally splendid dressing-room with a wonderful coffered ceiling in barrel-vaulting. The castle, the outer walls of which were coated in white sandstone and the towers built of pebbles, lay in a huge park. A magnificent staircase under an arched Renaissance ceiling led up to the chambers on the first floor, a number of which were beautifully panelled and hung with paintings and the most delightful Gobelin tapestries. It goes without saying that here, as in all other quarters we occupied, the owner's property was respected and treated with the most scrupulous care.
-
-By 22nd June we had succeeded in getting 6 and 27 Divisions over the Loire. Their reconnaissance units pressed a little further still to accept the surrender of countless French
-
-troops.
-
-On 23rd June we learnt that an armistice had been signed in Compiegne the previous day. The French campaign was over. In a Corps Order of the Day I felt it proper to thank the divisions
-
-under my command - none of which, I pointed out, had enjoyed the benefits of armoured protection or mechanical propulsion - for their self-sacrifice, bravery and joint achievements. As the sequel to a successful assault operation they had made possible a 300-mile pursuit which had every right to be called 'the assault march to the Loire'!
-
-The wheel had turned. The road from Compiegne 1918 to Compiegne 1940 had been a long
-
-one. Where would it take us from here?
-
-7
-
-BETWEEN TWO CAMPAIGNS
-
-THE DAY the French laid down their arms erased one of the blackest memories in the minds of the Germans - that of the surrender of 11th November 1918, signed in Marshal Foch's railway-coach at Compiegne. Now France was having to sign her own capitulation at the
-
-same place and in that same coach.
-
-22nd June 1940 marked the peak of Hitler's career. France, the threat of whose military might had hovered over Germany since 1918, was eliminated as an opponent of the Reich, just like her eastern satellites before her. Britain, even if by no means finally beaten, had been driven off the Continent. And although the Soviet Union - now a neighbour of the Reich - constituted
-
-a latent threat in the east despite the Moscow pact, she was hardly likely, in view of the German victories over Poland and France, to turn aggressive in the near future. If indeed the Kremlin had ever contemplated exploiting Germany's engagement in the west to carry out further expansion, it had apparently missed its chance. Evidently it had not allowed for the possibility of the Wehrmacht's winning so swift and decisive a victory over the Allied armies.
-
-That the Wehrmacht had achieved such successes in Poland and France certainly did not mean that its leaders had been working for a war of revenge ever since that first day of Compiegne. Contrary to all the claims of hostile propagandists, the plain fact is that General
-
-Staff policy in the years between 1918 and 1939 - thanks to a sober appreciation of the dangers that would threaten the Reich in the event of hostilities - was not to wage a war of aggression or revenge but to safeguard the security of the Reich. Admittedly, the military leaders had ultimately allowed Hitler to outmanoeuvre them, just as it may be said that they accepted the pre-eminence of politics - even politics they did not agree with, but could have
-
-prevented only by a coup d'etat.
-
-For the rest, the extent of the rearmament which Hitler had done everything possible to promote was far from being the only reason for the successes now attained. Certainly -considering the state of defencelessness dictated to Germany at Versailles - rearmament had been a prior necessity for the successful conduct of a war. But there could be no question of the Wehrmacht's having had anything like the preponderance which was later to be enjoyed by the Soviet Union on land and the Western Powers in the air. Indeed, as far as the number
-
-of formations, tanks and guns went, the Western Powers had been equal, and in some respects even superior, to the Germans. It was not weight of armaments that had decided the campaign
-
-in the west but the higher quality of the troops and better leadership on the German side. While not forgetting the immutable laws of warfare, the Wehrmacht had simply learnt a thing
-
-or two since 1918.
-
-After the armistice O.K.H. started taking steps to demobilize a considerable number of divisions. At the same time certain infantry divisions were to become either armoured or
-
-motorized.
-
-The headquarters of 38 Corps was initially moved into the region of Sanserre, on the middle reaches of the Loire, to handle the conversion of a number of these divisions. We thus exchanged the splendid castle of Serrant, filled with so many historical memories, for a
-
-
-
-
-
-smaller chateau built by the manufacturer of the world-famous Cointreau at the summit of a
-
-steep hill overlooking the Loire valley.
-
-Our new home was supposed to represent an ancient stronghold and had all the hallmarks of bad taste usually found in imitations of this kind. The effect was not improved by a tower near the living-premises that had actually been built to look like a ruin. Nor did the little cannons
-
-along the terrace bear as much resemblance to war trophies as their owner, the liqueur manufacturer, might have hoped. The only beautiful thing about the place was the view from the top of the hill over the far-flung, fertile valley of the Loire.
-
-One indication of the parvenu mentality of the owner could be found in a big picture hanging in his study. It depicted, ranged around a circular table, the crowned heads of Europe at the turn of the century - our own Kaiser, the old Emperor Franz Josef, Queen Victoria, and so forth. Unfortunately they all looked as if they had taken more Cointreau than was good for them. On his feet beside the table was the owner himself, triumphantly brandishing a glass of his own liqueur. The removal of this monstrosity was the one change we made in that
-
-'chateau'.
-
-On 19th July all senior Wehrmacht commanders were summoned to Berlin to attend the Reichstag session at which Hitler announced the end of the campaign in the west. On the same occasion he expressed the gratitude of the nation by honouring a number of high military leaders, doing so on a scale which implied that he thought the war as good as won. Natural as the German people found it to honour meritorious soldiers, we army men felt the distinctions now bestowed overstepped the bounds of necessity both in character and scope.
-
-Hitler's appointment of a dozen field-marshals and one grand-admiral simultaneously was bound to detract from the prestige of a rank which had previously been considered the most distinguished in Germany. Hitherto (apart from the few field-marshals nominated by Kaiser Wilhelm II in peace-time) one needed to have led a campaign in person, to have won a battle
-
-or taken a fortress to qualify for this dignity.
-
-At the end of the Polish campaign, during which the Commander-in-Chief and both the army group commanders had fulfilled these requirements, Hitler had not seen fit to express his thanks to the army by making these men field-marshals. Yet now he was creating a dozen simultaneously. They included (apart from the Commander-in-Chief, who had fought two brilliant campaigns) the Chief of O.K.W., who had held neither a command nor the post of a Chief-of-Staff Another was the Under-Secretary of State for the Luftwaffe, who, valuable as
-
-his feats of organization had been, really could not be ranked on a par with the Commander-in-Chief of the Army.
-
-The most blatant indication of Hitler's attitude was the way he raised Goring over the heads of the army and navy Commanders-in-Chief by appointing him Reich Marshal and making him the sole recipient of the Grand Cross of the Iron Cross. In the circumstances this method of distributing the honours could only be regarded as a deliberate slight to v. Brauchitsch, and showed all too clearly what Hitler thought of O.K.H.
-
-On the day of the Reichstag session I learnt that our Corps H.Q. was earmarked for a new role. We were moved to the Channel coast to prepare for the invasion of England, three infantry divisions being placed under our command. Our billets were in Le Touquet, an elegant seaside resort near Boulogne where a number of English people owned pretty villas. While the H.Q. took over one of the incredibly luxurious hotels, I and my immediate staff moved into a small villa belonging to a French shipowner. Though the owner had fled, he had left his domestic staff in possession, so we found someone already installed who could run the
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-house and look after its furniture and other contents. In contrast to what happened later in Germany, it did not occur to us to act as lords and masters who could do as they pleased with enemy property. On the contrary, a strict check was kept on houses occupied by German troops, and the removal of whole sets of furniture or the appropriation of valuables as 'souvenirs' certainly had no place in the German Army's code of behaviour. When out riding one day, I passed a villa that had been left in a state of pretty average confusion by the German unit recently in occupation. The very next morning the sergeant-major of the company concerned had to move in with a fatigue party and personally ensure that order was
-
-restored.
-
-As a result of the impeccable behaviour of our troops, nothing happened to disturb our relations with the civil population during my six months in France. The French, for all their politeness, maintained a dignified reserve which could only earn our respect. For the rest, I suppose everyone tended to fall under the spell of that blessed land, with its beautiful scenery and wealth of monuments to an ancient culture - to say nothing of the delights of a famous cuisine! And the things that were still to be had in the shops! Admittedly our purchasing power was limited, as only a percentage of a man's pay was issued in occupation currency. This regulation was strictly enforced where the army was concerned, thereby imposing a check on the natural urge to go shopping - a thing most desirable for Wehrmacht prestige. Still, one had enough to make an occasional trip to Paris and pass the day savouring the charm
-
-of that city.
-
-Our stay on the coast enabled us to go bathing right up to the middle of November - a pleasure which my new aide, Lieutenant Specht, my faithful driver, Nagel, and my groom, Runge, enjoyed just as thoroughly as the opportunities for long gallops along the beach. On one occasion, however, we forgot about the unusual tides in the Channel, where there can be as much as 26 feet difference between high and low tide. This, incidentally, proved an extremely important factor when the possibility of a landing on the English coast and the times of embarkation in the invasion harbours came under discussion. As a result, when we were already far out to sea, the waves suddenly started lapping round our Mercedes on the beach. Only in the very nick of time did we succeed in getting a tractor to tow it out of the incoming tide, through sand that had already turned very soft.
-
-But neither the joys and attractions of that beautiful country nor the period of rest after a successful campaign caused our troops to go soft — a fate to which occupation troops are usually exposed. Any tendency in that direction was counteracted by the need to train our formations for the projected invasion, a completely new task in itself. The troops had daily
-
-exercises in the dunes and neighbouring fenland, which in many respects resembled our intended landing-places. After the arrival of our ferrying equipment - converted Rhine and
-
-Elbe barges, small trawlers and motor-boats - we were able, in calm weather, to practise embarkation and disembarkation with the navy. As often as not, when a landing-craft beached clumsily, this spelt a cold bath for one or two of those taking part. The young midshipmen
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-still had their own job to learn. One could not blame them for their lack of enthusiasm at
-
-having to command Elbe barges instead of serving on a smart cruiser or U-boat — particularly as it was not always easy to get along with the old salts who owned the barges
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-and trawlers and stood beside them on the bridges of these rather fantastic invasion craft. Nevertheless, all personnel showed the utmost keenness in training for their unaccustomed task, and we were convinced that, like everything else, it could be mastered in due course.
-
-OPERATION SEALION
-
-This seems to me to be a good place to include a few critical remarks on Hitler's invasion plan
-
-and the reasons that led him to abandon it.
-
-If Hitler really believed he had already won the war after the defeat of France and that it was now merely a matter of bringing this home to Britain, he could not have been more wrong. The icy indifference of the British to his peace offer - which was anyway an extremely vague one - showed that neither the Government nor the nation were open to persuasion.
-
-And so Hitler and O.K.W. found themselves wondering 'What next?'
-
-Any statesman or supreme commander is liable to be faced with the same problem in wartime
-
-when an entirely new situation arises through a military setback or an unexpected development in the political field - the entry of another Power into the war on the side of the enemy, for example. In such circumstances he may have no choice but to throw the existing 'war plan' overboard. At the same time one may feel inclined to blame him for overestimating his own resources and underrating the enemy's or for committing an error of political
-
-judgement.
-
-But when the head of a State or a war machine has to ask himself'What next?' after his military operations have entirely fulfilled - or, as in this case, far exceeded - his expectations, leading to one enemy's defeat and causing the other to beat a retreat to his island fastness, one cannot help wondering whether such a thing as a 'war plan' ever existed on the German side.
-
-Certainly no war goes off according to a firm programme set by one side or the other. But since Hitler accepted the risks of war with France and Britain in September 1939, it was his duty to consider beforehand how he should cope with these powers in various contingencies. It is quite obvious that prior to - or even during - the offensive in France, Germany's supreme command had no kind of 'war plan' to determine what measures should be taken once the victories it hoped for had been won. Hitler's hope was that Britain would give in. As for his military advisers, they clearly felt obliged to await a 'Fiihrer's decision'.
-
-The above state of affairs strikingly exemplified the inevitable outcome of the inexpedient military roof organization that had emerged in Germany when Hitler assumed supreme command without creating a Reich Chief-of-Staff responsible for grand strategy.
-
-The plain fact is that, next to the Head of State who made the political decisions, there was no parallel military authority empowered to take responsibility for this overall strategy.
-
-From its very inception Hitler had relegated O.K.W. to the status of a military secretariat. In any case, its chief, Keitel, would not have been in the least capable of advising Hitler on
-
-strategy.
-
-As for the Commanders-in-Chief of the three armed services, Hitler allowed them practically no influence whatever on grand strategy. From time to time they were able to express an
-
-opinion on policy matters at personal interviews, but ultimately Hitler alone made the decisions on the basis of his own deliberations. So invariably did he insist on the right to initiate policy that - except in the case of Norway, where Raeder probably put up the first suggestion -1 know of no instance in which a fundamental decision impinging on overall war policy can be placed to the credit of any of the three service staffs.
-
-Since no one - least of all O.K.W. - was authorized to draft a 'war plan', the effect in practice was that everyone left things to 'the Fuhrer's intuition'. Some, like Keitel and Goring, did so in credulous adulation; others, like Brauchitsch and Raeder, in a mood of resignation. The fact that all three service staffs certainly conducted their own internal studies of long-term policy made not a scrap of difference. (As early as the winter of 1939/40, for example, Grand-Admiral Raeder made the Naval Operations Staff examine the technical possibilities and requirements of a landing operation on the coast of England.) There was still no military authority or personality, in the sense of a real Chief of the General Staff, whom Hitler was prepared to regard not only as an expert or executive but also as being explicitly in charge of
-
-overall strategy.
-
-In the event, the result of this pattern of command was, as I have already stated, that when the campaign in the west was finished, we were confronted with the problem of what to do next.
-
-In addition to this, the German Supreme Command had two facts to contend with:
-
-First, the existence of an unbeaten Britain which was palpably unwilling to come to terms.
-
-Secondly, the danger of intervention by our new neighbour, the Soviet Union, however peace-loving it might be acting in the meantime. It was a threat which Hitler had indicated back in November 1939, when stressing the need to achieve a prompt decision in the west.
-
-In the light of these two facts it was clear that the Reich's most pressing task must be to end the war with Britain at the earliest possible date. Only then could one hope that Stalin had finally missed his chance to exploit the discord of the European peoples for his own
-
-expansionist ends.
-
-If no way to an understanding could be found, Germany must try to rid herself of her last
-
-opponent, England, by force of arms.
-
-It is the tragedy of that brief period in which the fate of Europe was settled for so many years
-
-to come that neither side sought any means of coming to terms on a common-sense basis. What is certain is that Hitler would have preferred to avoid a life-and-death struggle with the British Empire because his real aims lay in the east.
-
-The way he put over his far-too-vague peace offer at the Reichstag session after the campaign in France, however, was hardly conducive to favourable reactions. Apart from that, it is open to doubt whether Hitler, already drunk with a belief in his own infallibility, would have been
-
-ready to accept a peace based on reason and justice even if the opposing side had seriously suggested such a thing. What is more, he was now the prisoner of his own deeds. He had
-
-handed over half of Poland and the Baltic to the Soviet Union - an action he could reverse only at the cost of a new war. He had opened the way to Italy's covetous desire for territories
-
-under French sovereignty, and thereby landed himself in a state of dependency on his ally.
-
-Finally, since Prague, he had become untrustworthy in the eyes of the world and forfeited everyone's faith in whatever agreements he might subscribe to.
-
-For all that, the mass of the German people would have wildly acclaimed him had Hitler presented them with a reasonable negotiated peace after the defeat of France. They were not eager to incorporate tracts of predominantly Polish territory into the Reich, nor did they feel any sympathy for those who, still dreaming of a distant past, based their claims to these lands on the fact that they had once formed part of the Holy Roman Empire. The idea of a Master
-
-Race whom it behoved to dominate Europe, or even the whole world, was never taken seriously in Germany except by a few party fanatics. Hitler had only to whistle his pack of propaganda enthusiasts to heel and the general approval for a reasonable peace would have
-
-been free to express itself.
-
-On the other hand, though, it may be that the British national character, so impressively incorporated in the person of Winston Churchill, prevented Britain from entertaining any serious thought of a rational settlement at that or indeed any later stage of the war. There was that admirable tenacity of the British which impels them to go through with any struggle they have once embarked on, however threatening the situation of the moment may be. On top of this, in the bitterness of their 'unconditional' hatred for Hitler and his regime (and for 'Prussianism', too, in the case of several political leaders), came the inability to discern an even worse system, and an even greater menace to Europe, in the form of the Soviet Union. What also prejudiced British policy was the traditional striving for a European balance of power, the restoration of which had been Britain's ultimate motive for entering the war, since
-
-it demanded the defeat of a Germany which had become too powerful on the Continent. British eyes were blind to the fact that the big need in a changed world would be to create a world balance of power in view of the might which the Soviet Union had attained and the dangers inherent in its dedication to the idea of world revolution.
-
-In addition to all this, Churchill was probably too much of a fighter. His mind was too exclusively concerned with battle and ultimate victory to see beyond this military goal into the political future. Only several years later, when the Russians were approaching the Balkans, a neuralgic spot for Britain, did Churchill appreciate the danger of this development. By then, however, he could no longer get his way with Roosevelt and Stalin. Meanwhile he relied on the vitality of his people and the ability of the American President eventually to bring the United States into the war on Britain's side - disinclined though the American people might have been at that stage, for all their dislike of Hitler, to see this happen.
-
-Furthermore, a man like Churchill was hardly going to overlook the latent danger which the Soviet Union represented for Germany. As far as the war was concerned, he booked it on the credit side for Britain. On the other hand, the idea of seeking a settlement with Germany on the premise that this would most probably be shortly followed by a struggle for power between the two totalitarian States appears to have found no place in his reasoning. This despite the fact that a sober assessment of the strengths and weaknesses of the two Powers would almost certainly have led him to deduce that neither could completely master the other and that they were much more likely to tie each other down, to their mutual debilitation, for some time to come. Such a situation would automatically have cast the Anglo-Saxon Powers as world umpires - to say nothing of the fact that the struggle between the two totalitarian States would probably have sealed the fate of their regimes.
-
-In an age of dictatorships, ideologies and 'crusades', an age in which the emotions of the masses are whipped up by unbridled propaganda, the word 'reason' is, I fear, never spelt with a capital 'R. And so, to both peoples' detriment and Europe's misfortune, it turned out that neither Britain nor Germany could see any practical alternative but to fight it out.
-
-Thus the German Supreme Command's answer to the problem of what to do after the end of the campaign in the west was to continue the struggle against Britain. But the fact that, for the
-
-reasons discussed above, no war plan extending beyond the campaign in the west of the Continent had ever existed on the German side was to have grave consequences. When Hitler now conceived the plan (without actually making up his mind) to tackle Britain by invasion, no practical preparations whatever had been taken to this end. In consequence we threw away our best chance of taking immediate advantage of Britain's weakness. The preparations that were only now put in train used up so much time that the success of any landing became
-
-doubtful for reasons of weather alone.
-
-This last fact, in addition to others to which we shall return in due course, gave Hitler his grounds - or rather his pretext - for dropping the invasion project and turning right away from Britain to strike at the Soviet Union. The outcome is well known.
-
-Before I deal with the reasons for this decisive change of front, I feel I should review the chances that would have existed had Hitler been ready to carry through the fight with Britain
-
-to the last.
-
-Three methods would have been open to us. The first would have been to try to force Britain to her knees by cutting off her supply lines from overseas. Germany's prospects here were favourable to the extent that she now had full possession of the coasts of Norway, Holland, Belgium and France as bases for air and submarine warfare.
-
-The position regarding the resources to be used in this connexion was less favourable.
-
-So far the navy had nothing remotely approaching an adequate number of U-boats - not to mention the heavy vessels, particularly aircraft-carriers, which would have had to co-operate with them. In addition, it was seen that Britain's anti-submarine defences would retain the upper hand as long as we failed to put the R.A.F. out of action. As for the Luftwaffe, the following are the tasks that would have devolved on it:
-
-(i) to achieve mastery of the air at least to the extent of eliminating the R.A.F.'s ability to
-
-combat submarine warfare;
-
-(ii) to paralyse the British ports; (iii) to co-operate effectively with the U-boats in their attacks on enemy shipping.
-
-In practice all this amounted to overcoming the R.A.F. and destroying its production centres.
-
-That the Luftwaffe was still not strong enough to attain this object in 1940 is shown by the Battle of Britain. Whether the outcome would have been the same if weather conditions had not been so unexpectedly unfavourable in August and September and if the German command had not turned its attention from fighting the R.A.F. to attacking London at what might well have been a critical time for the enemy may be left undecided.
-
-At all events, it was impossible in the summer of 1940, in the light of the very limited number of German bombers available and the lack of long-range fighters, speedily to fulfil the aim of overpowering the R.A.F. and destroying its production centres. Every battle that ever had to be fought out by sheer weight of material resources has always required more time and far more forces than were originally estimated. Quick decisions in battles between more or less equal opponents are usually reached only by superior leadership, and seldom by a test of strength, as would have inevitably been the case here.
-
-We ought, therefore, to have prepared from the outset for a prolonged struggle. Just as the submarine fleet should first have been multiplied to guarantee success, so would similar steps have been necessary with regard to the Luftwaffe.
-
-The fact must also be faced that the idea of quickly bringing a country as large as Britain to its knees by 'strategic air warfare' as conceived by General Douhet was - in those days, at any rate - still wishful thinking. The same thing may be said of the Allies' aerial warfare against the Reich later on. In any case, once it had been decided to force Britain to the ground by cutting off her maritime traffic, the whole of the Reich's war production should have been given over to building up German submarine and air strength. A reduction of the army to free manpower for industry would have been indispensable in this connexion.
-
-The very length of the struggle constituted its danger. No one could know how long the Russians would stay quiet. A reduction in Germany's land forces and the commitment of her entire air power against England would enable the Soviet Union, even if it did not enter the
-
-war, at least to exert political blackmail.
-
-Another danger was the possibility that the Americans, who were hardly going to stand by and watch Britain slowly strangled, would intervene at an early stage. In a battle of air fleets and naval forces they could have intervened relatively quickly, whereas if an actual German invasion of England had been taking place they would certainly have come too late. Nevertheless - had the Reich had a real strategic policy—it would have been entirely conceivable that this course of action could have been taken with a prospect of success. Always bearing in mind, of course, the danger of intervention by the Soviet Union or the United States. And certainly only provided that the aim of destroying the R.A.F. and then cutting off Britain's supply lines at sea were strictly adhered to. Any digression into vague notions of striking at the morale of the enemy population by raids on the cities would only
-
-have endangered the chances of winning.
-
-The second possible way of bringing down Britain I will call the struggle for the Mediterranean. Hitler - and, indeed, the German military leadership as a whole - are
-
-reproached with having been incapable of breaking free from the 'Continental' way of thinking and of never having recognized the significance of the Mediterranean as the life-line
-
-of the British Empire.
-
-It is true, perhaps, that Hitler thought only in terms of the Continent. What is open to question, though, is whether, on the one hand, the loss of her position in the Mediterranean would really have compelled Britain to give up the fight and, on the other, what consequences the conquest of the Mediterranean zone would have had for the Reich.
-
-It is indisputable that the loss of the Mediterranean would have been a serious blow for Britain. The possible effects with regard to India and the Near East, and thereby to oil supplies, might have been extremely grave. Furthermore, the final blocking of the sea to shipping would have substantially aggravated Britain's food problems.
-
-But would this blow have been lethal? To my mind it would not. Britain would still have had
-
-her link with the Far and Middle East round the Cape of Good Hope, and this could in no event be cut, unless by a close blockade of the British Isles by the U-boats and Luftwaffe-in other words, by the afore-mentioned method. This, however, would have pinned down the Luftwaffe's entire resources, leaving nothing in hand for the Mediterranean! Painful though the loss of Gibraltar, Malta and her positions in Egypt and the Near East might well have been for Britain, it would certainly not have been fatal. Indeed, the British being as they are, it would presumably have served only to stiffen their national will. The British nation would have refused to accept these losses as final and would have gone on fighting all the more bitterly. In all probability it would have given the lie to the slogan about the Mediterranean being the life-line of the Empire. It is also most unlikely that the Dominions would have
-
-withdrawn their support.
-
-The second question is what consequences the critical struggle for the Mediterranean would
-
-have had for the Reich.
-
-The first point here is that though Italy might have made a good basis for operations, her armed forces could have provided only a very modest contribution to the contest. This did not need to be proved by events: it was already apparent.
-
-In particular, the Italian Fleet could not have been expected to drive the British from the
-
-Mediterranean.
-
-The main burden of the struggle would thus have to be borne by Germany, who would not be helped by the fact that her ally regarded the Mediterranean as his private reserve and would accordingly lay claim to the overall command.
-
-If we were going to deprive Britain of her position in the Mediterranean in the hope of dealing her a mortal blow, Malta and Gibraltar would have to be taken and the British expelled from Egypt and Greece. There can hardly be any doubt that if Germany were to shift the focal point of her strategy to the Mediterranean, she would have had to solve this task in a military sense.
-
-But that would not have been the end of it. The capture of Gibraltar could only have been carried out either with Spanish consent - which was in fact never obtained - or by bringing
-
-pressure to bear on the Spaniards. Either course would have meant the end of Spanish neutrality. The Reich would have been left with no other choice than to take over - with or
-
-without the agreement of Madrid and Lisbon - the protection of the whole Iberian coastline, as well as to guarantee the supply of that area. Resistance could have been expected from both
-
-countries - most of all from Portugal, who would have seen her colonies immediately occupied by England. Anyhow, the Iberian peninsula would have swallowed a considerable portion of the German Army in the long run, and the repercussions in the U.S.A. and Latin America to a forcible occupation of Spain and Portugal could have been disastrous.
-
-If no real settlement were found with France, which was pretty well out of the question in view of the Italian and Spanish claims on her colonial territories, it would have ultimately become necessary to occupy French North Africa if a naval Power like Britain were to be prevented from one day retrieving a footing in the Mediterranean.
-
-Once the British had been driven from Egypt - and from Greece, too, in the event of their moving in there - it seems likely that in the eastern Mediterranean the course of action considered here would inevitably have led on to the lands of the Near East, especially if one remembers that we should have needed to cut Britain's oil supplies. The view has been expressed that the creation of a base in the Near East would have offered Germany two advantages: one, the possibility of menacing India, and the other a flank position against the
-
-Soviet Union to deter it from intervening against Germany. I feel these arguments are unrealistic. Quite apart from the questionable effect the establishment of German troops in their countries would have had on the Near Eastern peoples, there are two other aspects to
-
-bear in mind.
-
-Operations against India or the Soviet Union from the Near Eastern region could, for supply reasons alone, never have been executed on a scale guaranteeing real success. By virtue of being a naval Power, Britain had the bigger pull here.
-
-The appearance of Germany in the Near East, far from dissuading the Soviet Union from action against Germany, would only have made her intervene all the sooner.
-
-The crux of this whole Mediterranean problem, is, to my mind, as follows :
-
-Britain's loss of her positions there would hardly have sealed her fate.
-
-To go further, a decisive struggle for the mastery of the Mediterranean would ultimately have tied down such large German forces for so long that the temptation to the Soviet Union to
-
-come into the war against us would have increased beyond measure. This is all the more true if one considers that the spoils in which the Soviet Union might well have been interested -the Balkans and a dominating influence in the Near East - could henceforth have been won
-
-only by fighting it out with Germany.
-
-To strive for Britain's downfall by way of the Mediterranean would, in fact, have constituted a detour comparable with that taken by Napoleon when he set out to strike a mortal blow at Britain in India by way of Egypt. It was a course entailing the long-term commitment of Germany's forces in a direction that could not be decisive. More than that, it would have
-
-enabled the British motherland to rearm and at the same time given the Soviet Union its really
-
-big opening vis-a-vis the Reich.
-
-In point of fact the Mediterranean method would have implied evading the decision we felt unable to achieve against the British motherland direct.
-
-This brings us to the third course at issue in 1940, that of an invasion of the island of Britain.
-
-Before we pass on to this, it should be noted with regard to our Mediterranean strategy in its practical outcome that - as so often happened later on in Russia - Hitler never made the right forces available at the right time. It was in any case a cardinal error on his part to refrain from attempting to take Malta, the capture of which would almost certainly have been feasible in the early stages. His failure to do so can reasonably be regarded as a factor of decisive importance in the ulti- mate loss of North Africa and all that followed in its train.
-
-At all events, in June 1940 Hitler conceived the plan of invading Britain (without, as I said, making any firm decision), and ordered the appropriate preparations to be started.
-
-The operation was to be prepared under the code-name Sealion, but was to be put into execution only after certain prior conditions had been fulfilled. The manner in which the execution was planned and the interminable disputes which resulted - primarily between the army and navy staffs - have already been dealt with by others. So have the reasons - or pretexts - which were finally to justify the abandonment of the project.
-
-All that will be done here, therefore, is to examine the three most important questions:
-
-1. Would an invasion of England have compelled her to give up the struggle and would it,
-
-assuming that it had been successful, have finally decided the issue?
-
-2. Could an invasion really have been expected to succeed, and what would have been the
-
-consequences of its failure?
-
-3. What were the reasons that ultimately led Hitler to relinquish the plan (thereby giving up
-
-the idea of forcing an issue with Britain) and to turn against the Soviet Union ?
-
-The answer to the first question is that an invasion would have been the quickest way to overpower Britain. The two other ways discussed above could not bring a quick decision. But would this one have been final? The answer must be that there was every possibility - even probability - that even after the fall of the island the Churchill Government would have tried to continue the fight from Canada. Whether the other Dominions would have followed its lead cannot be told. Still, the conquest of the island itself still did not mean the complete defeat of
-
-the Empire.
-
-[Whether the British population - unlike the French - would have gone on resisting in the event of a successful invasion, or whether — as even Churchill has thought possible — a Government would have been found to sign a capitulation, is a purely hypothetical question which cannot be discussed here. (The same applies to whether, in the latter contingency, means could have been found, as in the case of Belgium in World War I, of feeding the
-
-British population.) Author.']
-
-The cardinal point must surely be this : The conquest of the island by Germany would have deprived the other side of the very base that was indispensable - in those days, at any rate - for a sea-borne assault on the continent of Europe. To launch an invasion from over the Atlantic without being able to use the island as a springboard was beyond the bounds of possibility in those days, even if the United States came into the war. And it can hardly be doubted that with Britain occupied, the R.A.F. eliminated, the Fleet banished across the Atlantic and the
-
-island's war potential rendered nugatory, Germany would have been able to deal with the situation in the Mediterranean without further ado.
-
-It must be stated, then, that even if the British Government had tried to fight on after the loss of the motherland, it would have had little further prospect of winning. Would the Dominions have continued to give their support in such circumstances?
-
-Would the Soviet Union's latent threat to the Reich have been of any further consequence had the Russians no longer been able to count on a Second Front in the foreseeable future? Would not Stalin's reaction to this have been to turn his attentions - with Hitler's agreement - to Asia? Would the United States have undertaken their 'crusade' against the Reich had they known
-
-they must bear the brunt of the cost alone?
-
-No conclusive answers to these questions can be found today, nor could they be found at the
-
-time.
-
-Admittedly the Reich would have been just as unable to impose peace across the seas. Yet one thing is certain: its position following a successful invasion of Britain would have been an incomparably happier one than any to be found along the road taken by Hitler.
-
-From the military point of view, then, an invasion of Britain in the summer of 1940, provided it offered a prospect of success, would undoubtedly have been the right solution. What steps should, or could, have been taken in the event of a German victory in order to bring about the negotiated peace which should always have been the aim of a rational German policy is
-
-outside the scope of this military study.
-
-Let us rather turn to the military aspects again and seek to determine whether an invasion of Britain in 1940 would have had any chance of succeeding.
-
-Opinions on this score will, I suppose, always remain divided. Sealion certainly involved
-
-tremendous risks.
-
-Nevertheless, it is not enough to point to the vast amount of technical equipment required by the Allies for their invasion in 1944 in order to prove that a German invasion dependent on infinitely more primitive ferrying gear would have inevitably miscarried. Neither is it enough to refer to the Allies' absolute supremacy in the air and at sea in 1944, decisive though it was
-
-in both cases.
-
-While Germany had none of these things to her credit in the summer of 1940, she had, on the other hand, the decisive advantage of not initially having to face any organized defence of the British coastline in the form of troops that were adequately armed, trained and led. It is a fact that as far as her land forces went in summer 1940, Britain was to a large extent defenceless. Her defencelessness would have been well-nigh complete had Hitler not allowed the B.E.F. to
-
-escape from Dunkirk.
-
-The success of an invasion of England in the summer of 1940 depended on two factors:
-
-1. Execution at the earliest possible date so that we could hit Britain while she was still undefended and take advantage of the summer weather. (In our own experience the Channel
-
-was almost invariably as calm as a mill-pond in July and August and at the beginning of
-
-September.)
-
-2. Our ability to neutralize the R.A.F. and British Fleet in the Channel area for the duration of the crossing and the period immediately following it.
-
-At the same time it is true that, with our uncertainty regarding the weather and the Luftwaffe's ability to gain air superiority over the Channel to at least the extent demanded, Sealion was bound to involve very big risks. In the light of these risks the responsible Wehrmacht staffs probably did go about the operation with some hesitation and various mental reservations.
-
-That Hitler's own heart was not in it was clear even then. At all levels the preparations lacked that driving force from the top which was usually so apparent. General Jodl, Chief of the Combined Services Operations Staff, regarded any attempt at invasion as an act of desperation quite unwarranted by the situation as a whole.
-
-The Commander-in-Chief of the Luftwaffe, Goring, whom the High Command had as usual
-
-failed to keep firmly in check, in no way regarded his air offensive against Britain as an integral part - vital though it was - of a concerted invasion undertaken by the Wehrmacht. On
-
-the contrary, the way he committed and ultimately squandered the Luftwaffe's resources points to his having regarded the air offensive against the island as a self-contained operation,
-
-which he conducted accordingly.
-
-The Naval High Command, which had been the first authority to raise the question of an invasion of Britain, had at least concluded from its study of the practical problems involved that the operation would be feasible provided certain advance requirements were met. Despite this, it was probably more strongly affected than anyone else by its awareness of the
-
-inadequacy of its equipment.
-
-The body taking the most positive view was undoubtedly the High Command of the Army, although it does not seem to have contemplated the idea of an invasion prior to the fall of
-
-France.
-
-One thing is certain. Those who stood to risk their necks first and foremost if Sealion were put
-
-into execution - the army formations earmarked to take part - were the very ones to display the greatest energy and assurance in their pursuit of the preparations. I feel entitled to say this because the formation under my own command, 38 Corps, was designed to go over in the first wave from between Boulogne and Etaples to the stretch of coast running from Bexhill to Beachy Head. Without underrating the dangers, we were confident of success. At the same time we may not have been sufficiently aware of the misgivings of the two other services,
-
-especially the navy.
-
-It is well known that Hitler had two reasons - or pretexts - for finally dropping the Sealion
-
-plan.
-
-One was the fact that the preparations took so long that the first wave could not have crossed till 24th September at the earliest. This was a date by which it would no longer be possible -even assuming that the first wave succeeded - to count on the continuing stretch of fine
-
-weather necessary for the follow-up.
-
-The second and really decisive reason is the fact that even by this date the Luftwaffe had not attained the requisite air supremacy over British territory.
-
-Even if these two facts are accepted as having in September 1940 been grounds for calling off
-
-the invasion, that still does not establish whether a German invasion would not have been possible had the German Command handled matters differently. This, however, must be the whole basis of any appraisal of Hitler's decision to avoid a fight to the death with Britain in
-
-order to turn on the Soviet Union.
-
-The problem is, then, whether the two above-mentioned facts — the delay over the launching of Sealion and the inconclusive state of the Battle of Britain - were inevitable or not.
-
-As far as the first is concerned - the postponement of the landing date till the end of September - this could most certainly have been avoided. The existence of a war plan focused on the problem of defeating Britain would have meant that a considerable part of the technical preparations for the invasion could have been tackled while the campaign in the west was still in progress. The existence of such a plan would have made it unthinkable for Hitler -whatever his motives - to allow the B.E.F. to escape from Dunkirk. At its worst the landing date would not have been retarded until well into the autumn had the German decision to invade Britain been taken at least at the time of the fall of France - that is, in mid-June - and not a whole month later, in mid-July. The invasion preparations, carried out as they were in pursuance of the order issued in July and within the limits of what was humanly possible at the time, were completed by the middle of September. A decision four weeks earlier would thus have made it possible to cross the Channel by the middle of August.
-
-As for the unsatisfactory progress of the Battle of Britain that formed the second reason for the abandonment of Sealion, the follow- ing points come to mind:
-
-The idea of gaining air supremacy over Britain by dint of an isolated aerial war commencing weeks in advance of the earliest possible invasion date was an error of leadership.
-
-By gaining air supremacy over Britain before the invasion took place it was proposed to guarantee the success of the latter. All this achieved in the event was a premature dissipation of the Luftwaffe's strength in a battle fought under unfavourable conditions.
-
-A sober assessment of its own strength in relation to the enemy's should at least have given the Luftwaffe staff strong doubts whether its own forces were adequate or suitable to carry the action against the R.A.F. and its production centres to a decisive conclusion above Britain
-
-herself.
-
-First of all, the Luftwaffe leadership underrated the strength of Fighter Command and overestimated the effect of its own bombers, besides allowing itself to be surprised by the existence of an efficient radar system on the other side.
-
-In addition, the range and penetration zone of the bombers, and even more so that of the fighters, were known to be below what was required. As a result the R.A.F. was able to dodge the annihilating blows that were aimed at it. Quite apart from this, the German fighters over England invariably had to operate under less favourable conditions than their opponents. The bombers, for their own part, had in a great number of cases to manage without proper fighter
-
-cover as soon as they outranged their escorts.
-
-This consideration alone should have decided the Luftwaffe command against starting a showdown with the R.A.F. until the latter were compelled to join battle under similar conditions - i.e. over the Channel or its coastlines - in immediate operational conjunction with
-
-the actual invasion.
-
-Finally, the German Command committed the further error of altering the operational target
-
-of its air offensive at the very moment when - despite the Luftwaffe's handicaps, some foreseeable, some unexpected, vis-a-vis the R.A.F. - the outcome was actually in the balance. On 7th September the main weight of the attacks was shifted to London - a target which no longer had any operational bearing on the invasion preparations.
-
-Desirable though the attainment of air supremacy prior to the invasion always was, a careful review of all the factors involved should still have prompted the German Supreme Command to commit the Luftwaffe for its decisive blow only in immediate conjunction with the
-
-invasion.
-
-One can, of course, object that on this basis the Luftwaffe's resources would have been called
-
-upon to perform too many tasks, namely:
-
-to attack British air bases in the south of England;
-
-to cover the embarkation in the French harbours;
-
-to protect the transports as they crossed the Channel; to support the first wave of invasion troops during their landing; and, in co-operation with the navy and coastal artillery, to prevent the British Fleet from interfering.
-
-But not all these tasks would have been simultaneous, even if they had to be solved in close succession. For example, the British Fleet — apart from the light naval forces stationed in harbours in the south of England - could probably not have intervened until after the first
-
-wave of troops had landed.
-
-Everything would have depended on the outcome of a big aerial battle which would have started over the Channel or southern England as soon as the army and navy began invading. The conditions experienced by the Luftwaffe in this battle would, nevertheless, have been immeasurably more favourable than in its raids on the interior of the country.
-
-Naturally such a mode of action meant staking everything on one card. That, however, would have been the price one was bound to pay in the circumstances if the invasion were to be
-
-risked at all.
-
-When Hitler, for the above-mentioned reasons, virtually discarded the plan for an invasion of England in September 1940, these reasons may indeed have been cogent enough at the time. The fact that they could emerge at all was due to the absence of any authority inside the German Supreme Command - except for Hitler the politician - that was responsible for overall strategic policy. There was no authority that could in good time have worked out a war plan to include Britain and been capable of effectively directing the invasion as a unified
-
-operation of all three services.
-
-If the German Command thus cast away its chances of fighting the final bout with Britain to a successful conclusion, the reasons are to be sought not only in the shortcomings of the staff organization but substantially in Hitler's political thinking.
-
-There can hardly be any doubt that Hitler always wished to avoid a contest with Britain and the British Empire. He stated often enough that it could never be in the Reich's interest to destroy the Empire. He admired this Empire as a political achievement. Even if one is unwilling to take such utterances at their face value, one thing at least is certain : Hitler knew that if the British Empire were destroyed, not he or Germany could be its heir, but the United States, Japan or the Soviet Union. Seen in this realistic perspective, his attitude to Britain does at least make sense. He had neither wanted nor expected war with Britain. Consequently he wished to avoid a showdown with her for as long as was possible.
-
-This attitude, and doubtless also the fact that he had not expected such a staggering victory over France, explain Hitler's failure to adopt a war plan which aimed at defeating Britain, too, once France was overthrown. The point is that he did not want to land in Britain. His political concept was at odds with the strategic requirements that followed from the victory in the west. The disastrous part of it was that this concept of his encountered no sympathy in Britain.
-
-Hitler's attitude towards the Soviet Union, on the other hand, was fundamentally different, despite the alliance he entered into with Stalin in 1939. He at once mistrusted and underrated the Russians. He feared their traditional urge for expansion - though he himself had opened the way to it in the west by signing the Moscow Pact.
-
-One may assume that Hitler knew the two totalitarian Powers were bound to clash sooner or later after becoming next-door neighbours. Furthermore, he was for ever pre-occupied with 'Lebensraum' — the living space he felt obliged to secure for the German people. It was
-
-something he could find only in the east.
-
-Though there was nothing about either of these lines of reasoning to prevent the ultimate clash with the Soviet Union from being put off until some later date, they were bound to acquire a special urgency for a man like Hitler when, after France's downfall, he seemed virtually the master of Europe. His feelings were reinforced by the menacing build-up of Soviet troops on Germany's eastern frontier - a trend which must in any event have given rise to misgivings
-
-about the Kremlin's future policies.
-
-Hitler now faced the problem of invading England. He was aware of the high degree of risk such an undertaking then involved. If the invasion were to fail, the army and navy forces taking part would be for- feit, and even the Luftwaffe would emerge very much weakened. At the same time the failure of an invasion attempt would not, from the strictly military point of view, have irreparably impaired German military power. The more far-reaching effect would
-
-have been in the political field - on the one hand through the fillip any failure would have given to the determination of the British to go on with the war, on the other its impact on the attitudes of the United States and the Soviet Union. Most of all, though, a spectacular military failure of this kind would have gravely damaged the dictator's prestige, both in Germany and
-
-the world as a whole.
-
-This was the one danger the dictator could not afford to run. Just as his general attitude towards the British Empire had always made him put any thought of a showdown behind him, and just as his false appraisal of the British mind had encouraged him to hope that it would
-
-still be possible to come to terms in the end, so did he now recoil from taking the risk. He wanted to evade the hazard of a decisive struggle with Britain. Instead of destroying her as a Power, he thought he could convince her of the need for settlement by trying - as he himself
-
-put it - to strike from her hand the last sword she might hope to point at Germany on the
-
-mainland of Europe.
-
-But by thus recoiling from what was admittedly a pretty considerable military and political risk, Hitler, committed his big error of judgement. For one thing was certain. If Hitler jibbed
-
-at fighting the battle with Britain in the hour most favourable to himself, Germany must sooner or later land in an untenable situation. The longer the war with Britain dragged on, the greater the danger threatening the Reich in the east must become.
-
-When Hitler did not venture to strike the decisive blow at Britain in the summer of 1940, and missed his unique chance of doing so, he could no longer play at seeing how long he could hold his breath. It was at this point that he was forced to venture the attempt to eliminate the Soviet Union by a preventive war while there was still no enemy in the west capable of
-
-menacing him on the Continent.
-
-In reality this meant that because of his aversion to the risk of invading Britain, Hitler took on
-
-the far greater risk of a war on two fronts. At the same time, by taking so long over, and finally discarding the invasion plan, he wasted a year which should have brought Germany the final decision. It was a delay Germany could never make good.
-
-With the cancellation of Sealion at the end of September, 38 Corps went back to normal training. The ferrying equipment that had been assembled for us was withdrawn from the Channel harbours, already imperilled by R.A.F. raids. Nothing was heard at this stage of Hitler's intentions regarding the Soviet Union, his final decision to attack it being taken much later. The first hints of what was to come did not reach me till the spring of 1941, when I was
-
-given a new appointment.
-
-Part III WAR IN THE EAST 8
-
-PANZER DRIVE
-
-At the end of February 1941 I handed over command of 38 Corps on the Channel coast in order to take over 56 Panzer Corps, whose headquarters were about to be set up in Germany. For me this fulfilled a wish I had cherished even before the campaign in the west - to
-
-command a mechanized army corps.
-
-As a corps commander, of course, I was not consulted on the advisability and method of conducting a campaign against the Soviet Union. Our own operation order was not received until a very late stage- in May 1941, as far as I remember - and even then it covered only the immediate commitments of the Panzer Group to which my corps belonged.
-
-Thus, as far as the actual conduct of operations against the Soviet Union in 1941 is concerned, I cannot comment to anything like the extent I have done regarding the western campaign, where I had personally influenced the final shaping of the Operations Plan.
-
-However, I think two factors may be said to have become generally apparent since then.
-
-The first was the mistake committed by Hitler, if by no one else, of underrating the resources
-
-of the Soviet Union and the fighting qualities of the Red Army. In consequence he based everything on the assumption that the Soviet Union could be overthrown by military means in
-
-one campaign. Had this even been possible, it could have been achieved only by bringing about the Soviet Union's simultaneous collapse from within. Yet the policies which Hitler - in
-
-complete negation of the efforts of the military authorities - pursued through his Reich Commissioners and Security Service (S.D.) in the occupied territories of the east were bound to achieve the very opposite effect. In other words, while his strategic policy was to demolish the Soviet system with the utmost dispatch, his political actions were diametrically opposed to
-
-this. Differences between the aims of the political and military leaders have often arisen in other wars. In this case, with the military and political leadership united in Hitler's hands, the result was that his political measures in the east ran entirely counter to the requirements of his strategy, depriving it of whatever chance it may have had of a speedy victory.
-
-The second factor was the failure to achieve a uniform strategic policy at the summit - i.e. between Hitler and O.K.H. This applied both to the planning of the overall operation and to its
-
-execution in the campaign of 1941.
-
-Hitler's strategic aims were based primarily on political and economic considerations. These were: (a) the capture of Leningrad (a city he regarded as the cradle of Bolshevism), by which he proposed to join up with the Finns and dominate the Baltic, and (b) possession of the raw-material regions of the Ukraine, the armaments centres of the Donetz Basin, and later the Caucasus oilfields. By seizing these territories he hoped to cripple the Soviet war economy
-
-completely.
-
-O.K.H., on the other hand, rightly contended that the conquest and retention of these undoubtedly important strategic areas depended on first defeating the Red Army. The main body of the latter, they argued, would be met on the road to Moscow, since that city, as the focal point of Soviet power, was one whose loss the regime dare not risk.
-
-[This appreciation was subsequently not fully confirmed by the actual distribution of the
-
-Soviet forces. Author]
-
-There were three reasons for this. One was that - in contrast to 1812 - Moscow really did form
-
-the political centre of Russia; another was that the loss of the armaments areas around and east of Moscow would at least inflict extensive damage on the Soviet war economy. The third and possibly most important reason from the strategic point of view was Moscow's position as the nodal point of European Russia's traffic network. Its loss would split the Russian defences in two and prevent the Soviet command from ever mounting a single, co-ordinated operation.
-
-Viewed strategically, the divergence of views between Hitler and O.K.H. amounted to this: Hitler wanted to seek the issue on both wings (a solution for which, in view of the relative strengths involved and the vastness of the theatre of operations, Germany did not possess adequate forces), whereas O.K.H. sought it in the centre of the front.
-
-It was on this divergence of basic strategy that the German conduct of operations ultimately foundered. Although Hitler agreed to the distribution of forces proposed by O.K.H., according
-
-to which the bulk of the army was to be committed in two army groups in the north and only one in the area south of the Pripet Marshes, the tug-of-war over strategic objectives continued throughout this campaign. The inevitable consequence was that Hitler not only failed to attain his aims, which were too far-flung anyway, but also confused the issue for O.K.H.
-
-The 'General Intention' laid down by Hitler in his 'Barbarossa' Directive ('destruction of the
-
-bulk of the Russian Army located in western Russia by bold operations involving deep penetration by armoured spearheads; prevention of the withdrawal of battleworthy elements into the Russian interior') was in the last analysis nothing more than a strategic or even
-
-tactical formula. Admittedly, thanks to the superiority of German staff-work and the performance of the combat troops, we achieved extraordinary successes that brought the Soviet armed forces to the very brink of defeat. But this 'formula' could never replace an operations plan over whose preparation and execution there should have been complete unanimity at the top and which, in view of the relative strengths of the opposing armies and the tremendous distances involved, accepted the premise that it might take two campaigns to
-
-destroy the Soviet armed forces.
-
-In my capacity as a corps commander, however, I was not - as I have already said - briefed on the plans and intentions of the Supreme Command. For this reason I had no suspicion at the time of the momentous differences of a strategic nature existing between Hitler and O.K.H. Yet even at this level I soon began to feel their effect.
-
-56 Panzer Corps was to attack from East Prussia as part of Fourth Panzer Group of Northern
-
-Army Group.
-
-Northern Army Group (Field-Marshal Ritter v. Leeb) was assigned the task of driving forward from East Prussia to destroy the enemy's forces in the Baltic territories and then to advance on
-
-Leningrad.
-
-The task of Fourth Panzer Group (Colonel-General Hoepner) in this connexion was to thrust forward to the Dvina opposite and below Dvinsk (Diinaburg) in order to seize all crossing points for a further advance in the direction of Opochka.
-
-On the right of Fourth Panzer Group, Sixteenth Army (Colonel-General Busch) had to advance through Kovno (Kaunas) ; on the left, Eighteenth Army (General v. Kiichler) was to move in
-
-the general direction of Riga.
-
-I arrived in 56 Panzer Corps' assembly area on 16th June. Colonel-General Hoepner had issued the following orders for the advance of Fourth Panzer Group:
-
-56 Panzer Corps (8 Panzer Division, 3 Motorized Infantry Division and 290 Infantry Division) was to break out in an easterly direction from the forest area north of the Memel and east of Tilsit and to gain the big road to Dvinsk north-east of Kovno. To its left 41 Panzer Corps (General Reinhardt) (1 and 6 Panzer Divisions, 36 Motorized Infantry Division and 269 Infantry Division) was to advance towards the Dvina crossing at Jakobstadt. The SS Death's Head Division, also belonging to the Panzer Group, would initially follow along behind with a view to being sent in behind the corps making the fastest progress.
-
-For the purpose both of cutting off all enemy forces forward of the Dvina and of forging ahead with Northern Army Group's operation, it was of decisive importance that the Dvina bridges should be captured intact, since this mighty river presented a formidable obstacle. The advance of Fourth Panzer Group would thus be a race to see which of the two corps could reach the Dvina first. 56 Panzer Corps was determined to be the winner, its advantage being that in the light of the available information it stood to encounter less resistance in the enemy rear than 41 Panzer Corps. For this very reason the latter had been given one armoured division more than our own corps. My suggestion that it would be better to make our main effort where we hoped to find the enemy weakest received no support from Panzer Group
-
-H.Q.
-
-Before I describe the operations of 56 Panzer Corps, which are really conspicuous only for the fact that they were to develop into a panzer drive in the truest sense, some attention must be given to a matter which threw a revealing light on the gulf between soldiers' standards and
-
-those of our political leadership.
-
-A few days before the offensive started we received an order from the Supreme Command of the Armed Forces (O.K.W.) which has since become known as the 'Commissar Order'. The gist of it was that all political commissars of the Red Army whom we captured were to be shot out of hand as exponents of Bolshevik ideology.
-
-Now I agree that from the point of view of international law the status of these political commissars was extremely equivocal. They were certainly not soldiers, any more than I would have considered a Gauleiter attached to me as a political overseer to be a soldier. Neither could they be granted the same non-combatant status as chaplains, medical personnel or war correspondents. On the contrary, they were - without being soldiers - fanatical fighters, but fighters whose activities could only be regarded as illegal according to the traditional meaning of warfare. Their task was not only the political supervision of Soviet military leaders but, even more, to instil the greatest possible degree of cruelty into the fighting and to give it a character completely at variance with the traditional conceptions of soldierly behaviour. These same commissars were the men primarily responsible for the fighting methods and treatment of prisoners which clashed so blatantly with the provisions of the
-
-Hague Convention on land warfare.
-
-Whatever one might feel about the status of commissars in international law, however, it inevitably went against the grain of any soldier to shoot them down when they had been captured in battle. An order like the Kommissarbefehl was utterly unsoldierly. To have carried it out would have threatened not only the honour of our fighting troops but also their morale.
-
-Consequently I had no alternative but to inform my superiors that the Commissar Order would not be implemented by anyone under my command. My subordinate commanders were entirely at one with me in this, and everyone in the corps area acted accordingly. I need hardly add that my military superiors endorsed my attitude. It was only very much later, however, that all the efforts to get the Commissar Order rescinded were ultimately successful - when it had become clear, namely, that the order simply incited the commissars to resort to the most brutal methods to make their units fight on to the end.
-
-[The fact that the rest of the army probably shared my view became apparent when I took command of Eleventh Army. The Commissar Order had not been carried out there either. The few commissars who were shot in spite of this had not been captured in action but picked up
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-in the rear areas and sentenced as either the leaders or organizers of partisans' groups. Their cases were handled in accordance with military law. Author]
-
-At 1300 hours on 21st June our H.Q. was notified that the offensive would begin at 0300 the
-
-following morning. The die was cast.
-
-Because of the restricted space allotted to my corps in the forest area north of the Memel it was only possible to use 8 Panzer Division and 290 Infantry Division in the assault on the enemy frontier positions, which had been found to be occupied. For the time being 3 Motorized Infantry Division was kept south of the river.
-
-In the immediate vicinity of the frontier we initially met with only weak resistance, probably
-
-from forward defended localities. Very soon, however, a hold-up was caused by a well-prepared pill-box system that was overcome only after 8 Panzer Division had broken through the enemy fortifications north of the Memel around noon.
-
-On this very first day the Soviet Command showed its true face. Our troops came across a German patrol which had been cut off by the enemy earlier on. All its members were dead and gruesomely mutilated. My A.D.C. and I, who often had to pass through sectors of the front that had not been cleared of the enemy, agreed that we would never let an adversary like this capture us alive. Later on there were more than enough cases where Soviet soldiers, after throwing up their hands as if to surrender, reached for their arms as soon as our infantry came near enough, or where Soviet wounded feigned death and then fired on our troops when their
-
-backs were turned.
-
-It was our general impression that while those of the enemy in front-line areas were in no way surprised by our attack, the Soviet military command had probably not been expecting it - or not for a while, anyway - and for that reason never got as far as committing its powerful
-
-reserves in any co-ordinated form.
-
-There has been a great deal of argument as to whether the Soviet troop dispositions were actually defensive or offensive in character. If one went by the strength of the forces assembled in the western parts of the Soviet Union and the powerful concentration of armour in the Bialystok area and around Lwow, it was possible to contend - as Hitler did in support of his decision to attack - that sooner or later the Soviet Union would take the offensive. On the other hand, the layout of the Soviet forces on 22nd June 1941 did not indicate any immediate intention of aggression on the part of the Soviet Union.
-
-I think it would be nearest the truth to describe the Soviet dispositions - to which the occupation of eastern Poland, Bessarabia and the Baltic territories had already contributed very strong forces - as a 'deployment against every contingency'. On 22nd June 1941, undoubtedly, the Soviet Union's forces were still strung out in such depth that they could then have been used only in a defensive role. Yet the pattern could have been switched in no time to meet any change in Germany's political or military situation. With a minimum of delay the Red Army - each of whose army groups was numerically, if not qualitatively, superior to the German army group facing it — could have closed up and become capable of going over to the attack. Thus the Soviet dispositions did in fact constitute a latent threat, even though they remained formally defensive up to 22nd June. The moment the Soviet Union had been offered a favourable opportunity - military or political - it could have become a direct menace to the
-
-Reich.
-
-Certainly Stalin would have preferred to avoid a clash with the Reich in summer 1941. But had international developments sooner or later led the Soviet leadership to believe that it
-
-could resort to political pressure, or even to the threat of military intervention against Germany, its provisionally defensive deployment could swiftly have taken on an offensive character. It was, precisely as I have said, a 'deployment against every contingency'.
-
-And now let us return to 56 Corps.
-
-If the corps were to fulfil its task of seizing the Dvinsk crossings intact, it had to concentrate on two things. On the very first day it had to thrust 50 miles into enemy territory in order to capture the crossing over the Dubissa at Airogola. I knew the Dubissa sector from World War I. What we should find there was a deep, ravined valley whose slopes no tank could negotiate. In the First War our railway engineers had laboured there for months on end to span the gap with a masterly construction of timber. If the enemy now succeeded in blowing up the big road viaduct at Airogola, the corps would be hopelessly stuck and the enemy would have time on the steep far bank of the river to organize a defence which would in any case be extremely difficult to penetrate. That we could thereafter no longer expect to make a surprise descent on the Dvinsk bridges was perfectly obvious. The Airogola crossing was indispensable to us as a
-
-springboard.
-
-Excessive though Corps H.Q.'s requirements may appear to have been, 8 Panzer Division (General Brandenberger), with which I spent most of the day, still fulfilled its task. After breaking through the frontier positions and over-running all enemy resistance further back, it seized the Airologa crossing with a reconnaissance force by the evening of 22nd June. 290 Division followed, marching at record speed; and 3 Motorized Infantry Division, which had started moving over the Memel at noon, was directed towards a crossing south of Airogola.
-
-The first step had succeeded.
-
-The second condition for success at Dvinsk was that the corps should push straight through to that town regardless of whether the formations on its flanks kept abreast or not. The capture of those precious bridges depended entirely on our being able to take the enemy there completely by surprise. Naturally we were fully aware that this course of action involved
-
-considerable risks.
-
-As it turned out - and as we had hoped — the corps had the good fortune to strike a weak patch in the enemy's defences. Despite repeated enemy counter-attacks, some of which entailed hard fighting, the divisions were able to break this resistance relatively quickly.
-
-While on our left 41 Panzer Corps was temporarily held up by a strong enemy grouping dug in around Siauliai (Schaulen), and on our right the left wing of Sixteenth Army was fighting for Kovno, 56 Panzer Corps actually reached the Dvinsk highway by 24th June in the area of
-
-Wilkomierz. Already 105 miles deep into enemy territory, it had not only outdistanced the German formations on either flank, but had also left the Soviet forces in the frontier zone far behind it. Now there were a bare 80 miles to go to reach the coveted bridges at Dvinsk. But could we maintain the pace? The enemy was certain to throw in fresh reserves against us. At any moment, moreover, he was liable - at any rate temporarily - to patch up the breach behind us and cut off our supplies. But in spite of warnings from Panzer Group H.Q., we had no
-
-intention of letting the Goddess of Fortune elude us as a result of over-cautiousness on our part. Though 290 Infantry Division had naturally been unable to keep up with the rest of the
-
-corps, the fact that it was following in our train gave us a certain safeguard - particularly as it had already drawn the attention of strong enemy forces that would otherwise have attacked us
-
-in the rear. Meanwhile Corps H.Q. and the two mobile divisions - 8 Panzer moving up the highway and 3 Motorized Division, with rather more difficulty, along by-ways to the south of this - were striking out for the victory prize of Dvinsk. Both divisions were able to smash the enemy reserves thrown in to meet them. In these battles, some of which were extremely fierce, the enemy lost seventy tanks (about half the strength of our own armour) and numerous batteries. At this stage we had hardly the time or the men to spare for rounding up
-
-prisoners.
-
-Early on 26th June 8 Panzer Division was outside Dvinsk, and at 0800 hours I was handed a report at its divisional headquarters that our dash to capture the two big bridges had succeeded. Fighting was still going on in the town on the far side of the river, but the big roadbridge had fallen into our hands completely intact. The sentries detailed to set off the demolition charges had been overrun a few yards from the entrance. The railway bridge had been only slightly damaged by a small explosion and was still fit for use. The following day 3 Motorized Infantry Division pulled off a surprise crossing of the river upstream from the
-
-town. Our aim was achieved!
-
-Before the offensive started I had been asked how long we thought we should take to reach Dvinsk, assuming that it was possible to do so. My answer had been that if it could not be done inside four days, we could hardly count on capturing the crossings intact. And now, exactly four days and five hours after zero hour, we had actually completed, as the crow flies, a non-stop dash through 200 miles of enemy territory. We had brought it off only because the name of Dvinsk had been foremost in the mind of every officer and man, and because we had been ready to face heavy risks to reach our appointed goal. It gave us a tremendous feeling of achievement to drive over the big bridges into the town, despite the fact that the enemy had set most of it on fire before pulling out. It was an added satisfaction to know that we had not
-
-had to pay too high a price.
-
-Naturally the corps' position - if only on the northern bank of the Dvina - was anything but secure. 41 Panzer Corps and the left wing of Sixteenth Army lay from 60 to 100 miles behind
-
-us. Between them and ourselves were several Soviet army corps, now withdrawing to the Dvina. Not only must we expect the enemy to do everything in his power to assail us on the northern bank: we also had to cover ourselves on the southern bank against those enemy formations approaching from the south. The precariousness of our position became further apparent when the Corps Q Branch was attacked from the rear in a wood not far from my own
-
-tactical headquarters.
-
-However, we were less exercised by our present rather isolated position, which would not continue indefinitely, than by the problem of what the next move should be. Was the objective to be Leningrad, or should we turn towards Moscow? The Panzer Group Commander, who
-
-flew over to see us in a Fieseler Storch on 27th June, could tell us nothing. One might reasonably have expected the commander of a whole Panzer Group to be in the picture about future objectives, but this was obviously not the case. Instead, our enthusiasm was damped by
-
-an order to widen the bridgehead around Dvinsk and keep the crossings open. We were to wait for 41 Panzer Corps and the left wing of Sixteenth Army to move up, the former having
-
-been directed to cross the river at Jakobstadt.
-
-While this was certainly the 'safe', staff-college solution, we had had other ideas. As we saw it, our sudden appearance so far behind the front must have caused considerable confusion
-
-among the enemy. He would obviously make every attempt to throw us back across the river, fetching in troops from any quarter to do so. The sooner we pushed on, therefore, the less chance he would have of offering us any systematic opposition with superior forces. If we
-
-drove on towards Pskov - while, of course, continuing to safeguard the Dvina crossings - and if, at the same time, Panzer Group H.Q. pushed the other panzer corps straight through Dvinsk
-
-behind us, it seemed likely that the enemy would have to keep on opposing us with whatever forces he happened to have on hand at the moment, and be incapable for the time being of
-
-fighting a set battle. As for the beaten enemy forces south of the Dvina, these could be left to
-
-the infantry armies coming up behind.
-
-It goes without saying that the further a single panzer corps - or indeed the entire panzer group — ventured into the depths of the Russian hinterland, the greater the hazards became. Against
-
-this it may be said that the safety of a tank formation operating in the enemy's rear largely depends on its ability to keep moving. Once it comes to a halt it will immediately be assailed
-
-from all sides by the enemy's reserves.
-
-But the Supreme Command did not share our view, and for this it certainly cannot be blamed. We should, after all, have been tempting Fortune more than somewhat had we tried to hold on to her coat-sleeve any longer, for there was always the possibility from now on that she would lead us over a precipice. And so, for the immediate future, the goal of Leningrad receded into
-
-the distance as far as we were concerned, leaving us to mark time at Dvinsk. As we had anticipated, the enemy was now moving up reinforcements - not only from Pskov, but from
-
-Minsk and Moscow as well. Before long we were having our work cut out to beat off the attacks he launched on the northern bank of the Dvina with an armoured division in support, and at a number of points the position became quite critical. In the course of a counter-attack made by 3 Panzer Division to recover some temporarily abandoned ground, our troops found the bodies of three officers and thirty men who had lain wounded in a field dressing-station captured by the enemy the previous day. Their mutilations were indescribable.
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-In the next few days the Soviet Air Force did everything possible to destroy the bridges which had been allowed to fall into our hands. With an almost mulish obstinacy one squadron after another flew in at treetop level, only to be shot down by our fighters or Flak. On one day alone they lost sixty-four aircraft in this way.
-
-Finally, on 2nd July, we were able to move off again, after the SS Death's Head Division had joined the corps as its third mobile formation and 41 Panzer Corps had crossed the Dvina at
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-Jakobstadt.
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-For its further advance Fourth Panzer Group had been allotted the axis Rezekne-Ostrov-Pskov. So Leningrad now beckoned, after all!
-
-Nevertheless, six days had elapsed since the corps' surprise dash to Dvinsk. The enemy had had time to recover from the shock it must have given him to be suddenly confronted by German units on the northern bank of the Dvina.
-
-A tank drive such as 56 Panzer Corps made to Dvinsk inevitably generates confusion and panic in the enemy communications zone; it ruptures the enemy's chain of command and makes it virtually impossible for him to co-ordinate his counter-measures. These advantages
-
-had now been waived as a result of Fourth Panzer Group's decision — however commendable its motives - to consolidate on the Dvina. Whether we should now be fortunate enough fully to regain that lead over the enemy was doubtful, to say the least. Certainly the only chance of doing so lay in the Panzer Group's being able to bring its forces into action as an integrated whole. As will be seen, however, this is precisely what it failed to do, even though the enemy's resistance remained insufficient to halt the advance.
-
-To begin with, however, the Panzer Group moved off uniformly enough from the line Dvinsk—Jakobstadt in the direction of Pskov, 56 Panzer Corps proceeding along and to the east of the main road Dvinsk-Rezekne-Ostrov-Pskov and 41 Panzer Corps to its left. The enemy's resistance proved tougher and more methodical than in the first few days of the campaign, but he was still being outfought over and over again.
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-The Panzer Group was now approaching the Stalin Line, a fortification which ran, in varying strength, along the original Soviet frontier from the southern extremity of Lake Peipus west of Pskov to what had once been the small Russian frontier fortress of Zebash.
-
-At this stage Panzer Group H.Q. allocated the main road to 41 Panzer Corps to continue advancing on Ostrov, and swung 56 Panzer Corps hard east towards Zebash and Opochka. The intention was that we should break through the Stalin Line and outflank from the east a strong force of enemy armour believed to be based on Pskov. It was an excellent scheme if the force really existed and 56 Panzer Corps were able to execute the manoeuvre with any speed. In our opinion, however, the former was not the case and the latter was not feasible, since in the direction it had been ordered to take, the corps had to negotiate extensive swamps lying forward of the Stalin Line. Our strong representations that both corps should be kept on the original line of advance towards Ostrov proved of no avail, and I regret to say that our misgivings regarding the swamps turned out to be fully justified.
-
-8 Panzer Division did strike a timbered roadway leading across the swamps, but this was already completely blocked by the vehicles of a Soviet motorized division. It took days to clear the route and replace the blown bridges. When the division finally emerged from the swamps it ran into strong opposition which was broken only after relatively heavy fighting.
-
-3 Motorized Division found only a narrow causeway, on which its vehicles could make no progress whatever. It had to be pulled out again and sent on to Ostrov behind 41 Panzer
-
-Corps.
-
-Better ground - though it included a strong line of concrete fortifications - was struck by the SS Death's Head Division in its advance on Zebash. And now there emerged a weakness which was bound to be inherent in troops whose officers and N.C.O.s lacked solid training and proper experience. As far as its discipline and soldierly bearing went, the division in question undoubtedly made a good impression. I had even had reason to praise its extremely good march discipline - an important requirement for the efficient movement of motorized formations. The division always showed great dash in the assault and was steadfast in defence. I had it under my command on frequent occasions later on and think it was probably the best Waffen SS division I ever came across. Its commander in those days was a brave man
-
-who was soon wounded and later killed.
-
-None of these things, however, could compensate for deficient training in leadership. The division suffered excessive losses because its troops did not learn until they got into action
-
-what army units had mastered long ago. Their losses and lack of experience led them in turn to miss favourable opportunities, and this again caused unnecessary actions to be fought. I doubt if there is anything harder to learn than gauging the moment when a slackening of the enemy's resistance offers the attacker his decisive chance. The upshot of all this was that I repeatedly had to come to the division's assistance, without even then being able to prevent a sharp rise in casualties. After a matter of ten days the three regiments of the division had to be
-
-regrouped to form two new ones.
-
-Yet, bravely as the Waffen SS divisions always fought, and fine though their achievements may have been, there is not the least doubt that it was an inexcusable mistake to set them up as a separate military organization. Hand-picked replacements who could have filled the posts of N.C.O.s in the army were expended on a quite inadmissible scale in the Waffen SS, which in general paid a toll of blood incommensurate with its actual gains. Naturally this cannot be laid at the door of the SS troops themselves. The blame for such unnecessary consumption of manpower must lie with the men who set up these special units for purely political motives, in the face of opposition from all the competent army authorities.
-
-In no circumstances must we forget, however, that the Waffen SS, like the good comrades they were, fought shoulder to shoulder with the army at the front and always showed
-
-themselves courageous and reliable. Without doubt a large proportion of them would have been only too glad to be withdrawn from the jurisdiction of a man like Himmler and
-
-incorporated into the army.
-
-Before returning to the fortunes of 56 Panzer Corps, I should like to give the reader a picture of how the command staff of a tank formation had to work during the last war.
-
-As late as the Battle of St. Privat-Gravelotte, in the War of 1870-71, my grandfather assembled his staff on a hill from which he commanded a view of the entire battlefield and could personally direct the operations of his army corps. He was even able to ride over to the regiments as they deployed for the assault and, so the story goes, addressed some pretty harsh words to one battery for unlimbering too far from the enemy.
-
-Such scenes are naturally a thing of the past. The staffs of World War I were forced further and further to the rear as the range of enemy artillery fire increased, and the breadth of the
-
-fronts rendered visual survey and personal command on the battlefield a sheer impossibility.
-
-Efficient telephone links were the decisive thing from then on, and Schlieffen's picture of the Supreme War Lord who sat behind his desk issuing stirring orders over the telephone duly
-
-became a reality.
-
-World War II in its turn called for other methods of command, especially in the case of highly mobile formations. In the case of the latter, situations changed so rapidly, and favourable opportunities came and went so fast, that no tank-force commander could afford to bind himself to a command post any great distance to the rear. If he waited too far back for reports
-
-from his forward units, decisions would be taken much too late and all kinds of chances would be missed. Often, too, when a successful action had just been fought, it was necessary to counteract the only too natural phenomenon of battle fatigue and to instil new life into the
-
-men.
-
-It was even more vital, in view of the unprecedented demands which our new war of movement made on the energies of officers and men, that higher commanders should show
-
-themselves as often as possible to the front-line troops. The ordinary soldier must never have the feeling that the 'top brass' are busy concocting orders somewhere to the rear without knowing what it looks like out in front. It gives him a certain satisfaction to see the Commanding General in the thick of it once in a while or watching a successful attack go in. Only by being up with the fighting troops day in and day out can one get to know their needs, listen to their worries and be of assistance to them. A senior commander must not only be the man who perpetually has demands to make in the accomplishment of his mission; he must be an ally and a comrade as well. Quite apart from anything else, he himself derives fresh energy from these visits to the fighting troops. Many's the time, when visiting a divisional headquarters, that I have heard anxieties voiced about the diminishing battle morale of the fighting troops and the excessive strain to which they were often unavoidably subjected. Such worries inevitably preoccupied commanders more and more as time went on, for it was they who ultimately bore the responsibility for the regiments and battalions. Yet once I had gone forward to the troops in the line, I was often overjoyed to find them more confident and
-
-optimistic than I had been led to expect - not infrequently because they had fought a successful action in the meantime. And then, as I smoked a cigarette with a tank crew or chatted with a rifle company about the overall situation, I never failed to encounter that irrepressible urge to press onward, that readiness to put forth the very last ounce of energy, which are the hallmarks of the German soldier. Experiences like this are among the finest things a senior commander can ask for. The higher one rises, unfortunately, the rarer they become. An army or army group commander is quite unable to mix in with the fighting troops to the same extent as the general commanding a corps.
-
-Even the corps commander, of course, cannot be permanently on the road. A man who is constantly rushing around his forward areas, and can never be found when required, virtually hands over his command to his staff. This may be quite a good thing in many cases, but it is
-
-still not the role for which he was intended.
-
-Everything ultimately hinges - particularly with highly mobile formations — on a rational organization of command duties, the continuity of which must be maintained at all costs.
-
-It was indispensable that the Corps Q branch should usually remain stationary for several days
-
-at a time in order to keep the flow of supplies moving. The Commanding General and his operations branch, on the other hand, had to move their tactical headquarters forward once or even twice a day if they were to keep in touch with the mechanized divisions. This called for a high degree of mobility on the part of the headquarters. The only way to achieve it was to cut the tactical staff to a minimum - always a salutary measure where command is concerned -and to do without any of the usual comforts. Needless to say, the patron saint of Red Tape, who, apart from her other activities, I fear, likes to tag along behind armies in the field, used to have a pretty thin time when we were operating under conditions of this kind.
-
-We did not waste time looking for accommodation. In France castles and mansions had been ours for the asking. The small wooden huts of the east held little appeal, particularly in view of the ubiquity of certain 'domestic pets'. Consequently our tactical headquarters lived almost
-
-the whole time in tents and the two command wagons which, together with a few wartime Volkswagen and the vehicles of the wireless section and telephone exchange, carried our other
-
-ranks when we changed location. I myself slept in a sleeping-bag in the small tent I shared with my A.D.C., and do not remember having used a proper bed more than three times throughout this panzer drive. The one man with any objection to living under canvas was our senior military assistant, who preferred to sleep in his car. Unfortunately he had to leave his
-
-long legs sticking out through the door, with the result that he could never get his wet boots
-
-off after a rainy night.
-
-We always used to pitch our little camp in a wood or a copse near the main axis of advance -if possible by a lake or stream so that we could take a quick plunge before breakfast or whenever we came back caked with dust and grime from a trip to the front.
-
-While the Chief-of-Staff naturally had to stay behind the command post to deal with the work
-
-and telephone calls, I spent the days, and often part of the nights, out on the road. I usually left early in the morning, after receiving the dawn situation reports and issuing any orders that
-
-were necessary, to visit divisions and forward troops. At noon I would return to the command post for a while and then go out to visit another division, for as often as not it is just around eventide that success beckons or a fresh impetus is needed. By the time we returned to our
-
-tented camp, which would meanwhile have been shifted to a new location, we were dead tired and as black as sweeps. On such occasions it was a special treat to find that, thanks to the
-
-forethought of Major Niemann, my second assistant, we were to have a roast chicken or even
-
-a bottle of wine from his own small stock instead of the usual evening fare of rye bread, smoked sausage and margarine. I am afraid that however far forward we were, chickens and geese were very hard to come by, having as a rule been snapped up by other fanciers before we appeared on the scene. When, with the onset of the early autumn rains, it became rather too chilly to sit in the tents, we found it both pleasant and refreshing to use the sauna baths which, however primitive in form, were to be found on almost every farmstead.
-
-Such flexible leadership on my part was, of course, possible only because I was able to take a wireless vehicle along with me on these trips under our excellent signals officer Kohler, who later became a General Staff major. Thanks to the admirable speed with which he could raise our tactical staff or any divisional headquarters on the air, I was kept continuously informed of the situation throughout the corps sector, and decisions taken by me on the spot could be passed back with the minimum of delay. I might add that during my imprisonment after the war Kohler proved a most unselfish friend and helper to my wife.
-
-Apart from my faithful drivers Nagel and Schumann and two out-riders, my constant companion on these trips was my A.D.C., Lieutenant Specht. We called him 'Pepo' because of his short, wiry figure and his youthful freshness and happy-go-lucky nature. He was a young cavalry officer of the best type. Brisk, vigorous, somewhat irresponsible where danger was concerned, shrewd and quick on the uptake, he was always cheerful and slightly saucy. All these qualities had endeared him to me. He rode brilliantly (his father was a keen horse-breeder, his mother a first-class horsewoman) and had won several big events as a newly commissioned officer just before the war. He was game for anything, and would have liked nothing better than to take his Commanding General out on skirmishing patrols. As long as we belonged to a panzer corps and could be daily at the scene of action, Pepo was content with me and his lot, but when I became an army commander and could no longer be up at the front so often, he began to champ at the bit. It was a very proper attitude for a young officer, and I gave him his head on a number of occasions. In the Crimea he twice led a reconnaissance squadron with great skill and dash. When we were in front of Leningrad I again sent him to a division, but this time he crashed while on his way there in a Fieseler
-
-Storch. The loss was a heavy blow to me.
-
-Now let us return to 56 Panzer Corps. By 9th July it had become clear that Fourth Panzer Group's attempt to outflank the enemy forces it believed to be at Pskov by sending our corps
-
-round to the east had no hope of success on account of the marshiness of the ground and the strength of the enemy's resistance. There was nothing for it but to discontinue the manoeuvre
-
-and re-direct Corps H.Q. and 8 Panzer Division on to the original northern axis towards Ostrov, as had already been done with 3 Motorized Infantry Division. Still, since moving off from Dvinsk the corps had - according to intelligence reports available on 10th July-smashed
-
-four or five of the enemy's infantry divisions, one armoured division and one motorized division - forces far superior to its own numerically. Apart from the thousands of prisoners we had taken, our booty since crossing the Reich frontiers included sixty aircraft, 316 guns (including anti-tank and anti-aircraft), 205 tanks and 600 lorries. But the enemy, though pushed back to the east, was still not destroyed - as was very soon to become apparent.
-
-Now that the Panzer Group was concentrated around Ostrov, we at 56 Panzer Corps hoped for a rapid, direct and uniform advance on Leningrad, with ourselves passing through Luga and 41 Panzer Corps through Pskov. In our view this offered the best chance not only of effecting
-
-the quick capture of the city but also of cutting off the enemy forces retreating through Livonia into Estonia before our Eighteenth Army. The task of safeguarding this operation on its open eastern flank would have had to devolve on Sixteenth Army as it moved up behind
-
-Fourth Panzer Group.
-
-Presumably acting on directives from the highest level, however, Panzer Group H.Q. decided
-
-otherwise.
-
-41 Panzer Corps was allotted the main road through Luga along which to advance on Leningrad. 56 Panzer Corps, once again pulling out to the east, was to advance through Porkhov and Novgorod to Chudovo in order to break communications between Leningrad and
-
-Moscow at the earliest possible date.
-
-Important though the latter task was, these orders must once again have led to the two corps
-
-becoming widely dispersed, as a result of which each was liable to be deprived of the necessary striking power. The danger was increased by the fact that much of the country to be crossed this side of Leningrad was marshy or wooded and hardly suitable for large armoured
-
-formations.
-
-A particularly regrettable step was the removal from 56 Panzer Corps of the SS Death's Head Division, which had meanwhile been relieved in the Zebesh-Opochka area by 290 Infantry Division. The SS Division was now retained south of Ostrov as the Panzer Group reserve. Thus, as had previously happened when we set off from the German frontier, the Panzer Group's main effort was again placed on its left wing - 41 Panzer Corps. 56 Panzer Corps was dispatched on its wide sweep round to Chudovo with only one armoured and one infantry
-
-division, thereby being denied the essential protection of its open south flank by the SS division following along in echelon on the right. It was a particularly risky move when one considered that even though the enemy forces engaged by the corps to date had been outfought, they were far from annihilated.
-
-Be that as it may, we were still convinced that the corps would continue to find its safety in
-
-speed of movement.
-
-3 Motorized Division, which only came back under command at Ostrov, had already taken Porkhov on 10th July after a hard struggle and was put on a minor road leading north. 8
-
-Panzer Division was to drive through Zoltsy to seize the vital crossing point where the
-
-Mshaga ran into Lake Ilmen.
-
-In a series of battles, most of them fierce ones, the advance was kept going for the next few days. Except for one attack on the corps command post on the north bank of the Shelon river in the early hours of 14th July - apparently carried out by enemy reconnaissance forces- the enemy had so far not made his presence felt on our open flank in the south. That same day, at my insistence, 8 Panzer Division, which had taken Zoltsy after a battle against an enemy well equipped with artillery and armour, pushed on to the Mshaga sector. It found the bridge
-
-already blown.
-
-Meanwhile Panzer Group H.Q. had transferred the main effort of its advance even further west of the Luga road. It had moved 41 Panzer Corps' three mechanized formations northwards to bar the way to the enemy forces retiring through Narva, north of Lake Peipus, before Eighteenth Army. Only one infantry division of the corps (the 269th) had been left on
-
-the road to Luga.
-
-Thus 56 Panzer Corps suddenly found itself even more isolated than before in its wide swing towards Chudovo. Accordingly we got on to Panzer Corps H.Q. to point out that if we were to carry out the Chudovo assignment our corps must have the immediate support both of the SS Death's Head Division and also of Sixteenth Army's 1 Corps, which was relatively close
-
-behind.
-
-Before this appeal could be answered, however, 56 Panzer Corps was already in trouble. Early on 15th July we received a number of most unpleasant reports at the corps command post on the Shelon, west of Zoltsy. The enemy had launched a powerful attack from the north into the flank of 8 Panzer Division, now strung out to the Mshaga, and simultaneously driven up from the south over the Shelon. This meant that the bulk of 8 Panzer Division's fighting troops, who were located between Zoltsy and the Mshaga, were cut off from the division's rear echelons, in whose area corps H.Q. was located. But that was not all. The enemy had closed the trap behind ourselves, too, by pushing up strong forces from the south to straddle our supply route. At the same time 3 Motorized Division, advancing further northwards, found itself being attacked by superior enemy forces from the north and north-east at Maly
-
-Utogorsh.
-
-It was obviously the enemy's intention to encircle 56 Panzer Corps while it was isolated. The failure to echelon the SS Death's Head Division along our rear right flank had enabled him to attack across the Shelon with those of his forces which lay south of us. At the same time the removal of 41 Panzer Corps from the Luga road had released the strong enemy forces there, and these were now attacking our northern flank.
-
-Our corps' position at that moment was hardly an enviable one, and we could not help wondering whether we had taken rather too great a risk this time. Had we been carried away
-
-by our previous successes to the extent of paying insufficient heed to the enemy on our southern flank? Yet what other chance should we had have of carrying out our mission? As matters stood, the only course open to us was to pull 8 Panzer Division back through Zoltsy to escape the encirclement that now threatened. 3 Motorized Division had to be disengaged at the same time to give the corps back its freedom of movement. The next few days proved critical, with the enemy straining every nerve to keep up his encirclement and throwing in, besides his rifle divisions, two armoured divisions enjoying strong artillery and air support. 8
-
-Panzer Division nevertheless managed to break through Zoltsy to the west and re-group,
-
-despite having to be temporarily supplied from the air. Before completing its own disengagement, 3 Motorized Division had to beat off seventeen successive attacks. In the meantime, after Panzer Group H.Q. had put the SS Death's Head Division under our command, it was possible for us to clear the corps supply route.
-
-By 18th July the crisis was as good as over, the corps being by then firmly established around Dno on a front facing roughly east by north-east. The earlier danger on our open flank in the south was removed by the proximity of Sixteenth Army's 1 Corps, which was now drawing
-
-near Dno.
-
-One consolation was afforded us by the capture from a courier aircraft of a letter bearing the
-
-signature of Marshal Voroshilov, whom I had met in Moscow in 1931 and who now commanded the 'front' opposite us. This not only confirmed that very substantial elements of the Soviet armies had been wiped out, but in the same connexion referred specifically to the
-
-battles around Zoltsy.
-
-As long as we had been surrounded, our only links with the rear had been at best by wireless or aircraft. The very moment our lines of communication were restored, however, the usual plethora of paper descended on us. One item deserving special mention was an ominous inquiry telegraphed through from the Supreme Command. Moscow radio, in somewhat premature celebration of our corps' encirclement, had reported the capture of certain top-secret data on our multiple rocket-launcher. The Soviets had obviously taken an intense dislike to this new weapon, with which we were able to fire missiles of flaming oil. Already the Soviet Army facing us had wirelessed a warning en clair that if we did not stop using it they would retaliate with gas - an empty threat, of course, in view of the complete inadequacy
-
-of their own chemical warfare defences. In these circumstances it was understandable that they should make such a song and dance about the capture of this information. Now we were being called upon to explain how a top-secret document could possibly fall into enemy hands. Obviously it had not been taken from the fighting troops, but from a transport column intercepted by the Soviets when they cut our supply route. This sort of thing was liable to happen to any armoured formation operating far ahead of its own army front. In response to the Supreme Command's inquiry we duly reported the facts of the case, adding that to avoid any further censure we would henceforth refrain from cruising around on our own some 60
-
-miles behind the enemy lines.
-
-On 19th July we had been informed by Panzer Group H.Q. that it now planned to send 56 Panzer Corps through Luga to Leningrad. 269 Infantry Division, which was assembled on the
-
-Luga road, had already been placed under our command. We still had no success with our proposal that the forces of the Panzer Group be at long last concentrated for concerted action -
-
-preferably up north with 41 Panzer Corps east of Narva (where there were four serviceable roads to Leningrad) rather than along the Luga axis, which ran through extensive woodlands.
-
-For the rest, we were first to launch an attack eastwards with 1 Corps against the Mshaga sector, which we had already reached once before. Apparently the Supreme Command was still sticking to its plan for a wide outflanking movement and was even prepared to go round to the east of Lake Ilmen. For the time being, therefore, we and 1 Corps were involved in fresh battles, in the course of which the enemy was thrown back across the Mshaga.
-
-On 20th July we had a visit from the Oberquartiermeister I of O.K.H., General Paulus. I put him in the picture about the battles we had fought to date and pointed out how run-down our Panzer Corps had become in country which was most unsuitable for the use of armoured troops. I also drew his attention to the disadvantages of scattering the Panzer Group's resources. The losses of our corps' three mobile divisions already amounted to 6,000 men, and both the troops and equipment were being subjected to excessive strain, even though 8 Panzer Division had been able, during a few days' rest, to bring the number of its serviceable tanks
-
-back from eighty up to the 150 mark.
-
-I told Paulus that in my opinion the best thing to do would be to withdraw the entire Panzer Group from an area where a rapid advance was almost out of the question and to use it against
-
-Moscow. If, on the other hand, the idea of driving on Leningrad and executing a wide encircling movement through Chudovo were to be maintained, it was essential that infantry be made available. Once the wooded zone had been cleared, our own corps must be saved for the final thrust on the city, otherwise the mobile divisions would reach Leningrad in no fit state for fighting. In any case, I pointed out, such an operation would take time. If we wanted to gain swift possession of Leningrad and the coastline, the only thing to do was to concentrate the whole Panzer Group up north in the area east of Narva, whence it could drive straight for
-
-the city.
-
-General Paulus entirely agreed with my views.
-
-Initially, however, things turned out quite differently. While Sixteenth Army, consisting of 1 Corps and another corps which had just arrived, took over the Mshaga front west of Lake Ilmen, it was decided, after all, that 56 Panzer Corps should now carry out the thrust on Leningrad up the route through Luga. For this purpose we were allotted 3 Motorized Infantry Division, 269 Infantry Division and the newly-arrived SS Police Division.
-
-This had the effect of dispersing the Panzer Group's mechanized forces further than ever. The
-
-SS Death's Head Division remained with Sixteenth Army by Lake Ilmen, and 8 Panzer Division was taken into reserve by the Panzer Group to be initially employed on clearing the communications zone of partisans - a role for which it was not only far too valuable but also quite unsuitable. The corps now had only one mobile division (3 Motorized) in the Luga area,
-
-while 41 Panzer Corps' own three were in action east of Narva. The maxim established by Colonel-General Guderian on the use of armour was 'klotzen, nicht kleckern — 'Don't spatter: Boot 'em!' In our own case the very opposite course seemed to have been taken. All our efforts to retain the three mobile divisions irrespective of which way our corps was sent proved unsuccessful. Experience has long shown that when forces run short, only very few commanders manage to maintain a tidy order of battle and avoid splitting their formations.
-
-It would take up too much space here if I were to describe the battles around Luga. They proved very tough indeed. While the enemy had had only a very modest number of troops available in this area a few weeks previously, he had now brought his strength up to a full corps of three divisions supported by strong artillery and armour. To cap this, the country around Luga was a Russian training area with which, of course, the enemy was intimately acquainted, and in addition, he had had time to dig himself in properly.
-
-While these battles were still in progress, our corps was given a new task. At long last it was to join up with 41 Panzer Corps in the north for the assault on Leningrad. Even now, however,
-
-only Corps H.Q. and 3 Motorized Division were involved: 8 Panzer and the SS Death's Head
-
-Division were to continue in their present role.
-
-On 15th August we handed over at Luga to H.Q. 50 Corps under General Lindemann, an old
-
-friend of mine from World War I days, and began moving north. The route to our new command post on Lake Samro, 25 miles south-west of Narva, was so bad that we took eight hours to travel a distance of 125 miles. We had hardly reached Lake Samro late that evening when a telephone call was received from Panzer Group H.Q. ordering us to halt 3 Motorized
-
-Division, which was coming up behind us, and to drive straight down south again next morning to report to H.Q. Sixteenth Army in Dno. We, together with 3 Motorized Division and the SS Death's Head Division, which was being pulled over from Lake Ilmen, were now to join that formation. No one will pretend that we were particularly pleased at these peregrinations. The one admirable exception was our quartermaster, Major Kleinschmidt, whose cheerful equanimity was quite undaunted by the news that he would have to swing his supply and transport arrangements round through an angle of 180 degrees.
-
-So, on 16th August, we moved back to Dno along the same dreadful route we had covered the day before. This time the distance was 160 miles, and we took thirteen hours to do it. Luckily, 3 Motorized had not come too far north and could be turned round in good time, but what the
-
-troops thought of it all I do not care to imagine.
-
-The ultimate reason for the change was probably that our sum total of forces was inadequate and that the whole area between Leningrad, Pskov and Lake Ilmen was thoroughly unsuitable
-
-as tank country.
-
-The picture we were given on our arrival at H.Q. Sixteenth Army was the following: 10 Corps, fighting on the right wing of the army south of Lake Ilmen, had been attacked and pushed back by far superior enemy forces (Thirty-Eighth Soviet Army, comprising eight divisions and cavalry formations). It was now fighting a difficult defensive battle south of Lake Ilmen on a front facing south, with the enemy obviously trying to outflank it in the west. 56 Panzer Corps was to provide the urgently needed relief.
-
-MAP 9
-
-What our corps had to do - if possible without attracting the attention of the enemy - was to introduce its two mechanized divisions into his western flank east of Dno in order to roll up the front while he was busy attacking our own 10 Corps in the north. The task confronting us was a pretty one, and it was gratifying to see how pleased the SS were to come back under our command. It was only a pity that we could not get 8 Panzer Division released for such a
-
-worth-while operation.
-
-By 18th August the carefully concealed move of the two divisions into camouflaged assembly areas in the enemy's western flank had been successfully completed, and when the corps unleashed its attack early next day the enemy was obviously taken completely by surprise.
-
-Our plan to roll up the enemy front from the flank proved entirely successful, and in the engagements that followed we and 10 Corps, which had now returned to the attack, jointly succeeded in roundly defeating Thirty-Eighth Soviet Army. By 22nd August we had reached the Lovat south-east of Staraya Russa, despite the fact that in that sandy terrain, with its almost complete absence of roads, the infantry of the two motorized divisions had had to advance most of the way on foot. During those few days 56 Panzer Corps alone captured
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-12,000 prisoners, 141 tanks, 246 guns and several hundred automatic weapons and motor vehicles. The booty included two extremely interesting items. One was a brand-new 8.8-cm. anti-aircraft battery of German manufacture from the year 1941. The other was the very first
-
-Soviet salvo gun to fall into German hands. As I was most anxious to have the latter evacuated, I was all the more indignant to find that it could not be moved because somebody had helped himself to the tyres! The offender proved to be none other than my second assistant, Major Niemann, who had discovered that these tyres fitted our own command wagon. He looked somewhat crestfallen when told to hand them back for reassembly.
-
-While the fighting troops, who once again had to exert themselves to the utmost, were enjoying a brief rest on the Lovat, there was talk of withdrawing 56 Panzer Corps for employment elsewhere, but then Sixteenth Army's eastward advance south of Lake Ilmen was resumed, after all. At the end of August, however, the first rains of that summer set in, turning every road into such a quagmire that for a while both motorized divisions were completely stuck. At the same time the enemy moved up new forces. In lieu of his beaten Thirty-Eighth Army three new armies appeared along the Kholm-Ilmen front opposite our own Sixteenth Army — the Twenty-Seventh, Thirty-Fourth and Eleventh, Fresh battles ensued, but to describe these in detail would take up too much space. 56 Panzer Corps forced a crossing over
-
-the Pola and pushed on to a point just short of Demyansk. Quite apart from the fact that enemy resistance was stiffening, the painful effort of advancing along roads several feet deep in mud imposed a particular strain on both men and equipment. During this period the whole of my time was spent out with my divisions, but even my sturdy Kubelwagen often had to be towed by a tractor to make any headway on those so-called roads.
-
-During this period even we came to feel the divergence between the aims pursued by Hitler (Leningrad) and O.K.H. (Moscow). The commander of Sixteenth Army, Colonel-General Busch, told me he intended to push east as far as the Valdai Heights so that he could later advance in the direction Kalinin-Moscow. It seemed that H.Q. Northern Army Group did not agree - principally because it was worried by the prospect of baring the army's eastern flank. While at the beginning of September, 57 Panzer Corps intervened in our operations from the area of Central Army Group in the south, we ourselves were told on 12th September that we would shortly be moved south with 3 Motorized Division to come under command of Ninth Army in Central Army Group. Even as a corps commander one could make neither head nor
-
-tail of all this chopping and changing, though I did form the impression that it was all ultimately due to the tug-of-war evidently going on between Hitler and O.K.H. over whether the strategic aim should be Moscow or Leningrad.
-
-At all events, the battles which Sixteenth Army fought in those weeks with 56 Panzer Corps taking part were continuously successful, and on 16th September O.K.W. was able to announce the defeat of substantial elements of the Eleventh, Twenty-Seventh and Thirty-Fourth Soviet Armies. Nine enemy divisions were considered to have been destroyed and nine
-
-more badly battered.
-
-We still failed to find any real satisfaction in these achievements, however, for no one was clear any longer what the actual aim of our strategy was or what higher purpose all these battles were supposed to serve. Whatever else might happen, the period of sensational advances of the kind we had made on Dvinsk was at an end.
-
-My days at the head of 56 Panzer Corps were now numbered. On the evening of 12th September, under a steady downpour of rain, I was sitting in my tent with one or two officers
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-of my staff. Ever since it had begun to get dark early we had taken to playing bridge to while away the time until the evening situation reports came in. Suddenly the telephone rang at my elbow and I was asked to take a call from my friend Busch, the army commander. A telephone message at this late hour did not usually bode anything pleasant, but on this occasion Busch read me out an order that had come over the teleprinter from O.K.H. :
-
-'General of the Infantry v. Manstein will leave forthwith for Southern Army Group to assume
-
-command of Eleventh Army.'
-
-Every soldier will sense how proud and happy I felt at the prospect of leading a whole army from now on. To me, at the time, this seemed the peak of my military career.
-
-Early next morning I took leave - only by telephone, unfortunately - of the divisions under my command and then bade farewell to my own staff. In doing so I had grateful memories of all that 56 Panzer Corps and its staff had achieved in the past months, when the headquarters and divisions had grown into a thoroughly integrated unit.
-
-Joyful though I was in taking over this new and bigger task, I was nevertheless fully aware that probably the most satisfying phase of my life as a soldier was now over. For three whole months I had lived close to the fighting troops, sharing not only their trials and tribulations, but also the pride of their successes. Time and again I had been able to derive fresh energy from the very fact of this common experience, from the cheerful devotion with which everyone went about his duty and from the intimacy of comradeship. From now on my position would prevent me from working among the troops to the extent I had done to date.
-
-It was unlikely that I should ever again live through anything comparable to the impetuous dash of 56 Panzer Corps in the first days of the campaign - the fulfilment of all a tank-force commander's dreams. I thus found the leave-taking extremely hard - most of all from my experienced Chief-of-Staff, Colonel Baron v. Elverfeldt, a cool, high-minded and never-failing counsellor. The same applied to my high-spirited and talented Chief of Operations, Major Detleffsen, the head of my Intelligence branch, Guido v. Kessel, and that indefatigable quartermaster, Major Kleinschmidt. Another of those I had to leave behind me was the head of my adjutant-general's branch, Major v. d. Marwitz, who had joined us only a few weeks previously and with whom I had close ties of friendship dating back to the days we had spent together in Pomerania and at the military academy.
-
-When I left on the morning of 13th September to take formal leave of my friend Busch, the only people I could take with me were my A.D.C., Specht, and my two drivers, Nagel and
-
-Schumann. Not one of them is alive today.
-
-9
-
-THE CRIMEAN CAMPAIGN
-
-IF I NOW attempt to describe the battles fought in the Crimea by Eleventh Army and its Rumanian fellow-combatants, my main reason for doing so is to commemorate my comrades of the Crimean Army. At the same time I should like to give the men who survived those battles a general account of the events of which they could have had only an incomplete
-
-picture at the time.
-
-These men put up a tremendous performance in the period 1941-2, fighting one battle after another against an adversary who almost invariably outnumbered them. In attack and pursuit their aggressive spirit was unparalleled; and when the situation appeared hopeless they would
-
-stand and fight unflinchingly. Often they may not have known what compelled us to make demands on them that seemed impossible to fulfil, or why they were flung from one action to
-
-another and from one front to the next. And yet they went to the very limit of endurance to carry out these demands, reciprocating the trust of those who led them.
-
-But Eleventh Army's campaign in the Crimea also deserves attention outside the immediate circle of its participants, for it is one of the few cases where an army was still able to operate independently in a segregated theatre of war, left to its own devices and free of interference from the Supreme Command. It was a campaign which, in ten months of incessant fighting, included both offensive and defensive battles, mobile warfare with full freedom of action, a headlong pursuit operation, landings by an enemy in control of the sea, partisan engagements and an assault on a powerfully defended fortress.
-
-Finally, the campaign is of interest because it was fought over the Black Sea peninsula which even today bears traces of the Greeks, Goths, Genoese and Tartars. Once before, in the war of 1854-6, this had been a focal point of history, and the names of places which played a role then- the Alma, Balaclava, Inkerman and Malakoff - will be heard here all over again.
-
-Operationally, however, the war of 1854-6 can in no way be compared with the campaign fought in 1941-2. In the former case the Western Powers enjoyed naval supremacy and all the advantages this implies, whereas in the Crimean campaign of 1941-2 it was the Russians who controlled the Black Sea. Our Eleventh Army had not only to conquer the Crimea and Sevastopol, but also to contend with all the possibilities open to the Russians by reason of
-
-their mastery at sea.
-
-THE SITUATION ON MY ASSUMPTION OF COMMAND
-
-On 17th September 1941 I arrived at Eleventh Army H.Q. in Nikolayev, the Russian naval base at the mouth of the Bug, and took over command.
-
-My predecessor, Colonel-General Ritter v. Schobert, had been buried in the city the day before. On one of his daily visits to the front he had landed on a Russian minefield in his Fieseler Storch aircraft, and both he and his pilot had been killed. In him the German Army lost an officer of great integrity and one of its most experienced front-line soldiers. His troops
-
-would have followed him anywhere.
-
-H.Q. Eleventh Army, whose operations staff was later to form the headquarters of Don Army Group, was almost without exception a superb team of men, and I have grateful memories of the assistance I received from so many splendid officers in two and a half tough years of war. We got on extraordinarily well together, and when I relinquished my command in 1944 many
-
-or them did not want to remain on the staff.
-
-The novelty of my new position did not end with the expansion of my sphere of command from an army corps into an army. I did not discover until I reached Nikolayev that in addition to Eleventh Army I was also to take over Third Rumanian Army, which was affiliated to it.
-
-For political reasons the actual chain of command in this part of the Eastern Front had not
-
-been easy to arrange.
-
-Command of the allied forces committed from Rumania - Third and Fourth Rumanian Armies and Eleventh German Army - had been entrusted to the Rumanian Head of State, Marshal Antonescu, but at the same time he was bound by the directives of Southern Army Group, commanded by Field-Marshal v. Rundstedt. H.Q. Eleventh Army had been acting as the connecting link between the Marshal and Army Group H.Q. and had advised him on
-
-operational matters.
-
-By the time I arrived, however, the situation was such that Antonescu only retained control of Fourth Rumanian Army, which he had directed to attack Odessa. The other Rumanian army taking part in the campaign, the Third, had been placed under command of Eleventh Army, which henceforth took its orders direct from H.Q. Southern Army Group.
-
-At the best of times it is embarrassing for an army headquarters to have to control another self-contained army in addition to its own, and the task was necessarily twice as difficult when the army in question happened to be an allied one. What made things harder still was that there were not only certain differences of organization, training and leadership between
-
-the two armies — as is always the case where allies are concerned - but also a noticeable contrast in their fighting qualities. From time to time this led us to take a firmer hand in our ally's handling of an operation than was usual with our own forces or desirable in the interest
-
-of good relations.
-
-That we were able, despite these difficulties, to collaborate with the Rumanian headquarters staffs and fighting units without any real friction occurring was primarily due to the loyalty of the commander of Third Rumanian Army, General (later Colonel-General) Dumitrescu. The German liaison teams which we had attached to all Rumanian staffs down to divisional level also contributed by their tact, and when necessary by their firmness, to this co-operation.
-
-The man most deserving of mention in this respect, however, is Marshal Antonescu. Whatever verdict posterity may pass on him as a politician, Antonescu was a real patriot, a good soldier and certainly our most loyal ally. He was a soldier who, having once bound up his country's destiny with that of the Reich, did everything possible until his overthrow to put Rumania's military power and war potential to effective use on our side. If this did not always work out quite as he had hoped, the reason was to be found in the internal circumstances of his State and his regime. At all events, he remained faithful to his allies, and I can only speak
-
-with gratitude of our work together.
-
-As for the Rumanian Army, there is no doubt that it had considerable weaknesses. Although
-
-the Rumanian soldier - who was usually of peasant origin - was modest in his wants and usually a capable, brave fighter, the possibilities of training him as an individual fighting man who could think for himself in action, let alone as a non-commissioned officer, were to a great extent limited by the low standard of general education in Rumania. In cases where members of the German minority did come up to the necessary standard, Rumanian national prejudice tended to impede any advancement. Neither were such outmoded practices as flogging likely to improve the quality of the rank and file. Their effect was rather to make Rumanian soldiers of German stock do everything they could to join one of the German armed services or - since the latter were not allowed to accept them - the Waffen-SS.
-
-One disadvantage as far as the inner stability of Rumanian troops was concerned was the absence of a non-commissioned officer corps as we know it. I am afraid people in Germany nowadays are all too ready to forget what a debt we have owed in the past to our excellent
-
-body of regular N.C.O.s.
-
-Another factor of far-reaching importance was that a considerable proportion of the Rumanian officers holding senior and medium appointments were not up to requirement. Most of all, the Rumanians lacked that close link between officers and men which tends to be taken for granted in the German Army. Man management with them was entirely devoid of the
-
-'Prussian' tradition.
-
-Because they had no war experience, the combat training of the Rumanians fell short of the exigencies of modern warfare. This led to unnecessary losses, which in turn was bound to
-
-affect morale.
-
-The military leaders, who had been under French influence since 1918, still thought in terms of World War I. Weapons and equipment were partly obsolete and also inadequate. This was particularly true of the anti-tank units, with the result that they could hardly be expected to hold their ground against Soviet tank attacks. Whether Germany could not have rendered more effective help in this respect is a question for others to decide.
-
-One final drawback regarding the use of Rumanian troops on the Eastern Front was their terrific respect for 'the Russians'. In difficult situations this was liable to end in a panic. Indeed, it is a problem of which account must be taken in any war against Russia involving South-East European nations. In the case of the Bulgarians and Serbs the insecurity is increased by their sense of Slavonic affinity.
-
-There was one other factor that could not be entirely disregarded in any assessment of the combat efficiency of Rumanian troops. At the time with which we are dealing Rumania had already attained her fundamental war aim, the reconquest of Bessarabia. Even 'Transnistria', the territory between the Dniester and Bug which she had been persuaded to accept by Hitler, did not really lie within the scope of Rumania's aspirations. It was understandable that the idea of pushing even further into the Russia they dreaded so much was none too warmly
-
-received by many Rumanians.
-
-Despite all the defects and reservations mentioned above, however, the Rumanian troops performed their duty as best they could. Above all, they always readily submitted to German military leadership and did not, like other allies of ours, put matters of prestige before material necessity. Undoubtedly the soldierly mentality of Marshal Antonescu exerted a decisive
-
-influence in this respect.
-
-To sum up, the verdict given me at the time by my advisers was that in the event of any substantial losses Third Rumanian Army would cease to be capable of offensive action and only be fit for defence if reinforced by German 'corset bones'.
-
-The sector I had to command formed the southernmost wing of the Eastern Front. Broadly speaking, it embraced the Crimea and the part of the Dnieper bend south of Zaporozhye. There was no direct contact with the main forces of Southern Army Group advancing north of
-
-the Dnieper, which was all to the good as far as Eleventh Army's operational freedom was concerned. After the forest tracts of northern Russia in which I had last had to operate with a
-
-tank corps unsuited to that type of country, I now found myself in the vast expanses of the steppes, which were almost entirely devoid of natural obstacles, even if they did not offer any cover either. It was ideal tank country, but unfortunately Eleventh Army had no tanks.
-
-The only variety was offered by the smaller rivers, the beds of which dried up in summer-time to form deep, steep-banked fissures known as balkas. Nevertheless, the very monotony of the steppes gave them a strange and unique fascination. Everyone was captivated at one time or other by the endlessness of the landscape, through which it was possible to drive for hours on end - often guided only by the compass - without encountering the least rise in the ground or setting eyes on a single human being or habitation. The distant horizon seemed like some mountain ridge behind which a paradise might beckon, but it only stretched on and on. The poles of the Anglo-Iranian telegraph line, built some years before by Siemens, alone served to
-
-break the eternal sameness of it all. Yet at sunset these steppes were transformed into a dazzling blaze of colour. In the eastern part of the Nogaisk Steppes, around and north-east of Melitopol, one came upon lovely villages with such German names as Karlsruhe and Helenental. They lay in the midst of rich fruit plantations, their well-built stone houses bearing witness to a past prosperity. The inhabitants still spoke the purest German, but they were almost all old men, women and children. The men had been deported by the Soviet
-
-authorities.
-
-The task assigned to Eleventh Army by the Supreme Command inevitably committed it in
-
-two divergent directions.
-
-On one hand, by advancing on the right wing of Southern Army Group, it was intended to continue pursuing the enemy as he withdrew eastwards. To this end the main body of the army was to be brought forward along the north coast of the Sea of Azov in the general
-
-direction of Rostov.
-
-On the other hand, the army was also meant to take the Crimea - a task given special priority. One reason for this was the favourable effect the capture of the peninsula was expected to
-
-have on the attitude of Turkey. Another even more pressing one was the threat of the enemy's big Crimean air bases to the Rumanian oilfields, so vital to Germany. After the Crimea had been taken, the Eleventh Army's corps of mountain troops was to move over the Straits of Kerch towards the Caucasus, evidently to reinforce an offensive beyond Rostov.
-
-At that time, therefore, the Supreme Command still had pretty far-reaching aims for the 1941 campaign. It was soon to become apparent that the dual role allotted to Eleventh Army was
-
-unrealistic.
-
-At the beginning of September Eleventh Army had forced a crossing over the lower Dnieper at Berislavl - an exceptional feat of arms in which the main part had been played by 22 (Lower Saxon) Infantry Division. Nonetheless, it marked the point where the duality of the army's task inevitably brought about a cleavage in its axis of advance.
-
-When I took command I found myself confronted by the following situation :
-
-Two army corps - 30 Corps under General v. Salmuth (72 and 22 Infantry Divisions and the Leibstandarte Adolf Hitler) and 49 Mountain Corps under General Kubier (170 Infantry Division and 1 and 4 Mountain Divisions) - had continued their eastward pursuit of the enemy
-
-after his defeat on the Dnieper and were approaching the line from Melitopol to the Dnieper
-
-bend south of Zaporozhye.
-
-One corps - the 54th under General Hansen - had been diverted to the approach to the Crimea,
-
-the Perekop isthmus. 50 Infantry Division, which had come from Greece, was partly under Fourth Rumanian Army before Odessa and partly engaged in mopping up the Black Sea coast.
-
-Third Rumanian Army, comprising a mountain corps (1,2 and 4 Mountain Brigades) and a cavalry corps (5, 6 and 8 Cavalry Brigades), was still west of the Dnieper, where it proposed
-
-to rest for a while. In doing so it was probably guided by a desire to avoid any advance beyond the river, since it had already exceeded Rumania's political aims in having to cross the
-
-Bug.
-
-Faced with this dual mission of pursuing the enemy eastwards to Rostov and conquering the Crimea for a subsequent drive through Kerch to the Caucasus, Eleventh Army Headquarters had to decide whether to deal with the two divergent tasks simultaneously or in chronological order. A decision which was really the responsibility of the Supreme Command was thus left
-
-to an army.
-
-It seemed quite certain that both tasks could not be solved simultaneously with the forces we
-
-had at our disposal.
-
-The capture of the Crimea called for a considerably stronger force than 54 Corps, now facing Perekop. Although the Intelligence picture indicated that only three divisions of the enemy army were likely to have escaped from the Dnieper into the isthmus, it was not clear what
-
-forces the Russians had available in the Crimea itself, particularly at Sevastopol. Soon afterwards it emerged that the enemy could put not three but six divisions into action in the
-
-isthmus itself. These were later to be reinforced by the Soviet Army then defending Odessa.
-
-[I.e. from the sea. Jr.]
-
-In view of the nature of the ground, however, a stubborn defence by even three enemy divisions would probably suffice to deny 54 Corps access to the Crimea or at least to cause it considerable losses in the fight through the isthmus.
-
-The Crimea is divided from the mainland by the so-called Lazy Sea, the Zivash. This is a kind of mud-flat or brackish swamp, almost impassable for infantry and an absolute obstacle to assault boats on account of its extreme shallowness. There are only two firm approaches to the Crimea - the isthmus of Perekop in the west and a neck of land running west of Genichesk in the east. The latter is so narrow in places as only to leave room for a causeway and railway embankment, both of which are interspersed with long stretches of bridges. For the purpose of
-
-an attack, therefore, it was quite useless.
-
-As even the Perekop isthmus was less than five miles wide, the assault would have to be purely frontal and over ground quite devoid of cover. A flanking attack was ruled out by the proximity of the sea on either side. In addition to being already equipped with strong field defences, the isthmus was cut straight across the middle by Tartars' Ditch, an ancient earthwork anything up to 50 feet in depth.
-
-Once the Perekop isthmus had been broken through, there was another bottle-neck to be tackled further south at Ishun, where salt lakes reduced the potential assault front to a mere
-
-two miles.
-
-In view of these difficulties on the ground and the enemy's superiority in the air, we had to expect a hard and exhausting struggle. Even if we succeeded in breaking through at Perekop,
-
-it was doubtful whether the corps would still have the strength to fight a second battle at Ishun. In any case, two or three divisions would never be enough to conquer the whole of the
-
-Crimea including Sevastopol.
-
-To ensure a swift occupation of the Crimea, therefore, the army had at all costs to detach strong additional forces from its pursuit group now heading eastwards. What remained should still suffice for the pursuit as long as the enemy continued to withdraw - though it would be too weak for an objective as remote as Rostov if he were to form a new front further back or
-
-actually bring up fresh forces.
-
-Should it be considered crucial to advance on Rostov, the Crimea would have to be left behind for the time being. In that event, however, it would be difficult to tell when, if ever, the forces needed to conquer the peninsula could be made available. Besides, in the hands of an enemy with command of the sea the Crimea was liable to become a serious menace deep in the flank of the Eastern Front, quite apart from the fact that the air bases would continue to
-
-threaten the Rumanian oilfields.
-
-If the attempt were made to conduct a far-reaching operation towards and beyond Rostov with two army corps and simultaneously to conquer the Crimea with one other corps, the only result could be that neither objective would be effectively attained.
-
-Eleventh Army accordingly decided to give priority to the Crimea. At all costs we were determined not to tackle this task with insufficient forces. As a matter of course 54 Corps was given all the available army artillery, engineers and anti-aircraft guns, in addition to which it
-
-was to call forward 50 Infantry Division from its rear location at the latest in time for the second phase, the battle for the Ishun isthmus. But this was still not enough. It was imperative
-
-to have a second corps in order to conquer the Crimea quickly after the breakthrough - if indeed it were not actually needed to fight through the lakes at Ishun. We decided that this should be the German Mountain Corps, which the Supreme Command had anyway earmarked
-
-in its directives to be moved up through Kerch to the Caucasus later on. Meanwhile this formation of two divisions could be put to better use in the mountainous parts of the southern
-
-Crimea than out in the steppes.
-
-Apart from all this, an attempt was to be made, once we had broken into the peninsula itself, to take the fortress of Sevastopol by a surprise thrust with motorized units. For this purpose the Leibstandarte was to assemble behind 54 Corps when it went into the assault.
-
-These dispositions naturally entailed a considerable weakening of the army's eastern front. All that could be found to replace the forces there, apart from the elements of 22 Infantry Division being used on coastal defence north of the Crimea, was Third Rumanian Army. Despite the Rumanian inhibitions to which I alluded earlier, I was able to arrange in a personal talk with General Dumitrescu that his army should be moved quickly forward over the Dnieper.
-
-It was perfectly clear that the measures taken by Eleventh Army would involve considerable risks if the enemy on its eastern front were to halt his retreat and try to regain the initiative there. This was the price that had to be paid if we were to avoid attempting the capture of the
-
-Crimea with inadequate forces.
-
-BATTLE ON TWO FRONTS BREAKTHROUGH AT PEREKOP AND THE BATTLE ON THE SEA OF
-
-AZOV
-
-While supply difficulties caused the preparations for 54 Corps' attack on the Perekop isthmus
-
-to drag on till 24th September and our forces were still regrouping on the lines already indicated, there were signs of a change in the situation on the army's eastern front from 21st
-
-September onwards.
-
-The enemy had taken up prepared positions along a front from west of Melitopol to the Dnieper bend, with the result that the pursuit had to be discontinued. Nonetheless, the army went ahead with the disengagement of the German Mountain Corps, giving orders for the remaining German formations to be mixed in with those of Third Rumanian Army in order to keep the risk down to a minimum. The Rumanian cavalry corps in the southern sector of this front was incorporated into 30 German Corps, while Third Rumanian Army in the north took over 170 German Infantry Division to bolster the Rumanian mountain corps.
-
-By 24th September 54 Corps was able to move in to the assault on the Perekop isthmus. Though given maximum artillery support, 45 and 73 Infantry Divisions had the hardest possible conditions to fight under, having to advance in blazing sunshine across salt steppes on which there was no trace of water or cover. The enemy had transformed the isthmus into a powerful, ten-mile-deep defence system, and he fought bitterly for every single trench and
-
-strong-point.
-
-Nevertheless, after warding off strong enemy counter-attacks the corps took Perekop and crossed Tartars' Ditch on 26th September. Three more days' intensive fighting saw it through the rest of the enemy's defence zone and, after the capture of the strongly defended locality of Armyansk, out into more open country. The enemy fell back between the Ishun lakes, having suffered heavy losses in killed and left 10,000 prisoners, 112 tanks and 135 guns in our hands.
-
-But the fruit of this hard-won victory, the final break-out into the Crimea, could still not be plucked. Although the enemy's losses had been heavy, the number of divisions facing the corps had meanwhile risen to six. In all likelihood any attempt to go straight ahead with the storming of the Ishun bottleneck would have been too much for our troops, in view of the relative strengths involved and the tremendous sacrifices it would have imposed on the
-
-German corps.
-
-As for Eleventh Army's proposal to have reinforcements to hand at this juncture in the form of the Mountain Corps and the Leibstandarte, the enemy had already thwarted it. Obviously anticipating that we were intent on a speedy conquest of the Crimea, he had brought fresh forces up to his front between the Sea of Azov and the Dnieper.
-
-Here, on 26th September, he had attacked our Army's eastern front with two new armies, the
-
-Eighteenth and Ninth, consisting of twelve divisions which were mainly new arrivals or recently rested. In the first assault he had admittedly failed to score any successes against our
-
-own 30 Corps - though even here the situation became pretty tense - but in the sector of Third Rumanian Army he had overrun the latter's 4 Mountain Brigade and torn a gap ten miles wide in the army front. The brigade in question had lost the bulk of its artillery and seemed to be at the end of its tether. Both the other Rumanian mountain brigades had also suffered severe
-
-losses.
-
-We now had no choice but to make the German Mountain Corps, which was already on its way to the Perekop isthmus, do a right-about turn in order to set about restoring the position of Third Rumanian Army. Simultaneously, moreover, Eleventh Army was virtually deprived of the services of its one fast-moving formation, the Leibstandarte, as we were now ordered by the Supreme Command to hold it in hand for the drive on Rostov as part of First Panzer
-
-Group, to which it would shortly be transferred. We thus had to abstain from using the Leibstandarte to exploit the success in the isthmus, and it was likewise ordered back to the
-
-eastern front.
-
-In order to be close to the army's two fronts, the army operations branch had on 21st September established a tactical headquarters at Askania Nova in the Nogaisk Steppes, which had once been the property of a German family, the Falz-Feins.
-
-Formerly a model estate known all over Russia, it had now become a collective farm. The manor buildings were sadly neglected, and the retreating Soviet troops had destroyed all the machinery, just as they had thrown petrol over the mountains of threshed wheat lying out in the open air and set them on fire. The latter smouldered for weeks on end without our being
-
-able to extinguish them.
-
-The increasing gravity of the situation on the army's front impelled us to move close up behind the danger spot with a small tactical staff on 29th September. This is always an expedient measure in times of crisis, if only because it prevents subordinate staffs from pulling out early and making a bad impression on the troops. On the occasion in question it was particularly appropriate in view of the tendency of many Rumanian headquarters staffs to
-
-change their locations prematurely.
-
-The same day, the German Mountain Corps and the Leibstandarte delivered a thrust into the
-
-enemy's southern flank where he had broken into Third Rumanian Army but had failed to exploit his initial success properly. While it was possible to restore the situation in this area, a fresh crisis was brewing on the northern wing of 30 Corps, where a Rumanian cavalry brigade
-
-had given way. I had to intervene vigorously there and then to prevent its hasty withdrawal. The threatened breakthrough was then parried by swinging round the Leibstandarte to meet it.
-
-Tense though the situation on our eastern front had become as a result of the events described
-
-above, it also had the makings of a golden opportunity. By launching repeated attacks to frustrate our intentions in the Crimea, the enemy had tied both his armies down on a frontal basis and obviously now had no further reserves with which to protect himself against the Dnieper crossings at Zaporozhye and Dniepropetrovsk, whence General v. Kleist's First Panzer Group could break out against his northern flank. After I had made representations to Southern Army Group some days previously in favour of an intervention from this quarter, the appropriate orders were issued on 1st October. While Eleventh Army kept a tight hold on the still-attacking enemy, the panzer group steadily increased its pressure from the north. Now the enemy began to yield, and by 1st October it was the turn of 30 Corps and Third Rumanian Army to go over to the attack. In the next few days, in co-operation with First Panzer Group,
-
-we succeeded in encircling the mass of both enemy armies in the area Bol. Tokmak-Mariupol-Berdyansk or in destroying them as they retreated. Some 65,000 prisoners, 125 tanks and over 500 guns found their way into German hands on this occasion.
-
-THE CONQUEST OF THE CRIMEA
-
-Following the Battle of the Sea of Azov a change was made in the order of battle of the German southern wing. The Supreme Command seemed to have realized that no army could simultaneously fight one operation in the direction of Rostov and another in the Crimea, and from now on the advance on Rostov was entrusted to First Panzer Group, to which Eleventh Army was ordered to hand over 49 Mountain Corps and the Leibstandarte.
-
-Eleventh Army was given the sole task of conquering the Crimea with its two remaining army
-
-corps. Of these, 30 Corps comprised 22, 72 and 170 Infantry Divisions, and 54 Corps was composed of 46, 73 and 50 Infantry Divisions (one third of the last-named being still outside
-
-Odessa).
-
-Third Rumanian Army, which now reverted to the command of Marshal Antonescu, was merely to be responsible for coastal defence on the Black Sea and the Sea of Azov. After I had approached the Marshal direct, however, he agreed to let me take the headquarters of the Rumanian mountain corps, with one cavalry and one mountain brigade under command, into
-
-the Crimea to screen the eastern coastline.
-
-Now that Eleventh Army's mission was reduced to the single aim of conquering the Crimea, however, the Supreme Command became all the more impatient for a corps to be put across the Straits of Kerch towards the Kuban at the earliest possible date.
-
-Realizing from this demand how much Hitler was underestimating the enemy, Eleventh Army felt impelled to point out that the prior conditions for any such operation must be the complete clearance of the Crimea. The enemy would undoubtedly fight to the last for the peninsula and
-
-would abandon Odessa rather than Sevastopol.
-
-Indeed, as long as the Soviets had even one foot in the Crimea there could be no question of throwing part of Eleventh Army - which had only two corps anyway - through Kerch to the Kuban. As it was, we took this opportunity to put in a bid for an extra corps of three divisions,
-
-and within the next few weeks - primarily, one would suppose, because of Hitler's above-mentioned requirement - the army was augmented by 42 Corps Headquarters and 132 and 24 Infantry Divisions. In consequence of the Russians' desperate efforts to hold on to the Crimea, these reinforcements were to prove indispensable for the peninsula battles alone.
-
-THE STRUGGLE FOR THE ISHUN ISTHMUS
-
-The immediate problem, however, was to resume the struggle for the approaches to the Crimea and to open up the way through Ishun. Just another assault operation, one might say. Yet that ten-day battle towers above the normal type of offensive action as a shining example of the aggressive spirit and self-sacrifice of the German soldier.
-
-In it we lacked almost all the advantages which are generally regarded as prior necessities for
-
-an attack on fortified positions.
-
-Numerical superiority was on the side of the Soviet defenders, not of the German attackers. Eleventh Army's total of six divisions was very soon confronted by eight Soviet rifle and four cavalry divisions, for on 16th October the Russians had evacuated the fortress of Odessa -
-
-until then the object of so many unsuccessful assaults by Fourth Rumanian Army - and transferred the defending army to the Crimea by sea. Despite the Luftwaffe's claim to have sunk 32,000 tons of shipping, the bulk of the convoys from Odessa had still made landfall at Sevastopol or harbours along the west coast of the peninsula. The first divisions of this Soviet army duly appeared at the battle-front shortly after the start of our offensive.
-
-The German artillery was certainly superior to the enemy's and effectively supported the attacking infantry. But on the enemy side armour-plated coastal batteries were able to intervene from the northwest coast of the Crimea and the southern bank of the Zivash without the German guns initially being able to get to grips with them. And while the Russians had abundant armour to draw on for their counterattacks, Eleventh Army did not possess a single
-
-tank.
-
-Above all, senior commanders had hardly any opportunity to lighten the troops' arduous task by tactical manoeuvre. In that situation it was quite impossible to take the enemy by surprise, since all he had to do was to sit in his well-constructed fieldworks and wait for the assault to
-
-
-
-
-
-develop. As had been the case at Perekop, the sea on one side and the Zivash on the other excluded any possibility of outflanking or even enfilading the enemy. On the contrary, it was necessary to carry the attack forward purely frontally along the three narrow strips of land into which the isthmus was divided by the lakes lying within it.
-
-The breadth of these three strips allowed us to commit only the three divisions of 54 Corps (73, 46 and 22) in the first instance, 30 Corps being unable to go in until a certain amount of
-
-elbow-room had been gained further south.
-
-The salt steppes of the isthmus, flat as a pancake and bare of vegetation, offered no cover whatever to the attacker. Yet the air above them was dominated by the Soviet Air Force, whose fighters and fighter-bombers dived incessantly on any target they could find. Not only the front-line infantry and field batteries had to dig in : it was even necessary to dig pits for every vehicle and horse behind the battle zone as protection against enemy aircraft. Things got so bad that anti-aircraft batteries no longer dared to fire in case they were immediately wiped out from the air. Not until the last days of the offensive, after Molders [Renowned fighter ace of World War II. Jr.] and his fighter group had been called in to assist the army, could the sky be kept clear - and even then only in the hours of daylight. At night-time not
-
-even Molders could help.
-
-Under such combat conditions, and in the face of an opponent who stubbornly defended every inch of ground, the demands made on the attacking troops were bound to be abnormally high and their losses very considerable. Throughout this period I was constantly on the road to see for myself how things were going and what assistance could be rendered to the fighting units
-
-in their difficult struggle.
-
-I was alarmed by the way fighting power deteriorated. The divisions carrying out this tough assignment had already made heavy sacrifices at Perekop or in the Azov battle, and the time
-
-came when one wondered whether the struggle for the narrow corridors could possibly succeed or, assuming that we did manage to break through, whether our forces would still be equal to winning the Crimea from an enemy whose strength was constantly on the increase.
-
-By 25th October the troops seemed too exhausted to go on with the attack. Twice already the commander of one particularly good division had reported that the regiments under his command were at the end of their strength. This was the hour that usually comes sooner or later in such a contest, when the outcome of the battle is on the razor's edge. It was the hour that must show whether the will of the attacker to exert himself to the very limit of physical endurance is stronger than that of the defender to go on resisting.
-
-The struggle of deciding whether to call for a last supreme effort, at the risk of having ultimately demanded all that sacrifice in vain, is one that can only be fought out in the heart of the commander concerned. It would be pointless, however, were it not inspired by the confidence of the troops and their determination not to give up the fight.
-
-Eleventh Army was not prepared, after all it had had to ask of the fighting troops, to throw victory away through its own weakness at what might be one minute to twelve. As it turned out, the unbroken aggressive spirit of the troops overcame even the enemy's grim resolution to hold out. After one more day of hard effort, 27th October brought the final success. On 18th October, at the end of ten days of the most bitter fighting, the Soviet defence collapsed.
-
-Eleventh Army could take up the pursuit.
-
-PURSUIT
-
-The chase which followed gave one more splendid example of the boldness and initiative of commanders at all levels and the self-denial of the fighting troops. The sight of those regiments, weakened by their heavy losses and well-nigh exhausted by the unprecedented demands of the campaign, yet racing towards the tempting goal of the South Crimean coast, put one in mind of the soldiers of another army who in 1796 stormed the fields of Italy
-
-promised them by Napoleon.
-
-By 16th November the furious chase was over, and the whole of the Crimea except for the fortified area of Sevastopol was in our hands. The six divisions of Eleventh Army had wiped out the best part of two enemy armies totalling twelve rifle and four cavalry divisions. Of his initial strength of around 200,000 men, the enemy had lost over 100,000 as prisoners in the struggle for the two necks of land and the pursuit that followed, as well as 700 guns and 160 tanks. What troops had been able to escape across the Straits of Kerch or into Sevastopol were mere debris and without any heavy weapons. The fact that those taking refuge in the fortress could immediately be reformed into proper units was due to the enemy's command of the sea, which enabled him to bring in replacements and stores with a minimum of delay.
-
-While the administrative branches of Eleventh Army H.Q. moved into Zimferopol, the largely Russianized capital of the Crimea lying in beautiful surroundings on the northern edge of the Yaila Mountains, our tactical headquarters went to Zarabus, a sizeable village north of the city, where we found very suitable accommodation in one of the new schools built by the Soviets in almost all the bigger country places. I personally lived with the Chief-of-Staff in the small farmhouse of the fruit-growing collective, where each of us had a modest room to himself. The furniture in my own consisted of a bed, a table and chair, a stool for the washbowl to stand on, and a few clothes-hooks. Naturally we could have obtained some furniture from Zimferopol, but our staff did not believe in indulging in comforts which the ordinary
-
-soldier had to do without.
-
-Except for two brief stays at a command post on the Kerch front and the period in which the tactical headquarters was up in front of Sevastopol, we remained in these unpretentious quarters until August 1942. After the nomadic life we had led to date it was a complete change for all of us, though not necessarily a welcome one. Whenever a formation staff becomes static, the inevitable result is not only a settled day-to-day routine but also a return to the 'paper war'. I fought the paper war of that winter in my classroom between two little brick stoves we had built on the Russian pattern, the heating system having naturally been
-
-destroyed by the Soviets.
-
-At this point I might touch on a problem which, even though it receded before the grave anxieties which the winter of 1941-2 was to cause us in the operational sphere, was always a matter of great concern to me. The man who commands an army is also its supreme arbiter, and the hardest task that can ever confront him is the confirmation of a death sentence. On one hand it is his inexorable duty to maintain discipline and, in the troops' own interest, to inflict severe penalties for delinquency in action. On the other, it is a grim thought to know that one can snuff out a human life by a mere signature. Of course, death claims thousands of victims a day in war, and every soldier expects to have to lay down his life. Yet there is a very big difference between falling honourably in battle and facing the muzzles of one's comrades' rifles to be ignominiously erased from the ranks of the living.
-
-When, of course, a soldier had besmirched the honour of the army by some base action or culpably brought about the death of his comrades, there could be no mercy. But there were plenty of other cases caused not by sheer baseness of character but by some perfectly explainable human lapse. Even so, the court-martial concerned had to pass the death sentence
-
-according to the full rigour of military law.
-
-In no case involving a death sentence was I ever content to base my final decision on the verbal elucidations of my army judges - admirable men though they were - but I always made a careful study of the files myself. When two soldiers in my corps were sentenced to death on the outbreak of war for raping and killing an old woman, they only received their just deserts.
-
-A very different case was that of a man who, after winning the Iron Cross in the Polish campaign, had been posted to a strange unit following a spell in hospital. On his very first day there his whole machine-gun crew was killed, whereupon he lost his nerve and fled. By law, it is true, his life was forfeit, but there still seemed grounds in this instance - even though the man had been guilty of cowardice and thereby of endangering unit morale - for applying a different yardstick. As I could not immediately quash the sentence passed by the court-martial, the procedure I adopted in this and other such cases was to consult the man's regimental commander and, subject to the latter's agreement, to suspend the sentence for four weeks. If the man redeemed himself in action during this time, I quashed the sentence. If he failed again, it was carried out. Of all the condemned men to whom this probationary period was granted, only one went over to the enemy. All the others either proved their worth or died like true soldiers in the heavy fighting in the east.
-
-THE FIRST ASSAULT ON SEVASTOPOL
-
-Eleventh Army's task now was to assault the enemy's last Crimean stronghold, Sevastopol. The sooner this was achieved, the less time the enemy would have to organize his defence and the greater would be the prospect of success. What was more, it reduced the likelihood of an
-
-intervention from the sea.
-
-According to our calculations, the necessary troop movements and ammunition-dumping would be complete by 27th or 28th November. Consequently we made this the deadline for
-
-the start of the offensive.
-
-At this point the Russian winter overtook us, its impact being all the more devastating by reason of the two different forms it took. In the Crimea itself the rains came, very soon rendering all the unpaved roads there quite unusable. The mainland in the north, on the other hand, was already in the grip of severe frosts which promptly immobilized four of the only five railway engines then available south of the Dnieper. In consequence Eleventh Army often found its supplies reduced to as little as one or two trainloads a day. Though there was ice on the Dnieper, it still would not hold, and so far no ice-free bridges existed.
-
-And so the preparations for the assault dragged on. Instead of 27th November, the preliminary bombardment could not start until 17th December. At last, after a three-weeks delay which was ultimately to prove crucial, 54 and 30 Corps were able to launch their attacks against the northern and southern sectors respectively. Prior to this, however, Eleventh Army had had a
-
-difficult decision to make. On 17th October the critical turn of events around Rostov had caused the Army Group to order the immediate hand-over of 73 and 170 Infantry Divisions. Despite all our warnings that this would make it impossible to attack Sevastopol, we had only been allowed to keep 170 Division, which was still moving along the coast to join 30 Corps, and would not have reached Rostov in time anyway. This concession did not alter the fact that the removal of 73 Division deprived the assault on the northern sector of its necessary reserve element, and we had to make up our minds whether in these circumstances we could afford to
-
-attack at all. In the event, we decided to risk it.
-
-It is not possible here to describe the course of the attack in detail. The first task was to drive the enemy, by a surprise thrust from the east, from his forward area between the Kacha and Belbek, and at the same time to capture his strong-points in the Belbek valley and along its southern elevation. Thereupon the assault would be carried forward through the actual fortress glacis south of the Belbek right up to Severnaya Bay. The main responsibility for the success of this battle lay with the valiant 22 (Lower Saxon) Infantry Division, under its outstanding commander, Lieutenant-General Wolff. It cleared the forward area between the Kacha and
-
-Belbek of the enemy, stormed the heights south of the Belbek valley with 132 Infantry Division and drove into the fortified zone proper to the south of the latter. But the spearhead of the attack was steadily narrowing, as 50 and 24 Infantry Divisions, whose task was to advance towards Severnaya Bay from the east, were not making any real progress in the difficult mountain country, parts of which were overgrown with almost impenetrable bush. The heavy fighting for the pill-boxes, which the enemy defended with stubborn determination, was sapping the strength of our troops, and the severe cold to which they were henceforth exposed taxed their energies to the utmost. Nevertheless, in the last few days of December - the struggle having continued all through Christmas - the tip of the spearhead drew near to Fort Stalin, the capture of which would at least have given our artillery visual command of Severnaya Bay. All we needed now were fresh troops - and the drive to the bay
-
-was bound to succeed. But these were just what we had lacked since handing over 73 Division, and not even by drastically packing the assault divisions into the spearhead of the
-
-attack could we make good the loss.
-
-Such was the situation when the Soviet landings struck, first at Kerch and then at Feodosia. The threat was a deadly one, coming as it did at the very moment when the entire forces of the
-
-army, except for one German division and two Rumanian brigades, were in action around
-
-Sevastopol!
-
-It was clear that we should have to throw forces from Sevastopol to the threatened points with the utmost speed. The slightest delay might prove fatal. But ought the attack on Sevastopol to be abandoned just when only one more push seemed necessary to gain command of
-
-Severnaya Bay?
-
-Furthermore, it would almost certainly be easier to disengage forces from Sevastopol after a success on the northern front than if one were to let go of the enemy prematurely.
-
-Eleventh Army accordingly decided to accept the risk involved in every further hour's postponement of the release of troops from Sevastopol. Initially only 30 Corps was ordered to
-
-halt its assault, and 170 Division was dispatched to the threatened Kerch peninsula. At the same time, with the agreement of the commander of 54 Corps and his divisional commanders, a final attempt was to be made on the northern front to reach the assault objective, Severnaya
-
-Bay.
-
-As always, the troops gave everything they had, and 22 Division's vanguard, 16 Infantry Regiment, under Colonel v. Choltitz, actually penetrated the outer ring of Fort Stalin. By then everyone's strength had given out, and on 30th December the commanders of the assault divisions reported that no further attempts to carry on with the attack could be expected to succeed. After urgent representations by telephone through Army Group had convinced even Hitler that such action was necessary, Eleventh Army Headquarters issued orders for the attack to be finally stopped. Over and above this, it was reluctantly compelled to order the withdrawal of the northern front to the heights north of the Belbek valley. But for these measures the requisite forces could not have been released - to say nothing of the fact that the situation within the narrow confines of the spearhead would anyway have been untenable in the long run. Hitler's disapproval of this decision, which - though he could do nothing about it - clashed with the strict ban he had just placed on any voluntary withdrawals, weighed little in comparison with one's own responsibility to the troops who had sacrificed so much.
-
-And so the first attempt to storm the fortress of Sevastopol had failed.
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-THE STALIN OFFENSIVE TO RE-CONQUER THE CRIMEA
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-The landing of Soviet troops on the Kerch peninsula, catching Eleventh Army just when the
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-battle on the northern front of Sevastopol had entered its crucial phase, soon proved to be more than a mere diversionary measure on the enemy's part. Soviet radio stations proclaimed that this was an all-out offensive to re-conquer the Crimea, planned and commanded by Stalin personally, and that it would not end until Eleventh Army had been wiped off the map. That
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-the threat was no empty one soon became apparent from the weight of enemy forces committed. Behind them, and in the utter ruthlessness with which they were expended, one
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-sensed the brutal will of Stalin.
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-On 26th December, after crossing the Straits of Kerch, the enemy had begun by landing two
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-divisions on either side of the city. Smaller landings followed on the northern coast of the peninsula. The position of 42 Corps (General Count Sponeck), which depended solely on 46 Infantry Division for the defence of the peninsula, was certainly not an enviable one. Count Sponeck accordingly requested permission to evacuate the peninsula in the hope that it could
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-be sealed off at Parpach. Eleventh Army did not agree with him, for if the enemy succeeded in establishing a firm footing at Kerch, the upshot would be a second front in the Crimea and an extremely dangerous situation for the entire army as long as Sevastopol remained untaken. Consequently we ordered 42 Corps to strike while the enemy was still off balance after his landing and to hurl him back into the sea. At the same time, in order to keep the whole of 46 Division free for this task, we sent 4 and 8 Rumanian Mountain Brigades - of which the former was around Zimferopol and the latter engaged in guarding the eastern coast of the Crimea - to Feodosia to deal with any attempt the enemy might make to land at this critical spot. Simultaneously orders were given to the only regimental group of 73 Division still in the Crimea - i.e. the reinforced 213 Infantry Regiment-to move on Feodosia from Genichek.
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-By 28th December, 46 Infantry Regiment actually succeeded in eliminating both the enemy beach-heads north and south of Kerch, except for a small body of troops still fighting on the northern shore. In spite of this, Count Sponeck again asked permission to evacuate the Kerch peninsula. This we categorically forbade, still being convinced that any surrender of the Kerch peninsula might well lead to a situation which the army would be unable to master with the
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-forces at its disposal.
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-Meanwhile, on 28th December, 54 Corps had moved off for its last attack on Sevastopol.
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-Yet the enemy was on the point of delivering a new blow. Early on 29th December we heard that he had carried out a night landing at Feodosia under cover of strong naval forces. Our own weak forces there (one engineer battalion, anti-tank troops and some coastal batteries -the Rumanians not having started to arrive until the following morning) had been unable to stop the landing. Our telephone link with 42 Corps Headquarters, which was located somewhere in the middle of the peninsula, was out of action, but at 1000 hours we were notified by radio that Count Sponeck had ordered the immediate evacuation of the peninsula because of the new landings at Feodosia. Though we immediately issued a countermand, it was never picked up by 42 Corps Signals. While fully appreciating the corps' anxiety not to be cut off by the enemy at Feodosia, we still did not believe that the situation would in any
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-way be improved by a headlong withdrawal.
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-Simultaneously with countermanding the evacuation of the Kerch peninsula, Eleventh Army ordered the Rumanian Mountain Corps to throw the enemy forces disembarked at Feodosia straight back into the sea with the help of the two brigades mentioned earlier and a Rumanian motorized regiment now in the process of moving up. Although we had no illusions about the
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-offensive capacity of these Rumanian formations, the enemy could still not be present at Feodosia in any real strength, and if we struck with real determination, it should be possible to catch him at a disadvantage. At the worst, we felt, the Rumanians would manage to contain the enemy in a narrow beach-head around Feodosia until German troops could get there.
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-DEVELOPMENT OF THE SITUATION ON THE KERCH PENINSULA
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-Even this hope was to prove illusory, however. Far from carrying home its attack on Feodosia, the Rumanian Mountain Corps actually allowed a handful of Soviet tanks to push it
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-right back to a point east of Stary Krim.
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-By a series of forced marches 46 Infantry Division did in fact reach the narrow stretch of land at Parpach. In doing so, however, it had to abandon most of its guns on the ice-covered roads, and its troops arrived in a state of complete exhaustion. From the small beach-head still in his
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-hands north of Kerch the enemy was immediately able to take up the pursuit, the speed with which his reinforcements arrived being due to the freezing-over of the straits. Had the Soviet
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-commander pressed home his advantage properly by pursuing 46 Division really hard from Kerch and thrusting relentlessly after the Rumanians as they fell back from Feodosia, the fate of the entire Eleventh Army would have been at stake. As it happened, he did not know when to take time by the forelock. Either he did not realize what a chance he had, or else he did not
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-venture to seize it.
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-And so it was possible, with the help of an exhausted 46 Division, 213 Infantry Regiment (which had meanwhile arrived from Genichek) and the Rumanians, to build up a protective front — albeit a perilously thin one - between the northern slopes of the Yaila Mountains near Stary Krim and the Zivash west of Ak-Monay. In order to stiffen the Rumanian troops and safeguard their heavy weapons, all available German officers and men, including those who could be spared from Eleventh Army Headquarters, were attached to Rumanian units.
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-By 15th January, 30 and 42 Corps were ready to counter-attack on the Feodosia front. The decision to risk this attack was a hard one, for it had to be launched with three and a half weakened German divisions and a Rumanian mountain brigade against an opponent whose strength had meanwhile increased to eight divisions and one brigade. The enemy, moreover, had a limited number of tanks at his disposal, whereas we had none at all. The support of the Luftwaffe was more than doubtful, since bad weather had prevented it from flying any sorties against Feodosia for the last few days. Nevertheless, we had to take the chance and attack.
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-Thanks to the bravery of the troops, the attack succeeded, and by 18th January Feodosia was ours. In addition to 6,700 dead, the enemy had lost 10,000 prisoners, 177 guns and 85 tanks. It now emerged that the Luftwaffe had still done a good job in Feodosia harbour, in spite of the bad flying conditions, and had sunk a number of transport vessels.
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-Our success at Feodosia naturally led us to consider the possibility of immediately exploiting it to get the Soviet armies right out of the Kerch peninsula. But desirable though this would have been, Eleventh Army decided, after careful reflection, that it could not be done with the resources available, especially now that a tank battalion and two bomber wings originally promised to us - the very forces we should have needed for the task in question - had had to
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-go to the Army Group.
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-Eleventh Army thus had to dispense with any sweeping exploitation of its achievements at Feodosia and to content itself with throwing the enemy back as far as the Parpach bottleneck, where the Kerch peninsula could be sealed off between the Black Sea and the Sea of Azov. There was certainly nothing pusillanimous about this decision: we simply realized that after everything the troops had gone through to date, it might cause very serious reverses to
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-demand too much of them now.
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-THE 'STALIN OFFENSIVE' CONTINUES
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-Even though the recapture of Feodosia and the sealing-off of the Kerch peninsula at Parpach
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-had temporarily banished a mortal danger, we did not let that lull us into a false sense of security. At that particular time the enemy was striving everywhere on the Eastern Front to make good his defeats of the previous summer and to regain the initiative. Why should he make an exception of the Crimea, where his mastery of the sea offered him such exceptionally good prospects? Success here could have decisive repercussions on the entire situation in the
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-East - politically with regard to Turkey and economically through the recovery of a base for
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-air operations against the Rumanian oilfields. Another point to consider was that Soviet propaganda had linked the offensive against the Crimea so closely with the name of Stalin
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-that it was most unlikely to be called off.
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-And, sure enough, we soon discovered that the enemy was pushing reinforcements across to Kerch. Having possession of the frozen straits, he could put up with the loss of the port of Feodosia. Air photography continually showed the enemy to be concentrated in strength in his Black Sea harbours and the airfields in the area north of the Caucasus, and as early as 29th January Intelligence estimates of his strength on the Parpach front amounted to more than nine divisions, two rifle brigade groups and two independent tank brigades.
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-The Sevastopol front was also livening up again, particularly where the artillery was
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-concerned.
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-After weeks of outward calm that were really loaded with tension, the enemy finally launched
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-his big offensive on 27th February.
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-The heavy battles that followed on both the Parpach and Sevastopol fronts continued with unremitting violence until 3rd March. Then on both sides a period of exhaustion ensued. On the Parpach front we had eventually succeeded in containing the enemy breakthrough in the northern sector by making effective use of the marshlands there. Although the front was now a continuous one, however, it did recede quite a long way west in its northern part.
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-On 13th March the enemy began another mass attack, this time with eight rifle divisions and two independent armoured brigades 'up'. While we were able to knock out 136 tanks in the first three days, a number of crises developed. The bitterness of the fighting may be judged from the fact that the regiments of 46 Division, which bore the main brunt of the assault on this occasion, had to beat off anything from ten to twenty-two attacks between them during
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-the same three days.
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-On 18th March, 42 Corps had to report that it could no longer withstand any major attacks.
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-As the newly constituted 22 Panzer Division had arrived behind this front in the meantime, having been allocated to Eleventh Army by O.K.H., we decided that the extreme tenseness of the situation justified our employing it on a counter-attack. Our object was to regain the main fighting line we had originally held across the actual neck of the Parpach isthmus and thereby to cut off the two or three enemy divisions located in the northern salient.
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-Together with a very small tactical staff, I had moved into a command post close behind the threatened Parpach front in order to watch the preparations for the counter-attack being
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-handled by 42 Corps Headquarters.
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-The attack, which took place on 20th March and was to be supported on either flank by 46 and 170 Infantry Divisions, proved a failure. The new armoured division ran straight into a Soviet assembly area in the early-morning mists. Obviously we had been wrong to throw it into a major battle before putting it through its paces in exercises with its parent formation. While this attack — despite its being directed at a relatively limited objective - miscarried, the same division came fully up to expectations only a few weeks later, after completing its training under warlike conditions as part of a larger formation. But what else could we have
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-done in the circumstances but risk committing it to battle? At least it had given the enemy a severe shock and checked his preparations for another big attack at just the critical moment. When the latter did materialize on 20th March, it was beaten off by 42 Corps. This time the enemy had committed only four divisions, either because he had temporarily exhausted his other formations or because he preferred to limit his objective now that tanks had been seen
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-on our side for the first time.
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-In the meantime, while 22 Panzer Division was out of the line for a rest and refit, the advance elements of 28 Light Division also arrived behind the front. We could now face any new
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-enemy attack with equanimity.
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-[The new 'light' divisions, unlike their predecessors, were no longer a compromise between an armoured and a motorized division, but were closer, in structure and equipment, to a mountain division. They were later renamed 'pursuit divisions'. Author.]
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-It came — and this was the enemy's last effort to reconquer the Crimea - on 9th April, launched by between six and eight rifle divisions and supported by 160 tanks. By nth April it had been beaten off, with heavy losses to the enemy. With that the enemy's offensive capacity
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-in this part of the theatre was finally spent.
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-The stout-hearted divisions which had seen this defensive battle through to a successful conclusion, despite the tremendous strains it imposed on them, were now able to relax, even
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-though they could not be taken out of the line.
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-Army Headquarters, on the other hand, turned from an arduous winter of unprecedented trials and crisis to the next task it had to tackle - that of preparing its own offensive for the final
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-expulsion of the Russians from the Crimea.
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-'OPERATION BUSTARD' RECONQUEST OF THE KERCH PENINSULA
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-Between the penultimate and last defensive battle in the Kerch peninsula, Marshal Antonescu had come out to the Crimea and gone round with me on a tour of the Rumanian divisions and the Sevastopol front. In his soldierly way he made an excellent impression, and the senior Rumanian officers seemed to go in mortal fear of him. I was particularly grateful for his promise of two more Rumanian divisions, since apart from the two German divisions which had already arrived (22 Panzer and 28 Light), O.K.H. was unable to provide any further forces
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-for the projected offensive.
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-According to O.K.H. directives, the final expulsion of the Soviets from the Crimea, including Sevastopol, was intended to preface the grand offensive which the Supreme Command planned to launch in the southern sector of the Eastern Front.
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-Eleventh Army's first concern was obviously to destroy the enemy in the Kerch peninsula. One reason for this was the impossibility of predicting how long an operation to clear Sevastopol would take. The most important one, however, was that the Kerch front, being the easiest to reinforce, continued to constitute the main threat to Eleventh Army. The enemy here could be given no time to recover from the losses of his abortive attacks. Sevastopol would have to be shelved until the Soviet forces in the Kerch peninsula had been wiped out.
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-The relative strengths of the Russian and German forces in the Crimea, however, gave no grounds for any great optimism regarding the outcome of these two big undertakings. The enemy had three armies in the Crimea, under command of a Crimean Front Headquarters which appeared to have been only recently formed and was probably located in Kerch.
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-The Sevastopol fortress continued to be defended by the Coast Army, whose strength we had ascertained in February to be seven rifle divisions, one rifle brigade, two naval brigades and one dismounted cavalry division. During our Kerch offensive all we would have available to contain these forces on the northern and eastern fronts of the fortress were 54 Corps and the newly arrived 19 Rumanian Division, which had been put there to free 50 German Division for Kerch. The only force left on the southern front of Sevastopol would be 72 Infantry
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-Division.
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-The Rumanian Mountain Corps, with only 4 Mountain Brigade under command, had to defend the entire south coast of the Crimea against surprise attacks from the sea. Thus Eleventh Army was having to strip the other fronts bare in order to attack at Kerch in the
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-greatest possible strength.
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-On the Kerch front the enemy still had his Forty-Fourth and Fifty-First Armies. At the end of April 1942 they comprised seventeen rifle divisions, three rifle brigades, two cavalry divisions and four independent armoured brigades - an aggregate of twenty-six formations.
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-Against this formidable array we were able to commit merely five German infantry divisions (inclusive of 50 Division from Sevastopol) and 22 Panzer Division. These were augmented by
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-the newly arrived 7 Rumanian Corps, consisting of 19 Rumanian Division, 8 Rumanian Cavalry Brigade and 10 Rumanian Division- the last-named having been moved over from the west coast. As the usefulness of these Rumanian forces in an offensive role was limited, the numerical disparity in the forthcoming offensive - now being planned under the code-name
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-'Bustard' - was increased still further.
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-It also had to be borne in mind that the attack through the Parpach gap must be a purely frontal one in the initial stages, as the seas on either side excluded any possibility of outflanking. What was more, the enemy had echeloned his defences in considerable depth. How were we in the circumstances, and in view of the enemy's superiority of at least two to one, to achieve our object of destroying both his armies?
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-One thing was clear: neither a frontal push against the two enemy armies nor even a simple breakthrough could get us anywhere. If, after losing his Parpach positions, the enemy should
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-manage to re-form his front anywhere else, our operation would inevitably be halted. The broader the Kerch peninsula became as one went east, the more the enemy would be able to
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-make his numerical superiority felt. Our total of six German divisions might suffice for an attack through a mere 11-mile gap at Parpach, where the enemy could not put in all his forces
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-simultaneously, but how should we fare further east when it came to fighting on a 25-mile
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-front? The object must be, then, not only to break through the enemy's Parpach front and achieve penetration in depth, but also to destroy either the main bulk, or at least a substantial part of his formations in the process of the first breakthrough.
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-In this respect the enemy himself offered us an opening. In his southern sector, between the Black Sea and Koy-Assan, he was, in the main, still sitting in the strongly prepared defences of his original Parpach front. His northern front, on the other hand, protruded well beyond the
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-latter in a wide curve reaching as far west as Kiet and dating from the time when the enemy
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-had overrun 18 Rumanian Division.
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-That the Soviet commander had considered the likelihood of our trying to cut off this bulge was clear from the way he had distributed his troops. According to our Intelligence reports he
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-had massed two-thirds of his forces - both in the line and in reserve — in or behind his northern sector. In the south, however, there were only three divisions in the line and two or three in reserve. Quite likely the abortive attack by 22 Panzer Division earlier on, the aim of which had been to cut off the enemy front in the region west of Koy Assan, was the reason for
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-these dispositions.
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-Such was the situation on which Eleventh Army based its assault plan for Operation Bustard.
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-We intended to make our decisive thrust not immediately in the area where the front protruded west, but down in the southern sector, along the Black Sea coast. In other words, in the place where the enemy would be least expecting it.
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-This task was to devolve on 30 Corps, composed of 28 Light, 132 and 50 Infantry and 22 Panzer Divisions. Although 170 Infantry Division would have to remain in the central sector in the initial phase in order to deceive the enemy, it, too, would subsequently follow through
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-in the south.
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-The plan was that 30 Corps should break through the Parpach positions with three divisions 'up' and exploit over the deep anti-tank ditch in an eastward direction to enable 22 Panzer Division to cross this obstacle. Once the latter had moved up, the corps would wheel north and drive into the flank and rear of the enemy forces concentrated in the northern sector. Then, in co-operation with 42 Corps and 7 Rumanian Corps, it would finally surround the
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-enemy on the north coast of the peninsula.
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-The protection of 30 Corps' eastern flank against enemy attacks from the direction of Kerch was to be the responsibility of a mobile formation, Brigade Group Groddek, which was made up of German and Rumanian motorized units. It was to discharge its task offensively by advancing rapidly towards Kerch, since this would also serve to forestall any attempt by enemy elements in the rear to take evasive action.
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-In order to facilitate the difficult initial breakthrough at Parpach, Eleventh Army had made provisions for what was probably the first sea-borne assault-boat operation of its kind. A battalion travelling by assault boats from Feodosia was to be dropped in the rear of the
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-Parpach positions at first light.
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-The decisive attack by the corps was to be supported not only by strong artillery but also by
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-the whole of 8 Air Corps.
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-8 Air Corps, which also included strong anti-aircraft units, was by its structure the most powerful and hard-hitting Luftwaffe formation available for support of military operations. Its
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-Commanding General, Baron v. Richthofen, was certainly the most outstanding Luftwaffe leader we had in World War II. He made immense demands on the units under his command,
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-but always went up himself to supervise any important attack they made. Furthermore, one was constantly meeting him at the front, where he would visit the most forward units to weigh
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-up the possibilities of giving air support to ground operations. We always got on extremely
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-well together, both at Eleventh Army and later on at Southern Army Group. I remember v.
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-Richthofen's achievements and those of his Air Corps with the utmost admiration and
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-gratitude.
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-On the rest of the Parpach front 42 Corps and 7 Rumanian Corps had the task of simulating an attack in order to pin the enemy down. As soon as a breakthrough had been effected in the south, they were both to join in the main assault.
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-The success of the operation depended on two things. The first was our ability to keep the enemy thinking that our decisive attack would come in the north until it was too late for him
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-to back out of the trap or throw his reserves into the southern sector. The second was the speed with which 30 Corps - and in particular 22 Panzer Division - carried out the northward
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-thrust.
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-The first of these requirements was achieved by extensive deception tactics. Apart from wireless deception, these involved laying on a sham artillery preparation in the central and northern sectors and moving troops around in the same area. Apparently they were entirely successful, as the bulk of the enemy's reserves remained behind his northern wing until it was
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-too late for them to move.
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-Immediately before the offensive began we lost our highly experienced Chief-of-Staff, General Wohler, who had been such an invaluable support in the difficult days of the previous winter and played a leading role in the preparation of'Bustard'. Both of us found it particularly hard to part just as we had at last gained the initiative ourselves. However, Wohler had been appointed Chief-of-Staff of Central Army Group, and I obviously could not
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-put anything in the way of his advancement.
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-Wohler's successor was General Schulz, who was also to prove a sound counsellor and friend. He was an inestimable help to me in the most difficult phases of the 1943 winter campaign and throughout the time we were fighting to save Sixth Army. Apart from being a man of great personal courage, he had nerves of steel and a special awareness of the privations and needs of the fighting troops, as well as a most equable nature. Already, as Chief-of-Staff of a corps, he had won the knight's cross in a most difficult situation. Later, as a corps commander in Southern Army Group, he was to prove a tower of strength.
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-On 8th May, Eleventh Army moved off on 'Operation Bustard'.
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-30 Corps was able to cross the anti-tank obstacle and penetrate the enemy's most forward positions, and the assault-boat expedition, by virtue of the surprise it achieved, had rendered considerable assistance to our right wing in its advance along the coast. Nevertheless, it was
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-no easy battle. The ground gained on the far side of the ditch was not sufficient for the armoured division to be moved over, and the subsequent attack by 42 Corps only progressed with difficulty. Nevertheless, we had already engaged ten enemy divisions and shattered the enemy's southern wing, and there was no indication that his reserves had moved away from
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-the northern wing.
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-It was not possible to bring up and deploy 22 Panzer Division until 9th May, and before swinging north it had to fight off a strong tank attack. Then rain set in and continued all night, making it well-nigh impossible for the Luftwaffe's close-support units to co-operate or for the tanks to make any headway on the morning of 10th May. Though the weather cleared in the afternoon, the twenty-four-hour time-lag was liable to be our undoing in an operation so
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-dependent on speed of movement. It was consoling to know that before the rain started Brigade Group Groddek had been able to move swiftly east — a fact which subsequently enabled it to frustrate every enemy attempt to form a front further back. Evidently the enemy had not anticipated such a bold drive into the depths of his communications zone. Unluckily the valiant brigade commander, Colonel v. Groddek, was severely wounded in the course of
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-the operation and died soon afterwards.
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-From 11th May onwards the operations proceeded without any serious hold-up. 22 Panzer Division got through to the coast in the north, bottling up some eight enemy divisions as it went, and the army was able to give the order for the pursuit to start. The troops, Rumanians included, strained every nerve to carry it through successfully, and by 16th May Kerch had fallen to 170 Division and 213 Regiment. Even then a great deal more heavy fighting was needed to mop up the enemy remnants which had trickled back to the east coast.
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-Before the attack was launched I had once again moved into a command post close behind the front, and now I was out all day long visiting divisional staffs and the front-line troops. For a soldier there was something unforgettable about this tempestuous chase. All the roads were littered with enemy vehicles, tanks and guns, and one kept passing long processions of prisoners. The view from a hill near Kerch, where I had a rendezvous with General v. Richthofen, was quite breath-taking. Down below us, bathed in glorious sunshine, lay the Straits of Kerch - the goal we had dreamt of for so long. From the beach in front of us, which was crammed with Soviet vehicles of every possible description, enemy motor torpedo-boats made repeated attempts to pick up Soviet personnel, but they were driven off every time by our own gunfire. In order to spare our infantry any further sacrifices and bring about the surrender of the enemy elements still fighting back desperately along the coast itself, we had a mass artillery barrage laid down on these last pockets of resistance.
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-By 18th May the Battle of the Kerch Peninsula was over. Only small groups of the enemy continued to hold out in subterranean caves around Kerch for weeks to come under the pressure of a few fanatical commissars. According to the returns sent in, some 170,000 prisoners, 1,133 guns and 258 tanks had fallen into our hands.
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-Five German infantry divisions and one armoured, together with two Rumanian infantry divisions and one cavalry brigade, had annihilated two whole Soviet armies of twenty-six formations. Only negligible elements of the enemy had escaped across the straits of Kerch to the Taman Peninsula. A true battle of annihilation had been fought to a victorious finish!
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-'OPERATION STURGEON' THE CONQUEST OF SEVASTOPOL
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-Eleventh Army still faced the hardest task of all: the conquest of Sevastopol.
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-I had already apprised Hitler of our intentions regarding the assault on the fortress during a visit to his headquarters in mid-April. It was the first time I had met him since submitting my views to him on the conduct of the offensive in the west in February 1940. Even at this second meeting I had the impression that he was not only extremely well informed on every detail of
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-the battles fought to date, but also thoroughly appreciated the operational arguments expounded to him. He listened attentively to what I had to say and fully agreed with Eleventh
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-Army's view on the way to conduct both the Kerch offensive and the assault on Sevastopol.
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-He made not the least effort to interfere in our plans or, as was so often the case later on, to ramble off into endless recitations of production figures.
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-One vital question was not discussed on that occasion, however: whether, in view of the offensive planned in the Ukraine, it was right to commit the whole of Eleventh Army to an attack on the powerful Sevastopol fortress for a period that could not be predetermined with any real certainty, particularly now that the victory on the Kerch peninsula had removed the
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-threat in the Crimea. The settlement of this problem was clearly a matter for the Supreme Command, not for our own headquarters. Speaking for myself, I believed at the time, and still do today, that the decision to make Eleventh Army take Sevastopol first was the correct one. Had we continued merely to invest the fortress, a good three or four German divisions, plus the Rumanian forces - in other words, half Eleventh Army - would have continued to be tied
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-up in the Crimea.
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-What was undoubtedly a mistake, however, was the Supreme Command's decision, after Sevastopol's timely fall, to withdraw Eleventh Army from the southern wing of the Eastern Front for use at Leningrad and for patching up gaps in the line. After the fall of Sevastopol this army ought - as originally planned - to have been taken across the Straits of Kerch to the Kuban to intercept the enemy forces falling back on the Caucasus from the lower Don before Army Group A. Had the time factor not permitted this, it should at any rate have been taken into reserve behind the southern wing. The Stalingrad tragedy might then have been averted.
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-Immediately after the Kerch operation Eleventh Army began regrouping for the assault on
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-Sevastopol.
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-42 Corps was made responsible for safeguarding the Kerch peninsula and the south coast of the Crimea. The only German troops left to it for this purpose were those of 46 Infantry Division, in addition to which it had 7 Rumanian Corps, comprising 10 and 19 Infantry Divisions, 4 Mountain Division [ Identical with the 4 Mountain Brigade mentioned earlier. The Rumanians had changed the designation of these mountain brigades without in fact increasing their strength to that of a division. Jr.] and 8 Cavalry Brigade. All other forces
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-were forthwith dispatched to Sevastopol.
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-[22 Panzer Division had to be handed over to Southern Army Group. Author.]
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-There could be no shadow of doubt that the assault on the fortress would be even tougher than
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-that of the previous December, the enemy having had half a year in which to tighten up his fortifications, bring his manpower up to strength and stock up with stores from across the sea.
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-The strength of the Sevastopol fortress consisted less in up-to-date fortifications - though a certain number of these did exist - than in the extraordinary difficulty of the ground, which was dotted with innumerable smaller defence installations. These formed a thick network covering the entire area from the Belbek valley to the Black Sea coast.
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-The whole of the ground between the Belbek valley and Severnaya Bay in particular constituted a strongly developed fortress belt.
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-The northern front ran south of the Belbek, though north of this, too, the enemy had an extensive strong-point around and northwards of the locality of Lyubimovka. The valley itself and the slopes rising away to the south were enfiladed by a 30.5-cm. battery housed in a
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-thoroughly up-to-date armoured emplacement, known to us as 'Maxim Gorki I'. The slopes themselves were covered by a thick net of fieldworks 1 mile deep, some of which were concreted. Behind these came a series of strongly built, mainly concreted strong-points which our troops had nicknamed 'Stalin', 'Volga', 'Siberia', 'Molotov', 'G.P.U.' and 'Cheka', and which
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-were mutually linked by a chain of dug-in positions. A final barrier to the northern shore of Severnaya Bay was formed by a defence zone of strong-points which included 'Donetz', 'Don', 'Lenin', the fortified locality of Bartenyevka, the old North Fort and the coastal batteries on 'Battery Headland'. Into the cliffs overlooking the bay the Russians had driven chambers for
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-storing supplies and ammunition.
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-The eastern front branched off the northern one at a point about a mile and a quarter east of the village of Belbek, the hinge between the two being protected by the precipitous Kamyshly Ravine. The northern part of this eastern front ran through a stretch of the dense undergrowth
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-with which the steep spurs of the Vaila Mountains in this area are covered. In this undergrowth there were countless small pockets of resistance - some of them nestling in holes blown in the rock - which an attacker could hardly touch with his artillery. This wooded northern sector of the eastern front ended in the steep cliffs south and south-east of the
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-locality of Gaytany.
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-Though the woods petered out further south, the ground became increasingly difficult down towards the coast, where it resembled a range of rocky mountains.
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-Access to the southern fortress zone on both sides of the highway leading from the south coast to Sevastopol was barred in the first instance by a series of steep, dome-shaped summits which the Russians had converted into powerful strong-points. Crimea veterans will remember such names as 'Sugarloaf, 'North Nose', 'Chapel Mount' and 'Ruin Hill'. Then came the strongly defended village of Kamary, and finally the rocky massif north-east of the Bay of Balaclava. The enemy had been able to hold his own here when 105 Infantry Regiment achieved its bold capture of Balaclava Fort in autumn 1941. Penetration of this chain of fortified summits and cliffs was rendered all the more difficult by the fact that one hill always
-
-flanked the next.
-
-Behind this forward defence zone in the south, north of the road from Sevastopol, rose the massif of the Feyukiny Heights, which was extended southwards to the coastal range by strong-points like 'Eagle's Perch' and the fortified village of Kadykovka. All these formed a sort of foreground to the strongest of the enemy's fortifications, which were established along the Zapun Heights. The latter are a range of hills with steep eastern slopes, beginning at the cliffs of Inkerman and dominating the valley of the Chornaya down to the south of Gaytany.
-
-There they turn south-west to bar the road to Sevastopol and finally link up with the sea through 'Windmill Hill', the western spur of the coastal range. The Zapun position, by virtue of its sharp drops and possibilities for mutual flanking fire, is extremely difficult for infantry to attack, and artillery observers up there command the entire fortress area as far as the eye can see. These Heights, incidentally, were the line held by the Western Powers during the Crimean War to cover the rear of their attack on Sevastopol against the Russians' idle
-
-relieving army.
-
-But even when he had taken this commanding position, the attacker's troubles were still not
-
-over. Ranged along the coast were the coastal batteries, including 'Maxim Gorki II' in its armoured emplacement. There was also a wide semi-circle of continuous defences round the city itself, beginning at Inkerman on Severnaya Bay and rejoining the latter by Streletskaya
-
-Bay. It was composed of an anti-tank ditch, a barbed-wire obstacle and numerous pill-boxes, and included the British Crimean War cemetery south-east of Sevastopol, which the Russians had converted into a strong battery emplacement.
-
-Finally there were a line of fortifications running hard along the periphery of the city and also several traverses screening the peninsula of Khersones towards the east. The Russians have
-
-always been known for their skill in laying out and camouflaging field defences, and at Sevastopol they had the added advantage of holding a stretch of country which offered them excellent opportunities for flanking fire. The rocky nature of the ground, moreover, made it possible to keep the cover for guns and mortars so narrow that they could practically only be destroyed by direct hits. And since we were dealing with Russians, it was a matter of course that extensive minefields had been laid not only along the front of the various defence zones,
-
-but also right inside them.
-
-When considering how the assault on the fortress area should be conducted, Eleventh Army arrived at essentially the same conclusions as it had done the previous winter. We could not entertain any idea of using the central portion of the siege front for a decisive operation because artillery and air support - our two main trumps - could never become entirely effective in the wooded area there and our losses would be far too great. We thus had no choice but to attack once again from the north and north-east and in the south of the eastern
-
-sector.
-
-This time, too — at least to begin with - the main punch was to be delivered in the north, for
-
-although the enemy fortifications were undoubtedly stronger and more numerous in the northern area of the fortress above Severnaya Bay than in its southern part, the going there was far easier. Above all, the artillery and Luftwaffe could be used to infinitely greater effect in the north than in the hilly country of the southern sector.
-
-Of course, there still had to be an attack in the south as well. For one thing, it was important to split the enemy's defence by attacking from several sides at once. For another, he must be expected to hold out in the city itself and on the Khersones headland even after losing the fortified area north of Severnaya Bay. We had to remember that the task facing us at Sevastopol involved not only taking a fortress but also fighting an army which was certainly our match numerically even if it were inferior in material.
-
-[According to the data available to Eleventh Army, the order of battle of the troops in the fortress at that time was as follows: H.Q. Coast Army (General Petrov); 2, 25, 95, 172, 345, 386 and 388 Rifle Divisions, 40 (dismounted) Cavalry Division, and 7, 8 and 79 Marine Brigades. (The badly battered Coast Army divisions which had escaped into the fortress earlier on were now believed to be fully up to strength again.) Author.]
-
-The factor that had primarily guided our assault tactics in the winter - the need to gain command of the harbour at the earliest possible date - was no less important, however. As long as Eleventh Army had 8 Air Corps in support, the enemy would no longer be at liberty to
-
-supply himself by sea.
-
-Such were the considerations on which Eleventh Army based its plan for 'Sturgeon', the code-name of the operation.
-
-We intended to attack on the northern front and the southern part of the eastern front, while keeping the enemy pinned down in the central sector from Mekensia to Verkh-Chorgun. In the north the first objectives were the northern shore of Severnaya Bay and the heights around Gaytany, in the south the capture of the dominating heights of the Zapun position on both sides of the roads leading from the south coast and Balaclava to Sevastopol.
-
-The attack in the north was to be carried out by 54 Corps, comprising 22, 24, 50 and 132 Infantry Divisions (commanded by Generals Wolff, Baron v. Tettau, Schmidt and Lindemann) and a reinforced 213 Infantry Regiment. The corps' orders were to keep its forces rigidly concentrated in the main direction of assault on the high ground north of the eastern part of Severnaya Bay. All parts of the fortified zone bypassed in the first instance were to be pinned down with a view to taking as many of them as possible from the rear later on. The left wing of the corps was to gain possession of the heights of Gaytany and the ground to the south-east of the latter in order to clear the way for the Rumanian Mountain Corps'
-
-subsequent advance further south.
-
-The attack in the south was to be directed by H.Q. 30 Corps, with 72 and 170 Infantry Divisions and 28 Light Division under command.
-
-[Commanded by Generals Miiller-Gebhard, Sander and Sinnhuber respectively. Author.']
-
-Its first job was to gain the starting line and artillery observation posts for the advance towards the Zapun Heights. To achieve this it had to capture the enemy's foremost defence zone based on the strong-points of'North Nose', 'Chapel Mount', 'Ruin Hill', Kamary and 'High Cliff south of Kamary and to eliminate flanking fire from the rocky heights east of Balaclava in the south. To solve this problem 72 Infantry Division was to advance along both
-
-sides of the highway to Sevastopol, while 28 Light Division - in accordance with its specialized role - had to capture the most northerly summits of the range of mountains east of Balaclava Bay. 170 Division was kept in reserve for the time being. Because of the peculiarly rugged terrain in this sector, the tasks in question could only be solved by carefully prepared
-
-local attacks.
-
-Sandwiched between the two big assault groups, the Rumanian Mountain Corps was initially responsible for pinning down the enemy on its own front. In particular, 18 Rumanian Division
-
-was to carry out local attacks and an artillery bombardment to protect 54 Corps' left wing against enemy flanking action from the south. Further south, 1 Rumanian Mountain Division was to support 30 Corps' northern wing by capturing the Sugar Loaf.
-
-In making its artillery preparations for the attack, Eleventh Army dispensed with the intensive barrage so popular with our opponents. In view of the peculiar nature of the ground
-
-and the endless number of enemy positions, this could not be expected to have any decisive effect nor should we have enough ammunition available. Instead, the preparations would start
-
-five days before the infantry assault, beginning with an air attack and all-out artillery strafe against supply lines and points where enemy reserves were known to be concentrated. In the five days that followed our gunners were to beat down the enemy artillery by steady observed
-
-fire and soften up positions in the enemy's foremost defence zone. Throughout this period 8
-
-Air Corps would be making continual attacks on the city, harbour, supply installations and
-
-airfields.
-
-And now a word about our artillery strength.
-
-Eleventh Army had naturally called in every gun within reach for the attack, and O.K.H. had
-
-made available the heaviest pieces available.
-
-In all, 54 Corps (artillery commander General Zuckertort) had at its disposal fifty-six heavy
-
-and medium batteries, forty-one light and eighteen mortar batteries, in addition to two battalions of assault guns. This made a total of 121 batteries, supported by two observation
-
-battalions.
-
-The heavy siege artillery included batteries of cannon up to a calibre of 19 cm., as well as independent howitzer and heavy-howitzer batteries with calibres of 30.5, 35 and 42 cm. Furthermore, there were two special 60-cm. guns and the celebrated 80-cm. Big Dora. This
-
-monster had originally been designed for bombarding the most formidable section of the Maginot Line, but had not been finished in time. It was a miracle of technical achievement. The barrel must have been 90 feet long and the carriage as high as a two-storey house. Sixty trains had been required to bring it into position along a railway specially laid for the purpose. Two anti-aircraft regiments had to be constantly in attendance. Undoubtedly the effectiveness of the cannon bore no real relation to all the effort and expense that had gone into making it. Nevertheless, one of its shells did destroy a big enemy ammunition dump buried 90 feet deep in the natural rock on the northern shore of Severnaya Bay.
-
-30 Corps' artillery was commanded by General Martinek, a particularly outstanding gunner officer who had previously held the same rank in the Austrian Army. Unfortunately he was
-
-later killed in the east as a corps commander.
-
-Altogether the corps had twenty-five heavy and medium, twenty-five light and six mortar batteries, as well as orte assault-gun and two observation battalions. Also assigned to it was 300 Panzer Regiment, whose tanks were remote-controlled and carried high-explosive
-
-charges.
-
-The Rumanian Mountain Corps had twelve medium and twenty- two light batteries with
-
-which to perform its holding task.
-
-A welcome addition to the assault artillery as a whole was provided by General v. Richthofen, Commander of 8 Air Corps, who turned over a number of his anti-aircraft regiments for use in
-
-a ground role.
-
-At no other time on the German side in World War II can artillery ever have been more formidably massed - particularly as regards the high calibres used - than for the attack on Sevastopol. Yet how trifling this seems when compared with the masses of guns later considered indispensable by the Russians for a breakthrough in open country! At Sevastopol the attacker had 208 batteries (excluding anti-aircraft) at his disposal over a 22-mile front. This meant an average of less than ten batteries to every mile of front, though the ratio was obviously higher in the actual assault sectors. The Soviet offensives of 1945 were based on a
-
-ratio of 400 guns to every mile of assault front!
-
-A few days before the attack I paid a brief visit to the south coast to take a closer look at 30 Corps' own preparations. Our command post down there was a charming little Moorish-style palace, perched on a steep cliff overhanging the Black Sea coast and formerly the property of a grand duke. On the last day of my stay I made a reconnaissance trip in our only naval vessel,
-
-an Italian E-boat, along the coast to a point off Balaclava, my object being to ascertain how
-
-much of the coastal road, up which the whole of the corps' reinforcements and supplies must pass, was visible from the sea and liable to come under observed bombardment from that quarter. In the event - presumably out of respect for our Luftwaffe - the Soviet Black Sea
-
-Fleet ventured no such action.
-
-On the way back a calamity occurred just outside Yalta. Without any warning a hail of machine-gun bullets and cannon-shells began pumping into us from the sky. We were being
-
-strafed by two Soviet fighters which had swooped out of the sun, their sound having been drowned by the roar of our own powerful engines. In a matter of seconds seven of the sixteen persons on board were dead or wounded and the heat from the flames threatened to detonate the torpedoes slung alongside. The behaviour of the captain, a young Italian sub-lieutenant, was beyond all praise, and he showed immense presence of mind in the steps he took to save us and his ship. Disregarding the danger of mines, 'Pepo', my A.D.C., dived into the water and swam to the nearby shore, where - still stark naked - he stopped a passing truck. With this he dashed into Yalta and got the help of a Croatian motor-boat to tow us into harbour. It was a dismal journey. One Italian petty officer was dead and three sailors wounded. Captain v. Wedel, the port commandant of Yalta, had also been killed. But at my feet, severely wounded
-
-in the thigh, lay the truest comrade of all, my driver, Fritz Nagel. The Italian sub-lieutenant tore off his own shirt to use it as a makeshift bandage, but it was almost impossible to staunch
-
-the flow of blood from the artery.
-
-Fritz Nagel came from Karlsruhe and had been my driver since 1938. We had seen and lived through so very much together, and he had already been wounded at my side once before
-
-during our time with 56 Panzer Corps. Throughout the years he had been a devoted comrade
-
-and in time had become a real friend to me. He had fine, frank brown eyes and not a trace of servility in his make-up. Sportsman-like and thoroughly decent by nature, he was a keen, cheerful soldier who had won the hearts of comrades and superiors alike. As soon as we
-
-touched land I took him straight to the field hospital. An operation was attempted, but he had already lost too much blood, and the same night his young light went out. We buried him
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-alongside all our other German and Italian comrades in the Yalta cemetery high above the sea - perhaps one of the most lovely spots on the whole of that glorious coastline.
-
-I sent Fritz Nagel's parents a copy of the words I spoke at his graveside.
-
-But war waits for no man, not even for his thoughts. A few days later Eleventh Army's tactical headquarters, reduced to a bare minimum of personnel, set up a command post on the Sevastopol front at Yukhary Karales, a Tartar village nestling in a narrow valley among the cliffs. The Russians must have known that a command staff with its own signals section had moved in there, for every evening their 'duty pilot' flew over in an old Rata - known to the troops as a 'sewing machine' - to drop a stick of bombs, fortunately without ever doing the slightest damage. On a cliff-top above the village, in the Cherkess-Kermen mountains, where the Goths had once built their stronghold, we had established an observation post, and on the evening of 6th June we went up to watch the infantry assault go in along the entire front next morning. It was here, in a small dugout adjoined by an observation trench equipped with
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-stereo-telescopes, that the Chief-of-Staff, the heads of the operations and intelligence branches, 'Pepo' and I spent the still hours of the night before the storm. Once again it was 'Pepo' who introduced a cheerful note into an otherwise pensive evening.
-
-It had been suggested that I should issue an Order of the Day to the troops pointing out the importance of the impending battle. Generally speaking, I am not in favour of exhortations of
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-this kind. Quite apart from the fact that they seldom get past the battalion orderly-rooms, our troops did not need reminding what was at stake. Since it was the usual thing to do on such occasions, however, I wrote out a few words on a sheet of paper and handed it to 'Pepo' for transmission to all corps headquarters. Shortly afterwards he returned to report: 'Herr General-oberst, I've passed on the blurb.' It was a cheeky thing to say, but he was only expressing the ordinary soldier's view of such proclamations, and we all had a good laugh
-
-over it.
-
-On the morning of 7th June, as dawn turned the eastern sky to gold and swept the shadows from the valleys, our artillery opened up in its full fury by way of a prelude to the infantry assault. Simultaneously the squadrons of the Luftwaffe hurtled down on to their allotted targets. The scene before us was indescribable, since it was unique in modern warfare for the leader of an army to command a view of his entire battlefield. To the north-west the eye could
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-range from the woodlands that hid the fierce battles of 54 Corps' left wing from view right over to the heights south of the Belbek valley, for which we were to fight so bitterly. Looking due west, one could see the heights of Gaytany, and behind them, in the far distance, the shimmer of Severnaya Bay where it joined the Black Sea. Even the spurs of the Khersones peninsula, on which we were to find vestiges of Hellenic culture, were visible in clear weather. To the south-west there towered the menacing heights of Zapun and the rugged cliffs
-
-of the coastal range. At night, within the wide circumference of the fortress, one saw the flashes of enemy gun-fire, and by day the clouds of rock and dust cast up by the bursts of our heavy shells and the bombs dropped by German aircraft. It was indeed a fantastic setting for
-
-such a gigantic spectacle !
-
-At Sevastopol there was something more than an attacking army confronted by an adversary who was at least its numerical equal, something more than artillery and aircraft of the most modern design pounding away at fortifications embedded in steel, concrete and granite. Sevastopol was also the spirit of the German soldier- all his courage, initiative and self-sacrifice contending with the dogged resistance of an opponent whose natural elements were the advantage of terrain and the tenacity and steadfastness of the Russian soldier reinforced by the iron compulsion of the Soviet system. It is impossible to depict this struggle which was to go on for a round month in the most scorching heat (even early-morning temperatures being as much as 106° F.), in terms that would do justice to the feat of either attacker or defender. What our troops achieved in this battle would be worthy of an epic, but there is only space here for a brief account of a contest that must be almost unparalleled in its severity.
-
-On its right wing 54 Corps had directed 132 Division to launch a frontal attack across the Belbek valley towards the commanding heights to the south of it, leaving out the enemy bridgehead of Lubyimovka. To the left of it 22 Infantry Division had the task of opening the way across the valley for 132 Division by thrusting south of the Belbek from the east, over the Kamyshly gully. To the left of that, 50 Infantry Division, attacking through the locality of Kamyshly, was to join this thrust in a south-westerly direction. On the extreme left wing of the corps, in the mountainous woodlands, 24 Infantry Division was to work its way forward towards the heights of Gaytany, its left flank being covered by 18 Rumanian Division.
-
-As a result of overwhelming support by the powerful assault artillery and the incessant attacks of 8 Air Corps, it was possible to cross the Kamyshly gully and Belbek valley on the first day and gain a footing on the commanding heights south of the latter.
-
-Down in the south, 30 Corps' first job was to gain possession of the jumping-off positions for its own follow-up attack on both sides of the highway to Sevastopol, which was not to be
-
-launched until some days later.
-
-The second phase of the offensive, lasting up to 17th June, was marked on both fronts by a bitter struggle for every foot of ground, every pill-box and every trench. Time and again the Russians tried to win back what they had lost by launching violent counter-attacks. In their big strong-points, and in the smaller pill-boxes too, they often fought till the last man and the last round. While the main burden of these battles was borne by the infantry and engineers,
-
-the advanced observation posts of our artillery still deserve special mention, since it was chiefly they who had to direct the fire which made it possible to take individual strong-points and pill-boxes. They, together with the assault guns, were the infantry's best helpmates.
-
-On 13th June the valiant 16 Infantry Regiment of 22 Division, led by Colonel v. Choltitz, succeeded in taking Fort Stalin, before which its attack had come to a standstill the previous winter. The spirit of our infantry was typified by one wounded man of this regiment, who, pointing to his smashed arm and bandaged head, was heard to cry: 'I can take this lot now
-
-we've got the Stalin!'
-
-By 17th June it had been possible, though at the cost of heavy losses, to drive a deep wedge into the fortified zone in the north. The positions of the second defence line, 'Cheka', 'GPU',
-
-'Siberia' and 'Volga', were in our hands.
-
-By the same date 30 Corps was likewise able to drive a wedge into the advanced defence zones in front of the Zapun positions. In the course of heavy fighting the fortified strongpoints of "North Nose', 'Chapel Mount' and 'Ruin Hill' fell to 72 Division, while 170 Division took Kamary. To the north of the corps, after a series of fruitless charges, 1 Rumanian Mountain Division finally won the 'Sugar Loaf. 28 Light Division, on the other hand, was advancing only very slowly over the rugged cliffs of the coastal range, 'Rose Hill' and 'Vermilion I and II', since the only mode of action to adopt in that maze of clefts and chasms was to leap-frog raiding parties from one point to the next, a process which entailed considerable losses.
-
-Despite the price we had paid for these successes, however, the outcome of the offensive seemed to be very much in the balance for the next few days. The endurance of our own troops was visibly running out. In the case of 54 Corps it was found necessary to take 132 Division temporarily out of the line in order to exchange its sorely tried regiments for those of 46 Division in the Kerch peninsula. Its place was taken by 24 Division, which had to be released from the left wing of the corps for this purpose.
-
-At the very same time Eleventh Army found itself under pressure from O.K.H. to release 8 Air Corps for the Ukraine offensive unless any prospect could be offered of Sevastopol's early fall. We, for our own part, insisted that the attack must at all costs go on until final success was achieved, which in turn depended on the continued presence of 8 Air Corps. In the end
-
-our view prevailed.
-
-Yet who at that time, faced with the dwindling strength of our infantry, could have guaranteed the early fall of the fortress? Realizing that the strength of our own troops might give out prematurely, Eleventh Army asked to be supplied with three extra infantry regiments - a
-
-request which O.K.H. duly approved. They were at least to arrive in time for the final phase of
-
-the struggle.
-
-In the existing situation it was found expedient in the case of both assaulting corps to take advantage of an attacker's ability to switch the direction or main effort of his assault as he pleases, and thereby to take the enemy by surprise.
-
-54 Corps turned west, committing 213 Infantry Regiment and 24 Division to battle as it did so. 213 Regiment, led by Colonel Hitzfeld, took the armour-plated battery 'Maxim Gorki I', one of whose guns had already been put out of action by a direct hit from a siege battery. The
-
-other was demolished by our engineers, who had succeeded in getting on to the top of it. However, the garrison of the fort, which went several storeys deep, did not surrender until our
-
-engineers had blown their way in through the turrets at ground level. In the course of one attempted break-out the commissar in command was killed, whereupon his men surrendered with the name of Christ trembling on their lips. After that 24 Division was able, by 21st June, to clear the rest of the northern sector along the west coast as far as the fortifications guarding
-
-the entrance to Severnaya Bay.
-
-In the case of 30 Corps, too, a surprise alteration in the focal point of the attack brought about an important success by 17th June. The corps resolved to halt the advance across the northern chain of the coastal range east of Balaclava and to concentrate its forces on and immediately south of the main road for a surprise thrust. There was only artillery to counteract any flank action from the direction of the coastal range. 72 Division duly succeeded in over-running the
-
-enemy's positions south of the road, and its reconnaissance battalion, led by Major Baake, boldly exploited this initial gain by pushing straight through the floundering enemy as far as
-
-'Eagle's Perch' in front of the Zapun line. In the early morning of 18th June the battalion managed to take the strongly defended 'Eagle' position and to remain in possession there until the division could move reinforcements up. This having been achieved, it was possible to extend our penetration of the enemy defence system northwards.
-
-In the subsequent and third phase success was again achieved by sudden shifts in the focal point of the attack, particularly on the part of the artillery. In the north this meant the full attainment of the first objective, Severnaya Bay, and in the south possession of our jumping-
-
-off positions for the assault on the Zapun line.
-
-In the northern sector the whole fire of the artillery was concentrated to permit 24 Division to take the peninsula forts dominating the entrance to Severnaya Bay. The most formidable of these was the antiquated but still powerful strong-point known as North Fort.
-
-22 Division gained control along its whole front of the cliffs over-looking Severnaya Bay. There was extremely hard fighting for the railway tunnel on the boundary between 22 and 50 Divisions, out of which the enemy launched a strong counter-attack with a brigade that had recently arrived by cruiser. The tunnel was finally captured by shelling its entrance. Not only hundreds of troops came out but an even greater number of civilians, including women and children. Particular difficulty was experienced in winkling the enemy out of his last hide-outs on the northern shore of the bay, where deep galleries for storing supplies and ammunition had been driven into the sheer wall of rock. These had been equipped for defence by the addition of steel doors. Since the occupants, under pressure from their commissars, showed no sign of surrendering, we had to try to blow the doors open. As our engineers approached the
-
-first of them, there was an explosion inside the casemate and a large slab of cliff came tumbling down, burying not only the enemy within but also our own squad of engineers. The
-
-commissar in command had blown the casemate and its occupants sky-high. In the end a second-lieutenant from an assault battery, who had brought up his gun along the coastal road
-
-regardless of enemy shelling from the southern shore, managed to force the other casemates to open up after he had fired on their embrasures at point-blank range. Crowds of completely worn-out soldiers and civilians emerged, their commissars having committed suicide.
-
-Thirdly, 50 Division, which had some hard fighting to do in the thicket-covered country of its own sector, was able to reach the eastern end of Severnaya Bay and gain possession of the heights of Gaytany dominating the mouth of the Chornaya valley.
-
-To the left of it, the right wing of the Rumanian Mountain Corps was fighting its way forward through wooded country over the hills south-east of Gaytany. General Lascar, who later went into captivity at Stalingrad, was the life and soul of this advance.
-
-30 Corps, too, made gains by sudden changes in the direction of its attack. Taking advantage of the capture of Eagle's Perch by 72 Division, it swung 170 Division round from the south to attack the Fedyukiny massif. The enemy, whose eyes were turned east and who was probably
-
-already expecting an attack on the Zapun Heights themselves, was taken completely by surprise, and it was possible to take the massif relatively quickly. This secured a firm base for
-
-the decisive assault on the Zapun line.
-
-During the same few days some progress was also made by the left wing of the Rumanian
-
-Mountain Corps (1 Mountain Division).
-
-Eleventh Army thus found itself in possession of almost the whole outer belt of the fortress by the morning of 26th June. The enemy had been thrown back into the inner fortified zone whose northern front was formed by the precipitous rock-face of Severnaya Bay's southern shore and whose eastern front ran from the heights of Inkerman along the Zapun range to the
-
-cliffs around Balaclava.
-
-Eleventh Army now had to decide how to break open this inner ring of fortifications. It was taken for granted that the enemy in Sevastopol would continue to resist as bitterly as before -particularly as none of the statements issued by his immediate superiors, Crimean Front Headquarters, encouraged any hope of an evacuation.
-
-On the other hand, the fact had to be faced that though the enemy's reserves might be largely expended, the offensive capacity of the German regiments was also virtually at an end.
-
-In recent weeks I had spent all my mornings and afternoons visiting corps staffs, artillery commanders, divisions, regiments, battalions and gunner observation posts. I was only too well aware of the state of our units. The regiments had dwindled away to a few hundred men each, and I remember one company being pulled out of the line with a strength of one officer
-
-and eight men.
-
-How, then, were we going to finish off the battle for Sevastopol, now that 54 Corps had Severnaya Bay before it and 30 Corps was facing the difficult assault on the Zapun Heights?
-
-The ideal solution at this point would have been to switch the weight of the entire offensive to 30 Corps on the southern wing. In practice, however, this was just not possible. Moving the divisions alone was bound to take several days, and in this time the enemy would have an opportunity to recover his strength. In the frontal area the two sectors were linked by only one narrow road which we had taken immense trouble to build through the mountains the previous
-
-winter. In any case, it could not bear the weight of the heavy artillery, and the task of moving that quantity of guns round by way of Yalta and stocking them with ammunition when they reached the southern sector would have taken weeks to complete. An additional factor to bear in mind was the Supreme Command's intention of withdrawing 8 Air Corps from the Crimea
-
-at an early date.
-
-Immediately after 22 Division reached Severnaya Bay, I had been down to visit its regiments
-
-in order to obtain a general view of the situation from an observation post on the northern shore. Before me lay a stretch of water between half a mile and 1,000 yards wide where whole
-
-fleets had once lain at anchor. On the far side, to the right, was the city of Sevastopol, and straight ahead a wall of cliff honeycombed with enemy positions. It occurred to me that from here - in other words, from the flank - one should be able to unhinge the Zapun fortifications, for the last direction from which the enemy seemed likely to expect an attack was across
-
-Severnaya Bay.
-
-When I first discussed this plan of mine with 54 Corps and a number of subordinate commanders, there was a great deal of head-shaking and scepticism. How, they asked, could assault boats get across that broad stretch of bay in the face of the formidable array of guns and fortifications overlooking the southern shore? How, for that matter, were the assault boats even to be got to the shore and loaded with troops when the sole access to the water was down one or two steep ravines which could obviously be kept under fire by the enemy on the
-
-southern coast?
-
-For the very reason that it appeared impossible, however, an attack across Severnaya Bay would take the enemy unawares and might well be the key to success. Despite all the objections raised, therefore, I stuck to my plan - hard though it was to order such a hazardous undertaking when one's own position prevented one from taking part.
-
-Once the decision had been taken, everyone involved set about its execution with the utmost
-
-energy. In this connexion a special word of appreciation is due to the engineers, who had already given an excellent account of themselves alongside the infantry in the fighting for the
-
-pill-box positions.
-
-The general offensive against the inner fortress area -54 Corps crossing Severnaya Bay and 30
-
-Corps assaulting the Zapun heights — was due to start early on the morning of 29th June. Already on 28th June 50 Division had succeeded in crossing the lower course of the Chornaya and taken the Inkerman. This was the scene of a tragedy that shows with what fanaticism the Bolsheviks fought. High above the Inkerman towered a sheer wall of cliff extending far away to the south. Inside it were enormous chambers which had served as cellarage for the Crimean champagne factories. Alongside the large stocks of wine the Bolsheviks had dumped ammunition, but now they were also using the chambers to accommodate thousands of wounded and refugees. Just as our troops were entering the Inkerman the whole cliff behind it shuddered under the impact of a tremendous detonation, and the co-foot wall of rock fell in over a length of some 900 yards, burying thousands of people beneath it. Though the act of a few fanatical commissars, it was a measure of the contempt for human life which had become
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-a principle of this Asiatic Power!
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-During those midnight hours of 28th - 29th June in which the preparations for the crossing of Severnaya Bay were being made, a tremendous tension gripped everyone connected with the operation. In order to blanket all noise from the northern shore, 8 Air Corps kept up an
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-incessant air raid on the city. The whole of the artillery stood by to begin a murderous bombardment of the cliff-tops on the southern shore the very moment any fire from there showed that the enemy had perceived what we were about. But everything remained quiet on the other side, and the difficult job of launching and loading the assault boats went off without a hitch. At one o'clock the first wave from 22 and 24 Divisions pushed off and headed for the opposite shore. The crossing, which obviously took the enemy absolutely by surprise, turned out a complete success, for by the time the enemy defences on the cliffside went into action
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-our sturdy grenadiers had gained a firm footing on the shore below. Any enemy weapons showing themselves from now on were quickly knocked out by our troops as they scaled the cliffs to the plateau above. With that the dreaded Zapun position was unhinged from the flank.
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-At first light, however, our troops had also gone into action against the front of this position.
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-On the left wing of 54 Corps, 50 Division and the newly committed 132 Division (now composed of the infantry regiments of 46 Division) moved off from positions around and to the south of Gaytany to assault the heights between the Inkerman and a point to the south of it. The attack received supporting flank fire from the artillery on the north shore of Severnaya Bay and was joined by the right wing of the Rumanian Mountain Corps.
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-30 Corps likewise began its decisive push towards the Zapun line at daybreak, supported by the long-range batteries of 54 Corps and massed sorties by 8 Air Corps. While using its artillery to create the illusion that an attack on a broad front was pending, 30 Corps had assembled 170 Division as a task force in an extremely small area by the Fedjukiny Heights, and the latter, supported by assault guns, 300 Panzer Battalion and the direct fire of an antiaircraft regiment, soon reached the high ground on both sides of the highway to Sevastopol. Taking advantage of the enemy's confusion, the division forthwith exploited far enough north, west and south for the corps to move its other divisions up to the crest.
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-After the successful crossing of the bay, the fall of the Heights of Inkerman and the penetration of the Zapun positions by 30 Corps, the fate of the Sevastopol fortress was sealed.
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-What now followed was a last desperate struggle that could neither stave off the defending army's utter defeat nor possibly benefit the Soviets as regards the overall operational situation.
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-It would even have been superfluous from the viewpoint of military honour, for goodness knows the Russian soldier had fought bravely enough! But the political system demanded that
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-the futile struggle should go on.
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-Now that they had captured the cliffs on the south shore of the bay, the divisions of 54 Corps which had carried out the crossing were already inside the wide outer ring of positions which
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-encompassed the city. So while elements of the corps mopped up this ring in a southerly direction, the main body was able to turn west and deal with the peripheral fortifications and the city itself. With the fall of the famous Fort Malakoff, that bulwark which had cost so much blood in the Crimean War, the corps was into the defences of Sevastopol proper.
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-Meanwhile, before 29th June was out the two rear divisions of 30 Corps which had had the task of simulating a broad frontal attack - 28 Light Division and 72 Division - were pushed
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-smartly through behind 170 Division.
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-Once they had reached the Zapun positions already taken by the latter they were made to fan
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-out to capture the Khersones peninsula.
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-28 Light Division broke through the outer ring of fortifications south-east of Sevastopol by taking the English Cemetery. The Russians had developed this into a main strong-point of their outer ring of fortifications, and the marble monuments once erected to British soldiers were now in ruins. The new dead of this battle were lying over graves torn open by shelling. Then the division thrust south of the city to take it from the west in case it should be defended ; or, alternatively, to head off an enemy break-out.
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-170 Division's goal was the lighthouse on the extreme western tip of the Khersones peninsula - the spot from which Iphigeneia may have gazed, 'soulfully seeking the Grecian land'.
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-On 72 Division devolved the task of thrusting along the south coast. Rolling up the Zapun positions in a southward direction, it first took the dominant 'Windmill Hill', and thereby secured the main road to Sevastopol for the use of the corps. It was followed by 4 Rumanian Mountain Division, which set about flushing the defence system round Balaclava from the
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-rear, taking 10,000 prisoners in the process.
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-After our experience of Soviet methods to date we were bound to assume that the enemy would make a last stand behind Sevastopol's perimeter defences and finally in the city itself. An order from Stalin had been repeatedly wirelessed to the defenders to hold out to the last
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-man and the last round, and we knew that every member of the civil population capable of
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-bearing arms had been mustered.
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-Our headquarters would have been neglectful of its duty to the soldiers of Eleventh Army had it failed to take account of this possibility. A battle within the city would cause more heavy losses to the attacker. In order to obviate them we directed the artillery and 8 Air Corps to go into action once more before the divisions resumed their assault. The enemy was to be shown that he could not expect to extract a further toll of blood from us in house-to-house fighting.
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-And so 1st July began with a massed bombardment of the perimeter fortifications and the enemy's strong-points in the interior of the city. Before long our reconnaissance aircraft reported that no further serious resistance need be anticipated. The shelling was stopped and the divisions moved in. It seemed probable that the enemy had pulled the bulk of his forces
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-out to the west the previous night.
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-But the struggle was still not over. Although the Soviet Coast Army had given up the city, it had only done so in order to offer further resistance from behind the defences which sealed off the Khersones peninsula - either in pursuance of Stalin's backs-to-the-wall order or else in the hope of still getting part of the army evacuated by Red Fleet vessels at night from the deep inlets west of Sevastopol. As it turned out, only very few of the top commanders and commissars were fetched away by motor-torpedo boat, one of them being the army commander, General Petrov. When his successor tried to escape in the same way, he was
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-intercepted by our Italian E-boat.
-
-Thus the final battles on the Khersones peninsula lasted up till 4th July. While 72 Division captured the armour-plated fort of'Maxim Gorki II', which was defended by several thousand men, the other divisions gradually pushed the enemy back towards the extreme tip of the peninsula. The Russians made repeated attempts to break through to the east by night, presumably in the hope of joining up with the partisans in the Yaila Mountains. Whole masses of them rushed at our lines, their arms linked to prevent anyone from hanging back. At their head, urging them on, there were often women and girls of the Communist Youth, themselves
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-bearing arms. Inevitably the losses which sallies of this kind entailed were extraordinarily
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-high.
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-In the end the remnants of the Coast Army sought refuge in big caverns on the shore of the Khersones peninsula, where they waited in vain to be evacuated. When they surrendered on 4th July, 30,000 men emerged from this small tip of land alone.
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-In all, the number of prisoners taken in the fortress was over 90,000, and the enemy's losses in
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-killed amounted to many times our own. The amount of booty captured was so vast that it could not immediately be calculated. A naturally strong fortress, reinforced and consolidated in every conceivable way and defended by a whole army, had fallen. The army was annihilated and the entire Crimea now in German hands. At just the right time from the operational point of view, Eleventh Army had become free for use in the big German offensive on the southern wing of the Eastern Front.
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-I had spent the evening of 1st July with my immediate staff in our command post, a little Tartar dwelling in Yukhary Karales. The Soviet 'duty pilot' whose habit it had been to drop a few bombs in our valley around sundown had not shown up. Our thoughts went back to the battles of recent months and the comrades who were no longer with us.
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-And then, over the radio, came a triumphal fanfare heralding the special communique on the fall of Sevastopol. Shortly afterwards the following message came over the teleprinter:
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-'To the Commander-in-Chief of the Crimean Army Colonel-General v. Manstein
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-In grateful appreciation of your exceptionally meritorious services in the victorious battles of the Crimea, culminating in the annihilation of the enemy at Kerch and the
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-conquest of the mighty fortress of Sevastopol, I hereby promote you Field-Marshal. By your promotion and the creation of a commemorative shield to be worn by all ranks
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-who took part in the Crimean campaign, I pay tribute before the whole German people to the heroic achievements of the troops fighting under your command.
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-ADOLF HITLER.'
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-10
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-LENINGRAD-VITEBSK
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-WHILE THE divisions of Eleventh Army were recovering from the hardships of the recent fighting and I was on leave in Rumania, the various formation staffs were to work out plans for a crossing of the Straits of Kerch preparatory to the army's joining in the big offensive which had meanwhile been launched on the German southern wing. Throughout my leave I was kept posted on the preparations by the visits of my Chief of Operations, Colonel Busse.
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-Unfortunately all this planning proved quite fruitless, as Hitler, who was as usual chasing after too many objectives at once, over-rated the initial successes of the offensive and gave up his original intention of including Eleventh Army in the operations.
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-Returning to the Crimea on 12th August I was disturbed to find a new directive from the Supreme Command awaiting me. The plan to take the army across the Straits had been dropped and replaced by an operation involving only H.Q. 42 Corps, 46 Division and certain
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-Rumanian forces. Eleventh Army itself was earmarked for the capture of Leningrad, for which the artillery used in the assault on Sevastopol was already en route. Unfortunately three
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-further divisions were detached from us. 50 Division was to remain in the Crimea. 22 Division, now converted back into an airborne division, was sent to Crete, where though one of our best formations - it was to lie more or less idle for he rest of the war. Finally, when we
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-were already on the move, 72 Division was diverted to Central Army Group to deal with a local crisis there. Thus all that ultimately remained of Eleventh Army's original order of battle
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-were H.Q.s 54 and 30 Corps, 24, 132 and 170 Infantry Divisions and 28 Light Division. Irrespective of what the Supreme Command's motives may have been, this dismemberment of
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-an army in which the same corps and divisions had worked together for so long was deplorable. Mutual acquaintanceship and the trust that comes of fighting hard battles together are factors of the utmost importance in war and should never be disregarded.
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-But there was another aspect of even greater relevance. Could there be any justification for taking Eleventh Army away from the southern wing of the Eastern Front now that it was free in the Crimea and employing it on a task which was palpably less important - the conquest of
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-Leningrad? On the German side, after all, the decisive results in that summer of 1942 were being sought in the south of the front. This was a task for which we could never be too strong, particularly as it was obvious even now that the duality of Hitler's objective - Stalingrad and the Caucasus - would split the offensive in two directions and that the further east it went the longer the northern flank of the spearhead must become.
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-Subsequent events showed how much better it would have been to keep Eleventh Army on the southern wing, irrespective of whether it had been moved forward over the Straits of Kerch to stop the enemy from falling back on the Caucasus or had initially followed up the attacking
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-army groups as an operational reserve.
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-When I broke my flight north to call at Hitler's headquarters and talk over my new commitments, I discussed this problem in detail with the Chief of the General Staff, Colonel-General Haider. Haider made it quite clear that he completely disagreed with Hitler's proposal to try to take Leningrad in addition to conducting an offensive in the south, but said that Hitler had insisted on this and refused to relinquish the idea. However, when I asked if he thought it
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-practicable to dispense entirely with Eleventh Army in the south he told me that he did. I myself remained sceptical, without of course being able to refute the Chief-of-Staff s opinion
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-in advance.
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-On the same occasion I was appalled to find how bad relations were between Hitler and his Chief-of-Staff. One of the points brought up at the daily conference was the local crisis which
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-had developed in Central Army Group's sector in consequence of a limited Soviet offensive
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-there - the same crisis, in fact, that had necessitated the detachment of our own 72 Division. When Hitler took this as an occasion for indulging in a tirade against the men fighting on the
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-spot, Haider emphatically contradicted him, pointing out that the strength of the troops had long been overtaxed and that the high loss of officers and N.C.O.'s in particular had been bound to have repercussions. Though couched in thoroughly objective language, Haider's strictures provoked an out- burst of fury from Hitler. He questioned - in the most tactless
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-terms - Haider's right to differ with him, declaring that as a front-line infantryman of World
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-War I he was an infinitely better judge of the matter than Haider, who had never been in this
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-position.
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-The whole scene was so undignified that I pointedly left the map-table and remained away till
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-Hitler calmed down and asked me to return. Afterwards I felt compelled to mention the incident to the Head of the Personnel Office, General Schmundt, who was also Hitler's chief military assistant. I told him it was quite impossible for the Commander-in-Chief and the Chief-of-Staff of the Army to be on terms like this and that either Hitler must listen to his Chief-of-Staff and show him at least the respect that was his due, or Haider must take the only course remaining open to him. Unfortunately nothing of the sort occurred, until the break came six weeks later with Haider's dismissal.
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-On 27th August Eleventh Army headquarters arrived on the Leningrad front to investigate the possibilities of an attack in Eighteenth Army's sector and to settle on the plan for the assault
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-on the city. It was intended that once this was done we should take over that part of Eighteenth Army's front which faced north, while the latter retained its eastern front on the Volkhov. The front earmarked for Eleventh Army was divided into three parts : the Neva sector from Lake Ladoga to the south-east of Leningrad; the actual assault front south of Leningrad ; and the front containing the extensive bridgehead still held by the Soviets on the south shore of the Gulf of Finland around Oranienbaum.
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-In addition to powerful assault artillery, part of which had been brought up from Sevastopol, there were to be over thirteen divisions at the army's disposal, including the Spanish Blue Division, one armoured and one mountain division, and an SS brigade. Of these forces, however, since the Neva and Oranienbaum fronts would be requiring two divisions each, only
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-nine and a half would be left for the attack on Leningrad. This was none too big a force considering that the enemy had an army there of nineteen rifle divisions, one rifle brigade, one frontier guard brigade and between one and two independent armoured brigades.
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-In view of these relative strengths it would naturally have been of tremendous assistance to us if the Finns, who had forces sealing off the Carelian Isthmus in the north of Leningrad, had participated in the offensive. However, when the question was put to the German liaison officer at Finnish headquarters, General Erfurth, it emerged - that the Finnish High Command had declined to take part. The Finnish standpoint, according to the General, was that Finland had maintained ever since 1918 that her existence would never constitute a threat to Leningrad. This put any Finnish contribution to the offensive right out of the question.
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-Eleventh Army thus found itself thrown entirely on its own resources for the execution of its mission. We were well aware that the success of the operation was somewhat problematical, and the fact that it need not have been necessary at all hardly made it any more palatable to us. In the summer of 1941 there had probably been a very good chance of taking Leningrad by a coup de main. Though in those early days Hitler himself regarded the early capture of the
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-city as a main priority, the opportunity was missed for some reason or other. Later Hitler thought he could starve Leningrad out. This the Soviets foiled by supplying the city over Lake Ladoga, in the summer by ship and in the winter by a railway line laid across the ice. What the Germans were left with today was a front from Lake Ladoga to the west of Oranienbaum which was a steady drain on their resources. While its removal was certainly most desirable, the advisability of attacking the city just now, when an attempt was being made to force the issue in the south of the Eastern Front, was a debatable point. As Schiller once said: 'What we
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-omit from a single hour is lost to all eternity.'
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-Still, it was up to us to prepare as best we could for the attack we were called upon to make.
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-To anyone reconnoitring along the front south of Leningrad the city seemed to lie within clutching distance, although it enjoyed the protection of a whole net of fieldworks distributed in depth. One could pick out the big Kolpino works on the Neva, which were still turning out tanks. The Pulkovo shipyards on the Gulf of Finland were also visible. In the distance were the silhouettes of St Isaac's Cathedral, the pointed tower of the Admiralty and the fortress of Peter and Paul. In clear weather it was also possible to see a battlecruiser on the Neva that had been disabled by gunfire. She was one of the 10,000-ton vessels we had sold to the Russians
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-in 1940.1 was sad to learn that several of the imperial residences I knew from 1931- the lovely Catherine Palace in Tsarskoe Selo, the smaller palace in the same place where the last Tsar lived, and the delightful Peterhof on the Gulf of Finland - had fallen victims to the war.
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-They had been set on fire by Soviet shelling.
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-We realized from our reconnaissance that Eleventh Army must on no account become involved in any fighting inside the built-up areas of Leningrad, where its strength would be rapidly expended. As for Hitler's belief that the city could be compelled to surrender through terror raids by 8 Air Corps, we had no more faith in this than had Colonel-General v. Richthofen, the force's own experienced commander.
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-It was our intention, therefore, to begin by breaking through the front south of Leningrad with maximum artillery and air support, but not to carry the advance any further than the southern perimeter of the city. Thereupon two corps would turn east and quickly cross the Neva southeast of the city to destroy the enemy forces between there and Lake Ladoga, cut the supply route across the lake and isolate Leningrad from the east. Thereafter it should be possible to bring about the rapid fall of the city - like Warsaw before it - without any heavy house-to-house fighting.
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-Unfortunately Schiller's dictum was soon to prove only too true. Quite naturally the enemy had not failed to notice the German build-up in the Leningrad sector, and as early as 27th August he launched an attack against Eleventh Army's eastern front, forcing us to engage 170 Division just after its arrival. In the next few days it became clear that the Soviets were conducting a powerful relief offensive with the aim of forestalling our own attack.
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-On the afternoon of 4th September I received a telephone call from Hitler in person. He told me it was essential that I intervene on the Volkhov front to prevent a disaster there; I was to assume command myself and restore the situation by offensive action. That very day the enemy had effected a deep breakthrough over a wide stretch of Eightteenth Army's slender
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-front south of Lake Ladoga.
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-Obviously it was somewhat embarrassing for us to relieve Eighteenth Army of command in its own sector just when a serious crisis had developed there. The headquarters staff had, quite
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-understandably, been none too pleased to see us entrusted with so much as the attack on Leningrad. Even in the face of this open slight, however, it did everything possible to lighten
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-our task in the absence of our own Q branch.
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-Instead of the projected attack on Leningrad, a battle now developed south of Lake Ladoga.
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-The enemy had succeeded in over-running a five-mile stretch of Eighteenth Army's front north of the railway line from Leningrad to the east and in penetrating some eight miles to a point above Mga, through which the line passed. The first problem was to halt the enemy with
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-what forces Eleventh Army had available. At the cost of some hard fighting it was possible to do this in the next few days, and after assembling the rest of its divisions, which had arrived
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-in the meantime, Eleventh Army was able to start its decisive counter-attack. This was launched from the two still-intact flanks in order to cut off the enemy spearhead at its root.
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-The drive from the south was performed by 30 Corps, comprising 24, 132 and 170 Infantry Divisions and 3 Mountain Division, From the north came 26 Corps, the formation originally
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-responsible here, with 121 Infantry Division, 5 Mountain Division and 28 Light Division under command. By 21st September, after heavy fighting, the enemy bulge had been 'tied off. In the next few days vigorous attacks by fresh enemy forces from the east were beaten off as
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-they tried to relieve the encircled enemy spearheads. A similar attempt by the Leningrad Army, attacking with eight divisions across the Neva and from the front south of Leningrad,
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-was equally unsuccessful.
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-At the same time, however, we had to dispose of the strong enemy forces still trapped between Gaitolovo and Mga. As usual, despite the hopelessness of his position and the utter futility - even from the viewpoint of operations as a whole - of continuing the struggle, the enemy had no thought of giving in. On the contrary, he tried again and again to break out of the pocket. As the entire area was thickly wooded (we, incidentally, would never have attempted such a breakthrough in country of this sort), any attempt on our part to get our infantry to grips with the enemy would have caused us excessive losses. Consequently Eleventh Army brought over the greatest possible concentration of artillery from the Leningrad front in order to subject the pocket to a round-the-clock bombardment. In the space
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-of only a few days this shelling, supplemented by repeated attacks by the Luftwaffe, had turned the forest area into a pock-marked wilderness relieved only by the stumps of what had recently been giant trees. The captured diary of a Soviet regimental commander later gave us some idea of what effect we had achieved. It also showed just how ruthless the commissars had been in forcing the troops in the pocket to prolong their resistance.
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-By these methods we were able to end the fighting in the pocket by 2nd October. The enemy, Second Shock Army, had thrown no fewer than sixteen rifle divisions, nine rifle brigades and five armoured brigades into the battle, and, out of these, seven rifle divisions, six rifle brigades and four armoured brigades met their fate in the pocket. The remainder suffered extremely heavy losses in their fruitless attempts to batter a way through to the beleaguered force. Twelve thousand prisoners were taken, and over 300 guns, 500 mortars and 244 tanks were either captured or destroyed. The enemy's losses in dead many times exceeded the
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-number of prisoners.
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-While the task of restoring the position on Eighteenth Army's eastern front was thereby fulfilled, our own divisions' casualties had also been heavy and a considerable amount of the
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-ammunition intended for the attack on Leningrad had been used up. In view of this, there could be no question of immediately going over to the offensive. Nonetheless, Hitler was at first unwilling to give up the idea of taking Leningrad, although he was not prepared to set more limited objectives. This, of course, would still not have achieved our object, which was
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-to iron out the position on the Leningrad front once and for all, and Eleventh Army duly insisted that it could not undertake an operation against the city without an adequate rest and
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-refit, let alone with insufficient forces. While these discussions dragged on and one plan
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-superseded another, October passed by.
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-It was more than frustrating to be stuck up here in the north when our offensive in the south of the front appeared to be petering out in the Caucasus and at the gates of Stalingrad. Not surprisingly, my A.D.C., Lieutenant Specht, once again felt the dissatisfaction which inevitably besets a young officer on a higher formation staff when there is nothing vital to occupy him. 'Pepo' began tugging at the bit and I, knowing how he felt, could not bring myself to deny him his wish. I sent him off to 170 Division, which was in action on the Neva and in whose ranks he had already fought for a time in the Crimea. The poor lad crashed in a Fieseler Storch while on his way to join his regiment, and we buried him on 25th October. His death was a sad blow to everyone, most of all to myself. Never again should we hear his clear voice and gay laugh. How I would miss this young comrade who had filled our many
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-hours together with his merriment and been my companion on so many strenuous and dangerous trips, never once losing his brightness, self-confidence or drive ! After my good comrade Nagel, he was the second of my immediate associates to be snatched away from us
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-by the war in the east.
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-Just before Specht's burial I had to fly to the Supreme Headquarters to receive my field-marshal's baton. What a thrill it would have given him to have gone with me!
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-As had always been the case with me to date, Hitler went out. of his way to be affable and spoke with warm appreciation of the way the troops of Eleventh Army had acquitted themselves in the battle of Lake Ladoga. I took this opportunity to impress my views on him regarding the excessive demands being imposed on our infantry. With such high losses as we were bound to have in the east when fighting an enemy as tough as the Russians, it was vitally important that the infantry regiments should always be brought back up to strength with the minimum possible delay. But when replacements never arrived on time - and none had ever done so since the Russian campaign began - the infantry had to go into action far below their proper strength, with the inevitable result that the fighting troops became more and more worn
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-down as time went on.
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-Now, we were aware that the Luftwaffe, on instructions from Hitler, was in the process of setting up twenty-two so-called Luftwaffe Field Divisions, for which it was able to spare 170,000 men. There was nothing surprising in this. Goring had always done things on an extravagant scale in his own domain, not only where funds and installations were concerned, but also in regard to manpower. In the same vein the Luftwaffe had been established to take
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-on operational commitments for which, as had since turned out, it was unable to find sufficient numbers either of air-crews or machines. This is not the place to inquire why things
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-should have been allowed to come to such a pass. The essential fact was that the Luftwaffe had some 170,000 men to spare and could have spared them long ago, the dream of a strategic air war having ended, for all practical purposes, with the Battle of Britain.
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-These 170,000 men were now to be concentrated in the Luftwaffe's own private units to fight
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-a war on the ground. Considering what a wide choice had been open to the Luftwaffe in making its selections for these divisions, they Were doubtless composed of first-class soldiers. Had they been drafted to army divisions as replacements in autumn 1941 to maintain the latter
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-at their full fighting strength, the German Army might well have been saved most of the emergencies of the winter of 1941-42. But to form these excellent troops into divisions within
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-the framework of the Luftwaffe was sheer lunacy. Where were they to get the necessary close-combat training and practice in working with other formations? Where were they to get
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-the battle experience so vital in the east? And where was the Luftwaffe to find divisional,
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-regimental and battalion commanders ?
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-I covered all these aspects in detail during that talk with Hitler and a little later set them out in
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-a memorandum I drafted for his attention. He listened to my arguments attentively enough, but insisted that he had already given the matter his fullest consideration and must stick to his decision. Shortly afterwards the then Chief of Operations of Central Army Group, a man who
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-was always well informed, on account of his friendship with Hitler's A.D.C., told me the reasons which Goring had given Hitler for wanting the Luftwaffe to set up its own divisions. Goring had claimed that he could not hand over 'his' soldiers, reared in the spirit of National
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-Socialism, to an army which still had chaplains and was led by officers steeped in the traditions of the Kaiser. He had already told his own people that the Luftwaffe must make sacrifices, too, lest the army appear virtually to stand alone in this respect. Such were the arguments with which Goring had sold his scheme to Hitler!
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-Our Leningrad mission as such was now coming to an end. During my visit to Vinnitsa, Hitler said that my headquarters would probably be moved to Central Army Group in the Vitebsk region, where there were signs that a big enemy offensive was pending. If and when this materialized, our task would be to counteract it with an offensive of our own. At the same time, however, he told me that if he and his headquarters should leave Vinnitsa, I was to be put in command of Army Group A. After removing Field-Marshal List from this appointment
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-without valid reason, following a difference of opinion with him, Hitler had been commanding the Army Group himself as a sort of sideline - a quite impossible arrangement in the long run. More surprising still was what he had to say on this occasion in connexion with my eventual appointment as Commander-in-Chief of the Army Group. Next year, he told me,
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-he was thinking of driving through the Caucasus to the Near East with a motorized army group! It was a measure of how unrealistic ally he still assessed the overall military situation
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-and its strategic possibilities.
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-My last few days on the Leningrad front were marked by the hardest blow that could have befallen my dear wife, myself and our children in the last war - the death of our eldest son Gero. He fell for our beloved Germany on 29th October, as a second lieutenant in the 51 Panzer Grenadier Regiment of my old 18 Division. I trust, as one under whose command so many thousands of youngsters gave their lives for Germany, that I may be forgiven for mentioning this purely personal loss here. The sacrifice of our son's life was certainly no different from that made by countless other young Germans and their fathers and mothers. But
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-it will be appreciated that there must be a place in these memoirs of mine for the son who gave his life for our Fatherland. He shall stand here for all the others who trod the same road as he did, whose sacrifice was the same as his sacrifice, and who live on in the hearts of their dear ones just as our beloved son lives on in ours.
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-Our Gero, born on New Year's Eve 1922 and killed in his twentieth year, had been a delicate
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-child from birth. He had suffered from asthma from childhood, and it was due only to the constant care of my wife that he grew up fit enough to become a soldier. Yet while his ailment deprived him of many things in his boyhood, it had also made him unusually mature and determined to do what life demanded of him despite all his handicaps.
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-Gero was a particularly lovable child - serious, thoughtful, but always happy. After taking his final school examination at the Ritterakademie in Liegnitz in 1940, he expressed the wish to
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-become a soldier and to join my own arm, the infantry — known in Germany as the Queen of the Battlefield because it has from time immemorial borne the brunt of the fighting. It goes without saying that we, as his parents, understood this desire to follow in the footsteps of
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-generations of ancestors, although neither of us had ever made any attempt to influence him in
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-his choice of a profession. It was simply in his blood to become a regular officer - to be a trainer of German youth and to be at its head in times of stress.
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-So, having passed his school examinations, he joined 51 Panzer Grenadier Regiment in Liegnitz and went through the 1941 summer campaign in Russia as a private soldier. He was promoted corporal and won the Iron Cross for going back again with other volunteers to pick up a comrade wounded on patrol. In autumn 1941 he was sent home to the officers' school and in spring 1942 he received his commission.
-
-After a serious illness and convalescent leave he came back to the regiment he loved, now in action on Lake Ilmen as part of Sixteenth Army. I had the joy of seeing him on his way out there when he visited me in my caravan at the front during the battle of Lake Ladoga. After that I saw him once more when I visited my friend Busch at Sixteenth Army Headquarters on 18th October. He had invited Gero up as well, so that we, Busch and our dear Specht, my A.D.C., were able to spend a happy evening together. Specht himself was killed only a few
-
-days later.
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-Early on 30th October 1942, after the morning situation reports had been handed in, my faithful Chief-of-Staff, General Schulz, the successor to Wohler, brought me the news that our son Gero had been killed by a Russian bomb the previous night. As assistant adjutant of his battalion he had been on his way out to the front line to convey an order to a platoon
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-commander.
-
-We buried the dear boy on the shores of Lake Ilmen the following day. The padre of 18 Panzer Grenadier Division, Pastor Kriiger, began his oration with the words :
-
-A Lieutenant of the Infantry.'
-
-Our son would not have wished it otherwise.
-
-After the funeral I flew home for a few days to be with my dear wife, for whom this boy had throughout the years been a special object of care and devotion. He had given us nothing but joy, for all the anxiety he had caused us by the ailment he had fought so bravely. We laid his
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-soul in God's hands.
-
-Gero Erich Sylvester von Manstein, as so many other young Germans, fell in action like the
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-brave soldier he was. The officer's calling was his mission in life, and he fulfilled it with a maturity rare in one so young. If one can speak of a young aristocrat in this sense, then he was one indeed. Not merely in outward appearance - he was tall, slim and fine-limbed, with long,
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-noble features - but most of all in character and outlook. There was not a single flaw in this boy's make-up. Modest, kind, ever eager to help others, at once serious-minded and cheerful,
-
-he had no thought for himself, but knew only comradeship and charity. His mind and spirit were perpetually open to all that is fine and good. It was his heritage to come of a long line of soldiers; but by the very fact of being an ardent German soldier he was at once a gentleman in the truest sense of the word - a gentleman and a Christian.
-
-Whilst I was in Liegnitz after Gero's burial, Eleventh Army Headquarters was moved from
-
-Leningrad to Central Army Group's sector in the area of Vitebsk. There is nothing of importance to tell regarding the few weeks it spent there. Before any steps could be taken to
-
-use us in counteracting the anticipated offensive, events in the south of the Eastern Front led
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-to our being given a new role.
-
-On 20th November we received orders to assume immediate com- mand of the sector on both sides of Stalingrad as the headquarters of a newly created 'Don Army Group'. I had just been on a trip to the front to visit v.d. Chevallerie's corps with my Chief of Operations, Colonel Busse, and had been delayed by the explosion of a mine under our train. In that territory the presence of partisans made it necessary to travel in armoured vehicles or specially protected
-
-trains.
-
-Because the weather was too bad for flying, we had to leave Vitebsk by rail on 21st November, and were once again held up by a mine attack. We reached H.Q. Army Group B, which was still responsible for our future sector, on 24th November, my fifty-fifth birthday. What we learnt here about the situation of Sixth Army and the adjacent fronts of Fourth Panzer Army and Third and Fourth Rumanian Armies will be dealt with in the chapter on
-
-Stalingrad.
-
-11
-
-HITLER AS SUPREME COMMANDER
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-MY APPOINTMENT as commander of Don Army Group brought me for the first time under
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-Hitler's direct orders as Supreme Commander of the Armed Forces (Wehrmacht) and the Army (Heer). Only now did I find myself in a position to see how he tried to fulfil the duties of a supreme war leader besides those of a Head of State, for hitherto I had felt his influence
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-on military decisions at best indirectly and from afar. Because of the strict secrecy surrounding all matters of an operational nature, I had been unable to form any valid opinion
-
-of my own.
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-During the campaign in Poland we had been unaware of any interference by Hitler in the
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-leadership of the army. On his two visits to v. Rundstedt's army group he had listened sympathetically to our interpretations of the situation and agreed to our intentions without
-
-making any attempt to intervene.
-
-As for the plan for the occupation of Norway, no outsider had known anything whatever about it. Hitler's attitude regarding the offensive in the west has already been discussed in detail. It was certainly both deplorable and alarming that he should have completely passed over O.K.H. in this matter, yet it had to be conceded that his view that the solution must be an offensive one was fundamentally correct from the military point of view, even if the same could not be said of his original timing. Admittedly he had laid down the outline of a plan which - as has already been pointed out - could hardly have produced a complete solution. At
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-that stage he had probably not thought it possible to attain results on the scale ultimately achieved. Nevertheless, when the plan put up by Army Group A offered him this possibility, he had immediately grasped the idea and adopted it himself - even though he imposed certain limitations which betrayed his aversion to risks. His fatal mistake of halting the armour outside Dunkirk had not at the time been apparent to an outsider, for the sight of beaches bestrewn with abandoned equipment tended to deceive anyone not yet aware how successful the British had been in getting their troops back across the Channel.
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-The absence of a 'war plan' permitting the timely preparation of an invasion did, however, reveal a failure of Wehrmacht leadership - in other words, on the part of Hitler himself. On the other hand, it was impossible for anyone not actually on the spot to judge whether or not the decision to turn on the Soviet Union was unavoidable for political reasons. The Soviet deployment on the German, Hungarian and Rumanian frontiers certainly looked menacing
-
-enough.
-
-As commander of a corps and later of Eleventh Army I learnt just as little of Hitler's influence on the plan for an attack on the Soviet Union and the conduct of operations in the first phase of the campaign as I did of the plans for the summer offensive in 1942. There had certainly been no interference by Hitler in the handling of the Crimean campaign. Indeed, he had agreed to our intentions without hesitation when I went to see him in spring 1942 and had
-
-doubtless done everything to make our success at Sevastopol possible. I have already mentioned that I considered Eleventh Army to have been wrongly used after the fall of the
-
-fortress.
-
-Now that I had come immediately under Hitler in my capacity as an army group commander, however, I was to get my first real experience of him in his exercise of the supreme command.
-
-When considering Hitler in the role of a military leader, one should certainly not dismiss him with such cliches as 'the lance-corporal of World War I'.
-
-He undoubtedly had a certain eye for operational openings, as had been shown by the way he opted for Army Group A's plan in the west. Indeed, this is often to be found in military
-
-amateurs - otherwise history would not have recorded so many dukes and princes as successful commanders. In addition, though, Hitler possessed an astoundingly retentive memory and an imagination that made him quick to grasp all technical matters and problems of armaments. He was amazingly familiar with the effect of the very latest enemy weapons and could reel off whole columns of figures on both our own and the enemy's war production. Indeed, this was his favourite way of side-tracking any topic that was not to his liking. There
-
-can be no question that his insight and unusual energy were responsible for many achievements in the sphere of armaments. Yet his belief in his own superiority in this respect
-
-ultimately had disastrous consequences. His interference prevented the smooth and timely development of the Luftwaffe, and it was undoubtedly he who hampered the development of
-
-rocket propulsion and atomic weapons.
-
-Moreover, Hitler's interest in everything technical led him to overestimate the importance of his technical resources. As a result, he would count on a mere handful of assault-gun detachments or the new Tiger tanks to restore situations where only large bodies of troops
-
-could have any prospect of success.
-
-What he lacked, broadly speaking, was simply military ability based on experience — something for which his 'intuition' was no substitute.
-
-While Hitler may have had an eye for tactical opportunity and could quickly seize a chance
-
-when it was offered to him, he still lacked the ability to assess the prerequisites and practicability of a plan of operations. He failed to understand that the objectives and ultimate scope of an operation must be in direct proportion to the time and forces needed to carry it out — to say nothing of the possibilities of supply. He did not - or would not - realize that any long-range offensive operation calls for a steady build-up of troops over and above those
-
-committed in the original assault. All this was brought out with striking clarity in the planning and execution of the 1942 summer offensive. Another example was the fantastic idea he disclosed to me in autumn 1942 of driving through the Caucasus to the Near East and India
-
-with a motorized army group.
-
-As in the political sphere (at all events after his successes of 1938), so in the military did Hitler lack all sense of judgement regarding what could be achieved and what could not. In autumn 1939, despite his contempt for France's powers of resistance, he had not originally
-
-recognized the possibility of attaining decisive success by a correctly planned German offensive. Yet when this success actually became his, he lost his eye for opportunity where conditions were different. What he lacked in each case was a real training in strategy and
-
-grand tactics.
-
-And so this active mind seized on almost any aim that caught his fancy, causing him to fritter away Germany's strength by taking on several objectives simultaneously, often in the most dispersed theatres of war. The rule that one can never be too strong at the crucial spot, that one may even have to dispense with less vital fronts or accept the risk of radically weakening them in order to achieve a decisive aim, was something he never really grasped. As a result, in the offensives of 1942 and 1943 he could not bring himself to stake everything on success. Neither was he able or willing to see what action would be necessary to compensate for the
-
-unfavourable turn which events then took.
-
-As for Hitler s strategic aims (at least in the conflict with the Soviet Union), these were to a very great extent conditioned by political considerations and the needs of the German war economy. This has already been indicated in the introductory remarks on the Russian campaign and will emerge again in connexion with the defensive battles of the years 1943-4.
-
-Now, questions of a political and economic nature are undoubtedly of great importance when it comes to fixing strategic aims. What Hitler overlooked was that the achievement and - most important of all - the retention of a territorial objective presupposes the defeat of the enemy's armed forces. So long as this military issue is undecided and this may be seen from the
-
-struggle against the Soviet Union - the attainment of territorial aims in the form of economically valuable areas remains problematical and their long-term retention a sheer impossibility. The day had yet to come when one could wreak such havoc on the enemy's armament centres or transport system with raiding aircraft or guided missiles that he was
-
-rendered incapable of continuing the fight.
-
-While strategy must unquestionably be an instrument in the hands of the political leadership, the latter must not disregard - as did Hitler to a great extent when fixing operational objectives
-
-- the fact that the strategic aim of any war is to smash the military defensive power of the enemy. Only when victory has been secured is the way open to the realization of political and
-
-economic aims.
-
-This brings me to the factor which probably did more than anything else to determine the character of Hitler's leadership - his over-estimation of the power of the will. This will, as he saw it, had only to be translated into faith down to the youngest private soldier for the correctness of his decisions to be confirmed and the success of his orders ensured.
-
-Obviously a strong will in a supreme commander is one of the essential prerequisites of victory. Many a battle has been lost and many a success thrown away because the supreme
-
-leader's will failed at the critical moment.
-
-The will for victory which gives a commander the strength to see a grave crisis through is something very different from Hitler's will, which in the last analysis stemmed from a belief in his own 'mission'. Such a belief inevitably makes a man impervious to reason and leads him to think that his own will can operate even beyond the limits of hard reality - whether these consist in the presence of far superior enemy forces, in the conditions of space and time, or merely in the fact that the enemy also happens to have a will of his own.
-
-Generally speaking, Hitler had little inclination to relate his own calculations to the probable
-
-intentions of the enemy, since he was convinced that his will would always triumph in the end. He was equally disinclined to accept any reports, however reliable, of enemy superiority, even though the latter might be many times stronger than he. Hitler either rejected such reports out of hand or minimized them with assertions about the enemy's deficiencies and took refuge in endless recitations of German production figures.
-
-In the face of his will, the essential elements of the 'appreciation' of a situation on which every military commander's decision must be based were virtually eliminated. And with that Hitler
-
-turned his back on reality.
-
-The only remarkable feature was that this over-estimation of his own will-power, this disregard for the enemy's resources and possible intentions, was not matched by a corresponding boldness of decision. The same man who, after his successes in politics up to 1938, had become a political gambler, actually recoiled from risks in the military field. The only bold military decision that may be booked to Hitler's credit was probably the one he took to occupy Norway, and even then the original suggestion had come from Grand-Admiral Raeder. Even here, as soon as a crisis cropped up at Narvik, Hitler was on the point of ordering the evacuation of the city and thereby of sacrificing the fundamental aim of the entire operation, which was to keep the iron-ore routes open. During the execution of the western campaign, too, as we have seen earlier, Hitler showed a certain aversion to taking military risks. The decision to attack the Soviet Union was, in the last analysis, the inevitable outcome of cancelling the invasion of Britain, which Hitler had likewise found too risky.
-
-During the Russian campaign Hitler's fear of risk manifested itself in two ways. One - as will be shown later - was his refusal to accept that elasticity of operations which, in the conditions obtaining from 1943 onwards, could be achieved only by a voluntary, if temporary surrender
-
-of conquered territory. The second was his fear to denude secondary fronts or subsidiary theatres in favour of the spot where the main decision had to fall, even when a failure to do so
-
-was palpably dangerous.
-
-There are three possible reasons why Hitler evaded these risks in the military field. First, he may secretly have felt that he lacked the military ability to cope with them. This being so, he
-
-was even less likely to credit his generals with having it. The second reason was the fear, common to all dictators, that his prestige would be shaken by any set-backs. In practice this attitude is bound to lead to the commission of military mistakes which damage the man's prestige more than ever. Thirdly, there was Hitler's intense dislike, rooted in his lust for power, of giving up anything on which he had once laid hands.
-
-In the same context mention may be made of another trait of Hitler's against which his Chief-of-Staff, Colonel-General Zeitzler, and I both battled in vain throughout the period in which I
-
-was commanding Don Army Group.
-
-Whenever he was confronted with a decision which he did not like taking but could not ultimately evade, Hitler would procrastinate as long as he possibly could. This happened every time it was urgently necessary for us to commit forces to battle in time to forestall an
-
-operational success by the enemy or to prevent its exploitation. The General Staff had to struggle with Hitler for days on end before it could get forces released from less-threatened sectors of the front to be sent to a crisis spot. In most cases he would give too small a number of troops when it was already too late - with the result that he usually finished up by having to grant several times what had originally been required. The tussle used to last for whole weeks when it was a question of abandoning untenable positions like the Donetz area in 1943 or the Dnieper Bend in 1944. The same applied to the evacuation of unimportant salients on quiet stretches of front for the purpose of acquiring extra forces. Possibly Hitler always expected
-
-things to go his way in the end, thereby enabling him to avoid decisions which were repugnant to him if only because they meant recognizing the fact that he must accommodate himself to the enemy's actions. His inflated belief in his own will-power, a certain aversion to accepting any risk in mobile operations (the retour offensif, for example) when its success could not be guaranteed in advance, and his dislike of giving up anything voluntarily - such were the factors which influenced Hitler's military leadership more and more as time went on. Obstinate defence of every foot of ground gradually became the be all and end all of that leadership. And so, after the Wehrmacht had won such extraordinary successes in the first years of war by dint of operational mobility, Hitler's reaction when the first crisis occurred in
-
-front of Moscow was to adopt Stalin's precept of hanging on doggedly to every single position. It was a policy that had brought the Soviet leaders so close to the abyss in 1941 that they finally relinquished it when the Germans launched their 1942 offensive.
-
-Yet because the Soviet counter-offensive in that winter of 1941 had been frustrated by the resistance of our troops, Hitler was convinced that his ban on any voluntary withdrawal had saved the Germans from the fate of Napoleon's Grand Army in 1812. In this belief, admittedly, he was reinforced by the acquiescent attitude of his own retinue and several commanders at the front. When, therefore, a fresh crisis arose in autumn 1942 after the German offensive had become bogged down outside Stalingrad and in the Caucasus, Hitler again thought the arcanum of success lay in clinging at all costs to what he already possessed. Henceforth he could never be brought to renounce this notion.
-
-Now it is generally recognized that defence is the stronger of the two forms of fighting. This
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-is only true, however, when the defence is so efficacious that the attacker bleeds to death when assaulting the defender's positions. Such a thing was out of the question on the Eastern Front, where the number of German divisions available was never sufficient for so strong a defence to be organized. The enemy, being many times stronger than we were, was always able, by massing his forces at points of his own choice, to break through fronts that were far too widely extended. As a result, large numbers of German forces were unable to avoid encirclement. Only in mobile operations could the superiority of the German staffs and fighting troops have been turned to account and, perhaps, the forces of the Soviet Union
-
-ultimately brought to naught.
-
-The effects of Hitler's ever-increasing predilection for 'hanging on at all costs' will be dealt with in greater detail in connexion with the defensive battles fought on the Eastern Front in
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-1943 and 1944. The reason for his insistence on it may be found deep down in his own personality. He was a man who saw fighting only in terms of the utmost brutality. His way of thinking conformed more to a mental picture of masses of the enemy bleeding to death before our lines than to the conception of a subtle fencer who knows how to make an occasional step backwards in order to lunge for the decisive thrust. For the art of war he substituted a brute force which, as he saw it, was guaranteed maximum effectiveness by the will-power behind it.
-
-Since Hitler placed the power of force above that of the mind and, while having every regard for a soldier's bravery, did not rate his ability to the same extent, it is hardly surprising that, in the same way as he over-rated technical expedients, he was possessed of/a rage du nombre' . He would intoxicate himself with the production figures of the German armaments industry, which he had undoubtedly boosted to an amazing extent, even if he preferred to overlook the fact that the enemy's armaments figures were higher still.
-
-What he forgot was the amount of training and skill required to render a new weapon fully effective. Once the new weapons had reached the front, he was content. It did not worry him whether the units concerned had mastered them or not, or whether a weapon had even been
-
-tested under combat conditions.
-
-In just the same way Hitler was constantly ordering new divisions to be set up. Though an increase in the number of our formations was most desirable, they had to be filled at the cost of replacements for the divisions already in existence, which in course of time were drained of their last drop of blood. At the same time the newly established formations initially had to pay an excessively high toll of killed because of their lack of battle experience. The Luftwaffe Field Divisions, the unending series of SS divisions and finally the so-called People's Grenadier Divisions were the most blatant examples.
-
-A final point worth mentioning is that although Hitler was always harping on his 'soldierly' outlook and loved to recall that he had acquired his military experience as a front-line soldier, his character had as little in common with the thoughts and emotions of soldiers as had his party with the Prussian virtues which it was so fond of invoking.
-
-Hitler was certainly quite clearly informed of conditions at the front through the reports he received from the army groups and armies. In addition, he frequently interviewed officers who had just returned from the front-line areas. Thus he was not only aware of the achievements of our troops, but also knew what continuous overstrain they had had to endure since the beginning of the Russian campaign. Perhaps this was one of the reasons why we never managed to get Hitler anywhere near a front line in the east. It was hard enough to persuade him to visit our Army Group headquarters; the idea of going any further forward never occurred to him. It may be that he feared such trips would destroy those golden dreams
-
-about his invincible will.
-
-Despite the pains Hitler took to stress his own former status as a front-line soldier, I still never had the feeling that his heart belonged to the fighting troops. Losses, as far as he was concerned, were merely figures which reduced fighting power. They are unlikely to have
-
-seriously disturbed him as a human being.
-
-[A former officer of O.K.W. who was transferred there after being badly wounded at the front and whose job brought him into almost daily contact with Hitler, mainly at the daily briefings but also at more private meetings, has written me the following note on this subject:
-
-'I fully recognize the justification of this subjective feeling (i.e. that Hitler had no sympathy for the fighting troops and regarded losses as mere figures). That was how he appeared among a large body of people, but in reality he was almost the opposite. From a soldier's point of view he was possibly even too soft and certainly too dependent on his emotions. It was symptomatic that he could not stand any encounter with the horrors of war. He was afraid of his own softness and susceptibility, which would have hampered him in making the decisions that his political will demanded of him. Casualties which he was compelled to deal with personally or of which he was given realistic descriptions were a source of horror to him and obviously caused him as much suffering as the
-
-deaths of people he knew.
-
-'On the strength of several years' observation I do not believe that this was play-acting but simply one side of his character. Outwardly, therefore, he assumed a deliberate air of indifference to avoid being distracted by the trait of which he himself was afraid. This
-
-is also the more deep-seated reason why he did not go to the front or visit any of the bombed cities. It was quite certainly not due to any lack of personal courage but to the fear of being horrified by what he would see.
-
-'At private gatherings it was often noted in conversations about the efforts and achievements of the fighting troops that he had a great appreciation and sympathy for
-
-them.'
-
-The opinion of this officer, who was not one of Hitler's supporters or admirers, at least shows
-
-what dissimilar impressions people could have of Hitler's character and mentality and how difficult it really was to get to the bottom of them. If - as is maintained above - Hitler actually was soft-hearted, how can one explain the brutal cruelty which became increasingly typical of
-
-his regime as time went on? Author.']
-
-In one respect, however, Hitler's outlook was entirely soldier-like - in the matter of war decorations. With these his first and foremost aim was to honour the brave among the fighting men, and the regulations he issued regarding the award of the Iron Cross at the beginning of the campaign were a model of their kind. This decoration, he decided, should be conferred only for deeds of bravery and outstanding leadership - which meant that, as far as the latter category was concerned, it could be won only by formation commanders and their senior staff officers. Unfortunately many of those responsible for awarding the decoration failed all along to observe this lucid and admirable ruling - partly, it must be admitted, as a result of the delay in creating a cross for meritorious war service, the Kriegsverdienstkreuz, which was intended for those who, though employed on duties rendering them in-eligible for the Iron Cross, still deserved distinction. With Hitler it was always harder to secure a Knight's Cross for a deserving General than for an officer or man at the front.
-
-As for the retrospective tendency to deride the many different badges and insignia that Hitler created in the course of the war, people should merely bear in mind what feats our soldiers accomplished during the many long years of its duration. Badges like the close-combat clasp (the Nahkampfspange) and the Eleventh Army Crimean Shield were at all events worn with pride. Besides, the number of medal ribbons worn by soldiers on the other side shows that the question of war decorations is not to be dismissed with a lot of silly talk about 'tin gongs'.
-
-The deficiencies I have just described were bound to detract considerably from Hitler's fitness to play the self-appointed role of the supreme military leader.
-
-They could still have been counterbalanced, however, if only he had been prepared to take advice from - and place genuine confidence in - an experienced and jointly responsible Chief
-
-of the General Staff. He did, after all, possess a number of the qualities indispensable to a supreme commander: a strong will, nerves that would stand up to the most serious crises, an undeniably keen brain and - as I said before - a certain talent in the operational field combined with an ability to recognize possibilities of a technical nature. If only he could have seen his
-
-way to compensate for his lack of training and experience in the military sphere — particularly as regards strategy and grand tactics — by utilizing the skill of his Chief-of-Staff, quite an efficient military leadership might have emerged despite all the shortcomings mentioned above. But this was precisely what Hitler would not accept.
-
-Just as he considered the power of his will to be in every way decisive, so had his political successes - and, indeed, the military victories early in the war, which he regarded as his own
-
-personal achievement - caused him to lose all sense of proportion in assessing his own capabilities. To him the acceptance of advice from a jointly responsible Chief-of-Staff would not have meant supplementing his own will but submitting it to that of another. Added to this was the fact that he was imbued by origin and background with an insuperable mistrust of the military leaders, whose code and way of thinking were alien to him. Thus he was not prepared to see a really responsible military adviser alongside himself. He wanted to be another Napoleon, who had only tolerated men under him who would obediently carry out his will. Unfortunately he had neither Napoleon's military training nor his military genius.
-
-I have already shown in the chapter dealing with the plan for the invasion of Britain that Hitler had so organized the Supreme Command that no one was vested with the authority to
-
-advise him on grand strategy or to draft a war plan. The Operations Staff {Wehrmachtfuhrungsstab) of O.K.W., which was theoretically qualified to discharge such a task, in practice merely played the role of a military secretariat. Its only raison d'etre was to translate Hitler's ideas and instructions into the terminology of military orders.
-
-But there was even worse to come. Hitler's designation of Norway as an 'O.K.W.' theatre of operations in which O.K.H. had no authority was only the first step in the disruption of land operations. In due course all the other theatres were gradually turned over to O.K.W. Finally only the Eastern one remained as an O.K.H. responsibility, and even then it had Hitler at its head. Hence the Chief-of-Staff of the Army was left with just as little influence on the other
-
-theatres of war as were the Commanders-in-Chief of the two other services in matters of
-
-grand strategy. He had no say whatever in the overall distribution of the army's forces and often did not even know for certain what troops and material were being sent to the various
-
-theatres. In the circumstances it was inevitable that the O.K.W. Operations Staff and the General Staff of the army should clash. Indeed, Hitler probably created clashes deliberately in order that he alone should at all times have the decisive say. Naturally such faulty
-
-
-
-
-
-organization of the supreme military leadership was bound to contribute decisively to its breakdown. Another consequence of Hitler's over-estimation of his will-power and military ability was that he attempted more and more to interfere by separate orders of his own in the
-
-running of subordinate formations.
-
-It has always been the special forte of German military leadership that it relies on commanders at all levels to show initiative and willingness to accept responsibility and does everything in its power to promote such qualities. That is why, as a matter of principle, the 'directives' of higher commands and the orders of medium and lower commands always contained so-called 'assignments' for subordinate formations. The detailed execution of these
-
-assignments was the business of the subordinate commanders concerned. This system of handling orders was largely the reason for the successes scored by the German Army over its
-
-opponents, whose own orders generally governed the actions of subordinate commanders down to the very last detail. Only when there was no other possible alternative left did anyone on our side encroach upon the authority of a subordinate formation headquarters by specifically laying down the action it should take.
-
-Hitler, on the other hand, thought he could see things much better from behind his desk than the commanders at the front. He ignored the fact that much of what was marked on his far-too-detailed situation maps was obviously out of date. From that distance, moreover, he could not possibly judge what was the proper and necessary action to take on the spot.
-
-He had grown increasingly accustomed to interfering in the running of the army groups, armies and lower formations by issuing special orders which were not his concern at all. While I had hitherto been spared such interference in my own sphere of command, I was forewarned of it by what Field-Marshal v. Kluge had to tell me when I met him on a railway station on my way from Vitebsk to Rostov. At Central Army Group, he said, he had to consult Hitler before any operation involving forces of a battalion or more could be mounted. Even if I personally did not experience such intolerable interference later on, there were still to be quite enough clashes with the Supreme Command as a result of Hitler's meddling.
-
-In contrast to his passion for individual orders, which were usually nothing but a hindrance to command staffs and detrimental to operations, Hitler was loath to issue long-term operational directives. The more he came to regard the principle of'holding on at all costs' as the alpha and omega of his policy, the less prepared was he to issue long-term directives which took account of the normally foreseeable development of a strategic situation. That such methods
-
-must ultimately have placed him at a disadvantage vis-a-vis the enemy was something he refused to see. His mistrust of his subordinate commanders prevented him from giving them, in the form of long-term directives, freedom of action, which they might put to a use that was
-
-not to his liking. The effect of this, however, was to do away with the very essence of leadership. In the long run even an army group could not get along without directives from the Supreme Command - certainly not when it formed part of a larger front and was bound to its neighbours on either flank. We often thought nostagically of our days in the Crimea, when we
-
-had been able to fight in a theatre all of our own.
-
-It still remains for me to show - in as far as I can do so from personal experience - what pattern the disputes took which inevitably arose between Hitler and the army leaders as a result of his attitude to questions of military leadership. Many of the accounts on record depict him as foaming at the mouth and even taking an occasional bite at the carpet. Although he did
-
-undoubtedly lose all self-control on occasions, the only time he ever raised his voice or behaved badly when I was present was during the episode with Haider which I have already
-
-mentioned.
-
-Hitler obviously sensed just how far he could afford to go with his interlocutor and what people he could hope to intimidate with outbursts of rage that may often have been simulated. I must say that as far as my own personal contacts with him went, he maintained appearances and kept things on a factual plane even when our views collided. On the one occasion when he did become personal, the extremely sharp retort it evoked was accepted in silence.
-
-Hitler had a masterly knack of psychologically adapting himself to the individual whom he wished to bring round to his point of view. In addition, of course, he always knew anyone's
-
-motive for coming to see him, and could thus have all his counter-arguments ready beforehand. His faculty for inspiring others with his own confidence - whether feigned or genuine - was quite remarkable. This particularly applied when officers who did not know him well came to see him from the front. In such cases a man who had set out to 'tell Hitler
-
-the truth about things out there' came back converted and bursting with confidence.
-
-In the various disputes I had with Hitler on operational matters in my capacity as an army group commander, what impressed me most was the incredible tenacity with which he would defend his point of view. There was almost invariably a tussle of several hours' duration
-
-before his visitor either attained his object or retired empty-handed, at best consoled with empty promises. I have known no other man who could show anything like the same staying power in a discussion of this kind. And while the maximum time involved in any dispute with a front-line commander would at worst be several hours, the Chief-of-Staff, General Zeitzler, often had to battle for days on end at the evening conferences in order to get Hitler to take the
-
-necessary action. Whenever one of these contests was in progress, we always used to ask
-
-Zeitzler what 'round' they had reached.
-
-Besides, the arguments with which Hitler defended his point of view - and I include the purely military ones here - were not usually of a kind that could be dismissed out of hand. After all, in any discussion of operational intentions one is almost always dealing with a matter whose outcome nobody can predict with absolute certainty. Nothing is certain in war, when all is
-
-said and done.
-
-Whenever Hitler perceived that he was not making any impression with his opinions on strategy, he immediately produced something from the political or economic sphere. Since he had a knowledge of the political and economic situations with which no front-line commander could compete, his arguments here were generally irrefutable. As a last resort all one could do was to insist that if he did not agree to the proposals or demands submitted to him, things would go wrong militarily and in turn have even worse repercussions in the political and
-
-economic fields.
-
-On the other hand, Hitler frequently showed himself to be a very good listener even when he did not like what was being asked of him, and on such occasions he was quite capable of
-
-objective discussion.
-
-Naturally no relationship of any intimacy could develop between this fanatical dictator — who thought only of his political aspirations and lived in a belief in his 'mission' — and the military leaders. The personal element obviously did not interest Hitler in the least. To him human beings were merely tools in the service of his political ambitions. From his own side there sprang no bond of loyalty to the German soldier.
-
-The ever-more-apparent defects in Germany's military leadership, some of which arose from Hitler's character and others from the quite impossible organization of the Supreme Command outlined earlier on, naturally raised the question of whether anything could be done to bring about a change. I prefer to leave the political aspects aside here - as indeed I have done
-
-everywhere else in this book.
-
-I made no less than three attempts, in the interest of a more rational conduct of the war, to
-
-persuade Hitler to accept some modification of the Supreme Command. From no other quarter, as far as I know, was the inadequacy of his military leadership ever put to him quite
-
-so bluntly.
-
-I was fully alive to the fact that Hitler would never be prepared to relinquish the supreme command officially. As a dictator he could not possibly have done so without suffering what for him would have been an intolerable loss of prestige. In my opinion everything depended, therefore, on persuading Hitler - while nominally retaining the position of Supreme Commander- to leave the conduct of military operations in all theatres of war to one responsible Chief-of-Staff and to appoint a special Commander-in-Chief for the Eastern theatre. These attempts of mine, which unfortunately proved unavailing, will be discussed
-
-further when I come to deal with the events of the years 1943-4. For me they were a particularly precarious undertaking, for Hitler knew full well that I was the very man many people in the army would like to see in the position of a proper Chief-of-Staff or as
-
-Commander-in-Chief in the east.
-
-It is not my intention here to go into the question of changing the leadership of the Reich by violent means, as exemplified by the events of 20th July 1944, although I may do so one day. Within the scope of these war memoirs it is enough to say that as one responsible for an army group in the field I did not feel I had the right to contemplate a coup d'etat in wartime because in my own view it would have led to an immediate collapse of the front and probably to chaos
-
-inside Germany. Apart from this, there was always the question of the military oath and the
-
-admissibility of murder for political motives.
-
-As I said at my trial: 'No senior military commander can for years on end expect his soldiers to lay down their lives for victory and then precipitate defeat by his own hand.'
-
-In any case, it was already clear by that time that not even a coup d'etat would make any difference to the Allied demand for unconditional surrender. At the time when I held a command we had not, to my mind, reached the point where such action had to be regarded as
-
-the only possible solution.
-
-12
-
-THE TRAGEDY OF STALINGRAD
-
-'Stranger! To Sparta say, her faithful band Here lie in death, remembering her command.'
-
-NEVER WILL these lines, telling of the heroism of the defenders of Thermopylae and ever after regarded as the song of praise to bravery, fidelity and soldierly obedience, be carved in stone at Stalingrad in memory of Sixth Army's martyrdom on the Volga. Nor is any cross or cenotaph likely to be raised over the vanished traces of the German soldiers who starved,
-
-froze and died there.
-
-Yet the memory of their indescribable suffering, their unparalleled heroism, fidelity, and devotion to duty will live on long after the victors' cries of triumph have died away and the bereaved, the dis-illusioned and the bitter at heart have fallen silent.
-
-The Battle of Stalingrad is understandably treated by the Soviets as the turning point of the war. The British ascribe similar importance to the Battle of Britain. The Americans are inclined to attribute the Allies' final success to their own entry into hostilities.
-
-In Germany, too, many people feel constrained to regard Stalingrad as the decisive battle of
-
-World War II.
-
-In point of fact not one of these individual events should really be rated as decisive. The outcome of the war was decided by a wealth of factors, the most significant of which was probably the hopelessly inferior position in which Germany ultimately found herself vis-a-vis her opponents in consequence of Hitler's policies and strategy.
-
-Stalingrad was certainly a turning point to the extent that the wave of German offensives broke on the Volga, to recede like a breaker on the ebbing tide. But grave though the loss of Sixth Army undoubtedly was, it still need not have meant that the war in the east — and ipso facto the war as a whole - was irretrievably lost. It would still have been conceivable to force a stalemate if Germany's policies and military leadership had been adapted to such a solution.
-
-THE WAY TO STALINGRAD
-
-The cause of Sixth Army's destruction at Stalingrad is obviously to be found in Hitler's refusal — doubtless mainly for reasons of prestige - to give up the city voluntarily.
-
-Yet the fact that Sixth Army could ever land in such a situation at all was due to the operational errors committed beforehand by the Supreme Command in the planning and execution of the 1942 offensive, most of all with regard to its final stages.
-
-The plight in which the German southern wing found itself in the late autumn of 1942 as a result of these mistakes will be dealt with in the chapter on the winter campaign of 1942-3. All I propose to do here is to bring out the points which settled the fate of Sixth Army.
-
-Thanks to the fact that Hitler's strategic objectives were governed chiefly by the needs of his
-
-war economy, the German offensive of 1942 had split into two different directions - the Caucasus and Stalingrad. By the time the German advance came to a halt, therefore, a front had emerged, to hold which there were not enough German forces available. To make things worse, no strategic reserve existed, the Supreme Command having squandered Eleventh Army in every conceivable direction immediately it became free in the Crimea.
-
-Army Group A — with its front facing south - was located in the north of the Caucasus between the Black Sea and the Caspian. Army Group B held a front facing east and north-east
-
-which began on the Volga south of Stalingrad and bent back north of the city to join the Middle Don, along which it continued to a point north of Voronezh. Neither of the two army groups was strong enough to hold fronts of this length, particularly if one bore in mind that despite its heavy losses the enemy's southern wing had been able to avoid destruction and was not really beaten at all. Apart from this, the enemy had very strong strategic reserves in his other sectors, as well as in the hinterland. Last but not least, a gap 190 miles wide yawned between the two army groups in the Kalmyk Steppes, guarded only by the quite inadequate resources of one division (16 Motorized) based on Yelista.
-
-The attempt to hold this over-extended front for any length of time constituted the first of the mistakes which were to plunge Sixth Army into its desperate situation at the end of November
-
-1942.
-
-The second and even more fatal mistake was that Hitler compelled Army Group B to tie down
-
-its principal striking force, Fourth Panzer and Sixth Armies, in the fighting in and around Stalingrad. The job of protecting the deep northern flank of this group along the Don was left to Third Rumanian Army, one Italian and one Hungarian army and, in the Voronezh sector, to the weak Second German Army. Hitler must have known that even behind the Don the allied armies could not stand up to a strong Soviet attack. The same was true of Fourth Rumanian Army, which he had entrusted with the task of guarding the open right flank of Fourth Panzer
-
-Army.
-
-The attempt to gain control of the Volga by taking Stalingrad in a set battle after the original assault had been only partially successful would at best have been admissible on a very short-term basis. But to leave the main body of the Army Group at Stalingrad for weeks on end with inadequately protected flanks was a cardinal error. It amounted to nothing less than presenting the enemy with the initiative we ourselves had resigned on the whole southern wing, and was a clear invitation to him to surround Sixth Army.
-
-A third mistake was the utterly grotesque chain of command on the German southern wing.
-
-Army Group A had no commander of its own whatever. It was commanded by Hitler in what
-
-might be called a part-time capacity.
-
-Army Group B had no fewer than seven armies under command, including four allied ones. No army group headquarters can cope with more than five armies at the outside, and when most of these are allied ones, the task inevitably becomes too much for it. H.Q. Army Group B had quite rightly established itself at Starobyelsk, behind the defensive front on the Don, in
-
-order to keep a better eye on the allied armies. The choice of this location, however, also meant that the headquarters was much too distant from the right wing of its sector. Another factor was that by his frequent interference in the conduct of operations Hitler largely deprived the Army Group Headquarters of control of Sixth Army.
-
-It is true that O.K.H. had recognized these command problems and made plans to create a new Don Army Group under Marshal Antonescu. The new headquarters had not been set up, however, as Hitler first wished to see Stalingrad fall. This failure to use the Rumanian Marshal was a serious mistake. Admittedly his capacity for command was untried so far, but he was certainly a good soldier. In any case, his presence would have lent greater weight to our calls for further forces to guard the flanks of the Stalingrad front. He was, after all, a Head of State and an ally to whom Hitler had to pay greater heed than to German army group and army commanders. Above all, Antonescu's personality would have served to brace up the senior Rumanian commanders, who respected this man no less than they did the Russians.
-
-It was clear from an impassioned letter he wrote me after my assumption of command that the Marshal had on several occasions called attention to the dangers of the situation in general and that of Third Rumanian Army in particular. As long as he did not hold a responsible command at the front, however, these comments of his inevitably lacked the emphasis they would have carried if uttered by a Head of State simultaneously answerable for the sector that was threatened. It was equally clear that neither Army Group B nor Sixth Army had failed to
-
-give warning of the big offensive the enemy was preparing to launch against the covering
-
-fronts on each side of Stalingrad.
-
-Finally, mention should be made of a fact which had grave repercussions on the position of Sixth Army and the entire southern wing. The whole of Army Group A, as well as Fourth Panzer and Sixth Armies, Third and Fourth Rumanian Armies and the Italian Army, were based on a single Dnieper crossing, the railway bridge at Dnepropetrovsk. The repair of the Zaporozhye railway bridge and the link across the Ukraine through Nikolayev and Kherson to the Crimea and thence across the Straits of Kerch had either been discontinued or was not yet complete. The north-to-south link behind the German lines was equally unsatisfactory. When it came to bringing up fresh troops or quickly switching forces behind the front, therefore, the German Supreme Command found itself at a permanent disadvantage vis-a-vis the enemy, who had much more efficient communications at his disposal in every direction.
-
-Every Commander-in-Chief must run risks if he wants to succeed. The risk undertaken by the Supreme Command in the late autumn of 1942, however, should never have consisted in tying down the most hard-hitting forces of Army Group B at Stalingrad over a long period in which
-
-it was content to leave the Don front covered by such an easily destructible screen. One possible argument in the Supreme Command's favour is that it was quite unprepared for the allied armies to break down so completely. Yet the Rumanians, who were still the best of our allies, fought exactly as our experiences in the Crimea implied they would. Any illusions about the Italians' fighting capacities, of course, were inexcusable from the start.
-
-The risk which the German command ought to have taken, after the summer offensive had merely won us more territory without bringing about the decisive defeat of the Soviet southern wing, consisted in returning to mobile operations between the Caucasus and middle reaches of the Don - with due advantage being taken of the large bend of the river— in order to prevent the enemy from attaining the initiative. But to substitute one risk for another was not in keeping with Hitler's mentality. By failing to take appropriate action after his offensive had petered out without achieving anything definite, he paved the way to the tragedy of
-
-Stalingrad!
-
-DEVELOPMENT OF THE SITUATION AROUND STALINGRAD UP TO MY TAKE-OVER OF DON ARMY GROUP
-
-The O.K.H. order received by Eleventh Army Headquarters on 21st November in the Vitebsk
-
-area laid down that for the purpose of stricter co-ordination of the armies involved in the arduous defensive battles to the west and south of Stalingrad, we were to take over command of Fourth Panzer Army, Sixth Army and Third Rumanian Army as H.Q. Don Army Group . Since we lacked a quartermaster-general's branch, we were to be joined by the one already
-
-formed for Marshal Antonescu. It was headed by Colonel Finkh, a General Staff officer whose soundness of character was matched only by his extraordinary talent for organizing supply and transport, and who in due course mastered all the supply difficulties with which the Army Group constantly found itself confronted. The airlift to Sixth Army, unfortunately, was outside his control. After my recall in April 1944 Colonel Finkh was transferred to the staff of the Commander-in-Chief in the west, where, I am told, he soon had supply and transport in a state as near perfection as the enemy's complete domination of the skies permitted. As one of the men implicated in the conspiracy against Hitler, he was executed
-
-after 20th July 1944.
-
-Don Army Group's task, as defined in the O.K.H. order, was 'to bring the enemy attacks to a standstill and recapture the positions previously occupied by us'.
-
-Initially the only reinforcements promised us were a corps headquarters and a division which were to be moved up to Millerovo, behind the future right wing of Army Group B.
-
-It may be gathered from the wording of our task and the insignificance of the proposed reinforcements that when issuing this order O.K.H. still did not realize the danger of the situation around Stalingrad, although the ring had closed around Sixth Army that very day.
-
-Further information was forthcoming in Vitebsk and during a train stop when I was able to talk to Field-Marshal v. Kluge and his Chief-of-Staff, General Wohler. From this I gathered that the enemy had broken through Third Rumanian Army's front on the Don north-west of Stalingrad in very great strength. Between one and two Soviet tank armies were involved, in addition to a great deal of cavalry - in all some thirty formations. The same thing had happened south of Stalingrad to Fourth Rumanian Army, which was under command of
-
-Fourth Panzer Army.
-
-Before leaving Vitebsk, therefore, I sent the Chief of the General Staff a teleprinter message pointing out that in view of the magnitude of the enemy effort, our task at Stalingrad could not be merely a matter of regaining a fortified stretch of front. What we should need to restore the situation would be forces amounting to an army in strength - none of which, if possible, should be used for a counter-offensive until their assembly was fully complete.
-
-General Zeitzler agreed with me, and promised to try to let us have an armoured division and two or three infantry divisions by way of addition.
-
-I also teleprinted a request to Army Group B that Sixth Army be instructed to withdraw forces quite ruthlessly from its defence fronts in order to keep its rear free at the Don crossing at Kalach. Whether this instruction was ever passed to Sixth Army I have been unable to
-
-discover.
-
-Not until we arrived at H.Q. Army Group B in Starobyelsk on 24th November did we obtain a clear picture of recent events and the current situation from the commander, Colonel-General Baron v. Weichs, and his Chief-of-Staff, General v. Sodenstern.
-
-In the early hours of 19th November, after a tremendous artillery barrage, the enemy had broken out of his Don bridgehead at Kremenskaya and had also crossed the river further west to attack both the left wing of Sixth Army (11 Corps) and Third Rumanian Army (4 and 5 Rumanian Corps). Simultaneously he had launched a strong attack against Fourth Panzer Army (Colonel-General Hoth) south of Stalingrad, where it was intermingled with Fourth Rumanian Army. While the left wing of Sixth Army had held firm, the enemy had been able to overrun the Rumanians completely on both fronts. At each of the two points of penetration strong Soviet tank forces had immediately pushed through in depth - just as we had taught
-
-them to do.
-
-By an early hour on 21st November they had already linked up on the Don at Kalach, where the bridge so vital for the supply of Sixth Army had fallen into their hands intact. Since the forenoon of that day, therefore, the ring had been closed around Sixth Army and the German and Rumanian elements of Fourth Panzer Army which had been squeezed back into the
-
-pocket from the area south of Stalingrad. The encircled troops included five German corps totalling twenty divisions, two Rumanian corps, the mass of the army artillery not on the Leningrad front and large numbers of army engineer units. Even later on the Army Group was unable to obtain any exact data on the sum total of German soldiers trapped in the pocket. The returns sent in by Sixth Army fluctuated between 200,000 and 270,000 men, but it must be remembered here that the stated ration strengths included not only the Rumanian troops but also many thousand indigenous volunteers - the so-called 'Hiwis' - and prisoners-of-war. The most commonly quoted figure of over 300,000 is undoubtedly exaggerated. Various communications-zone troops were left outside the pocket, as were part of the B-echelon transport, a number of the wounded, and all ranks on leave. These residual elements, which later formed the cadres with which most of the Sixth Army divisions were reconstituted, still amounted to anything between 1,500 and 3,000 men per division. If one bears in mind that the divisions of Sixth Army had already fallen off in strength in November, the estimate that there were 200,000-220,000 men in the pocket, even allowing for the strong complement of army artillery and engineers, is probably fairly accurate.
-
-The situation on 24th November was approximately as follows:
-
-The only intact formations left to Fourth Panzer Army were 16 Motorized Division on its
-
-southern wing - widely extended across the steppes on both sides of Yelista - and 18 Rumanian Division on the northern side. All the other Rumanians had either been thrown back into Stalingrad or overrun. With what remnants of the Rumanian units it could scrape together, plus various German communications-zone troops, the army tried to hold an emergency defence line forward of Kotelnikovo and was not attacked again for the time being. What was left of Fourth Rumanian Army (including the headquarters) was placed under command of Colonel-General Hoth. After the Rumanian collapse, his 4 Corps, which had been part of the front south of Stalingrad, had swung back on to a front south and southwest of Stalingrad and had come under command of Sixth Army.
-
-Sixth Army, consisting of 4, 8, 11 and 51 Army Corps and 14 Panzer Corps, was surrounded at Stalingrad. It had taken 11 Corps and elements of 8 Corps out of the front facing north on both sides of the Don and put them into the pocket's newly formed western front, the salient tip of which reached to a point east of the Kalach bridge. A new southern front had been formed out of reserves and those elements of Fourth Panzer (or Fourth Rumanian) Army which had been thrown back to Stalingrad. The pocket measured about 30 miles across from
-
-east to west and 25 miles from north to south.
-
-Both wings of Third Rumanian Army had been broken through. In its centre a group of about three divisions under the same General Lascar who had distinguished himself at Sevastopol had put up a brave resistance, but they had since been surrounded and were now thought to
-
-have been captured.
-
-48 Panzer Corps, which had been in reserve behind the front facing the Don bridgehead, had
-
-launched what appears to have been a belated counter-attack, but this had proved unsuccessful. Both its divisions were now encircled and under orders to fight their way out to
-
-the west. The corps commander, General Heim, had already been replaced on orders from Hitler and summoned to the latter's headquarters. There Hitler had him sentenced to death at a court-martial presided over by Goring, who was always available for tasks of this kind, on the ground that he, General Heim, was to blame for his corps' failure. Heim was later rehabilitated when it was found that his forces had indeed been too weak for the task confronting them. 48
-
-Corps consisted of the newly formed Rumanian armoured division, which had had no battle experience whatever, and 22 Panzer Division, which had obviously not been up to standard
-
-from a technical point of view.
-
-For all practical purposes Third Rumanian Army had only about three divisions still in existence. They were those of 1 and 2 Rumanian Corps, which had not been drawn into the battle and were located next to the Italians on the Don.
-
-In the opinion of Army Group B, Sixth Army had at most two days' ammunition and six days'
-
-rations left. (These estimates were subsequently found to have been too low.) The airlift to date - insofar as the weather had permitted one to operate at all - had provided only one tenth of the army's requirements of ammunition and fuel. One hundred Junkers aircraft (equivalent to a working load of 200 tons less the inevitable losses) had been promised, and others were
-
-to follow.
-
-Intelligence reports showed that the enemy had poured some twenty-four formations (i.e. divisions and armoured or mechanized brigades) through the gap he had torn in the front south of Stalingrad. These had then wheeled north against the southern flank of Sixth Army,
-
-which they were fiercely attacking.
-
-From the point where he had penetrated Third Rumanian Army, the enemy had also pushed about twenty-four formations through towards Kalach in the rear of Sixth Army. About
-
-twenty-three more had been reported further west, advancing south and south-west towards the Chir. In addition, there were the Soviet troops in Stalingrad who had held out all along
-
-against Sixth Army's attacks and were now being reinforced across the Volga, as well as the
-
-superior forces still opposite the northern front of Sixth Army between the Volga and Don.
-
-Finally, there was no doubt that the enemy was continuously bringing up reinforcements by rail. Even by 28th November a total of 143 major formations (i.e. divisions, armoured brigades, etc.) had been identified in the operations area of the new Don Army Group.
-
-The forces to form Don Army Group under my command were as follows. First there was Sixth Army, surrounded at Stalingrad by an enemy roughly three times as strong, and composed of twenty very tired German and two Rumanian divisions. Its stocks of ammunition, fuel and food were running low, and there was no steady inflow of supplies to build them up again. Quite apart from the fact that it was surrounded, the army enjoyed no operational freedom whatever, having received categoric orders from Hitler to hold fast to the 'fortress of Stalingrad'. Next came the remnants of Fourth Panzer Army and the two Rumanian armies. The best forces we possessed at present were one hitherto untouched German division (16 Motorized) - which could not be withdrawn from its defensive positions out in the steppes because it constituted Army Group A's only cover from the rear - and four still intact Rumanian divisions, whose combat value was unquestionably inferior to that of the
-
-Russians.
-
-Sixth Army's subordination to H.Q. Don Army Group was more or less a fiction, however, for in practice it had hitherto come directly under O.K.H. It was Hitler who had tied it down at Stalingrad when it might still have been able to fight its own way out. Now, operationally speaking, it was immobilized. The Army Group could no longer 'command' it, but merely
-
-give it assistance.
-
-Besides, Hitler was still maintaining his direct control of Sixth Army by a General Staff liaison officer who was installed with his own signals section at Sixth Army Headquarters. Even in the matter of supplies Hitler had the final say, since he alone had the means at his disposal to maintain the army from the air. Strictly speaking, therefore, I should have been right to decline to have Sixth Army in my Army Group and to insist that it formally remain under the direct orders of O.K.H. I did not do so at the time because I hoped that I should be in a better position than O.K.H. to ensure the direct co-operation of the relieving forces with the encircled army. Why this co-operation did not materialize in the decisive phase will be
-
-shown later.
-
-Apart from Sixth Army — which, being surrounded, was unusable in the operational sense -all that Don Army Group found awaiting it initially were mere remnants.
-
-It was envisaged that the Army Group should receive the following new forces, to be
-
-allocated as below:
-
-Forces From To Role
-
-H.Q. 57 Corps 23 Panzer
-
-Division J Army Group Strong army A artillery
-
-j* Fourth Pz. Relief drive on Stalingrad from south Army
-
-6 Panzer Division (Recently brought j Wegt up to strength)
-
-One corps H.Q. Third Rum. To relieve Stalingrad by advance
-
-Four/five i Army (left eastwards from Upper Chir as Army
-
-divisions wing) Detachment Hollidt
-
-At H.Q. Army Group B I was shown a message which General Paulus, the commander of Sixth Army, had radioed to Hitler on - to the best of my recollection- 22nd or 23rd November, It stated that he and all his corps commanders considered it absolutely imperative that the army should break out to the south-west. To raise the forces needed for such an operation, however, he would have to shift certain formations around inside the army and, for the purpose of economizing in troops, take his northern front back on to a shorter line. The view taken at Army Group Headquarters was that even if Hitler had given immediate approval, no break-out could have started before 28th November.
-
-However, Hitler had turned the request down and forbidden any retraction of the northern front. To make his point quite clear, he had entrusted General v. Seydlitz with command of
-
-the whole front in question.
-
-The staff of Don Army Group had neither the time nor the opportunity to retrace past events in Sixth Army. Evidently General Paulus did everything possible, within the limits of Hitler's order binding him to Stalingrad, to extract forces from those of his army fronts which were not so seriously threatened in the first instance. By pulling in 4 Corps of Fourth Panzer Army he was able to assemble a new front on his open south flank. Furthermore, he tried to keep his rear free by throwing 14 Panzer Corps from the eastern to the western bank of the Don. Unfortunately it ran into superior Soviet forces west of the river. At the very same time 11 Corps - which was still holding its position west of the Don with a front facing north — was attacked in the rear. This situation led Sixth Army to pull both corps back into a bridgehead west of the Don and subsequently across the river to the east, so that it could form an all-round front between the Don and Volga.
-
-Although these measures prevented Sixth Army from being plunged into the vortex of defeat which had engulfed its neighbours, they also inevitably led to its encirclement.
-
-What must be made perfectly clear, on the other hand, is that it was the Supreme Command's
-
-business to issue an order affording Sixth Army the opportunity to acquire operational elbow-room and thereby to avoid being surrounded. A far-sighted leader would have realized from
-
-the start that to mass the whole of the German assault forces in and around Stalingrad without adequate flank protection placed them in mortal danger of being enveloped as soon as the enemy broke through the adjacent fronts. When the Soviets unleashed their big offensive across the Don and south of Stalingrad on 19th November, the German leaders must have known what was coming. From that moment onwards it was inadmissible to wait until the
-
-enemy had overrun the Rumanians, for even if their armies had not been carved up so quickly, it would still have been necessary to use Sixth Army in a mobile role in order to master the situation on the southern wing of Army Group B. By the evening of 19th November at the latest, therefore, O.K.H. should have given Sixth Army fresh orders allowing it freedom to
-
-manoeuvre.
-
-Without going into the details of the first few days of the Soviet offensive, one may safely say that the encirclement of Sixth Army could only have been prevented if the latter had attempted a break-out in the very early stages, either by crossing the Don to the west or by striking south-west along the east side of the river. The onus of ordering it to do so lay with the Supreme Command. While General Paulus should certainly have taken his own decision to disengage from Stalingrad, he could hardly have done so as early as O.K.H., not being briefed, as the latter was, on the situation in the neighbouring army areas. By 22nd or 23rd November, when he did ask for permission to break out, the vital hour may already have been missed. The fact that it was a serious psychological error to put this request to Hitler at all is another matter. Paulus had been acquainted with Hitler's views on the war in the east since the winter of 1941, when he had been Oberquartiermeister I at O.K.H. He was aware that Hitler credited himself with having saved the German Army from the disaster of a Napoleonic retreat that winter by ordering every foot of ground to be held. He must have realized that after Hitler's remarks about Stalingrad in his Sportpalast speech, the dictator would never agree to evacuation. The city's name was too closely bound up with his own military
-
-reputation.
-
-Thus the only solution would have been to confront him with the fait accompli of the army's
-
-disengagement from Stalingrad.
-
-It is conceivable, of course, that such action might have cost Paulus his head. Yet no one must think that it was any fear of what might happen to him personally that kept Paulus from taking things into his own hands and doing what he believed to be right. It is more likely to have
-
-been loyalty to Hitler which impelled him to try to get the army's break-out authorized, particularly as he was in direct touch with O.K.H. by radio. And, as I have already pointed out, he can hardly have had a sufficiently clear picture of the overall situation. The difficulty of deciding to act on his own initiative may also have been increased by the fact that a breakout would momentarily have meant a bigger risk to the army than forming a hedgehog
-
-position in Stalingrad.
-
-DON ARMY GROUP'S APPRECIATION OF THE SITUATION ON 24TH
-
-NOVEMBER
-
-For the time being H.Q. Don Army Group was unable to take a hand in events by issuing any orders of its own. It could not take over its full responsibilities until such time as I arrived in Novocherkask, the place earmarked as our headquarters location, with a reasonably complete operations staff, and the necessary channels of communication had been established. Neither
-
-would be the case for some days yet. (For one thing, our aircraft had been grounded by a blizzard in the central sector, as a result of which we were having to continue the journey by
-
-train.)
-
-Nonetheless, as the future commander of the Army Group, I had to make up my mind on one thing straight away on the basis of the situation report given to us on 24th November. Ought Sixth Army, if possible, to effect a break-out even at this late stage, or would it not be better,
-
-now that the first chance of doing so had undoubtedly been missed, to wait until a relief force
-
-could drive out to meet it?
-
-After careful reflection, and in complete agreement with my Chief-of-Staff, General Schulz, and the Chief of Operations, Colonel Busse, I came to this conclusion:
-
-The enemy would in the first instance do everything in his power to destroy the encircled Sixth Army. At the same time we had to bear in mind the possibility that he would try to exploit the collapse of Third Rumanian Army by pushing mechanized forces across the large
-
-bend of the Don towards Rostov, where he was offered the prospect of cutting off the rear communications not only of Sixth and Fourth Panzer Armies but also of Army Group A. The forces at the enemy's disposal - which he could doubtless augment by road and rail transport -would allow him to pursue the two aims simultaneously.
-
-I further concluded that the Army Group's foremost task must in any case be the liberation of Sixth Army. On the one hand, the fate of 200,000 German soldiers was at stake. On the other, unless the army were kept in existence and ultimately set free, there could hardly be any hope
-
-of restoring the situation on the right wing of the Eastern Front. One thing was clear: even if we were able to raise the siege and reestablish contact, Sixth Army must on no account be left
-
-at Stalingrad. The city's prestige value as far as we were concerned was non-existent. On the contrary, if we should succeed in getting the army out, it would be urgently needed to give the
-
-maximum possible help in stabilizing the situation on the southern wing sufficiently to bring
-
-us safely through the winter.
-
-The immediate question, however, was whether Sixth Army, having once missed its real opportunity to break out, should try to do so at this particular moment. As two days had
-
-passed since General Paulus's request to Hitler, the attempt could not, according to Army Group B, begin before 29th or 30th November. By then the enemy would already have had more than a week in which to tighten his hold on the pocket.
-
-The army would have the choice of only two escape routes, and in either case the enemy would be ready for it. One possibility was to break out towards the Don crossing at Kalach. But even if the army managed to pierce the encircling ring in this direction, there would still be the Don to bar its passage. Although most of the ammunition would have been expended on the original breakthrough, the army would now have to force a crossing against the powerful forces advancing west of the river towards the Lower Chir against negligible opposition. Its prospects of getting across, when it was short of ammunition and hard pressed by the enemy from north, east and south, seemed more than doubtful.
-
-Conditions might be slightly better if Sixth Army were to try to break through to the remnants of Fourth Panzer Army by moving in a south-westerly direction east of the Don - though here,
-
-too, the enemy would be ready for it. The objection in this case was that even if the actual breakthrough were successful, the army could not count on there being any German forces to meet it in the first instance. On its heels would be the Soviet armies now opposite its eastern, northern, and western fronts around Stalingrad, while west of the river the enemy would be able to follow it southwards and forestall all its attempts to effect a crossing to the west. Most
-
-probably the army would sooner or later have no choice but to stand and fight out in the steppes without adequate supplies of ammunition, fuel, or food! Some elements, such as tank
-
-units, might possibly get away, but the fate of the army as a whole would be sealed. The Soviet forces it had been engaging till then would be released, and this in turn was likely to lead to the destruction of the German armies' entire southern wing - including Army Group A,
-
-which was still out in the Caucasus.
-
-For the sake of both Sixth Army and the situation on the southern wing generally, our aim had to be to get the former out of the pocket intact and in fighting trim. This might have been done already if the Supreme Command had granted it operational freedom as soon as the danger of its encirclement became apparent. By now, however, it seemed too late for the army to break free and remain fit for further action without the extraneous help of relief forces.
-
-On the other hand, it could be assumed that once the two relief groups moved off, Sixth Army's position would be substantially easier in the operational sense, even if not for the initial breakthrough. Once the enemy advancing west of the Don were engaged by other forces, Sixth Army would at least be spared the prospect of having to fight that particular opponent. And if, at the same time as Sixth Army moved off, the other relief group were to thrust into the rear of the Soviet siege front east of the Don, the enemy would be compelled to weaken the latter and thereby to facilitate the beleaguered army's initial breakthrough.
-
-[Although the Hollidt relief group was finally never committed in that role, it did in fact tie down the Soviet forces operating west of the Don. The advance of Fourth Panzer Army, on the other hand, forced the enemy to weaken his front around Stalingrad considerably. Author.]
-
-At the same time the fact had to be faced that any delay was dangerous, since it would give the enemy time to consolidate his siege front. Such a risk could only be entertained if the Supreme Command guaranteed to supply Sixth Army by air for as long as was needed to
-
-Such was the premise for not now resorting to the desperate solution of an isolated break-out by Sixth Army but for awaiting a fresh opportunity. This would present itself as soon as the
-
-relief groups could go in.
-
-In the light of the foregoing I informed the Chief-of-Staff of the Army by telephone that the
-
-Army Group's views were as follows:
-
-A break-out by Sixth Army to the south-west was probably still possible even now. To leave the army at Stalingrad any longer constituted an extreme risk, in view of the ammunition and
-
-fuel shortage.
-
-Nevertheless, since we considered that the best chance for an independent break-out had already been missed, it was preferable from the operational point of view at the present time to wait until the projected relief groups could come to the army's aid - always assuming that an adequate airlift could be counted upon. The latter factor, we emphasized, was absolutely
-
-decisive.
-
-The relief operation could be launched with the forces due to arrive at the beginning of December. To achieve real effect, however, it would require a steady flow of further reinforcements, as the enemy would also be throwing in powerful forces on his own side.
-
-An isolated break-out by Sixth Army might still become necessary if strong enemy pressure were to prevent us from deploying these new forces.
-
-An absolute prerequisite for accepting the risk of not making an immediate break-out from Stalingrad was that Sixth Army should daily receive 400 tons of supplies by air.
-
-[Four hundred tons daily was the army's minimum requirement of vehicle fuel and infantry and armour-piercing ammunition. After the ration stocks, etc., had been exhausted, this basic
-
-minimum rose to 550 tons. Author.]
-
-I made it perfectly clear in this conversation that unless the delivery of supplies could be guaranteed, one could not risk leaving Sixth Army in its present situation any longer, however
-
-temporarily.
-
-Anyone who witnessed the subsequent tragedy of Stalingrad—Hitler's mulish determination to hold on to the city, O.K.H.'s deliberate failure to take the very last chance offered to it (a subject on which more will be said in due course), the delays which occurred in assembling the relief group of Fourth Panzer Army, and the Soviet breakthrough on the Italian front
-
-which rendered Army Detachment Hollidt incapable of any action to relieve Stalingrad - will conclude that it would have been better to insist on an immediate break-out by Sixth Army.
-
-It is fair to assume that at least some elements of the besieged formation would have managed to fight their way through to the remnants of Fourth Panzer Army - certainly the tank units and probably a number of the infantry battalions, too.
-
-On the other hand, it is unlikely that the army would have remained capable of operating as a formation. Things had already taken too ominous a turn by the earliest date at which a
-
-breakout could have been attempted.
-
-Yet at the same time as the extricated elements of Sixth Army might have been joining Fourth
-
-Panzer Army, the entire enemy siege forces would have been released. With that, in all probability, the fate of the whole southern wing of the German forces in the east would have
-
-been sealed - including Army Group A.
-
-I would nonetheless emphasize that the latter consideration played absolutely no part in shaping our appreciation of 24th November. Far from wanting to sacrifice Sixth Army in the interest of saving the southern wing, we hoped that it would have a better chance of escape when working in conjunction with the two groups earmarked for its relief than if it tried - at
-
-this late stage — to break out on its own.
-
-My staff and I were actuated by the hope of extricating not mere military debris but a complete army which would still be fit for further operations. It goes without saying that the name of Stalingrad and the prestige factor cut no ice with us whatever.
-
-That day, therefore, we refrained from presenting Hitler with a final demand for the break-out of Sixth Army or from ordering it on our own responsibility. One might add here that General Paulus, faced with the dilemma of whether to obey Hitler or the headquarters of his Army Group, would hardly have been able to opt for the latter.
-
-For the rest, it was perfectly clear to us that even if the relief groups were able to get through
-
-to Sixth Army, the latter could not possibly be left at Stalingrad any longer. The essential thing to ensure was that it retained as much of its fighting power as possible in the meantime. It was much more likely to achieve this in the Stalingrad area — provided that it were properly supplied from the air - than if it were caught out in the steppes while trying to
-
-escape.
-
-The criterion of whether Sixth Army could be freed in this way was twofold, however.
-
-First, would the Luftwaffe be in a position to meet the army's vital needs? Secondly, could the Supreme Command furnish further relief forces- and if so, would it be prepared to do so? Both questions were clearly expressed in our message to O.K.H. Only Hitler, who as Commander-in-Chief of the Wehrmacht had power over all forces of the army and Luftwaffe in every theatre of war, was able to judge what the prospects were and take the appropriate decision. If the decision were an affirmative one, we should be justified in shelving the desperate measure of an isolated break-out and in leaving the army at Stalingrad.
-
-Should Hitler, however, be unwilling to commit every available man to the relief of Stalingrad while there was still time, or should he indulge, against his better judgement, in illusions about the capacities of the Luftwaffe, he would be guilty of dire irresponsibility. The same may be said of those who— as it later turned out— awakened and fortified such beliefs in him or who would not understand that the fate of Sixth Army must have precedence over
-
-the demands of all other theatres.
-
-That Goring would commit the supreme frivolity of promising an adequate airlift and then not even lay himself out to produce at least what he had available was something no soldier could
-
-foresee.
-
-Neither, however, did we foresee to what extent Hitler would ignore all factual considerations in favour of his 'hold-or-bust' theory. Who could suppose that he would accept the loss of a whole army for the sake of the name of Stalingrad?
-
-FIRST IMPRESSIONS AND DECISIONS
-
-On the afternoon of 24th November we continued the journey from Starobyelsk to Novocherkask. Ten years before I had travelled down the same line to Rostov to attend the manoeuvres of the Red Army in the Caucasus. On that earlier occasion all sorts of interesting impressions had lain ahead of me; today it was a mission as to the gravity of which my staff and I had no illusions. Time and again our thoughts went out to our beleaguered comrades at Stalingrad, despite the efforts of my A.D.C., Lieutenant Stahlberg, to divert us with good gramophone music and talk of other problems.
-
-He had joined our staff after the death of'Pepo', having been brought to me by my former colleague Tresckow, whose nephew he was. Stahlberg remained my constant companion till the end of the war. Throughout those years he was a faithful assistant to me in all personal
-
-matters.
-
-On the morning of 26th November I broke my journey in Rostov to see General Hauffe, the Head of the German Military Mission to Rumania, who had originally been designated as the German Chief-of-Staff of Antonescu's Army Group. He painted a most disagreeable picture of the state of the two Rumanian armies on the Stalingrad front. Of their twenty-two original divisions, he told us, nine were completely wiped out, nine had run away and could not be sent into action for the time being, and four were still fit for battle. Given time, however, he hoped to form a few extra formations out of the wreckage.
-
-The antithesis to Hauffe's report was provided by a letter written to me by Marshal Antonescu. He had some bitter things to say about the Supreme Command, which he accused of not paying enough attention to his frequent warnings regarding the mounting danger in the Krementskaya bridgehead opposite Third Rumanian Army's front. He also complained of the way his own assumption of command had been repeatedly postponed.
-
-With every justification, moreover, the Marshal pointed out that of all Germany's allies, Rumania and he personally had done most for the common cause. Of his own accord he had made twenty-two divisions available for the 1942 campaign and-unlike Italy or Hungary-had unreservedly placed these under German command, despite not being bound to the Reich by
-
-any obligation of a contractual nature.
-
-His letter voiced the justified disillusionment of a soldier who sees his troops lost through the
-
-mistakes of others.
-
-Inwardly I could not dispute the justness of the Marshal's criticisms. I wrote to tell him that as one who had not previously been involved in the events in question, I was unable to comment
-
-on his strictures myself and had passed his letter on to Hitler - at whom, of course, I knew them to be aimed. It could certainly do Hitler no harm to have to read such unvarnished
-
-criticism by his most loyal ally. Besides, the letter touched on a political question: that of confidence between allies. Antonescu mentioned that his mortal enemy, the leader of the Iron Guard, had been put beyond his reach by Himmler and was now being kept in Germany 'for a
-
-rainy day'. The Iron Guard, a radical political organization, had earlier staged a putsch against the Antonescu regime and initially succeeded in surrounding the Marshal's official residence.
-
-Though the Marshal had ultimately been able to put down the rising, the Iron Guard leader had escaped abroad. It was understandable that Antonescu should consider himself disloyally treated when Himmler now held a protecting hand over this man. Such underhand tactics were hardly conducive to the strengthening of an alliance.
-
-Antonescu's original reason for writing to me was to complain that German officers and men, in both their official and unofficial capacities, had been guilty of roughly handling Rumanian soldiers and passing defamatory remarks about them. Although such occurrences could be
-
-accounted for by recent events and the poor showing made by many Rumanian units, I naturally took immediate action. However much one might sympathize with the indignation of German troops who had been left in the lurch by neighbouring units, incidents of this kind
-
-could only damage our common cause.
-
-I have already shown what could and could not be expected of Rumanian troops in various situations. But they were still our best allies and did fight bravely in many places.
-
-On 26th November we arrived at our new headquarters in Novocherkask. The only guard unit available was a battalion of Cossack volunteers, who obviously considered it a special honour to do sentry duty in front of our office building. As our main channels of communication were ready the next night, we were able to take over command of Don Army Group on the morning
-
-of 27th November.
-
-The task confronting us was a two-sided one. Its chief feature, and the one on which everything depended, was the relief and rescue of Sixth Army. Apart from being a priority in the humane sense, this was also vital from the operational point of view, first and foremost because there could be hardly any hope of restoring the situation on the southern wing of the Eastern Front - or, indeed, in the eastern theatre as a whole - unless the forces of Sixth Army
-
-were preserved.
-
-The other side of the task - and this had to be borne in mind throughout - was the already existing danger that the entire southern wing of the German armies would be destroyed. If this were allowed to happen, it would most probably be the end of the struggle in the east and consequently lose us the war. Should the Russians succeed in tearing through the flimsy screen - for the moment consisting mainly of Rumanian remnants and German B-echelon troops and emergency units - which, leaving aside the so-called Fortress of Stalingrad, constituted the sole protection of the whole operational area between the rear of Army Group A and the still-existing Don front, not only Sixth Army's position would be hopeless. That of Army Group A, as well, would become more than critical.
-
-[Ad hoc units formed from non-combat units, headquarters staffs, Luftwaffe troops and Army
-
-personnel who had been on the way back to their parent units from privilege or sick leave. These 'emergency units' lacked cohesion, seasoned officers and weapons (especially anti-tank protection and artillery), and most of them had had little or no battle experience or training in close combat. Their fighting value was therefore low. Nonetheless, after being welded together for a period in action they often fought outstandingly well. Author.]
-
-It was thanks to the Commander of Fourth Panzer Army, Colonel-General Hoth, and the recently appointed Chief-of-Staff of Third Rumanian Army, Colonel Wenck, that we ever succeeded at all, in the critical days at the end of November, in raising the screens which, by
-
-covering the enormous gaps between Sixth Army, Army Group A and the Don front, prevented any exploitation of the situation by the Russians. Had the enemy been able at that
-
-time to thrust a fast-moving army down to the lower Don at Rostov - which he was undoubtedly strong enough to do - the loss of Army Group A as well as Sixth Army would
-
-have become quite conceivable.
-
-But even though this mortal threat to the southern wing remained constantly present, the Army Group did not allow one single man or round of ammunition needed for the rescue of
-
-Sixth Army to be diverted from that task. As long as there was the remotest prospect of success, it went to the very limit of its powers and resources to bring off the attempted relief. To do so it had to accept the greatest imaginable risks.
-
-The fact that we ultimately failed in our mission was primarily due to the extraordinary preponderance of the enemy's forces and the deficient strength of our own. Further handicaps were created by weather conditions, which greatly hampered the activities of the Luftwaffe, particularly in supplying Sixth Army, and by the transport position, which did not permit the relief forces to be brought into action quickly enough.
-
-Furthermore, we now experienced for the first time the inhibitions which emanated from the
-
-German Supreme Command and had their origin in Hitler's personality, opinions and character. These have already been described in the chapter on Hitler's military leadership. Their effect in this case was that the Supreme Command would not run the risk of setbacks on other fronts in order to put everything it had into the relief operation. Furthermore, they caused repeated delays in the taking of priority decisions, although the trend of the situation could be clearly foreseen and had repeatedly been pointed out to Hitler by our own
-
-headquarters.
-
-Of the two different tasks I mentioned as confronting the Army Group on its assumption of command, the first - that of extricating Sixth Army-was virtually all over by Christmas 1942, when it was clear that Fourth Panzer Army could no longer succeed in effecting a link-up. With Hitler still clinging to Stalingrad, H.Q. Sixth Army backed down at the decisive hour -contrary to the Army Group's instructions - from taking what was possibly the very last chance of salvation. With that the army's fate was as good as settled. Hitler's ideal of still being able to relieve it at a later date by bringing up an SS panzer corps from Kharkov in
-
-January was illusory from the first.
-
-What followed in the Stalingrad pocket after Fourth Panzer Army's attacks had come to a standstill was indeed the death-struggle of Sixth Army. Yet in view of the fact that the other part of the Army Group's mission was still to prevent the destruction of the southern wing as a whole, it was not until this struggle had reached its closing stages that we could justifiably attempt to cut it short - and thereby curtail the losses and suffering of the doomed army - by
-
-recommending a capitulation.
-
-The battles to save Sixth Army were, of course, closely bound up with developments on the whole of the German southern wing. My object in considering the latter separately in a later chapter is to give greater clarity to the various operational considerations involved.
-
-SITUATION AT THE TIME OF THE TAKE-OVER
-
-The situation facing the Army Group on its assumption of command differed very little from
-
-that of 24th November.
-
-The enemy had obviously committed his main forces primarily in the ring enclosing Sixth Army. Of the 143 Soviet formations reported in the Army Group area, some sixty at least had
-
-been employed all along on the encirclement of the army. The latter's southern front was subjected to a heavy attack on 28th November, but this the army managed to beat off. On all its other fronts at the end of November there was only localized fighting, in the course of which the defences became more firmly established. Nevertheless it was clear that any attempt to break out just then would have run into powerful opposition, and the stocks of ammunition and fuel still available in the pocket would inevitably have been used up. Even if the initial breakthrough had come off, the army would have reached the Don without ammunition or fuel at a time when there could be no relief group at hand.
-
-Otherwise the enemy was busy feeling his way forward against the thin screens being thrown across the gaps to the south and west of Stalingrad, behind which the relief forces were to
-
-complete their assembly.
-
-The Army Group's immediate problem was to obtain the clearest possible picture of the condition and intentions of Sixth Army. What it had been able to discover from O.K.H. and Army Group B at a distance of several hundred miles was obviously not enough.
-
-As early as 16th November I had been handed a letter from General Paulus by an officer who
-
-had flown out of the pocket.
-
-[See Appendix I.]
-
-In it Paulus stressed the necessity of having 'freedom of action in an extreme emergency', since a situation calling for an immediate break-out to the south-west was liable to arise any day or hour. The information which this letter neglected to give on the army's supply position was provided in a report furnished by General Pickert, a Luftwaffe officer who had himself just flown out of the pocket, having been detailed by the commander of Fourth Air Fleet, Colonel-General Baron v. Richthofen, to organize the airlift.
-
-According to Pickert the army had enough rations - albeit on short issue- for twelve days. Ammunition stocks were at 10-20 per cent of the normal scale, which corresponded to the amount which would be expended in one day's intensive fighting! The vehicle fuel was only enough for minor troop movements and would not suffice to concentrate the tanks for a breakout. If these figures were correct, one could only wonder how Sixth Army had proposed to implement the break-out plan of which it had given notice four days previously.
-
-In the light of this information I resolved to fly into the pocket and talk to Paulus myself. However, my Chief-of-Staff and Chief of Operations finally prevailed on me to abandon the idea, as it seemed more than likely, from the state of the weather, that I should be detained there for two days or more. To be away for all that time was inadmissible in view of the tense situation and the need to keep O.K.H. constantly aware of the Army Group's views, so I dispatched my Chief-of-Staff, General Schulz, instead, and on a later occasion my Chief of
-
-Operations, Colonel Busse.
-
-Schulz's mission was primarily to gain a first-hand impression of the situation and condition of Sixth Army and its command staff and to brief the army commander on the plans for raising the siege. In this way the latter was to be given an opportunity to comment on the prospects and timing of the operation. Everything depended on harmonizing Paulus's views with our own, as it was clear that in the absence of telephone lines or any reliable means of written communication the Army Group could exert only a limited influence on Sixth Army's decisions. The need for complete understanding was increased by the existence of the O.K.H. liaison officer, whose presence at the Army Headquarters kept it under the constant sway of
-
-Hitler's thoughts and orders.
-
-Apart from revealing his deep but only too understandable depression over a situation for which not he but the Supreme Command was responsible, Paulus's letter seemed to me, in the
-
-desire it expressed for 'freedom of action in an extreme emergency', to indicate that he intended breaking out of the pocket if the position there became untenable. This might either be because the enemy had already penetrated or even broken through one or more of the army's fronts - so that the tactical situation had become untenable - or else because the strength of the troops was giving out. In either case, to my mind, an attempted break-out could end only in catastrophe. In the situation that now prevailed two things were of fundamental importance. First there must be a stubborn defence to keep the army in existence. Next must come a breakthrough - not launched as a forlorn hope, but deliberately timed to take place when the army still had the strength to carry it out, and also to coincide with relief operations
-
-from outside the pocket.
-
-Such were the views which Schulz had to put over to Paulus.
-
-The overall impression he brought back with him - and this was later confirmed by Colonel Busse - was that Sixth Army, provided it were properly supplied from the air, did not judge its chances of holding out at all unfavourably. (That such an attitude could also be dangerous
-
-would be seen later on.)
-
-With that I come to the question of whether an airlift to Sixth Army could really be
-
-contemplated.
-
-In our report to O.K.H. from Starobyelsk on 24th November I had been at pains to point out
-
-how crucial this was. Only if a guarantee of air supplies were given, I had said, could we afford to delay a break-out until the intervention of relief forces improved the army's chances
-
-of escape.
-
-By refusing to sanction Paulus's request for a break-out the day before my telephone conversation, Hitler had to all intents and purposes already given that guarantee. His refusal had been based on an assurance from Goring, whose staff was indeed the sole authority competent to assess the Luftwaffe's ability to keep Sixth Army supplied at Stalingrad.
-
-On assuming command of Don Army Group, I was told by Colonel-General v. Richthofen, whose Fourth Air Fleet was in support of us and responsible for supplying Sixth Army from the air, that he did not think an adequate airlift could be flown under the prevailing weather conditions. Even if the weather improved, he said, he still did not believe it would be possible to maintain the lift for any length of time, and had already told Goring as much. Of course, he added, he was in no position to judge the extent of Goring's other resources.
-
-The Army Group immediately reported v. Richthofen's opinion to O.K.H., but its only reaction was to refer us to forthcoming increases in the strength of the transport squadrons. The same answer was given to our daily reports that the loads flown into the pocket were coming nowhere near the quotas envisaged. These new squadrons arrived right enough, and their crews did their duty with great self-sacrifice, but although the Luftwaffe lost 488 aircraft and about 1,000 men at Stalingrad, it never succeeded in providing Sixth Army with anything
-
-like its minimum requirements.
-
-It is thus established that the promise Goring gave to Hitler on 23rd November — or possibly
-
-even earlier - was entirely unwarranted. Whether it was due to a false appreciation of Luftwaffe potentialities or frivolously given in a desire to show off or humour Hitler, I cannot tell. In any event the responsibility is Goring's. Nevertheless, Hitler should still have checked up on the reliability of his statements. Besides knowing what sort of person Goring was, he was also well aware of the strength of the Luftwaffe.
-
-Unlike Hitler, neither the Army Group staff nor the chief of Fourth Air Fleet were in a position to verify the facts. Nor had they any immediate reason for seeing anything wildly impracticable in a short-term airlift. After all, in the winter of 1941—2 the Luftwaffe had provided 100,000 men in the Demyansk pocket with everything they needed.
-
-Although in fact twice that number were surrounded this time, it could only be a matter - to our mind - of keeping supplies going for a few weeks or so. As soon as the relief groups drew near to the pocket, Sixth Army must in any event break out. To leave it at Stalingrad for a
-
-longer period was quite out of the question.
-
-All the Commander-in-Chief of the Luftwaffe had to do in effect was to make a
-
-straightforward calculation.
-
-Sixth Army's minimum requirement of all types of supplies totalled 550 tons per day or at least 400 tons until all ration dumps in the pocket were exhausted.
-
-In order to lift 550 tons - if each aircraft made one run daily - we should need 225 Ju-52s (or correspondingly more He-11 Is, which could carry only 1.5 tons at the outside).
-
-The distances to be flown from the air-bases of Morosovsky and Tatsinskaya were 110 and 135 miles respectively, though in either case only the last 30 miles would be over enemy territory. (Neither of these airfields was lost to the enemy until Christmas 1942, when the fate of Sixth Army was already decided.) In favourable weather conditions the aircraft could be expected to make two trips each in twenty-four hours. On the days when this happened the number of machines needed would be reduced by half.
-
-These figures formed the preliminary basis on which the Commander-in-Chief of the Luftwaffe had to assess the possibility of supplying Sixth Army by air. In addition, however,
-
-he had the following factors to consider:
-
-First, there was the probability in winter that the squadrons working the airlift would be grounded by weather. The resultant deficit would have to be made up by lifting an extra tonnage on flying days — i.e. the number of aircraft must be proportionately increased. While it was difficult to predict to what extent the weather would prejudice flying, the Luftwaffe meteorologists should be able to turn up certain records from the previous winter.
-
-The second factor to be taken into account was that not all machines are ever airworthy at any one given time. This could be seen from statistics. To a large extent the number of aircraft out of commission depended on what ground-crews and maintenance facilities were available at the air bases. This is a subject to which I shall return later.
-
-Finally it had to be remembered that a certain percentage of the transport machines would be shot down or crash. The rate of losses by enemy action was again largely dependent on how much fighter cover the Luftwaffe could provide.
-
-The Commander-in-Chief of the Luftwaffe thus had to weigh two questions with the utmost care before giving any firm promises about an airlift.
-
-Had he any prospect whatever of immediately assembling 550 tons of carrier space, bearing in mind the extra demands imposed by bad weather and the non-availability of aircraft for
-
-technical reasons?
-
-Could he maintain this figure by a continuous flow of replacements, and above all by providing an appropriate number of fighter and pursuit aircraft to combat the air defences anticipated on the enemy's side, until such time as Sixth Army was likely to be relieved ?
-
-Goring was the only man in a position to give completely satisfactory answers to these questions. Only he was able to tell whether the requisite number of aircraft could be found and whether their use here was defensible in the light of the Luftwaffe's other commitments. If neither were the case, it was his duty to tell Hitler so point blank when the decision regarding Sixth Army was taken - i.e. around 22nd-23rd November.
-
-It was Goring's further duty, once Hitler had ordered the army to remain at Stalingrad, immediately to throw in the Luftwaffe's very last reserves of carrier aircraft, fighters and
-
-repair shops.
-
-It is doubtful whether Goring did everything he could have done in this field, and at the beginning of January, as a result of the Army Group's constant references to the inadequacy of the airlift, Hitler ordered Field-Marshal Milch to take it over. As the latter had all the forces and resources of the Luftwaffe in Germany at his disposal, he was certainly in a position to
-
-improve the airlift's basic efficiency.
-
-By now, unfortunately, it was too late from the operational point of view for him to do any good. The same went for the airlift as such, for in the meantime the two above-named bases had been lost and the supplies had to be flown over much longer stretches.
-
-As if his original promise of 22nd-23rd November had not been frivolous enough, Goring proceeded to make things even worse by not exhausting all the possibilities open to him in the first vital weeks of the siege. For that was the time when the bid to save Sixth Army might
-
-still have had some chance of success.
-
-The more debatable and confused the airlift issue became, the more important it was to relieve Sixth Army at the earliest possible date. According to details passed to the Army Group by O.K.H., the latter was to make the following forces available for this purpose:
-
-(a) In the framework of Fourth Panzer Army: 57 Panzer Corps under General Kirchner (to be moved over from Army Group A) with 6 and 23 Panzer Divisions and 15 Luftwaffe Field
-
-Division under command. These forces were scheduled to arrive in the Kotelnikovo area by
-
-3rd December.
-
-(b) Deploying in the sector of Third Rumanian Army: a new formation to be known as Army Detachment Hollidt, consisting of 62, 294 and 336 Infantry Divisions; 48 Panzer Corps
-
-(General v. Knobelsdorff) with 11 and 22 Panzer Divisions; 3 Mountain Division; and 7 and 8 Luftwaffe Field Divisions. This group was to be ready to become operational on the Upper
-
-Chir around 5th December.
-
-All told, the Army Group expected to have relief forces amounting to four armoured divisions, four infantry or mountain divisions and three Luftwaffe field divisions. It was assumed from the start, of course, that the Luftwaffe divisions could at best be employed in some defensive role, such as shielding the flanks of the assault elements.
-
-The forces indicated - assuming that they did become available in this strength and at the times stated - might conceivably suffice to make temporary contact with Sixth Army and to restore its freedom of movement. In no event, however, could they administer a defeat big enough to enable us - as Hitler had put it in the jargon of static warfare - to 'reoccupy the
-
-positions held prior to the attack.
-
-On 27th November the Army Group received a teleprinter message from O.K.H. replying to the appreciation of the situation we had submitted three days previously. It appeared from this
-
-that Hitler was still prejudiced by the ideas already referred to. The reason he gave for deciding to hold fast to Stalingrad was that if we abandoned it now we should have to try all over again next year, at an even greater cost, to regain what we had sacrificed so much to win
-
-in 1942.
-
-Quite apart from whether a repetition of the 1942 offensive would be at all expedient or feasible when the time came, the question simply did not arise at the present moment. The
-
-real problem was whether the least possibility existed of somehow or other restoring the situation on the southern wing of the Eastern Front. Unless Sixth Army were saved, there
-
-seemed to be almost no hope of doing so.
-
-On 28th November, therefore, I sent Hitler a detailed appraisal of the position, appending a table which showed the strengths of enemy forces (in all, 143 major formations) operating against us. I also gave a clear picture of the situation and condition of Sixth Army, noting in particular that it would shortly be deprived of the use of its artillery through lack of
-
-ammunition and loss of mobility.
-
-In the circumstances, I said, it was doubtful whether one could afford to wait for all the relief forces to arrive, particularly Army Detachment Hollidt. Presumably the relief group of Fourth Panzer Army would now have to move off ahead of it. Naturally nothing decisive could be achieved by this, for everything depended - as we had already pointed out on 24th November - on the provision of additional forces. The best one could hope to do was to cut a corridor to Sixth Army through which to replenish its fuel and ammunition stocks and thereby restore its mobility. After that, however, the army must be fetched straight out of the pocket, as it could not possibly survive the winter out in the open steppes.
-
-Above all, I told Hitler, it was strategically impossible to go on tying down our forces in an excessively small area while the enemy enjoyed a free hand along hundreds of miles of front. What we must regain at all costs was our manoeuvrability, as the solution applied in the case of the Demyansk pocket the previous year was now out of the question.
-
-The above appraisal was fully confirmed by later events.
-
-It was 3rd December before we received a reply on this fundamental question of operational policy - just one more example of the way Hitler loved to defer answers which were not to his
-
-taste.
-
-The reply did state, however, that Hitler agreed with our views. There were only two points on which he had any qualifications to make. In the first place, he did not wish the northern front of Stalingrad to be pulled back or shortened for the purpose of finding extra forces. Secondly, while not disputing the number of enemy formations listed in my appreciation, he nonetheless contended that the strength of the Soviet divisions had been reduced and that the enemy command would have trouble in maintaining supplies and proper control as a result of
-
-its unexpected successes.
-
-He was possibly right regarding the reduction of divisional strengths. This was more than offset, however, by the extent to which our own forces had been weakened in several months' heavy fighting - a subject on which the Army Group had reported in no uncertain terms. That the Soviets were already having supply difficulties was unlikely, and the supposition that they
-
-had any control problem was mere hypothesis.
-
-At any rate — and this was of paramount importance — it could be assumed from Hitler's general endorsement of our views that he accepted the three essential points:
-
-(i) Even in the event of our being able to fight a way through to Sixth Army, the latter could
-
-not be left at Stalingrad for any length of time, (ii) The army must receive a daily average of supplies by air. (iii) As the Army Group had been constantly emphasizing since 21st November, a continuous
-
-flow of reinforcements was needed.
-
-It will be seen in due course that Hitler really had not the slightest intention of releasing Sixth Army from Stalingrad. Neither were the other two prerequisites for the success of the
-
-operation to be fulfilled.
-
-The first thing we discovered was that the strength of the forces being provided by O.K.H. for the relief of Sixth Army, as well as the timing of their availability, were by no means in keeping with what we had gathered from the promises made to us in Starobyelsk.
-
-To begin with, there were considerable delays in transporting the troops to their new areas. In the case of Army Detachment Hollidt this was due to the low efficiency of the railways, and in that of Fourth Panzer Army's relief group to the fact that while the steppes around Stalingrad were in the grip of an icy frost, a thaw had set in down in the Caucasus. Consequently the wheeled elements of 23 Panzer Divisions were unable to move by road as
-
-scheduled and had to go by rail instead.
-
-At the slow rate of progress this involved, 57 Panzer Corps' operational deadline was put off by several days - in a situation where every single day counted.
-
-The strength of the relief groups proved more unsatisfactory still. 15 Luftwaffe Field Division, which was due to join 57 Panzer Corps, had not even been established yet - a process which took several weeks to complete. When finally ready, the division had to be committed to battle at the height of an emergency (at a time, incidentally, when the relief problem had long been decided in the negative sense) and disintegrated during its first few
-
-days in action. The army artillery to be handed over by Army Group A, except for one regiment of smoke troops, never arrived at all. Of the total of seven divisions earmarked for the Hollidt relief group, we found that it had already been necessary to commit two infantry
-
-divisions (62 and 294) on the front of Third Rumanian Army to provide it with at least a modicum of stability. Their withdrawal would have led to the immediate collapse of 1 and 2 Rumanian Corps' battle-fronts. Both divisions were thus excluded from the relief operation from the start. Another of the promised formations which failed to put in an appearance was 3 Mountain Division. The first half of it, which had already entrained, was diverted by O.K.H. to Army Group A to deal with a local crisis; the second was retained by Central Army Group for a similar purpose. 22 Panzer Division, which had been thrown in with Third Rumanian Army at the beginning of the Soviet offensive, proved to be a complete wreck incapable of any offensive action after the losses it had suffered in the November battles. Since it was impossible to employ the Luftwaffe divisions in an offensive role, practically the only striking
-
-forces left for the relief operations of Fourth Panzer Army and Army Detachment Hollidt respectively were 57 Panzer Corps (with a strength of two armoured divisions) and 48 Panzer Corps (11 Panzer Division and 336 Infantry Division, the first of which was still moving up). 17 Panzer Division and 306 Infantry Division, which O.K.H. subsequently brought in to replace the divisions which had failed to arrive, could neither fully compensate for the deficiency of strength nor be readv to go into action as early as the relief operation demanded.
-
-In the circumstances, the original idea of relieving Sixth Army from two different directions -
-
-Fourth Panzer Army from the Kotelnikovo area east of the Don and Army Detachment Hollidt from the Middle Chir towards Kalach - would be invalidated by a shortage of forces. The most we could hope to do now was to assemble sufficient strength at one spot. As things stood, this left only Fourth Panzer Army eligible for the attack. It had a shorter mileage to cover to Stalingrad and did not have an obstacle like the Don to negotiate. It was also reasonable to hope that the last quarter from which the enemy would expect a relief offensive was anywhere east of the Don, as the whole situation made it extremely risky for the Germans
-
-to assemble large forces in that area. For the very same reason he had initially put out relatively weak forces in the direction of Kotelnikovo for protection of his siege front. Here, for the time being, Fourth Panzer Army was faced with only five enemy divisions, whereas the enemy on the Chir had already fifteen divisions in the line.
-
-The order issued by the Army Group on 1st December for Operation 'Winter Tempest' thus
-
-envisaged the following:
-
-On a date still to be fixed (but in any case not earlier than 8th December), Fourth Panzer Army was to attack east of the Don with the bulk of its forces, moving off from the area of Kotelnikovo. Once it had thrust through the enemy's covering forces, its task would be to attack and roll up the southern and/or western siege front encircling Stalingrad.
-
-A smaller force provided by Army Detachment Hollidt's 48 Panzer Corps was to thrust from the Don-Chir bridgehead of Nizhne Chirskaya into the rear of the enemy covering forces. Should the enemy opposite Fourth Panzer Army north of Kotelnikovo be conspicuously reinforced prior to the attack, or should the situation of Fourth Rumanian Army, whose job was to cover Fourth Panzer Army's long eastern flank, take another critical turn, the following alternative plan would come into operation. The armoured divisions of Fourth Panzer Army would make a surprise move northwards along the west bank of the Don and launch the main thrust from the Nizhne Chirskaya bridgehead. It was also envisaged that a less powerful shock group should thrust up at Kalach from out of the Don-Chir bridgehead west of the Don in order to cut the enemy's communications there and open up the Don bridge for Sixth Army.
-
-As regards Sixth Army, the orders laid down that on a date after Fourth Panzer Army's attack still to be fixed by the Army Group it would initially break through to the south-west in the direction of the Donskaya Tsarytsa, its aim being to link up with Fourth Panzer Army and to take a hand in rolling up the southern and western siege fronts and capturing the Don
-
-crossing.
-
-On express instructions from Hitler the army was to continue to hold its existing positions in the pocket. That this would not be possible in practice when it broke out to the south-west to
-
-meet Fourth Panzer Army was perfectly obvious, for when the Soviets attacked on the northern or eastern fronts it would have to give way step by step. In the event, undoubtedly, Hitler would have had no choice but to accept this fact, as he did on later occasions. (Not that we could say so in the operation order, of course, as Hitler would have learnt of it through his liaison officer at Sixth Army Headquarters and immediately issued a countermand.)
-
-During the first few days after my take-over everything remained fairly quiet on the Army Group front. Evidently the enemy was preparing a concentric assault on Sixth Army. On the other hand, he apparently did not care to venture an immediate thrust on Rostov with strong armoured forces, nor did he even try to go for the Army Group's vital Donetz crossings or the railway junction of Likhakha. Probably he thought he could save himself the risk attaching to a tank drive of this kind, since his preponderance of forces in the large bend of the Don
-
-promised to assure him of success in any event. Yet he undoubtedly sacrificed a big opportunity in this way, for at the end of November and in early December the forces we should have needed for intercepting such a thrust simply did not exist.
-
-ENEMY ATTACKS ON SIXTH ARMY
-
-On 2nd December the enemy made his first attack on Sixth Army. Like those which followed
-
-on the 4th and 8th of the month, it was bloodily repulsed by the courageous troops in the pocket. Fortunately the supply position now appeared more favourable than we had originally dared to expect, for on 2nd December the army reported that by existing on a reduced scale of rations and slaughtering a large proportion of the horses, it could - reckoning from 3oth November - manage with its present stocks for twelve to sixteen days. At the same time the state of the weather encouraged us to hope for an improvement in the rate of air supplies, a record load of 300 tons being flown into the pocket on 5th December. (Unfortunately this was to remain an all-time high.) Nonetheless it was clear that no time must be lost in making contact with Sixth Army on the ground and fetching it out of the pocket.
-
-As far as this went, the only thing in our favour to date was that the enemy had not ventured to exploit his chance of severing the Army Group's rear communications at the Donetz
-
-crossings or at Rostov (where he could have simultaneously cut off Army Group A). Otherwise the position deteriorated badly in the sectors from which the relief thrusts were to
-
-be made.
-
-In the case of Fourth Panzer Army the arrival of 57 Panzer Corps from the Caucasus was delayed for the reasons already stated. The assembly date, originally 3rd December, was put off till 8th and then till 12th December. Naturally the enemy was not going to remain inactive over so long a period. On 3rd December he pushed forward in strength towards Kotelnikovo, 57 Panzer Corps' main railhead, obviously with a view to clearing up the position there. The
-
-following day he was driven back by 6 Panzer Division, which had meanwhile become operational. From 8th December onwards there were signs of a major enemy force gathering on Fourth Panzer Army's northern front (north-east of Kotelnikovo), where a new Soviet army (Fifty-First) was identified. On the other hand, things remained quiet on the Panzer Army's eastern front, which was manned mainly by the troops of the subordinate Fourth Rumanian Army. The same applied to 16 Motorized Division around Yelista.
-
-With a view to setting the Rumanians' minds at rest, we made this division dispatch a light motorized force up north to reconnoitre in the rear of the Soviet front facing them. It established beyond all possible doubt that for the time being the enemy had no forces assembled in any great strength west of the Volga.
-
-CRISIS ON THE CHIR FRONT
-
-Events took a much more serious turn in the area of Army Detachment Hollidt {Third Rumanian Army's sector). Here, on the Lower Chir, from its junction with the Don to a point some 45 miles upstream, the only troops on the ground, apart from a few anti-aircraft groups,
-
-were alarm units which had been set up from B-echelon elements and Sixth Army men returning from leave. These were later augmented by the two Luftwaffe divisions which, after originally being earmarked for Army Detachment Hollidt, had been found to be only conditionally employable owing to their complete lack of battle experience and shortage of
-
-trained officers and N.C.O.s.
-
-The rent torn between the bend in the Chir at Bolshoi Ternovsky and the still intact Don front when the Russians broke through Third Rumanian Army in November had been patched up by bending back the right wing of the Third Rumanian Army elements on the Don (1 and 2 Rumanian Corps) and by bringing in the badly battered 22 Panzer Division and remnants of the over-run Rumanian divisions. In fact, however, the infantry divisions destined for Army Detachment Hollidt should also have been committed here in order to afford this 75-mile stretch of front a minimum degree of stability. By the beginning of December there were ominous signs of an impending major offensive on the Chir front, and two days later strong
-
-enemy artillery was identified along the lower reaches of the river. It was here, on 4th December, that the Russian attacks began, striking without respite at one point after another. The more the enemy persisted in his attempts to break through, the more critical the situation became. It was absolutely vital that we should continue to hold this stretch of river, as our
-
-bridgehead in the angle between the Chir and Don, including the Don bridge at Nizhne Chirskaya, was of fundamental importance for the relief of Sixth Army. Apart from that, an enemy breakthrough over the Chir would have cleared the way to the Morosovsky and Tatsinskaya airfields, which were only 25 and 50 miles away, as well as to the Donetz crossings and Rostov. In the circumstances the Army Group had no choice but to agree that 48 Panzer Corps (whose 11 Panzer and 336 Infantry Division had arrived by this time) should
-
-temporarily be used to bolster up the front on the Lower Chir. The corps found itself playing the role of a veritable fire-fighter, dashing from one spot to the next to intervene every time
-
-the thin screen of alarm units threatened to collapse. Naturally this temporarily deprived Army Detachment Hollidt of the only divisions it could have employed in an offensive relief role from this direction. As soon as the situation permitted, however, it was still intended to bring the corps across the Nizhne Chirskaya bridge to co-operate with the relief group of
-
-Fourth Panzer Army.
-
-On 9th December the attacks against Sixth Army, in the course of which the enemy had come in for some very rough treatment, started to slacken off. This probably meant that forces were already being released to head off any German attempt to lift the siege.
-
-On the Chir front the enemy kept up his pressure unremittingly, but on Fourth Panzer Army's northern front, after the failure of his Kotelnikovo operation, he displayed a certain degree of
-
-restraint.
-
-THE VAIN FIGHT FOR DECISIONS
-
-I need hardly say that in this critical situation I was in constant telephonic communication with the Chief-of-Staff of the Army, General Zeitzler. He entirely agreed with my forecast of developments and the inferences I drew. But whether he would be able to get Hitler to take appropriate - and timely - action was quite a different matter.
-
-Apart from our constant demand for reinforcement of the Luftwaffe transport squadrons working the airlift to Sixth Army, there were two outstanding issues:
-
-The first was that even if Sixth Army could be relieved, it must on no account be left in the Stalingrad area any longer. Hitler himself still wanted to hang on to the city - just as he had insisted on doing with the Demyansk pocket the previous winter - and to keep the army supplied there by means of a land corridor.
-
-Don Army Group, on the other hand, was as convinced as ever that this was entirely the wrong solution and that it was essential to become operationally mobile again if disaster were to be avoided. This tug-of-war continued until the very last chance of saving Sixth Army had
-
-been thrown away.
-
-The second issue was the reinforcement of the reliefforces. Ever since the discovery that of the seven divisions originally promised us for Army Detachment Hollidt's relief bid we could at best expect to get 48 Panzer Corps with a strength of two divisions, it had been vital to strengthen Fourth Panzer Army. Anyone could see that the latter was not going to reach Stalingrad with only 6 and 23 Panzer Divisions.
-
-There were two possible ways of effecting this reinforcement.
-
-Don Army Group repeatedly asked to be given Army Group A's 3 Panzer Corps of two armoured divisions, which should not have been used in mountainous country anyway. On each occasion the request was refused because Army Group A claimed it could not release the corps unless it were allowed to evacuate a salient projecting far into the Caucasus - a measure which Hitler, in turn, would not countenance. We were just as unsuccessful in our attempts to get an Army Group A regiment to relieve 16 Motorized Division at Yelista, where it was
-
-covering the deep flank of First Panzer Army. By the time anything was done about this it was too late to make any difference at Stalingrad.
-
-The second possible way of reinforcing Fourth Panzer Army in time for its thrust to Stalingrad lay in the provision of new forces by O.K.H. At the time in question 17 Panzer Division and the newly established 306 Infantry Division were - in that order - on their way to Don Army Group. In consequence of the delay involved in assembling 57 Panzer Corps at Kotelnikovo, the former of the two could have arrived just in time to move off with it to Stalingrad. Unfortunately O.K.H. had the division detrained as its own reserve behind the left wing of the Army Group because - not without reason - it feared a large-scale attack was impending there. Yet O.K.H. could not have it both ways: success for Fourth Panzer Army and security against a crisis which—if it did arise— 17 Panzer Division could not master anyway. While we preferred success for Fourth Panzer Army, Hitler opted for the security he hoped to achieve by his retention of 17 Panzer Division. The upshot was that when Hitler did release the division after 306 Infantry Division had caught up, it arrived too late for the first phase of the relief operation. Possibly this was where the decisive opportunity was thrown
-
-away!
-
-To enhance the effect of my telephone calls on Zeitzler, and also to strengthen his hand in the daily battles he had to fight, I felt obliged to have frequent appreciations of the situation teleprinted through to him, or even direct to Hitler.
-
-One of these 'appreciations' - that of 9th December 1942 - is given in Appendix II to show what pains we took to keep Hitler and O.K.H. in the picture at all times. It also affords impressive evidence of the numerical preponderance confronting the Army Group and shows the type of forces with which — except for the few newly arrived divisions - it had to conduct the battles outside the Stalingrad pocket. Last but not least, it demonstrates how the Army Group strove to bring home the gist of all operational problems to the Supreme Command.
-
-For the benefit of critical readers, two comments on this appreciation might be interpolated
-
-here.
-
-Some people may object to our having included any reference whatever to ways and means of continuing the battle in the event of Sixth Army's being kept at Stalingrad after a corridor had been cut through to it. The answer to this is that it would have been quite pointless to try to convince a man like Hitler of the futility of leaving an army in the city even assuming that supply by such a corridor were possible. Only by indicating the reinforcement problems which would beset him if he attempted to retain his hold on the city could one hope to make him see the need to disengage Sixth Army. Unfortunately even this appeal to reason failed to shake his obstinacy where prestige was concerned. At the time, however, we still cherished the hope that Hitler would bow to the inevitable when it came to the point.
-
-Secondly, it may seem surprising, in view of the number of enemy formations confronting the Army Group, that we still continued to believe in the possibility of relieving Sixth Army at all. We might well be reproached with having under-rated our opponent.
-
-The crux of the matter as far as we were concerned, however, was that the maximum risk had to be accepted if we were to bring our comrades of Sixth Army a chance of salvation. Events have shown that we came near enough to opening their way to freedom. The fact that we were fated to fail in the end was due to causes which I shall discuss in due course.
-
-A RACE FOR LIFE OR DEATH
-
-We and the enemy now set off on a race for life or death. Our own goal was to save the life of Sixth Army. But to do so we staked the very existence not only of Don Army Group but also
-
-of Army Group A.
-
-It was a race to decide whether the relief group of Fourth Panzer Army would manage to join hands with Sixth Army east of the Don before the enemy forced us to break off the operation.
-
-This he might achieve by over-running our weak front on the Chir or the left wing of the Army Group (and possibly the right wing of Army Group B as well) and putting himself in a position to cut all the rear communications of Don Army Group and Army Group A.
-
-To mount and maintain an assault operation east of the Don while the danger outlined above grew increasingly acute from one day to the next meant incurring a risk that can seldom have been run before. I cannot believe that Hitler realized its full import at the time, otherwise he would almost certainly have taken more radical measures, at least to the extent of reinforcing Fourth Panzer Army for a speedy relief of Stalingrad. Instead, as General Zeitzler himself expressed it, he 'did nothing but put spokes in our wheel'. Two examples of this were his retention of 17 Panzer Division in the wrong spot throughout the crucial phase of the operation and his failure to release 16 Motorized Division until it was too late. Many was the time Hitler declared that generals and General Staff officers could only 'compute' and would not take chances. There can hardly be any more striking rebuttal of his claim than the risk run by Don Army Group when it ordered Fourth Panzer Army's drive on Stalingrad and kept this going till the last possible moment in a situation which threatened to destroy the whole
-
-southern wing of the German armies.
-
-This race with death, which began on 12th December, when Fourth Panzer Army struck out for Stalingrad, can only be sketched in broad outline here, as it is not possible to depict the lightning changes of situation which occurred in 57 Panzer Corps' battles against an enemy who never ceased to throw in fresh forces — tanks first and foremost.
-
-The versatility of our armour and the superiority of our tank crews were brilliantly demonstrated in this period, as were the bravery of the panzer grenadiers and the skill of our anti-tank units. At the same time it was seen what an experienced old armoured division like 6 Panzer could achieve under its admirable commander General Rauss and the tank specialist Colonel v. Hiinersdorff (who, I am sorry to say, was later to be killed at the head of this same division) when it went into action with its full complement of armoured vehicles and assault guns. How hard, in contrast, was the lot of 23 Panzer Division (commanded by General v. Vormann, a former colleague of mine in the O.K.H. Operations Branch who had been five times wounded in World War I), which had a bare twenty tanks to work with!
-
-Let us now try to follow at least those features of the battle that were material to its outcome.
-
-While 57 Corps finished assembling east of the Don around Kotelnikovo, strong enemy forces had again been attacking our front on the Lower Chir since 10th December. It was now clear that there could be no further question of releasing 48 Panzer Corps on this front for it to break out of the Chir-Don bridgehead and co-operate with 57 Panzer Corps.
-
-This made it more urgent than ever that 57 Panzer Corps should get on the move. After smashing an enemy attempt to over-run it while it was still in the process of detraining and
-
-final assembly, the corps was able to cross the start line on 12th December. Its flanks were covered against the Volga in the east by 7 Rumanian Corps and up to the Don in the west by 6 Rumanian Corps. The attack evidently surprised the enemy, who did not appear to have expected it quite so soon, and initially the corps made good progress. Far from sticking to defensive tactics, however, the enemy hastened to bring up fresh forces from the Stalingrad area and counter-attacked again and again in attempts to recapture ground already won by our tanks or to surround small numbers of the latter with his own numerically superior armour. In spite of having wiped out one strong group after another, 57 Panzer Corps had still achieved nothing decisive by 17th December, the date on which 17 Panzer Division was at last able to intervene east of the Don. O.K.H. had finally released it from its detraining area behind the left wing of the Army Group in response to demands from my headquarters. Before it could take a hand east of the river, however, the division still had to accomplish the long haul up to
-
-and across the Don bridge at Potemkinskaya.
-
-While 57 Panzer Corps was striving for decisive results on the east bank of the river, the enemy redoubled his efforts to the west of it in order to bring about the collapse of the German front on the Chir. Above all, he had obviously grasped the significance of the bridgehead we were holding in the angle of the Chir and Don, together with the Don bridge contained therein, for ever since 12th December these had been the constant target of massed Soviet attacks. On 14th December we were forced off the bridge, and had to blow it up. By 15th December it was apparent that the battle on the Lower Chir front had only a few more
-
-days to run.
-
-At the very same time, however, a new danger loomed up in the large bend of the Don. On 15th December there were obvious signs of an enemy attack being prepared in front of the left
-
-wing of Don Army Group and the right wing of Army Group B, and the following day local attacks were launched. Initially it was not entirely clear whether the enemy was following his
-
-frequent practice of feeling out the front prior to a decisive breakthrough, or whether he was seeking to prevent us from transferring any forces from this sector to the battlefield east of the Don. Then, however, our radio monitors identified a new army (Third Guards), which implied that a breakthrough with some such far-reaching objective as Rostov was impending.
-
-The Army Group could not afford a decisive battle on its left wing as long as it had to fight for the liberation of Sixth Army east of the Don. It had to hold off here if it could. So that the responsible headquarters, Army Detachment Hollidt, might find the necessary reserves for a delaying action, Army Group made it pull back on to a shorter front further to the rear, bearing in mind the need to preserve continuity with the right wing of Army Group B.
-
-December 18th proved a day of crisis of the first order.
-
-East of the Don, despite the arrival of 17 Panzer Division, 57 Panzer Corps had still not fought things to a point which offered any prospect of its being able to thrust swiftly into the vicinity of Stalingrad and create the conditions needed for Sixth Army's break-out. On the contrary, it looked as though the corps would be forced on to the defensive, since the enemy was continuing to throw forces in its path from the siege front round the city.
-
-On the Lower Chir heavy fighting was still in progress, although the enemy had not so far succeeded in penetrating our front. On the left wing of the Army Group, on the other hand, a most serious crisis was taking shape, the enemy having begun a major attack against Army Detachment Hollidt and the Italian army forming the right wing of Army Group B.
-
-In the case of Army Detachment Hollidt the two Rumanian corps proved unequal to the onslaught, and there was some doubt whether even the German divisions would attain their alternative position in any semblance of order after being abandoned wholesale by their allies.
-
-What made things worse still was that the enemy had been able to over-run the Italian Army in the first assault, thereby tearing open the flank of Don Army Group.
-
-The same day the Army Group called on O.K.H. to take immediate steps to initiate the breakout of Sixth Army towards Fourth Panzer Army. There was still a chance that once 17 Panzer Division had made its presence fully felt, 57 Panzer Corps could win further ground in the direction of the pocket. In other words, one could still hope for a favourable outcome of the struggle east of the Don. Yet how much earlier this could have been achieved if only 17 Panzer and 16 Motorized Divisions (of which the latter was still tied up at Yelista) could have been available for Fourth Panzer Army's relief operation from the very outset!
-
-Notwithstanding our insistence on the urgent need for a decision that would allow Sixth Army to break out of Stalingrad, Hitler declined to sanction this - although his Chief-of-Staff had simultaneously to inform us that all forces still in the process of moving up were being
-
-directed to Army Group B on account of the plight of the Italian Army. The fact that we were asked in this same connexion whether Stalingrad could still be held showed what little idea the Supreme Command had - or was prepared to have - of the seriousness of the situation.
-
-Hitler's refusal to disengage the army from Stalingrad at this stage did not deter the Army
-
-Group from at least preparing for the inevitable. On 18th December I sent my chief Intelligence officer, Major Eismann, into the pocket to give Sixth Army our views on the break-out operation which would undoubtedly become necessary in the very near future.
-
-The following were the salient points of what he had to say:
-
-The critical situation on the Chir front, and even more so on the Army Group's left wing,
-
-meant that Fourth Panzer Army's battle to free Sixth Army east of the Don could only continue for a limited period. Furthermore, it was doubtful whether the Panzer Army could
-
-maintain its drive right up to the actual siege front because the enemy was constantly throwing in fresh forces from here to meet it. For this same reason, however, Sixth Army's chances of breaking through the siege ring were at present better than they had ever been. A link-up between Fourth Panzer and Sixth Armies depended on the latter's taking an active part
-
-in the battle from now on. As soon as it set about breaking out of the pocket towards the south-west, the enemy would be unable to weaken his siege front any further, and this in turn would enable Fourth Panzer Army to resume its advance towards the pocket.
-
-The task allotted to Sixth Army in the orders for 'Winter Tempest' which it had received on
-
-1st December- i.e. to hold itself in readiness to thrust south-west as far as the Donskaya Tsarytsa in order to make contact with Fourth Panzer Army — would probably have to be extended. The army might now have to continue beyond the limited objective laid down for it in the 'Winter Tempest' operation and keep pushing south-west until it actually joined the Panzer Army. While 'Winter Tempest' laid down that Sixth Army should still hold the Stalingrad area in accordance with Hitler's orders, the new alternative plan would mean evacuating it sector by sector in keeping with the progress of the breakthrough to the southwest.
-
-Major Eismann was also to point out that while the Army Group had made every possible effort in this direction, it did not believe the airlift could be improved far enough to allow Sixth Army to hold out at Stalingrad for any length of time.
-
-The outcome of Major Eismann's mission, which had been intended to harmonize the views
-
-of the two headquarters, was not encouraging.
-
-Paulus himself had not been unimpressed by what Eismann told him, though he did not fail to emphasize the magnitude of the difficulties and risks which the task outlined to him would imply. The Army's Chief of Operations and Quartermaster-General likewise stressed these difficulties to Major Eismann, but both men also declared that in the circumstances it was not only essential to attempt a breakout at the earliest possible moment but also entirely feasible.
-
-What ultimately decided the attitude of Sixth Army Headquarters was the opinion of the Chief-of-Staff, Major-General Arthur Schmidt. He contended that it was quite impossible for the army to break out just then and that such a solution would be 'an acknowledgement of disaster'. 'Sixth Army," he told Eismann, 'will still be in position at Easter. All you people have to do is to supply it better.' Schmidt obviously assumed that it was the business of the Supreme Command or Army Group to get the army out of a situation in which it had landed through no fault of our own and to keep it adequately supplied from the air in the meantime. It was an understandable point of view, and one which in theory he had every right to hold. Unfortunately circumstances had proved stronger. Eismann pointed out that although the Army Group was doing everything in its power to maintain supplies, it was not to blame when
-
-the weather brought the airlift to a virtual standstill, nor was it in a position to produce transport machines out of a hat. But all his remonstrances were like water off a duck's back as far as Schmidt was concerned. Even when Eismann sought to show that a break-out by Sixth Army was necessary in the interest of operations as a whole, the Chief-of-Staff still would not
-
-budge.
-
-While the army commander was probably a better-trained tactician and a clearer thinker, it looked as if his Chief-of-Staff was the stronger personality of the two.
-
-[Disastrous though Schmidt's obstinacy was in this particular case, the same quality did him great credit in captivity later on. Judging by all that one has heard, he gave an admirable
-
-account of himself as a soldier and comrade, getting himself sentenced to twenty-five years' forced labour in the process. Justice compels us to pay tribute to his behaviour. Author.]
-
-And so the upshot of the talks was that General Paulus himself ended by pronouncing the break-out a sheer impossibility and pointing out that the surrender of Stalingrad was forbidden
-
-'by order of the Fiihrer'!
-
-While Major Eismann's mission had certainly made Sixth Army Headquarters fully aware of the situation and the Army Group's intentions, it had still not achieved any identity of views on the task intended for Sixth Army. Could we expect an army headquarters staff to execute an extremely difficult operation successfully when the army commander and his Chief-of-Staff harboured doubts as to its feasibility?
-
-At any other time such a divergence of opinions would have been regarded as grounds for requesting a change in the army command. In the present critical situation, however, there could be no justification for such action. Any successor to the commander or the Chief-of-
-
-Staff would have needed time to 'play himself in', and when every day was vital this just could not be spared. In any case, it would have been hopeless to try to obtain Hitler's approval for such a change, since it would have affected the very men who recommended holding out at
-
-Stalingrad.
-
-In spite of everything, Don Army Group was not willing to let slip the one remaining chance of saving Sixth Army, no matter how many difficulties and dangers the undertaking were to
-
-involve. It would entail issuing a formal order freeing the army commander of all responsibility for both the hazard of a break-out and the abandonment of Stalingrad. This was
-
-a step we were fully prepared to take.
-
-The reasons why this order was not ultimately implemented by Sixth Army will be discussed later in their proper context. They were the subject of numerous conversations which Paulus and I and our respective Chiefs-of-Staff conducted on a newly established ultra-high-frequency wavelength, as well as of discussions between my own headquarters and the
-
-Supreme Command.
-
-The next day, 19th December, encouraged us to hope that the situation east of the Don would shortly reach a stage where the projected co-operation of the two armies might lead to the successful extrication of the one now at Stalingrad.
-
-On this particular day 57 Panzer Corps scored a gratifying success. It managed to cross the
-
-Aksai river and thrust northwards as far as the Mishkova, its spearhead actually coming within 30 miles of the southern siege front! The moment for which we had longed since the take-over, when the approach of reliefforces would offer Sixth Army its chance to break free, had arrived. If Sixth Army now began its break-out while Fourth Panzer Army either continued to attack northwards or at least drew off further forces from the siege front, the enemy in between would find himself between two fires, and there would at least be a prospect of establishing enough contact to provide Sixth Army with the fuel, ammunition and
-
-food it needed for continuing its breakthrough. For this purpose the Army Group had assembled transport columns loaded with 3,000 tons of supplies behind Fourth Panzer Army, in addition to tractors for mobilizing part of the Sixth Army artillery. They were all to be rushed through to the beleaguered army as soon as the tanks had cleared a route, however
-
-temporary.
-
-The situation on the Army Group's front west of the Don on 19th December likewise indicated that the troops there should be able - at least for as long as Sixth Army needed to fight a way through to the south-west - to stall off any decisive developments compelling us to break off
-
-the operation east of the river.
-
-Meanwhile, our front on the Lower Chir was still holding.
-
-Although the Army Group found it necessary to intervene with Army Detachment Hollidt to safeguard the latter's withdrawal operation, there was every prospect that its alternative positions would be occupied as planned. On the other hand, the threat to the Army Detachment's open left flank was still present.
-
-The race with death on either side of the Don had entered its final and decisive phase!
-
-Would the Army Group succeed in preserving the situation in the large bend of the Don for a few days longer, until Sixth Army had availed itself of what was undoubtedly its last opportunity? Certainly it could only do so if not a single hour were wasted !
-
-At noon on 19th December, therefore, the Army Group sent the Supreme Command an urgent appeal by teleprinter to let Sixth Army finally disengage from Stalingrad and drive south-west
-
-to join Fourth Panzer Army.
-
-[See Appendix III. Author.]
-
-When this message, too, failed to evoke any immediate response, an order was issued to Fourth Panzer and Sixth Armies at 1800 hours, in which the latter was directed to commence
-
-breaking through to the south-west forthwith.
-
-[See Appendix IV. Author.]
-
-The first phase of the operation was to be the 'Winter Tempest' attack detailed on 1st December. It would, if necessary, continue beyond the Donskaya Tsaritsa for the purpose of making contact with Fourth Panzer Army and enabling the supply convoy to pass through.
-
-At the same time the order envisaged a second phase of the breakthrough which would, if need be, follow directly on the 'Winter Tempest' attack. On receipt of the code-word 'Thunderclap', Sixth Army was to proceed with its advance towards Fourth Panzer Army and simultaneously begin to evacuate the Stalingrad area sector by sector. The reservation imposed on the issue of this code-word arose from the need to synchronize the assault operations of both armies, as well as from the question as to whether it would be possible to co-ordinate the passage of the transport convoy with these operations. Above all, the Army Group had to try to persuade Hitler to rescind his order to Sixth Army to hold Stalingrad at all costs, for although the responsibility for not complying with it would rest with the Army Group as soon as it gave the signal for 'Thunderclap', the commander of Sixth Army would still feel his hands were tied as long as it remained in force.
-
-FORFEITURE OF THE CHANCE TO SAVE SIXTH ARMY
-
-If there had ever been a chance to save Sixth Army since the end of November, when Hitler refused Paulus permission for an immediate break-out before the enemy had consolidated his siege ring round Stalingrad, that chance came on 19th December. The Army Group had given the order to take it in spite of the difficulties Sixth Army's breakthrough might entail and the perilous situation that had meanwhile developed on the rest of the Army Group's front. The risk we were running in the latter respect will be discussed in due course. The immediate problem-that is, from 19th till 25th December-was whether Sixth Army would actually be able and willing to carry out the order issued to it.
-
-Hitler did in fact agree to the army's attacking in a south-westerly direction for the purpose of joining up with Fourth Panzer Army. Yet he continued to insist that it should hold its northern, eastern, and western fronts around the city. He was still hoping that it would be possible to cut open a 'corridor' through which the army at Stalingrad could be supplied on a really long-term basis. There were two very obvious objections to this:
-
-First, the situation of the Army Group as a whole, particularly with regard to developments in
-
-the neighbouring area of Army Group B, no longer allowed two armies - Sixth and Fourth Panzer - to be tied down east of the Don. By this time not only the fate of Sixth Army was at stake but also that of Don Army Group and Army Group A, both of which, if the enemy took resolute action, were liable to be cut off from their communications zones.
-
-Secondly, it was a sheer impossibility for Sixth Army to mobilize all its remaining offensive power for a breakthrough to the south-west and still hold its present fronts around Stalingrad. It might conceivably be able to do so for one or two days longer, until such time as the enemy had grasped its intentions, but there could never be any question of its making a long stand in the city and simultaneously maintaining a link with Fourth Panzer Army.
-
-While Hitler's reasons for opposing the execution of the plan laid down in the Army Group order of 19th December were unrealistic, the objections raised by Sixth Army Headquarters were not of a kind that could be dismissed out of hand. They showed how great were the risks which must necessarily be incurred if the Army Group order were carried out.
-
-When the army declared that it could not undertake the break-out as long as Hitler insisted on the retention of Stalingrad, it was perfectly right. That was why the Army Group had explicitly ordered the evacuation of the fortified area on receipt of'Thunderclap'. However, the army commander still had to decide whom to obey - Hitler or the commander of the Army
-
-Group.
-
-Furthermore, the army thought it would need six days to prepare for the break-out. In our own
-
-view the estimate was much too high and unacceptable in the present situation, even if due allowance were made for all the difficulties facing the army in consequence of its great loss of mobility. To wait six days more seemed impossible to us, if only because of the situation on the Army Group's left wing. Most of all, the enemy forming the siege front around the city was not going to sit doing nothing for all that time, while the break-out preparations went on under his very nose. It might perhaps be possible to conceal these preparations - and the
-
-consequent thinning-out of Sixth Army's other fronts - for a limited period. But if the assembly of forces for the breakthrough on the south-western front were going to take six whole days, the enemy would already have started attacking on the other fronts before the breakthrough gained momentum. This must be avoided at all costs.
-
-The army also doubted its ability even to disengage the forces earmarked for the breakthrough from their present fronts, as the latter were already being subjected to local attack. Here, too,
-
-speed would be all-important. Provided that the army started its break-out in good time, it would be spared the trouble of combating any enemy incursions on its other fronts and need merely fight delaying actions to cover a step-by-step withdrawal.
-
-The army rightly emphasized in the teleprinter conversations between General Paulus and myself and our respective Chiefs-of-Staff that the code-word 'Thunderclap' must follow immediately upon 'Winter Tempest' and that it would not be possible to pause, for example, on the Donskaya Tsarytsa. This was a point on which we were completely unanimous, the Army Group order having in fact already foreshadowed that 'Thunderclap' would be linked
-
-directly to 'Winter Tempest'.
-
-What undoubtedly weighed heavily with the commander of Sixth Army was the fact that the general debility of the troops and the reduced mobility of units following the slaughtering of
-
-horses for food made it most unlikely that such a difficult and risky undertaking - particularly when carried out under conditions of extreme cold - could possibly succeed.
-
-It was the fuel position, however, which finally decided Sixth Army against attempting to
-
-break out and persuaded the Army Group that it could not insist on its order being implemented. General Paulus reported that he had only enough petrol to take his tanks - of which about too must still have been serviceable- a maximum distance of 20 miles. This meant that he could not move off until either an adequate supply of fuel (and rations) were guaranteed or Fourth Panzer Army had advanced to within 20 miles of the enemy siege front. Now no one could dispute the inability of Sixth Army's tanks - which represented its essential offensive power - to bridge a gap of some 30 miles with fuel stocks that were only sufficient for 20. On the other hand, one could not possibly wait until the army's fuel stocks were brought up to the level it demanded (4,000 tons) - quite apart from the fact that we were aware from practical experience of the utter impossibility of lifting such quantities by air. Any such delay would have meant wasting the time that could still be spared for the army's
-
-breakthrough.
-
-One had to be prepared to live from hand to mouth and to go into action with what one had -including, of course, the quantities of fuel which could be flown in during the next few days, while the army was still assembling. Beyond that one could only hope that stocks could be constantly replenished from the air in the course of the breakthrough.
-
-A point worth remembering here is that troops always have more fuel in hand than they care to admit in official returns. But even if this were not taken into account, one could still hope that things would develop on the following lines. The moment Sixth Army launched its attack towards the south-west things would become easier for Fourth Panzer Army, for henceforth
-
-the enemy would no longer be able to keep throwing out fresh forces from the Stalingrad siege front to meet it. Fourth Panzer Army, whose further progress over the Mishkova was by no means a certainty on 19th December, would doubtless be able to accomplish the outstanding 12 miles once the pressure were relieved by the action of Sixth Army.
-
-It was obviously risky to include this in our calculations, but without it we simply could not
-
-expect to save Sixth Army.
-
-But the really crucial reason why this fuel question was ultimately decisive in bringing about the retention of Sixth Army at Stalingrad lay in the fact that Hitler had a liaison officer in the pocket. By this means he learnt of Paulus's contention that the fuel situation made it impossible for him not only to launch a breakthrough operation but even to move up to the
-
-start-line.
-
-I spent some considerable time on the telephone trying to make Hitler allow Sixth Army to break out and abandon Stalingrad. 'I fail to see what you are driving at,' was all he would say. 'Paulus has only enough petrol for 15 to 20 miles at the most. He says himself that he can't
-
-break out at present.'
-
-And so the Army Group had to contend on one hand with the Supreme Command, which made any attack by Sixth Army to the south-west dependent on its simultaneous retention of the remaining Stalingrad fronts, and on the other with the command staff of Sixth Army, which declared that the fuel situation rendered it incapable of complying with the Army Group order. In support of his decision Hitler was able to invoke the army commander who
-
-would be called upon to tackle this difficult task. Had he not had this pretext to hand, he might still have been forced by the pressure of events to give up his demand that the city continue to be held even when the breakthrough was in progress. But then, in all probability, General Paulus would likewise have seen the whole problem with different eyes, since he would no longer have been acting against an express order from Hitler.
-
-The fact that I have dealt in such detail with the Sixth Army commander's motives in not
-
-seizing the last opportunity to save his army is due to my belief that I owe this to him irrespective of anything connected with his personal character or subsequent conduct. As I have already stated, none of the reasons he advanced for his decision could be turned down as inadmissible. Yet the fact remained that this was our one and only chance of saving the army. Not to utilize it — however great the risks - meant to resign all hope of salvation. To take it implied staking everything on one card. In the view of the Army Group, this was now
-
-imperative.
-
-It is easy to criticize the attitude of the future Field-Marshal Paulus in those vital days. Certainly there was more to it than mere 'blind obedience' to Hitler, for there can be no question that Paulus had grave conscientious doubts as to whether he should mount an operation which must inevitably lead - in direct contravention of the wish clearly expressed by Hitler - to the surrender of Stalingrad to the enemy. In the same connexion, however, it should be noted that when it occurred as the result of overwhelming enemy pressure, even this surrender would have been justifiable in relation to Hitler's order, and that since the Army Group had ordered the evacuation, it was the latter's own responsibility.
-
-Apart from this conflict of conscience, however, the army commander was faced with a tremendous gamble if he obeyed the Army Group order. While a break-out certainly offered
-
-the army a chance of rescue, it could equally well lead to its destruction. Should the first attempt to break through the enemy's siege front prove unsuccessful, should Sixth Army get stuck half way while Fourth Panzer Army were unable to make any further progress, or should the enemy manage to over-run the German troops shielding the break-out from the rear and flanks, then Sixth Army's fate would be sealed in no time at all. The task confronting it was an incredibly formidable one and hazardous in the extreme. Like a square fighting in all four directions at once, it had to move out to meet Fourth Panzer Army under the constant threat of being fought to a standstill in its attack to the south-west or alternatively of having its
-
-rearguard and flank protection overrun.
-
-Furthermore, this task would have had to be performed with troops already worn down by hunger and greatly restricted in their mobility. It is not unlikely, however, that the hope of regaining their freedom and eluding death or captivity would have helped them to accomplish
-
-an apparent impossibility.
-
-When General Paulus let the last opportunity slip, when he hesitated and finally decided against the venture, he certainly did so on account of the responsibility he felt on his own shoulders. Although the Army Group strove by its order to absolve him of that responsibility, he still felt unable to acquit himself of it, either vis-a-vis Hitler or before his own conscience.
-
-In the week that followed the Army Group's order for an immediate break-out, the fate of
-
-Sixth Army was decided.
-
-For six whole days the Army Group ran every conceivable risk in order to leave the door open to Sixth Army to fight its way back to freedom in conjunction with Fourth Panzer Army. Throughout this period the Army Group was constantly threatened by the danger that the enemy - resolutely exploiting his breakthrough in the area of the Italian Army - would either drive across the open Donetz crossings to Rostov, where he could strike at the life-line of our whole southern wing, or else that he would wheel round into the rear of the left wing of Don
-
-Army Group, Army Detachment Hollidt.
-
-We had to see the attempt through even at the risk that the thin protective screen serving us as a front on the Lower Chir (Third Rumanian Army) and in the area of Army Detachment
-
-Hollidt might finally disintegrate.
-
-In spite of everything, the Army Group left Fourth Panzer Army in its exposed position east
-
-of the Don as long as it was possible to hope that Sixth Army would avail itself of its last opportunity of escape. The time limit was reached when developments on the left wing of the Army Group left us no choice but to throw forces in there from the eastern bank of the Don and when, on 25th December, the position of 57 Panzer Corps on the Mishkova became
-
-untenable.
-
-Let us now briefly survey the dramatic events of that week.
-
-It all began on the left wing of the Army Group, or, more precisely, on the left flank of Army
-
-Detachment Hollidt.
-
-Exactly what happened to the Italians was not known. It seemed that only one light division and one or another of the infantry divisions had put up any resistance worth mentioning. Be that as it may, on the morning of 20th December the German General commanding the corps on the Italians' right wing came in to state that the two Italian divisions under his command were at that moment beating a rapid retreat, evidently because of a report that there were already two enemy armoured corps deep in their flank. As a result the flank of Army Detachment Hollidt was completely exposed.
-
-When the Army Group Headquarters was informed of this situation by General Hollidt (who actually came under Army Group B), it directed him to use every means at his disposal to halt the Italian divisions. The Army Detachment under his command received orders to hold its position on the Upper Chir and to cover its left flank by an echeloned defence.
-
-In the course of the day, however, the Army Detachment's own flimsy front was penetrated in two places. 7 Rumanian Division carried out an unauthorized withdrawal, and H.Q. 1 Rumanian Corps abandoned its command post in a panic.
-
-By the evening of 20th December the situation in Army Detachment Hollidt's deep flank was utterly obscure. No one could tell whether the Italians who had been in action next to it were still offering any resistance, and if so, where. The enemy's armoured spearheads were reported everywhere in the rear of Army Detachment Hollidt, even as far back as the important Donetz
-
-crossing of Kamensk- Shakhtinsky.
-
-During the next two days the position of Army Detachment Hollidt became increasingly acute. With even its front penetrated, it presented a no longer protectable flank and rear to the enemy armour, which now enjoyed a completely free hand in the sector where the Italians had been
-
-over-run. Before long this perilous situation was bound to have its effect on the Third Rumanian Army front on the Lower Chir.
-
-Army Detachment Hollidt first had to do its best to establish a new front roughly level with that of Third Rumanian Army in order to cover both the latter's flank and the Morosovsky and Tatsinskaya airfields that were so indispensable to the Stalingrad airlift. Everything possible also had to be done to keep the important Donetz crossings of Forchstadt and Kamensk-
-
-Shakhtinsky open.
-
-That such temporary expedients could contain the situation on the Army Group's left wing for at most two or three days longer was only too evident. As early as 20th December the Army
-
-Group had sent O.K.H. a teleprinter message stating point blank that if the enemy acted decisively following his breakthrough on the Italian front, he would bear down on Rostov and seek a major decision against Don Army Group and Army Group A. It was characteristic of the state of affairs prevailing at the Supreme Command that even the Chief-of-Staff of the German Army was unable to take this message in to Hitler on that particular day because the latter - with only O.K. W. representatives in attendance - was busy negotiating with an Italian
-
-delegation. The only reply we got was an O.K.H. directive received on 22nd December, assigning Army Detachment Hollidt a defence line which had long been overtaken by events.
-
-On the very same day it was actually touch and go whether the German and a handful of Rumanian formations which the Army Detachment had fighting out in front would ever get
-
-back to form a new line at all.
-
-Clearly the Army Group could not expect any effective measures from the Supreme Command to stabilize the position in the gap torn in our front with Army Group B by the Italian debacle. It had even refused to allow the quick transfer of an infantry division from Army Group A to ensure the immediate protection of Rostov. All we could do, therefore, was
-
-to draw on our own resources - a decision rendered particularly painful by the fact that it could only be carried out at the expense of the Army Group's right wing — i.e. the forces now in action east of the Don. Yet there was no room for any delay, for on 24th December the crisis at Army Detachment Hollidt reached its climax. Three enemy tank and mechanized corps had driven through the breach in the front where the Italians and 3 Rumanian Division had been. Two of them (25 Tank and 50 Mechanized Corps) were already approaching the vital airlift bases at Morosovsky and Tatsinskaya, while the third (8 Tank Corps) was round behind those elements of the Army Detachment which were still fighting on either the middle
-
-or upper reaches of the Chir.
-
-While the situation on the left wing of the Army Group, particularly on its open western flank, became increasingly grave, we continued to strive for the break-out of Sixth Army, which still depended on Hitler's renunciation of Stalingrad and on the army's readiness to take the
-
-plunge.
-
-Fourth Panzer Army was meanwhile doing everything in its power to accomplish the last lap to Stalingrad, hoping at the same time that Sixth Army would make its task easier by starting
-
-to attack to the south-west.
-
-In the days following its arrival at the Mishkova on 19th December, the relieving army had become imbroiled in heavy fighting against the never-ending waves of forces thrown in by the
-
-enemy from Stalingrad to halt its advance. Despite this, 57 Panzer Corps had succeeded in gaining a foothold on the north bank of the river and, after a series of ding-dong engagements,
-
-in forming a bridgehead there. Mass attacks by the enemy brought him nothing but bloody losses. Already, on the distant horizon, the leading troops of the corps could see the reflection of the gunfire around Stalingrad! Success seemed to be within striking distance if only Sixth
-
-Army would create a diversion by going over to the attack and at least prevent the enemy from constantly throwing fresh forces in the path of Fourth Panzer Army. For reasons which have already been stated, however, Sixth Army's attack never materialized.
-
-On the afternoon of 23rd December the Army Group was regretfully compelled to take account of the situation on the left wing, which was more than critical by this time, by shifting forces to that area. Third Rumanian Army on the Lower Chir was directed to release H.Q.. 48
-
-Panzer Corps and 11 Panzer Division to restore the position on the Army Group's western wing, and to make good this loss Fourth Panzer Army had to give up one armoured division, without which the Lower Chir front could not possibly be held.
-
-The very next day showed how imperative this measure had been. Tatsinskaya airfield was lost, and with it went a means of supplying Sixth Army by air. It could not be recaptured until
-
-28th December.
-
-The Army Group had only taken this agonizing decision to deprive the Fourth Panzer Army
-
-relief group of a whole division when it became clear that Sixth Army could no longer be expected to break out in time. Even now it could have put off doing so if only 16 Motorized Division had been already available. On 2oth December, admittedly, O.K.H. had yielded to
-
-the promptings of my own headquarters and finally given orders for this division to be relieved at Yelista by the Viking Division from Army Group B, but unfortunately the process was to take ten days to complete. As it happened, ten days was the exact period which had elapsed since the Army Group's first request for 16 Motorized Division's release! Had approval been given forthwith, the division could have been immediately available for action on the Chir front on 23rd December and 57 Panzer Corps need never have been deprived of an armoured division. As was so often the case, the decision bore the stamp of Hitler's
-
-dilatoriness.
-
-Although Hitler now promised to let the Army Group have 7 Panzer Division, it was bound to
-
-arrive too late for the relief operation already in progress. At the same time he hoped to see events take a turn for the better now that the first battalion of Tigers was due to arrive, but this was to prove equally fallacious. Apart from the fact that some considerable time was to pass before the Tigers showed up, they had never been tested under active-service conditions and were afflicted with so many growing pains that they could not initially render any worthwhile assistance. This, incidentally, was typical of the way Hitler over-rated the power of new
-
-weapons.
-
-And so, in the battleground east of the Don, too, the hour now came for the initiative to pass
-
-to our opponents.
-
-On 27th December 57 Panzer Corps was attacked in the Mishkova sector, where a steady enemy build-up had been going on, and was pushed back to the Aksai. It became clear in the next few days that the Soviet intention was to envelop the Corps from the east and west.
-
-Two Soviet armies (Fifty-First and Second Guards, comprising three mechanized, one tank, three rifle and one cavalry corps) were identified on the northern and eastern fronts of Fourth
-
-Panzer Army. A large proportion of these forces had been drawn from the Stalingrad siege front, though reinforcements had also come from over the Volga.
-
-Within a day or two the enormous preponderance of forces now amassed by the enemy compelled Fourth Panzer Army to withdraw as far as Kotelnikovo, whence it had originally
-
-begun to drive to Stalingrad on 12th December. What rendered this withdrawal quite inevitable was the inability of the Fourth Rumanian Army units under command to rise to the task of giving flank protection to the troops of 57 Panzer Corps in their hard battle on the Aksai. The troops of both 7 Rumanian Corps, which was to have held the army's eastern flank
-
-towards the Volga, and of 6 Rumanian Corps, which was meant to safeguard the ground between 57 Panzer Corps and the Don, had lost all will to fight— due in part, no doubt, to the scant efforts of either of the command staffs to maintain morale. For all his assurances that he was doing everything possible to rally his troops to fresh resistance, the commander of Fourth Rumanian Army proved powerless in the face of such disintegration. We were left with no choice but to pull these units out of the line and send them home to Rumania.
-
-The attempt to relieve Sixth Army undertaken on 12th December had failed, at least for the
-
-time being.
-
-Could there, judging by the way things had developed since, be any hope of renewing it?
-
-Today, with one's retrospective knowledge of the turn events took in the area of Army Group
-
-B, the reply to this question must be in the negative. At the time, though, it could not be foreseen that the catastrophe suffered by the Italian Army would be followed, before January was out, by an even greater one in the Hungarian Army's sector on the Don.
-
-And so, despite all the objections which existed, the Army Group still did not feel able to abandon its policy of getting help through to Sixth Army. With this in mind, it submitted the following proposals to O.K.H. on 16th December.
-
-In order to maintain the position on the left wing of the Army Group, where the enemy was threatening to break through towards Rostov, for at least a limited period, we called for the earliest possible intervention of an army-sized battle group (Armeegruppe) which O.K.H. had already begun assembling in the Millerovo area, just behind the right wing of Army Group B. In addition, we wanted an infantry division of Army Group A's Seventeenth Army moved quickly over to Rostov for the purpose of affording it direct protection. Likewise 7 Panzer Division, which had provisionally been promised to the Army Group and would be arriving too late to be committed east of the Don, must now take a hand in the battle on the left wing
-
-of the Army Group.
-
-The worst that need be expected in the centre of the Army Group front was a withdrawal to the Don—Donetz line. Besides, the situation on the Lower Chir had relaxed somewhat in the last few days, as the enemy had obviously concentrated his forces further west to capture our
-
-airfields at Tatsinskaya and Morosovsky.
-
-The question of whether a second attempt to raise the Stalingrad siege could be made or not depended on our ability to assemble enough forces east of the Don to enable Fourth Panzer Army to beat the enemy now pursuing it. To this end Don Army Group called on O.K.H. - as
-
-it had been doing repeatedly since 18th December and even before that - immediately to transfer 3 Panzer Corps and an infantry division from First Panzer Army to reinforce Fourth
-
-Panzer Army. These forces, when combined with 16 Motorized Division (whose arrival must likewise be expedited), would have sufficed, in the Army Group's opinion, for Fourth Panzer
-
-Army to renew its advance on Stalingrad.
-
-We reckoned, moreover, that they could be made available to the latter within six days. The same period must suffice to fly in Sixth Army's urgent requirements of fuel (1,000 tons) and
-
-food (500 tons), the Supreme Command having meanwhile promised more squadrons of transport aircraft. Tatsinskaya and Morosovsky would be free again in a day or two. It goes without saying that at the same time we repeatedly demanded freedom of movement for Sixth
-
-Army.
-
-Even though the latter might consider it hopeless to attempt a break-out at the present juncture, the Army Group Headquarters insisted that there was no alternative, since it was quite impossible to keep the army supplied inside the pocket. In view of the general situation and the state of Sixth Army's troops, however, we considered that the latest possible date for a break-out must be around the New Year, by which time Fourth Panzer Army - always provided that its reinforcements arrived - could have started attacking towards the pocket again. Admittedly, even if the break-out were a success, one could now hardly expect Sixth Army to reach Fourth Panzer Army as an intact formation. Nonetheless, a considerable number of its troops would presumably have an opportunity to fight their way through.
-
-The question was whether First Panzer Army could spare the abovementioned forces at this time. Both Hitler and Army Group A Headquarters contended that it could not.
-
-Whether this refusal was justified must be left for others to decide. At all events, on 27th December Don Army Group sent O.K.H. (for Hitler's attention) a statement of comparative
-
-strengths indicating that the transfer of the three divisions we had asked for was perfectly feasible. According to the figures given, the ratio of German to enemy forces in the area of Army Group A was unquestionably a more favourable one than that existing in the case of
-
-Don Army Group.
-
-The latter's formations, moreover, had been involved in some extremely heavy fighting in the last month and a half and were correspondingly run down. Don Army Group was having to fight in open country, whereas ever since the Caucasus offensive petered out the armies of Army Group A had been holding positions which must by now be reasonably strong. But even if First Panzer Army had been unable, after handing over the three divisions in question,
-
-to withstand a more powerful enemy attack, it could still have employed elastic tactics to delay the enemy's advance until the battle to save Sixth Army had been settled one way or the
-
-other. Hitler, however, would not admit this possibility at the time, although our own headquarters had pointed out several times already that even if we could get Sixth Army out,
-
-it would not be possible to hold the Caucasus front permanently. The 'grand solution' advocated by us - which meant taking Sixth Army out of Stalingrad and going over to mobile operations throughout the areas of Don Army Group and Army Group A - was something
-
-which Hitler would not accept.
-
-His refusal to weaken Army Group A may, apart from his fundamental unwillingness ever to surrender anything, have had yet another reason. He evidently believed he had another possibility in hand of bringing assistance to Sixth Army, even though not till a later date.
-
-According to an O.K.H. directive received by us on 31st December, Hitler had resolved to move the SS Panzer Corps, which had had a rest and refit and consisted of the 'Leibstandarte', 'Death's Head' and 'Reich' Panzer Grenadier Divisions, over from the Western to the Eastern theatre. The corps was to concentrate around Kharkov and from there carry forward a relief offensive against Stalingrad. On account of the limited capacity of the railways, however, its assembly in the Kharkov area could not be completed before mid-February. How Sixth Army was to be kept alive in the meantime was not stated. Even though it was not yet possible to foresee the same sort of disaster in the Hungarian sector which had just befallen the Italians, the provision of the SS Panzer Corps was still necessary in view of the ever-increasing gravity of the situation between Army Group B and Don Army Group. However, there was no basis whatever for assuming that the forces of the SS Panzer Corps would ever suffice to carry an offensive as far as Stalingrad. What might well have been achieved over the relatively short distance of 80 miles from Kotelnikovo to Stalingrad in December, when the reinforcement of Fourth Panzer Army had been entirely feasible, could only be regarded as sheer fantasy in February, when it was a matter of covering 350 miles from Kharkov. If Hitler really did believe such a drive possible, it merely substantiates what was said about him in an earlier
-
-
-
-
-
-chapter.
-
-When Hitler rejected all Don Army Group's requests for the speedy reinforcement of Fourth Panzer Army at the end of December, the fate of Sixth Army was finally sealed. In vain had we staked the last available man and the last available shell on the liberation of Sixth Army! In vain had we striven till the last possible moment to get the relief operation carried out and thrown the fate of the whole Army Group into the balance to do so !
-
-From the beginning of January onwards, events in the area of Don Army Group could be more or less divided into two parallel phases, i.e.:
-
-Sixth Army s final battle around Stalingrad
-
-and
-
-the struggle to preserve the entire southern wing, embracing Army Groups A, B and Don.
-
-While the latter must be dealt with separately for reasons of operational continuity, the former is covered in the last part of this chapter. Therein will be seen what an immense bearing Sixth Army's last battle was to have on the preservation of the southern wing of the German armies.
-
-SIXTH ARMY'S LAST BATTLE
-
-The death-struggle of Sixth Army, which began around the turn of the year, is a tale of indescribable suffering. It was marked not only by the despair and justified bitterness of the men who had been deceived in their trust, but even more by the steadfastness they displayed in the face of an undeserved but inexorable fate, by their high degree of bravery, comradeship and devotion to duty, and by their calm resignation and humble faith in God.
-
-If I refrain from dwelling on these things here, it is certainly not because we at Army Group Headquarters were not intensely affected by them. Respect for a heroism which may never find its equal renders me incapable of doing full justice to these happenings at Stalingrad.
-
-There is one question, however, which I feel both impelled and qualified to answer as the
-
-former commander of Don Army Group.
-
-Was it justifiable or necessary — and if so, for how long — to demand this sacrifice of our soldiers? In other words, did Sixth Army's final battle serve any useful purpose ? To answer the question properly, one must examine it against the background of the current situation, and the stern exigencies this imposed, rather than in the light of Germany's ultimate defeat.
-
-On 26th December the commander of Sixth Army sent us the message reproduced below. We passed it straight on to O.K.H., our policy all along having been to present the Army's position in a quite un-embellished form. (From this moment onwards the only reports we received on the position inside the pocket came by radio or from officers flown out as couriers. We had been unable to maintain the ultra-high-frequency radio link by which it was possible to hold teleprinter conversations over a brief period.)
-
-The message from Colonel-General Paulus ran as follows:
-
-'Bloody losses, cold, and inadequate supplies have recently made serious inroads on divisions' fighting strength. I must therefore report the following:
-
-1. Army can continue to beat off small-scale attacks and deal with local crises for some time yet, always providing that supply improves and replacements are flown in at earliest possible
-
-moment.
-
-2. If enemy draws off forces in any strength from Hoth's front and uses these or any other troops to launch mass attacks on Stalingrad fortress, latter cannot hold out for long.
-
-[I.e. Colonel-General Hoth, commanding Fourth Panzer Army. Tr.]
-
-3. No longer possible to execute break-out unless corridor is cut in advance and Army
-
-replenished with men and supplies.
-
-'I therefore request representations at highest level to ensure energetic measures for speedy relief, unless overall situation compels sacrifice of army. Army will naturally do everything in
-
-its power to hold out till last possible moment.
-
-'I have also to report that only 70 tons were flown in today. Some of the corps will exhaust bread supplies tomorrow, fats this evening, evening fare tomorrow. Radical measures now
-
-urgent.'
-
-The contents of this message confirmed how wrong Paulus's Chief-of-Staff had been only a week before when he asserted that the army could hold out till Easter if properly supplied.
-
-The message also showed that when the Army Group had ordered Sixth Army to break out of the pocket one week previously, this - in view of the approach of Fourth Panzer Army - had not only been its first chance of being rescued but - as could be seen from the state the army
-
-was in - its last one, too.
-
-Otherwise, except for local attacks, there was relative calm on the Sixth Army fronts around the end of December and beginning of January. This was either because the enemy wished to
-
-munition his artillery for a grand assault or because he was putting all the forces he could spare into an attempt to destroy Fourth Panzer Army and to score the success he was after in
-
-the large bend of the Don.
-
-On 8th January General Hube appeared at Army Group Headquarters on his way back from seeing Hitler. The latter had had Hube flown out of Stalingrad to Lotzen to brief him on the situation of Sixth Army. Hube told me that he had given Hitler a completely unvarnished picture of things in the pocket. (This cannot, in fact, have differed in any respect from the one already available to Hitler from the Army Group's daily situation reports, but presumably he was not prepared to credit our own version without further evidence.)
-
-Nevertheless, it was remarkable how Hiibe's stay in Lotzen had impressed him and to what extent he had been influenced by Hitler's display of confidence - genuine or otherwise. Hitler had declared that everything would be done to supply Sixth Army for a long time to come and had drawn attention to the plan for its relief at a later date. With his confidence thus restored, Hube returned into the pocket, only to be flown out again on instructions from Hitler to take over the running of the airlift from outside. Not even he was able to improve it, however, its
-
-low efficiency being due to the prevailing weather and the inadequate resources of the Luftwaffe and not to any shortcomings in the actual organization. One statement of Hiibe's which touched me personally concerned a rumour circulating in Sixth Army that I had sent them the signal: 'Hang on - I'll get you out: Manstein.' While I left no stone unturned to extricate Sixth Army from Stalingrad, it has never been my custom to promise the troops anything which I was not certain of fulfilling and did not rest with me alone.
-
-General Hube, who was a fearless man, had tried to bring home to Hitler how damaging such
-
-events as the encirclement of Sixth Army must be to his prestige as Head of State. By this means he wished to suggest that Hitler should hand over command — at least on the Eastern Front - to a soldier. In view of the fact that Hube had called in to see us on his way to Lotzen, Hitler doubtless supposed that Hiibe's demarche had been inspired by me. This was in fact not
-
-the case.
-
-When, after the fall of Stalingrad, I myself proposed a change in the supreme military command' to Hitler, he was already forewarned and flatly refused to consider such a thing. Otherwise - especially as he was then still under the impression of his responsibility for the loss of Sixth Army - he might have proved more receptive to my ideas.
-
-On 9th January the enemy called upon Sixth Army to capitulate. On Hitler's orders, the
-
-demand was rejected.
-
-I do not think I can be reproached with ever having taken an uncritical view of Hitler's decisions or actions in the military sphere. Yet I entirely support the decision he made in this instance, for however harsh it may have been from the humanitarian point of view, it was still
-
-necessary at the time.
-
-I do not propose to deal here with the purely soldierly viewpoint that no army may capitulate as long as it still has any strength left to fight. To abandon it would mean the very end of
-
-soldiering. Until we reach the happy era when states can do without armed might and soldiers no longer exist, this conception of soldierly honour will have to be maintained. Even the
-
-apparent hopelessness of a battle that can be avoided by capitulation does not in itself justify a
-
-surrender.
-
-If every Commander-in- Chief were to capitulate as soon as he considered his position hopeless, no one would ever win a war. Even in situations apparently quite bereft of hope if has often been possible to find a way out in the end. From General Paulus's point of view, at all events, it was his soldierly duty to refuse to capitulate. An exception could only have been
-
-made if the army had had no further role to play and could serve no useful purpose in prolonging its struggle. And this in turn brings us to the crucial point which justifies Hitler's order to refuse to capitulate and also barred the Army Group from intervening in favour of such action at that particular time. No matter how futile Sixth Army's continued resistance
-
-might be in the long run, it still had - as long as it could conceivably go on fighting - a decisive role to fulfil in the overall strategic situation. It had to try to tie down the enemy forces opposing it for the longest possible space of time.
-
-At the beginning of December an approximate total of sixty enemy formations (i.e. rifle divisions, armoured and mechanized brigades etc.) had been identified in the siege ring around the army. Some of them had doubtless been temporarily drawn off by the attack of Fourth Panzer Army, but new ones had been brought up to replace them. By 19th January, ninety of the 259 formations reported to be facing Don Army Group were committed around
-
-Sixth Army. What would have happened if the bulk of these ninety formations had been released through a capitulation of Sixth Army on 9th January is plain enough in the light of what has already been said about the Army Group's position and the consequent threat to the
-
-southern wing as a whole.
-
-The army was still capable of fighting, even though this was ultimately futile from its own point of view. Yet its ability to hold out was of decisive importance for the situation on the southern wing. Every extra day Sixth Army could continue to tie down the enemy forces surrounding it was vital as far as the fate of the entire Eastern Front was concerned.
-
-It is idle to point out today that we still lost the war in the end and that its early termination would have spared us infinite misery. That is merely being wise after the event. In those days it was by no means certain that Germany was bound to lose the war in the military sense. A military stalemate, which might in turn have led to a similar state of affairs in the political field, would have been entirely within the bounds of possibility if the situation on the southern wing of the German armies could in some way have been restored. This, however, depended first and foremost on Sixth Army's continuing the struggle and holding down the enemy siege forces for as long as it possessed the slightest capacity to resist. It was the cruel necessity of war which compelled the Supreme Command to demand that one last sacrifice of the brave troops at Stalingrad. The fact that the self-same Supreme Command was responsible for the army's plight is beside the point in this context.
-
-Following Sixth Army's refusal to capitulate on 9th January, the Soviet attack, preceded by intensive artillery preparation and supported by a large number of tanks, broke loose on all fronts. The main pressure was directed against the salient which protruded furthest west by Marinovka, and the enemy was able to break in at several points.
-
-On 11th January the situation became even more critical, and because of the lack of ammunition and fuel the army could no longer restore it to any appreciable extent. The loss of
-
-the positions in the Karpovka Valley - and in particular of the inhabited localities there -deprived the troops on the western front of what protection they had hitherto enjoyed against the cold. Furthermore, the state of the weather ruled out any hope of an airlift.
-
-This aggravation of Sixth Army's plight was made clear in a special report of 12th January which the Army Group immediately forwarded to O.K.H.
-
-'Despite the troops' heroic resistance,' the army stated, 'the heavy fighting of the last few days
-
-has resulted in deep enemy penetrations which could so far be contained only with difficulty.
-
-Reserves are no longer available; nor can any be formed. Heavy weapons now immobilised. Severe losses and inadequate supplies, together with cold, have also considerably reduced troops' powers of resistance. If enemy maintains attacks in present strength, fortress front
-
-unlikely to hold more than a few days longer. Resistance will then resolve itself into localised
-
-actions.'
-
-On 12th January weather again stopped the airlift and also prevented the Luftwaffe from flying any sorties in support of the army's hard defensive battles.
-
-That evening General Pickert, the man responsible for controlling the Luftwaffe's side of the airlift, came out of the pocket. He painted a shocking picture of the position and set a limit of
-
-two to four days on the army's capacity for continued resistance - an estimate that was to prove inaccurate by reason of the bravery and self-sacrifice of the troops. In Pickert's opinion not even an improvement of the airlift could make much difference from now on, as the army's resources no longer sufficed to patch up the points where the enemy had broken in.
-
-The following information on the tactical situation inside the pocket emerged from a report brought out to us by Pickert from Paulus (who had meanwhile been promoted Colonel-General) :
-
-On the north-western front the enemy had attacked with a force of between ten and twelve divisions. Parts of 3 and 29 Motorized Infantry Divisions had been outflanked from the north and smashed, with the result that it no longer seemed possible to rebuild a defence line here. The two gallant divisions had knocked out 100 tanks between them, but the enemy still
-
-appeared to have fifty intact.
-
-On the southern front of the pocket, in spite of heroic resistance by 297 Infantry Division, the enemy had succeeded in breaking in after two days of intensive artillery bombardment. Here, too, there were no more forces available to close the gap. Of over 100 Soviet tanks taking part
-
-in this assault, forty had been knocked out.
-
-The eastern front of the pocket was still holding at present, though here, too, heavy enemy
-
-pressure was being exerted.
-
-On the north-eastern front the enemy had penetrated deeply in several places. 16 Panzer Division's fighting strength was exhausted.
-
-Paulus further stated that the army would stand and fight to the last round. Any reduction in the size of the pocket as now suggested by Hitler to General Hube [At the time when it was vitally necessary to accumulate forces for the break-out Hitler had issued an order expressly forbidding such action. Author.] would only serve to hasten the collapse, as no heavy weapons could now be moved. Since the airlift had been inadequate all along, no improvement could help matters now. The length of time the army could continue to resist depended entirely on the intensity of the enemy's attacks.
-
-That same day the Pitomnik airfield was lost. Henceforth the only one left to us in the
-
-Stalingrad pocket was that at Gumrak.
-
-During the night, however, Paulus reported that there might still be some prospect of continuing to defend the city if several battalions of troops were flown in forthwith with their full scale of weapons. He had already asked us repeatedly to fly in several thousand men to make good his losses, but the Army Group had been unable to comply because it possessed neither the necessary replacements nor, indeed, a single uncommitted battalion.
-
-Nor would it in any case have acceded to these requests from Sixth Army once Fourth Panzer Army's rescue drive had become bogged down, if only because there could be no justification
-
-for dispatching any reinforcements or replacements into the pocket from then on. It was already quite bad enough to have to fly unit commanders and General Staff officers back into the pocket on their return from leave. But apart from the fact that the army urgently needed them, these officers - some of whom bore such old military names as Bismarck and Below -themselves insisted on returning to their troops, thereby proving that the tradition of self-denial and comradeship could withstand the hardest of tests.
-
-On 13th January Colonel-General Paulus's senior aide, Captain Behr, an exemplary young officer who had already won the Knight's Cross, flew out to see us, bringing the army's war diary with him. He told us how bravely the troops were still fighting and what fortitude all ranks had shown in coming to terms with the cruelty of their fate.
-
-Behr carried letters from Paulus and his Chief-of-Staff to Schulz and myself— letters reflecting the courage, integrity and decency that govern the German soldier's way of thinking. They fully recognized that the Army Group had done everything humanly possible to get Sixth Army out. On the other hand, of course, one detected their bitterness at the fact
-
-that the promises about air supplies had not been kept. All I can say to this is that neither Colonel-General v. Richthofen nor I had ever made such promises. The man responsible for
-
-them was Goring.
-
-On 16th January there was again heavy fighting on all the army fronts. For a time it was impossible for any more aircraft to land, following the excessive losses inflicted by the enemy's ground and fighter defences earlier in the day. In the main it was now only possible to fly supplies in at night or drop them from the air. Inevitably a considerable volume of stores delivered by the latter method went astray.
-
-The same day Hitler put Field-Marshal Milch in charge of the airlift. On 17th January the army radioed that the Gumrak airfield was usable again, but the Luftwaffe did not agree. The Army Group, however, insisted that an attempt be made to land there.
-
-On 19th January I had my first talk with Milch, who had been slightly injured the day before
-
-when the car in which he had been coming to see me collided with a railway engine. I impressed on him the urgent need for a radical improvement of the airlift notwithstanding the hopelessness of Sixth Army's position. Apart from the fact that we owed it to our comrades at Stalingrad to maintain their supplies until the very last hour, I said, the army was performing a vital operational task in continuing to tie down ninety Soviet formations. In view of the critical situation on the rest of the Army Group's front and its open flank by Army Group B, every extra day we could keep Sixth Army in action might well be of decisive value. Milch promised to release all possible resources from the home front, including the last reserves of
-
-transport aircraft and technical personnel for maintenance and repair work. The latter were particularly important now, as the Morosovsky and Tatsinskaya airfields had by this time fallen into enemy hands and the airlift was having to operate from Novocherkask and Rostov
-
-and bases even further to the rear.
-
-From what Milch told me it was clear that if he had been called in several weeks earlier he might have been able to ease matters considerably, since he had access to many resources back at home which were not available to v. Richthofen. This meant that Goring was all the more to blame for not having ensured that the resources in question were tapped at the right
-
-time.
-
-On 24th January the following communication reached us from the Chief-of-Staff of the
-
-Army, General Zeitzler:
-
-'The following radio message has been received here:
-
-"Fortress can be held for only a few days longer. Troops exhausted and weapons immobilised as a result of non-arrival of supplies. Imminent loss of last airfield will reduce supplies to a minimum. No basis left on which to carry out mission to hold Stalingrad. Russians already able to pierce individual fronts, whole stretches of which are being lost through men dying. Heroism of officers and men nevertheless unbroken. In order to use this for final blow, shall give orders just before final break-up for all elements to fight through to south-west in organized groups. Some of these will get through and sow confusion behind Russian lines. Failure to move will mean end of everyone, as prisoners will also die of cold and hunger. Suggest flying out a few men, officers and other ranks, as specialists for use in future operations. Appropriate order must be given soon, as landing facilities unlikely to exist much longer. Please detail officers by name, obviously excluding myself.
-
-PAULUS."
-
-'The following reply has been sent:
-
-"Message received. Identical with recommendation put up by me four days ago. On my
-
-resubmission, Fuhrer has directed:
-
-1. Re break-out: Fuhrer reserves right of final decision. Please send further signal in
-
-case.
-
-2. Re flying-out of personnel: Fuhrer has refused for time being. Please send Zitzewitz here to restate case. I shall take him to see Fuhrer.
-
-ZEITZLER."
-
-As regards Colonel-General Paulus's request to have individual members of his army flown
-
-out, I would offer the following comment.
-
-Seen purely from the viewpoint of military expediency, it would naturally have been desirable to save the highest possible number of essential specialists- always bearing in mind, of course, that they must be selected quite irrespective of rank. From the humanitarian point of view, it
-
-goes without saying that one should try to get every single man out. Yet there was also an aspect of soldierly ethics to consider - the one which dictated that the very first to be flown out should be the wounded. (This, in fact, we did succeed in doing on a quite remarkable scale.) The evacuation of specialists, however, could only have been achieved at the expense of leaving wounded men behind. Besides, the majority of specialists to be flown out would inevitably have been officers, for the simple reason that an officer's training renders him more important in war than the private soldier, unless the latter happens to have some very special
-
-qualification as a technician or scientist. But in a situation like Sixth Army's, the German military code demands that when lives are at stake, the officers must take second place to the men. It was for this reason that the Army Group made no move to get the Sixth Army commander's proposal accepted by Hitler.
-
-As for any attempt to break through the enemy lines in small groups at the last moment,
-
-Hitler's 'final decision' never materialized.
-
-Nonetheless, the Army Group did try to create a basis of survival for successful groups of evaders by dropping food at various points behind the enemy front and sending out reconnaissance aircraft in search of them. But none reached the Army Group Front, nor were
-
-any sighted by our pilots.
-
-At all events, Paulus's message shows that up to the very last those members of Sixth Army who still had any strength left did not lose their will to fight. Indeed, we were aware that some of the younger officers and men, whose resistance was not yet exhausted, were resolved whatever happened to try to fight their way through the enemy's siege-ring when the time came. This was why we took the measures described above, fruitless though they proved.
-
-On 22nd January the Russians reached the Gumrak airfield, with the result that supplies could
-
-no longer be delivered by landing aircraft. Having reported that he could no longer seal the gap in the front there and that his ammunition and rations were coming to an end, Paulus now
-
-sought Hitler's permission to begin surrender negotiations. In this connexion I had a long argument with the latter by telephone. I urged him to authorize a capitulation, my belief being that though every day's reduction of the army's resistance must aggravate the Army Group's situation as a whole, the time had now come to put an end to this valiant struggle. In bitter fighting the army had expended its last ounce of strength to hold a far stronger enemy, thereby decisively contributing to the salvation of the Eastern Front that winter. From now on the army's sufferings would bear no relation to any advantage which could be derived from
-
-continuing to tie down the enemy's forces.
-
-In a long and violent dispute Hitler rejected the request made by Paulus and myself and ordered the army to fight on to the end. His grounds for doing so were that every day the enemy's Stalingrad divisions were prevented from being committed elsewhere represented a vital saving. Yet the situation was critical enough now that the Russians had also overrun the Hungarian Army on the Don and virtually wiped Army Group B off the map. From Voroshilovgrad on the Donetz up as far as Voronezh on the Don there was a gaping void within which the enemy was advancing in strength and had almost complete freedom of movement. Whether, in this situation, Don Army Group and Army Group A, which was now withdrawing from the Caucasus, could be saved at all seemed more than doubtful.
-
-Hitler contended that even if Sixth Army were no longer able to form a coherent front, the fight could still be continued in smaller pockets for some time yet. Finally he declared that capitulation was futile, as the Russians would never keep any agreements anyway.
-
-That the second prediction was correct in essence, if not in the strictly literal sense, is shown by the fact that of the 90,000 prisoners who finally fell into Soviet hands, not more than a few thousand can be alive today. It must be emphasized here, moreover, that the Soviets had intact railways running close up to Stalingrad and that, given good-will, it must have been possible-for them to feed and evacuate the prisoners. Inevitable though the high loss of life from cold and exhaustion may well have been, the death rate in this case still appears quite excessive.
-
-When Hitler turned down my request for Sixth Army's capitulation, I was naturally faced with the personal problem of deciding whether to register my disagreement by resigning command
-
-of the Army Group.
-
-It was not the first time that I had contemplated doing so. The problem had particularly oppressed me during those Christmas days of 1942 when I had failed to persuade Hitler to let Sixth Army break out. And I was often to encounter it again in the months ahead.
-
-It is, I think, understandable that one should have wished to be released from responsibilities rendered almost unbearable by the interminable, nerve-racking battles that had to be fought with one's own Supreme Command before it would accept the need for any urgent military action. The extent to which this wish preoccupied me at that time is apparent from a remark made by my G.S.O. I, the then Colonel Busse, to the chief engineer of Sixth Army just after Christmas 1942. According to the latter, Busse's words were: 'If I had not kept begging him (Manstein) to stay for the troops' sake, he'd have chucked the job back at Hitler long ago.' This impulsive utterance by the man who was then my closest collaborator is the best
-
-indication of my attitude and position.
-
-But let me make a few general remarks here on the question of a senior commander's resignation in the field. The first point is that a senior commander is no more able to pack up and go home than any other soldier. Hitler was not compelled to accept a resignation, and
-
-would hardly have been likely to do so in this case. The soldier in the field is not in the pleasant position of a politician, who is always at liberty to climb off the band-wagon when things go wrong or the line taken by the Government does not suit him. The soldier has to
-
-fight where and when he is ordered.
-
-There are admittedly cases where a senior commander cannot reconcile it with his responsibilities to carry out an order he has been given. Then, like Seydlitz at the Battle of Zorndorf, he has to say: After the battle the King may dispose of my head as he will, but during the battle he will kindly allow me to make use of it.' No general can vindicate his loss of a battle by claiming that he was compelled - against his better judgement - to execute an order that led to defeat. In this case the only course open to him is that of disobedience, for which he is answerable with his head. Success will usually decide whether he was right or
-
-not.
-
-This was my reason on 19th December for giving Sixth Army that order immediately to break out to the south-west contrary to an express directive from Hitler. The fact that the order did not achieve anything is due to the failure of Sixth Army Headquarters to carry it out. It will hardly ever be possible to decide conclusively whether the latter was right to forgo this one
-
-remaining chance of salvation, as no one can tell whether the break-out would have succeeded
-
-or not.
-
-On later occasions, too, I acted contrary to Hitler's orders whenever it was absolutely necessary to do so. Success proved me right, and Hitler had to tolerate my disobedience. (Unauthorized action was not admissible, however, when it would have landed the adjacent
-
-army groups in trouble.)
-
-This question of resignation has another aspect, however, besides the one mentioned above. I refer to the feeling of responsibility which a senior commander must have towards his
-
-soldiers.
-
-At the time in question I had not only Sixth Army to consider. The fate of my entire Army Group was at stake, as well as that of Army Group A. To throw up my task at this moment, however justifiable the human motives might be in the light of Hitler's attitude over the capitulation of Sixth Army, struck me as a betrayal of those brave troops who were also involved in a life-and-death struggle outside the Stalingrad pocket.
-
-The fact that Don Army Group subsequently succeeded in mastering one of the most difficult situations of the war served, in my own opinion, to justify my decision that day not to resign
-
-out of sheer disgust.
-
-Just how vital Sixth Army's bitter resistance had been may be gathered from a short sketch of developments in the areas of Don Army Group and Army Groups A and B in January 1943.
-
-On 29th December O.K.H. had finally given in to the insistence of Don Army Group and ordered the withdrawal of Army Group A from the Caucasus, initially by taking its left wing -First Panzer Army - back on to the Kuma line Pyatigorsk-Praskoveya (155 miles southeast of Salsk). Because of the time needed to salvage equipment, the move proceeded extraordinarily slowly and no forces became free for the time being.
-
-By 9th January, the date of Sixth Army's rejection of the surrender call, First Panzer Army
-
-had still not reached the Kuma line.
-
-Fourth Panzer Army, whose task was to cover the rear of Army Group A south of the Don and simultaneously to keep its communications through Rostov open, had been pushed back to the west through Kotelnikovo after some heavy fighting against a much superior enemy (three armies strong) south of the Don. By 9th January it was fighting hard defensive battles along the Kuberle, between the Sal and the Manych, and we could see that the enemy intended to envelop it from both flanks. His 3 Guards Tank Corps, on the Don around Konstantinovka, was swinging south-east and driving on Proletarskaya in the rear of Fourth Panzer Army. Similarly, along the Manych, the Soviet Twenty-Eighth Army, newly arrived from the Kalmyk Steppes, was trying to execute an out-flanking movement to the south.
-
-Army Detachment Hollidt, after some heavy fighting in the large bend of the Don, had had to retire to the Kagalnik sector. Even here the enemy had already broken into the southern flank of its positions, a small enemy force having crossed the Don north-east of Novocherkask (the location of Army Group Headquarters) on 7th January. On the northern wing of the army detachment 7 Panzer Division was trying to delay the enemy's approach to the Donetz
-
-crossing at Forchstadt by local shock tactics. The crossing at Kamensk could only be covered by emergency units and the few Rumanians who had not disappeared from the battlefield.
-
-North-west from this point stretched the enormous gap left by the disintegration of the Italian Army. Fighting around Millerovo, for a time almost completely surrounded, was the weak Fretter-Pico Battle Group belonging to Army Group B.
-
-On 24th January, the day Sixth Army finally crumbled into three tightly packed groups in and around Stalingrad and could no longer tie down any Soviet forces worth mentioning, the situation on the rest of the front was as follows :
-
-The northern wing of Army Group A was still around Belaya Glina and, even further south, east of Armavir, which meant that it was 100-125 miles from Rostov. The withdrawal of the bulk of First Panzer Army through Rostov had now been finally approved by O.K.H.
-
-Of Don Army Group, Fourth Panzer Army was fighting desperately south-east of Rostov to keep the Don crossing clear for First Panzer Army, which I envisaged throwing on to the left wing of my Army Group to hold the Donetz from Voroshilovgrad upwards.
-
-Army Detachment Hollidt was defending the Donetz from its junction with the Don up to a
-
-point above Forchstadt.
-
-The Fretter-Pico Battle Group (consisting of two dilapidated divisions) was guarding the
-
-Donetz on both sides of Kamensk.
-
-Since 19th January, in consequence of the disintegration of the Italian and Hungarian Armies (the latter, too, having meanwhile been over-run on the Don), there had been a gap some 200 miles wide from Voroshilovgrad on the Donetz to Voronezh on the Don. On 23rd January the 'front' as far as Starobyelsk had been placed under Don Army Group. Practically the only troops left there were those of 19 Panzer Division, which was already pretty battered after giving up Starobyelsk in the face of three Soviet army corps.
-
-When the last resistance of Sixth Army ceased on 1st February, the enemy was threatening to cross the Donetz in the Voroshilovgrad area with a group of three tank, one mechanized and one rifle corps and appeared to have thrown another group of three or four tank corps and one rifle corps against the line of the river from Lissichansk to Zlaviansk.
-
-There would seem to be little point in discussing how the situation would have developed between 9th January and 1st February, or what might have happened subsequently, had not the enemy been tied down so long at Stalingrad by the heroic resistance of Sixth Army!
-
-Now let us return to the army's final struggle.
-
-On 24th January the front broke down into three small pockets, one in the centre of Stalingrad and the other two on its northern and southern perimeters.
-
-On 31st January the army commander, meanwhile promoted Field-Marshal, was taken
-
-prisoner with his staff.
-
-On 1st February the last of the fighting came to an end when what was left of 11 Corps also
-
-surrendered in the north of the city.
-
-The struggle of Sixth Army was over!
-
-Soviet captivity was to finish off a process of decline begun by the utter ruthlessness of the fighting, pitiless hunger and the icy cold of the Russian steppes. The soldiers who suffered it had surrendered only when their arms were powerless to bear weapons and their hands too frozen to operate them, when the exhaustion of their ammunition left them defenceless in the face of an overwhelming foe! Thanks to the self-sacrifice of the German aircrews, however, it had still been possible to evacuate some 30,000 wounded from the pocket.
-
-Anyone seeking to fix the responsibility for the tragedy of Stalingrad already has the answer from Hitler's own lips. On 5th February I was summoned to Supreme Headquarters, all my pleas to Hitler to come and see the situation on our front for himself, or at least to send the Chief-of-Staff or General Jodl, having failed to move him.
-
-Hitler opened the interview with roughly these words :
-
-"I alone bear the responsibility for Stalingrad ! I could perhaps put some of the blame on Goring by saying that he gave me an incorrect picture of the Luftwaffe's potentialities. But he has been appointed by me as my successor, and as such I cannot charge him with the
-
-responsibility for Stalingrad."
-
-It was certainly to Hitler's credit that he accepted responsibility unreservedly in this instance and made no attempt whatever to find a scapegoat. On the other hand, we are confronted by his regrettable failure to draw any conclusions for the future from a defeat for which his own
-
-errors of leadership were to blame.
-
-Yet there is one fact which overshadows the question of responsibility and all that the ruthlessness of captivity, brain-washing and justified bitterness may have subsequently done to affect the attitude of many an individual member of the sacrificed Army:
-
-By their incomparable bravery and devotion to duty, the officers and men of the army raised a memorial to German arms which, though not of stone or bronze, will nonetheless survive the ages. It is an invisible memorial, engraved with the words prefacing this account of the
-
-greatest of soldiers' tragedies.
-
-The following are the headquarters staffs and formations of Sixth Army which perished at
-
-Stalingrad :
-
-H.Q. 4, 8 and 11 Corps and H.Q. 14 Panzer Corps; 44, 71, 76, 79, 94, 113, 295, 297, 305, 371, 376, 384 and 389 Infantry Divisions; 100 Rifle (Jager) Division and 369 Croatian Regiment; 14, 16 and 24 Panzer Divisions; 3, 29 and 60 Motorized Divisions;
-
-as well as numerous army and army-group troops, anti-aircraft units and ground units of the
-
-Luftwaffe.
-
-Finally, there were 1 Rumanian Cavalry Division and 20 Rumanian Infantry Division.
-
-13
-
-THE 1942-3 WINTER CAMPAIGN IN
-
-SOUTH RUSSIA
-
-'Strategy is a system of stop-gaps.' MOLTKE
-
-WHILE THE eyes of all Germany were on Stalingrad at the turn of 1942-3, and anxious hearts prayed for the sons who fought there, the southern wing of the Eastern Front was simultaneously the scene of a struggle even greater than that being waged for the lives and freedom of Sixth Army's gallant two hundred thousand.
-
-The issue was no longer the fate of a single army but of the entire southern wing of the front and ultimately of all the German armies in the east.
-
-This struggle was spared the tragedy of defeat, being ultimately marked - for the last time in
-
-World War II - by a brief glimpse of victory. But it embraced, quite apart from its initial association with the trials of Sixth Army, such a wealth of unprecedented tensions and well-nigh fatal crises that the campaign may be regarded as one of the most exciting of the war. On the German side there could no longer be any question of this being one last bid for the palm
-
-of final victory. Indeed, thanks to the errors of leadership in the summer and autumn campaigns of 1942, the principal aim - at least to begin with - could only be, in the words of Schlieffen, 'to bring defeat underfoot'. In the face of an enemy whose manifold superiority offered him every chance of victory, the German command had to improvise again and again, and the fighting troops to perform unparalleled feats.
-
-Though its end was marked by neither the fanfares of victory nor the muffled drum-beats which accompanied Sixth Army's death-march, this battle still deserves recording. As a withdrawal operation it must inevitably be devoid of glory. Yet the fact that, far from ending in defeat, it offered the Supreme Command one more chance of achieving at least a military stalemate was possibly something more than an ordinary victory.
-
-STRATEGIC BASIS OF THE WINTER CAMPAIGN
-
-In order to appreciate the significance of this decisive campaign on the southern wing and the magnitude of the dangers it involved, we must briefly consider the operational position at its
-
-inception.
-
-In the winter of 1941-2 Russia's military resources had only sufficed to halt the German attack on Moscow, and with it the German campaign as a whole. Then, in the summer of 1942, the tide had surged eastwards again, finally to ebb on the Volga and in the Caucasus.
-
-But now - in the winter of 1942-3 - the enemy at last felt strong enough to wrest the initiative from us. The question henceforth was whether that winter would bring the decisive step towards Germany's defeat in the east. Momentous and distressing though the Stalingrad
-
-disaster undoubtedly was, it could not, in terms of World War II, effect such a blow on its own, whereas the annihilation of the German armies' entire southern wing might well have paved the way to an early victory over Germany. There were two reasons why the Soviet High Command could hope to attain this goal in the south of the Eastern Front. One was the extraordinary numerical superiority of the Russian forces; the second was the favourable position it found itself in operationally as a result of the German errors of leadership associated with the name of Stalingrad. It undoubtedly strove after this goal, even if it did not
-
-succeed in reaching it.
-
-Let me first give a short account of the strategic situation at the start of this winter campaign
-
-in South Russia.
-
-The German front in November 1942 formed a wide arc curving far out to the east in the area of the Caucasus and eastern Ukraine. The right wing of this arc touched the Black Sea at Novorossisk and continued along the front of Army Group A (Seventeenth Army and First Panzer Army) through the northern Caucasus without actually linking up with the Caspian
-
-Sea in the east.
-
-The deep open flank of this front, which faced southwards, had only 16 Motorized Division to cover it in the direction of the Lower Volga in the east. The division was located in the
-
-Kalmyk Steppes east of Yelista.
-
-The continuous front of Army Group B only began at a point south of Stalingrad. From Stalingrad it receded to the Don and then ran along the latter as far as Voronezh. In it were Fourth Rumanian Army, Fourth Panzer Army, Sixth Army, Third Rumanian Army, one Italian and one Hungarian army and then Second German Army. The bulk of the German forces had for months past been bunched around Stalingrad, while the rest of the front, in particular the line of the Don, was entrusted mainly to allied armies. There were no reserves worth speaking of behind the fronts of either Army Group A or B.
-
-The enemy, whose armies formed a 'Caucasus Front', a 'South-West Front' and a 'Voronezh Front', had not only superior forces in the line but also powerful reserves behind these army groups and the central or Moscow sector of the Eastern Front, as well as in the hinterland.
-
-In order to grasp the true danger of this situation and the full extent to which it benefited the enemy, one must try to picture one or two distances of strategic significance.
-
-The distance to the Don crossing at Rostov from the Don sector in which Third Rumanian Army was over-run on 19th November (i.e. opposite and west of the Russians' Don bridgehead at Kremenskaya), as well as from that occupied by the Italian Army on each side of Kasanskaya, amounted to only a little more than 185 miles. Through Rostov ran the rear communications not only of the whole of Army Group A but also of Fourth Rumanian and Fourth Panzer Army. Yet the left wing of Army Group A was at least 375 miles from Rostov, while Fourth Panzer Army, in its location south of Stalingrad, was some 250 miles away.
-
-Further back the lines of communication of the German armies' southern wing led across the Dnieper crossings of Zaporozhye and Dnepropetrovsk. The connexion through the Crimea and across the Straits of Kerch was not a very efficient one. These vital Dnieper crossings in the rear of the German southern wing lay some 440 miles from Stalingrad and more than 560 miles from the left wing of the Caucasus front. On the other hand, they were only about 260
-
-miles from the enemy front on the Don, measuring either from Kasanskaya to Zaporozhye or
-
-from Svoboda to Dnepropetrovsk!
-
-What this situation could mean in practice I knew only too well from personal experience, having in summer 1941 covered the odd 190 miles from Tilsit to Dvinsk in four days with 56
-
-Panzer Corps. I had done so, moreover, against opposition that was certainly tougher than anything the Italian and Hungarian Armies could offer on the Don. At that time the Russians had also had very many more reserves behind their front than were available to us in the
-
-winter of 1942.
-
-Added to this strategic advantage was the Russians' immense preponderance of numbers. The ratio of forces at the beginning of Don Army Group's struggle has already been shown in the chapter on Stalingrad. How it developed in the course of the winter may be gathered from two
-
-figures. In March 1943 the number of divisions at the disposal of Southern (formerly Don) Army Group on the 435-mile front from the Sea of Azov to north of Kharkov was thirty-two. Facing this sector, either in or behind the line, were 341 enemy formations, consisting of rifle divisions, armoured or mechanized brigades, and cavalry divisions.
-
-Thus the conditions under which Don Army Group had to fight were constantly governed by
-
-two factors:
-
-First, an overwhelming superiority of numbers. Even when the Army Group, augmented by the bulk of First Panzer Army and new forces supplied by O.K.H., consisted of three, and later four, German armies, the ratio of German to enemy forces was still 1 : 7. (This allows for the numerical inferiority of certain Russian formations when compared to German
-
-divisions.)
-
-Secondly, there was a strategic danger inherent in the fact that an enemy who was stronger than ourselves, and who for a time enjoyed complete freedom of action following the collapse of the allied armies, had shorter distances to travel to the life-lines of the German southern wing - Rostov and the Dnieper crossings - than we had.
-
-Taken in conjunction with one another, these two factors implied a danger that the southern wing, once cut off from its supplies, would be pushed back against the coast of the Sea of Azov or Black Sea and ultimately destroyed, as the Soviet Black Sea Fleet was just as capable as ever of imposing a blockade. After the destruction of Don Army Group and Army Group A, however, the fate of the entire Eastern Front would have been sealed sooner or later.
-
-KEYNOTES OF OPERATIONAL POLICY
-
-By virtue of the initial strategic situation outlined above, the whole battle on the southern wing in the winter of 1942-3 - and it was destined to be the battle in the east that winter -boiled down to the same question on both sides. Would the Soviets succeed in trapping the German southern wing, thereby accomplishing the decisive step towards their final victory, or would the German command be able to avert such a catastrophe?
-
-The operational plan for the Russians to adopt was obvious enough. It had been offered them on a silver platter when the German Supreme Command allowed the front to petrify in the final phase of the summer offensive. Nothing was more natural than that the Soviets should first seize their chance to trap Sixth Army as it lay bunched around Stalingrad.
-
-In the further course of operations, the enemy was to be expected to cash in on his knock-out successes in the Rumanian, Italian and Hungarian sectors and to try, by striking again and again in ever-increasing strength and scope, to outflank the German southern wing to the north and west. His object had to be to amputate this wing from its communications zones and
-
-ultimately to box it in on the sea-coast. It was a strategic concept which derived every possible encouragement from the situation in which the German southern wing had been left
-
-for far too long by the Supreme Command.
-
-On the German side there was the much harder problem of deciding how to escape from the danger in which we had been landed by our own omissions and the enemy's first unexpected successes on both sides of Stalingrad. In view of the overall strategic situation, however, our Supreme Command should have realized from the first day of the enemy attack how things would develop and, in particular, how dangerously exposed was Army Group A in the
-
-Caucasus.
-
-Broadly speaking, the German Supreme Command had to choose between two courses. The first would have been to disengage Sixth Army from the Volga immediately after it had begun to be attacked and before it could be tightly surrounded, and then to try to restore the situation in the large bend of the Don with the help of strong reinforcements. At the same time it would have been necessary to shore up the allied-occupied Don sectors with German forces. Obviously, however, the Supreme Command neither had the necessary troops available for
-
-this solution nor could it, in view of the low capacity of the few existing railways, have brought them up in time. To take Sixth Army away from Stalingrad was something it could not make up its mind to do. Indeed, not many weeks after the start of the Soviet offensive it
-
-was clear that the army was to be lost for good and that the best it could do within the framework of the operation as a whole was to tie down the largest possible body of forces for the longest possible period. It was a task which the gallant army fulfilled till the end and for
-
-which it ultimately sacrificed itself.
-
-Nevertheless, even after events had taken such an ominous turn as a result of the obstinate way in which Hitler clung to Stalingrad, and after all hope of extricating Sixth Army had proved illusory, there was still a second course open to the Supreme Command. At the cost of surrendering the territory won in the summer campaign (which could not be held anyway), a grave crisis could have been turned into victory! To this end it would have been necessary to
-
-withdraw the forces of Don Army Group and Army Group A from the front's eastward protuberance according to fixed timings, taking them first behind the Lower Don or Donetz
-
-and subsequently to the Lower Dnieper.
-
-In the meantime, any forces that could possibly be made available - including those divisions of either army group which became disengaged through the shortening of the front - would have had to be concentrated, let us say, somewhere around Kharkov. On them would have devolved the task of driving into the flank of the enemy as he pursued the retiring army groups or attempted to cut them off from the Dnieper crossings. In other words, the idea would have been to convert a large-scale withdrawal into an envelopment operation with the aim of pushing our pursuer back against the sea and destroying him there.
-
-Don Army Group proposed this solution to O.K.H. when there was no longer any prospect of
-
-relieving Sixth Army and as soon as it became plain that Army Group A's position in the Caucasus was untenable and that the enemy breakthrough on the Italian front threatened to cut
-
-off the entire southern wing.
-
-But Hitler was not the man to embark on a course which initially committed him to relinquish the conquests of summer 1942 and would unquestionably have entailed considerable operational hazards. Such a step was entirely out of keeping with the personality I have already analysed in the chapter on Hitler as a Supreme Commander. With his lack of
-
-experience in operational matters, he may even then have hoped to restore the situation on the southern wing by throwing in the SS Panzer Corps which was moving up to Kharkov.
-
-As far as Don Army Group Headquarters was concerned, the first of the above-mentioned courses had already been ruled out before it arrived on the scene, for by that time Sixth Army
-
-had been completely surrounded. Neither the battered remnants handed over to us as 'Don Army Group', nor the thin trickle of reinforcements we were getting, could possibly suffice to fight a battle in the large bend of the Don with any prospect of success — even less so after the reinforcements had been held up in Army Group B's sector following the defeat of the Italian Army. As for the second course, that of turning a large-scale withdrawal operation into a counterblow against the enemy's northern flank as he inevitably exposed this in the course of his pursuit, Don Army Group lacked the absolute authority to take it. To do so we should have required power of command over the whole southern wing of the Eastern Front and freedom to do what we liked with the O.K.H. reserves.
-
-Instead, the Army Group was committed to deal in turn with the tasks which presented themselves in its allotted sphere of command. It had to devise one stop-gap after another to meet a danger which arose from the original strategic situation and grew increasingly acute as time went on : the danger that the entire southern wing would be tied off.
-
-The first task confronting the Army Group was the relief of Sixth Army. Initially this had to take precedence over all other operational considerations.
-
-Once this task had proved insoluble for the reasons already related in the chapter on Stalingrad, the Army Group had to tackle the problem of preventing the even greater catastrophe of the loss of the whole southern wing. As the forces still available as reserves to O.K.H. were not enough to keep the southern wing's lines of communication over the Lower Don and Dnieper open, the only course left to us was to gather in the eastern wing of the Army Group and throw the forces thus released over to the western wing. Everything depended, then, on our always thinking far enough ahead to switch forces from our eastern to our western wing in time to intercept the enemy's outflanking movements as they gradually extended further and further west. It was a task rendered all the more difficult by the fact that the neighbouring formation in the north, Army Group B, was slowly but surely disappearing from sight as a result of the loss of the allied armies. On the other hand, it was not possible to shift forces to the western wing in sufficient numbers without calling on forces from Army Group A, which was not under Don Army Group's orders.
-
-Though conceived on a larger scale and extending over a longer period, it was the same task
-
-that had confronted General Paulus at Stalingrad between 19th and 23rd November. This time, too, it was a matter of moving forces promptly and regardless of local repercussions to the places on which the survival of our rear communications depended and simultaneously of maintaining our operational mobility. The only difference was that in General Paulus's case the decision had been compressed into a few days, or perhaps even hours, and that he could count on no reinforcements whatever to begin with. In our own case, however, this idea was to govern our whole approach to operations and involve us in months of conflict with the
-
-Supreme Command.
-
-In essence, the idea of leap-frogging from east to west to parry the enemy's attempts to 'tie off
-
-the southern wing was an extremely simple one. In war, however, it is so often the simple things which prove hardest to carry out, the real difficulties lying not so much in the taking of a decision as in its unswerving execution. In the present instance any withdrawal of forces from the eastern wing was bound to create a danger there which no one could be sure of surviving. Above all, if these shifts of forces were to have a timely effect, they must be initiated some time - if not several weeks - before the danger of being cut off had become so acute as to be acknowledged by Hitler. Last but not least, developments in Army Group A's sector, as will be seen later, long prevented us from putting the 'leap-frog' plan into practice.
-
-And so, simple and self-evident though it was, this basic approach of ours proved difficult to
-
-implement consistently in the face of the increasing gravity of the situation. The same difficulty was experienced in getting it accepted by the Supreme Command - at least in time for it to have any useful effect - since the latter's views were diametrically opposed to our own. Hitler persisted in the principle of holding rigidly on to his gains, whereas we considered operational mobility - at which our operations staffs and fighting troops had the advantage of
-
-the enemy — to be the real key to victory.
-
-The situation which confronted it at the time of its take-over, combined with the restrictions imposed on it by the Supreme Command and its far-reaching dependence on the actions and attitudes of the neighbouring army groups, led Don Army Group to adopt a 'system of stopgaps' without, at the same time, ever sacrificing the basic formula.
-
-In the light of the foregoing, Don (later Southern) Army Group's winter campaign of 1942-3 may be broken down into four successive phases :
-
-The first was the struggle for the relief of Sixth Army, on which the Army Group staked
-
-everything it could possibly afford.
-
-The second phase was the Army Group's struggle to keep the rear of Army Group A free while it was being disengaged from the Caucasus front.
-
-The third phase consisted in the actual battle to keep open the lines of communication of the German armies' southern wing and to prevent it from being 'tied off.
-
-This led to the final, fourth phase in which the Army Group succeeded - if on a smaller scale than it would have liked - in delivering the counterblow culminating in the battle of Kharkov.
-
-FIRST PHASE: THE STRUGGLE TO FREE SIXTH ARMY
-
-The attempt to relieve Sixth Army, or rather to enable it to break out of the Stalingrad pocket,
-
-has already been recounted.
-
-In an all-out effort to make this attempt succeed, Don Army Group went to the very limits of what could be risked. Right up to the time when the fate of Sixth Army was sealed, i.e. the end of December 1942, it endeavoured to manage with a minimum of forces in the centre and on the left of the Army Group front, which only amounted to a thin protective screen as it was. Its object was to delay any decisive developments in these sectors until Fourth Panzer Army's battle east of the Don had successfully opened up the beleaguered army's way to
-
-freedom.
-
-Only after all hope of linking up Fourth Panzer and Sixth Armies had had to be abandoned, and the simultaneous defeat of the Italian Army had laid bare Don Army Group's western flank and thrown open the enemy's road to Rostov, did the Army Group concede precedence to the problem of maintaining the whole southern wing of the Eastern Front.
-
-All that remains for me to do in this context is to give a brief account of how Don Army Group's situation came to deteriorate as a result, on one hand, of Sixth Army's decision not to attempt the break-out and, on the other, of the way things developed on the right wing of
-
-Army Group B (the Italian Army).
-
-The difficult position in which Fourth Panzer Army had landed on the eastern wing of the Army Group as the enemy threw in increasingly strong forces from the Stalingrad siege-front to meet it has already been indicated. In the battles between the Aksai and Kotelnikovo, as well as in the fighting for the latter as a spring-board for Fourth Panzer Army's relief offensive, 57 Panzer Corps suffered considerable losses after being left alone on the battlefield by the Rumanians. 23 Panzer Division, which had been severely weakened before this, was particularly badly hit. The non-appearance of reinforcements from Army Group A made it unlikely that Fourth Panzer Army would even hold its own sufficiently to prevent the enemy from swinging strong forces into the rear of First Panzer Army.
-
-The trend of events on the rest of the Army Group front was not a whit less serious. In what had been the sector of Third Rumanian Army, the fact that Fourth Panzer Army was falling back east of the Don enabled the enemy to cross the ice-covered river around Potemkinskaya, and a little later at Tsymlyanskaya, and to threaten the Chir positions in the flank and rear. On
-
-this front, General Mieth had meanwhile assumed command in place of Third Rumanian Army Headquarters. Since the Russians were coming over the Don from the east and south, we had no choice initially but to order the Mieth Group to make a fighting withdrawal behind
-
-the Kagalnik.
-
-On the left wing of the Army Group the position looked even more critical. Admittedly Army
-
-Detachment Hollidt had succeeded, notwithstanding the loss of the Rumanian divisions, in bringing its forces back southwards from the Upper Chir. Without any justification, however,
-
-a newly arrived, recently formed division which was to have taken over the defence of the Army Detachment's flank on the Bystraya Gnilaya gave up the crossing point at Milyutinsky. This opened the enemy's way into Hollidt's flank and also to the important air-base at
-
-Morosowsky.
-
-Far more serious still was the fact that, thanks to the disintegration of the Italian Army and the almost complete elimination of the Rumanians from the battle (1 and 2 Rumanian Corps on what had been the left wing of Army Detachment Hollidt), the enemy was able to make for the Don crossings of Forchstadt, Kamensk and Voroshilovgrad almost unopposed. Only at Millerovo, where the newly formed Fretter-Pico Group on the right wing of Army Group B stood like a solitary island amid the red flood, was any resistance being offered. In any case, the enemy was free to wheel east into the rear of Army Detachment Hollidt or the Mieth Group, or alternatively to keep heading south to Rostov.
-
-Don Army Group's situation was serious enough, therefore. Had it been acting quite independently, the only correct way to solve the crisis would have been to put the 'leap-frog' principle into effect forthwith, regardless of any other considerations. Fourth Panzer Army could have been pulled back to Rostov in one single movement and thereafter used to fight off
-
-the threat to the Army Group's left flank and its communications to the west. The forces of the Mieth Group and Army Detachment Hollidt still in action in the large bend of the Don would
-
-have had to come back to the Donetz.
-
-The objection to this solution lay in the fact that Army Group A was still lodged as firmly as ever in its positions in the Caucasus. To expose its rear by shifting Don Army Group's forces over to the western wing was out of the question. On the contrary, it was Don Army Group's duty not only to cover the rear of Army Group A, but also to keep open its lines of
-
-communication through Rostov.
-
-For the time being, then, the idea of basing the Army Group's operations on the principle of switching their main effort westwards to balk the enemy's attempts to cut off the whole wing
-
-of the German armies could still not take effect. During the first few weeks after the takeover, indeed, the Army Group had deliberately shelved it in the interest of Sixth Army. Now -in the second phase - it found itself compelled, in spite of the steadily growing threat to its western flank, to embark on a desperate struggle to keep the rear of Army Group A free.
-
-SECOND PHASE: THE FIGHT TO KEEP ARMY GROUP A'S REAR
-
-FREE
-
-The German Supreme Command should really have been aware from the start that Army Group A could not stay in the Caucasus if the battle to free Sixth Army did not immediately
-
-succeed - in other words, if there were no clear possibility of somehow establishing a reasonably secure situation within the large bend of the Don. But when the enemy tore a gap
-
-on the right wing of Army Group B which opened his way to Rostov, it should have been palpably evident to anyone that there could no longer be any question of holding the Caucasus front. Unless, of course, Hitler had been able or willing to bring in large bodies of troops from
-
-other theatres.
-
-As early as 20th December, the day when the flight of two Italian divisions had exposed the flank of Army Detachment Hollidt and cleared the Russians' way to the Donetz crossings, I had pointed out to General Zeitzler that by advancing in the direction of Rostov the enemy would now have his chance to strike the decisive blow against the whole of the German
-
-southern wing.
-
-On 24th December I had again drawn attention to the fact that it was now no longer the fate of Don Army Group alone that was at stake but of Army Group A as well.
-
-I have already mentioned the rejection of my demand for the release of forces from Army Group A to Rostov and Fourth Panzer Army. Even if one no longer envisaged renewing the attempt to extend a rescuing hand to Sixth Army, it was still in Army Group A's interest that Fourth Panzer Army should be reinforced, since its defeat would have given the enemy access to the Army Group's rear. Since Army Group A - quite understandably - did not want to hand any units over, it was the business of the Supreme Command to order the equalization of forces so urgently needed between the two Army Groups. One possible reason for Army Group A's refusal to let us have the divisions we asked for (see the Chapter on Stalingrad) may well have been the quite perplexing degree to which its formations and ' units had been shuffled around and intermingled with one another.
-
-Undoubtedly the disengagement of the larger ones would have been a difficult and at best time-consuming task. This state of affairs was in part the inevitable outcome of a need - in the absence of adequate reserves - to patch up the gaps caused by enemy penetrations. However, it was also due in equal measure to the Army Group's having for months on end been without
-
-a commander of its own to keep things in order. At the best of times, many military commanders are unable to appreciate that units must be left in their normal order of battle if one is to achieve maximum efficiency and preserve manoeuvrability. When, as in this case, there was no responsible commander whatever for a considerable period, it was hardly surprising if the troops became disorganized.
-
-In response to the insistence of Don Army Group, Hitler finally decided on 29th December to
-
-order the withdrawal of the eastern and most exposed wing of Army Group A, First Panzer Army, to the Kuma sector of Pyatigorsk-Praskoveya. Yet he still had no intention of giving up the Caucasus front as a whole. Evidently he still hoped that by bending back Army Group A's eastern wing to the Kuma he would be able to pivot it upon the Manych flats, thereby stabilizing the situation between the Manych and Don and simultaneously keeping the communications of the southern wing open across the Lower Dnieper. Thus the 'balcony' which had been formed in November by pushing the front out into the Caucasus and up to the
-
-Volga and which had led to the unfavourable situation we were in at present was not to be eliminated, but merely reduced in size. Where, on the other hand, the forces were to be found
-
-to compensate for the loss of the Rumanian and Italian armies - and before very long the Hungarian one as well - remained a complete mystery. This, in due course, was what caused the remainder of the Caucasus front to be abandoned.
-
-In this second phase of its struggle Don Army Group was confronted with the following tasks:
-
-Instead of acting as the situation really demanded and radically shifting the main point of effort to its western wing to remove the danger of being cut off, the Army Group was compelled, in the face of a mounting crisis, to fight for time.
-
-South of the Lower Don it had to protect Army Group A's rear and at the same time to keep its communications through Rostov open. It was a dual commitment with which the weak forces of Fourth Panzer Army were unlikely to cope in view of the wide expanse of territory they had to control between the Caucasus and Don and the strength of the enemy operating there.
-
-In the large bend of the Don and forwards of the Donetz it was the job of Army Detachment Hollidt to retard the enemy's advance north of the Lower Don to such an extent that he could not cut off Fourth Panzer Army, and with it Army Group A, by a swift thrust on Rostov from
-
-the east. In addition, it had to prevent the enemy from crossing the Donetz line Forchstadt-Kamensk-Voroshilovgrad and thereby deny him access to Rostov from the north.
-
-Finally, the Army Group had to find ways and means of keeping open the lines of communication running to the Lower Dnieper in the west, either with its own resources or else with the assistance of what meagre reserves O.K.H. was able to send us.
-
-All this had to be done with troops who had long been subjected to overstrain and were faced by an enemy many times stronger than themselves.
-
-Difficult though this task, or series of tasks, was in itself, the paramount danger lay in Army Group A's inability to disengage swiftly from the Caucasus. It was just one more example of
-
-the hardening-up process which inevitably sets in whenever mobile operations degenerate into static warfare. If only for the sake of economizing one's forces, immovable weapons have to be dug in and rations and ammunition accumulated. Various facilities are installed to ease the lot of the troops - a particularly important measure when a shortage of reserves prevents them from being taken out to rest. As the horses cannot usually be fed in a static battle zone, they have to be accommodated further back, and this in turn tends to immobilize the fighting units. (The state of the roads during a Russian winter, particularly in mountainous country, only
-
-added to these difficulties.)
-
-The upshot is always that troops and formation staffs lose the knack of quickly adapting themselves to the changes of situation which daily occur in a war of movement. Inertia and
-
-stagnation gain the upper hand, for every change involves difficult reliefs, movement of forces, inconveniences and often danger. The inevitable process of accumulating weapons, equipment and stores of all kinds ties down assets which one feels unable to do without for the rest of the war. The result is that when the command staff in question is faced with the necessity of a major withdrawal, it begins by asking for a long period of grace in which to prepare for the evacuation. It may even reject the idea of a withdrawal out of hand because of the equipment and stores it has come to regard as indispensable. It will be remembered that when the German offensive came to a standstill in 1918, even such a notable commander as Ludendorff could not bring himself, by a boldly conceived withdrawal, to precipitate the war of movement in which Germany's last hope of victory then lay. In the final analysis he felt unable to write off all the materiel committed on and behind the German front, or else could not make up his mind to abandon territory which it had cost such sacrifices to win.
-
-The situation on Army Group A's front was a similar one. A talk with the Chief-of-Staff of
-
-First Panzer Army revealed that this formation could not begin moving back until 2nd January, but after we had helped out with petrol it was finally able to start on New Year's Day. Even then, Army Group A announced a few days later that First Panzer Army would have to fall back on to the Kuma line sector by sector in the interest of getting equipment out and evacuating the wounded from the mountain resorts in the Caucasus. For these purposes, it was stated, the army would require 155 trains (twenty per division) and would not (on account of the low rail capacities) be in position along the Kuma line for another twenty-five days. So although it should have been realized since the end of November that at least the rear of Army Group A would be endangered sooner or later, it was obvious that nothing had been done to prepare for an evacuation. One reason for the omission was undoubtedly that Hitler had forbidden such preparations or was expected to do so if he learnt of them. But an equally important one, I am sure, was the Army Group's lack of a responsible commander in recent
-
-months.
-
-O.K.H. had been considering the idea of placing Army Group A, which had now been taken over by Colonel-General v. Kleist, under my command. Generally speaking, it is not a good thing to put an army group or army under a headquarters of equal status. In the present critical situation, however, this would probably have had its advantages - provided, of course, that no
-
-strings were attached. Any possibility of interference by Hitler or of Army Group A's invoking his decisions in opposition to my own had to be expressly barred. Hitler, however,
-
-was unwilling to accept my conditions, and Army Group A consequently remained autonomous. All that Don Army Group could do was to keep on pressing for a speed-up of Army Group A's evacuation measures with a view to effecting the earliest possible release of the forces whose intervention south of the Don and later on the western wing of Don Army Group would be of decisive importance. Everything depended on cutting down this second
-
-phase of the winter campaign to the utmost in order to get the position on the German southern wing finally stabilized. The only hope of doing so lay in smashing the enemy forces which were trying to envelop that wing to the west. In the event, it did prove possible to get the deadlines for the Caucasus evacuation considerably curtailed.
-
-The hindrances mentioned above were due partly to what appeared to be the inevitable outcome of static warfare conditions and the difficulties encountered in a mountainous theatre, and partly to the Supreme Command's aversion to surrendering anything voluntarily. The fact that they committed Don Army Group to a battle in the Don area lasting from the end of December to early February was bound - in view of what was happening to Army Group B - to intensify the danger that the whole southern wing would be cut off.
-
-It would hardly be possible to find a better illustration of Moltke's definition of strategy than in this battle fought by the two armies of Don Army Group. The reason why we succeeded, despite a series of crises, in mastering the tasks already outlined is that the army and army group staffs adhered firmly to two well-established German principles of leadership :
-
-(i) Always conduct operations elastically and resourcefully; (ii) Give every possible scope to the initiative and self-sufficiency of commanders at all
-
-levels.
-
-Both principles, admittedly, were greatly at variance with Hitler's own way of thinking. While the first will find expression in the account of the battle fought by our two armies, I should like to say a few words on the second one now.
-
-It has always been the particular forte of German leadership to grant wide scope to the self-dependence of subordinate commanders - to allot them tasks which leave the method of execution to the discretion of the individual. From time immemorial - certainly since the elder
-
-Moltke's day - this principle has distinguished Germany's military leadership from that of other armies. The latter, far from giving the same latitude to subordinate commanders on the tactical plane, have always tended to prescribe, by means of long and detailed directives, the way orders should actually be carried out or to make tactical action conform to a specific pattern. On the German side this system was considered a bad one. It would, admittedly, appear to reduce the risk of failure in the case of a mediocre commander. Yet it only too easily leads to the executant's having to act against the exigencies of the local situation. Worst of all, in its preoccupation with security it waives the opportunity that may occur through the
-
-independent action of a subordinate commander in boldly exploiting some favourable situation at a decisive moment. The German method is really rooted in the German character,
-
-which - contrary to all the nonsense talked about 'blind obedience' - has a strong streak of individuality and - possibly as part of its Germanic heritage - finds a certain pleasure in taking risks. The granting of such independence to subordinate commanders does, of course, presuppose that all members of the military hierarchy are imbued with certain tactical or operational axioms. Only the school of the German General Staff can, I suppose, be said to have produced such a consistency of outlook. Nevertheless, there are plenty of occasions when the senior commander in the field is faced with the problem of whether or not to take a
-
-hand in the operations of the armies or other formations under his command. The more complex the situation and the smaller the forces with which he has to manage, the more often is he tempted to meddle in the business of his subordinates.
-
-As far as my own Headquarters was concerned, I think I can say that we only intervened in the operations of our armies when it was quite imperative to do so. This was particularly true whenever the Army Group's operational intentions involved the assumption of responsibilities which it would have been unreasonable to expect the army headquarters in question to accept.
-
-On the other hand, we refrained on principle from proffering off-the-record 'advice', which
-
-kills all initiative and hides responsibility.
-
-That Hitler showed little understanding for the old-established German principle of leadership and repeatedly sought to meddle in the operations of subordinate headquarters by issuing specific orders of his own has already been mentioned earlier on. Nothing could be done about such orders when they related to the movements of adjacent army groups or the action to be taken with formations which were still O.K.H. reserves. However, in the many cases when they directed that a particular line was to be held to the last man and the last round, the force of circumstances usually proved stronger in the end.
-
-Something which has also been discussed already and was even harder to overcome was Hitler's dilatoriness in the taking of urgently needed decisions. We could not, after all, compel him to give an order. In such cases one had no choice but to report that in default of an O.K.H. directive by such-and-such a time or such-and-such a day, we should act at our own
-
-discretion.
-
-In contrast to the above, I doubt very much whether any of the armies under our command during this or any later campaign ever had reason to complain that we were slow to take decisions. Whenever they put an inquiry or recommendation up to my headquarters, they always received an immediate reply. Only in difficult situations did the Army Group ever delay a decision for a very limited period - at most for a few hours or until the following
-
-morning.
-
-On the whole - apart from Stalingrad — the Army Group always managed in the end to get the requisite action taken in the face of Hitler's interference or procrastination.
-
-FOURTH PANZER ARMY'S BATTLES SOUTH OF THE LOWER DON
-
-Fourth Panzer Army had two different tasks to fulfil if it was to keep the rear of Army Group
-
-A free.
-
-It had to prevent the enemy now on its heels from moving in against the rear of First Panzer Army until such time as the latter had wheeled back from the Caucasus on to a front facing
-
-east.
-
-At the same time, it had to ensure that the enemy did not thrust down the lower reaches of the Don to Rostov and cut off both Fourth Panzer Army and Army Group A from their
-
-communications zones.
-
-It was clear that the army had not enough forces to deny the enemy the whole area between the lower course of the Don and the northern spurs of the Caucasus. Since the loss of the Rumanians all it had up around Kotelnikovo was 57 Panzer Corps, consisting only of two seriously weakened divisions (17 and 23 Panzer). 15 Luftwaffe Field Division was still not ready to go into action, and 16 Motorized Division had still not been relieved at Yelista by
-
-forces from Army Group A.
-
-All Don Army Group's efforts to get the army reinforced in good time were unavailing. The provision of 3 Panzer Corps by Army Group A had already been turned down by O.K.H., and
-
-now 7 Panzer Division, which Don Army Group had intended to use with Fourth Panzer Army, was retained by Hitler at Rostov to cover this crossing-point to the north following the collapse of the Italian Army. In essence this was not a bad idea, except that the infantry division we had requested from Army Group A (i.e. from Seventeenth Army) would have done just as well. But this, as I have said, Hitler had refused to let us have because he feared that its withdrawal from the Novorossisk sector would cause the Rumanian divisions there to
-
-give way.
-
-An acute threat materialized in the rear of First Panzer Army when strong elements of the enemy which had been following Fourth Panzer Army turned south against First Panzer Army
-
-just as it was swinging backwards. Although 16 Motorized Division was able to launch a successful attack and bar the way to the enemy from behind the Manych, it was delayed still further from taking part in the struggle of Fourth Panzer Army, which it now did not join until
-
-the middle of January.
-
-A measure which the Army Group had intended taking in its own area to reinforce Fourth Panzer Army was thwarted by the enemy. We had envisaged bringing 11 Panzer Division out of the large bend of the Don to join the army. Just when it was about to come over the Lower
-
-Don, however, the enemy himself crossed the river at two different places to drive from the south and south-east into the rear of the Mieth Group, which was still holding the Lower Chir on a front facing north. To parry this thrust and to enable the Mieth Group to swing back into a front facing east behind the Kagalnik, 11 Panzer Division had to be committed north of the Don and was lost to Fourth Panzer Army in consequence.
-
-In the end, therefore, the only forces to augment the two above-named armoured divisions of 57 Panzer Corps were the Viking SS Division, which had already been released earlier by Army Group A, and-in mid-January - 16 Motorized Division.
-
-By this time Fourth Panzer Army was under pressure through Kotelnikovo from two Soviet armies, Second Guards and Fifty-First, which between them comprised one tank, three mechanized, three rifle and one cavalry corps. Shortly afterwards a third army (Twenty-Eighth) made its appearance further south from the Kalmyk Steppes.
-
-It could safely be assumed that these three armies were bent not merely on tying down Fourth Panzer Army from the front, but ultimately on by-passing it to the north and south in order to
-
-encircle it completely.
-
-If Hitler thought he could order us, in the face of that preponderance of forces and with such an expanse of territory to cover, to make the army hold some 'line' or other, or else to obtain his approval before undertaking any withdrawal, he was seriously mistaken. As an obstacle, a hard-and-fast line was likely to prove about as effective as a cobweb in Fourth Panzer Army's situation. Nonetheless, he still made repeated attempts to restrict our operational freedom by orders of this kind and stuck to his refusal to reinforce Fourth Panzer Army. By 5th January, therefore, I felt I must ask to be relieved of command of Don Army Group and sent the Chief of the General Staff a teleprinter message which stated inter alia:
-
-'Should these proposals not be approved and this headquarters continue to be tied down to the same extent as hitherto, I cannot see that any useful purpose will be served by my
-
-continuing as commander of Don Army Group. In the circumstances it would appear more appropriate to replace me by a "sub-directorate" of the kind maintained by the
-
-Quartermaster-General.'
-
-(The Quartermaster-General's 'sub-directorates' at army groups were headed by older staff officers who ran their formations' supply and transport services in accordance with direct
-
-instructions from the central directorate.)
-
-As things now stood, Fourth Panzer Army's object was not to offer inadequate resistance along an over-extended line, but to keep its forces close together. Only thus could it offer strong opposition at vital spots or deal the enemy a surprise blow whenever an opportunity presented itself. At times it would obviously have to denude parts of its' area completely and be content to cover others with only a flimsy defence screen.
-
-Colonel-General Hoth, supported by his admirable Chief-of-Staff, General Fangohr, went about this difficult task with a calm resolution matched only by the versatility of his leadership. He skilfully retarded the progress of the enemy pressing hard on his front without exposing himself to danger by holding any one position too long. Furthermore, by rapidly assembling forces on both his wings, he repeatedly dealt the enemy sharp jabs which foiled
-
-every attempt to outflank him.
-
-Though unable to let the army have sufficient forces to discharge its difficult task, the Army Group did reserve the right to relieve it of responsibility for at least its most intricate problem by the issue of specific orders. As I have said, Fourth Panzer Army actually had to deal with two tasks at once. It had to prevent any of the three enemy armies following it from taking
-
-First Panzer Army in the rear before the latter had completed its swing back from the Caucasus on to a front facing east and was ready to look after its own defence. At the same time it had to counter any attempt by the enemy to drive on Rostov along the lower arm of the Don. If this were successful, the three armies fighting south of the Lower Don would be cut
-
-off.
-
-Fourth Panzer Army was only capable of solving one of these tasks at most. Which of them should have priority was a matter that only the Army Group could decide. Admittedly the threat to Rostov was the greater danger in the long run. Yet should the enemy succeed in encircling First Panzer Army as it wheeled back into its new position, there could be no further point even in holding Rostov, and the three German armies south of the Don would be doomed. If, on the other hand, the withdrawal of First Panzer Army were successfully accomplished, ways and means would be found to avert a crisis at Rostov.
-
-The enemy did try to exploit the two opportunities indicated above. It has already been mentioned that 16 Motorized Division had just been in time to intercept the Soviet elements which had turned off to take First Panzer Army in the rear. Yet, with the same operational aim in view, the enemy made repeated attempts to envelop Fourth Panzer Army to the south and thereby to introduce himself between the latter and First Panzer Army. At the same time he
-
-endeavoured to drive along the Lower Don through Konstantinovka in the direction of Rostov. On 7th January a smallish enemy force turned up on the northern bank of the Don some 12 miles from the Army Group Headquarters' location at Novocherkask, after the Cossacks and frontier troops guarding that stretch of river had given way. We had to dislodge this domestic invader with a few tanks fetched out of workshops for the purpose. Subsequently the tank corps of which this enemy force formed part was turned off towards
-
-Proletarskaya in the rear of Fourth Panzer Army, which meant that we were rid of the threat to Rostov for at least the next few days. Fourth Panzer Army, for its own part, was duly able to
-
-cope with this threat on its northern flank.
-
-By 14th January First Panzer Army had completed its withdrawal movement, having been able to speed it up after all in the meantime. It now had its left wing established on a line running from Cherkask to Petrovskoye. This meant that at least a measure of operational cooperation was now possible between First and Fourth Panzer Armies, even if a wide gap still yawned between Petrovskoye and Proletarskaya. (This, admittedly, was partly covered by
-
-the mud-flats of the Manych.)
-
-The first part of Fourth Panzer Army's task, which had been to keep the rear of Army Group A free in the area south of the Don, was thus fulfilled. There still remained the second part -that of holding open this Army Group's lines of communication through Rostov.
-
-In the face of the enemy's many times greater strength, the accomplishment of the second part was complicated by the fact that First Panzer Army was initially to remain several days in the line it had reached in order to prepare the further evacuation of its rear areas. Indeed, Fourth Panzer Army's task was to come dangerously near to not being fulfilled at all, for even now Hitler could still not make up his mind to abandon the Caucasus entirely. The question of whether First Panzer Army was to be pulled back on to the northern bank of the Don or whether the whole of Army Group A should remain in the Kuban still hung in the balance.
-
-THE BATTLES OF ARMY DETACHMENT HOLLIDT
-
-While Fourth Panzer Army was carrying out its task south of the Don during the first half of January, Army Detachment Hollidt had a no less difficult job to do in the large bend of river. As was stated in the chapter on Stalingrad, the enemy had spent the past few weeks making ' repeated attacks in infinitely superior strength on the Army Detachment's front along the Chir.
-
-At General Hollidt's disposal, on a front extending some 125 miles from the Don at Nizhne Chirskaya as far as Kamensk-Shakhtinsky, were - and this included the Mieth Group, now under command — four infantry divisions (62, 294, 336 and 387) which had already been very badly worn down in the fighting to date. Also helping to hold the front were some 'alarm units' and - a valuable buttress, these - anti-aircraft units commanded by the seasoned General
-
-Stahel. As for the Army Detachment's two Luftwaffe field divisions, what little was left of them inevitably had to be incorporated into army formations. The main strength of the Army Detachment was constituted by 6 and 11 Panzer Divisions, augmented by the newly arrived 7 Panzer. The badly battered 22 Panzer Division had to be disbanded.
-
-With these forces General Hollidt had to prevent the enemy in the north from moving down
-
-on the lower reaches of the Don (i.e. into the rear of Fourth Panzer Army) and - most important of all - from breaking through to Rostov for as long as Fourth Panzer Army and Army Group A were in the area south of the Don. Furthermore, it was the Army Detachment's job to see that the enemy opposite its left wing did not push through to the Donetz crossings between Forchstadt and Voroshilovgrad, thereby opening the way to Rostov from the northwest. At the same time, however, the Army Detachment found itself threatened on both flanks - in the west as a result of the disappearance from the battlefield of the Italians (in whose place the Fretter-Pico Group was slowly fighting its way back from the Millerovo region towards the Donetz), and in the east because several enemy army corps now had crossed the
-
-Don, first at Potemkinskaya and then at Tsymlyanskaya. They could only be stopped, as was noted earlier, by throwing in n Panzer Division and bending the Mieth Group back on to a
-
-front facing east from behind the Kagalnik.
-
-Like Fourth Panzer Army, Army Detachment Hollidt reflected firm yet versatile leadership in mastering its task amid heavy fighting and incessant crises. Here, too, however, the Army Group assumed ultimate responsibility by ordering it, at great- if not immediate- risk to the spots thus laid bare, to bunch its armour together for short offensive thrusts.
-
-The fact that the Army Detachment succeeded in finally halting the enemy on the Donetz, and thereby in saving Fourth Panzer Army and Army Group A from being cut off south of the Don, must be ascribed first and foremost - while not forgetting the way its staff handled operations - to the bravery with which the infantry divisions and all other formations and units helping to hold the line stood their ground against the enemy's recurrent attacks. Yet their defence could never have been maintained had not our armoured divisions time and again shown up at danger spots at just the right moment. On one hand they intervened to ward off the impending encirclement of the Army Detachment's right wing as it wheeled back on to the Kagalnik and later to intercept a threatened breakthrough in that sector. On the other, they surprised the enemy by driving straight into his assembly positions as he was about to attack the Army Detachment's northern front forward of the Donetz. While it was the business of the Army Detachment itself to mount such close counterblows as part of its defensive role, the actual responsibility for risking them usually lay with the Army Group. The latter had to relieve the Army Detachment of responsibility for any emergencies which might arise whenever, on Army Group instructions, it concentrated its armour in one spot and thereby
-
-imperilled the remaining sectors of the front.
-
-THIRD PHASE: THE STRUGGLE TO KEEP THE SOUTHERN WING'S
-
-COMMUNICATIONS OPEN OPERATIONAL POSITION AT MID-JANUARY 1943
-
-By the middle of January 1943 the operational situation on the southern wing of the Eastern Front had come to a head. Its seeds had been laid in the late autumn of 1942, when our military command had allowed the front to solidify into a line which was operationally untenable from a long-term point of view. What had clearly been shaping up since Christmas
-
-Week 1942, when the last opportunity for Sixth Army to break out was missed, had now come to pass. Only the desperate struggle waged by the German fighting troops and command
-
-staffs had so far staved off an even worse crisis.
-
-Sixth Army was doomed. The best it could do now, with what little strength it still possessed, was to render its comrades in the Don bend and the Caucasus the last supreme service of tying down strong enemy forces for just a short while longer.
-
-It was clear that after the loss of Sixth Army the Caucasus region could not even be held on a
-
-reduced scale.
-
-Now, however, thanks to the doggedness and dexterity with which Fourth Panzer Army had been fighting in the area south of the Don, there was at least a chance that when the Caucasus went, Army Group A need not be lost with it. Its eastern wing, which had been in the greatest
-
-danger of all, was now safely retracted. And even though First Panzer Army was still 190 miles from the river-crossing at Rostov, it was nonetheless out of the mountains and no longer
-
-threatened from the rear. If things came to the worst, it could fight its own way back from
-
-now on.
-
-In the area between the Don and Donetz it had so far been possible to deny the enemy access to Rostov and prevent him from closing the trap from the north behind the three armies standing south of the lower arm of the Don.
-
-But it was evident that neither Army Detachment Hollidt nor the Fretter-Pico Group (now fighting around Millerovo and consisting of H.Q.. 30 Corps with 3 Mountain and 304 Infantry Divisions under command) could prevent the enemy from crossing the Donetz upstream from
-
-Kamensk-Shakhtinsky once he was strong enough to reach so far round to the west. From then on he would be at liberty to drive on Rostov from the north-west or straight down to the
-
-Sea of Azov.
-
-Worst of all, about this time the Army Group B sector held by the Hungarian Army on the Middle Don collapsed before a fresh enemy offensive. The connecting front in the north was also caught up in the disaster. Army Group B wanted to take its forces back behind the Aidar as far up as Starobyelsk, which meant leaving open the Donetz downstream from Voroshilovgrad. For all practical purposes, however, this wing of the Army Group was to cease to exist within a few days. A wide gap opened up from Voroshilovgrad to the north in which only isolated German battle groups of Army Group B were offering desperate local resistance. The Hungarians - like the Italians - had disappeared from the battlefield.
-
-It seemed certain that O.K.H. could not hope to plug this hole with the reserves now on the
-
-way.
-
-In any case, as far as Don Army Group was concerned, the time had obviously come to 'leapfrog' strong forces from the area south of the Don to the Middle Donetz if the enemy were to be prevented from tying off Don Army Group and Army Group A.
-
-The German Supreme Command still did not agree, however. Either it was unable to foresee what turn events would inevitably take if nothing effective were done to make us strong in the crucial area between the Donetz and Lower Dnieper, or it simply would not see the dangers
-
-of the situation.
-
-Hitler was still not disposed to give up the Caucasus region. He still thought he could somehow maintain a front south of the Don which would at least safeguard his possession of the Maikop oilfields. His minimum requirement was the retention of an extensive bridgehead in the Kuban from which he proposed at a later date to renew his grab for the Caucasus oil.
-
-And so, in the weeks that followed, our Army Group was compelled to continue its desperate struggle on both sides of the Don in the interest of a systematic withdrawal of Army Group A. All this time it was having a fierce dispute with the Supreme Command over the idea of 'leapfrogging' forces to the Donetz area. This concerned not only the acceptability of the principle as such but also the question as to how many of Army Group A's forces should be brought back through Rostov to the decisive battleground. To tie up substantial elements of Army Group A in a Kuban bridgehead amounted, in our opinion, to sheer wishful thinking from the
-
-point of view of operations as a whole.
-
-THE BATTLES IN THE SECOND HALF OF JANUARY
-
-By 14th January, the day on which First Panzer Army reached the line Cherkask-Petrovskoye and established a front facing eastwards, another crisis was brewing in the area of Army
-
-Detachment Hollidt.
-
-On that day an enemy tank corps succeeded in breaking through towards the Donetz on the
-
-right wing of Army Group B, in the area of the Fretter-Pico Group south of Millerovo. Although O.K.H. provided the group with a new infantry division (302), this alone could not possibly suffice to stabilize the situation on the river.
-
-When, on 16th January, O.K.H. placed the Fretter-Pico Group under command of Don Army
-
-Group (while simultaneously extending the latter's front to the Aidar), it was still not even certain whether the group would get back behind the Donetz at all. It had meanwhile emerged that the enemy intended to throw three or four mechanized corps against the Donetz on either side of Kamensk-Shakhtinsky in the Fretter-Pico Group's own area.
-
-Fortunately, thanks to a neat success scored a few days previously by Army Detachment Hollidt when two of its armoured divisions had struck a surprise blow on the Kalitva, an enemy attack had been wiped out there while still in the preparation stage.
-
-We therefore ordered the Army Detachment to execute its planned withdrawal into the Donetz positions in such a way as to have an armoured division available at the earliest possible moment for mobile defence of the Donetz sector of Forchstadt-Kamensk. For operations in the newly acquired Kamensk-Voroshilovgrad sector of the river, however, there was nothing to hand - except for the Italians who had streamed back there as stragglers. In other words, there was a danger that Don Army Group's Donetz front would shortly be outflanked to the
-
-west.
-
-At the same time, it became evident that the enemy intended to envelop Army Detachment Hollidt from the east as well. In the gap between its right wing, where the Donetz joined the Don, and Fourth Panzer Army, which was still having to cover First Panzer Army's northern flank against a far superior enemy forward of Salsk on the Manych, two enemy corps were identified in the angle between the Sal, Don and Manych. These could be expected to attempt to cross the Don for an advance on Rostov or else to thrust into the rear of Army Detachment
-
-Hollidt's Donetz positions.
-
-Don Army Group accordingly proposed that it now be allowed to shift Fourth Panzer Army over to its western wing (while leaving one division temporarily forward of Rostov to keep the crossing open for First Panzer Army). This would naturally have necessitated O.K.H.'s issuing simultaneous orders for the withdrawal of Army Group A - with First Panzer Army moving back on Rostov and Seventeenth Army into the Kuban.
-
-Once again it was impossible to get a quick decision from Hitler. Neither would he countenance the Army Group's proposal that Army Group A's armoured divisions be concentrated in the area of Fourth Panzer Army for a short offensive stroke to facilitate First Panzer Army's withdrawal and thereby to speed up the release of Fourth Panzer Army.
-
-Not until 18th January did O.K.H. finally concede Fourth Panzer Army freedom of movement to the extent that the latter no longer had to cover the northern flank of First Panzer Army on
-
-the Manych north-eastwards of Salsk. On the other hand, Don Army Group still had to safeguard Army Group A's use of the Rostov-Tikhorets railway line until eighty-eight supply
-
-trains had passed safely through to stock up the Kuban bridgehead. Whether First Panzer Army would now be withdrawn towards Rostov or into the Kuban was still anybody's guess.
-
-The time being taken to decide whether to allow forces to be 'leap-frogged' westwards inside the German southern wing could only benefit the enemy, of course. It enabled him to exploit the collapse of the Italian and Hungarian sectors of Army Group B's front and to assemble powerful forces with which to advance over the Middle Donetz towards the coast of the Sea of Azov or the Dnieper crossings - forces to which, for the moment, we had nothing to offer in the way of opposition. The enemy was also given opportunity to concentrate his formations for a direct assault on Rostov and to envelop Army Detachment Hollidt's western wing
-
-through Voroshilovgrad.
-
-On 20th January the enemy in the area of Fourth Panzer Army launched an attack over the Lower Manych towards Rostov with four corps he had concentrated for this purpose. His tanks reached the Rostov airfield. Though 16 Panzer Division, which Fourth Panzer Army had thrown over to this northern wing, had been delaying the enemy's progress between the Don and Manych by repeated thrusts into his flank from the southern bank of the latter, it had naturally been unable to halt all four corps on its own.
-
-By simultaneously attacking the army's 57 Panzer Corps, which was now gradually falling back on Rostov from the Middle Manych, the enemy endeavoured to detain Fourth Panzer Army's main forces forward of Rostov until he had possession of the Rostov crossing in their
-
-rear.
-
-Furthermore, the enemy was hitting hard at the front of Army Detachment Hollidt. Here, too,
-
-he obviously aimed to pin down our forces until he had encircled them by the capture of Rostov and an envelopment movement across the Middle Donetz. By launching these attacks against General Mieth's Corps in the angle between the Don and Donetz as well as on either side of Kamensk, he was presumably also trying to prevent the release of any forces from this front which could be thrown against him on the Middle Donetz.
-
-Once again the Army Group's problem was which threat to tackle first. Two armoured divisions (7 and 11 Panzer) were standing by in Army Detachment Hollidt's area to be switched to the western wing on the middle Donetz. But however great the danger there might become in the long run, the Army Group felt it was even more urgent at this moment to avert the threat to Rostov. Everything possible had to be done to get not only Fourth but at least the whole of First Panzer Army back through the city. Otherwise there would not be the slightest prospect of ever assembling sufficient forces on the Army Group's western wing to counteract the danger of the entire southern wing's being surrounded on the sea-coasts.
-
-For this reason Don Army Group resolved that, in order to prevent the capture of Rostov, the two above-named armoured divisions should in the first instance be used to deliver a sharp blow at the enemy attacking over the lower Manych in the direction of the city. However,
-
-because of petrol shortage (all the supply trains at that time were going to the Kuban bridgehead by way of Rostov!) and the impossibility of obtaining air support for our attack under the prevailing weather conditions, this counterblow took longer to effect than was admissible in the existing situation. For time was pressing more and more. Since Sixth Army's resistance was now coming to an end, we had to expect to have most of the enemy's
-
-Stalingrad forces about our ears within two or three weeks. I had already told General Zeitzler on 22nd January that I should not be surprised to see them turn up in the Starobyelsk area, i.e. in the broad gap between Don Army Group and Army Group B.
-
-The same day Hitler finally decided that a part, at least, of First Panzer Army should not be taken into the Kuban bridgehead, but be brought back through Rostov - that is, into what was later to be the decisive battleground. This, though only a compromise solution in our own eyes, was nonetheless welcome in the sense of the Army Group's own conception of
-
-operations.
-
-It was, however, of the utmost importance that this withdrawal should be performed at maximum speed, so that Fourth Panzer Army, in its turn, could be transferred to the Army Group's western wing at the earliest possible moment. The rapidity of First Panzer Army's withdrawal through Rostov depended entirely on the ability of Army Group A's other components to adapt their speed of movement accordingly. Yet it was clear that even now the Army Group was still, unable to increase its speed to the extent the situation demanded. I have never been able to elicit a satisfactory reason for this. At all events First Panzer Army
-
-maintained after coming under my command that had it not been repeatedly halted on instructions from above, it could in fact have moved much more smartly from the very start. Both Army Group A and O.K.H. disputed this. Whatever the answer, the fact remains that Army Group A had so timed the move of its left wing—which was still around Belaya Glina, 30 miles east of Tikhorets on 23rd January—that it would not reach Tikhorets until 1st
-
-February!
-
-On 23rd January Don Army Group came into another 'legacy'—this time the southern part of
-
-Army Group B's front between the Donetz and Starobyelsk. As usual, the liabilities far outweighed everything else. They consisted of about 40 extra miles of front and at least three enemy corps now on the advance in that sector - one of them armoured and the other mechanized. The only asset we acquired - now that the Italians could no longer be counted upon-was 19 Panzer Division, at that moment located around Starobyelsk. The very next day, however, it was forced to yield Starobyelsk to the enemy. It was an exceptional achievement on the part of this valiant division, so outstandingly led by Lieutenant-General Postel, that it was ever able to fight a way through to the west at all. The enemy's action in swinging south across the Donetz was something it could not prevent.
-
-On 24th January Hitler decided that if possible the whole of First Panzer Army should be withdrawn through Rostov from now on. Since its southern wing was still at Armavir, this naturally meant tying down Fourth Panzer Army south of the Don even longer in order to keep Rostov open. Whether the army could still be thrown over to the western wing of the Army Group in time thus became increasingly doubtful.
-
-There were, nonetheless, two gratifying facts to record.
-
-Army Group A, which had been understandably reluctant to see one of its armies disappear across the Don, had realized after all that its own fate, too, would be decided on the Donetz and not in the Kuban. Besides, it was becoming more and more unlikely that a force of any strength in the Kuban could be supplied across the Straits of Kerch. Henceforth Army Group A, as well, came out in favour of withdrawing the largest possible number of forces through
-
-Rostov.
-
-The second fact was that on 25th January the above-mentioned attack of two of our armoured divisions on the enemy advancing across the Lower Manych finally produced the success we had hoped for. With that, the immediate threat to the Rostov crossings was eliminated for the
-
-time being.
-
-Instead, the situation on Fourth Panzer Army's southern wing took another critical turn. Bringing up fresh forces which appeared to have been drawn from the Soviet armies pressing
-
-after Army Group A, the enemy attempted to get between Fourth Panzer Army and the northern wing of First Panzer Army in order to envelop the former from the south and force the latter away from Rostov. Don Army Group accordingly presented Army Group A with a final demand that it should join in this battle with an armoured division and also step up First Panzer Army's withdrawal on Rostov with every means at its disposal.
-
-At last, on 27th January, at least the northern half of First Panzer Army came under command of Don Army Group, with the result that the latter was now itself able to order the measures to
-
-which I have just referred.
-
-At the same time, since Fourth Panzer Army still had to keep the Rostov crossing open for the time being, Don Army Group decided that H.Q. First Panzer Army, which could be released sooner south of the Don, should be the first to move over to the Middle Donetz. It was to be
-
-followed there by its divisions as they were fed through Rostov, as well as by forces of Fourth
-
-Panzer Army as they became available.
-
-By 31st January things had reached a point where First Panzer Army could be expected to come back through Rostov - though whether it would arrive at the Donetz in time to stop the enemy breaking across the river to the sea-coast was quite another matter. The unfortunate thing was that even now not all of the army's formations could be got to the decisive battleground. Thanks to Hitler's hesitation in deciding whether to bring the army back towards
-
-Rostov or to move it into the Kuban, 50 Division (one of the well-tried formations of the former Crimean Army) had not been in time to join in the move to Rostov and had gone over to Seventeenth Army. Furthermore, after days of indecision, Hitler at the last moment reallocated 13 Panzer Division to Army Group A for use in the Kuban after we had striven to the last to preserve a gap through which to slip it to Rostov. Thus both these divisions were withheld from the crucial battleground while some 400,000 men lay virtually paralysed in the Kuban. Admittedly the latter served to tie down the powerful enemy forces who were vainly striving to do away with the bridgehead. But they never achieved the operational effect which Hitler sought, and ultimately the enemy was left free to decide what size of force he should leave there. Not even Hitler's argument that a large force must be kept in the Kuban in order to deny the enemy the naval port of Novorossisk held any water. He still had to give it up in
-
-the end.
-
-On 29th January our headquarters moved from Taganrog, where it had gone on the 12th, to Stalino, as the Army Group's main point of effort now had to shift from the Don to the
-
-Donetz.
-
-During the battles in and south of the large bend of the Don, the aim of which had been to cover the withdrawal of Army Group A from the Caucasus, but in which the larger issue was
-
-whether the German southern wing could be preserved at all, a fresh problem was already emerging. The question was whether this southern wing would be able to maintain the Donetz
-
-area.
-
-This area, which lies between the Sea of Azov, the Don estuary and the Lower and Middle Donetz and is roughly bounded in the west by the line Mariupol-Krasnoarmeiskoye-Isyum,
-
-had played a fundamental part in Hitler's operational calculations as far back as 1941, for he considered possession of it to be of vital importance to the outcome of the war. On the one
-
-hand he contended that we should not get through the war economically without its vast coal
-
-deposits, while on the other he considered that the loss of these had dealt a telling blow to the Soviet war effort. Donetz coal, he declared, was the only kind the Russians had (at least in
-
-European Russia) that was suitable for coking, and sooner or later the lack of it must paralyse their tank and munitions production. While I do not propose to discuss the pros and cons of these assertions, the fact remains that the Russians managed to produce thousands of tanks and millions of shells in the years 1942-3 without recourse to this Donetz coal.
-
-The real question was whether we could remain the military masters of the Donetz basin or
-
-not. From the point of view of our war economy it was unquestionably desirable that we should retain it - with the one qualification that while we extracted substantial quantities of Donetz coal for our own use, all the bunker coal for the railway supplying this vast territory had to be brought out from Germany because Donetz coal did not suit our locomotives. As the Reichsbahn had to run several coal-trains a day to cover its own requirements, the proportion
-
-of troop trains fell off accordingly.
-
-Be that as it may, Hitler maintained that the German war economy could not possibly do without the Donetz basin. (A year later he said exactly the same thing about the manganese output of Nikopol.) And yet our possession of the area was in doubt from the moment the Hungarian front collapsed south of Voronezh, throwing open the enemy's road to the Donetz and across it to the Dnieper crossings or the Sea of Azov.
-
-The first time the question of our fighting to hold the Donetz basin came up was in a telephone conversation I had with General Zeitzler on 19th January. He wanted to hear my views on the subject, having 'broached' it to Hitler - albeit without success - the day before.
-
-This was the day on which the danger appeared of a breach in the whole front from Voroshilovgrad to Voronezh. I told Zeitzler that however important this area might be, even from the economic point of view, the question was relatively simple to answer. If it were to be retained in its entirety, strong forces must be assembled with a minimum delay and as far east as was feasible - forward of Kharkov, if possible. Should we be unable to do this because it was thought that Central and Northern Army Groups could not spare any more forces, because the new drafts at home were not ready, because O.K.W. would not release any forces from other fronts or, finally, because such a sudden deployment would be too much for the railways in their present state, we should simply have to accept the consequences. The southern wing of the German Armies could not close the gap with its own forces if it
-
-remained on the Lower Don.
-
-Nor could it go on fighting there in isolation if the expected reinforcements took a long time to arrive and deployed far to the rear - i.e. out of all relation to the operations of the southern
-
-wing. The battle being fought by the southern wing and the deployment of the new forces must be so attuned to one another in a spatial sense as to become operationally coherent. Either the new forces must be made to deploy swiftly and relatively far to the east, in which
-
-case it would be possible for the Army Group to remain on the Lower Don and Donetz, or else they could not, and the Army Group would have to be pulled back to join them. If one of these two courses were not taken, the enemy would have an opportunity to cut off the whole
-
-southern wing before any reinforcements could make their presence felt. General Zeitzler
-
-agreed with me.
-
-It was certain in any case that the SS Panzer Corps due to assemble around Kharkov by the middle of February would not have the necessary strength to close the gap now being torn open from Voroshilovgrad to Voronezh. Nor could it be made operational in time to launch an offensive thrust north of the Donetz for the purpose of freeing the flank of the southern wing in the event of its remaining on the Lower Don and Donetz.
-
-The next few days served to increase the Army Group's alarm at the trend of events in its deep
-
-flank.
-
-As early as 20th January we had noticed two enemy corps trying to outflank the Army Group's left wing (the Fretter-Pico Group at Kamensk) by a movement in the direction of Voroshilovgrad. At the same time the enemy was feeling his way forward against the Italian remnants behind the Donetz east of Voroshilovgrad. Otherwise his main forces apparently aimed to drive west on Starobyelsk in the first instance, obviously with the object of gaining some initial elbow-room. As soon as the enemy had attained these aims, however, it could be assumed that he would not only strive to envelop the Fretter-Pico Group, but also, by throwing strong forces further round to the west, to advance over the Donetz towards the Dnieper crossings or the coast of the Sea of Azov.
-
-Only four days later, on 24th January, there were already reports of enemy cavalry south of the Donetz in the region of Voroshilovgrad - though it was always possible that a false alarm had been sounded by some jumpy town major in a rear area.
-
-On 31st January I sent O.K.H. a teleprinter message re-stating my views on the problem of
-
-holding the Donetz basin.
-
-The prior condition for retaining it, I said, was that a timely attempt be made from the direction of Kharkov to relieve the pressure on us and that the enemy in the area north-east of the city be beaten before the muddy season set in. If, as unfortunately seemed to be the case, neither of these should prove practicable, there would be no possibility of holding the basin -at least not to its full extent in the east. Any attempt to remain on the Lower Don and Donetz would thus be a mistake from the operational point of view.
-
-A second factor which must not be overlooked, I went on, was that our present forces would not alone suffice to hold the whole Donetz area if- as seemed certain - the enemy were to bring up further reinforcements from the Caucasus and Stalingrad. It was just not good enough to pin one's hopes on the enemy's becoming exhausted (great though his losses might
-
-well have been in attacks on German troops) or on his operations being brought to a premature halt by difficulties of supply. (These were the arguments which Hitler constantly produced to General Zeitzler whenever the latter drew his attention, on the strength of the basically accurate intelligence reports he received from us, to the tremendous numerical superiority of the enemy. Un- doubtedly there was some justification for what Hitler said. Yet it had to be borne in mind that the enemy's attacks on allied armies had cost him very little and that he was far less dependent on supply and transport than we Germans were in enemy territory.) The very next few days confirmed the Army Group's appreciation of the enemy's intentions. It became clear that he was out to crush our front on the Donetz and simultaneously to outflank us to the west.
-
-On 2nd February he crossed the Donetz east of Voroshilovgrad without encountering any serious opposition from the Italians there. The assault group he had assembled consisted of three tank corps, one mechanised and one rifle corps - obviously part of the forces which had previously over-run the Italians on the Don. The objectives of this grouping could be taken to
-
-be Rostov or Taganrog.
-
-After ejecting 19 Panzer Division from Starobyelsk, the enemy had swung another strong force of three or four tank corps and a rifle corps south-west against the line Slavyansk— Lisichansk. It was plain that he planned a movement to outflank our wing further west. This -if one ignored the residue of Italians - he could expect to find around or even east of
-
-Voroshilovgrad.
-
-Except for the measures the Army Group was able to take in its own sphere of command with
-
-the ultimate object of flinging First Panzer Army over to the Middle Donetz, therefore, the period following the end of January was taken up with wrangles between the Army Group and O.K.H. on how to proceed with the operations as a whole.
-
-As has been stated, I had already emphasized to General Zeitzler on 19th January that the whole of the Donetz basin could only be held on condition that strong forces intervened swiftly and effectively from the Kharkov direction. As no prospect of this existed, I asked for
-
-permission to reduce the echeloning of our eastern wing at least far enough to release the forces which the Army Group would need if it were to prevent the amputation of the southern wing with its own resources and the reinforcements it had been promised.
-
-We had already dispatched First Panzer Army to the Middle Donetz to counteract the threat of
-
-envelopment that had now become acute there.
-
-What had to be done now was to get Fourth Panzer Army, too, out of the 'balcony' on the
-
-Lower Don and Donetz. This was the only timely way to meet the danger of an enemy attempt to cut us off from the Dnieper crossings by advancing across the Isyum-Slavyansk line. Further up the Don, moreover, the enemy must always be expected to bring even more troops over the river towards the Lower Dnieper than had already been reported at Slavyansk.
-
-Apart from 1 Division of the SS Panzer Corps, which had meanwhile arrived at Kharkov, there were nothing but battered remnants to oppose him anywhere in the area of Army Group B. These alone could not prevent him from wheeling into our deep flank. But Fourth Panzer Army could only be released if a considerable reduction were made in the length of the Army Group front. Instead of continuing to hold the extensive arc formed by the Lower Don and the Donetz from Rostov as far as the region west of Voroshilovgrad, the right wing of the Army Group must be taken back, as it were, on to the string of the bow. This 'string' was the system of defences which the German southern wing had held in 1941 after the first withdrawal from
-
-Rostov - a line running behind the Mius and continuing northwards as far as the Middle Donetz. Taking the front back into this position naturally meant abandoning the eastern part
-
-of the Donetz coalfields.
-
-In order to justify this withdrawal, I made an attempt to bring home my conception of the long-term conduct of military operations to the Supreme Command. The following is roughly how I expressed it in a teleprinter message addressed for Hitler's personal attention :
-
-To hold the Don-Donetz salient for any length of time was not possible, even in a purely defensive context, with the forces at the Army Group's disposal. In the event of the Supreme
-
-Command's having to remain on the defensive in 1943 on account of the loss of Sixth Army
-
-and its twenty divisions, an all-out attempt to defend the entire Donetz basin would mean committing all the forces there that could possibly be made available. That, however, would give the enemy a free hand to take the offensive with far superior forces at any point he cared
-
-to pick on the remainder of the front. While the present danger was that Don Army Group would be bottled up on the Sea of Azov (and Army Group A consequently lost in the Kuban), we could safely assume that even if this could be avoided and the whole Donetz area held, the enemy's later aim would be to encircle the whole southern wing of the Eastern Front on the
-
-Black Sea.
-
-If, on the other hand, the Supreme Command felt able to seek a solution by renewed offensive action in 1943, it could again only do so on the southern wing - but on no account from out of the Don-Donetz salient because of the now familiar supply difficulties and the flanking threat to which any attack from this 'balcony' projection would be exposed from the outset. The only means of achieving an offensive solution - always assuming that this were in the least feasible—consisted in the first place in drawing the enemy westwards towards the Lower Dnieper on our southern wing. Having once achieved this, we had to launch a powerful attack from the Kharkov area and smash the Russian front connecting there in order to turn south
-
-and surround the enemy on the Sea of Azov.
-
-Hitler, however, was apparently unwilling to entertain any ideas of this kind. He had already been told by Zeitzler himself- so the latter informed me - that the only question now was whether to abandon the Donetz area by itself or to lose Don Army Group along with it.
-
-Hitler's answer had been that although his Chief-of-Staff was probably right from the operational point of view, the surrender of the Donetz area was impossible for economic reasons — not so much because of any loss of coal to ourselves as because a German withdrawal would put the enemy back in possession of the supplies so vital to his own steel production. As an interim solution, Hitler had directed that the SS 'Reich' Division, the first of the SS Panzer Corps' formations to have reached Kharkov, should launch a thrust from that area into the rear of the enemy forces advancing against our Donetz front.
-
-Quite apart from the fact that this solitary division could never suffice for such a far-ranging operation (it would have had to over-run six enemy divisions for a start) and that there would
-
-be nothing available to cover its ever-lengthening northern flank, its commitment to battle would have meant splitting up the only striking force - the SS Panzer Corps - which could be
-
-expected to join us in the foreseeable future. If it came to that, the 'Reich' Division was no longer free for such an operation, Army Group B having already had to throw it in to meet the rapid advance of the Soviets towards Kharkov. At that very hour it was tied up in a pretty unpromising defensive action at Volchansk, north-east of the city.
-
-During the next couple of days (4th and 5th February) the situation on Don Army Group's front deteriorated visibly, the enemy bringing sharp pressure to bear on Fourth Panzer Army
-
-as it covered the flow of First Panzer Army through Rostov. Two armies from his former Caucasus front, Forty-Fourth and Fifty-Eighth, had now joined the three already facing Fourth Panzer Army - a sure sign that the 'threat' which Army Group A's Seventeenth Army in the Kuban was supposed to constitute in the flank of the Russians had not deterred them from transferring substantial forces to the decisive battleground. Before long Don Army Group would have to expect a massed attack on both Rostov itself and the Don front each side of
-
-Novocherkask.
-
-In addition, a strong motorized force was found to be moving from Stalingrad towards the
-
-Don.
-
-On the Army Group's left wing, too, the situation was becoming increasingly grave. East of Voroshilovgrad, 6 Panzer Division, which Army Detachment Hollidt had rushed up to the Middle Donetz in pursuance of the Army Group order of 14th January, had not succeeded in flinging the enemy back across the river. All it could do for the time being was to bottle him
-
-up in the bridgehead he had gained there.
-
-Further west, the enemy had been able to cross the Donetz on a broad front, there being practically no forces whatever to defend it. He was now outside Slavyansk and had taken
-
-Isyum.
-
-Even now, therefore, it appeared doubtful whether the withdrawal of Army Detachment Hollidt into the Mius positions would still be at all feasible. The Army Group had intended to have it on the Novocherkask-Kamensk line by 5th January, but in fact it had been tied down on the Don and Donetz through Hitler's refusal to let us take the front back to the Mius. If the enemy were to push swiftly south-eastwards from Slavyansk, he would unhinge the Mius
-
-defences from the start.
-
-Even though H.Q. First Panzer Army and the forces we had allocated to it were by this time on the road from Rostov to the Middle Donetz, it would inevitably be several days yet before
-
-the army could take an effective hand there. What made things worse was that the saturated roads in the coastal area greatly hampered the progress of the armoured divisions, whereas the ground further north was still frozen solid and in no way affected the Russians' mobility.
-
-In view of these ominous developments, the Army Group not only renewed its call for an immediate withdrawal of its right wing to the Mius, but also presented O.K.H. with a series of specific demands which were intended to underline the perilousness of the situation. It called
-
-for the concentration of 7 AA Division, which was engaged on anti-aircraft defence in the communications zone, to provide both air and ground protection for the supply route running through Dnepropetrovsk. It called for the immediate preparation of an airlift in case the enemy were to cut its rear communications.
-
-It called for a ruthless increase in the transport capacity of the railway at the expense of supplies to Army Group B, which had hardly any more troops to feed anyway.
-
-It demanded that unless the promised attack by the SS 'Reich' Division had achieved complete success — which must mean reaching Kupyansk - by 6th February, the SS Panzer Corps should attack south of the Donetz towards Isyum as soon as the increase in troop-trains
-
-enabled it to assemble around Kharkov.
-
-Finally, the Army Group called for the immediate transfer of the combat troops of 13 Panzer Division and two infantry divisions of Seventeenth Army to the Lower Dnieper, where they would be furnished with new weapons and take over the B-echelon transport and supply
-
-columns of Sixth Army located there.
-
-Even if Hitler shut his eyes to our more long-term view of operations, these demands would in any case bring the urgency of the position home to him.
-
-And sure enough, as a result of this teleprinter message, a Condor aircraft touched down on our airstrip on 6th February to fetch me to General Headquarters for an interview with Hitler. His decision to give me a personal hearing may have been partially due to a visit paid to us at the end of January by his senior military assistant, Schmundt, to whom we had expressed our
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-views very forcibly on the present situation and the way in which things were being handled
-
-at the top.
-
-The conference of 6th February 1943 between Hitler and myself made it possible to forestall the disaster threatening to overtake the German southern wing and to give the Supreme Command one more chance at least to obtain a stalemate in the east.
-
-Hitler opened the talks - as I have already reported in the chapter on Stalingrad - with an unqualified admission of his exclusive responsibility for the fate of Sixth Army, which had met its tragic end a few days previously. At the time I had the impression that he was deeply
-
-affected by this tragedy, not just because it amounted to a blatant failure of his own leadership, but also because he was deeply depressed in a purely personal sense by the fate of the soldiers who, out of faith in him, had fought to the last with such courage and devotion to
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-duty.
-
-Yet later on I came to doubt whether Hitler had any place whatever in his heart for the soldiers who put such boundless trust in him and remained true to him till the end. By then I wondered if he did not regard all of them - from field-marshal down to private soldier - as
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-mere tools of his war aims.
-
-Be that as it may, this gesture of Hitler's in assuming immediate and unqualified responsibility for Stalingrad struck a chivalrous note. Whether deliberately or unconsciously, he had thus shown considerable psychological skill in the way he opened our discussion. He always did have a masterly knack of adapting his manner to his interlocutor.
-
-For my own part, I had made up my mind to discuss two questions with him.
-
-The first was that of the future conduct of operations in my own area, which depended on getting Hitler's consent to the abandonment of the eastern part of the Donetz basin. It was essential to elicit this from him that very day.
-
-The second question I wished to bring up was that of the Supreme Command - i.e. the form in
-
-which it had been exercised by Hitler ever since the dismissal of Field-Marshal v. Brauchitsch. The outcome of this style of leadership - Stalingrad - gave me adequate reason
-
-for raising it.
-
-To dispose of the second question first, let me say quite briefly that no satisfactory conclusion was reached. Realizing that a dictator like Hitler would never bring himself to resign as Commander-in-Chief, I tried to get him to accept a solution which would not damage his prestige and yet guarantee a salutary military leadership for the future. I asked him to ensure the uniformity of this leadership by appointing one Chief-of-Staff whom he must trust implicitly and at the same time vest with the appropriate responsibility and authority.
-
-But Hitler was clearly not willing to treat the matter impartially. He kept resorting to the personal aspects of the case, complaining of the disappointments he had suffered with v. Blomberg the War Minister and even with v. Brauchitsch. He quite bluntly declared,
-
-moreover, that he could not possibly put anyone in a position that would virtually set him above Goring, who would never subordinate himself to the guidance of a Chief-of-Staff even if the latter were acting in Hitler's name. Whether Hitler was really reluctant to offend Goring
-
-or merely used this as a pretext, I cannot say.
-
-This brings us back to the first question, that of the future of operations in the area of Don
-
-Army Group.
-
-I began by giving Hitler a picture of the Army Group's present situation and went on to list the conclusions to be drawn from it. I pointed out that our forces would on no account suffice to hold the area of the Don and Donetz. However highly Hitler cared to rate its value to either
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-side, the only real question was whether, in trying to hang on to the whole of the Donetz basin, we wanted to lose the latter plus Don Army Group (and in due course Army Group A as well) or whether, by abandoning part of it at the right moment, we could avert the catastrophe that threatened to overtake us.
-
-Passing on from these manifest aspects of the present situation, I endeavoured to make Hitler
-
-see what would inevitably happen later if we persisted in remaining in the Don-Donetz 'balcony'. The enemy would be free, now that Army Group B was almost completely out of action, to turn the strong forces advancing through the latter's area down towards the Lower Dnieper or the coast and thus to cut off the entire southern wing. What happened down on this southern wing, I emphasized, would decide the outcome of the whole war in the east. It was certain that the enemy would continue to draw on his still strong reserves (particularly from around Stalingrad) to ensure that his struggle to slice off the German armies' southern wing fully achieved its object. For this reason no counter-thrust by the SS Panzer Corps could be considered adequate to intercept the wide outflanking movement which the enemy would make. He would be quite powerful enough to carry out this envelopment and screen it off to the west around Kharkov simultaneously. Even the sum total of possible German reinforcements would still not be enough to stop this enemy thrust. It was absolutely essential,
-
-therefore, that First Panzer Army, now on its way to the Middle Donetz, should be immediately followed by Fourth Panzer Army to intercept the still not acute, but nonetheless inevitable threat of an enemy envelopment between the Donetz and Dnieper. Only then would it be possible, in co-operation with the approaching reinforcements, to restore the situation on the German southern wing of the Eastern Front - i.e. the entire stretch of front from the coast of the Sea of Azov to the right wing of Central Army Group. Unless Fourth Panzer Army were pulled back from the Lower Don, this would not be possible. Yet to take it away from there automatically implied withdrawing from the Don-Donetz salient into the Mius positions along its base. There was not a day to lose over this.
-
-Indeed, it was already doubtful - thanks to the delay in taking a decision - whether Army Detachment Hollidt, now saddled with the defence of the whole front from the coastline to the Middle Donetz, would ever get back to the Mius in time. Consequently I had to receive permission that very day to give up the eastern part of the Donetz area as far as the Mius.
-
-This statement of mine - to which, incidentally, Hitler listened with the utmost composure — was followed by a dispute on the Donetz basin issue lasting several hours. Even during the second part of our talks, when I discussed the whole problem of leadership with him in
-
-private, Hitler kept coming back to it.
-
-As was to be my experience on similar occasions, he avoided any real discussion of what I had to say on operational matters. He did not even try to propound a better plan of his own or to refute the assumptions on which I had based my arguments. Nor did he dispute that the situation would develop in the way I felt bound to anticipate. He treated every statement not bearing directly on the most pressing needs of the moment as sheer hypothesis which might or might not become reality. Now, all considerations of an operational nature are ultimately based — especially when one has lost the initiative to the enemy — on appreciations or hypotheses regarding the course of action which the enemy may be expected to take. While no one can prove beforehand that a situation will develop in such-and-such a way, the only successful military commander is the one who can think ahead. He must be able to see through the veil in which the enemy's future actions are always wrapped, at least to the extent
-
-of correctly judging the possibilities open to both the enemy and himself. The greater one's sphere of command, of course, the further ahead one must think. And the greater the distances to be covered and the formations to be moved, the longer is the interval that must elapse before the decision one has taken can produce tangible results. This long-term thinking was not to Hitler's taste, however - at least not in the operational field. Possibly he disliked the prospect of being confronted with conclusions which did not conform to his wishes. Since these could not be refuted, he avoided becoming involved in them wherever possible.
-
-And so this time, too, he mainly drew his arguments from other fields. He began by dwelling on his understandable aversion to any voluntary surrender of hard-won territory so long as it could not be proved - as he thought - that no alternative method existed. It was a viewpoint which every soldier will appreciate. In my own case, particularly, it went right against the grain on this and so many later occasions to have to goad Hitler into giving territory up. I should have much preferred to be able to submit plans for successful offensives instead of for the now inevitable withdrawals. But it is a well-known maxim of war that whoever tries to hold on to everything at once, finishes up by holding nothing at all.
-
-Another argument which Hitler kept advancing was that any shortening of the front such as I
-
-had proposed for the purpose of making additional forces available would release an equivalent proportion of enemy forces which could then be thrown into the scale at a crucial spot. This, in itself, was also quite a tenable argument. The constantly decisive factor in any such shift of forces, however, is which of the two opponents gains the lead - in other words, which of them is offered the opportunity, by his own timely action, to seize the initiative at the crucial spot and thereafter to dictate his own terms to the more slow-moving enemy, even when the latter is collectively the stronger. In the case of any attempt to hold the Don-Donetz salient, moreover, the excessive length of the fronts virtually cancelled out the superiority in strength usually enjoyed by a defender over his attacker. In conditions of this kind the attacker has a chance to pierce the over-extended front at a spot of his own choosing, using relatively small forces and suffering no great losses. Since the defence lacks reserves, he is able to
-
-demolish the whole structure.
-
-Hitler also argued that if one fought bitterly for every foot of ground and made the enemy pay dearly for every step he advanced, even the Soviet armies' offensive power must one day be exhausted. The enemy had now been attacking for two and a half months without a break. His losses were high and he must soon be at the end of his tether. As he drew further away from his starting lines, moreover, his supply difficulties would halt any far-flung outflanking
-
-movement he might be planning.
-
-There was certainly a great deal of truth in all that Hitler said. Undoubtedly the enemy had had very big losses, at least when attacking sectors held by the Germans, and these would have made large inroads on his offensive power. Yet he had had correspondingly easy successes in sectors where there was not the stubborn resistance of German troops to contend with. It was also true that the losses of the Soviet troops - the infantry first and foremost - had greatly lowered their quality, otherwise we could not have held our own against such odds. But however much the enemy divisions' losses might reduce their combat efficiency, there were always new ones to take their place. As for Soviet supply difficulties, these could indeed be expected to increase the further the enemy's operations took him. But in this age of motor transport the distances from the armies' railheads to the Sea of Azov or the Lower Dnieper were not big enough to frustrate the impending Soviet drive to lop off the German southern
-
-wing.
-
-During World War I it had still been accepted that no army could normally put more than 95 miles between itself and its railhead. That this figure no longer held good in World War II had been adequately proved by our own operations in both east and west. In addition, the Russians were masters at the rapid reconstruction of railways, which presented relatively few engineering problems on those vast expanses of plain. In any case, it was entirely wrong to base our own measures on the vague hope that the enemy would soon reach the limit of his strength or mobility. When all was said and done, our own divisions, long overtaxed and severely bled, were themselves not far from exhaustion. In this respect I must emphasize that Hitler was fully aware of the condition and casualties of our own troops. What he did not care
-
-to admit was that the newly established divisions initially had to pay far too high a toll in blood on account of their lack of combat experience. On the other hand, he did agree that the Luftwaffe field divisions had proved a fiasco, and even confessed that they had been brought into existence as a concession to Goring's thirst for prestige.
-
-All Hitler actually had to say about the operational position was to express the belief that the SS Panzer Corps would be able to remove the acute threat to the Middle Donetz front by a south-easterly thrust from the Kharkov region in the direction of Isyum. His one reservation
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-was that by the time the corps' second division, the 'Leibstandarte', arrived, the 'Reich' Division should have dealt with the enemy at Volchansk. (A third division could not come until later.) His faith in the penetrating power of this newly established SS Panzer Corps was apparently unbounded. Otherwise, however, his statements showed that he still did not, or would not, realize the dangers of the less immediate future, especially when the enemy's Stalingrad formations appeared on the new battlefield.
-
-But the most decisive argument repeatedly put forward by Hitler was the present impossibility, as he saw it, of giving up the Donetz area. He feared the repercussions on Turkey, for one thing. Most of all, he stressed the importance of the Donetz coal to our own
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-war economy and the effect on the enemy of continuing to be deprived of it. Only by regaining this coal, he said, would the Russians be able to maintain their steel production and
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-thereby keep up their output of tanks, guns and ammunition. When reminded that they had turned out plenty of tanks and ammunition to date despite having lost the Donetz basin, Hitler replied that they were simply living off their existing stocks of steel. If they did not get the coalfields back, he insisted, they could not keep up their previous production, which in turn would prevent them from mounting any more big offensives. Now no one would deny that the enemy must be having production trouble in consequence of the loss of the coking coal and the steel and other plant of the Donetz basin. One proof, in my own opinion, was the fact that he had so far not succeeded in replacing the mass of the artillery he had lost in 1941. It was
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-this which had enabled us to defend the patchwork Chir front earlier on. That winter he did in fact have enough guns to commit an overwhelming concentration of them on limited sectors of front - as, for example, during the three successive breakthroughs on the Don - but he obviously still had not enough to equip all his divisions with fully mobile artillery. This discussion on the economic importance of the Donetz area, by the way, gave Hitler an opportunity to display his quite astonishing knowledge of production figures and weapon
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-potentials.
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-In this conflict of views on the advisability or otherwise of trying to hold on to the Donetz basin, I was ultimately left with only one trump card in my hand. Shortly before my flight to
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-Lotzen we had had a visit at my headquarters from Paul Pleiger, President of the Reichsvereinigung Kohle, the German coal cartel. When questioned on the real importance of the Donetz area to the German and Russian war economies, he had assured me that the mines
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-around Shakhty - i.e. in that part of the basin which lay east of the Mius - were in no way vital, as the coal there was unsuitable for coking or locomotive combustion. This disposed of Hitler's objections from the standpoint of economic warfare!
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-But anyone who supposes that he would now admit his defeat is underestimating the man's pertinacity. As a means at least of delaying the evacuation of the Don-Donetz salient, he finally resorted to the weather. As luck would have it, an unusually early thaw had set in during the last few days. The road across the ice of Taganrog Bay could no longer be used with complete safety, and although the Don and Donetz were still frozen over, it was always possible that the ice would soon start breaking up if the milder weather continued.
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-Hitler now used all the eloquence at his command to persuade me that in only a few days' time the broad valley of the Don might well be an impassable obstacle over which the enemy could not possibly attack before summer. Conversely, our own Fourth Panzer Army would get bogged down in the mud if it moved west. The least I could do in the circumstances, he said,
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-was to wait for a short while longer.
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-When I still would not budge and refused to stake the fate of my Army Group on the hope of a quite unseasonable change of weather, Hitler finally agreed to the withdrawal of the Army Group's eastern front to the Mius. If one included the discussion on the command problem, we had been in conference for four whole hours.
-
-The extent of Hitler's perseverance is shown by a small thing which happened just after I had taken leave of him. Having given what amounted to final approval of my operational intentions, he called me back again as I was about to leave his room. He said that while he naturally had no wish to alter a decision once it had been agreed upon, he would still urge me to consider just once more whether I could not wait for at least a little longer. A thaw in the Don basin might even yet enable us to remain in the Don-Donetz salient. I still stood firm, however. All I would promise him was not to issue the withdrawal order until I reached my headquarters at noon next day, provided the situation report sent up that evening did not
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-necessitate immediate action.
-
-I have given all this space to my interview with Hitler not only on account of the decisive effect it had on the outcome of the campaign that winter, but also because I find it in many respects typical of his attitude and of the difficulty of getting him to accept anything which
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-did not conform to his own wishes.
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-DEVELOPMENT UP TO THE END OF FEBRUARY
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-It would be wrong to suppose, just because we had succeeded, after a long tussle, in obtaining Hitler's agreement to the evacuation of the east of the Donetz basin - which in turn enabled us to throw Fourth Panzer Army over to our western wing - that the menace to the German southern wing as a whole was already eliminated. The process of 'leap-frogging' Fourth Panzer Army from east to west was bound to take about two weeks, in view of the distance involved and the state of the roads. Furthermore, it was by no means certain whether Army Detachment Hollidt would reach the Mius positions safely, considering that the enemy in its deep flank around Voroshilovgrad was already south of the Donetz. It was still uncertain, moreover, whether First Panzer Army could hold, or restore to any reasonable extent, the front on the Middle Donetz. Above all, the situation in the area of Army Group B - i.e. in the region of Kharkov - was shaping so ominously that all sorts of opportunities were opening up to the enemy. Not only could he drive through to the Dnieper crossings at Dnepropetrovsk and Zaporozhye and cut off Don Army Group's communications there; it was even possible for him to cross the river further upstream and block it from the west. Besides shifting Fourth Panzer Army over to the western wing of the Army Group, therefore, it would be necessary to form a new grouping of forces to replace Army Group B's allied armies, which had by now
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-gone almost completely to pieces.
-
-At noon on yth February I arrived back at my headquarters at Staline. The situation on the Don had been aggravated by the capture of Bataisk, a suburb of Rostov on the south bank of
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-the river. Immediately upon my return the Army Group gave orders to fall back behind the Don and begun moving H.Q. Fourth Panzer Army, together with whatever divisions it could make available, over to the western wing. Army Detachment Hollidt received instructions to retire to the line Novocherkask—Kamensk in the first instance.
-
-
-
-
-
-On 8th February further emergencies arose at Rostov and Voroshilovgrad, where the enemy broke out of the bridgehead he had gained earlier on. The position of First Panzer Army, now involved in the fighting on the Middle Donetz, was just as critical inasmuch as the success we had hoped it would score against the enemy advancing across the stretch of river between Lisichansk and Slavyansk had so far not materialized.
-
-Around Kharkov, in the area of Army Group B, a new army detachment was just being formed under General Lanz. The SS Panzer Corps, which was still in the process of arriving,
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-had been placed under its command. We learnt that the SS 'Reich' Division, which was to have smashed the enemy at Volchansk preparatory to thrusting south-east towards Isyum, had in fact come nowhere near doing so. On the contrary, it had retired behind the Donetz. In the circumstances it was certain that nothing would come of the thrust which Hitler had proposed making with the SS Panzer Corps-of which the 'Reich' Division was the only formation so far available - to relieve the pressure on our western flank.
-
-On 9th February the enemy had taken Belgorod and Kursk, in Army Group B's area north of Kharkov. He was also advancing west from the Donetz bend around Isyum. In the gap between the Dnieper and the right wing of Central Army Group, which only began some considerable distance north of Kursk, there was practically nothing but Army Detachment Lanz (whose assembly at Kharkov was already imperilled) and Army Group B's badly
-
-battered Second Army west of Kursk.
-
-In view of the fact that the enemy could now carry out a wide out-flanking movement across the Dnieper upstream from Dnepropetrovsk, it was clear that despite the steps taken to shift
-
-Fourth Panzer Army to the western wing, Don Army Group would in the long run be unable to guarantee the security of its rear communications with its own forces alone. Something radical had to be done. I accordingly sent General Zeitzler a teleprinter message calling for
-
-the deployment within the next fortnight of a new army of at least five or six divisions in the area north of Dnepropetrovsk, as well as of another army behind Second Army's front - i.e.
-
-west of Kursk— for a thrust to the south. To do this, I said, there must be a basic improvement in the efficiency of transport, as the slow trickle of divisions which had been coming through to date could not possibly help matters in the present situation.
-
-General Zeitzler did hold out the prospect of really effective assistance from now on. He hoped that he could at last release six more divisions from Central and Northern Army Groups and get these to us faster than had been the case hitherto. The daily number of trains he envisaged was thirty-seven, which meant that we could count on having one of the six promised divisions every other day. In view of the breadth of the gap torn in the German front, of course, even these forces would be no more than a stop-gap to tide us over the worst
-
-dangers until the muddy season set in, and whether they would arrive in time depended on developments around Kharkov, on which our own Army Group had no influence. In any case, the German southern wing remained overshadowed by the mortal danger that either before or immediately after the muddy season the enemy would push through to the Sea of Azov or, by
-
-striking even further west, to the Black Sea.
-
-While the Army Group's deep flank thus constituted its main source of anxiety, the trend of events on its own fronts was also far from encouraging.
-
-First Panzer Army (commander, General v. Mackensen ; Chief-of-Staff, Colonel Wenck), the task of which was to throw the enemy who had crossed the Middle Donetz back across the river, had to contend with two superior enemy forces. The first, which had come over the Donetz at Voroshilovgrad, was trying to drive in between Army Detachment Hollidt as it fell back on the Mius and First Panzer Army as it moved up to the Donetz from the south. The other was the force which had crossed the Donetz along the Lisichansk-Slavyansk line and was now striving to shift its main effort to its western wing on both sides of the Krivoi Torets. First Panzer Army, which was liable to be enveloped from both flanks, had to try to tackle the two groups of enemy successively. The Army Group's own view was that it should deliver the
-
-first punch on its western wing and dispatch the enemy at Slavyansk before turning on the force at Voroshilovgrad. Unfortunately the army had initially been compelled to tie up part of its forces with the latter group, with the result that it was no longer strong enough to beat the enemy at Slavyansk. This, in turn, meant that there could not be enough forces south of Voroshilovgrad to block the enemy's thrust to the south-west.
-
-As is so often the case in times of crisis, the large-scale emergencies were intensified by irritations of a localized character. On the basis of a reconnaissance carried out before it dispatched 40 Panzer Corps to destroy the enemy force advancing from Slavyansk, First Panzer Army had decided that it was impossible for tanks to outflank the enemy over the ground west of the Krivoi Torets because the deep fissures criss-crossing this particular stretch of country were buried in snow. Consequently 40 Panzer Corps put in its attack more or less frontally along and eastwards of the river valley. As the intense cold of the Russian winter makes it virtually impossible for troops to remain in the open country at night, most of the fighting inevitably took place around the inhabited localities in the Krivoi Torets valley,
-
-the first main objective being possession of the big factory town of Kramatorskaya. In a battle of this kind, however, there was no hope of gaining the quick decision we so urgently needed against the enemy force at Slavyansk, and 11 Panzer Division, which was leading the attack,
-
-progressed only with great difficulty.
-
-While the Army Group's intention of cutting the enemy off from the Donetz by enveloping him from the west had thus been rendered nugatory, the latter pushed a strong force of armour
-
-through the allegedly impassable country west of the Krivoi Torets on the night of 11th February, penetrating as far as Grishino. Once again it was seen that the western conception
-
-of impassability had only limited validity where the Russians are concerned - partly, of course, because the wider tracks of Soviet armoured vehicles made it considerably easier for them to negotiate the mud or deep snow which held up our own tanks. At Grishino the enemy was now not only deep in the flank of First Panzer Army but also blocking the Army Group's
-
-main railway line from Dnepropetrovsk to Krasnoarmeiskoye. Only the railway through Zaporozhye remained open, and even in this case efficiency was reduced by the fact that the big Dnieper bridge destroyed by the enemy in 1941 was still not open to traffic. As a result all goods had to be reloaded, and tank-wagons carrying petrol could not go through to the front.
-
-While supplies to the battle front, especially petrol, were thus endangered and First Panzer Army was faced with the threat of being outflanked from the west, the enemy simultaneously
-
-tried to turn its flank from the east with the forces which had broken through by way of Voroshilovgrad. In particular, one enemy cavalry corps had managed to penetrate as far as the important rail junction of Debaltsevo, which lay not only far to the rear of the army's right wing but even behind the position due to be occupied by Army Detachment Hollidt on the Mius. Although it was possible to surround this corps at Debaltsevo, its destruction proved a difficult and lengthy business on account of the tough resistance it put up in the villages. As a result 17 Panzer Division, which was urgently required on the army's western wing, remained
-
-tied down here for the time being.
-
-On the eastern front, Soviet armoured forces just back from a rest and refit pressed hard behind Army Detachment Hollidt as it fell back on the Mius. As a result we were temporarily
-
-unable to pull out the armoured divisions still with the Army Detachment. (The Army Detachment did, nonetheless, succeed in reaching the Mius positions on 17th February and in
-
-organizing a defence there.)
-
-On the western wing it had meanwhile proved possible to halt the enemy armour at Grishino by throwing in the 'Viking' Division as it arrived from the Don. The latter was unable to dispose of the enemy with any speed, however. Apart from having been considerably weakened in the recent heavy fighting, it was suffering from an acute shortage of officers. The division was composed of SS volunteers from the Baltic and Nordic countries, and its losses had been so severe that there were no longer enough officers available with a command of the appropriate languages. Naturally enough this had an adverse effect on the fighting efficiency of what was intrinsically a useful body of troops.
-
-In the meantime Fourth Panzer Army was still moving by road and rail from the Lower Don to the western wing, its progress being considerably delayed by the bad state of the roads. Thus, apart from the fact that the enemy was already in First Panzer Army's deep flank at Grishino and able to send in fresh forces to reinforce those temporarily held up there, the danger in the yawning gap between the left wing of First Panzer Army and the Kharkov
-
-region remained as desperate as ever. In this area the enemy had complete freedom of action.
-
-These critical developments in the Army Group's own area were primarily the result of the excessive length of time it had had to leave its forces forward on the Don and Donetz to cover the withdrawal of Army Group A. Henceforth our headquarters also watched Army Group B's
-
-sector with growing alarm.
-
-The enemy was capable - while ensuring that he was covered in the direction of Kharkov - of moving down on Pavlograd with the forces reported to be advancing westwards from Isyum. From Pavlograd he could go on to the Dnieper crossings of Dnepropetrovsk and Zaporozhye, thereby severing the Army Group's communications across the river. He could, moreover, try
-
-to over-run Army Detachment Lanz, which was still in the process of assembling. If he succeeded, his way across the Dnieper would be open on both sides of Kremenchug, and he would subsequently be able to block the approaches to the Crimea and the Dnieper crossing at Kherson. The result would be the encirclement of the entire German southern wing. Even if the onset of the muddy season, which usually came about the end of March, were to interrupt such a far-reaching operation, the enemy could still be expected to continue pursuing this
-
-objective once it was over.
-
-In the light of these reflections, I sent O.K.H. a fresh appreciation of the situation on 12th February for submission to Hitler. Basing myself on the operational considerations outlined
-
-above, I laid special emphasis on two points :
-
-First, the ratio of forces. I pointed out that although the enemy had quite obviously been trying for almost three months past to precipitate matters on the Eastern Front by either demolishing or isolating our southern wing, the distribution of forces on our own side still took not the least account of this fact. Even if one allowed for the large number of divisions which had been sent to Don Army Group in recentmonths, the ratio of German to Soviet forces here and in Army Group B was still at least 1 : 8, whereas in the case of Central and Northern Army Groups it stood at 1 : 4. Now it was quite understandable that O.K.H. should
-
-hesitate to create new crisis spots by taking forces away from these two Army Groups. Furthermore, O.K.H. had probably been quite right when it pointed out, in reply to previous representations from me on the subject, that almost the whole of the available replacements of
-
-troops and weapons were being sent to Don Army Group, as a result of which the fighting potential of Central and Northern Army Groups was lower than our own. To all this, however,
-
-we could retort that the divisions of Don Army Group had been involved in incessant and very heavy fighting for months on end, which was not so in the case of the two Army Groups in the north. Besides, our divisions were fighting in open country, while Central and Northern Army Groups were established in timbered dug-outs.
-
-The crucial factor, in any case, was that the enemy's decisive effort was directed not against the central or northern sectors of the German armies but against their southern wing, and that it was inadmissible that we should continue to be left at such a numerical disadvantage.
-
-It could be taken for granted that even if we succeeded in averting the danger of being cut off from the Dnieper crossings, the enemy would still not lose sight of his more far-reaching aim of destroying the southern wing by surrounding it on the sea-coast. For this reason there must at all costs be a radical improvement in the ratio of forces on the German southern wing, even if it involved making concessions on other parts of the front or in other theatres of war.
-
-In addition to ventilating this fundamental question of the overall distribution of forces, I also stated my views to O.K.H. on the subsequent conduct of operations on the German southern wing. This will be dealt with in the chapter on Operation Citadel.
-
-During the night of 12th February the Army Group-which had meanwhile been renamed Southern Army Group — moved its headquarters to Zaporozhye with a view to having the best possible control of the battle at what would shortly become the decisive spot.
-
-On the night of 13th February a directive was received from O.K.H. which was obviously the
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-sequel to my proposals of 9th February. It ruled, in accordance with these proposals, that a new army should deploy on the line Poltava-Dnepropetrovsk and another behind the southern wing of Second Army. In the event, however, neither army was ever formed. The one which was due to deploy behind Second Army did not arrive at all. While Second Army did receive
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-a few reinforcements, they were given to it at the cost of those promised to ourselves. The army which was to deploy on the line Poltava—Dnepropetrovsk was Army Detachment Lanz, already committed at Kharkov. It was subsequently placed under command of Southern Army Group, together with the sector of Army Group B inclusive of Belgorod. Second Army went over to Central Army Group, and H.Q.. Army Group B was finally withdrawn from the
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-Eastern Front order of battle.
-
-FOURTH PHASE: 'THE GERMAN COUNTERSTROKE'
-
-And so, around the middle of February 1943, the acute crisis in the area of Southern Army Group reached a new climax. With it the danger that the entire southern wing of armies would be encircled by an extensive flanking movement from the neighbouring sector in the north threatened to take shape sooner or later. And yet, paradoxically, it was in this very culmination of the crisis that the germs of a counter-stroke lay.
-
-Initially, however, the picture became gloomier still.
-
-It was undoubtedly a hazardous step to withdraw Army Group B at this particular moment from command at the cleft in the front. Although, apart from Second Army, it now had nothing but the battered remains of various units at its disposal, it still constituted an essential link in the chain of command on the Eastern Front. Its removal was bound to cause the front to burst open at the seam between Central and Southern Army Groups.
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-In point of fact, moreover, H.Q.. Southern Army Group could not yet assume command of the Kharkov sector now apportioned to it (i.e. that held by Army Detachment Lanz), as no signals links had been established. Before we could take over, Kharkov was due to be lost. The fact
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-that the take-over could take place as quickly as it did was due to the consistently high performance of the Army Group signals regiment and the purposeful way in which our Chief Signals Officer, General Miiller, handled our communications. As usual we got liberal assistance from my friend General Fellgiebel, the chief of the Corps of Signals.
-
-But although the removal of H.Q. Army Group B complicated the handling of operations at the most delicate spot on the Eastern Front, it still served one useful purpose. By bringing Army Detachment Lanz under Southern Army Group, it enabled our headquarters to exercise exclusive command at the decisive place and the decisive time. In effect this contributed substantially to the final success of the winter campaign of 1942-3.
-
-Meanwhile the Kharkov area was to become a fresh source of anxiety or the Army Group, even if Army Group B - or rather Hitler, by dint of his personal interventions — remained in
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-command there for a few days yet.
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-Army Detachment Lanz had been ordered by Hitler to hold Kharkov at all costs, which now threatened to become a prestige issue like Stalingrad before it. With the object of relieving the pressure on Southern Army Group's left flank, moreover, the Army Detachment was to thrust in the direction of Losovaya with the SS Panzer Corps as its nucleus. Of the latter's three armoured divisions, there were still only two to hand.
-
-Clearly the Army Detachment could fulfil only one of these two tasks with the forces at its
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-command. It could either fight around Kharkov or else lend a hand on the left wing of Southern Army Group. I therefore suggested to Hitler that Army Detachment Lanz should forgo Kharkov for the time being and try instead to beat the enemy south of the city. By this means the danger of the Army Group's being enveloped across the Dnieper on both sides of
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-Kremenchug would be temporarily eliminated. On the other hand, it was reasonable to suppose that by throwing in Fourth Panzer Army, we could cope on our own with the enemy making for the Dnieper crossings at Zaporozhye and Dnepropetrovsk. Once Lanz had dealt with the enemy south of Kharkov he could turn his attention to recapturing the city.
-
-This solution, however, did not suit Hitler, for whom Kharkov, as the fourth biggest city in the Soviet Union, had already become a symbol of prestige, and on 13th February he again passed a strict order to Army Detachment Lanz, through Army Group B, to hold Kharkov at
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-all costs.
-
-Thereupon I demanded to be informed by O.K.H. whether this order would remain in force after Lanz had come under my own command and whether we should adhere to it even if the SS Panzer Corps were threatened with encirclement in Kharkov. I also requested an answer to the general appreciation which I had sent to Lotzen the previous day. In reply General Zeitzler told me that Hitler had described it as 'much too far-reaching'. To this I retorted that I considered it only right for an army group to think four to eight weeks ahead - unlike the Supreme Command, which never seemed to look any further than the next three days.
-
-As for the situation at Kharkov, circumstances proved stronger than Hitler's will. The SS Panzer Corps, which really was in danger of being surrounded there, evacuated the city on 15th February - incidentally against the orders of General Lanz. This accomplished fact was reported to us by Army Group B, which finally relinquished its command about this time. Had the evacuation of Kharkov been ordered by a general of the army, Hitler would undoubtedly have had him court-martialled. But because this action had - quite rightly - been taken by the
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-SS Panzer Corps, nothing of the sort occurred. All the same, the commander of Army Detachment Lanz was replaced a few days later by General Kempf on the grounds that Lanz was a mountaineer, while Kempf was a tank specialist.
-
-While the situation around Kharkov was manifestly deteriorating during the period in which Army Group B handed over the area to Southern Army Group, the possibility of the latter's being cut off from its communications across the Dnieper also became acute.
-
-It was reported on loth February that the enemy— as we had been expecting him to do for some time past — was advancing in strength towards Pavlograd and Dnepropetrovsk from the area west of Isyum. If he succeeded in reaching Losovaya junction or Pavlograd (or
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-alternatively the station of Sinsinikovo hard to the south-west of Pavlograd), the railway link
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-through Poltava would be severed.
-
-At the same time the speed of arrival of the reinforcements promised by O.K.H. slackened off again. Instead of the scheduled thirty-seven troop-trains per day, only six had come through
-
-on 14th February.
-
-Furthermore, Central Army Group announced that at present it lacked the necessary forces to make any serious attempt to co-operate with Southern Army Group along the line of cleavage between us. Apparently it would be more than happy if it succeeded in halting Second Army, which was falling back into a concavity which already extended far west of Kursk.
-
-The situation had become so critical that Hitler decided to visit me at my headquarters. Presumably my various comments had set him thinking. Much as I welcomed the prospect of putting my views to him personally and of letting him see the seriousness of our position for himself, it was naturally difficult to guarantee his safety in a sizeable factory town like Zaporozhye (on which the enemy was advancing) - particularly as he had expressed the intention of staying for some days. He and his suite, which included the Chief of the General Staff and General Jodl (and, as usual, his private cook), were accommodated in our office
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-building, the whole vicinity of which had to be hermetically sealed off. Even then the situation was not very reassuring, for Hitler's arrival had not passed unnoticed. As he drove into Zaporozhye from the airfield he was recognized by soldiers and Party officials in the streets. Practically the only troops we had available were our own defence company and a few anti-aircraft units, and before long enemy tanks were to get so close to the town that they could have fired at the airfield lying east of the Dnieper.
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-Hitler arrived at my headquarters at noon on 17th February. I began by giving him the
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-following review of the situation:
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-Army Detachment Hollidt had reached the Mius positions that same day, closely pursued by
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-the enemy.
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-First Panzer Army had halted the enemy at Grishino, but not yet finished him off. In the Kramatorskaya area, likewise, the battle against the enemy forces which had come over the Lisichansk-Slavyansk line was still undecided.
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-Army Detachment Lanz, having evacuated Kharkov, had withdrawn south-west towards the
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-Mosh sector.
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-I then went on to inform Hitler of my intention to take the SS Panzer Corps right out of Kharkov, leaving only the balance of Army Detachment Lanz in occupation.
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-The SS Panzer Corps was to thrust south-eastwards from the Krasnograd area in the general direction of Pavlograd, thereby coming into concert with Fourth Panzer Army as it moved up there. The job of these forces would be to smash the enemy advancing through the broad gap
-
-between First Panzer Army and Army Detachment Lanz. As soon as this had been achieved and there was no further danger that Army Detachment Hollidt and First Panzer Army would be cut off, we should proceed to attack in the Kharkov area.
-
-Hitler at first refused to discuss the sequence of the operations I was proposing. He would not admit that there really were powerful forces advancing through the area between First Panzer Army and Army Detachment Lanz. He also feared that the operations I envisaged between the Dnieper and the Donetz would become bogged down in the mud. As the winter was already quite far advanced, this was naturally a possibility to be reckoned with. But the main reason for Hitler's negative reaction was most probably the wish to recapture Kharkov at the earliest
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-possible date, which he hoped would be when the SS Panzer Corps had assembled its full complement of divisions. In fact the situation was such that a prior condition for any stroke in the direction of Kharkov was the removal of the threat to the Dnieper crossings.
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-Unless the communications across this river were kept open, neither First Panzer Army nor Army Detachment Hollidt could remain alive. For the stroke at Kharkov, moreover, the cooperation of at least a part of Fourth Panzer Army would be needed. Since it was certain that
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-when the thaw finally put an end to operations, it would do so in the region between the Donetz and Dnieper before it affected the country around and north of Kharkov, one could reasonably hope that we should still have time to attack at Kharkov after we had beaten the enemy now advancing between First Panzer Army and Army Detachment Lanz. On the other hand, it was more than doubtful whether the two operations could be carried out the other way
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-round.
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-Because of the obstinacy with which Hitler invariably clung to his point of view, another interminable discussion ensued. I finally put an end to it by pointing out that as the SS Panzer Corps must in any case first assemble on the Kharkov-Krasnograd road, which it could not do
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-before 19th February at the earliest, the final decision on whether to go north or south need not be taken till then. This dilatory approach of mine was made possible by the reflection that Fourth Panzer Army could not be available before 19th February either. I also felt justified in assuming that Hitler would be brought to reason by the course of events which he was now
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-experiencing at first hand.
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-On 18th February I saw Hitler again. The enemy had attacked in strength on the Mius and penetrated at several places into the as yet unconsolidated front of Army Detachment Hollidt. Furthermore, it had still not been possible to destroy the enemy cavalry corps encircled behind this front at Debaltsevo. I submitted to Hitler that in spite of this it was still urgently necessary to withdraw motorized units from here to the western wing, even if it were not possible at that particular moment. The enemy mechanized corps in the deep flank of First Panzer Army at Grishino was not yet defeated either, so that the forces committed there were still tied up,
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-On the other hand, there was now incontestable evidence that the enemy in the gap between First Panzer Army and Army Detachment Lanz was indeed advancing in force against the Dnieper crossings. His 267 Rifle Division had been identified south of Krasnograd, and he had taken Pavlograd with 35 Guards Division, which included a tank battalion. An Italian division located there (one left over from the former Italian Army) had hurriedly pulled out on
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-the approach of the enemy.
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-Army Detachment Lanz had reported that the wheeled-vehicle units of the 'Death's Head' SS Panzer Division were completely bogged down between Kiev and Poltava. This washed out the northwards stroke to retake Kharkov which had been Hitler's primary concern. If the SS Panzer Corps had not even been able to hold the city without the 'Death's Head' Division, it
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-was less likely than ever to recapture it when the latter's availability date could not be anticipated for the time being. The only thing we could do, therefore, was to strike south-
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-eastwards and destroy the enemy advancing through the gap between Army Detachment Lanz and First Panzer Army. Since the thaw must be expected in that area, too, in the very near future, there was no time to lose. In the circumstances Hitler agreed to my idea of immediately committing the 'Reich' Division, as the first available formation of the SS Panzer Corps, in the direction of Pavlograd. The 'Leibstandarte' Division was to provide Fourth Panzer Army's operation with cover against the enemy pushing hard southwards from Kharkov. At all events it was now to be hoped that Fourth Panzer Army, reinforced by the
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-'Reich' Division, would be successful.
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-Following this decision, I put my view to Hitler on the situation generally. I pointed out that even if we managed — and it was far from certain that we should - to avoid any unfavourable developments until the muddy season set in, I still had to think ahead. The mud would not give us a break of more than a few weeks. After that the Army Group would have a front of 470 miles to hold, for which, inclusive of the forces of Army Detachment Lanz, there were thirty-two divisions available. On the other hand, it could be taken for granted that once the muddy season was over, the enemy would again direct his main effort against the German southern wing and go all out to encircle it on the Black Sea.
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-A front of 470 miles defended by only about thirty divisions, I told Hitler, could be pierced by a stronger enemy at any point he liked. Above all, no one could prevent him from steadily outflanking the Army Group to the north until he reached the Sea of Azov or the Black Sea.
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-Once the muddy season finished, therefore, the Army Group must not remain stationary until the enemy broke through somewhere or outflanked it in the north. It could only afford to stay where it was if O.K.H. were able to launch a well-timed offensive stroke to relieve the pressure on the front which still projected a long way eastwards.
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-My purpose in putting forward these ideas was to persuade Hitler to consider operations on a long-term basis for once. It was obvious, however, that he had no intention whatever of committing himself. While admitting that the Army Group's forces would be too weak to defend that front in the coming year, he would not accept the ratio of strengths I had given him. He did not dispute the presence opposite us of the 341 enemy formations we had identified, but contended that they were no longer of any value. When I objected that our own divisions were also at the end of their tether, he replied that they would be brought fully up to strength and issued with new weapons during the muddy season (which in point of fact they were). He would not recognize, however, that during that same period the enemy would bring his 1926 class of one and a half million men to the front.
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-Neither would he admit that with the number of tanks the enemy could produce in two months
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-(i.e. the approximate duration of the muddy season) he could refit about sixty armoured brigades. Instead, Hitler was at pains to emphasize the decisive importance which the Donetz area would have for Soviet tank production if it were once to fall back into enemy hands. As for Germany's own conduct of operations in the east in 1943, he could not take the forces for a large offensive from any of the other theatres, nor could he find them from newly drafted units. On the other hand, he did think that it would be possible to take limited and localized action with the help of new weapons. This brought Hitler right back to the subject of weapons and weapon production, and it proved impossible to pin him down on his intentions regarding
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-the coming summer campaign.
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-We lived, it seemed, in two entirely different worlds.
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-On 19th February a further conference took place, and this time Field-Marshal v. Kleist had been asked to attend. Apparently Hitler's stay at my headquarters had quite impressed him after all as to the dangers on the German southern wing, for he announced that Army Group A was henceforth to transfer whatever forces it could possibly spare to Southern Army Group. In his own words, Army Group A would henceforth be regarded as an 'adjacent reservoir of forces' for the Southern Army Group front, which presumably meant that his plan for bringing the Kuban bridgehead back into the operational picture at some later date was now on the shelf. The future was to show, unfortunately, that this 'reservoir' was not to be exploited on anything like the scale which the transport facilities over the Crimea would have allowed. The Kuban bridgehead was to go on living its isolated existence. Experience has long taught that nothing is more difficult than to get forces released from a place once they have been wrongly
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-tied up there.
-
-That day tension mounted even higher when the enemy, apparently in considerable strength, reached the railway station of Sinsinokovo. As a result of this he not only temporarily blocked the main supply line to the centre and right wing of the Army Group but was also less than 35—40 miles away from the headquarters in which the Fiihrer of the Reich was staying ! As there were no troops whatever on the intervening ground, I was most relieved when Hitler flew home the same afternoon. It was quite conceivable that by the following day the enemy tanks could have denied us the use of our airfield lying east of the Dnieper.
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-The last point I had made to Hitler was that I should need almost all the armoured divisions for the blows I intended delivering on the western wing, which meant they would have to be taken away from the Mius positions. If it had been possible to hold the latter until now, the
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-only reason was that the main body of the enemy forces advancing on them had to pass through the Rostov bottleneck and had not yet arrived. The possibility that the Donetz area would be taken from the east, therefore, was one which could not be ignored. Nothing could be done to prevent it until we had first removed the danger of the Army Group's being cut off from its rear communications. This Hitler seemed to grasp.
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-In any case, I had the impression that Hitler's visit to my headquarters had helped to bring home to him the danger of encirclement which immediately threatened the southern wing of the Eastern Front and would continue to do so for some time to come. In spite of this, a story was soon afterwards circulated by O.K.W. or General Schmundt that the real purpose of Hitler's trip had been 'to put some backbone into the Army Group'. I am not aware that my headquarters was ever in need of this. Even if we were not prepared to do what Hitler demanded and fight stolidly for every foot of ground regardless of the consequences of 'holding on at all costs', I do not think it would be easy to find another headquarters which, in the teeth of so many crises, clung more stubbornly than our own to its will for victory. In this respect there was never the slightest divergence between my staff and myself.
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-THE BATTLE BETWEEN DONETZ AND DNIEPER
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-On 19th February the Army Group ordered Fourth Panzer Army to deploy for its counterattack against the enemy who had come over the line Pereshchepino-Pavlograd-Grishino to
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-cut off the Army Group from the Dnieper.
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-On 20th February the picture of the enemy's operational intentions became completely clear and proved to be exactly as we had anticipated.
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-On our eastern front the enemy attacked Army Detachment Hollidt's positions on the Mius,
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-breaking through at three main points.
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-To cut our communications over the Dnieper he appeared to have committed - in addition to the forces held up by us at Grishino and Kramatorskaya — an army with a strength of three rifle divisions, two tank corps and some cavalry.
-
-Simultaneously he was trying to break through the weak front of Army Detachment Kempf (General Lanz having now been relieved by General Kempf) to the west and south-west of Kharkov. Furthermore, he was making a bid to envelop this Army Detachment on its northwestern wing and — by reaching further north — to outflank it completely.
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-In the face of these developments the Army Group had two different things to accomplish. It must try to hold the eastern front on the Mius to the best of its ability - though whether it could do so with such limited forces and without any reserves was an open question.
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-Secondly, it must use Fourth Panzer Army to bring about the quick defeat of the enemy in between First Panzer Army and Army Detachment Kempf in order to prevent its own isolation from the Dnieper crossings. If it failed in this, most of the Army Group's forces would shortly
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-be immobilized through a lack of motor fuel.
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-Once it had been possible to beat the enemy force between the Donetz and Dnieper, it would depend on how the situation had developed in the meantime whether we could immediately
-
-thrust northwards with all our mobile forces in order to restore the position of Army Detachment Kempf. On the other hand, it might first be necessary for Fourth Panzer Army to fight another action in the area of First Panzer Army if the latter had still not succeeded in dealing on its own with the enemy at Grishino and Kramatorskaya.
-
-In any case we must hold off on our northern wing, i.e. in Army Detachment Kempf area, for
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-the time being. All that the latter could be given to do at present was to bar the way to the Dnieper, be it through Krasnograd to Dnepropetrovsk or through Poltava to Kremenchug, by putting up the toughest possible resistance. Should the enemy by any chance be aspiring to reach Kiev (and the many signs that he was were making Hitler increasingly apprehensive), we could only wish him a pleasant trip. Such a far-flung outflanking movement was hardly likely to achieve any positive results before the muddy season set in.
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-21st February brought us the first hints of relief on what at present were the Army Group's
-
-most vital stretches of front.
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-The eastern front on the Mius had held. The remnants of the enemy cavalry corps long surrounded behind it at Debaltsevo were finally compelled to surrender. An enemy tank corps which had been encircled after breaking through the Mius front at Matveyevkurgan was also
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-doomed to destruction.
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-On the right wing of First Panzer Army the enemy was maintaining his pressure on the Fretter-Pico Group, obviously with the object of next unhinging the Mius position or outflanking the northern front of First Panzer Army. Opposite the latter everything remained quiet. Monitored wireless messages made it clear that the Soviet force engaged on the western front of First Panzer Army at Grishino and in the Kramatorskaya area (i.e. the Popov group) was faring badly. Evidently its supplies had broken down.
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-Fourth Panzer Army had taken Pavlograd, and there was reason to hope that its last formations would have closed up with the main body before the roads softened. The fact that a not very powerful enemy tank force had thrust close up to Zaporozhye did not now imply any great danger. It ran out of petrol some 12 miles from the town and was duly destroyed piecemeal. Unfortunately a new division destined for Pavlograd (332) was diverted to the right wing of Central Army Group by O.K.H. while already on its way up to us. Though Second Army's position was probably not at all rosy, Southern Army Group had a prior claim now that we were finally on the way to regaining the initiative. Whether the enemy made any progress towards Kiev in the meantime was comparatively unimportant.
-
-That the enemy did harbour such intentions was shown by the fact that Soviet forces were advancing in considerable strength from the Belgorod direction towards Akhtyrka, clearly with a view to getting round the northern flank of Army Detachment Kempf.
-
-In the next few days Fourth Panzer Army's counterstroke achieved the success for which we had been hoping. With that the initiative in this campaign at last passed back to the German
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-side.
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-For a start, the army smashed the forces advancing towards the Dnieper crossings - i.e. those
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-in the area around and south of Pavlograd. What Hitler had refused to accept was now substantiated, in that there did prove to be two tank, one rifle and one cavalry corps involved. Immediately afterwards it was possible, in co-operation with First Panzer Army, to defeat the four enemy tank and mechanized corps opposite its western front.
-
-By 1st March it was clear that by reason of his defeats between the Donetz and Dnieper the enemy was also beginning to soften up opposite the northern front of First Panzer Army and that the latter would regain the Donetz line in this sector. One felt a strong temptation to chase the enemy across the still frozen river and take him in the rear in and west of Kharkov.
-
-To have our hands free to advance across the Middle Donetz, however, it was first necessary to knock out the southern wing of the enemy's Kharkov group, which was present in force on
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-the Berestovaya, south-west of the city. Whether this could still be done in view of the imminent thaw was more than doubtful. Consequently the Army Group had to content itself initially with seeking out and defeating the Kharkov enemy west of the Donetz.
-
-In the southern strip of the Army Group's operational area, near to the coast, it had already started to thaw. At the end of February the enemy on the Mius front had given up his attempt
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-to break through with armoured and other mobile formations and sent in rifle divisions instead. Evidently he wanted to have at least some bridgeheads west of the river before the mud came. After even this broad assault had failed, his offensive finally degenerated into
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-fruitless local attacks.
-
-By 2nd March the Army Group was able to survey the results of its first counterblow, delivered by Fourth Panzer Army and the left wing of First Panzer Army against the enemy between the Donetz and Dnieper. In the course of this attack and Army Detachment Hollidt's successful defensive on the Mius, the armies of the enemy's 'South-West Front' had received such a beating that they were temporarily incapable of further offensive action.
-
-Particularly heavy punishment had been meted out to the forces which had driven forward against the left wing of First Panzer Army and into the gap between the latter and Army
-
-Detachment Kempf- the Soviet Sixth Army, the Popov Group which had fought at Grishino, and First Guards Army. The enemy's 25 Tank Corps and three rifle divisions could be written off completely, while 3 and 10 Tank Corps and 4 Guards Tank Corps, one independent armoured brigade, one mechanized brigade, one rifle division and one ski brigade were known to have had a severe battering. In addition, heavy losses had been suffered by 1 Guards Tank Corps and 18 Tank Corps, as well as by six rifle divisions and two ski brigades.
-
-According to reports received from our own troops, the enemy had left some 23,000 dead on the Donets-Dnieper battlefield, and the booty included 615 tanks, 354 field-pieces, 69 antiaircraft guns and large numbers of machine-guns and mortars. The figure of 9,000 prisoners appeared small in comparison. The reason for it was that our own forces, most of which were armoured, had not been able to form an unbroken ring round the enemy. Because of the cold -particularly at night - the troops tended to bunch together in and around the villages, with the result that individual Soviet soldiers and units which abandoned their vehicles were left with plenty of room to slip away over the intervening countryside. It had not been possible to block the Donetz in the enemy's rear, as it was still ice-bound and entirely passable to lightly armed
-
-troops moving on foot.
-
-Apart from the enemy losses already mentioned, 4 Guards Mechanized Corps, which had been encircled behind the Mius front, and 7 Guards Cavalry Corps were also wiped out.
-
-THE BATTLE OF KHARKOV
-
-After thus regaining the initiative by the victory between the Donetz and Dnieper, Southern Army Group proceeded to deliver the stroke against the 'Voronezh Front'-i.Q. the enemy forces located in the Kharkov area—in accordance with an order already issued on 28th
-
-February. The intention was to attack these forces in their southern flank with the aim either
-
-of turning the latter or—if at all possible—of later driving into the enemy rear from the east.
-
-Our object was not the possession of Kharkov but the defeat- and if possible the destruction-
-
-of the enemy units located there.
-
-Hence the first priority was to smash the enemy's southern wing, which consisted of Third Soviet Tank Army on the Berestovaya south-west of the city. This was achieved by Fourth Panzer Army by 5th March. Of Third Tank Army, 12 and 4 Tank Corps, a cavalry corps and three rifle divisions were partly cut to pieces and partly captured in a small pocket at Krasnograd. While there were once again relatively few prisoners, our own troops put the number of enemy dead at 12,000 and reported the capture of 61 tanks, 225 guns and 600
-
-motor vehicles.
-
-A turn in the weather prevented the Army Group from now moving against the rear of the enemy harassing Army Detachment Kempf at Akhtyrka and Poltava in order to make him fight a battle with reversed front. This would have necessitated Fourth Panzer Army's crossing the Donetz downstream from Kharkov, but the ice was liable to break up at any time and no pontoon bridges would have held against the drift-ice. Even to launch a smaller-scale flanking
-
-movement by crossing the Mosh and taking the city - through which the enemy's rear communications ran — from behind hardly seemed feasible now that the ground was thawing out. Thus an attempt had to be made to roll up the enemy from the flank and to force him
-
-away from Kharkov in the process.
-
-With this aim in view, Fourth Panzer Army — including the SS Panzer Corps, the last formation of which, the 'Death's Head' Division, had meanwhile arrived complete — attacked in a northward direction from the Krasnograd area on 7th March. Army Detachment Kempf joined in as soon as the enemy began to relax his pressure on its own front.
-
-The attack made good progress in the days that followed. By this time, however, the enemy had recognized the threat to his Voronezh Front. Our radio monitors ascertained that he was moving what appeared to be several tank and mechanized corps from the Voroshilovgrad area to Isyum, presumably for use against the flank of Fourth Panzer Army as it drove north of Kharkov. These, however, no longer achieved any notable impression, either because they had expended their offensive capacity in the preceding battles around Voroshilovgrad or on the Mius, or else because the thawing of the Donetz hindered their intervention. All the enemy could do was to win a minor bridgehead north-west of Isyum on the south bank of the river. He also fetched 2 Guards Tank Corps up to Kharkov from the east and pulled certain of his forces which had been harassing Army Detachment Kempf s northern wing and Second Army
-
-back to Bogodukhov. As Second Army was too weak to go over to the offensive itself, it seemed doubtful whether we should succeed in preventing the forces which had pushed a long way west towards and north of Akhtyrka from escaping eastwards. Whatever happened, though, we wanted to try to force the enemy facing Army Detachment Kempf further south away from Kharkov or alternatively to cut him off from the Donetz crossings east of the river. If this came off, Kharkov could be taken by a coup de main. At all costs the Army Group wished to avoid Kharkov's becoming a second Stalingrad in which our assault forces might
-
-become irretrievably committed.
-
-It was inevitable, however, that the name of Kharkov should act as a magic stimulus on the fighting troops and less senior command staffs.
-
-The SS Panzer Corps, wishing to lay the recaptured city at 'its Fiihrer's' feet as a symbol of victory, was eager to take the shortest route there, so that the Army Group had to intervene vigorously on more than one occasion to ensure that the corps did not launch a frontal assault on Kharkov and become tied down there while enemy elements still fighting to the west of the city were able to make good their escape. In the end it was possible to bring the SS Panzer Corps round to the east. The city fell without difficulty, and we succeeded in cutting off the retreat of considerable numbers of the enemy across the Donetz.
-
-As has been seen, the enemy had been compelled by developments in the area around and south of Kharkov to thin otit his forces opposite Army Detachment Kempf when they were already near to Poltava and in possession of Akhtyrka further north. Subsequently he had to move them back towards Kharkov and Belgorod, with Army Detachment Kempf m close
-
-pursuit.
-
-On 10th March Hitler paid our headquarters a further visit. In addition to briefing him on the current situation, I dealt in particular with our view of how operations should be conducted at the end of the muddy season, which was now setting in. This will be covered in the next
-
-chapter.
-
-On 14th March Kharkov fell to the SS Panzer Corps. At the same time, on the northern wing of Army Detachment Kempf the 'Gross-Deutschland' Division moved swiftly on Belgorod. The enemy once again threw in strong armoured forces to oppose it, but these were wiped out
-
-at Gaivoron.
-
-The capture of Kharkov and Belgorod marked the conclusion of Army Group's second counterblow, as the increasing muddiness of the ground did not permit any further operations.
-
-As a matter of fact the Army Group would have liked to wind up by clearing out, with the help of Central Army Group, the enemy salient extending some distance westwards of Kursk in order to shorten the German front. The scheme had to be abandoned, however, as Central
-
-Army Group declared itself unable to co-operate. As a result the salient continued to constitute a troublesome dent in our front which left certain openings to the enemy and at the same time cramped our own operations. Nevertheless, the Army Group was now securely in
-
-possession of the entire Donetz front from Belgorod down to where the Mius positions branched off from it. These Donetz and Mius fronts together formed the very same line as had been held by German troops in the winter of 1941-2.
-
-RETROSPECT
-
-If, in conclusion, we cast a final glance at the full course and outcome of the 1942-3 winter campaign in South Russia, we must begin by acknowledging the successes attained on the Soviet side, the magnitude of which was incontestable. The Russians had contrived to encircle and destroy the German Sixth Army, the strongest we had in the field. They had, moreover, swept four allied armies clean off the map. Many brave members of the latter had fallen in battle, and considerable numbers had gone into captivity. What allied troops remained had disintegrated and had sooner or later to be withdrawn for good from the zone of operations.
-
-Even though it was possible to reconstitute the majority of Sixth Army's divisions from residual units and replacements and for Army Detachment Hollidt to assume the designation of Sixth Army in March 1943, the loss of the bulk of the fighting troops of twenty divisions, besides a considerable proportion of the army artillery and engineers, was quite irreparable. And limited though the fighting efficiency of the allied armies might be, their loss was still a considerable one, depriving us as it did of a substitute for German forces on quiet sectors of
-
-the front.
-
-Yet despite the disappearance of five whole armies from the German order of battle, no one can say that this alone need have decisively influenced the outcome of the war. It was
-
-accompanied by the loss of the whole of the immense territories we had won in the 1942 summer offensive, together with their natural resources. The grab for the Caucasian oilfields, one of the fundamental aims of that offensive, had failed to come off- and here we may note that this economic goal, on which Goring had been so insistent, decisively contributed to the
-
-offensive's split. In their pursuit of this economic objective people had forgotten that its attainment and retention always depended on defeating the main body of the enemy forces. All the same, it had still been possible to hold the part of the Donetz basin that was essential
-
-to the conduct of the war.
-
-But great though their gains undoubtedly were, the Russians had still not succeeded in winning their decisive victory over the German southern wing, the destruction of which could
-
-probably never have been made good by our side. By the end of the winter campaign the initiative was back in German hands, and the Russians had suffered two defeats. Though not
-
-decisive in character, these did lead to a stabilization of the front and offer the German command a prospect of fighting the war in the east to a draw. Nevertheless, we could clearly bury any hope of changing the course of the war by an offensive in the summer of 1943. Our loss of fighting power had already been far too great for anything of that order.
-
-The obvious inference for the Supreme Command to draw was that it must strive with every means at its disposal to come to terms with at least one of Germany's opponents. Similarly it
-
-must realize the need to base its subsequent conduct of the war in the east on a policy of sparing its own forces - particularly by avoiding the loss of entire armies, as at Stalingrad —
-
-while seeking to wear down the offensive capacity of the enemy's. To that end, resolutely ignoring all secondary aspirations, it must switch the main effort to the Eastern theatre for as long as Germany's Western adversaries were unable to land in France or to deliver a critical
-
-blow from the Mediterranean area.
-
-If we now return to the 1942-3 winter offensive and its outcome, the next question to ask is
-
-why the Soviet command, despite its big successes in this campaign, did not achieve the decisive success of annihilating the whole of the German southern wing? After all, with that overwhelming number of formations and the operational advantages it possessed at the outset,
-
-it had the highest possible trumps to play.
-
-It must be emphasized for a start that the Soviet command showed no lack of aggressive spirit and engaged its troops without the least regard for casualties in order to attain its objectives.
-
-The troops themselves, as was almost invariably true of the Russians, fought with great bravery and at times made unbelievable sacrifices. Nonetheless, there was an unmistakable fall-off in the quality of the infantry, and the losses of artillery in 1941-2 had still not been made good. Since the beginning of the war the Soviet leaders had unquestionably learnt a great number of lessons, especially regarding the organization and use of large armoured formations. Although the enemy had possessed large numbers of tanks as early as 1941, he had not known then how to use them as individual members of a united whole. By now he had them properly organized in his tank and mechanized corps and had also taken over the German technique of penetration in depth. In spite of this we almost always succeeded — except in the situation of November 1942- in ultimately beating or destroying these tank and mechanized formations, even when they had already driven deep into the German forward areas. After the encirclement of Sixth Army, on the other hand, they were never again able to drive through to vital spots with such speed and in such strength as to fulfil the aim of cutting off the German southern wing, whether on the Don, the coast of the Sea of Azov or the Lower Dnieper. Except for Stalingrad, where Hitler gave it the opportunity, the Soviet command was never able to bring about a battle of encirclement as we had done on various occasions in
-
-1941, taking several thousand prisoners in the process. This held good in spite of the Russians' enormous preponderance of forces in the winter of 1942-3 and the fact that the opening situation and the collapse of the allied armies afforded them a free passage into the rear of the German front. We, on the other hand, had had to fight a mainly frontal battle in
-
-1941.
-
-So let us take a look at the Soviet leadership at the top. In view of the operational situation that existed at the end of the German summer offensive, the strategic aim of encircling the German southern wing was so palpably evident that it could not possibly be overlooked. The idea of breaking through the fronts of the allied armies was also a very obvious move. In other words, not very much genius was required on the Soviet side to draft an operations plan in the
-
-late autumn of 1942.
-
-The first stroke — the encirclement of Sixth Army — was undoubtedly correct. If it succeeded - and the German Supreme Command did everything to see that it did - the strongest striking force the Germans had would be eliminated.
-
-It would have been better if this first blow had been co-ordinated with the offensive against the fronts of the Italian and Hungarian Armies, in order that every effort should be made from
-
-the start to cut off the German forces at Rostov or on the Sea of Azov in one unified and large-scale assault operation. Clearly the available artillery was not equal to the task, and for this reason, presumably, the breakthrough operations had to be staggered. It is also conceivable that the transport situation did not allow the sum total of assault forces to be
-
-assembled and supplied simultaneously.
-
-However, the unexpectedly swift and complete collapse of the allied armies on our own side compensated the Soviets to a great extent for the inconveniences which this staggering of the three breakthrough offensives entailed. When the Soviet command failed to accomplish its mission of tying off the German southern wing on the Lower Don, the Sea of Azov or, in the last instance, the Dnieper, the reason was certainly not that its offensive was necessarily bound to get bogged down in that extensive zone of operations. When considered by the standards of modern warfare, the distances to be covered by the Soviet assault groups to their various objectives were by no means excessive. Nor were the German reserves which were thrown in to meet them so strong that the Soviet offensive need have come to a standstill short of its decisive objectives and have ultimately ended in a serious reverse.
-
-On the contrary, one must say that, with the exception of Stalingrad, the Soviet command never managed to co-ordinate strength and speed when hitting a decisive spot.
-
-In the first phase of the winter campaign it undoubtedly tied down unnecessarily large forces against Sixth Army in order to make doubly sure of its prize. In doing so, it let slip the chance to cut off the German southern wing's supply lines on the Lower Don. The forces that attacked the Chir front were certainly strong, but they did not act in concert.
-
-After the breakthrough on the Italian front the Soviet command similarly failed to stake everything on quickly crossing the Donetz and reaching Rostov. With such far-reaching objectives involved, there was admittedly a danger that the Russians would later be attacked in the flank themselves, but they should have expected to derive the necessary protection here from the offensive due to be launched on the Hungarian front immediately afterwards. Risky, I agree. But anyone who is not prepared to take such risks will never achieve decisive and - as
-
-was essential in this case - speedy results.
-
-Even after the successful breakthrough against the Hungarian Army, which tore open the German front from the Donetz to Voronezh, the Soviet command still failed to press on with sufficient speed and strength in the decisive direction - towards the Dnieper crossings. Instead of putting all its eggs in one basket and simply leaving a strong, concentrated shock group to provide offensive protection to the west, it squandered its forces in a series of far-ranging unco-ordinated thrusts at Akhtyrka and Poltava by way of Kursk, against the Dnieper and across the Donetz line Slavyansk-Lisichensk-Voroshilovgrad. In this way it enabled the German command to be stronger at the decisive spots when the time came.
-
-Schlieffen once said that both sides in a battle or campaign, the loser just as much as the winner, contribute to the outcome by the various actions they take. The German Supreme Command's share of responsibility for the loss of Sixth Army - and indeed for the whole crisis which arose on the southern wing of the Eastern Front in the winter of 1942-3 - has already been plainly stated. It is thus only fair to mention what contribution the German side made to the Russians' ultimate failure to encircle the German southern wing.
-
-In this respect only one thing need be said : but for the almost super-human achievements of the German troops and their commanders in facing up to an enemy many times their superior in numbers, the Army Group could never have succeeded in 'bringing its defeat underfoot'. This winter campaign could never have been fought had not our brave infantry divisions —
-
-unlike the troops of our allies, and often without adequate anti-tank defences - stood firm before the assaults of the enemy's armoured formations and, by closing the front behind his tanks whenever they broke through, ensured their ultimate destruction. A similar debt was
-
-owed to our panzer divisions, which fought with unparalleled versatility and more than doubled their effectiveness by the way they dodged from one place to the next. The German
-
-fighting troops, convinced of their superiority as soldiers, stood their ground in the most
-
-desperate situations, and their courage and self-sacrifice did much to compensate for the
-
-enemy's numerical preponderance.
-
-One thing must not be forgotten. It was the valiant Sixth Army which, by loyally fighting on to the last, snatched the palm of an annihilating victory against the German southern wing from the enemy's hand. Had it, instead of resisting till early February, given up the struggle as soon as its position became hopeless, the Russians could have thrown in such an extra weight of forces at the crucial spots that their aim to encircle the whole southern wing of the German front would most probably have been achieved. Such was Sixth Army's vital contribution to our success in once more stabilizing the situation on the Eastern Front in March 1943. Though the self-sacrifice of the men of Sixth Army may have been in vain so far as the final outcome of the war was concerned, this can never annul its moral worth.
-
-That is why, now that we have come to the end of the chapter, the name of Sixth Army is to shine forth for one last time. This army fulfilled the highest demand that can ever be made on a soldier - to fight on to the last in a hopeless situation for the sake of his comrades.
-
-14
-
-OPERATION 'CITADEL'
-
-THE PRECEDING chapter has shown that the winter campaign of 1942-3, which had started
-
-with the Russian breakthrough on the Don and Volga on both sides of Stalingrad, did not ultimately bring the Soviet command the decisive operational success for which it might have
-
-hoped.
-
-The question now was how the German side should continue the struggle the following summer. Obviously, after so many major formations had been lost, there would no longer be the forces available to mount another crucial offensive on the scale of 1941 and 1942. What did still seem possible - given proper leadership on the German side — was that the Soviet
-
-Union could be worn down to such an extent that it would tire of its already excessive sacrifices and be ready to accept a stalemate. At the time in question this was far from being wishful thinking. On the other hand, such an aim could not be realized by going over to purely defensive, static warfare. For one thing, there were not enough German divisions to defend the far-flung front from the Baltic to the Black Sea decisively. For another, it was unlikely that the Soviets would take any action until the Western Allies landed in Europe - the danger of which had become all the more acute in the light of recent events in North Africa.
-
-The German command thus had very little time left in which to force a draw in the east. It could only do so if it succeeded, within the framework of a - now inevitable - strategic defensive, in dealing the enemy powerful blows of a localized character which would sap his
-
-strength to a decisive degree - first and foremost through losses in prisoners. This presupposed an operational elasticity on our part which would give maximum effect to the still-superior quality of the German command staffs and fighting troops.
-
-We naturally had to consider what action the Soviet command would take once the muddy season was over. Would Stalin wait until his allies had met his repeated demands for a landing on the European mainland? Though it seemed very natural that he should do so, there were still many arguments against it. Soviet self-confidence had undoubtedly increased since the big successes late in the previous autumn. Could the Soviet leaders possibly afford, from a psychological point of view, to call a halt to their loudly advertised 'liberation of the holy soil of Russia' ? Must the Kremlin not be anxious to beat its allies to the Balkans, the traditional
-
-target of Russian expansionism?
-
-Assuming that the enemy resumed the offensive as soon as he had made good his losses, therefore, it seemed certain that he would continue to direct the main pressure of his attacks against the southern wing of the German front, i.e. against Southern Army Group.
-
-The bulge in the German front, which ran down the Donetz and Mius from a point below Kharkov, embracing the valuable coal-mining and industrial region south of that city, was just begging to be sliced off. Should the enemy succeed in breaking through around Kharkov or
-
-even across the Middle Donetz, he could still achieve his aim of the previous winter and destroy the German southern wing on the Black Sea coast. (At this time Army Group A was still in the Kuban bridgehead!) By the same stroke he would regain possession of the precious Donetz area and the granaries of the Ukraine, in addition to opening the way to the Balkans and Rumanian oilfields, with all the political consequences this would have entailed in regard to Turkey. In no other sector of the Eastern Front was the Soviet Union offered such immense opportunities in the military, economic or political fields. The decisive thrust, then, would be
-
-delivered against Southern Army Group - a fact which, in view of the Russians' numerical superiority, naturally did not exclude the possibility of smaller-scale offensives in other parts
-
-of the front.
-
-Southern Army Group had on a number of occasions brought these considerations to the notice of O.K.H. and Hitler. What the latter ultimately had to decide was whether the overall situation allowed us to wait for the Russians to start an offensive and then to hit them hard 'on the backhand at the first good opportunity, or whether we should attack as early as possible ourselves and — still within the framework of a strategic defensive- strike a limited blow 'on
-
-the forehand.
-
-The Army Group preferred the former solution as one offering better prospects operationally,
-
-and had already submitted a tentative plan to Hitler in February. It envisaged that if the Russians did as we anticipated and launched a pincer attack on the Donetz area from the north and south - an operation which could sooner or later be supplemented by an offensive around Kharkov - our arc of front along the Donetz and Mius should be given up in accordance with
-
-an agreed time-table in order to draw the enemy westwards towards the Lower Dnieper. Simultaneously all the reserves that could possibly be released — in particular the bulk of the
-
-armour — were to assemble in the area west of Kharkov, first to smash the enemy assault forces which we expected to find there and then to drive into the flank of those advancing in
-
-the direction of the Lower Dnieper. In this way the enemy would be doomed to suffer the same fate on the coast of the Sea of Azov as he had in store for us on the Black Sea.
-
-The plan did not meet with Hitler's approval, however. He was still pre-occupied with the economic aspects of the Donetz basin and apprehensive about the possible repercussions of an even temporary evacuation on the attitudes of Turkey and Rumania. But what probably did most to prejudice him was his belief that we must fight for every foot of the ground he had won from Stalin in the winter of 1941 and which had in his view 'saved the German Army from a Napoleonic retreat'. Besides this, however, he undoubtedly shrank from the risks which the proposed operation would assuredly entail. Inwardly, perhaps, he did not trust himself to cope with them, for in spite of having a certain eye for tactics, he still lacked the
-
-ability of a great captain.
-
-Consequently our minds now turned to the idea of a 'forehand' stroke. An attempt must be made to strike the enemy a blow of limited scope before he could recover from his losses in the winter campaign and resuscitate his beaten forces.
-
-A suitable target was presented by the Soviet salient which protruded far into our own front
-
-line around the city of Kursk. The Russians facing the boundary between Central and Southern Army Groups had been able to retain this when the muddy season set in, and it now formed a jumping-off position for any attacks they might be contemplating against the flanks of the two German army groups. The appreciable Soviet forces inside the salient would be cut off if our attack were successful, and provided that we launched it early enough we could hope to catch them in a state of unpreparedness. In particular, the enemy would have to commit the armoured units which had been so severely battered towards the end of the winter campaign, thereby giving us a chance to punish them wholesale.
-
-And so we come to Operation 'Citadel' - the last major offensive operation undertaken by the Germans in the east. For this attack against the Kursk bulge, Southern Army Group provided two armies, Fourth Panzer and Detachment Kempf, comprising eleven armoured or panzer grenadier divisions and five infantry. In order to do so, of course, it had to thin out the Donetz
-
-and Mius fronts considerably.
-
-For the attack from the north, Central Army Group provided Ninth Army, consisting of six armoured or panzer grenadier divisions and five infantry. The principal danger here lay in the army's having to assemble in the salient jutting out to the east around Orel, where the enemy might attack it in the rear from the east and north.
-
-Operation 'Citadel' was timed to start in the first half of May, when the ground could be expected to have dried out sufficiently and the enemy would still not have finished refitting -
-
-especially his armour.
-
-At the beginning of May, however, Hitler decided - against the advice of the two army group commanders - to postpone 'Citadel' till June, by which time, he hoped, our armoured divisions
-
-would be stronger still after being fitted out with new tanks. He stuck to his decision even after it had been pointed out to him that the unfavourable developments in Tunisia could mean
-
-that if 'Citadel' were put off any longer, there would be a danger of its coinciding with an enemy landing on the Continent. Nor would he recognize that the longer one waited, the more armour the Russians would have - particularly as their tank output undoubtedly exceeded that of Germany. As a result of delays in the delivery of our own new tanks, the Army Group was
-
-not ultimately able to move off on 'Citadel' until the beginning of July, by which time the essential advantage of a 'forehand' blow was lost. The whole idea had been to attack before the enemy had replenished his forces and got over the reverses of the winter. At the same time it was certain that the longer we took to launch the operation, the greater must be the threat to those of Southern Army Group's armies in the Donetz-Mius salient which had had to hand over all their available forces and, most of all, to the Orel bulge as the jumping-off base of
-
-Central Army Group's Ninth Army.
-
-On 5th July the German armies were finally able to attack. Though every deception and camouflage measure had been taken, we could no longer expect to catch the enemy unawares
-
-after a delay of that length.
-
-On the assault front of Central Army Group, Ninth Army succeeded in penetrating the enemy fortifications to a depth of about 9 miles in the first two days. After heavy fighting in which it had to beat off counter-attacks by enemy reserves, it managed to deepen this penetration by a few more miles up till 9th July, but then it came to a halt before a built-in system of positions on a dominant height to the rear of the front. Its intention of resuming the attack in a few days' time was frustrated by the enemy, who attacked the Orel bulge in strength from the north and north-east on nth July. To support Second Panzer Army in holding this front, the Army Group found itself compelled to throw strong mobile forces from Ninth Army into the Orel battle.
-
-The offensive in Southern Army Group's area developed more favourably. Here, too, the attack through the enemy's deeply echeloned defences proved difficult enough and made only slow progress. However, by nth July it had been possible to break through the last position into the area of Prokhorovka and Oboyan. During this time hasty counter-attacks by the enemy's mobile reserves were beaten off, in the course of which ten tank or mechanized corps were either smashed or severely battered. By 13th July the enemy facing Southern Army Group had lost 24,000 men as prisoners, 1,800 tanks, 267 field-pieces and 1,080 anti-tank
-
-guns.
-
-On 13th July, when the battle was at its climax and the issue apparently at hand, the commanders of the two army groups concerned were summoned to Hitler. He opened the conference by announcing that the Western Allies had landed in Sicily that day and that the situation there had taken an extremely serious turn. The Italians were not even attempting to fight, and the island was likely to be lost. Since the next step might well be a landing in the Balkans or Lower Italy, it was necessary to form new armies in Italy and the western Balkans. These forces must be found from the Eastern Front, so 'Citadel' would have to be
-
-discontinued.
-
-Thus the very thing had come to pass of which I had warned Hitler in May.
-
-The commander of Central Army Group, Field-Marshal v. Kluge, reported that Ninth Army was making no further headway and that he was having to deprive it of all its mobile forces to check the enemy's deep incursions into the Orel salient. There could be no question of continuing with 'Citadel' or of resuming the operation at a later date.
-
-Speaking for my own Army Group, I pointed out that the battle was now at its culminating point, and that to break it off at this moment would be tantamount to throwing a victory away. On no account should we let go of the enemy until the mobile reserves he had committed
-
-were completely beaten.
-
-Nonetheless, Hitler ruled that 'Citadel' was to be called off on account of the situation in the Mediterranean and the state of affairs in Central Army Group. The only concession he would make was that Southern Army Group should continue the attack until it had achieved its aim of smashing the enemy's armoured reserves. As a matter of fact not even this could be accomplished, for only a few days later the Army Group was ordered to hand over several armoured divisions to Central Army Group. The assault groups of both formations had to be
-
-withdrawn to their original start-lines.
-
-And so the last German offensive in the east ended in a fiasco, even though the enemy opposite the two attacking armies of Southern Army Group had suffered four times their
-
-losses in prisoners, dead and wounded.
-
-15
-
-THE DEFENSIVE BATTLES OF 1943-4
-
-WHEN 'CITADEL' was called off, the initiative in the Eastern theatre of war finally passed to the Russians. Now that we had failed to encircle strong forces of the enemy in the Kursk salient and had even had to cut short the action against his mobile reserves before anything decisive could be achieved, his preponderance of numbers was bound to make itself felt. Indeed, his attack on the Orel bulge was only the prelude to a grand offensive.
-
-Henceforth Southern Army Group found itself waging a defensive struggle which could not be anything more than a system of improvisations and stop-gaps. Being too weak, on that widely extended front, for purely passive defence against an enemy so many times stronger
-
-than itself, it had to concentrate its efforts- even at the risk of repercussions in sectors temporarily less threatened - on punctually assembling forces wherever there was a Soviet breakthrough to intercept or a chance of inflicting a blow on the enemy. What had to be avoided at all costs was that any elements of the Army Group should become cut off through deep enemy breakthroughs and suffer the same fate as Sixth' Army at Stalingrad. To 'maintain ourselves in the field', and in doing so to wear down the enemy's offensive capacity to the utmost, became the whole essence of this struggle.
-
-FIRST BATTLE OF THE DONETZ
-
-As had been expected, the enemy's first blow was directed against the front embracing the
-
-Donetz area.
-
-On 17th July a powerful offensive was launched against Sixth Army on the Mius and First Panzer Army on the Middle Donetz. While achieving considerable penetration, however, the
-
-enemy was unable to force a breakthrough.
-
-Sixth Army, by committing both the mechanized formations left as reserves in the Donetz area, was able to halt the attack after the enemy had won a bridgehead 12 miles wide and 10 miles deep on the west bank of the Mius north of Kuibyshev.
-
-In the case of First Panzer Army the enemy succeeded in crossing the Donetz south-east of Isyum on roughly a 20-mile front, but by throwing in both the divisions of 24 Panzer Corps
-
-moving up from Kharkov, it was possible to prevent him from gaining any further ground
-
-south of the river.
-
-Even though we were able to halt these Soviet attacks by the end of July, however, the situation in the Donetz area was still hardly tenable from a long-term point of view.
-
-And so, having itself had to call off the 'Citadel' operation for good on 17th July on orders from Hitler, Southern Army Group decided to withdraw a substantial weight of armour from that wing for the time being in order to iron things out in the Donetz area. We hoped to have given the enemy so much punishment in the course of Citadel' that we could now count on a
-
-breathing space in this part of the front.
-
-Without a doubt this decision was a disastrous one in regard to subsequent events on the Army Group's northern wing, as the enemy took the offensive there earlier than we had expected. But mistaken though the move proved to be, the fact remains that it was conditioned
-
-by Hitler's insistence on holding the Donetz area. In practice, moreover, the temporary weakening of the northern wing was limited to the withdrawal of H.Q. 3 Panzer Corps and 3 Panzer Division, since Hitler again put the SS Panzer Corps, now earmarked for Italy, at the Army Group's disposal for this one counterstroke in the Donetz. area.
-
-In view of the fact that the two corps headquarters and four armoured divisions destined for the Donetz area could only arrive one after the other, the Army Group proposed that the two leading divisions of the SS Corps should first deliver a short, sharp punch to straighten out First Panzer Army's position south of the Donetz. Thereupon the whole of our armour would be used to wipe out the big enemy bridgehead in Sixth Army's sector and to restore the Mius
-
-front. Hitler, however, promptly banned any action in First Panzer Army's area, although there was not the least reason why this need have protracted the stay of the SS Corps. Since there had already been a case of interference in the Army Group's handling of operations during 'Citadel' (i.e. when Hitler had stopped 24 Panzer Corps from being used with Army Detachment Kempf), I felt compelled to protest to O.K.H. This is what I wrote to General
-
-Zeitzler:
-
-'If my misgivings about coming developments are disregarded, and if my intentions as a commander, which aim merely at removing difficulties for which I am not responsible, continue to be frustrated, I shall have no choice but to assume that the Fuhrer has not the necessary confidence in this Headquarters. I am far from believing myself infallible.
-
-Everyone makes mistakes - even great captains like Frederick and Napoleon. At the same time I would point out that Eleventh Army won the Crimean campaign under very difficult conditions and that when faced with an almost hopeless situation at the end of last year, Southern Army Group still mastered it.
-
-'If the Fuhrer thinks he can find any army group commander or headquarters staff with better nerves than we had during the past winter, with more initiative than we showed in the Crimea, on the Donetz or at Kharkov, with greater powers of improvisation than were displayed by us in the Crimean or winter campaign, or with the ability to foresee the inevitable more clearly than we have done, I am fully prepared to hand over to
-
-them!
-
-'As long as I remain at this post, however, I must have the chance to use my own head.'
-
-July 30th saw the start of the counter-attack launched in Sixth Army's area by the armour
-
-brought over from the northern wing of the Army Group. It resulted in the complete restoration of the situation on the Mius front. The ratio of forces involved in this battle was indicative not only of the situation obtaining at the time but also of the superior quality of the German troops. In his bridgehead the enemy had no less than sixteen rifle divisions, two
-
-mechanized corps, one armoured brigade and two anti-tank brigades. The German counterattack was performed by four armoured, one panzer grenadier and two infantry
-
-divisions.
-
-In the course of this counter-attack and the Soviet attacks preceding it, the enemy lost some 18,000 men as prisoners, 700 tanks, 200 field-guns and 400 anti-tank guns.
-
-THE BATTLE WEST OF BELGOROD AND THE FIGHT FOR KHARKOV
-
-Having thus succeeded in restoring the situation in Sixth Army's sector, we were still left with the festering wound on First Panzer Army's Donetz front. It could no longer be cauterized because of the storm now brewing over the Army Group's northern wing.
-
-From the moment when Army Detachment Kempf and Fourth Panzer Army were withdrawn
-
-to their pre-'Citadel' positions, the enemy had been putting them under steady pressure. Around the turn of the month our radio monitoring and air reconnaissance showed him to be assembling a strong concentration of armour in the Kursk salient, obviously by bringing fresh forces over from the centre of the Eastern Front. Other offensive preparations were also noticed in the Donetz bend south-east of Kharkov.
-
-On 2nd August we informed O.K.H. that we were expecting an immediate offensive against
-
-the Army Group's northern front west of Belgorod. This, we thought, would probably be supplemented by an attack south-east of Kharkov with the aim of taking our forces round the town in a pincer movement and opening the enemy's way to the Dnieper. We asked for the return of the two armoured divisions which had been handed over to Central Army Group and for permission to retain the SS Panzer Corps for use on our northern wing. Apart from this, we directed that 3 Panzer Corps and 3 Panzer Division be lifted back from the Donetz area to
-
-Kharkov.
-
-On 3rd August the first enemy attack broke loose against Fourth Panzer Army and Army Detachment Kempf s front west of Belgorod.' The enemy managed to effect a breakthrough on the inter-army boundary, and in the next few days he extended it considerably in breadth and depth. Fourth Panzer Army was pushed back to the west and Army Detachment Kempf in a southerly direction towards Kharkov. Even by 8th August there was a gaping hole 35 miles wide between the two armies in the area north-west of the town. The enemy seemed free to drive through to Poltava and onwards to the Dnieper.
-
-The Army Group had ordered 3 Panzer Corps [Consisting of the two SS armoured divisions
-
-which Hitler had finally allowed us to retain, plus 3 Panzer Division. Author.] over to Kharkov in order that Army Detachment Kempf should fling it into the eastern flank of the enemy's breakthrough spearhead. Simultaneously Fourth Panzer Army was to thrust into the spearhead's western flank with the two armoured divisions returned from Central Army Group
-
-and another panzer grenadier division.
-
-It was clear, however, that no action by these forces, nor indeed by those of the Army Group as a whole, could provide any long-term answer to the problem. Our divisional casualties were already alarmingly high, and two divisions had broken down completely as a result of continuous overstrain. During the rapid advance of the enemy, moreover, a large number of
-
-our tanks had been lost while in workshops.
-
-In contrast to all this, the enemy had apparently made up the losses incurred during 'Citadel' more quickly than we had expected. Above all, he had drawn strong new forces from other
-
-fronts.
-
-As one might have anticipated, it emerged beyond any possible shadow of doubt that the enemy was now resolved to force an issue against the German southern wing. Not only was
-
-he constantly bringing up fresh forces to the breakthrough front, but an attack was also imminent on our front east and south-east of Kharkov. At the same time there were signs that a fresh offensive was planned on the Donetz-Mius front.
-
-When the Chief of the General Staff came to see us on 8th August I told him quite plainly that from now on we could no longer confine ourselves to such isolated problems as whether such-and-such a division could be spared for Southern Army Group or whether the Kuban bridgehead should be evacuated or not. The vital thing was that we should do everything in our power to frustrate what was obviously an enemy bid to destroy the German southern wing. There were two possible ways of doing this. One was to evacuate the Donetz area forthwith in order to release forces for the Army Group's northern wing and at least to hold the Dnieper in the south. The other was that O.K.H. should swiftly transfer at least ten divisions from other fronts to those of Fourth Panzer Army and Central Army Group's Second Army adjoining it in the north, and set a further ten in motion towards the Dnieper. But this time, too, despite the Army Group's repeated demands, no effective action was taken.
-
-Meanwhile the position was growing steadily worse. While the enemy pushed Fourth Panzer
-
-Army further west, it became clear that he simultaneously intended to outflank Army Detachment Kempf through the gap he had torn and to encircle it at Kharkov. On 12th August he also attacked our front east and south-east of the town. The divisions there, being far too widely extended, gave way, and the danger that the Army Detachment would be enveloped
-
-around the city became imminent.
-
-As usual - but this time for political reasons first and foremost - Hitler demanded that the town be held at all costs, pointing out that its fall could have an unfavourable effect on the attitudes of Turkey and Bulgaria. However true that might be, the Army Group had no intention of sacrificing an army for Kharkov.
-
-On 22nd August Kharkov was abandoned to obtain forces for the two threatened wings of Army Detachment Kempf and prevent its encirclement. In the meantime it had been redesignated Eighth Army and taken over by my erstwhile Chief-of-Staff, General Wohler. Although I had got on well with General Kempf, I did not oppose the change - the proposal for which came from Hitler - as Wohler's cautiousness and sang-froid, which had stood up to such severe tests in the Crimea, would be of particular value in the present situation.
-
-Otherwise 22nd August was very much a day of crisis. In the Donetz area the enemy had attacked again. Though able to halt a threatened breakthrough, Sixth Army's forces had not sufficed to restore the situation. First Panzer Army had brought another major attack to a
-
-standstill, but it, too, was coming to the end of its strength. While Eighth Army was able to get out of Kharkov unscathed, Fourth Panzer Army had to face heavy fighting, although it did succeed in winning one defensive action on its southern wing.
-
-Nevertheless, by 23rd August it was possible, by throwing in the armour that had come back
-
-from the Donetz area and Central Army Group, to stop the enemy breakthrough towards Poltava for the time being. A front, however thin and incomplete, had been re-established in the sectors of Fourth Panzer and Eighth Armies from a point hard south of Kharkov to southwest of Akhtyrka. While Fourth Panzer Army had been able to maintain contact with the right
-
-wing of Central Army Group, there was still a wide gap in the army's front south-west of Akhtyrka. This was closed at the end of the month in the course of an attack to straighten out
-
-the front.
-
-The Intelligence picture of 23rd August shows with what odds the two armies had to contend. Against Fourth Panzer Army alone the enemy had committed his 'Voronezh Front', with three armies (two rifle and one tank) assaulting and a fourth one apparently following up. Opposite Eighth Army was the 'Steppes Front', consisting of no less than six armies, of which one was
-
-armoured.
-
-An even clearer idea of the Army Group's position as a whole may be gathered from a breakdown of comparative strengths (including the breadths of front involved) which we
-
-submitted to O.K.H. on 20th-21st August:
-
-Own Formation
-
-Breadth of Front
-
-Sixth Army 155 Miles
-
-Number of Divisions
-
-10 Infantry 1 Armoured
-
-Approx. Number of Enemy Formations Fighting (Excluding those withdrawn to Power date)
-
-31 Rifle Divisions Equiv. to VA 2 Mechanized Corps
-
-divs. 7 Armoured Brigades
-
-Equiv. to M> 7 Armoured Regiments div. (total complement of tanks
-
-about 400)
-
-First Panzer Army
-
-8 Infantry 155 Miles 3 Armoured (or panzer grenadier)
-
-Equiv. to 5 l A
-
-divs. Equiv. to 1%
-
-divs.
-
-32 Rifle Divisions
-
-1 Tank Corps 1 Mechanized Corps 1 Armoured Brigade 6 Armoured Regiments 1 Cavalry Corps (total complement of tanks about 220)
-
-yi. i.i . nnAT-i 12 Infantry Equiv. to 5Va 44-45 Rifle Divisions
-
-Eighth Army 130 Miles CA J , n ,. A/r , . , „
-
-5 Armoured divs. 33 Mechanized Corps
-
-Equiv. to 2 1/3 3 tank corps
-
-divs. 11 Armoured Brigades
-
-16 Armoured Regiments (total complement of tanks about 360)
-
-20-22 Rifle Divisions
-
-_ . 1 Mechanized Corps Equiv. to 3 ^ tar ^ cor s
-
-Fourth Panzer , nr , ,8 Infantry divs. 1 . & corps
-
-170 Miles , . j „ . x „ l Armoured Brigade
-
-Army ' 5 Armoured Equiv. to 2
-
-divs.
-
-1 Armoured Regiment (total complement of tanks about 490)
-
-Equiv. to 18
-
-Southern ^,«wi 38 Infantry infantry
-
-. „ 610 Miles ... 3 ' „ . J , Army Group 14 Armoured Equiv. to 6
-
-Armoured
-
-When estimating the fighting power of the enemy's forces, we had assumed that in the case of most of the rifle and armoured formations it lay somewhere between 30 and 50 per cent. In the case of a small number of still fresh divisions and individual tank or mechanized corps it
-
-was conceivably still between 70 and 80 per cent. Undoubtedly, then, the enemy, too, had had very heavy losses, since the depreciation of his fighting power was more or less the same as
-
-our own.
-
-What we could do nothing to offset was the higher number of the Soviet formations, particularly as the enemy was to bring up fresh forces from the Orel front in the next few
-
-days.
-
-The above comparisons also show the extent to which the enemy had concentrated his forces -armour first and foremost - against the Army Group's northern wing. The way he was massing forces in front of Eighth Army and the right wing of Fourth Panzer Army clearly revealed his intention of forcing a breakthrough in the direction of the Dnieper. Subsequently, by bringing up even more reinforcements, he extended this to an attempt to outflank Fourth Panzer Army
-
-in the north and push it away from Kiev.
-
-What also emerges from our breakdown of strengths is that in contrast to the enemy's own build-up since the beginning of'Citadel' (fifty-five rifle divisions, two tank or mechanized corps and numerous armoured brigades etc.), Southern Army Group's increment of formations had been quite insignificant — nine infantry and one armoured division up to the end of August. Of these, four infantry divisions fell to 7 Corps, which had come over to Fourth Panzer Army from the right wing of Central Army Group. Since this army's front was thus prolonged by 75 miles, the four divisions in question constituted no real increase.
-
-Nonetheless, we did have five extra infantry divisions and one armoured. Had we received them prior to 'Citadel', they could at least have speeded up the Army Group's first offensive success and influenced the course of the battle very much in our favour. There can be no doubt that they could have been released more easily before 'Citadel' than after it, for since then the situation had become more strained all round.
-
-THE CONFLAGRATION SPREADS
-
-While the re-establishment of a fairly continuous front from Kharkov to Sumy had by 27th August brought about a relaxation - however brief- in the tension on the Army Group's northern wing, the position in the Donetz area became more perilous than ever.
-
-Consequently the Army Group submitted a categorical demand that its southern wing either be provided with further forces - without change of assignment - or else be given freedom of movement to halt the enemy on a shorter line further back.
-
-As a result Hitler finally made up his mind to come out to South Russia for a short conference. It took place in Vinnitsa, where his own headquarters had formerly been.
-
-During the talks my army commanders and I, as well as a corps and a divisional commander, gave Hitler a very clear picture of the situation, with special reference to the condition of the troops, who had long been suffering from overstrain. I drew particular attention to the fact that for a casualty total of 133,000 men there had been only 33,000 replacements. Even though the enemy's fighting power might be considerably weakened, I said, the large number of formations he possessed would still allow him to keep on throwing in divisions capable of offensive action. Apart from this, he would continue to bring in forces from other sectors of
-
-the Eastern Front.
-
-Summing up the present situation, I insisted that while the Donetz area could not be held with the forces now available, the far greater danger for the German southern wing as a whole lay on the northern wing of our Army Group. Eighth and Fourth Panzer Armies would be unable in the long run to prevent the enemy from breaking through to the Dnieper.
-
-I presented Hitler with the clear alternative:
-
-Either of quickly providing the Army Group with new forces — in any case not less than twelve divisions - and exchanging our tired divisions with others from quiet stretches of front;
-
-Or of abandoning the Donetz area to release forces within the Army Group.
-
-Hitler, who remained entirely objective throughout this discussion, though he persisted in trying to ramble off into all sorts of technical details, agreed that the Army Group must be afforded vigorous support, and promised to provide whatever formations could possibly be spared from the sectors of Northern and Central Army Groups. The possibility of exchanging worn-out divisions with others from quieter sectors, he said, would be clarified in a day or
-
-two.
-
-The very next day showed that nothing would come of these promises.
-
-The Russians had attacked the left wing of Central Army Group (Second Army), achieving a local breakthrough which compelled the army in question to fall back to the west. Another local crisis in the same Army Group had been caused by a successful Soviet attack in the
-
-sector of Fourth Army.
-
-Following a visit by Field-Marshal v. Kluge to General Headquarters on 28th August, nothing further was heard of any release of forces from his sector. Northern Army Group, too, now
-
-claimed that it could not spare a single division. As far as the other theatres of operations were concerned, Hitler first wanted to await developments and see whether the British would now land in Apulia or the Balkans or tie their forces down in Sardinia - a contingency which was
-
-just as improbable as it was unimportant.
-
-Unfortunately the Russians paid not the slightest heed to this desire of Hitler's to put off his decision. They went on attacking, and the situation became increasingly critical.
-
-Sixth Army was penetrated, and the corps it had fighting on the coast threatened to be encircled by the enemy. Since the divisions which O.K.H. had brought into the Donetz area against the wishes of the Army Group, which had wanted them for the northern wing, did not suffice to restore the situation, orders were issued to Sixth Army on 31st August to fall back on a prepared position in the rear known as a testudo. This meant that the first step in the evacuation of the Donetz area was already taken. The same evening Hitler finally gave the Army Group freedom gradually to withdraw Sixth Army and the right wing of First Panzer Army — 'provided,' he said, 'that the situation absolutely demands it and there is no other possible alternative.' At the same time instructions were given to destroy all installations of
-
-military importance in the Donetz area.
-
-If only it had been given this freedom of movement a few weeks earlier, the Army Group would have been in a position to fight the battle on its southern wing more economically. It could have freed, formations for the vital northern wing and still halted the enemy advance on a shortened front, possibly even forward of the Dnieper. Now, however, freedom of movement served only to preserve the southern wing from defeat. Even so it remained doubtful whether a proper front could still be established forward of the river.
-
-While First Panzer Army, except for that part of its right wing which had to be pulled back in conjunction with Sixth Army's withdrawal to new positions, was able to hold on the Middle Donetz, the situation on the northern wing of the Army Group was again deteriorating.
-
-Eighth Army, now being attacked from the north and east in the area south of Kharkov, was able to forestall an enemy breakthrough only by pulling back - fortunately no great distance -
-
-and shortening its front.
-
-Fourth Panzer Army had been compelled by the withdrawal of its northern neighbour, Central Army Group's Second Army, to bend back its left wing. This had the effect of extending its
-
-front, which was already much too thinly held, farther than ever. The further fact that ineptitude in the leadership of Second Army's southernmost corps — 13 — caused it to retire into the Panzer Army's area saddled the latter not only with four fairly battered divisions, but
-
-also with another 56 miles of front, this time facing north. One could foresee that once the enemy — whose assault power had temporarily slackened — resumed the offensive, the army was unlikely to hold him. This danger was rendered greater still by the new threat to the
-
-army's northern flank.
-
-The increasing gravity of the situation, and even more the absence of any decision from Hitler regarding reinforcements, caused me to fly to General Headquarters in East Prussia on 3rd September. I asked Field-Marshal v. Kluge to accompany me, as I wished to act conjointly with him in getting our forces distributed in a way which would take account of what the enemy so obviously had in mind. At the same time we wished to broach the need for rationalizing the overall leadership - i.e. for getting rid of O.K.W.-O.K.H. duplication in the Eastern theatre of war. The previous day I had written General Zeitzler a letter demanding that something finally be done to effect a real concentration of effort at the decisive point on the Eastern Front. In view of developments on the adjacent wings of Southern and Central Army Groups, I had said, it was essential that we take the precaution of assembling a strong army forward of Kiev. If the arrival of reinforcements from other theatres were delayed until our Western opponents committed themselves by a landing on the Continent, we should be too late in the east. In any case, it should not be too difficult to guess the Western Powers' general intentions from the disposition of their naval forces and shipping space. Zeitzler told me that when he showed the letter to Hitler, the latter had fumed with rage and averred that all I was interested in doing was conducting ingenious operations and justifying myself in the
-
-war diary. A pretty naive contention, I felt.
-
-I am sorry to say that the talk v. Kluge and I had with Hitler proved quite profitless. Hitler declared that no forces could be spared either from other theatres or from Northern Army Group. His reaction to the idea of creating a unified command by transferring responsibility for all theatres of war to the Chief of the General Staff was equally negative, his contention being that even the latter's influence could make no difference or improvement to the overall conduct of the war. Hitler, of course, was fully aware that the ultimate object of proposing a Chief-of-Staff who would be responsible for all theatres of operations was that he (Hitler), while continuing to have the final say, should relinquish the conduct of operations as such. He was just as much opposed to this as he was to renouncing the command in the east by appointing an actual Commander-in-Chief for that theatre.
-
-As O.K.H. still took no measures in the next few days to accommodate itself to the situation in Southern Army Group, I sent off a further teleprinter message on 7th. September in which I
-
-again reviewed the position on the Army Group front. I pointed out that the enemy had already committed fifty-five divisions, two tank corps etc. against us, and that these came not only from his reserves but largely from other sectors of the Eastern Front. Furthermore, others were on the way. Once again I insisted that decisive action must be urgently taken if the Army
-
-Group were to remain in control of the situation.
-
-The upshot of this was that Hitler appeared at our headquarters in Zaporozhye the very next day, having also summoned Field-Marshal v. Kleist, commander of Army Group A, and General Ruoff, whose Seventeenth Army was still in the Kuban, to meet him there.
-
-All I could do at this conference was once again to stress the seriousness of the Army Group's situation, the state of its troops, and the consequences which would result not only for ourselves but also for Army Group A if our northern wing were defeated.
-
-I emphasized that the position on the Army Group's right wing could not be restored forward of the Dnieper. On the northern wing of Sixth Army the enemy had succeeded in tearing a 28-mile gap in our front in which only the remains of two divisions were still fighting. With the small amount of armour at our disposal, the counter-attack we had already launched could not hope to close it. Whether we liked it or not, therefore, we should be compelled to retire behind
-
-the Dnieper, particularly in view of the possible repercussions of the exceptionally tense situation on the Army Group's northern wing.
-
-In order to find the necessary forces to sustain this northern wing, I proposed that Central Army Group should be withdrawn to the Dnieper line forthwith. This would cut its front by one third and result in such a saving of forces that it would at last be possible to acquire sufficient strength at the vital spot on the Eastern Front.
-
-Hitler now accepted in principle the need to take the right wing of the Army Group back on to the Melitopol-Dnieper line, though he still hoped to avoid doing so by bringing up new S.P. assault-gun battalions. As usual, he thought the use of technical resources was sufficient to halt a development which in fact could only have been averted by throwing in several
-
-divisions.
-
-As for acquiring forces from Central Army Group by taking it back to the Upper Dnieper, however, Hitler maintained that it was impossible to withdraw that distance at such short notice. The muddy season would be upon us before a movement of those dimensions could be
-
-completed, and, as had already happened in the evacuation of the Orel salient, too much equipment would be lost in the process. The best one could hope for was to withdraw to some intermediate line. This, of course, would not have achieved the man-power economy we were
-
-after.
-
-It was all a questioa of operational flexibility, and this was something on which our own views - based as they were on the experiences of the Crimea and the 1942-3 winter campaign— differed fundamentally from those of O.K.H. and even of the other army groups. During the campaigns in question we had always had to operate with speed and mobility and never had time for long-winded planning and preparation. Hitler and the other army groups,
-
-on the other hand, did not think it permissible to initiate and execute extensive troop movements so swiftly. Admittedly the rapid evacuation of fronts which had long been static was complicated by an order of Hitler's that all armies should accumulate a three-month stock of rations and ammunition so as to stand firm whenever their supplies were temporarily
-
-interrupted.
-
-But though he could not bring himself to approve anything so radical as my proposal for shortening Central Army Group's front, Hitler did recognize the necessity of decisively
-
-strengthening Southern Army Group.
-
-At the suggestion of the Chief of the General Staff, he directed Central Army Group immediately to assemble a corps of two armoured and two infantry divisions on its boundary with Fourth Panzer Army. The purpose of this was to forestall the envelopment of our
-
-northern wing.
-
-In addition, he promised to meet my demand for more divisions to safeguard the Dnieper crossings. Last of all, in order to make more forces available, he decided to evacuate the Kuban bridgehead, which had long since ceased to be of any operational value. According to Field-Marshal v. Kleist, this operation could be completed by 12th October.
-
-Unfortunately we were not able to get the appropriate orders issued straight away — i.e. direct from my headquarters. But when I saw Hitler off at the airstrip he repeated his promise of reinforcements before getting into his machine.
-
-On the afternoon of the same day we issued orders to Sixth and First Panzer Armies to go over to a mobile defensive, conducting it in such a way that the stability of the troops was maintained and as much time as possible gained for the withdrawal.
-
-As far as the fronts of Fourth Panzer and Eighth Armies were concerned, the Army Group hoped that once Hitler had fulfilled his promise, the situation on Fourth Panzer's northern wing could be restored through a counter-attack by the corps which Central Army Group was due to hand over to us. We should be able to buttress the front with the divisions now moving to the Dnieper. It would then still be possible to halt the enemy forward of the river -
-
-somewhere up around Poltava.
-
-Unfortunately the next day brought us a fresh disappointment. The order for the movement of four divisions into the Dnieper line, which Hitler had firmly promised to issue when he left me, did not go out. Furthermore, the assembly of a corps on our right wing by Central Army Group was delayed. There was still some doubt as to whether, when and in what strength it
-
-would really be available.
-
-I asked the Chief of the General Staff to tell Hitler that in these circumstances we must accept the possibility of the enemy's breaking through to the Dnieper crossings, including the one at Kiev. In view of the fact that the Supreme Command had repeatedly put off taking decisions and failed to keep promises on which the Army Group had already had to base measures of its own, I considered it necessary to insert a paragraph which could only be conveyed to Hitler in writing on account of its bluntness. I quote it here verbatim because it clearly reveals the divergence of views between the Supreme Command and Southern Army Group :
-
-'The Army Group has been reporting ever since the end of the winter battles that it would not be able to defend its front with the forces at its disposal and has repeatedly called, without success, for a radical adjustment of forces within the Eastern Front or between the latter and other theatres of war. In view of the importance of the territory being defended by Southern Army Group and the clearly foreseeable fact that the Russians would direct the main effort of their offensive against the latter, this adjustment was absolutely imperative.
-
-'Instead, the Army Group was divested of forces after "Citadel" and never provided with adequate or timely reinforcements when a crisis occurred.
-
-'My motive in making these statements is not to fix ex post facto responsibility for developments in the east but to ensure that in future the necessary action is taken in
-
-good time.'
-
-Yet Hitler could evidently not bring himself to accept what we now regarded as the inevitable
-
-and to withdraw Central Army Group to the Dnieper line of his own free will, thereby disengaging sufficient forces to retain control of the situation on the German southern wing.
-
-Neither the appeals of his Chief-of-Staff nor a fresh memorandum from Southern Army Group could do anything to move him. In this latest memorandum we expressed the view that
-
-the Soviet offensive which Hitler feared was about to be launched against Central Army Group would only amount to holding attacks aimed at preventing any radical concentration of
-
-forces on our own northern wing. Neither the operations nor the war economy, we added, would be seriously prejudiced by a withdrawal of Central Army Group to the Dnieper line.
-
-When still no action was taken to ensure that Central Army Group finally set about grouping the forces which we had been promised on our northern wing, against which the enemy was steadily bringing up new formations, the danger arose that Fourth Panzer Army would be enveloped from the north and pushed away from Kiev to the south. Such a development would not only preclude the establishment of a new front behind the Dnieper, but also put the Army Group in imminent danger of encirclement.
-
-In a report outlining this situation to O.K.H., the Army Group announced on 14th September that it would be compelled the following day to order even its northern wing to retire behind the river on both sides of Kiev. Eighth Army had already been given instructions to go over to mobile tactics. The idea of possibly halting the enemy forward of the Dnieper on a shorter front somewhere around Poltava had been rendered futile by Hitler's dilatoriness.
-
-In reply we received a message instructing us not to issue the order until Hitler had had another talk with me on 15th September. My answer to this was that any such meeting would be pointless unless I could speak to him privately with only the Chief-of-Staff in attendance.
-
-On this occasion I again told Hitler how things had deteriorated on our front since his last visit and emphasized that the crisis which had come about on the northern wing of my Army Group might well prove fatal not only to ourselves but eventually to the Eastern Front as a whole. This crisis, I added, was the consequence of Central Army Group's failure to hand over forces to us. In view of the fact that Southern Army Group had always loyally obeyed any O.K.H. orders of this kind, we did not see why other army groups should not do the same -particularly as the forces in question could not help Central Army Group to hold its own front if Fourth Panzer Army collapsed. To me, I said, it seemed quite intolerable that a transfer of forces which the Supreme Command itself had acknowledged to be urgently necessary could not be enforced. What was to become of us if Army Group commanders did not do what they
-
-were told? I, at any rate, was confident that I could get my own orders carried out! (The reason why Hitler had not got his way with Central Army Group in this case was, of course, that he had failed to give timely consideration to the need to shorten the front there and had not demanded prompt execution in spite of all the objections raised.)
-
-I closed my remarks by saying that it was very doubtful at the moment whether Fourth Panzer Army would get back over the Dnieper. While the Army Group would naturally do everything in its power to ensure that this operation ran smoothly, we had to insist that all four available railways should simultaneously be used to bring over one division each from Central Army Group to our own northern wing for as long as was necessary to restore the situation there. (That this would inevitably necessitate withdrawing Central Army Group on to the Dnieper line was self-evident.) The fate of the whole Eastern Front was at stake here, I said, and the only possible solution was to bring strong forces up into the Kiev area forthwith.
-
-Although Hitler accepted my implicit criticism of his leadership calmly enough, he doubtless
-
-derived small satisfaction from the interview. Nevertheless, this meeting did result in the immediate issue of an order to Central Army Group to move four divisions off at top speed to Southern Army Group, starting on 17th September and using all four railway lines at once. We were also promised infantry units and replacements from the west to bring our divisions
-
-up to strength - in all, thirty-two battalions.
-
-On my return to Army Group Headquarters an order was issued to all our armies on the evening of 15th September to retire on to a line running from Melitopol along the Dnieper to a
-
-point above Kiev and thence along the Desna.
-
-The reader may have gained the impression that throughout the weeks the Army Group was fighting forward of the Dnieper the activities of its headquarters staff were largely devoted to disputes with Hitler. Indeed, our constant attempts to persuade the Supreme Command to take necessary measures in good rime (and unavoidable ones before it was too late) did cost us a
-
-great deal of effort and nervous energy. Mine was a staff accustomed to taking quick decisions, and I personally was hardly one to enjoy continually repeating the obvious. In the last analysis this struggle to get operational needs recognized in time was the decisive feature
-
-of the 1943-4 campaign on the German side.
-
-THE WITHDRAWAL BEHIND THE DNIEPER
-
-The Army Group order issued on 15th September after my return from General Headquarters laid down that the armies' rate of withdrawal to the Dnieper line should be entirely subjected to the need to maintain the fighting strength of the troops. It expressly stated that 'all orders and decisions must give priority to the principle that as long as units remain intact they will overcome every difficulty, whereas no withdrawal can be carried out with troops who have lost their fighting strength or stability'. Wherever possible the armies were to let the enemy expend his energies in the assault in order to gain time for the withdrawal.
-
-Sixth Army had to pull back its two southern corps into the prepared positions between Melitopol and the Dnieper bend south of Zaporozhye. Its northern corps was to retire into the Zaporozhye bridgehead. While this corps sector now came under the orders of First Panzer Army, the rest of Sixth Army went over to Army Group A, whose Seventeenth Army was being brought back from the Kuban to the Crimea.
-
-First Panzer Army had to cross the Dnieper at Zaporozhye and Dnepropetrovsk in order to take over the front from Zaporozhye to a point 20 miles east of Kremenchug. Once the east-west crossings had been completed the Dnepropetrovsk bridgehead was to be abandoned, whereas that of Zaporozhye had to be held on the express orders of Hitler. The right wing of Eighth Army, which was likewise to be withdrawn on to Dnepropetrovsk, came under
-
-command of First Panzer Army.
-
-The army was also instructed to take immediate steps to assemble 40 Panzer Corps (with a strength of two armoured divisions, one panzer grenadier division and the SS Cavalry Division) south of the Dnieper for transfer to the Army Group's left wing. This measure was, however, thwarted by Hitler's order to hold the Zaporozhye bridgehead. The consequences
-
-will be discussed later.
-
-Eighth Army was to change banks in the sector flanked by the bridgeheads of Kremenchug and Cherkassy, attaining the latter crossing by dint of concentrating strong armoured forces on its left wing. Since the army had to hold a front behind the Dnieper reaching to a point 20 miles south of Kiev, it was to take over Fourth Panzer Army's 24 Panzer Corps as soon as the
-
-latter crossed the river.
-
-Fourth Panzer Army's task was to get the last-named corps over the Dnieper at Kanev and the main bulk of the army at Kiev, as well as to ensure that behind the river contact was reestablished to the north with the right wing of Central Army Group.
-
-The withdrawal into the Melitopol—Dnieper positions which was set in motion by this order
-
-and executed in the face of unremitting pressure from a far superior opponent probably represents the most difficult operation performed by the Army Group throughout the 1943-4
-
-campaign.
-
-On the right wing, in Sixth Army's area, the manoeuvre proceeded with relative ease, as the army was able to pull its forces back frontally into the consolidated positions north of Melitopol and the bridgehead of Zaporozhye. The main danger in this sector lay in the superior strength of the pursuer - particularly of his armour, which was able to thrust into the midst of our forces while they were actually on the move.
-
-On the other hand, exceptional difficulty was experienced in getting the other three armies back behind the river. From a front 440 miles in length they had to converge on a maximum
-
-of five Dnieper crossings. Having once crossed the Dnieper, however, they had to form another defensive front as wide as their previous one and be fully deployed again before the enemy could gain a foothold on the southern bank. It was this very process of concentrating the entire forces of each army on to one or at most two crossing points that gave the enemy his big chance. Apart from anything else, he could exploit the period in which the Germans were having to be fed back through the Dnepropetrovsk, Kremenchug, Cherkassy, Kanev and Kiev crossing points in order to take the river in his stride in between.
-
-What made the withdrawal even more complex was that neither of the Army Group's central elements, Eighth Army and the left wing of First Panzer Army, could withdraw along an axis perpendicular to the Dnieper. Instead they had to move north of— and very nearly parallel to -the river to reach the crossings through which they must pass.
-
-Eighth Army actually had to fight its way back to its own crossing-place, Cherkassy, while on the left wing of the Army Group there was a danger that Fourth Panzer Army would be pushed right away from Kiev as a result of developments on the southern wing of Central
-
-Army Group.
-
-The fact that this extraordinarily difficult withdrawal succeeded in spite of numerous local crises was due to the versatile leadership of the army commanders and the magnificent attitude of the troops. Only commanders and formation staffs who felt superior to their counterparts on the other side, only troops who had no feeling of being beaten even when they were pulling away from the enemy, could have brought off this feat. The enemy did not manage to hinder the movement of the armies towards the few crossings available to them. Neither was he able, despite his strength, to take advantage of their convergence on these crossing points to push strong forces across the river at any other spot and in this way to unhinge its defence from the outset. The fact that he did succeed in getting on to the western bank of the Dnieper in one or two places was inevitable in the absence of any German forces to safeguard the river in advance. I shall come back to this in due course.
-
-SCORCHED EARTH
-
-The extremely difficult conditions under which these movements had to be carried out made it imperative that we should take every possible measure likely to impede the enemy. It was essential to ensure that when he reached the Dnieper he could not immediately continue his offensive while still enjoying the advantages of pursuit.
-
-Consequently it was now necessary for the Germans, too, to resort to the 'scorched-earth' policy which the Soviets had adopted during their retreats in previous years.
-
-In a 15-mile zone forward of the Dnieper everything which might enable the enemy to go straight over the river on a broad front was destroyed or evacuated. This included anything affording cover or accommodation for Soviet troops in an assembly area opposite our Dnieper defences and anything which might ease their supply problem, particularly in the way of food.
-
-At the same time, in pursuance of instructions specially promulgated by Goring's economic staff, the zone was to be emptied of all provisions, economic goods and machinery which could assist Soviet war production. In the case of my own Army Group, this measure was confined to essential machinery, horses and cattle. Naturally there was no question of our 'pillaging' the area. That was something which the German Army - unlike certain others — did not tolerate. Strict checkpoints were set up to ensure that no vehicle carried misappropriated goods. As for the effects and stocks of factories, warehouses and Sovkhozes, these were in any case the property of the State and not of private individuals.
-
-Since it was Soviet policy, whenever any territory was recaptured, immediately to embody all able-bodied males under sixty into the armed forces and to conscript the whole of the remaining population for work of military importance, often in the battle zone itself, the Supreme Command had directed that the civil population would also be evacuated. In practice, this coercive measure was applied only to men of military age, who would have
-
-immediately been re-enlisted.
-
-On the other hand, a considerable proportion of the Russian population joined our withdrawal quite voluntarily in order to escape the dreaded Soviets, forming big trek columns like those
-
-we ourselves were to see later in eastern Germany. Far from being forcibly abducted, these people received every possible help from the German Armies and were conducted into areas west of the Dnieper in which the German authorities had arranged to feed and accommodate them. They were allowed to take along everything, including horses and cattle, which could possibly accompany them, and wherever we could manage to do so we put our own vehicles
-
-at their disposal. Although the war caused these people a great deal of misfortune and hardship, the latter bore no comparison to the terror-bombing suffered by the civil population
-
-in Germany or what happened later on in Germany's eastern territories. In any case, all the measures taken on the German side were conditioned by military necessity.
-
-One or two figures may serve to show what an immense technical achievement this withdrawal operation was. To begin with, there were 200,000 wounded to evacuate. About 2,500 trains were needed to shift German equipment and stores and requisitioned Soviet property. And the Russian civilians who had attached themselves to us alone numbered many hundreds of thousands. Despite the extra difficulties involved in having only a few crossing points at our disposal, the withdrawal was completed in a relatively short space of time,
-
-thereby proving - contrary to what others might think - that even operations of this kind can
-
-be executed quickly.
-
-By 30th September every army in the Group was back on the Melitopol-Dnieper line.
-
-THE FIGHT FOR THE DNIEPER LINE
-
-By crossing the Dnieper the Army Group had undoubtedly put a strong natural obstacle between itself and the enemy - at least as long as the summer was with us. Yet it could not expect the decrease in tension to last for long.
-
-We were convinced that the enemy would continue to seek a showdown in this sector of the Eastern Front and nowhere else, for operationally, economically and politically it was here that the most tempting prizes lay. Consequently he could be expected to exploit the supply potential of his southern wing to the utmost in order to keep throwing fresh forces - either from his reserves or from other sectors of the front — into the struggle against Southern Army Group. Obviously he would not be debarred from launching holding attacks or limited offensives in other parts of the front, but even if they produced local successes, these would not be of decisive importance when compared with the events on the southern wing.
-
-What prospects did Southern Army Group have of holding its ground? Was there a chance that the enemy might finally bleed himself white in attacks on the Dnieper line?
-
-These questions could have been answered much more confidently in the autumn of 1943 if the Dnieper line had been a strongly prepared system of fortifications. This, unfortunately,
-
-was far from being the case.
-
-It is true that as early as the winter of 1942-3 the Army Group had called on O.K.H. to fortify the Dnieper line with the least possible delay. It was unable to do so itself because at that time the river was still outside its zone of operations. However, Hitler had turned down the request - partly because he was opposed to rear-area defences on principle as an encouragement to retreat, and partly also because he wished to put all his labour and materials into the Atlantic Wall. As the fighting drew nearer to the Dnieper in the early months of 1943, however, the Army Group had on its own initiative taken steps to convert Zaporozhye, Dnepropetrovsk, Kremenchug and Kiev into bridgeheads so that the enemy would in any event be prevented from cutting the communications to the rear at these vital crossing points. With the final transition to defensive warfare after the end of'Citadel' we had set about enlarging and extending the Dnieper fortifications with the help of requisitioned civilian labour. Even then only light fieldworks could be built, as the Army Group was dependent on O.K.H. for construction machinery, concrete, steel, barbed wire and mines and on the Reich Commissariat in the Ukraine for timber, while Hitler was still giving priority to the Atlantic Wall. So although the Dnieper could be considered a formidable obstacle so long as it did not freeze over, it would be effective only if its defences were occupied in sufficient strength to
-
-compensate for their lightness of structure.
-
-But this was just where our weakness lay. German formation strengths had fallen off to a
-
-frightening degree in the incessant fighting of the past two and a half months, and the replacements of personnel and weapons - especially tanks - came nowhere near filling the gaps. To a very large extent this was due - as I said earlier - to Hitler's persistence in setting
-
-up new divisions back at home.
-
-Even before completing the withdrawal, the Army Group gave O.K.H. a plain statement of the strength position, from which it appeared doubtful whether the Dnieper line could be held for any length of time. We pointed out that the defence of the river itself must be carried out by the infantry divisions, the armour being retained as a mobile reserve ready to intervene wherever the enemy attempted to cross in force.
-
-In the same connexion we had to report that for the immediate defence of a 440-mile Dnieper front, the three armies left to the Army Group had a total of thirty-seven infantry divisions at their disposal. (This figure included three which were at present on their way out to us. Five
-
-divisions whose fighting power was completely spent had been absorbed into other formations.) In other words, every division would be responsible for some 12 miles of front. As against this, the average number of soldiers fit for front-line combat duties per division
-
-was now only about 1,000 - a figure which would not rise above 2,000 even after the promised replacements had arrived. Obviously no decisive defence could function on this
-
-basis, even from behind the Dnieper.
-
-As for the seventeen armoured or panzer grenadier divisions now available to the Army Group, we said, hardly one of them had any real punch left, and the number of tanks had dropped just as sharply as the manpower of the panzer grenadier regiments.
-
-The Army Group accordingly demanded that more infantry divisions should follow the three at present moving up to join it. This was additionally justified, we felt, by the fact that Central
-
-Army Group's front was being reduced by one third as a result of its withdrawal to the Dnieper. Furthermore, Central Army Group (or its southern wing, at any rate) was unlikely to be the target of any decisive offensive, as the enemy would merely land himself in the Pinsk
-
-Marshes in the process.
-
-In equal measures we emphasized the importance of giving priority to the formations of Southern Army Group in the replacement of troops and equipment, since it was they who would continue to bear the brunt of the fighting on the Eastern Front, just as they had done to date. Nor must there be another ammunition shortage like the one which had already occurred
-
-during the withdrawal.
-
-It would quite definitely depend on the fulfilment of these demands, we said, whether the enemy offensive in the struggle for the Dnieper line could be frustrated or not.
-
-Ultimately, therefore, the question was whether the German Supreme Command still had the forces and means available to win the struggle in the part of the Eastern Front where the enemy was intent on bringing matters to a head in 1943.
-
-At the time one could not possibly say that this would be hopeless from the start in view of
-
-the overall superiority of the Soviet forces. Even if the enemy were willing to stake everything this year on gaining a decisive victory on the southern wing, the supply problem still imposed certain limitations on the number of forces he could commit in this part of the
-
-front. It was thus of paramount importance that the German Supreme Command should anticipate the enemy onslaught which seemed likely to be launched here by massing its own forces in good time and adequate strength in the same area. Obviously it could do so only if it made up its mind to accept considerable risks in other sectors of the Eastern Front and other theatres of operations. Provided that such action were taken, an abortive Soviet offensive
-
-against Southern Army Group would probably wear down the enemy's attacking power to a conclusive degree - a success which might decisively influence the further course of the war.
-
-This question of timely and adequate support for the southern wing of the German armies continued to be the bone of contention between Southern Army Group and the German Supreme Command. As I would rather not retail the innumerable arguments it caused, I will merely point out that the Chiefs of the General Staff and the Operations Branch entirely agreed with us. On 3rd October, for example, General Heusinger told me that he had proposed an evacuation of the Crimea and the withdrawal of Northern Army Group on to a shortened line in order to release forces for Southern Army Group within the framework of the Eastern Front. Likewise he had suggested the construction of a proper Ostwall somewhere well to the
-
-rear.
-
-[Lit. 'Eastern Rampart' — in other words, a system of fortifications similar to the Siegfried
-
-Line, or Westwall. Tr.]
-
-(Hitler had recently been using the term Ostwall to describe the Dnieper fortifications
-
-originally built against his wishes.)
-
-The Fiihrer had turned down both proposals. Though the possibility of bringing in formations from other theatres was under consideration, said Heusinger, this would produce only a few
-
-divisions at the most.
-
-Now let us return to the position on the Dnieper.
-
-By the end of September it had become clear how the enemy intended to prosecute his
-
-offensive over and beyond the river.
-
-Powerful forces had followed Sixth Army (under command of Army Group A since the middle of the month) as it moved back into the Melitopol-Dnieper positions.
-
-Three enemy armies (two up and one in reserve), comprising twenty rifle divisions and two tank or mechanized corps, were pursuing First Panzer Army towards the Zaporozhye
-
-bridgehead.
-
-Two armies of fifteen divisions, followed by a tank army of three corps, were advancing on the Dnieper between Dnepropetrovsk and Kremenchug.
-
-Two armies of about twelve rifle divisions, two tank and one mechanized corps, followed by a tank army of three more corps, were moving towards the Dnieper between Cherkassy and
-
-Pvzhishchev.
-
-On the other hand, the only Soviet forces initially identified as moving on Kiev and the sector of river north of the city were three rifle and one mechanized corps. Obviously the enemy wanted to direct the main effort of his operations against the Dnieper bend in the first instance. In point of fact, the sector of river north and south of Kiev was just where he could move forces most speedily from the Central Front.
-
-Although the Army Group succeeded, under the difficult conditions already outlined, in getting its forces back across the Dnieper by 30th September, it still could not prevent the enemy from gaining a footing on the southern bank at two places.
-
-Half way between Dnepropetrovsk and Kremenchug, by making use of the islands there, he managed to cross the river on both sides of the boundary of First Panzer and Eighth Armies. The far bank was too weakly held to stop him. Unfortunately 40 Panzer Corps, which the Army Group had previously ordered to assemble south of the Dnieper as a mobile reserve, was not on hand to throw the enemy back across the river in an immediate counter-attack. It was still in the Zaporozhye bridgehead. As has already been noted, Hitler had given orders during the withdrawal that the bridgeheads of Zaporozhye, Dnepropetrovsk, Kremenchug and Kiev were to be held. It was a measure to which there could have been no possible objection if only the Army Group had had enough forces to hold them. As this was not the case, it had provided for their evacuation on completion of the east-to-west crossing - an arrangement which Hitler tacitly accepted as far as the last three were concerned. On the other hand, despite all representations to the contrary, he had expressly ordered the retention of the bridgehead of Zaporozhye, which was to be even further enlarged. Apart from referring to the need to keep control of the big Dnieper dam and its power-station, he had pointed out that the
-
-enemy would hardly dare to attack Sixth Army's Melitopol front as long as we held the bridgehead. Operationally speaking, the latter viewpoint was quite a sound one - except that Hitler was again pursuing too many aims at once. The upshot of the order to hold Zaporozhye was that First Panzer Army could not release 40 Panzer Corps in time. This disposed of any possibility of counter-attacking to destroy the enemy between Dnepropetrovsk and Kremenchug before he had got across the river in sufficient strength to establish a wide
-
-bridgehead.
-
-The enemy had also effected a crossing at the end of September by exploiting the narrow loop in the Dnieper south of Pereyaslavl (west of the Kanev bridge). Evidently he was planning a major crossing at this spot, since he brought no less than four tank and one mechanized corps up to the river on both sides of it. Having dropped several parachute brigades south of the Dnieper, he soon had eight rifle divisions and a tank corps inside the loop.
-
-A further emergency arose on the extreme north wing of the Army Group. Up here, on the boundary between Fourth Panzer Army and Central Army Group, the enemy had been able to cross the Desna, which was meant to be held in the first instance. According to orders issued earlier by O.K.H., Second Army should have had forces assembled to meet this very contingency, but no such assembly had taken place.
-
-In mid-September the Army Group had moved its headquarters from Zaporozhye to Kirovograd, a town of some importance forming the centre of the industrial area in the Dnieper bend. From there I had visited the crisis spots developing on the Dnieper front held by First Panzer and Eighth Armies, and also the front at Kiev. The impression I formed at the time was that while Fourth Panzer Army's front would probably hold, it was no longer likely that the trouble on the boundary between the two other armies could be completely eradicated.
-
-At the beginning of October the Army Group then moved into what had formerly been General Headquarters in Vinnitsa, which was more favourably placed for conducting operations on the Army Group front as a whole. It was situated in a wood, where immense trouble had originally been taken to provide it with its own water, light and power supplies for
-
-the benefit of Hitler and the O.K.W. staff.
-
-The offices and living quarters were in wooden huts, simply built but tastefully furnished. One astonishing feature of the place was a network of underground sentry-posts running through the entire wood. Apparently Hitler had wanted to be guarded, but preferred those who
-
-guarded him to remain invisible. We, fortunately, had no occasion to take such safety precautions. Vinnitsa was a large health resort lying amid picturesque scenery on the Bug. All its hotels and other establishments were now being used as military hospitals, which I visited
-
-as soon as my work permitted.
-
-October 1943 found Southern Army Group already involved in the decisive struggle for the Dnieper Line. While the late autumn usually plunged the northern sectors of the Eastern Front into a period of rain and mud which made it difficult even for the Soviets to undertake any major offensive operations, this was not so in the south, where the fighting continued
-
-unabated.
-
-In accordance with the enemy order of battle which we had already identified at the end of September, four main targets of enemy pressure emerged in the Army Group area:
-
-(i) the Zaporozhye bridgehead, the removal of which the enemy apparently regarded as a prior necessity for continuing his offensive against the adjacent Sixth Army in the south;
-
-(ii & iii) the two Dnieper sectors in which the enemy had already succeeded in gaining a
-
-footing on the southern bank;
-
-(iv) the northern wing of Fourth Panzer Army north of Kiev.
-
-Although the Zaporozhye bridgehead was able to beat off strong Soviet attacks at the beginning of October (which meant, of course, that 40 Panzer Corps did not become free in
-
-time to eliminate the enemy bridgehead between Dnepropetrovsk and Kremenchug), the enemy paused only to bring up reinforcements before renewing his assault. By laying down a barrage of shellfire bigger than anything we had seen to date (it was here that entire 'divisions' of artillery appeared for the first time) and throwing in no fewer than ten divisions strongly supported by armour, he succeeded in breaking into the bridgehead. After heavy fighting, the latter had to be abandoned. Although we still managed to get the defending troops back over
-
-the river and to blow up both the dam road and the railway bridge which we had finished repairing only a few months before, the divisions which had been fighting in the bridgehead were severely weakened, and it was doubtful whether they would still be fit to defend the river itself. In any case, we had been made to pay far too dearly for Hitler's insistence on
-
-holding the bridgehead.
-
-While it had been possible to bring the enemy to a temporary halt at his point of penetration halfway between Dnepropetrovsk and Kremenchug by calling on the mobile reserves of First Panzer and Eighth Armies, he could not be made to release his hold on the southern bank of the river and was steadily building up his forces there to extend the bridgehead in both breadth and depth. More will be said later on developments in this quarter, which were to have a decisive effect on future operations in the Dnieper bend.
-
-At the same time the enemy was making every possible effort to enlarge the bridgehead he had gained on the left wing of Eighth Army in the Dnieper loop at Pereyaslavl. However, mobile forces from Fourth Panzer and Eighth Armies succeeded in repulsing his attempts to cross the river on a broad front and in destroying what forces had already been put over. The
-
-same fate overtook the Soviet parachute brigades dropped here and south-west of Cherkassy. Thus the enemy in this narrow bridgehead south of Pereyaslavl, which was extremely difficult to break out of, remained to a large extent under our control.
-
-In Fourth Panzer Army's area the enemy succeeded in the course of October in establishing a foothold on the western bank of the Dnieper immediately north of Kiev. He was also able to cross on a broad front opposite the northernmost corps of the army after scoring a success against the right wing of the neighbouring Second Army. At this point a danger emerged which invariably lurks on the boundaries of two different spheres of command. Just as before, the measures whereby the Army Group had intended to iron out the situation on the boundary with its northern neighbour could not be accomplished because Second Army had failed to carry out O.K.H.'s orders to assemble and hand over forces for this purpose. Even after I had lodged a sharply worded protest with O.K.H., it was still unable to get its orders obeyed. Nevertheless, Fourth Panzer Army did manage to hold the ridge some miles west of the Dnieper in the area of the two corps in action north of Kiev. For all that, the situation remained a dangerous one, as we had to expect the enemy to wheel round on Kiev from the north as soon as he had acquired reinforcements.
-
-The most alarming feature of all was that this initial fighting had already led us to commit all the Army Group's mobile formations. Their fighting power was being whittled down just as fast as that of the infantry divisions in the line. This made it increasingly difficult to form fresh mobile reserves and placed us in even more urgent need of reinforcements.
-
-BATTLE OF THE DNIEPER BEND
-
-The Army Group had to continue to regard its northern wing as the more decisive of the two, for if the enemy were to succeed in finally smashing it, he would be at liberty to execute an extensive outflanking movement against both Southern Army Group and Army Group A. In fact, however, he devoted his main efforts in October to attaining a success in the Dnieper bend itself. This, coupled with the fact that Hitler insisted on holding the Crimea for economic and political reasons, compelled the Army Group to accept a decisive battle there.
-
-Throughout October the 'Steppes Front', whose headquarters seemed to be by far the most active on the enemy side, brought more and more forces into the bridgehead south of the Dnieper on the boundary of First Panzer and Eighth Armies. By the end of the month it had more than five armies (one of which was entirely armoured) in there - in all, sixty-one rifle
-
-divisions and seven tank or mechanized corps with an estimated strength of over 900 armoured fighting vehicles. Neither of the German army wings could hold its ground against these odds, and each was compelled to wheel back to the east or west as the case might be. A wide gap opened up between the two armies, leaving the enemy free to drive deep into the Dnieper bend towards Krivoi Rog and Nikopol, the retention of which Hitler considered
-
-essential to the German war effort.
-
-Worst of all, any further advance on the enemy's part was bound to lead to the isolation of First Panzer Army in the eastern part of the Dnieper bend. This last danger was the paramount one in the eyes of the Army Group, which was on no account prepared to let the army become
-
-encircled.
-
-Meanwhile, our persistent calls for reinforcements had at least impelled O.K.H. to provide us with two refitted armoured divisions (14 and 24) and one infantry division. Three more
-
-armoured divisions (1 Panzer and the Leibstandarte, both back from a rest and refit, plus the new 25 Panzer) were also promised to us, though their final allocation and date of arrival were
-
-still unsettled.
-
-How different things might have been if these five armoured formations had been at the Army Group's disposal four weeks earlier, when it reached the Dnieper! Even if this could not have been managed for reasons of refitment, what very different chances the Army Group would have had operationally if it could have counted on these forces well in advance and also enjoyed freedom of movement on its southern wing!
-
-With things as they were, however, we could not even wait until all five armoured divisions had arrived, for by that time the fate of First Panzer Army might already be sealed.
-
-Hence we had to resign ourselves to delivering a counterblow with the forces immediately available, 2 Panzer and 1 Infantry Division. Moving forward under command of 40 Panzer Corps from the area into which Eighth Army's wing had fallen back, these forces were to drive from the west into the flank and rear of the enemy advancing in the direction of Krivoi Rog. First Panzer Army, for its own part, had to throw in all its available infantry and armour in order to keep its vital communications through Krivoi Rog open. To enable it to do so, the
-
-Army Group had ordered it to leave only safety screens out along the Dnieper in the area where 30 Corps was holding the river on both sides of Dnepropetrovsk. The main bulk of the corps' forces were to be taken back on to a shortened front running from the north of Zaporozhye to north of Krivoi Rog in order to release formations for action at the decisive spot. Hitler had to put up with this surrender of part of the Dnieper bank whether he liked it or
-
-not.
-
-Thanks to the exemplary manner in which the two armies cooperated (40 Panzer Corps went over to First Panzer Army in the course of the operation), the counterblow delivered at the end of October north of Krivoi Rog - which already had the enemy at its gates - ended in a neat
-
-success. The enemy, instead of cutting off First Panzer Army in the eastern part of the Dnieper bend, as he had intended, suffered a severe setback. According to reports received from the armies, some 10,000 enemy were killed, apart from which 350 tanks, more than the same number of guns and 5,000 prisoners fell into our hands. These figures, when compared with earlier records of captured booty and personnel, showed the extraordinary increase in the
-
-material equipment of the Red Army in relation to its manpower. At all events, it could be presumed that two or three tank or mechanized corps and eight rifle divisions had received a severe beating and that several more were badly mauled. Furthermore, it had been possible to re-establish a continuous front between First Panzer and Eighth Army.
-
-With the odds still as much against us as ever, however, our forces had not been sufficient to throw the enemy back on to the northern bank of the Dnieper. This was something which would have to wait until the arrival of the three armoured divisions which we had been promised - always assuming that no fresh emergencies arose elsewhere in the meantime. But that was exactly what did happen, almost at once.
-
-While the immediate threat to First Panzer Army was now removed, a new and perhaps even more dangerous one emerged in the rear of it. On 28th October a far superior enemy force had attacked Sixth Army, which was holding the front between the Dnieper and the coast of the Sea of Azov in the area of Army Group A. The depth of penetration was considerable, and Sixth Army - with an alacrity which surprised us - was thereupon withdrawn westwards. In
-
-the process its northern wing (4 and 29 Corps) wheeled back into an extended bridgehead south of the Dnieper, which meant that the rear of First Panzer Army and also the Nikopol area were at least covered for the time being. The rest of the army withdrew further to the west in the direction of the Dnieper crossing of Berislav and the lower reaches of the river -though in fact the Nogaisk Steppes offered no basis whatever for quickly forming a new front.
-
-This development in Sixth Army's area constituted a serious threat to First Panzer Army in the eastern part of the Dnieper bend, for although it had temporarily been possible to stabilize the latter's position by 40 Panzer Corps' counterblow against the Soviet forces thrusting at Krivoi Rog, the enemy had by no means suffered a decisive defeat. The main blow planned by the Army Group could not be delivered here before mid-November, as that was the earliest we could expect the three extra armoured divisions to arrive. By that time Sixth Army's southern wing would probably have been flung behind the Lower Dnieper, Seventeenth Army would be cut off in the Crimea, and the enemy would be able to move against the rear of First Panzer
-
-Army from the south, coming over the Dnieper on either side of Nikopol. The position of First Panzer Army, which was even now confined to a narrow, hose-shaped area reaching as far east as Zaporozhye with its front facing north and east, would then become more than precarious. If this development could not be prevented, there would be nothing for it but to pull First Panzer Army out to the west from the eastern part of the Dnieper bend. This would have meant more or less abandoning the latter area — in any case losing Nikopol with its stocks of manganese ore and leaving the Crimea to its fate.
-
-To forestall any such development, and in particular to obviate any threat to the rear of First Panzer Army, I suggested the following operational expedient to O.K.H. :
-
-Immediately on disengaging from the battle north of Krivoi Rog, 40 Panzer Corps should launch a surprise attack with two - if possible three - armoured divisions from the bridgehead still held by Sixth Army south of Nikopol, driving into the flank of the enemy forces which were pursuing Sixth Army through the Nogaisk Steppes towards the Lower Dnieper. The purpose of this thrust would be to enable Sixth Army to form a front forward of the Dnieper and to maintain contact with Seventeenth Army in the Crimea. At the same time the threat to
-
-
-
-
-
-First Panzer Army's rear would be eliminated.
-
-By 12th November at the latest the corps should again be available north of the Dnieper to take part in the projected stroke in the area of First Panzer Army, together with the three extra armoured divisions now due to arrive. Should this meet with the decisive success for which we hoped, it might even be possible to effect a further intervention in Sixth Army's area with a view to recapturing the Melitopol-Dnieper front.
-
-This proposal naturally received enthusiastic approval from Hitler, presenting him as it did with the prospect of keeping Nikopol and the Crimea.
-
-Nonetheless, it never came to fruition, as Sixth Army's withdrawal behind the Lower Dnieper proceeded so fast that a sally by 40 Panzer Corps from the Nikopol bridgehead had no further
-
-hope of success. After that, events on the northern wing of the Army Group ruled out any possibility of using the three armoured divisions still on their way to us in the Dnieper bend.
-
-It would have been pointless to mention this plan here at all had it not contained one all-important lesson - that even when forced to resort to operational expedients, one should never
-
-for a moment disregard the fundamental idea on which one's own conduct of operations is
-
-based.
-
-The Army Group had continually emphasized the decisive significance of its northern wing, where the enemy could be expected to launch another major attack in the near future. It would
-
-thus have been in line with our general conception of things to take steps to prevent any enemy success at this spot. To that end we should have had to take 40 Panzer Corps out of the Dnieper bend after its successful stroke at Krivoi Rog and put it behind the northern wing of the Army Group, where arrangements would also have had to be made to commit the three
-
-extra armoured divisions still moving up.
-
-In view of the trend in Sixth Army's area, however, this would inevitably have meant withdrawing First Panzer Army out of the eastern part of the Dnieper bend, which would in turn have necessitated the abandonment of Nikopol and the evacuation of the Crimea.
-
-It is quite certain that Hitler, who had let the Army Group have all five armoured divisions for the express purpose of restoring the situation in the Dnieper bend, would never have agreed to such a scheme of operations. He would have continued to insist that an attempt be made to hold the Dnieper bend and the Crimea. This does not alter the fact that the Army Group still ought to have acted in the way indicated above.
-
-The proposal made by me, though justified in regard to the threat to First Panzer Army, was nevertheless a mistake as far as the Army Group's operations as a whole were concerned. As a result, 40 Panzer Corps was left pinned down in the Dnieper bend.
-
-There were two reasons why I thus acted against my own basic conception of the way the operations should be conducted. One was the hope that while in possession of the Dnieper line on each side of Nikopol we could deal the enemy surprise blows in quick succession on both banks of the river and, if successful, restore the position on the southern wing. The other reason was that if we did not venture this operation, we should have no choice but to give up the Crimea - a particularly painful prospect for those of us who had once conducted Eleventh Army's bitter struggle for the peninsula. It would still have been more correct, however, not to disregard the principle that the Army Group's northern wing was operationally the more
-
-important.
-
-THE BATTLE FOR KIEV
-
-At the beginning of November the enemy again attacked the northern wing of the Army Group, Fourth Panzer Army's Dnieper front, with strong forces. It was not clear whether this was an offensive with far-reaching aims or whether the enemy first intended to win the necessary assembly space west of the river. It soon became evident that the formations of Fourth Panzer Army would be unable to hold the Dnieper against the far stronger Russians, and by 5th November it could be seen that Kiev would be lost.
-
-The Army Group concluded from this that it would now be necessary to fling all the forces that could be made available in its area, especially the three armoured divisions still on their way up, on to its northern wing. Since Hitler had released these divisions expressly for use in the Lower Dnieper area, the agreement of O.K.H. had to be obtained. If the latter could not supply Fourth Panzer Army with further strong forces, there would be no alternative but to
-
-give up the Dnieper bend. As no decision was forthcoming on this fundamental question, I flew to General Headquarters on 7th November.
-
-At the meeting Hitler declared that he was not prepared to let slip 'this first unique opportunity' offered by the Army Group's proposal to take a hand in Sixth Army's area for the sake of preserving the Crimea. No success we might score at Kiev, he said, could be so effective that the armour up there would become free in time to help the southern wing. Neither the Crimea nor the defences on the Lower Dnieper would hold out as long as that.
-
-To this I replied that by adhering to the plan for operations in the Dnieper bend and Sixth Army's area we should be running far too great a risk on our northern wing, which would in
-
-turn affect the entire position of Southern Army Group and Army Group A. Much as I disliked forgoing the stroke south of the Lower Dnieper, it was now absolutely essential that we intervene at Kiev with all three of the armoured divisions now arriving.
-
-Hitler retorted that there were both military and political reasons why we must achieve the success now offered to us in the area of the Lower Dnieper. For one thing, the army must be made conscious that it was still capable of striking successful blows. For another, it was vitally necessary to our war economy that we retain the manganese deposits of Nikopol. Furthermore, the enemy must not be allowed to regain the Crimea as a basis for aerial warfare
-
-against the Rumanian oilfields.
-
-While thoroughly appreciating Hitler's motives, I insisted that the risk on our northern wing was now becoming too great. If things went wrong with Fourth Panzer Army, the fate of Southern Army Group and Army Group A would be sealed sooner or later.
-
-Hitler admitted the magnitude of the risk, but declared that it was one which must be accepted in our present situation and that he was prepared to shoulder the responsibility.
-
-I did succeed, nevertheless, in getting him to agree to send our northern wing the so-often-promised 4 Panzer Division of Second Army (incidentally, it did not come this time either), the 'Nordland' SS Brigade and - at a later date - 2 Parachute Division. In due course,
-
-moreover, he even reconciled himself to seeing not merely one of the three new armoured divisions (25 Panzer) used with Fourth Panzer Army instead of in the Dnieper bend, but the
-
-two others as well (1 Panzer and the Leibstandarte). On the other hand, the two armoured
-
-divisions of 40 Panzer Corps (14 and 24) had to remain with First Panzer Army, where the door was still to be left open for a blow in Sixth Army's area later on. In any case, they could not have been taken away as long as Hitler was not ready to withdraw First Panzer Army to the west from its perilous position in the Dnieper bend, thereby renouncing Nikopol and the
-
-Crimea.
-
-In the next few days the situation of Fourth Panzer Army took a rapid turn for the worse. Its eleven infantry divisions, almost all of which were now down to regimental strength, were no
-
-longer a match for an opponent who had committed between seventeen and twenty fully manned rifle divisions, three or four tank corps and one cavalry corps in the very first wave of his offensive. Even the two armoured divisions at the army's disposal as a mobile reserve were too weak to stop the enemy's breakthroughs.
-
-After heavy fighting, Kiev had to be evacuated in order that 7 Corps should not be surrounded in the city. The latter was thrown back to the south, and could only halt the enemy advance
-
-some 30 miles away. On the western wing of 7 Corps, almost 40 miles south-west of Kiev, the railway junction of Fastov, so essential for detraining reinforcements and supplying
-
-Eighth Army, fell to the Russians.
-
-Both corps on the Dnieper north of Kiev were thrown back to the west- 13 Corps to Zhitomir
-
-and 49 Corps to Korosten. Each of these junctions, both of which were important for communication with Central Army Group and supplies to Fourth Panzer Army, was reached
-
-by the enemy.
-
-Fourth Panzer Army was now torn into three widely separated groups. The only ray of hope in
-
-this gloomy situation consisted in the fact that the enemy's assault was also split in two different directions - one south and the other west. The Soviet elements advancing westwards would be of no direct consequence as long as they were unable to swing south and perform a large-scale outflanking movement round the Army Group. To prevent them from doing so until the reinforcements brought up by the Army Group could intervene was the job of the two corps which had been pushed back to the west.
-
-Yet we were to pass through some critical days before the Army Group's counter-measures could take effect from mid-November onwards. These were to consist in a counterblow by the
-
-three fresh armoured divisions (25, 1 and the Leibstandarte under command of 48 Panzer Corps, which had been specially released for this purpose by the Army Group) against enemy armour advancing in a south-westerly direction from Kiev. At the moment this was the most menacing enemy force in operation. Afterwards the panzer corps was to wheel west and smash the enemy pursuing 13 Corps towards Zhitomir.
-
-After a success in this quarter it might yet be possible to drive into the rear of the enemy attacking southwards along the Dnieper. In order to reinforce Fourth Panzer Army still further, the Army Group moved over two extra armoured divisions (3 and 10), two panzer grenadier divisions (20 and the SS 'Reich' Division) and 198 Infantry Division from Eighth Army. Admittedly this unduly weakened Eighth Army's front, but the Army Group had no choice but to thin out temporarily less important stretches of front in favour of the decisive
-
-spot of the moment.
-
-Unfortunately, as 48 Panzer Corps could not be assembled before mid-November and the
-
-situation south-west of Kiev was becoming progressively more grave, the Army Group unexpectedly had to release the first available armoured division, 25 Panzer, for a limited attack at Fastov aimed at keeping the Panzer Corps' assembly area free. Once again we saw what price a newly drafted division had to pay for its initiation into war conditions in the east. In addition, the divisional commander, who had hastened on in front with his reconnaissance battalion, was put out of action the moment it made contact with the enemy. Instead of leading to the recapture of the Fastov junction, therefore, this undertaking caused a psychological setback to troops who were fighting their first action in the east. Nonetheless, by actually making the attack and committing the forces brought over from Eighth Army, it was possible to halt the enemy on the front south of Kiev and to prevent the Dnieper front
-
-from being outflanked any further.
-
-On 15th November 48 Panzer Corps was able to deliver the projected counterblow. The first aim was reached with the defeat of the enemy tank corps advancing south-westwards from Kiev. Thereupon the pressure on 13 Corps was relieved by a swing to the west, and Zhitomir was duly retaken. However, the Panzer Corps' ultimate thrust eastwards along the big
-
-Zhitomir-Kiev road into the rear of the Soviet front south of Kiev came to grief in the mud. But even though this meant that the enemy could not be cleared from the western bank of the
-
-Dnieper, it had still been possible initially to overcome Fourth Panzer Army's crisis by the beginning of December. The army now held a front running northwards from a point 25 miles south of Kiev to the area north of Zhitomir. 49 Corps, still in its isolated position around Korosten, had been able to recapture the town and thereby to clear the railway link with Central Army Group. According to Fourth Panzer Army, the enemy's losses in dead amounted to some 20,000 men. The fact that only 5,000 prisoners had been taken, as against the 600 tanks, 300 field-guns and over 1,200 anti-tank guns reported to have been either captured or destroyed, once again showed the steady rise in the Red Army's scale of equipment.
-
-[Obviously these returns were always open to duplication. But even when due allowance has been made for this, they still give a representative picture. Author.]
-
-Of all the Soviet forces encountered on the Kiev front, two-thirds of the infantry divisions, as well as four tank, one mechanized and one cavalry corps, could be regarded as seriously
-
-weakened.
-
-Unfortunately the initially rapid retirement of Fourth Panzer Army's corps to the south and west had given Hitler the idea that the command of the army must be placed in other hands. Although I insisted that the loss of the Dnieper front had been due to the superior strength of the enemy and the run-down state of our own divisions rather than to errors in the leadership of the army, Hitler took the view that Colonel-General Hoth needed a rest after the excessive strain of the last few years, and he was accordingly transferred to the Reserve of Officers. I deeply regretted his removal, but at least obtained an assurance that he would be given an army in the west after he had had some leave. Hoth was succeeded by a former Austrian officer, General Rauss, who had made his name in the Army Group as commander of 6
-
-Panzer Division and later of 11 Corps.
-
-THE SECOND BATTLE OF THE DNIEPER BEND
-
-While the fighting was still in progress on Fourth Panzer Army's front, the enemy had already recovered in mid-November from his setback at Krivoi Rog. With the help of fresh forces, he had launched another major attack in the Dnieper bend against the northern front of First Panzer Army and the adjacent right wing (on a front facing east) of Eighth Army. On First Panzer Army's eastern front he also tried to cross the river south of Zaporozhye and attacked Eighth Army's Dnieper front on both sides of Cherkassy. Later he extended his offensive still further by an attack from the south on the bridgehead of Nikopol. (The corps of Sixth Army in here had been placed under command of First Panzer Army.) The enemy's obvious intention now was finally to encircle First Panzer Army in the east of the Dnieper bend and to destroy it
-
-there.
-
-This turn of events in the second half of November impelled the Army Group to approach O.K.H. regarding the further conduct of operations.
-
-A memorandum we submitted on 10th November was based on the premise that in spite of his present mass engagement of troops on the Army Group front, the enemy still had powerful strategic reserves at his disposal. According to available intelligence, we pointed out, forty-four rifle divisions and a large number of armoured brigades set up by the Soviets in 1943 had still not been committed to battle. In addition, it could be assumed that thirty-three rifle
-
-divisions and eleven tank or mechanized corps were now being rested and refitted behind the
-
-enemy front. Hence the enemy must be expected to go on with his offensive against the southern wing of the Eastern Front throughout the winter, exerting his main pressure on the northern wing of Southern Army Group. Even if our current counterstroke in Fourth Panzer
-
-Army's sector should turn out favourably, the enemy would still be able to maintain an adequate assembly area west of the Dnieper from which to resume his offensive later on. For this reason there could be no question of releasing forces from the Army Group's operationally decisive northern wing for a supporting action in the Dnieper bend.
-
-Should it nevertheless be possible, we said, to ward off the enemy offensive now in full swing in the latter area and simultaneously to stabilize the situation in Fourth Panzer Army's sector, things would still develop on the following lines.
-
-The Army Group would have to get through the winter holding a front which far exceeded the resources of its almost completely exhausted divisions. It would not have enough reserves to take effective action against any major enemy attacks, particularly if called upon to do so at
-
-several places at once.
-
-Operationally, therefore, the Army Group would remain completely at the enemy's mercy- a
-
-particularly dangerous state of affairs in view of the reduced fighting power of its own formations. No battle fought on this basis would have the effect of decisively diminishing the enemy's offensive capacity. The fact that the Soviets would continuously be in a position to dictate our actions to us, while we ourselves were unable to form reserves in time to ward off or anticipate his blows, would cause us excessive losses not only of ground but also of
-
-weapons and manpower.
-
-The prior condition for successfully prosecuting this struggle, we insisted, was a sufficiency of
-
-hard-hitting reserves. If these could not be transferred from other theatres, they must be created by radically shortening the front on the German southern wing (including a seaborne withdrawal of Seventeenth Army from the Crimea). The Army Group could not last the
-
-winter if it had to fight without reserves.
-
-Up to the end of November the situation on the southern wing of the Eastern Front developed
-
-as follows.
-
-South of the Lower Dnieper (Army Group A), Sixth Army's right wing had vanished behind the lower arm of the river, leaving only a narrow bridgehead at Kherson. Seventeenth Army was cut off in the Crimea and barring the approaches to the peninsula.
-
-On the other hand, it had proved possible to maintain the bridge-head forward of Nikopol in
-
-its entire breadth, despite the fact that Fourth Ukrainian Front, the responsible Soviet formation in the south, had committed its main forces - eighteen divisions and strong armour -
-
-to the attack here.
-
-For the time being the enemy had called a halt in front of the lower arm of the Dnieper and
-
-the Crimean approaches.
-
-In the Dnieper bend he had been able to cross the river on a narrow front south of Zaporozhye
-
-and to form a small bridgehead. Otherwise First Panzer Army's defensive tactics had been entirely successful, for although it had been pushed back slightly in some places as a result of
-
-the enemy's unremitting attacks, the latter had nowhere forced a breakthrough. Nonetheless, the fighting had compelled the army to commit its last reserves. At the end of November it was holding a continuous front which ran from north of Zaporozhye to north-west of Krivoi Rog, where it bent round to the north to join up with Eighth Army.
-
-Eighth Army's own position had become very ticklish- partly, of course, because of the loss of
-
-the one infantry and four mobile divisions which it had had to hand over to Fourth Panzer Army to cope with the situation at Kiev at the beginning of November. The enemy had been able to extend his firm base south of the Dnieper in the Kremenchug sector so far upstream that he now had control of the Kremenchug crossing point. South-west of the town, moreover, he had punched a hole - however narrow it might be at the moment - in the army front facing
-
-east.
-
-On Eighth Army's northern front on the Dnieper the enemy had made a successful crossing on both sides of Cherkassy. Not having any reserves left, the army had been forced to abandon some 60 miles of river bank and to set up a new - though extremely thin - defensive front behind a marshy water-course which ran parallel to the Dnieper about 30 miles south of it.
-
-Although the Army Group had let Eighth Army have two mobile formations from both First and Fourth Panzer Armies as soon as their positions permitted it to do so, it was doubtful
-
-whether Eighth Army could close the gap in its eastern front and regain control of the situation at Cherkassy. This gives some idea of the extent to which the Army Group had to rush its armoured formations to and fro. Each attempt to restore the situation at one point by the use of mobile divisions inevitably provoked a crisis in the army area from which they had
-
-come.
-
-By the end of November, at all events, the line of the Dnieper from north of Zaporozhye to west of Cherkassy, and also from south of Kiev right up into Central Army Group's sector,
-
-was in enemy hands.
-
-On Southern Army Group's northern wing, in the area of Fourth Panzer Army, the tension had temporarily relaxed after 48 Panzer Corps' successful counterstroke. Yet there could be no doubt whatever that the enemy was going to assemble fresh forces here and then deliver the
-
-decisive thrust into the deep flank of the Army Group. Despite this, the urgent need to continue the struggle for the Dnieper bend had made it imperative to return the two aforementioned mobile formations to Eighth Army.
-
-At the beginning of December, Fourth Panzer Army still had its right wing on the Dnieper, where its 24 Panzer Corps was in contact with the left wing of Eighth Army upstream from
-
-the Kanev crossing.
-
-[At that time our panzer corps were by no means entirely made up of armoured divisions. They consisted of a panzer corps headquarters with either infantry or armoured divisions under command, according to the prevailing situation. Author.]
-
-Some 30 miles south of Kiev the front swung sharply away from the river to the west and described a continuous line (48 and 7 Panzer Corps and 13 Corps) as far as the region north of Zhitomir. Some distance away, with a front facing east, was 59 Corps around Korosten.
-
-A BATTLE ALL ALONG THE LINE
-
-The Soviet attempts to force an issue in the Dnieper bend continued throughout December. Except for occasional pauses to substitute fresh formations for those which had grown battle-weary or to throw additional forces into the struggle, the enemy subjected this eastern bastion
-
-of ours to an unending succession of assaults which unquestionably caused him extremely
-
-heavy casualties.
-
-In the actual bend of the river, 3 Ukrainian Front repeatedly attacked the northern front of First Panzer Army (30 Corps and 57 Panzer Corps), but in spite of its immense preponderance of numbers it did not achieve any success worth mentioning.
-
-Simultaneously 2 Ukrainian Front (hitherto known as the 'Steppes Front') put in no fewer than six rifle armies and one tank army in order to over-run the left wing of First Panzer Army and the Eighth Army front facing east. The enemy clearly intended, by employing a massive concentration of armour, to break through to the south-west in the area north-west of Krivoi Rog, on the boundary between the two German armies. Having once achieved this, he would be able to encircle First Panzer Army in the east of the Dnieper bend by driving on towards the lower arm of the river. A second area on which this offensive appeared to be focused was the northern part of Eighth Army's eastern front south of the Dnieper. The enemy's aim here was pre- sumably to bring about the encirclement of Eighth Army in conjunction with a sudden push from the bridgehead he had won at Cherkassy.
-
-At the same time three armies of 4 Ukrainian Front attacked the Nikopol bridgehead - which automatically included the rear of First Panzer Army - from the south.
-
-While these attacks were beaten off, the overwhelming superiority of 2 Ukrainian Front's attack on the left wing of First Panzer Army inevitably brought the enemy certain successes against Eighth Army. On two occasions he succeeded in breaking through in considerable depth at the two main points of effort mentioned above. As a result, our front had to fall back gradually between Krivoi Rog (which could still be held) and the Dnieper.
-
-In both cases the Army Group was able- though only by seriously weakening sectors which were temporarily less threatened - to assemble a panzer corps of several divisions at the spot in question and, by counter-attacking the enemy breakthrough, to prevent it from affecting the operations as a whole. Yet it was unavoidable in this heavy fighting that the German formations should show increasing signs of battle fatigue. The infantry divisions were no longer getting a moment's respite, and the armoured forces had to be rushed like firefighters from one sector of the front to the next. While the enemy's own losses in killed and wounded were undoubtedly many times greater than our own, he was still able to replace them. On the other hand, none of the Army Group's attempts to convince the Supreme Command that it was
-
-operationally incorrect to use our forces in the Dnieper bend produced any real results. O.K.H. could not find the necessary replacements of personnel and materiel to compensate for the loss of fighting power, and Hitler refused to agree to a timely surrender of this bastion for the purpose of extracting forces to use on the operationally far more important northern wing. All our warnings that the present successes in defending the Dnieper bend could not remove the danger of First Panzer Army's ultimate encirclement, as long as the enemy continued to bring up reinforcements, fell on deaf ears. So did our attempts to point out the urgency of forming reserves in the south by shortening the front. On the contrary, we had ultimately had
-
-no choice — as I have already mentioned - but to throw two divisions into the Dnieper bend from the Army Group's northern wing, where they would have been far more usefully placed.
-
-It needed a desperate crisis on this northern wing before Hitler would face up - and even then most reluctantly - to these operational necessities.
-
-The reason which he continued to give for hanging on to the Dnieper bend was the importance of Nikopol and the Crimea to our war effort. Even now he had not relinquished the hope that once the enemy attacks in the Dnieper bend had been beaten off it would be possible to strike another blow southwards to free the Crimea. What also influenced him here
-
-was doubtless the belief that the enemy would finally bleed to death so long as he (Hitler) insisted on holding every foot of ground just as he had done outside Moscow in 1941. Every time a shortening of the front was advocated, moreover, he repeatedly fell back on the quite irrefutable argument that this would release enemy formations as well. What Hitler chose to overlook was that although an attacker may bleed to death before an adequately defended front, any -attempt to hold one which can at best be manned on the scale of a safety screen will merely cause the meagre defending forces to be expended at an excessive rate. Assuming, that is, that the enemy does not simply over-run them.
-
-On the northern wing of the Army Group, admittedly, the strokes delivered by Fourth Panzer Army's 48 Panzer Corps had created a breathing space, but there could not be the slightest doubt that the enemy would resume the offensive there as soon as he had made good his losses. Fourth Panzer Army's task must be to postpone that moment as long as possible by continuing to weaken its opponent. Furthermore, as the main forces of the army were now disposed along a front facing north between the Dnieper and the region north of Zhitomir, there was as much danger as ever that the enemy would try to outflank its western wing-a manoeuvre which 59 Corps, isolated around Korosten, was in no position to prevent.
-
-As Fourth Panzer Army's forces were in any case insufficient to dislodge the enemy completely from the western bank of the Dnieper by an attack towards Kiev, the Army Group felt it must at least try to create a margin of safety for the army's western wing. The longer it was possible to retain the initiative regained there by 48 Panzer Corps, the better it would be.
-
-Fourth Panzer Army was accordingly directed to exploit the situation on the now open western wing in the Zhitomir-Korosten area with a view to launching further offensive blows against limited objectives. On Army Group instructions, 48 Panzer Corps was taken out of the front facing north and, by the use of extensive camouflage and deception tactics, moved by
-
-night into the open western flank of the enemy's Sixtieth Army north of Zhitomir. In the surprise attack that followed, the latter was rolled up from the west. Immediately afterwards the corps struck another blow at an enemy force in the process of grouping south-east of Korosten, in the course of which at least three mechanized corps were badly mauled.
-
-Eventually, then, it was possible not only to smash parts of the new offensive group before it could finish forming west of the Dnieper but also to re-establish a certain degree of control over the area opposite Fourth Panzer Army's left wing.
-
-This did not alter the fact that another serious storm was brewing on the same wing of the Army Group. It broke loose on 24th December.
-
-I received the first reports of the start of an enemy attack on both sides of the Kiev-Zhitomir
-
-road while I was visiting 20 Panzer Grenadier Division, which was in reserve behind the threatened front. I was there to attend the Christmas celebrations of its regiments. At first the news did not sound any too serious, the only area where things looked at all precarious being that of 25 Panzer Division south of the road. However, the evening situation reports which I saw on arriving back at our headquarters in Vinnitsa indicated that the enemy was attempting
-
-a large-scale breakthrough towards Zhitomir.
-
-In the next few days the following intelligence picture emerged :
-
-1 Ukrainian Front in the Kiev sector had concentrated very powerful forces west of the town for a broad breakthrough along and south of the Zhitomir road. In this main assault group were Thirty-Eighth, First Guards and First Tank Armies, initially embracing over eighteen
-
-rifle divisions and six tank or mechanized corps. Within the next few days Eighteenth Army
-
-was also identified.
-
-This main attack was extended southwards by Fortieth Army south of Fastov.
-
-On the northern wing of the assault front the recently beaten Sixtieth Army, since brought up to strength, and further north Thirteenth Army, were advancing on Korosten with at least fourteen rifle divisions and one cavalry corps under command. While some of these forces had been severely weakened in the afore-mentioned attack by our 48 Panzer Corps, Third
-
-Guards Tank Army, with a strength of no less than six tank or mechanized corps, appeared to
-
-be busy assembling behind them. Admittedly three or four of these corps, too, had been badly hit in the recent fighting, but the hydra lost no time in sprouting new heads. Anyway, this concentration of mobile formations implied that the enemy intended to supplement the
-
-breakthrough towards Zhitomir with a far-flung outflanking movement by way of Korosten.
-
-It is true that 48 Panzer Corps, consisting of two hard-hitting armoured divisions, 168 Infantry Division and 18 Artillery Division (newly formed in the Army Group area), was being held in readiness around Zhitomir, behind the most badly threatened sector of front (now commanded by 42 Corps). It was open to doubt, however, whether these forces would suffice to halt a thrust by an enemy so many times stronger than themselves. And even if they should do so, there would still not be enough forces to meet the threat of an enemy thrust through Korosten, followed by an envelopment of the Army Group's northern wing.
-
-On 25th December, therefore, the Army Group sent O.K.H. a teleprinter message outlining
-
-our own position in relation to the enemy's and pointing out what inferences were to be drawn. With the forces it had at present, we reported, Fourth Panzer Army could not stop the enemy offensive, which meant that it could not fulfil its task of covering the deep flank of Southern Army Group and Army Group A. Consequently the army must be radically reinforced. If O.K.H. had no more forces for this purpose, the Army Group would be compelled to detach at least five or six divisions from its right wing. In that event the latter obviously could not remain its present position in the Dnieper bend, and we must accordingly
-
-request that it be granted freedom of action.
-
-At the same time Fourth Panzer Army was directed in the first instance to use all its available
-
-forces to stop the main Soviet assault group from breaking through towards Zhitomir in 42 Corps' sector. Its northern wing (13 and 59 Corps), the army was told, must engage the enemy in such a way that he was prevented from turning down on Zhitomir. 17 Panzer Division,
-
-already released from Sixth Army (which had temporarily reverted to the Army Group's command) on the Lower Dnieper, was moved over to Fourth Panzer Army.
-
-In reply to a further inquiry from O.K.H. which— doubtless at the instance of Hitler — was again directed at obtaining a compromise solution in the Dnieper bend, the Army Group reported that 'the time for attempting to master the situation on the Army Group's northern wing by such isolated measures as the transfer of single divisions is now past' !
-
-To judge from the size of the force which the enemy had committed up there, we said, not even a temporary stoppage of his offensive could make any difference now, particularly as he would certainly be throwing further elements of his winter reserves into the battle. In fact the position was such that developments in the area Korosten — Zhitomir — Berdichev—Vinnitsa-south of Kiev in the next few weeks would decide whether or not the southern wing of the German armies in the east would be cut off and forced away to the south-west.
-
-It was imperative that energetic measures be taken to counteract this danger. The situation was similar to that in which the Army Group had found itself during the winter of 1942-3, when the only possible means of repairing the front had been to leap-frog First and Fourth Panzer Armies from the right to the left wing. What must be done now was to release First Panzer Army from the Dnieper bend and shift it over towards Berdichev with at least five or six divisions. This could only be achieved by giving up the eastern part of the Dnieper bend and taking the front there back into prepared positions on a line running from the knee of the
-
-Dnieper west of Nikopol to Krivoi Rog.
-
-By shortening the front in this way, we explained, we should be saving twelve divisions. Six of them, as already stated, were to be sent to First Panzer Army on the Army Group's northern wing. The remainder were to be left to Sixth Army — which was to take over what had hitherto been First Panzer Army's sector - for the purpose of establishing a defence on the
-
-Lower Dnieper.
-
-The forces to be thrown over to the northern wing of the Army Group were as far as possible to be directed from the east against the enemy spearhead breaking through to Zhitomir.
-
-In addition, O.K.H. would have to send further forces to the northern wing of the Army Group to intercept the enemy outflanking movement which threatened there. Later, if possible, these forces would be used from the west to supplement First Panzer Army's attack on the main
-
-assault group.
-
-We also pointed out that while the present situation in the Dnieper bend, where the enemy's attacks had temporarily slackened off, would permit this regrouping to take place without any great risk, the proposed withdrawal of the front was liable to prove difficult if we waited until
-
-the enemy was again ready to attack there.
-
-In view of the above, as well as of Fourth Panzer Army's own position, we concluded, it was essential that the Supreme Command make a quick decision.
-
-When, despite promptings from us, there was still no decision on this proposal by 28th December but merely the promise of one or two divisions for Fourth Panzer Army, the Army Group issued the appropriate orders on 29th December. H.Q. First Panzer Army was to hand over its present sector to Sixth Army by 1st January and, by 3rd January at the latest, to take
-
-over Fourth Panzer Army's (i.e. 24 Panzer and 7 Corps') front running from the Dnieper to a point some 27 miles south-east of Berdichev. Behind the left wing of this front 3 Panzer Corps was to assemble with four divisions drawn from the Dnieper bend or Sixth Army- 6 and 17 Panzer Divisions, 16 Panzer Grenadier Division and 101 Light (Jager) Division. Other divisions would follow. One reason why this switch of First Panzer Army was not initiated on an even larger scale was the limited availability of transport. Another, however, was that the Army Group could not order the evacuation of the eastern part of the Dnieper bend without Hitler's consent, as it was bound to have direct repercussions on the position of Army Group A. Even at army group level, unfortunately, the possibility of taking decisions independently of the Supreme Command ends where the power to co-ordinate operations between the army
-
-groups begins.
-
-To the stretch of front remaining to Fourth Panzer Army were to come the forces put at its disposal by O.K.H. (H.Q. 46 Corps, with 16 Panzer Division, 1 Infantry Division and 4
-
-Mountain Division under command).
-
-It remained doubtful, however, whether these would suffice for the two counterblows planned against the flanks of the main enemy assault group driving towards the south-west. The first thing, in any case, was to bring the enemy to a standstill.
-
-On 30th December the Army Group reported the steps it had taken to O.K.H., and the following day Hitler belatedly gave his consent. On the other hand, he continued to evade the urgently needed decision to give up the eastern part of the Dnieper bend and with it the
-
-bridgehead of Nikopol.
-
-While the transfer of forces ordered by the Army Group was being set in motion, the situation in Fourth Panzer Army's sector became increasingly ominous by 31st December.
-
-The main enemy assault group had achieved a wide breakthrough to the south-west in the direction of Vinnitsa. Although the army's front south of Kiev (24 Panzer and 7 Corps) was
-
-still holding, it had had to bend back its western wing considerably. Beyond it, in the area where 3 Panzer Corps was supposed to assemble, there was a gaping void 50 miles wide. Not
-
-until a point less than 30 miles south-east of Berdichev did another thin front belonging to
-
-Fourth Panzer Army begin, and even this, running hard east of the road from Berdichev to Zhitomir, petered out again north of the latter. Fighting around Zhitomir, with a front facing
-
-north and east, was 13 Corps. Between it and 59 Corps, which had been pushed back to the west of Korosten, yawned another 50-mile gap in which, some distance to the rear, 26 Panzer
-
-Corps was to concentrate.
-
-Fortunately, the opposing forces were temporarily engaged against the disconnected groups of Fourth Panzer Army described above. As for the broad gaps between them, the enemy had so far not fully exploited - or else entirely failed to appreciate - the chances they offered his mobile elements of driving straight through to the Army Group's rear areas or else of
-
-surrounding Fourth Panzer Army.
-
-At the beginning of January the position of the Army Group as a whole grew progressively
-
-worse.
-
-In the Dnieper bend (and this also applied to the Nikopol bridge-head), a fresh offensive was being prepared against Sixth and Eighth Armies. Should it break loose before the eastern part
-
-of the river-bend had been relinquished in accordance with the Army Group's demand, the situation of this wing could become extremely grave. Worst of all, it would no longer be possible to disengage the armoured divisions which were to follow H.Q.. First Panzer Army
-
-to the northern wing as a second wave and whose release had already been ordered by the Army Group. A major enemy attack did in fact materialize east of Kirovograd on 3rd January, and the two divisions there were stuck for the time being.
-
-All this time it was becoming increasingly urgent that the northern wing should be supplied with further forces, the enemy having meanwhile recognized the big opportunity offered to him by the gaps torn in Fourth Panzer Army's front.
-
-In what was now the area of First Panzer Army, the headquarters of which had assumed command in the sector south and south-west of Kiev with effect from 3rd January, the enemy pushed southwards to a point some 30 miles north of Uman. Here he was provisionally halted by the arrival of 3 Panzer Corps' forward elements.
-
-A particularly serious situation had arisen in Fourth Panzer Army. Faced with the danger of having both wings outflanked, it had by 4th January been compelled to fall back on to a front which began less than 40 miles east of Vinnitsa and ran north towards Berdichev (for which a battle was already in progress), finally ending about 40 miles west of the town on the former
-
-Soviet-Polish frontier.
-
-In the broad gap between ourselves and Central Army Group further north, 59 Corps had gone back to the former frontier along and north of the highway from Zhitomir to Rovno.
-
-These developments during the first few days of the month impelled me to fly to Hitler's headquarters on 4th January to try to persuade him once and for all of the need for a radical transposition of forces from the right to the left wing of the Army Group.
-
-I began by describing the new danger threatening us in the Dnieper bend and the exceedingly critical state of affairs in the area of Fourth Panzer Army.
-
-Next I gave a detailed explanation of our plan to take the enemy harassing this Army in his flanks by attacking with First Panzer Army's 3 Panzer Corps from the east and with 26 Panzer Corps, now arriving behind Fourth Panzer Army's northern wing, from the north-west.
-
-[Hitler showed sound judgement on this occasion, for he doubted our ability to strike on both wings of Fourth Panzer Army. Subsequent events proved him right. Author.]
-
-At the same time I warned Hitler that the most these projected counterattacks could do would be to provide a purely temporary relief from the immediate danger which threatened. From a
-
-long-term point of view they offered no solution to the situation on the Army Group's northern wing. If the position here were not cleared up once and for all, the entire southern wing of the Eastern Front would be in mortal peril, and Southern Army Group and Army Group A would ultimately meet their end in Rumania or on the Black Sea.
-
-If the Supreme Command, therefore, did not provide substantial reinforcements, it would no
-
-longer be possible to put off withdrawing the southern wing of the Army Group - which would mean abandoning Nikopol and, ipso facto, the Crimea- for the purpose of extracting
-
-forces for the decisive northern wing.
-
-I ought to point out at this stage that the Army Group regarded a withdrawal from the east of the Dnieper bend as only the first step towards transposing the main effort to the northern wing on a scale consistent with the overall situation.
-
-In order to regroup to that extent, it would be necessary to shorten the front in the south far
-
-more radically.
-
-For this reason the Army Group had already taken the precaution of having a defence line further west reconnoitred and developed - a fact of which Hitler was naturally aware. Taking advantage of favourable stretches of river, this line ran in a more or less northerly or northwesterly direction from the lower reaches of the Bug to the southern extremities of the area in which the battles of the Army Group's northern wing were at present raging. Occupation of this line would roughly halve the length of front being held by Sixth and Eighth Armies, which had now been stretched to 560 miles through the continued retention of the Dnieper bend. By cutting our frontage as drastically as this and saving really substantial forces (coupled with the transfer of Seventeenth Army from the Crimea to the mainland), we should at last be able to shift our main effort to our northern wing. At the same time the southern wing would still be left with enough forces to hold the afore-mentioned line against a far superior opponent. On the other hand, in view of the damage we had done to his railway network, the enemy would scarcely be capable of shifting forces from his own southern wing into the area west of Kiev at the same speed and on the same scale as we could.
-
-The basis for such a sweeping withdrawal of the German southern wing, of course, first had to be created by the evacuation of the Dnieper bend. To have demanded it straight off would have been most inexpedient in view of what we knew Hitler's attitude to be. He just was not the man to recognize the need for a far-sighted operational policy.
-
-On the contrary, Hitler even now categorically refused to evacuate the Dnieper bend or to give up Nikopol, as he contended that the resultant loss of the Crimea would provoke a change of heart in Turkey, as well as in Bulgaria and Rumania.
-
-He went on to declare that he was in no position to let the Army Group have any further forces for its northern wing, as he would at best be able to take these from Northern Army Group, and then only by pulling it back to Lake Peipus. This might lead to the defection of Finland, which would in turn lose us mastery of the Baltic. Thereafter it would no longer be possible to bring ore from Sweden, and our U-boats would be deprived of a vital training area.
-
-As for giving us forces from the west, said Hitler, he could not do this until an enemy landing
-
-had first been beaten off or the British did as he expected and tied themselves down in Portugal. What he must do was to play for time until things clarified in the west and our new formations were ready to go into action. From May onwards, moreover, submarine warfare
-
-would begin to make its effect felt.
-
-There were so many disagreements on the enemy side, Hitler added, that the coalition was bound to fall apart one day. To gain time was therefore a matter of paramount importance. While he took just as grave a view as I did of the threat to my Army Group, he had to accept a
-
-risk here until he had more forces at his disposal. It was quite futile to attempt to refute Hitler's arguments, since he would merely retort - as he could usually do in such cases - that I
-
-lacked an overall perspective. All I could do was to keep referring to the gravity of the situation on our northern wing and to emphasize that the counter-measures being taken by the
-
-Army Group could not possibly offer a final solution to the crisis. It was absolutely imperative that in some way or other a new army be swiftly assembled behind the northern wing of the Army Group, roughly in the region of Rovno, to meet the threat of a large-scale
-
-envelopment by the enemy.
-
-As there could be no point in prolonging this discussion with Hitler in front of the large number of people who attended the daily conference, I asked to see him privately, with only the Chief-of-Staff present. Obviously wondering what I was going to bring up this time, Hitler
-
-reluctantly gave his consent, and the emissaries of O.K.W. and Goring, the various aides, Hitler's historiographer and the two stenographers duly departed. (Normally the stenographers had to take down every word at these daily meetings. Having no maps in front of them, however, they often could not grasp the sense of all that was said.)
-
-I had flown to General Headquarters with the firm intention of raising the question of the top-level military leadership again, in addition to discussing the position of my Army Group.
-
-As soon as everyone but General Zeitzler had left the room, I asked leave to speak quite
-
-openly.
-
-'Please do,' said Hitler. His manner, if not actually icy, was certainly distant.
-
-'One thing we must be clear about, mein Fiihrer,' I began, 'is that the extremely critical situation we are now in cannot be put down to the enemy's superiority alone, great though it is. It is also due to the way in which we are led.'
-
-As I spoke these words, Hitler's expression hardened. He stared at me with a look which made me feel he wished to crush my will to continue. I cannot remember a human gaze ever conveying such will-power. In his otherwise coarse face, the eyes were probably the only attractive and certainly the most expressive feature, and now they were boring into me as if to force me to my knees. At the same moment the notion of an Indian snake-charmer flashed through my mind, and I realized that those eyes must have intimidated many a man before me. I still went on talking, however, and told Hitler that things simply could not go on under the present type of leadership. I must, I said, revert to the proposal I had made to him twice already. To handle grand strategy he needed one thoroughly responsible Chief-of-Staff on whose advice alone he must rely in all matters of military policy. The logical effect of this arrangement on the Eastern Front must be - as was already the case in Italy and the West - the appointment of a Commander-in-Chief enjoying full independence within the framework of
-
-grand strategy.
-
-As had happened on the two previous occasions when I had approached Hitler about the need for a radical change in his handling of military affairs (amounting in practice, if not formally, to his relinquishment of command), he reacted entirely negatively, asserting that he alone could decide what forces were available for the various theatres of war and what policies should be pursued there. In any case, he said, Goring would never submit to another man's
-
-orders.
-
-As regards the proposed appointment of a Commander-in-Chief for the Eastern theatre of war, I have already quoted Hitler's retort that no other man would have the sarrie authority as he had. 'Even I cannot get the Field-Marshals to obey me!' he cried. 'Do you imagine, for
-
-example, that they would obey you any more readily? If it comes to the worst, I can dismiss them. No one else would have the authority to do that.'
-
-When I replied that my orders were always carried out, he made no further comment and
-
-brought the meeting to a close.
-
-Once again, then, I had failed in a well-disposed attempt to persuade Hitler to change the system of command at the top in such a way as to satisfy the exigencies of the war without outwardly affecting his prestige. His unwillingness to hand over to a soldier was probably due
-
-in part to his exaggerated faith in his own powers. Not even in private would he admit to having made mistakes or to being in need of a military adviser. Another cause was probably the mistrust which made the dictator determined to keep the army under his control against
-
-any contingency.
-
-On the other hand, I was well aware that any attempt to settle the matter by force would lead
-
-to the collapse of our armies in the field. As far as I was concerned, the prospect of the Russians' getting into Germany excluded the use of violent means just as much as the Anglo-Saxon demand for unconditional surrender.
-
-And so I had to return to my headquarters without having been able to get the Army Group's
-
-position alleviated or to bring about a rational organization of command at the top. On no account, however, were we going to abandon our efforts to gain freedom of movement for our right wing in the Dnieper bend and to reinforce our wing in the north.
-
-In view of the negative outcome of the conference at Hitler's headquarters, the Army Group was left with no choice but to carry on with the struggle in the Dnieper bend. On its northern wing operations had to be conducted in such a way as to prevent the enemy from encircling Fourth Panzer Army and breaking through to the south, which would result in the severance of all the southern wing's rear communications.
-
-Throughout January the enemy in the Dnieper bend continued to pit all his strength against the bastion we were still having to hold there. In doing so, he assailed Eighth Army's eastern front with particular fury - though the sector now commanded by Sixth Army also had to fight off repeated attacks. The latter were directed not only against the front facing north inside the river bend but also from the south against the Nikopol bridgehead.
-
-Thanks to the heroism of the German troops and the numerous stop-gaps devised by the two army commands, the enemy in this combat area continued to have only limited success, despite the fact that he was now many times stronger in numbers and materiel. Although Eighth Army's front was pushed back a little to the west and Kirovograd was abandoned, the enemy still did not accomplish a decisive breakthrough for the purpose of trapping our forces
-
-in the Dnieper bend.
-
-On the Army Group's left wing, on the other hand, the situation was becoming more and more
-
-difficult.
-
-Fourth Panzer Army, unable to withstand the intensive enemy pressure, found itself compelled to give up Berdichev and - in order to preserve a minimum degree of continuity on the main part of its front - to fall back further still to the west and south-west. But that was not
-
-the worst of it.
-
-What constituted an infinitely greater danger was that around 6th January the enemy had realized what opportunities were offered to him by the gap between First Panzer Army and the right wing of Fourth Panzer Army, as well as by the wide open space which had appeared between Fourth Panzer Army and Central Army Group. Inside the latter a weak, solitary 59 Corps was making a fighting withdrawal towards Rovno.
-
-It became clear that the enemy had now halted along the front of Fourth Panzer Army in order
-
-to exploit his chances in its exposed flanks.
-
-While he sought to demolish Fourth Panzer Army's northern wing with three armies (Eighteenth, First Guards and First Guards Tank), he dispatched his Sixtieth and Thirteenth
-
-Armies on a pursuit to Rovno further north.
-
-At the same time strong Soviet forces (First Tank and Fortieth Armies) drove further southwards in the gap between our own First and Fourth Panzer Armies. Their spearheads got to about 20 miles north of Uman, the supply base of First Panzer Army, and close to Vinnitsa, where Army Group Headquarters had previously been. The latter had been transferred to Proskurov a few days earlier when the signals links with the Army Group's right wing were endangered by the sudden Soviet push. Eventually enemy armour even succeeded in temporarily blocking the most important of the Army Group's railway supply lines at Zhmerinka. (Those further south ran through Rumanian territory and had a lower efficiency.)
-
-In this situation the Army Group had to choose between two courses. Should it take steps to counteract a further enemy thrust in its almost wide open northern flank, where there was an inherent possibility of a far-flung outflanking movement round its northern wing later on? Or
-
-was it more important to prevent the enemy's final breakthrough in the gap between First Panzer and Fourth Panzer Armies? There were insufficient forces available to discharge both
-
-tasks at once.
-
-We resolved to tackle the second danger first, as the more pressing of the two. If the enemy were allowed to drive through this gap in strength and to head south towards the Upper Bug, Eighth and Sixth Armies would face an imminent threat of being cut off.
-
-Conversely, a continuation of the enemy's advance in the Army Group's northern flank would not constitute a direct threat to our existence until some time in the less immediate future. Up here a certain relief would ultimately be provided by the forces which Hitler would sooner or
-
-later be compelled to bring up.
-
-If, on the other hand, the two armies of the southern wing were once cut off, there would no
-
-longer be any possibility of extricating them. The only correct solution - an extensive withdrawal of the Army Group's southern wing for the sake of gaining forces to overcome the crisis on the northern one - was still categorically vetoed by Hitler.
-
-In the light of these considerations we decided first of all to concentrate all the forces that could possibly be spared for a stroke against the enemy advancing southwards in the gap between First Panzer and Fourth Panzer Armies.
-
-This gap was rendered even more dangerous by the fact that the enemy's breakthrough in the direction of Uman had forced First Panzer Army to bend its western wing in the area southwest of Kiev back to the south. It now stood back to back, so to speak, with Eighth Army,
-
-which had its front facing eastwards in the Dnieper bend. As the inner wings of both armies still held the Dnieper on either side of Kanev, the German position formed a sort of sack, of which the top was hitched to the Dnieper in the north and the two sides formed the above-mentioned fronts of the two armies, facing east and west respectively. If the enemy in the gap north of Uman were successful, it would be only too easy for him to isolate this 'sack' in the south. The most sensible thing, of course, would have been to evacuate it, since forces were being unprofitably used on its defence. But here, too, Hitler was on no account prepared to see the Dnieper bank abandoned voluntarily. He was still hoping that by using this salient as a springboard he would one day be able to recapture the eastern part of the Dnieper bend. And so the 'sack remained in existence. Not very long afterwards it became the Cherkassy pocket.
-
-The Army Group intended that the blow to be struck at the enemy advancing between Fourth and First Panzer Armies should take the form of a three-pronged pincer attack.
-
-From the east - out of First Panzer Army's sector - 7 Corps had to thrust into the enemy's flank. It was released from the above-mentioned salient by an Army Group order laying down that only a weak defensive screen should remain on the Dnieper. This measure paid off insofar as the corps was not caught in the Cherkassy pocket later on.
-
-From the west, 46 Panzer Corps was to drive into the other flank. At this moment it was still
-
-on its way over from France.
-
-From the south, 3 Panzer Corps, released by the Army Group from the Dnieper bend, was thrown in to meet the enemy. Its task was to hold him down by mobile fighting until the two
-
-other corps were ready to attack.
-
-By the second half of January everything was set for the counter-blow. Because of the small number of formations available, however, it had to be carried out in two phases, the gap between Fourth and First Panzer Armies having meanwhile widened to almost 45 miles.
-
-In the first instance, 7 Corps and 3 Panzer Corps defeated Fortieth Soviet Army in the eastern part of the gap. Thereafter, as the result of another concentric attack by 3 and 26 Panzer Corps in which 1 Infantry Division, 4 Mountain Division and 18 Artillery Division played a substantial part, appreciable elements of the enemy's First Tank Army were surrounded and smashed in the west of the gap. During the latter attack -1 no longer possess the figures for the first one - approximately 5,000 Soviet troops were killed, and though only 5,500 were taken prisoner, the enemy lost 700 tanks, more than 200 field guns and around 500 anti-tank guns. Fourteen Soviet infantry divisions and five tank or mechanized corps had been affected by the two strokes, though the enemy had doubtless managed to save at least a part of his
-
-troops from encirclement.
-
-While all this was taking place, of course, the controversy between Army Group and O.K.H.
-
-on the question of future operations continued. Time after time we stressed the importance of finally granting freedom of movement to our right wing and ceasing to clamp it down in the
-
-Dnieper bend, which had long been an improper policy from the operational point of view. In
-
-a letter submitted through the Chief of the General Staff, I took Hitler up on the arguments he had given me on 4th January for holding fast to the Dnieper bend. The attitudes of Turkey, Bulgaria and Rumania, I told him, would depend less on the Crimea than the presence of an
-
-intact German southern wing forward of the eastern frontier of the two last-named countries.
-
-The Army Group was also at pains to emphasize that the final issue on the whole of the German southern wing would depend on the timely assembly of a strong army around Rovno behind the Army Group's left wing - whether this was done by disengaging forces from the right wing after pulling it back on to a shortened front, by transferring formations down from Northern Army Group or by evacuating Seventeenth Army from the Crimea. Only if we could assemble this army around Rovno in good time, we said, could the enemy be prevented from executing a wide envelopment movement in our northern flank and thereby from forcing the entire southern wing of our Eastern Front away to Rumania. While the Chief-of-Staff entirely concurred with our views and made repeated efforts to get Hitler to listen to them, the latter
-
-stuck to his principle of stubbornly holding on at all costs. It was impossible to obtain a directive on how he proposed to conduct operations on a longer-term basis - i.e. further than
-
-holding on for the next twenty-four hours.
-
-What made this sort of leadership more irrational than ever was the fact that even O.K.H. credited the enemy with still having powerful strategic reserves at his disposal which he must
-
-be expected to commit sooner or later. How could anyone exercise proper command in the field when Hitler did not even tell the army groups how he conceived the future of operations
-
-generally? How, if those enemy reserves actually did exist, was their intervention to be anticipated with any degree of foresight? This impossible state of affairs was the subject of a
-
-letter in which I stated the following:
-
-'If any leadership is to be successful, it must be based on a harmonious co-ordination of policy at all levels, which is dependent on clear directives from the top and a unanimous appreciation of the situation obtaining on the enemy's side. The Army Group cannot merely think from one day to the next. It cannot make do with a directive to hold on regardless when at the very same time it sees the enemy preparing to force the issue by an outflanking movement which it has no means of opposing.
-
-T must therefore request O.K.H. either to accept the Army Group's views on the basis of the appreciations already submitted or else to refute them by passing down its own
-
-appreciation of future developments.
-
-'If the Supreme Command remains dumb as well as deaf to the conclusions drawn by the Army Group in its own limited sphere of activity, a co-ordinated policy will be quite
-
-out of the question.'
-
-When there was no reply to this either, I wrote a long letter to Hitler personally. Once again I pointed out the situation of the Army Group, the operational possibilities open to the enemy, and the state of our own troops. I left no room for doubt as to how the overall situation must develop if no action were taken in accordance with the Army Group's recommendations. In particular, I underlined the vital necessity of assembling forces with the least possible delay behind the Army Group's northern wing to counteract the enemy's palpable intention of outflanking it, with all the far-reaching consequences this would entail. Considering the urgency of this, as well as the danger lying in the eventual isolation of the Army Group's southern wing in the Dnieper bend, I closed with the words:
-
-'Allow me to say this in conclusion, mein Ftihrer: as far as we are concerned, it is a matter not of eluding a danger but of taking steps to overcome one which we may
-
-shortly be compelled to face.'
-
-This communication was to play its part in a clash I had with Hitler a few days later.
-
-On 27th January he summoned all army group and army commanders on the Eastern Front, in addition to a large number of other senior officers, to General Headquarters. He wished to address us in person on the need for National-Socialist education inside the army. The more difficult the military situation became, the greater importance he attached to 'faith' as a guarantee of victory. It was an attitude which he sought to apply more and more in the selection of senior officers for posts down to divisional commander.
-
-Even in his greeting at the simple luncheon which preceded the meeting, one sensed that he had not forgiven me for the criticism implicit in my comments of 4th January.
-
-Now, in his address, he actually went so far as to throw the following words in the faces of the
-
-men whose armies had accomplished so much:
-
-'If the end should come one day,' he said, 'it should really be the Field-Marshals and generals
-
-who stand by the flags to the last.'
-
-I have never been one to put up with insults. Furthermore, Hitler's words were bound to strike any soldier as a deliberate snub to the army leaders whose courage and will to fulfil their soldierly duty to the bitter end were now being called into question.
-
-Being accustomed to listen to a superior in silence, all those present held their peace. But I personally felt the implied insult so strongly that the blood rushed to my head, and when, by way of emphasis, Hitler repeated his remarks, I called out: 'And so they will, mein FuhrerV
-
-This exclamation of mine naturally had nothing whatever to do with my attitude towards the National-Socialist system. It was merely intended to show that we were not going to accept imputations of that sort from anyone, including Hitler. I was told afterwards that my comrades, who found Hitler's words just as provocative as I did, had sighed with relief when I
-
-spoke.
-
-Hitler, however, had probably never experienced an interruption before when making a speech as Head of State - in this case, as supreme war leader into the bargain. The years when he had heard heckling at public meetings were long past. He obviously lost the thread of what he was saying and, with an icy glare in my direction, called out to me: 'Thank you, Field-Marshal v. Manstein!' Thereupon he brought his address to a somewhat abrupt conclusion.
-
-While I was taking tea with Zeitzler, there was a telephone call to say that Hitler wished to see me in the presence of Keitel. 'Field-Marshal,' he told me when I went in, 'I cannot allow you to interrupt me when I am addressing the generals. You yourself would not tolerate such
-
-behaviour from your own subordinates.'
-
-Since there was no answer to this, I did not reply. Then Hitler, who was obviously extremely
-
-annoyed, made a mistake.
-
-'By the way,' he said, 'a few days ago you sent me a paper on the situation. I suppose your idea was to justify yourself to posterity in the war diary.'
-
-This was really too much. 'Letters I write to you personally,' I retorted, 'do not get filed in the war diary. You must excuse me if I use an English expression in this connexion, but all I can say to your interpretation of my motives is that / am a gentleman.'
-
-Silence. Hitler, after a short pause: 'Thank you very much.'
-
-At the evening conference, to which I was specially summoned, Hitler's manner towards me was again thoroughly amiable. He even consulted me on the possibility of defending the
-
-Crimea, on which General Janicke, commander of Eleventh Army, had just been reporting. I knew, of course, that he would not forgive me for the retort I had made earlier. But I had much more important things to worry about than my personal relations with the Supreme
-
-Commander.
-
-During the month of February three sectors in particular were to be very much in the news. They may be distinguished by the names of Nikopol, Cherkassy and Rovno.
-
-THE LOSS OF NIKOPOL
-
-With effect from 6th February, Sixth Army reverted to Army Group A, on orders from Hitler. The reason he gave General Zeitzler for this decision was a significant one. Hitler wanted to send two of Sixth Army's divisions to the Crimea, which was even then a forlorn hope. He now explained that he was putting Sixth Army under Army Group A because he would not get these divisions from Southern Army Group.
-
-In one way, the latter regarded the handover of Sixth Army as a welcome relief, for we had quite enough worries in any case! However, it meant losing a reservoir of forces on which we should have been able to draw had we been free to pull the army out of the east of the Dnieper
-
-bend and the Nikopol bridgehead in good time. But this was just what Hitler had prevented. Now the enemy was to force him to surrender the areas in question.
-
-On 31st January heavy new enemy attacks had started against the northern front of Sixth Army east of Krivoi Rog and against the Nikopol bridgehead from the south. The upshot was
-
-the penetration of the bridgehead. After three days' fighting, the enemy also achieved a decisive breakthrough on the army's northern front, where, despite the fact that the number of divisions was only 2 : 1 in favour of the Soviets, 30 Corps received a severe battering from twelve rifle divisions and two tank corps. Although there had been six infantry divisions in
-
-the line and two armoured ones behind it, the former were so short of replacements and weapons that they really only amounted to battle groups, while the armoured divisions had only five serviceable tanks left! Even with these brave troops, constant overstrain was bound
-
-to tell sooner or later.
-
-As Sixth Army was by now already removed from Southern Army Group's control, I cannot deal with the further course of the fighting in this sector. The fact is, at all events, that once the enemy had broken through Sixth Army's northern front, the two corps fighting there, like the other two in the Nikopol bridgehead, were well-nigh cut off. It was a development which the Army Group had predicted on numerous occasions. This time even Hitler had to agree to the abandonment of the east of the Dnieper bend and the Nikopol bridgehead. Sixth Army did in fact manage, after heavy fighting, to extricate its corps from the noose, but only at the cost
-
-of considerable losses in equipment. Had this bastion been given up at the proper time, it would not only have been possible to withdraw all the forces inside it in good order, but also
-
-to free divisions for the far more important northern wing of the Army Group. Instead, Sixth Army's formations had been expended in the wrong place operationally, and one doubted whether they could ultimately withstand the pressure of the pursuing enemy.
-
-THE CHERKASSY POCKET
-
-In the middle of the Army Group front, having dealt their successful counterblow against Fortieth Soviet Army in the east of the gap there, the mobile formations of First Panzer Army had passed on to their second 'leg' in the western part. Immediately our armoured divisions left the first battle-ground, however, the enemy hydra grew more heads.
-
-At the end of January strong enemy forces, including several tank and mechanized corps, broke into the north-western section of the projecting arc of front which the inner wings of First Panzer and Eighth Armies were still having to hold by the Dnieper upstream from Cherkassy. His thrust took the enemy in between 7 and 42 Corps and as far south as the
-
-Zvenigorodka area.
-
-Simultaneously the enemy had attacked the Eighth Army front facing east in the area southwest of Cherkassy and broken through it with fresh forces of Fourth Guards and Fifth Guards Tank Armies. These succeeded in driving so far westwards that they were able to join hands
-
-with the enemy troops which had broken through First Panzer Army from the north-west towards Zvenigorodka. This meant that the salient described earlier was cut off, and with it First Panzer Army's 42 Corps and Eighth Army's 11 Corps.
-
-Such was the situation which awaited me when I arrived back at Army Group Headquarters on 28th January. Decisive measures were instantly taken to clear an escape route for the
-
-encircled corps.
-
-First Panzer Army received orders to end the battle against the forces of First Soviet Tank Army on its left wing as soon as possible and to release 3 Panzer Corps with the utmost speed.
-
-It was to be thrown over to the new crisis spot with 16 and 17 Panzer Divisions, the Leibstandarte and the heavy Panzer Regiment Baeke, which had already distinguished itself in the battle mentioned above, 1 Panzer Division was to follow as soon as it could.
-
-Eighth Army was instructed to release H.Q. 47 Panzer Corps and 3 Panzer Division from its front and to form them up in the direction of the point of breakthrough. 24 Panzer Division was also ordered over from Sixth Army to reinforce this group. When it arrived, however, Hitler ordered it to be returned to Army Group A because the position in the Nikopol bridgehead was already turning critical. In fact it got there too late to do any good.
-
-The Army Group's orders were that the two corps - First Panzer Army's from the west and Eighth Army's from the south - were to attack the flank and rear of the enemy forces which
-
-had surrounded 42 and 11 Corps.
-
-The number of divisions employed by the Army Group to get the two corps out was a relatively large one. It appeared necessary, however, in view of the fact that the enemy had
-
-crammed no less than twenty-six rifle divisions and between seven and nine tank or mechanized corps into this battle-ground from the north-west and east. The reason for their plurality, it is true, was that Soviet divisional strengths were also well down by now, except where fresh or recently refitted formations were concerned.
-
-The task of our two assault groups was first to cut the rear communications of these numerous enemy formations and then to destroy them by concentric attacks.
-
-Unfortunately their assembly was delayed, first by snow and then by the mud which followed. Once they could move off, however, they succeeded in getting to grips with and administering
-
-wholesale punishment to a substantial portion of the enemy forces which had isolated the Cherkassy pocket. Between them, the two corps reported the capture of more than 700 tanks, over 600 anti-tank guns and about 150 field-pieces, but only just over 2,000 prisoners. This
-
-indicated that the enemy forces had been largely made up of motorized formations. Eventually impenetrable mud or snow put an end to the advance. 3 Panzer Corps' spearhead had got within eight miles of the south-western front of the pocket, while 47 Corps had probably drawn off a substantial proportion of the enemy forces.
-
-The Army Group operations staff had gone to Uman in our command train to supervise the co-operation of the two armies in this battle. The headquarters of First Panzer Army was at Uman itself and that of Eighth Army was easily accessible from the same place. While in Uman I made two attempts to reach the fronts of both assault groups, but each time my car became hopelessly stuck in mud or snow. From one day to the next the weather vacillated between blizzards and thaws. Once again it was seen that the broad tracks of the Soviet tanks made them better than our own at moving over snow-covered ground or a saturated subsoil.
-
-As there was no further prospect of getting the armour right up to the pocket, I gave orders for the two encircled corps to break out to the south-west. In the meantime they had been crowded together from all sides by recurrent enemy attacks, and the space now left to them measured only about 30 miles from north to south and 10-12 miles from east to west. The Russians had already called on them to capitulate on 4th February.
-
-Under command of their Commanding Generals, Stemmermann and Lieb, the two corps commenced their break-out during the night of 16th-17th February. As they set off towards 3 Panzer Corps, it made one last effort to get at least a few tanks through the bottomless mud to meet them. The corps in the pocket had instructions from the Army Group to use their entire artillery and ammunition in support of the break-out. Being unable to move through deep mud
-
-across country devoid of roads, the batteries had to stay put after they had fired off their ammunition. Rearguards equipped with a small number of guns covered the break-out against the enemy now moving in from the north-east and south.
-
-It can be imagined with what mixed feelings of hope and anxiety we sat in our command train waiting to hear whether the break-out had succeeded. At 0125 hours on the morning of 17th February we received the gratifying news that the first contact had been established between the escaping troops and the spearheads of 3 Panzer Corps. The enemy in between them was literally over-run. By 28th February we knew that between 30,000 and 32,000 men would come out of the pocket. Considering the drop in the strength of the fronts and the fact that six divisions and one brigade had been surrounded, this figure must be taken to represent the bulk
-
-of the fighting troops.
-
-[The ration strength of both corps before their encirclement had totalled 54,000. Some of the rear units, however, had evaded the trap. Author.]
-
-One most distressing factor was that the majority of the wounded could not be brought out. General Stemmermann was killed during the fighting.
-
-It had thus been possible to spare both corps the fate suffered by Sixth Army at Stalingrad. In
-
-this case, too, Hitler had called for the pocket to be held, but in the end he had consented retrospectively to the break-out preparations ordered by the Army Group. The latter had then issued the order for the actual break-out without previously notifying Hitler in order to avoid
-
-any possibility of a countermand.
-
-Naturally the bulk of the guns and heavy weapons had stuck fast in the mud on the way out,
-
-only a small number being extricated as a result of the almost superhuman efforts of the troops. The six and a half liberated divisions obviously had to be pulled out of the line for the time being. However, this loss of fighting power, though it further complicated the Army Group's position, was to a great extent counter-balanced by the joy of having saved at least
-
-the fighting men of the two corps.
-
-First Panzer and Eighth Armies still had the task of firmly reuniting their fronts and releasing armour for the mobile reserve as soon as possible.
-
-After I had visited units of the divisions which had participated in the break-out, my operations staff returned to Proskurov. This was rendered urgently necessary by the situation
-
-on the Army Group's left wing.
-
-ROVNO
-
-For the reasons stated earlier, the Army Group had done everything in its power during the month of February to prevent the enemy from finally breaking through the centre of its front. It had been able to forestall the threatened isolation of its right wing when the latter was still held fast in the Dnieper bend. Thereupon it had been faced with the necessity of fetching the two encircled corps out of the Cherkassy pocket. Once this had been achieved, our attention inevitably became riveted on developments in the north of the Army Group area.
-
-By this time Fourth Panzer Army was on a front facing north-east which actually ran fairly continuously from north-east of Vinnitsa to the west of the small town of Shepetovka. The latter lies some 50 miles due north of Proskurov, where Army Group Headquarters was located. At Shepetovka the army's continuous front came to an end. For a front some 150 miles in length there were at present only nine weakened but still battle-worthy divisions available under three corps commands - five being infantry, two armoured and two panzer grenadiers. For the moment the pressure on the army front had relaxed, the enemy having presumably had to pause in his advance. Nevertheless, it was clear that Fourth Panzer Army would hardly be able to hold out with the above forces against a far superior enemy.
-
-But there was also another danger with far graver implications for the position of the Army
-
-Group as a whole.
-
-In front of the western wing of Fourth Panzer Army, extending right up to the southern boundary of Central Army Group in the north, there was now a wide open space practically devoid of German forces. From this area, sooner or later, the enemy was liable to launch a large-scale flanking movement against Fourth Panzer Army, which would be synonymous with outflanking the whole of Southern Army Group. Even though the northern part of this vacuum - the Pinsk Marshes - was automatically excluded from any major operations, there was still an east-to-west bridge of land about 40 miles in breadth immediately above Fourth
-
-Panzer Army's front. Through it ran the highway leading from Kiev to Rovno via Zhitomir and further westwards to Lwow and Lublin in the Government-General.
-
-In order to block this bridge of land, the Army Group had shifted 13 Corps on to the extreme
-
-north wing. The latter was led with great dash by my former Chief-of-Staff at 38 Corps, General Hauffe, who was unfortunately killed at the head of his troops in March 1944. With
-
-the few forces at his disposal, Hauffe held up the enemy advance on either side of the highway through February and March, again and again evading the pincer movements of his far stronger opponent. Further north, already within the region of the Pinsk Marshes, a group of police units was guarding the big railway from Kiev to Poland.
-
-Against such odds, of course, the solitary 13 Corps could do no more than delay the enemy advance. As early as the beginning of February the town of Rovno was lost, in consequence of which 13 Corps had to retire westwards towards Dubno.
-
-The Reich Commissioner for the Ukraine, Gauleiter Koch, who resided in Rovno, had naturally lost no time in making himself scarce - though not before enjoining the civil administrators and police forces under his jurisdiction to fight to the last. He was to decamp from East Prussia in exactly the same way later on. Hitler, on the other hand, demanded the head of the general responsible for the loss of the town. According to Zeitzler, even Keitel advocated the immediate shooting of the senior German commander there. When Zeitzler energetically opposed this, averring that Hitler would in any case wish to hear his generals' views, Goring put his oar in. 'Oh no, you don't,' he said. 'Where would we be if that happened
-
-every time? Anyway, it isn't the job of a Head of State.' Quite apart from the fact that the affair was no concern whatever of Goring's, he was just about the last person with any right to damn others for alleged dereliction of duty. His utterance was one more example of his notorious hatred of the generals, and the army as a whole. Hitler did not, in fact, accept the recommendations of Keitel and Goring , but ordered a court of inquiry, as a result of which sentence of death was passed not upon the officer originally accused, but on the divisional commander responsible for the Rovno area. This was subsequently quashed by Hitler, who accepted the appeals put up by myself and the army commander in view of the reasons which had led to the loss of Rovno. The 'mobile courts martial', which had power to pass summary judgement over the heads of local commanders, had still not been instituted in my day.
-
-But let us return to Fourth Panzer Army.
-
-Even though, as I have said, there was no immediate threat to the army front, it was perfectly clear that that wide expanse of territory to the north, guarded as it was by a mere handful of
-
-forces, would shortly become the basis of an enemy offensive. This might be directed at Lwow in the west or against Fourth Panzer Army in the south in the form of an outflanking
-
-movement round its western wing.
-
-It will be recalled that in anticipation of this danger the Army Group had on a number of occasions called for the assembly of an army in the area of Rovno. No such assembly had
-
-taken place. The Supreme Command had neither released forces elsewhere for this purpose (i.e. by detaching them from Northern Army Group or evacuating the Crimea), nor had it
-
-enabled Southern Army Group to do so by granting it freedom of movement on its southern
-
-wing.
-
-It goes without saying that on completion of the Cherkassy battle the Army Group had drawn strong armoured forces from the centre of its front over to the left wing, where they were in position by 15th March. But as we emphasized to O.K.H., these forces would at best suffice to maintain a certain degree of stability on Fourth Panzer Army's front in the event of another
-
-major attack. They would on no account be adequate to cope with a wide outflanking movement against the army's western wing. As the issue was as destined as ever to be settled
-
-on the northern wing, it was absolutely essential that the latter be provided with additional forces. For the present, however, nothing decisive was done by the Supreme Command in this
-
-respect.
-
-Clearly Hitler assumed the enemy's offensive power to be already exhausted. In addition, he was expecting the muddy season to set in shortly and put a stop to any large-scale activity on
-
-the part of the Soviets.
-
-It was true that the attack we had launched in mid-February to free the two corps from the Cherkassy pocket had become bogged down as a result of the spells of mud with which the blizzards had been interspersed. Yet it was still too early to count on the actual muddy season
-
-to start.
-
-As for the hopefully awaited exhaustion of the enemy's offensive power, it was only permissible to consider this within the context of our own diminished formation strengths. For O.K.H.'s consideration, the Army Group submitted a series of figures which gave a graphic picture of the respective losses and replacements on both sides of the front.
-
-We had deduced from numerous prisoner-of-war interrogations that in the period from July 1943 to January 1944 the enemy formations facing our front must have received about 1,080,000 men as replacements. This figure could be taken to correspond with the losses
-
-suffered by the enemy in the same period. On the other hand, Southern Army Group's casualties in dead, wounded and missing during the same space of time had amounted to 405,409 men. The corresponding number of replacements in this case was 221,893. So although the enemy's formations had suffered far more heavily than our own and the combat value of his infantry in particular was declining at an ever-increasing rate, it was still evident from the figures in question that the ratio of forces had shifted very much to our disadvantage.
-
-The present position with armoured formations was that the Soviet tank corps in the line possessed an average of 50-100 tanks each (except for one isolated case in which there were only twenty), as against a planned establishment of 200-250. In contrast to this, the average number of tanks which our own armoured divisions could send into action was at best just over thirty. Only the armoured divisions recently sent to the Army Group were in any better shape, but with others the position was even worse. In all, the enemy opposite our front had received approximately 2,700 new tanks during the period under review, whereas we - and this included self-propelled assault guns - had had only 872. In producing these figures, we took no account of the large number of reserve formations at the enemy's disposal.
-
-A characteristic picture is offered by the following breakdown of data supplied by the armies under our command. There may, of course, have been occasional duplication, specifically in the case of knocked-out tanks. According to these returns, the enemy losses had been as
-
-follows :
-
-Prisoners Tanks
-
-January: 17,653 2,873 February: 7,700 1,055
-
-One thing these figures show is the extraordinarily high scale of equipment enjoyed by the Red Army even at that stage. The time was past when it had been compelled to throw masses of men into battle. On the other hand, the figures revealed a striking discrepancy between the number of prisoners taken and the amount of material captured or destroyed. Either the Soviets had often been able to avoid capture by abandoning their heavy weapons (which could possibly indicate a deterioration of battle morale) or they must have been suffering
-
-exceptionally bloody losses.
-
-As for Hitler's own attitude - in the light of the above figures - regarding the future conduct of operations and the possibility of a perilous turn of events on the Army Group's northern wing, a telephone conversation I had with General Zeitzler on 18th February proved most
-
-informative.
-
-In pointing out the danger which could be foreseen on our northern wing, I had drawn attention to the ratio of forces and mentioned that the figure in our own case was still unfavourable in comparison with the other army groups. I will now quote from a transcript of the conversation made by one of my staff officers :
-
-Zeitzler. 'I've had another long talk to the Fiihrer on that subject, as well as on the consequences involved, but got no change.'
-
-Myself: 'How does he envisage our future operations, then?'
-
-Zeitzler. 'He says the Russians are bound to stop attacking some time. They have been attacking non-stop since last July and can't go on for ever. So I said, "Mein Fiihrer, if you were a Russian now, what would you do?" "Nothing at all," he said. "Well," I told him, "I
-
-should attack, and I should go for Lwow!"
-
-Hitler, however, obviously went on counting on exhaustion and the weather to put an end to the enemy's offensive operations. By May — as he had told me earlier- he would have new divisions at his disposal. Had he only put the personnel and equipment they required into our own battle-tested divisions, things might have turned out very differently.
-
-THE DAY OF RECKONING
-
-In March 1944 it was time to foot the bill for the Supreme Command's cardinal error of never having been willing to give anything up (either in the east itself or some other theatre) for the sake of being stronger than the enemy at the decisive spot. What we had to pay for, first and foremost, was Germany's failure to stake absolutely everything on bringing about a showdown in the east in 1943 in order to achieve at least a stalemate or to exhaust the Russians' offensive power before a real second front emerged in the west.
-
-Field-Guns
-
-588
-
-200
-
-Anti-tank Guns
-
-2,481 855
-
-Then there was the mistake of having persisted to the very last in keeping the southern wing of the Eastern Front clamped down in bastions jutting far out to the east - first in the Donetz
-
-basin and the Kuban, and then in the Dnieper bend and the Crimea, thereby offering the
-
-enemy every chance to cut these forces off. In doing so the Supreme Command had overlooked the fact that ultimately the issue would not be decided in the struggle for these bastions, but in the place from which the enemy could proceed to push the entire southern wing of German armies away towards the Black Sea or Rumania. Ever since 'Citadel' this decisive spot had been the northern wing of Southern Army Group.
-
-Now it was too late! The crucial year of 1943 had slipped by without the achievement of so much as a stalemate. Whether this could ever be accomplished now depended on the outcome of the invasion which would certainly come in 1944.
-
-But first the account had to be settled on the southern wing of the Eastern Front!
-
-Hitler now proved to have been premature, to say the least, in voicing the hope at the end of February that the exhaustion of Soviet strength and the onset of the muddy season would halt
-
-the enemy offensive.
-
-It was perfectly true that, thanks to the spirit displayed by the German troops, the enemy's hard-won gains had cost him extraordinary sacrifices. It was also apparent that the quality of
-
-his infantry formations, into which he had relentlessly pressed all the able-bodied male inhabitants of reconquered territories, was steadily deteriorating. But the plain fact remained that he still had abundant formations of fresh or rested troops on which to draw. Even if the number of tanks in his tank and mechanized corps had fallen off in consequence of the high losses mentioned earlier, it was still many times greater than that of the German armoured divisions. On the German side even a rigorous comb-out of units in the rear areas had failed to make good the shortage of replacements. Already we had enlisted hundreds of thousands of
-
-indigenous volunteers in our B-echelon units and supply columns. These men - mainly Ukrainians and Caucasians - did their duty with the utmost loyalty, preferring to fight in the German Army (in spite of the policy pursued by the Party authorities in the occupied territories) rather than to go back under Bolshevik domination.
-
-The muddy season, though interrupted by spells of frost, set in at the beginning of March. Initially, however, it affected us far more unfavourably than it did the Russians. It has already been remarked that the Soviet tanks were more mobile than ours in snow and mud, thanks to their wider tracks. At the same time, however, enormous numbers of American trucks made their appearance on the enemy side. As they were still able to drive over open country when our own were already tied to the few firm roads, the enemy was also able to move the infantry element of his tank and mechanized corps quickly. In addition, the worse the mud became, the more the lack of tractors was felt on the German side. Consequently our mobile formations could only be moved long distances at the cost of considerable delays, and tended to get the worst of the struggle against a more mobile opponent.
-
-Until such time as mud put a temporary stop to the enemy's offensive operations, and also for the later period when the struggle could be resumed, the Army Group was faced with the necessity of preserving a strong northern wing.
-
-The enemy would, of course, also continue to attack Army Group A (i.e. Sixth Army) and our own Eighth Army. He had just as good a prospect as ever of smashing this wing, which was
-
-still echeloned well out to the east, and of pushing it back against the Black Sea, or at all events of winning the crossings over the Bug and later over the Dniester. Here lay the chance
-
-of recapturing Bessarabia and opening the route to Rumania and the rest of the Balkans! The area, incidentally, which Roosevelt was so keen to cede to 'Uncle Joe'.
-
-Nonetheless, the German side was still capable of effecting an elastic withdrawal on this wing and saving considerable forces from Sixth Army's front, which could be very much shortened in the process. It would still be possible - either behind the Bug or the Lower Dniester (in any case, therefore, still forward of the old Rumanian frontier) - to bring the enemy to a definite standstill on a front adequately manned for a decisive defensive.
-
-So when signs of fresh offensive preparations were noticed opposite the southern wing of Eighth Army as early as 22nd February, the Army Group asked that the army should be given freedom to take evasive action. We were neither able nor inclined to supply this part of the front with forces which were far more urgently needed on the left wing of the Army Group. Eighth Army's ability to adopt elastic tactics depended, of course, on whether its southern neighbour, Sixth Army, which was echeloned even further to the east, could co-operate in the movement we suggested. This was our reason for seeking O.K.H.'s prior agreement.
-
-Not surprisingly, Hitler would not give it. On the contrary, the Army Group was subsequently made to hand over more forces (3 and 24 Panzer Divisions) to launch an attack in support of Sixth Army when a new setback ensued on its much-too-extended front.
-
-Operationally, however, far greater chances than those offered to the enemy by advancing along the Black Sea coast against Army Group A would present themselves if he were to achieve a decisive success opposite the northern wing of Southern Army Group. If, by throwing in a maximum concentration of forces, he should manage - perhaps even before the muddy season began- to over-run the front of Fourth Panzer Army, he would in the first place gain possession of the railway line which ran from Lwow through Zhmerinka into the Southern Ukraine and was vital for the supply of the whole of the German southern wing. Subsequently, by continuing to advance southwards, the enemy would get into the deep flank
-
-and rear of the southern wing.
-
-Over and above this it was certain that he would make use of the gap which had opened up between the northern wing of Southern Army Group and the southern wing of Central Army Group in order to assemble another powerful assault force. Its task would be to go round the
-
-Army Group's left wing or carry out the drive on Lwow which General Zeitzler had foreshadowed to Hitler. The recent appearance of H.Q. 1 Belorussian Front in this area at the end of February provided an unmistakable pointer to such intentions. With its left wing outflanked in this way, the Army Group would inevitably be pushed away to the south, perhaps while still east of the Carpathians. Through Lwow, on the other hand, the Soviets would be
-
-free to drive into Galicia or Poland proper.
-
-Any development of this nature had to be forestalled at all costs.
-
-As soon as the struggle to liberate the two corps surrounded near Cherkassy was over and contact had been re-established between the fronts of First Panzer and Eighth Armies in this area, the Army Group had ordered a radical shift of forces to its left wing. In the sectors of First Panzer and Eighth Armies H.Q.. 3 Panzer Corps was released with 1,11 and 16 Panzer
-
-Divisions. They were to be followed as early as possible by 17 Panzer and the Artillery Division to an assembly area around Proskurov, behind Fourth Panzer Army. Also transferred to the latter from the above-named armies were 7 Panzer Division, the Leibstandarte and a
-
-battalion of heavy tanks (305). Fourth Panzer Army was to assemble these latter formations around Tarnopol under H.Q. 48 Panzer Corps. While 3 Panzer Corps' task would be to foil an enemy breakthrough on the front north of Proskurov, 48 Panzer Corps was to prevent an envelopment of the western wing by way of Tarnopol. Three infantry divisions granted by O.K.H. (68, 357 and 359) were also moved into Fourth Panzer Army's area.
-
-The disengagement of these divisions from the fronts of their parent armies naturally took time. On top of that, the state of the roads and transport no longer permitted any rapid moves. As a result, they could not reach their appointed destinations before the middle of March.
-
-At the beginning of that month the Army Group also ordered its army areas to be extended over towards the left wing. The object here was to enable Fourth Panzer Army to take charge of the area now acquiring special importance between Tarnopol and Dubno. The army handed over its present front, which ended at Shepetovka, to First Panzer Army and assumed command in the area from east of Tarnopol to Dubno. The only forces available there at the time, however, were 48 Panzer Corps, which was busy assembling around Tarnopol, 13 Corps, which was in action around Dubno, and a group of police units at Kovel.
-
-First Panzer Army in turn surrendered its sector of front north of Uman to Eighth Army. On orders from O.K.H., the corps on the latter army's right wing went over to Sixth Army.
-
-At the beginning of March the Army Group moved its headquarters first to Kamenec-Poldolsk and later to Lwow, in order to be behind the vital left wing. We had instructions from Hitler not to enter Rumanian territory, inside which our vantage point could have been behind the
-
-centre of the Army Group front.
-
-It was still debatable whether the measures outlined above would suffice to intercept any enemy offensive launched before the muddy season set in. For the period which followed it, as the Army Group repeatedly emphasized to O.K.H., it would in any case be essential to bring forces with an equivalent strength of two armies, comprising between fifteen and twenty divisions, up to Lwow. Only then could we prevent a large-scale outflanking of the Army Group's left wing, with all the consequences already described. (It could be assumed, however, that the newly drafted forces of which Hitler had spoken, but of whose numbers the
-
-Army Group was told nothing, would be inadequate for this purpose. It was imperative to acquire forces by further shortening the fronts of both Northern Army Group and Sixth Army,
-
-as well as by evacuating the Crimea.)
-
-It goes without saying that the freeing of forces within the Army Group's own area on the scale already indicated implied a big risk for Eighth and First Panzer Armies, since the enemy
-
-would continue to attack them, too, as long as the ground and weather gave him the least opportunity of doing so. His object in this case would be to break through in the direction of the Middle Bug and its crossings at Vinnitsa and Voznessensk.
-
-With things as they now were, however, the Army Group had to choose between two evils. In terms of the overall situation, the lesser evil was undoubtedly that the enemy would come forward in the area of First Panzer Army's right wing and opposite Eighth Army. The operational effects of such an advance could still be counteracted by withdrawing the neighbouring Sixth Army behind the Bug or at worst behind the Dniester. On the other hand, the operational consequences of a decisive enemy success against the Army Group's left wing would be irreparable. To prevent it, and at all costs to bar the Russians's way into the deep
-
-flank of Southern Army Group and Army Group A or to Lwow, must now be Southern Army Group's operational aim until the muddy season became fully effective. The possibility that its right wing—and consequently the whole of Army Group A—might be forced to withdraw further westwards was a risk which it had to accept.
-
-THE STRUGGLE CONTINUES—DESPITE THE MUD
-
-Although the weather prevented our air reconnaissance from telling what movements or troop concentrations were taking place on the other side, the Army Group was able to assess the enemy's intentions as follows by the end of February:
-
-The recently identified I Belorussian Front would assemble forces in the Rovno area to
-
-envelop the Army Group's western wing.
-
-1 Ukrainian Front was expected to attack the front facing north on both sides of Proskurov,
-
-now under command of First Panzer Army.
-
-2 Ukrainian Front, we assumed, would renew its attacks on Eighth Army and the right wing
-
-of First Panzer Army and — if it succeeded in crossing the Bug- head for Czernowitz
-
-(Cernauti).
-
-3 and 4 Ukrainian Fronts would continue their attempts to score a success against Sixth Army
-
-and the right wing of Eighth Army.
-
-On 3rd March the assault broke loose against the Army Group's left wing in the area of Fourth and First Panzer Armies. Superior enemy forces, including a tank corps, seized hold of 13 Corps around Dubno and tried to envelop it. The main thrust, which was carried out by two tank armies plus Sixtieth Soviet Army, was aimed at a break-through to the south across the line Proskurov-Tarnopol, the enemy's intention obviously being to cut the Army Group's most important communication line and - provided that the weather still permitted - to drive right through to the Dniester. Simultaneously Eighteenth Soviet Army was attempting to force the right wing of First Panzer Army away to the south-east.
-
-The survey given below gives some idea of the relative strengths during this period :
-
-Enemy Forces on 9 Mar. 44
-
-Opposing Sixth Army: (Army Group A)
-
-62 rifle divs. 3 tank/mech.
-
-corps 1 cav. corps 1 tank corps (resting)
-
-Own Forces as on 29 Feb. 44
-
-18 inf. divs. (approx.) 3 arm. divs.
-
-Sectors Held by Own Forces
-
-57 rifle divs. ^ ^.
-
-Opposing Eighth Army: 11 tank/mech. . , ' . 95 miles
-
-4 arm./pz. gren. divs.
-
-corps
-
-Opposing First Panzer 37-40 rifle divs. 8 inf. divs 112 miles
-
-Army:
-
-11 tank/mech. corps
-
-1 art div. 1 arm div.
-
-Opposing Fourth Panzer Army:
-
-18 rifle divs. 5 tank/mech corps 1 cav. corps
-
-8 inf. divs. 1 defence div. 1 police form.
-
-9 l A arm./pz.gren. divs.
-
-320 miles
-
-Westward shift of army boundaries within Army Group at end of March resulted in the
-
-following transfers of forces:
-
-When I visited the front line at Shepetovka on 4th March, 59 Corps' position there was already extremely serious. The enemy had penetrated our fronts on either side of it and was preparing to entrap the corps by means of enveloping attacks from east and west. To eliminate this danger it had to be pulled back - a manoeuvre which duly succeeded thanks to the firm, unflurried leadership of the Commanding General, my erstwhile Chief-of-Staff, Schulz, and the intervention of 1 Panzer Division, which had just arrived on the scene. Nonetheless, the enemy maintained his efforts to encircle the corps by pursuing it towards Proskurov.
-
-Both of the panzer corps which had been brought up behind this wing of the Army Group now went into action. 3 Panzer Corps was thrown to the north-west from Proskurov to smash the enemy advancing in the gap between First and Fourth Panzer Armies. 48 Panzer Corps was directed to attack the enemy armour driving on Tarnopol.
-
-By 7th March the enemy had committed a total of twenty-two to twenty-five rifle divisions and seven tank or mechanized corps in this sector.
-
-At the beginning of March the enemy also started an offensive against the left wing of Eighth Army, having within two weeks managed to replace the losses inflicted by our panzer corps in their thrust to free the Cherkassy pocket. Hardly had we withdrawn the two corps from that sector to bring them behind the left wing of the Army Group when he began his offensive in the direction of Uman. Having staked no less than twenty rifle divisions on his breakthrough, he succeeded in smashing 7 Corps, and by 9th March he was at the gates of the town.
-
-In the area of Army Group A (Sixth Army) the enemy likewise resumed his offensive and achieved a breakthrough towards Nikolayev at the mouth of the Bug.
-
-In a situation report to O.K.H. on 7th March the Army Group had stated that it had no alternative but to fight on as best it could until mud put a stop to the enemy's operations. At the same time, however, it had emphasized the decisive importance of having sufficient forces available in the Tarnopol-Luck-Lwow area at the end of the muddy season to prevent a
-
-Fourth Panzer Army First Panzer Army
-
-From To First Panzer Army Eighth Army
-
-
-
-
-
-breakthrough towards the last-named town or to drive into the enemy's flank if he should try
-
-to advance southwards from Tarnopol.
-
-The Army Group's prime consideration just now, therefore, must be to fight for time and to do its utmost- even at the cost of giving up further ground - to keep its formations in fighting trim until the mud forced the enemy to call off his attacks. Unfortunately a great deal of time was
-
-to elapse before then.
-
-At this stage of operations Hitler thought he had found a new means of bringing the enemy's advance to a standstill. Henceforth places which had acquired tactical significance as nodal points of road or rail traffic were to be declared 'strongholds'. Each was allotted an ad hoc commander, or Kampfkommandant, who was in honour bound to de- fend the locality in question and answered for it with his head. The armies in whose sectors Hitler had personally selected such 'strong-holds' were responsible for stocking them up at early date and providing
-
-adequate garrisons. Hitler assumed that by blocking important roads or diverting Soviet forces, these places would serve to delay the advance. In fact it was clear from the outset that they would achieve no such thing. In practice they required more troops to defend them than was worth devoting to their retention. Since 'strongholds' without proper fortifications or adequate garrisons must inevitably fall to the enemy sooner or later without fulfilling their intended purpose, the Army Group in every case but one contrived to get them abandoned before they were hopelessly surrounded. The exception was Tarnopol, where in the end only remnants of the garrison were able to break out. Later in 1944 this method of Hitler's led to
-
-considerable losses.
-
-In line with its policy of fighting for time and preserving the armies from encirclement, the
-
-Army Group on nth March had to order Eighth Army to move back after the enemy had broken through the front on its left wing. Two days later, for the same reason, the right wing of First Panzer Army was withdrawn behind the Bug.
-
-On its left wing First Panzer Army had to go on fighting in the Proskurov area so as to restore contact with Fourth Panzer Army and relieve the pressure on its right wing.
-
-Fourth Panzer Army's task was to prevent the enemy armour east of Tarnopol from breaking through to the Dniester in the south and forcing First Panzer Army away to the south-east. At the same time, by throwing in the O.K.H. divisions mentioned earlier, it was to clear the lines of communication from Lwow via Tarnopol to Proskurov.
-
-From now on, however, things moved increasingly fast. By 15th March the enemy succeeded in almost completely destroying the left wing of Eighth Army, causing a broad gap to appear between Uman and First Panzer Army at Vinnitsa. Continuing his south-westerly advance, he
-
-was able to get the leading elements of five armies, including an armoured one, across the Bug in Eighth Army's area. While the latter threw over all detachable forces from its right to its left wing to attack the enemy now across the river, it was clear that they could only impede him on a purely local basis and had no hope of gaining the Bug as a defence line over a sector of this breadth or of restoring contact with First Panzer Army. On the contrary, the strong enemy forces now crossing the river would be in a position to push Eighth Army off to the
-
-south and get to the Dniester before it.
-
-On First Panzer Army's right wing, too, the enemy had achieved a breakthrough which took him to the Bug south of Vinnitsa. Although Hitler immediately proclaimed the town a
-
-'stronghold', there was never any question of its being able to put up a protracted defence, since this would have called for at least three divisions. And where were they to be found?
-
-On the army's left wing, west of Proskurov, there were indications of an enemy envelopment by Third Guards Tank Army, which had three tank corps under command.
-
-In Fourth Panzer Army's sector a successful attack by the infantry divisions supplied by O.K.H. made it possible to restore the situation in the Tarnopol area for the time being. In contrast to this, 13 Corps was threatened with encirclement as it retired in the direction of
-
-Brody.
-
-It was plain from the overall picture that there was no further possibility of regaining and holding the Bug on the Army Group's right wing. As early as 16th March it emerged that the
-
-enemy forces which had crossed the river were heading west with a tank army towards the
-
-nearest Dniester crossings. Three other armies, one of them armoured, were turning south against the northern flank of Eighth Army. At the same time both wings of First Panzer Army were in danger of being enveloped. Despite the success at Tarnopol it was doubtful whether
-
-Fourth Panzer Army could in the long run prevent the enemy from advancing on Lwow or
-
-turning off to the south.
-
-Such was the tense situation prevailing when I was summoned to the Obersalzberg. A few days previously Hitler's military assistant, General Schmundt, had been out to see me to obtain my signature to a rather curious document. This was by way of being a declaration of loyalty to Hitler by all field-marshals in view of the propaganda disseminated by v. Seydlitz, the general taken prisoner at Stalingrad. The idea had probably come from Schmundt himself, who thought it might strengthen Hitler's trust in the army. Since every field-marshal but myself had already signed (significantly enough Schmundt had included Model among the signatories, although his rank at the time was still Colonel-General), I had no choice but to follow suit. Refusal to do so would have implied that I sympathized with Seydlitz's activities.
-
-All the same, I told Schmundt that I considered the declaration quite unnecessary from a soldier's point of view, as it was perfectly obvious that German troops would pay no attention to the propaganda of the Free Germany Committee. I might mention in this connexion that leaflets dropped over the Cherkassy pocket earlier on had completely failed to achieve their purpose - as, of course, had a letter from Seydlitz to General Lieb, the man in command there. About the same time another letter which gave every impression of being genuine had found its way on to my own desk. It had been handed in to us after being picked up by a Ukrainian
-
-partisan.
-
-[While there had been hardly any sign of partisans in the Eastern Ukraine (where the administration was solely in the hands of the German military authorities), the movement was all the more active in the western parts of that territory. One reason for this was that the large
-
-forests provided partisan groups with safe hide-outs and made it easier for them to attack roads and railways. The other, however, was that the rule of Reich Commissioner Koch had driven the population straight into their arms. There were, by the way, three different categories of partisans. The Soviet variety fought against the Germans and terrorized the peaceful population. The Ukrainians fought the Soviet partisans, but usually released any Germans after first disarming them. Finally there were bands of Polish partisans who fought both Germans and Ukrainians. This largely applied in the Lwow district, which was already in Galicia. Here the urban population was largely Polish and the rural communities mainly Ukrainian. The Lwow area - unlike the rest of the Government-General - was wisely
-
-administered. While giving preferential treatment to the Ukrainians, the man responsible, District Commissioner Wachter, still protected the interests of the Polish minority. Ultimately he was able to raise a complete division of Ukrainian volunteers. Author.]
-
-On 19th March the document I mentioned above was ceremoniously handed over to Hitler by Field-Marshal v. Rundstedt in the presence of numerous senior members of the three armed services. Hitler appeared deeply moved by the occasion. Yet how little it really accorded with
-
-a soldier's code of values!
-
-In view of Hitler's negative response to all my recommendations in the past and his persistent refusals to recognize irrevocable necessities, this call for a demonstration of loyalty makes it pertinent to ask why I still remained at my post.
-
-As regards the more general implications of this question, I can only say that it was not granted to me — as onewho had for several years past been engrossed in arduous duties at the front - to perceive Hitler's true nature, or the moral deterioration of the regime, to the extent to
-
-which we can obviously do today. Rumours of the kind that circulated at home hardly penetrated to the front, perhaps least of all to ourselves. The anxieties and problems which the fighting brought us left little time for reflection on matters of wider interest. In this respect our position was entirely different from that of soldiers or politicians in Germany or occupied territories where no fighting was taking place.
-
-In the military sphere, however, I could not overlook the faults of Hitler's leadership. My grounds for not believing it possible to remove him by violent means in wartime have already
-
-been stated.
-
-As for the reasons which impelled me to remain at my post, I often used to wish that I could leave it. On many an occasion, when Hitler refused to accept my recommendations or tried to
-
-meddle in the affairs of my headquarters, I had told the Chief of the General Staff that he (Hitler) had better find someone else to take over Southern Army Group. But apart from the pleas of my immediate staff, what always dissuaded me from resigning my command was not
-
-the desire - so often advanced as a motive in such cases-to 'prevent worse things from happening'. It was rather the conviction that no other headquarters but ours would be capable of mastering the tasks which confronted a commander in our decisive sector of the front. My departure would have meant more than a change in the person of the Army Group
-
-Commander.
-
-Something told me that I had no right to leave my troops in the lurch. Unless, of course, some impending disaster compelled me to tender my resignation as a last resort in order to force Hitler's hand. This very contingency was shortly to arise in connexion with the fate of First
-
-Panzer Army.
-
-The meeting on the Obersalzberg afforded me an opportunity to make the following proposals to Hitler by reason of the ever-increasing gravity of the situation :
-
-(i) Immediate withdrawal of Sixth Army behind the Dniester. This formation was still situated
-
-in a salient extending well east of the Lower Bug and requiring far too many forces. The Commander of Army Group A, Field-Marshal v. Kleist, had himself recommended the same
-
-action.
-
-(ii) Rapid northward switch of the strong forces thus released by Sixth Army into the area between the Dniester and Pruth (which formed the old Rumanian frontier) in order to prevent Eighth Army from being forced away from the Dniester to the south-east.
-
-(iii) A clear decision laying down that the task of covering Rumania, either on the Dniester or the Pruth, should henceforth devolve on Army Group A in conjunction with Rumanian forces.
-
-(iv) Quick assistance for Southern Army Group's northern wing to prevent the enemy from forcing it back into the Carpathians or driving through to Lwow.
-
-This solution, I added, would initially mean putting up with a gap between Army Group A and Southern Army Group if a strong front were to be formed north of the Carpathians. Should the enemy later attempt to get through this gap to the Balkans by way of Hungary, we should be able to thrust into his rear from the north as soon as we received the reinforcements which Hitler had promised to let us have in May.
-
-Hitler, however, declined to consider any such far-reaching conceptions. He directed that Army Group A should remain on the Bug and announced only small-scale assistance for the
-
-Southern Army Group's northern wing.
-
-In a detailed appreciation of the situation sent to General Zeitzler on 22nd March, I repeated the above proposals, basing them on both the state of the fighting troops and the fact that the
-
-existing situation no longer allowed us to close the front between Eighth and First Panzer Armies. It was of the utmost importance, I said, that Army Group A — which must now take Eighth Army under command - should cover Rumania while Southern Army Group prevented an enemy advance westwards in the area north of the Carpathians. To this end it was essential that Fourth Panzer Army should be able to hold its present positions, which meant that it must at all costs be reinforced. First Panzer Army's main commitment must be to link up with Fourth Panzer Army again and prevent itself from being pushed away to the south. The Carpathian passes between the two army groups could be held by Hungarian forces.
-
-The Hungarians, who had been more or less coerced into the war, still had their eyes on Siebenbiirgen, which they had lost to Rumania in 1918. Our Rumanian and Hungarian allies were known to view each other with such mistrust that they were holding crack troops ready in their respective countries to use against one another if the need arose. After the defeats on the Don in Winter 1942-3 the two Rumanian armies, and later the Hungarian army, had been
-
-taken out of the front.
-
-However, Marshal Antonescu had again made forces available for coastal defence on the Sea
-
-of Azov. He also allowed the Rumanian formations forming part of Seventeenth Army to remain in the Kuban bridgehead and later in the Crimea. Now he was providing new armies for the defence of Rumania as part of Army Group A.
-
-After the withdrawal of their army from the battle front, the Hungarians had left only a few divisions behind in the Ukraine. It was expressly laid down that these should not become involved in any fighting with the Soviets, so that whenever the front line drew closer we had to pull them back in good time. Their duties were confined to guarding roads and railways against partisans in the communications zones.
-
-Now the situation was becoming critical for Hungary, too, and to defend the Carpathians and
-
-the area up to the Dniester we had to have the services of the intact army she had on home territory. At the same time, however, the attitude of her Government had become dubious, and on 15th March General Lindemann came down from O.K.H. with instructions for the swift disarmament of the Hungarian forces behind our front in the event of Hungary's defection. Fortunately we were spared the necessity of carrying out such a task. Following Horthy's visit to the Obersalzberg, First Hungarian Army was placed under our command on 23rd March. Each of its two corps comprised one motorized and four infantry divisions, but all of them had first to mobilize! Apart from this, the scale and quality of the Hungarians' weapons did not meet the requirements of warfare against Soviet armoured units. Nonetheless, these forces could be expected to hold their own against the Soviets in the Carpathians, as we felt that the
-
-Russians would only be able to put their armour to very limited use in the mountainous terrain. We were reinforced in this belief by the recollection of how bravely the Honved had
-
-defended the Carpathian passes against the Russians in World War I. Everything would depend, of course, on energetic leadership on the Hungarian side. In this connexion we were not encouraged by a visit paid to us on 28th March by General Lakatos (who, as far as I remember, was then Chief-of-Staff or Minister for War) and the commander of First Hungarian Army. All these two men did in response to our demands was to plead the unpreparedness of their troops (in March 1944, of all times!) and their shortage of anti-tank
-
-weapons. We could not escape the impression that certain highly-placed circles in the Hungarian Army were not disposed to defend the frontiers of their homeland with any real
-
-vigour.
-
-What could they possibly be expecting of the Russians?
-
-It had already been clear from the evening situation report sent through to me at the Obersalzberg on 19th March that the situation of Southern Army Group had taken a further
-
-turn for the worse.
-
-It appeared that Eighth Army, in spite of having thrown all available armour on to its left wing, would no longer be able to prevent the latter from being outflanked to the west and forced away in a southerly direction. Since Hitler would not agree to the solution we had suggested (i.e. that of throwing forces over to this spot from Sixth Army simultaneously with a withdrawal of the latter), all we could do was to try to persuade Marshal Antonescu to place forces at our disposal even at this early stage in order to prolong Eighth Army's front to the north-west. In point of fact the Marshal had only envisaged using them to defend the Pruth.
-
-Apart from this aggravation of Eighth Army's position, an even more ominous development
-
-occurred on the Army Group's northern wing.
-
-Up here, having been unable to maintain its right wing on the Bug, First Panzer Army now held a front facing north-east and extending roughly from the Dniester (north-west of Mogilev-Podolsk) to the Zbrucz, which formed the frontier with Poland.
-
-Further west, as has already been noted, Fourth Panzer Army had temporarily restored the situation east of Tarnopol by a counter- attack with some newly-arrived divisions.
-
-On 20th March, however, after committing two tank armies (First and Fourth) for this purpose, the enemy had achieved a breakthrough on both sides of the inter-army boundary and headed southwards in the direction of the Upper Dniester. On 23rd March the spearheads
-
-of First and Fourth Tank Armies were already approaching the Dniester crossings north of Czernowitz and south of Kamenec-Podolsk. This put the enemy squarely across First Panzer Army's lines of communication. The moment the danger became apparent, the Army Group had ordered First Panzer Army to take its front back on to a shortened line in order to acquire forces with which to fight its rear free. The army had also been given control of a group from Fourth Panzer Army commanded by General Mauss which had continued to stand like a solitary pillar in the rear of First Panzer Army after everything else in that area had been driven away by the two enemy armies. The task of General Mauss's force was to halt the main body of the enemy behind the armoured spearheads, thereby cutting the latter off from their
-
-supplies.
-
-Obviously these measures could not restore the situation on the Army Group's northern wing.
-
-Although, for the moment, the enemy had nothing but armour straddling the communications deep in First Panzer Army's rear (as a result of which its headquarters had already arranged for an airlift), there was every indication that the army would shortly be surrounded in the fullest sense of the word. If a front of any durability were still to be established north of the Carpathians, it was imperative that First Panzer Army be extricated forthwith.
-
-On 23rd March the Army Group had asked O.K.H. for the speedy provision of forces to free First Panzer Army's rear communications. (These, we considered, could be released from Hungary, which had meanwhile been occupied.)
-
-On 24th March we received an answer to the effect that First Panzer Army was not only to hold its present extended front but also to prolong it as far as Tarnopol in the west, as well as
-
-to clear its communications zone of the enemy.
-
-Thereupon the Army Group reported at noon the same day that it would order First Panzer Army to break out to the west if it did not receive a directive appropriate to its earlier request
-
-by 1500 hours.
-
-At 1600 hours we received the Solomon-like reply that the Fiihrer agreed to the fundamental idea of First Panzer Army's clearing its communications to the west but still insisted that it should mainly continue to hold the present front between the Dniester and Tarnopol.
-
-Where the army was to find the forces to drive west and clear its communications zone of the enemy was quite beyond us. It was exactly the same as at Stalingrad in December 1942, when
-
-Hitler had likewise been ready to let Sixth Army attempt to break-out in the direction of Fourth Panzer Army. In that case, too, he had demanded the simultaneous retention of the
-
-city, which simply meant that Sixth Army could not assemble any forces for a break-out.
-
-When I rang up General Zeitzler to point out once again how utterly impossible Hitler's demand was, he replied that the latter just did not grasp the full gravity of the situation. Nevertheless, I still received a summons late that evening to report to General Headquarters
-
-the following day.
-
-Concurrently with this controversy, another was going on between myself and the Commander of First Panzer Army, Colonel-General Hube.
-
-[Hube, a one-armed infantryman of World War I, took over this command from Colonel-General Mackensen in October 1943 when the latter was given an army in Italy. Earlier on he had commanded a panzer corps at Stalingrad. He was killed in an air crash in 1944. Tr,]
-
-While Hube agreed with us that First Panzer Army's situation had become untenable and that it must without fail evade the encirclement which now threatened it, he did not want it to break through to the west but to be taken back southwards over the Dniester.
-
-This was certainly the easier course at that particular moment. If the army took the western route it would have to fight its way to freedom against two Soviet tank armies, whereas at present it could escape across the Dniester without becoming involved in any really serious
-
-fighting.
-
-I still could not accept Colonel-General Hiibe's view, however. First of all, it was indispensable that First Panzer Army should re-establish contact with Fourth Panzer Army in the west. How else could the enemy be prevented from breaking through to Galicia north of the Carpathians ? The best that could happen if the army took the southern route was that it would finish up being forced away into mountains. Yet even this was uncertain. Superficially,
-
-the way across the Dniester looked the less hazardous of the two. But closer examination showed that it would lead to disaster. The army possessed no bridging materials for crossing the river on a broad front. Any attempt to cross by the few secure bridges now in existence would expose it to attack from the enemy air force and cause the loss of most of the heavy
-
-equipment. Worst of all, the enemy was already advancing from the east south of the Dniester, and sooner or later First Panzer Army must become sandwiched between the latter and the two tank armies which, having just cut its rear communications, were now preparing
-
-to cross the river behind it.
-
-I therefore made it quite clear to General Hube that the Army Group would not permit his army to retire towards the south bank of the Dniester but would order a breakthrough to the west. Even before I flew to the Obersalzberg, he was given a warning order to link up initially with the group of German forces on the Zbrucz by a thrust to the west.
-
-Having taken off from Lwow early on the morning of 25th March, I reached the Berghof in
-
-time for the midday conference.
-
-In describing First Panzer Army's situation to Hitler, I emphasized that its eastern and northern fronts were under strong enemy pressure, to which the long-overtaxed divisions -particularly in view of the inadequacy of the airlift - would not be equal in the long run. In the deep western flank of the army, I added, the enemy was across its rear communications, with the spearheads of one tank army already making for the south bank of the Dniester and those of another aiming south-east at Kamenec-Podolsk in the army's rear. South of the river, too, the enemy was advancing from the east to bar the Dniester in the army's rear.
-
-In this situation, I said, there was no alternative but to strike through to the west with the army's tank formations, clear its supply lines and restore contact with Fourth Panzer Army. By such tactics it might even be possible to paralyse the supplies of the two enemy armies operating in First Panzer Army's rear. This westward thrust must obviously be covered off to the east and north-east by the army's remaining forces. Although they would not be able to do so on their present extended fronts, the army's southern wing must still remain resting on the
-
-Dniester.
-
-On no account, I said, could I agree to General Hiibe's proposal to take his army on to the southern bank of the Dniester. First, because operations made it necessary to concentrate First and Fourth Panzer Armies north of the Carpathians. Secondly, because any withdrawal to the south of the river would probably result in First Panzer Army's being encircled all over again
-
-and ultimately annihilated.
-
-The success of the proposed breakthrough, I added, would depend on a simultaneous drive by Fourth Panzer Army from the west. For this reason the latter must be reinforced immediately.
-
-Hitler replied that he was unable to release any forces for this purpose. As long as he had to expect an invasion in western Europe, he said, no formations must be taken away from that theatre. In similar vein he contended that our divisions in Hungary were indispensable there for political reasons. Furthermore, he still refused to acknowledge that a breakthrough by First Panzer Army to the west inevitably necessitated a corresponding withdrawal of its front in the
-
-east.
-
-A sharp exchange took place between Hitler and myself when he tried to hold me responsible
-
-for the unfavourable position in which Southern Army Group had landed. Some days previously I had gathered from General Zeitzler that Hitler had accused the Army Group of having frittered away the numerous forces supplied to it over a period of months. I had asked Zeitzler to tell Hitler from me that the Army Group had had no other choice but to commit these divisions in driblets, as they had only been given to us sporadically and in most cases too late. Had Hitler ever held out any prospect of our getting the strong forces we had so often demanded for our northern wing — even if only for some date in the future - or else granted us operational freedom on our southern wing, he would have had nothing to complain about today! Zeitzler had entirely agreed with me. Indeed, this very factor had done more than anything else to influence the trend of events since 'Citadel'.
-
-Now Hitler asserted that all we (i.e. the Army Group) were ever interested in doing was
-
-'playing at grand tactics'.
-
-[ Hmmer nur operiererU . Tr.]
-
-Last autumn, he said, he had been told that the Dnieper would be held. Hardly had he given his reluctant approval for us to retire behind that river when the need for a further withdrawal had been announced on account of a breakthrough at Kiev. I retorted that things had been
-
-bound to turn out that way. He was the person who had detained our forces on the southern wing to hold the Donetz and Dnieper areas instead of letting us strengthen our northern wing.
-
-Next Hitler declared that according to the Luftwaffe there were very few enemy tanks to be seen, but that whole German units were running away from them, thereby causing the front to
-
-be constantly pulled back. As the only Luftwaffe reports Hitler received came from its High Command, I assumed that Goring had once again been giving vent to his hatred for the army.
-
-I replied with some asperity that if the fighting troops could no longer hold out in some places, this must be attributed to constant overstrain, physical exhaustion and the extent to which unit strengths had dwindled away. If ever proof were needed that over-leniency was not
-
-one of our failings, it could be found in the number of senior commanders we had replaced. All of these men, I emphasized, were actually brave and experienced soldiers, but not one had been able to check the decline in the troops' powers of resistance. The fact that the two newly-
-
-drafted divisions sent to Fourth Panzer Army had now been over-run by enemy tanks was the result of inadequate training and deficient battle experience. This was another aspect which
-
-we had covered often enough in our reports.
-
-As there was nothing to be gained from all this wrangling, I sought to clinch matters by stating that I assumed we agreed on the need for First Panzer Army to concentrate its armour and break through to the west for the purpose both of regaining contact with Fourth Panzer
-
-Army and of freeing its own communications at the rear. I also assumed, I said, that the balance of the army's forces would be covering the operation to the north and east — though on what line they could do so would be seen later. The order to First Panzer Army, I insisted, must be issued by me that very same day. I reiterated that no success could be expected unless Fourth Panzer Army were put in a position to drive towards First Panzer Army from the west.
-
-Hitler, however, again rejected this demand and ordered a resumption of the talks at the evening conference. Despite the sharpness of our disagreements, by the way, he had maintained the normal courtesies throughout.
-
-After leaving the familiar conference-room with its glorious out-look towards Salzburg, I sent a message in to General Schmundt that I should like to speak to him outside. I asked him to inform Hitler that I considered it futile to remain in command of the Army Group unless he accepted my recommendations. If he could not see his way to approving my actions, I said, I wished the command of Southern Army Group to be entrusted to somebody else.
-
-That afternoon a telephone call from my Chief-of-Staff, General Busse, was put through to my quarters in Berchtesgaden. He informed me that General Hube had again made an urgent request for permission to head south across the Dniester instead of breaking through to the west. In the evening I was sent a further signal from the army describing the western breakthrough as impracticable and insisting that the correct solution was to head southwards. General Busse, who had already sent a negative reply to the first request, now asked for my final decision. I directed that the breakthrough be carried out as ordered.
-
-When I appeared at the evening conference Hitler's mood had completely changed. His opening words were approximately these: 'I have been thinking the matter over again and agree with your plan to make First Panzer Army fight its way through to the west. I have also
-
-decided- with great reluctance - to provide an SS Panzer Corps of 9 and 10 SS Panzer Divisions which we have just set up in the west, plus 100 Light and 367 Infantry Division, for
-
-Fourth Panzer Army's proposed assault group.'
-
-I reported that I had meanwhile turned down a fresh request from General Hube to break out to the south and had insisted that his army must drive west. I said I thought the thrust would succeed because the two enemy tank armies appeared to be scattering their forces in the direction of the Dniester crossings. After this my operations officer, Lieutenant-Colonel Schulze-Biittger, read out the text of my operation order to First Panzer Army.
-
-In view of the unexpected change in Hitler's attitude, I followed up with one or two ideas of my own on the future conduct of operations. Southern Army Group's task, I said, must be to erect a stable front between the Carpathians and the Pripet Marshes, and in this connexion we had ordered First Hungarian Army to assemble in the area of Stryj to guard the hilly country between the mountain range and the Upper Dniester.
-
-Eighth Army, I went on, must henceforth be under command of Army Group A, to whose lot
-
-it would fall to protect Rumania. As for the gap between the two army groups, this was something we must provisionally accept. It could be sealed off at the Carpathian passes by the
-
-forces still in Hungary.
-
-I then made the suggestion that a unified command should be constituted to cover all forces on the southern wing, including the allied armies. Having regard to the defence of Rumania, I felt it might be advisable to bring in Marshal Antonescu in conjunction with a German Chief-of-Staff Hitler, however, did not take this up, merely expressing the opinion that the Marshal
-
-would refuse for political reasons.
-
-Following this talk, which, in contrast to that held at midday, had proceeded most harmoniously, Hitler came out with us into the anteroom to inquire whether there was a meal
-
-laid on for us. With every sign of satisfaction he read me a Turkish Press comment that Germany had not acted a moment too soon in Hungary, where, it said, things had gone much
-
-further than most people supposed.
-
-Early on 26th March I flew back to the Army Group. Eighth Army had meanwhile passed
-
-under command of Army Group A.
-
-The next day I visited Fourth Panzer Army to discuss the thrust it would be delivering towards First Panzer Army with the new forces promised by Hitler. General Rauss was confident that he would make contact with the other army, although he was not entirely happy about things on his own front. Tarnopol, having previously been declared a 'stronghold' by Hitler, was surrounded. On the left wing of the army a similar fate threatened 13 Corps at
-
-Brody, but this it managed to elude.
-
-Now that Hitler had given in to our demands, however, we could confidently expect to get First Panzer Army out and concentrate it with Fourth Panzer Army north of the Carpathians. But although my success at the Obersalzberg talks on 25th March guaranteed the survival of First Panzer Army, it soon emerged that the pressure I had exerted on Hitler on that occasion had tired him of working with me any longer. The same applied in the case of Field-Marshal v. Kleist, who arrived at the Obersalzberg two days after me to get some definite action taken about withdrawing his Army Group to the Lower Dniester.
-
-On the morning of 30th March I was awakened with the startling news that Hitler's Condor aircraft, which had already picked up v. Kleist from his headquarters, would shortly land in Lwow to take the pair of us to the Obersalzberg. While I, Schulz-Biittger and my A.D.C., Stahlberg, were awaiting its arrival on Lwow airfield, my Chief-of-Staff talked to Zeitzler on the telephone. The latter revealed that Hitler - as we had already guessed - was going to relieve both Kleist and myself of our commands.
-
-On reaching Berchtesgaden, we first had a talk with General Zeitzler, as Hitler did not wish to see us until just before the evening conference. Zeitzler told us that after the last Obersalzberg talks, Goring and Himmler, and probably also Keitel, had again started agitating against me in
-
-particular. This, he thought, had probably contributed towards Hitler's decision to part company with Kleist and myself. When Hitler had informed him of his intention, he (Zeitzler) had instantly tendered his resignation on the grounds that he had always fully agreed with me and could not remain in office if I went. His request, though repeated in writing, had met with a curt refusal. This upright attitude of Zeitzler's did him great credit.
-
-In describing my last meeting with Hitler, I propose to quote an entry I made in my diary the following day, while my memory was still fresh.
-
-'Saw the Fuhrer in the evening. After handing me the Swords to my Knight's Cross, he announced that he had decided to place the Army Group in other hands (Model's), as
-
-the time for grand-style operations in the east, for which I had been particularly qualified, was now past. All that counted now, he said, was to cling stubbornly to what we held. This new type of leadership must be inaugurated under a new name and a new symbol. Hence the change in the command of the Army Group, whose name he also
-
-intended to alter.
-
-'He expressly wished to state that there was not the least question of a crisis of confidence between us, as had previously been the case with other field-marshals (whose names he mentioned). He still had the utmost faith in me: indeed, far from ever having had any criticism of the way the Army Group was led, he had always been in complete agreement with it. At the same time, however, he realized that the Army Group had had an excessive burden of responsibility to bear for a period of one and a half years and that it now appeared in need of a rest. He knew me to be one of his most capable commanders and for this reason intended to give me another appointment before long. At the moment, however, there was no further scope for me in the east. For the tasks now pending there he considered Model, who had stopped a difficult retreat in Northern Army Group, to be especially suitable. After once again assuring me that there was no crisis of confidence between us, the Fuhrer added that he would never forget that prior to the western campaign I had been the only man to advise him of the possibility of deciding the whole issue in the west by a breakthrough at Sedan.
-
-'In reply, I told the Fuhrer that I naturally could not object if he thought he would be able to work better with another army group commander in the present situation. Furthermore, I did not think any great harm would be done by my handing over to Model now, as the decisions regarding the release of First Panzer Army had already been taken - partly by Hitler's decision to bring over the SS Panzer Corps from the west and partly by my order to the army to fight its way out north of the Dniester. By and large, I said, this largely concluded what the Army Group had to do at the moment. Its only remaining commitment was to assist the fighting troops and give them moral support. That Model would certainly be able to do.
-
-'The Fuhrer emphatically agreed that Model was a particularly suitable choice in this
-
-respect, as he would "dash round the divisions" and get the very utmost out of the troops. To this I retorted that the Army Group's divisions had long been giving of their best under my command and that no one else could get them to give anything more.'
-
-Whatever one may think of Hitler's various remarks to me at what was destined to be our last meeting, he had at any rate chosen to conduct it on decent lines. This was due at least in part to Zeitzler's insistence that Hitler owed it to Kleist and myself to inform us in person of his motives for relieving us of our commands. That Goring and Himmler had long been working for my removal I was well aware. Yet the main reason for Hitler's decision was probably the
-
-fact that he had had to give in to me on 25th March when he had already rejected my proposals in front of a large audience. As he shook hands with me before I left, I said : 'I trust, mein Fuhrer, that the step you have taken today will not have any untoward effects.'
-
-After me, Field-Marshal v. Kleist was dismissed in similar fashion. As we left the Berghof, our successors were already waiting at the door — Colonel-General Model, who was to take over Southern Army Group (now re-designated North Ukrainian Army Group), and General
-
-Schorner, who was to replace v. Kleist.
-
-The next morning I flew back to Lwow in my Ju 52. My successor was grounded in Cracow by a snowstorm, as a result of which I was able to issue a last Army Group order ensuring the co-operation of our two panzer armies in the breakthrough operation which had now started. On the afternoon of that day I visited Fourth Panzer Army to discuss the employment of the SS Panzer Corps with the army commander and also to say goodbye. My farewells to the other army commanders had to be said in writing.
-
-On the afternoon of 2nd April I handed over to my successor, who had meanwhile arrived in Lwow. As far as anyone could judge, the measures to extricate First Panzer Army and to
-
-bring about the concentration of both armies - so decisive for the overall situation - between the Carpathians and the Pripet Marshes were guaranteed, even if they were still to involve
-
-some bitter fighting.
-
-On 5th April Fourth Panzer Army duly began its thrust to the east, and by 9th April First
-
-Panzer Army was freed.
-
-I still had to take leave of my staff, and was not alone in finding the parting a hard one. These comrades-in-arms had accompanied me through the victorious Crimean battles; they had lived
-
-to see the eventual success of that arduous winter campaign of 1942-3; and they had stood beside me throughout the critical months of 1943 and 1944 - It was deeply gratifying to know how close our mutual trust had grown in those years and what genuine sorrow they felt now that our work together was finished. I feel entitled to say the same of the army commanders
-
-who had served under me.
-
-My staff were thunderstruck by my dismissal. My closest collaborators, the Chief-of-Staff, the Chief of Operations, the Assistant Quartermaster-General and the Assistant Adjutant-General, all put in for postings. Their requests were duly granted, though General Busse had to stay on
-
-for some time to preserve the continuity.
-
-As far as I personally was concerned, my removal was a release from responsibility which it had become increasingly difficult to bear under the conditions which I have described.
-
-What had weighed most heavily of all on my staff and myself - to say nothing of the commanders and staffs of our subordinate armies - was the perpetual struggle we had had to wage with the Supreme Command to get operational necessities recognized.
-
-Our repeated demands for the establishment of a clear focal point of effort at the decisive spot in this campaign (i.e. on the northern wing of the Army Group) and for operational freedom
-
-of movement in general (more particularly for our southern wing) were merely outward manifestations of the struggle. The basic issue was between two incompatible conceptions of
-
-strategy and grand tactics :
-
-(i) Hitler'?,, which arose from the personal characteristics and opinions which have already been fully discussed in the chapter dealing with him as a Supreme Commander, and
-
-(ii) that of Southern Army Group Headquarters, which was based on the traditional principles
-
-and outlook of the German General Staff.
-
-On one side we had the conceptions of a dictator who believed in the power of his will not only to nail down his armies wherever they might be but even to hold the enemy at bay. The same dictator, however, who fought shy of risks because of their inherent threat to his prestige and who, for all his talent, lacked the groundwork of real military ability.
-
-On the other side stood the views of military leaders who by virtue of their education and training still firmly believed that warfare was an art in which clarity of appreciation and boldness of decision constituted the essential elements. An art which could find success only in mobile operations, because it was only in these that the superiority of German leadership and German fighting troops could attain full effect.
-
-It is only fair to add, however, that recourse to the kind of operations which the Army Group had in mind would have compelled Hitler to accept considerable risks in other theatres of war and other sectors of the Eastern Front, as well as serious drawbacks in the political and economic spheres. Nonetheless, it would probably have been the only way to exhaust the Soviet Union's offensive power in 1943, and thus to pave the way to a political stalemate in
-
-the east.
-
-Even if the Army Group was largely unsuccessful in its struggle for a different operational policy, and therefore deceived in its belief that it could master the enemy, it still had one achievement to its credit. The enemy had not succeeded in encircling the whole southern wing, which the operational situation and his tremendous superiority offered him every prospect of doing. Southern Army Group, though bleeding from a thousand wounds, had
-
-
-
-
-
-maintained itself in the field!
-
-The greatest satisfaction of all for my staff and myself was that in this unequal struggle with a far superior opponent, as indeed with a Supreme Command which would not recognize what was clearly forseeable, we had still been able to prevent any forces under our command from suffering the fate of Stalingrad. At Cherkassy, and now with First Panzer Army, it was still possible to deprive the enemy of the prey which he believed to have safely in his grasp.
-
-What made it hard for me to hand over my command was solely the fact that I could no longer be of assistance to the troops who had always trusted in the Army Group's leadership.
-
-I left our headquarters in Lwow on 3rd April 1944. All my faithful comrades had come to the station to see me off. The train had already begun moving when someone called out to me. It was my personal pilot, Lieutenant Langer - the man who had flown me safely through every imaginable kind of weather. Now he had volunteered for the fighter arm, in whose ranks he was soon to give his life. For me his words were a last salute from my comrades.
-
-'Herr Feldmarschall,' he cried, 'today we took the Crimean Shield - our victory sign - off the
-
-aircraft!'
-
-APPENDIX I
-
-Gumrak Station From Commander, Sixth Army. 26th Nov. 42
-
-(written by hand of officer)
-
-Field-Marshal v. Manstein, Commander, Don Army Group.
-
-Dear Field-Marshal,
-
-I beg to acknowledge your signal of 24th November and to thank you for the help you
-
-propose giving.
-
-To assist you in forming an appreciation of my position, I am taking the liberty to report the following: (1) When the large-scale Russian attacks on the army's right- and left-hand neighbours started on 19th November, both my flanks were exposed within two days and quickly penetrated by Soviet mobile forces. When our own mobile formations (14 Pz. Corps) were pulled westwards across the Don, their spearheads ran into superior enemy forces west of the river. This put them in an extremely difficult situation, particularly as their movement was restricted by fuel shortage. Simultaneously the enemy moved into the rear of 11 Corps, which in accordance with orders had fully maintained its positions towards the north. Since it was no longer possible to take any forces out of the front to ward off this danger, I was left with no alternative but to fold 11 Corps' left wing back to the south and subsequently to have the Corps fall back initially into a bridgehead west of the Don in order that the elements on that side of the river were not split off from the main body.
-
-While these measures were being carried out, an order was received from the Fiihrer calling for an attack on Dobrinskaya with 14 Pz. Corps' left wing. This order was overtaken by events
-
-and could not be complied with.
-
-(2) Early on 22nd November 4 Corps, which had hitherto belonged to Fourth Pz. Army, came under my command. Its right wing was falling back from south to north through Buzinovka,
-
-which meant that the entire south and south-west flank was laid open. To prevent the Russians from marching unchecked through the army's rear towards Stalingrad, I had no choice but to pull forces out of the city and the front in the north. There was a possibility that these would arrive in time, whereas they would not do so if drawn from the area west of the Don.
-
-With the forces supplied by us from the Stalingrad front 4 Corps succeeded in establishing a
-
-weak southern front with its western wing at Marinovka. This, however, was penetrated several times on 23rd November, and the outcome is still uncertain. On the afternoon of 23rd November strong enemy armour, including 100 tanks alone, was identified in the area west of Marinovka. In the whole of the area between Marinovka and the Don there were nothing but flimsy German protective screens. The way to Stalingrad lay open to the Russian tanks and motorized forces, as did that to the Don bridge in the direction of Pestkovatka.
-
-For the past thirty-six hours I had received no orders or information from a higher level. In a few hours I was liable to be confronted with the following situation:
-
-(a) Either I must remain in position on my western and northern fronts and very soon see the army front rolled up from behind (in which case I should formally be complying with the
-
-orders issued to me), or else
-
-(b) I must make the only possible decision and turn with all my might on the enemy who was about to stab the army from behind. In the latter event, clearly, the eastern and northern fronts
-
-can no longer be held and it can only be a matter of breaking through to the south-west.
-
-In case of (b) I should admittedly be doing justice to the situation but should also — for the second time — be guilty of disobeying an order.
-
-(3) In this difficult situation I sent the Fiihrer a signal asking for freedom to take such a final decision if it should become necessary. I wanted to have this authority in order to guard against issuing the only possible order in that situation too late.
-
-I have no means of proving that I should only issue such an order in an extreme emergency and can only ask you to accept my word for this.
-
-I have received no direct reply to this signal. On the other hand, we have today received the two attached O.K.H. signals (enclosures 1 and 2) which restrict me further still.
-
-[ No longer available. Author.]
-
-In this connexion I might note that both I and all my formation commanders are firmly resolved to hold out to the last. However, in view of my responsibility to the Fiihrer for the
-
-odd 300,000 men entrusted to my charge, it will be appreciated why I have asked for permission to take appropriate action in the last extreme. The situation I have indicated can,
-
-incidentally, arise again any day or hour.
-
-Today's situation is being communicated to you by map. Even though it has been possible to
-
-move more forces up to the south-western front, the position there is still strained. The southern front (4 Corps) has consolidated somewhat and beaten off heavy enemy infantry and armoured assaults throughout the last few days, though not without considerable losses to ourselves and a heavy expenditure of ammunition.
-
-The Stalingrad front is from day to day resisting strong enemy pressure. On the northern front there is trouble in the north-east quarter (94 Inf. Div.) and on the western wing (76 Inf. Div.). As I see it, the main assaults on the northern front have still to come, as up here the enemy has roads and railways with which to bring up reinforcements. My problem in the next few days will be to get reinforcements to the northern front from the west.
-
-The airlift of the last three days has brought only a fraction of the calculated minimum requirement (600 tons = 300 Ju daily). In the very next few days supplies can lead to a crisis
-
-of the utmost gravity.
-
-I still believe, however, that the army can hold out for a time. On the other hand — even if anything like a corridor is cut through to me — it is still not possible to tell whether the daily
-
-increasing weakness of the army, combined with the lack of accommodation and wood for constructional and heating purposes, will allow the area around Stalingrad to be held for any
-
-length of time.
-
-As I am being daily bombarded with numerous understandable inquiries about the future, I should be grateful if I could be provided with more information than hitherto in order to
-
-increase the confidence of my men.
-
-Allow me to say, Herr Feldmarschall, that I regard your leadership as a guarantee that everything possible is being done to assist Sixth Army. For their own part, my commanders and gallant troops will join me in doing everything to justify your trust.
-
-Yours etc. PAULUS
-
-P.S. In the circumstances I hope you will overlook the inadequacy of the paper and the fact
-
-that this letter is in longhand.
-
-APPENDIX II
-
-TOP SECRET
-
-By Hand of Officer Only 9th Dec. 42
-
-To: Chief-of-Staff O.K.H. Operations Branch O.K.H.
-
-APPRECIATION OF SITUATION
-
-1. Information about the Enemy. Enemy has committed further strong forces against this Army Group in last ten days. These consist primarily of the reserves expected in our appreciation of 28th Nov. but also include additional forces. Total formations identified by
-
-Army Group are:
-
-86 rifle divisions
-
-17 rifle brigades 54 tank brigades 14 motorized brigades 11 cavalry divisions,
-
-i.e. 182 formations. In addition to these, we have identified thirteen independent tank regiments, tank battalions and anti-tank brigades.
-
-Following is detailed break-down of enemy forces:
-
-(a) Surrounding Stalingrad fortress area:
-
-Volga front. - Sixty-Second Army (eight rifle divisions, three rifle brigades and one tank brigade up; two rifle, two tank and two motorized brigades in reserve).
-
-Northern front. — Sixty-Sixth and Twenty-Fourth Armies (seventeen rifle divisions and one motorized brigade up; four rifle and four tank brigades in reserve).
-
-Western front. - Sixty-Fifth and Twenty-First Armies (ten rifle divisions, seven tank and two motorized brigades, five tank regiments and one anti-tank brigade up; four tank brigades in
-
-reserve).
-
-Southern front. — Fifty-Seventh and Sixty-Fourth Armies (seven rifle divisions, six rifle, six tank and six motorized brigades and two tank regiments up; apparently two rifle divisions, two rifle, five tank and one motorized brigade and five motorized regiments in reserve).
-
-In the last ten days the enemy had attacked the northern, western and southern fronts in turn. His main pressure is undoubtedly directed against the western front, whereas he is relatively
-
-weak on the southern one.
-
-(b) Soviet assault on Stalingrad is being covered to the south-west [ i.e. West of the Don.
-
-Author.] - on the Chir front - by Fifth Tank Army (twelve rifle divisions, five cavalry divisions, two motorized cavalry divisions, four tank brigades, one tank regiment and two motorized brigades up; two rifle divisions, four tank brigades and one motorized brigade in reserve). Immediately to the north, facing the centre and left wing of the Hollidt Group, are
-
-three more rifle divisions.
-
-Covering the assault in a southerly direction, east of the Don, is Fifty-First Army (four rifle and four cavalry divisions, one tank and one motorized brigade up; one tank and one rifle brigade in reserve). Reason for concentration of further motorized forces behind this front is
-
-still not clear.
-
-(c) Reconnaissance during last few days has revealed unloading operations east of Stalingrad and troop movements across the Don to the south, past the eastern front of the Hollidt Group.
-
-While the Soviet covering front east of the Don has remained largely passive, probably because the concentration of motorized forces to the rear is not yet complete, the enemy has
-
-attacked across the Chir in strength on the Chir bridgehead and west of the Chir railway station. On account of the north-to-south movements in front of the Hollidt Group we must expect this attack to be extended further westwards.
-
-(d) In the fighting to date the enemy has undoubtedly lost a considerable amount of his armour, but hitherto he has been able to fill the gaps by bringing up new tank regiments etc. The offensive capacity of his infantry remains low; the effect of his artillery has considerably increased, notably on the western front of Stalingrad.
-
-2. Information About Own Troops.
-
-(a) Sixth Army. So far the army has beaten off all enemy assaults, though at the cost of considerable losses. Special report is being submitted on its present fighting capacity. The following were the holdings of the main types of ammunition on 5th December 42, given in
-
-percentages of primary issues:
-
-[A 'primary issue' amounted to approximately the amount required for three days' continuous
-
-fighting. Author.]
-
-5-cm. vehicle-drawn gun 59% 7.5-cm. " " ' 39.4% 8-cm. mortar .... 30.8% Light infantry gun . . 28% Heavy infantry gun . . 25%
-
-15-cm. mortar . ... 25% Light howitzer .... 34% 10-cm. cannon 19 . . 21.6% Heavy howitzer . . . 36%
-
-Present ration stocks, with bread cut to 200 gr., will last till about 14 Dec. for bread, 20 Dec.
-
-for midday meal and 19 Dec. for evening meal.
-
-Despite exemplary efforts of the Luftwaffe, biggest airlift attained to date was 300 tons on 7th Dec. owing to bad weather. Of 188 aircraft used that day, two were shot down and nine failed to return. On all other days tonnage lifted varied between 25 tons (27th Nov.) and 150 tons (8th Dec), at a daily minimum requirement of 400 tons.
-
-(b) Fourth Pz. Army. Assembly of 57 Pz. Corps not materially completed until 10th Dec, instead of 3rd Dec. as hoped, owing to bogging-down of wheeled elements of 23 Pz. Div. 48 Pz. Corps (336 Inf. Div., 11 Pz. Div. and 3 Luftwaffe Fd. Div.) had initially to be thrown in on the Chir front to restore situation there. Battle still in progress.
-
-(c) Rumanian Formations. Fourth Rumanian Army, lying north of 16 Mot. Inf. Div., at present standing fast. It cannot, however, be expected to withstand an attack of any strength from the north, particularly as it has been directed by Marshal Antonescu to avoid being cut off. In the case of Third Rumanian Army, apart from reasonably intact 1 Rum. Corps forming part of the Hollidt Group, the fighting power of the remnants of the Rumanian divisions committed forward amounts to no more than one or two battalions. No artillery worth mentioning any longer exists. Because of weapon shortage, reconstitution of formations in rear areas has produced no tangible results. It must also be faced that Rumanian formation staffs are not acting with necessary energy. They attribute their defeat to 'force majeure', in which they include the German Command. For the rest, entire front of Third Rum. Army is held by various types of emergency unit. In view of the absence of artillery and anti-tank guns there must be no illusions about ability of this front to hold out for any length of time should enemy attack it in strength, particularly with armoured forces. This motley collection of forces, which have nothing to hold them together from within, must shortly be relieved by proper combat units, since neither their composition nor their combat efficiency qualify them for a protracted spell at the front. Apart from this, those of them formed from specialist units from communications zones cannot be withheld from their proper functions without prejudicing the overall supply position.
-
-3. Own Intentions. Army Group intends, as already reported, to attack as early as possible with Fourth Pz. Army in order to make contact with Sixth Army. For the time being, however,
-
-soft state of ground precludes any advance by 57 Pz. Corps. Whether divisions of 48 Pz. Corps can be fully released on the Chir front by 11 Dec. is still uncertain. It will be necessary to bring 17 Pz. Div. into the attack, and orders have been given to this effect. As enemy must thus be expected shortly to extend his attacks on Chir front in general direction of Morosoyskaya, Hollidt Group must co-operate to relieve pressure on this front, either by attacking in general direction of Perelasovsky or by handing over one German division.
-
-4. General Conclusions. The weight of forces brought in by enemy against Don Army Group makes it clear that he sees his main point of effort here. He will carry on the struggle in this sector as long as possible by bringing over forces from other fronts.
-
-Regardless of how Sixth Army's own position may develop in the immediate future, therefore, it will still be necessary to maintain a steady flow of reinforcements to Don Army Group. Of decisive importance in this connexion is that everything be done to increase their rate of arrival. At the present rate we shall always lag behind the Russians. I further consider it essential that everything be done to restore the usefulness of the Rumanian Army, particularly as regards its will to fight and its confidence in the German Command.
-
-As to whether Sixth Army should be taken out of the pocket once contact is re-established, I consider that the following factors must be carefully weighed:
-
-(a) Should the army be left in the fortress area, it is entirely possible that the Russians will tie themselves down here and gradually fritter away their manpower in useless assaults. At the same time it must be faced that Sixth Army is having to live and fight under particularly unfavourable conditions in the fortress and that if the present ratio of strengths remains in force much longer, contact may well be lost again. At best it must be assumed that there will
-
-be no decisive change in the next few weeks.
-
-(b) On the other hand, one must also allow for the possibility that the Russians will take the proper action and, while maintaining their encirclement of Stalingrad, launch strong attacks against Third and Fourth Rumanian Armies with Rostov as their target. If this happens our
-
-most vital forces will be operationally immobilised in the fortress area or tied down to keeping the link with it open, whereas the Russians will have freedom of action along the whole of the Army Group's remaining front. To maintain this situation throughout the winter
-
-strikes me as inexpedient.
-
-(c) The corollary of any decision to keep Sixth Army at Stalingrad must therefore be the decision to fight this battle through to a completely decisive ending. This will necessitate:
-
-(i) providing Sixth Army with extra forces to maintain its defensive capacity, in the form of Luftwaffe field divisions which would be incorporated in its existing formations.
-
-(ii) Initial reinforcement of the adjoining fronts of Third and Fourth Rumanian Armies by German forces, as these fronts cannot be guaranteed to hold with Rumanian remnants and ad
-
-hoc units.
-
-(iii) launching a decisive offensive as soon as our own forces permit.
-
-Whether the forces required can be made available and brought into action at short notice is
-
-not for me to judge.
-
-v. MANSTEIN
-
-Field-Marshal
-
-Commanding Don Army Group
-
-APPENDIX III
-
-By Hand of Officer Only 3 Copies Issued
-
-Copy Nr. 3
-
-TOP SECRET 19th Dec., 1435 hrs.
-
-To: Chief-of-Staffofthe Army for immediate submission to the Fuhrer
-
-In conjunction with developments in Army Group B, and in consequence of the fact that these have stopped the arrival of any further forces, the situation of Don Army Group is now such that Sixth Army cannot be expected to be relieved in the foreseeable future.
-
-Since an airlift is not possible for reasons of weather and the inadequate forces available (which means, as four weeks' encirclement have shown, that the Army cannot be maintained in the fortress area), and as 57 Pz. Corps by itself obviously cannot make contact with Sixth Army on the ground, let alone keep a corridor open, I now consider a break-out to the southwest to be the last possible means of preserving at least the bulk of the troops and the still
-
-mobile elements of Sixth Army.
-
-The breakthrough, the first aim of which must be to make contact with 57 Pz. Corps on about the Yerik Myshkova, can only take place by forcing a gradual shift of Sixth Army towards the south-west and giving up ground sector by sector in the north of the fortress area as this
-
-movement progresses.
-
-As long as this operation is in progress it will be essential to safeguard the airlift by adequate
-
-fighter and bomber cover.
-
-As there are signs even now of enemy pressure on the northern wing of Fourth Rumanian Army, it is also vital that forces be quickly brought up from the Caucasus front to safeguard the execution of 57 Pz. Corps' task by protection of its deep right flank.
-
-In the event of delay, 57 Pz. Corps is likely to become stuck on or north of the Myshkova or
-
-else tied down by attacks in its right flank.
-
-At the same time Sixth Army needs a few days to regroup and stock up with fuel before
-
-moving off.
-
-Rations in the pocket will last till 21 Dec. Troops already badly weakened (only 200 gr. a day for last fortnight). According to Sixth Army, most of the horses have already been put out of
-
-action by exhaustion or slaughtered for food.
-
-v. MANSTEIN Field-Marshal Commanding Don Army Group
-
-APPENDIX IV
-
-TOP SECRET 5 Copies Issued
-
-By Hand of Officer Only Copy No. 4
-
-19th Dec., 1800 hrs.
-
-To: Sixth Army Fourth Pz. Army
-
-1. Fourth Pz. Army (57 Pz. Corps) has beaten enemy in area Verkhnye Kimsky and reached Myshkova at Nizh Kimsky. Attack launched against strong enemy grouping in area Kamenka
-
-and north of here. Hard fighting still expected.
-
-Situation on Chir front does not permit forces west of Don to advance on Kalach. Chirskaya
-
-in enemy hands.
-
-2. Sixth Army will begin 'Winter Tempest' attack earliest possible. Aim will be to link up with 57 Pz. Corps, if necessary by advancing beyond Donskaya Tsaritsa, for purpose of getting
-
-convoy through.
-
-3. Development of situation may make it necessary to extend task in para 2 up to Myshkova. Code-word 'Thunderclap'. In this case the aim must likewise be to establish contact with 57 Pz. Corps in order to get convoy through, and then, by covering flanks on the lower Karpovka, to bring army forward towards the Myshkova simultaneously with sector-by-sector
-
-evacuation of fortress area.
-
-It is essential that Operation 'Thunderclap' should immediately follow 'Winter Tempest' attack. Supply by air must be carried out in the main without advance stockpiling. Important
-
-to hold Pitomnik airstrip as long as possible.
-
-All weapons and artillery which can be moved, primarily guns needed for the fighting and also any weapons and equipment which are difficult to replace, will be taken along. To this end they will be moved in good time to the south-west of the pocket.
-
-4. All necessary preparations to be made for action laid down in para. 3. Only to be implemented on express issue of'Thunderclap'.
-
-5. Report day and time on which you can attack in accordance with para. 2.
-
-v. MANSTEIN Field-Marshal
-
-Copy No. 1: Signal Office File „ „ 2: Air Fleet 4 „ „ 3: Q Branch „ „ 4: War Diary „ „ 5: Draft
-
-MILITARY CAREER
-
-ERICH v. MANSTEIN was born in Berlin on 24th November 1887. His original surname
-
-(which he is still entitled to use with the one under which he is better known) was v. Lewinski, his father being Eduard v. Lewinski, an artillery officer who ultimately rose to command an army corps. The name v. Manstein was acquired after Erich v. Lewinski's adoption by General v. Manstein, his mother's brother-in-law.
-
-Erich v. Manstein went to school in Strasbourg and then spent six years in the Cadet Corps. After his passing-out in 1906 he entered the 3rd Regiment of Footguards. In 1913-14 he was
-
-at the War Academy.
-
-On the outbreak of war he first served as adjutant of the 2nd Reserve Regiment of Guards in
-
-Belgium, East Prussia and South Poland. From May 1915, after being badly wounded in November 1914, he successively served on the staffs of armies commanded by Generals v. Gallwitz and v. Below. In the summer of 1915 he took part in the offensive in North Poland, and from the autumn of the same year until the following spring he saw fighting in Serbia. In the spring of 1917 he was at Verdun, in the Battle of the Somme and in the fighting on the Aisne. That autumn he was made G.S.O. I of 4 Cavalry Division in Courland, and in May 1918 he held the same appointment with 213 Infantry Division in the west. He took part in the Rheims offensives in May and July 1918 and continued to serve in France until the Armistice.
-
-During the post-war years v. Manstein held various staff and regimental appointments. In 1934 he became Chief-of-Staff of III Military Region in Berlin, and in 1935 Chief of the Operations Branch of the General Staff of the Army. By October 1936 he had risen tc major-general and become Oberquartiermeister I, which made him deputy to General Beck, the
-
-Chief of the General Staff.
-
-In connexion with the dismissal of Baron v. Fritsch in February 1938 he was relieved of his staff appointment and transferred to Liegnitz to command 18 Division. The same year he took part in the occupation of the Sudetenland as Chief-of-Staff of an army.
-
-On general mobilization in 1939 v. Manstein became Chief-of-Staff of v. Rundstedt's Southern Army Group, with which he went through the campaign in Poland. In October 1939, in the same capacity, he went with v. Rundstedt to Army Group A on the Western Front. It was here that he became involved in the struggle for an offensive plan which was only adopted by Hitler after v. Manstein had been posted away from the Army Group to command a corps. He led this corps throughout the campaign in the west and was awarded the Knight's
-
-Cross.
-
-After the end of the fighting in France, v. Manstein was kept busy for a time training his corps
-
-for the invasion of Britain.
-
-In March 1941 he was made commander of 56 Panzer Corps and as such led an armoured
-
-dash from East Prussia to Lake Urnen when Germany attacked the Soviet Union. In September of the same year he was given command of Eleventh Army, at the head of which he conquered the Crimea and smashed the Russian counterlandings at Kerch. On the fall of
-
-Sevastopol he was promoted Field-Marshal.
-
-In August 1942 v. Manstein was entrusted with the task of taking Leningrad, but this was never carried out. He was, nonetheless, responsible for the destruction of a Soviet Army on
-
-Lake Ladoga.
-
-In 1942, after the Russians had broken through on both sides of Stalingrad and completely surrounded the Sixth Army there, v. Manstein assumed command of Don (later Southern) Army Group. After a vain attempt to free Sixth Army, he directed the heavy fighting to save the German southern wing and finally won a big victory at Kharkov in March 1943. For this he was awarded the Oak Leaves to his Knight's Cross.
-
-In summer 1943 v. Manstein took part in the last German offensive in the east: Operation 'Citadel'. After this had been called off, he took Southern Army Group through a number of difficult defensive battles, including the withdrawal behind the Dnieper. At the end of March 1944, when the German armies were already back on the Polish frontier, v. Manstein was relieved of his command as the result of his differences with Hitler over the conduct of operations in the east. Though awarded the Swords to the Knight's Cross in recognition of his
-
-services, he was not employed again.
-
-GLOSSARY OF MILITARY TERMS
-
-GERMAN
-
-ASSAULT GUN Self-propelled (SP) gun with built-in armour mounted on Mark III tank chassis. Intended for close-support role with infantry. (See 'regiment'.)
-
-BRIGADE Roughly equivalent to British independent brigade group or U.S. regimental combat team. (The German equivalent of the British 'brigade' was a 'regiment'—see below.)
-
-MOTORIZED DIVISION Composed of motorized infantry—later redesignated Panzer
-
-Grenadier Division.
-
-O.K.W. Oberkommando der Wehrmacht —Supreme Command of the Armed Forces.
-
-O.K.H. Oberkommando des Heeres —Army High Command.
-
-O. K . L. Oberkommando der Luftwaffe —High Command of the Air Force.
-
-O. K. M . Oberkommando der Kriegsmarine —High Command of the Navy.
-
-PANZER CORPS Army corps consisting of panzer (armoured) divisions.
-
-PANZER GRENADIER DIVISION See 'motorized division* above.
-
-REGIMENT An infantry regiment consisted of 14 companies—usually nine rifle, three machine-gun, one assault-gun, and one anti-tank.
-
-RUSSIAN
-
-'FRONT' Approximately equivalent to an army group.
-
-MECHANIZED CORPS Composed of three mechanized brigades and one tank brigade, plus artillery and special weapons. Establishment of a mechanized corps was 231 tanks and/or SP
-
-guns.
-
-TANK CORPS Composed of three tank brigades and one motorized rifle brigade, plus artillery and special weapons. Establishment of tank corps was 231 tanks and SPs.
-
-RIFLE DIVISION Roughly equivalent to a German infantry division.
-
-
-
-
-
-H.Q. at Vinnitsa
-
-
-
-
-
-With Baron v. Ricluhofen at Keren, May 1942 (author furthest left)
-
-
-
-
-
-Russian Battery at entrance to Severnaya Bay
-
-
-
-
-
-Southern coastline in the Crimea
-
-
-
-
-
-Maxim Gorki I
-
-At H.Q. 50 Division in the Crimea
-
-
-
-
-
-With Col-Gen. Dumitrescu
-
-With members of the German minority in Siebenbiirgen, accompanied by his son, Gero (standing beside author), and Lt. Specht (back to camera)
-
-Kursk
-
-bogodukhov
-
-
-
-
-
-KHARKOV
-
-I jMobile reservejpfr \M3 armies)^
-
-^KREMENCHUO _ . ■/
-
-w oArmies vww _ 20.10
-
-IVhere t/W<? is no space /br t/ie tactical symbol,corps are denoted by numbers only.
-
-Positions held by Sixth Army before So* breakthrough 28.10 +3 Major Soviet atta.cks
-
-y » Counter-attacks by German armour ^ Approx. German positions on ^ 70.//. 43
-
-Map 22. 'Hie Fight fur
-
-the Dn
-
-Bend.
-
-
-
-
-
-Map 24. Developments on Southern Wing of Eastern Front at end of
-
-March 1944.
-
-Kowel
-
-
-
-
-
-'JMAUTI
-
-SvnttofFensins Stsignedtaadaff' firstft Army m Dnieper bend-DtcA3/Jan.i4 Soviet offensive against forth h.hrmyJt a/tempted breakthrough towards Uman. hrmtn (mmtnstnltes inanaef4difi Am/XMMUmanfainniniif f*M). Soviet breakthrough to form Cherkassy pocket -beginning ef Fib 44
-
-^_ German relief thru* Jt break-out horn
-
-pocket - mid-Feb.H [JHorM Soviet offensive tmuds Rome-teaming German positions tn 8 Feb. 44
-
-200
-
-—i
-
-Map 23. Battles Fought by Southern Army Group up to mid-February
-
-flftert there is no space for fa tactical s/mbol,corps are denoted by numbers only. -XKXXX-drmy Group boundaries ~XXXX—Army boundaries
-
-I Br-iansk
-
-Orel
-
-xxxxx
-
-
-
-
-
--*»«■*» German positions after breaking-offot'"CITADEL'
-
-First Soviet offensive against Donetz area and
-
-successful German counter- attack — »
-
-from 6 th Army (17.7 till beginning of Aug. 1943) Second Sox offensive in Belgorod-Kharkov area &.
-
-•* againstDoneti area; German-counter-attack
-
-from Fourth Pz. and Eighth Armies —
-
-+ Sov. break through in Second Army (Central A Gr)
-
-tt Sixth Army : attacks along whole front. Germo/t frontline at mid-September1943 ^jp 91i r'nrS • - • after withdrawal behind Dnieper, t First footholds gained by Hussions across
-
-Dnieper and Desna.
-
-—xxxxx
-
-**' tIX fereyt
-
-Uzhishchev}^ Kanev
-
-Boaodukhov.
-
-XXX SeV^&MdJL
-
-
-
-
-
-WEZH
-
-RKOV
-
-Kupyansk
-
-H(6 armies) XXXXX
-
-B
-
-
-
-
-
-(3 armies)
-
-(Sarmies)
-
-•^ft/^ VOROSHILOVGRAD
-
-4
-
-
-
-
-
-Map 2i. Battles Fought by Southern Army Group 17th July~3oth
-
-September 1943.
-
-Bydgoszcz 3rombei
-
-fc Initial line of attack w by Armies and Corps Further course of pursuit " ~ tyM Army in dalicia, 10*Army's battle around Radcm.S the Battle ofmeBzura (8 m and elements of lO^Army)
-
-
-
-
-
-GAOppeln
-
-Wpok)
-
-Konskie
-
-W' ^-Rddomsko
-
-] 0 Zytno ^SSii^^Wkszao'wi
-
-Jedruj6w\nPincz6w ^.—IP. kt hX \+ ^^^^ Sc Tarnobrzeg
-
-© \ Psiczyna /^swiearip^~^m
-
-(Opm) $ \. 17 Biefskf^^wvadowice Mahrisch-Ostrau ^P ^. 8 -*jT. \sucha r6
-
-xxxx
-
-15 Mot'
-
-Beuthen
-
-Jorostotvc
-
-Padymnc '
-
-Zamosc
-
-° i
-
-|K<*T>orow
-
-^omoszowUibebkb
-
-o Rawa Ruska Zoikieg
-
-Ma5C/5*C
-
-
-
-
-
-" ' \>anp kt
-
-Pimiq/na fouM^^
-
-18 Mountain Corps
-
-0 V
-
-
-
-
-
-^*Rudk,
-
-°Somi>or
-
-Drohobycz ° Srry,
-
-A K I A
-
-Map 2. Southern Army Group's Operations in Polish Campaign.
-
-
-
-
-
-Map 19. Winter Campaign 1942-3: German Counterstroke, the Battle
-
-of Kharkov.
-
-Vatuiki
-
-
-
-
-
-Kupyansk
-
-xxxx
-
-jRFICHFgj]
-
-i Kantemirovko
-
-JStarobye/sk
-
-yLissichansk
-
-XXX XXX
-
-TKrimitortkiyylA
-
-^DNEPROPETROVSK A
-
-f
-
-tSilnikowStn
-
-txxx
-
-terra
-
-
-
-
-
-DONJ0
-
-^ZAPOROZHYE
-
-
-
-
-
-Jft xxx\ fCL ^yWoSHILOVGRhD
-
-Gorfov *<
-
-xxx y xxxx [^fjj.
-
-xxxx
-
-/ram IZ2
-
-Jfrom J20.2
-
-fcr -
-
-Shakhty
-
-Defensive fronts of Army Detachment Hollidt, First Pz. Army and Army Detachment Kempf
-
-^Soviet offensive towards KIEV-POLTAVA and Dnieper crossings.
-
-Fourth Pi. Army leapfrogging from ROSTOV into area between Donetz and Dnieper.
-
-Concentric counter-attack's by Fourth Pi. Army & flPz. Corps as from 20 Feb.
-
-xxx tsov.
-
-J^if{~~ tkxorps
-
-29
-
-Mariupol
-
-Taganri6g|
-
-3^
-
-Miles
-
-SO
-
-Map 18. Winter Campaign 1942-3: German Counterstroke, the Battle between Donetz and Dnieper.
-
-
-
-
-
-Sov.attacks endJan./beg.Feb.
-
-Defensive fronts of Fourth Pz.Army on24.J.S 6.2.43ondof Army Dtt. Hollidtor, 24.1. and 17.2 43
-
-leapfrog movement of First Pz. Army to Middle Donetz.
-
-Counter-strokes by First Pz. Army on Middle Donetz mid Feb. +4
-
-Northern wing First Pz. Army/
-
-Map 17. Winter Campaign 1942-3: Don Army Group's Battles to keep Communications Zone free.
-
-Map 20. Operation 'Citadel' (July 1943).
-
-
-
-
-
-Map 1. German and Polish Deployment, and Execution of German Offensive.
-
-
-
-
-
-Map i(5. Winter Campaign 1942/3: Don Army Group's Struggle to keep Army Group A's rear free.
-
-xxxx
-
-I 'VORONEZH
-
-Bjelgorod
-
-
-
-
-
-KALMYK STEPPES
-
-*N Germans jArmy Group B's front Allies I up to 19.11. Soviet breakthrough in areas of S^i^Rum Armies 09-21. II) ^.ju.^. German -Rumanian fronts in
-
-□breakthrough area at end of Nov. German relief forces approaching by rail.
-
-200 Miles
-
-Map 15. Situation on German Southern Wing at end of November 1942: the Struggle to free Sixth Army.
-
-
-
-
-
-Map 14. Battle of Lake Ladoga (September 1942).
-
-
-
-
-
-Map 13. Conquest of Sevastopol (June-July 1942).
-
-
-
-
-
-Map 10. Battle on the Sea of Azov and Breakthrough at the Isthmus of Perekop (Autumn 1941).
-
-
-
-
-
-Germans & ^ Rumanians
-
-Russians Where there is no space for the tactical symbol divisions are denoted by numbers only.
-
-Map II. Breakthrough at Ishun and Conquest of the Crimea (Autumn 1941).
-
-Germans
-
-Russians
-
-Strongly prepared Soviet defence lin* with
-
-tank ditch
-
-• Initial direction of German divisional assaults
-
-
-
-
-
-5 Miles 10
-
-Map 12. Re-Conquest of the Kerch Peninsula (May 1942).
-
-mmmm Germans
-
-Russians
-
-Where there is no space for the tactical symbol divisions an denoted by numbers only.
-
-
-
-
-
-GID h°£>
-
-30) O
-
-28
-
-xxxx
-
-fl6lW
-
-Kovno G
-
-
-
-
-
-Map 7. Situation of Northern Army Group on 26th June 1941 56 Panzer Corps' Capture of Dvinsk.
-
-after
-
-
-
-
-
-Map 6. 56 Panzer Corps' Drive into Russia.
-
-
-
-
-
-Map 9. 56 Panzer Corps' Drive into Flank of Thirty-Eighth Soviet
-
-Army on 19th August 1941.
-
-
-
-
-
-Map 8. Encirclement of 56 Panzer Corps at Zoltsy (15th-!8th July 1941).
-
-
-
-
-
-Map 5. 38 Corps' Advance from the Somme to the Loire.
-
-
-
-
-
-Map 4. Army Group A's Proposals for German Operations in the West.
-
-
-
-
-
-Map 3. The O.K.H. plan of Operations for German Offensive in the
-
-West.
-
-KEY TO SYMBOLS USED IN MAPS
-
-xxxxx
-
-Army Group*
-
-xxxx
-
-XXX
-
-Army
-
-Corps
-
-* Flagstaff indicates Headquarters location
-
-XX
-
-Division
-
-Brigade
-
-(orRegimentfrl Combat
-
-Team)
-
-•XXXXX'
-
-Army Croup Boun d a ry
-
-XXXX'
-
-Army Boundary
-
-TACTICAL SYMBOLS FROM DIVISION DOWNWARDS ALSO INCLUDE ARM OF SERVICE
-
-Infantry
-
-
-
-
-
-Cavalry
-
-o
-
-Armoured
-
-Mountain
-
-Airborne
-
-Air force unit
-
-nEnemy J formations
-
-
-
-
-
diff --git a/CachedEmbeddings/History/embeddings_cache.npz b/CachedEmbeddings/History/embeddings_cache.npz
new file mode 100644
index 0000000..d95d58d
Binary files /dev/null and b/CachedEmbeddings/History/embeddings_cache.npz differ
diff --git a/CachedEmbeddings/History/embeddings_cache_meta.json b/CachedEmbeddings/History/embeddings_cache_meta.json
new file mode 100644
index 0000000..6fa1032
--- /dev/null
+++ b/CachedEmbeddings/History/embeddings_cache_meta.json
@@ -0,0 +1 @@
+{"book_files": ["Books\\History\\Coming of the Third Reich, The - Richard J. Evans.txt", "Books\\History\\Squadron.txt", "Books\\History\\The Goebbels diaries - Goebbels, Joseph, 1897-1945;Loc.txt", "Books\\History\\The Last Lion Box Set _ Winston - William Manchester.txt", "Books\\History\\The Rise and Fall of the Third - William Shirer.txt", "Books\\History\\The Third Reich at War - RICHARD J. EVANS.txt", "Books\\History\\The Third Reich in Power - Richard J. Evans.txt"], "file_sizes": {"Books\\History\\Coming of the Third Reich, The - Richard J. Evans.txt": 1527052, "Books\\History\\Squadron.txt": 954, "Books\\History\\The Goebbels diaries - Goebbels, Joseph, 1897-1945;Loc.txt": 1450191, "Books\\History\\The Last Lion Box Set _ Winston - William Manchester.txt": 7630014, "Books\\History\\The Rise and Fall of the Third - William Shirer.txt": 3738193, "Books\\History\\The Third Reich at War - RICHARD J. EVANS.txt": 2327144, "Books\\History\\The Third Reich in Power - Richard J. Evans.txt": 2278824}}
\ No newline at end of file
diff --git a/CachedEmbeddings/Music/embeddings_cache.npz b/CachedEmbeddings/Music/embeddings_cache.npz
new file mode 100644
index 0000000..d01be18
Binary files /dev/null and b/CachedEmbeddings/Music/embeddings_cache.npz differ
diff --git a/CachedEmbeddings/Music/embeddings_cache_meta.json b/CachedEmbeddings/Music/embeddings_cache_meta.json
new file mode 100644
index 0000000..cf89971
--- /dev/null
+++ b/CachedEmbeddings/Music/embeddings_cache_meta.json
@@ -0,0 +1 @@
+{"book_files": ["Books\\Music\\Articles\\Gilmore.txt", "Books\\Music\\Articles\\Gilmore2.txt", "Books\\Music\\Articles\\Gilmore3.txt", "Books\\Music\\Articles\\Gilmore4.txt", "Books\\Music\\Articles\\Gilmore5.txt", "Books\\Music\\Articles\\Satriani.txt", "Books\\Music\\Articles\\Satriani2.txt", "Books\\Music\\Articles\\Satriani3.txt", "Books\\Music\\Articles\\Satriani4.txt", "Books\\Music\\Articles\\Satriani5.txt", "Books\\Music\\Articles\\Satriani6.txt", "Books\\Music\\Books\\Strange Beautiful Music - Joe Satriani.txt", "Books\\Music\\Song Queues\\Seans Mission.txt", "Books\\Music\\Song Queues\\The Strong Willed Man.txt", "Books\\Music\\Song Queues\\The Undecided Man.txt", "Books\\Music\\SongWriting\\Songwriting - Bernstein, Samuel.txt", "Books\\Music\\SongWriting\\Writing Better Lyrics - Pattison, Pat.txt", "Books\\Music\\Theory\\Augmented Chords.txt", "Books\\Music\\Theory\\Basic Music Thoery For Beginners.txt", "Books\\Music\\Theory\\extracted_book.txt", "Books\\Music\\Theory\\Jazz Theory.txt", "Books\\Music\\Theory\\Modal_Scale_Reference.txt"], "file_sizes": {"Books\\Music\\Articles\\Gilmore.txt": 7656, "Books\\Music\\Articles\\Gilmore2.txt": 890, "Books\\Music\\Articles\\Gilmore3.txt": 3846, "Books\\Music\\Articles\\Gilmore4.txt": 21615, "Books\\Music\\Articles\\Gilmore5.txt": 8572, "Books\\Music\\Articles\\Satriani.txt": 79020, "Books\\Music\\Articles\\Satriani2.txt": 5937, "Books\\Music\\Articles\\Satriani3.txt": 1575, "Books\\Music\\Articles\\Satriani4.txt": 4289, "Books\\Music\\Articles\\Satriani5.txt": 2287, "Books\\Music\\Articles\\Satriani6.txt": 3078, "Books\\Music\\Books\\Strange Beautiful Music - Joe Satriani.txt": 497958, "Books\\Music\\Song Queues\\Seans Mission.txt": 1108, "Books\\Music\\Song Queues\\The Strong Willed Man.txt": 758, "Books\\Music\\Song Queues\\The Undecided Man.txt": 811, "Books\\Music\\SongWriting\\Songwriting - Bernstein, Samuel.txt": 221980, "Books\\Music\\SongWriting\\Writing Better Lyrics - Pattison, Pat.txt": 453300, "Books\\Music\\Theory\\Augmented Chords.txt": 13329, "Books\\Music\\Theory\\Basic Music Thoery For Beginners.txt": 18352, "Books\\Music\\Theory\\extracted_book.txt": 0, "Books\\Music\\Theory\\Jazz Theory.txt": 574271, "Books\\Music\\Theory\\Modal_Scale_Reference.txt": 4941}}
\ No newline at end of file
diff --git a/Chartwell.py b/Chartwell.py
index 73d8060..b0e06c1 100644
--- a/Chartwell.py
+++ b/Chartwell.py
@@ -7,6 +7,17 @@ import numpy as np
 import json
 from pathlib import Path
 import torch
+import time
+import sys
+import gpt4all
+
+os.environ["PATH"] = r"C:\Program Files\NVIDIA GPU Computing Toolkit\CUDA\v11.8\bin" + ";" + os.environ["PATH"]
+
+
+# -------------------------
+# Knowledge base selection
+# -------------------------
+BOOK_DIR = 'Books/Science'
 
 # Explore adding TYPE to headers.  4 types fact, rule, reference, pedagogical, the ordering ranks
 #TYPE: fact | rule | reference | pedagogical
@@ -15,6 +26,7 @@ import torch
 
 # cleaning text documents
 # https://www.text-utils.com/remove-special-characters/
+# https://cloudconvert.com/docx-to-txt
 
 # Ask ChatGPT to descrive narratives around tablature examples.
 # I would like you to chunk this for my RAG system.  
@@ -101,13 +113,6 @@ import torch
 # ----------------------------------
 # Weights for chunk weighting system
 # -----------------------------------
-# TYPE_WEIGHTS = {
-#     "fact": 1.50,
-#     "rule": 1.20,
-#     "reference": 1.00,
-#     "pedagogical": 0.85
-# }
-
 TYPE_WEIGHTS = {
     "fact": 1.10,        # The "Oak" gets a small boost
     "rule": 1.05,
@@ -122,13 +127,109 @@ PRIORITY_WEIGHTS = {
     "low": 0.90
 }
 
-# -------------------------
-# Knowledge base selection
-# -------------------------
-BOOK_DIR = 'Books/History'  # just a string
+# ----------------------------------
+# Operating modes
+# -----------------------------------
+CURRENT_MODE = "research"
+MODES = {
+    "creative": {
+        "print_msg": "Creative mode.",
+        "prompt_instruction": (
+            "You are a creative assistant. "
+            "Use the provided context as inspiration. "
+            "Be concise and original. "
+            "End your response with a single period."
+        )
+    },
+#     "research": {
+#         "print_msg": "Research mode.",
+#         "prompt_instruction": (
+#             "You are a helpful research assistant. "
+#             "Restrict your response strictly to the provided context. "
+#             "If the source material is exhausted, stop writing. "
+#             "If a relationship or entity is not explicitly documented in the context, do not include it. "
+# #            "Do not infer, supplement, or use external training knowledge. "
+#             "Be direct and concise. "
+#             "Never repeat the context or instructions. "
+#             "Never echo the question. "
+#             "End your answer with a single period. "
+#         )
+#     },
+
+    "research": {
+        "print_msg": "Research mode.",
+        "prompt_instruction": (
+            "You are a helpful research assistant. "
+            "Restrict your response strictly to the provided context. "
+            "If the source material is exhausted, stop writing. "
+            "If a relationship or entity is not explicitly documented in the context, do not include it. "
+            "Do not repeat the same information in different wording. "
+            "If multiple context passages express the same idea, summarize it once. "
+            "If the context contains repetitive legal or procedural text, merge it into a single concise statement. "
+            "Do not list multiple similar verses. "
+            "Prefer one coherent explanation over multiple extracted quotations. "
+            "Do not infer, supplement, or use external training knowledge. "
+#            "Be direct and concise. "
+            "Never repeat the context or instructions. "
+            "Never echo the question. "
+            "End your answer with a single period. "
+        )
+    },
+    
+# You are a retrieval-only QA assistant.
+
+# Rules:
+# - Use only the provided context.
+# - Do not use external knowledge.
+# - If the answer is not explicitly stated in the context, respond: "Not found in context."
+# - Do not explain reasoning or rules.
+# - Do not repeat the question.
+# - Output must be one short paragraph.    
+    
+    
+    "advanced": {
+        "print_msg": "Advanced mode.",
+        "prompt_instruction": (
+            "You are adept at mathematics and computer programming. "
+            "You are a linguist able to put together complex ideas and work with formulations and workflows."
+        )
+    },
+    "music": {
+        "print_msg": "Music mode.",
+        "prompt_instruction": (
+            "You are a music theory assistant.\n"
+            "\n"
+            "You may use general music theory knowledge when the context does not explicitly define a rule.\n"
+            "However, if the context provides a rule, table, or mapping, you MUST prioritize it over general knowledge.\n"
+            "\n"
+            "Do not invent programming code, functions, or data structures.\n"
+            "Do not fabricate musical tables or mappings not present in the context.\n"
+            "\n"
+            "Reasoning rules:\n"
+            "- Prefer context over general knowledge.\n"
+            "- If context is missing critical information, fall back to standard Western music theory.\n"
+            "- If the question is ambiguous, choose the most common theoretical interpretation.\n"
+            "\n"
+            "Output rules:\n"
+            "- Return only the final answer.\n"
+            "- No explanations unless explicitly requested.\n"
+            "- End with a single period.\n"
+            "Before answering any music question, state: root=X index=Y interval=Z target=W note=Result\n"
+        )
+    }
+}
+
+CACHE_FILES = ['embeddings_cache.npz', 'embeddings_cache_meta.json']
+
+# This ensures the cache is always saved INSIDE the folder you are pointing to
+CACHE_FILE = os.path.join(BOOK_DIR, CACHE_FILES[0])  # 'embeddings_cache.npz'
+CACHE_META = os.path.join(BOOK_DIR, CACHE_FILES[1])  # 'embeddings_cache_meta.json'
+
 book_files = []
 
 for f in Path(BOOK_DIR).rglob('*'):
+    if not f.is_file() or f.name in CACHE_FILES:   # Remove the embeddings files fro this list
+        continue    
     if not f.is_file():
         continue
     try:
@@ -142,14 +243,17 @@ print(f"Found {len(book_files)} files")
 # Overlap should be 10-20% of chunk size
 CHUNK_SIZE = 700
 CHUNK_OVERLAP = 100
-
 DEBUG = False
-CACHE_FILE = "embeddings_cache.npz"
-CACHE_META = "embeddings_cache_meta.json"
+
 MAX_HISTORY = 5
 CURRENT_LEVEL = 10
 SEARCH_FILTER = None  # None = search all books
 
+# --------------------------------------------------------------------
+# Toggle for whether we are using the model to enrich the corpus data
+# --------------------------------------------------------------------
+USE_ENRICHMENT = True
+
 # -------------------------
 # CONVERSATIONAL HISTORY
 # -------------------------
@@ -185,13 +289,7 @@ embed_model = SentenceTransformer("sentence-transformers/all-MiniLM-L6-v2",devic
 # -----------------------------------
 # Load the language model - If it does not exist in the download area then download it otherwise us it.
 # -----------------------------------
-
-# model_file = "Meta-Llama-3.1-8B-Instruct.Q4_0.gguf"
-
-
 print("Loading language model...")
-#model_file = "Meta-Llama-3-8B-Instruct.Q4_0.gguf"
-# upgrading to 3.1
 model_file = "Meta-Llama-3.1-8B-Instruct-q4_0.gguf"
 model_path = r"C:\Users\skess\.cache\gpt4all"
 
@@ -206,7 +304,7 @@ else:
 lm_model = GPT4All(
     model_file,
     model_path=model_path,
-    device="gpu",
+    device="cuda",
     allow_download=allow_download
 )
 
@@ -299,12 +397,102 @@ def clean_text(text):
     text = re.sub(r'\[\d+\]', '', text)
     text = re.sub(r'\[citation needed\]', '', text)
     return text.strip()
+
+# --------------------------------
+# This is for the enrichment pipeline if it is enabled.  It Uses the local LLM to extract key metadata from a chunk.
+# --------------------------------
+
+# PROMPT_TEMPLATE = (
+#     "<|start_header_id|>user<|end_header_id|>\n"
+#     "Extract tags from the text below. Respond ONLY in this exact format: "
+#     "[Time: | Loc: | Entity: | Topic:]\n"
+# #    "[Time: | Loc: | Entity: | Theme:]\n"
+#     "ALL fields must be filled. If uncertain, make a best guess.\n"
+#     "Limit to 5 most important entities. No explanation.\n"
+#     "Text: {text}\n"
+#     "Tags: [<|eot_id|>\n"
+#     "<|start_header_id|>assistant<|end_header_id|>\n"
+# )
+
+
+PROMPT_TEMPLATE = (
+    "<|start_header_id|>user<|end_header_id|>\n"
+    "TAGGING OPERATION. NOT A CONVERSATION. NO EXPLANATIONS.\n"
+    "OUTPUT FORMAT IS FIXED. DO NOT DEVIATE.\n"
+    "\n"
+    "RULES:\n"
+    "1. Output EXACTLY ONE LINE in this format: [Time: | Loc: | Entity: | Topic:]\n"
+    "2. Fill every field. Use 'Unknown' if uncertain. Never leave a field empty.\n"
+    "3. Entity: list up to 5 items, comma separated.\n"
+    "4. No sentences. No explanation. No apology. No meta-commentary.\n"
+    "5. Do not repeat these instructions. Do not acknowledge this prompt.\n"
+    "6. Your entire response is the tag line and nothing else.\n"
+    "\n"
+    "Text: {text}\n"
+    "<|eot_id|>\n"
+    "<|start_header_id|>assistant<|end_header_id|>\n"
+    "Tags: ["
+)
+
+
+def extract_context_tags(text_chunk):
+    start_time = time.perf_counter()
+    response = lm_model.generate(
+        PROMPT_TEMPLATE.format(text=text_chunk),
+        max_tokens=60,
+        temp=0.01,
+        n_batch=512,
+    )
+    
+    # If the model didn't provide the bracket because we 'pushed' it, add it back
+    tag = response.split(']')[0] + "]" if "]" in response else response
+    if not tag.startswith("["):
+        tag = "[" + tag
+        
+    print(f"TAG:{tag}")  
+    print(f"Took : {time.perf_counter() - start_time:.4f} seconds")      
+    return tag
+
+def is_empty_tag(tag):
+    values = [part.split(":")[-1].strip() for part in tag.strip("[]").split("|")]
+    return not any(values)
+
+# -------------------------
+# Extract the CHUNK directive from the header
+# -------------------------
+def get_chunk_directive(text, header_lines=20):
+    """
+    Extract CHUNK directive from top of file only.
+    """
+    top = "\n".join(text.splitlines()[:header_lines])
+    match = re.search(r"^CHUNK:\s*(\w+)", top, re.IGNORECASE | re.MULTILINE)
+    if match:
+        return match.group(1).strip().upper()
+    return None
+
 # -------------------------
 # Chunk text with overlap
 # -------------------------
 def chunk_text(text, chunk_size=CHUNK_SIZE, overlap=CHUNK_OVERLAP):
+
+# Try to get the chunk directive if it isd present    
+    directive = get_chunk_directive(text)
+    
+    if directive == "SINGLE":
+        if DEBUG:
+            print("  [CHUNK: SINGLE detected — bypassing chunking]")
+        return [text.strip()]    
+    
     # 1. EXTRACT HEADERS (The "Metadata Inheritance" logic)
-    header_patterns = [r"TYPE:.*", r"PRIORITY:.*", r"DOMAIN:.*", r"TITLE:.*",r"CONCEPTS:.*",r"SOURCE:.*"]
+    header_patterns = [
+        r"TYPE:.*",
+        r"PRIORITY:.*",
+        r"DOMAIN:.*",
+        r"TITLE:.*",
+        r"CONCEPTS:.*",
+        r"SOURCE:.*",
+        r"CHUNK:.*",   # special pattern currently supports SINGLE so that the entire file will be chunked and not split across chunks
+    ]
     header_lines = []
     top_of_file = text[:500] 
     for pattern in header_patterns:
@@ -344,8 +532,15 @@ def chunk_text(text, chunk_size=CHUNK_SIZE, overlap=CHUNK_OVERLAP):
             current_chunk += " " + unit
         else:
             if current_chunk:
-                # Add headers to all chunks except the first one (which already has them)
                 final_output = current_chunk.strip()
+                # --- CONDITIONAL ENRICHMENT LOGIC ---
+                if USE_ENRICHMENT:
+                    print(f"  [Enriching chunk {len(chunks)+1}...]", end="\r")
+                    tags = extract_context_tags(final_output[:600])
+                    if not is_empty_tag(tags):
+                      final_output = f"{tags} {final_output}"
+                # ----------------------------            
+                # Add headers to all chunks except the first one (which already has them)    
                 if not any(pat in final_output[:100] for pat in ["TYPE:", "TITLE:"]):
                     final_output = header_prefix + final_output
                 chunks.append(final_output)
@@ -359,30 +554,98 @@ def chunk_text(text, chunk_size=CHUNK_SIZE, overlap=CHUNK_OVERLAP):
 
     if current_chunk:
         final_output = current_chunk.strip()
+        if USE_ENRICHMENT:
+                tags = extract_context_tags(final_output[:600])
+                if not is_empty_tag(tags):
+                    final_output = f"{tags} {final_output}"  
         if not any(pat in final_output[:100] for pat in ["TYPE:", "TITLE:"]):
              final_output = header_prefix + final_output
         chunks.append(final_output)
 
     return chunks
 
-
 # -------------------------
 # Check if cache is valid
 # -------------------------
+# def cache_is_valid():
+#     print (f"Checking for existing enriched cache in {BOOK_DIR}...")
+#     if not os.path.exists(CACHE_FILE) or not os.path.exists(CACHE_META):
+#         return False
+#     with open(CACHE_META, "r") as f:
+#         meta = json.load(f)
+#     if meta.get("book_files") != book_files:
+#         return False
+#     for book_name in book_files:
+#         if not os.path.exists(book_name):
+#             continue
+#         stored_size = meta.get("file_sizes", {}).get(book_name)
+#         actual_size = os.path.getsize(book_name)
+#         if stored_size != actual_size:
+#             return False
+#     return True
+
 def cache_is_valid():
+    print(f"\nChecking for existing enriched cache in {BOOK_DIR}...")
+
+    # --- HARD FAIL: missing cache ---
     if not os.path.exists(CACHE_FILE) or not os.path.exists(CACHE_META):
+        print("X Missing cache or metadata → rebuild required")
         return False
+
     with open(CACHE_META, "r") as f:
         meta = json.load(f)
-    if meta.get("book_files") != book_files:
-        return False
-    for book_name in book_files:
+
+    cached_files = set(meta.get("book_files", []))
+    current_files = set(book_files)
+
+    added = current_files - cached_files
+
+    missing_embeddings = []
+    modified_files = []
+
+    for book_name in current_files:
         if not os.path.exists(book_name):
             continue
+
+        # NEW FILE → ignore for now
+        if book_name not in cached_files:
+            continue
+
         stored_size = meta.get("file_sizes", {}).get(book_name)
         actual_size = os.path.getsize(book_name)
+
+        # EXISTING FILE but missing metadata → BAD
+        if stored_size is None:
+            missing_embeddings.append(book_name)
+            continue
+
+        # EXISTING FILE but changed → BAD
         if stored_size != actual_size:
-            return False
+            modified_files.append(book_name)
+
+    # --- HARD FAIL CONDITIONS ---
+    if missing_embeddings:
+        print(f"\nX Missing embeddings for {len(missing_embeddings)} file(s):")
+        for f in sorted(missing_embeddings):
+            print(f"   * {f}")
+        print("→ Rebuild required")
+        return False
+
+    if modified_files:
+        print(f"\nX {len(modified_files)} file(s) changed:")
+        for f in sorted(modified_files):
+            print(f"   * {f}")
+        print("→ Rebuild required")
+        return False
+
+    # --- SOFT WARNING ---
+    if added:
+        print(f"\n+ {len(added)} new file(s) detected (not yet embedded):")
+        for f in sorted(added):
+            print(f"   + {f}")
+        print("→ Continuing with existing cache (new files will be ignored)")
+
+    print("\n✓ Cache usable")
     return True
 
 # -------------------------
@@ -424,7 +687,6 @@ else:
         all_chunks.extend(book_chunks)
         all_sources.extend([book_name] * len(book_chunks))
         print(f"  -> {len(book_chunks)} chunks")
-
     print(f"Total chunks: {len(all_chunks)}")
     print("Embedding chunks (this may take a minute)...")
     chunk_embeddings = embed_model.encode(all_chunks, convert_to_tensor=False)
@@ -554,7 +816,6 @@ def topics_are_related(question, history, lookback=3):
     print(f"  [Topic overlap: {overlap} word(s)]")
     return overlap > 0
 
-
 def enrich_query_with_history(question):
     """
     Add context from recent history to improve retrieval 
@@ -713,7 +974,7 @@ def get_top_chunks(question, filter_term=None):
 
         print("\n--- TYPE-AWARE RANKING ---")
         for name, sem, tw, fs in debug_ranking[:15]:
-            print(f"{name} | sem={sem:.4f} | type={tw:.2f} | final={fs:.4f}")
+            print(f"{name} | semantic similarity={sem:.4f} | type={tw:.2f} | final={fs:.4f}")
         print("--- END ---\n")
 
     # -------------------------
@@ -757,20 +1018,6 @@ def truncate_at_sentence(text, max_chars):
     )
     return truncated[:last_period + 1] if last_period > 0 else truncated
 
-
-# -------------------------
-# Determimne if the question is asking for a creative or factual response
-# -------------------------
-def is_creative_request(question):
-    triggers = {
-        "suggest", "write", "complete", "finish", "rhyme", "next line",
-        "come up with", "give me", "idea for", "open", "start", "begin",
-        "chorus", "verse", "bridge", "hook", "lyric", "lyrics",
-        "continue", "follow", "what comes", "how might", "how would"
-    }
-    q_lower = question.lower()
-    return any(t in q_lower for t in triggers)
-
 # -------------------------
 # Ask question
 # -------------------------
@@ -787,10 +1034,18 @@ def ask_question(question, show_sources=False, filter_term=None):
             print(chunk[:300])
         print("--- End chunks ---\n")
 
-    context = truncate_at_sentence(
-        " ".join(top_chunks),
-        level_cfg["context_len"]
-    )
+    joined_chunks = " ".join(top_chunks)
+
+    # If SINGLE chunk present, do NOT truncate
+    if "CHUNK: SINGLE" in joined_chunks:
+        if DEBUG:
+            print("  [SINGLE chunk detected — skipping context truncation]")
+        context = joined_chunks
+    else:
+        context = truncate_at_sentence(
+            joined_chunks,
+            level_cfg["context_len"]
+        )
 
     history_text = ""
     if conversation_history:
@@ -800,32 +1055,11 @@ def ask_question(question, show_sources=False, filter_term=None):
             history_text += f"A: {exchange['answer']}\n"
         history_text += "\n"
       
-    if is_creative_request(question):
-        prompt_instruction = (
-            "You are a creative assistant. "
-            "Use the provided context as inspiration. "
-            "Be concise and original. "
-            "End your response with a single period."
-        )
-    else:
-        # prompt_instruction = (
-        #     "You are a helpful research assistant. "
-        #     "Answer ONLY using the provided context. "
-        #     "Be direct and concise. Never repeat the context or instructions. "
-        #     "Never echo the question. End your answer with a single period."
-        # )
-       prompt_instruction=(
-          "You are a helpful research assistant. "
-          "Restrict your response strictly to the provided context. "
-          "If the source material is exhausted, stop writing. "
-          "If a relationship or entity is not explicitly documented in the context, do not include it. "
-          "Do not infer, supplement, or use external training knowledge. "
-          "Be direct and concise. "
-          "Never repeat the context or instructions. "
-          "Never echo the question. "
-          "End your answer with a single period."  
-       )      
-
+# Grab instruction and print status based on the manual mode
+    mode_cfg = MODES[CURRENT_MODE]
+    print(mode_cfg["print_msg"])
+    prompt_instruction = mode_cfg["prompt_instruction"]      
+    
     with lm_model.chat_session(system_prompt=prompt_instruction):
         user_message = (
             f"{history_text}"
@@ -846,9 +1080,13 @@ def ask_question(question, show_sources=False, filter_term=None):
         if marker in answer:
             answer = answer[:answer.index(marker)].strip()
 
+# WARNING: corrupted or truncated answers stored in conversation_history
+# will poison subsequent responses. Always store condensed_answer, not full response.
+# When storing to conversation_history, store condensed version
+    condensed_answer = answer.split('\n')[0]  # just the first line
     conversation_history.append({
         "question": question,
-        "answer": answer
+        "answer": condensed_answer
     })
 
     if len(conversation_history) > MAX_HISTORY:
@@ -878,11 +1116,28 @@ print("          'books' — list available books")
 print("          'search <keyword>: question' — filter by book\n")
 show_sources = False
 
+# Bot loop
 while True:
-    user_input = input(f"[L{CURRENT_LEVEL}] You: ")
+#    user_input = input(f"[L{CURRENT_LEVEL}] You: ")
+    user_input = input(f"[L{CURRENT_LEVEL}][{CURRENT_MODE}] You: ")
 
     if user_input.lower() in ["exit", "quit"]:
         break
+    
+    elif user_input.startswith("mode "):
+      try:
+          # Splits "mode advanced" and takes "advanced"
+          new_mode = user_input.split(maxsplit=1)[1]
+          
+          if new_mode in MODES:
+              CURRENT_MODE = new_mode
+              print(MODES[CURRENT_MODE]["print_msg"])
+          else:
+              available = ", ".join(MODES.keys())
+              print(f"Invalid mode. Available: {available}")
+      except IndexError:
+          print("Usage: mode [creative|research|advanced]")
+      continue    
     elif user_input.lower() == "memory clear":
         conversation_history.clear()
         print("Conversation memory cleared.")